TITLE 22. Social Security
Division 1. Employment Development Department*

* Formerly Department of Human Resources Development.

Prefatory Note
Division 1 contains two subdivisions:

Subdivision 1. Director of Employment Development
Subdivision 2. California Unemployment Insurance Appeals Board
Both the Director and the Appeals Board promulgate regulations and rules dealing with the various sections of the Unemployment Insurance Code. Subdivision 1 includes only those regulations promulgated by the director; Subdivision 2 includes only those rules promulgated by the Appeals Board. Since the regulations of the Director or the rules of the Appeals Board may implement the sections of the Unemployment Insurance Code, reference should be made to both Subdivision 1 and Subdivision 2 for complete coverage.
The regulations of Subdivision 1 only are arranged in correlation with the headings, subheadings, and section numbers of the Unemployment Insurance Code. Each regulation promulgated by the Director has been related to the most nearly appropriate section of the Unemployment Insurance Code by giving the regulation a section number composed of the same number as that of the code section followed by a dash and thereafter by an arabic numeral (e.g., Unemployment Insurance Code Section: 320.5; Regulation Section: 320.5-1). Succeeding regulations relating to the same Code section are given suffix numbers in sequence (e.g., 320.5-2, 320.5-3, etc.). In those instances where the Unemployment Insurance Code section has alphabetical subdivisions and the regulation section pertains to a particular subdivision, the alphabetical designation is included as a part of the regulation section number (e.g., subdivision (c) of Unemployment Insurance Code Section 1253; Regulation Section: 1253(c)-1). Further regulations on such particular subdivision are numbered in sequence (e.g., 1253(c)-2, etc.).
The rules of Subdivision 2 are neither grouped nor numbered in any direct relationship to the Unemployment Insurance Code format. Instead, rules promulgated by the Appeals Board are arranged according to areas of subject matter. The subheadings “part” and “chapter” are omitted in Subdivision 2 and the grouping is directly by “articles” which identify the areas of subject matter. Numbering of the rules is by “sections” which are consecutive but allow for expansion gaps between articles. The number series is 5,000 et seq.

View Graphic 
Subdivision 1. Director of Employment Development

(Originally Printed 4-1-45)
Division 1. Unemployment and Disability Compensation
Part 1. Unemployment Compensation
Chapter 1. General Provisions
Article 1. Policy and Interpretation

(No regulations adopted)
Article 2. General Definitions
§125-1. Definitions.
Note     •     History

Unless the context otherwise requires, the terms used in these regulations and in interpretations, forms and other official pronouncements issued by the Employment Development Department shall have the following meaning:
(a) “Code” means the Unemployment Insurance Code.
(b) All terms which are defined in the code shall be defined in the same manner for purposes of these regulations.
(c) “Month” means the time beginning with any day of one month to the corresponding day of the next month, or if there is no corresponding day, then through the last day of the next month.
(d) “Day” means the period of time between any midnight and the midnight following.
(e) “Social security number” means the social security account number provided for in the order of the Commissioner of Internal Revenue approved by the Secretary of the Treasury of the United States on November 5, 1936.
NOTE

Authority: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 125 and 2602, Unemployment Insurance Code.
HISTORY

1. Department of Employment regulations originally published 4-1-45 (Title 22).
2. Repealer of Articles 1, 2, 3, 4, 5, 6, 7, 9, 10, 11, 12, 13, 20, 21, 22, 23, 24 and 25, of Subdivision 1, filed 9-24-54; new Subdivision 1 (§§ 125-1. through 3269-1.) filed 9-24-54; both designated effective 10-4-54 (Register 54, No. 20). For history note references to former sections see Table 3, supra.
3. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21).
4. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
5. Amendment filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
6. Amendment of introductory paragraph filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
7. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§135-1. Limited Partnerships.
History

HISTORY

1. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§143-1. Definition of “Week” for Contribution and Benefit Purposes.
Note     •     History

(a) “Week” for contribution purposes only means the period of seven consecutive days, commencing at 12:01 a.m. on Sunday and ending at 12 midnight on Saturday.
(b) “Week” for unemployment compensation benefit purposes is defined in Section 1253-1 of these regulations.
(c) “Week” for unemployment compensation disability benefit purposes is defined in subdivision (k) of Section 2601-1 of these regulations.
CROSS-REFERENCE: See Regulations 1253-2 through 1253-11, and 1254-1, 1260-1 and 1262-1 for related definitions of week for benefit purposes.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 143 and 2602, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment of subsection (c) filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
3. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
4. Change without regulatory effect amending subsection (c) filed 1-22-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 4).
Chapter 2. Administration
Article 1. Employment Development Department
§301-1. Request for Director's Consideration.
Note     •     History

NOTE

Authority cited: Sections 306 and 2602, Unemployment Insurance Code. Reference: Section 301, Unemployment Insurance Code.
HISTORY

1. Renumbering from former Section 304-1 filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§305-1. Separability of Regulations.
Note     •     History

Each section of each article of these regulations is intended and shall be construed as a separate regulation within the meaning of Sections 305 to 310 of the code relating to the adoption, amendment, or repeal of regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 305 to 310, incl., Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to a 125-1.
2. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§305-2. Request for Regulation Action.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 305, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to Section 125-1.
2. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
3. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
4. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§305-3. Notice, Time and Place of Hearing on Change of Regulations.
Note     •     History

(a) Whenever the adoption, amendment or repeal of any regulation is proposed, a public hearing shall be held thereon at Sacramento, California, or at such other places as may appear necessary or desirable.
(b) At least 45 days' notice shall be given. This notice shall be published for one time by advertisement in a newspaper of general circulation in the City of Sacramento, California.
NOTE

Authority cited: Section 306, Unemployment Insurance Code. Reference: Section 305, Unemployment Insurance Code.
HISTORY

1. Amendment and renumbering of Section 308-1 to 305-3 filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§306-1. Repeal of Existing Regulations: Savings Clause.
History

HISTORY

1. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§307-1. Publication of Notice of Hearing on Change in Regulations.
Note     •     History

NOTE

Authority cited: Sections 306 and 2602, Unemployment Insurance Code. Reference: § 307, Unemployment Insurance Code.
HISTORY

1. New section filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21).
2. Repealer filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
§308-1. Notice, Time and Place of Hearing on Change of Regulations.
Note     •     History

NOTE

Authority cited: Sections 306 and 2602, Unemployment Insurance Code. Reference: Section 308, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
2. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
3. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
4. Amendment and renumbering of Section 308-1 to 305-3 filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§308-2. Emergency Regulations.
Note     •     History

NOTE

Authority cited: Sections 306 and 2602, Unemployment Insurance Code. Reference: Section 308, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§311-1. Conflict of Interest Code.
Note     •     History

Note: It having been found pursuant to Government Code section 11344(a), that the printing of the regulations constituting the Conflict of Interest Code is impractical and that these regulations are of limited and particular application, these regulations are not published in full in the California Code of Regulations (CCR). The regulations are available to the public for review or purchase at cost at the following locations:

EMPLOYMENT DEVELOPMENT DEPARTMENT
LEGAL OFFICE
800 CAPITOL MALL, ROOM 5020
SACRAMENTO, CALIFORNIA 95814

FAIR POLITICAL PRACTICES COMMISSION
428 J STREET, SUITE 620
SACRAMENTO, CALIFORNIA 95814

ARCHIVES
SECRETARY OF STATE
1020 O STREET, 4TH FLOOR
SACRAMENTO, CALIFORNIA 95814
The Conflict of Interest Code is designated as Article 1, Chapter 2, CCR, title 22, section 311-1.
NOTE

Authority cited: Sections 87300 and 87306, Government Code. Reference: Sections 87300, 87301, 87302 and 87306, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer and new section (including Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9). 
4. Amendment filed 1-13-88; operative 2-12-88. Approved by Fair Political Practices Commission 12-7-87 (Register 88, No. 4).
5. Amendment of section and Appendix filed 8-7-95; operative 9-6-95. Approved by Fair Political Practices Commission 5-31-95. Submitted to OAL for printing only (Register 95, No. 32).
6. Amendment of section and Appendix filed 9-5-2000; operative 10-5-2000. Approved by Fair Political Practices Commission 7-19-2000 (Register 2000, No. 36).
7. Amendment of Appendix filed 8-9-2001; operative 9-8-2001. Approved by Fair Political Practices Commission 6-22-2001 (Register 2001, No. 32). 
8. Amendment of general provisions and appendix filed 9-27-2005; operative 10-27-2005. Approved by Fair Political Practices Commission 8-2-2005 (Register 2005, No. 39).
9. Amendment of appendix filed 11-20-2007; operative 12-20-2007. Approved by Fair Political Practices Commission 10-9-2007 (Register 2007, No. 47).
§311-2. Definition of Terms.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§311-3. Designated Employees.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§311-4. Disclosure Statements.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter, approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§311-5. Place of Filing.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter, approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§311-6. Time of Filing.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§311-7. Contents of Statements.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§311-8. Manner of Reporting.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§311-9. Disqualification.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practice Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§311-10. Manner of Disqualification.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§311-11. Appendix A.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§311-12. Appendix B.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code and Section 87300, Government Code. Reference: Section 87100, Government Code.
HISTORY

1. New section filed 7-22-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 30).
2. Repealer and new section filed 4-18-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-3-80 (Register 80, No. 16).
3. Repealer filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
§320-1. Reports with Respect to Employment and Payroll Distribution.
Note     •     History

Under Section 320 of the code the director is required to make such reports to the Secretary of Labor as the Secretary may require. Section 1088-8 of these regulations sets forth the basic standards with respect to reports required by the director from employers subject to the Unemployment Insurance Code for the purpose of obtaining the information needed by the director to make reports required by the federal agency.
CROSS-REFERENCE: See Regulation 1088-1.
NOTE

Authority cited: Sections 305 and 306, Unemployment Ins. Code. Reference: Sections 320 and 1088, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; appeal filed with Calif. Unempl. Ins. Appeals Board; section refiled 3-17-61, designated effective 3-27-61 (Register 61, No. 6).
2. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-1. Annual and Monthly Reports for Current Employment Statistics with Respect to Activities, Products, Employment, Hours, Wages, Earnings, and Related Matters.
Note     •     History

(a) Purpose. Under Section 320.5 of the code the director is authorized to prescribe by regulations the information required to be reported to the department by employing units and employers subject to the Unemployment Insurance Code, in order that the director may make monthly reports on employment, hours, and earnings, as required by the Secretary of Labor, on federal reporting forms “Monthly Report on Employment” (Form BLS 1932-M) and “Monthly Report on Hours and Earnings” (Form BLS 1963-M). This section sets forth the basic standards and requirements for the purpose of obtaining the information needed by the director to make monthly reports and other reports as required by the Secretary of Labor. (For annual reporting requirements of such employers, see Section 320.5-2 of these regulations.)
(b) Definitions. For the purposes of this section and Section 320.5-2 of these regulations:
(1) “Reporting employer” means any employing unit or employer described by subdivision (a) of this section or subunit of any such employing unit or employer selected by the director in a representative sample and to whom the director gives notice that monthly and annual reports are required on forms prescribed by the Secretary of Labor and supplied to the employer by the department.
(2) “Establishment” means an economic unit, generally at a single physical location, where business is conducted, or where services or industrial operations are performed, or from which employees are dispatched, for example, a school, hospital, religious institution, office of a transportation company or a government agency, a farm, factory, mill, store, or mine, or a central administrative office or auxiliary unit at a separate location from the economic unit served, except that:
If a reporting employer maintains separate payroll and inventory records for separately classifiable activities conducted at a single location, including auxiliary activities such as a central administrative office or auxiliary unit performing supporting services for other economic units of the same reporting employer but which is not an integral part of the economic units at the same location, such activity shall be deemed a separate establishment.
(3) “Pay period” means any period of not more than 31 consecutive days for which a payment of remuneration is ordinarily made to employees by the reporting employer, and includes as to a particular reporting employer every type of pay period in actual use by that reporting employer. 
EXAMPLE: Since pay periods may be for varying durations such as weekly, daily, semimonthly, or some other duration, a particular reporting employer may have two or more types of pay periods. Under the above regulation definition each reporting employer would include all types of pay periods he used which include the twelfth day of the month or the working day nearest thereto, such as daily, weekly, and semimonthly payrolls if in actual use.
(c) General Reporting Requirements. Every reporting employer shall report, not later than the seventh day following the close of the pay period which includes the twelfth day of a calendar month, to the department for all establishments of the reporting employer on a monthly report form for such calendar month supplied by the department the following:
(1) The beginning and ending dates of the pay period which includes the twelfth day of the month.
(2) For the entire pay period reported, the number of days (to the nearest one-half day) on which the majority of production and related workers performed work plus the number of holidays and vacation days during the pay period for which the majority of such workers were paid. If the pay period is longer than a week, the number of such reported days worked or paid for during the 7-consecutive-day period which includes the twelfth day of the month and which falls entirely within the pay period reported under paragraph (1) of this subdivision.
(3) The total number of persons on the payroll or payrolls covered by the monthly report who worked full time or part time or received pay for any part of the pay period reported under paragraph (1) of this subdivision. The total number of persons so reported shall include salaried officers of corporations and executives and their staffs, but shall exclude proprietors, members of unincorporated firms, and unpaid family workers. The total number of persons so reported shall include persons on vacations and sick leave for which they received pay directly from the reporting employer for the pay period reported under paragraph (1) of this subdivision, but shall exclude persons on leave without pay from the reporting employer for the entire such pay period, and pensioners and members of the Armed Forces carried on the payroll of the reporting employer but not working during such pay period.
(4) The number of women employees included in the total number of persons reported under paragraph (3) of this subdivision.
(5) The number of workers, both full-time and art-time, on the payroll or payrolls of the reporting employer, whether paid by wages or by salary, who worked during or received pay for any part of the pay period reported under paragraph (1) of this subdivision, including persons on vacations or on sick leave if paid directly by the reporting employer.
(6) The amount of pay earned during the pay period reported under paragraph (1) of this subdivision by the workers reported under paragraph (5) of this subdivision. The amount of pay so reported shall be the amount before deductions for old age insurance, disability insurance under the Unemployment Insurance Code, group insurance, withholding tax, bonds, and union dues, and shall include portal-to-portal pay, pay for overtime and for holidays, vacations, and sick leave, if paid directly by the reporting employer to employees for the pay period reported under paragraph (1) of this subdivision. The amount of pay so reported shall exclude bonuses, unless earned and paid regularly each pay period, or other pay not earned in the pay period reported such as retroactive pay, and the value of free rent, fuel, meals, or other payment in kind.
(7) For workers reported under paragraph (5) of this subdivision, the sum of the following (without conversion of overtime or other premium paid hours to straight-time equivalent hours):
(A) Man-hours worked, including overtime hours;
(B) Hours for which portal-to-portal pay is received, hours paid for standby or reporting time; and
(C) Equivalent man-hours for which employees received pay directly from the reporting employer for holidays, vacations, sick leave, or other leave paid.
(8) The reporting employer's statement as to the main factors responsible for significant changes in employment, average hours worked, average hourly earnings, or other reported items, when compared with the monthly report by the reporting employer for the preceding month; for example, factors such as wage-rate increase, more business, strike, fire, overtime, or weather. If any general wage-rate changes, excluding individual changes for length of service, merit, or promotion, have occurred since the monthly report by the reporting employer for the preceding month, the reporting employer shall report the amount or percentage of the increase or decrease in wage-rate, the effective date of the change, and the approximate number of production and related workers affected.
(9) Such other information as the director may require. The reporting forms provided by the director to the reporting employer may require additional information depending upon the type of reporting employer.
(d) Confidentiality. Information reported by any reporting employer as required by this section and Section 320.5-2 of these regulations shall be published only in statistical form, except as provided by this subdivision. All information reported by any reporting employer as required by this section and Section 320.5-2 of these regulations and the identity of the reporting employer shall be held in strict confidence by the department and employment security agencies of other states. Such information or the identity of the reporting employer shall not be published or otherwise given to the public or any other governmental agency except employment security agencies of other states, by the department in any manner without the prior written permission of the reporting employer. No publication of statistical data shall be made which might reveal the identity of any reporting employer, without specific written permission of such reporting employer.
(e) Extension of Time. The director for good cause may extend for not to exceed 10 days the time for submission by an employer of a monthly report required under this section.
(f) Delinquent or Deficient Reports. If any reporting employer fails to submit to the department any annual or monthly report within the time required by Section 320.5-2 of these regulations, or if the department is not satisfied with any annual or monthly report submitted by a reporting employer under any of such sections, the department may by written notice demand that an annual or a monthly report be submitted or that the deficiency in an annual or a monthly report submitted shall be corrected by the reporting employer. The reporting employer shall, within 30 days after the date of the mailing of such written notice, submit the annual or monthly report or corrected annual or monthly report to the department.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 320.5, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-2. Industrial Classification--Employer's Annual Statement of Activities or Products--General.
Note     •     History

(a) This section sets forth the basic standards and requirements to obtain the information needed by the director in an annual or less frequent report to classify such employing units and employers or subunits of any such employing units or employers in the proper industrial classification for the director's report to the Secretary of Labor.
(b) General Reporting Requirements. When requested by the department, every reporting employer shall report to the department the following information for each establishment of the reporting employer on a form supplied by the department:
(1) The principal product or activity during the designated preceding calendar year, non-manufacturing and manufacturing activities, if applicable, and for each principal product or activity shall list the percentage of total value of production, sales, or receipts during such year represented by such principal product or activity. The form supplied by the department shall set forth details and examples of the types of information requested by the department in the reporting employer's description of activities.
(2) Whether the establishment is part of a multiple establishment company (see Section 1088-8, (C)(3) for the definition) and, if so, the name, physical location, description, and principal product or activity of each worksite.
(3) Whether the establishment is primarily engaged in performing auxiliary services for other units of the company and, if so, the activity of the auxiliary unit. Auxiliary units are defined as establishments primarily engaged in performing management or support services for other establishments of the same enterprise. Auxiliary units are recognized as special types of establishments. Some examples of activities commonly performed by auxiliary units are: management and other general administrative functions; research, development and testing; and warehousing.
(4) Whether the majority of workers in the establishment are covered by collective-bargaining agreements.
(5) Such other information as the director may require. The reporting forms provided by the director to the reporting employer may require additional information depending upon the type of reporting employer.
(c) Delinquent or Deficient Reports. If any reporting employer fails to submit to the department any annual report within the time required, or if the department is not satisfied with any annual report submitted by a reporting employer under any of such sections, the department shall contact the employer and may demand by written notice that an annual report be submitted or that the deficiency in an annual report submitted shall be corrected by the reporting employer. Within 30 days after the date of the mailing of such written notice, the reporting employer shall submit the annual report or corrected annual report to the department.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 320.5, Unemployment Insurance Code.
HISTORY

1. Amendment and renumbering of Section 320.5.-21 to 320.5-2 filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36). For prior history, see Register 74, No. 6.
2. Amendment filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§320.5-3. Contract Construction--Intrastate Activities-- Reporting Employer's Monthly Report on Employment, Payroll, and Hours.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-4. Contract Construction--Multistate Activities-- Monthly Report on Employment, Payroll, and Hours.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-5. Manufacturing--Reporting Employer's Monthly Report on Employment, Payroll, and Hours.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-6. Transportation, Communication, and Public Utilities--Reporting Employer's Monthly Report on Employment, Payroll, and Hours.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-7. Telephone--Reporting Employer's Monthly Report on Employment, Payroll, and Hours.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-8. Trade--Reporting Employer's Monthly Report on Employment, Payroll, and Hours.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-9. Finance, Insurance, and Real Estate--Reporting Employer's Monthly Report on Employment, Payroll, and Hours.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-10. Services--Reporting Employer's Monthly Report on Employment, Payroll, and Hours.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-11. State and Local Government (Except Schools)--Reporting Employer's Monthly Report on Employment, Payroll, and Hours.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-12. Education (Private and Government)--Reporting Employer's Monthly Report on Employment, Payroll, and Hours.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-13. Federal--Monthly Report on Government Employment and Payrolls--Department of Defense.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-14. Federal--Monthly Report on Government Employment and Payrolls--Federal Agencies Generally.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-21. Industrial Classification--Employer's Annual Statement of Activities or Products--General.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74, effective thirtieth day thereafter (Register 74, No. 6).
2. Amendment and renumbering of Section 320.5-21 to 320.5-2 filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-22. Industrial Classification--Employer's Annual Statement of Products--Mining Industry.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-23. Industrial Classification--Employer's Annual Statement of Activities --Contract Construction --Intrastate Activities.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-24. Industrial Classification--Employer's Annual Statement of Products--Manufacturing Industry.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-25. Industrial Classification--Employer's Annual Statement of Activities--Transportation, Communication, and Public Utilities.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-26. Industrial Classification--Employer's Annual Statement of Activities--Trade Industry.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-27. Industrial Classification--Employer's Annual Statement of Activities--Finance, Insurance, and Real Estate Industry.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§320.5-28. Industrial Classification--Employer's Annual Statement of Activities--Services Industry.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 320.5 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§322-1. Disclosure of Information.
History

HISTORY

1. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
Article 3. California Unemployment Insurance Appeals Board

(No regulations adopted by the Director, but see rules of the
California Unemployment Insurance Appeals Board,
Subdivision 2 of this Division)
Article 4. Interstate and Federal Cooperation
§454(a)-1. Interstate Reciprocal Coverage Arrangement.
Note     •     History

Sections 454(a)-1 through 454(a)-6 of these regulations shall govern the department in its cooperation with other states in the administration of the Interstate Reciprocal Coverage Arrangement. The purpose of the Interstate Coverage Reciprocal Arrangement is to provide for coverage under the unemployment compensation law of one state of services performed by an individual for a single employing unit for whom such services are customarily performed by such individual in more than one jurisdiction, to the end that duplication of contributions with respect to the same services be avoided and continuity of coverage of services customarily performed in more than one jurisdiction be assured.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
2. Amendment of NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-2. Definitions.
Note     •     History

As used in Sections 454(a)-1 through 454(a)-6 of these regulations unless the context clearly indicates otherwise:
(a) “Interstate Reciprocal Coverage Arrangement” and “the Arrangement” mean the arrangement approved by the Interstate Conference of Employment Security Agencies to provide for coverage under the unemployment compensation law of one state of services performed by an individual for a single employing unit for whom such services are customarily performed by such individual in more than one jurisdiction, to the end that duplication of contributions with respect to the same services be avoided and continuity of coverage of services customarily performed in more than one jurisdiction be assured.
(b) “Jurisdiction” means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and, with respect to the Federal Government, the coverage of any Federal unemployment insurance law.
(c) “Participating jurisdiction” means a jurisdiction whose administrative agency has subscribed to the Arrangement and whose adherence thereto has not terminated.
(d) “Agency” means any officer, board, commission, or other authority charged with the administration of the unemployment compensation law of a participating jurisdiction.
(e) “Interested jurisdiction” means any participating jurisdiction to which an election submitted under Sections 454(a)-1 through 454(a)-6 of these regulations is sent for its approval; and “interested agency” means the agency of such jurisdiction.
(f) “Services customarily performed by an individual in more than one jurisdiction” means services performed in more than one jurisdiction during a reasonable period, if the nature of the services gives reasonable assurance that they will continue to be performed in more than one jurisdiction or if such services are required or are expected to be performed in more than one jurisdiction under the election. “Services customarily performed by an individual in more than one jurisdiction” does not include services which are localized in California or in any other state under the definition provided by Section 603 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New sections 454(a)-2 through 454(a)-6 filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
2. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-3. Submittal and Approval of Coverage Elections Under the Arrangement.
Note     •     History

(a) Any employing unit may file an election to cover under the laws of a single participating jurisdiction all of the services performed for him by an individual who customarily works for him in more than one participating jurisdiction. Such an election may be filed, with respect to an individual, with any participating jurisdiction in which any of the following applies:
(1) Any part of the individual's services are performed.
(2) The individual has his residence.
(3) The employing unit maintains a place of business to which the individual's services bear a reasonable relation.
(b) The agency of the elected jurisdiction, thus selected and determined, shall initially approve or disapprove the election. If such agency approves the election, it shall forward a copy thereof to the agency of each other participating jurisdiction specified thereon, under whose unemployment compensation law the individual or individuals in question might, in the absence of such election, be covered. Each such interested agency shall approve or disapprove the election, as promptly as practicable; and shall notify the agency of the elected jurisdiction accordingly. The California Employment Development Department shall, and in case its law so requires any such interested agency may, before taking such action, require from the electing employing unit satisfactory evidence that the affected employees have been notified of, and have acquiesced in, the election. The California Employment Development Department shall require that such evidence of employee acquiescence shall be retained in the employer's files during the period the election is in effect.
(c) If the agency of the elected jurisdiction, or the agency of any interested jurisdiction, disapproves the election, the disapproving agency shall notify the elected jurisdiction and the electing employing unit of its action and of its reasons therefore.
(d) Such an election shall take effect as to the elected jurisdiction only if approved by its agency and by one or more interested agencies.
(e) An election thus approved shall take effect, as to any interested agency, only if it is approved by such agency.
(f) In case any such election is approved only in part, or disapproved by some of such agencies, the electing employing unit may withdraw its election within ten days after being notified of such action.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. Amendment of subsection (b) filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Amendment of NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-4. Effective Period of Election.
Note     •     History

(a) Commencement. An election duly approved under Sections 454(a)-1 through 454(a)-6 of these regulations shall become effective at the beginning of the calendar quarter in which the election was submitted, unless the election, as approved, specifies the beginning of a different calendar quarter. If the electing unit requests an earlier effective date than the beginning of the calendar quarter in which the election is submitted, such earlier date may be approved solely as to those interested jurisdictions in which the employer had no liability to pay contributions for the earlier period in question.
(b) Termination.
(1) The application of an election to any individual under Sections 454(a)-1 through 454(a)-6 of these regulations shall terminate if the agency of the elected jurisdiction finds that the nature of the services customarily performed by the individual for the electing unit has changed, so that they are no longer customarily performed in more than one participating jurisdiction. Such termination shall be effective as of the close of the calendar quarter in which notice of such findings is mailed to all parties affected.
(2) Except as provided in paragraph (1) of this subdivision, each election approved hereunder shall remain in effect through the close of the calendar year in which it is submitted, and thereafter until the close of the calendar quarter in which the electing unit gives written notice of its termination to all affected agencies.
(3) Whenever an election under Sections 454(a)-1 through 454(a)-6 of these regulations ceases to apply to any individual under paragraph (1) or (2) of this subdivision, the electing unit shall notify the affected individual or individuals.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-5. Reports and Notices by the Electing Unit.
Note     •     History

(a) The electing unit shall promptly notify each individual affected by its approved election, on forms supplied by the elected jurisdiction, and shall furnish the elected agency a copy of such notice.
(b) Whenever an individual covered by an election under Sections 454(a)-1 through 454(a)-6 of these regulations is separated from his employment, the electing unit shall notify him immediately as to the jurisdiction under whose unemployment compensation law his services have been covered. If at the time of termination the individual is not located in the elected jurisdiction, the electing unit shall notify him as to the procedure for filing interstate benefit claims.
(c) The electing unit shall immediately report to the elected jurisdiction any change which occurs in the conditions of employment pertinent to its election, such as cases where an individual's services for the employer cease to be customarily performed in more than one participating jurisdiction, or where a change in the work assigned to the individual requires him to perform services in a new participating jurisdiction.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-6. Termination of the Arrangement.
Note     •     History

Any subscribing state agency may cease to participate in the Arrangement by filing notice of its intention with the Interstate Benefit Payments Committee of the Interstate Conference of Employment Security Agencies and its participation shall cease at the close of the next calendar quarter, which starts after the date of filing such notice.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-11. Interagency Reciprocal Agreement Covering Multi-State Employment (New Jersey).
Note     •     History

Sections 454(a)-11 through 454(a)-16 of these regulations shall govern the department in its cooperation with the State of New Jersey in the administration of the Interagency Reciprocal Agreement Covering Multi-state Employment. The Interagency Reciprocal Agreement Covering Multi-state Employment is a reciprocal agreement between the California Employment Development Department and the Commission of Labor and Industry of the State of New Jersey for the purpose of having services customarily performed by an employee in two or more states for a single employer or employing unit covered in one state in which part of the service is performed, or in which the employee has his residence, or in which the employer or employing unit maintains a place of business. No provision of the Interagency Reciprocal Agreement Covering Multi-state Employment that conflicts with the Interstate Reciprocal Coverage Arrangement under Sections 454(a)-1 through 454(a)-6 of these regulations shall be applicable in governing the cooperation of the State of California with the participating states in the Interstate Reciprocal Coverage Arrangement and in the event of any such conflict the provisions of the Interstate Reciprocal Coverage Agreement and of Sections 454(a)-1 through 454(a)-6 of these regulations shall prevail.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New sections 454(a)-11 through 454(a)-16 filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
2. Amendment filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
3. Amendment of NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-12. Definitions.
Note     •     History

As used in Sections 454(a)-11 through 454(a)-16 of these regulations unless the context clearly indicates otherwise:
(a) “State” means the States of New Jersey, California, and any state of the United States of America that is signatory to the Interagency Agreement.
(b) “Interagency Reciprocal Agreement Covering Multi-state Employment” and “Interagency Agreement” means the interstate reciprocal agreement between the States of New Jersey and California for the purpose of having services customarily performed by an employee in two or more states for a single employer or employing unit covered in one state in which part of the service is performed, or in which the employee has his residence, or in which the employer or employing unit maintains a place of business.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-13. Election to Cover Multi-State Employment (Interagency Agreement).
Note     •     History

(a) Services customarily performed in the course of a calendar year by an individual for an employer or employing unit in each of the States of New Jersey and California shall be covered in their entirety by one of the states if:
(1) The services performed in the two states constitute the entire services performed in the course of a calendar year by the employee for the employer or employing unit.
(2) An election has been duly executed by both the employer or employing unit and the employee to have the services covered in their entirety by one of the states.
(b) (1) Services customarily performed in the course of a calendar year by an individual for an employer or employing unit in each of the States of New Jersey and California and in another state or states shall be covered in any state which:
(A) Any part of the service is performed.
(B) The employee has his residence.
(C) The employer or employing unit maintains a place of business.
(2) This subdivision shall apply only if all of the following conditions exist:
(A) The services performed as described in this subdivision in the several states constitute the entire services performed in the course of a calendar year by the employee for the employer or employing unit.
(B) An election has been duly executed by both the employer or employing unit and the employee to have the services covered in their entirety by one of the states involved.
(C) A reciprocal arrangement exists between the signatory agencies and the agency or agencies of the other state or states involved.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-14. Approval, Commencement and Termination of Election.
Note     •     History

(a) An election under Section 454(a)-13 of these regulations shall not become effective until approved by the administrative agency of each state involved.
(b) The application of an election to any individual under Sections 454(a)-11 to 454(a)-16 shall be terminated by the state of coverage if it finds that the nature of services performed by the individual for the electing unit has changed. Termination of an election shall be effective at the close of the calendar quarter in which the electing unit is given written notice of the termination.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-15. State of Coverage and Effect of Election.
Note     •     History

(a) The state of coverage shall be the state agreed upon and chosen by the employer or employing unit and the employee.
(b) The rights, liabilities, and obligations of both employer or employing unit and employee as to services under the election shall be determined by the state of coverage.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(a)-16. Termination of Interagency Agreement.
Note     •     History

Either participating agency may terminate the Interagency Agreement by giving notice to the other in writing to that effect. The termination shall become operative and effective at the close of the calendar quarter following the notice.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(b)-1. Interstate Maritime Reciprocal Arrangement.
Note     •     History

Sections 454(b)-1 through 454(b)-8 of these regulations shall govern the department in its cooperation with other states in the administration of the Interstate Maritime Reciprocal Arrangement. The unemployment compensation laws of some of the participating jurisdictions in the Interstate Maritime Reciprocal Arrangement provide for the coverage of maritime service on a compulsory basis while the laws of other participating jurisdictions permit the coverage of such services on a voluntary basis. The purpose of the Interstate Maritime Reciprocal Arrangement is to coordinate and integrate the coverage of maritime service between the jurisdictions so that the coverage of persons engaged in maritime services shall be as extensive as possible, and so that duplication of contributions with respect to such services be avoided and continuity of coverage of services of individuals engaged in maritime service be assured.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New sections 454(b)-1 through 454(b)-8 filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
2. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(b)-2. Definitions.
Note     •     History

As used in Sections 454(b)-1 through 454(b)-8 of these regulations, unless the context clearly requires otherwise:
(a) “The Interstate Maritime Reciprocal Arrangement” and the “Arrangement” means the plan approved by the Interstate Conference of Employment Security Agencies under which coverage of maritime services is coordinated and integrated as between the jurisdictions, duplication of contributions with respect to maritime services is avoided, and continuity of coverage of services of individuals engaged in maritime service is assured.
(b) “Jurisdiction” means any State of the United States, the District of Columbia, and the Commonwealth of Puerto Rico.
(c) “Participating jurisdiction” means a jurisdiction which has subscribed to the Arrangement and has not terminated its adherence thereto in accordance with the provisions thereof.
(d) “Agency” means any officer, board, commission, or other authority charged with the administration of the unemployment compensation law of a participating jurisdiction.
(e) “American vessel” means any vessel documented or numbered under the laws of the United States, and includes any vessel which is neither documented nor numbered under the laws of the United States nor documented under the laws of any foreign country, if its crew is employed solely by one or more citizens or residents of the United States or corporations organized under the laws of the United States or of any state.
(f) “Maritime service” means service rendered on or in connection with any American vessel engaged in interstate or foreign operations by an officer or member of its crew entirely performed within the United States, or performed under a contract of service which is entered into within the United States or during the performance of which the vessel touches at a port in the United States, if the employee is employed on and in connection with such vessel when outside the United States, except services performed by any person on vessels in the categories set forth below:
(1) Vessels plying and operating wholly within the territorial limits of a single jurisdiction.
(2) Vessels which enter or traverse waters outside the territorial limits of a single jurisdiction only as an incident to navigation within such jurisdiction.
(3) Vessels which do not provide full subsistence facilities, include sleeping quarters for the entire crew and which traverse or travel on waters both within and without a single jurisdiction provided they dock nightly or regularly at docks or piers of such single jurisdiction.
(4) Fishing vessels starting from and returning to a port within a single jurisdiction without touching ports of another jurisdiction or touching such ports solely to dispose of catch or for emergency purposes.
(5) Yachts not used for commercial purposes.
(g) “Jurisdiction of coverage” with respect to a vessel operated by an employing unit means that participating jurisdiction in regard to which it is determined, in accordance with the provisions of the Arrangement, that maritime services rendered on or in connection with such vessel by persons for such employing unit is deemed performed entirely within such participating jurisdiction.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(b)-5. Notification of Change of Jurisdiction.
Note     •     History

(a) Each employing unit shall notify the agency of each participating jurisdiction of the names of those of its vessels regarding services on which, in its opinion, such participating jurisdiction has become the jurisdiction of coverage under the Arrangement. The agency of each such jurisdiction shall make a proper investigation in order to ascertain whether it has been correctly designated as the jurisdiction of coverage and shall give prompt notice of its findings to the agencies of all other participating jurisdictions. If it finds that the designation was correct and if none of the agencies of the other jurisdictions takes exceptions thereto within 20 days after notice, such agency shall give final notice of its findings to the employing unit and to the agencies of all other jurisdictions.
(b) If the agency of any participating jurisdiction raises objections against such findings within the specified time, or if the agency of that jurisdiction which was designated by the employing unit as the jurisdiction of coverage holds that such designation was erroneous, an Umpire shall be selected by the agencies of the jurisdictions involved who shall ascertain the facts and establish the identity of the jurisdiction of coverage.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(b)-6. Election of Coverage.
Note     •     History

(a) If the unemployment compensation law of any participating jurisdiction excludes maritime service from compulsory coverage but allows voluntary coverage thereof by election, the agency of such jurisdiction will cooperate by approving any election filed with it for this purpose by an employing unit in the event that such jurisdiction would be a jurisdiction of coverage under the Arrangement. The agency of any participating jurisdiction shall refrain from approving any such election in the event that it would not be a jurisdiction of coverage under the Arrangement.
(b) The provisions of the Arrangement shall not apply to maritime service performed for any employing unit to the extent that it would not be liable for contributions under the unemployment compensation law of a jurisdiction of coverage by not employing the required number of individuals, including those in maritime service, rendering it liable therefor under the provisions of such law, unless an application by such employing unit for voluntary coverage has been approved by the agency of such jurisdiction.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(b)-7. Effective Date of the Arrangement.
Note     •     History

(a) The terms of the Arrangement shall apply to employing units beginning with the date on which liability in regard to maritime service commences under the Federal Unemployment Tax Act to the extent that the jurisdiction or jurisdictions of coverage subscribed to the Arrangement before or during the year in which such liability commences.
(b) The terms of the Arrangement shall apply beginning with the first day of the calendar year in which a jurisdiction subscribes to the Arrangement to the extent that such subscription occurred in a calendar year beginning after such liability commenced.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§454(b)-8. Termination of Participation in the Arrangement.
Note     •     History

The department shall indicate the termination of its subscription to the Arrangement by filing with the Chairman of the Subcommittee on Maritime Coverage of the Interstate Conference of Employment Security Agencies 90 days prior to the effective date of such termination, its duly adopted termination of such subscription.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455-1. Interstate Benefit Payment Plan.
Note     •     History

Sections 455-1 through 455-9 of these regulations shall govern the department in its administrative cooperation with other states adopting a similar regulation for the payment of benefits to interstate claimants under the Interstate Benefit Payment Plan. The purpose of the Interstate Benefit Payment Plan is to establish a method for the payment of unemployment compensation benefits to those unemployed individuals who have earned uncharged wage credits or who have accumulated uncharged credit weeks under the unemployment compensation laws of one or more states and who otherwise might be deprived of benefits because of their absence from a state (or states) in which their benefit credits had been accumulated.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 454, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
2. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455-2. Definitions (Interstate).
Note     •     History

As used in Sections 455-1 through 455-8 of these regulations, unless the context clearly requires otherwise:
(a) “Interstate benefit payment plan” means the plan approved by the Interstate Conference of Employment Security Agencies under which benefits shall be payable to unemployed individuals absent from the state (or states) in which benefit credits have been accumulated.
(b) “Interstate claimant” means an individual who claims benefits under the unemployment insurance law of one or more liable states through the facilities of an agent state. The term “interstate claimant” shall not include any individual who customarily commutes from a residence in an agent state to work in a liable state unless the department finds that this exclusion would create undue hardship on such claimants in specified areas.
(c) “State” includes the States of the United States of America, the District of Columbia, the Commonwealth of Puerto Rico, and the Virgin Islands.
(d) “Agent state” means any state in which an individual files a claim for benefits from another state.
(e) “Liable state” means any state against which an individual files, through another state, a claim for benefits.
(f) “Benefits” means the compensation payable to an individual, with respect to his or her unemployment, under the unemployment insurance law of the liable state.
(g) “Week of unemployment” includes any week of unemployment as defined in the law of the liable state from which benefits with respect to such week are claimed.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Amendment of subsections (c) and (f) filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-3. Registration for Work (Interstate).
Note     •     History

(a) Each interstate claimant shall be registered for work through any public office in the agent state when and as required by the law, regulations, and procedures of the agent state. Such registration shall be accepted as meeting the registration requirements of the liable state.
(b) Each agent state shall duly report to the liable state in question whether each interstate claimant meets the registration requirements of the agent state.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455-4. Benefit Rights of Interstate Claimants.
Note     •     History

(a) If a claimant files a claim against any state, and it is determined by such state that the claimant has available benefit credits in such state, then claims shall be filed only against such state as long as benefit credits are available in that state. Thereafter the claimant may file claims against any other state in which there are available benefit credits. For the purposes of Sections 455-1 through 455-8 of these regulations benefit credits shall be deemed to be unavailable whenever benefits have been exhausted, terminated, or postponed for an indefinite period or for the entire period in which benefits would otherwise be payable, or whenever benefits are affected by the application of a seasonal restriction.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455-5. Claim for Benefits (Interstate).
Note     •     History

(a) Claims for benefits or waiting period shall be filed by interstate claimants on uniform interstate claim forms and in accordance with uniform procedures as may be required. Claims shall be filed in accordance with the type of week in use in the agent state. Any adjustments required to fit the type of week used by the liable state shall be made by the liable state on the basis of consecutive claims filed.
(b) Claims shall be filed in accordance with agent state regulations for intrastate claims in local employment offices, or at an itinerant point or by mail.
(c) The liable state shall accept any claim which is filed within the time limit applicable to such claims under the law of the agent state.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455-6. Determination of Claims (Interstate).
Note     •     History

(a) The agent state shall, in connection with each claim filed by an interstate claimant, ascertain and report to the liable state such facts relating to the claimant's availability for work and eligibility for benefits as are readily determinable in and by the agent state.
(b) The agent state's responsibility and authority in connection with a determination of interstate claims shall be limited to investigation and report of relevant facts. The agent state shall not refuse to take an interstate claim.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455-7. Appellate Procedure (Interstate).
Note     •     History

(a) The agent state shall afford all reasonable cooperation in the taking of evidence and the holding of hearings in connection with appealed interstate benefit claims.
(b) An appeal made by an interstate claimant shall be deemed to have been made and communicated to the liable state on the date when it is received by any qualified officer of the agent state.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455-8. Extension of Interstate Benefit Payments to Include Claims Taken in and for Canada.
Note     •     History

Sections 455-1 through 455-7 of these regulations shall apply in all their provisions to claims taken in and for Canada.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455-9. Termination.
Note     •     History

Any subscribing state agency may cease to participate in the Interstate Benefit Payment Plan by filing notice of its intention with the Chairman of the Interstate Benefit Payments Committee of the Interstate Conference of Employment Security Agencies. In such event, its participation shall cease at the expiration of six months from the date of filing such notice.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
2. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455-21. Interstate Plan for Combining Wages (Basic). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code
HISTORY

1. New sections 455-21 through 455-34 filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
2. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-22. Definitions (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-23. Filing of Claims (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-24. Liability for Payment of Benefits (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-25. Determination of Claims (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-26. Reports (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-27. Reimbursement of Paying State (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-28. Exception to Combining Wages (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-29. Effect of Eligibility in Paying State (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-30. Termination of Combining Wages (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-31. Relation to Interstate Benefit Payment Procedures. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-32. Termination of the Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-33. Employer Submission of Wage and Employment Information (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-34. Benefit Charges Under the Interstate Plan for Combining Wages (Basic). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-41. Extended Interstate Plan for Combining Wages. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 69, No. 52.
§455-42. Definitions (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-43. Filing Combined-Wage Claims (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-44. Payment of Benefits (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-45. Claimant's Election to Combine Wages (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-46. Determination of Combined-Wage Claims (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-47. Reports (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-48. Reimbursement of Paying State (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-49. Exception to Combining Wages (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-50. Termination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-51. Employer Submission of Wage and Employment Information (Extended Plan). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-52. Benefit Charges Under the Extended Plan (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-61. Consolidated Interstate Plan for Combining Wages. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 70, No. 4.
§455-62. Relation to Other Interstate Plans for Combining Wages. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-63. Definitions (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-64. Filing Consolidated Combined-Wage Claims (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-65. Payments of Benefits (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-66. Determination of Claims (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-67. Reports (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-68. Reimbursement of Paying State (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-69. Exception to Combining Wages (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-70. Termination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§455-71. Employer Submission of Wage and Employment Information (Consolidated Plan). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 70, No. 4.
§455-72. Benefit Charges Under the Consolidated Plan (Interstate). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 72, No. 24.
§455.5-1. Interstate Arrangement for Combining Employment and Wages--Purpose.
Note     •     History

Sections 455.5-1 through 455.5-13 of these regulations shall govern the department in its administrative cooperation with other states in the administration of the Interstate Arrangement for Combining Employment and Wages. The Interstate Arrangement for Combining Employment and Wages is approved by the Secretary under Section 3304(a)(9)(B) of the Federal Unemployment Tax Act to establish a system whereby an unemployed worker with covered employment or wages in more than one state may combine all such employment and wages in one state, in order to qualify for benefits or to receive more benefits.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, Unemployment Insurance Code.
HISTORY

1. New sections 455.5-1-455.5-13 filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Amendment of NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 31).
§455.5-2. Consultation with the State Agencies.
Note     •     History

As required by Section 3304(a)(9)(B) of the Federal Unemployment Tax Act, this arrangement has been developed in consultation with the state unemployment compensation agencies. For purposes of such consultation in its formulation and any future amendment the Secretary recognizes, as agents of the state agencies, the duly designated representatives of the Interstate Conference of Employment Security Agencies.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, Unemployment Insurance Code.
HISTORY

1. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455.5-3. Interstate Cooperation.
Note     •     History

Each state will cooperate with every other state by implementing such rules, regulations and procedures as may be prescribed for the operation of this arrangement. Each state agency shall identify the paying and the transferring state with respect to combined-wage claims filed in its state.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455.5-4. Rules, Regulations, Procedures, Forms, Resolution of Disagreements.
Note     •     History

All states shall operate in accordance with such rules, regulations and procedures, and shall use such forms, as shall be prescribed by the Secretary in consultation with the state unemployment compensation agencies. All rules, regulations and standards prescribed by the Secretary with respect to intrastate claims will apply to claims filed under this arrangement unless they are clearly inconsistent with the arrangement. The Secretary shall resolve any disagreement between states concerning the operation of the arrangement, with the advice of the duly designated representatives of the state unemployment compensation agencies.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, Unemployment Insurance Code.
HISTORY

1. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455.5-5. Effective Date (Interstate Arrangement). [Repealed]
History

HISTORY

1. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455.5-6. Definitions.
Note     •     History

As used in Sections 455.5-1 through 455.5-13 of these regulations and for the purpose of this arrangement and the procedures issued to effectuate it:
(a) “State” includes the States of the United States of America, the District of Columbia, and the Commonwealth of Puerto Rico, and includes the Virgin Islands.
(b) “State agency” means the agency which administers the unemployment compensation law of a state.
(c) “Combined-wage claim” means a claim filed under this arrangement.
(d) “Combined-wage claimant” means a claimant who has covered wages under the unemployment compensation law of more than one state and who has filed a claim under this arrangement.
(e) “Arrangement” and “Interstate Arrangement” means the Interstate Arrangement for Combining Employment and Wages described in Section 455.5-1 of these regulations.
(f) “Paying state” means a single State against which the claimant files a combined-wage claim, if the claimant has wages and employment in that State's base period(s) and the claimant qualifies for unemployment benefits under the unemployment compensation law of that State using combined wages and employment.
(g) “Transferring state” means a state in which a combined-wage claimant had covered employment and wages in the base period of a paying state, and which transfers such employment and wages to the paying state for its use in determining the benefit rights of such claimant under its law.
(h) “Employment” means all services which are covered under the unemployment compensation law of a state, whether expressed in terms of weeks of work or otherwise.
(i) “Wages” means all remuneration for “employment” as defined by subdivision (h) of this section.
(j) “Secretary” means the Secretary of Labor of the United States.
(k) “Base period” and “benefit year” means the base period and benefit year applicable under the unemployment compensation law of the paying state.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, Unemployment Insurance Code.
HISTORY

1. Amendment of subsections (a) and (f) filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
2. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
3. Amendment of subsections (a) and (f) and repealer of subsections (f)(1)-(2) filed 1-21-2010; operative 2-20-2010 (Register 2010, No. 4).
§455.5-7. Election to File a Combined-Wage Claim.
Note     •     History

(a) Any unemployed individual who has had employment covered under the unemployment compensation law of two or more “states,” whether or not he or she is monetarily qualified under one or more of them, may elect to file a combined-wage claim. He or she may not so elect, however, if he or she has established a benefit year under any state or federal unemployment compensation law and:
(1) His or her benefit year has not ended; and
(2) He or she still has unused benefit rights based on such benefit year.
(b) For the purposes of this arrangement, a claimant shall not be considered to have unused benefit rights based on a benefit year which he or she has established under a state or federal unemployment compensation law if:
(1) He or she has exhausted his rights to all benefits based on such benefit year; or
(2) His or her rights to such benefits have been postponed for an indefinite period or for the entire period in which benefits would otherwise be payable; or
(3) Benefits are affected by the application of a seasonal restriction.
(c) If an individual elects to file a combined-wage claim, all employment and wages in all states in which he or she worked during the base period of the paying state must be included in such combining, except employment and wages which are not transferable under subdivision (b) of Section 455.5-9 of these regulations.
(d) Such a potential combined-wage claimant may withdraw his or her combined-wage claim within the period prescribed by the law of the paying state for filing an appeal, protest, or request for redetermination (as the case may be) from the monetary determination of the combined-wage claim, if he or she either:
(1) Repays in full any benefits paid to him or her thereunder; or
(2) Authorizes each state against which he or she files a substitute claim for benefits to withhold and forward to the paying state a sum sufficient to repay such benefits.
(e) If the combined-wage claimant files his or her claim in a state other than the paying state, he or she shall do so pursuant to the Interstate Benefit Payment Plan. (See Sections 455-1 through 455-9 of these regulations.)
(f) If a State denies a combined-wage claim, it must inform the claimant of the option to file in another State in which the claimant has wages and employment during that State's base period(s).
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, of the Unemployment Insurance Code.
HISTORY

1. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
2. Amendment filed 1-21-2010; operative 2-20-2010 (Register 2010, No. 4).
§455.5-8. Responsibilities of the Paying State--Transfer of Employment and Wages--Payment of Benefits.
Note     •     History

(a) The paying state shall request the transfer of a combined-wage claimant's employment and wages in all states during its base period, and shall determine his or her entitlement to benefits (including additional benefits, extended benefits and dependents' allowances when applicable) under the provisions of its law based on employment and wages in the paying state and all such employment and wages transferred to it hereunder. The paying state shall apply all the provisions of its law to each determination made hereunder, except that the paying state may not determine an issue which has previously been adjudicated by a transferring state. Such exception shall not apply, however, if the transferring state's determination of the issue resulted in making the combined-wage claim possible under paragraph (2) of subdivision (b) of Section 455.5-7 of these regulations. If the paying state fails to establish a benefit year for the combined-wage claimant, or if he or she withdraws his or her claim as provided herein, it shall return to each transferring state all employment and wages.
(b) Notices of Determination. The paying state shall give to the claimant a notice of each of its determinations on his or her combined-wage claim that he or she is required to receive under the Secretary's Claim Determinations Standard and the contents of such notice shall meet such Standard. When the claimant is filing his or her combined-wage claims in a state other than the paying state, the paying state shall send a copy of each such notice to the local office in which the claimant filed such claims.
(c) Redeterminations.
(1) Redeterminations may be made by the paying state in accordance with its law based on additional or corrected information received from any source, including a transferring state, except that such information shall not be used as a basis for changing the paying state if benefits have been paid under the combined-wage claim.
(2) When a determination is made, as provided in paragraph (a) of this section, which suspends the use of wages earned in employment with an educational institution during a prescribed period between successive academic years or terms or other periods as prescribed in the law of the paying state in accordance with Section 3304(a)(6)(A)(i)-(iv) of the Internal Revenue Code of 1954, the paying state shall furnish each transferring state involved in the combined-wage claim an adjusted determination used to recompute each state's proportionate share of any charges that may accumulate for benefits paid during the period of suspended use of school wages. Wages which are suspended shall be retained by the paying state for possible future reinstatement to the combined-wage claim and shall not be returned to the transferring state.
(d) Appeals.
(1) Except as provided in paragraph (3) of this subdivision, where the claimant files his or her combined-wage claim in the paying state, any protest, request for redetermination or appeal shall be in accordance with the law of such state.
(2) Where the claimant files his or her combined-wage claim in a state other than the paying state, or under the circumstances described in paragraph (3) of this subdivision, any protest, request for determination or appeal shall be in accordance with the Interstate Benefit Payment Plan. (See Sections 455-1 through 455-9 of these regulations.)
(3) To the extent that any protest, request for redetermination or appeal involves a dispute as to the coverage of the employing unit or services in a transferring state, or otherwise involves the amount of employment and wages subject to transfer, the protest, request for redetermination or appeal shall be decided by the transferring state in accordance with its law.
(e) Recovery of Prior Overpayments. If there is an overpayment outstanding in a transferring state and such transferring state so requests, the overpayment shall be deducted from any benefits the paying state would otherwise pay to the claimant on his or her combined-wage claim except to the extent prohibited by the law of the paying state. The paying state shall transmit the amount deducted to the transferring state or credit the deduction against the transferring state's required reimbursement under this arrangement. This subdivision shall apply to overpayments only if the transferring state certifies to the paying state that the determination of overpayment was made within three years before the combined-wage claim was filed and that repayment by the claimant is legally required and enforceable against him or her under the law of the transferring state.
(f) Statement of Benefit Charges.
(1) At the close of each calendar quarter, the paying state shall send each transferring state a statement of benefits charged during such quarter to such state as to each combined-wage claimant.
(2) Except as provided in paragraphs (c)(2), (f)(3), and (f)(5) of this regulation, each such charge shall bear the same ratio to the total benefits paid to the combined-wage claimant by the paying state as his or her wages transferred by the transferring state bear to the total wages used in such determination. Each such ratio shall be computed as a percentage, to three or more decimal places.
(3) Charges to the transferring state shall not include the costs of any benefits paid which are funded or reimbursed from the Federal Unemployment Benefits and Allowances account in the U.S. Department of Labor appropriation, including:
(A) Benefits paid pursuant to 5 U.S.C. 8501-8525; and
(B) Benefits which are reimbursable under Part B of Title II of the Emergency Jobs and Unemployment Assistance Act of 1974 (Pub.L. 93-567).
(4) With respect to benefits paid after December 31, 1978, except as provided in paragraphs (3) and (5) of this subdivision, all transferring states will be charged by the paying state for extended benefits in the same manner as for regular benefits.
(5) With respect to new claims established a benefit year effective on and after July 1, 1977, the United States shall be charged directly by the paying state, in the same manner as is provided in paragraphs (1) and (2) of this subdivision, in regard to federal civilian service and wages and federal military service and wages assigned or transferred to the paying state and included in combined-wage claims in accordance with Parts 609, 614, and 616 of Chapter V of Title 20 of the Code of Federal Regulations. With respect to new claims effective before July 1, 1977, prior law shall apply.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
2. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
3. Amendment of subsection (a) filed 1-21-2010; operative 2-20-2010 (Register 2010, No. 4).
§455.5-9. Responsibilities of Transferring States (Interstate).
Note     •     History

(a) Transfer of Employment and Wages. Each transferring state shall promptly transfer to the paying state the employment and wages the combined-wage claimant had in covered employment during the base period of the paying state. Any employment and wages so transferred shall be transferred without restriction as to their use for determination and benefit payments under the provisions of the paying state's law.
(b) Employment and Wages Not Transferable. Employment and wages transferred to the paying state by a transferring state shall not include:
(1) Any employment and wages which have been transferred to any other paying state and not returned unused, or which have been used in the transferring state as the basis of a monetary determination which established a benefit year.
(2) Any employment and wages which have been canceled or are otherwise unavailable to the claimant as a result of a determination by the transferring state made prior to its receipt of the request for transfer, if such determination has become final or is in the process of appeal but is still pending. If the appeal is finally decided in favor of the combined-wage claimant, any employment and wages involved in the appeal shall forthwith be transferred to the paying state and any necessary redetermination shall be made by such paying state.
(c) Reimbursement of Paying State. Each transferring state shall, as soon as practicable after receipt of a quarterly statement of charges described herein, reimburse the paying state accordingly.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, Unemployment Insurance Code.
HISTORY

1. Amendment filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455.5-10. Reuse of Employment and Wages (Interstate).
Note     •     History

Employment and wages which have been used under this arrangement for a determination of benefits which establishes a benefit year shall not thereafter be used by any state as the basis for another monetary determination of benefits.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455.5-11. Amendment of Interstate Arrangement. [Repealed]
History

HISTORY

1. Repealer filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
§455.5-12. Employer Submission of Employment and Wage Information (Interstate Arrangement). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§455.5-13. Benefit Charges Under the Interstate Arrangement.
Note     •     History

(a) The department shall charge benefits paid pursuant to a combined-wage claim under the Interstate Arrangement for Combining Employment and Wages in the following manner:
(1) Whenever California is not the paying state and has transferred employment or wages to another state which are used for the payment of benefits for which California is liable, benefits paid to an unemployed individual based upon such transferred employment or wages paid to the individual by an employer covered in California shall be charged against the reserve account of the employer or shall be reimbursed to the Unemployment Fund by the employer if the employer is covered in California on an additional cost of benefits or a cost of benefits paid and charged basis, but if transferred employment or wages were paid to the individual by more than one employer covered in California such benefits paid shall be charged to the respective reserve accounts of such employers covered in California or be reimbursed by such employers covered in California on an additional cost of benefits or a cost of benefits paid and charged basis in the proportion that the total of such transferred employment or wages paid to the individual by each such employer covered in California bears to the total transferred employment or wages paid to the individual by all employers covered in California. Employers covered in California shall be entitled to rulings in accordance with the California Unemployment Insurance Code.
(2) Whenever California is the paying state, the provisions of the California Unemployment Insurance Code shall apply to the disposition of charges and liability for benefits paid that are not reimbursable by another state.
(b) Except as modified by this section, the provisions of Article 4 (commencing with Section 1025) of Chapter 4, Part 1, Division 1, and of Article 3 (commencing with Section 1326) of Chapter 5, Part 1, Division 1 of the California Unemployment Insurance Code with respect to procedures for rulings relating to benefit charges shall apply to a combined-wage claim under the Interstate Arrangement for Combining Employment and Wages.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 455.5, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 9-3-81; effective thirtieth day thereafter (Register 81, No. 36).
Chapter 3. Scope or Coverage
Article 1. Employment
§606-1. Assistant and Substitute Employees--Constructive Knowledge.
Note     •     History

(a) “Constructive knowledge” by an employing unit of the work of each individual employed to perform or to assist in performing the work of any employee of that employing unit, whether or not the individual was hired or paid directly by the employing unit, exists under any of the following circumstances:
(1) The extent of the territory to be covered, or the amount of work to be done is such that the work of the employee cannot be performed without the assistance of another individual.
(2) The nature of the business is such that the employment of an assistant or substitute individual will be required to perform or to assist in performing the work of the employee.
(3) The amount or the method of computation of the compensation indicates that the remuneration is in excess of that normally expected to be paid solely to one employee for the performance of the work.
(4) The employment of an assistant or substitute individual in the particular work involved is a customary practice, or is required by a union agreement or the contract of employment.
(5) The employing unit has given the employee general authority to take such action as in his judgment is required for performance of the work.
(b) The department shall not be precluded by this regulation from considering circumstances, in addition to those enumerated in subdivision (a) of this section, as constituting “constructive knowledge.”
(c) The fact that an employing unit pays a lump sum to an employee and that employee, in turn, hires, directs, controls and pays an assistant or substitute individual is not controlling. Neither is it controlling if a contract of employment provides that an individual engaged by an employee to assist him in performing or to perform his work shall be his employee rather than an employee of the employing unit.
NOTE

Authority cited: Sections 306 and 2602, Unemployment Insurance Code. Reference: Section 606, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
§607-1. Segregation of Exempt Services and Subject Employment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 607, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
2. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§607-2. Segregation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 607, Unemployment Insurance Code.
HISTORY

1. Repealer filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
§612-1. Services in Connection with Christmas Trees, Forestry and Lumbering. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(a)-1. Land Leveling. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(a)-2. Fertilizing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(b)-1. Sowing and Planting. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(b)-2. Grain and Seed Cleaning. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(c)-1. Cultivation and Thinning. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(c)-2. Weed Control. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(c)-3. Heating. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(c)-4. Fumigating, Spraying and Dusting. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(d)-1. Nonprofit Operation of Ditches, Canals, Reservoirs, or Waterways. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(e)-1. Harvesting. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(f)-1. Assembly and Storage. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§612(g)-1. Raising, Feeding, and Management of Livestock, Mink, Poultry, Rabbits, and Bees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613-1. Major Part. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(a)-1. Agricultural Labor Performed in the Employ of the Owner or Tenant of a Farm in Connection with Handling, Drying, Packing, Processing, etc. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(a)-2. Drying. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(a)-3. Packing (Other Than Field Packing). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(a)-4. Processing--Unmanufactured State. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(a)-5. Marketing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(a)-6. Cotton Ginning, Cottonseed Oil, and Cottonseed Feed. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(a)-7. Specialized Services in Connection with Handling, Drying, Packing, Packaging, Processing, Freezing, Grading, Storing, or Marketing Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(b)-1. Specialized Services in Connection with Operation, Management, Conservation, Improvement or Maintenance of Farm--General. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(b)-2. Specialized Services--Construction, Maintenance and Repair of Dwellings, Buildings, Equipment, Roads, and Other Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(b)-3. Specialized Services in Connection with Storing, Transporting, and Ferrying Equipment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(b)-4. Specialized Services--Water Well Drilling. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(c)-1. Irrigation or Operation or Maintenance of Ditches, Canals, Reservoirs, or Waterways in Employ of Owner or Tenant of Farm. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(d)-1. Nurseries--Commercial Operations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§613(d)-2. Terminal Market. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§614-1. Definition of a Farm. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§614-2. Nurseries. Propagating, Growing, Harvesting, and Assembly and Storage of Nursery Stock. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Benefit Payments.
HISTORY

1. New section filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
Article 1.5. Employee
§621(b)-1. Employer-Employee Relationship: Common Law Rules.
Note     •     History

The definition of a common law employee shall be in accordance with the regulations issued pursuant to Section 13004 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 621, Unemployment Insurance Code.
HISTORY

1. New article 1.5 (sections 621(b)-1 and 621(c)-1) filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Amendment filed 6-18-81; effective thirtieth day thereafter (Register 81, No. 25).
3. Amendment filed 5-12-92; operative 6-11-92 (Register 92, No. 20).
§621(c)-1. Special Classes of Employees: Agent-Driver, Commission-Driver; Traveling or City Salesman; Home Worker.
Note     •     History

(a) Occupational Groups. Under subdivision (c) of Section 621 of the code, individuals are employees if they perform services for remuneration under certain prescribed circumstances in the following occupational groups:
(1) As an agent-driver or commission-driver engaged in distributing meat products, vegetable products, fruit products, bakery products, beverages (other than milk), or laundry or dry-cleaning services for his or her principal.
(2) As a traveling or city salesman, other than as an agent-driver or commission-driver, engaged upon a full-time basis in the solicitation on behalf of, and the transmission to, his or her principal (except for sideline sales activities on behalf of some other person) of orders from wholesalers, retailers, contractors, or operators of hotels, restaurants, or other similar establishments for merchandise for resale or supplies for use in their business operations.
(3) As a home worker performing work, according to specifications furnished by the person for whom the services are performed, on materials or goods furnished by such person which are required to be returned to such person or a person designated by him or her.
(b) General. In order for an individual to be an employee pursuant to subdivision (c) of Section 621 of the code, the individual must perform services in an occupation falling within one of the three occupational groups enumerated in subdivision (a) of this section. If the individual does not perform services in one of the designated occupational groups, he or she is not an employee under this section. An individual who is not an employee under this section may nevertheless be an employee pursuant to other subdivisions of Section 621 of the code. The language used to designate the respective occupational groups relates to fields of endeavor in which particular designations are not necessarily in universal use with respect to the same service. The designations are addressed to the actual services without regard to any technical or colloquial labels which may be attached to such services. Thus, a determination whether services fall within one of the designated occupational groups depends upon the facts of the particular situation.
The factual situations set forth below are illustrative of some of the individuals falling within each of the three occupational groups enumerated in subdivision (a) of this section. The illustrative factual situations are as follows:
(1) Agent-driver or commission-driver. This occupational group includes agent-drivers or commission-drivers who are engaged in distributing meat or meat products, vegetables or vegetable products, fruit or fruit products, bakery products, beverages (other than milk), or laundry or dry-cleaning services for their principals. An agent-driver or commission-driver includes an individual who operates his or her own truck or the truck of a person for whom he or she performs services, serves customers designated by such person as well as those solicited on his or her own, and whose compensation is a commission on his or her sales or the difference between the price he or she charges his or her customers and the price he or she pays to such person for the product or service.
(2) Traveling or city salesman.
(A) This occupational group includes a city or traveling salesman who is engaged upon a full-time basis in the solicitation on behalf of, and the transmission to, his or her principal (except for sideline sales activities on behalf of some other person or persons) of orders from wholesalers, retailers, contractors, or operators of hotels, restaurants, or other similar establishments for merchandise for resale or supplies for use in their business operations. An agent-driver or commission-driver is not within this occupational group. City or traveling salesmen who sell to retailers or to the others specified, operate off the premises of their principals, and are generally compensated on a commission basis, are within this occupational group. Such salesmen are generally not controlled as to the details of their services or the means by which they cover their territories, but in the ordinary case they are expected to call on regular customers with a fair degree of regularity.
(B) In order for a city or traveling salesman to be included within this occupational group, his or her entire or principal business activity must be devoted to the solicitation of orders for one principal. Thus, the multiple-line salesman generally is not within this occupational group. However, if the salesman solicits orders primarily for one principal, he or she is not excluded from this occupational group solely because of sideline sales activities on behalf of one or more other persons. In such a case, the salesman is within this occupational group only with respect to the services performed for the person for whom he or she primarily solicits orders and not with respect to the services performed for such other persons. The following examples illustrate the application of the foregoing provisions:
EXAMPLE 1. Salesman A's principal business activity is the solicitation of orders from retail pharmacies on behalf of the X Wholesale Drug Company. A also occasionally solicits orders for drugs on behalf of the Y and Z companies. A is within this occupational group with respect to his services for the X Company but not with respect to his services for either the Y Company or the Z Company.
EXAMPLE 2. Salesman B's principal business activity is the solicitation of orders from retail hardware stores on behalf of the R Tool Company and the S Cooking Utensil Company. B regularly solicits orders on behalf of both companies. B is not within this occupational group with respect to the services performed for either the R Company or the S Company.
EXAMPLE 3. Salesman C's principal business activity is the house-to-house solicitation or orders on behalf of the T Brush Company. C occasionally solicits such orders from retail stores and restaurants. C is not within this occupational group.
(3) Home Worker. This occupational group includes a worker who performs services off the premises of the person for whom the services are performed, in the home of the worker, under the conditions specified by the code.
EXAMPLE 4. A manufacturer of plumbing products hired workers to pick up parts at the plant, take the parts to the homes of the workers, assemble the parts into such products as pistons, flappers for toilet tanks, and repair kits stapled in envelopes, as specified by the manufacturer. The worker completed the assembly, delivered it to the plant, was paid on a piecework rate, and picked up another parts supply.
These workers are within the occupational group of home workers.
(c) Additional Conditions. 
(1) The fact that an individual falls within one of the enumerated occupational groups, however, does not make such individual an employee under this section unless all of the following conditions exist:
(A) The contract of service contemplates that substantially all the services to which the contract related in the particular designated occupation are to be performed personally by such individual.
(B) Such individual has no substantial investment in the facilities used in connection with the performance of such services (other than in facilities for transportation).
(C) Such services are part of a continuing relationship with the person for whom the services are performed and are not in the nature of a single transaction.
(2) “Contract of service,” as used in this section and subdivision (c) of Section 621 of the code, means an arrangement, formal or informal under which the particular services are performed. The requirement that the contract of service shall contemplate that substantially all the services to which the contract relates in the particular designated occupation are to be performed personally by the individual means that it is not contemplated that any material part of the services to which the contract relates in such occupation will be delegated to any other person by the individual who undertakes under the contract to perform such services.
(3) “Facilities,” as used in this section and subdivision (c) of Section 621 of the code, include equipment and premises available for the work or enterprise as distinguished from education, training, and experience, but do not include such tools, instruments, equipment, or clothing, as are commonly or frequently provided by employees. An investment in an automobile by an individual which is used primarily for his or her own transportation in connection with the performance of services for another person has no significance, since such investment is comparable to outlays for transportation by an individual performing similar services who does not own an automobile. Moreover, the investment in facilities for the transportation of the goods or commodities to which the services relate is to be excluded in determining the investment in a particular case. If an individual has a substantial investment in facilities of the requisite character, he or she is not an employee within the meaning of this section, since a substantial investment of the requisite character standing alone is sufficient to exclude the individual from the employee concept under this paragraph.
(4) If the services are not performed as part of a continuing relationship with the person for whom the services are performed, but are in the nature of a single transaction, the individual performing such services is not an employee of such person within the meaning of this section. The fact that the services are not performed on consecutive workdays does not indicate that the services are not performed as part of a continuing relationship.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 621, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
Article 2. Excluded Services
§626-1. Services in Connection with Christmas Trees, Forestry and Lumbering. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 626, 627 and 628, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17). For history of former section see Register 59, No. 22.
2. Amendment of subsection (b) filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(a)-1. Land Leveling. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 626 and 628, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(a)-2. Fertilizing. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 626, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; appeal filed with California Unemployment Insurance Appeals Board; section refiled 3-17-61, designated effective 3-27-61 (Register 61, No. 6).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(b)-1. Sowing and Planting. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 626, Unemployment Insurance Code.
HISTORY

1. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(b)-2. Grain and Seed Cleaning. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 626 and 627, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; appeal filed with California Unemployment Insurance Appeals Board; amendment refiled 3-17-61, designated effective 3-27-61 (Register 61, No. 6).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(c)-1. Cultivation and Thinning. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 626, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72, effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(c)-2. Weed Control. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 626, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer and new section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(c)-3. Heating. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 626, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; appeal filed with California Unemployment Insurance Appeals Board; section refiled 3-17-61, designated effective 3-27-61 (Register 61, No. 6).
2. Repealer and new section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(c)-4. Fumigating, Spraying and Dusting. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 626, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer and new section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24)
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(c)-5. Fumigating, Spraying and Dusting. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 626, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; appeal filed with California Unemployment Insurance Appeals Board; Section refiled 3-17-61, designated effective 3-27-61 (Register 61, No. 6).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§626(d)-1. Nonprofit Operation of Ditches, Canals, Reservoirs, or Waterways. [Repealed]
Note     •     History

NOTE

Additional authority cited: Section 305 and 1088, Unemployment Insurance Code. Reference: Section 626, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Repealer and new section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(e)-1. Harvesting. [Repealed]
Note     •     History

NOTE

Specific authority cited: Section 626, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer and new section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(f)-1. Assembly and Storage. [Repealed]
Note     •     History

NOTE

Additional authority cited: Sections 305 and 1088, Unemployment Insurance Code. Reference: Section 626, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
3. Repealer and new section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
4. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§626(g)-1. Raising, Feeding, and Management of Livestock, Mink, Poultry, Rabbits, and Bees. [Repealed]
Note     •     History

CROSS-REFERENCE: For status of services in the use of cottonseed feed as feed for livestock, mink, poultry, or rabbits, see subdivision (b) of Section 627(a)-6 of these regulations.
NOTE

Specific authority cited: Section 626, Unemployment Insurance Code.
HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627-1. Major Part. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 607 and 627, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(a)-1. Exempt Agricultural Labor Performed in the Employ of the Owner or Tenant of a Farm in Connection with Handling Drying, Packing, Processing, etc. [Repealed]
History

CROSS-REFERENCE: For provisions relating to subdivision (a) of 627 of the code see Regulations 626(b)-2, 626(f)-1, 626(g)-1, 627(a)-2 to 627(a)-7, and 627(d)-1 and 627(d)-2.
HISTORY

1. Repealer filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Modification of cross-reference filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§627(a)-2. Drying. [Repealed]
Note     •     History

NOTE

Specific authority cited: Section 627, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(a)-3. Packing (Other Than Field Packing). [Repealed]
Note     •     History

NOTE

Specific authority cited: Section 627, Unemployment Insurance Code.
HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24). For prior history of this section number, see Register 60, No. 17.
2. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(a)-4. Processing--Unmanufactured State. [Repealed]
Note     •     History

NOTE

Specific authority cited: Section 627, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer and new section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(a)-5. Marketing. [Repealed]
Note     •     History

NOTE

Specific authority cited: Section 627, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(a)-6. Cotton Ginning, Cottonseed Oil, and Cottonseed Feed. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 626 and 627, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(a)-7. Specialized Services in Connection with Handling, Drying, Packing, Packaging, Processing, Freezing, Grading, Storing, or Marketing Facilities. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 627, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(b)-1. Specialized Services in Connection with Operation, Management, Conservation, Improvement or Maintenance of Farm--General. [Repealed]
History

HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(b)-2. Specialized Services--Construction, Maintenance and Repair of Dwellings, Buildings, Equipment, Roads, and Other Facilities. [Repealed]
History

HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(b)-3. Specialized Services in Connection with Storing, Transporting, and Ferrying Equipment. [Repealed]
Note     •     History

NOTE

Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 626 and 627, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; Appeal filed with California Unemployment Insurance Appeals Board; Amendment refiled 3-17-61, designated effective 3-27-61 (Register 61, No. 6).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(b)-4. Specialized Services--Water Well Drilling. [Repealed]
History

HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(c)-1. Irrigation or Operation or Maintenance of Ditches, Canals, Reservoirs, or Waterways in Employ of Owner or Tenant of Farm. [Repealed]
History

HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer and new section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(c)-2. Terminal Market. [Repealed]
Note     •     History

NOTE

Sections 306 and 2602, Unemployment Insurance Code. Reference: Section 627, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§627(c)-3. Winery. [Repealed]
Note     •     History

NOTE

Sections 306 and 2602, Unemployment Insurance Code. Reference: Section 627, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§627(c)-4. Cider Production. [Repealed]
Note     •     History

NOTE

Sections 306 and 2602, Unemployment Insurance Code. Reference: Section 627, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§627(d)-1. Nurseries--Commercial Operations. [Repealed]
Note     •     History

NOTE

Specific authority cited: Section 627, Unemployment Insurance Code.
HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§627(d)-2. Terminal Market. [Repealed]
Note     •     History

NOTE

Specific authority cited: Section 627, Unemployment Insurance Code.
HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§628-1. Definition of a Farm. [Repealed]
Note     •     History

NOTE

Sections 306 and 2602, Unemployment Insurance Code. Reference: Sections 626, 627 and 628, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§628-2. Nurseries. Propagating, Growing, Harvesting, and Assembly and Storage of Nursery Stock. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 626, 627 and 62, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§628.5-1. Hay Baling. [Repealed]
History

HISTORY

1. Repealer filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
§629-1. Domestic Service--Private Home.
Note     •     History

(a) “Domestic service in a private home” includes service of a household nature performed by an employee in or about a private home in connection with the maintenance of the private home or premises, or for the comfort and care of the individual or family, as distinguished from service which is directly related to the business or career of the employer.
(b) “Service of a household nature” includes service customarily rendered by cooks, waiters, butlers, housekeepers, governesses, maids, valets, baby sitters, janitors, laundresses, furnacemen, caretakers, handymen, gardeners, and by chauffeurs of automobiles, crews of private yachts, and pilots of private airplanes for family use. “Service of a household nature” does not include service performed by private secretaries, tutors, librarians, or musicians, or by carpenters, plumbers, electricians, painters or other skilled craftsmen.
(c) “Private home” means the social unit formed by an individual or family residing in a private household. “Private home” includes the fixed place of abode of an individual or family in a private house, or in a separate and distinct dwelling unit in an apartment house, hotel or other similar establishment. “Private home” also includes a summer or winter home of an individual or family. “Private home” does not include any dwelling house or premises used primarily as a boarding or lodging house for the purpose of supplying board or lodging to the public as a business enterprise, or used primarily for the purpose of furnishing accommodations or entertainment to clients, customers, or patrons.
(d) “Family” for purposes of this section includes foster relationships and relationships by blood, marriage, and adoption.
(e) “Domestic service” does not include:
(1) Service of a household nature performed in or about a private home in the employ of any employing unit engaged in furnishing such service, such as a gardening, janitorial, or maintenance enterprise.
(2) Service of a household nature performed in connection with the operation of rooming or lodging houses, boarding houses, clubs including college clubs or fraternity or sorority houses, hotels, hospitals, eleemosynary institutions, or commercial offices or establishments.
(f) If the person who pays the remuneration of a person performing domestic service in a private home is one other than the individual or family for whom the services are rendered, the domestic services are exempt to the extent provided by Section 629 of the code under any of the following circumstances:
(1) The individual or family has the right to direct and control the performance of the domestic services. For example, if X Company pays the remuneration of a housekeeper who performs services in the private home of Y, an employee of X Company, and the services are directed and controlled by Y's wife, the services are exempt to the extent provided by Section 629 of the code. (The determination of tax liability of X Company for additional remuneration indirectly paid to its employee Y, would be made pursuant to Article 2, (commencing with Section 926), Chapter 4, Part 1 of Division 1 of the code.)
(2) A family relationship exists between the payor and the individual or family. For example, if a son or daughter residing in his or her separate home pays the remuneration of a domestic who performs services in his or her mother's home, the services are exempt to the extent provided by Section 629 of the code.
(3) Contributions to the support of the individual or family have been assumed by the payor for charitable or moral reasons. For example, if a life-long friend of a disabled person pays the remuneration of a domestic who performs services in the disabled person's home, the services are exempt to the extent provided by Section 629 of the code.
(4) Contributions to the support of the individual or family are a legal obligation of the payor. For example, if the terms of a divorce or dissolution require the husband to pay the remuneration of a governess who performs services in a private home caring for children in the custody of the former wife, the services are exempt to the extent provided by Section 629 of the code. Similarly, if the guardian of a minor or incompetent person pays the remuneration of household servants in the private home of his ward, the services are exempt to the extent provided by Section 629 of the code.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Ins. Code. Reference: Sections 629 and 639, Unemployment Ins. Code.
HISTORY

1. Amendment filed 8-5-60; Appeal filed with Calif. Unemployment Ins. Appeals Board; Amendment refiled 3-17-61, designated effective 3-27-61 (Register 61, No. 6).
2. Amendment of subsection (f) filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
3. Change without regulatory effect amending subsection (e)(2) filed 1-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§631-1. Family Employment.
Note     •     History

(a) “Father” and “mother” include adoptive parents but do not include stepparent, foster parent, father-in-law or mother-in-law.
(b) “Son” and “daughter” include adopted child but do not include stepchild, foster child, son-in-law, or daughter-in-law.
(c) “Child under the age of 18” includes adopted child under the age of 18 but does not include stepchild or foster child under the age of 18.
(d) With respect to the exempt status of a child under the age of 18 it is immaterial whether or not the child is living with his or her parents or is married or is independently self-supporting.
(e) Services performed in the employ of a partnership by a spouse, father, mother, or child under the age of 18 of a partner are excluded when such services would be excluded if performed for each partner individually. For example:
(1) The services of either spouse employed by a partnership composed of the other spouse and one or more of their children are excluded.
(2) The services of either parent employed by a partnership composed of their children are excluded. 
(3) The services of a child under the age of 18 employed by a partnership composed of his or her parents are excluded.
(4) The services of a married child under the age of 18 in the employ of a partnership composed of his or her father and his or her spouse are excluded.
(f) Services performed by an individual in the employ of relatives other than those referred to in Section 631 of the code are not excluded. For example, services performed by an individual in the employ of his or her brother, sister, niece or nephew are not excluded.
NOTE

Authority cited: Sections 305, 306 and 2608, Unemployment Insurance Code. Reference: Section 631, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
§631-2. Family Employment--Age of Majority. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 631, Unemployment Insurance Code.
HISTORY

1. Repealer filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50). For former history, see Register 72, No. 24.
§636-1. Election Campaign Employees.  [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 636, Unemployment Insurance Code.
HISTORY

1. New section filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47). For history of former section, see Register 57, No. 21.
2. Amendment filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
3. Amendment of subsection (a), repealing of subsection (b), and new subsection (b) filed 2-15-91; operative 3-17-91 (Register 91, No. 13).
4. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§637-1. Directors of Corporations and Associations. [Repealed]
History

HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer filed 3-14-66; designated effective 3-24-66 (Register 66, No. 7).
§639-1. Extent of Domestic Service Exemption--College Clubs. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 639, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§640-1. Exempted Services Not in the Course of Employing Unit's Trade or Business.
Note     •     History

“Service not in the course of the employing unit's trade or business” means service which does not, in any way, promote, advance or further the trade or business of the employing unit, and in no way tends toward the preservation, maintenance or operation of its business, business premises or business property. “Trade or business” includes any business or professional undertaking irrespective of its size or scope without regard to the principal trade or business of the employing unit.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 640, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§641-1. Remuneration of Less Than $50 in Employ of Organization Exempt from Federal Income Tax.
Note     •     History

For the purpose of determining the status of service under Section 641 of the code, remuneration whenever paid shall be allocated to the periods of service to which it relates. For example, if payment of remuneration is made for service performed in two or more calendar quarters, the lump sum remuneration shall be allocated to the periods of service to which it relates. If the total remuneration allocated and attributable to service performed during a particular calendar quarter does not exceed $49.99, the service for that calendar quarter is exempt. If the total remuneration allocated and attributable to service performed during a particular calendar quarter exceeds $49.99, the service for that calendar quarter is not exempt.
NOTE

Authority cited: Secs. 305 and 306, Unemployment Insurance Code. Reference: Sec. 641, Unemployment Ins. Code.
HISTORY

1. New section filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
§642-1. Agricultural or Horticultural Organizations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 306 and 2602, Unemployment Insurance Code. Reference: Section 642, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer filed 3-14-66; designated effective 3-24-66 (Register 66, No. 7).
§642(a)-1. Student Employed by School, College, or University.
Note     •     History

(a) For purposes of Section 642 of the code, “school, college, or university” shall be taken in the commonly or generally accepted sense. The amount of remuneration for the service, the type of character or the service, and the place where service is performed are immaterial, except as provided in subdivision (c) of this section. The statutory tests under Section 642 of the code are whether the organization is a school, college, or university and whether the employee is a student who is enrolled and is regularly attending classes at the institution employing him.
(b) A student is “regularly attending classes” when he meets the minimum attendance requirement for his course of study established by the school, college, or university. For purposes of this section, attendance is the act of being present at the established place of meeting. A student who takes correspondence or extension courses is not “regularly attending classes.”
(c) An employee who performs service for the school, college, or university as an incident to, and for the purpose of pursuing a course of study at such school, college, or university has the status of a student for the purpose of this section. If the course of study is incidental to the employment, the exemption shall not apply.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 642, Unemployment Insurance Code.
HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§649(b)-1. Status of Newspaper and Magazine Salespersons. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 649, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§650-1. Status of Real Estate, Mineral, Oil and Gas, and Cemetery Brokers, and Real Estate and Cemetery Salespersons. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, and 306, Unemployment Insurance Code. Reference: Section 650, Unemployment Insurance Code.
HISTORY

1. New section filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
2. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§653-1. Status of Baseball Players.
Note     •     History

(a) The baseball player may be paid a fixed amount for each game if the amount meets the conditions of this section.
(b) The profit of a baseball club is the excess of income after payment of expenses. The profit may be determined at the completion of each game, at the end of the baseball season, or at such other period of time as may be specified by the baseball club, provided that the period of time is not in excess of one calendar year.
(c) Expense for which a baseball player may be compensated includes, but is not limited to, the following:
(1) Transportation.
(2) Meals.
(3) Lodging.
(4) Telephone, telegram, and postage.
Accounting for expenses shall be made between the baseball player and the baseball club as provided in subdivision (c) of Section 929-1 of these regulations.
(d) “Baseball player” means any individual engaged by a baseball club to play one or more of the customary positions, or a player-manager or a player coach.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 653, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§657-1. Status of Amateur Athletic Officials.
Note     •     History

The criteria which specify under what conditions amateur athletic officials may be considered employees are described in Section 4304-10 of these regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 621, 657 and 13004, Unemployment Insurance Code.
HISTORY

1. New section filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
Article 3. Subject Employers [Repealed]
§675-1. Computing Number of Employees. [Repealed]
History

HISTORY

1. Repealer filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to #S 125-1.
§675-2. Computing Period of Employment. [Repealed]
History

HISTORY

1. Repealer filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
§675-3. Requesting Determination of Status. [Repealed]
History

HISTORY

1. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§675-4. Exempt Employment. [Repealed]
History

HISTORY

1. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§675-5. Bands and Orchestras. [Repealed]
History

HISTORY

1. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§676-1. Agricultural or Horticultural Organizations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 3-14-66; designated effective 3-24-66 (Register 66, No. 7).
2. Repealer filed 6-8-72, effective thirtieth day thereafter (Register 72, No. 24).
§680-1. Musicians. [Repealed]
History

HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Change without regulatory effect repealing section filed 11-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 45).
Article 4. Elective Coverage
§701-1. Elective Coverage--General Provisions.
Note     •     History

(a) The effective date of an elective coverage agreement filed by an employing unit pursuant to all elections under Article 4 of Chapter 3 of Part 1 of Division 1, of the code, or by an individual pursuant to Section 708 or 708.5 of the code, shall not be prior to the first day of the calendar quarter in which the application for elective coverage is filed nor subsequent to the first day of the calendar quarter immediately following the calendar quarter in which the application for elective coverage is filed.
(b) Except as provided by Section 702.5 of the code, any relative who would be exempt pursuant to Section 631 of the code if the employing unit were subject to the compulsory provisions of the code shall not be included within the scope of any elective coverage agreement.
(c) Any individual who has the status of an independent contractor in relation to the employing unit electing coverage shall not be included within the scope of the elective coverage agreement.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 701, 702, 702.1, 702.5, 703, 708, 708.5, 709, 710, 710.4, and 710.5, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Amendment filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
4. Amendment of subsection (a) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§701-2. Elective Coverage--Retroactive Coverage.
Note     •     History

Notwithstanding any other provision of these regulations, if an employing unit or individual has service performed for it or him or her which is not subject to the compulsory coverage provisions of the code, but through error, inadvertence, or other reason, has reported and paid contributions to the Unemployment Fund or Disability Fund, such action:
(a) May be construed at the option of the director and with the consent of the local public entity or school employer authorized to elect coverage pursuant to Section 709, 710.4 or 710.5 of the code as an election by the local public entity or school employer that such nonsubject service become subject to disability insurance coverage under the code as of the commencement of the period to which the contributions relate or for the period to which the contributions relate.
(b) May be construed at the option of the director and with the consent of a public entity authorized to elect unemployment insurance coverage pursuant to Section 710 of the code as an election by the public entity that such nonsubject service become subject to unemployment insurance coverage under the code as of the commencement of the period to which the contributions relate or for the period to which the contributions relate. Unless an election is also made by a local public entity or school employer for disability insurance coverage under subdivision (a) of this section, any withheld worker contributions shall be refunded in accordance with these regulations since no election for disability insurance coverage is authorized under Section 710 of the code.
(c) May be construed at the option of the director and with the consent of the employing unit or individual authorized to elect coverage pursuant to Section 701, 702, 702.1, or 703, or subdivision (a) of Section 708 of the code as an election by the employing unit or individual that such nonsubject service become subject to the code as of the commencement of the period to which the contributions relate or for the period to which the contributions relate.
(d) May be construed at the option of the director and with the consent of the employing unit or individual authorized to elect coverage pursuant to Section 702.5 or 708.5 or subdivision (b) of Section 708 of the code as an election by the employing unit or individual that such nonsubject service become subject to disability insurance coverage under the code as of the commencement of the period to which the contributions relate or for the period to which the contributions relate.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 701, 702, 702.1, 702.5, 703, 708, 708.5, 709, 710, 710.4, and 710.5, Unemployment Insurance Code.
HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Amendment filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
3. Amendment of subsection (a) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§702-1. Elective Coverage of Excluded Services.
Note     •     History

(a) An application for elective coverage under Section 702 of the code may be approved for one or more separate and distinct establishments or places of business of the employing unit even though it does not apply to all establishments and places of business of the employing unit if the department finds that:
(1) The excluded establishments or places of business are readily distinguished by location and activity or type of operation from the establishments or places of business included in the application.
(2) The application covers all services performed (other than those performed by individuals mentioned in subdivisions (b) and (c) of Section 701-1 of these regulations) in the establishments or places of business to which the application applies.
(b) Sections 701-1, 701-2 and 705-1 of these regulations apply to elections filed pursuant to Section 702 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 701, 702, 702.1, 702.5, 703, 708, 708.5, 709, 710, 710.4 and 710.5, Unemployment Insurance Code.
HISTORY

1. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§702.1-1. Elective Coverage--Nonprofit Organization.
Note     •     History

(a) Sections 701-1, 701-2, 702-1, and 705-1 of these regulations apply to elections filed pursuant to Section 702.1 of the code, except that services may be excluded pursuant to subdivision (d) of Section 702.1 of the code.
(b) A written application for elective coverage under subdivision (c) of Section 702.1 of the code by a nonprofit organization signed by a duly constituted official shall be approved if the director finds that:
(1) It is an application for coverage for all employees of the organization except that the organization may exclude from coverage any of the service set forth in Section 634.5 of the code.
(2) The applicant is a “nonprofit organization” as that term is defined in subdivision (a) of Section 702.1 of the code.
(3) A majority of the employees to be covered by the election have signed a petition requesting such coverage.
(4) It sets forth the name and address of the organization.
(5) It is accompanied by advance payments as required by Section 803 of the code.
(c) Notwithstanding Section 705-1 of these regulations, if a nonprofit organization is succeeded in whole or in part by another nonprofit organization, the successor may elect to continue the elective coverage agreement of the predecessor or may elect to terminate the elective coverage agreement of the predecessor. If the successor nonprofit organization was, prior to the acquisition of the predecessor, a nonprofit organization under an approved elective coverage agreement, the elective coverage agreement of the predecessor shall be continued to the same extent as the elective coverage agreement of the successor. If the successor nonprofit organization was, prior to the acquisition of the predecessor, a nonprofit organization not under an approved elective coverage agreement, the successor shall meet the requirements of this section if it elects to continue the elective coverage agreement of the predecessor.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 702.1 and 705, Unemployment Insurance Code.
HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Amendment of subsection (c) filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
3. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§702.5-1. Elective Coverage--Family Employment.
Note     •     History

Sections 701-1, 701-2, 702-1, and 705-1 of these regulations apply to elections filed pursuant to Section 702.5 of the code, except that the application for elective coverage shall be limited to services performed by individuals specified in Section 631 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 702.5, Unemployment Insurance Code.
HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§703-1. Elective Coverage of Out-of-State Services.
Note     •     History

Sections 701-1, 701-2, and 705-1 of these regulations apply to elections filed pursuant to Section 703 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 703, Unemployment Insurance Code.
HISTORY

1. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§704-1. Elective Coverage--Disapproval of Election.
History

HISTORY

1. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§705-1. Elective Coverage-Termination.
Note     •     History

(a) An elective coverage agreement under Sections 701, 702, 702.1, 702.5, 703, 708, 708.5, 709, 710, 710.4 and 710.5 of the code shall be effective for not less than two complete calendar years unless terminated by the director pursuant to Section 704.1 of the code, except that retroactive coverage under Section 701-2 of these regulations may be approved by the director for lesser periods. If both retroactive and prospective coverage are elected, the minimum two-calendar-year period for which the agreement shall remain in effect commences with the effective date of prospective coverage.
(b) An applicant may withdraw an application for elective coverage pursuant to Section 701, 702, 702.1, 702.5, 703, 708, 708.5, 709, 710, 710.4 and 710.5 of the code prior to final approval of the application. The director may, upon the request of the applicant, cancel an elective coverage agreement which has been finally approved if the applicant shows that the application was submitted through justifiable mistake or error, or was submitted by a person not having proper authority to bind the applicant.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 701, 702, 702.1, 702.5, 703, 708, 708.5, 709, 710, 710.4 and 710.5, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Amendment filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
4. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§708-1. Employer's Election to Qualify for Benefits.
Note     •     History

NOTE

Authority cited: Section 708, Unemployment Insurance Code.
HISTORY

1. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Amendment filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§708(a)-1. Employer's Election to Qualify for Benefits.
Note     •     History

(a) Sections 701-1, 701-2, 704-1, and 705-1 of these regulations apply to elections filed pursuant to subdivision (a) of Section 708 of the code.
(b) An election by an employer to have his or her services deemed to be services in employment filed pursuant to subdivision (a) of Section 708 of the code shall not be effective for any purpose until the application has been approved by the department. An application for such elective coverage shall not be approved by the department unless it complies with Sections 704-1 and 705-1 of these regulations and all of the following conditions are found to exist:
(1) The applicant is an employer as defined in the code or is a member of a copartnership or other form of business organization which has qualified as an employer under the code and is regularly performing services on behalf of the employer.
(2) The application requests that such elective agreement be effective for a period of not less than two complete calendar years or until the termination of the applicant's employment in his or her business.
(c) Except as provided by subdivision (d) of this section, an employer who elects coverage under subdivision (a) of Section 708 of the code shall report wages for each calendar quarter for each individual covered under the election as follows:
(1) $7,634 for each calendar quarter during which the individual performs services on one-half or more of the number of normal working days in each month.
(2) $2,545 for each month in the calendar quarter during which month the individual performs services on one-half or more of the number of working days of that month and for one or more other months in the same calendar quarter the provisions of paragraphs (3) and/or (4) of this subdivision apply.
(3) $1,273 for each month in the calendar quarter during which month the operation of the employer's business is temporarily interrupted or ceases or the individual becomes disabled and for these or other reasons the individual performs services during that month on less than one-half of the number of normal working days in that month.
(4) No wages if the individual performs no services during a month.
(d) If an individual covered by an employer who elects coverage under subdivision (a) of Section 708 of the code is paid unemployment compensation benefits, extended duration benefits, federal-state extended benefits, other extended unemployment benefits under any state or federal law, or unemployment compensation disability benefits for any week all or part of which is in a calendar month and in that same month performs services for the remainder of the month, the employer shall report wages for such month by reducing the normal amount of reportable wages of $2,545 provided under paragraph (2) of subdivision (c) of this section by $587 for each full calendar week during that month for which the individual was paid such benefits and by $84 for each day of any portion of a week during that month for which he or she was paid such benefits, and the employer shall report wages for the remainder.
EXAMPLE: The covered individual is paid unemployment compensation benefits for the week commencing July 27, 1997 and ending August 2, 1997 and for the week commencing August 3, 1997 and ending August 9, 1997. He performs services from July 1, 1997, through July 26, 1997 and from August 10 through August 31, 1997.

Computation of Reportable Wages:

 (A) July 1997:
     Normal reportable wages	 $2,545.00
     Reduced by:
       5 days (July 27, 28, 29, 30, 31) times $84	     420.00
     Reportable wages	 $2,125.00

 (B) August 1997:
      Normal reportable wages	 $2,545.00
      Reduced by:
       2 days (August 1, 2)
       times $84 equals $168
       plus $587 (August 3-9)	 755.00
      Reportable wages	 $1,790.00
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 708 and 1280, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Registers 78, No. 41; and 76, No. 6.
2. Amendment of section and Note filed 1-5-2000; operative 2-4-2000 (Register 2000, No. 1).  
§708(b)-1. Employer's Election to Qualify for Disability Benefits.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 708, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Registers 78, No. 41; and 76, No. 6.
2. Amendment of subsections (a), (b) and (d) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Change without regulatory effect repealing section filed 3-14-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 11).
§708.5-1. Elective Disability Coverage--Self-Employed Individual.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 708.5, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Registers 78, No. 41; 74, No. 6; and 72, No. 24.
2. Amendment of subsections (a) and (c) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Change without regulatory effect repealing section filed 3-14-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 11).
§710-1. Elective Coverage--Public Entity.
Note     •     History

(a) A written application for elective coverage under Section 710 of the code by a public entity signed by a duly constituted official shall be approved if the director finds that:
(1) It is an application for coverage of services performed for the public entity which do not constitute employment except that the public entity may exclude from coverage any of the service set forth in Section 634.5 of the code.
(2) The applicant is a “public entity” as that term is defined in Section 605 of the code.
(3) It sets forth the name and address of the public entity.
(4) It is accompanied by advance payments as required by Section 803 of the code.
(b) Sections 701-1, 701-2, and 705-1 of these regulations apply to elections filed pursuant to Section 710 of the code.
(c) Notwithstanding Section 705-1 of these regulations, if a public entity is succeeded in whole or in part by another public entity the successor may elect to continue the elective coverage agreement of the predecessor or may elect to terminate the elective coverage agreement of the predecessor. If the successor public entity was, prior to the acquisition of the predecessor, a public entity under an approved elective coverage agreement, the elective coverage agreement of the predecessor shall be continued to the same extent as the elective coverage agreement of the successor. If the successor public entity was, prior to the acquisition of the predecessor, a public entity not under an approved elective coverage agreement, the successor shall meet the requirements of this section if it elects to continue the elective coverage agreement of the predecessor.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 605, 705, 710, and 803, Unemployment Insurance Code.
HISTORY

1. New section filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
2. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47). 
§710(b)-1. Elective Coverage--Governmental Entity. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306,Unemployment Insurance Code. Reference: Sections 605, 705, 710, and 803, Unemployment Insurance Code.
HISTORY

1. Repealer filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50). For former history, see Register 72, No. 24.
§710(c)-1. Financing--Governmental Entities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 305, 306, 711 and 2602, Unemployment Insurance Code. Reference: Section 710(c), Unemployment Insurance Code.
HISTORY

1. New section filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§710(d)-1. Governmental Entities--Time and Rate of Payment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306, 711 an 2602. Unemployment Insurance Code. Reference: Sec. 710(d), 709, Unemployment Ins. Code.
HISTORY

1. New section filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Repealer filed 6-8-72, effective thirtieth day thereafter (Register 72, No. 24).
§710.2-1. Elective Coverage--Political Subdivisions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 710.2, Unemployment Insurance Code.
HISTORY

1. Repealer filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50). For former history, see Register 72, No. 24.
§710.5-1. Elective Coverage--State of California or Instrumentality. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 710.5, Unemployment Insurance Code.
HISTORY

1. Repealer filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50). For former history, see Register 72, No. 24.
§711(b)-1. Elective Coverage--Nonprofit Organization. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306, 711 and 2602. Unemployment Insurance Code, Reference: Sec. 711. Unemployment Ins. Code.
HISTORY

1. New section filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§711(c)-1. Elective Financing--Nonprofit Organizations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306, 711 and 2602, Unemployment Insurance Code. Reference: Sections 711(c) and 709, Unemployment Ins. Code.
HISTORY

1. New section filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§711(c)-2. Bond Requirements--Nonprofit Organizations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306, 711 and 2602, Unemployment Insurance Code, Reference: Sec. 711, Unemployment Ins. Code.
HISTORY

1. New section filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§711(c)(3)-1. Joint Accounts for Nonprofit Organizations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306, 711 and 2602. Unemployment Insurance Code. Reference: Sections 711(c)(3) and 702, Unemployment Insurance Code.
HISTORY

1. New section filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§711(e)-1. Nonprofit Organizations--Time and Rate of Payment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306, 711 and 2602, Unemployment Insurance Code. Reference: Secs. 711(e), 702, and 712. Unemployment Insurance Code.
HISTORY

1. New section filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Repealer filed 6-8-72; effective thirtieth day thereafter.
§712-1. Reimbursement Financing--Benefit Charges Required and Contributions Allowed. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306, 711 and 2602, Unemployment Insurance Code. Reference: Sec. 712, Unemployment Insurance Code.
HISTORY

1. New section filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§712-2. Reimbursement Financing--Reserve Balance Allowed. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306, 711 and 2602, Unemployment Insurance Code. Reference: Sec. 712, Unemployment Insurance Code.
HISTORY

1. New section filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
Article 5. Elections for Financing Unemployment Insurance Coverage
§803-1. Elective Financing--Nonprofit Organizations, Public Entities.
Note     •     History

(a) A nonprofit organization or public entity under Sections 702.1, 710, 801, and 802 of the code may elect to reimburse the cost of benefits paid pursuant to Section 803 of the code and subdivision (b) of this section, in lieu of contributions required of employers. As used in this section, “entity” means any such employing unit that is authorized by Sections 702.1, 710, 801, and 802 of the code to elect the cost of benefits paid method of financing permitted under Section 803 of the code.
(b) An entity may elect to pay into the Unemployment Fund the cost of benefits (including extended duration benefits and federal-state extended benefits) paid based on base period wages with respect to employment for that entity and charged to its account in the manner provided by Section 1026 of the code. “The cost of benefits paid” means the proportion of the total amount of benefits paid to the claimant which the total wages paid to that claimant in his or her base period by that entity bears to the total wages paid to that claimant in employment by all employers in his or her base period.
The director shall prepare an annual statement, which shall be a public record, calculating the maximum potential liability of any reimbursing public entity and of any nonprofit organization. The federal government pays one-half the cost of federal-state extended benefits for reimbursing nonprofit organizations. Public entities bear the full cost of reimbursing federal-state extended benefits for weeks of unemployment on or after January 1, 1979.
(c) An application for elective financing under subdivision (b) of Section 803 of the code may be made at the time an application is made for elective coverage under the code and shall be effective on the effective date of the elective coverage agreement, or may be made in any calendar quarter and shall take effect with respect to services performed from and after the first day of the calendar quarter in which the election is filed with the director, pursuant to Sections 801 and 802 of the code.
(d) Except as provided in subdivisions (e) and (f) of this section and by subdivision (e) of Section 803 of the code, an approved elective financing agreement may not be amended or terminated until it has been in effect for not less than two full calendar years.
(e) If an entity under an approved elective coverage agreement is succeeded in whole or in part by another entity, the successor, if it elects to continue the elective coverage agreement of the predecessor in accordance with the provisions of subdivision (d) of Section 702.1-1 or subdivision (d) of Section 710-1 of these regulations, may elect to continue the method of financing elected by the predecessor or may elect one of the methods of financing set forth in this section in lieu of paying contributions required of employers. If the successor is required to continue the elective coverage agreement of the predecessor in accordance with the provisions of subdivision (d) of Section 702.1-1 or subdivision (d) of Section 710-1 of these regulations, the successor's elective financing agreement shall relate to the continued elective coverage agreement of the predecessor.
(f) If an approved elective coverage agreement is terminated as provided in Section 705-1 or subdivision (c) or (d) of Section 702.1-1 or subdivision (c) or (d) of Section 710-1 of these regulations, any approved elective financing agreement shall also terminate upon the date of the termination of the elective coverage agreement to which the financing relates.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 702.1, 705, 710, 801, 802 and 803, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50). For prior history, see Register 76, No. 6.
2. Amendment of subsection (b) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§803-2. Bond Requirements--Entities Electing Reimbursement Financing.
Note     •     History

(a) If the director requires a bond pursuant to subdivision (b) of Section 803 of the code, the bond shall be issued by a surety authorized to do business in this state and be deposited with the director within 15 days after demand. In lieu of the posting of such bond the entity may deposit security in one or more of the following forms:
(1) Cash deposit.
(2) Certificates of deposit issued by a bank or federally insured savings and loan association made payable to the department.
(3) Bearer bonds issued or guaranteed by the United States or by the State of California.
(b) The amount of the surety bond, cash deposit, certificate of deposit or bearer bond shall be in a sum equal to 2.7 percent of the entity's total remuneration paid for service which was or would have been taxable wages in subject employment had the election been in effect, for the four calendar quarters immediately preceding the effective date of the election. If the entity did not pay such remuneration in each of such four calendar quarters the amount of the bond or security shall be in an amount as determined by the director.
(c) The surety bond shall be in force and remain on file with the director for a period of eight complete consecutive calendar quarters and shall be renewed 30 days prior to the expiration of each such period, as long as the entity continues to be liable for payments in lieu of contributions. The director may increase or decrease the amount of the previously filed bond or security at such times as he or she deems necessary or appropriate. If the bond is to be increased, the entity shall file the adjusted bond with the director within 30 days from the date of the mailing or personal service by the director of the notice to the entity that an adjusted bond is required. If the security is to be increased, the entity shall make the deposit within 15 days from the date of mailing or personal service by the director of the notice to the entity that additional security is required. The director may for good cause extend for a period not to exceed 30 days the time within which the additional bond shall be furnished or the additional cash deposit made or security furnished. The failure by any entity covered by such bond to pay within 30 days from the date of a written demand or within any period of extension the amounts required to be paid under Section 803 of the code shall render the surety liable for such payments to the extent of the bond.
(d) The director shall retain in trust any deposit of security under this section for two years after the entity's election is terminated after which the director shall return the security to the entity less any deductions required by Section 803 of the code. The director may apply any security deposited under this section by an entity to amounts required to be paid under subdivision (c) of this section or Section 803 of the code that are not paid within 30 days from the date of the written demand and he or she may take the following action:
(1) If the security is a cash deposit, he or she may deduct from the amount so deposited the amount required to be paid under Section 803 of the code.
(2) If the security deposited is a certificate of deposit or a bearer bond, he or she may sell the bearer bond or withdraw from the deposit an amount sufficient to satisfy the written demand under subdivision (c) of this section.
(3) If as a result of such reduction in the amount of the security he or she believes an adjustment in the remaining balance of security is required, he or she may require the entity to make an additional deposit with the bank or federally insured savings and loan association or furnish additional bearer bonds.
(e) If any entity fails to post a bond or furnish security or increase security within the time specified by this section, the director may terminate the election upon written notice to the entity. The termination shall be effective on the first day of the calendar quarter following the date of the notice of termination.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 803, Unemployment Insurance Code.
HISTORY

1. Amendment of subsections (c), (d), and (e) filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
2. Amendment of subsection (e) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§803-3. Joint Accounts for Entities Electing Reimbursement Financing.
Note     •     History

(a) Application for Joint Account. Each entity desiring to participate in a joint account shall file an application in writing with the director signed by a duly constituted official. If the application is not filed at the time the application for elective coverage is filed, it shall be filed not later than December 31 of the year preceding that for which the joint rate is to apply. Each application shall list the name, address, and account number of the entity and the names, addresses, and account numbers of the other entities who are to be included in the joint account.
(b) Qualifications of Members. An application to establish a joint account shall be approved by the director if he or she finds that:
(1) The applicants for inclusion in a joint account are “entities” as defined in subdivision (a) of Section 803 of the code.
(2) Each applicant for inclusion in a joint account has elected the same method of financing the coverage for its employees.
(3) No applicant for inclusion in a joint account is a member of any other joint account.
(c) Maintenance of Joint Account. The department shall maintain a separate account for each member of a joint account. In computing the joint contribution rate applicable to or the amount due from the members of a joint account, the department shall summarize the records of all its members to determine the joint rate in accordance with the schedule provided in Section 977 or 978 of the code or the rate or amount of contributions by the members of the joint account on the basis of reimbursement of the cost of benefits charged in the manner provided by Section 1026 of the code.
(d) Additions. An entity may be added to an existing joint account if all of the employers involved file a new application with the director for a new joint account and otherwise qualify under this section.
(e) Successions to Joint Account Member. If a member of a joint account is succeeded in whole or in part by another employing unit, the successor may file a request with the director for an account transfer and may immediately withdraw the acquired account from the joint account subject to Section 1051 of the code. A new joint rate or amount of contributions shall be computed for the remaining members based upon their combined accounts. Such new joint rate shall be effective as provided in Section 1053 or 1060 of the code, whichever is applicable. Such new amount of contributions shall be effective as provided by the department. A new rate or amount of contributions shall be computed for the successor employing unit based upon the acquired account and any prior account which it has accumulated, subject to Section 1029 of the code. Such new rate shall be effective as provided in Section 1053 or 1060 of the code, whichever is applicable. Such new amount of contributions shall be effective as determined by the department.
If a successor employing unit, with the consent of the remaining members, elects to succeed the predecessor entity as a member of the joint account and meets the conditions of subdivisions (a) and (b) of this section, a new joint rate or amount of contributions shall be computed. Such new joint rate shall be effective as provided in Section 1053 or 1060 of the code, whichever is applicable. Such new amount of contributions shall be effective as provided by the department.
If a successor employing unit which is a member of a joint account files an application with the director for a transfer of the reserve account of a predecessor, including any predecessor which was a member of a joint account, Section 1052 of the code shall apply to the application for transfer. The joint rate of the joint account of which the successor is a member, and the joint rate of the joint account of which the predecessor is a member, where applicable, shall be recomputed in accordance with Section 1053 or 1060 of the code, whichever is applicable.
(f) Withdrawal of a Member.
(1) A member desiring to withdraw from a joint account may file with the director an application for withdrawal not later than December 31 of the year preceding the date of withdrawal. “Date of withdrawal” means January 1. The contribution rate or amount of contributions of the entities remaining within the joint account shall be recomputed upon the basis of their portion of the joint experience. The new rate so computed shall be binding upon the remaining members for the entire calendar year for which that rate is determined. The new amount of contributions so computed shall be binding upon the remaining members until amended by the department as provided in Section 803-4 of these regulations. A new rate or amount of contributions shall be computed for the withdrawing entity based upon its individual experience.
(2) A member's participation in a joint account shall cease effective upon the date of the member's termination of business or upon the effective date of the member's termination of its elective coverage agreement. Effective as of that date, a contribution rate or amount of contributions for the entities remaining within the joint account shall be recomputed on the basis of their portion of the joint experience. The new rate so computed shall be binding upon the remaining members for the remainder of the calendar year. The new amount of contributions so computed shall be binding upon the remaining members until amended by the department as provided in Section 803-4 of these regulations.
(3) Whenever a joint account is reduced to one member, it is dissolved and a separate rate or amount of contributions shall be computed as of the date of dissolution for each entity based on its individual experience.
(g) Dissolution of Joint Account. Except as provided in subdivision (f)(3) of this section, a joint account may only be dissolved as of January 1, if the members file an application with the director not later than December 31 of the preceding year, whereupon a separate rate or amount of contributions shall be computed for each entity based upon its individual experience.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 803, 977, 978, 1026, 1051, 1053, and 1060, Unemployment Insurance Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
§803-4. Entities Electing Reimbursement Financing--Time and Rate of Payment.
Note     •     History

(a) Contributions--Due Date. Employer payments required under this Section 803 of the code are due and payable as provided by subdivision (d) of Section 803 of the code. Worker contributions required under Section 984 of the code are due and payable as provided by Article 7 (commencing with Section 1110) of Chapter 4 of Part 1 of Division 1 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 702, 712, 713, 803, and 984, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
2. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No 47).
Article 6. Financing Unemployment Insurance Coverage for Public School Employees [Repealed]
HISTORY

1. Repealer of article 6 (sections 821-1--821-2) filed 11-20-81; operative 12-20-81 (Register 81, No. 47).
Article 7. Financing Unemployment Insurance Coverage for Local Public Entity Employees [Repealed]
HISTORY

1. Repealer of article 7 (sections 842-1--844-1) filed 11-20-81; operative 12-20-81 (Register 81, No. 47).
Chapter 4. Contributions and Reports
Article 1. Definitions

(No regulations adopted)
Article 2. “Wages” the Basis of the Contribution
§926-1. Wages--When Taxable.
Note     •     History

(a) The basis upon which employer and worker contributions shall be computed is wages actually or constructively paid during a calendar quarter in subject employment by an employer subject to the code. Wages for contribution purposes are considered taxable when actually or constructively paid.
(b)(1) Wages are constructively paid when they are credited to the account of or set apart for an employee so that they may be drawn upon by him at any time, although not then actually reduced to possession. To constitute payment in such a case the wages must be credited to or set apart to the employee without any substantial limitation or restriction as to the time or manner of payment or condition upon which payment is to be made, and must be made available to him so that they may be drawn at any time, and their payment brought within his own control and disposition.
(2) Wages are not constructively paid even though credited to the account of or set apart for an employee if the employer lacks sufficient funds to make the payment, since the wages cannot be brought within the control and disposition of the employee.
(c) Wages which are constructively paid to an employee as defined in subdivision (b) of this section are taxable even though the employer is unable to complete actual payment for reasons beyond his control, such as inability to locate the employee.
(d) Wages actually or constructively paid to an employee are taxable even though subsequently an amount equal to all or a part of such wages is voluntarily returned to the employer for any reason, for example, impairment of capital resulting from the payment of wages.
(e) Except as provided in Section 1088-3, of these regulations, individual wage earners' data must be reported on the basis of wages actually or constructively paid, which is the same basis as that upon which employer and worker contributions are to be computed for the same period.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 926 and 1088, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
3. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§926-2. Wages--Exclusions From--General.
Note     •     History

“Wages” does not include any of the following:
(a) Payments made by an employer under any of the following circumstances:
(1) Ordinarily, facilities or privileges (such as entertainment, cafeteria facilities, medical services, or so called “courtesy” discounts on purchases), furnished or offered by an employer to his employees generally, if such facilities or privileges are furnished or offered for the purpose of promoting the health, goodwill, contentment, or efficiency of the employees, are not made under a regular or systematic plan to compensate the employees for services rendered, and may be withdrawn by the employer at any time with no obligation for a corresponding increase in remuneration or the substitution of a like facility or privilege. (See Sections 926-3, 926-4, and 926-5, of these regulations for the inclusion of meals and quarters furnished employees as “wages.”)
(2) Gifts in cash or kind of nominal value voluntarily given by an employer to an employee on special occasions, such as Christmas or the marriage or the birthday of the employee, as an expression of goodwill and not based on the rate of pay, the length or degree of prior personal services rendered by the employee, nor paid by the employer as required by a labor union agreement or a contract of hire.
(3) Penalties or damage awards paid by an employer to an employee because of discriminatory practices or for violation of labor-management agreements or of the California Labor Code.
(4) Payments gratuitously made by an employer to a former employee in military service if the employment relationship has terminated.Payments are not gratuitous if they are made by the employer as required in a labor union agreement or a contract of hire. The exclusion under this paragraph does not apply to payments made:
(A) To an officer of a corporation or association who retains his status as an officer of the corporation or association during his military service.
(B) To an employee on temporary leave of absence while training with the United States Armed Forces or any state or National Guard, if it is agreed that the employee will return to employment with the employer upon completion of the training.
(5) Payments made by an employer to an individual not in its employ for leads submitted to the employer on potential customers or clients, commonly referred to as “bird-dog” payments.
(6) Compensation paid by an employer to the widow or estate of a deceased employee for which no services are performed.
(7) Remuneration paid or payable by an employer to a worker for services which are excluded from “employment” by the code (see Sections 606-1 to 653-1, inclusive of these regulations).
(8) Any payment made by an employer which excluded from “wages” by the code (see Sections 926-6, 929-1, 929-2, 931-1, 932-1, 933-1, 936-1, and 937-1 of these regulations).
(b) Compensation received by an employee under the provisions of the Workmen's Compensation Insurance and Safety Act of this state, or similar law of other states, or of the United States.
(c) Drawings by bona fide general partners whether designated as salary or otherwise.
(d) Returns on the capital investments of a limited partner as distinguished from remuneration for personal services of the limited partner.
(e) Payments made by a labor union to an individual under any of the following circumstances:
(1) Strike benefits paid by a labor union to members for the sole purpose of financial assistance during the strike, if there is no performance of, or obligation on the part of the member to perform, or to hold himself available to perform, picket duty or other services.
(2) Penalties or damage awards paid by a labor union to an individual because of discriminatory practices, or for violation of labor-management agreements or of the California Labor Code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 926, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§926-3. Taxable Value of Board and Lodging.
Note     •     History

(a) Board, lodging, or any other payment in kind, received by an employee in addition to, or in lieu of cash wages, shall be taxable on the basis of a reasonably estimated cash value to the employee, as determined or approved by the department as hereinafter provided:
(1) The reasonably estimated cash value of meals, lodging, or other payment in kind to an employee shall not be deemed less than:
(A) The bona fide value stipulated in a union agreement or contract of employment; or
(B) The value established as a basis of compliance with any applicable law governing minimum wages.
(2) Meals. In those cases where subdivision (a)(1) is not applicable, the department shall consider the following scale to be a reasonably estimated cash value of meals to employees:
For the calendar year 2011 and thereafter except as modified herein in accordance with the following provisions of this subdivision:

Three meals per day	 $10.30
Individual meals:
  Breakfast	 $2.25
  Lunch	$3.15
  Dinner	 $4.90
A meal not identifiable as either breakfast, lunch, or dinner	 $3.60
Whenever the average of retail prices of foods in California cities during the twelve months of any fiscal year ending on June 30 varies from the average of prices during the same months ending on June 30, 1969, by 10 percent or more, according to the cost of living indexes published by the United States Department of Labor, Bureau of Labor Statistics, the director shall by authorized regulation modify the 2011 scale for meals upward or downward in substantially the same ratio for the ensuing calendar year.
If, however, it can be shown to the satisfaction of the department in any case that the scale as determined herein exceeds 120 percent of the cost of the raw materials used in preparing meals for employees, the department shall consider 120 percent of the cost of such raw materials to be the basis for a reasonably estimated value of meals to employees.
(3) Lodging.
(A) As a general rule, in those cases where subdivision (a)(1) is not applicable, the department shall consider a reasonable estimated cash value of lodging to an employee, for the calendar year 2011 and thereafter except as modified in accordance with this subdivision, to be 66 2/3 percent of the ordinary rental value to the public but not in excess of $1,193.00 per month or less than $38.70 per week. The following examples illustrate the computation of taxable wages in such cases:

EXAMPLE A
Ordinary rental value to public of lodging per month	$500
Cash value of lodging to employee (66 2/3 percent

 of $500 equals $333.33)	$333.33	Taxable
 		Wages

EXAMPLE B
Ordinary rental value to public of lodging per month	 $1,800.00 
Cash value of lodging to employer (66 2/3 percent

 of $1,800.00 equals $1,200.00. The cash value for 
 2011 cannot be in excess of $1,193.00)	$1,193.00	Taxable
		Wages
EXAMPLE C
Ordinary rental value to public of lodging per week	$50
Cash value of lodging to employee (66 2/3 percent 
 of $50.00 equals $33.33. The cash value for 2011 cannot
 be less than $38.70; 4 weeks times $38.70 equals 
 $154.80)	$154.80	Taxable
		Wages
(B) In those cases where subdivision (a)(1) is not applicable, if the employee receives part of his or her lodging in exchange for a cash payment and part in exchange for services rendered, the department shall consider that only the part received in exchange for services rendered is received in lieu of cash wages. The amount of the cash payment by the employee shall be deducted from the ordinary rental value of the lodging to the public, and the reasonably estimated cash value of the remainder, which is the part received by the employee in lieu of cash wages, shall be 66  2/3 percent of the ordinary rental value to the public but not in excess of $1,193.00 per month. The following examples illustrate the computation of taxable wages in such cases:

EXAMPLE A
Ordinary rental value to public of lodging per month.	 $660    
Employee pays cash for lodging	  60    
Remainder	 600    
Cash value of lodging to employee (66 2/3 percent

 of $600 equals $400)	 400 Taxable
	Wages

EXAMPLE B
Ordinary rental value to public of lodging per month.	 $400    
Employee pays cash for lodging	 190    
Remainder	210    
Cash value of lodging to employee (66 2/3 percent
 of $210 equals $140)	 140 Taxable
	Wages
(C) Whenever the average of residential rent prices in the Los Angeles, San Diego, and San Francisco Metropolitan Areas during the twelve months of any fiscal year ending on June 30 varies from the average of prices during the same months ending on June 30, 1973, by 10 percent or more, according to the residential rent indexes published by the United States Department of Labor, Bureau of Labor Statistics, the director shall by authorized regulation modify the 2011 scale of maximum and minimum rates for lodging upward or downward in substantially the same ratio for the ensuing calendar year.
(4) Where there are unusual facts and circumstances which make any of the foregoing inapplicable, the department shall consider reasonably estimated cash value of meals or lodging to the employees.
(b) Employers shall maintain reasonably complete records of meals and lodging furnished employees as a part of their remuneration. Such records shall be in such form as to show the number and kind of meals actually consumed by employees. If, in any case, an employee objects to the amount of deductions made for contributions on the ground that the value and number of meals furnished or the value of any remuneration in kind is erroneous, he or she may protest to the department and request a determination thereon.
(c) It is immaterial for the purposes of this section that the facilities furnished by the employer are furnished for his or her convenience or the convenience of the employee.
(d) The provisions of this section shall not be construed to include as taxable wages items expended on behalf of the employer and designated as traveling allowance.
(e) This section is not applicable to meals and quarters furnished officers and crew members aboard merchant vessels, or the meals and quarters received by fishermen except as specifically provided in Sections 926-4 and 926-5 of these regulations.
(f) No right or cause of action founded upon any scale of reasonably estimated cash value of meals to employees in effect under provisions existing prior to the amendment of this section shall be abolished or impaired by such amendment.
NOTE

Authority cited: Sections 305, 306 and 310, Unemployment Insurance Code. Reference: Section 926, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-1-77; designated effective 1-1-78 (Register 78, No. 15). For prior history, see Register 76, No. 49. Issuing Agency: Department of Benefit Payments.
2. Amendment filed 11-27-78; designated effective 1-1-79 (Register 78, No. 48).
3. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
4. Amendment filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
5. Amendment filed 3-4-82; effective thirtieth day thereafter (Register 82, No. 10).
6. Amendment of subsection (a) filed 2-11-83; effective thirtieth day thereafter (Register 83, No. 7).
7. Amendment filed 1-6-84; effective upon filing pursuant to Government Code section 11346.2(d) (Register 84, No. 1).
8. Amendment of subsection (a) filed 12-21-84; designated effective 1-1-85 pursuant to Government Code section 11346.2(d) (Register 84, No. 51).
9. Amendment of subsection (a) filed 1-22-86; effective upon filing pursuant to Government Code section 11346.2(d) (Register 86, No. 4).
10. Amendment of subsection (a) filed 12-22-86; designated effective 1-1-87 pursuant to Government Code section 11346.2(d) (Register 86, No. 52).
11. Amendment of subsection (a) filed 1-5-88; operative 1-5-88 (Register 88, No. 3).
12. Amendment of subsection (a) filed 1-17-89; operative 1-17-89 pursuant to Government Code section 11346.2(d) (Register 89, No. 4).
13. Amendment filed 2-8-90; operative 2-8-90 (Register 90, No. 7).
14. Amendment filed 2-27-91; operative 2-27-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 13).
15. Amendment of subsections (a)(2) and (a)(3) filed 6-10-92; operative 7-10-92 (Register 92, No. 24).
16. Amendment of subsections (a)(2) and (a)(3)(A)-(a)(3)(C) filed 12-31-92; operative 1-1-93 (Register 93, No. 1).
17. Amendment of subsections (a)(2) and (a)(3)(A)-(C) filed 3-2-94; operative 3-2-94 (Register 94, No. 9).
18. Editorial correction of subsections (a)(2) and (e) (Register 94, No. 51).
19. Amendment of subsections (a)(2) and (a)(3)(A)-(C) filed 12-21-94; operative 1-1-95 pursuant to Government Code section 11346.2(d) (Register 94, No. 51).
20. Amendment of subsections (a)(2) and (a)(3)(A)-(C) filed 1-26-96; operative 1-26-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 4).
21. Amendment of subsections (a)(2) and (a)(3)(A)-(C) filed 2-6-97; operative 3-8-97 (Register 97, No. 6).
22. Amendment of subsections (a)(2) and (a)(3)(A)-(B) filed 2-9-98; operative 3-11-98 (Register 98, No. 7).
23. Amendment of subsections (a)(2) and (a)(3)(A)-(C) filed 5-7-99; operative 5-7-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 19).
24. Amendment filed 5-18-2000; operative 5-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 20).
25. Amendment of subsections (a)(2)-(a)(3)(C) filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
26. Amendment of subsections (a)(2)-(a)(3)(C) filed 3-21-2002; operative 3-21-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 12). 
27. Amendment of subsections (a)(2)-(a)(3)(C) filed 4-1-2003; operative 4-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 14).
28. Amendment of subsections (a)(2)-(a)(3)(C) filed 8-9-2004; operative 8-9-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 33).
29. Amendment of subsections (a)(2) and (a)(3)(A)-(B) filed 3-14-2005; operative 3-14-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 11). 
30. Amendment of subsections (a)(2) and (a)(3)(A)-(C) and Note filed 3-23-2006; operative 1-1-2006 pursuant to Unemployment Insurance Code section 310 (Register 2006, No. 12).
31. Amendment of subsections (a)(2) and (a)(3)(A)-(C) filed 3-19-2007; designated effective date 1-1-2007 pursuant to Unemployment Insurance Code section 310 (Register 2007, No. 12).
32. Amendment of subsections (a), (a)(2) and (a)(3)(A)-(C) filed 3-3-2008; designated effective date 1-1-2008 pursuant to Unemployment Insurance Code section 310 (Register 2008, No. 10). 
33. Editorial correction of subsection (a)(3)(C) (Register 2008, No. 39).
34. Amendment of subsections (a)(2) and (a)(3)(A)-(C) filed 6-17-2009; operative 1-1-2009 pursuant to Unemployment Insurance Code section 310 (Register 2009, No. 25). 
35. Amendment of subsections (a)(2) and (a)(3)(A)-(C) filed 8-23-2010; operative 1-1-2010 pursuant to Unemployment Insurance Code section 310 (Register 2010, No. 35). 
36. Amendment of subsections (a)(2) and (a)(3)(A)-(C) filed 12-10-2012; operative 1-1-2011 pursuant to Unemployment Insurance Code section 310 (Register 2012, No. 50).
§926-4. Taxable Value of Meals and Quarters Furnished Officers and Crewmen Aboard Vessels.
Note     •     History

(a) Meals and quarters received by officers and crewmen aboard a vessel shall be taxable on the basis of a reasonably estimated cash value to the employee as determined or approved by the department as hereinafter provided:
(1) The reasonably estimated cash value of meals and quarters to an employee shall not be less than:
(A) The bona fide value stipulated in a union agreement or contract of employment; or
(B) The value established as a basis of compliance with any applicable law governing minimum wages.
(2) In those cases where subdivision (a)(1) is not applicable the department shall consider the following scale to be the reasonably estimated cash value to the employee of meals and quarters for the calendar year 2011 and thereafter, except as modified herein in accordance with the following provisions of this subdivision:
(A) Licensed Personnel. For each day or part of a day aboard a vessel, $10.30 for meals plus $8.10 for quarters, or a total of $18.40.
(B) Unlicensed Personnel. For each day or part of a day aboard a vessel, $10.30 for meals plus $5.50 for quarters, or a total of $15.80.
(C) Adjustment of Meals Values. Whenever the average of retail prices of foods in California cities during the twelve months of any fiscal year ending on June 30 varies from the average of prices during the same months ending on June 30, 1969, by 10 percent or more, according to the cost of living indexes published by the United States Department of Labor, Bureau of Labor Statistics, the director shall by authorized regulation modify the 2011 scale for meals upward or downward in substantially the same ratio for the ensuing calendar year.
If, however, it can be shown to the satisfaction of the department in any case that the scale as determined herein exceeds 120 percent of the cost of the raw materials used in preparing meals for employees, the department shall consider 120 percent of the cost of such raw materials to be the basis for a reasonably estimated value of meals to employees.
(D) Adjustment of Quarters Values. Whenever the average of residential rent prices in the Los Angeles, San Diego, and San Francisco Metropolitan Areas during the twelve months of any fiscal year ending on June 30 varies from the average of prices during the same months ending on June 30, 1973, by 10 percent or more, according to the residential rent indexes published by the United States Department of Labor, Bureau of Labor Statistics, the director shall by authorized regulation modify the 2011 scale of rates for quarters upward or downward in substantially the same ratio for the ensuing calendar year.
(b) “Vessel” as used in this section includes freighter, tanker, passenger or any other vessel, except fishing vessels. (Fishing Vessels--See Section 926-5.)
(c) “Licensed personnel” as used in this section includes masters, mates, engineers, pilots, radio telegraphers and any other persons who are licensed pursuant to the United States Shipping Code, and also includes pursers and surgeons and any other persons who are registered pursuant to the United States Shipping Code.
(d) “Unlicensed personnel” as used in this section includes all members of the crew other than persons described in subdivision (c) of this section.
(e) Notwithstanding the provisions of subdivision (a)(2) of this section, if an employer maintains records in such form as to show the number and kind of meals actually consumed by employees the scale for individual meals set forth in subdivision (a)(2) of section 926-3 of these regulations may apply.
(f) It is immaterial for the purposes of this section that the facilities furnished by the employer are furnished for his or her convenience or the convenience of the employee.
(g) No right or cause of action founded upon provisions for the reasonably estimated cash value to officers and crewmen aboard vessels of meals and quarters in effect prior to the amendment of this section shall be abolished or impaired by such amendment.
NOTE

Authority cited: Sections 305, 306 and 310, Unemployment Insurance Code. Reference: Section 926, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-1-77; designated effective 1-1-78 (Register 78, No. 15). For prior history, see Register 76, No. 49. Issuing Agency: Department of Benefit Payments.
2. Amendment filed 11-27-78; designated effective 1-1-79 (Register 78, No. 48).
3. Amendment of subsection (a) filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
4. Amendment filed 12-12-80; effective thirtieth day thereafter (Register 80, No. 50).
5. Amendment filed 3-4-82; effective thirtieth day thereafter (Register 82, No. 10).
6. Amendment of subsection (a) filed 2-11-83; effective thirtieth day thereafter (Register 83, No. 7).
7. Amendment filed 1-6-84; effective upon filing pursuant to Government Code section 11346.2(d) (Register 84, No. 1).
8. Amendment of subsection (a) filed 12-21-84; designated effective 1-1-85 pursuant to Government Code section 11346.2(d) (Register 84, No. 51).
9. Amendment of subsection (a) filed 1-22-86; effective upon filing pursuant to Government Code section 11346.2(d) (Register 86, No. 4).
10. Amendment of subsection (a) filed 12-22-86; designated effective 1-1-87 pursuant to Government Code section 11346.2(d) (Register 86, No. 52).
11. Amendment of subsection (a) filed 1-5-88; operative 1-5-88 (Register 88, No. 3).
12. Amendment of subsection (a) filed 1-17-89; operative 1-17-89 pursuant to Government Code section 11346.2(d) (Register 89, No. 4).
13. Amendment of subsection (a) filed 2-8-90; operative 2-8-90 (Register 90, No. 7).
14. Amendment filed 2-27-91; operative 2-27-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 13).
15. Amendment of subsection (a)(2) filed 6-10-92; operative 7-10-92 (Register 92, No. 24).
16. Amendment of subsections (a)(2)-(a)(2)(D) filed 12-31-92; operative 1-1-93 (Register 93, No. 1).
17. Amendment of subsections (a)(2)-(a)(2)(D) filed 3-2-94; operative 3-2-94 (Register 94, No. 9).
18. Amendment of subsections (a)(2)-(a)(2)(D) filed 12-21-94; operative 1-1-95 pursuant to Government Code section 11346.2(d) (Register 94, No. 51).
19. Amendment of subsections (a)(2)-(a)(2)(D) filed 1-26-96; operative 1-26-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 4).
20. Amendment of subsections (a)(2)-(a)(2)(D) filed 2-6-97; operative 3-8-97 (Register 97, No. 6).
21. Amendment of subsections (a)(2)-(a)(2)(D) filed 2-9-98; operative 3-11-98 (Register 98, No. 7).
22. Amendment of subsections (a)(2) and (a)(2)(D) filed 5-7-99; operative 5-7-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 19).
23. Amendment filed 5-18-2000; operative 5-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 20).
24. Amendment of subsections (a)(2)-(a)(2)(D) filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
25. Amendment of subsections (a)(2)-(a)(2)(D) filed 3-21-2002; operative 3-21-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 12). 
26. Amendment of subsections (a)(2)-(a)(2)(D) filed 4-1-2003; operative 4-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 14).
27. Amendment of subsections (a)(2)-(a)(2)(D) filed 8-9-2004; operative 8-9-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 33).
28. Amendment of subsections (a)(2)-(a)(2)(D) filed 3-14-2005; operative 3-14-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 11). 
29. Amendment of subsections (a)(2)-(a)(2)(D) and Note filed 3-23-2006; operative 1-1-2006 pursuant to Unemployment Insurance Code section 310 (Register 2006, No. 12).
30. Amendment of subsections (a)(2)-(a)(2)(D) filed 3-19-2007; designated effective date 1-1-2007 pursuant to Unemployment Insurance Code section 310 (Register 2007, No. 12).
31. Amendment of subsections (a)(2)-(a)(2)(D) filed 3-3-2008; designated effective date 1-1-2008 pursuant to Unemployment Insurance Code section 310 (Register 2008, No. 10). 
32. Editorial correction of subsection (a)(2)(C) (Register 2008, No. 39).
33. Amendment of subsections (a)(2)-(a)(2)(D) filed 6-17-2009; operative 1-1-2009 pursuant to Unemployment Insurance Code section 310 (Register 2009, No. 25). 
34. Amendment of subsections (a)(2)-(a)(2)(D) filed 8-23-2010; operative 1-1-2010 pursuant to Unemployment Insurance Code section 310 (Register 2010, No. 35). 
35. Amendment of subsections (a)(2)-(a)(2)(D) filed 12-10-2012; operative 1-1-2011 pursuant to Unemployment Insurance Code section 310 (Register 2012, No. 50).
§926-5. Taxable Value of Meals and Quarters Received by Fishermen Aboard Fishing Vessels.
Note     •     History

(a) Meals and quarters received by fishermen aboard fishing vessels shall be taxable on the basis of a reasonably estimated cash value to the employee as determined or approved by the department as hereinafter provided: 
(1) Meals. The value of meals may be computed on one of the following bases, at the option of the employer: 
(A) The cost of food furnished to or consumed by fishermen shall be equally divided by the number of fishermen to determine the taxable value of meals to each fisherman. 
(B) If an employer maintains records in such form as to show the number and kind of meals actually consumed by fishermen the scale as set forth in Section 926-3(a)(2) of these regulations may be applied. 
(2) Quarters. 
(A) For the calendar year 2011 and thereafter except as modified in accordance with this subdivision, quarters furnished fishermen aboard fishing vessels have a cash value to the employee of $38.70 a week, or $5.50 a day for periods less than a week, where the facilities include the following minimum standards: 
1. Living compartment space that normally permits standing erect. 
2. Heat, light and ventilation. 
3. Gear locker. 
4. Head and bathing facilities. 
5. Individual bunks or berths with mattresses, assigned to each fisherman. 
(B) Quarters which do not meet the above minimum standards have no cash value to the fishermen.
(3) Adjustment of Quarters Values. Whenever the average of residential rent prices in the Los Angeles, San Diego, and San Francisco Metropolitan Areas during the twelve months of any fiscal year ending on June 30 varies from the average of prices during the same months ending on June 30, 1973, by 10 percent or more, according to the residential rent indexes published by the United States Department of Labor, Bureau of Labor Statistics, the director shall by authorized regulation modify the 2011 scale of rates for quarters upward or downward in substantially the same ratio for the ensuing calendar year. 
(b) It is immaterial for the purposes of this section that the cost of food consumed aboard fishing vessels is borne by the employer, by the employees or is shared by the employer and employees. The following examples illustrate the computation of taxable wages under two methods of accounting where the employer elects to apply the formula set forth in subdivision (a)(1)(A) of this section. It is assumed that the share for the owner or operator of the vessel is 40 percent and the fishermen's share is 60 percent. 
EXAMPLE A. All operating expenses, including the cost of food consumed aboard, are deducted from the gross receipts from sale of the catch. The remainder is divided into two shares, one for the owner or operator of the vessel and the other to be distributed among the fishermen. The fishermen's cash wages plus the total cost of food constitute taxable wages.

Gross proceeds from sale of the catch		 $1,000
Less fuel and other operating expenses	$200
Less cost of food	  100	  300
		700
Less: Owner or operator's share (40 percent)		    280
Fishermen's share (60 percent) (cash wages)		   420
Add cost of food consumed		    100
  Total		 $520	Taxable
			wages

(i) Taxable wages each person, assuming 5 men with equal shares--$104.

(ii) Taxable wages each person, assuming 5 men, 1 man having 2 shares, and 4 men having 1 share each: 

		Add cost	Total 

	Cash	of food	taxable wages

	Fisherman “A”	 $140	$20	$160
	Fisherman “B”	  70	20	90
	Fisherman “C”	  70	20	90
	Fisherman “D”	  70	20	90
	Fisherman “E”	    70	   20	   90
		$420	$100	$520
EXAMPLE B. All operating expenses, except cost of food consumed aboard, are deducted from the gross receipts from sale of the catch. The remainder is divided into two shares, one for the owner or operator of the vessel and the other to be distributed among the fishermen. The amount of the fishermen's share before deduction of the cost of food constitutes taxable wages. 

Gross proceeds from sale of the catch 	$1,000
Less fuel and other operating expenses	     200
	800
Owner or operator's share (40 percent)	 320
Fishermen's share (60 percent)	 480	Taxable
		wages
Less cost of food	  100
Cash wages	 $380

(i) Taxable wages each person, assuming 5 men with equal shares--$96. 

(ii) Taxable wages each person, assuming 5 men, 1 man having 2 shares, and 4 men having 1 share each: 

	Total 

	Taxable	Less cost 

	wages	of food 	Cash

	Fisherman “A”	 $160	$20	$140
	Fisherman “B”	  80	20	60
	Fisherman “C”	  80	20	60
	Fisherman “D”	  80	20	60
	Fisherman “E”	    80	   20	   60
		$480	$100	$380
(c) “Fishermen” as used in this section includes all persons aboard the vessel who are entitled to receive a share-of-the-catch or who are remunerated on any other basis. 
(d) It is immaterial for the purposes of this section that the facilities furnished by the employer are furnished for his or her convenience or the convenience of the employee. 
(e) No right or cause of action founded upon provisions for the reasonably estimated cash value to fishermen of meals and quarters in effect prior to the amendment of this section shall be abolished or impaired by such amendment. 
NOTE

Authority cited: Sections 305, 306 and 310, Unemployment Insurance Code. Reference: Section 926, Unemployment Insurance Code. 
HISTORY

1. Amendment filed 1-6-84; effective upon filing pursuant to Government Code section 11346.2(d) (Register 84, No. 1). For prior history, see Register 83, No. 7. 
2. Amendment of subsection (a) filed 12-21-84; designated effective 1-1-85 pursuant to Government Code section 11346.2(d) (Register 84, No. 51). 
3. Amendment of subsection (a) filed 1-22-86; effective upon filing pursuant to Government Code section 11346.2(d) (Register 86, No. 4). 
4. Amendment of subsection (a) filed 12-22-86; designated effective 1-1-87 pursuant to Government Code section 11346.2(d) (Register 86, No. 52). 
5. Amendment of subsection (a) filed 1-5-88; operative 1-5-88 (Register 88, No. 3). 
6. Amendment of subsection (a) filed 1-17-89; operative 1-17-89 pursuant to Government Code section 11346.2(d) (Register 89, No. 4). 
7. Amendment of subsection (a) filed 2-8-90; operative 2-8-90 (Register 90, No. 7). 
8. Amendment filed 2-27-91; operative 2-27-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 13).
9. Amendment of subsections (a)(2) and (a)(3) filed 6-10-92; operative 7-10-92 (Register 92, No. 24).
10. Amendment of subsections (a)(2)(A) and (a)(3) filed 12-31-92; operative 1-1-93 (Register 93, No. 1).
11. Amendment of subsections (a)(2)(A) and (a)(3)(B) filed 3-2-94; operative 3-2-94 (Register 94, No. 9).
12. Editorial correction of subsections (a)(1)(B) and (b) (Register 94, No. 51).
13. Amendment of subsections (a)(2)(A), (a)(3) and (b) filed 12-21-94; operative 1-1-95 pursuant to Government Code section 11346.2(d) (Register 94, No. 51).
14. Amendment of subsections (a)(2)(A) and (a)(3) filed 1-26-96; operative 1-26-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 4).
15. Amendment of subsections (a)(2)(A) and (a)(3) filed 2-6-97; operative 3-8-97 (Register 97, No. 6).
16. Amendment of subsections (a)(2)(A) and (a)(3) filed 2-9-98; operative 3-11-98 (Register 98, No. 7).
17. Amendment of subsections (a)(2)(A) and (a)(3) filed 5-7-99; operative 5-7-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 19).
18. Amendment of subsections (a)(2)(A) and (a)(3) filed 5-18-2000; operative 5-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 20).
19. Amendment of subsections (a)(2)(A)-(a)(3) filed 4-10-2001; operative 4-10-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 15). 
20. Amendment of subsections (a)(2)(A) and (a)(3) filed 3-21-2002; operative 3-21-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 12). 
21. Amendment of subsections (a)(2)(A) and (a)(3) filed 4-1-2003; operative 4-1-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 14).
22. Amendment of subsections (a)(2)(A) and (a)(3) filed 8-9-2004; operative 8-9-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 33).
23. Amendment of subsections (a)(2)(A)-(a)(3) filed 3-14-2005; operative 3-14-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 11). 
24. Amendment of subsections (a)(2)(A) and (a)(3) and Note filed 3-23-2006; operative 1-1-2006 pursuant to Unemployment Insurance Code section 310 (Register 2006, No. 12).
25. Amendment of subsections (a)(2)(A) and (a)(3) filed 3-19-2007; designated effective date 1-1-2007 pursuant to Unemployment Insurance Code section 310 (Register 2007, No. 12).
26. Amendment of subsections (a)(2)(A) and (a)(3) filed 3-3-2008; designated effective date 1-1-2008 pursuant to Unemployment Insurance Code section 310 (Register 2008, No. 10). 
27. Amendment of subsections (a)(2)(A) and (a)(3) filed 6-17-2009; operative 1-1-2009 pursuant to Unemployment Insurance Code section 310 (Register 2009, No. 25). 
28. Amendment of subsections (a)(2)(A) and (a)(3) filed 8-23-2010; operative 1-1-2010 pursuant to Unemployment Insurance Code section 310 (Register 2010, No. 35).
29. Amendment of subsections (a)(2)(A) and (a)(3) filed 12-10-2012; operative 1-1-2011 pursuant to Unemployment Insurance Code section 310 (Register 2012, No. 50).
§926-6. Wages--Advances and Loans.
Note     •     History

(a) “Wages” does not include a loan made by an employer to an employee, but earnings for services in employment applied to reduce the debt under the loan are “wages” at the time they are actually or constructively paid. (See Section 926-1 of these regulations for interpretation of “constructively paid.”) As used in this section, “loan” means a payment made by an employer to an employee in consideration of an oral or a written agreement between the employer and the employee for repayment in full, irrespective of earnings in the employ of the employer.
(b) “Wages” includes an advance made by an employer to an employee at the time the advance is actually or constructively paid, rather than at the time the prior advance is charged against later earnings for services in employment. (See Section 926-1 of these regulations for interpretation of “constructively paid.”) As used in this section, “advance” means a payment made by an employer to an employee to be charged against future earnings by the employee for services in employment, which does not create a debt, and which generates no obligation of repayment except from future earnings by the employee for services in employment by the employer.
(c) The employer's institution of legal proceedings or other evidence of his bona fide effort to recoup amounts paid to an employee in excess of the employee's earnings for services in employment creates an inference that the amounts paid to the employee are loans, rather than advances.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 926, Unemployment Insurance Code.
HISTORY

1. New section field 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Editorial correction of subsection (a) (Register 2008, No. 32).
§926-7. Wages--Inclusions--In General.
Note     •     History

“Wages” includes, but is not limited to, the following types of remuneration for services in employment:
(a) Any payment by an employer, without deduction from the remuneration of, or other reimbursement from an employee, for taxes imposed on the employee.
(b) Amounts in lieu of cash wages which are offset by an employer against a debt due from an employee, or applied against a debt owed to a third party by the employee.
(c) The ordinary rental value to the public of business premises furnished by an employer to an employee for his or her personal use in his or her own separate business in addition to or in lieu of cash wages.
(d) Any deduction from the remuneration due an employee made by an employer to accumulate a contingency reserve to reimburse the employer for a loss or liability resulting from the commission or omission of an act by the employee in the course of his or her employment.
(e) All remuneration paid by an employer for personal services whether or not at the time the payment is made the employer-employee relationship has terminated.
(f) Vacation payments made by or on behalf of an employer to or on behalf of an employee, whether or not the employee takes vacation or receives the payment in lieu of vacation time off, except as provided by Section 1265.5 of the code.
(g) Sick pay made by or on behalf of an employer to or on behalf of an employee, except as provided by Sections 931, 933, and 1265.5 of the code, and Sections 931-1 and 933-1 of these regulations.
(h) Holiday payments made by or on behalf of an employer to or on behalf of an employee, except as provided by Section 1265.5 of the code.
(i) Awards of back pay paid by an employer or jointly by the employer and a labor union to an employee pursuant to an order of the National Labor Relations Board, the Agricultural Labor Relations Board, the Equal Employment Opportunity Commission, the Fair Employment and Housing Commission, or an employer's own grievance procedure.
(j) Additional wages or additional overtime compensation paid by an employer to an employee pursuant to the Fair Labor Standards Act or the Walsh-Healey Public Contracts Act, the Davis-Bacon Act or the California Labor Code.
(k) Not less than a minimum wage required by law to be paid to an employee, if the employer does not have records of the amount of wages actually or constructively paid. (See Section 926-1 of these regulations for interpretation of “constructively paid.”)
(l) Payments by an employer to an individual made as royalty payments for a license to manufacture patented articles, if the employer and the individual have an agreement under which the employer has the right, title, and interest to the patented article in consideration of the individual's employment by the employer and the royalty payments. Royalty payments are not “wages” if the individual has the right, title, and interest in the patent for the article and the employer makes royalty payments to the individual apart from any contract of employment.

CROSS-REFERENCE: For the inclusion of tips as “wages,” see Sections 927-1, 927.5-1, 986.5-1, and 987.7-1 of these regulations. For the inclusion of the value of meals and quarters as “wages,” see Sections 926-3, 926-4, and 926-5 of these regulations. For the inclusion of advances against future earnings as “wages,” see Section 926-6 of these regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 926, Unemployment Insurance Code.
HISTORY

1. New section filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
2. Amendment of subsections (c), (d) and cross-reference filed 11-27-78; designated effective 1-1-79 (Register 78, No. 48).
3. Amendment of subsections (a), (i) and (j) filed 11-20-86; effective thirtieth day thereafter (Register 81, No. 47).
§927-1. Tips as Wages.
Note     •     History

(a) Statements by employees.
(1) Every employee who, in the course of his or her employment by an employer, receives in any calendar month cash tips of twenty dollars ($20) or more shall report all such tips in one or more written statements furnished to his or her employer on or before the tenth (10th) day following such month.
(A) If the cash tips received by an employee in a calendar month, in the course of his employment by an employer amount to twenty ($20) or more, none of the cash tips received by the employee in such calendar month are excluded from wages under this section. The cash tips to which this section applies include checks, tips added to the bill of a charge customer at his or her request, and other monetary media of exchange. Tips given by a patron to or for an employee in any medium other than cash, such as passes, tickets, or other goods or commodities do not constitute wages.
(B) If an employee in any calendar month performs services for two or more employers and receives tips in the course of his or her employment by each employer, the twenty dollar ($20) test is to be applied separately with respect to the cash tips received by the employee in respect of his or her services for each employer and not to the total cash tips received by the employee during the month.
(2) The employee's statement may be a completed “Employee's Report of Tips to Employer”, Federal Form 4070 Rev. 10/92, incorporated by reference, or any form giving the following information:
(A) Employee's name, address and Social Security account number;
(B) Employer's name and address;
(C) Calendar month covered by the statement;
(D) Amount of the tips received;
(E) Date and signature of the employee;
(3) The employee's statement should be prepared in duplicate with the original copy going to the employer and the duplicate copy dated and countersigned by the employer and returned to the employee for his or her record.
(4) Upon termination of employment, the employee shall furnish a statement of tips to his or her employer at the time he or she ceases to perform services.
(b) Employers.
(1) Tips reported by an employee to his or her employer in a written statement shall be deemed to be earned for purposes of this regulation and paid to the employee at the time the written statement is furnished to the employer.
Example (1) An employee received $40 in tips in the month of May. The employee reports to the employer the $40 on June 10. The tips received in May would be reported on the second quarter return.
Example (2) In the example above, the employee received the $40 in the month of June and reports the tips to the employer on July 10. The tips received would be reported in the third quarter.
Example (3) As in example (2), the employee received $40 in June; however, the employee reported the $40 in tips for that month on June 30. The tips received would be reported in the second quarter.
(2) The employer can collect the disability contribution from the employee's wage or from funds furnished to the employer by the employee. If the employer is unable to collect the disability insurance contribution, the employer can supply the employee with the Form DE 370 “Statement of Amount Due From Worker” Rev. 4: (9/89), incorporated by reference. Completion of the Form De 370 Rev. 4: (9/89) will relieve the employer of the uncollected employee liability.
(3) In the event that an employer estimates or allocates the amount of tips received by the employee, the employer will reconcile the estimate or allocation with the actual amount of tips reported by such employee and adjust for any differences. The actual amount of tips reported by the employee will be reflected in the contributions return filed for the quarter. The employer should adjust for any differences between the amount of disability insurance withheld and the amount due is indicated by the statement submitted by the employee.
(4) If the employee has made an attempt to report his or her tips to the employer, and the employer did not accept the employee's written statement of tips received, the amount of tips as reflected by the employee's records shall be deemed to have been reported and shall be considered wages within the meaning of section 927 of the code.
(c) In the absence of a monthly or other payroll period report of tips by the employee, any claim thereafter made by him or her for wage credit for tips for that month shall be deemed invalid, and unreported tips for that month shall not be included in the computation of benefits.
(d) When tips are pooled and the employer determines the split of the tips, the tips paid from the pool are wages under Section 926 of the code. The employee must receive the total amount of the tips from a customer or the total amount of the tips minus a maximum of 15 percent contribution to a tip pool, to be considered tips under Section 927. This includes tips paid in cash or the tip portion paid by the employer to the employee when a customer pays by check or charge card. If the employee is required to pay more than 15 percent to a tip pool, or the employer pays less than 85 percent of the total amount of its tips to the employee, then the amount retained by the employee or paid over by the employer is wages under Section 926. Wages under Section 926 of the code are taxable and reportable when actually or constructively paid.
(e) Service charges, even if designated as banquet tips or other name including the word “tips”, are not tips and are wages under Section 926 of the code. The term “service charge” refers to a sum of money which the patron pays to the employer and which meets two or more of the following criteria:
(1) The employer determines whether or not such a sum of money must be paid;
(2) The employer determines, or negotiates with the patron, the exact amount of the sum which the patron must pay, and
(3) The employer determines to which employee(s), if any, the sum is to be paid.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 926 and 927, Unemployment Insurance Code.
HISTORY

1. Amendment of subsection (c) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Amendment filed 8-18-93; operative 9-17-93 (Register 93, No. 34).
§927.5-1. Tips Are Wages for Disability Insurance Purposes Only. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 927.5, Unemployment Insurance Code.
HISTORY

1. New section filed 2-21-78 as an emergency; effective upon filing (Register 78, No. 8).
2. Certificate of Compliance filed 5-8-78 in the week of Register 78, No. 19. Printed in Register 78, No. 39 for technical reasons.
3. Amendment of subsection (a) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
4. Change without regulatory effect repealing section filed 3-30-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 14).
§928-1. Allocations of Wages Paid at Irregular or Infrequent Intervals. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 306, 928 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer filed 9-5-61, designated effective 9-15-61 (Register 61, No. 18).
§929-1. Allowance for Traveling, Automobile, and Other Business Expenses.
Note     •     History

(a) “Wages” does not include the actual amount of traveling, automobile and other required or necessary business expenses incurred by an employee in connection with his employment; provided however, that the employee shall maintain such reasonable records as will enable him to account to his employer for the amount of the expenses actually incurred by him and that the employer shall keep such reasonable records as will show the portions of the total amount which represent respectively expenses and remuneration for services.
(b) If proper records are maintained, an expense may be allowed either where the employer pays the employee a gross sum out of which the employee pays his expenses, or where the employee expends his own funds and is reimbursed by the employer.
(c) The accounting between the employee and his employer shall be accomplished for periods not greater than a calendar quarter and not less often that once each quarter so the employer may have knowledge of that portion of the payment which is remuneration for personal services for the purpose of properly preparing the quarterly contribution and earnings returns.
(d) Nothing herein shall preclude a reasonable flat daily, weekly, monthly, or other periodic allowance to cover traveling and similar expenses actually incurred and not in fact remuneration for services performed. Where the employer computes expenses on a fixed flat allowance basis, the employer shall, at all times, be prepared to substantiate the amount claimed to be expense items and to show that no part of it represents additional remuneration for employment. A statement of expenses by the employee shall constitute a rebuttable presumption that the employer has complied with this section.
(e) Allowance for automobile expense may be computed on any one of the following bases:
(1) The actual expense incurred, if the records show the actual expenditures for fuel and other automobile expense.
(2) A reasonable fixed mileage rate, if the records show the actual miles traveled by the employee in the employer's business.
(3) A reasonable flat periodic allowance, if the employer substantiates the reasonableness of the computation at the request of the department.
(f) Payments to an employee made under an agreement providing for reasonable flat daily allowances for travel expense based on specified mileage zones measured from a fixed central point are reasonable flat periodic allowances and required or necessary business expenses under this section, regardless of the actual mileage traveled by the employee, if there is a reasonable inference that payments made for shorter trips will offset payments made for longer trips.
(g) Payments for time spent in travel by an employee who is compensated for time required to reach his job location are not required or necessary business expenses.
(h) An allowance for automobile expense incurred by an employee is not a required or necessary business expense if incurred in the use of his automobile for pleasure, or to go to and from his home and a fixed place of work, except as provided in subdivision (f), or for any other personal purpose.
(i) An allowance for personal expense incurred by an employee which is not directly attributable to employment, such as rent, clothing, dues, or assessments, is not a required or necessary business expense.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 929, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§929-2. Allowance for Rental of Space and Equipment and Cost of Supplies.
Note     •     History

(a) “Wages” does not include the reasonable rental value of land or building space or equipment, or the actual cost of supplies and materials, furnished by an employee to his employer, if the employer:
(1) Maintains a record of the portion of gross remuneration paid as rental or for supplies and materials and the portion of gross remuneration paid as wages.
(2) Substantiates the reasonableness of rental charges and the actual cost of supplies and materials at the request of the department.
(b) In determining the reasonable rental value of land or building space furnished by an employee to his employer, the reasonable rental value shall not exceed the rental price of similar facilities in the same locality, nor the actual rental price being paid by the employee if he is not the owner of the land or building.
(c) In determining the reasonable rental value of equipment furnished by an employee to his employer, other than equipment described in subdivision (d) of this section, the following shall apply:
(1) If the contract of employment specifies a reasonable division of the total amount paid between wages and equipment rental, the rental value is the amount established under the contract.
(2) If the contract of employment does not specify a reasonable division of the total amount paid between wages and equipment rental, the department may make an allocation on the basis of either the prevailing wage scale for the same type of services in the same locality, or the prevailing rental value of similar equipment in the same locality.
(d) In determining the reasonable rental value of power chain saws and other equipment furnished by fallers, buckers and limbers in the logging and lumbering industries, the following shall apply:
(1) The reasonable rental value of power chain saws shall, at the option of the employer, be computed on any of the following bases:
(A) Twenty percent of the gross remuneration paid for falling, bucking and limbing, regardless of the overall rate per thousand board feet felled.
(B) The actual expense incurred by the employee, if the records show the initial cost of the saw, depreciation, maintenance and operational overhead in connection with services performed for the employer, and the employer establishes to the satisfaction of the department that the actual expense differs from the estimated allowance provided in paragraph (1)(A) of this subdivision.
(C) The reasonable rental value specified in the contract of employment, but not to exceed the estimated allowance provided in paragraph (1)(A) of this subdivision.
(2) Power chain saw rental is limited to one allowance per saw whether the saw is owned solely by one employee or by several employees jointly. For example:
(A) If two employees work as a team with one employee furnishing the saw, the saw rental rate is applied against the total earnings of the team and the entire saw rental allowance is allocable to the employee furnishing the saw.
(B) If two employees work as a team and furnish the saw jointly, the saw rental rate is applied against the total earnings of the team and one-half of the saw rental allowance is allocable to each member of the team.
(3) No rental allowance is applicable to hand tools or equipment of nominal value including, but not limited to, axes, gunning sticks, peeling bars, plates, sledges, shims and wedges.
(e) The cost of hand tools and work clothing customarily furnished by an employee shall not be considered equipment or supplies furnished by an employee to his employer for purposes of this section.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 929, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§929-3. Period Allowable for Offset of Expenses Against Wages.
Note     •     History

If an employee incurs expenses which are allowable exclusions from wages under Section 929-1 or 929-2 of these regulations but does not receive reimbursement from his employer for such expenses, excesses of expenses over wages in any calendar quarter may be offset against wages in subsequent calendar quarters of the same calendar year, but they may not be carried over and offset against wages in any subsequent calendar year. If such expenses exceed wages in the last calendar quarter of a calendar year, or the last calendar quarter in which an employee is employed, the employee's wages for the entire year may be recomputed by deducting the total expenses for the year from the total wages for the year and thereafter the corrected net wages for each calendar quarter may be computed according to the length of employment in each such calendar quarter.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 929 and 1088, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§929-4. Burden of Proof of Substantiating Expenses or Allowances.
Note     •     History

Regardless of any of the methods described in Sections 929-1, 929-2, and 929-3 of these regulations which are used in computing expenses or allowances, the burden of proof shall be entirely upon the employer to establish the correctness of the expenses or allowances to the satisfaction of the department. Unless it can be established to the satisfaction of the department that the amount claimed represents only actual reimbursement for required or necessary expenses incurred in the course of the worker's employment, all or any part of the amount claimed may be disallowed.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 929, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§930-1. Limitation on Amount of Taxable Wages.
History

HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment filed 9-5-61; designated effective 9-15-61 (Register 61, No. 18).
3. Repealer filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
§930.5-1. Limitation on Amount of Taxable Wages-- Application to Acquiring Employer.
Note     •     History

(a) The following definitions apply to terms used in Section 930.5 of the code:
(1) “Acquiring employer” means an employing unit which qualifies as an employer as defined in Article 3 (commencing with Section 675) of Chapter 3 of Part 1 of Division 1 of the code under any of the following circumstances:
(A) Prior to the date of acquisition.
(B) In the calendar quarter in which the acquisition occurred.
(C) During the calendar quarter immediately succeeding the calendar quarter in which the acquisition occurred.
(2) “Acquisition” means a transfer of possession and control of the property by any means, including purchase, lease, gift, bequest, merger, or incorporation.
(3) “Substantially all the property used in a trade or business” or “used in a separate unit of a trade or business” is acquired if an employing unit acquires all of the property of a trade or business, or a separate unit thereof, of any employer which generates substantially all of the employment, except any property retained by the predecessor incident to the liquidation of his obligations.
(4) A “separate unit” is acquired if an employing unit acquires factors of any employer's trade or business sufficient to constitute an existing separable going business unit as distinguished from the acquisition of merely dry assets from which a new business may be built. The question of whether a separate unit is acquired is determined from all of the factors of the particular case. Among the factors to be considered are:
(A) The place of business.
(B) The staff of employees.
(C) The customers.
(D) The goodwill.
(E) The trade name.
(F) The stock in trade.
(G) The accounts receivable.
(H) The tools and fixtures.
(I) Other assets.
(b)(1) For the purpose of determining the application of the limitations on taxable wages under Sections 930 and 985 of the code, wages paid during a calendar year by the predecessor employer to an individual prior to the acquisition shall be considered as having been paid by the acquiring employer if not more than two pay periods elapse between the performance of services by the individual for the predecessor employer and for the acquiring employer and the individual performs services in employment either:
(A) For the predecessor employer during the calendar quarter in which the acquisition occurred, and for the acquiring employer either during such calendar quarter or during the calendar quarter immediately following such calendar quarter; or
(B) For the acquiring employer during the calendar quarter in which the acquisition occurred, and for the predecessor employer either during such calendar quarter or during the calendar quarter immediately preceding such calendar quarter.
(2) Notwithstanding paragraph (1) of this subdivision, an individual who performs services for the predecessor employer and the acquiring employer within the calendar quarters as specified by paragraph (1) of this subdivision shall be deemed to have been employed by the predecessor employer “immediately prior to the acquisition” and by the acquiring employer “immediately after the acquisition” if the acquiring employer temporarily closes the trade or business for a period not exceeding three months for the purpose of restocking or reconstruction or refurbishing of the business premises and the individual has not performed services for the acquiring employer during the period of, or performs services during a portion of the period of, the temporary closure of the trade or business.
(c) Wages paid by the predecessor employer for services performed in its employ after the date of acquisition shall not be considered as having been paid by the acquiring employer.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 930.5, Unemployment Insurance Code.
HISTORY

1. New section filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§931-1. Wages--Employers' Plans Providing for Payments to Employees on Account of Sickness, Accident Disability, Medical or Hospitalization Expense in Connection with Sickness or Accident Disability, or Death.
Note     •     History

(a) A plan or system established by an employer may provide for any one or more of the benefits specified by Section 931 of the code. Payments for any such benefits under a plan or system established by an employer solely for the benefit of the dependents of his employees are not excluded from “wages” under Section 931 of the code.
(b) A plan or system established by an employer for payment of benefits pursuant to Section 931 of the code shall:
(1) Provide that payment shall be made under conditions designated in the plan.
(2) Specify the amount of the payment or the formula by which the amount of payment is computed, and the duration of benefits.
(3) Specify the standards to be used in determining the eligibility of the beneficiary, such as length of service, salary, classification or occupation of an employee, and such other standards as the employer may establish to determine the eligibility of dependents of an employee.
(c) The employer shall inform employees affected by a plan or system under Section 931 of the code of the terms and conditions of the plan or system.
(d) Payments to an employee or his dependents under a plan or system established by an employer to provide for any of the benefits specified by Section 931 of the code are not excluded from “wages” under such section if such payments are made pursuant to a provision of the plan or system whereby the employee has:
(1) The option to receive any part of the payment made for benefits, or if such benefits are insured, any part of the premium (or contributions to premiums) paid by the employer.
(2) The right to assign such benefits.
(3) The right to receive a cash consideration either upon his withdrawal from the plan or system providing for such benefits or upon termination of such plan or system or policy of insurance, or upon termination of his employment with the employer.
(e) Dependents of an employee include the employee's husband or wife, children, and any other members of the employee's immediate family.
(f) If a plan or system otherwise meets the requirements of Section 931 of the code, amounts paid into such plan or system by the employer to provide for the specified benefits are not “wages,” even though some payments made from the plan or system may not be excluded from “wages” as described in subdivision (d) of this section.
(g) It is immaterial for purposes of this section whether the amount or possibility of the benefit payments is taken into consideration in fixing the amount of an employee's remuneration or whether such payments are required, expressly or impliedly, by the contract of service.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 931, Unemployment Insurance Code.
HISTORY

1. New Section filed 4-3-73; effective thirtieth day thereafter (Register 73, No. 15).
2. Amendment of Note filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Change without regulatory effect amending heading and repealing cross-reference filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§931.5-1. Third Party Sick Pay.
Note     •     History

(a) Wages. Wages include payments made for sickness or accident disability pursuant to Section 931(a) of the code, unless the payment is made under a worker's compensation law or after the period specified in Section 933 of the code. Payments for sickness or accident disability made by a third party are considered wages for purposes of unemployment insurance and the employment training fund and are not wages for disability insurance purposes. Payments for sickness or accident disability made by a third party are not subject to California personal income tax withholding unless a request has been filed pursuant to Section 13028.6 of the code.
(b) Reporting Requirements. A third party payer who makes sick pay payments shall be treated as the employer unless the third party payer complies with the notification requirements of Section 931.5 of the code. If the third party payer does not meet the notification requirements of Section 931.5 of the code, then the third party payer must comply with the reporting requirements of subdivision (a) of Section 1088 of the code and must pay any contributions which are due for unemployment insurance and the employment training fund. See Section 13050(d) of the code for reporting requirements pursuant to Division 6 of the code.
(c) Third Party Payer. For purposes of this section a third party payer is the party who makes payments on account of sickness or accident disability and who is not the party for whom the employee performed services. The payments must be made on account of employment, as defined in Section 601 of the code, and must result from funding by an employer which was not includible in the gross income of the employee; therefore, payments made through funding by an employee for sickness and disability are excluded under this section. Contributions paid by an employee to fund the State disability insurance program pursuant to Part 2 of Division 1 of the code are a contribution by the employee, and therefore the benefits do not constitute third party sick pay. See subdivision (d) of this regulation for situations involving payments made partially by the employer and partially by the employee.
A party making a payment on account of sickness or accident disability as an agent of the employer or making such payment directly to the employer, is not a third party payer and will not be treated as the employer under subdivision (a). The determining factor, in distinguishing between a third party payer and an agent for this purpose, is whether the payer bears any risk. If the payer bears no insurance risk and is reimbursed on a cost plus fee basis, the payer is not a third party even if the payer is responsible for making determinations of the eligibility of individual employees of the employer. Without insurance risk the third party is making payments with the employer's money, and therefore the employer must report the sick pay as wages. If the payer is paid an insurance premium and is not reimbursed on a cost plus fee basis, the payer is a third party payer, but may be treated as the employer in accordance with subdivision (b).
The application of the provisions of this paragraph may be illustrated by the following examples: 
EXAMPLE 1. Pursuant to an agreement with Company U, Insurance Company V makes payments on account of sickness or accident disability to U's employees. Such payments are not made under a workers' compensation law. U reimburses V for all such payments and pays V a fee for its expenses of administering the payments. V is an agent of the employer and is not a third party payer. 
EXAMPLE 2. Pursuant to an agreement with Company W, Insurance Company X indemnifies W for the amount of any payments which W must make to an employee on account of sickness or accident disability. Such payments are not made under a workers' compensation law. X makes its indemnity payments directly to W. W makes the payments to its employees. X is not a third party payer. 
EXAMPLE 3. Pursuant to an agreement with Company Y, Insurance Company Z makes payments on account of sickness or accident disability to Y's employees. Such payments are not made under a workers' compensation law. Z does not notify Y of the amount of such payments within the time required by law. Z is treated as the employer with respect to such payments.
(d) Determination of taxable wages. In those cases where the employer and the employee each pay a portion of the premiums or payments to a plan, the amount attributable to the employer is taxable wages and shall be determined in accordance with the following:
(1) Individual policies. If the sick pay coverage is provided under an individual policy of accident or health insurance purchased by premiums paid partly by the employer and partly by the employee, the portion of the benefit amount received which is attributable to the employer's pro rata share of the premiums for the current policy year represents taxable wages. This rule may be illustrated by the following example: 
EXAMPLE. Employer A maintains a plan whereby he pays two-thirds of the annual premium cost on individual policies of sickness and accident disability insurance for his employee. The remainder of each employee's premium is paid by a payroll deduction from the wages of the employee. The annual premium for employee H is $240, of which $160 is paid by the employer. Thus, $160/$240 or two-thirds of all amounts received by H under such insurance policy are attributable to the premiums paid by the employer.
(2) Group Policies. If the sick pay coverage is provided under or is a part of a group insurance policy purchased with premiums paid by the employer and the employees, that portion of the benefit amount received by an employee which is attributable to employer's pro rata share of the net premiums for the last three policy years which are known at the beginning of the calendar year represents taxable wages. Net premiums are the total premiums less retroactive premium adjustments, such as dividends and credits. If the net premiums for coverage for a period of at least three policy years are not known at the beginning of the calendar year but are known for at least one policy year, the determination of taxable wages shall be made by using the net premiums which are known at the beginning of the calendar year. If the net premiums for coverage are not known at the beginning of the calendar year for even one policy year, the determination of taxable wages shall be made by using a reasonable estimate of the net premiums for the first policy year. These rules may be illustrated by the following examples: 
EXAMPLE 1. Company X purchased a package of group insurance benefits from an insurance company. The company pays $60 per month per employee and each employee pays $30 per month for the coverage. The company designated its payment of $60 per month as applying to the cost of long-term disability insurance (payable after the employee is off work more than 6 months), life insurance, and medical insurance, all of which are included in the coverage. The $30 paid by the employee is designated as a premium for short-term sickness and disability insurance also included in the coverage. Employee B is off sick and receives sick pay of $75 per week for two weeks. The benefit is fully attributable to B's own payments and does not constitute wages. 
EXAMPLE 2. Employee C received sick pay of $1,200 from an insurance company. The net premiums for the prior policy year were not known at the beginning of the calendar year because certain retroactive premium adjustments and credits are not determinable until after January 1. During the prior three policy years the net premiums were $5,000 the first year, of which the employer contributed $3,500; $6,500 the second year, of which the employer contributed $4,000; and $3,500 the third year, of which the employer contributed $2,500. C received taxable wages of $800 which was determined by using the ratio of $10,000 ($3,500 plus $4,000 plus $2,500) to $15,000 ($5,000 plus $6,500 plus $3,500). Thus, $10,000/$15,000 or two-thirds of the benefit received ($1,200) = $800.
(3) Noninsured plans. If the sick pay benefits are paid from a noninsured plan (such as a trust providing incidental sick and accident disability benefits or an association funded to pay sickness and accident disability benefits to which both the employer and employee contribute) the portion of the amounts received which are attributable to employer payments shall be determined in accordance with the rules contained in paragraph (2) of this subdivision.
(e) Last Employer. The last employer for whom the employee worked prior to becoming sick or disabled or for whom the employee was working at the time he became sick or disabled shall be deemed to be the last employer for purposes of this section, provided that the employer made contributions on behalf of the employee to the plan or system under which the employee is being paid. The application of these rules may be illustrated by the following examples: 
EXAMPLE 1. B is employed by Company M. B becomes sick and is absent from work for 3 months. While B is absent from work, he receives sick pay from Insurance Company N pursuant to a plan established by M and to which M has made contributions on behalf of B. M is the employer for purposes of this section. 
EXAMPLE 2. C is employed by Company O and is also employed on a part-time basis by Company Q. C becomes sick while at work a Q's place of business. C is absent from work for 3 months. While C is absent from work, he receives sick pay from Insurance Company P pursuant to a plan established by O and to which O has made contributions on behalf of C. Q is not a member of the plan and has made no contributions on behalf of C. O is the employer for purposes of this section. 
EXAMPLE 3. D is a member of a labor union whose members receive health and welfare benefit payments from a trust fund which is supported by the payments from the various employers who employ the labor Union's members. D has been employed by Company R for 4 days when be becomes sick and is absent from work for 3 months. While D is absent from work he receives sick pay from his union's trust fund to which R has made contributions on D's behalf. R is the employer for purposes of this section.
(f) Multiple employer plan. A multiple employer plan is a plan to which more than one employer provides contributions to fund payment on account of sickness or accident disability. The plan may be set up pursuant to a collectively bargained agreement or by employers who voluntarily join together to obtain insurance, to benefit from discounts or to provide a plan which would not be obtainable for small entities.
NOTE

Authority Cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 931, 931.5, 933, 1088, 13028.6 and 13050, Unemployment Insurance Code.
HISTORY

1. New section filed 10-27-89; operative 11-26-89 (Register 89, No. 45). 
§932-1. Wages--Retirement Payments.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 932, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Change without regulatory effect repealing Section 932-1 filed 5-26-89 (Register 89, No. 25).
§933-1. Wages--Disability Payments.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 933, Unemployment Insurance Code.
HISTORY

1. New section filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
2. Amendment of NOTE filed 11-21-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§936-1. Wages--Payments Other Than Cash for Service Not in the Course of the Employer's Trade or Business.
Note     •     History

CROSS-REFERENCE: For circumstances under which cash remuneration for service not in the course of the employer's trade or business is “wages,” see Section 640-1 of these regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 936, Unemployment Insurance Code.
HISTORY

1. New section filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§937-1. Wages--Stand-By Payments Made to an Employee over 65 Years of Age.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 937, Unemployment Insurance Code.
HISTORY

1. New section filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Change without regulatory effect repealing Section 937-1 filed 5-26-89 (Register 89, No. 25).
Article 3. Contribution Rates
§976.7-1. Balancing Account Tax Rate--Agricultural Labor.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 976.7, Unemployment Insurance Code.
HISTORY

1. Repealer filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50). For former history, see Register 76, No. 6.
§982-1. Period When Reserve Account Is Subject to Benefit Charges.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 982 and 3702, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§985-1. Limitation on Amount of Taxable Wages--Disability Insurance.
Note     •     History

Remuneration for services which are subject to the unemployment insurance law of another jurisdiction shall not be included in determining the application of the limitation on taxable wages for disability insurance purposes as prescribed in Section 985 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 985, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
2. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§986-1. Employee Deductions.
Note     •     History

Contributions from employees at the rates prescribed in the code shall be deducted by the employer from wages paid to the employee at the time such wages are paid and shall be transmitted to the department by the employer, in addition to his own contributions, in accordance with the code and these regulations. Deductions for employee contributions shall not be made before the day on which the employing unit qualifies as subject to the provisions of the code. Where an employee is paid daily, weekly, biweekly, or upon a piece-time or other basis for services performed by him during a calendar month, the employer may elect to deduct the contribution required of such employee at one time during such month.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 986, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§986-2. Statement of Employee Deductions.
Note     •     History

(a) All employers subject to the provisions of the code shall furnish to each of their employees a periodic written statement in a form suitable for retention by the employee, covering all wages paid by him to the employee and all deductions therefrom made in accordance with the requirements of the code. Each statement shall cover a calendar year, or one, two, three, or four calendar quarters, whether or not within the same calendar year, and shall show the name of the employer, the name of the employee, the period covered by the statement, the total amount of wages paid within such period and the amount of the contributions which have been withheld. Such statement shall be furnished to the employee not later than the last day of the second calendar month following the period covered by the statement, except that if the employee leaves the employ of the employer, the final statement shall be furnished on the day on which the last payment of wages is made to the employee.
(b) The employer may, at his option, furnish such a statement to any employee at the time of each payment of wages to the employee during any calendar quarter in lieu of the statement covering such quarter and in such case, the statement may show the date of payment of the wages, in lieu of the period covered by the statement.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 986, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§986.5-1. Basis for Employers to Estimate Tips Received by Workers.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 986.5, Unemployment Insurance Code.
HISTORY

1. New section filed 2-21-78 as an emergency; effective upon filing (Register 78, No. 8).
2. Certificate of Compliance filed 5-8-78 in the week of Register 78, No. 8. Printed in Register 78, No. 39 for technical reasons.
3. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
4. Change without regulatory effect repealing section filed 11-7-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 45).
§987.7-1. Contents of Statement Given to Employee.
Note     •     History

NOTE

Authority cited: Sections 305.1 and 306.1, Unemployment Insurance Code.
HISTORY

1. New section filed 2-21-78 as an emergency; effective upon filing (Register 78, No. 8).
2. Certificate of Compliance filed 5-8-78 in the week of Register 78, No. 8. Printed in Register 78, No. 39 for technical reasons.
3. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§991(a)-1. Erroneous Payments to Another State or Federal Government Agency.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 991, Unemployment Insurance Code.
HISTORY

1. New section filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§991(b)-1. Erroneous Payments to Admitted Disability Insurers, Trustees Administering a Voluntary Plan, Self-Insured Plans and Other Agencies of State and Federal Government.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 991, Unemployment Insurance Code.
HISTORY

1. New section filed 12-18-78; effective thirtieth day thereafter (Register 78, No. 50).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
Article 4. Reserve Accounts
§1026-1. Experience Rating Chargebacks for Joint Accounts.
Note     •     History

(a) For the purpose of determining future rates of employer contributions, benefits paid on the basis of wages reported under the provisions of Sections 1096, 1097 and 1098 of the code for employment as to which the employment risk of all employers so reporting is found by the department to be virtually the same, shall be charged as provided herein. The provisions of any other section of these regulations, insofar as there may be conflict with this section, shall not be applicable to the charging of benefits.
(b) Benefits referred to in subsection (a) of this section shall be charged to a special account in the name of the reporting agent. Benefits so charged shall be allocated to the individual accounts of employers reporting through such agent in the proportion that the wages reported by each such employer through the agent bears to the total wages reported through such agent. Such allocation shall be made on the basis of wages reported through the agent for the allocation period of six calendar quarters preceding the last previous computation date.
(c) If the allocation period provided herein would not distribute among any group of employers reporting through such an agent, benefit charges in sufficiently close relationship to the amounts of wages upon which benefits were computed, the department may prescribe that there shall be applied such other allocation periods as may be determined will more closely relate such benefit charges to the wages upon which the benefits were computed.
(d) Notwithstanding the termination of the agency relationship as to any such employer, benefits shall be allocated to his account under this regulation so long as the current allocation period includes any calendar quarter during which such employer was a party to the agency relationship.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1026, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1029-1. Cancellation of Reserve Account.
Note     •     History

If a reserve account canceled in accordance with Section 1029 of the code is subsequently determined by the Department to have been canceled in error, it shall be reinstated.
Example: An employer notifies the Department that he or she has ceased to pay wages. After three consecutive years the reserve account is canceled. Subsequent to the cancellation, the Department determines wages were paid during the three-year period. In this case the reserve account was canceled in error and must be reinstated.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1029, Unemployment Insurance Code.
HISTORY

1. New section filed 7-18-97; operative 8-17-97 (Register 97, No. 29).
§1030(a)-1. Method of Filing Requests for Ruling Pursuant to Section 1030(a) of the Code
Note     •     History

(a) Every request for ruling by an employer under section 1030(a) of the code shall relate to a single claimant, shall be filed with the field office of the department in which the claim was filed as instructed on the notice of claim filed which is mailed to the employer by the department, and shall contain the following:
(1) The name, address, telephone number, and California account number of the employer.
(2) The claimant's name and social security account number.
(3) The effective date of the claim (if available).
(4) The date of separation from employment.
(5) Facts relating to the reason for or the circumstances resulting in the claimant's separation where any of the following is alleged:
(A) That he or she voluntarily left his or her employment without good cause.
(B) That he or she was discharged for misconduct connected with his or her work.
(C) That he or she was a student employed on a temporary basis and whose employment began within, and ended with his or her leaving to return to school at the close of, his or her vacation period.
(D) That he or she left the employer's employ to accompany or join his or her spouse, registered domestic partner or a person to whom marriage is imminent at a place from which it is impractical to commute to such employment, to which a transfer of the claimant by the employer is not available.
(E) That he or she voluntarily left his or her employment without notification to the employer of the reasons therefor.
(F) That he or she was discharged or quit his or her employment as a result of an irresistible compulsion to use or consume intoxicants, including alcoholic beverages.
(b) Each statement of facts submitted under subdivision (a)(5) of this section shall be supported by a statement signed by the person or persons having knowledge of or business records reflecting such facts.
(c) If a claimant was rehired after the date of a separation and in the same calendar quarter, a request for a ruling on that separation shall contain a statement of the date of rehire.
Registered domestic partners are defined in California Family Code Section 297.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1030 and 1032, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 57, No. 21.
2. Amendment of subsection (c) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Amendment of section number and heading, subsections (a), (a)(1), (a)(4), (a)(5)(D) and Note and new subsection (a)(5)(F) filed 10-13-92; operative 11-12-92 (Register 92, No. 42).
4. Amendment of subsection (a)(5)(D) and new last paragraph filed 11-5-2002 as an emergency; operative 11-5-2002 (Register 2002, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-5-2002 order transmitted to OAL 2-25-2003 and filed 4-8-2003 (Register 2003, No. 15).
§1032.5-1. Required Form and Method of Filing Requests for Ruling Pursuant to Section 1032.5 of the Code.
Note     •     History

(a) Every request for ruling by an employer under Section 1032.5 of the code shall relate to a single claimant, shall be filed with the field office of the department in which the claim was filed, and shall contain the following:
(1) The name, address, telephone number, and employer account number of the employer.
(2) The claimant's name and social security account number.
(3) The effective date of the claim (if available).
(4) Facts disclosing that the claimant is rendering services for the employer in less than full-time work, and that he or she has continuously, commencing in or prior to the beginning of the base period, rendered services for the employer in such less than full-time work.
(b) Each statement of facts submitted under subdivision (a)(4) of this section shall be supported by a statement signed by the person or persons having knowledge of or business records reflecting such facts.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1032.5, Unemployment Insurance Code.
HISTORY

1. New section filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§1034-1. Protest of Benefit Charges.
Note     •     History

(a) Adjustment of data or matters contained in the statements provided for in Section 1033 of the code shall originate with the mailing of such statements and the filing of a written protest thereto by an employer.
(b) Such protest shall include the employer's account number and shall specify the item or items to which exception is taken. If exception is taken to the accuracy of any amount shown on the statement of experience rating account, the protest should include a reference to and a reconciliation with the pertinent quarterly contribution reports previously filed by the employer, or statements furnished by the department. With respect to items representing benefits paid and charged to his account, the employer shall set forth the following information:
(1) Name of claimant.
(2) Claimant's social security number.
(3) Date on which the initial claim for benefits was filed (as shown on the statement).
(4) Amount of charges protested, and if known to the employer the week or weeks to which such charges relate.
(5) Amount of wages earned, stated by calendar quarters, protested.
(6) Full grounds for protest.
(7) A certification by the employer that either (A) he was not notified of the claimant's eligibility for benefits, or (B) the benefit charges shown on the statement are not in accordance with a determination by the department or a decision on an appeal in respect to such benefits.
(c) The department shall fully consider the items of the employer's statement of account to which exception is taken and shall make its determination thereon. The department shall furnish the employer promptly with a copy of its determination.
(d) A protest of benefit charges under the provisions of this section will not be considered where the employer was notified as required by the code and these regulations of a determination of the claimant's eligibility and either (1) a final decision of a referee or the Appeals Board affirmed the payment of benefits, or (2) the employer failed or neglected to file an appeal from such determination to a referee as provided in the code, or after a decision by the referee, failed or neglected to appeal to the Appeals Board as provided in the code.
(e) An employer need not file a protest as to any benefit charge appearing on his statement of benefit charges in respect to which there is an appeal pending at the time such statement is furnished to him. If the final decision on such an appeal holds that the charges were erroneously made to the employer's account, the department shall upon its own initiative, in accordance with the code and these regulations, remove the amount of such charges from the employer's experience rating account.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1034, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1036-1. Correction of Statement.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1036, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 9-5-61; designated effective 9-15-61 (Register 61, No. 18).
3. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
4. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1036-2. Correction of Duplicate Accounts.
Note     •     History

If an employer has reported wages and paid contributions under two or more accounts with separate contribution rates, the department shall combine the accounts, compute the corrected contribution rate, and give notice of the correction to the employer, pursuant to Section 1036 of the code, prior to the expiration of the rating period to which the corrected contribution rate applies. The contribution rates for rating periods which have expired are final. If contributions are due with respect to additional unreported wages for rating periods which have expired, the contributions shall be paid at the rate applicable to the expired rating period. No refund, credit, or assessment with respect to wages previously reported for the expired rating periods shall be based solely on the employer's use of two or more accounts with separate contribution rates.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1036, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
Article 5. Transfer of Reserve Accounts
§1051-1. Reserve Account Transfer--Definitions.
Note     •     History

(a) An acquisition of a business as used in Sections 1051 and 1052 of the code occurs through:
(1) Purchase,
(2) Merger,
(3) Lease,
(4) Except as provided in Section 135.1 of the code, any other transaction that causes substantially all property used in a business by one employer to be obtained by another employer.
(b) An “organization, trade or business” as used in Section 1051 of the code is acquired if an employing unit acquires factors of an employer's organization, trade or business sufficient to constitute an entire existing going business unit as distinguished from the acquisition of merely dry assets from which a new business may be built. The question of whether an organization, trade or business is acquired is determined from all the factors of the particular case. Among the factors to be considered are:
(1) The place of business.
(2) The staff of employees.
(3) The customers.
(4) The good will.
(5) The trade name.
(6) The stock in trade.
(7) The accounts receivable.
(8) The tools and fixtures.
(9) Other assets.
(c) “A substantial reduction in personnel” as used in Section 1051 of the code occurs when the number of employees employed by the successor is less than 75 percent of the number of employees employed by the predecessor, if the number of employees employed by the predecessor was 10 or more. If the predecessor employed less than 10 employees, the question of whether there was a substantial reduction in personnel is dependent upon all of the circumstances of the particular case.
(d) “Substantially all of the assets” as used in Section 1051 of the code are acquired if an employing unit acquires the assets of any employer which support substantially all of the employment, except those retained incident to the liquidation of obligations.
(e) A “distinct and severable portion” as used in Section 1051 of the code is acquired if an employing unit acquires factors of any employer's organization, trade or business sufficient to constitute an existing separable going business unit as distinguished from the acquisition of merely dry assets from which a new business may be built. The question of whether a distinct and severable portion is acquired is determined from all the factors of the particular case. Among the factors to be considered are:
(1) The place of business.
(2) The staff of employees.
(3) The customers.
(4) The good will.
(5) The trade name.
(6) The stock in trade.
(7) The accounts receivable.
(8) The tools and fixtures.
(9) Other assets.
(f) “Successor employer” as used in Section 1052 of the code and Section 1052-1 of these regulations means an employing unit which under Section 675 of the code:
(1) Became an employer prior to the date of acquisition; or
(2) Becomes an employer solely on the basis of employment in the operation of the acquired business on or before the end of the calendar quarter immediately succeeding the calendar quarter in which the acquisition occurred.
(g) “Transfer computation date” as used in Sections 1051-2 and 1052-1 of these regulations means the computation date (June 30th) immediately preceding the rating period (calendar year) in which the acquisition occurred.
(h) “Transfer percentage” as used in Section 1052-1 of these regulations means the quotient obtained by dividing the taxable pay rolls of the severable portion in the three calendar years (or such lesser period as the severable portion may have been in operation) immediately preceding the transfer computation date by the taxable pay rolls of the predecessor for such three-year period (or such lesser period as the severable portion may have been in operation).
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1051, 1052 and 1053, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Repealer and new section filed 11-25-96; operative 12-25-96 (Register 96, No. 48).
§1051-2. Reserve Account Transfer--Severable Portion Application.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1051, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1052-1. Reserve Account Transfer--Severable Portion Formula.
Note     •     History

(a) On receipt of an application for transfer within the time limits prescribed in Sections 1051 and 1053 of the code that part of the separate account, actual contribution and benefit experience and pay rolls of the predecessor which pertains to such severable portion shall, for the purposes set forth in Section 1052 of the code be transferred to the successor employer in the manner set forth in the following table: 

View Graphic
(b) If a predecessor or a successor considers that the part to be transferred to the successor or successors acquiring a severable portion as computed under subdivision (a) of this section is or may be inequitable, either the predecessor or a successor may submit information to the director with respect to the actual experience of the severable portion. The director may require such additional information and reports as may be necessary for the computation of the actual experience of the severable portion. If the information and reports necessary for the computation of the actual experience of the severable portion are submitted, the director shall transfer such actual experience in accordance with such information and reports. 
CROSS-REFERENCE: See Regulation 1051-1 for definitions applicable to Regulation 1052-1.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1052, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1052-2. Reserve Account Transfer--Disapproval.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1052, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1053-1. Reserve Account--Reacquisition by Predecessor.
Note     •     History

In the event application for transfer of reserve account is not made by the successor within the 90-day period provided for in Section 1051 of the code, the predecessor upon reentering business may reacquire that portion of the reserve account not transferred to the successor upon making proper application after said 90-day period but prior to the cancellation of the reserve account as provided in Section 1029 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1053, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1060-1. Reserve Account Transfer--Effective Date.
Note     •     History

“Effective date of the transfer” means the date on which an acquisition occurs pursuant to Section 1051 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1060, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
Article 6. Records, Reports and Contribution Payments
§1085-1. Identification of Employees.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1085, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Amendment filed 8-4-92; operative 9-3-92 (Register 92, No. 32).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1085-2. Required Work Records.
Note     •     History

(a) Each employing unit shall establish and maintain records with respect to each worker performing services for it which shall indicate:
(1) The period covered by the pay period.
(2) For each worker:
(A) His or her name;
(B) Social security number;
(C) The date on which he or she was hired, rehired, or returned to work after temporary lay-off, and the last date when he or she performed any services;
(D) The place of his or her work which shall be shown in accordance with such forms and instructions as the department may approve.
(3) The remuneration paid to each worker for each pay period, showing separately:
(A) Money paid;
(B) Cash value of all other remuneration received from the employing unit;
(C) Special payments in cash or kind for services other than those rendered exclusively in a given pay period such as annual bonuses, gifts, prizes, etc., showing the nature of such payments and the period during which the services were performed for which such special payments were made.
(4) All disbursement records which show payments to anyone who performed services.
(5) Such other information as may be necessary to enable the employing unit to determine the worker's total remuneration earned in each week.
(b) Each employing unit which considers that it is not an employer subject to the code or that it is engaged in exempt employment shall keep and maintain the records required of such employing units under this regulation for at least eight years after the period to which the records relate.
(c) Each employer subject to the code shall keep and maintain the records required under this section for a period of at least four years after the date the contributions to which they relate become due, or the date the contributions are paid, whichever is the later.
(d) If an employing unit processes and maintains records in the form of magnetic media such as tapes or disks, then records include, but are not limited to, these magnetic devices or other machine sensible media.
(1) The procedures built into a computer's accounting program shall include a method of producing from punched cards, disks or tapes visible and legible records which will provide the necessary information for the verification of information required by this regulation.
(2) Magnetic media records which reflect payments for personal services shall be retained. Examples of such records include, but are not limited to, the following:
(A) Calendar year to date payroll master file.
(B) Vendor transaction history file.
(C) General ledger account distribution file.
(3) The records shall provide the opportunity to trace any transaction back to the original source or forward to a final total. The audit trail shall be designed so that the details underlying the summary accounting data, such as invoices and vouchers, may be identified and made available to the director upon request.
(4) A description of the electronic data processing portion of the accounting system shall be available. The statements and illustrations as to the scope of operations shall be sufficiently detailed to indicate (a) the application being performed, (b) the procedures employed in each application (which, for example, might be supported by flow charts, block diagrams or other satisfactory descriptions or input or output procedures), and (c) the controls used to insure accurate and reliable processing. Important changes, together with their effective dates, shall be noted in order to preserve an accurate chronological record.
(5) Substitution of hard copy records maintained or magnetic media do not meet the requirements of this section.
(6) If an employer engages an outside service bureau to process and maintain any of the records described in this section then it is the responsibility of the employer to meet the requirements of this section.
(e) In the event the records of an employing unit do not indicate the particular days during any week on which a worker performed services it shall be presumed, in the absence of evidence to the contrary, that the worker performed services on each day of such week.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1085, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 1-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Amendment of subsections (a)-(b), new subsection (d) and relettering and amendment of subsection (e) filed 8-4-92; operative 9-3-92 (Register 92, No. 32).
§1085-3. Maintenance of Records by Out-of-State Employing Units.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1085, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1085-4. Reports with Respect to Employees.
Note     •     History

(a) Every employing unit shall report to the department upon request any information with respect to its employees as the department may require on forms approved by the department. Such information shall be set forth fully and clearly as required by the department and unless otherwise required each employing unit shall, within 10 days after the date of mailing of a request by the department, return the information to the department.
(b) Whenever another state requests that California submit employment information to the other state in order to determine the eligibility of a combined-wage claimant under a combined-wage claim filed under the Interstate Arrangement for Combining Employment and Wages (see Sections 455.5-1 through 455.5-11 of these regulations) for which the other state is the paying state, the department may by written notice require that the California employers for whom such claimant has performed services in the base period as defined under the law of the paying state, submit within the time prescribed by subdivision (a) of this section necessary wage and employment information as prescribed by the department.
If any employer fails to respond to a notice requesting wage and employment information within the time prescribed by subdivision (a) of this section the department shall submit wage and employment information to the other state based upon the oath of the claimant and other available information.
(c) Except as provided by subdivision (b) of this section and where the department has reasonable ground to suspect fraud, no employer shall be required to furnish information relative to a present or former employee's earnings other than on the basis of a calendar week or the employer's payroll period.
(d) This section is not applicable to the reports and information required pursuant to Sections 320.5-1, 320.5-2, 10881, 1088-2, 1088-3, 1088-4, and 1088-8, of these regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1085, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
3. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
4. Amendment filed 3-14-80; effective thirtieth day thereafter (Register 84, No. 11).
5. Amendment of subsection (d) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
6. Change without regulatory effect amending subsection (d) filed 12-4-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 49).
§1085-5. Burden of Proof.
Note     •     History

The burden of proof shall rest with an employing unit which employs any individual during any calendar year but which considers itself not an employer subject to the code to establish that it is not an employer subject to the code by proper records, including a record of the identity of the employees, number of employees employed during each week, and the particular days of each week on which services have been performed.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1085, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1085-6. Microfilm Record Guidelines.
Note     •     History

The following sets forth conditions under which microfilm (including microfiche) reproduction of general books of account will be considered books and records within the meaning of Section 1085 of the Code. General books of account include employee compensation records, books, journals, voucher registers, ledgers, and supporting records of detail.
(a) Employers shall set forth in writing the procedures governing the establishment of a microfilm system, and the individuals who are responsible for maintaining and operating the microfilm system with appropriate authorization from the Board of Directors, general partner(s), or owner, whichever is applicable.
(b) The microfilm system shall be complete and shall be used consistently in the regularly conducted activity of the business.
(c) Employers shall establish procedures with appropriate documentation so the original document can be followed through the micrographic system.
(d) Employers shall establish internal procedures for inspection and quality assurance.
(e) Employers shall be responsible for the effective identification, processing, storage, and preservation of microfilm, making it readily available for at least four calendar years after the period to which the records relate for periods for which a return was filed with the department or eight calendar years for periods in which no return was filed with the department.
(f) Employers shall keep a record of where, when, by whom, and on what equipment the microfilm was produced.
(g) When displayed on a microfilm reader (viewer) or reproduced on paper, the material must exhibit a high degree of legibility and readability. For this purpose, legibility is defined as the quality of a letter or numeral that enables the observer to identify it positively and quickly to the exclusion of all other letters or numerals. Readability is defined as the quality of a group of letters or numerals being recognizable as words or complete numbers.
(h) A detailed index of all microfilmed data shall be maintained and arranged in a manner that permits the immediate location of any particular record.
(i) The employer shall make available upon the Department's request a reader/printer in good working order at the examination site for reading, locating, and reproducing any record maintained on microfilm.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1085, Unemployment Insurance Code.
HISTORY

1. New section filed 8-4-92; operative 9-3-92 (Register 92, No. 32).
§1086-1. Reports with Respect to Location and Nature of Activity.
Note     •     History

NOTE

Authority cited: Sections 306 and 2602, Unemployment Ins. Code. Reference: Sections 320 and 1086, Unemployment Ins. Code.
HISTORY

1. New section filed 8-5-60; Appeal filed with Calif. Unemployment Ins. Appeals Board; section refiled 3-17-61, designated effective 3-27-61 (Register 61, No. 6).
2. Amendment filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
3. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1086-2. Reports with Respect to Location and Nature of Activity--Employers Subject to Personal Income Tax Withholding but Not Subject to Coverage Under Code.
Note     •     History

NOTE

Authority cited: Section 1086, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1088-1. Filing of Reports, Returns, and Payroll Tax Deposits with Payment of Taxes--General.
Note     •     History

(a) Except as provided in subdivisions (e) through (h), each employer shall file with the department a report of contributions (payroll tax deposit), a report of wages (quarterly wage and withholding report), and an annual reconciliation return of the employer and employee contributions required by Article 3 (commencing with Section 976) of Chapter 4 of Part 1 of Division 1 of the code, and the withheld personal income tax due as required by Chapter 2 (commencing with Section 13020) of Division 6 of the code based upon wages paid with respect to all establishments maintained within this state and computed in accordance with the code and these regulations on such forms and in such formats as the department may provide or approve and in accordance with the code and these regulations. The department shall not approve forms or formats that are not suitable for processing by the optical character reader or other processing methods used by the department. Failure to receive report and return forms shall not relieve the employer from his or her responsibility for filing the required reports and returns.
Employers who remit contributions by electronic funds transfer under Sections 1110(f) and 13021 of the code should refer to those sections of the code for the requirements for filing payroll tax deposit payments.
(b) Each payroll tax deposit shall include:
(1) The employer's business name, address, and the state employer account number.
(2) The payroll date for which the employer is required to make a deposit under Section 13021 of the code or the last date of the calendar quarter if the employer files quarterly.
(3) The payment type for the deposit period to which the employer is subject (i.e.; next banking day, semiweekly, monthly or quarterly) under Section 13021 of the code.
(4) The quarter during which the wages were paid.
(5) The amount of employer contributions for unemployment insurance, the amount of employer contributions for employment training tax, the amount of employee contributions for state disability insurance, the amount of California personal income tax withheld, the amount of any applicable penalty and interest, and the total amount due from the employer.
(6) The authorized signature and telephone number of the person who prepared the payroll tax deposit.
(7) The payment for the amount due.
(c) Each quarterly wage and withholding report shall include:
(1) The employer's business name, address, state employer account number, and the quarter during which the wages were paid and/or personal income tax was withheld.
(2) The number of employees earning wages subject to unemployment insurance during the pay periods which include the twelfth day of each month as set forth in subdivisions (i) and (j) of this regulation.
(3) The social security account number, the full first name, middle  initial and full last name of each employee, the total wages subject to unemployment and/or disability insurance paid to each employee performing services in employment and paid wages as defined in Division 1 of the code, the total wages paid to each employee subject to personal income tax, and the amount of personal income tax required to be withheld under Section 13020 of the code.
(A) Remuneration for services excluded from total subject wages under Article 2 of Chapter 4 of Part 1 of Division 1 of the code (except Section 930) or remuneration paid to workers whose services are excluded from employment under Chapter 3 of Part 1 of Division 1 of the code shall not be included on a quarterly wage and withholding report.
(B) Wages subject to both unemployment and disability insurance coverage shall be included in a quarterly wage and withholding report separate from a quarterly wage and withholding report which shall be required for either of the following:
1. Wages subject to unemployment insurance coverage only when excluded from disability insurance coverage under Sections 637.1, 931.5 and 2902 of the code.
2. Voluntary disability insurance plan wages.
(4) On each separate page, the total amount of wages subject to unemployment and/or disability insurance coverage or voluntary plan disability insurance, the total amount of wages subject to personal income tax, and the total amount of personal income tax withheld for all employees listed on that page.
(5) On the first or the last page, the grand total of all wages subject to unemployment and/or disability insurance coverage or voluntary plan disability insurance for the quarter, the grand total of the amount of wages subject to personal income tax for the quarter, and the grand total of the amount of personal income withheld for the quarter.
(6) On the first page only, the authorized signature, title (owner, responsible officer, or authorized agent of the employer), telephone number, the date, and a declaration that the information given is true and correct to the best of his or her knowledge and belief.
(7) Employers who are required under Section 6011 of the Internal Revenue Code to file magnetic media returns shall within 90 days of meeting this requirement either submit a magnetic media format to the department for approval of the quarterly wage and withholding report or file a written request for waiver from filing on magnetic media. Upon receiving a letter from the department, stating that the required magnetic media format is approved, each employer shall be required to file any subsequent quarterly wage and withholding reports by magnetic media. The department accepts various magnetic media formats. If an employer requests a waiver from filing on magnetic media, in subsequent years the employer must file by March 31 of each year either a copy of his/her federal exemption approval letter or a written request for waiver from filing quarterly wage report(s) on magnetic media. An approved waiver by the department shall be valid for six months or longer at the discretion of the director. The department may approve the waiver request if the employer establishes to the satisfaction of the director that there is a lack of automation, a severe economic hardship, a current exemption from submitting magnetic media information returns for federal purposes, or other good cause for not complying with the provisions of this paragraph.
(d) Each annual reconciliation return shall include:
(1) The employer's business name, address, state employer account number, and the calendar year during which the wages were paid and/or personal income tax was withheld.
(2) The employer's federal employer identification number (FEIN) and any additional FEINs related to the employer's state account number.
(3) The amount of total wages paid during the calendar year subject to unemployment insurance coverage and/or state disability insurance coverage including wages in excess of the limitations prescribed by Section 930 and/or 985 of the code. Wages subject to personal income tax, but not subject to unemployment insurance or state disability insurance, shall not be included unless the return is being filed for personal income tax only.
(4) The amount of wages paid during the calendar year subject to unemployment insurance contributions not in excess of the limitation prescribed by Section 930 of the code.
(5) The amount of wages paid during the calendar year subject to state disability insurance contributions not in excess of the limitation prescribed by Section 985 of the code.
(6) The amount of employer contributions for unemployment insurance and employment training tax, the amount of employee contributions for state disability insurance, and the amount of California personal income tax withheld during the calendar year.
(7) The amounts previously paid during the calendar year for unemployment insurance contributions, employment training tax contributions, state disability insurance contributions, and California personal income tax withheld.
(8) The total amount remaining due from or overpaid by the employer for the calendar year. The payment for the amount remaining due for the calendar year shall be submitted with a payroll tax deposit form as described in subdivision (b) of this regulation.
(9) The authorized signature, title (owner, responsible officer, or authorized agent of the employer), telephone number, the date, and a declaration that the information given is true and correct to the best of the signer's knowledge and belief.
(e) Employers with an approved voluntary disability insurance plan as described in Chapter 6 (commencing with Section 3251) of Part 2 of Division 1 of the code shall not file an annual reconciliation return under subdivision (d) of this regulation. These employers shall file payroll tax deposits, as described in subdivision (b) of this regulation, quarterly wage and withholding reports as described in subdivision (c) of this regulation, and quarterly contribution returns. Each quarterly contribution return shall include:
(1) The employer's business name, address, state employer account number, and the quarter during which the wages were paid.
(2) The number of employees earning wages subject to unemployment insurance during the pay periods which include the twelfth day of each month as set forth in subdivisions (i) and (j) of this regulation.
(3) The amount of total wages paid during the calendar quarter subject to unemployment insurance coverage and/or disability insurance coverage (including voluntary plan disability insurance) including wages in excess of the limitation prescribed by Sections 930, 985 and/or 3252(b) of the code.
(4) The amount of wages paid during the calendar quarter subject to unemployment insurance contributions not in excess of the limitation prescribed by Section 930 of the code.
(5) The amount of wages paid during the calendar quarter subject to state disability insurance contributions and the voluntary plan disability insurance assessment not in excess of the limitation prescribed by Sections 985 and 3252(b) of the code.
(6) The amount of employer contributions for unemployment insurance and employment training tax, the amount of employee contributions for state disability insurance, the amount of California personal income tax withheld, the amount of the voluntary plan disability insurance assessment, less amounts previously paid as prescribed by subdivision (b) of this regulation, and the total amount due from or overpaid by the employer for the calendar quarter.
(7) The payment for the amount due.
(8) For the last quarterly contribution return filed for each calendar year, the total amount of California personal income tax withheld as reported on Federal Forms W-2 and/or 1099-R.
(9) The authorized signature, title (owner, responsible officer, or authorized agent of the employer), telephone number, the date, and a declaration that the information given is true and correct to the best of his or her knowledge and belief.
(f) Employers who have elected coverage under Section 708(a) of the code shall refer to Section 708(a)-1 of these regulations for the filing requirements. Employers or self-employed individuals who have elected coverage under Section 708(b) or 708.5 of the code shall refer to those sections of the code for the filing requirements.
(g) Employers described in Sections 682 and 684 of the code who have an approved election under Section 1110(d) of the code may, but are not required to, file payroll tax deposits as described in subdivision (b) of this regulation. These employers shall file quarterly reports of wages and withholdings for employers of household workers which shall include the same information as described in subdivision (c) of this regulation. Instead of the annual reconciliation return as described in subdivision (d) of this regulation, these employers shall file an annual payroll tax return for employers of household workers which shall include the same information as described in subdivision (d) of this regulation.
(h) Employers described in Section 821.4 of the code who make payments into the School Employees Fund pursuant to Sections 823 and 828 of the code are not required to file payroll tax deposits or an annual reconciliation return to report contributions and wages subject to unemployment insurance coverage only. These employers shall file quarterly contribution returns and quarterly wage and withholding reports, as described in subdivision (c) of this regulation to report the employer contributions and wages subject to unemployment insurance coverage only. Each quarterly contribution return for school employers shall include:
(1) The employer's business name, address, state employer account number, and the quarter during which wages were paid.
(2) The number of employees earning wages subject to unemployment insurance during the pay periods which include the twelfth day of each month as set forth in subdivisions (i) and (j) of this regulation.
(3) The amount of total wages paid during the quarter subject to unemployment insurance coverage including wages in excess of the limitation prescribed by Section 930 of the code.
(4) The amount of employer contributions for unemployment insurance only and the total amount due from the employer.
(5) The payment for the amount due.
(6) The authorized signature, title (administrator, accountant, preparer, or other authorized agent of the employer), telephone number, fax number, the date, and a declaration that the information provided is true and correct to the best of the signer's knowledge and belief.
(i) “Number of employees” as used in subdivisions (c)(2), (e)(2) and (h)(2) of this regulation, means the number of full-time and part-time workers who worked during or received pay (subject to unemployment insurance wages) for the payroll period which includes the twelfth of the month, and includes, but is not limited to, the following categories of employees earning wages irrespective of whether such wages are actually or constructively paid during the applicable pay periods:
(1) Officers of corporations.
(2) Executives.
(3) Supervisory personnel.
(4) Clerical employees.
(5) Wage earners.
(6) Employees on paid vacations or paid sick leave.
(7) Employees paid by salary, by the hour, on a piece rate or by commission.
(8) Part-time employees.
(9) Employees earning wages in excess of the limitation prescribed by Section 930 of the code.
(j) “Number of employees” as used in subdivisions (c)(2), (e)(2) and (h)(2) of this regulation does not include:
(1) Employees who earned no wages during the applicable pay periods due to strikes, work stoppages, temporary layoffs, illnesses without pay, or vacations without pay.
(2) Employees who earned wages at other times during the month but did not earn wages during the applicable pay periods which include the twelfth day of the month.
(3) Individuals who earned remuneration for services not included in subject “employment” under the code.
(4) Individuals who were paid remuneration, but did not perform services during the applicable pay periods, which include the twelfth day of the month, such as individuals who were paid residual or royalty payments.
(k) “Pay periods,” as used in subdivisions (c)(2), (e)(2) and (h)(2) of this regulation, means periods of not more than 31 consecutive days for which a payment of remuneration is ordinarily made to employees by the employer, and includes as to a particular employer every type of pay period in actual use by that employer.
EXAMPLE: Employers may have two or more types of pay periods for different categories of workers, such as daily, weekly, biweekly, semimonthly, or monthly. Under this regulation, each employer would, in computing the “number of employees” in applicable “pay periods,” include all employees earning wages on all types of payrolls for pay periods which include the twelfth day of the month. For example, an employer who used daily, weekly, and semimonthly payrolls as to different categories of workers would include all employees earning wages on the daily payroll for the twelfth day or the working day nearest thereto, the weekly payroll for the weekly pay period which includes the twelfth day, and the semimonthly payroll for the semimonthly pay period which includes the twelfth day.
(l) The amendment of this regulation and the matter contained herein, shall not interrupt the running of interest or assessment of penalties with respect to contributions heretofore due and unpaid in accordance with such prior regulations as may have been in effect at the time such contribution liability was incurred.
CROSS-REFERENCE: For provisions concerning reports with respect to employment and payroll distribution required of certain multiple establishment employers, see Regulation Section 1088-8.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 637.1, 682, 684, 708, 708.5, 821.4, 823, 828, 930, 931.5, 985, 1026, 1088, 1110, 2902, 3252, 13020 and 13021, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
3. Amendment filed 2-28-64; designated effective 3-9-64 (Register 64, No. 5).
4. Amendment filed 3-14-80; effective thirtieth day thereafter (Register 80, No. 11).
5. Amendment of Cross-Reference and NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
6. Amendment filed 5-12-92; operative 6-11-92 (Register 92, No. 20).
7. Amendment of section heading, section and Note filed 6-5-2000; operative 7-5-2000 (Register 2000, No. 23).
§1088-2. Reports and Returns Covering Seamen Employed Under Shipping Articles.
Note     •     History

(a) For the purposes of this section the term “pay period established by shipping articles” means the period of the voyage or engagement of the crew under “Articles of Agreement” purporting to comply with Sections 10301(a) and 10302 of Title 46 of the United States Code, or any other agreement under which seamen are employed and under which they are not entitled to a final payment of wages until termination of the period of the articles.
(b) When a pay period established by shipping articles extends into more than one calendar quarter or into more than one calendar year, separate payroll tax deposits and quarterly wage and withholding reports shall be filed with respect to the wages paid in each such quarter (allotments, advances, and other wage payments in cash to be included in the quarter in which paid, and meals, lodging, and other wages in kind in the quarter in which furnished) and a separate annual reconciliation return shall be filed with respect to the wages paid in each such calendar year; payroll tax deposits and quarterly wage and withholding reports for the earlier quarters and annual reconciliation returns for the earlier years in such pay periods may be filed without penalty and interest if filed within the time required for the calendar quarter which includes the final wage payments made at the termination of the articles. Each payroll tax deposit and quarterly wage and withholding report covering such an earlier quarter shall be plainly marked “Supplemental Payroll Tax Deposit--Regulation 1088-2 and Supplemental Quarterly Wage and Withholding Report--Regulation 1088-2”; each annual reconciliation return covering such earlier year shall be plainly marked “Supplemental Annual Reconciliation Return--Regulation 1088-2”.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1088, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Amendment of section heading and section filed 6-5-2000; operative 7-5-2000 (Register 2000, No. 23).
§1088-3. Reports Covering Wages Due and Unpaid.
Note     •     History

For the purpose of Sections 1280 and 1281 of the code, wages due to an individual but unpaid within the time required by law, if still unpaid at the time the quarterly wage and withholding report is due, shall be included in a special quarterly wage and withholding report under a caption “Wages legally due but unpaid.” Except for employers described in Sections 682 and 684 of the code who have an approved election under Section 1110(d) of the code, contributions on such wages shall become due on the first day of the calendar month following the close of the calendar quarter in which the wages are actually or constructively paid as provided in Section 926-1 of these regulations and shall become delinquent if not paid on or before the last day of such month.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1088, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Amendment of section heading and section filed 6-5-2000; operative 7-5-2000 (Register 2000, No. 23).
§1088-4. Returns Covering Irregular Pay Periods.
Note     •     History

When wages are paid at irregular or infrequent intervals (as, for example, commissions or bonuses paid on infrequent settlement dates or wages paid under shipping articles) and when the period of employment covered by such wage payments extends into two or more calendar quarters, the employer shall, within 10 days after the date of mailing of a request by the department, furnish the beginning and ending dates of the pay period covered by any such wage payment.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1088, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1088-5. Returns Covering Wages in Excess of the $3,000 Wage Limitation.
Note     •     History

NOTE

Authority cited: Secs. 305 and 306, Unemployment Ins. Code. Reference: Sec. 1088, Unemployment Ins. Code.
HISTORY

1. Amendment filed 6-12-59; designated effective 6-22-59 (Register 59, No. 9).
2. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
3. Repealer filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
§1088-6. Returns of Newly Subject Employers.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1088, Unemployment Insurance Code.
HISTORY

1. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1088-7. Returns of Employers Electing Coverage.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1088, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1088-8. Reports with Respect to Employment and Payroll Distribution--Quarterly Multiple Worksite Report (BLS 3020).
Note     •     History

(a) Purpose. This section specifies the reports required by the director from employers subject to the Unemployment Insurance Code to obtain the information needed by the director to generate certain reports required by the federal Secretary of Labor, and to obtain information necessary to administer the code.
(b) Reporting Requirements.
(1) On or before the last day of the calendar month following the close of each calendar quarter, every multiple establishment employer shall report the following information to the department for each establishment, on a quarterly Multiple Worksite Report (federal form BLS 3020) supplied by the department:
(A) Verification of the preprinted name, address, and worksite description of each establishment.
(B) The number of employees, defined as the number of full-time and part-time workers who worked during or received pay (subject to Unemployment Insurance wages) for the payroll period which includes the twelfth of the month.
(C) The amount of total wages paid during the calendar quarter.
(D) An explanation of any large change in employment or wages at an establishment such as store closure, strikes, layoffs, bonuses, seasonal changes, etc.
(E) The addition of any worksites not preprinted on the form.
(F) For staff leasing firms and professional employer organizations that are multiple establishment firms, each client firm shall be listed as a separate establishment and the Unemployment Insurance account number for that client firm shall be included in the comments section of the Multiple Worksite Report form.
(2) Each multiple establishment employer shall submit the reports required by this section for any calendar quarter in which the employer meets the conditions of subdivision (c)(3) of this section and, unless otherwise directed by the department, shall also submit such reports for each calendar quarter in which the employer meets the conditions of subdivision (c)(3) of this section.
(3) Failure to receive report forms shall not relieve a multiple establishment employer from the responsibility of submitting the reports required by this section.
(c) Definitions. As used in this section:
(1) “Establishment” means an economic unit, generally at a single physical location, where business is conducted, or where services or industrial operations are performed, for example, a farm, factory, mill, store, or mine, or a central administrative office or auxiliary unit at a separate location from the economic unit served, except that if an employer maintains separate payroll and inventory records for separately classifiable activities conducted at a single location, including auxiliary activities such as a central administrative office or auxiliary unit performing supporting services for other economic units of the same employer but which is not an integral part of the economic unit at the same location, such activity shall be deemed a separate establishment.
(2) “Primary Establishment” is the establishment with the largest employment. “Secondary establishments” are all other establishments of the employer.
(3) “Multiple establishment employer” means an employer who has more than one establishment reporting under the same Unemployment Insurance Account Number within the State and has a total employment of ten or more in all of the secondary establishments combined.
(4) “Number of Employees” as used in subdivisions (a)(1)(A)(1), (a)(4)(A)(1) and (c)(2) of Section 1088-1, means the number of full-time and part-time workers who worked during or received pay (subject to Unemployment Insurance wages) for the payroll period which includes the twelfth of the month, and includes, but is not limited to, the following categories of employees earning wages irrespective of whether such wages are actually or constructively paid during the applicable pay periods:
(A) Officers of corporations;
(B) Executives;
(C) Supervisory personnel;
(D) Clerical employees;
(E) Wage earners;
(F) Employees on paid vacations or paid sick leave;
(G) Employees paid by salary, by the hour, on a piece rate, or by commission;
(H) Part-time employees; and
(I) Employees earning wages in excess of the limitation prescribed by Section 930 of the code.
(5) “Number of Employees” does not include:
(A) Employees who earned no wages during the applicable pay periods due to strikes, work stoppages, temporary layoffs, illness without pay, or vacations without pay;
(B) Employees who earned wages at other times during the month but did not earn wages during the applicable pay periods which include the twelfth day of the month;
(C) Individuals who earned remuneration for services not covered under the state Unemployment Insurance laws under the code; and
(D) Individuals who earned remuneration for services not provided during the applicable pay period which include the twelfth day of the month, such as individuals who earn residual or royalty payments.
(6) “Pay periods” means periods of not more than 31 consecutive days for which a payment of remuneration is ordinarily made to employees by the employer, and includes every type of pay period in actual use by a particular employer.
EXAMPLE: Employers may have two or more types of pay periods for different categories of workers, such as daily, weekly, bi-weekly, semi-monthly, or monthly. Under the above definition, in computing the “number of employees” in applicable “pay periods,” each employer would include all employees earning wages on all types of payrolls for pay periods which include the twelfth day. For example, an employer who used daily, weekly, and semi-monthly payrolls as to different categories of workers would include all employees earning wages on the daily payroll for the twelfth day or the working day nearest thereto, the weekly payroll for the weekly pay period which includes the twelfth day, and the semi-monthly payroll for the semi-monthly pay period which includes the twelfth day.
(d) Extension of Time. The director may extend for good cause, not to exceed 60 days, the time for submission by an employer of a Multiple Worksite Report required under this section.
(e) Delinquent or Deficient Reports. If any employer fails to submit to the department any report within the time required by this section, or if the department is not satisfied with any report submitted by an employer under this section, the department may demand, by written notice, that a report be submitted or that the deficiency in a report submitted shall be corrected by the employer. Within 30 days after the date of the mailing of such written notice, the employer shall, submit the report or corrected report to the department.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 320, 320.5, 1026, 1088, 1115, 1116 and 2117, Unemployment Insurance Code.
HISTORY

1. New section filed 8-5-60; Appeal with Calif. Unemployment Ins. Appeals Board; section refiled 3-17-61; designated effective 3-27-61 (Register 61, No. 6).
2. Amendment filed 2-28-64; designated effective 3-9-64 (Register 64, No. 5).
3. Amendment filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
4. Repealer of cross-reference and amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
5. Editorial correction of printing error in subsection (c)(2) (Register 91, No. 32).
6. Amendment of subsections (b) and (c), repealer of subsection (d) and subsection renumbering filed 8-2-91; operative 9-2-91 (Register 92, No. 4).
7. Amendment of section heading, section and Note filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§1088-9. Reports with Respect to Employment and Payroll Distribution--Quarterly Reports by Employers Subject to Personal Income Tax Withholding but Not Subject to Coverage Under Code.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1088, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Amendment filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1088.5-1. Reporting a Newly Hired Employee.
Note     •     History

(a) For the purposes of Section 1088.5 of the code, an individual is considered a new hire on the first day in which the individual performs services for wages, i.e. the individual's first day of work. In any case where an employer is required to give an individual a W-2 form, the employer must meet the new hire reporting requirements.
If an employee returning to work is required to complete a new W-4 form, the employer must report the individual as a new hire to the department. If however, the returning employee had not been formally terminated or removed from payroll records, there is no need to report that individual as a new hire.
Example A: An individual is hired by an employer and his first day of work is January 2. He submits a completed W-4 to his employer for personal income tax withholding purposes before he commences his employment and is reported as a new hire. Subsequently, the employee is laid off on May 31. The employer recalls the individual to work beginning on December 1. Because the employee was formally terminated on May 31, the employee is required to file a W-4 with his employer on or before he commences his employment on December 1 and must be reported as a new hire.
Example B: An individual is hired by an employer and his first day of work is January 2, He submits a completed W-4 to his employer before he commences his employment and is reported as a new hire. The employer furloughs the worker on  May 1 with a return work date of December 1. Because the employee was not terminated and remained on the payroll records of the employer, the employee is not required to file a W-4 with his employer when he returns to work on December 1 and is not reported as a new hire.
(b) The employer may submit the information required in Section 1088.5 of the code by completing a form DE 34 “Report of New Employee(s),” Rev. 3: (1/98), incorporated herein by reference.
(c) Any employer who transmits reports magnetically or electronically and has employees in two or more states may designate one state to report all new hires. An employer who makes this designation must notify, in writing, the Department of Health and Human Services, Administration for Children and Families, Office of Child Support Enforcement, Multistate Employer Notification.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1088.5, Unemployment Insurance Code. 
HISTORY

1. New section filed 3-31-93; operative 4-1-93 (Register 93, No. 14). For prior history, see Register 92, No. 50.
2. Editorial correction correcting placement of section and amending History 1 (Register 93, No. 31).
3. Repealer and new section filed 10-8-98; operative 11-7-98 (Register 98, No. 41).
§1089-1. Employers' Duties Regarding Notification to Employees of Potential Unemployment and Disability Insurance Benefits and Change of Status.
Note     •     History

(a) Unless the context otherwise requires, the following terms used in this section and in forms issued by the department pursuant to this regulation shall have the following meaning:
(1) “Unemployment insurance” means unemployment compensation benefits program;
(2) “Disability insurance” means the unemployment compensation disability benefits program.
(b) The director shall make available to each employer registered with the department under the provisions of Section 1086 of the code, the following forms and pamphlet:
(1) “Notice To Employees”, Form DE 1857D Rev. 9: (1/86), incorporated by reference, which informs employees of their rights to unemployment insurance for those employees covered only for unemployment insurance.
(2) “Notice To Employees”, Form 1857A Rev. 28: (2/88), incorporated by reference, which informs employees of their rights to unemployment insurance and disability insurance for those employees covered for both programs.
(3) “For Your Benefit, California's Program for the Unemployed,” Pamphlet DE 2320 Rev. 41: (10/90), incorporated by reference, which informs employees of the Department's unemployment insurance and disability insurance programs.
(c) Each employer shall post and maintain in places readily accessible to all employers the form identified in subdivision b(1) of this section if it employs individuals covered only for unemployment insurance and also the form in subdivision b(2) of this section if it employs individuals covered for unemployment and disability insurance.
(d) When an employer discharges, lays off, or places an employee on leave of absence, the employer shall give to the employee the following notices:
(1) Written notice of his or her unemployment insurance benefit rights by providing the pamphlet identified in subdivision (b)(3) of this section. The notice of unemployment insurance benefit rights shall be given no later than the effective date of the action;
(2) Written notice regarding the change in the employee's status. The notice of change of status shall be given no later than the effective date of the action and shall contain at a minimum:
(A) The name of the employer;
(B) The name of the employee;
(C) The social security account number of the employee;
(D) Whether the action was a discharge, a layoff, a leave of absence, or a change in status from employee to independent contractor; and
(E) The date of the action.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1089, Unemployment Insurance Code.
HISTORY

1. New section filed 10-7-93; operative 11-8-93 (Register 93, No. 41). For prior history, see Register 81, No. 47.
2. Change without regulatory effect repealing subsection (e) filed 9-4-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 36).
§1090-1. Notice Required of Representative of Deceased or Insolvent Employing Unit.
History

HISTORY

1. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1091-1. Notice and Return Required of Employers Terminating Business.
History

HISTORY

1. Repealer filed 11-4-61; designated effective 11-14-61 (Register 61, No. 22).
§1096-1. Joint Returns.
History

HISTORY

1. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1097-1. Experience Rating Chargebacks for Joint Accounts.

Section 1026-1 of these regulations applies to experience rating chargebacks for joint accounts.
Article 7. Payment of Reported Contributions
§1110-1. Application of Payments by Employers.
History

HISTORY

1. Repealer filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§1111-1. Extensions of Time for Paying Contributions and Filing Returns.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1111, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1114-1. Wage Item Penalty.
Note     •     History

(a) For the purposes of Section 1114 of the code, the following definitions will apply:
(1) Report of Wages. The report of wages shall include all of the information required by Section 1088-1(c)(3) of these regulations, or if there is more than one employee, a listing of all of the information required by Section 1088-1(c)(3) of these regulations for all employees.
(2) Wage Item. All information required to be reported for each employee on the report of wages shall be considered a single wage item.
(b) If an employer fails to provide each item required in a report of wages for each employee, or if an employer reports incorrect information for any of the employees, then that employer has failed to furnish a report of wages. If the director makes a specific written demand in accordance with Section 1206 of the code, the penalty provided by Section 1114 of the code shall apply to each wage item when correct and complete information is not provided within 15 days of the demand.
(c) Good cause shall lie where the circumstances causing the delay are clearly beyond the control of the employer or where the delay was not reasonably foreseeable by the employer. Thus, catastrophic occurrences such as fire or flood which destroyed the records would give the employer good cause. Good cause for not furnishing a social security number shall be found where it can be shown that obtaining a social security number was a condition of employment and the employee has applied for, but not yet received, a social security number.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1114 and 1206, Unemployment Insurance Code.
HISTORY

1. New section filed 5-12-92; operative 6-11-92 (Register 92, No. 20).
2. Amendment filed 6-5-2000; operative 7-5-2000 (Register 2000, No. 23).
§1115-1. Accelerated Payments and Returns by Insolvent and Delinquent Employers and Employers Quitting Business.
History

HISTORY

1. Repealer filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
Article 8. Assessments
§1127-1. Negligence or Intentional Disregard.
Note     •     History

(a) Negligence is the failure to exercise the degree of care which a reasonably prudent person under similar circumstances would exercise in the performance or observance of a duty. The failure to act may, but need not, be caused by carelessness or oversight. Negligence includes, but is not limited to, the following:
(1) An employer's failure to maintain records presenting an accurate and complete picture of wages paid, taxes withheld and taxes paid.
(2) An employer's failure to make a status determination as to whether or not an individual who is providing services to that employer for payment is an independent contractor or an employee.
(3) An employer's failure to maintain records substantiating deductions taken from wages.
(4) An employer's failure to seek a ruling from the department when the status of an individual as an independent contractor or an employee is questionable.
(5) An employer's failure to maintain records to substantiate a claim that unreported payments to employees are loan repayments.
(b) Intentional disregard means to purposely or deliberately pay little or no attention to a required action. Intentional disregard includes, but is not limited to, the following:
(1) An employer's failure to report wages merely because it constitutes nuisance bookkeeping.
(2) An employer's reporting of employees under the Federal Insurance Contributions Act (FICA), but failure to report those employees under the California Unemployment Insurance Code (Code) merely because the employees have only a remote possibility of obtaining benefits.
(3) An employer's failure to seek a ruling on the status of the worker as an employee or independent contractor or to report the employee after being advised by an accountant to report.
(4) An employer's failure to report the wages of an employee after being informed by the department of the worker's correct status as an employee.
(5) An employer's failure to report the employee when the employer should have been aware or was aware of reporting requirements.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1127, Unemployment Insurance Code.
HISTORY

1. New section filed 10-27-93; operative 11-26-93 (Register 93, No. 44).
§1137-1. Review of Jeopardy Assessment.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1137 and 1137.1, Unemployment Insurance Code.
HISTORY

1. New section filed 8-11-76 as an emergency; effective upon filing (Register 76, No. 33).
2. Certificate of Compliance filed 11-3-76 (Register 76, No. 45).
3. Amendment of subsections (a) and (i) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
4. Repealer filed 9-14-87; operative 10-14-87 (Register 87, No. 38).
§1137-2. Form of Security Required Under Section 1137 or 1221 of the Code.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1137 and 1137.1, Unemployment Insurance Code.
HISTORY

1. New section filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
2. Repealer filed 9-14-87; operative 10-14-87 (Register 87, No. 38).
§1138-1. Form of Security Required Under Section 1137 or 1138 of the Code.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1137, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 59, No. 22.
Article 9. Refunds and Overpayments
§1177-1. Refunds and Credits.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1177 and 1178, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Registers 72, No. 24 and 59, No. 22.
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1178(b)-1. Time for Filing Claim for Refund or Credit--Allowance of Credit.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1177 and 1178, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Registers 72, No. 24 and 59, No. 22. 
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1178(c)-1. Disposition of Erroneous Worker Contributions.
Note     •     History

(a) With respect to worker contributions withheld from individuals and included in any refund or credit allowed by the director, the employing unit, or other person who made the overpayment, or its or his successor, administrators, or executors, shall submit to the director satisfactory evidence that refund has been made to the individuals of such contributions or that the claimant has been unable to make the refunds or a portion of them. If the evidence is not submitted within one year after allowance of credit or approval of the claim for refund no refund of employer or employee contributions, penalty, or interest shall be made nor credit for employee contributions allowed. Satisfactory evidence of such refunds may be in the form of a certified list of paid checks by which the refunds were made or in the form of receipts signed by the individuals. If any of the refunds cannot be made for any reason, the employing unit or other person who made the overpayment, or its or his successor, administrators, or executors, shall submit to the director a certified list of such erroneous deductions for worker contributions showing the names, social security account numbers, and last known addresses of the individuals and the amounts due each of them. The director shall deduct from the refund or credit due the claimant for worker contributions included in the claim the aggregate amount of such worker contributions which have not been refunded to the individuals and shall withhold it in trust for the individuals to whom the overpayments are owing. Such worker contributions shall be refunded to the individuals by the director wherever it is practicable to do so.
(b) Any employing unit, or other person who makes an overpayment, or its or his successor, administrators, or executors, is not required to refund erroneous deductions for worker contributions as a condition precedent to receiving a refund of employer contributions, penalty, or interest if any of the following conditions exist:
(1) The employing unit or other person who made the overpayment has been declared a bankrupt.
(2) The employing unit, or other person who made the overpayment, or its or his successor, administrators, or executors, is unable to make such refund by reason of a pending court action.
(3) An employing unit under a voluntary plan makes deductions for worker contributions on voluntary plan wages for services which do not constitute “employment.”
(c) Compliance with the procedure for refund of erroneous deductions for worker contributions is required if either of the following conditions exist:
(1) Deductions have been made on wages in excess of the limitation prescribed by Section 985 of the code.
(2) Deductions have been made at a rate greater than the rate prescribed by Section 984 of the code.
NOTE

Authority cited: Sections 305, and 306, Unemployment Insurance Code. Reference: Sections 1178, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1179-1. Requisites of Claim for Refund or Credit.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 1088 and 2602, Unemployment Insurance Code. Reference: Section 1179, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Repealer filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1180-1. Denial of Claim for Refund or Credit.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1180, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment filed 11-4-61; designated effective 11-14-61 (Register 61, No. 22).
3. Amendment of NOTE filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
4. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1181-1. “Date of the Allowance” of Refund or Credit.
Note     •     History

The “date of the allowance” of the refund or credit, as used in Section 1181 of the code, means that date on which either of the following first occurs:
A notice is mailed by the director advising the employing unit or other person by whom it was paid of the overpayment of any amount of contributions, penalty or interest.
(b) A claim for refund or credit has received final approval in accordance with procedures established by the director.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1181, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Repealer of Section 1181-1 and renumbering and amendment of Section 1181-2 to Section 1181-1 filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
§1181-2. “Date of the Allowance” of Refund or Credit.
History

HISTORY

1. Repealer of Section 1181-1 and renumbering and amendment of Section 1181-2 to Section 1181-1 filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47). (Next page is 76.85)
Chapter 5. Unemployment Compensation Benefits
Article 1. Eligibility and Disqualifications
§1251-1. Definitions.
Note     •     History

Unless the context otherwise requires, the terms used in these regulations relating to unemployment compensation benefits shall have the following meaning:
(a) “Applicant” means any individual who applies for employment services or registers for work.
(b) “Base period employer” means an employer by whom wages for employment were paid to a claimant during his or her base period.
(c) “Benefits” means the compensation payable to an individual, with respect to his or her unemployment, under the unemployment compensation law of any state or the federal government.
(d) “CalJOBS” means the department's Internet labor exchange system where claimants register for employment assistance by completing a resume. 
(e) “Claimant” means an individual who files a new claim with the department until such time as his or her claim is found invalid, or the expiration of his or her benefit year, extended duration period, or extended benefit period.
(f) “Department field office” or “department branch office” means an office maintained by the Employment Development Department in accordance with Sections 2054 and 2055 of the code.
(g) “Maximum benefits” means the maximum total amount of benefits payable to a claimant during his or her benefit year.
(h) “Register for work” means a claimant provides the department with information to include, but not limited to, name, social security number, date of birth, mailing address and/or telephone number. 
(i) “Weekly rate” means the weekly benefit amount payable for a week of total unemployment to a claimant during his or her benefit year.
(j) “Social Security Number,” “Social Security Account Number,” “SSAN” and “SSN” all mean the 9-digit account number issued by Social Security Administration to an individual for the purpose of recording that individual's earnings or for use by that individual when required by federal law to receive a benefit or service. 
(k) “Social Security Number Verification” means verification of the social security number, received by the department from the claimant, by either submission of a copy of his or her annual statement issued to him or her by the Social Security Administration, or by verification of that individual's social security number submitted to the department directly from the Social Security Administration. 
(l) “Photo Identification” means an official document issued by a local, state, or federal agency, or a foreign government, which contains an individual's photograph, first and last name, and date of birth. 
(m) “Date of Birth Verification” means a birth certificate issued by a local, state, or federal agency, or a foreign government, or other official certification of that individual's birth. A birth certificate marked “informational, not a valid document to establish identity,” is not acceptable verification. 
(n) “Address Verification” means an original utility bill (e.g. electricity, gas, garbage, water, or sewer), a bill for cable TV, telephone bill, insurance document or other correspondence from a bank or similar institution, a current residential rental or lease agreement; or a mortgage statement; provided the document shows that individual's name and residence address. If that individual does not have a residence address but has a Post Office Box or a Personal Mail Box, address verification will consist of the individual providing proof that he or she is the renter or the authorized user of the box. 
(o) “Employment Data” means a copy of that individual's Wage and Tax Statement (Form W-2), issued within the last 12 months, or a check stub or pay statement issued by that individual's employer within one year prior to the date that individual first filed a claim for unemployment compensation benefits. The check stub or pay statement must contain that individual's first name or initial, last name, that individual's social security number, the name of that individual's employer, the date the check stub or pay statement was issued, or the pay period for which the check stub or pay statement was issued. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1251, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Amendment of subsection (a) filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
3. Amendment filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
4. Amendment of subsections (c)-(e) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
5. Amendment filed 7-21-2003 as an emergency; operative 7-21-2003 (Register 2003, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-18-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-21-2003 order transmitted to OAL 11-7-2003 and filed 12-24-2003 (Register 2003, No. 52).
§1252-1. Partially Unemployed Individual.
Note     •     History

(a) As used in these regulations, partially unemployed individual means a person who during a week meets all of the following conditions:
(1) He or she was employed by a regular employer.
(2) He or she worked less than his or her normal customary full-time hours for his or her regular employer because of lack of full-time work.
(3) He or she was continuously attached to his or her regular employer from the standpoint that there did not occur any severance of the employer-employee relationship.
(b) Notwithstanding subdivision (a) of this section:
(1) An individual who receives benefits under Section 1279.5 of the Code during a benefit year shall not receive benefits as a partially unemployed individual with respect to any week in such benefit year while in employment status with the regular employer who initiated the program of sharing work under Section 1279.5 of the Code.
(2) An individual may not claim benefits as a partially unemployed individual if the Department determines that the individual has been laid off for a period in excess of two consecutive weeks.
(3) If the person has claimed benefits as a partially unemployed individual for two consecutive weeks during which he or she performed no services for the regular employer, he or she may not claim additional benefits as a partially unemployed individual until he or she again performs services for his or her regular employer.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1252, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 79, No. 13.
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1252.1-1. Totally Unemployed Commercial Fishermen.
Note     •     History

(a) “Commercial fishermen” means individuals who are members of a crew of a vessel, engaged in the capture of fish for sale and not in pleasure or sport fishing.
(b) “Inclement weather” means weather of such severity as would cause a reasonable master to refrain from making a fishing voyage.
(c) “Absence of fish in fishable waters” means such a scarcity of fish in the normal fishing waters as would cause a reasonable master to refrain from making a fishing voyage.
(d) “Lack of orders for fish from buyers” means that the owner or operator of the vessel is without a commitment from a buyer of fish to purchase the vessel's catch in the event of a fishing voyage.
(e) “Boat is laid up for repairs” means that the vessel is inactive because it is either undergoing repairs or unseaworthy and awaiting repairs.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1252.1, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment of NOTE filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1252.2-1. Partially Unemployed Commercial Fishermen.
Note     •     History

(a) “Commercial fishermen” means individuals who are members of a crew of a vessel, engaged in the capture of fish for sale and not in pleasure or sport fishing.
(b) A commercial fisherman is in the “act of catching or attempting to catch fish” from the time he is aboard a vessel which has left its dock or anchorage on a fishing voyage and until the vessel returns to its dock or anchorage, or the fish caught on the voyage are unloaded, whichever occurs later, except that a commercial fisherman who has no obligation to perform personal services with respect to the unloading of the fish will not be deemed in the “act of catching or attempting to catch fish” after the vessel returns to its dock or anchorage.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1252.2, Unemployment Insurance Code.
HISTORY

1. Renumbering filed 9-5-61; designated effective 9-15-61 (Register 61, No. 18). For prior history of Section 145-1 see Register 60, No. 17.
2. Amendment of NOTE filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1253-1. The Term “Week” Defined.
Note     •     History

The term “week” for benefit purposes means the seven consecutive days commencing at 12.01 a.m., Sunday, and ending 12 midnight the following Saturday.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1253-2. Week of Unemployment.
Note     •     History

“Week of unemployment” means the week of unemployment in which an individual registers in person at an employment office prior to the close of business on Friday of such week. Thereafter his or her week or weeks shall consist of seven-consecutive-day period(s) as defined in Section 1253-1 of these regulations, commencing immediately after the initial week. This section shall not apply to a claimant with respect to a first or subsequent partial claim for partial unemployment insurance benefits.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253, Unemployment Insurance Code.
HISTORY

1. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
2. Amendment filed 1-12-87; effective thirtieth day thereafter (Register 87, No. 3).
§1253-3. Week of Partial Unemployment.
Note     •     History

“Week of unemployment” means with respect to a partially unemployed individual whose wages are paid on a weekly basis, the individual's pay period week. With respect to a partially unemployed individual whose wages are not paid on a weekly basis, a week of partial unemployment shall consist of a week as defined in Section 1253-1 of these regulations, unless another seven-consecutive-day period is found to be appropriate under the circumstances. The individual's weekly claim period will remain unchanged until there is a break in continuous weekly certification. (See Section 1326-8 of these regulations for partial claim filing procedures.)
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253, Unemployment Insurance Code.
HISTORY

1. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1253-4. Week--Late Filing of a Claim with Good Cause.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference Section 1253, Unemployment Insurance Code.
HISTORY

1. Amendment filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment of Section heading filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Amendment filed 1-12-87; effective thirtieth day thereafter (Register 87, No. 3).
4. Repealer filed 8-24-92; operative 9-23-92 (Register 92, No. 35).
§1253-5. Week--Failure to File a Timely Claim.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253, Unemployment Insurance Code.
HISTORY

1. Amendment filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Repealer filed 8-24-92; operative 9-23-92 (Register 92, No. 35).
§1253-6. Week--Remote Area--Itinerant Service.
Note     •     History

A week of unemployment of an individual who resides in an area served only by the itinerant service of the employment office shall be the first week in which he was unemployed, provided, that the individual registers in person with the itinerant service at the first opportunity afforded by such services. Thereafter his or her week(s) shall consist of seven-consecutive-day periods, as defined in Section 1253-1 of these regulations, commencing immediately after the initial week.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253, Unemployment Insurance Code.
HISTORY

1. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1253-7. Week--Remote Area--No Itinerant Service.
Note     •     History

A week of unemployment of an individual who resides in a remote or isolated area not served by itinerant service shall be the first week in which he was unemployed, provided, that he requests a work registration by mail postmarked not later than 12 midnight Friday of such week. Thereafter his or her week(s) shall consist of seven-consecutive-day periods, as defined in Section 1253-1 of these regulations, commencing immediately after the initial week.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253, Unemployment Insurance Code.
HISTORY

1. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
2. Amendment filed 1-12-87; effective thirtieth day thereafter (Register 87, No. 3). 
§1253-8. Week--Delayed Filing with Good Cause--New, Additional, or Reopened Claim.
Note     •     History

A week of unemployment of an individual who for good cause, delays filing his or her new, additional, or reopened claim shall be the week in which he or she first becomes unemployed. Thereafter his or her week(s) shall consist of seven-consecutive-day periods, as defined in Section 1253-1 of these regulations, commencing immediately after the initial week. (See Section 1326-2 of these regulations for a definition of new claim, 1326-4 for a definition of additional claim, 1326-5 for a definition of reopened claim, and Section 1326-10 of these regulations for interpretation of “good cause.”)
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253, Unemployment Insurance Code.
HISTORY

1. Amendment filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1253-9. Week--Mass Separation or Trade Dispute.
Note     •     History

A week of unemployment of an individual affected by a mass separation or by a trade dispute, for which arrangements are made by the department for group registration, means the first week during which the individual is unemployed, provided that the individual files a claim in accordance with such arrangements prior to the end of the second week following the week in which he becomes unemployed.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253, Unemployment Insurance Code.
HISTORY

1. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1253-10. Week--Privately Operated Hiring Facilities.
Note     •     History

“Week of unemployment” for benefit purposes for any individual utilizing a privately operated hiring facility approved by the department shall, with respect to an individual whose wages are paid on a weekly basis, be the individual's weekly pay period. This period shall consist of seven consecutive calendar days. If the pay period is not based on calendar days, a week shall consist of 168 consecutive hours. With respect to an individual whose wages are not paid on a weekly basis, a week of unemployment shall consist of the seven-consecutive-day period beginning on Sunday, 12:01 a.m. and ending 12 midnight Saturday. If necessary, the department shall determine and prescribe alternate seven-consecutive-day periods for an individual or group, as appropriate to the circumstances. If during a period of continuous unemployment the claimant ceases to utilize such approved hiring facilities, his or her claim period shall continue to be the week of his or her last certification for unemployment insurance until again employed, or there occurs a break in continuous weekly certification. Claims filed pursuant to this section shall be filed in the manner set forth in Section 1326-8 of these regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253, Unemployment Insurance Code.
HISTORY

1. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1253-11. Week--Interstate Claimants.
Note     •     History

“Week of unemployment” as used in Sections 455-1 through 455-8 of these regulations relating to interstate claimants shall be the seven-consecutive-day period for which interstate claimants are required to file under the agent state procedures at the time of filing a claim for benefits.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1253(a)-1. Claims for Benefits--How Filed.
Note     •     History

Claims for benefits shall be filed with the Employment Development Department in accordance with Sections 1326-1 through 1326-13 of these regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253(a), Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-23-70; designated effective 12-3-70 (Register 70, No. 48).
2. Amendment filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
3. Amendment filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
4. Amendment filed 7-21-2003 as an emergency; operative 7-21-2003 (Register 2003, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-18-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 7-21-2003 order transmitted to OAL 11-7-2003 and filed 12-24-2003 (Register 2003, No. 52).
§1253(b)-1. Registration for Work.
Note     •     History

(a) Except as provided by subsections (e) and (f) of this section, a claimant shall register for work by entering a resume on CalJOBS or by any other means as directed by the department.
(b) Except as provided in subsections (d) and (e) below, a claimant must register for work within 21 days after filing a claim for unemployment compensation benefits, or on a date specified by the department, if later.
(c) If a claimant does not register for work in accordance with subsections (a) and (b) above, the department will require the claimant to report in person to a department field or branch office to register for work, and to provide supplemental information to assist in his or her search for suitable work (see Section 1253(e)-2 of these regulations). The department shall provide written notice to the claimant of the date, time, and location of the nearest department field or branch office where he or she shall be required to report.
(d) Except as provided in subsections (e) and (f) below, a claimant who fails to register for work with the department shall be disqualified from receiving benefits.
(e)(1) A claimant may be excused from registering for work if he or she can establish “good cause.” “Good cause” for the purpose of this regulation includes, but is not limited to, compelling reasons affecting the safety and/or privacy of the claimant and/or his or her dependents.
(2) The department may waive the registration requirement if the claimant can establish “good cause.” See Section 1326-10 of these regulations for interpretation of “good cause” for delay in registration.
(f) The department will waive the requirement to register for work for a claimant who meets any of the criteria listed below:
(1) A Trade union member on good standing who is bound by his union to seek and/or obtain employment only through his union.
(2) A claimant with a definite offer to return to work within a reasonable period of time as defined by the department.
(3) A claimant receiving benefits under the Trade Adjustment Assistance Act (TAA), North American Free Trade Agreement-Transitional Adjustment Assistance (NAFTA-TAA), or California Training Benefits (CTB) programs.
(4) A claimant receiving benefits under the Partial Claim or Work Sharing programs.
(5) A claimant residing in another state if the claimant is registered with that state's employment service.
(6) A claimant for whom there is little or no likelihood of job openings being listed with the department and for whom job development efforts by the department would not be productive.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253(b), Unemployment Insurance Code.
HISTORY

1. New section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Amendment filed 9-2-2003; operative 10-2-2003 (Register 2003, No. 36).
§1253(c)-1. Availability for Work--General Principles.
Note     •     History

(a) Scope. This section sets forth the principles the department shall apply to determine if a claimant is available for work as required by Section 1253(c) of the Code. A variety of conditions and circumstances affects a claimant's availability, including restrictions that are imposed by the claimant, such as the wages and other working conditions the claimant will accept, and legal restrictions, such as licensing requirements and the claimant's ability to establish his or her employment eligibility under Section 274A of the Immigration and Nationality Act, 8 USC 1324a. If a claimant has good cause for a restriction, the claimant will not be ineligible under Section 1253(c) so long as a substantial field of employment remains open to him or her.
(b) General Rule. A claimant is available for work during the week for which he or she claims benefits if the claimant is ready, willing, and able to accept suitable employment or has good cause for any restriction on his or her readiness, willingness, or ability to accept such employment and; notwithstanding such a restriction, a substantial field of employment remains open to the claimant in his or her labor market. A claimant is not available for work if he or she is unable to establish his or her employment eligibility upon hire in accordance with the requirements of Section 274A(b) of the Immigration and Nationality Act, 8 USC 1324a(b).
(c) Definitions. As used in the general rule, the following terms have the meanings assigned:
(1) “Suitable work” means work in the claimant's usual occupation or work for which the claimant is reasonably fitted. Whether the work is work for which the claimant is reasonably fitted depends upon such factors as the claimant's age, health, prior training, and experience. “Suitable work” does not include work under the conditions specified in Sections 1258.5 or 1259 of the Code.
(2) “Labor market” means that potential demand for the claimant's services in the locality where he or she offers them. A labor market may expand or contract with such factors as the season, weather, economic conditions, and consumer demands.
(3) “Substantial field of employment” means the presence of potential job openings with more than a minimal number of employers who would use the services offered by the claimant. It does not mean that vacancies exist or that there is a likelihood of employment. It means only that the type of services the claimant offers are generally performed in the area in which he or she offers them.
(4) “Good cause” means a compelling reason, one which would influence a prudent person in the same circumstances as the claimant, and who is genuinely desirous of working, to impose the restriction. A finding of good cause depends on a determination that the claimant had no reasonable alternative for discharging the obligation that led the claimant to place the restriction on his or her availability. Reasons of ambition, prestige, taste, or similar motives, though they may be commendable in certain instances, will usually not be considered to constitute good cause.
(d) Burden of Proof.
(1) With regard to a determination of availability under Code Section 1253 (c), and any appeal therefrom, the claimant has the burden of proving that he or she was ready, willing and able to accept suitable employment and that he or she had good cause for any restriction.
(2) If the claimant meets the burden set forth in subdivision (d)(1), the department has the burden of proving that, nevertheless, a substantial field of employment did not remain open to the claimant.
(e) Employment Eligibility.
(1) A claimant shall be unavailable and the department shall determine him or her ineligible under Section 1253(c) of the Code if the department finds that the claimant is unable to establish his or her employment eligibility. The claimant's inability shall be considered a restriction on his or her availability.
(2) As used in this regulation “establish his or her employment eligibility” means the claimant presents the document or documents and makes the attestations required by Section 274A(b) of the Immigration and Nationality Act, (“Act”) 8 USC 1324a(b), on the form designated by the United States Attorney General for such purposes, commonly referred to as the “I-9,” so that an employer can, if necessary to establish an affirmative defense to any liability asserted under the Act, verify the claimant's identify and work authorization.
(3) The department may base its finding that the claimant is unable to establish his or her employment eligibility on information from the claimant, information from prospective or former employers, information that results from the claimant's registration for work as provided by Section 1253(b)-1 of these regulations, or information that results from the department's request to the INS to verify the claimant's immigration status for purposes of determining his or her eligibility for unemployment compensation benefits under Section 1326-13 of these regulations.
(f) Licenses. To be considered available under Section 1253(c) of the Code, a Claimant must keep current all licenses, certificates, and memberships necessary for him or her to be legally employed in his or her usual occupation or profession, or in work for which the claimant is reasonably fitted if there is no substantial field of employment for the claimant in his or her usual occupation.
(g) Other Provisions. Except as provided by Sections 1253.1, 1253.12, 1253.15, 1253.2, 1253.5, 1253.7, 1258.8, or 1267 of the Code, a claimant who is determined to be unavailable for work is ineligible for benefits for the week in which the unavailability occurs and remains ineligible until the person demonstrates that he or she is available for work and is otherwise eligible for benefits.
(h) If any subdivision of this regulation or its application to any person or circumstance is held invalid, the invalidity shall not affect other subdivisions or applications of this regulation which can be given effect without the invalid subdivision or application, and in this respect the subdivisions of this regulation are severable.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1253(b), 1253(c) and 1326, Unemployment Insurance Code; Section 274A(b), Immigration and Nationality Act; 8 USC 1324a(b); and Precedent Benefit Decision No. 459, California Unemployment Insurance Appeals Board.
HISTORY

1. New section filed 10-3-88; operative 10-3-88 pursuant to Government Code Section 11346.2(d) (Register 88, No. 42).  For prior history, see Register 79, No. 13.
§1253(c)-2. Period of Ineligibility Under Section 1253(c) of the Code.
Note     •     History

Except as provided by Sections 1253.1, 1253.12, 1253.15, 1253.2, 1253.6 of the code, a claimant who is ineligible for benefits because he or she is not able to work or available for work shall be ineligible for the week in which such occurs and shall remain ineligible in subsequent weeks until he or she demonstrates to the satisfaction of the department that he or she is able to work, available for work.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253(c), Unemployment Insurance Code.
HISTORY

1. Amendment filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1253(e)-1. Effort to Search for Suitable Work.
Note     •     History

(a) A claimant is ineligible for unemployment compensation benefits for any period for which the department finds that he or she has not made a reasonable effort to search for suitable work on his or her own behalf in accordance with specific and reasonable instructions of a public employment office. The department shall provide to each claimant written information and assistance, and upon request of a claimant or upon identification by the department of a claimant's need, additional oral information and assistance, as to how, when, where, and in what manner to apply for and look for a job. The facts and circumstances in each case shall be considered in determining whether a claimant has made a reasonable effort to search for suitable work. The claimant shall be required to show that he or she has, in addition to registering for work pursuant to Section 1253(b)-1 of these regulations, followed a course of action which is reasonably designed to result in his or her prompt reemployment in suitable work, considering the customary methods of obtaining work in his or her usual occupation or for which he or she is reasonably suited, and the current condition of the labor market. The following are examples of actions by a claimant which may be considered a reasonable effort for a claimant to search for suitable work on his or her own behalf:
(1) Making application with such employers who may reasonably be expected to have openings suitable to the claimant.
(2) Applying for employment with former employers.
(3) Registering with the claimant's union hiring or placement facility, and meeting all union dispatching calls and union registration requirements and all other union requirements affecting dispatch to a job. The department may find that this action alone is an adequate search for suitable work for particular claimants.
(4) Making application or taking examination for openings in the civil service of a governmental unit with reasonable prospects of suitable work for the claimant.
(5) Registering with a placement facility of a school, college, or university if one is available to the claimant in his or her occupation or profession.
(6) Registering with a placement facility of the claimant's professional organization.
(7) Registering for suitable work with a private employment agency or an employer's placement facility.
(8) Responding to appropriate “want ads” for work which is suitable to the claimant.
(b) A claimant has not made a reasonable effort to search for suitable work on his or her own behalf if the department finds that he or she has wilfully followed a course of action designed to discourage prospective employers from hiring him or her in suitable work. The department shall consider a claimant to have followed such a course of action if it finds that the claimant has not made a good faith effort to obtain the documents necessary to establish his or her employment eligibility in accordance with the requirements of Section 1253(c)-1(e) of these regulations.
(c) No claimant shall be denied benefits solely on the ground that he or she has failed or refused to register with a private employment agency or any other placement facility which charges the job-seeker a fee for its services.
(d) Notwithstanding any of the foregoing, if the department finds that for a particular locality, occupation, or class of claimant or due to other extenuating circumstances during a certain interval, the prospects of suitable job openings other than those listed with the public employment service are so remote that any effort to search for suitable work other than by filing a claim for unemployment compensation benefits and reporting as required to a department field or branch office would be fruitless to the claimant and burdensome to employers, then such filing and such reporting by the claimant shall be a reasonable effort to search for suitable work on his or her own behalf. The circumstances to which the department may apply this subdivision include any of the following:
(1) The claimant has a definite job promise within a reasonable time.
(2) There is a temporary layoff due to inclement weather, or a temporary layoff for another cause with a return to work date within 30 days.
(3) Claimant's labor market has been virtually eliminated due to a trade dispute.
(4) There is an agreement by employers, unions, and the department to serve applicants for work in the claimant's occupation.
(5) Claimant's unemployment is due to a seasonal shutdown in the industry in which the claimant works and the likelihood of obtaining other work is remote.
(6) The claimant's specialized skill is such that a limited number of job prospects are available for him or her and he or she has exhausted the potential sources of these jobs.
(e) This section shall not apply to a claimant with respect to a first or subsequent partial claim for partial unemployment benefits.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253(e), Unemployment Insurance Code.
HISTORY

1. New section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Amendment of subsection (b) filed 10-3-88; operative 10-3-88 pursuant to Government Code Section 11346.2(d) (Register 88, No. 42).
§1253(e)-2. Effort to Search for Suitable Work--Supplemental Information.
Note     •     History

Every claimant shall upon request of the department submit supplemental information to assist in his or her search for suitable work and to determine his or her eligibility for unemployment benefits. The supplemental information required of a claimant may include:
(a) The length of time he or she has been unemployed.
(b) His or her estimate of his or her chances of finding work, and his or her reasons.
(c) His or her statement of any definite promise of a job with an employer, with the employer's name and the approximate date the job will begin.
(d) Whether he or she is engaged in or plans to engage in self-employment or farming.
(e) Whether he or she is selling on commission.
(f) Whether he or she is enrolled in or plans to enroll in a school or training course of any kind.
(g) The kind of work for which he or she is registered with his or her union, if he or she is a union member, and when he or she last attended roll call or dispatch call.
(h) What he or she did to find work during a specified period, including the employers, labor unions and other places he or she contacted for work during the period, except that this information is not required if he or she customarily obtains all of his or her jobs through his or her union.
(i) If he or she did not look for work, an explanation of his or her reasons.
(j) Whether he or she is able to establish his or her employment eligibility if hired as required by Section 1253(c)-1(e) of these regulations.
(k) A certification that the information is true and correct to the best of his or her knowledge and belief, and that he or she understands that the law provides for a fine and/or imprisonment for making false statements or withholding facts to receive benefits.
(l) His or her signature.
(m) Such other information as the department may require.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253(e), Unemployment Insurance Code.
HISTORY

1. New section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment of subsection (h) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Amendment of introductory paragraph, new subsection(j) and relettering of former subsections (j)-(l) to subsections (k)-(m) filed 10-3-88; operative 10-3-88 pursuant to Government Code Section 11346.2(d) (Register 88, No. 42).
§1253.1-1. Eligibility--Unlawful Detention.
Note     •     History

“Unlawfully detained” means any restraint upon the claimant which deprives him or her of his or her personal liberty without authority of law, whether imposed by physical force applied to the claimant, or by words or conduct which would cause a reasonable person to fear that resistance would be overcome by force.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253.1, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79, designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 60, No. 17 and 59, No. 22.
§1253.12-1. Eligibility--Death in Family.
Note     •     History

“Immediate family” means the spouse or registered domestic partner of the claimant or the parent, stepparent, foster parent, grandparent, child, foster child, grandchild, brother, sister, son-in-law, or daughter-in-law of the claimant or of the claimant's spouse or registered domestic partner, whether or not the same live in a common household.
Registered domestic partners are defined in California Family Code Section 297.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1253.12, Unemployment Insurance Code.
HISTORY

1. New section filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
2. Amendment filed 11-5-2002 as an emergency; operative 11-5-2002 (Register 2002, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-5-2002 order transmitted to OAL 2-25-2003 and filed 4-8-2003 (Register 2003, No. 15).
§1254-1. Week--In Two Benefit Years.
Note     •     History

(a) When the major portion of a week of unemployment falls within the expiring benefit year, the entire week shall be deemed to fall within the expiring benefit year.
(b) Where less than the major portion of a week of unemployment falls within the expiring benefit year, the entire week shall be deemed to fall within the new benefit year. (See Section 1253-3 of these regulations for a description of a week of partial unemployment.)
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1254, Unemployment Insurance Code.
HISTORY

1. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1255.3-1. Pension Deduction--General Principles.
Note     •     History

(a) Scope. This section sets forth the principles the department shall apply to determine whether the pension payments a claimant is receiving are deductible from his or her unemployment compensation benefits as provided by Section 1255.3 of the code.
(b) General Rule. The amount of unemployment compensation benefits, extended duration benefits, and federal-state extended benefits an individual is receiving shall be reduced, but not below zero, for any week with respect to which that individual, having received an initial pension payment, is currently receiving a periodic governmental or other pension, retirement or retired pay, annuity, or any other similar periodic payment which is based on the previous work of the individual if the following three conditions are met:
(1) The pension, retirement or retired pay, annuity, or similar periodic payment is under a plan maintained (or contributed to) by a base period or chargeable employer;
(2) The services performed by the individual for the employer after the beginning of the base period of the unemployment compensation claim affect eligibility for, or, increase the amount of such pension, retirement or retired pay, annuity, or similar periodic payment; and
(3) The individual has made no contribution to the pension, retirement or retired pay, annuity, or similar periodic payment.
If the individual has made any contribution to the pension, retirement or retired pay, annuity, or similar periodic payment, the pension payment shall not be deductible.
(c) Definitions. As used in the general rule, the following terms have the meanings assigned:
(1) “Pension” means a sum of money paid regularly as a retirement benefit to an individual; and the pension is based on the individual's own work. “Pension” also includes retirement, retired pay, annuity, or any other similar periodic payment.
(2) “Periodic payment” means that the payment is being made at regular intervals, e.g., monthly, annually, etc. A payment is not periodic if the full pension entitlement (whether at the employer's or the worker's option) is paid out in a lump sum.
(3) “Base period” means base period as defined in Section 1275 of the Code.
(4) “Base period employer” means an employer for whom the claimant worked during the base period of the unemployment compensation claim and who paid wages which were used in the calculation of the claim award.
EXAMPLE 1: The claimant worked for employer C for 30 years and retired when the company transferred its operations out of state. The base period of the claim is the calendar year of 1990. The claimant worked only for employer C during the base period and the claim is based entirely on wages paid to the claimant by employer C. Employer C is a base period employer.
EXAMPLE 2: The claimant filed a claim effective May 5, 1991. The base period of the claim is from January 1, 1990, through December 31, 1990. The claimant worked for two employers during the base period of the claim. He worked for employer A through April 1990 and he worked for employer B beginning in July 1990 and continuing until April 1991. Employer A is a church. Wages paid by a church are not subject to coverage for unemployment compensation purposes. Therefore, employer A is not a base period employer since the wages from this employment are not used in the calculation of the unemployment compensation claim which in this case is based solely on wages earned with employer B.
(5) “Chargeable employer” means the same as a “base period employer”.
(6) “Maintained or contributed to” for purposes of subdivision (b)(1) of these regulations means that the base period employer made all contributions to the pension fund or, as a member of a multi-employer pension fund, contributed to the pension fund from which the pension is being paid. Examples of multi-employer pension funds are Social Security, union pension funds, PERS (Public Employees Retirement System) STRS (State Teachers Retirement System), etc.
(7) “Affect eligibility” for purposes of subdivision (b)(2) of these regulations means that the services performed by the claimant after the beginning of the base period result in the individual meeting the minimum requirements (requisite age plus years of service) for being eligible to receive the pension.
EXAMPLE 3. The claimant retired from employer D. The company pension provides an individual has to be at least age 55 and have completed 20 years of service to be eligible for the company pension. The base period of the unemployment insurance claim is the calendar year of 1990. The claimant worked for the employer for 25 years but did not attain age 55 until May 5, 1990. The claimant's services after the beginning of the base period, i.e., January 1, 1990, were necessary for her to become eligible to receive the pension, the pension is deductible.
(8) “Increase the amount of” for purposes of subdivision (b)(2) of these regulations means that the services performed by the claimant after the beginning of the base period resulted in the claimant's receiving a higher pension award than he or she would have received without having performed such additional services.
EXAMPLE 4. The claimant worked for employer E who laid the claimant off effective March 31, 1991. At the time of the layoff, the claimant had worked for employer E for 31 years. The claimant began work on March 1, 1960. Since he was laid off, the claimant applied for his pension. The claimant also applied for unemployment insurance benefits. The base period of his claim is the calendar year of 1990. To calculate an employee's pension award, the company takes a certain dollar amount times years of service. At the time the claimant applied for his pension the dollar amount used by the employer was $26.75. The claimant's monthly pension amount was $829.25 ($26.75 x 31 years). Had the claimant applied for retirement in March 1990, the monthly amount of his pension would have been $802.50 ($26.75 x 30 years). The pension is deductible since the additional work after the beginning of the base period resulted in a higher monthly pension award.
(9) “Made no contributions to the pension fund” means that the individual did not contribute to the pension fund during any period of his or her employment. The contributions need not have been made during the base period of the unemployment insurance claim.
(d) If the criteria listed in subdivision (b) above are met and the pension is deductible, then the entire monthly award of the pension shall be deductible, not just the amount by which the pension award increased because of the work after the beginning of the base period. The deductible amount of the pension shall be determined by taking the monthly award and prorating it over a weekly basis. The weekly amount of the pension shall be deductible dollar for dollar, but not below zero, from the unemployment insurance weekly benefit amount.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1255.3 and 1275, Unemployment Insurance Code.
HISTORY

1. New section filed 6-16-93; operative 7-16-93 (Register 93, No. 25).
§1256-1. Voluntary Leaving or Discharge--Relationship to and Distinction from Discharge, Layoff and Other Types of Unemployment.
Note     •     History

(a) Scope. This section relates to a voluntary leaving of work within the meaning of Section 1256 of the code and contrasts it with those situations in which an individual leaves work involuntarily as the result of a discharge, a layoff, a disciplinary suspension or any other cause of cessation of employment. This section distinguishes a suspension of work arising out of a trade dispute pursuant to Section 1262 of the code. This section also distinguishes causes of unemployment in which a separation issue does not arise.
If an individual is separated from his or her “most recent work,” as defined in Section 1256.3 of the code and Section 1256-2 of these regulations, the individual is disqualified under Section 1256 of the code only if he or she quits work voluntarily and without good cause or is discharged by the employer for work-connected misconduct. A claimant is not disqualified under Section 1256 of the code if his or her employment is terminated either as the result of a voluntary leaving with good cause or as the result of a discharge or suspension by the employer for reasons other than work-connected misconduct of the claimant.
If an individual voluntarily leaves his or her most recent work, the disqualification under Section 1256 of the code depends upon whether or not the leaving was with good cause. Section 1256-3 of these regulations sets forth general principles of good cause. Sections 1256-4 to 1256-23 of these regulations describe circumstances which are or are not good cause.
Sections 1256-30 to 1256-43 of these regulations relate to discharges for misconduct.
(b) Voluntary Leaving. A voluntary leaving of work occurs when an employee is the moving party causing his or her unemployment. A voluntary leaving includes, but is not limited to, the following common situations in which the employee is the moving party in causing his or her own unemployment:
(1) A leaving of work at a time when work is available.
(2) The employee's voluntary act or conduct is not work-connected misconduct, but compels the employer to discharge the employee which the employee knew or reasonably should have known would be the result (see subdivision (f) of this section).
(3) A leave of absence requested by the employee (see Section 1256-16 of these regulations).
(c) Involuntary Leaving. An involuntary leaving of work occurs when the employer is the moving party in causing the unemployment of an employee at a time when the employee is able and willing to continue working. An involuntary leaving includes, but is not limited to, the following common situations in which the employer is the moving party in causing the employee's unemployment: 
(1) A discharge or disciplinary suspension for work-connected misconduct (see Sections 1256-30 to 1256-43 of these regulations).
(2) A discharge for reasons other than misconduct.
(3) A layoff, due to a lack of work, for an indefinite period of time. However, a temporary layoff, due to a lack of work, for a reasonably definite period of time does not sever the employment relationship and if the employee terminates the employment relationship during such temporary layoff, the leaving is a voluntary leaving.
(4) A layoff due to a mandatory leave of absence policy pursuant to employer rules or to the provisions of a collective bargaining agreement to which the employer is a party (see Section 1256-16 of these regulations).
(5) A layoff due to limited tenure or job rotation provisions of a collective bargaining agreement between the employer and the union (see Section 1256-16 of these regulations).
(6) A layoff of an employee during the course of a trade dispute in which he or she is not involved.
(7) A change in the ownership of a business which results in an indefinite layoff of the employee even though the successor business extends an offer of new work to the employee. This would raise an issue of refusal of suitable employment under subdivision (b) of Section 1257 of the code.
(d) Moving Party. Whether an individual leaves work voluntarily or involuntarily depends upon which party initiated a termination or suspension of the employment. The employer who refuses to permit an able and willing employee to continue working or the employer who is unable to provide continuing work is the moving party and the employee is involuntarily unemployed due to a discharge or layoff. Therefore, a voluntary leaving occurs only when work is available and the employee leaves work of his or her own free will.
An employee who leaves work when asked by the employer to either resign or be fired, or an employee who resigns rather than agree to a forced leave of absence, has not left work of his or her own free will. In these situations, since the employee did not choose to quit, the employer is the moving party in the separation and the employee becomes involuntarily unemployed.
The employer is also the moving party if the employer discharges the employee but then gives the employee the option of either leaving immediately or remaining a few days longer, and the employee elects to leave immediately. However, the employer must in fact discharge the employee. For example, if the employer, in response to a complaint by the employee, replies that the employee can quit if the job is not satisfactory and the employee then does so, the employee is the moving party.
In the following situations the employee is the moving party in terminating the employment and thus the employee has voluntarily left his or her employment:
(1) The employee resigns in anticipation of a discharge or layoff and before the employer takes any action.
(2) The employee resigns but delays the effective date of the resignation at the request of the employer.
(3) The employee resigns effective as of a future date, the employer accepts the resignation and makes a firm offer to a potential replacement or incurs substantial expenses in recruiting or other efforts to obtain a replacement, and the employee subsequently unsuccessfully attempts to withdraw the resignation prior to its effective date.
(4) The employee leaves work prior to the effective date of a discharge and is not paid beyond the last day actually worked. However, if the employee leaves work on the effective date of discharge but prior to the end of the normal workday, there is a discharge rather than a voluntary leaving, even if the employee is paid for that day's work. The employer would also become the moving party if the employer terminates the employee's employment prior to the effective date of the employee's resignation and does not pay the employee any wages beyond the date of the termination.
(5) The employee refuses to exercise his or her right to “bump” another employee and instead elects to be laid off.
(e) Termination of Employment.
(1) General. Employment is terminated when, at the time of leaving, neither the employer nor the employee contemplates a resumption of the employment relationship. A termination of the employment relationship or a disciplinary suspension is necessary before there can be either a voluntary leaving or a discharge, but is not essential to other types of leaving. For example, there may be a physical leaving of work by the employee and yet the employment relationship continues in certain situations where the employee is on leave of absence, is temporarily laid off, suspended for a definite period, or is unemployed because of a trade dispute.
(2) Leave of Absence or Layoff. Although an employee neither performs services nor receives wages during an authorized true leave of absence or a temporary layoff due to lack of work, the employment relationship continues because the work will resume at a later date, and there has been no termination of employment. A layoff for an indefinite period, or for an unreasonable length of time, or where there is no contemplation that the employee will resume his or her work in the future may sever the employer-employee relationship. In such cases there can be no leaving after the date of such a layoff.
A true leave of absence exists if the employer and the employee mutually agree that the employee will return to his or her work after a period of absence and that the employment relationship is not terminated although the performance of services is suspended for the period of the absence from work. A leaving of work occurs when an employee voluntarily commences a true leave of absence. If the employer is unable to return the employee to his or her work upon the expiration of a true leave of absence, the employment is terminated at that point and the employee is laid off due to a lack of work. However, if an employee merely leaves for a fixed period of time with an understanding that he or she would be rehired at the end of that period only if work were available, then a true leave of absence does not exist. If no work is available when the period expires, the employment has been terminated and the employee has voluntarily left work as of the commencement of the period. A termination and voluntary leaving of work also occur if upon expiration of a true leave of absence the employee fails to return to work, or, if unable to return, the employee fails to request or requests without success an extension of the leave.
Section 1256-16 of these regulations should be consulted for a detailed discussion of a true leave of absence as it relates to the question of a voluntary quit with or without good cause.
(3) Suspension. A disciplinary suspension of an employee for a specific period of time raises a separation issue if the employee files an unemployment insurance claim during the period he or she is suspended. Whether or not the claimant will be eligible for benefits depends upon the reason the claimant was suspended by the employer. If the claimant was suspended for willfully and knowingly violating reasonable employer rules, the claimant will be disqualified on the basis of a discharge for misconduct connected with the work.
This situation is similar to a constructive voluntary leaving, discussed below in subdivision (f) (see also Section 1256-43 of these regulations which discusses discharge for misconduct for violation of employer's rules).
(4) Termination by Mutual Agreement. There may be a separation by mutual agreement if the employer and employee have mutually agreed to separate, either at the time of termination or, initially, at the time of hire. In such cases the termination is neither a discharge nor a leaving and thus a disqualification cannot arise under Section 1256 of the code. The expiration of a fixed term contract of hire to which the parties initially agreed is an example of a termination by mutual agreement.
EXAMPLE 1. A's employment was under a written contract which required two years of service in a foreign country. Approximately two weeks before the expiration of this contract the employer offered A similar contract for another two-year term. For personal reasons, A declined to enter into the new contract and did not continue working after the expiration of the contract.
Since A satisfied the terms of a specific period of employment, A became involuntarily unemployed and A's refusal to enter into a new contract of employment is not a voluntary leaving.
(5) Trade Dispute. A leaving of work by an employee because of a trade dispute pursuant to Section 1262 of the code results in merely a suspension of the employment relationship rather than a termination of employment. Such a leaving is not treated as a leaving under Section 1256 of the code (see Section 1262-1 of these regulations). An individual may not be directly involved in a trade dispute but may become unemployed due to the actions of others. For example, a nonunion employee who becomes unemployed, due to a plant closure arising out of a trade dispute with union employees, is temporarily laid off due to lack of work. Section 1256 of the code is not applicable at the time of the temporary layoff and would become applicable only by a subsequent termination of employment. This could arise by a refusal of either the employer or the employee to continue the employment relationship at the time work is resumed following the end of the trade dispute. An employee may voluntarily quit during a trade dispute if there is an unequivocal severance of the employment relationship. This could occur where the employee intends to sever the employment relationship and to abandon the employment. If this does occur, it raises an issue under Section 1256 of the code.
(f) Constructive Voluntary Leaving. In some cases, the employee is deemed to have left work voluntarily even though the apparent cause of termination is the employee's discharge by the employer. Such a leaving is designated as a constructive voluntary leaving and it occurs when an employee becomes the moving party by engaging in a voluntary act or in a course of conduct which leaves the employer no reasonable alternative but to discharge the employee and which the employee knew or reasonably should have known would result in his or her unemployment. However, an employee is not required to comply with an unreasonable order of an employer, and a discharge in such circumstances would be a discharge for reasons other than misconduct and not a constructive voluntary leaving. The following examples involve a constructive voluntary leaving since the loss of employment is directly caused by the employee's voluntary action which set in motion the events leading to the employer's action of discharging the employee
EXAMPLE 2. The driver's license of B, a truck driver, was revoked by the state due to a drunk driving conviction. The employer discharges B because B is no longer able to continue operating the employer's delivery truck.
EXAMPLE 3. C refuses to join a labor organization within the required time limit or fails to pay C's union dues as required by the terms of a collective bargaining agreement between the employer and a union representing the employees. The employer discharges C as required by the agreement with the union.
EXAMPLE 4. D is hired by a cannery for a workweek of Monday through Saturday. D works under such conditions for several years but then decides that for personal reasons D will no longer work on Saturdays. The employer discharges D due to D's refusal to work Saturdays.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1256 and 1257, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Change without regulatory effect repealing subsection (b)(3) and renumbering subsection (b)(4) to subsection (b)(3) (Register 87, No. 40).
§1256-2. Voluntary Leaving--Most Recent Work.
Note     •     History

(a) Scope. This section interprets what is and is not “work” as used in Section 1256 of the code relating to disqualification for unemployment compensation benefits for leaving “most recent work” voluntarily without good cause, and how the date of filing a claim in person or by mailing a continued claim or other claim affects what is the “most recent work,” defined by Section 1256.3 of the code as that work in which a claimant last performed compensated services:
(1) Prior to and nearest the date of filing a valid new, reopened, or additional claim for unemployment compensation benefits, a valid primary, reopened, or additional claim for extended duration benefits, or a valid application, or reopened or additional claim for federal-state extended benefits.
(2) During the calendar week for which a continued claim is filed.
(b) Work--Inclusions. For the purposes of Section 1256 of the code, “work” means service, including full-time, casual, part-time, permanent, or temporary service, performed for wages or remuneration, including call-in, show-up, or standby pay and in-kind compensation, including, but not limited to, service by:
(1) An employee as defined in Section 621 of the code.
(2) An employee under the usual common law or admiralty rules regardless of whether the services are in “employment” under the code.
(3) A self-employed individual who has elected coverage under Section 708 of the code.
(4) An individual in military service or federal civilian service.
(5) An individual who is a participant in an on-the-job training, work experience, or public service employment program under the Job Training Partnership Act of 1982, as amended, or as a participant in public service employment under the Public Works Employment Act of 1976.
(6) An individual in antipoverty programs based on wages for work such as the work study programs and the Neighborhood Youth Corps.
(c) Work--Exclusions. For the purposes of Section 1256 of the code, “work” does not include:
(1) Uncompensated service, such as service performed during unpaid training periods provided by employers to applicants for employment who are hired only after successful completion of the training.
(2) Service performed as a self-employer or independent contractor, except as provided by subdivision (b) of this section.
(3) Institutional training under the Job Training Partnership Act of 1982, as amended.
(4) Service performed in training programs designed to prepare persons for future employment, such as the Job Corps.
(5) Service performed in jury or witness duty.
(d) Filing Claims. As used in this section, “filing” generally refers to the day a claimant mails a continued claim, or other claim, or reports in person to a department field or branch office in order to commence the process of claiming benefits, except where the claimant fails to report for a later scheduled completion appointment (see Sections 1326-1 through 1326-11 of these regulations for details of filing procedures).
(1) Valid Claim. An unemployed individual files a new claim which is a “valid claim” if monetary eligibility for unemployment compensation benefits has been established on the basis of wages earned or paid in the applicable base period to meet the requirements of Section 1281 of the code (see Section 1326-2 of these regulations). If the claim is invalid no benefits could be payable and there is no issue. Reemployment immediately after filing a valid new claim is not the most recent work since most recent work does not include employment which occurs subsequent to the filing date of the new claim. However, such reemployment would be the most recent work if a separation occurred during a week for which a continued claim was filed. If a claimant holds two or more jobs simultaneously, the most recent work is with the employer for whom the claimant performed any compensated services prior to and nearest to the actual filing date of the claim. Any issue as to separation from most recent work that potentially falls within the definitions of Section 1256 of the code must be resolved before benefits are paid. The same rules apply to a valid primary claim under Section 3652 of the code, or a valid application under Section 4652 of the code, or reopened or additional claims.
EXAMPLE 1. On Friday the claimant quit work for Employer A. On the following Monday the claimant worked for Employer B and was discharged on that day. On the following Tuesday he filed a claim for unemployment benefits.
Although the filing day is Tuesday, the effective date of the claim is the preceding Sunday (see Section 1253-2 of these regulations). The “most recent” work is for Employer B on Monday, the last work performed prior to the filing date, even though performed after the effective date and even though the work for Employer A was the last work prior to Sunday. Whether the claimant is eligible will depend upon his discharge by Employer B, not his leaving of work for Employer A.
EXAMPLE 2. The claimant quit work for Employer C on Thursday and filed a claim for unemployment benefits on the following Friday. The claimant worked for Employer D on the following Saturday
The claim is effective on the preceding Sunday (see Section 1253-2 of these regulations). The most recent work is the work for Employer C prior to the filing date, not the work for Employer D on Saturday.
EXAMPLE 3. The claimant held two jobs simultaneously. Although the claimant was on leave of absence from Employer E, he worked part time for Employer F. The claimant was separated by Employer F, and thereafter by Employer E without performing further service for Employer E. The claimant filed a claim for unemployment benefits.
The most recent work is for Employer F, since the claimant neither performed services nor received wages from Employer E.
(2) Other Claims. An unemployed claimant may file one or more of several claims subsequent to the valid claim. These claims and the effect on “most recent work” are as follows:
(A) Continued Claim. If a claimant can certify for benefits following a week or two of unemployment, a continued claim or partial claim is filed. (See Sections 1326-6 and 1326-8 of these regulations.)Here, the most recent work is the last employment the claimant had during the calendar week for which the continued claim is filed. Each week is separately considered. For example, an unemployed claimant may mail a continued claim on Monday, and if the claimant worked only in the first of the two weeks for which he or she is claiming benefits, then the last day of this employment in the first week is the most recent work for that week and remains the most recent work for the second week.
EXAMPLE 4. The claimant mailed a continued claim on Sunday, April 12, for the two weeks ending Saturday, April 4, and Saturday, April 11. During the second week he earned $15 on Tuesday, April 7, for Employer G and is laid off for lack of work. He also earned $15 from Employer H on Thursday, April 9, and quit. He had no other work during that week.
The most recent work for the second week is for Employer H on Thursday, April 9, the last compensated day in the second week for which the continued claim is filed. It would still be the most recent work for that week, even if the claimant had worked Monday, April 13, and mailed a continued claim on Tuesday, April 14, for the week ending Saturday, April 11.
(B) Additional Claim. If a claimant has a break in the claims series because he or she has performed services in employment since the last claim, an additional claim is filed (see Section 1326-4 of these regulations). Most recent work is determined in the same manner as for a new claim.
(C) Reopened Claim. If the conditions specified in Section 1326-5 of these regulations are satisfied, a reopened claim is filed. Most recent work is determined in the same manner as for a new claim.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1256 and 1256.3, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Change without regulatory effect amending subsections (b)(5), (c)(3), and (d)(1) Example 2, and repealing of subsections (b)(7) and (c)(6) filed 3-30-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 14).
§1256-3. Voluntary Leaving--Good Cause--General Principles.
Note     •     History

(a) Scope. This section relates to general principles of good cause for the voluntary leaving of most recent work, the employee's duty to take affirmative steps to preserve the employment relationship before leaving work, and the manner in which this duty may be negated. For examples of specific circumstances which may constitute good cause for leaving work, see Sections 1256-4 to 1256-23 of these regulations.
(b) Good Cause for Leaving Work. “Good cause” exists for leaving work, when a substantial motivating factor in causing the claimant to leave work, at the time of leaving, whether or not work connected, is real, substantial, and compelling and would cause a reasonable person genuinely desirous of retaining employment to leave work under the same circumstances. Generally good cause for leaving work is decided on the facts at the time the claimant left work. Unless there is a timely connection between any alleged reason for leaving and the actual leaving, the employee has waived what might otherwise justify termination of the employment relationship and has negated the required causal connection between any given alleged reason for leaving and leaving. The claimant may submit several reasons for leaving work, some of which, when considered individually, do not constitute good cause. However, if one reason which is good cause is a substantial motivating factor in causing the claimant to leave work, the claimant's leaving is with good cause.
(c) Duty to Preserve the Employment Relationship. Prior to leaving work, the claimant has a duty to attempt to preserve the employment relationship. Failure to do so negates what would otherwise constitute good cause. This duty may be satisfied by reasonable steps, including, but not limited to, any of the following:
(1) Seeking an adjustment of the problem by allowing the employer an opportunity to remedy the situation if the employer can reasonably do so.
(2) Seeking a leave of absence or transfer to other employment with the same employer if likely to remedy the problem and if the claimant knew or should have known that a leave or a transfer probably would have been granted had one been requested.
(3) Taking steps within his or her own control, such as hiring a sitter for child care to solve a child care problem, or joining a car pool or repairing an automobile or purchasing a replacement vehicle to solve a transportation problem.
COMMENTS. Section 1256.1 of the code relates to terminations of employment which result from absences from work due to incarceration. In such cases, Section 1256.1-1 of these regulations should be consulted in order to establish whether the individual has left work voluntarily without good cause.
Pursuant to Section 1256.2 of the code, an individual who terminates employment due to intentional deprivation of equal employment opportunities, unless deprivation is based on a bona fide occupational classification or certain security regulations, is deemed to have left work voluntarily with good cause and is not under a duty to take affirmative steps to preserve the employment relationship prior to leaving work. However, if the deprivation is unintentional, the individual is not exempt from the duty to allow the employer an opportunity to correct the situation prior to leaving work (see Section 1256.2-1 of these regulations for interpretation).
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-4. Voluntary Leaving--Good Cause--Apprenticeship Training.
Note     •     History

(a) Scope. This section relates to whether good cause exists for leaving most recent work when the individual leaves work to participate in an apprenticeship training program. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) An individual who leaves work to enter an apprenticeship program, including any apprenticeship program under the Job Training and Partnership Act of 1982, as amended, does so with good cause if the following conditions exist:
(1) The apprenticeship program is fostered by the State of California.
(2) The new work is potentially as permanent as and potentially substantially better than the former work.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Change without regulatory effect amending subsection (b) filed 3-30-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 14).
§1256.4-1. Purge of Disqualification for Irresistible Compulsion to Use or Inability to Abstain from Using Intoxicants.
Note     •     History

(a) An individual who has been disqualified for unemployment benefits because of a discharge from work or a leaving of employment resulting from an irresistible compulsion to use or consume intoxicants may purge the disqualification under Section 1256.4 of the code by participation in a treatment program which satisfies the conditions of subdivision (b) and by submitting to the department a written certification from a physician or authorized treatment program administrator that the individual is in or has completed the treatment program and is able to work.
(b) Participation in a treatment program, public or private, will permit the purging of a disqualification if the treatment program meets one of the following conditions:
(1) The treatment program is officially licensed or certified by the State Department of Alcohol and Drug Programs (ADP) or the State Department of Health Services (DHS) or is licensed by or satisfies a program review by the state in which the program is located.
(2) The treatment program is an established self-help program as determined by the department as having a recognized record in the community for success in treating individuals addicted to alcohol or drugs. This includes programs such as Alcoholics Anonymous (AA) and Narcotics Anonymous (NA), even though they do not meet the minimum standards for ADP licensure or certification.
(c) The written certification shall contain a statement that the individual has entered into and is continuing in, or has completed a treatment program for his or her condition, and is able to work. The statement shall be completed by one of the following:
(1) A physician
(2) An authorized treatment program administrator from a program which satisfies either subdivision (b)(1) or (b)(2). If there is no authorized treatment program administrator to certify to an individual's participation in an established self-help program and his or her ability to work, the individual shall provide to the department a physician's statement certifying that the individual has entered into and is continuing in, or has completed the program for his or her condition, and is able to work.
(d) Upon receipt by the department of the written certification, the department shall determine whether the written certification and the treatment program in which the individual is participating or has participated meets the requirements of this regulation. If the department determines that the requirements of this regulation are met, the department shall purge the disqualification.
NOTE

Authority cited: Section 305 and 306, Unemployment Insurance Code. Reference: Section 1256.4, Unemployment Insurance Code.
HISTORY

1. Change without regulatory effect renumbering former section 1256.5-1 to new section 1256.4-1 and amending section and Note filed 8-31-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 35).
§1256-5. Voluntary Leaving--Good Cause--Attendance at a School or a Training Course.
Note     •     History

(a) Scope. This section relates to whether good cause exists to leave most recent work when the individual leaves work to enroll in or attend a school or a training course. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) General Rule. Voluntarily leaving the most recent work to enroll in or attend a school or a training course is not a compelling reason to constitute good cause within the meaning of Section 1256 of the code, except as provided in subdivision (c) of this section.
(c) Good Cause to Leave to Attend School or Training Course. An individual who voluntarily leaves the most recent work to attend a school or training course leaves with good cause if, at the time of leaving, any of the following conditions exists:
(1) The employer has requested that the individual participate in a school or a training course.
(2) Prior to obtaining the most recent work, the individual had been enrolled in a retraining or training course, including institutional training under Job Training and Partnership Act of 1982, as amended, conducted in California and scheduled on a full-time basis under the requirements of the particular institution, approved by the director under Section 1267 of the code, continuing the work would require termination of the retraining or training course, and the employer does not or cannot adjust the individual's hours of work to allow continuation of the work and the retraining or training course.
(3) The individual was legally required to attend school due to compulsory attendance requirements based on age and could not arrange to continue working for the same employer while attending school.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of NOTE filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Change without regulatory effect amending subsection (c)(2) filed 3-30-92  pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 14).
§1256.5-1. Purge of Disqualification for Irresistible Compulsion to Use or Inability to Abstain from Using Intoxicants.
Note     •     History

NOTE

Authority cited: Section 305 and 306, Unemployment Insurance Code. Reference: Section 1256.5, Unemployment Insurance Code.
HISTORY

1. New section filed 10-22-92; operative 11-23-92 (Register 92, No. 43).
2. Change without regulatory effect renumbering former section 1256.5-1 to new section 1256.4-1 filed 8-31-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 35).
§1256-6. Voluntary Leaving--Good Cause--Conscientious Objection.
Note     •     History

(a) Scope. This section relates to whether good cause exists to leave most recent work when an individual leaves work due to conscientious objection to the work conditions or work assigned. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) Religious, Ethical, or Philosophical Beliefs. If an individual has, or after working for a time newly acquires, a conscientious objection to the work conditions or assigned work based on religious beliefs founded on the tenets or beliefs of a church, sect, denomination, or other religious group, or on ethical or philosophical grounds, an individual's voluntary leaving of the most recent work based on religious beliefs or other grounds is with good cause if all of the following conditions are met:
(1) If religious beliefs are involved, the tenets or beliefs of the religious group expressly forbid the adherent from engaging in the assigned work or meeting the work conditions.
(2) The conscientious objection is bona fide and not a sham or a means of avoiding work.
(3) The individual has, whenever feasible, sought other means, such as transfer to other work to resolve the conscientious objection before voluntarily leaving the work.
(4) The work or work conditions have a direct, rather than an indirect or incidental, relationship to the individual's religious, ethical, or philosophical beliefs.
(5) The individual was not aware of the objectionable aspects of the work at the time he or she was hired, or the conscientious objection arose later when the individual first acquired the belief on which the conscientious objection is based.
EXAMPLE 1. A objects to liquor based on religious beliefs. A works in a restaurant which serves no intoxicating beverages. The religious beliefs expressly forbid adherents from engaging in work on any premises where liquor is sold. The restaurant applies for and obtains an on-sale liquor license. The restaurant is part of a chain of several restaurants in the area. Other outlets do not serve intoxicating beverages. A requests that the employer transfer A to another restaurant in the chain in which A could work without violating religious beliefs. The employer refuses the transfer, even though the employer has no valid business reason to refuse A's request. A leaves the work due to adherence to the objections to liquor based on religious beliefs.
A's leaving is with good cause based on religious beliefs.
EXAMPLE 2. On ethical grounds, B is opposed to war and objects to work which directly relates to military activities. B works for an employer not engaged in any war-related activity. The employer decides to start producing bombs and assigns B to this project. B leaves the work due to ethical objections to the project. 
B's leaving is with good cause based on ethical conscientious objections.
EXAMPLE 3. C accepts work with full knowledge that Saturday work is required contrary to C's religious beliefs. After working on Saturdays, for some weeks, C leaves the work due to eventual refusal of the Saturday work.
C's leaving is without good cause because C was aware of the Saturday work requirement when C was hired.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-7. Voluntary Leaving--Good Cause--Disciplinary Action by Employer.
Note     •     History

(a) Scope. This section relates to whether good cause exists for leaving most recent work when an individual leaves work due to disciplinary action by the employer. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) Reasonable Employer Rule. The employer has protectable interests and the right to take reasonable corrective disciplinary action against employee infractions of employer-promulgated reasonable rules, or reasonable employer expectations which relate to standards of behavior, performance, and care which are:
(1) Work-connected or related to the employee's duties and obligations to the employer's interests, which include economic interests, day-to-day business operations, business good will and reputation.
(2) Reasonable when measured against local customs or practices in similar businesses or industries.
(c) Disciplinary Action by Employer. Employer discipline commonly takes the form of reprimand, criticism, changes in working hours, reduction in wages, reassignment or transfer, restitution for employee-caused losses due to culpable negligence or willful dishonesty, or threats of firing.
(d) Unreasonable Employer Disciplinary Action as Good Cause for Leaving Work. If the employee leaves the work in response to corrective disciplinary action by the employer, the leaving is with good cause if the employee prior to leaving did everything that could be reasonably expected of a person genuinely desirous of preserving the employment relationship, and the employer's disciplinary action is unreasonable because any of the following conditions exists:
(1) The employer disciplined the employee for an act or conduct that was not work-connected or detrimental to the employer's interests.
(2) The employer disciplined the employee for violating an employer rule of which the employee had no actual or constructive knowledge.
(3) The substance of the disciplinary action or the manner in which it was administered was excessive or unreasonable under the circumstances.
(4) The employer's disciplinary action violated the employee's constitutional guarantees.
(5) The employer disciplined the employee for failure to comply with requirements which imposed new or unreasonable burdens on the employee or which would require a violation of law.
(6) The employer's disciplinary action imposed an undue risk of injury or illness upon the employee (see Section 1256-15 of these regulations).
(7) The employer engaged in a pattern of hostility or abuse towards the employee.
(8) The employer demanded restitution for shortages, breakages, or loss of equipment which was either of minor consequence or the result of an isolated incident of mere inefficiency, inability or incapacity, inadvertence or error, or ordinary negligence, and not due to the gross negligence or willful act of the claimant, or the amount of restitution required to be paid at any one time is unreasonable in view of the claimant's financial circumstances.
(9) The employer's disciplinary action did not timely follow the employee's act or omission. Failure to act promptly may condone or excuse the offense.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (d)(1) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256-8. Voluntary Leaving--Good Cause--Transportation to Work.
Note     •     History

(a) Scope. This section relates to whether good cause exists for leaving most recent work when an individual leaves work due to distance or other problems of transportation to work. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) General. An individual who leaves work due to distance or other problems of transportation to work does so with good cause if a reasonable person genuinely desirous of retaining employment and similarly situated would have been compelled to leave work after having sought without success all reasonable alternatives by which to provide transportation to work. Transportation to work is the personal responsibility of the employee unless special circumstances or local custom reasonably require the employer to furnish transportation.
(c) Leaving Work--Good Cause. An individual leaves work with good cause if all of the following conditions exist:
(1) The problem of transportation to work which causes the leaving of work is the result of a substantial change such as a change in the customary means of transportation, a change of circumstances beyond the claimant's control such as a health problem or a change in work shifts or work hours by the employer, a change in the employer's place of business, or a change of the claimant's place of residence for compelling reasons.
(2) Neither private nor public transportation is reasonably available or feasible when all pertinent factors are considered such as the ease or difficulty of access to transportation facilities, distance to work, travel time, cost of transportation in relation to earnings, the individual's age and physical condition, risks to the individual's safety which may be incurred by the use of available transportation, and local customs and practices.
(3) Prior to leaving work, the individual explored without success reasonable alternatives to solve a transportation problem such as a carpool, a transfer to a different shift or a more convenient location with the same employer, or a temporary leave of absence from employment pending the availability of suitable transportation, or other reasonable alternatives which would not cause undue hardship to the individual.
COMMENTS. Transportation problems vary from case to case. Precise guidelines are impractical. Each situation is decided on its own particular facts according to the objective test of whether a reasonable person genuinely desirous of retaining employment would be compelled to leave work under the same circumstances. Nevertheless, certain considerations cut across all cases. For example, distance to work is not alone a controlling factor but is examined in relation to the required travel time, the cost of travel in relation to the claimant's earnings, local commuting practices, and other factors. A claimant who changes residence to a location from which commuting to work is still reasonable does not have good cause for leaving work due to transportation shifts even if the change in residence is for compelling reasons. If commuting from the claimant's new residence is unreasonable, good cause for leaving work turns upon whether the claimant's reasons for moving are compelling. A claimant who changes residence for noncompelling reasons leaves work without good cause even if commuting from the new residence is unreasonable.
EXAMPLE 1. Claimant A left work in one California community to preserve A's marriage and to go with the family to a nearby California community. There was no public transportation between the two communities, and no carpool arrangement to the former work was available. No transfer was possible. The pay in the former job was 85 cents an hour. The daily cost of commuting from the new community would have been about $2.
A's leaving is with good cause because the cost of commuting by private car was excessive in relation to the earnings, there was no reasonable alternative available, and the preservation of the marriage is a compelling reason for leaving.
EXAMPLE 2. B commuted for about 3/4 of an hour from California Community X to work in a plant in Community W. B left the work in Community W when B moved with the family to Community Y from which the travel time to commute to Community W was about 1 hour. The increase in the cost of commuting was nominal. Public transportation was reasonably available. Employees of the employer in Community W had ongoing carpool programs. B decided not to use the family car to commute to Community W, made no effort to locate public transportation, and did not explore carpool arrangements.
B's leaving is without good cause, since the increased cost and time of commuting was not substantial, and B did not make any effort to use available solutions of public transportation or carpool arrangements.
EXAMPLE 3. C left her work because she had to walk a considerable distance in the city to take her employer's bus to work, and repeat that long walk alone at 2 a.m. upon returning from work. There was a threat to her personal safety during the night-time walk. The travel time on the bus was over 1 hour. C had no private car, and no public transportation or carpool arrangement was available.
C's leaving is with good cause due to the threat to her safety, in view of the lack of transportation or other reasonable alternative, and the distance and total travel time involved.
EXAMPLE 4. D commuted by private car to work 60 miles each way daily, approximately 2 hours each way. D was 66 years of age. D's work duties included climbing ladders and moving in and out of planes. Although D was in good health, D began to suffer fatigue during the commute to work. On one occasion D dozed off during the commute and D's car struck a barricade. D left work after and due to this incident, although D was not injured. No transfer, carpool, or other alternative was available
D's leaving is with good cause, due to advanced age related to the substantial hazard in commuting to and from work, and the excessive distance and travel time in commuting.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-9. Voluntary Leaving--Good Cause--Domestic Circumstances, Generally.
Note     •     History

(a) This section relates to whether good cause exists for leaving most recent work due to domestic circumstances. This section deals with general principles. Sections 1256-10, 1256-11, and 1256-12 of these regulations deal with particular factual situations involving domestic circumstances. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) A claimant voluntarily leaves work with good cause based on domestic circumstances if the claimant's obligation is of a real, substantial, and compelling nature such as would cause a reasonable person genuinely desirous of retaining employment to take similar action, and the claimant's reason for leaving work is due to a legal or moral obligation relating to any of the following:
(1) The health, care, or welfare of the claimant's family.
(2) The exercise of parental control over the claimant who is an unemancipated minor.
(3) The existing or prospective marital status of the claimant.
(c) For purposes of this section and Sections 1256-10 to 1256-12, inclusive, of these regulations, “family,” means the spouse or registered domestic partner of the claimant, or any parent, child, brother, sister, grandparent, grandchild, son-in-law, or daughter-in-law, of the claimant or of the claimant's spouse or registered domestic partner, including step, foster, and adoptive relationships, or any guardian or person with whom the claimant has assumed reciprocal rights, duties, and liabilities of a parent-child, or a grandparent-grandchild relationship, whether or not the same live in a common household. Registered Domestic Partners as defined in Family Code Section 297 are considered “family” for the purposes of unemployment insurance.
COMMENTS. This section states general principles establishing “good cause” for voluntarily leaving work due to domestic reasons. It requires: (1) the existence of an obligation due to domestic circumstances; and (2) a “compelling reason” for leaving work.
Several major categories are domestic circumstances, such as care of a family member who is ill or disabled, joining a spouse or registered domestic partner in another locality, leaving work to be married, and household duties. These are dealt with more specifically in Sections 1256-10 to 1256-12, inclusive, of these regulations. Such situations, however, usually are one of the following types: (1) the health, care, or welfare of the family; (2) the parent-child relationship; or (3) the marital or registered domestic partner status of the claimant. If a claimant's particular factual circumstance falls within any of these three major categories, causing the claimant to leave work out of a sense of duty to respond to the particular situation, a domestic circumstances issue is raised. The claimant has left work with good cause, if other conditions are met.
However, while the claimant's particular domestic circumstance is the basis for voluntarily leaving his or her job, the claimant must also demonstrate that his or her decision to leave work was reasonable in view of all the facts. Important considerations are that an obligation exists, that it is substantial, that the claimant took the necessary steps to preserve his or her employment, and that no reasonable alternative exists for meeting that obligation. The only exception to the requirement that no reasonable alternative exists for meeting the obligation is found in Section 1256-10.
“Family” includes any person with whom the claimant has had substantially the same relationship of parent-child or grandparent-grandchild. For example, the claimant may have been raised by an aunt or uncle rather than his or her actual parents. Yet, the relationship that develops as a result of such circumstances is equivalent to that of a parent-child relationship. As such, the claimant may feel just as obligated to his or her aunt or uncle where the facts raise a domestic circumstances issue. Thus, if the claimant in such a relationship leaves work to care for an aunt or uncle as a family member who is seriously ill, the claimant has left work for “good cause” due to domestic circumstances, if other conditions are met.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (c) and second paragraph of Comments filed 11-5-2002 as an emergency; operative 11-5-2002 (Register 2002, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-5-2002 order transmitted to OAL 2-25-2003 and filed 4-8-2003 (Register 2003, No. 15).
4. Amendment of third and fourth paragraphs of subsection (c) filed 5-12-2011; operative 6-11-2011 (Register 2011, No. 19).
§1256-10. Voluntary Leaving--Good Cause--Domestic Circumstances Involving the Health, Care, or Welfare of Family.
Note     •     History

(a) Scope. This section relates to whether good cause exists for leaving the most recent work if the claimant leaves work due to the health, care, or welfare of the claimant's family. Sections 1256-1, 1256-2, 1256-3, and 1256-9 of these regulations set forth general principles also applicable under this section.
(b) Good Cause. A claimant leaves the most recent work with good cause if the claimant left work due to circumstances relating to the health, care, or welfare of the claimant's family of such a compelling nature as to require the claimant's presence, and the claimant has taken reasonable steps to preserve the employment relationship.
(c) Compelling circumstances requiring the claimant's leaving of work and presence as described in subdivision (b) include, but are not limited to, the following:
(1) The claimant knows or reasonably believes that a member of the claimant's family is seriously ill or disabled, physically or mentally, or a family member is in danger of death.
(2) The claimant knows or reasonably believes that a member of the claimant's family is seriously ill or disabled so as to require the claimant to make a change of residence for that person's care or welfare and making it impossible or impractical for the claimant to commute to work (see Section 1256-8 of these regulations for discussion of commuting problems).
(3) A member of the claimant's family has died and the claimant wishes to attend the funeral or is required to make the final arrangements or otherwise attend to the final affairs of the decedent.
(4) A member of the claimant's family is elderly and unable to care for himself or herself.
(5) The claimant's minor child requires care and supervision and there is no reasonable alternative.
(6) There is a need to preserve family unity.
EXAMPLE 1. A's spouse is an asthmatic. The spouse suddenly becomes ill with a lung infection. The asthma reaches a critical stage. A leaves work to care for the spouse.
A's leaving is with good cause to care for the seriously ill spouse.
COMMENTS. Generally, the claimant's presence must be necessary in order to care for the ill or disabled family member. The claimant may need to personally provide nursing care for the ill or disabled person, or the claimant's presence may be necessary in order to care for minor children belonging to the ill or disabled family member. For example, the claimant's mother may be critically ill, and the claimant's presence is necessary to care for his or her younger brothers and sisters, and/or the normal household duties, such as cooking and cleaning, require the claimant's attention.
If the illness of the family member is such as to make death seem likely to occur, the claimant's presence need not be necessary for purposes of providing care. Rather, good cause exists if the claimant at the time of leaving his or her job knew or reasonably believed that there existed a substantial likelihood that a member of his or her family was in danger of death and that the claimant's presence would provide emotional support and comfort. Under such circumstances, the claimant's presence is necessary and the leaving of work is with good cause.
EXAMPLE 2. B's mother becomes seriously ill with arthritis. A change to a warmer climate is prescribed by the doctor. B is primarily responsible for the mother's care. The change to a warmer climate makes commuting to work impossible or impractical for B. B leaves work.
B's leaving is for good cause to care for B's ill mother who must be relocated.
COMMENTS. In assessing impracticality of commuting under paragraph (2) of subdivision (c), such factors as time, distance, and expense are significant (see Section 1256-8 of these regulations).
An unreasonable delay by the claimant in changing his or her residence after voluntarily leaving work may negate good cause. If an obligation is so compelling as to require the claimant's presence, it is reasonable that the claimant should attend to that obligation as soon as possible. Thus, if the claimant delays unreasonably in changing his or her residence, the inference is that the circumstances were not compelling.
Paragraph (5) of subdivision (c) is concerned with a claimant's eligibility where the claimant has left work because of child care problems.
If the claimant has primary responsibility for the care and management of minor children and no other reasonable alternatives are available for satisfying that obligation, such as securing services of a baby-sitter or day nursery, changing work hours or location, or taking a temporary leave of absence, the claimant's voluntary leaving of work is with good cause, as his or her presence, under such circumstances, is necessary.
A claimant's choice of alternatives may vary depending on the particular facts. A child day-care center may, in many cases, resolve the problem. If exceptional circumstances exist, such as the claimant's child is seriously ill or disabled, the claimant may be acting reasonably in personally caring for the child as described in this Section.
The cost of providing child care services is a factor to consider if a claimant must expend an exceptional amount of money with no increase in wages to compensate for the considerable extra expenses. For example, where the claimant's work schedule is changed so as to require child care at odd hours and additional expense, as well as other accommodations at a substantial cost, such as additional commuting costs, the claimant has voluntarily left work for good cause.
Under paragraph (6) of subdivision (c), a claimant voluntarily leaves work with good cause if there is a need to preserve the family unit. The danger of disintegration of the family unit must be substantial so as to compel the claimant to voluntarily leave his or her work. For example, if the claimant's spouse indicates that the spouse intends to take their children and leave the locality where the claimant is working, thus forcing the claimant to make a choice between the job and the family, the claimant is justified in leaving work to join the spouse and family. The fact that a claimant's spouse's reason for forcing the claimant to make a choice may seem unreasonable is not controlling. Rather, the controlling factor is the actual jeopardy to the continued existence of the claimant's family unit. On the other hand, where the nature of the claimant's job is such that a minor inconvenience to the claimant's family life style is created, but there is no danger that the family unit will be substantially disrupted, the claimant does not have good cause for leaving work. The claimant must act as a reasonable person would in deciding to voluntarily leave his or her work.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsections (c)(1), (c)(2) and (c)(4) and fourth, sixth and twelfth paragraphs of subsection (c)(6) filed 5-12-2011; operative 6-11-2011 (Register 2011, No. 19).
§1256-11. Voluntary Leaving--Good Cause--Domestic Circumstances--Minor.
Note     •     History

(a) A claimant leaves the most recent work with good cause if, as an unemancipated minor, he or she is compelled by his or her parent to accompany the parent to another locality, making it impossible or impractical for the claimant to continue commuting to his or her place of employment. Sections 1256-1, 1256-2, 1256-3, 1256-8, and 1256-9 of these regulations set forth general principles also applicable under this section, including the definition of “family” and related interpretation of “parent” under Section 1256-9 of these regulations.
(b) A minor is unemancipated if the minor's parents have not expressly or impliedly relinquished their right to control the minor's place of residence. The minor-claimant is compelled to follow his or her parent's orders, including the right of a parent to determine his or her child's place of residence. On the other hand, if a minor is emancipated, the minor-claimant does not have good cause for voluntarily leaving work since he or she is not legally compelled to follow his or her parent's orders. However, “emancipation” of a child by his or her parents can be conditional or absolute, or complete or partial. For example, the minor-claimant may have to fulfill certain conditions, such as obtain a minimum wage-earning job in order to be self-sustaining, before the parents will relinquish complete control over the minor. Or, the minor-claimant may have only some activities typical of adulthood, such as entering and leaving the parental home at will, keeping or spending his or her earnings at will, or managing his or her affairs for the most part, but still be reliant, generally, or his or her parent for overall care and supervision. Thus, where the minor-claimant is only partially or conditionally emancipated, the important issue is whether that minor's parents have relinquished complete control over his or her place of residence. If so, then the minor-claimant who voluntarily leaves work does so without good cause.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-12. Voluntary Leaving--Good Cause--Domestic Circumstances Involving Marriage.
Note     •     History

(a) Scope. This section relates to whether good cause exists for leaving the most recent work when an individual leaves work due to compelling obligations relating to his or her prospective or existing marital status. Sections 1256-1, 1256-2, 1256-3, and 1256-9 of these regulations set forth general principles also applicable under this section.
(b) Good Cause. A claimant leaves the most recent work with good cause if the claimant has taken reasonable steps to preserve the employment relationship and the claimant left work due to circumstances relating to the claimant's prospective or existing marital status of such a compelling nature as to require the claimant's presence, including any of the following:
(1) The claimant's prospective marriage is imminent and involves a relocation to another area because the claimant's future spouse has established or intends to establish his or her home there, and it is impossible or impractical for the claimant to commute to work from the other area.
(2) The claimant is required to leave his or her work to accompany his or her spouse to, or join his or her spouse at, another location because it is impossible or impractical for the claimant to commute to his or her work from the new location, due to any of the following:
(A) The desire of the claimant and his or her spouse to accomplish a marital reconciliation.
(B) The claimant's spouse is seriously ill and a change of residence is necessary for his or her care or welfare (see Section 1256-10 of these regulations).
(C) The need to preserve family unity (see Section 1256-10 of these regulations).
COMMENTS. This section considers compelling circumstances relating to a claimant's prospective or existing marital status where difficulties of commuting exist because the claimant's spouse or prospective spouse is located in an area substantially removed from the locality where the claimant was employed. Subdivision (b) refers to various situations in which good cause for leaving work exists. The section reflects this state's policy in favor of the establishment and maintenance of the marital relationship. However, leaving work solely to go on a honeymoon is a leaving without good cause.
Regarding the requirement of imminent marriage, there may be additional considerations depending on the facts. If a claimant stops working substantially prior to the marriage, good cause will depend on the nature and extent of the advance preparations such as packing, moving, and transportation necessary, and whether such preparations could have been made without the claimant's leaving work. If the marriage is delayed, good cause is not negated if at the time the claimant stopped working a marriage was imminent, the claimant could not have foreseen a delay, and the delay was beyond the control of the claimant.
Under the second provision of subdivision (b)(1), relocation must be necessary because the claimant's future spouse either could not or would not forego his or her established or intended place of residence. The future spouse's position on residential location is not material since the issue is what reasonable alternatives were available to the claimant. In assessing the impossibility or impracticality of the commute due to relocation, Section 1256-8 of these regulations is applicable.
Subdivision (b)(2) of this section concerns itself with problems of commuting relating to the claimant's existing marital status. The first provision is that a person who leaves his or her work to accomplish a marital reconciliation leaves with good cause. The reason is the state's policy to encourage parties to a marriage to live together and to prevent separation. As a matter of good faith, the claimant and the spouse must intend to reunite and conduct their affairs in such a manner as to reflect that intent. Further, the fact that the claimant and his or her spouse are legally separated or within the interlocutory stage of dissolution proceedings is immaterial since neither situation is a final severance of the marital relationship. Hence, reconciliation is still a possible alternative.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-13. Voluntary Leaving--Good Cause--Equipment.
Note     •     History

(a) Scope. This section relates to whether good cause exists for leaving the most recent work when an individual's leaving of work is due to the lack of equipment necessary to do the work, or the improper, inadequate, or defective nature of such equipment, or the employer's requirements that the employee furnish certain equipment. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) Lack of Equipment. An employee who leaves the most recent work due to the lack of equipment necessary to do the work has voluntarily left with good cause if the following conditions are met:
(1) It is the employer's duty to furnish the equipment.
(2) He or she complained to the employer of the lack of necessary equipment and the employer took no steps to remedy the situation.
(c) Improper, Inadequate, or Defective Equipment. An employee who leaves the most recent work because the employer has furnished improper, inadequate, or defective equipment which causes an undue risk of injury or illness to the employee, or because the employee is subjected to reprimands for improper work due to such equipment, or because the employee's piece-rate remuneration is reduced due to reduced production caused by such equipment, voluntarily leaves with good cause if the employee prior to leaving took reasonable steps to complain to the employer concerning the equipment and the employer took no steps to remedy the situation. As used in this section, “undue risk of injury or illness” means a reasonably foreseeable and substantial probability of incurring any injury or illness which would require hospitalization or the services of a physician for proper medical care, or would cause any degree of permanent disability, and which meets any one of the following conditions:
(1) The risk on the particular job is more hazardous than normal for the occupation or industry.
(2) The risk is more hazardous for the claimant than for other employees in like work due to circumstances peculiar to the claimant.
(3) The claimant establishes that he or she has a reasonable basis to believe that the working conditions would cause a reasonably foreseeable and substantial probability of incurring an injury or illness which would require hospitalization or the services of a physician for proper medical care, or would cause a degree of permanent disability, even though the risk is normal for the occupation or industry, excluding conditions inherent in the nature of the work which the claimant must accept.
EXAMPLE 1. A truck driver had complained repeatedly to the employer that the assigned truck was defective. The employer did not remedy the defects. The truck's emergency brake was disconnected, the foot brake was inadequate, and the battery was so low that the motor would start only by hand cranking. While the employee was cranking the motor, the truck slipped over the rear wheel block and crashed into a nearby building. The employee returned the truck to the employer's terminal, waited two hours for supervision without success, and left the work.
The employee's leaving was with good cause due to dangerously defective equipment which the employer chose to ignore despite the employee's complaints.
COMMENTS. Under this subdivision, mere inconvenience or extra work due to inadequate equipment is not a justification for leaving. For example, a typist leaves without good cause if the leaving of work is due to preference for an electric rather than a manual typewriter. Similarly, a messenger leaves without good cause if the leaving is because a bicycle rather than a motor scooter is furnished to do the work.
(d) Employee Required to Furnish Equipment. An employer's requirement that the employee furnish tools or equipment is reasonable if this is customary in the occupation or industry or is required pursuant to a collective bargaining agreement with a union. If an employer reasonably requires that an employee furnish tools and equipment to do the work, the employee who leaves the work because he or she is unwilling to furnish the tools or equipment has voluntarily left the work without good cause. In many areas the rental of tools or equipment at a reasonable rate from commercial rental facilities is available to an employee as a temporary step to preserve the employment relationship. If an employee is unable for reasons beyond the employee's control to furnish tools or equipment as reasonably required, a leaving of work for these reasons is with good cause under either of the following circumstances:
(1) Prior to leaving, the employee has requested, and the employer has refused, a transfer to other suitable work which is available.
(2) Prior to leaving, the employee has requested the employer who has the necessary tools to furnish these tools on a short-term basis until the requesting employee can obtain his or her own tools and the employer has refused.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-14. Voluntary Leaving--Good Cause--Experience or Training.
Note     •     History

(a) Scope. This section interprets whether an individual leaves most recent work with or without good cause when the leaving is because the work did not utilize the individual's skills or the individual believes that his or her experience or training is insufficient to do the work or the work did not present an opportunity to acquire the experience or training desired in another job or occupation. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) Nonutilization of Skills. An individual who leaves the most recent work because it does not utilize his or her highest work skills has left the work without good cause. However, an individual may be hired to perform work requiring the use of certain skills but instead at the time of first reporting to work is permanently assigned by the employer to other work. If the individual after a brief period of working finds that the skills cannot be utilized in the assigned work, and leaves the work for this reason, the leaving is with good cause.
(c) Insufficient Experience or Training. An individual who leaves the most recent work due to a belief that the individual has insufficient experience or training to do the work does not have a compelling reason for leaving and has left the work without good cause.
(d) Lack of Opportunity for Experience or Training. An individual who leaves the most recent work because it does not offer experience or training in another occupation which the individual desires to enter has left work without good cause. For example, a food server who is studying typing and leaves the work due to a desire to obtain routine office work with some required typing to obtain experience has left work without good cause.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-15. Voluntary Leaving--Good Cause--Health, Safety, or Morals.
Note     •     History

(a) Scope. This section relates to whether good cause exists for leaving the most recent work when an individual's leaving of work is for reasons related to the individual's health, safety, or morals. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section. For discussion of the claimant's duty to request or accept a leave of absence, rather than leave work, see Section 1256-16 of these regulations.
(b) General. A claimant leaves work with good cause if a reasonable person genuinely desirous of remaining employed would have left work due to an undue risk of injury or illness caused by health reasons, physical impairment, impairment of hearing, speech, or vision, pregnancy, or unsanitary conditions, temperature or ventilation problems, adverse weather or climate conditions, or other working conditions, or for a reasonably foreseeable and substantially probable serious risk to his or her morals, and the claimant has taken reasonable steps under the circumstances to preserve the employment relationship such as seeking sick leave where health factors are involved, or other leave, if available, or a transfer to other available work the claimant can perform (see Section 1256-3 of these regulations). However, a claimant who fraudulently fails to disclose or materially misrepresents his or her health or physical condition at the time of hire negates what would otherwise be good cause for that claimant to leave work due to the health or physical condition if the employer could have lawfully refused to hire the claimant had the condition been disclosed.
A high risk of illness or injury is ordinary and inherent in the nature of the work for some occupations such as a miner, sand hog, or firefighter. A worker in such occupations accepts these inherent high risks. However, if working conditions violate the law or are so intolerable as to adversely affect the health of employees, and the employer is aware of and does not correct the conditions, good cause for leaving work exists. For example, the employer may knowingly violate sanitation standards required by law for the occupation or industry or for women or minors, and in such case the claimant affected who leaves due to poor sanitation leaves with good cause.
Generally, an individual must, prior to leaving work due to an objection to working conditions, use any existing grievance procedure to review a complaint or objection in order to have good cause for leaving work (see Section 1256-21 of these regulations). However, if an individual believes based on reasonable grounds that a substantial and immediate threat of serious injury or illness exists due to a working condition, the individual has good cause to refuse to work and if necessary under the particular circumstances leave the premises or work without using any existing grievance procedure prior to leaving, since immediate protective action is necessary. “Serious injury or illness” means a risk of an injury or illness of sufficient gravity to require immediate emergency medical treatment and pose a danger of probable loss or substantial impairment of a member of the body, or any degree of permanent disability, or death.
(c) Undue Risk. As used in this section, “undue risk of injury or illness” means a reasonably foreseeable and substantial probability of incurring any injury or illness which would require hospitalization or the services of a physician for proper medical care, or would cause any degree of permanent disability, and which meets any one of the following conditions:
(1) The risk on the particular job is more hazardous than normal for the occupation or industry.
(2) The risk is more hazardous for the claimant than for other employees in like work due to circumstances peculiar to the claimant.
(3) The claimant establishes that he or she has a reasonable basis to believe that the working conditions would cause a reasonably foreseeable and substantial probability of incurring an injury or illness which would require hospitalization or the services of a physician for proper medical care, or would cause a degree of permanent disability, even though the risk is normal for the occupation or industry, excluding conditions inherent in the nature of the work which the claimant must accept.
(d) Health or Safety.
(1) General. Mere concern with one's health or safety is not sufficient to justify good cause for leaving work. The work must cause an undue risk of injury or illness to the claimant. A claimant who leaves work due to fear of becoming ill or being injured has good cause if the claimant has a reasonable basis to believe that there is an undue risk of injury or illness. A physician's advice or objective factors showing detriment to health or safety such as a prior adverse medical history are a reasonable basis for a claimant's belief. A reasonable basis for a claimant's belief that there is an undue risk of injury or illness can be established due to objective factors such as heavy lifting, constant standing, or chemical fumes, if consideration of the claimant's age, height, strength and physical condition, prior medical history, work experience and the job duties disclose a reasonable basis for the claimant's belief in detriment to his or her health or safety even through a physician's advice is not sought. Minor chronic health conditions that are not aggravated or significantly affected by the work do not justify leaving the work. A desire to rest is not a basis for good cause to leave work, unless a physician's advice is involved. On the other hand, a claimant who leaves work because he or she has a contagious illness leaves with good cause if no sick leave is available.
(2) Drugs. A claimant addicted to alcohol or other drugs has good cause to leave work if he or she has competent professional advice that entry into a treatment facility or program is necessary and cannot be accomplished unless work ceases, or that the work is a factor in the addiction or poses an undue risk of injury or illness related to the addiction. “Competent professional advice” includes a statement from a physician, psychiatrist, counselor, director, or administrator of a drug or alcohol treatment facility or program. Due to the nature of alcohol and drug addiction, good cause to leave work is not negated by an addicted claimant's failure to request a leave of absence or sick leave. The claimant may not be sufficiently rational, or may fear effect on the job or future employment, at the time of leaving, and a leave request could be detrimental to the claimant. A claimant who has previously had leave for these same reasons from the employer, however, has no good cause for not requesting leave.
(3) Pregnancy. If a claimant's leaving work is voluntary due to pregnancy, the leaving is with good cause if pregnancy rendered the claimant unable to continue work. This is usually established by a physician's advice but is also present if a claimant has a history of miscarriages or difficult pregnancies, or if there is a threat to the health or safety of the fetus, or if objective factors exist such as heavy lifting or other strenuous tasks which are required in the work. Some pregnant women are able to do other light work and, if such light work is available, such a claimant must request a transfer to light work or her leaving work due to pregnancy will be without good cause (see also Section 1256-16 of these regulations). A claimant's leaving work due to pregnancy is voluntary if the employer has no requirement that pregnant women leave work at a specific time, or if the claimant requests and is granted leave by the employer, or if the claimant leaves prior to a time set by an employer's policy. If the claimant leaves due to an employer rule requiring pregnant women to leave work, or to accept leave of absence due to pregnancy required by employer rule, the leaving is involuntary and not disqualifying under Section 1256 of the code.
(e) Morals. If a claimant reasonably believes that continued work will cause a reasonably foreseeable and substantially probable serious risk to his or her morals, the claimant's leaving of work for this reason is with good cause. There is a reasonably foreseeable and substantially probable serious risk to morals if the claimant is required to engage in immoral, dishonest, illegal, or unethical acts, or discriminate against minorities, or is subjected to improper advances from co-workers or the employer. Prior to leaving, the claimant must have objected to the employer or taken other reasonable steps to preserve the job. (Under circumstances specified by Section 1256.2 of the code, a claimant need not object prior to leaving where discrimination exists; see Section 1256.2-1 of these regulations.) For example, a salesperson who unsuccessfully objects to the employer's requirement that false and misleading sales pitches be used and thus leaves the work has good cause for leaving. Similarly, a cannery inspector who unsuccessfully objects to the employer's insistence that the inspector approve products known to be below standards set by law and thus leaves the work has good cause for leaving.
EXAMPLE 1. A, a sailor, while on a voyage had a severe cold and pleurisy pains. A informed the purser but was not given medicine or aid. At the next port, A left the ship, purchased medicines, and went to bed for six days. A had a similar prior experience. A had been on several continuous voyages with the ship.
A's leaving was with good cause, since A was ill and though A's failure to see a physician may have been poor judgment, work would have been an undue risk to A's health.
EXAMPLE 2. B worked full time as a bank teller from 8:30 a.m. to 5 p.m. B also worked part time for another employer as an intermediate file clerk 25 hours a week, Monday through Friday, from 5:30 p.m. to 10:30 p.m. B left the part-time job because the long hours of both jobs were too much of a strain.
B's leaving was with good cause since the part-time job was an undue risk to health under the circumstances, and the purpose was to remain fully employed. (This example applies only to employer ruling situations.)
EXAMPLE 3. C had worked many years for a paper box manufacturing company. The employer ordered C and other employees to work in an adjacent building which was unheated with a cement floor, and cold enough to numb feet and hands. C and the other employees refused. The employer then told C and the other employees that the next day all should wear warm clothing because they would be expected to work in the unheated building. Even though C did not have warm clothing on that day, the employer ordered C to immediately work in the building. C refused and left work. Shortly thereafter the employer was ordered by State officials to provide heat in the building in question before assigning workers in the area.
C's leaving was with good cause, since the employer's failure to provide heat and reasonable temperature for work was an undue risk to C's health and intolerable.
EXAMPLE 4. D had a controlled tuberculosis condition, and had previously suffered a perforated ulcer. D complained to the employer of air-conditioning drafts at work, and moved about to try to escape the drafts. The employer took no action. D suffered a cold for two days in each of two weeks, and D's ulcer began to trouble D. D left the work due to the air-conditioning problems, and the next day consulted a physician, who prescribed two weeks' rest.
D's leaving was with good cause, since there was an undue risk to D's health. D sought corrective action unsuccessfully and D's good faith is further established by the prompt consultation of a physician.
EXAMPLE 5. E had a job in Pomona, California, and lived in Montclair. E read books and articles about smog in the area. E's opinion was that E and the family members had suffered occasional eye irritation and possible respiratory irritation, but neither E nor any member of the family had consulted a doctor. E requested a transfer to another area but no transfer was available. E left the work due to the smog and moved to Portland, Oregon.
E's leaving was without good cause, since there was no medical advice of an immediate problem, and E took no steps to secure another job before leaving based on E's own opinions. Smog, in and of itself, is not an undue risk and is not good cause to leave work.
EXAMPLE 6. F had worked for a firm in a large office in which several other co-workers smoked. The employer had not established any separate nonsmoking areas and had placed no restrictions on smoking at work, although several employees did not smoke and had previously requested some limitations or protection from smoking. F developed sensitivity to tobacco smoke for which F had consulted a doctor. F requested that the employer make an adjustment by limiting or restricting smoking in the work area, or to transfer F to other work. The employer declined the request. F suffered nausea, dizziness, and general chronic irritation from the tobacco smoke in the surrounding work area. F left the work for this reason.
F's leaving was with good cause due to the undue risk to F's health caused by tobacco smoke in the work area.
EXAMPLE 7. G was a truck driver. G had repeatedly complained to the employer about defective emergency and foot brakes, but the employer took no action. Finally, in addition to defective brakes, the truck's battery became so low G had to crank the truck which rolled backwards and crashed into a nearby building. G left the work due to the defective truck.
G's leaving was with good cause due to the undue risk as to safety.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 418-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256-16. Voluntary Leaving--Good Cause--Leave of Absence.
Note     •     History

(a) Scope. This section deals with the effect that a leave of absence has under Section 1256 of the code. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section. Whether an individual is disqualified for benefits because he or she has voluntarily left his or her most recent work to take time off from work depends upon whether the purpose of the absence was for good cause. Sections 1256-4 through 1256-23 of these regulations discuss what circumstances are good cause.
(b) Leave of Absence--Existence and Effect. A true leave of absence does not exist if an employee merely leaves for a fixed period of time with an understanding that he or she will be rehired at the end of that period only if work is available. In such a case if no work is available when the period expires the employment has been terminated when the employee first left and the employee has voluntarily left work at the commencement of the period.
A true leave of absence exists if the employer and the employee mutually agree that the employee will return to his or her work after a period of absence and that the employment relationship is not terminated although the performance of services is suspended for the period of the absence from work. A leaving of work occurs at the commencement of a true leave of absence. If the true leave of absence is not mandatory but is requested by the employee, or if the employee refuses a mandatory leave and files a claim after the reason for the mandatory leave has ended, then the employee has left work voluntarily. Whether the employee has left for good cause is determined by the purpose or reason for which the employee takes or refuses the true leave of absence. If an employee has good cause for leaving but either fails to request a leave of absence or refuses to take one which is available or offered, the good cause may be nullified. Although a true leave of absence preserves the employment relationship, there is a termination of the employment relationship if the claimant during the leave demonstrates an intent not to return to work by resigning, securing another job, or registering for work.
If during or at the expiration of a true leave of absence the employer replaces, lays off, or discharges an employee, or if the employer fails to return the employee to his or her work at the expiration of the leave and thus lays off the employee, there is a layoff or discharge at the time of such action.
If a true leave of absence is mandatory due to an employer policy or pursuant to a collective bargaining agreement and the employee resigns or files a claim before the reason for the mandatory leave has ended, the employer is the moving party and the employee has left his or her work involuntarily and is not subject to disqualification under Section 1256 of the code.
(c) Employee's Refusal of Leave. An employee who may have good cause to leave work temporarily but who refuses a true leave of absence offered by his or her employer has voluntarily left work without good cause.
EXAMPLE 1. The employer required that A leave work because of her pregnancy. The employer offered A a leave of absence which, if accepted, would have extended for three months after the birth of the child. A refused the leave because she felt she would be too busy after the birth of the child. Subsequent to the birth of the child, A filed a claim for benefits.
When A refused the leave of absence she voluntarily left her work for reasons that were not good cause.
(d) Employee's Failure to Request Leave. Good cause for leaving work is nullified if the employee fails to request a leave of absence and the following conditions exist:
(1) The employer has an established leave of absence policy which the employee knew or should have known.
(2) The employer would probably have granted the leave.
(3) An effort by the employee to maintain the employment relationship would have been reasonable under the circumstances.
(4) The leave of absence would have preserved the employment relationship.
EXAMPLE 2. B was required to have surgery. B's employer had no provision for any leave of absence. B quit without asking for a leave, underwent surgery and, upon recovery, filed a claim for benefits.
Since B had good cause for leaving, the employer had no leave policy, and it was clear that a request for a leave would have been futile, B's failure to request a leave did not nullify B's good cause due to health problems for leaving work.
EXAMPLE 3. C had child care problems which required C to leave work temporarily. Although C was aware of the employer's leave policy, C did not request a leave because C did not believe it would be granted, and C's employer had indicated a leave would probably have not been granted.
Since it was improbable that C would have been granted a leave, C's failure to request a leave did not nullify C's good cause due to child care problems for leaving work.
EXAMPLE 4. D had been granted a two months' leave of absence for reasons of health. The collective bargaining agreement provided sick leaves could be extended for a maximum of two years. D was still ill after the two months and it was unknown when D's health would improve. D and the employer mutually agreed an extension of the leave would be useless and D resigned.
Since D had acted reasonably in obtaining a leave for two months, and no useful purpose would be served by an indefinite extension, D's good cause due to health reasons for leaving work was not nullified.
EXAMPLE 5. E left work because E had child care problems. E did not request a leave of absence because E stated E thought leaves were granted only for personal illness. However, E's employer had previously granted E two separate leaves because of E's child care problems.
Since E knew the employer's leave policy and had taken leave in the past, E's voluntary leaving is without good cause due to E's unreasonable failure to request a leave which nullifies E's good cause for leaving.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (b) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256-17. Voluntary Leaving--Good Cause--Pensions and Retirement.
Note     •     History

(a) Scope. This section relates to whether good cause exists for leaving the most recent work when an individual's leaving of work is due to retirement. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) Mandatory Retirement. An individual who leaves work due to mandatory retirement provisions does so involuntarily and no issue arises of disqualification for voluntarily leaving the most recent work without good cause. Compulsory retirement of an individual is involuntary and does not raise an issue under Section 1256 of the code regardless of whether the retirement is required under collective bargaining agreement provisions or a policy or practice of an employer in the absence of such an agreement.
COMMENTS: In general, mandatory retirement is no longer allowed, with certain exceptions (see Sections 20980 and 20980.5, Government Code, and 29 United States Code 623, 631).
(c) Optional Early Retirement. General Rule. An individual who exercises an option for early retirement prior to compulsory retirement ordinarily leaves the most recent work without good cause in the absence of other factors. If an employer offers employees who elect to retire prior to compulsory retirement age an increased pension or other monetary inducement, the individual who elects optional early retirement does not have good cause to leave work solely due to such monetary inducements. An early retirement by a worker under any pension system due to a desire to work under and establish pension rights in another pension system is a leaving of work without good cause in the absence of other factors. However, if additional factors influence an individual's decision to retire early, there may be good cause for leaving the work under the circumstances set forth in subdivision (d) of this section.
If an individual who has retired and draws social security benefits returns to work in a job which the individual leaves voluntarily because the earnings from the job will exceed the earnings limitation under the social security law and affect social security retirement benefits, the leaving of work is without good cause.
(d) Other Factors. An individual whose decision to elect early retirement is substantially motivated by a factor other than monetary inducements may have good cause for leaving the work if a reasonable person genuinely desirous of retaining employment would have retired under the circumstances which motivate that individual to retire. Other factors which may motivate early retirement include, but are not limited to, the following:
(1) The individual's age.
(2) The individual's health (see Section 1256-15 of these regulations).
(3) Whether the individual's job will be abolished, and if so, the date the job will be abolished.
(4) The length of time between the retirement and the date of mandatory retirement or the abolition of the job, if applicable.
(5) The individual's wage at the time of early retirement (see Section 1256-22 of these regulations).
(6) The extent and degree of encouragement of early retirement given an individual by his or her supervisory personnel.
(7) Whether a transfer to other employment was offered by the employer
(8) Whether a leave of absence was available to the individual, and if so, whether the leave would meet the individual's needs (see Section 1256-16 of these regulations).
(9) If the employment is federal employment, consideration is given to the findings of the federal agency. The fact that the individual leaves federal work due to a desire to work in private employment to establish wages for the purpose of federal social security benefits is not, taken alone, good cause for leaving work.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Change without regulatory effect amending COMMENTS paragraph filed 3-30-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 14).
§1256-18. Voluntary Leaving--Good Cause--Personal Affairs.
Note     •     History

(a) Scope. This section relates to voluntary leaving of the most recent work due to personal affairs concerning financial difficulties, legal and business affairs, rest or vacation, return to a former home, or self-advancement or self-employment. An exhaustive listing of all types of personal affairs which may cause an individual to leave work is not feasible. However, the principles stated apply to the conduct of personal affairs generally. In addition, other regulations also deal with personal affairs, such as Sections 1256-9 to 1256-12 of these regulations on leaving due to domestic circumstances. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) Financial Difficulties. An individual who leaves work due to financial difficulties has left work without good cause unless there are compelling circumstances to establish that a reasonable person genuinely desirous of retaining employment would have left the work.
EXAMPLE 1. A left the work because A was being harassed by creditors and did not wish to work and turn over A's pay to the creditors.
A's leaving of work due to financial difficulties was without good cause since avoiding payment of debts is not a compelling circumstance.
EXAMPLE 2. B had an infectious skin disease and needed funds for medical care. B could obtain money due B under the employer's annuity plan only be resigning. B resigned and received the money for medical care.
B's leaving was with good cause due to the compelling need for funds for medical treatment B could obtain in no other way.
(c) Legal and Business Affairs. An individual who leaves work to attend to legal or business affairs has left work without good cause unless there are compelling circumstances requiring the individual's personal attention and the affairs cannot be handled by obtaining a leave of absence.
EXAMPLE 3. C, a cook, was scheduled to work on a ship for an extended trip. While on shore leave prior to the trip, C was served with subpoena in a divorce proceeding. The proceeding could not be continued. It would substantially affect C's property rights. C informed the ship's captain, and left the ship to appear in the proceeding.
C's leaving was with good cause since C's appearance was necessary for protection against substantial threat to C's property rights, and C could appear only if C left the work. Neither the court proceeding nor the ship's sailing could be delayed.
(d) Rest or Vacation. An individual who leaves work due to a desire to rest or take a vacation has left work without good cause unless the leaving is reasonably necessary for the protection of the individual's health and a leave of absence or transfer to other work was requested but denied or would not have been granted by the employer. (For provisions as to leaving due to health or physical condition, see Section 1256-15 of these regulations.)
(e) Return to Former Home. An individual who leaves work due to a desire to return to a former home has left work without good cause unless there are compelling circumstances to establish that a reasonable person genuinely desirous of retaining employment would have left the work.
EXAMPLE 4. D's wife desired to leave California and return to her former home in Pennsylvania. She told D that she would go and take the children whether D came or not. D objected but chose to give up his California job and return with his family to the former family home in Pennsylvania.
D's leaving was with good cause under compelling circumstances to preserve family unity and his marriage.
(f) Self-advancement or Self-employment. An individual who leaves work to look for other work and has no definite offer of or prospects of other work has left work without good cause unless the individual leaves part-time work which makes it impossible to look for full-time work so that the individual can look for full-time work under circumstances where reasonable prospects of other work exist. An individual who leaves work to enter self-employment ordinarily has left work without good cause but leaves work with good cause if the leaving is from temporary work or short-term work to end in the near future and the self-employment provides reasonable assurance that a livelihood will be obtained for a reasonable period of time. (For provisions as to an individual who leaves work and has prospects of other work, see Section 1256-19 of these regulations.)
EXAMPLE 5. E who was an employee in a boat works had an opportunity to engage in self-employed crop dusting two weeks before E would be laid off at the boat works. E left the boat works and engaged in the crop dusting activity for several months.
E's leaving of short-term work was with good cause to engage in promising self-employment when confronted with imminent loss of E's job.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-19. Voluntary Leaving--Good Cause--Prospects of Other Work.
Note     •     History

(a) Scope. This section relates to whether good cause for leaving the most recent work exists when an individual leaves work to seek other work or to accept other work. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) Seek Other Work. An individual who leaves work to seek other work does not have good cause for leaving the work unless the individual leaves part-time work to seek full-time work because the part-time work prevents an effective search for full-time work.
(c) Accept Other Work. An individual who leaves work to accept other work has good cause for leaving the work if there was a definite assurance of employment in another substantially better job which is at least as permanent as the job the individual leaves, or if other circumstances establish that a reasonable person genuinely desirous of retaining employment would have left work to accept the other work.
(1) Definite New Job. Since an individual is expected to take every reasonable step to preserve continuous employment, good cause for leaving a job for another job requires a definite assurance of a starting date on the new job. A hope or speculative expectation of obtaining a new job is not sufficient to establish good cause for leaving work. However, good cause is not negated by leaving the prior job a few days early to move closer to the new job or otherwise prepare for the new job, including a reasonable rest period if the individual has not recently had a vacation.
EXAMPLE 1. A, a bookkeeper, left the job the day before A's definite starting day on a new permanent job for which A had been hired at a substantial pay increase. A was to replace a retiring employee on the new job. On A's starting date for the new job, A was unable to begin work because the employer notified A that the employee scheduled to retire had delayed the retirement. The delay in retirement continued for several weeks.
A's leaving was with good cause because A had a definite promise and commitment to a new job with a definite starting day but the job failed to materialize through the new employer's failure to provide the new job.
EXAMPLE 2. B left the job on the day B was told by B's new employer of a definite starting date a week later. The new job was a permanent job closer to B's residence and was offered at a substantial pay increase. B had not had a recent vacation. B used the one-week interval between jobs to rest and take a vacation.
B's leaving was with good cause for a substantially better job and the one-week vacation interval between jobs was reasonable and did not negate good cause.
(2) Permanence of Jobs. Leaving permanent full-time work to take temporary work generally is without good cause. However, it may be with good cause if an individual has accumulated substantial rights in customary seasonal work and leaves a nonseasonal permanent job to return upon recall to the normal seasonal job to preserve the substantial rights acquired. Leaving temporary work to accept permanent work is generally with good cause even if the permanent work pays the same or even less than the temporary work. Similarly, leaving part-time work to accept full-time permanent employment is with good cause, but leaving full-time work to accept part-time work is without good cause unless the individual has compelling reasons such as protection of health for taking part-time work (see Section 1256-15 of these regulations for provisions as to leaving due to health).
A claimant who leaves a job due to obtaining a new job by false representations of his or her capability to do the work and is discharged from the new job for lack of such capability has left the first job without good cause.
(3) Comparison of Jobs. In determining whether a new job is substantially better than the prior job, all factors which influence an individual's decision to leave the prior job for the new job are considered. These include relative pay, opportunities for advancement, skills required, seniority rights, working conditions, and the location and the permanency of the jobs.
Comparing pay and other factors of the old and new jobs to determine if the new job is substantially better than the old job cannot be reduced to definite standards or a prescribed formula. However, if other factors are equal, a pay increase in the new job of more than 10% is usually substantial. Pay includes the basic wage, shift differentials, board and room furnished by the employer, and guaranteed overtime. Pay also includes fringe benefits such as vacation pay and insurance if such fringe benefits are currently available or set schedules and information to value the fringe benefits for both jobs is available. Speculative fringe benefits whose receipt is dependent on contingencies, such as pension, vacation and sick leave, are given less weight in pay comparison to the extent that their values and the probability of future realization are uncertain.
In some cases the retention of skills used on a new job but not on the old job may justify leaving the old job even if the pay is not substantially better on the new job. For example, a stenographer might leave a clerk-typist job to take a stenographic job, with good cause, even if no pay increase were involved, due to the importance of preserving stenographic skills to maintain ability for employment at the higher skill.
EXAMPLE 3. C, an operating engineer, worked varying shifts on any day of the workweek and the job was about 25 miles from C's home. C left work for a permanent job of regular 8-hour shifts on only five days a week, located four miles from C's home at a 5% pay increase.
C's leaving was with good cause since the new job was substantially better because it was permanent regular shift work located closer to C's home, although the pay was not substantially better.
EXAMPLE 4. D, a sales representative, left one job for another at more than a 20% base pay increase and a car allowance more than 40% better than the old job. The new job offered no immediate pension plan whereas the old job had a pension plan. Considering the pension plan and other pay and fringe benefits the new job was substantially more valuable than the old.
D's leaving was with good cause for a new job with substantially better pay and fringe benefit rights. However, the pension benefit was of little weight since the future realization of pension was speculative and uncertain.
EXAMPLE 5. E was told by the employer that the employer's operations were to be moved in the near future. The new location would involve a trip from E's residence excessive in both cost and distance. E sought work with another employer by whom E had previously been employed, and obtained an offer of work. E left the work to take E's new job.
E's leaving was with good cause to take the new job since E would have had compelling reasons to leave the old job when the transfer to the new plant occurred, and loss of E's old job was imminent.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (c) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256-20. Voluntary Leaving--Good Cause--Time.
Note     •     History

(a) Scope. This section relates to whether good cause for leaving the most recent work exists when an individual's leaving of work is due to various time elements which may cause the individual to leave a job, including days of the week, hours, overtime, part-time or full-time work, seasonal employment, and temporary employment. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) Good Cause. An individual has voluntarily left the most recent work with good cause if all of the following conditions exist:
(1) There was a real, substantial, and compelling reason for leaving work due to those conditions of work that relate to the elements of time considered in this section.
(2) The individual informed the employer of the reason for leaving.
(3) The individual allowed the employer a reasonable opportunity to adjust the situation.
(c) Elements of Time. An individual who leaves the most recent work due to objections based on an element of time leaves with good cause only if the conditions of subdivision (b) of this section exist and if the leaving is due to any of the following:
(1) Days of the Week. The employer has an unreasonable requirement that an employee work on a particular day, holiday, or number of days in a week.
COMMENTS. Paragraph (1) of subdivision (c) refers to a course of conduct on the part of the employer that is unreasonable. An employer's requirement that an employee work on a particular day, holiday, or number of days in a week is reasonable if it is necessary for the conduct of the employer's business and is not unusual, arbitrary, or imposed for the purposes of harassment of the employee. However, satisfaction of the reasonable requirement test by the employer does not disqualify an individual for leaving work without good cause. If the individual meets all of the conditions set forth in subdivision (b), he or she has voluntarily left work with good cause.
EXAMPLE 1. Change in Days of Work. A works in a bakery six days a week from Monday through Saturday. A has maintained this schedule for two years. Representatives from A's union and the employer negotiate an agreement requiring the employer to change the shifts of the workers from six days a week to five days and week. As a result of this change A is required to work on Sundays as part of A's five-day shift. A is no longer able to obtain adequate child care services for A's three young children. A objects to this new work schedule and seeks to modify it by discussing the basis for the objection with the employer. Since the employer does not accommodate A's request, A leaves work.
A's leaving was with good cause since adequate child care service is a compelling reason for voluntarily leaving work if no reasonable alternative is possible (see Section 1256-10 of these regulations).
(2) Hours. The individual leaves work because of an objection to split shifts, a work schedule that lacks uniformity as to beginning and ending times, or to the number of hours worked each day, week or month.
COMMENTS. Paragraph (2) of subdivision (c) refers to an employee's dissatisfaction over the hours of work, whether they involve split shifts, hours that he or she considers either too long or too short, or the total number of hours worked each day, week, or month. It also refers to an employee's dissatisfaction with the hours to the point that it serves as a basis for an employee to leave work. If the individual meets all of the conditions set forth in subdivision (b), he or she has voluntarily left work with good cause. However, mere preference, inconvenience, or slight hardship as a result of a claimant's objection to or insistence upon the hours of work is not a compelling reason for leaving work.
EXAMPLE 2. Split Shifts. B is employed as a service station attendant on a split shift basis and works 7:00 a.m. to 11:00 a.m. and 4:00 p.m. to 8:30 p.m., Monday through Friday. The distance from home to work is 30 miles, which requires a 45-minute commute. Although B attempted to rest between shifts, the employer does not permit resting on the premises. Since there is no other place where B could reasonably have been expected to rest, B voluntarily left work.
B's leaving is with good cause because the requirement that the employee be away from home for 15 hours a day is a compelling reason for voluntarily leaving work.
(3) Overtime, Part-time, or Full-time Employment, Seasonal Employment Shift, and Temporary Employment. The individual leaves work because of an objection to or insistence upon working overtime, part-time or full-time, seasonally, a specific shift, or temporarily.
COMMENTS. Paragraph (3) of subdivision (c) applies to an individual who voluntarily leaves work either because of an insistence upon working certain periods of time or because of an objection to working certain time periods and who bases his or her leaving work on that restriction or objection. An individual has left work with good cause only if all of the conditions in subdivision (b) have been met. In those instances of employment that are less than full-time jobs, such as temporary work, or part-time work, an individual has a compelling reason for leaving work if he or she is prevented from seeking other work while working less than full time. Usually an individual working part time has ample opportunity to seek additional work. However, if an undue hardship is created or if other reasons exist that meet all of the conditions set forth in subdivision (b), then the individual has voluntarily left work with good cause (see Sections 1256-1 to 1256-23, inclusive of these regulations for other compelling reasons for leaving work).
EXAMPLE 3. Part-time Employment Restriction. Over the years C had been employed as a sugar beet thinner for several different labor contractors and farmers and had developed a back injury as a result of that work. On the advice of C's physician, C secured work as an irrigator for two days a week for 10 hours each day. However, due to changes in the weather, the employer needed additional help to irrigate the fields. The employer needed three irrigators, who could work full-time on a rotating shift to cover the full 24-hour period per day, 7 days a week. The employer was pleased with C's work, and offered C additional hours. C informed the employer that working additional hours would aggravate C's back injury, but that C still wanted to maintain C's part-time hours of employment even if C had to work a different shift. Since this plan was not suitable to the nature of the employer's labor needs, the employer denied C's request. C left the employment.
C's leaving is with good cause for health reasons.
EXAMPLE 4. Part-time Employment Restriction. D was employed as a practical nurse in a rest home and worked there on a part-time basis. D's hours were increased and for about a year D generally worked full time, approximately forty hours each week. Subsequently, D's hours were reduced to two days per week, eight hours each day, at the same rate of pay. D objected to this new schedule and offered to work vacation relief. Since this plan was not suitable to the employer, the employer denied D's offer. D left the employment.
D's leaving is without good cause since D could look for full-time work and there was no undue hardship.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (c)(2) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256-21. Voluntary Leaving--Good Cause--Union Relations.
Note     •     History

(a) Scope. This section relates to whether good cause for leaving the most recent work exists when an individual's leaving of work is caused by occurrences relating to union status, union rules, union activities, or other circumstances relating to union relations. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) Objections to Union.
(1) An individual's refusal to join or retain membership in or pay an agency service fee to a bona fide labor organization which has a collective bargaining agreement with the employer which provides that union membership or fee payment is a condition of hire or continued employment, or an individual's personal objection to all unions, some specific unions, union officials, or union practices and policies, is not good cause for voluntarily leaving work unless based on a bona fide conscientious objection. (For discussion of conscientious objection as a basis for leaving work, see Section 1256-6 of these regulations.)
(2) The result is different if a worker does not have to join a union or pay a union fee. If union membership or payment of a union agency service fee is not a condition of hire or continued employment under a collective bargaining agreement, an individual's refusal to join or to retain membership in a bona fide labor organization or pay the fee is not good cause for voluntarily leaving work unless the individual's refusal is based on a bona fide conscientious objection or the individual is threatened with and has a reasonable fear of, or is subjected to, physical injury to force him or her to join or to remain a member of a union.
(c) Union Rule. An individual who voluntarily leaves work as required by a union rule to which an employer has not agreed voluntarily leaves work without good cause.
EXAMPLE 1. X and Y, members of the Sailors Union of the Pacific, sailed under a Class B permit. A union rule required Class B permit men to leave ship after 90 days. X left ship after 90 days at the request of union representatives. Y left ship after 90 days on Y's own initiative due to the union rule. The employer had not agreed to the union rule.
X and Y left work without good cause since they could have remained on ship except for the union rule to which the employer was not a party.
(d) Union Disciplinary Action. An individual who leaves work because of union disciplinary action taken against the individual due to an infraction of a union rule or other offense against union discipline has voluntarily left work without good cause if the action of the union is not arbitrary or capricious and if the individual has an opportunity to protest the union charge through any customary union procedure.
(e) Grievance Procedure. Except as provided by Section 1256.2 of the code, and except as provided by Section 1256-15 of these regulations with respect to a serious injury or illness, an individual who leaves work due to any complaint or objection to working conditions, but has not used an existing grievance procedure to review the complaint or objection, or has filed a grievance but left work prior to disposition of the grievance, has voluntarily left work without good cause unless a grievance has been filed and there is an unreasonable delay in the disposition of the grievance.
COMMENTS. Under Section 1256.2 of the code, an individual leaves work with good cause if he or she leaves because his or her employer intentionally deprived him or her of equal employment opportunities because of race, color, religious creed, sex, national origin, ancestry, or physical handicap. However, this provision does not apply if the deprivation is based upon a bona fide occupational qualification or applicable federal or state security regulations, or if the employer's action is unintentional. If the deprivation by the employer is unintentional, the employee must make reasonable efforts to provide the employer an opportunity to remove the unintentional deprivation of equal employment opportunities (see Section 1256.2-1 of these regulations).
(f) Collective Bargaining Agreement. Except as provided by Section 1256.2 of the code, and except as provided by subdivision (e) of this section, if an individual leaves work due to an employe's violation of a provision of a collective bargaining agreement, the individual's leaving is with good cause if a reasonable person genuinely desirous of retaining employment would have left work under the same circumstances because of undue hardship or other real, substantial, and compelling reasons (see subdivision (i)(1) of this section for the effect of an employer's violation of collective bargaining agreement provisions on wages and hours of work). An individual who leaves work as required by a collective bargaining agreement provision, to which the employer has agreed, leaves work involuntarily in accordance with the agreement and is not subject to disqualification under Section 1256 of the code for voluntarily leaving work without good cause. If an arbitrator or court has held in a final decision that an employer has violated a substantial provision of the collective bargaining agreement and thereafter the employer persists in the same violation, an individual's leaving of work for this reason is for good cause if the violation is of such nature as to cause a reasonable person genuinely desirous of retaining employment to leave work.
(g) Employer Discrimination Due to Union Relations. If an individual leaves work because the employer has engaged in harassment, discrimination, or coercion against the individual to compel him or her to resign from or not to join a bona fide labor organization, or because of authorized union activity, the individual's leaving of work is with good cause, except as provided by subdivision (e) of this section. If an individual leaves work because the employer requires, as a condition of continuing employment, that the individual join or retain membership in a company union dominated by the employer, the leaving is with good cause.
(h) Union Intimidation of Employee.
(1) In the absence of a trade dispute with the employer, if the individual is directly threatened with and has a reasonable fear of, or is subjected to, physical injury by union members unless the individual conforms to union practices or demands not contained in a collective bargaining agreement, the individual's voluntary leaving of the work due to the threat of, or subjection to, physical injury is with good cause. An example is direct threats by union members to physically assault an individual who produces more than a maximum work quota enforced by a union.
(2) If an individual who is not a union member has been working but is prevented from reporting for work and voluntarily resigns from the work because in a trade dispute the union has established picket lines which the individual refuses to cross because he or she is directly threatened with and has a reasonable fear of or is subjected to, physical injury by the union members, the individual has voluntarily left work with good cause.
(i) Wages and Hours of Work.
(1) Collective Bargaining Agreement. If an individual voluntarily leaves work because the employer changes wages or hours of work in violation of the terms of a collective bargaining agreement, the individual leaves with good cause if prior to leaving the individual has used any existing grievance procedure or complaint remedy, or has filed a grievance or complaint and the employer's violation continues after an unreasonable delay in the disposition of the grievance or complaint, and either of the following conditions exists:
(A) The wages paid are substantially less than those specified in the collective bargaining agreement, or the hours of work are substantially changed from those specified in the collective bargaining agreement.
(B) The wages paid or hours of work differ from those specified in the collective bargaining agreement and the individual is subject to union disciplinary action if he or she continues to work under conditions in violation of the collective bargaining agreement.
COMMENTS. Occasional requests by the employer that a worker work a few minutes overtime ordinarily would not be substantial breach of the collective bargaining agreement. A minor difference in wages would justify a complaint by the worker with the Labor Commissioner but would not justify leaving work with good cause unless the worker is subject to union disciplinary action if the individual continues working. Wages and hours of work may have been negotiated at conditions more favorable than those prevailing for similar work in the locality. Thus, the employer's changed wages or hours of work in violation of the collective bargaining agreement might be equal to or more favorable than the prevailing conditions but still be a substantial change to justify leaving work for good cause. Wages and hours of work changed by the employer in violation of the collective bargaining agreement to be substantially less favorable than those prevailing for similar work in the locality would always be a substantial change to justify leaving work for good cause. In every instance, the individual must take steps to preserve the job, including use of complaint and grievance procedures, prior to leaving work. A failure to do so results in a leaving without good cause.
(2) No Collective Bargaining Agreement. If an individual voluntarily leaves work because the employer changes wages or hours of work to conditions not conforming to union rules, and the employer has no collective bargaining agreement with the union, the individual has left work without good cause unless any of the reasons specified by subdivision (b) of Section 1256-22 of these regulations exists.
(j) Trade Dispute. During a trade dispute the employer-employee relationship is suspended but not terminated. Thus, issues may arise under the trade dispute disqualification provided by Section 1262 of the code. No issue arises under the voluntary leaving without good cause provisions of Section 1256 of the code unless there is an unequivocal severance of the employment relationship during the trade dispute. Section 1256-1 of these regulations interprets the circumstances under which this severance does or does not occur. When a trade dispute ends, an employee's failure to return to work is a voluntary leaving of work raising an issue under Section 1256 of the code (see the regulation applicable to the particular facts in the series interpreting “good cause” for voluntary leaving, Sections 1256-4 to 1256-23, to determine whether there is “good cause” for the leaving).
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-22. Voluntary Leaving--Good Cause--Wages.
Note     •     History

(a) Scope. This section relates to whether good cause for leaving the most recent work exists when an individual leaves work due to dissatisfaction with wages. Section 1256-21 of these regulations governs if a collective bargaining agreement exists. For provisions as to an individual who leaves work to seek other work or to accept other work, see Section 1256-19 of these regulations. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
(b) Good Cause. An individual who leaves work due to dissatisfaction with some aspect of wages has left work with good cause if the leaving of work is for any one or any combination of the following reasons:
(1) The wages paid by the employer are less than the minimum wages required by federal or state law and the employer refuses to pay such minimum wages.
(2) The individual has no reasonable assurance of payment of wages when due, or the employer repeatedly does not pay wages when due, or the employer willfully refuses to pay wages when due.
(3) The individual is notified of a transfer or demotion to another position with the employer at a substantial reduction in pay, or under any conditions which render the other position not “suitable employment” under Section 1258, 1258.5, or 1259 of the code. For example, an individual leaves work for good cause, pursuant to Section 1259 of the code, if the leaving is due to the fact that an individual after diligently working on a piece-rate or commission basis for a reasonable time is paid substantially less than the wages prevailing for similar work in the locality.
(4)The employer substantially breaches the agreement with an employee as to the agreed rate of pay. (For breach of other conditions of hire, see Sections 1256-21 and 1256-23 of these regulations.)
(5) The employer makes substantial misrepresentations to the employee as to the duties, hours, working conditions, or wages for the job.
COMMENTS. Under paragraph (3) of subdivision (b), if factors other than a pay reduction influence an individual's decision to leave the work, all such factors are evaluated to determine whether a reasonable person genuinely desirous of retaining employment would have left the work. Additional factors may include skills required and the possible loss of skills in the other position, opportunities for advancement and increase in pay, seniority and recall rights affected, working conditions, hours of work, location of the position and the effect on the distance and cost of commuting, any additional expenses due to the other position, time worked in the prior job and relative permanency of the new position, the individual's prospects for obtaining other employment at a wage commensurate with prior earnings, and the individual's awareness of the labor market and the effect upon employment prospects, among others.
However, a pay decrease of 20% or more, taken alone, is a substantial reduction in pay to establish good cause for leaving work where the employee is notified of a transfer or demotion to another position with the employer. Pay includes the basic wage, shift differentials, board and room furnished by the employer, and guaranteed overtime. Pay also includes fringe benefits such as vacation pay and insurance if such fringe benefits are currently available or set schedules and information to value the fringe benefits for the former and other position are available.
Speculative fringe benefits whose receipt is dependent on contingencies, such as pension, vacation and sick leave, are given less weight to the extent that their values and the probability of future realization are uncertain. Incentive pay would not be compared unless it is prevailing practice in the industry. Moreover, regardless of pay, in some cases the loss of skills in another position may justify leaving the work; for example, a stenographer might refuse a downgrade to a clerk-typist position due to the importance of preserving stenographic skills to maintain ability for employment at the higher skill.
(c) No Good Cause. An individual who leaves work due to dissatisfaction with some aspect of wages has left work without good cause if the leaving of work is for any one or any combination of the following reasons:
(1) The individual knew the wages at the time of hire but later leaves work because such wages are not commensurate with his or her experience, or are less than wages paid in prior employment, or are less than prevailing wages paid for similar work in the locality.
(2) The work has incidental expenses and the employer has no duty to provide for such incidental expenses, such as special clothing, tools, or gasoline, and (A) it is customary that the individual worker pays the incidental expenses; or (B) it is not customary that the individual worker pays the incidental expenses but such expenses are minor or are compensated by bonus, premium wages, or other remuneration paid by the employer.
(3) The employer demands reasonable periodic deductions from the individual's wages for cash shortages, or breakage or loss of equipment caused by the individual's culpable negligence or willful dishonesty.
(4) The individual's request for a wage increase was denied by the employer, if the wages paid were not substantially less than the prevailing rate for similar work in the locality and the employer's refusal was not a breach of the contract of hire or an act of discrimination. However, if the employer's act is discriminatory, such as a denial of like wages to the individual for like work performed by other employees of like seniority, the individual's leaving of work for such discrimination is with good cause.
(5) The employer refuses to make an advance on wages, except that good cause exists if advances are required by the employer's rules and the individual meets the requirements of such rules.
(6) The individual leaves work because it is compensated on a commission or piece-rate basis but the compensation is not substantially less than the prevailing wage for a reasonable time for similar work in the locality and the method of compensation is customary in the industry or occupation, or the individual fails to work for a reasonable time in order to determine the level of compensation. If the prevailing wage cannot be determined, the individual who leaves work because it is compensated on a commission or piece-rate basis has left without good cause unless his or her commissions or other remuneration are substantially less than prior earnings and the reduction is not due to any fault of the individual such as lack of effort or failure to follow the employer's instructions.
COMMENTS. Subdivisions (b) and (c) of this section do not attempt to cover every possible type of situation in which wages issues may arise. If a new type of situation not treated in this section arises, the general principles of Sections 1256-1, 1256-2, and 1256-3 of these regulations would apply.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-23. Voluntary Leaving--Good Cause--Working Conditions.
Note     •     History

(a) Scope. This section relates to whether good cause for leaving the most recent work exists when an individual leaves work due to various aspects of working conditions. Sections 1256-1, 1256-2, and 1256-3 of these regulations set forth general principles also applicable under this section.
The “working conditions” discussed in this section include duties or requirements of the work, employer rules for the work, the method, manner, quality, or quantity of work, relations with other employees, and work transfer situations. Other working conditions situations are discussed in separate regulations (see Section 1256-14 concerning opportunity for advancement; Section 1256-15 concerning health, safety, or morals; Section 1256-20 concerning days, hours, and shifts of work; Section 1256-21 concerning union relations, including violation of collective bargaining agreements; Section 1256-22 concerning wages issues; and Section 1256.2-1 concerning discrimination by employers).
(b) General Principles. An individual who leaves work due to mere personal dislike, distaste, or minor inconvenience caused by working conditions leaves without good cause. If the working conditions are so unsatisfactory as to be intolerable to a reasonable person genuinely desirous of retaining employment and prior to leaving work the individual has taken steps to preserve the job as provided under Section 1256-3 of these regulations, there is good cause for leaving the work. An individual who has good cause to leave work for intolerable working conditions is not required to seek an adjustment from the employer prior to leaving work if the employer is unable to remedy the working condition or has previously refused the individual's request for adjustment, or the individual knows that the employer has refused the requests of other employees for an adjustment of the same working condition.
EXAMPLE 1. The employer repeatedly criticized A in a sarcastic manner in front of customers and other employees, despite A's objections. The criticism was for A's errors in the work, for errors not attributable to A, and for matters unrelated to the work. The criticism was so severe that A on several occasions had to leave the work station in tears. A left the work due to the repeated criticism.
A's leaving was with good cause due to abusive, hostile, and intolerable treatment.
EXAMPLE 2. B was a painter and hand decorator. B was placed at work near kilns where the heat was intense, then was moved to a location with improper lighting. Plaster and water dropped into B's paint and on B. On numerous occasions, B complained to the employer of these conditions. The employer took no action. The conditions continued, and B began to have headaches.
B's leaving was with good cause under intolerable working conditions.
EXAMPLE 3. C was a statistician. C left the work because C objected to the employer's general policies and to the rote character of the work.
C's leaving was without good cause since it was due merely to personal distaste and unreasonable.
EXAMPLE 4. D, a retail salesclerk, was required to work a shift from 4:30 p.m. to 1 a.m. and report to work again at 7 a.m. without a break of at least 8 hours, in violation of state law. D did not complain and did not seek a transfer to another shift or work arrangement. D left due to these working conditions.
Although D's leaving would have been with good cause had D complained and sought adjustment of shifts, D's failure to complain negated good cause and the leaving was without good cause, since D's duty to preserve the job had not been performed.
(c) Duties or Requirements of Work. An individual may leave work because the employer's work requirements violate the agreement of hire, impose duties beyond those of the employee's occupation, or reassign work to or from another employee or make changes in the distribution of workload among employees. The leaving of work is without good cause unless the employer's requirements cause undue hardship to or discriminate against the individual worker, or are unreasonable under the circumstances. The employer's requirements are unreasonable under any of the following circumstances:
(1) The claimant is required to perform duties beyond his or her physical ability or skills.
(2) The duties required impose an undue risk of injury or illness upon the claimant (see Section 1256-15 of these regulations).
(3) The required duties would be demeaning to the claimant in view of the occupation and status of the claimant.
(4) The employer's requirements are intended to abuse or harass the claimant.
(5) The primary duties assigned to the claimant entitle the claimant to a higher wage but the employer pays a lower wage level (see Section 1256-22 of these regulations concerning wages).
(6) The primary duties assigned to the claimant are for work on a substantially lower skill and status level than the claimant's usual work.
(7) The claimant reasonably objects to the employer's requirements on moral grounds (see Section 1256-15 of these regulations concerning leaving work on moral grounds).
(8) The employer's requirements will substantially increase the claimant's workload.
(9) The primary duties assigned to the claimant could cause a loss of proficiency in the skills of the claimant's usual occupation.
EXAMPLE 5. E worked as a parking attendant in a storage garage. Initially, E checked automobiles in and out of the garage, and collected fees from customers. Due to a shortage of help, the employer required E to begin parking automobiles. E made no complaint to the employer or E's union, although E was dissatisfied. After several months of work under these conditions, E left due to the requirement that E park cars and because E considered this a violation of the agreement of hire with the employer.
E's leaving was without good cause since the employer's action was reasonable and E made no complaint or effort to seek adjustment.
EXAMPLE 6. F was over 50 years old and worked in a warehouse. F originally had a workload of lifting and stacking not over 300 cases weighing 65 to 80 pounds over a 10-day period. The employer increased this to 1,000 cases in a 10-ay period. F requested aid, but the employer refused. F left the work because F believed F's health was threatened and there was an undue risk.
F's leaving was with good cause in view of the undue risk.
EXAMPLE 7. G requested a transfer to another department or a salary increase, when a new supervisor took over and assigned minor additional duties to G on a temporary basis. The employer refused the transfer and salary increase. G would have continued the work had the salary increase been granted. G left the work when G's requests were refused.
G's leaving was without good cause, since the additional duties were temporary and minor, and the employer's requirements were not unreasonable.
EXAMPLE 8. Situation 1. H, a doctor's receptionist, left work because H was required to wash windows daily.
Situation 2. I, a cook's helper, left work because I was required to wash kitchen windows daily.
H's leaving was with good cause since washing windows is demeaning for the occupation of receptionist. I's leaving was without good cause since washing kitchen windows is not demeaning for the occupation of cook's helper and is not a substantial departure from the usual work.
(d) Employer Rule. If a claimant leaves work because he or she objects to an employer's rule which applies to all or a group of employees, the leaving is without good cause unless the employer enforces the rule only against and harasses the claimant who suffers significant inconvenience, or enforcement of the rule would create undue hardship for the claimant, or the rule is unreasonable. An employer rule is unreasonable under any of the following circumstances:
(1) Compliance with the rule is impossible for the claimant due to reasons such as physical limitations which are peculiar to him or her and, if the reasons are not apparent, are made known to the employer or the employer's representative.
(2) A new and unreasonable burden would be imposed on the claimant.
(3) The rule is not designed to protect or preserve the employer's business interests.
(4) The claimant reasonably and in good faith believes compliance with the rule would result in a violation of the law, objects or makes a reasonable effort to object to the employer, and the employer makes no reasonable effort to explain the basis for the rule to the employee. Whether compliance with the rule would be a violation of the law is not determinative.
(5) The claimant reasonably believes compliance with the rule would cause an undue risk of injury or illness (see Section 1256-15 of these regulations).
EXAMPLE 9. J agreed when hired to submit to a polygraph test requested of all employees by the employer in the event of cash shortages or thefts from the employer. One year later the employer had cash shortages and required that J submit to the polygraph test as a condition of continued employment. J left the work as a result.
J's leaving was with good cause since J is entitled to the presumption of innocence and the rule is unreasonable even though agreed to by J. Note: For nongovernmental employers, demanding or requiring a polygraph test as a condition of employment or continued employment is prohibited by Section 432.2, Labor Code.
EXAMPLE 10. K, a retail clerk, submitted some incorrect prior employment experience information at the time of hire. On several occasions after hire, K was required to submit further prior employment experience information in accordance with employer procedures for all employees. K left work in anger when a further request for such information was made by the employer.
K's leaving was without good cause since the employer is entitled to insist on accurate prior employment experience information and mere anger is not sufficient to justify leaving the work. There was no harassment and no abuse.
(e) Method, Manner, Quality, or Quantity of Work. A claimant who leaves work due to an objection to the method or manner of work performance or to the quality or quantity of the work required or to materials used in the work leaves without good cause unless one or more of the following circumstances is present:
(1) The employer uses a method or manner of work which is not customary and thus reduces or will reduce the claimant's earning power.
(2) The methods and quality of work are inferior and will adversely affect the reputation and integrity of workmanship which is an essential customary feature of the claimant's usual occupation.
(3) The claimant will suffer a potential loss of skills due to a low quantity of work.
(4) The employer substantially increases the quantity of work required without increasing wages (see Section 1256-22 of these regulations for discussion of wages issues).
(5) There is an undue risk of injury or illness or a serious risk to morals (see Example 6 above, and see Section 1256-15 of these regulations for discussion of situations involving health, safety, or morals). 
EXAMPLE 11. L is paid on a piecework basis for packing crates of produce. The prevailing custom is to deliver crates on a gravity belt. The employer does not use a gravity belt, although prevailing wages per crate are offered. This reduces L's earning power. L complains to the employer, who refuses to supply a gravity belt delivery system. For this reason, L leaves the work.
L's leaving is with good cause since L's earnings power is adversely affected by the employer's failure to use customary work methods.
EXAMPLE 12. M is a highly skilled carpenter with a reputation for integrity of work. M's employer issues instructions for production of clearly inferior products. The work would have been identified with M and M's reputation damaged. M objects; the employer insists on the instructions. M leaves the work due to the threat to M's reputation.
M's leaving is with good cause since M's reputation is essential in M's highly skilled occupation and it is threatened by the employer's ordered work methods.
(f) Relations With Other Employees. A claimant who leaves work due to mere annoyance with or general dislike to another employee or his or her supervisor leaves without good cause. A claimant leaves with good cause if he or she leaves work due to a course of conduct by another employee or his or her supervisor which subjects the claimant to continued abuse, endangers the claimant's health or safety by such conduct as actual or threatened violence or acts affecting the claimant's mental well-being, causes demands for an unreasonable quantity of work to be produced by the claimant, or unreasonably discriminates against the claimant.
EXAMPLE 13. N, a new employee, believed that another employee was not doing a fair share of filing work. N's workload was not increased by any shirking of the other employee. N's request for transfer to other work was denied. N left the work due to the other employee's low production.
N's leaving was without good cause since no increased workload was imposed on N and the shirking of another employee was the problem of the employer without significant effect on N.
EXAMPLE 14. O was an automobile messenger required to use O's own automobile in the work. O had advised the employer of prior breakdowns but did not tell the employer about a broken spring because O was “tired” of doing so. O's supervisor reprimanded O for failure to report the problem. O thereupon left the work.
O's leaving was without good cause since the supervisor was reasonable and did not engage in a course of conduct amounting to hostility or harassment or abuse. O had no good reason for failure to report the broken spring.
EXAMPLE 15. P had worked as a senior investment analyst for 18 years. P's new supervisor was 15 years younger. P believed the supervisor refused to recognize P's experience, and P did not report details of the work to the supervisor, as required. The supervisor tried to discuss improvements in relationships with P, but P was unreceptive. P left the work on the following day due to the relationship with the supervisor.
P's leaving was without good cause, since the supervisor was not abusive or hostile but in fact was trying to improve the situation in good faith. Mere resentment and a “generation gap” do not establish good cause to leave work.
EXAMPLE 16. Q, a bookkeeper, objected to her supervisor about repeated offensive rubbing and touching of her body. The supervisor became extremely critical of Q's work, yelling and cursing at Q, and asked personal questions about Q's relationship with her boyfriend. The supervisor became angry over Q's misunderstanding of work instructions, shoved Q, and shouted that Q was stupid and ignorant. Q left the work due to these occurrences.
Q's leaving was with good cause due to the pattern of abusive conduct and intolerable treatment by the supervisor.
(g) Transfer.
(1) A claimant who either resigns or elects to be laid off or discharged rather than accept a transfer to other work has voluntarily left the work. If the transfer is to reasonably related work at a reasonably comparable rate of pay, the leaving of work is without good cause.
(2) A leaving of work rather than accept a transfer to other work is with good cause under any of the following conditions:
(A) The transfer is to work unrelated to the last work and also unrelated to any work within the claimant's prior training, experience or qualifications.
(B) The transfer is to work which would cause the claimant to lose proficiency in his or her highest skill, except that there is no good cause for leaving work if the transfer is a return to work previously performed where the claimant's work in a new position has been unsatisfactory.
(C) The transfer would cause the claimant to suffer a substantial wage reduction (see Section 1256-22 of these regulations for interpretation of wages issues, including what is a “substantial” reduction).
(D) The transfer is to work which the claimant cannot perform due to his or her health, safety, or morals factors (see Section 1256-15 of these regulations for discussion of leaving due to health, safety, or morals factors).
(3) A claimant who leaves work because a requested transfer is refused by the employer leaves work without good cause if the leaving is for noncompelling personal reasons, such as personal convenience, prestige, or self-advancement. The claimant's leaving of work because a requested transfer is not made by the employer is with good cause if either of the following conditions exists:
(A) The employer's refusal or failure to make the requested transfer is the result of a misrepresentation of the claimant's work or due to discrimination by the employer against the claimant.
(B) The claimant has requested the transfer for compelling reasons such as his or her health, morals, or safety factors (see Section 1256-15 of these regulations for discussion of leaving due to health, morals, or safety factors).
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-30. Discharge for Misconduct--General Principles.
Note     •     History

(a) Scope. This section relates to general principles for discharge for misconduct connected with the most recent work. Sections 1256-31 to 1256-43, inclusive, of these regulations, relate to specific reasons for discharge for misconduct. An individual who accepts future work but engages in conduct which causes the employer to prevent or prevents commencement of this work, has not been discharged for misconduct but the issue is raised of whether the individual has refused suitable work without good cause and is disqualified under subdivision (b) of Section 1257 of the code. See Sections 1256-1 and 1256-2 of these regulations for interpretations of voluntary leaving, as distinguished from discharge, and of most recent work.
(b) Elements of Misconduct. Misconduct connected with his or her most recent work exists for an individual's discharge if all of the following elements are present:
(1) The claimant owes a material duty to the employer under the contract of employment.
(2) There is a substantial breach of that duty.
(3) The breach is a willful or wanton disregard of that duty.
(4) The breach disregards the employer's interests and injures or tends to injure the employer's interests.
(c) Causal Connection. To constitute a discharge for misconduct, there must be a causal relationship between the individual's act or acts of misconduct and the discharge. Condonation results when the employer does not with reasonable promptness exercise the right to discharge an employee who has engaged or participated in an act or acts of misconduct. However, delays imposed upon the employer's prompt discharge action by collective bargaining procedures or other circumstances beyond the employer's control do not result in condonation.
(d) Other Acts or Omissions. Mere inefficiency, unsatisfactory conduct, failure in good performance as the result of inability or incapacity, inadvertence or ordinary negligence in isolated instances or good faith errors in judgment or discretion are not misconduct, except that in cases of ordinary negligence, misconduct may be found where the claimant has been previously warned or reprimanded for prior similar acts of ordinary negligence and has the ability and capacity to perform satisfactorily. Prior warnings or reprimands, however, do not convert to misconduct an employee's failure to perform satisfactorily due to inability or incapacity. A claimant's participation in illegal or criminal actions while away from the place of employment usually is not connected with the work and is not misconduct.
(e) Discharge--Right of Employer. Misconduct is not established merely because an employer has and exercises a right to discharge an employee.
COMMENT. Subdivision (a) refers to the distinction between a discharge for reasons constituting misconduct and a failure to accept suitable work because of acts of misconduct. On the one hand, the employee is already working and is discharged for engaging in an act or acts which are misconduct under Section 1256 of the code. On the other hand, the misconduct occurs before the claimant has started working for an employer. In the latter case, the claimant is disqualified under subdivision (b) of Section 1257 of the code, while in the former, the disqualification is based on Section 1256 of the code.
EXAMPLE 1. A received a referral from a private employment agency. After an interview, A was told to report for work the following day. Before reporting for work, A had “a few drinks.” Upon reporting for work, A was told by the foreman that there was no work because A had been drinking.
A has not been discharged, but instead has refused an offer of work. The issue is whether A is disqualified for refusing an offer of suitable work without good cause, not whether A has been discharged for work-connected misconduct.
Paragraph (1) of subdivision (b) requires that a claimant oe a duty to the employer under the contract of employment. Thus, an individual subject to the misconduct provisions, must have violated an express or implied agreement of employment with his or her employer. The violation must either injure or tend to injure the employer's legitimate business interests, or both.
The claimant's misconduct must be connected with the claimant's work. This includes not only acts of misconduct which occur during normal working hours at the place of employment, but also includes conduct off the job which injures or tends to injure the employer's interests (see Section 1256-33 of these regulations).
EXAMPLE 2. B, a pharmacist, was arrested in B's home and charged with illegal possession of narcotics. Upon return to work, B was suspended and ultimately discharged after being convicted of the charge.
B's discharge is for misconduct as the conduct injures the interests of, and violates the material duty owed to, the employer even though B's activities took place away from the job.
Paragraph (2) of subdivision (b) requires that there be a substantial breach of the material duty owed to the employer. This requires an analysis to determine the severity of the employee's actions. Where the ordinary negligence of the claimant has resulted in the minimal injury to the employer's interests, the breach is not substantial unless the claimant has been previously warned or reprimanded about this type of negligence and has the ability and capacity to perform satisfactorily. Thus, a janitor who negligently fails to empty a wastebasket or dust a desk and is discharged is not disqualified for misconduct unless there had been previous warnings or reprimands for this type of conduct and the janitor has the ability and capacity to perform satisfactorily.
On the other hand, where the employer's interests have been more severely damaged by the grossly or substantially negligent or deliberate acts of the claimant, misconduct may be found even without previous warnings or reprimands for prior similar acts. Typically, such acts usually involve gross negligence or an element of willfulness and are more serious than cases of ordinary negligence. Employees having responsibility for large sums of money or valuable property, or employees whose actions directly affect the safety of themselves or others, are held to a stricter standard of conduct.
EXAMPLE 3. C, a taxi driver, fell asleep while transporting passengers and became involved in an accident with another car. C admitted that prior to the accident, C had not obtained customary sleep and felt tired and that the car heater was on and the windows closed. C asserted that C had not felt tired enough to fall asleep and had no idea that C might fall asleep. C produced no medical explanation of a physical ailment which would cause any sudden sleepiness. The employer discharged C.
C's discharge was for misconduct. Since a motor vehicle is recognized as a dangerous instrumentality, C had a high degree of responsibility to the employer, to the drivers of other automobiles, and to the taxicab passengers who had to rely upon C for safe passage. It is well known that falling asleep is a common cause of automobile accidents. C, as the driver of the taxicab, had an added responsibility in taking proper precautions for C's safe handling of the vehicle. C's failure to take such precautions manifests a high degree of carelessness if not a deliberate disregard of the standards of behavior which the employer had the right to expect of C. C did not deliberately fall asleep but did willfully continue to drive the cab even though C felt tired and was fully aware of what could happen if C were to fall asleep at the wheel.
EXAMPLE 4. D, a registered nurse, changes the dosage of medication administered to a patient without first consulting with a prescribing physician or anyone else with authority to give permission. The employer discharged D.
D's discharge is for misconduct since D was acting negligently in a particularly responsible position.
EXAMPLE 5. E, a normally efficient clerk, fails to file correspondence properly, causing difficulty within the office. E was discharged.
E's discharge is not for misconduct since the incident is an isolated instance of negligence without prior warning.
Paragraph (3) of subdivision (b) requires that the breach be a willful or wanton disregard of the duty owed by the claimant to the employer under the contract of employment. This does not mean that the claimant must deliberately perform the act of misconduct to injure the employer's interests. It means that the claimant knew or should have known that the actions were not in line with the standards of behavior expected as an employee of the employer. Thus, misconduct generally does not exist if the claimant has been merely inefficient, has failed to perform well due to inability or incapacity, or has been inadvertent or ordinarily negligent in isolated instances or good faith errors of judgment or discretion. This is because the element of willfulness is not present. However, this element of willfulness may be found despite acts of ordinary negligence if the claimant has been previously warned or reprimanded for prior similar acts and has the ability and capacity to perform satisfactorily.
Examples of unsatisfactory conduct which usually are not misconduct in the absence of prior warnings or reprimands are isolated instances of tardiness or absence, annoying other employees such as horseplay or joking or excessive conversation or talking at work, or the violation of any minor and less significant rule or standard of behavior.
EXAMPLE 6. F, a pasteurizer at a creamery, failed to pasteurize milk on occasions at proper temperature. F held milk in vats an excessive time, resulting in milk with an undesirable flavor. In one instance, the improper pasteurization caused the spoilage of about three hundred gallons of milk, and a considerable financial loss to the employer. The employer discharged F. Prior to the discharge, F and supervisor had discussed the quality of work. Although F was of the opinion that the work had improved after those discussions, the supervisor believed that F had failed to improve sufficiently to warrant retention of F's services.
F's discharge is not for misconduct since the facts disclose no more than inefficiency or unsatisfactory performance. F did not willfully or intentionally disregard the employer's interests. The occurrences forming the basis for the discharge were not deliberate violations of the standard of good behavior which the employer had the right to expect of F.
A claimant will often be discharged for actions deliberately committed. If an employee deliberately embarks upon a course of action which the employee knew, or reasonably should have known, is substantially injurious to the employer's interests, the employee demonstrates a willful or wanton disregard of the employer's interests. Accordingly, in such cases the determination usually will be that the claimant was discharged for misconduct, even in the absence of prior warnings or reprimands. On the other hand, if the injury to the employer's interests is trivial and inconsequential, and not substantial, such action standing alone, will not usually amount to misconduct, even though deliberate.
Paragraph (4) of subdivision (b) requires that the claimant's actions injure or tend to injure the employer's interests. Acts which tend to injure the employer's interests are acts on the claimant's part that could possibly cause financial loss, or loss of business, property, or customers, and damage incurred such as disruption of production, of normal lines of communication, or control, or discipline. The employer does not have to actually suffer any financial loss or a loss of control or discipline or a slow-down in production by the claimant's actions. It is sufficient if the claimant's actions logically and reasonably injure or tend to injure the employer's interests. This potential injury to the employer's interests may exist even if the claimant's acts are committed away from work. 
EXAMPLE 7. G, a pharmacist, is arrested in G's home and charged with illegal possession of narcotics. Upon return to work, G was suspended and ultimately discharged after being convicted of the charge.
G's discharge is for misconduct even though the act was committed at home and away from the job. G's illegal possession of narcotics was an offense so closely related to G's occupation with the employer as to destroy G's suitability for employment as a pharmacist. The fact that the employer was not tangibly or financially injured by G's arrest and conviction is not relevant in view of the potential injury.
Subdivision (c) states the requirement that there be a causal relationship between the individual's act or acts of misconduct and the subsequent discharge. The discharge must be for misconduct in order for the claimant to be disqualified under Section 1256 of the code. If a substantial motivating factor for the discharge is not an act of misconduct, the discharge is not for misconduct. Additionally, even though the claimant has engaged in acts which are misconduct under this section, condonation may be inferred if the employer does not reasonably promptly initiate procedures to exercise the right to discharge the claimant.
Several situations pose a problem as to condonation. One is where the claimant has engaged in an act of misconduct but is not promptly discharged by the employer. Subsequently, the claimant is discharged for another reason. Unless this other reason amounts to misconduct as defined under this section, the discharge is not for misconduct.
EXAMPLE 8. H, a bookkeeper, embezzled $250 from the employer to keep H's son from going to jail. The employer discovered the embezzlement but in view of the circumstances decided to give H another chance if H agreed to repay the money in weekly payments. Two weeks later the employer concluded that the probability was high that H would again embezzle due to the need for money for the son, and discharged H.
H's discharge is not for misconduct since the direct cause was the employer's conclusion that H would embezzle again. The indirect cause was the prior embezzlement. The fact that H's discharge had an indirect connection with the prior embezzlement does not mean the discharge was for .embezzlement. The direct cause was not an act of misconduct committed by H.
Another situation under subdivision (c) arises when the employer condones an act of misconduct and does not promptly exercise the right to discharge the employee. Later, in a change of mind, the employer discharges the employee for the prior misconduct. Once the prior misconduct has been condoned, it can no longer be the direct cause of discharge. The most frequent act of condonation occurs when the employer fails to promptly discharge an employee.
EXAMPLE 9. J fought with a co-worker while on the employer's premises. This created a strained relationship between the two workers and continued until J's discharge a year later. About nine months after the encounter J attempted to resign but was dissuaded by the employer. A few months later, while J was on vacation, two co-workers, including the one with whom J had previously fought, demanded that J be discharged or accept their resignations. The employer told J not to return to work.
J's discharge is not for misconduct since the basic cause was not the altercation with the co-worker, but rather the ultimatum of the two co-workers. The one-year delay resulted in condonation in view of the employer's reluctance to accept J's previous resignation attempt.
EXAMPLE 10. K was absent from work and failed to give notice to the employer. A month later, K was allegedly drinking during working hours, which led to difficulties with other employees. About a month after the alleged drinking incident, the employer discharged K.
K's discharge is not for misconduct. While there was justification to discharge K for the unreported absence or for the alleged drinking on the job, the discharge was not related to these acts of misconduct. The employer's three-week delay implied condonation of the two known acts of misconduct and there was no causal connection between the acts and the discharge.
The two preceding examples illustrate the need for the employer to make a prompt decision on whether to retain an employee who engages in an act of misconduct. Any delay of longer than a few days implies that the alleged act of misconduct was not the direct cause of discharge. However, it is possible for an employer to initiate procedures promptly to discharge an employee after the misconduct but have the actual termination delayed for reasons beyond the employer's control. This may occur when the collective bargaining agreement requires an employer to follow certain procedures before discharging an employee for cause. Also, the actual discharge date may be delayed due to the necessity of locating a replacement.
EXAMPLE 11. L, a guard, left L's security post early and had another guard punch L's time card out at the regular quitting time. The employer questioned L, but told L to return to work and did not dismiss L. The employer requested a guard from a plant protection service. However, the service could not obtain the needed personnel to fill the order for 13 days. When the service became available, the employer discharged L and told L that the reason was the previous misconduct.
L is disqualified even though the discharge came 13 days after the misconduct. This delay did not amount to condonation since the employer immediately after the incident took steps to interview L and the others involved and initiated arrangements to replace L and did so as soon as the arrangements could be completed.
In another situation a claimant may be discharged for misconduct based upon a prior pattern of misconduct for which warnings or reprimands were given even though the last act of the claimant may not be misconduct by itself (see also Section 1256-36 of these regulations relating to insubordination).
EXAMPLE 12. M repeatedly overstayed M's lunch hours and coffee breaks and was repeatedly warned. M was given one final warning about this activity. M was shown a diagram of the way the employer wanted books displayed for sale. M refused to follow the instructions and was discharged. The employer cited M's record of overstaying rest periods and M's refusal to display books as instructed as the reasons for the discharge.
M's discharge is for misconduct. While the act which finally culminated in the discharge was different from the previous misconduct, M's long record of overstaying rest periods, for which prior warnings were given, indicated that the discharge was for misconduct.
Subdivision (d) states a negative definition of misconduct. A claimant's mere inefficiency, unsatisfactory conduct, a failure to perform well as the result of inability or incapacity, inadvertence or ordinary negligence in isolated instances, or good faith errors in judgment are not misconduct because the basic elements of the positive definition of misconduct are not fulfilled.
EXAMPLE 13. N had a single heated exchange with the employer in which N shouted an offensive and obscene remark after being threatened with a future discharge. N was discharged.
N's discharge is not for misconduct. The conduct was a simple mistake or an error in judgment. This is not a substantial breach of the duty owed to the employer's interests.
The last sentence of subdivision (d) states that a claimant's participation in alleged or criminal actions while away from the place of employment usually is not connected with the work and is not misconduct. However, Section 1256.1 of the code may be applicable; see Section 1256.1-1 of these regulations.
EXAMPLE 14. (See also Example 2 above.) O was discharged from O's job as a janitor at a military base after being arrested and convicted of drunk driving while off duty.
O's discharge is not for misconduct because O was off duty and the acts did not tend to substantially injure the employer's interests.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1256 and 1257, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (e) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256-31. Discharge for Misconduct--Absence from Work.
Note     •     History

(a) Scope. This section relates to discharges for misconduct due to absence from work. Section 1256-30 of these regulations set forth general principles also applicable under this section.
(b) Excused Absences. If an employer has given an employee prior approval for an absence from work, or grants approval when notified by the employee of an absence, a discharge of that employee for that absence from work is not for misconduct unless unusual circumstances are presented.
Employer rules or collective bargaining agreement terms may provide procedures governing requests for extension of a leave of absence. Reasonable steps to substantially comply with such procedures is a duty of the employee, and a discharge for failure to so comply is for misconduct.
An employee who has been granted an indefinite leave of absence for a specific purpose which is accomplished and who thereafter engages in other unauthorized activities for the balance of his or her absence without notice to the employer, may be discharged for this reason. This employee is discharged for misconduct unless there are compelling reasons for the continued absence and the failure to give notice.
If an employee deliberately gives false reasons to the employer to obtain a leave of absence from work and the employee knew or should have known that the leave of absence would not have been approved by the employer had the true reasons for the absence been known, a discharge of the employee for dishonesty in these circumstances is for misconduct.
(c) Unexcused Absences. Except for an isolated instance of a short period of unexcused absence for the first time due to an employee's good faith error in judgment, and except as provided in subdivision (d) of this section, an employee who is discharged by the employer due to the employee's absence from work without prior approval of the employer is discharged for misconduct if any of the following conditions exists:
(1) The employee did not have a real, substantial, and compelling reason for, and continuing during the period of, the absence from work of such nature that a reasonable person genuinely desirous of retaining employment would have been absent from work, and the employer has not condoned the employee's absence by failing to warn or reprimand the employee if prior similar unexcused absences from work have occurred.
(2) The employee has not, personally if reasonably possible or by a reliable agent and with reasonable promptness under the circumstances, notified the employer of the employee's absence from work and the reasons for the absence, where notice to the employer is reasonably feasible, and there is no real, substantial, and compelling reason to excuse the failure to give such notice.
COMMENTS. An employee who is absent from work without prior approval of the employer under circumstances which reasonably justify an inference that the employee intends never to return to work has voluntarily left his or her work, even if the employer later purports to discharge the employee (see Sections 1256-1 to 1256-23, inclusive, of these regulations for interpretations as to whether particular reasons for voluntarily leaving work are good cause for the leaving).
In determining whether a discharge is for misconduct where an unexcused absence is involved, the primary elements are whether the absence was due to compelling reasons, and whether the employee notified the employer in order to protect his or her job or, if not, had compelling reasons for the failure to give notice. A first-time short period of absence generally is not misconduct warranting discharge, unless aggravated by facts imposing an unusual duty in a particular case. Compelling reasons for absence combined with adequate and prompt notice to the employer mean that any discharge based on the absence is not for misconduct. Compelling reasons for absence but an inexcusable failure to give notice to the employer mean that a discharge for the failure to give notice is for misconduct, even though the absence itself is justified by the compelling reasons. Noncompelling reasons for absence justify discharge for misconduct even if prompt notice to the employer is given, unless condoned by lack of prior warnings or reprimands as discussed below.
If compelling reasons for an employee's absence from work exist, as interpreted under subdivision (c) above, prior warnings or reprimands by the employer do not negate the compelling reasons. Prior warnings or reprimands are pertinent, however, if the employee does not have compelling reasons. In that case, since the lack of prior warnings or reprimands by the employer condones a pattern of unexcused absences, the employee's lack of willfulness in violating any duty to the employer is apparent; there is no misconduct. On the other hand, an employer's prior warnings or reprimands for unexcused absences due to noncompelling reasons followed by a repeated similar absence justifies a discharge for misconduct even if the employee notifies the employer of his or her unwarranted absence for noncompelling reasons. Prior notice does not convert noncompelling reasons to compelling reasons, and the employer has not condoned unexcused absences.
A compelling reason for an unexcused absence may also justify failure to give notice to the employer. For example, a death of a member of the employee's family, as defined by Section 1256-9 of these regulations, excuses the absence and also excuses failure to give notice, and there is no misconduct to warrant a discharge.
The employee's obligation to give notice to the employer of the reasons for an unexcused absence include the duty to give continuing notice and the probable date of return to work. For example, an ill employee should tell the employer when the employee expects to recover and return to work, or advise that the employee can return to work only when released by a doctor if such is the case and promptly inform the employer of any change in the circumstances as to return to work.
(d) Incarceration.
(1) A voluntary leaving without good cause exists, and not a discharge, where an individual's employment is terminated due to his or her absence from work for a period in excess of 24 hours because of incarceration and the individual is convicted of the offense or any lesser offense or pleads guilty or nolo contendere. In the following three situations where incarceration and absence from work are involved, however, an individual terminated from his or her work for such absence from work is discharged:
(A) Incarceration for 24 hours or less, including such incarceration where an individual in a narcotics or drug abuse case is diverted to a program of education, treatment, or rehabilitation pursuant to Chapter 2.5 (commencing with Section 1000) of Title 6 of Part 2 of the Penal Code.
(B) Incarceration following conviction for any period in lieu of a fine which the individual is unable to pay due to indigency.
(C) A verdict of not guilty of the offense or any lesser included offense for which the individual was incarcerated.
(2) If any of the circumstances proposed in subparagraphs (A) to (C) of paragraph (1) of this subdivision exists, any failure by the individual to give notice to the employer of absence from work, as required by paragraph (2) of subdivision (c) of this section, is ordinarily excusable since the dominant motivation of an incarcerated person is to obtain release from incarceration as soon as possible.
COMMENTS. The basis for disqualification under Section 1256 of the code requires a distinction between voluntary leaving of work and a discharge. An individual who voluntarily commits and is convicted of a crime for which a fine is imposed but who is indigent and unable to pay the fine and is thereupon incarcerated in essence loses his or her job when discharged for absence due to incarceration because of indigency and not due to the voluntary criminal act. The act is voluntary, but the failure to pay is involuntary. But for the individual's involuntary indigency, there would have been no incarceration and no absence from work despite the commission of a crime. Similarly, the individual who has been found not guilty of the offense or any lesser included offense charged has been incarcerated involuntarily through no fault or action on his or her part and has not voluntarily left the work. In these situations then, the termination from employment due to involuntary incarceration and absence from work is a discharge, the reasons for discharge do not constitute misconduct, and the individual is not disqualified unless there has been an inexcusable failure to notify the employer where it was reasonably feasible to give such notice and a reasonable person would have given notice of absence from work.
This section does not deal with situations in which an employee is discharged due to the commission of an illegal act itself, rather than for absence from work caused by incarceration due to the illegal act. For discussion of discharge due to an illegal act itself, see Section 1256-43 of these regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1256 and 1256.1, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Change without regulatory effect of subsection (d) (Register 87, No. 40).
§1256-32. Discharge for Misconduct--Duty to Employer.
Note     •     History

(a) Scope. This section relates to discharge for misconduct in connection with the most recent work based upon acts or statements of an employee detrimental to the employer's interests. Section 1256-30 of these regulations sets forth general principles also applicable under this section.
(b) Employee's Duty Toward Employer. An employee owes an implicit duty to support and serve the employer's interests and not to willfully or wantonly engage in acts or statements which evince an attitude of disregard of the employer's interests. Except in aggravated circumstances, ordinarily the first instance of an employee's isolated willful or wanton act or statement showing disregard of the employer's interests would not be sufficiently substantial to constitute misconduct. If the employee continues the acts or statements after warning or reprimand, his or her conduct viewed as a whole may constitute a willful and substantial breach and justify a discharge for misconduct, particularly if the repeated acts or statements occur within a relatively short span of time.
(c) Types of Acts or Statements. An employee who makes disparaging statements concerning his or her supervisor, the employer, or the employer's product, service or business, or who deliberately incites or agitates co-employees to damage the employer's premises, equipment or materials, has engaged in acts which may be misconduct. Mere griping or normal complaints through proper channels, or in a customary manner about some aspect of the work, however, does not injure or tend to injure the employer's interests, and may even be desirable or encouraged by the employer as a method to improve work conditions and employee morale. Proper channels for complaints ordinarily would be through an employee's immediate supervisor, or a grievance committee if one exists or in accordance with any applicable collective bargaining agreement procedure. Bona fide union activities not in violation of the employer's rules are not grounds for a discharge for misconduct.
EXAMPLE 1. An employee argued at work with a co-employee about a work assignment. The employer reprimanded the employee who responded that “if the employer would stay around there would not be any trouble.” The remark was not in the presence of others. The employer discharged the employee for this remark.
While the remark showed a lack of good judgment, there was no substantial harm to the employer's interests. There was no misconduct.
(d) Aid to Competition. An employee who deliberately aids the employer's competitor, for example, by sending customers to the competitor, except as an accommodation allowed by the employer, or giving the competitor confidential business information, lists of customers or trade secrets, has engaged in misconduct. If an employee, without the knowledge and approval of his or her employer, accepts work for a competitor, the employee has engaged in misconduct. An employee who, while working for the employer, diverts customers to the employee's own independent business, has engaged in misconduct. However, an employee who merely discusses with co-employees an intention to engage in his or her own independent business in the future has not engaged in misconduct, even if the discussion continues after a warning from the employer, if there is no disruption of the employer's business or dissatisfaction among employees caused by this activity.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-33. Discharge for Misconduct--Connected with Most Recent Work.
Note     •     History

(a) General. This section interprets when a discharge for misconduct is or is not “connected with” the most recent work under Section 1256 of the code. A claimant who has been discharged from work for misconduct is disqualified under Section 1256 of the code only if the misconduct is “connected with” his or her most recent work (see Section 1256.3 of the code and Section 1256-2 of these regulations for definition of most recent work). Misconduct is connected with work if the activity involved injuries or tends to injure the employer's interests. This connection or lack of connection is usually easily determined or apparent when the activity is on the job. Situations which present problems are treated in the following interpretations. For additional related discussion, see Section 1256-43 of these regulations.
(b) Off-the-Job Activity.
(1) Usually, the off-the-job activity of an employee does not injure or tend to injure the employer's interests. If there is no injury or potential injury to the employer's interests, the employer cannot reasonably impose the employer's standards of behavior on an employee during his or her off-duty time. However, there are off-the-job situations where the interests of an employer are either injured or tend to be injured by the conduct of an employee during these off-duty periods, usually involving illegal or criminal activity.
EXAMPLE 1. A, an official of a local bank, is arrested and convicted for theft. The bank's business reputation is damaged. This would be so even if the theft was not from the bank and committed during off-duty hours. On the other hand, the off-duty theft by a janitor of this same bank would have little effect on the bank's reputation and public trust and confidence in this bank.
A discharge of the bank official would be for misconduct connected with the work. A discharge of the bank's janitor would not be for work-connected activity.
EXAMPLE 2. B, a pharmacist, was arrested at B's home for the illegal possession of various drugs. When B disclosed to the employer that the arrest was valid because B had possessed such narcotics, the employer discharged B.
B's discharge is for misconduct connected with B's job because it tended to injure the interests of the employer and there was a substantial breach of the duty owed by B to the employer. B knew, or should have known, the laws governing the possession of narcotics and B's responsibility as a dispenser of drugs and narcotics upon prescription. B's role as a registered pharmacist required that B not engage in any activity which would lessen the public faith and confidence in the employer's pharmacy.
EXAMPLE 3. C, a janitor, was arrested during C's off-duty hours for drunk driving. Upon returning to work, C was discharged.
C's discharge is not for misconduct connected with C's most recent work. There was no duty owed to the employer's interests.
(2) While the off-the-job conduct which creates problems is usually illegal or criminal activity, other behavior by an employee may injure or tend to injure the employer's interests.
EXAMPLE 4. D was a camp counselor for youth camps. The employer had warned D to avoid conduct which might reflect on D's qualifications to guide youth. The employer discharged D because of adverse community reaction and protests to D's frequent patronage of a pornographic retail sales outlet.
D's discharge is for misconduct connected with the work since the employer's interests in a favorable business reputation were injured by D's off-duty conduct.
EXAMPLE 5. E, a professional tennis athlete, had agreed with the employer, who had engaged E's exclusive services, not to engage in hazardous participation in contact sports activities. The employer discharged E when E engaged in rough-and-tumble football.
E's discharge is for misconduct connected with the work since the employer's interest in E's unique athletic services was seriously affected by E's off-duty conduct, even though no injury to E in fact occurred.
(c) Pre employment Activity.
(1) In situations involving pre employment activity, the claimant is discharged for conduct occurring before the employment relationship was begun. Usually this is not connected with the most recent work.
EXAMPLE 6. F was hired by Taxi Cab Company X. F was stopped for a traffic violation while driving on duty and cited by a police officer. Company X found that F had been drinking prior to the traffic violation and discharged F. Shortly after, F was hired by Taxi Cab Company Y. In the first week with Company Y, the police department revoked F's probationary driver's permit. Company Y then discharged F since F lacked a permit to drive a vehicle.
F's discharge by Company Y is not for misconduct connected with F's most recent work since the misconduct occurred while employed with a prior employer, Company X. (Note: Although there is no discharge for misconduct, F's actions raise an issue of “constructive voluntary leaving” from the last job with Company Y without good cause. See Section 1256-1 of these regulations.)
(2) In other situations, a claimant's pre employment activity may be the basis for a newly-hired employee to be denied insurance or a surety bond. In such cases, if there are no alternative means for insuring or bonding the employee, a subsequent discharge for lack of a bond or insurance policy is not connected with the work. However, if the claimant has falsified his or her work application and concealed information which would have precluded the initial hiring, the discharge may be for misconduct (see Section 1256-34 of these regulations).
(d) Garnishment of Wages. A discharge because an employee's wages are garnisheed by a creditor is not for misconduct connected with the work unless all of the conditions set forth in Section 1256-35 of these regulations are met.
(e) Union Disputes.
(1) A discharge may be caused by a dispute between an employee and a union. This usually occurs in the context of a collective bargaining agreement which provides that an employee must be discharged after having been expelled or suspended from the union. If this is the only reason for the discharge, there is no misconduct regardless of the underlying reason for the expulsion or suspension from the union. However, if the employer would have discharged the claimant for the misconduct even if there had been no expulsion or suspension by the union, then the discharge for misconduct is connected with the most recent work.
EXAMPLE 7. G was expelled from the union after another union member filed charges against G. Under the provisions of the existing collective bargaining agreement, the employer discharged G.
G's discharge is not for misconduct connected with the most recent work since it was caused by difficulty between the union and G and was not a breach of a duty owed to the employer. 
Note: Although the example is not a discharge for misconduct, a “constructive voluntary leaving” issue exists. See Sections 1256-1 and 1256-41 of these regulations.)
EXAMPLE 8. H while at work started an argument with H's supervisor, a union official, concerning union policies. H struck and injured the supervisor, without provocation. The supervisor was unable to continue working and left work. The union promptly expelled H. Under the provisions of the collective bargaining agreement, the employer discharged H.
H's discharge is for misconduct connected with the most recent work, since the employer's interests in orderly work behavior and discipline are damaged and H would have been discharged for the violation had not the discharge been required under the collective bargaining agreement.
(2) The issue of connection with the work arises also when there is a trade dispute. During such a dispute the employer-employee relationship is merely suspended and not terminated. If the claimant has engaged in misconduct which injures or tends to injure the interests of the employer, the connection between the misconduct and the most recent work is present. Any standards of behavior which the employer has the right to expect, or any duty or obligation owed the employer by the employee, continue during the trade dispute.
EXAMPLE 9. During a strike called by J's labor union, J threw rocks at nonstriking employees as they entered and left the premises. Upon completion of the strike the employer denied reinstatement to J.
J's discharge is for misconduct because J's acts were designed to interfere and annoy the nonstriking workers and thus interfere with the employer's operations. The conduct was not excused by the trade dispute.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (d) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256-34. Discharge for Misconduct--Dishonesty.
Note     •     History

(a) Scope. This section relates to discharge for misconduct in connection with the most recent work based upon an employee's dishonesty. “Dishonesty” includes such acts and statements as lying, theft, making false entries on records, and other actions showing a lack of truthfulness and integrity. “Dishonesty” includes both criminal and noncriminal dishonest acts and statements. Section 1256-30 of these regulations sets forth general principles also applicable under this section.
(b) General. An employee who has engaged in dishonest acts or statements connected with the most recent work and for that reason is discharged has been discharged for misconduct even though other employees engaged in similar past acts or conduct or the employee has previously successfully engaged in substantial dishonesty without reprimand or warning or the employer has no specific rule forbidding dishonesty. Dishonesty does not exist if the employee's act or statements arise from a good-faith misunderstanding between the employer and employee where a reasonable person would not have interpreted the acts or statements as dishonest under the circumstances.
An employee who willfully urges or aids another person to engage in a dishonest act which injures or tends to injure the employer's interests, or in a dishonest statement which is intended to and does cause or threaten substantial economic damage to the employer or a substantial threat to the health or safety of the employer, has engaged in dishonesty and misconduct even though the dishonest act or statement is committed or made by the other person. An employee who willfully fails to report to the employer the dishonest acts or statements of a co-employee causing substantial harm to the employer has engaged in dishonesty. No duty usually exists to report a dishonest act or statement if the effect is minor and insubstantial. An example is the pilfering of the employer's property of little value such as a pencil. However, supervisory employees or guards charged with a duty to prevent any acts of dishonesty must prevent even minor and insubstantial acts or report such acts to the employer if they occur.
EXAMPLE 1. X observed a co-employee steal a stack of paper money from the employer's cash till. X did not report the theft to the employer. The employer discharged X for this failure.
X has engaged in dishonesty by failing to report a theft of a co-employee causing substantial harm to the employer. The discharge is for misconduct.
(c) Cash.
(1) Shortages. Cash shortages refers to an employee's loss of the employer's money without intent to convert or the conversion of the money to the employee's own use. Cash shortages arise from an employee's misconduct only where the employee fails to follow a rule of the employer for handling cash or the employee has shown negligence of such degree or recurrence as to show an intentional and substantial disregard of the employer's interests or of the employee's duties and obligation to the employer. If negligence is involved, including a failure to follow a rule of the employer for handling cash, prior warnings or reprimands are relevant to the degree or recurrence of negligence. If an employee acts in good faith and to the best of his or her ability in handling the employer's cash, a loss is ordinarily attributed to inefficiency, inability, incapacity, or good-faith errors in judgment or discretion, or some combination of these factors, and not to misconduct. An employee's inexcusable failure to report known cash shortages where the employee is responsible for the handling of the cash is misconduct.
(2) Misappropriation. Cash misappropriation refers to an employee's willful taking or withholding the employer's money with the intent to convert or the conversion of the money to the employee's own use. Cash misappropriation is misconduct regardless of whether there have been any prior warnings or reprimand for similar prior conduct or whether there is any employer rule against theft.
(d) Conversion of Other Property. An employee's theft or unauthorized possession or use of noncash property of the employer, other employees, or customers is misconduct. An employee who reasonably believes he or she is authorized to possess or use the employer's noncash property engages in misconduct if he or she refuses to return such property to the employer or other person upon request.
(e) False Work Records or Statements About Co-workers, Employer, Work. An employee who willfully makes false statements which relate to work records, co-employees, the employer or the work, and which substantially injure or tend to injure the employer's interests or are a substantial violation of the employee's duty and obligation to the employer has engaged in misconduct. False statements are willful when made with the employee's full knowledge of falsity, or made when the employee does not believe the statement is true, or made carelessly when the employee does not care whether the statement is true or not and has no basis for believing that the statement is true. Examples of false statements include, but are not limited to:
(1) Giving false reasons for absence from work to induce the employer to grant a leave which would not have been granted had the true reasons been given.
(2) Making malicious false statements, more serious than common gossip, about the employer or co-employees which cause customers to withdraw patronage, or damage employee morale or cause serious friction between employees.
(3) Representing that the employee has performed a task when he or she has not done so, resulting in a reasonably foreseeable substantial injury or potential injury to the employer's interests.
(4) Submitting false work time reports, false travel expense claims, or false reports of the employer's income or expenditure of the employer's money.
(5) Making false statements on work applications concerning information reasonably and materially related to the selection of qualified applicants for the job or the employer's interests.
COMMENTS. Under subdivision (e)(5) relating to false work applications, provisions of California codes may govern the questions an employer may legally ask prospective employees. For example, Section 432.7 of the Labor Code prohibits asking an employment applicant for information concerning an arrest which did not result in conviction except for certain peace officer or law enforcement positions, certain positions at health facilities for specified criminal charges, and instances where the applicant is out on bail or on his or her own recognizance pending a trial of a criminal charge.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-35. Discharge for Misconduct--Garnishment of Wages.
Note     •     History

An employee's discharge due to the garnishment of his or her wages causing a disruption to or a burden on the employer is a discharge for misconduct if all of the following conditions are met:
(a) The employee's wages have been previously garnisheed for a different judgment on a different debt while employed by the discharging employer.
(b) The employee has been expressly forewarned by the employer's rules, prior warnings, or prior reprimands, of the possible action to be taken by the employer resulting from a writ of garnishment for a different judgment.
(c) The employee knew or could reasonably know that a wage garnishment would be instituted for a different judgment by a creditor.
(d) The employee has not made a good-faith effort to meet his or her financial obligations or the employee has made a good-faith effort to meet obligations but failed to take reasonable action that would have prevented the garnishment for a different judgment.
COMMENTS. Subdivision (a) recognizes that a claimant cannot be lawfully discharged under state or federal law if the garnishment results from a single judgment or indebtedness (Labor Code Section 2929; 15 U.S.C. 1674). Thus, a discharge because of one or more garnishments on a single debt or judgment is not for misconduct. However, when a claimant has had wages attached for two or more debts, the specific facts leading to the discharge are determinative on whether the discharge was for misconduct.
Under subdivision (b), unless a claimant has been expressly forewarned by the employer of the possible action the employer may take resulting from a wage garnishment, the discharge is not for misconduct. The employer's rules or any prior warnings or reprimands show that the claimant was aware of the possible discharge resulting from a wage garnishment. If there is no such forewarning, the discharge is not for misconduct, since there is no willful or wanton disregard of the employer's interests.
EXAMPLE 1. A is separated from employment with X. While unemployed a writ of attachment is filed against A with X. Upon returning to work, A is not informed of the attempted garnishment and is rehired by X. Another creditor executes a writ of attachment with X on A and X discharges A.
A's discharge is not for misconduct since A's action was not willful because A was not aware of X's policy or rules on wage garnishments and had not been warned that A would be discharged if repeated garnishments occurred.
COMMENTS. Under subdivision (c), a claimant must know or be charged with reasonable knowledge that a garnishment could be instituted against him or her. This knowledge is generally acquired when a debt has been incurred and the creditor has sought payment from the claimant.
EXAMPLE 2. B is employed by Y. After a prior garnishment for another debt of B's, a writ of attachment is executed by a collection agency for unpaid attorney's fees. Y discharges B. B claims that B had the understanding that B's spouse would liquidate this debt.
B's discharge cannot be for misconduct since B could not reasonably know that a writ of attachment could be instituted against B and did not act willfully.
COMMENTS. Under subdivision (d), if a discharged claimant tries in good faith to meet his or her financial obligations and succeeding garnishments for a different debt still result from circumstances the claimant cannot prevent by any reasonable action or conduct, the discharge is not for misconduct. No misconduct would exist if an impatient creditor resorted to garnishment, or if the claimant was financially unable to pay or make satisfactory arrangements despite his or her best efforts. However, if the claimant fails to stop garnishment when reasonable action would have prevented garnishment, a discharge is for misconduct.
The nature of the purchase resulting in the garnishment is rarely significant in determining misconduct. The fact that a garnishment stemmed from the purchase of a luxury item does not usually establish misconduct. However, if a claimant has had several garnishments, has been warned that another garnishment for a different judgment can result in discharge, and still creates a frivolous new debt which results in garnishment, the claimant's actions are not those of a reasonably prudent person who wants to preserve employment. Reasonable conduct by the claimant would have prevented the garnishment.
EXAMPLE 3. C makes arrangements to pay C's creditors but a succeeding wage attachment for a different debt is nevertheless levied by an impatient creditor who had agreed to the arrangements.
C's discharge resulting from this garnishment is not for misconduct since C made good-faith efforts but could not prevent the garnishment.
EXAMPLE 4. D suffers a substantial loss of income, such as a wage cut, demotion, new job paying less money, or loss of outside income. D after prior garnishments fails to keep up with reduced payments.
D's discharge for garnishment on a different debt does not constitute misconduct if D has explained the situation to the creditors, tried to make satisfactory arrangements, and cannot prevent further garnishments by any reasonable steps.
EXAMPLE 5. E is unable to meet debts due to a serious family illness requiring a large financial outlay. Creditors decide to levy wage garnishments on separate judgments despite E's attempts to make satisfactory arrangements. E is discharged.
E's discharge is not for misconduct since no reasonable action could have prevented the garnishments.
EXAMPLE 6. F has been warned by Employer Z on several occasions that continued wage attachments on different debts would result in discharge or other disciplinary action. During a period of six months, four writs of attachment had been served on Z, and two wage assignments were made. At least twice, F took time off from work to arrange to have F's wages released. F had repeatedly obtained an immediate release of F's wages by paying the amounts due. F is able to make timely payments. Z finally warns F that another attachment will result in discharge. Upon service of the next attachment, Z discharges F.
F is disqualified for misconduct based on F's awareness of the existence of F's indebtedness and the possibility that the creditors would take steps to insure collection. F was able to pay and could obtain immediate release of F's wages by making arrangements with the creditors. F could have prevented the garnishment by reasonable action.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (a) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256-36. Discharge for Misconduct--Insubordination.
Note     •     History

(a) This section relates to discharge from the most recent work for misconduct due to insubordination. Section 1256-30 of these regulations sets forth general principles also applicable under this section.
(b) Implicit in the agreement of hire is the concept that an employee is subject to some degree of authority exercised by the employer or the employer's representative. An employee is insubordinate if he or she intentionally disregards the employer's interest and willfully violates the standard of behavior which the employer may rightfully expect of employees in any of the following ways:
(1) Refuses, without justification, to comply with the lawful and reasonable orders of the employer or the employer's representative. Compliance is not required in the following circumstances:
(A) The order is unreasonable because compliance is impossible for the employee due to reasons such as physical limitations which are peculiar to him or her and, if the reasons are not apparent, are made known to the employer or the employer's representative.
(B) The order is unreasonable because compliance would impose a new and unreasonable burden on the employee.
(C) The order is unreasonable because it does not relate to or affect the employer's business interests.
(D) The employee reasonably and in good faith believes compliance would result in a violation of the law, objects or makes a reasonable effort to object to the employer, and the employer makes no reasonable effort to explain the basis for the order to the employee. Whether compliance with the order would be a violation of the law is not determinative.
(E) The employee reasonably believes compliance with the order would cause an undue risk of injury or illness (see Section 1256-15 of these regulations).
(F) The employee has a reasonable and good-faith doubt of the authority of the individual issuing the order.
(2) Commits an act which exceeds the authority either expressly granted by the employer or impliedly created by failure of the employer to object to a particular course of conduct, except that insubordination does not exist under any of the following circumstances:
(A) The employee's act is incidental, accompanies, or is reasonably necessary to accomplish an authorized duty.
(B) The employee reasonably believes the act is necessary to prevent substantial loss to the employer's interests and it is impracticable for the employee to communicate with the employer or the employer's representative.
(C) The employee makes a good-faith error in judgment.
(3) Makes a statement or remark, which is not the result of an error in judgment, under the circumstances which damage or tend to damage the employer's interest.
(4) Addresses vulgar, profane, insulting, obscene, derogatory, or offensive language of a vile nature toward the employer or the employer's representative when such remarks are unjustified under the circumstances, and not within the normal exchange and customary good-natured banter between the employer or the employer's representative and the employee.
COMMENTS. Generally, insubordination requires cumulative acts with prior reprimands or warnings. However, a single act without prior reprimands or warnings can be insubordinate if the act is substantially detrimental to the employer's interest. If an employee is discharged after an act of disobedience of an employer's reasonable order and that act is not of itself misconduct but is part of a prior pattern of cumulative acts of insubordinate conduct, the employer must have given prior reprimands or warnings for the acts in the prior pattern in order for the ultimate discharge to be for misconduct (see Example 12, Section 1256-30 of these regulations).
Under paragraph (1) of subdivision (b), the element of willfulness exists if the employee has a basic understanding of the order and knowingly fails to comply. The employee need not thoroughly comprehend the order, but merely understand the essence of the act expected.
EXAMPLE 1. A was employed as a paint and processing utility person. Five times A refused to dust fire extinguishers because A reasonably believed that the work was outside A's job classification. The employer discharged A. Although A's job classification did not specify that A was to dust fire extinguishers, neither did it specify that A was to perform other duties which A readily performed. Six other employees with the same classification did dust their fire extinguishers.
The instructions to A were not unreasonable or unlawful. A deliberately refused to obey after having been warned of the serious consequences. A was discharged for misconduct due to insubordination.
COMMENTS. The following example is applicable to paragraph (1) (B) of subdivision (b), which excuses an employee's noncompliance with an employer's order if the order imposes a new and unreasonable burden on the employee.
EXAMPLE 2. B was hired by a steel supply company as an outside salesperson on a straight commission basis. After a desk order clerk resigned, B's employer assigned the outside salespeople to work on the desk on a rotational basis without compensation. On several occasions B refused to accept the assignment because B's earnings would be reduced by the lack of contact with customers. Consequently, the employer discharged B.
B's failure to comply with the order was not misconduct due to insubordination because the order imposed a new and unreasonable burden on B.
COMMENTS. Under paragraph (1)(C) of subdivision (b), the employee does not have to comply with his or her employer's orders if they are unrelated to the employer's business interest. The employer's control of his or her employees is not absolute. (For additional interpretation of the employer's business interest and reasonableness of employer rules, see subdivision (b) of Section 1256-13 of these regulations.)
EXAMPLE 3. C, who is interested in entering business on C's own behalf, discussed with three other employees the possibility of organizing a new company. The employer told C to forget the idea of starting C's own business and to cease discussions with the other employees. C refused to comply. The employer discharged C.
C's failure to comply did not constitute misconduct due to insubordination, since C's activities did not disrupt the employer's operations.
COMMENTS. Paragraph (1)(D) of subdivision (b) limits the duty of the employee to obey the employer's order if the employee reasonably believes the order is not consistent with the law and so advises the employer who has an opportunity to explain. If the employee concludes solely on his or her own judgment that an order is illegal and does not object to the employer as to the legality of the order, a discharge for noncompliance with the order is for misconduct due to insubordination.
EXAMPLE 4. D was in charge of hiring and firing for D's employer. The employer ordered D to fire a certain employee but did not explain that the employee was to be fired because of lack of work. Because the employee was a good worker, D thought the reason was that the employee was a union member. D believed this would be a violation of the National Labor Relations Act but did not make this objection known to the employer. D refused to fire the employee. The employer discharged D.
D's discharge was for misconduct due to insubordination since the employer was never told of D's objections as to the legality of the order. Whether the order was or was not lawful is immaterial.
COMMENTS. Under paragraph (1)(E) of subdivision (b), the employee does not have to in fact sustain injury if he or she complied with the order. If the employee had a reasonable belief that he or she would sustain injury, then refusal to comply with the order would not be misconduct.
EXAMPLE 5. E was assigned to work which E considered unsatisfactory and detrimental to E's health. E requested a transfer but the employer took no action. E's supervisor asked that E perform certain duties which, as far as E knew, required stooping. E refused to comply with the requests because E was under a physician's care for an ailment which E felt would be aggravated by excessive stooping. The employer discharged E.
E's conduct was not misconduct due to insubordination since E's belief that E would be injured was reasonable.
COMMENTS. Under paragraph (1)(F) of subdivision (b), if the employee's doubts were reasonable, then he or she cannot be discharged for misconduct.
EXAMPLE 6. F, a practical nurse, failed to comply with instructions given to F by another nurse, not knowing that the superintendent issued the order. F refused to follow the instructions because F had been instructed to perform a certain task by the superintendent and did not believe the employee had any authority to countermand orders of the superintendent. F did not inquire as to the extent of the nurse's authority. On a prior occasion an instruction by this employee to F had been countermanded by the superintendent. F had never been informed that the employee occupied a position of authority higher than F's own. The employer subsequently discharged F.
F's discharge was not for misconduct due to insubordination, because F had good reason to doubt the validity of the order given to F.
COMMENTS. Paragraph (3) of subdivision (b) refers to those instances where the employee openly ridicules or openly engages in a dispute with the employer or the employer's representative thereby damaging the employer's interests. Damage in this context includes deterioration of employer control over workers, and negative effects on employee morale or the public or customers of the employer.
Damage occurs when the manner in which an employee disputes with the employer or employer's representative or the time and place of the dispute is inappropriate, especially if there have been prior reprimands or warnings to discontinue such conduct. For instance, insubordination exists when an employee refuses to comply with a reasonable directive and ridicules or engages in a heated argument with the employer or the employer's representative in the presence of the general public, customers or other employees. Threats of violence, insults to the employer or the employer's representative, or remarks made to create dissension among the employees damage the employer's interests because of their negative effect on public reaction, company morale and employer control.
EXAMPLE 7. G, a grocery store wrapper, engaged in a heated argument with G's immediate supervisor on the sales floor after the supervisor had requested that G work a few minutes overtime. G had refused to do so on numerous occasions. This resulted in arguments between G and the employer, often in the presence of customers. The employer discharged G.
G's discharge was for misconduct due to insubordination. The supervisor's request that G work a few minutes overtime did not warrant G's engaging in heated argument with the supervisor in the presence of customers.
COMMENTS. Under paragraph (3) of subdivision (b), not all exchanges between employer and employee result in discharge of the employee for misconduct. In the normal working situation there is a degree of “give and take” between the employer and employee. Ridicule, if used in the joking, kidding sense is not misconduct unless such actions are repeated after warnings or reprimands. Differences of opinion, disagreements, and misunderstandings arise, and participation in such discussions is not misconduct. The circumstances under which the argument or remarks were made are taken into consideration. An isolated instance of an error in judgment is not misconduct.
Under paragraph (4) of subdivision (b), in determining if vulgar or profane language constitutes misconduct, one must examine the normal practices in the establishment where the employee is employed and the circumstances under which the remarks were made. Language used in a machine shop or a warehouse may not be appropriate language in a bank, department store or government office. The normal exchange among workers differs according to the occupation.
Vulgar language is also used among employees as friendly banter. However, the common and friendly banter of vulgar language between co-workers constitutes insubordination if directed to a supervisor, unless there was a prior relationship between the supervisor and employee which allowed such friendly banter.
The circumstances under which the employee made the remarks are also taken into consideration.
EXAMPLE 8. H was having emotional problems of which H's supervisor was aware. H was also being trained for new and unfamiliar work. One day, while H was engaged in a heated argument with H's employer, H addressed the employer with vulgar language. The employer discharged H for using such language.
Given the circumstances, the single instance of an outburst by H was a mere mistake and error in judgment, and did not constitute misconduct due to insubordination.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-37. Discharge for Misconduct--Intoxication and Use of Intoxicants.
Note     •     History

(a) This section relates to discharges from the most recent work for misconduct due to intoxication or the use of intoxicants. Section 1256-30 of these regulations sets forth general principles also applicable under this section.
(b) Except as provided in subdivision (c) of this section, an employee's conduct constitutes misconduct due to intoxication or the use or consumption of intoxicants if any of the following occurs:
(1) He or she is intoxicated at the time he or she reports to work or returns to work following a lunch or rest period or similar break period. As used in this subdivision, “intoxicated” means under the influence of any intoxicant to the extent that a reasonable observer would conclude that there is a significant adverse effect upon an individual's normal ability, skill, or competence to perform the usual duties of the work assigned.
(2) He or she uses or consumes any intoxicant other than alcohol during a lunch or rest period or similar break period.
(3) He or she uses or consumes any intoxicant during working hours.
(4) He or she uses or consumes alcohol during a lunch or rest period or similar break period after prior warning or notice of an employer rule that use or consumption of alcohol during such break periods will result in discharge.
(5) He or she reports to work not intoxicated but with offensive physical effects due to the use or consumption of any intoxicant which adversely affects his or her ability or performance on the job, after receiving at least one warning or reprimand.
(c) An employee's discharge is not for misconduct due to intoxication or the use or consumption of intoxicants if the intoxication-induced behavior was the product of an irresistible compulsion to use or consume intoxicants or a total inability to abstain from the use or consumption of intoxicants, or if the use or consumption of intoxicants was permitted or condoned by the employer.
(d) For purposes of this section, “intoxicant” includes:
(1) Any alcoholic beverage or distilled spirit.
(2) Any drug or other substance included in Sections 11054, 11055, 11056, 11057, and 11058 of the California Health and Safety Code, when not medically prescribed by a licensed physician for medical treatment.
COMMENTS. This section generally relates to intoxication or the use of intoxicants on the job. However, if an employee's off-duty activities injure or tend to injure the employer's interest then the employee may be discharged for misconduct.
EXAMPLE 1. A, a janitor, was arrested for drunk driving while off duty. The employer discharged A.
A's off-duty intoxication did not relate to A's work performance and did not substantially injure or tend to injure the employer's interest. Therefore A's conduct did not constitute misconduct due to intoxication.
COMMENTS. Under subdivision (b), use or consumption of any intoxicant while on the job, or any intoxicant except alcohol during break periods at work, constitutes misconduct if in violation of an employer rule or in willful disregard of a standard of behavior which the employer has the right to expect. Reporting to work or returning to work after breaks intoxicated is misconduct. Prior reprimands or warnings or notice of an employer rule are necessary for alcohol use or consumption during work breaks to be misconduct, but are not necessary for other intoxicants where the use or consumption is illegal and the violation or breach is substantial.
This subdivision also recognizes the exception under subdivision (c) that in certain occupations, using or consuming intoxicants on the job may be permitted or condoned. For instance, it is common for a bartender to have a drink with his or her customers. However, if the use or consumption of intoxicants on the job is uncommon to the occupation, it is misconduct if the other conditions are met.
Paragraph (5) of subdivision (b) refers to circumstances where physical effects of the use or consumption of intoxicants affect the employee's performance of his or her duties on the job. For instance, the odor of liquor on an employee's breath would interfere with an employee's performance on a job which entails close contact with the public, such as a dental assistant, or salesclerk. Offensive physical effects due to the use of intoxicants may also interfere with an employee's ability to perform his or her duties.
EXAMPLE 2. B's job as a food checker entailed handling large sums of money and meeting the public constantly. On one occasion when B was not at B's post at the appointed hour, the acting manager went to the back of the store to look for B. The manager found B with bloodshot eyes, wrinkled clothes, liquor on B's breath, and a sleepy appearance. On prior occasions B had been warned that reporting to work late and in such condition would result in a discharge. The employer discharged B.
B had a duty to arrive at work in proper physical condition and ready to work. B's conduct was misconduct due to the use of intoxicants.
COMMENTS. Subdivision (c) recognizes that an employee's discharge is not for misconduct due to intoxication if the intoxication-induced behavior was the product of an irresistible compulsion to drink or use intoxicants
EXAMPLE 3. C was a ramp service person for an airline. C was discharged because of chronic absenteeism. C's absenteeism was caused by chronic intoxication which was ascribed to alcoholism.
Because an essential element of misconduct is the volitional “willful and wanton” test, C's intoxication-induced behavior was a product of an irresistible compulsion to drink and therefore C's behavior was neither willful nor wanton. C's acts did not constitute misconduct due to intoxication.
COMMENTS. This section recognizes that intoxication or the use or consumption of intoxicants includes not only alcoholic beverages but also drugs or controlled substances.
EXAMPLE 4. D was a taxi driver. On several occasions D's supervisor had observed that D acted as though D was under the influence of alcohol or drugs. D's supervisor confronted D and warned D that D must come to work able to perform D's duties effectively. D stated that D had taken a drug before coming to work to calm D's nerves. D was not addicted to the drug. When D again arrived at work apparently under the influence of an intoxicant, the employer discharged D.
D had a duty to arrive at work ready to perform D's duties effectively. The drug D took was not prescribed by a physician for medical treatment. D's conduct constituted misconduct due to intoxication.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-38. Discharge for Misconduct--Manner of Work Performance.
Note     •     History

(a) Scope. This section relates to whether misconduct exists under Section 1256 of the code where an employee is discharged for neglect of duty or failure to perform the assigned work properly. Section 1256-30 of these regulations set forth general principles also applicable under this section.
An individual's failure to perform work properly or neglect of duty is willful and misconduct if he or she intentionally, knowingly, or deliberately fails to perform, or performs in a grossly negligent manner, or repeatedly performs negligently after prior warning or reprimand and in substantial disregard of the employer's interests.
EXAMPLE 1. Deliberate Failure. A was employed by a large winery. A was assigned to assist the operator of a filter pump in transferring wine to an empty vat. A's known duty was to attach the end of the hose to the intake valve of the tank and then to check the lower valve to see that it was closed. A and other employees, however, had devised an alternate form of operation which was at variance with the one prescribed by the employer. In performing this transferring operation, A failed to check the lower valve and several hundred gallons of wine were lost before it could be closed. The employer discharged A.
A's action was deliberate and was misconduct.
(b) Intentional, Knowing, or Deliberate Failures. Some of the situations in which intentional, knowing, or deliberate failures of work performance occur are failures in quality or quantity of work or in relationships with the public.
(1) Quality of Performance. Ordinarily inability or incapacity to perform the job or inefficient performance is not misconduct. However, misconduct exists if inability, incapacity, or inefficiency is due to one's willful failure to perform to the best of his or her abilities. Thus, if an employee's inadequate performance is the result of circumstances within his or her control and he or she does nothing to improve the performance, there is a willful failure to perform adequately which is misconduct. An employee's inefficiency may be misconduct if he or she previously demonstrated the ability to do better, work performance has substantially deteriorated, and there is no reasonable explanation for the deterioration.
EXAMPLE 2. Deliberate Inefficiency in Quality. B was a precision assembler who was discharged from employment. For the first three years of employment, B's work had been entirely satisfactory but then had deteriorated. B had no excuses to the employer for B's poor work other than the fact that B's poor eyesight had hampered B in doing close work. B refused to consult an optometrist because B was unwilling to wear corrective lenses. The employer discharged B.
B's discharge was for misconduct since the reason for B's inefficiency was within B's power to control and the failure was willful.
(2) Quantity of Work. An employee's failure to produce the required quantity of work is misconduct if the employee was capable of meeting, could have met, and continually failed to meet the employer's reasonable quantity standards after reprimands or warnings. If an employee's unsatisfactory quantity of work is caused by some factor within his or her control, there is a duty to do whatever is reasonably necessary to bring the quantity of work up to an acceptable level.
To establish misconduct for failure to perform the required quantity of work, the employer's quantity standards must be reasonable. A standard is reasonable if the employee has, in the past, met or surpassed that quantity standard. Moreover, standards are reasonable if other employees of like age, experience, intelligence, and abilities have consistently met or surpassed the employer's quantity standard.
The fact the employer has, on several occasions, raised the quantity standards does not alone negate misconduct. It is the employer's right to adjust the standards in a manner consistent with the best interests of the employer so long as this adjustment does not exceed the bounds of reasonableness.
If an employee has a logical and reasonable explanation justifying failure to provide the minimum quantity of work required, this negates misconduct.
EXAMPLE 3. Deliberate Inefficiency in Quantity. C was a salesperson expected to call on old customers, develop new customers, and submit weekly reports. The employer had reprimanded C for poor performance. C agreed that C should call on at least 30 customers each week. Yet C, without excuse, in 5 weeks made 14 calls in a week, 19 calls in another, and 12 calls in the other 3 weeks, and failed to file 3 weekly reports. The employer discharged C.
C's discharge was for misconduct due to repeated inexcusable failure to meet reasonable quantity standards after reprimands and was willful failure to perform satisfactorily.
(3) Relations with the Public. An employee's discourtesy to the public is misconduct if the acts of discourtesy continued after prior warning or reprimand and the employee has the ability to control the performance. Usually a single or isolated instance of discourteous behavior is not misconduct, but the degree of discourtesy to a patron may be so serious that a single instance alone is misconduct.
EXAMPLE 4. Deliberate Discourtesy to Public. D was a cab driver. His passengers, a group of women, became somewhat noisy and boisterous. D then made improper and suggestive remarks to them and was discharged.
D's discharge was for deliberate serious acts of misconduct.
(c) Gross Negligence. A single incident of grossly negligent work performance or failure at work, including an accident due to gross negligence, is misconduct. To be gross negligence, the following elements must be present:
(1) The employer's rules require the work to be performed in a certain manner, since if the employee is allowed to use his or her discretion, there is no gross negligence while operating within the limits of reasonable discretion.
(2) The employee is aware of the employer's rules relative to how the work is to be performed.
(3) The employee knows that failure to perform the work as required could result in substantial loss to the employer.
(4) The employee has no logical and reasonable explanation for the failure to perform the work as required.
EXAMPLE 5. Gross Negligence. As a captain-pilot for a large airline, E was in charge of a plane with 29 passengers and 5 crew members aboard. The first officer was piloting the plane as it approached for a landing, with the captain-pilot under flight rules responsible to carry out the first officer's orders. The first officer ordered “gear down” for landing, but E failed to put the gear lever in full operating position and check the performance in accord with standard procedures. E thought the gear was down. The plane landed with wheels up, resulting in about $250,000 damage but no injury to passengers or crew. The employer discharged E.
E's failure was gross negligence and was misconduct. E knew and failed to follow employer rules resulting in the hazard of substantial loss of life and property with no reasonable explanation.
(d) Repeated Negligence--Substantial Disregard.
(1) Repeated negligent performance after prior warning or reprimand and in substantial disregard of the employer's interests is misconduct where the employee has the ability and capacity to perform satisfactorily. Substantial disregard of the employer's interests is determined after consideration of the following criteria:
(A) The number of negligent acts or omissions.
(B) The span of time within which the negligence occurred.
(C) The seriousness of each incident.
(D) The similarity of the incidents.
(2) It is neither desirable nor feasible to establish arbitrary numerical limits or descriptions in determining the number, time span, seriousness, or similarity of negligent acts or omissions which will constitute an employee's substantial disregard of the employer's interests. Rather, the totality of the circumstances of each case must be considered.
EXAMPLE 6. Repeated Negligence After Warning. F was a cutter in a shirt factory. F was instructed that in order to prevent damage to the shirts, each cutting machine was equipped with a wide blade for use with heavy materials and a smaller blade for use with light materials. Nevertheless F continued to use a wide blade on light materials. On each occasion the employer admonished F to use the proper blade for the proper material until finally the employer discharged F.
F's action was negligent after repeated warnings and was misconduct.
(e) Accidents. Accidents or behavior creating a danger of an accident are a frequent cause for the discharge of employees. Involvement in an accident or near-accident is not misconduct unless an individual's actions which lead to an accident or could have led to an accident were grossly negligent or substantially negligent. Gross negligence is discussed in subdivision (c) of this regulation. To determine whether an accident or a near-accident is due to an employee's negligence, relevant factors include:
(1) The degree of one's job responsibilities and the failure to meet such responsibilities.
(2) The nature of the loss or possible loss from an accident. An accident which could cause loss of life is much more serious, for example, than one involving only loss of property.
(3) The probability of one's actions causing an accident.
(4) The manner in which the accident occurred.
(5) The costs of the accident.
(6) The number, frequency, and regularity of accidents in which the individual has been involved.
EXAMPLE 7. Substantial Negligence. G, a taxicab driver, was involved in a series of six accidents within a short period of time while driving a cab. In addition, G repeatedly violated traffic laws by failing to make boulevard stops, by driving on the wrong side of the street, and by making prohibited mid-block “U” turns. The employer had given G a safety course and as each accident occurred discussed preventive measures. The employer gave G a disciplinary suspension following one of the accidents. Shortly after a later accident, the employer was held liable in damages and discharged G.
G's action was misconduct because it was clearly substantial, prejudicial to the employer's interests, and not the result of mere inefficiency.
EXAMPLE 8. Good Faith Error in Accident. H was a cab driver. H was en route to pick up a passenger when H was hailed by a person on the opposite side of the street. H glanced off the road toward the person in accordance with a company policy to identify possible customers and report cab requests to the company dispatcher. H was involved in a minor accident as a result of this action. The employer discharged H.
H's action was not misconduct, but at most was a good faith error in judgment in an attempt to carry out company policy.
(f) Judgment. An individual's good faith error in judgment is not misconduct if he or she has exercised reasonable diligence and has not knowingly acted in a manner prejudicial to his or her employer (see Example 8 above for good faith error in an accident situation; see Section 1256-30 of these regulations for general discussion of several types of acts or omissions that are not misconduct).
EXAMPLE 9. Good Faith Error in Judgment Not Shown. I, a security guard who has been assigned to a certain highly classified radio installation in an aircraft plant, was informed of its priority and importance. I was told that I cannot receive overtime pay but was never specifically instructed to remain on guard until such time as relief arrives. At I's normal quitting time, no one was sent to relieve I. I left the classified area unguarded. The employer discharged I for leaving the post unguarded.
In this instance, I, unrelieved at quitting time, was called upon to make a decision that requires considerable judgment--whether to continue work and possibly receive no overtime pay for time worked or whether to leave the radio installation unguarded. I's failure was misconduct because I failed to exercise reasonable diligence and knowingly acted in a manner prejudicial to the employer.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (d)(2) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256-39. Discharge for Misconduct--Relations with Other Employees.
Note     •     History

(a) Scope. This section relates to discharge from the most recent work for misconduct due to some unsatisfactory relationship of an employee with co-workers (see Section 1256-36 of these regulations for discussion of relationships of an employee to the employer or supervisors). Section 1256-30 of these regulations sets forth general principles also applicable under this section.
(b) General. Some unsatisfactory relations of an employee with co-workers involve an employee's deliberate acts which may constitute a wanton disregard of an employee's duty to the employer and substantially injure or tend to injure the employer's interest without regard to whether the employee has been given prior warnings or reprimands concerning similar acts. This type of misconduct can include an employee's inexcusable fighting on the job with co-workers, use of offensive language in relations with co-workers, or dishonesty on the job towards co-workers.
On the other hand, other acts of an employee in relation to co-workers may be negligent in nature and may cause less severe or minimal damage to the employer's interests. This type of conduct usually will not be misconduct unless the employee persists in the conduct after prior warnings or reprimands for similar acts. This type of act arises in cases of annoying co-workers, failing to pay debts to co-workers resulting in fights or controversy, or failing to cooperate with co-workers in performing the work.
(c) Deliberate Wanton Disregard of Employer's Interests.
(1) Fighting on the Job. Fighting with co-workers on the job is misconduct if the employee has provoked an attack or is the aggressor, regardless of provocation. Fighting on the job is not misconduct if an employee who is attacked on the job without provocation defends himself or herself against an attack.
EXAMPLE 1. A, a taxicab driver, signaled for a left turn when B, a fellow employee, drove over a double line, cut in front of A's cab, and drove into a taxi stand. A decided to report the incident and therefore talked to another co-worker to ask if the co-worker had seen the incident. B objected and grabbed A and struck a blow which A deflected. A moved away. B charged A again. A in self-defense knocked B to the ground. The employer discharged A.
A did not seek or provoke a fight with B. A's acts were reasonable and proper and A's self-defense was not misconduct.
EXAMPLE 2. D became irritated when co-employee C deliberately placed a filled tile container on D's hand truck of empty containers. D swore at C and slammed the container down in front of C, nearly hitting C. C thereupon hurled pieces of tile at D and injured D. The employer discharged C.
C had substantial provocation for attacking D, but this does not excuse C's fighting on the job. C's acts were not in self-defense and were misconduct.
(2) Offensive Oral Statements. An employee's acts constitute misconduct if the employee addresses a co-worker on the job in vulgar, profane, abusive, obscene, derogatory, or offensive language of a vile nature if the language is unjustified and not within the normal exchange and customary good-natured banter between employees.
COMMENTS. Normal practices in the establishment where the employee is employed and the circumstances under which oral statements were made are relevant to whether misconduct is involved. Language used in a machine shop or a warehouse may not be appropriate language in a bank, department store, or government office. The normal exchange among workers differs according to the occupation. Vulgar language is also used among employees in some occupations as friendly banter. The circumstances under which the employee makes oral statements are taken into consideration.
EXAMPLE 3. In an industrial establishment, a woman employee asked E for certain supplies. E was unable to give her immediate service. E believed that the woman employee complained to her supervisor about the incident. When E saw the woman employee later in the day E said, “Some people sure are asinine.” The woman employee complained to the employer. The employer discharged E for using alleged abusive and profane language.
E's statement was not misconduct because it was not abusive or profane and did not go beyond the customary give and take between employees in an industrial establishment.
EXAMPLE 4. F waved an open pocket knife at a co-worker and stated, “This blade would reach your heart. You could be lying on the floor dead.” The co-worker was frightened and intimidated. F later apologized and declared that F was joking. The employer discharged F due to the incident.
F's act was well beyond normal banter, disrupted order on the job, and was misconduct.
(3) Dishonesty to Co-workers. An employee who engages in dishonest conduct on the job affecting co-workers, such as stealing the tools or other personal property of a co-worker on the job, commits an act of misconduct.
(d) Willful Acts After Prior Warning or Reprimand.
(1) Annoying Co-workers. An employee who is discharged for unjustifiably annoying co-workers by frequent bickering or by horseplay on the job, after prior warning or reprimands for similar conduct, is discharged for misconduct.
EXAMPLE 5. G frequently argued with co-workers on the job despite repeated warnings to stop this conduct. Another co-worker participated with G in starting arguments and bickering among co-workers. The employer discharged G and the other co-worker due to their annoying of co-workers.
G was discharged for misconduct by persistently annoying co-workers after prior warnings.
EXAMPLE 6. H played various on-the-job pranks on new employees despite the employer's warnings to stop this conduct. H handed a broken glass jar to a co-worker on the job whose hand was cut on the jar. H leaped over moving machinery on the job. H's co-workers complained to the employer about H's horseplay and annoying and dangerous conduct. The employer discharged H due to the horseplay and dangerous conduct.
H's discharge was for misconduct due to repeated horseplay dangerous to co-workers.
(2) Debts to Co-workers. A worker's failure to pay a debt due to a co-worker is a personal matter not affecting the employer's interest. However, if the nonpayment of the debt results in on-the-job fights or disputes, the employer's interest is affected and whether misconduct exists is determined under the interpretations set forth under subdivision (c) or other applicable provisions of this section.
(3) Noncooperation with Co-workers. Ordinarily an employee's failure to cooperate with co-workers on the job in isolated instances would not be misconduct in the absence of prior warnings or reprimands. However, if the specific acts of noncooperation relate to the scope of an employee's defined work duties, Sections 1256-30 and 1256-36 of these regulations interpret the circumstances under which misconduct is or is not present.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (a) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256-40. Discharge for Misconduct--Tardiness.
Note     •     History

(a) Scope. This section relates to discharge for misconduct in connection with one's most recent work due to single or repeated instances of tardiness in reporting to work. Section 1256-30 of these regulations sets forth general principles also applicable under this section.
(b) Employee's Duty to Employer. The employee's obligation to arrive at work on time is an implied obligation which the employer does not have to set forth at the time of hire.
(c) Tardiness as a Breach of the Employee's Duty. Tardiness breaches the standard of punctual behavior which the employer has the right to expect. Tardiness is misconduct if it results in a substantial breach and disregard of the duty owed to the employer and shows a willful or wanton disregard of and injures or tends to injure the employer's interests, such as any of the following circumstances:
(1) Repeated inexcusable tardiness to work despite a recent warning that inexcusable tardiness may result in discharge.
(2) An instance of inexcusable tardiness considered in conjunction with violations of other employer standards and prior reprimands or warnings for those violations.
(3) A single instance of inexcusable tardiness which causes reasonably foreseeable substantial injury to the employer's interests.
(d) Excusable Tardiness.
(1) The following circumstances do not establish a willful or wanton disregard of the employer's interests and are not misconduct:
(A) Occasional or isolated lapses of tardiness without previous reprimands or warnings, except as provided by subdivision (c) of this regulation.
(B) Compelling reasons for tardiness regardless of the number of prior instances of tardiness, reprimands, or warnings.
(2) If a claimant has a compelling reason for his or her tardiness, his or her discharge cannot be for misconduct, regardless of previous instances of tardiness or prior reprimands and warnings. Substantially compelling reasons outweigh a claimant's obligation to arrive at work on time regardless of the adverse effect on the employer's operations. Less compelling circumstances tend to show disregard of the employer's interests, if the tardiness adversely affects the employer's operations. Mere personal inconvenience, failure to allow ample traveling time to work, oversleeping, or missing the bus are not reasonable excuses for repeated tardiness.
EXAMPLE 1. Minor Infraction--No Harm. Z's employer expected Z to be at Z's post by 7:00 a.m. Z was required to punch in at the time clock two to three minutes before 7:00. Z arrived at the post late on several occasions. The employer warned Z that tardiness would result in discharge. On the day Z was discharged, Z was ten to fifteen yards away from Z's post at 7:00. The employer's operations were not affected by Z's tardiness.
Although Z had no justification for tardiness, the infraction was minor, and the conduct did not interfere with the employer's operations. Therefore, Z's conduct was not so unreasonable as to constitute misconduct.
EXAMPLE 2. Repeated Inexcusable Tardiness. Y was a storeroom manager for a hotel. Y's duties included opening the storeroom at 7:00 a.m. so that supplies could be obtained for various needs of the hotel. In the last year of Y's employ, Y reported to work late on several occasions, despite reprimands and warnings. Y's tardiness ranged from ten minutes to four and a half hours. The employer discharged Y for tardiness.
Y's pattern of reporting late without reasonable excuse was a substantial breach of the duty owed to the employer and was a willful and wanton disregard of the employer's interest. Y was discharged for misconduct due to tardiness.
EXAMPLE 3. Repeated Inexcusable Tardiness. X was an offset press operator in charge of a three person crew. X's presence was necessary to prepare for the operation of the press. X was late for work on 47 occasions in seven months of employment. The employer warned X twice that continued tardiness would result in discharge. X was tardy several times after the second warning and for no justifiable reason. The employer discharged X for tardiness.
X was discharged for misconduct due to tardiness, since X's conduct showed a substantial breach of the duty to be punctual and a willful and wanton disregard of the employer's interest.
EXAMPLE 4. Single Instance of Tardiness--Other Violations. W received permission to report to work one hour late. W reported in two and one-half hours late and had no compelling reason for tardiness. The employer immediately discharged W. Prior to the discharge, the employer had reprimanded W for being absent from work without notifying the employer, taking longer lunch periods than authorized, leaving work early, and refusing to follow instructions.
The first instance of W's tardiness when considered in conjunction with W's previous conduct showed a willful and wanton disregard of the employer's interests and the employee's duty and therefore was misconduct due to tardiness.
EXAMPLE 5. Single Instance of Tardiness--Substantial Foreseeable Harm. T was a chemist responsible for operating controls to insert catalytic agents at several steps during a factory production process. The work could not proceed without the addition of the catalysts. T had never before been tardy at work but one day showed up 2 hours late to work without excuse, resulting in the loss of valuable production and the payment of wages to production workers for nonproductive time on line. The employer discharged T for this single instance of tardiness.
T's discharge was for misconduct even though for only a single instance of tardiness not preceded by reprimands or warnings, since the substantial loss to the employer was foreseeable.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-41. Discharge for Misconduct--Union Relations.
Note     •     History

(a) This section relates to discharge for misconduct due to an employee's union-related acts. Section 1256-30 of these regulations sets forth general principles also applicable under this section.
(b) An employee may be discharged during the course of a trade dispute if the discharge is unequivocal. Lawful union activity is protected. An employee may engage in union-related activities, but if during the course of the union activity the employee engages in independent acts, such acts are misconduct if any of the following conditions exists:
(1) The act is illegal.
(2) The act violates the collective bargaining agreement between the employer and the employee's union.
(3) The act violates an employer rule or a standard of behavior which the employer has the right to expect, as specified in Section 1256-32 of these regulations.
COMMENTS. Under subdivision (b) a trade dispute merely suspends, but does not sever the employer-employee relationship. Severance of the relationship during a trade dispute requires an unequivocal discharge.
EXAMPLE 1. A's union was involved in a trade dispute with management. A left work because of the dispute and engaged in lawful activities in furtherance of the strike. However, A also addressed employees who continued to work and management personnel with obscene and insulting language and threw rocks at vehicles entering the plant. The employer discharged A.
A's acts went beyond the bound of A's right to peacefully picket. A's employer unequivocally discharged A because of A's independent acts of misconduct. The employer-employee relationship was severed. The discharge was for misconduct.
COMMENTS. Under subdivision (b) an employee's act is not misconduct simply because he or she has participated in a trade dispute or in lawful picketing or engaged in any union-related act. The act itself must be considered misconduct against the employer. The use or failure to use or outcome of any grievance or arbitration procedure is not relevant on the issues. An employee may be discharged because his or her union has requested such action. If an employee is discharged because of acts against his or her union, the discharge is not for misconduct unless the acts also constitute misconduct against the employer. An employee who by his or her own act loses good standing in the union when this is required by the collective bargaining agreement for employment, and who is terminated, has constructively voluntarily left the job without good cause, rather than been discharged (see Section 1256-21 of these regulations).
EXAMPLE 2. A strike was called by B's union and picket lines were set up. B took an active part in the strike. B attempted to dissuade other employees from entering the employer's plant, but never used profane language or threats of violence in doing so. The employer discharged B.
B did picket energetically but peacefully as was B's constitutional right. At all times B's acts were a lawful exercise of the right to picket. Although B was discharged for strike activities, the acts did not constitute misconduct.
COMMENTS. Under paragraph (2) of subdivision (b), knowledge of the collective bargaining agreement terms is imputed to the employee. The terms of the agreement establish a rule of conduct and the employee owes a duty to the employer to comply with these terms. If the employee violates this duty, his or her acts constitute misconduct.
EXAMPLE 3. C, a member of a union, was employed to work on the construction of a dam. One of the terms of the collective bargaining agreement was that the employees would not engage in strikes or picketing and the employer would not engage in a lockout. When grievances presented to the management were not resolved promptly, the business manager of the union called for a picket line. The next day C and all the other union members picketed. C was discharged.
C's discharge was for misconduct because C violated the no-strike clause of the collective bargaining agreement.
COMMENTS. Under paragraph (3) of subdivision (b), an employee owes a duty to his or her employer to comply with the employer's rules and to conduct himself or herself in an appropriate manner while on the job. I the employee disregards this duty and the employer's interests, he or she may be discharged for misconduct. However, as under paragraph (2) of subdivision (b), inadvertences, ordinary negligence in isolated instances, or good-faith errors in judgment or discretion are not misconduct. In such cases of ordinary negligence, misconduct may be found where the employee has been previously warned or reprimanded for prior similar acts of ordinary negligence and has the ability and capacity to perform satisfactorily.
EXAMPLE 4. D often engaged in arguments with D's supervisor or other employees in the presence of customers. The employer warned D that continued instances of such conduct would not be tolerated. Later D's employer asked D to work a few minutes overtime without pay based on an oral agreement between the employer and the union that compensation would not be given for less than nine minutes overtime. D engaged in a heated argument with the employer in the presence of customers. The employer discharged D.
Even though D was unaware of the oral agreement and felt that the union terms required D receive overtime compensation, D's conduct was not warranted especially since D had been previously warned. D's discharge was for misconduct.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-42. Discharge for Misconduct--Violation of Employer's Rules.
Note     •     History

(a) Scope. This section relates to discharges from the most recent work due to an employee's violation of a rule of the employer. Section 1256-30 of these regulations sets forth general principles also applicable under this section. For interpretations of violations of employer rules relating to the manner of performance of work by an employee, see Section 1256-38 of these regulations.
(b) General. A discharge by an employer of an individual for violation of an employer rule is for misconduct connected with the work if the rule is reasonable, the individual knew or should have known the rule, and the violation is willful or wanton, material, and substantially injures or tends to injure the employer's interests. If the individual has previously violated a minor employer rule or has previously violated the same or a similar employer rule with the knowledge of the employer, a discharge is for misconduct connected with the work if the violation substantially injures or tends to injure the employer's interests and has been preceded by prior warnings or reprimands for previous violations, or if the individual's course of conduct as a whole demonstrates a substantial disregard of the employer's interests following prior warnings or reprimands for violations of other employer rules. (See Section 1256-36 of these regulations relating to an employee's insubordination which includes interpretation of the circumstances under which an employer's rule is reasonable or unreasonable.)
EXAMPLE 1. Nurse A, a medication nurse, was discharged for deliberately reducing by 50 percent the prescribed amount of medication administered to a patient in a hospital without the permission of a doctor. Nurse A knew the hospital rule that medication could not be reduced without consulting the doctor, intentionally did not consult the doctor, and used the nurse in charge as an excuse for reducing the prescribed medication while knowing that the medication was the sole responsibility of nurse A. Nurse A was discharged by the hospital for violating the medication rule.
Nurse A's discharge is for misconduct since the rule was known, reasonable, deliberately disobeyed, material, and affected the employer's interest. However, there would be no misconduct had nurse A established a bona fide belief that a full dosage would be detrimental to the patient, that the regular nurse in charge agreed with this opinion, and that the doctor for the patient had made known to nurse A that the doctor would not object to a reduced prescription dosage in the discretion of the medication nurse and that this practice was common in the hospital. Under the latter circumstances, there is no willful violation of a rule and the practice would have been condoned by the employer, with the result that no misconduct would have been present.
(c) Clothes and Appearance. Some employers may establish reasonable rules which include standards of hygiene, mode of dress, or personal appearance. Individual employees may choose to maintain a mode of dress or grooming or personal appearance in such matters as hair style or beard which does not comply with standards established by reasonable employer rules. Some employers' standards are established to protect the health, safety or welfare of other employees or of the public, or to protect and preserve a particular business atmosphere or a business image of reliability to patrons. The individual employee may decline any reasonable alternative offered by the employer to meet the employer's standards. Under these circumstances, the employer's discharge of an employee is for misconduct and a compelling state interest exists if all of the following three conditions are met: (1) the employer's rule rationally relates to the enhancement of the employer's business; (2) the benefit to the employer outweighs the impairment of the employee's constitutional rights; and (3) there is no available alternative which would be less restrictive of constitutional rights of mode of dress or grooming or personal appearance. Thus, an employer's order to an employee to shave his beard would be reasonable if the beard was unsanitary or would adversely affect the patronage or production of the employer's particular business. The order would be unreasonable if it results from mere personal distaste of the employer or a mere ruse to discharge the employee. Also, an employer's rule that employees must confine long hair, if worn, by a hair net while at work for health or safety reasons or because customers objected to long hair is reasonable; the employee's refusal to wear a hair net at work or trim long hair as required by the employer rule is misconduct.
(d) Gambling or Game Playing. Some employers have specific rules prohibiting gambling or other game playing on the job. Nearly all employers expect and require that employees perform the work for which the employees were hired during normal work hours. Thus, an employee's gambling or game playing on the job during normal work hours may be misconduct. Usually an employee's gambling or game playing on the employer's premises during off-duty hours would not be misconduct. It would be misconduct if the employee had been given prior warnings or reprimands for similar acts and the employee's ability to work is affected or there is a substantial injury to the employer's interests. An employee's gambling or game playing off the job would not be misconduct unless this affected the employee's ability to work or caused a substantial injury to the employer's interests. This could occur if an employee who holds a position of financial, supervisory, or executive trust engaged in public gambling with adverse effect on the employer. The employer would be affected if customers or potential customers identified the employee with the employer and criticized the employee's public gambling, or withheld or withdrew business from the employer. In no event would an employee's gambling or game playing be misconduct if the employer had ordered, participated in, or condoned the employee's activity.
(e) Marriage. If an individual is discharged by an employer because the employer has a rule forbidding the employment of married persons of one sex or of both sexes and the individual either conceals married status at the time of employment or is married after employment, the discharge is not for misconduct connected with the work. The rule is an unreasonable intrusion on the right to marry. Neither is it misconduct connected with the work for an individual who holds a job for which an employer prohibits employment of married persons, to fail to seek transfer, prior to marriage, to another job with the employer to which the employer's prohibition against married employees does not apply.
(f) Money Matters. Many employers establish rules governing the handling of an accountability for money by employees in their work. Some intentional violations of these rules can have a potential for substantial injury to the employer's interests and a single violation can be misconduct. Other violations can cause relatively minor injury to the employer's interests and not be misconduct in the absence of prior warnings or reprimands by the employer for similar prior violations (see Section 1256-34 of these regulations for interpretation of what is misconduct if a cash shortage concerning money matters is involved).
An employee who substantially violates the terms of an arrangement by the employer allowing the employee to purchase items from the employer at a discount has engaged in misconduct. A typical substantial violation would be the employee's reselling of a purchased item without required prior approval of the employer or in violation of written employer prohibitions known to the employee.
EXAMPLE 2. B, a grocery checker, had been old of the employer's written rule requiring a written record of each individual sale. B's work station as a grocery clerk was near the liquor department which did not have a separate checker. When a customer came to B with a single liquor purchase, B accepted the money and after the grocery transaction was completed would either record the single liquor purchase or combine the single liquor purchase with other single purchases and record one purchase. B did this to avoid making the customer wait in line. The employer knew that B and other grocery checkers followed these practices, despite the written rule to the contrary. B's supervisor knew of the practices and participated in them. The employer discharged B for violating the single purchase rule.
B's discharge is not for misconduct because the action was condoned by the employer and served the employer's interests by promoting efficient checking service. The error was at most ordinary negligence in isolated instances or good faith errors in judgment.
EXAMPLE 3. A sales checker, C, while checking one customer, would accept money from another customer in the exact amount for a purchase and delay ringing up that sale until the current customer had been served. The employer's rule prohibited this practice. On some occasions, C would defer ringing up the sale until several customers had been served, but also deposited any cash received in the cash drawer. The employer discharged C for violating the purchase rule.
C's violations are not misconduct since C was never warned or reprimanded for a violation of procedure and at most the violations are isolated instances of negligence or good faith errors in judgment.
EXAMPLE 4. A cab driver, D, was required by the employer to keep a log of daily fares on a trip sheet. The cab meter also recorded the mileage and fare paid for each trip. The cab company operated under strict state and city regulations requiring detailed trip information for every driver. On one workday, a comparison of D's trip sheet and the meter recording showed a discrepancy of 20 unpaid miles. D blamed the discrepancy on faulty recording by the meter, but the meter was found to be accurate. The employer discharged D for failure to explain the discrepancy, but did not allege theft or misappropriation of the fares by D.
D's discharge is for misconduct due to potential loss by the employer of licensing because of strict regulations and D's failure to explain the discrepancy must be considered a deliberate and substantial violation.
(g) Motor Vehicles. Section 1256-43 of these regulations interprets what is or is not misconduct where a violation of law is involved in an employee's use or operation of motor vehicles. If an employee's willful or wanton violation of an employer rule for the use, maintenance, or operation of a motor vehicle involves potential substantial injury to the employer's interests, a discharge for violation of the rule is for misconduct. If a violation of an employer rule involves less serious consequences, a discharge for the violation is not for misconduct in the absence of prior warnings or reprimands for similar violations by the employee.
EXAMPLE 5. The duties of employee E were to drive the employer's new cars from a freight depot to the employer's storage warehouse. The employer's rule was that employees should check oil levels when driving the cars. E failed to check the oil level and damaged a connecting rod in a car E drove because the car had no oil. The employer discharged E.
E's discharge is not for misconduct since a single act of negligence with relatively minor damage to the employer's interest is involved and there was no prior violation or warning or reprimand.
(h) Property--Removal by Employee. An employee's willful or wanton removal of an employer's property from the employer's premises in violation of an employer rule known to the employee and without the express or implied permission of the employer is misconduct, unless the property is of little or no use to the employer.
EXAMPLE 6. Employee F while in route at work to the restroom saw a damaged padlock on the ground near a trash can. F took the padlock away from F's work station and hammered it to see if it would open. F was away from F's work station for five minutes. The employer discharged F for destroying the employer's property in violation of the employer's rule against damaging the employer's property.
F's discharge is not for misconduct since the property had no value, and F's violation of the employer's rule was trivial and casual and lacking in the willful or wanton disregard for the employer's interests required for misconduct.
(i) Safety. Employers may establish rules to protect the safety of employees or those who purchase or use the employer's product or service. Safety rules are almost always reasonable. An employee's willful or wanton violation of such safety rules is misconduct if the employer's interests are substantially jeopardized or injured or if the violation is repeated after the employee has been given warnings or reprimands. For interpretation of whether misconduct exists where the violation is of employer rules for safety of co-employees, see also Section 1256-39 of these regulations. For interpretation of whether misconduct exists where an employee violates a law or violates both an employer rule and a related law, see Section 1256-43 of these regulations.
EXAMPLE 7. G, an assembler for an aircraft manufacturer, rode a bicycle without authorization across an airport runway. This act violated the employer's posted signs prohibiting unauthorized entry on the runway. A plane approaching the runway for landing pulled up and circled to avoid hitting G. The employer discharged G for violating the rule.
G's discharge is for misconduct involving violation of a reasonable rule for the protection of the safety of plane, passengers and crews as well as employees, with a substantial danger created by violations.
(j) Store Purchases. Many employers in retail merchandising establish rules governing the purchase of merchandise by their own employees. For example, an employer might require that each purchase by an employee be accompanied by a sales slip, or entered into a ledger or record book. The purpose of employer rules of this type is often to prevent theft by employees. An employee's willful or wanton violation of an employer's rules relating to the employee's own store purchases ordinarily involves substantial injury or tendency to injure the employer's interests and is misconduct. Employers may also establish rules governing the wrapping, mailing, delivery, charging or exchange of purchases by customers. An employee's violation of employer rules relating to store purchases by customers usually will be relatively minor in consequences and is not misconduct, unless the violation occurs after prior warnings or reprimands for similar violations (see subdivision (f) of this section and Section 1256-34 of these regulations for interpretation of whether misconduct exists where an employee's violation relates to employer rules concerning the handling of money).
EXAMPLE 8. H was discharged by the employer because H eft the employer's store with a 33-cent purchase not accompanied by a sales slip as required by an employer rule. However, H had not been told of the employer's rule, and had previously purchased items without sales slips or any warning by the employer. The employer discharged H for the violation.
H's discharge is not for misconduct because H had no knowledge of the employer's rule, had not been previously warned, and H's violation was not deliberate. However, if H had been warned for any prior violations and then had violated the rule, a discharge would have been for deliberate acts and thus for misconduct.
(k) Time Clock. Employers in some establishments have rules for employees reporting into and out of work requiring punching time clocks. Often the rule is that each employee must personally punch the time clock. An employee's knowing violation of such a rule is misconduct, unless there is no falsification of time worked by the employee and the violation is an isolated instance. Intentional substantial falsification of time worked is misconduct.
EXAMPLE 9. J, a security guard, left J's post early and had another guard punch J's time card out at the regular quitting time. The employer discharged J for violating the employer's rule that each employee must personally punch out the time card when leaving work.
J's discharge is for misconduct due to a deliberate violation of a substantial employer interest and involves falsification of time worked.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256-43. Discharge for Misconduct--Violation of Law.
Note     •     History

(a) Scope. This section relates to discharge from the most recent work for misconduct due to violation of law. Section 1256-30 of these regulations sets forth general principles also applicable under this section.
(b) Off-Work Violations of Law. Criminal acts or other violations of law are not necessarily misconduct. For example, an individual's criminal act outside of working hours and away from the employer's premises usually would have no connection with the work and would not be misconduct under Section 1256 of the code (see related discussion in Section 1256-33 of these regulations). However, an employee's criminal act or other violation of law outside of working hours and away from the employer's premises can be misconduct if the employee uses information obtained from the work to carry out the crime or other violation of law, or there is any other substantial connection with the work.
EXAMPLE 1. A janitor, A, was arrested for drunk driving while off duty. The employer discharged A.
A's discharge is not for misconduct because A's off-duty intoxication did not relate to work performance and did not substantially injure the employer's interests.
EXAMPLE 2. B, a television repair person, while repairing a customer's television set in the customer's home, noted the layout of the home, access characteristics, and the nature and location of property in the home. That night B returned and stole property from the customer's home. B was convicted of the theft. The employer discharged B.
B's violation of law is misconduct due to the clear connection with the work even though the act was off duty and away from the employer's premises.
EXAMPLE 3. C, a bookkeeper in a bank, persisted in drawing personal checks against C's account in that bank when there were insufficient funds to cover the checks. The bank discharged C for this violation.
C's violation was misconduct even though off duty since bank employees are expected to reflect honesty and integrity due to the special character of their work. An employee's lack of integrity reflects on the bank's integrity and adversely affects the employer's interests.
(c) On-the-Job Violations of Law. An employee's on-the-job criminal act or other violation of law is misconduct if the act is substantial in nature, regardless of the employer's prior warnings or reprimands. An employee's on-the-job criminal act or other violation of law is not misconduct if the act is minor in nature, unless the employee commits the act after prior warnings or reprimands by the employer for similar acts. However, in no event will an employee's criminal act or other violation of law be misconduct if the employer had ordered, participated in, or condoned the employee's action.
EXAMPLE 4. D, a taxicab driver, was en route to pick up a passenger when D was hailed by a person on the opposite side of the street. D glanced off the road toward the person in accordance with a company policy to identify possible customers and report cab requests to the company dispatcher. D was involved in a minor accident as a result of this action. The employer discharged D.
D's action was not misconduct, but at most was a good faith error in judgment in an attempt to carry out company policy.
EXAMPLE 5. E, a taxicab driver, was involved in a series of six accidents within a short period of time while driving cab. In addition, E repeatedly violated traffic laws by failing to make boulevard stops, by driving on the wrong side of the street, and by making prohibited mid-block “U” turns.The employer had given E a safety course and as each accident occurred discussed preventive measures. The employer gave E a disciplinary suspension following one of the accidents. Shortly after a later accident, the employer was held liable in damages and discharged E.
E's action was misconduct because it was clearly substantial, prejudicial to the employer's interests, and not the result of mere inefficiency.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1256, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
§1256.1-1. Incarceration--Absence from Work.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1256 and 1256.1, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (d)(1) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Change without regulatory effect repealing Section 1256.1-1 (Register 87, No. 40).
§1256.2-1. Voluntary Leaving--Good Cause--Deprivation of Equal Employment Opportunities.
Note     •     History

(a) Scope. This section interprets Section 1256 and 1256.2 of the code concerning whether an individual leaves with or without good cause when the leaving of work is due to deprivation by the employer of equal employment opportunities due to the individual's race, color, religious creed, sex, national origin, ancestry, or physical handicap under Section 1256.2 of the code, or due to age, medical condition or marital status or other unlawful basis under Section 1256 of the code. “Employment opportunities” include, but are not limited to, assignments to jobs, work atmosphere, compensation, including fringe benefits, promotions, transfer, upgrading, rights and duties of employees under work rules, and the terms, conditions or privileges of employment.
(b) Applicable Law. Sections 1256 and 1256.2 of the code, with respect to equal employment opportunity issues, and this section are to be construed in harmony with and subject to applicable and controlling federal and California law on the subject of equal employment opportunities, including, but not limited to, Section 8 of Article 1 of the California State Constitution, the California Fair Employment Practice Act (Sections 1410 and following, Labor Code), Titles VI and VII of the Civil Rights Act of 1964, as amended (42 United States Code 2000d and 2000e), Section 1197.5 of the Labor Code relating to equal pay for equal work, the federal Equal Pay Act of 1963, as amended (29 United States Code 206(d)), the federal Age Discrimination Employment Act of 1967, as amended (29 United States Code 621 et seq.), the federal Rehabilitation Act of 1973, as amended (29 United States Code 701 et seq.), and comparable statutes (for pertinent federal regulations, see especially Title 29, Code of Federal Regulations, Chapter XIV: Part 1604, Sections 1604.1 to 1604.10, relating to sex discrimination; Part 1605, Section 1605.1, relating to discrimination based on religion; and Part 1606, Section 1606.1, relating to discrimination based on national origin).
(c) Bona Fide Occupational Qualification. Under Sections 1256 and 1256.2 of the code, there is an exception that otherwise prohibited discrimination by an employer is excused if based on a bona fide occupational qualification. The bona fide occupational qualification exception shall be interpreted narrowly, and the burden to establish it shall rest on the party relying upon the exception. Most jobs can be performed equally well by all otherwise qualified persons without regard to race, color, religious creed, sex, national origin, ancestry, physical handicap, age, medical condition, or marital status. Specifications that are clearly job-related even though based on otherwise prohibited discrimination tests are permitted in the rare case where a bona fide occupational qualification can be justified. For example, if a male actor-employee in the movie industry were denied a particular role in a movie where a woman was necessary for the purpose of authenticity or genuineness, sex would be a bona fide occupational qualification, and leaving work due to the denial would be without good cause. Job-related specifications unrelated to prohibited discriminatory classifications are permitted, such as required licenses, permits, special driving or other job skills, and the like. An individual who left work due to denial of pay raises, promotions, or other employment opportunities based on failure to meet such nondiscriminatory job-related specifications would not have good cause for the leaving of work.
(d) Security Clearance. An individual who leaves work because a promotion, pay raise, or other employment opportunity has been denied due to failure to meet applicable security requirements of California or federal law leaves without good cause under Sections 1256 and 1256.2 of the code.
(e) Other Remedies of Employee. If an individual is intentionally and unlawfully deprived of equal employment opportunities by an employer who persists in the deprivation, and the individual leaves work for this reason, there is good cause for leaving work under Sections 1256 and 1256.2 of the code even if the individual does not first file a complaint with the state or federal agency with jurisdiction to provide relief for and stop the violation. If the employer's acts are unintentional, however, the individual does not have good cause to leave work due to prohibited deprivation of rights if the individual fails to make reasonable efforts to put the employer on notice and give an opportunity to make adjustments. Reasonable efforts are made if the individual takes reasonable steps to call the matter to the employer's attention, with a reasonable time and opportunity for adjustment, and it is not necessary that the individual file a formal complaint or charge with any state or federal agency to meet the “reasonable efforts” condition.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1256 and 1256.2, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (b) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1256.5-1. Purge of Disqualification for Irresistible Compulsion to Use or Inability to Abstain from Using Intoxicants.
Note     •     History

(a) An individual who has been disqualified for unemployment benefits because of a discharge from work or a leaving of employment resulting from an irresistible compulsion to use or consume intoxicants may purge the disqualification under Section 1256.5 of the code by participation in a treatment program which satisfies the conditions of subdivision (b) and by submitting to the department a written certification from a physician or authorized treatment program administrator that the individual is in or has completed the treatment program and is able to work.
(b) Participation in a treatment program, public or private, will permit the purging of a disqualification if the treatment program meets one of the following conditions:
(1) The treatment program is officially licensed or certified by the State Department of Alcohol and Drug Programs (ADP) or the State Department of Health Services (DHS) or is licensed by or satisfies a program review by the state in which the program is located.
(2) The treatment program is an established self-help program as determined by the department as having a recognized record in the community for success in treating individuals addicted to alcohol or drugs. This includes programs such as Alcoholics Anonymous (AA) and Narcotics Anonymous (NA), even though they do not meet the minimum standards for ADP licensure or certification.
(c) The written certification shall contain a statement that the individual has entered into and is continuing in, or has completed a treatment program for his or her condition, and is able to work. The statement shall be completed by one of the following:
(1) A physician
(2) An authorized treatment program administrator from a program which satisfies either subdivision (b)(1) or (b)(2). If there is no authorized treatment program administrator to certify to an individual's participation in an established self-help program and his or her ability to work, the individual shall provide to the department a physician's statement certifying that the individual has entered into and is continuing in, or has completed the program for his or her condition, and is able to work.
(d) Upon receipt by the department of the written certification, the department shall determine whether the written certification and the treatment program in which the individual is participating or has participated meets the requirements of this regulation. If the department determines that the requirements of this regulation are met, the department shall purge the disqualification.
NOTE

Authority cited: Section 305 and 306, Unemployment Insurance Code. Reference: Section 1256.5, Unemployment Insurance Code.
HISTORY

1. New section filed 10-22-92; operative 11-23-92 (Register 92, No. 43).
§1260(a)-1. Purging Disqualification--Voluntary Leaving or Discharge for Misconduct.
Note     •     History

(a) Scope. This section interprets subdivision (a) of Section 1260 of the code which provides for a purge of a disqualification under Section 1256 of the code if a disqualified individual, after the act causing disqualification, performed service in bona fide employment for which remuneration is received equal to or in excess of five times his or her weekly benefit amount. Sections 1256-1 to 1256-43, inclusive, of these regulations interpret various circumstances relating to what is good cause for voluntary leaving of most recent work and when a discharge is for misconduct connected with the most recent work.
(b) Bona Fide Employment. The basic test to determine whether employment is “bona fide” to purge a disqualification under Section 1256 of the code is whether the total facts lead reasonably to a conclusion that the individual was in good faith genuinely attached to the labor market. An individual was not engaged in bona fide employment, however, if he or she admittedly worked for the sole, primary, or dominant purpose of avoiding and purging a disqualification under Section 1256 of the code. No fixed rule can govern when employment is “bona fide,” but the following factors shall be considered by the department:
(1) The manner in which the employment was obtained, and the nature and extent of the claimant's search for work.
(2) Whether the employment was in the regular course of the employer's business.
(3) Whether the employer had previously hired someone for the job, and whether someone was hired for the job after the claimant asserting purging relief was separated from the job.
(4) Whether the employment was in the claimant's usual occupation.
(5) Whether the wages for the employment were equivalent to the claimant's wages in his or her usual occupation or last preceding employment.
(6) Whether the claimant is willing to accept future employment of the same kind and under the same conditions as the employment asserted as the purging employment.
(7) The claimant's reasons for accepting the employment, the length of the employment, and the reasons for the termination of the employment.
(c) Types of Work. Normally, self-employment or work as an independent contractor indicates a withdrawal from the labor market, and not a genuine attachment to the labor market, and is not bona fide employment under Section 1260 of the code. However, self-employment may be bona fide employment if the claimant has qualified for elective unemployment insurance coverage based on such self-employment. In such cases, the net earnings from self-employment determined to be bona fide are counted to determine whether the claimant has received remuneration of five times the weekly benefit amount to purge a disqualification under Section 1256 of the code.
Military service, any work in a common law employment relationship whether or not covered for unemployment insurance purposes, and all work covered for unemployment insurance purposes except illegal employment such as prohibited gambling or narcotics sales, are “employment” for purposes of purging under Section 1256 of the code, and remuneration for such work may be counted if the work is “bona fide” under all the facts. (For discussion of the common law employment relationship and who is an “employee” see Sections 606-1, 621(b)-1, 621(c)-1, and 680-1 of these regulations. For interpretation of some exemptions from covered employment, see Sections 629-1 to 653-1 of these regulations.)
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1256 and 1260, Unemployment Insurance Code.
HISTORY

1. New section filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (c) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1260-1. Week of Ineligibility--Fixed Disqualification.
History

HISTORY

1. Repealer filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1262-1. Week of Ineligibility--Trade Disputes.
Note     •     History

With respect to acts or periods of ineligibility under Section 1262 of the code “week of ineligibility” shall be any week or weeks applicable to the individual under these regulations, during any portion of which his or her unemployment is due to his or her having left his or her work because of a trade dispute and for the period during which he or she continues out of work by reason of the fact that the trade dispute is still in active progress in the establishment in which he or she was employed.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1262-2. Trade Disputes--Notification to Department.
Note     •     History

(a) Whenever individuals leave their work because of a trade dispute under conditions which may disqualify such individuals from benefits pursuant to the provisions of Section 1262 of the code, the employing unit, within ten days of the date individuals left such work, shall notify the department at its office in Sacramento or such other office of the department as may be designated by an authorized representative of the department. Such notification shall include separately for each union involved:
(1) The name and address of the employing unit;
(2) A statement that a trade dispute exists;
(3) The name and address of the union (or unions) claiming to represent the individuals who left work because of a trade dispute; and
(4) Such other information as may be prescribed by the department.
(b) The employing unit may be granted additional time by the department in which to comply with the requirements of subdivision (a) of this section, provided that any notice submitted after expiration of the time limits set forth in this section should include a statement of the reasons why such delay should be considered with “good cause.”
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1262, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
2. Amendment of subsection (a), repeal of subsections (a)(2)-(3) and renumbering and amendment of subsections filed 12-14-93; operative 1-14-93 (Register 93, No. 51).
§1264-1. Services Performed by Aliens.
Note     •     History

(a) The wages that compensate the services performed by an alien may be used as the basis for the payment of unemployment compensation benefits, extended duration benefits, and federal-state extended benefits to the extent that the alien was in one of the following immigration statuses while performing the services:
(1) Lawfully admitted to the United States for permanent residence.
(2) Lawfully present in the United States for the purpose of performing the services.
(3) Permanently residing in the United States under color of law, also referred to as “PRUCOL.”
(b) An alien has the burden of proving the extent to which he or she performed base period services while in one or more of the statuses listed in subdivision (a). Any determination by the department that an alien was not, or was not to the extent stated in the determination, in one of the statuses listed in subdivision (a) during his or her base period, shall be based on a preponderance of the evidence. Such evidence may include evidence that the Immigration and Naturalization Service (INS) was unable to verify the alien's immigration status under Section 1326-13 of these regulations and any other relevant information provided by the INS in response to the department's request for such verification.
(c) As used in this regulation, the following terms have the meanings assigned:
(1) “Alien” means a claimant who was neither a United States citizen nor a United States national during all of his or her base period.
(2) “Preponderance of the evidence” means such evidence that, as when weighed against the evidence opposed to it, has the more convincing force and the greater probability of truth.
(3) “Base period services” means the services that are compensated by the wages paid in the claimant's base period as defined in Section 1275 of the code.
(4) “INS” means the United States Immigration and Naturalization Service.
(d) As a condition of eligibility and in order for the department to determine the extent to which base period wages may be used in the computation of benefits, all claimants shall state whether and to what extent they were United States citizens, nationals, or in one of the immigration statuses listed in subdivision (a) of this section, when they performed base period services.
(e) If any subdivision of this regulation or its application to any person or circumstance is held invalid, the invalidity shall not affect other subdivisions or applications of this regulation which can be given effect without the invalid subdivision or application, and in this respect the subdivisions of this regulation are severable.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1264, 1275 and 1326, Unemployment Insurance Code; Section 3304(a)(14), Title 26, United States Code.
HISTORY

1. New section filed 10-3-88; operative 10-3-88 pursuant to Government Code Section 11346.2(d) (Register 88, No. 42). For prior history, see Register 78, No. 28.
2. Change without regulatory effect amending subsection (a)(3), repealing subsections (c)(5)-(c)(5)(P) and (e) and relettering subsection, and amending Note filed 2-6-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 6).
§1265.6-1. Allocation of Holiday Payments.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1265.6, Unemployment Insurance Code.
HISTORY

1. New section filed 11-3-94 as an emergency; operative 11-3-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-3-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-28-95 as an emergency; operative 3-3-95 (Register 95, No. 9). A Certificate of Compliance must  be transmitted to OAL by 7-3-95 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 50).
Article 1.5. Retraining Benefits
§1267-1. Training Benefits--Definitions.
Note     •     History

For the purposes of Section 1267-2 of these regulations and Section 1267 of the code:
(a) “Apprentice” means only an individual at least 16 years of age who is in training under apprenticeship standards and a written apprenticeship agreement pursuant to Chapter 4 (commencing with Section 3070) of Division 3 of the Labor Code.
(b) “Training” means work-related programs approved by the department, including but not limited to, classroom training, instruction, or on-the-job training for an apprentice.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1267, Unemployment Insurance Code.
HISTORY

1. New section filed 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
2. Change without regulatory effect repealing subheading filed 1-24-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 4).
§1267-2. Eligibility.
Note     •     History

Any apprentice, otherwise eligible for benefits under the code, who is in training is eligible to receive such benefits for any week during which he or she is otherwise unemployed and participates in training, and such benefits shall not be denied to any apprentice for any such week because of the application of any provisions of the code relating to availability for work, active search for work, or refusal to accept work.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1267, Unemployment Insurance Code.
HISTORY

1. New section filed 8-3-79; effective thirtieth day thereafter (Register 79, No. 31).
§1267-3. Approved Training.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1267, Unemployment Insurance Code.
HISTORY

1. New section filed 7-13-2000 as an emergency; operative 7-13-2000 (Register 2000, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-10-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-6-2000 as an emergency, including amendment of subsection (b); operative 11-6-2000 (Register 2000, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-6-2001 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 38).
Article 2. Computation  (Amount and Duration)
§1277-1. Computation of Benefits Under Sections 1277 and 1281 of the Code--Base Period and Calendar Quarter.
Note     •     History

NOTE

Authority cited: Section 1277, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
2. Repealer filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1277-2. Definition of “Work.”
Note     •     History

For the purposes of Sections 1277 and 1277.5 of the code:
(a) “Work” means services performed by a person for remuneration under a bona fide contract with and payable by another person, including any employing unit, and includes services performed for income or earnings in self-employment, or as an employee as defined by Section 621 of the code, or as an independent contractor for a principal, or as an employee under the usual common law or admiralty rules regardless of whether the services are in “employment” under the code, and services which an employee is ready, willing and able to perform but is involuntarily prevented from performing by the actions of his or her employer.
(b) “Remuneration” as used in subdivision (a) of this regulation includes call-in or stand-by pay, but does not include “other benefits” as defined by Section 2629 of the code, pay for sick leave, vacation pay, back pay, supplemental unemployment benefit payments, severance, dismissal or separation pay, in-lieu-of-notice pay, or prizes, awards, or other gains received in any drawing, game, or contest.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1277, Unemployment Insurance Code.
HISTORY

1. New section filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15). For history of former section 1277-2, see Register 72, No. 24.
2. Amendment of subsection (b) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Amendment of subsection (a) filed 8-24-92; operative 9-23-92 (Register 92, No. 35).
Article 2.4. Work Sharing Unemployment Insurance Benefits
§1279.5-1. Definitions.
Note     •     History

The following definitions apply to the regulations in this article and Unemployment Insurance Code section 1279.5.
(a) “Affected work unit” means the entire work force or unit(s) within the total work force that are assigned by the work sharing employer to participate in the work sharing program.
(b) “Application” means the work sharing plan application submitted by an employer to the department.
(c) “Certification” means the work sharing certification which the work sharing employer issues to the employee so that the employee may file a claim for work sharing benefits.
(d) “Normal weekly wages” means the wages earned in a week that the employee would usually earn from the work sharing employer if there was no reduction in wages or hours due to work sharing, or wages earned for 40 hours, whichever is less.
(e) “Normal weekly hours of work” are either those hours an employee in the same position or job classification would have worked for the work sharing employer, if there had been no reduction in hours due to work sharing, or 40 hours, whichever is less.
(f) “Week” means the work sharing employer's payroll week. If the work sharing employer does not pay wages on a weekly basis, a “week” shall be a seven consecutive day period beginning at 12:01 a.m. Sunday and ending at midnight the following Saturday.
(g) “Work sharing benefits” means the unemployment insurance benefits payable under the provisions of Section 1279.5 of the Unemployment Insurance Code.
(h) “Work sharing employer” means the employer participating in the work sharing program.
(i) “Work sharing plan” means all the information submitted by the employer in the application to the department for participation in the work sharing program. (Refer to Section 1279.5-2 of these regulations for the required information.)
(j) “Work sharing program” means the program described in Section 1279.5 of the Unemployment Insurance Code which provides employers with an alternative to layoffs and their employees with the payment of reduced unemployment insurance benefits.
(k) “First contact date” means the date of the first contact between the department and the work sharing employer with regard to an application to participate in the work sharing program.
(l) “Regular employer” means (for work sharing purposes) the employer responsible for the following:
(1) Payment of wages,
(2) Withholding and payment of tax contributions,
(3) Determining the individual's normal weekly hours of work,
(4) Determining the individual's normal weekly wages,
(5) Reduction of the individual's normal weekly hours of work, and
(6) Reduction of the individual's normal weekly wages.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1279.5, Unemployment Insurance Code.
HISTORY

1. New article 2.4  and section filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94 and filed 8-18-94 (Register 94, No. 33).
3. Amendment of first paragraph and subsection (c) and new subsections (l)-(l)(6) filed 1-8-98; operative 2-7-98 (Register 98, No. 2).
§1279.5-2. Application for Plan Approval.
Note     •     History

(a) An employer who wishes to permit employees to participate in the work sharing program shall submit an application to the department. The application shall include:
(1) The employer name, telephone number, address, and California employer account number.
(2) The employer's specific type of business.
(3) The employer name that will be used on the work sharing certification.
(4) The employer name, address, and telephone number of the location(s) where the work sharing will occur, if different from subsection (a)(1).
(5) Whether the business/organization is a public entity. If so, the type of public entity that best describes the organization. For example, city, county, state, federal, school district, etc.
(6) The effective date of the work sharing plan. (Refer to Section 1279.5-3 of these regulations for the effective date of a new or renewal work sharing plan.)
(7) The effective date of the expanded coverage if adding employee(s) or work unit(s) to an existing work sharing plan. (Refer to Section 1279.5-4 of these regulations for the effective date of the expanded coverage.)
(8) The estimated weekly percentage reduction in hours and wages of employees participating in the work sharing plan.
(9) The work unit(s), the number of employees in the unit(s), and the number of employees participating in the work sharing plan.
(10) Whether the payroll periods are weekly, bi-weekly, monthly, or other. If the payroll periods are weekly, the day of the week the payroll ends.
(11) Whether the work sharing plan is part of a transition to a permanent layoff or closure.
(12) The circumstances which require the employer to participate in the work sharing program to avoid layoffs.
(13) Whether any participating employees are covered by a union/collective bargaining agreement. If so, the union name, local number, title and position of the collective bargaining agent authorized to approve the work sharing plan, and the date signed.
(14) Whether the employer is willing to have its name released when the Employment Development Department receives requests for the names of companies that would be willing to share their experiences in the work sharing program, bearing in mind that participating in the work sharing program is confidential.
(15) Whether the employer's work sharing plan involves at least two employees, at least ten percent of the work force or work unit(s), and at least a ten percent reduction in both hours worked and wages earned.
(16) The original signature of the corporate officer, sole proprietor, or general partner, authorized to approve the working sharing plan, if the employer is in private business.
(17) The original signature of the executive officer or person with authorization, substantiated in writing, to approve the work sharing plan, if the employer is a public entity.
(18) The printed or typed name of the signatory in subsections (16) and (17) of these regulations, their position or title, the contact person of the employer and his/her telephone number.
(b) The employer shall certify as follows:
(1) We understand that if we are a participating employer using the tax rate method, our reserve account will be charged in the usual manner for benefits paid under this program. In addition, these charges may increase the employer's unemployment insurance contribution rate in future years.
(2) We understand that if we are a participating reimbursable employer, we will be billed quarterly for the cost of benefits paid in the same manner as they are currently billed for other unemployment insurance benefits.
(3) We understand that a holiday cannot be used as a work sharing day unless the employee(s), in the same position, performed compensated services as part of the employee's normal weekly hours of work in that holiday, during the twelve month period prior to the employer's participation in the work sharing program. Furthermore, we understand that we are not to issue certification forms to employees that contain a holiday as the only work sharing day.
(4) We will provide the Employment Development Department with the weekly percent of reduction in hours and wages for each participating employee as a result of this work sharing program.
(5) We understand that in order to be eligible, an employee must have worked at least one normal work week with no reductions prior to issuance of a certification for benefit payment.
(6) We understand that if any employee is working for a school district and/or non-profit entity providing services to a school district, we must provide the Employment Development Department with the dates individual employees are between successive academic terms and/or in a recess period. Furthermore, we understand that we are not to issue certification forms to employees for those weeks the employee is between successive terms or in a recess period, where there is reasonable assurance that the employee will return to work. (Section 1253.3 of the California Unemployment Insurance Code.)
(7) We understand that a plan approved by the Employment Development Department shall expire six months after its effective date. Expanded coverage approved to add other work unit(s) shall expire on the same date as the plan. A new plan may be approved immediately following the expiration of the previous plan if the employer submits the new plan no more than ten days after the prior plan expired and the employer finds it necessary to provide employees with continuous coverage under this program.
(8) We understand that leased or temporary service employees that are provided by another employer cannot be covered under this work sharing plan.
(9) We understand that leased or temporary service employees we provide to other employers cannot be covered under this work sharing plan.
(c) The director shall approve or disapprove the work sharing plan by the close of business no later than five working days from the date the completed work sharing plan is received.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1279.5, Unemployment Insurance Code.
HISTORY

1. New section filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94 and filed 8-18-94 (Register 94, No. 33).
3. Editorial correction of subsections (a)(6) and (14) (Register 94, No. 33).
4. Amendment of subsections (a)(1) and (a)(10) and new subsections (b)(8)-(c) filed 1-8-98; operative 2-7-98 (Register 98, No. 2).
§1279.5-3. Effective Date of Work Sharing Plan.
Note     •     History

(a) An application for a new work sharing plan must be mailed and have a postmark date within 28 days of the first contact date to be considered timely.
(1) If a timely application for a new work sharing plan has been submitted to the department, the effective date of the work sharing plan shall be no earlier than the Sunday before the first contact date with the department to apply for the work sharing program. If the contact is made by mail, the postmark date of the envelope containing the employer's correspondence shall be considered the first contact date.
(b) If a timely application for a renewal of a work sharing plan has been submitted, the effective date of the work sharing plan shall be no earlier than the day after the prior plan expires, providing the plan application is submitted no more than ten days after the prior plan expired.
(c) A delayed filing of the new or renewal application shall be considered timely if good cause for the delay in filing is established. Good cause shall include:
(1) A diligent attempt by the employer, as determined by the department, to obtain the required original signature on the application of the authorized person who was unavailable to sign the document within the prescribed time limit.
(2) A diligent attempt by the employer, as determined by the department, to obtain the required original signature(s) on the application of the collective bargaining agent(s) who were unavailable or undecided on signing the document within the prescribed time limit.
(d) The department may elect to apply two exceptions to the rule set forth above in subsection (a)(1) of these regulations as follows:
(1) The Sunday after the first contact date with the department to apply for the work sharing program, if requested by the employer on the work sharing plan application, or
(2) Two Sundays before the first contact date with the department to apply for the work sharing program, if one of the following conditions is met:
(A) The employer's payroll week ends on a day other than Saturday, or
(B) The hours and wages of employees who will be participating in the work sharing plan will be reduced during the week which includes the Sunday before the first contact date with the department to apply for the work sharing program.
(e) If the employer fails to submit a timely application, without good cause, the plan shall have an effective date no earlier than the Sunday prior to the postmark date of the application.
(f) The department shall not approve a work sharing plan if the effective date is prior to the expiration date of another work sharing plan for the same California employer account number.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1279.5, Unemployment Insurance Code.
HISTORY

1. New section filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94 and filed 8-18-94 (Register 94, No. 33).
§1279.5-4. Expanding Coverage.
Note     •     History

(a) To add work unit(s) covered by the collective bargaining agreement to a previously approved work sharing plan, the work sharing employer shall submit an additional application and provide the information as described in Section 1279.5-2 of these regulations.
(b) The effective date of the expanded coverage shall be no earlier than the previously approved work sharing plan.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1279.5, Unemployment Insurance Code.
HISTORY

1. New section filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94 and filed 8-18-94 (Register 94, No. 33).
§1279.5-5. Work Sharing Employer Responsibilities in the Claim Filing Process.
Note     •     History

(a) The work sharing employer shall complete a certification to enable an employee to file a claim for weekly or bi-weekly work sharing benefits.
(b) The work sharing employer shall issue the certification to the employee by the later of either the fourteenth calendar day after the end of the week to which the certification applies, or the fourteenth calendar day after the department sends written notification to the work sharing employer that its work sharing plan has been approved.
(c) The issuance date of the certification may be extended, with the approval of the department, in cases where the department deems the work sharing employer has attempted, in good faith, to meet the timelines in Section 1279.5-5 subsection (b) of these regulations.
(d) The certification shall be considered “issued” to the employee on the date of the occurrence of any of the following events:
(1) Hand delivered to the employee, or
(2) Mailed to the employee, or
(3) Made available to the employee at a pickup point familiar to the employee.
(e) On each certification, the information provided by the work sharing employer shall include:
(1) The name and social security number of the employee.
(2) The ending date(s) of the week(s) to which the certification applies.
(3) The normal weekly wages earned by the employee.
(4) The reduced wages paid due to work sharing during the week(s) to which the certification applies. (See Section 1279.5-7 of these regulations.) The reduced wages paid shall include any type of pay received for work performed (or leave taken) during that week including, but not limited to:
(A) Regular wages,
(B) Overtime pay,
(C) Bonus pay (allocated to the week(s) in which the service was performed, not the week in which the bonus pay was paid),
(D) Vacation, sick leave, holiday or personal leave pay.
(5) The percentage of wage reduction due to work sharing. This is the normal weekly wages in above subsection (3) of these regulations minus the reduced wages described in subsection (4) of these regulations and divided by the normal weekly wages in subsection (3).
(6) A The normal weekly hours of work and the employee.
(7) The reduced hours worked due to work sharing by the employee during the week(s) to which the certification applies. The reduced hours worked shall not exceed 36 hours. (See Section 1279.5-8 of these regulations.)
(8) The percentage of hour reduction due to work sharing. This is the normal weekly hours of work in above subsection (6) of these regulations minus the reduced weekly hours described in subsection (7) of these regulations and divided by the normal weekly hours of subsection (6).
(9) A statement as to whether or not the employee was absent from work for reasons other than a reduction in hours/days under the work sharing plan. If so, the work sharing employer shall indicate whether or not the absence was approved by the work sharing employer. If the absence was not approved, the work sharing employer shall provide the date(s) of the absence and the reason for the absence.
(10) A statement as to whether or not the employee refused an offer of work that was offered for the hours and/or day(s) during which the employee had originally been scheduled to be off work due to the work sharing plan.
(11) The day(s) and hours used for reductions due to the work sharing plan.
(12) A statement that:
(A) The information concerning the status of the work sharing employer and the status/earnings of the employee for the purposes of participating in the work sharing program are true and correct to the best of the work sharing employer's knowledge.
(B) Two of the work sharing employer's employees, and not less than ten percent of the work sharing employer's regular permanent work force involved in the affected work unit or units, participated in the Work Sharing plan in each week or in at least one week of a consecutive two-week period.
(13) The work sharing employer's name, California employer account number, and telephone number.
(14) The original signature, typed or printed name, and the title of an authorized representative of the work sharing employer.
(15) The date the certification was issued to the employee. This date must be later than the week ending date(s) to which the certification applies.
(f) If the work sharing employer elects to submit a completed certification on behalf of the participating employee, the work sharing employer must submit the completed certification to the Department within 14 calendar days from the date issued to the employee.
(g) Upon a request by the employer, the requirements of this section may be waived upon approval by the department for the purposes of allowing the certifications to be filed by the work sharing employer through another medium, such as computer magnetic tape. The department may approve a request for a waiver if the employer can demonstrate to the department that it meets specified conditions including, but not limited to, the following:
(1) The employer is capable of providing the department with all information required by this section through another medium, such as electronic filing or computer magnetic tape filing;
(2) The information will be provided in a format which the department is capable of processing based upon available facilities, equipment and personnel;
(3) The claims for benefits can be processed in a more timely manner; and
(4) That other statutory and regulatory requirements pertaining to claims for benefits will be satisfied.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1279.5, Unemployment Insurance Code.
HISTORY

1. New section filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94 with new subsections (f)-(f)(4) and filed 8-18-94 (Register 94, No. 33).
3. Amendment filed 2-15-96; operative 3-14-96 (Register 96, No. 7).
4. Amendment of subsections (b), (e)(4), (e)(5), (e)(7), (e)(8) and (e)(13), new subsections (e)(4)(A)-(e)(4)(D) and (f), and subsection relettering filed 1-8-98; operative 2-7-98 (Register 98, No. 2).
§1279.5-6. Claimant Responsibilities in the Claim Filing Process.
Note     •     History

(a) Filing the initial claim. The employee shall file the first certification received from the work sharing employer with the department and complete a new claim as specified in Section 1326-2 of these regulations no later than fourteen calendar days after the date the certification was issued by the work sharing employer.
(b) Filing continued certifications. The claimant shall complete and present to the department the certification received from the work sharing employer no later than fourteen calendar days after the date it was issued by the work sharing employer. If the certification is mailed to the department, it must be postmarked no later than fourteen calendar days after the date it was issued by the work sharing employer.
(c) On each certification the information provided by the claimant shall include:
(1) Whether the claimant had a change of address or telephone number that week. If so, the claimant shall supply the new address and/or telephone number.
(2) If there were any reasons, other than work sharing, for not accepting all work offered to the claimant by the work sharing employer during the week to which the certification applies, such as, jury duty, holiday, illness, or personal leave. If so, the claimant shall provide the date(s) and reason the claimant could not work.
(3) Whether the claimant worked for someone other than the work sharing employer or was self-employed during the week to which the certification applies. If so, the claimant shall provide the following:
(A) The name and address of the non-work sharing employer.
(B) The last date worked for the non-work sharing employer.
(C) The gross earnings from the non-work sharing employer, or from jury duty, or net earnings from self-employment for the week to which the certification applies, whether paid or not.
(D) A statement as to whether or not the claimant is still working for the non-work sharing employer and, if not, the date and reason for the separation from employment.
(4) A statement that:
(A) The information provided is true and correct to the best of the claimant's knowledge, and
(B) The claimant understands that the law provides for a fine and/or imprisonment for making false statements or withholding facts to receive unemployment insurance benefits.
(5) The claimant's original signature and the date signed.
(d) The 14-day time limit for filing the certifications may be extended for good cause as provided in Section 1326-10 of these regulations.
(e) Upon a request by the employer, the requirements of this section may be waived upon approval by the department for the purposes of allowing the certifications to be filed by the work sharing employer through another medium, such as computer magnetic tape. The department may approve a request for a waiver if the employer can demonstrate to the department that it meets specified conditions including, but not limited to, the following:
(1) The employer is capable of providing the department with all information required by this section through another medium, such as electronic filing or computer magnetic tape filing;
(2) The information will be provided in a format which the department is capable of processing based upon available facilities, equipment and personnel;
(3) The claims for benefits can be processed in a more timely manner; and
(4) That other statutory and regulatory requirements pertaining to claims for benefits will be satisfied.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1279.5, Unemployment Insurance Code.
HISTORY

1. New section filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94 with new subsections (e)-(e)(4) and filed 8-18-94 (Register 94, No. 33).
3. Amendment filed 2-15-96; operative 3-14-96 (Register 96, No. 7).
4. Amendment of subsections (a), (b) and (c)(4)(B) filed 1-8-98; operative 2-7-98 (Register 98, No. 2).
§1279.5-7. Calculation of Wage Reduction.
Note     •     History

(a) To calculate the percentage by which an employee's normal weekly wages were reduced during a week as a result of a work sharing plan, the work sharing employer shall:
(1) Subtract the actual (reduced) wages earned during the work sharing week (wages are described below in subsection (b) of these regulations) from the normal weekly wages (wages the employee earned before the implementation of the work sharing plan), and
(2) Divide the difference (obtained in above subsection (a)(1) of these regulations) by the normal weekly wages.
Example: The claimant's normal weekly wages are $420.00. However, due to work sharing reductions, the claimant's actual wages earned during the work sharing week are $336.00. The claimant's wages have been reduced by $84.00 ($420.00 - $336.00 = $84.00). To determine the percentage of wage reduction, divide the amount the wages have been reduced by the normal weekly wages, this figure is the percentage by which the normal weekly wages were reduced ($84.00 ¸ $420.00 = .20, or a 20% reduction in the normal weekly wages.
(b) Wages earned during the work sharing week shall include:
(1) Wages for services performed by the employee during the week to which the certification applies for the work sharing employer.
(2) Vacation pay, holiday pay, sick leave pay, and other types of paid leave for time off from work. These wages are allocable to the week of the vacation, holiday, sick leave, or other paid leave.
Example: The employees of work sharing employer A recently worked three days, received holiday pay for the fourth day, and were on an unpaid day off due to work sharing on the fifth day. For work sharing purposes, the employees are considered to have a corresponding reduction in wages and hours for the week of the holiday of 20% (the fifth day only) and are entitled to 20% of the weekly unemployment insurance benefit amount.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1279.5, Unemployment Insurance Code.
HISTORY

1. New section filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94 and filed 8-18-94 (Register 94, No. 33).
3. Amendment of subsections (a)(1) and (a)(2) filed 1-8-98; operative 2-7-98 (Register 98, No. 2).
4. Editorial correction of subsection (a)(2) (Register 2002, No. 45).
§1279.5-8. Calculation of Hour Reduction.
Note     •     History

(a) To calculate the percentage by which an employee's normal weekly hours of work were reduced as a result of a work sharing plan, the work sharing employer shall:
(1) Subtract the actual (reduced) hours worked during the work sharing week (hours worked are described below in subsection (b) of these regulations) from the normal weekly hours of work (hours the employee would have worked) before the implementation of the work sharing plan), and
(2) Divide the difference (obtained in above subsection (a)(1) of these regulations) by the normal weekly hours of work.
Example: The claimant's normal weekly hours of work are 40. However, due to work sharing, the claimant's hours were reduced to 32. The claimant's hours have been reduced by 8 hours (40 - 32 = 8). To determine the percentage of hour reduction, divide the amount the hours have been reduced by the normal weekly hours worked, this figure is the percentage by which the normal weekly hours were reduced (8 ¸ 40 = .20, or a 20% reduction in the normal weekly hours of work).
(b) Hours worked during the work sharing week shall include:
(1) Hours an employee is paid for performing services for the work sharing employer.
(2) Hours an employee is paid for time off due to vacation, holiday, sick leave, and other types of paid leave. The hours are allocable to the week the vacation, holiday, sick leave, or other paid leave was taken.
(3) Volunteer (unpaid) hours worked performing services during the week to which the certifications applies for the work sharing employer.
(c) Holidays. An employee is not entitled to work sharing benefits for holidays on which no services are performed by the employee and for which no wages are paid unless that holiday was considered part of the employee's normal weekly hours of work during the twelve months prior to the effective date of the work sharing plan. To be considered part of the employee's normal weekly hours of work during that period, an employee in that same position or job classification must have been scheduled to perform compensated services for the work sharing employer on that holiday.
The claimant in example 1 is entitled to work sharing benefits for the holiday:
Example 1: Claimant A, a security guard, worked and was paid for the July 4th holiday last year. The holiday was considered part of the security guard's normal days of work during the week. The employer is now participating in the work sharing program and decides that, for the upcoming July 4th holiday, security guards in the claimant's work unit will not work and will not be paid. This is the only unpaid day off during that week. For work sharing purposes, the claimant is considered to have suffered a corresponding reduction in the normal weekly hours of work and wages (20%) and would, therefore, be entitled to work sharing benefits.
The employees in example 2 are not entitled to work sharing benefits for the holiday:
Example 2: The employees of ABC Company, a work sharing employer, will not work and will not be paid for the Veterans Day holiday. They will be working the other four workdays that week. Last year, when the work sharing employer was not in the work sharing program, Veterans Day was a paid day off for all employees. Although there will be a reduction in wages, claimants will not be entitled to work sharing benefits for the week of the holiday since there will be no corresponding reduction in hours from the normal weekly hours of work.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1279.5, Unemployment Insurance Code.
HISTORY

1. New section filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94 and filed 8-18-94 (Register 94, No. 33).
3. Amendment of subsections (a)(1), (a)(2)  and (c) filed 1-8-98; operative 2-7-98 (Register 98, No. 2).
§1279.5-9. Refusal to Approve Work Sharing Plan.
Note     •     History

(a) The director may refuse to approve a new or subsequent work sharing plan for good cause. Good cause shall include but not be limited to:
(1) The work sharing employer's failure to comply with the timeliness requirements contained in Section 1279.5-5 of these regulations with respect to a prior work sharing plan submitted by that work sharing employer, or
(2) The work sharing employer's failure to provide the information (described in Section 1279.5-5 of these regulations) necessary to process claims under a prior work sharing plan submitted by that work sharing employer, or
(3) The work sharing employer willfully providing false information, or withholding material information, related to the approval of a prior work sharing plan submitted by that work sharing employer, or
(4) The work sharing employer including employees in the work sharing plan who are leased or temporary service employees from another employer, or
(5) The work sharing employer including employees in the work sharing plan who are provided to another employer either as leased or temporary service employees.
(b) The director may elect to apply an exception and approve a subsequent work sharing plan if the work sharing employer provides assurances satisfactory to the department that similar negligent or willful acts or failures to act will not take place with respect to the new work sharing plan.
(c) The employer may submit a request for review of the disapproved work sharing plan to the director's work sharing administrator. The request shall be submitted within twenty (20) days of the mailing date of the notice of disapproval. The request shall include the following information:
(1) The name of the business,
(2) The employer's California employer account number,
(3) The requested effective date of the disapproved work sharing plan, and
(4) A statement by the employer supporting its position as to why the director does not have good cause to disapprove the work sharing plan.
(d) The director's work sharing administrator shall conduct the review and determine whether or not good cause exists for the disapproval of the work sharing plan.
(1) If the director's work sharing administrator determines that the work sharing plan was disapproved with good cause, the director's work sharing administrator shall mail written notification of the decision to the employer within twenty (20) days of receipt of the request for review. 
(2) If the director's work sharing administrator determines that the work sharing plan was disapproved without good cause, the director's work sharing administrator shall mail written notification of the decision to the employer within twenty (20) days of receipt of the request for review. The written decision shall also notify the employer of the effective date of the work sharing plan.
(e) The director`s work sharing administrator's decision on the approval or disapproval of a work sharing plan is the final administrative decision.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1279.5, Unemployment Insurance Code.
HISTORY

1. New section filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94 with amendment of subsections (a)(1)-(3) and filed 8-18-94 (Register 94, No. 33).
3. Amendment of subsection (a) and new subsections (c)-(e) filed 2-15-96; operative 3-14-96 (Register 96, No. 7).
4. Amendment of subsections (a)-(a)(3), new subsections (a)(4) and (a)(5), and amendment of subsection (d) filed 1-8-98; operative 2-7-98 (Register 98, No. 2).
§1279.5.-10. Termination of a Work Sharing Plan.
Note     •     History

(a) The director may terminate a work sharing plan for good cause. Good cause shall include but not be limited to:
(1) The work sharing employer's failure to comply with the timeliness requirements of Section 1279.5-5 of these regulations, unless the work sharing employer provides evidence satisfactory to the department that such failure was inadvertent, and that the work sharing employer at all times acted diligently, and without procrastination, negligence, or carelessness, or
(2) The work sharing employer's failure to provide the necessary information to process the claims for work sharing benefits as contained in Section 1279.5-5 of these regulations, or
(3) The work sharing employer willfully providing false information or withholding material information related to the approval of a work sharing plan, or related to the filing of certifications for work sharing benefits, for the purpose of gaining approval of the work sharing plan, or
(4) The work sharing employer includes employees in the work sharing plan who are leased or temporary service employees from another employer, or
(5) The work sharing employer includes employees in the work sharing plan who are provided to another employer either as leased or temporary service employees.
(b) The employer may submit a request for review of the terminated work sharing plan to the director's work sharing administrator. The request shall be submitted within twenty (20) days of the mailing date of the notice of termination. The request shall include the following information:
(1) The name of the business,
(2) The employer's California employer account number,
(3) The requested effective date of the terminated work sharing plan, and
(4) A statement by the employer supporting its position as to why good cause does not exist for the termination of the work sharing plan.
(c) The director's work sharing administrator shall conduct the review and determine whether or not good cause exists for the termination of the work sharing plan.
(1) If the director's work sharing administrator determines that the work sharing plan was terminated with good cause, the director's work sharing administrator shall mail written notification of the decision to the employer within twenty (20) days of receipt of the request for review.
(2)  If the director's work sharing administrator determines that the work sharing plan was terminated without good cause, the director's work sharing administrator shall mail written notification of the decision to the employer within twenty (20) days of receipt of the request for review. The written decision shall also notify the employer of the effective date of the work sharing plan.
(d) The director's work sharing administrator's decision on the approval or disapproval of a work sharing plan is the final administrative decision.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1279.5, Unemployment Insurance Code.
HISTORY

1. New section filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94 and filed 8-18-94 (Register 94, No. 33).
3. Redesignation of first paragraph and subsections (a)-(c) as subsections (a)-(a)(3) and new subsections (b)-(d) filed 2-15-96; operative 3-14-96 (Register 96, No. 7).
4. Amendment of subsections (a)(1)-(3) and new subsections (a)(4) and (a)(5) filed 1-8-98; operative 2-7-98 (Register 98, No. 2).
Article 2.7. Irregular or Infrequent Wage Payments
§1282-1. Allocations of Wages Paid at Irregular or Infrequent Intervals.
Note     •     History

For the purpose of determining a claimant's maximum benefits and weekly benefit amount for unemployment compensation benefits, when because of the irregular or infrequent intervals of the wage payments, wage records would not otherwise fairly indicate the claimant's employment during his base period, the department shall apportion the amount of such wage payments among the calendar quarters covered by the wages according to the length of employment in each of such quarters.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1282, Unemployment Insurance Code.
HISTORY

1. New section filed 9-5-61; designated effective 9-15-61 (Register 61, No. 18).
2. Amendment of NOTE filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. New article 2.7 heading filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of  law on  the following day.
4. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94  and filed 8-18-94 (Register 94, No. 33).
Article 3. Filing, Determination, and Payment of Unemployment Compensation Benefit Claims
§1326-1. Benefit Claims--In General.
Note     •     History

(a) Any person who has become separated from his or her work, who is working on a part-time basis, or who is a partially unemployed individual may file a claim for benefits. Benefits shall be claimed as prescribed in Sections 1326-2 through 1326-12 of these regulations.
(b) There are four basic steps in the usual procedures for handling a typical unemployment benefit claim. Sections 1326-2 through 1326-13 of these regulations give detailed definitions and procedures applicable to the several different types of claims and should be referred to for greater detail and exceptions to usual procedures. The usual procedures are as follows:
(1) STEP 1. First contact filing of a new claim for unemployment benefits, and benefit rights interview.
(A) An individual who becomes unemployed and wishes to claim unemployment benefits is required to contact an Employment Development Department field or branch office,  to file  a new claim for unemployment insurance benefits. The claimant provides his or her last employer's name and address. The department mails that employer notice of the filing of the claim. The employer responds with any information relating to the claimant's eligibility. When the new claim is filed, the claimant completes an employment history and registers for work. The department interviews the claimant in detail as to the reasons for his or her unemployment and any other facts which might raise a question of eligibility. The department informs the claimant in writing of  his or her benefit rights and duties, gives assistance in filing the new claim, and provides written instructions on his or her responsibility to look for work. 
(B) If there is no eligibility issue, the claimant is told to file continued claims every two weeks in order to be paid benefits, assuming continued eligibility. (See STEP 2.) The department directs the claimant to report in person to the department field or branch office for an in-depth periodic eligibility review. (See STEP 3.) The review is scheduled two weeks subsequent to the first interview, or at a later date if in the judgment of the department this is warranted by the circumstances relevant to the particular claimant.
COMMENTS: Some of the factors the department may consider in determining when a claimant will be required to report in person for an in-depth periodic eligibility review include: the likelihood that eligibility issues will arise, the condition of the labor market, work opportunities for the claimant, the claimant's attachment to the labor market, the seasonal nature of the claimant's work, transportation facilities available to the claimant, and remoteness of claimant's residence from department field offices.
(C) If a potential eligibility issue arises and is not readily clarified or removed by the claimant's explanation, the claimant is scheduled for a determination interview. (See STEP 4.)
(2) STEP 2. First and continuous biweekly continued claims and payments.
In the third week, or as directed by the department, in order to receive credit for the waiting week and to receive payment for the second week, the claimant files by mail, or as directed by the department, a “continued claim” form certifying that he or she meets all eligibility requirements. (See Section 1326-6 of these regulations.) This certification includes whether he or she worked during the weeks for which benefits are claimed, how much pay was earned, if any, that he or she was physically able to work each day, tried to find work, and whether he or she refused any work. The certification also includes a statement that he or she declares under penalty of perjury that he or she is a U.S. citizen or national; or an alien in satisfactory immigration status and permitted to work by the Immigration and Naturalization Service; and that he or she is aware the law provides penalties for the commission of a misrepresentation of facts to receive benefits, and that he or she is signing the application for benefits after the date for which benefits are claimed. The certification under penalty of perjury complets the procedures for filing a new claim.
Under the mail payment system, the claimant mails to the department the continued claim form which he or she has completed. The department reviews the continued claim to determine whether a question of eligibility is raised. If an answer raises a potential eligibility issue, the department requires the claimant to explain that answer. If the claimant is eligible, the department mails a benefit check to the claimant. The same process is completed every two weeks until the claimant is required to report in person, as scheduled, for a periodic eligibility review. (See STEP 3.)
(3) STEP 3. Periodic eligibility review in-person reporting for all claimants.
The claimant reports in person, as scheduled, to the department for an in-depth interview focusing on the specific efforts the claimant has made to find work and his or her job prospects. That interview is designed to discover any potential eligibility issue. The department reviews all available information. If eligible, the claimant is mailed his or her benefit check and the department again schedules the claimant to report in person to the department for the next periodic eligibility review. This step is repeated throughout the life of the claim.
(4) STEP 4. Determinations of eligibility--interviews by telephone or in-person reporting.
If at any time during any of STEPS 1 through 3 the department identifies any potential eligibility question, the claimant is notified that an interview by telephone or in person reporting may be required. The department interviews the claimant in depth on all eligibility issues raised and completes a written determination of the claimant's eligibility or ineligibility.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1326, Unemployment Insurance Code.
HISTORY

1. Amendment filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment of subsection (a) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Amendment of subsections (b)(2) and (b)(5) filed 2-1-88 as an emergency; operative 2-1-88 (Register 88, No. 7). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-31-88.
4. Certificate of Compliance transmitted to OAL 5-13-88 and filed 6-1-88 (Register 88, No. 23).
5. Editorial correction of printing error inadvertently omitting text in STEP 5 (Register 91, No. 10).
6. Amendment filed 8-24-92; operative 9-23-92 (Register 92, No. 35).
7. Editorial correction restoring History 3 and 4 and renumbering subsequent History Notes (Register 95, No. 15).
8. Amendment of subsections (b)(1)(A) and (b)(2) filed 5-6-96; operative 6-5-96 (Register 96, No. 19).
§1326-2. New Claim for Unemployment Insurance Benefits--Filing and Contents.
Note     •     History

(a) “New Claim” means an application for the establishment of a benefit year and a computation of the maximum benefits payable and the weekly rate. (For a general description of the claims filing procedures for unemployment benefits, see Section 1326-1 of these regulations.)
(b) Any person who is an unemployed individual, as defined in Sections 1252 or 1279.5 of the code, may file a new claim. (See Sections 1252-1, 1252.1-1, and 1252.2-1 of these regulations.) The claimant shall file the new claim by contacting the department and shall set forth:
(1) His or her first and last name, and middle initial if applicable.
(2) His or her social security account number, and any other names and social security account numbers by which the claimant is or was known.
(A) The department may require the claimant to verify the social security account number as being the one issued to him or her by the Social Security Administration if the information available to the department indicates that the social security account number presented by the claimant may belong to another individual, is not a valid social security account number, or was never issued by the Social Security Administration, or that the wages shown in the base period of the claim may belong to another individual. 
(B) If the department requires a claimant to verify the social security account number which he or she has provided to the department during the claim application, the claimant must submit verification of his or her social security account number through the Social Security Administration, or he or she may submit to the department a copy of his or her annual statement issued to him or her by the Social Security Administration. 
(3) His or her date of birth, including month, day, and year. 
(4) His or her gender.
(5) His or her current mailing address.
(6) His or her current residence address. 
(7) His or her driver's license number or identification card number, provided that the driver's license or identification card was issued by a local, state, or federal agency, or a foreign government, and the card contains his or her full name, date of birth, and photograph. 
(8) The date he or she last worked for his or her most recent employer. 
(9) The reason he or she is no longer working for his or her most recent employer. The department shall promptly notify the individual's most recent employer of the reason the individual has given as to the reason he or she is no longer working for his or her most recent employer. The department may use the claimant's statement as to the reason he or she is no longer working for his or her most recent employer to assign the individual an appropriate seek work plan. 
(10) The name and mailing address of his or her most recent employer, except in cases where due to reasons beyond the claimant's control, the claimant does not know the name or address of his or her most recent employer. For example, the claimant may have no record of wages paid, or his or her most recent employer may now be out of business, the employer may have moved, or the employer may have died. 
(11) The name or names of his or her base period employer or employers; the estimated wages that individual earned during the base period; and the approximate periods of employment for that individual with the base period employer or employers. If the information available to the department indicates that the wages reported for that individual may not belong to that individual, the department may require that individual to provide information to substantiate that he or she earned the reported wages 
(12) Whether he or she in the 19 months preceding the filing of a new claim served in the United States armed forces, or worked for an agency of the State of California, of another state or of the federal government, or worked for an employer in another state.
(13) Whether he or she has filed a claim for unemployment insurance or disability insurance against California, against another state or against the federal government in the past 24 months.
(14) Whether he or she is a member of a union, and if so, the name and number of the union local, and whether he or she is registered as out of work with his or her union.
(15) Whether he or she is unemployed or working part time and knows the law requires true and complete answers, and that he or she may be required to register for work (as defined in Section 1251-1 of these regulations).
(16) A statement that the claimant is a citizen or national of the United States and, if not, that the claimant is in a satisfactory immigration status, as defined in Section 1326-13(c)(1) of these regulations. The claimant shall also make the statement set forth in Section 1264-1(d) of these regulations, as to his or her citizenship or immigration status during the base period.
(17) Such other information as the department may require.
(c) Immediately following filing of the new claim, the department shall:
(1) Notify the claimant in writing of his or her claim information, as provided by the claimant to the department. The claimant notification may include, but shall not be limited to the following information:
(A) The beginning date of the claim filed.
(B) The last employer name, address, city, state, and zip code as provided by the claimant.
(C) The last day worked as provided by the claimant.
(D) The reason no longer working as provided by the claimant.
(E) Whether or not the claimant is receiving a pension or other income.
(F) Whether or not the claimant is able and available to accept full time work.
(G) Whether or not the claimant has the legal right to work in the United States.
(H) The social security number provided by the claimant, or the Employment Development Department Client Number assigned to that claimant by the department. 
(2) Notify the claimant that he or she may contact the department by telephone or in writing to correct any omissions or errors within ten (10) days from the mailing date of the claimant notification. The notification shall specify how to contact the department by telephone or in writing.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1264, 1279.5, 1326 and 1327, Unemployment Insurance Code; Section 1324a(b), Title 8, United States Code; Section 1320b-7(d), Title 42, United States Code; and Section 55, Chapter 329, Statutes of 1998.
HISTORY

1. Repealer and new section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment of subsection (b) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Renumbering of amendment of former subsection (b)(1) to subsection (b)(2) and renumbering of former subsection (b)(2) to subsection (b)(1), repealer of subsection (b)(6), renumbering of subsections (b)(7)-(b)(14) to subsections (b)(6)-(b)(13) and new subsection (b)(14) filed 10-3-88; operative 10-3-88 pursuant to Government Code section 11346.2(d) (Register 88, No. 42).
4. Editorial correction of printing error inadvertently including obsolete copy of subsection (6), consequently mislabelling subsections (7) through (13), and omitting new subsection (14) text. (Register 91, No. 10).
5. Amendment of section heading, text and Note  filed 3-11-94 as an emergency; operative 3-11-94 (Register 94, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-11-94 or emergency language will be repealed by operation of  law on  the following day.
6. Certificate of Compliance as to 3-11-94 order transmitted to OAL 7-11-94  and filed 8-18-94 (Register 94, No. 33).
7. Amendment of subsections (b), (b)(2) and (b)(8), repealer of subsection (b)(13) and (b)(15) and subsection renumbering and amendment of newly designated subsection (b)(13) filed 5-6-96; operative 6-5-96 (Register 96, No. 19).
8. New subsections (c)(1)-(2) and amendment of Note filed  8-5-99 as an emergency; operative 8-5-99 (Register 99, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-3-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 8-5-99 order transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
10. Amendment filed 7-21-2003 as an emergency; operative 7-21-2003 (Register 2003, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-18-2003 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 7-21-2003 order transmitted to OAL 11-7-2003 and filed 12-24-2003 (Register 2003, No. 52).
12. Editorial correction of subsection (b)(15) (Register 2004, No. 10).
§1326-3. Identity Verification.
Note     •     History

(a) A claimant will be required to provide information to the department as described in Sections 1326-2, 1326-4, 1326-5, or 1326-6 of this Division. The information provided by the claimant must be sufficient for the department to: 
(1) establish the identity of the claimant, and; 
(2) verify that the wages reported under the social security number provided belong to the claimant. 
(b) If the information provided to the department by the claimant under Sections 1326-2, 1326-4, 1326-5, or 1326-6 of this Division does not sufficiently establish the identity of the claimant, or if the department cannot verify that the wages reported under the social security number provided belong to the claimant, the department shall: 
(1) Require the claimant to verify his or her identity by presenting a photo identification and one of the following document(s) as defined in Section 1251-1 of this Division: 
(A) Social security number verification. 
(B) Date of birth verification. 
(C) Address verification. 
(D) Employment data. 
(2) Ask the last employer of the claimant, and all of the claimant's base period employers, to provide the following information: 
(A) Any other names used by the individual who earned the wages. 
(B) Any other social security numbers used by the individual who earned the wages. 
(C) Dates of employment for the individual who earned the wages. 
(D) Last known phone number for the individual who earned the wages. 
(E) Last known mailing and residence addresses of the individual who earned the wages. 
(c) If the information available to the department indicates that the identity of the claimant may not be the same as the individual who earned the wages reported to the department, the department shall request the individual who claims to be the true owner of the identity to certify under penalty of perjury whether or not he or she filed the claim for unemployment insurance compensation. 
(d) The claimant shall have a reasonable opportunity, as determined by the department, to provide the information requested pursuant to paragraph (b)(1) above to the department. The claimant shall have the right to request additional time to provide the requested information to the department. 
(e) If, within ten (10) days from the mailing date of the request, the claimant has not supplied the requested information, and has not contacted the department to request additional time to provide the requested information, the department shall grant or deny the benefits based on the information available to the department, pursuant to Section 1253(a) of this Division. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1085, 1092, 1257, 1326 and 1327, Unemployment Insurance Code.
HISTORY

1. New section filed 7-21-2003 as an emergency; operative 7-21-2003 (Register 2003, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-18-2003 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 79, No. 13.
2. Certificate of Compliance as to 7-21-2003 order transmitted to OAL 11-7-2003 and filed 12-24-2003 (Register 2003, No. 52).
3. Editorial correction of subsection (c) (Register 2004, No. 10).
§1326-4. Additional Claims for Unemployment Benefits Filing and Contents.
Note     •     History

(a) “Additional claim” means an application which certifies to the beginning date of a period of unemployment:
(1) Which falls within a previously established benefit year, extended duration period, or extended benefit period,
(2) When a break of one or more weeks has occurred in the claim series with intervening employment. There has been a break in the claim series with intervening employment under any of the following circumstances:
(A) The claimant filed a continued claim or partial claim for a week in which he or she was ineligible for benefits pursuant to section 1279 of the code due to excessive earnings from services performed in employment during such week. (See sections 1326-6 and 1326-8 of these regulations for definitions of continued claim and partial claim.)
(B) The claimant was ineligible to file a continued claim or partial claim for a week because he or she was not unemployed, as defined in section 1252 of the code, in such week.
(C) The claimant failed to file a continued claim or partial claim for a week during which he or she performed compensated services in employment.
(b) If a claimant who is unemployed wishes to resume or to continue claiming benefits, and the conditions specified in subdivision (a) of this section are satisfied, an additional claim shall be filed except as provided in subdivision (d) of this section. The claimant shall file the additional claim by contacting a department field or branch office. When filing the additional claim, the claimant shall set forth the information specified in subdivision (b) of section 1326-2 of these regulations.
(c) Notwithstanding subdivision (b) of this section, an additional claim may not be filed by a claimant who is:
(1) Under a disqualification for a fixed period pursuant to subdivision (b) of section 1257 or 1261 of the code, unless he or she has appealed the disqualification or unless he or she is also subject to disqualification pursuant to subdivision (a) of section 1257 of the code.
(2) Awaiting an eligibility decision by the department on a prior claim filed in the same benefit year or extended benefit period.
(d) The department shall give prompt notice of the filing of the additional claim to the employing unit by whom the claimant was last employed immediately preceding the filing of the additional claim.
(e) Immediately following filing of the additional claim, the department shall:
(1) Notify the claimant in writing of his or her claim information, as provided by the claimant to the department. The claimant notification may include, but shall not be limited to the following information:
(A) The beginning date of the claim filed.
(B) The last employer name, address, city, state and zip code provided by the claimant.
(C) The last day worked as provided by the claimant.
(D) The reason no longer working as provided by the claimant.
(E) Whether or not the claimant is receiving a pension or other income.
(F) Whether or not the claimant is able and available to accept full time work.
(G) Whether or not the claimant has the legal right to work in the United States.
(2) Notify the claimant that he or she may contact the department by telephone or in writing to correct any omissions or errors within ten (10) days from the mailing date of the claimant notification. The notification shall specify how to contact the department by telephone or in writing.
(f) If the claimant had a change of address during the benefit year of any regular claim or extended benefit claim, the department may require the claimant to provide proof of identity in accordance with the provisions set forth in Section 1326-3 of these regulations. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1326 and 1327, Unemployment Insurance Code; and Section 55, Chapter 329, Statutes of 1998.
HISTORY

1. Repealer and new section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Editorial correction of printing error in subsection (c) (Register 91, No. 32).
4. Amendment of subsection (b), repealer of subsections (c)-(c)(2), subsection relettering, repealer of formerly designated subsection (d) (2) and subsection renumbering filed 5-6-96; operative 6-5-96 (Register 96, No. 19).
5. New subsections (e)(1)-(2) and amendment of Note filed  8-5-99 as an emergency; operative 8-5-99 (Register 99, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-3-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-5-99 order transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
7. New subsection (f) filed 7-21-2003 as an emergency; operative 7-21-2003 (Register 2003, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-18-2003 or emergency language will be repealed by operation of law on the following day. 
8. Certificate of Compliance as to 7-21-2003 order transmitted to OAL 11-7-2003 and filed 12-24-2003 (Register 2003, No. 52).
§1326-5. Reopened Claim for Unemployment Benefits--Filing and Contents.
Note     •     History

(a) “Reopened claim” means an application which certifies to the beginning date of a period of unemployment:
(1) Which falls within a previously established benefit year, extended duration period, or extended benefit period, and
(2) Which follows any of the following:
(A) A period of one or more weeks for which the claimant failed to file a continued claim or partial claim and during which the claimant did not perform services in employment.
(B) A period of one or more weeks for which the claimant was ineligible for benefits for a definite period and for which continued claims or partial claims were filed, unless with respect to any week during such period, the claimant was ineligible for benefits pursuant to Section 1252 of the code or pursuant to Section 1279 of the code due to excessive earnings from services performed in employment that week. If the latter condition is met, an additional claim would be filed following the end of the period of ineligibility. (See Section 1326-4 of these regulations.)
(b) If a claimant who is unemployed wishes to resume or continue claiming benefits, and the conditions specified in subdivision (a) of this section are satisfied, a reopened claim shall be filed, except as provided in subdivision (c) of this section. The claimant shall file the reopened claim by contacting a department field or branch office. In filing the reopened claim the claimant shall, to the extent required by the department, set forth the information specified in subdivision (b) of Section 1326-2 of these regulations.
(c) Notwithstanding the provisions of subdivision (b) of this section, a reopened claim may not be filed by a claimant who is:
(1) Under a disqualification for a fixed period pursuant to subdivision (b) of section 1257 or 1261 of the code, unless he or she has appealed the disqualification pursuant to subdivision (a) of section 1257 of the code.
(2) Ineligible for benefits for an indefinite period pursuant to subdivision (a), (b) or (c) of section 1253 of the code or section 1253.3, 1253.4, 1255.3, 1255.5, 1256, 1262, or 1264 of the code, unless he or she has appealed the disqualification.
(3) Awaiting an eligibility decision by the department on a prior claim filed in the same benefit year or extended benefit period.
(d) If the claimant had a change of address during the benefit year of any regular claim or extended benefit claim, the department may require the claimant to provide proof of identity in accordance with the provisions set forth in Section 1326-3 of these regulations. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1326, Unemployment Insurance Code.
HISTORY

1. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
2. Repealer and new section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
3. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
4. Repealer of subsection (a)(2)(C), amendment of subsection (b), repealer of subsections (c)-(c)(2) and subsection relettering, amendment of newly designated subsection (c), and new subsections (c)(1)-(c)(3) filed 5-6-96; operative 6-5-96 (Register 96, No. 19).
5. New subsection (d) filed 7-21-2003 as an emergency; operative 7-21-2003 (Register 2003, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-18-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-21-2003 order transmitted to OAL 11-7-2003 and filed 12-24-2003 (Register 2003, No. 52).
§1326-6. Continued Claim for Unemployment Benefits--Filing and Contents.
Note     •     History

(a) “Continued claim” means an application to serve a waiting period or for the receipt of benefits which certifies to a week of unemployment. (For a general description of the claims filing procedures for unemployment benefits, see Section 1326-1 of these regulations.)
(b) The claimant may file a continued claim at a department field or branch office by mail and be paid benefits by mail. The claimant shall file a continued claim for the first compensable week or weeks at a department field or branch office in person, except as provided in Section 1326-11 of these regulations. The claimant shall report at a department field or branch office in person at other times for an eligibility interview, and for periodic eligibility reviews every two to ten weeks, as required by the department. The continued claim shall set forth the claimant's social security account number and the claimant shall certify with respect to each week:
(1) That he or she was unemployed or working on a part-time or reduced earnings basis.
(2) The amount of his or her earnings for work, whether paid or not.
(3) Whether he or she was physically able to work full time each of the seven days in the week. If no, the number of days he or she was unable to work.
(4) Whether there was any other reason he or she could not have worked full-time each workday.
(5) Whether he or she did try to find work. If requested by the department, the date applied for work, the company name and address, the person contacted, the type of work applied for, and the results of the contact.
(6) Whether he or she refused any work.
(7) Whether he or she began attending any school or training.
(8) That he or she did not have a change in address, or his or her new address if he or she has had a change of address.
(9) If he or she did any work during that week, the following:
(A) The employer for whom he or she worked, and the employer's address.
(B) The number of hours worked during the week and the last day he or she worked.
(C) The reason he or she is no longer working.
(10) That he or she declares under penalty of perjury that he or she is a U.S. citizen or national; or an alien in satisfactory immigration status and permitted to work by the Immigration and Naturalization Service.
(11) That he or she is aware the law provides penalties for the commission of a misrepresentation of facts to receive benefits and that he or she is signing the application for benefits after the date for which benefits are being claimed.
(12) Such other information as the department may require.
(c) The claimant shall, to maintain his or her eligibility to file continued claims during a continuous period of unemployment, file continued claims at intervals of not more than two weeks, or such other interval as the department shall require, unless he or she shows good cause for his or her delay in filing his or her continued claim.
(d) If a claimant who is directed by the department to file in person is unable to appear at a department field or branch office because he or she has returned to work or for other good cause, he or she may notify such office of such fact and file a continued claim by mail for any week of unemployment with respect to which a continued claim was not filed because of his or her reemployment or any other good cause found by the director. If a claimant who is directed by the department to file in person is unable to appear at the department field or branch office at which the claimant has previously filed claims because the claimant is seeking work in another locality, he or she may report to and file a continued claim at the department field or branch office in that locality.
(e) Extensions of time to file a continued claim for good cause are subject to the limitations provided by Section 1326-10 of these regulations.
(f) When a claimant has a right to file an appeal from a determination of the department to an administrative law judge, or from a decision of an administrative law judge to the California Unemployment Insurance Appeals Board, or the right to seek judicial review of a decision of the Appeals Board, the department shall advise the claimant that in order to preserve his or her right to benefits for weeks during which the matter is under appeal or judicial review, he or she should file a continued claim for each of such weeks.
(g) If the claimant had a change of address during the benefit year of any regular claim or extended benefit claim, the department may require the claimant to provide proof of identity in accordance with the provisions set forth in Section 1326-3 of these regulations. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1326, Unemployment Insurance Code; Noemi L. Gutierrez v. Employment Development Department (1993) 14 Cal.App.4th, 1791; and 18 Cal.Rptr.2d 705.
HISTORY

1. Repealer and new section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment of subsections (a), (b), and (f) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Amendment of section and Note filed 4-4-95; operative 5-4-95 (Register 95, No. 14).
4. New subsection (g) filed 7-21-2003 as an emergency; operative 7-21-2003 (Register 2003, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-18-2003 or emergency language will be repealed by operation of law on the following day. 
5. Certificate of Compliance as to 7-21-2003 order transmitted to OAL 11-7-2003 and filed 12-24-2003 (Register 2003, No. 52).
§1326-7. Employer Responsibility in the Initiation of a First Claim for Partial Unemployment Benefits.
Note     •     History

Every employer shall, not later than five days after the termination of any payroll week in which the employer has had in his or her employ a partially unemployed individual as defined by subdivision (c) of Section 1252-1 or by Section 1252.2-1 of these regulations, give the individual a notice of reduced earnings on a form supplied by the department which shall set forth:
(a) The name and social security number of the individual.
(b) The ending date of the payroll week and the date last worked.
(c) The amount of wages earned in such week, or that no wages were earned during the week. For commercial fishermen, the days the claimant was engaged in the act of catching or attempting to catch fish, or the reasons the boat was tied up such as absence of fish, inclement weather, lack of buyers' orders, or boat laid up for repairs.
(d) Whether the individual reported for all work that was available during the payroll week and if he or she did not, the date and the reasons for not reporting for available work.
(e) The following certification (individual or rubber stamped): “I certify that the above amount represents reduced earnings in a week of less than full-time work because of lack of work,” except as shown on the form.
(f) The name and address of the employer.
(g) A signature (actual or facsimile) by the employer.
(h) The date the notice was issued to the employee.
(i) Such other information as the department may require.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1326, Unemployment Insurance Code.
HISTORY

1. Repealer and new section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
§1326-8. First and Subsequent Partial Claims for Partial Unemployment Benefits--Filing and Contents.
Note     •     History

(a) “First partial claim” and “subsequent partial claim” for partial unemployment benefits means an application for a determination of eligibility for partial benefits which certifies to the completion of a week of partial unemployment either to satisfy a week of the waiting period requirement or to claim partial benefits for a compensable week or two compensable weeks.
(b) A claimant who is a partially unemployed individual may, within 28 days after he or she has been furnished by his or her regular employer with the notice of his or her reduced earnings in any week as prescribed in Section 1326-7 of these regulations, file a first or subsequent partial claim for partial unemployment benefits at a department field office by mail or in person as required by the department. The 28-day period may be extended as provided by Section 1326-10 of these regulations. The first or subsequent partial claim for partial unemployment benefits shall set forth:
(1) Whether there was any reason, other than lack of work, why he or she could not have worked full time each regular workday in the week.
(2) Whether he or she received any workers' compensation pay.
(3) Whether he or she worked for anyone other than his or her regular employer on any day in the week, including self-employment.
(4) Whether he or she has filed a claim for benefits in the past 12 months, and if he or she has, the department field or branch office at which the claim was filed.
(5) His or her address.
(6) His or her signature.
(7) If he or she did work for anyone other than his or her regular employer, the following:
(A) The name of the other employer for whom he or she worked.
(B) His or her earnings from the other employer.
(C) That he or she is still working for, or why he or she left work for, the other employer.
(8) Such other information as the department may require, including the filing of a new claim under Section 1326-2 of these regulations.
(c) When a claimant has filed partial claims for two consecutive weeks during which he or she performed no services for the regular employer, he or she may not file a partial claim for a subsequent week of unemployment until he or she again performs services for the regular employer. For any subsequent weeks in which the claimant is ineligible to file partial claims, he or she may, if unemployed, file continued claims in accordance with Section 1326-6 of these regulations.
NOTE

Authority cited: Sections 305, 306 and 1252, Unemployment Insurance Code. Reference: Sections 1326, 1327 and 1252, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
2. Amendment filed 3-28-79; effective thirtieth day there after (Register 79, No. 13).
3. Amendment of subsection (c) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1326-9. Partial Unemployment--Employer Responsibilities--Records and Notices.
Note     •     History

NOTE

Authority cited: Sections 305 an 306, Unemployment Insurance Code. Reference: Section 1326, Unemployment Insurance Code.
HISTORY

1. Repealer and new section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Repealer filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1326-10. Delayed Registration for Work and Filing of Unemployment Claims with Good Cause--Extension of Time.
Note     •     History

(a) The department shall, at the request of the claimant, extend the period prescribed for the filing of a new, additional, continued, or reopened claim, or the period within which to register for work, or the 28-day period prescribed for the filing of a first or subsequent partial claim under Section 1326-8 of these regulations, if the department finds that the failure of the individual to file any such claim or to register for work within the prescribed time was due to good cause, including, but not limited to, any of the following:
(1) Failure on the part of the employer with respect to partial unemployment benefits to comply with any of the provisions of Sections 1326-7 and 1326-9 of these regulations.
(2) His or her employer warned, instructed or coerced him or her to prevent the prompt filing of such claim, or his or her registration for work.
(3) He or she reasonably relied on misleading, incomplete, or erroneous advice given to him or her by personnel of the department, or relied on the failure of the department to perform an affirmative duty to provide advice reasonably necessary for the protection of his or her rights and the understanding of his or her duties relating to the claim or registration for work. Reliance is reasonable if all of the following conditions exist:
(A) He or she acted reasonably in informing the department of pertinent facts and of the need for specific advice as to his or her rights and duties.
(B) The department's advice was intended by the department to be the basis of his or her conduct or he or she reasonably believed the advice was so intended, or he or she reasonably relied upon the department which failed to provide advice reasonably necessary to the protection of his or her rights or the understanding of his or her duties.
(C) He or she was not aware that the department's advice was misleading, incomplete or erroneous, or through no fault or inexcusable neglect on his or her part was not aware of the true information concerning his or her rights or duties.
(4) Failure by the department to discharge its responsibilities promptly in connection with such partial or other unemployment.
(5) Compelling reasons, or circumstances which would prevent a reasonable person under the circumstances presented from filing the claim or registering for work. Depending on the circumstances, this can include illness or injury of the claimant or any member of the claimant's immediate family, a job interview, working, lack of transportation or the unavailability of mail service for a claimant in a remote area, a natural catastrophe such as an earthquake or a fire or flood, a claimant who is awaiting reduced earnings statements from the employer, or compelling personal affairs or problems that could not reasonably be postponed such as an appearance in court or an administrative hearing or proceeding, substantial business matters, attending a funeral, or relocation to another residence or area.
EXAMPLE 1. Claimant A is scheduled by the department to report biweekly on Thursday. On A's first regular report day, he is working and does not report. A did not work on any other day, and returns to the office on his second regular report day.
A's continued claims may be accepted if he is otherwise eligible for the weeks preceding his first, as well as the weeks preceding his second, report day. A's working was a compelling reason for not reporting to the department, and reporting on his second regular report day was acceptable.
EXAMPLE 2. B was laid off from his job on Friday. The following Sunday B's wife was seriously injured and hospitalized. B spent all week attending to his family's needs and personal affairs due to the wife's injury, and seeking day care for his minor child. The following week B sought to file a new claim for unemployment insurance backdated to Sunday after his layoff.
B's claim can be backdated since B's failure to file the preceding week was due to compelling reasons and excusable neglect.
(6) The department assigned a claim filed to the wrong program.
(7) Mistake, inadvertence, surprise, or excusable neglect. However, “good cause” does not include negligence, carelessness, or procrastination, in the absence of circumstances excusing these causes for delay.
EXAMPLE 3. Claimant C has previously filed unemployment insurance claims. The department has advised C of the requirements for filing continued claims by mail. Claimant C for four weeks puts off or forgets to file any continued claims. After several weeks, C seeks to file his continued claims for all past weeks.
Claimant C's continued claims cannot be accepted for any past weeks, since the failure to file is due to negligence or inexcusable neglect.
EXAMPLE 4. Claimant D drew unemployment benefits and then got a job. Claimant D was laid off from that job after a week but believed he would quickly get another job. Thus, D delayed filing any additional claim for unemployment benefits. After 3 weeks of unemployment, D sought to have his additional claim backdated to the week after his layoff.
D's additional claim cannot be backdated, since D's delay was due to his own decision to delay filing for benefits because he expected to be reemployed. Such circumstances do not establish a basis for good cause.
(b) The individual shall file such claim or register for work with reasonable diligence after the termination of good cause, usually not later than during the week following the week in which such termination occurs.
(c) A first or subsequent partial claim or other claim for benefits or registration for work shall not be valid if it is filed more than 13 weeks after the end of the benefit year (actual or potential) during which the week of partial unemployment or week of unemployment occurred.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1326, Unemployment Insurance Code.
HISTORY

1. Repealer and new section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Amendment of subsections (b) and (c) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1326-11. Mail Claims--Inability to Report in Person.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1326, Unemployment Insurance Code.
HISTORY

1. Repealer and new section filed 3-28-79; effective thirtieth day thereafter (Register 79, No. 13).
2. Repealer filed 5-6-96; operative 6-5-96 (Register 96, No. 19).
§1326-12. Payment of Unemployment Compensation Benefits Appeal by Claimant.
Note     •     History

(a) Scope. This section interprets whether unemployment compensation benefit payments continue in situations where the department determines a claimant is initially eligible for benefits, but subsequently determines the claimant is ineligible or disqualified for benefits for further weeks, and the claimant files an appeal from the subsequent determination.
(b) General. If the department finally determines that a claimant is initially eligible for benefits, subsequently determines that the claimant is ineligible or disqualified or subject to a reduction of further benefits, and the claimant files a timely appeal from the subsequent determination, within 20 days pursuant to Unemployment Insurance Code Section 1328, and a written election with the department on a prescribed form “Notice of Right to Receive Benefits Pending Appeal” DE Form 63155 CC Rev. 3: 6/86) to have benefits continued and files continued claims pending disposition of the appeal, the department shall continue to pay benefits until the appeal has been resolved by the decision of an administrative law judge, except that benefit payments shall cease if the appeal is dismissed or if a criminal complaint for fraud is filed against the claimant under Section 2101 of the code.
(c) Claimant Finally Determined Initially Eligible. The department has finally determined that a claimant is initially eligible for benefits if, after the filing of a new or additional claim, the department determines that all of the following conditions exist:
(1) The claimant is unemployed.
(2) The claimant has filed a claim in accordance with authorized regulations, which appear in Title 22, California Code of Regulations, Division 1, Part 1, Chapter 5, Article 3.
(3) The claimant has a monetarily valid claim.
(4) The claimant has not exhausted the maximum benefit amount for the benefit year of the claim.
(5) The claimant is otherwise eligible.
(6) The initial determination is not subject to reconsideration under Section 1256.1, 1332, or 1332.5 of the code.
(d) Factors Making Claimant Ineligible. A claimant is not eligible for benefits for any period for which the department determines that at the time the claimant was otherwise eligible any of the following conditions exist:
(1) There has been no wage loss because of:
(A) The receipt of residuals or rerun payments (see Sections 678, 926 and 926.5 of the code).
(B) Commissions (see Section 926 of the code).
(C) Wages as a fisherman for fish previously caught (see Section 1252.1 and 1252.2 of the code).
(2) The extent to which benefits are offset against an overpayment of unemployment compensation benefits previously paid under the code if the overpayment determination is final (see Section 1379 of the code).
(3) The extent to which claimant is entitled to duplicate benefits under:
(A) The unemployment compensation law of any other state or of the federal government (see Section 1255 of the code).
(B) The workers' compensation law of any state or of the federal government (see Section 1255.5 of the code).
EXAMPLE 1. Claim Filing. Claimant A files a new claim and the department discovers A may not have reported the correct last employer. The department questions A and A agrees that A did not furnish the department with the name and address of the most recent employer and refuses to do so. The department determines A has failed to submit required information and holds A ineligible because A has not filed a valid claim in accordance with subdivision (b) of Section 1326-2 of these regulations. Claimant A appeals. Since A has not complied with department regulations, the department has not finally determined that A is initially eligible. A does not have the right to receive benefits pending decision on the appeal.
EXAMPLE 2. Claim Filing. On July 7 Claimant B files a new claim with an effective date of July 6 and is paid benefits. Two weeks later B requests the department to backdate the claim to the week beginning June 8. The department determines there is no good cause for backdating and denies B's request. B appeals. The department has not finally determined that B was initially eligible for the weeks for which B requested backdating (weeks ending June 14, 21, 28 and July 5). Therefore, pending decision on the appeal, B is not entitled to receive payment for any of the four weeks prior to July 6. The weeks after July 5 are not affected by the backdating issue raised by B's appeal, and B is entitled to continued payment of benefits for the weeks after July 5.
EXAMPLE 3. Claim Filing. The department determines that Claimant C is initially eligible for benefits. C receives benefits for several weeks and then fails to mail in continued claim cards for four weeks. Subsequently C files claims for those four weeks. The department does not determine C was unavailable for work during those weeks. However, it does determine that C has no good cause for the delay in filing the continued claim cards and is therefore ineligible for the four weeks under subdivision (a) of Section 1253 of the code because the continued claims were not filed timely in accordance with department regulations. C appeals. Since the department has finally determined that C was initially eligible, C is entitled to receive benefits for the four weeks in question pending decision on the appeal.
EXAMPLE 4. Claim Filing. Same facts as Example 3 above, except that the department determines that Claimant D has continuing good cause for late reporting for the four weeks. However, unlike Example 3, the department also determines that D was unavailable for work for those four weeks because D went to another state for a vacation. D appeals. Since the department has finally determined that D was initially eligible for the four weeks, D is entitled to continued payment of benefits pending decision on the appeal.
EXAMPLE 5. Availability. Claimant E is laid off for lack of work, files a new claim, and is paid benefits for several weeks. E then advises the department E is no longer seeking any work because E has a relative who may start a business and employ E. The department determines that E is ineligible as being unavailable for work and not seeking work. E appeals. Since the department has finally determined that E was initially eligible for benefits, E is entitled to continued payment of benefits pending decision on the appeal.
EXAMPLE 6. Availability. Claimant F quit with good cause because F's employer moved the business to a distant location beyond F's commuting distance. F enrolls in school and attends classes Monday through Friday. There is no substantial field of employment available to F during nonschool hours. F files a claim for benefits. The department determines that F is ineligible on the ground of unavailability for work. F appeals. Since the department has not finally determined that F was initially eligible, F is not entitled to receive benefits pending decision on the appeal. F's unavailability existed at the time of the filing of the claim and continued into one or more of the weeks of benefits claimed.
EXAMPLE 7. Availability. Claimant G files a new claim but does not report to the department for the initial eligibility review and does not certify for any benefits. Several months later G, who has had no intervening employment, requests the department to reopen the claim. Since G is now residing in a remote area where there is no substantial labor market, the department determines that G is unavailable for work. G appeals. Since the department has not previously finally determined that G was initially eligible, G is not entitled to receive benefits pending decision on the appeal.
EXAMPLE 8. Wages. Claimant H files an additional claim immediately following layoff from an employer who paid three weeks in lieu of notice pay at termination. The department disqualifies H on the ground the payment renders him fully employed for the three weeks. H appeals. Since the department has not finally determined H was initially eligible, H is not entitled to receive benefits pending decision on the appeal.
EXAMPLE 9. Wages. Claimant I files a new claim. The department learns that I is currently fully employed and disqualifies I. I appeals. To be eligible for benefits, I must be unemployed. Since I's claim is not valid, and I has not been finally determined to be initially eligible, I is not entitled to receive benefits pending decision on the appeal.
EXAMPLE 10. Wages. Claimant J, an ex-serviceman, establishes a new claim and receives several weeks of benefits before beginning work as an automobile salesman. When J subsequently certifies for benefits, J indicates receipt of $200 in earnings for each of those weeks. As the earnings, when reduced by $25 or 25%, equaled or exceeded the weekly benefit amount, J is held ineligible under Section 1279 of the code. J appeals. J is entitled to be paid benefits pending decision on the appeal as J was finally determined to be initially eligible upon the filing of the new claim and has remained in continued claim status.
EXAMPLE 11. School Employee. Claimant K is a tenured teacher whose employment ended in June, following the end of the school semester. K files a new claim in June. The claim is based entirely on K's school wages. K has reasonable assurance of returning to the same position in September. The department determines that K is ineligible during the summer recess period under Section 1253.3 of the code. K appeals. Since the department has not finally determined that K was initially eligible, K is not entitled to receive benefits pending decision on the appeal.
EXAMPLE 12. School Employee. Claimant L, a teacher, last worked in June and became unemployed at the end of the school year. Claimant L filed a new claim based entirely on school wages. Claimant L has no reasonable assurance of returning to school for the fall semester. The department determines that L is eligible for benefits under Section 1253.3 of the code. Claimant L receives benefits for four weeks and on August 1 receives a contract from the school to return to work in the fall. The department determines that L is ineligible for further benefits commencing August 1 because L now has reasonable assurance of returning to work in the fall. L appeals. Since the department has finally determined that L was initially eligible, L is entitled to continued payment of benefits pending decision on the appeal of the subsequent determination of ineligibility.
EXAMPLE 13. Separation. Claimant M quits work to attend to personal affairs. The department determines that M quit without good cause and disqualifies M for benefits. M appeals. Since the department has not finally determined that M was initially eligible, M does not have the right to receive benefits pending decision on the appeal.
EXAMPLE 14. Separation. Claimant N, a carpenter, who was laid off for lack of work, filed for and received six weeks of benefits. Then N obtained a new job, worked one day and quit that job without good cause. N files another claim and the department determines that N is disqualified as having quit without good cause. N appeals. Since the department has finally determined that N was initially eligible and would, but for the quit, remain eligible, N is entitled to continued payment of benefits pending decision on the appeal.
EXAMPLE 15. Separation--Incarceration. Claimant O's employer terminates O because of O's absence from work for one week due to O's incarceration. O files a claim for benefits. O has not yet entered any plea in criminal court nor been convicted of the act for which O was incarcerated. The department determines that O is eligible under Section 1256.1 of the code pending the outcome of the court case. After receiving benefits for several weeks, O is convicted. Pursuant to Section 1256.1 of the code, the department may and does reconsider its determination and disqualifies O because O voluntarily left the most recent work without good cause. O appeals. Since, under Section 1256.1 of the code the department has not finally determined that O was initially eligible and may reconsider the determination, O is not entitled to continued payment of benefits pending decision on the appeal.
EXAMPLE 16. False Statement. Claimant P is in continued claim status and drawing benefits when the department, as a result of a benefit audit, learns that P drew benefits on a prior claim while working and that when P filed the prior claim P had, with actual knowledge, falsely stated that P was not working. The department disqualifies P for a false statement on the prior claim. P appeals. Since the department has finally determined that P was initially eligible on the current claim, P is entitled to continued payment of benefits pending decision on the appeal of the false statement disqualification. 
EXAMPLE 17. False Statement. Claimant Q, a stenographer, files an additional claim indicating to the department that Q was laid off due to lack of work. When Q reports for the first payment, the department has received an employer protest indicating that Q voluntarily quit. After further investigation, the department determines that the quit was for good cause under Section 1256 of the code. However, the department determines that Q withheld material facts concerning the separation and disqualified Q under subdivision (a) of Section 1257 of the code. Q appeals the false statement disqualification. Since Q's quit was under nondisqualifying circumstances, the department has finally determined that Q was initially eligible for the first two weeks of the claim. Since the false statement disqualification does not begin until the week in which it is assessed (the third week of the claim), Q is entitled to continued payment of benefits pending decision on the appeal of the false statement disqualification.
EXAMPLE 18. Suitable Work. Claimant R was discharged for inefficiency. The department determines that R is not disqualified as the discharge was for reasons not constituting misconduct. R files a continued claim and subsequently refuses a referral to a job. The department determines that R refused an offer of suitable work without good cause and disqualifies R. R appeals. Since R's discharge was under nondisqualifying circumstances and the department has finally determined that R was initially eligible, R is entitled to continued payment of benefits pending decision on the appeal of the work refusal disqualification. 
EXAMPLE 19. Suitable Work. Claimant S, a roofer, is laid off from a job when it is completed. A few days later S's former employer obtains a new contract and recalls S for a permanent full-time job. S refuses the job and files a new claim for benefits the next day. The department disqualifies S for having refused an offer of suitable work. S appeals. Since the department has not finally determined that S was initially eligible because S's refusal of suitable work is the cause of S's unemployment and existed at the time S filed the claim, S does not have the right to receive benefits pending decision on the appeal. 
EXAMPLE 20. Trade Dispute. Claimant T, a grocer checker and member of the Retail Clerks Union, voluntarily remains away from work after the union gives a strike notice and establishes a picket line at the premises of T's employer. T files a claim and the department determines that T is ineligible for having voluntarily left work due to a trade dispute. T appeals. Since T became unemployed under disqualifying circumstances and the department has not finally determined that T was initially eligible, T is not entitled to receive benefits pending decision on the appeal. 
EXAMPLE 21. Trade Dispute. A group of claimants are in continued claim status and receiving benefits when a trade dispute begins at the fruit processing plant where they had worked during the past season. These claimants are on a seniority list and are members of the striking union. The workers who are still working at the plant go on strike and the employer starts recalling the other workers by seniority. This group of claimants refuses to report for work after having been recalled, and the department determines they voluntarily left their work due to a trade dispute. Each of the claimants in the group files a timely appeal. Since the department has finally determined that each of the claimants was initially eligible as having been laid off for lack of work at the end of the season, each claimant is entitled to continued payment of benefits pending decision on the appeal from the trade dispute disqualification. 
EXAMPLE 22. Trade Dispute. Claimant U, a member of the Teamsters Union, leaves work by going on strike against U's employer, a trucking company. U obtains temporary work as a bartender and is laid off after six weeks. U files a new claim listing the bar as the most recent work. The department pays U benefits for three weeks and then ascertains that U was involved in the trade dispute. The department determines U's work as a bartender was temporary, and that U remains unemployed due to the trade dispute and is ineligible. U appeals. Since the department has finally determined that U was initially eligible, U is entitled to continued payment of benefits pending decision on the appeal. 
EXAMPLE 23. Trade Dispute. Same facts as Example 22 above, except that the department knows at the time Claimant V files a claim that V became unemployed due to the trade dispute. The department determines that V's intervening temporary work as a bartender was not permanent bona fide employment which would purge the trade dispute disqualification. The department determines that V remains unemployed due to the trade dispute and is ineligible. V appeals. Since the department has finally determined that V was initially ineligible for benefits, rather than initially eligible, V is not entitled to receive any benefits pending decision on the appeal. 
EXAMPLE 24. Reconsideration--Department Error. The department makes an error concerning Claimant W's initial eligibility by neglecting to note that W indicated W had quit W's last job for noncompelling reasons. The department determines that W is eligible as having left the job for compelling reasons. The department discovers its error within 20 days of its determination, reconsiders the determination within the 20-day period, and determines that W voluntarily left the work without good cause and is ineligible for benefits. W appeals. Since under Section 1332 of the code the department may reconsider its determination within 20 days and the initial determination was not final, W is not entitled to receive benefits pending decision on the appeal. 
EXAMPLE 25. Reconsideration--Department Error. Same facts as Example 24 above, except that the department discovers its error after 20 days from the time benefits were paid to Claimant X. The department reconsiders and issues a determination that X is ineligible. X appeals. Since the department has finally determined that X was initially eligible, X is entitled to continued payment of benefits pending decision on the appeal.
(e) Fraud, Misrepresentation or Willful Nondisclosure. The department has not finally determined that a claimant is initially eligible for benefits and a claimant does not have the right to continue to receive benefits pending decision on an appeal if the claimant has made a willful false statement or representation, with actual knowledge of the falsity thereof, or has willfully withheld a material fact concerning his or her initial eligibility. 
EXAMPLE 26. Fraud. Claimant Y files a claim indicating that Y is not employed. Y is paid benefits. The department subsequently discovers that Y was fully employed at the time Y filed the claim, and that Y had actual knowledge of the falsity of the statement to the department that Y was not employed. In such a case involving fraud, misrepresentation or willful nondisclosure, the department may, pursuant to Section 1332.5 of the code, reconsider the initial determination of eligibility at any time and disqualify the claimant. The department reconsiders and disqualifies Y since Y was fully employed and, with actual knowledge of its falsity, made a false statement that Y was not employed. Y appeals. Since the department has not finally determined that Y was initially eligible and may reconsider, Y is not entitled to continued payment of benefits pending decision on the appeal.
(f) Fraud Conviction. If a claimant is convicted under Section 2101 of the code by any court of competent jurisdiction of willfully making a false statement or knowingly failing to disclose a material fact to obtain or increase benefits, the claimant forfeits any right to benefits for 52 weeks beginning with the week in which the criminal complaint was filed (see subdivision (a) of Section 1263 of the code).
(g) Notice to Claimant Regarding Appeal. If the department finally determines that a claimant is initially eligible for benefits and subsequently determines that the claimant is ineligible or disqualified, the department shall notify the claimant of the right to appeal to an administrative law judge. If an appeal is filed the department shall also notify the claimant that the claimant may elect to continue to receive benefits pending the appeal, and that the claimant may be required to repay such benefits if the administrative law judge affirms the department's determination of ineligibility or disqualification.
(h) Appeal by Claimant. A claimant whom the department initially determines to be eligible but subsequently determines ineligible, and who files a timely appeal, is entitled to continue to receive benefits pending decision on the appeal. However, if the claimant's appeal is untimely because it was not filed within 20 days of service of the notice of the department's determination, the claimant is not entitled to receive benefits pending decision on the appeal. If an administrative law judge dismisses a claimant's appeal for nonappearance, benefit payments to the claimant cease immediately upon the department's receipt of that decision, since the claimant has had an opportunity for a fair hearing on the appeal.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1326, Unemployment Insurance Code; and American Federation of Labor, et al. v. California Employment Development Department, et al. (1979) 88 Cal.App.3d. 811, 152 Cal. Rptr. 193.
HISTORY

1. New section filed 1-26-89; operative 2-25-89 (Register 89, No. 7). For history of former section, see Registers 82, No. 5 and 69, No. 52.
2. Change without regulatory effect adopting subsection (d)(1)(A) filed 5-6-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 19).
§1326-13. Citizenship and Verification of Immigration Status.
Note     •     History

(a) Scope. Section 121 of the Immigration Reform and Control Act of 1986, 42 USC 1320b-7(d), requires the department to determine, as a condition of eligibility for unemployment compensation benefits, the citizenship status of all claimants. It also requires the department to verify with the Immigration and Naturalization Service (INS) that the immigration status of claimants who are neither United States citizens nor United States nationals is satisfactory, based on documents presented by such claimants. This section sets forth the department's procedures for implementing these requirements.
(b) General Rule. As required by Section 1326-2(b)(13) of these regulations, all claimants shall declare, as a condition of eligibility for unemployment compensation benefits, that they are United States citizens or United States nationals and, if not, that they are in a satisfactory immigration status. At the time of the first and continuous certification for benefits, the claimant shall declare under penalty of perjury that he or she is a U.S. citizen or national; or an alien in satisfactory immigration status, and permitted to work by the INS, as required by Section 1326-6(b)(10) of these regulations.
A claimant who declares himself or herself to be in a satisfactory immigration status shall, as a further condition of eligibility, have that status verified by the INS based on documents presented by the claimant. Such verification shall be either through an automated system utilizing the claimant's alien registration or file number, known as the Systematic Alien Verification for Entitlements or “SAVE” system, or by the department sending a photocopy of the original document the claimant submits as evidence of his or her satisfactory immigration status to the INS for inspection.
The department shall provide a claimant who declares that he or she is in a satisfactory immigration status but who presents no document when filing his or her claim, a reasonable opportunity to present such documents for INS verification. The department shall provide a claimant who presents a document bearing his or her alien registration or file number for verification through the SAVE system, but whose immigration status is not verified by the INS through that system, a reasonable opportunity to present additional or other documents for INS's verification. The department shall not delay, deny, reduce, or terminate the claimant's eligibility pending any period of reasonable opportunity or the INS's verification response.
If the INS does not verify the claimant's status the department shall consider the claimant's immigration status as unsatisfactory and shall determine or redetermine the claimant's eligibility based on that response. If the department determines that a claimant is ineligible because he or she is not in a satisfactory immigration status, it shall determine if benefits paid on the claim constitute an overpayment and, if so, the extent to which the claimant is liable for the overpayment under Section 1375-1 of these regulations.
(c) Definitions. As used in the general rule, the following terms have the meanings assigned:
(1) “Satisfactory immigration status” means that the claimant is lawfully residing in the United States and is authorized to work. It includes the following verification responses from the INS:
(A) Legal permanent resident--employment authorized.
(B) Cuban/Haitian entrant--temporary employment authorized.
(C) Section 245A of the Immigration and Nationality Act--temporary resident--temporary employment authorized.
(D) Section 210 of the Immigration and Nationality Act--temporary resident--temporary employment authorized.
(E) Conditional resident alien--employment authorized.
(F) Alien granted asylum/refugee status--employment authorized.
(G) Alien granted parolee status--employment authorized.
(H) Alien who has applied for a legal status, including any of the statuses set forth herein, to whom the INS has granted employment authorization pending its determination on his or her application.
(I) Alien whose departure the INS does not contemplate enforcing. The department shall use this INS verification response in determining whether the claimant is permanently residing in the United States under color of law, referred to hereinafter as “PRUCOL.” A claimant determined by the department to be PRUCOL shall be considered to be in a satisfactory immigration status.
If the INS responds to the department's verification request by notifying the department that the claimant's employment authorization is temporary, with a specific expiration date, the department may consider the claimant's satisfactory status to expire as of that date and it shall make a determination or redetermination of the claimant's eligibility as of that date unless the claimant, prior thereto, provides documents that establish that the claimant is verified under a category that extends the expiration date.
If the INS responds to the department's verification request for a claimant by notifying the department that the claimant's employment authorization is temporary, but without a specific expiration date, the claimant shall notify the department of the expiration date of the authorization applicable to his or her status.
If the INS responds to the department's verification request for a claimant by including information about the length of time a claimant has been in a particular immigration status, the department may use such information in making a determination with respect to the claimant's status during his or her base period under Section 1264-1 of these regulations.
(2) “Reasonable opportunity” means a period of twenty-one calendar days. This period shall begin, with respect to a claimant who files an initial claim in accordance with these regulations but lacks any document required by this section to complete the claim, on the day of such filing. This period shall begin, with respect to a claimant whose immigration status is not verified under subdivision (b) of this section, on the day the department notifies the claimant in person or by telephone or on the date of a written notification mailed to the claimant. The period of reasonable opportunity may be extended upon a showing of good cause for the claimant's late presentation of documents.
“Good cause” shall have the same meaning as under Section 1328 of the Code and Section 5005 of this Title with respect to the untimely filing of an appeal and shall include mistake, inadvertence, surprise, or excusable neglect.
(3) “Primary verification” means verification through the automated system implemented by INS for such purposes and based on the original proof of immigration registration with the INS bearing the claimant's alien admission number or alien file number.
(4) “Secondary verification” means a verification which is not primary, as defined above. To request a secondary verification, the department shall send to the INS a photocopy of the original document presented by the claimant to establish his or her immigration status as satisfactory and which either:
(A) The department has determined constitutes reasonable evidence of a satisfactory immigration status, if the department has made any such determination, or
(B) Which the claimant believes establishes his or her immigration status as satisfactory.
(d) Priority of documents. Claimants who state they are in a satisfactory immigration status in making the declaration described in this section shall present documentary proof of that status for purposes of verification by the INS, in the following order:
(1) Alien registration documents or other evidence of immigration registration with the INS that contain the alien's admission number or alien file number (or numbers, if the claimant has more than one number);
(2) If the claimant does not possess the documents described in subdivision (d)(1), such other original documents that the department has determined constitute reasonable evidence of a satisfactory immigration status, if the department has made such a determination;
(3) If the claimant does not possess the documents described, first, in subdivision (d)(1), or, second, in subdivision (d)(2), or does not possess the documents described, first, in subdivision (d)(1), and the department has not made any determination under subdivision (d)(2), then any original documents that the claimant believes constitute evidence of a satisfactory immigration status.
To ensure the documents presented to establish his or her immigration status as satisfactory pertain to the claimant, any claimant required to present such documents under the provisions of this regulation shall also present one of the documents set forth in Section 1326-2(b)(2) of these regulations to establish his or her identity.
(e) Reasonable opportunity to present documents. If a claimant declares that he or she is in a satisfactory immigration status but presents no documents for verification, the department shall provide the claimant a reasonable opportunity to present such documents. If, during such period, the claimant presents a document described in subdivision (d)(2) or (d)(3), the department shall send a photocopy of the document to the appropriate INS office for secondary verification. Pending such a period of reasonable opportunity and INS's response to the department's verification request based on any documents presented by the claimant during such a period, the department shall not, based upon the claimant's current immigration status, delay, deny, reduce or terminate his or her eligibility.
If a claimant declares that he or she is in a satisfactory immigration status and presents his or her registration document or other proof of immigration registration with the INS containing the claimant's alien admission number or alien file number, but the INS is unable to verify the claimant's status, the department shall provide the claimant a reasonable opportunity to submit other or additional documentary evidence of his or her satisfactory immigration status. Photocopies of such documentary evidence including the document initially presented by the claimant, if he or she chooses to continue to rely on it as establishing a satisfactory status, shall be sent to the INS for secondary verification. Pending such a period of reasonable opportunity and the INS's response to the department's verification request, the department shall not, based on the claimant's current immigration status, delay, deny, reduce or terminate his or her eligibility based on his or her current immigration status.
(f) Determinations, redeterminations, and appeals. If the department concludes, after considering INS's response to its verification request, that the claimant is not in a satisfactory immigration status, it shall determine the claimant ineligible for unemployment compensation benefits or redetermine the claimant's eligibility with respect to any week for which the department has paid benefits pending INS's response.
The department shall notify any claimant to whom it pays benefits pending INS's response, prior to or at the time of any such payment, that if the department concludes that the claimant is not in a satisfactory immigration status, the department shall reconsider its determination and may determine the claimant liable for any benefits paid pending INS's response in accordance with Section 1375-1 of these regulations.
If, as a result of the department's determination or reconsidered determination, the claimant is determined to be ineligible, the claimant may appeal such determination or reconsidered determination in accordance with Section 1328 of the Code.
(g) If any subdivision of this regulation or its application to any person or circumstance is held invalid, the invalidity shall not affect other subdivisions or applications of this regulation which can be given effect without the invalid subdivision or application, and in this respect the subdivisions of this regulation are severable.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1253(b), 1264, 1326, 1328 and 1375, Unemployment Insurance Code; and Section 1320b-7(d), Title 42, United States Code.
HISTORY

1. New section filed 10-3-88; operative 10-3-88 pursuant to Government Code Section 11346.2(d) (Register 88, No. 42).
2. Amendment of subsection (b) filed 5-6-96; operative 6-5-96 (Register 96, No. 19).
§1327-1. Facts Respecting Claimant's Eligibility Required from Last Employing Unit of Claimant.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1327, Unemployment Insurance Code.
HISTORY

1. New section filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
2. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§1328-1. Notices of Determination to Employing Units from Department Respecting Claimant's Eligibility.
Note     •     History

(a) Any employing unit which furnishes the department with facts in accordance with Sections 1327 and 1331 of the code and which has been notified by the department of the determination made after considering such facts shall be notified by the department of any modification in such determination made by the department, either on its own initiative or pursuant to any additional facts which come to the attention of the department.
(b) The employing unit may appeal from the modified determination in the manner prescribed in Section 1328 of the code.
NOTE

Authority cited: Sections 305, 306, and 1333, Unemployment Insurance Code. Reference: Sections 1327 and 1328, Unemployment Insurance Code.
HISTORY

1. New section filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
2. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§1329-1. Notices of Computation or Recomputation from the Department to Base Period Employers.
Note     •     History

NOTE

Authority cited: Secs. 305, 306 and 1333, Unemployment Insurance Code. Reference: Secs. 1329 and 1330, Unemployment Ins. Code.
HISTORY

1. New section filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1330-1. Protest to Notices of Computation or Recomputation.
Note     •     History

NOTE

Authority cited: Secs. 305, 306 and 1333, Unemployment Insurance Code. Reference: Secs. 1329, 1330 and 1333, Unemployment Ins. Code.
HISTORY

1. New section filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
2. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§1331-1. Facts Respecting Claimant's Eligibility Required from Base Period Employer of Claimant.
Note     •     History

NOTE

Authority cited: Secs. 305, 306 and 1333, Unemployment Insurance Code. Reference: Secs. 1327, 1331 and 1333, Unemployment Insurance Code.
HISTORY

1. New section filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
2. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48).
§1333-1. Requirements for Submitting Facts by Employing Units Respecting Claimant's Eligibility for Benefits.
Note     •     History

(a) Each submission of facts to the department by an employing unit under Sections 1327, 1328, or 1331 of the code shall relate to a single claimant, shall be submitted to the department field office in which the claim was filed, and shall include the following:
(1) The name, address, telephone number, and employer account number of the employing unit.
(2) The claimant's full name and social security account number.
(3) The effective date of the claim (if available).
(4) Specific facts reasonably applicable to the claimant's eligibility for benefits.
(b) Each statement of facts submitted under subdivision (a)(4) of this section shall be supported by a statement signed by the person or persons having knowledge of or business records reflecting such facts.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1327, 1328, 1331, and 1333, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 37, No. 47.
§1333-2. Protests and Information Submitted by Claimants and Employers to Department: Extension of Time for Good Cause.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1327, 1328, 1330, 1331, and 1333, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 67, No. 47.
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§1333-3. Protests and Information Submitted by Claimants and Employers to Department: Extension of Time for Good Cause.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1327, 1328, 1331, and 1333, Unemployment Insurance Code.
HISTORY

1. Repealer filed 11-30-79; designated effective 1-1-80 (Register 79, No. 48). For prior history, see Register 67, No. 47.
§1333-4. Protest to Computation of Benefit Claims.
History

HISTORY

1. Repealer filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
§1333-5. Notices: Extension of Time for Good Cause.
History

HISTORY

1. Repealer filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
§1341-1. Payment of Unemployment Benefits Due Deceased or Incompetent or Physically Disabled Persons.
Note     •     History

(a) The department may pay unemployment compensation benefits and extended duration benefits due a deceased or legally declared incompetent person or a person physically disabled to a degree that he cannot act for himself, to a spouse, parent, adult child, or a close relative, or to a person who is an authorized representative legally entitled to act for the claimant if:
(1) The claimant has completed a claim for benefits prior to his death or incapacity; or
(2) The person seeking payment of benefits on behalf of the claimant has sufficient knowledge of the activities and capabilities of the claimant during the week for which benefits are claimed to complete the claim and certify to the statements thereon; and
(3) The person seeking payment of the benefits executes and submits to the department an oath establishing that he is entitled to receive the payment.
(b) The payment by the department of benefits to a person pursuant to an oath under this section shall discharge the obligations of the department to the claimant to the extent of the payment, without the necessity of inquiring into the truth of any of the facts stated in the oath. The department shall prescribe the form of oath to be executed.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1326 and 1341, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-69; designated effective 1-1-70 (Register 69, No. 52).
2. Amendment filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
§1342.1-1. Voluntary Federal Income Tax Withholding on Unemployment Compensation.
Note     •     History

(a) At the time a claimant initially files for unemployment compensation, he or she may voluntarily elect to have federal income tax deducted and withheld from his or her unemployment compensation.
(b) The election shall be effective when it is received in writing and processed by the department and the election shall remain in effect until a written revocation or change to the previous election is received and processed by the department. If the claimant elects to have federal income tax withheld, the department shall deduct and withhold the federal income tax from the claimant's unemployment compensation payment at the rate specified in Section 3402(p)(2) of the Internal Revenue Code. The department shall transmit the federal income tax withholding to the federal taxing authority as payment on account of the claimant-taxpayer.
(c) Definitions. For purposes of this regulation, the following definitions shall apply:
(1) “Unemployment compensation” means any amount received under a law of the United States or of a State which is in the nature of unemployment compensation. In the State of California, unemployment compensation includes unemployment compensation benefits.
(2) “Reductions” means adjustments to unemployment compensation payable to the claimant, including but not limited to claimant illness, prior work pensions, wages, work sharing and workers' compensation payments.
(3) “Benefit deductions” means any overpayment offsets and support obligations.
(4) “Adjusted weekly benefit amount” means the maximum unemployment compensation payable to the claimant after all reductions and overpayment offsets are subtracted.
(d) Deductions and withholdings from unemployment compensation shall be made in accordance with procedures specified by the United States Department of Labor and the Internal Revenue Service pertaining to the deducting and withholding of income tax, and in accordance with the following priority:
(1) Overpayment offsets.
(2) Support obligations.
(3) Voluntary federal income tax withholding.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1252, 1253.5, 1255.3, 1255.5, 1255.7, 1279, 1279.5, 1342.1, 1379, 2630 and 2739, Unemployment Insurance Code.
HISTORY

1. New section filed 3-15-2000; operative 4-14-2000 (Register 2000, No. 11).
Article 4. Overpayments
§1375-1. Recovery of Overpayments.
Note     •     History

(a) General Principle. Except for the relief from liability for overpayments provided by Sections 1380 and 2740 of the code, any person who is overpaid any amount o benefits is liable for the amount overpaid unless all of the following conditions exist:
(1) The overpayment was not due to fraud, misrepresentation, or willful nondisclosure by the person.
(2) The overpayment was received without fault by the person.
(3) The recovery of the overpayment would be against equity and good conscience.
(b) Scope. This section applies to overpayments of unemployment compensation benefits, extended duration benefits, federal-state extended benefits, and disability benefits.
(c) Fault of the Claimant. In determining fault, the department shall consider the nature and cause of the overpayment and the capacity of the particular claimant to recognize the error resulting in the overpayment. A claimant who receives or retains benefits which he or she knew or reasonably should have known he or she was not lawfully entitled to receive is at fault. The claimant is not at fault if the benefits were retained because of the claimant's good faith reliance on a departmental error. A claimant who negligently reports or fails to report information which results in an overpayment is at fault. If the claimant is at fault he or she is liable for the overpayment. 
EXAMPLE 1. A claimant receives $160 benefits every 2 weeks. The claimant reports earnings of $100 per week for a 2-week period. Through departmental error, those earnings are not reflected in the benefit payment and claimant receives $160 for that 2-week period. The claimant retains the benefits without informing the department of the error. There are no other facts indicating the claimant did not have the capacity to recognize the error or that the claimant relied in good faith on the department's error. In this case, the claimant is at fault because he or she accepted a payment which he or she knew or should have known was incorrect. 
EXAMPLE 2. A claimant applies for benefits and receives notice of an award of a weekly benefit amount of $80. However, the notice prepared by the department is erroneous and the weekly benefit amount should be only $60. The claimant is not at fault in the absence of any showing that he or she should have known of the error. Since no such showing appears here, he claimant is not at fault. 
EXAMPLE 3. A claimant reports earnings of $80 per week when in fact the claimant knew or should have known that his or her earnings were $100 per week. The claimant is at fault and is liable for the overpayment.
EXAMPLE 4. The claimant receives and retains benefits from California and from another state for the same week, but does not report the duplication. The claimant is at fault, unless there is a showing that the claimant reasonably misunderstood benefits entitlement, and no such showing appears here. The claimant is at fault and is liable for the overpayment. 
EXAMPLE 5. The claimant applies for disability or unemployment benefits and is placed on notice with the first payment that he/she must report either the receipt of any workers' compensation benefits or the making of a claim for workers' compensation because he/she may not receive double payments for the same days. The claimant receives both workers' compensation and disability or unemployment insurance benefits but does not report the duplication. The claimant is at fault and is liable for the overpayment.
(d) Equity and Good Conscience. The department shall, in determining whether the recovery of an overpayment would be against equity and good conscience, consider the following factors:
(1) Notice to Claimant. If an overpayment is created as a result of a decision by an administrative law judge or the Appeals Board which reverses a prior decision granting benefits, the claimant shall not be required to repay the overpayment unless the department has given notice to the claimant that his or her entitlement to benefits has been appealed and that he or she may be required to repay the benefits in the event of a reversal by an administrative law judge or the Appeals Board. If the notice is given, recovery of the overpayment is appropriate unless there has been a change of position by the claimant or recovery will cause extraordinary hardship.
(2) Change of Position. If a claimant has detrimentally changed his or her position in reliance upon benefit payments, the recovery of an overpayment of benefits is against equity and good conscience. A claimant will be considered to have detrimentally changed his or her position in reliance upon the receipt of benefits if the claimant has taken any reasonable action or incurred a necessary financial obligation in the conduct of his or her affairs which the claimant would not have taken but for the receipt of the benefits. 
EXAMPLE 1. A claimant is overpaid benefits of $31. During the time that he or she was being paid benefits, his or her savings account balance diminished from $500 to $250. The claimant's only income during this period was unemployment insurance. All of the funds spent by him or her during this period were for current expenses. By virtue of having expended benefits and savings, this claimant has changed his or her position in reliance on benefit payments. 
EXAMPLE 2. A claimant was overpaid benefits of $104. At the time that the overpayment was being assessed, he or she was fully employed at $7.50 per hour and had more than the amount of the overpayment in his or her checking account. Because this claimant has not changed his or her position due to receipt of benefits, there is no detrimental reliance in this example.
(3) Extraordinary Hardship. If recovery of an overpayment would impose extraordinary hardship on a claimant or the claimant's family, the recovery of the overpayment is against equity and good conscience and shall be waived. In making this determination, the department shall consider the family income and assets of the claimant and other factors, as follows:
(A) Waiver--Family Income. The gross income of the claimant and his or her spouse which is available to the claimant shall be considered to determine whether a reasonable standard of living exists in accord with the family income levels set forth in the current Family Income Level Table below. As used in this section, “income” includes income from all sources including, but not limited to, unemployment compensation benefits, extended duration benefits, and federal-state extended benefits, and disability benefits. If the claimant's average monthly family income for the preceding six months does not exceed the appropriate level set forth in the current Family Income Level Table below, the overpayment shall, except as provided by paragraph (3)(C) of this subdivision, be waived by the department.
(B) Family Income Level Table. Before the first day of July each year, and on the effective date of this regulation, the director shall establish a Family Income Level Table as described below:
For the fiscal year beginning July 1, 1983, the Table shall be computed by multiplying the average annual low income budget amount as issued by the Employment Development Department for fiscal year July, 1982 - June, 1983 ($16,714) by the change in the Consumer Price Index U. S. City Average for Urban Wage Earners and Clerical Workers for the period May, 1982 - April, 1983. The figure shall be multiplied by the percentages in the following Table:

	Persons	Gross
	in	Monthly
	Family	Income
	1	 40% of average for family of 4
	2	 62% of average for family of 4
	3	 83% of average for family of 4
	4	100% of average for family of 4
	5	119% of average for family of 4
	6	138% of average for family of 4
	For each additional
	person add	 19% of average for family of 4
To produce a Family Income Level Table for each fiscal year thereafter, the director shall repeat the process described above, using the estimated low income budget figure for immediately preceding fiscal year and the change in the above-specified Consumer Price Index for the immediately preceding May to April.
(C) Waiver-Assets and Unusual Circumstances. If a claimant's average monthly family income for the preceding six months does not exceed the appropriate amount set forth in the current Family Income Level Table above, the department shall consider any liquid or readily convertible assets available to the claimant which may be converted to repay the overpayment without causing extraordinary hardship on the claimant or the claimant's family. Such assets include, but are not limited to, stocks, bonds, interest in mutual funds, cash, and credit union or savings accounts, but shall not include the claimant's home and furnishings therein, automobiles needed for transportation of the claimant or a family member, clothing and tools of the trade. If a claimant's average monthly family income for the preceding six months exceeds the appropriate amount set forth in the current Family Income Level Table above, the department shall consider any unusual circumstances such as medical expenses or other necessary living expenses which would cause recovery of an overpayment to place an extraordinary hardship on the claimant or the claimant's family. 
EXAMPLE 6. A claimant is married and has two children at home. The average monthly family income for the preceding six months was below the allowable gross monthly income for a family of 4 using the current Family Income Level Table. The claimant has no readily available assets. Recovery of the overpayment will cause extraordinary hardship and the overpayment is waived. 
EXAMPLE 7. A claimant is married and has two children at home. The average monthly family income for the preceding six months was in excess of the allowable gross monthly income for a family of 4 using the current Family Income Level Table. The claimant has a home, furnishings, and a car, but no other assets, and no unusual expenses or debts. The overpayment is not waived. 
EXAMPLE 8. Assume the same facts as in Example 7, except that the claimant pays $100 a month in outstanding medical bills which total $5,000. Recovery of the overpayment will cause extraordinary hardship and the overpayment is waived.
(D) Recovery-Current Family Income and Assets. If the department has not waived the overpayment, the department shall establish, by mutual agreement if possible, a repayment schedule at the time of the overpayment determination. In establishing the repayment schedule the department shall consider the current family income and assets of the claimant, as follows:
(i) If the claimant's family income for the 4-week period immediately preceding the date on which recovery is sought, exceeds the appropriate amount set forth in the current Family Income Level Table above, the excess for that period is available to repay the overpayment unless there are unusual circumstances such as medical expenses or other necessary living expenses. In cases of such unusual circumstances, the repayment amount shall not be less than $10 per month. The department shall also consider any liquid or readily convertible assets as set forth in subparagraph (ii) below.
(ii) If the claimant's family income for the 4-week period immediately preceding the date on which recovery is sought does not exceed the appropriate amount set forth in the current Family Income Level Table above, the department shall consider any liquid or readily convertible assets available to the claimant which may be converted to repay the overpayment without causing extraordinary hardship on the claimant or the claimant's family. Such assets include, but are not limited to, stocks, bonds, interest in mutual funds, cash, and credit union or savings accounts, but shall not include the claimant's home and furnishings therein, automobiles needed for transportation of the claimant or a family member, clothing, and tools of the trade. 
EXAMPLE 9. The claimant is married and has two children at home. The claimant's family income for the 4-week period immediately preceding the date on which recovery is sought was $12 in excess of the allowable gross monthly income for a family of 4 using the current Family Income Level Table. The claimant has a home, furnishings therein, and a car, but no other assets, and has no unusual expenses or debts. The repayment schedule may provide for a maximum payment of $12 per month. 
EXAMPLE 10. The claimant is married but has no children. The claimant's family income for the 4-week period immediately preceding the date on which recovery is sought was below the allowable gross monthly income for a family of 2 using the current Family Income Level Table. Claimant also has stocks valued at $300. The repayment schedule may provide for a minimum payment of $10 per month and a lump sum recovery for the resale value of the stocks, less costs of sale. 
EXAMPLE 11. Assume the same facts as in Example 9, except that the claimant pays $40 monthly in outstanding medical bills which total $500. The repayment schedule may provide for a minimum payment of $10 per month.
(e) Information. Whenever the department determines that an overpayment is probable, it shall notify the claimant of the probable overpayment, the claimant's right to request that the department waive the overpayment, and the standards to obtain a waiver of the overpayment. The department shall assist and advise the claimant in meeting his or her obligation to furnish the department with all information necessary for the department to determine whether there is an overpayment, whether the claimant is entitled to waiver of the overpayment and for establishing the repayment schedule.
(f) Adjustment of Repayment Schedule. If at any time a claimant requests the department to adjust his or her repayment schedule, the department shall do so if the claimant demonstrates that there has been a material change in his or her financial condition. If the overpayment interviewer and the claimant cannot agree on the requested adjustment, the field office manager shall prescribe the appropriate repayment schedule adjustment, if any. No administrative appeal is provided from an adjustment of or refusal to adjust a repayment schedule.
(g) Overpayment Notice and Hearing. If the department determines that an overpayment exists, it shall notify the claimant of the amount of the overpayment, the cause of the overpayment, the reasons for denial of waiver if waiver is denied, the terms of the repayment schedule established under subdivision (d)(3)(D) of this section and the right to appeal (see Sections 1377, 2737, 3751, and 4751 of the code) to an administrative law judge, and to a hearing on all issues regarding the overpayment, including any determination denying waiver of the overpayment and the terms of such repayment schedule. When a waiver of an overpayment has become final, it shall not be redetermined in the absence of fraud, misrepresentation, or willful nondisclosure by the claimant relating to the waiver.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1375, 2735, 3751 and 4751, Unemployment Insurance Code.
HISTORY

1. New section filed 2-11-77; effective thirtieth day thereafter (Register 77, No. 7).
2. Amendment filed 5-19-81; effective thirtieth day thereafter (Register 81, No. 21).
3. Amendment of subsection (d)(2) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5).
4. Amendment of subsection (d) filed 1-24-84; effective thirtieth day thereafter (Register 84, No. 4).
§1375-2. Overpayment  Remittances.
Note     •     History

(a) The following definitions apply to the regulations in this article.
(1)  ``Remittance'' means a payment made towards an outstanding overpayment debt.
(2) ``Payment'' means any money paid to the Employment Development Department to repay an overpayment liability, either in cash, personal check, cashiers check, postal money order, or an unemployment insurance or disability insurance check that the claimant has signed over to the Employment Development Department.
(3) ``By Mail'' means the transmittal of an overpayment remittance through the U.S. Postal Service or other courier service, to a location designated by the Employment Development Department.
(4) ``Designated Location'' means an address designated by the Employment Development Department to which claimants are required to mail payments. This address shall be provided to unemployment insurance overpayment claimants by the Employment Development Department.
(b) Each person who has incurred an overpayment, as provided for in Section 1375-1 of these regulations, shall mail his or her payment(s) to a location designated by the Employment Development Department.
(c) Each remittance shall include the following:
(1) Name of the claimant owing the overpayment.
(2) The claimant's full social security number.
(3) The personal check, cashiers check, postal money order, or unemployment insurance or disability insurance check signed over to the Employment Development Department to repay an overpayment liability.
(4) The amount paid.
(5) The claimant's current address and phone number.
NOTE

Authority Cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1375, Unemployment Insurance Code.
HISTORY

1. New section filed 9-4-97 as an emergency; operative 9-4-97 (Register 97, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-2-98 or emergency language shall be repealed by operation of  law  on the following day. 
2. Certificate of Compliance as to 9-4-97 order transmitted to OAL 11-24-97 and filed 12-22-97 (Register 97, No. 52).
3. Editorial correction of subsection (b) (Register 98, No. 9).
Article 5. Rights of Trainees
§1401-1. Applicability of Sections 1401-1 Through 1406-1.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1401, Unemployment Insurance Code.
HISTORY

1. Repealer of Article 5 (Sections 1401-1 through 1406-2) filed 10-10-78; effective thirtieth day thereafter (Register 78, No. 41). For prior history, see Register 55, No. 18.
Chapter 5.5. Unemployment Compensation for State Employees
§1446-1. Reimbursement of Unemployment Benefits--State of California--Legislative Employees.
Note     •     History

NOTE

Authority cited: Sections 305, 305.1, 306 and 306.1, Unemployment Insurance Code. Issuing agency: Department of Social Services.
HISTORY

1. Repealer of Chapter 5.5 (Sections 1446.1 and 1456.1) filed 10-10-78; effective thirtieth day thereafter (Register 78, No. 41). For prior history, see Registers 76, No. 6; 74, No. 6; 73, No. 15; 73, No. 4.
Chapter 5.6. Unemployment Compensation for County Employees
§1461-1. County Service--Elective Coverage.
Note     •     History

NOTE

Authority cited for Chapter 5.6 (Sections 1461-1 and 1466-1): Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 1461 and 1466, Unemployment Insurance Code.
HISTORY

1. Repealer of Chapter 5.6 (Sections 1461-1 and 1466-1) filed 10-10-78; effective thirtieth day thereafter (Register 78, No. 41). For prior history, see Registers 76, No. 6; 72, No. 24.
Chapter 5.7. Unemployment Compensation for State Higher Education Employees
§1476-1. Reimbursement of Unemployment Benefits--State of California--University of California and California State Universities and Colleges.
Note     •     History

NOTE

Specific authority cited: Sections 305, 306, and 1475, Unemployment Insurance Code. New specific authority cited: Section 1476, Unemployment Insurance Code. Reference: Section 1476, Unemployment Insurance Code.
HISTORY

1. Repealer of Chapter 5.7 (Section 1476-1) filed 10-10-78; effective thirtieth day thereafter (Register 78, No. 41). For prior history, see Registers 76, No. 6; 73, No. 15; 72, No. 24.
Chapter 6. Financial Provisions

(No regulations adopted)
Chapter 7. Collections
§1755-1. Wage Garnishment Law.
Note     •     History

(a) Purpose. This section and Sections 1755-2 to 1755-10 of these regulations apply to all proceedings conducted by the department for the purpose of providing an administrative hearing to reconsider or modify the amount to be withheld pursuant to a withholding order for taxes issued by the department pursuant to the Wage Garnishment Law. (See Sections 706.010 to 706.154 of the Code of Civil Procedure.)
(b) Definitions. As used in this section and Sections 1755-2 to 1755-10 of these regulations:
(1) “Department” means Employment Development Department.
(2) “Debtor” means a person from whose earnings the department is seeking to collect a tax liability.
(3) “Financial statement” means a statement by a debtor setting forth the debtor's total income and the total income of the debtor's spouse and the total monthly payments and charges paid by the debtor from earnings specifying the purposes of each payment. The financial statement shall also include such other information required by a hearing official. A hearing official may require that the financial statement be on a form provided by the department.
(4) “Hearing” means an administrative hearing pursuant to subdivision (c) of Section 706.075 of the Code of Civil Procedure to reconsider or modify the amount to be withheld pursuant to a withholding order for taxes issued by the department.
(5) “Hearing official” means any person designated by the director to conduct a hearing, but shall not include the person who determined the tax liability in the first instance or the person who issued an order, warrant, or levy for recovery of the tax.
(6) A “jeopardy withholding order for taxes,” which shall be denoted as such on its face, means a withholding order for taxes that requires that an employer withhold earnings due to a debtor at the time of service of the order on the employer and from earnings thereafter due. A jeopardy withholding order may be issued only where the department has determined that the collection of a tax liability will be jeopardized in whole or in part by delaying the time when withholding from earnings commences.
(7) “Levying officer” means the department when seeking to collect a state tax liability under Chapter 7 (commencing with Section 1701) of Part 1 of Division 1 of the Unemployment Insurance Code.
(8) “Request for hearing” means a written request by a debtor for a hearing before a hearing official to withdraw the order or modify the amount to be withheld pursuant to a withholding order for taxes issued by the department. The request need not be in any particular form but it should specify the reasons the debtor believes the amount to be withheld should be reconsidered or modified. The department shall supply forms in Spanish, English, and such other language as the director deems appropriate for use in requesting a hearing.
(9) “State tax liability” means a tax liability, including any penalties and accrued interest and costs, which the department is authorized to collect.
(10) A “withholding order for taxes” means an earnings withholding order issued by the department to an employer to collect a state tax liability from the wages of an employee and which is denoted as a withholding order for taxes on its face. Said order is valid unless withdrawn or modified or paid in full.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1755 and 1785, Unemployment Insurance Code; Sections 706.070 and 706.075(c), Code of Civil Procedure.
HISTORY

1. New section filed 2-9-81; effective thirtieth day thereafter (Register 81, No. 7).
2. Change without regulatory effect amending section heading, subsections (a) and (a)(4), and Note filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§1755-2. Debtor's Right to Hearing.
Note     •     History

(a) Any debtor whose employer has been served with a withholding order or jeopardy withholding order for taxes, may after service of the order, file a request for a hearing at the department tax office which issued the withholding order for taxes. The request for hearing should be accompanied by the debtor's financial statement. A debtor whose employer has been served with a withholding order for taxes is not limited as to the time within which he or she may file a request for hearing. The debtor may file his or her request for hearing at any time after service of the withholding order for taxes. A debtor may file more than one request for hearing; however, a second request for hearing will be accepted only if it contains a claim that there has been a material change in the debtor's circumstances. A material change in circumstances means a substantial change in the debtor's income or need.
(b) The hearing official shall not dismiss a request for hearing before the hearing is held unless it has been withdrawn in writing by the debtor or the relief requested by the debtor is afforded by the department,except that the hearing official may dismiss the request for hearing when the issue presented is not within his or her jurisdiction or the record shows that the same issue based on the same facts has previously been heard and decided. If the debtor or his or her representative fails to appear at the time and place designated for the hearing, the hearing official shall dismiss the request for hearing.
(c) A debtor residing outside the State of California, whose employer is in California, shall have the same right to hearing as any resident debtor. The department shall prepare and mail to the out-of-state debtor a questionnaire consisting of a series of questions which may be answered by the debtor in writing and sworn to before a notary. The written questionnaire together with the debtor's request for hearing, and financial statement, may, at the option of the debtor, constitute the debtor's hearing.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1755 and 1785, Unemployment Insurance Code; Sections 706.070 and 706.075(c), Code of Civil Procedure.
HISTORY

1. New section filed 2-9-81; effective thirtieth day thereafter (Register 81, No. 7).
2. Change without regulatory effect amending Note filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§1755-3. Modification of Order.
Note     •     History

If at any time after service of a withholding order for taxes upon the employer, the levying officer receives information substantiating that reconsideration or modification of the withholding order is clearly appropriate, the director shall withdraw or modify the withholding order and so immediately notify the employer. This action shall be taken whether or not the debtor has requested a hearing under these regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 1755 and 1785, Unemployment Insurance Code; Sections 706.070 and 706.075(c), Code of Civil Procedure.
HISTORY

1. New section filed 2-9-81; effective thirtieth day thereafter (Register 81, No. 7).
2. Change without regulatory effect amending Note filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§1755-4. Notice of Hearing.
Note     •     History

The department shall mail notice of time and place of hearing to the debtor at least seven (7) days before the date of the hearing. The notice shall be issued in the language of the tax debtor if the request for hearing indicates the tax debtor is not proficient in English. The time of notice may be shortened with the consent of the debtor. The debtor may waive notice of hearing. The department shall set the date of the hearing to provide sufficient time for a hearing official to hear the matter and issue a written decision within fifteen (15) days of receipt by the department of the debtor's request for hearing.
The place of hearing shall be designated by the department with due regard for the place of residence of the debtor. The place of hearing may be the office which issued the Withholding Order for Taxes.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1755 and 1785, Unemployment Insurance Code; Sections 706.070 and 706.075(c), Code of Civil Procedure.
HISTORY

1. New section filed 2-9-81; effective thirtieth day thereafter (Register 81, No. 7).
2. Change without regulatory effect amending Note filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§1755-5. Nature of Hearing.
Note     •     History

The debtor shall have the burden of proving the allegations contained in the request for hearing and any facts alleged in a financial statement or other information provided to the hearing official.
The hearing shall be a nonadversary proceeding. The hearing official shall explain the nature of the hearing and the debtor's rights (including the debtor's rights to the various exemptions from earnings withholding). The hearing official shall introduce in evidence the request for hearing, the debtor's claim to exemption, and the debtor's financial statement. The hearing official may question any party or witness and may admit any relevant and material evidence.
The departmental staff participating in the hearing shall provide all information in its possession pertinent to the case whether such information supports the position taken by the department or not, including information respecting the effective date of the withholding period.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1755 and 1785, Unemployment Insurance Code; Sections 706.070 and 706.075(c), Cod of Civil Procedure.
HISTORY

1. New section filed 2-9-81; effective thirtieth day thereafter (Register 81, No. 7).
2. Change without regulatory effect amending Note filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§1755-6. Conduct of Hearing and Evidence.
Note     •     History

(a) The debtor may authorize any person to represent him or her in the hearing. The authorization should be in written form or by verbal presentation by the debtor to the hearing official. Attendance by the debtor or his or her authorized representative is required unless the debtor has waived, in writing or verbally to the hearing official, his or her right to confront witnesses who may provide testimony, has waived his or her right to an in-person hearing, and the hearing official determines that the designated documents will be considered appearance by the debtor. If the debtor appears at the hearing, he or she shall have his or her witnesses and evidence ready and be ready to proceed at the time and place scheduled. The hearing official may limit attendance at the hearing to those directly concerned, and may exclude unauthorized persons from the hearing.
(b) The hearing official may exclude witnesses during the testimony of other witnesses, but the debtor and his or her authorized representative and any representative of the department shall have the right to remain throughout the proceeding. The hearing official may exclude any person whose conduct is disruptive to the hearing.
(c) All testimony shall be under oath, affirmation, or penalty of perjury. The technical rules of evidence and procedure as used in courts of law shall not apply.
(d) The proceedings shall be reported by tape recording or otherwise perpetuated by mechanical, electronic, or other means capable of reproduction or transcription.
(e) The issues at the hearing shall be limited to those reasonably related to the withholding order for taxes. No issue respecting taxpayer's liability for taxes will be heard other than his or her identity as the debtor and which earnings are subject to the withholding order.
(f) The department shall provide a competent interpreter in any proceeding where before or during the hearing it becomes apparent that an interpreter is necessary. The hearing official shall not rely on any state employee who is not proficient in both the English language and the language of the debtor or witness. The hearing official shall administer to all interpreters a separate oath or affirmation to interpret completely and accurately.
(g) The debtor's rights shall include the following:
(1) To call and examine parties and witnesses.
(2) To introduce exhibits.
(3) To have access to witnesses and documents in the department's possession prior to and during the hearing.
(5) To question opposing witnesses and parties on any matter relevant to the issues even though the matter was not covered in direct examination.
(6) To impeach any witness regardless of who first called the witness to testify.
(7) To rebut the evidence against him or her.
(8) To make oral argument or written argument.
(h) Witnesses appearing pursuant to a subpoena or who appear in response to a request by a party to attend any hearing are entitled to the fees and mileage set forth in Section 68093 of the Government Code if a written demand therefor is filed with the hearing official not later than ten (10) days after the date on which the witness appeared at the hearing. If not claimed within that time, no fees or mileage shall be allowed.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1755 and 1785, Unemployment Insurance Code; Sections 706.070 and 706.075(c), Code of Civil Procedure.
HISTORY

1. New section filed 2-9-81; effective thirtieth day thereafter (Register 81, No. 7).
2. Change without regulatory effect amending Note filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§1755-7. Reconsideration or Modification Based Upon Individual or Family Support Needs.
Note     •     History

In all cases, the hearing official shall make inquiry to determine if recovery of the tax liability from the debtor's earnings will impose extraordinary hardship upon the debtor or the debtor's family or if the debtor's earnings are needed for his or her support or that of his or her family.
(a) Extraordinary Hardship. If the evidence obtained at the hearing establishes that recovery of the tax liability from the debtor's earnings will impose extraordinary hardship upon the debtor or the debtor's family dependent upon the debtor for support, the hearing official shall order the department to withdraw the Earnings Withholding Order.
Extraordinary hardship exists if the debtor's average monthly family income for the six months preceding the hearing does not exceed the amount set forth in the director's annual Family Income Level Table set forth in subdivision (b) and the debtor has no liquid or readily convertible asset which may be converted to support the debtor and his or her family.
“Income” for the purpose of this section includes income from all sources.
“Assets” for the purpose of this section includes but is not limited to stocks, bonds, interest in mutual funds, cash and credit or savings accounts, but shall not include the debtor's home and furnishings therein, clothing, tools of the trade, or automobiles needed for the debtor's transportation or that of a family member dependent upon the debtor for his or her support.
(b) Before the first day of July of each year, and on the effective date of this regulation, the director shall establish a Family Income Level Table as described below.
For the fiscal year beginning July 1, 1983, the table shall be computed by multiplying the average annual low income budget amount as issued by the Employment Development Department for fiscal year July 1982-June 1983 ($16,714) by the change in the Consumer Price Index U. S. City Average for Urban Wage Earners and Clerical Workers for the period May 1982-April 1983.
The figure obtained shall be multiplied by the percentages in the following table:

	Persons	Gross
	in	Monthly
	Family	Income
	1	 40% of average for family of 4
	2	 62% of average for family of 4
	3	 83% of average for family of 4
	4	100% of average for family of 4
	5	119% of average for family of 4
	6	138% of average for family of 4
	each additional	 19% of average for family of 4
To produce a Family Income Level Table for each fiscal year thereafter, the director shall repeat the process described above, using the estimated low income budget figure for the immediately preceding fiscal year and the change in the above-specified Consumer Price Index for the immediately preceding May-April period.
(c) Tax Debtor or Family Support--General. If the evidence does not establish that recovery of the tax liability from his or her earnings will result in extraordinary hardship as defined in subdivision (a) above, reconsideration or modification of the Earnings Withholding Order may be granted only to the extent the debtor proves the debtor's earnings are needed for his or her support or the support of his or her family.
In determining if the tax debtor's earnings are needed for the tax debtor's support or the support of his or her family, the hearing official shall give consideration to the debtor's costs for housing, household furnishings, telephone, clothing, food, transportation (including automobile costs), education, medicines, and medical services.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1755 and 1785, Unemployment Insurance Code; and Sections 706.070 and 706.075(c), Code of Civil Procedure.
HISTORY

1. New section filed 2-9-81; effective thirtieth day thereafter (Register 81, No. 7).
2. Amendment filed 7-6-83; designated effective 7-6-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 28).
3. Change without regulatory effect amending Note filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§1755-8. Telephone Testimony.
Note     •     History

If because of the distances involved or other substantial reasons the hearing official deems it appropriate, the hearing official may take testimony of any witness by telephone under the following conditions:
(a) Prior to the hearing the debtor has made request for the use of telephone testimony.
(b) The witness testifies by use of a phone at a state office most convenient to his or her abode or place of work.
(c) The witness provides identification verifying that he or she is the person the witness claims to be.
(d) The telephone audibility is such that it can be clearly recorded and made a part of the official record of the hearing.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1755 and 1785, Unemployment Insurance Code; Sections 706.070 and 706.075(c), Code of Civil Procedure.
HISTORY

1. New section filed 2-9-81; effective thirtieth day thereafter (Register 81, No. 7).
2. Change without regulatory effect amending Note filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§1755-9. Continuance of Hearing.
Note     •     History

The hearing official may postpone or otherwise continue any hearing upon a finding of good cause and a finding that the debtor has given voluntary and knowledgeable consent to the action. The debtor's consent to a continuance shall be to a date certain and shall be in writing or made verbally to the hearing official. Except upon consent of the debtor, the hearing official shall not continue the hearing to a date that would preclude a decision by the hearing official within fifteen (15) days of receipt by the department of the request for hearing.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1755 and 1785, Unemployment Insurance Code; Sections 706.070 and 706.075(c), Code of Civil Procedure.
HISTORY

1. New section filed 2-9-81; effective thirtieth day thereafter (Register 81, No. 7).
2. Change without regulatory effect amending Note filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§1755-10. Decision.
Note     •     History

The hearing official shall issue a decision in writing stating the reasons for his or her decision. The hearing official shall issue the decision within fifteen (15) days of receipt by the department of the request for hearing. Such decision shall be considered the final decision of the department. On release to the judgment debtor, there shall be attached information explaining the debtor's rights to appeal the decision under the provisions of Section 1094.5 of the Code of Civil Procedure should he or she be dissatisfied therewith.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1755 and 1785, Unemployment Insurance Code; Sections 706.070 and 706.075(c), Code of Civil Procedure.
HISTORY

1. New section filed 2-9-81; effective thirtieth day thereafter (Register 81, No. 7).
2. Change without regulatory effect amending Note filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
Chapter 8. Hearing Procedure

(No regulations adopted by the Director, but see rules of the California Unemployment Insurance Appeals Board, Subdivision 2 of this Division)
Chapter 9. Public Employment Offices
Article 1. Job Services
§2051-1. Eligibility for Employment Services.
Note     •     History

(a) The Employment Development Department, hereinafter “Department,” will provide employment (job) services only to persons who are:
(1) Citizens or nationals of the United States.
(2) Aliens legally present in the United States.
(3) Aliens authorized by the Immigration and Naturalization Service (INS) to work in the United States, during the period of work authorization.
(b) “Employment Services” as used in sections 2051-1 through 2051-3 of these regulations shall include, but not be limited to, all of the following:
(1) Providing specific labor market information.
(2) Conducting assessment interviews.
(3) Making job development contacts, providing job referrals and making job placements.
(4) Providing counseling, vocational guidance, and testing.
(5) Providing assistance in the preparation of employability development plans.
(6) Making referrals to training, supportive and educational services.
(7) Making referrals for enrollment in case management and intensive services programs, job search training workshops, resume preparation workshops, or job finding clubs.
(8) Providing bonding assistance.
(9) Determining eligibility for a Jobs Tax Credit Program.
(10) Making placements in training programs.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 9601.5, Unemployment Insurance Code.
HISTORY

1. Repealer and new section filed 12-30-93 as an emergency; operative 1-1-94 (Register 93, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 6.
2. Editorial correction of History 1 (Register 94, No. 15).
3. Repealer and new section refiled 4-28-94 as an emergency; operative 5-1-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-24-94 as an emergency; operative 8-29-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-94 order including amendment of subsection (a)(2) transmitted to OAL 12-27-94 and filed 2-6-95 (Register 95, No. 6).
§2051-2. Verification of Status.
Note     •     History

The Department shall verify eligibility for employment services by reviewing documentary evidence as set forth below in Section 2051-3 of each applicant's legal status or authorization to work.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 9601.5, Unemployment Insurance Code.
HISTORY

1. Repealer and new section filed 12-30-93 as an emergency; operative 1-1-94 (Register 93, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. Editorial correction of History 1 (Register 94, No. 15).
3. Repealer and new section refiled 4-28-94 as an emergency; operative 5-1-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-24-94 as an emergency; operative 8-29-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-94 order transmitted to OAL 12-27-94 and filed 2-6-95 (Register 95, No. 6).
§2051-3. Verification Criteria.
Note     •     History

An applicant shall be eligible to receive employment services if he/she has established his/her identity and legal status or authorization to work by providing one or more of the authentic documents as set forth under the employment verification provisions of the Immigration and Nationality Act Section 274A (8 U.S.C. §1324a) and, Title 8 Code of Federal Regulations part 274a.2.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 9601.5 and 9601.7, Unemployment Insurance Code; 8 U.S.C. Section 1324a; and 8 C.F.R. Section 274a.2.
HISTORY

1. New section filed 12-30-93 as an emergency; operative 1-1-94 (Register 93, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. Editorial correction of History 1 (Register 94, No. 15).
3. New section refiled 4-28-94 as an emergency; operative 5-1-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-24-94 with amendments as an emergency; operative 8-29-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-94 order including amendment of section transmitted to OAL 12-27-94 and filed 2-6-95 (Register 95, No. 6).
6. Amendment of subsection (a)(6)(B) filed 8-3-2000; operative 9-2-2000 (Register 2000, No. 31).
7. Amendment filed 10-25-2004; operative 11-24-2004 (Register 2004, No. 44).
8. Editorial correction of subsection (a)(31) (Register 2005, No. 22).
9. Amendment of section and Note filed 10-15-2008; operative 11-14-2008 (Register 2008, No. 42).
Article 2. Appeals
§2051-4. Explanation of Determination.
Note     •     History

When the Department determines that an applicant's eligibility for employment services cannot be verified pursuant to Sections 2051-1 through 2051-3 of these regulations, the Department shall issue a written determination either in person or by mail to the applicant which shall explain the reasons for the Department's decision and the applicant's appeal rights.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 9601.5, Unemployment Insurance Code; and 20 C.F.R. §§ 658.400-658.418.
HISTORY

1. Relocation of article heading and new section filed 12-30-93 as an emergency; operative 1-1-94 (Register 93, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. Editorial correction of History 1 (Register 94, No. 15).
3. Relocation of article heading  and new section refiled 4-28-94 as an emergency; operative 5-1-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-24-94 with amendments as an emergency; operative 8-29-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-94 order transmitted to OAL 12-27-94 and filed 2-6-95 (Register 95, No. 6).
§2051-5. Appeal Rights.
Note     •     History

Within one year after receiving the written notice of determination described in Section 2051-4 of these regulations, the applicant may file an appeal of the determination with any Job Service field office.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 9601.5, Unemployment Insurance Code; and 20 C.F.R. §§ 658.401(a)(2) and 658.411(a).
HISTORY

1. New section filed 12-30-93 as an emergency; operative 1-1-94 (Register 93, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. Editorial correction of History 1 (Register 94, No. 15).
3. New section refiled 4-28-94 as an emergency; operative 5-1-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-24-94  as an emergency; operative 8-29-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-94 order transmitted to OAL 12-27-94 and filed 2-6-95 (Register 95, No. 6).
§2051-6. Field Office Review of Appeal.
Note     •     History

(a) When an appeal has been filed by an applicant, the field office manager or the field office manager's designee shall investigate the claim(s) made in the appeal.
(b) Within five working days after receipt of the appeal, the field office manager or the field office manager's designee shall place in the mail a written decision to the applicant which shall include:
(1) The reasons for the decision.
(2) Notification that the field office will send the appeal and all relevant documents to the Department's Area Administrator's Office for resolution or further action unless the applicant is satisfied with the resolution of the complaint by the field office.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 9601.5, Unemployment Insurance Code; and 20 C.F.R. § 658.416(c).
HISTORY

1. New section filed 12-30-93 as an emergency; operative 1-1-94 (Register 93, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. Editorial correction of History 1 (Register 94, No. 15).
3. New section refiled 4-28-94 as an emergency; operative 5-1-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-24-94 with amendment of subsection (b)(2) as an emergency; operative 8-29-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-94 order transmitted to OAL 12-27-94 and filed 2-6-95 (Register 95, No. 6).
§2051-7. Area Administrator's Office Review of Appeal.
Note     •     History

(a) The Area Administrator or designee shall investigate the appeal and issue a written decision by certified mail to the applicant and the field office within 20 working days from receipt of the appeal.
(b) The decision shall include the following:
(1) Results of any investigation conducted by the Area Administrator's Office.
(2) Conclusions reached on the allegations of the complaint.
(3) Reasons for the decision.
(4) Notice that the applicant may file a written request for a hearing within 20 working days after the certified date of receipt of the Area Administrator's decision if employment services are denied.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 9601.5, Unemployment Insurance Code; and 20 C.F.R. § 658.416(d).
HISTORY

1. New section filed 12-30-93 as an emergency; operative 1-1-94 (Register 93, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-94 or emergency language will be repealed by operation of law on the following day. 
2. Editorial correction of History 1 (Register 94, No. 15).
3. New section refiled 4-28-94 as an emergency; operative 5-1-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-24-94 with amendment of section heading and subsections (a), (b)(1) and (4) as an emergency; operative 8-29-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-94 order transmitted to OAL 12-27-94 and filed 2-6-95 (Register 95, No. 6).
§2051-8. Hearing Request.
Note     •     History

(a)  Within 20 working days from receipt of the Area Administrator's decision, the applicant may request a hearing.
(b) When an Area Administrator receives a written request for a hearing, the Area Administrator shall refer the request to a State hearing official for hearing.
(c) The State hearing official shall within a reasonable period send a written notification by mail to the parties which shall include the following:
(1) An acknowledgment of the receipt of the written request for a hearing.
(2) Notice that the parties will be notified of the date, time and place of the hearing.
(3) Notice of the hearing rights of the parties as follows:
(A) The parties may be represented at the hearing by an attorney or other representative.
(B) The parties may bring witnesses and/or documentary evidence to the hearing.
(C) The parties may cross-examine opposing witnesses at the hearing.
(D) The decision on the complaint will be based on the evidence presented at the hearing.
(E) The State hearing official may reschedule the hearing at the request of a party or its representative.
(F) With the consent of the State agency's representative and of the State hearing official, the party who requested the hearing may withdraw the request for hearing in writing before the hearing.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 9601.5, Unemployment Insurance Code; and 20 C.F.R. §§ 658.416(e)(1)-(e)(7).
HISTORY

1. New section filed 12-30-93 as an emergency; operative 1-1-94 (Register 93, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-94 or emergency language will be repealed by operation of law on the following day. 
2. Editorial correction of History 1 (Register 94, No. 15).
3. New section refiled 4-28-94 as an emergency; operative 5-1-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-24-94 with amendment of subsections (a)-(c) as an emergency; operative 8-29-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-94 order including amendment of subsection (b) transmitted to OAL 12-27-94 and filed 2-6-95 (Register 95, No. 6).
§2051-9. Rules for Conduct of the Hearing.
Note     •     History

The following rules shall govern the conduct of hearings under Section 2051-8 of these regulations:
(a) The hearing officer shall:
(1) Regulate the course of the hearing.
(2) Assure that all relevant issues are considered.
(3) Rule on the introduction of evidence and testimony.
(4) Elicit testimony from witnesses, but shall not act as an advocate for any party.
(5) Resolve the dispute, if feasible, by conciliation at any time prior to the conclusion of the hearing.
(6) Issue subpoenas if necessary.
(7) Receive and include in the record, documentary evidence offered by any party and accepted at the hearing. Copies thereof shall be made available by the party submitting the document to other parties to the hearing upon request.
(8) Take any other action which is necessary to ensure an orderly hearing.
(b) The testimony at the hearing shall be recorded and may be transcribed at the discretion of the hearing officer.
(c) The parties shall be afforded the opportunity to present, examine and cross-examine witnesses and documents.
(d) The parties may be represented at the hearing by an attorney or other representative.
(e) Technical rules of evidence shall not apply but rules or principles designed to ensure the production of the most credible evidence available shall be applied where determined to be reasonably necessary by the hearing officer. The hearing officer may exclude irrelevant, immaterial or unduly repetitive evidence.
(f) The case record, or any portion thereof, shall be available for inspection and copying by any party at, prior to or subsequent to the hearing upon request.
(g) At the hearing officer's discretion, other appropriate individuals, organizations, or associations may be permitted to participate in the hearing as “friend of the court” with respect to specific legal or factual issues relevant to the appeal. Any documents submitted by the “friends of the court” shall be included in the record.
(h) The hearing shall be held at a location convenient to all parties and their representatives. If a location convenient to all parties cannot be found, the hearing officer may conduct the hearing by telephone conference call, with the consent of the parties.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 9601.5, Unemployment Insurance Code; and 20 C.F.R. §§ 658.417(c)-(m).
HISTORY

1. New section filed 12-30-93 as an emergency; operative 1-1-94 (Register 93, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-94 or emergency language will be repealed by operation of law on the following day. 
2. Editorial correction of History 1 (Register 94, No. 15).
3. New section refiled 4-28-94 as an emergency; operative 5-1-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-94 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-29-94 as an emergency; operative 8-29-94 (Register 94, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-94 order including amendment of subsection (e) and Note transmitted to OAL 12-27-94 and filed 2-6-95 (Register 95, No. 6).
§2051-10. Hearing Decision.
Note     •     History

(a) After conclusion of the hearing, the hearing officer shall prepare a written proposed decision. The proposed decision shall state the hearing officer's findings of fact and conclusions of law and the reasons therefor.
(b) The proposed decision by the hearing officer shall be reviewed by the Director of the Department. The Director shall issue a decision which shall incorporate the hearing officer's proposed decision, adopting in whole or in part, or not adopting the hearing officer's proposed decision. The decision by the Director shall be the final decision issued by the Department.
(c) Copies of the decision shall be sent to the applicant and to the field office by certified mail. Copies of the decision shall also be sent to the following:
(1) Entities serving in a capacity as “friends of the court” (if any).
(2) State Area Administrator's Office.
(3) Regional Administrator of the Department of Labor.
(4) Solicitor's Office, Department of Labor 

	Attn: Associate Solicitor for Employment and Training Legal 
	Services
	Department of Labor
	200 Constitution Avenue, N.W., Room N2101
	Washington, D.C. 20210
(d) The decision of the Director shall be accompanied by a written notice informing the parties that if they are not satisfied with the Director's decision, they may within 20 working days following the certified receipt of the decision, file an appeal in writing with the Regional Administrator of the Department of Labor. The notice shall give the address of the Regional Administrator.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 9601.5, Unemployment Insurance Code and 20 C.F.R. §§ 658.418(b) and 658.418(c).
HISTORY

1. New section filed 12-30-93 as an emergency; operative 1-1-94 (Register 93, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. Editorial correction of History 1 (Register 94, No. 15).
3. New section refiled 4-28-94 as an emergency; operative 5-1-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-24-94 with amendment of subsections (a), (c) and (c)(2) as an emergency; operative 8-29-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-24-94 order including amendment of subsection (c)(1) transmitted to OAL 12-27-94 and filed 2-6-95 (Register 95, No. 6).
§2051-11. Appeal Rights. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2051 and 2056, Unemployment Insurance Code; and 20 C.F.R. Sections 658.400-658.418.
HISTORY

1. New section filed 2-19-88; operative 2-19-88 (Register 88, No. 10).
2. Repealer filed 7-11-88 as an emergency; operative 7-11-88 (Register 88, No. 29). A Certificate of Compliance must be transmitted to OAL within 120 days or repealed text will be reinstated on 11-8-88.
3. Certificate of Compliance transmitted to OAL 11-1-88 and filed 11-30-88 (Register 88, No. 51).
§2051-12. Field Office Review of Appeal. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2051 and 2056, Unemployment Insurance Code; and 20 C.F.R. Sections 658.400-658.418.
HISTORY

1. New section filed 2-19-88; operative 2-19-88 (Register 88, No. 10).
2. Repealer filed 7-11-88 as an emergency; operative 7-11-88 (Register 88, No. 29). A Certificate of Compliance must be transmitted to OAL within 120 days or repealed text will be reinstated on 11-8-88.
3. Certificate of Compliance transmitted to OAL 11-1-88 and filed 11-30-88 (Register 88, No. 51).
§2051-13. Monitor Advocate Office Review of Appeal. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2051 and 2056, Unemployment Insurance Code; and 20 C.F.R. Sections 658.400-658.418.
HISTORY

1. New section filed 2-19-88; operative 2-19-88 (Register 88, No. 10).
2. Repealer filed 7-11-88 as an emergency; operative 7-11-88 (Register 88, No. 29). A Certificate of Compliance must be transmitted to OAL within 120 days or repealed text will be reinstated on 11-8-88.
3. Certificate of Compliance transmitted to OAL 11-1-88 and filed 11-30-88 (Register 88, No. 51).
§2051-14. Hearing Request. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2051 and 2056, Unemployment Insurance Code; and 20 C.F.R. Sections 658.400-658.418.
HISTORY

1. New section filed 2-19-88; operative 2-19-88 (Register 88, No. 10).
2. Repealer filed 7-11-88 as an emergency; operative 7-11-88 (Register 88, No. 29). A Certificate of Compliance must be transmitted to OAL within 120 days or repealed text will be reinstated on 11-8-88.
3. Certificate of Compliance transmitted to OAL 11-1-88 and filed 11-30-88 (Register 88, No. 51).
§2051-15. Rules for Conduct of the Hearing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2051 and 2056, Unemployment Insurance Code; and 20 C.F.R. Sections 658.400-658.418.
HISTORY

1. New section filed 2-19-88; operative 2-19-88 (Register 88, No. 10).
2. Repealer filed 7-11-88 as an emergency; operative 7-11-88 (Register 88, No. 29). A Certificate of Compliance must be transmitted to OAL within 120 days or repealed text will be reinstated on 11-8-88.
3. Certificate of Compliance transmitted to OAL 11-1-88 and filed 11-30-88 (Register 88, No. 51).
§2051-16. Hearing Decision. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2051 and 2056, Unemployment Insurance Code; and 20 C.F.R. Sections 658.400-658.418.
HISTORY

1. New section filed 2-19-88; operative 2-19-88 (Register 88, No. 10).
2. Repealer filed 7-11-88 as an emergency; operative 7-11-88 (Register 88, No. 29). A Certificate of Compliance must be transmitted to OAL within 120 days or repealed text will be reinstated on 11-8-88.
3. Certificate of Compliance transmitted to OAL 11-1-88 and filed 11-30-88 (Register 88, No. 51).
Chapter 9.5. Employment for Older Workers

(No regulations adopted)
Chapter 10. Violations
§2113-1. Restitution for Overpayment of Benefits.
Note     •     History

(a) Policy.
It shall be the policy of the Employment Development Department to maximize recoupment of overpayments from those claimants who have received benefits to which they were not entitled. It shall also be the policy of the department to seek prosecution of persons whom the department believes have committed serious crimes against the Unemployment or Disability Funds. Pursuant to the direction of the Legislature in Unemployment Insurance Code Section 2113, it shall be the department's policy to offer restitution to those persons who are first offenders, whose violations may be considered less serious, and who have not previously been offered restitution in lieu of prosecution. 
(b) Serious Criminal Offenses.
If the department has probable cause to believe a person has conspired to defraud the department, or used a fictitious name or social security number, or established a fictitious employer account, or forged or counterfeited any department document or other document, for the purpose of obtaining or increasing benefits, the department shall promptly investigate such person. If, after investigation, the evidence so warrants, the department shall seek a complaint under the appropriate Penal Code or Unemployment Insurance Code provisions. The department shall not offer restitution in lieu of prosecution to such person. 
(c) Other Criminal Offenses.
If the department has probable cause to believe a person has willfully made a false statement or representation or knowingly failed to disclose a material fact in order to obtain or increase benefits, and the department has probable cause to believe, as a result of such false statement or representation or failure to disclose, such person received an overpayment of benefits of more than $1,000.00, the department shall promptly investigate such person. If, after investigation, the evidence so warrants, the department shall seek a complaint pursuant to Section 2101 or 2102 of the code. The department shall not offer restitution in lieu of prosecution to such person.
(d) Persons Eligible for Restitution.
If the department has probable cause to believe a person has willfully made a false statement or representation or knowingly failed to disclose a material fact in order to obtain or increase benefits, and the department has probable cause to believe, as a result of such false statement or representation or failure to disclose, such person received an overpayment of benefits of more than $250.00 but not more than $1,000.00, the department shall promptly investigate such person. If, after investigation of any person pursuant to this section, all of the following conditions exist, the department shall offer restitution in lieu of prosecution to such person:
(1) The overpayment is more than $250.00 but not more than $1,000.00.
(2) Such person has not previously been granted restitution in lieu of prosecution pursuant to Section 2113 of the code.
(3) Such person has not been convicted of an offense under Section 2101 of the code within three years preceding the mailing or personal service of a notice of intent to file criminal complaint pursuant to Section 2113 of the code.
(4) The department has determined that such person has not accumulated more than 10 points under subdivision (e) of this section.
(e) Disqualifying Points--Disposition.
(1) The following factors and corresponding points shall be considered in each case where restitution is otherwise appropriate:

(A) Number of Weeks of Overpayments Received As a Result of False Statement:

	Points

4	 1 

5	 2 

6	 3 

etc.	1 
	for each additional week

(B) Overpayment Amount

	Points

$251--$500	 1 

$501--$750	 2 

$751--$1,000	 3 

(C) Prior Section 2101 or Section 2102 U.I.C. Conviction

	Points

Within 6 yrs. of current offense	 1 

Within 5 yrs. of current offense	 2 

Within 4 yrs. of current offense	 3 

(D) Prior False Statement Disqualification Based Upon Unreported Earnings

	Points
Within 3 yrs. of current offense	 1 
Within 2 yrs. of current offense	 2 
Within 1 yr. of current offense	 3 
(2) If the department determines that an individual has accumulated more than 10 points, and if the evidence so warrants, a complaint shall be sought pursuant to Section 2101 or 2102 of the code. If, however, prosecution is, for some reason, not feasible, the case shall be sent to the appropriate field office for overpayment determination and collection and possible administrative penalties.
(f) Administrative Collection of Overpayments.
If the department has probable cause to believe a person has willfully made a false statement or representation or knowingly failed to disclose a material fact in order to obtain or increase benefits and the department has probable cause to believe such person has obtained $250.00 or less, as a result of such false statement or representation or failure to disclose, the department shall promptly transfer such case to a field office for an overpayment determination and collection and possible administrative penalties, except that:
(1) The department shall seek prosecution if such person has been previously granted restitution in lieu of prosecution pursuant to Section 2113 of the code, or has been convicted of an offense under Section 2101 or 2102 of the code within three years preceding the current offense. 
(2) The department shall require restitution in lieu of prosecution if such person has been assessed a false statement disqualification based upon unreported earnings within three years preceding the current offense. If restitution is refused, the department shall seek prosecution.
(g) Restitution Procedures. If, in the case of any person described in this section, restitution is determined appropriate, the department shall so inform such person and refer his or her case file to the appropriate field office so that an arrangement for restitution can be made. An arrangement for restitution shall be in effect, within the meaning of Section 2113 of the code, upon the signing of a restitution plan by an eligible individual. Each restitution plan shall be realistically based upon the economic ability of each individual so as to allow him or her to comply with the plan. A plan may provide for lump sum payment prior to an agreed upon date, or reasonable installment payments. If the initial interviewer and the individual are unable to agree upon a restitution plan, the case shall be reviewed within two working days by the field office manager, who shall prescribe a reasonable plan. If the individual believes that either the office manager's prescribed plan or the agreed upon plan is unreasonable, the individual may appeal that issue in the manner provided by Sections 1328, 1334, or 2707.2 of the code. If the individual appeals, no lump sum payment or installment payment shall be due until the decision on the appeal is final.
(h) Administrative Penalties. In every case where restitution is determined appropriate, the department shall also assess an appropriate administrative penalty pursuant to subdivision (a) of Section 1257 and subdivision (d) of Section 1260 of the code, or Section 2675 of the code. Formal notice of such administrative penalty shall be mailed to or personally served upon the individual upon the signing of a restitution plan.
(i) Refusal to Sign or Failure to Comply with Restitution Plan. If an individual refuses to sign an agreed upon restitution plan, or an office manager's prescribed plan, the department shall seek prosecution. If an individual fails to comply with a restitution plan, he or she shall be mailed a notice to contact a designated department employee. If such person does not reply to said notice within fifteen (15) days, a second notice, requiring him or her to appear at the office, shall be mailed. If he or she has not complied with the requirements of the second notice within ten (10) days, prosecution shall be sought. If the individual responds to either notice, a personal interview shall be conducted. At the interview the department shall attempt to determine why he or she has not complied with the plan and what course of action, including modification of the plan or the seeking of a criminal complaint, is proper. If noncompliance is not the fault of such person the department shall modify the plan accordingly. However, if such person, through words or conduct, clearly indicates an intent not to comply with the restitution plan, the department shall seek prosecution.
(j) Non-reviewable Determinations. All determinations made pursuant to this section are final and not appealable except for those determinations made expressly appealable by this section or the Unemployment Insurance Code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 2113, Unemployment Insurance Code.
HISTORY

1. New section filed 11-4-76 as an emergency; effective upon filing (Register 76, No. 45).
2. Certificate of Compliance filed 2-4-77 (Register 77, No. 6).
3. Amendment of subsections (c), (d), (g), (h), (i) and new subsection (j) filed 6-7-78; effective thirtieth day thereafter (Register 78, No. 23).
4. Amendment of subsection (g) filed 1-28-82; effective thirtieth day thereafter (Register 82, No. 5)
§2501-9. Rules for Conduct of the Hearing. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 9605.1, Unemployment Insurance Code; and 20 C.F.R. §658.417(c)-(m).
HISTORY

1. New section filed 8-24-94 as an emergency; operative 8-29-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-27-94 or emergency language will be repealed by operation of law on the following day. 
2. Change without regulatory effect renumbering section 2501-9 to 2051-9 filed 8-29-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
Part 2. Disability Compensation
Chapter 1. General Provisions
§2601-1. Disability Insurance Definitions.
Note     •     History

Unless the context otherwise requires, the terms used in this part relating to unemployment compensation disability benefits shall have the following meaning:
(a) “Affidavit” means a written statement under oath made in compliance with Code of Civil Procedure sections 2012 through 2015.6 including a declaration under penalty of perjury made in compliance with Code of Civil Procedure section 2015.5.
(b) “Authorized representative” of a claimant means an individual who:
(1) Is authorized by a power of attorney or other authorization satisfactory to the department to represent or act on behalf of a disabled person who is incapable of fulfilling the requirements of filing claims for disability benefits.
(2) Files with the department upon a prescribed form a duly sworn affidavit that the disabled person, according to information received by the individual from the disabled person's physician or practitioner, is incapable of making a claim for disability benefits, and that the individual assumes the responsibility of acting on behalf of such disabled person in accordance with the code and this part.
(c) “Certificate” means the signed statement of a physician, practitioner, or a registrar of a county hospital of this State, on a form prescribed by the department, except that a certificate signed by a physician licensed by and practicing in a state other than California or in a foreign country, or in a territory or possession of a country, except a duly authorized medical officer of any facility of the United States Government, shall be accompanied by a further certification that such physician holds a valid license in the state or foreign country, or in the territory or possession of the country, in which he or she is practicing. In addition, upon request of the department, the claimant shall furnish a statement giving the reason he or she is receiving his or her care and treatment outside this State.
(d) “Claimant” means an individual who has filed a first claim for disability benefits.
(e) “Continued claim” means the claim certifying to a period of uninterrupted disability occurring subsequent to the period covered by the first claim.
(f) “Copy” means any written or printed material, duplicated by electronic means or photographic reproduction, which may be submitted or received by the department, claimants or other entities for purposes of collecting or transmitting information relating to a first or continued claim.
(g) “Electronic means” includes facsimile, electronic mail, Internet, or any other acceptable electronic method as determined by the department.
(h) “First claim” means the claim initially filed on a form prescribed by the department with respect to a single uninterrupted period of unemployment and disability and certifying to a period of disability.
(i) “Form” means a hardcopy or electronic form used by the department to collect or to solicit information from and communicate information to claimants, medical providers, employers, insurance companies, and third party administrators.
(j) “Independent medical examination” means the examination or examinations required by the director for compliance with subdivision (c) of Section 2627 of the code in addition to the certificate of a physician required by Section 2708 of the code, and for compliance with Sections 2706-3 and 2627(c)-1 of these regulations.
(k) “Insurer” means an insurance carrier admitted to write disability insurance in the State of California.
(l) “Mail” means deposit with the United States Postal Service or any other shipping/mailing service, addressed to the recipient's mailing address last known to the sender, with express, priority, first class or equivalent postage.
(m) “Physician” wherever used in this part and in Part 2 (commencing with Section 2601) of Division 1 of the code means “physician” as defined in Section 3209.3 of the Labor Code or a duly authorized medical officer of any facility of the United States Government. “Physician” also includes any member of any one of the professions enumerated in Section 3209.3 of the Labor Code duly licensed by and practicing within the scope of such license in any state outside this State or in any foreign country, or in a territory or possession of any country.
(n) “Regular wages” as used in Section 2656 of the code means compensation paid entirely by an employer directly to his or her employee as a full or partial payment of his or her remuneration during a period of disability.
(o) “Signature” includes a mark made in compliance with Section 14 of the Civil Code, or a digital signature affixed by any means used by the sender, accepted by the recipient, and acceptable under Section 16.5 of the Government Code and Chapter 10 of Division 7 of Title 2 of the California Code of Regulations.
(p) “Statement on letterhead” means any document that is provided by electronic means or in printed format that officially identifies the issuing entity, which may be a county, state, or equivalent government or private entity for purposes of providing the information described in Section 2708(c)-1 of these regulations.
(q) “Voluntary plan” means a plan for the payment of disability benefits as described in Chapter 6 (commencing with Section 3251) of Part 2 of Division 1 of the code.
(r) “Week” means the seven consecutive day period beginning with the first day of unemployment and disability with respect to which a valid claim is filed for benefits and thereafter the seven consecutive day period commencing with the first day immediately following such week or subsequent continued weeks of unemployment and disability.
(s) “Weekly wage” as that term is used in Section 2656 of the code means any remuneration earned, exclusive of wages paid for overtime work, during the last full week of work immediately preceding the claimant's first day of unemployment and disability, except that for good cause the department may determine the “weekly wage” in any other equitable manner.
(t) “Writing” means the original or a copy of any form of recorded message, provided by electronic means or printed format, capable of comprehension by ordinary visual means.
(u) For the purposes of Section 140.5 of the code no individual shall be deemed eligible for disability benefits for any week of unemployment unless such unemployment is due to a disability. 
(1) If an individual has been neither employed nor registered for work at a public employment office or other place approved by the director for more than three months immediately preceding the beginning of a period of disability, he or she is not eligible for benefits unless the department finds that the unemployment for which he or she claims benefits is due to a disability and is not due to his or her previous withdrawal from the labor market.
(v) A claimant shall be notified in writing of any determination on his claim and of the reasons for any denial of his or her claim. Appeals from such determinations or denials of his or her claim may be filed in accordance with Section 2707.2 of the code and Sections 5000 through 5111 of these regulations which set forth the applicable appeals procedures.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 140.5, 2601, 2626, 2627, 2656, 2706.1, 2707.2 and 2708, Unemployment Insurance Code.
HISTORY

1. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24). For prior history, see Register 63, No. 3.
2. Editorial correction (Register 72, No. 33).
3. Amendment of subsection (l) filed 4-13-73; effective thirtieth day thereafter (Register 73, No. 15).
4. Amendment filed 7-14-78; effective thirtieth day thereafter (Register 78, No. 28).
5. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
6. Amendment of subsection (l) to create subsection (l)(1), new subsection (l)(2), and amendment of subsection (m) and Note filed 9-8-92; operative 10-8-92 (Register 92, No. 37).
7. New subsection (f), subsection relettering and amendment of Note filed 8-31-93; operative 10-1-93 (Register 93, No. 36).
8. Change without regulatory effect amending subsection (m)(2) and relettering of duplicate subsection (m) to (n) filed 11-12-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 46).
9. Change without regulatory effect repealing subsection (m)(2) filed 12-30-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 53).
10. Change without regulatory effect amending subsection (n) filed 1-30-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 5).
11. New subsections (a), (f)-(g), (i), (l), (o)-(p) and (t), subsection relettering and amendment of newly designated subsections (b)(1)-(2) filed 5-21-2009; operative 6-20-2009 (Register 2009, No. 21).
§2602-1. Application of Other Provisions. [Repealed]
History

HISTORY

1. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§2604-1. Suspension of Payment from the Unemployment Compensation Disability Fund of Additional Benefits During Hospital Confinement. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306, 2602 and 2604, Unemployment Insurance Code. Reference: Sections 2604 and 2801, Unemployment Insurance Code.
HISTORY

1. New section filed 4-1-65 as an emergency; designated effective 4-1-65 (Register 65, No. 5).
2. Repealed by operation of law--Certificate of Non-compliance--§ 11422.1 Gov. Code filed 3-14-66 (Register 66, No. 7).
§2606-1. Agricultural Labor. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 306 and 928, Unemployment Insurance Code. Reference: Sections 676 and 2606, Unemployment Ins. Code.
HISTORY

1. New section filed 9-5-61; designated effective 9-15-61 (Register 61, No. 18).
2. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6). Issuing agency: Department of Benefit Payments.
§2606-2. Agricultural or Horticultural Organizations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code.
HISTORY

1. New section filed 3-14-66; designated effective 3-24-66 (Register 66, No. 7).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 2-6-76; effective thirtieth day thereafter (Register 76, No. 6).
§2608-1. Continuous Period of Unemployment and Disability.
Note     •     History

For purposes of Sections 2608 and 2653 of the code, a continuous period of unemployment and disability ends:
(a) When an individual is able to perform his or her regular or customary work.
EXAMPLE 1. A receives the maximum amount of disability benefits payable during a disability benefit period due to A's inability to perform A's regular or customary work because of ulcerative colitis.  On a regularly scheduled appointment with A's physician, the physician advises A that A can return to work and gives A a formal release.  On the same day A is involved in an automobile accident while on the way to A's former employer to arrange for a return to work.  A files a new first claim for a fracture of the femur.
A is eligible for disability benefits for a second, separate and distinct disability benefit period.  Since A had recovered from the first disability, that continuous period of unemployment and disability has ended before the second unrelated disability occurred.
(b) In the case of two consecutive periods of disability due to the same or related cause or condition for which a first claim is initially filed:
(1) The period ends when an individual returns to and is able to perform his or her regular or customary work for a period of more than fourteen (14) days or
(2) In the case of an unemployed individual, the period ends when his or her physician furnishes a statement giving the date, in his or her opinion, that the individual was able to perform his or her regular or customary work for a period of more than fourteen (14) days, or when the unemployed individual submits to the department sufficient other evidence that the individual was able to perform his or her regular or customary work for a period of more than fourteen (14) days.
EXAMPLE 2. B receives the maximum amount of disability benefits payable during a disability benefit period due to inability to perform B's regular or customary work as a rotary driller because of a ruptured disc.  Due to economic necessity, B returns to work as a rotary driller and works fourteen days until the pain forces B to stop working.  On the fifteenth day B files a new first claim for a laminectomy.
B is not eligible for disability benefits for a new disability benefit period because B's second first claim is for the same or related condition, and B was not able to perform B's regular or customary work for a period in excess of fourteen days.
EXAMPLE 3. C receives the maximum amount of disability benefits payable during a disability benefit period due to inability to perform C's regular or customary work as a laborer in a warehouse because of severe and permanently crippling chronic arthritis.  In order to assist C financially, C's employer rehires C as a watchman, and C remains employed as a watchman for two months until a burglar alarm is installed.  C then files a new first claim for the chronic arthritis.
C is not eligible for disability benefits for a new disability benefit period. C's second first claim is for the same cause, and C was not able to resume C's regular or customary work for a period in excess of fourteen days.  The light work did not interrupt the continuous period of unemployment and disability.
(c) If there is a second or more unrelated disabling condition which occurs before a recovery from the disability for which a first claim is initially filed, the period ends when the individual is able to perform his or her regular or customary work following the continuous period of unemployment and disability due to overlapping disabling conditions.
EXAMPLE 4. D is receiving disability benefits payable during a disability benefit period due to D's inability to perform D's regular or customary work because of adrenal cortical insufficiency.  D's physician advises D that the response to hormone treatment should permit D to return to D's regular or customary work within one month.  Two weeks before the maximum amount of disability benefits are exhausted, D fractures an ankle.  D files a new first claim for the fractured ankle.
D is not eligible for disability benefits for a new disability benefit period because D has not recovered from the first disability before receiving the second disabling injury.  Since D suffers a continuous period of unemployment and disability, although from overlapping disabling conditions, only one disability benefit period is established.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 2608 and 2653, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Amendment of section and new subsections (b)(1)-(c) filed 5-19-92; operative 6-18-92 (Register 92, No. 21).
Chapter 2. Disability Benefits
Article 1. Eligibility
§2626-1. Eligibility--Nursing Mother.
Note     •     History

(a) A nursing mother who except for the act of breast-feeding is otherwise able to perform her regular or customary work shall be deemed “disabled” as that term is used in subdivision (a) of Section 2626 of the code only if one of the following conditions exists:
(1) The act of breast-feeding or nursing the infant induces a physical condition in the claimant that prevents her from performing her regular or customary work and this physical condition is supported by a certificate which meets the requirements of Section 2708 of the code.
(2) The act of breast-feeding is medically essential in sustaining the life of the infant and the mother is disabled from an anxiety reaction resulting therefrom which is supported by a certificate which meets the requirements of Section 2708 of the code.
(b) Except when subdivision (a) of this section applies, neither the difficulties of lactation nor the impracticality of breast-feeding, shall constitute a “disability” within the meaning of subdivision (a) of Section 2626 of the code.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 2626, 2627 and 2708, Unemployment Insurance Code.
HISTORY

1. New section filed 8-24-92; operative 9-23-92 (Register 92, No. 35).
§2626.2-1. Pregnancy--Abnormal and Involuntary Complications. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2626 and 2626.2, Unemployment Insurance Code.
HISTORY

1. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14). For prior history, see Register 78, No. 28.
§2626.2-2. Pregnancy-Related and Unrelated Conditions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2626 and 2626.2, Unemployment Insurance Code.
HISTORY

1. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14). For prior history, see Register 78, No. 28.
§2627(b)-1. Waiting Period.
Note     •     History

(a) Scope. This section deals with the conditions under which the waiting period required by subdivision (b) of Section 2627 of the code is served.
(b) General. A claimant must be unemployed and disabled for a waiting period of seven consecutive days during each disability benefit period for which days no disability benefits are payable.
(c) Serving the Waiting Period.
(1) Generally the waiting period will be served by the first seven days of the disability benefit period even if the claimant is ineligible to receive disability benefits for the same period, provided the claimant is both unemployed and disabled during such period. The following are examples of conditions under which a claimant may be ineligible to receive disability benefits but may serve the waiting period at the same time:
(A) During receipt of other benefits under a workers' compensation law or any employer's liability law as defined in Section 2629 of the code.
(B) During receipt of wages or regular wages from an employer as defined in Section 2656 of the code. 
EXAMPLE 1. A receives eight weeks of temporary total indemnity under a workers' compensation law through June 30 for an industrially caused injury to A's foot. On June 15, before recovering, A injures an elbow at home and surgery is performed on the elbow. A files a first claim for disability benefits for the injury to the elbow.
A is disqualified from receiving disability benefits for the period beginning June 22 and ending June 30 under Section 2629 of the code because of the receipt of temporary workers' compensation benefits in excess of A's disability benefit amount. A serves the waiting period during the period June 15 through June 21 while A is in receipt of temporary workers' compensation. A is eligible for disability benefits beginning July 1.
EXAMPLE 2. B files a first claim for disability benefits because of injuries suffered in an automobile accident on June 15 with a prognosis of 8 weeks. B receives two weeks of full pay as sick leave paid by B's employer under the terms of a union contract.
B is disqualified from receiving disability benefits for the period beginning June 22 and ending June 28 under Section 2656 of the code because of the receipt of regular wages equal to B's weekly wage immediately prior to the commencement of B's disability. B serves the waiting period during the period June 15 through June 21 while B is in receipt of regular wages. B is eligible for disability benefits beginning June 29.
EXAMPLE 3. C's employment is terminated on June 14 due to C's frequent absence from work because of a drinking problem. C files a first claim for disability benefits on June 15 for chronic alcoholism. C is not under the care and treatment of a doctor but enters an alcoholic recovery home on June 22 at the recommendation of a physician to participate in an alcoholic recovery program for 20 days.
C is disqualified from receiving disability benefits for the period beginning June 15 and ending June 21 because C is not disabled within the meaning of subdivision (b)(3) of Section 2626 of the code. C is not eligible to serve the waiting period at the same time because C is not both unemployed and disabled during this period. C serves the waiting period during the period June 22 through June 28. C is eligible for disability benefits beginning June 29 in accordance with Section 2626.1 of the code.
(2) No additional waiting period will be served during one disability benefit period even if the disability benefits are interrupted, provided the waiting period required by subdivision (b) of Section 2627 of the code has been previously served. The following are examples of conditions under which disability benefits may be interrupted during one disability benefit period but no additional waiting period is required for subsequent payment of disability benefits:
(A) Performance of regular or customary work within a period of not more than 14 days before a consecutive period of disability due to the same or related cause or condition.
(B) Performance of other than regular or customary work, or performance of regular or customary work on less than a full-time basis, because of a continuous uninterrupted period of disability.
(C) Performance of work as defined by subparagraphs (A) or (B) of paragraph (2) of this subdivision which results in simultaneous coverage for the subsequent payment of disability benefits as provided in Section 3253-1 of these regulations. 
EXAMPLE 1. A files a first claim for disability benefits for myalgia and traumatic tendonitis, serves a seven day waiting period, and receives six weeks of disability benefits. A returns to A's regular work, unadvisedly, and performs regular and customary work within a period of fourteen days until the pain forces A to stop working. On the fifteenth day, A files a new first claim for the same medical conditions for which surgery is now planned.
A is eligible for disability benefits beginning with the day for which the second claim is filed. A's second claim is for the same or related condition and A was not able to perform A's regular or customary work within a period of fourteen days. Having established but one disability benefit period in accordance with Section 2608 of the code, A may not be required to serve an additional waiting period. 
EXAMPLE 2. B, a janitor, files a first claim for disability benefits for a cerebral hemorrhage due to hypertension for an indefinite period of disability. B's physician advises that B will never be able to perform the heavy lifting or strenuous manual labor previously required by B's work. B serves a seven-day waiting period and receives six months of disability benefits. B returns to work because of economic distress when B's employer offers B a temporary position of light work as a general handyman at B's usual weekly wage. B works six weeks until this work is no longer available. B files a new first claim for B's permanent disability.
B is eligible for disability benefits beginning with the day for which the second claim is filed. Since B's disability and unemployment within the meaning of Section 2626 of the code was not interrupted by the performance of light work and B's disability benefit period was continuous from the beginning date of the original claim, B shall not be required to serve an additional waiting period.
EXAMPLE 3. C, an estimator and general office worker, files a first claim for disability benefits for necrosis of the head of the femur. C serves a seven-day waiting period and receives six months of benefits. C returns to C's regular job because of economic distress and the will to work but, because of the disability, can work only on crutches for 6 hours each day for a 30-hour week. C formerly worked at least 40 hours per week. C works two months until C's physician advises C to terminate this employment because of C's medical condition. C files a new first claim for an operation to rebuild the hip joint.
C is eligible for disability benefits beginning with the day for which the second claim is filed. Performance of regular or customary work includes ability to work full time and at a full production rate as well as ability to perform the type of work which the claimant customarily performs. Since C's disability and unemployment within the meaning of Section 2626 of the code was not interrupted by the performance of regular or customary work on less than a full-time basis and C's disability benefit period was continuous from the beginning date of the original claim, C shall not be required to serve an additional waiting period. (C may have been eligible for reduced disability benefits when C was employed but C chose not to claim benefits for this period.)
EXAMPLE 4. D files a first claim for disability benefits with the State Disability Fund, serves a seven-day waiting period, and receives six weeks of benefits. D recovers from the disability and obtains employment with a new employer who has automatic coverage under an approved voluntary plan for the payment of disability benefits to the employees. D performs regular and customary work within a period of fourteen days and then suffers a recurrence of the same disability. On the fifteenth day, D files a new first claim with the State Disability Fund. The department refers the claim to the self-insured voluntary plan employer with a request that benefits be paid on a simultaneous coverage basis in accordance with Section 3253-1 of these regulations.
D is eligible for disability benefits from both the State Disability Fund and the voluntary plan beginning with the day for which the second claim is filed. D's second claim is for the same or related condition and D was not able to perform D's regular or customary work for a period in excess of fourteen days. Having established but one disability benefit period in accordance with Section 2608 of the code and having already served the initial waiting period prescribed by subdivision (b) of Section 2627 of the code under the State Disability Fund, D shall not be required to serve another waiting period under the voluntary plan.
(3) When any of the conditions described in paragraph (2) of this subdivision exist but the waiting period required by subdivision (b) of Section 2627 of the code is only partially served during the first period of disability, any unserved portion of the waiting period shall be served at the beginning of the subsequent period of disability during the one disability benefit period. 
EXAMPLE 1. A, a longshoreman, files a first claim for disability benefits beginning June 15 for a permanent disability. A serves six days of the waiting period. A's employer offers A temporary employment as a ship's clerk beginning June 21, doing light work full time at A's regular pay. A works one month until this work is no longer available. A files a new first claim beginning July 21 for A's permanent disability.
A's waiting period is served for the six days, June 15 through June 20, and the one day, July 21, for a total of seven days. A is eligible for disability benefits beginning July 22 since A's disability and unemployment within the meaning of Section 2626 of the code was not interrupted by the performance of light work and A is required to serve only one seven-day waiting period in each disability benefit period.
EXAMPLE 2. B, an assembler, files a first claim for disability benefits beginning June 15 for rheumatoid arthritis with a prognosis of 6 weeks. B reports on the first claim that B worked at regular or customary duties at full pay on June 18, 19, and 23, due to economic distress and an ability to endure pain, however B's physician advised B to stop working entirely in order to effect a cure for B's medical condition.
B's waiting period is served for the three days, June 15 through June 17; the three days, June 20 through June 22; and the one day, June 24, for a total of seven days. B is eligible for disability, benefits beginning June 25 since B was not able to perform B's regular or customary work for a period in excess of fourteen days and B is required to serve only one seven-day waiting period in each disability benefit period.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 2608, 2626, 2626.1, 2627, 2627.3, 2627.5, 2627.7, 2629, 2656 and 3253, Unemployment Insurance Code.
HISTORY

1. New section filed 10-27-89; operative thirtieth day thereafter (Register 89, No. 45).
2. Change without regulatory effect amending section filed 5-5-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 18).
§2627(c)-1. Independent Medical Examination.
Note     •     History

(a) Scope. This section deals with the effect of a request by the director under subdivision (c) of Section 2627 of the code for independent medical examinations for the purpose of determining an individual's disability, and the effect of a request by the director under subdivision (c) of Section 2706-3 of these regulations for additional evidence by an examining physician of the continuance of an individual's disability during the period covered by a continued claim.
(b) General Principles. Independent medical examinations requested by the director shall meet all of the following conditions:
(1) The request for an examination shall be reasonable.
(2) The examining physician shall be designated by the director to obtain an independent and impartial opinion. If the claimant requests a different examining physician, the examination shall be rescheduled with another physician designated by the director.
(3) The examination and any laboratory or x-ray procedures shall be only extensive enough to determine the individual's ability to perform his or her regular or customary work and the date he or she was or will be able to do so. The examination shall not be considered to be a consultation.
(4) The fee for the examination and any laboratory or X-ray procedures shall be paid by the department in accordance with a fee schedule determined by the director.
(c) Reasonableness of Independent Medical Examination. Generally, a request for an independent medical examination is reasonable when requested in good faith in order for the department to determine its accruing and future liability for the payment of disability benefits to a claimant. Any claimant, except a resident in an alcoholic recovery home or a resident in a drug-free residential facility or an individual who depends for healing entirely upon prayer or spiritual means, as provided in Sections 2626.1, 2626.2, and 2709 of the code, may be required to submit to independent medical examinations when one or more of the following circumstances is present:
(1) Medical information received from the claimant's physician on inquiry does not conform with the guidelines established by the department's medical director regarding the normal duration of the disability, nor does the claimant's physician provide any objective medical findings that would tend to alter the expected duration of the disability.
(2) Inadequate medical information to support the existence, continuance, or an extension of a disability is received as a result of inquiry to the claimant's physician.
(3) Conflicting medical information concerning the claimant's disability is received from the same or different physicians.
(4) Documented reports of the claimant's activities conflict with reports on the claimant's disability during the same period.
(5) Additional medical evidence requested to support a continued claim for disability benefits cannot be secured without an additional fee to the claimant.
(6) Additional medical information is necessary to confirm that the claimant is, in fact, disabled.
(d) Time for Making an Appointment for an Independent Medical Examination. A claimant who receives a request to be examined in accordance with subdivision (c) of Section 2627 of the code shall contact the designated physician not later than the seventh consecutive day after the date the request was mailed by the department to the claimant to arrange for an examination on the earliest date available, except that such time shall be extended by the department upon a showing of good cause. Such request for an independent medical examination shall be cancelled if the claimant reports a recovery or return to work within the 7-day period.
(e) Failure to Submit to an Independent Medical Examination. Any claimant who fails to submit to a reasonable independent medical examination is subject to disqualification under subdivision (c) of Section 2627 of the code in the following manner:
(1) If a claimant fails to contact the designated physician within the time in subdivision (d) of these regulations, the claimant shall be disqualified from receiving disability benefits commencing with the eighth day after the date the request for an independent medical examination was mailed by the department to the claimant.
(2) If a claimant makes an appointment  for an independent medical examination but fails to report for the examination, or cancels the appointment, the claimant shall be disqualified from receiving disability benefits commencing with the date of the appointment, or the date of the cancellation, whichever is earlier.
(3) If a claimant fails to comply with the request for an independent medical examination but later agrees to submit to an independent medical examination, the disqualification from receiving disability benefits shall end on the date immediately preceding the date of the examination.
(f) Results of Independent Medical Examination. Upon receipt of the report of the independent medical examiner, the department shall determine a claimant's eligibility for disability benefits in the following manner:
(1) If the independent medical examiner confirms or extends the estimated duration of disability received from the claimant's physician, the claimant shall be deemed eligible for disability benefits in accordance with the certificate furnished by the claimant's physician with respect to probable duration of the disability.
(2) If the independent medical examiner expresses an opinion that the claimant may be able to perform his or her regular or customary work at a future date earlier than the date given by the claimant's physician, the department shall request additional medical evidence from the claimant's physician to support a continued claim for disability benefits following the last day covered by the duration of disability estimated by the independent medical examiner.
(3) If in the opinion of the independent medical examiner the claimant is able to perform his or her regular or customary work on the date of the examination, the department shall review the medical information and determine the claimant's eligibility for disability benefits. If the claimant is determined able to perform his or her regular or customary work, the claimant shall be disqualified from receiving disability benefits commencing with the date of the independent medical examination.
(g) A claimant shall be notified in writing of any disqualification based on his or her failure to submit to a reasonable independent medical examination and the reasons for the disqualification. Appeals from such disqualifications may be filed in accordance with Section 2707.2 of the code and Sections 5020 through 5121 of the regulations which set forth the applicable appeals procedures.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 2626, 2627 and 2706, Unemployment Insurance Code.
HISTORY

1. New section filed 8-26-93; operative 9-27-93 (Register 93, No. 35).
Article 2. Computation  (Amount and Duration)
§2652-1. Weekly Disability Rates Effective January 1, 1952.
History

HISTORY

1. Repealer filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
§2657-1. Allocations of Wages Paid at Irregular or Infrequent Intervals.
Note     •     History

For the purpose of determining a claimant's maximum benefits and weekly benefit amount for disability benefits, when because of the irregular or infrequent intervals of the wage payments, wage records would not otherwise fairly indicate the claimant's employment during his or her disability base period, the department shall apportion the amount of such wage payments among the calendar quarters covered by the wages according to the length of employment in each of such quarters.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 2657, Unemployment Insurance Code.
HISTORY

1. New section filed 9-5-61; designated effective 9-15-61 (Register 61, No. 18).
2. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§2658-1. Affidavit for New Disability Insurance Claims--Periods of Trade Dispute.
Note     •     History

(a) If the wage records relating to the claim of a person who was involved in a trade dispute during his or her normal disability base period have been destroyed under proper approval, the person shall execute the affidavit provided for in Section 2658 of the code. The affidavit shall be on a form prescribed by the department and shall specify the names and addresses of the employers of the disabled person during the calendar quarters immediately preceding the commencement of the trade dispute which are substituted for any quarters excluded from his or her disability base period, and the approximate wages paid to the disabled person by each of such employers in each of such calendar quarters.
(b) If the disabled person is unable to furnish in an affidavit the detail specified by this section, the department shall establish the amount of wages based on the information furnished by an affidavit in substantial compliance with this section. The department may verify such information with the disabled person's prior employers.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 2658, Unemployment Insurance Code.
HISTORY

1. New section filed 7-14-78; effective thirtieth day thereafter (Register 78, No. 28).
Article 3. Determinations of Continuing Eligibility
§2675-1. In-Office Eligibility Review for Continued Benefits.
Note     •     History

(a) Scope. This section establishes an in-office eligibility review process for the purpose of giving claimants suspected of fraud, who are currently receiving disability benefits, a fair and equitable opportunity to be heard in person before a decision is made regarding their continued eligibility to receive disability benefits.
(b) Fraud. When the department has information which leads the director to suspect that a claim is fraudulent, the director may terminate the fraudulent benefit payments to protect the solvency of the Disability Fund, provided the claimant affected is promptly given notice and an opportunity to be heard in person and refute evidence in the department's possession before such termination takes place.
(1) “Fraud” or “suspected of fraud,” for purposes of this section may include, but is not limited to, any one of the following circumstances where the department has information that:
(A)  The claim was filed by a person other than the individual named on the claim form or an authorized representative of the named individual, leading the director to believe that the claimant is misrepresenting his or her true identity.
(B) The validity of the claimant's diagnosis in the medical certificate, as defined in Section 2708, Unemployment Insurance Code (Code), cannot be substantiated by additional medical records and/or evidence from the certifying physician, practitioner, or other persons authorized by Code Sections 2708(d) and 2708(e), leading the director to believe that the claimant is mispresenting his or her medical condition.
(C) The claimant, either personally or through the assistance of another person, has willfully made a false statement or representation, with actual knowledge of the falsity thereof, or withheld a material fact to obtain benefits.
(D) An organized scheme to defraud the department exists.
(2) “Eligibility Reviewer” means any person designated by the director to conduct an eligibility review, but shall not include a person reporting to the manager of the field office where the claim is filed. The eligibility reviewer shall not be the presenter of the department's position with regard to the claimant's eligibility for benefits.
(c) Notice of Eligibility Review. Written notice of the review shall be mailed to the claimant and, if applicable, to the authorized representative, at least ten (10) days before the date of the review. The notice shall include:
(1) The date, time, and place of the review.
(2) The issue(s) to be determined.
(3) A summary of the evidence indicating why benefits should be terminated.
(4) The claimant's rights as described in subdivisions (e), (f), and (g) of these regulations.

The ten (10) day notice requirement may be shortened with the consent of all parties.
(d) Location of Eligibility Reviews. The department shall set the time, date, and place of the review at a location in California, within reasonable commuting distance to the claimant. Factors considered in determining a reasonable commuting distance to the review shall also include, but not be limited to:
(1) The claimant's residence address as known to the department.
(2) The location of the physician who certified the claimant for disability benefits.
(3) The location of the field office of the department where the claimant has filed for benefits.
(4) The location of the the claimant's last California employment prior to becoming disabled.
(e) Conduct of Review and Evidence.
(1) The eligibility reviewer shall control the taking of evidence in a review in a manner best suited to ascertain the facts and safeguard the rights of the parties involved. Prior to the taking of evidence, the eligibility reviewer shall explain the issues and the order in which the review shall proceed.
(2) Testimony shall be taken under oath, affirmation, or penalty of perjury.
(3) Each party shall have the right to present evidence, to introduce the testimony of witnesses, and to confront or cross-examine adverse witnesses.
(4) The claimant shall be granted an opportunity to examine the department's eligibility review file.
(5) The proceedings shall be tape recorded.
(f) Right to Counsel. Any party shall have the right to be represented by counsel. However, the department shall not be required to provide counsel to any party.
(g) Claimant's Written Submission in Lieu of Personal Appearance.
(1) A request by a claimant to present his or her case through a written submission shall be received at least three (3) days prior to the scheduled review. The request shall be made in writing.
(2) A request for written submission shall be granted upon a  showing of good cause for the claimant's inability to appear in person at the review. Unwillingness to appear in person, when able to do so, shall not be grounds for the granting of a written submission.
(3) Upon granting a request for written submission, the department shall promptly notify the claimant prior to the scheduled review as to the time and manner in which the written submission is to be submitted. The department shall give the claimant a reasonable amount of time based upon a consideration of his or her circumstances to prepare and submit a written submission.
(4) The written submission shall include a written statement or arguments signed by the claimant under penalty of perjury or other documents supporting the claimant's position.
(5) Disability benefits shall be continued pending review of the written submission if the claimant's request for written submission is granted.
(h) Preparation For Review. Having been given timely and adequate notice, all parties are responsible for being prepared with evidence, testimony, and witnesses at the time and place of the review.
(i) Failure to Appear.
(1) If a party scheduled for review fails to appear at the review, the eligibility reviewer shall make a determination based upon the facts available at the time of the scheduled review.
(2) Notice of the eligibility reviewer's determination based upon a review of the record shall be issued, in writing, within ten (10) days of the date of the scheduled review. If the eligibility reviewer determines that the claimant is not eligible, the notice shall notify the claimant that he or she may either:
(A) Appeal to an administrative law judge within twenty (20) days from the mailing or personal service of the determination; or
(B) Apply for a reconsideration of the determination, in writing, within twenty (20) days from the mailing or personal service of the determination and show good cause for failure to appear at the hearing.
(3) If the party who failed to appear applies for a reconsideration, in writing, within twenty (20) days after mailing or personal service of the determination, but does not show good cause for failure to appear at the review, a written notice of the denial of the request for reconsideration with a written notice of the eligibility reviewer's determination, including the appeal rights pursuant to subdivision (j)(5), shall be mailed to the claimant.
(4) If the party who failed to appear applies for a reconsideration, in writing, within twenty (20) days after mailing or personal service of the determination and shows good cause for failure to appear at the review, an eligibility review will be scheduled pursuant to subdivisions (c) through (g) of these regulations.
(5) Disability benefits shall be continued preceding the eligibility review if the claimant's request for reconsideration of the determination of the eligibility reviewer is granted.
(j) Notice of Determination.
(1) Notice of the eligibility reviewer's determination, made after the holding of an eligibility review, shall be issued, in writing, within ten (10) working days of the date of the scheduled review.
(2) The notice shall set forth the decision, the reasons for the decision, evidence relied upon, and the date of mailing or service.
(3) A copy of the determination shall be mailed to each party and, if applicable, to the authorized representative.
(4) The claimant may appeal to an administrative law judge within twenty (20) days from the mailing or personal service of the notice of determination. The department may extend the twenty (20) day period for good cause. Notwithstanding Section 2706-5 of these regulations, disability benefits shall not be continued pending the decision of an administrative law judge.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 305, 306 and 2675, Unemployment Insurance Code.
HISTORY

1. Amendment of  article 3 heading and  new section  filed 4-14-94 as an emergency; operative 4-14-94 (Register 94, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-12-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance disapproved by OAL 9-26-94. Emergency language repealed by operation of Government Code section 11346.1(f) and (g) (Register 94, No. 39).
3. Amendment of article heading and new section refiled with amendments 9-26-94 as an emergency; operative 9-26-94 (Register 94, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-26-94 order including amendment of section transmitted to OAL 1-24-95 and filed 3-8-95 (Register 95, No. 10).
Article 4. Filing, Determination and Payment of Disability Benefit Claims
§2705-1. Payment of Disability Benefits Due Deceased Individuals.
Note     •     History

If a claim for disability benefits is not filed by an otherwise eligible individual prior to his or her death, the first claim for such benefits may be filed, in accordance with Section 2706-1 of this part by the surviving spouse, or such other persons or person who may be legally entitled thereto. Payment of benefits shall be made upon receipt of a completed first claim form accompanied by an affidavit executed by such person or persons. The payment by the department of such benefits upon receipt of such affidavit, or affidavits, shall discharge the obligations of the department to the extent of such payment, without the necessity of inquiring into the truth of any of the facts stated in the affidavit. The department shall prescribe the form of affidavit to be executed.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 2705, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§2705.1-1. Payment of Disability Benefits Due Mentally Incapacitated Individuals.
Note     •     History

(a) If a claim for disability benefits is not filed by an otherwise eligible individual because he or she is mentally unable to make a claim, the claim may be filed by a spouse, domestic partner, or other legally authorized representative of the individual. The claim shall comply with Section 2706-1 or 2706-3 of these regulations. The representative shall submit a certificate executed by the physician or practitioner attending the individual certifying that the individual is mentally unable to make a claim for disability benefits, and certifying the type of practice of the physician or practitioner, and the state licensing the practice. The representative shall also execute and submit a declaration under penalty of perjury which states that the declarant has been informed by such physician or practitioner that the individual is mentally unable to make a claim for disability benefits, and one of the following:
(1) That the declarant is the legally authorized representative of the individual.
(2) That the declarant is the spouse or domestic partner of the individual, and that there is no other legally authorized representative of the individual.
(b) The department shall prescribe a form for the declaration and certificate required by subdivision (a).
NOTE

Authority cited: Section 305 and 306, Unemployment Insurance Code. Reference: Section 2705.1, Unemployment Insurance Code.
HISTORY

1. New section filed 7-14-78; effective thirtieth day thereafter (Register 78, No. 28).
2. Change without regulatory effect amending subsections (a) and (a)(2) filed 10-18-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 43).
§2706-1. Filing a First Claim for Disability Benefits.
Note     •     History

(a) Any person or his or her authorized representative may file a first claim for disability benefits who has been continuously unemployed and disabled for a period of eight consecutive days, provided that a claimant has been examined by or under the care of a physician or practitioner during some portion of such period.
(b) “First claim” means the claim initially filed on a form prescribed by the department with respect to a period of disability. By filing the first claim, the claimant establishes his or her disability period and the department computes the weekly benefit amount and maximum benefits potentially payable for the disability period. 
(c) Any individual who is unable to work and has a wage loss due to any of the causes specified in Section 2626 of the code for a period of eight days, may file a claim for benefits. 
(d) A “properly completed first or continued claim” means a claim containing all the required items as prescribed in subdivisions (e) and (f). 
(e) The claimant shall file the first or continued claim and shall provide his or her: 
(1) legal name, and any other last name(s) used by the claimant. 
(2) social security account number, and any other names and social security account numbers by which the claimant is or was known. 
(A) The department may require the claimant to verify the social security account number as being the one issued to the claimant by the Social Security Administration if the information available to the department indicates that the social security account number presented by the claimant may belong to another individual, is not a valid social security account number, or was never issued by the Social Security Administration, or that the wages in the base period of the claim may belong to another individual.
(B) If the department requires a verification of the social security account number which the claimant has provided to the department during the claim application, the claimant must submit verification of his or her social security account number directly from the Social Security Administration, or submit to the department a copy of his or her annual statement issued by the Social Security Administration.
(3) date of birth.
(4) gender.
(5) mailing address and residence address if different from mailing address.
(6) driver license number or identification card number, provided that the driver license or identification card was issued by a local, state, or federal agency, or a foreign government.
(7) date disability began. 
(8) last day worked at his or her last job and date returned to work, if any. 
(9) reason why he or she is no longer working at his or her last job. 
(10) name(s) and address(es) of his or her most recent employer(s). 
(11) name and location of each facility where he or she has been incarcerated or otherwise in custody of law enforcement authorities upon adjudication or conviction at any time during his or her disability. 
(12) facility name, address and phone number if he or she is residing in an alcoholic recovery home or a drug-free residential facility. 
(13) Workers' Compensation claim information as follows, if he or she has filed or intends to file for Workers' Compensation benefits: 
(A) dates of injury on the job as shown on his/her Workers' Compensation claim. 
(B) Workers' Compensation carrier name and address. 
(C) Workers' Compensation claim number. 
(D) adjuster's name and telephone number. 
(E) employer's name and telephone number identified on the Workers' Compensation claim. 
(F) if the claimant is represented by counsel or other legal representative, provide the name, address and telephone number of such representative; and 
(G) Workers' Compensation Appeals Board case number, if applicable. 
(14) authorization for the claimant's treating physician, practitioner, hospital, or workers' compensation insurance carrier to furnish and disclose to the department all facts concerning the claimant's disability. 
(15) signature certifying to his/her disability. 
(16) authorization for the department to disclose the claimant's information as listed herein from (e)(1) to (e)(10) to the claimant's treating physician, practitioner, hospital, vocational rehabilitation counselor, or workers' compensation insurance carrier.
(17) such other information within the scope of eligibility requirements as the department may require. 
(f) The claimant's physician or practitioner shall provide the following information on the department's designated form: 
(1) claimant's name. 
(2) treating doctor's or practitioner's name, address and telephone number. 
(3) treating doctor's or practitioner's license number. 
(4) date(s) medical care was provided to the claimant. 
(5) date the claimant has been incapable of performing his or her regular or customary work.
(6) date claimant was released or is anticipated to be released to return to claimant's regular or customary work. 
(7) diagnosis and diagnostic code(s) or procedure code prescribed in the International Classification of Diseases, or where no diagnosis has yet been obtained, a detailed statement of symptoms. 
(8) determination regarding whether disclosure of the claimant's disability would be medically or psychologically detrimental to the claimant. 
(9) determination regarding whether the completion of the doctor's certification is for the sole purpose of referral/recommendation to an alcoholic recovery home or drug-free residential facility. 
(10) the treating doctor's or practitioner's certification and signature. 
(11) such other information within the scope of eligibility requirements as the department may require. 
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 2608, 2626, 2701.5 and 2706, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect amending first paragraph and subsection (a) and repealing subsections (b)-(b)(3) filed 5-5-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 18).
3. Amendment of section and Note filed 11-24-2008; operative 12-24-2008 (Register 2008, No. 48).
4. Amendment of subsection (e)(2), new subsections (e)(2)(A)-(B) and (e)(6), subsection renumbering and amendment of newly designated subsections (e)(14) and (e)(16) filed 9-16-2011; operative 10-16-2011 (Register 2011, No. 37).
5. Editorial correction of subsection (e)(2)(A) (Register 2011, No. 42).
§2706-2. Claim for Family Temporary Disability Insurance Benefits -- Filing and Contents.
Note     •     History

(a) “First claim” means the claim initially filed on a form prescribed by the department with respect to a 12-month period of family care leave. By filing the first claim, the claimant establishes his or her 12-month period and the department computes the weekly benefit amount and maximum benefits potentially payable for the 12-month period. 
(b) Any individual who has taken time off from his or her work for a period of eight days to care for a seriously ill child, spouse, parent, registered domestic partner, or to bond with a new child, as they are defined in section 3302 of the code, may file a claim for benefits. 
(c) A “properly completed first or re-established claim” means a claim containing all the required items as prescribed in subdivisions (d), (e) and (f) of this section. 
(d) The claimant shall file the first or re-established claim and shall provide his or her: 
(1) legal name, and any other last name(s) used by the claimant. 
(2) social security account number, and any other names and social security account numbers by which the claimant is or was known.  
(A) The department may require the claimant to verify the social security account number as being the one issued to the claimant by the Social Security Administration if the information available to the department indicates that the social security account number presented by the claimant may belong to another individual, is not a valid social security account number, or was never issued by the Social Security Administration, or that the wages in the base period of the claim may belong to another individual. 
(B) If the department requires verification of the social security account number which the claimant has provided to the department during the claim application, the claimant must submit verification of his or her social security account number directly from the Social Security Administration, or submit to the department a copy of his or her annual statement issued by the Social Security Administration. 
(3) date of birth. 
(4) gender. 
(5) mailing address. 
(6) driver license number or identification card number, provided that the driver license or identification card was issued by a local, state, or federal agency, or a foreign government. 
(7) last day worked at his or her last job. 
(8) reason why he or she is no longer working at his or her last job. 
(9) occupation. 
(10) name(s) and address(es) of his or her most recent employer(s). 
(11) date on which he or she requests benefits to begin. 
(12) care or bonding recipient's legal name. 
(13) relationship to the care recipient. The claimant may be required to provide evidence of the relationship to the family member to support the claim such as a birth or marriage certificate or proof of a registered domestic partnership. 
(14) statement attesting whether any other family member is ready, willing, able and available to provide care for the same period of time in a day. 
(15) signature. 
(16) authorization for the department to disclose the claimant's information as listed herein from (d)(1) to (d)(15) to the care recipient's treating physician or practitioner and to the care recipient. 
(17) such other information within the scope of eligibility requirements as the department may require. 
(e) The claimant shall complete the bonding certification if applying for benefits to bond with a new child and shall set forth the new child's: 
(1) social security account number, if issued. Absence of child's social security account number shall not disqualify the claimant. 
(2) relationship to the claimant. 
(3) date of foster care, guardianship, or adoption placement of the new child with the claimant or family member. 
(4) legal name. 
(5) date of birth. 
(6) gender. 
(7) residence address. 
(8) documentary evidence, pursuant to section 2708(c)-1 of these regulations. 
(9) claimant's signature. 
(10) such other information as the department may require. 
(f) The claimant shall also provide the information as specified below about the following persons: 
(1) for a care recipient, the claimant shall provide the care recipient's: 
(A) legal name. 
(B) social security account number, if issued. Absence of care recipient's social security account number shall not disqualify the claimant. 
(C) date of birth. 
(D) gender. 
(E) residence address. 
(F) signature or authorized representative's signature authorizing the treating physician or practitioner to release the care recipient's protected health information to the department and the claimant. 
(2) The claimant shall gather from the treating physician or practitioner on the department's designated form: 
(A) the name of the care recipient. 
(B) the date of birth of the care recipient. 
(C) a diagnosis and diagnostic code(s) prescribed in the International Classification of Diseases, or where no diagnosis has yet been obtained, a detailed statement of symptoms. 
(D) the date, if known, on which the serious health condition of the care recipient commenced. 
(E) the probable duration of the care recipient's serious health condition. 
(F) an estimate of the duration of time that the care provider is needed to care for the care recipient. 
(G) the number of hours per day that the care provider is needed to care for the care recipient. 
(H) a statement that the care recipient's serious health condition warrants the participation of the care provider to provide care for the care recipient. 
(I) a statement regarding whether disclosure of the doctor's certification would be medically or psychologically detrimental to the care recipient. 
(J) the treating doctor's or practitioner's name and address. 
(K) the treating doctor's or practitioner's license number. 
(L) the treating doctor's or practitioner's signature. 
(M) such other information within the scope of eligibility requirements as the department may require. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2701.5, 2706 and 3303.1, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). For prior history, see Register 69, No. 52. 
2. Amendment of subsections (a)-(b) filed 11-6-2008; operative 12-6-2008 (Register 2008, No. 45).
3. Amendment of subsections (c) and (d)(1)-(2), new subsections (d)(2)(A)-(B) and (d)(6), subsection renumbering and amendment of newly designated subsections (d)(16)-(17), (e)(3) and (f)(2)(M) filed 9-16-2011; operative 10-16-2011 (Register 2011, No. 37).
§2706-3. Continued Claim for Disability Benefits.
Note     •     History

(a) A claimant or his or her authorized representative may, within 20 days from either the last day covered by the most recent continued claim or from the day he or she receives the continued claim form from the department, whichever day is later, file a continued claim. The 20-day period shall be extended by the department upon a showing of good cause.
(b) A separate continued claim shall be filed, on the form prescribed and furnished to the claimant by the department, for each period not exceeding 14 days subsequent to the period covered by the first claim. A continued claim may cover an uninterrupted period of disability of more than 14 days in any case where the department for good cause finds it necessary or desirable.
(c) The department may request additional evidence to accompany or supplement a continued claim, if additional evidence can be secured without additional fee to the claimant. Upon such request, the claimant shall submit to the department additional evidence of the continuance of his or her unemployment and disability during the period covered by the continued claim. Such evidence shall include a statement as to the facts of the claimant's disability by one of the following:
(1) The physician or practitioner attending the claimant.
(2) An authorized representative of the hospital or other recognized health facility in which the claimant is confined or receiving treatment.
(3) An examining physician or other authorized representative of the department.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 2706, Unemployment Insurance Code.
HISTORY

1. Amendment filed 3-12-76; effective thirtieth day thereafter (Register 76, No. 11).
2. Amendment of subsections (a) and (c) filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§2706-4. Claims May Be Filed by Mail.
Note     •     History

All claims and other required documents relating thereto may be filed by mail except in those cases where the claimant is notified by the department that a personal appearance or examination will be required. Filing by mail shall be deemed complete at the time of deposit in the mail, in a sealed envelope, with postage paid, addressed to the department.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 2706, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§2706-5. Payment of Disability Benefits Pending Appeal by Claimant.
Note     •     History

(a) Scope. This section interprets whether disability benefit payments continue in situations where the department determines a claimant is initially eligible for benefits, but subsequently determines the claimant is ineligible or disqualified for benefits for further days, and the claimant files an appeal from the subsequent determination.
(b) General. If the department finally determines that a claimant is initially eligible for disability benefits, subsequently determines that the claimant is ineligible, disqualified or subject to a reduction of further benefits, and the claimant files a timely appeal from the subsequent determination, within 20 days pursuant to Unemployment Insurance Code Section 2707.2, and a written election with the department on a prescribed form (“Notice of Right to Receive Benefits Pending Appeal” DE Form 63155CC Rev.3: 6/86) to have benefits continued and files continued claims pending disposition of the appeal, the department shall continue to pay benefits until the appeal has been resolved by the decision of an administrative law judge, except that benefit payments shall cease if the appeal is dismissed or if a criminal complaint for fraud is filed against the claimant under Section 2101 of the code (see subdivision (c) of Section 1263 of the code and Section 2602 of the code).
(c) Claimant Finally Determined Initially Eligible. The department has finally determined that a claimant is initially eligible for disability benefits, if, after the filing of a first claim, the department determines that all of the following conditions exist:
(1) The claimant is disabled.
(2) The claimant has received one or more disability benefits payments.
(3) The claimant has filed a claim in accordance with authorized regulations, which appear in Title 22, California Code of Regulations, Division 1, Part 2, Chapter 2, Article 4.
(4) The claimant has a monetarily valid claim.
(5) The claimant has not exhausted the maximum benefit amount for the disability benefit period of the claim.
(6) The claimant is otherwise eligible.
(7) The initial determination is not subject to reconsideration under subdivision (a) of Section 2707.5 of the code.
(8) The initial benefit amount has not been recomputed under subdivision (b) of Section 2707.5 and determined to be monetarily invalid.
(9) The department has not determined that the claimant is ineligible for benefits based on a new set of facts or conditions unless the new determination of ineligibility meets all the other conditions of this subdivision.
EXAMPLE 1. Claim Filing. Claimant A files a first claim for disability benefits with a postmark date of September 20. A claims disability beginning June 30. The department determines A does not have good cause for late filing, and under code Section 2706.1 gives the claim an effective date of August 3. A is paid benefits based on that date. A appeals the department's denial of benefits for the days from June 30 through August 2. The department has not determined that A was initially eligible for those days. Therefore, pending decision on the appeal, A is not entitled to receive payment for any day prior to August 3. The days after August 2 are not affected by the back dating issue raised by A's appeal, and A is entitled to continued payment of benefits for days after August 2. 
EXAMPLE 2. Claim Filing. The department receives a first claim in which Claimant B states that the disability began August 10, on which date B was examined by a doctor. The doctor's certificate does not support a disability. B appeals the department's determination of ineligibility under Section 2708 of the code. B does not have the right to receive benefits pending decision on the appeal because B was not finally determined initially eligible for benefits. 
EXAMPLE 3. Claim Filing. The department determines Claimant C is initially eligible for disability benefits. C receives benefits for 28 days, but does not return the continued claim for the next period of payment until after the 20-day filing period. The department determines that C does not have good cause for late filing and holds C ineligible because C's claim was not filed timely in accordance with Section 2706-3 of these regulations. C appeals. Since the department has finally determined that C was initially eligible, C is entitled to receive benefits for the disallowed period pending decision on the appeal. 
EXAMPLE 4. Reconsideration of Determination. Claimant D claims disability for 56 days because of hernia surgery. There is no indication on the claim that the hernia was caused by D's work. The department pays D benefits for 35 days and then discovers that D is being paid temporary workers' compensation indemnity for the same days of disability at the same weekly rate. The department reconsiders the determination and determines that D is ineligible under Section 2629 of the code for the period of the disability because of duplication of benefits. D appeals. Since under subdivision (a) of Section 2707.5 of the code the department may reconsider any disability benefit determination prior to the filing of an appeal, the initial determination was not final, and D is not entitled to receive disability benefits pending decision on the appeal.
EXAMPLE 5. Reconsideration of Computation. Claimant E files for and is paid disability benefits. While E is in continued claim status, the department recomputes E's claim and determines under Section 2652 of the code that E does not have sufficient qualifying wages in the disability base period to have a valid claim. E appeals. Since under subdivision (b) of Section 2707.5 the department may recompute a claim within one year from the beginning date of a disability benefit period, the initial computation was not final, and E is not entitled to receive disability benefits pending decision on the appeal. 
(d) The department shall not continue benefits pending the decision of an administrative law judge if disability benefits are otherwise limited by operation of law, including but not limited to the following sections of the code:
(1) Section 2626.1 (benefits to a claimant whose eligibility depends upon residence in an approved alcoholic recovery home are limited to 30 days, with the possibility of extension to an additional 60 days).
(2) Section 2626.2 (benefits to a claimant whose eligibility depends upon residence in an approved drug-free residential facility are limited to 45 days, with the possibility of extension to an additional 45 days).
(3) Section 2628 (the claimant is not entitled to disability benefits for any day for which he or she is entitled to unemployment compensation benefits under any state or federal unemployment compensation law).
(4) Section 2629 (the claimant received or is entitled to an amount of “other benefits” as defined in Unemployment Insurance Code section 2629 under any state or federal workers' compensation or employer's liability law in an amount which equals or exceeds the amount of disability benefits to which the claimant is entitled for the same day during the disability benefit period).
(5) Section 2656 (the amount of disability benefits to which the claimant is entitled for any day is limited by the amount of wages or regular wages received for the same day).  (See also, Sections 678, 926, 926.5, 1252.1, 1252.2, 2656, and 2657.)
(6) Section 2676 (the claimant may be denied disability benefits for any day for which he or she has been disqualified from or forfeits unemployment compensation benefits under Section 1256, 1257, 1260, 1261, or 1263 of the code).
(7) Section 2678 (a claimant confined pursuant to commitment or court order or certification as a dipsomaniac, drug addict, or sexual psychopath is not entitled to disability benefits for any day of such confinement).
(8) Section 2680 (a claimant is not entitled to disability benefits for any day during which he or she is in custody of law enforcement authorities in any federal, state, or municipal penal institution, jail, medical facility, public or private hospital, or in any other place upon adjudication or conviction of a criminal violation of a federal, state, or other municipal law or ordinance by a court of competent jurisdiction).
(9) Section 2681 (a claimant is not entitled to disability benefits if he or she is disabled due to illness or injury caused by or arising out of the commission of, arrest, investigation, or prosecution of any crime that results in a felony conviction).
(10) Section 2708 (a claimant is not entitled to disability benefits for any period after the period covered by the initial certificate or preceding continued claim unless his or her continued claim is supported by the certificate of a treating physician or practitioner authorized pursuant to sections 2708 and 2709 to certify State Disability Insurance claims).
(11) Section 3253 (a claimant is not entitled to disability insurance coverage under the state plan if an employer or combination of employers of the claimant is solely liable for such coverage under an approved voluntary plan or plans). 
EXAMPLE 6. Able to Work. Claimant G is found eligible for disability benefits based on a physical condition that the certifying doctor estimates will last 20 weeks. The normal recovery expectancy for G's disability is from 8 to 10 weeks. At the eighth week of disability, the department asks the certifying doctor for a progress report. The reply is inadequate to support the continuance of disability, and G is asked to submit to an independent medical examination. The examining doctor reports that G is able to return to regular and customary work as of the date of the examination, and the department denies benefits after that date under Section 2626 of the code. G appeals. Since the department has finally determined G initially eligible for benefits, G is entitled to continued payment of benefits pending decision on the appeal, provided G's treating physician has certified or continues to certify G as continuing to be disabled. 
EXAMPLE 7. Able to Work. Claimant H is found eligible for benefits based on surgery that will disable H for 12 weeks. The claimant's surgeon examines H at the end of the ninth week of disability, and advises the department that H is now able to return to work. The department denies continued benefits under Section 2626 and H appeals. H is entitled to receive benefits pending decision on the appeal only to the extent that H's continued claims are supported by the certificate of a treating physician or practitioner as required pursuant to Section 2708 of the code. 
EXAMPLE 8. Receipt of Duplicate Benefits. Claimant I is found eligible for benefits because of a neck injury suffered in an automobile accident. Prior to the accident I had been scheduled for operation to repair an industrial hand injury. The scheduled operation is performed during the period that I is disabled by the neck injury. Beginning with the date of the operation, and for the next four weeks, I is paid temporary workers' compensation indemnity at a rate in excess of I's weekly disability benefit amount. The department denies benefits for four weeks, under code Section 2629. I appeals. Since I is not entitled to duplicate benefits for the same period of disability, I is not entitled to receive benefits for the four weeks pending decision on the appeal.
(e) Fraud, Misrepresentation or Willful Nondisclosure. A claimant does not have the right to receive benefits pending an appeal for any day the claimant is subject to disqualification for having made a willful false statement or representation, with actual knowledge of the falsity thereof, or has willfully withheld a material fact concerning his or her initial eligibility and the false statement determination is final (see Section 2675 of the code).
(f) Fraud Conviction. If a claimant is convicted under Section 2101 of the code by any court of competent jurisdiction of willfully making a false statement or knowingly failing to disclose a material fact to obtain or increase benefits, the claimant forfeits any right to benefits for 52 weeks beginning with the week in which the criminal complaint is filed (see subdivision (a) of Section 1263 of the code).
(g) Pretermination Due Process.  A claimant does not have the right to continue to receive benefits pending an appeal for any day he or she has been found ineligible after having been afforded a pretermination eligibility review pursuant to Section 2675-1 of these regulations.
(h) Benefit Overpayment Offsets.  A claimant does not have the right to a cash refund of benefits previously offset, or payment of any portion of his or her continued benefits pending appeal which are subject to offset against an overpayment of benefits previously paid under the code if the overpayment determination is final (see Sections 2739 and 1379 of the code).
(i) Child Support Intercept.  A claimant does not have the right to a cash refund of benefits previously intercepted, or payment of any portion of his or her continued benefits pending appeal which are subject to intercept in order to satisfy an unpaid, court-ordered child support obligation pursuant to Welfare and Institutions Code section 11350.5 (also see Section 2630 of the code).
(j) Recovery or Return to Work.  A claimant is not disabled, and consequently does not have the right to continue to receive benefits pending appeal, for any day on which he or she has reported ability to perform his or her regular and customary work or has returned to regular or customary work (see Section 2626 of the code).
(k) Notice to Claimant Regarding Appeal. If the department determines that a claimant is initially eligible for benefits and subsequently determines that the claimant is ineligible or disqualified, the department shall notify the claimant of the right to appeal to an administrative law judge. Concurrent with the notification of the right to appeal, the department shall also notify potentially entitled claimants that they may be eligible for benefits pending the appeal and may elect to continue to receive benefits pending the appeal; and that they may be required to repay such benefits if the administrative law judge affirms the department's determination of ineligibility or disqualification.
(l) Appeal by Claimant. A claimant whom the department initially determines to be eligible but subsequently determines ineligible, and who files a timely appeal, is entitled to continue to receive benefits pending decision on the appeal. However, if the claimant's appeal is untimely because it was not filed within 20 days of service of notice of the department's determination, the claimant is not entitled to receive benefits pending decision on the appeal. If an administrative law judge dismisses a claimant's appeal for nonappearance, benefit payments to the claimant cease immediately upon the department's receipt of that decision, since the claimant has had an opportunity for a fair hearing on the appeal.
NOTE

Authority cited: Sections 305 and 306, California Unemployment Insurance Code. Reference: Section 2706, California Unemployment Insurance Code; and American Federation of Labor, et al. v. California Employment Development Department et al. (1979) 88 Cal.App.3d. 811, 152 Cal. Rptr. 193; Mills v. Employment Development Department Consent Decree (1988) (Superior Court, Shasta County, No. 81784).
HISTORY

1. New section filed 1-26-89; operative 2-25-89 (Register 89, No. 7).
2. Amendment of section and Note filed 8-8-96; operative 9-7-96 (Register 96, No. 32).
§2706-6. Filing and Timeliness of Continued and Re-Established Claims for Family Temporary Disability Insurance Benefits.
Note     •     History

(a) A separate continued claim must be filed, on the form prescribed and furnished to the claimant by the department, containing elements described in Section 2706-2, for each period subsequent to the period covered by the first or re-established claim. A claimant or his or her authorized representative may, within 20 days from either the last day covered by the most recent continued claim or from the day he or she receives the continued claim form from the department, whichever day is later, file a continued claim. The 20-day period will be extended by the department upon a showing of good cause. 
(b) An individual must file a re-established claim form, containing elements described in Section 2706-2, for Family Temporary Disability Insurance benefits not later than the 41st consecutive day following the first compensable day with respect to which the claim is made for benefits. The time will be extended by the department upon a showing of good cause. If a re-established claim form is not complete, the claim form will be returned to the claimant for completion and it must be completed and returned not later than the 10th consecutive day after the date it was mailed by the department to the claimant. The time will be extended by the department upon a showing of good cause. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2706 and 3301(e), Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
§2706-7. Payment of Family Temporary Disability Insurance Benefits Pending Appeal by Claimant.
Note     •     History

(a) Scope. This section interprets whether Family Temporary Disability Insurance (also known as Paid Family Leave) benefit payments continue in situations where the department initially determines a claimant is eligible for benefits, but subsequently determines the claimant is ineligible or disqualified from benefits, and the claimant files an appeal from the subsequent determination. 
(b) General. If the department initially determines that a claimant is eligible for and has been paid Family Temporary Disability Insurance benefits, and then subsequently determines that the claimant is ineligible to receive or subject to a reduction of further benefits, and the claimant files a timely appeal from the subsequent determination, within 20 days pursuant to Unemployment Insurance Code Section 2707.2, and files a written election with the department on a prescribed form (“Notice of Right to Continue Paid Family Leave Benefits Pending Appeal”, DE 6315DF Rev. 9-09) to have benefits continued and files continued claims pending disposition of the appeal, the department shall continue to pay benefits until the appeal has been resolved by the decision of an administrative law judge, except that benefit payments shall cease if the appeal is dismissed or if a criminal complaint for fraud is filed against the claimant under Section 2101 of the code (see subdivision (c) of Section 1263, Section 2602, and subdivision (a) of Section 2675 of the code). 
(c) Claimant Initially Determined Eligible. The department has initially determined that a claimant is eligible for Family Temporary Disability Insurance benefits if, after the filing of a first claim, the department determines that all of the following conditions exist: 
(1) The claimant is providing care for a seriously ill child, spouse, parent, registered domestic partner, or bonding with a new child. 
(2) The claimant has received one or more Family Temporary Disability Insurance benefit payments. 
(3) The claimant has filed a claim in accordance with authorized regulations, which appear in Title 22, California Code of Regulations, Division 1, Part 2, Chapter 2, Article 4. 
(4) The claimant has a monetarily valid claim. 
(5) The claimant has not exhausted the maximum benefit amount for the period of family care leave of the claim. 
(6) The initial determination is not subject to reconsideration under subdivision (a) of Section 2707.5 of the code. 
(7) The initial benefit amount has not been recomputed under subdivision (b) of Section 2707.5 of the code and determined to be monetarily invalid. 
(8) The department has not determined that the claimant is ineligible for benefits based on a new set of facts or conditions unless the new determination of ineligibility meets all the other conditions of this subdivision. 
(9) The claimant is otherwise eligible. 
EXAMPLE 1. Claim Filing. Claimant A files a first claim for Family Temporary Disability Insurance benefits to provide care for a seriously ill family member which is received on September 20, 2007, and postmarked September 15, 2007. Claimant A indicates family care leave beginning June 30, 2007. The department determines Claimant A does not have good cause for exceeding the 41 day filing period and under Section 3301(e) of the code gives the claim an effective date of July 29, 2007. Claimant A is paid Family Temporary Disability Insurance benefits based on July 29, 2007. Claimant A appeals the department's denial of benefits for the days from June 30 through July 28, 2007. The department has not determined that Claimant A was initially eligible for those days. Therefore, pending decision on the appeal, Claimant A is not entitled to receive benefits for any day prior to July 29, 2007. The days following July 29, 2007 are not affected by the back dating issue raised by Claimant A's appeal, and Claimant A is entitled to continued payment of Family Temporary Disability Insurance benefits for the days following July 29, 2007. 
(Note: The received and postmark dates for Family Temporary Disability Insurance claims are established by utilizing a five day processing standard for the automated claim form. On the day that the department receives a Family Temporary Disability Insurance claim, an automated procedure establishes the FTDI claim date as of the five days preceding receipt of the completed claim. For example, if the department receives a completed FTDI claim on July 15, 2007 the automated procedure establishes an FTDI claim date as of July 10, 2007.)
EXAMPLE 2. Claim Filing. Claimant B files a first claim for Family Temporary Disability Insurance benefits to bond with a new child born on May 19, 2007. Claimant B previously received Disability Insurance benefits during her pregnancy with this child. Claimant B submits her application for Family Temporary Disability Insurance benefits which was received September 20, 2007 and postmarked September 15, 2007. Claimant B is requesting to begin her Family Temporary Disability Insurance claim on June 30, 2007. The department determines that Claimant B does not have good cause for exceeding the 41 day filing period and under Section 3301(e) of the code gives the claim an effective date of August 5, 2007. Claimant B is paid benefits based on August 5, 2007. Claimant B appeals the department's denial of benefits for the days between June 30, 2007 to August 4, 2007. The department has not determined that Claimant B was initially eligible for those days. Therefore, Claimant B is not entitled to receive benefits for any day prior to August 5, 2007, pending decision on the appeal. The days following August 5, 2007 are not affected by the backdating issue raised by Claimant B's appeal and she is entitled to receive continued benefits after August 5, 2007. 
(Note: The received and postmark dates for Family Temporary Disability Insurance claims are established by utilizing a five day processing standard for the automated claim form. On the day that the department receives a Family Temporary Disability Insurance claim, an automated procedure establishes the FTDI claim date as of the five days preceding receipt of the completed claim. For example, if the department receives a completed FTDI claim on July 15, 2007 the automated procedure establishes an FTDI claim date as of July 10, 2007.)
EXAMPLE 3. Claim Filing. The department determines Claimant D is initially eligible for Family Temporary Disability Insurance benefits. Claimant D receives benefits for 28 days, but does not return the continued claim for the next period of payment until after the 20-day filing period. The department determines that Claimant D does not have good cause for late filing and holds Claimant D ineligible because the claim was not filed timely in accordance with Section 2706-3 of these regulations. Claimant D files an appeal. Since the department has determined that Claimant D was initially eligible, Claimant D is entitled to receive benefits for the disallowed period pending decision on the appeal. 
EXAMPLE 4. Late Medical Extension. The department determines Claimant E is initially eligible for Family Temporary Disability Insurance benefits to care for his ill father with chronic renal failure. Claimant E receives benefits for 25 days, however, Claimant E continues to provide care beyond the 25 days that were initially certified by the physician. Claimant E does not return his medical extension form until after the 20-days commenced from the date the medical extension form was issued. The department determines that Claimant E does not have good cause for late filing and holds Claimant E ineligible because the medical extension was not received timely in accordance with Section 2706-3 of these regulations. Claimant E files an appeal. Since the department has determined that Claimant E was initially eligible, Claimant E is entitled to receive Family Temporary Disability Insurance benefits for the disallowed period pending decision on the appeal. 
EXAMPLE 5. Reconsideration of Determination. Claimant F files a first claim for Family Temporary Disability Insurance benefits to care for a seriously ill mother with cancer. The Department pays Family Temporary Disability Insurance benefits to Claimant F for 20 days and subsequently discovers that Claimant F is being paid temporary disability indemnity under workers' compensation for the same period and weekly rate as the Claimant's Family Temporary Disability Insurance benefits. The department reconsiders the determination and determines that Claimant F is ineligible under Section 3303.1 of the code for the period of family care leave because of the duplication of benefits. Claimant F appeals. Since under subdivision (a) of Section 2707.5 of the code the department may reconsider any benefit determination prior to filing an appeal, the initial determination was not final and claimant F is not entitled to receive Family Temporary Disability Insurance benefits pending decision on the appeal. 
EXAMPLE 6. Reconsideration of Computation. Claimant G files for and is paid Family Temporary Disability Insurance benefits. While Claimant G is in continued claim status, the department recomputes Claimant G's claim and determines under Section 2652 of the code that Claimant G does not have sufficient qualifying wages in the disability base period to have a valid claim. Claimant G appeals. Since, under subdivision (b) of Section 2707.5 of the code the department may re-compute a claim within one year from the beginning date of a disability benefit period, the initial computation was not final, and Claimant G is not entitled to receive Family Temporary Disability Insurance benefits pending decision on the appeal. 
(d) The department shall not continue Family Temporary Disability Insurance benefits pending the decision of an administrative law judge if benefits are otherwise limited by operation of law, including but not limited to the following sections of the code: 
(1) Section 3303.1(a)(1) (a claimant is not entitled to Family Temporary Disability Insurance benefits for any day for which he or she is entitled to unemployment compensation benefits under any state or federal unemployment compensation law). 
(2) Section 3303.1(a)(2) (the claimant received or is entitled to receive an amount of “other benefits” as defined in Unemployment Insurance Code section 2629 under any state or federal workers' compensation or employer's liability law in an amount which equals or exceeds the amount of Family Temporary Disability Insurance benefits to which the claimant is entitled for the same day during the period of family care leave). 
(3) Section 2656 (the amount of Family Temporary Disability Insurance benefits to which the claimant is entitled for any day is limited by the amount of wages or regular wages received for the same day). (See also, Sections 678, 926, 926.5, 1252.1, 1252.2, and 2657.)
(4) Section 2676 (a claimant shall be presumed ineligible for unemployment compensation benefits under Sections 1256, 1257, 1260, 1261, or 1263 of the code for the same period or periods if the claimant is disqualified from receiving those benefits unless the claimant establishes to the director's satisfaction that he or she is claiming a period of family care leave and the director finds there is good cause for paying the FTDI benefits). 
(5) Section 2678 (a claimant confined pursuant to commitment or court order or certification as a dipsomaniac, drug addict, or sexual psychopath is not entitled to Family Temporary Disability Insurance benefits for any day of such confinement). 
(6) Section 2680 (a claimant is not entitled to Family Temporary Disability Insurance benefits for any day during which he or she is in custody of law enforcement authorities in any federal, state, or municipal penal institution, jail, medical facility, public or private hospital, or in any other place upon adjudication or conviction of a criminal violation of a federal, state, or other municipal law or ordinance by a court of competent jurisdiction). 
(7) Section 2708 (a claimant is not entitled to Family Temporary Disability Insurance benefits for any period after the period covered by the initial certificate or preceding continued claim unless his or her continued claim is supported by the certificate of a treating physician or practitioner authorized pursuant to sections 2708 and 2709 to certify State Disability Insurance claims). 
(8) Section 3253 (a claimant is not entitled to Family Temporary Disability Insurance coverage under the state plan if an employer or combination of employers of the claimant is solely liable for such coverage under an approved voluntary plan or plans). 
(9) Section 3303.1(a)(3) (a claimant is not entitled to Family Temporary Disability Insurance benefits for any day for which he or she is entitled to disability insurance benefits under any state disability insurance law). 
(10) Section 3303.1(a)(4) (a claimant is not entitled to Family Temporary Disability Insurance benefits for any day that another family member is ready, willing, and able and available to provide care during the same period of time in a day that the claimant is providing care). 
(11) Section 3303.1(c) (as a condition of an employee's initial receipt of Family Temporary Disability Insurance benefits during any 12-month period in which an employee is eligible for such benefits, an employer may require an employee to take up to two weeks of earned but unused vacation leave prior to the initial receipt of such benefits). 
EXAMPLE 7. Receipt of Duplicate Benefits. Claimant H is found eligible for Family Temporary Disability Insurance benefits due to bonding with a new child. Prior to filing a claim for Family Temporary Disability Insurance benefits, Claimant H was scheduled for surgery due to carpal tunnel syndrome. The scheduled surgery is performed during the period that Claimant H filed for Family Temporary Disability Insurance benefits. Beginning with the date of the surgery and for the following four weeks, Claimant H is paid temporary disability indemnity under workers' compensation at a rate in excess of Claimant H's weekly Family Temporary Disability Insurance benefit amount. The Department denies Claimant H for four weeks under Section 3303.1 of the code. Claimant H appeals. Since Claimant H is not eligible to receive Family Temporary Disability Insurance benefits during the four weeks of receiving temporary disability indemnity under workers' compensation, Claimant H is not entitled to receive Family Temporary Disability Insurance benefits for the four weeks pending decision on the appeal. 
(e) Fraud, Misrepresentation or Willful Nondisclosure. A claimant does not have the right to receive benefits pending an appeal for any day the claimant is subject to disqualification for having willfully, for the purpose of obtaining benefits, either made a false statement or representation, with actual knowledge of the falsity thereof, or withheld a material fact concerning his or her initial eligibility and the false statement determination is final (see Section 2675 of the code). 
(f) Fraud Conviction. If a claimant is convicted under Section 2101 of the code by any court of competent jurisdiction of willfully making a false statement or knowingly failing to disclose a material fact to obtain or increase benefits, the claimant forfeits any right to benefits for 52 weeks beginning with the week in which the criminal complaint is filed (see subdivision (a) of Section 1263 of the code). 
(g) Benefit Overpayment Offsets. A claimant does not have the right to a cash refund of benefits previously offset, or payment of any portion of his or her continued benefits pending appeal which are subject to offset against an overpayment of benefits previously paid under the code if the overpayment determination is final (see Section 2739 of the code). 
(h) Child Support Intercept. A claimant does not have the right to a cash refund of benefits previously intercepted, or payment of any portion of his or her continued benefits pending appeal which are subject to intercept in order to satisfy an unpaid, court-ordered child support obligation pursuant to Section 17518 of the Family Code (also see Section 2630 of the code). 
(i) Participation Not Warranted or Return to Work. A claimant is not providing family care or bonding with a new minor child, and consequently does not have the right to continue to receive benefits pending appeal, for any day on which the claimant has reported that the care recipient's serious health condition no longer warrants the participation of the claimant, the claimant is no longer bonding with a new minor child, or the claimant has returned to regular or customary work. 
(j) Notice to Claimant Regarding Appeal. If the department determines that a claimant is initially eligible for benefits and subsequently determines that the claimant is ineligible or disqualified, the department shall notify the claimant of the right to appeal to an administrative law judge. Concurrent with the notification of the right to appeal, the department shall also notify potentially entitled claimants that they may be eligible for benefits pending the appeal and may elect to continue to receive benefits pending the appeal; and that they may be required to repay such benefits if the administrative law judge affirms the department's determination of ineligibility or disqualification. 
(k) Appeal by Claimant. A claimant whom the department initially determines to be eligible but subsequently determines ineligible, and who files a timely appeal, is entitled to continue to receive benefits pending decision on the appeal. However, a claimant may not be entitled to continue to receive benefits pending decision on the appeal under the following circumstances: 
(1) When the claimant's appeal is untimely because it was not filed within 20 days of service of notice of the department's determination. 
(2) When an administrative law judge dismisses a claimant's appeal for nonappearance, benefit payments to the claimant cease immediately upon the department's receipt of that decision, since the claimant has had an opportunity for a fair hearing on the appeal. 
(3) When the claimant appeals to the Board as a result of an adverse decision from an administrative law judge. The claimant has had a fair hearing before an administrative law judge and is not entitled to continue to receive benefits pending decision of the Board. 
NOTE

Authority cited: Sections 305, 306, 2706 and 3300, Unemployment Insurance Code. Reference: Sections 1335, 1336 and 2706, Unemployment Insurance Code. 
HISTORY

1. New section filed 8-31-2009; operative 9-30-2009 (Register 2009, No. 36).
2. Change without regulatory effect amending subsection (b) filed 6-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 26).
§2706-8. Identity and Wage Verification for State Disability Insurance Benefits.
Note     •     History

(a) For the purpose of this section, the following terms are defined as follows: 
(b) “Social Security Number,” and “Social Security Account Number,” both mean the nine-digit account number issued by the Social Security Administration to an individual for the purpose of recording that individual's earnings or for use by that individual when required by federal law to receive a benefit or service. 
(c) “Social Security Number Verification” means verification of the social security number, received by the department from the claimant, by either submission of a copy of the claimant's annual statement issued to the claimant by the Social Security Administration, or by verification of that claimant's social security number submitted to the department directly from the Social Security Administration. 
(d) “Photo Identification” means an unexpired official document, excluding a voter identification card, issued by a local, state, or federal agency, or a foreign government entity, which contains a claimant's photograph, first and last name, and date of birth. 
(e) “Date of Birth Verification” means a certified birth certificate issued by a local, state, or federal agency, or a foreign government entity, or other official certification of the claimant's birth. 
(f) “Address Verification” means verification of an original utility bill (e.g., electricity, gas, garbage, water, or sewer), television service bill (e.g., cable, satellite), internet service bill, telephone or cellular bill, insurance document or other correspondence from a bank or similar institution, a current residential rental or lease agreement; or a mortgage statement; provided the document shows the claimant's name and residence address. If the claimant does not have a residence address but has a Post Office Box or a Personal Mail Box, address verification must consist of the individual providing proof that he or she is the renter or the authorized user of the box. 
(g) “Proof of Wages Earned” means a copy of that claimant's Wage and Tax Statement(s) (Form W-2), issued for the base period of the claim, or Income Tax Declaration(s) for the base period of the claim, or check stubs issued by the claimant's employer(s) during the base period of the claim, or a pay statement issued by the claimant's employer(s) for the base period of the claim. The check stubs or pay statement must contain the claimant's: 
(1) first name or initial and last name. 
(2) social security number. 
(3) name of employer. 
(4) the date the check stub or pay statement was issued, or the pay period for which the check stub or pay statement was issued. 
(h) A claimant will be required to provide information to the department as described in sections 2706-1, 2706-2, 2706-3, or 2706-6 of this Division. The information provided by the claimant must be sufficient for the department to: 
(1) establish the identity of the claimant. 
(2) verify that the wages reported under the social security number provided belong to the claimant. 
(3) verify that any other wages claimed as earned during the base period belong to the claimant. 
(i) If the information provided to the department by the claimant under sections 2706-1, 2706-2, 2706-3, or 2706-6 of this division does not sufficiently establish the identity of the claimant, or if the department cannot verify that the wages reported under the social security number, and any other wages claimed as earned during the base period belong to the claimant, the department shall: 
(1) Require the claimant to verify his or her identity claimed, by presenting a photo identification and at least one of the following document(s) as defined in subdivisions (c), (e), (f) and (g) of this section: 
(A) Social security number verification. 
(B) Date of birth verification. 
(C) Address verification. 
(D) Proof of wages earned. 
(2) Request the last employer of the claimant, and if deemed necessary by the department, all of the claimant's base period employers, to provide the following information: 
(A) Any other names used by the individual who earned the wages. 
(B) Any other social security numbers used by the individual who earned the wages. 
(C) Dates of employment for the individual who earned the wages.
(D) Last known telephone number for the individual who earned the wages. 
(E) Last known mailing and residence addresses of the individual who earned the wages. 
(F) Date of birth provided by the claimant at date of hire. 
(G) Verification of claimant's photo identification, if deemed necessary by the department. 
(j) If the information available to the department indicates that the identity of the claimant may not be the same as the individual who earned the wages reported to the department, the department may request the individual who claims to be the true owner of the identity to certify under penalty of perjury whether or not he or she filed the claim for unemployment compensation disability benefits, and to provide the documentation requested by the department in order to prove the identity, and the wages earned during the base period. 
(k) The claimant shall be allowed a reasonable amount of time, as determined by the department, to provide the information requested pursuant to sections 2706-1(e) and 2706-2(d) of these regulations. The claimant shall have the right to request additional time to provide the requested information to the department. 
(l) If, within ten (10) days from the mailing date of the request to provide the additional documentation, the claimant has not supplied the requested information, and has not contacted the department to request additional time to provide the requested information, the department shall grant or deny the benefits based on the information available to the department, pursuant to section 2706.1 of the code. 
(m) The burden of proof shall rest with the claimant to verify his/her identity and wages claimed. In the event the claimant is unable to meet the requirements of this section to the department's satisfaction; the department shall take the necessary steps to protect the record of the true owner of the social security number. When a claim has not been filed by, and/or wages have not been earned by the true owner of the social security number, the department may remove claim and wage information from the true owner's records, and transfer the information to the claimant's records who is currently applying for benefits. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1085, 1092, 2675 and 2706, Unemployment Insurance Code. 
HISTORY

1. New section filed 9-16-2011; operative 10-16-2011 (Register 2011, No. 37).
§2706.1-1. Employers' Duties Regarding Notification to Employees of Potential Disability Insurance Benefits and Change of Status. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 1089, 2613 and 2706, Unemployment Insurance Code.
HISTORY

1. New section filed 10-15-93; operative 11-15-93 (Register 93, No. 42).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§2707.2-1. Notices to Family Temporary Disability Insurance Claimants.
Note     •     History

A claimant shall be notified in writing of any determination on his or her claim and of the reasons for any denial of his or her claim. Appeals from such determinations or denials of his or her claim may be filed in accordance with section 2707.2 of the code and Sections 5000-5111 of these regulations which set forth the applicable appeals procedures. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 2707.2, Unemployment Insurance Code. 
HISTORY

1. Amendment of section heading and new section and Note filed 11-13-2012; operative 12-13-2012 (Register 2012, No. 46). For prior history, see Register 82, No. 14.
§2708-1. Interstate Claims.
Note     •     History

Disability benefits shall not be payable to any claimant who is unemployed and disabled while outside of this State unless the claimant complies with Sections 2706-1 through 2706-4 of these regulations.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 2708, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§2708(b)-1. Warrants the Participation of the Employee.
Note     •     History

(a) Section 2708(b) of the code requires a claimant to establish that the serious health condition “warrants the participation of the employee” and includes physical assistance and/or psychological comfort as acceptable types of care. When a serious health condition renders the care recipient unable to attend to his or her own basic medical, hygienic, or nutritional needs or safety, or to transport himself or herself to the doctor, then that serious health condition warrants the participation of the claimant to provide care for that care recipient by physically assisting him or her to accomplish these tasks. Providing reassurance and emotional support that is beneficial to a child, spouse, parent, or registered domestic partner with a serious health condition is another type of acceptable care. 
EXAMPLE 1. Claimant A's wife has a heart condition that requires her to take medication regularly and to avoid stress-inducing events. Her father lives in another country and dies there in a car accident. Claimant A takes a week off work and accompanies his wife to her father's funeral in that country and claims Family Temporary Disability Insurance benefits. The medical certificate indicates the wife's heart condition does not warrant Claimant A's participation in her care. 
Claimant A is not eligible for benefits because his participation was not warranted by his wife's heart condition. Therefore, the time that he took off work was not for the purpose of caring for her pursuant to a treating physician or practitioner's instruction. 
EXAMPLE 2. Claimant B's sister dies suddenly in Nevada. As a result of her death, Claimant B's father becomes so severely depressed that he is incapacitated and cannot take care of his daily needs. He requires counseling and mental health services in order to cope with his grief. Claimant B establishes a claim for Family Temporary Disability Insurance benefits. The medical certificate indicates the father's serious health condition warrants Claimant B's participation in his care. Claimant B takes time off work to provide his father with psychological comfort by attending counseling sessions with him at a mental health clinic and comforting him in his home. 
Claimant B may receive benefits, if otherwise eligible, because his father's serious health condition warrants the psychological comfort of Claimant B. 
EXAMPLE 3. Claimant C's elderly mother decides to move into an apartment upstairs from the one where she currently lives. The mother has no serious health condition. Claimant C takes time off work to help her mother move into the new apartment. Claimant C establishes a claim for Family Temporary Disability Insurance benefits. The medical certificate indicates Claimant C's mother does not have a serious health condition that warrants Claimant C's participation in her care. 
Claimant C is not eligible for benefits because her mother does not have a serious health condition that warranted Claimant C's care. 
(b) A care recipient's serious health condition may also warrant the claimant's participation in situations where the claimant is needed to substitute for others who are caring for the care recipient, or to make arrangements for care, such as transfer to a nursing home. 
(c) A care recipient's serious health condition may warrant the participation of the care provider intermittently, rather than in one single block of time. 
EXAMPLE 1: Claimant A's registered domestic partner undergoes radiation for cancer one day every month over 500 miles from their home. Claimant A takes two days off work for each radiation appointment to accompany her registered domestic partner to and from the appointment. Claimant A establishes a claim for benefits supported by a medical certificate that indicates her care is warranted for two days every month due to her domestic partner's serious health condition. 
Claimant A may receive Family Temporary Disability Insurance benefits for the days she takes leave from work, if otherwise eligible. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 2708, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
§2708(c)-1. Acceptable Documentation for a Child's Birth, Adoption, Foster Care Placement, or Legal Guardianship Placement.
Note     •     History

(a) When filing a claim to bond with a new child after birth, adoption, foster care placement, or legal guardianship placement, the claimant shall include an original or copy of a supporting document that provides sufficient information to establish the relationship between the claimant and the new child. The department may, at its discretion, accept a supporting document that does not contain all of the information prescribed under this section provided that the department can readily obtain the information through reasonable means or ascertain that there is no intent to defraud. 
(1) A supporting document shall include the child's: 
(A) name. 
(B) date of birth. 
(C) gender. 
(D) social security account number, if available. Absence of child's social security account number shall not disqualify claimant. 
(2) If applicable, a supporting document shall also include: 
(A) the date(s) of placement. 
(B) names of the parent(s), custodial parent(s), and/or registered domestic partner. 
(C) a dated signature of the social worker, director or authorized designate.
(b) To verify the birth of a child, supporting documentation shall be provided as follows:
(1) For maternal, paternal, and registered domestic partner bonding claims, an original or copy of any of the following documents is acceptable:
(A)  the child's certified birth certificate listing the claimant as a parent.
(B) the completed hospital or birthing center documents attesting to the birth of the child listing the claimant as a parent. 
(C) a letter from the birthing center's or hospital's Director of Medical Records or their designate containing all of the following information: 
(i) child's full name. 
(ii) child's gender. 
(iii) child's date of birth. 
(iv) full name of mother. 
(v) full name of father, if known, or registered domestic partner. 
(vi) dated signature of the treating physician or midwife, or Director of Medical Records, or their designate as appropriate. 
(2) For paternal non-spouse bonding claims where the claimant is not named on a document listed under paragraph (1) of this subdivision, proof of paternity is required. In California, the acceptable supporting document is a photocopy of California Department of Child Support Services form Declaration of Paternity, CS-909 revision 5/02, or its subsequent revision. For proof of paternity outside of California, an equivalent supporting document issued by an authorized county, state or equivalent government entity may be accepted by the department.
EXAMPLE 1. Claimant A, a biological father, submits his wife's post partum hospital discharge orders with his claim to bond with his new child. The discharge orders list the mother's name, the child's name, gender, and date of birth.
This document alone is not sufficient to establish the father's eligibility for benefits to bond because it does not name the father as a parent. Additional documentation that identifies Claimant A as a parent of the child is required to determine eligibility for Family Temporary Disability Insurance benefits.
(c) To verify adoption, an original or copy of any of the following documents, or their subsequent revisions, is acceptable: 
(1) Department of Social Services form Notice of Placement, AD-907 revision 6/01. 
(2) Department of Social Services form Independent Adoption Placement Agreement, AD-924 revision 7/02. 
(3) a conformed copy of a court order of placement for adoption issued within the United States. 
(4) a statement on letterhead from a county, state or equivalent government or private entity that provides adoption placement, stating all of the following:
(A) child's full name.
(B) child's gender.
(C) child's date of birth.
(D) child's social security account number if issued. Absence of child's social security account number shall not disqualify claimant.
(E) residence address where the child is placed.
(F) full name(s) of the adoptive parent(s), including such person's:
(i) social security account number(s). Absence of social security account number of the adoptive parent(s) shall not disqualify claimant.
(ii) residence address.
(iii) date of birth.
(G) the signature block for the social worker, director or designate making the placement shall include all of the following:
(i) a dated signature.
(ii) a typewritten name.
(iii) a direct telephone number.
(H) an official certification, seal or stamp of approval may be accepted by the department, in lieu of the requirements under (4)(G) of this subdivision.
(5) child's adoption certificate from a foreign country's competent local authority with a notarized English translation. 
EXAMPLE 2. Claimant B submits a “Pre-Adoptive Agreement” obtained from a private adoption agency with the Family Temporary Disability Insurance claim. The document is on the agency's letterhead and provides the child's name and date of birth, date of placement, the adoptive parents' names and address, the social worker's name and dated signature.
Subdivision (c) of Section 2708 of the code does not specify that the adoption be final prior to establishing eligibility for benefits; it refers to placement of the child in connection with foster care or adoption. Claimant B may receive Family Temporary Disability Insurance benefits, if otherwise eligible, because the document submitted is acceptable in that it contains the critical elements, i.e., child's name and date of birth, adoptive parents' names and addresses, date of placement and the required adoption agency information.
(d) An original or copy of any of the following documents is acceptable to verify foster care placement: 
(1) Department of Social Services form Approval of Family Caregiver Home, SOC-815 revision 11/02, or its subsequent revision. 
(2) a statement on letterhead from a county, state, or equivalent government or private entity that provides foster care placement, stating all of the following: 
(A) child's full name. 
(B) child's gender. 
(C) child's date of birth. 
(D) child's social security account number if issued. Absence of child's social security account number shall not disqualify claimant. 
(E) residence address where the child is placed. 
(F) date of foster care placement including the length of time of the placement if a duration has been established. 
(G) full name(s) of the person(s) with whom the foster care placement is made, including such person's: 
(i) social security account number(s). Absence of social security account number of person(s) with whom the foster care placement is made shall not disqualify claimant. 
(ii) residence address. 
(iii) date of birth. 
(H) the signature block for the social worker, director or designate making the foster care placement shall include all of the following: 
(i) a dated signature. 
(ii) a typewritten name. 
(iii) a direct telephone number. 
(I) an official certification, seal or stamp of approval may be accepted by the department, in lieu of, the requirements under (2)(H) of this subdivision.
EXAMPLE 3. Claimant C submits a “Placement Agreement” obtained from a private foster care agency with her Family Temporary Disability Insurance claim. The document is on the agency's letterhead and provides the child's name and date of birth, date of placement, the foster parents' names and address, the social worker's name and dated signature.
The document submitted is acceptable in that it contains the critical elements, i.e. child's name and date of birth, date of placement, foster parents' names and address, social worker's name and dated signature. The child's gender, foster parents' dates of birth, and the social worker's telephone number can be readily obtained, if necessary, via claimant contact if not listed on the Family Temporary Disability Insurance claim form. This claim is payable, if Claimant C is otherwise eligible.
EXAMPLE 4. Claimant D submits a “Placement Agreement” obtained from a private foster care agency with his Family Temporary Disability Insurance claim. The document is on the agency's letterhead and provides the State of California license number. The document provides the child's name and date of birth, date of placement, foster parents' names and address, social worker's name and contact numbers, and the agency director's dated signature and telephone number.
The document submitted is acceptable in that it contains the critical elements, i.e. child's name and date of birth, date of placement, foster parents' names and address, and the social worker's name and telephone number. The child's gender and foster parents' dates of birth can be readily obtained, if necessary, via claimant contact if not listed on the Family Temporary Disability Insurance claim form. In lieu of the social worker's dated signature, the agency director's dated signature is acceptable. This claim is payable, if the claimant is otherwise eligible.
EXAMPLE 5. Claimant E submits a “Placement Letter” obtained from an out-of-state Human Services Department with her Family Temporary Disability Insurance claim. The document is on the agency's letterhead and provides the child's name, gender, foster parents' names, date of placement, dated signature of the social worker, and the social worker's telephone number.
The child's date of birth, foster parents' address and dates of birth can be readily obtained, if necessary, via claimant contact if not listed on the Family Temporary Disability Insurance claim form. Although the social worker's typewritten name cannot be obtained via telephone contact, her dated signature and telephone number are sufficient for the department to determine eligibility for benefits. This claim is payable, if the claimant is otherwise eligible.
(e) An original or copy of any of the following documents is acceptable proof of legal guardianship placement:
(1) Letter of Guardianship, JV-330 revision 7/06, or its subsequent revision, issued by a court of competent jurisdiction.
(2) an official document issued by a court of competent jurisdiction that establishes legal guardianship and states all of the following:
(A) child's full name.
(B) child's gender.
(C) child's date of birth.
(D) child's social security account number if issued. Absence of child's social security account number shall not disqualify the claimant.
EXAMPLE 6. Claimant F submits a “Letter of Guardianship” obtained from a court of competent jurisdiction with his Family Temporary Disability Insurance claim. The “Letter of Guardianship” is acceptable proof of the relationship even though it does not contain all of the information listed in Section 2708(c)-1(a)(1) of these regulations. The Department may grant benefits as the child's gender, social security number, and date of birth may be obtained from the Family Temporary Disability Insurance claim form or by contacting the claimant. The Letter of Guardianship together with information submitted with the claim form is acceptable documentation. The claim is payable if Claimant F is otherwise eligible.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2706 and 2708, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
2. Amendment filed 2-6-2008; operative 3-7-2008 (Register 2008, No. 6).
3. Editorial correction of subsection (d) -- Example 5 (Register 2008, No. 39).
4. Amendment of section heading and subsections (a), (b)(1)-(b)(1)(B), (c), (c)(3), (c)(5), (d) and (d)(1) and new subsections (e)-(e)(2)(D) filed 4-25-2011; operative 5-25-2011 (Register 2011, No. 17).
5. Editorial correction of section heading (Register 2011, No. 21).
§2708(d)-1(a). Time Period for Suspending Claim While Awaiting Response to Request for License Verification of Medical Providers.
Note     •     History

(a) When the license status of a physician or practitioner for a State Disability Insurance or Family Temporary Disability Insurance claim is being determined as required in Section 2708 of the code, the claim shall be held in suspense. The term of the suspense while awaiting a response to the verification request shall not be more than 90 days. If a response to the verification request is not received within this time period, the claim will be disqualified.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 2708, Unemployment Insurance Code.
HISTORY

1. New section filed 4-20-2007; operative 5-20-2007 (Register 2007, No. 16).
§2708(d)-1(b). Acceptable Documentation for License Verification of Medical Providers.
Note     •     History

(b) A determination as to whether a medical provider is duly licensed or certified shall be based on receipt or confirmation of one of the types of supporting information or documentation listed below:
(1) An official document from the state of foreign licensing or regulatory agency certifying that the medical provider is duly licensed or certified in the state or foreign country;
(2) A copy of the medical provider's license or registration bearing the official seal or stamp of the state or foreign licensing or regulatory agency;
(3) Completion of the form provided by the department indicating whether the provider is duly licensed or certified, and bearing the signature and official seal or stamp of the licensing or regulatory agency as appropriate;
(4) Confirmation of the medical provider's license status by viewing the state or foreign country regulatory licensing agency's internet website established for license verification purposes;
(5) Confirmation of the medical provider's license status by speaking directly with the state or foreign country regulatory or licensing agency staff responsible for providing official license verification services.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 2708, Unemployment Insurance Code.
HISTORY

1. New section filed 4-20-2007; operative 5-20-2007 (Register 2007, No. 16).
§2708(d)-1(c). Withholding of Benefit Payments During License Verification Suspense Period.
Note     •     History

(c) During the 90-day suspense period, no action shall be taken on a claim and no benefits shall be paid until the supporting information or documentation listed in Section 2708(d)-1(b) of these regulations is received. If an acceptable verification is not received within the 90-day period, an otherwise eligible claim shall be disqualified.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 2708, Unemployment Insurance Code.
HISTORY

1. New section filed 4-20-2007; operative 5-20-2007 (Register 2007, No. 16).
§2708.1-1. Filing a Claim for Reduced Disability Benefits.
Note     •     History

(a) When, under Section 2629 of the code, an individual is entitled to receive disability benefits reduced by the amount of temporary disability indemnity received for any day, it shall not be necessary that the first claim for disability benefits be supported by the certificate of a physician as required by Section 2708 of the code to receive the reduced amount of disability benefits for such day, only if the claimant meets all of the following requirements:
(1) He or she files a valid claim in accordance with the provisions of the code and authorized regulations, except as provided in Section 2708.1 of the code.
(2) He or she furnishes the department a written certification which states both of the following:
(A) The name and address of the physician attending the claimant for his industrial injury.
(B) The date he or she was first examined by or came under the care of a physician or practitioner for the continuous period of unemployment and disability.
(3) He or she certifies, to the best of his or her knowledge and belief, on a form furnished by the department for each continued claim for disability benefits, as the evidence which is prescribed under Section 2708.1 of the code, that he or she has received or is entitled to receive temporary disability indemnity for the days covered by the continued claim.
(b) The department shall verify the information that is certified in subdivision (a)(3).
NOTE

Authority cited: Sections 305, 306, and 2602, Unemployment Insurance Code. Reference: Sections 2629, 2708, 2708.1, and 2709, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§2710-1. Filing a Claim for Additional Benefits During Hospital Confinement.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 2710, 2627 and 2803, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47.)
3. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§2711-1. Payment of Additional Benefits to a Hospital.
Note     •     History

NOTE

Authority cited: Sections 306 and 2602, Unemployment Insurance Code. Reference: Sections 2711 and 2801, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
2. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§2712-1. Dispute Between Department and a Voluntary Plan Where Claim Filed with the Department.
Note     •     History

(a) If an individual files a claim for disability benefits or Family Temporary Disability Insurance benefits with the department and the department determines that the claimant is eligible for benefits, but that such benefits are payable from a voluntary plan and not from the Disability Fund, the department shall immediately forward a copy of the claim and any medical and other records relating thereto to the voluntary plan insurer, or employer if it be a self-insured plan, with a request that benefits be paid from the voluntary plan. If any payment has been made from the Disability Fund, a statement of such payments and a request for reimbursement shall also be forwarded with the copy of the claim. If the voluntary plan insurer or self-insurer concedes coverage and eligibility, prompt reimbursement shall be made to the Disability Fund and the claimant shall be promptly paid the accumulated excess of benefits, if any, to which he or she is entitled. If the voluntary plan insurer or self-insurer denies coverage, it shall immediately so notify the department and the claimant in writing, giving its reason for the denial and, in such event, the department shall immediately pay benefits under the claim.
(b) If a voluntary plan insurer or self-insurer fails to give notice of acceptance or denial of coverage within twenty-five (25) days after a copy of the claim is mailed or delivered to it, as provided in subdivision (a) of this section, such failure shall be deemed to be a denial of coverage, and the department shall immediately pay benefits under the claim.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 2712, Unemployment Insurance Code.
HISTORY

1. New section filed 3-14-66; designated effective 3-24-66 (Register 66, No. 7).
2. Amendment of subsection (a) filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Amendment of subsection (a) filed 7-1-2004 as an emergency; operative 7-1-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-29-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-1-2004 order transmitted to OAL 10-25-2004 and filed 12-2-2004 (Register 2004, No. 49).
§2712-2. Dispute Between Department and a Voluntary Plan or Different Voluntary Plans Where Claim Filed Against a Voluntary Plan.
Note     •     History

(a) If an individual files a claim for disability benefits against a voluntary plan and the voluntary plan insurer or self-insurer determines that the claimant is eligible for disability benefits, but that such benefits are payable from the Disability Fund or another voluntary plan, the voluntary plan insurer or self-insurer with whom the claim was filed shall immediately forward a copy of the claim and any medical and other records relating thereto to the department or other voluntary plan insurer or self-insurer, as the case may be, with a request that benefits be paid from the Disability Fund or the other voluntary plan. If any payment has been made from the voluntary plan against which the claim was filed, a statement of such payments and a request for reimbursement at the Disability Fund rate or other voluntary plan rate shall also be forwarded with the copy of the claim. If the department or other voluntary plan insurer or self-insurer concedes coverage and eligibility, prompt reimbursement shall be made to the voluntary plan with which the claim was filed at the Disability Fund rate and period or other voluntary plan rate and period, as the case may be, and the claimant shall be promptly paid the accumulated excess of benefits, if any, to which he or she is entitled. If the department or other voluntary plan insurer or self-insurer denies coverage, it shall immediately so notify in writing the voluntary plan insurer or self-insurer with whom the claim was filed, and the claimant, giving its reason for the denial and, in such event, the voluntary plan insurer or self-insurer shall immediately pay benefits under the claim at not less than the Disability Fund rate.
(b) If the department or the other voluntary plan insurer or self-insurer fails to give notice of acceptance or denial of coverage within twenty-five (25) days after a copy of the claim is mailed or delivered to it as provided in subdivision (a) of this section, such failure shall be deemed to be a denial of coverage and the voluntary plan insurer or self-insurer with whom the claim was filed shall immediately pay benefits under the claim at not less than the Disability Fund rate.
(c) Subdivisions (a) and (b) of this section shall also apply to claims for Family Temporary Disability Insurance benefits. 
(d) Disclosure authorizations for Family Temporary Disability Insurance claims. Voluntary plans shall obtain a care recipient's, as defined in code section 3302, subdivision (a), authorization to disclose his or her medical information before forwarding any medical records to the department. The authorization shall accompany any care recipient's medical records to the department. The authorization must: 
(1) be in writing 
(2) be in 14-point typeface or larger 
(3) be clearly separate from any other language present on the same page 
(4) state the name of the claimant and identify him or her as the care provider 
(5) state the name of the physician or practitioner who is authorized to disclose the care recipient's medical information and identify that individual as the care recipient's treating physician or practitioner 
(6) state that the care recipient authorizes his or her physician or practitioner to disclose his or her medical information to the care provider, the care provider's voluntary plan as the term is used in Chapter 6, Part 2, Division 1, of the code commencing with section 3251 et seq., and the Employment Development Department 
(7) state that the care recipient authorizes the disclosure solely to support the care provider's claim for Family Temporary Disability Insurance benefits 
(8) state that the physician or practitioner may disclose 
(A) the care recipient's diagnosis 
(B) the care recipient's International Classification of Diseases code or, where no diagnosis has yet been obtained, a detailed statement of symptoms 
(C) a statement setting forth the facts of the care recipient's serious health condition that warrants the participation of the care provider 
(D) the date on which the condition commenced 
(E) probable duration of the condition 
(F) estimated amount of time each day the physician or practitioner believes that the care provider is needed to care for the care recipient 
(9) state that the authorization is valid for 10 years from the date the voluntary plan receives it or the effective date of the claim, whichever is first 
(10) state that the care recipient may request a copy of the authorization from the voluntary plan by writing to it at a specified address 
(11) state that the care recipient may revoke the authorization by writing to the specified address 
(12) state that the medical information may be used by the voluntary plan or the Employment Development Department to determine the care provider's eligibility for Family Temporary Disability Insurance benefits 
(13) include a signature and date line for the care recipient 
(14) instruct authorized representatives, as defined in section 3302-1(a), to sign on behalf of the care recipient and indicate the source of authority to act for the care recipient. 
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 2708, 2712 and 3306, Unemployment Insurance Code.
HISTORY

1. New section filed 3-14-66; designated effective 3-24-66 (Register 66, No. 7).
2. Amendment of subsection (a) filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. New subsections (c)-(d)(14) and amendment of Note filed 7-1-2004 as an emergency; operative 7-1-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-29-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-1-2004 order, including amendment of subsection (d)(14), transmitted to OAL 10-25-2004 and filed 12-2-2004 (Register 2004, No. 49).
Article 5. Overpayments

(No regulations adopted)
Article 6. Rights of Trainees
§2768-1. Re-Establishment of Balances--Affidavit.
Note     •     History

(a) If the records relating to a trainee claim have been destroyed under proper approval, the trainee shall execute the affidavit provided for in Section 2768 of the code. The affidavit shall be on a form prescribed by the department and shall specify:
(1) The date of the prior claim establishing the disability benefit year which was current at the time of induction into the armed forces.
(2) The weekly rate and the maximum benefit amount under the prior claim, or information with respect to the approximate wages paid him or her by employers in employment prior to his or her induction into the armed forces.
(3) The amount of basic and additional benefits paid and the periods for which benefits were claimed under the prior claim.
(4) The department office where the prior claim was filed.
(b) If a trainee is unable to furnish in an affidavit the detail specified by this section, the department shall re-establish his or her unexpended balance under his or her prior claim based on the information furnished by an affidavit in substantial compliance with this section. The department may verify such information with the trainee's prior employers.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 2768, Unemployment Insurance Code.
HISTORY

1. New section filed 12-21-55; designated effective 12-31-55 (Register 55, No. 18).
2. Amendment of subsections (a)(2) and (b) filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§2770-1. Affidavit for New Disability Insurance Claims.
Note     •     History

(a) If the wage records relating to a trainee claim have been destroyed under proper approval, the trainee shall execute the affidavit provided for in Section 2770 of the code. The affidavit shall be on a form prescribed by the department and shall specify the names and the addresses of the employers of the trainee during the six calendar quarters immediately preceding the date of induction into the armed forces, and the approximate wages paid to the trainee by each of such employers in each of such calendar quarters.
(b) If a trainee is unable to furnish in an affidavit the detail specified by this section, the department shall establish the amount of wages based on the information furnished by an affidavit in substantial compliance with this section. The department may verify such information with the trainee's prior employers.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 2770, Unemployment Insurance Code.
HISTORY

1. New section filed 12-21-55; designated effective 12-31-55 (Register 55, No. 18).
2. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
Article 7. Rights of Industrially Disabled Persons
§2777-1. Affidavit for New Disability Insurance Claims.
Note     •     History

(a) If the wage records relating to a claim of an industrially disabled person have been destroyed under proper approval, the industrially disabled person shall execute the affidavit provided for in Section 2777 of the code. The affidavit shall be on a form prescribed by the department and shall specify the names and the addresses of the employers of the industrially disabled person during the calendar quarters immediately preceding the commencement of his or her industrial disability which are substituted for any quarters excluded from the disability base period, and the approximate wages paid to the industrially disabled person by each of such employers in each of such calendar quarters.
(b) If an industrially disabled person is unable to furnish in an affidavit the detail specified by this section, the department shall establish the amount of wages based on the information furnished by an affidavit in substantial compliance with this section. The department may verify such information with the industrially disabled person's prior employers.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 2777, Unemployment Insurance Code.
HISTORY

1. New section filed 2-8-74; effective thirtieth day thereafter (Register 74, No. 6).
2. Amendment of subsection (a) filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
Chapter 3. Additional Benefits

(No regulations adopted)
Chapter 3.5. Prorated Benefits
§2851-1. Disability Benefit Payments to Be Prorated.
Note     •     History

NOTE

Authority cited: Sections 305, 306, 1088 and 2602, Unemployment Insurance Code. Reference: Section 2801, Unemployment Insurance Code.
HISTORY

1. New section filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Repealer filed 3-14-66; designated effective 3-24-66 (Register 66, No. 7).
Chapter 4. Contributions

(No regulations adopted)
Chapter 5. Financial Provisions
Article 1. Disability Fund
§3012-1. Disability Benefit Payments to the Unemployed and Noncovered.
Note     •     History

For the purposes of Section 3012 of the code a period of disability shall be deemed to commence after employment has terminated if it commences
(1) after termination of the employer-employee relationship as defined by subdivisions (a)(5) and (b) of Section 3254-3 of these regulations or
(2) after a leave of absence without pay or a layoff without pay as defined by subdivisions (a)(6) and (b) of Section 3254-3 of these regulations, provided such leave or layoff extended for a period of fifteen (15) full days before the disability commenced.
For the purposes of this section such a period of disability is deemed to commence at the time an individual becomes unemployed due to inability to perform his or her regular or customary work because of a mental or physical condition, even though benefits may not be payable during all of such period.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2602 and 3012, Unemployment Insurance Code.
HISTORY

1. New section filed 11-4-61; designated effective 11-14-61 (Register 61, No. 22).
2. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No 14).
3. Amendment of subsections (1) and (2) filed 3-17-89 as an emergency; operative 3-17-89 (Register 89, No. 12). A Certificate of Compliance must be transmitted to OAL within 10 days or emergency language will be repealed on 7-17-89.
4. Certificate of Compliance including amendment as to 3-17-89 order transmitted to OAL 7-14-89 and filed 8-14-89 (Register 89, No. 33). 
Article 2. Disability Administration Account

(No regulations adopted)
Article 3. Disability Benefit Payment Account

(No regulations adopted)
Article 4. Extended Liability Account
§3101-1. *  Disability Benefit Payments to Be Charged to the Extended Liability Account.
Note     •     History

NOTE

Additional authority cited: Sections 305 and 1088, Unemployment Insurance Code. Reference: Sections 3101, 3102, 3103, 3104 and 3105, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Repealer filed 3-14-66; designated effective 3-24-66 (Register 66, No. 7).
. __________
. *Section 3101-1 shall be inoperative during the calendar years 1959, 1960, and 1961. (See Section 3105, Unemployment Insurance Code.)
Article 5. Investments in Buildings

(No regulations adopted)
Chapter 6. Voluntary Plans
§3251-1. Application for Approval of a Voluntary Plan.
Note     •     History

(a) An employer or a majority of the employees employed in this state by an employer, or both, may apply to the department for approval of a voluntary plan for the payment of disability benefits to the employees so electing. Such applications shall be submitted in such manner and on such forms as may be prescribed by the department and must be filed with the department not later than the requested effective date of the plan, which time may be extended by the department not to exceed a period of seven days and provided the insurer or self-insurer submits evidence of assumption of the risk as of the requested effective date.
(b) The employer or a group of employees may appoint an admitted insurer or any other person, group or association to act as a representative in matters relating to the voluntary plan; provided, however, that such appointment shall not deprive the employer, the group of employees or any individual employee, or any such employee's duly authorized representative of the right of self-representation before the department.
(c) As used in this part the term “disability benefits” means “unemployment compensation disability benefits” as the latter term is defined in Section 140.5 of the code. Unless clearly otherwise provided in the code or this part the provisions of the code and of this part applying to the rights of individuals eligible for disability benefits payable from the Disability Fund are equally applicable to disability benefits payable under a voluntary plan.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 3251, Unemployment Insurance Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§3253-1. Payment of Disability Benefits Because of Simultaneous Coverage.
Note     •     History

Simultaneous coverage is deemed to exist when an individual is covered by and entitled to benefits from more than one plan (including one or more voluntary plans and the Disability Fund.) Benefits shall be paid from the Disability Fund to individuals who are simultaneously covered by one or more voluntary plans and the Disability Fund, if they are otherwise eligible, in an amount equal to the quotient obtained by dividing the daily benefit amount of unemployment compensation disability or Family Temporary Disability Insurance benefits to which the individual would be entitled if no part of his or her base period wages had been exempt from contributions under Section 3252 of the code and if he or she were covered only by the Disability Fund, by the number of plans (including voluntary plans and the Disability Fund) under which he or she is simultaneously entitled to benefits.
(a) When an individual is entitled to benefits from the Disability Fund during the same disability benefit period for which he or she received benefits from a voluntary plan, or plans, the amount of all benefits, at a daily rate not exceeding his or her daily benefit rate pursuant to Sections 2627and 2655 of the code paid or to be paid to him or her under all approved voluntary plans during that disability benefit period, shall be deducted from the benefits payable from the Disability Fund during that benefit period. The remaining balance shall be paid to the claimant, if otherwise eligible.
(b) Simultaneous coverage shall be deemed to exist if an individual is covered by and eligible from one or more voluntary plans and the Disability Fund at the time he or she establishes a care recipient period. “Care recipient period,” as the term is defined in section 3254-4, means all periods of family care leave that an individual takes within a 12-month period, as defined in section 3301(d)-1, to care for the same care recipient. The plan or plans under which the care recipient period is established remain liable for all claims associated with the same care recipient through the end of the 12-month period, as defined in section 3301(d)-1, regardless of any change in employment. Liability for Family Temporary Disability Insurance benefits remains with the plan or plans that covered the individual when the care recipient period was established in accordance with the provisions of section 3254-4. 
The amount of all benefits paid by the voluntary plans at a daily rate not exceeding the individual's daily benefit rate pursuant to sections 3301 and 3303 of the code during that 12-month period, as defined in section 3301(d)-1, shall be deducted from the benefits payable from the Disability Fund during that 12-month period, as defined in section 3301(d)-1. The remaining balance shall be paid to the individual, if otherwise eligible. 
EXAMPLE 1. Claimant A is employed and covered by both a state plan employer and a voluntary plan employer. She is unable to work for both employers due to the need to provide care for her seriously ill parent. Claimant A establishes valid claims under both the state plan and the voluntary plan. The state plan daily benefit amount is $104.00. 
Claimant A may receive $52.00 a day from the Disability Fund and $52.00 a day from the voluntary plan for up to six weeks, if otherwise eligible. 
EXAMPLE 2. Claimant B is employed and covered by a voluntary plan employer and is unable to work due to the need to provide care for his seriously ill mother. Claimant B establishes a valid claim and receives benefits from the voluntary plan. Claimant B returns to work for the voluntary plan employer and begins concurrent employment for a second employer with state plan coverage. Claimant B later is unable to work for both employers due to the need to again provide care for his seriously ill mother and files a claim with the voluntary plan. 
Liability for Claimant B's Family Temporary Disability Insurance claim rests solely with the voluntary plan because the plan or plans under which the individual was covered at the commencement of a care recipient period remains liable for all periods of family care leave claimed for the same care recipient through the end of the 12-month period, as defined in section 3301(d)-1, regardless of whether the need for family care leave is consecutive or intermittent. 
EXAMPLE 3. Claimant C, employed by and covered by a voluntary plan employer, is unable to work due to the need to provide care for his seriously ill mother. Claimant C establishes a valid claim and receives benefits from the voluntary plan. Claimant C returns to work for the voluntary plan employer and begins concurrent employment for a second employer with state plan coverage. Later, Claimant C is unable to work for both employers due to the need to provide care for his seriously ill father and establishes a claim with both the voluntary plan and the state plan. 
With respect to the claim for Claimant C's father, simultaneous coverage exists because Claimant C was concurrently employed when he established the care recipient period for his father. Both plans will therefore remain liable for all subsequent claims associated with the father for the remainder of Claimant C's 12-month period, as defined in section 3301(d)-1. The voluntary plan and the Disability Fund are each liable for benefits at one half of the state plan rate. The voluntary plan is liable for the amount, if any, above the state plan rate for which the individual is eligible, as specified by the voluntary plan. 
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 3253, 3301, 3302.1 and 3303, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Amendment of first paragraph, designation of second paragraph as subsection (a), new subsection (b) and amendment of Note filed 7-1-2004 as an emergency; operative 7-1-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-29-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-1-2004 order transmitted to OAL 10-25-2004 and filed 12-2-2004 (Register 2004, No. 49).
§3254-1. Minimum Required Provisions for a Voluntary Plan.
Note     •     History

To be approved by the department a voluntary plan must meet each of the following minimum provisions and in addition provide to the employees covered thereby rights greater than those provided in Chapter 2 of Part 2 of the code:
(a) Each voluntary plan must provide weekly rates of benefit payments such that each individual covered may be eligible to a weekly rate equal to or greater than the weekly rate for which the individual would be eligible under the Disability Fund but for his inclusion in the voluntary plan.
(b) Each voluntary plan must provide to each individual covered not less than the same number of disability benefit periods to which he would otherwise be entitled under the code and must also provide a maximum total amount of benefits such that each individual covered may be entitled during a disability benefit period to benefits in a total amount and for a maximum period equal to or greater than that which would be payable from the Disability Fund but for his or her inclusion in the voluntary plan.
(c) No voluntary plan may impose restrictions on or exclusions from eligibility for benefits in respect to individuals covered by such plans so as to deny benefits which would be payable to the individual from the Disability Fund but for his or her inclusion in the voluntary plan.
(d) Except as provided in Sections 3254(h) and 3260 of the code, no voluntary plan may require payments by the employees of contributions (including amounts designated as premiums) for disability benefits in amounts greater than would be required of such individuals if they were covered by the Disability Fund.
(e) Each voluntary plan, in addition to the other requirements of the code and these regulations, must provide for daily accrual of benefits to each individual covered. For each uninterrupted period of disability the individual shall receive not less than he or she would have received under the Disability Fund for such period of disability.
(f) Each employee covered by a voluntary plan shall be furnished either an individual certificate or a copy of a written or printed statement which the department has found accurately and fully states the essential features of the rights and benefits (including ineligibility and disqualification provisions) to which the employee is entitled under the plan.
(g) The voluntary plan shall state the disability insurance benefits provided and the contributions payable by the employees separately from those pertaining to other benefits (such as medical care, life, hospitalization, etc.), which may be offered with the plan.
(h) The filing of a claim for unemployment compensation disability benefits under an approved voluntary plan shall establish a disability benefit period for unemployment compensation disability benefits as provided in the code and this part. If an individual is paid disability benefits under a voluntary plan for a period with respect to which he or she could not file a valid claim because of insufficient wages in his or her base period, the amount of such benefits shall not be deducted from the amount of unemployment compensation disability benefits to which he or she may be entitled at a later time when his or her base period includes sufficient wages to permit him or her to file a valid claim for unemployment compensation disability benefits; provided that any benefit payment under a voluntary plan during a period of disability shall establish a disability benefit period as provided in the code and this part if for the day for which such a payment is made the individual at that time has sufficient wages in his or her base period to permit the filing of a valid claim.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 3254, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
2. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
3. Amendment filed 11-4-61; designated effective 11-14-61 (Register 61, No. 22).
4. Amendment filed 3-14-66; designated effective 3-24-66 (Register 66, No. 7).
5. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§3254-2. General Provisions for a Voluntary Plan.
Note     •     History

(a) (1) A voluntary plan shall be made available to all California employees employed by the employer or all such employees employed in the separate establishment of the employer without restrictions or exclusions, except that the plan need not be made available to:
(A) Any employee in partial or short-time employment if
(i) he or she is customarily employed less than half of the time during the workweek or
(ii) he or she has been hired for a period not expected to exceed two weeks.
(B) Any employee not in employment, including any employee performing a kind of service excluded from subject “employment” under Part 2 (commencing with Section 2601) of Division 1 of the code.
(2) Evidence shall be submitted, before final approval, that a majority of the employees of the employer or of the separate establishment of the employer have consented to the plan. The evidence may be in the form of a statement showing the total number of current employees in employment by the employer (or in the separate establishment) and the number of current employees who consented in writing or by electronic mail, at the employee's option, if electronic means are available, to join the plan, or if such consent was given by vote in a secret ballot or other free election, the number who voted to join the plan. The records of the employer with respect to such consent or vote shall be available to the department.
(b) A plan which is applicable to fewer than all the establishments of the employer in this State shall demonstrate:
(1) That the “distinct separate establishment” to which the plan relates is definitely separated from other operating units of the same employer by reason of geographical location.
(2) That confinement of the plan to fewer than all of the employees of the employer employed in this State will not result in a substantial selection of risks adverse to the Disability Fund.
(c) A voluntary plan shall not be approved unless it contains a provision that it will be in effect for not less than one year and that no reduction in disability benefits or increase in employee contributions for disability benefits will be made while the plan is in effect without the approval of the department. Approval shall be given only if the department finds that, except as provided in Section 3271-1 of these regulations, a majority of the employees covered by the plan have consented in writing to the modification and that the plan after such modification will continue to meet the requirements of the code and of these regulations.
(d) A voluntary plan shall provide that every employee covered by the plan is eligible for benefits under the plan regardless of his or her physical or mental condition at the time he or she becomes covered. A voluntary plan shall not impose any exclusions from eligibility for benefits with respect to any employee covered on account of any pre-existing physical or mental condition of the employee or his or her family member, as defined in Section 3302(f) of the code. An employee covered by a voluntary plan shall be eligible for benefits under the plan with respect to any uninterrupted period of disability or care recipient period, as defined in section 3254-4, which commences while he or she is covered. For the purpose of this subdivision: 
(1) A period of disability shall be deemed to commence while an employee is covered by a voluntary plan if such employee is, or thereafter becomes, unable to perform the regular or customary duties of his or her employment under the voluntary plan because of his or her physical or mental condition notwithstanding the fact that benefits may not be immediately payable under the voluntary plan.
(2) A care recipient period shall be deemed to commence while an employee is covered by a voluntary plan if such employee is, or thereafter becomes, unable to perform the regular or customary duties of his or her employment under the voluntary plan due to the need to provide care for a seriously ill family member, as defined in Section 3302(f) of the code, or bond with a new child notwithstanding the fact that benefits may not be immediately payable under the voluntary plan. 
(e) The plan shall be made available to all future employees of the employer or of the separate establishment without restrictions or exclusion except as to employees in partial or short-time employment or employees not in employment as described in subdivision (a) of this section. All other new employees shall be admissible to coverage under one of the following provisions:
(1) Immediately upon employment.
(2) Upon the first day of the calendar quarter immediately after the employee has completed a period of employment of three months or less.
(3) At some determinable date not later than the date specified in paragraph (2) of this subdivision.
(f) The plan shall provide under such provisions as the department finds reasonable, and not such as to result in a substantial selection of risks adverse to the Disability Fund, that any employee who at such time is not receiving disability benefits and who did not elect to be covered by the plan when first admissible to coverage, may elect coverage under the plan and such coverage shall commence in accordance with one of the following provisions:
(1) Immediately upon such election.
(2) Upon the first day of the calendar quarter immediately after the employee has so elected and thereafter completed a period of employment of three months or less.
(3) At some determinable date not later than the date specified in paragraph (2) of this subdivision.
(g) Except as provided in Section 3271-1 of these regulations, the plan shall permit any covered employee to withdraw from the plan at the beginning of any calendar quarter upon the giving of reasonable notice in writing to the employer as provided in the plan.
(h) A voluntary plan may provide for the proration of benefits on account of simultaneous coverage. Simultaneous coverage is deemed to exist when an individual is covered by and entitled to benefits from more than one plan (including voluntary plans and/or the Disability Fund). When a voluntary plan provides for proration of disability benefits because an individual is simultaneously covered by more than one plan such disability benefits shall be not less than the quotient obtained by dividing the sum of the disability benefits to which the individual would be entitled if he or she were covered only by the Disability Fund by the number of plans under which the individual is simultaneously covered.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 3257, 3301, 3302 and 3303, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
2. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
3. Amendment filed 11-20-67; designated effective 11-30-67 (Register 67, No. 45).
4. Amendment of subsection (h) filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
5. Amendment of subsections (a), (d), (e), (g) and (h) filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
6. Amendment of subsection (d) filed 3-17-89 as an emergency; operative 3-17-89 (Register 89, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-17-89.
7. Certificate of Compliance as to 3-17-89 order transmitted to OAL 7-14-89 and filed 8-14-89 (Register 89, No. 33)
8. Amendment of subsection (a)(2) and Note filed 3-9-2000; operative 4-8-2000 (Register 2000, No. 10).
9. Amendment of subsection (d), new subsections (d)(1) and (d)(2), amendment of subsections (f) and (h) and amendment of Note filed 7-1-2004 as an emergency; operative 7-1-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-29-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-1-2004 order transmitted to OAL 10-25-2004 and filed 12-2-2004 (Register 2004, No. 49).
§3254-3. Termination of Coverage Under a Voluntary Plan.
Note     •     History

(a) Coverage under a voluntary plan may be terminated prior to commencement of a period of disability by any one of the following conditions:
(1) Termination of the voluntary plan by the director in accordance with the provisions of Section 3262 of the code and Section 3262-1 of these regulations.
(2) Withdrawal of the voluntary plan by the employer or a majority of its employees in accordance with the provisions of subdivision (g) of Section 3254 or subdivision (g) of Section 3255 of the code.
(3) Cancellation of the voluntary plan by an admitted disability insurer in accordance with the provisions of Section 3262-2 of these regulations.
(4) Withdrawal from the voluntary plan by a covered employee in accordance with the provisions of subdivision (g) of Section 3254-2 of these regulations or subdivision (a) of Section 3271 of the code and subdivision (b) of Section 3271-1 of these regulations.
(5) Termination of the employer-employee relationship. Except when subdivision (b) of this section applies, “termination of the employer-employee relationship” means that employment ceases with no mutual expectation or intention to continue the working relationship. Reasons for termination of the employer-employee relationship include, but are not limited to, separation, dismissal, resignation, and retirement. 
EXAMPLE 1. Separation. A, an operating engineer, leaves work at the close of the shift on Friday when A and other members of A's crew are informed by the employer that their services are no longer needed because the job is in the course of being completed. For any new projects the employer will request a general union dispatch of union members. A is paid in full on that day. On Sunday A is in an automobile accident. A files a disability claim with the voluntary plan.
A's disability and inability to perform regular or customary work is not in dispute. However, the employer had terminated the employment relationship with A prior to commencement of the period of disability, and disability benefits are payable from the Disability Fund rather than under the voluntary plan. 
EXAMPLE 2. Dismissal. Given a written notice of dismissal in the middle of B's shift, effective immediately, because B objected to performing a “rush job” and because B had consistently taken too much time to perform assignments. B's request to retain B's job is rejected. On the next day B files a disability claim with the voluntary plan for indefinite complaints and nervous instability.
The employer terminated the employment relationship with B on a day when B would have continued to perform regular or customary work had B not been dismissed. If B establishes a disability and inability to perform regular or customary work, disability benefits are payable from the Disability Fund rather than under the voluntary plan. 
EXAMPLE 3. Resignation. C is employed full time and also enrolled in several courses at a local university. C voluntarily resigns C's employment to concentrate on C's education with a full program of study. During the period of employment C was under frequent medical treatment for infectious eczematoid dermatitis but lost no time from work. Within two weeks of terminating employment C's condition worsens and C withdraws from school for intensive treatment in a hospital. C files a disability claim with the voluntary plan.
C's disability and inability to perform regular or customary work is not in dispute. However, C voluntarily terminated the employment relationship with the voluntary plan employer prior to commencement of the period of disability. If C can establish an attachment to the labor market, disability benefits are payable from the Disability Fund rather than under the voluntary plan. 
EXAMPLE 4. Retirement. D, a janitor, seventy years of age, retires because D wishes to take a well-earned rest and because D feels the job is getting too heavy for D's age. D has not seen a doctor for approximately one year prior to the termination of employment. D plans to seek lighter work. Within two weeks of terminating employment D contracts pneumonia and files a disability claim with the voluntary plan.
D's disability and inability to perform regular or customary work is not in dispute. However, D voluntarily retired and terminated the employment relationship prior to commencement of the period of disability. If D can establish that D remains attached to the labor market, disability benefits are payable from the Disability Fund rather than under the voluntary plan.
(6) Leave of absence without pay or a layoff without pay if the leave or layoff extends for a period of fifteen (15) full days before the period of disability commences. Except when subdivision (b) of this section applies, “leave of absence” and “layoff” mean that something other than a permanent termination of the employment relationship is indicated at the time an individual's work comes to an end, or the employment ceases because of factors beyond the employee's or the employer's control. A leave of absence from work is granted by the employer for many reasons. Reasons for a layoff include the following:
(A) Temporary disciplinary action.
(B) Lack of work. The term “lack of work” indicates termination of employment because the commodity or activity provided by the business is no longer in sufficient demand to require the services of the individual, however the individual would be subject to recall if more work developed; or because an on-call employee who accepts temporary assignments is laid off at the completion of an assignment with the expectation that another assignment will be provided in the future.
(C) Material shortage. The term “material shortage” indicates the lack of some component necessary to make a final product, i.e., in a steel mill--lack of coal, ore, etc.; in a cannery--lack of the products being canned, cans, etc.; in the automotive industry--lack of steel, parts, etc.
(D) Season of activity ends. The term “season of activity ends” indicates termination of employment because of the seasonal nature of the work, i.e., lumbering ceases because of weather; canning stops because crop not in season; fishing stops because the fish run ends; track closes because racing seasons ends. 
EXAMPLE 1. Leave of Absence. A is granted an indeterminate leave of absence without pay in order to assist in the care of a sick daughter and because A is “worn out” caring for the daughter while also working. On the fifteenth day following the last day of work A is severely injured in an automobile accident and files a disability claim with the voluntary plan.
A day is defined in Section 125-1 of these regulations as the 24-hour period beginning at midnight and ending the following midnight. Therefore, a disability which occurs on the 15th day after leaving work is not one that occurred 15 full days after the last day worked. Disability benefits are payable under the voluntary plan. 
EXAMPLE 2. Layoff Due to Lack of Work. B, an out-of-doors pipe tester, is laid off without pay because work was slow on account of the weather. B checks with the employer several times in the following week but no work was available. Subsequently B is terminated as of the last day worked when B does not contact the employer for thirty days. B files a disability claim with the voluntary plan because B was admitted to a hospital, suffering from acute alcoholism, on the fifteenth day following the last day of work.
A day is defined in Section 125-1 of these regulations as the 24-hour period beginning at midnight and ending the following midnight. Therefore, a disability which occurs on the 15th day after leaving work is not one that occurred 15 full days after the last day worked. Disability benefits are payable under the voluntary plan. 
EXAMPLE 3. Layoff on On-Call Employee. C works through a temporary employment agency. For the past two years C as been working “pretty steady” on assignments provided by this agency. There have been periods of employment and indefinite periods of unemployment. C completes an assignment and is laid off without pay until such time as another assignment may be available. On the fifteenth day following the last day of work C is severely injured in a motorcycle accident and files a disability claim with the voluntary plan.
A day is defined in Section 125-1 of these regulations as the 24-hour period beginning at midnight and ending the following midnight. Therefore, a disability which occurs on the 15th day after leaving work is not one that occurred 15 full days after the last day worked. Disability benefits are payable under the voluntary plan. 
EXAMPLE 4. Layoff Due to Material Shortage. D, a fish cannery worker, is laid off without pay because fishing has been poor. D is subject to recall to work at any time until the fish packing season officially ends. On the fifteenth day following the last day of work D has a congestive heart failure and files a disability claim with the voluntary plan.
A day is defined in Section 125-1 of these regulations as the 24-hour period beginning at midnight and ending the following midnight. Therefore, a disability which occurs on the 15th day after leaving work is not one that occurred 15 full days after the last day worked. Disability benefits are payable under the voluntary plan. 
EXAMPLE 5. Layoff Due to End of Season. E, a laborer for a fruit packing company, is laid off without pay at the close of the season, and there will be no more work for E until the commencement of the next season in nine months. Under the collective bargaining agreement in force between E's union and the employer, E has employment rights based upon seniority. E immediately seeks other work as a laborer although employment opportunities are scarce in the small community. On the fifteenth day following the last day of work E fractures a femur and files a disability claim with the voluntary plan.
A day is defined in Section 125-1 of these regulations as the 24-hour period beginning at midnight and ending the following midnight. Therefore, a disability which occurs on the 15th day after leaving work is not one that occurred 15 full days after the last day worked. The employer-employee relationship had been merely suspended rather than terminated. Benefits are payable under the voluntary plan.
(b) Notwithstanding the provisions of subdivision (a) of this section, coverage under a voluntary plan shall not be terminated during the extended period where the employer-employee relationship is considered to be continued under any one of the following conditions:
(1) When a voluntary plan elects to extend its benefits for a specified longer period than required by subdivision (a) of this section.
(2) When a voluntary plan covered employee becomes disabled on the date coverage under the voluntary plan would otherwise be terminated. For the purposes of this subdivision, “date” means year, month and day, ending at midnight of that day. This is consistent with the definition of “day” as defined in Section 125-1 of these regulations as the 24-hour period beginning at midnight and ending the following midnight. Coverage shall not be deemed terminated at the time (hour and minute) the cessation of work occurs. 
EXAMPLE 1. Disability on Voluntary Plan Termination Date. A normally works from 6:00 a.m. to 3:00 p.m. A is discharged at 9:00 a.m. because A is intoxicated. On that same day A severely injures A's back at 5:00 p.m. at home while lifting work tools from the car. A files a disability claim with the voluntary plan.
Disability benefits are payable under the voluntary plan because A became disabled before midnight on the day that the employer-employee relationship was terminated.
(3) When a covered employee is on a leave of absence or a layoff and receives wages from the voluntary plan employer allocable to days of the period of leave of absence or layoff. Coverage shall not be deemed terminated until the leave of absence without pay or the layoff without pay extends for a period of 15 full days following the last day for which wages were paid before the period of disability commences. 
EXAMPLE 1. Disability Within 15 Full Days of Layoff. A is laid off when A's plant closes for the annual vacation period of two weeks, and A receives vacation pay for that fourteen-day period. On the fifteenth day following the last day of work, A is advised by the employer that there is no work available for A but that A will be called back whenever work is available. A has been under medical treatment that did not prevent A from performing A's regular and customary work. A is advised by A's physician that surgery will now be necessary, and A enters a hospital for the surgery on the twenty-ninth day following the last day of work. A files a disability claim with the voluntary plan.
A day is defined in Section 125-1 of these regulations as the 24-hour period beginning at midnight and ending the following midnight. Therefore, a disability which occurs on the 15th day after leaving work is not one that occurred 15 full days after the last day worked. Disability benefits are payable under the voluntary plan. 
COMMENTS. If the employer-employee relationship has been terminated, the receipt of severance payments, earned but unpaid vacation pay or holiday pay, and earned but unpaid sick pay, paid because of termination of employment, does not extend coverage under a voluntary plan after the date of the termination (see Sections 1265, 1265.5, and 1265.7 of the code.)
(4) When a covered employee is on a leave of absence without pay or a layoff without pay and becomes disabled from one medical condition within 15 full days following the last day of work and then suffers a second or more unrelated disabling condition before a recovery from the disability for which a disability claim is initially filed with the voluntary plan. Coverage shall not be deemed terminated at any time during the uninterrupted period of disability due to overlapping disabling conditions. 
EXAMPLE 1. Leave of Absence without Pay. A is granted an indeterminate leave of absence without pay because of pregnancy and A's plans for motherhood. At that time A is able to perform A's regular or customary work but on the fifteenth day following the last day of work the baby is born. A files a disability claim with the voluntary plan with a physician's certificate for a six-week postpartum period of disability. In the fifth week following the birth of the baby A suffers a gallbladder problem requiring a cholecystectomy. A's physician extends the period of disability for another six weeks.
A day is defined in Section 125-1 of these regulations as the 24-hour period beginning at midnight and ending the following midnight. Therefore, a disability which occurs on the 15th day after leaving work is not one that occurred 15 full days after the last day worked. A is eligible for disability benefits from the voluntary plan for approximately twelve weeks or until the continuous period of unemployment and disability ends (see subdivision (c) of Section 2608-1 and subdivision (d) of Section 3254-2 of these regulations).
(5) When a covered employee is terminated or laid off without pay or given a leave of absence without pay while receiving “other benefits” as that term is used in Section 2629 of the code and then suffers a second or more unrelated disabling condition for days such “other benefits” are received. Coverage shall not be deemed terminated at any time during the uninterrupted period of disability due to overlapping disabling conditions notwithstanding the fact that disability benefits may not be immediately payable under the voluntary plan. 
EXAMPLE 1. Leave of Absence While Receiving Other Benefits. A receives temporary workers' compensation benefits for an industrial injury arising out of and in the course of A's employment. While still disabled, the voluntary plan employer advises A that the plant is closing immediately in the city where A resides, and there will be no more work available for A. A continues to receive workers' compensation benefits for a total of six months of benefits. Two weeks before A receives a final examination and discharge by the workers' compensation insurer's physician, A is informed by A's private physician that A should not attempt to work again because of chronic rheumatoid arthritis and heart disease. A files a disability claim with the voluntary plan.
Disability benefits are payable to A under the voluntary plan for days immediately following termination of payments of temporary workers' compensation. The voluntary plan is liable for the maximum period payable under the voluntary plan for a continuous period of unemployment and disability, although from overlapping industrial and non-industrial disabling conditions, which commenced while the voluntary plan was in effect (see subdivision (c) of Section 2608-1 and subdivision (d) of Section 3254-2 of these regulations).
(6) When a covered employee becomes disabled after leaving work due to a trade dispute. Coverage shall not be deemed terminated as long as the trade dispute is in active progress. 
EXAMPLE 1. Trade Dispute. A leaves work because of a trade dispute and becomes disabled sixty days later while the trade dispute remained in active progress. A has not resigned from A's employment. A files a disability claim with the voluntary plan.
Disability benefits are payable under the voluntary plan because A became disabled while the trade dispute was in active progress. A strike or trade dispute simply suspends the employer-employee relationship and does not terminate it. The circumstances under which A left work do not constitute a leave of absence without pay or a layoff without pay.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. References: Sections 1265, 1265.5, 1265.7, 2608, 2629, 3254, 3255, 3262, and 3271, Unemployment Insurance Code.
HISTORY

1. New section filed 3-17-89 as an emergency; operative 3-17-89 (Register 89, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-17-89.
2. Certificate of Compliance including amendment as to 3-17-89 order transmitted to OAL 7-14-89 and filed 8-14-89 (Register 89, No. 33).
3. Amendment of subsections (a)(1)-(2) filed 11-9-2004; operative 12-9-2004 (Register 2004, No. 46).
§3254-4. Termination of Family Temporary Disability Insurance Coverage Under a Voluntary Plan.
Note     •     History

Once a 12-month period is established, liability for Family Temporary Disability Insurance benefits may change during the 12-month period by virtue of new employment and/or new plan coverage. Liability for coverage during a single 12-month period may involve multiple plan liabilities. 
Liability for Family Temporary Disability Insurance benefits remains with the plan or plans that covered the employee when the care recipient period was established. 
“Care recipient period” means all periods of family care leave that an employee takes within a 12-month period, as defined in Section 3301(d)-1, to care for the same care recipient. 
(a) Coverage under a voluntary plan may be terminated prior to commencement of a period of family care leave by any one of the following conditions: 
(1) Termination of the voluntary plan by the director in accordance with the provisions of Section 3262 of the code and Section 3262-1 of these regulations. 
(2) Withdrawal of the voluntary plan by the employer or a majority of its employees in accordance with the provisions of subdivision (g) of Section 3254 or subdivision (g) of Section 3255 of the code. 
(3) Withdrawal from the voluntary plan by a covered employee in accordance with the provisions of subdivision (g) of Section 3254-2 of these regulations or subdivision (a) of Section 3271 of the code and subdivision (b) of Section 3271-1 of these regulations. 
(4) Termination of the employer-employee relationship. Except when subdivision (b) of this section applies, “termination of the employer-employee relationship” means that employment ceases with no mutual expectation or intention to continue the employment relationship. Reasons for termination of the employer-employee relationship include, but are not limited to, separation, dismissal, resignation, and retirement. 
EXAMPLE 1. Separation. Claimant A, an operating engineer, leaves work at the close of the shift on Friday when Claimant A and other members of Claimant A's crew are informed by the employer that their services are no longer needed because the job is being completed. For any new projects the employer will request a general union dispatch of union members. Claimant A is paid in full on that day. On Sunday, Claimant A's father suffers a severe stroke that warrants Claimant A's immediate participation to provide care. Claimant A establishes a Family Temporary Disability Insurance claim with the voluntary plan. The medical certificate confirms that Claimant A's care is warranted beginning Sunday due to his father's serious health condition. 
Claimant A's inability to perform regular or customary work due to the need to provide care is not in dispute. However, the employer had terminated the employment relationship with Claimant A prior to the commencement of the period of family care leave, and, therefore Family Temporary Disability Insurance benefits are payable from the Disability Fund rather than the voluntary plan. 
EXAMPLE 2. Liability During a Twelve-Month Period. Claimant B establishes a claim for Family Temporary Disability Insurance benefits under the voluntary plan beginning January 3 to care for her seriously ill daughter. The medical certificate confirms that Claimant B's care is warranted beginning January 3 due to her daughter's serious health condition. Claimant B serves a seven-day waiting period January 3 through January 9 and receives two weeks of benefits under the voluntary plan through January 23. Claimant B returns to work for the voluntary plan employer on January 24. She leaves work at the close of the shift on January 28 when the employer informs her that her services are no longer needed because the job is completed. Claimant B is paid in full on January 28. 
On January 30, her daughter's serious health condition warrants further care. Claimant B establishes a Family Temporary Disability Insurance claim with the voluntary plan to provide care for her daughter. The medical certificate confirms that Claimant B's care is warranted beginning January 30 due to her daughter's serious health condition. 
The voluntary plan is liable for benefits commencing January 30 because liability for Family Temporary Disability Insurance benefits remains with the plan that covered the employee when the care recipient period was established. 
(5) Leave of absence without pay or a layoff without pay if the leave or layoff extends for a period of fifteen (15) full days before the period of family care leave commences. Except when subdivision (b) of this section applies, “leave of absence” and “layoff” mean that something other than a permanent termination of the employment relationship is indicated at the time an individual's work comes to an end, or the employment ceases because of factors beyond the employee's or the employer's control. A leave of absence from work is granted by the employer for many reasons. Reasons for a layoff include the following: 
(A) Temporary disciplinary action. 
(B) Lack of work. The term “lack of work” indicates termination of employment because the commodity or activity provided by the business is no longer in sufficient demand to require the services of the individual, however the individual would be subject to recall if more work developed; or because an on-call employee who accepts temporary assignments is laid off at the completion of an assignment with the expectation that another assignment will be provided in the future. 
(C) Material shortage. The term “material shortage” indicates the lack of some component necessary to make a final product, i.e., in a steel mill--lack of coal, ore, etc.; in a cannery--lack of the products being canned, cans, etc.; in the automotive industry--lack of steel, parts, etc. 
(D) Season of activity ends. The term “season of activity ends” indicates termination of employment because of the seasonal nature of the work, i.e., lumbering ceases because of weather; canning stops because crop not in season; fishing stops because the fish run ends; track closes because racing seasons ends. 
EXAMPLE 1. Leave of Absence. Claimant A is granted an indeterminate leave of absence without pay. On the 15th day following the last day of work Claimant A's mother suffers a severe stroke that warrants Claimant A's participation to provide care. The medical certificate confirms that Claimant A's care is warranted due to her mother's serious health condition. 
A day is defined in Section 125-1 of these regulations as the 24-hour period beginning at midnight and ending the following midnight. Therefore, a period of family care leave which occurs on the 15th day after leaving work is not one that occurred 15 full days after the last day worked. Family Temporary Disability Insurance benefits are payable under the voluntary plan. 
(b) Notwithstanding the provisions of subdivision (a) of this section, coverage under a voluntary plan shall not be terminated under any one of the following conditions: 
(1) When a voluntary plan elects to extend its benefits for a specified longer period than required by subdivision (a) of this section. 
(2) When a voluntary plan covered employee begins a period of family care leave on the date coverage under the voluntary plan would otherwise be terminated. For the purposes of this subdivision, “date” means year, month and day, ending at midnight of that day. This is consistent with the definition of “day” as defined in Section 125-1 of these regulations as the 24-hour period beginning at midnight and ending the following midnight. Coverage shall not be deemed terminated at the time (hour and minute) the cessation of work occurs. 
(A) Claims for Family Temporary Disability Insurance benefits for the same care recipient that are established with the plan prior to termination of the employer-employee relationship remain the liability of that plan through the end of the 12-month period regardless of whether the need for family care is continuous or intermittent. 
(B) Claims for Family Temporary Disability Insurance benefits care recipients for whom no Family Temporary Disability Insurance claim was established before the termination of the employer-employee relationship are not the liability of the voluntary plan that covered the employee prior to the termination. 
(3) When a covered employee is on a leave of absence or a layoff and receives wages from the voluntary plan employer allocable to days of the period of leave of absence or layoff. Coverage shall not be deemed terminated until the leave of absence without pay or the layoff without pay extends for a period of 15 full days following the last day for which wages were paid before the period of family care leave commences. 
(A) The plan under which the employee was covered beginning with the last day worked and for 15 full days after a leave of absence without pay or layoff without pay remains liable for all periods of family care leave claimed for the same care recipient through the end of the 12-month period regardless of whether the need for family care leave is consecutive or intermittent. 
(B) Claims for care recipients for whom no Family Temporary Disability Insurance claim was established before the 15th full day after the last day worked after a leave of absence without pay or layoff without pay are not the liability of the voluntary plan that covered the employer prior to the 15th full day. 
(4) When a covered employee begins a period of family care leave after leaving work due to a trade dispute. Coverage shall not be deemed terminated as long as the trade dispute is in active progress. 
(5) When a covered employee becomes disabled due to pregnancy and begins a period of family care leave to bond with that child. Coverage shall not be deemed terminated at any time during the disability benefit period as defined in Section 3302.1(c) of the code. 
EXAMPLE 1. Pregnancy and Bonding. Claimant A is unable to work due to a pregnancy-related disability. Her last day of work is October 20, 2005. She applies for and receives disability benefits from the voluntary plan for the period from October 21, 2005 through December 31, 2005. Claimant A establishes a Family Temporary Disability Insurance claim with the voluntary plan to bond with her new child who was born on November 20, 2005. Claimant A claims benefits for the six-week period beginning January 1, 2006. 
Section 3302.1(c) of the code provides that periods of disability for pregnancy, and periods of family care leave for bonding associated with the birth of that child are considered to be one disability benefit period. Therefore, Family Temporary Disability Insurance benefits are payable under the voluntary plan beginning January 1, 2006, if otherwise eligible. 
EXAMPLE 2. Pregnancy and Bonding. Claimant B is unable to work due to a pregnancy-related disability. Her last day of work is October 20, 2005. She applies for and receives disability benefits from the voluntary plan for the period from October 21, 2005 through December 31, 2005. Claimant B does not return to work before establishing a Family Temporary Disability Insurance claim with the voluntary plan to bond with her new child who was born on November 20, 2005. Claimant B claims benefits for the six-week period beginning March 1, 2006. 
Section 3302.1(c) of the code provides that periods of disability for pregnancy, and periods of family care leave for bonding associated with the birth of that child are considered to be one disability benefit period. Therefore, Family Temporary Disability Insurance benefits are payable under the voluntary plan beginning March 1, 2006, if otherwise eligible. The fact that Claimant B did not return to work does not affect waiting period waiver as provided in Section 3302.1(c) of the code. 
EXAMPLE 3. Pregnancy and Bonding. Claimant C is unable to work due to a pregnancy-related disability. Her last day of work is October 20, 2005. She applies for and receives disability benefits from the Disability Fund for the period from October 21, 2005 through December 31, 2005. 
Claimant C terminates that employment and begins work for a voluntary plan employer January 1, 2006 through February 28, 2006. Claimant C is covered under the voluntary plan beginning January 1, 2006. Claimant C establishes a Family Temporary Disability Insurance claim with the voluntary plan to bond with her new child who was born on November 20, 2005. Claimant C claims benefits for the six-week period beginning March 1, 2006. 
Section 3302.1(c) of the code provides that periods of disability for pregnancy, and periods of family care leave for bonding associated with the birth of that child are considered to be one disability benefit period. Therefore, because the Disability Fund paid disability benefits for the pregnancy-related disability, Family Temporary Disability Insurance benefits for bonding are payable under the Disability Fund. The Family Temporary Disability Insurance benefits are payable beginning March 1, 2006, if otherwise eligible, without requiring a second waiting period. The fact that Claimant C returned to work does not affect waiting period waiver as provided in Section 3302.1(c) of the code. 
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 1265, 2608, 2629, 3254, 3255, 3262, 3271, 3302 and 3302.1, Unemployment Insurance Code. 
HISTORY

1. New section filed 7-1-2004 as an emergency; operative 7-1-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-29-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-1-2004 order, including amendment of Note, transmitted to OAL 10-25-2004 and filed 12-2-2004 (Register 2004, No. 49).
§3254(i)-1. Risks Adverse to the Disability Fund.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 3254, Unemployment Insurance Code.
HISTORY

1. New section filed 11-4-61 as a renumbering and amendment of former Section 3254(h)-1. Appeal filed with California Unemployment Insurance Appeals Board; section refiled 4-13-62, designated effective 4-23-62 (Register 62, No. 7).
2. Editorial correction (Register 62, No. 12).
3. Repealer filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
§3254(i)-2. Risks Adverse to the Disability Fund.
Note     •     History

(a) Approval of a voluntary plan or a group of voluntary plans underwritten by an admitted disability insurer shall not be given if the approval would result in a substantial selection of risks adverse to the Disability Fund.
(b) For the purposes of this section the following apply:
(1) The age of the employees or claimants may be either the age in years regardless of the nearest birthday or the age in years to the nearest birthday.
(2) “Wages” includes all wages as defined in Section 940 of the code.
(3) “State average annual wage” means the wage based on multiplying by 52, the current state average weekly wage amount determined by the United States Department of Labor for the State of California. 
(4) “Calendar year” means any 12-month period from January 1 through the succeeding December 31. 
(c) The director shall not later than October 31 preceding each calendar year establish standards for approval with respect to gender, age and wage distribution for that calender year. Standards for approval with respect to gender, age and wage distribution shall be established as follows:
(1) The “standard for approval” with respect to gender shall be ninety-five percent (95%) of the annual average percentage of females in employment, as determined by the director, based on the most recent Current Population Survey developed by the Bureau of Labor Statistics of the United States Department of Labor. 
(2) The “standard for approval” with respect to age shall be ninety percent (90%) of the annual average percentage of employees age 50 and older in employment, as determined by the director, based on the most recent Current Population Survey developed by the Bureau of Labor Statistics of the United States Department of Labor.
(3) To establish the standard for approval with respect to wage distribution the director shall determine for each calendar year the percentage of employees in employment with wages paid during the most recent completed calendar year who were paid less than seventy percent (70%) of the state average annual wage, as prescribed in subdivision (b)(3) of this section.  The “standard for approval” with respect to wage distribution shall be ninety-three percent (93%) of the average percentages as determined by the director for the most recent completed calendar year immediately preceding the calendar year for which the standard for approval is determined.
(d) The director shall not later than October 31 preceding each calendar year give notice to each admitted disability insurer of voluntary plans of and publish the standards for approval with respect to gender, age and wage distribution determined by the director for that calendar year.
(e) The employer or a group of employees shall file an application for approval of a plan on a form prescribed by the department and shall provide enrollment information as follows: 
(1) The total number of employees eligible to be covered by the voluntary plan, 
(2) The total number of employees who have consented, in writing or by electronic mail, or by vote in a secret ballot or other free election, to be covered by the voluntary plan, 
(3) The number of eligible female employees, 
(4) The number of eligible male employees, 
(5) The number of eligible employees aged 50 and older, 
(6) The number of eligible employees paid less than 70% of the state average annual wage, as prescribed in subdivision (b)(3) of this section, during the most recent completed calendar year, 
(7) The dates the enrollment was conducted. 
(f)(1) The employer shall attach to each application for approval of a plan a schedule, on a form prescribed by the department, which contains the following information for each individual in employment and consenting to the plan:
(A) The signature.
(B) The date of such consent.
(C) The gender.
(D) The age.
(E) The printed or typed name and social security account number.
(2) The employer shall attach to each application for approval of blanketing-in under Section 3257-1 a schedule, on a form prescribed by the department, which in addition to the information required by subdivision (f)(1) of this section contains, with respect to eligible employees who have not rejected the plan in writing and are deemed to have consented to the plan, the information specified by paragraphs (C), (D), and (E) of subdivision (f)(1) of this section.
(3) Each application for approval of a plan for an employer who is engaged in a seasonal enterprise where there is considerable fluctuation in the number of employees in employment during the calendar year may contain, in addition to the information required by subdivision (f)(1) and (2) of this section, a schedule for all employees, excluding those ineligible for coverage. The schedule shall contain the following: 
(A) The number of employees, 
(B) The number of female employees, 
(C) The number of employees age 50 and older, and 
(D) The printed or typed name and social security account number of each employee, in employment on any same day of each of the 12 months immediately preceding the filing of the application or such lesser period as the employer has been in business. The printed or typed name and social security account number of any employee who is in employment on two or more such days shall be stated only once in the schedule. 
(E) Based on information required under paragraphs (A), (B), (C) and (D) of this subdivision, rather than information under subdivision (f)(1) or (2) of this section, the department shall determine the average percentage of females and of employees age 50 and older in employment during such period and the percentage of employees paid wages of less than seventy percent (70%) of the state average annual wage, as prescribed in subdivision (b)(3) of this section. 
(4) The department shall return the schedules to the employer with the certificate of approval.
(g)(1) The director shall approve a plan which conforms, or a group of plans with the same effective date which together conform, or a plan or group of plans and any related plans for which information is included in the current tabulation which together conform, to each of the following requirements:
(A) The percentage of eligible females computed from the information contained in the schedule or schedules submitted under subdivisions (f), (h), (i), and (l) of this section shall be no less than the “standard for approval” for a calendar year with respect to gender.
(B) The percentage of eligible employees age 50 and older computed from the information contained in the schedule or schedules submitted under subdivisions (f), (h), (i), and (l) of this section shall be no less than the “standard for approval” for a calendar year with respect to age.
(C) The percentage of eligible employees computed from the information contained in the schedule or schedules submitted under subdivisions (f), (h), (i), and (l) of this section who are paid less than seventy percent (70%) of the state average annual wage, as prescribed in subdivision (b)(3) of this section, shall be no less than the “standard for approval” for a calendar year with respect to wage distribution.
(2) The standards for approval in effect on the day of receipt by the department of an application for approval of a plan or those in effect on the effective date of the plan, whichever is later, shall apply to the plan.
(3) For the purposes of determining whether approval of a plan is to be terminated the standards for approval for gender, age and wage distribution for each calendar year shall apply to plans which continue in effect on January 1 of that calendar year.
EXAMPLES. The three tables at the end of this regulation demonstrate the process of determining approval of a Voluntary Plan. The Department utilizes California employment annual average data that is either published by the Bureau of Labor Statistics of the United States Department of Labor or based on its internal records to determine whether an application for approval of a voluntary plan meets the minimum requirements established for the Standards for Approval with respect to gender, age and wage distribution. In addition to the California employment annual average data, the Department also factors the employee information required pursuant to subdivisions (e), (f) and (h) of Section 3254(i)-2. 
Table 1 -- This example illustrates the general methodology and requirements for determining the Annual Wage Threshold and, the Minimum Percentage for Employment Below the Annual Wage Threshold, the Minimum Percentage of Females in Employment and the Minimum Percentage of Employees Aged 50 Years and Older, which are used to establish the wage distribution, gender and age criteria, respectively. 
Table 2 -- This example illustrates the methodology and requirements to determine whether hypothetical Insurer Application #1's voluntary plan meets the minimum requirements of the standards for approval, based on employees eligible to be covered by the plan as reported by the employer. Under this scenario the voluntary plan meets the minimum requirements for wage distribution, gender and age to be approved by the Department. 
Table 3 -- This example illustrates the methodology and requirements to determine whether hypothetical Insurer Application #2's voluntary plan meets the minimum requirements of the standards for approval, based on employees eligible to be covered by the plan as reported by the employer. Under this scenario the voluntary plan meets the minimum requirements for wage distribution and gender; however, it fails to meet the minimum requirements for age. As a result, the Department would not approve this application for a voluntary plan. 
(h)(1) Based upon the information furnished under this subdivision, subdivisions (e), (f), (i) or (l) of this section, or any one or more of such subdivisions, the department shall make a tabulation for each admitted disability insurer, with respect to each plan insured by the admitted disability insurer and for all of the plans of the admitted disability insurer taken together, subject to this subdivision and subdivisions (i) and (l) of this section, setting forth the applicable gender, age, and wage distribution factor information. There shall be no recanvass of information by an employer or admitted disability insurer to present current information, except as provided by this subdivision and subdivision (l of this section.
(2) If a new plan is added, the department shall add to the tabulation the gender, age, and wage distribution factor information applicable to the plan. If there is a termination of approval of a plan, the department shall remove from the tabulation the gender, age, and wage distribution factor information applicable to the plan and not previously removed as of January 1 of a year. As of January 1 of each year the department shall remove from the tabulation the gender, age, and wage distribution factor information for plans in effect which were approved prior to the preceding January 1 and not recanvassed or which were recanvassed and the date of adjustment of the tabulation was prior to the preceding January 1.
(3) An admitted disability insurer may submit the information required in paragraphs (C), (D) and (E) of subdivision (f)(1) of this section for any payroll period ending on or after the preceding calendar year, or information as permitted by and for a period comparable to that provided by subdivision (f)(3) of this section, not later than: 
(A) December 1 of any calendar year, if the admitted disability insurer presents the required information on a form prescribed by the department, or
(B) December 1 of any calendar year, submit to the department for all plans which will continue in effect on January 1 of the succeeding calendar year and for which information is not included in the current tabulation or will as of that January 1 be removed from the tabulation. 
(4) The department shall adjust its current tabulation as of January 1 of the succeeding calendar year based upon the information submitted in accordance with paragraphs (A) and (B) of this subdivision. 
(5) If a plan or a group of plans is not approved under subdivision (g) of this section and the admitted disability insurer has plans for which information is not included in the current tabulation, the admitted disability insurer may submit for all plans for which information is not included in the current tabulation, the information required in paragraphs (C), (D), and (E) of subdivision (f)(1) of this section for any payroll period ending in the month in which information is submitted or in the immediately preceding three calendar months, or information as permitted by and for a period comparable to that provided by subdivision (f)(3) of this section. The department shall, if a new application for approval of the plan or group of plans is submitted, adjust the admitted disability insurer's current tabulation based on the information submitted and determine whether the plan or group of plans qualifies for approval.
(i) If information for all of the plans of an admitted disability insurer which continue in effect on January 1 of any calendar year is included as of January 2 of that calendar year in the current tabulation, such plans shall conform to each of the requirements of subdivision (g)(1) of this section in accordance with subdivision (g)(3) of this section, considering such plans only individually or together as a group of plans. If such plans considered together as a group of plans do not conform to each of such requirements, good cause shall exist for the director to terminate approval of all such plans of such admitted disability insurer which do not conform individually to each of such requirements. The director shall, not later than 65 days prior to the effective date of a termination of approval, give to the admitted disability insurer and to the employer or the employer and employee group a notice of termination of approval of all such plans of such admitted disability insurer, or a prompt notice to the admitted disability insurer that approval is not terminated. The employer or employee group with the consent of and through the admitted disability insurer or the admitted disability insurer may, within 30 days of the mailing of the notice of termination of approval, request reconsideration for a plan or a group of plans on the basis of the applicable information removed from the tabulation as a result of the termination of approval. The director shall promptly after the receipt of such request cancel any termination of approval of a plan or a group of plans reconsidered if such plan or plans conform to each of the requirements of subdivision (g)(1) of this section in accordance with subdivision (g)(3) of this section, considering such plans only together as a group or such plan or plans together with plans for which information is included in the current tabulation and adjust the insurer's tabulation by adding the applicable information, or shall promptly confirm his or her termination of approval. The director shall, not later than 25 days prior to the effective date of a termination of approval, give a notice of cancellation or confirmation of the termination of approval to the admitted disability insurer and to the employer or the employer and employee group. The director may for good cause extend the time within which reconsideration may be requested. The director may change or stay the effective date of his or her termination of approval.
(j)(1) The director shall not later than December 1 preceding each calendar year establish a “standard risk” for that calendar year.
(2) For each calendar year, the standard risk shall be established from the data obtained from twenty percent (20%) of the state plan closed claims expanded to represent one hundred percent (100%) of all state plan closed claims, and all insured voluntary plan closed claims, for which the last day compensated by a final payment is in the second or third calendar quarter of the calendar year preceding the calendar year in which the standard risk is established and for which reports are due under Section 3267-1 of these regulations not later than October 31 following such third calendar quarter. The standard risk shall be determined from the amount of disability benefits paid by the state plan to employed claimants and by admitted disability insurers to insured voluntary plan claimants based on the data obtained from such closed claims as follows:
(A) The percentage paid to female claimants.
(B) The percentage paid to claimants age 50 and older.
(C) The percentage paid to claimants earning less than seventy percent (70%) of the state average annual wage, as prescribed in subdivision (b)(3) of this section, paid by all employers in the calendar year preceding the first day of the calendar year in which the standard risk is established.
(k) The department shall determine for each calendar year the “risk experience rating” for each admitted disability insurer, on the basis of the data used under subdivision (j) of this section with respect to those voluntary plans of that admitted disability insurer which continue in effect on January 1 of any calendar year for which the rating is made, setting forth the percentage of disability benefits paid to females, to claimants age 50 and older, and to claimants earning less than seventy percent (70%) of the state average annual wage, as prescribed in subdivision (b)(3) of this section, paid by all employers in the calendar year preceding the first day of the calendar year in which the standard risk is established.
(l)(1) If information for any plan of an admitted disability insurer which continues in effect on January 1 of any calendar year is not included as of January 2 of that calendar year in the current tabulation, the following shall apply:
(A) If the percentage for the insurer's risk experience rating factor for gender is not more than five percent (5%) below and for age is not more than ten percent (10%) below and for wage distribution is not more than seven percent (7%) below the percentage for that corresponding factor in the standard risk for a calendar year, the director shall not terminate approval under this section of any plan of such admitted disability insurer which continues on January 1 of a subsequent calendar year. For example, if the standard risk for gender for a calendar year were 38.61 percent the admitted disability insurer's risk experience rating for gender shall be at least 36.68 percent, which is 5 percent below the standard risk.
(B) If the percentage for the admitted disability insurer's risk experience rating factor for gender is more than five percent (5%) below or for age is more than ten percent (10%) below or for wage distribution is more than seven percent (7%) below the percentage for that corresponding factor in the standard risk for a calendar year, good cause shall exist for the director to terminate approval of all plans of such admitted disability insurer which continue in effect on January 1 of that calendar year and for which information is not included as of January 2 of that calendar year in the current tabulation. For example, if the standard risk for gender for a calendar year were 38.61 percent the insurer's risk experience rating for gender shall be at least 36.68 percent, which is 5 percent below the standard risk and a rating of 36.67 percent or lower for gender would result in termination of approval under this subdivision.
(C) If an admitted disability insurer has a plan which is subject to termination of approval under paragraph (B) of subdivision (l)(1) of this section, and also has additional plans which continue in effect on January 1 of any calendar year for which information is included as of January 2 of that calendar year in the current tabulation, such additional plans shall conform to each of the requirements of subdivision (g)(1) of this section in accordance with subdivision (g)(3) of this section, considering such additional plans only individually or together as a group of plans. If such additional plans considered together as a group of plans do not conform to each of such requirements, good cause shall exist for the director to terminate approval of all of such additional plans of such admitted disability insurer which do not conform individually to each of such requirements.
(2) The director shall, not later than 65 days prior to the effective date of a termination of approval, give to the admitted disability insurer and to the employer or the employer and employee group a notice of termination of approval of all plans of such admitted disability insurer for which approval is terminated under paragraphs (B) and (C) of subdivision (l)(1) of this section, or a prompt notice to the admitted disability insurer that approval is not terminated.
(3) The employer or employee group with the consent of and through the admitted disability insurer or the admitted disability insurer may, within 30 days of the mailing of a notice of termination of approval under paragraph (B) of subdivision (l)(1) of this section, submit for a plan or a group of plans for which approval is terminated, the information required in paragraphs (C), (D), and (E) of subdivision (f)(1) of this section for any payroll period ending in the month in which information is submitted or in the immediately preceding three calendar months, or information as permitted by and for a period comparable to that provided by subdivision (f)(3) of this section.
(4) The employer or employee group with the consent of and through the admitted disability insurer or the insurer may, within 30 days of the mailing of a notice of termination of approval under paragraph (C) of subdivision (l)(1) of this section, request reconsideration for a plan or a group of plans on the basis of the applicable information removed from the tabulation as a result of the termination of approval.
(5) The director shall promptly after the receipt of information submitted under subdivision (l)(3) of this section or of a request for reconsideration under subdivision (l)(4) of this section, or both, cancel any termination of approval of a plan or a group of plans reconsidered, or resubmitted, if such plan or plans conform to each of the requirements of subdivision (g)(1) of this section in accordance with subdivision (g)(3) of this section, considering such plan or plans only individually or together as a group or together with plans for which information is included in the current tabulation and adjust the admitted disability insurer's tabulation by adding the applicable information, or shall promptly confirm his or her termination of approval. The director shall, not later than 25 days prior to the effective date of a termination of approval, give a notice of cancellation or confirmation of the termination of approval to the admitted disability insurer and to the employer or the employer and employee group.
(6) The director may for good cause extend the time within which current information may be submitted under subdivision (l)(3) of this section or within which reconsideration may be requested under subdivision (l)(4) of this section. The director may change or stay the effective date of any termination of approval under this section.
NOTE

Authority cited: Sections 305, 306, and 2602, Unemployment Insurance Code. Reference: Sections 3254 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 4-13-62 as an emergency; designated effective 4-24-62 (Register 62, No. 7).
2. Certificate of Compliance--Section 11422.1, Government Code, filed 5-29-62 (Register 62, No. 11).
3. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14). 
4. Amendment of section and new tables 1-3 filed 11-20-2008; operative 11-20-2008 pursuant to Government Code Section 11343.4 (Register 2008, No. 47).
Examples Related to Standards for Approval -- Admitted Disability Insurer
TABLE 1

View Graphic
Example: Insurer Application #1
TABLE 2

View Graphic
Example: Insurer Application #2
TABLE 3

View Graphic
§3257-1. Application for Approval of Blanketing-In.
Note     •     History

When 85 percent of the eligible employees have consented, in writing or by electronic mail, at the employee's option, if electronic means are available, to be covered under a voluntary plan, the employer, or 75 percent of the employees who have consented to the plan, may elect to have the plan apply to all employees when the following provisions have been met:
(a) If the form of the notice to be posted and circulated, the written notice form and written statement form to new employees have previously been approved by the department:
(1) The notice to the department of such election by the employer or 75 percent of his or her employees shall be filed not later than the effective date, which time may be extended by the department not to exceed a period of seven (7) days, provided the insurer, or self-insurer, submits evidence of assumption of the risk as of the effective date.
(2) Such notice shall contain a certification by the employer that:
1. On                        there were a total of                                 eligible                    (Date) employees in employment of which                               consented in writing or by electronic mail, at the employee's option, if electronic means are available.
2. A notice approved by the department has been or will be posted and circulated on                                                          for the attention of all                                         (Date)

employees who have not previously consented in writing or by electronic mail, at the employee's option, if electronic means are available, to the plan, and that they will be deemed to have elected coverage on
______________________________________
         (Date)         

except those who have rejected in writing. The notice has been or will be posted at such places on the premises of the employer that are usually used to post information for the employees.
3. All new eligible employees employed after the date plan deemed applicable to all will be furnished with such written notice form and written statement form, and all such employees will be covered by the plan except those rejecting in writing.
4. The consent records in (2)1. above and rejection records in (2)2. and 3. above will be maintained for inspection by the department for a period of four (4) years unless in a particular case a shorter period of time is approved by the department.
(b) If the form of notice to be posted and circulated, the written notice form and written statement form to be given new employees have not been approved by the department:
(1) The form of notice and forms to be used for new employees shall be submitted in advance of the effective date. After approval by the department, the employer can post such notices in the manner set forth in (2)2.
(c) If the notice to the department is filed by 75 percent of the employees, it must contain the information required under (a)(2)1., 2., 3. and 4. and, in addition, contain the certification that at least 75 percent of the employees who have consented desire to have the plan apply to all.
(d) Coverage may commence for any employee who withdraws his or her notice of rejection and applies for coverage under the plan under any of the following provisions:
(1) Upon the first day of the calendar quarter immediately after the employee has elected coverage; or
(2) Upon the first day of the calendar quarter immediately after the employee has elected coverage and thereafter completed a period of employment of three (3) months or less; or
(3) At some determinable date not later than the date specified in (2).
(e) When the provisions of Section 3257 of the code are invoked, the eligibility provisions of the plan shall be amended to provide that new employees are covered immediately on their employment, unless coverage is rejected in writing.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 3257, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
2. Amendment of subsections (a)(1) and (d) filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Amendment of first paragraph, subsections (a)(2)1., (a)(2)2. and (a)(2)4. and Note filed 3-9-2000; operative 4-8-2000 (Register 2000, No. 10).
§3258-1. Self-Insured Plans--Security.
Note     •     History

(a) The security required of a self-insurer shall be in the form of a cash deposit, bearer bonds issued or guaranteed by the United States of America, or issued by this State or the bond of an admitted surety insurer. The amount of the security in excess of the minimum required by the code shall be determined by the department upon the basis of the number of employees involved, the size of the pay roll, the class of risks contemplated, the financial standing of the employer and any additional factors which the department may deem proper. The department may at any time re-evaluate the amount of security to ascertain whether the amount is adequate to meet the obligations of the self-insured plan.
(b) The security provided for in this section shall be applied by the department to the payment of any unpaid obligations under the plan. Upon withdrawal of a self-insured plan pursuant to Section 3254(g) or Section 3255(g) of the code, or upon termination of a plan pursuant to Section 3262-1 of these regulations, the department shall retain the security theretofore deposited. Upon the withdrawal or termination of the self-insured plan, the department may retain the security for up to 36 months after termination/withdrawal of the plan, to ensure that all benefit claims have been paid in accordance with the code. During the retention period, the department may collect the unpaid amount of any assessment against the employer out of the security on deposit, or may demand payment from the surety insurer. Any security remaining after payment shall be returned to the employer or his or her legal representative or his or her assignee. The surety insurer which pays the amount demanded shall thereupon be discharged of its obligation under the bond. The department may make a partial return of the security at an earlier date if it finds that the security is in excess of that required.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 3254, 3255 and 3258, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
2. Amendment of subsection (b) filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Amendment of subsection (b) filed 11-9-2004; operative 12-9-2004 (Register 2004, No. 46).
4. Amendment of subsection (b) and Note filed 9-26-2008; operative 10-26-2008 (Register 2008, No. 39).
§3258-2. Letter of Credit.
Note     •     History

(a) An irrevocable standby letter of credit may be accepted by the Director of the Employment Development Department (Director) as all or part of the security deposit for a voluntary plan employer (employer). An irrevocable standby letter of credit is a letter of credit that represents an obligation on the part of the issuing bank to a designated beneficiary contingent upon the failure of the issuing bank's customer to perform under the terms of the underlying contract with the beneficiary. The letter of credit obligates the bank to guarantee or stand as surety for the benefit of a third party. The employer shall be responsible to accurately complete and sign a form, the same or similar to, the “Model, Letter of Credit”, herein incorporated by reference.
(b) Irrevocable letters of credit shall be issued by and payable at any branch of the issuing bank or savings institution in the continental United States, Alaska or Hawaii. The issuing bank or savings institution may be:
(1) A State of California chartered bank or savings institution; or
(2) A federally chartered bank or savings institution; or
(3) Any other foreign or domestic bank or savings institution; or
(4) A group (syndication) of domestic or foreign banks or savings institutions.
(c) The Director shall provide a standard format and language in a document titled “Model, Letter of Credit” incorporated by reference and referred to above in subsection (a) that will meet the requirements for acceptance by the Department. The letter of credit shall include, but not be limited to, the following provisions:
(1) The letter of credit will be automatically extended without amendment for an additional one year from the expiration date or any subsequent expiration date unless at least 60 days before the expiration date, the Director is notified in writing by the bank or savings institution that the letter of credit will not be renewed.
(2) The letter of credit can be called by the Department if any of the following events occur. The employer:
(A) Fails to pay its voluntary plan liabilities;
(B) Files bankruptcy;
(C) Fails to provide proof of renewal or acceptable substitute security with the Employment Development Department by 30 days prior to the expiration date of the letter of credit;
(D) Fails to renew or substitute acceptable security for the six quarter period following the withdrawal of a self-insured plan pursuant to Section 3254(g) or Section 3255(g) of the code, or upon termination of a plan pursuant to Section 3262-1 of these regulations.
(3) The letter of credit is not subject to any qualification or condition by the issuing or confirming bank or savings institution and the bank or savings institution's individual obligation is in no way contingent upon reimbursement.
(4) Payment of any amount under the letter of credit shall be made only by wire transfer in the name of “The Employment Development Department in Trust for (the legal name of the employer)” to an account of the State Treasurer, State of California, at a designated bank.
(5) All letters of credit shall include a statement that if legal proceedings are initiated by any party with respect to the payment of any letter of credit, it is agreed that such proceedings shall be subject to the jurisdiction of California courts and administrative agencies and subject to California law.
(6) Letters of credit shall be subject to the Uniform Customs and Practice for Documentary Credits, 1993 Revision ICC Publication No. 500, herein incorporated by reference and a reference to this publication will be included within the text of the letter of credit.
(7) Wire transfer fees and discrepancy fees, if any, shall be payable by the employer.
(d) A syndicated letter of credit shall include all the language of the single bank issued letter of credit and, in addition:
(1) Authorize all demands for payment to be presented at a designated branch (“agent bank”) of one of the participating banks or savings institutions;
(2) Include a draft to be presented for payment of all or part of the credit available under the letter of credit;
(3) Permit any participating bank's portion of the total credit available to be drawn upon if the participating bank's credit rating falls below the acceptable credit rating level specified in subsection (e) of this section; and
(4) State that the obligations of the banks or savings institutions issuing a syndicated letter of credit are several and not joint, and neither the agent bank or savings institution or any other participating bank or savings institution shall be responsible for or otherwise liable  for the failure of any other participating bank or savings institution to perform its obligations under the syndicated letter of credit. The failure of any participating bank or savings institution to perform its obligations under the syndicated letter of credit shall also not relieve any other participating bank or savings institution of its obligations under the syndicated letter of credit.
(e) The issuing bank(s) or savings institution(s) or the parent holding corporation of an unrated bank or savings institution issuing a letter of credit shall have at the time of issuance of the letter of credit an acceptable credit rating as set forth below:
(1) An “Aaa”, “Aa” or “A” long term certificate of deposit (CD) rating for the bank or savings institution in the current monthly edition of “Moody's Statistical Handbook” prepared by Moody's Investors Service, Inc., New York; or
(2) An “AAA”, “AA” or “A” long term certificate of deposit (CD) rating for the bank or savings institution in the current quarterly edition or monthly supplement of “Financial Institution Ratings” prepared by Standard & Poors Corporation, New York; or
(3) An “AAA”, “AA+” or “AA” credit quality rating for the issuing financial institution along with a CD/Debt Credit Limit Code above the dollar amount of the letter of credit as well as a Credit Limit Maturity Code of “a, b, c, or d” in the current annual edition of “GFI Credit Ratings”, or the latest monthly “GFI Bank Letter” supplement thereto.
(4) Federally chartered instrumentalities of the United States operating under authority of the Farm Credit Act of 1971, as amended are not rated, but are acceptable.
(f) A letter of credit issued by a bank or savings institution or syndication of banks or savings institutions that does not meet the credit rating set forth in subsection (e) at the time of issuance shall be accepted by the Director with a confirming letter of credit issued by a bank or savings institution meeting the criteria of subsection (e). The confirming letter of credit shall state that the confirming bank or savings institution is primarily obligated to pay on demand the full amount of the letter of credit regardless of reimbursement from the bank or savings institution whose letter of credit is being confirmed.

Note: Advising letters of credit shall not be accepted in lieu of the confirmation requirement for the letter of credit bank with an unacceptable credit rating.
(g) If a bank or savings institution's rating subsequent to the issuance of the letter of credit falls below the acceptance rating level as set forth in subsection (e), the Director shall, within 60 days of the publication of the lower credit rating, require the employer to:
(1) Replace the letter of credit with a new letter of credit issued by a bank or savings institution with an acceptable credit rating; or
(2) Confirm the letter of credit by a bank or savings institution with an acceptable rating.

Note: At the end of 60 days, the Director shall draw upon the letter of credit bank's share of participation in the syndication if the affected letter of credit bank's portion of syndicated letter of credit has not been replaced or confirmed.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 3258, Unemployment Insurance Code; Statutes of 1994, chapter 960, section 4, AB 3320.
HISTORY

1. New section filed 5-31-95 as an emergency; operative 5-31-95 (Register 95, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-28-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-31-95 order including amendment of subsections (a) and (e)(3) transmitted to OAL 9-20-95 and filed 11-1-95 (Register 95, No. 44).
3. Amendment of subsection (c)(2)(D) filed 11-9-2004; operative 12-9-2004 (Register 2004, No. 46).
§3259-1. Refunds of Employee Contributions Recoverable from Voluntary Plans.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sections 3259 and 3266, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
2. Repealer filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
§3260-1. Disposition of Excess Employee Contributions by Voluntary Plans.
Note     •     History

(a) The amounts deducted by an employer from the wages of his or her employees as their contributions under a voluntary plan are trust funds. They may be used only for the purpose of providing benefits to the employee group covered by the voluntary plan and paying any assessments made by the department under the code and this part in connection with the voluntary plan. No part of such employee contributions or income resulting therefrom may be diverted to the employer's own use or profit.
In the case of a plan insured by an admitted disability insurer, any accumulated excess of such employee contributions over and above the net cost of premiums, after premium dividends or experience rate credits, and assessments made by the department in connection with the plan, must inure to the benefit of the employee group covered by the plan commensurate with their contributions or in an otherwise fair and equitable manner.
In the case of a self-insured plan, any accumulated excess of such employee contributions over and above the amount needed to provide benefits, including a reasonable reserve for future claims, assessments made by the department in connection with the plan, and direct costs of administration of the voluntary plan, must inure to the benefit of the employee group covered by the plan commensurate with their contributions or in an otherwise fair and equitable manner.
Methods of using excess voluntary plan funds which are commensurate with contributions, or fair and equitable, would include but is not limited to the following examples, including percentages and amounts contained therein.
EXAMPLE 1
All employees contribute at a rate of 1.0%.  The excess voluntary plan funds are used to reduce that rate to .7% for all employees.
EXAMPLE 2
Two classes of employees are distinguished.  Class A contributes at a rate of 1.0%.  Class B contributes at a rate of .8%.  A rate reduction of 25% for each class would be allowable, resulting in Class A contributing at .75% and Class B at .6%.  It would not be allowable to reduce the rate by an equal amount, such as .2%, for each class.  That would yield a .8% rate, or 20% contribution reduction for Class A and a .6% rate, or 25% contribution reduction for Class B.
EXAMPLE 3
During a one year period, an excess of $50,000 accumulates in a plan in which contributions totaled $100,000.  A refund to each employee of 50% of the amount he/she contributed in that year would be allowable.
EXAMPLE 4
All employees are paid a benefit equal to 55% of their current wage to a weekly maximum of $400.  To distribute excess funds, a 10% increase in the benefits that each employee receives would be allowable.  It would also be allowable to increase the benefit calculation to 65% of current wage, and increase the weekly maximum of $473 for each employee. 
EXAMPLE 5
Two classes of employees, who contribute at the same rate, are distinguished.  Class A, those employees with more than five years of service, receive a regular benefit equal to 65% of current wage with no weekly maximum.  Class B, those employees with less than five years of service, receive a regular benefit equal to 55% of current wage with no weekly maximum.  Using excess contributions to provide a 10% increase for each class would be allowable, resulting in Class A now receiving 71.5% of current wage and Class B now receiving 60.5% of current wage.
COMMENT:
In a situation where all employees receive a regular benefit of 60% of current wage with no weekly maximum, it would not be allowable to use excess contributions to add $20 per week to each benefit amount.  Under this method, employees whose regular benefit is $50 would then receive $70 per week, realizing a 40%  benefit increase. Employees whose regular benefit is $500 would then receive $520, realizing only a 4% increase.  The disparity between the percentages of benefit increase is neither commensurate with contributions nor fair and equitable.
EXAMPLE 6
A  voluntary plan, which has been operating for six years, began accumulating an excess beginning in the fourth year of operation.  Employees have always contributed at the same rate.  A health insurance policy covers all employees at a cost of $140 per month per person, shared equally between the employer and the employee.  The employer proposes to use excess voluntary plan contributions to defray part of the employee cost for the health care policy for a one-year period.  The proposal relieves each employee of his or her obligation at a rate of $20 per month for each full calendar year of service during the three years that the excess accumulated.  Service for any partial calendar year during the same three-year period would reduce the employee's obligation by $10 per month.   With the consent of the majority of the employees, this would be allowable.
EXAMPLE 7
Two classes of employees are distinguished.  The voluntary plan contribution total for each class is determined for the previous year by adding individual contributions as reflected on the W2 forms.  Class A, employees who have more than two years with the company, will be provided with life insurance, using excess voluntary plan contributions.  Class B, employees who have less than two years with the company, will receive a rebate from the excess voluntary plan contributions.  If the amount of excess used for the life insurance and for the rebate is proportionate to the total contributions of each class, as determined by the W2 forms, this use would be allowable.
EXAMPLE 8
Two classes of employees are distinguished.  The employer keeps separate records on income and expenses for each class.  After disbursements in a given year, the amount of excess remaining from Class A contributions is $30,000.  After disbursement in the same year, there is no excess remaining from Class B contributions.  It is allowable to use the $30,000 excess to benefit only Class A employees.
An employer may use any one of the following methods, or combination thereof, to dispose of any such accumulated excess, provided that method No. 4 may be used only upon the consent of a majority of the employees covered by the plan at the time of the disposition.  Consent of the majority of the employees at the time of disposition shall mean that the employer shall secure employee consent within 60 days prior to the date the disposition of funds begins.
(1) Reduce or waive payroll deductions for a sufficient period to dispose of the excess.
(2) Refund the excess to the employees covered by the voluntary plan in a fair and equitable manner as approved by the department.
(3) Increase disability benefits under the plan either temporarily or permanently.
(4) Apply such excess to the purchase of other employee benefits for the employees covered by the voluntary plan such as group life, hospital, or medical insurance.
(b) In the case where the employer advances a portion of the cost of benefits under a voluntary plan (including any benefits in addition to wage loss indemnity which may be “packaged” therewith), in the absence of any representation or agreement to share a definite portion of such costs, the amount of any premium dividend, experience rate credit or other excess available for distribution may be applied by the employer to offset the amount he or she has advanced and the remainder applied to the benefit of such employee group as herein above provided. If, however, the employer by representation or agreement has undertaken to bear a certain share of the cost of the plan, the employer may recover from such premium dividend, experience rate credit or other excess available for distribution only such portion thereof as his or her share of the original contribution bore to the total contributions, and the remainder must be applied to the benefit of such employee group as herein above provided.
(c) If the amount of excess employee contributions held by an employer at any one time is so small that any of the foregoing methods of disposition is impracticable, the amount may be carried over to a future period to add to any additional accruals until there is a sufficient amount to permit the use of any of the foregoing methods.
(d) A self-insurer may, with prior approval of the department, invest trust funds of the self-insured plan in securities which a savings bank may legally purchase under Chapter 9 of Division 1 of the Financial Code or which a commercial bank may legally purchase under Article 4 of Chapter 10 of Division 1 of the Financial Code.
(e) Failure to comply with the provisions of this section shall be good cause for termination of a voluntary plan. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 3260, 3260.5 and 3261, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
2. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
3. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
4. Amendment of subsections (a) and (a)(4) and Note filed 11-22-93; operative 12-22-93 (Register 93, No. 47).
5. Amendment of subsections (d)-(e) and amendment of Note filed 11-9-2004; operative 12-9-2004 (Register 2004, No. 46).
§3261-1. Maintenance of Excess Employee Contributions by Voluntary Plans.
Note     •     History

(a) All employee contributions received by an employer under an approved voluntary plan and income arising from the employee contributions are trust funds. These funds are not part of the employer's assets and must be identified as an asset belonging to the employees covered under the voluntary plan. The employee trust funds shall be maintained in a financial institution as defined in § 4981(a)(2) of the California Financial Code, in an account opened in the name of the voluntary plan employer; the account must show the monies deposited as, “Employee CUIC 3261 Trust Monies.” The term financial institution means a depository institution that can be any one of the following:
(1) Any insured bank as defined in § 3 of the Federal Deposit Insurance Act (12 U.S.C. § 1811 et seq.) or any bank which is eligible to make application to become an insured bank under § 5 of the act.
(2) A mutual savings bank as defined in § 3 of the Federal Deposit Insurance Act (12 U.S.C. § 1811 et seq.) or any bank which is eligible to make application to become an insured bank under § 5 of the act.
(3) A savings bank as defined in § 3 of the Federal Deposit Insurance Act (12 U.S.C. § 1811 et seq.) or any bank which is eligible to make application to become an insured bank under § 5 of the act.
(4) An insured credit union as defined in § 101 of the Federal Credit Union Act (12 U.S.C. § 1751 et seq.) or any credit union which is eligible to make applications to become an insured credit union pursuant to § 201 of that act.
(5) Any member as defined in § 2 of the Federal Home Loan Bank Act (12 U.S.C. § 1421 et seq.).
(6) Any savings association as defined in § 3 of the Federal Deposit Insurance Act (12 U.S.C. § 1811, et seq.) which is an insured depository institution as defined in the act or is eligible to apply to become an insured depository institution under the act.
An insured voluntary plan employer shall only transmit to the admitted disability insurer voluntary plan trust funds, including earned interest or income, in amounts necessary to pay the premiums charged by the admitted disability insurer. Any accumulated excess employee contributions over and above the net cost of premiums, after premium dividends or experience rate credit shall be maintained in a depository institution.
(b) All employee contributions received by an employer under an approved voluntary plan shall be deposited in the account described in Section 3261-1 (a) by the same date that employee federal personal income tax withholdings are due.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 3261, Unemployment Insurance Code.
HISTORY

1. New section filed 11-9-2004; operative 12-9-2004 (Register 2004, No. 46).
§3262-1. Termination of a Voluntary Plan.
Note     •     History

(a) The Director of Employment Development may terminate any voluntary plan if there has been a failure to comply with the terms and conditions of the plan such as substantial failure to pay benefits promptly when due; or, in the case of an insured plan, upon notification of the termination of the policy of insurance; or that fewer than a majority of the admissible employees remain covered by the plan; or for other good cause. The notice of intention to terminate a plan shall include a statement of the right to appeal to the Appeals Board. The notice shall state the effective date and the reason for the termination. Contributions with respect to wages paid on or after the date of termination shall be paid to the Disability Fund in accordance with the provisions of Sections 2901-2903 of the code.
(b) All employee monies maintained in the account described in Section 3261-1 of these regulations and, in addition, monies paid by the employer, money owed to the voluntary plan by the employer, but not yet paid to the plan, and any interest accrued on all these monies, shall be remitted to the department on the effective date of the termination of the voluntary plan as provided in subdivision (a). The monies received by the department will be deposited into the Disability Fund.
(c) The claim documents and payment records of individuals whose payments were affected by subdivision (b) shall be forwarded to the department on the effective date of the termination of the voluntary plan.
(d) Disability benefits, with respect to disabilities which commenced prior to the termination date for which proper payment had not been made under the voluntary plan, shall be paid from the Disability Fund in accordance with Part 2 (commencing with Section 2625) of the code to otherwise eligible individuals previously covered by the plan. These payments shall be recovered from the monies remitted to the department in accordance with subdivision (b), Section 3262 of the code, or by assessments as provided in Sections 1126-1136 of the code.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 3262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
2. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Amendment of section heading and section filed 11-9-2004; operative 12-9-2004 (Register 2004, No. 46).
§3262-2. Appeals Board Decision of Department Termination of Voluntary Plan.
Note     •     History

(a) When the Appeals Board decision is sent to an appellant from an appeal filed in accordance with subdivision (e), Section 3262 of the code, one of the following actions shall be implemented:
(1) If the Appeals Board affirms the termination of the voluntary plan, the department shall continue the payments described in subdivision (d) of Section 3262-1 of these regulations, or
(2) If the Appeals Board reverses the department's termination of the voluntary plan, the department will return the claim documents described in subdivision (c) of Section 3262-1 of these regulations to the employer. The department will provide the employer, employee group, or insurer with a statement describing the payments issued under subdivision (d) of Section 3262-1 of these regulations. The department's payments shall be recovered from the monies remitted to the department in accordance with subdivision (b), Section 3262 of the code. All remaining monies, if any, shall be returned to the employer and any employee monies shall be re-deposited into the account created in accordance with Section 3261-1 of these regulations.
(b) If the department is unable to recover the full amount of payments issued under subdivision (d) of Section 3262-1 of these regulations from the monies remitted to the department, recovery will be sought against the employer or insurer. The Director of Employment Development shall assess the employer or insurer for payments that have not been recovered from the employer or insurer.
NOTE

Authority cited: Sections 301, 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 11-9-2004; operative 12-9-2004 (Register 2004, No. 46). For prior history, see Register 96, No. 30.
§3264-1. Denials of Benefits to Claimants Under Voluntary Plans.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 3264, Unemployment Insurance Code.
HISTORY

1. Amendment filed 3-14-66; designated effective March 24, 1966 (Register 66, No. 7).
2. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§3266-1. Refunds to Employees--Voluntary Plan Portion.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Sec. 3266, Unemployment Insurance Code.
HISTORY

1. New section filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
2. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
3. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§3266-2. Refunds to Employees--Assessment Factor for Voluntary Plan Portion.
History

HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§3266-3. Refunds to Employees--Assessment for Voluntary Plan Portion.
History

HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§3267-1. Reports from Voluntary Plans.
Note     •     History

(a) Employers whose employees are participating in approved voluntary plans or the insurer under an approved voluntary plan shall, within 15 days after the receipt of a first claim for disability or Family Temporary Disability Insurance benefits, report to the department on a form prescribed by the department of such claim, except where a claim has been made under an approved self-insured plan and the uninterrupted period of disability or family care leave of such claim does not exceed the waiting period prescribed for benefits from the Disability Fund under subdivision (b) of Section 2627 and subdivision (b) of Section 3303 of the code. The initial report shall include information specified in paragraphs (1) through (10) of this subdivision. The employer or insurer under an approved voluntary plan shall, within 35 days after final payment for each period of disability or family care leave, give to the department a final report of the claim on a form prescribed by the department. The final report shall include, but not limited to, the information specified in paragraphs (1) through (15) of this subdivision. If the uninterrupted period of disability or family care leave does not exceed two weeks, the notice of a first claim and the final report may be combined in a single report. The information applicable to the initial report and final report is as follows: 
(1) The claimant's name; 
(2) The claimant's social security account number; 
(3) The claimant's mailing address; 
(4) The claimant's sex; 
(5) The claimant's date of birth; 
(6) The date upon which the claimant's disability or family care leave began; 
(7) The diagnosis by the claimant's physician or practitioner only when the claim is for the claimant's disability;
(8) When the claim is for family care leave, whether the claim is to: 
(A) Provide care for a seriously ill family member; or
(B) Bond with a new child;
(9) The care recipient's name and date of birth when the claim is for family care leave;
(10) The name and telephone number of the person completing the report.
(11) The period compensated for days of disability or family care leave benefits;
(12) The total amount of basic and additional benefits paid for the disability or family care leave;
(13) The last day for which payment was made;
(14) The reason for ceasing payments; and
(15) Such other information as the department may require for establishing appropriate benefit amounts for each claim for disability or family care leave benefits.
(b) Each insurer of one or more voluntary plans shall, not later than the thirty-first day of May of each year, file with the department a statement on a form prescribed by the department showing, separately from other business, premiums, losses, and expenses pertaining to its voluntary plan insurance for the preceding calendar year. The requirement of this subdivision shall be satisfied by furnishing the department, within the required time, a copy of the report filed with the Insurance Commissioner which contains such information, separately from other business, pertaining to such voluntary plan insurance.
(c) Each insurer of one or more voluntary plans shall furnish to the department a notice of each premium dividend paid to a policyholder under  an approved voluntary plan in every case in which employees covered by the plan are required to contribute any amount of the cost of the plan. The notices shall be filed with the department either within 30 days after the premium dividend is paid, or on or before the fifteenth day of the month next succeeding the month in which any such dividends are paid, whichever date is later. As used in this subdivision, “premium dividend” means any cash payment or credit to an employer or other policyholder under a voluntary plan which represents a premium refund and includes any experience refund, experience rate credit, retrospective rate adjustment based on experience, or other factor.
(d) Employers with approved voluntary plans in filing their quarterly contribution returns and wage reports shall, on such wage reports, list separately (1) employees covered by the voluntary plan, (2) employees not covered by the voluntary plan whose wages continue to be subject to contributions to the Disability Fund, with separate totals of the amount of wages of each group.
NOTE

Authority cited: Sections 305, 306 and 3267, Unemployment Insurance Code. Reference: Sections 140.5, 2627 and 3267, Unemployment Insurance Code.
HISTORY

1. Amendment filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
2. Amendment filed 11-4-61; designated effective 11-14-61 (Register 61, No. 22).
3. Amendment filed 11-20-67; designated effective 11-30-67 (Register 67, No. 47).
4. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
5. Amendment of subsection (a) and Note filed 3-9-2000; operative 4-8-2000 (Register 2000, No. 10).
6. Amendment of subsection (a), new subsections (a)(1)-(15) and amendment of and Note filed 9-26-2008; operative 10-26-2008 (Register 2008, No. 39).
§3267-2. Self-Insured Plans--Reports.
Note     •     History

(a) On or before the forty-fifth day following the close of each calendar year during which a self-insured plan is in effect for all or part of the year, and for the period of time during which the security deposit described in Section 3258-1 of these regulations is retained by the department, the employer or group of employees shall furnish the department with information to include, but not limited to, the following:
(1) The amount of plan funds in the trust account at the beginning and end of the calendar year;
(2) The amount of disability and Family Temporary Disability Insurance benefits paid during the calendar year;
(3) All other proper charges as defined by subdivision (b) of this section during the calendar year;
(4) The name and address of the financial institution where the plan funds are held, and
(5) Such other information as the department may require with respect to the financial ability of the self-insurer to meet his or her obligations under the plan.
The 45-day period for filing the statement may be extended by the department for a period not to exceed an additional 30 days if good cause is demonstrated in a written request within the 45-day period. Failure to comply with the requirements of this section will be cause for termination of the voluntary plan.
(b) Funds expended for the payment of salaries, medical examination fees, guarantee bond premiums, office supplies, postage, taxes and insurance, and other reasonable expenses arising from the administration of the self-insured plan are proper charges against the plan funds.
(c) Whenever the Director of Employment Development withdraws approval of a voluntary plan at the employer's request or terminates a plan for  good cause, the employer or group of employees shall, at the discretion of the director, continue to furnish the reports described in subdivision (a) of this section for the same period the department retains the security described in Section 3258-1 of these regulations.
NOTE

Authority cited: Sections 305, 306 and 3267, Unemployment Insurance Code. Reference: Sections 140.5 and 3267, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Amendment of subsections (a)-(a)(5), new subsection (c) and amendment of and Note filed 9-26-2008; operative 10-26-2008 (Register 2008, No. 39).
§3268-1. Information Furnished by the Department to Voluntary Plans.
Note     •     History

(a) The department upon the request of an employer or insurer under an approved voluntary plan shall, not later than 10 days after receipt of such request, furnish to such employer or insurer the weekly rate and maximum amount of disability benefits which would be payable for the disability benefit period under Part 2 of the code if the individual were not covered by the voluntary plan. The department may furnish to the insurer, under an approved voluntary plan, the amount of wages or wage-earner deductions of the employees of an employer under an approved voluntary plan as shown by the records of the department for any period covered by the voluntary plan. Information shall be furnished upon request to any individual covered by the voluntary plan with respect to his or her disability benefit period, weekly rate and maximum benefits were he or she not under the voluntary plan.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 3268, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
§3269-1. Cost of Administering Voluntary Plans.
History

HISTORY

1. Repealer filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21). See history note to § 125-1.
§3271-1. Adjustments in Provisions of Voluntary Plans.
Note     •     History

(a) As set forth in Section 3271 of the code approval of the department shall be requested and such approval shall be given only if the department finds that a majority of the employees covered by the plan, or all of the employees covered by the plan who are adversely affected by the amendment, have consented in writing to the modification and that the plan after such modification will continue to meet the requirements of the code. If the procedure set forth in Section 3271 of the code is followed, approval of the department shall be obtained and such approval shall be given only if the plan after such modification will continue to meet the requirements of the code and of these regulations.
(b) When the plan is amended pursuant to any subdivision of Section 3271 of the code, the notice of amendment distributed to the covered employees must include notification of their right to withdraw from the plan as of the effective date of such amendment. Such withdrawal shall be effected by written notice to the employer not later than 10 days after the effective date.
NOTE

Authority cited: Sections 305, 306 and 2602, Unemployment Insurance Code. Reference: Section 3271, Unemployment Insurance Code.
HISTORY

1. New section filed 11-29-57; designated effective 12-9-57 (Register 57, No. 21).
2. Amendment filed 12-22-59; designated effective 1-1-60 (Register 59, No. 22).
3. Amendment filed 9-5-61; designated effective 9-15-61 (Register 61, No. 18).
4. Amendment filed 3-14-66; designated effective 3-24-66 (Register 66, No. 7).
5. Amendment filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
Chapter 7. Family Temporary Disability Insurance
§3301(a)-1. Family Temporary Disability Insurance -- Right to Benefits.
Note     •     History

The right to benefits pursuant to Division 1, Part 2, Chapter 7 (commencing with Section 3300) of the code does not provide leave rights or any form of job protection. 
EXAMPLE 1. Claimant A works for a small business with 15 employees. Claimant A notifies his employer that he will be unable to report to work due to the need to provide care for his seriously ill parent. He advises the employer that he will claim Family Temporary Disability Insurance benefits. The employer informs Claimant A that he cannot guarantee a position with the company will be available when Claimant A returns. 
Claimant A establishes a claim for Family Temporary Disability Insurance benefits and receives three weeks of benefits. Claimant A returns to work and is informed by his employer that a position with the company is not available. Although Claimant A received Family Temporary Disability Insurance benefits, his employer was not obligated to retain him as an employee with the company. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 3301, Unemployment Insurance Code. 
HISTORY

1. New chapter 7 (sections 3301(a)-1--3306(b)-1) and section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
§3301(d)-1. Twelve-Month Period Defined.
Note     •     History

(a) Any “12-month period,” means the 365 consecutive days beginning with the first day from which the individual first establishes a valid claim for Family Temporary Disability Insurance benefits. 
EXAMPLE 1. Claimant A establishes a claim for Family Temporary Disability Insurance benefits beginning November 17, 2004. Claimant A serves a seven-day waiting period November 17 through November 23 and receives six weeks of benefits through January 4, 2005. Claimant A returns to work through May 31, 2005. Claimant A establishes a claim for benefits requesting additional Family Temporary Disability Insurance benefits beginning June 1, 2005. 
Claimant A is ineligible for additional benefits because the maximum amount of six weeks of benefits was paid in full during the 365 days beginning November 17, 2004. Claimant A is not eligible for any further benefits until a new 12-month period can be established which could not be earlier than November 17, 2005. 
EXAMPLE 2. Claimant B establishes a claim for Family Temporary Disability Insurance benefits beginning November 17, 2004 to provide care for her parent. Claimant B serves a seven-day waiting period November 17 through November 23 and receives three weeks of benefits through December 14, 2004. Claimant B returns to work through November 2, 2005. Claimant B requests an additional three weeks of benefits beginning November 3, 2005 to provide care for her spouse. 
Claimant B serves a seven-day waiting period November 3 through November 9 because she is providing care for a different care recipient. Claimant B is only eligible for one week of benefits, November 10 through November 16, since the 12-month period terminates on November 16, 2005. 
EXAMPLE 3. Claimant C establishes a claim for Family Temporary Disability Insurance benefits beginning November 17, 2004 to provide care for his parent. Claimant C serves a seven-day waiting period November 17 through November 23 and receives three weeks of benefits through December 14, 2004. Claimant C returns to work through November 2, 2005. Claimant C requests an additional six weeks of benefits beginning November 3, 2005 to provide care for his spouse. 
Claimant C serves a seven-day waiting period November 3 through November 9 because he is providing care for a different care recipient. He is only eligible for one week of benefits, November 10 through November 16, since the 12-month period terminates on November 16, 2005. However, Claimant C may submit a new claim for Family Temporary Disability Insurance benefits to establish a new 12-month period beginning November 17, 2005. Claimant C may receive additional benefits after serving a seven-day waiting period in the new 12-month period if his care is warranted and he is otherwise eligible. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 3301 and 3302, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
§3302-1. Family Temporary Disability Insurance Definitions.
Note     •     History

Unless the context otherwise requires, the terms used in this part relative to Family Temporary Disability Insurance benefits shall have the following meaning: 
(a) “Affidavit” means a written statement under oath made in compliance with Code of Civil Procedure sections 2012 through 2015.6 including a declaration under penalty of perjury made in compliance with Code of Civil Procedure section 2015.5. 
(b) “Authorized representative” of a claimant or care recipient means one of the following individuals who: 
(1) is the parent. 
(2) is authorized by a power of attorney or other authorization satisfactory to the department to represent or act on behalf of a claimant or care recipient who is incapable of fulfilling the requirements of filing claims for Family Temporary Disability Insurance benefits. 
(3) files with the department upon a prescribed form a duly sworn affidavit that the claimant, according to information received by the individual from the claimant's physician or practitioner, is incapable of making a claim for family temporary disability benefits, and that the authorized representative assumes the responsibility of acting on behalf of such claimant in accordance with the code and this part. 
(4) files with the department upon a prescribed form a duly sworn affidavit that the care recipient, according to information received by the individual from the care recipient's physician or practitioner, is incapable of completing his or her portion of the claim for family temporary disability benefits, and that the authorized representative assumes the responsibility of acting on behalf of such care recipient in accordance with the code and this part. 
(c) “Bond” or “bonding” with a new child means to develop a psychological and emotional attachment between a child and his or her primary care giver(s).This involves being in one another's physical presence. 
(d) “Care provider” means the family member who is providing the required care. This term is used interchangeably with “claimant.” 
(e) “Care recipient” means either of the following: 
(1) the family member as defined in section 3302 of the code who is receiving care for a serious health condition. 
(2) the minor child with whom the claimant is bonding. 
(f) “Certificate” means the signed statement of a physician, practitioner, or a registrar of a county hospital of this State, on a form prescribed by the department, containing elements described in Section 2706-2(f), except that a certificate signed by a physician licensed by and practicing in a state other than California or in a foreign country, or in a territory or possession of a country, except a duly authorized medical officer of any medical facility of the United States Government, shall be accompanied by a further certification that such physician holds a valid license in the state or foreign country, or in the territory or possession of the country, in which he or she is practicing. 
(g) “Child” means a biological, adopted, or foster child, a stepchild, a legal ward, a son or daughter of a domestic partner, or a child of a person standing in loco parentis. This definition of a child is applicable regardless of age or dependency status. 
(h) “Claimant” means an individual who has filed a claim for Family Temporary Disability Insurance benefits. This term is used interchangeably with “care provider.” 
(i) “Continued claim” means the claim, for the same care recipient within the same 12-month period, subsequent to the first or re-established claim where there is no interruption of the period for which benefits are claimed. A continued claim does not require a waiting period. 
(j) “Copy” means any written or printed material, duplicated by electronic means or photographic reproduction, which may be submitted or received by the department, claimants or other entities for purposes of collecting or transmitting information relating to a first or continued claim. 
(k) “Disability benefits” wherever used in the code means benefits payable under Part 2 of Division 1 of the code, including Family Temporary Disability Insurance benefits. 
(l) “Domestic partner” means a registered domestic partner as defined in California Family Code section 297. 
(m) “Electronic means” includes facsimile, electronic mail, Internet, or any other acceptable electronic method as determined by the department. 
(n) “Family member” means those individuals described in section 3302 of the code. 
(o) “Family Temporary Disability Insurance” means the program established to provide up to six weeks of wage replacement benefits to workers who take time off to care for a seriously ill child, spouse, parent, registered domestic partner, or to bond with a new child as of July 1, 2004. Claims for benefits cannot begin prior to this date. 
(p) “First claim” means the claim initially filed on a form prescribed by the department, containing elements described in Section 2706-2, with respect to a 12-month period of family care leave. The claimant establishes his or her 12-month period and the Department computes the weekly benefit amount and maximum benefits potentially payable. 
(q) “Form” means a hardcopy or electronic form used by the department to collect or to solicit information from and communicate information to claimants, care recipients, authorized representatives, medical providers, employers, insurance companies, and third party administrators. 
(r) “Foster care” means 24-hour care for children in substitution for, and away from, their parents or guardian. Such placement is made by or with the agreement of the State as a result of a voluntary agreement between the parent or guardian that the child be removed from the home, or pursuant to a judicial determination of the necessity for foster care, and involves agreement between the State and foster family that the foster family will take care of the child. Although foster care may be with relatives of the child, State action is involved in the removal of the child from parental custody. 
(s) “In loco parentis” exists when a person undertakes care and control of a child in the absence of such supervision by the natural parents and in the absence of formal legal approval. This includes persons with day-to-day responsibilities to care for and financially support a child. It also includes the person who had such responsibility for the employee when the employee was a child. A biological or legal relationship is not necessary. 
(t) “Mail” means deposit with the United States Postal Service or any other shipping/mailing service, addressed to the recipient's mailing address last known to the sender, with express, priority, first class or equivalent postage. 
(u) “New child” means a minor child for whom leave is taken for purposes of bonding within 12-months of the child's birth or placement with the claimant or the claimant's spouse or domestic partner. 
(v) “Parent” means a biological, foster, or adoptive parent, a stepparent, a legal guardian, or other person who stood in loco parentis to the employee when the employee was a child. A biological or legal relationship is not necessary for a person to have stood in loco parentis to the employee as a child. This term does not include a parent-in-law. 
(w) “Placement” means a change in physical custody of a child from a public agency or adoption agency into the custody of foster care or adoptive parents. 
(x) “Re-established claim” means a claim filed subsequent to a first claim within the same 12-month period. A “re-established claim” occurs when there is one of the following: 
(1) an interruption of the period for which benefits are claimed for the same care recipient for which a new waiting period is not required; or 
(2) benefits are claimed for a new care recipient for which a new waiting period is required. 
(y) “Regular wages” as used in section 2656 of the code means compensation paid entirely by an employer directly to his or her employee as a full or partial payment of his or her remuneration during a period of family care leave. 
(z) “Signature” includes a mark made in compliance with Section 14 of the Civil Code, or a digital signature affixed by any means used by the sender, accepted by the recipient, and acceptable under Section 16.5 of the Government Code and Chapter 10 of Division 7 of Title 2 of the California Code of Regulations. 
(aa) “Statement on letterhead” means any document that is provided by electronic means or in printed format that officially identifies the issuing entity, which may be a county, state, or equivalent government or private entity for purposes of providing the information described in Section 2708(c)-1 of these regulations. 
(bb) “Stepparent” means a person who is a party to the marriage with respect to a child of the other party to the marriage. 
(cc) “Vacation leave” means vested vacation time which, upon termination of employment, must be paid to the employee as wages pursuant to Labor Code section 227.3 or the applicable collective bargaining agreement. An employer policy under which paid time off is vested under Labor Code section 227.3 is considered vacation leave pursuant to section 3303.1(c) of the code regardless of the name given the leave by the employer. 
(dd) “Week” means the seven consecutive day period beginning with the first day with respect to which a valid claim is filed for benefits and thereafter the seven consecutive day period commencing with the first day immediately following such week or subsequent continued weeks of family care leave. 
(1) The term “week” for purposes of determining eligibility for Family Temporary Disability Insurance benefits when an individual's employer requires the use of earned, but unused vacation pay, shall consist of seven calendar days. If the pay period is not based on calendar days, a week shall consist of 168 consecutive hours. With respect to an individual whose wages are not paid on a weekly basis, a week shall consist of the seven-consecutive-day periods for an individual, as appropriate to the circumstances. 
(ee) “Weekly wage” as that term is used in section 2656 of the code means any remuneration earned, exclusive of wages paid for overtime work, during the last full week of work immediately preceding the claimant's first day of family care leave, except that for good cause the department may determine the “weekly wage” in any other equitable manner. 
(ff) “Writing” means the original or a copy of any form of recorded message, provided by electronic means or printed format, capable of comprehension by ordinary visual means. 
(gg) For purposes of section 140.5 of the code no individual shall be deemed eligible for Family Temporary Disability Insurance benefits for any week of unemployment unless such unemployment is due to the need for family care leave. 
(1) If an individual has been neither employed nor registered for work in any manner designated by the director for more than three months immediately preceding the beginning of a period of family care leave, he or she is not eligible for benefits unless the department finds that the unemployment for which he or she claims benefits is not due to his or her previous withdrawal from the labor market. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 140.5, 1253, 2656, 3300 and 3302, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
2. Amendment of subsection (u) filed 11-6-2008; operative 12-6-2008 (Register 2008, No. 45).
3. New subsections (a), (j), (m), (q), (t), (z)-(aa) and (ff) and subsection relettering filed 11-13-2012; operative 12-13-2012 (Register 2012, No. 46). 
§3302-2. Serious Health Condition Defined.
Note     •     History

(a) For purposes of Family Temporary Disability Insurance, “serious health condition” for which an employee may receive benefits means an illness, injury, impairment, or physical or mental condition of the care recipient that involves: 
(1) Inpatient care (i.e. an overnight stay) in a hospital, hospice, or residential medical care facility, including any period of incapacity (for purposes of this section, defined to mean inability to work, attend school or perform other regular daily activities due to the serious health condition, treatment therefor, or recovery therefrom) or any subsequent treatment in connection with such inpatient care; or 
(2) Continuing treatment by a physician or practitioner. A serious health condition involving continuing treatment by a physician or practitioner includes any one or more of the following: 
(A) A period of incapacity (i.e. inability to work, attend school or perform other regular daily activities due to the serious health condition, treatment therefor, or recovery therefrom) of more than three consecutive calendar days, and any subsequent treatment or period of incapacity relating to the same condition, that also involves: 
(i) Treatment two or more times by a physician or practitioner, or by a provider of health care services (e.g. physical therapist) under orders of, or on referral by, a physician or practitioner. 
(ii) Treatment by a physician or practitioner on at least one occasion which results in a regimen of continuing treatment under the supervision of the physician or practitioner. 
(B) Any period of incapacity due to pregnancy, or for prenatal care. 
(C) Any period of incapacity or treatment for such incapacity due to a chronic serious health condition. A chronic serious health condition is one which: 
(i) requires periodic visits for treatment by a physician or practitioner; 
(ii) continues over an extended period of time (including recurring episodes of a single underlying condition); and 
(iii) may cause episodic rather than a continuing period of incapacity (e.g. asthma, diabetes, epilepsy, etc.). 
(D) A period of incapacity which is permanent or long term due to a condition for which treatment may not be effective. The child, parent, spouse or registered domestic partner must be under the continuing supervision of, but need not be receiving active treatment by a physician or practitioner. Examples include, but are not limited to, Alzheimer's, a severe stroke, or the terminal stages of a disease. 
(E) Any period of absence to receive multiple treatments (including any period of recovery therefrom) by a physician or practitioner or by a provider of health services under orders of, or on referral by, a physician or practitioner, either for restorative surgery after an accident or other injury, or for a condition that would likely result in a period of incapacity of more than three consecutive calendar days in the absence of medical intervention or treatment, such as cancer (chemotherapy, radiation, etc.), severe arthritis (physical therapy), or kidney disease (dialysis). 
(b) Treatment for purposes of subdivision (a) of this section includes, but is not limited to, examinations to determine if a serious health condition exists and evaluations of the condition. Treatment does not include routine physical, eye, or dental examinations. Under subdivision (a)(2)(A)(ii), a regimen of continuing treatment includes, for example, a course of prescription medication (e.g. an antibiotic) or therapy requiring special equipment to resolve or alleviate the health condition (e.g. oxygen). A regimen of continuing treatment that includes the taking of over-the-counter medications such as aspirin, antihistamines, or salves; or bed rest, drinking fluids, exercise, and other similar activities that can be initiated without a visit to a physician or practitioner, is not, by itself, sufficient to constitute a regimen of continuing treatment for purposes of Family Temporary Disability Insurance. 
(c) Conditions for which cosmetic treatments are administered (such as most treatments for acne or plastic surgery) are not “serious health conditions” unless inpatient hospital care is required or unless complications develop. Ordinarily, unless complications arise, the common cold, influenza, ear aches, upset stomach, minor ulcers, headaches other than migraine, routine dental or orthodontia problems, periodontal disease, etc. are examples of conditions that do not meet the definition of a serious health condition and do not qualify for Family Temporary Disability Insurance benefits. Restorative dental or plastic surgery after an injury or removal of cancerous growths are serious health conditions provided all the other conditions of this regulation are met. Mental illness resulting from stress or allergies may be serious health conditions, but only if all the conditions of this section are met. However, in any instance where one of the above conditions satisfies the requirements of subdivision (a) above, that condition shall be deemed a serious health condition for which the claimant would be eligible to claim Family Temporary Disability Insurance benefits. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2708, 3301 and 3302, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
§3303-1. Family Temporary Disability Insurance Benefits for Bonding with a New Child.
Note     •     History

(a) An individual may be eligible for Family Temporary Disability Insurance benefits for bonding on any day in which he or she is unable to perform his or her regular or customary work because of one or more of the following: 
(1) the birth of a child of the individual or the individual's registered domestic partner. 
(2) the placement, through adoption or foster care, of a minor child with the individual or the individual's registered domestic partner. 
(b) Eligibility for benefits under this section for the birth or placement of a minor child expires at the end of the 12-month period that begins on the child's date of birth or placement. 
EXAMPLE 1. Claimant A gives birth on May 9, 2004, and does not establish a claim for either State Disability Insurance or Family Temporary Disability Insurance benefits before returning to work in January 2005. After working through March 20, 2005, Claimant A establishes a claim for Family Temporary Disability Insurance benefits beginning March 21, 2005 to bond with her new child. 
Claimant A serves a seven-day waiting period from March 21 through March 27, 2005. Claimant A may receive six weeks of Family Temporary Disability Insurance benefits from March 28 through May 8, 2005, if otherwise eligible, because the period claimed is within the 12-month period from the new child's birth. 
EXAMPLE 2. Claimant B gives birth on May 9, 2004, and receives State Disability Insurance benefits through June 19, 2004 for her pregnancy claim. She does not establish a Family Temporary Disability Insurance claim for bonding before returning to work in January 2005. After working through March 20, 2005, Claimant B establishes a claim for Family Temporary Disability Insurance benefits beginning March 21, 2005 to bond with her new child. 
Claimant B may receive up to six weeks of Family Temporary Disability Insurance benefits from March 21, 2005 through May 1, 2005, if otherwise eligible. Because Claimant B served a waiting period on her State Disability Insurance pregnancy claim, she is not required to serve an additional waiting period. 
EXAMPLE 3. Claimant C adopts a child on August 4, 2004. He serves a waiting period from August 4 through August 10, 2004, and receives five weeks of Family Temporary Disability Insurance benefits to bond with his new child from August 11 though September 14, 2004. Claimant C returns to work on September 15, 2004. After working through July 31, 2005, Claimant C re-establishes a claim for Family Temporary Disability Insurance benefits to bond with his new child commencing August 1, 2005. 
Claimant C receives benefits August 1, 2005 through August 3, 2005. A disqualification effective August 4, 2005 is issued because more than 12 months have elapsed since the child was adopted and therefore Claimant C is no longer eligible for benefits. 
(c) Eligibility for benefits under this section for the birth or placement of a minor child requires being in the physical presence of the child. 
EXAMPLE 1. Claimant A's wife gives birth to twins on August 29, 2004. The twins are seven weeks premature and remain in the neonatal care unit through October 9, 2004. Claimant A establishes a bonding claim on August 29, 2004, and claims benefits through October 9, 2004. Claimant A visits his children daily from six o'clock in the morning until eight o'clock in the evening and suffers a wage loss due to missing work. 
Claimant A serves a seven-day waiting period from August 29 through September 4, 2004 and may receive six weeks of benefits from September 5 through October 9, 2004, if otherwise eligible. Claimant A is eligible for benefits to bond even though the bonding takes place in the hospital and not at the claimant's residence. 
EXAMPLE 2. Claimant B establishes a claim to bond with his new child. Claimant B indicates that he bonds with his new child via live remote camera. However, he does not spend time in the physical presence of his new child. 
Claimant B is not eligible for benefits because his remote video arrangement does not constitute bonding within the context of the Family Temporary Disability Insurance program. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 3301, 3302.1 and 3303, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
§3303(b)-1. Waiting Period.
Note     •     History

(a) The first seven days of a first or re-established claim for Family Temporary Disability Insurance benefits constitute the non-payable waiting period, except as provided in sections 3302.1(b) and 3302.1(c) of the code. Waiting period days will be served during a period of family care leave even if the claimant is ineligible to receive benefits for the same days due to the receipt of: 
(1) other benefits under a workers' compensation law or any employer's liability law as defined in section 2629 of the code; or 
(2) wages, regular wages, or vacation leave from an employer as defined in sections 2656 and 3303.1 of the code. 
EXAMPLE 1. Claimant A establishes a claim for Family Temporary Disability Insurance on March 10 to care for his stepfather. Claimant A will be off work for seven weeks. 
Claimant A serves an uninterrupted waiting period from March 10 through March 16 and is eligible for benefit payments beginning March 17. 
EXAMPLE 2. Claimant B's parent is hospitalized on April 3 for a heart attack. His parent is released on April 4 but needs follow-up treatment to monitor his condition about once a month consisting of daylong medical appointments over the next six months. Claimant B is absent from work on April 3 and 4 to provide care to his parent. The follow-up appointments are scheduled for May 15, June 17, July 16, August 20, September 17 and October 22. Claimant B's parent requires continuing treatment for another six months in the same periodic manner. Appointments are scheduled for December 10 and January 11 of the following year. 
Claimant B establishes a claim on April 3 to care for his parent. Claimant B serves his seven-day waiting period for the days April 3, April 4, May 15, June 17, July 16, August 20, and September 17. Claimant B certifies to and is eligible to receive benefits for October 22, December 10, and January 11 because the waiting period was served. 
EXAMPLE 3. Claimant C establishes a claim on January 10 to provide care for his wife. Claimant C normally works eight hours per day five days per week. Claimant C was unable to work on January 10 and January 11. Beginning January 12, Claimant C works four hours per day and spends the other four hours caring for his wife. Claimant C continues to work four hours per day through February 14 in order to provide care for his wife. 
Claimant C serves an uninterrupted seven-day waiting period from January 10 through January 16 since partial days of family care leave fulfill the waiting period requirement. Claimant C is eligible for benefits based on his wage loss for January 17 through February 14. 
EXAMPLE 4. Claimant D establishes a first claim for Family Temporary Disability Insurance on January 21 to care for her seriously ill spouse. The medical certificate indicates Claimant D's care is warranted through March 17. Claimant D requests two weeks of full sick leave pursuant to Section 233 of the Labor Code and under the terms of a union contract. 
Claimant D serves the waiting period from January 21 through January 27 while she is in receipt of regular wages. Claimant D is disqualified from receiving benefits for the period beginning January 28 and ending February 3 under Section 2656 of the code because of the receipt of regular wages equal to Claimant D's weekly wage immediately prior to the commencement of her period of family care leave. She is eligible for benefits beginning February 4. 
EXAMPLE 5. Claimant A establishes a claim for Family Temporary Disability Insurance benefits beginning June 5, 2006 to care for her seriously ill spouse for four weeks. Claimant A accrues 168 hours of sick leave annually. She normally works 40 hours per week, Monday through Friday. Claimant A requests 80 hours of sick leave from her employer pursuant to Section 233 of the Labor Code for the period June 5 through June 16, 2006. 
Forty hours of sick leave is allocated to the seven-day waiting period June 5 through June 11, 2006. Claimant A is not eligible for benefits for the period June 12 through June 18, 2006 due to the receipt of regular wages pursuant to section 2656 of the code. Claimant A may receive Family Temporary Disability Insurance benefits beginning June 19, 2006, if otherwise eligible, because this is the first day for which she suffers a wage loss. 
EXAMPLE 6. Claimant E establishes a claim on April 24 to care for her mother. The medical certificate indicates care is warranted through May 14. Claimant E serves a waiting period from April 24 through April 30 and receives benefits through May 14. 
Claimant E re-establishes a claim on January 27 to care for her domestic partner. The medical certificate indicates care is warranted through February 16. Claimant E serves a separate waiting period from January 27 through February 2 because she is caring for a different care recipient within the same 12-month period. Claimant E may receive benefits commencing February 3, if otherwise eligible. 
(b) If the waiting period required is only partially served during the first period of family care leave, any unserved portion of the waiting period shall be served at the beginning of the subsequent period of family care leave for the same care recipient during the 12-month benefit period. 
EXAMPLE 1. Claimant A establishes a claim on November 28 to care for her mother. The medical certificate indicates care is warranted through November 30. Claimant A returns to work on December 1 after serving three waiting period days from November 28 through November 30. 
Claimant A re-establishes a claim on January 1 to care for her mother. The medical certificate indicates care is warranted through January 31. Claimant A serves the subsequent four days of her waiting period from January 1 through January 4. She may receive benefits from January 5 through January 31, if otherwise eligible. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2656, 3302.1 and 3303, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
§3303.1(a)-1. Ready, Willing, Able and Available to Provide Care for the Same Period of Time.
Note     •     History

An individual is not eligible for Family Temporary Disability Insurance benefits on any day that another family member is ready, willing, and able and available to provide care during the same period of time in a day that the individual is providing care. 
(a) “Ready, Willing, Able and Available.” 
(1) Another family member may be ready, willing, and able and available regardless of his or her attachment to the labor market. 
EXAMPLE 1. Claimant A is employed full time. His brother is unemployed and looking for work. Claimant A's mother requires care for her serious health condition. The brother is not willing to provide the required care. 
Claimant A may receive Family Temporary Disability Insurance benefits, if otherwise eligible. 
(2) Another family member may not be ready, willing, and able and available because of a physical or mental disability that substantially limits his or her ability to provide the required care. 
EXAMPLE 2. Claimant B is employed full time. Her brother is an unemployed substance abuser. Their seriously ill parent does not want the brother to provide the required care due to his unreliability. 
Claimant B may receive Family Temporary Disability Insurance benefits, if otherwise eligible. 
(b) “Same period of time in a day.” 
(1) No more than one care provider may claim benefits for providing care in any eight-hour period and no more than three in a 24-hour period. Determining whether another family member may be ready, willing, and able and available during the same period of time in a day depends on the care requirements of the care recipient as determined by the physician or practitioner treating the care recipient. 
EXAMPLE 1. The doctor certifies that the care recipient requires care eight consecutive hours per day. The care recipient has three children who establish claims to receive Family Temporary Disability Insurance benefits to provide care for her. 
Only one of the three claimants may receive benefits, if otherwise eligible, because only one is needed to provide the care recipient with eight consecutive hours of care per day. 
EXAMPLE 2. The doctor certifies that the care recipient requires 24-hour care. The care recipient has three children who establish claims to receive Family Temporary Disability Insurance benefits to provide care for her. 
All three of the claimants may receive Family Temporary Disability Insurance benefits, if otherwise eligible. A maximum of three claimants may receive benefits for providing care during eight-hour shifts within a 24-hour period, if otherwise eligible. Each of the children will provide eight hours of care to provide the required 24-hour care for their mother. 
EXAMPLE 3. The doctor certifies that the care recipient requires 24-hour care. The care recipient has five children, Claimant A, Claimant B, Claimant C, Claimant D, and Claimant E, who establish claims to receive Family Temporary Disability Insurance benefits to provide care for her. 
Only three of the five claimants may receive Family Temporary Disability Insurance benefits for the same care recipient for the same period of time, if otherwise eligible. Claims are processed, if all applicable eligibility criteria are met, in the order which they are received. Claimants A, C, and E establish claims with the department and are found eligible before Claimants B and D establish claims. Therefore, Claimants B and D are initially denied Family Temporary Disability Insurance benefits. If Claimants B and D are otherwise eligible, and the care recipient criteria are still met, they may establish a claim for benefits as A, C, and E are no longer ready, willing, able and available to provide care. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 3303.1, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
§3303.1(c)-1. Vacation Leave.
Note     •     History

An individual eligible to receive Family Temporary Disability Insurance benefits who receives full or partial vacation leave pursuant to section 3303.1(c) of the code shall not be paid benefits during the same period. An individual may serve a waiting period during receipt of full or partial vacation leave. 
EXAMPLE 1. One Week Vacation Leave. Claimant A establishes a claim for Family Temporary Disability Insurance benefits commencing July 1. Claimant A's employer requires the use of up to two weeks of earned but unused vacation leave prior to receipt of Family Temporary Disability Insurance benefits. Claimant A has one week of vacation leave available. 
The vacation leave is allocated to the seven-day waiting period and Claimant A may receive full Family Temporary Disability Insurance benefits beginning on July 8, if otherwise eligible. 
EXAMPLE 2. Two Weeks Vacation Leave. Claimant B establishes a claim for Family Temporary Disability Insurance benefits commencing July 1. Claimant B's employer requires the use of up to two weeks of earned but unused vacation leave prior to receipt of Family Temporary Disability Insurance benefits. Claimant B has two weeks of vacation leave available. 
One week of vacation leave is allocated to Claimant B's seven-day waiting period July 1 through July 7. Claimant B is not eligible for Family Temporary Disability Insurance benefits for the period of July 8 through July 14 pursuant to section 3303.1(c) of the code. Claimant B may receive full Family Temporary Disability Insurance benefits beginning July 15, if otherwise eligible. 
EXAMPLE 3. Three Weeks Vacation Leave. Claimant C establishes a claim for Family Temporary Disability Insurance benefits commencing July 1. Claimant C's employer requires the use of up to two weeks of earned but unused vacation leave prior to the receipt of Family Temporary Disability Insurance benefits. Claimant C has three weeks of vacation leave available. 
One week of vacation leave is allocated to the seven-day waiting period July 1 through July 7. Claimant C is not eligible for Family Temporary Disability Insurance benefits for the period July 8 through July 14 pursuant to section 3303.1(c) of the code. Claimant C may receive full Family Temporary Disability Insurance benefits beginning July 15, if otherwise eligible, since the third week of vacation leave is not in conflict. 
EXAMPLE 4. Vacation Leave Not Required. Claimant D establishes a claim for Family Temporary Disability Insurance benefits commencing July 1. Claimant D's employer does not require the use of up to two weeks of earned but unused vacation leave prior to the receipt of Family Temporary Disability Insurance benefits. Claimant D chooses to use three weeks of vacation leave available. 
Claimant D may receive full Family Temporary Disability Insurance benefits, if otherwise eligible, beginning July 8, after serving a seven-day waiting period. Claimant D's vacation leave does not conflict with the receipt of Family Temporary Disability Insurance benefits since the employer did not require Claimant D to use the vacation leave. 
EXAMPLE 5. Partial Week Vacation Leave. Claimant E establishes a claim for Family Temporary Disability Insurance benefits commencing Thursday, July 1, 2004. Claimant E's employer requires the use of up to two weeks of earned but unused vacation leave prior to the receipt of Family Temporary Disability Insurance benefits. Claimant E normally works four ten-hour shifts, Monday through Thursday, and has 60 hours of vacation leave available. 
Forty hours of vacation leave is allocated to the seven-day waiting period July 1 through July 7, 2004. The remaining 20 hours of vacation leave is allocated to July 8 and 12, his next scheduled workdays. Claimant E is not eligible for Family Temporary Disability Insurance benefits for the period July 8 through July 12, 2004, due to the receipt of vacation leave pursuant to section 3303.1(c) of the code. Claimant E may receive full Family Temporary Disability Insurance benefits beginning July 13, 2004, if otherwise eligible, because this is the first day for which he suffers a wage loss. 
EXAMPLE 6. Paid Time Off. Claimant F establishes a claim for Family Temporary Disability Insurance benefits commencing July 18. Claimant F's employer grants paid leave, which is paid to the employee as wages pursuant to Labor Code section 227.3. Claimant F's employer requires the use of up to two weeks of this earned but unused leave prior to the receipt of Family Temporary Disability Insurance benefits. Claimant F, a part-time worker, normally works three eight-hour shifts per week and has 48 hours of this leave available. 
Twenty-four hours are allocated to the seven-day waiting period July 18 through July 24. The remaining 24 hours are allocated to July 25 through July 31, his next scheduled workweek. Claimant F is not eligible for benefits July 25 through July 31 due to the receipt of leave pursuant to section 3303.1(c) of the code. Claimant F may receive full Family Temporary Disability Insurance benefits beginning August 1, if otherwise eligible, because this is the first day for which he suffers a wage loss. 
EXAMPLE 7. Vacation Leave During Intermittent Family Care. Claimant G establishes a claim for Family Temporary Disability Insurance benefits commencing September 1, 2006. Claimant G plans to take every Friday off beginning September 1 to provide care for his seriously ill spouse. He also plans to provide care on Saturdays and Sundays. Claimant G normally works five eight-hour days, Monday through Friday. Claimant G's employer requires the use of up to two weeks of earned but unused vacation leave prior to the receipt of Family Temporary Disability Insurance benefits. Claimant G's employer reports that it paid him two weeks (80 hours) of vacation leave for ten successive Fridays falling on September 1, 8, 15, 22, 29, October 6, 13, 20, 27, and November 3. 
Claimant G will serve the seven-day waiting period on September 1, 2, 3, 8, 9, 10, and 15. Vacation leave may only be allocated toward regularly scheduled work days. Twenty-four hours of required vacation leave is allocated toward the seven-day waiting period for September 1, 8 and 15; the remaining 56 hours will be allocated to September 22, 29, October 6, 13, 20, 27 and November 3. Vacation leave may not be allocated to September 2, 3, 9, and 10, as those days are not regularly scheduled workdays. Claimant G may receive Family Temporary Disability Insurance benefits beginning November 4, 2006, or the first day thereafter for which he suffers a wage loss, if otherwise eligible. 
EXAMPLE 8. Vacation Leave During Middle of Claim. Claimant H establishes a claim for Family Temporary Disability Insurance benefits commencing September 13, 2006, to provide care for her seriously ill mother. Claimant H normally works five eight-hour days, Monday through Friday. Claimant H served the seven-day waiting period from September 13 through September 19 and received benefits from September 20 through October 31, 2006. The employer paid the claimant two weeks of vacation leave from October 16 through October 27. 
The vacation leave under this circumstance would not be in conflict with the receipt of Family Temporary Disability Insurance benefits, as Claimant H suffered a full wage loss beginning September 13, and the vacation leave was paid two weeks after commencement of the claim. 
EXAMPLE 9. Vacation Leave On A Re-Established Claim. Claimant I establishes an initial claim for Family Temporary Disability Insurance benefits commencing June 5, 2006 in order to provide care for her seriously ill father. Claimant I normally works five eight-hour days, Monday through Friday. Claimant I's employer requires the use of up to two weeks (ten days) of earned but unused vacation leave prior to the receipt of Family Temporary Disability Insurance benefits. 
The claimant returned to work on June 14, 2006. The first week (five days) of required vacation leave is allocated to the seven-day waiting period from June 5 through June 11. Two days of the second week of required vacation leave are allocated to June 12 and June 13. The claimant has allocated seven out of ten days of required vacation leave for the period of June 5 through June 13. No benefits are paid since the claimant returned to work on June 14. 
Claimant I submits a new claim to re-establish her initial claim with an effective date of October 2, 2006, to continue caring for her father. Since the employer requires the claimant to use ten days of earned but unused vacation leave, the three days of remaining leave from the initial claim are allocated to October 2, 3 and 4. Claimant I may receive Family Temporary Disability Insurance benefits beginning October 5, if otherwise eligible. 
EXAMPLE 10. Partial Conflicting Vacation Leave After Claim Effective Date. Claimant J establishes a claim for Family Temporary Disability Insurance benefits commencing on July 10, 2006, to provide care for his seriously ill mother. Claimant J normally works five eight-hour days, Monday through Friday. Claimant J served the seven-day waiting period from July 10 through July 16. 
Claimant J's employer paid him two weeks (ten days) of required vacation leave from July 12 through July 25. The first three days of required vacation leave are allocated to the waiting period of July 10 through July 16. The next five days of required vacation leave are allocated to the second week from July 17 through July 23. The final two days of required vacation leave fall into the third week of the benefit period and are not in conflict with the receipt of Family Temporary Disability Insurance benefits. Claimant J may receive Family Temporary Disability Insurance benefits beginning July 24, if otherwise eligible. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2656 and 3303.1, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
2. Amendment filed 11-6-2008; operative 12-6-2008 (Register 2008, No. 45).
§3306(b)-1. Independent Medical Examination.
Note     •     History

(a) The Department may request an independent medical examination to determine its liability for the payment of Family Temporary Disability Insurance benefits to a claimant. Any care recipient, except one who depends for healing entirely upon prayer or spiritual means, as provided in Section 2709 of the code, may be required to submit to independent medical examinations when one or more of the following circumstances is present: 
(1) Medical information received from the care recipient's physician does not verify the serious health condition, the need for care, or provide any objective medical findings that support that the claimant's participation is warranted for the period of time claimed. 
(2) Inconsistent information is received concerning the care recipient's serious health condition or the need for the claimant's care. 
(b) Independent medical examinations requested by the director must meet all of the following conditions: 
(1) The examining physician must provide an independent and impartial opinion. If the claimant or care recipient requests a different examining physician, the examination will be rescheduled with another physician designated by the director. 
(2) The examination and any laboratory or x-ray procedures will be only extensive enough to determine whether the care recipient has a serious health condition, whether the claimant's participation is warranted, and the period of time that the claimant's participation is warranted. The examination is an evaluation and not a consultation. 
(3) The fee for the examination and any laboratory or X-ray procedures will be paid by the department in accordance with a fee schedule determined by the director. 
(c) A claimant who receives a request for the care recipient to submit to an independent medical examination must contact the designated physician not later than the seventh consecutive day after the date the request was mailed to the claimant to arrange an examination for the care recipient on the earliest date available. Such time will be extended by the department upon a showing of good cause. The request for an independent medical examination will be cancelled if, within the 7-day period, the claimant reports that he or she returned to work or that his or her care is no longer warranted. 
(d) The claimant is subject to disqualification if: 
(1) He or she fails to contact the designated physician within the time in subdivision (c). The claimant is disqualified on the eighth day after the date the request was mailed to the claimant. 
(2) He or she makes an appointment but the care recipient fails to report for the examination, or cancels the appointment. The claimant is disqualified commencing on the date of the appointment, or the date of the cancellation, whichever is earlier. 
(3) The claimant or care recipient fails to comply with the request for an independent medical examination but later agrees to submit to one. The disqualification ends the day before the examination date. 
(e) Upon receipt of the independent medical examination report, the department determines a claimant's eligibility as follows: 
(1) If the report confirms or extends the estimated duration of the care recipient's serious health condition and the need for care as certified by the care recipient's physician, the claimant is eligible for benefits. 
(2) If the report states that the need for the claimant's care will end earlier than the date given by the care recipient's physician, the claimant is eligible for benefits through the date in the report. 
(3) If the report states that the care recipient does not have a serious health condition or that the claimant's care is not warranted, the claimant is disqualified commencing on the examination date. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 2709 and 3306, Unemployment Insurance Code. 
HISTORY

1. New section filed 6-23-2004; operative 7-1-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 26). 
Part 3. Extended Unemployment Compensation
Chapter 1. General Provisions

(No regulations adopted)
Chapter 2. Extended Duration Benefits
Article 1. Eligibility and Disqualifications

(No regulations adopted)
Article 2. Computation (Amount and Duration)

(No regulations adopted)
Article 3. Filing, Determination, and Payment of Extended Duration Benefit Claims

(No regulations adopted)
Article 4. Reserve Accounts

(No regulations adopted)
Article 5. Overpayments

(No regulations adopted)
Chapter 4. Retraining Benefits
§3901-1. Retraining Benefits Definitions.
Note     •     History

NOTE

Authority cited: Sections 306, 2602 and 3907, Unemployment Insurance Code. Reference: Sections 3901, 3902, 3903, 3904, 3906, 3907, Unemployment Insurance Code.
HISTORY

1. New section filed 4-7-60 as an emergency; effective upon filing (Register 60, No. 8). Certificate of Compliance--Section 11422.1, Government Code, filed 8-5-60.
2. Amendment filed 8-5-60; designated effective 8-15-60 (Register 60, No. 17).
3. Repealer filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
Division 2. Work Incentive Programs
Chapter 1. Employment Preparation Program
Article 1. Job Search Assistance
§4000-1. Scope and Purpose.
Note     •     History

NOTE

Authority cited: Section 11327, Welfare and Institutions Code. Reference: Sections 11325 and 11327, Welfare and Institutions Code.
HISTORY

1. New Chapter 1 (Article 1, Sections 4000-1 through 4000-5) filed 11-20-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4000-2. Definitions.
Note     •     History

NOTE

Authority cited: Section 11327, Welfare and Institutions Code. Reference: Sections 11327 and 11332, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-26-82; effective thirtieth day thereafter (Register 82, No. 44).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4000-3. Program Guidelines.
Note     •     History

NOTE

Authority cited: Section 11327, Welfare and Institutions Code. Reference: Sections 11325, and 11329, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4000-4. Program Operation.
Note     •     History

NOTE

Authority cited: Section 11327, Welfare and Institutions Code. Reference: Sections 11329, 11330 and 11331, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-26-82; effective thirtieth day thereafter (Register 82, No. 44).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4000-5. Operative Provision.
Note     •     History

NOTE

Authority cited: Section 11327, Welfare and Institutions Code. Reference: Section 11327, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
Article 2. Pilot Payment Component
§4000-11. Scope and Purpose.
Note     •     History

NOTE

Authority cited: Section 11327, Welfare and Institutions Code. Reference: Section 11332, Welfare and Institutions Code.
HISTORY

1. New Article 2 (Sections 4000-11 through 4000-15) filed 10-26-82; effective thirtieth day thereafter (Register 82, No. 44).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4000-12. Definitions.
Note     •     History

NOTE

Authority cited: Section 11327, Welfare and Institutions Code. Reference: Section 11332, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4000-13. Program Guidelines.
Note     •     History

NOTE

Authority cited: Section 11327, Welfare and Institutions Code. Reference: Section 11332, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4000-14. Program Operation.
Note     •     History

NOTE

Authority cited: Section 11327, Welfare and Institutions Code. Reference: Section 11332, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4000-15. Operative Provision.
Note     •     History

NOTE

Authority cited: Section 11327, Welfare and Institutions Code. Reference: Section 11332, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
Division 2.5. Withholding Tax on Wages
Chapter 1. General Provisions
§4304-1. Employee Defined, Rules Generally Applicable to Determinations of Employment.
Note     •     History

Whether an individual is an employee for the purposes of Sections 621(b) and 13020 of the code will be determined by the usual common law rules applicable in determining an employer-employee relationship. Under those rules, to determine whether one performs services for another as an employee, the most important factor is the right of the principal to control the manner and means of accomplishing a desired result. If the principal has the right to control the manner and means of accomplishing the desired result, whether or not that right is exercised, an employer-employee relationship exists. Strong evidence of that right to control is the principal's right to discharge at will, without cause.
(a) If it cannot be determined whether the principal has the right to control the manner and means of accomplishing a desired result, the following factors will be taken into consideration:
(1) Whether or not the one performing the services is engaged in a separately established occupation or business.
(2) The kind of occupation, with reference to whether, in the locality, the work is usually done under the direction of a principal without supervision.
(3) The skill required in performing the services and accomplishing the desired result.
(4) Whether the principal or the person providing the services supplies the instrumentalities, tools, and the place of work for the person doing the work.
(5) The length of time for which the services are performed to determine whether the performance is an isolated event or continuous in nature.
(6) The method of payment, whether by the time, a piece rate, or by the job.
(7) Whether or not the work is part of the regular business of the principal, or whether the work is not within the regular business of the principal.
(8) Whether or not the parties believe they are creating the relationship of employer and employee.
(9) The extent of actual control exercised by the principal over the manner and means of performing the services.
(10) Whether the principal is or is not engaged in a business enterprise or whether the services being performed are for the benefit or convenience of the principal as an individual.
(b) The factors enumerated in (a) above are indicia of the right to control. Where there is independent evidence that the principal has the right to control the manner and means of performing the service in question it is not necessary to consider the above enumerated factors. When those factors are considered, a determination of whether an individual is an employee will depend upon a grouping of factors that are significant in relationship to the service being performed.
For personal income tax withholding purposes only, whether an individual provides equipment in the performance of services for remuneration shall not be considered in a determination of whether that individual is an employee.
(1) Instrumentalities and facilities. Whether the principal or worker provides the instrumentalities or facilities necessary to accomplish the work would have little relevance if those instrumentalities are not significant in nature. Examples are hand tools commonly provided by workers or an automobile for personal transportation. On the other hand, if they were of substantial value and supplied by the principal it would indicate that the principal had the right to control the manner and means of their use and that the worker would follow a principal's direction in the use of such valuable instrumentalities if the principal chose to give such directions. Similarly, if the facilities are of an intangible nature or unavailable except through the principal, such as a trade name, office facilities, advertising, merchandise, inventory, or communications, the worker would also be presumed to use such facilities in a way specified by the principal if the principal so chose to specify so that the worker can insure their continued use and availability.
(2) Effect of custom. Unskilled labor is usually supervised and persons performing services, which require little or no skill or experience are customarily regarded as employees. Even where skill is required, such as an artisan, and the services are an incident of the business of the principal, the principal would usually be considered to have the right to control the manner and means of performing the service incident to its business, and the worker would be considered an employee. On the other hand, if the service of the artisan, such as a plumber, were engaged to repair the plumbing for an insurance company in the company's office facilities, the manner and means of performing services would not normally be controlled by persons in the insurance company's offices.
(3) The period of employment and method of payment. If the time in which the service is performed is short, the worker is less apt to subject himself to control as to details of performing the service. This is especially true if the payment is to be made by the job and not by the hour, commission, or piece rate. On the other hand, if the work is not skilled, and the principal supplies the instrumentalities necessary to perform the work, and it is an integral part of the principal's business activity, the worker would be an employee even though the time period was short and the payment was by the job. If the services are performed on a continuing basis it would be evidence of employment, especially if the services are a regular part of the principal's business. The time of performing the service and the method of payment may result in strong evidence of employment if the performance and payment occur during regular intervals at regular times and payment is in regular amounts.
(4) Control of the premises. If the services are performed upon the premises of the principal who is in business and the worker uses the facilities of the principal in performing the services in compliance with policies or regulations for the conduct of workers on the premises, the worker would be an employee. On the other hand, if the rules are made only for the general safety, or security of the premises, and do not relate to the manner and means of performing the actual service in question, adherence to such rules would not raise the inference that the worker is an employee and the relationship would depend on other factors. Similarly, if the worker has only agreed to accomplish a desired result, rules or policies for the handling of the result upon completion, such as distribution, storage, transportation, or display, will not raise the inference that the worker is an employee.
(5) Belief of the parties. The terminology used in an agreement between a principal and a worker is not conclusive of the relationship, even in the absence of fraud or mistake. On the other hand, such an agreement is evidence of the relationship intended by the parties to the agreement. If the agreement provides for a relationship in which services are to be performed for a principal in such a way that the principal expresses an interest only in the desired result and abandons the right to control the manner and means by which the result is achieved, such an agreement is evidence that the relationship intended was not that of employer and employee if the terms of the agreement are in fact carried out. If the factual relationship between the parties is different than that provided by the agreement, an inference will arise that the agreement does not express the intention of the parties and an employer-employee relationship does in fact exist. If an agreement between a worker and a principal specifically denies an employment relationship, but contains provisions which allow for the exercise of control by the principal over the manner and means of performing the service, the provision that an employment relationship does not exist does not express the intent of the parties that their relationship is one of independent contractors.
(6) Services performed as a part of the regular business of the principal. Since for the purposes of these regulations, employment is only significant where remuneration (wages) is paid for services performed, employment will generally occur where the principal is in business. In some situations, employment may occur where there is no business activity of the principal, but it is presumed that those occasions will be rare.
If the principal is in business and the services performed are a regular part of the business of the principal, it is evidence that the services are performed in employment. It is presumed that if the principal is in business, he has the right to control the manner and means by which services in that business are performed as an incident to the principal's right to protect his business interests. There must be a strong showing that the principal has abandoned that right to overcome the evidence of employment under those circumstances. For example, if the principal is in the business of selling insurance, and an individual performs services for remuneration selling insurance, it is evidence that those insurance sales services are in employment. On the other hand, if the principal is in the business of selling insurance and the services are performed by a plumber fixing the pipes in the insurance company's office facilities, it is not evidence that the services of the plumber are performed in the employ of the insurance sales company.
(7) Separately established occupation or business. If the person performing services for the principal is not in a separately established occupation or business it will be evidence that the services are performed in employment. If the individual performing the services does not have an independently established occupation or business, and the services are a regular part of the business of the principal, it will be presumed that the services are performed in employment. Evidence that an occupation or business is separately established is that the individual holds himself or herself out to the general public or a significant segment of the business community, in some readily identifiable way, as ready to perform services similar to those performed for the principal at or about the same time as they are being performed for the principal in the normal course of the independently established occupation or business. A readily identifiable way to hold oneself out as in an independently established occupation or business would include the name of the person or the person's business name in media advertising, commercial telephone listing, signs or displays on vehicles or premises, or brochure.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 621, 13004, 13005 and 13020, Unemployment Insurance Code. (New Division 2.5, Chapters 1-5, Sections 4304-1 through 4371-1, filed 6-18-81, operative 7-18-81; Register 81, No. 25) 
HISTORY

1. Addition of second paragraph of subsections (a)(2) and (c) filed 2-23-84, operative 3-24-84 (Register 84, No. 8).
2. Addition of subsection (d) filed 9-9-86, operative 10-9-86 (Register 86, No. 37). 
3. Editorial renumbering of former Section 4304-1(a) to Section 4304-1, renumbering of former Section 4304-1(b) to Section 4304-2, renumbering of former Section 4304-1(c) to Section 4305-1(i), and renumbering of former Section 4304-1(d) to Section 4304-3 (Register 86, No. 42).
4. Amendment of first paragraph filed 5-12-92; operative 6-11-92 (Register 92, No. 20).
§4304.2. Specific Application of Rules for Determination of Employment Status to Circumstances in the Real Estate Industry.
Note     •     History

(a) While determinations of whether a salesperson is an employee or an independent contractor in the real estate industry will be determined generally by the rules set forth in Section 4304-1, specific application of those rules to circumstances in the real estate industry are set forth in Section 4304-2. In circumstances where a specific application is not interpreted by Section 4304.2, that specific application will be determined by the rules set forth in Section 4304-1. No one or more of enumerated factors will necessarily indicate that a particular relationship exists.
(b) Definitions:
(1) A “broker” is a person licensed as a real estate broker under the laws of this state and who engages the services of salespersons or a salesperson to perform services in the business which the broker conducts under the authority of his or her license.
(2) A “salesperson” is a person who is engaged by a broker to perform services, which may be continuous in nature, as a real estate salesperson under an agreement with a broker regardless of whether the person is licensed as a real estate salesperson or a real estate broker under the laws of this state.
(3) “Presumed” or “presumption” as used in this regulation means a presumption affecting the burden of proof as defined in Section 605 of the Evidence Code.
(4) “Licensed activity” means that activity for which a license is required under Section 10131 through 10131.7 of the Business and Professions Code.
(c) Basic Guidelines:
(1) Written contracts and agreements. Regulations of the Real Estate Commissioner provide that every broker will have a written agreement with each of its salespersons. Generally, when a broker and a salesperson agree to be employer and employee, an “employee contract” is signed, and when a broker and the salesperson agree to be independent contractors, an “independent contractor agreement” is signed.
When an employment agreement is signed, it will be evidence of the intent of the parties. However, if the terms of the agreement are not complied with in practice, the agreement shall not determine the relationship of the parties to the agreement.
(2) Broker's policies. Since the Business and Professions Code and regulations of the Real Estate Commissioner require the broker to insure that the rights of the parties to a real estate transaction are protected and that agreements affecting such rights be reviewed by the broker, it is expected that each broker will have certain policies which are intended to protect the parties to a transaction and which must be binding upon all salespersons engaged by the broker. Such policies, including the selection of forms by the broker, shall be considered as would any other fact in determining if an employment relationship exists between the broker and salesperson. Such policies alone, however, will not establish the right to control the manner and means of performing services necessary for a determination that an employment relationship exists. However, brokers' policies relating to the manner and means of performing services that extend beyond those necessary to ensure satisfaction of statutory and regulatory requirements shall be evidence of the exercise of a right to control the manner and means by which a salesperson performs services.
Contract provisions, or policies which lend themselves to the increase of business, profits, or sales activity will not be considered necessary to satisfy statutory or regulatory requirements. Such provisions would include, but not be limited to fees, time, solicitation, acquisition of listings, closures, floor time, termination, business licenses, fidelity bonds, automobile insurance, expenses, business cards, advertising, secretarial help, educational requirements, training, office and desk space. Such policies shall be construed as provided in this regulation.
Policies relating to ethical standards required of persons in the real estate industry shall be considered as part of the statutory and regulatory requirements going to the end result of the services performed rather than the manner and means by which they will be performed.
(3) Assignments other than licensed activities. If a salesperson is expected, by the broker, to fulfill assignments other than licensed activities or functions incidental thereto, it will be evidence of an employment relationship. Such assignments may involve public relations, tours, office duty, floor time, open house, phone solicitation, making deliveries, or making reports other than as required by law.
(4) Educational requirements, training and skills. Since an independent contractor is supposed to be a person in business for himself or herself, it would not normally be necessary to train that person to perform the functions of that person's business, nor would it appear appropriate for a broker to require another independent businessman to seek any particular educational requirements. Therefore, any requirements in that regard will be looked on as evidence of employment. However, voluntary attendance at broker-provided training would not be evidence of employment.
(5) Office and desk space. While a broker may allow an independent salesperson to use office facilities, other than incidental use of such facilities on a voluntary basis will be evidence of employment. Of particular significance, would be assigned desks or support personnel, such as secretarial and clerical help, continuing mail box or basket or other receptacle, continuing use of transcription or typewriting or duplicating facilities, or telephone facilities. Payment to the broker by the independent salesperson for the use of office facilities and desk space will only be considered evidence of an independent relationship if the charge by the broker bears a reasonable relationship to the actual value of the facilities used by the independent salesperson.
(6) Business cards and advertising. Recognizing that statutes and regulations require that salespersons perform their services in the name of a broker, the fact that the broker's name appears on business cards used by a salesperson and advertising in the name of the broker will not be considered evidence of an employment relationship. However, if the salesperson's name does not appear on the business cards or the business cards are supplied to the salesperson by the broker without a reasonable charge to the salesperson, such cards will be considered evidence of an employment relationship. A salesperson may advertise for purposes of his or her licensed activity at his or her own expense or by cost sharing with a broker without raising an inference of employment.
(7) Floor time. Assignment of floor time will be considered evidence of an employment relationship. Recognizing that it is to the economic advantage of a broker to allow independent salespersons to spend time on the facilities or premises of the broker, floor time will not be considered evidence of an employment relationship if it is allowed by the broker on a voluntary basis and allowed at the sole discretion of the independent salesperson. However, evidence that a salesperson is expected by the broker to perform floor time or that the relationship of the salesperson to the broker would be terminated for not performing some floor time will be evidence of employment. Floor time is considered to be time spent at the broker's premises or at real estate subject to a real estate transaction through the broker.
(8) Open house or house tour. Any requirements either minimizing or limiting the time in which or during which an independent salesperson is expected to retain a house open for possible or probable sales, will be considered evidence of an employment relationship. The same is true of tours by salespersons or accompanying possible or probable purchasers to show real estate which is available for sale through the broker.
(9) Sales meetings. The requirement that a salesperson attend sales meetings or any kind of regular or irregular meetings at any location, make communications to or for the broker, or make appearances at the broker's office or other facilities, will be considered evidence of an employment relationship. Submission of documents attendant to a real estate transaction for review required by law or regulation is not considered an appearance or communication.
(10) Assigned territory (farm system). The assignment by a broker of a specific geographical territory in which an independent salesperson is expected to perform services will be considered evidence of control of the manner and means of performing services and of an employment relationship unless the agreement specifies that performance of services within a specific territory is consideration for entering into the agreement.
(11) Working hours. Any requirement of a minimum or maximum time limitation upon the hours to be worked by an independent salesperson will be considered evidence of an employment relationship. In addition, while no inferences will be drawn from a part-time relationship, any requirement that an independent salesperson perform his or her services during any specified hours, whether normal business or overtime hours, will be considered evidence of employment. A broker, however, may properly expect an independent contractor to work diligently and to use his or her best efforts in performance of licensed activities.
(12) Method of payment. While payment by commission only will not create an inference of either an employment or independent contractor relationship, payment by salary, guaranteed minimum commission, draws or advances against commissions, unless such advances are secured by promissory notes or other normally acceptable arrangement for repayment by the salesperson, will be considered evidence of an employment relationship.
No inferences of employment relationship or independent contractor relationship will be drawn from bonuses which are paid as incentive for additional sales or comparable production, nor will increased commissions by amendment of the agreement with the broker, whether for a single transaction or not. However, overrides, drawing accounts, expense accounts, or other forms of consideration in addition to pre-determined commissions will be considered evidence of an employment relationship.
(13) Benefit plans. The fact that a broker allows an independent salesperson to participate in a health, medical, life insurance, or retirement insurance program will not be considered evidence of an employment relationship if the independent salesperson is required to, and in fact does, pay all premiums necessary for participation in such program. Any adjustments in commissions, or other remuneration to compensate the salesperson for payment for participation in such benefit plans will be evidence of employment.
(14) Workers' compensation insurance. The fact that a broker carries workers' compensation insurance on all salespersons, whether in an employment or independent contractor relationship, will not create an inference of employment, for the purposes of this section, with regard to independent salespersons if in an agreement between the broker and the independent salesperson it is clearly stated that workers' compensation insurance is being carried by the broker for his or her own benefit or for the mutual benefit of both parties.
(15) Insurance and fidelity bonds. A contract requirement that an independent salesperson provide proof to the broker of public liability and property damage insurance, independently paid for by the independent salesperson, will be evidence of an independent relationship only if the amount of the required insurance can be shown to be greater than would be carried by the independent salesperson without such requirement. It will not be evidence of employment if a broker requires a salesperson to furnish a fidelity bond or malpractice insurance at the salesperson's expense. It is not evidence of employment if the broker carries blanket personal liability and property damage insurance, fidelity bond, or malpractice insurance on all salespersons regardless of whether they are employees or independent contractors.
(16) Multiple listing service fees. If multiple listing boards list only brokers, membership of salespersons performing services for that broker are only incidental to membership by the broker. Therefore, the payment of multiple listing service fees by the broker will not be considered evidence of an employment relationship between the broker and its independent salespersons. A contract requirement that the salesperson reimburse the broker in whole or in part for multiple listing service fees is evidence of an independent contractor relationship.
(17) Business licenses. While the requirements for business licenses vary from county to county and municipality, when a broker provides and pays for a business license to an independent salesperson, without a county or municipality requirement that he or she alone may do so, it will be evidence of an employment relationship.
(18) Combination operation (independent salesperson and employees). When a broker engages the services of salespersons, some of whom are considered employees and some of whom are considered independent salespersons, the lack of distinctly separate arrangements for the purposes of performing services between employees and independent salespersons will be considered evidence that all salespersons are employees.
(19) Termination. When, by terms of an agreement or by practice of the broker, the relationship between the broker and salesperson can be unilaterally terminated without 30 days' notice, it will be evidence of employment. Termination without such notice for breach of ethical standards, breach of statutory or regulatory requirements, or for the protection of the public, will not be considered evidence of employment.
(20) Agreement for specific or specialized purpose. It is recognized that a broker may enter into an agreement with a salesperson under which the salesperson will agree to perform services in connection with a single transaction, a single real estate development, or building tract, or other similar arrangement. In such cases, implications normally drawn, as described above, regarding specified territory, floor time, specified hours, open house arrangements, and assignments other than licensed activities shall not apply if the agreement specifies that such conditions and services are part of the consideration for entering into the agreement.
(21) Managers. Managers, including, but not limited to, sales managers, office managers, and general managers will be presumed to be employees of the broker. Whether remuneration for sales by the manager are wages in employment, depends on whether such sales are a part of the normal duties expected of this manager.
(22) Form 1099 (Federal) and Form 599 (State). If a broker does not provide Internal Revenue Form 1099 and Franchise Tax Form 599 to salespersons considered by the broker to be independent salespersons, and submit copies of such forms to the Internal Revenue Service and Franchise Tax Board as required by law, such salespersons are considered employees and the broker is required to withhold personal income tax from any payments to such salespersons as required by the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 621, 13004, 13005, and 13020, Unemployment Insurance Code.
HISTORY

1. Editorial renumbering of former Section 4304-1(b) to Section 4304-2 (Register 86, No. 42). For prior history, see Registers 86, No. 37; 84, No. 8; and 81, No. 25.
§4304-3. Specific Application of Rules for Determination of Employment Status to Circumstances in the Home Health Care Industry.
Note     •     History

(a) While determination of whether a “home health care professional” is an employee or an independent contractor in the home health care industry will be made generally by the rules set forth in Section 4304-1, above, specific application of those rules to services of a “home health care professional,” as described in paragraph (b)(3) below, in the home health care industry is set forth in this Section 4304-3. In circumstances where a specific application is not interpreted by Section 4304-3, that specific application will be determined by rules set forth in Section 4304-1. No one or more of enumerated factors will necessarily indicate that a particular relationship exists.
(b) Definitions:
(1) The “home health care industry” covers any home health agency that provides for professional health services primarily for a client at a residence.
(2) A “home health agency” means a public agency, private organization or subdivision of such an agency or organization which is primarily engaged in providing skilled nursing and other therapeutic services on a part-time or intermittent basis to patients in a place of residence used as the patient's home under a plan of treatment as prescribed by the attending physician, which meets the requirements of Titles XVIII and XIX, P. L. 93-603(7).
(3) A “home health care professional” is a licensed, certificated, or registered person who is engaged by any home health agency in the home health care industry to provide any of the following professional health services primarily for a client at a residence, although services are occasionally rendered at health care facilities:
(A) Nursing (registered nurse)
(B) Physical therapy (physical therapist)
(C) Occupational therapy (occupational therapist)
(D) Speech therapy (speech pathologist)
(E) Counseling (social worker and/or social work assistant)
(F) Medical services (doctor)
(G) Dental services (dentist)
(H) Hearing related services (audiologist)
(I) Nutritional services (dietitian)
(4) A “registered nurse” means a person licensed in the State of California by the Board of Registered Nurses.
(5) A “physical therapist” means a person licensed as such by the Physical Therapy Examining Committee under the authority of the Division of Allied Health Professions of the California Board of Medical Quality Assurance.
(6) An “occupational therapist” means a person licensed as such in the State of California by the Board of Occupational Therapy.
(7) A “speech pathologist” means a person licensed as such by the California Speech Pathology and Audiology Examining Committee under the authority of the Division of Allied Health Professions of the California Board of Medical Quality Assurance.
(8) A “social worker” means a person who has a Master of Social Work degree from a school of social work accredited or approved by the Council on Social Work Education and having one year of social work experience in a health care setting.
(9) A “social work assistant” means a person with a baccalaureate degree in the social sciences or related fields.
(10) A “physician” means a person licensed as a physician and surgeon by the California Board of Medical Quality Assurance or by the California Board of Osteopathic Examiners.
(11) A “dentist” means a person licensed as a dentist by the California Board of Dental Examiners.
(12) An “audiologist” means a person licensed as such by the California Board of Medical Quality Assurance.
(13) A “dietitian” means a person registered or eligible for registration as such by the American Dietetic Association.
(c) Basic Guidelines:
(1) Written contracts and agreements. Generally, when a home health care agency and a home health care professional agree to be independent contractors, an “independent contractor agreement” is signed.
When an independent contractor agreement is signed, it shall be evidence of the intent of the parties. However, if the terms of the agreement are not complied with in practice, the agreement shall not be evidence of the intent of the parties to the agreement.
(2) Home health care agency's policies. Since Title 22 of the California Code of Regulations and Title 42 of the Code of Federal Regulations require the agency to ensure that treatment and care given to a client by a home health care professional are medically appropriate and actually required, it is expected that each agency will have policies which are required for the protection of clients and which must be binding upon all home health care professionals. Such policies, including the selection of treatment and/or forms required by government agencies shall not be considered evidence of an employment relationship between the agency and the home health care professional. An agency's policies relating to the manner and means of performing services that extend beyond those required by statute or government regulation or procedure shall be evidence of the exercise of a right to control the manner and means by which a home health care professional performs services.
(3) Assignments other than licensed activities. If a home health care professional is expected by the agency to fulfill assignments other than licensed activities or functions incidental thereto, it will be evidence of an employment relationship. Attendance at conferences on the multidisciplinary treatment of a particular patient or patients is not the type of activity which indicates employment. Attendance at initial orientation conferences for the purpose of assuring the agency that a home health care professional understands how to use and fill out clinical notes and medical record forms and billing forms required by law shall not be evidence of employment.
(4) Educational requirements, training and skills. Since an independent contractor is supposed to be a person in business for himself or herself, it would not normally be necessary to train that person to perform the functions of that person's business, nor would it appear appropriate for an agency, except as required by law, to require another independent business person to seek any particular educational requirements. Therefore, any requirements not required by law will be looked on as evidence of employment. Voluntary attendance at agency-provided training shall not be evidence of employment.
(5) Office, office facilities, desk space, and equipment. While an agency may allow an independent home health care professional to use office facilities, any other than incidental use of such facilities on a voluntary basis shall be evidence of employment. Of particular significance would be assigned desks or support personnel, such as secretarial and clerical help, continuing use of a mail box or basket or other receptacle, and/or continuing use of facilities for transcription, typewriting, duplicating, or telephoning. Payment to the agency by the independent home health care professional for the use of office facilities, desk space, and equipment shall be considered evidence of an independent relationship only if the charge by the agency bears a reasonable relationship to the actual value of the facilities used by the independent home health care professional. Furthermore, if the agency provides the home health care professional with equipment specifically designated by a physician or the home health care industry to be used to render services, this shall not be considered evidence of employment. Continuing provision to an independent home health care professional by an agency of clinical notes and medical record forms and billing forms mandated by government fiscal intermediaries shall not be considered evidence of employment.
(6) Business cards and advertising. The fact that the agency's name appears on business cards used by a home health care professional shall be considered evidence of an employment relationship. A home health care professional may advertise for purposes of his or her licensed activity at his or her own expense or by cost-sharing with an agency without raising an inference of employment.
(7) Geographical territory. A provision in a contract limiting the specific geographical territory in which an independent home health care professional will perform services to the territory for which the agency is licensed shall not be evidence of employment.
(8) Working hours. Any requirements of a minimum or maximum time limitation upon the hours to be worked by an independent home health care professional shall be considered evidence of an employment relationship. However, any requirement of immediate response in identified medical emergencies shall not be considered evidence of employment. While no inferences shall be drawn from a part-time relationship, any requirement that an independent home health care professional perform his or her services at any particular time or in any particular order during the day shall be considered evidence of employment. Hours of performance shall not be considered evidence of employment if necessitated by the particular or unique needs of the patient. An agency may properly expect an independent contractor to work diligently and to use his or her best efforts in performance of licensed activities.
(9) Method of payment. While payment on a per visit basis only shall not create an inference of either an employment or independent contractor relationship, payment by salary, or guaranteed minimum compensation against visits, unless such advances are secured by promissory notes or other normally acceptable arrangements for repayment by the home health care professional, shall be considered evidence of an employment relationship.
(10) Benefit plans. The fact that an agency allows an independent home health care professional to participate in a health, medical, life insurance, or retirement insurance program shall not be considered evidence of an employment relationship if the independent home health care professional is required to, and in fact does, pay all premiums necessary for participation in such program. Any adjustments in compensation to the home health care professional for payment for participation in such benefit plans shall be evidence of employment.
(11) Workers' Compensation Insurance. For the purposes of this section, the fact that an agency carries workers' compensation insurance on all home health care professionals, whether in an employment or independent contractor relationship, shall not create an inference of employment, if in an agreement between the agency and the independent home health care professional it is clearly stated that workers' compensation insurance is being carried by the agency for its own benefit or for the mutual benefit of both parties.
(12) Insurance. A contract requirement that a home health care professional provide proof to the agency of malpractice insurance, independently paid for by the independent home health care professional, shall be evidence of an independent relationship. It is not evidence of employment if the agency carries blanket personal liability and property damage insurance, or malpractice insurance on all home health care professionals regardless of whether they are employees or independent contractors.
(13) Business licenses. If an independent home health care professional acquires and pays for a county or municipal business license, this shall be evidence of an independent relationship. If the agency acquires and pays for such a license for the home health care professional, it shall be evidence of employment.
(14) Combination operation (independent home health care professionals and employees). When an agency engages the services of home health care professionals, some of whom are considered employees and some of whom are considered independent home health care professionals, the lack of distinctly separate arrangements between employees and independent home health care professionals for the purpose of performing services shall be considered evidence that all home health care professionals are employees. Distinctly separate arrangements shall be decided on a case-by-case basis.
(15) Termination. When, by terms of an agreement or by practice of the agency, the relationship between the agency and a home health care professional may be unilaterally terminated without 30 days notice, it shall be evidence of employment. Termination for good cause shall not be considered evidence of employment or an independent relationship.
(16) Form 1099 (Federal) and Form 599 (State). If an agency does not provide Internal Revenue Form 1099 and Franchise Tax Form 599 to home health care professionals considered by the agency to be independent contractors and does not submit copies of such forms to the Internal Revenue Service and Franchise Tax Board as required by law, such home health care professionals are considered employees, and the agency is required to withhold personal income tax from any payments to such home health care professionals as required by the code.
(17) Clinical notes and medical records reporting requirements. Pursuant to Title 22, California Code of Regulations, Sections 74697 and 74719(b)(8), home health care professionals are required to provide the agency with specific treatment plans for patients and to update the clinical notes and medical records of patients on a regular basis. Therefore, any requirement by the agency that the home health care professional maintain and provide these updated clinical notes and medical records on a regular basis shall not be evidence of employment. Submission of such documents for review by the agency as required by law shall not be evidence of employment.
(18) Review and evaluation. Reviewing and evaluating home health care professionals for the purpose of determining whether patients received proper care shall not be evidence of employment. Renewal of contracts with home health care professionals shall be done in conjunction with a contract effectiveness review in accordance with Section 74719(b)(5) of Title 22 of the California Code of Regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 621, 13004, 13005 and 13020, Unemployment Insurance Code.
HISTORY

1. Editorial renumbering of former Section 4304-1(d) to Section 4304-3 (Register 86, No. 42). For prior history, see Registers 86, No. 37; 84, No. 8; and 81, No. 25.
2. Renumbering of former section 4304.3 to section 4304-3 and amendment of subsections (b)(6), (c)(2) and (c)(17)-(18) filed 10-27-2003; operative 11-26-2003 (Register 2003, No. 44).
§4304-4. Specific Application of Rules for Determination of Employment Status to Circumstances in the Computer Services Industry.
Note     •     History

(a) The common law rules used to determine whether services are performed as an employee or an independent contractor are contained in Section 4304-1. That section provides that “the most important factor is the right of the principal to control the manner and means of accomplishing a desired result. If the principal has the right to control the manner and means of accomplishing the desired result, whether or not that right is exercised, an employer-employee relationship exists.” The purpose of this Section 4304-4 is to provide the computer services industry standards to be used to determine whether the principal has the right to control the manner and means of accomplishing a desired result. The factors contained in this Section 4304-4 are indicators of the right to control. Not all applications listed in this section are necessary to make a determination that a particular relationship exists. A determination of whether services are being performed as an employee or independent contractor will depend upon a grouping of factors that are significant in relationship to the services being performed.
(b) A “computer consultant” is an individual who performs various computer-related services, including, but not limited to:
(1) Development and design of hardware, software or firmware;
(2) Technical leadership and advice in computer-related services;
(3) Programming for computer applications;
(4) Developing and writing system procedures;
(5) System design;
(6) Maintenance of software;
(7) Training of staff in computerized systems and other computer applications;
(8) Computer-related technical writing.
Definition: “Computer-related technical writing,” means translating computer-related data, information or promotional material into understandable language for the purpose of technology or information transfer, e.g. writing, editing, preparing or developing written or computer generated publications, manuals, run books, listing, articles, brochures, requests for quotes (RFQs), requests for proposals (RFPs), written works relating to computer hardware, firmware, software, programs, systems design and analysis, operations and procedures associated with computer related services or products.
(c) A “broker” is an individual or firm that refers a computer consultant to a principal and often pays the computer consultant after payment to the broker by the principal of an amount including a broker's fee, whether or not identified as a fee.
(d) A “principal” is an individual or entity for whom or which the computer consultant performs services.
(e) When a computer consultant performs services as a computer consultant of a separately established business entity, regardless of the entity's form, such as individual, joint venture, partnership, association, trust, estate, joint stock company, or corporation whether domestic or foreign, that is registered with the Employment Development Department, that is in the trade or business of providing computer consulting services, and when payments for services are made to that separate business entity and not to the computer consultant directly, and the business entity reports to the Department as wages all payments to consultants performing services to carry out or otherwise satisfy a contract for computer consulting services entered into by the business entity, then there is a rebuttable presumption that the computer consultant is an employee of the business entity and not an employee of the broker or principal.
If the business entity is a corporation it will not be considered “separately established” for the purpose of this regulation unless it has filed Articles of Incorporation with the Secretary of State, if it is a domestic corporation, or complied with the provisions of Title 1, Division 1, Chapter 21 (commencing with Section 2100) of the California Corporations Code, if it is a foreign corporation, and unless it also functions as a corporation by doing all of the following:
(1) Has a current Statement of Officers on file with the Secretary of State;
(2) Has Board of Directors' meeting at least once a year;
(3) Maintains minutes of its Board of Directors' meetings;
(4) Files Corporation tax returns;
(5) Has a separate corporation bank account which is not co-mingled with the personal funds of any member of the Board of Directors' or any officer of the Corporation; and
(6) Contracts to do business as a corporation.
(f) If a determination is made that a computer consultant is an employee and his or her services were offered to a principal by a broker, then Section 606.5 of the Code must be applied to determine whether the correct employer of that consultant is the broker or the principal.
(g) Each of the following secondary factors is an indication that a computer consultant is an employee. When the factors are considered, a determination of whether the individual is an employee will depend on a grouping of factors that are significant in relation to the services being performed. If a computer consultant is reported as an employee to either the federal or state government, the computer consultant is presumed to be an employee for those services.
(1) The computer consultant does not have a separately established occupation or business (See subdivision (i)(2));
(2) The skill and services of a computer consultant are similar to those provided by the principal's employees;
(3) The services are performed upon the premises of the principal, the computer consultant uses the facilities of the principal and the principal has the right to require compliance with policies or regulations for the conduct of workers on its premises. However, rules that are only for the general safety or security of the premises or facilities, national security, or to prevent industrial espionage and which do not relate to the manner and means of performing the services in question, are not evidence that the computer consultant is an employee (See subdivision (i)(3));
(4) The computer consultant has use of office facilities and staff support services to the same or similar extent as recognized employees (See subdivision (i)(3));
(5) The computer consultant has a continuing exclusive relationship with the principal (See subdivision (i)(4));
(6) The principal provides fringe benefits to the computer consultant which are similar to those furnished to recognized employees. Fringe benefits include items such as paid vacations, health insurance and pension plans (See subdivision (i)(6));
(7) The computer consultant provides services on an ongoing basis which are part of the regular business of the principal (See subdivision (i)(7));
(8) The parties believe they are creating an employer and employee relationship (See subdivision (i)(8));
(9) The principal has the right to instruct the computer consultant to perform services other than to specify a desired result contemplated in the agreement to perform services (See subdivision (i)(8)).
(h) Each of the following secondary factors is an indication that a computer consultant is self-employed. When the factors are considered, a determination of whether an individual is an independent contractor will depend on a grouping of factors that are significant in relation to the services being performed.
(1) The computer consultant has a separately established occupation or business (See subdivision (i)(2));
(2) The skill and services of a computer consultant are unique to the work environment. The principal does not have employees available who are capable of performing the services which are provided by the computer consultant;
(3) The services are not performed on the premises of the principal or any other specified premises. For those services which can be performed only on the principal's premises, the computer consultant has the right to use the facilities of the principal but is not required to use the equipment nor comply with policies or regulations of the principal (See subdivision (i)(3));
(4) The computer consultant does not have use of office facilities and staff support services to the same or similar extent as recognized employees (See subdivision (i)(3));
(5) The computer consultant does not have a continuing relationship with the principal. The relationship is of short duration or for a single transaction (See subdivision (i)(4));
(6) The principal does not provide fringe benefits to the computer consultant which are similar to those furnished to recognized employees. Fringe benefits include items such as paid vacations, health insurance and pension plans (See subdivision (i)(6));
(7) The computer consultant is providing services which are not within the regular business purpose of the principal (See subdivision (i)(7));
(8) The parties believe they are creating an independent contractor relationship (See subdivision (i)(8));
(9) The principal does not have the right to instruct the computer consultant in the performance of his or her services other than to specify a desired result contemplated in the agreement to perform services (See subdivision (i)(8)).
(i) Basic Guidelines:
(1) Control. Services of computer consultants are often performed on the premises of the principal. If the principal has the right to require compliance with policies or regulations for the conduct of workers which relate to the manner and means of performing the services, it is evidence that the computer consultant is an employee. Examples of control over conduct of workers may include the following requirements: to be present at specific hours, to work a schedule established by the principal, to adhere to office procedures, and to perform specific activities other than producing a desired result contemplated in the agreement to perform services.
Computer consultants may maintain working hours similar to employees because of the need for direct client contact. If the need for client contact is the sole reason for maintaining normal working hours, that factor will not be considered as an indication of employment.
If the computer consultant has agreed only to accomplish a desired result, an agreement to comply with standards or policies for the handling of the result upon completion (such as distribution, storage, transportation, or display) or conditions that provide for future maintenance of the work result, is not evidence of employment.
If the principal has the right to discharge the computer consultant at will, without cause, and without incurring continuing liability for breach of contract, it is strong evidence that the computer consultant is an employee. Where the computer consultant would feel a sufficient threat from the possibility of discharge, layoff or refusal to re-engage and its consequences to cause him or her to yield to the pressure of the principal's methods in regard to performing the details of the work, an employment relationship is indicated.
(2) Separate business. Factors indicating a separately established occupation or business are:
(A) Operation of a computer consultant business through a bona fide sole proprietorship, partnership, unincorporated association or corporation.
(B) Each of the following factors is an indication that a computer consultant has a separately established business. When the factors are considered, a determination of whether an individual has a separately established business will depend upon a grouping of factors that are significant in relationship to the services being performed.
1. Marketing specialized individual computer consultant services to a user community directly or through a broker;
2. Maintaining the right to reserve or assign copyright or patent derived from the services performed.
3. Acceptance by the computer consultant of liability for injury or damage from the performance of his or her services;
4. Substantial investment in facilities needed to perform the services (a vehicle used for transportation is not considered a substantial investment);
5. Maintaining an identifiable work location used exclusively for computer-related services;
6. Performance of services for more than one principal at or about the same time;
7. Advertising with business cards, stationary, listing in the industry directory, or other identifiable means;
8. Registration of a fictitious business name, such as “doing business as” (dba);
9. Business licenses if required by the local government;
10. Membership in an independent computer consultant or trade association;
11. Continuing time and financial investment in training, seminars, conferences and technical presentations related to a computer consultant's ongoing business;
12. Substantial investment in a library of professional technical publications, books, manuals and other publications relating to computer consulting.
(3) Premises and Facilities. When the computer consultant performs services on large computer systems belonging to the principal, it is generally impossible for the work to be performed off-site. Thus, in the computer services industry, performing the services on the principal's premises is usually evidence of neither independence nor of an employment relationship. When the principal requires that services be performed on the principal's premises or any other specific site, and those services could, with equal efficiency and without requiring unreasonable investment, be performed elsewhere, such requirement of services on the principal's premises or specific site is evidence of employment.
When the computer services can only be performed on the premises of the principal, using the equipment of the principal, the computer consultant must usually comply with standards and procedures of the principal regarding use of the computer system. Such standards and procedures may include providing a computer account and password for access to the computer system, requiring the use of a designated terminal or terminals, and requiring compliance with procedures built into the system and schedules for use of equipment that can change because of the principal's workload and the availability of the facilities. Such requirements by the principal relating to access or use of the computer system or relating to security requirements of the principal are not evidence of employment or independence.
The principal may also provide office procedure and policy manuals, desk or office space, clerical support, mail distribution and receptacle, office supplies, and telephone. When such facilities are provided in the same manner as they are provided for the principal's recognized employees, it is evidence that the computer consultant is performing services as an employee. When the computer consultant performs services along with or alongside recognized employees, the lack of distinctly separate circumstances between the recognized employees and the computer consultant will be evidence that the computer consultant is performing services as an employee.
(4) Continuing Relationship. Computer consultant services may involve a single or isolated project, the end result of which may not be achieved for an extended period of time. Whether these services are considered continuous in nature or an isolated event must be determined from all the facts and circumstances and the initially-stated purpose of the service.
Agreements to perform computer consultant services may be documented by purchase order. Purchase orders generally specify that services will be performed during a period of months. A purchase order may specify periods in excess of one year, but most often the period is for three to twelve months. There is often an expectation that the purchase order will be renewed or extended.
Purchase orders usually contain four elements: maximum payment, hourly rate, a starting date and an ending date. The computer consultant performing the service generally records and bills the hours to the principal or a broker on an invoice. The hourly rate is generally used because the computer consultant must integrate his or her services into the environment of the principal, adjusting to all of the interruptions and unexpected exigencies of the environment and because of the uncertainty of the method and the precise cost of producing the desired result.
When an agreement or purchase order is renewed at its termination, it is evidence of a continuing relationship. It will not be evidence of a continuing relationship if the sole reason for the purchase order's termination and renewal is that it is the end of a fiscal year of the principal or computer consultant, or that it has been discovered that the time allocated in the contract was insufficient.
A continuing relationship may exist where work is performed at frequently recurring although irregular intervals. However, some computer consultants may have one or more agreements or purchase orders in existence concurrently which provide for the computer consultant to render services from time to time as needed. The duration of such agreements shall not be evidence of employment so long as the computer consultant works for other principals.
(5) Method of payment. Because of the circumstances in the computer industry, described in (4) above, computer consultant remuneration may be computed on an hourly rate regardless of whether the computer consultant is clearly an employee or clearly an independent contractor. Therefore, in the computer industry, payment computed on an hourly rate is not evidence of employment or independence.
In the computer services industry, billing is generally based on an invoice from the computer consultant stating the hours for which services were performed against an agreement or purchase order setting forth an hourly rate and a total amount committed for payment of the services rendered. The agreement or purchase order generally does not set forth the number of hours that the individual is intended to perform services.
Where the hourly rate is negotiated between the principal and the consultant, it is not evidence of employment or independence. Where the hourly rate is set by the principal, it is evidence of employment and where the hourly rate is set by the consultant it is evidence of independence.
Systematic and regular payment by the week, semi-month, or month is evidence of employment. Payment within a reasonable time of the submission of an invoice by the computer consultant is evidence of independence. When the time for payment on invoices of the computer consultant is substantially the same as for recognized employees of the principal submitting time cards or other work records, it indicates that the invoices are similar to time cards or other work records and is evidence of employment. Advances against payments are evidence of employment, unless such advances are secured by contractual obligation or other generally acceptable loan arrangements.
(6) Benefits. An employer typically provides to his or her employees a variety of benefits such as paid vacations, health insurance, and continued education. If the principal supplies benefits such as paid vacations or health insurance, or pays a computer consultant for time spent in general professional education related to the computer consultant's ongoing business, it is evidence of employment.
Normally paying for training is evidence of employment. However, additional training specific to a particular contract may be required to complete that contract. Payment by a principal for time spent by a computer consultant in additional, unique training necessary for the completion of performance under a specific agreement is not evidence of employment or independence, if it is anticipated and stated as part of the initial agreement.
(7) Service in principal's regular business. Procedures or systems that satisfy the business needs of the principal are part of the principal's regular business. For example, if the procedures or systems provide an accounting process that is necessary for the operation of a bank or a retailer, those processes are part of the business of the bank or retailer. However, services for a short period to install or create a hardware or software system for a principal are not services in the regular course of the principal's business. In the same way, services for a short period of time to adjust software to the needs of the principal are not in the regular course of the principal's business.
On the other hand, services for the operation and use of a system and software used by a principal are generally in the regular course or part of the principal's business. Continued operation, use, maintenance and adjustment of data or software to satisfy continuing needs or variation in the conduct of business are in the regular course of the principal's business.
(8) Service Contract. The terminology used in an agreement between a principal and a computer consultant is not conclusive of the relationship, even in the absence of fraud or mistake. On the other hand, such an agreement is evidence of the relationship intended by the parties to the agreement. If the agreement provides for a relationship in which services are to be performed for a principal in such a way that the principal expresses an interest only in the desired result and abandons the right to control the manner and means by which the result is achieved, such an agreement is evidence that the relationship intended was not that of employer and employee.
If the factual relationship between the parties is different from that provided by the agreement and the actions of the parties indicate control by the principal over the manner and means of performing the service, it is evidence that the agreement does not express the intention of the parties and that an employer-employee relationship does in fact exist. If an agreement between a computer consultant and a principal contains provisions which allow for the exercise of control by the principal over the manner and means of performing the service, the intent of the agreement will be viewed as an employment contract, even if there is a specific denial of an employment relationship in the agreement.
If the purchase order or other form of agreement does not specify the desired result and does specify all or some of the four elements described in subdivision (i)(4) (maximum payment, hourly rate, a starting date and an ending date), it is an agreement to perform services and evidence of employment.
(9) Standard walkthrough. A “standard walkthrough” is a conference held from time to time with the principal or his or her staff, or with other computer consultants, wherein the computer consultant's technique and product are discussed or critiqued, and technical errors are identified. Technical errors include failure of the system to perform functions specified or failure of the system to properly integrate with other related systems. Walkthroughs, inspections and performing services as part of a team are recognized in the industry as a standard way to achieve proper integration and correct application of results of computer consultant services. Walkthroughs are normally held by both employees and independent contractors and are not evidence of either employment or independence.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 621, 13004, 13005 and 13020, Unemployment Insurance Code.
HISTORY

1. New section filed 9-24-86; operative 10-24-86 (Register 86, No. 42).
2. Amendment filed 1-13-92; operative 2-12-92 (Register 92, No. 12). 
§4304-5. Specific Application of Rules for Determination of Employment Status of Artists.
Note     •     History

(a) Determination of whether an artist is an employee or an independent contractor will be determined generally by the rules set forth in Section 4304-1. This section 4304-5 will describe application of those rules to artists. In situations where a specific application is not interpreted by this section, that specific application will be determined by the rules set forth in Section 4304-1 above. No one or more of the enumerated factors will necessarily indicate that a particular relationship exists.
(b) An artist is an individual who creates, performs, or interprets works in the visual, literary or performing arts.
(c) Application of the secondary factors described in Section 4304-1 to artists follows:
(1) An artist being engaged in a separately established business in the arts or who holds himself or herself out to the public as an entrepreneur in the arts is evidence of independence. Any of the following circumstances shall be evidence that an artist is engaged in a separately established occupation or business:
(A) Performances, publications and exhibitions, including, but not limited to film, video tapes, recordings and visual arts.
(B) Similar services for others at or about the same time.
(C) Advertising in print or electronic media or any other directory; public recognition, such as, awards, reviews, commissions, fellowships; significant reputation on which the artist can rely for income.
(D) Having an artist's agent or representative.
(E) Business cards, brochure and stationery demonstrating that one is available for work as an independent person whether or not one has registered a fictitious business name.
(F) Substantial investment in facilities, tools, equipment, or inventory of products related to the artist's occupation or business.
(2) The following factors will describe whether particular artists usually performs services under the direction of a principal without supervision. However, evidence of control could separate a particular artist from the usual circumstances described below.
(A) Actors, dancers and musicians in a performing company are usually under supervision.
(B) Actors, dancers and musicians as headlined artists are usually not under supervision.
(C) Small groups performing under a group name are not usually under supervision.
(D) Artists performing services in an institutional setting, such as an artistic performance or teaching, do not usually perform their services under supervision as to the specific artistic service, but the circumstances surrounding the specific artistic service may be subject to control. For whether such control is evidence of employment, see paragraph 9, below.
(E) Artists performing services under a commission, such as a portrait painter or composer, are not usually under supervision.
(3) Artists possess knowledge of techniques, artistic processes, and methodologies unique to the performance of the arts. Evidence of this specialized knowledge and skill is demonstrated by personal exhibitions, significant studies in a recognized institution of higher learning or with a master teacher or is demonstrated through a substantial body of work which has been reviewed and approved or recommended by a panel of peers or experts in the artist's given field or discipline. A high degree of specialized knowledge and skill is evidence of independence.
(4) Facilities typically supplied by a principal to an artist are large items, such as space, photographic equipment, sound equipment, lights, stage facilities, and costumes. The provision of space, such as an auditorium or classroom, by the principal is not evidence that the artist is an employee unless it is likely that the principal will provide instruction in its use. The provision by the principal of other such large items is evidence of employment. Where the facilities necessary for performance of an artistic service are provided by a principal because they are of a type required by law, the provision of the facilities is not evidence of employment.
Tools of the trade, such as toe shoes, paints and brushes, hand cameras, tuxedo for a symphony, specific costume for a band or singer or dancer are generally supplied by the artist. If the artist provides the tools of the trade, it does not raise an inference of independence or employment. If an artist provides tools or equipment that are unique, it raises an inference of independence. 
Tools of the trade provided by the principal to an artist in lieu of pay do not raise an inference of employment or independence. If the principal provides the tools of the trade but not as part of the pay to the artist, it is evidence of employment.
(5) The length of time for which the services are performed by an artist may vary significantly. Services directed to an end result, such as a portrait or a finalized musical composition, which would reasonably be expected to require the time for which services are performed is not considered to be continuing and would not be evidence that an artist is an employee. Performance of services by an artist at regular times or on a regular schedule imposed by the principal for any period of days, weeks or months is evidence that the artist is not independent
(6) When an artist performs services and payment is measured by the time of services, such as hour, day, week, month, etc., it is evidence of employment. Payment by the job or piece of production is evidence of independence. If payment is determined by the artist or through bona fide negotiations, it is evidence of independence. If the payment is determined by the principal or negotiations for the amount of payment are not truly bona fide, it is evidence of employment.
(7) Whether or not the services performed by the artist are part of the regular business of the principal for whom the services are performed or whether the services are not within the regular business of the principal depends upon the purpose for which the services are being performed. Services that further the functions that are normal to the principal's business will be considered within the purpose of the principal and will be evidence of employment.
The purposes of government and nonprofit entity operations are business purposes within the meaning of this subdivision. The purposes of such institutions and organizations are generally artistic, therapeutic, recreational, religious, charitable, educational, or for rehabilitation. Whether the purposes of a particular institution or organization are furthered by the services of an artist depends on the circumstances surrounding the institution and the services performed.
Where the services are to carry out functions normally provided by the business, institution or organization, it will be evidence that the services are performed by an artist as an employee. Where the purpose of the product of creativity is above or beyond or different than the purpose of the business institution or organization for which the services are performed, it is evidence of independence. For example, in educational institutions where services are performed to carry out an adopted curriculum, there is evidence of employment. Where services are outside and beyond the adopted curriculum there is evidence of independence.
(8) Belief of the parties regarding the relationship they intend may be determined by written agreement. The terminology used in an agreement between an artist and the principal for whom the services are performed is not conclusive of the relationship, even in the absence of fraud or mistake. On the other hand, such an agreement is evidence of the relationship intended by the parties to the agreement. If the agreement provides for the relationship in which services are to be performed for a principal in such a way that the principal expresses interest only in the desired result and abandons the right to control the manner and means by which the result is achieved, such an agreement is evidence that the relationship intended was not that of employer and employee if the terms of the agreement are in fact carried out. If the factual relationship between the parties is different than that provided by the agreement it is evidence that the agreement does not express the intention of the parties.
If the agreement between the artist and the principal for whom the services are performed specifically denies an employment relationship, but contains provisions which allow for the exercise of control by that principal over the manner and means of performing the services, the provisions denying the employment relationship do not express the intent of the parties.
(9) Exercise of control is evidence of the right to control. That the service must be performed on designated premises or in a designated place or structure or structures by itself is not evidence of control. If the services are performed upon the premises of the principal for whom the services are performed and that principal is in business and the artist uses the facilities of the principal in performing the services in compliance with policies or rules for the conduct of workers on the premises, it would be evidence that the artist was performing services as an employee. On the other hand, if the particular rules or policies of the principal are made only for the general safety or security of the premises, and would be equally applicable to individuals whether they were clearly independent contractors or employees, adherence to such policies, rules or customs would not raise the inference that the artist was performing services as an employee.
(10) Services performed by an artist for a principal which is in business which are in furtherance of the purpose of the principal's business, as described in (7) above, are evidence that the artist is performing services as an employee. Services performed for an individual not in business do not raise an inference of employment.
(11) If the artist's services can be terminated at will by the principal or the artist without cause related to the conduct of the principal or the artist and without the expectation of liability for damages for breach of contract, it is evidence of employment.
(12) Designations of status contained in collective bargaining agreements shall be considered when and to the extent required by law.
(13) When an artist receives remuneration for specific services from more than one principal or from a principal for whom the services are not directly performed, and the services are in employment, all remuneration is wages in employment. Whether a principal is an employer, regardless of the period of time for which the services are performed, shall be determined pursuant to Section 4305-1(i) of Title 22 of the California Administrative Code. Payment of wages by a principal other than the employer is payment paid by an agent of the employer.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 621, 13004, 13005 and 13020, Unemployment Insurance Code.
HISTORY

1. New section filed 10-23-86; effective thirtieth day thereafter (Register 86, No. 45).
§4304-6. Application to Newspaper Distribution Industry.
Note     •     History

(a) While determination of whether a carrier is an employee or an independent contractor in the newspaper distribution industry will be determined generally by the rules set forth in 4304-1 above, specific application of those rules to services in the newspaper distribution industry are set forth in 4304-6. In circumstances where a specific application is not interpreted by 4304-6 that specific application will be determined by the rules set forth in 4304-1 above. No one or more of enumerated factors will necessarily indicate that a particular relationship exists.
(b) Definitions:
(1) A “newspaper” is a newspaper of general circulation as defined in Government Code Section 6000, and any other publication circulated to the community in general as an extension of or substitute for that newspaper's own circulation, whether that publication be designated a “shoppers' guide,” as a zoned edition, or otherwise.
(2) A “publisher” is the natural or corporate person that manages the newspaper's business operations, including circulation.
(3) A “newspaper distributor” is a person or entity that contracts with a publisher to distribute newspapers to the community.
(4) A “principal” is, for the purposes of these regulations, a person or entity that engages the services of a carrier to effect the actual delivery of the newspaper to the customer or reader. The principal of a carrier may be either a publisher which effects its own distribution or a newspaper distributor.
(5) A “carrier” is a person who effects physical delivery of the newspaper to the customer or reader. He or she is an agent of a principal who may be either a publisher or a newspaper distributor. He or she may be, depending on guidelines listed below, either an employee or an independent contractor with respect to that principal.
(6) A “route” is a geographic sector of the community, or a specified list of customers, to which a carrier effects deliveries of the newspaper.
(c) Basic Guidelines.
(1) Written agreements. A written agreement signed by both parties shall be evidence of intent. However, if the terms of the agreement are not complied with in practice, the agreement shall not determine the intent or the relationship of the parties. A written agreement to the extent it provides for negotiation of terms, including fees, expense adjustments and other items of compensation to the carrier, shall tend to indicate the existence of an independent contractor relationship. The outcome of any such negotiations shall not be evidence of the existence of either an employment or an independent contractor relationship.
A provision prohibiting the carrier from affixing to, or inserting in, the newspaper any materials unauthorized by the principal or from making use of the principal's subscriber list without the principal's consent shall not be evidence of employment or independence.
A provision by which the carrier holds the principal harmless from liability shall be evidence of independence.
A provision whereby the carrier agrees to post a bond with the principal at the carrier's expense shall be evidence of independence unless the principal increases the carrier's remuneration to pay the cost of such bond. 
(2) Compensation. Compensation to the carrier in the form of an hourly rate shall be evidence of an employment relationship. Compensation to the carrier in the form of a flat fee per route or per copy delivered shall be evidence of an independent contractor relationship.
Other bases for compensation, combining factors of distance, difficulty and expense of delivery, shall be evidence of an employment relationship to the extent that such terms are nonnegotiable and of an independent contractor relationship to the extent that they are negotiable.
Bonuses which are paid as an incentive to the maintenance or improvement of customer satisfaction on the carrier's route, such as might be indicated by a slowed rate of cancellations or an increased rate of starts, shall not be evidence of employment or independence.
(3) Benefits plans. The fact that a principal provides the opportunity for a carrier to participate in a health, medical, life insurance, or retirement insurance program shall not be evidence of an employment relationship if the carrier is charged for premiums necessary for participation in such program. Any adjustment in remuneration of the carrier to compensate him or her for the payment for participation in such benefits plans shall be evidence of employment.
(4) Conditions of service. The fact that a principal and carrier agree that the carrier shall deliver a newspaper to each customer on his or her route in a timely manner and in a readable condition shall not be evidence of an employment relationship as long as other factors indicate the absence of control by the principal of the manner and means of such delivery.
Timeliness of delivery may be indicated by agreement for delivery or completion of a route by a certain hour.
Readability may be indicated by agreement for protecting the newspaper against damp conditions or by placement on the customer's premises, as the situation may require, in a location readily accessible to the customer and protected from theft, animals or moisture.
The fact that carriers are assigned routes by the principal and that such assignments are not negotiated with regard to remuneration shall be evidence of employment. However, if a route is offered to a carrier and the remuneration for servicing the route is negotiable, it shall be evidence of independence.
The fact that the carrier is required to maintain a subscriber list and update such list and provide copies to the principal upon request for the benefit of the principal shall not be evidence of either an employee or independent contractor relationship.
Where the principal requires the carrier to deliver billings without agreement on compensation to the subscribers, such requirement shall be evidence of employment; however, where the carrier is given the option of delivering billings for additional remuneration, such evidence shall tend to indicate independence. The fact that the principal bills the subscribers and is responsible for collecting the accounts receivable shall not be evidence of employment or independence.
The fact that the principal provides transportation for the carrier's delivery of the newspaper, at less than a fair market cost to the carrier, shall be evidence of employment. 
(5) Customer complaints. Customer complaints as to missed delivery, late delivery or delivery in an unreadable condition may be taken by the principal and referred to the carrier without giving rise to the inference of either an employment or an independent contractor relationship. The fact that the principal requires the carrier to respond to or correct such problems shall tend to indicate an employment relationship. The fact that the principal responds to or corrects such problems directly and charges the carrier with a penalty or with the principal's cost of corrective action shall tend to indicate the existence of an independent contractor relationship; the absence of such a charge will be evidence of employment. The fact that the principal gives the carrier the option of either personally correcting the problem or being charged with a penalty or with the principal's cost of correction shall tend to indicate an independent contractor relationship.
(6) Termination. When, by terms of an agreement or by practice of the principal, the relationship between the principal and carrier may be unilaterally terminated without 30 days' notice, it will be evidence of employment. A right of termination without such notice for breach of statutory or regulatory requirements, for the protection of the public or for a material breach by the carrier of the terms and conditions of service including, but not limited to, abandonment or complete failure to deliver a route, or late, incomplete or damaged delivery over a period of time, or other significant interference with customer relationships, shall not be evidence of employment.
(7) Substitutes. The fact that the principal provides substitute carriers for the regular carriers shall be evidence of employment. However, if the principal provides a substitute in an emergency situation and charges the carrier for such delivery, it is evidence of independence. The fact that the carrier can obtain his or her own substitute without the principal's approval shall be evidence of independence. If a substitute carrier is paid directly by the principal in non-emergency situations, whether the substitute is chosen by the carrier or principal, it shall be evidence of employment.
(8) Recruitment advertising and applications. Terminology in carrier recruitment advertising and carrier application forms will be evidence of independence or employment.
(9) Workers' Compensation Insurance. The fact that a principal carries workers' compensation insurance on all carriers, whether in an employment or independent contractor relationship, shall not create an inference of employment or independence.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 621, 13004, 13005 and 13020, Unemployment Insurance Code.
HISTORY

1. New section filed 9-17-87; operative 10-17-87 (Register 87, No. 38).
§4304-7. Specific Application of Rules for Determination of Employment Status to Circumstances in the Product Demonstrator Industry.
Note     •     History

(a) The common law rules used to determine whether services are performed as an employee or as an independent contractor are contained in Section 4304-1. That section provides that “the most important factor is the right of the principal to control the manner and means of accomplishing a desired result. If the principal has the right to control the manner and means of accomplishing the desired result, whether or not that right is exercised, an employer-employee relationship exists.” The purpose of this Section is to provide the product demonstrator industry with standards to be used in conjunction with Section 4304-1 whether a product demonstrator is performing services as an employee or independent contractor. The factors contained in this section are indicators of the right to control Not all applications listed in this section are necessary to make a determination that a particular relationship exists. A determination of whether services are being performed as an employee or independent contractor will depend upon a grouping of factors that are significant in relation to the services being performed.
(b) A “product demonstrator” is an individual who distributes coupons, demonstrates or gives away samples of products as part of an advertising or sales promotion for the product.
(c) To determine whether one performs services for another as an employee, the most important factor is the right of the principal to control the manner and means of accomplishing a desired result. If the principal has the right to control the manner and means of accomplishing the desired result, whether or not that right is exercised, an employer-employee relationship exists. Strong evidence of that right to control is the principal's right to discharge at will, without further liability. A “principal” is defined as any principal or their agent, e.g. manufacturer, wholesaler, broker, marketing firm, demonstration company, or retail store (see following tables).
(d) - (l) The following secondary factors may be used to determine whether a product demonstrator is an employee or an independent contractor. These secondary factors are examples of conduct and should be weighed in light of the activity being performed by the individual. When the factors are considered, a determination of whether the individual is an employee will depend on a grouping of factors that are significant in relation to the services being performed (see following tables).
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 621, Unemployment Code.
HISTORY

1. New section filed 3-17-92; operative 4-16-92 (Register 92, No. 13).

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§4304-8. Specific Application of Rules for Determination of Employment Status to Circumstances in the Security Dealer's Industry.
Note     •     History

(a) To determine whether services are performed as an employee or independent contractor refer to the common law rules contained in Section 4304-1 of these regulations. Section 4304-1 provides that “to determine whether one performs services for another as an employee, the most important factor is the right of the principal to control the manner and means of accomplishing a desired result.” Section 4304-1 lists factors which are evidence of the existence or absence of the right of control, to be considered when making an employment determination. Section 4304-8 provides standards to be used when applying the common law rules specifically to security dealers and is intended to make clearer those circumstances under which a security dealer is an independent contractor or an employee.
(b) Definitions.
(1) A broker/dealer (B/D) means any individual, corporation, partnership, association, joint stock company, business trust, unincorporated organization or other legal entity designated as a B/D and engaged in the business of effecting transactions in securities for the account of others or his or her own account, but does not include a bank.
(2) A registered representative (RR) is a person associated with a B/D, including assistant officers other than principals, who is engaged in the investment banking or securities business for the B/D including the functions of supervision, sales, solicitation or conduct of business in securities or who is engaged in the training of persons associated with a B/D for any of these functions.
(3) The National Association of Securities Dealers (NASD) is a self-regulatory organization that creates, maintains, and monitors compliance with standardized rules of practice for the industry for the benefit of its brokers and registrants.
(c) The following are examples of the circumstances under which an RR would definitely be an employee and, conversely, definitely an independent contractor. If the circumstances of the status under review do not fit these definite examples then subsection (d), and its determination factors, shall be used.
(1) REGISTERED REPRESENTATIVE AS EMPLOYEE -- A RR performing services for a B/D in the following manner would definitely be an employee. The B/D requires the RR to perform services during set hours, on the B/D's premises, and the B/D provides furniture, equipment, supplies, and support staff at no charge to the RR. The RR is paid a salary or draws against commission, with no provision for reimbursement of amounts drawn in excess of commissions earned, and is reimbursed for expenses incurred. The RR is required to attend sales meetings, furnish reports, meet sales quotas, and follow-up on leads which are provided by the B/D. The RR performs services solely for one B/D.
(2) RR AS INDEPENDENT CONTRACTOR -- A RR performing  services for a B/D in the following manner would definitely be an independent contractor. The RR has a separately established business location accessible to the public or clients. The RR offers a variety of services and investment products in addition to those of the B/D, such as life insurance, real estate, financial planning, or accounting services that are not offered on behalf of the B/D. The RR provides his/her own furniture, equipment, and support staff. The RR is paid strictly by commission, with no draws against commissions, and is not reimbursed for expenses incurred. The RR is not required to attend sales meetings, furnish reports, meet sales quotas, and is not required to follow-up on leads provided by the B/D.
(d) Determination Factors:
To determine whether one performs services for another as an employee, the most important factor is whether or not the principal has the right to control the manner and means of accomplishing a desired result. To the extent that control is exerted only to comply with State, Federal or NASD regulatory requirements, and is the minimum required by regulation, it will be considered an indication of employment, but is insufficient alone to hold an employer-employee relationship. Each of the following factors shall be used to determine if an employment relationship exists.
Not all factors listed in this section (4304-8) are necessary to make a determination that a particular relationship exists. A determination of whether services are being performed as an employee or independent contractor will depend upon a grouping of the factors that are significant in relationship to the services being performed. (See following factors.)

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NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 621 and 13004, Unemployment Insurance Code.
HISTORY

1. New section filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
2. Editorial correction of section and Table (Register 96, No. 34).
§4304-9. Specific Application of Rules for Determination of Employment Status to Circumstances in the Language Interpreter's Industry.
Note     •     History

(a) To determine whether services are performed as an employee or independent contractor refer to the common law rules contained in section 4304-1 of these regulations. Section 4304-1 provides that “to determine whether one performs services for another as an employee, the most important factor is the right of the principal to control the manner and means of accomplishing a desired result.” Section 4304-1 lists factors which are evidence of the existence or absence of the right of control, to be considered when making an employment determination. Section 4304-9 provides standards to be used when applying the common law rules specifically to language interpreters and is intended to make clearer those circumstances under which a language interpreter is an independent contractor or employee.
(b) Definitions:
For purposes of this regulation, the following definitions will apply:
(1) A “language interpreter” is an individual who interprets or translates one or more languages. For example, language includes, but is not limited to, non-English or sign language and interpreted or translated by means of verbal or written communication.
(2) A “principal” is any individual or entity for whom or which the language interpreter performs interpreting or translating services. A principal can be either an agency, client or customer of an agency, or any other individual or entity.
(3) An “agency” is any service, agency, individual, partnership, corporation or other entity that contracts with clients or customers to who it provides language interpreters.
(c) Determination Factors:
To determine whether one performs services for another as an employee, the most important factor is whether or not the principal has the right to control the manner and means of accomplishing a desired result. Each of the following factors shall be used to determine if an employment relationship exists. Not all factors listed in this section (4304-9) are necessary to make a determination that a particular relationship exists. A determination of whether services are being performed as an employee or independent contractor will depend upon a grouping of the factors that are significant in relationship to the services being performed. (See following factors.)

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NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 621, Unemployment Insurance Code; and Senate Bill No. 358, Chapter 701, Sec. 2, Stats 1993.
HISTORY

1. New section filed 9-14-95; operative 10-14-95 (Register 95, No. 37).
§4304-10. Specific Application of Rules for Determination of Employment Status of Amateur Athletic Officials.
Note     •     History

(a) To determine whether services are performed as an employee or independent contractor, refer to the common law rules contained in Section 4304-1 of these regulations.  Section 4304-1 provides that “to determine whether one performs services for another as an employee, the most important factor is the right of the principal to control the manner and means of accomplishing a desired result.”  Section 4304-1 lists factors that are evidence of the existence or absence of the right of control to be considered when making an employment determination.  Section 4304-10 provides standards to be used when applying the common law rules specifically to amateur athletic officials and is intended to make clearer those circumstances under which an amateur athletic official is an independent contractor or employee.
(b) Definitions:
For the purposes of this regulation, the following definitions will apply:
(1) An “amateur athletic official” is an individual who supervises an amateur sporting contest, such as an umpire, referee, judge, scorekeeper, or timekeeper.
(2) A “principal” is an individual or entity for whom or for which the amateur athletic official performs services.  Amateur athletic officials generally have one or more of the following principals:
(A) The school or team sponsoring the contest.
(B) The league (or entity sponsoring the league) sponsoring the contest.
(C) The governing body of the organization sponsoring the contest.
(D) The sports officials association or other similar entity that has contracted to provide one or more officials for the contest.
(E) Any other individual or entity sponsoring an amateur sporting contest or providing officials for an amateur sporting contest.
(3) An “amateur sporting contest” means any athletic competition in which the participants are not professional athletes, including interscholastic and intercollegiate events in which the participants are students and amateur contests in which the participants are children or adults.
(c) Determination Factors:
To determine whether one performs services for another as an employee, the most important factor is whether or not the principal has the right to control the manner and means of accomplishing a desired result.  The most important factor to be considered when determining the status of an amateur athletic official is whether the principal has the right to control the manner and means by which the official performs officiating services.  “Control” shall not be established by factors provided for under rules promulgated by third parties or by factors not directly related to the amateur athletic official's duties.
If the principal does not have the right to control the amateur athletic official's decisions during a contest, the worker is an independent contractor.  If it is not clear whether an amateur athletic official's actions are subject to direct control by the principal during a contest, then this factor and the secondary factors described in the following table shall be used to determine if the official is an employee or independent contractor.  Not all factors listed in this section are necessary to make a determination that a particular relationship exists. A determination of whether services are being performed as an employee or independent contractor will depend upon a grouping of the factors that are significant in relationship to the services being performed.  (See following factors.)

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NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 621, 657 and 13004, Unemployment Insurance Code.
HISTORY

1. New section filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
§4304-11. Specific Application of Rules for Determination of Employment Status to Circumstances in the Process Server's Industry.
Note     •     History

(a) To determine whether services are performed as an employee or independent contractor, refer to the common law rules contained in Section 4304-1 of these regulations.  Section 4304-1 provides that “to determine whether one performs services for another as an employee, the most important factor is the right of the principal to control the manner and means of accomplishing a desired result.”  Section 4304-1 lists factors that are evidence of the existence or absence of the right of control to be considered when making an employment determination. Section 4304-11 provides standards to be used when applying the common law rules specifically to process servers and is intended to make clearer those circumstances under which a process server is an independent contractor or employee.
(b) Definitions:
For the purposes of this regulation, the following definitions will apply:
(1) A “process” is any means used by the court to acquire or exercise its jurisdiction over a person or over specific property.
(2) A “service” as used in the context of Service of Process is the exhibition or delivery of a legal document such as a writ, summons and complaint, criminal summons, notice, or order, by an authorized person, to a person who is thereby officially notified of some action or proceeding in which he or she is concerned, and is thereby advised or warned of some action or step which he or she is commanded to take or to forbear.
(3) A “process server” is a person authorized by law to serve process papers on an individual or entity.
(4) A “principal” is any individual or entity for whom or for which the process server performs process serving services.
(c) Determination Factors:
To determine whether one performs services for another as an employee, the most important factor is whether or not the principal has the right to control the manner and means of accomplishing a desired result. Each of the following factors shall be used to determine if an employment relationship exists. Not all factors listed in this section (4304-11) are necessary to make a determination that a particular relationship exists. A determination of whether services are being performed as an employee or independent contractor will depend upon a grouping of the factors that are significant in relationship to the services being performed. (See following factors.)

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NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 621, Unemployment Insurance Code.
HISTORY

1. New section filed 2-20-97; operative 3-22-97 (Register 97, No. 8).
§4304-12. Specific Application of Rules for Determination of Employment Status to Circumstances in the Barbering and Cosmetology Industry.
Note     •     History

(a) To determine whether services are performed as an employee or independent contractor refer to the common law rules contained in Section 4304-1 of these regulations. Section 4304-1 provides that “to determine whether one performs services for another as an employee, the most important factor is the right of the principal to control the manner and means of accomplishing a desired result.” Section 4304-1 lists factors which are evidence of the existence or absence of the right of control, to be considered when making an employment relationship determination. Section 4304-12 provides standards to be used when applying the common law rules specifically to a Professional licensed by the Bureau of Barbering and Cosmetology and is intended to make clearer those circumstances under which this individual is an employee or independent contractor. 
(b) Definitions: 
For purposes of this regulation, the following definitions will apply: 
(1) A “Licensed Professional” is an individual licensed by the Department of Consumer Affairs and includes but is not limited to, barbers, cosmetologists, manicurists, electrologists and estheticians. 
(2) A “principal” is defined as a cosmetology business operator or salon owner, or his or her agent or manager. 
(c) Determination Elements: 
To determine whether one performs services for another as an employee, the most important factor is whether or not the principal has the right to control the manner and means of accomplishing a desired result. Each of the following elements shall be considered to determine if an employment relationship exists. Not all elements listed in this section (4304-12) need be present to make a determination that a particular relationship exists. A determination of whether services are being performed as an employee or independent contractor will depend upon a grouping of the elements present that are significant in relationship to the services being performed. (See the following elements.) 

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NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 621 and 13004, Unemployment Insurance Code. 
HISTORY

1. New section filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
2. Change without regulatory effect amending subsections (a), (c)(5), (c)(9), (c)(12), (c)(14) and (c)(16) filed 4-18-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 16).
§4305-1. Employer Defined.
Note     •     History

(a) The term “employer” means any person for whom an individual performs or performed any service, of whatever nature, as the employee of such person.
(b) It is not necessary that the services be continuing at the time the wages are paid in order that the status of employer exists. Thus, for purposes of withholding, a person for whom an individual has performed past services for which he is still receiving wages from such person is an “employer.” 
(c) An employer may be an individual, a corporation, a partnership, a trust, an estate, a joint-stock company, an association, a syndicate, group, pool, joint venture, or other unincorporated organization, group, or entity. A trust or estate, rather than the fiduciary acting for or on behalf of the trust or estate, is generally the employer.
(d) The term “employer” embraces not only individuals and organizations engaged in trade or business, but organizations exempt from income tax, such as religious and charitable organizations, educational institutions, clubs, social organizations and societies, as well as the governments of the United States, the States, Territories, and the District of Columbia, including their agencies, instrumentalities, and political subdivisions.
(e) The term “employer” also means (except for the purpose of the definition of “wages”) any person paying wages on behalf of a nonresident alien individual, foreign partnership, or foreign corporation, not engaged in trade or business within the United States (including Puerto Rico as if a part of the United States).
(f) If the person for whom the services are or were performed does not have legal control of the payment of the wages for such services, the term “employer” means (except for the purpose of the definition of “wages”) the person having such control. For example, where wages, such as certain types of pensions or retired pay, are paid by a trust and the person for whom the services were performed has no legal control over the payment of such wages, the trust is the “employer.”
(g) The term “employer” also means a person making a payment of a supplemental unemployment compensation benefit which is treated under Section 13028.5 of the code as if it were wages. For example, if supplemental unemployment compensation benefits are paid from a trust which was created under the terms of a collective bargaining agreement, the trust shall generally be deemed to be the employer. However, if the person making such payment is acting solely as an agent for another person, the term “employer” shall mean such other person and not the person actually making the payment.
(h) It is the basic purpose to centralize in the employer the responsibility for withholding, filing returns, and paying over the tax, and for furnishing the statements required under Section 13050 of the code. The special definition of the term “employer” in subdivisions (e), (f), and (g) of this regulation are designed solely to meet special or unusual situations, and they are not intended as a departure from the basic purpose.
(i) For the purpose of determining the “employer” in the case of a temporary services employer or a leasing employer, the entity determined to be the employer pursuant to Section 606.5 of this code shall also be the employer for purposes of Division 6 of this code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 13005 and 13020, Unemployment Insurance Code.
HISTORY

1. Editorial renumbering of former section 4304-1(c) to section 4305(i) (Register 86, No. 42).
2. Amendment of subsections (b), (g) and (h), repealer of subsections (i)-(i)(4), and new subsection (i) filed 6-30-92; operative 7-30-92 (Register 92, No. 27).
§4308-1. Payroll Period.
Note

(a) The term “payroll period” means the period of service for which a payment of wages is ordinarily made to an employee by his employer. It is immaterial that the wages are not always paid at regular intervals. For example, if an employer ordinarily pays a particular employee for each calendar week at the end of the week, but if for some reason the employee in a given week receives a payment in the middle of the week for the portion of the week already elapsed and receives the remainder at the end of the week, the payroll period is still the calendar week; or if, instead, that employee is sent on a 3-week trip by his or her employer and receives at the end of the trip a single wage payment for three weeks' services, the payroll period is still the calendar week, and the wage payment shall be treated as though it were three separate weekly wage payments.
(b) For the purpose of Section 13020 of the code, an employee can have but one payroll period with respect to wages paid by any one employer. Thus, if an employee is paid a regular wage for a weekly payroll period and in addition thereto is paid supplemental wages (for example, bonuses) determined with respect to a different period, the payroll period is the weekly payroll period. For computation of tax on supplemental wage payments, see Section 4343-1 of these regulations.
(c) The term “payroll period” also means the period of accrual of supplemental unemployment compensation benefits for which a payment of such benefits is ordinarily made. Thus if benefits are ordinarily accrued and paid on a monthly basis, the payroll period is deemed to be monthly.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 13008, 13020, and 13028, Unemployment Insurance Code.
§4309-1. Wages.
Note     •     History

(a) In General.
(1) The term “wages” means all remuneration for services performed by an employee for his or her employer unless specifically excepted under Section 13009 or 13031 of the code.
(2) The name by which the remuneration for services is designated is immaterial. Thus, salaries, fees, bonuses, commissions, including those on sales or insurance premiums, pensions, and retired pay are wages within the meaning of the statute if paid as compensation for services performed by the employee for his or her employer.
(3) The basis upon which the remuneration is paid is immaterial in determining whether the remuneration constitutes wages. Thus, it may be paid on the basis of piecework, or a percentage of profits; and may be paid hourly, daily, weekly, monthly, or annually.
(4) Generally the medium in which remuneration is paid is also immaterial. It may be paid in cash or in something other than cash, as for example, stocks, bonds, or other forms of property. (See, however, Section 13009(h) of the code, relating to the exclusion from wages of remuneration paid in any medium other than cash for services not in the course of the employer's trade or business, and Section 13009(n)(1) of the code, relating to the exclusion from wages of tips paid in any medium other than cash.) If services are paid for in a medium other than cash, the fair market value of the thing taken in payment is the amount to be included as wages. If the services were rendered at a stipulated price, in the absence of evidence to the contrary, such price will be presumed to be the fair value of the remuneration received. If a corporation transfers to its employees its own stock as remuneration for services rendered by the employee, the amount of such remuneration is the fair market value of the stock at the time of the transfer.
(5) Remuneration for services, unless such remuneration is specifically excepted by the statute, constitutes wages even though at the time paid the relationship of employer and employee no longer exists between the person in whose employ the services were performed and the individual who performed them. 
EXAMPLE. A is employed by R during the month of January and is entitled to receive remuneration of $100 for the services performed for R, the employer, during the month. A leaves the employ of R at the close of business on January 31. On February 15 (when A is no longer an employee of R), R pays A the remuneration of $100 which was earned for the services performed in January. The $100 is wages within the meaning of the statute.
(b) Certain Specific Items.
(1) Pensions, Annuities, and Other Deferred Income. Pensions, annuities, and other deferred income as described in Section 3405 of the Internal Revenue Code are wages subject to withholding. See Section 13028 of the code and Sections 4328-1 and 4328.1-1 of these regulations for withholding requirements.
Those payments of pensions or other benefits by the Federal Government under Title 38 of the United States Code which are excluded from gross income are not wages subject to withholding.
(2) Traveling and Other Expenses. Amounts paid specifically--either as advances or reimbursements--for traveling or other bona fide ordinary and necessary expenses incurred or reasonably expected to be incurred in the business of the employer are not wages and are not subject to withholding. Traveling and other reimbursed expenses must be identified either by making a separate payment or by specifically indicating the separate amounts where both wages and expense allowances are combined in a single payment.
(3) Vacation Allowances. Amounts of so-called “vacation allowances” paid to an employee constitute wages. Thus, the salary of an employee on vacation, paid notwithstanding his or her absence from work, constitutes wages.
(4) Dismissal Payments. Any payments made by an employer to an employee on account of dismissal, that is, involuntary separation from the service of the employer, constitute wages regardless of whether the employer is legally bound by contract, statute, or otherwise to make such payments. Dismissal payments, as used in this subparagraph, include but are not limited to, severance pay, in-lieu-of-notice pay, supplemental unemployment, and termination pay.
(5) Deductions by Employer from Remuneration of an Employee. Any amount deducted by an employer from the remuneration of an employee is considered to be a part of the employee's remuneration and is considered to be paid to the employee as remuneration at the time that the deduction is made unless specifically exempted under Section 13009 of the code or deferred under Section 402 or 457 of the Internal Revenue Code. It is immaterial that any act of Congress, or the law of any State, requires or permits such deductions and the payment of the amounts thereof to the United States, a State, a Territory, or the District of Columbia, or any political subdivision of any one or more of the foregoing.
(6) Payment by an Employer of Employee's Tax or Employee's Contribution Under a State Law. The term “wages” includes the amount paid by an employer on behalf of an employee (without deduction from the remuneration of, or other reimbursement from, the employee) on account of any payment required from an employee under a State unemployment compensation law, or on account of any tax imposed upon the employee by any taxing authority, including the taxes imposed by Sections 3101 and 3201 of the Internal Revenue Code.
(7) Remuneration for Services as Employee of Nonresident Alien Individual or Foreign Entity. The term “wages” includes remuneration for services performed by a resident of California for services performed either within or without California, or a nonresident of California for services performed in California, as an employee of a nonresident alien individual, foreign partnership, trust, association, or corporation, whether or not such alien individual or foreign entity is engaged in a trade or business within the United States. Any person paying wages on behalf of a nonresident alien individual, foreign partnership, trust, association, or corporation, not engaged in trade or business within the Unites States (including

Puerto Rico as if a part of the United States), is subject to all the provisions of law and regulations applicable with respect to an employer. See Section 4305-1 of these regulations relating to the term “employer.”
(8) Amounts Paid Under Wage Continuation Plans.
(A) In General. The term “wage continuation payment,” as used in this subparagraph, means any payment to an employee which is made under a wage continuation plan for a period of absence from work on account of personal injuries or sickness, to the extent such payment is attributable to contributions made by the employer which were not includable in the employee's gross income or is paid by the employer. Any such payment constitutes “wages” and withholding thereon is required unless the payment is specifically excepted under any of the subdivisions of Sections 931.5, 13009, or 13031 of the code.
(B) Amounts Paid by Person Other Than the Employer for Whom Services Are Performed. Payments are considered made by the employer if a third party makes the payments as an agent of the employer. The determining factor as to whether a third party is an agent of the employer is whether the third party bears any insurance risk. If the third party bears no insurance risk and is reimbursed on a cost plus fee basis, the third party is an agent of the employer even if the third party is responsible for making determinations of the eligibility of individual employees of the employer for sick pay payments. If the third party is paid an insurance premium and not reimbursed on a cost plus fee basis, the third party is not an agent of the employer, but the third party is a payer of third party sick pay for purposes of a voluntary withholding from sick pay under section 13028.6 of the code and the regulation thereunder. If a third party payer and an employer enter into an agency agreement whereby the employer designates the payer to be the employer's agent for purposes of fulfilling the requirements of 13050(a) of the code, that agency agreement does not make the third party an agent of the employer for purposes of this paragraph. No tax shall be withheld with respect to wage continuation payments made under a workers' compensation law or from the State Disability Insurance fund. (See Section 13009(g) of the code.)
(C) Cross References. See section 13050 of the code and the regulations in this part for rules with respect to the records which must be maintained in connection with wage continuation payments and for rules with respect to the statements which must be furnished in connection with wage continuation payments.
(9) Value of Meals and Lodging. The value of any meals or lodging furnished to an employee by his employer is not subject to withholding if the value of the meals or lodging is excludable from the gross income of the employee under Section 119 of the Internal Revenue Code.
(10) Facilities or Privileges. Ordinarily, facilities or privileges (such as entertainment, medical services, or so-called “courtesy” discounts on purchases), furnished or offered by an employer to his or her employees generally, are not considered as wages subject to withholding if such facilities or privileges are of relatively small value and are offered or furnished by the employer merely as a means of promoting the health, good will, contentment, or for efficiency of his or her employees.
(11) Tips or Gratuities. For provisions relating to the treatment of tips received by an employee as wages, see Sections 4309-3 and 4327-1 of these regulations.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 931.5, 13005, 13009, 13020, 13028, 13028.6. and 13031, Unemployment Insurance Code.
HISTORY

1. Amendment of subsections (a)(1), (b)(1), (b)(4), (b)(5), (b)(8), (b)(9) and Note filed 6-10-92; operative 7-10-92 (Register 92, No. 24).
§4309-2. Exclusions from Wages.
Note

(a) In General.
(1) The term “wages” does not include any remuneration for services performed by an employee for his or her employer which is specifically excepted from wages under Section 13009 of the code.
(2) The exceptions apply to the remuneration for the type of services performed by an employee and not to the employee as an individual. The exception applies only to the remuneration for those services in the excepted category. 
EXAMPLE. A is an individual who is employed part time by B to perform domestic service in B's home (see Section 13009(b) of the code). A is also employed by C part time to perform services as a clerk in a department store owned by C. While no withholding is required with respect to A's remuneration for services performed in the employ of B (the remuneration being excluded from wages), the exception does not embrace the remuneration for services performed by A in the employ of C and withholding is required with respect to the wages for such services.
(3) Where all wages are not in an excepted category see Section 4331-1 of these regulations.
(4) For provisions relating to payments with respect to which a voluntary withholding agreement is in effect, which are not defined as wages in Section 13009 of the code but which are nevertheless deemed to be wages, see Section 4329-1 of these regulations.
(b) Fees Paid a Public Official.
(1) Authorized fees paid to public officials such as notaries public, clerks of courts, sheriffs, etc., for services rendered in the performance of their official duties are excepted from wages and hence are not subject to withholding. However, salaries paid such officials by the Government, or by a Government agency or instrumentality, are subject to withholding.
(2) Amounts paid to precinct workers for services performed at election booths in state, county, and municipal elections and fees paid to jurors and witnesses are in the nature of fees paid to public officials and therefore are not subject to withholding.
(c) Remuneration for Domestic Service.
(1) In a private home.
(A) Remuneration paid for services of a household nature performed by an employee in or about a private home of the person by whom he or she is employed is excepted from wages and hence is not subject to withholding. A private home is a fixed place of abode of an individual or family. A separate and distinct dwelling unit maintained by an individual is an apartment house, hotel, or other similar establishment may constitute a private home. If a dwelling house is used primarily as a boarding or lodging house for the purpose of supplying board or lodging to the public as a business enterprise, it is not a private home, and the remuneration paid for services performed therein is not within the exception.
(B) In general, services of a household nature in or about a private home include but are not limited to services performed by cooks, waiters, butlers, housekeepers, governesses, maids, valets, baby sitters, janitors, laundresses, furnacemen, caretakers, handymen, gardeners, footmen, grooms, and chauffeurs of automobiles for family use.
(2) In a Local College Club or Local Chapter of a College Fraternity or Sorority.
(A) Remuneration paid for services of a household nature performed by an employee in or about the club rooms or house of a local college club or of a local chapter of a college fraternity or sorority by which he or she is employed is excepted from wages and hence is not subject to withholding. A local college club or local chapter of a college fraternity or sorority does not include an alumni club or chapter. If the club rooms or house of a local college club or local chapter of a college fraternity or sorority is used primarily for the purpose of supplying board or lodging to students or the public as a business enterprise, the remuneration paid for services performed therein is not within the exception.
(B) In general, services of a household nature in or about the club rooms or house of a local college club or local chapter of a college fraternity or sorority include but are not limited to services rendered by cooks, waiters, butlers, maids, janitors, laundresses, furnacemen, handymen, gardeners, housekeepers, and house-mothers.
(3) Remuneration Not Excepted. Remuneration paid for services not of a household nature, such as services performed as a private secretary, tutor, or librarian, even though performed in the employer's private home or in a local college club or local chapter of a college fraternity or sorority, is not within the exceptions. Remuneration paid for services of a household nature is not within the exception if performed in or about rooming or lodging houses, boarding houses, clubs (except local college clubs), hotels, hospitals, eleemosynary institutions, or commercial offices or establishments.
(d) Cash Remuneration for Service Not in the Course of Employer's Trade or Business.
(1) Cash remuneration paid for services not in the course of the employer's trade or business performed by an employee for an employer in a calendar quarter is excepted from wages and hence is not subject to withholding unless:
(A) The cash remuneration paid for such services performed by the employee for the employer in the calendar quarter is $50 or more; and
(B) Such employee is regularly employed in the calendar quarter by such employer to perform such services.
Unless the tests set forth in both subparagraphs (A) and (B) of this subdivision are met, cash remuneration for services not in the course of the employer's trade or business is excluded from wages. (For provisions relating to the exclusion from wages of remuneration paid in any medium other than cash for services not in the course of the employer's trade or business, see subdivision (i) of this regulation.)
(2) The term “services not in the course of the employer's trade or business” includes services that do not promote or advance the trade or business of the employer. As used in this section, the term does not include service not in the course of the employer's trade or business performed on a farm operated for profit or domestic service in a private home, local college club, or local chapter of a college fraternity or sorority. Accordingly, this exception does not apply with respect to remuneration which is excepted from wages under Section 13009(a) or 13009(b) of the code. Remuneration paid for service performed for a corporation does not come within the exception.
(3) The test relating to cash remuneration of $50 or more is based on the remuneration earned during a calendar quarter rather than on the remuneration paid in a calendar quarter. However, for purposes of determining whether the test is met, it is also required that the remuneration be paid, although it is immaterial when the remuneration is paid. Furthermore, in determining whether $50 or more has been paid for service not in the course of the employer's trade or business, only cash remuneration for such service shall be taken into account. The term “cash remuneration” includes checks and other monetary media of exchange. Remuneration paid in any other medium, such as lodging, food, or other goods or commodities, is disregarded in determining whether the cash-remuneration test is met.
(4) For purposes of this exception, an individual is deemed to be regularly employed by an employer during a calendar quarter only if:
(A) Such individual performs service not in the course of the employer's trade or business for such employer for some portion of the day on at least 24 days (whether or not consecutive) during such calendar quarter; or
(B) Such individual was regularly employed (as determined under subparagraph (A) of this paragraph) by such employer in the performance of service not in the course of the employer's trade or business during the preceding calendar quarter.
(5) In determining whether an employee has performed service not in the course of the employer's trade or business on at least 24 days during a calendar quarter, there shall be counted as one day:
(A) Any day or portion thereof on which the employee actually performs such service; and
(B) Any day or portion thereof on which the employee does not perform service of the prescribed character but with respect to which cash remuneration is paid or payable to the employee for such service, such as a day on which the employee is sick or on vacation.
An employee who on a particular day reports for work and, at the direction of his or her employer, holds himself or herself in readiness to perform service not in the course of the employer's trade or business shall be considered to be engaged in the actual performance of such service on that day. For purposes of this exception, a day is a continuous period of 24 hours commencing at midnight and ending at midnight.
(e) Remuneration for Services for Foreign Government or International Organization.
(1) Services for Foreign Government.
(A) Remuneration paid for services performed as an employee of a foreign government is excepted from wages and hence is not subject to withholding. The exception includes not only remuneration paid for services performed by ambassadors, ministers, and other diplomatic officers and employees but also remuneration paid for services performed as a consular or other office or employee of a foreign government or as a nondiplomatic representative of such a government. However, the exception does not include remuneration for services performed for a corporation created or organized in the United States or under the laws of the United States or any state (including the District of Columbia) or of Puerto Rico even though such corporation is wholly owned by such a government.
(B) The citizenship or residence of the employee and the place where the services are performed are immaterial for purposes of the exception.
(2) Services for International Organization.
(A) Subject to the provisions of Section 1 of the International Organizations Immunities Act, remuneration paid for services performed within or without the United States by an employee for an international organization as defined in Section 7701(a)(18) of the Internal Revenue Code of 1954 is excepted from wages and hence is not subject to withholding. The term “employee” as used in the preceding sentence includes not only an employee who is a citizen or resident of the United States but also an employee who is a nonresident alien individual. The term “employee” also includes an officer. An organization designated by the President through appropriate Executive Order as entitled to enjoy the privileges, exemptions, and immunities provided in the International Organizations Immunities Act may enjoy the benefits of the exclusion from wages with respect to remuneration paid for services performed for such organization prior to the date of the issuance of such Executive Order, if (i) the Executive Order does not provide otherwise and (ii) the organization is a public international organization in which the United States participates, pursuant to a treaty or under the authority of an Act of Congress, authorizing such participation or making an appropriation for such participation, at the time such services are performed.
(f) Remuneration for Services of Nonresident Alien Individuals.
(1) In General. All remuneration paid for services performed by a nonresident alien individual, if such remuneration otherwise constitutes wages within the meaning of Section 4309-1 of these regulations, is subject to withholding under Section 13020 of the code unless excepted from wages under this section.
(2) Remuneration for Services of Residents of Canada or Mexico Who Enter and Leave California at Frequent Intervals.
(A) Transportation Service. Remuneration paid to a nonresident alien individual who is a resident of Canada or Mexico and who, in the performance of his or her duties in transportation service between points in California and points in such foreign country, enters and leaves California at frequent intervals, is excepted from wages and hence is not subject to withholding. This exception applies to personnel engaged in railroad, bus, truck, ferry, steamboat, aircraft, or other transportation services and applies whether the employer is a domestic or foreign entity. Thus, the remuneration of a nonresident alien individual who is a resident of Canada and an employee of a domestic railroad, for services as a member of the crew of a train operating between points in Canada and points in California, is not subject to withholding under Section 13020 of the code.
(B) Service on International Projects. Remuneration paid to a nonresident alien individual who is a resident of Mexico and who, in the performance of his or her duties in connection with the construction, maintenance, or operation of a waterway, viaduct, dam, or bridge traversed by, or traversing, the boundary between California and Mexico, enters and leaves California at frequent intervals, is excepted from wages and hence is not subject to withholding.
(C) Limitation. The exceptions provided by this paragraph do not apply to the remuneration of a resident of Canada or of Mexico who is employed wholly within California as, for example, where such a resident is employed to perform service at a fixed point or points in California, such as a factory, store, office, or designated area or areas within California, and who commutes from his or her home in Canada or Mexico, in the pursuit of his or her employment within California.
(D) Certificate Required. In order for an exception provided by this paragraph to apply for any taxable year, the nonresident alien employee must furnish his or her employer the certificate required by Section 26 CFR 31.3401(a)(6)-1(c)(4) for the exception of such remuneration from the definition of wages for federal income tax purposes.
(g) Remuneration for Services Performed by a Minister of a Church or a Member of a Religious Order.
(1) In General. Remuneration paid for services performed by a duly ordained, commissioned, or licensed minister of a church in the exercise of his or her ministry, or by a member of a religious order in the exercise of duties required by such order, is excepted from wages and hence is not subject to withholding.
(2) Service by a Minister in the Exercise of His or Her Ministry. Except as provided in subparagraph (C) of paragraph (3) of this subdivision, service performed by a minister in the exercise of his or her ministry includes the ministration of sacerdotal functions and the conduct of religious worship, and the control, conduct, and maintenance of religious organizations (including the religious boards, societies, and other integral agencies of such organizations), under the authority of a religious body constituting a church or church denomination. The following rules are applicable in determining whether services performed by a minister are performed in the exercise of his or her ministry:
(A) Whether service performed by a minister constitutes the conduct of religious worship or the ministration of sacerdotal functions depends on the tenets and practices of the particular religious body constituting his or her church or church denomination.
(B) Service performed by a minister in the control, conduct, and maintenance of a religious organization relates to directing, managing, or promoting the activities of such organization. Any religious organization is deemed to be under the authority of a religious body constituting a church or church denomination if it is organized and dedicated to carrying out the tenets and principles of a faith in accordance with either the requirements or sanctions governing the creating of institutions of the faith. The term “religious organization” has the same meaning and application as is given to the term for federal income tax purposes.
(C) (i) If a minister is performing service in the conduct of religious worship or the ministration of sacerdotal functions, such service is in the exercise of his or her ministry whether or not it is performed for a religious organization.
(ii) The rule in clause (i) of this subparagraph may be illustrated by the following example: 
EXAMPLE. M, a duly ordained minister, is engaged to perform services as chaplain at N University. M devotes his or her entire time to performing his or her duties as chaplain which include the conduct of religious worship, offering spiritual counsel to the university students, and teaching a class in religion. M is performing service in the exercise of his or her ministry.
(D) (i) If a minister is performing service for an organization which is operated as an integral agency of a religious organization under the authority of a religious body constituting a church or church denomination all service performed by the minister in the conduct of religious worship, in the ministration of sacerdotal functions, or in the control, conduct, and maintenance of such organization (see subparagraph (B) of this paragraph) is in the exercise of his or her ministry.
(ii) The rule in clause (i) of this subparagraph may be illustrated by the following example: 
EXAMPLE. M, a duly ordained minister, is engaged by the N Religious Board to serve as director of one of its departments. M performs no other service. The N Religious Board is an integral agency of O, a religious organization operating under the authority of a religious body constituting a church denomination. M is performing service in the exercise of his or her ministry.
(E) (i) If a minister, pursuant to an assignment or designation by a religious body constituting his or her church, performs service for an organization which is neither a religious organization nor operated as an integral agency of a religious organization, all service performed by the minister even though such service may not involve the conduct of religious worship or the ministration of sacerdotal functions, is in the exercise of his or her ministry.
(ii) The rule in clause (i) of this subparagraph may be illustrated by the following example: 
EXAMPLE. M, a duly ordained minister, is assigned by X, the religious body constituting his or her church, to perform advisory service to Y Company in connection with the publication of a book dealing with the history of M's church denomination. Y is neither a religious organization nor operated as an integral agency of a religious organization. M performs no other service for X or Y. M is performing service in the exercise of his or her ministry.
(3) Service by a Minister Not in the Exercise of His or Her Ministry.
(A) Section 13009(f) of the Code does not except from wages remuneration for service performed by a duly ordained, commissioned, or licensed minister of a church which is not in the exercise of his or her ministry.
(B) (i) If a minister is performing service for an organization which is neither a religious organization nor operated as an integral agency of a religious organization and the service is not performed pursuant to an assignment or designation by his or her ecclesiastical superiors, then only the service performed by him or her in the conduct of religious worship or the ministration of sacerdotal functions is in the exercise of his or her ministry. See, however, subparagraph (c) of this paragraph.
(ii) The rule in clause (i) of this subparagraph may be illustrated by the following example: 
EXAMPLE. M, a duly ordained minister, is engaged by N University to teach history and mathematics. M performs no other service for N although from time to time M performs marriages and conducts funerals for relatives and friends. N University is neither a religious organization nor operated as an integral agency of a religious organization. M is not performing the service for N pursuant to an assignment or designation by his or her ecclesiastical superiors. The service performed by M for N University is not in the exercise of his or her ministry. However, service performed by M in performing marriages and conducting funerals is in the exercise of his or her ministry.
(C) Service performed by a duly ordained, commissioned, or licensed minister of a church as an employee of the United States, or a State, Territory, or possession of the United States, or the District of Columbia, or a foreign government, or a political subdivision of any of the foregoing, is not considered to be in the exercise of his or her ministry for purposes of the collection of income tax at source on wages, even though such service may involve the ministration of sacerdotal functions or the conduct of religious worship. Thus, for example, service performed by an individual as a chaplain in the Armed Forces of the United States is considered to be performed by a commissioned officer in his or her capacity as such, and not by a minister in the exercise of his or her ministry. Similarly, service performed by an employee of a State as a chaplain in a State prison is considered to be performed by a civil servant of the State and not by a minister in the exercise of his or her ministry.
(4) Service in the Exercise of Duties Required by a Religious Order. Service performed by a member of a religious order in the exercise of duties required by such order includes all duties required of the member of the order. The nature or extent of such service is immaterial so long as it is a service which he or she is directed or required to perform by his or her ecclesiastical superiors.
(h) Remuneration for Services in Delivery or Distribution of Newspapers, Shopping News, or Magazines.
(1) Services of Individuals Under 18. Remuneration for incidental services by an employee of 18 years or under who makes the house-to-house delivery, such as services in assembling newspapers, is considered to be within the exception. The exception continues only during the time that the employee is under the age of 18.
(2) Services of Individuals of Any Age. Remuneration for services in the sales of newspapers or magazines is excepted without regard to the age of the employee. Remuneration for such services performed other than at the time of sale to the ultimate consumer is not within the exception. Thus, remuneration for services of a regional distributor which are antecedent to but not immediately part of the sale to the ultimate consumer is not within the exception. However, remuneration for incidental services by the employee who makes the sale to the ultimate consumer, such as services in assembling newspapers or in taking newspapers or magazines to the place of sale, is considered to be within the exception.
(i) Remuneration Other Than in Cash for Service Not in the Course of Employer's Trade or Business.
(1) Remuneration paid in any medium other than cash for services not in the course of the employer's trade or business is excepted from wages and hence is not subject to withholding. Cash remuneration includes checks and other monetary media of exchange. Remuneration paid in any medium other than cash, such as lodging, food, or other goods or commodities, for services not in the course of the employer's trade or business does not constitute wages. Remuneration paid in any medium other than cash for other types of services does not come within this exception from wages. For provisions relating to cash remuneration for service not in the course of employer's trade or business, see subdivision (d) of this regulation.
(2) As used in this section, the term “services not in the course of the employer's trade or business” has the same meaning as when used in subdivision (d) of this regulation.
(j) Remuneration for Services Performed by Peace Corps Volunteers.
(1) Remuneration paid for services performed as a volunteer leader within the meaning of the Peace Corps Act (22 U.S.C. 2501) is excepted from wages, and hence is not subject to withholding, unless the remuneration is paid pursuant to Section 5 (c) or Section 6 (l) of the Peace Corps Act.
(k) Tips. If cash tips received by an employee in a calendar month in the course of his or her employment by an employer amount to $20 or more, none of the cash tips received by the employee in such calendar month are excepted from wages under this section. The cash tips to which this section applies includes checks and other monetary media of exchange. Tips received by an employee in any medium other than cash, such as passes, tickets, or other goods or commodities do not constitute wages. If an employee in any calendar month performs services for two or more employers and receives tips in the course of his or her employment by each employer, the $20 test is to be applied separately with respect to the cash tip received by the employee in respect of his or her services for each employer and not to the total cash tips received by the employee during the month.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 13009 and 13020, Unemployment Insurance Code.
§4309-3. Tips.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 13009 and 13020, Unemployment Insurance Code.
HISTORY

1. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
Chapter 2. Withholding and Payment of Tax
§4320-1. Employer Required to Withhold Income Taxes of Other States, Political Subdivisions or District of Columbia from Wages of California Residents.
Note     •     History

An employer required to deduct and withhold income taxes of other states, political subdivisions of such states or the District of Columbia from wages paid to a resident of California (as defined in Section 17014 of the Revenue and Taxation Code) shall deduct and withhold from those wages the amount of California personal income tax determined under the applicable withholding method provided for in regulations prescribed by the Franchise Tax Board under Section 18663 of the Revenue and Taxation Code, less the amount required to be deducted and withheld from those wages under the laws, rules and regulations of such other states, political subdivisions of such states or the District of Columbia. 
EXAMPLE (1). A resident of California is paid weekly by an employer required to deduct and withhold from his or her wages California and Maine income taxes, and the amount required to be withheld under the respective weekly wage bracket tables is $3.40 for California and $2.50 for Maine. Therefore, the amount of California tax required to be deducted and withheld is $.90. 
EXAMPLE (2) A resident of California is paid weekly by an employer required to deduct and withhold from his or her wages California and New York income taxes, and the amount required to be withheld under the respective weekly wage bracket tables is $3.40 for California and $6.80 for New York. Therefore, no California tax is required to be deducted and withheld.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13020, Unemployment Insurance Code.
HISTORY

1. Change without regulatory effect amending first paragraph filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§4322-1. Rounding Off of Wage Payment.
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13022, Unemployment Insurance Code.
HISTORY

1. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§4323-1. Estimating Quarterly Wages for Withholding Purposes.
Note

For purposes of computing the tax required to be deducted and withheld pursuant to Section 13020 of the code, an employer may compute such tax as provided by Section 13023 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13023, Unemployment Insurance Code.
§4324-1. Additional Withholding.
Note

(a) In addition to the tax required to be deducted and withheld in accordance with the provisions of Section 13020 of the code, the employer and employee may agree that an additional amount shall be withheld from the employee's wages. The agreement shall be in writing and shall be in such form as the employer may prescribe. The agreement shall be effective for such period as the employer and employee mutually agree upon. However, unless the agreement provides for an earlier termination, either the employer or the employee, by furnishing a written notice to the other, may terminate the agreement effective with respect to the first payment of wages made on or after the first “status determination date” (see Section 13042 of the code) which occurs at least 30 days after the date on which such notice is furnished.
(b) The amount deducted and withheld pursuant to an agreement between the employer and employee shall be considered as tax required to be deducted and withheld under Section 13020 of the code. All provisions of law and regulations applicable with respect to the tax required to be deducted and withheld under Section 13020 of the code shall be applicable with respect to any amount deducted and withheld pursuant to the agreement.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13024, Unemployment Insurance Code.
§4325-1. Remuneration Other Than in Cash for Service Performed by Retail Commission Salesperson.
Note

(a) In General.
(1) An employer, in computing the amount to be deducted and withheld as tax in accordance with Section 13020 of the code, may, at his election, disregard any wages paid in a medium other than cash for services performed for him or her by an employee if (A) the noncash remuneration is paid for services performed by the employee as a retail commission salesperson and (B) the employer ordinarily pays the employee remuneration solely by way of cash commissions for services performed by him or her as a retail commission salesperson.
(2) Section 13025 of the code and this regulation are not applicable with respect to (A) noncash wages paid to a retail commission salesperson for services performed by him or her in a capacity other than as such a salesperson or (B) noncash wages paid by an employer to an employee for services performed as a retail commission salesperson if the employer ordinarily pays the employee remuneration other than by way of cash commissions for such services. Thus, noncash remuneration may not be disregarded in computing the amount to be deducted and withheld in a case where the employee, for services performed as a retail commission salesperson, is paid both a salary and cash commissions on sales, or is ordinarily paid in something other than cash (stocks, bonds, or other forms of property) notwithstanding that the amount of remuneration paid to the employee is measured by sales.
(3) Retail Commission Salesperson. For purposes of Section 13025 of the code and this regulation, the term “retail commission salesperson” includes an employee who is engaged in the solicitation of orders at retail, that is, from the ultimate consumer, for merchandise or other products offered for sale by his or her employer. The term does not include an employee salesperson engaged in the solicitation on behalf of his or her employer of orders from wholesalers, retailers, or others, for merchandise for resale. However, if the salesperson solicits orders for more than one principal, he or she is not excluded from the term solely because he or she solicits orders from wholesalers or retailers on behalf of one or more principals. In such case the salesperson may be a retail commission sales-- person with respect to services performed for one or more principals and not with respect to services performed for his or her other principals.
(4) Noncash Remuneration. The term “noncash remuneration” includes remuneration paid in any medium other than cash, such as goods or commodities, stocks, bonds, or other forms of property. The term does not include checks or other monetary media of exchange.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13025, Unemployment Insurance Code.
§4327-1. Special Rule for Tips.
Note

(a) Withholding of Income Tax in Respect of Tips.
(1) In General. Subject to the limitations set forth in paragraph (2) of this subdivision, an employer is required to deduct and withhold from each of his or her employees' tax in respect of those tips received by the employee which constitute wages. (For provisions relating to the treatment of tips as wages, see Section 13009(n) of the code and Section 4309-3 of these regulations.) The employer shall make the withholding by deducting or causing to be deducted the amount of the tax from wages (exclusive of tips) which are under the control of the employer or other funds turned over by the employee to the employer (see paragraph (3) of this subdivision). For purposes of this regulation the term “wages (exclusive of tips) which are under the control of the employer” means with respect to a payment of wages, an amount equal to wages as defined in Section 13009 of the code except that tips and noncash remuneration which are wages are not included, less the sum of:
(A) The tax under Section 13020 of the code required to be collected by the employer in respect of wages as defined in Section 13009 of the code (exclusive of tips); and
(B) The amount of taxes imposed on the remuneration of an employee withheld by the employer pursuant to State and local law (including amounts withheld under an agreement between the employer and the employee pursuant to such law) except that the amount of taxes taken into account in this subparagraph shall not include any amount attributable to tips.
(2) Limitations. An employer is required to deduct and withhold the tax on tips which constitute wages only in respect of those tips which are reported by the employee to the employer in a written statement furnished to the employer pursuant to Section 13055 of the code. The employer is responsible for the collection of the tax on tips reported to him or her only to the extent that the employer can, during the period beginning at the time the written statement is submitted to him or her and ending at the close of the calendar year in which the statement was submitted, collect the tax by deducting it or causing it to be deducted as provided in paragraph (1) of this subdivision.
(3) Furnishing of Funds to Employer. If the amount of the tax in respect of tips reported by the employee to the employer in a written statement furnished pursuant to Section 13055 of the code exceeds the wages (exclusive of tips) which are under the control of the employer from which the employer is required to withhold the tax in respect of such tips, the employee may furnish to the employer, within the period specified in paragraph (2) of this subdivision, an amount of money equal to the amount of such excess.
(b) Less than $20 of Tips. Notwithstanding the provisions of subdivision (a) of this regulation, if an employee furnishes to his or her employer a written statement:
(1) Covering a period of less than one month, and
(2) The statement is furnished to the employer prior to the close of the 10th day of the month following the month in which the tips were actually received by the employee, and
(3) The aggregate amount of tips reported in the statement and in all other statements previously furnished by the employee covering periods within the same month is less than $20, and such statements, collectively, do not cover the entire month, the employer may deduct amounts equivalent to the tax on such tips from wages (exclusive of tips) which are under the control of the employer or other funds turned over by the employee to the employer.
(c) Priority of Tax Collection.
(1) In General. In the case of a payment of wages (exclusive of tips), the employer shall deduct or cause to be deducted in the following order:
(A) The tax under Section 13020 of the code with respect to payment of wages.
(B) Any tax under Section 13020 of the code which, at the time of the payment of the wages, the employer is required to collect:
(i) In respect of tips reported by the employee to the employer in a written statement furnished to the employer pursuant to Section 13055 of the code, or
(ii) By reason of the employer's election to make collection of the tax under Section 13020 of the code in respect of tips on an estimated basis, but which has not been collected by the employer and which cannot be deducted from funds turned over by the employee to the employer for such purpose.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13027, Unemployment Insurance Code.
§4328-1. Withholding on Pensions, Annuities and Certain Other Deferred Income.
Note     •     History

(a) In General. Withholding of income tax is required under Section 13028 of the code from the taxable portion (as described in Chapters 3 and 5, Part 10, Division 2 of the Revenue and Taxation Code) of payments of pensions, annuities and other deferred income (as described in Section 3405 of the Internal Revenue Code) made on or after July 1, 1986, to residents of this state, as if such payment were a payment of wages by an employer to an employee for the appropriate period unless the individual elects not to have the tax withheld. In determining a payee's state of residence, for purposes of applying these rules, a payer may rely on the most recent address on file for the payee which is contained in the business records which payer deems to be most accurate. At payer's election, a separate reporting number may be used for a payee's pension and payroll withholding.
(1) De minimis exception to withholding. At payer's option, withholding shall not be required with respect to those payments subject to withholding under Section 13028 of the code if the amount to be deducted and withheld is less than ten dollars ($10).
(b) Notice and Election Procedures.
(1) Election of No Withholding. Withholding is not required on any payment or distribution if the payee elects not to have withholding apply.
(A) Periodic payments--payee may elect not to have withholding apply by filing an election with the payer in such form and manner as determined by payer. Such election shall remain in effect until revoked or changed by payee by filing a new state withholding exemption certificate with payer.
(B) Nonperiodic Payments--payee may elect not to have withholding apply with respect to any nonperiodic distribution by filing an election with the payer in such form and manner as determined by the payer. An election under this subdivision shall be on a distribution-by-distribution basis unless the payer elects to give such election continuing effect with respect to subsequent nonperiodic distributions made by the payer to the payee.
(2) Notice of Right to Elect. The payer is required to provide each payee with notice of the right to elect not to have withholding apply and the right to revoke the election. Notice must be provided by payer to payee not more than six months prior to distribution of the first taxable payment and not later than when making the first taxable payment.
(3) Time to Elect or Revoke. Payee has the right to make or revoke an election at any time.
(A) Substance of Notice Requirement.
(i) Any notice provided to the payee by the payer or plan administrator must contain the following information:
(I) Notice of the payee's right to elect not to have withholding apply to any payment or distribution and how to make that election,
(II) Notice of the payee's right to change or revoke an election when an election and revocation takes effect.
(ii) Use of federal form W-4P, properly modified for state withholding, shall be deemed to be in compliance with state law notice requirements.
(4) When Election Takes Effect.
(A) Periodic payments--any election under this subdivision (and any change or revocation of such an election) shall take effect with respect to payments made more than 30 days after payer receives such election or revocation, unless the payer elects to make it effective at an earlier date.
(B) Nonperiodic distributions--the payee has the right to make or revoke an election at any time prior to the distribution by filing a new state withholding exemption certificate with the payer.
(c) Amount of Withholding.
(1) In General. Amounts of withholding shall be made pursuant to Section 13028(c) of the code.
(2) Maximum Amount of Withholding. Where such distributions subject to withholding under Section 13028 of the code include property other than cash, withholding shall be calculated from the taxable portion of such distribution using the fair market value of such other property distributed. However, the maximum amount of withholding shall not exceed the sum of the amount of money and fair market value of property other than employer securities received in the distribution.
(3) Amount Withheld Pursuant to Election. If payee, by reason of an election under Section 3405 of the Internal Revenue Code elects not to have withholding apply, the amount to be withheld shall be zero.
(4) Amount Withheld Where No Withholding Exemption Certificate Is in Effect.
(A) Periodic distribution--the amount to be withheld shall be determined as follows:
(i) Where the payee has filed an election to opt out of federal tax withholding, the payee shall also be treated as having opted out of state tax withholding;
(ii) Where the payee has not opted out of federal withholding and has federal tax withholding claiming a specific marital status and number of withholding allowances, state tax withholding will be required and calculated under any one of the methods for tax withholding specified in Section 13028(c) of the code. Where the payer calculates tax withholding using the state wage withholding tables California state tax withholding shall be calculated by using the marital status and number of withholding allowances elected by the payee for federal tax withholding purposes;
(iii) Where the payee has not filed an election for federal tax withholding purposes, state tax withholding shall be required and calculated under any one of the three (3) methods for calculating tax withholding specified in Section 13028(c) of the code. However, where the payer calculates California state tax withholding using the state wage withholding tables, the payee shall be treated as claiming the same marital status and number of withholding allowances as under federal tax law.
(B) Nonperiodic distributions--the amount to be withheld shall be determined as follows:
(i) Where the payee filed an election to opt out of federal tax withholding, the payee shall also be treated as having opted out of state tax withholding;
(ii) Where the payee did not file an election to opt out of federal tax withholding, state tax withholding shall be required and calculated under any one of the three (3) methods of withholding specified in Section 13028(c) of the code as elected by payer. Where the payer calculates California state tax withholding using the state wage withholding tables, withholding shall be calculated by treating each nonperiodic distribution as an annual payment and the payee shall be treated as claiming the same marital status and number of withholding allowances as under federal tax law.
(5) Withholding of Tax from Pensions and Annuity Payments by Request Under Prior Law. If the recipient of a pension or annuity has previously elected voluntary withholding for purposes of Section 13028 under prior law, and the payer wishes to honor such withholding, the Form DE 4P can be treated by the payer as an election to withhold the flat dollar amount specified on the form if the following requirements are met:
(A) The individual is notified by the payer of his or her right to elect out of withholding.
(B) The individual is notified that his or her previously filed DE 4P will remain effective unless he or she elects out of withholding or files a new withholding certificate.
Once these requirements are met and the individual has not exercised his or her option to terminate the voluntary withholding agreement, the payer must then use the original Form DE 4P to withhold under Section 13028. The amounts withheld should be reported in the same manner as amounts withheld under Section 13028 of the code.
(d) Delay in Application of Withholding Provisions. The director has the authority to delay (but not beyond July 1, 1987) the application of these withholding provisions with respect to any payer or class or payers if the payer can establish that it is impossible to comply with these provisions without undue hardship. If the director determines that a payer cannot comply, and delays application of these withholding provisions to that payer or class of payers, no penalty will be imposed for failure to withhold on payments if the failure occurs before the date to which application is extended or July 1, 1987, whichever comes first, and if a good faith attempt is made to comply.
(e) Obligation of Payer. Payer of a distribution described in Section 13028 of the code must withhold and is liable for payment of the tax required to be withheld under this section.
(f) Definitions. For purposes of this section:
(1) The term “payee” means an individual who is a citizen or resident of the United States and who receives an annuity, pension or payment (as described in Section 3405 of the Internal Revenue Code).
(2) The term “payer” means person making a pension, annuity, or other payment (as described in Section 3405 of the Internal Revenue Code), except that, if the person making the payment is acting solely as an agent for another person, the term “payer” shall mean such other person and not the person actually making the payment. For example, if a bank makes an annuity payment only as agent for an employee's trust, the trust shall be deemed to be the “payer.” Notwithstanding the preceding two sentences, any person who, under Section 13009(e) of the code would not be required to deduct and withhold the tax under Section 13020 of the code if the annuity payment were remuneration for services shall not be considered a “payer.”
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 13028, and 13070, Unemployment Insurance Code.
HISTORY

1. New section filed 5-7-87; operative upon filing (Register 87, No. 20).
2. Change without regulatory effect amending subsection (c)(4)(A)(i) filed 9-11-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 37).
§4328.1-1. Withholding of Income Tax on Pensions, Annuities and Other Deferred Income Payments to a Nonresident. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13028.1, Unemployment Insurance Code.
HISTORY

1. New section filed 5-7-87; operative upon filing (Register 87, No. 20).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§4328.5-1. Extension of Withholding to Supplemental Unemployment Compensation Benefits. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13028.5, Unemployment Insurance Code.
HISTORY

1. New section filed 5-7-87; operative upon filing (Register 87, No. 20).
2. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
§4328.6-1. Extension of Withholding of Income Tax to Payment of Sick Pay When Requested by Payee.
Note     •     History

(a) In General. Under Section 13028.6 of the code, the payee (as defined in paragraph (g)(2) of this regulation) may request the payer (as defined in paragraph (g)(3) of this regulation) of the sick pay to withhold income tax with respect to payments of sick pay made on or after July 1, 1986. If such a request is made, the payer shall deduct and withhold as requested in all cases where the payee had filed a similar request for federal purposes pursuant to the provisions of Section 3402(o) of the Internal Revenue Code of 1986. Where the payee has not furnished the payer a similar notice for federal purposes, the payer is not required to deduct and withhold personal income tax.
(b) Manner of Making a Request and Amount to Withhold. A payee who wishes a payer to deduct and withhold income tax from sick pay shall file a written request with the payer to deduct and withhold a specific whole dollar amount from each sick pay payment. The payee must include his or her social security account number in the request.
The specific whole dollar amount shall be at least $5 per month and shall not reduce the net amount of any sick pay received by the payee below $10 per month.
(c) When Request Takes Effect. The payer must deduct and withhold the amount specified in the request with respect to payments made more than seven days after the date on which the request is received by the payer. At the election of the payer, the request may take effect before this.
(d) Duration and Termination of Request. A request under this section shall continue in effect until changed or terminated by payee. The payee may change the request by filing a new written request that meets all the requirements of paragraph (b) of this regulation. The new request shall take effect as specified in paragraph (c) of this regulation and the prior request shall be deemed terminated when the new request takes effect. The payee may terminate the request by furnishing the payer a signed written notice of termination in all cases where the payee has furnished the payer a similar notice for federal purposes pursuant to Section 3402(o) of the Internal Revenue Code of 1986. Where the payee has not furnished the payer a similar notice for federal purposes, the payer is not required to terminate the withholding of personal income tax. This written notice of termination shall take effect with respect to payments made more than 7 days after the date on which the notice of termination is received by the payer. At the election of the payer, the request may take effect with respect to any payment made on or after the date on which such notice was received by payer.
(e) Special Rules. For purposes of the Personal Income Tax Law:
(1) An amount which is requested to be withheld pursuant to this section shall be deemed a tax required to be deducted and withheld under Section 13020 of the code.
(2) An amount deducted and withheld pursuant to this section shall be deemed an amount deducted and withheld under Section 13020 of the code.
(3) The term “wages” includes the gross amount of sick pay payment with respect to which there is in effect a request for withholding under this section.
(4) The term “employer” includes a payer with respect to whom a request for withholding is in effect under this section.
(5) The term “employee” includes a payee with respect to whom a request for withholding is in effect under this section.
(6) The term “payroll period” includes the period of accrual with respect to which payments of sick pay which are subject to withholding under this section are ordinarily made.
(f) Statements Required to Be Furnished to Payees. See Section 13050 of the code and the regulations thereunder for requirements relating to statements required to be furnished to payees.
(g) Definitions. For purposes of this section:
(1) The term “sick pay” means any payment made to an individual, which does not constitute wages (determined without regard to subdivision (a) of Section 13028.6 of the code and this section), which is paid to an employee pursuant to a plan to which the employer is a party, and which constitutes remuneration or payment in lieu of remuneration for any period during which the employee is temporarily absent from work on account of personal injuries or sickness. The term “personal injuries or sickness” shall have the same meaning as ascribed thereto by Section 105(a) of the Internal Revenue Code and the regulations thereunder. The term “sick pay” does not include any amounts either excludable from gross income under Section 104(a)(1), (2), (4) or (5), or Section 105(b) or (c) of the Internal Revenue Code. An employer is not a party to the plan if the plan is a contract between employees only and a third party payer or the employer makes no contributions to provide sick pay benefits under the plan, even if the employer withholds amounts over to the third party payer.
(2) The term “payee” means an individual who is a citizen or resident of the United States and who receives a sick pay payment.
(3) The term “payer” means any person making a sick pay payment who is the employer (as defined in Section 13005 and in Section 13009 of the code and regulations thereunder [except the reference in Section 13009 to cash tips is not applicable]) of the payee. If, however, the person making the payment is acting solely as an agent for another person, the term “payer” shall mean the other person and not the person actually making the payment.
(h) Special Rules for Sick Pay Pursuant to Certain Collective Bargaining Agreements.
(1) In the case of any sick pay paid pursuant to a collective bargaining agreement between employee representatives and one or more employers which contains a provision specifying that Section 13028.6(c)(2) of the code is to apply to sick pay paid pursuant to such agreement and contains a provision for determining the amount to be deducted and withheld from each payment of sick pay, the following shall apply:
(A) The requirements of Section 13028.6(a) of the code and this section that a request for withholding be in effect shall not apply.
(B) The amount to be deducted and withheld from sick pay shall be determined according to the provisions of the agreement and not according to this section. This rule shall not, however, apply to payments enumerated in Section 13026 of the code (relating to employees incurring no income tax liability) and the regulations thereunder.
(2) This section shall not apply unless the following are met:
(A) Payer must be provided with the social security number of payee. The collective bargaining agreement may provide that employer furnish payer with this information, or payee may provide it to payer himself or herself.
(B) Payer must be furnished with adequate information enabling him or her to determine whether payments under this section are subject to a collective bargaining agreement and the amount to be deducted and withheld pursuant to said agreement.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13028.6, Unemployment Insurance Code.
HISTORY

1. New section filed 5-7-87; operative upon filing (Register 87, No. 20).
2. Change without regulatory effect amending section filed 1-3-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 1).
§4329-1. Voluntary Withholding Agreements.
Note

(a) In General. An employee and his or her employer may enter into an agreement under Section 13029 of the code to provide for the withholding of income tax upon payments of amounts described in subdivision (c) of this regulation. Such an agreement may be entered into under this section only if an agreement for the withholding of federal income tax has been entered into by the employee and his or her employer pursuant to Section 3402(p) of the Internal Revenue Code of 1954 and only with respect to amounts which are includable in the gross income of the employee under Section 17071 of the Revenue and Taxation Code. The agreement must be applicable to all such amounts paid by the employer to the employee. The amount to be withheld pursuant to an agreement under Section 13029 of the code shall be determined under the rules contained in Section 13020 of the code.
(b) Form and Duration of Agreement.
(1) (A) Except as provided in subparagraph (B) of this paragraph, an employee who desires to enter into an agreement under Section 13029 of the code shall furnish the employer with a request for withholding of California income tax which shall be signed by the employee and shall contain:
(i) The name, address, and social security number of the employee making the request. 
(ii) The name and address of the employer.
(iii) A statement that the employee desires withholding of California income tax.
The furnishing of such a signed request for withholding of a California income tax shall constitute a request for withholding and shall be attached to, and constitute a part of, the employee's Federal Form W-4.
(B) In the case of an employee who desires to enter into an agreement under Section 13029 of the code with his or her employer, if the employee performs services (in addition to those to be the subject of the agreement) the remuneration for which is subject to mandatory income tax withholding by such employer, or if the employee wishes to specify that the agreement terminate on a specific date, the employee shall furnish the employer with a request for withholding which shall be signed by the employee, and shall contain:
(i) The name, address and social security number of the employee making the request.
(ii) The name and address of the employer.
(iii) A statement that the employee desires withholding of California income tax.
(iv) If the employee desires that the agreement terminate on a specific date, the date of termination of the agreement.
If accepted by the employer as provided in subparagraph (C) of this paragraph, the request shall be attached to, and constitute part of, the employee's Form W-4.
(C) No request for withholding under Section 13029 of the code shall be effective as an agreement between an employer and an employee until the employer accepts the request by commencing to withhold from the amounts with respect to which the request was made.
(2) An agreement under Section 13029 of the code shall be effective for such period as the employer and employee mutually agree upon. However, either the employer or the employee may terminate the agreement prior to the end of such period by furnishing a signed written notice to the other. Unless the employer and employee agree to an earlier termination date, the notice shall be effective with respect to the first payment of an amount in respect of which the agreement is in effect which is made on or after the first “status determination date” (January 1, May 1, July 1, and October 1 of each year) that occurs at least 30 days after the date on which the notice is furnished. If the employee executes a new Form W-4, the request upon which an agreement under Section 13029 of the code is based shall be attached to, and constitute a part of, such new Form W-4.
(c) (1) In General. Notwithstanding the exceptions to the definition of wages specified in Section 13009 of the code and the regulations thereunder, the term “wages” includes the amounts described in paragraph (2)(A) of this subdivision with respect to which there is a voluntary withholding agreement in effect under Section 13029 of the code. References elsewhere in this chapter to the definition of wages contained in Section 13009 of the code shall be deemed to refer also to this subdivision.
(2) Remuneration for Services.
(A) Except as provided in subparagraph (B) of this paragraph, the amounts referred to in paragraph (1) of this subdivision include any remuneration for services performed by an employee for an employer which, without regard to this subdivision, does not constitute wages under Section 13009 of the code. For example, remuneration for services performed by an agricultural worker or a domestic worker in a private home (amounts which are specifically excluded from the definition of wages by Section 13009(a) and (b) of the code, respectively) are amounts with respect to which a voluntary withholding agreement may be entered into under Section 13029 of the code.
(B) For purposes of this paragraph, remuneration for services shall not include amounts not subject to withholding under Section 13009(d) of the code (relating to remuneration for services for foreign government or international organization). Section 13009(h) (relating to remuneration other than in cash for service not in the course of employer's trade or business), 13009(i) (relating to payments from or to certain tax-exempt trusts, or under or to certain annuity plans or bond purchase plans), 13009(l) (relating to group-term life insurance), 13009(m) (relating to moving expenses), or 13009(n)(1) of the code (relating to tips paid in any medium other than cash).
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13029, Unemployment Insurance Code.
§4330-1. Withholding for Miscellaneous Pay Periods of Less Than a Week.
Note

For purposes of computing the amount of tax required to be deducted and withheld pursuant to Section 13020 of the code, an employer may compute such tax as provided by Section 13030 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13030, Unemployment Insurance Code.
§4331-1. Included and Excluded Wages.
Note

(a) If a portion of the remuneration paid by an employer to his or her employee for services performed during a payroll period of not more than 31 consecutive days constitutes wages, and the remainder does not constitute wages, all the remuneration paid the employee for services performed during such period shall for purposes of withholding be treated alike, that is, either all included as wages or all excluded. The time during which the employee performs services, the remuneration for which under Section 13009 of the code constitutes wages, and the time during which he or she performs services, the remuneration for which under such section does not constitute wages, determine whether all the remuneration for services performed during the payroll period shall be deemed to be included or excluded.
(b) If one-half or more of the employee's time in the employ of a particular employer in a payroll period is spent in performing services the remuneration for which constitutes wages then all the remuneration paid the employee for services performed in that payroll period shall be deemed to be wages.
(c) If less than one-half of the employee's time in the employ of a particular employer in a payroll period is spent in performing services the remuneration for which constitutes wages, then none of that remuneration paid the employee for services performed in that payroll period shall be deemed to be wages. 
(d) The application of the provisions of subdivision (a), (b), and (c) of this regulation may be illustrated by the following examples: 
EXAMPLE (1). Employer B, who operates a store and a farm, employs A to perform services in connection with both operations. The remuneration paid A for services on the farm is excepted as remuneration for agricultural labor, and the remuneration for services performed in the store constitutes wages. Employee A is paid on a monthly basis. During the particular month, A works 120 hours on the farm and 80 hours in the store. None of the remuneration paid by B to A for services performed during the month is deemed to be wages, since the remuneration paid for less than one-half of the services performed during the month constitutes wages. During another month A works 75 hours on the farm and 120 hours in the store. All of the remuneration paid by B to A for services performed during the month is deemed to be wages since the remuneration paid for one-half or more of the services performed during the month constitutes wages. 
EXAMPLE (2). Employee C is employed as a maid by D, a physician, whose home and office are located in the same building. The remuneration paid C for services in the home is excepted as remuneration for domestic service, and the remuneration paid for C's services in the office constitutes wages. C is paid on a weekly basis. During a particular week C works 20 hours in the home and 20 hours in the office. All of the remuneration paid by D to C for services performed during that week is deemed to be wages, since the remuneration paid for one-half or more of the services performed during the week constitutes wages. During another week C works 22 hours in the home and 15 hours in the office. None of the remuneration paid by D to C for services performed during that week is deemed to be wages since the remuneration paid for less than one-half of the services performed during the week constitutes wages.
(e) The rules set forth in this regulation do not apply (1) with respect to any remuneration paid for services performed by an employee for his or her employer if the periods for which remuneration is paid by the employer vary to the extent that there is no period which constitutes a payroll period within the meaning of Section 13008 of the code and Section 4308-1 of these regulations, or (2) with respect to any remuneration paid for services performed by an employee for his or her employer if the payroll period for which remuneration is paid exceeds 31 consecutive days. In any such case withholding is required with respect to that portion of such remuneration which constitutes wages.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13031, Unemployment Insurance Code.
Chapter 3. Withholding Exemptions
§4340-1. Withholding Exemption Certificates.
Note     •     History

(a) Federal W-4 Normally Used. On or before the date on which an individual commences employment with an employer, or on such other date as required by Internal Revenue Code regulations, the individual shall furnish the employer with a signed withholding exemption certificate relating to marital status and the number of withholding exemptions claimed. An individual may claim additional withholding exemptions to the extent continuing deductions or state income tax credits would result in over withholding. For the requirements regarding the exemption from wage withholding, see subdivision (f) below. A federal withholding exemption certificate (Federal Form W-4) or Employment Development Department Form DE-4, or substantially similar forms, shall be used. For the purposes of this regulation references to Forms DE-4 or W-4 include forms devised by an employer which are substantially similar to the DE-4 or W-4 or the combination thereof.
(b) Federal Conformity. The terms of the Internal Revenue Code and the regulations issued thereunder as they apply to withholding exemption certificates shall also apply for state withholding purposes. An employer who reports certain withholding exemption certificates to the Internal Revenue Service pursuant to 26 CFR Section 31.3402-1 (in general reporting is required if the employee claims more than nine exemptions or claims a status exempting him or herself from withholding entirely) need not report such certificates to the state. The reporting of the certificates to the Internal Revenue Service shall satisfy state reporting requirements. A federal determination that a withholding exemption certificate is invalid or incorrect shall also be effective for state withholding purposes. Thus, if an employer is instructed by the Internal Revenue Service to withhold as though an employee were a single person claiming no exemptions, the employer must do likewise for state withholding purposes. If the Internal Revenue Service specifies marital status and the permissible number of exemptions an employee may claim, such a federal determination shall also be effective for state withholding purposes.
(c) If an employee has filed a federal Form W-4 for federal withholding purposes and Employment Development Department Form DE-4 for state withholding purposes and both forms meet the reporting requirements under 26 CFR Section 31.3402-1, the reporting of the federal form to the Internal Revenue Service shall satisfy the state reporting requirement. In the event the W-4 is not reportable to the Internal Revenue Service but the DE-4 does meet the reporting requirements of 26 CFR Section 31.3402-1, then such DE-4 shall be filed with the Employment Development Department at the time and as part of the employer's next Quarterly Wage Report (Form DE-6) due after receipt of said Form DE-4.
(d) If the employee does not agree that the federal determination is correct for state withholding purposes, the employee may request a review of his or her state withholding status. Such a review shall be requested in writing and directed to the Franchise Tax Board, Sacramento, California 94240. The review shall be limited to whether the federal determination of withholding status or number of exemptions claimed is correct for state withholding purposes. The employee shall have the burden of showing the federal determination is incorrect for state purposes. The Franchise Tax Board shall notify the employer and employee in writing of the decision on whether the federal determination as to withholding status is correct for state purposes. If state withholding status differs from the federal determination, the notification to the employer and employee shall reflect the withholding status to which the employee is entitled and the permissible number of withholding exemptions which may be claimed. The decision shall be issued promptly after receipt of the request for review. The employee may file a new certificate for state withholding purposes but such certificate shall be subject to Internal Revenue Code regulations which concern the filing of new certificates after a federal determination of proper federal withholding status.
(e) The Franchise Tax Board or the Employment Development Department may, by special direction in writing, require an employer to submit a W-4 or DE-4 when such forms are necessary for the administration of the withholding tax programs.
(f) The requirements for a complete exemption from state wage withholding are the same as the federal requirements. An employer shall not deduct and withhold any tax under this part upon a payment of wages made to an employee if there is in effect, for federal income tax purposes, with respect to the payment a withholding exemption certificate furnished to the employer by the employee, pursuant to Section 3402(n) of the Internal Revenue Code and the applicable federal regulation Section 26 CFR 31.3402(n)-1, which contains statements that:
(A) The employee incurred no liability for federal income tax imposed under subtitle A of the Internal Revenue Code for his preceding taxable year; and
(B) The employee anticipates that he will incur no liability for federal income tax imposed by subtitle A of the Internal Revenue Code for his current taxable year.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13040, Unemployment Insurance Code.
HISTORY

1. New section filed 10-22-81; effective thirtieth day thereafter (Register 81, No. 43).
2. Change without regulatory effect amending subsections (c) and (d) filed 11-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 48).
§4343-1. Supplemental Wage Payments. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13043, Unemployment Insurance Code.
HISTORY

1. Change without regulatory effect repealing section filed 3-30-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 14).
Chapter 4. Reports, Returns, and Statements
§4350-1. Statement for Employees.
Note     •     History

(a) If wages are subject to withholding of Disability Insurance, Voluntary Plan Disability Insurance, or Income Tax, the written statement shall be furnished to an employee by an employer in triplicate. In addition to the information specified in Section 13050 of the code the statement shall include:
(1) The address, state employer account number and federal identification number of the employer;
(2) The address of the employee;
(3) All payments made directly by such employer under a wage continuation plan which constitute wages in accordance with Section 4309-1(b)(8)(A) of these regulations without regard to whether tax has been withheld on such amounts;
(4) The abbreviation “CA” if the wages were subject to Section 13020 of the code; and
(5) The abbreviation “CASDI” if worker contributions were paid by the employee pursuant to Section 986 of the code; or
(6) If wages were not subject to disability insurance contributions, show “CASDI O”, or the abbreviation “VPDI” if worker contributions were paid by the employee pursuant to Section 3260 of the code.
(b) The written statement required to be furnished to an employee by the employer shall be a Federal Form “W-2” or similar statement prescribed by the department.
(c) When a mistake is discovered on a statement given to the employee, a corrected statement on Federal Form “W-2C” or similar statement prescribed by the department shall be furnished to the employee:
(1) To show the correct amount of wages, as defined in Section 13009 of the code, if the amount of such wages entered on the statement furnished to the employee was incorrect, or
(2) To show the amount actually deducted and withheld as tax under Section 13020 of the code if such amount is less or greater than the amount entered as tax withheld on the original statement furnished to the employee.
(d) Extension of Time.
(1) For good cause shown upon written application by an employer, the department may grant an extension of time not exceeding 30 days in which to furnish to employees the statements required by this regulation. Each application for an extension of time under this subparagraph shall be made in writing, properly signed by the employer or his duly authorized agent, addressed to the Employment Development Department and shall contain a full recital of the reasons for requesting the extension, to aid the department in determining the period of the extension, if any, which will be granted. Such a request in the form of a letter to the department will suffice as an application. The application shall be filed on or before the date prescribed in subsection (a) of Section 13050 of the code for furnishing the statements required. In any case in which an employer is unable, by reason of illness, absence, or other good cause, to sign a request for an extension, any person standing in close personal or business relationship to the employer may sign the request on his or her behalf, and shall be considered as a duly authorized agent for this purpose, provided the request sets forth a reason for a signature other than the employer's and the relationship existing between the employer and the signer.
(2) An extension of time, not exceeding 30 days, within which to furnish any statement required by the code is granted to any employer with respect to any employee whose employment is terminated during the calendar year. In the case of intermittent or interrupted employment where there is a reasonable expectation on the part of both employer and employee of further employment, there is no requirement that a written statement be immediately furnished the employee, but when such expectation ceases to exist, the statement must be furnished within 30 days from that time.
Cross References. For provisions relating to the penalties provided for the willful furnishing of a false or fraudulent statement, or for the willful failure to furnish a statement, see Sections 2117, 2119, and 13052 of the code.
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Sections 986, 3260, 13009, 13020 and 13050, Unemployment Insurance Code.
HISTORY

1. Amendment of text and Note filed 7-28-92; operative 8-27-92 (Register 92, No. 31).
2. Change without regulatory effect amending subsections (a) and (d)(1)-(2) filed 11-5-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 45).
§4353-1. Annual Report of Compensation Paid and Taxes Withheld. [Repealed]
Note     •     History

NOTE

Authority: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13053, Unemployment Insurance Code.
HISTORY

1. Change without regulatory effect repealing section filed 2-21-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 8).
§4355-1. Report of Tips by Employee to Employer.
Note

(a) Requirement That Tips Be Reported. An employee who receives, in the course of his or her employment by an employer, tips which constitute wages as defined in Section 13009 of the code shall furnish to his or her employer a written statement, or statements, disclosing the total amount of such tips received by the employee in the course of his or her employment by such employer. For provisions relating to the treatment of tips as wages for purposes of the tax under Section 13020 of the code, see Section 4309-3 of these regulations. Tips received by an employee in a calendar month in the course of his or her employment by an employer which are required to be reported to the employer must be so reported on or before the 10th day of the following month. Thus, tips received by an employee in January are required to be reported by the employee to his or her employer on or before the immediately succeeding February 10.
(b) Statement for Use in Reporting Tips.
(1) In General. The written statement furnished by the employee to the employer in respect of tips received by the employee shall be signed by the employee and should disclose:
(A) The name, address, and social security or identifying number of the employee.
(B) The name and address of the employer.
(C) The period for which, and the date on which, the statement is furnished. If the statement is for a calendar month, the month and year should be specified. If the statement is for a period of less than one calendar month, the beginning and ending dates of the period should be shown (for example, Jan. 1 through Jan. 8).
(D) The total amount of tips received by the employee during the period covered by the statement which are required to be reported to the employer (see subdivision (a) of this regulation).
(2) Form of Statement.
(A) In General. No particular form is prescribed which must be used in all cases in furnishing the statement required by this regulation. Unless some other form is provided by the employer for use by the employee in reporting tips received by the employee, the form furnished by the Internal Revenue Service may be used by the employee.
(B) Forms Provided by Employers. Subject to certain conditions and limitations, an employer may provide a form or forms for use by his or her employees in reporting tips received by them. Any such form provided for use by an employee, which is to be used solely for the purpose of reporting tips, shall meet all the requirements of paragraph (1) of this subdivision, and a blank copy of the form shall be made available to the employee for completion and retention by him or her. In lieu of a special form for tip reporting, an employer may provide regularly used forms (such as time cards) for use by employees in reporting tips. Any such regularly used form must meet the requirements of paragraph (1)(C) and (D) of this subdivision and shall contain identifying information which will assure accurate identification of the employee by the employer. However, a regularly used form may be used for the purpose of reporting tips only if, at the time of the first payment of wages (or within a short period thereafter) following the reporting of tips by the employee, the employee is furnished a statement suitable for retention by him or her showing the amount of tips reported by the employee for the period. This requirement may be met, for example, through the use of a payroll check stub or other payroll document regularly furnished by the employer to the employee showing gross pay, deductions, etc.
(c) Period Covered by, and Due Date of, Tip Statement.
(1) In General. In no event shall the written statement furnished by the employee to the employer in respect of tips received by him or her cover a period in excess of one calendar month. An employer may, in his or her discretion, require the submission of a written statement in respect of a specified period of time, for example, on a weekly or biweekly basis, regular payroll period, etc. An employer may specify, subject to the limitation in subdivision (a) of this regulation, the time within which, or the date on which, the statement for a specified period of time should be submitted by the employee. For example, a statement covering a payroll period may be required to be submitted on the first (or second) day following the close of such payroll period. However, a written statement submitted by an employee after the date specified by the employer for its submission shall be considered as a statement furnished pursuant to Section 13055 of the code and this regulation if it is submitted to the employer on or before the 10th day following the month in which the tips were received.
(2) Termination of Employment. If an employee's employment is being terminated, a written statement in respect of tips shall be furnished by the employee to the employer at the time the employee ceases to perform services for the employer. However, a written statement submitted by an employee after the date on which he or she ceases to perform services for the employer shall be considered as a statement furnished pursuant to Section 13055 of the code and this regulation if the statement is submitted to the employer prior to the day on which the final payment of wages is made by the employer to the employee and on or before the 10th day following the month in which the tips were received.
NOTE

Authority cited: Section 305 and 306, Unemployment Insurance Code. Reference: Section 13055, Unemployment Insurance Code.
Chapter 5. Collections
§4370-1. Liability for Tax.
Note     •     History

Every employer required to deduct and withhold the tax under Section 13020 of the code from the wages of an employee is liable for the payment of such tax whether or not it is collected from the employee by the employer. If the employer deducts less than the correct amount of tax, or fails to deduct any part of the tax, he or she is nevertheless liable for the correct amount of the tax. 
NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13070, Unemployment Insurance Code.
HISTORY

1. Change without regulatory effect amending section filed 1-7-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 2).
§4371-1. Failure to Withhold. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 305 and 306, Unemployment Insurance Code. Reference: Section 13071, Unemployment Insurance Code.
HISTORY

1. Repealer filed 7-23-96; operative 8-22-96 (Register 96, No. 30).
Division 3. Employment Services Programs
Part 1. Employment and Employability Services
Chapter 1. General Provisions and Definitions

(No regulations adopted)
Chapter 1.5. Employment Training Panel
Article 1. General Provisions
§4400. Definitions.
Note     •     History

As used in sections 4400-4499, inclusive, of these regulations: 
(a) “Apprentice” means an individual at least 16 years of age who is in training under apprenticeship standards and a written apprenticeship agreement pursuant to chapter 4  (commencing with section 3070) of division 3 of the Labor Code. 
(b) “Alternative Funding Source” means funding appropriated to the Panel for the purposes of the ETP Core Program, or other workforce training program, from a source other than the Employment Training Tax.
(c) “Core Program” means the workforce development program established at Section 10200 et seq. of the Unemployment Insurance Code and funded by the Employment Training Tax. 
(d) “Days” means calendar days unless otherwise specified. A workweek may be less than five days, but must be more than two days. 
(e) [Repealed]
(f) “Disabled individual” means any person who meets one of the following criteria: 
(1) has a physical or mental impairment that substantially limits one or more of such person's major life activities;
(2) has a record of such impairment; or, 
(3) is regarded as having such an impairment, and is likely to experience difficulty in securing, retaining, or advancing in employment because of such an impairment, and who can perform job with reasonable accommodation to his or her disability. Eligible contractors shall make reasonable accommodation to the known physical or mental limitations of an otherwise qualified disabled individual unless the applicant can demonstrate that the accommodation would impose an undue hardship on the operation of its program.
(g) “Displaced worker” means a person who has been subjected to an involuntary layoff or separation from his or her employment, or has been separated from employment due to the established seniority practice of a collective bargaining agent, and who has not quit voluntarily or been dismissed for disciplinary reasons, or has received a written notice of layoff from their current employer.
(h) “Employment” means any full-time work, occupation, or trade, in which one is or may be engaged for wages, salary, or other forms of remuneration that are customary for the occupation and the industry. Full-time employment means employment of at least 35 hours a week, for a period of 90 consecutive days, which period includes normal days not worked by the employee, such as a weekend and holidays, with a single employer, except for those occupations in which it is not customary for a worker to be employed 90 consecutive days with a single employer. In these latter cases, the probationary period panel may substitute a period similar to the probationary period customary to the occupation. The probationary period shall not be less than 500 work hours and shall be completed within a period of 150 days following the completion of training. The panel shall, upon the showing of good cause by the contractor, extend the probationary period up to 272 days following the completion of training. Upon application and proof from the contractor, the panel may find that a less than 35-hour work week constitutes full-time employment if any or all of the following conditions exist:
(1) The less than 35-hour work week constitutes an entry level norm for a particular occupation and/or its classification in the locale where the employment is offered, and there is a reasonable probability that the employee's hours will be at or more than the 35 hours standard within 12 months of the commencement of employment.
(2) The less than 35-hour work week has been voluntarily requested by the employee for purposes of dependent care, or for other critical situations peculiar to that employee.
(3) The less than 35-hour work week is necessitated by special circumstances confronting the employer and there is a reasonable probability that the employee's hours will be at or more than the 35 hours standard within 12 months of the commencement of employment.
(4) For purposes of subsections (1), (2), and (3) the employee shall be offered and receive a benefit and compensation package commensurate on a prorata basis with that offered to other employees. In no event shall an employee's hours be used as reason for denying any such benefits or other compensation to that employee.
(5) Upon proof by the contractor and a finding of good cause by the panel, the panel may find that less that 35 hours a week constitutes full time employment if the hours per week are customary for the industry, occupation and class of employment and the locale where the employment occurs, and/or the hours are considered full-time employment for purposes of a collective bargaining agreement. In no event shall the hours permitted herein and in subsections (1), (2), and (3) be less than 25 hours. The days worked may be less than five, but shall be more than two.
(6) If the hours as set forth in subsection (1) and (2) are not extended to 35 hours a work week within 12 months of the commencement of employment, then 100 percent of the amount attributable to the cost of training the less than 35 hour employee shall be returned, if paid, to the Employment Training Panel, except as provided in subsection (9) below.
(7) For purposes of implementation of this provision, subsection (1), (2), or (5) can be invoked only as part of training contracts. Subsection (3) can be invoked at any time from the enrollment of a trainee in training to the beginning of the effected trainee's period of employment following training.
(8) The panel may, when granting an exemption to the 35-hour work week standard, withhold up to 100 percent of the amount attributable to the cost of training a less than 35 hours employee until the standard full-time employment has been achieved, but the monies shall not be deemed earned if full-time employment is not achieved within 12 months of the commencement of employment by the trainee.
(9) The panel may, upon a showing of good cause by the contractor, deem earned whatever amount it finds to be reasonable for the less than 35 hour employee if full-time employment has not been achieved within a 12 month period following the commencement of employment.
(10) Where training received is for employment in the entertainment industry, an individual shall be deemed “retained in employment”:
(A) Upon completion of training, the individual completes 500 hours of work in a six-month period at a wage to be specified according to the trainee's particular vocation.
(B) An extra six-month employment period in which to complete 500 work hours shall be granted, after a review of each individual's case by the Panel, if it can be shown that one or more of the following triggers provide good cause for a six month extension: the cancellation of a television show or film; strikes or a threat of a strike; lockouts; the illness, pregnancy or injury of the trainee; shooting delays caused by location problems, permit problems, financing problems, equipment failure, illness or pregnancy of key cast or crew members, or disputes among parties involved in the production.
(C) A trainee's employment is not to be limited to employment with a single industry employer; a trainee should be allowed to have multiple employers while compiling 500 work hours.
(D) A trainee may be employed only by an employer or employers specifically listed in the agreement while completing the 500 work hour requirement.
(E) An employee may not be allowed to include, as part of the total hours worked, work performed as an independent contractor, unless the trainee maintains self-elected, unemployment insurance coverage.
(i) “Facility” means one contiguous work site at the same geographic location.
(j) “Group of employers” means 
(1) two or more employers which combine efforts to form a consortium in order to meet the common training needs by specific occupational categories or address common training needs based on industrial trends, and/or
(2) two or more employers which combine efforts whereby the primary employer assumes liability for the Panel contract, with secondary agreements between the primary employer and the supplier employers (or both the primary employer and the secondary suppliers contract with the Panel), and trains the employees of one or more of its suppliers due to the special and unique needs of the primary employer, and/or
(3) a professional association, trade association, or joint apprenticeship training committee and/or
(4) any economic development corporation which has been in existence for more than one year and whose Board of Directors is composed of a majority of California employers eligible to participate in a Panel funded agreement. The Board of Directors must approve the Panel agreement.
(k) [Repealed]
(l) [Repealed]
(m) “Labor market information” means economic, occupational, geographic and demographic characteristics of the labor market that encompasses population and labor force composition, industry and occupational trends and outlook, job opportunities, hiring and training practices, skill requirements and trends, wages, labor force estimates, career ladders, and occupational supply and demand.
(n) “Literacy training” means basic, job-related skills including math, reading, and language skills necessary for the trainee's job performance and employment retention in a job with definite career potential and long-term job security.
(o) “Minority” refers to a person whose ethnic origin is:
(1) Black: those individuals with black racial groups of Africa;
(2) Asian American: those individuals of Chinese, Japanese, Korean, Okinawan, Thai, and Vietnamese, Southeast or Southwest Asian descent;
(3) Hispanic American: those individuals of Mexican, Puerto Rican, Cuban, Central or South American descent;
(4) Polynesian: those individuals of Hawaiian, Samoan, Tongan, Tahitian, Gilbertine, Fijian, and Guamanian descent;
(5) American Indian or Alaskan Native: those individuals having origins in any of the original peoples of North America; and,
(6) Filipino: those individuals having origins in the peoples of the Philippine Islands.
(p) “Minority-owned business” means a business concern that is all of the following:
(1) At least 51 percent owned and operated by one or more minorities, or, if a publicly owned business, at least 51 percent of the stock of which is owned by one or more minorities; and,
(2) Managed by, and the daily business operations controlled by, one or more minorities; and,
(3)A sole proprietorship, partnership, or domestic corporation with its home office located in the United States that is not a branch or subsidiary of a foreign corporation, firm, or other business.
(q) “Panel” means the organization inclusive of the appointed members and civil service staff of the Employment Training Panel.
(r) “Payment earned” means the amount of ETP training cost reimbursement a contractor is entitled to based on the final billing per trainee. For payment to be earned, the trainee must complete the minimum number of training hours, and be retained in employment and paid the post-retention wage as specified in the ETP Agreement.
(s) “Progress payment” means those partial payments that must be returned to the panel unless subsequently earned.
(t) “Proprietary information” means information provided by an employer to the panel relative to a company's favorable or unfavorable business conditions or financial circumstances, which, if disclosed, the employer believes would provide an advantage to competitors or a disadvantage to the business or its employees.
(u) [Repealed]
(v) “Retained in employment“
(1) Means the trainee has been retained in a job:
(a) With definite career potential and a substantial likelihood of long-term job security, 
(b) Directly related to the training provided, and,
(c) With a single employer for at least 90 days after the end of training unless it is not customary for a worker to be employed 90 consecutive days with a single employer; then a requirement of 500 hours of employment during a period not to exceed 272 calendar days after completion of training shall be substituted.
(2) For new hire trainees who have been placed in qualifying employment after completion of training by a training agency and who do not complete 90-days of employment retention with the initial employer, the training agency may place the trainee in subsequent qualifying employment with an eligible employer for an additional 90 days within the term of the contract.
(3) If a trainee voluntarily terminates his/her employment after the completion of training, but before the end of the applicable retention period, the contractor will be reimbursed for that trainee if that trainee is employed by another eligible employer for the applicable retention period for at least the same earnings as set forth in the Agreement. However, the Panel will reimburse for a trainee who is employed by another eligible employer for earnings which are less than required by the Agreement as long as the trainee's earnings are equal to the earnings required by Unemployment Insurance Code Section 10201(g) or, if applicable, Section 10214.5(a)(1), and the trainee is using the skills for which he/she was trained. The retention with any subsequent employer must be within the term of the Agreement.
(4) If after the completion of training and before the end of the applicable retention period, the trainee has a break in employment necessitated by the Family Medical Leave Act (Government Code Section 12945.2) or an Act of God, the trainee shall be deemed to have completed the retention period.
(w) “Small business” means: 
A business concern in which the principal place of business is located in California and the owners (or officers in the case of a corporation) of such business are domiciled in California, which is independently owned and operated and has no more than 250 full-time employees. Special consideration may be given to a small business with 100 or fewer full-time employees.
A “franchise” may be considered a small business if it meets the requirements stipulated above and consists of an arrangement in which the owner of a trademark, trade name, or copyright licenses others, under specified conditions or limitations, to use the trademark, trade name, or copyright and the business relationship between the two parties is an arm's-length relationship between two independent contractors with their respective rights determined by a contract.
For the purposes of this section, a company may not be considered a small business if it is a subsidiary corporation, “Subsidiary corporation” means a corporation that is subject to a parent corporation that has the power either directly or indirectly or through another corporation or series of other corporations to elect a majority of its directors.
(x) [Repealed]
(y) “Training” means the delivery of instruction that is designed to develop and/or improve workforce skills and knowledge for jobs with definite career potential and the substantial likelihood of long-term job security. Training shall consist of at least eight hours for a small business employer and at least 24 hours for all other employers, except the panel may modify the minimum hours for good cause on a case-by-case basis. The delivery method may be classroom, laboratory, electronic or Computer-Based Training (CBT).
(1) “Classroom training” is formal instruction provided in a setting removed from the trainee's usual work environment. Trainees in a classroom must meet regularly for training in a specific skill under the constant and direct guidance of a qualified trainer.
As defined herein, Classroom training must include all of the following features: 
(A) The trainer must be present at the site during all hours of training; 
(B) The trainer's time must be dedicated exclusively to instruction during all hours of training 
(C) Trainee attendance must be documented as to date, time and total hours in a form and manner acceptable to ETP (See Section 4442); 
(D) The training sessions must be conducted at a site that is open and accessible to ETP monitors consistent with Section 4443. 
(2) “Laboratory training” is hands-on instruction or skill acquisition under the constant and direct guidance of a qualified trainer. Laboratory training may require the use of specialized equipment or facilities. Laboratory training may be conducted in a simulated work setting, or at a productive work setting. 
(A) “Simulated Laboratory training” is reimbursable at the class/lab rate. 
(B) “Productive Laboratory training” is also reimbursable at the class/lab rate but only as approved by the Panel on a case-by-case basis, for good cause shown. 
As defined herein, Productive Laboratory training must include all of the features set forth in Subsection (1) (A-D) above. 
(3) “Advanced Technology training (AT)” is customized to occupations that involve the production or use of the most sophisticated equipment and software in fields such as electronics, computers and biotechnology. This type of training is reimbursable at a higher class/lab specific to AT, but only as approved by the Panel on a case-by-case basis, for good cause shown. 
As defined herein, AT training must include all of the features set forth in Subsection (1) (A-D) above.: 
(4) “Electronic-delivery training (E-learning)” is instruction delivered by a live trainer through a web-based system. E-learning training is reimbursable at the class/lab rate but only as approved by the Panel on a case-by-case basis, for good cause shown. 
As a condition of reimbursement at the classroom/laboratory rate, E-Learning training must follow a specific and standardized Curriculum for each course identified in Exhibit B: Menu Curriculum and be delivered to a fixed number of enrolled trainees. In addition, the live trainer must be available for interaction with all trainees in real-time during all hours of training, consistent with the course Curriculum. 
As defined herein, E-Learning training must include the features set forth in Subsection (1) (C & D) above. 
(5) “Computer Based Training (CBT)” is training delivered through a computer program at a pace set by the trainee. There is no requirement for delivery by a live trainer. This type of training need not be interactive. This type of training is not reimbursed at the class/laboratory rate, but at a reduced rate specific to CBT. 
Reimbursement for each completed CBT course shall be for the standard number of hours to complete that course, as designated by the vendor that developed the course.
CBT hours should not be established unilaterally by employers or Multiple Employer Contractors. When the CBT course was created by employers or Contractors, they must have established a benchmark number of hours for completion that is set forth in a specific and standardized Curriculum, for each CBT course identified in Exhibit B: Menu Curriculum. Reimbursement for CBT shall be limited to the benchmark number of hours, on a per-trainee basis. 
Upon completion of the CBT course, the employer must certify that the trainee has achieved competency in the skills covered by the training.
(6) Reimbursement at the class/lab rate or AT rate shall be earned only for hours of training actually delivered, on a per-trainee basis. 
(7) Classroom/laboratory, Productive Laboratory, Advanced Technology and E-Learning training must comply with specific trainer-to-trainee ratios, as shown below. These ratios do not apply to CBT. 
(A) Class/lab retraining: 1 to 20. 
(B) Class/lab new-hire training: 1 to 15. 
(C) Productive Laboratory (retraining and new-hire training): 1 to 10. 
(D) Advanced Technology (retraining and new-hire training): 1 to 10. 
(E) E-Learning (retraining and new-hire training): 1 to 20. 
(z) “Training agency” means any public or private training entity, state or local school, or education agency that has been in existence for a minimum of two years preceding the application for panel funding, and has an established history of providing training and placement services to the public.
(aa) “Veteran” means an individual who served on active duty for more than 180 days, and was discharged or was released from active duty because of a service-connected disability. Active duty refers to the full time duty in the Armed Forces. Any period of duty for training in the reserves or National Guard, including authorized travel, during which an individual was disabled from a disease or injury incurred or aggravated in the line of duty, is considered “active” duty.
(bb) “Woman-owned business” means a business concern that is all of the following:
(1) At least 51 percent owned and operated by one or more women or, in the case of publicly owned business, at least 51 percent of the stock of which is owned by one or more women, and,
(2) Managed by, and the daily business operations controlled by, one or more women, and,
(3) A sole proprietorship, partnership, or domestic corporation with its home office located in the United States that is not a branch or subsidiary of a foreign corporation, firm, or other business.
(cc) “Written notification” means a document prepared by the employer/contractor where a potential retrainee is currently employed, and received by the employee/retrainee either in person or by mail, stating that the employee will be laid off. This document may also be referred to as a Notice of Layoff. A Notice of Layoff shall be issued in lieu of a certification for the need for retraining as specified in section 4441.
(1) This notice shall contain, but is not limited to, the following information:
(A) Name and address of the employer;
(B) Employee name and social security number;
(C) Employee job title;
(D) Date notice was mailed or presented to the employee or the date of separation consistent with a collective bargaining agreement;
(E) Date of impending layoff; and,
(F) Employer signature.
(2) The notice must have been issued by the employer and presented to the affected employee/retrainee by the time an application for funding is submitted to Employment Training Panel staff.
(3) The notice shall indicate that the date of layoff is within two years of the date the application for funding is presented to the Panel.
(4) The reason for issuance of the termination notification/notice of layoff shall be directly related to the employer's inability to provide continued employment. 
(dd) “Enrollment” means the process of registering an employee with the Panel as an eligible participant in a Panel funded training program. Concurrent enrollment of any trainee in more than one Panel funded training program is prohibited.
(ee) “Frontline worker” means an individual who directly produces or delivers goods or services, in accordance with the following standards:
(1) An individual who is not exempt from payment of overtime compensation under state or federal law is a frontline worker;
(2) An individual who is covered by a collective bargaining agreement is deemed a frontline worker;
(3) An individual who is exempt from payment of overtime compensation under state or federal law and is directly producing or delivering goods or services may be a frontline worker.
The Panel will make a determination of exempt status on a case-by-case basis and at its sole discretion under Subsections (1) and (3) above. In so doing, the Panel will follow the standards for determining exempt status set forth in Labor Code Sections 515, 515.5, and 516 and the Wage Orders of the Industrial Welfare Commission. The Panel will also consult applicable state and federal wage and hour law guidelines published by the Division of Labor Standards Enforcement under the Department of Industrial Relations. (See DLSE Enforcement Manual at www.dir.ca.gov.)
For purposes of Special Employment Training projects a frontline worker may also be the owner of a business with at least one but less than 10 full-time employees, whose primary duties consist of directly producing or delivering goods or services.
(hh) “Working poor” means workers who have full-time jobs and stable employment, but earn less than the ETP Minimum Wage under Section 10201(f) of the Unemployment Insurance Code. (See also, Section 4418.) These workers lack the essential job skills necessary to improve their employment opportunities. Their lack of job skills is often accompanied by limited education and/or English-speaking skills.
(ii) [Reserved]
(jj) “High performance workplace” means a workplace where frontline workers are equipped with problem solving and decision-making skills that promote increased productivity.
(kk) “Job creation” means a type of funding priority for projects that primarily train either of the following:
(1) workers who are eligible to receive Unemployment Insurance benefits in California; or who have exhausted eligibility for Unemployment Insurance benefits payable from this state within the previous 24 months; or
(2) workers employed by a business that is locating in California or expanding its operations in this state.
To qualify as a “job creation” project under the first prong of this definition, the workers must be trained in job-related vocational skills that are necessary to attain a job with a California employer;
To qualify under the second prong, the workers must be trained in job-related vocational skills that are necessary to attain a new job position with a business that is locating in or expanding its operations in California.
(ll) “Contractor” means the individual or entity responsible for satisfying the duties and obligations set forth in a contractual agreement with ETP for training cost reimbursement.
The Contractor may be an employer or group of employers. The Contractor may also be a training agency; a local Workforce Investment Board; or, a grant recipient or administrator under the Workforce Investment Act of 1998 as further defined at Unemployment Insurance Code Section 10205(c). The agreement may be in the form of a Single Employer Contract (SEC) or a Multiple Employer Contract (MEC).
(mm) “Multiple Employer Contract” (MEC) means an agreement with ETP for the reimbursement of training costs, wherein the Contractor's duties and obligations are assumed by a group of employers, training agency or other eligible Contractor on behalf of multiple participating employers.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10200, 10201, 10201.5, 10202, 10202.5, 10203, 10204, 10205, 10206, 10207, 10208, 10209, 10210, 10211, 10212.2, 10213, 10214, 10214.5, 10214.7, 10214.9, 10215 and 10217, Unemployment Insurance Code; and Sections 515, 515.5 and 516, Labor Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. New subsections (u) and (x) filed 8-19-91; operative 8-19-91 (Register 92, No. 1).
3. Amendment of subsections (y)-(y)(3) filed 12-1-95; operative 12-1-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 48).
4. Amendment of newly designated subsections (j)(1)-(j)(3), repealer of subsections (u) and (x), amendment of subsection (y), new subsection (y)(3) and subsection renumbering, amendment of newly designated subsection (y)(4), new subsections (y)(5)-(y)(5)(B) and amendment of Note filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
5. Editorial correction of subsection (w) (Register 98, No. 21).
6. Amendment of subsection (j)(3), new subsection (j)(4), amendment of subsection (w), and amendment of Note filed 5-18-98; operative 5-18-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 21).
7. New subsection (dd) filed 7-7-98; operative 7-7-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 28).
8. New subsection (ee) and amendment of Note filed 12-8-99; operative 12-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 50).  
9. Amendment and redesignation of former subsections (y)-(y)(5) to subsections (y)-(y)(8) and new subsections (ff) and (gg) filed 12-20-99 as an emergency; operative 12-20-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-18-2000 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsection (l) filed 4-17-2000 as an emergency; operative 4-17-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-15-2000 or emergency language will be repealed by operation of law on the following day.
11. New subsections (v)(3)-(4) filed 4-25-2000; operative 4-25-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 17).
12. Certificate of Compliance as to 12-20-99 order transmitted to OAL 4-5-2000 and filed 5-15-2000 (Register 2000, No. 20).
13. Certificate of Compliance as to 4-17-2000 order, including repealer of subsection (k), transmitted to OAL 8-11-2000 and filed 9-25-2000 (Register 2000, No. 39).
14. Amendment of subsection (ee), redesignation and amendment of former subsections (ee)(a)-(c) as subsections (ee)(1)-(3), new subsections (ee)(4), (hh) and (ii) and amendment of Note filed 1-8-2001 as an emergency; operative 1-8-2001 (Register 2001, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2001 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 1-8-2001 order, including further amendment of subsection (ii) and new subsections (ii)(a)-(b), transmitted to OAL 5-8-2001 and filed 6-20-2001 (Register 2001, No. 25).
16. Amendment of subsection (l), new subsection (jj) and amendment of Note filed 9-27-2005; operative 9-27-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 39).
17. Editorial correction of placement of subsection (jj) (Register 2005, No. 45).
18. New subsections (kk)-(kk)(2) filed 4-19-2006; operative 5-19-2006 (Register 2006, No. 16).
19. Amendment of subsection (hh) and repealer of subsections (ii)-(ii)(b) filed 5-17-2006; operative 6-16-2006 (Register 2006, No. 20).
20. Repealer of subsection (l) and new subsections (ll) and (mm) filed 6-28-2006; operative 7-28-2006 (Register 2006, No. 26).
21. Amendment of subsections (ee)-(ee)(3), repealer of subsection (ee)(4) and amendment of Note filed 3-12-2007; operative 4-11-2007 (Register 2007, No. 11).
22. Amendment of subsection (r) and Note filed 10-23-2007; operative 11-22-2007 (Register 2007, No. 43).
23. Amendment of subsection (b), new subsection (c), repealer of subsections (d) and (e), subsection relettering, amendment of newly designated subsection (d) and subsections (y)-(y)(2), new subsections (y)(2)(A)-(B), repealer and new subsections (y)(3)-(5), repealer of subsections (y)(5)(A)-(B), repealer and new subsections (y)(6)-(7) and repealer of subsections (y)(8)(A)-(B), (ff) and (gg) filed 2-15-2011; operative 3-17-2011 (Register 2011, No. 7).
Article 2. Proposal Process
§4401. Evaluation Process. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(k), Unemployment Insurance Code. Reference: Sections 10204, 10205(c), (d), (e), (f), (g), (i) and 10206, 10207, 10209, 10210, 10214.5, Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Repealer filed 7-18-2007; operative 8-17-2007 (Register 2007, No. 29).
§4401.1. In-Kind Contributions.
Note     •     History

The Contractor must make In-Kind Contributions toward the cost of retraining. This requirement does not apply to new hire training. The Contractor is solely responsible for reporting In-Kind Contributions to ETP.
(a) In Kind Contributions may be monetary or non-monetary but they must be in addition to the training costs reimbursed by ETP. In-Kind Contributions must demonstrate a commitment to the successful outcome of the retraining project.
(b) A Single Employer Contractor must contribute at least 100 percent of the approved amount of ETP funding, except in the case of a small business with 100 or fewer full-time employees where the contribution must be at least 50 percent of the approved amount.
(c) A Multiple Employer Contractor must contribute at least 50 percent of the approved amount of ETP funding based on the sum of all participating employer contributions to the retraining project as a whole, as well as any contributions that may be made by the Multiple Employer Contractor.
(d) In-Kind Contributions may consist of wages and benefits paid to trainees during the hours of ETP-funded training. They may include out-of-pocket costs, such as one or more of the following:
(1) One-time or ongoing assessment of training needs/results
(2) Development of the retraining proposal or curriculum
(3) Costs or fees that exceed the amount reimbursed by ETP
(4) Facility and equipment usage directly attributable to the retraining project
(5) Training textbooks, programs, aids and supplies
(6) Lost production time during the hours of training
(7) Wages paid to “replacement workers” during the hours of training
In-Kind Contributions may also include the cost of training non-eligible participants, and conducting on-the-job training in the same or similar curriculum. They may not include costs paid by, or fees absorbed by, a subcontractor.
(e) In-Kind Contributions may not include costs that result from a legal mandate. Nor may they include costs that are incurred in the course of complying with standards imposed by the law, or otherwise, such as one or more of the following:
(1) professional or vocational licensing or certification
(2) Job-related physical examination or drug screening
(3) vocational safety training
(4) equal employment opportunity training
In-Kind Contributions may not include substantial contributions within the meaning of Section 4410. In addition, they may not include refundable “deposits” charged by the Contractor to a participating employer(s) in order to ensure trainee participation or retention.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10200(a)(1) and 10206(b), Unemployment Insurance Code.
HISTORY

1. New section filed 6-28-2006; operative 7-28-2006 (Register 2006, No. 26).
§4401.5. Employer Eligibility.
Note     •     History

(a) An employer is eligible for Panel funding for purposes of retraining or new hire placement of trainees if it is subject to payment of the California Unemployment Insurance (UI) tax.
(b) A public entity or nonprofit organization that has elected an alternate method of funding its liability for unemployment insurance benefits is only eligible as a “participating employer” for the placement of new hire trainees under a Multiple Employer Contract (MEC). 
This limited eligibility is for the purpose of “incidental placements” as part of a training project designed to meet the needs of one or more eligible employers. These incidental placements will be capped at 20% of the total trainee population. This cap will be applied by ETP to the number of trainees who have completed training and retention and reached the applicable Minimum Wage, at the time of fiscal closeout for the training project as a whole.
(c) The Panel may modify the 20% cap on a case-by-case basis, for good cause shown.
(d) The MEC contracting entity is responsible for ensuring that each participating employer is either subject to payment of the California UI tax as set forth in Subsection (a), or is within the 20% cap in Subsection (b), of this regulation. 
(e) The MEC contracting entity cannot consider incidental placements in evaluating the new-hire training needs of an occupation or industry. Instead, it must design a training project that will address the shortage of workers identified by an employer advisory board, as set forth in Section 4406.
(f) Federal agencies are eligible as participating employers for incidental placements.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10201(b), Unemployment Insurance Code.
HISTORY

1. New section filed 5-18-98; operative 5-18-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 21).
2. Editorial correction printing inadvertently omitted section (Register 98, No. 25).
3. Amendment of section and NOTE filed 7-18-2007; operative 8-17-2007 (Register 2007, No. 29).
4. Amendment of subsection (b), new subsection (c), subsection relettering and amendment of newly designated subsections (d)-(f) filed 2-15-2011; operative 3-17-2011 (Register 2011, No. 7).
§4402. Application Process. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(k) and 10205(l), Unemployment Insurance Code. Reference: Section 10205(c), (d), (e), (i), 10206(a)(1), (c), (d), (e), (f), and 10207(a), Unemployment Insurance Code.
HISTORY

1. New section filed 8-19-91; operative 8-19-91 (Register 92, No. 1).
2. Repealer filed 7-18-2007; operative 8-17-2007 (Register 2007, No. 29).
§4402.1. Contractor Meetings. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10200, Unemployment Insurance Code.
HISTORY

1. New section filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
2. Repealer filed 8-9-2006; operative 9-8-2006 (Register 2006, No. 32).
§4402.2. Critical Proposal.
Note     •     History

(a) The Panel recognizes that certain applications/proposals for Panel funding are uniquely critical to the California economy, and therefore the development of such applications/proposals must be expedited.
(1) The Executive Director determines if an application/proposal meets the criteria specified in subsection (2) for immediate attention. Such a project will be designated as a “Critical Proposal”, and the development of that project will be given priority over other projects.
(2) “Critical Proposals” are proposals that are part of a State of California economic development effort to provide incentives for businesses that are:
(A) expanding within California through the addition of new jobs as a result of a new product or new business function; or
(B) moving operations from out-of-state to California; or
(C) adding a new facility in California; or
(D) considering relocation of a California facility or operation to a location outside of California.
(b) The Panel may modify the following requirements for Critical Proposals on a case-by-case basis:
(1) Substantial contribution requirement, provided in 22 CCR § 4410, including, but not limited to, cases where a California business currently subject to a substantial contribution proposes to expand an existing facility by adding and training new employees for a new product line or business function
(2) Limit on literacy training hours, provided in 22 CCR § 4420, in cases where the business has employees with limited English skills and demonstrates that their employees require an amount of literacy training which exceeds the limit specified in 22 CCR § 4420
(3) Turnover rate, provided in 22 CCR § 4417, including, but not limited to, situations where an out-of-state business is moving to California and the business' turnover rate immediately prior to the announcement of the move meets the criteria set out in 22 CCR § 4417
(4) Out-of-state vendor limitation, provided in 22 CCR § 4421, including, but not limited to, cases where an out-of-state business is moving its equipment (as well as its business) to California and the only people experienced with the equipment are the business' former employees who are located outside California
(5) Definition of laboratory training, provided in 22 CCR § 4400 (y), including, but not limited to, situations where a business must comply with industry-specific federally-mandated criteria for the delivery of training.
(6) Training recordkeeping requirements, provided in 22 CCR § 4442, including, but not limited to, cases where a business must comply with industry-specific federally-mandated criteria for record keeping.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10200(b) and 10205(k), Unemployment Insurance Code.
HISTORY

1. New section filed 5-18-98; operative 5-18-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 21).
2. Amendment of section and Note filed 8-17-2004 as an emergency; operative 8-17-2004 (Register 2004, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-15-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-17-2004 order transmitted to OAL 11-12-2004 and filed 12-27-2004 (Register 2004, No. 53).
4. Amendment of subsection (a)(2) and repealer of subsection (a)(3) filed 1-27-2010; operative 2-26-2010 (Register 2010, No. 5).
§4403. Coordination with Other Agencies. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10200(a)(4), 10200(c), 10204(a) and (c), 10205(c) and 10214.5, Unemployment Insurance Code; and Title 29, U.S.C. Section 794(d).
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Amendment of section and Note filed 9-27-2005; operative 9-27-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 39).
3. Repealer filed 8-9-2006; operative 9-8-2006 (Register 2006, No. 32).
§4403.1. Apprenticeship Training.
Note     •     History

(a) The Panel shall not fund training projects that replace, parallel, supplant, compete with or duplicate existing apprenticeship programs.
(b) The Panel may fund pre-apprenticeship training projects designed to prepare trainees for further training in trades that have a Division of Apprenticeship Standards (DAS)-approved apprenticeship program. The pre-apprentice must enroll in such a program, for the relevant trade, upon completion of the ETP-funded training. The requirement for enrollment in a DAS-approved apprenticeship program may be waived by the Panel at its discretion, on a case-by-case basis, where:
(1) the pre-apprentice cannot enroll in a DAS-approved program in a timely manner, such as when the relevant trade is impacted for new hires, or
(2) the pre-apprentice cannot pass the qualifying test required for enrollment in a DAS-approved program.
(c) The Panel may fund post-apprenticeship training projects designed to upgrade the skills of journey-level workers. In order to qualify for this training, the journey-level worker must have:
(1) completed a DAS-approved apprenticeship program for that trade, or
(2) worked in the relevant trade for a period of time equivalent to the training period required under a DAS-approved apprenticeship program for that trade.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Section 10200(a)(4), Unemployment Insurance Code.
HISTORY

1. New section filed 9-27-2005; operative 9-27-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 39).
§4404. Collective Bargaining Agreements.
Note     •     History

(a) Prior to presenting an application for a proposed training project to the panel, the contractor shall notify the appropriate collective bargaining agent which represents workers for whom training is proposed of its intent to apply for Panel funding. The notice of intent shall contain the information regarding the proposed training, the impacted employee population, the name of the collective bargaining agent, and the effective date of the application.
(b) Upon receipt of the notice of intent pursuant to subdivision (a), the labor organization representing effected workers shall notify the panel, in writing, of its concurrence with the contractor's proposal. The written notification shall be signed by an authorized representative of the collective bargaining agent and received by the panel prior to further development of the agreement. The labor organization shall have the opportunity to participate in the agreement's development.
NOTE

Authority cited: Section 10205(k), Unemployment Code. Reference: Section 10205(e), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
§4405. Funding Limitations.
Note     •     History

(a) In order to make Panel funds available to the greatest number of trainees, the Panel may impose funding restrictions on contracts and/or establish certain funding priorities. Any funding restrictions or application of priorities shall reflect statutory criteria and may include, but are not limited to, the following:
(1) Setting dollar caps on contracts and limiting the term of training projects.
(2) Requiring contractors to contribute a specified dollar amount to each contract in addition to in kind contributions and substantial contributions provided for both in the law and these regulations.
(3) Assigning priority to contracts proposing training for new hire and recently hired trainees.
(4) Assigning priority to small business and/or industries.
NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Sections 10205(c), (d), (j), (k), 10206(b), 10207(b), 10213 and 10213.5, Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Repealer and new section  filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
3. Amendment of subsection (a) filed 2-15-2011; operative 3-17-2011 (Register 2011, No. 7).
§4406. New Hire Training.
Note     •     History

Panel approval for “new hire training” as defined in Unemployment Insurance Code Section 10201(g) is subject to the following:
(a) Training must be in job-related skills for a specific occupation in a given industry or for specialized occupations across an industry spectrum. In either case, the training must be for occupations with a demonstrable statewide or local shortage of workers.
(b) Training may include generic vocational skills such as office automation or customer service as an ancillary component of the overall curriculum for training in skills needed by a specific or specialized occupation.
(c) The Contractor must demonstrate to the satisfaction of the Panel that it has established a plan for recruiting eligible trainees and prospective participating employers; and, an employer advisory board with prospective participating employers as members.
(d) The employer advisory board must give the Contractor guidance on which job-related skills are needed in the specific or specialized occupations, and information about the shortage of workers in said occupations. It must also provide an ongoing evaluation of the curriculum and other material aspects of the training project.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10200(a), 10205(b), (c) and (e), 10209(a) and (g) and 10210(b), Unemployment Insurance Code.
HISTORY

1. New section filed 8-19-91; operative 8-19-91 (Register 92, No. 1).
2. Amendment of subsection (a), repealer and new subsections (a)(1) and (a)(2), and new subsection (a)(3) filed 3-9-93; operative 3-9-93 (Register 93, No. 11).
3. Repealer and new section filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
4. Repealer and new section filed 6-28-2006; operative 7-28-2006 (Register 2006, No. 26).
5. Repealer of subsection (a) and subsection relettering filed 1-27-2010; operative 2-26-2010 (Register 2010, No. 5).
§4407. Small Business Projects. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Sections 10200, 10204(a) and (b), 10210, 10212(d), 10213 and 10213.5, Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Repealer of subsections (a)-(a)(3), subsection relettering and amendment of Note filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
3. Amendment of section heading, section and Note filed 1-8-2001 as an emergency; operative 1-8-2001 (Register 2001, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2001 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to 1-8-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 25). 
5. Repealer filed 3-12-2007; operative 4-11-2007 (Register 2007, No. 11).
§4407.1. Small Business Owners.
Note     •     History

(a) A proposal to train the employees of a small business may include training for the owner of the business provided the following criteria are met:
(1) The business employs 100 or fewer full-time employees, excluding the owner.
(2) The owner is an individual having all or a substantial (at least 20%) financial investment in the business, and is directly involved full-time in the day-to-day operation of the business.
(3) The owner is not subject to the eligibility provisions of §10201(c) of the Unemployment Insurance Code.
(4) At least one employee must participate in training along with the owner of the business.
(5) The business is participating in the Panel's Small Business Pilot Project.
(b) Training for small business owners under this section is not limited to business management skills.
(c) For purposes of this regulation, the Small Business Pilot Project is the Panel's pilot project which will test an expedited application and contract development process designed to allow a greater number of small businesses with 100 or fewer employees to participate in Panel-funded training.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code.   Reference: Sections 10200(a), 10201(c) and 10203, Unemployment Insurance Code.
HISTORY

1. New section filed 11-18-2002 as an emergency; operative 11-18-2002 (Register 2002, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-18-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-18-2002 order transmitted to OAL 3-18-2003 and filed 4-28-2003 (Register 2003, No. 18).
§4408. California Career Ladders to the 21st Century Training. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(m), Unemployment  Insurance Code. Reference: Sections 10200, 10201(c) and (f) and 10213, Unemployment Insurance Code.
HISTORY

1. New section filed 8-19-91; operative 8-19-91 (Register 92, No. 1).
2. Amendment of section heading, section and Note filed 11-6-2001 as an emergency; operative 11-6-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-6-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-6-2001 order transmitted to OAL 3-6-2002 and filed 4-16-2002 (Register 2002, No. 16).
4. Repealer filed 8-9-2006; operative 9-8-2006 (Register 2006, No. 32).
§4409. Special Employment Training Projects.
Note     •     History

(a) The Panel may allocate up to fifteen (15) percent of the annually available training funds for Special Employment Training (SET) projects to improve the skills and employment security of frontline workers, as defined in Section 4400(ee), who earn at least the state average hourly wage.
(1) SET projects are not subject to the out-of-state competition requirement specified in Section 4416. 
(2) SET trainees are not subject to the eligibility provision of Section10201(c) of the Unemployment Insurance (UI) Code. 
(3) The Panel shall identify industries and occupations that are priorities for funding as a SET project, in the annual Strategic Plan.
(4) Each SET project shall be funded for no more than $500,000, although the Panel may waive the cap for individual SET projects on a case-by-case basis.
(5) Each SET project must result in full-time employment, for all trainees who successfully complete training, except those receiving small business skills training as provided under subsection (b).
(6) The Panel may fund SET projects for frontline workers who earn up to 25% below the state average hourly wage as follows:
(A) For training in an industry sector identified by the Panel as a funding priority in accordance with Unemployment Insurance Code Section 10200(b); or
(B) For training under a Critical Proposal within the meaning of Section 4402.2.
This wage modification, including the determination of funding priority, shall be made on a case-by-case basis. (See the Panel's FY 2009/10 Strategic Plan for more information on high-priority industry sectors.)
(7) The Panel may also fund SET projects for frontline workers who earn less than the state average hourly wage, but at least the ETP Minimum Wage under Section 10201(f) of the Unemployment Insurance Code, if they have at least two barriers which prevent them from fully participating in the labor force. Barriers may include mental or physical disability, illiteracy, limited English proficiency, limited math skills, or some similar impediment.
Notwithstanding the limitations under Section 4420, the Panel may fund the same number of basic skills and literacy training hours as are funded for vocational skills training, on a per-trainee basis.
(b) The Panel may fund a SET project in a High Unemployment Area. In that case, trainees may earn less than the state average hourly wage and/or have a modified retention period in accordance with Section 4429.
(c) The Panel may fund entrepreneurial training as a SET project for small business owner(s) who meet the definition of “frontline workers” at Section 4400(ee). In addition, the business must qualify as an “employer” within the meaning of Section 10201(b) of the Unemployment Insurance Code.
(1) The following definitions apply, for the purpose of entrepeneurial training:
(A) “Owner” means one or more individuals who each have a substantial (at least 20 percent) financial investment in the business, and direct  full-time involvement in the day-to-day operations of the business. The spouse of an “owner” also qualifies if he or she has direct full-time involvement in the day-to-day operations.
(B) “Employee” means an individual who was employed full time prior to the first day of training for the owner(s). An employee cannot be leased or assigned from a temporary employment agency or other provider.
(2) The owner(s) shall not be counted in meeting the requirement for less than ten full-time employees.
(3) Wages after training are not relevant to small business owner training, since owners typically do not receive an hourly wage.
(4) The entrepreneurial training must be in business management and/or related skills including but not limited to development, business and/or marketing plan, tax requirements, and permit or licensing procedures.
(5) The business must employ at least the same number of full-time employees on the 91st day after the owner's training, as were employed at the start of training. ETP may waive or modify this requirement on a case-by-case basis, for good cause.
(d) A training proposal developed and approved under this section shall meet all Panel requirements not otherwise modified or exempted by this section.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10200(a), 10201(c) and (f) and 10214.5, Unemployment Insurance Code.
HISTORY

1. New section filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49). For prior history, see Register 96, No. 29.
2. Editorial correction of subsection (b)(6)(E) (Register 99, No. 50).
3. Amendment of subsections (b)(1) and (b)(5)(F) filed 12-8-99; operative 12-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 50). 
4. Amendment of section and Note filed 1-8-2001 as an emergency; operative 1-8-2001 (Register 2001, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-8-2001 order, including further amendment of subsections (a)(5)(C) and (a)(6), transmitted to OAL 5-8-2001 and filed 6-20-2001 (Register 2001, No. 25).
6. Amendment of subsection (a), repealer of subsections (a)(5)-(a)(5)(C) and subsection renumbering filed 11-6-2001 as an emergency; operative 11-6-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-6-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-6-2001 order transmitted to OAL 3-6-2002 and filed 4-16-2002 (Register 2002, No. 16).
8. Amendment filed 5-17-2006; operative 6-16-2006 (Register 2006, No. 20).
9. Amendment of subsection (a), new subsections (a)(6)-(a)(6)(B), subsection renumbering and amendment of subsection (b) filed 1-27-2010; operative 2-26-2010 (Register 2010, No. 5).
§4409.1. Participating Employer Contributions.
Note     •     History

(a) A Multiple Employer Contractor may charge a participating employer(s) for training-related costs that are not reimbursed by ETP if the charge is compliant with the procedures set forth herein.
(b) A Multiple Employer Contractor may charge any of the following:
(1) A refundable deposit designed to ensure trainee participation or retention, which may not be included as in-kind contributions under the ETP Agreement. (See Section 4401.1(e).)
(2) A nonrefundable deposit as needed to conduct training needs assessments or provide other training-related services that go beyond the scope of funding under the ETP Agreement;
(3) A nonrefundable deposit to reimburse the Multiple Employer Contractor for out-of-pocket training costs incurred when a trainee does not satisfy the requirements for funding under the ETP Agreement, which may be billed to the participating employer(s) only after ETP has determined that payment cannot be earned for the trainee. (See Section 4400(r).)
(c) The charge must be consensual between the Multiple Employer Contractor and participating employer(s) as memorialized in a writing signed by both parties. The Panel is not a party to this agreement although it runs collateral to the ETP Agreement.
(d) The Multiple Employer Contractor must receive the Panel's prior review and written approval for this “collateral agreement” and any other writing conveyed by the Multiple Employer Contractor to a participating employer(s) that references the ETP program or uses the ETP name or logo.
(e) Panel approval of a collateral agreement regarding a charge will only be granted if the nature of the charge is clearly identified consistent with subsection (b) above. Also, if the Multiple Employer Contractor intends to refer any unpaid charge to a collection agency, a notice to that effect must be clearly set forth in the collateral agreement as a condition of approval.
(f) In no event may charges to a participating employer(s) duplicate ETP funding. In no event may a trainee(s) be assessed any portion of direct or related costs for training funded under an ETP Agreement.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10200 and 10205, Unemployment Insurance Code.
HISTORY

1. New section filed 4-17-2000 as an emergency; operative 4-17-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-15-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-17-2000 order transmitted to OAL 8-11-2000 and filed 9-25-2000 (Register 2000, No. 39).
3. Amendment of section heading, section and Note filed 10-23-2007; operative 11-22-2007 (Register 2007, No. 43).
§4410. Substantial Contributions.
Note     •     History

(a) For retraining projects, every employer must make a substantial contribution toward the cost of training, in the amount of:
(1)  Not less than 15% of the total training and administrative costs funded by the Panel, exclusive of in-kind contributions, if payment was earned for retraining at the same facility in the amount of $250,000 or more within the previous five years. However, this substantial contribution may not exceed 30%.
(2) Not less than 30% of the total training and administrative costs funded by the Panel, exclusive of in-kind contributions, if the employer made a substantial contribution under a prior or active ETP Agreement within the previous five years. However, this substantial contribution may not exceed 50%. Additionally, the Panel may decrease this substantial contribution, to no less than 15%, but only upon a showing of good cause by the employer.
(b) The following definitions of terms apply to substantial contributions at all levels:
(1) The term “facility” is defined in Section 4400(i).
(2) The term “payment earned” is defined in Section 4400(r).
(3) The term “ETP Agreement” means a single contract or Multiple Employer Contract (MEC) that sets forth performance standards for payment earned.
(4) The term “employer” has the same meaning as in Unemployment Insurance Code Section 10201(a). As used herein, employer includes any “participating employer” under a MEC. The identity of the employer shall be based on the California Employer Account Number (CEAN) assigned by the Employment Development Department for the purpose of Unemployment Insurance tax collection, coupled with the location of the facility at which retraining occurs.
(5) The term “previous five years” means a continuous time period beginning on the termination date of the prior ETP Agreement(s), except if the Panel anticipates payment earned of $250,000 or more in an active ETP Agreement as set forth in Subsection (c) below.
(c) Payment earned may be based on anticipated performance under an active ETP Agreement at the Panel's discretion, on a case-by-case basis. In exercising discretion, the Panel will consider the following factors:
(1) Remaining term of the ETP Agreement;
(2) Funding amount as approved or amended;
(3) Amount of payment earned to date;
(4) Number of trainees with completed retention;
(5) Percentage of payment earned relative to approved funding for all ETP Agreements that terminated in the previous five years.
In the event payment is not earned as projected, the Panel shall reverse the Substantial Contribution assessment for the subject contract.
(d) There is no substantial contribution requirement when the employer is a small business with 100 or fewer full time employees.
(e) The substantial contribution requirement may be modified for a Critical Proposal as set forth in Section 4402.2(b).
NOTE

Authority cited: Section 10205, Unemployment Insurance Code. Reference: Section 10209(d), Unemployment Insurance Code. 
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Repealer filed 12-1-95; operative 12-1-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 48).
3. New section filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
4. Amendment of subsections (a) and (d)(1) filed 11-26-97; operative 11-26-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 48).
5. Amendment of subsections (a) and (b) filed 7-7-98; operative 7-7-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 28).
6. Amendment of section and Note filed 4-18-2008; operative 7-1-2008 (Register 2008, No. 16).
§4410.5. Exemption from Substantial Contribution Requirement. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10209, Unemployment Insurance Code.
HISTORY

1. New section filed 11-9-98 as an emergency; operative 11-9-98 (Register 98, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-9-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-9-98 emergency transmitted to OAL 3-9-99 and filed 4-15-99 (Register 99, No. 16).
3. Repealer filed 4-18-2008; operative 7-1-2008 (Register 2008, No. 16).
§4411. Fixed-Fee Contracts.
Note     •     History

(a) The Panel may fund training contracts by applying a standard fixed -fee rate per trainee hour in lieu of a line-item budget to substantiate training costs. These standardized fixed-fee rates per hour may vary depending on the training delivery method (e.g., classroom/laboratory), complexity of the training, size of employer served, and the type of trainee (e.g., retrainee) receiving training.
(b) The research methodology to develop reasonable fixed-fee rates consists of an analysis of data collected from a representative sample of ETP budget-based contracts and the allowable costs/hour budgeted, and ETP subcontracted classroom/laboratory and structured on-site training costs. The rates were then benchmarked against applicable training market data from programs similar to ETP in other states and training fees charged by private and public training institutions in California.
(c) To ensure effective training delivery, a classroom/laboratory trainer to trainee ratio will be applied in contracts utilizing the fixed-fee rates. The classroom/laboratory ratio of trainer to trainees is determined using ETP historical data and private and public training institutional data. The classroom/laboratory ratio will also be applicable to training provided via videoconferencing. A trainer to trainee ratio is not applicable to structured on-site training and computer-based training since these training delivery methods are customized to an individual trainee's needs.
(d) The panel may adjust the established fixed-fee rates annually.
(e) For multiple-employer new hire training projects, the following may be included as a cost in addition to the fixed fee:
(1) Costs for staff salaries, fringe benefits, consumable supplies, printing, communications, equipment and software, premises, utilities, housekeeping services, travel and advertising/promotion of the ETP program that are incurred as a result of the following new hire activities:
(A) Recruitment of training participants.
(B) Trainee intake assessment to determine eligibility.
(C) Job development, and
(D) Job search assistance, and placement in specific jobs.
(f) For multiple-employer retraining projects the following may be included as costs in addition to the fixed fee:
(1) Costs for staff salaries, fringe benefits, consumable supplies, printing, communications, equipment and software, premises, utilities, housekeeping services, travel and advertising/promotion of the ETP program that are incurred as a result of the following activities:
(A) Recruitment of participating employers.
(B) Assessment of employer-specific job requirements.
(g) In no event shall the costs allowed in (e) and (f) above exceed 8% of the other training costs, except that up to an additional 4% will be allowed subject to Panel approval if the contractor makes a showing that the 8% is not sufficient to provide the contractor with the funds to do necessary recruitment of potential new hire trainees.
NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10205(c) and 10206(a), Unemployment Insurance Code.
HISTORY

1. New section filed 8-19-91; operative 8-19-91 (Register 92, No. 1).
2. Amendment of subsection (a), repealer and new subsections (b)-(e), amendment of subsection (f), repealer of subsections (g)-(g)(3) and amendment of Note filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
3. New subsections (g)-(i) and amendment of Note filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
4. Amendment of subsection (a), repealer of subsection (e), subsection relettering and amendment of newly designated subsection (h) filed 4-17-2000 as an emergency; operative 4-17-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-15-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-17-2000 order, including further amendments, transmitted to OAL 8-11-2000 and filed 9-25-2000 (Register 2000, No. 39).
§4412. Reasonable Training and Administrative Costs for Budgets.
Note     •     History

Allowable ETP costs are those reasonable training and administrative costs in budget based agreements which include salaries, fringe benefits, and operating expenses and equipment necessary to provide training to eligible participants and to administer the training program. These costs shall bear a direct relation to the number of trainees to be retained in the program and the amount of training time specified in the agreement. ETP will only allow the portion of each eligible cost that can be properly allocated to the ETP training project. All costs must be incurred during the term of the agreement, and none of these costs may, in any way, be attributable to any other funding sources, except for employer contributions.
(a) Training costs:
(1) Salaries of those individuals (instructors, instructional aides, trainers, supervisors) providing classroom, laboratory, technology-based distance training, and structured, on-site training to the participants, for hours of actual delivery of instruction, and hours preparatory to instruction. Salaries of those individuals providing training support functions such as curriculum modification and preparation of training materials for the instructors and/or participants.
(2) Payroll taxes, including FICA, FUTA, State Unemployment Insurance, and Employment Training Tax, that are considered by the Department of Labor to be mandatory taxes incurred as business expenses. All payroll taxes should be individually identified.
(3) Fringe benefits are perquisites paid by an employer to employees, either voluntarily or by collective bargaining agreement, in addition to the employees' basic hourly or monthly compensation or remuneration.
(A) Fringe benefits may include one or more of the following:
1. vacation pay;
2. holiday pay;
3. sick leave;
4. health insurance plans;
5. hospitalization coverage;
6. retirement or pension plan; 
7. life insurance (if the employer is not the beneficiary); and/or
8. military leave.
(B) The fringe benefit should be automatically and uniformly available to all those covered by the benefit package in comparable employment with the same employer.
(C) Any elective benefits selected on an individual basis, that are not available to all employees of an individual employer, should not be included in the list of fringe benefits.
(4) Operating expenses and equipment costs including consumable supplies, communications, equipment, software and licenses, premises, utilities, housekeeping services, travel, printing, transmission (computer time), system maintenance, and subcontractor and vendor fees directly related to the delivery of training.
(A) Equipment: The cost of equipment used for classroom, laboratory, and technology-based distance training may be claimed for the actual amount of time in use during those training components. The cost of equipment used for structured, on-site training is not allowable. The cost of purchased equipment, less salvage value, shall be prorated based on its useful life. Usefil life shall be determined using the class life established in the most recent version of IRS Publication 946. Useful life for training-related computer hardware and software used in classroom/lab settings shall be three (3) years and one (1) year, respectively. Once the useful life has expired, the equipment or software cannot continue to be claimed as an expense; only service and maintenance costs are allowable.
The contractor's/subcontractor's total cost incurred to lease and/or rent equipment shall not exceed the cost to purchase the same equipment, less salvage value. The contractor/subcontractor must obtain three (3) written bids for leased equipment. Allowable lease/rental costs will be that portion of the total lease/rental cost (or purchase cost less salvage value, whichever is less) allocable to ETP training.
(B) Premises: 
1. Premises, other than the facilities or work site of the contractor (i.e., off-site facilities), may be claimed as a training expense if sufficient justification is shown for the need to train at a location other than the contractor's facility or work site.
2. Multiple-employer contractors (MECs) may be reimbursed for a proportional share of actual on-site premise cost if the costs are incurred during classroom, laboratory, or technology-based distance training. Premises cost may include rent, depreciation of building cost, property/liability insurance, property tax, security, parking fees paid by contractor, and facility repair deemed necessary to the project. Each of these costs must be separately identified.
3. If all training takes place at the employer contractor's work site, the contractor's premises costs can only be allowed as an in-kind contribution.
(C) Utilities and Housekeeping: may be claimed for on-site training only if they are additional expenses incurred because of the training program or if the contractor is a MEC.
(D) Subcontractors: shall prepare individual, line-item budgets and are subject to the same limitations and restrictions as the primary contractor. Individual budgets are not required for contract laborers.
(E) Miscellaneous:
Miscellaneous costs shall not exceed ten percent of all other operating equipment and expenses associated with the delivery and administration of the training project. The contractor need not document the breakdown of the items included in this category.
(F) Profits are permitted only for private, for-profit MECs or for subcontractors and shall not exceed five (5) percent of the total training and administrative costs without justification and prior approval.
(5) For costs associated with new hire trainees, the following will be permitted as a training cost:
(A) Staff salaries, fringe benefits, consumable supplies, printing, communications, equipment and software, premises, utilities, housekeeping services, travel, and advertising/promotion of the ETP program that are incurred as a result of the following new hire activities:
1. Recruitment of training participants
2. Trainee intake assessment to determine eligibility
3. Job development, and
4. Job search assistance, and placement in specific jobs.
(6) For costs associated with multiple-employer contract retraining the following may be included as training costs:
(A) Recruitment of participating employers
(B) Assessment of employer-specific job requirements.
(7) In no event shall the training costs allowed in (5) or (6) exceed 8% of the other training costs, except that up to an additional 4% will be allowed subject to Panel approval if the contractor makes a showing that the 8% is not sufficient to provide the contractor with the funds to do necessary recruitment of potential new hire trainees and/or employers.
(b) Administrative costs:
(1) Salaries of those individuals (managers, administrators, coordinators) for time directly spent in the implementation and operation of the training program, evaluation and modification of the program, scheduling and tracking of trainees, maintaining training records, and coordinating with ETP staff.
(2) Payroll taxes and fringe benefits related to program administration.
(3) Operating expenses and equipment costs related to program administration, similar to those allowed as training costs. For MECs, the overhead costs of doing business may be prorated between the ETP project and other activities. The portion of each allowable overhead cost applicable to the ETP project may be claimed; however, no portion of unallowable costs may be claimed. Examples of unallowable costs include: bad debts, fines/penalties, entertainment, lobbying, alcoholic beverages, contributions/donations, and state/federal income taxes.
(4) The salaries and fringe benefits of project directors, program managers, supervisors and other administrative positions who both instruct and supervise other instructors or otherwise perform both training and administrative duties as prescribed in an official duty statement shall be prorated among the training and administrative cost categories based on time records or other verifiable means.
NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Sections 10201(b), 10205(c), (d), (e), 10206(a)(1)(B), 10209(f), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Amendment of subsections (a)(3)(B) and (a)(3)(E) and new subsections (a)(4) and (a)(5) filed 3-9-93; operative 3-9-93 (Register 93, No. 11).
3. Change without regulatory effect adopting new subsection (a)(6) filed 5-11-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 20).
4. Amendment of section heading, section and Note filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
5. Amendment of subsections (a)(1), (a)(3)-(a)(3)(A) and (a)(3)(B)1.-2. and amendment of Note filed 12-20-99 as an emergency; operative 12-20-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-18-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of first paragraph filed 4-17-2000 as an emergency; operative 4-17-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-15-2000 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-20-99 order transmitted to OAL 4-5-2000 and filed 5-15-2000 (Register 2000, No. 20).
8. Certificate of Compliance as to 4-17-2000 order, including further amendments, transmitted to OAL 8-11-2000 and filed 9-25-2000 (Register 2000, No. 39).
§4412.1. Training Costs Charged to Trainees.
Note     •     History

(a) Unless otherwise permitted herein, or with written approval from the Executive Director of the Panel, trainees being trained under a contract funded by the Panel cannot be charged for any training costs.
(1) If the contractor is receiving Panel funds based on a budget, that budget must accurately reflect all training costs to be paid by the Panel, the employer or by any other specified source. If books or other supplies are to be purchased by the students, they will have to be specifically and clearly identified as a funding source in the budget.
(2) A company cannot indicate an in-kind contribution for supplies or books, then require the trainees to purchase these items, since in-kind contributions are defined by this title as costs covered by the employer/contractor and not by a third party (i.e. the trainee).
(b) The Panel recognizes that there is an inherent risk factor in implementing a new hire training program. This risk cannot be transferred to the trainees enrolled in that program in any manner, whether by reimbursable fee or otherwise.
(c) If the Panel determines any charges have been made to students which are not authorized by the Panel or by statute, the Panel shall offset such monies from any reimbursement due to the contractor, or if monies have been paid to the contractor, the Panel shall seek reimbursement for such funds. Failure of the contractor to reimburse for these charges is sufficient reason for denying any future Panel funds to the contractor.
(d) Special Employment Training projects for small business skills are exempt from these provisions. (See Section 4409.)
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10205(e) and 10206(a), Unemployment Insurance Code.
HISTORY

1. New section filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
2. Repealer of subsection (a)(1) and subsection renumbering filed 4-17-2000 as an emergency; operative 4-17-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-15-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-17-2000 order transmitted to OAL 8-11-2000 and filed 9-25-2000 (Register 2000, No. 39).
4. Amendment of subsection (d) and Note filed 9-27-2005; operative 9-27-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 39).
§4412.2. Third Party Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10206(a)(1)(D), Unemployment Insurance Code.
HISTORY

1. New section filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
2. Repealer filed 11-28-2006; operative 12-28-2006 (Register 2006, No. 48).
§4413. Subcontracts.
Note     •     History

(a) Contractors may enter into subcontracts for both training and administrative services with a third-party entity for training and/or administrative services, subject to review and approval by ETP.
(b) All subcontracts shall include:
(1) a provision that the Panel is not a party to the subcontract and is not obligated in any manner to either party for any liability that might arise from the delivery of services under the subcontract;
(2) a provision that ETP shall have the right during normal business hours, to examine or audit any and all records, books, papers and documents related to the conduct of the ETP-funded training project to the extent ETP believes necessary; and,
(3) a provision that ETP shall have the right during normal business hours to freely observe and monitor, without the presence of the subcontractor or Contractor, all performance under the subcontract, including interviews with trainees and employees.
(c) Contractors are entirely liable for ensuring that all subcontractors cooperate to the extent necessary to satisfy performance obligations under their contracts with the Panel.
(d) Subcontractors for administrative services must express the fees to be paid with ETP funds as a percentage of payment earned. (See Section 4400(r).) In general, the fees may not exceed thirteen percent (13%) of payment earned for administering a retraining project; or, twenty percent (20%) of payment earned for administering a new-hire training project Contract.
(e) A copy of any original subcontract(s) and amendment(s) thereto must be submitted to ETP, upon request. All subcontracts and amendments for administrative services must be in writing. A subcontract or contract amendment that is entered into for the sole purpose of providing training services need not be in writing, so long as the contractor sets forth the terms in a writing that is submitted to ETP, upon request.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10206(a), 10208, 10209(f), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Amendment of subsections (a), (b)(3) and (b)(4), new subsections (b)(5)-(b)(10), repealer and new subsections (c) and (d) and amendment of Note filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
3. Amendment of section and Note filed 11-28-2006; operative 12-28-2006 (Register 2006, No. 48).
§4414. Job Creation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Section 10200(a)(1), Unemployment Insurance Code.
HISTORY

1. New section filed 4-14-95; operative 4-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 15).
2. Amendment of subsection (a)(3) and amendment of Note filed 11-6-2001 as an emergency; operative 11-6-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-6-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-6-2001 order transmitted to OAL 3-6-2002 and filed 4-16-2002 (Register 2002, No. 16).
4. Repealer filed 4-19-2006; operative 5-19-2006 (Register 2006, No. 16).
§4415. Management Training Cap.
Note     •     History

(a) Supervisors and managers may not exceed 40 percent of the total trainee population under a Single Employer Contract or Multiple Employer Contract.
(b) The Panel shall at its sole discretion, set the limitation on supervisor and manager trainees under a given training contract within a range of 20 to 40 percent. In setting this limitation, the Panel shall consider the purpose of training and other factors pertinent to the overall goals of this ETP program, on a case-by-case basis.
(c) For purposes of this limitation, supervisors and managers are workers who are exempt from payment of overtime compensation, consistent with the determination of exempt status contained in the definition of “frontline worker” at Section 4400(ee).
(d) This limitation may be waived for small businesses with 100 or fewer employees.
(e) This limitation does not apply to entrepreneurial training under Section 4409(c).
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10200(a), 10205 and 10206, Unemployment Insurance Code.
HISTORY

1. New section filed 4-14-95; operative 4-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 15).
2. Amendment of section and Note filed 9-27-2005; operative 9-27-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 39).
3. Repealer and new section heading and section and amendment of Note filed 10-23-2007; operative 11-22-2007 (Register 2007, No. 43).
§4416. Out-of-State Competition.
Note     •     History

(a) Funding Requirement. The Panel will not fund any retraining project, with the exception of Special Employment Training under Unemployment Insurance Code Section 10214.5, unless it first determines that the trainee jobs are threatened by out-of-state competition.
(b) Determination. The Panel will make its Determination regarding out-of-state competition on a case-by-case basis and at its sole discretion, based on the factors outlined in subsections (d)-(h). The only exception is for employers classified under the North American Industrial Classification System (NAICS) as set forth in subsection (i).
(c) Employer. As used in regard to a Determination under subsections (d)-(h), Employer means the employer's individual facility, functional group or unit that is or will be employing the trainees whose jobs are threatened by out-of-state competition.
(d) Threshold Analysis. As a threshold analysis, the Panel will consider whether the Employer:
(1) manufactures a product sold out-of-state; or
(2) manufactures a product sold in-state that competes with products manufactured out-of-state; and/or
(3) provides a service in California that regularly competes with service providers located out-of-state; and/or
(4) provides a service directly to out-of-state customers where revenues derived directly from this service comprise at least 25 percent of gross annual revenue.
(e) Significant Business Presence. If the threshold analysis is not sufficient to make a Determination, the Panel will also consider whether the Employer has a significant business presence outside California. This is a two-part analysis using the criteria set forth in both (1) and (2) below:
(1) The Employer, as defined in Section 4416(c) above, or its corporate headquarters, must provide internal support services to one or more offices, divisions, branches, stores, or franchises located out-of-state; and,
(2) The Employer must establish one of the following:
(A) at least 25 percent of the Employer's gross annual revenue is derived directly from its operations out-of-state, or
(B) at least 25 percent of the Employer's permanent offices, divisions, branches, stores or franchises are located out-of-state, or 
(C) at least 25 percent of the Employer's permanent full-time employees work at locations out-of-state.
(f) Mortgage Banking. If the Threshold Analysis is not sufficient to make a Determination, the Panel will also consider whether the Employer is a mortgage banking institution. This is a three-part analysis using the criteria set forth in (1) through (3) below:
(1) The institution must be a mortgage lender, a business that services mortgage loans or a business that packages/sells mortgage loans; and
(2) The institution must conduct its business or support services in California; and
(3) All trainees must hold positions that are directly related to the lending, servicing, packaging/selling function.
(g) Destinations. If the Threshold Analysis is not sufficient to make a Determination, the Panel will also consider whether the Employer qualifies as a destination resort, a convention/conference hotel or a convention/conference center under the parameters set forth in (1) through (4) below:
(1) A destination resort must be a place people travel to in pursuit of recreation, where the destination is the resort itself and not the city or geographic region of its locale. In the alternative, a hotel may qualify as a destination resort if it operates in conjunction with or in proximity to a recreational attraction, where the hotel directly derives at least 25 percent of its gross annual revenue from out-of-state visitors.
(2) A convention/conference hotel must directly derive at least 25 percent of its gross annual revenue from transient lodging or related services provided to out-of-state visitors to a convention, conference or trade show.
(3) A convention/conference center must primarily provide for the meeting and exhibiting needs of out-of-state visitors to a convention, conference or trade show.
(4) To qualify as a destination resort, a convention/conference hotel, or a convention/conference center the Employer must also meet at least three of the following six criteria:
(A) Routinely advertises in the same media as its out-of-state competitors; or 
(B) Routinely makes special sales efforts designed to attract out-of-state customers; or
(C) Participates in sales missions or trade shows conducted out-of-state; or 
(D) Contributes financially to joint, community-based sales efforts conducted out-of-state; or
(E) Markets directly to out-of-state customers by mailing, telephone soliciting, internet advertising or other broad-based means; or
(F) Otherwise demonstrates that it is competing with similar resorts, hotels or centers located out-of-state.
(h) Call Center. If the Employer is a call center, the Panel will dispense with the Threshold Analysis at subsection (d). Neither will the NAICS classifications at subsection (i) apply, for the purpose of meeting the out-of-state competition requirement. Instead, the Panel will base its Determination on the criteria set forth in (1) through (5) below:
(1) At least 25 percent of annual call volume must originate from outside California; and,
(2) The center must be an internal operation; and,
(3) The center must be primarily engaged in taking customer orders or providing customer service by telephone; and,
(4) The customer must initiate contact by a call or other inquiry; and,
(5) The center must not be engaged in telemarketing.
As used herein “telemarketing” means a plan, program or campaign designated to sell goods or services by telephone solicitation, where the customer does not initiate contact.
(i) NAICS Industries. As an exception to the discretionary Determination process at subsections (d)-(h), any employer that finances liability for unemployment insurance benefits will be deemed to meet the out-of-state competition requirement based on industry classifications. The pertinent industries are classified into Sectors by the federal Office of Management and Budget under the 2002 North American Industrial Classification System (NAICS). The Employment Development Department (EDD) routinely assigns NAICS classifications to all businesses in California.
For the purpose of meeting the out-of-state competition requirement, the Panel will accept the EDD assignment of NAICS classifications for the Sectors identified in both (1) and (2) below:
(1) Any NAICS classification in:
Sectors 31-33. Manufacturing Industry
(2) Designated NAICS classifications in:
Sector 11. Agriculture, Forestry, Fishing & Hunting Industry
Sector 21. Mining Industry
Sector 51. Information Industry
Sector 54. Professional, Scientific & Technical Services Industry
(3) A detailed definition of each industry classification is set forth in the “NAICS Manual” published by the U.S. Census Bureau under the Office of Management and Budget. All of these classifications may be viewed online free of charge at www.census.gov. The particular classifications designated by the Panel in Sectors 11, 21, 51 and 54 are shown in the following chart:

NORTH AMERICAN INDUSTRIAL CLASSIFICATION SYSTEM

View Graphic
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10200(a), 10200(b)(1) and 10201(b), Unemployment Insurance Code.
HISTORY

1. New section filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
2. Amendment of section and Note filed 4-12-2006; operative 5-12-2006 (Register 2006, No. 15).
3. Change without regulatory effect amending subsection (i)(3) and Note filed 7-9-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 28).
§4417. Secure Job.
Note     •     History

(a) The Panel shall fund training for employment that is stable. The employer's turnover rate shall not exceed 20% annually for the company facility where training is being requested. If the employer crosses this 20% threshold, the Panel may accept a higher turnover rate, but only if:
(1) the employer provides evidence that the proposed training will significantly decrease the turnover rate, or 
(2) the employer has experienced a singular reduction in force or other occurrence which adversely affected the turnover rate in the last calendar year, or 
(3) industry data supports a higher turnover rate.
(b) Even if the Panel accepts a higher turnover rate, it may impose a turnover penalty. Said penalty will be imposed if the employer exceeds a trigger rate to be determined by the Panel on a case-by-case basis as a condition of funding, taking into account the factors in subsection (a). The trigger rate will be applied to turnover as measured in the 12-month period preceding termination of the contract.
By way of penalty, the employer will not earn the final 25% payment which would otherwise be due under the agreement if all other terms are met. This penalty will be applied at the time of fiscal closeout for the training project as a whole. 
(c) Turnover is calculated as follows:
(1) The number of full-time workers who separated from their jobs during the last calendar year divided by the average number of full-time workers employed during that same period of time at the same company site(s).
(2) The following types of employment separations shall be included in the number separating during the year:
(A) Quits but for “voluntary quits” determined ineligible for Unemployment Insurance (UI) benefits by the Employment Development Department (EDD) 
(B) Layoffs of more than 30 days
(C) Discharges for cause
(D) Discharges without cause
(3) The following types of separation shall be excluded:
(A) Layoffs of 30 days or less
(B) Workers on strike
(C) Outside consultants and contractors
(D) Workers from temporary help agencies
(E) Seasonal Workers
(F) Deaths
(G) Transfers to another company facility
(H) Permanent separations due to disability
(I) Retirements
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Section 10200(a)(3), Unemployment Insurance Code.
HISTORY

1. New section filed 4-14-95; operative 4-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 15).
2. Amendment of subsections (a), (a)(1), (a)(2)(G) and Note filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
3. Repealer of subsections (a)(2)(D) and (a)(2)(F)-(H), subsection relettering, new subsections (a)(3)(E)-(I) and amendment of Note filed 9-27-2005; operative 9-27-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 39).
4. Amendment filed 2-15-2011; operative 3-17-2011 (Register 2011, No. 7).
§4418. Wage Criteria.
Note     •     History

(a) The Panel shall establish wage requirements for the minimum hourly wage a trainee must earn at the end of the employment retention period (ETP Minimum Wage). The ETP Minimum Wage shall be based on statewide wage data for the previous fiscal year, provided by the Employment Development Department's Labor Market Information Division (LMID). The ETP Minimum Wage shall be established for each calendar year on a county-by-county basis. Furthermore, the Panel shall review the ETP Minimum Wage annually, and make revisions as needed based on LMID data.
(b) The Panel may use commission earnings to determine a trainee's hourly wage, if there is a reliable history of commission payment by the employer and if actual payment can be verified. As used herein, “commission” means a percentage or proportion of the sale price, for services rendered in the sale of goods or services, paid to employees whose principal job duty is sales.
(c) The panel may include bonuses in determining a trainee's hourly wage, if there is a reliable history of bonus payment by the employer and if actual payment can be verified. As used herein, “bonus” means compensation paid in addition to salary, hourly wage, or commission. Bonuses are payable in addition to any other compensation, and are normally paid to reward extraordinary work or induce continued employment.
(d) The Panel may include mandatory service charges paid to a trainee, in determining his or her hourly wage, if actual payment can be verified. As used herein, “mandatory service charges” means a non-voluntary surcharge for service that is:
(1) imposed on the patron of a business, and
(2) added to the amount due for goods, food, drink or articles sold to the patron, and
(3) taxable to the employer as a portion of gross receipts, and
(4) payable to the trainee in its entirety, or payable as a fixed percentage that is subject to prior approval by the Panel.
(e) The Panel may include the dollar amount of health benefits paid to a trainee in determining his or her hourly wage. As used herein, “health benefits” means payments made by the employer toward the cost of medical, dental or vision care insurance. These employer payments may be made as follows:
(1) full or partial premium payments to a health insurance plan regardless of whether the plan is sponsored by the employer, or
(2) contributions to a cafeteria plan administered under Internal Revenue Code Section 125 for the reimbursement of medical costs.
In every instance, these employer payments must be reliable and verifiable before they may be included in the hourly wage determination.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 926, 10200(a)(4), 10201(f) and 10205(e), Unemployment Insurance Code; and Sections 200, 204.1 and 350, Labor Code.
HISTORY

1. New section filed 4-14-95; operative 4-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 15).
2. Repealer and new section and amendment of Note filed 9-2-2005; operative 10-2-2005 (Register 2005, No. 35).
§4419. Health Benefits. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(k), Unemployment Insurance Code. Reference: Section 10201(g), Unemployment Insurance Code.
HISTORY

1. New section filed 4-14-95; operative 4-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 15).
2. Repealer filed 9-2-2005; operative 10-2-2005 (Register 2005, No. 35).
§4420. Literacy Training.
Note     •     History

In no event shall basic and literacy skills training hours funded by the Panel exceed 45% of the total training hours per trainee, except for projects funded as special employment training for frontline workers with multiple barriers to full participation in the labor force, welfare to work trainees, and working poor trainees in high unemployment areas of the State.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Section 10201.5, 10209(a), 10214.5 and 10214.7, Unemployment Insurance Code.
HISTORY

1. New section filed 4-14-95; operative 4-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 15).
2. Amendment filed 12-1-95; operative 12-1-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 48).
3. Amendment of section and Note filed 1-8-2001 as an emergency; operative 1-8-2001 (Register 2001, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-8-2001 order transmitted to OAL 5-8-2001 and filed 6-20-2001 (Register 2001, No. 25).
5. Amendment filed 1-27-2010; operative 2-26-2010 (Register 2010, No. 5).
§4420.5. Safety Training.
Note     •     History

(a) The Panel shall not fund general training required by the state or federal Occupational Safety and Health Administration (Cal-OSHA or OSHA) for the operation of a business in California. (See General Industry Safety Orders at Title 8, California Code of Regulations Chapter 3.2).
(b) In addition, the Panel shall not fund any other general safety training such as injury and illness prevention, emergency action, evacuation, fire prevention plans, and access to first aid.
(c) The Panel may fund special safety training that is directly related to a piece of equipment or process recently acquired, or that an employee is not familiar with. However, this training cannot exceed 10% of the total training hours per trainee, except with prior written approval upon a showing of good cause.
(d) some occupations, by the very nature of the work, require intensive skills training in safety procedures. For example, a training curriculum for workers engaged in environmental clean-up and oil/gas extraction might include a concentration of safety procedures. This type of safety training is not subject to the restrictions herein.
NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10205(d), Unemployment Insurance Code.
HISTORY

1. New section filed 5-18-98; operative 5-18-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 21).
2. Editorial correction of Note (Register 98, No. 25).
3. Amendment filed 1-27-2010; operative 2-26-2010 (Register 2010, No. 5).
§4421. Out-of-State Vendors.
Note     •     History

(a) Except as otherwise provided, the Panel shall not reimburse an employer or contractor for any costs associated with an out-of-state vendor, either through a budget or the Fixed Fee Rate Table, if those costs are for services, such as training.
(1) For purposes of this section, an out-of-state vendor is defined as an entity which has not maintained an office in California with one or more California employees for more than six months prior to the start date of the Panel contract.
(2) If an out-of-state vendor meets the definition in paragraph (1), costs attributable to the California office and California employee(s) shall be reimbursable.
The Panel may authorize reimbursement for the cost of services provided by an out-of-state vendor which does not have a California office and employees only if the Panel finds that such services are unique to the need of the employer or contractor and are unavailable in California.
NOTE

Authority cited: Section 10205(k), Unemployment Insurance Code. Reference: Section 10206(a), Unemployment Insurance Code.
HISTORY

1. New section filed 12-1-95; operative 12-1-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 48).
§4422. Orientation Modules.
Note     •     History

The Panel shall not reimburse an employer or contractor for training components designed to orient new or current employees to the policies or philosophy of either the employer(s), or of the Panel.
NOTE

Authority cited: Section 10205(c), Unemployment Insurance Code. Reference: Section 10209(a), Unemployment Insurance Code.
HISTORY

1. New section filed 12-1-95; operative 12-1-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 48).
§4423. Double Enrollment. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Sections 10201(b) and 10209(f), Unemployment Insurance Code.
HISTORY

1. New section filed 12-1-95; operative 12-1-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 48).
2. Amendment of subsections (a) and (b) and amendment of Note filed 11-26-97; operative 11-26-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 48).
3. Repealer filed 7-7-98; operative 7-7-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 28).
§4424. Total Quality Management. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Sections 10200(a), (b)(3) and 10201(b)(3), Unemployment Insurance Code.
HISTORY

1. New section filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
2. Repealer filed 5-18-98; operative 5-18-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 21).
§4425. Structured On-Site Training. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(c), Unemployment Insurance Code. Reference: Section 10201(i), (j) and 10209(b), Unemployment Insurance Code.
HISTORY

1. New section filed 12-1-95; operative 12-1-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 48).
2. Repealer filed 3-12-2007; operative 4-11-2007 (Register 2007, No. 11).
§4426. Training Agency Projects.
Note     •     History

(a) For purposes of funding contracts with a training agency as defined in Section 4400(z), the Panel may contract with the following public and private educational entities:
(1) a public community college;
(2) a public or private university;
(3) a California State University auxiliary organization (Ed. Code Section 89900 et seq.);
(4) a public adult school;
(5) a public high school district;
(6) a public Regional Occupational Program (ROP); or
(7) a private post-secondary vocational school.
The public entities must be certified by the Department of Education or a third-party organization such as the Western Association of Schools and Colleges (WASC), as appropriate. The private schools must be approved or certified by an independent third party whose review standards are satisfactory to the Panel as determined case-by-case.
(b) A training agency may function as either the contract administrator, training provider, or both.
NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10201(f), 10206(a), 10208 and 10210, Unemployment Insurance Code; and Sections 94302(h) and (k), Education Code.
HISTORY

1. New section filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
2. Amendment filed 1-27-2010; operative 2-26-2010 (Register 2010, No. 5).
§4427. Temporary Agency.
Note     •     History

(a) The Panel may fund training for employees of a “temporary services agency” or “leasing agency” within the meaning of Unemployment Insurance Code Section 606.5 (Agency), as set forth herein. 
(b) Agencies employ both permanent and temporary workers. The permanent worker performs administrative duties, usually on the premises of the Agency (Permanent Worker). The temporary worker provides services for the Agency's clients, ranging from clerical to professional, usually on the premises of the client (Temporary Worker).
(c) Employment retention for purposes of a Panel contract will be permitted with Agencies only in the following circumstances:
(1) As Permanent Workers under a single employer contract, if the Agency is otherwise eligible.
(2) As Temporary Workers under a Multiple Employer Contract.
(d) In addition, new-hire placements as a Temporary Worker shall be no more than 20% of the total new hire trainee population. This cap will be applied by ETP to the number of trainees who have completed training and retention and reached the applicable Minimum Wage, at the time of fiscal closeout for the training project as a whole. The panel may modify this 20% cap on a case-by-case basis for good cause shown. 
(e) On a case-by-case basis, Temporary Workers may be trained so long as they are hired by a single employer under a single-employer contract, or by a participating employer under a multiple-employer contract, for purposes of full-time retention and related requirements. The Panel may approve this type of “temporary to permanent” hiring model based on the extent to which the training is designed to further overall goals and objectives of the ETP program.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Section 10201(b), Unemployment Insurance Code.
HISTORY

1. New section filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
2. Amendment of section heading, section and Note filed 9-5-2007; operative 10-5-2007 (Register 2007, No. 36).
3. Amendment filed 2-15-2011; operative 3-17-2011 (Register 2011, No. 7).
§4428. Welfare to Work Projects. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10214.7, Unemployment Insurance Code.
HISTORY

1. New section filed 11-10-97 as an emergency; operative 1-1-98 (Register 97, No. 46). A Certificate of Compliance must be transmitted to OAL by 5-1-98 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsections (b)(1) and (c) (Register 98, No. 24).
3. Certificate of Compliance as to 11-10-97 order, including repealer of subsection (d), transmitted to OAL 5-1-98 and filed 6-11-98 (Register 98, No. 24).
4. Editorial correction of subsection (c)(5) (Register 99, No. 19).
5. Amendment of subsection (b)(3), new subsection (b)(4), amendment of subsection (c)(1), repealer of subsection (c)(6), subsection renumbering, and new subsection (d) filed 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 5-7-99 order transmitted to OAL 8-31-99 and filed 10-14-99 (Register 99, No. 42).
7. Repealer filed 10-24-2006; operative 11-23-2006 (Register 2006, No. 43).
§4429. High Unemployment Areas.
Note     •     History

(a) The Panel may apply special funding criteria to High Unemployment Area (HUA) training projects. To qualify for this type of funding, the employer or participating employer must be located in the HUA. The trainees in a HUA must earn at least the ETP Minimum Wage and complete the standard retention period except as identified in subsections (c) and (d) below.
(b) An HUA may be a county or portion of a county, or some other distinct region. To be designated as an HUA, the region must have an unemployment rate (Regional Rate) exceeding the state average rate (Benchmark Rate). 
When the Benchmark Rate is less than 10%, the Regional Rate must be higher by a differential of at least 25%. When the Benchmark Rate is at or higher than 10%, the Regional Rate must be higher by a differential of at least 15%. 
(c) The Panel may also adjust the differential between Benchmark Rate and Regional Rate on a case-by-case basis for good cause shown. Good cause may include the longevity of unemployment in the region, and whether unemployment has had a particularly adverse effect on the industry sector or occupation being considered for training funds. 
(d) The Benchmark Rate and Regional Rate will be based on the unemployment rates set by the Labor Market Information Division (LMID) of the Employment Development Department. In determining HUA status, the Panel will abide by the Benchmark Rate set by LMID. The Panel will also abide by the Regional Rate listing posted on its website at www.etp.ca.gov or the most recent information published by LMID on its website at www.edd.ca.gov.  In so doing, the Panel will follow the Benchmark Rate(s) and Regional Rate(s) that favor designation as an HUA as updated by LMID.
(e) For HUA projects, the Panel may reduce the ETP Minimum Wage requirement at Section 10201(f) of the Unemployment Insurance Code by up to 25 percent, on a case-by-case basis. Retraining projects will only qualify for this reduction if post-retention wages exceed pre-retention wages. This reduction shall not apply to wages governed by a collective bargaining agreement. A new-hire project will qualify for the 25-percent reduction, without regard to a wage differential, for post-retention wages.
(f) For HUA projects, the Panel may modify the retention period at Section 10209(f) of the Unemployment Insurance Code (See Section 4400(h).) For these projects, the Panel may choose to make a special modification, and designate a retention period of a minimum of 90 out of 120 consecutive days with up to three employers pursuant to Section 10214.5(c) of the Unemployment Insurance Code. Any retention modification shall be made on a case-by-case basis.
(g) The Panel may make additional waivers for trainees in a HUA project who qualify as “working poor” under Section 4400(hh), on a per-trainee basis. In particular, the Panel may waive the limitations under Section 4420 and fund the same number of basic skills and literacy training hours as are funded for vocational skills training, on a per-trainee basis.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10201.5, 10204.5 and 10214.5, Unemployment Insurance Code.
HISTORY

1. New section filed 5-17-2006; operative 6-16-2006 (Register 2006, No. 20).
2. Amendment of section and Note filed 2-15-2011; operative 3-17-2011 (Register 2011, No. 7).
§4430. (Reserved).

§4431. Public Records. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(k), Unemployment Insurance Code. Reference: Section 10205(k), Unemployment Insurance Code.
HISTORY

1. New section filed 8-19-91; operative 8-19-91 (Register 92, No. 1).
2. Repealer filed 8-9-2006; operative 9-8-2006 (Register 2006, No. 32).
§4432. Incompatibility. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(k), Unemployment Insurance Code. Reference: The People ex. rel. Chapman v. Rapsey (1940) 16 Cal.2d 636.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Repealer filed 7-18-2007; operative 8-17-2007 (Register 2007, No. 29).
§4433. (Reserved).

Article 4. Program Operations
§4440.1. Advances. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(k), Unemployment Insurance Code. Reference: Section 10206(a), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Amendment of subsections (c), (g) and Note filed 12-1-95; operative 12-1-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 48).
3. Repealer filed 10-23-2007; operative 11-22-2007 (Register 2007, No. 43).
§4440.2. Progress Payments.
Note     •     History

(a) Progress payments may be negotiated and authorized during the course of operation to assist in off setting the costs incurred in the delivery of the training plan. Progress payments shall not be authorized for more than 75 percent of the cost per trainee. Twenty-five percent shall be withheld until the trainee has been retained in employment for the specified employment-retention period following training.
(b) When permitted by the Panel, progress payments shall be specified in the payment schedule of the contract and shall be authorized no more than once per month.
(c) Progress payments shall be made as specified in the Agreement when accompanied by an invoice and the appropriate documentation substantiating the completion of the performance requirements.
(d) Progress payments and the final payment may be suspended at the sole discretion of the Employment Training Panel if the Panel finds that the contractor is out of compliance with the terms and conditions of the Agreement. The Contractor shall be given written notice for the reason for the suspension of payment. The contractor must correct any deficiency which was the reason for the suspension of payment before the suspension of payment of funds will be revoked.
NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10209(f), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Repealer of subsections (c)-(d) and subsection relettering filed 12-1-95; operative 12-1-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 48).
3. Amendment of subsection (b), new subsection (d) and amendment of Note  filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
§4440.3. Term Date and Start of Training.
Note     •     History

(a) The term of an ETP Agreement cannot begin prior to the date of Panel approval.
(b) The Contractor shall not be reimbursed for the cost of training that starts prior to the term of the ETP Agreement. If the Contractor starts training before the ETP Agreement has been signed by both parties, it must nevertheless adhere to the terms and conditions set forth in the proposed ETP Agreement along with any terms or conditions imposed by the Panel and agreed to by the Contractor's representative at the time of Panel approval.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Section 10209(c), Unemployment Insurance Code.
HISTORY

1. New section filed 12-1-95; operative 12-1-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 48).
2. Amendment of section and Note filed 5-18-98; operative 5-18-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 21).
3. Amendment of section heading, section and Note filed 6-28-2006; operative 7-28-2006 (Register 2006, No. 26).
§4441. Retraining Certification. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Sections 10200, 10201(b)(2)(A), 10201(g), 10205(e) and 10214.5(a), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Amendment of section heading, section and Note filed 4-14-95; operative 4-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 15).
3. Repealer and new section and amendment of Note filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
4. Repealer filed 7-18-2007; operative 8-17-2007 (Register 2007, No. 29).
§4441.5. Training Schedule. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10205(c), Unemployment Insurance Code.
HISTORY

1. New section filed 5-18-98; operative 5-18-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 21).
2. Repealer filed 3-12-2007; operative 4-11-2007 (Register 2007, No. 11).
§4442. Record Keeping.
Note     •     History

(a) Contractors shall maintain and make available:
(1) records that clearly document all aspects of training and retention related to the training program;
(2) applicable financial records which document funds received and disbursed, and
(3) payroll and personnel records related to the ETP training agreement. 
(b) All classroom/laboratory training and videoconference training records shall be maintained by job number and shall contain the following elements:
(1) Date(s) training occurred
(2) Type of training and course title - as identified in the approved curriculum
(3) Number of hours trainee was in attendance per day of training - excluding meal breaks
(4) Trainer(s) name(s) - typed or clearly printed
(5) Trainer's signature - name signed once for each type of training
(6) Trainee(s) name(s) - typed or clearly printed
(7) Trainees' signatures - name signed on the first day of training for each type of training
(8) Trainee's initials - on first day of training and each subsequent day of training for each type of training
(c) All computer-based training records shall be maintained by job number and shall contain the following elements:
(1) Date system was last accessed for a specific course
(2) Type of training and course title - as identified in the approved curriculum
(3) Number of hours designated to complete a course
(4) Percentage of course completed
(5) Trainee name - type or clearly printed
(6) Trainee's signature verifying course was completed
(7) Signature of an authorized employer representative, verifying trainee competency attainment in the specified course at completion of the course.
(d) Contractors shall collect and maintain Structured, On-Site Training (SOST) records by job number and type of training (as identified in the contract Training Plan) that contain the following elements:
(1) Date(s) training was provided
(2) Trainer's name - typed or clearly printed
(3) Trainees' names - typed or clearly printed
(4) Trainer's time - completed daily (in increments of not less than 5 minutes).
(5) Type of training
(6) Trainer's activities as provided in 22 CCR 4400(y).
(7) Trainer's signature and date at completion of SOST by type of training
(e) For SOST, Contractor shall maintain a list of trainees who have achieved competency. This list must be organized by job number, include the type of training and date of competency attainment, and be signed and dated by the trainer(s) and supervisor(s).
(f) For purposes of items (b), (c) and (d) above, contractor developed documentation forms shall be provided to ETP for approval prior to implementation.
(g) All records identified in paragraphs (a) through (e) above shall be retained for no less than four years from the termination date of the agreement or three years after final payment under the agreement, whichever is later.
(1) If the agreement is partially or completely terminated, the records relating to the performance prior to termination shall be preserved and made available to ETP for a period of three (3) years from the date of any resulting final settlement.
(2) Records which relate to litigation or the settlement of claims arising out of the performance of the agreement, or reimbursable costs and expenses of the agreement as to which exception has been taken by ETP or any of its duly authorized representatives, shall be retained by contractor for a period of 3 years after the final dispositions of such appeals, audits, claims, exceptions, or litigation.
(h) All records will be retained within the control of the primary contractor and shall be made available for review at the contractor's place of business, within the State of California.
(i) At the completion of the Agreement, all records identified in item (a)(1) above, whether of the contractor or subcontractor(s), and all records identified in (a)(2) and (a)(3) shall be retained by the primary con--tractor and be made available for review at the contractor's place of business within the state of California.
(j) All records shall be open to inspection and shall be subject to being copied by any ETP-authorized representative at any time during the normal business hours of the contractor.
(k) In the absence of records or supporting documentation necessary to substantiate performance under the contract the contractor may be required to return ETP funds, plus interest.
NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10205(f), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Amendment of subsection (a), repealer and new subsections (a)(1) and (a)(2), new subsection (a)(3), repealer and new subsections (b)-(d), new subsections (e)-(j) and amendment of Note filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
3. Amendment of section heading and subsection (e)  and repealer of subsection (e)(1) and (e)(2) designator filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
4. Amendment filed 12-20-99 as an emergency; operative 12-20-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-18-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-20-99 order transmitted to OAL 4-5-2000 and filed 5-15-2000 (Register 2000, No. 20).
§4442.1. Make-up Training. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10200(a), Unemployment Insurance Code.
HISTORY

1. New section filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
2. Repealer filed 9-2-2005; operative 10-2-2005 (Register 2005, No. 35).
§4442.2. Record Keeping Modifications.
Note     •     History

The Panel may modify the record keeping requirements of 22 CCR Sections 4442 and 4442.1 if necessitated by the contractor's current, established record keeping practices, provided that the modified record keeping practices will properly substantiate the delivery of training, placement and retention as required in the agreement, and the modified record keeping practices can be audited by the Panel. Any such record keeping modifications agreed to by ETP and Contractor shall be incorporated into the agreement.
NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Section 10205(f), Unemployment Insurance Code.
HISTORY

1. New section filed 12-20-99 as an emergency; operative 12-20-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-18-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-20-99 order transmitted to OAL 4-5-2000 and filed 5-15-2000 (Register 2000, No. 20).
§4443. Monitoring.
Note     •     History

(a) Panel staff shall schedule periodic on-site visits to the contractor's place of business or the location of the training program funded by the panel for the purpose of reviewing training activities for compliance with the specifications outlined in the agreement. During the visit, the monitor shall do any or all of the following:
(1) review the number of trainees entering, progressing through, or completing training and/or the retention period;
(2) for new hire training programs, determine if appropriate placement services are being provided to successful training completers as required by the contract;
(3) review the training schedule;
(4) review the curricula;
(5) observe classroom, laboratory, and/or structured, on-site training in session;
(6) assure that budgeted and required training staff, equipment, supplies and materials are available;
(7) interview trainers and trainees;
(8) review record keeping and daily documentation of training;
(9) review invoices;
(10) review subagreements and determine if all specified services are being delivered as provided for in the contract; and
(11) determine if the agreement and any subsequent amendments have been executed by the state.
(b) The results of the visit shall be documented in a report covering all areas reviewed, and include an assessment whether the training is meeting the Agreement specifications. If the program is out of compliance, recommendations for adjustments shall be made. Corrective action must be effected by the contractor as specified in the report. A copy of the report shall be provided to the Contractor.
NOTE

Authority cited: Section 10205(k), Unemployment Insurance Code. Reference: Section 10205(f), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
§4444. Project Review. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(k), Unemployment Insurance Code. Reference: Section 10205(f), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Repealer filed 9-2-2005; operative 10-2-2005 (Register 2005, No. 35).
§4445. Contract Performance and Amendments.
Note     •     History

(a) Contractors cannot earn payment within the meaning of Section 4400(r) until the effective date of the contract.
(b) The Panel shall not approve contract amendments after the term has ended.
(c) The Panel will consider a contractor's prior and ongoing performance on any prior contract(s) when considering whether to approve a new contract, or the amendment of an existing contract. The Panel will review performance using the following non-inclusive criteria:
(1) Percentage of encumbered funds earned by contractor;
(2) Percentage of trainees retained in employment;
(3) Percentage of trainees enrolled under contract;
(d) For purposes of this section “encumbered” means funds set aside for payments to be made by ETP in a given fiscal year from the approved amount of funding.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10205(c), (e), 10206 and 10209(a), (d), Unemployment Insurance Code.
HISTORY

1. New section filed 8-19-91; operative 8-19-91 (Register 92, No. 1).
2. New section heading, repealer of subsection (b) and subsection relettering, amendment of newly designated subsection (b), new subsections (c)-(c)(3) and amendment of Note filed 7-19-96; operative 7-19-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 29).
3. Amendment of section and Note filed 11-28-2006; operative 12-28-2006 (Register 2006, No. 48).
§4445.1. Termination Procedures. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Sections 10206(a) and 10209(f), Unemployment Insurance Code.
HISTORY

1. New section filed 12-4-97; operative 12-4-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49).
2. Repealer filed 11-28-2006; operative 12-28-2006 (Register 2006, No. 48).
§4446. Disencumbering Unearned Funds. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10205(k), Unemployment Insurance Code. Reference: Section 10205(k), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Repealer filed 11-28-2006; operative 12-28-2006 (Register 2006, No. 48).
§4446.5. Contractor Relocation.
Note     •     History

(a) A single-employer contractor (Contractor) that moves a facility at which training was provided to a location out-of-state, within the term of the Employment Training Panel Agreement and up to three years from its termination, may be required to return payment earned under the Agreement.
(b) A Contractor that transfers jobs for which training was provided to a location out-of-state, within the term of the Employment Training Panel Agreement and up to three years from its termination, may be required to return payment earned under the Agreement.
(c) A Contractor that ceases business operations at a facility at which training was provided, within the term of the Employment Training Panel Agreement and up to three years from its termination, may be required to return payment earned under the Agreement.
(d) The requirement to return payment earned under this regulation may be imposed by the Panel at its discretion, on a case-by-case basis.
(e) In exercising its discretion the Panel shall consider, as mitigating factors, whether the Contractor made efforts to minimize the State's loss of jobs/skills, or to reduce the financial burden on affected employees. Examples of such efforts include, but are not limited to:
(1) offering job transfers to another facility operating in California,
(2) providing job-search and placement assistance,
(3) providing transitional health benefits, severance pay or incentives for early retirement.
(f) The provisions in subsections (a)-(e) above shall extend to a participating employer under a Multiple Employer Contract (MEC) for training that occurred on or after the date the participating employer knew or should have known that the facility would be moved or job(s) transferred to a location out-of-state or the facility would cease business operations. At the Panel's discretion, the MEC contractor may be reimbursed pro rata for its administrative costs related to said training.
NOTE

Authority cited: Section 10205(l), Unemployment Insurance Code. Reference: Sections 10200(a)(1) and 10200(b)(4), Unemployment Insurance Code.
HISTORY

1. New section filed 9-27-2005; operative 9-27-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 39).
2. Amendment of section and Note filed 4-5-2010; operative 5-5-2010 (Register 2010, No. 15).
§4447. Unearned Payments.
Note     •     History

All unearned payments shall be returned to the panel no later than 75 days after the termination date of the contract with interest calculated at the adjusted annual rate pursuant to section 19521, Revenue and Taxation Code.
Said interest shall be payable on all funds returned to the Panel under the provisions of this section from the first day of the month following the date they were received from the panel. This includes interest on unearned payments resulting from fiscal closeout and audit.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Section 10205(k), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Amendment of section heading, section and Note filed 2-15-2011; operative 3-17-2011 (Register 2011, No. 7).
§4448. Audits.
Note     •     History

(a) To ensure the provision of adequate fiscal and accounting controls, the Panel shall conduct annual performance-based audits of a selected sample of training projects funded by the Panel in any fiscal year. The auditor shall have sole discretion in selecting the sample and the criteria for selection may vary from one fiscal year to another. 
(1) These audits shall be designed to provide reasonable assurance that the performance objectives of the training contract have been met. The auditor will test records, documents and other evidence that would support the final training cost reimbursement under the contract. At a minimum, the auditor will test for compliance with the following performance objectives: certification of eligibility, enrollment, completed class or lab presentation, training attendance, job placement and retention at the minimum wage specified in the contract.
(2) These audits shall be performed in accordance with the generally accepted government auditing standards that apply to professional judgment of auditors and performance audits set forth in the Government Auditing Standards, 2003 Revision (GAGAS). This publication is issued by the General Accounting Office, and may be viewed free of charge at www.gao.gov and is hereby incorporated by reference.
(3) A peer review of Panel audits should be conducted at least every three years by an independent third party, such as the Bureau of State Audits.
(b) The auditor may use statistical sampling in selecting the items being audited to extrapolate a probable error rate in a performance-based audit. In particular, statistical sampling and extrapolation will be used when there is good cause to believe that a significant overpayment has occurred, in the professional judgment of the auditor.
(1) The auditor may also use non-statistical sampling in a given audit. However, the results of non-statistical sampling will not be extrapolated since the sample results would not necessarily be representative of the audit population.
(2) The auditor will determine the statistical sampling methodology and the statistically valid sample size based on professional judgment. The methodology may vary between fiscal years and audits.
(c) When a probable overpayment is determined by statistical sampling and extrapolation, the final audit report shall include the following:
(1) The statistical sampling methodology;
(2) The sample size;
(3) The population from which the sample was drawn;
(4) The calculations used to extrapolate the overpayment; and,
(5) The confidence level used to set the precision of the extrapolation.
(d) When a probable overpayment is determined by statistical sampling and extrapolation, the contractor shall be provided an opportunity to refute the audit findings. Any decision to modify the probable overpayment or not shall be made at the sole discretion of the Panel, based on the professional judgment of the auditor.
(e) The Panel may conduct desk audits of selected training projects for a given fiscal year. Its criteria for selection may vary from one fiscal year to another. These audits are not required to be performed in accordance with GAGAS due to the limited scope of the audit work.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Section 10205(g), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
2. Amendment of section and Note filed 1-20-2006; operative 2-19-2006 (Register 2006, No. 3).
§4449. Collection Procedures.
Note     •     History

(a) Overpayment. Reconciliation and audit unit staff of the panel shall notify the contractor by demand letter that an overpayment exists, and such notification shall include the panel contractor billing. The demand letter shall be sent by certified mail, return receipt requested, and request payment in full within 30 days of date of mailing of the letter. If payment is not received within 30 days, a second notice of overpayment shall be sent to the contractor requesting payment in full within five days. If payment is not received within five days, panel staff shall prepare a final notice requesting payment within five days.
(b) Nonpayment. If payment is not received within five days of the final notice and no appeal is filed to extend the appeal period, the matter shall be referred to the panel's general counsel for action.
(c) Overdue accounts; installment payments.
(1) The panel may authorize liquidation of a debt by use of installment payments when necessary. Panel acceptance of an installment proposal shall be restricted to cases of unusual circumstances.
(2) Such proposals shall provide a payment schedule that will liquidate the liability at the earliest possible time. The debtor shall show the reason for an installment plan and its financial ability to remain solvent during the pay-back period. The panel may require an audited financial statement from the contractor.
(3) The panel may require a judgment and lien for each installment proposal approved by the panel.
(4) The panel may consider other methods of liquidating the account as approved by the appropriate state agency (i.e., the Attorney General).
NOTE

Authority cited: Section 10205(k), Unemployment Insurance Code. Reference: Section 10205(k), Unemployment Insurance Code.
HISTORY

1. New section filed 4-12-91; operative 4-12-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 18).
§4450. Appeal Process.
Note     •     History

(a) An interested person may appeal any final adverse decision made on behalf of the Panel where said decision is communicated in writing. Appeals must be submitted in writing to the Executive Director at the Employment Training Panel in Sacramento.
(b) There are two levels of appeal before the Panel. The first level must be exhausted before proceeding to the second.
(1) The first level of appeal is to the Executive Director, and must be submitted within 30 days of receipt of the final adverse decision. This appeal will not be accepted by the Executive Director unless it includes a statement setting forth the issues and facts in dispute. Any documents or other writings that support the appeal should be forwarded with this statement. The Executive Director will issue a written determination within 60 days of receiving said appeal.
(2) The second level of appeal is to the Panel, and must be submitted within 10 days of receipt of the Executive Director's determination. This appeal should include a statement setting forth the appellant's argument as to why that determination should be reversed by the Panel, and forwarding any supporting documents or other writings that were not provided at the first level of appeal to the Executive Director. If the Panel accepts the appeal and chooses to conduct a hearing, it may accept sworn witness testimony on the record.
(A) The Panel must take one of the following actions within 45 days of receipt of a second-level appeal:
(1) Refuse to hear the matter, giving the appellant written reasons for the denial; or
(2) Conduct a hearing on a regularly-scheduled meeting date; or
(3) Delegate the authority to conduct a hearing to a subcommittee of one or more Panel members, or to an Administrative Law Judge with the Office of Administrative Hearings.
(B) The Panel or its designee may take action to adopt any of the administrative adjudication provisions of the Administrative Procedures Act at Government Code Section 11370 et seq., for the purpose of formulating and issuing its decision. Said action may take place at the hearing, or in preliminary proceedings.
(C) Upon completion of the hearing, the record will be closed and the Panel will issue a final ruling. The ruling may be based on a recommendation from the hearing designee. The ruling shall be issued in a writing served simultaneously on the appellant and ETP, within 60 days of the record closure.
(c) The time limits specified above may be adjusted or extended by the Executive Director or the Panel Chairman for good cause, pertinent to the level of appeal.
(d) Following receipt of the Panel's ruling, the appellant may petition for judicial review in Superior Court pursuant to Code of Civil Procedure Section 1094.5. This petition must be filed within 60 days from receipt of the Panel's ruling.
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code; and Section 11410.40, Government Code. Reference: Section 10205(k) and 10207, Unemployment Insurance Code.
HISTORY

1. New section filed 4-14-95; operative 4-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 15).
2. Amendment of section and Note filed 11-28-2006; operative 12-28-2006 (Register 2006, No. 48).
§4451. Alternative Funding Source.
Note     •     History

(a) The Panel may allocate available funds from a source other than the Employment Training Tax for an Alternative Funding Source training program, consistent with the program goals of the source and the best judgment of the Panel. 
(b) The Panel will follow the definitions and program requirements set forth in Title 22, California Code of Regulations Section 4400 et seq. as may be applicable to an Alternative Funding Source training program, consistent with subsection (a). 
(c) The Panel will follow the performance standards set forth in Section 10200 et seq. of the Unemployment Insurance Code for an Alternative Funding Source training program, except the Panel may modify said standards on a case-by-case basis consistent with subsection (a). 
(d) The Panel shall issue guidelines for each Alternative Funding Source training program to reflect possible modifications from core program requirements, consistent with subsections (a) through (c). 
(e) It is the Panel's intent that each Alternative Funding Source project result in new or upgraded skills for incumbent-worker trainees and in full-time employment for all new-hire trainees. 
(f) The Panel will identify industries and occupations that are priorities for funding under an Alternative Funding Source program, in its annual Strategic Plan. 
NOTE

Authority cited: Section 10205(m), Unemployment Insurance Code. Reference: Sections 10200, 10205 and 10214.6, Unemployment Insurance Code. 
HISTORY

1. New section filed 2-15-2011; operative 3-17-2011 (Register 2011, No. 7).
Chapter 2. Job Training Partnership Act Complaints
Article 1. General Provisions
§4501-1. Definitions.
Note     •     History

(a) “Audit complaint” means a written expression by a party appealing an audit disallowance and/or investigation, and monitoring findings issued by the EDD or by the service delivery area.  An “audit complaint” may be in response to administrative and/or financial/monetary sanctions resulting from monitoring, investigations or audits.  All complaints, amendments and withdrawals shall be in writing.
(b) “Complaint (or Complaints)” includes both policy and audit complaints.
(c) “Compliance Review Division” is the organization within EDD which oversees the administrative resolution of policy complaints and audit complaints.  
(d) “Days” means consecutive calendar days, including weekends and holidays.
(e) “Hearing Officer” means an impartial person or group of persons. Hearing officers may be selected from among the staff of offices which will not be directly affected by or will not implement the decision in the specific matter, such as legal offices or personnel department of municipalities, counties or the State.   
(f) “JTPA” means the federal Job Training Partnership Act, Title 29, United States Code, Sections 1501 through 1792b, nonconsecutive.
(g) “Policy Complaint” means a written expression, appealing other than an audit disallowance, by a party alleging a violation of the JTPA, the regulations promulgated under the JTPA, recipient grants, subagreements, or other specific agreements under the JTPA, including terms and conditions of participant employment.  All complaints, amendments, and withdrawals shall be in writing.
(h) “Service delivery area” includes the service delivery area administrative entity and its subrecipients to whom the administrative entity has delegated the complaint resolution process.
(i) “Service Provider” means a JTPA public agency, private nonprofit organization, or private-for-profit entity that delivers educational, training, employment or supportive services to JTPA participants.
(j) “State Review Panel” is an entity within the EDD composed of a representative of the EDD's Compliance Review Division, the Legal Office, and the Director's Office.  This Panel shall review and approve or disapprove decisions and recommendations  regarding policy and audit complaints. 
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Sections 1554 and 1574(b); and Title 20, Code of Federal Regulations, Sections 626.5, 627.481(c) and 627.500 through 627.503.
HISTORY

1. New chapter 2 (articles 1-4, sections 4501-1--4504-4), article 1 (sections 4501-1--4501-2) and section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New chapter 2 (articles 1-4), sections 4501-1--4504-4), article 1 (sections 4501-1--4501-2) and section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsections (a), (e) and (h) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
§4501-2. General Principles for All Levels of Complaint Resolution.
Note     •     History

(a) The procedures set forth in Sections 4501-1 through 4503-3 shall be used by all California service delivery areas in the development of local-level complaint and hearing procedures.  The procedures set forth in Sections 4504-1 through 4504-4 shall be used by the EDD in the resolution of all complaints where the EDD is the agency issuing sanctions. 
(b) Sections 4501-1 through 4504-4 shall guide the receipt, hearing, and resolution of noncriminal complaints relating to JTPA programs and activities that are funded with JTPA monies provided to the State of California by the U.S. Department of Labor.   All individuals and entities, including JTPA applicants and participants, subrecipients of service delivery areas, entities and individuals that are applicants for JTPA program funding, labor unions, community-based organizations and educational agencies shall use the procedures set forth in Sections 4501-1 through 4504-4. 
(c) At all levels of the complaint process, complainants have the right to be represented, at their own expense, by a person(s) of their choosing.
(d) Policy complaints must be filed within one year of the alleged violation.  All persons filing policy complaints shall be free from restraint, coercion or reprisal.
(e) Audit complaints shall be filed within 30 days of the EDD or local service delivery area's written decision disallowing costs and/or instituting other findings that are  final.  All persons filing audit complaints shall be free from restraint, coercion or reprisal.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Sections 1554 and 1574(b); and Title 20, Code of Federal Regulations, Sections 626.5, 627.481(c) and 627.500 through 627.503.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsection (b) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
Article 2. Service Delivery Area Complaint Procedures
§4502-1. Notice to Affected Parties.
Note     •     History

Each service delivery area shall develop local procedures for resolution of JTPA policy and audit complaints.  Local procedures shall comply with the requirements of Sections 4502-1 through 4502-5.
(a) When each participant enrolls in the JTPA program, the service delivery area shall provide the participant with a written description of the local policy complaint procedure.  This description shall include:
(1) Notification that the participant has the right to file a policy complaint at any time within one calendar year after the occurrence of an event.
(2) Instructions and timelines for filing a policy complaint; and
(3) Notification that the participant has the right to receive technical assistance from the service delivery area to file a policy complaint. 
The service delivery area shall modify the notice and send a new copy to all participants  whenever procedures are changed.  The service delivery area shall place a copy of the written description of the local policy complaint procedure and the participant's acknowledgment of receipt in each participant's file.
(b) Each service delivery area shall provide its service providers and subrecipients with a written description of the local audit complaint procedure.  This description shall include:
(1) Notification that service providers and subrecipients have the right to file an audit complaint within 30 days of the issuance of the final determination disallowing costs or instituting other findings;
(2) Instructions for filing an audit complaint; and
(3) Notification that the service providers and subrecipients have the right to receive technical assistance from the service delivery area to file an audit complaint.  The service delivery area shall modify the notice and shall send a new copy of the notice to all service providers and subrecipients whenever procedures are changed.  The service delivery area shall place a copy of the written description of the local audit complaint procedure and the service provider's and subrecipient's acknowledgment of receipt in the file of each service provider or subrecipient.
(c) The service delivery area shall make available in a public location at its place of business a copy of sections 4501-1 through 4503-3.  The service delivery area shall notify participants, service providers and subrecipients where these regulation sections shall be made available.  The service delivery area shall provide this information about the availability of these regulation sections at the time the participant, contractor or subrecipient receives a copy of the local policy and/or audit complaint procedures.  The service delivery area shall also notify the participant, contractor or subrecipient that Sections 4501-1 through 4503-3 are available to individuals upon request.
(d) The service delivery area shall ensure that both the local policy complaint procedures and the local audit complaint procedures explain that  participants, contractors, or subrecipients may file an appeal or request a separate review by EDD if they experience an incident of restraint, coercion or reprisal as a result of filing a policy or audit complaint.   The complainant shall describe the restraint, coercion or reprisal and shall specify the date of the incident in the appeal or request for EDD review.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Section 1554 and Title 20, Code of Federal Regulations, Sections 627.501, 627.502 and 627.503.
HISTORY

1. New article 2 (sections 4502-1--4502-5) and section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New article 2 (sections 4502-1--4502-5) and section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsection (d) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
§4502-2. Form and Filing of Complaints.
Note     •     History

(a) The service delivery area shall provide technical assistance to complainants, including those whose complaint is against the service delivery area.  Such technical assistance includes providing instructions on how to file a complaint, providing copies of documents such as the JTPA, the state and federal JTPA regulations, service delivery area procedures, and contracts.
(b) The official filing date of the complaint  shall be the date the written complaint is received by the service delivery area or its service providers.  The filing of the complaint shall be considered a request for a hearing and the service delivery area shall issue a decision within 60 days of the filing of the complaint.  The complaint shall be in writing, signed and dated.  The service delivery area shall obtain the following information for all complaints:
(1) Full name, telephone number, and mailing address of the complainant;
(2) Full name, telephone number, and mailing address of the respondent;
(3) A clear and concise statement of the facts and dates describing the alleged violation;
(4) The provisions of the JTPA, the JTPA regulations, grant or other agreements under the JTPA, believed to have been violated;  
(5) Policy complaints against individuals, including staff or participants, shall indicate how those individuals did not comply with the JTPA law, regulation, or contracts, and shall identify the remedy sought by the complainant.
(c) The absence of any of the requested information shall not be a basis for dismissing a complaint.
(d) Complaints may be amended to correct technical deficiencies at any time up to the time of the hearing.  Complaints shall not be amended to add new issues unless the complainant withdraws and resubmits the complaint; however, applicable time limits shall not be extended if a complaint is amended or withdrawn and refiled.  Complaints may be withdrawn at any time prior to the issuance of the hearing officer's decision.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Section 1554 and Title 20, Code of Federal Regulations,  Sections 627.501, 627.502 and 627.503.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsection (b)(5) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
§4502-3. Informal Resolution.
Note     •     History

(a) The service delivery area shall send a copy of the complaint to the respondent. The service delivery area shall notify the complainant and the respondent of the opportunity for an informal resolution.  Respondents shall make good faith efforts to resolve all complaints informally prior to the scheduled hearing. 
(b) Failure on the part of either the complainant or the respondent to exert good faith efforts shall not constitute a basis for dismissing a complaint, nor shall this be considered to be a part of the facts to be judged in the complaint resolution process. The service delivery area shall assure that every complaint not resolved informally and not withdrawn is given a hearing at the service delivery area level, regardless of the complaint's apparent merit or lack of merit.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Section 1554 and Title 20, Code of Federal Regulations, Sections 627.501, 627.502 and 627.503.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of section and Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
§4502-4. Hearings at the Local Level.
Note     •     History

(a) Hearings on complaints filed at the local level shall be conducted within 30 days of filing the complaint.  Service delivery areas shall hear both policy and audit complaints.  The service delivery area shall notify both the complainant and the respondent in writing of the hearing at least ten calendar days prior to the date of the hearing.  The ten-day notice may be shortened with the written consent of both parties.  The hearing notice shall be in writing and shall contain the following information:
(1) The date of the notice, name of the complainant, and the name of the party against whom the complaint is filed.
(2) The date, time, and place of the hearing before an hearing officer.
(3) A statement of the alleged violations.  These statements shall accurately reflect the content of the complaint as submitted by the complainant. 
(4) The name, address, and telephone number of the contact person issuing the notice.
(b) A hearing officer shall conduct the hearing.
(c) The hearing shall be conducted in an informal manner with strict rules of evidence not being applicable.  Both parties shall have the right to present written and/or oral testimony and arguments; the right to call and question witnesses; the right to request and examine records and documents relevant to the issues; and the right to be represented. The hearing shall be recorded electronically or by a court reporter.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Section 1554; and Title 20, Code of Federal Regulations, Sections 627.501, 627.502 and 627.503.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsections (a) and (b) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
§4502-5. Decision of Local Service Delivery Area and Subsequent Appeal.
Note     •     History

(a) Not later than 60 calendar days after the filing of the complaint, the service delivery area shall mail a written decision to both the complainant and the respondent by certified mail.  The service delivery area's decision shall contain the following information:
(1) The names of the parties involved;
(2) A statement of the alleged violation(s) and issues related to the alleged violation;
(3) A statement of the facts;
(4) The service delivery area's decision and the reasons for the decision;
(5) A statement of the corrective action, if any, to be taken; and
(6) Notice of the right of either party to request a review of the decision by the State Review Panel within ten calendar days of receipt of the decision.
(b) If a complainant receives an unsatisfactory decision or if the service delivery area does not issue a decision within 60 days of the filing of the complaint (or the complainant has not received the decision within an additional five calendar days from the date the decision was due), the complainant  may appeal the decision or request the EDD to review the complaint and the service delivery area decision, if any.
(c) Complainants shall initially file and complete service delivery area hearing procedures prior to appealing to the EDD.  In addition, the procedures specified in Sections 4501-1 through 4503-3 and the service delivery area procedures established pursuant to them shall be completed before a complainant may file judicial action at the county, State, or federal level regarding an alleged violation of JTPA law or regulations.
(d) To appeal a service delivery area decision or lack of decision, the complainant shall submit a written request for EDD review to:

CHIEF, COMPLIANCE REVIEW DIVISION, MIC 22-M
EMPLOYMENT DEVELOPMENT DEPARTMENT
P.O. BOX 826880
SACRAMENTO, CA 94280-0001
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Section 1554; and Title 20, Code of Federal Regulations, Sections 627.501 through 627.503.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsection (a) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
Article 3. Procedures for Requests for EDD Review or Appeals of Service Delivery Area Decisions
§4503-1. Appeals or Requests for EDD Review.
Note     •     History

(a) A complainant may file a request for review with EDD if no decision has been issued at the service delivery area level within the 60-day time limit or if there has been an incident of restraint, coercion or reprisal as the result of filing a policy or audit complaint.  A complainant may file an appeal if the service delivery area has issued an adverse decision.  The request for an EDD review or appeal shall be filed or postmarked (if mailed) within 10 calendar days from the date on which the complainant received an adverse decision from the service delivery area or 15 calendar days from:
(1) The date on which a complainant should have received a decision regarding a locally filed complaint, which is defined as five calendar days from the date the decision was due, or
(2) The date on which an instance of restraint, coercion or reprisal was alleged to have occurred as a result of filing the complaint.
(b) All requests for review or appeals shall include the following:
(1) The full name, telephone number, and mailing address of the complainant;
(2) The full name, telephone number, and mailing address of the service delivery area;
(3) A statement of the basis of the request or appeal; and
(4) Copies of relevant documents, such as the complaint filed at the service delivery area and the local decision, if any.
(c) If an evidentiary hearing was held at the service delivery area level, the EDD shall request the record of the hearing from the service delivery area and shall review the record without scheduling an additional hearing. If an evidentiary hearing was not held at the service delivery area level, the EDD shall instruct the service delivery area to hold a hearing within 30 days of receipt of the appeal or request for an EDD review. If the service delivery area refuses to hold a hearing within the required timeframe, the EDD shall, within 30 days of receipt of the appeal or request for hearing, schedule an evidentiary hearing before a hearing officer. The Chief of the Compliance Review Division shall notify the concerned parties and the service delivery area by first class mail, certified with a return receipt, of the following information at least ten calendar days before a scheduled hearing:
(1) The date of the notice, name of the complainant, and the name of the party against whom the complaint is filed.
(2) The date, time, and place of the hearing before a hearing officer.
(3) A statement of the alleged violations.  This statement shall accurately reflect the content of the complaint as submitted by the complainant. 
(4) The name, address, and telephone number of the contact person issuing the notice.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Section 1554; and Title 20, Code of Federal Regulations, Sections 627.501 through 627.503.
HISTORY

1. New article 3 (sections 4503-1--4503-3) and section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New article 3 (sections 4503-1--4503-3) and section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsections (b)(3), (c) and (c)(3) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
§4503-2. Hearing.
Note     •     History

(a) The EDD hearing shall be conducted in an informal manner with strict rules of evidence not being applicable.  Both parties shall have the right to present written and/or oral testimony under oath and arguments; the right to call and question witnesses; the right to request and examine records and documents relevant to the issues, and the right to be represented.  The hearing shall be recorded electronically or by a court reporter.  
(b) The EDD hearing officer shall follow the procedures set forth in Title 22, California Code of Regulations Section 5050(a) and (b), 5053, 5054, 5055, 5056(a), (c), and (d), 5057, 5058, 5059, 5061, 5062, 5063, 5064, and 5070, except that references to the “administrative law judge” or “ALJ” shall mean “hearing officer”.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Section 1554; and Title 20, Code of Federal Regulations, Sections 627.501 and 627.503.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsection (b) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
§4503-3. EDD State Review Panel.
Note     •     History

(a) Following completion of the EDD hearing, the EDD hearing officer shall make a written recommendation to the State Review Panel.  The hearing officer's recommendation shall contain the following information:
(1) The names of the parties involved;
(2) A statement of the alleged violation(s) and issues related to the alleged violation;
(3) A statement of the facts;
(4) The EDD hearing officer's decision and the reasons for the decision; and
(5) A statement of the corrective action, if any, to be taken.
(b) The State Review Panel shall not conduct a new evidentiary hearing, but shall review the record established by either the service delivery area hearing or the EDD hearing. The State Review Panel shall issue a decision on the basis of the information contained in the record. The State Review Panel may accept, reject, or modify the EDD hearing officer's recommendation or the decision of the service delivery area, and shall issue a written decision to the concerned parties within 30 days of receipt by the EDD of the request for review.  The decision of the State Review Panel shall be the final administrative decision for appeals of decisions or the absence of decisions by service delivery areas.
(c) The State Review Panel shall mail a written decision to both the complainant and the respondent by certified mail. The decision shall contain the following information:
(1) The names of the parties involved;
(2) A statement of the alleged violation(s) and issues related to the alleged violation;
(3) A statement of the facts;
(4) The State Review Panel's decision and the reasons for the decision;
(5) A statement of the corrective action, if any, to be taken; and
(6) Notice that the decision of the State Review Panel is the final administrative decision for appeals of actions by service delivery areas.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Section 1554; and Title 20, Code of Federal Regulations, Sections 627.501 and 627.503.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsection (b) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
Article 4. Appeals of EDD-Level Decisions
§4504-1. General Principles.
Note     •     History

(a) The JTPA implementing regulations at Title 20, Code of Federal Regulations, Sections 627.481(c) and Sections 627.500 through 627.504 provide the basis for EDD's appeal process for cases where the EDD has imposed on local entities either administrative and/or financial/monetary sanction(s) resulting from monitoring, investigations, or audits.  These sanctions are described in the written EDD decision disallowing costs and/or instituting other findings that are final. The procedures established in Sections 4504-1 through 4504-4 shall apply only where the EDD, rather than the service delivery area, is the agency issuing sanctions. The procedures established in Sections 4504-1 through 4504-4 do not apply to decisions and/or findings of service delivery areas.
(b) The procedures specified in Sections 4504-1 through 4504-4 shall be completed before a complainant may file judicial action at the county, State, or federal level regarding an alleged violation of JTPA law or regulations.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Sections 1554 and 1574(b); and Title 20, Code of Federal Regulations, Sections 627.481(c), 627.501 and 627.503. 
HISTORY

1. New article 4 (sections 4504-1--4504-4) and section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New article 4 (sections 4504-1--4504-4) and section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsection (a) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
§4504-2. Form and Filing of Complaints and Requests for Hearing.
Note     •     History

(a) All complaints shall be made in writing within 30 days from the date of the issuance of the EDD decision imposing the sanctions. The filing of a compliant shall be considered a request for hearing. All amendments and withdrawals shall be in writing.
(b) To request a State hearing regarding a sanction imposed by EDD, complainants shall submit a written request to:

CHIEF, COMPLIANCE REVIEW DIVISION, MIC 22-M
EMPLOYMENT DEVELOPMENT DEPARTMENT
P.O. BOX 826880
SACRAMENTO, CA 94280-0001
(c) All complaints and requests for hearings shall include the following information:
(1) The full name, telephone number, and mailing address of the complainant and the service delivery area representative, if applicable;
(2) The full name, telephone number, and mailing address of the service delivery area;
(3) A statement of the basis of the request; and
(4) Copies of relevant documents.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Sections 1554 and 1574(b); and Title 20, Code of Federal Regulations, Sections 627.481(c), 627.501 and 627.503.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of subsection (a) and amendment of Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
§4504-3. Hearing.
Note     •     History

(a) The state hearing officer shall provide written notice to the concerned parties of the date, time, and place of the hearing at least ten calendar days before the scheduled hearing.  Both parties shall have the opportunity to present oral and written testimony under oath; to call and question witnesses; to present oral and written arguments; to request and examine records and documents relevant to the issues(s); and to be represented. 
(b) The state hearing officer shall conduct the hearing in accordance with the procedures set forth in Title 22, California Code of Regulations, Sections 5050(a) and (b), 5051, 5053, 5054, 5055, 5056(a), (c), and (d), 5057, 5058, 5059, 5060, 5061, 5062, 5063, 5064, 5066, 5069, and 5070, except that references to the “administrative law judge” or “ALJ” shall mean “hearing officer”.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Sections 1554 and 1574(b); and Title 20, Code of Federal Regulations, Sections 627.481(c), 627.501 and 627.503. 
HISTORY

1. New section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of section and Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
§4504-4. Decision.
Note     •     History

The state hearing officer shall prepare a proposed decision and shall submit it to the EDD Director for adoption or rejection in whole or in part.  The decision of the EDD Director shall be issued within 60 days from the completion of the hearing and the submission of briefs and shall be the final administrative decision regarding sanctions issued by the EDD.
NOTE

Authority cited:  Sections 305, 306 and 15051, Unemployment Insurance Code.  Reference:  Job Training Partnership Act, Title 29, United States Code, Sections 1554 and 1574(b); and Title 20, Code of Federal Regulations, Sections 627.481(c), 627.501 and 627.503.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 6-24-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-24-99 order transmitted to OAL 10-21-99; disapproved by OAL and order of repeal as to 6-24-99 order filed on 12-7-99 (Register 99, No. 50). 
3. New section filed 12-8-99 as an emergency; operative 12-8-99 (Register 99, No. 50).   A Certificate of Compliance must be transmitted to OAL by 4-6-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-8-99 order, including amendment of section and Note, transmitted to OAL 2-24-2000 and filed 4-6-2000 (Register 2000, No. 14).
Chapter 2.5. Youth Employment and Development
§4800-1. Scope and Purpose.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9816, Unemployment Insurance Code. Reference: Section 9801, Unemployment Insurance Code.
HISTORY

1. New Chapter 2.5 (Sections 4800-1 through 4800-9) filed 5-2-78; effective thirtieth day thereafter (Register 78, No. 18).
2. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4800-2. Definitions.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9816, Unemployment Insurance Code. Reference: Sections 9801-9831, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4800-3. Project Guidelines.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9816, Unemployment Insurance Code. Reference: Section 9805, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4800-4. Program Types.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9816, Unemployment Insurance Code. Reference: Section 9805, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4800-5. Project Activities and Components.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9816, Unemployment Insurance Code. Reference: Section 9805, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4800-6. Eligibility.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9816, Unemployment Insurance Code. Reference: Section 9810, Unemployment Insurance Code.
HISTORY

1. Amendment of subsection (a) and new subsection (c) filed 8-1-80; effective thirtieth day thereafter (Register 80, No. 31).
2. Amendment of subsection (b)(2)(A) filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4800-7. Project Development.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9816, Unemployment Insurance Code. Reference: Sections 9816, 9817 and 9818, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4800-8. Reporting Requirements.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9816, Unemployment Insurance Code. Reference: Section 9830, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
§4800-9. Operative Provision.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9816, Unemployment Insurance Code. Reference: Section 9831, Unemployment Insurance Code.
HISTORY

1. New NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing section filed 11-14-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 46).
Chapter 2.7. California Work--Site Education and Training Act
§4900-1. Scope and Purpose.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Section 9901, Unemployment Insurance Code.
HISTORY

1. New chapter 2.7 (sections 4900-1 through 4900-11) filed 11-15-79 as an emergency; effective upon filing (Register 79, No. 46). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-15-80.
2. Certificate of Compliance filed 3-14-80 (Register 80, No. 11).
3. New subsection (e) filed 8-1-80; effective thirtieth day thereafter (Register 80, No. 31).
4. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
5. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
§4900-2. Definitions.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Sections 9900-9910, Unemployment Insurance Code.
HISTORY

1. Certificate of Compliance including amendment filed 3-14-80 (Register 80, No. 11).
2. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Amendment of subsections (q) and (s) filed 9-17-82; effective thirtieth day thereafter (Register 82, No. 38).
4. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
§4900-3. Grant Procedures.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Section 9904, Unemployment Insurance Code.
HISTORY

1. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
§4900-4. Eligible Applicants.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Section 9902, Unemployment Insurance Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (b) filed 3-14-80 (Register 80, No. 11).
2. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
§4900-5. Project Criteria.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Section 9903, Unemployment Insurance Code.
HISTORY

1. Certificate of Compliance including amendment of subsections (c) and (d) filed 3-14-80 (Register 80, No. 11).
2. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
§4900-6. Project Types.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Section 9901, Unemployment Insurance Code.
HISTORY

1. Certificate of Compliance including amendment of subsections (a) and (d) filed 3-14-80 (Register 80, No. 11).
2. Amendment of subsection (a) filed 8-1-80; effective thirtieth day thereafter (Register 80, No. 31).
3. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
4. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
§4900-7. Planning Process.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Section 9901, Unemployment Insurance Code.
HISTORY

1. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
§4900-8. Project Plan.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Section 9908, Unemployment Insurance Code.
HISTORY

1. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
§4900-9. Allowable Costs.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Section 9907, Unemployment Insurance Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (b) filed 3-14-80 (Register 80, No. 11).
2. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
§4900-10. Audit and Reporting Requirements.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Section 9905, Unemployment Insurance Code.
HISTORY

1. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
2. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
§4900-11. Operative Provision.
Note     •     History

NOTE

Authority cited: Sections 305, 306 and 9903, Unemployment Insurance Code. Reference: Section 9910, Unemployment Insurance Code.
HISTORY

1. Editorial correction (Register 80, No. 11).
2. Amendment of NOTE filed 4-1-82; effective thirtieth day thereafter (Register 82, No. 14).
3. Change without regulatory effect repealing sections 4900-1 through 4900-11 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 25).
Subdivision 2. * California Unemployment Insurance Appeals Board

(Originally Printed 4-1-45)

*Ed. Note--See also Table of Rights of Appeal preceding Chapter 1.
Chapter 1. General
§5000. Definitions.
Note     •     History

Unless otherwise required by the context or specified in the code or these rules, for the purpose of these rules:
(a) “Administrative law judge” means any person, including any board staff administrative law judge, appointed as provided by law to hear and render decisions pursuant to code section 404.
(b) “Affidavit” means a written statement under oath made in compliance with Code of Civil Procedure sections 2012 through 2015.6, including a declaration under penalty of perjury made in compliance with Code of Civil Procedure section 2015.5. 
(c) “Agency” means the administrative unit consisting of the board and its employees.
(d) “Appeal” means a request for review of an adverse department action by an administrative law judge, other than a petition.
(e) “Appellant” means a party initiating an appeal.
(f) “Appellate operations” means the activities carried on by the agency to adjudicate board appeals.
(g) “Applicant” means a person or representative of a person initiating an application.
(h) “Application” means a request for action by an administrative law judge or the board, other than an appeal, petition, or board appeal, filed or stated by the applicant to an administrative law judge.
(i) “Audiovisual record” means the original or a copy of any audio or video record of the proceedings maintained by the agency.
(j) “Board” means the California Unemployment Insurance Appeals Board.
(k) “Board appeal” means a request for review of an adverse decision or order of an administrative law judge by the board.
(l) “Board appellant” means a party initiating a board appeal.
(m) “Board office” means the principal office of the board.
(n) “Board respondent” means a party responding to a board appeal.
(o) “Case file” means the written information about a case maintained by the agency, including the case register, but excluding internal agency deliberative and case management documents, the audiovisual record, and any transcript that has been prepared.
(p) “Case register” means the written record of communications with and transactions by the agency in a case, excluding the audiovisual record.
(q) “Chairperson” means the board member designated by the governor to hold that office, or, in the absence of the chairperson, a board member designated to act as chairperson as provided by code section 401.
(r) “Chief administrative law judge” means the person appointed to serve as provided by code sections 405 and 406.
(s) “Claimant” means a person claiming benefits under the code.
(t) “Clerical error” means an error, mistake, or omission, by any employee of the agency, which is the result of inadvertence, not the deliberate result of the exercise of judgment, discretion, or reasoning.
(u) “Code” means the Unemployment Insurance Code.
(v) “Consumer” means a consumer as defined in Code of Civil Procedure section 1985.3(a)(2).
(w) “Day” means a calendar day.
(x) “Decision” means decision as defined in Government Code section 11405.50. 
(y) “Department” means the Employment Development Department.
(z) “Department branch” means the applicable branch of the department.
(aa) “Director” means the director of the Employment Development Department.
(bb) “Document” means a writing as defined in this rule.
(cc) “Electronic hearing” means a hearing in which a party or witness has the opportunity to participate by telephone, television, or other electronic means.
(dd) “Electronically transmit” means transmit by facsimile, electronic mail, Internet, or other electronic means, to a valid electronic address of the recipient which has been furnished by the recipient, provided that any document in which a signature is required or used is transmitted by a means that transmits the original or a copy of the signature.
(ee) “Express” means ship by express service common carrier, for next day or second day delivery, addressed to the recipient's street address last known to the sender, with shipping charges prepaid or guaranteed.
(ff) “Field operations” means the activities carried on by the agency to adjudicate appeals and petitions.
(gg) “Filing” means sending in writing to the agency or department branch office where the case is located. If the person filing does not know that location, the document may be sent to any office of the agency or the department branch. A document is filed on the date it is sent.
(hh) “Good cause” means a substantial reason under the circumstances, considering the diligence of the proponent and any burden or prejudice to any person involved. “Good cause” includes, but is not limited to, mistake, surprise, inadvertence, or excusable neglect. 
(ii) “Holiday” means holiday as defined in Code of Civil Procedure section 12a.
(jj) “Mail” means deposit with the United States Postal Service, addressed to the recipient's mailing address last known to the sender, with express, priority, or first class postage prepaid.
(kk) “Notice to attend” means a request that a person testify as a witness in a hearing.
(ll) “Notice to attend and produce” means a notice to attend which includes a request that the witness produce documents or things.
(mm) “Office” means a facility regularly maintained and staffed during normal business hours by a party or the agency, where any activity of the party or the agency is carried on.
(nn) “Office of appeals” means a field operations office of the agency which is so named, or the office of the chief administrative law judge.
(oo) “Order” means a disposition, other than a decision, issued by an administrative law judge or the board, and served by the agency.
(pp) “Panel” means the board members assigned to a case as provided by code section 409.
(qq) “Party” includes the department, appellant, petitioner, respondent, board appellant, board respondent, any other person joined or allowed to intervene in the proceeding, or a representative of any of these.
(rr) “Person” includes a natural person, firm, association, organization, partnership, estate, trust, corporation, limited liability company, or public entity.
(ss) “Personal records” means personal records as defined in Code of Civil Procedure section 1985.3(a)(1).
(tt) “Petition” means a tax petition, which is any type of request for review of an adverse department action by an administrative law judge that is authorized by Chapter 4 of Part 1 of Division 1 of the code.
(uu) “Petitioner” means a party initiating a petition.
(vv) “Presiding administrative law judge” means a person appointed to administer the activities of an office of appeals or the board staff in addition to performing the duties of an administrative law judge.
(ww) “Representative” means a person with actual or apparent authority to represent another in a proceeding.
(xx) “Respondent” means a party responding to an appeal or petition.
(yy) “Rule” means a section of this subdivision.
(zz) “Send” means mail, express, electronically transmit, or physically deliver.
(aaa) “Serve” means send in writing to each unrepresented party and to the representative of each represented party. The agency need not serve a document on the party that filed it. A document is served on the date it is sent.
(bbb) “Signature” includes a mark made in compliance with Section 14 of the Civil Code, or a digital signature affixed by any means used by the sender, accepted by the recipient, and acceptable under Section 16.5 of the Government Code and Chapter 10 of Division 7 of Title 2 of the California Code of Regulations. 
(ccc) “Subpoena” means an order that a person testify as a witness in a hearing.
(ddd) “Subpoena duces tecum” means a subpoena which includes an order that the witness produce documents or things.
(eee) “Untimely” means not filed or served within the time permitted by the code or these rules.
(fff) “Waiver” means the intentional relinquishment of a known right.
(ggg) “Writing” means the original or a copy of any form of recorded message capable of comprehension by ordinary visual means. 
(hhh) All terms which are defined in the code shall be construed as defined therein.
(iii) These definitions apply to the term defined and to its conjugates.
(jjj) The singular includes the plural and the plural the singular.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Repealer of Sections 5000 through 7061 and new Sections 5000-5005, 5020-5047, 5100-5121, 5130-5141, 5160-5168 filed 1-20-66; effective thirtieth day thereafter (Register 66, No. 2). For prior history, see Register 54, No. 14
2. Redesignation from Article 1 (Sections 5000-5005) to Chapter 1 (Sections 5000-5005) filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
4. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
5. Renumbering and amendment of former Section 5002 to Section 5000 filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 31).
6. Amendment of subsection (b), new subsections (j)-(n), and amendment of Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
7. Amendment of chapter 1 heading, repealer of article 1 heading, amendment of section, and repealer and new Note filed 2-4-99; operative 3-6-99 (Register 99, No. 6).
8. Amendment of subsection (o) filed 10-7-2002; operative 11-6-2002 (Register 2002, No. 41).
§5001. Applicability of Rules.
Note     •     History

These rules apply to proceedings arising under the code.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5008 to section 5001, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). For prior history of section 5001, see Register 85, No. 26.
§5002. Applicability of Administrative Procedure Act.
Note     •     History

The applicability to the agency of the administrative adjudication provisions of the Administrative Procedure Act, which are set forth in Chapters 4.5 and 5 of Part 1 of Division 3 of Title 2 of the Government Code, is as follows:
(a) Articles 1, 2, 3, 4, 6, 7, 8, and 16 of Chapter 4.5 are applicable.
(b) Article 9 of Chapter 4.5 is applicable, except Government Code section 11440.50, which is not.
(c) Article 12 of Chapter 4.5 is applicable, except that any authority of the board or an administrative law judge to make an order under Government Code section 11455.30 is subject to the limitations of the code, including, but not limited to, code sections 1956 and 1958. 
(d) Article 5 of Chapter 4.5 is not applicable except Government Code section 11420.30, which is.
(e) Articles 10, 11, 13, 14, and 15 of Chapter 4.5 are not applicable.
(f) Chapter 5 is not applicable.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5006 to section 5002, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). For prior history of section 5002, see Register 86, No. 31.
2. Amendment of subsection (a) filed 5-12-2010; operative 6-11-2010 (Register 2010, No. 20).
§5003. Waiver of Rights.
Note     •     History

Except to the extent prohibited by a statute or another regulation, a person may waive a right conferred on the person by these rules.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5003 to section 5004, and renumbering of former section 5007 to section 5003, including amendment of Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5004. Computation of Time.
Note     •     History

In computing the time within which any act must be performed, the first day shall be excluded and the last day shall be included. If the last day is a Saturday, Sunday, or holiday, the act must be performed on the next day that is not a Saturday, Sunday, or holiday.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Repealer of former section 5004 and renumbering of former section 5003 to section 5004, including amendment of section and new Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5005. Late Filing or Service.
Note     •     History

Unless otherwise specified in the code or these rules, the time for filing or service may be extended, or late filing or service permitted, upon a showing of good cause. 
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 5-14-76; effective thirtieth day thereafter (Register 76, No. 20).
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Amendment of section heading and section and new Note filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5006. Proof of Service.
Note     •     History

(a) Unless otherwise specified by the agency, any document required to be served by a party shall be filed with proof of service showing the document and the person served, the person making service, and the date and manner of service. 
(b) Proof of service shall be in writing, but need not be signed, under oath, or in any particular form.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Amendment of section heading, new section, and amendment of Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22). For prior history, see Register 85, No. 26.
2. Renumbering of former section 5006 to section 5002 and new section 5006 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5007. Time Limitations.
Note     •     History

(a) If no other time is provided by the code or these rules, an appeal or board appeal shall be filed within 20 days after notice of the action, decision, or order being appealed was served on the appellant or board appellant.
(b) A disputed coverage appeal may be filed by the claimant, department, voluntary plan insurer or self-insurer, or a representative of any of these. A disputed coverage appeal shall be filed within 30 days after notice of denial of coverage was served on the appellant. In disputed coverage cases in which notice of denial of coverage is not furnished, an appeal shall be filed after the expiration of 25 days, and within 55 days, from the date the appellant sends a request for payment of benefits to the department or voluntary plan insurer or self-insurer.
(c) In the case of a denial of a disability claim by a voluntary plan insurer or self-insurer, if no notice of denial is furnished, an appeal may be filed after the expiration of 30 days, and within 60 days, from the date the claim was sent to the voluntary plan insurer or self-insurer.
(d) If no other time is provided in the code or these rules, a petition shall be filed within 30 days after notice of the department action was served on the petitioner. An additional 30 days may be granted upon a showing of good cause.
(e) A board appeal from the decision of an administrative law judge on a petition shall be filed within 30 days after the decision was served on the board appellant.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
2. Renumbering of former section 5007 to section 5003 and renumbering of former section 5021 to section 5007, including amendment of section and new Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5008. Appeal, Petition, or Board Appeal.
Note     •     History

(a) An appeal, petition, or board appeal shall be filed as defined in rule 5000(gg).
(b) An appeal, petition, or board appeal shall include:
(i) the name of the appellant, petitioner, or board appellant, exclusive of any representative;
(ii) the employer account number, if any, of the appellant, petitioner, or board appellant, exclusive of any representative; 
(iii) the mailing address of the appellant, petitioner, or board appellant;
(iv) the name and mailing address of any representative filing the appeal, petition, or board appeal;
(v) the name of any claimant who is a party; and
(vi) the social security number of any claimant who is a party.
(c) An appeal, petition, or board appeal may include:
(i) any telephone number of the appellant, petitioner, or board appellant;
(ii) any electronic address of the appellant, petitioner, or board appellant;
(iii) the date or case number of the underlying department action, decision, or order;
(iv) a concise statement of reasons for the appeal, petition, or board appeal; 
(v) any request for language assistance or special accommodation; and
(vi) the signature of the appellant, petitioner, or board appellant, and the date signed.
(d) The department shall promptly send to the agency any appeal, petition, or board appeal that a party files with the department.
(e) The agency shall serve:
(i) an appeal or its content no later than the time required for service of the notice of hearing the appeal;
(ii) a petition or its content promptly after the agency receives it; and
(iii) a board appeal or its content promptly after the agency receives it.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
2. Renumbering of former section 5008 to section 5001 and renumbering of former section 5022 to section 5008, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5009. Official Notice.
Note     •     History

(a) An administrative law judge or the board may take official notice of any generally accepted technical fact in the fields of employment security, disability, or employment taxation, procedures adopted by the department, the U. S. Department of Labor Employment and Training Administration, or the determinations, rulings, orders, findings or decisions required by law to be made by the Director, administrative law judges, or the board.
(b) An administrative law judge or the board shall take official notice of those matters which must be judicially noticed by a court under section 451 of the Evidence Code. An administrative law judge or the board may take official notice of those matters set forth in section 452 of the Evidence Code.
(c) Before an administrative law judge takes official notice of those matters referred to in sections 452(g) or (h) of the Evidence Code, each party participating in the hearing shall be given reasonable opportunity to present information relevant to the propriety of taking official notice and the tenor of matters to be noticed. 
(d) Before the board takes official notice of those matters referred to in section 452(g) or (h) of the Evidence Code, each party shall be given reasonable opportunity to present information relevant to the propriety of taking official notice and the tenor of the matters to be noticed.
(e) An administrative law judge or the board shall state in a decision, order, or on the record the matters concerning which official notice has been taken.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5039 to new section 5009, including amendment of section heading and section and new Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5010. Case File, Audiovisual Record and Transcript.
Note     •     History

(a) The provisions of this rule apply except as otherwise ordered or required by law.
(b) The agency shall maintain the case file, the audiovisual record, and any transcript that has been prepared for at least 36 months after the last date of service of any decision or order, and may thereafter destroy them.
(c) A party, a person who observes an electronic hearing pursuant to rule 5062(o), or an employee or agent of the agency may review all or part of a case file, audiovisual record, or transcript that has been prepared.
(d) Upon request by a party or a person who observes an electronic hearing pursuant to rule 5062(o), the agency shall permit that person to use, without charge, such facilities or equipment as may be reasonably necessary to review all or part of a case file, audiovisual record, or transcript that has been prepared.
(e) Upon request by a party, at a charge of $5, the agency shall provide that party a copy of any or all documents in a case file.
(f) Upon request by a party, at a charge of $5, the agency shall provide that party a copy of all or part of an audiovisual record.
(g) Upon request by a party, at a charge of $5, the agency shall provide that party a copy of all or part of a transcript that has been prepared.
(h) A party shall not be charged for copies if it shows that payment would cause it financial hardship.
(i) A request for copies shall include either payment for the applicable charge or a showing of financial hardship.
(j) Notwithstanding any other provision of this rule, a claimant shall not be charged for copies.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5119 to new section 5010, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
2. Amendment of subsection (b) filed 5-12-2010; operative 6-11-2010 (Register 2010, No. 20).
§5011. Fees of Claimant's Representative.
Note     •     History

If a representative charges a fee for representing a claimant and an issue as to the amount of the fee is raised by the claimant, the representative, an administrative law judge, or a member of the board, the representative shall receive no more for the representative's services than an amount approved by an administrative law judge or the board. If no issues as to the amount of such a fee is raised, the fee shall be deemed approved. The fee approved by an administrative law judge may be reviewed by the board.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5047 to new section 5011, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5012. Appeal from Withdrawal of Approval of Voluntary Plan.
Note     •     History

(a) An appeal from the withdrawal of the approval of a voluntary plan shall be filed by sending it in writing to the board office. Unless otherwise specified in the code or these rules, the procedures applicable to such an appeal shall be those applicable to board appeals. The agency shall serve such an appeal promptly after the agency receives it.
(b) Such an appeal shall specify the reason for the appeal. If it does not, the board shall serve notice requiring the appellant to specify the reason by filing and serving it within 20 days after service of such notice. If the appellant fails to comply, the board may order the appeal dismissed.
(c) If the board decides that evidence shall be taken on such an appeal, it may be taken on behalf of the board before the board, a board member, or an administrative law judge. If evidence is taken before an administrative law judge, the hearing shall be conducted according to the field operations rules. 
(d) The board shall make the initial decision on such an appeal by a majority vote of the board acting as a whole. 
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
Chapter 2. Field Operations
§5020. Application of Article. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 401-411, 1951-1959, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Redesignation of Article 2 (Sections 5020-5047, not consecutive) to Chapter 2 (Sections 5020-5047, not consecutive) filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment of chapter 2 heading, repealer of article 1 heading, and repealer of section filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5021. Time Limitations. [Renumbered]
History

HISTORY

1. Amendment filed 5-14-76; effective thirtieth day thereafter (Register 76, No. 20).
2. Amendment of subsection (d) filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Renumbering of former section 5021 to section 5007 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5022. Form of Appeal or Petition. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Sections 5000 and 5023, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
2. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
3. Renumbering of former section 5022 to new section 5008 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5023. Filing Appeal, Petition, or Application. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Sections 5000 and 5022, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Renumbering from Section 5024 to Section 5023, and amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Amendment of section heading and section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
5. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5024. Contents of Appeal or Petition. [Repealed]
History

HISTORY

1. Amendment filed 5-14-76; effective thirtieth day thereafter (Register 76, No. 20).
2. Renumbering from Section 5023 to 5024 filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§5025. Merger of Successive Petitions. [Repealed]
History

HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5026. Answer to Petition. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Section 5000, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Amendment of subsection (b) filed 7-31-86; effective thirtieth day thereafter (Register 86, No. 31).
4. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
5. Renumbering of former section 5026 to new section 5052 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5027. Withdrawal of Appeal or Petition. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Sections 5000, 5023 and 5122, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
4. Renumbering of former section 5027 to new section 5050 filed 2-4-99; operative 3-6-99 (Register 99, No. 6).
§5028. Dismissal of Late Appeal or Petition. [Renumbered]
History

HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Renumbering of former section 5028 to new section 5051 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5029. Notice of Hearing. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 11415.10, 11415.20, 11415.40, 11425.10, 11435.60, 11440.20 and 11440.30, Government Code; Section 1952, Unemployment Insurance Code; Sections 5000, 5007, 5027 and 5041, Title 22, California Code of Regulations; and Section 650.4, 20 C.F.R.
HISTORY

1. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
2. Renumbering of former section 5029 to new section 5056 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5030. Witnesses and Subpoenas. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 1987, Code of Civil Procedure; Sections 1560 and 1561, Evidence Code; Sections 11181, 11180-11191, 11415.10, 11440.20, 11440.30, 11450.10, 11450.20, 11450.30, 11455.10, 11455.20, 68093 and 68097.1-68097.8, Government Code; Sections 407, 1952, 1953, 1954 and 1956, Unemployment Insurance Code; Sections 5000 and 5049, Title 22, California Code of Regulations; and Parris v. Zolin (1996) 12 Cal.4th 839.
HISTORY

1. Amendment to subsection (e) filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Amendment of subsections (c)-(h), new subsections (i)-(l), and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
5. Renumbering of former section 5030 to new section 5058 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5031. Additional Parties. [Repealed]
History

HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5032. Consolidation of Proceedings. [Renumbered]
History

HISTORY

1. Renumbering of former section 5032 to new section 5053 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5033. Hearing in Tax Proceedings. [Repealed]
History

HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5034. Preparation for Hearing. [Repealed]
History

HISTORY

1. Amendment filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Order of Repeal of last sentence filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
5. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5035. Failure to Appear. [Repealed]
History

HISTORY

1. Repealer filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
§5036. Burden of Proof in Tax Proceedings. [Repealed]
History

HISTORY

1. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5037. Issues on Appeal from Determination. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 401-411, 1142, 1951-1959, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Repealer and new section filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Editorial correction (Register 81, No. 35).
4. Amendment filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 31).
5. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5038. Conduct of Hearing and Evidence. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Article 1, Section 1, California Constitution; Section 290dd-2, 42 U.S.C.; Sections 352, 901, 910 and 1152.5, Evidence Code; Sections 11415.40, 11415.60, 11420.30, 11425.10, 11425.20, 11440.30, 11440.40 and 11513, Government Code; Sections 1256, 1256.7 and 2713, Unemployment Insurance Code; Sections 5006, 5007, 5041 and 5042, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment of subsection (b) filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Amendment of subsection (c), new subsections (d)-(h), subsection relettering, amendment of newly designated subsection (j), new subsection (m) and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
4. Renumbering of former section 5038 to new section 5062 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5039. Official and Judicial Notice. [Renumbered]
History

HISTORY

1. Amendment filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Renumbering of former section 5039 to new section 5009 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5040. Department Records. [Repealed]
History

HISTORY

1. Amendment of subsection (a) filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5041. Scheduling of Hearing; Transmission of Documents. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 2015.5, Code of Civil Procedure; Sections 11185, 11415.40, 11425.10, 11440.20, 11440.20 and 11440.30, Government Code; Section 1952, Unemployment Insurance Code; Sections 5000, 5003, 5009 and 5042, Title 22, California Code of Regulations; and Slattery v. California Unemployment Insurance Appeals Board (1976) 60 Cal.App.3d 245.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15). For prior history, see Register 67, No. 51.
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Amendment of subsection (d) filed 7-22-86; effective thirtieth day thereafter (Register 86. No. 31).
4. Amendment of section heading and subsection (b), repealer and new subsections (c) and (d), amendment of subsection (e), new subsection (f) and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
5. Renumbering of former section 5041 to new section 5054 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5042. Continuance of Hearings; Further Hearing. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 11425.10, 11440.20 and 11440.30, Government Code; Section 1952, Unemployment Insurance Code; Sections 5029 and 5041, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
4. Renumbering of former section 5042 to new section 5057 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5043. Representation at a Hearing. [Repealed]
History

HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5044. Oral Argument and Briefs. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 411, Unemployment Insurance Code. Reference: Section 1952, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 12-18-86; effective thirtieth day thereafter (Register 86, No. 51).
3. Renumbering of former section 5044 to new section 5064 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5045. Decision. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 11415.40, 11425.10, 11425.50 and 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Sections 5000, 5007 and 5041, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Amendment filed 5-14-76; effective thirtieth day thereafter (Register 76, No. 20).
3. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
4. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
5. Amendment of subsections (a) and (e) filed 12-18-86; effective thirtieth day thereafter (Register 86, No. 51).
6. Amendment of section and Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
7. Renumbering of former section 5045 to new section 5065 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5046. Disqualification of Administrative Law Judge. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 11425.10(a)(5), 11425.30, 11425.40, 11430.30, 11430.50, 11430.60 and 11440.20, Government Code; Section 404, Unemployment Insurance Code; and Sections 5000, 5048 and 5118, Title 22, California Code of Regulations.
HISTORY

1. New section filed 7-31-86; effective thirtieth day thereafter (Register 86, No. 31). For history of former Section 5046, see Register 85, No. 26.
2. Amendment of section and Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
3. Renumbering of former section 5046 to new section 5060 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5047. Fees of Agent. [Renumbered]
History

HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Renumbering of former section 5047 to new section 5011 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5048. Ex Parte Communications. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 11415.10, 11425.10, 11430.10-11430.80 and 11455.10, Government Code; Section 1952, Unemployment Insurance Code; and Sections 5046 and 5049, Title 22, California Code of Regulations.
HISTORY

1. New section filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
2. Renumbering of former section 5048 to new section 5059 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5049. Enforcement and Contempt. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 11184-11188 and 11455.10-11455.30, Government Code; Sections 1953 and 1954, Unemployment Insurance Code; and Sections 5006 and 5030, Title 22, California Code of Regulations; and Parris v. Zolin (1996) 12 Cal.4th 839.
HISTORY

1. New section filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
2. Renumbering of former section 5049 to new section 5070 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5050. Withdrawal and Reinstatement.
Note     •     History

(a) An appellant or petitioner may apply to withdraw an appeal or petition before the decision of the administrative law judge is served.
(b) Upon such an application, an administrative law judge shall order the appeal or petition dismissed.
(c) An applicant may apply to withdraw an application for reinstatement, reopening, or vacating a decision before the order of the administrative law judge on the application is served.
(d) Upon such an application to withdraw, an administrative law judge shall order the application for reinstatement, reopening, or vacating dismissed. 
(e) The appellant, petitioner, or applicant may file an application for reinstatement within 20 days after service of an order dismissing an appeal, petition, or application due to withdrawal. The application shall specify the reason for reinstatement. If the application is untimely, it shall also specify the reason for the delay.
(f) If the application fails to specify the reason for reinstatement or, if applicable, for its untimeliness, an administrative law judge may serve notice requiring the applicant to specify the reason by filing it within 10 days after service of such notice. If the applicant fails to comply, an administrative law judge may order reinstatement denied.
(g) If the reason specified by the applicant shows that there is no good cause for reinstatement, or, if applicable, for the untimely application, an administrative law judge may order reinstatement denied.
(h) An application for reinstatement that is not otherwise denied in accordance with this rule shall be scheduled for hearing. If the applicant shows good cause for reinstatement, and, if applicable, for the untimely application, the appeal or petition shall be ordered reinstated; otherwise reinstatement shall be ordered denied.
(i) If an applicant for reinstatement fails to appear in the hearing on reinstatement, an administrative law judge may order reinstatement denied.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5027 to new section 5050, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5051. Dismissal of Untimely Appeal.
Note     •     History

An administrative law judge shall order an untimely appeal dismissed unless the appellant shows good cause for the untimeliness. If good cause is shown, the appeal shall be decided on the merits.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5028 to new section 5051, including amendment of section heading and section and new Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5052. Petition Procedures.
Note     •     History

(a) Except with respect to a petition regarding a penalty assessed pursuant to section 1142, 1143, or 1144 of the code, the department may file and serve its answer to the petition within 30 days after the agency serves the petition. If no answer is filed and served within that time, the petition may be scheduled for hearing without an answer.
(b) If an untimely petition fails to specify the reason for the delay, an administrative law judge may serve notice requiring the petitioner to specify the reason by filing and serving it within 20 days after service of such notice. If the petitioner fails to comply, an administrative law judge may order the petition dismissed.
(c) If an untimely petition is filed within the additional 30 days provided by code section 1222, and the reason specified by the petitioner shows that there is no good cause for the untimeliness, an administrative law judge may order the petition dismissed.
(d) If an untimely petition is filed beyond the additional 30 days provided by code section 1222, and the petitioner fails to specify lack of service of the notice of assessment or a basis for estoppel of the department, the petition may be ordered dismissed. 
(e) An untimely petition that is not otherwise allowed or dismissed in accordance with this rule shall be scheduled for hearing. If the untimely petition was filed within the additional 30 days provided by code section 1222 and the petitioner shows good cause for the untimeliness, the untimely petition shall be allowed; if a petition was filed beyond the additional 30 days provided by code section 1222 and the petitioner shows lack of service of the notice of assessment, the date service was effected upon the petitioner shall be used to determine if the petition was untimely under section 1222; if an untimely petition was filed and the ALJ finds that the filing of the petition was delayed due to departmental action for which estoppel is appropriate, the untimely petition shall be allowed; otherwise it shall be ordered dismissed.
(f) An administrative law judge may serve notice of intention to render a decision or order on a petition without a hearing. Within 20 days after service of such a notice, any party may file and serve an application for a hearing. A hearing shall be granted upon such an application, except as provided in the next subsection of this rule. If no such application is filed and served within that time, an administrative law judge may proceed to render a decision or order on the petition without a hearing.
(g) A hearing is not required on a petition for refund if the petitioner had a prior hearing involving the same issues on a petition for reassessment. If so, an administrative law judge may serve notice of intention to render a decision on the petition for refund without a hearing. Within 20 days after service of such notice any party may file and serve an application for a hearing on the petition for refund setting forth any new or additional evidence it may wish to present. Within 20 days after service of such an application, any other party may file and serve a response. After considering any such application and any such response, an administrative law judge may either grant a hearing on the petition for refund, or deny it and proceed to render the decision upon the basis of the record of the hearing on the petition for reassessment.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1222, 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5026 to new section 5052, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
2. Amendment of subsection (e) and Note filed 5-12-2010; operative 6-11-2010 (Register 2010, No. 20).
§5053. Joinder and Consolidation.
Note     •     History

(a) Whenever it appears that other parties should be joined in order to dispose of all issues, an administrative law judge shall do so and shall grant such continuance and hold such additional hearing as may be necessary.
(b) Any number of proceedings may be consolidated for hearing or decision when the facts and circumstances are similar and no substantial right of any party will be prejudiced. 
(c) Proceedings with respect to which the alleged facts and the points of law are the same shall be consolidated for hearing.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5032 to new section 5053, including amendment of section heading and section and new Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5054. Scheduling of Hearing.
Note     •     History

(a) Appeals shall be heard promptly.
(b) The hearing shall be scheduled at a location as near as practicable to the claimant or petitioner, and, if practicable, within a 50 mile radius of any department branch office and any residence or office of any other party. 
(c) A representative of a party is not included within the definition of a party for the purpose of this rule.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5041 to new section 5054, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5055. Electronic Hearing.
Note     •     History

(a) For good cause, an administrative law judge, on his or her own motion or upon application of a party or representative, may schedule or conduct all or part of a hearing as an electronic hearing if each party participating in the hearing has the opportunity to participate in and to hear the entire proceeding while it is taking place and to observe exhibits.
(b) Considerations in determining good cause under this provision shall include, but are not limited to:
(i) transportation barriers or travel distance required for attendance at an in-person hearing, for any party or witness;
(ii) hardship caused by time away from current employment or other responsibilities that would be required of a party or witness in order to attend an in-person hearing;
(iii) inability to secure care for children or other family members that would prevent travel to an in-person hearing;
(iv) other hardships or impediments as explained by the party making the application for an electronic hearing;
(c) Each party shall file with the Agency and serve upon all parties any additional documents no later than the 7th day after service of the notice of hearing, unless otherwise specified by an administrative law judge.
(d) If a hearing is scheduled as an electronic hearing for any party, but notice is not served at least 10 days before the date of the hearing, an administrative law judge, if practicable, shall specify and inform each party of the time and means for filing and serving any additional documents. No proof of service is required unless specified by an administrative law judge.
(e) The agency shall serve the documents in the case file a reasonable time before a hearing scheduled as an electronic hearing for any party, if practicable.
(f) The parties retain the right to a rescheduling of a hearing if documents are not filed and served in accordance with these provisions, or to waive service as long as they have an opportunity to review those documents at the hearing.
(g) Notwithstanding the scheduling of an electronic hearing, any party or witness retains the right to participate in person, and, if warranted by the circumstances, an administrative law judge may require any party participating in a hearing to be present at the hearing.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
2. Amendment filed 5-12-2010; operative 6-11-2010 (Register 2010, No. 20).
§5056. Notice of Hearing.
Note     •     History

(a) Unless otherwise provided by the code, the agency shall serve notice of the time and place of hearing an appeal and the issues at least 10 days before the date of the hearing.
(b) Unless otherwise provided by the code, the agency shall serve notice of the time and place of hearing a petition and the issues at least 20 days before the date of the hearing.
(c) A notice of a hearing scheduled as an electronic hearing for any party shall specify each party scheduled to appear electronically, how it is to do so, and the time by which each party is required to file any additional exhibits.
(d) At or before the time the notice of hearing is served, the agency shall serve notice that upon request it will provide language assistance, special accommodations, or a copy of the agency's governing procedure, without charge.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5029 to new section 5056, including amendment of section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5057. Continuance of Hearing; Further Hearing.
Note     •     History

(a) An administrative law judge may continue a hearing to another time or place on his or her own motion, or, upon a showing of good cause, on the application of a party.
(b) The unavailability of a party or witness to be physically present at a hearing is presumed not to be good cause for a continuance, unless the party or witness is also unavailable to participate in the hearing by electronic means. 
(c) Notice of the time and place of the continued hearing, except as provided herein, shall be in accordance with rule 5056. When a continuance is ordered during a hearing, notice of the time and place of the continued hearing is sufficient if given orally to each party participating in the hearing. 
(d) Prior to the decision, the administrative law judge on his or her own motion, or upon a showing of good cause on the application of a party, may order a further hearing. Notice thereof shall be given in accordance with rule 5056.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5042 to new section 5057, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5058. Witnesses, Notices to Attend, and Subpoenas.
Note     •     History

(a) A party shall arrange for its witnesses to participate in the hearing.
(b) An administrative law judge may issue a notice to attend, a notice to attend and produce, a subpoena, or a subpoena duces tecum on his or her own motion, and shall do so upon the proper application of a party.
(c) An application for a notice to attend or a subpoena shall include the name of the witness and a showing of the need therefor. An application for a notice to attend shall also include the address of the witness.
(d) An application for a notice to attend and produce or for a subpoena duces tecum shall give the name of the witness, shall specify the documents or things desired to be produced and show the materiality thereof to the issues involved in the proceeding, and shall state that, to the best of the applicant's knowledge, the witness has such documents or things in his or her possession or under his or her control. An application for a notice to attend and produce shall also give the address of the witness, and, if it seeks personal records, shall give the name and address of the consumer. An application for a subpoena duces tecum shall be filed by affidavit.
(e) The agency shall assist a party in preparing an application for a notice to attend, a notice to attend and produce, a subpoena, or a subpoena duces tecum. 
(f) A notice to attend and produce or a subpoena duces tecum which seeks personal records of a consumer shall include a statement that the consumer has the right to object thereto by making an application for a protective order, including an application to quash, at the hearing.
(g) A party shall arrange for the delivery of a subpoena or subpoena duces tecum issued to it. Except as provided in Government Code sections 68097.1 through 68097.8, delivery of a subpoena or subpoena duces tecum is made by delivering a paper copy to the witness in person a reasonable time before the hearing. A paper copy of any application for subpoena duces tecum shall be delivered with a subpoena duces tecum. Any natural person may deliver a subpoena or a subpoena duces tecum. A party shall send to the consumer, a reasonable time before the hearing, a copy of any subpoena duces tecum issued to it which seeks personal records of the consumer, along with a copy of any application for such a subpoena duces tecum. A party shall file an affidavit showing that any subpoena or subpoena duces tecum issued to it, along with any application for any such subpoena duces tecum, was delivered to the witness, and, if applicable, sent to the consumer.
(h) The agency shall send a notice to attend or a notice to attend and produce to the witness. The agency shall send to the consumer, a reasonable time before the hearing, a copy of any notice to attend and produce which seeks personal records of the consumer. 
(i) When a witness does not comply with a notice to attend or a notice to attend and produce, an administrative law judge may issue a subpoena or a subpoena duces tecum to compel compliance, on his or her own motion or upon the application of a party. 
(j) A witness who complies with a notice to attend, a notice to attend and produce, a subpoena, or a subpoena duces tecum, is entitled to the fees and mileage set forth in Section 68093 of the Government Code provided a written demand therefor is submitted to the administrative law judge at the hearing or filed not later than 10 days after the date on which the witness participated in the hearing. If not so claimed within that time, no fees or mileage shall be allowed.
(k) A notice to attend and produce or a subpoena duces tecum for a hearing scheduled as an electronic hearing for a witness shall direct the witness to file the documents or things sought a reasonable time before the hearing.
(l) Unless the subpoena duces tecum or the notice to attend and produce provides to the contrary, a custodian of documents that are the subject of a subpoena duces tecum or of a notice to attend and produce may comply by filing the documents or things a reasonable time before the hearing, together with a statement authenticating them.
(m) Any interested person may object to the terms of a notice to attend, a notice to attend and produce, a subpoena, or a subpoena duces tecum by making an application for a protective order, including an application to quash, at the hearing. An administrative law judge shall resolve the objection and may make other orders that are appropriate to protect from any unreasonable or oppressive demand, including any violation of the right to privacy. Documents or things that are the subject of a subpoena duces tecum or of a notice to attend and produce shall be made available at the hearing, notwithstanding the intention of an interested person to so object, so as not to delay the hearing in the event an administrative law judge overrules the objection in whole or in part.
(n) Subpoenas and subpoenas duces tecum shall be enforced in accordance with rule 5070.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5030 to new section 5058, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5059. Ex Parte Communications.
Note     •     History

(a) Except as provided in this rule, after an appeal or petition is filed, and while the proceeding is pending, there shall be no direct or indirect communication regarding any issue in the proceeding to the administrative law judge from any party or other interested person, without notice and the opportunity for all parties to participate in the communication.
(b) A communication made on the record in the hearing is permissible.
(c) A document filed or submitted to the administrative law judge is permissible if it is added to the case file, so that all parties have a reasonable opportunity to review it.
(d) A communication concerning a matter of procedure or practice is presumed to be permissible, unless the topic of the communication appears to the administrative law judge to be controversial in the context of the specific case. If so, the administrative law judge shall so inform the other participant and may terminate the communication or continue it until after giving all parties notice and opportunity to participate. Any written communication concerning a matter of procedure or practice, and any written response, or a written memorandum identifying the participants and stating the substance of any such oral communication or response, shall be added to the case file so that all parties have a reasonable opportunity to review it. Unless otherwise provided by the code or these rules, an administrative law judge may determine a matter of procedure or practice based upon a permissible ex-parte communication. The term “matters of procedure or practice” shall be liberally construed.
(e) A communication from the department to the administrative law judge which is permissible under Government Code section 11430.30 is permitted only if any such written communication and any written response, or a written memorandum identifying the participants and stating the substance of any such oral communication or response, is added to the case file so that all parties have a reasonable opportunity to review it.
(f) If the administrative law judge receives a communication in violation of this rule, he or she shall comply with the requirements of Government Code section 11430.50.
(g) If before serving as a presiding officer in a proceeding the administrative law judge receives a communication of a type that would be in violation of this rule if received while serving as presiding officer, the administrative law judge, promptly after starting to serve, shall comply with the requirements of Government Code section 11430.50.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5048 to new section 5059, including amendment of section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5060. Disqualification of Administrative Law Judge.
Note     •     History

(a) An administrative law judge is subject to disqualification in a proceeding on the following grounds: 
(i) for bias, prejudice, or interest in the proceeding as defined by Government Code section 11425.40; 
(ii) for receipt of an impermissible ex-parte communication under rule 5059, the effect of which cannot be eliminated under that rule; 
(iii) to maintain the separation of the adjudicative function from the investigative, prosecutorial, and advocacy functions as required by Government Code section 11425.30; or
(iv) for any of the grounds specified in Code of Civil Procedure section 170.1.
(b) An administrative law judge who is subject to disqualification shall voluntarily disqualify himself or herself from a proceeding, unless all parties participating in the proceeding waive the disqualification. A disqualification may not be waived if it is for bias or prejudice, if the administrative law judge has been a material witness concerning the proceeding, if the disqualification is required by Government Code section 11425.30, or if waiver is otherwise prohibited by law.
(c) A party may apply for the disqualification of an administrative law judge by promptly filing an affidavit specifying the grounds upon which it is claimed that the administrative law judge is subject to disqualification. An administrative law judge shall be disqualified from a proceeding if it is determined upon such an application that the administrative law judge is subject to disqualification. An application for disqualification of an administrative law judge shall be decided by a presiding administrative law judge or the chief administrative law judge. An application for disqualification of a presiding administrative law judge shall be decided by the chief administrative law judge. An application for disqualification of the chief administrative law judge shall be decided by the chairperson.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5046 to new section 5060, including amendment of section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5061. Appearance in Hearing.
Note     •     History

A party appears in the hearing by:
(a) being present on the record at a hearing;
(b) participating by electronic means on the record in an electronic hearing;
(c) filing a statement that the party intends to constitute its appearance that the administrative law judge receives by the time of a hearing and does not exclude under rule 5062(j); or
(d) interrogatories or deposition if so ordered by an administrative law judge pursuant to rule 5062(k).
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5062. Conduct of Hearing and Evidence.
Note     •     History

(a) A party appearing in a hearing shall have his or her evidence and witnesses and be ready to proceed.
(b) An administrative law judge shall consider only those issues in a department action which are appealed, petitioned, or noticed by the agency. A related issue shall not be considered unless a waiver is obtained from all parties. If the department amends the action which is appealed or petitioned, the scope of an administrative law judge's consideration extends to the amended department action, provided that the department either serves it on all other parties at least 10 days before the hearing, or all other parties waive such service.
(c) Testimony shall be taken only on oath, affirmation, or penalty of perjury.
(d) Each party shall have these rights: 
(i) to review the case file;
(ii) to call and examine parties and witnesses; 
(iii) to introduce exhibits; 
(iv) to question opposing witnesses and parties on any matter relevant to the issues even though that matter was not covered in the direct examination; 
(v) to impeach any witness regardless of which party first called the witness to testify; and 
(vi) to rebut the evidence against it.
(e) Except as otherwise prohibited by law, any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions.
(f) An administrative law judge has discretion to exclude evidence if its probative value is substantially outweighed by the probability that its admission will necessitate undue consumption of time, or to prevent injustice, undue burden, or prejudice.
(g) The rules of privilege shall be effective to the extent that they are required by law to be recognized at the hearing.
(h) In a proceeding in which conduct that constitutes sexual harassment, sexual assault, or sexual battery is alleged, evidence of specific instances of a complainant's sexual conduct with individuals other than the alleged perpetrator is subject to the limitations set forth in Government Code section 11440.40.
(i) Evidence of communications made in settlement is subject to the limitations of Government Code section 11415.60. Evidence of communications made in alternative dispute resolution under Article 5 of Chapter 4.5 of Part 1 of Division 3 of Title 2 of the Government Code, commencing with section 11420.10, is subject to the limitations of Government Code section 11420.30. Evidence of communications made in mediation is subject to the limitations of Evidence Code section 1152.5.
(j) An administrative law judge may exclude an untimely exhibit, including an untimely statement that a party intends to constitute its appearance pursuant to rule 5061(c).
(k) An administrative law judge may order the taking of interrogatories and depositions inside or outside the state, upon such terms and conditions as may be just.
(l) An administrative law judge may question any party or witness and may introduce exhibits.
(m) The taking of evidence in a hearing shall be controlled by the administrative law judge in a manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the administrative law judge shall identify and explain the issues and the order in which evidence will be received.
(n) A hearing shall be open to public observation unless an administrative law judge orders closure or makes other protective orders pursuant to Government Code section 11425.20 or Unemployment Insurance Code section 2713. 
(o) If an electronic hearing is open to public observation, members of the public may be physically present at the place where the administrative law judge is conducting the hearing, and any member of the public who is so present may review the case file, the audiovisual record, and any transcript that has been prepared.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5038 to new section 5062, including amendment of section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
2. Amendment of subsection (m) filed 5-12-2010; operative 6-11-2010 (Register 2010, No. 20).
§5063. Language Assistance.
Note     •     History

(a) The hearing shall be conducted in English. 
(b) If a party or witness does not proficiently speak or understand English and requests language assistance before the hearing commences, the agency shall provide the party or witness an interpreter in the hearing at the expense of the agency.
(c) Translation by the interpreter in the hearing shall be provided only on oath, affirmation, or penalty of perjury.
(d) If the interpreter is certified pursuant to Government Code section 11435.30, that shall be established in the hearing. 
(e) If the interpreter is not certified pursuant to Government Code section 11435.30, but the agency has previously provisionally qualified the interpreter pursuant to Government Code section 11435.55, that shall be established in the hearing.
(f) If the interpreter is neither certified pursuant to Government Code section 11435.30, nor previously provisionally qualified by the agency pursuant to Government Code section 11435.55, the administrative law judge may provisionally qualify the interpreter for that hearing by establishing the interpreter's qualifications in the hearing.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5064. Argument.
Note     •     History

Any party may apply to present oral or written argument prior to the close of the hearing. The administrative law judge shall grant oral argument. The administrative law judge may grant written argument, and, if so, shall inform the parties of the time and manner by which it shall be filed and served. No proof of service shall be required unless specified by the administrative law judge.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5044 to new section 5064, including amendment of section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5065. Decision.
Note     •     History

(a) The administrative law judge shall promptly issue the decision, and the agency shall promptly serve it.
(b) The decision shall set forth the issue, the findings of facts, the reasons for decision, the decision, and the date served.
(c) The findings of facts shall be based exclusively on the evidence of record in the proceeding and on matters officially noticed in the proceeding. 
(d) If a factual determination is based substantially on the credibility of a witness, the reasons for the decision shall identify any specific evidence of the observed demeanor, manner, or attitude of the witness that supports the determination. 
(e) A penalty may not be based on a guideline, criterion, bulletin, manual, instruction, order, standard of general application, or other rule subject to Chapter 3.5, commencing with section 11340, of Part 1 of Division 3 of Title 2 of the Government Code, unless it has been adopted as a regulation pursuant to that chapter.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5045 to new section 5065, including amendment of section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
2. Amendment of subsection (d) filed 10-7-2002; operative 11-6-2002 (Register 2002, No. 41).
3. Change without regulatory effect amending subsections (b)-(d) filed 4-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 16).
§5066. Dismissal of Appeal or Petition.
Note     •     History

An administrative law judge may order an appeal or petition dismissed without a hearing on the following grounds:
(a) there is no adverse department action to be reviewed;
(b) the appellant or petitioner did not intend to file an appeal or petition;
(c) the case was registered in error;
(d) there is another case with the same parties and issues;
(e) there is no disputed issue to be decided;
(f) the matter is moot;
(g) the administrative law judge lacks jurisdiction; or
(h) the appellant or petitioner fails to appear in the hearing on the appeal or petition.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5067. Reopening.
Note     •     History

(a) The appellant, petitioner, or applicant may file an application to reopen the appeal, petition, or application within 20 days after service of an order:
(i) dismissing an appeal or petition on any of the grounds specified rule 5066; 
(ii) denying an application for reinstatement, reopening, or vacating a decision for failure to comply with a 10 day notice to specify the reason for the application or, if applicable, the reason the application is untimely;
(iii) denying an application for reinstatement, reopening, or vacating a decision for failure to appear in the hearing on such an application;
(iv) dismissing an untimely petition for failure to comply with a 20 day notice to specify the reason the petition is untimely; or
(v) denying a hearing on a petition for failure to apply for a hearing within 20 days after service of a notice of intention to render a decision or order on the petition without a hearing.
(b) The application shall specify the reason for reopening. If the application is untimely, it shall also specify the reason for the delay.
(c) If the application fails to specify the reason for reopening, or, if applicable, for its untimeliness, an administrative law judge may serve notice requiring the applicant to specify the reason by filing it within 10 days after service of such notice. If the applicant fails to comply, an administrative law judge may order reopening denied.
(d) If the reason specified by the applicant shows that there is no good cause for reopening, or, if applicable, for the untimely application, an administrative law judge may order reopening denied. 
(e) An application for reopening that is not otherwise denied in accordance with this rule shall be scheduled for hearing. If the applicant shows good cause for reopening, and, if applicable, for the untimely application, the matter shall be ordered reopened; otherwise reopening shall be ordered denied.
(f) If an applicant for reopening fails to appear in the hearing on reopening, an administrative law judge may order reopening denied.
(g) If a party that has grounds to file an application to reopen files what purports to be a board appeal, it shall be treated as an application to reopen, unless the application or the party clearly states to the contrary. 
(h) An order granting reopening is appealable to the board only upon service of an adverse decision or order on the appeal or petition. 
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5068. Vacating Decision.
Note     •     History

(a) If a party fails to appear in any day of a hearing and an administrative law judge issues a decision on the merits adverse to that party's interest, the party may file an application to vacate the decision within 20 days after service of the decision. The application shall specify the reason for vacating the decision. If the application is untimely, it shall also specify the reason for the delay.
(b) If the application fails to specify the reason for vacating the decision, or, if applicable, for its untimeliness, an administrative law judge may serve notice requiring the applicant to specify the reason by filing it within 10 days after service of such notice. If the applicant fails to comply, an administrative law judge may order the application to vacate the decision denied.
(c) If the reason specified by the applicant shows that there is no good cause for vacating the decision, or, if applicable, for the untimely application, an administrative law judge may order the application to vacate the decision denied. 
(d) An application to vacate a decision that is not otherwise denied in accordance with this rule shall be scheduled for hearing. If the applicant shows good cause for vacating the decision, and, if applicable, for the untimely application, the decision shall be ordered vacated; otherwise the application to vacate the decision shall be ordered denied.
(e) If an applicant fails to appear in the hearing on an application to vacate a decision, an administrative law judge may order the application denied.
(f) If a party that has grounds to file an application to vacate a decision files what purports to be a board appeal, it shall be treated as an application to vacate the decision, unless the application or the party clearly states to the contrary. 
(g) Upon service of an order denying an application to vacate a decision, the applicant shall be deemed to have filed a board appeal of the denial of the application to vacate, and also of the original adverse decision which was the subject of the application to vacate.
(h) An order vacating a decision is appealable to the board only upon service of an adverse decision or order on the appeal or petition.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5069. Correcting Clerical Error.
Note     •     History

(a) Except as otherwise provided in the code or these rules, after a decision or order of an administrative law judge has been served, it shall not be changed except to correct a clerical error.
(b) If a further hearing is not necessary to correct a clerical error, the administrative law judge, promptly after discovering the clerical error and before a board appeal is filed, may serve an order correcting the clerical error or a corrected decision or order.
(c) If a further hearing is necessary to correct a clerical error, the administrative law judge, promptly after discovering the clerical error and before a board appeal is filed, may order the erroneous decision or order vacated, schedule a further hearing on notice as provided in rule 5056, and thereafter serve a corrected decision or order.
(d) The time within which to file any board appeal or application to reinstate, reopen, or vacate begins anew upon service of an order correcting a clerical error or a corrected decision or order, even as to any matter which is not thereby corrected. 
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. New section filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5070. Enforcement and Contempt.
Note     •     History

(a) A person is subject to the contempt sanction for any of the reasons specified by Government Code section 11455.10.
(b) If a witness fails or refuses, without substantial justification, to comply with a subpoena or subpoena duces tecum, an administrative law judge shall certify the facts that justify the contempt sanction to the superior court in the county where the proceeding is conducted in accordance with Government Code section 11455.20, provided that the party that applied for and delivered the subpoena or subpoena duces tecum applies for certification and makes an offer of proof that the evidence sought by the subpoena or subpoena duces tecum is relevant and potentially necessary to satisfy the party's burden of proof or persuasion in the hearing.
(c) If a person is subject to the contempt sanction under circumstances other than failure or refusal to comply with a subpoena or subpoena duces tecum, an administrative law judge may certify the facts that justify the contempt sanction to the superior court in the county where the proceeding is conducted in accordance with Government Code section 11455.20.
(d) For the purpose of this rule, if the facts that justify the contempt sanction arise from a person participating or failing or refusing to participate in a proceeding by electronic means, the proceeding shall be deemed to be conducted in the county where that person resides, or, if that county is unknown or outside the state, in the county where that person is employed, or, if that county is unknown or outside the state, in the county where the place of hearing is located. 
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5049 to new section 5070, including amendment of section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
Chapter 3. Appellate Operations
§5100. Joinder and Consolidation.
Note     •     History

(a) Whenever it appears that other parties shall be joined in order to dispose of all issues, the board shall so order. The board may remand the case for hearing by an administrative law judge on behalf of the board or for hearing and decision by an administrative law judge.
(b) Any number of proceedings before the board may be consolidated for hearing, argument, consideration, or decision when the facts and circumstances are the same or similar and no substantial right of any party will be prejudiced.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Redesignation from Articles 3 and 4 (Sections 5100-5168, not consecutive) to Chapter 3 (Sections 5100-5168, not consecutive) filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15). For prior history, see Register 76, No. 20.
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
4. Renumbering of former Section 5101 to Section 5100 filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 31).
5. Amendment of section and Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
6. Amendment of chapter 3 heading, repealer of article 1 heading, repealer of former section 5100, and renumbering of former section 5107 to new section 5100, including amendment of section heading and section and new Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5101. Issues Before Board.
Note     •     History

In any board appeal, or if the board acting as a whole removes a case to itself, the board shall consider only those issues in a department action which were appealed, petitioned, or noticed by the agency, related issues properly considered by the administrative law judge, related procedural issues, or appellate procedural issues. The board may refer to the department or remand to an administrative law judge for appropriate action any issues raised for the first time in the board appeal. 
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5108 to new section 5101, including amendment of section heading and section and new Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). For prior history, see Register 86, No. 31.
2. Change without regulatory effect amending section filed 4-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 16).
§5102. New or Additional Evidence.
Note     •     History

(a) A party who files a board appeal, also known as a board appellant, has the right to file an application to present new or additional evidence. Except as otherwise provided in this rule or specified by the agency, the application shall be filed and served at the same time the board appeal is filed. If the agency extends the time to file a board appeal, the time to file and serve the application shall also be extended to the same date the board appeal is filed.
(b) A party who responds to a board appeal, also known as a board respondent, may file and serve an application to present new or additional evidence only if authorized by the agency. Prior to the board modifying or reversing the results of an administrative law judge's decision or order, the agency shall notify a board respondent that it is authorized to make an application to present new or additional evidence. If authorized, the board respondent shall file and serve the application within 12 days after the agency sends notice, or within such other time as the agency may specify.
(c) Notwithstanding (b) above, the board may correct a clerical error in a decision or order of an administrative law judge, or set aside the order or decision, without authorizing a board respondent to file an application to present new or additional evidence.
(d) An application to present new or additional evidence shall state the nature of the evidence, the materiality of such evidence, and the reasons why such evidence was not introduced at the hearing before the administrative law judge. If the new or additional evidence is documentary in nature, the applicant shall attach the evidence to the application. No such evidence shall be considered by the board unless the board admits it.
(e) Whenever the board on its own motion or upon the application of a party grants the taking of new or additional evidence, the matter may be remanded to an administrative law judge for that purpose. The issues at such hearing shall be limited to those issues designated by the board.
(f) However, if the matter is not remanded and only documentary evidence is to be admitted, the agency shall serve the evidence and give each party 10 days thereafter to file and serve a response to it.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
2. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
3. Repealer of former section 5102 and renumbering of former section 5109 to section 5102, including amendment of section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
4. Amendment of subsection (b) filed 10-7-2002; operative 11-6-2002 (Register 2002, No. 41).
5. Amendment of subsection (a), new subsections (b) and (c) and subsection relettering filed 5-12-2010; operative 6-11-2010 (Register 2010, No. 20).
§5103. Withdrawal and Reinstatement of Board Appeal.
Note     •     History

(a) A board appellant may file an application to withdraw a board appeal before the board decision is served.
(b) Upon receipt of such an application, the board shall order the board appeal dismissed. 
(c) The board appellant may file and serve an application for reinstatement of the board appeal within 20 days after service of such a dismissal order. The application shall specify the reason for reinstatement. If the application is untimely, it shall also specify the reason for the delay.
(d) Within 10 days after service of an application for reinstatement of a board appeal, any other party may file and serve a response to it.
(e) If the application fails to specify the reason for reinstatement, or, if applicable, for its untimeliness, the board may serve notice requiring the applicant to specify the reason by filing and serving it within 10 days after service of such notice. If the applicant fails to comply, the board may order reinstatement denied.
(f) Within 10 days after service of such a specification of a reason, any other party may file and serve a response to it.
(g) If the applicant shows good cause for reinstatement, and, if applicable, for the untimely application, the board appeal shall be ordered reinstated; otherwise reinstatement shall be ordered denied.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5112 to section 5103, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). For prior history of section 5103, see Register 85, No. 26.
§5104. Untimely Documents.
Note     •     History

(a) Any untimely document filed in a proceeding before the board, including an untimely board appeal, shall specify the reason for the delay.
(b) If an untimely document fails to specify the reason for the delay, the board may serve notice requiring the party that filed it to specify the reason for the delay by filing and serving the reason within 10 days after service of such a notice. If the party that filed the untimely document fails to comply with such a notice, the board may order an untimely board appeal dismissed, or may deny late filing or service of any other untimely document.
(c) Within 10 days after service of such a specification of a reason, any other party may file and serve a response to it. 
(d) If the party that filed an untimely document shows good cause for the delay, the untimely document shall be allowed; otherwise an untimely board appeal shall be shall be ordered dismissed, or late filing or service of any other untimely document shall be denied.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Amendment of section heading and section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
5. Repealer of former section 5104 and renumbering of former section 5113 to section 5104, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5105. Written Argument and Briefs.
Note     •     History

(a) A party who files a board appeal, also known as a board appellant, has the right to file written argument. Except as otherwise provided by this rule or specified by the agency, written argument shall be filed and served at the same time as the board appeal is filed.
(b) A board appellant has the right to request a copy of all or part of the record for the purpose of filing written argument. Such request for a copy of the record shall be made and served at the same time the board appeal is filed. If a copy of the record is provided pursuant to this section, the board appellant may file and serve written argument within 12 days after the agency sends it the record, or within such other time as the agency may specify. 
(c) If the agency extends the time to file a board appeal, the time to file written argument shall also be extended to the same date the board appeal is filed. If the agency extends the time to file a board appeal, the time to request a copy of the record shall also be extended to the same date the board appeal is filed.
(d) A party who responds to a board appeal, also known as a board respondent, may file and serve written argument only if authorized by the agency. Prior to modifying or reversing the results of the administrative law judge's decision, the agency shall serve a copy of the record and authorize a board respondent to file written argument. If authorized, the board respondent may file and serve written argument within 12 days after the agency sends it the record, or within such other time the agency may specify.
(e) Notwithstanding (d) above, the board may correct a clerical error in a decision or order of an administrative law judge, or set aside the order or decision, without serving a copy of the record or authorizing a board respondent to file written argument.
(f) Any person may apply for permission to file a brief as a friend of the board. If granted, any such brief shall be filed and served in accordance with instructions of the board.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5114 to section 5105, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). For prior history of section 5105, see Register 85, No. 26.
2. Amendment of subsections (a) and (b), new subsections (c)-(e) and subsection relettering filed 5-12-2010; operative 6-11-2010 (Register 2010, No. 20).
§5106. Oral Argument.
Note     •     History

(a) The board may grant oral argument on its own motion, or on the application of a party filed and served no later than the time the party's written argument must be filed. The agency shall serve at least 10 days' notice of the time and place of oral argument.
(b) An oral argument in any proceeding before the board may be heard by one or more board members. A board member not present at an oral argument shall not participate in the decision of the board unless that member reviews the audiovisual record or transcript of the oral argument.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Repealer of former section 5106 and renumbering of former section 5115 to section 5106, including amendment of section and new Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5107. Basis for Decision.
Note     •     History

A board appeal shall be decided upon the evidence of record in the proceeding, matters officially noticed in the proceeding, the case register, any new or additional evidence admitted by the board, and any written or oral argument before the board
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Renumbering of former section 5107 to new section 5100, and renumbering of former section 5116 to section 5107, including amendment of section and new Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5108. Decision.
Note     •     History

(a) The board decision shall set forth the issue, the findings of facts, the reasons for decision, the decision, and the date served.
(b)  A decision of a panel is the decision of the board, unless any board member requests that the case be considered and decided by the board acting as a whole. A decision of the board acting as a whole shall be adopted by a motion duly made and passed by a majority vote at a meeting of the board as a whole, and shall be recorded in the minutes of that meeting. 
(c) The agency shall promptly serve the board decision.
(d) After a decision of the board has become final, the matter shall not be reopened, reconsidered, or reheard and the decision shall not be changed except to correct a clerical error; provided, however, the board, acting as a whole, may on its own motion reconsider a previously issued decision solely to determine whether or not all or part of such decision shall be designated as a precedent decision. 
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Renumbering of former section 5108 to new section 5101, and renumbering of former section 5117 to section 5108, including amendment of section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
4. Change without regulatory effect amending subsection (a) filed 4-19-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 16).
§5109. Precedent Decision.
Note     •     History

(a) A majority of the board acting as a whole may designate all or part of a decision as a precedent decision if it contains a significant legal or policy determination of general application that is likely to recur.
(b) A legal or policy determination is significant if it establishes a new rule of law or policy, resolves an unsettled area of law, or overrules, modifies, refines, clarifies, or explains a prior precedent decision.
(c) A legal or policy determination is of general application if the facts are sufficiently common to give guidance to future cases, clearly illuminate the legal or policy determination, and are significant to the parties, the public, the taxpayers, or the operation of the department or the agency.
(d) A legal or policy determination is likely to recur if it is of continuing public interest because of the frequency or the ongoing likelihood of occurrence.
(e) A precedent decision shall be clearly identified as such and published in such a manner as to make it available for public use. Information identifying any party, except the party's name, shall be removed prior to publication.
(f) The agency shall maintain an index of significant legal and policy determinations made in precedent decisions, in accordance with the requirements of Government Code section 11425.60.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment of subsections (a) and (c) and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
3. Renumbering of former section 5109 to new section 5102 and new section 5109 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5110. Ex Parte Communications.
Note     •     History

(a) Except as provided in this rule, after a board appeal is filed or a proceeding is otherwise initiated before the board, and while the proceeding is pending, there shall be no direct or indirect communication regarding any issue in the proceeding to any board member from any party or interested person, without notice and the opportunity for all parties to participate in the communication.
(b) A communication made on the record is permissible.
(c) A document that is filed and served is permissible.
(d) A communication concerning a matter of procedure or practice is presumed to be permissible, unless the topic of the communication appears to the board member to be controversial in the context of the specific case. If so, the board member shall so inform the other participant and may terminate the communication or continue it until after giving all parties notice and opportunity to participate. Any written communication concerning a matter of procedure or practice, and any written response, or a written memorandum identifying the participant and stating the substance of any such oral communication or response, shall be added to the case file. Unless otherwise provided in the code or these rules, the board may determine a matter of procedure or practice based upon a permissible ex-parte communication. The term “matter of procedure or practice” shall be liberally construed.
(e) A communication permitted under Government Code section 11430.30 is permissible.
(f) While a proceeding is pending before the board, there shall be no communication, direct or indirect, regarding the merits of any issue in the proceeding, between any administrative law judge serving as presiding officer in the proceeding and any board member. This prohibition does not apply where a board member serves as presiding officer, or where the administrative law judge does not issue a decision in the proceeding.
(g) If a board member receives a communication in violation of this rule, he or she shall comply with the requirements of Government Code section 11430.50.
(h) If, before a proceeding is pending before the board, a board member receives a communication of a type that would be in violation of this rule if received while the proceeding was pending, the board member, promptly after the proceeding becomes pending, shall comply with the requirements of Government Code section 11430.50.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Repealer of former section 5110 and renumbering of former section 5122 to section 5110, including amendment of section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5111. Disqualification of Board Member.
Note     •     History

(a) A board member is subject to disqualification in a proceeding on the following grounds: 
(i) for bias, prejudice, or interest in the proceeding as defined by Government Code section 11425.40; 
(ii) for receipt of an impermissible ex-parte communication under rule 5112, the effect of which cannot be eliminated under that rule; or 
(iii) to maintain the separation of the adjudicative function from the investigative, prosecutorial, and advocacy functions as required by Government Code section 11425.30; or
(iv) for any of the grounds specified in Code of Civil Procedure section 170.1.
(b) A board member who is subject to disqualification shall voluntarily disqualify himself or herself from a proceeding, unless all parties waive the disqualification. A disqualification may not be waived if it is for bias or prejudice, if the member has been a material witness concerning the proceeding, if the disqualification is required by Government Code section 11425.30, or if waiver is otherwise prohibited by law.
(c) A party may apply for disqualification of a board member by filing and serving, within 10 days after service of a board appeal or notice of removal, an affidavit specifying the grounds upon which it is claimed that the board member is subject to disqualification. A board member is disqualified from a proceeding if it is determined upon such an application that the board member is subject to disqualification. The application shall be decided by the other members of the board acting as a whole. If a member of a panel to whom a case is assigned withdraws or is disqualified, the chairperson shall assign another member to the panel.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code. Reference: Sections 1951, 2712 and 3262, Unemployment Insurance Code.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Repealer of former section 5111 and renumbering of former section 5118 to section 5111, including amendment of section heading, section and Note, filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5112. Withdrawal of Appeal. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Sections 5000, 5104, 5027 and 5104, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
4. Renumbering of former section 5112 to new section 5103 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5113. Dismissal of Late Appeal. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Section 5000, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 5-14-76; effective thirtieth day thereafter (Register 76, No. 20).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
4. Renumbering of former section 5113 to new section 5104 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5114. Oral Argument and Briefs. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Section 5000, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
3. Renumbering of former section 5114 to new section 5105 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5115. Oral Argument. [Renumbered]
History

HISTORY

1. Renumbering of former section 5115 to new section 5106 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5116. Basis for Decision. [Renumbered]
History

HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Editorial correction (Register 84, No. 9).
3. Renumbering of former section 5116 to new section 5107 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5117. Decision. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 11425.10, 11425.60 and 11440.20, Government Code; Sections 408, 409 and 1952, Unemployment Insurance Code; and Section 5000, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Amendment of subsection (h) filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Order of Repeal of subsections (b-e) and (g) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
5. Amendment filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 31).
6. Amendment of section and Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
7. Renumbering of former section 5117 to new section 5108 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5118. Disqualification of Member. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 11425.10(a)(5), 11425.30, 11425.40, 11430.30-11430.80 and 11440.20, Government Code; and Sections 5000, 5046, 5114 and 5122, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
4. Renumbering of former section 5118 to new section 5111 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5119. Records of Proceedings and Exhibits. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 411, Unemployment Insurance Code. Reference: Sections 1223. 1334, 1336, 1377, 2702.2, 2737, 3262, 3655 and 5310, Unemployment Insurance Code.
HISTORY

1. Repealer and new section filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Repealer and new section, including new Note, filed 4-14-97; operative 5-14-97 (Register 97, No. 16).
3. Renumbering of former section 5119 to new section 5010 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5120. Fees of Agent. [Repealed]
History

HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5121. Representation in a Proceeding. [Repealed]
History

HISTORY

1. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5122. Ex Parte Communications. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Sections 11415.10, 11425.10, 11430.10-11430.80 and 11455.10, Government Code; Section 1952, Unemployment Insurance Code; and Section 5118, Title 22, California Code of Regulations.
HISTORY

1. New section filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
2. Renumbering of former section 5122 to new section 5110 filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5160. Form of Appeal. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Sections 1951 and 1952, Unemployment Insurance Code; and Sections 5000 and 5163, Title 22, California Code of Regulations.
HISTORY

1. Renumbering of Article 4 (Sections 5160-5168) from Article 5 filed 5-14-76 (Register 76, No. 20).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
3. Renumbering of former Section 5161 to Section 5160 filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 31).
4. Amendment of section and Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
5. Repealer of article 2 (sections 5160-5168) and section filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5161. Form of Appeal. [Repealed]
History

HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
3. Renumbering of Section 5161 to Section 5160 filed 7-22-86; effective thirtieth day thereafter (Register 86, No. 31).
4. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5162. Contents of Appeal. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Section 5000, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 5-14-76; effective thirtieth day thereafter (Register 76, No. 20).
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
5. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5163. Filing Appeal or Application. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Sections 5000, 5160 and 5102, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
2. Amendment of section heading, section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
3. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5164. Hearing. [Repealed]
History

HISTORY

1. Amendment filed 5-14-76; effective thirtieth day thereafter (Register 76, No. 20).
2. Amendment filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5165. Oral and Written Argument. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Sections 5000 and 5114, Title 22, California Code of Regulations.
HISTORY

1. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
2. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5166. Dismissal of Appeal. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 11440.20, Government Code; Section 1952, Unemployment Insurance Code; and Section 5000, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 5-14-76; effective thirtieth day thereafter (Register 76, No. 20).
2. Amendment of subsection (a) filed 4-5-77; effective thirtieth day thereafter (Register 77, No. 15).
3. Amendment of subsection (b) filed 7-21-78; effective thirtieth day thereafter (Register 78, No. 29).
4. Amendment of subsection (b) and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
5. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5167. Decision. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11400.20 and 11400.21, Government Code; and Sections 411, 1951, 2712 and 3262, Unemployment Insurance Code. Reference: Section 5117, Title 22, California Code of Regulations.
HISTORY

1. Amendment filed 12-20-67; effective thirtieth day thereafter (Register 67, No. 51).
2. Amendment of section and new Note filed 5-30-97; operative 7-1-97. Interim procedural regulations submitted to OAL for printing only pursuant to Government Code section 11400.21 (Register 97, No. 22).
3. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
§5168. Transcripts and Exhibits. [Repealed]
History

HISTORY

1. Repealer filed 2-4-99; operative 3-6-99 (Register 99, No. 6). 
Chapter 4. California Unemployment Insurance Appeals Board--Conflict of Interest Code
NOTE: It having been found, pursuant to Government Code Section 11409(a), that the printing of the regulations constituting the Conflict of Interest Code is impractical and these regulations being of limited and particular application, these regulations are not published in full in the California Code of Regulations. The regulations are available to the public for review or purchase at cost at the following locations:

CALIFORNIA UNEMPLOYMENT INSURANCE APPEALS BOARD
2400 VENTURE OAKS WAY, SUITE 300
SACRAMENTO, CALIFORNIA  95833

FAIR POLITICAL PRACTICES COMMISSION
428 J STREET, SUITE 620
SACRAMENTO, CALIFORNIA 95814

ARCHIVES
SECRETARY OF STATE
1020 “O” STREET
SACRAMENTO, CALIFORNIA 95814

The Conflict of Interest Code is designated as Chapter 4, Subdivision 2, Division 1 of Title 22 of the California Code of Regulations, and consists of sections numbered and titled as follows:

Chapter 4. California Unemployment Insurance Appeals Board--
Conflict of Interest Code

	Section
	5200.	General Provisions
		Appendix
NOTE

Authority cited: Sections 87300 and 87304, Government Code. Reference: Section 87300 et seq., Government Code.
HISTORY

1. New chapter 4 (sections 5200-5208) filed 4-5-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 1-21-77 (Register 77, No. 15).
2. Repealer of chapter 4 (article 1, sections 5200-5208) and new chapter 4 (section 5200 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
3. Change without regulatory effect amending Appendix filed 3-24-94; operative 4-25-94. Submitted to OAL for printing only. Approved by Fair Political Practices Commission 2-22-94 (Register 94, No. 12).
4. Amendment of Appendix filed 2-3-98; operative 3-5-98. Submitted to OAL for printing only. Approved by Fair Political Practices Commission 12-2-97 (Register 98, No. 6).
5. Change without regulatory effect amending addresses for the California Unemployment Insurance Appeals Board and the Fair Political Practices Commission filed 3-23-2004; operative 4-22-2004. Submitted to OAL for printing only. Approved by the Fair Political Practices Commission on 1-22-2004  (Register 2004, No. 13). 
6. Amendment of the conflict of interest code (section and Appendix) filed 3-23-2004; operative 4-22-2004. Submitted to OAL for filing only. Approved by the Fair Political Practices Commission on 1-22-2004  (Register 2004, No. 13). 
Chapter 5. California Unemployment Insurance Appeals Board -- Nepotism
§5300. Nepotism.
Note     •     History

The California Unemployment Insurance Appeals Board (CUIAB) may not discriminate in its employment and personnel actions on the basis of marital or familial status. Notwithstanding this policy, the CUIAB retains the right to refuse to appoint a person to a position within the agency, or a particular subdivision thereof, wherein his/her relationship to another employee has the potential for creating adverse impact on supervision, security or morale, or involves a potential conflict of interest. The Chair of the CUIAB, or his or her authorized representative, shall have the authority and responsibility for determining if such a potential for adverse impact exists.
This policy applies to individuals who are related by blood, marriage, domestic partnership, or adoption, and includes the following relationships: spouse, domestic partner, child, step-child, parent, stepparent, grandparent, grandchild, brother, sister, half-brother, half-sister, aunt, uncle, niece, nephew, parent-in-law, daughter-in-law, son-in-law, brother-in-law and sister-in-law. In implementing this policy, it is lawful to ask an applicant to state whether he or she has a spouse or relative as defined in this policy who is presently employed by the CUIAB, but such information may not be used as a basis for an employment decision except as stated herein.
When two existing employees marry or register as domestic partners, and a determination has been made that the potential for creating adverse impact as described above exits, the CUIAB shall make reasonable efforts to minimize problems of supervision, security or morale through reassignment of duties, relocation or transfer.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code.
HISTORY

1. New chapter 5 (section 5300) and section filed 5-12-2010; operative 6-11-2010 (Register 2010, No. 20).
Chapter 6. California Unemployment Insurance Appeals Board -- Employment of Board Member
§5400. Employment of Board Member.
Note     •     History

Except as otherwise provided by law, it is the policy of this Board that no appointed member shall be eligible to serve in any civil service position at the California Unemployment Insurance Appeals Board for one year from the day the member last served as an appointed member.
NOTE

Authority cited: Section 11400.20, Government Code; and Section 411, Unemployment Insurance Code.
HISTORY

1. New chapter 6 (section 5400) and section filed 5-12-2010; operative 6-11-2010 (Register 2010, No. 20).
Division 1.8. California Department of Aging
Chapter 1. California Department of Aging--Conflict of Interest Code
NOTE: It having been found, pursuant to Government Code section 11409(a), that the printing of regulations constituting the Conflict of Interest Code is impractical and these regulations being of limited and particular application, these regulations are not published in full in the California Code of Regulations. The regulations are available to the public for review or purchase at cost at the following locations:

CALIFORNIA DEPARTMENT OF AGING
1300 NATIONAL DRIVE, # 200
SACRAMENTO, CA 95834

FAIR POLITICAL PRACTICES COMMISSION
428 “J” STREET, SUITE 620
SACRAMENTO, CA 95814

ARCHIVES
SECRETARY OF STATE
1020 “O” STREET
SACRAMENTO, CA 95814
The Conflict of Interest Code is designated as chapter 1, division 1.8 of title 22 of the California Code of Regulations, and consists of sections numbered and titled as follows:

Chapter 1. Department of Aging--Conflict of Interest Code

	Section
	7000.	General Provisions
		Appendix
NOTE

Authority cited: Sections 87300 and 87304, Government Code. Reference: Sections 87300, et seq., Government Code.
HISTORY

1. Recodification of division 1.8 (sections 7210-7216 and 7400-7406) into title 9, chapter 3. For prior history, see Registers 77, No. 17 and 77, No. 42 (Register 78, No. 41).
2. New division 1.8, chapter 1 (sections 7000-7006, appendices A and B) filed 9-7-79; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 8-8-79 (Register 79, No. 36).
3. Repealer of chapter 1 (sections 7000-7006) and new chapter 1 (section 7000 and appendix) filed 2-26-80; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9).
4. Editorial correction filed 10-14-83 (Register 83, No. 42).
5. Amendment of section and appendix filed 6-18-91; operative 7-18-91. Approved by Fair Political Practices Commission 5-3-91 (Register 91, No. 35).
6. Amendment of Appendix filed 2-14-96; operative 3-15-96. Approved by Fair Political Practices Commission 12-18-95 (Register 96, No. 7).
7. Amendment of division heading filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
8. Amendment of addresses and following paragraph filed 8-21-2002; operative 9-20-2002. Approved by Fair Political Practices Commission 8-14-2002 (Register 2002, No. 34).
9. Amendment of general provisions, section and Appendix filed 2-23-2010; operative 3-25-2010. Approved by Fair Political Practices Commission 12-24-2009  (Register 2010, No. 9). 
Chapter 2. Title III Programs -- Definitions
§7100. Definitions--General.
Note     •     History

The definitions in this chapter shall apply to Chapters 3 through 5 of this division unless the context requires otherwise.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9102 and 9105, Welfare and Institutions Code.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11). (For Chapter 2 history see section 7105, History 1.)
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7102. Abbreviations.
Note     •     History

The following abbreviations shall apply to Chapters 3 through 5 of this division.
AAA. Area Agency on Aging
PSA.  Planning and Service Area
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9102 and 9105, Welfare and Institutions Code.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7105. Area Agency on Aging (AAA).
Note     •     History

“Area Agency on Aging (AAA)” means an identifiable private nonprofit or public agency designated by the Department of Aging which works for the interests of older Californians within a PSA. This agency engages in community planning, coordination and program development, and, through contractual arrangements, provides a broad array of social and nutritional services.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9006, Welfare and Institutions Code; 42 U.S.C. 3002(17).
HISTORY

1. New Chapter 2, new section heading, renumbering of former subsection 8502(d) to new section 7105 and new Note filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
3. Editorial correction (Register 99, No. 2).
§7107. Baseline Allocation.
Note     •     History

“Baseline Allocation” means the July 1 allocation for each federal program. 
NOTE

Authority cited: Section 9105, Welfare and Institutions Code. Reference: Sections 9100, 9106, 9112 and 9719.5, Welfare and Institutions Code; and 42 U.S.C. 3025(a)(2)(C), 3028, 3030a, 3030s-1 and 3058a. 
HISTORY

1. New section filed 1-8-2008; operative 2-7-2008 (Register 2008, No. 2).
§7110. Commissioner or Assistant Secretary.
Note     •     History

“Commissioner or Assistant Secretary” means the Commissioner or the Assistant Secretary of the United States Administration on Aging.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3002(2).
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7112. Comprehensive Assessment.
Note     •     History

“Comprehensive Assessment” means an evaluation of a person`s physical, psychological, and social needs, financial resources, and the strengths and weaknesses of the informal support system and the immediate environment as a basis for determining the current functional ability and potential improvement in order to develop the appropriate services needed to maximize functional independence.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code.  Reference: Section 9007(a), Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7115. Department.
Note     •     History

“Department” means the California Department of Aging.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9011, Welfare and Institutions Code.
HISTORY

1. New section heading, renumbering of former subsection 8502(f) to new section 7115 and new Note filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7117. Director.
Note     •     History

“Director” means the Director of the California Department of Aging.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9102, Welfare and Institutions Code.
HISTORY

1. New section heading, renumbering of former subsection 8502(h) to new section 7117 and new Note filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7118. Encumbered.
Note     •     History

“Encumbered” means legally obligated in the form of purchase orders, contracts, or salary commitments which are chargeable to an appropriation and for which a part of an appropriation is reserved. 
NOTE

Authority cited: Section 9105, Welfare and Institutions Code. Reference: Sections 9100, 9106, 9112 and 9719.5, Welfare and Institutions Code; and 42 U.S.C. 3025(a)(2)(C), 3028, 3030a, 3030s-1 and 3058a. 
HISTORY

1. New section filed 1-8-2008; operative 2-7-2008 (Register 2008, No. 2).
§7119. Frail.
Note     •     History

“Frail” means that an older individual is determined to be functionally impaired because the individual either:
(a) Is unable to perform at least two activities of daily living, including bathing, toileting, dressing, feeding, breathing, transferring and mobility and associated tasks, without substantial human assistance, including verbal reminding, physical cueing or supervision.
(b) Due to a cognitive or other mental impairment, requires substantial supervision because the older individual behaves in a manner that poses a serious health or safety hazard to the individual or to others.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3002(28).
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Change without regulatory effect repealing subsection (a) designator from first paragraph, redesignating former subsections (a)(1) and (a)(2) to new subsections (a) and (b), respectively, and amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7125. Greatest Economic Need.
Note     •     History

“Greatest economic need” means having income at or below the federal official poverty line defined by the federal Bureau of the Census and published annually by the Department of Health and Human Services.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9014, Welfare and Institutions Code; 42 U.S.C. 3002(29) and (41) and 42 U.S.C. 9902(2).
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7127. Greatest Social Need.
Note     •     History

(a) “Greatest social need” means the need caused by noneconomic factors which include any of the following:
(1) Physical and mental disabilities.
(2) Language barriers.
(3) Cultural, social, or geographical isolation, including isolation caused by racial or ethnic status, that does either of the following:
(A) Restricts the ability of an individual to perform normal daily tasks.
(B) Threatens the capacity of an individual to live independently.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9015, Welfare and Institutions Code; 42 U.S.C. 3002(30).
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7130. Minority.
Note     •     History

“Minority” means an ethnic person of color who is any of the following:
(a) Black -- a person having origins in any of the Black racial groups of Africa.
(b) Hispanic -- a person of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish or Portugese culture or origin regardless of race.
(c) Asian/Pacific Islander -- a person whose origins are from India, Pakistan or Bangladesh, Japan, China, Taiwan, Korea, Vietnam, Laos, Cambodia, the Philippines, Samoa, Guam, or the United States Trust Territories of the Pacific including the Northern Marianas.
(d) American Indian/Alaskan Native -- an American Indian, Eskimo, Aleut, or Native Hawaiian.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9111(f), Welfare and Institutions Code; 42 U.S.C. 3025(b).
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect repealing subsection (a) designator from first paragraph, redesignating former subsections (a)(1)-(a)(4) to new subsections (a)-(d), respectively, and amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7132. Multipurpose Senior Center (MPSC).
Note     •     History

“Multipurpose Senior Center (MPSC)” means a community facility for the organization and provision of a broad spectrum of services, including but not limited to the provision of health, mental health, social, nutritional, and educational services and recreational activities for older individuals.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3002(35).
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§7135. Older Individual.
Note     •     History

“Older individual” means a person who is 60 years of age or older.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9018, Welfare and Institutions Code; 42 U.S.C. 3002(38).
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7140. Planning and Service Area (PSA).
Note     •     History

“Planning and Service Area (PSA)” means a geographical area, the boundaries of which are determined by the Department pursuant to federal law and regulation. The Department allocates funds to an AAA to provide services to older individuals residing within a specific PSA.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9020, Welfare and Institutions Code; 42 U.S.C. 3002(40).
HISTORY

1. New section heading, renumbering of former subsection 8502(k) to new section 7140 and new Note filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7145. State Hearing.
Note     •     History

“State hearing” means an appeal to the Department in accordance with Chapter 5.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025 and 3026.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7147. Supportive Services.
Note     •     History

“Supportive services” means services which maintain individuals in home environments and avoid institutional care.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9022, Welfare and Institutions Code; 42 U.S.C. 3026(a)(4).
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7150. Title III Programs.
Note     •     History

“Title III programs” means those services funded under Title III of the Older Americans Act of 1965, as amended (42 U.S.C. 3021 through 3030r).
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9017, Welfare and Institutions Code.
HISTORY

1. New section heading, renumbering of former subsection 8502(m) to new section 7150 and new Note filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7155. Unit of General Purpose Local Government.
Note     •     History

“Unit of general purpose local government” means either:
(a) A political subdivision of the State the authority of which is general and not limited to only one function or combination of related functions.
(b) An Indian tribal organization.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3022(2).
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect repealing subsection (a) designator from first paragraph, redesignating former subsections (a)(1)-(a)(2) to new subsections (a)-(b), respectively, and amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Chapter 3. Title III Programs--PSAs and AAAs
Article 1. Designation of PSAs and AAAs
§7200. Designation of PSAs--General.
Note     •     History

(a) The Department shall divide the State of California into distinct PSAs. The factors to be considered in designating a PSA shall include all of the following:
(1) As determined from statistics provided by the Department of Finance Census Tables:
(A) The geographical distribution of older individuals in the State.
(B) The distribution of older individuals who have the greatest economic need, with particular attention to low-income minority individuals. For the purposes of this subsection and subsection (C), low-income shall have the same meaning as greatest economic need.
(C) The distribution of older individuals who have the greatest social need, with particular attention to low-income minority individuals.
(D) The distribution of older individuals who are Native Americans.
(2) As determined by the needs assessment conducted by the AAAs as part of the area planning process:
(A) The unmet need for supportive services, including multipurpose senior centers and legal assistance, and nutrition services which shall be determined by comparing the need for such services and centers to the distribution of resources available to provide the services or centers.
(B) The boundaries of existing areas within the State which are drawn for the planning or administration of the services specified in (A).
(C) The location of units of general purpose local government within the State.
(3) Any other relevant factors.
(b) The Department shall provide for application for PSA designation in accordance with Section 7202 and, while developing the State plan, shall consider the need to establish a new PSA in accordance with Section 7204.
(c) In determining whether or not to designate a multicounty PSA, the Department shall take into consideration such factors as:
(1) Whether the entities within the proposed multicounty PSA have demonstrated past successful utilization of joint powers or other mutual agreements between and among the counties involved.
(2) Whether the entities within the proposed multicounty PSA have demonstrated the capability to provide services across county borders, including whether regional services are now in place.
(3) Whether access to a proposed service delivery system is feasible within the natural geographic formations and transportation corridors which exist in the proposed PSA.
(4) The fiscal impact of such a designation.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025(b).
HISTORY

1. New article 1 (sections 7200-7212) and section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Editorial correction placing Article 1 in Chapter 3  of Division 1.8 (Register 96, No. 20).
3. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7202. Application for PSA Designation.
Note     •     History

(a) The Department shall provide an opportunity to apply for PSA designation to any of the following:
(1) Any unit of general purpose local government.
(2) Any region within the State which includes one or more units of general purpose local government.
(3) Any region within the State recognized for area wide planning.
(4) A metropolitan area.
(5) An Indian reservation.
(b) An applicant requesting PSA designation shall submit a written request to the Director containing all of the following information:
(1) The demographics specified in Section 7200(a), except that the demographics shall be specific to the proposed PSA rather than the entire State.
(2) The boundaries of the proposed PSA.
(3) An explanation of the applicant's rationale for requesting the proposed PSA designation. The rationale shall be supported by the information specified in (1) and shall include all of the following:
(A) A statement of the existing problem(s) in the provision of services to older individuals within the PSA.
(B) A description of how the designation of a new PSA will alleviate or lessen the existing problem(s) identified in (A).
(C) The effect the designation of the new PSA will have on older individuals residing in other PSAs that will be directly affected.
(4) Documentation that the applicant qualifies as one of the entities specified in (a). Such documentation shall include, but not be limited to:
(A) A resolution approved and signed by the County Board of Supervisors, or County Boards of Supervisors, if more than one county is applying jointly.
(B) Evidence, if any, of any of the following:
1. That the area has been formally aligned in the past for purposes of area wide planning.
2. Local efforts in regional planning.
3. Geographical boundaries drawn by other government programs for service areas.
(C) Copies of articles of incorporation or charter that have been formally adopted or have been publicly noticed for adoption that indicate an alignment for area wide planning.
(D) Evidence that the applicant has been recognized by a federal or state government agency as a metropolitan area.
(5) An administrative plan for the transition to a new PSA including both of the following:
(A) The methodology for the establishment of a comprehensive coordinated service delivery system.
(B) A demonstration of the commitment of local providers and financial resources that assures the existing levels of service will be maintained and the unmet service needs identified pursuant to Section 7200(a) (2) (A) will be reduced.
(c) Upon the request of an applicant that is a unit of general purpose local government which has a population of 100,000 or more, the Department shall hold a public hearing to gather evidence regarding the feasibility of the application prior to making a decision to deny or preliminary grant the application, providing the request is made within 30 days of the date of application. The public hearing procedures specified in Section 7204(a)(1) shall apply.
(d) The Department shall act on an application for PSA designation within ninety days from the date that the application is received. Taking into consideration the factors specified in Section 7204(a)(1) the Department shall take one of the following actions:
(1) Deny the application. If the application is denied, the Department shall send the applicant notification in accordance with Section 7706.
(2) Notice its intent to grant the application. In this instance, the provisions specified in Section 7204 shall apply.
(3) Notify the applicant in writing of any additional information the Department needs in order to make a final determination. In this instance, the Department shall have 90 days from the date on which the additional information is received to act on the application.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025; and 45 CFR 1321.29.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7204. Change of PSA Designation.
Note     •     History

(a) Upon intending to grant an application for PSA designation pursuant to Section 7202 or upon its own determination that the demographics or the needs specified in Section 7200 have changed to such a degree to warrant a change in PSA boundaries, the Department shall:
(1) Schedule and conduct a public hearing in accordance with the following:
(A) Notice of the public hearing shall:
1. Include all of the following:
a. A description of the proposed action and a statement of the need for the proposed action.
b. The time, date and location of the hearing.
2. Be both:
a. Advertised thirty days prior to the date of the public hearing in the local newspaper with the largest circulation in the geographical area affected.
b. Mailed to all AAAs in the State and units of general purpose local government in the area affected.
(B) The public hearing shall be conducted in a facility which is both:
1. Centrally located in the geographical area affected.
2. Accessible to individuals with disabilities.
(C) A representative from the Department shall be present to receive and record testimony from the public related to the proposed change in PSA designation.
(2) Review all relevant data, including the testimony from the public hearing, and make its decision on whether to change PSA boundaries taking into consideration the impact such a change would have on both of the following:
(A) Services to older individuals residing in the affected PSAs.
(B) The administration of the Department's programs throughout the State, including the effect on other AAAs in the State and other counties that will be directly affected.
(3) Notify the affected entities of the Department's decision by both of the following:
(A) Publishing the decision in the local newspaper with the largest circulation in the geographical area affected.
(B) Mailing a copy of the decision to all AAAs in the State and units of general purpose local government in the area affected, and the applicant, if any. The notice to the applicant shall include the information specified in Section 7706.
(b) Upon designation of new PSA boundaries, all AAAs in the PSAs affected shall automatically become provisionally designated and continue to provide services to older individuals until new AAAs have been designated and granted funds.
(c) Notwithstanding (b), to minimize the disruption of services, the Department may elect to announce its decision to designate a new PSA, but withhold final PSA designation until one AAA is designated in each PSA and awarded a grant.
(d) Any applicant denied PSA designation may appeal the Department's decision in accordance with Chapter 5.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025; and 45 CFR 1321.29.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7206. Designation of AAAs.
Note     •     History

(a) The Department shall designate one AAA within each PSA to which to allocate funds. The AAA, under its subgrant award agreement with the Department, shall have the ultimate accountability for funds received from the Department and the responsibility for ensuring the effective and efficient implementation of the Area Plan.
(b) An AAA shall:
(1) Be one of the entities specified in 42 U.S.C. 3025(c).
(2) Shall identify itself to the public as an AAA.
(3) Engage only in activities which are consistent with federal law and the Department's regulations.
(c) When the Department intends to designate an AAA, the following provisions shall apply:
(1) The Department first shall offer designation to a unit of general purpose local government in the PSA providing the conditions specified in (b) exist and the boundaries of the unit and the boundaries of the PSA are reasonably contiguous.
(2) If the unit specified in (1) refuses designation, the Department shall designate an interested public or private nonprofit entity as the AAA in accordance with (d) through (g).
(d) At least 30 days prior to the application filing date, the Department shall take both of the following actions:
(1) Send written notification to all units of general purpose local government and to all public or private nonprofit agencies involved in serving older individuals in the PSA. The notice shall specify all of the following:
(A) The Department's intent to designate an AAA.
(B) A description of the PSA's geographic boundaries.
(C) In general terms, the federally mandated responsibilities of an AAA.
(D) The final date by which interested parties may obtain a detailed request for proposal from the Department.
(2) Publish notice of its intention to designate an AAA in the local newspaper with the largest circulation in the PSA.
(e) After the period specified in (d), interested parties shall have 60 days in which to submit a detailed proposal. The detailed proposal shall contain specific information regarding the applicant's ability to fulfill the federally mandated requirements of an AAA and sufficient documentation for the Department to make a determination that the entity would be able to successfully function as an AAA. Such documentation shall include, but not be limited to, all of the following:
(1) Financial records demonstrating the capability to provide programs for older individuals.
(2) A description of the organizational structure demonstrating the ability to manage programs for older individuals and to comply with 45 CFR 1321.55.
(3) A physical description of the facility demonstrating all of the following:
(A) Accessibility to older individuals with disabilities.
(B) Space sufficient to accommodate the numbers of older individuals who will be utilizing the facility's programs.
(C) Convenience and central location to the population that will be served.
(4) A description of the number and qualifications of the staff demonstrating that the staff is adequate in number and trained to administer programs for older individuals and to comply with 45 CFR 1321.55.
(5) Additional information to demonstrate that the entity has all of the following:
(A) The ability to meet all of the assurances required by federal law.
(B) Visibility to be recognized for its leadership role by the residents in the PSA.
(C) An organizational level of autonomy which permits it to make significant impact on all programs affecting older individuals in the PSA and to carry out its planning and advocacy functions.
(f) During the 60 day period specified in (e), the Department shall take both of the following actions:
(1) Solicit the views on the Department's intent to designate a new AAA from units of general purpose local government in the PSA.
(2) Conduct a public hearing using the procedures specified in Section 7204(a)(1) to obtain public input on the Department's intent to designate a new AAA.
(g) Within 30 days of the end of the period specified in (e), the Department shall review the proposals it has received and announce its intent to designate in accordance with the following:
(1) An on-site review of the entity shall be conducted if the documentation submitted in the proposal and the public input from the public hearing is insufficient or inconsistent.
(2) The Department shall select the entity that has demonstrated, pursuant to the criteria in the request for proposal, the best ability to comply with federal requirements and provide services to older individuals, taking into account the views offered by units of general purpose local government and the public input received at the public hearing. Preference shall be given to an established office on aging unless it cannot demonstrate the capacity to carry out federal requirements.
(h) An applicant who is denied AAA designation may appeal the adverse determination using the State hearing process specified in Chapter 5.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9006, Welfare and Institutions Code, 45 CFR 1321.53, 1321.55 and 1321.61, and 42 U.S.C. 3025.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7208. Withdrawal of Support from an AAA Serving a Multicounty PSA.
Note     •     History

(a) When a member county(ies) within a multicounty PSA indicates by a County Board of Supervisors' resolution the intention to withdraw total support from the AAA serving the PSA, the AAA shall take all of the following actions:
(1) As quickly as possible, notify:
(A) The County Board of Supervisors of the withdrawing county(ies) of the loss of decision-making power over AAA functions in its county(ies).
(B) The AAA's contractors within the county(ies) of the county's(ies') decision and of the AAA's obligation to continue to provide for the administration of services within the PSA.
(2) Within 21 days after receipt of notification of the county's(ies') intention to withdraw, develop a written plan to cope with the effects of the loss of support.
(3) After the development of the plan pursuant to (2), conduct a public hearing on the plan in each county within the PSA, giving the public at least 30 days advance notice of the date, time and location of the hearing. The dates of the hearings shall be established and the public notified within 10 days after the development of the plan pursuant to (2).
(4) Within 15 days after the public hearings conducted pursuant to (3), submit a final written plan, to the extent feasible taking into account the testimony collected at the public hearings, to the Department for approval.
(b) If an AAA determines that it cannot comply with the time frames specified in (a) (2) through (4), an extension may be granted by the Department with its justification for the extension along with the time frames in which the activities specified in (a) (2) through (4) will occur. Any request for an extension shall be submitted to the Department no later than three working days prior to the last day that any activity specified in (a) (2) through (4) must occur.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a) (1).
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7210. Voluntary Termination of AAAs' Grant Agreements.
Note     •     History

(a) An AAA's grant agreement with the Department may be voluntarily terminated prior to its expiration only under either of the following circumstances:
(1) By the Department with the consent of the AAA. In this case the two parties shall agree upon the termination conditions, including the effective date of the termination. Absent agreement, the voluntary termination shall not occur.
(2) By the AAA upon 30 days written advance notification to the Department. The notification shall include both of the following:
(A) The reasons for requesting the termination.
(B) The effective date of the termination.
(b) When a grant agreement is terminated, the following procedures shall apply:
(1) The AAA shall:
(A) Not incur new obligations after the effective date of the termination.
(B) Cancel as many outstanding obligations as possible.
(2) The Department shall:
(A) Allow full credit to the AAA for the federal share of the noncancelable obligations properly incurred by the AAA prior to the effective date of the termination.
(B) Make payment to cover unavoidable costs related to closeout and termination, such as the preparation of settlement claims for the Department and the termination and settlement of subgrant agreements.
(C) Transfer the contracts managed by the AAA to the Department or another agency in the PSA to provide continuity of services for older individuals in the PSA. The duration of the transferred contracts shall not exceed 180 days, unless a federal extension is received.
(D) Provide directions for protecting, preserving, and/or disposing of the AAA's records, equipment, and supplies.
(E) Request final program and fiscal reports from the former AAA.
(F) Begin the AAA designation process specified in Section 7206, if the termination is permanent, rather than only for the current grant agreement year.
(3) Payment of requests for funds after termination action begins shall require supporting documentation prior to payment and shall be dependent upon available funds remaining in the AAA's account with the Department.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 45 CFR 92.44.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7212. Revocation of AAA Designation.
Note     •     History

(a) The Department, after attempts to resolve the problem, including the use of the sanctions specified in Article 5, have been unsuccessful, shall revoke an AAA designation, in accordance with the provisions of this section, whenever it finds that any of the conditions specified in 45 CFR 1321.35(a) exist.
(b) Upon a preliminary decision to revoke an AAA's designation, the Department shall simultaneously:
(1) Send a notice to the AAA which meets the requirements specified in Section 7706 and includes all of the following additional information:
(A) The AAA has 30 days from receipt of the notice in which to request a State hearing.
(B) If a State hearing is requested by the AAA, it will be scheduled after the Department holds a public hearing and reviews and decides upon the testimony in accordance with (c).
(C) The final decision to revoke designation shall not occur until after the public hearing and the State hearing, if one is requested, and the Department has reviewed and considered all of the information received.
(2) Schedule and conduct a public hearing by following the procedures specified in Section 7204(a) (1).
(c) Within 30 days following the public hearing specified in (b) (2), the Director shall review the testimony presented and the Department's reasons for proposing the revocation and take one of the following actions:
(1) Terminate the proposed revocation action.
(2) Proceed with the proposed revocation action, unless the AAA has requested a State hearing within the time frame specified in (b) (1) (A). If a State hearing has been requested, the Director shall refer the request to an external hearing officer to be processed in accordance with Chapter 5.
(d) Upon a final decision by the Director to revoke an AAA designation, the provisions specified in Section 7210(b) shall apply.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025(b) (5) (C) and 45 CFR 1321.35.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Article 2. AAA's General Responsibilities
§7250. General Administrative and Staffing Responsibilities.
Note     •     History

(a) Each AAA shall have a director who shall assume full responsibility for, and authority over, the management of the AAA and its programs. The governing board of the AAA shall establish qualifications for the director's position.
(b) Each AAA shall establish administrative practices that include the development and maintenance of all of the following:
(1) Written personnel practices, including the hiring of staff and the recruitment of volunteers, that both are consistent with federal and State laws and regulations and encompass all of the following:
(A) Systematic planning for, and carrying out, the recruitment, training and supervision of volunteers as determined by the AAA.
(B) Clearly designating lines of staff responsibility and authority.
(C) Having a sufficient number of qualified staff, that may include volunteers or by contracting for the services of sufficient persons with appropriate education and experience, to carry out all of the mandated responsibilities of the AAA, including the provision of fiscal support and nutrition consultation services. The AAA shall determine the number and qualifications of the staff needed to fulfill its administrative and program responsibilities.
(D) Subject to merit employment system requirements, giving preference to hiring individuals 60 years of age or older.
(2) A system of monitoring internal organizational activities to ensure the achievement of AAA objectives and to include documentation that the monitoring is occurring.
(3) A written complaint resolution process for service providers and applicant service providers who are dissatisfied with an action taken by the AAA which includes, at a minimum, all of the following:
(A) A statement of the issues, including but not limited to those issues specified in Section 7704(a)(3), that are subject to the complaint resolution process.
(B) A description of the complaint resolution process that includes:
1. Whether the process is based solely upon a written record or whether a hearing is available for the presentation of oral arguments.
2. The time frames within which:
a. The service provider or applicant service provider must file his/her complaint.
b. The AAA will render its decision on the issue(s) contained in the complaint.
(C) A written statement to the service provider or applicant service provider explaining:
1. The reasons for the AAA's decision on the issues contained in the complaint.
2. The entity's right, if any, to request a State hearing and the time frames within which such a request must be made.
(4) Written procedures for carrying out all of the responsibilities and requirements under these regulations and federal law and regulations.
(c) When a substantial number, as determined by the AAA, of older individuals within the PSA are of limited English-speaking ability, the AAA shall both:
(1) Utilize in the delivery of outreach services the services of persons who are fluent in the languages spoken by a predominant number of those older individuals who are of limited English-speaking ability.
(2) Designate an individual employed by, or assure the availability of such an individual to, the AAA on a full-time basis, whose responsibilities shall include:
(A) Taking actions as may be appropriate to assure that counseling assistance is made available to older individuals with limited English-speaking ability in order to assist the older individuals in participating in programs and services available through the AAA.
(B) Providing guidance to supportive service providers to enable the providers to be aware of cultural sensitivities and effectively to take into account linguistic and cultural differences. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3027(a)(4) and (20).
HISTORY

1. New article 2 (sections 7250-7252) and section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7252. Technical Assistance and Coordination.
Note     •     History

(a) Each AAA shall furnish information in a timely manner and provide technical assistance, both on-site and through written communications, to service providers under contract with the AAA. The assistance shall be based upon both of the following:
(1) The AAA's assessment findings of the service providers.
(2) Requests made by service providers.
(b) In addition to (a), an AAA shall provide technical assistance to other organizations concerned with the needs of older individuals upon the request of such an organization.
(c) Each AAA shall:
(1) Undertake coordination activities designed to develop or enhance the development of community-based systems of care in, or serving, each community, as defined by the AAA, in the PSA. These coordination activities shall include, but not be limited to, all of the following:
(A) Coordination with services provided under both of the following:
1. Title VI, Part A, Grants for Native Americans, commencing with 42 U.S.C. 3057b.
2. Title VI, Part B, Grants for Supportive and Nutrition Services to Older Hawaiian Natives, commencing with 42 U.S.C. 3057g.
(B) Programs described in 42 U.S.C. 3013(b).
(C) The coordination of access, in-home and legal assistance services, with community-based organizations established to benefit individuals with Alzheimer's disease and their families.
(D) Agencies that provide services related to health, social services, rehabilitation and mental health services.
(2) Require the service providers with which it contracts to both:
(A) Coordinate services with other appropriate services available in the community.
(B) Ensure that no service constitutes a duplication of a service provided by other entities.
(3) Conduct efforts to facilitate both of the following:
(A) The coordination of community-based long-term care services designed to allow individuals to stay in their homes.
(B) The involvement of long-term care providers in the coordination of community-based long-term care services.
(C) The community awareness of and involvement in addressing the needs of residents in long-term care facilities, including residential care facilities and skilled nursing facilities. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(6).
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Article 3. Area Plans
§7300. Development of the Area Plan.
Note     •     History

(a) Prior to the development of an Area Plan, each AAA shall conduct a needs assessment of the PSA in order to accomplish all of the following:
(1) Identify all of the following:
(A) The target populations, as specified in Section 7310, within the PSA.
(B) The types and extent of existing and potential needs of older individuals in the PSA.
(C) The services or resources existing within the PSA that are available for addressing the needs identified in (2), as well as existing constraints, such as any of the following:
1. The service(s) is not readily available because the resource providing the service has a waiting list.
2. The service(s) is only available in certain geographical areas within the PSA.
3. The quality of the available service(s) is in question.
(2) Estimate unmet needs, under-utilized services and barriers preventing access to available services.
(3) Determine the adequate proportion or minimum percentage to be expended as specified in Section 7312.
(b) At a minimum the needs assessment conducted pursuant to (a) shall include:
(1) An analysis of the Department of Finance Census Tables or data from the U.S. Census Bureau on the PSA's demographics.
(2) A review of data obtained from other social service agencies that provide services to older individuals.
(3) Completion and analysis of a sample survey of older individuals within the PSA aimed at identifying the following factors:
(A) Age.
(B) Race.
(C) Ethnicity.
(D) Educational background.
(E) Income level.
(F) Perceived needs.
(c) Each AAA shall identify priorities for the 4-year Plan period specified in Section 7304 from which to develop goals and objectives. These priorities shall be based on the needs assessment conducted pursuant to (a) and (b), taking into consideration funding constraints, targeting mandates as specified in Section 7310, and adequate proportion/minimum percentage requirements specified in Section 7312. Goals are statements of ideal conditions that the AAA wishes to achieve through its planned efforts. Objectives are measurable statements of action to meet the goals. Objectives indicate all of the following:
(1) The nature of the action.
(2) The party responsible for the action.
(3) How the action will be accomplished.
(4) The anticipated outcome of that action.
(5) How the outcome of the action will be measured.
(6) The projected dates for starting and completing the action.
(7) Any program development and coordination activities, as specified in Section 9400, Welfare and Institutions Code, that are associated with the objective.
(d) Each AAA shall develop a Service Unit Plan as specified in Section 7316 and an annual budget as specified in Section 7318 based upon the goals and objectives identified in accordance with (c). 
(e) Each AAA shall consult with the Advisory Council established in accordance with 42 U.S.C. 3026 and Sections 9402 through 9403, Welfare and Institutions Code, throughout the development of the Area Plan.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9400 through 9403, Welfare and Institutions Code; and 42 U.S.C. 3026.
HISTORY

1. New article 3 (sections 7300-7320) and section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending subsections (c)(7) and (e) and amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7302. Area Plan Contents
Note     •     History

(a) The Area Plan shall consist of all of the following:
(1) A description of the PSA which shall include:
(A) The physical characteristics of the PSA, including the boundaries of the PSA, the geographical characteristics of the PSA, and an indication of whether the PSA is a single or multi-county PSA.
(B) The demographic characteristics of the PSA, including a description of the number and proportion of the older individuals who are low-income minority individuals.
(C) The unique resources and constraints existing within the PSA, such as:
1. Geography and its influence on access to services.
2. Absence or presence of employment opportunities.
3. Absence or presence of sources of grant/tax revenue.
(D) The service system within the PSA to set the stage for the subsequent discussion of goals, including the AAA's service delivery system, as well as other service delivery systems with which the AAA interacts or which provide services to older individuals. 
(2) A description of the AAA which shall include:
(A) An organizational chart and a description of the location of the AAA and its placement within a larger organization, such as a division of a county agency, including any imminent changes in the structure and/or placement of the AAA.
(B) The manner in which the AAA provides visible leadership in the development of community-based systems of care.
(C) The agency type, such as, public, private non-profit, or joint powers.
(D) The agency's funding sources.
(3) A Mission Statement which at a minimum shall include the following statement:
To provide leadership in addressing issues that relate to older Californians; to develop community-based systems of care that provide services which support independence within California's interdependent society, and which protect the quality of life of older persons and persons with functional impairments; and to promote citizen involvement in the planning and delivery of services.
(4) A description of the needs assessment performed in accordance with Section 7300, including targeting plans and an identification of priorities. At a minimum this shall include:
(A) Description of the sources of data used.
(B) Characteristics of survey/public forum participants.
(C) Discussion of the findings of the needs assessment.
(D) Analysis of the data.
(5) A statement of each goal and the fundamental reasons for each goal. For each stated goal, the following areas shall be addressed as appropriate:
(A) Administration.
(B) Service delivery activities.
(C) Coordination activities.
(D) Program development activities.
(E) Advocacy activities within each goal area.
(6) A copy of the AAA's Service Unit Plan.
(7) A copy of the AAA's Budget.
(8) The assurances required by 42 U.S.C. 3026.
(9) A list of those services, if any, that the AAA proposes to provide directly pursuant to Section 7320.
(10) A discussion of the public hearings conducted in accordance with Section 7308, including all of the following information:
(A) The date and location of the hearing and the number of attendees.
(B) An indication of whether any of the following occurred at the hearing:
1. The hearing was presented in any language other than English.
2. Proposed expenditures for program development and coordination were discussed.
3. Attendees were provided the opportunity to testify regarding the AAA's establishment of minimum percentages pursuant to the provisions of Section 7312.
(C) A summary of the major issues discussed at the hearing.
(D) A list of the major changes in the Area Plan as a result of input from the attendees at the hearings.
(E) A discussion of any outreach efforts to solicit input from institutionalized or homebound older individuals.
(11) The number of members on the AAA's governing board, along with the names and titles of the officers and each officer's term expiration date.
(12) A description of the Area Agency on Aging Advisory Council which includes all of the following information:
(A) The names and titles of the Council's officers, along with each officer's term expiration date.
(B) The total number of the Council membership, including any vacancies.
(C) The number of Council members who are older individuals.
(D) The Race/Ethnic composition by percentage of the PSA's older population and percentage on the Council for each of the following categories:
1. White.
2. Hispanic.
3. Black.
4. Asian/Pacific Islander.
5. Native American/Alaskan Native.
6. Other.
(E) A statement as to whether the Council's membership includes any of the following, along with an explanation if any of the following is not included:
1. Low income representative.
2. Disabled representative.
3. Supportive services provider representative.
4. Health care provider representative.
5. Local elected officials.
6. Persons with leadership experience in the private and voluntary sectors.
(F) A description of the process designated by the governing board to appoint Council members.
(13) A statement of the minimum percentages as calculated pursuant to Section 7312, along with the rationale and methodology used for their establishment.
(14) A list of community focal points defined in 42 U.S.C. 3002(27) and designated pursuant to 42 U.S.C. 3026(a)(3)(A), along with the addresses for each designated point.
(15) A description of any Title III B funds used for the aquisition or construction of a multipurpose senior center, including the name and address of the grantee and/or senior center, the amount of funds awarded, and the dates between which the facility must operate as a senior center in accordance with 42 U.S.C. 3027(a)(14) and 3030b. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026.
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7304. Submission and Approval of Area Plan
Note     •     History

(a) The Area Plan shall cover a four year period. Each year of the plan period shall correspond to the State fiscal year, from July 1 through June 30.
(b) The following parts of the Area Plan shall be updated and submitted to the Department annually:
(1) A description of any needs assessment activities planned for the coming plan year.
(2) Objectives for the coming plan year that have not been previously included in the Area Plan.
(3) Annual Service Unit Plan.
(4) Annual Budget.
(5) Any changes to the minimum percentage/adequate proportion calculation pursuant to Section 7312.
(6) Any changes in the composition of the governing board or Advisory Council.
(7) An estimate of the number of low income minority older individuals in the PSA for the coming plan year.
(8) Any services that the AAA intends to provide directly for the coming plan year that have not been previously included in the Area Plan.
(9) A discussion of the public hearings conducted in accordance with Section 7308, including all of the information specified in Section 7302(a)(9).
(c) The AAA shall hold a public hearing following the procedures specified in Section 7308.
(d) Area Plans and annual plan updates shall be approved and signed by the chairperson of the AAA's governing board, the Director of the AAA, and the Chairperson of the Area Agency on Aging Advisory Council and submitted to the Department no later than May 1 of the fiscal year preceding the fiscal year in which the Area Plan or annual plan updates are to take effect.
(e) Within 60 days of receipt of an AAA's Area Plan or annual plan update, the Department shall review the information for compliance with federal law and these regulations and take one of the following actions, as appropriate:
(1) Approve the plan or plan update and notify the AAA in writing of the approval.
(2) Notify the AAA in writing of the portions of the Area Plan or plan update that are not in compliance with federal law or these regulations and allow the AAA to continue to operate under its currently approved plan while it is taking corrective action to make the newly submitted plan or plan update approvable.
(3) Disapprove the Area Plan or plan update and commence sanction or revocation proceedings in accordance with Sections 7212 and 7425.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026 and 45 CFR 1321.11, 1321.57, and 1321.59. 
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7306. Area Plan Amendments
Note     •     History

(a) In addition to the required annual updates specified in Section 7304, an AAA shall submit an Area Plan amendment to the Department any time a major change occurs that affects its goals and/or objectives. Major changes shall include, but not be limited to:
(1) Unforeseen changes in the PSA due to natural disasters and/or changes in the PSA's demographics.
(2) Changes in the Area Agency such as changes in the administrative structure and/or placement.
(3) Changes in the spectrum of local available resources.
(4) Changes in the priority needs of older individuals residing in the PSA.
(5) Any program development and coordination objectives that have not previously been included in the Area Plan.
(b) Amendments shall be submitted to the Department in a narrative form that includes both of the following:
(1) An explanation of the change(s).
(2) A statement of the revised goals and objectives resulting from the change(s), along with any changes to the service unit plan and budget.
(c) The Area Plan amendments shall be processed following the procedures specified in Section 7304(c) through (e). 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026, and 45 CFR 1321.59.
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
3. Change without regulatory effect amending Note filed 2-17-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 8).
§7308. Area Plan Hearings.
Note     •     History

(a) The AAA shall hold, at a minimum once each fiscal year, a public hearing in the PSA to solicit comments and present information on the development of the Area Plan, plan updates, plan amendments and/or activities carried out under the current Area Plan. The AAA shall:
(1) Schedule and conduct a public hearing in accordance with the following:
(A) Notice of the public hearing shall:
1. Include all of the following:
a. A description of the proposed action and a statement of the need for the proposed action.
b. The time, date and location of the hearing.
2. Be both:
a. Published thirty days prior to the date of the public hearing in the local newspaper with the largest circulation in the geographical area affected.
b. Mailed to all service providers under contract with the AAA and units of general purpose local government in the area affected.
(B) The public hearing shall be conducted in a facility which is both:
1. Centrally located in the geographical area affected.
2. Accessible to individuals with disabilities.
(C) A representative from the AAA shall be present to receive and record testimony from the public related to the Area Plan or plan update.
(2) The AAA shall review and consider input received and shall maintain a copy of the comments from the public hearing for inspection by the public during the Area Plan period.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026.
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7310. Targeting Services.
Note     •     History

(a) Each AAA shall target services to older individuals within the PSA with the following characteristics:
(1) Older individuals with the greatest economic need, with particular attention to low-income minority individuals.
(2) Older individuals with the greatest social need, with particular attention to low-income minority individuals.
(3) Older Native Americans.
(b) AAAs shall use outreach efforts to identify individuals eligible for assistance under federal law. Special emphasis shall be given to the following groups. Older individuals:
(1) Who reside in rural areas.
(2) Who have greatest economic need, with particular attention to low-income minority individuals.
(3) Who have greatest social need, with particular attention to low-income minority individuals.
(4) With severe disabilities.
(5) With limited English-speaking ability.
(6) With Alzheimer's disease or related disorders with neurological and organic brain dysfunction and the caretakers of these individuals.
(c) For the purposes of (a), targeting of services within the PSA shall be addressed as follows:
(1) Determine the number, location, and needs of older individuals with these characteristics.
(2) Consider the needs of the targeted groups in planning the services to be included in the Area Plan.
(3) If possible, locate the provision of services in areas where a significant number of the targeted groups resides.
(4) Develop methods specific to the local community to serve the targeted group.
(d) For the purposes of (b), outreach means to provide information and encouragement about existing services and benefits to individuals.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026.
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7312. Adequate Proportion/Minimum Percentage Requirements.
Note     •     History

(a) Each AAA shall identify the minimum percentages of applicable Title III B funds that it intends for annual expenditure throughout the four year plan period for each of the following service categories:
(1) Access, which shall include information and assistance, as defined in 42 U.S.C. 3002(31), transportation, outreach and case management, as defined in 42 U.S.C. 3002(22).
(2) In-home services as specified in 42 U.S.C. 3026(a)(2)(B).
(3) Legal assistance, as defined in 42 U.S.C. 3002(33).
(b) Applicable Title III B funds shall be determined by subtracting the AAA's allocations for both the administration of the Area Plan and the Ombudsman program from the AAA's total Title III B allocation.
(c) Each AAA may adopt any methodology of its choosing for the identification of its minimum percentages, providing the methodology takes into consideration both of the following:
(1) The AAA's needs assessment findings.
(2) Any discussions that occurred at the public hearing on the Area Plan.
(d) An AAA, at its own option, may revise its minimum percentages at any time during the Area Plan cycle, but no later than the submission of the AAA's final fiscal year budget revision, if necessary to adjust the minimum percentages to resources available or revised need for the service(s). In such instances, if the level is to be reduced, the AAA shall:
(1) Notify the public in the PSA of the change in the planned revision. Such notification may be through public hearing(s), publication of the change in the planned revision in newspapers, or other methods that will assure that service providers and older individuals are informed of the revision.
(2) Submit to the Department a revised budget, service unit plan, a statement of the rationale for the revision and a description of the method of public notification.
(e) The Department shall monitor the AAAs to ensure that their adequate proportion obligations are met.
(f) If an AAA determines that the need for one of the services specified in (a)(1) through (3) is fully met without the need to expend Title III B funds, the AAA shall request a waiver from the Department in accordance with the following:
(1) Schedule and conduct a public hearing following the procedures specified in Section 7308.
(2) Transmit to the Department a written waiver request that includes all of the following:
(A) A record of the public hearing specified in (1).
(B) Documentation that the services being furnished are sufficient to meet the needs of older individuals residing in the PSA.
(g) Within 10 days of receipt of a waiver request, the Department shall review the request to determine if adequate documentation is present to verify that sufficient services are available to meet the needs of older individuals residing in the PSA. If adequate documentation is:
(1) Not present, the Department shall send written notification to the AAA of both of the following:
(A) The waiver is denied, along with the reasons for the denial.
(B) The AAA must continue to meet its adequate proportion obligations and that failure to do so will result in sanctions being applied.
(2) Present, the Department shall publish notice of its intention to grant the waiver in the local newspaper with the largest circulation within the PSA at least 30 days prior to granting the waiver. The notice shall include all of the following:
(A) The justification for proposing to grant the waiver.
(B) The proposed date for granting the waiver.
(C) That an individual or service provider within the PSA has the right to request a hearing regarding the proposed waiver, providing the request is made in writing and before the date specified in (B).
(h) If a hearing request pursuant to (g)(2)(C) is:
(1) Not requested, the Department shall grant the waiver on the date specified in (g)(2)(B).
(2) Is requested, the Department shall:
(A) Within seven working days of receipt of the request, schedule a meeting with the requestor(s) at a time and place that is convenient to both the Department and the requestor(s) to hear the requestor(s) arguments against the waiver.
(B) If necessary, stay the date specified in (g)(2)(B) until the Department has had sufficient time to hear the arguments and take them into consideration in making its final decision. If the Department, as a result of the hearing, decides not to grant the waiver, the provisions specified in (g)(1)(A) and (B) shall apply.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(2).
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7314. Allocation, Use and Transfer of Federal Funds.
Note     •     History

(a) From its annual federal allocation of funds for Title III programs, the Department shall retain five percent of each program's allocation for its administrative costs. The Department shall allocate the remainder to the AAAs in accordance with the following:
(1) Up to ten percent of the remaining Title III federal funds shall be allocated to the AAAs for administration of the Area Plans in accordance with Section 9112, Welfare and Institutions Code. Only funds from Titles III B, C-1, C-2 and E shall be allocated for the allowable ten percent in accordance with 42 U.S.C. 3024(a)(1).
(2) Of the remaining Title III B federal monies, funds shall be allocated for the Ombudsman program in accordance with Section 9719.5, Welfare and Institutions Code and the balance shall be allocated for other Title III B program costs in accordance with Section 9112, Welfare and Institutions Code, and applicable federal law.
(3) The remaining Titles III C-1, C-2 and E federal funds shall be allocated in accordance with Section 9112, Welfare and Institutions Code and applicable federal law.
(4) Title III D federal funds shall be allocated in accordance with Section 9112, Welfare and Institutions Code and applicable federal law.
(5) Title VII federal Ombudsman funds shall be allocated in accordance with Section 9719.5, Welfare and Institutions Code and applicable federal law. Title VII federal Elder Abuse Prevention funds shall be allocated to all AAAs in accordance with Section 9112, Welfare and Institutions Code and applicable federal law. 
(6) Beginning Fiscal Year 2007-08, Titles III and VII federal funds allocated to an AAA in a state fiscal year that are not expended or encumbered for services and administration provided by June 30 of that fiscal year shall revert back to the Department by fund source and be reallocated by fund source to all AAAs. Reverted Title III B Ombudsman funds and Title VII Ombudsman funds shall be reallocated to all AAAs pursuant to Section 9719.5, Welfare and Institutions Code. The remaining Title III funds and Title VII Elder Abuse Prevention funds shall be reallocated in accordance with Section 9112, Welfare and Institutions Code. The use of the re-allocated funds shall be restricted to the purposes specified in (a)(9) of this section. 
(7) Beginning Fiscal Year 2007-08, Titles III and VII federal funds recovered from an AAA as a result of a fiscal audit determination and resolution by the Department shall revert back to the Department by fund source and be reallocated by fund source to all AAAs. Title III B Ombudsman funds and Title VII Ombudsman funds shall be reallocated pursuant to Section 9719.5, Welfare and Institutions Code. The remaining Title III program funds and Title VII Elder Abuse Prevention funds shall be reallocated in accordance with Section 9112, Welfare and Institutions Code. The use of the re-allocated funds shall be restricted to the purposes specified in (a)(9) of this section.
(8)(A) Beginning Fiscal Year 2007-08, Supplemental Title III and Title VII program funds allocated by the Administration on Aging to the Department as a result of the federal reallotment process shall be allocated to all AAAs in accordance with Sections 9112 and 9719.5, Welfare and Institutions Code. 
(B) Beginning Fiscal Year 2007-08, Supplemental Titles III and VII program funds not expended or encumbered for services provided by June 30 of the state fiscal year shall revert back to the Department by fund source and be re-allocated by fund source to all AAAs. Title III B Ombudsman funds and Title VII Ombudsman funds shall be reallocated pursuant to Section 9719.5, Welfare and Institutions Code. The remaining Title III B program funds and Title VII Elder Abuse Prevention funds shall be reallocated in accordance with Section 9112, Welfare and Institutions Code. The use of the re-allocated funds shall be restricted to the purposes specified in (a)(9) of this section. 
(C) Beginning Fiscal Year 2007-08, Supplemental Titles III B, C-1, C-2 and E administration funds allotted by the Administration on Aging to the Department as a result of the federal reallotment process shall be allocated to all AAAs. Title III B Ombudsman funds and Title VII Ombudsman funds shall be allocated pursuant to Section 9719.5, Welfare and Institutions Code. The remaining Title III funds and Title VII Elder Abuse Prevention funds shall be allocated in accordance with Section 9112, Welfare and Institutions Code. All supplemental administration funds not expended or encumbered for administration provided by June 30 of the state fiscal year shall revert back to the Department and be re-allocated to all AAAs. The use of the re-allocated funds shall be restricted to the purposes specified in (a)(9) of this section.
(9) Titles III and VII federal funds, which have been re-allocated to an AAA pursuant to subdivisions (6), (7), and (8) of this section, shall be used solely for the following purposes: 
(A) The purchase of equipment which enhances the delivery of services to the eligible service population. 
(B) Home and community-based projects, which are approved in advance by the Department, and are designed to address the unmet needs of the eligible service population identified in the area plan. 
(C) Innovative pilot projects, which are approved in advance by the Department, and are designed for the development or enhancement of a comprehensive and coordinated system of services as defined in 45 CFR 1321.53(a) & (b). 
(D) Baseline services.
(10) Nutrition Services Incentive Program (NSIP) funds re-allocated pursuant to subdivisions (6), (7) and (8) of this section shall be used only to purchase food in the Elderly Nutrition Program. 
(11) Notwithstanding subdivisions (6), (7), and (8) of this section: 
(A) Federal funds allotted by the Administration on Aging to the Department for the implementation of new programs may be re-allocated in the subsequent fiscal year to the same AAA that received the original allocation. The period of exemption shall not exceed four years from the enactment of the new program. The use of the re-allocated funds shall be restricted to the purposes specified in (a)(9) of this section.
(B) Beginning Fiscal Year 2007-08, each AAA may carry over up to five percent (5%) of its baseline allocation annually, as adjusted by any approved transfers for each funding category under Titles III and VII. Use of the retained five percent (5%) funds shall be restricted to the purposes specified in (a)(9) of this section.
(12) In the event of a federal, state, or locally declared emergency or natural disaster affecting delivery of OAA services, the Department may waive the provisions of subdivisions (6), (7), and (8) for an AAA affected by the disaster. Such waiver will allow the affected AAA to carry over all of its unspent or unencumbered funds for up to one year following the emergency or disaster. 
(b) An AAA may transfer federal funds from one program to another in accordance with the following:
(1) Funds allocated for administration may be transferred, without limitation, to Title III B, C-1, C-2 and/or E programs.
(2) Program funds may be transferred between Title III B and Title III C in accordance with 42 U.S.C. 3028(b)(4)(A).
(3) Program funds may be transferred between Title III C-1 and Title III C-2 in accordance with 42 U.S.C. 3028(b)(5)(A).
(4) In accordance with 42 U.S.C. 3028(b)(4)(A), the Department may allow an AAA to transfer more than the percentages specified in federal law, provided both of the following conditions exist:
(A) The AAA presents justification for the additional transfer. The justification shall include a detailed description of the following: (i) the purposes of the transfer; (ii) the need for the transfer; and, (iii) the impact on the delivery of services in the program from which the transfer is requested. 
(B) The Department determines that it still will be able to comply statewide with the federal expenditure mandates.
(c) Program funds may be spent on program development and coordination only after an AAA has used all of its allocation for administration.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9100, 9112 and 9719.5, Welfare and Institutions Code; and 42 U.S.C. 3025(a)(2)(C), 3028, 3030a, 3030s-1 and 3058a.
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending subsections (a)(1)-(a)(4) and (c) and amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
3. Amendment of section heading, section and Note filed 1-8-2008; operative 2-7-2008 (Register 2008, No. 2).
4. Amendment of subsections (a)(6)-(a)(8)(D), new subsection (a)(9)(D) and amendment of subsections (a)(11)(A)-(B) filed 12-21-2009; operative 1-20-2010 (Register 2009, No. 52).
§7316. Service Unit Plan Requirements.
Note     •     History

(a) Each AAA shall develop a service unit plan annually in accordance with the provisions of this section.
(b) For Title III B, supportive services, each AAA shall:
(1) Indicate the number and types of services it intends to provide with its ombudsman service allocation.
(2) Indicate the number and types of services it intends to provide to meet the adequate proportion/minimum percentage requirements specified in Section 7312.
(3) Determine the amount of funds available for other supportive services by subtracting the amounts that will be expended in (1) and (2) and the amount it plans to spend on administration from its total Title III allocation.
(4) Based upon the needs assessment and the goals and objectives determined pursuant to Section 7300, identify and quantify which of the other supportive services listed by the federal government in law, regulations or directives are necessary and can be provided with the balance of funds available as determined in (2) and any transfer of funds pursuant to Section 7314.
(c) For Title III C, nutrition services, each AAA shall, based upon its needs assessment and goals and objectives determined pursuant to Section 7300, indicate the number of congregate, Title III C-1, and home-delivered, Title III C-2, meals, nutrition education and other nutrition services which are necessary and can be funded with its allocation, anticipated USDA reimbursement, and any transfer of funds pursuant to Section 7314.
(d) For Title IIID, disease prevention and health promotion services, each AAA shall, based upon its goals and objectives determined pursuant to Section 7300, indicate and quantify which of the services specified in 42 U.S.C. 3030i are necessary and can be funded with its allocation.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026.
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
3. Repealer of subsection (d), subsection relettering and amendment of newly designated subsection (d) filed 2-26-2007; operative 7-1-2007 (Register 2007, No. 9).
§7318. Budget Requirements.
Note     •     History

(a) Each AAA shall develop an annual budget in accordance with the provisions of this section.
(b) For each of the items specified in (c) and (d), the AAA shall display funds budgeted, separately for cash funds and in- kind contributions, by program as follows:
(1) Total amount budgeted.
(2) Area Plan administration.
(3) Title III B.
(4) Title III C-1.
(5) Title III C-2.
(6) Title III D.
(c) Budgeted costs shall be reported as follows:
(1) Direct AAA costs, reported under the following categories:
(A) Personnel.
(B) Staff travel.
(C) Staff training.
(D) Equipment.
(E) Consultant contracts.
(F) Food costs.
(G) Other costs.
(2) Indirect costs, if any.
(3) Costs of contracted services.
(d) Funding for the budget period shall be reported by the following funding sources:
(1) United States Department of Agriculture (USDA).
(2) Non-matching contributions, such as funds received from other federal sources.
(3) State funds.
(4) Matching contributions.
(5) Grant related income.
(6) Title III federal funding.
(e) The AAA shall display its minimum matching requirements by multiplying the amount of federal funds to be expended for each of the following categories by the percentages indicated:
(1) Area Plan administration -- 25 percent.
(2) Title III B -- 10.53 percent.
(3) Title III C-1 -- 10.53 percent.
(4) Title III C-2 -- 10.53 percent.
(5) Title III D -- 10.53 percent.
(f) The AAA shall list each source of its matching contributions along with the amount of cash and in-kind contributions received from each source.
(g) The AAA shall display the following calculations:
(1) The adequate proportion/minimum percentages calculation required by Section 7312.
(2) The USDA entitlement which shall be calculated by multiplying the number of meals budgeted to be served by the rate of payment determined by the USDA.
(3) Any transfer of funds between Title III C-1 and Title III C- 2 and Titles III B and C as specified in Section 7314, along with the justification for the transfer.
(h) A schedule of paid personnel costs, and a schedule of in- kind personnel costs, containing the following information shall be included:
(1) By position title, the percent of employee time and salary/wages budgeted for each of the following:
(A) Administration of the Area Plan.
(B) Direct provision of each of the following services:
1. Title III B.
2. Title III C-1.
3. Title III C-2.
4. Title III D.
5. Total Title III.
6. Non-title III.
(2) For each category specified in (1)(A) and (B), the total percent and costs for all of the items specified in (A) through (C). For the purposes of valuing in-kind personnel costs, the provisions specified in 45 CFR 92.24(c) shall apply.
(A) Salaries.
(B) Payroll taxes.
(C) Employee benefits.
(i) A schedule of Title III B services containing all of the following information separately for both direct services and contracted services shall be included:
(1) The type of program/service provided, including program development and coordination.
(2) For each program/service listed in accordance with (A), all of the following information:
(A) Total budgeted costs.
(B) Non-matching contributions, identified by cash or in-kind.
(3) State funds.
(4) Matching contributions, identified by cash or in-kind.
(5) Grant related income.
(6) Federal Title III B funds.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026 and 3028.
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
3. Repealer of subsections (b)(7), (e)(6) and (h)(1)(B)5. and subsection renumbering filed 2-26-2007; operative 7-1-2007 (Register 2007, No. 9).
§7320. Direct Services.
Note     •     History

(a) An AAA is authorized by the Department to provide directly any of the following services:
(1) Information and assistance.
(2) Case management.
(3) Program development and coordination.
(4) Disease prevention and health promotion.
(b) If an AAA directly provides any of the services specified in (a), it shall describe in the area plan the methods that will be used to assure that target populations throughout the PSA will be served.
(c) If an AAA intends to provide direct services other than those specified in (a), the AAA shall submit a request for approval in the Area Plan to the Department containing all of the following information:
(1) The type of service to be provided.
(2) A statement that the direct provision of services is either of the following:
(A) Necessary to assure an adequate supply of the service specified in (1).
(B) More economical if provided by the AAA than comparable services purchased from a service provider.
(3) Documentation to support the statement made pursuant to (2).
(d) The Department shall approve a request submitted pursuant to (c) providing the documentation establishes that one of the conditions specified in (c)(2) exists.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3027(a)(10).
HISTORY

1. New section filed 12-19-96; operative 1-18-97 (Register 96, No. 51).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Article 4. AAA Procurement Procedures
§7352. Procurement--General.
Note     •     History

(a) Except as specified in (g) and Section 7360, an AAA shall obtain goods and services through open and competitive awards. Each AAA shall have written policies and procedures, including application forms, for conducting an open and competitive process, and any protests resulting from the process. At a minimum, the procedures shall include the requirements set forth in this article and federal regulation 45 CFR 92.36.
(b) The competitive process shall include all of the following:
(1) Preparation of an Invitation for Bid (IFB) or Request for Proposal (RFP).
(2) Publication of the IFB or RFP.
(3) Dissemination of the written policies and procedures specified in (a) to all prospective contractors.
(4) Submission of bids or proposals by prospective contractors.
(5) Evaluation of the bids or proposals submitted.
(6) Resolution of protests.
(7) Award of the contract.
(c) An IFB shall be used when a specific service such as janitorial, audit or consultation services or a specific product or piece of equipment is required. Awards shall be made to the lowest responsive and responsible bidder that meets the specifications of the IFB.
(d) A RFP shall be used when a solution to a specific problem or service need such as nutrition, information and assistance, or transportation is sought. All of the following shall be considered in the evaluation of RFPs:
(1) The price.
(2) The originality and effectiveness of the proposal.
(3) The background and experience of the bidder.
(e) In all instances a responsible bidder shall have the capacity to fulfill all contract responsibilities and, in the case of RFPs, adequate resources to carry out the proposal.
(f) An AAA shall be responsible for the settlement and satisfaction of all contractual obligations and administrative issues arising out of its contracts. Matters concerning violation of laws shall be referred to the appropriate local, State or federal authority.
(g) In the case of small contracts, not over $100,000 in the aggregate, an AAA need only obtain price or rate quotations from a number of qualified sources and informally select the source with which to contract or obtain the purchase.
(h) An AAA shall maintain all of the following for a period of three years after final payments are made and all other pending matters are closed:
(1) Copies of approved bids or proposals and any amendments or changes thereto.
(2) A statement of the criteria used to approve the awards.
(3) Copies of the award document and contracts entered into pursuant to Section 7364.
(4) Other information as requested by 45 CFR 92.36(b) (9).
(i) An AAA shall develop written procedures and time schedules for monitoring and assessing service providers awarded contracts to ensure that the service providers are complying with the terms of the contract, including but not limited to:
(1) Adherence to all applicable federal and State laws and regulations.
(2) Expenditure of funds in keeping with the purposes for which the funds were awarded.
(j) The monitoring and assessment required in (i) shall be conducted for each provider on a quarterly basis, if possible, but no less than annually prior to the anniversary of the initiation of the award.
(k) Throughout the award and contracting process an AAA shall comply with the requirements set forth in this article and federal regulation 45 CFR 92.36.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 45 CFR 92.36.
HISTORY

1. New article 4 (sections 7352-7364) and section filed 5-16-96; operative 6-15-96 (Register 96, No. 20).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7354. IFB/RFP Contents.
Note     •     History

(a) An AAA shall set forth clearly in an IFB/RFP all of the requirements to which the bidder must adhere in order to successfully perform under the terms and conditions of the award. The contractor shall not be expected to perform tasks or provide services other than those specifically required in the IFB/RFP.
(b) At a minimum an AAA shall include all of the required specifications in 45 CFR 92.36, as well as all of the following, in an IFB/RFP:
(1) The name and address of the AAA.
(2) The timetable for the acceptance of bids and awarding of the contract, including all of the following, as appropriate:
(A) Letter of intent deadline.
(B) Bidders' conference dates.
(C) Deadline for the submission of bids.
(D) Tentative date for the evaluation of bids.
(E) Tentative date for the announcement of awards.
(F) Tentative protest or appeal deadline.
(G) Tentative contract date.
(H) The date services are to begin.
(3) An estimate of the funding available, including the source amount and duration of the funding. Local matching share requirements and any equipment the AAA determines is available shall also be included.
(4) A statement that the funding for the contract shall be contingent upon the availability of State and federal funds.
(5) A clear and accurate description of the technical requirements of the product or service to be provided in sufficient detail to permit full and free competition.
(6) A complete description of any specific methods to be used in providing the services, including any special qualifications for staffing, supervision, salaries and benefits, training, agency certification/licensure and prior experience.
(7) Any insurance or bonding requirements that the AAA intends to impose.
(8) A statement of the minimum numbers of units of service to be provided and the definition of those unit measurements.
(9) The period of time that the contract will cover. Yearly contract renewals up to three years following the initial contract year are allowable at the discretion of the AAA subject to annual renegotiation and availability of federal, State and local funding.
(10) A requirement that each bidder submit a detailed budget and budget narrative in which line items are identified as yearly or contract period costs and unit of service costs, as appropriate.
(11) Citation of all applicable laws and regulations with which the bidder must conform.
(12) Instructions as to where and how bidders may review all of the following:
(A) Authorizing statutes and federal and State regulations.
(B) The federal Office of Management and Budget Administrative and Cost Policy circulars.
(C) The AAA's:
1. Policy manuals and memoranda.
2. Reporting requirements and procedures.
3. Assessment/evaluation criteria and instruments.
4. Appeal procedures.
5. Any other public information that the AAA determines may be helpful to prospective bidders.
(13) All contract specifications and standards along with both of the following statements:
(A) The selected bid/proposal shall be made a part of the contract.
(B) The AAA may negotiate modifications after the bid/proposal has been selected to assure that all necessary program requirements are covered before the contract is signed.
(14) A description of the evaluation and selection process, including the composition of the Bid/Proposal Evaluation Panel and specific criterion indicators that will be used to evaluate bids/proposals. If all indicators are not of equal importance, their relative weights shall be included. At a minimum the evaluation shall consider all of the following factors:
(A) Qualifications of the bidder's personnel.
(B) The bidder's experience.
(C) Adequacy of the service/program plan or methodology.
(D) Adequacy of the bidder's facilities and resources.
(E) Cost-effectiveness of the bidder's service/program.
(F) Comparability of the objectives in the bid/proposal to the objectives specified in the IFB/RFP.
(G) If bids/proposals will be evaluated on the improved quality of services and cost-effectiveness compared to the current service provider, all of the following shall be included:
1. A description of the current service's/program's operation.
2. Data concerning the service's/program's cost-effectiveness.
3. A description of the current quality of services.
4. The characteristics of the persons being served.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9530, 9534 and 9538, Welfare and Institutions Code; 45 CFR 92.36.
HISTORY

1. New section filed 5-16-96; operative 6-15-96 (Register 96, No. 20).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7356. Publicity.
Note     •     History

An AAA shall promote the widest possible dissemination of information concerning an IFB or RFP to elicit adequate competition. At a minimum, no less than 15 days prior to the deadline for submission of an IFB and 30 days prior to the deadline for the submission of an RFP an AAA shall take all of the following actions:
(a) Display a copy of the IFB/RFP at the AAA's office.
(b) Publish a synopsis of the IFB/RFP, the deadline for submission and the AAA's address and telephone number in a local newspaper of general circulation.
(c) Mail or deliver either the complete IFB/RFP or a notice that bids or proposals are being sought to known prospective bidders. An AAA shall establish and maintain a mailing list of potential bidders and include on the list any potential bidder who requests to be added.
(d) Give a complete copy of the IFB/RFP to any potential bidder upon request.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 45 CFR 92.36.
HISTORY

1. New section filed 5-16-96; operative 6-15-96 (Register 96, No. 20).
2. Change without regulatory effect repealing subsection (a) designator from first paragraph, redesignating former subsections (a)(1)-(a)(4) to new subsections (a)-(d), respectively, and amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7358. IFB/RFP Evaluation Process.
Note     •     History

(a) During the bid/proposal development period, an AAA shall publish as much information as necessary to assure consistent interpretations and fair treatment for all bidders. Any information given to a prospective bidder shall be furnished promptly to all other prospective bidders as an amendment to the IFB/RFP, if the lack of information would be prejudicial to uninformed bidders. No award shall be made unless such an amendment has been issued in sufficient time to permit all prospective bidders at least five days in the case of IFBs and 10 days in the case of RFPs to consider the information in submitting or modifying their bids/proposals.
(b) In the case of an IFB, an AAA shall award the contract to the lowest responsive and responsible bidder. A responsive and responsible bidder is one who meets both of the following:
(1) Submits a bid that meets the specifications of the IFB. A bid that varies materially from the specifications shall be rejected.
(2) Has the resources and capacity to deliver the service within the specified time frame at the price contained in the bid.
(c) In the case of an RFP, an AAA shall convene a panel to evaluate each proposal. The panel may consist of AAA Advisory Council Members, AAA staff and/or other qualified individuals. Each panel member shall evaluate proposals independently, in writing, using a standardized rating form containing all of the criteria delineated in the RFP. The recommendations of the Bid/Proposal Evaluation Panel are advisory to the AAA decision-making body which shall be responsible for all award decisions. If award decisions are based upon factors other than the evaluation criteria contained in the RFP, a full justification for the decision shall be documented. The award decision shall be free from all real, apparent or potential conflict of interest.
(d) An AAA shall consider any protest or objections regarding the award of contract whether the protest or objection is submitted before or after the award, providing the filing occurs within the time period established in the IFB/RFP. All protests or objections shall be filed in writing. The protesting/objecting party shall be notified in writing of the AAA's final decision. The written notice shall:
(1) Set forth the rationale upon which the decision is based.
(2) Advise the protesting/objecting party of the right to appeal to the Department in accordance with Chapter 5 of Title 22, Division 1.8 of the California Code of Regulations.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 45 CFR 92.36.
HISTORY

1. New section filed 5-16-96; operative 6-15-96 (Register 96, No. 20).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7360. Noncompetitive Awards.
Note     •     History

(a) Noncompetitive awards may be used by an AAA when the award of the contract is infeasible for competitive bid because one of the following conditions exist:
(1) The item or service is available only from a single source.
(2) There is a public exigency or emergency that will not permit a delay resulting from competitive solicitation.
(3) After solicitation of a number of sources, competition is determined inadequate in accordance with (c).
(4) The awarding agency as defined in 45 CFR 92.3 authorizes noncompetitive proposals.
(b) In the case of noncompetitive awards an AAA shall:
(1) Verify all the proposed cost date and the projections of the data.
(2) Evaluate the specific elements of costs and profit.
(3) Maintain documentation to support the use of a noncompetitive award.
(c) In the case of inadequate competition, an AAA shall:
(1) Prior to making such a determination, examine all of the following factors. Whether:
(A) Lack of response was due to inadequate dissemination or advertising.
(B) The specifications in the IFB/RFP were too restrictive.
(C) The time frame for the submission of bids/proposals was reasonable.
(D) The required delivery or performance time was realistic.
(2) Maintain the following documentation in support of the determination:
(A) The procurement policy as it existed at the time of solicitation.
(B) The methods used to publicize or solicit potential bidders.
(C) A list of the organizations to which the IFB/RFP was distributed and/or potential sources which were contacted.
(d) In addition to the circumstances specified in (a), an AAA shall be exempt from the competitive bid process when all of the following conditions exist:
(1) The AAA is a governmental entity. A government entity may be an agency of a city or county or a Joint Powers Agreement Agency established pursuant to Sections 6500 through 6525 of the Government Code.
(2) The prospective contractor is a government entity.
(3) The goods or services to be procured from the intergovernmental contract will result in efficiency and economy. The AAA shall maintain documentation of the analysis supporting the decision that efficiency and economy will result.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9530, 9534 and 9538, Welfare and Institutions Code; and 45 CFR 92.36.
HISTORY

1. New section filed 5-16-96; operative 6-15-96 (Register 96, No. 20).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7362. Pre-Award Review.
Note     •     History

(a) Prior to the awarding of a contract to a for profit entity, the AAA shall submit the following to the Department for review and approval:
(1) The RFP or IFB.
(2) All bid proposals received.
(3) The proposal or bid evaluation documentation, along with the AAA's rationale for awarding the contract to a for profit entity.
(b) Within 15 days of receipt of the information specified in (a), the Department shall in writing either:
(1) Approve the award, providing the process used by the AAA was equitable and in compliance with federal and State laws and regulations.
(2) Disapprove the award and state the reason for finding the process inequitable or out of compliance with federal or State law or regulation.
(c) Nothing in this section shall be construed to prohibit the Department, on a limited case-by-case basis, from performing a pre-award review in accordance with 45 CFR 92.36(g).
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9530, 9534 and 9538, Welfare and Institutions Code; and 42 U.S.C. 3020c and 45 CFR 92.36.
HISTORY

1. New section filed 5-16-96; operative 6-15-96 (Register 96, No. 20).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7364. Contracts.
Note     •     History

(a) At a minimum, a contract between an AAA and a service provider shall include all of the following:
(1) The selected bid/proposal. An AAA may negotiate modifications or revisions to assure that all necessary service/program requirements are covered.
(2) A statement that “the contractor agrees not to use contract funds to pay the salary or expenses of any individual who is engaging in activities designed to influence legislation or appropriations pending before the Congress.”
(3) Language permitting budget reduction in the event the service levels specified in the bid/proposal are not attained.
(4) All of the applicable information specified in 45 CFR 92.36(i).
(5) Any information pursuant to 42 U.S.C. 3026 that must be included in agreements with service providers, such as the identity of each focal point and requirements with respect to the provision of services to low income minorities.
(b) Contract awards shall be limited to a one-year period. However, at the discretion of the AAA, contracts may be renegotiated up to a maximum of three additional one-year periods providing such incremental periods were specified in the IFB/RFP. During renegotiations, the AAA shall consider actual expenditures and units of service, as well as current cost policy standards and changes in program requirements. The AAA shall assure that all cost increases are reasonable and necessary and are not the result of underbidding in the original proposal.
(c) Both ongoing and new contract awards shall be in full contract compliance within 120 days of the beginning date of the contract. The AAA shall evaluate the contractor's capacity to fulfill contract goals if full compliance by this time period has not occurred.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9530, 9534 and 9538, Welfare and Institutions Code; 42 U.S.C. 3026(a)(3)(B) and 3026 (a) (5) (A) (ii); 45 CFR 92.36.
HISTORY

1. New section filed 5-16-96; operative 6-15-96 (Register 96, No. 20).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Article 5. Grievance Process
§7400. Grievance Process--General.
Note     •     History

(a) Each AAA shall:
(1) Establish a written grievance process for the disposition of complaints by older individuals or persons authorized to act on behalf of older individuals against the AAA's programs and employees or volunteers of such programs. The process shall meet the conditions specified in this article.
(2) Include a requirement in all of its contracts and subgrant agreements with service providers that the service providers must establish a written grievance process for reviewing and attempting to resolve complaints of older individuals. At a minimum the process shall include all of the following:
(A) Time frames within which a complaint will be acted upon.
(B) Written notification to the complainant of the results of the review, including a statement that the complainant may appeal to the AAA if dissatisfied with the results of the service provider's review.
(C) Confidentiality provisions to protect the complainant's rights to privacy. Only information relevant to the complaint may be released to the responding party without the older individual's consent.
(3) Require service providers to notify all older individuals of the grievance process, both through the service provider and the AAA, available to them by:
(A) Posting notification of the process in visible and accessible areas, such as the bulletin boards in multipurpose senior centers. For areas in which a substantial number of older individuals are non-English speaking, the notification shall also be posted in the primary language of a significant number of older individuals. “Substantial number” and “significant number” shall be determined by the AAA.
(B) Advising homebound older individuals of the process either orally or in writing upon the service providers' contact with the individuals.
(b) Complaints may involve, but not be limited to, any or all of the following:
(1) Amount or duration of a service.
(2) Denial or discontinuance of a service.
(3) Dissatisfaction with the service being provided or with the service provider. If the complaint involves an issue of professional conduct that is under the jurisdiction of another entity, such as the California Medical Board or the State Bar Association, the complainant shall be referred to the proper entity.
(4) Failure of the service provider to comply with any of the requirements set forth in the Department's regulations or in the contract or subgrant agreement with the AAA.
(c) The grievance process established by each AAA shall be both:
(1) Formally adopted by the AAA's governing board.
(2) Distributed to both of the following:
(A) All service providers within the PSA.
(B) Organizations and locations where older individuals congregate.
(d) Nothing in this article shall be construed as prohibiting older individuals from seeking other available remedies, such as presenting their complaints at an open meeting of the AAA's governing board.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference 42 U.S.C. 3026(a) (6) (P) and 3027 (a) (43).
HISTORY

1. New Chapter 3, article 5 and section filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Editorial correction providing correct placement of Chapter 3 heading above section 7200 (Register 96, No. 20).
3. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7402. First Level of Resolution.
Note     •     History

(a) The service provider shall be the first administrative level for the resolution of complaints from older individuals. When the service provider:
(1) Is not the AAA, the grievance procedures established by the service provider in accordance with Section 7400 (a) (2) shall apply.
(2) Is the AAA, the procedures specified in Section 7404 shall apply.
(b) Any complaints received by the Department shall be forwarded to the appropriate AAA for referral to the service provider.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a) (6) (P) and 3027 (a) (43).
HISTORY

1. New section filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7404. AAA Informal Administrative Review.
Note     •     History

(a) The provisions of this section shall apply to both of the following:
(1) The first level of complaint resolution when the AAA is the service provider.
(2) Complaints received from older individuals or persons authorized to act on their behalf who are dissatisfied with the results of a service provider's grievance process.
(b) All complaints shall be in writing to the director of the AAA. If a complainant cannot submit a written complaint, the AAA shall take all of the following actions:
(1) Verbally accept the complaint.
(2) Prepare a written complaint.
(3) Have the complainant sign the written complaint, although not necessarily prior to the commencement of the informal administrative review.
(c) Complaints shall include all of the following information:
(1) The name, mailing address and telephone number, if any, of the complainant or person authorized to act on behalf of the claimant.
(2) The type of service and the service provider involved.
(3) The names of the individuals involved.
(4) The issue of concern or dispute.
(5) The date, time and place that the issue of concern or dispute occurred.
(6) The names of witnesses, if any.
(d) Each AAA shall establish an informal administrative review process for the resolution of complaints received by older individuals or persons authorized to act on their behalf. At a minimum, the process shall be completed within 45 days of receipt of the complaint and include all of the following:
(1) The number of days from the receipt of a complaint in which the informal review will commence.
(2) An impartial investigation of the complaint and an attempt to informally resolve the issues with the parties involved.
(3) The time frame within which the activities specified in (d) (2) will occur.
(4) The preparation of a written report of the results of the activities specified in (d) (2). A copy of the report shall be sent to the parties involved. In addition, the report shall advise the complainant of his/her right to an administrative hearing pursuant to Section 7406 if dissatisfied with the results of the review.
(5) A process for ensuring that any agreements reached during the informal review are fulfilled.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a) (6) (P) and 3027 (a) (43).
HISTORY

1. New section filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7406. Final Grievance Resolution.
Note     •     History

(a) Any complainant dissatisfied with the results of the review conducted pursuant to Section 7404 shall have 30 days from the receipt of the report specified in Section 7404 (d) (4) in which to request a hearing to present his/her complaint orally before an impartial hearing officer/panel. The request shall be made either orally or in writing to the director of the AAA.
(b) Each AAA shall establish a formal administrative hearing process in compliance with all of the following:
(1) The process shall include the time frames within which all of the following shall occur:
(A) From receipt of a hearing request, the notification of the complainant and the other party(ies) involved of both of the following:
1. The date, time and location of the hearing.
2. The complainant's and other party's(ies') right to be present at the hearing and/or to have another person act on their behalf, including the right to have legal counsel present.
(B) From the receipt of a hearing request, the holding of the hearing which shall be no later than 45 days from the receipt of the hearing request.
(C) From the date of the hearing, the issuance of a proposed decision in accordance with (b) (5).
(D) From the date of receipt of the proposed decision, the issuance of a final decision in accordance with (b) (7).
(2) The hearing shall be:
(A) Conducted both:
1. By an impartial hearing officer/panel.
2. In an informal manner with testimony being restricted to the issues requiring resolution. All parties shall have the right to all of the following:
a. Be present at the hearing.
b. Present evidence and witnesses.
c. Examine witnesses and other sources of relevant information and evidence.
(B) Be recorded verbatim, either electronically or stenographically.
(3) Technical rules of evidence and procedure shall not apply to the hearing.
(4) All persons testifying at the hearing shall be placed under oath or affirmation.
(5) The impartial hearing officer/panel shall prepare a proposed decision based upon all relevant evidence presented and in consideration of the policies, procedures, regulations and laws governing the program no later than 30 days after the date the hearing was held. At a minimum, the proposed decision shall contain all of the following:
(A) A description of each issue.
(B) A statement as to whether the complaint was upheld or denied. In the case of complaints that are upheld, an explanation of the remedy for the complaint shall also be included.
(C) A citation of applicable laws and regulations.
(6) The proposed decision shall be forwarded to either of the following, as appropriate, for the issuance of a final decision.
(A) The director of the AAA, unless the complaint is against the director.
(B) The chairperson of the governing board when the complaint is against the director of the AAA.
(7) No later than 30 days after receipt of the proposed decision, the director or the chairperson shall either:
(A) Adopt the proposed decision as the final decision.
(B) Write a new final decision.
(8) The decision pursuant to (b) (7) shall be:
(A) Immediately transmitted to the parties involved.
(B) Final and not subject to appeal.
(9) The process shall include procedures for ensuring that the remedies, if any, specified in the final decision are implemented.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a) (6) (P) and 3027(a) (43).
HISTORY

1. New section filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Article 6. Sanctions
§7425. General.
Note     •     History

(a) The Department shall withhold or suspend funds in accordance with the provisions of this article to encourage prompt corrective action when an AAA has been found to be in material noncompliance, as specified in (b), by the Department.
(b) Noncompliance shall include, but not be limited to, any of the following:
(1) A violation of law or failure to comply with a condition of the subgrant award agreement, including failure to comply with the reporting requirements contained in the subgrant award agreement.
(2) An unsatisfactory financial condition that endangers the continued performance of the subgrant award agreement, such as any of the following:
(A) The filing of bankruptcy.
(B) The receipt of any writ of attachment, levy of execution, or commencement of garnishment proceedings against the AAA's assets or income.
(C) Delinquency in the payment of taxes.
(3) Failure to meet the requirements of the Older Americans Act, 42 U.S.C. 3001 through 3058ee, including but not limited to the failure to submit an Area Plan to the Department for approval in a timely manner or the submission of an Area Plan to the Department that does not comply with federal requirements.
(4) Failure to comply with the Department's regulations.
(c) The following are standard opperational fiscal actions by the Department and shall not be considered sanctions subject to the provisions of this article:
(1) Withdrawal of funds awarded on the basis of the AAA's underestimate of the unobligated balance in a prior period. Unobligated balance means the portion of funds authorized to an AAA by the Department that has not been obligated by the AAA. The unobligated balance is determined by deducting the cumulative obligations from the cumulative funds authorized.
(2) Withdrawal of the unobligated balance of funds at the expiration of a grant.
(3) Refusal to extend a grant or award funds in addition to those in the original grant agreement.
(4) Voiding of a grant upon a determination that the award was obtained fraudulently, or was otherwise illegal or invalid from the grant's inception.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 45 CFR 92.3 and 92.43.
HISTORY

1. New article 6 (sections 7425-7429) and section filed 3-15-96; operative 4-14-96 (Register 96, No. 11). 
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7427. Temporary Withholds.
Note     •     History

(a) Except when the noncompliance constitutes an immediate threat to the safety, health or welfare of the older individuals being served, a temporary withholding of funds shall be the first sanction applied.
(b) The Department shall notify the AAA by telegram or fax the same day that the withhold is placed in effect and confirm receipt of the telegram or fax via a telephone call to the AAA. The notification shall include all of the following:
(1) That the Department is temporarily withholding funds pending the demonstration of corrective action.
(2) A statement of the specific nature of the noncompliance and the corrective action that is required.
(3) That the AAA has 10 working days in which to demonstrate that corrective action has been taken or present a plan that demonstrates to the Department's satisfaction that corrective action will be taken at the earliest possible time.
(c) If within 10 working days following receipt of the notification specified in (b) the AAA has:
(1) Demonstrated that corrective action has been taken or presented a plan that demonstrates to the Department's satisfaction that corrective action will be taken at the earliest possible time, the Department shall cease withholding funds and honor any request for funds from the AAA.
(2) Not demonstrated that corrective action has been taken or presented a plan that demonstrates to the Department's satisfaction that corrective action will be taken at the earliest possible time, the Department shall issue a Notice of Intent to Suspend to the AAA in accordance with Section 7429(b).
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 45 CFR 92.43. 
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11). 
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7429. Suspensions.
Note     •     History

(a) The Department shall suspend an AAA's grant in whole or in part, by temporarily withdrawing its authority to obligate certain previously awarded grant funds before that authority would otherwise expire, under either of the following circumstances:
(1) The Department has temporarily withheld funds in accordance with Section 7427 and the AAA, during the period of time specified in Section 7427(c), has not demonstated that corrective action has been taken or presented a plan that demonstrates to the Department's satisfaction that corrective action will be taken at the earliest possible time.
(2) The AAA's noncompliance has the potential to cause a threat to the health, safety or welfare of the older individuals being served if not immediately corrected.
(b) At least 10 calendar days prior to the effective date of a suspension, the Department shall mail to the AAA a Notice of Intent to Suspend which meets the requirements specified in Section 7706(a) and includes the following additional information:
(1) The length of the suspension, which shall not exceed 180 days.
(2) The corrective actions that must be taken during the suspension.
(3) The appropriate of either of the following:
(A) The obligations and expenditures for which the Department will allow funds during the suspension period and which shall include only those costs necessary for the continued provision of services to older individuals.
(B) The Department is exercising its authority under 42 U.S.C. 3026(e) (3) (A) and will directly administer the AAA's programs.
(4) The AAA's right to request that the Department hold a public hearing and/or State hearing, providing the request(s) is made within 10 calendar days of receipt of the Notice of Intent to Suspend.
(5) That the Department will stay its action to suspend upon receipt of a timely request for either, or both, a public hearing and/or State hearing. The stay shall remain in effect until the Director renders a final decision after the due process procedures are completed.
(c) In addition to the items specified in (b) (3) (A), the Department shall also allow funds for the costs resulting from obligations which meet all of the following conditions. The costs were:
(1) Properly incurred by the AAA before the effective date of the suspension.
(2) Not incurred in anticipation of the suspension.
(3) Allowable had the award not been suspended.
(d) If within 30 days prior to the ending date of the suspension, the AAA has not demonstrated that corrective action has been taken or presented a plan that demonstrates to the Department's satisfaction that corrective action will be taken at the earliest possible time, the Department shall send notification of the commencement of revocation of AAA designation in accordance with Section 7212.
(e) Notwithstanding (d), if the AAA demonstrates to the Department's satisfaction that corrective action has been taken, or presents a plan that demonstrates that corrective action will be taken at the earliest possible time, prior to the end of the suspension period, the Department shall terminate the suspension and restore funding authority to the AAA.
(f) Nothing in this section or Section 7427 shall be construed to prohibit the Department from initiating revocation of AAA designation proceedings at any time the Department determines that the AAA's noncompliance meets any of the following conditions:
(1) The noncompliance poses an immediate threat to the safety, health or welfare of the older individuals being served.
(2) The failure on the part of the AAA to comply has been determined by the Department to be flagrant and deliberate.
(3) There is clear evidence of fraud or malfeasance on the part of the AAA.
(g) If the AAA files a timely request for any of the due processes pursuant to (b), the Department shall take one of the following actions, as appropriate:
(1) If the AAA requests only a public hearing, the Department shall follow the public hearing procedures specified in Section 7204(a) (1). Within 30 days following the public hearing, the Director shall review the testimony presented and the Department's reasons for proposing the suspension and render a final decision. In the final decision the Director shall order that either:
(A) The proposed suspension be terminated.
(B) The proposed suspension take effect immediately.
(2) If the AAA requests only a State hearing, the provisions in Chapter 5 shall apply.
(3) If the AAA requests both a public hearing and a State hearing, the Department shall first hold a public hearing following the procedures specified in Section 7204(a) (1). Within 30 days following the public hearing, the Director shall review the testimony presented and the Department's reasons for proposing the suspension and take one of the following actions:
(A) Terminate the proposed suspension action.
(B) Refer the State hearing request to an external hearing officer to be processed in accordance with Chapter 5.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 45 CFR 92.43.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11). 
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Chapter 4. Title III Programs -- Program and Service Provider Requirements
Article 1. General Requirements for Programs and Service Providers
§7500. Service Requirements--General.
Note     •     History

(a) Each AAA shall assure that all service providers comply with both of the following:
(1) The responsibilities of service providers set forth in 45 CFR 1321.65.
(2) The voluntary service contribution provisions set forth in 45 CFR 1321.67.
(b) Service providers shall not disclose any information about an older individual, or obtained from an older individual in a form that identifies that person, without the written consent of the individual or his/her legal representative. Records with client names, addresses and phone numbers shall:
(1) Be available only to authorized service staff assisting the individual.
(2) Remain in a secure, locked file or secure area to protect confidentiality of the records.
(3) Be removed from data or information used for reporting and planning purposes and from data or information made available to the public unless the consent of the older individual has been obtained.
(c) Service providers shall:
(1) Comply with the terms and conditions of the contracts with the AAA.
(2) Not subcontract any interest or obligation from a contract with an AAA without the written agreement of the AAA.
(3) Provide complete, accurate programmatic and fiscal reports to the AAA.
(4) Establish a process, pursuant to Title 22, California Code of Regulations, Section 7400, for older individuals who wish to file a complaint or grievance about the provision of services from the service provider.
(d) If service providers combine funds received from AAAs with other monies, the service providers shall make accommodations to track the funds received from the AAAs for audit purposes.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 45 CFR 92.20, 1321.51 and 1321.65.
HISTORY

1. Editorial correction changing placement of chapter 4 heading (Register 97, No. 41).
2. New article 1 (section 7500) and section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
Article 2. Information and Assistance
§7527. Scope of Services.
Note     •     History

(a) Information and Assistance (I&A) services shall include:
(1) Information, including the compilation of up-to-date information on resources and services available to older individuals in the community as specified in Section 7531.
(2) Assistance, in the form of referring older individuals to the resources and services available in the community which will meet the specific needs of each individual.
(3) Follow-up on referrals provided to the older individual to ensure that the necessary services are received.
(b) In addition to (a), I&A services may include either or both of the following:
(1) Outreach.
(2) Comprehensive Assessment.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3002(31) and 3026(a)(4).
HISTORY

1. New article 2 (sections 7527-7547) and section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7529. Program Requirements--General.
Note     •     History

(a) Each AAA shall:
(1) Make I&A services available to all older individuals within the PSA either through contracts with independent I&A providers or the direct provision of I&A services by the AAA.
(2) Place particular emphasis on linking services first to the individuals specified in either (A) or (B) below followed by the individuals specified in either (C) or (D) below:
(A) Isolated older individuals, regardless of whether the individuals are also in greatest economic or social need.
(B) Older individuals with Alzheimer's disease or related disorders with neurological and organic brain dysfunction (and their caretakers), regardless of whether the individuals are also in the greatest economic or social need.
(C) Older individuals in the greatest economic need.
(D) Older individuals in the greatest social need.
(3) Coordinate the delivery of I&A services with other I&A services available within their respective PSAs through networking with agencies and associations within the community.
(4) Have written procedures for I&A providers to assist communities' older individuals during natural disasters, such as earthquakes or floods.
(b) The I&A providers, including AAAs that directly provide I&A services, shall serve as a resource to and coordinate with other community I&A projects and with all other supportive services available in the community to enhance the accessibility and efficiency in delivery of services to older individuals.
(c) For the purposes of Sections 7531 through 7547, any reference to I&A providers shall include both independent providers with which an AAA contracts and AAAs that directly provide I&A services unless the context requires otherwise.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(1) and (4).
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7531. Resource File and Printed I&A Directory.
Note     •     History

(a) The I&A provider shall develop, maintain, and use an accurate, up-to-date resource file that contains information on available community resources, including information on assistive technology.  “Assistive technology” means technology, engineering methodologies, or scientific principles appropriate to meet the needs of, and address the barriers confronted by, older individuals with functional limitations. 
(b) The I&A provider shall survey annually the social/human services available to older individuals in the community and compile and maintain a list of, and information about, those services including, but not limited to, the following:
(1) Name, address, and telephone number of the service provider.
(2) Hours and days that the service provider is open for business.
(3) Type of service(s) being provided.
(4) Eligibility requirements for receipt of service(s).
(5) Area served.
(6) Application procedure to receive service(s).
(7) Transportation available.
(8) Wheelchair accessibility for individuals with disabilities.
(9) Language(s) spoken.
(c) In addition to the annual survey specified in (b), the I&A provider shall have procedures to respond to interim information changes as the changes become known to the provider.
(d) I&A providers and the AAAs, resources allowing, may have printed I&A directories for public distribution which shall:
(1) Be approved by the AAA.
(2) Have a disclaimer statement informing the user that the directory may not be current after initial printing.
(3) List the name and address of the agency responsible for public response to information contained in the directory.
(4) Include a list of services available in the service area covered by the directory.
(5) Be updated by a supplemental insert and in printing new additions as resources allow.
(6) Not substitute for I&A services.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3002(10), 3002(31) and 3026(a)(4).
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7533. Information and Assistance.
Note     •     History

(a) The I&A providers shall provide information about human services and assistance in obtaining needed services, if requested, to all eligible inquirers, which shall include older individuals and persons acting on behalf of an older individual.  It shall be the responsibility of the I&A provider to advise all eligible inquirers of the assistance that is available.
(b) For the purposes of (a), the following definitions shall apply:
(1) Information means current facts and data, including data on assistive technology, ranging from a provider's name, telephone number and address to detailed data about community service systems, agency policies and procedures for application.
(2) Assistance means any or all of the following:
(A) Assessing the needs of the inquirer.
(B) Identifying appropriate and alternative resources to meet the inquirer's needs.
(C) Specifying entities known to be suppliers of the products and/or services required to meet the identified needs.
(D) Referring and actively participating in linking the inquirer to needed services.
(c) In addition to (a), I&A providers shall both:
(1) Intervene on behalf of the older individual to assist in establishing eligibility for a needed service, provided the older individual has given permission for the I&A provider to do so.
(2) Work closely with community Legal and Ombudsman programs established under federal law to assist older individuals in obtaining advocacy services.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(4).
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7535. Access.
Note     •     History

(a) When I&A services are provided in a facility, the following criteria shall apply.  The facility shall:
(1) Be open during the hours provided for in the contract negotiated between the AAA and the independent I&A provider.  If the AAA provides the services directly, the AAA shall establish its own hours of operation.
(2) Provide the older individual with the requested I&A service(s) no later than one working day after the individual's visit to the I&A facility.
(3) Provide privacy when interviewing individuals to ensure confidentiality of information.
(4) Be accessible to older individuals with disabilities.
(5) Be conveniently located to public transportation and have parking available in the vicinity.
(6) Be equipped with a telephone system, office equipment, and furniture.
(b) When I&A services are provided through a telephone answering system, the I&A telephone line shall be available to callers between 8 a.m. and 5 p.m., Monday through Friday.  The I&A provider shall attempt to make contact with any caller who leaves a message no later than one working day from the date the message was left.  The contact shall be made by telephone if a return telephone number is included in the message.  If only a return address is provided, the contact shall be in the form of a written response.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(4).
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7537. Follow-Up.
Note     •     History

(a) The I&A providers shall follow-up on each referral as specified in Section 7533(b)(2)(D) and record and take action on the follow-up as specified in (d).  Follow-up shall consist of contacting either of the following, as appropriate, within 30 days of the referral to ascertain if the older individual`s service needs were met.
(1) First, an attempt shall be made to contact the older individual or person acting on behalf of the older individual.
(2) If contact with the person specified in (1) cannot be made, the entity(ies) to which the older individual was referred shall be contacted.
(b) If the follow-up is conducted with the older individual or person acting on behalf of the older individual and reveals that the entity(ies) to which the individual was referred was:
(1) Able to provide the needed service(s), the I&A provider shall ascertain the individual's satisfaction with the service(s).  If the individual was dissatisfied with the service, the I&A provider shall make another referral, if appropriate.
(2) Unable to provide the needed service(s), the I&A provider shall reassess the older individual's needs and assure the individual that the I&A provider will continue to assist him/her until an entity is able to meet his/her assessed needs.
(c) If the follow-up is conducted with the entity(ies) to which the older individual was referred and reveals that the entity(ies) was:
(1) Able to provide the needed service(s), record the result of the follow-up in accordance with (d).
(2) Unable to provide the needed service(s), the I&A provider shall:
(A) Confirm the types of services the entity(ies) provides.
(B) Ascertain the service(s) the older individual requested/needed.
(C) Attempt to provide another referral, if appropriate, to the older individual.
(d) The I&A provider shall record and take action on the follow-up specified in (b) and (c) by maintaining either a manual or  a computer file system to record the outcome of the referral.  In addition, the I&A provider shall:
(1) Update the information in the resource directory to reflect any changes in the service(s) being provided.
(2) Delete the names of organizations which are no longer in operation.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(4).
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7539. Multilingual Services.
Note     •     History

(a) In areas in which a substantial number of older individuals, as determined by the AAA, do not speak English as their principal language, the I&A provider shall have available a sufficient number of qualified bi/multilingual persons, as determined by the AAA, to ensure provision of information and services in the language(s) of the non-English speaking older individuals by assisting individuals in understanding and assessing needed services and following-up to ascertain if the service needs were met.
(b) The bi/multilingual services shall be provided by any of the following:
(1) Paid or volunteer staff.
(2) Other volunteers in the community who are available to provide interpreter services as needed.
(3) Other interpreter resources identified and utilized by the I&A provider.
(c) I&A providers shall claim bi/multilingual capabilities, or advertise as a bi/multilingual service, only if either of the following conditions are met:
(1) Bi/multilingual service staff or volunteers are available during all of the hours that I&A services are available.
(2) The provider advertises the hours during which bi/multilingual services are available.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(4).
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7541. Confidentiality.
Note     •     History

(a) An I&A provider shall not disclose any information about an older individual, or information obtained from an older individual which in any way identifies that older individual, without the written consent of the older individual or of that older individual's legal representative, unless the disclosure is required by court order, or for program monitoring by authorized federal, State, or local monitoring agencies.
(b) The following security measures shall apply to protect the confidentiality of the older individual's records:
(1) Names, addresses, and phone numbers of older individuals shall be removed from data/information used for reporting or planning purposes.
(2) Records with older individual's names, addresses, and phone numbers shall:
(A) Be available only to authorized service staff assisting the older individual.  Written permission of the older individual shall be obtained before this data/information can be released to persons other than authorized service staff.
(B) Remain in a secure, locked file or, in the case of computerized information systems, password-secured or otherwise protected to protect the confidentiality of the client's records.
(c) During any interview with the older individual, service staff shall solicit only information that is required to identify the individual's service needs and make a proper referral.  The individual shall have the right to withhold information when being interviewed.  If the individual refuses to disclose information that is essential to identify service needs and make a proper referral, this should be thoroughly explained before concluding the inquiry.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(4) and 45 C.F.R. 1321.51(a).
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7543. Publicity.
Note     •     History

(a) The I&A provider shall publicize the availability of I&A services to older individuals within the PSA.  The publicity at a minimum shall include:
(1) Name of the I&A provider and telephone number for client use.
(2) Services offered.
(3) Hours and days of operation.
(b) The I&A provider shall be listed in the telephone directory in the geographical area it serves, as follows:
(1) White Page listing--SENIORS' INFORMATION or any other title commencing with the word SENIOR or SENIORS.
(2) Yellow Page listing--SENIORS' SERVICES AND ORGANIZATIONS.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(4).
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7545. Staffing.
Note     •     History

(a) The I&A providers shall recruit management and staff who are experienced in information and assistance services and who demonstrate the ability to: 
(1) Communicate clearly, both orally and in writing, to older individuals and to organizations in the community.
(2) Understand and assess the needs of older individuals in delivering I&A services.
(3) Inform older individuals of the services available and assist them in utilizing these services.
(b) The I&A providers may use volunteers to augment, but not to replace, paid staff.
(c) The I&A provider shall have:
(1) Staff to perform the following services:
(A) Maintain the resource file specified in Section 7531 and keep the information current.
(B) Provide information and assistance to inquirers.
(C) Follow-up in cases where referrals have been made.
(D) Collect statistical data on clientele to document the types of referral services that are in highest demand.
(2) Management and supervisory staff to perform the following:
(A) Determine number of staff, including paid staff and volunteers, required and the hours staff shall work.
(B) Train paid staff and volunteers on job duties.
(C) Implement personnel policies and practices, including personnel evaluations of paid staff and volunteers at least annually.
(D) Provide new paid staff and volunteers with an orientation in federal law and I&A principles.
(d) The I&A providers shall establish personnel policies which shall, at a minimum, include all of the following:
(1) Hiring policies which shall include a formal screening and selection process.
(2) Written job descriptions for each staff position outlining the knowledge and skills required, the job duties, and the lines of supervision.
(3) Annual evaluations of paid and volunteer employees' job performance.
(4) Orientation and training opportunities for staff.
(5) Provisions for the reimbursement of out-of-pocket expenses incurred while paid and volunteer employees are performing the job duties.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(4).
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7547. Training.
Note     •     History

(a) The I&A provider shall maintain a written plan for the provision of training to paid staff and volunteers. The training plan shall include elements of both:
(1) Familiarize both paid staff and volunteers during orientation with the Older Americans Act.
(2) Define the role, purposes, and function of the I&A service, the governing body, and the administrative structure and policies of the I&A service.
(b) In addition to the training plan stated above, all staff, both paid and volunteer, who work directly with older individuals shall be trained by the I&A provider at least annually to handle emergencies, such as medical and natural disasters.  The training shall consist of:
(1) Familiarity with phone numbers of fire, police, and ambulance services for the geographic area served by the provider.  These phone numbers shall be posted near the telephone for easy access when an emergency arises.
(2) Techniques to obtain vital information from older individuals who require emergency assistance.
(3) Making written emergency procedure instructions available to all staff who have contact with older individuals.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3026(a)(4) and 42 U.S.C 3030.
HISTORY

1. New section filed 7-24-96; operative 8-23-96 (Register 96, No. 30).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Article 3. Multipurpose Senior Centers
§7550. General.
Note     •     History

(a) AAAs may use Title IIIB funds to contract with public or private nonprofit agencies, or directly provide services when a waiver pursuant to 42 U.S.C. 3027(a)(10) has been granted, for any of the following purposes:
(1) The acquisition or alteration/renovation of existing facilities, or the construction of new facilities, to serve as MPSCs.
(2) Assistance in the operation of MPSCs by meeting all or part of the costs of compensating professional and technical personnel required for operation.
(b) For the purposes of this article the following definitions shall apply:
(1) “Acquisition” or “acquiring” means obtaining ownership of an existing facility, in fee simple or by lease for 10 years or more, for use as a MPSC.
(2) “Alteration/renovation” or “altering/renovating” means making any of the following to an existing facility:
(A) Modifications that are necessary for the facility's effective use as a MPSC.
(B) Repairs.
(C) Expansions that are not in excess of double the square footage of the original facility and all physical improvements.
(3) “Construction” or “constructing” means either of the following:
(A) Building a new facility, including the costs of land acquisition and architectural and engineering fees.
(B) Making modifications to or in connection with an existing facility which are in excess of double the square footage of the original facility and all physical improvements.
(c) In making awards for MPSC activities, and AAA shall ensure that all of the following are met:
(1) The requirements specified in 45 CFR 1321.75.
(2) Any laborer or mechanic employed by any contractor or subcontractor in the performance of work on the facility will be paid wages at rates not less than those prevailing for similar work in the locality as determined by the Secretary of Labor.
(3) The facility will not be used and is not intended to be used for sectarian use or as a place for religious worship.
(4) Special consideration is given in designating MPSCs as focal points pursuant to 42 U.S.C. 3026(a)(3).
(d) The bonding requirements specified in 45 CFR 92.36(h) shall apply to awards for construction and alterations or renovations.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030(b), 3026(a)(3) and 3027(a)(14); and 45 CFR 92.36(h), 1321.3 and 1321.75.
HISTORY

1. New article 3 (sections 7550-7562) and section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§7552. Length of Facility's Use as a MPSC.
Note     •     History

(a) If the time frames specified in this section are not met, the recapture of payment provisions specified in Section 7560 shall apply.
(b) Each recipient of an award under this article shall use its facility as a MPSC in accordance with the following, as appropriate. If the award was for:
(1) The alteration or renovation of an existing facility, the minimum length of the facility's use shall be as follows. When the amount of the award, including the nonfederal share:
(A) Does not exceed $30,000, three years from the date the contract terminates.
(B) Exceeds $30,000 but does not exceed $75,000, three years from the date contract terminates plus one year for each additional $10,000, or part thereof.
(C) Exceeds $75,000, 10 years from the date the contract terminates.
(2) The acquisition of a facility, the length of the facility's use shall be 10 years from the date the contract expires.
(3) The construction of a facility, the length of the facility's use shall be 20 years after the completion of construction.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030(b).
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§7554. Funding Assurances.
Note     •     History

(a) A recipient of an award for alteration, renovation, acquisition or construction of a facility to be used as a MPSC shall assure that all of the following conditions will be met:
(1) Sufficient funds will be available:
(A) To meet the nonfederal share of the contract.
(B) When alteration, renovation, acquisition or construction is completed, for the effective use of the facility as an MPSC.
(2) In a facility that is shared with other age groups, funds received from the Department, via the AAA, will support only:
(A) That portion of the facility used by older individuals.
(B) A proportionate share of the costs, based upon the extent of the use of the facility by older individuals.
(3) The facility will be operated as a MPSC with a nonrestrictive membership policy.
(4) The expenditure of funds from the Department, via the AAA, will result in a facility useable as a MPSC. Funds shall not be used for planning purposes only.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3027(a)(14).
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§7556. Special Requirements for Purchasing or Constructing a Facility.
Note     •     History

(a) Prior to making an award for the construction of a new facility or the acquisition of a facility by purchase, an AAA shall submit a request for approval to the Department. The request shall include a description of all of the following:
(1) The unmet MPSC need demonstrating that the particular project should be funded.
(2) The method(s) used to determine the unmet need specified in (1), such as public involvement or whether a public hearing or survey was conducted.
(3) The efforts made to meet the unmet need specified in (1) through other community resources or local funding.
(4) The efforts made to rent or lease a suitable structure.
(5) The geographic area to be served by the facility.
(6) The characteristics of the older individuals who will use the MPSC, such as individuals with greatest economic need, greatest social need or low-income minority.
(7) The location of the facility in terms of all of the following:
(A) Accessibility to public transportation, slanted curbs, ramp entrances, well-marked streets and on-site parking.
(B) Physical safety of the neighborhood.
(C) Convenience of other public services.
(8) The actual or proposed physical structure in terms of all of the following:
(A) Compliance with architectural barrier and local building codes.
(B) The availability of open space for group activities.
(C) The adequacy of rooms for meeting, the serving of meals and other programs and services.
(D) The potential for expansion for future needs.
(9) The proposed use of the facility in terms of all of the following:
(A) The anticipated number of  participants on an average day.
(B) The days and hours per week that the facility will be open as a MPSC.
(C) The restrictions, if any, on the persons who may attend.
(D) Any use of the facility for sectarian instruction or religious worship.
(E) The proportion of time and the proportion of space that will be used to serve older individuals.
(F) The programs and services that will be provided to older individuals.
(b) Within 30 days of the receipt of a request specified in (a), the Department shall either grant or deny the request. If the request is denied, the reasons for the denial, along with any recommendations that would render the request approvable, shall be provided to the AAA.
(c) Upon the purchase or completion of construction of the facility, the recipient of the award shall complete the following statement and file it with the County Recorder. A copy of the recorded statement shall be submitted to the AAA.
“This is to serve as notice to all potential sellers, purchasers, transferors and recipients of a transfer of the real property described below as to the Federal Government's reversionary interests as set forth in section 312 of the Older Americans Act of 1965, as amended, 42 U.S.C. 3030b, which have arisen as a result of (name of recipient of award) use of Department of Health and Human Services' grant funds in connection with the purchase or construction of said property. The property to which this notice is applicable is (address) and identified as Parcel (insert appropriate number(s)) in the books and records of (insert appropriate name of appropriate county) Recorder's Office. Said real property is also described as: (insert description provided in survey). Further information as to the Federal Government's interests referred to above can be obtained from: (name and address of the AAA).”
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3027(a)(14).
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§7558. Inventories of MPSCs.
Note     •     History

(a) Each AAA shall maintain an inventory of acquired or constructed MPSCs which, at a minimum, shall include all of the following information:
(1) The date and amount of the award and the proportion of the entire project that the award represents.
(2) Whether the award was granted for acquisition or construction.
(3) The name and address of the recipient of the award.
(4) The name and address of the MPSC, if different from the recipient's.
(b) As part of the Area Plan and annual plan updates, each AAA shall provide the Department with the current status of each acquired or constructed MPSC's ownership and use. In addition, AAAs shall notify the Department immediately of any changes to the inventory specified in (a) that would affect the federal reversionary interest specified in Section.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030(b).
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§7560. Federal Reversionary Interest--Recapture of Payments.
Note     •     History

(a) The provisions of this section shall apply when either of the following conditions occur prior to the expiration of the time period specified in Section 7552:
(1) The facility ceases to be a MPSC.
(2) The ownership of the facility changes to a for profit owner.
(b) Unless a waiver pursuant to Section 7562 is obtained, the Department and the AAA in cooperation with the Department, shall take all actions allowable under the law to collect the federal reversionary interest. These actions may include, but not be limited to, any of the following:
(1) Issuing a demand for the repayment of funds.
(2) Commencing an investigation under the authority of Section 11180, Government Code.
(3) Notifying local law enforcement.
(4) Initiating court proceedings.
(c) The federal reversionary interest shall be determined in accordance with 42 U.S.C. 3030b.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030(b).
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§7562. Waiver from Recapture of Payments.
Note     •     History

(a) If a facility is no longer being used as a MPSC due to reasons beyond the owner's control, such as a natural disaster or rezoning and building demolition for highway construction, the owner, via the AAA, may request a waiver from the recapture of payments, providing the owner agrees to use the repayment amount specified in Section 7560(c) for services to older individuals.
(b) A request for a waiver shall:
(1) Include all of the following:
(A) A brief background of the MPSC.
(B) The date the facility was acquired or construction was completed.
(C) The fair market value of the building and land.
(D) The date the facility became unusable as a MPSC.
(E) The amount and source of any money the owner has received or expects to receive as compensation for the damage to the property.
(F) An agreement to use the repayment amount specified in Section 7560(c) for services to older individuals.
(2) Be forwarded to the Department for review.
(c) Within 20 days of receipt of a request for a wavier pursuant to (a), the Department shall forward the request and its recommendation to grant or deny the request, along with its reasons for the recommendation and any other information required by the federal government, to the federal government for action. The Department shall also send a copy of its recommendation and supporting reasons to the AAA and the owner of the facility.
(d) If the federal government:
(1) Grants the waiver request, the Department shall notify the AAA and the owner of the amount that must be used for services to older individuals. The AAA shall have the responsibility for monitoring to ensure that the owner fulfills his/her obligation.
(2) Denies the waiver request, the Department shall notify the AAA and the owner and shall take action in accordance with Section 7560(b).
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030(b).
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
Article 4. Legal Assistance
§7575. General.
Note     •     History

(a) AAAs and legal assistance providers shall comply with federal regulations 45 CFR 1321.51 and 1321.71, and the provisions of Chapter 4, Article 1 and this article regarding the funding and provision of legal assistance.
(b) In determining the services that will be funded, AAAs shall give priority to legal assistance related to the following areas:
(1) Income.
(2) Health care.
(3) Long-term care.
(4) Nutrition.
(5) Housing.
(6) Utilities.
(7) Protective services.
(8) Defense of guardianship or conservatorship.
(9) Abuse.
(10) Neglect.
(11) Age discrimination.
(c) The primary focus of legal assistance providers shall be the direct representation of older individuals in legal matters.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3027(a)(15) and 45 CFR 1321.71.
HISTORY

1. New article 4 (sections 7575-7579) and section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§7577. Delivery of Services.
Note     •     History

(a) Legal assistance shall be available and accessible throughout the PSA to the targeted groups identified in the Area Plan.
(b) Each prospective legal assistance provider shall include in its bid proposal the specific techniques to be used to make potential clients aware of the legal assistance that will be provided.
(c) All attorneys providing legal assistance shall be licensed and in good standing to practice law in the State of California and shall carry malpractice insurance. Legal assistance may be provided by law students or paralegals only under the direct and regular supervision of a licensed attorney.
(d) Funds received from AAAs shall be used to maintain and/or increase the level of legal assistance furnished to older individuals. Funds shall not be used to supplant funds from other federal or non-federal sources.
(e) Legal assistance providers shall not subcontract any interest or obligation arising under a contract with an AAA without the written agreement of the AAA. However, when the legal assistance provider is an agency of a city or county government, the provider shall have available an alternate resource for legal assistance where conflict exists between the client and any agency of the city or county government. The name and address of the alternate resource shall be furnished to the AAA and the Department's Legal Services Developer.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3027(a)(15).
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§7579. Coordination Activities.
Note     •     History

(a) Legal assistance providers shall, in conjunction with the AAA serving the PSA in which the services are to be provided, coordinate services with all of the following:
(1) The Ombudsman program.
(2) The local Legal Services Corporation program, if the provider is not a member of that program.
(3) The local Health Insurance Counseling and Advocacy program.
(b) Legal assistance providers shall attempt to involve the private bar in legal assistance activities, including groups within the private bar furnishing services to older individuals on a pro bono or reduced fee basis.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3027(a)(15).
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§7625. Service Requirements.
Note     •     History

NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030h and i.
HISTORY

1. New Chapter 4, article 6 (sections 7625 and7627) and section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Editorial correction moving chapter 4 heading to precede section 7500 (Register 97, No. 41).
3. Change without regulatory effect repealing subsection (a) designator from first paragraph, redesignating former subsections (a)(1)-(a)(2)(G) to new subsections (a)-(a)(7), and amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
4. Renumbering of former article 6 to article 5 filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
5. Repealer of article 5 (sections 7625-7627) and repealer of section filed 2-26-2007; operative 7-1-2007 (Register 2007, No. 9).
§7627. Eligibility Requirements.
Note     •     History

NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3002(28) and 3030j.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
3. Repealer filed 2-26-2007; operative 7-1-2007 (Register 2007, No. 9).
Article 5. Title III C-Elderly Nutrition Program
§7630. Definitions.
Note     •     History

In addition to the definitions in Chapter 2 of this Division, the following definitions shall apply to this Article: 
(a) “CRFC” means the California Retail Food Code, which is a uniform statewide health and sanitation standard for food facilities, found in Section 113700 et seq., California Health and Safety Code. 
(b) “Disability” means a condition attributable to mental or physical impairment, or a combination of mental and physical impairments, that results in substantial functional limitations in one (1) or more of the following areas of major life activity: 
(1) Self-care. 
(2) Receptive and expressive language. 
(3) Learning. 
(4) Mobility. 
(5) Self-direction. 
(6) Capacity for independent living. 
(7) Economic self-sufficiency. 
(8) Cognitive functioning. 
(9) Emotional adjustment. 
(c) “Elderly Nutrition Program” means a program which provides nutrition services, as authorized by the Older Americans Act of 1965, as amended, and which shall be provided in accordance with the provisions of this Article. 
(d) “HACCP” means Hazard Analysis Critical Control Point. 
(e) “HACCP Plan” means a written document that delineates the formal procedures for following the HACCP principles that were developed by the National Advisory Committee on Microbiological Criteria for Foods and complies with the requirements of Section 114055, Health and Safety Code. 
(f) “HACCP Principles” means the seven basic steps of HACCP which are: 
(1) The completion of hazard analysis identification by identifying the likely hazards to consumers presented by a specific food. 
(2) The determination of critical control points in receiving, storage, preparation, display, and dispensing of a food. 
(3) The setting of measurable critical limits for each critical control point determined. 
(4) Developing and maintaining monitoring practices to determine if critical limits are being met. 
(5) Developing and utilizing corrective action plans when failure to meet critical limits is detected. 
(6) Establishing and maintaining a recordkeeping system to verify adherence to a HACCP plan. 
(7) Establishing a system of audits to: 
(A) Initially verify the effectiveness of the critical limits set and appropriateness of the determination of critical control points. 
(B) Periodically verify the effectiveness of the HACCP plan. 
(g) “Nutrition counseling” means provision of individualized advice and guidance to individuals who are at nutritional risk because of their health or nutritional history, dietary intake, medications use, or chronic illnesses, about options and methods for improving their nutritional status, performed by a registered dietitian in accordance with Sections 2585 and 2586, Business and Professions Code. 
(h) “Nutrition education” means informing recipients of congregate and home-delivered meals about current facts and information which will promote improved food selection, eating habits, nutrition, health promotion, and disease prevention practices. 
(i) “Nutrition-related supportive services” means outreach, transportation, food shopping assistance, and escort of a participant to nutrition sites. 
(j) “Nutrition screening” means completion of a nutrition screening checklist by eligible individuals to determine if they are at nutrition risk. A nutrition screening checklist is a federal public information collection requirement in the National Aging Program Information System (NAPIS), found in the Federal Register, Volume 59, No. 188, September 29, 1994. 
(k) “Nutrition services” means the procurement, preparation, transport, and service of meals, nutrition education, nutrition screening, and nutrition counseling, to eligible individuals at congregate sites or in their homes. 
(l) “Older individual” means a person sixty (60) years of age or older. 
(m) “Provider” means an entity providing nutrition services. The provider may either be an AAA providing nutrition services directly with Department approval in accordance with subsection 7320(c) of this Division, or an entity under contract with an AAA to provide nutrition services in accordance with Section 7352 of this Division. 
(n) “Registered Dietitian” means a person who shall be both: 
(1) Qualified as specified in Sections 2585 and 2586, Business and Professions Code, and, 
(2) Registered by the Commission on Dietetic Registration. 
(o) “Volunteer” means an individual who provides services without pay, but may receive reimbursement for expenses. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 2585 and 2586, Business and Professions Code; Section 113700 et seq., Health and Safety Code; 42 U.S.C. 3002(8), 3030d and 3030g-21; Section 9109, Welfare and Institutions Code; Section 7100-7155, California Code of Regulations; and Federal Register, Volume 59, No. 188. 
HISTORY

1. Renumbering of former article 6 to article 5 and new article 6 (sections 7630-7638.13) and section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
2. Renumbering of article 6 to article 5 and amendment of subsection (a) filed 2-26-2007; operative 7-1-2007 (Register 2007, No. 9).
§7632. Department Administration of the Elderly Nutrition Program.

§7632.1. Purpose.
Note     •     History

The purpose of the Elderly Nutrition Program is to provide nutrition services as described in the Older Americans Act (OAA) of 1965, as amended, and to assist older individuals in California to live independently, by promoting better health through improved nutrition, and reduced isolation through programs coordinated with nutrition-related supportive services. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030g-21; and Sections 9002, 9108 and 18325 et seq., Welfare and Institutions Code. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7632.3. Goals and Objectives.
Note     •     History

(a) Department goals of the Elderly Nutrition Program are to maintain or improve the physical, psychological, and social well-being of older individuals in California, by providing or securing appropriate nutrition services. 
(b) Department objectives of the Elderly Nutrition Program are to: 
(1) Give preference to older Californians in greatest economic or social need with particular attention to low-income minority individuals. 
(2) Serve meals that provide one-third (1/3) of the Recommended Dietary Allowances (RDAs) and are safe and of good quality. 
(3) Promote and maintain high food safety and sanitation standards. 
(4) Promote good health behaviors through nutrition education and nutrition screening of participants. 
(5) Promote or maintain coordination with other nutrition-related supportive services for older individuals. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9109, 9110 and 9111(f), Welfare and Institutions Code; and 42 U.S.C. 3030g-21. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7632.5. Administrative Responsibilities.
Note     •     History

(a) The Department shall be responsible for the administration of the Elderly Nutrition Program and shall have duties that include: 
(1) Monitoring and evaluating nutrition services. 
(2) Disseminating information to AAAs about nutrition advancements and developments. 
(3) Promoting coordination between nutrition services and community-based organizations serving older individuals. 
(4) Providing technical assistance to AAAs with respect to each duty described above. 
(b) The Department shall have a designated person(s) who shall: 
(1) Have expertise in nutrition and dietary services and planning. 
(2) Be a registered dietitian. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030g-21; 45 CFR 1321.7; and Section 9102, Welfare and Institutions Code. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7634. AAA Administration of the Elderly Nutrition Program.

§7634.1. General Requirements.
Note     •     History

(a) The AAA shall ensure the provision of nutrition services as provided in Sections 7250 and 7252 of this Division, through a provider as defined in subsection 7630(m) above. 
(b) The AAA shall hire a registered dietitian who shall provide oversight of nutrition services in the PSA. 
(c) Targeting Services. The AAA shall set specific objectives in the Area Plan for providing nutrition services to older individuals in accordance with Section 7310 of this Division. 
(d) Needs Assessment. In the Area Plan, the AAA shall assess the level of need for congregate and home-delivered meals within the PSA in accordance with Section 7300 of this Division. 
(e) Dietary Guidelines. The AAA shall ensure that each meal shall meet the requirements of Section 339 of the OAA (42 U.S.C. 3030g-21). 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9111(f) and 9400, Welfare and Institutions Code; and 42 U.S.C. 3026(a) and 3030g-21. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7634.3. AAA Registered Dietitian Scope of Work.
Note     •     History

The registered dietitian shall: 
(a) Participate in developing the AAA nutrition services policies, procedures, and standards. 
(b) Participate in developing and evaluating the AAA Request for Proposal (RFP) concerning nutrition services, as described in Sections 7352 through 7364 of this Division. 
(c) Participate in Area Plan development related to nutrition services, as described in Sections 7300 through 7320 of this Division. 
(d) Annually monitor each nutrition services provider on-site to evaluate the provision of nutrition services. At a minimum, this annual monitoring shall include verification that: 
(1) Meals comply with the nutrition requirements of menus, as specified in Section 7638.5 below. 
(2) Food safety standards are in accordance with the CRFC. 
(3) The curriculum content of all staff training complies with subsection 7636.5(c) below. 
(4) All nutrition education services comply with Section 7638.11 below. 
(5) Nutrition screening scores are accurately collected from all participants in compliance with requirements in subsection 7636.1(b)(7) below. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9400, Welfare and Institutions Code. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
2. Amendment of subsection (d)(2) filed 2-26-2007; operative 7-1-2007 (Register 2007, No. 9).
§7634.5. Selection of an Elderly Nutrition Program Provider.
Note     •     History

(a) Competitive Bid Process. The AAA shall award a nutrition services contract to providers to furnish congregate and/or home-delivered meals through a competitive bid process, pursuant to Sections 7352 through 7364 of this Division. 
(b) For Profit Provider. Prior to awarding a contract to a for profit entity, the AAA shall secure approval from the Department, pursuant to Section 7362 of this Division. 
(c) Direct Services. The AAA must meet requirements in Section 7320 of this Division when providing direct nutrition services. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3027(a)(18); and 45 CFR 92.36. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7636. Elderly Nutrition Program Provider Administration.

§7636.1. General Requirements.
Note     •     History

(a) Each Elderly Nutrition Program provider shall establish and administer nutrition services with the advice of a registered dietitian in accordance with Section 339 of the OAA (42 U.S.C. 3030g-21), and follow the general requirements in Section 7500 of this Division. 
(b) Each Elderly Nutrition Program shall: 
(1) Provide at least one (1) meal per day. 
(2) Serve meals at least five (5) days per week throughout the service area, but not necessarily five (5) days per week at each site. 
(3) Operate at a lesser frequency in a service area where such frequency is not feasible and a lesser frequency is approved by the Department if the AAA is directly providing the services, or by the AAA if the services are being provided under contract. 
(4) Comply with the CRFC and their local health department regarding safe and sanitary preparation and service of meals. 
(5) Comply with the Division of Occupational Safety and Health (Cal/OSHA), California Department of Industrial Relations requirements regarding staff and participant safety. 
(6) At a minimum, quarterly monitor for safe food handling and sanitation practices of food facilities. 
(7) Conduct a nutrition screening of congregate and home-delivered meal participants in accordance with Federal requirements found in Section 339 of the OAA (42 U.S.C. 3030g-21). 
(8) Where feasible and appropriate, make arrangements for the availability of meals to participants during a major disaster, as defined in 42 U.S.C. 5122(2). 
(9) When it is known or reasonably suspected that a program participant has been the victim of abuse, report the abuse to the authorities in accordance with Section 15630, Welfare and Institutions Code. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030e, 3030f and 3030g-21; 45 CFR 1321.65(e); and Sections 7500(c)(3) and 15630, Welfare and Institutions Code. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
2. Amendment of subsection (b)(4) filed 2-26-2007; operative 7-1-2007 (Register 2007, No. 9).
§7636.3. Staff Qualifications.
Note     •     History

(a) The nutrition services provider shall have a manager on staff who shall conduct the day-to-day management and administrative functions of the Elderly Nutrition Program, and either have (1), (2), or (3): 
(1) Possess an associate degree in institutional food service management, or a closely related field, such as, but not limited to, restaurant management, plus two (2) years experience as a food service supervisor, or, 
(2) Demonstrate experience in food service, such as, but not limited to, cooking at a restaurant, and within twelve (12) months of hire successfully complete a minimum of twenty (20) hours specifically related to food service management, business administration, or personnel management at a college level. Prior to completion of meeting the hours, this individual's performance shall be evaluated through quarterly monitoring by a registered dietitian, or, 
(3) Two years experience managing food services. Such experience shall be verified and approved by a registered dietitian prior to hire. 
(b) Personnel. There shall be, at a minimum, a manager as required in (a) above, and a paid staff or volunteer as required in subsection 7638.1(b)(1) below. There shall also be a sufficient number of qualified staff with the appropriate education and experience to carry out the requirements of the Program. The total number of staff shall be based on the method and level of services provided, and size of the service area. 
(c) Preference to Older Individuals. Preference shall be given to hiring older individuals subject to the qualifications of the position. 
(d) Volunteer Services. Volunteers shall be recruited and used in any phase of program operations where qualified. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 7250, California Code of Regulations. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7636.5. Staff/Volunteer Training Requirements.
Note     •     History

(a) All staff, paid and volunteer, shall be oriented and trained to perform their assigned responsibilities and tasks. Training, at a minimum, shall include: 
(1) Food safety, prevention of foodborne illness, and HACCP principles. 
(2) Accident prevention, instruction on fire safety, first aid, choking, earthquake preparedness, and other emergency procedures. 
(b) A yearly written plan for staff training shall be developed, implemented, and maintained on file by the nutrition services provider, as required in subsection 7636.7(c) below. The training plan shall identify who is to be trained, who will conduct the training, content of training, and when it is scheduled. 
(c) The nutrition services provider's registered dietitian shall review and approve the content of all staff training prior to presentation. 
(d) A minimum of four (4) hours of staff training shall be provided annually, by providers, for paid and volunteer food service staff, including congregate and home-delivered meal staff. 
(e) Training sessions shall be evaluated by those receiving the training. 
(f) Documentation of training to include evaluations and attendance records shall be maintained, as required in subsection 7636.7(c) below. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 7250, California Code of Regulations. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7636.7. Records, Reports, Distribution of Information, and Confidentiality.
Note     •     History

(a) The nutrition services provider shall develop and maintain records on congregate and home-delivered meal participants that are in accordance with subsection 7500(a) of this Division. 
(b) The nutrition services provider shall establish procedures in order to comply with subsection 7500(c) of this Division, which ensure the accuracy and authenticity of the number of eligible participant meals served each day. Such procedures shall be kept on file at the provider's site. 
(c) Nutrition services provider records and reports shall be made available for audit, assessment, or inspection by authorized representatives of the AAA, or the Department. 
(d) The nutrition services provider shall ensure that information about, or obtained from a participant's records, shall be maintained in a confidential manner according to subsection 7500(b) of this Division. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 45 CFR 1321.51 and 1321.65. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7636.9. Nutrition Services Incentive Program (NSIP).
Note     •     History

(a) The Secretary of Agriculture provides cash assistance in support of the Elderly Nutrition Program through the Nutrition Services Incentive Program (NSIP) in accordance with Section 311 of the OAA (42 U.S.C. 3030a). These funds are distributed by the Department to the Area Agencies on Aging (AAA) based on a ratio of the number of meals served the prior year in the AAA to the total number of meals served through out the state.
(b) NSIP funds shall be used for meals which: 
(1) Meet the dietary guidelines, as specified in Section 339 of the OAA (42 U.S.C. 3030g-21). 
(2) Are served to eligible participants. 
(3) Are served to volunteers of any age. 
(4) Follow the provisions of “Offer Versus Serve”, as found in 7 CFR 226.20(p): 
(A) Congregate meal participants may be permitted to decline items due to preference or medical reasons. NSIP funds are not affected when a participant declines menu items. 
(c) Use of NSIP funds: 
NSIP funds shall be used to purchase food used in the Elderly Nutrition Program. NSIP funds shall not be used to meet cost sharing or as matching funds for any other federal program. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030a and 3030g-21; 7 CFR 226.20(p) and 250.42(c); 7 CFR 250.42(5)(ii); and 45 CFR 92.22. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
2. Amendment of section heading and section filed 2-26-2007; operative 7-1-2007 (Register 2007, No. 9).
§7638. Nutrition Services Requirements.

§7638.1. Requirements for Congregate Nutrition Services.
Note     •     History

(a) Each congregate meal provider shall: 
(1) Include procedures for obtaining the views of participants about the services received. 
(2) Not preclude the service of a meal to a participant who has failed to make a reservation when food is available. 
(b) Each congregate meal site shall meet all of the following: 
(1) Have a paid staff or volunteer designated to be responsible for the day-to-day activities at each site, and physically be on-site during the time that Elderly Nutrition Program activities are taking place. 
(2) Have restrooms, lighting, and ventilation which meet the requirements of the CURFFL. 
(3) Have equipment, including tables and chairs, that is sturdy and appropriate for older individuals. Tables shall be arranged to assure ease of access and encourage socialization. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030g-21; and Section 113700 et seq., Health and Safety Code. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7638.3. Requirements for Home-Delivered Nutrition Services.
Note     •     History

Each home-delivered meal provider shall: 
(a) Develop and implement criteria to assess the level of need for home-delivered nutrition services of each eligible participant. 
(1) An initial determination of eligibility may be accomplished by telephone. 
(2) A written assessment shall be done in the home within two (2) weeks of beginning meal service, and shall include an assessment of the type of meal appropriate for the participant in their living environment. 
(3) An older individual eligible for receiving home-delivered meals shall be assessed for need for nutrition-related supportive services, and referred as necessary. 
(4) Reassessment of need shall be determined quarterly. Such reassessment shall be done in the home of the participant at least every other quarter. 
(b) Provide written instructions in the language of the majority of the participants for handling and re-heating of the meals. 
(c) Establish a waiting list for home-delivered meals whenever the home-delivered meal providers are unable to provide meals to all eligible individuals. The decision to place eligible recipients of a home-delivered meal on a waiting list, and their position on such a list, shall be based on greatest need and/or in accordance with policy established by the home-delivered meal provider, in consultation with the AAA. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9501, Welfare and Institutions Code; and 42 U.S.C. 3030g-21. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7638.5. Nutrition Requirements of Meals.
Note     •     History

(a) Compliance with dietary guidelines: 
(1) In accordance with Section 339 of the OAA (42 U.S.C. 3030g-21), each meal shall provide the following to participating individuals: 
(A) If the program provides one (1) meal per day, a minimum of one-third (1/3) of the in the Dietary Reference Intakes (DRIs) by the Food and Nutrition Board, Institute of Medicine, National Academy of Sciences (2006), which are incorporated by reference. 
(B) If the program provides two (2) meals per day, a minimum of two-thirds (2/3) of the DRIs. 
(C) If the program provides three (3) meals per day, one hundred (100) percent of the RDAs. 
(2) Meals shall comply with the Dietary Guidelines for Americans (2005. 6th.Edition) by the U.S. Department of Health and Human Services and the USDA, which is incorporated by reference. 
(b) A meal analysis approved by a registered dietitian shall be done to ensure compliance with subsection (a) above, using either: 
(1) a meal component system, or
(2) a detailed nutritional analysis.
(c) Food substitutions to meals originally planned must meet the requirements of this section and be approved by a registered dietitian.
(d) Menus shall: 
(1) Be planned for a minimum of four (4) weeks. 
(2) Be posted in a location easily seen by participants at each congregate meal site. 
(3) Be legible and easy to read in the language of the majority of the participants. 
(4) Reflect cultural and ethnic dietary needs of participants, when feasible and appropriate. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030g-21. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
2. Amendment filed 2-26-2007; operative 7-1-2007 (Register 2007, No. 9).
§7638.7. Eligibility for Nutrition Services.
Note     •     History

(a) Congregate Meals. Individuals eligible to receive a meal at a congregate nutrition site are: 
(1) Any older individual. 
(2) The spouse of any older individual. 
(3) A person with a disability, under age sixty (60) who resides in housing facilities occupied primarily by older individuals at which congregate nutrition services are provided. 
(4) A disabled individual who resides at home with and accompanies an older individual who participates in the program. 
(b) Volunteer Meals. 
(1) A volunteer under age sixty (60) may be offered a meal if doing so will not deprive an older individual of a meal. 
(2) A written policy for providing and accounting for volunteer meals shall be developed and implemented. 
(c) Home-Delivered Meals. Individuals eligible to receive a home-delivered meal are: 
(1) Any older individual who is frail, as defined in Section 7119 of this Division, and homebound by reason of illness, disability, or isolation. 
(2) A spouse of a person in subsection (c)(1) above, regardless of age or condition, if an assessment concludes that it is in the best interest of the homebound older individual. 
(3) An individual with a disability who resides at home with older individuals if an assessment concludes that it is in the best interest of the homebound older individual who participates in the program. 
(4) Priority shall be given to older individuals in (c)(1) above. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030g-21; and 45 CFR 1321.69. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7638.9. Contributions and Fees for Cost of Meals.
Note     •     History

(a) An eligible individual who receives a meal shall be given the opportunity to contribute to the cost of the meal. 
(b) The nutrition services provider shall develop a suggested contribution. When developing this contribution amount, the income ranges of the older individuals in the community and the provider's other sources of income shall be considered. 
(c) A sign indicating the suggested contribution for eligible individuals, and the fee for guests, shall be posted near the contribution container at each congregate meal site. A guest fee shall cover all meal costs. 
(d) No eligible individual shall be denied participation because of failure or inability to contribute. 
(e) The provider shall ensure that the amount of the eligible participant's contribution is kept confidential. 
(f) The nutrition services provider shall establish written procedures to protect contributions and fees from loss, mishandling, and theft. Such procedures shall be kept on file at the provider's site. 
(g) All contributions and fees shall be identified as program income and used to increase the number of meals served, to facilitate access to such meals, and to provide nutrition-related supportive services. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030g-21; and 45 CFR 1321.67. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7638.11. Nutrition Education Services for Participants.
Note     •     History

(a) Nutrition education shall be provided a minimum of four (4) times per year to participants in congregate and home-delivered meal programs. Nutrition education for congregate sites is defined as demonstrations, presentations, lectures or small group discussions, all of which may be augmented with printed materials. Printed material may be used as the sole nutrition education component for the home-delivered meal participants, as well as in conjunction with a congregate meal nutrition education presentation. 
(b) A registered dietitian shall provide input, review, and approve the content of nutrition education prior to presentation. 
(c) Nutrition education services shall be based on the particular need of congregate and home-delivered meal participants. An annual needs assessment shall be performed by the nutrition services provider to make this determination. 
(d) A yearly written nutrition education plan shall be developed, implemented, monitored, and kept on file by the nutrition services provider as required in subsection 7636.7(c) above. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9500, Welfare and Institutions Code; and 42 U.S.C. 3030g-21. 
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
§7638.13. Nutrition Counseling Service for Participants.
Note     •     History

(a) Nutrition counseling service is a nutrition service which may be provided when feasible and appropriate. 
(b) A nutrition services provider shall have written policies and procedures, which ensure that nutrition counseling is provided only by a registered dietitian. 
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3030e and 3030g-21; and Section 2586, Business and Professions Code.
HISTORY

1. New section filed 1-8-2002; operative 2-7-2002 (Register 2002, No. 2).
Chapter 5. Title III Programs -- State Hearings.
§7700. General Provisions.
Note     •     History

The Department shall provide an opportunity for a hearing only when both of the following conditions exist:
(a) The issue to be appealed falls within one of the categories listed in this article.
(b) All of the procedures specified in this article are strictly followed.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. Renumbering of former article 7 to Chapter 5 and renumbering of former section 8500 to new section 7700 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect repealing subsection (a) designator from first paragraph, redesignating former subsections (a)(1) and (a)(2) to new subsections (a) and (b), and amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7702. Definitions.
Note     •     History

(a) “Adverse determination” means a determination or decision by the Department or an AAA that corresponds to one of the issues in section 7704.
(b) “Appellant” means an entity who is appealing an adverse determination.
(c) “Applicant service provider” means an entity, in response to a solicited proposal by an AAA to provide services, that submits an application to provide services under a PSA plan. An entity that submits an unsolicited application to provide services is not an applicant under this section and does not have a right to request a hearing.
(d) “Departmental Hearing Officer” means a staff member of the Department who presides over a hearing when there is an appeal.
(e) “Existing Service Provider” means an entity that presently is under contract or subgrant with an AAA to provide services under an approved Area plan.
(f) “External Hearing Officer” means an attorney who is retained by the Department to preside over a hearing when there is an appeal and who is not employed by the Department in any other capacity.
(g) “Respondent” means the entity against which the appeal is taken, either the Department or an AAA.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3002(17), 3002(40), 3022(2), 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. Renumbering of a portion of former section 8502 to new section 7702 (subsections (d), (f), (h), (k) and (m) of former section 8502 were renumbered to new sections 7105, 7115, 7117, 7140 and 7150, respectively) and subsection relettering filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending subsection (a) filed 3-14-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 11).
3. Repealer of subsections (d) and (i)-(i)(2) and subsection relettering filed 3-14-96; operative 4-13-96 (Register 96, No. 11).
4. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7704. Adverse Determinations.
Note     •     History

Only the actions specified below shall be considered adverse determinations that are subject to a hearing upon request:
(a) The Department's denial of an application for designation as a PSA from any of the following:
(1) A unit of general purpose local government.
(2) A region within the State recognized for area wide planning.
(3) A metropolitan area.
(4) An Indian reservation(s).
(b) Any of the following actions taken by the Department against an AAA:
(1) The disapproval of its Area plan or plan amendment.
(2) The withholding, suspension, or termination of its funds, including cancellation of its contract.
(3) The revocation of its designation as an AAA.
(c) Any of the following actions taken by an AAA once the administrative remedies through the AAA have been exhausted:
(1) A reduction in the level of funding to an existing service provider during a contract or subgrant period. However, a reduction directly attributable to a reduction in the of funding to AAAs by the State or federal government shall not be considered an adverse determination.
(2) A cancellation or termination of an existing service provider's contract or subgrant prior to the contractor's or subgrant's expiration date.
(3) The denial of an application to provide services from an applicant service provider when any of the following exist:
(A) The presence of a conflict of interest, real or apparent, as specified in 45 CFR 92.36(b)(3).
(B) The occurrence of a procedural error or omission, such as the failure of an AAA to include a federal mandate in its solicitation request.
(C) The lack of substantial evidence to support an AAA's action.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025(b)(5)(C), 3026(e)  and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. Renumbering of former section 8504 to new section 7704 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect repealing subsection (a) designator from first paragraph, redesignating former subsections (a)(1)-(a)(3)(C)3. to new subsections (a)-(c)(3)(C), and amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7706. Notice of Adverse Determination.
Note     •     History

A notice of adverse determination from the Department or an AAA shall meet all of the following conditions:
(a) Be in writing and delivered by either of the following methods:
(1) Faxed with a mailed follow-up original.
(2) Certified or overnight mail, return receipt requested.
(b) Describe the grounds for the adverse determination in sufficient detail to enable the entity to respond.
(c) Include all of the following information:
(1) The reason(s) for the adverse determination.
(2) The evidence on which the adverse determination is based.
(3) The effective date of the adverse determination.
(4) The legal or contractual citation upon which the adverse determination is based.
(5) A citation to, or copy of, the hearing process to be followed, including the entity's right to a hearing and the time period in which to request a hearing.
(6) In addition, an AAA shall include in its final notice of adverse determination to an existing service provider or an applicant service provider a statement that all appeal procedures have been exhausted.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. Renumbering of former section 8506 to new section 7706 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending subsection (a)(1)(B) filed 10-28-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 44).
3. Change without regulatory effect repealing subsection (a) designator from first paragraph, redesignating former subsections (a)(1)-(a)(3)(F) to new subsections (a)-(c)(6), and amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7708. Request for a Hearing with the Department.
Note     •     History

(a) An existing service provider or applicant service provider shall exhaust all levels of the AAA's appeal process prior to requesting a hearing.
(b) All requests for hearing shall be:
(1) In writing and addressed to the Director, California Department of Aging, 1600 K Street, Sacramento, California 95814. A copy of the request shall be sent to the AAA, if applicable.
(2) Sent by fax, followed by a mailed original, or certified or overnight mail, return receipt requested.
(c) In the request, the appellant shall set forth all of the following:
(1) The issue as stated in section 7704, that is the basis for the hearing request.
(2) A full statement of the reason(s) for the request and the appellant's position regarding the issue.
(3) A summary of the pertinent facts, applicable law, or regulations in support of its request.
(d) Along with the written request specified in (c), an appellant shall submit the following attachments:
(1) A copy of the notice of adverse determination.
(2) An existing service provider or applicant service provider shall also submit a copy of the AAA's procedures and all documentation and decisions developed as the appeal procedures were exhausted.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. Renumbering of former section 8508 to new section 7708 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending subsection (b)(2) filed 10-28-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 44).
3. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7710. Deadline for Requesting a Hearing.
Note     •     History

(a) An existing service provider or applicant service provider shall submit its written request for hearing to the Department within 30 calendar days from the date of receipt of the AAA's final adverse determination.
(b) All other appellants shall submit their written request within 30 days of receipt of the Department's notice of adverse determination.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. Renumbering of former section 8510 to new section 7710 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7712. Granting or Denial of a Request for a Hearing.
Note     •     History

(a) Within 5 calendar days of receipt of a request for a hearing, the Director shall review the request and take one of the following actions:
(1) Grant the request, if the appellant has followed all procedures and the Director has determined the issue is one of those specified in section 7704, and appoint one of the following to preside over the hearing:
(A) An external hearing officer when the appellant is appealing an adverse determination by the Department.
(B) A departmental hearing officer(s) when the appellant is appealing an adverse determination by an AAA.
(2) Deny the request if the appellant has not followed all procedures or the Director has determined that the issue is not one of those specified in section 7704. A written denial explaining the reasons for the action shall be mailed to the appellant.
(b) The granting of a hearing shall not stay the effective date of the proposed adverse determination until a final decision is rendered, unless either of the following circumstances exist:
(1) Federal law or regulation requires that the action be stayed.
(2) The Department, based upon the particular situation determines that a stay is warranted. In making its determination, the Department shall consider such factors as the reasons for the adverse determination and the effect of the adverse determination on the provision of services to older individuals residing in the PSA.
(c) The hearing officer, in conjunction with the Department shall:
(1) Unless a later date is mutually agreed upon by all parties, schedule the hearing for no later than either of the following:
(A) Ten calendar days from the date the request for a hearing is granted by the Director, when there is an immediate threat to the public's health, safety or general welfare.
(B) Twenty calendar days from the date the request for a hearing is granted by the Director, when there is no immediate threat to the public's health, safety or general welfare.
(2) Provide written notice of the hearing via fax, followed by a mailed original, or certified or overnight mail, return receipt requested, to the appellant and the respondent. The notice of hearing shall specify the location, date, and time of the hearing.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. Renumbering and amendment of former section 8512 to new section 7712 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending subsection (c)(2) filed 10-28-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 44).
3. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7714. Hearing Officer Function and Authority.
Note     •     History

(a) The hearing officer's primary function shall be to determine either, or both, of the following. Whether the:
(1) Adverse determination being appealed violates the provisions of the Area Plan, department or area agency policies, contract, or grant terms, rules, laws, regulations, or procedural due process.
(2) Selection of a bidder was arbitrary, capricious, grossly erroneous, or an abuse of discretion.
(b) The hearing officer's authority and power shall include, but not be limited to, all of the following:
(1) Holding conferences, including pre-hearing conferences, to settle, simplify, or fix the issue in a proceeding, or to consider other matters that may aid in the expeditious disposition of the proceedings.
(2) Requiring parties to state their position with respect to the various issue(s) in the proceeding.
(3) Directing the parties to exchange their evidentiary exhibits and witness lists, and narrative summaries of their expected testimony, either prior to or during the hearing.
(4) Determining the order of evidentiary presentation.
(5) Deciding procedural matters.
(6) Regulating the course of the hearing, including the location, date, and time.
(7) Examining witnesses.
(8) Fixing the limits for submission of written documents.
(9) Taking any action authorized by this hearing procedure.
(10) Recording the hearing.
(c) The hearing officer shall do all of the following:
(1) Conduct a fair and impartial hearing.
(2) Take all necessary actions to avoid delay.
(3) Maintain decorum.
(d) Strict rules of evidence shall not be applicable to hearings pursuant to this article. However, the scope of testimony shall be relevant to the issue(s) identified in the written request for hearing.
(e) The Department may terminate the hearing process if the parties negotiate a written agreement which resolves the issue(s).
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. Renumbering of former section 8514 to new section 7714 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§7716. Decision of the Hearing Officers.
Note     •     History

(a) The hearing officer(s) shall prepare a written proposed decision which shall include findings of fact and conclusions based thereon and a recommended proposed decision to the Director. The proposed decision shall be forwarded to the Director within 10 calendar days from the close of the hearing.
(b) The Director shall review and consider the proposed decision and take one of the following actions:
(1) Adopt the proposed decision as the final decision.
(2) Modify the proposed decision as the final decision.
(3) Write a new final decision.
(4) Remand the proposed decision to the hearing officer(s).
(c) The Director shall notify the parties in writing by certified or overnight mail, return receipt requested, of the final decision within ten calendar days from the date that the proposed decision was submitted to the Director.
(d) Each final decision  shall include either of the following, as appropriate:
(1) A statement that the Director's decision is final and no other administrative remedies are available.
(2) An explanation of the appellant's right pursuant to federal law and regulation to appeal the decision to the Commissioner or Assistant Secretary.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. Renumbering of former section 8516 to new section 7716 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending subsection (c) filed 10-28-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 44).
3. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Chapter 6. Office of the State Long--Term Care Ombudsman
Article 1. Long-Term Care Ombudsman Program Provisions
§8010. Posting of Notice.
Note     •     History

(a) The Ombudsman Notice shall be prominently posted by the licensee in one or more publicly accessible locations in the long-term care facility. It shall be in plain view of, and readable by, patients and residents in the long-term care facility, and of all persons visiting the facility. This includes individuals confined to wheelchairs.
(b) The Ombudsman Notice shall be in the form approved by the Office. The licensee shall not modify, reduce, cover, or take any action that detracts from or denigrates the approved Ombudsman Notice.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Section 9718, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Chapter 2 to new Chapter 6 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Article 2. Ombudsman Duties
§8020. Facility Entry.
Note     •     History

(a) Any ombudsman coordinator, designated ombudsman, or other representative of the Office of the State Long-Term Care Ombudsman (hereinafter “Office”) shall have the right of entry to any long-term care facility, as defined under Section 9701(a) of the Welfare and Institutions Code, to carry out the responsibilities of the Office as provided in Section 9722 of the Welfare and Institutions Code. The State Long-Term Care Ombudsman deems necessary and reasonable hours for such facility entry to be between 7:00 a.m. and 10:00 p.m. seven days a week.
(b) Entry by ombudsmen between 10:00 p.m. and 7:00 a.m. shall be made after a request is made to, and after express authorization is received from, the State Long-Term Care Ombudsman or his/her designated representative. The substate ombudsman coordinator, as defined under Section 9701(e) of the Welfare and Institutions Code, shall notify the State Long-Term Care Ombudsman of any planned entry and shall describe the circumstances making the entry necessary. If the State Long-Term Care Ombudsman or his/her designated representative is unavailable, authorization for such entry may be given by the substate ombudsman coordinator, followed by notice to the State Office and a description of the circumstances making the entry necessary.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9701 and 9722, Welfare and Institutions Code.
HISTORY

1. New section filed 5-7-87; operative 6-6-87 (Register 87, No. 20).
2. Change without regulatory effect amending subsection (b) and Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Article 3. Violations and Enforcement
§8040. Interference with Actions of Office.
Note     •     History

No licensee, employee, agent or other person connected with a long-term care facility shall willfully interfere with any lawful action of the Office. Violations of this Section may be the basis for the assessment of a civil penalty under Section 8045. No person shall:
(a) Willfully prevent, impede, or interfere with entry into a long-term care facility by duly authorized representatives of the Office in the lawful exercise of their responsibilities.
(b) Willfully prevent or interfere with the interviewing of complainants, patients, residents, or witnesses by representatives of the Office in their investigation and resolution of complaints. This includes interference with the maintenance of confidentiality when requested by complainants, witnesses, patients or residents.
(c) Willfully prevent or interfere with the examination or copying of patients' or residents' medical or personal records requested under Section 9724 of the Welfare and Institutions Code, or other records necessary to carry out the responsibilities of the Office requested under Section 9723 of the Welfare and Institutions Code.
(d) Willfully discriminate, discipline, or retaliate against any employee, patient, resident, or volunteer in a long-term care facility for any communication made, or information given, to aid the Office in carrying out its duties and responsibilities. This subdivision does not apply to any communication made, or information given or disclosed, that was done maliciously or without good faith.
(e) Willfully prevent, impede, or interfere in any other way with the work of duly authorized representatives of the Office in the investigation and resolution of complaints.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9715, 9720, 9722, 9723, 9724, 9725, 9730 and 9732, Welfare and Institutions Code.
HISTORY

1. New section filed 5-7-87; operative 6-6-87 (Register 87, No. 20).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
§8045. Civil Penalty.
Note     •     History

(a) Any person who willfully interferes with any lawful action of the Office, including, but not limited to, the actions specified under Sections 8010 and 8040 of this Article, is subject to a civil penalty not exceeding one thousand dollars ($1,000) to be assessed by the Director of Aging. In fixing the amount of the civil penalty to be imposed for willful interference, the Director of Aging shall consider:
(1) The extent to which the provisions of the applicable statutes or regulations were violated.
(2) The “Good Faith” exercised by the licensee or other person connected with the long-term care facility. Indications of good faith include awareness of the applicable statutes and regulations, reasonable diligence in complying with such requirements, and any other mitigating factors in favor of the licensee or other person connected with the long-term care facility.
(3) Any prior history of willful interference by the licensee or other person connected with the long-term care facility.
(b) If a licensee or other person connected with the long-term care facility does not wish to contest the civil penalty he/she may transmit to the Department, within ten business days after service of the assessment, the full amount of the civil penalty assessed.
(c) If the licensee or other person connected with the long-term care facility fails to respond within ten business days after service of the assessment, an action shall be initiated by the Director of Aging in the Municipal Court, Small Claims Court Division in the jurisdiction in which the facility is located, to collect the assessed penalties.
Office of the State Long-Term Care Ombudsman staff or substate Ombudsman Coordinators shall file the action on behalf of the Director of Aging and appear for the Director of Aging to collect the penalties under this Subsection.
Actions appealed to the Superior Court shall be represented by the Attorney General's Office under Section 9713 of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 9102 and 9105, Welfare and Institutions Code. Reference: Sections 9713, 9732, Welfare and Institutions Code.
HISTORY

1. New section filed 5-7-87; operative 6-6-87 (Register 87, No. 20).
2. Change without regulatory effect amending Note filed 2-10-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 7).
Chapter 4. Planning and Service Areas (PSAs) and Area Agencies on Aging (AAAs)
Article 7. Title III Programs -- State Hearings
§8500. General Provisions.
Note     •     History

NOTE

Authority cited: Sections 9303 and 9306.4, Welfare and Institutions Code. Reference: Section 9301, Welfare and Institutions Code; 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. New Chapter 4, article 7 (sections 8500-8516) and section filed 3-14-95; operative 4-13-95 (Register 95, No. 11).
2. Repealer of Chapter 4, renumbering of former article 7 to new Chapter 5, and renumbering of former section 8500 to section 7700 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
§8502. Definitions.
Note     •     History

NOTE

Authority cited: Sections 9303 and 9306.4, Welfare and Institutions Code. Reference: Sections 9101, 9108, 9109 and 9301, Welfare and Institutions Code; 42 U.S.C. 3002(17), 3002(40), 3022(2), 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. New section filed 3-14-95; operative 4-13-95 (Register 95, No. 11).
2. Renumbering of a portion of former section 8502 to new section 7702 (subsections (d), (f), (h), (k) and (m) of former section 8502 were renumbered to new sections 7105, 7115, 7117, 7140 and 7150, respectively) filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
§8504. Adverse Determinations.
Note     •     History

NOTE

Authority cited: Sections 9303 and 9306.4, Welfare and Institutions Code. Reference: Section 9301, Welfare and Institutions Code; 42 U.S.C. 3025(b)(5)(C), 3026(e)  and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. New section filed 3-14-95; operative 4-13-95 (Register 95, No. 11).
2. Renumbering of former section 8504 to new section 7704 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
§8506. Notice of Adverse Determination.
Note     •     History

NOTE

Authority cited: Sections 9303 and 9306.4, Welfare and Institutions Code. Reference: Section 9301, Welfare and Institutions Code; 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. New section filed 3-14-95; operative 4-13-95 (Register 95, No. 11).
2. Renumbering of former section 8506 to new section 7706 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
§8508. Request for a Hearing with the Department.
Note     •     History

NOTE

Authority cited: Sections 9303 and 9306.4, Welfare and Institutions Code. Reference: Section 9301, Welfare and Institutions Code; 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. New section filed 3-14-95; operative 4-13-95 (Register 95, No. 11).
2. Renumbering of former section 8508 to new section 7708 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
§8510. Deadline for Requesting a Hearing.
Note     •     History

NOTE

Authority cited: Sections 9303 and 9306.4, Welfare and Institutions Code. Reference: Section 9301, Welfare and Institutions Code; 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. New section filed 3-14-95; operative 4-13-95 (Register 95, No. 11).
2. Renumbering of former section 8510 to new section 7710 filed 1-29-96; operative 2-28-96 (Register 96, No. 6).
§8512. Granting or Denial of a Request for a Hearing.
Note     •     History

NOTE

Authority cited: Sections 9303 and 9306.4, Welfare and Institutions Code. Reference: Section 9301, Welfare and Institutions Code; 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. New section filed 3-14-95; operative 4-13-95 (Register 95, No. 11).
2. Renumbering of former section 8512 to new section 7712 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
§8514. Hearing Officer Function and Authority.
Note     •     History

NOTE

Authority cited: Sections 9303 and 9306.4, Welfare and Institutions Code. Reference: Section 9301, Welfare and Institutions Code; 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. New section filed 3-14-95; operative 4-13-95 (Register 95, No. 11).
2. Renumbering of former section 8514 to new section 7714 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
§8516. Decision of the Hearing Officers.
Note     •     History

NOTE

Authority cited: Sections 9303 and 9306.4, Welfare and Institutions Code. Reference: Section 9301, Welfare and Institutions Code; 42 U.S.C. 3025(b)(5)(C) and 3027(a)(5); and 45 CFR 1321.29(c) and 1321.35(a).
HISTORY

1. New section filed 3-14-95; operative 4-13-95 (Register 95, No. 11).
2. Renumbering of former section 8516 to new section 7716 filed 1-29-96; operative 2-28-96 (Register 96, No. 5).
Division 2. Department of Social Services--Department of Health Services
Part 1. Department of Social Services--Manuals of Policies and Procedures
The Department of Social Services and the Department of Health Services have adopted and filed with the Secretary of State the regulations hereinafter listed, together with various additions, amendments, and repealers thereof adopted and filed from time to time. These regulations are, for the present, separately published, not as part of the California Administrative Code.
Information concerning the regulations may be obtained, and the manuals may be purchased, from the Department of Social Services, 744 P Street, Sacramento, California 95814. Copies are on file and available for public use in the office of the welfare department of each county. Some public libraries have them.
A list of rules so compiled and published follows: 
MANUALS OF POLICIES AND PROCEDURES
Eligibility and Assistance Standards
Fiscal Management and Control
Food Stamp Regulations
Operations 
*Social Service Standards
Specialized Programs 
*Specialized Social Services and Related Programs
Staff Development and Training
Statistical Reports 
DEPARTMENT BULLETINS
Department bulletins are not compiled in booklet form. Individual bulletins are sent to holders of the manual to which the bulletin applies.

*Department of Health adopts and files these regulations, purchase requests are filled by Department of Health, 714 P Street, Sacramento, CA 95184.
Part 2. Health and Welfare Agency--Department of Health Services Regulations
Subdivision 1. Health and Welfare Agency
Chapter 1. Displaced Homemakers Programs
Article 1. Definitions
§10001. Barriers.
Note     •     History

“Barriers” means conditions or circumstances which interfere with achievement of independence and self-sufficiency. Barriers include, but are not limited to, the following conditions or circumstances:
(a) Lack of job skills.
(b) Health problems (physical, mental, or emotional).
(c) Handicap.
(d) Financial problems.
(e) Legal problems.
(f) Age.
(g) Inadequate housing.
(h) Inadequate child or family care.
(i) Poor work attitudes.
(j) Lack of transportation.
(k) Lack of education, including language problems.
NOTE

Authority cited for Chapter 1 (Sections 10001-10046, not consecutive): Sections 7310, 7312, 7330 and 7332, Government Code. Reference: Sections 7300-7314 and 7320-7335, Government Code.
HISTORY

1. New Chapter 1 (Articles 1-4; Sections 10001-10046, not consecutive) filed 6-7-78; effective thirtieth day thereafter (Register 78, No. 23).
§10002. Barrier Reduction.

“Barrier reduction” means reducing the effect a barrier has over a person's ability to attain independence and self-sufficiency, as measured by progress toward goal attainment.
§10003. Barrier Removal.

“Barrier removal” means the elimination of identifiable barriers which preclude independence and self-sufficiency.
§10004. Depended on Income.

“Depended on income” means relied on such income in order to meet expenses for necessities, including, but not limited to, shelter, food, clothing, and transportation.
§10005. Family Member.

“Family member” means a spouse, grandparent, parent, child, brother, or sister, including adoptive, step, and foster relationships.
§10006. Gainfully Employed.

“Gainfully employed” means that within the preceding 30 days before application for services, the displaced homemaker has met either of the following standards:
(a) Worked more than an average of 20 hours per week.
(b) Earned more than 50 percent of the applicable minimum wage had the displaced homemaker been working full time during that 30-day period.
§10007. Healthy.

“Healthy” means the absence or sufficient control of disease or infirmity so that an individual is able to pursue those activities which lead to independence and self-sufficiency.
§10008. Independence and Self-Sufficiency.

“Independence and self-sufficiency” refers to a determination on an individual basis that the identified and recorded needs of a displaced homemaker have been met.
§10009. Job Training.

“Job training” means a planned, systematic sequence of formal instruction or other learning experience on an individual or group basis under competent supervision which is designed to impart skills, knowledge, or abilities to prepare individuals for suitable employment, and planned follow-up or evaluation to measure results.
§10010. Severe Social or Economic Circumstances.

“Severe social or economic circumstances” include, but are not limited to:
(a) Significant lack of work experience outside the home.
(b) Extensive number of years exclusively as a homemaker.
(c) Low education level achieved and its relationship to jobs in the labor market.
(d) Insufficient financial resources--assets and outside income.
(e) Poor general state of health--physical, mental, and emotional.
(f) Substantial economic dependency on a family member's previously available income.
Article 2. Priority for Services for Eligible Participants
§10021. Priority for Services for Eligible Participants.

Priority for services for eligible participants shall be given to persons who are most recently displaced homemakers, who have spent the greatest number of years working solely as a homemaker, who have the most severe social or economic circumstances, and who can most benefit from the services offered by the Displaced Homemaker Center.
Article 3. Stipends for Job Training
§10031. Stipend Eligibility.

A displaced homemaker participating in approved job training programs authorized by Section 7306 of the Government Code for the Alameda County Displaced Homemaker Center or by Section 7326 of the Government Code for the Los Angeles County Displaced Homemaker Center is eligible for monthly stipends during the course of training if all of the following criteria are met:
(a) The individual is a displaced homemaker as defined by Section 7301 of the Government Code for the Alameda County Displaced Homemaker Center, or by Section 7321 of the Government Code for the Los Angeles County Displaced Homemaker Center, and is participating in an approved job training program.
(b) The individual needs job training in order to become employed and is willing and able to work upon completion of training.
(c) The individual does not have any combination of savings and checking accounts totaling $25,000 or more.
(d) The individual's monthly family income during the 30-day period preceding entry into job training does not exceed the amount of income as shown in the Stipend Table set forth in Section 10032 of these regulations in the case of the Alameda County Displaced Homemaker Center, or set forth in Section 10033 of these regulations in the case of the Los Angeles County Displaced Homemaker Center.
§10032. Stipend Table: Alameda County.

Displaced homemakers eligible for stipends under Section 10031 of these regulations shall be paid in accordance with the following Stipend Table for the Alameda County Displaced Homemaker Center:

View Graphic
§10033. Stipend Table: Los Angeles County.

Displaced homemakers eligible for stipends under Section 10031 of these regulations shall be paid in accordance with the following Stipend Table for the Los Angeles County Displaced Homemaker Center: 

View Graphic
§10034. Monthly Family Income.

(a) “Monthly family income” means the sum of all monies received during the 30 days preceding application for services at the Displaced Homemaker Center, or for job training purposes, during the 30-day period preceding entry into job training.
(b) “Monthly family income” includes gross wages or salary received and other income received from any source including, but not limited to, net rents, social security benefits, welfare grants, insurance policy annuities, stock dividends, interest, pensions, court-ordered spousal support or child support, and unemployment insurance benefits.
(c) “Monthly family income” does not include income, except for court-ordered spousal or child support, received from the family member upon whom the displaced homemaker had depended prior to becoming a displaced homemaker.
§10035. Duration of Stipend Payments.

If an individual is eligible for a monthly stipend and the individual continues to certify to participation in approved job training on a monthly basis, stipends shall be paid throughout the period of approved training. The average duration of the period of approved training for all individuals shall be three (3) months.
§10036. Use of Stipends.

The stipend is intended both as an incentive to participate in job training and a means to offset training-related expenses. The stipend is not intended to support fully the individual while in training status.
§10037. Attendance.

Displaced homemakers in approved job training status shall be paid the stipend only for those days actually attended.
§10038. Overpayments.

(a) The Displaced Homemaker Center shall be responsible for recovery of overpayments.
(b) Any individual who is overpaid any amount of stipends is liable for the amount overpaid unless all of the following conditions exist:
(1) The overpayment was not due to fraud, misrepresentation, or willful nondisclosure by the individual.
(2) The overpayment was received without fault by the individual.
(3) The recovery of the overpayment would be against equity and good conscience.
(c) If the Displaced Homemaker Center determines that an overpayment should be recovered, the amount of the overpayment shall be offset from the individual's monthly stipend until satisfied. If the overpayment cannot be recovered by offset, the displaced homemaker shall make restitution.
Article 4. Sliding Fee Schedule: Workshops
§10041. Workshops.

Workshops at the Displaced Homemaker Center shall be held on a variety of topics to assist the displaced homemaker in attaining identified goals. These topics shall include, but are not limited to, health care, legal rights, money management and self-awareness.
§10042. Criteria for Payment of Fees.

A displaced homemaker shall have to pay a fee for each workshop attended if his or her family size and monthly family income fall within the standards set forth in the sliding fee schedule set forth in Section 10045 of these regulations for Alameda County, or in Section 10046 of these regulations for Los Angeles County. The Displaced Homemaker Center may, if a demonstrated change in a participant's monthly family income so warrants, reassess the fees charged for workshop participation.
§10043. Referral--Non-Charging of Fees.

Fees shall not be charged by the Displaced Homemaker Center for referral of displaced homemakers to other agencies for the purpose of obtaining services.
§10044. Identification and Use of Fees Collected.

Fees collected from participants shall be identified as income received from service programs and shall be expended only for the development and provision of such service programs as are designed to meet the specific needs of displaced homemakers and as are authorized under Section 7309 of the Government Code for Alameda County, or under Section 7329 of the Government Code for Los Angeles County.
§10045. Sliding Fee Schedule: Alameda County.

The sliding fee schedule for each workshop attended at the Alameda County Displaced Homemaker Center shall be as follows:

View Graphic
§10046. Sliding Fee Schedule: Los Angeles County.

The sliding fee schedule for each workshop attended at the Los Angeles County Displaced Homemaker Center shall be as follows: 

View Graphic
Chapter 2. Health and Welfare Agency--Conflict of Interest Code
§10100. General Provisions.

The Political Reform Act, Government Code Sections 81000, et seq., requires state and local government agencies to adopt and promulgate Conflict of Interest Codes. The Fair Political Practices Commission has adopted Section 18730 of Title 2 California Code of Regulations (CCR), containing the terms of a standard Conflict of Interest Code. Section 18730 may be incorporated by reference, and may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of Section 18730 of Title 2, CCR and any amendments to it duly adopted by the Fair Political Practices Commission, along with the attached Appendices (in which officials and employees are designated and disclosure categories are set forth), are hereby incorporated by reference. These terms, amendments and Appendices constitute the Conflict of Interest Code of the California Health and Human Service Agency. Designated employees shall file statements of economic interests (Form 700) with the California Health and Human Services Agency. 
The original statement of economic interests (Form 700) for the following officials shall be sent to the Fair Political Practices Commission and a copy retained by the filing officer(s):
-- The Secretary of the Health and Human Services Agency

Appendix A  California Health and Human Services Agency

Assigned Disclosure Designated Employees Categories
I. Office of the Secretary

Class or Position		Disclosure Category
Secretary		1
Undersecretary		1
Special Assistant to the Secretary		1
Agency Chief Counsel		1
Deputy Secretary		1
Assistant Secretary		1
Associate Secretary		1
Assistant Associate Secretary		1
Agency Information Officer		1
Career Executive Assignment*		1
Staff Services Manager II		2
Staff Services Manager I		2
Consultant{		1

II. Office of HIPAA Implementation

Class or Position		Disclosure Category
Director		1
Assistant Director		1
Staff Services Manager II		1
Senior Staff Counsel		1
Career Executive Assignment*		1
Staff Services Manager II		2
Staff Services Manager I		2
Data Processing Manager III		2
Consultant{		1

III. Office of Systems Integration

Class or Position		Disclosure Category
Director		1
Chief Deputy Director		1
Deputy Director		1
Project Director		1
Data Processing Manager IV		1
Career Executive Assignment*		1
Data Processing Manager III		2
Data Processing Manager II		2
Data Processing Manager I		2
Staff Services Manager III		2
Staff Services Manager II		2
Staff Services Manager I		2
Senior Information Systems Analyst		2
Human Resources Manager		2
Procurement Unit -- Procurement & Contract 
 Administrator		3
Business Operations Manager		4
Specification & Requirements Developer and Bid 
 Evaluator		4
Procurement & Contract Administrator		4
Software Coordinator		5
Consultant{		1

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

Appendix B Disclosure Categories

Designated employees assigned to this category must report:
Category 1
All interests in real property in the State of California, as well as investments, business positions and sources of income, including gifts, loans and travel payments.
Category 2
All investments, business positions and sources of income, including gifts, loans and travel payments.
Category 3
All investments, business positions and income, including gifts, loans and travel payments, from sources that provide leased facilities, goods, equipment, vehicles, machinery, software, hardware, or services, including training or consulting services, of the type utilized by the office.
Category 4
All investments, business positions and income, including gifts, loans and travel payments, from sources that provide leased facilities, goods, equipment, vehicles, machinery, software, hardware, or services, including training or consulting services, of the type utilized by the employee's program/area of authority.
Category 5
A designated employee in this category must report investments and business positions in business entities, and income, including gifts, loans, and travel payments, from sources that manufacture, distribute, supply, or install computer hardware or software of the type utilized by the agency, as well as entities providing computer consultant services.
NOTE

Authority cited: Section 87300, Government Code. Reference: Sections 87300-87311, Government Code.
HISTORY

1. New Chapter 2 (Sections 10100-10119) filed 6-24-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 4-5-77 (Register 77, No. 26).
2. Repealer of Chapter 2 (Sections 10100-10119, Appendices A-C) and new Chapter 2 (Sections 10100-10101 and Appendix) filed 2-18-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 11-3-80 (Register 81, No. 8).
3. Amendment filed 2-24-93 (Register 93, No. 9). Submitted to OAL for print purposes only pursuant to Government Code section 11343.8.
4. Repealer of section and new section and appendices A and B filed 10-16-2007; operative 11-15-2007. Approved by Fair Political Practices Commission 9-25-2007 (Register 2007, No. 42).
§10101. Appendix. [Repealed]
Note     •     History

NOTE

Authority cited: Section 87300, Government Code. Reference: Sections 87300-87311, Government Code.
HISTORY

1. Amendment of subsection (a) filed 3-11-86; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 2-4-86. (Register 86, No. 11).
2. Amendment filed 2-24-93 (Register 93, No. 9). Submitted to OAL for print purposes only pursuant to Government Code section 11343.8.
3. Repealer filed 10-16-2007; operative 11-15-2007. Approved by Fair Political Practices Commission 9-25-2007 (Register 2007, No. 42).
Chapter 3. Safe Drinking Water and Toxic Enforcement Act of 1986
HISTORY

1. Change without regulatory effect renumbering title 22, division 2, subdivision 1, chapter 3 (articles 1-9, sections 12000-14000) to title 27, division 4, chapter 1 (articles 1-9, sections 25102-27001) filed 6-17-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 25).
Chapter 4. Hazardous Substance Cleanup Arbitration Panel Hearing Regulations
HISTORY

1. Change without regulatory effect renumbering title 22, division 2, subdivision 1, chapter 4 (articles 1-7, sections 15000-15040) to title 27, division 4, chapter 2 (articles 1-7, sections 28000-28040) filed 6-17-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 25).
Subdivision 2. Administration
Chapter 1. Department of Social Services--Conflict of Interest Code
§20000. Conflict of Interest Code for the California Department of Social Services.
History

The Political Reform Act (Government Code Section 81000, et seq.) requires state and local government agencies to adopt and promulgate conflict of interest codes. The Fair Political Practices Commission has adopted a regulation (2 Cal. Code of Regs. Sec. 18730) which contains the terms of a standard conflict of interest code, which can be incorporated by reference in an agency's code. After public notice and hearing it may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act. Therefore, the terms of 2 California Code of Regulations Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission are hereby incorporated by reference. This regulation and the attached Appendix designating officials and employees and establishing disclosure categories, shall constitute the conflict of interest code of the California Department of Social Services.
Designated employees shall file statements of economic interests with the California Department of Social Services. The Department shall make the statements available for public inspection, and reproduction, (Gov. Code Section 81008). Upon receipt of the statement of the Director, the California Department of Social Services shall make and retain a copy and forward the original to the Fair Political Practices Commission. Statements for all other designated employees will be retained by the department.

Appendix A   Designated Positions

	Assigned
	Disclosure
Designated Positions	Categories
Director, California Department of Social Services	 1
Chief Deputy Director, California Department of Social Services	 1
All Deputy Directors	 1
All Consultants*	 1

All Exempt Employees	 2
 Legislative Coordinator	 2
 Chief, Office of Human Rights	 2
All Assistant Chief Counsels	 2
All Staff Counsels, all levels	 2
All Administrative Law Judges, all levels	 2
All Branch Chiefs	 2
All Regional Managers	 2
All Administrative Services Section Chiefs	 2
All Purchasing Agents	 2
All Space Planning and Acquisition Units Chiefs	 2
All Space and Communications Specialists	 2
All Contract Analysts	 2
All Section Chiefs, Information Technology	 2
All Project Managers, Information Technology	 2
 Chief, Office of Deaf Access	 2
 Chief, Office of Services to the Blind	 2
All Negotiators of Contracts for goods and services.	 2

	(Is involved as a state employee, at other than a clerical level, in the functions of negotiating or signing any contract awarded through competitive bidding, in making decisions in conjunction with the competitive bidding process, or in negotiating, signing or making decision on contracts executed pursuant to Section 10122 of the Public Contract Code.)

 Chief, Office of Child Abuse Prevention	 3
 Chief Medical Officer, Disability Evaluation Division	 3
 Chief, Office of Disability Hearings, Disability Evaluation Division	 3
 Chief, Life Care Contracts	 3
All Bureau Chiefs	 3
All District Office Managers	 3
All Child Abuse Prevention Specialists	 3
All Foster Care Rates Analysts	 3
All Licensing Analysts, all levels	 3
All Investigators, all levels	 3
All Auditors, all levels	 3
All Medical Consultants	 3

___________*With respect to consultants, the Director or his/her designee, however, may determine in writing that a particular consultant, although a “designated position,” is hired to perform a range of duties that is limited in scope and thus not required to comply with the disclosure requirements described in this section. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The Director's or his/her designee's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code.
Supervisors and managers, if not separately identified, shall report in same category as person supervised.

Appendix B   Disclosure Categories
Category 1:
Designated Employees in Category 1 Must Report:
All investments, interests in real property in California, and sources of income.
Status as a director, officer, partner, trustee, employee or holder of a management position in any business entity or nonprofit corporation.
Category 2:
Designated Employees in Category 2 Must Report:
All investments in and income from any business entity, nonprofit corporation, or other source which are of the type that contracts with or seeks to contract with, receives grants or other monies or seeks to receive grants or other monies from or on behalf of the California Department of Social Services; and/or that is subject to the audit, approval or licensure by the California Department of Social Services.
Status as a director, officer, partner, trustee, employee or holder of a management position in any business entity or nonprofit corporation which are of the type that contracts with or seeks to contract with, receives grants or other monies or seeks to receive grants or other monies from or on behalf of the California Department of Social Services; and/or that is subject to the audit, approval or licensure by the California Department of Social Services.
Category 3:
Designated Employees in Category 3 Must Report:
All investments in and income from any business entity, nonprofit corporation or other source which are of the type that contracts with or seeks to contract with, receives grants or other monies or seeks to receive grants or other monies from or through the employee's Division; and/or that is subject to the audit, approval or licensure by the employee's Division.
Status as a director, officer, partner, trustee, employee or holder of any position of management in any business entity or nonprofit corporation which are of the type that contracts with or seeks to contract with, receives grants or other monies or seeks to receive grants or other monies from or through the employee's Division; and/or that is subject to the audit, approval or licensure by the employee's Division.
HISTORY

1. New Chapter 1 (Section 20000 and Appendix) filed 3-18-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 12). 
2. Amendment of Section 20000 and Appendix and new Sections 20001-20007 filed 6-7-85; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 4-16-85 (Register 85, No. 23).
3. Repealer of chapter 1 (sections 20000-200007) and new chapter 1 (section 20000 and Appendices A and B) filed 10-21-97; operative 11-20-97. Approved by Fair Political Practices Commission 8-22-97 (Register 97, No. 43).
Chapter 2. Department of Health Services--Conflict of Interest Code
§20100. General Provisions.
Note     •     History

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

Authority cited: Sections 87300 and 87311, Government Code. Reference: Sections 87300, et seq., Government Code. 
HISTORY

1. New chapter 2 (sections 20100-20199) filed 8-18-77, effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 34). 
2. Repealer of chapter 2 (sections 20100-20119, Appendices, A, B, C) and new chapter 2 (sections 20100-20119, Appendices A and B) filed 3-12-79; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 1-17-79 (Register 79, No. 11). 
3. Repealer of chapter 2 (articles 1-8, sections 20100-20119 and Appendices A and B) and new chapter 2 (section 20100 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80 (Register 81, No. 9). 
4. Amendment of Appendix filed 2-23-83; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 1-18-83 (Register 83, No. 9).
5. Amendment of general provisions, repealer of Appendix, and new Appendix filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
6. Amendment of first paragraph of General Provisions and amendment of Appendix filed 9-26-96; operative 10-26-96. Approved by Fair Political Practices Commission 8-14-96 (Register 96, No. 39).

Appendix

	Assigned
	Disclosure
Designated Positions	Category

Director 	 1
Assistant Branch Chief and above 	 1
All Section Chiefs 	 2
All Attorneys 	 1
All Medical Professionals (not giving direct patient services)	 2
 i.e.: Public Health Medical Officers, and Regional Medical 
 Coordinator

All Examiners I, II, III in Laboratory Field Services 	 4,5

	Assigned
	Disclosure
Designated Positions	Category

All Auditors	 1
All Investigators	 1
All Environmental Health Specialists	 5,6
All Environmental Specialists I, II, III, IV	 5,6
All Health Facility Evaluators, Nurses, Specialists 	 3,4,5
All Food & Drug Specialists and Scientists 	 5
All Nurse Evaluators	 4,5

All Field Office or Regional Administrators/Assistant 	 2
 Administrators in Medicare Services, Licensing and
 Certification, and Audits and Investigations
All Negotiators of Contracts for goods and services	 3
 (Is involved as a state employee, at other than a clerical level,
 in the functions of negotiating or signing any contract 
 awarded through competitive bidding, in making decisions
 in conjunction with the competitive bidding process, or in
 negotiating, signing or making decisions on contracts executed
 pursuant to Section 10122 of the Public Contract Code).
Supervisors and managers, if not separately identified, shall 
 report in same category as person supervised. 
All Public Health Nurses	 2
All Consultants (Civil Service) i.e.: Nursing Consultants,	 2
 Health Education Consultants, Pharmaceutical Consultants,
 Public Health Nutrition Consultants, Occupational Therapy
 Consultants, Podiatric Consultants, Social Service Consultants,
 Dental Consultants, Physical Therapy Consultants, 
 Medical Consultants, Medical Records Consultants.
All Cytotechnologists	4,5
All Information Officers	1
All Health Physicists	 5,6
All Radiation Protection Specialists	 5
All Members of Boards and Committees (which do not serve	 4,5
 solely an advisory function)
All Consultants (Contractors)*	 1

*With respect to Consultants, the Director may determine in writing that a particular consultant, although in a “designated position”, is hired to perform a range of duties that is limited in scope and thus is not required to fully comply with the disclosure requirements. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The Director's determination is a public record and shall be retained for public inspection.
Disclosure Categories 
Category 1 
Designated employees in this category must disclose:
All investments, business positions, interests in real property and sources of income.
Category 2
Designated employees in this category must disclose:
All investments, business positions, and sources of income.
Category 3
Designated employees in this category must disclose:
Investments, business positions, and sources of income in business entities of the type which contract with the Department of Health Services or contract to provide services, equipment, machinery, leased space, materials or supplies to or on behalf of the Department of Health Services.
Category 4
Designated employees in this category must disclose:
Investments, business positions, and sources of income in business entities which contract with or receive grants or other monies from or through the employee's division.
Category 5
Designated employees in this category must disclose:
Investments, business positions, and sources of income in business entities which are licensed by, permitted by, or have certificates from or are otherwise regulated by, or provide consultant services to, the division, board, committee or council where the designated employee holds his or her position or serves.
Category 6 
Designated employees in this category must disclose:
Interests in real property in California.
Chapter 2.1. Department of Health Services Audits and Appeals
§20201. Definitions.
Note     •     History

The following definitions shall be used throughout this article unless otherwise noted:
(a) Audit or Examination. “Audit or examination” means a systematic review or examination by or on behalf of the Department of a contractor's records or reports maintained or developed pursuant to a contract with the Department.
(b) Audit or Examination Notice. “Audit or examination notice” means a written notice of the Department's final actions upon the audit or examination of a contractor and which is formally issued to a contractor.
(c) Contract. “Contract” means any agreement, whereby a person or entity promises to do or not to do a particular act.
(d) Contractor. “Contractor” means a person or entity who has entered into a contract with the Department.
(e) Direct Service Contract. “Direct service contract” means a contract, wherein the contractor agrees to provide services directly to the public or to persons who are eligible for programs administered or supported by the Department. “Direct service contract” does not include contracts entered into pursuant to Chapter 7 (commencing with Section 14000) or Chapter 8 (commencing with Section 14200) of Part 3 of Division 9 of the Welfare and Institutions Code, or with governmental agencies, units of government, regional centers, or area agencies on aging.
(f) Probability Sampling. “Probability sampling” means a standard statistical methodology by which a sample is selected based on the theory of probability (a mathematical theory used to study the occurrence of random events).
(g) Qualified Underpayment. “Qualified underpayment” means any payment by the Department for a service billed under a direct service contract for less than the amount authorized under the contract, and where the bill for that service is part of the sample identified by the Department for audit.
(h) Statistical Extrapolation. “Statistical extrapolation” means the methodology whereby an unknown value can be estimated by projecting the results of a probability sample to the universe from which the sample was drawn with a calculated precision (margin of error).
NOTE

Authority cited: Sections 208 and 38036, Health and Safety Code. Reference: Sections 38011, 38020, 38030, and 38041, Health and Safety Code; Sections 11180 and 11181, Government Code; and Stipulated Judgment in Planned Parenthood v. Department of Health Services, Sacramento Superior Court, No. 328490.
HISTORY

1. New section filed 5-31-89; operative 6-30-89 (Register 89, No. 23).
§20202. Audits.
Note     •     History

(a) All contracts entered into with the Department shall be subject to audit.
(b) Prior to the conclusion of an audit or examination of a contractor, by or on behalf of the Department, the contractor shall be provided with:
(1) Information concerning the audit findings, the reasons for those findings, and the evidence on which those findings are based.
The contractor shall be allowed 30 calendar days after receipt of the above information in which to provide evidence to the auditor regarding misinterpretation of policies, regulations, or statutes; or errors in the audit process which were made and which impact the audit results. The auditor shall consider such additional information in preparing the audit or examination report.
(2) A list of any specific instances in which no records or inadequate records were found to substantiate claims billed to the contract.
Within 30 calendar days of the date the list identified above is received by the contractor, the contractor shall make available to the Department any records which were identified as unavailable for review or missing in order to have those records considered in the audit or examination report. Records provided pursuant to this subsection shall be considered by the auditor in preparing the audit or examination report.
NOTE

Authority cited: Sections 208 and 38036, Health and Safety Code. Reference: Sections 11180 and 11181, Government Code; Section 38041, Health and Safety Code; and Stipulated Judgment in Planned Parenthood v. Department of Health Services, Sacramento Superior Court, No. 328490.
HISTORY

. 1.New section filed 5-31-89; operative 6-30-89 (Register 89, No. 23).
2. Change without regulatory effect of subsection (b)(2) pursuant to Section 100, Title 1, California Code of Regulations filed 2-20-90 (Register 90, No. 11). 
§20203. Statistical Extrapolation for Direct Services Contract Reviews.
Note     •     History

(a) Upon completion of an audit or examination using probability sampling to extrapolate the recoverable amount, the Department shall make a demand to recover the extrapolated recovery amount.
(b) Probability sampling shall be done in conformance with generally accepted statistical standards and procedures described in any textbook on statistical sampling methods.
(c) Whenever the results of a probability sample are used to extrapolate the amount to be recovered, the demand for recovery shall be accompanied by a clear description of:
(1) The universe from which the sample was drawn,
(2) The sample size and method used to select the sample,
(3) The formulas and calculation procedures used to determine the amount to be recovered, and
(4) The confidence level used to calculate the precision of the extrapolated overpayment.
NOTE

Authority cited: Sections 208 and 38036, Health and Safety Code. Reference: Section 38011, Health and Safety Code; Sections 11180 and 11181, Government Code; and Stipulated Judgment in Planned Parenthood v. Department of Health Services, Sacramento Superior Court, No. 328490.
HISTORY

1. New section filed 5-31-89; operative 6-30-89 (Register 89, No. 23).
2. Change without regulatory effect of subsection (a) pursuant to Section 100, Title 1, California Code of Regulations filed 2-20-90 (Register 90, No. 11). 
§20204. Resolution of Disputes.
Note     •     History

(a) The contractor may request an informal hearing by the Department of Health Services for any disputed issue arising out of the audit or examination of a direct service contract, including whether or not there exists a qualified underpayment and, if so, whether or not it should be subject to statistical extrapolation.
(b) Disputes arising out of the audit or examination of a direct service contract, shall proceed in accordance with the following procedures:
(1) The contractor may request an informal hearing by the Department of Health Services by filing a written request with the Department within 60 calendar days of the date of mailing of the audit or examination notice. The request shall identify the issues in dispute and shall include any supporting documents.
(2) The contractor's request for an informal hearing shall be sent to the Deputy Director for Public Health. The Deputy Director for Public Health or his/her designee shall meet with the contractor to review the issues raised. A written decision signed by the Deputy Director for Public Health or his/her designee shall be returned to the contractor within 20 working days of receipt of the contractor's request for an informal hearing.
(3) All late requests by the contractor shall be denied and the Department's audit or examination report shall be deemed final unless the contractor establishes with the Department, in writing, good cause, as judged by the Deputy Director of Public Health, for late filing within 15 calendar days of being notified of the untimeliness of its request.
(4) If the contractor wishes to appeal the decision of the Deputy Director for Public Health or his/her designee, the contractor shall follow the procedures set forth in Division 25.1 (commencing with Section 38050) of the Health and Safety Code and the regulations adopted thereunder (Section 251, Title 1, CCR).
(c) Disputes arising out of direct service contracts which are not the result of an audit or examination shall proceed in accordance with the following procedures:
(1) The contractor shall first discuss the problem informally with the applicable program contract administrator within the Department. If the problem cannot be resolved at this stage, the contractor shall direct his/her grievance, together with any evidence, in writing, to the program branch chief. The grievance shall state the issues in the dispute, the legal authority or other basis for the contractor's position, and the remedy sought. The applicable program branch chief shall make a determination on the problem within ten (10) working days after receipt of the written communication from the contractor, indicating the decision and reasons therefore. Should the contractor disagree with the branch chief's decision, the contractor may appeal pursuant to (2) below.
(2) The contractor shall prepare a letter indicating the reasons for disagreement with the branch chief's decision. The contractor shall include with the letter a copy of the original statement of the dispute, any supporting documents, and a copy of the branch chief's response. This letter shall be sent to the Deputy Director in which the branch is organized within ten (10) working days from receipt of the branch chief's decision. The Deputy Director or designee shall meet with the contractor to review the issues raised. A written decision signed by the Deputy Director or designee shall be returned to the contractor within 20 working days of receipt of the contractor's letter.
(3) If the contractor wishes to appeal the decision of the Deputy Director or designee, the contractor shall follow the procedures set forth in Division 25.1 (commencing with Section 38050) of the Health and Safety Code and the regulations adopted thereunder (Section 251, Title 1, CCR).
(d) Disputes arising out of contracts other than direct service contracts shall be handled in accordance with any specific statute or regulation applicable to the contract or, in accordance with the terms of the individual contract.
(e) Disputes arising out of an audit or examination of a contract not covered by subdivision (a) and for which no procedures for appeal are provided in statute, regulation or the contract shall be handled in accordance with the procedures identified in Sections 51016 through 51047, Title 22, CCR.
NOTE

Authority cited: Section 10725, Welfare and Institutions Code; and Sections 208 and 38036, Health and Safety Code. Reference: Sections 38036 and 38055, Health and Safety Code; Sections 11180 and 11181, Government Code; and Stipulated Judgment in Planned Parenthood v. Department of Health Services, Sacramento Superior Court, No. 328490.
HISTORY

1. New section filed 5-31-89; operative 6-30-89 (Register 89, No. 23).
2. Change without regulatory effect of subsection (b)(3) pursuant to Section 100, Title 1, California Code of Regulations filed 2-20-90 (Register 90, No. 11). 
§20205. Bid Protests.
Note     •     History

(a) Nothing in this chapter shall be considered applicable to bid protests under the Public Contract Code.
(b) Whenever a direct service contract is to be awarded based upon a competitive bid and/or the use of a request for proposal, any bidder protesting the award shall proceed under the procedures set forth in Sections 10343 and 10345 of the Public Contract Code.
NOTE

Authority cited: Sections 208 and 38036, Health and Safety Code. Reference: Sections 11180 and 11181, Government Code; and Sections 10343 and 10345, Public Contract Code.
HISTORY

1. New section filed 5-31-89; operative 6-30-89 (Register 89, No. 23).
Subdivision 4. Institutions and Boarding Homes for Persons Aged 16 and Above
Chapter 1. General Provisions and Definitions
NOTE

Authority cited for Chapters 1 through 6: Sections 10552, 10553, 10554 and 10604, Welfare and Institutions Code.
HISTORY

1. Repealer of Subdivision 4, Chapters 1-9 (§§ 30001-42987, not consecutive) and new Subdivision 4, Chapters 1-6 (§§ 30001-33293, not consecutive) filed 5-19-72; effective thirtieth day thereafter (Register 72, No. 21). For prior history see Register 67, No. 42, Register 68, Nos. 21, 46, Register 69, Nos. 1, 3, 5, 8, 17, 22, 27, 34, 48, Register 70, Nos. 1, 17, 18, 20, 21, 31, 35; Register 71, Nos. 2, 19, Register 72, No. 17.
2. Repealer of Article 1 (Sections 30001-30015, not consecutive) and Sections 30023-30029, not consecutive, filed 8-1-75; effective thirtieth day thereafter (Register 75, No. 31).
3. Repealer of subsections (a) and (b) and redesignation of subsection (c) to subsection (a) filed 11-24-78 as an emergency; designated effective 11-26-78. Certificate of Compliance included. (Register 78, No. 47).
4. Repealer of Article 2 (Section 30019) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42).
Chapter 2. Licensing Agencies
HISTORY

1. Repealer of Article 1 (Sections 30131-30141, not consecutive) filed 8-1-75; effective thirtieth day thereafter (Register 75, No. 31).
2. Repealer of Article 2 (Sections 30145-30191, not consecutive) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42). For prior history, see Register 75, No. 31. 
Chapter 2.5. Maternity Home Care Program:  Pregnancy Freedom of Choice Act
§30300. General Description.
Note     •     History

The Maternity Home Care Program mandated by the Pregnancy Freedom of Choice Act  (PFCA) (Chapter 1190, Statutes 1977) and amended by Assembly Bill (AB) 3805 (Chapter 1636, Statutes of 1990), is a state funded program which provides an effective freedom of choice in making family planning decisions to unmarried pregnant minors. It provides for residential care, maternity related services, and postnatal maternal and infant care for a limited period following termination of pregnancy. The minor's parents are not financially responsible for the care and services she receives, nor is parental consent necessary. Nonprofit maternity homes, licensed under Division 6 of Title 22, CCR, as group homes, contract with the Department of Social Services to provide the care and services under this program.
NOTE

Authority cited: Sections 10553 and 16149, Welfare and Institutions Code. Reference: Sections 14010, 16145-16151, and 16561, Welfare and Institutions Code.
HISTORY

1. New chapter 2.5 (sections 30300-30312, not consecutive) filed 3-13-81; effective thirtieth day thereafter (Register 81, No. 11).
2. Amendment filed 12-30-92; operative 1-29-93 (Register 93, No. 1).
§30302. Special Definitions.
Note     •     History

(a) “Applicant” for purposes of this chapter means a pregnant, unmarried person under 18 years of age who is domiciled in California, and who is seeking acceptance into the Maternity Home Care Program.
(b) “Client” for purposes of this chapter means a pregnant, unmarried person who is domiciled in California, and whose pregnancy and estimated date of delivery have been verified by a licensed physician, and who has been accepted into the Maternity Home Care Program.
(c) “Department” means the Department of Social Services.
(d) “Domiciled” means permanently residing in California for purposes not temporary in nature.
(e) “Group Home” means any facility of any capacity which provides 24-hour nonmedical care and supervision to children in a structured environment, with such services provided at least in part by staff employed by the licensee as defined in Section 80001, Chapter 1, under Division 6, Title 22 of the California Code of Regulations (CCR).
(f) “Postnatal maternal and infant care” means that service available to the mother and/or her newborn for up to 14 days following termination of pregnancy.
(g) “Residential care” for purposes of this chapter means care and basic services provided by licensed group homes in accordance with the terms, procedures, and requirements prescribed under Chapter 5, Division 6 of Title 22, CCR.
(h) “Termination of pregnancy” means carrying to full term, miscarriage or spontaneous abortion.
(i) “Unmarried” means not married either at the time of application for or during the receipt of maternity home care.
NOTE

Authority cited: Sections 10553 and 16149, Welfare and Institutions Code. Reference: Sections 16146, 16147, 16148 and 16149, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-30-92; operative 1-29-93 (Register 93, No. 1).
§30304. Eligibility.
Note     •     History

(a) Any unmarried pregnant person under 18 years of age at the time of application who is domiciled in California may receive care and services under this program upon request.
(1) A client who reaches her 18th birthday after admission into the program shall remain eligible to receive care and services as long as she is pregnant and attending school.
(b) An applicant or her parents shall not be required as a condition of eligibility to consent to the applicant's being adjudged a dependent ward of the court under Welfare and Institutions Code Section 300.
(c) Neither a client nor her parent(s) shall be required to contribute financial support for the care and services provided under this program.
(d) An applicant shall be eligible for care and services under this program from the date of acceptance of her application up through a maximum of 14 days following termination of pregnancy.
NOTE

Authority cited: Sections 10553 and 16149, Welfare and Institutions Code. Reference: Sections 14010, 16146, 16147, 16149, and 16561, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a), new subsection (a)(1) and repealer and new subsection (c) filed 12-30-92; operative 1-29-93 (Register 93, No. 1).
§30306. Application Process.
Note     •     History

(a) Application for services shall be made directly to a group home providing maternity related services which is under contract to the Department.
(b) Each applicant, or her parent shall sign the Application and Certification for Maternity Home Care, Form SOC 315 (Rev. 2/92), which requires verification of:
(1) Pregnancy, and an estimated date of delivery. Pregnancy verification and estimation of delivery date shall be made only by a physician licensed to practice in California. The physician shall be permitted to complete Part IV of the Form SOC 315, or separately verify on personal stationery or that of the health maintenance organization with which the physician is associated. The verification shall include the original signature of the physician;
(2) Minor status (age under 18);
(3) Unmarried status; and
(4) California domicile.
(c) The maternity home care provider shall complete the Medi-Cal application process on behalf of the applicant, pursuant to Article 5, Chapter 2, Division 3, Title 22, CCR.
(d) The provider shall complete the Provider's Certification for Reimbursement for Maternity Home Care Services, Form SOC 315P (2/92) for each client, after completing the prerequisites listed in Section 30307 of these regulations. The Form SOC 315P shall be maintained by the provider as an integral part of the client's case record.
NOTE

Authority cited: Sections 10553, 16147(b) and 16149, Welfare and Institutions Code. Reference: Sections 16146, 16147(b) and 16149, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (b)-(c) and Note and new subsection (d) filed 12-30-92; operative 1-29-93 (Register 93, No. 1).
§30307. Request for Voluntary Contributions.
Note     •     History

(a) The provider shall make a determination of whether or not an inquiry into the parent's ability and willingness to contribute financial support should be made based on the following:
(1) A client shall be asked to indicate whether or not her parent(s) is aware of her pregnancy and her receipt of care and services provided under this program.
(2) A client who indicates that her parent(s) is aware of her pregnancy and intent to reside in a maternity home until termination of her pregnancy shall be asked to indicate the occupation(s) of her parent(s), and whether or not the parent(s) is employed.
(3) A client who indicates that her parent(s) is employed shall be informed that neither she nor her parent(s) is required to contribute financial support for her care and services.
(4) A client shall be asked to indicate and explain any reasons she has for believing that an inquiry into the ability and willingness of her parent(s) to contribute would jeopardize her right to utilize the services of the maternity home.
(b) When an inquiry is appropriate, the provider shall make an inquiry into the parents' ability to financially contribute as follows:
(1) Contact the parent(s) and inform them the client is receiving services of the maternity home;
(2) Inform the parent that his or her financial participation is voluntary; and
(3) Inform the parent(s) of the requirement that the provider examine the family's income tax return(s) for the previous year to determine the ability to contribute and the amount of the voluntary contribution.
(4) Arrange a time and place to examine the parents' Form(s) 1040, Income Tax Return, for the previous year if the parent indicates a willingness to participate.
(c) When the provider has received the parent(s)' income tax return(s), Form(s) 1040, for the previous year the provider shall perform the following:
(1) Enter the current Federal Poverty Limits 200 Percent By Family Size chart published by the Department of Finance Data Center (see Handbook Section 30307(c)(a)(1) example for the chart effective August 1991), with the figures for Total Dependents, and Adjusted Gross Income, on the Form 1040 to determine whether or not annual income is in excess of 200 percent of the federal poverty level, adjusted for family size. If the annual income of the family is larger than the amount (Gross Annual Income) displayed in Table 1 for a matching Family Size, the family's annual income exceeds 200 percent of the federal poverty level and the parent(s) shall be requested to voluntarily contribute financial support for the care and services the applicant receives under this program. If the family's annual income is less than or identical to the amount shown in Table 1 for an equally sized family, financial contribution shall not be requested.
(A) (Reserved.)
(B) If the family's annual income is in excess of 200 percent of the federal poverty level, adjusted for family size, convert the annual income amount in a monthly amount (annual income/12 OR 30.4 X (Annual Income/365)). Enter Table 2, (See Section 30314) Resident Fee Schedule, Maternity Home Care, with the Monthly Adjusted Gross Income and the total number of dependents (from the Form 1040) to determine the amount the parent(s) shall be requested to voluntarily contribute for each month the applicant remains in this program.
(C) Monthly contributions shall be permitted to be prorated for the first month and last month of the applicant's stay in the program. The formula to prorate is as follows:

(MONTHLY CONTRIBUTION/30.4) x NUMBER OF DAYS
IN THE PROGRAM DURING THE MONTH
(d) By means of an agreement with each participating parent, the provider shall establish the time and methodology to collect financial contributions.
(e) The amounts of any financial contributions collected from parents of recipients receiving services shall be recorded in the Other Funding Source And Amount column on the Claim for Reimbursement - Pregnancy Freedom of Choice AB 1069, Form SOC 331 (Rev. 3/82), and shall be deducted from the Allowable Expenditures for the purpose of offsetting costs of care and services provided to those recipients receiving services during that month.
NOTE

Authority cited: Section 10553, Welfare and Institutions Code. Reference: Section 16147, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-92; operative 1-29-93 (Register 93, No. 1).
§30308. Provider Participation.
Note     •     History

A provider facility of maternity home care under this program shall:
(a) Be a nonprofit facility licensed as a group home pursuant to Chapter 5, Division 6 of Title 22, California Code of Regulations (CCR).
(b) Have a fully executed contract with the Department for provision of program services.
(c) Certify that for each person accepted under this program for placement in their facility, maternity home care will be provided in accordance with standards established in this chapter and Chapter 5, Division 6 of Title 22, CCR.
(d) Retain for a period of not less than five years all child-specific, programmatic, personnel, fiscal, and other information, including the results of intake assessments, that affects rate setting and reimbursements as specified in MPP Section 11-402.5 (Group Home Rate Setting).
(e) Have the same protest and appeal rights that are granted to group home providers under the Aid to Families with Dependent Children-Foster Care (AFDC-FC) Program in accordance with Section 16148.15, Welfare and Institutions Code and MPP Section 11-407 (AFDC Administrative Review Procedures).
(f) Attempt to obtain voluntary parental financial contributions for a client residing in a maternity home in accordance with MPP Section 30307.
NOTE

Authority cited: Sections 10553 and 16149, Welfare and Institutions Code. Reference: Sections 16146, 16147, 16148, 16148.10, 16148.15 and 16149, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a)-(c) and Note and new subsections (d)-(f) filed 12-30-92; operative 1-29-93 (Register 93, No. 1).
§30310. Required Services.
Note     •     History

(a) Basic services as defined in Section 84061, et seq., Article 6, Chapter 5, Division 6 of Title 22, California Code of Regulations (CCR) shall be provided by the home to Maternity Home Care Program clients and shall include personal care, protection, supervision, assistance, guidance or training, planned activities, food service, and incidental medical and dental care.
(b) Maternity related services shall include, but not be limited to, the following services and shall be made available to all recipients:
(1) Individual and group counseling.
(2) Provision for prenatal and postnatal care, excluding medical care.
(A) Medical care may only be arranged for by the facility and provided by a licensed physician.
(3) Referral for educational and vocational services.
(4) Referral for psychiatric services.
(5) Information regarding child health and welfare services.
(6) Referral for child placement services.
(7) Referral to family planning services.
(8) Referral to adoption planning services.
NOTE

Authority cited: Sections 10553 and 16149, Welfare and Institutions Code. Reference: Sections 16146, 16148 and 16149, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) and Note filed 12-30-92; operative 1-29-93 (Register 93, No. 1).
§30312. Reimbursement.
Note     •     History

(a) The provider facility shall submit claims for reimbursement for costs of care and services provided, in the manner and at the times prescribed by the Department in the signed contract. Claims will be periodically audited by the Department.
(b) The Department shall reimburse maternity home providers at one of the rate classification levels 1 to 5 of the standardized schedule or rates as determined by the AFDC-FC rate setting methodology as specified in MPP Section 11-402.
(c) Reimbursement shall be paid for care and services provided from the date of applicant's admission to the facility through the date of discharge, up to a maximum of 14 days following termination of pregnancy.
(d) Reimbursement shall not be paid for any care or service cost for which the facility has been reimbursed by any other source on behalf of the recipient including but not limited to any financial contributions collected from parents pursuant to MPP Section 30307(a).
NOTE

Authority cited: Sections 10553 and 16149, Welfare and Institutions Code. Reference: Sections 16147(d), 16148 and 16149, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (b) and (d) and Note filed 12-30-92; operative 1-29-93 (Register 93, No. 1). 
§30314. Resident Fee Schedule--Maternity Home Care.
Note     •     History

Table II

Resident Fee Schedule

		Monthly
		Adjusted
		Gross			Persons Dependent On Income

		Income	1	2	3	4	5 or more

		0-  569	$	3.08	$	2.75	$	2.50	$	2.25	$	2.00
		570- 599	$	3.33	$	3.00	$	2.67	$	2.42	$	2.17
		600- 649	$	3.75	$	3.33	$	3.00	$	2.67	$	2.42
		650- 699	$	4.17	$	3.75	$	3.42	$	3.08	$	2.75
	
		700- 749	$	4.67	$	4.17	$	3.75	$	3.42	$	3.08
		750- 799	$	5.25	$	4.75	$	4.25	$	3.83	$	3.42
		800- 849	$	5.92	$	5.33	$	4.83	$	4.33	$	3.92
		850- 899	$	6.58	$	5.92	$	5.33	$	4.83	$	4.33
		900- 949	$	7.42	$	6.67	$	6.00	$	5.42	$	4.92
	
		950- 999	$	8.25	$	7.50	$	6.67	$	6.00	$	5.42
		1000-1049	$	9.25	$	8.33	$	7.50	$	6.75	$	6.08
		1050-1099	$	10.42	$	9.33	$	8.42	$	7.58	$	6.83
		1100-1149	$	11.67	$	10.50	$	9.42	$	8.50	$	7.67
		1150-1199	$	13.00	$	11.67	$	10.50	$	9.42	$	8.50
	
		1200-1249	$	14.75	$	13.25	$	11.92	$	10.75	$	9.67
		1250-1299	$	16.67	$	15.00	$	13.50	$	12.17	$	10.92
		1300-1349	$	18.83	$	16.92	$	15.25	$	13.75	$	12.42
		1350-1399	$	21.25	$	19.17	$	17.25	$	15.50	$	13.92
		1400-1449	$	24.00	$	21.58	$	19.42	$	17.50	$	15.75
	
		1450-1499	$	27.17	$	24.42	$	22.00	$	19.83	$	17.83
		1500-1549	$	30.67	$	27.58	$	24.83	$	22.23	$	20.08
		1550-1599	$	34.67	$	31.17	$	28.08	$	25.25	$	22.75
		1600-1649	$	39.17	$	35.25	$	31.75	$	28.58	$	25.75
		1650-1699	$	44.25	$	39.83	$	35.83	$	32.25	$	29.00
	
		1700-1749	$	50.00	$	45.00	$	40.50	$	36.42	$	32.75
		1750-1799	$	56.50	$	50.83	$	45.75	$	41.17	$	37.08
		1800-1849	$	62.67	$	56.42	$	50.75	$	45.67	$	41.08
		1850-1899	$	69.58	$	62.67	$	56.42	$	50.75	$	45.67
		1900-1949	$	77.25	$	69.50	$	62.58	$	56.33	$	50.67
	
		1950-1999	$	85.75	$	77.17	$	69.42	$	62.50	$	56.25
		2000-2049	$	95.17	$	85.67	$	77.08	$	69.42	$	62.50
		2050-2099	$	105.67	$	95.08	$	85.58	$	77.00	$	69.33
		2100-2149	$	117.25	$	105.50	$	94.92	$	85.42	$	76.92
		2150-2199	$	130.17	$	117.17	$	105.42	$	94.92	$	85.42
	
		2200-2249	$	144.50	$	130.08	$	117.08	$	105.42	$	94.92
		2250-2299	$	160.42	$	144.42	$	130.00	$	117.00	$	105.33
		2300-2349	$	178.00	$	160.17	$	144.17	$	129.75	$	116.75
		2350-2399	$	197.58	$	177.83	$	160.08	$	144.08	$	129.67
		2400-2449	$	219.33	$	197.42	$	177.67	$	159.92	$	143.92
	
		2450-2499	$	243.50	$	219.17	$	197.25	$	177.50	$	159.75
		2500-2599	$	272.92	$	245.67	$	221.08	$	199.00	$	179.08
		2600-2699	$	290.17	$	261.17	$	235.08	$	211.58	$	190.42
		2700-2799	$	307.92	$	277.17	$	249.42	$	224.50	$	202.08
		2800-2899	$	326.25	$	293.67	$	264.33	$	237.92	$	214.17
	
		2900-2999	$	344.92	$	310.42	$	279.42	$	251.50	$	226.33
		3000-3099	$	364.17	$	327.75	$	295.00	$	265.50	$	238.92
		3100-3199	$	383.92	$	345.50	$	310.92	$	279.83	$	251.83
		3200-3299	$	404.17	$	363.75	$	327.42	$	294.67	$	265.17
		3300-3399	$	424.92	$	382.42	$	344.17	$	309.75	$	278.75
	
		3400-3499	$	454.83	$	409.33	$	368.42	$	331.58	$	298.42
		3500-3599	$	484.83	$	437.25	$	393.50	$	354.17	$	318.75
		3600-3699	$	517.83	$	466.08	$	419.67	$	377.67	$	339.92
		3700-3799	$	550.83	$	499.75	$	446.17	$	401.58	$	361.42
		3800-3899	$	584.83	$	526.33	$	473.67	$	426.33	$	383.67
	
		3900-3999	$	619.83	$	557.83	$	502.08	$	451.92	$	406.75
		4000-4099	$	655.83	$	590.25	$	531.25	$	478.17	$	430.33
		4100-4199	$	692.83	$	623.58	$	561.25	$	505.17	$	454.67

Above $4200 add $400 for each $100 additional income.
NOTE

Authority cited: Section 10553, Welfare and Institutions Code. Reference: Section 16147, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-92; operative 1-29-93 (Register 93, No. 1).
Chapter 3. Adoptions Program Regulations [Renumbered]
HISTORY

1. Renumbering of former sections 30850, 30853, 30855, 30857, 30858 and 30859 to sections 35400, 35401, 35403, 35405, 35407 and 35409, respectively, filed 9-20-90 (Register 90, No. 47).
Subchapter 1. Adoptions  Program Terminology
§35000. Definitions.
Note     •     History

(a)(1) “AAP-Eligible Child” means a child who meets the eligibility criteria defined in Welfare and Institutions Code Section 16120.
(2) “Acknowledgement” means notice from the department of the filing of relinquishment(s) or Notice of Action in lieu of relinquishment that a child is free for adoptive placement.
(3) “Adoption Abroad” means the adoption of a foreign-born child by a United States citizen or a lawful permanent resident alien of the United States completed in foreign courts under the laws of the foreign country.
(4) “Adoption Assistance Program (AAP)” means a program of financial and/or medical assistance to facilitate the adoption of children who otherwise would remain in long-term foster care.
(5) “Adoption Service Provider (ASP)” means an agency or individual as defined at Family Code Section 8502.
(A) (Reserved)
(6) “Adoptive Parent” means adoptive parent as defined at Family Code Section 8503.
(A) (Reserved)
(7) “Agency” means a licensed California public or private adoption agency, or the department's adoption district offices.
(8) “Agency Adoption” means agency adoption as defined at Family Code Section 8506.
(A) Assume care, custody, and control of the child through relinquishment of the child to the agency or involuntary termination of parental rights; and
(B) place the child or adoption; and
(C) supervise the adoptive placement.
(9) “Alleged Natural Father” means an identified or unidentified male who:
(A) could be or claims to be the father of the child, and
(B) does not meet the definition of a presumed father.
(10) “Applicant” means applicant as defined at Family Code Section 8509.
(A) (Reserved)
(11) “Appropriate Public Authority” means, for the purpose of the ICPC, the state's Interstate Compact Administrator.
(b)(1) “BIA” means the Bureau of Indian Affairs.
(2) “Birth Parent” means birth parent as defined at Family Code Section 8512.
(A) (Reserved)
(c)(1) “California Agency” means, for the purpose of the ICPC, a CDSS Adoptions district office or a licensed public or private adoption agency.
(2) “California Children's Services” means that program authorized by the California Department of Health Services pursuant to Health and Safety Code section 251.5 which provides treatment, diagnostic, and therapeutic services for eligible children under age twenty-one who have handicapping conditions as specified at title 17, California Code of Regulations, 2901.
(3) “CDSS” means the California Department of Social Services or department.
(4) “California Preadoption Requirements-Adoption Abroad” means assessment of applicant as required by subchapter 6, article 3, section 35257 et seq.
(5) “California Preadoption Requirements-Adoption of a Foreign-Born Child in California” means:
(A) assessment of applicant as required by subchapter 6, article 3, section 35257 et seq.
(B) assessment of the child as required by subchapter 6, article 4, section 35275 et seq.
(C) obtain documentation from the foreign agency that the child is legally free for adoption.
(D) determination that the child's needs can be met by placement with the prospective adoptive parent, and
(E) availability of post-placement supervision.
(6) “CDIB” means Certificate of Degree of Indian Blood.
(7) “Concurrent Services Planning” means a written child welfare services case plan which identifies the child's permanency alternative and the services necessary to achieve it if the parents fail to reunify with the child.
(8) “Consent to Adoption” means the voluntary written agreement by the birth parent with a specified person to the adoption of the child.
(A) An Independent Adoption Placement Agreement is a type of consent to adoption.
(9) “County” means the income maintenance division in each county welfare department responsible for federal and state eligibility determination and payment of AAP benefits.
(d)(1) “Days” means calendar days unless otherwise specified.
(2) “Delegated County Adoption Agency” means delegated county adoption agency as defined at Family Code Section 8515.
(A) (Reserved)
(3) “Department” means department as defined at Family Code Section 8518.
(A) (Reserved)
(4) “Disruption in Placement” means the termination of an adoptive placement prior to the issuance of a final decree of adoption.
(e) Reserved
(f)(1) “FBI Criminal Record” means the “FBI identification record” as specified in title 28, Code of Federal Regulations (CFR) section 16.31.
(A) (Reserved)
(2) “Filing a Petition” means the submission of an adoption petition to the clerk of the court having jurisdiction and the clerk's acceptance and endorsement of the petition in the county where the petitioner resides.
(A) In an agency adoption, where the child is a dependent of the juvenile court, the petition may be filed either in the county where the petitioner resides or in the county where the child was legally freed for adoption.
1. If the petitioner is a relative of the child and has entered into a kinship adoption agreement pursuant to Family Code Section 8714.7, a copy of the kinship adoption agreement shall be attached to the petition as required by Family Code Section 8714.5(d).
(B) In an independent adoption, where the chid has been placed for adoption with a person other than a relative, as defined at Section 35000(r)(6), a copy of the Independent Adoption Placement Agreement shall be attached to the petition as required by Family Code Section 8802.
(3) “Filing of the Relinquishment Form” means the department's receipt and acknowledgement of a certified copy of a relinquishment form that has been signed, witnessed, and dated pursuant to Articles 1 and 2 of Subchapter 5 of these regulations.
(4) “Final Decree of Adoption” means a court order granting the completion of the adoption.
(5) “Fiscal Year” means the state fiscal year. The state fiscal year begins July 1 and ends June 30 of the following year.
(6) “Foreign Agency” means the foreign government, organization, or agent authorized under the laws of the foreign country to provide adoption services.
(7) “Foreign Guardianship” means care, custody, control, and financial responsibility for the foreign-born child given to a United States citizen or a lawful permanent resident alien of the United States by the government of the child's native country.
(8) “Foster Family Agency” means any organization engaged in recruiting, certifying, training, and, providing professional support to, foster parents, or in finding homes or other places for temporary placement of children who require that level of care as an alternative to a group home.
(9) “Foster Family Home” means any residential facility providing 24-hour care for six or fewer foster children which is owned, leased, or rented and is the residence of the foster parent or parents, including their family, in whose care the foster children have been placed. The placement may be by a public or private child placement agency or by a court order, or by voluntary placement by a parent, parents, or guardian. A foster family home may also be authorized to provide care for more than six children for the purposes of keeping siblings together provided that the conditions of Health and Safety Code Section 1505.2 are met.
(10) “Freed for Adoptive Placement” means eligibility of the child to be placed for adoption by: relinquishment for adoption, consent to adoption, court order for termination of parental rights, denial of paternity, or waiver of further notice of court proceedings.
(11) “Full-Service Adoption Agency” means full-service adoption agency as defined at Family Code Section 8521.
(A) (Reserved)
(12) “Full State Criminal Record” means the “State summary criminal history information” as specified in Penal Code section 11105(a)(2).
(A) (Reserved)
(g)(1) “Grievance” means a written complaint about any procedures, actions, or determinations made by an agency before the filing of an adoption petition.
(2) “Grievance Review Agent” means a person or panel designated by the director of the agency to conduct the grievance review and render a recommended decision to the director of the agency.
(3) “Grievance Review Hearing” means a session conducted by a grievance review agent which is recorded and attended by the parties who submitted the written request for the review, their authorized representatives, and any witnesses who intend to testify.
(4) “Guardianship” means the court appointment of a guardian for the person or estate of a child, or both, as deemed necessary or convenient, pursuant to Probate Code Section 1500 et seq., or Welfare and Institutions Code Section 366.26.
(A) A guardian is a person who upon court appointment has the legal authority and responsibility to care for a child. A guardian may be a relative of the child.
(h) “Holding Period” means the time period agreed to by the agency and the relinquishing parent between the signing of the relinquishment for adoption and the receipt of a certified copy of the relinquishment by the department.
(i)(1) “ICPC” means Interstate Compact on the Placement of Children.
(2) “ICWA” means Indian Child Welfare Act.
(3) “Independent Adoption” means independent adoption as defined at Family Code Section 8524.
(A) (Reserved)
(4) “Indian Child Welfare Act (ICWA)” means the federal Indian Child Welfare Act of 1978 as codified at title 25, United States Code, section 1901, et. seq.
(5) “Indian” means a person as defined at section 1903(3) of the ICWA.
(A) (Reserved)
(6) “Indian Child” means a child as defined at section 1903(4) of the ICWA.
(A) (Reserved)
(7) “Indian Child's Extended Family Member” means extended family member as defined at section 1903(2) of the ICWA.
(A) (Reserved)
(8) “Indian Child's Tribe” means the child's tribe as defined at section 1903(5) of the ICWA.
(A) (Reserved)
(9) “Indian Custodian” means an Indian person as defined at section 1903(6) of the ICWA.
(A) (Reserved)
(10) “Indian Tribal Court” means a court as defined at section 1903(12) of the ICWA.
(A) (Reserved)
(11) “Indian Tribe” means Indian tribe as defined at section 1903(8) of the ICWA.
(A) (Reserved)
(12) “INS” means the Immigration and Naturalization Services agency within the United States Department of Justice charged with administering the immigration and naturalization laws of the United States.
(A) (Reserved)
(13) “Intercountry Adoption” means intercountry adoption as defined at Family Code Section 8527.
(A) (Reserved)
(B) For the purposes of intercountry adoption, “child” means a foreign-born, unmarried, unemancipated person under the age of sixteen years.
(C) Intercountry adoption includes two components:
1. Adoption in California, whereby the family arranges for the foreign-born child to travel to California and completes the adoption of the child under the laws of California's Intercountry Adoptions Program.
a. The family may or may not have obtained foreign guardianship of the child under the laws of the child's native country.
(i) Only agencies licensed to provide full-service adoption services under the Intercountry Adoptions Program may assist families to complete this process.
2. Adoption Abroad, whereby the family completes the adoption of the foreign-born child under the laws of the child's native country before the child travels to California.
a. The family readopt the child in California.
(i) Agencies licensed to provide full-service adoption services or noncustodial adoption services under the Intercountry Adoptions Program may assist families to complete this process.
(j) Reserved
(k)(1) “Kinship Adoption Agreement” means a written agreement among a child's birth and adopting relatives pursuant to Family Code Section 8714.7.
(l)(1) “Licensed Adoption Agency” means licensed adoption agency as defined at Family Code Section 8530.
(A) (Reserved)
(m)(1) “Medical or Mental Health Professional” means a physician and surgeon, a clinical psychologist, a licensed clinical social worker, a person employed as a social worker by a county, or a marriage, family, and child counselor.
(2) “Medical Report” means the completed AD 512, which specifies the information about the child's medical and family background and any attached documents that are provided to the prospective adoptive parents.
(A) The AD 512 and the documents attached to the AD 512 shall contain the following information about the child and his or her birth parents:
1. All known medical background about the child's birth parents;
2. All known diagnostic information about the child, including medical reports, psychological evaluations, if applicable, and scholastic information, if he or she is age appropriate;
3. All known information about the child's development prior to placement with the prospective adoptive parents and during the time the child was seen by the adoption case worker while in the prospective adoptive parents' home;
4. All known information about the child's family life;
5. Copies of the nonconfidential section (Part II) of the AD 67 and the AD 67A when completed by the birth parent;
6. Medical reports from the child's prenatal physician and the physician who delivered the child, or from the hospital in which the child was born, if available; and
7. Photocopies of all original source reports on the child's and his or her birth parents' medical and family backgrounds obtained during the agency's investigation of the child.
8. The written assessment of the child made by the agency as required by Section 35127.1.
(n)(1) “Noncustodial Adoption Agency” means noncustodial adoption agency as defined at Family Code Section 8533.
(A) (Reserved)
(2) “Nonrecurring Adoption Expenses” means reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs, which are not incurred in violation of State or Federal law, and which have not been reimbursed from other sources or other funds.
“Other expenses which are directly related to the legal adoption of a child with special needs' means the costs of the adoption incurred by or on behalf of the parents and for which parents carry the ultimate liability for payment. Such costs may include the adoption study, including health and psychological examinations, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the placement or adoption process.”
(o) Reserved
(p)(1) “Parent” means a birth parent or adoptive parent of a child.
(2) “Parent of an Indian Child” means a parent as defined at section 1903(9) of the ICWA.
(A) (Reserved)
(3) “Parties to Grievance Review” means the applicant or prospective adoptive parent requesting the review and the representative of the agency responsible for the action.
(4) “Party State” means, for the purpose of the ICPC, a state which is a member of the Interstate Compact on the Placement of Children.
(5) “Permanency Planning Family” means the home of a relative, a licensed foster family home as defined in Health and Safety Code Section 1502(a)(5), or a certified family home as defined in Health and Safety Code Section 1506(d) willing to assist in implementation of the child's case plan by facilitating family reunification while being prepared to provide the child with legal permanence should family reunification fail.
(A) (Reserved)
(6) “Personal Knowledge” means personal knowledge as defined at Family Code Section 8801(b).
1. Substantially correct means accurate in the agency's judgment.
(7) “Petitioner” means a prospective adoptive parent who has filed an adoption petition with the superior court pursuant to Family Code Section 8802 for an independent adoption or pursuant to Family Code Section 8714 for an agency adoption.
(8) “Place for Adoption” means, for the purpose of an agency adoption, the agency's placement of a child who has been freed for adoptive placement either by relinquishment to the agency or by the court order.
(9) “Place for Adoption” means, for the purpose of an independent adoption, the placement of a child by a birth parent who, based on his or her personal knowledge, selected the prospective adoptive parents for the child and, if required, completed and signed the AD 924.
(A) (Reserved)
(10) “Placement” means, for the purpose of the ICPC, the arrangement for the care of a child in a family that has been studied and approved for adoption or has had a preplacement interview completed by a licensed adoption agency.
(11) “Presumed Father” means a father as defined at Family Code section 7611.
(A) (Reserved)
(12) “Prospective Adoptive Parent” means prospective adoptive parent as defined at Family Code Section 8542.
(A) (Reserved)
(q) Reserved
(r)(1) “Reassessment” means the process by which the agency and the adoptive parent determine whether there are any changes in either the child's needs or the adoptive parent's circumstances which affect duration of and/or amount of adoption assistance payments.
(2) “Receiving Agency in the Independent Adoptions Program” means, for the purpose of the ICPC, the person(s) who is designated to receive a child from another party state with the intention of filing a petition to adopt that child.
(3) “Receiving Agency in the Relinquishment Adoptions Program” means, for the purpose of the ICPC, a licensed adoption agency or CDSS Adoptions district office that is designated to receive any child from another party state for the purpose of adoption.
(4) “Relative” means, fo the purpose of an agency adoption with a kinship adoption agreement, an adopting relative as defined at Family Code Section 8714.7(c).
(5) “Relative” means, for the purpose of an independent adoption, an adopting relative as defined in Family Code Section 8802(a)(1).
(6) “Relinquishment Form” means a relinquishment document as described in Section 35145 and a Statement of Understanding as described in Section 35152.1 or 35152.2.
(7) “Relinquishment of a Child” means the action of a parent who signs a relinquishment form in which he or she surrenders custody, control and any responsibility for the care and support of the child to the department or any licensed public or private adoption agency pursuant to Family Code Section 8700.
(8) “Rescission” means an action taken by mutual agreement between the relinquishing parent and the agency which accepted the relinquishment, to nullify the relinquishment after it has been filed.
(9) “Resident of a County in California” means a person who makes his or her home in a county in California.
(10) “Responsible Public Agency” means the department or licensed public adoption agency responsible for determining Adoption Assistance Program eligibility and initial and subsequent payment amounts as specified in Section 35325(c).
(11) “Revocation” means an action taken by the parent who has signed a relinquishment, to nullify the relinquishment before it has been filed.
(s)(1) “Secretary” means Secretary of the Interior as defined at title 25 United States Code, section 1903(11).
(A) (Reserved)
(2) “Sending Agency in the Independent Adoptions Programs” means, for the purpose of the ICPC, the birth parent(s) who sends, brings, or causes to be sent or brought any child to another party state for the purpose of adoption.
(3) “Sending Agency in the Relinquishment Adoptions Program” means, for the purpose of the ICPC, a licensed adoption agency or CDSS Adoptions district office that sends, brings, or causes to be sent or brought any child to another party state for the purpose of adoption.
(4) “Sending State in the Independent Adoptions Program” means, for the purpose of the ICPC, the state of residence of the birth parent placing a child for adoption in California. The child being placed is deemed to have been brought into California from the sending state regardless of the child's place of birth, including California.
(5) “Set Aside” means the legal process by which adoptive parents can secure the dismissal of the decree of adoption.
(6) “Sibling” means a brother or sister of an adoptee who was born to the same birth parent or parents of the adoptee.
(7) “Special Needs Child” means special needs child as defined at Family Code Section 8545.
(A) (Reserved)
(B) (Reserved)
(8) “Statewide Median Income” means the California median income as projected and adjusted for family size by the United States Department of Housing and Urban Development (HUD).
(t) Reserved
(u) Reserved
(v) Reserved
(w)(1) “Waiver” means the action taken by the department eliminating the need for the report required of the department when the agency is a party to or has joined in the petition for adoption.
(x) Reserved
(y) Reserved
(z) Reserved
NOTE

Authority cited: Sections 10553, 10554 and 16118, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608, 8621 and 8901, Family Code. Reference: Sections 10800, 16000, 16100, 16115, 16118, 16119, 16120, 16120.1 and 16121, Welfare and Institutions Code; Sections 3014, 6500, 7002, 7601, 7602, 7610, 7611, 7612, 7660, 7661, 7662, 7663, 7664, 7665, 7666, 7669, 7802, 7807, 7808, 7820, 7821, 7822, 7823, 7824, 7825, 7826, 7827, 7828, 7829, 7890, 7892, 7893, 8502, 8503, 8506, 8509, 8512, 8515, 8518, 8521, 8524, 8527, 8530, 8533, 8539, 8542, 8545, 8600, 8706, 8714, 8714.7, 8801(b), 8802, 8817, 8909 and 9202, Family Code; Section 1502, Health and Safety Code; Sections 1502(a)(9) and (10) and 13290, Government Code; 8 USC 1101(b)(1)(F); 25 USC 1901, 1903(2), (3), (4), (5), (6), (8), (9), (11), and (12); 42 USC 673 and 675; Section 11105(a)(2), Penal Code; 28 CFR Section 16.31; and 45 CFR 1356.41(i).
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Repealer of subsection (mm) filed 12-1-88; operative 12-31-88 (Register 89, No. 1).
3. Amendment of subsection (bb) filed 3-7-89; operative 4-6-89 (Register 89, No. 11).
4. Amendment filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
5. Editorial correction of subsection (s)(3) originally filed 8-8-86; operative 9-7-86 as section 70-100(yy) of the Manual of Policies and Procedures. Definition inadvertently omitted during reformatting (Register 89, No. 38).
6. Amendment of subsection (f) filed 12-15-89; operative 1-14-90 (Register 89, No. 51).
7. Amendment of subsection (i) filed 12-28-89 as an emergency; operative 1-1-90 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-1-90.
8. New subsection (n)(1) filed 1-8-90 as an emergency; operative 1-8-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days by 5-8-90 or emergency language will be repealed on 5-9-90.
9. Amendment of subsections (b) and (r) filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
10. Certificate of Compliance as to 12-28-89 order transmitted to OAL 4-27-90 and filed 5-25-90 (Register 90, No. 28).
11. Certificate of Compliance as to 1-8-90 order transmitted to OAL on 5-4-90 and filed 6-4-90 (Register 90, No. 30).
12. Editorial correction of printing error reinstating subsections (t), (u) and (v) (Register 91, No. 32).
13. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52)
14. New subsections (a)(2)-(a)(6) and subsection renumbering, new subsection (m)(2), and amendment of Note filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
15. Repealer of subsections (a)(2)-(6) and subsection renumbering filed 9-8-93; operative 10-7-93 (Register 93, No. 37).
16. New subsection (a)(1) and subsection renumbering, repealer of subsection (a)(3), amendment of subsection (A)(4), correction of subsections (r)(2)-(3) numbering, new subsection (r)(4) and subsection renumbering and new subsection (s)(5) filed 10-31-94; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
17. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
18. Editorial correction of History 17 (Register 95, No. 13).
19. Certificate of Compliance as to 10-31-94 order including amendment of subsection (a)(1) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
20. Amendment of section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
21. Amendment of section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
22. Certificate of Compliance as to 11-24-98 order, including amendment of subsection (f)(10), transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
23. New subsection (r)(1), repealer of former subsection (r)(3) and subsection renumbering filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
Subchapter 2. General Requirements
Article 1. Correction, Alteration, Translation and Reading of Forms
§35001. Definitions--Forms.
Note     •     History

The following forms, which are incorporated by reference, apply to the regulations in Title 22, Division 2, Subdivision 4, Chapter 3 (Adoption Program Regulations). 
(a)(1) “AAP 1” (9/09) means the form entitled, “Request for Adoption Assistance Program Benefit.”
(2) “AAP 2” (7/11) means the form entitled, “Payment Instructions - Adoption Assistance Program.”
(3) “AAP 3” (7/11) means the form entitled, “Reassessment Information - Adoption Assistance Program.”
(4) “AAP 4” (11/11) means the form entitled, “Eligibility Certification - Adoption Assistance Program.”
(5) “AAP 6” (11/11) means the form entitled, “Adoption Assistance Program - Negotiated Benefit Amount and Approval and Form Instructions.” 
(6) “AAP 8” (11/11) means the form entitled, “Adoption Assistance Program - Nonrecurring Adoption Expenses Agreement.” 
(7) “AD1A” (1/95) means the form entitled, “Consent to Adoption by Parent(s) in California.”
(8) “AD1C” (1/95) means the form entitled, “Consent to Adoption by Parent(s) Outside California.”
(9) “AD1F” (1/95) means the form entitled, “Consent to Adoption by Parent(s) Outside California in Armed Forces.”
(10) “AD20” (2/93) means the form entitled, “Refusal to Give Consent to Adoption.”
(11) “AD 20B” (4/92) means the form entitled, “Refusal to Give Consent to Adoption by Alleged Natural Father.”
(12) “AD 42 I” (7/95) means the form entitled, “Independent Adoption Program - Individual Case Report.”
(13) “AD 42 ICA” (7/95) means the form entitled, “Intercountry Adoption Program - Individual Case Report.”
(14) “AD42R” (7/95) means the form entitled, “Relinquishment Adoption Program - Individual Case Report.”
(15) “AD 67” (6/95) means the form entitled, “Information About the Birth Mother.”
(16) “AD 67A” (6/95) means the form entitled, “Information About the Birth Father.”
(17) “AD90” (1/94) means the form entitled, “Supporting Information for Issuance of Department of Social Services Acknowledgment.”
(18) “AD 100” (12/93) means the form entitled, “Authorization for Release of Information.”
(19) “AD165” (1/95) means the form entitled, “Consent to Adoption by Parent in California When Legal Father Denies He is the Natural Father.”
(20) “AD166” (1/95) means the form entitled, “Consent to Adoption by Father Outside California.”
(21) “AD 501 ENG/SP” (12/91) means the form entitled, “Relinquishment (Birth Mother and/or Presumed Father).”
(22) “AD 501A ENG/SP” (12/91) means the form entitled, “Relinquishment (Out of State).”
(23) “AD 503 ENG/SP” (12/91) means the form entitled, “Relinquishment - Out of County (Birth Mother and/or Presumed Father).”
(24) “AD 504” (12/91) means the form entitled, “Relinquishment - Out of State - in-Armed Forces.”
(25) “AD508 (3/82) means the form entitled, Rescission Request/Rescission of Relinquishment.”
(26) “AD 512” (7/98) means the form entitled, “Psychosocial and Medical History of Child.”
(27) “AD551A” (3/94) means the form entitled, “Notification of Procedure in Lieu of Signing Relinquishment Waiver or Denial.”
(28) “AD558” (8/97) means the form entitled, “Notice of Placement.”
(29) “AD580” (6/97) means the form entitled, “Notice of Removal of Child from Adoptive Home.”
(30) “AD 583 Eng/Sp” (6/95) means the form entitled, “Relinquishment - Out of County (Presumed Father Denies He is the Birth Father).”
(31) “AD 584 Eng/Sp” (8/95) means the form entitled, “Relinquishment - Out of State (Presumed Father Denies He is the Birth Father).”
(32) “AD 585 Eng/Sp” (8/95) means the form entitled, “Relinquishment (Presumed Father Denies He is the Birth Father).”
(33) “AD 586 Eng/Sp” (6/97) means the form entitled, “Relinquishment - In or Out of County (Alleged Natural Father in California).”
(34) “AD 588 Eng/Sp” (6/98) means the form entitled, “Denial of Paternity by Alleged Natural Father - In or Out of California.”
(35) “AD 590 Eng/Sp” (6/98) means the form entitled, “Waiver of Right to Further Notice of Adoption Planning (Alleged Natural Father In or Out of California).”
(36) “AD 591 Eng/Sp” (12/91) means the form entitled, “Relinquishment (Alleged Natural Father) Out of State or County.”
(37) “AD 593” (12/91) means the form entitled, “Relinquishment (Alleged Natural Father) Outside of California in Armed Forces.”
(38) “AD594” (1/95) means the form entitled, “Consent to Adoption by Alleged Natural Father.”
(39) “AD 824” (5/97) means the form entitled, “Consent and Joinder” for agency adoptions.
(40) “AD830” (9/97) means the form entitled, “Summary Claim for Reimbursement Private Adoption Agency Reimbursement Program.”
(41) “AD831” (7/87) means the form entitled, “Private Adoption Agency Cost Justification for Adoptive Placement.”
(42) “AD842” (1/95) means the form entitled, “Consent to Adoptive Placement by Alleged Natural Father (Outside California in Armed Forces).”
(43) “AD859” (1/95) means the form entitled, “Consent to Adoption of Indian Child by Parent(s) in or out of California.”
(44) “AD860” (1/95) means the form entitled, “Consent to Adoption of Indian Child by Presumed Father in or out of California.”
(45) “AD861” (6/95) means the form entitled, “Consent to Adoption of Indian Child by Alleged Natural Father (In or Outside of California).”
(46) “AD 862” (12/91) means the form entitled, “Relinquishment of Indian Child by Alleged Natural Father - Out of State or County.”
(47) “AD 863” (12/91) means the form entitled, “Relinquishment of Indian Child - Out of State.”
(48) “AD 864” (1/92) means the form entitled, “Relinquishment of Indian Child (Birth Mother and/or Presumed Father).”
(49) “AD 865” (1/92) means the form entitled, “Relinquishment of Indian Child (Birth Mother and/or Presumed Father) Out of County.”
(50) “AD 866” (8/95) means the form entitled, “Relinquishment of Indian Child (Presumed Father Denies He is the Birth Father).”
(51) “AD 867” (6/95) means the form entitled, “Relinquishment of Indian Child (Presumed Father Denies He is the Birth Father) Out of State.”
(52) “AD 868” (1/92) means the form entitled, “Relinquishment of Indian Child (Alleged Natural Father in California) In/Out of County.”
(53) “AD 873” (7/95) means the form entitled, “Relinquishment of Indian Child (Presumed Father Denies He is Birth Father) Out of County.”
(54) “AD880” (7/98) means the form entitled, “Declaration of Mother.”
(55) “AD 885” (7/98) means the form entitled, “Statement of Understanding - Agency Adoptions Program (Mother or a Presumed Father of the Child Who Is Not Detained, a Juvenile Court Dependent in Out-of-Home Care, or the Ward of a Legal Guardian).”
(56) “AD 885A” (9/98) means the form entitled, “Statement of Understanding - Agency Adoptions Program (Mother or a Presumed Father of a Child Who Is Detained, a Juvenile Court Dependent in Out-of-Home Care, or the Ward of a Legal Guardian).”
(57) “AD 885C” (7/98) means the form entitled, “Statement of Understanding - Agency Adoptions Program (Alleged Natural Father of the Child Who Is Not Detained, a Juvenile Court Dependent in Out-of-Home Care, or the Ward of a Legal Guardian).”
(58) “AD 885D” (7/98) means the form entitled, “Statement of Understanding - Agency Adoptions Program (Alleged Natural Father of the Child Who Is Detained, a Juvenile Court Dependent in Out-of-Home Care, or the Ward of a Legal Guardian).”
(59) “AD 887” (3/97) means the form entitled, “Statement of Understanding - Independent Adoptions Program (Parent Who Gave Physical Custody of the Child to the Adoptive Parents).”
(60) “AD 887A” (3/97) means the form entitled, “Statement of Understanding -Independent Adoptions Program (Parent Who Did Not Give Physical Custody of the Child to the Adoptive Parents).”
(61) “AD 887B” (3/97) means the form entitled, “Statement of Understanding - Independent Adoptions Program (Alleged Natural Father).”
(62) “AD 899” (7/98) means the form entitled, “Statement of Understanding - Agency Adoptions Program (Mother or a Presumed Father of the Indian Child Who Is Not Detained, a Juvenile Court Dependent in Out-of-Home Care, or the Ward of a Legal Guardian).”
(63) “AD 899A” (7/98) means the form entitled, “Statement of Understanding - Agency Adoptions Program (Mother or a Presumed Father of an Indian Child Who Is Not Detained, a Juvenile Court Dependent in Out-of-Home Care, or the Ward of a Legal Guardian).”
(64) “AD 899C” (7/98) means the form entitled, “Statement of Understanding - Agency Adoptions Program (Alleged Natural Father of the Indian Child Who Is Not Detained, a Juvenile Court Dependent in Out-of-Home Care, or the Ward of a Legal Guardian).”
(65) “AD 899D” (7/98) means the form entitled, “Statement of Understanding - Agency Adoptions Program (Alleged Natural Father of the Indian Child Who Is Not Detained, a Juvenile Court Dependent in Out-of-Home Care, or the Ward of a Legal Guardian).”
(66) “AD 900” (1/95) means the form entitled, “Statement of Understanding - Independent Adoptions Program (Parent Who Gave Physical Custody of the Indian Child to the Adoptive Parents).”
(67) “AD 900A” (1/95) means the form entitled, ”Statement of Understanding - Independent Adoptions Program (Parent Who Did Not Give Physical Custody of the Indian Child to the Adoptive Parents).”
(68) “AD 900B” (1/95) means the form entitled, “Statement of Understanding - Independent Adoptions Program (Alleged Natural Father of Indian Child).”
(69) “AD 904” (2/94) means the form entitled, “Consent for Contact.”
(70) “AD 904A” (1/94) means the form entitled, “Waiver of Rights to Confidentiality of Adoption Records for Siblings.”
(71) “AD 907” (5/94) means the form entitled, “Adoptive Placement Agreement.”
(72) “AD908 Eng/Sp” (1/98) means the form entitled, “Adoptions Information Act Statement.”
(73) “AD909” (8/88) means the form entitled, “Photolisting Data Sheet.”
(74) “AD 920 Eng/Sp” (2/93) means the form entitled, “Relinquishment - In or Out of County (Alleged Natural Father In California) - Parent Identifying Adopting Parent(s).”
(75) “AD 921 Eng/Sp” (1/93) means the form entitled, “Relinquishment (Birth Mother and/or Presumed Father) - Parent Identifying Adopting Parent(s).”
(76) “AD 922 Eng/Sp” (3/97) means the form entitled, “Relinquishment Addendum for Parent Identifying Adopting Parent(s).”
(77) “AD924” (3/95) means the form entitled, “Independent Adoption Placement Agreement.”
(78) “AD925” (1/95) means the form entitled, “Independent Adoption Placement Agreement - Indian Child.”
(79) “AD926” (3/97) means the form entitled, “Statement of Understanding - Independent Adoption Program (Parent Who Signs Independent Adoption Placement Agreement).”
(80) “AD927” (1/95) means the form entitled, “Statement of Understanding - Independent Adoption Program (Parent of Indian Child Who Signs Independent Adoption Placement Agreement).”
(81) “AD928” (3/97) means the form entitled, “Revocation of Consent - Independent Adoption Program.”
(82) “AD929” (5/97) means the form entitled, “Waiver of Right to Revoke Consent - Independent Adoption Program.”
(83) “AD930” (1/95) means the form entitled, “Independent Adoption Placement Agreement Transmittal.”
(84) “AD4310” (1/93) means the form entitled, “Adoption Programs Notice Required by Information Practices Act.”
(85) “AD4311” (1/98) means the form entitled, “Information on American Indian Child (Adoption Program).”
(86) “AD4317” (3/82) means the form entitled, “Revocation of Relinquishment.”
(87) “AD 4320” (11/11) means the form entitled, “Adoption Assistance Program Agreement.”
(88) “AD 4333” (6/96) means the form entitled, “Acknowledgement and Confirmation of Receipt of Relinquishment Documents.”
(89) “AD 4336” (4/97) means the form entitled, “Consent to Adoption by Presumed Father in Armed Forces - Outside of California, Denies He is Natural Father.”
(b)(1) “BID7-A” (5/90) means the fingerprint card.
(c) Reserved
(d)(1) DHS 6155 (10/90) means the form entitled “Health Insurance Questionnaire.”
(e) Reserved
(f)(1) (Reserved)
(f)(2) (Reserved)
(3) “(FC 3)” (2/92) means the form entitled, “Determination of Federal AFDC-FC Eligibility.”
(4) (Reserved)
(5) (Reserved)
(6) (Reserved)
(7) (Reserved)
(8) “FC 8” (7/11) means the form entitled, “Federal Eligibility Certification for Adoption Assistance Program.”
(9) (Reserved)
(10) “FC 10” (8/09) means the form entitled, “Income and Property Checklist for Federal Eligibility Determination - Adoption Assistance Program.”
(g) Reserved
(h) Reserved
(i)(1) “ICPC100A” (10/91) means the form entitled, “Interstate Compact Application Request to Place Child.”
(2) “ICPC100B” (7/92) means the form entitled, “Interstate Compact Report on Child's Placement Status.”
(3) “I-600” (5/83) means the form entitled, “Petition to Classify Orphan as an Immediate Relative.”
(j) Judicial Council Forms to Finalize Adoptions
(1) “Adopt-200” (1/99) means the form entitled, “Petition for Adoption.”
(2) “Adopt-210” (1/99) means the form entitled, “Petitioner Consent and Agreement to Adoption.”
(3) “Adopt-215 (1/99) means the form entitled, “Order of Adoption.”
(4) “Adopt-220” (1/99) means the form entitled, “Attachment to Petition for Adoption - Adoption of an Indian Child.”
(5) “Adopt-230” (1/99) means the form entitled, “Accounting Report - Adoptions.”
(6) “Adopt-310 (1/99) means the form entilted, “Kinship Adoption Agreement.”
(7) “JV-505” (1/99) means the form entitled, “Statement Regarding Paternity” (Juvenile Dependency).
(k)-(u) Reserved
(v)(1) “VS 44” (1/91) means teh form entitled, “Court Report of Adoption.”
(w)-(z) Reserved
NOTE

Authority cited: Sections 10553, 10554, 16118 and 16120, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Sections 16105, 16118 and 16120.05, Welfare and Institutions Code; Sections 8500 et seq., 8600 et seq., 8700 et seq., 8800 et seq., 8900 et seq., seq. and 9200, Family Code.
HISTORY

1. Renumbering of former section 35001 to section 35002 and new section filed 9-8-93; operative 10-7-93 (Register 93, No. 37). For prior history, see Register 91, No. 52.
2. New subsections (a)(1)-(4) and subsection renumbering, new subsection (a)(48), reservation of subsections (b)-(f)(2), new subsection (f)(3), reservation of subsections (f)(4)-(7), new subsections (f)(8)-(10) and amendment of Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
3. New subsections (a)(5)-(9), (a)(12), (a)(14)-(15), (a)(20), (a)(23)-(25), (a)(34)-(40), (a)(49), (a)(64)-(65), (a)(69)-(78) and (b)-(z), subsection renumbering, amendment of redesignated subsections (a)(13), (a)(54)-(56), (a)(61)-(63), repealer of subsection (a)(44), and amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52).
4. Editorial correction of subsection renumbering (Register 95, No. 6).
5. Editorial correction of History 3 and inserting inadvertently omitted History 4 (Register 95, No. 13).
6. Change without regulatory effect adding new subsection (a)(80) filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
7. Certificate of Compliance as to 10-31-94 order including amendment of section transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
8. Amendment filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
9. Amendment refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 11-24-98 order, including amendment of section, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
11. Amendment of subsections (a)(1), (a)(3) and (a)(85) filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsections (a)(1), (a)(3) and (a)(85) refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 3-31-2001 order, including further amendment of subsections (a)(1), (a)(3) and (a)(85), transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
14. Amendment of subsections (a)(1)-(4), new subsections (a)(5)-(6), subsection renumbering and amendment of newly designated subsection (a)(87) and subsections (f)(8) and (f)(10) filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35002. Initialing the Relinquishment or Consent Form.
Note     •     History

(a) The relinquishment or consent form shall not be corrected or altered unless the correction or alteration is initialed by:
(1) The parent who signed the form.
(2) The reader or translator, if one was used.
(3) The authorized representative of the agency.
(4) The witnesses to the relinquishment.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8700 and 8806, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Renumbering of former section 35001 to section 35002 and amendment of Note filed 9-8-93; operative 10-7-93 (Register 93, No. 37).
4. Change without regulatory effect amending subsections (a)(1)-(3) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35003. Relinquishment and Consent Procedures for Parents Who Cannot Read English or Cannot Read Any Language.
Note     •     History

(a) If the parent signing the relinquishment, consent, or statement of understanding form cannot read English but does read his or her native language, the agency or adoption service provider shall:
(1) Provide all relinquishment, consent, and statement of understanding forms written in the parent's native language.
(A) The agency or adoption service provider shall contact the department's Adoptions Branch Forms Coordinator to obtain a copy of the appropriate forms translated into the parent's native language.
(2) Provide for the written translation of the forms into the parent's native language when such forms cannot be obtained from the department within a reasonable time.
(A) The agency or adoption service provider shall permit the parent to provide the translator.
1. The agency or adoption service provider shall inform the parent that forms shall be translated by a certified translator who shall:
a. Attach the English version of the form to the translated form, and
b. Include a signed statement attesting to the accuracy of the translation.
2. The agency or the adoption service provider shall submit the translated forms to the department's Adoption Branch Forms Coordinator to determine the accuracy of the translation before using the forms.
(B) If the parent cannot provide a translator, the agency shall provide a translator.
1. An employee of the agency may translate the forms in writing if he or she:
a. Is a certified translator.
(i) The translator shall attach the English version of the form to the translated form, and
(ii) Include a signed statement attesting to the accuracy of the translation.
b. Is not responsible for the provision of any adoption services to the relinquishing or consenting parent or the prospective adoptive parents.
2. The agency shall submit the translated forms to the department's Adoption Branch Forms Coordinator to determine the accuracy of the translation before using the forms.
(b) If the parent signing the relinquishment, consent, or statement of understanding form cannot read any language, the agency or adoption service provider shall:
(1) Provide for the reading of all forms to the parent in a language understood by the parent.
(A) If the parent does not understand English, the forms shall be translated into the parent's native language before the reading.
(2) Permit the parent to provide the reader.
(3) Provide the reader if the parent cannot provide the reader.
(A) If the reader is an employee of the agency, he or she shall not be responsible for providing adoption services to the relinquishing or consenting parent or the prospective adoptive parents.
(4) Record on audio or video tape the reading of the forms to the parent.
(5) Obtain a statement, signed by the reader, attesting that the forms were accurately read.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8700 and 8806, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(2)(A)-(A)1. and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35005. Relinquishment and Consent Procedures for Parents Who Cannot Read. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8700 and 8806, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Editorial correction of printing error in subsection (a) (Register 91, No. 32).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending subsection (a)(3)(A) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35007. Recording of Reading of Forms. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8700 and 8806, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 2. Recruitment--Agency Adoptions
§35009. Dissemination of Information Regarding AAP-Eligible Children, AAP, and Reimbursement of Nonrecurring Adoption Expenses.
Note     •     History

(a) The agency shall inform the public regarding:
(1) The need for adoptive parents for AAP-eligible children.
(2) AAP.
(3) Reimbursement for nonrecurring adoption expenses.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 8708, 8709, 8710 and 8711 Family Code; Sections 16115.5, 16119 and 16120, Welfare and Institutions Code; and 45 CFR 1356.40 and 45 CFR 1356.41(e)(1).
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. New subsection (a)(3) filed 1-8-90 as an emergency; operative 1-8-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days, by 5-8-90, or emergency language will be repealed on 5-9-90.
3. Certificate of Compliance as to 1-8-90 order transmitted to OAL 5-4-90 and filed 6-4-90 (Register 90, No. 30). 
4. Change without regulatory effect amending subsection (a)(1) and Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
5. Amendment of section heading, subsection (a)(1) and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-31-94 order including amendment of section heading and subsection (a)(1) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
§35011. Recruitment of Adoptive Applicants.
Note     •     History

(a) The agency shall recruit applicants who will meet the needs of children whom the agency is placing for adoption.
(1) In recruiting applicants, the agency shall follow the requirements of Family Code Sections 8708, 8709, 8710, and 8711.
(2) The agency shall inform the unmarried applicant that the ability to adopt is not limited by the applicant's marital status.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code; Sections 8621 and 8711.5, Family Code; and Section 1530, Health and Safety Code. Reference: Sections 8708, 8709, 8710 and 8711, Family Code; Sections 16115.5 and 16119, Welfare and Institutions Code; and 45 CFR 1355.40.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a)(1) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of subsections (a)-(a)(1) and Note filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
5. Reinstatement of subsections (a)-(a)(1) and Note as they existed prior to emergency amendment of 12-22-95 by operation of Government Code section 11346.1(f) (Register 96, No. 21).
6. Amendment of subsections (a)-(a)(1) and Note filed 5-24-96; operative 5-24-96 (Register 96, No. 21).
§35013. Provision of Information Regarding the Adoption of an AAP-Eligible Child.
Note     •     History

(a) The agency shall inform applicants regarding the availability of:
(1) AAP-eligible children in need of adoptive parents;
(2) Supportive services to assist the adoptive parent in meeting the AAP-eligible child's needs;
(3) AAP payments for AAP-eligible children;
(A) The agency shall inform the applicant for the adoption of the AAP-eligible child that the ability to adopt is not limited by the applicant's income or lack of income and that there is no test for the applicant's financial means as a prerequisite for adoption.
(B) The agency shall inform the applicant for the adoption of the AAP-eligible child that availability of AAP support for group home care and residential treatment is limited.
(C) The agency shall inform the applicant for adoption of an AAP-eligible child of the provisions of Welfare and Institutions Code Section 16120(h).
(4) Medi-Cal for AAP-eligible children; and
(5) Reimbursement for nonrecurring adoption expenses incurred in the adoption of an AAP-eligible child.
(A) The agency shall inform the applicant for the adoption of an AAP-eligible child that the ability to receive this reimbursement is not limited by the applicant's income and that there is no test of the applicant's financial means as a prerequisite for this reimbursement.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 16115.5, 16119, 16120 and 16120.1, Welfare and Institutions Code; 45 CFR 1356.40; and 45 CFR 1356.41(e)(1).
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, See Register 88, No. 1.
2. New subsection (a)(5) filed 1-8-90 as an emergency; operative 1-8-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days, by 5-8-90, or emergency language will be repealed on 5-9-90.
3. Certificate of Compliance as to 1-8-90 order transmitted to OAL 5-4-90 and filed 6-4-90 (Register 90, No. 30). 
4. Amendment of section heading, text and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-31-94 order including amendment of section heading and section transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
6. Amendment of section heading and new subsection (a)(3)(C) filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading and new subsection (a)(3)(C) refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-31-2001 order transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
§35015. Recruitment Efforts for Children Who Have Been Freed for Adoption.
Note     •     History

(a) The agency's efforts to recruit adoptive parents for children whom the agency is placing for adoption shall include:
(1) Contact with other public and private adoption agencies.
(2) Presentation of information regarding the child on television and/or other media outreach programs, if appropriate.
(3) Presentation of information concerning the child at exchange meetings of agencies.
(4) Participation in the state photo-listing album of children as appropriate.
(5) Contact with parent groups regarding specific children.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8711.5, Family Code. Reference: Sections 8708, 8709, 8710 and 8711, Family Code; Sections 16115.5 and 16119. Welfare and Institutions Code; and 45 CFR 1355.40.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)-(4) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of subsection (a) and Note filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
5. Reinstatement of subsection (a) and Note as they existed prior to emergency amendment of 12-22-95 by operation of Government Code section  11346.1(f) (Register 96, No. 21).
6. Amendment of subsection (a) and Note filed 5-24-96; operative 5-24-96 (Register 96, No. 21).
§35017. Requirements for Photo-Listing Children Who Have Been Freed for Adoption.
Note     •     History

(a) The agency shall register with the Department's photo-listing service each child who has been freed for adoption and whose case plan goal is adoption.
(b) In order to register the child, the agency shall submit the following to the Department:
(1) Two recent photographs of the child which are:
(A) (Reserved)
(B) head-to-chest close-ups;
(C) no smaller than 3 1/2 inches by 3 1/2 inches in dimension;
(D) taken no more than six months prior to registration.
(2) A description of each child being registered.
(A) The description shall be typewritten in the “Description of Child” section on the AD 909.
(B) The completed “Description of Child” section on the AD 909 shall be no less than four concise paragraphs which contain, but are not limited to, the following:
1. Include in the first paragraph:
a. the child's date of birth;
b. the child's religious preference: if no preference, indicate “NONE”;
c. whether the child is a member of a sibling group;
d. the child's ethnicity: if a child is of a mixed background, identify the ethnicities, such as, but not limited to, Black/White, Hispanic/Asian, etc.
2. Include in the second paragraph some positive statements about the child's personality, outside or special interests, achievements, and aspirations.
3. Include in the third paragraph a summary of the child's medical, educational, psychological, and behavioral problems, if any, and measures that are being taken to decrease or eliminate those problems.
4. Include in the fourth paragraph:
a. placement restrictions, such as, but not limited to, geographic, which may sever ties between relatives or significant others;
b. information as to whether the child would benefit from ongoing contact with birth parents, siblings, and other relatives;
c. the type of family sought, one or two parents, and the characteristics they should possess;
d. the desired position of the child in the prospective adoptive family; and
e. whether the child is eligible for AAP benefits.
(c) Licensed adoption agencies shall send a recent photograph and description of each child to the photo-listing service within 15 working days of the time the child is legally freed for adoption.
(1) The 15-working-day time period shall commence on the first working day following the date on which the AD 4333 is signed by the Department.
(2) When an appeal has been filed challenging the initial court decision of termination of parental rights, the child shall not be photo-listed during the appeal process.
(A) After appeal, the child shall be registered with the photo-listing service within 15 working days after the court's final order of termination of parental rights.
1. Registration shall conform to Section 35017(a).
(d) When adoption is the case plan goal for a child, the agency may photo-list that child prior to the child's becoming legally freed for adoption.
(1) Consent to register the child shall be obtained by the agency from the birth parent(s), legal guardian, or the court.
(A) Once consent has been obtained, the child shall be registered within 15 working days.
(e) The agency shall defer a child's registration when the child's foster parent(s) or other identified persons have applied to adopt the child and are meeting the adoption agency's requests for required documentation as specified at section 35195(a) and are cooperating in the completion of a homestudy pursuant to section 35189(a).
(f) Registration shall be deferred no longer than six months from the date the child was legally freed unless documentation is included in the case file which substantiates the need for further deferral resulting from delays not within the control of the prospective adoptive parents.
(g) A child who is 12 years of age, or older, and does not consent to be adopted, shall be deferred from the photo-listing service.
(1) If a child 12 years of age, or older, consents to his or her adoption, subsequent to an initial decision not to consent to his or her adoption, the agency shall register the child within 15 working days following the child's consent.
(h) The Department shall list the child in the photo-listing book within 30 working days following receipt of the items enumerated in Sections 35017(a)(1)(B) through (D) and 35017 (a)(2).
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621, 8707(a) 8714.5 and 8714.7, Family Code. Reference: Section 8707, Family Code.
HISTORY

1. New section filed 11-13-87; operative 12-13-87. Ed. Note: Text previously appeared in the Manual of Policies and Procedures as section 70-202.5. The printing of this regulation was delayed due to necessary reformatting (Register 89, No. 38). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (d) and new subsection (e) with re-lettering of subsequent subsections filed 5-29-90; operative 6-28-90 (Register 90, No. 28).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations and editorial correction of section heading (Register 91, No. 52).
4. Change without regulatory effect relettering subsections and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Amendment of section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35019. Notification of Changes in Photo-Listing Status and Updating Photo-Listing Information.
Note     •     History

(a) The agency shall notify the photo-listing service by telephone, of any adoptive placements or of any significant changes in the child's photo-listing status within two working days of that change.
(b) Significant change means:
(1) the child's case plan goal is revised to other than adoption;
(2) the child has reached the age of 12 and will not consent to be adopted;
(3) there is a change in the child's physical, mental or behavioral state; or
(4) the child dies.
(c) The agency shall submit to the Department, within 15 working days following a one-year period in which a child is registered with the photo-listing service, an updated photograph and description of each child registered with the photo-listing service.
(1) The photograph shall comply with the requirements set forth in Section 35017 (a)(1)(B) through (D).
(2) The description of the child shall comply with the requirements set forth in Section 35017 (a)(2).
(d) The Department shall review the photo-listing status of all legally freed children whose case plan goal is adoption, including those who are registered with the photo-listing service and those whose registrations have been deferred, semi-annually.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8707, Family Code. Reference: Section 8707, Family Code.
HISTORY

1. New section filed 11-13-87; operative 12-13-87. Ed. Note: Text previously appeared in the Manual of Policies and Procedures as section 70-202.6. The printing of this regulation was delayed due to necessary reformatting (Register 89, No. 38). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect relettering subsections and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction adding inadvertently omitted History 5 (Register 99, No. 1).
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 3. Staffing Requirements
§35021. Compliance with CCR Requirements for the Staffing of Adoption Agencies.
Note     •     History

(a) The agency shall comply with Title 22, California Code of Regulations, Division 6, Chapter 9, Articles 1 and 2.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 16100, Welfare and Institutions Code; and Section 1530, Health and Safety Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 4. Background [Repealed]
HISTORY

1. Certificate of Compliance as to 11-24-98 order renumbering of former section 35023 to new section 35092 and repealing the remainder of article 4 (formerly sections 35023-35027) transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 5. Freeing a Child for Adoption [Repealed]
HISTORY

1. Certificate of Compliance as to 11-24-98 order repealing article 5 (sections 35029-35035) transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Subchapter 3. Administrative Requirements
Article 1. Administration of Public and Private Agencies
§35037. Fees.
Note     •     History

(a) Adoption agencies shall comply with the requirements of Title 22, California Code of Regulations, Division 6, Section 89137(b) and Family Code Sections 8716, 8810, 8907, and 9203(g).
(b) Adoption agencies shall collect fees for criminal record clearances pursuant to Family Code Sections 8712(c), 8811(c) and 8908(c).
(1) (Reserved)
(2) (Reserved)
(4) When the adoption agency or the Department defers, waives, or reduces the fee to be paid by the applicant or petitioner, the adoption agency or the Department is responsible for payment of the fees to the Department of Justice.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621, 8901 and 9203(g), Family Code. Reference: Sections 8712(c), 8716, 8810, 8811(c), 8907, 8908(c) and 9203(g), Family Code; and Section 89137(b), Title 22, California Code of Regulations.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. New subsections (b) and (b)(3) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending subsection (a) and Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending subsections (a), (b)(3) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Amendment of subsection (b) and subsection renumbering filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
6. Reinstatement of subsection (b) and subsection renumbering as they existed prior to emergency amendment of 12-22-95 by operation of Government Code section  11346.1(f) (Register 96, No. 21).
7. Amendment of subsection (b) and subsection renumbering filed 5-24-96; operative 5-24-96 (Register 96, No. 21).
§35039. Manual.
Note     •     History

(a) Agencies shall make available a copy of Title 22, California Code of Regulations, Division 2, Chapter 3 to all agency employees who provide adoption services.
(b) Agencies shall make available a copy of Title 22, California Code of Regulations, Division 6, to all agency employees who provide adoption services.
NOTE

Authority cited: Sections 6553, 10554 and 16118(a), Welfare and Institutions Code; Sections 8621 and 8901, Family Code; and Section 1530, Health and Safety Code. Reference: Sections 10553 and 10554, Welfare and Institutions Code; and Section 1530, Health and Safety Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35041. Reporting Requirements.
Note     •     History

(a) Agencies shall submit the following reports to the department, including but not limited to:
(1) Reports required for the implementation of the ICWA.
(2) Reports required for the implementation of Public Law 96-272 (Title 42, United States Code, Sections 673 and 675), including reports necessary to meet Title IV-B planning requirements.
(3) Reports required for the determination of allocations to public adoption agencies.
(4) Reports required for the department's evaluation of the efficiency of agencies in placing children for adoption.
NOTE

Authority cited: Sections 10553, 10554, and 16118(a), Welfare and Institutions Code; Sections 8621 and 8901, Family Code; and Section 1530, Health and Safety Code. Reference: Section 10852, Welfare and Institutions Code; and 25 USC 1915(e).
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)-(3) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35043. Maternity Care.
Note     •     History

(a) If the licensed public adoption agency uses its adoption program allocation to assist the birth mother with the cost of private medical and/or hospital care the following conditions shall be met:
(1) The birth mother is financially unable to pay for private medical and/or hospital care.
(2) The birth mother is not eligible for Medi-Cal.
(3) The use of other public medical resources is not indicated.
(b) The licensed public adoption agency shall utilize adoption program funds only when no other resource is available.
(c) The licensed public adoption agency shall determine that the mother is considering adoption at the time of approval for maternity care.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Sections 10553 and 10554, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending subsections (a)(1)-(2) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Amendment filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 1.1. Unavailability of Verifying Documents
§35044. Procedures Regarding Unavailability of Documents.
Note     •     History

(a) When a verifying official document is unavailable, the agency shall request the individual who would have submitted the official document to attempt to obtain a letter from the appropriate United States or foreign official stating that the document is not available and the reason it is not available.
(b) If a letter from the appropriate official is not received within 60 days of the individual's request, the agency shall request the individual's signed and notarized declaration specifying the:
(1) Type of document not available.
(2) Factual information contained on the document.
(3) Measures taken to obtain a copy of the document and to obtain a letter from the appropriate United States or foreign official.
(4) Certification that includes the following statement:
(A) “I certify under penalty of perjury that the above stated information is a true and accurate accounting.”
(c) The agency shall include in the adoption case record: 
(1) Information about the unavailable official document.
(2) The letter and declaration required by subsections (a) and (b) above, as appropriate.
(d) The agency shall include in the court report:
(1) Information about the unavailable official document.
(2) An explanation regarding the unavailability of the letter from the appropriate United States or foreign official.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8700, 8715, 8806, 8807, 8808, 8814, 8819 and 8914, Family Code.
HISTORY

1. New article 1.1 and section filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
2. New article 1.1 (section 35044) and section repealed by operation of Government Code section 11346.1(g) (Register 96, No. 21).
3. New article 1.1 (section 35044) and section filed 5-24-96; operative 5-24-96 (Register 96, No. 21).
4. Amendment filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 2. Content of Case Record
§35045. Compliance with CCR Requirements for Content of Case Record.
Note     •     History

(a) Adoption agencies shall comply with the requirements of Title 22, California Code of Regulations, Division 6, Sections 89179 and 89182.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code;  Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 1530, Health and Safety Code; Section 1798, Civil Code; and Sections 89179 and 89182, Title 22, California Code of Regulations
HISTORY

1. New section filed 9-1-87; operative 10-1-87 (Register 88, No. 50).
2. Editorial correction of printing error restoring section 35045 not previously printed (Register 91, No. 32).
3. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Editorial correction deleting extraneous text (Register 95, No. 13).
5. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35047. Additional Requirements for Adoptions Case Records.
Note     •     History

(a) In addition to the requirements of Title 22, California Code of Regulations, Sections 89179 and 89182, adoption case records shall contain the following, as appropriate:
(1) All documentation pertaining to freeing the child for adoption as required by Subchapter 2, Article 5.
(2) All documentation pertaining to the translation and/or reading and/or correction of forms including the recordings of any reading of consent and relinquishment forms as required by Subchapter 2, Article 1.
(3) All documentation pertaining to the unavailability of verifying documents as required by Section 35044.
(4) Copies of the written assessment of the child as required by Subchapter 5, Article 4 and the written assessment of the applicant as required by Subchapter 5, Article 6.
(5) A copy of the notice to the prospective adoptive parents of the agency's intent to remove the child from an adoptive placement.
(6) A copy of the written notice to all parties to a grievance review hearing.
(7) A copy of the agency director's decision regarding the grievance review hearing as required by Section 35239(a)(1).
(8) Copies of all requests for disclosure of information from the adoption case record.
(9) All documentation of eligibility for the Adoption Assistance Program (AAP) as required by Subchapter 7, Article 2.
(10) A copy of the signed AD 4320.
(11) Copies of the following documentation supporting the issuance of the AD 4333:
(A) Form AD 90.
(B) Form AD 551A.
(C) All forms signed by the relinquishing parent which pertain to the relinquishment of the child for adoption including Statements of Understanding.
(D) Form AD 588.
(E) Form AD 590.
(F) Form AD 558.
(G) Documentation of action taken in another state to free the child.
(H) Form AD 4333.
(I) Form AD 4311 and copies of any responses from Bureau of Indian Affairs (BIA) or the child's tribe.
(J) Forms AD 165 and 166.
(K) Form ICPC 100A, if applicable.
(L) Form ICPC 100B, if applicable.
(12) Copies of requests for medical background information under Family Code Sections 8706, 8817, or 8909.
(13) Copies of medical background information transmitted to an adoptee and adoptive parent at time of placement under Family Code Sections 8706, 8817, 8909, and 9202.
(14) Copies of requests for identifying information under Family Code Section 9203.
(15) Copies of identifying information provided under Family Code Section 9203.
(16) Copies of waivers of the right to confidentiality of adoption case records under Family Code Section 9204.
(17) Copies of the birth parents' authorizations for the release of medical background information as required by Section 35023(a).
(18) Documentation of any attempt to place the child in accordance with the ICWA.
(19) A copy of the notice to the parent of an Indian child in the event that the adoptive petition is withdrawn, dismissed, or denied, or the adoption is set aside.
(20) A copy of the Interstate Compact on the Placement of Children (ICPC) acknowledgement/waiver.
(21) A copy of the receipt signed by the prospective adoptive parent acknowledging receipt of initial and updated medical background information on the child and birth parents.
(22) Copies of letters of reference regarding the suitability of applicants to be adoptive parents.
(A) Documentation of face-to-face interviews with references.
(23) The fingerprint card(s) (BID-7) returned from the Department of Justice (DOJ), full state criminal record, if any, and the FBI criminal record, if any.
(24) Justification for any deferment, waiver, or reduction in the DOJ fee charged pursuant to Family Code Section 8712, 8811, or 8908, for checking or obtaining the criminal record of the applicant or petitioner.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8612, Family Code. Reference: Sections 1501, 1502, 1503 and 1508, Health and Safety Code; Sections 89179 and 89182, Title 22, California Code of Regulations; and Sections 8706, 8710, 8712, 8811, 8817, 8908, 8909, 9202, 9203 and 9204, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. New subsections (a)(22) and (a)(23) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Amendment of subsection (a)(16) and Note filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
5. Amendment of section and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-31-94 order including amendment of subsection (a)(10)(H) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
7. Amendment of section and Note filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
8. Reinstatement of section and Note as they existed prior to emergency amendment of 12-22-95 by operation of Government Code section 11346.1(f) (Register 96, No. 21).
9. Amendment of section and Note filed 5-24-96; operative 5-24-96 (Register 96, No. 21).
Article 3. Procedures for Post--Adoption Services
§35049. Releasing Information from an Adoption Case Record.
Note     •     History

(a) (Reserved)
(b) An adoption case record is confidential. 
(c) Information shall be released from an adoption case record as follows:
(1) To the individual to whom the information pertains pursuant to Civil Code Section 1798.24(a);
(A) (Reserved)
(B) Upon written request, the agency shall provide the requestor copies of materials he or she submitted to the agency or documents he or she signed during the adoption proceedings.
(C) No agency shall include or disclose the identity of the adoptee's birth parent or birth parents in information provided under Civil Code Section 1798.24(a).
(2) To an adopted person pursuant to Civil Code Section 1798.24(q).
(3) The child or grandchild of an adopted person pursuant to Civil Code Section 1798.24(r).
(4) To the juvenile court for the purpose of completing a preliminary assessment of the child's adoptability pursuant to Welfare and Institutions Code Section 366.21(i)(4) or Welfare and Institutions Code Section 366.22(b)(4).
(d) If adoption records are subpoenaed, the agency should refer the matter to its legal counsel.
NOTE

Authority cited: Section 1798.24, Civil Code; Section 8621, Family Code; Sections 10553, 10554 and 10850(d), Welfare and Institutions Code. Reference: Section 10850(d), Welfare and Institutions Code; Section 9204, Family Code; Sections 1798.24(a), (q) and (r), Civil Code; 25 USC 1901, et seq.; and Sections 102625 and 102705, Health and Safety Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsection (b)(4) and Note filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
4. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
5. Editorial correction of History 4 (Register 95, No. 13).
6. Amendment of section heading, section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading, section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-24-98 order, including amendment of Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35050. Providing a Medical Report.
Note     •     History

(a) The agency shall provide the adoptive parents copies of information received by the agency pursuant to Family Code Section 8702 or 8818 after finalization of the adoption.
(3) The agency shall transmit the information to the adoptive parents upon its receipt.
(A) The agency shall delete the names and addresses of all individuals, including the adoptee and the source, prior to releasing the information.
(B) The agency shall strive for full disclosure of all medical and family background information received from the birth parents.
(C) The agency shall not interpret or summarize medical terminology or any health conditions indicated in the information received from the birth parents. Emphasis shall be placed on citing verbatim from any reports and evaluations received.
(D) The agency shall advise the adoptive parents that, upon receipt of the information, the adoptive parents should consult their physician or mental health professional for further evaluation or interpretation, particularly if the information contains material sensitive in subject matter.
1. The agency shall document in the adoption case record a description of the manner in which the medical information was released and the date on which the information was released.
2. The agency shall retain a copy of the information in the adoption case record.
NOTE

Authority cited: Sections 10553, 10554 and 10850(d), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Sections 8702 and 8818, Family Code.
HISTORY

1. New section filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
2. Change without regulatory effect amending subsection (a) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35051. Providing a Medical Report Upon Request.
Note     •     History

(a) The agency shall provide a photocopy of the adoptee's medical report required by Family Code Section 9202 and all documents related to the medical report upon the written request of an adoptee who has attained the age of 18, an adoptee under the age of 18 who presents a certified copy of his or her marriage certificate, or an adoptive parent of an adoptee under the age of 18.
(2) The agency shall delete from the medical report and photocopies of the relevant documents the names and addresses of all individuals, including the adoptee and the source, prior to releasing photocopies of the report, unless the person requesting the report has previously received the information pursuant to Family Code Section 9203.
(3) The agency shall strive for full disclosure of all medical and family background information about the adoptee and his or her birth parents.
(4) The agency shall not interpret or summarize medical terminology or any health conditions indicated in the original source reports. Emphasis shall be placed on citing verbatim from any reports and evaluations contained in the adoption case record.
(5) The agency shall advise the requester that, upon receipt of the medical report, the requester should consult his or her physician or mental health professional for further evaluation or interpretation, particularly if the report contains material sensitive in subject matter.
(6) Attachments of original source reports may not be appropriate under certain, limited circumstances. When the identity of other persons, such as former caretakers and other children in the foster home, would be revealed or when the information is not directly related to the adoptee's current or future well-being, only summaries of original source reports shall be released to the requester.
(b) Subject to the conditions described in Sections 35051(a)(2) through (6), upon receipt, the agency shall transmit to the adult adoptee under the age of 18 who presents a certified copy of his or her marriage certificate, or the adoptive parent of an adoptee under the age of 18 medical information submitted by a birth parent after the release of the medical report pursuant to Section 35051(a).
(1) The agency shall document in the adoption case record a description of the manner in which the medical information was released and the date on which the information was released.
(2) The agency shall retain a copy of the medical information in the adoption case record.
NOTE

Authority cited: Sections 10553, 10554 and 10850(d), Welfare and Institutions Code; and Section 9202(a), Family Code. Reference: Sections 9202 and 9203, Family Code; and 25 U.S.C. 1901, et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsections (a) and (a)(2), repealer and new subsections (a)(3)-(a)(5), new subsections (a)(6)-(b)(2), and amendment of Note filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
4. Amendment of subsections (a) and (a)(2)  and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-31-94 order transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
§35053. Disclosing Information to the Adoptee.
Note     •     History

(a) (Reserved)
(b) The agency shall disclose to the adoptee upon his/ or her request the name and most current address of a birth parent of an adoptee whose relinquishment for or consent to adoption was signed on or after January 1, 1984, in accordance with the provisions of Family Code Section 9203.
(1) (Reserved)
NOTE

Authority cited: Sections 10553, 10554 and 10850(d), Welfare and Institutions Code; and Sections 8621 and 9203, Family Code. Reference: Section 9203, Family Code; and 25 USC 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
§35055. Disclosing Information to the Birth Parent.
Note     •     History

(a) (Reserved)
(b) The agency shall disclose to a birth parent upon his or her request the name and most current address of an adoptee over the age of 21 whose relinquishment for or consent to adoption was signed on or after January 1, 1984,when the adult adoptee has given written consent to the disclosure in accordance with Family Code Section 9203.
NOTE

Authority cited: Sections 10553, 10554 and 10850(d), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 9203, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (b) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35057. Disclosing Identifying Information to the Adoptee.
Note     •     History

(a) The agency shall disclose the identity of a birth parent and his or her most current address upon the request of an adoptive parent of an adoptee under the age of 21 whose relinquishment for or consent to adoption was signed on or after January 1, 1984, upon finding by the department or agency that a medical necessity or other extraordinary circumstance justifies the disclosure, if the birth parent has given written permission for such disclosure in accordance with Family Code Sections 8702, 8818, and 9203.
(1) The agency shall not disclose the identity of a birth parent who has indicated that he or she does not wish his or her identity so disclosed.
NOTE

Authority cited: Sections 10553, 10554 and 10850(d), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Sections 8702, 8818 and 9203, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)-(a)(1) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35059. Statutory Requirements for Furnishing Information and Access to Case Records.
Note     •     History

(a) (Reserved)
(b) The agency shall comply with Family Code Section 9201 and Welfare and Institutions Code Section 10852.
NOTE

Authority cited: Sections 10553, 10554 and 10850(d), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 10852, Welfare and Institutions Code; Section 9201, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (b) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35061. Statutory Requirements for the Release of Personal Property.
Note     •     History

(a) The agency shall comply with the provisions of Family Code Section 9206.
NOTE

Authority cited: Sections 10553, 10554 and 10850(d), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 9206, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35063. Disclosure of Information.
Note     •     History

(a) The agency shall release to each sibling, who has attained the age of 21, the name and address of his or her biological sibling provided that at least one sibling is an adoptee and both have filed a written waiver of rights to confidentiality in accordance with Family Code Section 9205.
(1) (Reserved)
(2) (Reserved)
(3) Prior to releasing names and addresses of the adoptee and sibling to each other or disclosing to the sibling that a waiver has been filed by the adoptee, the agency shall verify their biological sibling relationship.
(A) Verification of the sibling relationship shall include, but not be limited to:
1. Documentation in the agency or another adoption agency's case record;
2. Documentation in the case record of a county welfare department; or,
3. Birth certificate of the sibling.
(4) Before disclosing the adoptee's name and address or the existence of a waiver filed by the adoptee, the agency shall obtain the consent of the adoptee's birth parents and sibling in any case in which the sibling remained in the custody and control of the birth parents until the age of 18 years.
(A) In those instances in which the sibling and adoptee have only one birth parent in common, only that birth parent's consent is necessary.
(B) If the sibling remained in the custody and control of only one birth parent until age 18, only that birth parent's consent is necessary.
(C) The agency shall require of the sibling and birth parent(s) documentation necessary to establish the parent-child relationship before the name and address will be made available for release.
(D) If any birth parent is deceased, the agency shall require from the sibling proof of the parent's death before the requirement for consent of that parent can be waived.
1. A copy of the death certificate, newspaper clipping, or other evidence of a funeral or memorial service which establishes the parent's death shall be accepted by the agency as evidence of the birth parent's death.
(E) In cases in which the sibling did not remain in the custody and control of his or her and the adoptee's birth parent(s) until age 18 but this fact cannot be verified, the agency shall accept as evidence that the sibling did not remain in the custody and control of the adoptee's and sibling's birth parent(s) an affidavit to that effect signed by the sibling.
1. Prior to acceptance of such an affidavit, the agency shall inquire of the sibling the circumstances which led to the sibling's not remaining under the custody and control of the adoptee's and sibling's birth parent(s) until the sibling reached age 18. The results of the inquiry shall be documented in the case record.
2. The affidavit shall be signed before a notary or authorized official of the agency.
(5) All waivers referred to in this section shall be on the AD 904A.
(A) Agencies shall advise adoptees and siblings who have filed waivers of confidentiality prior to the availability of the AD 904A of the necessity to sign the waiver on the AD 904A.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Sections 8621 and 9205(d), Family Code; and Section 1530, Health and Safety Code. Reference: Sections 9204 and 9205, Family Code.
HISTORY

1. New section filed 8-8-86; operative 9-7-86. Ed. Note: Text previously appeared in the Manual of Policies and Procedures as section 70-303.8. The printing of this regulation was delayed due to necessary reformatting (Register 89, No. 38). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Editorial correction of subsection (a)(4)(E) (Register 95, No. 13).
4. Change without regulatory effect amending subsections (a), (a)(4), (a)(4)(E)1.-(F), (a)(5)(A) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Amendment of subsections (a)(4), (a)(5) and (a)(5)(A) and amendment of  Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)(4), (a)(5) and (a)(5)(A) and amendment of Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35065. Services to Be Provided Following Finalization of an Adoption.
Note     •     History

(a) (Reserved)
(b) Services provided to adoptees, birth parents, and adoptive parents following the finalization of an adoption shall include the following:
(1) Information about statutory and regulatory requirements regarding the release of information from the adoption case record.
NOTE

Authority cited: Sections 10553, 10554 and 10850(d), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Sections 1798.24(r) and (s), Civil Code; Sections 8706, 8817, 8909, 9201, 9202, 9203, 9204 and 9206, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35065.1. General Post-Adoption Services Provided by Agencies.
Note     •     History

(a) The agency shall arrange for contact between an adult adoptee and his or her birth parent as provided in Family Code Section 9204.
(1) The agency may release to the adult adoptee and his or her birth parent their respective last known address in the adoption case record.
NOTE

Authority cited: Sections 10553, 10554 and 10850(d), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 1798.24(b), Civil Code; Sections 9203, 9204 and 9206, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 4. Private Adoption Agency Reimbursement Program
§35067. Reserved.

§35069. Eligibility for Reimbursement.
Note     •     History

(a) Agencies that choose to participate in this program shall:
(1) Have on file with the department a Form STD 204, Vendor Data Record.
(2) Document that the child is an AAP-eligible child as defined in Section 35000(a)(1).
(3) Document that the placement meets the requirements of Section 35327. 
NOTE

Authority cited: Sections 10553, 10554, 10850(d), 10852 and 16118(a), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Sections 10850(d), 16120 and 16122, Welfare and Institutions Code; and Sections 1798.24(q) and (r), Civil Code; and Sections 8706, 8817, 8909, 9201, 9202, 9203, 9204 and 9206, Family Code.
HISTORY

1. New section filed 12-15-89; operative 1-14-90 (Register 89, No. 51). 
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a)(1) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35071. Agency Operating Cost Approval Requirements.
Note     •     History

NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code. Reference: Section 16122(b), Welfare and Institutions Code; and 45 CFR Part 74.174(a). 
HISTORY

1. New section filed 12-15-89; operative 1-14-90 (Register 89, No. 51).
2. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35073. Claiming Procedures.
Note     •     History

(a) Each claim for an adoptive placement of an AAP-eligible child shall consist of the following documents:
(1) Six (6) copies of Form AD 830 (9/97) - “Summary Claim For Reimbursement Private Adoption Agency Reimbursement Program”
(2) Three (3) copies of Form AD 558 (8/97) - “Notice Of Placement” containing the signatures of representatives of both the child's agency and the family's agency.
(3) Three (3) copies of either Form FC-8 (Rev. 6/94) Federal Eligibility Certification for Adoption Assistance Program or Form AAP 4 (3/97) (Combines AAP 4 and FC 9) - “Eligibility Certification Adoption Assistance Program.” The Form FC-8 must be accompanied by three (3) copies of a case narrative describing the circumstances qualifying the child for AAP eligibility.
(b) Each claim for a completed adoption of an AAP eligible child shall consist of the following documents:
(1) Six (6) copies of Form AD 830 (9/97) - “Summary Claim For Reimbursement Private Adoption Agency Reimbursement Program.”
(2) Three (3) copies of Form AAP 4 (3/97) - “Eligibility Certification Adoption Assistance Program” or three (3) copies of both the Form FC-8 (6/94) - “Federal Eligibility Certification for Adoption Assistance Program” and the case narrative describing the circumstances qualifying the child for AAP eligibility.”
(3) One (1) copy of the “Order/Decree Of Adoption.”
(4) Three (3) copies completed by both the child's agency and the family's agency of Form AD 42R (7/95)(EFFECTIVE 11/95) - “Relinquishment Adoption Program - Individual Case Report.”
(c) Claims for completed adoptions, for which the agency claimed and was paid half the allowable total compensation at the time of the adoptive placement, shall consist of the following documents:
(1) Form AD 830 (9/97) - “Summary Claim For Reimbursement Private Adoption Agency Reimbursement Program” - Six (6) copies of Form AD 830, displaying in the appropriate columns the amount of PAARP compensation previously paid to the agency and the amount of the balance of the compensation, and five (5) copies of the From AD 830 that was returned with the letter informing the agency that the claim for half compensation had been approved by the Department.
(2) One (1) copy of the “Order/Decree of Adoption.”
(3) Three (3) copies completed by both the child's agency and the family's agency of Form AD 42R (7/95)(EFFECTIVE 11/95) - “Relinquishment Adoption Program - Individual Case Report.”
(d) A cooperative placement shall be regarded as a single placement.
(1) When two or more private agencies participate in the adoptive placement or completed adoption of an AAP-eligible child, each agency shall:
(A) Submit a claim for the agency's total costs for the placement or completed adoption; 
(B) Note that the placement or completed adoption was cooperative;
(C) Identify the cooperating agency.
(2) Participating agencies shall be reimbursed in accordance with the percentage each agency contributes to the total cost of the placement or completed adoption. Processing of cooperative placement claims shall commence upon receipt of all participating agencies' claims for placement or completed adoption.
(e) When siblings are placed together, the private agency shall submit a claim pursuant to Section 35073(a) for each child.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 16122, Welfare and Institutions Code.
HISTORY

1. New section filed 12-15-89; operative 1-14-90 (Register 89, No. 51). 
2. Change without regulatory effect amending subsections (c), (d) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Amendment filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35075. Reimbursement Ceiling.
Note     •     History

(a) Reimbursement to a private agency shall be limited to an amount not to exceed the sum of $3,500 for each completed adoption.
(b) Claims shall be limited to a private agency's actual costs per placement or completed adoption, less any funds promised or received from any source.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 16122(b), Welfare and Institutions Code.
HISTORY

1. New section filed 12-15-89; operative 1-14-90 (Register 89, No. 51). 
2. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Amendment filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35077. Records Retention and Time Limitations for Claiming.
Note     •     History

(a) Accounting records of private agency costs and hours shall be maintained pursuant to the requirements of DSS regulations Section 11-402.312.
(b) All accounting records of private agency costs and hours shall be retained pursuant to the requirements of DSS regulations Section 11-402.313.
(c) Time Limitations for Claiming:
(1) Claims shall be submitted pursuant to the requirements of Government Code Section 16304.1 and 45 CFR, Part 95, Subpart A.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 10853, Welfare and Institutions Code; Section 16304.1, Government Code; and 45 CFR, Part 95, Subpart A.
HISTORY

1. New section filed 12-15-89; operative 1-14-90 (Register 89, No. 51). 
2. Change without regulatory effect amending subsection (c) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Subchapter 4. Procedures for Independent Adoptions
Article 1. Agency Responsibility
§35079. Investigation of Petition.
Note     •     History

(a) (Reserved)
(b) In an independent adoption, the agency shall investigate the adoption after the petition has been filed and file a court report recommending whether to grant the petition to adopt in accordance with Family Code Sections 8539, 8801(b), 8806, 8807, and 8808.
(1) (Reserved)
(2) (Reserved)
(3) (Reserved)
(4) (Reserved)
(5) (Reserved)
(A) (Reserved)
(6) (Reserved)
(c) In the event that two separate agencies receive copies of petitions to adopt the same child, the agencies shall:
(1) Exchange information on the two petitions, and
(2) Determine which of the petitioners will best meet the needs of the child, and
(3) Report to the court.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 8621, Family Code. Reference: Sections 8539, 8801(b), 8806, 8807 and 8808, Family Code; and 25 USC 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a) filed 3-7-89; operative 4-6-89 (Register 89, No. 11).
3. Amendment of subsection (a) filed 12-28-89 as an emergency; operative 1-1-90 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-1-90.
4. Certificate of Compliance as to 12-28-89 order transmitted to OAL 4-27-90 and filed 5-25-90 (Register 90, No. 28). 
5. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
6. Amendment of subsection (b), new subsection designators (b)(1)-(6), and amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52).
7. Editorial correction of History 6 (Register 95, No. 13).
§35081. Assessment of Petitioners.
Note     •     History

(a) The agency shall assess the adoptive petitioners to determine their suitability as adoptive parents.
(1) The agency shall initiate the assessment immediately upon receipt of an endorsed copy of the adoption petition.
(2) The assessment shall be documented in the adoption case record.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 8621, Family Code. Reference: Sections 8806, 8807 and 8808, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsection (a), new subsection (a)(2) and amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
§35083. Assessment Interviews.
Note     •     History

(a) The agency shall conduct interviews as necessary to make the assessment.
(1) The agency shall conduct at least one interview in the home of the petitioners as soon as possible and no later than thirty days after the receipt of an endorsed copy of the adoption petition.
(2) The agency shall conduct separate interviews with each petitioner, if there is more than one petitioner.
(3) The agency shall conduct a joint interview with the petitioners, if there is more than one petitioner.
(4) The agency shall conduct interviews with all other adults and have contact with all children who live in the petitioner's home.
(5) The agency shall make another contact with the petitioners if the court report is submitted more than three months after the last contact with the petitioners.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code and Section 8621, Family Code. Reference: Sections 8806, 8807 and 8808, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52).
4. Editorial correction of History 3 (Register 95, No. 13).
§35085. Information to Petitioners.
Note     •     History

(a) (Reserved)
(b) The agency shall discuss the following information with the petitioners:
(1) Approximate time it may take to complete each stage of the adoption process.
(2) Statutory and regulatory requirements for adoption including confidentiality of adoption records.
(3) The provisions of Family Code Section 8803 and Penal Code Section 280 regarding the concealment of a child.
(A) (Reserved)
(B) (Reserved)
(4) The agency shall inform the petitioners of the law's requirement to file a report with the court on all expenditures paid by them or on their behalf in connection with the birth, placement, and adoption of  the child in accordance with Family Code Section 8610.
(A) (Reserved)
(5) The agency shall inform the petitioners of the provisions of Family Code Section 8818.
(A) (Reserved)
NOTE

Authority cited: Section 8621, Family Code; Sections 10553, 10554 and 10850(d), Welfare and Institutions Code; and Section 10439, Health and Safety Code. Reference: Sections 1798.24(r) and 1798.24(s), Civil Code; Sections 8610, 8803, 8818, 9204, 9205 and 9206, Family Code; and 25 USC 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of section and  Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
§35087. Documentation to Facilitate Assessment.
Note     •     History

(a) The agency shall obtain the following documentation for all petitioners to facilitate the assessment:
(1) Authorization for the release of medical and employment information on the petitioner.
(2) Authorization for release of financial information, if necessary.
(3) Report of medical examination on the petitioner
(A) The medical report shall be signed by a licensed physician or a nurse practitioner practicing under licensed physician.
(B) The medical examination required by this section shall have been conducted no earlier than six months prior to the filing of the petition.
(C) The agency shall waive the medical report when the petitioners are members of a religious sect, denomination, or organization which, in accordance with its creeds or tenets, relies on faith and prayer for healing.
(4) School report for all school age children residing in the home of the petitioner.
(5) For each adult residing in the home of the petitioner, a certificate that the individual is free from communicable tuberculosis.
(6) At least three letters of reference regarding the suitability of the petitioner as an adoptive parent.

(A) The agency shall be permitted to substitute face-to-face interviews with individuals providing references for letters of reference.
(1) Interviews with individuals providing references shall be documented in the adoption case record.
(7) The full state criminal record, if any, from the State Department of Justice (DOJ).
(A) (Reserved)
(B) The agency shall submit one set of fingerprints for each petitioner to the DOJ.
1. The agency shall clearly indicate “Adoption” on the request to inform the DOJ of the purpose of the criminal record clearance.
(C) The agency shall contract with the DOJ for the Subsequent Arrest Notification Service in order to receive arrest information subsequent to the original DOJ criminal record sent to the agency and pending the court order granting the completion of the adoption.
(D) The agency shall notify the DOJ (Pursuant to Penal Code Section 11105.2c) when the adoption has been finalized, denied, or dismissed to discontinue receiving subsequent arrest information on a subject previously fingerprinted for adoption purposes, unless the petitioner is being assessed or investigated by the agency for another adoption.
(E) The agency shall require new sets of fingerprints and shall make new requests for state criminal records to the DOJ in the event of subsequent adoptions unless the Subsequent Arrest Notification Service is still in effect.
(8) The FBI criminal record, if any, of the petitioner, from the DOJ when the petitioner has resided in California for less than two years or when information gathered in the assessment has given the agency reason to believe that the petitioner may have committed a crime in another jurisdiction.
(A) The agency shall have reason to believe that the person may have committed a crime in another jurisdiction because of any of the following: statements or actions by the petitioners; statements by people providing references: a history of arrests and convictions in California; and employment in another state.
(B) The agency shall submit one set of fingerprints for each petitioner requiring an FBI criminal record clearance to the DOJ.
(C) The agency shall require new sets of fingerprints and shall make new requests to the DOJ for the FBI criminal record in the event of subsequent adoptions.
NOTE

Authority cited: Section 8621, Family Code; Sections 10553 and 10554, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 8806, 8807, 8808 and 8811, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a) and new subsections (a)(7), (a)(7)(B)-(a)(7)(E), (a)(8) and (a)(8)(A)-(a)(8)(C) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Amendment of subsections (a)(2)-(a)(6) filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
4. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
5. Amendment of subsections (a)(1) and (a)(7)(B) and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
6. Editorial correction of History 5 (Register 95, No. 13).
§35089. Obtaining Identifying Information and Evaluating Petitioners During Assessment.
Note     •     History

(a) The assessment of the petitioner shall include:
(1) The following identifying information on the petitioner and any children and adults residing in the home:
(A) Name, date of birth and sex.
(B) Current address and telephone number.
(C) Blood relationship to child, if any.
(D) Race and ethnic background information.
(E) Religion.
(F) Current employment information.
(G) Verification of marital status, if relevant.
(1) Verification of termination of all prior marriages.
(i) When verification of the dissolution of any marriage of a petitioner is not possible, a marriage prior to a verified divorce decree shall be assumed to have been validly dissolved. A valid divorce presupposes that the marriage was valid.
(H) Personal and/or biological relationship of the petitioner to other individuals residing in the petitioners home.
(2) Evaluation of the following for the petitioner and any children and adults residing in the home:
(A) General characteristics.
1. (Reserved)
(B) Feelings and attitudes which may impact the adoption.
1. (Reserved)
(C) Social background.
1. (Reserved)
(D) Educational background.
(E) Financial stability.
(F) Work adjustment.
(G) Adequacy of housing.
1. (Reserved)
(3) Evaluation of:
(A) The full state criminal record, if any, of the petitioner and if required by Section 35087(a)(8) the FBI criminal record, if any.
1. (Reserved)
NOTE

Authority cited: Section 8621, Family Code; Sections 10553 and 10554, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 8806, 8807, 8808 and 8811(b), Family Code; and Section 11105.2, Penal Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsections (a)(1) and (a)(2) and new subsection (a)(3) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Amendment of subsection (a)(1) filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
4. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
5. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
6. Editorial correction of History 5 (Register 95, No. 13).
§35091. Completion of Assessment and Report to Court.
Note     •     History

(a) The agency shall complete the assessment and report to the court with a recommendation within 180 days of the filing of the adoption petition unless an extension of time has been granted by the court.
NOTE

Authority cited: Section 8621, Family Code; Sections 10553 and 10554, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 8807, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52).
4. Editorial correction of History 3 (Register 95, No. 13). 
§35092. Obtaining and Releasing Information About Birth Parents.
Note     •     History

(a) The agency shall obtain the birth mother's and the birth father's authorization for the release of medical information prior to fulfilling the requirements of Sections 35092(b)(7), (8) and (9).
(1) If any documentation or oral report indicates that the birth parent may be of Indian ancestry, the agency shall obtain that information required by Section 35357(a).
(2) Agencies shall use the AD 100 to obtain the birth parents' authorizations for the release of medical information pursuant to this section.
(A) The agency shall indicate on the AD 100, in the space provided, that the prospective adoptive parents and the agency are authorized to receive the information being sought.
(3) The AD shall advise the birth parent and the source to whom the authorization is to be sent of the following:
(A) All nonidentifying information obtained from the source will be given to the prospective adoptive parents prior to the finalization of adoption.
(B) All nonidentifying information obtained from the source will be given to the adoptive parents of an adoptee under age 18 and to the adult adoptee, upon written request, in post-adoption services.
(C) No identifying information about either the child or his or her birth parents shall be disclosed to the adopting parents or the adult adoptee unless permitted by law.
(5) If the agency receives a report or evaluation that is illegible or the photocopy is unclear, the agency shall return it to the source with a request for a clear, legible copy.
(b) The agency shall obtain the following information regarding the child's birth parents:
(1) Name and current address.
(2) Date of birth.
(3) Religion.
(4) Religious preference for the child, if applicable.
(5) Marital history of the birthmother including dissolutions of marriage.
(A) When verification of the dissolution of all marriages of the birth mother is not possible, the marriages preceding a verified divorce decree shall be assumed to have been validly dissolved.
(6) Race and ethnic background.
(7) Medical background, including illnesses, diseases, or defects of a hereditary or genetic nature, as required by Family Code Section 8706, 8817, or 8909, including, if available, the medical history of the birth parent's extended family.
(8) Reports on the birth mother from the prenatal physician and the physician who delivered the child, or from the hospital in which the child was born, if available. The reports shall include the following:
(A) Information about medications taken by the birth mother during pregnancy.
(B) Information about complications of pregnancy or delivery.
(9) Existing reports or evaluations on the birth parent from medical or mental health professionals and hospitals or institutions in which the birth parent has been an in-patient or out-patient.
The AD 67 and the AD 67A completed by the birth parents.
(c) The Agency shall document in the adoption case record and in the court report the reason(s) that the agency was unable to obtain any of the reports, documents, or information described in Section 35092(b).
(1) The agency shall indicate the name of any such report or documentation that was not obtained and the reason(s) that the information is not part of the child's medical report on the AD 512A.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608(a) and 8621, Family Code. Reference: Sections 7600 et seq., 8706, 8715, 8817, 8909 and 9202, Family Code; Section 10553(e), Welfare and Institutions Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. Renumbering and amendment of former section 35023 to new section 35092 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering and amendment of former section 35023 to new section 35092 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35093. Assessment of Child.
Note     •     History

(a) The agency shall assess the child. The assessment shall be in writing and include, but not be limited to, the following information about the child:
(1) Identification, including the child's sex, age, race, and ethnicity.
(2) A complete medical report as defined at Section 35000(m)(2).
(A) (Reserved)
1. (Reserved)
(B) (Reserved)
(C) The agency shall use the AD 512A when releasing information about the child's medical and family background to the prospective adoptive parents.
(D) All recommendations or comments made by the agency to the prospective adoptive parents about the child or his or her family background shall be written on the AD 512A and given to the prospective adoptive parents.
1. (Reserved)
(3) Religion.
(4) Readiness for adoption and willingness to be adopted if appropriate.
(5) Adjustment in the home of the petitioners
(6) Other examinations and reports when available.
NOTE

Authority cited: Section 8621, Family Code; Sections 10553 and 10554, Welfare and Institutions Code; Section 8608(a), Family Code. Reference: Sections 8806, 8807, and 8817, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of section and Note filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
4. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
5. Editorial correction of History 4 (Register 95, No. 13).
§35094. Written Report on Assessment of Child to Be Provided to Prospective Adoptive Parents.
Note     •     History

(a) Prior to finalization of the adoption, the agency shall give the prospective adoptive parents a written medical report in accordance with Family Code Section 8817(c) and the information gathered pursuant to Section 35093, “Assessment of the Child.”
(1) (Reserved)
(2) The agency shall use the AD 512A when releasing information about the child's medical and family background.
(A) The agency shall delete all identifying information prior to releasing the report.
(3) The agency shall disclose to the prospective adoptive parents all available medical and family background information about the child and his or her birth parents.
(A) The agency shall photocopy, except as provided in Sections 35094(a)(4)(C), (D) and (E), all available original source reports and evaluations obtained during the adoption investigation of the child and his or her birth parents' medical and family backgrounds.
1. The photocopies shall be attached to the AD 512A.
(B) The agency shall delete the names and addresses of all individuals, including the child and the source, contained in all reports or evaluations, prior to releasing photocopies.
(C) The agency shall not interpret or summarize medical terminology or any health condition indicated in the original source reports, except as noted in this section. Emphasis shall be placed on citing verbatim from any report or evaluation contained in the adoption record.
1. When the identity of other persons, such as former caretakers and other children in the foster home, would be revealed or when the information is not directly related to the child's current or future well-being, only summaries of original source reports shall be included on the AD 512A.
(i) (Reserved)
(D) If a birth parent has received psychiatric or psychological evaluations, the diagnosis of his or her condition shall be given verbatim.
1. The agency shall not release the original report of the evaluation.
(E) If a birth parent has received in-patient psychiatric treatment, information concerning his or her diagnosis, response to treatment and prognosis shall be given verbatim.
1. The agency shall not release the original report of the hospitalization.
(F) All reports that are photocopied and given to the prospective adoptive parents shall be attached and listed on the AD 512A.
(5) The agency shall advise the prospective adoptive parents that, upon receipt of the medical report, the prospective adoptive parents should consult their physician or mental health professional for further evaluation or interpretation, particularly if the report contains material sensitive in subject matter.
(6) The agency shall document in the adoption case record and court report the name of any report, document, or information described in Section 35000(m)(2) that the agency was unable to obtain and the reason(s) that the information was not available.
(7) The agency shall identify on the AD 512A the name of any report, document, or information described in Section 35000(m)(2) that was not obtained and the reason(s) that the information is not included.
(8) The agency shall obtain the prospective adoptive parents' signatures in the space provided on the AD 512A acknowledging receipt.
(A) The agency shall make a copy of the completed AD 512A with the prospective adoptive parents' signatures for the adoption case record.
(b) Prior to the finalization of the adoption, the agency shall transmit to the prospective adoptive parents any medical and family background information about the child and his or her birth parents received after the release of the medical report pursuant to Section 35094(a).
(1) The agency shall transmit the information upon its receipt to the prospective adoptive parents.
(A) The agency shall delete the  names and addresses of all individuals, including the child and the source, prior to releasing the information.
(B) The agency shall strive for full disclosure of all medical and family background information about the child and his or her birth parents.
(C) The agency shall not interpret or summarize medical terminology or any health conditions indicated. Emphasis shall be placed on citing verbatim from any reports and evaluations received.
(D) The agency shall advise the prospective adoptive parents that, upon receipt of the information, the prospective adoptive parents should consult their physician or mental health professional for further evaluation or interpretation, particularly if the information contains material sensitive in subject matter.
1. The agency shall document in the adoption case record a description of the manner in which the information was released and the date on which the information was released.
2. The agency shall retain a copy of the information in the adoption case record.
NOTE

Authority cited: Section 8621, Family Code; Sections 10553 and 10554, Welfare and Institutions Code; and Section 8608(a), Family Code. Reference: Section 8817(c), Family Code.
HISTORY

1. New section filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
2. Amendment of subsection (a), new subsection designator (a)(1), subsection renumbering, new subsection designator (a)(3)(C)1.i. and amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
3. Editorial correction of History 2 (Register 95, No. 13).
Article 2. Placement for Independent Adoption
§35094.1. Adoption Service Provider Registration and Duty of Care.
Note     •     History

(a) Prior to acting as an adoption service provider in California, the potentially qualified individual shall register with the Adoptions Branch of the department at Sacramento by providing the following evidence that he or she meets the qualifications specified in Family Code Section 8502. The registration shall be acknowledged by the department.
(1) The individual shall provide, or cause to be provided, to the department at:

	California Department of Social Services
	Adoptions Branch
	744 P Street, M.S. 19-67
	Sacramento, California 95814
(A) A copy of the individual's current license as a Licensed Clinical Social Worker.
(B) An original letter or letters mailed to the department by the adoption agency or agencies with whom the individual worked attesting to the individual's experience and giving specific dates of employment.
(2) Verification or clarification of the information provided by the individual shall be obtained by the department, if necessary, from the Board of Behavioral Sciences Examiners and/or the employer(s).
(3) No individual shall be registered unless he or she possesses the required license and experience.
(A) If an individual has been registered and the department subsequently determines that he or she in fact lacks the required license and/or experience, registration of the individual shall be terminated.
1. Prior to terminating the registration of an individual adoption service provider, the department shall mail the adoption service provider a written notice of termination and the reason(s) for the termination.
(B) The department shall not terminate the registration if, within fifteen working days after the department mails the notice, the adoption service provider mails a written response providing additional information verifying that the license and/or experience meets the requirements in Section 35094.1(a).
(C) If the additional information provided by the adoption service provider does not meet the license and/or experience requirements in Section 35094.1(a), the department shall terminate the registration.
(4) A complaint with the Board of Behavioral Science Examiners shall be filed by the department or delegated county adoption agency when the actions of an individual adoption service provider are not in compliance with the department's regulations.
(b) The adoption service provider shall comply with Family Code Section 8801.7, which provides that the adoption service provider owes a very high duty of care to the birth parent being advised.
(1) (Reserved)
(c) (Reserved)
NOTE

Authority cited: Section 8621, Family Code; Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 8502 and 8801.7, Family Code.
HISTORY

1. Renumbering of former Article 2 to Article 3 and new Article 2 (sections 35094.1-95094.3) and section filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
2. New subsections (a)(3)(A)-(C) filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). A Certificate of Compliance must be transmitted to OAL 5-1-95 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 1 (Register 95, No. 13).
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-1-95 and filed 6-8-95 (Register 95, No. 23).
§35094.2. Pre-Placement Advisement.
Note     •     History

(a) The adoption service provider shall advise a birth parent, as required by Family Code Section 8801.5, when the birth parent is considering the placement of his or her child for independent adoption unless the prospective adoptive parent is a grandparent, aunt, uncle, sibling, legal guardian who has been the child's legal guardian for more than three years or is a person named in the will of a deceased parent as an intended adoptive parent where the child has no other parent.
(1) (Reserved)
(b) Prior to advising a birth parent who is considering the placement of his or her child for independent adoption, the adoption service provider shall obtain background information regarding the prospective adoptive parents.
(1) This background information shall include at least the personal knowledge, as defined in Section 35000(p)(5), that the birth parent must have prior to placing a child for adoption.
(c) When advising a birth parent who is considering the placement of his or her child for adoption, the adoption service provider shall inform the birth parent of:
(1) His or her right to separate, independent legal counsel paid for by the prospective adoptive parents upon the request of the birth parent.
(2) Alternatives to adoptive placement of the child including, but not limited to:
(A) Services which would assist the birth parent in caring for the child including:
1. Financial resources such as child support and Aid to Families with Dependent Children (AFDC).
2. Employment resources such as vocational training and Employment Development Department services.
3. Educational resources such as continuation school and General Equivalency Diploma programs.
4. Child care resources, including the availability of subsidized day care.
5. Housing resources such as shared housing with relatives or nonrelatives and government subsidized housing.
6. Health service resources such as well baby clinics, Child Health and Disability Prevention Programs (CHDP), California Children's Services, and Medi-Cal.
(B) Services, such as voluntary foster care placement or temporary placement with extended family members, which would give the parent more time to determine the most appropriate plan for the child.
(3) Alternative forms of adoption, including a description of the full procedures and timeframes involved in each type, which at a minimum shall address the following:
(A) Standard agency (relinquishment) adoption
1. The birth parent transfers his or her rights and responsibilities for the child to an adoption agency by signing a relinquishment of the child to the agency.
(i) The birth parent's legal rights and responsibilities for the child end when the relinquishment is filed with the department.
(ii) The relinquishment is filed on a date agreed to by the birth parent and the agency.
a. (Reserved)
(iii) The birth parent may revoke the relinquishment before it is filed with the department.
(iv) The birth parent may not rescind the relinquishment after it is filed with the department unless the adoption agency agrees.
2. The prospective adoptive parents must be assessed and approved by the adoption agency before the child is placed for adoption with the family.
3. The adoption agency, not the birth parent, selects the adoptive parents, and the birth parent usually does not know the identity of the adoptive parents.
(B) Designated agency (relinquishment) adoption
1. These adoptions are the same as standard agency adoptions except that:
(i) The birth parent participates in the selection of the adoptive parents,
(ii) The birth parent knows the identity of the adopting parents, and
(iii) The birth parent also has a right to rescind his or her relinquishment and thus regain his or her parental rights and responsibilities if the child is not placed with the selected family or if the placement disrupts prior to completion of the adoption.
(C) Independent adoption by relatives
1. The birth parent agrees to the prospective adopting parents' future adoption of the child by signing a consent to the adoption.
(i) The birth parent continues to be legally responsible for the child until the adoption is completed.
a. (Reserved)
(ii) The consent to the adoption becomes irrevocable 90 days after it is signed unless the birth parent waives the right to revoke the consent before the 90 days expires.
(iii) The birth parent may revoke the consent and, if he or she has legal custody, reclaim the child at any time before the consent becomes irrevocable.
a. When the consent becomes irrevocable, custody of the child may be regained by the birth parent only if the potential adoptive parents agree to withdraw their petition for adoption or the court denies the petition for adoption.
(iv) The consent does not require the prospective adoptive parents to complete the adoption.
2. The prospective adoptive parents are assessed as to their suitability to adopt after the child has begun living with them and they have filed a petition to adopt with the court.
3. The birth parent selects the adoptive parents.
4. The child begins living with the prospective adoptive parents before parental rights have been terminated.
(D) Independent adoption by nonrelatives.
1. Each placing birth parent agrees to the prospective adopting parents' future adoption of the child by signing a placement agreement, and any non-placing birth parents agree to the future adoption by signing a consent.
(i) The birth parent continues to be legally responsible for the child until the adoption is completed.
a. (Reserved)
(ii) A placement agreement becomes an irrevocable consent to the adoption 90 days after it is signed unless the birth parent shortens this period by waiving the right to revoke the consent before the 90 days expires.
(iii) A consent becomes irrevocable 90 days after it is signed unless the birth parent shortens this period by waiving the right to revoke the consent before the 90 days expire.
a. When the placement agreement or consent becomes and irrevocable consent, custody of the child may be regained by the birth parent only if the potential adoptive parents agree to withdraw their petition for adoption or the court denies the petition for adoption.
(iv) The birth parent may revoke the placement agreement or consent and, if he or she has legal custody, reclaim the child at any time before the placement agreement or consent becomes an irrevocable consent.
(v) The placement agreement or consent does not require the prospective adoptive parents to complete the adoption.
2. The prospective adoptive parents are assessed as to their suitability to adopt after the child has begun living with them and they have filed a petition to adopt with the court.
3. The birth parent selects the adoptive parents.
4. The child usually begins living with the prospective adoptive parents when a parent with legal custody has signed an adoptive placement agreement.
(4) The right to a minimum of three separate counseling sessions, as required by Family Code Section 8801.5.
(A) (Reserved)
(5) Other rights and responsibilities of the birth parent as outlined on the AD 926 or, if the child is subject to the Indian Child Welfare Act, the AD 927.
(A) (Reserved)
(B) The adoption service provider shall review each item on the Statement of Understanding with the birth parent to be certain that the birth parent understands the meaning of each item.
(C) The adoption service provider shall answer any questions the birth parent has about the meaning of the items.
(6) If all possible birth parents are not placing the child for adoption, the necessity of legally terminating the parental rights or securing the consent of all other possible parents before the adoption can be completed.
(A) The adoption services provider shall emphasize the importance of and explain the possible repercussions of not accurately identifying other possible birth parents including:
1. The fact that the mother or presumed father who was not informed of the adoptive placement may take custody of the child after the child has been placed for adoption and that this is very traumatic for the child and the prospective adoptive parents.
2. The fact that if parents are not identified, it is not possible to obtain information about their medical history and other background information and the child and his or her adoptive parents will be deprived of crucial information which may be relevant to future decisions regarding the child's health and well-being.
(B) The adoption service provider shall make a diligent attempt to secure from the placing parent information necessary to allow accurate identification of the other parent.
1. The AD 880 shall be used to collect this information from birth mothers.
(7) The fact that the proposed independent adoption will be investigated by the department or delegated county adoption agency and that the birth parent will be interviewed during the investigation.
(A) The adoption service provider shall provide the birth parent with the name, address and telephone number of the department or delegated county adoption agency office that will investigate the proposed adoption.
(d) The adoption service provider shall give the birth parent the following documents at the initial session:
(1) Documents provided for the birth parent's review:
(A) The relevant Statement of Understanding with the personal knowledge section completed.
(B) The relevant Independent Adoption Placement Agreement.
(C) The AD 908.
(2) Documents which the birth mother shall be given with the request that she complete them, possibly with the assistance of family members, prior to signing the Independent Adoption Placement Agreement:
(A) The AD 67.
(B) If the birth father has not been advised, the AD 67A with the request that the birth mother provide as much information as possible.
(C) The AD 880.
(3) Documents which the birth father shall be given with the request that he complete them, possibly with the assistance of family members, prior to signing the Independent Adoption Placement Agreement:
(A) The AD 67A.
(B) If the birth mother has not been advised, the AD 67 with the request that the birth father provide as much information as possible.
NOTE

Authority cited: Section 8621, Family Code; Sections 10553 and 16118, Welfare and Institutions Code. Reference: Sections 7663, 8502, 8801.3, 8801.5, 8801.7, 8802, 8817 and 8818, Family Code.
HISTORY

1. New section filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
2. Editorial correction of History 1 (Register 95, No. 13).
§35094.3. Independent Adoption Placement Agreement.
Note     •     History

(a) Prior to signing the AD 924 or the AD 925, the adoption service provider shall:
(1) Obtain, document, and share with the prospective adoptive parents information from the birth parent(s) regarding the child's background, the birth parents' reasons for choosing adoption for the child, and the birth parents' attitude toward the proposed adoptive placement.
(A) Assist the birth parent in providing medical and family background information by helping him or her complete the AD 67 and the AD 67A forms.
(B) Assure that the adopting parents have received copies of the AD 67 and AD 67A forms completed by the birth parent(s).
(2) Determine whether the child is an Indian child prior to witnessing the signing of a placement agreement if any documentation or oral report indicates that either birth parent may be of Indian ancestry.
(A) The adoption service provider shall ask the birth parent whether the birth parent or the child's other parent is of Indian ancestry.
(B) (Reserved)
(C) (Reserved)
(3) Ask the birth mother to identify the child's father or possible fathers.
(A) As part of his inquiry, the adoption service provider shall assist the birth mother in completing the AD 880.
(4) Determine that the birth parent has the ability to understand the nature, content, and effect of signing an adoptive placement agreement.
(A) If the adoption service provider's observation or knowledge of the parent's history or current condition indicates that the parent may not have the ability to understand the content, nature, and effect of signing the adoption placement agreement, the adoption service provider shall ask the potential adoptive parents to arrange for an evaluation by a licensed physician or a licensed clinical psychologist of the parent's ability to understand the nature, content, and effect of signing an adoptive placement agreement.
1. This evaluation shall not be required if the inability is temporary resulting from factors such as stress, lack of sleep, or the use of alcohol or other mind-altering substances. However, the adoption service provider shall not sign the adoption placement agreement until the birth parent is able to understand the content, nature, and effect of the agreement.
2. The need for an evaluation is indicated under, but not limited to, the following circumstances:
(i) The birth parent is receiving SSI/SSP based on mental illness or developmental disability.
(ii) The birth parent has received psychiatric treatment and/or medication for mental illness or disease within the past two years.
a. Counseling related to placement of the child for adoption, the resolution of marital problems or similar decision-making shall not be considered psychiatric treatment for mental illness or disease.
3. The adoption service provider shall obtain a written authorization from the parent for release of the evaluation by the physician or clinical psychologist to the adoption service provider and the department or delegated county adoption agency.
4. The adoption service provider shall sign the placement agreement:
(i) Only if the evaluation establishes that the birth parent has the ability to understand the nature, content, and effect of signing a consent to adoption;
(ii) No later than 30 days after the evaluation is completed; and
(iii) In the case of a birth parent for whom the court has appointed a conservator, only if the order of conservatorship specifically allows the birth parent to consent to the adoption of his or her child.
(5) Obtain written authorization from the birth parent for the following releases of information concerning the parent and the child:
(A) From the adoption service provider to the department or delegated county adoption agency.
(B) From the department or delegated county adoption agency to the prospective adoptive parents.
(C) From the child's physician(s) to the department or delegated county adoption agency if the child is not being placed at birth.
(6) Obtain written authorization from the birth mother for the following releases of information concerning the mother and the child:
(A) From the birth mother's physician(s) to the department or delegated county adoption agency.
(B) From the hospital where the birth mother delivered the child, or intends to deliver the child, to the department or delegated county adoption agency.
(7) Determine that the birth parent is voluntarily choosing to place the child with the prospective adoptive parents for the purpose of adoption pursuant to Family Code Section 8801.
(A) (Reserved)
(B) The adoption service provider shall sign the adoption placement agreement only after he or she determines that the birth parent has substantially correct knowledge of all of the elements of personal knowledge regarding the prospective adoptive parents.
(8) Present a copy of the AD 908 to the birth parent and give him or her an opportunity to complete and sign the statement.
(9) Obtain the birth parent's signature on the Statement of Understanding form after the birth parent has affirmed his or her understanding of the placement and consent process by reading and initialing each explanatory statement on the Statement of Understanding form in the presence of the adoption service provider.
(A) The Statement of Understanding shall be signed on the same day, but prior to the signing of the adoption placement agreement.
(10) Sign the Statement of Understanding form certifying that the birth parent's signature has been properly witnessed.
(11) Obtain written verification of the provision of the advisement from the advising adoption service provider, if the adoption service provider signing the adoption placement agreement is not the adoption service provider that provided the advisement.
(b) After the conditions specified in Section 35094.2(a) have been met, the adoption service provider shall arrange for the signing of the adoption placement agreement as provided in Family Code Section 8801.3.
(1) (Reserved)
(2) If the child is an Indian child, the placement agreement must be signed in accordance with Section 35375.
(c) After the Independent Adoption Placement Agreement has been signed by the birth parents, the adoptive parents, and the adoption service provider, the adoption service provider shall:
(1) Give the birth parent copies of the following signed documents:
(A) The Independent Adoption Placement Agreement.
(B) The Statement of Understanding.
(C) The Adoptions Information Act Statement.
(D) If requested, any other documents which the birth parent has signed.
(2) Give the potential adoptive parents a copy of the signed Independent Adoption Placement Agreement.
(3) Offer to interview the birth parent as provided in Family Code Section 8801.7
(A) (Reserved)
(4) If a birth parent who has placed a child decides to revoke consent, offer and, if requested, do the following to assist the birth parent in obtaining the return of the child:
(A) Assist the birth parent in completing the written statement revoking the placement agreement and delivering that statement to the department or delegated county adoption agency.
1. A specific form shall not be required, but the AD 928 may be used for this purpose.
(B) Contact the prospective adoptive parents to inform them of the placing parent's decision and to arrange the time and place of the return of the child.
(C) Accompany the birth parent when the parent takes custody of the child.
(5) Send the department or delegated county adoption agency:
(A) A completed AD 930.
(B) Original signed copies of all documents signed by the birth parent including, but not limited to:
1. The AD 924 or the AD 925.
2. The AD 926 or the AD 927.
3. The AD 908.
4. The AD 67.
5. The AD 67A.
6. The AD 880.
7. The AD 100.
(C) The information specified in Section 35094.2(b).
(D) Reports of any examinations of the birth parent's competency to sign an adoption placement agreement.
(E) Any documents related to the determination of the child's status as an Indian child under the Indian Child Welfare Act.
(F) A summary of contacts with the birth parent, including the information obtained pursuant to Section 35094.3(a)(1) and any other information which the adoption service provider believes will assist the department or delegated county adoption agency in its investigation of the proposed adoption.
(G) Any request to revoke the adoption placement agreement.
NOTE

Authority cited: Section 8621, Family Code; Sections 10553 and 10554, Welfare and Institutions Code. Reference: Section 4992.3, Business and Professions Code; Sections 56.11, 1798.24, Civil Code; Sections 7663, 8801, 8801.3, 8801.5, 8801.7, 8813, 8814.5, 8815, 8817 and 8818, Family Code; 25 USC 1901 et seq.
HISTORY

1. New section filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
2. Editorial correction of History 1 (Register 95, No. 13).
Article 3. Prerequisites to Consent
§35095. General Prerequisites to Consent.
Note     •     History

(a) The agency shall interview the birth parent as required by Family Code Section 8808.
(1) (Reserved)
(b) Prior to accepting a consent to adoption or a waiver of right to revoke consent, the agency shall:
(1) Obtain information from the birth parent regarding the child's background, the birth parents' reasons for choosing adoption for the child, and the birth parents' attitude toward the adoption.
(A) Request the birth parents to provide medical and family background information on the AD 67 and the AD 67A.
(B) Take the consent to adoption in accordance with Section 35375 if the child who is the subject of the consent to adoption comes within the provisions of the ICWA.
(C) Document in the adoption case record and court report the name of any report, document, or information described in Section 35000(m)(2) that the agency was unable to obtain and the reasons that the information is not included.
1. The agency shall identify on the AD 512A the name of any report, document, or information described in Section 35000(m)(2) that was not obtained and the reason(s) that the information is not included.
(2) Obtain written authorization from the birth parent for the release of medical information
(3) Obtain written authorization from the birth parent for the petitioners to obtain medical care and/or treatment for the child
(4) Verify the marriages and dissolutions of marriage of the birth mother as required by section 35023(b)(5).
(5) Interview the petitioners unless:
(A) The birth parent has requested that he or she be interviewed within 10 working days as provided in Family Code Section 8814.5; and
(B) The agency's schedule precludes interviewing the petitioners prior to the interview with the birth parent.
1. (Reserved)
(6) Determine that the birth parent voluntarily chose to place the child with the petitioners for the purpose of adoption pursuant to Family Code Section 8801.
(A) The agency shall document in the court report whether the birth parent voluntarily selected the petitioners and placed the child pursuant to Family Code section 8801 which is located at Section 35094.3(a)(7)(A).
(B) If the agency determines that the birth parent has not demonstrated substantially correct knowledge of all elements of personal knowledge regarding the petitioners, a consent to the adoption cannot be taken since an independent adoptive placement as defined in law has not occurred.
(C) The agency representative shall advise the birth parent when the placement does not satisfy the statutory definition of an “adoptive placement.”
(D) The agency shall immediately report to the court if the adoptive placement is not made in accordance with Family Code Sections 8609, 8801 or 8801.3.
1. (Reserved)
2. (Reserved)
3. (Reserved)
(7) Determine whether the child and the adoptive family can benefit from adoption.
(8) Provide the parent with an explanation of information contained within the Statement of Understanding form prescribed by the Department.
(9) Obtain the birth parent's signature on the Statement of Understanding form after the parent has:
(A) Affirmed his or her understanding of the consent process by reading and initialing each explanatory statement on the Statement of Understanding form.
(10) Sign the Statement of Understanding form certifying that the parent's signature has been properly witnessed.
(11) The Statement of Understanding for the parent whose child is not subject to the Indian Child Welfare Act (ICWA) is section 35095.1 and the Statement of Understanding for the parent whose child is subject to the ICWA is Section 35095.2.
(c) The agency is not required to repeat any of the duties mandated by Section 35095(b)(1), (2), (3), (8), (9), (10), or (11) if the duties have been performed by an adoption service provider and the agency has received documentation of the outcome of the adoption service provider's work.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Sections 8608(a) and 8621, Family Code. Reference: Sections 8608, 8609, 8801, 8801.3, 8801.7, 8806, 8807, 8808, 8814, 8814.5 and 8817, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a)(6) filed 3-7-89; operative 4-6-89 (Register 89, No. 11).
3. Amendment of subsection (a)(5) filed 12-28-89 as an emergency; operative 1-1-90 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-1-90.
4. New subsections (a)(8)-(a)(11) filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
5. Certificate of Compliance as to 12-28-89 order transmitted to OAL 4-27-90 and filed 5-25-90 (Register 90, No. 28). 
6. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
7. Amendment of subsection (a)(1), repealer and new subsection (a)(1)(A), new subsections (a)(1)(B)-(a)(1)(C)1., and amendment of Note filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
8. Renumbering of former Article 2 to Article 3 and amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
9. Editorial correction of History 8 (Register 95, No. 13).
§35095.1. Statement of Understanding for the Parent Whose Child Is Not Subject to the ICWA.
Note     •     History

(a) (Reserved)
(b) The Statement of Understanding shall contain statements which summarize the following:
(1) For the parent who gave physical custody of the child to the adoptive parents but who did not place the child for independent adoption:
(A) The parent wants to give his child permanently to the petitioners for adoption.
(B) The parent has chosen the petitioners to be adoptive parents based on the parent's personal knowledge pursuant to Family Code Section 8801.
1. (Reserved)
(C) The parent has the right to seek legal counsel to assist in the Independent Adoption process, and the petitioners may be required to pay the cost, up to $500, of such legal counsel, unless a higher fee is agreed to by the parties.
(D) The parent may talk about the plan to place the child for adoption with other professionals and with family and friends.
(E) The parent knows there are other services to assist with finance, employment, education, housing, temporary child care and health matters if uncertain about consenting to the adoption.
1. The agency will make a referral to the appropriate resource.
(F) If the parent does not wish to consent to the adoption, the parent may sign a AD 20 or write a letter to the adoption agency and the adoption agency will report to the court that the parent does not want the child adopted by the petitioners.
(G) If the parent does not sign the consent to adoption, the parent may request that the child be returned. If the petitioners do not return the child, the parent may ask the court for the return of the child. The parent will probably need legal help to do so.
(H) The consent will automatically become an irrevocable consent to adoption on the 91st day after it is signed or when the parent signs a waiver of the right to revoke consent, whichever occurs first.
1. If the parent changes his or her mind after signing the consent to adoption and wishes to revoke the consent to adoption, the parent must sign and deliver to the department or delegated county adoption agency a written statement revoking the consent and requesting that the child be returned. Such action may not be taken after the 90th day after signing the consent or after signing a waiver of the right to revoke consent, whichever occurs first.
2. When the consent becomes irrevocable, custody of the child may be regained by the birth parent only if the prospective adoptive parents agree to withdraw their petition for adoption or the court denies the petition.
(I) The parent remains legally responsible for the child until the adoption is granted by the court. The agency will notify the parent if the child is not adopted by the petitioners to determine the parent's further plans for the child. The parent must keep the agency informed of his or her address.
(J) The parent has received enough information about the petitioners and about the child's adjustment in the petitioners' family and wishes to proceed with signing the consent to adoption.
(K) After the court grants the adoption, the parent will not longer be the child's legal parent, which means:
1. The parent will no longer be responsible for the care of the child.
2. The petitioners will be the legal parents of the child and will be legally responsible for caring for the child.
3. The parent will no longer have any right to the custody, services or earnings of the child.
(L) The agency is required to give the parent all known information about the status of the child's adoption including the approximate date the adoption was completed and if the adoption was not completed or was vacated, for any reason, whether adoptive placement of the child is again being considered.
(M) Adoption terminates any inheritance from the parents or blood relatives to the child unless they make specific provision for the child by will or by trust; the child legally inherits from his or her adoptive family.
(N) After the child has been legally adopted, the parent cannot reclaim the child.
(O) The agency cannot release any identifying information about the parent unless:
1. The welfare of the child requires the release of information to certain agencies as specified in law relating to the adoption petition, or
2. The adult adoptee and birth parent both sign written consents to arrange contact between these persons in accordance with Family Code Section 9204, or
(i) (Reserved)
3. The adoptee who has reached the age of 21 has requested the identity of his or her birth parent and his or her most current address as indicated in the agency's records if the birth parent has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
4. The birth parent of an adopted person who has reached the age of 21 has requested the adopted name of the adoptee and most current address as shown in the agency's records if the adult adoptee has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
5. The adoptive parent of an adopted person under 21 years of age has requested the identity of the birth parent and his or her most current address as shown in the agency's records if there is a finding by the agency a necessity or other extraordinary circumstance justifies the disclosure in accordance with Family Code Section 9203.
(i) (Reserved)
(P) The parent will be able, at any time, to add information about him or herself to the agency's adoption record.
(Q) The law permits the court to release identifying information from the court adoption file after considering the reasons for the request.
(R) Within five years of the granting of the adoption in court the parent shall have the right to petition the court to set aside the adoption of the consent is obtained through fraud or duress.
(S) The parent has considered the reasons for consenting to or not consenting to the adoption of the child and has decided that to consent to adoption of the child by the petitioners is in the best interest of the child.
(T) The Statement of Understanding for the parent who gave physical custody of the child not subject to the provisions of the ICWA but who did not place the child for adoption as provided by Sections 35094.2 and 35094.3 is the AD 887.
(2) For the parent who intends to place the child for independent adoption as provided by Sections 35094.2 and 35094.3:
(A) The parent wants to give his or her child permanently to the prospective adoptive parents for adoption.
(B) The parent has chosen the prospective adoptive parents to be adoptive parents based on the parent's personal knowledge pursuant to Family Code Section 8801.
1. (Reserved)
(C) The parent has the right to seek legal counsel to assist in the Independent Adoption process, and the prospective adoptive parents may be required to pay the cost, up to $500, of such legal counsel, unless a higher fee is agreed to by the parties.
(D) The parent may talk about the plan to place the child for adoption with other professionals and with family and friends.
(E) The parent knows there are other services to assist with finance, employment, education, housing, temporary child care and health matters if uncertain about consenting to the adoption.
1. The adoptive service provider will make a referral to the appropriate resource.
(F) The parent has a right to a minimum of three separate counseling sessions with an adoption service provider or a licensed psychotherapist which, at the birth parent's request, shall be paid for by the prospective adoptive parent.
(G) If the parent does not wish to place the child for adoption, the parent should not sign the Independent Adoption Placement Agreement.
(H) The agreement will automatically become an irrevocable consent to adoption on the 91st day after it is signed or when the parent signs a waiver of the right to revoke consent, whichever occurs first.
1. If the parent changes his or her mind after signing the adoption placement agreement and wishes to revoke the agreement, the parent must sign and deliver to the department or delegated county adoption agency a written statement revoking the agreement and requesting that the child be returned. Such action may not be taken after the 90th day after signing the agreement or after signing a waiver of the right to revoke consent, whichever occurs first.
2. When the consent becomes irrevocable, custody of the child may be regained by the birth parent only if the prospective adoptive parents agree to withdraw their petition for adoption or the court denies the petition.
(I) The parent remains legally responsible for the child until the adoption is granted by the court. The agency will notify the parent if the child is not adopted by the prospective adoptive parents to determine the parent's further plans for the child. The parent must keep the agency informed of his or her address.
(J) The parent has received enough information about the prospective adoptive parents and wishes to proceed with signing the adoption placement agreement.
(K) The statements required by subsections 35095.1(b)(1)(K) through (R).
(L) The parent has considered the reasons for placing or not placing the child for adoption and has decided that to place the child for adoption with the prospective adoptive parents is in the best interest of the child.
(M) The Statement of Understanding for the parent who placed the child for adoption as provided by Sections 35094.2 and 35094.3 is the AD 926.
(3) For the parent who did not give physical custody of the child to the adopting parents:
(A) The parent has carefully considered the reasons for consenting to the adoption of the child by the petitioners.
(B) The statements required by subsections 35095.1(b)(1)(c), (D), (E) and (F).
(C) If the parent does not sign the consent to adoption the parent may request the right to physical custody of the child in court. The parent probably will need an attorney to help him or her do this.
(D) The statements required by subsections 35095.1(b)(1)(H), (I), (J), (K), (L), (M), (N), (O), (P), (Q), (R) and (S).
(E) The Statement of Understanding for the legal parent who did not give physical custody of the child not subject to the provisions of the ICWA is the AD 887A.
(4) For the alleged natural father:
(A) He has carefully considered the reasons for consenting to the adoption of the child by the petitioners.
(B) He has been told why he is considered to be the alleged natural father of the child and he can deny paternity, waive his rights to further notice of the adoption proceedings, sign a consent to adoption or file a petition to establish the father and child relationship.
(C) The statements required by subsections 35095.1(b)(1)(C) and (D).
(D) He can take court action to establish the father and child relationship and request the right to physical custody of the child.
1. He has the right to seek legal counsel to assist in establishing the father and child relationship and in obtaining the right to physical custody of the child and the adoption agency can refer him to public legal assistance in the community.
(E) He understands that if he does not sign the Statement of Understanding and consent to adoption, the petitioners can petition the court to terminate his parental rights.
1. He has the right to look for a lawyer to help him argue against this; and
2. The adoption agency can refer him to public legal help in his community.
(F) If he is successful in establishing the father and child relationship and obtaining the right to physical custody of the child, he may obtain other services to assist with finance, employment, education, housing, temporary child care and health matters.
1. The agency will make a referral to the appropriate resource.
(G) The statements required by subsections 35095.1(b)(1)(H), (I), (J), (K), (L), (M), (N), (O), (P), (Q), (R) and (S).
(H) The Statement of Understanding for alleged natural father of a child not subject to the provisions of the ICWA is the AD 887B.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8621 and 9202, Family Code. Reference: Sections 1798.24(r) and 1798.24(s), Civil Code; Sections 6408 and 6408.5, Probate Code; and Sections 3010, 7540, 7541, 7601, 7602, 7610, 7611, 7612, 7630, 7631, 7632, 7633, 7634, 7660, 7661, 7662, 7663, 7664, 7665, 8600, 8601, 8604, 8605, 8606, 8608, 8616, 8617, 8618, 8800, 8801, 8801.3, 8801.5, 8804, 8808, 8813, 8814, 8814.5, 8815, 8817, 8818, 9100, 9200, 9201, 9202, 9203, 9204, 9205 and 9206, Family Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsections (b)(1)(O)2, (b)(1)(T), (b)(2)(E) and (b)(3)(H) filed 9-8-93; operative 10-7-93 (Register 93, No. 37).
4. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
5. Editorial correction of History 4 (Register 95, No. 13).
§35095.2. Statement of Understanding for the Parent Whose Child is Subject to the ICWA.
Note     •     History

(a) (Reserved)
(b) The statement of Understanding shall contain statements which summarize the following:
(1) For the parent who gave physical custody of the Indian child to the adoptive parents but who did not place the child for independent adoption:
(A) The parent wants to give his child permanently to the petitioners for adoption.
(B) The parent has chosen the petitioners to be adoptive parents based on the parent's personal knowledge pursuant to Family Code Section 8801.
1. (Reserved)
(C) That because the child has been determined to be an Indian child the requirements of the Indian Child Welfare Act (ICWA) will apply to the taking of the consent and the adoption of the child.
(D) According to the ICWA the best place for the child to live if he cannot be with the parent would be with a member of his extended family. The next choice would be other members of the child's tribe. The third choice would be with another Indian family. If the parent does not wish to follow any of these placement choices, he or she must tell the court. The court must make the final decision as to whether this placement order will be changed.
(E) The consent to adoption shall be signed before a judge of the Superior Court in California, or before a court of competent jurisdiction if signed outside the state.
(F) The parent has the right to seek legal counsel to assist in the Independent Adoption process and, the petitioners may be required to pay the cost, up to $500, of such legal counsel, unless a higher fee is agreed to by the parties.
(G) The parent may talk about the plan to place the child with other professionals and with family and friends.
(H) The parent knows there are other services to assist with finance, employment, education, housing, temporary child care and health matters if uncertain about consenting to the adoption.
1. The agency will make a referral to the appropriate resource.
(I) If the parent does not wish to consent to the adoption, the parent may sign a AD 20 or write a letter to the adoption agency, and the adoption agency will report to the court that the parent does not want the child adopted by the petitioners.
(J) If the parent does not sign the consent to adoption, the parent may request that the child be returned. If the petitioners do not return the child, the parent may ask the court for the return of the child. The parent will probably need legal help to do so.
(K) If the parent should change his or her mind about the adoption after signing the consent to adoption, the parent may withdraw the consent before the adoption is granted by the court and the child will be returned to the parent.
(L) The parent remains legally responsible for the child until the adoption is granted by the court. The agency will notify the parent if the child is not adopted by the petitioners to determine the parent's further plans for the child. The parent must keep the agency informed of his or her address.
(M) The parent has received enough information about the petitioners and about the child's adjustment in the petitioners' family and wishes to proceed with signing the consent to adoption.
(N) After the court grants the adoption the parent will no longer be the child's legal parent, which means:
1. The parent will no longer be responsible for the care of the child.
2. The petitioners will be the legal parents and will be legally responsible for caring for the child.
3. The parent will no longer have any right to the custody, services, or earnings of the child.
(O) The parent will be notified if any other parent asks to take back his or her consent and of any court proceedings because he/she is asking to take back the consent.
1. The parent is responsible for keeping his or her name and address current with the agency so that notice can be given.
(P) If there is court action to terminate parental rights, the agency shall notify the child's tribe and the tribe may intervene in the proceedings.
(Q) Upon petition of either parent or the child's tribe, court proceedings to terminate parental rights will be transferred to the jurisdiction of the tribal court, provided:
1. The child's tribe has a court with jurisdiction to hear child custody proceedings,
2. The California court finds no good cause not to transfer the proceeding to the Indian tribe.
3. No other parent objects, and
4. The tribe does not decline the transfer.
(R) The adoption agency will take the necessary steps to obtain a Certificate of Degree of Indian Blood for the child and may enroll the child in his or her tribe or register his or her for any Bureau of Indian Affairs benefits that he or she may be able to get.
(S) The agency is required to give the parent all known information about the status of the child's adoption including the approximate date the adoption was completed and if the adoption was not completed or was vacated, for any reason, whether adoptive placement of the child is again being considered.
(T) The agency shall notify the parent if the adoption petition is withdrawn, dismissed, or denied or if the adoption is set aside.
1. The parent is responsible for keeping his or her name and address current with the agency so that notice can be given.
(U) Adoption terminates any inheritance from the parents or blood relatives to the child unless they make specific provision for the child by will or by trust; the child legally inherits from his or her adoptive family.
1. The adoption of an Indian child terminates inheritance from the biological parents or blood relatives to the child; however, any rights or benefits the child has or may be eligible for as a result of his or her status as an Indian are unaffected. See Subchapter 8.
(V) After the child has been legally adopted, the parent cannot reclaim the child.
(W) The agency cannot release any identifying information about the parent unless:
1. The welfare of the child requires the release of information to certain agencies as specified in law relating to the adoption petition, or
2. The adult adoptee and birth parent both sign written consents to arrange contact between these persons in accordance with Family Code Section 9204, or
(i) (Reserved)
3. The adoptee who has reached the age of 21 has requested the identity of his or her birth parent and his or her most current address is indicated in the agency's records if the birth parent has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
4. The birth parent of an adopted person who has reached the age of 21 has requested the adopted name of the adoptee and most current address as shown in the agency's records if the adult adoptee has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
5. The adoptive parent of an adopted person under 21 years of age has requested the identity of the birth parent and his or her most current address as shown in the agency's records if there is a finding by the agency a necessity or other extraordinary circumstance justifies the disclosure in accordance with Family Code Section 9203.
(i) (Reserved)
(X) Information regarding the adoption may be released as follows:
1. The adopted child who has reached age 18 may request and receive from the court which granted the adoption information regarding the tribal affiliation of the birth parent and any other information necessary to protect any rights the adopted child may have with regard to his or her tribal relationship.
2. The court granting the adoption will release to the Secretary of the Interior information concerning the adoption and the child, the adoptive parents, the birth parents, and the agency having information concerning the adoptive placement. The parent who desires anonymity must file an affidavit requesting anonymity with the court. The ICWA requires the Secretary of the Interior to ensure that confidentiality will be maintained; however, tribes do not always maintain confidentiality if they know of the adoption.
3. At the request of the adopted child over age 18, the adoptive parents or the Indian tribe, the Secretary of the Interior will release the information provided by the court to the extent necessary to enroll the adopted person in the tribe or to determine any rights or benefits associated with tribal membership. If the parent submitted an affidavit to the court requesting anonymity, the Secretary will certify, where information warrants, that the child is entitled to enrollment rather than release the information.
4. Upon request of the Bureau of Indian Affairs or an adopted child who has reached age 18, the department will make a copy of all documents pertaining to the degree of Indian blood and tribal enrollment available to the requestor.
(Y) The parent will be able, at any time, to add information about him or herself to the agency's adoption record.
(Z) The law permits the court to release identifying information from the court adoption file after considering the reasons for the request.
(AA) Within five years of the granting of the adoption in court the parent shall have the right to petition the court to set aside the adoption if the consent is obtained through fraud or duress.
(BB) The parent may petition the court to invalidate any action terminating parental rights if termination procedures did not comply with the ICWA.
(CC) The parent has considered the reasons for consenting to or not consenting to the adoption of the child and has decided that to consent to adoption of the child by the petitioners is in the best interest of the child.
(DD) The Statement of Understanding for the parent who gave physical custody of the child subject to the provisions of the ICWA is the AD 900.
(2) For the parent who intends to place the Indian child for independent adoption as provided by Sections 35094.1 and 35094.2:
(A) The parent wants to give his child permanently to the prospective adoptive parents for adoption.
(B) The parent has chosen the prospective adoptive parents to be adoptive parents based on the parent's personal knowledge pursuant to Family Code Section 8801.
(C) That because the child has been determined to be an Indian child the requirements of the Indian Child Welfare Act (ICWA) will apply to the signing of the adoption placement agreement and the adoption of the child.
(D) According to the ICWA, the best place for the child to live if he cannot be with the parent would be with a member of his extended family. The next choice would be other members of the child's tribe. The third choice would be with another Indian family. If the parent does not wish to follow any of these placement choices, he or she must tell the court. The court will make the final decision as to whether this placement preference order will be changed.
(E) The adoption placement agreement shall be signed before a judge of the Superior Court in California, or before a court of competent jurisdiction if signed outside the state.
(F) The parent has the right to seek legal counsel to assist in the Independent Adoption process, and the prospective adoptive parents may be required to pay the cost, up to $500, of such legal counsel, unless a higher fee is agreed to by the parties.
(G) The parent may talk about the plan to place the child for adoption with other professionals and with family and friends.
(H) The parent knows there are other services to assist with finance, employment, education, housing, temporary child care, and health matters if uncertain about consenting to the adoption.
1. The adoption service provider will make a referral to the appropriate resource.
(I) The parent has a right to a minimum of three separate counseling sessions with an adoption service provider or a licensed psychotherapist which, at the parent's request, will be paid for by the prospective adoptive parent.
(J) If the parent does not wish to place the child for adoption, the parent should not sign the Independent Adoption Placement Agreement.
(K) If the parent should change his or her mind about the adoption after signing the adoption placement agreement, the parent may withdraw the placement agreement before the adoption is granted by the court and the child will be returned to the parent.
(L) The parent remains legally responsible for the child until the adoption is granted by the court. The agency will notify the parent if the child is not adopted by the petitioners to determine the parent's further plans for the child. The parent must keep the agency informed of his or her address.
(M) The parent has received enough information about the prospective adoptive parents and wishes to proceed with signing the adoption placement agreement.
(N) The statements required by subsections 35095.1(b)(1)(N) through (BB).
(O) The parent has considered the reasons for placing or not placing the child for adoption and has decided to place the child for adoption with the petitioners is in the best interest of the child.
(P) The Statement of Understanding for the parent who placed the child subject to the provisions of the ICWA for adoption as provided by Sections 35094.2 and 35094.3 is the AD 927.
(3) For the parent who did not give physical custody of the child to the adopting parents:
(A) The parent has carefully considered the reasons for consenting to the adoption of the child by the petitioners.
(B) The statements required by subsections 35095.2(b)(1)(C) through (I).
(C) If the parent does not sign the consent to adoption the parent may request the right to physical custody of the child in court. The parent probably will need an attorney to help him or her do this.
(D) The statements required by subsections 35095.2(b)(1)(K), (L), (M), (N), (O), (P), (Q), (R), (S), (T), (U), (V), (W), (X), (Y), (Z), (AA), (BB) and (CC).
(E) The Statement of Understanding for the legal parent who did not give physical custody of the child subject to the provisions of the ICWA is the AD 900A.
(4) For the alleged natural father:
(A) He has carefully considered the reasons for consenting to the adoption of the child by the petitioners.
(B) The statements required by subsections 35095.2(b)(1)(C), (D) and (E).
(C) He has been told why he is considered to be the alleged natural father of the child and he can deny paternity, waive his rights to further notice of the adoption proceedings, sign a consent to adoption or file a petition to establish the father and child relationship.
(D) The statements required by subsections 35095.2(b)(1)(F) and (G).
(E) He can take court action to establish the father and child relationship and request the right to physical custody of the child.
1. He has the right to seek legal counsel to assist in establishing the father and child relationship and in obtaining the right to physical custody of the child and the adoption agency can refer him to public legal assistance in the community.
(F) He understands that if he does not sign the Statement of Understanding and consent to adoption, the petitioners can petition the court to terminate his parental rights.
1. He has the right to look for a lawyer to help him argue against this; and
2. The adoption agency can refer him to public legal help in his community.
(G) If he is successful in establishing the father and child relationship and obtaining the right to physical custody of the child he may obtain other services to assist with finance, employment, education, housing, temporary child care and health matters.
1. The agency will make a referral to the appropriate source.
(H) The statements required by subsections 35095.2(b)(1)(K), (L), (M), (N), (O), (P), (Q), (R), (S), (T), (U), (V), (W), (X), (Y), (Z), (AA), (BB) and (CC).
(I) The Statement of Understanding for the alleged natural father of a child subject to the provisions of the ICWA is the AD 900B.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8621 and 9202, Family Code. Reference: Sections 1798.24(r) and 1798.24(s), Civil Code; Sections 6408 and 6408.5, Probate Code; and 25 USC sections 1901, 1902, 1903, 1911, 1912, 1913, 1914, 1915, 1916 and 1917; Sections 3010, 7540, 7541, 7601, 7602, 7610, 7611, 7612, 7660, 7661, 7662, 7663, 7664, 7665, 8600, 8601, 8604, 8605, 8606, 8608, 8616, 8617, 8618, 8619, 8800, 8801, 8801.3, 8801.5, 8804, 8808, 8813, 8814, 8815, 8817, 8818, 9100, 9200, 9201, 9202, 9203, 9204, 9205 and 9206, Family Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsections (b)(1)(W)2, (b)(1)(DD),  (b)(2)(E) and (b)(3)(I) filed  9-8-93; operative 10-7-93 (Register 93, No. 37).
4. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
5. Editorial correction of History 4 (Register 95, No. 13).
§35097. Determination of Parent's Ability to Understand Content, Nature and Effect of Consent.
Note     •     History

(a) The agency shall determine that the consenting parent has the ability to understand the nature, content and effect of signing a consent to adoption.
(1) If the agency determines that the parent may not have the ability to understand the content, nature, and effect of signing a consent to adoption, the agency shall refer the parent to a licensed physician or to a licensed clinical psychologist for an evaluation of the parent's ability to so understand.
(A) The agency shall accept the consent to adoption only after the evaluation establishes that the parent has the ability to understand the nature, content, and effect of signing a consent to adoption.
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 8806 and 8807, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsections (a) and (a)(1) and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
§35099. Accepting Mother's Consent to Adoption of Newborn.
Note     •     History

(a) (Reserved)
(b) The agency shall accept the mother's consent to the adoption of a newborn only after she has been medically discharged from the hospital.
(1) In those cases in which the birth mother is hospitalized more than five days after the birth of the child, the agency shall accept the mother's consent only after obtaining a written statement from the attending physician that the birth mother is competent to consent to the adoption of the child.
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 8806 and 8814, Family Code; and 25 USC 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52).
4. Editorial correction of History 3 (Register 95, No. 13).
§35101. Accepting Consent from Parent in Psychiatric Treatment.
Note     •     History

(a) The agency shall accept a consent to adoption from a parent who is receiving inpatient or outpatient psychiatric treatment for mental illness only after the parent's ability to understand the nature, content, and effect of signing a consent to adoption has been established by a written evaluation signed by the attending physician or licensed clinical psychologist.
(1) Counseling related to placement of the child for adoption, the resolution of marital problems, or similar decision making shall not be considered psychiatric treatment.
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 8806 and 8814, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
§35103. Accepting Consent from Parent Under Conservatorship.
Note     •     History

(a) The agency shall accept a consent o adoption from a parent for whom the court has appointed a conservator only if the order of conservatorship specifically allows such a transaction and the parent's ability to understand the nature, content, and effect of signing a consent to adoption has been established by a written evaluation signed by a licensed physician or licensed clinical psychologist.
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 8806 and 8814, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52).
4. Editorial correction of History 3 (Register 95, No. 13).
§35105. Accepting Consent from Parent in or on Leave from a Psychiatric Facility.
Note     •     History

(a) The agency shall accept a consent to adoption from a parent who is a patient in or on leave from a psychiatric facility only if the parent's ability to understand the nature, content, and effect of signing a consent to adoption has been established by a written evaluation signed by the attending physician or licensed clinical psychologist.
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 8806 and 8814, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment adding new subsection (a) designator and amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
§35107. Procedure When Agency Is Unable to Accept Consent.
Note     •     History

(a) In those cases in which the agency is unable to accept a consent, the agency shall advise the petitioners and their attorney that legal action is necessary to free the child from parental custody and control.
(1) (Reserved)
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 8806 and 8814, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment adding new subsection designators for (a) and (a)(1) and amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
Article 3.1. Freeing a Child for Adoption
§35108. Freeing a Child for Adoption.
Note     •     History

(a) (Reserved)
(b) The parent who places his or her child for adoption shall sign an adoption placement agreement.
(c) The parent shall sign a consent when the prospective adoptive parent is a relative as described at Family Code Section 8802(a)(1)(A).
(d) The agency shall ask the birth mother to identify any possible fathers of the child and to provide information regarding their whereabouts.
(1) The agency shall attempt to contact all identified fathers and interview them.
(A) The agency shall obtain information about an identified father's family background, social history, and any medical information regarding his hereditary and genetic diseases or disabilities, if any, and shall complete the AD 67.
(e) The child's presumed father may sign either the adoption placement agreement if he and the birth mother are placing the child for adoption or a consent form if he is not placing the child for adoption but agrees to the adoptive placement.
(3) A man who completes a voluntary declaration of paternity pursuant to Family Code Sections 7573 and 7574 or is identified on the child's birth certificate after January 1, 1997 is considered to be a presumed father and his parental rights to the child shall be terminated as those of a presumed father.
(4) A conclusively presumed father is defined at Family Code Sections 7540, 7541, and 7576.
(5) A man is rebuttably presumed to be the natural father of the child if he meets the criteria at Family Code Section 7577 or any of the criteria of Family Code Section 7611.
(f) If the child's presumed father does not sign an adoption placement agreement or a consent form, the agency shall request the petitioners or their attorney to make arrangements to have his parental rights terminated.
(g) If the birth mother is unable to identify the child's alleged natural father or determine his whereabouts, the agency shall request the petitioners or their attorney to make arrangements to terminate the parental rights of the alleged natural father pursuant to Family Code Section 7662.
(h) The agency shall request the petitioners or their attorney to serve a written notice on any identified alleged natural father, alleging him to be the father of a child to be adopted and informing him that he may:
(1) Before the birth of the child,
(A) Waive further notice of the adoption proceeding by signing an AD 590, or
(B) Deny paternity by signing an AD 588.
(2) After the birth of the child,
(A) Waive further notice of the adoption proceeding by signing an AD 590, or
(B) Deny paternity by signing an AD 588, or
(C) Consent to the adoption by signing an AD 594, or
(D) Refuse to consent to the adoption by signing an AD 20B, or
(E) Complete Item 1 on the JV-505, or
(F) File a petition to establish his paternity of the child.
(i) The agency shall state in its report to the court whether all legal relationships that exist between the child and his or her parents have been properly addressed.
NOTE

Authority cited: Section 8621, Family Code: Sections 10553 and 10554, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 1183, Civil Code; Sections 7540, 7541, 7570, 7571, 7573, 7574, 7576, 7577, 7601, 7602, 7610, 7613, 7630, 7631, 7633, 7650, 7660, 7661, 7662, 7663, 7664, 7665, 7666, 7802, 7820 et seq., 8604, 8605, 8606, 8617, 8619, 8808, 8809, 8814 and 8819, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New article 3.1 (section 35108) and section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New article 3.1 (section 35108) and section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including amendment of subsections (e)(4) and (e)(5) and amendment of Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 4. Accepting Consent
§35109. Procedures for Accepting Consents Signed in California.
Note     •     History

(a) (Reserved)
(b) The agency shall accept a consent to adoption, signed in California, only on the form prescribed by the department.
(1) When taking the consent, the agency shall not cover or delete the names of the adopting parents on the consent to adoption.
(2) The signature of the agency on a properly completed and signed consent to adoption shall verify that the agency has determined that the consenting parent has the capacity to understand the nature, content, and effect of a consent to adoption.
(3) When the child is not subject to the Indian Child Welfare Act, the following consent documents shall be used for taking the consent of:
(A) The parent placing the child pursuant to Section 35094.2: AD 924.
(B) A mother or presumed father not denying paternity: AD 1A.
(C) A presumed father denying paternity: AD 165.
(D) An alleged father not denying paternity: AD 594.
(E) An alleged father denying paternity: AD 588.
(F) An alleged father waiving right to further notice: AD 590.
(4) When the child is subject to the Indian Child Welfare Act, the following consent documents shall be used for taking the consent of:
(A) The parent placing the child pursuant to Section 35094.2: AD 925.
(B) A mother or presumed father not denying paternity: AD 859.
(C) A presumed father denying paternity: AD 860.
(D) An alleged father not denying paternity: AD 861.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code and Section 8621, Family Code. Reference: Sections 3010, 8604, 8605, 8606, 8806 and 8814, Family Code; and 25 USC 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52)
3. Amendment of subsection (b)(2), new subsections (b)(3)-(b)(4)(D) and amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52).
4. Editorial  correction renumbering article 3 to 4 (Register 95, No. 6).
5. Editorial correction of History 3 (Register 95, No. 13).
§35111. Procedures for Accepting Out-of-State Consents Not Initiated by the Agency.
Note     •     History

(a) (Reserved)
(b) If a parent is in another state and the request for consent was not initiated by the agency, the consent shall be accepted when the following conditions are met:
(1) The consent is notarized in accordance with Family Code Section 8814(c).
(A) (Reserved)
(2) The consent is properly completed on a form which contains the same content as the form prescribed by the Department in accordance with Family Code Section 8814(a).
(A) (Reserved)
(3) When the child is not subject to the Indian Child Welfare Act, the following consent documents shall be used for taking the out-of-state consent of:
(A) A mother or presumed father not denying paternity: AD 1C.
(B) A mother or presumed father not denying paternity and in the armed forces: AD 1F.
(C) A presumed father denying paternity: AD 166.
(D) An alleged father not denying paternity in the armed forces: AD 842.
(E) An alleged father not denying paternity: AD 594.
(F) An alleged father denying paternity: AD 588.
(G) An alleged father waiving right to further notice: AD 590.
(4) When the child is subject to the Indian Child Welfare Act, the following consent documents shall be used for taking the out-of-state consent of:
(A) A mother or presumed father not denying paternity: AD 859.
(B) A presumed father denying paternity: AD 860.
(C) An alleged father not denying paternity: AD 861.
(5) The parent has signed the Statement of Understanding form after having:
(A) Affirmed his/ or her understanding of the consent process by reading and initialing each explanatory statement on the Statement of Understanding form.
(6) The signature on the Statement of Understanding form has been notarized.
(7) The Statement of Understanding for the parent whose child is not subject to the Indian Child Welfare Act (ICWA) is Section 35095.1 and the Statement of Understanding for the parent whose child is subject to the ICWA is Section 35095.2.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code and Section 8621, Family Code. Reference: Section 8814, Family Code; and 25 USC 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. New subsection (a)(3)-(a)(5) filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
3. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Amendment of subsections (b)(1)-(b)(2)(A), new subsections (b)(3)-(b)(4)(C), subsection renumbering, and amendment of newly designated subsection (b)(5)(A) and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
5. Editorial correction of History 4 (Register 95, No. 13).
§35113. Procedures for Accepting Out-of-State Consents Which Are Initiated by the Agency.
Note     •     History

(a) (Reserved)
(b) In the event that an agency initiates a consent that is to be signed in another state, the agency shall attempt to utilize the services of an authorized agency in the other state to provide the services to the consenting parent that the California agency would provide if the parent was in California.
(1) In the event that there is no authorized agency able and willing to provide these services in a timely manner in the other state, the agency shall send the consent directly to the consenting parent.
(2) The agency shall ensure that requests for out-of-state agency services from states which are members of the Interstate Compact on the Placement of Children (ICPC) comply with ICPC regulations commencing with Section 35401.
(A) (Reserved)
(B) (Reserved)
(C) (Reserved)
(D) (Reserved)
(E) (Reserved)
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code and Section 8621, Family Code. Reference: Section 10553 (e), Welfare and Institutions Code; Sections 8806 and 8814, Family Code; and 25 USC 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a) filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
3. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
5. Editorial correction of History 4 (Register 95, No. 13).
§35115. Copy of Signed Consent to Parent and/or Attorney of Record.
Note     •     History

(a) The agency shall give the consenting parent a copy of the completed and signed consent to adoption.
(1) The agency representative shall send within seven days a copy of the signed consent to adoption to the attorney of record in the adoption action.
(A) The copy of the signed consent shall be sent to the petitioners if they are not represented by legal counsel.
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Section 10553(e), Welfare and Institutions Code; and Sections 8806 and 8814, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsection (a), new subsection (a)(1)(A) and amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
§35117. Information to the Consenting Parent Regarding the Status of the Child's Adoption.
Note     •     History

(a) At the time of signing the consent to adoption, the agency shall advise the consenting parent, verbally and in writing, of the provisions of Family Code Section 8813.
(1) (Reserved)
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Section 8813, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
§35119. Presentation of Required Statement to Consenting Parent.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code. Reference: Section 224.73, Civil Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Repealer filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
§35121. Additional Requirements for Accepting Consent.
Note     •     History

(a) At the time of accepting the consent to adoption, the agency shall:
(1) Inform the birth parent of the child's adjustment with the petitioners and of the suitability of the petitioners to be adoptive parents to the child.
(2) Inform the birth parents that the law provides for identifying information to be released to adoptees and birth parents when certain conditions are met.
(3) Provide the birth parents with a copy of the Adoptions Information Act Statement pursuant to Family Code Section 8818.
(A) (Reserved)
(B) (Reserved)
1. (Reserved)
(4) In the event the adoption is not finalized, legal responsibility for the child remains with the birth parents and they must either resume care of the child or make an alternative plan such as choosing other adoptive parents or electing to relinquish the child to a licensed adoption agency.
(A) If the agency is unable to locate the birth parent, the agency shall accept the commitment of the child under Family Code Section 8805.
(1) (Reserved)
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 8805, 8813 and 8818, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending subsection (a)(4) and Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
§35122. Revocation of Consent and Waiver of Right to Revoke Consent.
Note     •     History

(a) Revocation of a consent to adoption, including an adoption placement agreement, and waiver of the right to revoke consent are governed by Family Code Sections 8801.7, 8814.5, and 8815.
(1) (Reserved)
(2) (Reserved)
(3) (Reserved)
(b) The following additional procedures shall be followed if the birth parent wishes to revoke consent:
(1) The written statement to revoke consent may be made on the AD 928 form or by any other written statement.
(2) If requested, the agency shall assist the birth mother or presumed father in obtaining the return of the child if such assistance is not being given by an adoption service provider.
(3) The agency shall inform the alleged natural father who revokes his consent that he must take court action to establish the father and child relationship before seeking return of the child and that he has the right to seek legal counsel.
(c) The following additional procedures shall be followed if the birth parent wishes to waive his or her right to revoke consent:
(1) The interview(s) with the birth parent shall include the material required by Section 35095.
(2) The waiver of the right to revoke consent shall be made on the AD 929.
(3) A birth parent who did not place the child for adoption as described in Section 35094.2 and who signs a consent to adoption may sign a waiver of right to revoke consent at the same time he or she signs the consent to adoption.
(4) A parent of an Indian child may not waive his or her right to revoke consent.
NOTE

Authority cited: Section 8621, Family Code. Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 7630, 8801.7, 8808, 8814, 8814.5, 8815, Family Code; 25 USC 1913.
HISTORY

1. New section filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
2. Editorial correction of History 1 (Register 95, No. 13).
Article 5. Finalization of Adoption
§35123. Completing the Court Report and Filing.
Note     •     History

(a) The agency shall file the court report on an adoption petition within 180 days of the filing of the adoption petition unless an extension of time has been granted by the court.
(1) The court report shall contain a summary of the facts disclosed by the study, an evaluation of such facts, and a recommendation as to the granting of the petition.
(A) The information which is included in the report shall be current and shall be substantiated in the case record.
(B) The court report shall include conclusions regarding the impact of any available record of the petitioner's criminal or violent behavior on his or her ability to provide appropriate parenting and a stable and safe home environment for the child.
1. The agency shall use the most current criminal record information in its preparation of the court report.
(b) The agency shall file its court report immediately when there is a serious question regarding:
(1) The suitability of the petitioners.
(2) The care which the child is receiving.
(3) The availability of the consent to adoption.
(4) (Reserved)
(c) The agency shall document in the court report the basis for its concerns regarding the suitability of the petitioners or the care provided the child.
(d) The agency shall include in the court report, as appropriate, a request to the court for direction regarding the situation giving rise to the agency's concern.
(e) If the agency's court report includes a recommendation to deny the adoption petition, the agency shall follow the procedures outlined at Section 35125.
(1) The agency shall appear at the hearing to represent the child pursuant to Family Code Section 8822.
(f) The agency shall immediately file a court report when there is a serious question whether the placement of the child for purposes of adoption was made in accordance with provisions of Family Code Section 8801.3.
(1) (Reserved)
(g) The agency shall give the petitioners or their attorney a copy of the court report at the time it is filed.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Sections 8801.3, 8807, and 8811, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a) filed 3-7-89; operative 4-6-89 (Register 89, No. 11).
3. New subsection (a)(1)(B) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
4. Change without regulatory effect amending subsection (a)(3) and Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
5. Renumbering of former Article 4 to Article 5, new subsection designators for (a)(2)(D) and (a)(3)(A), and amendment of subsection (a)(3) and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
6. Editorial correction of History 5 (Register 95, No. 13).
7. Amendment of section heading and section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section heading and section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35123.1. Reporting Suspected Child Abuse.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Sections 8801.3, 8807, and 8811, Family Code; and Sections 11165, 11165.1, 11165.2, 11165.3, 11165.4, 11165.6 and 11165.7, Penal Code.
HISTORY

1. New section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order; including renumbering of former section 35123.1 to section 35125.1, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 6. Procedures in Denials and Commitments
§35125. Planning for the Child When Consent Is Withdrawn, the Petition Is Withdrawn or Dismissed, or the Agency Recommends Removal of the Child.
Note     •     History

(a) (Reserved)
(b) The agency shall be responsible for reporting to the court and recommending a suitable plan for the care and custody of the child in accordance with Family Code Section 8815 when:
(1) Prior to the entry of a final decree of adoption the birth parent indicates orally or in writing that he/ or she wishes to withdraw his/ or her consent.
(A) (Reserved)
(2) The petitioners' desire to withdraw or to secure dismissal of the adoption petition in accordance with Family Code Section 8804.
(A) (Reserved)
(3) The agency has determined that the best interests of the child would not be served through continued placement with the petitioners and has recommended removal of the child from the home of the petitioners.
(A) If the agency has a serious question concerning the care provided to the child or reasonably suspects the petitioners have endangered the physical or mental health of the child by abuse or neglect, the agency shall follow the procedures outlined at Section 35125.1.
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 8804, 8805 and 8815, Family Code; and 25 USC 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Renumbering of former Article 5 to Article 6 and amendment of section and Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
4. Editorial correction of History 3 (Register 95, No. 13).
5. New subsection (b)(3)(A) filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
§35125.1. Reporting Suspected Child Abuse.
Note     •     History

(a) If the agency knows or reasonably suspects the petitioners have endangered the physical or mental health of a child by abuse or neglect, the agency shall immediately contact the appropriate child protective agency and file the mandatory “Suspected Child Abuse Report” (Form SS 8572 Revised 1/93) pursuant to Penal Code Section 11166(a).
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Sections 8801.3, 8807, and 8811, Family Code; and Sections 11165, 11165.1, 11165.2, 11165.3, 11165.4, 11165.6 and 11165.7, Penal Code.
HISTORY

1. Renumbering of former section 35123.1 to section 35125.1 filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
§35126. Denial or Dismissal of Adoption Petition.
Note     •     History

(a) (Reserved)
(b) When the agency recommends denial or dismissal of the adoption petition, the agency shall submit a report to the court recommending denial of the petition.
(1) If the petitioners wish to have the child remain in the home of the petitioners, the agency shall:
(A) Refer the petitioners to the appropriate agency for foster care licensure as required by Health and Safety Code section 1500 et seq.
(B) Discuss with the petitioners and the birth parents the possibility and desirability of securing legal guardianship of the child.
(2) If the agency believes that return of the child to the parent would place the child in danger of cruelty, neglect, abuse, or depravity, the agency shall make a referral to the county child welfare unit as required by Penal Code section 11166.
(3) In cases in which the agency recommends that the child be committed to the agency, the agency shall recommend to the court a plan for committing the child to the agency.
(A) The agency shall develop a plan and report to the court as soon as it is determined that commitment to the agency will be recommended.
(B) The agency's responsibility for the child shall be the same as for any other child accepted for assessment and adoptive planning.
(C) Temporary and permanent plans developed by the agency shall require prior approval by the department.
(D) Commitment of the child to the agency shall continue until the court terminates the commitment order.
(E) (Reserved)
NOTE

Authority cited: Section 8621, Family Code; and Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 8804, 8805, 8815 and 8918, Family Code; Section 1500, Health and Safety Code; Section 11166, Penal Code; and 25 USC 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Renumbering of former section 35127 to section 35126 filed 12-28-89 as an emergency; operative 1-1-90 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-1-90.
3. Certificate of Compliance as to 12-28-89 order transmitted to OAL 4-27-90 and filed 5-25-90 (Register 90, No. 28). 
4. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
5. Amendment adding new subsection (b)(3)(E) designator and amendment of Note filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
6. Editorial correction of History 5 (Register 95, No. 13).
§35127. Denial or Dismissal of Adoption Petition.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 226a, 226b and 226c, Civil Code; Section 1500, Health and Safety Code; and Section 11166, Penal Code.
HISTORY

1. Renumbering of former section 35127 to section 35126 filed 12-28-89 as an emergency; operative 1-1-90 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-1-90.
2. Certificate of Compliance as to 12-28-89 order transmitted to OAL 4-27-90 and filed 5-25-90 (Register 90, No. 28). 
Subchapter 5. Procedures for Agency Adoptions
Article 1. Assessment of the Child
§35127.1. Content of Written Assessment of the Child.
Note     •     History

(a) (Reserved)
(b) The agency shall assess each child accepted for adoption services. The assessment shall be in writing and shall include but not be limited to:
(1) Identification of the child, including the child's:
(A) Sex.
(B) Age.
(C) Race.
(D) Ethnicity.
(E) Juvenile court status, including whether the child is a dependent or subject to a petition pursuant to Welfare and Institutions Code Section 300.
(2) Medical, developmental, scholastic, mental, emotional and behavioral history and current status.
(A) If the chid is younger than age 5, a developmental assessment.
(3) For a child placed in out-of-home care, a review of the amount of and nature of any contact between the child and his or her birth parents or other members of his or her extended family since the time of placement in out-of-home care. This review shall include:
(A) Whether the child would benefit from continuing contact with members of his or her extended family after an adoption.
(B) Whether the child has any siblings with whom the child should be placed for adoption.
(C) Whether the child has any siblings with whom the child would benefit from maintaining contact.
(4) Family life history, including the following:
(A) The history of and relationship to any significant caretakers of the child.
(B) If the child has been placed out of the home, a summary of the child's placement history.
(C) The relationship of the child with any identified prospective adoptive parent, particularly the caretaker, the duration and character of the relationship.
(5) Determination of the child's AAP eligibility when applicable, and the basis for such a determination.
(6) Religion and/or cultural background.
(7) Assessment of the child's readiness for adoption and willingness to be adopted, including:
(A) A statement from the child concerning placement and adoption unless the child's age or physical, emotional or other condition precludes his or her meaningful response, and if so, a description of the condition.
(8) An analysis of the likelihood that the minor will be adopted if parental rights are terminated, including whether a potential adoptive family has been identified.
(9) The results of a psychological evaluation when it exists.
(A) The agency shall obtain the results of a psychological evaluation for a child age 5 years and older when there is an indication that such an evaluation is necessary as determined by either:
1. The agency's review of the child's history which indicates a genetic predisposition for mental illness, or
2. The agency's review of the child's behavior which seems abnormal and symptomatic of mental illness, such as:
a. Pervasive lack of responsiveness to other people.
b. Solitary, stereotyped, repetitive play.
c. Peculiar speech patterns or speech disorders.
d. Extreme need for sameness.
e. Peculiar interest in or attachment to inanimate objects.
f. Retreat into fantasy, bizarre gestures or mannerisms.
g. Extreme aggression and uncontrollability when separated from parental figures.
h. Slowed thinking, apathy, or suicidal thoughts.
i. Bizarre eating habits or disturbances while eating.
j. Constricted or inappropriate affect.
k. Incoherence with delusions, hallucinations, or loose associations.
l. Oddities of motor development, such as peculiar posturing or peculiar hand or finger movements.
m. Excessive, persistent anxiety and worry.
n. Psychomotor agitation or hyperactivity.
(B) When a child age 5 years or older is not displaying symptoms of emotional disturbance, such as those specified in Section 35127.1(b)(9)(A), the agency shall:
1. Determine, based on the agency's judgment, whether other available information about the child and/or the parent indicated that a psychological evaluation is necessary to facilitate the placement and ongoing care of the child, and
2. If the agency determines a psychological evaluation is necessary, arrange for and obtain the results of a psychological evaluation for the child.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608 and 8621, Family Code. Reference: Sections 361.5, 366.21 and 366.22, Welfare and Institutions Code; Sections 8608, 8706, 8715 and 9100, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New article 1 (sections 35127.1-35127.3) and renumbering and amendment of former section 35171 to new section 35127.1 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day. For prior history of article 1, see Register 88, No. 50; for prior history of subchapter 4, article 7 (sections 35127.1-35127.2), see Register 94, No. 52.
2. New article 1 (sections 35127.1-35127.3) and renumbering and amendment of former section 35171 to new section 35127.1 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including amendment of Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35127.2. Documents, Reports and Authorizations Required for Assessment of the Child.
Note     •     History

(a) (Reserved)
(b) The agency shall obtain:
(1) A certified copy of the child's birth certificate.
(2) Complete information regarding the legal status of the child.
(3) If the child is a dependent of the juvenile court, all court reports regarding the child's dependency.
(4) Medical reports.
(A) The information contained in the medical report shall be sufficient to enable the agency to comply with the requirements of Family Code Section 8706 as set forth at Section 35195(a)(1).
(5) Dental reports, when they exist.
(6) Authorizations for the release of:
(A) Medical information.
(B) Dental reports, when relevant.
(C) Scholastic information, if relevant.
(D) Psychological information, if relevant.
(E) Medical, psychological and social information about birth parents.
(7) Authorization for the child's medical care prior to relinquishment.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608 and 8621, Family Code. Reference: Sections 8608, 8706 and 8715, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. Renumbering and amendment of former section 35173 to new section 35127.2 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering and amendment of former section 35173 to new section 35127.2 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35127.3. Services for Children Accepted for Adoption Planning.
Note     •     History

(a) The agency shall provide services to children who are accepted for adoption planing, including but not limited to:
(1) Preventive and remedial medical care, including mental health services.
(2) Obtaining medical reports and the medical background of the child.
(3) Services pertaining to the placement of the child for adoption, the emotional preparation of the child for adoption and working through losses and separations.
(4) Services pertaining to supervision of the adoptive placement.
(5) Preparation and completion of the Adoption Placement Agreement.
(6) Preparation and completion of the Adoption Assistance Agreement, when necessary.
(7) Determination of the AAP payment level, when necessary.
(8) Recertification of the Adoption Assistance Agreement, when necessary.
(9) Freeing the child for adoption.
NOTE

Authority cited: Sections 10553 and 16118, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8704, 8706, 8708 and 8715, Family Code.
HISTORY

1. Renumbering of former section 35175 to new section 35127.3 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35175 to new section 35127.3 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 2. Freeing a Child for Adoption
§35128. Freeing a Child for Adoption.
Note     •     History

(a) (Reserved)
(b) No agency shall place a child for adoption unless parental rights of all living parents who may have a potential legal claim to the child have been terminated, except as specified in this section, and documentation of such actions has been filed with and acknowledged by the department.
(1) If the child is in the custody of a public agency or licensed adoption agency and all parents having a potential legal claim to the child are deceased, the agency shall file an action under Family Code Section 8705.
(c) Then parental rights of the mother and any father identified pursuant to Section 35128(d) shall be terminated by one of the following actions:
(1) Relinquishment of the child to an agency.
(2) Court action terminating parental rights.
(3) Similar action taken in another state, country or territory to voluntarily or involuntarily terminate parental rights.
(d) The agency shall identify all parents who may have a potential legal claim to the child.
(2) If the mother or other individual identifies any possible father and has knowledge of his whereabouts, the agency shall attempt to contact and interview him as specified in Section 35129 unless:
(A) A court has made a prior determination that the man is not the father and the agency has received no subsequent information to the contrary.
(3) If the mother identifies the alleged natural father or he has been identified to the satisfaction of the court and he cannot be located, the agency shall take all of the following actions:
(A) Inform the court that the alleged natural father cannot be located;
(B) Petition the court to terminate the alleged natural father's parental rights pursuant to Family Code Sections 7662 and 7666, and
(C) Request that the court dispense with the notice of the proceeding to the alleged natural father.
(4) If the mother is unable or unwilling to identify the alleged natural father, the agency shall contact any appropriate persons in an effort to identify and locate him.
(A) If the agency, through another source of information, identifies one or more alleged natural fathers, the agency shall inform the mother of the identity of the alleged natural father before petitioning the court to terminate the alleged natural father's parental rights.
1. If the alleged natural father is identified after the inquiry and the mother confirms his identity, the procedures under this section shall be followed.
2. If the alleged natural father remains unidentified, the agency shall petition the court to terminate his parental rights.
(e) The agency may place the child for adoption when all of the following have occurred:
(1) The parental rights of the mother and any identified fathers have been terminated meeting the requirements of Section 35128(c);
(2) The parental rights of any alleged natural father have not been terminated by his signing a relinquishment or by court action but one of the following actions has been taken:
(A) He has signed a waiver of further notice of the adoption proceedings and the waiver has been filed with and receipt acknowledged by the department.
(B) He has signed a denial of paternity and the denial has been filed with and receipt acknowledged by the department.
(C) He has received notification pursuant to Family Code Section 7664 and 7666 and no response is made within 30 days of either the service of such notice or the birth of the child, whichever is later.
(3) An action under Family Code Sections 7662 and 7666 to terminate the parental rights of an alleged natural father has been filed with the court:
(A) The agency intends to place the child for adoption with a prospective adoptive parent assessed and approved by an agency, and
(B) The agency administrator has approved the proposed placement.
(4) The parental rights of a noncustodial parent have not been terminated, but all of the following conditions have been met:
(A) Pursuant to Family Code Section 8604(b), one birth parent has been awarded custody by judicial order, or has custody by agreement of both parents, and the other birth parent for a period of one year fails to communicate with and to pay for the care, support, and education of the child when able to do so.
(B) Pursuant to Family Code Section 8606, his or her agreement to the adoption is not necessary.
(C) The noncustodial birth parent has been properly notified of a hearing under Family Code Section 8718 to finalize the adoption.
(D) The birth parent having custody of the child relinquished the child to the agency or had his or her parental rights terminated by court action.
(f) If a court action is brought and the court determines that the alleged natural father is the father, the agency shall not place the child for adoption unless the parental rights of this father have been terminated as specified in subsection (c) of this section.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 1183, Civil Code; Sections 7500, 7501, 7576, 7577, 7611, 7612, 7630, 7631, 7660, 7661, 7662, 7663, 7664, 7665, 7666, 7669, 7802, 7807, 7808, 7820, 7821, 7822, 7823, 7824, 7825, 7826, 7827, 7828, 7829, 7890, 7892, 7893(b)(3), 8604, 8605, 8606 and 8700, Family Code; Sections 414.10, 415.30, 415.50, 417.10 and 417.20, Code of Civil Procedure; Sections 316 and 366.26, Welfare and Institutions Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New article 2 (sections 35128-35151) and new section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day. For prior history of section 35128, see Register 88, No. 50.
2. New article 2 (sections 35128-35151) and new section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including amendment of section and Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 3. Services for the Birth Parents
§35129. Services for the Birth Parent.
Note     •     History

(a) Before accepting a relinquishment of a child for adoption from a parent who is physically present in California, the agency shall:
(1) Advise the parent regarding his or her rights and alternatives to relinquishment of the child.
(A) If the child is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian, the parent shall be advised as specified at Section 35129.1.
(B) If the child is detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian, the parent shall be advised as specified at Section 35129.2.
(2) Provide counseling that, at a minimum, is intended to assist the parent to:
(A) Understand his or her feelings regarding relinquishing the child for adoption and the long range implications of relinquishing the child for adoption, and 
(B) Freely make his or her choice regarding relinquishing the child to the agency for adoption.
1. If the parent elects to relinquish the child, the agency shall also provide counseling to assist the parent in deciding:
a. Whether the parent wishes to complete a standard or designated relinquishment, and
b. In the case of an adoption by kin, whether the parent wishes to complete a Kinship Adoption Agreement and, if so, the conditions the parent would like to include in the agreement.
(3) Obtain the parent's authorization on the AD 100 for the release of information as specified in Section 35129.3(d).
(4) Assist the parent to provide medical and social background information.
(A) The mother shall be assisted in completing the AD 67 about herself and, if the father is not being interviewed, the AD 67A about the father.
(B) The presumed or alleged natural father who indicates that he is or might be the child's father shall be assisted in completing the AD 67A about himself and, if the mother is not being interviewed, the AD 67 about the mother.
(5) Obtain and verify all information necessary to identify the child's mother, any presumed father(s), and any alleged natural father(s).
(A) The adoption agency shall emphasize the importance of, and explain the possible repercussions of, not accurately identifying other possible parents including: 
1. The mother or presumed father who was not identified may claim and be able to take custody of the child after the child has been placed for adoption. This experience is very traumatic for the child and the prospective adoptive parents.
2. Because it is not possible to obtain medical history and other background information from unidentified parents, the child and his or her adoptive parents will be deprived of crucial information which may be relevant to future decisions regarding the child's health and well-being.
(B) The agency shall ask of the mother and any other appropriate person as to whether:
1. A judgment of paternity already exists.
2. The mother was married at the time of conception of the child or at any time thereafter.
3. The mother was cohabiting with a man at the time of conception or birth of the child.
4. The mother has received support payments or promises of support with respect to the child or in connection with her pregnancy.
5. Any man has formally or informally acknowledged or declared his possible paternity of the child.
6. Paternity tests have been administered and the results, if any.
(D) The agency shall report the results of such inquiry to the court in its final report to the court and in any report concerning the termination of the parental rights of a presumed or alleged natural father.
(b) The agency shall attempt to provide the services required by Section 35129(a) to any other person identified as a possible parent of the child.
(1) If the relinquishing parent is not physically present in California, the agency shall attempt to provide the services required by Section 35129(a) by telephone and/or with the assistance of an adoption agency in the state or country where the relinquishing parent is physically present.
(c) After accepting a relinquishment, the agency shall provide additional counseling and referral services to the relinquishing parent as needed.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8619 and 8621, Family Code. Reference: Sections 7601, 7602, 7610, 7613, 7630, 7631, 7633, 7650, 7660, 7661, 7662, 7663, 7664, 7665, 7666, 7802, 8512, 8604, 8617, 8619, 8700, 8703, 8705, 8706 and 8714.7, Family Code; and Section 316.2, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Renumbering of former section 35129 to new section 35130 and new section  35129 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35129 to section 35130 and new section 35129 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. New article 3 heading and Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35129.1. Advisement of the Parent Whose Child Has Not Been Removed from the Parent's Care.
Note     •     History

(a) (Reserved)
(b) When advising a mother or presumed father who is considering the relinquishment of a child who is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian, the agency shall inform the birth parent of: 
(1) The parent's right to seek legal counsel to assist him or her in the relinquishment process:
(A) Upon the parent's request, the agency shall refer the parent to legal resources, including:
1. Attorney referral services,
2. Legal aid offices, or
3. Other known public legal assistance.
(B) If the child is a juvenile court dependent, the agency also shall inform the parent of the possible availability of legal counsel and the notice requirement of Family Code Section 8700(h) as specified in Section 35129.2(b)(1).
(2) The reason, if any, the agency believes the parent is a presumed father of the child.
(B) The agency shall explain that if he does not believe he is the father, but agrees to the adoption, he may:
1. Sign a relinquishment document stating that, although he is relinquishing his parental rights, he does not believe that he is the father of the child.
2. File a petition with the court asking the court to determine that he is not the child's father.
(3) Alternatives to adoptive placement of the child including, but not limited to:
(A) Services which would assist the birth parent in caring for the child, including:
1. Financial resources such as child support and Temporary Assistance to Needy Families (TANF).
2. Employment resources such as vocational training and Employment Development Department services.
3. Educational resources such as continuation school and General Equivalency Diploma programs.
4. Child care resources, including the availability of subsidized day care.
5. Housing resources such as shared housing with relatives or nonrelatives and government subsidized housing.
6. Health service resources such as well baby clinics, Child Health and Disability Prevention Programs (CHDP), California Children's Services, and Medi-Cal.
(B) Services, such as voluntary foster care placement or temporary placement with extended family members, which would give the parent more time to determine the most appropriate plan for the child.
(4) Alternative forms of adoption, including a description of the full procedures and time frames involved in each type, which at a minimum shall include discussion of the following:
(A) Standard agency (relinquishment) adoption
1. The birth parent transfers his or her rights and responsibilities for the child to an adoption agency by signing a relinquishment of the child to the agency.
a. The birth parent's legal rights and responsibilities for the child end when the relinquishment is filed with the department.
(i) Filing includes the department's receipt and acknowledgement of a certified copy of the relinquishment form.
b. The relinquishment is submitted to the department on a date agreed to by the birth parent and the agency.
c. The birth parent may revoke the relinquishment before it is filed with the department.
d. The birth parent may not rescind the relinquishment after it is filed with the department unless the adoption agency agrees. 
2. The prospective adoptive parents must be assessed and approved by the adoption agency before the child is placed for adoption with the family.
3. The agency, not the birth parent, selects the adoptive parents, and the birth parent may or may not know the identity of the adoptive parents.
(B) Designated agency (relinquishment) adoption
1. These adoptions are the same as standard agency adoptions except that:
a. The birth parent participates in the selection of the adoptive parents,
b. The birth parent knows the identity of the adopting parents, and
c. The birth parent has a right to rescind his or her relinquishment and thus regain his or her parental rights and responsibilities if the child is not placed with the selected family or if the placement disrupts prior to completion of the adoption.
(C) Independent adoption by relatives
2. The birth parent agrees to the prospective adopting parents' proposed adoption of the child by signing a consent to the adoption.
a. The birth parent continues to be legally responsible for the child until the adoption is completed. 
b. The consent to the adoption becomes irrevocable on the 91st day after it is signed unless the birth parent waives the right to revoke the consent before the 90 days expire.
(i) The first day of the 90-day period is the day the consent is signed.
c. The birth parent may revoke the consent and, if he or she has legal custody, reclaim the child at any time before the consent becomes irrevocable.
(i) When the consent becomes irrevocable, custody of the child may be regained by the birth parent only if the potential adoptive parents agree to withdraw their petition for adoption or the court denies the petition for adoption.
d. The signing of a consent does not obligate the prospective adoptive parents to complete the adoption.
3. The prospective adoptive parents are evaluated as to their suitability to adopt either prior to the placement or after the child has begun living with them and they have filed a petition to adopt with the court.
4. The birth parent selects the adoptive parents.
5. The child begins living with the prospective adoptive parents before parental rights have been terminated.
(D) Independent adoption by nonrelatives
1. Each placing birth parent is advised by an adoption service provider before agreeing to the prospective adopting parents' proposed adoption of the child by signing a placement agreement, and any non-placing birth parents agree to the proposed adoption by signing a consent.
a. The birth parent continues to be legally responsible for the child until the adoption is completed. 
b. A placement agreement becomes an irrevocable consent to the adoption on the 91st day after it is signed unless the birth parent waives the right to revoke the consent before the 90 days expire.
(i) The first day of the 90-day period is the day the consent is signed.
c. The non-placing parent's consent becomes irrevocable on the 91st day after it is signed unless he or she waives the right to revoke the consent before the 90 days expire.
(i) When the placement agreement or consent becomes an irrevocable consent, custody of the child may be regained by the birth parent only if the potential adoptive parents agree to withdraw their petition for adoption or the court denies the petition for adoption.
d. The birth parent may revoke the placement agreement or consent and, if he or she has legal custody, reclaim the child at any time before the placement agreement or consent becomes an irrevocable consent.
e. The signing of a placement agreement or consent does not obligate the prospective adoptive parents to complete the adoption.
2. The prospective adoptive parents are evaluated as to their suitability to adopt either prior to the placement or after the child has begun living with them and they have filed a petition to adopt with the court.
3. The birth parent selects the adoptive parents.
4. The child usually begins living with the prospective adoptive parents when a parent with legal custody has signed an adoptive placement agreement.
(5) The agency's adoption plan for the child, should the child be relinquished or become available for adoption due to the court's termination of the parents' rights.
(A) The agency shall advise the parent regarding the extent to which the agency will allow his or her participation in the selection of the adoptive family.
(6) The fact that the agency may petition the court for termination of the parent's parental rights if another parent has relinquished the child to the agency or has had his or her parental rights terminated by court action and that the parent has the right to seek legal counsel to contest and appeal any such action taken by the agency.
(7) The rights and responsibilities of the parent as outlined on the Statement of Understanding.
(C) The agency shall review each item on the Statement of Understanding with the birth parent to be certain that the birth parent understands the meaning of each item.
(D) The agency shall answer any questions the birth parent has about the meaning of any item.
(c) When advising an alleged natural father of a child who is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian, the agency shall inform the alleged natural father of:
(1) The reason the agency considers him to be the alleged natural father and that he may:
(A) File a petition with the court to establish paternity if he wishes to take parental responsibility for the child, 
(B) Deny paternity,
(C) Waive his rights to further notice of the adoption proceedings, 
(D) Sign a relinquishment, or
(E) Take no action.
(2) His right to seek legal counsel to assist him in taking any of the actions described in Section 35129.1(c)(1).
(A) Upon his request, the agency shall refer him to legal resources, including: 
1. Attorney referral services, 
2. Legal aid offices, or
3. Other known public legal assistance.
(3) Alternatives to adoptive placement of the child, should he be successful in obtaining legal custody of the child, including, but not limited to:
(A) Services which would assist him in caring for the child, including:
1. Financial resources such as child support and Temporary Assistance to Needy Families (TANF).
2. Employment resources such as vocational training and Employment Development Department services.
3. Educational resources such as continuation school and General Equivalency Diploma programs.
4. Child care resources, including the availability of subsidized day care.
5. Housing resources such as shared housing with relatives or nonrelatives and government subsidized housing.
6. Health service resources such as well baby clinics, Child Health and Disability Prevention Programs (CHDP), California Children's Services, and Medi-Cal.
(B) Services, such as voluntary foster care placement or temporary placement with extended family members, which would give the parent more time to determine the most appropriate plan for the child.
(4) Alternative forms of adoption, including a description of the full procedures and time frames involved in each type, as described in Section 35129.1(b)(4).
(5) The agency's adoption plan for the child.
(A) The agency shall determine which of the actions in Section 35129.1(c)(1) the alleged natural father wishes to take.
(B) Advise the alleged natural father regarding the extent to which the agency will allow him to participate in the selection of the adoptive family, should he decide to relinquish the child to the agency.
(6) The fact that the agency may petition the court for termination of his parental rights if he seeks to establish paternity or if he takes no action and that he has the right to seek legal counsel to contest and appeal any such action taken by the agency. 
(7) The rights and responsibilities of the alleged natural father as outlined on the Statement of Understanding.
(C) The agency shall review each item on the Statement of Understanding with the alleged natural father to be certain that he understands the meaning of each item.
(D) The agency shall answer any questions the alleged natural father has about the meaning of any items.
NOTE

Authority Cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8621, 8710 and 9202, Family Code. Reference: Sections 1798.24(r) and (s), Civil Code; Sections 8608, 8700, 8701, 8702, 8703, 8704, 8706, 8708, 8709, 8710, 8711, 8714.7, 9202, 9203, 9204 and 9206, Family Code; Section 10850(b), Welfare and Institutions Code; and Section 10439, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 35134 to new section 35129.1 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering and amendment of former section 35134 to new section 35129.1 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including new subsection (b)(4)(A)1.a.(i), amendment of subsection (b)(4)(A)1.b. and amendment of Note,  transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35129.2. Advisement of the Parent Whose Child Has Been Removed from the Parent's Care.
Note     •     History

(a) (Reserved)
(b) When advising a mother or presumed father who is considering the relinquishment of a child who is detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian, the agency shall inform the birth parent of:
(1) The parent's right to seek legal counsel from the attorney representing him or her in the dependency case to assist him or her in the relinquishment process or in regaining custody of the child.
(A) The agency shall encourage the parent to discuss the decision to relinquish with his or her attorney.
(B) The agency shall inform the parent that the agency must follow the notice requirements of Family Code Section 8700(h).
(C) If the child is the subject of a guardianship, the parents shall be referred to legal counsel as specified in Section 35129.1(b)(1).
(2) The reason, if any, the agency believes the parent is a presumed father of the child.
(B) The agency shall explain that if he does not believe he is the father, but agrees to the adoption, he may:
1. Sign a relinquishment document stating that, although he is relinquishing his parental rights, he does not believe that he is the father of the child.
2. File a petition with the court asking the court to determine that he is not the child's father.
(3) The possible availability of child welfare and other services to assist the parent in obtaining the resources and skills necessary to parent the child.
(A) The availability of such services is determined by the child's juvenile court status.
(B) The parent shall be referred to his or her child welfare services social worker if he or she either:
1. Wants more information regarding available services before deciding whether to relinquish the child, or
2. Does not want to relinquish the child.
(C) If the child is the subject of a guardianship established by the juvenile court, the parent shall be referred to the child welfare services social worker or unit that would initiate an action to reestablish dependency pursuant to Welfare and Institutions Code Section 366.3(c).
(D) If the child is the subject of a guardianship established by the probate court, the parent shall be referred to services as specified in Section 35129.1(b)(2).
(4) Alternative forms of adoption, including a description of the full procedures and time frames involved in each type, as described in Section 35129.1(b)(4).
(5) The agency's adoption plan for the child.
(A) The agency shall advise the parent regarding the extent to which the agency will allow his or her participation in the selection of the adoptive family.
(6) The fact that the juvenile court may terminate the parent's parental rights if the court determines that reunification is not possible and that the parent has the right to seek legal counsel from his or her attorney in the dependency case to contest and appeal any such action taken by the court.
(7) The rights and responsibilities of the parent as outlined on the Statement of Understanding.
(C) The agency shall review each item on the Statement of Understanding with the birth parent to be certain that the birth parent understands the meaning of each item.
(D) The agency shall answer any questions the birth parent has about the meaning of any items.
(c) When advising an alleged natural father of a child who is detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian, the agency shall inform the alleged natural father of:
(1) The reason the agency considers him to be the alleged natural father and that he may:
(A) File a petition with the juvenile court to establish paternity if he wishes to take parental responsibility for the child, 
1. If the child is the subject of a guardianship established by the probate court, the petition is filed in the family court.
(B) Deny paternity,
(C) Waive his rights to further notice of the adoption proceedings,
(D) Sign a relinquishment, or
(E) Take no action.
(2) His right to seek legal counsel to assist him in taking any of the actions described in Section 35129.2(b)(1).
(A) Upon his request, the agency shall refer him to legal resources, including:
1. Attorney referral services,
2. Legal aid offices, or
3. Other known public legal assistance.
(3) The possible availability of child welfare and other services to assist the parent in obtaining the resources and skills necessary to parent the child.
(A) The availability of such services is determined by the child's juvenile court status and the father's legal relationship to the child.
(B) The alleged natural father shall be referred to the child's child welfare services social worker if he either:
1. Wants more information regarding available services before deciding whether to relinquish the child, or
2. Does not want to relinquish the child.
(C) If the child is the subject of a guardianship established by the juvenile court, the parent shall be referred to the child welfare services social worker or unit that would initiate an action to reestablish dependency pursuant to Welfare and Institutions Code Section 366.3(c). 
(D) If the child is the subject of a guardianship established by the probate court, the parent shall be referred to services as specified in Section 35129.1(b)(2).
(4) Alternative forms of adoption, including a description of the full procedures and time frames involved in each type, as described in Section 35129.1(b)(4).
(5) The agency's adoption plan for the child.
(A) The agency shall determine which of the actions in Section 35129.2(b)(1) the alleged natural father wishes to take.
(B) Advise the father regarding the extent to which the agency will allow his participation in the selection of the adoptive family.
(6) The fact that the juvenile court may terminate his parental rights if he seeks to establish paternity or if he takes no action and that he has the right to seek legal counsel to contest and appeal any such action taken by the court.
(7) The rights and responsibilities of the alleged natural father as outlined on the Statement of Understanding.
(C) The agency shall review each item on the Statement of Understanding with the alleged natural father to be certain that he understands the meaning of each item.
(D) The agency shall answer any questions the alleged natural father has about the meaning of the items.
NOTE

Authority Cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8621, 8710 and 9202, Family Code. Reference: Sections 1798.24(r) and (s), Civil Code; Sections 8608, 8700, 8701, 8702, 8703, 8704, 8706, 8708, 8709, 8710, 8711, 8714.7, 9202, 9203, 9204 and 9206, Family Code; Section 10850(b), Welfare and Institutions Code; and Section 10439, Health and Safety Code.
HISTORY

1. New section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35129.3. Information and Authorization.
Note     •     History

(a) In addition to the identifying and nonidentifying information provided by the birth parents on the AD 67 and the AD 67A, the agency shall obtain the following information from other individuals or agencies:
(1) Verification of the birth mother's marital history.
(A) When verification of the dissolution of all marriages of the birth mother is not possible, the marriages preceding a verified divorce decree shall be assumed to have been validly dissolved.
(2) Birth parent's medical background, including illnesses, diseases, or defects of a hereditary or genetic nature, as required by Family Code Section 8706, including, if available, the medical history of the birth parent's extended family.
(3) Reports regarding the birth mother from the prenatal physician and the physician who delivered the child, or from the hospital in which the child was born, if available. The reports shall include the following:
(A) Information about medications taken by the birth mother during pregnancy.
(B) Information about complications of pregnancy or delivery.
(4) Existing reports or evaluations regarding the birth parent from medical or mental health professionals and hospitals or institutions in which the birth parent has been an in-patient or out-patient.
(5) If any documentation or oral report indicates that the birth parent may be of Indian ancestry, the agency shall obtain that information required by Section 35357(a) before accepting the relinquishment. 
(b) If the agency receives a report or evaluation that is illegible or the photocopy is unclear, the agency shall return it to the source with a request for a clear, legible copy.
(c) The agency shall document in the adoption case record and in the court report the reason(s) that the agency was unable to obtain any of the reports, documents, or information described in Section 35129.3(a).
(1) The agency shall indicate the name of any such report or documentation that was not obtained and the reason(s) that the information is not part of the child's medical report on the AD 512.
(d) The agency shall attempt to obtain the birth mother's and the birth father's authorization for the release of information prior to fulfilling the requirements of Section 35129.3(a).
(1) The agency shall use the AD 100 to obtain the birth parents' authorizations for the release of information pursuant to this section.
(A) The agency shall indicate on the AD 100, in the space provided, that the prospective adoptive parents and the agency are authorized to receive the information being sought.
(2) On the AD 100, the agency shall advise the birth parent and the source to whom the authorization is to be sent of the following:
(A) All nonidentifying information obtained from the source will be given to the prospective adoptive parents prior to the finalization of adoption.
(B) All nonidentifying information obtained from the source will be given to the adoptive parents of an adoptee under age 18 and to the adult adoptee, upon written request, in post-adoption services.
(C) No identifying information about either the child or his or her birth parents shall be disclosed to the adopting parents or the adult adoptee unless permitted by law.
NOTE

Authority Cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608(a) and 8621, Family Code. Reference: Sections 7600 et seq., 8706, 8715 and 9202, Family Code; Section 10553(e), Welfare and Institutions Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 4. Prerequisites to Accepting a Relinquishment
§35130. Number of Interviews for Parents Considering Relinquishment.
Note     •     History

(a) The agency shall provide a minimum of two face-to-face interviews with a parent who is considering relinquishment and who resides in California.
(1) The required interviews shall be provided over a period of two or more days.
(A) At least one interview shall be held after the birth of the child.
(2) The agency shall provide the relinquishing parent with a sample copy of the relinquishment document and the Statement of Understanding at the first interview for his or her review.
(3) During the interview, the agency shall explain to the parent the purpose of the agency and the services it provides.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. Renumbering and amendment of former section 35129 to new section 35130 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering and amendment of former section 35129 to new section 35130 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. New article 4 heading and Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35131. Before Accepting Relinquishment for Children Under the ICWA.
Note     •     History

(a) Before accepting the parent's relinquishment of the child who comes within the provisions of the ICWA, the agency shall:
(1) Provide birth parent services and advice as appropriate to the category of parent as described at Sections 35129, 35129.1, 35129.2, and 35129.3.
(2) Provide additional services as set forth at Section 35369.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code; and 25 U.S.C. Sections 1901, 1902, 1903, 1911, 1912, 1913, 1914, 1915, 1916 and 1917.
HISTORY

1. New section filed 3-3-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of section heading and section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35133. Counseling Prior to Accepting the Relinquishment.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35134. Category of Parent and Counseling Services.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8621, 8710 and 9202, Family Code. Reference: Sections 1798.24(r) and (s), Civil Code; Sections 8608, 8700, 8701, 8702, 8703, 8704, 8706, 8708, 8709, 8710, 8711, 9202, 9203, 9204 and 9206, Family Code; Section 10850(b), Welfare and Institutions Code; and Section 10439, Health and Safety Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsections (a)(8), (b)(7), (c)(3) and (e)(5) filed 9-8-93; operative 10-7-93 (Register 93, No. 37).
4. Change without regulatory effect amending subsections (a)(2), (a)(5), (a)(7), (b)(2), (b)(3)-(b)(4)(C), (b)(4)(D)-(b)(6), (c)(2) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Renumbering of former section 35134 to new section 35129.1filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Renumbering of former section 35134 to new section 35129.1 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35135. Agency Determinations Before Accepting a Relinquishment.
Note     •     History

(a) Before accepting the parent's relinquishment of a child for adoption, the agency shall determine and document in the case record:
(1) That the parent has chosen the plan of adoption for the child and freely chooses to relinquish the child.
(2) That the agency is able to place the child for adoption.
(3) Whether the child is subject to the provisions of the ICWA.
(A) If the child is subject to the provisions of the ICWA, the agency shall inform the parents of the provisions of the ICWA as set forth in Subchapter 8.
(B) (Reserved)
(4) That the parent has received required services and advisement as appropriate to the category of parents as described in Sections 35129, 35129.1, 35129.2, and 35129.3.
(5) That the parent has the ability to understand the content, nature and effect of signing the relinquishment.
(A) If the agency representative's observation or knowledge of the parent's history or current condition indicates that the parent may not have the ability to understand the content, nature, and effect of signing the relinquishment, the agency representative shall refer the parent to a licensed physician or to a licensed clinical psychologist for an evaluation of the parent's ability to understand prior to accepting the parent's signature on the relinquishment.
1. An evaluation shall be required in at least the following circumstances:
a. The parent is receiving SSI/SSP for mental illness or developmental disability.
b. The parent has received psychiatric treatment and/or medication for mental illness or disease within the past two years.
2. The agency shall obtain a written authorization from the parent for release of the evaluation.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90. (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of section heading and section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 5. Accepting the Relinquishment
§35137. Accepting a Relinquishment After Evaluation.
Note     •     History

(a) The agency shall accept the relinquishment:
(1) Only if the evaluation required at Section 35135(a)(5)(A) establishes the parent's ability to understand the content, nature, and effect of signing the relinquishment.
(2) No later than 30 days after the evaluation required at Section 35135(a)(5)(A) is completed.
(3) From a parent for whom the court has appointed a conservator only if the order of conservatorship specifically allows the parent to relinquish his or her child for adoption and the evaluation required at Section 35135(a)(5)(A) establishes the parent's ability to understand the content, nature, and effect of relinquishing the child to the agency for adoption.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a)(3) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. New article 5 heading filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
§35139. Accepting the Relinquishment of a Newborn Not Subject to the ICWA.
Note     •     History

(a) (Reserved)
(b) The agency shall accept a relinquishment from the parent of a child not subject to the ICWA only after the child is born.
(1) The agency shall accept the mother's relinquishment of a newborn only after she has been medically discharged from he hospital; unless the mother's hospitalization after delivery is extended beyond five days.
(A) The agency shall be permitted to accept the mother's relinquishment of the newborn while the mother is hospitalized after obtaining a written statement from the attending physician that the mother is not suffering from a known physical or mental impairment which would preclude the mother's ability to relinquish the child for adoption.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35141. Filing Options for the Relinquishing Parent.
Note     •     History

(a) The agency representative shall inform all parents:
(1) Of the time frame options for the filing of the signed relinquishment form with the department.
(A) The parent shall be permitted to request that the signed relinquishment form be filed without a holding period.
(B) The parent shall be permitted to have the signed relinquishment form held for a specified period of up to 30 days before the agency submits it to the department for filing.
(2) That the signed relinquishment form will be held more than 30 days if questions about the right of any other parent to the legal custody of the child have not been resolved.
(A) The parent and the agency shall mutually agree in writing to the extended period.
1. The written agreement shall specify the time period the relinquishment form will be held and the reason for holding the form more than 30 days.
2. If the specific number of days cannot be stated in advance, the extended period shall end with the resolution of all other parents' rights to the legal custody of the child as follows:
(i) The agency shall inform the relinquishing parent in writing within three working days of the agency's knowledge of the resolution of the custody issues.
(ii) The extended period shall end five working days after the date of the notice to the relinquishing parent.
3. The written agreement to extend the holding period to more than 30 days shall be signed by the parent and the agency's representative.
(3) That the parent is permitted to revoke his or her relinquishment at any time prior to the expiration of any holding period and at any time before the relinquishment form is filed by the department.
(A) If the last day of any such holding period falls on a weekend or legal holiday, the agency shall permit the parent to revoke the relinquishment on the next working day following the weekend or holiday.
(4) That the agency shall not place the child for adoption prior to the relinquishment form being filed by the department.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a)(3) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35142. Prerequisites to Relinquishment.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 10553 and 10554, Welfare and Institutions Code.
HISTORY

1. Repealer of Article 3 (Sections 30613-30625) and new Article 3 (Sections 30613-30625, not consecutive) filed 12-3-74; effective thirtieth day thereafter (Register 74, No. 49). Issuing agency: Department of Health.
2. Renumbering of Section 30613 to Section 35142 filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
3. Repealer filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
4. Repealer of article 2 heading filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer of article 2 heading refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35143. Relinquishment Form Provided by the Department.
Note     •     History

(a) Providing all other requirements are met, the agency shall only accept a relinquishment on forms provided by the department.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35144. Relinquishment--Content of Form.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 10553 and 10554, Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-4-82; effective thirtieth day thereafter (Register 82, No. 6).
2. Renumbering of Section 30615 to Section 35144 filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
3. Repealer filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
§35145. Identifying Information on the Relinquishment Document.
Note     •     History

(a) The relinquishment document shall provide for identification of:
(1) The child's:
(A) Name as identified on the birth certificate.
1. Any discrepancy between the name of the child on the relinquishment form and on the birth certificate shall be clarified by an affidavit, signed by the authorized representative of the agency who accepted the relinquishment of the child.
(i) The affidavit shall be filed with the court when the court report and relinquishment form are filed.
(ii) A copy of the affidavit shall be sent to the department when the certified copy of the relinquishment form is filed.
(B) Sex.
(C) Birthdate.
(D) Place of birth.
(2) The name of the relinquishing parent.
(3) The agency's name, address, and telephone number.
(4) The name or names of the person or persons with whom the relinquishing parent intends that placement of the child for adoption be made by the agency, if the relinquishing parent chooses to name such person or persons.
(A) If the relinquishing document does not provide for identification of the person or persons, the name or names shall be stated on the AD 922 signed by the relinquishing parent and attached to the relinquishment document, in which case neither page alone shall constitute a valid relinquishment.
1. A relinquishment document to which the AD 922 is attached shall include substantially the following statement: “This relinquishment document includes a second page that names the person or persons with whom I/we intend that the child be placed for adoption.”
(b) When the relinquishing parent does not name the person or persons with whom he or she intends that placement of the child for adoption be made by the agency and the child is not subject to the Indian Child Welfare Act, the following relinquishment document shall be used for taking the relinquishment of:
(1) A Mother or Presumed Father not Denying Paternity:
(A) In California and signing relinquishment in presence of agency accepting relinquishment: AD 501.
(B) In California and signing relinquishment in presence of an agency different from the one accepting the relinquishment: AD 503.
(C) Not in California and not signing before military officer: AD 501A.
(D) Not in California and signing before military officer: AD 504.
(2) A Presumed Father Denying Paternity:
(A) In California and signing relinquishment in presence of agency accepting relinquishment: AD 585.
(B) In California and signing relinquishment in presence of an agency different from the one accepting the relinquishment: AD 583.
(C) Not in California: AD 584.
(3) An Alleged Father not Denying Paternity:
(A) In California: AD 586.
(B) Not in California and not signing before military officer: AD 591.
(C) Not in California and signing before military officer: AD 593.
(4) An Alleged Father Denying Paternity: AD 588.
(5) An Alleged Father Waiving Right to Further Notice: AD 590.
(c) When the relinquishing parent does not name the person or persons with whom he or she intends that placement of the child for adoption be made by the agency and the child is subject to the Indian Child Welfare Act, the following relinquishment document shall be used for taking the relinquishment of:
(1) A Mother or Presumed Father not Denying Paternity:
(A) In California and signing relinquishment in presence of agency accepting relinquishment: AB 864.
(B) In California and signing relinquishment in presence of an agency different from the one accepting the relinquishment: AD 865.
(C) Not in California: AD 863.
(2) A Presumed Father Denying Paternity:
(A) In California and signing relinquishment in presence of agency accepting relinquishment: AD 866.
(B) In California and signing relinquishment in presence of an agency different from the one accepting the relinquishment: AD 873.
(C) Not in California: AD 867.
(3) An Alleged Father not Denying Paternity:
(A) In California: AD 868.
(B) Not in California: AD 862.
(d) When the relinquishing parent names the person or persons with whom he or she intends that placement of the child for adoption be made by the agency the following relinquishment document shall be used for taking the relinquishment of:
(1) A Mother or Presumed Father not Denying Paternity and not Subject to Indian Child Welfare Act:
(A) In California and signing relinquishment in presence of agency accepting relinquishment: AD 921.
(2) An Alleged Father not Denying Paternity and not Subject to Indian Child Welfare Act:
(A) In California: AD 920.
(3) An individual in all other relinquishment circumstances: The relinquishment document listed in Sections 35145(b) or (c) which is appropriate to the relinquishment parent's status and the AD 922.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Repealer of subsection (b) and new subsections (a)(4)-(d)(3) filed 9-8-93; operative 10-7-93 (Register 93, No. 37).
4. Change without regulatory effect amending section and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35146. Witnesses to the Relinquishment.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 10553 and 10554, Welfare and Institutions Code.
HISTORY

1. Renumbering of Section 30617 to Section 35146 filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Repealer filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
§35147. Statement of Understanding for the Parent Whose Child Is Not Subject to the ICWA.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8621 and 9202, Family Code. Reference: Sections 3010, 7500, 7501, 7601, 7602, 7610, 7611, 7612, 7630, 7631, 7632, 7633, 7634, 7660, 7661, 7662, 7663, 7664, 7665, 8600, 8601, 8604, 8605, 8606, 8607, 8608, 8616, 8617, 8618, 8700, 8701, 8702, 8703, 8704, 8706, 8707, 8708, 8709, 9201, 9202, 9203, 9204, 9205 and 9206, Family Code; and Sections 1798.24(r) and (s), Civil Code; Section 621, Evidence Code; Sections 6408 and 6408.5, Probate Code; and Section 16507.5, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment filed 9-8-93; operative 10-7-93 (Register 93, No. 37).
4. Change without regulatory effect amending section and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Renumbering of former section 35147 to new section 35152.1 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Renumbering of former section 35147 to new section 35152.1 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35148. Statement of Understanding for the Parent Whose Child is Subject to the ICWA.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8621 and 9202, Family Code. Reference: Sections 3010, 7601, 7602, 7610, 7611, 7612, 7660, 7661, 7662, 7663, 7664, 7665, 8600, 8601, 8604, 8605, 8606, 8608, 8616, 8617, 8618, 8619, 8700, 8701, 8702, 8704, 8706, 8708, 9100, 9201, 9202, 9203, 9204, 9205 and 9206, Family Code; Sections 1798.24(r) and (s), Civil Code; Sections 6408 and 6408.5, Probate Code; Section 621, Evidence Code; Section 16507.5, Welfare and Institutions Code; and 25 U.S.C. Sections 1901, 1902, 1903, 1911, 1912, 1913, 1914, 1915, 1916 and 1917.
HISTORY

1. Amendment filed 2-4-82; effective thirtieth day thereafter (Register 82, No. 6).
2. Renumbering of section 30621 to section 35148 filed 9-1-87; operative 10-1-87. Ed.
3. Repealer and new section filed 3-9-90; operative 4-8-90 (Register 90, No. 13)
. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
4. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
5. Amendment filed 9-8-93; operative 10-7-93 (Register 93, No. 37).
6. Change without regulatory effect amending section and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
7. Renumbering of former section 35148 to new section 35152.2 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
8. Renumbering of former section 35148 to new section 35152.2 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35149. Accepting the Relinquishment Document.
Note     •     History

(a) The agency shall accept the parent's relinquishment document as follows:
(1) For parents of children who come within the provisions of the ICWA, additional requirements shall be followed in accordance with Subchapter 8, Articles 4 and 5.
(A) (Reserved)
(B) In requests for out-of-state relinquishments of Indian children, the agency shall include instructions to accept the relinquishment in accordance with the requirements of the ICWA.
(2) The relinquishment document shall be signed:
(A) After the Statement of Understanding has been signed pursuant to Section 35149.
(B) In the presence of the agency representative and two witnesses if signed in California.
1. The witnesses shall be at least 18 years of age.
(C) In the presence of an unauthorized child welfare services agency representative or before a notary public if accepted from out-of-state pursuant to Family Code Section 8700(c).
(D) Pursuant to the provisions of Civil Code Section 1183, if signed outside of the United States.
(3) At the time the relinquishment document for adoption is signed, the agency shall:
(A) Request the parent to read and sign the AD 908 pursuant to Family Code Section 8702.
(B) Advise the parent of the provisions of Family Code Section 8701.
(C) Accept the relinquishment by signing the acknowledgment portion of the relinquishment document.
(D) Give the parent a copy of the completed relinquishment document.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 1183, Civil Code; Sections 8700, 8701 and 8702, Family Code; and 25 U.S.C. Sections 1903(1) and 1913.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(2)(C), (a)(3)(A), (a)(3)(B) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order, including renumbering of former section 35149 to section 35151 and renumbering of former section 35151 to section 35149, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35150. Taking of Relinquishment--Competency to Sign.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 10553 and 10554, Welfare and Institutions Code.
HISTORY

1. Amendment of section heading filed 2-4-82; effective thirtieth day thereafter (Register 82, No. 6).
2. Renumbering of Section 30623 to Section 35150 filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
3. Repealer filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
Article 6. Accepting the Statement of Understanding
§35151. Accepting the Statement of Understanding.
Note     •     History

(a) The agency shall accept the parent's Statement of Understanding as follows:
(1) For parents of children who come within the provisions of the ICWA, additional requirements shall be followed in accordance with Subchapter 8, Articles 4 and 5.
(2) The agency shall obtain the parent's signature on the Statement of Understanding after he or she has:
(A) Indicated his or her understanding of the relinquishment process by reading and initialing each explanatory statement on the Statement of Understanding form.
(B) Indicated his or her preference regarding options for the filing of the relinquishment form.
(3) The Statement of Understanding shall be signed:
(A) In the presence of the agency representative and two witness if signed in California.
1. The witnesses shall be at least 18 years of age.
(B) In the presence of an authorized child welfare services agency representative or before a notary public, if signed out-of-state pursuant to Family Code Section 8700(c).
(C) Pursuant to the provisions of Civil Code Section 1183, if signed outside of the United States,
(4) The agency shall give the parent the option of waiting a maximum of 14 calendar days before signing the relinquishment document.
(A) The agency shall complete a new Statement of Understanding if the maximum of 14 calendar days has elapsed and the parent desires to sign the relinquishment document.
(5) After the agency representative signs the Statement of Understanding, the representative shall give the parent a copy of the signed form.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 1183, Civil Code; Section 8700(c), Family Code; and 25 U.S.C. Sections 1903(1) and 1913.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending subsection (a)(3)(B) and Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(2)-(a)(2)(B), (a)(3)(B), (a)(3)(C) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. New article 6 heading and Certificate of Compliance as to 11-24-98 order, including renumbering of former section 35151 to section 35149 and renumbering of former section 35149 to section 35151, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35152. Relinquishment Not Possible by Some Parents with History of Mental Illness or Mental Deficiency.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 10553 and 10554, Welfare and Institutions Code.
HISTORY

1. New section filed 4-19-78; effective thirtieth day thereafter (Register 78, No. 16).
2. Renumbering of Section 30624 to Section 30625 and renumbering of former Section 30625 to Section 30624 filed 2-4-82; effective thirtieth day thereafter (Register 82, No. 6).
3. Renumbering of Section 30624 to Section 35152 filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
4. Repealer filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
§35152.1. Statement of Understanding for the Parent Whose Child Is Not Subject to the ICWA.
Note     •     History

(a) (Reserved)
(b) In addition to the filing options described in Section 35141, the Statement of Understanding shall contain statements which summarize the following:
(1) For a mother or a presumed father of the child who is not detained, a juvenile court dependent in out-of-home care, or the ward of legal guardian:
(A) (Reserved)
(B) The parent has the right to seek legal counsel to assist in the relinquishment process and the agency can refer the parent to public legal assistance in the community.
(C) The agency shall tell the parent its plan for the adoption of the child.
(D) The parent may talk about the plan to relinquish the child with other professionals and with family and friends.
(E) Even if the presumed father states orally or in writing he is not the parent of the child, he is a presumed father under the law and he has legal rights and responsibilities with respect to the child.
(F) Relinquishment means the parent who relinquishes will no longer be the child's legal parent.
(G) The parent may obtain other services to assist with finance, employment, education, housing, temporary child care, and health matters if uncertain about relinquishing the child.
1. The agency will make a referral to the appropriate resource.
(H) The parent has considered the reasons for relinquishing or not relinquishing the child and has decided relinquishing the child to the agency for adoption is in the best interest of the child.
(I) A parent who relinquishes a child gives up the care, custody and control of the child to the adoption agency.
1. If the parent signs a relinquishment document that does not name the adopting parents, the parent gives up the right to select adoptive parents and the adoption agency shall make the final decision regarding who will adopt the child.
2. If the parent signs a relinquishment document that names the adopting parents, the parent has the rights and responsibilities specified in Subdivisions (e), (f) and (g) of Family Code Section 8700.
(J) The adopting parent or parents, the birth relatives, including the birth parent or parents, and the child, if age 12 or older, may enter into an enforceable written agreement to permit continuing contact between the birth relatives, including the birth parent or parents, and the child if:
1. The child is to be adopted by birth relatives, and
2. The court approves the agreement. 
(K) The parent who chooses not to relinquish the child may arrange for the child's adoption by independently choosing adoptive parents, placing the child with them, and consenting to their adoption of the child.
(L) Relinquishment terminates the parent's rights to the custody, services, and earnings of the child.
(M) Relinquishment terminates the parent's responsibility for the care of the child.
(N) Adoption terminates any inheritance from the parents or blood relatives to the child unless they make specific provision for the child by will or by trust; the child legally inherits from his or her adoptive family.
(O) The parent may revoke the signed relinquishment during any holding period and before it is filed by the department and the agency will return the child to his or her custody.
1. Under normal circumstances, the child will be given to the parent within three working days, and in no case shall it require more than seven calendar days.
2. The rights and responsibilities as the child's parent continue unless terminated by other legal action.
3. If return of the child would place the child in imminent danger of neglect, cruelty, depravity, or physical abuse, the agency shall make an immediate referral to the county's children's protective services agency.
a. The agency shall inform the parent in writing a referral has been made to the county's child protective services agency.
(P) A relinquishment shall be final when it is filed and acknowledged by the department and, except when the adopting parent is named on the relinquishment document and the adoption is not completed as described in Section 35152.1(b)(1)(I)2., may be rescinded only if the agency agrees.
1. If the decision is to not rescind, the agency shall inform the parent in writing of the reasons for its decision.
2. If the decision is to rescind, the rights and responsibilities as the child's parent continue unless terminated by other legal action.
a. Under normal circumstances, the child will be given to the parent within three working days, and in no case shall it require more than seven calendar days.
(Q) If the child is a juvenile court dependent or the subject of a petition for juvenile court jurisdiction, the agency is required to follow the notice requirements of Family Code Section 8700(h). 
(R) The agency is required to give the parent all known information about the status of the child's adoption including whether the child has been placed for adoption, the approximate date the adoption was completed and, if the adoption was not completed or was vacated for any reason, whether adoptive placement of the child is again being considered.
1. The parent must keep the agency informed of his or her current whereabouts if he or she wants to know when the child is placed in an adoptive home and when the child is legally adopted.
(S) After the child has been legally adopted, the agency may not return the child to the parent.
(T) The agency may not release any identifying information about the parent unless:
1. The welfare of the child requires the release of information to certain agencies as specified in law relating to the adoption petition, or
2. The adult adoptee and birth parent both sign written consents to arrange contact between these persons in accordance with Family Code Section 9204, or
3. The adoptee who has reached the age of 21 has requested the identity of his or her birth parent and his or her most current address as indicated in the agency's records if the birth parent has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
4. The birth parent of an adopted person who has reached the age of 21 has requested the adopted name of the adoptee and most current address as shown in the agency's records if the adult adoptee has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
5. The adoptive parent of an adopted person under 21 years of age has requested the identity of the birth parent and his or her most current address as shown in the agency's records if there is a finding by the agency a necessity or other extraordinary circumstance justifies the disclosure in accordance with Family Code Section 9203.
(U) The law permits the court to release identifying information from the court adoption file after considering the reasons for the request.
(V) Within five years of the granting of the adoption in court the parent shall have the right to petition the court to set aside the adoption if the relinquishment is obtained through fraud.
(W) The provisions of Section 35130 regarding two face-to-face interviews, the dates the interviews were held and that a copy of the Statement of Understanding and the Relinquishment Document were given to the relinquishing parent at the first interview.
(X) The AD 885 is the Statement of Understanding for a mother or presumed father of the child who is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian and who is not subject to the provisions of the ICWA.
(2) For an alleged natural father of the child who is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian:
(A) (Reserved)
(B) He has the right to seek legal counsel to assist him in the relinquishment process and the agency can refer him to public legal assistance in the community.
(C) He has been told why he is considered to be the alleged natural father of the child and he can deny paternity, waive his rights to further notice of the adoption proceedings, sign a relinquishment, or file a petition to establish the father and child relationship.
(D) The agency shall tell him its plan for the adoption of the child.
(E) He may talk about the plan to relinquish the child with other professionals and with family and friends.
(F) Relinquishment means the parent who relinquishes will no longer be the child's legal parent.
(G) He has considered the reasons for relinquishing or not relinquishing the child and has decided relinquishing the child to the agency for adoption is in the best interest of the child.
(H) When he relinquishes a child, he gives up the care, custody, and control of the child to the adoption agency.
1. If he signs a relinquishment document that does not name the adopting parents, he gives up the right to select adoptive parents and the adoption agency shall make the final decision regarding who will adopt the child.
2. If he signs a relinquishment document that names the adopting parents, he has the rights and responsibilities specified in Subdivisions (e), (f), and (g) of Family Code Section 8700.
(I) The adopting parent or parents, the birth relatives, including the birth parent or parents, and the child, if age 12 or older, may enter into an enforceable written agreement to permit continuing contact between the birth relatives, including the birth parent or parents, and the child if:
(1) The child is to be adopted by birth relatives, and
(2) The court approves the agreement.
(J) The relinquishment terminates his rights to the custody, services, and earnings of the child.
(K) Relinquishment terminates his responsibility for the care of the child.
(L) Adoption terminates any inheritance from the parents or blood relatives of the child unless they make specific provision for the child by will or by trust; the child legally inherits from his or her adoptive family.
(M) If he does not relinquish the child to the adoption agency, the agency may petition the court to terminate his parental rights.
1. He has the right to seek legal counsel to assist him and the agency can refer him to public legal assistance in the community.
(N) He may revoke the signed relinquishment during any holding period and before it is filed by the department.
1. The rights and responsibilities as the child's alleged natural father continue unless terminated by other legal action.
(O) A relinquishment shall be final when it is filed and acknowledged by the department and, except when the adopting parent is named on the relinquishment document and the adoption is not completed as described in Section 35152.1(b)(2)(H)(2)., may be rescinded only if the agency agrees.
1. If the decision is to not rescind, the agency shall inform him in writing of the reasons for its decision.
2. If the decision is to rescind, he will have to establish the father and child relationship in court if he wishes to parent the child.
(P) If the child is a dependent of the juvenile court or the subject of a petition for juvenile court jurisdiction, the agency is required to follow the notice requirements of Family Code Section 8700(h).
(Q) The agency is required to give him all known information about the status of the child's adoption including whether the child has been placed for adoption, the approximate date the adoption was completed and, if the adoption was not completed or was vacated for any reason, whether adoptive placement of the child is again being considered.
1. He must keep the agency informed of his current whereabouts if he wants to know when the child is placed in an adoptive home and when the child is legally adopted.
(R) After the child has been legally adopted, the agency may not return the child.
(S) The agency may not release any identifying information about him unless:
1. The welfare of the child requires the release of information to certain agencies as specified in law relating to the adoption petition, or
2. The adult adoptee and he both sign written consents to arrange contact between them in accordance with Family Code Section 9204, or
3. The adoptee who has reached the age of 21 has requested the identity of his or her birth parent and his or her most current address as indicated in the agency's records if the birth parent has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
4. The birth parent of an adopted person who has reached the age of 21 has requested the adopted name of the adoptee and most current address as shown in the agency's records if the adult adoptee has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
5. The adoptive parents of an adopted person under 21 years of age has requested the identity of the birth parent and his or her most current address as shown in the agency's records if there is a finding by the agency a necessity or other extraordinary circumstance justifies the disclosure in accordance with Family Code Section 9203.
(T) The law permits the court to release identifying information from the court adoption file after considering the reasons for the request.
(U) Within five years of the granting of the adoption in court the parent shall have the right to petition the court to set aside the adoption if the relinquishment is obtained through fraud.
(V) The provisions of Section 35130 regarding two face-to-face interviews, the dates the interviews were held and that a copy of the Statement of Understanding and the Relinquishment Document were given to the relinquishing parent at the first interview.
(W) He may take court action to establish the father and child relationship and request the right to physical custody of the child.
1. He has the right to seek legal counsel to assist in establishing the father and child relationship and in obtaining the right to physical custody of the child and the adoption agency can refer him to public legal assistance in the community.
(X) If he is successful in establishing the father and child relationship and obtaining the right to physical custody of the child, he may obtain other services to assist with finance, employment, education, housing, temporary child care, and health matters.
1. The agency will make a referral to the appropriate resource.
(Y) If he establishes the father and child relationship in court and obtains the right to physical custody of the child and chooses not to relinquish the child to the agency he may arrange for the child's adoption independently by choosing adoptive parents, placing the child with them and consenting to their adoption of the child.
(Z) If he has established the father and child relationship and has been granted the right to physical custody of the child in court, the agency shall give him the child pursuant to the court order.
1. Under normal circumstances the child will be given to him within three working days and in no case shall it require more than seven calendar days.
2. If the return of the child will place the child in imminent danger of neglect, cruelty, depravity, or physical abuse the agency shall make an immediate referral to the county's children's protective services.
a. The agency shall inform the parent in writing that a referral has been made to the county's child protective services agency.
(AA) The AD 885C is the Statement of Understanding for an alleged natural father of the child who is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian and who is not subject to the provisions of the ICWA.
(3) For a mother or a presumed father of the child who is detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian:
(A) (Reserved)
(B) The parent has the right to seek legal counsel to assist in the relinquishment process from the attorney representing him or her in the dependency case.
(C) The agency shall tell the parent its plan for the adoption of the child.
(D) The parent may talk about the plan to relinquish the child with other professionals and with family and friends.
(E) Even if the presumed father states orally or in writing he is not the parent of the child, he is a presumed father under the law and he has legal rights and responsibilities with respect to the child.
(F) Relinquishment means the parent who relinquishes will no longer be the child's legal parent.
(G) The parent has considered the reasons for relinquishing or not relinquishing the child and has decided relinquishing the child to the agency for adoption is in the best interest of the child.
(H) A parent who relinquishes a child gives up the care, custody and control of the child to the adoption agency.
1. If the parent signs a relinquishment document that does not name the adopting parents, the parent gives up the right to select adoptive parents and the adoption agency shall make the final decision regarding who will adopt the child.
2. If the parent signs a relinquishment document that names the adopting parents, the parent has the rights and responsibility specified in Subdivision (e), (f), and (g) of Family Code Section 8700.
(I) The adopting parent or parents, the birth relatives, including the birth parent or parents, and the child, if age 12 or older, may enter into an enforceable written agreement to permit continuing contact between the birth relatives, including the birth parent or parents, and the child if:
1. The child is to be adopted by birth relatives, and
2. The court approves the agreement.
(J) Relinquishment terminates the parent's rights to the custody, services, and earnings of the child.
(K) Relinquishment terminates the parent's responsibility for the care of the child.
(L) Adoption terminates any inheritance from the parents or blood relatives to the child unless they make specific provision for the child by will or by trust; the child legally inherits from his or her adoptive family.
(M) The parent may revoke the signed relinquishment during any holding period and before it is filed by the department.
1. The rights and responsibilities as the child's parent continue unless terminated by other legal action.
2. The child will remain a juvenile court dependent and any terms and/or conditions which result from the child's status as a juvenile court dependent remain in effect.
a. The agency shall immediately notify the county welfare department.
(N) A relinquishment shall be final when it is filed and acknowledged by the department and, except when the adopting parent is named on the relinquishment document and the adoption is not completed as described in Section 35152.1(b)(3)(H)2., may be rescinded only if the agency agrees.
1. If the decision is to not rescind, the agency shall inform the parent in writing of the reasons for its decision.
2. If the decision is to rescind, the child will remain a juvenile court dependent and any terms and/or conditions which result from the child's status as a juvenile court dependent remain in effect.
a. The agency shall immediately notify the county welfare department.
(Q) The agency is required to follow the notice requirements of Family Code Section 8700(h).
(P) The agency is required to give the parent all known information about the status of the child's adoption including whether the child has been placed for adoption, the approximate date the adoption was completed and, if the adoption was not completed or was vacated for any reason, whether adoptive placement of the child is again being considered.
1. The parent must keep the agency informed of his or her current whereabouts if he or she wants to know when the child is placed in an adoptive home and when the child is legally adopted.
(Q) After the child has been legally adopted, the agency may not return the child to the parent.
(R) The agency may not release any identifying information about the parent unless:
1. The welfare of the child requires the release of information to certain agencies as specified in law relating to any adoption petition, or
2. The adult adoptee and birth parent both sign written consents to arrange contact between these persons in accordance with Family Code Section 9204, or
3. The adoptee who has reached the age of 21 has requested the identity of his or her birth parent and his/her most current address as indicated in the agency's records if the birth parent has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
4. The birth parent of an adopted person who has reached the age of 21 has requested the adopted name of the adoptee and most current address as shown in the agency's records if the adult adoptee has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
5. The adoptive parent of an adopted person under 21 years of age has requested the identify of the birth parent and his or her most current address as shown in the agency's records if there is a finding by the agency a necessity or other extraordinary circumstance justifies the disclosure in accordance with Family Code Section 9203.
(S) The law permits the court to release identifying information from the court adoption file after considering the reasons for the request.
(T) Within five years of the granting of the adoption in court the parent shall have the right to petition the court to set aside the adoption if the relinquishment is obtained through fraud.
(U) The provisions of Section 35130 regarding two face-to-face interviews, the dates the interviews were held and that a copy of the Statement of Understanding and the Relinquishment Document were given to the relinquishing parent at the first interview.
(V) If the parent does not want his or her child to be adopted or needs more information about the child's status or available child welfare services, he or she should not sign the relinquishment document but should consult the child welfare services social worker and his or her attorney regarding steps to take to regain custody of the child.
1. If the parent is successful in regaining custody of the child, the parent may obtain other services to assist with finance, employment, education, housing, temporary child care, and health matters.
2. A parent who has regained custody of a child who is a dependent of the court may, after regaining custody, voluntarily place the child for an agency or an independent adoption.
(W) If the child is living with a legal guardian and the parent does not have an attorney appointed by the juvenile court, the adoption agency shall refer the parent to public assistance in the community.
(X) If the child is living with a legal guardian and the child does not have a child welfare services social worker, the adoption agency shall refer the parent to community services which may assist him or her with financial, employment, educational, housing, temporary child care and health care needs. 
(Y) The AD 885A is the Statement of Understanding for a mother or presumed father of the child who is detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian and who is not subject to the provisions of the ICWA.
(4) For an alleged natural father of the child who is detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian:
(B) He has the right to seek legal counsel to assist him in the relinquishment process.
1. If he has a court appointed attorney representing him in the juvenile court proceedings, that attorney may be able to assist him in the relinquishment process.
2. If he does not have attorney representation, the agency can refer him to public legal assistance in the community.
(C) He has been told why he is considered to be the alleged natural father of the child and that he can deny paternity, waive his rights to further notice of the adoption proceedings, sign a relinquishment, or file a petition in the juvenile court to establish the father and child relationship.
(D) The agency shall tell him its plan for the adoption of the child.
(E) He may talk about the plan to relinquish the child with other professionals and with family and friends.
(F) Relinquishment means the parent who relinquishes will no longer be the child's legal parent.
(G) He has considered the reasons for relinquishing or not relinquishing the child and has decided relinquishing the child to the agency for adoption is in the best interest of the child.
(H) When he relinquishes a child, he gives up the care, custody, and control of the child to the adoption agency.
1. If he signs a relinquishment document that does not name the adopting parents, he gives up the right to select adoptive parents and the adoption agency shall make the final decision regarding who will adopt the child.
2. If he signs a relinquishment document that names the adopting parents, he has the rights and responsibilities specified in Subdivisions (e), (f), and (g) of Family Code Section 8700.
(I) The adopting parent or parents, the birth relatives, including the birth parent or parents, and the child, if age 12 or older, may enter into an enforceable written agreement to permit continuing contact between the birth relatives, including the birth parent or parents, and the child if:
(1) The child is to be adopted by birth relatives, and
(2) The court approves the agreement.
(J) Relinquishment terminates his rights to the custody, services, and earnings of the child.
(K) Relinquishment terminates his responsibility for the care of the child.
(L) Adoption terminates any inheritance from the parents or blood relatives of the child unless they make specific provision for the child by will or by trust; the child legally inherits from his adoptive family.
(M) If he does not relinquish the child to the adoption agency, the juvenile court may terminate his parental rights.
1. He has the right to seek legal counsel to assist him and the agency can refer him to public legal assistance in the community.
(N) He may revoke the signed relinquishment during any holding period and before it is filed by the department.
1. The rights and responsibilities as the child's alleged natural father continue unless terminated by other legal action.
2. The child will remain a juvenile court dependent and any terms and/or conditions which result from the child's status as a juvenile court dependent remain in effect.
a. The agency shall immediately notify the county welfare department.
(O) A relinquishment shall be final when it is filed and acknowledged by the department and, except when the adopting parent is named on the relinquishment document and the adoption is not completed as described in Section 35152.1(b)(4)(H)2., may be rescinded only if the agency agrees.
1. If the decision is not to rescind, the agency shall inform him in writing of the reasons for its decision.
2. If the decision is to rescind, he will have to establish the father and child relationship in juvenile court if he wishes to parent the child.
a. The agency shall immediately notify the county welfare department.
(P) The agency is required to follow the notice requirements of Family Code Section 8700(h).
(Q) The agency is required to give him all known information about the status of the child's adoption including whether the child has been placed for adoption, the approximate date the adoption was completed and, if the adoption was not completed or was vacated for any reason, whether adoptive placement of the child is again being considered.
1. He must keep the agency informed of his current whereabouts if he wants to know when the child is placed in an adoptive home and when the child is legally adopted.
(R) After the child has been legally adopted, the agency may not return the child.
(S) The agency may not release any identifying information about the parent unless:
1. The welfare of the child requires the release of information to certain agencies as specified in law relating to any adoption petition, or
2. The adult adoptee and he both sign written consents to arrange contact between them in accordance with Family Code Section 9204, or
3. The adoptee who has reached the age of 21 has requested the identity of his or her birth parent and his or her most current address as indicated in the agency's records if the birth parent has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
4. The birth parent of an adopted person who has reached the age of 21 has requested the adopted name of the adoptee and most current address as shown in the agency's records if the adult adoptee has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
5. The adoptive parent of an adopted person under 21 years of age has requested the identity of the birth parent and his or her most current address as shown in the agency's records if there is a finding by the agency a necessity or other extraordinary circumstance justifies the disclosure in accordance with Family Code Section 9203.
(T) The law permits the court to release identifying information from the court adoption file after considering the reasons for the request.
(U) Within five years of the granting of the adoption in court the parent shall have the right to petition the court to set aside the adoption if the relinquishment is obtained through fraud.
(V) The provisions of Section 35130 regarding two face-to-face interviews, the dates the interviews were held and that a copy of the Statement of Understanding and the Relinquishment Document were given to the relinquishing parent at the first interview.
(W) If he does not want his child to be adopted or needs more information about the child's status or available child welfare services, he or she should not sign the relinquishment document but should consult the child welfare services social worker and his attorney regarding steps to take to regain custody of the child.
1. If he is successful in gaining custody of the child, the parent may obtain other services to assist with finance, employment, education, housing, temporary child care, and health matters.
2. A parent who has gained custody of a child who is a dependent of the court may, after gaining custody, voluntarily place the child for an agency or an independent adoption.
3. If the child is living with a legal guardian and the child does not have a child welfare services social worker, the adoption agency can refer the parent to community services which may assist him or her with finance, employment, education, housing, temporary child care and health care needs.
(X) The AD 885D is the Statement of Understanding for an alleged natural father of the child who is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian and who is not subject to the provisions of the ICWA.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8621 and 9202, Family Code. Reference: Sections 3010, 7500, 7501, 7601, 7602, 7610, 7611, 7612, 7630, 7631, 7632, 7633, 7634, 7660, 7661, 7662, 7663, 7664, 7665, 8600, 8601, 8604, 8605, 8606, 8607, 8608, 8616, 8617, 8618, 8700, 8701, 8702, 8703, 8704, 8706, 8707, 8708, 8709, 8714.7, 9201, 9202, 9203, 9204, 9205 and 9206, Family Code; and Sections 1798.24(r) and (s), Civil Code; Section 621, Evidence Code; Sections 6408 and 6408.5, Probate Code; and Sections 316.2 and 16507.5, Welfare and Institutions Code.
HISTORY

1. New article 5 (sections 35152.1-35152.2) and renumbering and amendment of former section 35147 to new section 35152.1 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 35152.1 and 35152.2) and renumbering and amendment of former section 35147 to new section 35152.1 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Repealer of article 5 heading and Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35152.2. Statement of Understanding for the Parent Whose Child is Subject to the ICWA.
Note     •     History

(a) (Reserved)
(b) In addition to the filing options described in Section 35141, the Statement of Understanding shall contain statements which summarize the following:
(1) For a mother or a presumed father of the child who is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian and who is subject to the provisions of the ICWA:
(A) (Reserved)
(B) The parent has the right to seek legal counsel to assist in the relinquishment process and the agency can refer the parent to public legal assistance in the community.
(C) Because the child has been determined to be an Indian child, the requirements of the ICWA will apply to the taking of the relinquishment and the adoption of the child.
(D) The agency shall tell the parent its plan for the adoption of the child.
(E) The parent may talk about the plan to relinquish the child with other professionals and with family and friends.
(F) Even if the presumed father states orally or in writing he is not the parent of the child, he is a presumed father under the law and he has legal rights and responsibilities with respect to the child.
(G) Relinquishment means the parent who relinquishes will no longer be the child's legal parent.
(H) The parent may obtain other services to assist with finance, employment, education, housing, temporary child care, and health matters if uncertain about relinquishing the child.
1. The agency will make a referral to the appropriate resource.
(I) The parent has considered the reasons for relinquishing or not relinquishing the child and has decided relinquishing the child to the agency for adoption is in the best interest of the child.
(J) A parent who relinquishes a child gives up the care, custody and control of the child to the adoption agency.
1. If the parent signs a relinquishment document that does not name the adopting parents, the parent gives up the right to select adoptive parents and the adoption agency shall make the final decision regarding who will adopt the child.
2. If the parent signs a relinquishment document that names the adopting parents, the parent has the rights and responsibilities specified in Subdivisions (e), (f), and (g) of Family Code Section 8700.
(K) The adopting parent or parents, the birth relatives, including the birth parent or parents, and the child, if age 12 or older, may enter into an enforceable written agreement to permit continuing contact between the birth relatives, including the birth parent or parents, and the child if:
1. The child is to be adopted by birth relatives, and
2. The court approves the agreement.
(L) The parent who chooses not to relinquish the child may arrange for the child's adoption by independently choosing adoptive parents, placing the child with them, and consenting to their adoption of the child.
(M) Relinquishment terminates the parent's rights to the custody, services, and earnings of the child.
(N) Relinquishment terminates the parent's responsibility for the care of the child.
(O) Adoption terminates any inheritance from the parents or blood relatives to the child unless they make specific provision for the child by will or by trust; the child legally inherits from his or her adoptive family.
(P) The relinquishment document shall be signed before a judge of the Superior Court in California, or before a court of competent jurisdiction if signed outside the state.
(Q) If the child is a juvenile court dependent or the subject of a petition for juvenile court jurisdiction, the agency is required to follow the notice requirements of Family Code Section 8700(h).
(R) The agency is required to give the parent all known information about the status of the child's adoption including whether the child has been placed for adoption, the approximate date the adoption was completed and, if the adoption was not completed or was vacated for any reason, whether adoptive placement of the child is again being considered.
1. The parent must keep the agency informed of his or her current whereabouts if he or she wants to know when the child is placed in an adoptive home and when the child is legally adopted.
(S) After the child has been legally adopted the agency may not return the child to the parent.
(T) The agency may not release any identifying information about the parent unless:
1. The welfare of the child requires the release of information to certain agencies as specified in law relating to the adoption petition, or
2. The adult adoptee and birth parent both sign written consents to arrange contact between these persons in accordance with Family Code Section 9204, or
3. The adoptee who has reached the age of 21 has requested the identity of his or her birth parent and his or her most current address as indicated in the agency's records if the birth parent has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
4. The birth parent of an adopted person who has reached the age of 21 has requested the adopted name of the adoptee and most current address as shown in the agency's records of the adult adoptee has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
5. The adoptive parent of an adopted person under 21 years of age has requested the identity of the birth parent and his or her most current address as shown in the agency's records if there is a finding by the agency a necessity or other extraordinary circumstance justifies the disclosure in accordance with Family Code Section 9203.
(U) Information regarding the adoption may be released as follows:
1. The adopted child who has reached age 18 may request and receive from the court which granted the adoption information regarding the tribal affiliation of the birth parent and any other information necessary to protect any rights the adopted child may have with regard to his or her tribal relationship.
2. The court granting the adoption will release to the Secretary of the Interior information concerning the adoption and the child, the adoptive parents, the birth parents, and the agency having information concerning the adoptive placement. The parent who desires anonymity with the court. The ICWA requires the Secretary of the Interior to ensure confidentiality will be maintained; however, tribes do not always maintain confidentiality if they know of the adoption.
3. At the request of the adopted child over age 18, the adoptive parents or the Indian tribe, the Secretary of the Interior will release the information provided by the court to the extent necessary to enroll the adopted person in the tribe or to determine any rights or benefits associated with tribal membership. If the parent submitted an affidavit to the court requesting anonymity, the Secretary will certify, where information warrants, that the child is entitled to enrollment rather than release the information.
4. Upon request of the Bureau of Indian Affairs or an adopted child who has reached age 18, the department will make a copy of all documents pertaining to the degree of Indian blood and tribal enrollment available to the requestor.
(V) The law permits the court to release identifying information from the court adoption file after considering the reasons for the request.
(W) There is a required order of placement preference as follows:
1. Someone from the child's extended family,
2. Someone from the child's tribe, or
3. Placement with another Indian family.
(X) The placement preference may be modified only by the tribe or the court.
1. The parent may request the court to modify the order of placement preference.
(Y) The parent shall be permitted to revoke or rescind the relinquishment during any holding period at any time before the adoption is granted by the court.
(Z) Upon the request of a parent who gave physical custody of the child to the agency to revoke or rescind his or her relinquishment, the agency will return the child to his or her custody.
1. Under normal circumstances the child will be given to the parent within three working days and in no case shall it require more than seven calendar days.
a. If there is a question about which parent has the right to the physical custody of the child, the agency shall initiate court action to determine which parent has a right to the physical custody of the child.
2. The rights and responsibilities as the child's parent continue unless terminated by other legal action.
3. If the return of the child would place the child in imminent danger of neglect, cruelty, depravity, or physical abuse, the agency shall make an immediate referral to the county's children's protective services agency.
a. The agency shall inform the parent in writing that a referral has been made to the county's child protective services agency.
(AA) The parent will be notified if any other parent revokes or rescinds his or her relinquishment and of any court proceedings resulting from the revocation or rescission.
1. The parent is responsible for keeping his or her name and address current with the agency so notice can be given.
(BB) If there is court action to terminate parental rights, the agency shall notify the child's tribe and the tribe may intervene in the proceedings.
(CC) The agency shall notify the parent if the adoption petition is withdrawn, dismissed, or denied or if the adoption is set aside.
1. The parent is responsible for keeping his or her name and address current with the agency so notice can be given.
(DD) Upon petition of either parent or the child's tribe, court proceedings to terminate parental rights will be transferred to the jurisdiction of the tribal court, provided:
1. The child's tribe has a court with jurisdiction to hear child custody proceedings.
2. The California court finds no good cause not to transfer the proceeding to the Indian tribe,
3. No other parent objects, and
4. The tribe does not decline the transfer.
(EE) The agency shall take the necessary steps to obtain a Certificate of Degree of Indian Blood for the child, to enroll the child in his or her tribe or to register him or her for any Bureau of Indian Affairs' benefits which he or she may be eligible.
(FF) Within five years of the granting of the adoption in court the parent shall have the right to petition the court to set aside the adoption if the relinquishment is obtained through fraud.
(GG) The parent may petition the court to invalidate any action terminating parental rights if the termination procedures did not comply with the ICWA.
(HH) The provisions of Section 35130 regarding two face-to-face interviews, the dates the interviews were held and that a copy of the Statement of Understanding and the Relinquishment Document were given to the relinquishing parent at the first interview.
(II) The AD 899 is the Statement of Understanding for a mother or a presumed father of the child who is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian, and who is subject to the provisions of the ICWA.
(2) For an alleged natural father of the child who is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian, and who is subject to the provisions of the ICWA through the mother's tribe:
(A) (Reserved)
(B) He has the right to seek legal counsel to assist him in the relinquishment process and the agency can refer him to public legal assistance in the community.
(C) Because the child has been determined to be an Indian child, the requirements of the ICWA will apply to the taking of the relinquishment and the adoption of the child.
(D) He has been told why he is considered to be the alleged natural father of the child and he can deny paternity, waive his rights to further notice of the adoption proceedings, sign a relinquishment or file a petition to establish the father and child relationship.
(E) The agency shall tell him its plan for the adoption of the child.
(F) He may talk about the plan to relinquish the child with other professionals and with family and friends.
(G) Relinquishment means the parent who relinquishes will no longer be the child's legal parent.
(H) He has considered the reasons for relinquishing or not relinquishing the child and has decided relinquishing the child to the agency for adoption is in the best interest of the child.
(I) When he relinquishes a child, he gives up the care, custody, and control of the child to the adoption agency.
1. If he signs a relinquishment document that does not name the adopting parents, he gives up the right to select adoptive parents and the adoption agency shell make the final decision regarding who will adopt the child.
2. If he signs a relinquishment document that names the adopting parents, he has the rights and responsibilities specified in Subdivisions (e), (f), and (g) of Family Code Section 8700.
(J) The adopting parent or parents, the birth relatives, including the birth parent or parents, and the child, if age 12 or older, may enter into an enforceable written agreement to permit continuing contact between the birth relatives, including the birth parent or parents, and the child if:
1. The child is to be adopted by birth relatives, and
2. The court approves the agreement. 
(K) The relinquishment terminates his rights to the custody, services, and earnings of the child.
(L) Relinquishment terminates his responsibility for the care of the child.
(M) Adoption terminates any inheritance from the parents or blood relatives of the child unless they make specific provision for the child by will or by trust; the child legally inherits from his or her adoptive family.
(N) He shall be permitted to revoke or rescind the relinquishment during any holding period and at any time before the adoption is granted by the court.
1. (Reserved)
2. His rights and responsibilities as the child's alleged natural father continue unless terminated by other legal action.
(O) If he does not relinquish the child to the adoption agency, the agency may petition the court to terminate his parental rights.
1. He has the right to seek legal counsel to assist him and the agency can refer him to public legal assistance in the community.
(P) The relinquishment document shall be signed before a judge of the Superior Court in California, or before a court of competent jurisdiction if signed outside the state.
(Q) If the child is a juvenile court dependent or the subject of a petition for juvenile court jurisdiction, the agency is required to follow the notice requirements of Family Code Section 8700(h).
(R) The agency is required to give him all known information about the status of the child's adoption including whether the child has been placed for adoption, the approximate date the adoption was completed and, if the adoption was not completed or was vacated for any reason, whether adoptive placement of the child is again being considered.
1. He must keep the agency informed of his current whereabouts if he wants to know when the child is placed in an adoptive home and when the child is legally adopted.
(S) After the child has been legally adopted, the agency may not return the child.
(T) The agency may not release any identifying information about him unless:
1. The welfare of the child requires the release of information to certain agencies as specified in law relating to the adoption petition, or
2. The adult adoptee and he both sign written consents to arrange contact between them in accordance with Family Code Section 9204, or
3. The adoptee who has reached the age of 21 has requested the identity of his or her birth parent and his or her most current address as indicated in the agency's records if the birth parent has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
4. The birth parent of an adopted person who has reached the age of 21 has requested the adopted name of the adoptee and most current address as shown in the agency's records if the adult adoptee has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
5. The adoptive parent of an adopted person under 21 years of age has requested the identity of the birth parent and his or her most current address as shown in the agency's records if there is a finding by the agency a necessity or other extraordinary circumstance justifies the disclosure in accordance with Family Code Section 9203.
(U) Information regarding the adoption may be released as follows:
1. The adopted child who has reached age 18 may request and receive from the court which granted the adoption information regarding the tribal affiliation of the birth parent and any other information necessary to protect any rights the adopted child may have with regard to his or her tribal relationship.
2. The court granting the adoption will release to the Secretary of the Interior information concerning the adoption and the child, the adoptive parents, the birth parents, and the agency having information concerning the adoptive placement. The parent who desires anonymity must file an affidavit requesting anonymity with the court. The ICWA requires the Secretary of the Interior to ensure confidentiality will be maintained; however, tribes do not always maintain confidentiality if they know of the adoption.
3. At the request of the adopted child over age 18, the adoptive parents or the Indian tribe, the Secretary of the Interior will release the information provided by the court to the extent necessary to enroll the adopted person in the tribe or to determine any rights or benefits associated with tribal membership. If the parent submitted an affidavit to the court requesting anonymity, the Secretary will certify, where information warrants, that the child is entitled to enrollment rather than release the information.
4. Upon request of the Bureau of Indian Affairs or an adopted child who has reached age 18, the department will make a copy of all documents pertaining to the degree of Indian blood and tribal enrollment available to the requestor.
(V) The law permits the court to release identifying information from the court adoption file after considering the reasons for the request.
(W) Within five years of the granting of the adoption in court the parent shall have the right to petition the court to set aside the adoption if the relinquishment is obtained through fraud.
(X) The provisions of Section 35130 regarding two face-to-face interviews, the dates the interviews were held and that a copy of the Statement of Understanding and the Relinquishment Document were given to the relinquishing parent at the first interview.
(Y) He may take court action to establish the father and child relationship and request custody of the child.
1. He has the right to seek legal counsel to assist in establishing the father and child relationship and obtaining the right to physical custody of the child and the adoption agency can refer him to public legal assistance in the community,
(Z) If he is successful in establishing the father and child relationship and obtaining the right to physical custody of the child, he may obtain other services to assist with finance, employment, education, housing, temporary child care, and health matters.
1. The agency will make a referral to the appropriate resource.
(AA) If he establishes the father and child relationship in court and obtains the right to physical custody of the child and chooses not to relinquish the child to the agency he may arrange for the child's adoption independently by choosing adoptive parents, placing the child with them and consenting to their adoption of the child.
(BB) If he has established the father and child relationship in court and obtains the right to physical custody of the child and chooses not to relinquish the child to the agency he may arrange for the child's adoption independently by choosing adoptive parents, placing the child with them and consenting to their adoption of the child.
1. Under normal circumstances the child will be given to him within three working days and in no case shall it require more than seven calendar days.
2. If the return of the child will place the child in imminent danger of neglect, cruelty, depravity or physical abuse the agency shall make an immediate referral to the county's children's protective services.
a. The agency shall inform the parent in writing a referral has been made to the county's child protective services agency.
(CC) There is a required order of placement preference as follows:
1. Someone from the child's extended family,
2. Someone from the child's tribe, or
3. Placement with another Indian family.
(DD) The placement preference may be modified only by the tribe or the court.
1. The parent may request the court to modify the order of placement preference.
(EE) Upon the request of a parent who gave physical custody of the child to the agency to revoke or rescind his or her relinquishment, the agency will return the child to his or her custody.
1. Under normal circumstances the child will be given to the parent within three working days and in no case shall the return of the child require more than seven calendar days.
2. The rights and responsibilities as the child's parent continue unless terminated by other legal action.
3. If return of the child would place the child in imminent danger of neglect, cruelty, depravity, or physical abuse, the agency shall make an immediate referral to the county's children's protective services agency.
a. The agency shall inform the parent in writing a referral has been made to the county's child protective services agency.
(FF) If a relinquishment for adoption is revoked or rescinded by a parent who has been denied the right to physical custody of the child by a court order, the agency shall:
1. Initiate court action to determine whether the parent has a right to physical custody of the child.
2. Notify any other parents whose relinquishment has been filed by the department of the revocation or rescission of the relinquishment and of any planned court proceedings resulting from the request.
(GG) If there is a court action to terminate parental rights of a parent, the agency shall notify the child's tribe and the tribe may intervene in the proceedings.
(HH) The agency shall notify the parent if the adoption petition is withdrawn, dismissed, or denied or if the adoption is set aside.
1. The parent is responsible for keeping his or her name and address current with the agency so notice can be given.
(II) Upon petition of either parent or the child's tribe, court proceedings to terminate parental rights will be transferred to the jurisdiction of the tribal court, provided:
1. The child's tribe has a court with jurisdiction to hear child custody proceedings,
2. The California court finds no good cause not to transfer the proceeding to the Indian tribe,
3. No other parent objects, and
4. The tribe does not decline the transfer.
(JJ) The agency shall take the necessary steps to obtain a Certificate of Degree of Indian blood for the child, to enroll the child in his or her tribe or to register him or her for any Bureau of Indian Affairs' benefits which he/she may be eligible.
(KK) The parent may petition the court to invalidate any action terminating parental rights if termination procedures did not comply with the ICWA.
(LL) The AD 899C is the Statement of Understanding for an alleged natural father of the child and who is not detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian and who is subject to the provisions of the ICWA through the mother's tribe.
(3) For a mother or a presumed father of the child who is detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian and who is subject to the provisions of the ICWA:
(A) (Reserved)
(B) The parent has the right to seek legal counsel to assist in the relinquishment process from the attorney representing him or her in the dependency case.
(C) The agency shall tell the parent its plan for the adoption of the child.
(D) Because the child has been determined to be an Indian child, the requirements of the ICWA will apply to the taking of the relinquishment and the adoption of the child.
(E) The parent may talk about the plan to relinquish the child with other professionals and with family and friends.
(F) Even if the presumed father states orally or in writing that he is not the parent of the child, he is a presumed father under the law and he has legal rights and responsibilities with respect to the child.
(G) Relinquishment means the parent who relinquishes will no longer be the child's legal parent.
(H) The parent has considered the reasons for relinquishing or not relinquishing the child and has decided relinquishing the child to the agency for adoption is in the best interest of the child.
(I) A parent who relinquishes a child gives up the care, custody and control of the child to the adoption agency.
1. If the parent signs a relinquishment document that does not name the adopting parents, the parent gives up the right to select adoptive parents and the adoption agency shall make the final decision regarding who will adopt the child.
2. If the parent signs a relinquishment document that names the adopting parents, the parent has the rights and responsibilities specified in Subdivisions (e), (f), and (g) of Family Code Section 8700.
(J) The adopting parent or parents, the birth relatives, including the birth parent or parents, and the child, if age 12 or older, may enter into an enforceable written agreement to permit continuing contact between the birth relatives, including the birth parent or parents, and the child if:
1. The child is to be adopted by birth relatives, and
2. The court approves the agreement. 
(K) Relinquishment terminates the parent's rights to the custody, services, and earnings of the child.
(L) Relinquishment terminates the parent's responsibility for the care of the child.
(M) Adoption terminates any inheritance from the parents or blood relatives to the child unless they make specific provision for the child by will or by trust; the child legally inherits from his or her adoptive family.
(N) The relinquishment document shall be signed before a judge of the Superior Court in California, or before a court of competent jurisdiction if signed outside the state.
(O) The agency is required to follow the notice requirements of Family Code Section 8700(h).
(P) The parent shall be permitted to revoke or rescind the relinquishment during any holding period and at any time before the adoption is granted by the court.
1. (Reserved)
2. The rights and responsibilities as the child's parent continue unless terminated by other legal action.
3. The child will remain a juvenile court dependent and any terms and/or conditions which result from the child's status as a juvenile court dependent remain in effect.
a. The agency shall immediately notify the country welfare department.
(Q) The agency is required to give the parent all known information about the status of the child's adoption including whether the child has been placed for adoption, the approximate date the adoption was completed and, if the adoption was not completed or was vacated for any reason, whether adoptive placement of the child is again being considered.
1. The parent must keep the agency informed of his or her current whereabouts if he or she wants to know when the child is placed in an adoptive home and when the child is legally adopted.
(R) After the child has been legally adopted, the agency may not return the child to the parent.
(S) The agency may not release any identifying information about the parent unless:
1. The welfare of the child requires the release of information to certain agencies as specified in law relating to the adoption petition, or
2. The adult adoptee and birth parent both sign written consents to arrange contact between these persons in accordance with Family Code Section 9204, or
3. The adoptee who has reached the age of 21 has requested the identity of his or her birth parent and his or her most current address as indicated in the agency's records if the birth parent has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
4. The birth parent of an adopted person who has reached the age of 21 has requested the adopted name of the adoptee and most current address as shown in the agency's records if the adult adoptee has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
5. The adoptive parent of an adopted person under 21 years of age has requested the identity of the birth parent and his or her most current address has shown in the agency's records if there is a finding by the agency a necessity or other extraordinary circumstance justifies the disclosure in accordance with Family Code Section 9203.
(T) Information regarding the adoption may be released as follows:
1. The adopted child who has reached age 18 may request and receive from the court which granted the adoption information regarding the tribal affiliation of the birth parent and any other information necessary to protect any rights the adopted child may have with regard to his or her tribal relationship.
2. The court granting the adoption will release to the Secretary of the Interior information concerning the adoption and the child, the adoptive parents, the birth parents, and the agency having information concerning the adoptive placement. The parent who desires anonymity must file an affidavit requesting anonymity with the court. The ICWA requires the Secretary of the interior to ensure confidentiality will be maintained; however, tribes do not always maintain confidentiality if they know of the adoption.
3. At the request of the adopted child over age 18, the adoptive parents or the Indian tribe, the Secretary of the Interior will release the information provided by the court to the extent necessary to enroll the adopted person in the tribe or to determine any rights or benefits associated with tribal membership. If the parent submitted an affidavit to the court requesting anonymity, the Secretary will certify, where information warrants, that the child is entitled to enrollment rather than release the information.
4. Upon request of the Bureau of Indian Affairs or an adopted child who has reached age 18, the department will make a copy of all documents pertaining to the degree of Indian blood and tribal enrollment available to the requestor.
(U) The law permits the court to release identifying information from the court adoption file after considering the reasons for the request.
1. The agency will make a referral to the appropriate resource.
(V) Within five years of the granting of the adoption in court the parent shall have the right to petition the court to set aside the adoption if the relinquishment is obtained through fraud.
(W) The provisions of Section 35130 regarding two face-to-face interviews, the dates the interviews were held and that a copy of the Statement of Understanding and the Relinquishment Document were given to the relinquishing parent at the first interview.
(X) If the parent does not want his or her child to be adopted or needs more information about the child's status or available child welfare services, he or she should not sign the relinquishment document but should consult the child welfare services social worker and his or her attorney regarding steps to take to regain custody of the child.
1. If the parent is successful in regaining physical custody of the child, the parent may obtain other services to assist with finance, employment, education, housing, temporary child care, and health matters.
2. A parent who has regained custody of a child who is a dependent of the court may, after regaining custody, voluntarily place the child for an agency or an independent adoption.
(Y) There is a required order of placement preference as follows:
1. Someone from the child's extended family,
2. Someone from the child's tribe, or
3. Placement with another Indian family.
(Z) The placement preference may be modified only by the tribe or the court.
1. The parent may request the court to modify the order of placement preference.
(AA) If a relinquishment for adoption is revoked or rescinded by a parent, the agency shall:
1. Notify any other parents whose relinquishment has been filed by the department of the revocation or rescission of the relinquishment and of any planned court proceedings resulting from the request.
a. The parent is responsible for keeping his or her name and address current with the agency so notice can be given.
(BB) If there is a court action to terminate parental rights, the agency shall notify the child's tribe and the tribe may intervene in the proceedings.
(CC) The agency shall notify the parent if the adoption petition is withdrawn, dismissed, or denied or if the adoption is set aside.
1. The parent is responsible for keeping his or her name and address current with the agency so notice can be given.
(DD) Upon petition of either parent or the child's tribe, court proceedings to terminate parental rights will be transferred to the jurisdiction of the tribal court, provided:
1. The child's tribe has a court with jurisdiction to hear child custody proceedings,
2. The California court finds no good cause not to transfer the proceeding to the Indian tribe,
3. No other parent objects, and
4. The tribe does not decline the transfer.
(EE) The agency shall take the necessary steps to obtain a Certificate of Degree of Indian Blood for the child, to enroll the child in his or her tribe or to register him or her for any Bureau of Indian Affairs' benefits which he or she may be eligible.
(FF) The parent may petition the court to invalidate any action terminating parental rights if termination procedures did not comply with the ICWA.
(GG) If the child is living with a legal guardian and the parent does not have an attorney appointed by the juvenile court, the adoption agency can refer the parent to public legal assistance in the community.
(HH) If the child is living with a legal guardian and the child does not have a child welfare services social worker, the adoption agency can refer the parent to community services which may assist him or her with finance, employment, education, housing, temporary child care and health care needs.
(II) The AD 899D is the Statement of Understanding for a mother or a presumed father of the child who is detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian and is subject to the provisions of the ICWA.
(4) For an alleged natural father of the child who is detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian and who is subject to the provisions of the ICWA through the mother's tribe:
(B) He has the right to seek legal counsel to assist him in the relinquishment process.
1. If he has a court appointed attorney representing him in the juvenile court proceedings, that attorney may be able to assist him in the relinquishment process.
2. If he does not have attorney representation, the agency can refer him to public legal assistance in the community.
(C) Because the child has been determined to be an Indian child, the requirements of the ICWA will apply to the taking of the relinquishment and the adoption of the child.
(D) He has been told why he is considered to be the alleged natural father of the child and he may deny paternity, waive his rights to further notice of the adoption proceedings, sign a relinquishment or file a petition in the juvenile court to establish the father and child relationship.
(E) The agency shall tell him its plan for the adoption of the child.
(F) He may talk about the plan to relinquish the child with other professionals and with family and friends.
(G) Relinquishment means the parent who relinquishes will no longer be the child's legal parent.
(H) He has considered the reasons for relinquishing or not relinquishing the child and has decided relinquishing the child to the agency for adoption is in the best interest of the child.
(I) When he relinquishes a child, he gives up the care, custody, and control of the child to the adoption agency.
1. If he signs a relinquishment document that does not name the adopting parents, he gives up the right to select adoptive parents and the adoption agency shall make the final decision regarding who will adopt the child.
2. If he signs a relinquishment document that names the adopting parents, he has the rights and responsibilities specified in Subdivisions (e), (f), and (g) of Family Code Section 8700.
(J) The adopting parent or parents, the birth relatives, including the birth parent or parents, and the child, if age 12 or older, may enter into an enforceable written agreement to permit continuing contact between the birth relatives, including the birth parent or parents, and the child if:
1. The child is to be adopted by birth relatives, and
2. The court approves the agreement.
(K) The relinquishment terminates his rights to the custody, services, and earnings of the child.
(L) Relinquishment terminates his responsibility for the care of the child.
(M) Adoption terminates any inheritance from the parents or blood relatives of the child unless they make specific provision for the child by will or by trust; the child legally inherits from his or her adoptive family.
(N) He shall be permitted to revoke or rescind the relinquishment during any holding period and at any time before the adoption is granted by the court. 
2. His rights and responsibilities as the child's alleged natural father continue unless terminated by other legal action.
(O) If he does not relinquish the child to the adoption agency, the juvenile court may terminate his parental rights.
1. He has the right to seek legal counsel to assist him and the agency can refer him to public legal assistance in the community.
(P) The relinquishment document shall be signed before a judge of the Superior Court in California, or before a court of competent jurisdiction if signed outside the state.
(Q) The agency is required to follow the notice requirements of Family Code Section 8700(h).
(R) The agency is required to give him all known information about the status of the child's adoption including whether the child has been placed for adoption, the approximate date the adoption was completed and, if the adoption was not completed or was vacated for any reason, whether adoptive placement of the child is again being considered.
1. He must keep the agency informed of his current whereabouts if he wants to know when the child is placed in an adoptive home and when the child is legally adopted.
(S) After the child has been legally adopted, the agency may not return the child.
(T) The agency may not release any identifying information about him unless:
1. The welfare of the child requires the release of information to certain agencies as specified in law relating to the adoption petition, or
2. The adult adoptee and he both sign written consents to arrange contact between them in accordance with Family Code Section 9204, or
3. The adoptee who has reached the age of 21 has requested the identity of his or her birth parent and his or her most current address as indicated in the agency's records if the birth parent has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
4. The birth parent of an adopted person who has reached the age of 21 has requested the adopted name of the adoptee and most current address as shown in the agency's records if the adult adoptee has indicated consent to the disclosure in writing in accordance with Family Code Section 9203, or
5. The adoptive parent of an adopted person under 21 years of age has requested the identity of the birth parent and his or her most current address as shown in the agency's records if there is a finding by the agency a necessity or other extraordinary circumstance justifies the disclosure in accordance with Family Code Section 9203.
(U) Information regarding the adoption may be released as follows:
1. The adopted child who has reached age 18 may request and receive from the court which granted the adoption information regarding the tribal affiliation of the birth parent and any other information necessary to protect any rights the adopted child may have with regard to his or her tribal relationship.
2. The court granting the adoption will release to the Secretary of the Interior information concerning the adoption and the child, the adoptive parents, the birth parents, and the agency having information concerning the adoptive placement. The parent who desires anonymity must file an affidavit requesting anonymity with the court. The ICWA requires the Secretary of the Interior to ensure confidentiality will be maintained; however, tribes do not always maintain confidentiality if they know of the adoption.
3. At the request of the adopted child over age 18, the adoptive parents or the Indian tribe, the Secretary of the Interior will release the information provided by the court to the extent necessary to enroll the adopted person in the tribe or to determine any rights or benefits associated with tribal membership. If the parent submitted an affidavit to the court requesting anonymity, the Secretary will certify, where information warrants, that the child is entitled to enrollment rather than release the information.
4. Upon request of the Bureau of Indian Affairs or an adopted child who has reached age 18, the department will make a copy of all documents pertaining to the degree of Indian blood and tribal enrollment available to the requestor.
(V) The law permits the court to release identifying information from the court adoption file after considering the reasons for the request.
(W) Within five years of the granting of the adoption in court the parent shall have the right to petition the court to set aside the adoption if the relinquishment is obtained through fraud.
(X) The provisions of Section 35130 regarding two face-to-face interviews, the dates the interviews were held and that a copy of the Statement of Understanding and the Relinquishment Document were given to the relinquishing parent at the first interview.
(Y) If he does not want his child to be adopted or needs more information about the child's status or available child welfare services, he or she should not sign the relinquishment document but should consult the child welfare services social worker and his attorney regarding steps to take to regain custody of the child.
1. If he is successful in gaining custody of the child, the parent may obtain other services to assist with finance, employment, education, housing, temporary child care, and health matters.
2. A parent who has gained custody of a child who is a dependent of the court may, after gaining custody, voluntarily place the child for an agency or an independent adoption.
3. If the child is living with a legal guardian and the child does not have a child welfare services social worker, the adoption agency can refer the parent to community services which may assist him or her with finance, employment, education, housing, temporary child care and health care needs.
(Z) There is a required order of placement preference as follows:
1. Someone from the child's extended family,
2. Someone from the child's tribe, or
3. Placement with another Indian family.
(AA) The placement preference may be modified only by the tribe or the court.
1. The parent may request the court to modify the order of placement preference.
(BB) If there is a court action to terminate parental rights of a parent, the agency shall notify the child's tribe and the tribe may intervene in the proceedings.
(CC) The agency shall notify the parent if the adoption petition is withdrawn, dismissed, or denied or if the adoption is set aside.
1. The parent is responsible for keeping his or her name and address current with the agency so notice may be given.
(DD) If a relinquishment for adoption is revoked or rescinded by a parent, the agency shall notify any other parents whose relinquishment has been filed by the department of the revocation or rescission and of any planned court proceedings resulting from the request.
1. The parent is responsible for keeping his or her name and address current with the agency so notice can be given.
(EE) Upon petition of either parent or the child's tribe, court proceedings to terminate parental rights will be transferred to the jurisdiction of the tribal court, provided:
1. The child's tribe has a court with jurisdiction to hear child custody proceedings, 
2. The California court finds no good cause not to transfer the proceeding to the Indian tribe,
3. No other parent objects, and
4. The tribe does not decline the transfer.
(FF) The agency shall take the necessary steps to obtain a Certificate of Degree of Indian blood for the child, to enroll the child in his or her tribe or to register him or her for any Bureau of Indian Affairs' benefits which he or she may be eligible.
(GG) The parent may petition the court to invalidate any action terminating parental rights if termination procedures did not comply with the ICWA.
(HH) The AD 899D is the Statement of Understanding for an alleged natural father of the child who is detained, a juvenile court dependent in out-of-home care, or the ward of a legal guardian and who is subject to the provisions of the ICWA through the mother's tribe.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8621 and 9202, Family Code. Reference: Sections 3010, 7601, 7602, 7610, 7611, 7612, 7660, 7661, 7662, 7663, 7664, 7665, 8600, 8601, 8604, 8605, 8606, 8608, 8616, 8617, 8618, 8619, 8700, 8701, 8702, 8704, 8706, 8708, 8714.7, 9100, 9201, 9202, 9203, 9204, 9205 and 9206, Family Code; Sections 1798.24(r) and (s), Civil Code; Sections 6408 and 6408.5, Probate Code; Section 621, Evidence Code; Sections 316.2 and 16507.5, Welfare and Institutions Code; and 25 U.S.C. Sections 1901, 1902, 1903, 1911, 1912, 1913, 1914, 1915, 1916 and 1917.
HISTORY

1. Renumbering and amendment of former section 35148 to new section 35152.2 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering and amendment of former section 35148 to new section 35152.2 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 7. Revocation of Relinquishment
§35153. Revoking a Relinquishment.
Note     •     History

(a) (Reserved)
(b) After a relinquishment has been signed but not filed with the department, the agency shall treat a relinquishing parent's oral or written declaration that he or she wishes to revoke the relinquishment or to have the child returned as an expression of intent to revoke the relinquishment.
(1) Filing includes the department's receipt and acknowledgment of a certified copy of the relinquishment form.
(3) Upon receipt of such declaration, the agency shall:
(A) Cease all adoptive planning for the child.
(B) Give the parent the AD 4317 and advise him or her that:
1. The AD 4317 must be completed and returned to the agency by the date specified.
2. The AD 4317 must be returned to the agency within 14 days from the date the agency provides the revocation form.
3. The request for revocation shall be nullified if the form is not completed and returned to the agency by the specified date.
(c) After the completed AD 4317 has been returned to the agency, the agency shall mark “VOID” across the face of all copies of the relinquishment signed by the revoking parent.
(1) The agency shall file the revoked relinquishment in the adoption case record.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8700, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer of former section 35153, new article 7 (sections 35153-35165), and renumbering and amendment of former section 35157 to section 35153 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 4 (Register 98, No. 48).
6. Repealer of former section 35153, new article 7 (sections 35153-35165), and renumbering and amendment of former section 35157 to section 35153 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order, including new subsection (b)(1) and subsection renumbering, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35153.1. Reporting Suspected Child Abuse.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code; and Sections 11165, 11165.1, 11165.2, 11165.3, 11165.4, 11165.6 and 11165.7, Penal Code.
HISTORY

1. New section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including renumbering of former section 35153.1 to section 35207.1, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35154. Filing of Relinquishments.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code. Reference: Sections 10553 and 10554, Welfare and Institutions Code.
HISTORY

1. Renumbering of Section 30625 to Section 30624 and renumbering and amendment of former Section 30624 to Section 30625 filed 2-4-82; effective thirtieth day thereafter (Register 82, No. 6).
2. Renumbering of Section 30625 to Section 35154 filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
3. Repealer filed 3-9-90; operative 4-8-90 (Register 90, No. 13).
§35155. Procedures for Return of the Child to the Parent Who Gave Physical Custody When the Child is Neither Detained Nor a Juvenile Court Dependent in Out-of-Home Care.
Note     •     History

(a) The agency shall return the child who is neither detained nor a juvenile court dependent in out-of-home care to the relinquishing parent who gave physical custody of the child to the agency within a period not to exceed seven working days following receipt of the parent's completed revocation form.
(1) The time and place for return of the child shall be mutually agreed upon by the agency and the parent.
(2) The agency shall obtain a signed statement from the revoking parent that physical custody of the child has been returned to him or her.
(3) At the time of the child's return to the revoking parent, the agency shall inform the parent of available public and community resources.
(b) If the parent not having physical custody of the child has also relinquished the child, that parent shall be notified immediately that the child is being returned to the revoking parent.
(c) If the agency knows or reasonably suspects the parents have endangered the physical or mental health of a child by abuse or neglect, the agency shall immediately contact the appropriate child protective agency and file the mandatory “Suspected Child Abuse Report” (Form SS 8572, Revised 1/93) pursuant to Penal Code Section 11166(a).
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8700, Family Code; and Sections 11165, 11165.1, 11165.3, 11165.4, 11165.6 and 11165.7, Penal Code.
HISTORY

1. New section filed 3-9-90; operative 3-8-90 (Register 90, No. 13).
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer of former section 35155 and renumbering and amendment of former section 35159 to section 35155 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer of former section 35155 and renumbering and amendment of former section 35159 to section 35155 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order, including amendment of subsection (c), transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35156. Additional Requirement if Relinquished Child is Not Placed for Adoption.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. New section filed 9-8-93; operative 10-7-93 (Register 93, No. 37).
2. Change without regulatory effect amending subsection (a) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35157. Revocation by Parent Who Did Not Give Physical Custody When the Child is Neither Detained Nor a Juvenile Court Dependent in Out-of-Home Care.
Note     •     History

(a) (Reserved)
(b) When a relinquishment of a child who is neither detained nor a juvenile court dependent in out-of-home care is revoked by a parent who did not give physical custody of the child to the agency, the agency shall initiate court proceedings to determine custody of the child and whether the plan for adoption can proceed.
(1) If the other parent has also relinquished the child, that parent shall be notified immediately of the revocation and the initiation of court proceedings.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8700, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (b), (b)(1)(A)-(C) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer of article 3 heading, renumbering of former section 35157 to section 35153 and renumbering and amendment of former section 35161 to section 35157 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer of article 3 heading, renumbering of former section 35157 to 35153 and renumbering and amendment of former section 35161 to section 35157 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35159. Revocation By Parent of the Child Who is Involved with the Juvenile Court.
Note     •     History

(a) When the relinquishment is revoked by the parent of a child who is either the subject of a juvenile court petition or a dependent of the juvenile court, the agency shall notify the supervising county welfare department.
(1) If the agency has provided written notice of the relinquishment pursuant to Family Code Section 8700(h), the agency shall likewise provide written notice of the parent's revocation
(b) If the child is neither detained nor a juvenile court dependent in out-of-home care, the agency shall proceed as specified in Sections 35155 and 35157.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a)(3) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Renumbering and amendment of former section 35159 to section 35155 and new section 35159 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering and amendment of former section 35159 to section 35155 and new section 35159 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35161. Revocation by Parent Who Did Not Give Physical Custody.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8700, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Renumbering of former section 35161 to section 35157 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35161 to section 35157 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35163. Treatment of Revoked Relinquishment Form.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8700, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 8. Filing of Relinquishment
§35165. Filing Documents with the Department.
Note     •     History

(a) The agency shall file with the department all the documents which pertain to freeing a child for adoptive placement and adoption and the supporting information required for the issuance of the AD 4333.
(A) Filing includes the department's receipt and acknowledgment of a certified copy of the relinquishment form.
(b) The agency, after retaining the relinquishment document for any specified holding period, shall file it with the department as follows:
(1) Within 10 working days after the expiration of the specified holding period, or
(2) Within 10 working days after the day the relinquishment document is signed but no sooner than the close of the next working day following the signing, if the parent requests immediate filing. 
(c) The agency shall submit a written statement with the relinquishment document that the parent did not request the return of a child who is neither detained nor a juvenile court dependent in out-of-home care during any specified holding period.
(d) The agency shall certify in writing that the relinquishment document and the statement of understanding that are filed with the department are true and correct copies of the original documents contained in the files of the agency.
(e) The agency shall file with the department the following supporting information which pertains to freeing a child for adoptive placement and finalization of the adoption:
(1) Form AD 90.
(2) Form AD 551A.
(3) Copies of court orders terminating parental rights, as appropriate.
(4) Copies of notices sent to alleged fathers under Family Code Sections 7662, 7664, 7666, and under Welfare and Institutions Code Section 316.2 and proof of service, as appropriate.
(5) Certified copies of the relinquishment document, as appropriate.
(6) Copy of signed Statement of Understanding attached to each certified copy of the relinquishment document.
(7) Copy of any psychiatric/psychological evaluation and statement of the conservator, as appropriate.
(8) Copies of Judicial Council `Paternity-Waiver of Rights' (JV-505) and other copies of waiver of further notice to the adoption proceedings, as appropriate.
(9) Copies of denials of paternity, as appropriate.
(10) Copies of documents pertaining to a child who is freed for adoptive placement and finalization of adoption in another state, as appropriate.
(f) The agency shall send the relinquishing parent a copy of the filed relinquishment document.
(g) The agency shall file with the department the ICPC 100B when the adoption will be completed in another state.
(1) If the adoption did not meet the requirements of the Interstate Compact on the Placement of Children as set forth in Sections 35401, 35405, and 35407, the agency shall notify the department in writing of the completion of the out-of-state adoption.
NOTE

Authority cited: Sections 10553 and 10554 Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 1183, Civil Code; Sections 7611, 7612, 7630, 7631, 7660, 7661, 7662, 7663, 7664, 7665, 7666, 7669, 8604, 8605, 8606 and 8700, Family Code; Section 316.2 Welfare and Institutions Code; and Sections 415.10, 415.30, 415.40, 417.10 and 417.20, Code of Civil Procedure.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a)(1) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer and new section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer and new section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. New article 8 heading and Certificate of Compliance as to 11-24-98 order, including new subsection (a)(1)(A), amendment of subsection (c) and amendment of Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 9. Rescission of Relinquishment
§35167. Authority for Rescission.
Note     •     History

(a) (Reserved)
(b) A relinquishment which has been filed with the department shall be rescinded only as specified at Family Code Section 8700.
(1) Filing includes the department's receipt and acknowledgment of a certified copy of the relinquishment form.
(c) If the agency decides not to place the child for adoption with the person or persons named in the relinquishment document, the agency shall notify the relinquishing parent who named the person or persons that the placement will not be made and that he or she has the right to rescind the relinquishment and reclaim the child as provided in Family Code Section 8700.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 361, Welfare and Institutions Code; Section 8700, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (b) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. New article 8 (sections 35167-35179) and amendment of section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. New article 8 (sections 35167-35179) and amendment of section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order, including renumbering of former article 8 to article 9 and new subsection (b)(1), transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35169. Rescinding a Relinquishment.
Note     •     History

(a) (Reserved)
(b) After a relinquishment has been filed with the department, the agency shall treat an oral or written declaration by the relinquishing parent, that he or she wishes to rescind the relinquishment or to have the child returned as a request for rescission.
(1) Filing includes the department's receipt and acknowledgment of a certified copy of the relinquishment form.
(3) Upon such oral or written declaration by the parent, the agency shall:
(A) Cease all adoptive planning for the child until the agency reaches a decision regarding the request.
(B) Give the parent the AD 508.
(C) Advise the parent that he or she has 14 days from the date the agency provides the rescission form in which to give the agency a written request for rescission.
(D) Specify the date by which the parent must complete and return the AD 508 to the agency.
(E) Inform the parent that if the form is not completed and returned to the agency by the specified date, the request for rescission shall be nullified.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8700, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. New subsections (c)-(c)(3)(B) filed 9-8-93; operative 10-7-93 (Register 93, No. 37).
4. Editorial correction repositioning subsections (c)-(c)(3)(B) (Register 94, No. 18).
5. Change without regulatory effect amending section and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
6. Amendment of section heading and section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading and section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-24-98 order, including new subsection (b)(1) and subsection renumbering, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35170. Consideration of a Request to Rescind a Relinquishment.
Note     •     History

(a) In considering a relinquishing parent's request to have the relinquishment rescinded, the agency shall:
(1) Allow the parent to state his or her reason for seeking rescission of the relinquishment and to present a plan for care of the child.
(2) Consider the needs of the child, the adequacy of the parent's plan and the public and community resources, and services available to assist the parent in caring for the child.
(b) If the agency agrees to rescind the relinquishment, the agency shall:
(1) Arrange the return of the child.
(A) The agency shall return the child to the parent no later than seven working days from the time the decision to rescind is made, if the child is neither detained nor a juvenile court dependent in out-of-home care.
1. The agency shall mutually agree with the parent regarding the time and place for return of the child.
2. If the agency knows or reasonably suspects the parent has endangered the physical or mental health of a child by abuse or neglect, the agency shall immediately contact the appropriate child protective agency and file the mandatory “Suspected Child Abuse Report” (Form SS 8572, Revised 1/93) pursuant to Penal Code Section 11166(a).
(B) Notify the juvenile court having jurisdiction of the child; the child's attorney, if any; and the relinquishing parent's attorney, if any, of the agency's decision to rescind the relinquishment and make a recommendation regarding the return of the child if the child is a dependent of the court.
(2) Mark “VOID” on all copies of the relinquishment form signed by the rescinding parent and file the rescinded relinquishment in the case record.
(3) Obtain a signed statement from the rescinding parent that physical custody of the child was returned to him or her.
(4) Notify any other relinquishing parent of the recission and inform that parent of his or her right to rescind the relinquishment also.
(5) Notify the department of the rescission within three working days from the date the agency agrees to the recission.
(c) If the agency's decision is not to rescind, the agency shall:
(1) Have the decision reviewed by the agency director or his or her designee.
(2) Provide a copy of the agency's decision not to rescind the relinquishment and the reasons for the agency's decision to the rescinding parent within three working days of the agency's decision.
(3) Send a copy of the agency's decision to the department within three working days of the agency's decision.
(4) Notify the juvenile court having jurisdiction of the child; the child's attorney, if any; and the relinquishing parent's attorney, if any of the parent's request to have the relinquishment rescinded and of the agency's decision not to rescind if the child is a dependent of the court.
(d) Notwithstanding Section 35169(b), the agency shall rescind the relinquishment of any parent who, having been notified as provided in Family Code Section 8700(f), delivers, or has delivered by mail or other method, before the end of the 30-day period beginning on the day after the notice was mailed a written request to the agency stating that he or she wishes to rescind his or her relinquishment and/or have the child returned.
(1) In all such cases, the agency shall:
(A) Notify the juvenile court having jurisdiction of the child; the child's attorney, if any; and the relinquishing parent's attorney, if any, that the relinquishment has been rescinded if the child is a dependent of the court;
(B) Mark “VOID” on all copies of the relinquishment form signed by the rescinding parent and file the rescinded relinquishment in the case record; and
(C) Notify the department of the rescission within three working days from the date the written request to rescind the relinquishment was received.
(2) If the parent identifies a different person or persons with whom the child is to be placed and the agency concurs with this plan, the agency shall accept a new relinquishment as provided in Sections 35130 through 35141.
(3) If the parent does not which the agency to engage in further adoptive planning for the child or if the parent identifies a different person or persons with whom the child is to be placed and the agency does not concur with this plan, the agency shall:
(A) Mutually agree with the parent regarding the time and place for return of the child if the child is neither detained nor a juvenile court dependent in out-of-home care.
1. The agency shall return the child no later than seven working days from the time the request to rescind is made.
2. The agency shall obtain a signed statement from the rescinding parent that physical custody of the child was returned to him or her.
(B) Notify all the parties of the parent's decision not to engage in further adoption planning and make a recommendation regarding the return of the child if the child is a dependent of the juvenile court.
(C) Notify any other relinquishing parent of the rescission and inform him or her that he or she may also rescind his or her relinquishment.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8700, Family Code; Sections 11165, 11165.1, 11165.2, 11165.3, 11165.4, 11165.6, 11165.7 and 11166, Penal Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including amendment of section heading and amendment of subsection (d)(1)(B), transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35171. Content of Written Assessment of the Child.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8608, Family Code. Reference: Sections 8608, 8706, 8715 and 9100, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a) and note filed 7-23-90; operative 8-22-90 (Register 90, No. 37).
3. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Amendment of subsection (b)(6) and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
5. Change without regulatory effect amending subsections (b)(1)(A)-(b)(5), (b)(5)(A)1., (b)(6)-(7) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
6. Certificate of Compliance as to 10-31-94 order including amendment of subsection (b)(6) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
7. Renumbering of former article 4 to new article 1 and renumbering of former section 35171 to new section 35127.1 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
8. Renumbering of former article 4 to new article 1 and renumbering of former section 35171 to section 35127.1 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35173. Documents, Reports and Authorizations Required for Assessment of the Child.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608 and 8621, Family Code. Reference: Sections 8608, 8706 and 8715, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (b)(1)-(4), (b)(5)(A)-(b)(6) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Renumbering of former section 35173 to new section 35127.2 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35173 to new section 35127.2 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35175. Services for Children Accepted for Adoption Planning.
Note     •     History

NOTE

Authority cited: Sections 10553 and 16118, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8704, 8706, 8708 and 8715, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)-(8) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Renumbering of former section 35175 to new section 35127.3 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35175 to new section 35127.3 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 10. Application to Adopt
§35177. Written Application, Agency Actions, and Authority for Disapproval
Note     •     History

(a) The agency shall require a written application for adoption before it conducts an assessment of the applicant.
(b) The agency shall provide information to the adoptive applicant as specified in Sections 35179 and 35179.1.
(c) The agency shall assess each applicant as specified in Sections 35181 or 35183.
(2) If the anticipated waiting time before the agency begins an assessment is more than six months, the agency shall:
(A) Provide the applicant with the names of the other agencies which provide assessment services in the county where the applicant resides; and 
(B) Inform the applicant of the availability of the federal income tax credit which may reimburse the family for all or part of the cost of an assessment by a licensed private adoption agency.
(d) The agency shall provide the applicant with written information that describes the Adoption Assistance Program.
(e) The agency shall have the authority to make a determination that the applicant shall not be approved for adoptive placement of a child at any point in the assessment process.
(f) The agency shall not approve an application for the adoptive placement of a child until all of the following requirements have been met:
(1) The agency has completed the assessment process as specified in Section 35181 or Section 35183. 
(2) The agency, when it is a licensed private adoption agency, has received written notification from the CDSS -- Adoptions Branch that the information contained in an FBI criminal record of an applicant does not preclude an adoptive placement.
(g) The agency shall provide the applicant with written notification of its decision regarding the adoptive placement of a child with the applicant.
(1) Written notification of the agency's decision that the application is approved shall include identification of age, race, gender and characteristics of children considered for placement.
(2) Written notification of the agency's decision not to approve the applicant for adoptive placement, made at any point in the assessment process, shall include identification of the factors which led to the agency's decision.
(h) The agency shall inform the applicant in writing of the agency's grievance review procedure and the applicant's right to file a grievance with the agency within 30 days of receipt of the decision.
(1) If the applicant files a grievance with the agency, the agency shall comply with the procedures set forth in Section 35215.
(2) When a grievance concerns an action based on an FBI criminal record, the agency shall comply with the procedure set forth at Section 35215(a)(1)(D).
NOTE

Authority cited: Sections 10533, 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8704 and 8712, Family Code; Section 11105.2, Penal Code; and Section 16119, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer of article 5 heading and amendment of section heading, section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer of article 5 heading and amendment of section heading, section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. New article 10 heading and Certificate of Compliance as to 11-24-98 order, including amendment of subsection (b), repealer of subsections (d)-(d)(3)(B), subsection relettering, and amendment of newly designated subsections (g)(1) and (g)(2), transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
7. New subsection (d), subsection relettering, and amendment of Note filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
8. New subsection (d), subsection relettering, and amendment of Note refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-31-2001 order transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
§35179. Information to be Provided to An Applicant.
Note     •     History

(a) (Reserved)
(b) The agency shall provide the applicants with information which shall include but not be limited to:
(1) Characteristics of children available for adoption through the agency.
(A) Information and counseling regarding the need for a community care facility license if a child who has not been legally freed for adoption is to be placed with the applicant.
(B) If children under the court's jurisdiction are available through the agency, information about the juvenile court dependency process. This information shall include, but not be limited to:
1. Concurrent services planning.
2. The role of permanency planning families.
(C) Availability of national, state, and local adoption exchanges and photo-listing albums.
(2) Information about the adoption process, including:
(A) Application and assessment requirements.
(B) Agency's procedures for providing a copy of the written assessment to the applicant.
(C) Approximate length of time it may take to complete the adoption process.
(D) Statutory and regulatory requirements for adoption.
(E) Availability of any training classes related to adoption or parenting preparation.
(3) Information about the agency's fees.
(4) Information about any available resources or services that may assist the applicant in meeting the needs of the child, such as:
(A) The Adoption Assistance Program.
(B) Local Mental Health Care Plan (Medi-Cal Mental Health or Mental Health Managed Care).
(C) Medicaid (Title XIX) for medical and dental services and the Early Periodic Screening Diagnostic and Treatment Program (EPSDT).
(D) California Regional Center Services.
(E) Individual Education Program (IEP) and Special Education services available through the local school district.
(G) The following information shall be included in this explanation:
1. Adoption assistance, including financial assistance and Medi-Cal benefits, is available to remove or reduce economic barriers preventing families from adopting children who otherwise would remain in long-term foster care.
2. There are significant differences between adoption assistance and foster care as shown in the following chart:

Foster Care	Adoption Assistance

Payment based on child's age and,	Negotiated payment is
in some cases, disability or other	based on child's needs and
need for specialized care and/or	family's circumstances.
supervision.

	The maximum payment for
	which the child is eligible
	is the foster care mainte- 
	nance payment that would 
	have been paid based on 
	the age-related state 
	approved foster family 
	home care rate and any 
	applicable state-approved 
	specialized care increment 
	the child would have 
	received if not adopted.

Family resources and	Circumstances of the 
circumstances are not	family are considered
considered in determining	in determining payment
payment amount.	amount.

Child is eligible for Medi-Cal,	Child eligible for
but any existing health insurance	Medi-Cal but adoptive
coverage on the child must be	family must first use any
used first.	existing health insurance
	coverage on the child.

Required group home or residential 	Required group home or
treatment placement would be	residential treatment place- available for as long as necessary. 	ment would be funded by 
Foster parents have no right to	the AAP up to 18 months 
continue to participate in the	to address a specific 
child's life and have no right to	episode or condition 
have the child placed in their	justifying that placement. 
home once treatment is no	The adoptive parents must
longer necessary.	actively participate in a plan
	to reunify the child with the
	adoptive family.
(5) Information about additional benefits which may be available to assist in the completion of the adoption.
(6) Information about the availability of services to facilitate contact between the parties to the adoption, before or after the adoption is completed, including the development of a kinship adoption agreement when the applicant is a relative of the child to be adopted.
(7) Laws regarding disclosure of medical and background information about the child.
(8) Requirements of Family Code Section 8702 and a written copy of the Adoption Information Act Statement.
(9) Agency's grievance review procedures.
(10) Laws regarding reunion between the adopted child and his or her birth family.
(11) Information about the full assessment, abbreviated assessment, and updated assessment process.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8608 and 8621, Family Code. Reference: Sections 8608, 8702, 8706, 9203, 9204 and 9205, Family Code; Sections 16119 and 16121, Welfare and Institutions Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 12-1-88; operative 12-31-88 (Register 89, No. 1).
2. Editorial correction adding subsection (a)(2) (Register 94, No. 44).
3. Amendment of subsection (a)(2)(A) and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-31-94 order including amendment of subsection (a)(2)(A) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
5. Amendment of section heading, section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
8. Amendment of subsection (b)(4), new subsections (b)(4)(A)-(E), subsection relettering, and amendment of newly designated subsection (b)(4)(G) filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (b)(4), new subsections (b)(4)(A)-(E), subsection relettering, and amendment of newly designated subsection (b)(4)(G) refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-31-2001 order, including further amendment of subsection (b)(4)(G)2. transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
§35179.1. Information Regarding Kinship Adoption.
Note     •     History

(a) The agency shall provide all the following information to prospective adoptive parents who are considering adoption of a related child:
(1) Options available to relatives to establish a legally permanent relationship with a related child.
(2) Resources available to meet the child's needs.
(3) Requirement for a written application under Section 35177 and approval of the application before the child may be placed with the relatives for adoption.
(4) Requirement for an applicant assessment under Section 35180 or Section 35183.
(5) Availability of and requirements for a kinship adoption agreement as defined at Section 35000(k)(1)(A), including both of the following:
(A) Forms developed under Family Code Section 8714.7(j) which shall accompany the agreement.
(B) Services available to assist in the development of the agreement
(6) Requirements that a child age 12 or older must consent to the kinship adoption agreement and that any child who is a juvenile court dependent or the subject of a dependency petition must be represented by an attorney for the purpose of consent to the agreement.
(b) The agency shall advise the birth parent of the availability of a kinship adoption agreement as defined at Section 35000(k)(1) and of any services as described in Section 35129.1(b)(3)(A) and Sections 35129.2(b)(3)(A) and (B).
NOTE

Authority Cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8714.5, 8714.7 and 8715, Family Code.
HISTORY

1. Renumbering of former section 35209.1 to section 35179.1, including amendment of subsections (a)(4) and (a)(5), filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
Article 11. Assessment of the Applicant
§35180. Written Assessment of the Adoptive Applicant and Documentation.
Note     •     History

(a) The agency shall assess each applicant seeking to adopt a child for whom the agency needs adoptive parents in order to determine the applicant's suitability as a prospective adoptive parent.
(1) A copy of the written assessment of the adoptive applicant shall be retained in the case file and shall include:
(A) Identifying information about the applicant and any children and adults residing in the home:
1. Name.
2. Date of birth.
3. Sex.
4. Relationship, if any, to the child to be adopted.
(B) Summary of the information evaluated.
(C) Social history, including the results of a screening for any criminal background and any referrals for child abuse or neglect.
1. If the child has been living in the applicant's home, a determination that the child has not been abused or neglected by the applicant.
(D) Determination of the applicant's commitment and capability to meet the needs of a child which shall include:
1. Description of the age, race, gender and characteristics of children this family, in the agency's judgment, is likely to be willing and able to parent, and whom the agency will consider for placement with the applicant, including:
a. Any characteristics of a child for which, in the agency's judgment, the applicant would be unsuitable.
(E) Determination that the applicant's home is safe.
(F) Applicant's understanding of the legal and financial rights and responsibilities in adoption.
1. Statement as to whether the applicant has been provided information about the Adoption Assistance Program.
(G) Any resources, services or training which would assist the adoptive applicant in meeting the needs of a child.
(H) Determination of approval or denial of the application and the reasons for the determination.
(b) An assessment completed as specified in Section 35181 or Section 35183 shall not be used to meet the requirements for an assessment for an Intercountry Adoption pursuant to Section 35257 until it has been updated by an agency licensed to provide intercountry adoption services.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 361.5, 366.21 and 366.22, Welfare and Institutions Code; and Section 8715, Family Code.
HISTORY

1. New article 10 (sections 35180-35195) and section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New article 10 (sections 35180-35195) and section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including renumbering of former article 10 to article 11 and  redesignation of former subsection (a)(2) as subsection (b) and amendment of Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35181. Full Assessment of the Adoptive Applicant.
Note     •     History

(a) The agency shall have at least 3 separate face-to-face contacts with each applicant for the purpose of interviewing the applicant for the assessment.
(1) Up to 2 contacts may be adoption training or preparation class sessions.
(2) The contacts shall include, at least, all of the following:
(A) At least one interview with the applicant in the home.
(B) A separate face-to-face interview with each applicant.
(C) A joint interview when there are two applicants.
(D) A face-to-face interview with all other individuals residing in the home.
(E) Additional interviews as necessary.
(b) The agency shall obtain from the applicant, at least, all of the following information:
(1) Identifying information:
(A) Full name, including aliases and maiden names.
(B) Current address and telephone number.
(C) Date of birth.
(D) Sex.
(2) Blood relationship to child, if any.
(3) Race and ethnic background information.
(4) Religion, if any.
(5) Verification of employment or income.
(6) Marriage certificate, if married.
(A) Verification of termination of prior marriages.
1. When verification of the dissolution of all marriages of the applicants is not possible, the marriages preceding a verified divorce decree shall be assumed to be validly dissolved.
(7) Names, date of birth, sex of other individuals in the home and personal or biological relationship to the applicant.
(8) Names, dates of birth and location of any minor children of the applicant who are not living in the home of the applicant
(9) Report of a medical examination of each applicant
(A) The report shall be completed by a licensed physician or a nurse practitioner or physician's assistant practicing under a licensed physician.
(B) The report shall be completed no more than 6 months before the date of the application to adopt.
(C) The agency may substitute a health questionnaire completed by the applicant for the medical report if both of the following conditions exist:
1. The applicant is the current care giver of the child or a relative seeking to adopt a specific child, and
2. The completed questionnaire does not, in the agency's judgment, identify indicators requiring further evaluation or report.
a. If in the agency's judgment, sufficient additional information is obtained from the physician who has been treating a specific condition identified in the questionnaire, additional medical examination is not necessary.
(10) A certificate, for each adult residing in the home, stating that the individual is free from communicable tuberculosis.
(11) The names of three individuals to be contacted by the agency for the purpose of obtaining references.
(12) The results of a screening for any criminal background of the applicant and any other adults residing in the home and, if required by Section 35184(e)(1), the FBI criminal record, if any, from the DOJ.
(13) The results of a screening for prior referrals for child abuse or neglect.
(14) Authorization for information from additional sources to be released to the agency, as necessary, to complete the assessment.
(15) Authorization for the adoption agency to release a copy of the written assessment to other adoption and child welfare agencies for the purpose of matching the applicant with a child for adoption.
(c) In assessing the adoptive applicant, the agency shall consider the following factors for the applicant, as well as any children or other adults residing in the home:
(1) Social history, including the following:
(A) Personal characteristics and current functioning.
(B) The results of a screening for any criminal record and child abuse index report.
(2) A determination of the applicant's commitment and capability to meet the needs of a child including both of the following:
(A) Basic needs.
(B) The specified needs of an identified child related to the assessment of the child under Sections 35127.1 and .2.
(3) The applicant's understanding of the legal and financial rights and responsibilities in adoption.
(4) Motivation for seeking adoption and the ability and willingness to assume permanent responsibility for the care, guidance and protection of a child through adoption.
(5) Adequacy of housing.
(6) Social support system.
(7) Financial stability.
(8) General characteristics:
(9) The preparation or plan the applicant has made for care of the minor in the event of death or incapacity of the adoptive parent or parents.
(10) The ability of the applicant to work with a child welfare agency in support of a case plan for a child who is a dependent of the juvenile court.
(A) Whether the applicant is willing and able to be a permanency planning family.
(d) If the adoptive applicant is a relative, the agency shall consider both of the following factors:
(1) The nature of the relationship the relative has with the birth parent or other extended family members.
(2) Whether the relative would like to enter into a kinship adoption agreement and, if so, what kind of post-adoption contact the relative would like to have with the birth parent or other family members.
(e) If the adoptive applicant is a birth parent of the child to be adopted, the following factor shall also be considered:
(1) If the child was a dependent of the juvenile court, whether the conditions which led to the child's removal from the parent still exist.
(f) The agency shall identify any resources, services or training needed to facilitate the adoptive applicant's ability to meet the needs of the child.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 361.5, 366.21 and 366.22, Welfare and Institutions Code.
HISTORY

1. New section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including amendment of subsections (b)(12) and (c)(1)(B) and amendment of Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35183. Abbreviated Assessment of the Adoptive Applicant.
Note     •     History

(a) The agency may conduct an abbreviated assessment under any of the following conditions:
(1) The applicant is the current care giver of the child to be adopted, and
(A) Is licensed or certified as a foster family home, and
(B) Has cared for the child, under the supervision of an adoption or child welfare agency, for at least six months.
(2) The applicant is an existing relative caregiver of the child to be adopted who was assessed under Welfare and Institutions Code Section 361.3, and written documentation of the assessment is available to the adoption agency.
(3) The applicant has successfully completed a prior agency, independent or intercountry adoption in California within the last five years and both of the following conditions exist:
(A) An approved written assessment was made as required by Section 35180 (agency), Section 35081 (independent), or Section 35257 (intercountry).
(B) The written assessment document is available to the agency completing the current assessment.
(b) The agency shall have at least one face-to-face contact with each applicant for the purpose of interviewing the applicant for the assessment. 
(1) The contact shall include, at least, all the following:
(A) One interview in the home of the applicant.
(B) A separate face-to-face interview with each applicant.
(C) A face-to-face interview with all individuals residing in the household, including the child to be adopted.
(2) The contact shall include additional interviews as necessary.
(c) The agency shall obtain from the applicant, at least, the following information:
(1) Identifying information:
(A) Full name, including aliases and maiden names.
(B) Current address and telephone number.
(C) Date of birth.
(D) Sex.
(2) Blood relationship to child, if any.
(3) Religion, if any.
(4) The following information only if it is not documented in previous assessments or, in the judgment of the agency, the applicant's circumstances have significantly changed since the previous assessment:
(A) Name and address of employer and length of time employed or most recent income tax return if self employed.
(B) Marriage certificate, if married, and verification of termination of prior marriages.
1. Any marriages and dissolutions occurring before a prior California adoption shall be assumed to have been valid at the time of the prior adoption.
2. When verification of the dissolution of all marriages of the applicants is not possible, the marriages preceding a verified divorce decree shall be assumed to be validly dissolved.
(C) Names, dates of birth and location of any minor children of the applicant who are not living in the home of the applicant.
(5) Names, date of birth, sex and relationship of other individuals in the home.
(6) Report of a medical examination of each applicant.
(A) The report shall be completed by a licensed physician or a nurse practitioner or physician's assistant practicing under a licensed physician.
(B) The report shall be completed no more than six months before the date of the application to adopt.
(C) The agency may substitute a health questionnaire completed by the applicant for the medical report if both of the following conditions exist:
1. The applicant is the current care giver or a relative seeking to adopt a specific child, and
2. The completed questionnaire does not, in the agency's judgment, identify indicators requiring further evaluation or report.
a. If in the agency's judgment, sufficient additional information is obtained from the physician who has been treating a specific condition identified in the questionnaire, additional medical examination is not necessary.
(7) A certificate for each adult residing in the home stating that the individual is free from communicable tuberculosis.
(8) The name of at least one individual to be contacted by the agency for the purpose of obtaining a reference.
(9) The results of a screening for any criminal background of the applicant and any other adults residing in the home, unless the agency has a current contract with the DOJ for the Subsequent Arrest Notification Services regarding them as specified in Section 35184(d), and, if required by Section 35184(e), the FBI criminal record.
(10) The results of a screening for prior referrals for child abuse or neglect.
(11) Authorization for information from additional sources to be released to the agency, as necessary to complete the assessment.
(12) Authorization for the agency to release a copy of the written assessment to other adoption and child welfare agencies for the purpose of matching the applicant with a child for adoption, if the applicant is seeking to adopt a child who is not already living in the applicant's home.
(13) The name of the agency that completed any prior assessment related to the care of a child as identified in Section 35183(a) and the approximate date the assessment was completed.
(A) Authorization for the agency to obtain the prior assessment.
(d) In assessing the adoptive applicant who meets the requirements for an abbreviated assessment as specified in Section 35183(a), the agency shall consider the following factors for the applicant, as well as for any children or other adults residing in the home:
(1) Any changes in circumstances since the prior assessment which the agency considers significant and which shall include, at least, all of the following:
(A) Marital status.
(B) Family constellation.
1. If the applicant adopted previously, the adjustment of the child and family to the adoption.
(C) Household membership.
(D) Employment and income.
(E) Health.
(F) Housing.
(G) Results of a screening for any criminal record or child abuse index report.
(2) Any factors which, in the agency's judgment, affect the potential safety and stability of a child placed with the applicant.
(3) A determination of the applicant's commitment and capability to meet the needs of a child including both of the following:
(A) Basic needs.
(B) The specified needs of an identified child related to the assessment of the child under Section 35127.1 and Section 35127.2.
(4) Understanding of the legal and financial rights and responsibilities of adoption and of the differences inherent in an adoptive parenting relationship.
(5) If a specific child has been identified, the nature of the relationship with the child who is to be adopted, including the duration and character of the relationship and the motivation for seeking adoption of the child.
(6) The preparation or plan the applicant has made for care of the minor in the event of death or incapacity of the adoptive parent or parents.
(7) The ability of the applicant to work with a child welfare agency in support of a case plan for a child who is a dependent of the juvenile court.
(A) Whether the applicant is willing and able to be a permanency planning family.
(e) If the adoptive applicant is a relative, the agency shall consider both of the following factors:
(1) The nature of the relationship the relative has with the birth parents or other extended family members.
(2) Whether the relative would like to enter into a kinship adoption agreement and, if so, the kind of post-adoption contact the relative would like to have with the birth parent or other family members.
(f) If the applicant is the current care giver of the child to be adopted, the agency shall consider the following:
(1) The adjustment of the child and the family since the child joined the family.
(2) The applicant's understanding of and ability to meet the needs of the child, including any special needs.
(3) The nature of the relationship or contact, if any, between the applicant and the child's birth parents, any of the child's siblings or half-siblings not residing with the child, or extended family members and plans for any ongoing contact.
(4) The applicant's understanding of the child's needs and the circumstances which led to the child's out-of-home placement.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 361.5, 366.21 and 366.22, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer of article 6 and repealer and new section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer of article 6 and repealer and new section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order, including amendment of section, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35183.1. Updating an Existing Assessment of the Adoptive Applicant.
Note     •     History

(a) (Reserved)
(b) The agency shall obtain authorization from the applicant to obtain the prior assessment.
(1) The agency shall include in the updated assessment, the name of the agency that completed the prior assessment and the date the assessment was completed.
(c) An update to an existing applicant assessment shall be completed in any of the following circumstances:
(1) In the agency's judgment, significant changes have occurred in the applicant's circumstances since the completion of the existing assessment which warrant such an update before the placement of a child in the home.
(B) Two years have passed since an agency completed the existing applicant assessment and the adoption of a child placed in the applicant's home, under the supervision of a child welfare or adoption agency, has not been finalized.
(C) Two years have passed since an agency completed the existing applicant assessment. The adoption of a child placed in the applicant's home, under the supervision of a child welfare or adoption agency, has not been finalized and a second child is being placed for adoption in the home.
(D) Three years have passed since the existing applicant assessment was completed by an agency and no child, under the supervision of a child welfare or adoption agency, has been placed in the applicant's home during that time.
(d) The agency shall complete an update of an existing assessment by following the format for an abbreviated assessment at Section 35183(b) and shall include information pursuant to Sections 35183(c) through (f), as necessary.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 361.5, 366.21 and 366.22, Welfare and Institutions Code.
HISTORY

1. New section filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
§35184. Criminal Background Check of Applicants.
Note     •     History

(a) The agency shall complete a criminal record check of all applicants and any other adults residing in the home to obtain, if any, the full state criminal record from the Department of Justice (DOJ) pursuant to Family Code Section 8712(a).
(b) The agency shall obtain copies of the full criminal record and the child abuse index report, if available, from the county or licensing agency if:
(1) The applicants are licensed or certified foster parents.
(2) The applicants are relatives of the child being adopted.
(c) For all other applicants for whom criminal record information is not otherwise available from counties or licensing agency, the agency shall submit to the DOJ one set of fingerprints for each applicant.
(1) The agency shall clearly indicate “Adoption” on the request to inform the DOJ of the purpose of the criminal record clearance.
(d) The agency shall contract with the DOJ for the Subsequent Arrest Notification Service in order to receive arrest information subsequent to the original DOJ criminal record sent to the agency and pending the court order granting the adoption.
(1) When the adoption has been finalized, denied, or dismissed, the Bureau of Criminal Identification shall be asked to discontinue sending subsequent arrest information about a subject previously fingerprinted for adoption purposes pursuant to Penal Code Section 11105.2(c).
(2) If the applicants are being assessed or investigated for another adoption, the agency shall maintain the Subsequent Arrest Notification Service active.
(e) The agency shall obtain the FBI criminal record, if any, of the applicant and any other adults residing in the home, from the DOJ when they have resided in California for less than two years or when information gathered in the assessment has given the agency reason to believe that they may have committed a crime in another jurisdiction.
(D) The agency shall obtain new sets of fingerprints and shall make new requests to the DOJ for the FBI criminal record in the event of subsequent adoptions unless the Subsequent Notification Service is still in effect.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8712, Family Code; and Section 11105.2, Penal Code.
HISTORY

1. New section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including amendment of section, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35185. Interviews During Assessment.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8715, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)-(4) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35187. Exceptions to Assessment Interview Requirements.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8715, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35189. Identifying Information and Evaluation of Characteristics of Applicant.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8708, 8712, 8715, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsections (a), (a)(1) and (a)(2) and new subsection (a)(3) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending section and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35191. Information and Statement to Be Provided to the Adoptive Applicant.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608 and 8621, Family Code. Reference: Sections 8608, 8702, 8706, 9203, 9204 and 9205, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (b)(1)-(2), (b)(3) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35193. Information and Services to Be Provided to Adoptive Applicant.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608 and 8621, Family Code. Reference: Sections 8608, 8704, 8706, 8707, 8712, 8713, 8715, 8716, 8717, 8720, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (b)(1)-(6) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 12. Adoptive Placement
§35195. Child's Medical and Psychosocial Background Information to be Provided to the Prospective Adoptive Parents.
Note     •     History

(a) Before or at the time of the child's adoptive placement the agency, using form AD 512, as specified by Section 35000(m)(2), shall give a written medical report about the child to the prospective adoptive parents in accordance with Family Code Section 8706. The agency shall obtain a written statement from the prospective adoptive parents acknowledging receipt of the report.
(2) The agency shall document the following information on the AD 512:
(A) The name of any report, document, or information provided to the prospective adoptive parents.
1. The information provided to the prospective adoptive parents shall include a copy of the written assessment of the child as defined in Section 35127.
2. The information provided to the prospective adoptive parents shall include all recommendations or comments made by the agency to the prospective adoptive parents about the child or his or her family background.
(B) The name of any report, document, or information described in Section 35000(m)(2) that was not obtained and the reason(s) that the information was not available.
(3) The agency shall attach the medical report documents to the AD 512 and complete the following procedures:
(A) Photocopy, except as provided in Section 35195(a)(4), all available original source reports and evaluations obtained during the adoption investigation of the child and his or her birth parents' medical and family backgrounds.
1. The photocopies shall be listed on the attached to the AD 512.
(B) Delete the names and addresses of all individuals, including former caretakers, the child, and the source, contained in all reports or evaluations, before releasing the AD 512 and the attached documentation, unless any of the following conditions exist:
1. The child is a relative of the prospective adoptive parents.
2. The child has been placed in the home of the prospective adoptive parents as a foster child under the supervision of an agency.
3. Before the finalization of the adoption, the court has ordered identifying information be provided to the prospective adoptive parents.
(C) When the identity of other persons, such as other children in a former foster home, would be revealed or when the information is not directly related to the child's current or future well-being, include only summaries of original source reports on the AD 512.
(4) When providing information for the medical report, the agency shall not interpret or summarize medical terminology or any health condition indicated in the original source reports, except as noted in this section. Emphasis shall be placed on citing verbatim from any report or evaluation contained in the adoption record according to the following procedures:
(A) If a birth parent has received psychiatric or psychological evaluations, the diagnosis of his or her condition shall be given verbatim.
1. The agency shall not release the original report of the evaluation.
(B) If a birth parent has received in-patient psychiatric treatment, information concerning his or her diagnosis, response to treatment and prognosis shall be given verbatim.
1. The agency shall not release the original report of the hospitalization.
(5) The agency shall advise the prospective adoptive parents that, upon receipt of the medical report, the prospective adoptive parents should consult their physician and/or mental health professional for further evaluation or interpretation, particularly if the report contains material sensitive in subject matter.
(6) The agency shall document in the adoption case record the manner in which the information was released and the date on which the information was released.
(7) The agency shall document in the adoption case record and court report the name of any report, document or information described in Section 35000(m)(2) that the agency was unable to obtain and the reason(s) that the information was not available.
(8) The agency shall obtain the prospective adoptive parents' signatures in the space provided on the AD 512 acknowledging receipt of the report.
(A) The agency shall make a copy of the completed AD 512 and any attached documents with the prospective adoptive parents' signatures for the adoption case record.
(b) Before the finalization of the adoption, the agency shall give the prospective adoptive parents any medical and family background information about the child and his or her birth parents received after the release of the medical report pursuant to Section 35195(a).
(1) The agency shall give the information upon its receipt to the prospective adoptive parents in the same manner described in Section 35195(a).
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608 and 8621, Family Code. Reference: Section 8706, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a) and new subsections (a)(7), (a)(7)(B)-(a)(7)(E), (a)(8) and (a)(8)(A)-(a)(8)(D) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending subsections (a)(1)-(3), (a)(4)-(6), (a)(7) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Repealer of former section 35195 and renumbering and amendment of former sections 35209 and 35211 to section 35195 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Repealer of former section 35195 and renumbering and amendment of former sections 35209 and 35211 to section 35195 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. New article 12 heading and Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35197. Placement Requirements.
Note     •     History

(a) (Reserved)
(b) Except as provided in Section 35199(b), an agency shall place a child for adoption only when the requirements of Section 35128 have been met.
(c) In selecting prospective adoptive parents for a child, the agency shall:
(1) Consider the expressed wishes of the relinquishing parent.
(2) Follow the placement requirements of Family Code Sections 8708, 8709, 8710, and 8711.
(3) Select from identified prospective adoptive parents with approved assessments satisfying the criteria set forth in Sections 35180 and 35181 and conducted by the agency, or other California licensed public or private adoption agencies, or licensed adoption agencies out of the state.
(d) The agency shall make available counseling, information, and educational services to prospective adoptive parents whose racial, ethnic, or cultural background is different from the child's in an effort to assist the family to meet the child's needs and to be sensitive about others' perceptions of the child.
(e) In a cooperative placement (where one agency has custody of the child and another agency completed and approved the assessment of the prospective adoptive parents), both agencies shall share responsibility for meeting all the requirements for the completion of the adoption.
(1) The agency that has custody of the child shall be responsible for meeting the requirements of the following sections:
(A) 35127.1 Content of Written Assessment of the Child, and
35127.2 Documents, Reports and Authorizations Required for Assessment of the Child, and
35127.3 Services for Children Accepted for Adoption Planning;
(B) 35195 Child's Medical and Psychosocial Background Information to be Provided to the Prospective Adoptive Parents;
(C) 35201 Adoptive Placement Agreement;
(D) 35205 Providing Services to Prospective Adoptive Parents Who Move after the Adoptive Placement;
(E) 35207 Termination of an Adoptive Placement;
(F) 35325 through 35351 Adoption Assistance Program
1. 35325(e)(3)(C)1. and (D)2. Adoption Assistance Program Payment Amount and Agreement (only completed by licensed public adoption agencies).
(2) The agency that approved the assessment of the prospective adoptive parents shall be responsible for meeting the requirements of the following sections:
(A) 35177 Written Application to Adopt, Agency Actions, and Authority for Disapproval;
(B) 35179 Information to be Provided to an Applicant;
(C) 35180 Written Assessment of the Adoptive Applicant and Documentation and
35181 Full Assessment of the Adoptive Applicant, or
35183 Abbreviated Assessment of the Adoptive Applicant;
35184 Criminal Background Check of Applicants;
(D) 35197(c) Services Regarding Ethnic and Cultural Differences;
(E) 35203 Supervision of the Adoptive Placement;
(F) 35207 Termination of the Adoptive Placement;
(G) 35211 Completing the Court Report;
(H) 35213 Immediate Filing of the Court Report;
(3) The agencies may modify the division of responsibilities set forth in Sections 35197(e)(1) and (2) by a mutual written agreement.
(4) The agency that has responsibility for the custody of the child shall be responsible for meeting the requirements of Section 35197(b) regarding the selection of prospective adoptive parents.
(f) The agency that has custody of the child shall file with the department the following documents which pertain to the placement of the child for adoption or the termination of an adoptive placement:
(1) The AD 558.
(A) The agency shall file the AD 558 with the department within 15 days of the signing of the adoptive placement agreement.
(2) The AD 580.
(A) The agency shall file the AD 580 with the department within 15 days of the removal of the child from an adoptive home.
(g) The agency that has the responsibility to complete the court report shall also be responsible for meeting the requirements set forth in Section 35213 when the recommendation is to deny the adoption petition or when the prospective adoptive parents desire to withdraw the adoption petition.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 7630, 7634, 7660, 7669, 7893, 8700 and 8704, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Renumbering of former subsection (a)(1) to subsection (a)(4), renumbering of former subsection (a)(1)(A) to subsection (b) and new subsections (a)(1)-(a)(3) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. New article 9 (sections 35197-35209) and repealer and new section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. New article 9 (sections 35197-35209) and repealer  and new section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Repealer of article 9 heading and Certificate of Compliance as to 11-24-98 order, including redesignation of former section (e)(2)(I) to subsection (e)(1)(F)1., transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35199. Exception to the Requirement That Child Be Legally Freed Prior to Adoptive Placement.
Note     •     History

(a) (Reserved)
(b) No agency shall sign an adoption placement agreement until the child is legally free for adoptive placement unless:
(1) The child is already placed in a home with prospective adoptive parents who have an approved assessment satisfying the criteria set forth in Sections 35180, 35181, or 35183 and with the approval of the agency's administrator, and
(A) The birth mother and presumed father, if any, have signed a relinquishment document and
(B) The relinquishment document has been filed with the department, and
(C) The department has acknowledged the relinquishment and issued an AD 4333; and
(D) An action to terminate the rights of any alleged natural father pursuant to Family Code Sections 7630, 7634, 7660, 7662, or 7669 has been filed and is pending in court.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 7630, 7634, 7660, 7662, 7669, 7893, 8700, 8704, 8708, 8709, 8710 and 8711, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (b)(1)(C) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Repealer of article 7 heading and Certificate of Compliance as to 11-24-98 order, including amendment of Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35201. Adoptive Placement Agreement.
Note     •     History

(a) (Reserved)
(b) At the time of the adoptive placement, an adoptive placement agreement shall be signed by the agency representative and each prospective adoptive parent.
(1) The placement agreement shall include, but not be limited to, statements regarding:
(A) The rights and responsibilities of the agency and the prospective adoptive parents.
1. The child's legal status, including court dependency and any terms and/or conditions of the adoptive placement of a child not yet freed for adoption.
(B) The agency's responsibility to retain custody of the child and to supervise the adoptive placement until the granting of the final decree of adoption in accordance with Family Code Section 8704 and Welfare and Institutions Code Section 366.26(i).
(C) The agency's responsibility to provide the prospective adoptive parents with a report on the child's medical background.
(D) The availability of AAP to remove or reduce economic barriers to the placement of certain children who otherwise would remain in long-term foster care.
(E) The existence of or due to family history, the potential for any physical, mental, emotional, or medical handicap or condition of the child which may manifest itself after completion of the adoption.
(F) The availability of California Children's Services and the fact that assistance under this program will terminate if the adoptive family moves out of California and that the adoptive family may be eligible for a similar program in the other state.
(G) The agency's grievance review procedure.
(H) The prospective adoptive parent's responsibility to place the child under the care of a licensed physician for the routine health care of the child.
(I) The prospective adoptive parent's responsibility to inform the agency of any serious injury to or illness of the child and to obtain prior written consent for all nonemergency surgical and medical treatment of the child.
(J) The prospective adoptive parent's responsibility to inform the agency regarding any changes in the composition of the adoptive family or the family's place of residence.
(K) The agency's authority to terminate the adoptive placement and to remove the child from the home of the prospective adoptive parents at the agency's discretion unless a petition for adoption has been filed.
(L) The agency's agreement to give seven days written notice to the prospective adoptive parents of its intention to terminate the adoptive placement and remove the child unless the agency believes the child to be in imminent danger in which case no prior notice shall be required.
(M) The prospective adoptive parent's right to terminate the adoptive placement and return the child to the agency at any time prior to the granting of a final decree of adoption.
(N) The provisions of Family Code Section 8713 and Penal Code Section 280 regarding concealment of a child.
(O) The disbursement report required by Family Code Section 8610.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 1530, Health and Safety Code;. Reference: Sections 8610, 8704 and 8713, Family Code; 25 U.S.C. 1901 et seq.; and Sections 16118 and 16119, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Renumbering of former subsections (a)(1) and (a)(2) to subsections (a)(2) and (a)(3) and new subsection (a)(1) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending subsection (b)(2) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Amendment of section heading, subsections (b)(1)-(3), subsection renumbering and amendment of Note filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
6. Reinstatement of section heading, subsections (b)(1)-(3), subsection renumbering and amendment of Note as they existed prior to emergency amendment of 12-22-95 by operation of Government Code section 11346.1(f) (Register 96, No. 21).
7. Amendment of section heading, subsections (b)(1)-(3), subsection renumbering and Note filed 5-24-96; operative 5-24-96 (Register 96, No. 21).
8. Repealer of former section 35201 and renumbering and amendment of former section 35207 to section 35201 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
9. Editorial correction restoring inadvertently omitted subsections (b)-(b)(1)(O) (Register 98, No. 37).
10. Repealer of former section 35201 and renumbering and amendment of former section 35207 to section 35201 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35203. Supervision of the Adoptive Placement.
Note     •     History

(a) (Reserved)
(b) After the signing of the adoptive placement agreement, the agency shall supervise the adoptive placement.
(c) The agency shall supervise the adoptive placement for a period of six months except in any of the following circumstances:
(1) The prospective adoptive parent had an approved assessment and successfully completed the adoption of another child in California within the past five years and the placement was supervised by an agency.
(2) The prospective adoptive parent is commissioned or enlisted in the military service, or auxiliary of the United States, or is engaged in service on behalf of any governmental entity of the United States, or employed by the American Red Cross, or in any other recognized charitable or religious organization, whereas, completion of the six month supervisory period would delay completion of an adoption which the agency has determined should be completed.
(3) The child to be adopted is a foster child of the prospective adoptive parent whose foster care placement has been supervised by an agency before the signing of the adoptive placement agreement in which case the supervisory period may be shortened by one month for each full month that the child has been in foster care with the family.
(A) If the placement of a child was a voluntary foster care arrangement with no supervision by an agency, the adoptive placement shall be subject to a full six-month period of supervision that shall begin at the time the adoptive placement agreement is signed. 
(4) The child to be adopted was a foster child placed with a relative or a relative of the child's half sibling whose foster care placement has been supervised by an agency before the signing of the adoptive placement agreement in which case the supervisory period may be shortened by one month for each full month that the child has been in foster care with the relative.
(5) If the placement of a child with a relative or a non-relative was intended to be an independent adoption and the placement is converted to an agency placement, it shall be subject to a full six-month period of supervision that shall begin at the time a new adoptive placement agreement is signed.
(d) The agency shall conduct a minimum of four visits during the supervision of the adoptive placement. At least one of these visits is to be held in the home with the prospective adoptive parent and the child.
(1) The agency may reduce the number of visits, but shall not eliminate the one visit in the home, when the prospective adoptive parent:
(A) Completed the adoption of another child in California whose placement was supervised by an agency within the last five years and has an approved assessment satisfying the criteria set forth in Sections 35180 and 35181, or
(B) Has been the foster parent of the child to be adopted for at least six months in a placement supervised by an agency and has an approved assessment satisfying the criteria set forth in Sections 35180 and 35183, or
(C) Has been the relative care giver of the child to be adopted for at least six months in a placement supervised by an agency and has an approved assessment satisfying the criteria set forth in Sections 35180 and 35181 or Section 35183 or Section 35183.1, or
(D) Has been the foster parent of the child to be adopted for less than six months in a placement supervised by an agency and has an approved assessment satisfying the criteria set forth in Sections 35180 and 35181 or Section 35183 or Section 35183.1.
1. Only two of all visits made during the foster care placement may be counted toward the four required visits under the adoptive placement supervisory period.
(E) Has been the relative care giver of the child to be adopted for less than six months in a placement supervised by an agency and has an approved assessment satisfying the criteria set forth in Sections 35180 and 35181 or Section 35183 or Section 35183.1.
1. Only two of all visits made during the foster care placement may be counted toward the four required visits under the adoptive placement supervisory period.
NOTE

Authority Cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 7893 and 8704, Family Code; 25 U.S.C. 1901 et seq.; and Section 361.3 Welfare and Institutions Code.
HISTORY

1. New section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 96, No. 21.
2. New section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including amendment of subsections (d)-(d)(1)(C), new subsections (d)(1)(D)-(d)(1)(E)1. and repealer of subsection (d)(2), transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35205. Providing Services to Prospective Adoptive Parents Who Move After the Adoptive Placement.
Note     •     History

(a) In planning for prospective adoptive parents who move after the adoptive placement, the agency shall:
(1) Inform the prospective adoptive parents of the provisions of Family Code Sections 8611, 8612, 8613, 8614, 8616, and 8718, regarding prior court appearance, as appropriate.
(2) Inform the prospective adoptive parents that the agency is required by Family Code Section 7900 et seq. to comply with the provisions of the Interstate Compact for the Placement of Children.
(3) All requests for service to an out-of-state agency shall include a clear statement of:
(A) The service requested and the help the family needs.
(B) The reports expected in accordance with California regulations.
(C) Whether finalization of the adoption is to be in California or in the other location.
(D) The arrangements that the agency has made for the return of the child to the California agency if the placement is unsuccessful.
(E) Information regarding fees paid or to be paid.
(4) If the request for service is refused, the out-of-state agency shall be requested to provide names of qualified agencies or practitioners to which the adoptive family may be referred for services.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 7900 et seq., 8611, 8612, 8613, 8614, 8616 and 8718, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect repealing section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Renumbering and amendment of former section 35225 to section 35205 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
4. Renumbering and amendment of former section 35225 to section 35205 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35207. Termination of the Adoptive Placement.
Note     •     History

(a) (Reserved)
(b) In the event that a placement is terminated by the agency, and the child is to be removed from the home of the prospective adoptive parents, and the agency has no reason to believe that the child is in imminent danger the agency shall:
(1) Provide the prospective adoptive parents with a written notification of the agency's reasons for terminating the placement
(A) The notice shall be sent seven days prior to the termination of the placement.
(B) The notice shall state the specific conditions which led to the agency's decision to remove the child.
(C) The notice shall inform the prospective adoptive parents of the right to a grievance review under Subchapter 5, Article 9, Section 35233 et seq.
(c) In the event that a relinquishment document names the person or persons with whom the relinquishing parent intends that placement of the child for adoption be made by the agency and the agency terminates the placement with the named person or persons, the agency shall notify the relinquishing parent naming the person or persons of the termination of the placement and of his or her right to rescind the relinquishment and reclaim the child as required by Family Code Section 8700 Subdivision (f).
(d) If a placement is terminated before finalization of the adoption, the agency shall determine whether the family is to be considered for the placement of another child or whether approval of the family is to be withdrawn.
(1) The agency shall document its determination in the case record.
(2) The agency shall give the family written notice of its determination.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8700, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsections (a)(1)(B), (K) and (M) filed 12-1-88; operative 12-31-88 (Register 89, No. 1).
3. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Amendment of section and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-31-94 order including amendment of subsection (b)(1)(D) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
6. Renumbering of former section 35207 to section 35201 and renumbering and amendment of former section 35223 to section 35207 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
7. Renumbering of former section 35207 to section 35201 and renumbering and amendment of former section 35223 to section 35207 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35207.1. Reporting Suspected Child Abuse.
Note     •     History

(a) If the agency knows or reasonably suspects the prospective adoptive parents have endangered the physical or mental health of a child by abuse or neglect, the agency shall immediately contact the appropriate child protective agency and file the mandatory “Suspected Child Abuse Report” (Form SS 8572 Revised 1/93) pursuant to Penal Code Section 11166(a).
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 8700, Family Code; and Sections 11165, 11165.1, 11165.2, 11165.3, 11165.4, 11165.6 and 11165.7, Penal Code.
HISTORY

1. Renumbering of former section 35153.1 to section 35207.1 filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
Article 13. Completing the Adoption
§35209. Kinship Adoption Agreement.
Note     •     History

(a) If the adoption petition includes a proposed kinship adoption agreement, the agency shall review the documents to determine whether all the following requirements are satisfied:
(1) A kinship, as defined in Family Code Section 8714.7(c) exists between the adopting relatives and the child which allows a kinship adoption agreement.
(2) The content of the proposed kinship adoption agreement meets the statutory requirements specified in Family Code Section 8714.7.
(3) The proposed kinship adoption agreement is in the best interest of the child.
(4) The child who is to be adopted has consented to and signed the kinship adoption agreement, if he or she is age 12 or older.
(b) The agency shall advise the adopting relative and the birth parent if any determination made under Section 35127.1 will cause the agency to recommend that the court not grant the post-adoption contact privileges in the proposed kinship adoption agreement.
(c) The agency shall include in its report to the court a discussion of its findings and conclusions based on determinations made under Section 35127.1 and a recommendation as to whether the court should grant the post-adoption contact privileges in the proposed kinship adoption agreement.
(1) If the proposed kinship adoption agreement has been amended following advice given pursuant to Section 35127.1, the agency shall base its court report on the amended kinship adoption agreement.
NOTE

Authority Cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8714.5, 8714.7 and 8715, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsection (a), new subsections (a)(3) and (a)(3)(A), and amendment of Note filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
4. Amendment of subsection (a) and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-31-94 order transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
6. Renumbering of former section 35209 to portion of section 35195 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
7. Renumbering of former section 35209 to portion of section 35195 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
8. New article 13 heading and Certificate of Compliance as to 11-24-98 order, including renumbering of former section 35209.2 to section 35209 and amendment of subsection (b), transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35209.1. Information Regarding Kinship Adoption.
Note     •     History

NOTE

Authority Cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8714.5, 8714.7 and 8715, Family Code.
HISTORY

1. New article 12 (sections 35209.1-35209.2) and section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New article 12 (sections 35209.1-35209.2) and section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Repealer of article 12 heading and Certificate of Compliance as to 11-24-98 order, including renumbering of former section 35209.1 to section 35179.1, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35209.2. Kinship Adoption Agreement.
Note     •     History

NOTE

Authority Cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8714.5, 8714.7 and 8715, Family Code.
HISTORY

1. New section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order, including renumbering of former section 35209.2 to section 35209, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35211. Completing the Court Report.
Note     •     History

(a) Before submitting a report to the court, the agency shall provide written information about the availability of Adoption Assistance Program (AAP) benefits to the prospective adoptive parents.
(b) The agency shall file a report to the court in all cases where the agency has signed an adoptive placement agreement and the prospective adoptive parents have filed and adoption petition.
(1) The report to the court shall be submitted as soon as all requirements are completed but no later than either 180 days after the adoption petition has been filed or the time extended by the court.
(2) If two or more agencies are participating in a cooperative placement, the prospective adoptive family's agency shall be responsible for preparing the report to the court unless the agencies mutually agree otherwise.
(c) The agency shall give the petitioners or their attorney a copy of the court report at the time it is filed.
(d) The report to the court shall include, to the extent available, the following information:
(1) Medical and family background information about the birth parents as required by Section 35195(a).
(2) Information obtained in the Assessment of the Child as required by Section 35127.1.
(3) Information obtained in the Assessment of the Applicant as required by Section 35180.
(4) Conclusions drawn from an assessment of whether the petitioner's record of criminal or violent behavior, if any, will affect his or her ability to provide appropriate parenting and a stable and safe home environment for the child.
(A) The agency shall utilize the most current criminal record information in its preparation of the court report.
(B) A licensed private adoption agency which has placed a child with an applicant requiring an FBI criminal record assessment by the SDSS--Adoptions Branch shall provide written notice to the SDSS at least twenty working days prior to the anticipated adoption petition hearing date that the agency is preparing to finalize an adoption, and request the SDSS assessment of the FBI criminal record, if any, be submitted to the court prior to the hearing date.
(5) If the prospective adoptive parent is a relative of the child to be adopted and a written agreement pursuant to Family Code Section 8714.7 has been negotiated by the birth relatives, a statement of whether the kinship adoption agreement is in the child's best interest.
(A) A statement recommending approval or disapproval of the kinship adoption agreement shall be included.
(6) A copy of the documentation that the child is legally free for finalization of the adoption.
(7) A recommendation that the petition be either granted or denied.
(8) A copy of the AD 824 properly executed.
(9) A copy of the VS 44 properly completed.
(C) The agency shall ensure that the prospective adoptive parents complete the applicable section and sign the form.
(D) The agency shall complete the sections which pertain to the birth parents after the prospective adoptive parents have completed their section.
(E) In the event of the death of one of the prospective adoptive parents before finalization of the adoption, the agency shall inform the survivor of the provisions of Family Code Section 8615.
(10) The agency shall state in the court report whether the birth certificate contains false information.
(11) A statement verifying that the agency provided written information about the AAP to the prospective adoptive parents.
(e) The agency shall not include the names and addresses of the birth parents in the court report, unless:
(1) The child is being adopted by relatives as defined in Section 35000(r)(5)(A) and the adopting relative or the child, who is age 12 years or older, requests that the court report include:
(A) The name of the birth parents.
(B) The name the child had before the adoption.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8614, 8615, 8616, 8617, 8618, 8712, 8714.5, 8714.7 and 8715, Family Code; Sections 102635, 102640, 102645, 102650, 102660, 102670, 102675, 102680, 102695 and 102700, Health and Safety Code; and Section 16119, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of newly designated subsection (a), new subsections (a)(1)-(b)(1)(D)2., and amendment of Note filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
4. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Renumbering of former section 35211 to portion of section 35195 and renumbering and amendment of former section 35229 to section 35211 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Renumbering of former section 35211 to portion of section 35195 and renumbering and amendment of former section 35229 to section 35211 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order, including amendment of subsection (c)(9)(E), transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
8. New subsection (a), subsection relettering, new subsection (d)(11) and amendment of Note filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
9. New subsection (a), subsection relettering, new subsection (d)(11) and amendment of Note refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-31-2001 order transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
§35213. Immediate Filing of the Court Report.
Note     •     History

(a) After the prospective adoptive parents have filed the petition to adopt the child, the agency shall immediately file the court report when any of the following conditions exist:
(1) There is a serious question concerning the suitability of the prospective adoptive parents.
(2) There is a serious question concerning the care provided to the child.
(A) If the agency knows or reasonably suspects the prospective adoptive parents have endangered the physical or mental health of a child by abuse or neglect, the agency shall immediately contact the appropriate child protective agency and file the mandatory “Suspected Child Abuse Report” (Form SS 8572 Revised 1/93) pursuant to Penal Code Section 11166(a).
(3) The prospective adoptive parents have indicated a desire to withdraw the adoption petition.
(4) A petition for the adoption of a child for whom the agency has care, custody, and control pursuant to Family Code Section 8704(a) is filed by persons with whom the agency has not signed an adoptive placement agreement.
(b) The agency shall include in the court report, as appropriate, the following:
(1) The basis for its concerns regarding the suitability of the prospective adoptive parents or the care provided the child.
(2) A request to the court for direction regarding the situation giving rise to the agency's concern.
(3) A recommendation that the adoption petition be denied.
(4) A recommendation that the adoption petition be withdrawn according to the prospective adoptive parent's wishes.
(5) A request that the adoption petition be dismissed if it was filed by persons with whom the agency has not signed an adoptive placement agreement.
(c) If the agency recommends that the adoption petition be denied or withdrawn, it shall appear at the hearing to represent the child.
NOTE

Authority Cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8704, 8715, 8719 and 8720, Family Code; and Sections 11165, 11165.1, 11165.2, 11165.3, 11165.4, 11165.6, 11165.7 and 11166, Penal Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer and new section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer and new section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order, including amendment of subsection (a)(2)(A) and amendment of Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 14. Grievance Review
§35215. Written Request for Grievance Review.
Note     •     History

(a) Upon written request from an applicant or a prospective adoptive parent, the agency shall provide for a grievance review hearing on any action taken by the agency before a petition for adoption is filed.
(1) The agency shall advise applicants or prospective adoptive parents that the request for a grievance review hearing shall:
(A) Be signed by the applicant or prospective adoptive parent or his or her authorized representative.
(B) State specifically the facts surrounding the action complained of.
(C) Be submitted to the agency within thirty days of the agency action which is the subject of the complaint, except as specified in (D) below.
(D) Be submitted to the SDSS--Adoptions Branch if the grievance concerns an action taken by a licensed private adoption agency based on the FBI criminal record.
(2) No request for a grievance review hearing shall be granted if the request for a grievance review hearing is based solely on any of the following:
(A) Any action of the agency in compliance with a court order.
(B) A question regarding the validity of a statute or a regulation.
(C) Any issue for which a state hearing is available under Welfare and Institutions Code Section 10950.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8712, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a) filed 12-1-88; operative 12-31-88 (Register 89, No. 1).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Repealer of article 8 heading, new article 14 and Certificate of Compliance as to 11-24-98 order, including renumbering of former section 35233 to section 35215, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35217. Scheduling and Notice of Grievance Review Hearing.
Note     •     History

(a) The agency shall schedule the grievance review hearing to be held within 10 working days from the date the written request for the grievance review hearing is received by the agency.
(1) The agency shall give notice to all parties to the grievance review hearing of the time, date, and place scheduled for the grievance review hearing.
(A) The agency shall send the notice not less than five working days prior to the scheduled grievance review hearing.
NOTE

Authority cited: Sections 10553 and 10544, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 10553(e), Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order, including renumbering of former section 35235 to section 35217, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35219. Conducting the Grievance Review Hearing.
Note     •     History

(a) The grievance review hearing shall be conducted by a grievance review agent in a nonadversary atmosphere insofar as possible.
(1) The agency shall provide for the recording of the grievance review hearing.
(2) The parties to the grievance review hearing, their authorized representatives, if any, and witnesses while testifying shall be the only persons authorized to be present during the grievance review hearing unless:
(A) All parties and the grievance review agent agree to the presence of other persons.
(3) If the grievance review agent determines that additional evidence or witnesses are necessary in order to make a recommendation to the agency director, the grievance review agent shall continue the grievance review hearing for a period not to exceed 10 working days.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 10553(e), Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order, including renumbering of former section 35237 to section 35219, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35221. Written Recommendation of Grievance Review Agent and Decision of Director.
Note     •     History

(a) The grievance review agent shall make a written recommendation to the agency director regarding resolution of the grievance within five working days after completion of the grievance review hearing.
(1) The agency director shall make a written decision within five working days of the receipt of the recommendations of the grievance review agent, based upon the evidence presented at the grievance review hearing.
(A) The written decision shall:
1. Summarize the facts and issues involved.
2. Make specific findings regarding the issues.
3. Be sent to:
(i) Each party to the grievance.
(ii) Each authorized representative of each party, if any.
(iii) The department.
NOTE

Authority cited: Section 10553, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 10553(e), Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88,No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-24-98 order, including renumbering of former section 35239 to section 35221, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35223. Written Notification of Termination of Adoptive Placement.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8700, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. New subsection (c) and amendment of Note filed 9-8-93; operative 10-7-93 (Register 93, No. 37).
4. Change without regulatory effect amending subsection (c) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Renumbering of former section 35223 to section 35207 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Renumbering of former section 35223 to section 35207 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35225. Procedures for Prospective Adoptive Parents Who Move After the Adoptive Placement and Requests for Service.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 7900 et seq., 8611, 8612, 8613, 8614, 8616 and 8718, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)-(a)(3)(D) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Renumbering of former section 35225 to section 35205 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35225 to section 35205 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35227. Securing an Amended Birth Certificate.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8615, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a)(4) and repealer of subsection (a)(5) filed 12-1-88; operative 12-31-88 (Register 89, No. 1).
3. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending subsection (a)(6) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35229. Completion of the Adoption.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Sections 8712 and 8715, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. New subsection (a)(2) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Renumbering of former section 35229 to section 35211 filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Renumbering of former section 35229 to section 35211 refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35231. Concurrent Petitions.
Note     •     History

NOTE

Authority cited: Section 10553, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8704, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending newly designated subsection (a) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35233. Written Request for Grievance Review.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 8712, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a)(1)(C) and new subsection (a)(1)(D) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending subsections (a)(1)(A)-(B), (a)(2)(A)-(C) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Repealer of article 9 heading and renumbering of former section 35233 to section 35215 filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
§35235. Scheduling and Notice of Grievance Review Hearing.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10544, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 10553(e), Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Renumbering of former section 35235 to section 35217 filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
§35237. Conducting the Grievance Review Hearing.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 10553(e), Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Renumbering of former section 35237 to section 35219 filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
§35239. Written Recommendation of Grievance Review Agent and Decision of Director.
Note     •     History

NOTE

Authority cited: Section 10553, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 10553(e), Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending subsections (a)(1)(A)1.-(a)(1)(A)3.(ii) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Renumbering of former section 35239 to section 35221 filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
Subchapter 6. Procedures for Intercountry Adoptions
Article 1. General and Administrative Requirements
§35241. Additional Administrative Requirements for Intercountry Adoptions.
Note     •     History

(a) In addition to meeting the requirement of Section 35039, the agency shall make copies of the following available to all staff:
(1) Federal statutes and regulations pertaining to intercountry adoptions.
(2) Current written information explaining the laws, policies and procedures of any foreign agency.
(3) Either copies of or the requirements contained in all written agreements between the agency and any foreign agency as required in Section 35243 below.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)-(2) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35243. Written Agreement with Foreign Agency.
Note     •     History

(a) The agency shall have a written agreement with each foreign agency from which the agency places children.
(1) The written agreement between the agency and the foreign agency shall:
(A) Verify that the foreign agency is authorized to place children for intercountry adoption under the laws of the foreign agency's country.
(B) Specify the responsibility of the foreign agency for the care of the child including medical care and financial support.
(C) Specify the authority and responsibility of the foreign agency in relation to placement, disruptions, finalization of the intercountry adoption or return of the child to his or her native country.
(D) Specify that the agency shall notify the foreign agency in writing whenever the adoption cannot be finalized.
(E) Specify the supervision and reporting requirements of the foreign agency.
(F) Specify the policies and procedures for the selection of children through the foreign agency.
(G) Specify responsibility for travel arrangements for the child's transportation from the child's native country to the final California destination.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900 and 8905, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)(A)-(F) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35245. Submission of Reports.
Note     •     History

The agency shall submit intercountry reports to the department as required including but not limited to the following:
(1) The number of applications pending.
(2) The number of completed Assessments of Applicants.
(3) The number of pending Assessments of Applicants.
(4) The number of adoptions by relatives.
(5) The number of homes awaiting placement of a foreign-born child.
(6) The number of completed intercountry adoptions.
(7) The number of foreign-born children placed by country of origin.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 10852, Welfare and Institutions Code; and Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)-(6) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35247. Submission of Information to the Department.
Note     •     History

(a) Agencies that provide intercountry adoption services shall submit the following information to the department for each adoptive placement of a foreign-born child.
(1) Child's birth name and date of birth.
(2) Names of adoptive parents.
(3) Names of birth parents, if available.
(4) Name of foreign agency.
(5) Name of agency.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 10852, Welfare and Institutions Code; and Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)-(4) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35249. Requirement for Fee Schedule.
Note     •     History

(a) The agency shall establish a fee schedule for intercountry adoption services as required by Family Code Section 8907.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8900, Family Code. Reference: Sections 8900 and 8907, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35251. Intercountry Adoptions Case Record Requirements.
Note     •     History

(a) The agency shall maintain a permanent record for each foreign-born child and/or family for whom the agency provides adoption services.
(1) In addition to copies of all correspondence case records shall include:
(A) Copies of all documents received from the foreign agency.
(B) Written Assessment of the Child as required by Section 35275 including a copy of the psychological and medical history form as required by Section 35285.
(C) Copy of written Background Information on Birth Parents as required by Subchapter 6, Article 5 including medical report on the mother of the child as required by Section 35289(a)(2)(B).
(D) Copy of written Assessment of the Applicant as required by Subchapter 6, Article 3 including:
1. Documentation required by MPP Section 35269.
2. Copy of notification of agency's decision regarding the assessment required by Section 35273.
(E) Information regarding application, placement and supervision including:
1. Copy of completed application required by MPP Section 35255.
2. Copy of placement agreement required by MPP Section 35297(a)(7).
3. Copy of updated psychological and medical history form and updated assessment of the child required by Sections 35305(a)(3) and (4).
4. Documentation that the agency provided a copy of the updated psychological and medical history form to the prospective adoptive parent as required by Section 35305(a)(3)(A).
5. Documentation to support any reduction in the six-month supervisory period specified in Section 35303.
6. Documentation of all interviews conducted during the supervisory period required by Sections 35307 and 35309 including:
(i) Documentation of any area listed in Section 35311(a)(1)(A) through (F) observed by the agency representative that requires modification and a description of the modification required by Section 35305(a)(2).
7. Copy of written evaluation of the adoptive placement as required by Section 35311.
8. Copy of all written notices as required by Sections 35235(a)(1) and 35239(a)(1)(A)(3)(i).
(F) Copies of all court reports submitted by the agency as required by Subchapter 6, Article 8, Section 35313 et seq.
(G) Copies of all requests for disclosure of information from the adoption case record including:
1. Requests for medically necessary information.
2. Waivers of confidentiality to allow the agency or department to arrange for contact among the adult adoptee, the birth parent and the adoptive parent.
3. Requests for disclosure of the name and address of the birth parent.
4. Requests for a copy of the psychological and medical history form.
(H) Copy of certification submitted to INS that California Preadoption Requirements have been met.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)(A)-(D), (a)(1)(D)2., (a)(1)(G)1.-3. and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35253. Staffing and Post-Adoption Services.
Note     •     History

(a) In addition to meeting the requirements of this article, the agency shall meet all applicable requirements in Subchapter 2, Article 3, Section 35021 et seq. and Subchapter 3, Article 3, Section 35049 et seq.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 2. Application for the Placement of a Child for Adoption
§35255. ICA Requirement for Written Application.
Note     •     History

(a) The agency shall require a written application prior to making an assessment of any person wishing to adopt a child.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 3. Assessment of the Applicant
§35257. Requirement for Assessment of Applicant.
Note     •     History

(a) The agency shall make a written assessment of each applicant seeking to adopt children for whom the agency needs adoptive parents in order to determine the applicant's suitability as a prospective adoptive parent.
(1) The written assessment shall be the basis for the agency's decision as to whether the applicant will be approved for the adoptive placement of a child.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900, 8902 and 8904, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35259. Authority for Disapproval of Applicant.
Note     •     History

(a) The agency shall have the authority to make a determination that the applicant shall not be approved for the adoptive placement of a child at any point in the assessment process.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 16141, Welfare and Institutions Code; and Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35261. Requirement for Completion of Assessment Process.
Note     •     History

(a) The agency shall make a determination that the applicant shall be approved for the adoptive placement of a child only after completing the entire assessment process.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35263. Intercountry Adoptions Assessment Interview Requirements.
Note     •     History

(a) The agency shall conduct interviews as necessary to make the determination required in Section 35257.
(1) The agency shall conduct at least one interview in the home of the applicant.
(2) The agency shall conduct separate interviews with each applicant if more than one applicant.
(3) The agency shall conduct a joint interview with the applicants if there is more than one applicant.
(4) The agency shall conduct interviews with all other adults and have contact with all children who live in the applicant's home.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900, 8902 and 8904, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35265. Items to Be Discussed with Applicant.
Note     •     History

(a) The agency shall discuss the following information with the applicant:
(1) Approximate time it may take to complete each stage of the intercountry adoption process.
(2) Statutory and regulatory requirements for adoption including:
(A) INS requirements including readoption, if applicable.
(B) Foreign agency requirements.
(3) Children available through the agency for adoption.
(4) Agency fees including foreign agency fees.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900, 8902, 8904 and 8919, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a)(2)(A) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35267. Information Transmitted to the Applicant During Assessment.
Note     •     History

(a) The agency shall inform the applicant of the following:
(1) The policies of a foreign agency may preclude placement of a foreign-born child with certain individuals or families.
(2) Availability of a grievance review process in accordance with Subchapter 5, Article 9, Section 35233 et seq.
(3) The applicant's responsibility to pay for transportation of the for-eign-born child from the child's native country to the child's final destination in California.
(4) The applicant's responsibility for the foreign-born child adopted under the laws of the child's native country.
(5) If the applicant is going to adopt the foreign-born child under the laws of the child's native country:
(A) Readopting the foreign-born child in California when required by INS or petitioning the court for a California birth certificate.
1. The agency that completed the assessment pursuant to Section 35257 shall provide all agency services to the applicant to assist him or her in completing the adoption in California to include but not limit to completing the required report to the court required by Subchapter 6, Article 8, Section 35313 et seq.
(6) The applicant's responsibility pursuant to Family Code Section 8903(b) for the foreign-born child when he or she has received guardianship of the child under the laws of the child's native country.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900, 8902 and 8904, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(5)(A)-(a)(6) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35269. Documentation from the Applicant.
Note     •     History

(a) The agency shall obtain the following documentation for all applicants to facilitate the assessment:
(1) Authorization for the release of medical and employment information on the applicant.
(2) Report of medical examination on each applicant.
(A) The report shall be signed by a licensed physician.
(B) The report shall be completed prior to the placement of a child for adoption but not more than one year prior to the commencement of the assessment.
(C) The report shall include a certificate that the individual is free from communicable tuberculosis for each adult residing in the home.
(3) School reports for all school age children residing in the home of the applicant.
(4) At least three letters of reference regarding the suitability of the applicant as an adoptive parent.
(5) The full state criminal record, if any, from the State Department of Justice (DOJ).
(A) (Reserved)
(B) The Agency shall submit one set of fingerprints for each applicant to the DOJ.
1. The agency shall clearly indicate “Adoption” on the request to inform the DOJ of the purpose of the criminal record clearance.
(C) The agency shall contract with the DOJ for the Subsequent Arrest Notification Service in order to receive arrest information subsequent to the original DOJ criminal record sent to the agency and pending the court order granting the completion of the adoption.
(D) The agency shall notify the DOJ (pursuant to Penal Code Section 11105 when the adoption has been finalized, denied, or dismissed to discontinue receiving subsequent arrest information on an applicant previously fingerprinted for adoption purposes unless the applicant is being assessed or investigated by the agency for another adoption.
(E) The agency shall require new sets f fingerprints and shall make new requests for state criminal records to the DOJ in the event of subsequent adoptions unless the Subsequent Arrest Notification Services is still in effect.
(6) The FBI criminal record, if any, of the applicant, from the DOJ when the applicant has resided in California for less than two years or when information gathered in the assessment has given the agency reason to believe that the applicant may have committed a crime in another jurisdiction.
(A) The agency shall have reason to believe that the person may have committed a crime in another jurisdiction because of, but not be limited to, the following: statements or actions by the applicants; statements by people providing references; a history of arrests and convictions in California; and employment in another state.
(B) (Reserved)
(C) A licensed private adoption agency shall obtain an FBI criminal record clearance for its applicants if required by Section 35269(a)(6) as follows:
1. Submit a separate set of fingerprints to the DOJ for the FBI criminal record clearance designating the SDSS--Adoptions Branch as the “CONTRIBUTING AGENCY.”
2. Clearly indicate “Adoption” on the request to inform the DOJ of the purpose of the criminal record clearance request.
3. The agency shall submit a copy of the criminal record clearance request to the SDSS--Adoptions Branch to request the SDSS to complete an assessment of the applicant's FBI criminal record when it is received fro the DOJ. For notification purposes, the agency shall include its name and address on this copy of the request.
(D) The agency shall require new sets of fingerprints and shall make new requests to the DOJ for the FBI criminal record in the event of subsequent adoptions unless the Subsequent Notification Service is still in effect.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8900, Family Code. Reference: Sections 8900, 8902, 8904 and 8908, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a) and new subsections (a)(5)(B)-(a)(5)(E) (a)(6)(A), (a)(6)(C) and (a)(6)(D) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending subsection (a)(2)(A) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35271. Identification of the Applicant and Evaluation of Specific Characteristics.
Note     •     History

(a) The assessment of the applicant shall include:
(1) Obtaining the following identifying information:
(A) Name, date of birth and sex
(B) Current address and telephone number
(C) Blood relationship to child, if any
(D) Race and ethnic background information
(E) Religion
(F) Current employment information
(G) Verification of marital status, if relevant
1. Verification of termination of all prior marriages.
(2) Evaluation of:
(A) General characteristics.
(B) Social background.
(C) Educational background.
(D) Financial stability.
(E) Work adjustment.
(F) Adequacy of housing.
(G) The full state criminal record, if any, of the applicant and if required by section 35269(a)(6) the FBI criminal record, if any, from the DOJ.
(3) Compliance with the requirements of the foreign agency that has been selected.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900, 8902, 8904 and 8908, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. New subsection (a)(2)(G) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending subsections (a)(2)(A) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35273. Written Notification of Agency's Decision Regarding Placement of a Child and Grievance Review Procedures.
Note     •     History

(a) The agency shall provide the applicant with written notification of its decision regarding the adoptive placement of a child with the applicant.
(1) The agency shall not approve an application for the adoptive placement of a child until the agency has completed the assessment process as specified in Subchapter 6, Article 3, Section 35257 et seq.
(2) Written notification of the agency's decision that the applicant is approved for the adoptive placement of a child shall include identification of age, race, gender and characteristics of children considered for placement.
(3) The agency shall not approve an application for adoptive placement of a child prior to receiving written notification from the SDSS--Adoptions Branch that the information contained in an FBI criminal record of an applicant does not preclude an adoptive placement.
(4) Notification of the agency's decision not to approve the applicant for the adoptive placement of a child shall include an identification of the factors listed in Section 35269 and Section 35271 which led to the agency's decision.
(b) The agency shall inform the applicant in writing of the agency's grievance review procedure and the right of the applicant to file a grievance with the agency within 30 days of receipt of the agency's decision.
(1) When a grievance concerns an action based on the FBI criminal record, the agency shall comply with the procedures set forth at Section 35233(a)(1)(D).
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900, 8902, 8904 and 8908, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment filed 7-28-89; operative 8-27-89 (Register 89, No. 319.
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 4. Assessment of the Child
§35275. Requirement for Assessment of the Child.
Note     •     History

(a) The agency shall make a written assessment of the child as required by Family Code Section 8909.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608 and 8901, Family Code. Reference: Sections 8608, 8900 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsection (a) and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-31-94 order transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
§35277. Documentation on the Child.
Note     •     History

(a) The agency shall obtain documentation on the child to facilitate the assessment, including:
(1) Indentifying information
(2) Medical reports
(3) Psychological evaluations
(4) Scholastic information
(5) Developmental history
(6) Family life history
(7) Certified copy of birth certificate
(8) Race and ethnic background
(9) Religion.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608, 8621 and 8901, Family Code. Reference: Sections 8608, 8900, 8901 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35279. Documentation from the Foreign Agency Responsible for the Child.
Note     •     History

(a) The agency shall obtain the documentation on the foreign-born child from the foreign agency responsible for the child.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8608, 8900 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35281. Documentation of Unavailability of Information.
Note     •     History

(a) The agency shall document any unavailability of the documentation required by Section 35277 and the reasons for its unavailability.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608, 8621 and 8901, Family Code. Reference: Sections 8608, 8900 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35283. Content of Assessment.
Note     •     History

(a) The assessment shall include:
(1) Current and anticipated:
(A) Psychological functioning
(B) Scholastic functioning
(C) Social functioning
(D) Health status.
(2) Identification of any atypical needs of the child that exist currently or will likely exist in the future.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608 and 8901, Family Code. Reference: Sections 8608, 8901 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsection (a)(2) and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-31-94 order transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
§35285. Completion of Psychological and Medical History Form.
Note     •     History

(a) The agency shall complete a psychological and medical history form for the child.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608, 8621 and 8901, Family Code. Reference: Sections 8608, 8900 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35287. Submission and Discussion of Written Assessment.
Note     •     History

(a) The agency shall submit the written assessment to the prospective adoptive parent and discuss with them the agency's evaluation of the child's current and anticipated functioning as required by Section 35283(a)(2) and Family Code Section 8909 at least 30 days prior to placement of the child in the home.
(1) The prospective adoptive parent shall acknowledge in writing receipt of this information.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 86089, 8621 and 8901, Family Code. Reference: Sections 8608, 8900, 8901, 8902 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Amendment of subsection (a) and Note filed 3-10-93; operative 4-9-93 (Register 93, No. 11).
4. Change without regulatory effect amending subsection (a) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 5. Background Information on the Birth Parents
§35289. Written Information on the Child's Birth Parents.
Note     •     History

(a) The agency shall obtain the following written information on the child's birth parents:
(1) Identifying information including:
(A) Name
(B) Current address
(C) Date of birth
(D) Sex
(E) Race and ethnic background
(F) Any information required by the foreign agency.
(2) Medical background information including:
(A) Written medical report signed by a licensed physician
(B) Written medical report on the mother of a child who is less than one year of age signed by the physician who delivered the child or, if not available, from the hospital where the child was born. The report shall include:
1. Results of the mother's blood test for syphilis
2. Information regarding all medication taken by the mother during pregnancy
3. Mother's health during pregnancy
4. Any complications of pregnancy
5. Any complications of delivery.
(3) Social history including:
(A) Marriages
(B) Other children
(C) Reason for placement
(D) Education and employment.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608, 8621 and 8901, Family Code. Reference: Sections 8608, 8900 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35291. Information on the Birth Parents from the Foreign Agency.
Note     •     History

(a) The agency shall obtain the information on the birth parents of the foreign-born child from the foreign agency responsible for the child.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608, 8621 and 8901, Family Code. Reference: Sections 8608, 8900 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35293. Documentation of Unavailability of Information.
Note     •     History

(a) The agency shall document any unavailability of the information required by Section 35289 and the reasons for its unavailability.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608, 8621 and 8901, Family Code. Reference: Sections 8608, 8900 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35295. Submission and Acknowledgment of Nonidentifying Information.
Note     •     History

(a) The agency shall submit the nonidentifying information regarding the birth parents to the prospective adoptive parent 30 days prior to placement of the child in the home.
(1) The prospective adoptive parent shall acknowledge in writing the receipt of the report.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608, 8621 and 8901, Family Code. Reference: Sections 8608, 8900, 8902, 8904 and 8909, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 6. Placement
§35297. Procedures for Adoptions to Be Completed in California.
Note     •     History

(a) Prior to placement of the child where the adoption will be completed in California, the agency shall:
(1) Obtain documentation from the foreign agency that the child is legally free for adoption
(2) Determine that the child's needs can be met by placement with the prospective adoptive parent
(A) The child's needs shall be determined by the assessment required by Subchapter 6, Article 4, Section 35275 et seq.
(B) The prospective adoptive parent's ability to meet the needs of the particular child shall be determined by a review of the Assessment of the Applicant required by Subchapter 6, Article 3, Section et seq.
(C) The agency shall make the psychological and medical history form required by Section 35285 available to the prospective adoptive parent.
(3) Determine that all INS requirements for a foreign-born child have been met
(4) Certify to INS compliance with California Preadoption Requirements
(5) Unless the prospective adoptive parent has received guardianship of the foreign-born child from the child's native country the agency shall discuss the following with the prospective adoptive parent:
(A) That the agency shall retain legal custody of the child, supervise the adoptive placement, and routinely meet with the prospective adoptive parent and child until a final decree of adoption is granted
1. If the agency enters into an agreement with the prospective adoptive parent to share or transfer financial responsibility for the child, as permitted by Family Code Section 8906, the placement agreement shall include the nature of the responsibility assumed by the prospective adoptive parent, the duration of that responsibility and the effective date.
(B) That the child shall not be concealed within the county prior to granting of the final decree of adoption
(C) That the child shall not be removed from the county of residence of the prospective adoptive parent prior to filing an adoption petition without the prior written consent of the agency
(D) That after the adoption petition is filed the child shall not be removed from the county of residence of the prospective adoptive parent for a period exceeding 30 days without the approval of the court until a final decree of adoption is granted
(E) That the prospective adoptive parent shall place the child under the care of a licensed physician for routine health care of the child
(F) That the prospective adoptive parent shall inform the agency of any serious injury to or illness of the child and shall obtain prior written consent for all nonemergency surgical and other nonroutine medical treatment for the child
(G) That the prospective adoptive parent shall inform the agency regarding any changes in the composition of the adoptive family or place of residence of the family
(H) That the adoptive placement may be terminated and the child removed from the prospective adoptive parent's home at the agency's discretion prior to the filing of the petition to adopt
(I) That the agency agrees to give seven days written notice to the prospective adoptive parent of its intent to terminate the adoptive placement and remove the child unless the agency has determined that the child is in danger of cruelty, neglect, depravity or abuse
(J) That after the adoptive petition has been filed the agency must obtain court approval to remove the child
(K) That the prospective adoptive parent shall be permitted to terminate the adoptive placement and return the child to the agency at any time prior to the granting of the final decree of adoption
(L) That the agency shall determine that all ICPC requirements for an interstate placement have been met as required by Title 22, California Code of Regulations, Section 35397 et seq.
(M) That the agency has a grievance review procedure and the right of the prospective adoptive parent to file a grievance with the agency if the parent is dissatisfied with any action of the agency at any time before a petition for adoption is filed
1. The grievance review process shall be in accordance with Subchapter 5, Article 9, Section 35233 et seq.
(N) That Family Code Section 8911 requires that as a condition of placement the prospective adoptive parent shall file a petition to adopt the child under Section 8912 of the Family Code within thirty (30) days of placement.
(6) When the prospective adoptive parent has received guardianship of the foreign-born child from the child's native country, the agency shall discuss the following with the prospective adoptive parent:
(A) That the agency shall routinely meet with the prospective adoptive parent and child until a final decree of adoption is granted
(B) That the child shall not be removed from the county of residence of the prospective adoptive parent prior to filing an adoption petition without notifying the agency in writing
(C) That the prospective adoptive parent shall inform the agency of any serious injury to or illness of the child
(D) That the agency will notify the local child protective services agency when the agency has determined that the child is in danger of cruelty, neglect, depravity or abuse
(E) Those items contained in Section 35297(a) (5) (B), (D), (E), (G), (J), (M) and (N).
(7) Enter into an adoptive placement agreement with the prospective adoptive parent which agreement shall include:
(A) General and identifying information as follows:
1. Name and address of prospective adoptive parent
2. Name, address and telephone number of agency
3. First name and date of birth of child
4. Anticipated date of placement
5. Amount of agency fees, including foreign agency fees.
(B) Statements which summarize the information required by Section 35297(a)(5) or (6).
(C) A space for acknowledgement of receipt by the prospective adoptive parent of the information required by Section 35297(a)(2)(C).
(D) A space for the signature of the prospective adoptive parent and date of signing the adoptive placement agreement
(E) A space for the signature of the agency's representative and date of signing the adoptive placement agreement
1. The signature and date of signing by a representative of each agency shall be obtained if the placement is a cooperative placement between two agencies.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900, 8902, 8903, 8906, 8910, 8911 and 8919, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(5)(A)1., (a)(5)(N) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 7. Supervision of Adoptive Placement
§35299. Requirement for Supervision of the Adoptive Placement.
Note     •     History

(a) The agency shall supervise the adoptive placement of the child with the prospective adoptive parent unless the child was adopted abroad.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35301. Commencement and Termination of Supervision.
Note     •     History

(a) The agency shall commence supervision of the adoptive placement when the child is placed with the prospective adoptive parent and continue until a final decree of adoption is granted or the child is removed from the home of the prospective adoptive parent.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35303. Exceptions to the Duration of the Supervisory Period.
Note     •     History

(a) The duration of the supervisory period shall not be less than six months unless:
(1) The adoptive parent has successfully completed the adoption of another child in California, including an Assessment of the Applicant and supervision by an agency, within the past five years.
(2) The adoptive parent is in the military service of the United States or is employed by the American Red Cross and completion of the six-month supervisory period would delay completion of an adoption which the agency has determined should be completed.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a)(1) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35305. Services During the Supervisory Period.
Note     •     History

(a) During the supervisory period the agency shall provide the following services as needed to the prospective adoptive parent and to the child to be adopted so that the child may be successfully integrated into the family:
(1) Liaison between the family and:
(A) Schools.
(B) Mental health agencies.
(C) Physical health agencies.
(D) Rehabilitation service agencies.
(E) Other community resources.
(2) Discussion with the prospective adoptive parent regarding any area listed in Sections 35311(a)(1)(A) through (F) observed by the agency representative that requires modification and a description of the modification required.
(3) Update the psychological and medical history form to reflect any additional information revealed during the supervisory period.
(A) The agency shall give a copy of the updated psychological and medical history form to the prospective adoptive parent.
(B) The agency shall obtain the prospective parent's signature acknowledging receipt of the updated psychological and medical history form.
(4) Update the Assessment of the Child to reflect any additional information discovered during the supervisory period.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)(A)-(D) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35307. Home Interview During Supervisory Period.
Note     •     History

(a) During the supervisory period the agency shall conduct at least one interview in the home of the prospective adoptive parent with the prospective adoptive parent and the child to be adopted.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and  amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35309. Additional Interviews During Supervisory Period.
Note     •     History

(a) The agency shall conduct at least three additional interviews with the prospective adoptive parent unless the duration of the supervisory period has been reduced to less than six months as provided for in Section 35303.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35311. Written Evaluation of the Adoptive Placement.
Note     •     History

(a) The agency shall make a written evaluation of the adoptive placement.
(1) The evaluation shall include:
(A) The child's physical growth and development, including identification of any abnormalities
(B) The child's general health and physical appearance, including identification of any problem areas
(C) The child's initial and continuing adjustment in the home including:
1. The child's attitude about adoption
2. The child's attitude about this adoptive placement
3. The child's relationship with other family members
4. The child's school adjustment
5. The child's social interaction
(D) The relationship of the prospective adoptive parent and all other family members with the child
(E) The use made of extended family relationships by the prospective adoptive parent
(F) The method, consistency and success of discipline used by the prospective adoptive parent.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Section 8900, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 8. Intercountry Adoption Court Report
§35313. Submission of Court Report.
Note     •     History

(a) The agency shall make a report to the court in all cases where the child has been placed for adoption by the agency and the prospective adoptive parent has filed a petition for adoption. The court report shall be submitted:
(1) Within 180 days after the petition for adoption has been filed, or
(2) Within the time period extended by the court.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900, 8914 and 8915, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35315. Content of the Court Report.
Note     •     History

(a) The report shall include:
(1) A full report of the Background Information on the Birth Parents as required by Subchapter 6, Article 5, Section 35289 et seq.
(2) A full report of the information obtained in the Assessment of the Child as required by Subchapter 6, Article 4, Section 35275 et seq.
(3) A full report of the information obtained in the Assessment of the Applicant as required in Article 3, Sections 35269 and 35271.
(A) The court report shall include the assessment of the effect of the criminal record on the applicant's ability to provide adequate and proper care and guidance to the child.
1. The agency shall utilize the most up-to-date criminal record information in its preparation of the court report.
2. A licensed private adoption agency which has placed a child with an applicant requiring an FBI criminal record assessment by the SDSS--Adoptions Branch shall provide written notice to he SDSS at least twenty working days prior to the anticipated adoption petition hearing date that the agency is preparing to finalize an adoption, and request that the SDSS--Adoptions Branch assessment of the FBI criminal record, if any, be submitted to the court prior to the hearing date.
3. If the SDSS--Adoptions Branch is not able to complete the court report by the time indicated in the private agency notice, the SDSS shall advise the agency prior to the anticipated hearing date so that the hearing date may be postponed.
(4) A copy of the documentation that the child is legally free for adoption.
(5) The agency's recommendation that the petition be granted or denied.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608, 8621 and 8901, Family Code. Reference: Sections 8608, 8900, 8902, 8904, 8908, 8909, 8914 and 8915, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a)(3) and new subsection (a)(3)(A) filed 7-28-89; operative 8-27-89 (Register 89, No. 31).
3. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect amending subsection (a)(4) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35317. Information to Be Excluded from Court Report.
Note     •     History

(a) The agency shall not include the names and addresses of the birth parents in the court report.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8608, 8621 and 8901, Family Code. Reference: Sections 8608, 8900, 8909, 8914 and 8915, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35319. Immediate Filing of the Court Report.
Note     •     History

(a) After the prospective adoptive parents have filed the petition to adopt the child, the agency shall immediately file the court report when any of the following conditions exist:
(1) There is a serious question concerning the suitability of the petitioners.
(2) There is a serious question concerning the care provided the child.
(A) If the agency knows or reasonably suspects the petitioners have endangered the physical or mental health of a child by abuse or neglect, the agency shall immediately contact the appropriate child protective agency and file the mandatory “Suspected Child Abuse Report” (Form SS 8572 Revised 1/93) pursuant to Penal Code Section 11166(a).
(3) The petitioners indicate a desire to withdraw the adoption petition or move to withdraw the adoption petition.
(b) The agency shall include in the court report, as appropriate, the following:
(1) The basis for its concern regarding the suitability of the petitioners or the care of the child.
(2) A request to the court for direction regarding the situation giving rise to the agency's concern.
(3) A recommendation that the adoption petition be denied.
(4) A recommendation that the adoption petition be withdrawn according to the petitioner's wishes.
(5) A request that the adoption petition be dismissed if it was filed by persons with whom the agency has not signed an adoptive placement agreement.
(c) If the agency recommends that the adoption petition be denied or withdrawn, it shall appear at the hearing to represent the child.
(d) The agency shall make a copy of its report available to the petitioner's attorney or to the petitioner if he or she is not represented by an attorney.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900, 8914, 8915, 8916(a), 8917 and 8918, Family Code; and Sections 11165, 11165.1, 11165.2, 11165.3, 11165.4, 11165.6, 11165.7 and 11166, Penal Code..
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a)(2)(A) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of section heading, section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order, including amendment of subsection (a)(2)(A) and new subsection (b)(3), transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35321. Content of Family Code Section 8918. [Repealed]
History

HISTORY

1. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
2. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35323. Availability of Court Report. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Sections 8621 and 8901, Family Code. Reference: Sections 8900, 8914 and 8915, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Repealer filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Subchapter 7. Adoption Assistance Program/Aid for the Adoption of Children (AAP/AAC)
Article 1. AAP Case Initiation
§35325. Request for Adoption Assistance.
Note     •     History

(a) The Adoption Assistance Program (AAP) removes or reduces barriers to the adoption of children who otherwise would remain in long-term foster care. The program provides necessary financial assistance to families who are willing and able to assume parental responsibility for children but are prevented from doing so by inadequate financial resources.
(b) The agency shall provide any person who wants to apply for adoption assistance benefits with a Request for Adoption Assistance form (AAP 1).
(1) If the agency placing a child for adoption believes the child to be an AAP-eligible child, the agency shall offer the family an AAP 1.
(c) The responsible public agency refers to the department or licensed county adoption agency responsible for determining a child's AAP eligibility and initial and subsequent payment amounts. The income maintenance division of each county welfare department is responsible for federal eligibility determination and payment of AAP benefits.
(1) If the child has been voluntarily relinquished for adoption to a California licensed public or private adoption agency and placed with a California prospective adoptive family, the financially responsible county shall be the county in which the relinquishing parent resides. The prospective adoptive parents shall submit the completed AAP 1 and supporting documentation to the responsible public agency representing their county of residence.
(A) The licensed private adoption agency shall submit the AAP 1 and supporting documentation, including, but not limited to, the assessment of the child required by Section 35127.1 and a description of efforts to locate a non-subsidy home for the child, as the Department or licensed county adoption agency finds necessary in the particular case.
(2) If a child is relinquished to a private adoption agency in another state and placed with a prospective adoptive family in California, the prospective adoptive family's county of residence is financially responsible. The prospective adoptive parents shall submit the completed AAP 1 and supporting documentation to the responsible public agency representing their county of residence. 
(3) If a child is relinquished to a private adoption agency in California and placed with a prospective adoptive family in another state, the public child welfare agency in the adoptive parents' state of residence is responsible for determining the child's eligibility and for all AAP payments. 
(d) Once established, the county of responsibility shall remain unchanged for the duration of adoption assistance payments for that child.
(e) The responsible public agency shall determine whether the child meets the eligibility requirements as specified in Section 35326.
(1) If an AAP 1 is submitted on behalf of a relinquished child who is not under the supervision of a county welfare department as the subject of a legal guardianship or a juvenile court dependency, the agency shall ask that entity responsible for providing services to children who are dependents of the court in the county that would be responsible for providing AAP benefits for a written determination as to whether the child would or would not have been at risk of dependency if the child had not been relinquished for adoption.
(2) If the responsible public agency determines that the child is not eligible for AAP benefits, the agency shall send the county responsible for payment a completed Payment Instructions - Adoption Assistance Program form (AAP 2) indicating that AAP eligibility is denied and the specific reason(s), including relevant regulatory or statutory citations, for the denial.
NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 16118, 16119, 16120 and 16121, Welfare and Institutions Code; 45 CFR 1356.40; and 42 USC 673 and 675.
HISTORY

1. Renumbering of former article 1 to article 2, renumbering of former section 35325 to section 35326, and new article 1 and section filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 91, No. 52.
2. Certificate of Compliance as to 10-31-94 order including amendment of subsections (a) and (b)(1), new subsection (e)(3)(E) and subsection relettering transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
3. Amendment of subsection (e)(3)(C)1. filed 5-3-99; operative 5-3-99 (Register 99, No. 19).
4. New subsection (c)(2)(A), subsection relettering, amendment of subsection (e)(3)(D), new subsection (e)(3)(D)5. and amendment of Note filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
5. New subsection (c)(2)(A), subsection relettering, amendment of subsection (e)(3)(D), new subsection (e)(3)(D)5. and amendment of Note refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-31-2001 order, including further amendment of subsection (c)(2)(B) and new subsection (d) reference, transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
7. Amendment of section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
Article 2. AAP Eligibility Requirements
§35326. AAP Eligibility.
Note     •     History

To be eligible for Adoption Assistance Program (AAP) benefits, the child must be under the age of 18 and meet the three part special needs determination, citizenship requirements, and Title IV-E (federal) funding requirements or state funding requirements specified in Welfare and Institutions Code Section 16120. 
(a) The three-part special needs determination requires ALL of the following three conditions be met: 
(1) Evidence in the file that the child cannot or should not be returned to the home of his or her parents. 
(A) Sufficient evidence includes a petition to terminate parental rights, a court order terminating parental rights, a signed relinquishment or a tribal customary adoption order. 
(2) A specific factor or condition makes it reasonable to conclude that the child cannot be adopted without providing AAP payments. 
(A) Factors or conditions include a child's ethnic background, age or membership in a minority or sibling group, parental background of a medical or behavioral nature that can adversely affect the development of the child, the presence of a medical condition, or physical, mental or emotional disabilities. 
(3) An effort to place the child for adoption with appropriate parents without providing adoption assistance unless it is against the best interest of the child. 
(A) This search for adoptive parents shall be documented in the adoption case record and include the following: 
1. A discussion of potential adoptive parents at a regional adoption agency exchange meeting, or 
2. Registration of the child with the department's photo-listing album. 
(B) A child who develops significant emotional ties with the prospective adoptive parents while in their care as a foster child or if a relative is adopting a child, then it would be in the child's best interest to remain with them and additional efforts to place the child are not required. 
1. This search shall not be required when the current foster parents, or other persons with whom the child has been living and has established significant emotional ties, have both: 
a. Expressed interest in adopting the child, and
b. Been determined by the agency to be suitable adoptive parents for the child. 
(b) The child must be a United States citizen or a qualified alien as defined in Title 8 USC section 1641(b). 
(1) If a child is placed with an unqualified alien, the child must be a qualified alien or have lived in the U.S. for five years, if the child entered the United States on or after August 22, 1996. 
(2) The child is exempt from the five year residency requirement if the child is placed with a U.S. citizen or qualified alien, or the child is a member of one of the excepted groups pursuant to Title 8 USC section 1612(b): refugees, asylees, aliens whose deportation is withheld, veterans and those on active duty (as well as the spouse and unmarried dependent children of that person), Cuban or Haitian entrants and Amerasians from Vietnam. 
(3) If a child is an unqualified alien and placed outside the United States, the county may use county funds to cover the AAP costs for an otherwise AAP eligible child. 
(c) To be eligible for Title IV-E (federal) funding, one of the following five paths to eligibility OR the definition of an “Applicable Child” and one of the four corresponding eligibility paths must be met: 
(1) At the time the child was removed from the home of a specified relative, the child would have been Aid to Families with Dependent Children (AFDC)-eligible in the home of removal according to July 16, 1996 AFDC standards. 
(A) In an involuntary situation, when a child's removal from the home is the result of a court action, there must also be a judicial determination that to remain in the home would be contrary to the child's welfare. 
1. The determination must be made in the first court ruling (minute order) that sanctions (even temporarily) the removal. 
2 The “contrary to the welfare” finding must be explicit in the first court order. 
(B) For children voluntarily relinquished to a licensed public or private adoption agency, or another public agency operating a Title IV-E program on behalf of the state (Tribes), the following must be obtained within six months of the time the child lived with a specified relative: 
1. A petition to the court to remove the child from the home of a specified relative within six months of the date the child lived with the relative; and
2. Subsequent judicial determination that remaining in the home would be contrary to the child's welfare. 
(C) In the case of a voluntary placement agreement between the child's parent/legal guardian and the county agency, at least one Title IV-E foster care maintenance payment must have been made on behalf of the child. 
(2) At least one Title IV-E foster care maintenance payment has been made on behalf of the child's minor parent to cover the cost of the minor parent's child while in the foster parent's home or child care institution with the minor parent. 
(3) A child received AAP benefits with respect to a prior adoption, the prior adoption dissolved, and the child is again available for adoption. To remain eligible the child must meet the following: 
(A) Three part special needs determination
(B) Citizenship requirements
(4) Prior to the finalization of an agency adoption or an independent adoption, the child has met the requirements to receive federal Supplemental Security Income (SSI) benefits as determined and documented by the federal Social Security Administration (SSA). 
(5) The child is an Indian child and the subject of an order of adoption based on tribal customary adoption of an Indian child, as described in Welfare and Institutions Code Section 366.24. 
(d) An “applicable child” is a child who: 
(1) Has been in foster care for at least 60 consecutive months, or
(2) Is a sibling of an “applicable child,” if both are placed in the same prospective adoptive home, or
(3) Meets the applicable age requirement anytime before the end of the Federal Fiscal Year (FFY). 
(A) FFY is October 1st through September 30th. 
(B) A child who has or will attain the stated age or is older than the stated age in (d)(3)(B)(1) through (d)(3)(B)(8) by the end of the corresponding current FFY is considered to be an “applicable child”: 
(1) In FFY 2010, the applicable age is 16 years. 
(2) In FFY 2011, the applicable age is 14 years. 
(3) In FFY 2012, the applicable age is 12 years. 
(4) In FFY 2013, the applicable age is 10 years. 
(5) In FFY 2014, the applicable age is 8 years. 
(6) In FFY 2015, the applicable age is 6 years. 
(7) In FFY 2016, the applicable age is 4 years. 
(8) In FFY 2017, the applicable age is 2 years or younger. 
(e) The “applicable child” must meet one of the four eligibility paths: 
(1) The child is in the care of a public or private child placement agency or Indian tribal organization and is the subject of either one of the following: 
(A) An involuntary removal from the home in accordance with a judicial determination that continuation in the home would be contrary to the welfare of the child;
(B) A voluntary placement agreement or voluntary relinquishment.
1. A Title IV-E foster care maintenance payment does not have to be made on behalf of an “applicable child,” or
2. Judicial determination that continuation in the home would be contrary to the welfare of the child. 
(2) The child has met all medical or disability eligibility requirements for federal supplemental security income (SSI) benefits. 
(3) The child was residing in a foster family home or child care institution with the child's minor parent. 
(4) The child received AAP with respect to a prior adoption that dissolved. 
(f) To be eligible for State funding, the child is the subject of an agency adoption and at the time of adoptive placement, the child met one of the following requirements: 
(1) Under the supervision of a county welfare department as the subject of a legal guardianship or juvenile court dependency. 
(2) Relinquished to a licensed California private or public adoption agency, or another public agency operating a Title IV-E program on behalf of the state, and would have otherwise been at risk of dependency as certified by the responsible public child welfare agency. 
(3) Committed to the care of the department or county adoption agency pursuant Family Code Sections 8805 or 8918. 
(g) There shall be no means test used to determine AAP eligibility.
(h) The prospective adoptive parent and any other adult living in the prospective adoptive home has completed the criminal background check requirements pursuant to Title 42 USC Section 671(a)(20)(A) and (C). 
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code. Reference: Sections 16118, 16119, 16120 and 16121.05, Welfare and Institutions Code; 42 USC 671 and 673; and 45 CFR 1356.40(c).
HISTORY

1. Renumbering of former article 1 to article 2,  and renumbering  and amendment of former section 35325 to section 35326 filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-31-94 order including amendment of subsection (b) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
3. Amendment of subsection (a), new subsection (b) and subsection relettering filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a), new subsection (b) and subsection relettering refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2001 order transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
6. Repealer and new section and amendment of Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35327. Search for Parents Not Requiring Adoption Assistance. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code. Reference: Sections 16118 and 16120, Welfare and Institutions Code; and 42 USC 671 and 673.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Repealer filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35329. Effect of Adoptive Parent's Legal Residence.
Note     •     History

(a) The adoptive parent's legal residence shall not affect the child's eligibility specified by Welfare and Institutions Code Section 16121.1.
NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code; and Section 8621, Family Code. Reference: Sections 16118, 16120 and 16121.1, Welfare and Institutions Code; 42 U.S.C. 671 and 673; and 45 CFR 1356.40(d) and (e).
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Amendment of subsection (a) and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35331. Documentation of Child's Eligibility.
Note     •     History

(a) The determination of the child's eligibility for adoption assistance shall be documented in the case record on the Eligibility Certification - Adoption Assistance Program form (AAP 4) and the Federal Eligibility Certification for Adoption Assistance Program (FC 8).
(1) The agency shall submit the Federal Eligibility Certification for Adoption Assistance Program form (FC 8) to the county responsible for payment. 
A. The child's birth name shall be used on the FC 8. 
NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code. Reference: Sections 16118 and 16120, Welfare and Institutions Code; and 42 USC 671 and 673.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Designation and amendment of subsection (a) filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-31-94 order transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
4. Amendment of section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35332. Notification Requirements for Agencies. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code. Reference: Sections 16119 and 16120, Welfare and Institutions Code; and 45 CFR 1356.41(e).
HISTORY

1. New section filed 1-8-90 as an emergency; operative 1-8-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days, by 5-8-90, or emergency language will be repealed on 5-9-90.
2. Certificate of Compliance as to 1-8-90 order transmitted to OAL 5-4-90 and filed 6-4-90 (Register 90, No. 30).
3. Renumbering of former section 35332 to new section 35352 filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
§35332.1. Eligibility for Reimbursement. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code. Reference: Section 16120.1, Welfare and Institutions Code; and 45 CFR 1356.41.
HISTORY

1. New section filed 1-8-90 as an emergency; operative 1-8-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days, by 5-8-90, or emergency language will be repealed on 5-9-90.
2. Certificate of Compliance as to 1-8-90 order transmitted to OAL 5-4-90 and filed 6-4-90 (Register 90, No. 30).
3. Renumbering of former section 35332.1 to new section 35352.1 filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
§35332.2. Authorization for Reimbursement. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 10553, 10554 and 16120(a), Welfare and Institutions Code. Reference: Section 16120.1, Welfare and Institutions Code; and 45 CFR 1356.41(g).
HISTORY

1. New section filed 1-8-90 as an emergency; operative 1-8-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days, by 5-8-90, or emergency language will be repealed on 5-9-90.
2. Certificate of Compliance as to 1-8-90 order transmitted to OAL 5-4-90 and filed 6-4-90 (Register 90, No. 30). 
3. Renumbering of former section 35332.2 to new section 35352.2 filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
§35332.3. Agency Requirements for Reimbursements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code. Reference: Section 16120.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-8-90 as an emergency; operative 1-8-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days, by 5-8-90, or emergency language will be repealed on 5-9-90.
2. Certificate of Compliance as to 1-8-90 order transmitted to OAL 5-4-90 and filed 6-4-90 (Register 90, No. 30). 
3. Renumbering of former section 35332.3 to new section 35352.3 filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
Article 3. AAP Payments
§35333. Determination of Amount and Duration of AAP Benefit for All Children.
Note     •     History

The Adoption Assistance Program (AAP) provides benefits to facilitate the adoption of children who otherwise would not likely be adopted. The AAP benefit is a negotiated amount based upon the needs of the child and the circumstances of the adoptive family. The responsible public agency and the prospective adoptive parent(s) shall negotiate and agree on the amount of the AAP benefit according to the requirements of this section.
(a) The responsible public agency shall make a good faith effort to negotiate the AAP benefit with the adoptive parents. 
(1) The agency shall encourage the adoptive parents to request the AAP benefit they require in order to meet the child's needs taking into account their family circumstances. 
(2) The agency shall base the negotiated AAP benefit on the needs of the child and the circumstances of the family determined through discussion with the adoptive parents. 
(A) The agency shall advise the adoptive parents that the amount of the AAP benefit determined for the child is limited to the age-related, state-approved foster family home rate and any applicable state-approved specialized care increment for which the child is eligible. 
(3) There shall be no use of a means test of the child or the adoptive parent when determining the AAP benefit amount. 
(4) The amount of the negotiated AAP benefit shall be between zero and the maximum AAP benefit for which the child is eligible. 
(5) The agency shall advise the adoptive parents that the AAP benefit does not include payment for any specific good or service, but is intended to assist the adoptive parents in meeting the child's needs. 
(b) The responsible public agency, after consultation with the adoptive parents and the financially responsible county, if different from the agency, shall identify the child's care and supervision needs, including any special needs beyond basic care and supervision.
(1) The adoption caseworker shall base the assessment of the child's needs and required level of care and supervision on all of the following information:
(A) Direct observation of the child.
(B) Information contained in the child's case record, including birth history and psychological, medical and other relevant assessments completed by licensed professionals.
(C) Information about the child based on application of the county's foster care specialized care assessment instrument or any specialized foster care increment previously approved for the child.
(D) Information provided by the adoptive parents.
(c) The responsible public agency in consultation with the financially responsible county, if different from the agency, shall determine the maximum state-approved foster care maintenance payment that the child would have received in a foster family home if the child had remained in foster care.
(1) No agency may use a Foster Family Agency (FFA) treatment rate or a payment made to a certified home by a FFA on behalf of the child for purposes of calculating the maximum AAP benefit for which the child is eligible.
(A) If a child continues to require the additional services provided by the FFA, the adoptive placement shall continue to be funded by foster care payments rather than by AAP benefits until the AAP agreement is executed. 
(2) If the child is living in the adoptive family's home, the agency shall assume that, but for adoptive placement, the child would be living in a licensed foster family home.
(A) If the child is placed for adoption within the financially responsible county, the AAP benefit shall not exceed the age-related, state-approved foster family home care rate, for which the child would otherwise be eligible.
(B) If the child is placed for adoption in California but outside the financially responsible county, the AAP benefit shall not exceed the age-related, state-approved foster family home care rate of the financially responsible county or that of the host county, whichever is higher, for which the child would otherwise be eligible.
(C) If the child is placed for adoption outside California, the AAP benefit shall not exceed the applicable California age-related, state-approved foster family home care rate or the applicable rate in the host state, whichever is higher, for which the child would otherwise be eligible.
(D) If the child also has any special needs which would qualify him or her for a specialized care increment (SCI), the AAP benefit shall include the applicable state-approved SCI in addition to the age-related, state-approved foster family home rate.
1. If the child requires a benefit based on a special need in addition to age-related state-approved foster family home rate, the agency shall document each special need by describing the need including the underlying problem or condition.
2. Specialized care provides a supplemental payment to a caregiver, in addition to the state-approved foster family home care rate, for the cost of supervision (and the cost of providing that supervision) to meet the additional daily care needs of a child who has a health or behavior problem. 
3. If the child is placed for adoption outside the financially responsible county, the agency shall use the specialized care rate of the host county or that of the financially responsible county, whichever is higher, or that of the financially responsible county when the host county has no specialized care system.
(3) If the child is a client of a California Regional Center (CRC) for the Developmentally Disabled, the maximum rate shall be pursuant to Welfare and Institutions Code Section 16121(c). Dual agency children who leave California shall be able to continue to receive AAP benefits reflected in the last AAP agreement signed prior to leaving California.
(4) If the child is temporarily living away from the adoptive home and the AAP benefit is not authorized under Section 35334(a) or Section 35334(c), the agency shall consider the child to be living in the adoptive home.
(5) The adoptive parents shall provide a written statement on the form AAP 1 explaining how they plan to incorporate the adoptive child into their family and the impact, if any, on their family's lifestyle and circumstances.
(6) “Circumstances of the Family” means circumstances of the family as defined in Welfare and Institutions Code Section 16119(d)(2).
(A) The agency should not control or participate in the adoptive family's choices regarding their lifestyle, standard of living, or future plans. 
(d) The agency shall complete the Adoption Assistance Program Negotiated Benefit Amount and Approval Form (AAP 6) and file in the child's AAP file.
(1) When only age-related state-approved foster family home rate is requested by the family, the agency shall include a statement to that effect for retention in the child's AAP file.
(e) When agreement on the AAP benefit has been reached, the responsible public agency shall complete an Adoption Assistance Agreement (AD 4320) with the adoptive parents.
(1) The agency shall complete the AAP 2 instructing the county to send a Notice of Action to the adoptive parents indicating that the AAP benefit is approved.
(2) After completion of the Adoption Assistance Agreement (AD 4320), the adoptive parents shall have the right to use the AAP benefit to meet the child's needs as they deem appropriate without further agency approval.
(f) When the responsible public agency and the adoptive parents are unable to agree on an AAP benefit, the agency shall complete the AAP 2 instructing the county to send the adoptive parents a Notice of Action that the requested AAP benefit is denied. The agency shall specify the reason for denial.
(1) If the adoptive parent does not agree on the AAP benefit, the parent may request a state hearing as instructed in the Notice of Action pursuant to MPP Section 22-004.
(g) A reassessment of the AAP benefit shall be required every two (2) years beginning from the date of a signed Adoption Assistance Program Agreement (AD 4320) between the agency and the adoptive parents.
(1) Once a child is determined eligible to receive AAP, he or she remains eligible and the subsidy continues unless one of the following occurs: 
(A) The child has attained the age of 18 or 21;
1. Payment of the AAP benefit shall terminate in the month in which the child becomes 18 years of age or if the agency has determined that the child has a mental or physical disability that warrants the continuance of assistance, in the month in which the child becomes 21 years of age.
a. Starting January 1, 2012, youth who have an initial AAP agreement signed on or after their 16th birthday and who meet the conditions stated in Welfare and Institutions Code Section 11403, may be eligible for the extension of AAP benefits to the age of 19, the age of 20 effective January 1, 2013, and the age of 21 effective January 1, 2014. 
(B) The adoptive parents are no longer legally responsible for the support of the child. 
(C) The responsible public agency determines the adoptive parents are no longer providing support to the child. 
NOTE

Authority cited: Sections 10553, 10554 and 16118, Welfare and Institutions Code. Reference: Sections 11405, 16118, 16119, 16120, 16120.05, 16121 and 16121.05, Welfare and Institutions Code; 45 CFR 1356.40; and 42 USC 673 and 675.
HISTORY

1. Repealer of article 2 and section and new article 3 and section filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 50.
2. Certificate of Compliance as to 10-31-94 order including amendment of section and Note transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
3. Repealer and new section filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2001 order, including further amendment of section, transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
6. Amendment of section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35334. AAP Benefits for a Child in Temporary Out-of-Home Placement.
Note     •     History

(a) The responsible public agency shall confirm the amount and duration of the AAP benefit when the child is placed, either on a voluntary basis or as a dependent or ward of the court, in out-of-home care to treat a condition that the agency has determined to have existed before the adoptive placement.
(1) The agency shall conclude that the child would have been placed in the same out-of-home care facility if the child had not been placed for adoption if, after consultation with the adoptive parents, the agency has determined that:
(A) Out-of-home placement is necessary to meet the child's needs,
(B) The specific placement is able to meet the child's needs appropriately, and
(C) The facility's rate classification level is appropriate to the child's needs.
(2) The agency shall determine the maximum AAP benefit for which the child is eligible for out-of-home placement.
(A) If the adoptive parents are paying for the cost of the placement directly, the available AAP benefit is the state-approved foster care facility rate for which the child is eligible.
(B) If the placement cost is paid by another agency (e.g., county welfare department, probation office, regional center), the available AAP benefit shall be either the age-related, state-approved foster family home care rate or the adoptive parent's actual share of cost for support of the child, whichever is greater, but not to exceed the foster family home rate as determined under Section 35333(c).
1. The maximum share of cost is the state-approved foster family home rate, eligible SCI rate or dual agency rate, and any applicable supplemental rate the child would have received had they remained in foster care. 
2. Under Title 2 California Code of Regulations Section 60020(c), the county financially responsible for making AAP payments is responsible for the provision of mental health assessments and mental health services. 
(3) If the initial Adoption Assistance Program Agreement (AD 4320) for the child was signed on or after October 1, 1992, the duration of a child's placement in a group home or residential treatment facility shall be limited to an 18-month cumulative period of time for a specific episode or incident justifying that placement.
(b) If the responsible public agency approves the provision of wrap-around services, as defined in Welfare and Institutions Code Section 18251(d), in lieu of out-of-home placement, the amount of the AAP benefit shall be limited to the amount that would have been paid for the out-of-home placement.
(c) The AAP benefit for the child's placement in a group home or residential care treatment facility shall continue to be available, provided the requirements of this section are met and the adoptive parents actively participate in a plan to return the child to the adoptive home.
(d) When the responsible public agency and the adoptive parents agree on the AAP benefit, the agency shall complete an Adoption Assistance Program Agreement (AD 4320) with the adoptive parents.
(1) The agency shall state in the agreement that the AAP benefit is intended for the child's out-of-home placement and is not to exceed 18 months.
(A) The adoptive parent(s) may request the financially-responsible public agency to pay the facility directly using the child's eligible AAP funds, or the adoptive parents may request the AAP check continue to be sent to them to pay the facility. 
(2) The agency shall complete the AAP 2 instructing the county to send the adoptive parents a Notice of Action indicating that the AAP benefit is approved.
(f) The duration of an Adoption Assistance Program Agreement (AD 4320) for the child's out-of-home placement shall be 18 months before a subsequent reassessment is required.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code. Reference: Sections 16118, 16119, 16120, 16120.05, 16121 and 16121.05, Welfare and Institutions Code; 42 USC 673.
HISTORY

1. New section filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-31-2001 order, including further amendment of subsections (a)(2)(B) and (b), transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
4. Amendment of section heading, section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35335. Content of the Adoption Assistance Agreement. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10553, 10554 and 16118, Welfare Institutions Code. Reference: Section 16118, Welfare Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a)(2) filed 12-1-88 (Register 89, No. 1).
3. Editorial correction of History (Register 89, No. 9).
4. Repealer of article 3 and section filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-31-94 order transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
6. Editorial correction inserting History 5 (Register 95, No. 25).
Article 4. Adoption Assistance Program Agreement
§35337. Content of the Adoption Assistance Program Agreement.
Note     •     History

(a) The Adoption Assistance Program Agreement form (AD 4320) shall contain the following:
(1) The child's adoptive name and the name(s) of the adoptive parent(s).
(2) The amount and duration of financial assistance.
(A) The agreement is effective until terminated in accordance with its terms or a new amended agreement is signed. 
(B) The AD 4320 shall be signed by the responsible public agency and the adopting parent(s) prior to the granting of the final decree of adoption. 
(C) In adoptive placements which involve more than one agency, all agencies shall sign the initial AD 4320. 
1. Subsequent amendments to the AD 4320 shall be signed by the responsible public agency and adoptive parent(s). 
(3) The AAP benefit will continue unless one of the following occurs: 
(A) The child has attained the age of 18 unless the child has a mental or physical handicap which warrants continuation of AAP benefits to the age of 21 years. 
(B) The adoptive parents are no longer legally responsible for the support of the child. 
(C) The responsible public agency determines the adoptive parents are no longer providing any type of support to the child. 
(4) It is the adoptive parent's responsibility to inform the responsible public agency immediately if any of the following occurs: 
(A) Change in mailing address and/or state of residence. 
(B) The child is no longer residing in the family home. 
(C) The adoptive parents are no longer providing any type of support to the child. 
(D) The adoptive parents are no longer legally responsible for the support of the child. 
(5) If a needed service is not available in the state of residence, the financially responsible county of origin remains financially responsible for the needed services. 
(A) The responsible public agency shall assist the adoptive parents by providing information and referral services offered in their state of residence. 
(B) If the child is state-eligible and eligible for state-funded Medi-Cal benefits, the adoptive parents shall be informed that if they move or reside in another state, access to medical services is contingent on whether their state of residence extends COBRA-reciprocity for children receiving California state-funded Medi-Cal benefits. 
(6) If the adoptive parents believe their child has a physical or mental disability that warrants the continuance of assistance beyond the age of 18, prior to their child's eighteenth birthday, the adoptive parents are to request the responsible public agency assess and evaluate their child's needs for continuation of benefits beyond the age of 18.
(7) If the child is a current consumer of California Regional Center (CRC) services, the maximum available AAP benefit is $3006. CRC consumers who have received an AAP benefit prior to July 2007, which exceeds the maximum $3006 rate, may continue to receive the higher rate until the child is no longer eligible for AAP benefits or the adoption is dissolved. 
(A) If the child is under the age of three and the CRC has determined the child to have a developmental disability as defined by the Lanterman Act, the maximum AAP benefit is $2006. 
(B) If the child is under the age of three and receiving services under the California Early Intervention Services Act, but not yet determined by the CRC to have a developmental disability as defined by the Lanterman Act, the maximum AAP benefit is $898 or the foster family home rate and applicable SCI rate, whichever is greater. 
1. After the adoption is finalized, it is the adoptive parents' responsibility to request the CRC to evaluate the child's eligibility for CRC services and notify the responsible public agency if the child is eligible and receiving CRC services. 
(8) A child with an initial AAP agreement signed on or after January 1, 2010, will no longer be eligible to receive an AAP age-related increase. 
(A) A child with an initial AAP agreement signed prior to January 1, 2010 will still be eligible to receive the AAP age-related increase upon request. 
(B) A child with an initial Adoption Assistance Agreement signed prior to October 1, 1992, shall be governed by Welfare and Institutions Code Section 16121.05(b). 
(9) That a failure to report the changes specified in Sections 35337(a)(5)(B) through (D) may result in an overpayment which would be recovered by a direct charge or a reduction in current and future AAP benefits.
(10) That continuation of payment depends upon continued legal responsibility of the adoptive parents for the support of the child and upon continued receipt by the child of that support.
(11) That the AAP benefit will be reduced if the AAP benefit amount exceeds the foster care maintenance payment that would have been made if the child had remained in a foster family home.
(12) The agreement shall specify the rate for a child receiving wraparound services or placed in an out-of-home placement which may not exceed the maximum eligible state-approved facility rate and is limited to 18 months per episode or condition. It is the adoptive parent's choice to request the AAP benefit be directed to the facility or to them and they pay the facility directly with the AAP funds received. 
(13) That the child is eligible for Medi-Cal services.
(14) That the child is eligible for services provided pursuant to Title XX of the federal Social Security Act.
(A) Title XX services are public social services as described under MPP Sections 30-000 and 31-000.
(15) The procedure for reassessment of the AD 4320.
(16) That the agreement remains effective regardless of the state in which the adoptive parents reside.
(17) Any additional services and assistance which are to be provided as part of the agreement.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code. Reference: Sections 14051, 16119, 16120, 16120.05, 16121 and 16121.05, Welfare and Institutions Code; 42 USC 673, 695; and 45 CFR 1356.40.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. New article 4, amendment of section heading, repealer and new text and amendment of Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-31-94 order including amendment of subsection (a)(13) and new subsection (a)(13)(A) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
4. Amendment of article heading, section heading and section filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
5. Amendment of article heading, section heading and section refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-31-2001 order, including further amendment of section, transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
7. Amendment of section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35339. Deferred Payment of AAP.
Note     •     History

(a) When a child otherwise eligible for AAP does not require current benefits but which could require future benefits, the Adoption Assistance Program Agreement form (AD 4320) shall indicate that the family may request benefits at an unspecified future date.
(1) The requirements set forth in Section 35333 shall be used to determine payment amount and duration if the family requests AAP benefits.
(2) An AD 4320 shall be used to record the revised agreement.
NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code. Reference: Sections 16118, 16119, 16120, 16120.05, 16121 and 16121.05, Welfare and Institutions Code; and 42 USC 673 and 675.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a), new subsections (a)(1)-(4) and amendment of Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-31-94 order transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
4. Amendment of subsection (a) filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a) refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-31-2001 order transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
7. Amendment of section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
Article 5. AAP Payment Authorization
§35341. Procedures for Initiation of Payment.
Note     •     History

(a) The responsible public agency shall provide the county responsible for payment with information necessary to allow the county to issue AAP payments and authorize the issuance of Medi-Cal cards.
(1) AAP payments shall not begin before the Adoptive Placement Agreement (AD 907) and the Adoption Assistance Program Agreement (AD 4320) are signed.
(2) When the beginning date of payment is known, the agency shall complete and send the following forms to the county: 
(A) Payment Instructions for Adoption Assistance Program (AAP 2),
(B) Eligibility Certification - Adoption Assistance Program (AAP 4)
(C) Income and Property Checklist for Federal Eligibility Determination - Adoption Assistance Program (FC 10).
1. The FC 10 form is to be used only for the purposes of determining AFDC eligibility in the home of removal. 
(3) The child's adoptive name shall be used on the AAP 2, AAP 4, and FC 10 and all related correspondence with the county.
(A) The AAP 2 requires the creation of a new county payment case record.
(b) Upon receipt of the AAP 2, the county shall issue payments as instructed.
(1) The initial payment shall be delivered to the adoptive parent(s) no later than 20 days after the date the county receives the Payment Instructions - Adoption Assistance Program form (AAP 2) from the agency authorizing payment. 
NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code. Reference: Section 16118 and 16120, Welfare and Institutions Code; and 42 USC 673.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Renumbering of article heading and amendment of section filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-31-94 order including amendment of section transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
4. Amendment of subsection (a)(1) filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a)(1) refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-31-2001 order transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
7. Amendment of section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
Article 6. AAP Reassessment
§35343. Procedures for Reassessment of the Child's Needs.
Note     •     History

(a) A reassessment shall be completed by the responsible public agency which authorized the initial payment unless one of the following is met: 
(1) The child has attained the age of 18 or 21; 
(2) The adoptive parents are no longer legally responsible for the support of the child. 
(3) The responsible public agency determines the adoptive parents are no longer providing support to the child. 
(b) The reassessment process shall include the following steps:
(1) The county responsible for payment shall mail the adoptive parent(s) the Reassessment Information Adoption Assistance Program form (AAP 3) at least 60, and not more than 90, calendar days prior to the date the reassessment is due and shall document in the case record the date such form was mailed.
(A) The adoptive parent(s) shall return the AAP 3 to the responsible public agency which authorized the initial payment.
1. If the family does not submit a completed AAP 3 form, AAP must continue at the same rate reflected on the last AAP agreement and Payment Instructions (AAP 2) form. 
(2) If the responsible public agency receives the completed AAP 3 from the adoptive parents, the agency shall complete the reassessment process as follows:
(A) If the adoptive parents select box 1 on the AAP 3 indicating they no longer wish to receive an AAP benefit for their child, the agency shall follow the procedures as specified in Section 35339 for completing a deferred payment agreement.
(B) If the adoptive parents select box 2 on the AAP 3 indicating they request the AAP benefit to continue, the agency shall pay the same rate reflected on the last AAP agreement and Payment Instructions Adoption Assistance Program (AAP 2) form.
(C) If the adoptive parents select box 3 on the AAP 3, requesting an increase in the amount of the AAP benefit, the adoptive parents shall provide written documentation of the child's needs justifying the increase. The agency may require additional information as necessary.
1. The agency shall base the reassessment of the child's needs and required level of care and supervision on the following information:
a. Information provided by the adoptive parents.
b. Information about the child based on application of the county's foster care specialized care assessment instrument.
c. Circumstances of the family.
2. The responsible public agency shall follow the procedures in Section 35333 in determining the new maximum AAP benefit amount.
3. If the agency determines that a change in the amount of payment appears appropriate, the adoptive parents' concurrence shall be obtained prior to changing the amount of payment.
a. The adoptive parents' concurrence is not required if the payment amount is changed to prevent the payment from exceeding the maximum foster care maintenance payment that would have been paid had the child remained in foster care.
4. The responsible public agency and the adoptive parents shall complete an amended AD 4320 to reflect the change in the amount of AAP benefit.
a. If the agency and the adoptive parents are unable to agree on the amount of the AAP benefit, the agency shall complete an AAP 2 instructing the county to send a Notice of Action to the adoptive parents indicating that the request for additional AAP benefits is denied and that the AAP benefit will continue at the prior rate. The agency shall specify the reason for denial as “The agency and the family cannot agree on benefits.”
5. The agency shall complete and send a Payment Instructions Adoption Assistance Program (AAP 2) form to the county within five working days of completing the reassessment process.
(D) If the adoptive parents select box 4 on the AAP 3, requesting a decrease in the amount of the AAP benefit, the agency and the adoptive parents shall complete an amended AD 4320 to reflect the change in benefit amount.
1. The agency shall complete and send a Payment Instructions Adoption Assistance Program (AAP 2) form to the county within five working days of completing the reassessment process.
NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code. Reference: Sections 16120, 16121 and 16121.05, Welfare and Institutions Code; 45 CFR 1356.40; and 42 USC 673.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Renumbering of article heading, amendment of section heading, repealer and new text and amendment of Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-31-94 order including amendment of section transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
4. Amendment of article heading, section heading and section filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
5. Amendment of article heading, section heading and section refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-31-2001 order, including further amendment of section, transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
7. Amendment of section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
Article 7. AAP Overpayments
§35344. Procedures for Identification and Recovery of Overpayments.
Note     •     History

(a) An overpayment of Adoption Assistance Program (AAP) benefits may exist in the following situations:
(1) The adoptive parent receives aid after the child becomes ineligible for assistance because:
(A) The child has attained 18 years of age, or, if the agency has determined that the child has a mental or physical condition which warrants the continuation of assistance, 21 years of age.
(B) The adoptive parent is no longer supporting the child.
(C) The adoptive parent is no longer legally responsible for the support of the child.
(2) The adoptive parent has committed fraud in his or her application for, or reassessment of, the adoption assistance benefit.
(3) The AAP payment exceeds the foster care payment which would have been paid on behalf of the child if the child had not been placed for adoption.
(b) The agency which authorized payment shall compute the overpayment amount as follows:
(1) Compute the correct AAP payment based on correct information for each month.
(2) Subtract the correct AAP payment from the amount of assistance actually provided.
(c) The agency which authorized payment shall inform the county responsible for payment of the reason for the overpayment and the computation of the overpayment amount.
(d) The county shall attempt to recover the overpayment as specified in MPP Section 45-806 and Section 45-808, which provides for recovery by grant adjustment, demand for repayment, or civil judgment.
(e) The county shall not demand overpayment collection when the overpayment was due to county error. 
NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code. Reference: Sections 16120, 16121 and 16121.05, Welfare and Institutions Code; 45 CFR 1356.40; 42 USC 673.
HISTORY

1. New article 7 and section filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-31-94 order including amendment of subsection (d) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
3. Amendment of subsections (a)(1)-(a)(2) filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(1)-(a)(2) refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2001 order transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
6. Amendment of section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
Article 8. Notice of Action
§35345. When Notice of Action Is Required.
Note     •     History

(a) The agency responsible for authorizing payment shall notify the county responsible for payment by using the Payment Instructions Adoption Assistance Program form (AAP 2) regarding any of the following events which require that the county send the adoptive parent a Notice of Action (NOA):
(1) Denial of request for adoption assistance benefits.
(2) Completion of a deferred payment agreement (Section II of the AD 4320).
(3) Authorization of the initial grant.
(4) Completion of the reassessment process.
(5) Payment termination.
(6) An overpayment requiring collection.
(7) Any change in grant amount.
NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code. Reference: Section 16121.05, Welfare and Institutions Code; and 45 CFR 205.10 and 1355.30.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Renumbering of article heading and amendment of section and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-31-94 order transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
4. Amendment of subsection (a)(4) and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
Article 9. Continuation of Aid for the Adoption of Children (AAC)
§35347. Statutory Provisions for AAC. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10553, 10554 and 16118, Welfare and Institutions Code. Reference: Section 16121.05(d), Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Renumbering of article heading and amendment of subsection (a) and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-31-94 order transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
4. Repealer filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35349. Chronic Health Condition and Continuation of the AAC Grant.
Note     •     History

(a) For purposes of this section, a chronic health condition shall include one or more of the following conditions present at placement and of such nature as to make adoptive homes unavailable to the child without financial assistance:
(1) Physical or mental disability present at birth or resulting from disease or injury.
(2) Emotional disturbance.
(3) History of either injury prior to adoptive placement, physical disease, or emotional disturbance which may manifest itself in some form of physical, mental, or emotional disability after completion of the adoption.
NOTE

Authority cited: Section 10553, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 16121, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending subsections (a)(1)-(3) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 10. Documentation of AAP Eligibility
§35351. Maintenance of Separate Records.
Note     •     History

(a) To maintain confidentiality of the adoption case record, the responsible public agency shall maintain copies of the following documents separate from the adoption case record:
(1) The Request for Adoption Assistance (AAP 1).
(2) The Eligibility Certification - Adoption Assistance Program (AAP 4), which verifies that the child meets the Adoption Assistance Program eligibility criteria specified in Section 35326.
(3) The following documents relating to the determination of Federal eligibility:
(A) Federal Eligibility Certification for Adoption Assistance Program (FC 8).
(B) Income and Property Checklist for Federal Eligibility Determination - Adoption Assistance Program (FC 10).
(4) Documentation supporting the determination of the amount and duration of payment made pursuant to Section 35333.
(5) The initial Adoption Assistance Program Agreement (AD 4320).
(6) Completed reassessment documents, including:
(A) Reassessment Information - Adoption Assistance Program (AAP 3).
(B) The Adoption Assistance Program Agreement (AD 4320) used as an amendment to the initial agreement.
(7) Payment Instructions - Adoption Assistance Program (AAP 2).
(8) All correspondence from the county, including notices of action.
(9) State hearing decisions.
(10) All AAP related correspondence from the adoptive parent, including supporting documentation submitted to the agency by the parent.
(11) Any other correspondence relating to the determination of AAP eligibility or grant amount.
NOTE

Authority cited: Sections 10553 and 16118, Welfare and Institutions Code. Reference: Sections 16118, 16120 and 16120.05, Welfare and Institutions Code; and 42 USC 671 and 673.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Renumbering of article heading and amendment of section and Note filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-31-94 order including repealer of subsection (a)(3)(C) and subsection relettering transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
4. Amendment of subsections (a)(5)-(a)(6)(B) filed 11-30-2000 as an emergency; operative 12-1-2000 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 3-30-2001 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(5)-(a)(6)(B) refiled 3-30-2001 as an emergency; operative 3-31-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-30-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-31-2001 order transmitted to OAL 7-27-2001 and filed 9-6-2001 (Register 2001, No. 36). 
7. Amendment of subsection (a), repealer of subsection (a)(3)(B), subsection relettering and amendment of Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
Article 11. Reimbursement for Nonrecurring Adoption Expenses
§35352. Notification Requirements for Agencies.
Note     •     History

(a) The agency shall inform all applicants that:
(1) Reimbursement for nonrecurring adoption expenses is available to adoptive parents who adopt a child who meets the three part special needs determination and citizenship requirements set forth in Section 35326.
(2) Agreements entered into pursuant to this section shall meet the provisions of Section 35352.1(a)(7).
(3) Agreements must be signed at the time of or prior to the final decree of adoption.
(4) Claims for reimbursement must be filed with the agency responsible for payment of AAP benefits within two years of the date of the final decree of adoption.
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code. Reference: Sections 16119 and 16120.1, Welfare and Institutions Code; and 45 CFR1356.40 and 1356.41(e); 42 USC 673.
HISTORY

1. New article 11 and renumbering and amendment of former section 35332 to new section 35352 filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-31-94 order including amendment of subsection (a)(1) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
3. Amendment of subsection (a)(1) and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35352.1. Eligibility for Reimbursement.
Note     •     History

(a) In order for a claim to be eligible for reimbursement, the responsible public agency shall:
(1) Record in the case file that the adoption took place in compliance with applicable state and local laws.
(2) Record in the case file that the child for whose adoptive costs the parents are claiming reimbursement meets the three part special needs determination and citizenship requirements.
(3) Include verification in the case file that the expenses claimed were actual expenditures. “Verification” includes, but is not limited to, copies of the following:
(A) Cancelled checks;
(B) Signed and dated receipts.
(4) Record in the case file that the expenses claimed meet the definition of “nonrecurring adoption expenses” as defined in section 35000(n).
(5) Record in the case file that the adoptive parents have not received reimbursement for the claimed expenses from other sources. “Other sources” include, but are not limited to, the following:
(A) Reimbursement from employers;
(B) Income tax deductions.
(6) Ensure that all adoptive parents sign the Adoption Assistance Program Nonrecurring Adoption Expenses Agreement (AAP 8) with the agency prior to finalization of the adoption. The completed and signed AAP 8 shall be filed in the child's AAP file. The content of all such agreements shall meet the requirements as follows:
(A) The agreement must indicate the nature and amount of the nonrecurring expenses to be paid.
(B) The agreement may be a separate document or part of an agreement for either state or federal adoption assistance payments or services.
(7) Limit the maximum reimbursement for nonrecurring adoption expenses to $400.00 per placement.
(A) Reimbursement for the adoptions costs incurred for the adoption of siblings shall be paid as follows:
1. Siblings placed for adoption either separately or as a unit are treated as individual placements with separate reimbursement for nonrecurring expenses up to the maximum amount allowable for each child.
(8) Record in the case file that reimbursement for nonrecurring adoption expenses in interstate placements shall conform to the following:
(A) When the adoption of the child involves interstate placement, the State that enters into an Adoption Assistance Agreement under section 473(a)(1)(B)(ii) of the Social Security Act or under a state subsidy program will be responsible for paying the nonrecurring adoption expenses of the child. In cases where there is interstate placement but no agreement for other Federal or State adoption assistance, the State in which the Final Adoption Decree is issued will be responsible for reimbursement of nonrecurring expenses if the child meets the requirements of 473(c).
NOTE

Authority cited: Sections 10553, 10554 and 16118(a), Welfare and Institutions Code. Reference: Section 16120.1, Welfare and Institutions Code; and 45 CFR 1356.40 and 1356.41; 42 USC 673.
HISTORY

1. Renumbering and amendment of former section 35332.1 to new section 35352.1 filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-31-94 order including amendment of subsections (a)(2) and (a)(8) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
3. Amendment of section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35352.2. Authorization for Reimbursement.
Note     •     History

(a) Pursuant to a determination that a claim for reimbursement for nonrecurring adoption expenses meets the three part special needs determination and citizenship requirements, the responsible public agency shall authorize the appropriate county to reimburse the adoptive parents.
(1) The county responsible for reimbursement shall be the county that would otherwise provide the child's AAP payment.
(A) This reimbursement shall be separate from the child's AAP payment as stated in Welfare and Institutions Code Section 16120.1(d) 
(2) Reimbursement for nonrecurring adoption expenses is contingent upon the ongoing existence of the federal program for these reimbursements as mandated by Welfare and Institutions Code Section 16120.1(c). 
NOTE

Authority cited: Sections 10553, 10554 and 16120.1(a), Welfare and Institutions Code. Reference: Section 16120.1, Welfare and Institutions Code; and 45 CFR 1356.40 and 1356.41(g); 42 USC 673.
HISTORY

1. Renumbering and amendment of former section 35332.2 to new section 35352.2 filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-31-94 order transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
3. Amendment of section and Note filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§35352.3. Agency Requirements for Reimbursements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10553 and 16118(a), Welfare and Institutions Code. Reference: Section 16120.1, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 35332.3 to new section 35352.3 filed 10-31-94 as an emergency; operative 11-1-94 (Register 94, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-1-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-31-94 order including amendment of subsection (b) transmitted to OAL 2-27-95 and filed 4-10-95 (Register 95, No. 15).
3. Repealer filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
Subchapter 8. Adoption of Children with Indian Heritage
Article 1. Additional Agency Requirements for Adoption of Children with Indian Heritage
§35353. CDIB and Linkage to the ICWA.
Note     •     History

(a) In working with children who could be subject to the provisions of the ICWA or be eligible for a CDIB and the birth parents of such children, the additional requirements of Subchapter 8 shall be met.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 10553, Welfare and Institutions Code; Section 8619, Family Code; and 25 U.S.C. Sections 1901, 1902, 1903, 1911, 1912, 1913, 1914, 1915, 1916, 1917, 1920 and 1921.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Amendment filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35355. Non-Applicability of ICWA.
Note     •     History

(a) The requirements of the ICWA shall not apply to: 
(1) Adoptions in which a final decree of adoption was issued prior to May 8, 1979.
(2) Children who are members of non-federally recognized Indian tribes.
(A) The agency shall submit the AD 4311 to the department as required in Section 35359.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 10553, Welfare and Institutions Code; and 25 U.S.C. Section 1923.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect adding new subsection (a) designator and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
3. Amendment filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 2. Certification of Degree of Indian Blood (CDIB), Tribal Membership Eligibility, and/or Tribal Enrollment
§35357. Background Information to Determine the Applicability of the ICWA and to Obtain the CDIB.
Note     •     History

(a) The agency shall obtain sufficient information from the parents of a child as follows:
(1) If an Independent Adoption, as required by Section 35023.
(2) If an Agency Adoption, as required by Section 35129.3.
(b) The agency shall make the following determination for each child:
(1) Whether the child meets the definition of an Indian child in accordance with 25 USC Section 1903(4), and
(2) Whether a CDIB can be issued.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 8619, Family Code; and 25 U.S.C. 1903(4).
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of section heading and section filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35359. Completing the AD 4311.
Note     •     History

(a) The agency shall complete all requested information on the AD 4311 to the extent that the information is ascertainable from the birth parents, extended family members, and other sources of information.
(b) The agency shall complete an AD 4311 when parental rights regarding a child claiming Indian heritage, including unknown tribes, are being involuntarily or voluntarily terminated.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 8619, Family Code; and 25 U.S.C. Sections 1911 and 1912.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of section heading, section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35361. Submission of the AD 4311 to the Department.
Note     •     History

(a) Before accepting a relinquishment or consent, the agency or the adoption service provider shall immediately submit to the department a completed AD 4311 for each child claiming Indian heritage.
(1) A certified copy of the child's birth certificate shall be attached to the AD 4311.
(2) If the father is the identified Indian parent and is not named on the child's birth certificate, or his paternity has not been otherwise established, a signed and notarized statement of paternity must be attached to the AD 4311.
(g) Upon receipt of a CDIB from the BIA or tribe, the agency shall send a copy of the CDIB to the department.
(1) For relinquishment adoptions only:
(A) After receipt of the ICWA determination, the agency shall send to the department the AD 90 and all copies of correspondence sent to or received from the tribe or BIA agency office.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 8619, Family Code; and 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of section and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35363. Procedures for Children Who Meet the Definition of an Indian Child.
Note     •     History

(a) Reserved.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 8619, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect adding new subsection (a) and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 3. Background Information
§35365. Background Information on a Child Subject to the ICWA.
Note     •     History

(a) The agency shall attempt to ascertain the following background information:
(1) Name, address, date, place of birth, and tribal affiliation of the child and of any parent, grandparent, or great-grandparent with Indian heritage.
(2) Names and addresses of extended family members.
(3) Tribal customs regarding child placement practices.
(4) Addresses where tribal governing organizations may be located.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 8619, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)-(4) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 4. Information to Parents of a Child with Indian Heritage Regarding Provisions of the ICWA
§35367. Information to the Parents.
Note     •     History

(a) The agency shall inform the parents of a child with Indian heritage that:
(1) The provisions of the ICWA shall apply if at least one parent is a member of an Indian tribe as defined at Section 35000(i)(7) and the child is an Indian child as defined at Section 35000(i)(5).
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: 25 U.S.C. 1901 et seq.; and Section 8619, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35369. Provisions of the ICWA.
Note     •     History

(a) The agency shall inform the parents of a child subject to the ICWA of the act's provisions which include:
(1) The requirement for an order of placement preference.
(C) If the parent requests modification of the placement order in an agency adoption, the request shall be brought to the attention of the court for a decision on whether the placement order shall be modified.
(D) In an independent adoption, the court shall be advised that the parent has been made aware of the order of placement preference and has made the decision to consent to the adoption by the petitioners.
(2) The requirement that the relinquishment or consent must be taken before a judge of the Superior Court.
(3) The requirement that the parent may withdraw consent or revoke or rescind relinquishment at any time prior to the entry of the final decree of adoption.
(4) The requirement that, in the event the parent who gave physical custody of the child to the agency or petitioners and has not otherwise been deprived of legal custody requests to revoke or rescind the relinquishment or withdraw the consent, or refuses to give consent, the following procedures shall be followed:
(A) In an independent adoption:
(1) If the consent has not been signed and the parent wishes return of the child, the parent rather than the agency will request the petitioners to return the child. If the petitioners refuse, the agency shall immediately file a report with the court and recommend the child's return.
2. If the consent has been signed, the agency shall immediately file a report with the court advising the court of the parent's request and recommending that the child be returned to the parent.
(B) In an agency adoption:
1. If the parent's request precedes adoptive placement the agency shall rescind the relinquishment and return the child to the parent.
2. If the parent's request follows an adoptive placement, the agency shall immediately notify the adoptive parents and return the child to the parent within an agreed upon time period, which would ordinarily not exceed three working days.
(i) In no case shall the return of the child require more than seven calendar days following the parent's request.
(C) Any other parent whose consent has been taken or whose relinquishment has been filed shall immediately be notified of the request to revoke or rescind the relinquishment or withdraw the consent and shall be notified of any court proceedings resulting from the request.
(5) The requirement that, in the event that the parent who did not give physical custody of the child to the agency or petitioners, or the parent who has been deprived of legal custody, requests revocation or rescission of the relinquishment or withdrawal of the consent, the following procedures shall be followed:
(A) In an independent adoption, the agency shall ensure that the petitioners are advised that court proceedings will be necessary to determine whether that parent has a right to physical custody of the child or whether the adoption plan can proceed.
(B) In an agency adoption, the agency shall initiate court proceedings which will determine whether that parent has a right to physical custody of the child or whether the adoption plan can proceed.
1. The agency shall ensure that any other parent whose consent has been taken or whose relinquishment has been filed is notified of the request to revoke or rescind the relinquishment or withdraw the consent and notified of any court proceedings resulting from the request.
(6) The requirement that if the agency or petitioners initiate legal proceedings to involuntarily terminate the parent's rights to the Indian child, the tribe shall be notified and may intervene in the proceedings.
(7) The requirement that the parent will be notified if the adoption petition is withdrawn, dismissed, or denied or the adoption is set aside.
(B) The agency shall inform the parent that he or she must keep his or her name and address current with the agency so that notice can be provided.
(C) The agency reporting on the petition that is withdrawn, dismissed, or denied, or on the set aside shall provide written notice to the parent.
(8) The requirement that upon petition of either parent, the Indian custodian or the Indian child's tribe, all court proceedings with regard to the child shall be transferred to the jurisdiction of the tribal court, providing there is no good cause to the contrary, and neither parent objects to the petition and the tribal court does not decline the transfer.
(9) The requirements for release of information concerning the adoption and the adopted child's Indian heritage as follows:
(A) The adopted child, when he or she reaches age 18, may request and receive information from the court as provided for in 25 USC 1917.
(B) That the court which granted the adoption is required by the Act to provide information to the Secretary of the Interior as specified in 25 USC 1951 and the parent who wishes his or her identity to remain confidential will need to file an affidavit with the court requesting confidentiality.
2. The agency shall request the parent to provide a copy of the affidavit for filing in the adoption case record.
(C) That although the Secretary of the Interior is required by the Act to insure confidentiality, some Indian tribes, if they know of the adoption, may not maintain confidentiality.
(D) That upon request the department will make available to authorized personnel from the Bureau of Indian Affairs and the adopted child who has reached age 18 information as specified in Family Code Section 8619.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8619 and 8621, Family Code. Reference: 25 U.S.C. 1901 et seq.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Amendment of subsection (a)(4)(B)2 filed 12-1-88; operative 12-31-88 (Register 89, No. 1).
3. Change without regulatory effect amending section filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
4. Change without regulatory effect renumbering subsections, and amending subsections (a)(7)(B), (a)(9)(A)-(B), (a)(9)(D) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
5. Amendment relettering former subsections (a)(1)(B)-(C) to (a)(1)(C)-(D) filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
6. Amendment relettering former subsections (a)(1)(B)-(C) to (a)(1)(C)-(D) refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35371. Provisions for Setting Aside the Adoption and Withdrawing Consent.
Note     •     History

(a) The agency shall inform the parents of a child subject to the provisions of the ICWA that within five years of the time a decree of adoption is granted, the parent may petition the court to set aside a decree of adoption upon the grounds that the consent or relinquishment was obtained through fraud or duress pursuant to USC 1913(d) and Family Code Section 9102.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 9102, Family Code; and 25 U.S.C. 1913(d).
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsection (a) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35373. Invalidation of Procedures to Terminate Parental Rights.
Note     •     History

(a) The agency shall inform the parent of a child subject to the provisions of the ICWA that the parent may petition the court to invalidate any action that terminated parental rights if termination procedures did not comply with the ICWA.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 9102, Family Code; and 25 U.S.C. 1911, 1912(a), 1913(a), 1913(c), 1913(d), 1914, 1915(a), 1916, 1917 and 1951.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 5. Freeing the Indian Child for Adoption
§35375. Voluntary Termination of Parental Rights.
Note     •     History

(a) The agency shall meet the requirements of 25 USC 1913 in accepting the relinquishment of or consent to adoption of an Indian child.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8619 and 8621, Family Code. Reference: 25 U.S.C. 1913.
HISTORY

1. New section filed 9-1-8; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35377. Involuntary Termination of Parental Rights.
Note     •     History

(a) The agency shall meet the requirements of 25 USC 1912 when parental rights to an Indian child are terminated involuntarily.
(b) The notice required by 25 USC 1912(a) shall contain the following:
(1) The names, dates, and places of birth of the Indian child, his parents or Indian custodian.
(2) The maiden name of the child's mother.
(3) Tribal affiliation of the child and the parents when known.
(4) A copy of the petition, complaint or other document by which the proceeding was initiated.
(5) The name of the petitioner and the name and address of the petitioner's attorney.
(6) A statement of the right o the biological parents or Indian custodians and the Indian child's tribe to intervene in the proceeding.
(7) A statement that if the parents or Indian custodians are unable to afford counsel, counsel will be appointed to represent them.
(8) A statement of the right of the parents or Indian custodians and the Indian child's tribe to have on request, twenty days or such additional time as may be permitted under state law to prepare for the proceedings.
(9) The location, mailing address, and telephone number of the court.
(10) A statement of the right of the parents or Indian custodians or the Indian child's tribe to petition the court to transfer the proceedings to the Indian child's tribal court.
(11) The potential legal consequences of an adjudication on future custodial rights of the parents or Indian custodian.
(12) A statement that since child custody proceedings are usually conducted on a confidential basis, tribal officials should keep confidential the information contained in the notice concerning the particular proceeding and not reveal it to anyone who does not need the information in order to exercise the tribe's right under the ICWA.
(d) If the parent is an unmarried father who has not acknowledged paternity and whose paternity has not been established, such notice shall not be required.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: 25 U.S.C. 1912 and 1913; Guidelines to State Courts; and Indian Child Custody Proceedings FR Vol. 44, No. 228, Part III, Nov. 26, 1979.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending subsections (b)(1)-(11) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 6. Information Transmitted to Applicants in Agency Adoptions
§35379. Information to Applicant Prior to Placement of an Indian Child for Adoption.
Note     •     History

(a) Prior to the placement of an Indian child for adoption, the agency shall inform the applicant of the birth parents' right to:
(1) Rescind the relinquishment and have the child returned at any time prior to the entry of a final decree of adoption by the court.
(2) Petition the court within five years of the granting of the final decree of adoption to set aside a decree of adoption upon the grounds that the relinquishment was obtained through fraud or duress.
(3) Petition the court to invalidate any action terminating parental rights if termination procedures did not comply with the ICWA.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 9102, Family Code; and 25 U.S.C. 1913(c).
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 7. Placement and Supervision in an Agency Adoption
§35381. Placement Agreement, Compliance with Order of Placement Reference and Procedure Regarding Request to Rescind.
Note     •     History

(a) The agency shall:
(1) Enter into a placement agreement which includes, in addition to the requirements of Section 35207 confirmation that the prospective adoptive parents were advised of the birth parent's rights as specified at Sections 35379(a)(1), (2) and (3).
(2) Document in the adoption case record the basis used to comply with the order of placement preference or the reason for any failure to comply. A copy of the court order and documentation establishing good cause to the contrary for failing to comply shall be attached to the AD 558 sent to the department.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8619 and 8621, Family Code. Reference: Section 16119, Welfare and Institutions Code; and 25 U.S.C. 1913(c) and 1915(b)(3).
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Repealer of subsection (a)(3) filed 12-1-88; operative 12-31-88 (Register 89, No. 1)
3. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of subsection (a)(2) filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a)(2) refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
Article 8. Information Transmitted to Petitioners in an Independent Adoption
§35383. Applicability of ICWA to Non-Indian Parents, Withdrawal of Consent and Termination of Parental Rights in an Independent Adoption.
Note     •     History

(a) During the investigation of the adoption petition, the agency shall advise the petitioners that:
(1) The provisions of the ICWA apply to the non-Indian parent of an Indian child as well as to the Indian parent.
(2) The birth parent may withdraw his or her consent and has the right to have the child returned to him or her at any time prior to the issuance of a final decree of adoption.
(3) The procedures pursuant to Section 35377 will be followed if it is necessary to terminate parental rights involuntarily.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: 25 U.S.C. 1903(9), 1913(c) and 1912.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former Chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending subsection (a)(2) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 9. Information Transmitted to the Adoptee
§35385. Procedures for Transmission of Information to the Adoptee.
Note     •     History

(a) The department shall, upon the request of an adoptee who has reached 18 years of age:
(1) Inform the adoptee as to the tribe in which he or she is enrolled, or eligible for enrollment, and his or her degree of Indian blood.
(2) Inform the adoptee that the department will forward to the BIA any available information necessary to obtain benefits to which he or she is entitled, including tribal enrollment.
(3) Inform the adoptee that if he or she desires additional identifying information, he or she may petition the Superior Court pursuant to Family Code Section 9200 and Health and Safety Code Section 102705.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Sections 8619 and 9200, Family Code; and Section 102705, Health and Safety Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending subsection (a)(3) and Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending subsections (a)(1)-(3) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
4. Amendment of subsection (a)(3) and Note filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a)(3) and Note refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-24-98 order transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
§35387. Transmission of Information and Documentation Requested by the Department.
Note     •     History

(a) The agency shall provide to the department, upon request, information and documentation from the agency case record to assist the adoptee in obtaining tribal membership, and/or benefits derived from his or her Indian status, or certification of degree of Indian blood.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Sections 8619 and 8621, Family Code. Reference: Section 8619, Family Code.
HISTORY

1. New section filed 9-1-87; operative 10-1-87. Ed. Note: The printing of this regulation was delayed due to necessary reformatting (Register 88, No. 50). For history of former chapter 3, see Register 88, No. 1.
2. Change without regulatory effect amending Note filed 8-2-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 52).
3. Change without regulatory effect amending newly designated subsection (a) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Subchapter 9. Interstate Compact on the Placement of Children (ICPC)
Article 1. Definitions and Conditions
§35400. Definitions.
Note     •     History

NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code. Reference: Section 16100, Welfare and Institutions Code; Section 1502, Health and Safety Code; and Section 7900, Family Code. 
HISTORY

1. Editorial renumbering and printing of former section 30850 to section 35400 filed 9-20-90 (Register 90, No. 47).
2. Amendment filed 10-1-91 as an emergency; operative 10-1-91 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 1-29-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-1-91 order transmitted to OAL 1-27-92 and filed 3-9-92 (Register 92, No. 18).
4. Amendment of subsections (c)(1)-(2), (i)(2)-(3), (p)(3), (r)(2), (s)(2) and Note, repealer of subsections (p)(3)(A) and (s)(1) and new (s)(1) filed 6-9-94; operative 6-9-94 (Register 94, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-7-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-9-94 order transmitted to OAL 10-7-94 and filed 11-3-94 (Register 94, No. 44).
6. Editorial correction of subsections (r)(2) and (s)(2) (Register 94, No. 44).
7. Repealer of Article 1 and section filed 12-29-94; operative 1-1-95 (Register 94, No. 52). 
8. Editorial correction of History 7 (Register 95, No. 13).
Article 2. Relinquishment Adoptions
§35401. Children Leaving California.
Note     •     History

(a) To initiate a home evaluation: 
(1) The California sending agency shall summarize information about the child, complete Sections I, II and III of the ICPC 100A (Rev. 10/91), and: 
(A) Forward the following documents to the receiving state's appropriate public authority:
1. Two copies of the child summary, ICPC 100A (Rev. 10/91), and a home study request;
(i) An ICPC 100A (Rev. 10/91) must be completed for each child.
2. Two copies of a court order establishing the jurisdiction of the sending agency, or stating that care, custody, and control of the child have been given to a licensed adoption agency because the child is an orphan;
3. Two copies of the AD 4333 (Rev. 6/91), Acknowledgment and Confirmation of Receipt of Relinquishment Documents, establishing that the child is free for adoption, when a Family Code Section 7660, 7661, 7662, 7664, 7665, 7666, 7669, 7802, 7807, 7808, 7820, 7821, 7822, 7823, 7824, 7825, 7826, 7827, 7828, 7829, 7890 or 7892 action has been completed or the parent has relinquished the child to a licensed adoption agency. The AD 4333 (Rev. 6/91) shall be signed by a representative of CDSS;
4. Two copies of the AD 512 (Rev. 10/90), Psychosocial and Medical History of Child, or equivalent form. The AD 512 (Rev. 10/90) shall not contain the birth name of the child to be adopted or the name(s) of the birth parent(s). The AD 512 (Rev. 10/90), or equivalent form, shall be signed by the child's adoption worker and the prospective adoptive parent(s) and shall be dated;
5. Two copies of a statement indicating how the child's financial and medical needs will be met while in the preadoptive placement, including the child's eligibility for the Adoption Assistance Program (AAP);
6. Two signed copies of a written authorization for the prospective adoptive parent(s) to secure medical treatment for the child pending adoption;
7. Two copies of background information on the prospective adoptive parent(s), if available, and their relationship to the child; and
8. Two copies of a family assessment if already submitted to the California sending agency by the adoption agency in the receiving state.
(3) (Reserved) 
(b) To place a child in a home which has been approved in writing by the receiving state: 
(1) The California sending agency shall make the arrangements for and complete the placement directly with the adoption agency in the receiving state. 
(2) The California sending agency shall complete:
(A) The ICPC 100B (Rev. 10/91) and forward two copies to the appropriate public authority in the receiving state; and
(B) Two copies of all legal and other pertinent documents not previously submitted to the receiving state's appropriate public authority.
(c) To place a child when an approved home study by a receiving state's adoption agency has been previously exchanged with the California sending agency: 
(1) The California sending agency shall forward to the appropriate public authority in the receiving state:
(A) Four copies of the completed ICPC 100A (Rev. 10/91); 
1. An ICPC 100A (Rev. 10/91) must be completed for each child.
(B) Two copies of the approved home study and all legal and other pertinent documents not previously submitted to the receiving state. 
(3) When the placement has been approved in writing by the receiving state, the California sending agency shall proceed in accordance with Section 35401(b) above. 
(d) (Reserved) 
(e) To request continued supervision for those cases in which placement has been made in California and the child and family subsequently move to another party state before the adoption is final: 
(1) The California sending agency shall forward to the appropriate public authority in the receiving state:
(A) Four copies of the completed ICPC 100A (Rev. 10/91),
1. An ICPC 100A (Rev. 10/91) must be completed for each child.
(B) Two copies of the home study, child study, summary of supervisory reports, and legal and other pertinent documents. 
(2) The California sending agency shall request the receiving state's adoption agency to advise the family of the requirements necessary for completion of the adoption. 
(4) (Reserved) 
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 16100, Welfare and Institutions Code; Section 1502, Health and Safety Code; and Sections 7900 and 7903, Family Code. 
HISTORY

1. Editorial renumbering and printing of former section 30853 to section 35401 filed 9-20-90 (Register 90, No. 47).
2. Amendment filed 10-1-91 as an emergency; operative 10-1-91 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 1-29-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-1-91 order including amendment of subsection (b)(2)(A) transmitted to OAL 1-27-92 and filed 3-9-92 (Register 92, No. 18).
4. Change without regulatory effect amending subsection (a)(1)(A)3. and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35403. Children Entering California.
Note     •     History

(a) When a home evaluation request is submitted to a California receiving agency from a sending party state: 
(1) The California receiving agency shall obtain in cooperation with the sending state's appropriate public authority the following documents:
(A) Copies of the home study request and the ICPC 100A (Rev. 10/91);
(1) An ICPC 100A (Rev. 10/91) must be completed for each child.
(B) Copies of a court order establishing jurisdiction of the sending agency, or stating that care, custody, and control of the child have been given to a licensed adoption agency because the child is an orphan;
(C) Copies of a court order terminating parental rights or a relinquishment of the child to an adoption agency, establishing that the child is free for adoption;
(D) Copies of the AD 512 (Rev. 10/90), Psychosocial and Medical History of Child, or equivalent form. The AD 512 (Rev. 10/90) shall not contain the birth name of the child to be adopted or the name(s) of the birth parent(s). The AD 512 (Rev. 10/90), or equivalent form, shall be signed by the child's adoption worker and the prospective adoptive parent(s) and shall be dated;
(E) Copies of a statement indicating how the child's financial and medical needs will be met while the child is in the preadoptive placement, including the child's eligibility for the Adoption Assistance Program (AAP);
(F) Signed copies of a written authorization for the prospective adoptive parent(s) to secure medical treatment for the child pending adoption;
(G) Copies of background information on the prospective adoptive parent(s), if available, and their relationship to the child.
(2) The California receiving agency shall complete the home study and forward the home study report directly to the sending state's appropriate public authority.
(3) The California receiving agency shall state on the ICPC 100A (Rev. 10/91) approval or disapproval of the placement based upon the home study, and forward the ICPC 100A (Rev. 10/91) to the sending state's appropriate public authority with a copy to the sending agency. 
(b) To place a child in a home which has an approved home study by a California receiving agency:
(1) The California receiving agency shall make the arrangements for and complete the placement directly with the sending agency.
(2) Upon completion of placement, the California receiving agency shall require a completed copy of the ICPC 100B (Rev. 10/91) from the sending state's appropriate public authority. 
(c) To place a child when an approved home study by a California receiving agency has been previously exchanged with the sending agency:
(1) The California receiving agency shall require that the sending state's appropriate public authority shall submit those documents listed at Section 35403(a)(1)(A) through (G). 
(2) The California receiving agency shall return the approved or disapproved ICPC 100A (Rev. 10/91) to the sending state's appropriate public authority.
(3) When the California receiving agency has received the ICPC 100A (Rev. 10/91) approving placement, the agency shall proceed in accordance with Section 35403(b) above.
(d) The California receiving agency providing supervision shall forward supervisory reports, as indicated on the ICPC 100A (Rev. 10/91), directly to the sending state's appropriate public authority.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 8621, Family Code. Reference: Section 16100, Welfare and Institutions Code; Section 1502, Health and Safety Code; and Sections 7901 and 7903, Family Code. 
HISTORY

1. Editorial renumbering and printing of former section 30855 to section 35403 filed 9-20-90 (Register 90, No. 47).
2. Amendment filed 10-1-91 as an emergency; operative 10-1-91 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 1-29-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-1-91 order transmitted to OAL 1-27-92 and filed 3-9-92 (Register 92, No. 18).
4. Change without regulatory effect amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Article 3. Independent Adoptions
§35405. General.
Note     •     History

(a) The following provisions apply to the birth parent(s).
(1) Only the birth parent(s) may make adoptive placement plans for his or her child. 
(2) The birth parent(s) is considered the sending agency.
(3) The birth parent(s) remains financially responsible for the child until the adoption is made final. 
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 16100, Welfare and Institutions Code; and Sections 8801(a) and 7901, Family Code. 
HISTORY

1. Editorial renumbering and printing of former section 30857 to section 35405 filed 9-20-90 (Register 90, No. 47).
2. Amendment filed 10-1-91 as an emergency; operative 10-1-91 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 1-29-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-1-91 order transmitted to OAL 1-27-92 and filed 3-9-92 (Register 92, No. 18).
4. Change without regulatory effect amending subsection (a)(1) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35407. Children Leaving California.
Note     •     History

(a) The California agency [because California is the state where the birth parent(s) lives] shall request the birth parent(s) to submit the ICPC 100A (Rev. 10/91) for forwarding to the receiving state's appropriate public authority (the state where the prospective adoptive parent(s) lives) the following documents: 
(1) Four copies of the completed ICPC 100A (Rev. 10/91). 
(A) An ICPC 100A (Rev. 10/91) must be completed for each child.
(2) Two copies of a family history including, but not limited to, the following:
(A) Composition of the family.
(B) Marital status of the parents.
(C) Age, physical appearance, religion, personality, and mental and physical disabilities.
(D) School and employment history.
(E) Reason for placement in another state.
(F) Medical information on the child (may be submitted after birth).
(3) Two copies of a statement by the birth parent(s) that confirms the plan for adoptive placement and meets the requirements of Family Code Sections 8539 and 8801(b).
(4) Two copies of a statement by the birth parent(s) that indicates how the financial and medical needs of the child will be met while the child is in the preadoptive placement.
(5) Two signed copies of a written authorization for the adoptive parent(s) to secure medical treatment for the child pending adoption.
(b) The California agency shall notify the birth parent(s) of the receiving state's decision pursuant to receipt and review of the documents in Section 35407(a).
(c) After the placement request has been approved in writing and the placement made, the California agency shall request the birth parent(s) to complete and forward to the appropriate public authority in the receiving state:
(A) Four copies of the ICPC 100B (Rev. 10/91).
(B) Three copies of all legal and other pertinent documents not previously submitted to the receiving state's appropriate public authority.
(f) If prospective adoptive parent(s) moves from California to another member state before an independent adoption is completed, the SDSS Adoptions district office or delegated California adoption agency which has had the responsibility for investigating the independent adoption shall: 
(1) Send two copies of a summary of information on the child and family history to the receiving state's appropriate public authority, i.e., the state to which they are moving, indicating that four copies of the ICPC 100A (Rev. 10/91) are being submitted by the birth parent(s).
(A) The information on the child and the family history shall include, but is not limited to, the following: 
1. Composition of the family; 
2. Marital status of the parents; 
3. Age, physical appearance, religion, personality, and mental and physical disabilities; 
4. School and employment history; 
5. Reason for placement in another state; 
6. Medical information on the child.
(2) Request the birth parent(s) to complete and forward to the appropriate authority in the receiving state:
(A) Four copies of the ICPC 100B (Rev. 10/91).
(B) Three copies of all legal and other pertinent documents not previously submitted to the receiving state's appropriate public authority.
(3) The California agency shall sign and forward the ICPC 100A (Rev. 10/91) to the receiving state's appropriate public authority.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference:  Section 16100, Welfare and Institutions Code; and Sections 8801 and 7900, Family Code. 
HISTORY

1. Editorial renumbering and printing of former section 30858 to section 35407 filed 9-20-90 (Register 90, No. 47).
2. Amendment filed 10-1-91 as an emergency; operative 10-1-91 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 1-29-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-1-91 order transmitted to OAL 1-27-92 and filed 3-9-92 (Register 92, No. 18).
4. Change without regulatory effect amending subsection (a)(3) and Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
§35409. Children Entering California.
Note     •     History

(a) The California agency shall request the birth parent(s) to furnish the following information through the appropriate public authority in the sending state to the California agency:
(1) Copies of the completed ICPC 100A (Rev. 10/91).
(A) An ICPC 100A (Rev. 10/91) must be completed for each child.
(2) Copies of a family history including, but not limited to, the following:
(A) Composition of the family. 
(B) Marital status of the parents. 
(C) Age, physical appearance, religion, personality, and mental and physical disabilities. 
(D) School and employment history. 
(E) Reason for placement in another state. 
(F) Medical information on the child (may be submitted after birth).
(3) Copies of a statement by the birth parent(s) that confirms the plan for adoptive placement and meets the requirements of Family Code Sections 8539 and 8801(b).
(4) Copies of a statement that indicates how the financial and medical needs of the child will be met while the child is in the preadoptive placement.
(5) Signed copies of a written authorization for the prospective adoptive parent(s) to secure medical treatment for the child.
(b) Before a child is permitted to enter California, the prospective adoptive parent(s) must:
(1) Have a preplacement interview completed by a CDSS Adoptions district office or an adoption agency delegated responsibility by the CDSS for making studies and reports to the court on independent adoptions.
(A) If the child is unborn and placement is planned shortly after birth, the California agency shall be notified of the proposed placement at least 30 days prior to the expected birth to allow time for the preplacement interview regardless of whether the place of expected birth is within California.
(c) Upon receipt of the information required in (a) above and completion of the preplacement interview: 
(1) The California agency shall approve or deny on the ICPC 100A (Rev. 10/91) the request for placement and return it to the sending agency and the sending state's appropriate public authority. 
(2) The prospective adoptive parent(s) shall be notified of the decision by the California agency.
(3) The California agency shall request the birth parent(s) to complete and send through the appropriate public authority in the sending state to the California agency:
(A) Copies of the ICPC 100B (Rev. 10/91).
(B) Copies of all legal and other pertinent documents not previously submitted to the receiving state's appropriate public authority.
NOTE

Authority cited: Sections 10553 and 10554, Welfare and Institutions Code; and Section 8621, Family Code. Reference: Section 16100, Welfare and Institutions Code; and Sections 7901, 7903 and 8801, Family Code. 
HISTORY

1. Editorial renumbering and printing of former section 30859 to section 35409 filed 9-20-90 (Register 90, No. 47).
2. Amendment filed 10-1-91 as an emergency; operative 10-1-91 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 1-29-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-1-91 order transmitted to OAL 1-27-92 and filed 3-9-92 (Register 92, No. 18).
4. Amendment of subsections (b)(1)-(b)(1)(A) and Note filed 6-9-94 as an emergency; operative 6-9-94 (Register 94, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-7-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-9-94 order transmitted to OAL 10-7-94 and filed 11-3-94 (Register 94, No. 44).
6. Editorial correction of subsection (b)(1) (Register 94, No. 44).
7. Change without regulatory effect amending subsections (a)(3) and (b)-(b)(1), repealing subsections (b)(2) and (b)(2)(B) and amending Note filed 3-27-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 13).
Chapter 4. Minimum Standards for Facilities for Children

*Regulations regarding Foster Family Homes will become part of T. 22, Div. 6, Ch. 6 in a subsequent register. Standards for Family Day Care Facilities are adopted in T. 22, Div. 6, Ch. 7 in Register 78, No. 43.
Subchapter 2. Day Nurseries
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1503, 1505, 1507, 1508, 1509, 1510, 1511, 1513, 1520, 1522, 1523, 1524, 1525, 1526, 1527, 1528, 1529, 1530, 1531, 1533, 1534, 1541, 1543, and 1550, Health and Safety Code.
HISTORY

1. Repealer of Subchapter 3 (Sections 31325-31491, not consecutive) filed 8-1-75; effective thirtieth day thereafter (Register 75, No. 31).
2. Repealer of Subchapter 4 (Sections 31751-31957, not consecutive) filed 8-1-75; effective thirtieth day thereafter (Register 75, No. 31).
3. Repealer of Chapter 4, Subchapters 1 and 2 (Sections 31001-31323, not consecutive) filed 10-27-78; effective thirtieth day thereafter (Register 78, No. 43). For prior history, see Registers 72, No. 21; 75, No. 31.
4. Editorial correction of history notes (Register 78, No. 45).
5. New Subchapter 2 (Sections 31191-31323, not consecutive) filed 11-24-78 as an emergency; designated effective 11-26-78. Certificate of Compliance included (Register 78, No. 47).
6. *Repealer of Subchapter 2 (Articles 1-6, Sections 31191-31323, not consecutive) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42). For prior history, see Register 80, Nos. 11 and 19.
. * The reorganization of Subchapter 2 into Division 6, Chapter 2, is printed as a repealer for clarity.
Chapter 5. Minimum Standards for Residential Care Homes for Adults
HISTORY

1. Repealer of Chapter 5 (Sections 32001-32103, not consecutive) filed 8-1-75; effective thirtieth day thereafter (Register 75, No. 31). 
Chapter 6. Continuing Care Agreements
HISTORY

1. Repealer of Chapter 6 (Sections 33001-33293, not consecutive) filed 8-1-75; effective thirtieth day thereafter (Register 75, No. 31). For prior history, see Register 74, No. 6.
Subdivision 6. Preventive Medical Services

(Originally filed 4-11-77)
Chapter 1. California Health Services Corps
Article 1. Definitions
§40101. Corps.
Note     •     History

“Corps” means the California Health Services Corps.
NOTE

Authority cited for Chapter 1, Sections 102 and 208, Health and Safety Code. Reference: Sections 1185-1188.7, Chapter 1196, Part 4, Division 1, Health and Safety Code.
HISTORY

1. New Chapter 1 (Sections 40101-40152, not consecutive) filed 4-11-77 as an emergency; effective upon filing (Register 77, No. 16).
2. Certificate of Compliance filed 8-5-77 (Register 77, No. 32).
§40103. Department.
Note     •     History

“Department” means the State Department of Health Services.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§40105. Designated Areas.

“Designated areas” means areas designated pursuant to Section 1188.4, Part 4, Division 1, of the Health and Safety Code as rural areas with unmet priority need for medical services.
§40106. Director.
Note     •     History

“Director” means the Director of Health Services.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§40107. Provider.
History

“Provider” for the purpose of Section 40115 means an individual:
(a) Who is a direct provider of health care (including a physician, dentist, pharmacist, nurse, podiatrist or physician's assistant) in that the individual's primary current activity is the provision of health care to individuals or the administration of health facilities or institutions (including hospitals, long-term care facilities, outpatient facilities and health maintenance organizations) in which such care is provided and, when required by state law, the individual has received professional training in the provision of such care or in such administration and is licensed or certified for such provision or administration or;
(b) Who is an indirect provider in that the individual:
(1) Holds a fiduciary position in, or has a fiduciary interest in, any entity described in subclause (B) or (D) of clause (2);
(2) Receives (either directly or through his/her spouse) more than 1/10 of his/her gross annual income from any one or combination of the following:
(A) Fees or other compensation for research into or instruction in the provision of health care,
(B) Entities engaged in the provision of health care or in such research or instruction,
(C) Producing or supplying drugs or other articles for individuals or entities for use in the provision of or in research into or instruction in the provision of health care,
(D) Entities engaged in producing drugs or such other articles.
(3) Is a member of the immediate family of an individual who is a direct or indirect provider as described in (a) or (b) or;
(4) Is engaged in insuring any policy or contract of individual or group health insurance or hospital or medical benefits.
HISTORY

1. Amendment of subsection (a) and (b)(3) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40108. Rural.
History

A rural area is: (a) a County Census Division or aggregate of County Census Divisions with a density of less than 250 persons per square mile according to the latest decennial census conducted by the U. S. Bureau of Census, and in which the principal city has a population of no more than 20,000 persons according to said census, or;
(b) An area designated by the Health Manpower Commission as a rural area with unmet priority needs for medical service as specified in Section 1188.4 of the Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40109. Site.

“Site” means a clinic, facility or geographic area to which corps personnel are assigned.
Article 2. Eligibility
§40111. Applicant.
History

(a) Any of the following may apply for assignment of corps personnel for the provision of health care services in underserved rural areas:
(1) A nonprofit clinic as defined in Health and Safety Code Section 1203, or licensed health facility.
(2) A licensed health provider or group of licensed providers.
(3) A county health project or facility.
(4) A project or facility sponsored by state or federal funds.
(5) A nonprofit community or consumer corporation.
(6) A charter city.
(7) A Board of Supervisors.
(b) An applicant nonprofit clinic or nonprofit licensed health facility shall be incorporated under the laws of the State of California.
(c) In those cases where a county has contracted for the provision of medical services with a private corporation not otherwise eligible under this article, the applicant shall be the county and any Corps personnel assigned shall be assigned to the county.
(d) Each applicant shall either:
(1) Demonstrate the ability to deliver the proposed services with the assignment of the requested Corps personnel, based on:
(A) Adequate and appropriate health personnel;
(B) Sufficient operating capital;
(C) Adequate and appropriate management systems and personnel; or,
(2) If the applicant is newly formed or has not been previously engaged in the delivery of health care services, adequately describe appropriate methods for providing for the criteria listed above.
HISTORY

1. Amendment of subsections (a) and (d)(1)(B) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40112. Direct Assignment.

The State may assign Corps personnel directly to rural areas with an unmet need for medical services. The Department shall consider requests for personnel from groups or agencies in such areas.
§40113. Designation of Areas.

Geographical rural areas within California where unmet priority need for health care services exists shall be designated by the Health Manpower Policy Commission which shall publish criteria for designation within all rural areas. Review and reconsideration of designated areas and publication of results shall occur at least annually. The Health Manpower Policy Commission shall make provisions for individual rural areas to petition for designation.
§40115. Advisory Committee.

(a) Each applicant shall form an advisory committee for the site. The advisory committee shall participate in all of the following:
(1) Planning services and personnel needed.
(2) Selecting Corps personnel to be assigned to the site.
(3) Planning and reviewing the budget for the site.
(4) Evaluating the effectiveness of the site and assigned Corps personnel.
(5) Proposing changes in the site and in the number and type of Corps personnel assigned.
(6) Developing a written plan for continuation of services after the assignment period of Corps personnel has ended, with self-sufficiency as a goal.
(b) Members of the advisory committee shall be drawn from the area to be served and shall be representative of underserved rural target populations, such as native Americans, senior citizens, Medi-Cal recipients, isolated rural residents, and agricultural and forestry workers. At least 50 
percent of the members shall not have been a provider of health care within the 12-month period immediately preceding appointment.
(c) The project advisory committee shall have at least five members, none of whom shall serve more than four years. At least twenty-five percent of the membership of the committee shall change at each election. Members of the Project Agency Board of Directors may be members of the advisory committee but shall not constitute more than one-third of the committee membership.
(d) The advisory committee shall meet at least quarterly, prepare and maintain minutes of meetings, appoint subcommittees as needed and elect its own chairperson and other officers.
§40116. Duplication.

No funds provided by this part shall:
(a) Duplicate or replace any commitment made by the Federal government.
(b) Duplicate or replace county obligation to provide health care services.
(c) Be provided for types of services for which rural people are eligible under other programs and for which funds are available, including, but not limited to the following types of service:
(1) Family planning.
(2) Supplemental Feeding Program for Women, Infants and Children (WIC).
(3) Alcoholism and substance abuse.
(4) Hospitalization other than for emergency services.
(5) Maternal and Child Health.
(6) Crippled Children's Services.
(7) Community Mental Health Services Program.
(8) Regional Centers for the Developmentally Disabled.
Article 3. Application
§40117. Submission.

Each application for assignment of Corps personnel shall be submitted to the Director at such time and in such form and manner as the Director may require.
§40119. Authority.

(a) Each application for assignment of Corps personnel shall be prepared and signed by the applicant or by a person authorized to act for the applicant and to assume on behalf of the applicant any obligations imposed by law, by these regulations, or by contract.
(b) Nonprofit agency applicants shall submit a copy of articles of incorporation and minutes of board meetings authorizing application. The name, address and length of time in office of each board member shall be included.
(c) Public agency applicants shall submit a copy of the resolution of the governing body authorizing the application.
§40121. Geographic Area.

Each application shall define the boundaries of the geographic area to be served by each site.
§40122. Needs.
History

Each applicant shall demonstrate the need for health services in the geographic area defined based on criteria including but not limited to: (a) The number of individuals whose unmet needs for medical services would be serviced by the site,
(b) The unavailability and inaccessibility of the requested resources in the area to be served,
(c) The restrictive costs of receiving or providing health services in the area to be served,
(d) Isolation of the area to be served, and
(e) Health indicators or descriptions of health characteristics for the population to be served which demonstrate that the lack of services has had a significant detrimental effect on the population's health.
HISTORY

1. Amendment filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40123. Required Services.

Each application shall include objectives that, when accomplished, would fulfill the specific needs of the service area. These objectives shall be expressed in terms which can be measured; which relate to the alleviation of the need as stated in Section 40122, and which will allow assessment of the improvement in health of the population served by the project.
§40125. Coordination.

Each application shall show evidence of coordination between the site and local health providers and services including preventive, emergency medical, and disaster services.
§40127. Recommendations.

Each application shall contain a letter of review and recommendation from the local health officer based on the Health Systems Plan and Annual Implementation Plan as required by PL 93-641, or evidence that the health officer received a copy of the application and did not respond within 30 days.
§40131. Technical Assistance.

Upon request the Department may provide technical assistance for the development of an application for assignment of Corps personnel and for implementing and managing programs where Corps personnel are assigned. Such technical assistance may be through the provision of the services of physicians, dentists, nurses and other allied health professionals and of other professionals such as lawyers and accountants.
Article 4. Personnel
§40133. Types of Personnel.
History

The California Health Service Corps shall consist of:
(a) Physicians or Surgeons. A physician or surgeon shall be licensed as a physician or surgeon by the California State Board of Medical Quality Assurance or by the Board of Osteopathic Examiners.
(b) Dentists. A dentist shall be licensed to practice dentistry by the California State Board of Dental Examiners.
(c) Optometrists. An optometrist shall be licensed to practice optometry by the California State Board of Optometry.
(d) Nurse Practitioners. A nurse practitioner shall be licensed to practice nursing by the California State Board of Registered Nursing and shall possess a valid California driver's license. In addition:
(1) A Nurse Practitioner I shall possess a baccalaureate degree in nursing from an accredited college or university and shall have completed an educational program preparing nurse practitioners for primary care which is affiliated with a school of medicine or a school of nursing or accredited by the National League for Nursing. A Nurse Practitioner I shall have two years of public health nursing experience or nursing experience in a community setting including direct patient care. A master's degree in nursing may be substituted for one year of the required experience. Additional experience may be substituted for up to two years of the required general education on a year-for-year basis.
(2) A Nurse Practitioner II shall meet all of the qualifications for Nurse Practitioner I and shall have an additional year of public health nursing experience or nursing experience in a community setting including direct patient care.
(e) Physician Assistants. A physician assistant shall be certified under Chapter 7.7, Division 2, of the Business and Professions Code.
(f) Registered Nurses. A registered nurse shall be licensed to practice nursing by the California State Board of Registered Nursing.
(g) Dental Hygienists. A dental hygienist shall be certified by the California State Board of Dental Examiners.
(h) Dental Assistants. A dental assistant shall be supervised by a dentist licensed by the California State Board of Dental Examiners.
(i) Health Educators.
(1) A health educator shall possess a master's degree with a specialization in public health education from an accredited school of public health.
(2) A health educator associate shall hold a bachelor's degree or higher with specialization in public or community health education awarded upon completion of an accredited program of study.
(j) Nutritionists. A nutritionist is a dietitian who holds a master's degree in nutrition or public health nutrition or who has two years of experience performing the duties of a nutritionist in a public health agency or a nutrition clinic.
(k) Dietitians. A dietitian shall be registered by the American Dietetic Association and have a specialty in community dietetics.
(l) Health Aides. A health aide shall be a person certified as a health aide or enrolled in an established education program leading to certification.
(m) Nutrition Aides. A nutrition aide shall be a person trained and supervised by nutrition professionals.
(n) Other Personnel. Other classes of health personnel needed to meet the purposes of the program shall be approved by the Director.
HISTORY

1. Amendment of subsections (a), (i) and (j) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40135. Salary Schedules.
History

Personnel under contract to the Corps shall be paid at state civil service rates in the appropriate class, as follows:
(a) Physicians and Surgeons. A physician and surgeon shall be paid in accordance with the class “Physician and Surgeon,” class code number 7551.
(b) Dentists. A dentist shall be paid in accordance with the class “Dentist,” class code number 7831.
(c) Optometrists. An optometrist shall be paid in accordance with the class “Consulting Optometrist I,” class code number 7970, or “Consulting Optometrist II,” class code number 7969.
(d) Nurse Practitioners. A Nurse Practitioner I shall be paid in accordance with the class “Public Health Nurse II,” class code number 8210. A Nurse Practitioner II shall be paid in accordance with the class “Public Health Nurse IV,” class code number 8211. Any subsequently established classes designed for nurse practitioners will take precedence.
(e) Physician Assistants. Physician assistants shall be paid in accordance with the class “Registered Nurse III,” class code number 8161 or with a subsequently established class designed for physician assistants.
(f) Registered Nurses. A registered nurse shall be paid in accordance with the class “Registered Nurse II,” class code number 8164, “Registered Nurse III,” class code number 8161, “Public Health Nurse I,” class code number 8213 or “Public Health Nurse II,” class code number 8210.
(g) Dental Hygienists. A dental hygienist shall be paid in accordance with the class “Dental Hygienist,” class code number 8128, or “Dental Hygienist Consultant,” class code number 8387.
(h) Dental Assistants. A dental assistant shall be paid in accordance with the class “Dental Assistant,” class code number 7911.
(i) Health Educators. 
(1) A health educator shall be paid in accordance with the class “Health Education Consultant I,” class code number 8333, or “Health Education Consultant II,” class code number 8331. (2) A health education associate shall be paid in accordance with the “Health Program Technician I,” class code number 8342.
(j) Nutritionists. A nutritionist shall be paid in accordance with the class “Public Health Nutrition Consultant I,” class code number 2163, or “Public Health Nutrition Consultant II,” class code number 2162.
(k) Dietitians. A dietitian shall be paid in accordance with the class “Dietitian,” class code number 2167.
(l) Health Aides. A health aide shall be paid in accordance with the class “Public Health Assistant I,” class code number 8346, or “Public Health Assistant II',” class code number 8345.
(m) Nutrition Aides. A nutrition aide shall be paid in accordance with the class “Public Health Assistant I,” class code number 8346, or “Public Health Assistant II,” class code number 8345.
(n) Other Personnel. Other personnel approved by the Director shall be paid in accordance with state civil service classes that most approximate the duties of those personnel.
(o) Where Corps personnel are assigned to sites that are very remote or to sites that require an exceptionally high degree of responsibility, the Director may add salary and benefit incentives.
HISTORY

1. Amendment of subsection (i) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40137. Conditions of Employment.

(a) Corps personnel shall be assigned to approved sites for periods of time to be determined by the Director.
(b) In no case shall Corps personnel engage in health care related activities outside of assigned working hours except as agreed between the Corps member and the site, with approval by the Department.
(c) Contracts and agreements between the Department and Corps personnel or the Department and the sites shall provide for periodic reports and evaluations of Corps personnel and for personnel grievance procedures.
§40139. Benefits and Additional Provisions.

(a) All Corps personnel shall receive current state civil service employee benefits or their monetary equivalent in addition to base salary.
(b) All Corps personnel shall benefit from state employee holidays or equivalent time off as agreed to with the site.
(c) All Corps personnel shall receive vacation time at the accrual rate of 5/6 days per month during the first three years of employment and at current state rates thereafter.
(d) All Corps personnel shall receive sick leave at the accrual rate of one day per month.
(e) All Corps personnel shall be eligible to use up to five days per year for continuing education.
Article 5. Charges and Reimbursements
§40141. Charges.
History

(a) The applicant shall bill all third-party carriers including Medi-Cal, Medicare and private insurance carriers and shall facilitate participation in such insurance programs for all eligible persons.
(b) Charges for services by Corps personnel shall be set at a rate designed to recover the cost of services. Each person receiving services from assigned Corps personnel and not covered by a third-party carrier shall be charged according to a sliding fee schedule based on ability to pay. No person shall be refused needed service because of inability to pay. The schedule of charges for each site shall be subject to approval by the Department. Preadmission cash deposits shall not be required.
HISTORY

1. Amendment of subsection (b) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40143. Reimbursement.

All reimbursement for the services of Corps personnel shall be dispersed by either of the following methods as agreed upon by the Director and the site:
(a) The site may return reimbursements to the Department for up to the Department's actual costs.
(b) The funds may be expended by the site for authorized support expenses. All authorized support expenses shall be detailed in a budget approved by the Director. The Director may set ceilings on any individual expense item or group of items. Authorized support expenses may include support personnel salaries, operating expenses, administrative costs, and costs of medical and dental supplies and equipment.
§40145. Reports.

Each contract shall require the applicant to provide written reports to the Department detailing data to evaluate the services provided, and including measurement of the extent to which the applicant's objectives stated pursuant to Section 40123 were accomplished and the health of the population served by the project was affected, and detailing all billings and revenue collected. The Director shall have complete access to all fiscal records and audits of the project and to such records as may indicate the quality of care being provided.
Article 6. Recipient Rights
§40147. Nondiscrimination.
History

No person shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination in any Corps site on the basis of race, color, national origin, age, sex, creed or marital status or on the basis of physical or mental disability unless medically indicated.
HISTORY

1. Amendment filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40149. Confidentiality.
History

(a) All files and information pertaining to a person received the services of any Corps member shall be held confidential and shall not be divulged without the written consent of the individual or his/her authorized representative (or the parent or guardian, in the case of a minor), except as may be necessary to provide emergency services to the individual, to file a claim for benefits on behalf of the individual, as required by the Department to administer this program, or as otherwise required by law. Information may be disclosed in summary, statistical or other form which does not identify the particular individual.
(b) Notwithstanding, any patient shall have the right to access to his/her own file, except when contravening to the provisions of Section 5328 of the Welfare and Institutions Code. This shall not apply retroactively to records established prior to funding under this program nor to records from other facilities or institutions.
HISTORY

1. Amendment of subsection (a) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40151. Right to Be Informed.
History

(a) Prior to receiving treatment, each project shall inform each patient of all known risks, benefits and alternatives to any and all treatment. Each patient shall sign an affirmation that his/her right to be informed of all known risks, benefits and alternatives to any and all proposed treatment has been explained in his/her native language, and that he/she understands this right. This requirement may be waived in the case of emergencies, that is, treatment which if delayed could immediately jeopardize the life of the person involved or could immediately result in a severe physical disability.
(b) In the case of minors, the right to be informed affirmation shall be signed by parent or guardian except in those cases specifically exempted by law.
(c) No recipient shall be denied site health care benefits for failure to accept any offered treatment.
HISTORY

1. Amendment of subsection (a) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40152. Recipient Grievance.
History

Each site shall provide for a grievance procedure for recipients of health care. The advisory committee shall review each grievance and the action taken on each grievance. Any recipient who is dissatisfied with the action of the advisory committee may appeal the grievance to the Department. Recipients may petition directly to the Department if they choose not to go through the project grievance procedures. The project shall make provisions to inform all recipients of the grievance procedure.
HISTORY

1. Amendment filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
Chapter 2. Rural Health Services Development Projects
Article 1. Definitions
§40201. Agency.
Note     •     History

“Agency” means a private, nonprofit corporation formed for the provision of health or welfare services or a public agency or a group identified in Section 1187.1 of the Health and Safety Code.
NOTE

Authority cited for Chapter 2 (Sections 40201-40245, not consecutive): Sections 102 and 208, Health and Safety Code. Reference: Sections 1185-1188.7, Chapter 1196, Part 4, Division 1, Health and Safety Code.
HISTORY

1. New Chapter 2 (Sections 40201-40245, not consecutive) filed 4-11-77 as an emergency; effective upon filing (Register 77, No. 16).
2. Certificate of Compliance filed 8-5-77 (Register 77, No. 32).
§40203. Consumer.
Note     •     History

“Consumer,” for the purposes of participation in the project advisory committee, as set forth in Section 1187.7 of the Health and Safety Code, means a person who resides in and is a recipient of health services in the project area and who has not been a provider of health care as defined by Section 40210 within the twelve months preceding appointment to the project advisory committee. Appointment to a project advisory committee shall not alter consumer status.
“Department” means the State Department of Health Services.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§40207. Director.
Note     •     History

“Director” means the Director of Health Services.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§40208. Health Care Services.

“Health care services” means any of those services listed as elements in Section 1187.5 of the Health and Safety Code.
§40209. Health Services Development Project.

“Health Services Development Project” means any project receiving funds from the Department for purposes of demonstrating or testing effective ways of providing health care services in underserved rural areas.
§40210. Provider.
History

“Provider” means an individual:
(a) Who is a direct provider of health care (including a physician, dentist, nurse, podiatrist or physician's assistant) in that the individual's primary current activity is the provision of health care to individuals or the administration of health facilities or institutions (including hospitals, long-term care facilities, out-patient facilities and health maintenance organizations) in which such care is provided and, when required by state law, the individual has received professional training in the provision of such care or in such administration and is licensed or certified for such provision or administration or;
(b) Who is an indirect provider in that the individual:
(1) Holds a fiduciary position in, or has a fiduciary interest in, any entity described in subclause (B) or (D) of clause (2);
(2) Receives (either directly or through his/her spouse) more than 1/10 of his/her gross annual income from any one or combination of the following:
(A) Fees or other compensation for research into or instruction in the provision of health care.
(B) Entities engaged in the provision of health care or in such research or instruction.
(C) Producing or supplying drugs or other articles for use in the provision of or in research into or instruction in the provision of health care.
(D) Entities engaged in producing drugs or such other articles.
(3) Is a member of the immediate family of an individual described in (a) or (b) or;
(4) Is engaged in insuring any policy or contract of individual or group health insurance or hospital or medical benefits.
HISTORY

1. Amendment of subsections (a) and (b)(3) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40211. Rural.
History

A rural area is:
(a) a County Census Division or aggregate of County Census Divisions with a density of less than 250 persons per square mile according to the latest decennial census conducted by the U.S. Bureau of Census, and in which the principal city has a population of no more than 20,000 persons according to said census.
(b) An area designated by the Health Manpower Commission as a rural area with unmet priority needs for medical service as specified in Section 1188.4 of the Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
Article 2. Applicants
§40213. Applicant.

Any agency may apply for assistance for the provision of health care services in underserved rural areas. Any existing applicant agency shall have the demonstrated ability to provide health services to medically underserved rural areas and rural populations based on:
(a) Adequate and appropriate health personnel.
(b) Sufficient operating expenses.
(c) Adequate and appropriate management systems and personnel.
Newly formed applicant agencies shall adequately describe appropriate methods for providing for the criteria identified above.
§40215. Advisory Committee.

(a) Each applicant shall form an advisory committee for the project separate from the policy board as set forth in Section 1187.7 of the Health and Safety Code.
(b) The project advisory committee shall have at least five members, none of whom shall serve more than four years. At least twenty-five percent of the membership of the committees shall change at each election. Members of the Project Agency Board of Directors may be members of the advisory committee but shall not constitute more than one-third of the committee membership. At least 50 percent of the members shall be consumers.
(c) The committee shall meet at least quarterly, prepare and maintain minutes of meetings, appoint subcommittees as needed, elect its own chairperson and other officers.
Article 3. Types of Assistance
§40217. Types of Assistance.

Pursuant to Division 1, Part 4, commencing with Section 1185 of the Health and Safety Code, the Department may provide the following types of assistance:
(a) Financial assistance in the form of a grant or loan provided under contract for the provision of specified health services and support as well as for equipment, minor capital outlay such as additions to existing structures or mobile units, minor renovations of buildings, start-up funds for services, or other uses determined appropriate by the Director.
(b) Technical assistance for the development or implementation of a grant proposal or in the management or provision of services for the project, through the provision of the services of physicians, dentists, nurses and other allied health professionals and of other professionals such as lawyers and accountants.
§40219. Duplication.

No funds provided by this part shall:
(a) Duplicate or replace any commitment made by the Federal Government. 
(b) Duplicate or replace county obligations to provide health care services.
(c) Be provided for types of services for which rural people are eligible under other programs and for which funds are available, including, but not limited to the following types of service:
(1) Family planning.
(2) Supplemental Feeding Program for Women, Infants and Children (WIC).
(3) Alcoholism and substance abuse.
(4) Hospitalization other than for emergency services.
(5) Maternal and Child Health.
(6) Crippled Children's Services.
(7) Community Mental Health Services Program.
(8) Regional Centers for the Developmentally Disabled.
§40221. State Responsibility.

Neither the approval of any project nor any financial assistance shall commit the State of California in any way to make any addition, supplement or continuation of another financial assistance award with respect to any approved project or portion thereof.
Article 4. Application for Financial Assistance
§40223. Submission.

Each application for financial assistance shall be submitted to the Director at such time and in such form and manner as the Director may prescribe.
§40225. Authority.

(a) Each application for financial assistance shall be prepared and signed by the applicant or a person authorized to act for the applicant and to assume on behalf of the applicant any obligations imposed by law, by these regulations or by contract.
(b) Nonprofit agency applicants shall submit a copy of articles of incorporation and minutes of board meetings authorizing application. The name, address, and length of time in office of each board member shall be included.
(c) Public agency applicants shall submit a copy of the resolution of the governing body authorizing the application.
§40227. Geographic Area.

Each application shall define the boundaries of the geographic area to be served by each site.
§40228. Needs.
History

Each applicant shall demonstrate the need for health services in the geographic area defined based on criteria including but not limited to:
(a) The number of individuals whose unmet needs for medical services would be serviced by the site.
(b) The unavailability and inaccessibility of the requested resources in the area to be served.
(c) The restrictive costs of receiving or providing health services in the area to be served.
(d) Isolation of the area to be served.
(e) Health indicators or descriptions of health characteristics for the population to be served which demonstrate that the lack of services has had a significant detrimental effect on the population's health.
HISTORY

1. Amendment filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40229. Required Services.

Each application shall include objectives that, when accomplished, would fulfill the specific needs of the service area. These objectives shall be expressed in terms which can be measured; which relate to the alleviation of the need as stated in Section 40228, and which will allow assessment of the improvement in health of the population served by the project.
§40231. Coordination.

Each application shall show evidence of coordination between the project and local health providers and services including preventive, emergency medical and disaster services.
§40233. Recommendations.

Each application shall contain a letter of review and recommendations from the local health officer based on the Health Systems Plan and Annual Implementation Plan as required by P.L. 93-641, or evidence that the local health officer received a copy of the application and did not respond within 30 days.
Article 5. Charges and Reimbursements
§40235. Charges.

(a) The applicant shall bill all third-party carriers including Medi-Cal, Medicare and private insurance carriers and shall facilitate participation in such insurance programs for all eligible persons.
(b) Charges for services by project personnel shall be set at a rate designed to recover the cost of services. Each person receiving services from project personnel and not covered by a third-party carrier shall be charged according to a sliding fee schedule based on ability to pay. No person shall be refused needed service because of inability to pay. The schedule of charges for each project shall be subject to approval by the Department.
§40237. Reimbursement.

All reimbursement for the services of a funded project shall be dispersed by either of the following methods as agreed upon by the Director and the site:
(a) The site may return reimbursements to the Department for up to its actual costs.
(b) The funds may be expended by the site for authorized support expenses. All authorized support expenses shall be detailed in a budget approved by the Director. The Director may set ceilings on any individual expense item or group of items. Authorized support expenses may include support personnel salaries, operating expenses, administrative costs, and costs of medical and dental supplies and equipment.
§40238. Reports.

Each contract shall require the applicant to provide written reports to the Department detailing data to evaluate the services provided, and including measurement of the extent to which the applicant's objectives stated pursuant to Section 40123 were accomplished and the health of the population served by the project was affected, and detailing all billings and revenue collected. The Director shall have complete access to all fiscal records and audits of the project and to such records as may indicate the quality of care being provided.
Article 6. Recipient Rights
§40239. Nondiscrimination.
History

No person shall be excluded from participation in, be denied the benefits of or be subjected to discrimination in any funded program on the basis of race, color, national origin, age, sex, creed or marital status or on the basis of physical or mental disability unless medically indicated.
HISTORY

1. Amendment filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 30).
§40241. Confidentiality.
History

(a) All files and information pertaining to a person receiving the services of any Rural Health Services Development Project shall be held confidential and shall not be divulged without the written consent of the individual or his/her authorized representative (or the parent or guardian, in the case of a minor), except as may be necessary to provide emergency services to the individual, to file a claim for benefits on behalf of the individual, as required by the Department to administer this program, or as otherwise required by law. Information may be disclosed in summary, statistical or other form which does not identify the particular individual.
(b) Notwithstanding, any patient shall have the right to access to his/her own file, except when contravening to the provisions of Section 5328 of the Welfare and Institutions Code. This shall not apply retroactively to records established prior to funding under this program nor to records from other facilities or institutions.
HISTORY

1. Amendment of subsection (a) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40243. Right to Be Informed.
History

(a) Prior to receiving treatment, project shall inform each patient of all known risks, benefits, and alternatives to any and all treatment. Each patient shall sign an affirmation that his/her right to be informed of all known risks, benefits and alternatives to any and all proposed treatment has been explained in his/her native language, and that he/she understands this right. This requirement may be waived in the case of emergencies, that is, treatment, which if delayed, could immediately jeopardize the life of the person involved or could immediately result in a severe physical disability.
(b) In the case of minors, the right to be informed affirmation shall be signed by parent or guardian except in those cases specifically exempted by law.
(c) No recipient shall be denied site health care benefits for failure to accept any offered treatment.
HISTORY

1. Amendment of subsection (a) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§40245. Recipient Grievance.
History

Each site shall provide for a grievance procedure for recipients of health care. The advisory committee shall review each grievance and the action taken on each grievance. Any recipient who is dissatisfied with the action of the advisory committee may appeal the grievance to the Department. Recipients may petition directly to the Department if they choose not to go through the project grievance procedure. The project shall make provisions to inform all recipients of the grievance procedure.
HISTORY

1. Amendment filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
Chapter 3. Victims of Sexual Assault [Repealed]
NOTE

Authority cited for Chapter 3 (Sections 40301-40317, not consecutive): Section 1494, Health and Safety Code. Reference: Section 1494, Health and Safety Code.
HISTORY

1. New Chapter 3 (Sections 40301-40317, not consecutive) filed 8-25-78; effective thirtieth day thereafter (Register 78, No. 34).
2. Repealer of Chapter 3 (Sections 40301-40317, not consecutive) filed 4-21-86 as a nonsubstantive change pursuant to Title 1, California Administrative Code, Section 100(b)(2); effective thirtieth day thereafter (Register 86, No. 17).
Chapter 4. Sickle Cell Screening Program [Repealed]
HISTORY

1. Repealer of chapter 4 (articles 1-8, sections 40401-40435) filed by the Department of Health Services with the Secretary of State on  12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code section 309(g) (Register 90, No. 4).
Chapter 5. Assistance to Primary Care Clinics
Article 1. Definitions
§40501. Clinic.
Note     •     History

“Clinic” means a primary 1 care clinic which is licensed as a community clinic or a free clinic by the Department and Indian clinics that are exempt from licensure under Section 1206, Subsection (c) of the Health and Safety Code.
NOTE

Authority cited: Sections 208, 1204, 1206 and 1225, Health and Safety Code. Reference: Sections 1200, 1204, 1206 and 1247, Health and Safety Code.
HISTORY

1. New Chapter 5 (Sections 40501-40552, not consecutive) filed 3-25-80 as an emergency; effective upon filing (Register 80, No. 13). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 7-24-80.
2. Certificate of Compliance filed 7-23-80 (Register 80, No. 30).
§40503. Department.
Note

“Department” means the State Department of Health Services.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Sections 20 and 1247, Health and Safety Code.
§40505. Director.
Note

“Director” means the Director of the Department of Health Services or his/her designee.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Sections 21 and 1247, Health and Safety Code.
§40507. Association of Clinics.
Note

“Association of clinics” means a nonprofit corporation which is comprised of not less than three clinics which have a combined service area covering an entire county or more.
A majority of members of the governing board of such a corporation shall be composed of clinic representatives which would otherwise be eligible for funding under this chapter.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40509. Primary Health Care Operations.
Note

“Primary health care operations” means those operating expenses necessary to provide medical, dental, podiatric or optometric primary care service, including personnel, rent, supplies, utilities, communications and travel; operations which include equipment purchases, facility renovations or land or building purchase are not included.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40511. Primary Health Care Services.
Note

“Primary health care services” means those services provided by a clinic to patients who remain less than 24 hours for prevention, diagnosis, or treatment of illness or injury including, but not limited to, advice, therapeutic services, outreach, emergency first aid, mental health screening, information and referral services.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40513. Technical Assistance.
Note

“Technical assistance” means the specialized support given a community clinic or free clinic including, but not limited to, developing a billing system, space management, program planning.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40515. In-Kind Contributions.
Note

“In-kind contributions” means an applicant's existing nonmonetary resources currently in use or available for use.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40517. Match.
Note

“Match” means the amount the applicant shall provide absent a waiver. The required match shall not be less than 20 nor more than 40 percent of the amount granted and may be met by in-kind service or cash or both.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40519. Demonstrated Hardship.
Note

“Demonstrated hardship” means the criteria the Director may use in waiving a cash or in-kind match for an applicant. This includes, but is not limited to, the following:
(a) The applicant has received reduced funding from any source for primary health care services.
(b) The applicant has terminated employees during the past 12 months due to lack of sufficient funds.
(c) The applicant has refused services to patients due to the applicant's inability to maintain the level of services to meet the need of patients requiring such services.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40521. Underserved Population Groups.
Note

“Underserved population groups” means:
(a) Those persons residing in one of the following areas:
(1) Medically underserved area (MUA) as designated by the Secretary of the Department of Health and Human Services, United States Government.
(2) Critical Health Manpower Shortage Area (CHMSA) as designated by the Secretary of the Department of Health and Human Services, United States Government.
(3) Primary Care Physician Shortage Area (PCPSA) as designated by the California Health Manpower Policy Commission.
(4) A census tract with morbidity and mortality rates that indicate high risk factors which establish the health status as below that of the majority population.
(b) Those persons who have the following characteristics as designated by the Director:
(1) Persons who lack private third-party insurance and are unable to qualify for care under Medi-Cal or Medicare; or
(2) Persons whose insurance coverage does not provide payment for all primary care services rendered by the clinic.
(3) Persons who have no primary care providers willing to accept new patients who are Medi-Cal or Medicare-eligible persons.
(4) Persons who live within a census tract, located in the county where the clinic is licensed to deliver services, which has insufficient primary care providers capable of meeting the linguistic, ethnic, cultural, physical, economic and social needs of a population.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1248, Heath and Safety Code.
§40523. High Risk Population.
Note

“High risk population” means that segment of the population which has a greater chance of acquiring certain disorders because of physical, emotional, economic or social conditions.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1248, Health and Safety Code.
Article 2. Eligibility for Grant
§40525. Who May Apply.
Note

(a) A community clinic or free clinic which:
(1) Is providing primary health services on 1/1/80.
(2) Has a clinic license issued by the Department.
(3) If a free clinic, makes no charges directly to the patient for services rendered or for drugs, medicine applications; or
(4) Charges for primary care services based on the patient's ability to pay, utilizing a sliding fee scale.
(5) Has not lost public funds due to failure to meet the terms of the agreement or contract.
(b) An association of clinics which is comprised of clinics meeting requirements of (a) above.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40527. Financial Requirements.
Note

(a) The applicant shall be in need of funds to maintain the current level of primary health care operations or to restore services to a previous level.
(b) The applicant shall demonstrate long-term prospects for financial stability.
(c) The applicant shall have the ability to match the grant or qualify for a waiver of the match.
(d) The applicant shall not use the grant funds to:
(1) Duplicate any funding already received or contracted to be received from any funding source.
(2) Provide for types of services which are eligible for funding under other programs and for which funds are available in the other programs.
(3) Replace funds that have been lost due to failure to meet the terms of an agreement or contract.
(4) Provide for services that are not included within the services authorized to be delivered by a primary care clinic and specified under the definition of primary health care services as specified herein.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40529. Submission.
Note

(a) Each application shall be submitted on a form to be provided by the Department. Funding shall be considered on a continuous basis without regard to fiscal year subject to the availability of funds.
(b) A clinic or association of clinics may receive only one grant in any 12-month period. Such grant shall not exceed $60,000.
(c) Each application shall specify a need for direct financial assistance or technical assistance to maintain and/or stabilize the health care operations of the clinic.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40531. Authority.
Note

(a) Each application for financial assistance shall be prepared and signed by the applicant or a person authorized to act for the applicant and to assume on behalf of the applicant any obligations imposed by law, by these regulations or by contract.
(b) Clinics applying for assistance shall submit a copy of their current license.
(c) Associations of clinics shall submit a copy of their final determination letter from the Franchise Tax Board.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40533. Application Content.
Note

Each application shall include the following information:
(a) The type of assistance applied for:
(1) Direct financial assistance in the form of a grant provided under contract for the maintenance of primary health care operations and services.
(2) Technical assistance to clinics for maintenance of services to medically underserved and high risk populations.
(b) The need for funds to continue current level of operation. In demonstrating such need the applicant shall take into account:
(1) Reduction in personnel.
(2) Reduction in services.
(c) The long-term prospect for financial stability.
(d) The proportion of services provided to high risk and/or medically underserved populations.
(e) The boundaries of the medical service area currently served by the clinic. Such area shall be designated by census tract.
(f) A list of services that are supported by the grant. Such presentation shall be in a form that conforms with generally accepted accounting procedures for nonprofit organizations.
(g) A specific plan of internal evaluation to measure the specific impact the grant will have on the primary health care level of service.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40535. Duplication of Funds.
Note

Each applicant shall provide assurance that grant funds shall not:
(a) Duplicate any funding already received or contracted to receive from any funding source.
(b) Be provided for types of services which are eligible under other programs and for which funds are available.
(c) Be provided to applicant who has lost funds due to failure to meet the terms of the agreement or contract.
NOTE

Authority cited: Sections 208 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40537. Matching.
Note

(a) The information provided shall enable the Director to make a determination as to the percent of match required or to waive the required match based on demonstrated hardship. Each applicant shall submit either:
(1) A plan for matching the grant by in-kind services, cash or both.
(2) Evidence which will demonstrate the applicant's rationale for waiver of the match requirement.
(b) The Director may request any additional information needed to determine eligibility for waiver.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
Article 3. Administration of the Grants Program
§40539. Request for Proposals.
Note

(a) Proposals shall be requested by the Director on a form to be provided by the Department for grants on a continuous basis without regard to fiscal year.
(b) Eligible applicants shall be required to submit proposals indicating the following:
(1) Total grant amount requested.
(2) Proposed use of funds.
(3) Total length of time needed for grant support.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1248, Health and Safety Code.
§40541. Criteria for Making Awards.
Note

(a) A grant to a clinic shall be awarded on the following bases:
(1) It is needed to maintain the current level of services and operation.
(2) It is needed to maintain a clinic that has cut back services due to lack of available resources (including but not limited to staff).
(3) It is needed to maintain the extent to which the clinic serves a medically underserved and/or high risk population which has limited access to health care services.
(4) It is needed to maintain the clinic's long-term prospect for financial stability.
(b) A grant to an association of clinics shall be awarded on the following bases:
(1) It is needed to stabilize the health care operations of primary care clinics.
(2) It is needed to support a long-term plan for financial stability of the association members.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1248, Health and Safety Code.
§40543. Contracts.
Note

Each grant award shall be subject to a contract between the Department of Health Services and the grantee. Such contract may include provisions for advance payment.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1247, Health and Safety Code.
§40545. Renewals.
Note

(a) The applicant may request and receive a renewal of the grant at the same level, a reduced level or a greater level, provided such renewal meets the following conditions:
(1) The grantee has met the terms and conditions of the existing grant.
(2) The grantee submits a proposal which meets the terms and conditions set forth in these regulations.
(3) The Director feels that a renewal of the grant would assist in meeting the primary health care needs of an underserved population.
(4) Funds are available for the program.
(b) Such request should be submitted 120 days prior to the date of termination of any contract awarded under the provisions of this subchapter.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1248, Health and Safety Code.
§40547. Evaluation.
Note

Each grantee shall participate in the Department's effort to evaluate the impact of grant awards. Evaluation shall consist of:
(a) A determination of he impact of grant funds.
(b) An identification of the effect grants have had on health care services.
(c) Any additional requirements deemed necessary by the Department.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1248, Health and Safety Code.
§40549. Reports.
Note

Each grantee shall be required to file quarterly reports with the Department detailing the expenditures made pursuant to the grant.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1248, Health and Safety Code.
§40551. Audits.
Note

Expenditure of funds provided pursuant to this subchapter shall be subject to audit by the State at any time within three years from the end of the fiscal period covered by this contract.
NOTE

Authority cited: Sections 208, 1225 and 1248, Health and Safety Code. Reference: Section 1248, Health and Safety Code.
§40552. Termination.
Note

In the event of no further appropriation for this grant-in-aid-program these regulations will cease to be effective December 30, 1984.
NOTE

Authority cited: Sections 208, 1255 and 1248, Health and Safety Code. Reference: Section 1248, Health and Safety Code.
Chapter 6. California Special Supplemental Food Program for Women, Infants and Children
Article 1. Definitions
§40601. Adequate Notice.
Note     •     History

Adequate notice means written notice of the adverse action, the reasons for it, the effective date and the procedure for requesting an appeal. Such notice shall be mailed no less than fifteen (15) days in advance of the effective date of the adverse action.
NOTE

Authority cited: Sections 311, 312 and 319, Health and Safety Code. Reference: Section 319, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40603. Adverse Action Affecting Vendor or Local Agency Participation.
Note     •     History

(a) Adverse action affecting vendor participation means a civil money penalty, denial of authorization, disqualification from the Program, or Departmental termination of the vendor agreement. The following shall not constitute an adverse action: 
(1) Expiration of an agreement with a vendor.
(2) Departmental termination from the Program of a vendor that has received a final determination by the USDA of termination from the Food Stamp Program.
(3) A claim for reimbursement from a vendor. 
(b) Adverse action affecting local agency participation means denial of an agency's application to participate, disqualification of an agency during the course of a contract agreement, or issuance of a written demand for repayment of costs determined to be unallowable pursuant to a fiscal audit. Expiration of a contract with a local agency shall not constitute an adverse action.
NOTE

Authority cited: Sections 123280, 123290 and 123355, Health and Safety Code. Reference: Section 123355, Health and Safety Code; and Title 7 Code of Federal Regulations Sections 246.12 and 246.18.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
2. Amendment of section heading, section and Note filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40605. Audit of a Food Vendor.
Note     •     History

Audit of a food vendor means a fiscal review of the food vendor's records, which includes but is not limited to food instruments or other claims submitted to the State, an inventory of food items, records of purchases from wholesalers, food vendor inventory records, sales and use tax returns filed with the State Board of Equalization, invoices, books of account, and other pertinent records which adjust and finally settle a statement of account to determine Program compliance with the contract and applicable state and federal laws and regulations.
NOTE

Authority cited: Sections 311, 312 and 314.5, Health and Safety Code. Reference: Section 314.5, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40607. Audit of a Local Agency.
Note     •     History

Audit of a local agency means a fiscal review of local agency records which includes but is not limited to an examination of contracts, invoices, paid warrants, document files, time records, books of account, and other pertinent records. It also includes an operational review of the Program, including the areas of eligibility determination, nutrition education, food delivery system, and inventory control of food instrument packages to determine compliance with the contract and applicable state and federal laws and regulations.
NOTE

Authority cited: Sections 311, 312 and 318, Health and Safety Code. Reference: Section 318, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40609. Breastfeeding Woman.
Note     •     History

Breastfeeding woman means a woman up to one year postpartum who is breastfeeding her infant.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311.5(c) and 312(f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40611. Categorical Eligibility.
Note     •     History

Categorical eligibility means persons who meet the definition of pregnant, postpartum, or breastfeeding women, or infants, or children.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311.5(c) and 312(f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40613. Certification of Participants.
Note     •     History

Certification means the implementation of criteria and procedures to assess and document each applicant's eligibility to receive Program benefits.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 312(f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40615. C.H.D.P.
Note     •     History

CHDP means the Child Health and Disability Prevention Program which is administered by the Department.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 312(f) and (g), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40617. Children.
Note     •     History

Children means persons who have had their first birthday, but have not reached their fifth birthday.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 311.5, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40619. Clinic.
Note     •     History

Clinic is defined as a facility where applicants are certified and receive WIC services.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 312, Health and Safety Code.
HISTORY

1. New section 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40620. Commodity Supplemental Food Program.
Note     •     History

Commodity Supplemental Food Program (CSFP) means the Commodity Supplemental Food Program administered by the United States Department of Agriculture, authorized by Section 5 of the Agriculture and Consumer Protection Act of 1973, as amended, and governed by Part 247, Title 7, Code of Federal Regulations.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40621. Competent Professional Authority.
Note     •     History

Competent professional authority means an individual on the staff of the local agency authorized to determine nutritional risk and prescribe supplemental foods. The following persons are the only persons the State agency may authorize to serve as a competent professional authority. Physicians, nutritionists (bachelor's or master's degree in Nutritional Sciences, Community Nutrition, Clinical Nutrition, Dietetics, Public Health Nutrition or Home Economics with emphasis in Nutrition), dietitians, registered nurses, licensed physician assistants, or State or local medically trained health officials approved by the Department. A state or local medically trained health official shall serve as a competent professional authority if in the opinion of the registered dietitian who supervises the individual, the individual has adequate education, employment, and/or training to enable the individual to determine nutritional risk and prescribe supplemental foods, and the Department concurs with the opinion of the registered dietitian. The registered dietitian submits to the Department a statement concerning an individual's training, education and employment which the Department reviews.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311.5(a) and 312(f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
2. Change without regulatory effect amending section filed 7-7-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 27).
§40622. Compliance Buy.
Note     •     History

Compliance buy means a purchase made with food instruments at the vendor by undercover Program representatives, who pose as participants, to evaluate vendor compliance with this Chapter. 
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code. Reference: Sections 123310, 123315 and 123335, Health and Safety Code; and Title 7 Code of Federal Regulations Section 246.12. 
HISTORY

1. New section filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40623. Date of Mailing.
Note     •     History

Date of mailing means the date postmarked on the envelope if postage was prepaid and the envelope was properly addressed. If the date cannot be determined, it shall be two days before the document was stamped received by the Department of Health Services. If the date cannot be determined by the two methods described above, it shall be the date the document was signed.
NOTE

Authority cited: Sections 311, 312 and 319, Health and Safety Code. Reference: Sections 311, 312 and 319, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40625. Disqualification.
Note     •     History

Disqualification means the act of ending the Program participation of a participant, authorized food vendor, or authorized local agency, whether as a punitive sanction or for administrative reasons.
NOTE

Authority cited: Sections 311, 312 and 319, Health and Safety Code. Reference: Sections 311, 312, 314 and 319, Health and Safety Code.
HISTORY

1. New section 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40627. Dual Participation.
Note     •     History

Dual participation means simultaneous participation by Program participants in one or more than one WIC clinic, or participation in the WIC Program and the Commodity Supplemental Food Program during the same time period.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312.5, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40629. Family.
Note     •     History

Family means a group of related or nonrelated individuals who are not residents of an institution but who are usually, although not necessarily, living together as one economic unit. The embryo or fetus in utero shall be counted as an additional member of the family unit, to the extent that federal income guidelines are not exceeded.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312(f), Health and Safety Code; and Section 29, Civil Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40631. File.
Note     •     History

File means delivery of a paper to, and the date stamped by Administrative Hearings and Appeals or the Office of Legal Services of the Department, or the Office of Administrative Hearings, as appropriate.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 318 and 319, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40633. Food Instrument.
Note     •     History

Food instrument means nutrition coupon, voucher, check, electronic benefits transfer (EBT) card, or coupon which is issued by the Program to a participant in order to obtain supplemental foods. The food instrument is a negotiable instrument subject to all the laws and regulations governing the handling of negotiable instruments.
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code. Reference: Sections 123280 and 123285, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
2. Amendment of section and Note filed 9-3-2002; operative 10-3-2002 (Register 2002, No. 36).
§40635. Food Vendor or Vendor.
Note     •     History

Food vendor or vendor means a retail store location with a specific ownership, the combination of which is authorized or is applying for authorization to participate in the Program, and does not include home food delivery operators. 
NOTE

Authority cited: Sections 123280 and 123290. Health and Safety Code. Reference: Sections 123280 and 123310, Health and Safety Code; and Title 7 Code of Federal Regulations Section 246.12.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
2. Amendment of section heading, section and Note filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40635.1. Vendor Ownership.
Note     •     History

Vendor ownership means the person(s) or business entity that owns the vendor store. 
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code. Reference: Sections 123280 and 123310, Health and Safety Code. 
HISTORY

1. New section filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40635.2. Vendor Store.
Note     •     History

Vendor store means a retail business at a specific physical location. 
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code. Reference: Sections 123280 and 123310, Health and Safety Code. 
HISTORY

1. New section filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40637. Hearing Auditor or Officer.
Note     •     History

Hearing auditor or officer means an individual designated to conduct an appeal hearing by the Director.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 319, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40638. Home Food Delivery Operator.
Note     •     History

Home Food Delivery Operator means the owner and the employees of any food delivery business in which food is delivered to a participant's home.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 319, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40639. Infants.
Note     •     History

Infants are defined as persons under one year of age.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 311.5(c), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40641. Local Agency.
Note     •     History

Local agency means a public or private, nonprofit health or human service agency which provides health care either directly or through contract.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40643. Migrant Farmworker.
Note     •     History

Migrant farmworker means an individual whose principal employment is in agriculture on a seasonal basis, who has been so employed within the last 24 months, and who establishes a temporary abode for the purpose of such employment. Members of such an individual's family are included.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312(f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40645. Nutrition Education.
Note     •     History

Nutrition education means individual or group education sessions and the provision of information and educational materials designed to improve health status, achieve positive change in dietary habits, and emphasize relationships between nutrition and health, all in keeping with the individual's personal, cultural, and socioeconomic preferences.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312(c) and (g), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40647. Nutritional Risk.
Note     •     History

Nutritional risk means detrimental or abnormal nutritional conditions that are detectable by biochemical or anthropometric measurements; other documented nutrition-related medical conditions; dietary deficiencies that impair or endanger health; or conditions which predispose persons to inadequate nutritional patterns or related medical conditions. When establishing these standards, the Department will take into consideration applicable federal regulations as well as standards of obstetric and pediatric medical practice in use by professionals providing health services to women during the childbearing years, infants, and children.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312(f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40648. On-Site Inspection.
Note     •     History

On-site inspection means a visit to a vendor by Program representatives to evaluate compliance with this Chapter. 
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code. Reference: Sections 123310, 123315 and 123335, Health and Safety Code; and Title 7 Code of Federal Regulations Section 246.12. 
HISTORY

1. New section filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40649. Participants.
Note     •     History

Participants means low income pregnant women, breastfeeding women, postpartum women, infants and children, and where applicable, the parents, guardians, caretakers, or representatives of these women, infants, and children, who have applied for, or are receiving, supplemental foods under the WIC Program.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311, 311.5(c) and 312(c), (d), (e) and (f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40651. Postpartum Women.
Note     •     History

Postpartum women means women up to six months after termination of pregnancy.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 311.5(c), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40653. Pregnant Women.
Note     •     History

Pregnant women means women determined to have one or more embryos or fetuses in utero.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 311.5(c), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40654. Probation.
Note     •     History

Probation means the act of suspending punitive or disciplinary action.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 315.5, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40655. Program.
Note     •     History

Program means the California Special Supplemental Food Program for Women, Infants, and Children (WIC), authorized by Section 17 of the Child Nutrition Act of 1966, as amended, which is administered and funded by USDA and operated pursuant to a Federal/State Agreement. In the event that there is a conflict between the state Program and federal policy, statutes or regulations, the federal policy, statutes or regulations shall prevail.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40657. Supplemental Foods.
Note     •     History

Supplemental foods means those foods containing nutrients determined to be beneficial for pregnant, breastfeeding, and postpartumwomen, infants, and children, as prescribed by the Secretary of the United States Department of Agriculture. These foods are listed in the WIC Acceptable Food List, which is updated periodically by the Department.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40659. U.S.D.A.
Note     •     History

U.S.D.A. means the United States Department of Agriculture which funds and administers the Program. The Program is operated under a Federal/State agreement, which is renewed annually.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 311, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40660. Vendor Authorization Number.
Note     •     History

Vendor authorization number means a unique number assigned by the Program to a vendor at the time of initial authorization to participate in the Program. 
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code. Reference: Sections 123302, 123310 and 123315, Health and Safety Code; and Title 7 Code of Federal Regulations Section 246.12.
HISTORY

1. New section filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40661. Vendor Claim.
Note     •     History

A vendor claim means a Program demand to a vendor for repayment of Program funds as specified in Section 40747. 
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code. Reference: Sections 123290, 123315, 123320, 123325, 123330, 123340 and 123345, Health and Safety Code; and Title 7 Code of Federal Regulations Section 246.12. 
HISTORY

1. New section filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
Article 2. Certification of Participants
§40669. Staffing Requirements for Competent Professional Authority.
Note     •     History

(a) The local agency shall have on staff a competent professional authority who shall be responsible for determining nutritional risk, prescribing supplemental foods and performing the certification procedures.
(b) The local agency shall have on staff one or more dietitians eligible for registration with the American Dietetic Association to provide instruction concerning nutritional high risk counseling and training to local agency employees to become competent professional authorities.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 312(f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40671. Requirements for Certification.
Note     •     History

(a) To be certified as eligible for the WIC Program, infants, children, and pregnant, postpartum, and breastfeeding women shall be determined to be at nutritional risk by a competent professional authority through a medical and/or nutritional assessment.
(b) Nutritional risk conditions which shall be used as a basis for certification shall include, but are not limited to:
(1) A woman who exhibits any of the following risk conditions:
(A) Anthropometric measurements which indicate:
1. Overweight or underweight for height.
2. Short stature.
3. Inadequate weight gain during pregnancy.
4. Excessive weight gain during pregnancy.
(B) Anemia.
(C) Nutritionally related physical and medical risk conditions or conditions that predispose persons to inadequate nutritional patterns. These conditions include, but are not limited to:
1. Under-age or over-age mother.
2. Short inter-pregnancy interval.
3. A woman who is breastfeeding a WIC eligible infant.
4. Metabolic disorders, such as diabetes.
5. Hypertension.
6. Multiple pregnancy.
7. Severe psychosocial problems limiting nutrient intake.
8. Tuberculosis.
9. Intrauterine growth retardation.
10. Renal disease.
11. Liver disease.
12. Cardiopulmonary disease.
13. Surgery such as Cesarean section.
14. Venereal disease.
15. Epilepsy.
16. Excessive use of alcohol, drugs, tobacco, or caffeine.
17. History of high-risk pregnancies or factors associated with high-risk pregnancies, such as: neonatal death, stillbirth, premature infant, spontaneous fetal loss, small for gestational age, low birthweight, high birthweight, congenital anomalies, therapeutic abortions, or Sudden Infant Death Syndrome.
18. High or low parity.
19. Exposure to toxic agents.
(D) Inappropriate diet.
(E) Health maintenance and regression in nutritional status. A participant who has previously been certified eligible for the Program, but who has no current nutritional risk conditions, may be considered to be at nutritional risk for one subsequent certification if the competent professional authority determines there is a possibility of regression in nutritional status without the supplemental foods.
(2) An infant or child who exhibits any of the following risk conditions:
(A) Anthropometric measurements which indicate:
1. Overweight for height.
2. Underweight for height.
3. Short stature.
4. Low birthweight.
5. High birthweight.
(B) Anemia.
(C) Nutritionally related physical and medical conditions or conditions that predispose persons to inadequate nutritional patterns including, but not limited to:
1. Food allergies.
2. Congenital and developmental disorders.
3. Severe dental problems.
4. Surgery.
5. Severe burns.
6. Chronic or severe infections.
7. Tuberculosis.
8. Chronic illnesses, such as cancer, hypertension, diabetes, cardiovascular disease, gastrointestinal illness, renal disease, endocrine or metabolic disturbances.
9. Premature or small for gestational age.
10. Severe psychosocial problems limiting nutrient intake.
11. Born to a mother who was at nutritional risk during pregnancy. An infant up to six months of age is at nutritional risk if born to a mother who participated in the WIC Program during pregnancy or whose medical record documents that she was at risk during pregnancy due to biochemical, anthropometric, physical, or medical reasons.
12. Breastfed by a mother who is a nutritional risk.
(D) Inappropriate diet.
(E) Health maintenance and regression in nutritional status. A participant who has previously been certified eligible for the Program but who has no current nutritional risk conditions may be considered to be at nutritional risk for subsequent certification(s) if the competent professional authority determines there is a possibility of regression in nutritional status without the supplemental foods.
This criterion may not be used for infants previously certified solely because they were born to a mother who was at nutritional risk during pregnancy. This criterion may be used for a maximum of two consecutive subsequent certifications for infants enrolled prior to six months of age due to a nutritional risk(s) other than being born to a mother who was at risk during pregnancy. For infants and children enrolled at six months or age or older, this criterion may be used for one subsequent certification.
(c) The participant shall meet the local agency service area or population criteria as specified in the contract between the Department and the local agency. A specific length of residency shall not be a requirement of eligibility.
(d) The participant shall meet the criteria for low income according to the amounts determined by the Department.
(1) Local agencies may consider the income of the family during the past 12 months and the family's current rate of income to determine which indicator more accurately reflects the financial status of the family.
(2) Income is considered as all gross cash income, before deductions for income taxes, employees' social security taxes, insurance premiums, and bonds. Income includes the following:
(A) Monetary compensation for services, including wages, salary, commissions, or fees;
(B) Net income from farm and non-farm self-employment;
(C) Social Security benefits;
(D) Dividends or interest on savings or bonds, income from estates or trusts, or net rental income;
(E) Public assistance or welfare payments;
(F) Unemployment compensation;
(G) Government civilian employee or military retirement or pensions or veterans' payments;
(H) Private pensions or annuities;
(I) Alimony or child support payments;
(J) Regular contributions from persons not living in the household;
(K) Net royalties; and
(L) Other cash income. Other cash income includes, but is not limited to, cash amounts received or withdrawn from any source including savings, investments, trust accounts and other resources which are readily available to the family.
(3) In determining income eligibility, payments or benefits provided under certain federal programs or acts are excluded from consideration as income by federal legislative prohibition. These programs include, but are not limited to:
(A) Reimbursements from the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, Public Law 91-646, Sec. 216, 42 U.S.C. 4636;
(B) Any payment to volunteers under Title I (VISTA and others) and Title II (RSVP, foster grandparents, and others) of the Domestic Volunteer Service Act of 1973 (Public Law 93-113, Sec. 404(g), 42 U.S.C. 5044(g)) to the extent excluded by that Act;
(C) Payment to volunteers under Section 8(b)(1)(B) of the Small Business Act (SCORE and ACE) Public Law 95-510, Sec. 101, 15 U.S.C. 637(b)(1)(D);
(D) Income derived from certain submarginal land of the United States which is held in trust for certain Indian tribes, Public Law 94-114, Sec. 6, 25 U.S.C. 459(e);
(E) Payments received under the Job Training Partnership Act, Public Law 97-300, Sec. 142(b), 29 U.S.C. 1552(b);
(F) Income derived from the disposition of funds to the Grand River Band of Ottawa Indians, Public Law 94-540, Sec. 6;
(G) Payments received under the Alaska Native Claims Settlement Act, Public Law 94-204, Sec. 4(a), 43 U.S.C. 1626;
(H) The value of assistance to children or their families under the National School Lunch Act 42 U.S.C. 1760(e), the Child Nutrition Act of 1966, 42 U.S.C. 1780(b), and the Food Stamp Act of 1977, 7 U.S.C. 2017(b);
(I) Payments by the Indian Claims Commission to the Confederated Tribes and Bands of the Yakima Indian Nation or the Apache Tribe of the Mescalero Reservation, Public Law 95-433, Sec. 2, 25 U.S.C. 609(c)(1); and
(J) Payments to the Passamaquoddy Tribe and the Penobscot Nation or any of their members received pursuant to the Maine Indian Claims Settlement Act of 1980, Public Law 96-420, Sec. 6, 9(c), 25 U.S.C. 1725(i), 1728(c); and
(K) Payments or allowances received pursuant to the Home Energy Assistance Act of 1980, Public Law 96-223, Title III, Sec. 313(c)(1).
(L) Student financial assistance received by an individual from any program funded under Title IV of the Higher Education Act of 1965 (including the Pell Grant, Supplemental Education Opportunity Grant, State Student Incentive Grant, National Direct Student Loan, PLUS,College Work Study, and Byrd Honor Scholarship Programs).
(4) The local agency may require verification of information which it determines necessary to confirm income eligibility for Program benefits.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312(f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40673. Priority System for Program Enrollment.
Note     •     History

(a) The competent professional authority shall fill vacancies which occur after a local agency has reached its maximum participation level by applying the following participant priority system.
(b) The enrollment priorities shall be as follows:
(1) Priority I includes the following in rank order beginning with the highest:
(A) Pregnant women who have one or more biochemical, physical, medical, or anthropometric risk factor(s) specified in Section 40671 of these regulations.
(B) Breastfeeding women who have one or more biochemical, physical, medical, or anthropometric risk factor(s) specified in Section 40671 of these regulations.
(C) Infants who possess one or more biochemical, physical, medical, or anthropometric risk factor(s) specified in Section 40671 of these regulations.
(2) Priority II includes:
(A) Women who are breastfeeding infants who qualify as Priority II and who have no other risk factors.
(B) Infants up to six months of age who do not qualify as Priority I and who were born to WIC participants; infants up to six months of age who do not qualify as Priority I and who were born to women who were not WIC participants during pregnancy, but who were at nutritional risk during pregnancy due to one or more biochemical, physical, medical, or anthropometric risk factor(s).
(3) Priority III includes the following in rank order, beginning with the highest:
(A) Children who have not reached the month of their third birthday and who possess one or more biochemical, physical, medical, or anthropometric risk factor(s) specified in Section 40671 of these regulations.
(B) Postpartum women who possess one or more anthropometric, biochemical, physical, or medical risk factor(s) specified in Section 40671 of these regulations.
(C) Children who have reached the month of their third birthday and who possess one or more biochemical, physical, medical, or anthropometric risk factor(s) specified in Section 40671 of these regulations.
(4) Priority IV includes the following in rank order, beginning with the highest:
(A) Pregnant women with an inadequate diet.
(B) Breastfeeding women with an inadequate diet.
(C) Infants with an inadequate diet.
(5) Priority V includes children with an inadequate diet.
(6) Priority VI includes postpartum women who are not breastfeeding and who currently have an inadequate diet and no other risk factor(s).
(c) A breastfeeding woman and her infant shall be placed in the highest priority level for which either is qualified.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312(f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40675. Processing Standards.
Note     •     History

(a) Local agencies shall act on applications for Program benefits within the following timeframes:
(1) When the local agency is serving its maximum caseload, the local agency shall maintain a waiting list of individuals who visit the local agency to express interest in receiving Program benefits and who are likely to be served. The local agency shall notify the applicant of her placement on the waiting list within twenty (20) calendar days after the applicant's visit to the local agency during clinic office hours to request Program benefits.
(2) When the local agency is not serving its maximum caseload, the local agency shall accept applications, make eligibility determinations, notify the applicants of the decisions made and, if the applicants are to be enrolled, issue food or food instruments. All of these actions shall be accomplished within the timeframes set forth below.
(A) Applicants at special nutritional risk shall be notified of their eligibility within ten (10) calendar days of their initial visit to the local agency to apply for Program benefits. Local agencies may extend this timeframe to fifteen (15) calendar days with prior written approval from the Department. Applicants at special nutritional risk shall include pregnant women eligible as Priority I participants, and migrant farmworkers and their family members who soon plan to leave the jurisdiction of the local agency.
(B) All other applicants shall be notified of their eligibility within twenty (20) calendar days after their initial visit to the WIC clinic to apply for Program benefits.
(b) Each local agency shall issue one or more food instruments or vouchers to the participant at the same time as the notification of certification. The food instruments shall provide benefits for the current month or the remaining portion thereof, and shall be redeemable immediately upon receipt by the participant.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312(d) and (e), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40677. Certification Periods.
Note     •     History

(a) Certification periods shall be within the following timeframes:
(1) Pregnant women shall be certified for the duration of their pregnancy and for up to six weeks postpartum.
(2) Postpartum women shall be certified for up to six months postpartum.
(3) Breastfeeding women shall be certified at intervals of approximately six months, ending with the infant's first birthday.
(4) Infants shall be certified at intervals of approximately every six months. The Department may permit local agencies to certify infants under six months of age for a period extending up to the first birthday, provided that the quality and accessibility of health care services are not diminished.
(5) Children shall be certified at intervals of approximately six months and ending with the end of the month in which a child reaches the fifth birthday.
(b) In cases where there is difficulty in appointment scheduling, the certification period for breastfeeding women, infants, and children may be shortened or extended by a period not to exceed thirty (30) calendar days.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312(f), Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40679. Actions Affecting Participation in Mid-Certification.
Note     •     History

(a) The local agency shall disqualify an individual in the middle of a certification period for the following reasons:
(1) Through a reassessment of eligibility status, the individual is determined to no longer meet eligibility requirements. However, a participant whose nutritional risk condition has resolved shall not be disqualified mid-certification.
(2) The local agency shall disqualify a participant for a period not to exceed three months for participant abuse including, but not limited to, any of the following reported program violations by the participant or parent, guardian, caretaker, or representative of the participant:
(A) Knowing and deliberate misrepresentation of facts or circumstances which affect Program eligibility;
(B) Sale of supplemental foods or food instruments to, or exchange with, other individuals or entities;
(C) Purchase of more than the specified amount of an authorized food item(s) with food instruments;
(D) Receipt from food vendors of cash or credit toward purchase of unauthorized food or other items of value in lieu of authorized supplemental foods;
(E) Return of authorized food items purchased with WIC food instruments for cash, credit, or unauthorized items;
(F) Physical abuse, or threat of physical abuse, of WIC clinic or vendor staff;
(G) Behaving in a rude or abusive manner, or otherwise causing a disruption at the WIC clinic or the food vendor. The local agency shall obtain approval from the Department prior to disqualification of an individual for this reason.
(H) Purchase of unauthorized food items with WIC food instruments;
(I) Use of food instruments outside of the valid dates;
(J) Any alteration of the food instrument;
(K) Redemption of food instruments at any food vendor other than the one imprinted on the food instrument;
(L) Theft of food instruments;
(M) Dual participation;
(N) Accepting WIC food instruments from anyone other than WIC staff.
(3) Fails to pick up food instruments or to keep scheduled appointments for a period of two consecutive months.
(4) If the Department experiences funding shortages, it may be necessary to discontinue Program benefits to a number of certified participants whose nutritional and health status would be least impaired by withdrawal of Program benefits. Such action shall be taken only after the Department has explored alternative actions; the action shall be calculated to affect the least possible number of participants with the expectation of providing benefits again when funds are available. When the Department elects to discontinue benefits to a number of certified participants due to insufficient funds, local agencies shall not enroll new participants during the time period.
(b) Based on the circumstances of the particular case, local agencies may stay the effect of the three month suspension period authorized in a)(2) above with written approval from the Department.
(c) As specified in (a)(2) above and in accordance with the provisions of Sections 40683 and 40757 and 7 CFR 246.23(c), participants or their parents, guardians, caretakers or representatives who have been determined to have intentionally misrepresented, concealed or withheld facts shall be required to reimburse the Department for the financial loss which resulted from improper receipt of program benefits. The financial loss is specifically limited to the value of the overissued food benefits.
(d) Local agencies shall have up to 30 days upon learning of a reported program violation to make a determination as to the validity of the violation and to notify the participant in writing. This written notification shall be sent by certified return receipt. The written notification shall include the reasons for the action, and of the right to a fair hearing to appeal the disqualification in accordance with the provisions of Section 40703 of these regulations. Such notification need not be provided to persons who will be disqualified for not picking up food instruments in accordance with the provisions of Section 40679(a)(3) of these regulations. Disqualification shall not take effect until at least fifteen (15) calendar days after the participant has received the written notice.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 316, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40681. Notification of Participant Rights and Responsibilities.
Note     •     History

(a) Local WIC agencies shall provide information on rights and responsibilities for Program participation to participants or their parents, guardian, caretakers or representative. Where a significant number or proportion of the population eligible to be served needs the information in a language other than English, the local agency shall take reasonable steps to provide the information on Program rights and responsibilities in appropriate languages to such persons, considering the scope of the Program and the size and concentration of such population.
(b) Local agencies shall inform all participants of the illegality of dual participation at the time of each certification.
(c) At the time of the initial certification, each participant shall receive an orientation to the Program, including the proper use of the food instruments, and shall be advised of the types of health services available, where they are located, and why they may be useful.
(d) At the time of each certification, the local agency shall inform each participant of the policy on disqualification for not picking up food instruments, set forth in Section 40679(a)(3) of these regulations, and of the importance of regularly picking up food instruments.
(e) A participant who is to be disqualified from the Program at any time during a certification period, or an applicant whose application is denied, shall be advised in writing not less than fifteen (15) calendar days before the disqualification or at the time of application denial of the reasons for the disqualification or denial and of the right to a fair hearing, as outlined in Sections 40703 and 40705. Such written notification need not be provided to participants who will be disqualified for failure to pick up food instruments, as outlined in Section 40679, and need not be provided at the expiration of a certification period.
(f) Each participant shall be notified not less than fifteen (15) calendar days before the expiration of each certification period that the certification is about to expire.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40683. Dual Participation.
Note     •     History

(a) Local agencies shall report all cases of suspected dual participation to the Department.
(b) Participants or their parents, guardians, caretakers, or representatives who are determined to be dual participating shall be:
(1) Disqualified immediately from one of the two agencies or clinics.
(2) Disqualified for a period up to three months from both agencies or clinics if deliberate misrepresentation is involved.
(c) Based on the circumstances of the particular case, local agencies may stay the effect of the three month suspension period authorized in (b)(2) above with written Departmental approval.
(d) Participants or their parents, guardians, caretakers, or representatives who are determined to be dual participating shall be required to reimburse the Department for the financial loss resulting from the receipt of food instruments in excess of the authorized amount.
(e) Participants who are determined to be dual participating shall be subject to penalties as outlined in Article 11 of these regulations.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311, 312.5 and 316, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
Article 3. Nondiscrimination
§40693. Civil Rights.
Note     •     History

(a) No person shall, on the grounds of race, color, national origin, age, sex, or handicap, be excluded from participation in, be denied benefits of, or be otherwise subjected to discrimination under the Program.
(b) Where a significant number or proportion of the population eligible to be served needs service or information in a language other than English in order to effectively be informed of or participate in the Program, the local agency shall take reasonable steps to provide information in appropriate languages to such persons, considering the scope of the Program and the size and concentration of such population.
(c) The local agency shall compile data, maintain records, and submit reports as required by the Department to permit effective enforcement of nondiscrimination laws.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 311, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
Article 4. Fair Hearing Procedures for Participants
§40703. Fair Hearing Requests.
Note     •     History

(a) A hearing process shall be provided to any participant who appeals
(1) The Department's or local agency's action which results in the participant's denial of participation or disqualification from the Program, or
(2) The Department's request for repayment of the cash value of program benefits overissued as a result of the participant intentionally misrepresenting information.
(b) Requests for a fair hearing may be made on behalf of the applicant or participant by a parent, guardian, caretaker, or other representative.
(c) The Department or local agency shall provide participants up to sixty (60) calendar days to request a fair hearing from the date the Department or the local agency mails or gives the participant the notice to deny participation, the notice of disqualification, or the request for repayment.
(d) The Department and local agency shall not deny the right to, or dismiss a request for, a hearing unless:
(1) The request is not received within the timeframes established by the Department.
(2) The request is withdrawn by the appellant or representative of the appellant.
(3) The appellant or representative fails to appear at the hearing without good cause.
(4) The appellant has been denied participation by a previous hearing and
cannot provide evidence that circumstances relevant to Program eligibility have changed in such a way as to justify a hearing.
(5) The sole basis for the hearing is categorical eligibility, and the appellant is not contesting the categorical status of the participant, or the Department has determined in a prehearing review that the appellant is categorically ineligible. Categorical ineligibility shall be documented and the documentation shall be maintained on file at the local agency.
(6) The sole basis for the hearing is the appellant's request for retroactive benefits.
(e) Except for participants whose certification period has expired, participants who appeal the termination of benefits within the fifteen (15) calendar days advance adverse notice period provided for in Section 40681 of these regulations shall continue to receive Program benefits until the hearing officer reaches a decision, or the participant's certification period expires, which ever occurs first. However, applicants who are denied benefits at initial certification or because of the expiration of their current certification, or because they have been determined to be categorically ineligible, may appeal the denial, but shall not receive benefits while awaiting the hearing.
(f) A written notice of hearing shall be sent to the appellant or representative and the local agency at least 10 calendar days prior to the scheduled date of the hearing.
(g) The notice of hearing shall:
(1) Specify the date, time, and place of the hearing;
(2) Explain the manner in which the hearing will be conducted;
(3) Apprise the petitioner of the rights stipulated in Section 40705(b) of these regulations;
(4) State that failure to appear at the hearing without good cause shall constitute waiver of the hearing;
(5) Advise the appellant whether WIC Program benefits will be continued pending the fair hearing decision.
(h) The fair hearing shall be conducted by an impartial hearing official who does not have any personal stake or involvement in the decision and who was not directly involved in the initial determination of the action being contested.
(i) The fair hearing shall be held within three weeks from the date the Department received the request for a hearing.
(j) The hearing official shall take the matter under submission at the conclusion of the hearing. A proposed decision shall be submitted to the Chief of the Department's Family Health Division (Division Chief) or designee. Upon submission to the Division Chief, a copy of the proposed decision shall be delivered to the Department's representative.
(k) The Division Chief may adopt the proposed decision without change, prepare a decision based upon the hearing record, or remand the matter back for further hearing and decision.
(l) The decision shall be final upon adoption by the Division Chief. Copies of the decision of the Division Chief shall be sent by certified mail to the local agency and delivered to the Department's representative.
(m) The appellant shall be notified in writing of the hearing decision within forty-five (45) calendar days from the date on which the request for the hearing was received by the Department. This timeframe may be extended if the petitioner has requested and been granted a postponement of the hearing. A fair hearing decision unfavorable to the appellant shall explain the right to pursue judicial review of the decision. Benefits shall not continue during judicial review of a fair hearing decision.
(n) If the decision is in favor of the appellant and benefits were denied or discontinued, benefits shall begin immediately. No retroactive benefits shall be provided. If the decision is in favor of the agency, as soon as administratively feasible, the local agency shall terminate any continued benefits, as decided by the hearing official. If the decision regarding repayment of benefits by the appellant is in favor of the agency, the local agency shall resume its efforts to collect the claim, even during pendency of an appeal of a local-level fair hearing decision to the Department.
(o) All hearing records and decisions shall be made available for public inspection and copying; however, the names and addresses of participants and other members of the public shall be kept confidential.
(p) There shall be no right to reconsideration of the decision adopted by the Division Chief.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40705. Fair Hearing Procedures.
Note     •     History

(a) The hearing shall be conducted by an impartial official.
(b) The appellant shall have the opportunity to:
(1) Examine, prior to and during the hearing, the documents and records presented to support the decision under appeal;
(2) Question or refute any testimony or evidence, including an opportunity to cross-examine adverse witnesses;
(3) Be assisted or represented by an attorney or other person, if desired;
(4) Bring witnesses;
(5) Advance arguments without undue interference;
(6) Submit evidence to establish all pertinent facts and circumstances in the case.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 311, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
Article 5. Supplemental Foods
§40715. Supplemental Foods.
Note     •     History

(a) Supplemental foods shall be prescribed for the participant from foods authorized by the Department according to the category and nutritional need of the participant.
(b) The competent professional authority shall determine for each participant the appropriate supplemental foods, taking into consideration the participant's age and dietary needs.
(c) The specific foods authorized shall be determined by the department based upon federal minimum nutrient requirements specified for the particular food group, programmatic needs, financial constraints, and space limitations on the face of the food instruments. The Department shall make every effort to minimize the number of specific foods authorized in order to avoid difficulty in complying with, and misunderstanding of, Program rules for food instrument usage by Program participants and food vendors. The Department shall authorize up to but not more than ten food types or ten food items with specific brand names on any food instrument. The following criteria shall be used by the Department to designate the specific foods authorized:
(1) Cost of the foods;
(2) Appropriateness of foods to the participant's category;
(3) Statewide availability of the foods for a period of at least one year;
(4) Nutrient content of the food, its relationship to the nutritional needs of participants, and its consistency with the nutrition education goals of the Program.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
Article 6. Nutrition Education
§40725. Local Agency Responsibilities.
Note     •     History

(a) Local agencies shall make nutrition education available to all adult participants and to parents, guardians, caretakers or other representatives of infant and child participants. Nutrition education shall be designed to meet the cultural and language needs of the participant, considering the scope of the Program and the size and concentration of such population with such needs.
(b) Local agencies shall develop an annual nutrition education plan in a format specified by the department.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40733. Vendor Training.
Note     •     History

(a) A representative or representatives designated by the vendor shall participate in vendor training as follows: 
(1) A representative designated by the vendor shall attend interactive training provided by the Program as part of the application for authorization process, as specified in Section 40735, and at least once every three years after authorization while authorized. Interactive training means training provided by the Program in a format that includes a contemporaneous opportunity for questions and answers. 
(A) A vendor shall be notified in writing of the date, time and location of the interactive training. 
(B) A vendor whose representative cannot attend or fails to attend the interactive training, on the date and in the location specified in subsection (a)(1)(A), shall be notified in writing of one alternative date, time and location for attendance. 
(C) Failure of a representative designated by the vendor to attend the interactive training noticed pursuant to subsections (a)(1)(A) or (a)(1)(B) shall result in termination of the authorization process and denial of authorization for vendors applying for authorization. 
(D) Failure of a representative designated by a currently authorized vendor to attend the interactive training noticed pursuant to subsections (a)(1)(A) or (a)(1)(B) shall result in termination of authorization for that vendor store. 
(2) A representative designated by the vendor shall demonstrate through the achievement of a 90 percent or higher score on a written examination that the representative designated by the vendor understands the interactive training content. 
(A) If a representative designated by the vendor fails to achieve a score of 90 percent or higher on a written examination, the representative designated by the vendor shall retake a written examination immediately. 
(B) If the representative designated by the vendor again fails to achieve a score of 90 percent or higher on a written examination, a representative designated by the vendor shall attend a subsequent interactive training provided by the Program and then retake a written examination. 
(C) If a representative designated by the vendor fails to achieve a score of 90 percent or higher on a written examination after the repeated interactive training, the authorization process shall terminate and authorization shall be denied for the vendor applying for authorization. 
(D) If a representative designated by the vendor fails to achieve a score of 90 percent or higher on a written examination after repeated interactive training, the Program shall terminate the authorization for the currently authorized vendor. 
(3) A representative designated by the vendor shall receive annual training provided by the Program, in the form of a newsletter, video or other media other than the training specified in subsection (a)(1). 
(b) The vendor shall be responsible for training all employees who participate in Program transactions or handle food instruments regarding information contained in the interactive and annual trainings. 
NOTE

Authority cited: Sections 123310 and 123315, Health and Safety Code. Reference: Sections 123315 and 123320, Health and Safety Code; and Title 7 Code of Federal Regulations Section 246.12. 
HISTORY

1. New section filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
Article 7. Food Delivery System
§40735. Authorization of Food Vendors.
Note     •     History

(a) Any retail outlet meeting certain food stocking requirements may apply to become an authorized food vendor. The Department may limit the number of food vendors in a geographic area taking into consideration the adequacy of participant access and the Department's ability to effectively manage review of authorized food vendors. All applicants shall complete a WIC application on a form heretofore known as the “Retail Vendor Application for Authorization to Participate in the Supplemental Food Program for Women, Infants and Children (WIC),” Form DHS 4070 (1/89). Specific criteria relative to the completeness of the application, history of compliance with the WIC Program during previous periods of participation and the appropriate rate of food prices as identified on the “Vendor Food Price Survey,” Form DHS 4115 (3/89), shall be used to review each complete application and food prices to determine if a food vendor will be authorized. If the vendor's application has been disapproved by the Department for reasons other than suspension, the applicant shall be afforded at least one opportunity to resubmit a complete application. If an applicant has been denied for a specified period, the applicant may reapply at the end of that period. Only authorized food vendors shall accept food instruments. Each retail outlet location must be authorized separately from any other location operated by an individual, group of individuals, or a corporation. No food vendor is entitled to any reimbursement for food vouchers without first having an executed vendor agreement. Unauthorized food vendors who accept food instruments shall be held liable for repayment of funds received in the absence of a fully executed agreement between the Department and the food vendor. All food vendors transacting food instruments shall maintain inventory records showing all purchases, both wholesale and retail, in the form of invoices which identify the quantity, sizes and prices of specified authorized supplemental foods.
(b) Criteria used to select WIC food vendors include but are not limited to:
(1) The prices the food vendor charges for foods in relation to other stores in the area or other stores of similar size and/or sales volume;
(2) The ability of the Department to ensure, through in-store compliance purchases or other reviews, that authorized supplemental foods will be provided;
(3) The adequacy of the shelf stock in sufficient types and amounts of WIC authorized foods;
(4) A food vendor's history of compliance with statutes, regulations, and prior agreements with local, state, and federal governmental entities including, but not limited to, those entities responsible for administering the WIC and Food Stamp Programs;
(5) The food vendor's understanding of the provisions contained in the Vendor Agreement;
(6) The food vendor's establishment must be convenient and accessible for WIC participants.
(c) A vendor education session shall be provided by the Department or local agency staff persons prior to authorization. The education training session shall be conducted in the English language and shall include, but not be limited to, the following:
(1) A review of “Guidelines for Vendor Participation in the WIC Program”;
(2) A review of WIC food instruments handling procedures;
(3) An explanation of which foods and the quantities authorized for purchase with WIC food instruments;
(4) An explanation of the food vendor's responsibility of maintaining “records of inventory” to be available for review by Department representatives to verify sufficient types and amounts of WIC foods in stock. For food vendors who have had prior authorization to participate in the Program, such education may be provided to the food vendor by way of written material.
(d) Processing times for food vendor applications shall be subject to the following:
(1) Upon the submission of a completed application, the Department shall have ninety (90) calendar days to investigate whether the applicant food vendor is able to comply with Program requirements and issue an approval or denial notice to the applicant. The Department shall have an additional sixty (60) calendar days to ensure the capability of the local agency to issue food instruments payable to the order of the food vendor which has been so approved.
(2) During the investigation, if facts are identified which indicate that the applicant food vendor may not be able to comply with Program requirements, the Department shall have ninety (90) calendar days in addition to the ninety (90) calendar days in (d)(1) above, to investigate further. If there has been a transfer of store ownership, the Department shall determine whether the seller who is the prior WIC food vendor retains any ownership interest in the business. If the seller is under suspension or termination for cause or where an outstanding audit claim exists, and the Department determines that the seller retains an ownership interest, the Department shall deny the application of the applicant food vendor. When the terms of the punitive action or the claim are settled and the other criteria for approval are satisfied, the Department may approve the application. Once approved, the Department shall have sixty (60) calendar days to ensure the capability of the local agency to issue food instruments payable to the order of the food vendor which has been so approved.
(3) The seller of a store which has or recently had WIC authorization status, including a store under suspension or termination for cause, or where an outstanding audit claim exists, shall inform the prospective buyer that the vendor authorization does not transfer to the buyer, that the buyer must file an application on his/her own behalf, and shall inform the prospective buyer of the applicable application processing times.
(4) The Department shall expedite food vendor application processing when the food vendor is located in an area where no other authorized food vendor exists and where failure to expedite food vendor application processing would cause undue participant hardship.

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NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 314, 314.5, 315.5 and 316, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40737. WIC Application Review.
Note     •     History

The Department may deny authorization to accept WIC Program food instruments to food vendor who has:
(a) A record of non-compliance with WIC Program contractual provisions and conditions set forth in 40735(b)(4) of these regulations or,
(b) Prices for the WIC Program supplemental foods that have been determined by the Department to exceed those for similar markets in similar geographic areas or,
(c) Limited stock or lack of specific WIC Program supplemental foods or,
(d) Unusual or irregular hours or inaccessible location which are determined by the Department to be inconvenient for the customer or,
(e) Failed to appear at scheduled vendor education group meetings or,
(f) No visible or posted prices on WIC food items or,
(g) No fixed store location to enable routine monitoring visits and in-store compliance purchases to verify compliance with WIC contractual requirements, such as home delivery operators or,
(h) A conflict of interest with the local WIC agency or,
(i) Misrepresented the facts on the food vendor application or,
(j) An ownership interest in a market during a period for which a sanction is in effect, or during a period for which an audit claim is outstanding.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 314, 315 and 315.5, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40739. Food Vendor Agreements.
Note     •     History

Agreements between the food vendors and the Department, as executed on the “Vendor Agreement” Form, DHS 4071A(1/89), shall contain, at a minimum, the following:
(a) A term effective for no longer than twenty-four (24) months. Neither the State, not the food vendor has an obligation to renew the food vendor agreement. Expiration of a food vendor agreement shall not be subject to appeal. The Department or the food vendor may terminate the food vendor agreement upon fifteen (15) calendar days written notice;
(b) A section that lists WIC rules, Department responsibilities, the term of the agreement, food vendor appeal rights, a certification section which states that the food vendor shall comply with the terms of the agreement as well as the provisions of the WIC Acceptable Food List. The vendor also shall agree to read any amendments and updates to the Vendor Agreement and the WIC Acceptable Food List. The vendor further agrees to comply with such amendments and updates if he or she continues to participate thereafter in the WIC Program.

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NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 312, 314 and 314.5, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38). 
§40740. Federally Required Sanctions Against Food Vendors.
Note     •     History

(a) Any Program violation included in this Section shall result in an adverse action including disqualification of a food vendor or imposition of a civil money penalty in lieu of disqualification. 
(1) The Program shall provide the food vendor with a fifteen (15) calendar day written notice of disqualification in advance of the effective date of any proposed adverse action, which states the cause(s) for and effective date(s) of the action except for a disqualification based on a violation of (c) of this Section which becomes effective on the date of receipt of the notice of disqualification. 
(2) A warning that violations are occurring or have occurred is not required prior to any adverse action taken against food vendors pursuant to this Section. 
(b) A food vendor that has received a final determination of disqualification from the Food Stamp Program and has failed to either exercise its appeal rights or has exhausted its appeal rights under the Food Stamp Program shall be disqualified from participation in the Program. 
(1) The disqualification shall be for the same length of time as the Food Stamp Program disqualification, beginning from the date as stated in the Program's notice of disqualification. This date may be a later date than the beginning date of the Food Stamp Program disqualification, depending on the Food Stamp Program notification to the Program. 
(2) If the disqualification of the food vendor would result in inadequate participant access as defined in (h) of this Section, a civil money penalty shall be assessed in lieu of disqualification. 
(3) Food vendor disqualification or an assessment of a civil money penalty based on disqualification from the Food Stamp Program shall not be subject to appeal or judicial or administrative review, pursuant to Title 7, Code of Federal Regulations, Section 246.18. 
(c) A food vendor shall be permanently disqualified from participation in the Program for a conviction of trafficking in food instruments or selling firearms, ammunition, explosives, or controlled substances, as defined in Section 102 of the Controlled Substances Act (21 USC 802), in exchange for food instruments. 
(1) A food vendor shall not be entitled to receive any compensation for revenues lost as a result of immediate implementation of this disqualification. 
(2) For purposes of this Article, trafficking is defined as buying, selling, or exchanging food instruments for cash. 
(d) A food vendor shall be disqualified for six (6) years for one incidence of trafficking in food instruments or selling firearms, ammunition, explosives, or controlled substances, as defined in Section 102 of the Controlled Substances Act (21 USC802), in exchange for food instruments. For purposes of this Article, an incidence means one violation of a Program regulation based on a Program determination that there is evidence that this violation has occurred. 
(e) A food vendor shall be disqualified for three (3) years for any of the following violations: 
(1) One incidence of the sale of alcohol or alcoholic beverages or tobacco products in exchange for food instruments; 
(2) A pattern of claiming reimbursement for the sale of a volume of supplemental food which exceeds the food vendor's inventory purchase documentation for a specific period of time as identified in an audit; 
(A) For the purpose of this Article, “inventory purchase documentation” means invoices, checking account registers and bank statements, and sales and use tax forms. 
(B) Invoices shall: 
1. Identify the food vendor making the purchase; 
2. Identify the date of purchase; 
3. Identify the quantities, package sizes, types or flavors, brand names, and cost to the food vendor of specific supplemental foods; 
4. Identify the wholesaler and be prepared entirely by that wholesaler from whom the food vendor made the purchase. 
(C) A pattern for this violation exists when the amount of food instrument reimbursement which exceeds the food vendor's inventory purchase documentation identified in a single audit is equal to or exceeds twenty (20) percent of the total food instrument reimbursement to the food vendor during the audit period. 
(3) A pattern of overcharging; 
(A) For purposes of this Article, overcharging means charging the Program a higher price than the non WIC customer or charging the Program a higher price than the posted price. 
(B) A pattern for this violation exists when either of the following occurs: 
1. the percent of food instruments on which overcharges are found in a single monitoring visit is equal to or exceeds fifty (50) percent of the number of food instruments used during that visit, overcharges are found on two or more food instruments, and the cumulative overcharge amount to the Program is equal to or exceeds eight (8) dollars. The overcharge amount on any food instrument shall be at least one (1) dollar; or, 
2. on two or more monitoring visits within a twenty-four (24) month period the cumulative overcharge amount to the Program by the food vendor is equal to or exceeds four (4) dollars. The total overcharge amount for each monitoring visit shall be at least one (1) dollar. 
(4) A pattern of receiving, transacting, and/or redeeming food instruments outside of authorized channels; 
(A) A pattern for this violation exists when two food instruments within a twenty-four (24) month period, have been received, transacted and/or redeemed outside of authorized channels. 
(B) Food vendor activities described as those conducted outside of authorized channels do not include those activities described in (c) and (d) of this Section and do include the following: 
1. The use of another authorized food vendor to redeem food instruments, including exchanging food instruments for repayment of debt; and 
2. Redeeming food instruments not received by that food vendor in that food vendor's authorized store location, including redeeming food instruments accepted at an unauthorized store location owned by the food vendor. 
(5) A pattern of charging the Program for supplemental food not received by the participant, resulting in an overcharge to the Program. The overcharge amount shall be calculated by deducting the total of the food vendor's posted price(s) of the item(s) purchased and received by the participant on a food instrument from the total redeemed by the food vendor for that food instrument. The definition of pattern for this violation is the same definition as set forth in (e)(3)(B) of this Section; or 
(6) On two occasions providing credit or non-food items other than alcohol, alcoholic beverages, tobacco products, cash, firearms, ammunition, explosives, or controlled substances as defined in Section 102 of the Controlled Substances Act (21 USC802), in exchange for food instruments within a twenty-four (24) month period. 
(f) A food vendor shall be disqualified for one (1) year for a pattern of providing food items not permitted by the food instrument in exchange for food instruments. 
(1) A pattern exists for this violation when any one of the following violations occurs within an eighteen (18) month period: 
(A) On any two monitoring visits, the food vendor provides food items not permitted by the food instrument in thirty-three (33) percent or more of the WIC food categories purchased during each visit; or 
(B) On any three monitoring visits, the food vendor provides food items not allowed by the food instrument: 
1. in thirty three (33) percent or more of the WIC food categories purchased in one visit; and 
2. in less than thirty-three (33) percent of the WIC food categories purchased during each of two other visits; or 
(C) On each of four monitoring visits, the food vendor provides food items not allowed by the food instrument in one or more of the WIC food categories purchased. 
(2) WIC food categories are those defined in Section 246.10, Title 7, Code of Federal Regulations, incorporated by reference herein. These food categories include: infant formula, infant cereal, milk, cheese, eggs, cereal, juice, peanut butter, beans, carrots and tuna. 
(g) A food vendor shall be disqualified for a one (1) year period for a pattern of charging for supplemental food items allowed by the food instrument but provided in excess of the maximum quantity listed on the food instrument. A pattern exists for this violation when on any two monitoring visits, within a twenty-four (24) month period, a food vendor charges for supplemental food items allowed by the food instrument but provided in excess of the maximum quantity listed on at least two food instruments. 
(h) Prior to disqualifying a food vendor for any of the violations listed in (b), (d), (e), (f), and (g) of this Section, the Program shall make a participant access determination. 
(1) For purposes of this Article, “adequate participant access” means the availability of another food vendor for the participant and shall be determined using the following criteria: 
(A) The presence of another food vendor in the same geographic area as either the violating food vendor or the local agency clinic site closest to the violating food vendor; and 
(B) The absence of geographic barriers that prevent participants from redeeming their food instruments at the other food vendor location described in (A), above. 
(2) For purposes of this Article “same geographic area” is defined as the following: 
(A) In a rural area, the area within a five mile radius of the violating food vendor or the local agency clinic closest to the violating food vendor. A rural area is defined as an area with a population of less than 10,000 persons according to the most recent United States Decennial Census; or 
(B) In an urban area, that area within a two mile radius of the violating food vendor or the local agency clinic closest to the violating food vendor. An urban area is defined as an area with a population of ten thousand (10,000) or more according to the most recent United States Decennial Census. 
(3) For purposes of this Article, geographic barriers means physical barriers or conditions which make ground travel to another food vendor impossible. Geographic barriers include: an unbridged river or canal; a freeway without an overpass or underpass in the same geographic area; an expressway without an overpass, underpass or crosswalk in the same geographic area; and train tracks without a railroad crossing in the same geographic area. 
(i) Program determinations regarding participant access are not subject to appeal by the disqualified food vendor or subject to administrative review pursuant to Title 7, Code of Federal Regulations, Section 246.18. 
(j) If disqualification of the food vendor for the violations listed in (b), (d), (e), (f) and (g) of this Section would result in inadequate participant access, the food vendor shall be subject to a civil money penalty in lieu of disqualification, unless the disqualification is for a third or subsequent violation pursuant to (l) of this Section. 
(k) When a food vendor who has previously been disqualified or received a civil money penalty in lieu of disqualification for any of the violations in (d) through (g) of this Section receives a second disqualification or civil money penalty for any of these violations, the disqualification or civil money penalty shall be doubled. Violations do not need to be identical in order to double the disqualification or civil money penalty. For the violations in (d) through (g) of this Section, civil money penalties may only be doubled up to the limits allowed under Title 7, Code of Federal Regulations, Section 246.12, incorporated by reference herein. 
(l) When a food vendor who has previously been disqualified or assessed a civil money penalty in lieu of disqualification for any of the violations listed in (d) through (g) of this Section receives a third or subsequent disqualification for any of these violations, the disqualification time period shall be doubled for the third or subsequent disqualification. Civil money penalties shall not be assessed in lieu of disqualification for a third or subsequent disqualification for any of the violations in (d) through (g) of this Section. 
(m) Voluntary withdrawal of the food vendor from the Program or non renewal of the Food Vendor Agreement shall not be used as alternatives to disqualification for the violations listed in (c) through (g) of this Section. The disqualification shall be entered into the food vendor's record. 
(n) When a civil money penalty is imposed on a food vendor in lieu of a disqualification due to violations of this Section or Section 40741, the formula set forth in Title 7, Code of Federal Regulations, Section 246.12, and incorporated by reference herein, shall be used to calculate the amount of a civil money penalty being imposed in lieu of disqualification. 
(o) When, during the course of a single investigation, the Program determines a food vendor has committed multiple violations, the food vendor shall be disqualified for all violations. The disqualification period shall be for the period corresponding to the most serious violation. The most serious violation is that which requires the longest time period of disqualification. A listing of all violations for which the food vendor was disqualified shall be included in the notice of administrative action. 
(p) Any administrative action against any food vendor either disqualified or subject to a civil money penalty in lieu of disqualification for any of the violations in (c) through (g) of this Section, shall result in a notice from the Program to the appropriate federal office as required in Section 246.12, Title 7, Code of Federal Regulations. 
(q) If the food vendor has been assessed a civil money penalty in lieu of disqualification, the food vendor shall pay the civil money penalty in full within thirty (30) days: 
(1) of the food vendor's receipt of the notification of disqualification and assessment of a civil money penalty in lieu of disqualification; or 
(2) of the Department's issuance of the final decision of the appeal action, if the food vendor has filed an appeal of the disqualification within the required time period pursuant to Section 40751; or 
(3) of the date of the execution of a settlement agreement, agreed upon by the food vendor and the Program during the appeal process, if the food vendor has filed an appeal within the required time period pursuant to Section 40751. 
(r) A food vendor may request to pay one half of the total civil money penalty amount in installments. The Program must receive the food vendor's written request for an installment plan and an initial payment of no less than fifty (50) percent of the total amount of the civil money penalty within the same time limits required for full payment stated in (q) of this Section. The food vendor shall pay the unpaid balance of the civil money penalty as stated in an installment plan agreement entered into by the Program and the food vendor. The installment plan agreement shall include: 
(1) An interest payment on the unpaid balance calculated at the rate allowed by the Pooled Money Investment Fund divided into twelve (12) consecutive monthly payments; and 
(2) The unpaid balance of the civil money penalty, after the initial payment has been deducted from the total civil money penalty amount, divided into twelve (12) consecutive monthly payments; and 
(3) The payment schedule, including the principal and interest amounts and the payment due dates. The first monthly payment shall be due no later than one month following the execution of the installment plan agreement. 
(s) If a food vendor fails to pay all of a civil money penalty within the time limit required in (q) of this Section, or fails to timely pay any installment of a civil money penalty as stated in the Program's installment plan agreement with the food vendor, the Program shall provide the food vendor with a fifteen (15) day notice of disqualification for failure to timely pay a civil money penalty. The notice shall be sent by first class mail to the address listed on the food vendor agreement. Disqualification of the food vendor shall be imposed effective on the disqualification date stated in the notice. The disqualification shall be for the entire length of time corresponding to the most serious violation for which the civil money penalty was assessed. 
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code. Reference: Sections 123290, 123310, 123315, 123320, 123325, 123330, 123335 and 123340, Health and Safety Code. 
HISTORY

1. New section filed 9-3-2002; operative 10-3-2002 (Register 2002, No. 36).
§40741. Sanctions Against Food Vendors.
Note     •     History

(a) The Department shall disqualify food vendors from the Program for a period of one (1) year for the violations listed below or the violations of the food vendor agreement. A prior warning and an opportunity for correction may be provided to the food vendor in lieu of disqualification when the food vendor has had no previous disqualifications from the Program and the Program can secure from the food vendor a written agreement incorporating an agreed upon action plan relative to the violations within ten (10) working days, to be verified by at least one (1) follow-up on-site visit to the food vendor by Program staff. Violations shall include, but are not limited to:
(1) Charging Program participants or the Department a fee for using the food instruments;
(2) Accepting the food instrument prior to or after its valid period;
(3) Depositing the food instrument with amounts entered which exceed the maximum value printed on the food instrument;
(4) Delivering supplemental foods to a participant and accepting food instruments at a location other than the food vendor's fixed location identified on the vendor agreement such as the participant's home or place of business. 
(5) Stocking an insufficient quantity of Program supplemental foods so that a participant cannot redeem a food instrument for the full quantity listed on the food instrument. This shall be determined by store inspection; 
(6) Unsanitary conditions or outdated merchandise;
(7) Failing to post prices on supplemental food items so that prices are easily visible to participants. The prices must be posted next to the supplemental food items offered for sale or on the shelf on which those items are placed; 
(8) Charging prices for the Program supplemental foods that are unreasonably high or not comparable to the prices of other stores in the area, as determined by the Department;
(9) Failing to enter the purchase price on the food instrument at the time of purchase and in the participant's presence;
(10) Forging a customer's signature onto a food instrument;
(11) Redeeming food instruments with erroneous or otherwise improper endorsements;
(12) Having a conflict of interest with local agency personnel, as in the case of a food vendor who could profit by having a relative on the staff of a local agency refer participants to his/her store;
(13) Influencing or attempting to influence participants' store selection through solicitation on or in the vicinity of a local clinic distribution site;
(14) Failing to meet any of the Department's authorization criteria;
(15) Requiring participants to provide any personal information in the process of exchanging food instruments for supplemental food items. Personal information is information that identifies or describes a participant including, but not limited to: name; address; telephone number; social security number; driver's license; physical description; education; financial information; employment history; medical history; and Program appointment information. Personal information does not include the identification provided by the Program to the participant which identifies them as a participant. 
(16) Failing to provide supplemental food to a participant in exchange for a food instrument because that participant did not provide personal information as described in (a)(15) of this Section, other than the information required by the Program which identifies him/her as a participant. 
(17) Requiring a participant to purchase the full quantity of supplemental food listed on a food instrument when that food instrument states “up to” that amount. “Up to” means a participant may choose to purchase less than the full quantity listed. 
(b) Prior to disqualifying a food vendor for any of the violations listed in (a) of this Section, the Program shall determine if disqualification would result in inadequate participant access. The Program shall impose a civil money penalty in lieu of disqualification for any of the violations in this Section if there is a finding of inadequate participant access, unless the violation is for any third or subsequent disqualification for any violations of this Section. A participant access determination shall be made in accordance with the provisions of Section 40740(h), and any civil money penalty shall be determined in accordance with the provisions of Section 40740 (n). A participant access determination made by the Program shall not be subject to appeal or administrative hearing review. 
(c) The Program shall provide the food vendor with a fifteen (15) calendar day written notice of disqualification in advance of the effective date of any proposed adverse action pursuant to this Section, which states the cause(s) for and effective date(s) of the action. 
(d) If the food vendor has been disqualified for any of the Program violations listed in this Section, the Department shall require that the food vendor present a collateral bond or irrevocable letter of credit payable to the Department prior to being reauthorized to participate in the Program. 
NOTE

Authority cited: Sections 123280, 123290 and 131200, Health and Safety Code. Reference: Sections 123310, 123315, 123320, 123325, 123330, 123335, 123340, 123350, 123355, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
2. Amendment of section and Note filed 9-3-2002; operative 10-3-2002 (Register 2002, No. 36).
3. Change without regulatory effect repealing subsection (a)(15), renumbering subsections, amending newly designated subsection (a)(16), repealing subsection (e) and amending Note filed 12-6-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 49).
§40743. Monitoring of Vendors.
Note     •     History

(a) The Program shall monitor vendors on an ongoing basis for compliance with this Chapter. 
(b) Specific monitoring functions shall be: 
(1) Audit of a vendor; 
(2) Compliance buys and on-site inspections; 
(3) Investigations by federal, state, and local authorities. 
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code.  Reference Sections 123310, 123315 and 123325, Health and Safety Code; and Title 7 Code of Federal Regulations Section 246.12. 
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
2. Amendment of section heading, section and Note filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40745. Food Vendor Audits.
Note     •     History

(a) Audits shall be conducted of selected food vendors.
(b) Food vendors shall be identified for audits by using specific criteria which include but are not limited to:
(1) Volume of WIC food instruments redeemed;
(2) Prices charged for WIC foods;
(3) Complaints received about the food vendor's failure to comply with WIC regulations and the food vendor agreement;
(4) Review of food instruments redeemed;
(5) Review of data processing print-outs that depict vendor food instrument activity;
(6) Food vendors who, based on facts available to the Department, appear to be in violation of Program regulations.
(c) The Department shall collect monies owed to the State as a result of audit findings.
(d) In the recovery of WIC Program funds, the Department shall follow its established accounting procedures for delinquent accounts.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 314.5 and 317, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40747. Vendors Claims and Vendor Repayment to the State.
Note     •     History

(a) A vendor that has been determined by the Department to be in violation of this Chapter identified during monitoring, as specified in Section 40743, shall be subject to a vendor claim and shall reimburse the Program for any Program funds so received. The Program shall notify the vendor in writing of the vendor claim. A vendor shall reimburse said monies prior to being reauthorized to participate in the Program. However, a vendor may be reauthorized to participate in the Program prior to full reimbursement of said monies if the Department determines that the vendor is meeting its reimbursement obligations in amounts and according to the repayment schedule established by the Department. 
(b) A vendor claim shall be either the full amount of an audit finding determined during an audit of a vendor or the amount of the full purchase price of any food instrument transacted in violation of this Chapter as identified during a compliance buy or on-site inspection. 
(c) Assessment of a vendor claim shall be in addition to sanctions imposed for Program violations as specified in Sections 40740 and 40741. Dispute of a vendor claim shall not be subject to appeal or administrative review as described in Sections 40751 or 40752 of this Article. However, vendors shall have the opportunity to dispute a vendor claim as specified in subsection (d) of this Section. 
(d) The vendor shall be provided an opportunity to dispute a vendor claim by submitting to the Program a written explanation of the dispute, that states the issues in dispute, evidence to support the vendor's position, and the desired resolution. The vendor shall submit the written explanation of the dispute within 30 calendar days from the date of the vendor's receipt of the vendor claim. The Program address for submitting disputes regarding a vendor claim will be provided in the Program's written notice to the vendor of the vendor claim. 
(e) Any written explanation disputing the vendor claim received by the Program after the time period specified in subsection (d) of this Section shall be denied and the vendor claim deemed by the Program as due and payable from the vendor. 
(f) The Department's Director or designee shall review and issue a written decision as to the resolution of the dispute of a vendor claim. In the following instances, the issuance of the decision shall be deferred until the amount of the vendor claim is determined by any final administrative decision, as specified in this Chapter, or court ruling: 
(1) If an audit finding results in a disqualification of a vendor based on a violation of Section 40740(e)(2); or 
(2) For a dispute of a vendor claim based on payment of a food instrument transacted in violation of Program regulations as identified during a compliance buy or on-site inspection. 
(g) The decision of the Department's Director or designee shall be final. 
(h) Except as specified in subsection (i) of this Section, if the vendor has been assessed a vendor claim, the vendor shall pay the vendor claim in full within 30 calendar days: 
(1) of the vendor's receipt of the notification of the vendor claim; or 
(2) of the Director or Director's designee's issuance of the final decision of a dispute of a vendor claim, if the vendor has filed a dispute of a vendor claim within the time period specified in subsection (d) of this Section. 
(i) A vendor may request to pay one half of the total vendor claim from an audit finding in installments. The Program must receive the vendor's written request for an installment plan and an initial payment of no less than 50 percent of the total amount of the vendor claim within the same time limits required for full payment specified in subsection (h) of this Section. The vendor shall pay the unpaid balance of the vendor claim as stated in an installment plan agreement entered into by the Department and the vendor. The installment plan agreement shall include: 
(1) An interest payment on the unpaid balance calculated at the rate allowed by the Pooled Money Investment Fund divided into 12 consecutive monthly payments; and 
(2) The unpaid balance of the vendor claim, after the initial payment has been deducted from the total vendor claim amount, divided into 12 consecutive monthly payments; and 
(3) The payment schedule, including the principle and interest amount, and the payment due dates. The first monthly payment shall be due no later than one month following the execution of the installment plan agreement. 
(j) If the vendor fails to meet any of the terms of the installment plan agreement, any unpaid balance of the vendor claim shall be paid in full within 30 calendar days of the date of vendor's receipt of the written notification from the Program to the vendor of the vendor's failure to meet the terms of the installment plan agreement. 
(k) The vendor shall be subject to any means afforded by law including an abstract of judgment or lien to recover amounts due and owing and unpaid by the vendor. 
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code. Reference: Sections 123290, 123315, 123320, 123325, 123330, 123340 and 123345, Health and Safety Code; and Title 7 Code of Federal Regulations Sections 246.12 and 246.18. 
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
2. Amendment of section heading, section and Note filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40749. Participant Use of Food Instruments.
Note     •     History

(a) Local agencies shall instruct the participant on the proper use of the food instrument. The participant shall not:
(1) Purchase foods other than those specified on the food instrument or in excess of the quantities printed on the food instrument;
(2) Exchange food instruments for credit, cash, or unauthorized items;
(3) Return or trade foods purchased with food instruments for cash or other unauthorized items;
(4) Exchange food instruments at any food vendor other than the one indicated by name on the food instrument;
(5) Verbally abuse or threaten food vendors in order to redeem food instruments under any of the above four conditions;
(6) Obtain more than the number of food instruments for which the participant is eligible as determined by the competent professional authority.
(b) Upon written approval of the Department, the local agency may issue a two-month or a three-month supply of food instruments to a participant.
(c) Mailing of food instruments to a participant shall be permitted only upon written approval of the Department in order to alleviate participant difficulty in obtaining the food instruments for reasons such as illness or imminent childbirth. If the initial hardship is resolved, the mailing of the food instruments shall be discontinued.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 312(e), 316 and 318, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40751. Administrative Appeals for Food Vendors of Departmental Decisions.
Note     •     History

(a) A food vendor may request an appeal in writing to examine any adverse action affecting food vendor participation. The appeal shall be addressed to Administrative Hearings and Appeals at the location stated in the correspondence from the Program. The following shall not constitute an adverse action and shall not be subject to appeal or administrative review:
(1) Expiration of a food vendor agreement with a food vendor.
(2) Disqualification of a food vendor who has received a final determination by USDA of disqualification from the Food Stamp Program.
(3) Determinations by the Program regarding the adequacy of participant access to food vendors. 
(b) An adverse action against a food vendor shall be effective on the date determined by the Program after the fifteen (15) calendar day advance notification period has elapsed except for a disqualification based on Section 40740 (c) of this Article, which becomes effective on the date of receipt of the notice of disqualification. The food vendor shall not be permitted to redeem food instruments after the effective date of the disqualification, even if there is an appeal pending, unless the Program postpones the effective date of the disqualification until after the appeal process, subject to the limitations as set forth in (d) of this Section. 
(c) If a food vendor agreement will expire during the administrative appeal process involving disqualification of a food vendor, the disqualification shall be effective no later than the expiration date of the food vendor agreement. 
(d) Postponement of the effective date of a disqualification until a hearing decision is rendered may be granted to the food vendor if the food vendor has filed an appeal within the time frames specified in (e)(2) of this Section and: 
(1) the proposed disqualification is not a result of any violation of Section 40740 of this Article; and 
(2) the food vendor has not committed prior violation(s) which resulted in a previous disqualification; and 
(3) the food vendor has not committed additional violations after receiving the Program's notice of a proposed adverse action. If additional violations occur, the disqualification shall take effect no sooner than fifteen (15) days after the Program's notice to the food vendor that the additional violations have occurred. 
(e) The Department shall, at a minimum, provide the following food vendor appeal procedure:
(1) Written adequate notice of the adverse action, the reasons for the action, and the effective date of the action. Such notice shall be provided to participating food vendors not less than fifteen (15) calendar days in advance of the effective date of the action, except for a disqualification based on Section 40740( c) of this Article, which becomes effective on the date of receipt of the notice of disqualification. 
(2) The food vendor shall have thirty (30) calendar days following the written notice of the action to request an appeal in writing. The request may be amended at any time during the thirty (30) calendar day period.
(3) Any requests for an appeal received beyond thirty (30) calendar days shall be denied and the adverse action deemed final.
(4) The request for appeal shall be known as the “Statement of Disputed Issues.” It shall be in writing, signed by the food vendor or the authorized agent, and shall state the address and telephone number of the food vendor and of the agent, if any agent has been designated. A food vendor shall specify the name and address of the individual authorized on behalf of the food vendor to receive any and all documents, including the final decision of the Director, relating to proceedings conducted pursuant to this Section. The Statement of Disputed Issues need not be formal, but it shall be specific as to each issue in dispute, setting forth the food vendor's contentions as to those issues and the estimated amount each issue involves, if applicable. Only those issues raised in the Statement of Disputed Issues shall be considered at the hearing.
(5) Written notice of the time and place of appeal shall be mailed to each party at least thirty (30) calendar days before the date of the appeal hearing. This period may be shortened with the consent of the parties.
(6) If written position statements are filed, they shall be served on the hearing auditor and the other parties at least ten (10) calendar days prior to the hearing.
(7) The hearing shall be conducted by an impartial party designated by the Director.
(8) The proceeding shall be electronically recorded.
(9) Upon specific request, the Department shall allow either party one opportunity to reschedule the hearing. The hearing shall be rescheduled within thirty (30) calendar days of the original hearing date. No other continuances shall be granted.
(10) Any number of proceedings may be coordinated for hearing or decision when the facts and circumstances are similar and no substantial right of any party will be prejudiced.
(11) Testimony shall be taken only on oath, under penalty of perjury.
(12) Each party shall have the right to:
(A) Be represented by counsel, if desired.
(B) Call and examine parties and witnesses.
(C) Introduce exhibits.
(D) Question opposing witnesses and parties on any matter relevant to the issue, even though the matter was not covered in the direct examination.
(E) Impeach any witness, regardless of which party first called the witness to testify.
(F) Rebut the evidence against him.
(13) The food vendor shall not be called to testify during presentation of the Department's prima facie case. A food vendor who thereafter fails to testify, in the food vendor's behalf, may be called and examined by the Department as if under cross-examination.
(14) The appeal hearing need not be conducted according to technical rules relating to evidence and witnesses.
(A) Relevant evidence, including hearsay, shall be admitted if it is the sort of evidence which responsible persons are accustomed to rely on in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions.
(B) Hearsay evidence shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions.
(C) The rules of privilege shall be effective to the same extent that they are now or hereafter may be recognized in civil actions. Irrelevant and unduly repetitious evidence shall be excluded.
(D) The following additional exception to the “best evidence” rule, Evidence Code Section 1500, applies:
1. A duplicate is admissible to the same extent as an original unless:
a. A genuine question is raised as to the authenticity of the original or the duplicate.
b. It would be unfair to admit the duplicate in lieu of the original.
(E) A hearing auditor may question any party or witness, and may admit any relevant and material evidence.
(F) The hearing auditor shall control the taking of evidence in a manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the hearing auditor shall set forth the order in which evidence will be received.
(15) The Department has the initial burden of proof and, therefore, shall present its audit findings and evidence first at the hearing. Once the Department has presented a prima facie case, the burden of proof shifts to the food vendor to demonstrate that the food vendor's position regarding disputed issues is correct.
(16) The burden of producing evidence as to a particular fact is on the party against whom a finding on that fact would be required in the absence of further evidence.
(17) The food vendor hearing shall be conducted in the English language.
(18) The hearing auditor may require any party to submit written memoranda pertaining to any or all issues raised in the appeal hearing within the above time frames.
(19) The hearing auditor shall take the matter under submission at the conclusion of the hearing. A proposed decision shall be submitted to the Director for adoption by the Director or designee. Upon submission to the Director, a copy of the proposed decision shall be mailed by certified mail to the designated representative of the food vendor and delivered to the Department's representative.
(20) The Director or his designee may:
(A) Adopt the proposed decision without reading or hearing the record.
(B) Reject the proposed decision and have a decision prepared based upon the documentary and electronically recorded record, with or without taking additional evidence.
(C) Refer the matter back to Administrative Hearings and Appeals to take additional evidence. If the case is so assigned, the hearing auditor shall prepare a proposed decision upon the additional evidence and the documentary and electronically recorded record of the prior hearing. A copy of such proposed decision shall be furnished to each party and to each party's representative.
(21) The decision shall be final upon adoption by the Director. Copies of the decision of the Director shall be mailed by certified mail to the designated representative of the food vendor.
(22) An appeal shall be dismissed if a food vendor fails to appear. The notice of dismissal shall be mailed to each party.
(23) The Director may vacate any dismissal if the food vendor makes an application in writing, within ten (10) calendar days after personal service or receipt of such dismissal, showing good cause for failure to appear at the hearing.
(24) The parties shall be given written notice of an order granting or denying any application to vacate a decision.
(25) Once the Director's decision has been adopted, there shall be a right to reconsideration of amounts identified by audit as overpayments.
(26) The food vendor shall have a right to submit a Petition for Reconsideration of such overpayments. The Petition for Reconsideration shall be submitted to the Director within thirty (30) calendar days of the adoption of the Director's decision.
(27) The Petition for Reconsideration shall set forth the changes in material facts, circumstances, or other information which have bearing on the Director's decision.
(28) There shall be no right to reconsideration of a decision by the Department to disqualify the food vendor or terminate the food vendor agreement.
(29) Any right to judicial review shall be communicated to the food vendor in the event that the Department renders an appeal decision which is adverse to the food vendor.
NOTE

Authority cited: Sections 123280 and 123290, Health and Safety Code. Reference: Section 123355, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
2. Amendment of subsections (a)-(b), new subsections (c)-(d)(3), subsection relettering, amendment of newly designated subsections (e)(1)-(2) and amendment of Note filed 9-3-2002; operative 10-3-2002 (Register 2002, No. 36).
§40752. Abbreviated Administrative Appeals for Vendors.
Note     •     History

(a) Notwithstanding Section 40751(e), the Department shall grant only an abbreviated administrative appeal to those vendors requesting an appeal for any of the following reasons: 
(1) A denial of authorization based on a current Food Stamp Program disqualification or civil money penalty in lieu of disqualification. 
(2) A disqualification of a vendor based on a violation of Section 40740(c). 
(b) The Program shall provide vendors who qualify for an abbreviated appeal for any of the reasons specified in subsection (a) with the following abbreviated administrative appeal process. 
(1) The Program shall provide written notification to the vendor. The notice shall: 
(A) Inform the vendor of the adverse action affecting vendor participation, the reason for the adverse action affection vendor participation, and the effective date of the adverse action affecting vendor participation. 
(B) Specify that the vendor is entitled to an abbreviated administrative appeal. 
(C) Describe the steps the vendor shall follow to appeal, should the vendor elect to do so, as set forth in this Section. 
(D) Identify the deadline by which the vendor shall file a written response appealing the adverse action affecting vendor participation, as set forth in subsection (b)(3) of this Section. 
(E) Specify the content required in the written response appealing the adverse action affecting vendor participation, as set forth in subsection (b)(4) of this Section. 
(F) Inform the vendor of the address where the written response appealing the adverse action affecting vendor participation shall be sent. 
(2) The vendor shall have 30 calendar days following the receipt of written notice of the adverse action affecting vendor participation to file a written response appealing the action. The vendor may amend in writing the response at any time during the 30 calendar day period. 
(3) Any written response appealing the adverse action affecting vendor participation received beyond 30 calendar days shall be denied and the adverse action affecting vendor participation deemed final. 
(4) The vendor's written response appealing the adverse action affecting vendor participation shall: 
(A) Identify the vendor name, address, and vendor authorization number, if the vendor is or was authorized to participate in the Program. 
(B) Be signed by the vendor ownership or the authorized agent, and shall state the address of the vendor ownership or the agent, if any agent has been designated. The vendor shall specify the name of the agent authorized on behalf of the vendor to receive any and all documents, including the final decision of the Director or the Director's designee. 
(C) Be specific to each issue that the vendor disputes, setting forth the vendor's contentions as to those issues and including any supporting evidence. Only those issues in the vendor's written response appealing the adverse action affecting vendor participation shall be considered by the Director or the Director's designee. 
(5) The Director or the Director's designee, who is someone other than the person who rendered the initial decision on the adverse action affecting vendor participation, shall conduct the abbreviated administrative appeal review. The appeal procedure shall consist only of review of written materials submitted by the Program and the vendor. The Director or the Director's designee shall issue a written decision that shall be based solely on whether the Program's action was consistent with federal and State statutes and regulations. The decision shall provide that the action taken should be upheld or reversed, in whole or in part. The decision of the Director or the Director's designee shall be final and not subject to an administrative appeal as specified in Section 40751. The right to judicial review shall be communicated to the vendor in the event that the Director or Director's designee renders an appeal decision that is adverse to the vendor. 
(6) A copy of the decision of the Director or the Director's designee shall be mailed by certified mail to the vendor or the agent of the vendor. 
NOTE

Authority cited: Sections 123280 and Section 123290, Health and Safety Code. Reference: Sections 123290 and 123355, Health and Safety Code; and Title 7 Code of Federal Regulations Section 246.18. 
HISTORY

1. New section filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40753. Recovery of Overpayments to Vendors.
Note     •     History

NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311, 312 and 317, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
2. Repealer filed 4-17-2007; operative 5-17-2007 (Register 2007, No. 16).
§40755. Lost or Stolen Food Instruments.
Note     •     History

Local agencies shall not replace food instruments reported by participants to be lost or stolen.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Section 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40757. Participant Repayment for WIC Program Abuse.
Note     •     History

(a) The participant shall repay the Department for financial loss resulting from the misuse of food instruments, as specified in Sections 40749 and 40679 of these regulations. The Department shall recover an amount the Department determines is equal to the value of the overissued food benefits, unless the Department determines that the recovery of the benefits would not be cost-effective. A repayment schedule shall be established by the Department based upon the individual's ability to pay.
(b) The term of the repayment schedule shall be no longer than thirty-six (36) months. If the payments under this schedule are less than ten dollars ($10.00) per month the number of months for these payments shall be reduced so that payments shall be no less than ten dollars ($10.00) per month.
(c) Local agencies shall be responsible for notifying participants by written notice, with a certified return receipt requested, of the reported Program violation, the total amount due for repayment, the term of the repayment schedule, and the monthly amount due. The first payment shall be due thirty (30) days from the receipt date of the written notice to the participant.
(d) The Department may reinstate benefits prior to full repayment if the Department determines that the participant is complying with the repayment schedule. At the time of claim for repayment, the participant shall be advised of the right to a fair hearing, as specified in Section 40703 of these regulations.
(e) Local agencies shall be responsible for the collection and file maintenance of the participant's claim record.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 312, 315 and 316, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
Article 8. Selection of Local Agencies
§40769. Local Agency Priority System.
Note     •     History

(a) When selecting new agencies, the Department shall consider the following priority system, which is based upon the relative availability of health and administrative services:
(1) First consideration shall be given to a public or a private nonprofit health agency that will provide ongoing, routine pediatric and obstetric care and administrative services.
(2) Second consideration shall be given to a public or a private nonprofit health or human service agency that will enter into a written agreement with another agency for either ongoing, routine pediatric and obstetric care or administrative services.
(3) Third consideration shall be given to a public or private nonprofit health agency that will enter into a written agreement with private physicians, licensed by the State, in order to provide ongoing, routine pediatric and obstetric care to a specific category of participants (women, infants or children).
(4) Fourth consideration shall be given to a public or private nonprofit human service agency that will enter into a written agreement with private physicians, licensed by the State, to provide ongoing, routine pediatric and obstetric care.
(5) Fifth consideration shall be given to a public or private nonprofit health or human service agency that will provide ongoing, routine pediatric and obstetric care through referral to a health provider.
(b) The Department shall take into consideration an applicant agency's ability to provide services in a cost effective manner; its past performance in participating in other governmental programs; the adequacy of the agency's proposed staffing levels; its capability to perform certification procedures; whether there is an unmet need for Program services in the geographic service area; whether an existing WIC Program in the same geographic service area could provide Program services at a lower cost; and other factors which the Department determines are relevant.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40771. Disqualification of Local Agencies.
Note     •     History

(a) The Department may disqualify a local agency in the following circumstances:
(1) When the Department determines noncompliance with Program regulations or the agency's agreement with the State;
(2) When the Department's Program funds are insufficient to support the continued operation of all its existing local agencies at their current participation level;
(3) When the Department determines, following a review of local agency credentials, that another local agency can operate the Program more effectively or efficiently;
(4) When the Department determines that disqualification of the agency would conserve the fiscal interests of the State, such as when consolidation of existing local agencies serving the same geographic service area would result in Program services being provided at lower cost, or would reduce the potential for dual participation by Program participants.
(b) When taking an action to disqualify a local agency, the Department shall take relevant factors into consideration, including but not limited to:
(1) The availability of other community resources to participants, and the cost efficiency and cost effectiveness of the local agency in terms of food, administrative and program services costs;
(2) The percentages of participants in each priority level being served by the local agency and the percentage of need being met in each participant category;
(3) The relative need of the area or special population served by the local agency;
(4) The local agency's place in the priority system set forth in Section 40769 of these regulations;
(5) The capability of another local agency or agencies to accept the local agency's participants and to provide Program services in an efficient and effective manner;
(6) The local agency's past performance in participating in other governmental programs; and
(7) Whether disqualification of the local agency will decrease the potential for dual participation in the service area and thereby conserve the fiscal interests of the State.
(c) When disqualifying a local agency under the Program the Department shall:
(1) Make every effort to transfer affected participants to another local agency without disruption of benefits;
(2) Provide the affected local agency with written notice not less than sixty (60) calendar days in advance of the pending action, including an explanation of the reasons for disqualification, the date of disqualification, and, except in cases of the expiration of a local agency's agreement, the local agency's right to appeal as set forth in Section 40781 of these regulations; and
(3) Ensure that the action is not in conflict with any existing written agreements between the Department and the local agency.
(d) The Department shall conduct periodic reviews of the qualifications of authorized local agencies under its jurisdiction. Based upon the results of such reviews, the Department may make appropriate adjustments among participating local agencies, including the disqualification of a local agency when the Department determines that another local agency can operate the Program more effectively and efficiently, taking into consideration the factors set forth in subsection (b) above.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311, 312, 318 and 319, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
Article 9. Administrative Appeal of Departmental Decisions Affecting Local Agencies
§40781. Administrative Appeal of Departmental Decisions Affecting Local Agencies.
Note     •     History

(a) A local agency shall be provided a hearing procedure whereby a local agency adversely affected by a State action may appeal the action.
(1) The right of appeal shall be granted in the following circumstances:
(A) When a local agency's application to participate is denied; or
(B) When a local agency is disqualified during the course of the contract or agreement.
(2) Expiration of the Department's contract or agreement with a local agency shall not be subject to appeal.
(3) The adverse action affecting a local agency specified in subsection (a)(1)(B) above shall be postponed until a hearing decision is reached.
(b) The hearing procedure shall be conducted by the Chief of the Department's Family Health Division (Division Chief), or designee.
(c) The hearing procedure shall provide for the following:
(1) Written notification of the adverse action, the cause(s) for and the effective date of the action. The Department shall provide the local agency not less than sixty (60) calendar days advance notice of the impending action.
(2) The opportunity to appeal the adverse action, in writing, within thirty (30) calendar days of receipt of written notification of the action.
(3) The local agency's request to appeal must be in writing and must state the issues in dispute, the legal authority or other basis for the applicant's position, and the remedy sought.
(4) Written notice of the time and place of the appeal hearing shall be mailed to the local agency at least twenty (20) calendar days before the date of the appeal hearing. This period may be shortened with the consent of both the Department and the local agency. The appeal hearing shall be held in Sacramento.
(5) Upon specific request, the Department shall allow either party one opportunity to reschedule the hearing. The hearing shall be rescheduled within thirty (30) calendar days of the original hearing date. No other continuances shall be granted.
(6) The opportunity to present its case.
(7) The opportunity to confront and cross-examine adverse witnesses.
(8) The opportunity to be represented by counsel, if desired.
(9) The opportunity to review the case record prior to the hearing.
(10) The Department shall take the matter under submission at the conclusion of the hearing. A proposed decision shall be submitted to the Director, or designee, within twenty (20) calendar days from the date that the hearing concluded. Upon submission to the Director, a copy of the proposed decision shall be mailed by certified mail to the local agency and delivered to the Department's representative.
(11) The Director, or designee, shall adopt the proposed decision without change, reject the decision and prepare his own decision based upon the hearing record, or remand the matter back for further hearing and decision.
(12) There shall be no right to reconsideration once the proposed decision has been adopted by the Director, except as may be provided for in State statute.
(13) Written notification of the decision concerning the appeal, within sixty (60) days from the date of the Department's receipt of the request for a hearing.
(14) Appealing an action does not relieve a local agency from the responsibility of continued compliance with the terms of its contract with the Department.
(15) An appeal shall be dismissed if the local agency fails to appear. The notice of dismissal shall be mailed to each party.
(16) The Division Chief or designee may vacate any dismissal if the agency makes an application in writing within ten (10) calendar days after receipt of such dismissal, showing good cause for failure to appear at the hearing.
(17) The appeal procedures set forth above do not apply to audit findings.
(d) The hearing procedure for appeals pursuant to the findings of a financial audit where a claim for recovery is involved shall provide for the following:
(1) The local agency shall be informed, in writing, of its right to request an appeal hearing at the time of the initial demand for repayment of the questioned costs.
(2) The local agency shall have thirty (30) calendar days following the written notice of the action to request an appeal in writing. The appeal shall be addressed to Administrative Hearings and Appeals.
(3) The request for appeal shall be known as the “Statement of Disputed Issues” (SDI), shall be in writing, and shall be signed by the local agency or the local agency's authorized agent. The SDI need not be formal, but it shall be specific as to each issue in dispute, setting forth the local agency's contentions as to those issues and the estimated amount each issue involves, if applicable. Only those issues raised in the SDI shall be considered at the hearing.
(4) The local agency shall be notified in writing that the request for appeal has been received and whether the request has been accepted as sufficiently specific to each issue in dispute.
(5) If the agency's request for appeal is not sufficiently specific, the agency shall be granted fifteen (15) calendar days after the date of the mailing of the notice of deficiency to the local agency within which to file an amended Statement of Disputed Issues.
(6) Written notice of the date, time, and location of the appeal hearing shall be mailed to each party at least thirty (30) calendar days before the date of the appeal. This period may be shortened with the consent of the parties.
(7) If written position statements are filed, they shall be served on the hearing auditor and the other parties at least ten (10) calendar days prior to the hearing. To facilitate the hearing process, the parties are encouraged to resolve issues prior to the hearing.
(8) The hearing shall be electronically recorded for review purposes.
(9) Upon specific request, the Department shall allow either party one opportunity to reschedule the hearing. The hearing shall be rescheduled within thirty (30) calendar days of the original hearing date. No other continuances shall be granted.
(10) The opportunity to present its case.
(11) The opportunity to confront and cross-examine adverse witnesses.
(12) The opportunity to be represented by counsel, if desired.
(13) The opportunity to review the case record prior to the hearing.
(14) An impartial decision maker, whose decision as to the validity of the Department's action shall rest solely on the evidence presented at the hearing and the statutory and regulatory provisions governing the Program. The basis for the decision shall be stated in writing, although it need not amount to a full opinion or contain formal findings of fact and conclusions of law.
(15) The hearing auditor shall take the matter under submission at the conclusion of the hearing. A proposed decision shall be submitted to the Director or designee. Upon submission to the Director, a copy of the proposed decision shall be mailed by certified mail to the local agency and delivered to the Department's representative.
(16) The Director or his designee may adopt the proposed decision without change, prepare his own decision based upon the hearing record, or remand the matter back for further hearing and decision.
(17) The decision shall be final upon adoption by the Director. Coies of the decision of the Director shall be mailed by certified mail to the local agency.
(18) An appeal shall be dismissed if the local agency fails to appear. A notice of dismissal shall be mailed to each party.
(19) The Director may vacate any dismissal if the local agency makes an application in writing within ten (10) calendar days after receipt of such dismissal, showing good cause for failure to appear at the hearing.
(20) There shall be no right to reconsideration once the Director's decision has been adopted, except as provided for in State statute.
(e) When it is established, upon audit, that overpayment has been made to a local agency, the Department shall begin liquidation of the overpayment to the local agency thirty (30) calendar days after issuance of the first repayment demand following the issuance of the audit report establishing such overpayment. The overpayment shall be recovered by any of the following methods:
(1) Lump sum payment by the local agency.
(2) A repayment agreement executed between the local agency and the Department.
(3) Any other method of recovery available to and deemed appropriate by the Director.
(f) Interest shall be charged on sums owed the Department. The Department may negotiate the rate of interest charged; however, the rate shall not be less than the rate set forth in applicable rule or statute.
(g) The Department shall postpone recovery of overpayments to a local agency pursuant to the findings of a financial audit until an appeal hearing decision is issued by the Director, if applicable.
NOTE

Authority cited: Sections 311, 312, 318 and 319, Health and Safety Code. Reference: Sections 318, 319 and 38034, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40783. Judicial Review.
Note     •     History

Any right of judicial review shall be communicated in writing to the local agency in the event that the Department renders an appeal decision which is adverse to the local agency.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 319, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
Article 10. Investigations
§40793. Confidentiality.
Note     •     History

(a) Any individual who has filed a complaint, or has testified, assisted or participated in an investigation, shall have his/her identity kept confidential. However, it may become necessary during the course of the investigation or judicial proceedings, to identify the individual for the purposes of testifying.
(b) The local agency shall restrict the use or disclosure of information obtained from Program applicants or participants to persons directly connected with the administration or enforcement of the Program or the Comptroller General of the United States for audit and examination authorized by law.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311 and 312, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
Article 11. Penalties
§40803. Penalties.
Note     •     History

(a) Whoever embezzles, willfully misapplies, steals or obtains by fraud any funds, assets or property provided under Section 17 of the Child Nutrition Act of 1966, as amended, whether received directly or indirectly from USDA, or whoever receives, conceals or retains such funds, assets or property for his or her own interest, knowing such funds, assets or property have been embezzled, willfully misapplied, stolen, or obtained by fraud shall:
(1) If the funds, assets, or property have a value of $100 or more, be fined not more than $10,000 or imprisoned not more than five years, or both.
(2) If the funds, assets, or property have a value less than $100, shall be fined not more than $1,000 or imprisoned not more than one year, or both.
(3) Be suspended from receiving supplemental foods for up to three months, or until the Department has received repayment for financial loss.
(4) Return any funds or property so obtained.
(b) The local agency shall refer food vendors and participants who abuse the Program to state or local authorities.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 315.5 and 316, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
Article 12. Records and Reports
§40813. Record Keeping.
Note     •     History

(a) Participating local agencies shall maintain full and complete records pertaining to local Program operations, including but not limited to:
(1) Financial operations.
(2) Food instrument issuance and redemption.
(3) Equipment purchases and inventory.
(4) Certification.
(5) Nutrition education.
(6) Civil rights and fair hearing procedures.
(b) Local agencies shall retain all records and reports for a minimum of three years following the date of submission of the final expenditure report for the period to which the report pertains.
(1) If any litigation, claim, negotiation, audit or other action involving the records has been started before the end of the three-year period, the records shall be kept until all issues are resolved, or until the end of the regular three-year period, whichever is later.
(2) If the Department deems any of the Program records to be of historical interest, it may require the local agency to forward such records to the Food and Nutrition Service, USDA.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 311, 312 and 318, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38).
§40815. Reporting Requirements.
Note     •     History

(a) Local agencies shall submit to the Department all required financial reports and participation information necessary for efficient management of the Program.
(b) Local agencies shall be assessed a penalty for failure to comply with all mandated reporting requirements, as specified in the local agency's contract with the State.
(c) When requested by the Department, a local agency shall submit a written plan for correcting deficiencies documented by the Department. When required by the Department, a local agency shall provide special reports on Program activities and act to correct deficiencies in Program operations.
NOTE

Authority cited: Sections 311 and 312, Health and Safety Code. Reference: Sections 313.5 and 318, Health and Safety Code.
HISTORY

1. New section filed 8-23-89; operative 8-23-89 (Register 89, No. 38). 
Chapter 8. Human Immunodeficiency Virus (HIV) Testing of Inmates in Correctional Facilities
Article 1. Definitions
§41100. Other Health Professionals. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7502(b), Penal Code. Reference: Section 7502(b), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41101. AIDS. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7502(d), Penal Code. Reference: Section 7502(d), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41102. Bodily Fluids.
Note     •     History

(a) For purposes of title 8 (commencing with section 7500) of part 3 of the Penal Code, section 1524.1 of the Penal Code and this chapter “bodily fluids” capable of transmitting HIV are:
(1) Blood
(2) Body fluids containing visible blood
(3) Semen
(4) Vaginal secretions
(5) Cerebrospinal fluid
(6) Synovial fluid
(7) Pleural fluid
(8) Peritoneal fluid
(9) Pericardial fluid
(10) Amniotic Fluid
(11) Human breast milk in perinatal and neonatal transmission.
NOTE

Authority cited: Section 7158, Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Sections 7502(h), 7511(b)(1) and 1524.1(b)(1), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41103. Universal Precautions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7501(a), Penal Code. Reference: Section 7501(a), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41104. Chief Medical Officer. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7510(c), (1), (2), (3), (4) and (5), Penal Code. Reference: Sections 7510(c), (1), (2), (3), (4) and (5), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41105. Clinical Symptoms. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7512.5, Penal Code. Reference: Section 7512.5, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50).  A  Certificate  of  Compliance  must  be  transmitted  to  OAL   by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41106. Sharps. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7501(a), Penal Code. Reference: Section 7501(a), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41107. ARC. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7512.5, Penal Code. Reference: Section 7512.5, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41108. HIV Infection. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7501(a), Penal Code. Reference: Section 7501(a), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved . Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41109. Close and Direct Contact. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7501(e), Penal Code. Reference: Section 7501(e), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
Article 2. Procedures
§41110. Transmission of Human Immunodeficiency Virus (HIV) of Inmates in Correctional Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7501(a) and 7511(b), Penal Code. Reference: Sections 7501(a), 7511(b) and 7516, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41111. Delegation of Duties.
Note     •     History

(a) The chief medical officer may delegate the following medical responsibilities to other qualified physicians and surgeons:
(1) Medical assessment and determination of clinical symptoms of HIV infection, to include Stage 4 (AIDS).
(2) Assessment of whether follow-up testing is medically warranted based upon the investigation of the incident and the documentation that exposure has occurred in a manner capable of transmitting HIV.
(3) Any pre-test or post-test counseling and education of persons filing a report or requesting testing of an inmate, or of an inmate who is the subject of a report.
(4) Attendance at or hearing any oral testimony from involved parties pertaining to the testing of any inmate prior to a decision to test an inmate or as a result of an appeal to a decision to test an inmate. If the appeal record is held open for additional statements, the taking of those statements may also be delegated.
(5) Investigation of a report from a custodial officer which documents inmate behavior that may warrant HIV testing.
(6) Any activities related to filing an appeal pursuant to Penal Code section 7516.5.
(7) Activities related to the disclosure of information and test results to involved parties as specified in Title 8 (commencing with section 7500) of part 3 of the Penal Code.
(8) Determination that good cause exists and the decision to waive the filing period for a report under Penal Code sections 7510(b) and 7512(a).
(9) Writing of the decision required by Penal Code section 7511(c).
(10) Distribution of copies of hearing decision pursuant to Penal Code section 7511(c), 7512(c), 7512.5 and 7516.8.
(11) Transmittal of blood specimens under Penal Code section 7530(b).
(b) The chief medical officer may delegate all functions in (a) above to qualified non-medical personnel except for the functions specified in (a)(1) and (2).
NOTE

Authority cited: Chapter 1579, Section 4, Statutes of 1988 and Sections 7503 and 7518, Penal Code. Reference: Sections 7502(d), 7503, 7510(a), 7511(a), (b), (1), (2) and (3), 7512(a) and (c), 7512.5, 7514, 7515(c), 7516(b) and (c), 7516.5 and 7530, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41112. Provision of Counseling. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Penal Code. Reference: Sections 7502(b) and 7514, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41113. HIV Testing of Subject of Report. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7511(a), Penal Code. Reference: Sections 7501(a) and 7511(a), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41114. Report of Request and Decision for HIV Testing.
Note     •     History

(a) The request to test an inmate or other person who is the subject of the report filed shall be made by use of the Form “Report of Request and Decision for HIV Testing” (DHS 8459, November, 1989). The provisions of DHS 8459 are hereby incorporated by reference.
(b) The DHS 8459 form may be combined with regular incident reports or other forms used by the correctional institution or law enforcement agency.
(c) The DHS 8459 form shall be directed to the chief medical officer of the correctional facility.
NOTE

Authority cited: Section 7518, Penal Code, and Chapter 1579, Section 4, Statutes of 1988. Reference: Sections 7501(a), 7510(a) and 7550, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41115. Testing for HIV. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7511(a), Penal Code. Reference: Section 7511(a), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41116. Determining the Need for an HIV Test.
Note     •     History

(a) The chief medical officer shall take into consideration the following factors in ordering an HIV test of an inmate or other person who is the subject of the report filed, regardless of whether the report filed contains a request for HIV testing:
(1) Whether an exchange of body fluids occurred which could have resulted in HIV infection. In determining whether an HIV test is warranted, “body fluids” considered for testing shall be limited to the fluids listed in section 41102 (a). Transmission of body fluids from one person to another shall have occurred either by:
(A) Incidents involving injury to inmates or staff in which body fluids may have been exchanged.
(B) Incidents involving injecting of any substances using sharps, needles, syringes, or tattooing instruments.
(C) Incidents involving sexual activity which resulted in exchange of body fluids.
(2) Whether the person displays medical conditions or clinical findings symptomatic of HIV infection.
(3) Whether, as a result of the reported incident, the health of the institution staff or inmates may have been jeopardized.
NOTE

Authority cited: Section 7518, Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Sections 7501(a), 7502(c) and (d), 7511(b), (1), (2) and (3) and 7516(b), (1), (3) and (5) and (c), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment transmitted to OAL 3-11-91 (Register 91, No. 18).
§41119. Inmate Requesting HIV Testing of Another Inmate. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7512(a) and (c), Penal Code. Reference: Sections 7501(b) and 7512(a) and (c), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41120. Minors Requesting HIV Testing of Another Inmate. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7512(b) and (c), Penal Code. Reference: Sections 7501(b), 7502(i) and 7512(b) and (c), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41121. Request to Test Minors for HIV. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7512(b), Penal Code. Reference: Sections 7501(b) and 7512(b), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41122. HIV Testing Due to Clinical Symptoms. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7512.5, Penal Code. Reference: Sections 7501(d), 7502(d) and 7512.5, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41123. Reporting of an Activity Known to Cause Transmission of HIV. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7516(a), Penal Code. Reference: Sections 7501(a), 7502(c) and 7516(a), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41124. Reportable Activities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7516(b), (1), (2), (3) and (5), Penal Code. Reference: Sections 7502(h) and 7516(b), (1), (2), (3) and (5), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation oflaw on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41126. Criteria for HIV Testing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7516(c), Penal Code. Reference: Section 7516(c), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41127. Ordering HIV Testing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7516(c), Penal Code. Reference: Section 7516(c), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41128. Testing Limitations. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7516(e), Penal Code. Reference: Section 7516(e), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41129. Copies of Decision to Test. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7512.5, Penal Code. Reference: Section 7512.5, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
Article 3. Appeals Process
§41130. Right to Appeal.
Note     •     History

When the chief medical officer makes a decision pursuant to Penal Code sections 7511 or 7512, a Department of Health Services Notice OA1913 (10/89) “Human Immunodeficiency Virus Testing in Correctional Facilities Notice of Right to Appeal” shall be provided to persons specified in either section 7511 of 7512 as entitled to receive a copy of the decision. Where testing is ordered pursuant to Penal Code section 7512.5, Notice OA1913 (10/89) shall be provided to indicate that there is no right to appeal a testing decision rendered pursuant to Penal Code section 7512.5. Persons specified in section 7512.5 as entitled to receive a copy of the decision shall also receive a copy of the completed OA1913 (10/89) Notice.
NOTE

Authority cited: Sections 7513, 7518 and 7550, Penal Code. Reference: Sections 7513 and 7550, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).

View Graphic 
§41131. Appeal. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7516(c), Penal Code. Reference: Sections 7515(a) and 7516(c), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41132. Rendering of an Appeal Decision. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7516(d), Penal Code. Reference: Section 7516(d), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41133. Counseling Services to Be Provided. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7514, Penal Code. Reference: Sections 7502(b), 7503 and 7514, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41134. Request for Appeal.
Note     •     History

(a) A request to appeal the chief medical officer's decision whether or not to test an inmate who is the subject of the report for HIV without consent shall be made by using the form, “Report of Request for Appeal for HIV Testing,” (DHS 8457, October 1989).
(b) If there is no request for appeal, or if the testing was conducted pursuant to Penal Code section 7512.5 the chief medical officer's decision shall be final. Final decisions of the chief medical officer pursuant to section 7512.5 of the Penal Code, or of the appeals panel, may be appealed to the Superior Court.
NOTE

Authority cited: Section 7518, Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Sections 7515(a) and 7550, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41135. Ineligible Appeals. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7512.5, Penal Code. Reference: Section 7512.5, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41136. State Representatives for Appeals Panel. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7515(b)(3), Penal Code. Reference: Section 7515(b)(3), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41137. Procedure for Physician Selection.
Note     •     History

The Department of Health Services will select physicians and surgeons to serve on the appeals panel by utilizing the consultant services contract procedure specified in article 5 (commencing with section 10355) of the Public Contract Code.
NOTE

Authority cited: Sections 7515(b)(3) and 7518, Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Section 7515(b)(3), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment of NOTE transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41138. Standards for Physician Participation.
Note     •     History

(a) The Department of Health Services shall compile a list of physicians selected for appointment to serve on a three member appeals panel. The physicians shall meet the following standards:
(1) Possession of a license to practice medicine in the State of California.
(2) Knowledge and experience in the care of HIV-related diseases, transmission and infection.
(3) Not be on the staff of, or under contract with a state, county, or city correctional institution or with an employer of a law enforcement employee.
(4) Be immediately available upon notification by the Department of Health Services to serve for the specified contract term on any panel in any geographic area specified in his or her contract with the Department of Health Services.
NOTE

Authority cited: Sections 7515(b)(3) and 7518, Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Section 7515(b)(3), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41139. Administrative Procedures.
Note     •     History

A standard state contract shall be used to contract for the services provided by physicians serving on the appeals panel. These services shall be reimbursed upon participation on an appeals panel.
NOTE

Authority cited: Sections 7515(b)(3) and 7518, Penal Code and Chapter 1579, Section 4, Statutes of 1980. Reference: Section 7515(b)(3), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation oflaw on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 9-17-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment of NOTE transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41140. Use of Guidelines. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7518(a), Penal Code. Reference: Sections 7503 and 7518(a), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41141. Routes of HIV Transmission. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7518(a), Penal Code. Reference: Section 7518(a), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41142. Optimal Considerations for Testing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7518(a), Penal Code. Reference: Section 7518(a), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41143. Guidelines. [Repealed]
Note     •     History

NOTE

Authority cited: Section 7518(a), Penal Code. Reference: Sections 7502(h) and 7518(a), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No.3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including repealer of section 41143 transmitted to OAL 3-11-91 and filed 4-10-91(Register 91, No. 18).
Article 4. Testing Procedures
§41144. Phlebotomy Procedures.
Note     •     History

(a) The following venipuncture technique and specimen collection procedures shall be utilized in withdrawing blood:
(1) Proper hand-washing techniques before and after drawing blood shall be observed.
(2) Gloves shall be worn at all times, including when cleaning up blood spills.
(3) If non-gloved hands come into contact with blood, hands shall be immediately and thoroughly washed with soap and water. When hands are contaminated with blood, care shall be taken not to touch any other part of the body.
(4) Blood spills shall be cleaned up promptly with a disinfectant solution, including but not limited to, sodium hypochlorite (household bleach), 5.25% 1:10 dilution, or 70 per cent alcohol. These disinfectants shall be readily available.
(5) A separation tube that provides a means of collecting and separating blood in a closed evacuated glass tube shall be used where applicable.
(6) The test subject shall be positioned so that if he or she faints, he or she will not fall. Use of a venipuncture chair is recommended.
(7) 2-5 ml of blood shall be withdrawn for the HIV test. The needle shall be immediately disposed of in an appropriate container, as specified in subsection (b).
(8) The tube of blood shall be immediately labeled with the number from the HIV laboratory form and the test subject verify the lab number.
(b) Disposal of equipment shall be as follows:
(1) To prevent needle stick injuries, needles shall not be recapped, purposely bent or broken, removed from disposable syringes, or otherwise manipulated by hand. Needles shall be placed into puncture-resistant containers located as close as practical to the area in which they are used.
(2) Used cotton swabs and other disposable equipment soiled with blood or other bodily fluids shall be placed in a covered container inside a red plastic bag.
(3) Infectious and/or biohazardous waste shall be placed in a container, treated and disposed of in accordance with chapter 30, commencing with section 66835, article 13 of division 4 of Title 22 California Code of Regulations.
(4) Liners soiled with blood shall be promptly placed in an impervious bag which shall be labeled “Infectious Waste,” in accordance with section 66840, division 4, Title 22, California Code of Regulations. 
(c) Needle stick injuries shall be dealt with as follows:
(1) All injuries shall be immediately reported through channels to the immediate supervisor and communicable disease control personnel for appropriate evaluation.
(2) It is recommended that personnel who have sustained a needle stick shall be tested for HIV antibody and hepatitis B immediately after exposure to establish baselines. Pre-test counseling and post-test counseling shall be provided by a physician, registered nurse, or other health professionals who have knowledge of the transmission, prevention and etiology of HIV infection and AIDS. If sero-negative, a re-test shall be done after 6 weeks and on a periodic basis thereafter, (e.g., 3, 6, and 12 months following exposure) to determine if transmission has occurred. These follow-up tests shall be completed regardless of the results of the source patient because of the possibility the source patient is incubating the virus.
(3) Personnel shall be provided the opportunity to be treated with the hepatitis B vaccine for their protection.
(d) Withdrawn blood specimens shall be handled as follows:
(1) If refrigerated, the specimen shall remain at room temperature for 30 minutes before refrigeration.
(2) Specimens shall be refrigerated at 40 degrees fahrenheit for no longer than 1 week.
(3) Specimens shall not be frozen.
NOTE

Authority cited: Sections 7530(b) and 7518, Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Sections 208, 25150 and 25157.3, Health and Safety Code; and Section 7530(b), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment transmitted to OAL on 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41145. Licensed Medical Laboratory.
Note     •     History

Blood specimens withdrawn pursuant to section 41144 shall be transmitted to a licensed medical laboratory that has been approved by the State Department of Health Services, Laboratory Field Services. Medical laboratories shall be approved for conducting HIV testing pursuant to Title 8 (commencing with section 7500 of the Penal Code) in accordance with Title 17, section 1230, California Code of Regulations.
NOTE

Authority cited: Sections 7530(b) and 7518. Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Section 7530(b), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment of NOTE transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41146. Transporting of Blood Specimens.
Note     •     History

(a) If specimens are to be hand delivered to a local laboratory, the instructions for packaging and handling provided by that laboratory shall be followed.
(b) Specimens to be mailed to a laboratory shall be transported according to the following procedures:
(1) Mailing containers and instructions shall be obtained from the receiving laboratory.
(2) Each specimen tube shall be labeled with the test subject's individual identification number which corresponds to the identification number on the laboratory test slip, and the date collected.
(3) The specimen tube shall be taped with waterproof tape.
(4) The tube containing the specimen shall be placed in a secondary leak-proof metal container with a biohazard label.
(5) The completed lab slip shall be wrapped around the secondary metal container, not around the specimen tube.
(6) The secondary metal container shall be inserted into an outer (tertiary) cardboard mailer.
(7) The specimen shall be shipped by first class or express mail or other fast package delivery service.
NOTE

Authority cited: Sections 7530(b) and 7518, Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Section 7530(b), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment of NOTE transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41147. Laboratory Tests.
Note     •     History

(a) Laboratory tests to determine HIV infection shall be any FDA approved HIV test which detects infection by the probable causative agent of AIDS. Laboratory tests shall include, but not be limited to, the enzyme-linked immunosorbant assay (ELISA) using antigens derived from disrupted HIV. The ELISA kit instructions shall be followed. Initially reactive ELISA specimens shall be retested in accordance with the kit's instructions using the same specimen with the same manufacturer's kit.
(b) Since falsely positive tests do occur, and the implications of a positive test are serious, additional tests which are more specific, such as the Western Blot or the immunofluorescent assay (IFA), shall be conducted following repeatedly reactive ELISA results. Reactive test results by ELISA shall not be reported without conducting one of the supplemental tests, and confirming that the result is specific and truly positive.
NOTE

Authority cited: Sections 7530(b) and 7518, Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Section 7530(b), Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
Article 5. Counseling
§41148. Provision of Counseling.
Note     •     History

The chief medical officer shall provide for, or make provision for, face-to-face counseling to a law enforcement employee filing a report to test an inmate, or to an inmate filing a request to test another inmate, or to any potential test subject at the time the initial report or request is filed, at the time when tests are ordered, and at the time when test results are provided to the employee, inmate, or test subject. Specific topics in this counseling shall cover, but not be limited to, information covered in the “Guidelines for Human Immunodeficiency Virus (HIV) Education,Information and Testing in Correctional Facilities,” December 1989, developed and distributed by the Department of Health Services, Office of AIDS. The provision of these guidelines are hereby incorporated by reference.
NOTE

Authority cited: Chapter 1579, Section 4, Statutes of 1988 and Sections 7502(b) and 7518, Penal Code. Reference: Sections 7502(b) and 7514, Penal Code.
HISTORY

1. Certificate of Compliance including renumbering and amendment of former section 41148 to section 41149, and new section 41148 transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41149. Pre-Test Counseling Guidelines.
Note     •     History

(a) The pre-test counseling session shall be delivered by the chief medical officer, or his or her designee, and shall include, but not be limited to, a licensed physician or surgeon, registered nurse, or other health professional who has knowledge of the transmission, prevention, and etiology of HIV infection and AIDS. Any individual requiring counseling as provided for in section 41148 shall be given the opportunity to meet individually in private with the counselor to discuss personal questions about the HIV antibody test and its implications. Any written education material may be used which enhances or reinforces issues and/or topics covered in the pre-test session. In no way shall this educational material take the place of face-to-face HIV education counseling session.
(b) A counselor shall be available after the pre-test session to answer or provide additional information regarding the HIV antibody test.
(c) The counselor shall deliver a minimum of twenty minutes of pre-test information. During the pre-test session the counselor(s) should provide the client(s) with basic information about the HIV antibody test, interpretation of both positive and negative results and the possible consequences a test subject may confront by being identified as serologically positive. Information about reducing the risks of HIV transmission and exposure shall also be provided to the test subject during the pre-test counseling session. Topics and/or information covered during the pre-test counseling session shall include, but not be limited to, topics covered in the “Guidelines for Human Immunodeficiency Virus (HIV) Education, Information, and Testing in Correctional Facilities,” December 1989, developed and distributed by the Department of Health Services, Office of AIDS.
NOTE

Authority cited: Sections 7502(b) and 7518, Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Sections 7502(b), 7503 and 7514, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including renumbering and amendment of former section 41149 to section 41150 and renumbering and amendment of former section 41148 to section 41149, new section 41148 transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
§41150. Post-Test Counseling Guidelines.
Note     •     History

(a) The post-test counseling session shall be presented by the chief medical officer, or his or her designee, and shall include, but not be limited to, a licensed physician or surgeon, registered nurse, or other health professional who has knowledge of the transmission, prevention, and etiology of HIV infection and AIDS. This session shall be provided in a private setting with the door closed to any individual requiring counseling as provided for in section 41148. If the inmate poses a threat to others, privacy should be provided to the extent possible. If a deputy must be present during the counseling session, confidentiality of the information discussed and inmates' responses shall be maintained. Before test results are disclosed, the counselor shall confirm that the test results pertain to the corresponding test subject.
(b) The counselor providing the post-test results and education shall be prepared to discuss the meaning of the reactive ELISA and the results of the supplemental test at the time the results are presented to the test subject.
(c) The counselor shall deliver at least 15 minutes of post-test counseling and information in person to those test subjects who tested nonreactive (negative) on the HIV antibody test. This information shall include appropriate information on the test result and reducing the risk of exposure to HIV. Topics and information covered shall include, but not be limited to, information covered in the “Guidelines for Human Immunodeficiency Virus (HIV) Education, Information, and Testing in Correctional Facilities,” December 1989, developed and distributed by the Department of Health Services, Office of AIDS.
(d) The counselor shall deliver at least 30 minutes of post-test counseling to those test subjects who repeatedly tested reactive (positive) on the HIV antibody test and positive on the supplemental confirmatory tests. The counselor shall also assess the test subject's reaction to the test result to determine if referral to mental health services is needed. The test subject shall be reminded that a positive HIV antibody test result does not mean the test subject has AIDS; however, the importance of this result should not be minimized.
(e) When ending the post-test counseling session, the counselor shall review the most salient points raised during the interview. These may include the meaning of the test result, particular concerns, e.g., consideration of parenthood, telling others, etc., confidentiality of the test, risk reduction behaviors and appropriate referral resources.
NOTE

Authority cited: Sections 7502(b) and 7518, Penal Code and Chapter 1579, Section 4, Statutes of 1988. Reference: Sections 7502(b), 7503 and 7514, Penal Code.
HISTORY

1. New section filed 12-29-89 as an emergency; operative 12-29-89 (Register 90, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-30-90.
2. Certificate of Compliance as to 12-29-89 order transmitted to OAL 4-27-90 and disapproved 5-29-90. New section refiled 6-8-90 as an emergency; operative 6-8-90 (Register 90, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-9-90 or emergency language will be repealed the following day.
3. Editorial correction of HISTORY 2. showing the correct transmittal date (Register 90, No. 50).
4. Certificate of Compliance transmitted to OAL 10-9-90 and disapproved 11-8-90. Emergency readoption filed 11-9-90; operative 11-9-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-11-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including renumbering and amendment of former section 41149 to section 41150 transmitted to OAL 3-11-91 and filed 4-10-91 (Register 91, No. 18).
Chapter 9. Tuberculosis Examination
Article 1. Application
§41301. Application.
Note     •     History

Chapter 9 shall apply wherever the local health officer determines that persons seeking first admission to any private or public elementary or secondary school, child care center, day nursery, nursery school or development center are reasonably suspected of having tuberculosis and further determines that the examination of such persons for tuberculosis is necessary for the preservation and protection of the public health.
The local health officer may make such determination based on epidemiological findings in a given area in his or her jurisdiction.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Sections 3400(a) and 3402(a), Health and Safety Code.
HISTORY

1. New Chapter 9 (Articles 1-7, Sections 41301-41329, not consecutive) filed 3-11-82; effective thirtieth day thereafter (Register 82, No. 11).
Article 2. Definitions
§41303. First Admission.
Note

“First Admission” means a pupil's first enrollment in a given public or private elementary or secondary school, child care center, day nursery, nursery school or development center.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3402, Health and Safety Code.
§41305. Approved Skin Test.
Note

(a) “Approved skin test” means any of the following:
(1) Standard skin test known as the Mantoux test in which the test material is 0.1 ml of Purified Protein Derivative (PPD) containing five Tuberculin Units (TU).
(2) Multiple-puncture test in which the test material on the tines is PPD.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3403, Health and Safety Code.
Article 3. Tuberculosis Examination
§41307. Approved Skin Test.
Note

Only an approved skin test shall be administered to a person who is required to undergo a tuberculosis examination as provided in Section 41301.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3403, Health and Safety Code.
§41309. Reading and Recording a Reaction to an Approved Skin Test.
Note

(a) When the standard skin test is administered to a person, the reaction to the test shall be read by a physician or his/her designee between 48 and 72 hours after administration of the test. The reaction shall be recorded in millimeters of greatest induration.
(b) When the multiple-puncture test is administered to a person, the reaction to the test shall ordinarily be read between 48 and 72 hours after administration of the test. Readings up to seven days after administration are permissible in some multiple-puncture tests. Manufacturer's recommendations should be followed. A person who has any kind of reaction other than vesicular shall be retested with the standard skin test.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3403, Health and Safety Code.
§41311. Chest X-Ray.
Note

Each person who has a significant reaction to an approved skin test or multiple-puncture test shall have a diagnostic chest X-ray taken as soon as practicable but no later than 20 days after the reading of a significant reaction.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3403, Health and Safety Code.
Article 4. Admission to School
§41313. Unconditional Admission.
Note

A pupil who has undergone the required tuberculosis examination and can produce a certificate that he or she is free of communicable tuberculosis shall be admitted without conditions to school.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3402(b), Health and Safety Code.
§41315. Conditional Admission.
Note

(a) A pupil who has not undergone the required tuberculosis examination may be admitted on condition that he or she receives an approved skin test within 10 school days after admission.
(b) A pupil who has received an approved skin test and who has been found to have a significant reaction but who has not obtained his or her chest X-ray may be admitted on condition that he or she receives a chest X-ray within 20 school days after admission.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3404, Health and Safety Code.
§41317. Prior Examination.
Note

If the pupil presents written evidence that within one year prior to admission to a school the pupil had undergone a tuberculosis examination, the local health officer may determine the need and procedures for further examination of the pupil.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3402, Health and Safety Code.
§41319. Exemption.
Note

A pupil who at the time of first admission is undergoing or has already undergone preventive treatment for tuberculosis infection or treatment for tuberculosis disease may be exempt from the above admission requirements at the discretion of the local health officer.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3409, Health and Safety Code.
Article 5. Records
§41321. Records As Evidence of Tuberculosis Examination.
Note

(a) A certificate, signed by a physician or his/her designee, shall be given to the person tested or to his or her parent or guardian by the physician or by the agency performing the tuberculosis examination which shall contain the following information:
(1) Name of the person.
(2) Birthdate.
(3) Type of skin test administered.
(4) Date of administration of the test.
(5) Date of reading of the test and the test reaction.
(6) Date of the chest X-ray, where required.
(7) A statement that the pupil is free of communicable tuberculosis.
(8) Name of the physician or agency administering the examination.
(b) The certificate shall be shown by the parent, the guardian or the pupil examined to the governing authority at the time of the pupil's first admission.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3407, Health and Safety Code
§41323. School Tuberculosis Examination Record.
Note

(a) The governing authority of each school, where such examination is required, shall record each pupil's tuberculosis examination on the California School Immunization Record or other suitable health record which shall be part of the mandatory permanent pupil record as defined in Section 430 of Title 5, California Administrative Code.
(b) The immunization record and the record of results of the tuberculosis examination shall be transferred with the mandatory permanent pupil record.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3400(d), Health and Safety Code.
Article 6. Reporting
§41325. Report on the Tuberculosis Examination Status of New Entrants.
Note

(a) The governing authority of each school shall file a report with the county health department on the results of tuberculosis examinations for all new entrants required to undergo such examinations as determined by the health officer.
(b) The annual report shall contain at least the following information on new entrants:
(1) Total enrollment as of date of report.
(2) Number of new entrants admitted unconditionally, having fulfilled the tuberculosis examination requirements.
(3) Number of new entrants who are exempt for personal beliefs.
(4) Number of new entrants admitted conditionally.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3400(d), Health and Safety Code.
Article 7. Exclusion from School
§41327. Conditions for First Admission Not Fulfilled.
Note

Any pupil admitted conditionally who fails to obtain the required tuberculosis examination within the time periods specified in Section 41315 shall be excluded from school, unless the pupil is exempt for personal beliefs, until the pupil provides written evidence that he or she has received the required tuberculosis examination.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Section 3404(b), Health and Safety Code.
§41329. Pupil Not Tested.
Note

A pupil who has not been examined for tuberculosis as required by this chapter who may have tuberculosis, or who may have been exposed, shall be reported by the governing authority immediately by telephone to the local health officer. The local health officer may require the exclusion of the pupil from school until certified to be free of communicable tuberculosis.
NOTE

Authority cited: Sections 208 and 3409, Health and Safety Code. Reference: Sections 3404(b) and 3406, Health and Safety Code.
Subdivision 7. California Children's Services
Chapter 1. Definitions
§41401. Abnormal.
Note     •     History

“Abnormal” means contrary to the usual structure, position, condition, behavior, or rule.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering former section 41508 to new section 41401, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41407. Benign Neoplasm.
Note     •     History

“Benign neoplasm” means an abnormal growth of tissue in a body part, organ, or skin which does both of the following:
(a) Remains confined within the capsule or boundary of the specific body part, organ or skin; and
(b) Does not seed to other noncontiguous areas of the body.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41509 to new section 41407, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41410. California Children's Services (CCS).
Note     •     History

“California Children's Services (CCS)” means a State and County program providing medically necessary benefits as defined in section 41452 to persons under 21 years of age with physically handicapping conditions who meet medical, financial, and residential eligibility requirements for the CCS program. 
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123830, 123835, 123845, 123865 and 123870, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41510 to new section 41410, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41412. CCS Physician.
Note     •     History

“CCS physician” means a physician who has been certified by an American Board of Medical Specialties, or whose eligibility for such certification is contingent upon passing the certification examination, and who provides services to CCS clients.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code Reference: Sections 123830, 123910 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41511 to new section 41412, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41414. Client.
Note     •     History

“Client” means a person under 21 years of age who has been approved for CCS program benefits.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123830, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41512 to new section 41414, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41421. Department.
Note     •     History

“Department” means the California Department of Health Care Services.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41514 to new section 41421, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41422. Director.
Note     •     History

“Director” means the Director of the California Department of Health Care Services.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41515 to new section 41422, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41423. Disability.
Note     •     History

“Disability” means a limitation of a body function which includes both of the following: 
(a) Compromises the ability to perform the usual and customary activities that a child of comparable age would be expected to perform; and
(b) Can be identified or quantified by a medical examination and standard tests for that body function.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering former section 41515.1 to new section 41423, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41424. Disfiguring.
Note     •     History

“Disfiguring” means a marring of form, appearance, or character.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41515.2 to new section 41424, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41427.5. Expert Physician.
Note     •     History

“Expert physician” means a physician and surgeon who is certified as a specialist by the American Board of Medical Specialists and has a faculty appointment at an accredited medical school.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41516 to new section 41427.5, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41431. Full Medi-Cal Benefits.
Note     •     History

“Full Medi-Cal benefits” means the CCS client as defined under Section 41414 or applicant is eligible for the full range of Medi-Cal benefits without a share of cost.
NOTE

Authority cited: Sections 20, 100275, 123805 and 123990, Health and Safety Code. Reference: Sections 123805, 123990, 123915 and 123990, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering former section 41516.1 to new section 41431, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41432. Function.
Note     •     History

“Function” means the specific activity performed to carry out the purpose of an organ or part of the body.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41516.3 to new section 41432, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41437. Hearing Officer.
Note     •     History

“Hearing Officer” means a person designated by the Director to conduct state hearings.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41517 to new section 41437, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41445. Life Threatening.
Note     •     History

“Life threatening” means an injury or illness that could lead to death.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41517.3 to new section 41445, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41448. Malignant Neoplasm.
Note     •     History

“Malignant neoplasm” means a mass or growth in a body part, organ, or skin which does all of the following:
(a) Is made up of abnormal cells as determined by histological examination;
(b) Rapidly expands and grows;
(c) Invades other adjacent body parts or organs; and
(d) Invades other distant, noncontiguous body parts, or organs.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering former section 41517.5 to new section 41448, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41450. Medical Therapy Program.
Note     •     History

“Medical Therapy Program” means the specific component of the CCS program located in public schools that provides physical therapy, occupational therapy, and physician consultations to children with specifically defined eligible medical conditions.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830, 123835 and 123950, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41517.7 to new section 41450, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41452. Medically Necessary Benefits.
Note     •     History

“Medically necessary benefits” are those services, equipment, tests, and drugs which are required to meet the medical needs of the client's CCS-eligible medical condition as prescribed, ordered, or requested by a CCS physician and which are approved within the scope of benefits provided by the CCS program.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123840, 123845 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41518 to new section 41452, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41453. Mental Disorder.
Note     •     History

“Mental disorder” means abnormal functioning of the mind manifested by difficulty or disorganization of thinking, inappropriate emotional response and instability, difficulty in expression and communication, and lack of self control resulting in abnormal behavior, or severe problems in relationships with other people.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering former section 41518.2 to new section 41453, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41454. Mental Retardation.
Note     •     History

“Mental retardation” means a disability with limitation of a person's thinking, memory, and reasoning ability, as determined by standardized psychological testing.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41518.3 to new section 41454, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41455. Monitoring.
Note     •     History

“Monitoring” means the use of equipment to observe and record physiological signs such as pulse, respiration, and blood pressure.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41518.4 to new section 41455, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41461. Normal.
Note     •     History

“Normal” means the usual state, amount, or degree.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code
HISTORY

1. Change without regulatory effect renumbering former section 41518.5 to new section 41461, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41471. Physical.
Note     •     History

“Physical” means pertaining to the body.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41518.7 to new section 41471, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41472. Primitive Reflexes.
Note     •     History

“Primitive reflexes” means those movements, including the sucking, palmar grasp, Moro, crossed extension, or automatic walking reflexes present in an infant beyond an age in which they disappear in 97 percent of all infants.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering former section 41518.8 to new section 41472, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41478. Rehabilitation Services.
Note     •     History

“Rehabilitation services” means those activities designed for the restoration of physical function after illness, injury, or surgery involving the neuromuscular or skeletal systems.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41518.9 to new section 41478, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41479. Sliding Fee Scale.
Note     •     History

“Sliding fee scale” means a scale determined by the Department which is based on family size and family income and shall be adjusted by the Department to reflect changes in the federal poverty level. The sliding fee scale is:

CCS Annual Enrollment Fee Schedule

Family Size

 Gross Income		1 or 2	3	4	5	 6 or more

$        0-24,999		0	0	0	0	    0
$25,000-29,999	120	60	0	0	    0
$30,000-34,999	180	120	60	0	    0
$35,000-39,999	240	180	120	60	    0
$40,000-44,999	360	300	240	180	120
$45,000-49,999	480	420	360	300	240
$50,000-54,999	600	540	480	420	360
$55,000-59,999	720	660	600	540	480
$60,000-64,999	840	780	720	660	600
$65,000-69,999	960	900	840	780	720
$70,000-74,999	1,080	1,020	960	900	840
$75,000-79,999	1,200	1,140	1,080	1,020	960
$80,000-84,999	1,320	1,260	1,200	1,140	1,080
$85,000-89,999	1,440	1,380	1,320	1,260	1,200
$90,000-94,999	1,560	1,500	1,440	1,380	1,320
$95,000-99,999	1,680	1,620	1,560	1,500	1,400

For incomes over $99,999, for each subsequent income increment of $5,000, increase the above fees by $120.00.
NOTE

Authority cited: Sections 20, 100275, 123805 and 123990,  Health and Safety Code. Reference: Sections 123870, 123900, 123915 and 123990, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering former section 41519 to new section 41479, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41508. Abnormal. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of subdivision heading, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41508 to new section 41401 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41509. Benign Neoplasm. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41509 to new section 41407 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41510. California Children's Services (CCS). [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208 and 249, Health and Safety Code. Reference: Sections 250.5, 250.6, 251.5, 254 and 255, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect filed 1-24-91 pursuant to section 100, title 1, California Code of Regulations; operative 1-30-91 (Register 91, No. 8).
3. Change without regulatory effect renumbering former section 41510 to new section 41410 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Chapter 2. Administration
Article 1. General Provisions
§41510.2. Case Finding and Reporting.
Note     •     History

The county shall conduct an active and continuous program of case finding of all persons under 21 years of age who are suffering from handicapping conditions. This function may be carried out by physicians and health and welfare agencies, public and voluntary. All cases in need of CCS shall be referred to the local agency within the county which is administratively responsible for the program.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123855, Health and Safety Code.
HISTORY

1. Change without regulatory effect relocating the chapter 2 and article 1 headings from preceding section 41610 to preceding section 41510.2 and renumbering former section 41610 to new section 41510.2, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5). For prior history of section 41510.2, see Register 99, No. 37.
§41510.3. After-Care Services.
Note     •     History

(a) The county shall provide the necessary after-care services for handicapped children as the attending specialist may direct. Health supervision in the home is the joint responsibility of the family physician, public health nurses, and such community agencies as are properly concerned.
(b) Social services shall be made available either through qualified medical social workers, child welfare workers or through such other social services workers as may be available in the county. The schools shall meet the special educational needs of handicapped children.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 1507.5 and 123865, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41611 to new section 41510.3, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 5. Records and Reports
§41510.4. Confidential Nature.
Note     •     History

All information as to personal facts and circumstances obtained by the state or local staff administering the program shall constitute privileged communication, shall be held confidential and shall not be divulged without the individual's consent except as may be necessary to provide services to individual mothers and children, except when that information may be disclosed in summary, statistical, or other form which does not identify individuals.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123925, 124980 and 124995, Health and Safety Code.
HISTORY

1. Change without regulatory effect relocating article 5 heading from preceding section 41670 to preceding section 41510.4 and renumbering former section 41670 to new section 41510.4, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5). For prior history of section 41510.4, see Register 99, No. 37.
§41511. Maintenance of Records and Reports.
Note     •     History

Adequate service records and administrative indexes shall be maintained and required reports of services rendered and the costs thereof shall be submitted to the Department by the agency administratively responsible for the program.
In counties with more than one organized health department, it is recommended that such records be maintained by the agency which is administratively responsible for the program and that such duplicate records be developed in other health departments as are necessary for effective services to handicapped children.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123925, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 41511 to new section 41412 and renumbering former section 41671 to section 41511, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41512. Patient Records.
Note     •     History

Records indicating medical diagnosis and plans for treatment shall be kept for each patient.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123925, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 41512 to new section 41414 and renumbering former section 41672 to section 41512, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Chapter 3. Client Application and Eligibility Requirements
Article 1. General Provisions
§41514. Application for CCS Services.
Note     •     History

(a) Anyone may make a referral to CCS including the patient or family.
(b) The parents, legal guardian of a minor child, or applicant 18 years of age or older shall submit a written application to the county.
(c) The county shall, upon receipt of a referral, within five calendar days, mail or deliver to the parents, legal guardian of a minor applicant or applicant 18 years of age or older, written notification of a minimum of information which shall include:
(1) The source and date of referral of the patient.
(2) A blank application form which is either provided by the State or prepared by the county and requests identifying information such as name and address of applicant and parents or legal guardian and a request for CCS coverage. The application form must contain a privacy notification meeting the requirements of Civil Code Section 1798.17.
(3) A statement that a completed application is required for CCS coverage.
(4) A statement that receipt of a completed and signed application by CCS within 20 calendar days of the mailing date of the notice is required for the referral date to be considered the application date.
(5) A brief description of CCS.
(d) If the county does not receive the application within 20 calendar days of the mailing date the county shall send a second notification with five more calendar days containing a minimum of information which shall include:
(1) A statement that a completed application is required for CCS coverage.
(2) A statement that the county has not received an application.
(e) If the county does not receive the application within 20 calendar days after the second notice a third written notification shall be sent by the county within five (5) more calendar days after the second due date. That notice shall contain, at a minimum, the following information:
(1) A statement that the county has not received a completed application to CCS.
(2) A statement that the county has not opened the applicant's case and that no services shall be paid for by CCS.
(3) A statement that if the county receives a completed application within 20 calendar days of the date the county sent either the first or second notice, the referral date shall be considered the application date and that if the completed application is not received by the county within 20 calendar days after the second notice is mailed the date the application is received by the county shall be considered the application date.
(f) A copy of the third and final letter shall be sent to the referral source.
NOTE

Authority cited: Sections 20, 100275, 123805 and 123990,  Health and Safety Code. Reference: Sections 123870, 123900 and 123990, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect relocating chapter 3 and article 1 headings from preceding section 41700 to preceding section 41514, renumbering former section 41514 to new section 41421 and renumbering former section 41700 to section 41514, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41515. Director. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208 and 249, Health and Safety Code. Reference: Section 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 41515 to new section 41422 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 2. Medical Eligibility
§41515.1. Determination of Medical Eligibility.
Note     •     History

Medical eligibility for the CCS program, as specified in Sections 41515.2 through 41518.9 shall be determined by the CCS program medical consultant or designee through the review of medical records that document the applicant's medical history, results of a physical examination by a physician, laboratory test results, radiologic findings, or other tests or examinations that support the diagnosis of the eligible condition.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect adopting new article 2 heading, renumbering former section 41515.1 to new section 41423 and renumbering former section 41800 to section 41515.1, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41515.2. Infectious Diseases.
Note     •     History

CCS applicants diagnosed with at least one of the following shall be medically eligible for participation in the CCS program:
(a) Infections of the bone, such as osteomyelitis and periostitis.
(b) Infections of the eye when the infection, if untreated, may result in permanent visual impairment or blindness.
(c) Infections of the central nervous system which have produced a neurologic impairment that results in physical disability requiring surgery or rehabilitation services to regain or improve function, such as movement or speech, which was limited or lost as a result of the infection.
(d) Infections acquired in utero and for which medically necessary postnatal treatment is required, such as toxoplasmosis, cytomegalovirus infection, rubella, herpes simplex, and syphilis.
(e) Human Immunodeficiency Virus (HIV infection), when confirmed by laboratory tests.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41515.2 to new section 41424 and renumbering former section 41811 to section 41515.2, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41516. Neoplasms.
Note     •     History

CCS applicants with at least one of the following conditions shall be medically eligible for participation in the CCS program:
(a) All malignant neoplasms, including leukemia.
(b) A benign neoplasm when either of the following is present:
(1) The neoplasm is physically disabling or severely disfiguring; or
(2) The neoplasm is located contiguous to or within a vital organ or body part, and its continued growth or lack of treatment would limit or eliminate the function of the organ or body part or lead to the death of the applicant.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 41516 to new section 41427.5 and renumbering former section 41815 to section 41516, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41516.1. Endocrine, Nutritional and Metabolic Diseases, and Immune Disorders.
Note     •     History

CCS applicants with at least one of the following conditions shall be medically eligible for participation in the CCS program:
(a) Diseases of the pituitary, thyroid, parathyroid, thymus, and adrenal glands.
(b) Growth hormone deficiency.
(c) Diseases of the ovaries or testicles in which there is delayed onset of puberty primary amenorrhea after the age of 15 years, sexual development prior to the age of eight years for females and nine years for males, feminization of a male, or virilization of a female.
(d) Diseases of the pancreas resulting in pancreatic dysfunction. 
(e) Diabetes mellitus.
(f) Diseases due to congenital or acquired immunologic deficiency manifested by life-threatening infections, as determined from medical information about the applicant's clinical course and laboratory studies.
(g) Inborn errors of metabolism such as phenylketonuria, homocystinuria, galactosemia, glycogen storage disease and maple syrup urine disease.
(h) Cystic fibrosis.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 1-7-92 as an emergency; operative 1-7-92 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 5-5-92 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-7-92 order including amendment of section transmitted to OAL 5-6-92 and filed 6-17-92 (Register 92, No. 25).
3. Change without regulatory effect renumbering former section 41516.1 to new section 41431 and renumbering former section 41819 to section 41516.1, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41516.3. Diseases of Blood and Blood-Forming Organs.
Note     •     History

CCS applicants with at least one of the following conditions shall be medically eligible for participation in the CCS program:
(a) Anemias due to abnormal production of red cells or hemoglobin;
(b) Anemias resulting solely from a nutritional deficiency, such as inadequate intake of iron, folic acid or Vitamin B12 are eligible only when they present with life-threatening complications;
(c) Hemolytic anemias such as, but not limited to, congenital spherocytosis, sickle cell disease, the thalassemias and erythroblastosis fetalis;
(d) Hemolytic anemias resulting from infection are eligible only when they present with life-threatening complications;
(e) Pancytopenias, such as the congenital and acquired aplastic anemias;
(f) Disorders of leukocytes such as acquired and congenital neutropenia and chronic granulomatous disease;
(g) Hemorrhagic diseases due to:
(1) Coagulation disorders such as the hemophilias and von Willebrand disease; or
(2) Disorders of platelets that are life threatening;
(h) Other disorders of blood and blood-forming organs that are life-threatening such as polycythemia, hypersplenism and hypercoagulable states.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41516.3 to new section 41432 and renumbering former section 41823 to section 41516.3, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41517. Mental Disorders and Mental Retardation.
Note     •     History

(a) CCS applicants with a mental disorder, whose application is based upon such a disorder, shall not be medically eligible for the CCS program.
(b) CCS applicants with mental retardation, whose application is based upon such disease, shall not be medically eligible for the CCS program.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 41517 to new section 41437 and renumbering former section 41827 to section 41517, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41517.3. Diseases of the Nervous System.
Note     •     History

(a) CCS applicants with at least one of the following conditions shall be medically eligible for participation in the CCS program:
(1) Noninfectious diseases of the central and peripheral nervous system which produce a neurologic impairment that is life threatening or physically disabling.
(2) Cerebral palsy, a motor disorder with onset in early childhood resulting from a non-progressive lesion in the brain manifested by the presence of one or more of the following:
(A) Rigidity or spasticity.
(B) Hypotonia, with normal or increased deep tendon reflexes, and exaggeration of or persistence of primitive reflexes beyond the normal age range.
(C) Involuntary movements that are described as athetoid, choreoid, or dystonic.
(D) Ataxia manifested by incoordination of voluntary movement, dysdiadochokinesia, intention tremor, reeling or shaking of trunk and head, staggering or stumbling, and broad-based gait.
(3) Seizure disorder when either of the following occur:
(A) It is a component of or secondary to a CCS-eligible condition; or
(B) It is of unknown origin and one of the following exists:
1. The frequency or duration of the seizures requires more than four changes in dosage or type of medications in the 12 months preceding the initial or subsequent determination of medical eligibility;
2. The frequency or duration of the seizures requires two or more types of seizure medications each day;
3. The frequency or duration of the seizures requires at least a monthly medical office visit for assessment of the applicant's clinical status and periodic blood tests for medication levels or presence of blood dyscrasia; or
4. The applicant has experienced an episode of Status Epilepticus in which case medical eligibility shall extend for one year following that event.
(4) Congenital anomalies of the nervous system which meet the criteria of section 41518.8.
(b) When the eligibility criteria listed in subsection (a)(3)(B) above have not been present for at least one year, eligibility shall cease. 
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41517.3 to new section 41445 and renumbering former section 41831 to section 41517.3, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41517.5. Medical Therapy Program.
Note     •     History

(a) CCS applicants with at least one of the following conditions shall be medically eligible for participation in the CCS Medical Therapy Program:
(1) Cerebral palsy as specified in Section 41517.3(a)(2).
(2) Neuromuscular conditions that produce muscle weakness and atrophy, such as poliomyelitis, myasthenias, and muscular dystrophies.
(3) Chronic musculoskeletal and connective tissue diseases or deformities such as osteogenesis imperfecta, arthrogryposis, rheumatoid arthritis, amputations, and contractures resulting from burns.
(4) Other conditions manifesting the findings listed in section 41517.3(a) above, such as ataxias, degenerative neurological disease, or other intracranial processes.
(b) CCS applicants under three years of age shall be eligible when two or more of the following neurological findings are present:
(1) Exaggerations of or persistence of primitive reflexes beyond the normal age (corrected for prematurity);
(2) Increased Deep Tendon Reflexes (DTRs) that are 3+ or greater;
(3) Abnormal posturing as characterized by the arms, legs, head, or trunk turned or twisted into an abnormal position;
(4) Hypotonicity, with normal or increased DTRs, in infants below one year of age. (Infants above one year must meet criteria described in (a)(1)); or
(5) Asymmetry of motor findings of trunk or extremities.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41517.5 to new section 41448 and renumbering former section 41832 to section 41517.5, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41517.7. Diseases of the Eye.
Note     •     History

CCS applicants with at least one of the following eye conditions shall be medically eligible for participation in the CCS program:
(a) Strabismus, when surgery is required and either until fusion is obtained, or a visibly abnormal deformity is corrected.
(b) Infections that produce permanent visual impairment or blindness, such as keratitis and choroiditis.
(c) Infections that require ophthalmological surgery, such as chronic dacryocystitis.
(d) Other diseases that can lead to permanent visual impairment such as:
(1) Cataract.
(2) Glaucoma.
(3) Retinal detachment.
(4) Optic atrophy or hypoplasia.
(5) Optic neuritis.
(6) Lens dislocation.
(7) Retinopathy of prematurity.
(8) Persistent hyperplastic primary vitreous.
(9) Ptosis.
(e) Congential anomalies of the eye which meet the criteria of section 41518.8.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41517.7 to new section 41450 and renumbering former section 41835 to section 41517.7, including amendment of subsection (e) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41518. Diseases of the Ear and Mastoid Process.
Note     •     History

(a) CCS applicants shall be eligible for participation in the CCS program for diagnostic services to determine the presence of a hearing loss when the applicant:
(1) Fails two pure tone audiometric hearing screening tests performed at least six weeks apart at levels not to exceed 25 decibels and at the minimum number of frequencies of 1000, 2000 and 4000 Hertz; or
(2) Fails to have normal auditory brain stem evoked response; or
(3) Fails otoacoustic emission or behavioral responses to auditory stimuli as determined by two tests performed at least six weeks apart; or 
(4) Fails to pass hearing screening provided through the Newborn and Infant Hearing Screening, Tracking and Intervention Program, pursuant to Health and Safety Code Sections 123975 and 124115 through 124120.5; or
(5) Exhibits symptoms that may indicate a hearing loss such as poor speech for age or delay in age-appropriate behavioral milestones; or
(6) Has documentation of one of the risk factors associated with a sensorineural hearing or conductive hearing loss such as:
(A) A family history of congenital or childhood onset of hearing impairment.
(B) Congenital infection known or suspected to be associated with hearing loss.
(C) Craniofacial anomalies.
(D) Hyperbilirubinemia at a level exceeding the indication for an exchange transfusion.
(E) Ototoxic medications used for more than five days.
(F) Bacterial meningitis.
(G) Severe depression at birth, defined as:
1. Apgar score of three or less;
2. Failure to initiate spontaneous respirations by ten minutes of age; or
3. Hypotonia persisting to two hours of age.
(H) Prolonged mechanical ventilation for a duration of at least five days.
(I) Findings of a syndrome known to be associated with hearing loss.
(b) If either of the tests referenced in (a)(1) and (3) above are performed by an audiologist or otolaryngologist, only one exam shall be required for eligibility for diagnostic testing.
(c) CCS applicants shall be eligible for participating in the CCS program for treatment services when there is a hearing loss present as defined by the following criteria:
(1) In children over five years of age, a pure tone audiometric loss of 30 decibels or greater at two or more frequencies in the same ear tested at 500, 1000, 2000, 3000, 4000, 6000, 8000 Hertz or a loss of 40 decibels or greater at any one frequency between and including 500 through 8000 Hertz;
(2) In children from three to five years of age, a pure tone audiometric loss of 30 decibels or greater at any frequency tested at 500, 1000, 2000, 3000, 4000, 6000, 8000 Hertz; or
(3) In children unable to complete a pure tone audiometric test and whose auditory brain stem evoked response, or otoacoustic emission, or behavioral responses to auditory stimuli indicate hearing loss of 30 decibels or greater.
(d) CCS applicants shall be eligible for participation in the CCS program for treatment services when there is:
(1) Perforation of the tympanic membrane that requires tympanoplasty; or
(2) Mastoiditis; or
(3) Cholesteatoma.
(e) Congenital anomalies of the ear and mastoid process that meet the criteria of section 41518.8.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830, 123835, and 123975, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 41518 to new section 41452 and renumbering former section 41839 to section 41518, including amendment of subsections (a)(4) and (e) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41518.2. Diseases of the Circulatory System.
Note     •     History

CCS applicants with at least one of the following conditions shall be medically eligible for participation in the CCS program:
(a) Diseases of the endocardium, myocardium, or pericardium;
(b) Cardiac dysrhythmias requiring medical or surgical intervention;
(c) Diseases of blood vessels such as embolism, thrombosis, aneurysms, and periarteritis;
(d) Cerebral and subarachnoid hemorrhage;
(e) Chronic diseases of the lymphatic system;
(f) Primary hypertension that requires medication to control; or
(g) Congenital anomalies of the circulatory system that meet the criteria of section 41518.8.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41518.2 to new section 41453 and renumbering former section 41844 to section 41518.2, including amendment of subsection (g) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41518.3. Diseases of the Respiratory System.
Note     •     History

CCS applicants with at least one of the chronic conditions of the respiratory tract, such as the following conditions, shall be eligible for participation in the CCS program:
(a) Chronic pulmonary infections such as abscess or bronchiectasis;
(b) Cystic fibrosis;
(c) Chronic Lung Disease (CLD) of infancy, such as Bronchopulmonary Dysplasia (BPD), when either (1) or (2) below is met:
(1) History of care in a neonatal intensive care unit that includes all of the following:
(A) Mechanical ventilation for more than six days;
(B) Concentration of oxygen greater than 60 percent for more than four of the days of ventilation; and
(C) Need for supplemental oxygen for more than 30 days; or
(2) The presence in an infant of at least one of the following:
(A) Radiographic changes characteristic of CLD such as areas of hyperinflation, areas of radiolucency, and areas of radio density due to peribronchial thickening or patchy atelectasis;
(B) Impaired pulmonary function, as manifested by one or more of the following during a stable phase: increased airway resistance, increased residual capacity, decreased dynamic compliance, arterial CO2 tension (PaCO2) greater than 45 or arterial O2 tension (PaO2) less than 80; or
(C) Cardiovascular sequelae such as pulmonary or systemic hypertension or right or left ventricular hypertrophy.
(d) Asthma, when it has produced chronic lung disease;
(e) Chronic disorders of the lung that are the result of chemical injury, metabolic disorders, genetic defects, or immunologic disorders other than asthma;
(f) Respiratory failure requiring ventilatory assistance;
(g) Hyaline membrane disease; or
(h) Congenital anomalies of the respiratory system that meet the criteria of section 41518.8.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41518.3 to new section 41454 and renumbering former section 41848 to section 41518.3, including amendment of subsection (h) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41518.4. Diseases of the Digestive System.
Note     •     History

CCS applicants with at least one of the following conditions shall be eligible for participation in the CCS program:
(a) Diseases of the liver including:
(1) Acute liver failure;
(2) Chronic liver disease;
(b) Disorders of the gastrointestinal tract including:
(1) Chronic inflammatory diseases requiring complex ongoing medical management or surgical intervention such as pancreatitis, peptic ulcer, ulcerative colitis, regional enteritis, diverticulitis, and cholecystitis;
(2) Chronic intestinal failure; or
(3) Gastroesophageal reflux when:
(A) It is part of or complicates the management of a CCS-eligible condition; or
(B) It is an isolated condition with complications such as esophageal stricture or chronic aspiration pneumonia.
(c) Congenital anomalies of the digestive system that meet the criteria of section 41518.8.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41518.4 to new section 41455 and renumbering former section 41852 to section 41518.4, including amendment of subsection (c) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41518.5. Diseases of the Genitourinary System.
Note     •     History

CCS applicants with at least one of the following conditions shall be medically eligible for participation in the CCS program:
(a) Acute glomerulonephritis in the presence of acute renal failure, malignant hypertension, or congestive heart failure;
(b) Chronic glomerulonephritis, chronic nephrosis, or chronic nephrotic syndrome;
(c) Chronic renal insufficiency;
(d) Obstructive uropathies;
(e) Vesicoureteral reflux, grade II or greater;
(f) Renal calculus; or
(g) Congenital anomalies of the genitourinary tract that meet the criteria of section 41518.8.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41518.5 to new section 41461 and renumbering former section 41856 to section 41518.5, including amendment of subsection (g) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41518.6. Diseases of the Skin and Subcutaneous Tissues.
Note     •     History

CCS applicants with at least one of the following conditions shall be medically eligible for participation in the CCS program:
(a) Persistent or progressive diseases of the skin or subcutaneous tissue, such as pemphigus and epidermolysis bullosa, which;
(1) Are disabling or life-threatening; and
(2) Require multidisciplinary management;
(b) Scars when surgery is required and at least one of the following criteria is met:
(1) There is limitation of or loss of mobility of a major joint, such as the ankle, knee, hip, wrist, elbow, or shoulder; or
(2) They are disabling or severely disfiguring.
(c) Congenital anomalies of the skin or subcutaneous tissue that meet the criteria of section 41518.8.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 41864 to new section 41518.6, including amendment of subsection (c) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5). For prior history of section 41518.6, see Register 2000, No. 27.
§41518.7. Diseases of the Musculoskeletal System and Connective Tissue.
Note     •     History

(a) CCS applicants with at least one of the following conditions shall be medically eligible for participation in the CCS program:
(1) Acute and chronic suppurative infections of the joint;
(2) Chronic, progressive or recurrent inflammatory disease of the connective tissue or joints, such as rheumatoid arthritis, inflammatory polyarthropathy, lupus erythematosus, dermatomyositis, and scleroderma;
(3) Chronic, progressive, or degenerative diseases of muscles and fascia, such as myasthenias, myotonias, dystrophies, and atrophies that lead to atrophy, weakness, contracture and deformity, and motor disability;
(4) Intervertebral disc herniation;
(5) Scoliosis with a curvature of 20 degrees or greater;
(6) Other disease of the bones and joints, except fractures, resulting in limitation of normal function and requiring surgery, complex customized bracing, or more than two castings; or
(7) Congenital anomalies of the musculoskeletal system or connective tissue that meet the criteria of section 41518.8.
(b) Minor orthopedic conditions, such as tibia torsion, femoral anteversion, knock knees, pigeon toes, and flat feet, which only require special shoes, splints, and/or simple bracing are not eligible.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41518.7 to new section 41471 and renumbering former section 41866 to section 41518.7, including amendment of subsection (a)(7) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41518.8. Congenital Anomalies.
Note     •     History

(a) CCS applicants with congenital anomalies shall be medically eligible for participation in the CCS program when the congenital anomaly is amenable to cure, correction, or amelioration; and
(1) Limits or compromises a body function based on a combination of factors such as its size, type and location; or 
(2) Is severely disfiguring.
(b) The following conditions shall not be medically eligible for the CCS program when the application for eligibility is based solely on their presence:
(1) Inguinal and umbilical hernia;
(2) Hydrocele; or
(3) Unilateral undescended testicle.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41518.8 to new section 41472 and renumbering former section 41868 to section 41518.8, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41518.9. Accidents, Poisonings, Violence, and Immunization Reactions.
Note     •     History

CCS applicants with at least one of the following conditions shall be medically eligible for participation in the CCS program:
(a) Injuries to organ systems or organs which, if left untreated, are likely to result in permanent physical disability, permanent loss of function, severe disfigurement or death;
(b) Fractures of the spine, pelvis, or femur;
(c) Fractures of the skull which, if left untreated, would result in Central Nervous System complications or severe disfigurement;
(d) All other fractures which require open reduction, internal fixation or which involve the joints or growth plates;
(e) Burns, when at least one of the following is present:
(1) Second and third degree burns of greater than 10 percent of the body surface area for children less than 10 years of age;
(2) Second and third degree burns of greater than 20 percent of the body surface area for children greater than 10 years of age;
(3) Third degree burns of greater than five percent of the body surface area for any age group;
(4) Burns involving signs or symptoms of inhalation injury or causing respiratory distress;
(5) Second or third degree burns of the face, ear, the mouth and throat, genitalia, perineum, major joints, the hands and feet; or
(6) Electrical injury or burns, including burns caused by lighting;
(f) Presence of a foreign body when the object, if not surgically removed, would result in death or a permanent limitation or compromise of a body function;
(g) Ingestion of drugs or poisons that result in life threatening events and require inpatient hospital treatment;
(h) Lead poisoning as defined as a confirmed blood level of 20 micrograms per deciliter or above;
(i) Poisonous snake bites that require complex medical management and that may result in severe disfigurement, permanent disability or death;
(j) Other envenomation, such as spider bites, that require complex medical management and that may result in severe disfigurement, permanent disability or death; or 
(k) Severe adverse reactions to an immunization requiring extensive medical care.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41518.9 to new section 41478 and renumbering former section 41872 to section 41518.9, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 3. Residential Eligibility
§41519. Residential Eligibility Determination.
Note     •     History

(a) The county shall determine residential eligibility based on information in the residential and family status sections of the residential and financial eligibility worksheet and from any other relevant information required to clarify residence in the county under provisions of Sections 243 and 244 of the Government Code.
(b) The county shall record eligibility determination in this section including the reason for denial of eligibility if so determined.
NOTE

Authority cited: Sections 20, 100275, 123805 and 123990, Health and Safety Code. Reference: Sections 243 and 244, Government Code; and Sections 123895 and 123990, Health and Safety Code.
HISTORY

1. New section filed 1-7-92 as an emergency; operative 1-7-92 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 5-5-92 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-7-92 order including amendment of section transmitted to OAL 5-6-92 and filed 6-17-92 (Register 92, No. 25).
3. Change without regulatory effect adopting new article 3 heading, renumbering former section 41519 to new section 41479 and renumbering former section 41900 to section 41519, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41610. CCS Residential and Financial Eligibility and Enrollment Fee Determination.
Note     •     History

(a) The county shall conduct residential and financial eligibility and enrollment fee determination for applicants upon initial application to CCS for treatment services and shall annually thereafter redetermine financial eligibility and enrollment fees for clients continuing to receive treatment services under Sections 123870 and 123900 of the Health and Safety Code. Such determination shall be made within 30 calendar days of receipt by the county of the information needed to make the determination.
(b) The county shall submit written notification of financial eligibility and enrollment fee requirements to the parents, legal guardian of a minor applicant or applicant 18 years of age or older within five calendar days of receipt of a completed application form or to the parents, legal guardian of a minor client or to a client 18 years of age or older a minimum of 30 calendar days before the annual redetermination is scheduled.
(1) The written notification at a minimum, shall include the following:
(A) A statement that the parents, legal guardian of a minor applicant or applicant/client 18 years of age or older must, within 30 calendar days of the date of written notification, provide the information needed for the county to determine residential and financial eligibility and enrollment fee.
(B) A list of documentation which must be provided, including:
1. Necessary income documents including:
a. California state income tax form (540 or 540A) and federal income tax form (1040 or 1040A) for the previous tax year.
b. Pay stubs, W-2 forms, copies of cash grant award letters or warrants, employee confirmation letters, and other substantiating documentation if the family did not file tax returns or the tax return forms are unavailable.
2. Residential eligibility information, if any, specified by the county.
3. Guardianship and custody information and documentation, if appropriate.
(C) Either:
1. The date, time, and place of a scheduled eligibility interview, or
2. Instructions for submitting the necessary documents by mail.
(c) If the county has not received a response to the first notification, the county shall, 15 calendar days after the first notification, send a second notification to the parents, legal guardian of a minor applicant/client or applicant/client 18 years of age or older. Such notification shall include the following information at a minimum.
(1) A statement that the county will not open an applicant's case or will close a client's case if the family does not appear at a rescheduled eligibility interview or submit necessary financial documents no later than the due date contained in the first notification.
(2) A request for information as set forth in subsection (b)(1)(B).
(3) Either,
(A) The date of a rescheduled eligibility interview with instructions to submit required documents, or
(B) Instructions for submission of necessary income documents by mail.
(d) If the county has not received a response to the first or second notification the county shall send a third written notification to the parents, legal guardian of a minor applicant/client or applicant/client 18 years of age or older if these parties do not appear at a rescheduled interview or do not submit necessary documents. Such notification shall at a minimum include the following:
(1) A statement that the parents, legal guardian of a minor applicant/client or applicant/client 18 years of age or older has not appeared at a rescheduled interview or has not submitted necessary financial information.
(2) A statement of the disposition the county made of the case.
(e) The county shall use an eligibility worksheet which is either provided by the State or prepared by the county to determine residence in the county, financial eligibility and enrollment fee status and shall require at a minimum information covering the following areas:
(1) Residence, including current address, length of time at that address, previous address, address from which last year's state or federal taxes were filed, county of voter registration, if any.
(2) Insurance, including third-party coverage under Medi-Cal, Medicare, private or group insurance, type of coverage, name of carrier and description of covered benefits, including limitations, if any, on that coverage.
(3) Family status, including at a minimum:
(A) Name and address of parents and indication of which parent has legal custody, if applicable.
(B) Name and address of person, if any, with whom applicant/client resides other than the natural or adoptive parent(s).
(4) Income information including at a minimum:
(A) Income source for the mother, father and applicant/client.
(B) Family size as reported on each income tax form.
(C) Medi-Cal eligibility information.
(D) Adjusted gross income computation.
(E) Estimated out-of-pocket costs for care if Adjusted Gross Income is greater than $40,000.
(5) Documentation of payment of the annual enrollment fee as required by Section 123900(e) of the Health and Safety Code.
(6) Financial eligibility or annual enrollment fee exemption criteria as specified under Section 123900(f) of the Health and Safety Code.
(7) Legal agreement, between the county and the parents, legal guardian, or applicant/client 18 years of age or older. At a minimum the agreement shall include:
(A) CCS eligibility determination.
(B) Annual enrollment fee determination.
1. Effective dates of annual enrollment fee.
2. Due date(s) of the annual enrollment fee.
3. Agreement to fully utilize any health insurance, and assign insurance rights.
4. Agreement to repay CCS costs if found not eligible.
5. Prompt notification of any change.
6. Repayment from lawsuit, etc.
(C) Statutory conditions under which CCS authorizes and pays for services and requires families to reimburse CCS for payments made to families by insurance or lawsuits, for services paid by CCS. The county shall determine the legal relationship of the person(s) with whom a minor applicant/client resides and who applies for CCS services on behalf of the child in order to determine residential and financial eligibility, and enrollment fee.
1. If the person is a legal guardian, the county shall specify on the agreement the county with legal jurisdiction and shall request verification of guardianship. If guardianship is verified the county shall determine the family is eligible to proceed with residential and financial eligibility and enrollment fee determination.
2. If the person is not a legal guardian, the county shall determine the family is not eligible to proceed with residential and financial eligibility and enrollment fee determination. The county shall give written notification to the person that only a parent, legal guardian, or persons legally designated to represent the client or applicant, may apply for CCS and the county shall give appropriate information regarding guardianship.
(D) Effective dates of the legal agreement.
(E) Privacy notification conforming to Civil Code Section 1798.17 requirements.
NOTE

Authority cited: Sections 20, 100275, 123805 and 123990, Health and Safety Code. Reference: Sections 123865, 123870, 123895, 123900, 123930, 123965 and 123990,  Health and Safety Code; and Section 1798.17, Civil Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect relocating chapter 2 and article 1 headings from preceding section 41610 to preceding section 41510.2, renumbering former section 41610 to section 41510.2 and renumbering former section 42000 to section 41610, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41611. After-Care Services. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208 and 249, Health and Safety Code. Reference: Sections 254 and 1507.5, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 41611 to new section 41510.3 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 4. Financial Eligibility
§41670. Financial Eligibility Determination.
Note     •     History

(a) The county shall determine financial eligibility under provisions of Section 123870 of the Health and Safety Code within 30 days of receipt of documentation needed.
(b) The county shall determine whether the family is exempt from financial eligibility determination for treatment services under provisions of Section 123900(f) of the Health and Safety Code, and shall so enter in the exemption section of the eligibility worksheet.
(c) The county shall record the following information in the income source section of the eligibility worksheet as applicable to each applicant/client:
(1) Name of the parent or party making application.
(2) Income source documents used to determine financial eligibility.
(d) The county shall record the following information in the income for year section of the eligibility worksheet:
(1) The adjusted gross income as reported in California tax form 540 or 540A or equivalent.
(2) The number of persons dependent on the family income.
(3) Whether the applicant/client is being referred to Medi-Cal.
(A) The county may extend the 30 day time limit during the Medi-Cal application process.
(B) If the county refers the applicant/client to Medi-Cal, such referral shall be in writing and shall include notice of section 123995 of the Health and Safety Code.
(e) The estimated family out-of-pocket cost of care for the year for the applicant/client when the adjusted gross income exceeds $40,000.
(1) The amount of 20 percent of the adjusted gross income.
(2) Anticipated services for the year and estimated out-of-pocket costs.
(f) Family's financial eligibility determination.
NOTE

Authority cited: Sections 20, 100275, 123805, 123870 and 123990, Health and Safety Code. Reference: Sections 123870, 123900, 123990 and 123995, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect relocating article 5 heading from preceding section 41670 to preceding section 41510.4, adopting new article 4 heading, renumbering former section 41670 to section 41510.4 and renumbering former section 42050 to section 41670, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41671. Eligibility Treatment Plans.
Note     •     History

(a) Treatment plans within the program shall be developed for:
(1) Children whose parents or legal guardians cannot finance any part of the costs of the necessary care;
(2) Children whose parents or guardians are able to finance a part of the costs of the necessary care.
(b) Since the greatest need for assistance is found among the marginal groups who cannot afford the full costs of private care and are ineligible for completely free care, part-pay plans are necessary.
(c) When requested, families who are able to finance care privately, should be given advice in developing adequate treatment plans.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123870, 123900 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 41671 to new section 41511 and renumbering former section 42075 to section 41671, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41672. CCS Legal Agreement Outline.
Note     •     History

(a) The county shall notify the parent, legal guardian or applicant/client 18 years of age or older of the following information on the legal agreement part of the eligibility worksheet.
(1) Residential and financial eligibility determination including the reason for ineligibility if so determined.
(2) The amount of the annual enrollment fee.
(3) The beginning effective and termination effective dates of the annual enrollment fee for applicants shall be determined as follows:
(A) The beginning effective date is the application date as set forth in Section 41514(e)(3).
(B) The termination effective date is not later than one year after the beginning effective date of CCS coverage approved by the county.
(4) The effective beginning and termination dates of the enrollment fee for clients shall be determined as follows:
(A) Upon redetermination the effective beginning date is one day after the previous year's effective termination date.
(B) The effective termination date is one year after the effective beginning date.
(5) If the period of approved coverage is less than one year, and if the client reapplies for CCS within one year of the initial effective date, the county shall ask whether there have been any changes in the information on which the financial, residential, or enrollment fee determination was based.
(A) If there have been no changes the prior determination shall be reinstated and the next required annual redetermination shall be scheduled based on the prior determination.
(B) If there have been changes, a redetermination shall be done at the time of reinstatement and the next required annual redetermination shall be based on the reinstated date.
(6) The due date of enrollment fee is the date the parent, guardian or applicant/client is initially informed of the amount of the enrollment fee.
(7) A statement that there is a right to appeal the county's decision(s) using the appeals process under the provisions of Sections 42131-42700.
(8) Agreement to fully utilize any health insurance, and assign insurance rights.
(9) Agreement to repay CCS costs if found not eligible.
(10) Prompt notification of any change.
(11) The parent, legal guardian of a minor applicant/client or the applicant/client 18 years of age or older shall sign and date the worksheet's legal agreement as agreement to the conditions.
(12) A county representative shall sign and date the legal agreement part of the worksheet.
(13) The county shall submit a copy of the eligibility form and legal agreement to the parent, legal guardian or applicant/client 18 years of age or older.
NOTE

Authority cited: Sections 20, 100275, 123805 and 123990, Health and Safety Code. Reference: Sections 123900, 123915 and 123990, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 41672 to section 41512, and renumbering former section 42110 to section 41672, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 5. Annual Enrollment Fee
§41674. Annual Enrollment Fee Determination.
Note     •     History

(a) The county shall determine the applicant/client's annual enrollment fee under provisions of Section 123900 of the Health and Safety Code.
(b) The county shall determine whether the family is exempt from the annual enrollment fee for treatment services and shall so record in the exemption section of the eligibility worksheet.
(c) The county shall enter the following information in the enrollment fee section of the eligibility form.
(1) The family's gross income, or total income as reported on federal income tax form 1040 or 1040A, or equivalent.
(2) Family size.
(3) The amount of the enrollment fee for family size and gross income according to the sliding fee scale of the CCS Annual Enrollment Fee Schedule in Section 41479.
(A) The family may request reconsideration if the family contends that it is unable to pay the enrollment fee because of undue family hardship.
1. The request for reconsideration must be in writing and shall include the name of the applicant/client, parent(s), legal guardian, and an explanation of a reduction in family income or unavoidable family expenditures.
2. The county agency director shall determine whether to reduce, waive or maintain the enrollment fee for the family and shall record in the applicant's or client's file the decision and the reasons the full enrollment fee would cause undue hardship.
NOTE

Authority cited: Sections 20, 100275, 123805 and 123990, Health and Safety Code. Reference: Sections 123900 and 123990, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting new article 5 heading and renumbering former section 42115 to new section 41674, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41676. Annual Enrollment Fee Reporting.
Note     •     History

(a) Counties shall report annual enrollment fees due and collected on a quarterly basis on a hardcopy quarterly report form or electronic tape to the department.
(b) Counties which share program administration with state regional offices pursuant to Section 123850 of the Health and Safety Code shall provide monthly lists to appropriate CCS state regional offices of all cases delinquent 30 or more days in enrollment fee payments.
(c) Counties which share program administration with state regional offices pursuant to Section 123850 of the Health and Safety Code shall provide monthly lists to appropriate state CCS regional offices of all cases that are recommended for closure due to failure to pay the outstanding enrollment fees within 60 days of the due date.
NOTE

Authority cited: Sections 20, 100275, 123805 and 123990, Health and Safety Code. Reference: Sections 123870, 123900, 123915 and 123990, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 42120 to new section 41676, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41684. Annual Enrollment Fee Collection.
Note     •     History

(a) Counties shall retain the original of the legal agreement part of the financial eligibility and enrollment fee determination worksheets.
(b) A single, lump-sum annual payment shall be encouraged in order to simplify collection and reduce county administration costs.
(c) Periodic payments of specified amounts may be agreed upon if the family is unable to make a lump-sum payment.
(d) Accounting records of payment obligations and collections shall be maintained by counties.
(1) A tracking system shall be included to remind families of their outstanding fee obligations.
(2) Each billing statement sent to the parents, legal guardian of a minor applicant/client or applicant/client 18 years of age or older shall contain information about the total amount of the enrollment fee, the amount paid, amount due, and due date and shall include a statement about the termination of services for failure to pay the amount due within 60 calendar days of the due date.
(e) Families failing to pay the amount due by the 60th calendar day of the due date are financially ineligible and are disenrolled from treatment services on the 61st calendar day after the due date and shall be so notified.
(1) Notification to the families of case closure shall include:
(A) The reason for case closure.
(B) Reference to previous notices to family including notification of case closure as a consequence of non-payment.
(C) How to reapply to the program including the need to fully pay outstanding debts and the new effective date of coverage.
(D) The right to appeal under provisions of Sections 42131-42700.
NOTE

Authority cited: Sections 20, 100275, 123805 and 123990, Health and Safety Code. Reference: Sections 123870, 123900, 123915 and 123990, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 42125 to new section 41684, including amendment of subsection (d)(2)(D) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Chapter 4. Program Benefits
Article 3. Diagnostic Services
§41700. Availability.
Note     •     History

Diagnostic services shall be readily available to all handicapped children in the county.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123860 and 123925, Health and Safety Code.
HISTORY

1. New section filed 1-7-92 as an emergency; operative 1-7-92 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 5-5-92 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-7-92 order including amendment of subsections (c)(4), (e), and (e)(3) and Note transmitted to OAL 5-6-92 and filed 6-17-92 (Register 92, No. 25).
3. Change without regulatory effect relocating chapter 3 and article 1 headings from preceding section 41700 to preceding section 41514, adopting new chapter 4 and article 3 headings, renumbering former section 41700 to section 41514 and renumbering former section 42130 to section 41700, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41701. Facilities.
Note     •     History

Diagnostic services may be rendered in clinics conducted at regular intervals commensurate with the case load, or through the use of individual examinations, or a combination of both.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123855, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 42131 to new section 41701, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41702. Eligibility.
Note     •     History

Diagnostic services shall be available to all handicapped children in the county.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123860, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 42132 to new section 41702, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 4. 
§41740. Eligibility for Treatment Services.
Note     •     History

Treatment meeting standards pursuant to Sections 42030 and 42110 shall be provided for all handicapped children who are eligible.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123840, 123870, 123880, 123885 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect relocating article 4 heading from preceding section 42140 to preceding section 41740 and renumbering former section 42140 to new section 41740, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41760. Bone Marrow Transplantation for Cancer.
Note     •     History

Bone marrow transplantation for treatment of cancer in a CCS eligible child is reimbursable by CCS when the procedure has prior written approval by the CCS medical consultant in a county which, in the most recent U.S. Bureau of the Census decennial census, had a population not more than 600,000. In all other counties prior written approval by the State CCS medical consultant is required, and it shall be attached to the county's quarterly invoice to the State.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123985, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 42160 to new section 41760, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41770. Prior Authorization.
Note     •     History

(a) All services purchased for handicapped children shall be authorized by the Department or the local administering agency prior to the time service is provided and a record of such authorizations shall be retained as part of the individual's case record in the administering agency.
(b) Authorization for services provided during the hours when the offices of the administering agency are closed may be issued retroactively provided that
(1) the child meets the eligibility requirements of the program and
(2) the administering agency is notified by the physician, hospital, or other provider of service during the first day the agency's offices are open following the time the service was provided.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Section 123865, Health and Safety Code; and Section 14103.8(a), Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering former section 42180 to new section 41770, including amendment of subsection (a) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41800. Determination of Medical Eligibility. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. Repealer and new section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 90, No. 13.
2. Repealer and new section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect repealing chapter 4 and article 1 headings and renumbering former section 41800 to section 41515.1 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41811. Infectious Diseases. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41811 to section 41515.2 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41815. Neoplasms. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41815 to section 41516 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41819. Endocrine, Nutritional and Metabolic Diseases, and Immune Disorders. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section, including amendments, refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41819 to section 41516.1 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41823. Diseases of Blood and Blood-Forming Organs. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41823 to section 41516.3 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41827. Mental Disorders and Mental Retardation. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41827 to section 41517 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41831. Diseases of the Nervous System. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41831 to section 41517.3 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41832. Medical Therapy Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41832 to section 41517.5 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41835. Diseases of the Eye. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41835 to section 41517.7 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41839. Diseases of the Ear and Mastoid Process. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830, 123835, and 123975, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41839 to section 41518 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41844. Diseases of the Circulatory System. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41844 to section 41518.2 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41848. Diseases of the Respiratory System. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41848 to section 41518.3 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41852. Diseases of the Digestive System. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41852 to section 41518.4 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41856. Diseases of the Genitourinary System. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41856 to section 41518.5 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41864. Diseases of the Skin and Subcutaneous Tissues. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41864 to section 41518.6 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41866. Diseases of the Musculoskeletal System and Connective Tissue. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41866 to section 41518.7 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41868. Congenital Anomalies. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41868 to section 41518.8 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41870. Perinatal Morbidity and Mortality. [Repealed]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code. 
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 99, No. 37).
§41872. Accidents, Poisonings, Violence, and Immunization Reactions. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-23-99 as an emergency; operative 12-23-99 (Register 99, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-18-2000 as an emergency; operative 4-18-2000 (Register 2000, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-16-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-18-2000 order, including amendment of section, transmitted to OAL 5-24-2000 and filed 7-7-2000 (Register 2000, No. 27).
6. Change without regulatory effect renumbering former section 41872 to section 41518.9 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§41876. Pediatric Intensive Care. [Repealed]
Note     •     History

NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 123830 and 123835, Health and Safety Code.
HISTORY

1. New section filed 5-6-99 as an emergency; operative 5-6-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-99 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 99, No. 37).
§41900. Residential Eligibility Determination. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208, 249 and 274, Health and Safety Code. Reference: Sections 243 and 244, Government Code; and Sections 256 and 274, Health and Safety Code.
HISTORY

1. New section filed 1-7-92 as an emergency; operative 1-7-92 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 5-5-92 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-7-92 order including amendment of section transmitted to OAL 5-6-92 and filed 6-17-92 (Register 92, No. 25).
3. Change without regulatory effect repealing former chapter 5 and article 1 headings and renumbering former section 41900 to section 41519 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Chapter 9. Professional Medical Care Providers
Article 1. General Provisions
§42000. General Supervision.
Note     •     History

General supervision, for purposes of reimbursement by CCS is the overall responsibility for the supervision of the total care for a CCS patient, and includes providing and/or arranging for necessary treatment and follow-up care as authorized by the CCS agency in accordance with Section 41770. A CCS panel podiatrist may provide general supervision only if all aspects of the patient's treatment program are within the scope of podiatric licensure.
NOTE

Authority cited: Sections 20 and 100275, Health and Safety Code. Reference: Sections 123880, 123925 and 123955, Health and Safety Code.
HISTORY

1. New section filed 1-7-92 as an emergency; operative 1-7-92 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 5-5-92 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-7-92 order including amendment of subsections (a), (b), (b)(1), (b)(1)(B)1.b., (c), (e), (e)(4), (e)(4)(B), (e)(5), (e)(7), (e)(7)(C)1. and (e)(7)(C)2., new subsections (e)(7)(B)3.-(e)(7)(B)6., and amendment of Note transmitted to OAL 5-6-92 and filed 6-17-92 (Register 92, No. 25).
3. Change without regulatory effect relocating chapter 9 and article 1 headings from preceding section 42305 to preceding section 42000, renumbering former section 42000 to section 41610 and renumbering former section 42305 to section 42000, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 3. Physicians
§42020. Diagnostic Services.
Note     •     History

Physicians rendering diagnostic services shall be specialists who are certified by their respective specialty boards, except that physicians eligible by training for the certifying examinations may be allowed three years in which to complete the final certification, or the Director may, upon the recommendation of an Advisory Credentials Committee, determine that an applicant physician possesses equivalent qualifications and may be permitted to participate as a physician specialist in the CCS program. A Credentials Committee, composed of ten American Board certified specialists of outstanding professional and personal character shall be appointed by the Director to review and advise upon the training, experience and professional ability of applicant physician specialists. This Committee shall convene for this purpose at least semiannually. Committee members will serve without compensation but shall be reimbursed for all expenses incidental to the performance of their responsibilities. This limitation does not apply to physicians on the panel as of the effective date of this regulation.
NOTE

Authority cited: Sections 20, 1509, 100275 and 123805, Health and Safety Code. Reference: Sections 123840, 123860 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect relocating article 3 heading from preceding section 42320 to preceding section 42020, renumbering former section 42320 to new section 42020, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42030. Treatment Services.
Note     •     History

Medical treatment shall be rendered by physicians who are certified by their respective specialty boards, except when in the opinion of the specialists, treatment may be delegated or shared with the family physician. Physicians who are not certified but who are eligible by training for the certifying examination may participate in the program for not more than three years. The Director may determine that an applicant physician possesses equivalent qualifications and may be permitted to participate as a physician specialist in accordance with the provisions of Chapter 9, Article 3. This limitation does not apply to physicians on the panel as of the effective date of this regulation.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123880, 123885 and 123925, Health and Safety Code; and Section 7572, Government Code.
HISTORY

1. Change without regulatory effect renumbering former section 42321 to new section 42030, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42050. Family Physician.
Note     •     History

(a) A CCS Panel Family Physician is a physician who has been approved (in accordance with subsection (b) of this regulation) to provide services through the CCS program and who meets all of the following participating standards:
(1) Is currently licensed by the California Board of Medical Quality Assurance.
(2) Has been certified by the American Board of Family Practice.
(3) Has expertise in the care of physically handicapped children as outlined in subsection (d) of this section.
(b) In order to be approved to provide services through the CCS program, a Family Physician must:
(1) Obtain a CCS Panel Application Form (MC 2100) from either the Department's CCS Branch or the county CCS Agency.
(2) Submit the completed application form (MC 2100) to the Department's CCS Branch.
(c) The Department shall acknowledge receipt of the CCS Panel Application within five work days and shall within ten working days, approve the application, or deny it, or return it for additional information. This five to ten day median is based upon a minimum of two days and a maximum of ten days actual experience in 1985 and 1986.
(d) Panel members required by Section 123885 of the Health and Safety Code to have expertise in the care of children shall have at least five years of experience treating physically handicapped children, or have treated 100 or more such children.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123880 and 123885, Health and Safety Code.
HISTORY

1. New section filed 1-7-92 as an emergency; operative 1-7-92 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 5-5-92 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-7-92 order including amendment of subsections(b), (d)(3)(A), and (e) and amendment of Note transmitted to OAL 5-6-92 and filed 6-17-92 (Register 92, No. 25).
3. Change without regulatory effect renumbering former section 42050 to section 41670 and renumbering former section 42326 to section 42050, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 4. Other Health Care Professionals
§42075. Podiatrists.
Note     •     History

(a) A CCS Panel Podiatrist is a podiatrist who has been approved (in accordance with subsection (b) of this regulation) to provide services through the CCS program and who meets all of the following participating standards.
(1) Is licensed by the Podiatry Examining Committee of the California Board of Medical Quality Assurance.
(2) Has been certified by the American Board of Podiatric Surgery and/or the American Board of Podiatric Orthopedics.
(3) Has expertise in the care of physically handicapped children as outlined in subsection (d) of this section.
(b) In order to be approved to provide services through the CCS program; a podiatrist must:
(1) Obtain a CCS Panel Application Form (MC 2100) from either the Department's CCS Branch or the county CCS Agency.
(2) Submit the completed CCS Panel Application form (MC 2100) to the Department's CCS Branch for review.
(c) The Department shall acknowledge receipt of the CCS Panel Application within five days and shall, within ten working days, approve the application, or deny it, or return it for additional information. This five to ten day medium is based upon a minimum of two days and a maximum of ten days actual experience during 1985 and 1986.
(d) Panel members required by Section 123885 of the Health and Safety Code to have expertise in the care of children shall have at least five years of experience treating physically handicapped children, or have treated 100 or more such children.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123880 and 123885, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect repealing chapter 6 and article 2 headings, relocating article 4 heading from preceding section 42330 to preceding section 42075, renumbering former section 42075 to section 41671 and renumbering former section 42330 to section 42075, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Chapter 10. Hospital Providers
Article 1. General Provisions
§42110. Facilities.
Note     •     History

Hospital care shall be provided in institutions licensed by the Department after January 1, 1946, or in county hospitals meeting equivalent standards.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 1254, 123840 and 123925, Health and Safety Code.
HISTORY

1. New section filed 1-7-92 as an emergency; operative 1-7-92 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 5-5-92 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-7-92 order including amendment of subsection heading and subsection (a), new subsections (a)(8)-(a)(10), and amendment of Note transmitted to OAL 5-6-92 and filed 6-17-92 (Register 92, No. 25).
3. Change without regulatory effect repealing article 3 heading, relocating chapter 10 and article 1 headings from preceding section 42400 to preceding section 42110, renumbering former section 42110 to section 41672 and renumbering former section 42400 to section 42110, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42115. Separate Facilities for Children.
Note     •     History

Separate facilities for the exclusive use of children under 14 years of age shall be provided. Facilities for infants shall be separate from those of older children.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123850 and 123925, Health and Safety Code.
HISTORY

1. New section filed 1-7-92 as an emergency; operative 1-7-92 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 5-5-92 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-7-92 order including amendment of subsections (c)(3)(A)1. and (c)(3)(A)2., and amendment of Note transmitted to OAL 5-6-92 and filed 6-17-92 (Register 92, No. 25).
3. Change without regulatory effect repealing article 4 heading and renumbering former section 42115 to section 41674 and renumbering former section 42401 to section 42115, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42120. Isolation.
Note     •     History

Proper isolation facilities shall be provided for children who develop communicable diseases.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123840 and 123925, Health and Safety Code.
HISTORY

1. New section filed 1-7-92 as an emergency; operative 1-7-92 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 5-5-92 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-7-92 order including amendment of Note transmitted to OAL 5-6-92 and filed 6-17-92 (Register 92, No. 25).
3. Change without regulatory effect renumbering former section 42120 to section 41676 and renumbering former section 42402 to sect6ion 42120, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42125. Nursing Requirements.
Note     •     History

The supervisor or head nurse of the facility where crippled children are cared for shall have had postgraduate training or experience in pediatric nursing.
There shall be sufficient staff to provide adequate nursing care. It is recommended that an average of 5.5 hours of nursing care per patient for infants and 4.3 hours for older children be provided during each 24 hours.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123840 and 123925, Health and Safety Code.
HISTORY

1. New section filed 1-7-92 as an emergency; operative 1-7-92 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 5-5-92 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-7-92 order including amendment of subsections (a), (e), and (e)(1)(D) and Note transmitted to OAL 5-6-92 and filed 6-17-92 (Register 92, No. 25).
3. Change without regulatory effect repealing article 5 heading and renumbering former section 42125 to section 41684 and renumbering former section 42403 to section 42125, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42126. Clinical Laboratories.
Note     •     History

Clinical laboratories shall meet the standards outlined in Division 2, Chapter 3 of the California Business and Professions Code.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123850 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 42404 to new section 42126, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42127. Dietary Services.
Note     •     History

Dietary service shall provide for the adequate nutrition of children.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123840 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 42405 to new section 42127, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42128. Physical and Occupational Therapy.
Note     •     History

(a) Hospitals treating orthopedic cases shall provide physiotherapy personnel and equipment adequate to carry out the recommended treatment.
(b) Hospitals providing long-time care to handicapped children shall offer adequate educational and occupational therapy services.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123840 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 42406 to new section 42128, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42129. Social Worker Services.
Note     •     History

It is desirable that medical social services by qualified hospital personnel be available.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123840 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 42407 to new section 42129, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 4. Special Hospital
§42130. Special Hospital.
Note     •     History

Where hospital care is required for certain limited or specialized types of cases, hospitals which do not meet all of the above requirements may be used, provided it has been determined by the Department that the hospital can provide adequate services to meet the special need.
NOTE

Authority cited: Sections 20, 100275 and 123805, Health and Safety Code. Reference: Sections 123840 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect repealing chapter 7 and article 3 headings, relocating article 4 heading from preceding section 42420 to preceding section 42130, renumbering former section 42130 to section 41700 and renumbering former section 42420 to section 42130, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Chapter 13. Resolution of Complaints and Appeals by CCS Clients or Applicants
Article 1. Notice of Action
§42131. Written Notice of Action.
Note     •     History

(a) “Notice of Action” is a written notice of the action taken by a CCS agency, which notice is to be sent pursuant to section 42132.
(b) The CCS Notice of Action shall include:
(1) A description of the action proposed.
(2) The basis of the action.
(3) The date of the notice of action.
(4) The effective date of the action.
(5) The law, regulation, or policy supporting the action.
(6) The business address, phone number and name of the program director of the CCS agency taking the action.
(7) Information explaining the applicant's or client's right of appeal, the right to request continuation of services during appeal, the right to review the medical record, the right to appoint a representative, how to initiate an appeal, appeal deadlines, and the address of where to obtain detailed information and assistance on the process.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect relocating chapter 13 and article 1 headings from preceding section 42700 to preceding section 42131, renumbering former section 42131 to section 41701 and renumbering former section 42700 to section 42131, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42132. Reasons for Notice of Action.
Note     •     History

(a) A written Notice of Action shall be sent to the applicant, client and/or legal guardian, or authorized representative within seven calendar days of the decision by the designated CCS agency when:
(1) The applicant is being denied financial, residential, or medical eligibility following completion of the written application to the CCS program.
(2) A request for a new medical service or program benefit not currently being provided to a client or when continuation of a CCS medical service or program benefit currently authorized is denied.
(3) The client's eligibility for the CCS program is discontinued.
(4) The amount the family must repay the program for treatment services is increased. However, if the family agrees with the new amount and signs a dated statement, which statement may be prepared by either the family or the agency, agreeing to the new amount, the family's copy of the statement constitutes written Notice of Action. No form is required.
(5) The request in subsection (a)(2) is approved, but is modified by the CCS program to reduce the frequency or duration, to change the place or provider of service, or to alter the nature of the medical services or benefit requested.
(b) The reduction, termination, or modification of current services or benefits does not require a written notice of action when:
(1) The reduction, termination, increase, or other modification is ordered by the CCS physician who is providing medical supervision of the client; or
(2) The reduction, termination or modification is with the consent of the client or person legally authorized to consent for the client; or
(3) Services or benefits were authorized for a limited duration as requested by the CCS provider, the client was so advised, and the date the service or benefit is to be terminated is the same as the termination date requested by the provider and approved by the CCS agency; or
(4) The client is in a licensed acute care or subacute medical care facility.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805, 123835, 123850, 123865, 123870, 123905 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42132 to section 41702 and renumbering former section 42701 to section 42132, including amendment of subsection (a) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 2. Designated CCS Agency
§42140. Right to Appeal.
Note     •     History

(a) A CCS applicant or client who disagrees with a decision of the designated CCS agency has the right to appeal that decision except when the service under dispute has been ordered or terminated by a CCS physician with responsibility for the medical supervision of the client. If the client or person legally authorized to decide for the client disagrees with the CCS physician, the client shall be provided with names of three expert physicians from whom the client will choose one, who will evaluate the child at CCS expense. The opinion of the expert physician shall be final.
(b) The agency need not grant a hearing if the sole issue is a Federal or State law requiring an automatic change adversely affecting some or all recipients.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123850 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect relocating article 4 heading from preceding section 42140 to preceding section 41740, relocating article 2 heading from preceding section 42702 to preceding section 42140, renumbering former section 42140 to section 41740 and renumbering former section 42702 to section 42140, including amendment of subsection (a) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42160. First Level Appeal.
Note     •     History

(a) If the CCS client or applicant is not satisfied with a decision, he or she may submit a written appeal. Appeals in response to a Notice of Action shall be postmarked within 30 calendar days from the date of the Notice of Action.
(b) The written appeal shall describe the issues(s); shall provide available pertinent information to support the client or applicant's request, and the action, decision or relief sought, including any request for continuation of CCS services during the appeal process.
(c) Appeals shall be sent to the CCS program in the county of residence as designated below:
(1) In a county which administers CCS services “independently” in accordance with section 123850 of the Health and Safety Code, the appeal shall be directed to the program director or designee of the county CCS agency.
(2) In all other counties, the appeal shall be sent to the State CCS Regional Office for that county.
(d) The designated CCS agency shall upon request assist the client or applicant to complete the request for an appeal. No form is required for requesting an appeal.
(e) Within 21 calendars days of receipt of the written appeal the designated CCS agency shall review the appeal and, if sufficient information is available, mail the written response with the basis for the decision, including pertinent facts and the supporting statues, or regulations, to the CCS client or applicant. If additional information is required to make the decision, the response to the appeal shall be mailed within 21 calendar days of receipt of the additional information.
(f) If the decision of the CCS agency does not resolve the issue(s) to the satisfaction of the CCS client or applicant, the issue(s) may be appealed to a CCS Fair Hearing as provided for in section 42180.
(g) The CCS agency shall maintain a copy of the appeal file in the claimant's case record.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123850 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42160 to section 41760 and renumbering former section 42703 to section 42160, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Article 3. CCS Fair Hearing
§42180. Request for CCS Fair Hearing.
Note     •     History

(a) An applicant for or client of CCS whose appeal, submitted in accordance with section 42160, has been denied, may request a CCS Fair Hearing as follows:
(1) A written request shall be filed with the Director within 14 calendar days of the date of the written appeal decision. The request for CCS Fair Hearing shall be submitted with the written decision rendered in accordance with section 42160, and shall be signed by the applicant or client or legal guardian.
(2) If the Department determines that the request is not specific or that necessary information is lacking, the Department shall notify the applicant or client within 14 calendar days. The applicant or client shall be granted 14 calendar days after the date of request for information to submit the additional information.
(3) If the information requested by the CCS agency is not provided by the appellant within 14 calendar days, the Hearing Officer may defer or deny the request for a Fair Hearing.
(4) The written request for a CCS Fair Hearing may be amended by the applicant or client any time during the 14 calendar day period.
(b) All late requests for a CCS Fair Hearing shall be denied and the decisions written in accordance with section 42160 shall be final unless the applicant or client upon receiving such denial establishes with the Department, in writing, good cause for the late filing. Decisions regarding good cause shall be made by the Hearing Officer.
(c) The CCS agency shall supply a copy of the discoverable appeal documents to the Department, the Hearing Officer, and the claimant upon request.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123850 and 123925, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect repealing article 6 heading, relocating article 3 heading from preceding section 42705 to preceding section 42180, renumbering former section 42180 to section 41770 and renumbering former section 42705 to section 42180, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42305. Notice of CCS Fair Hearing.
Note     •     History

Written notice of the time and place of a CCS Fair Hearing shall be mailed to each party at least 30 calendar days before the date of hearing.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect relocating chapter 9 and article 1 headings from preceding section 42305 to preceding section 42000 and renumbering former section 42305 to section 42000 and renumbering former section 42705 to section 42305, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42320. Time and Place of Formal Fair Hearing.
Note     •     History

The Hearing Officer shall determine the time and place of the Fair Hearing. The Fair Hearing shall be reasonably accessible to the client or applicant requesting the hearing.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect relocating article 3 heading from preceding section 42320 to preceding section 42020 and renumbering former section 42320 to new section 42020 and renumbering former section 42707 to section 42320, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42321. Continuation.
Note     •     History

(a) If the CCS client's request for appeal or CCS Fair Hearing includes a request for continuation or resumption of services previously authorized by the CCS agency, during the time the appeal is under active consideration, the medical decision regarding the need for continuation of medically necessary services shall occur as follows:
(1) If the appeal or Fair Hearing request concerns continuing financial or residential eligibility, the client's request for continuation of previously authorized medical services shall be decided by the prescribing physician.
(2) If the appeal or Fair Hearing request concerns medical eligibility or the need for the continuation of previously authorized medical services, the CCS agency director shall authorize that the client be evaluated by an expert physician whose specialty encompasses the client's medical condition and/or service at issue and who is not a CCS employee or under consultant contract with CCS.
Within five days of the receipt of the request for evaluation, the CCS agency shall provide the client, parent(s), and/or legal guardian with the names of three such physicians. Within five days of the receipt of the names of the three physicians the client, parent(s) and/or legal guardian shall choose one physician whom the CCS agency shall authorize to perform the evaluation.
Within five days of notification to CCS of the choice of physician the CCS agency shall contact the physician to set up an appointment for an evaluation. The evaluation shall be at a time mutually acceptable to the client and the physician. Medically necessary benefits shall continue until the evaluation has been completed and the physician's recommendation received by CCS.
(b) Benefits and services shall be continued or resumed pursuant to section 42321, pending the outcome of the administrative appeal, from the date of the first letter of appeal, if any of the following exists:
(1) The expert physician finds upon evaluation that a termination or change of the client's current medical services will result in:
(A) potential injury or loss of life to the client; or
(B) measurable, significant loss of physical functioning; or
(C) significant risk of deterioration of the client's condition if the medically necessary benefits are discontinued.
(2) No other reasonable alternative exists for the provision of such services.
(3) The service or benefit being appealed is an approved CCS program benefit.
(c) Failure of the client, parent(s) or representative to agree to an evaluation or failure to keep the appointment shall result in denial of continuation of services.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42321 to new section 42030 and renumbering former section 42708 to section 42321, including amendment of subsection (b) and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42326. Hearing Officer's Authority.
Note     •     History

The Hearing Officer may, on his/her own motion or the motion of any party, as the Hearing Officer deems appropriate:
(a) Consolidate for hearing or decision any number of issues or appeals when the facts and circumstances are similar and no substantial right of any party will be prejudiced.
(b) Combine other related hearings to the extent confidentiality is not violated, grant continuances, and hold additional Fair Hearings as necessary to dispose of all issues.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42326 to section 42050 and renumbering former section 42709 to section 42326, including amendment of first paragraph and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42330. Discovery.
Note     •     History

(a) When the request for a CCS Fair Hearing has been accepted, a party to the hearing, by a request in writing to the other party, is entitled to:
(1) Obtain the names and addresses of witnesses to the extent known to the other party, limited to those intended to be called to testify at the Fair Hearing.
(2) Inspect and make a copy of any records in accordance with the provisions of section 11507.6 of the Government Code.
(b) Nothing in this section shall authorize the inspection or copying of any writing or item which is privileged from disclosure by law or otherwise made confidential or protected as the attorney's work product.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code; and Section 11507.6, Government Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect relocating article 4 heading from preceding section 42330 to preceding section 42075 and renumbering former section 42330 to section 42075 and renumbering former section 42710 to section 42330, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42400. Subpoenas.
Note     •     History

(a) Prior to and during the hearing the Hearing Officer may issue subpoenas as deemed necessary.
(b) Where a witness is material and necessary but attendance presents undue hardship on a medical professional's time and practice commitments, testimony may be taken by telephone conferencing.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect relocating chapter 10 and article 1 headings from preceding section 42400 to preceding section 42110 and renumbering former section 42400 to section 42110 and renumbering former section 42711 to section 42400, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42401. Preparation for CCS Fair Hearing.
Note     •     History

A party appearing at a CCS hearing shall have necessary evidence and witnesses present and be ready to proceed. Each party shall make available sufficient copies, as indicated by the Hearing Officer, of any documents to be introduced in evidence.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42401 to section 42115 and renumbering former section 42712 to section 42401, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42402. Conduct of CCS Fair Hearing.
Note     •     History

(a) Testimony shall be taken only on oath or affirmation.
(b) The proceedings at the CCS Fair Hearing shall be electronically recorded.
(c) The Fair Hearing need not be conducted according to the technical rules of evidence and those related to witnesses. Any relevant evidence shall be admitted. Hearsay evidence shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions.
(d) The Hearing Officer may question any party or witness and may admit any relevant and material evidence.
(e) The Hearing Officer shall control the taking of evidence in a manner best suited for learning the facts and safeguarding the rights of the parties. Prior to taking evidence, the Hearing Officer shall set forth the order in which evidence will be received.
(f) The applicant or client shall present his or her findings and evidence at the hearing. The applicant or client has the responsibility of demonstrating that the appeal findings were not correctly made. Once the applicant or client has presented his or her case, the responsibility shifts to the Department to demonstrate that the Department's position regarding disputed issues is correct.
(g) The hearing shall be conducted in the English language. If a party to the hearing is not proficient in the English language and requests language assistance, the Hearing Officer shall require the Department to provide an interpreter.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code; and Section 11181, Government Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42402 to section 42120 and renumbering former section 42713 to section 42402, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42403. Offical Notice.
Note     •     History

The Hearing Officer shall take official notice of those matters which must be judicially noticed by a court under section 451 of the Evidence Code. The Hearing Officer may take official notice of those matters set forth in section 452 of the Evidence Code.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code; and Sections 451 and 453, Evidence Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42403 to section 42125 and renumbering former section 42714 to section 42403, including amendment of section heading, section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42404. Continued Hearings.
Note     •     History

A Hearing Officer may continue a CCS Fair Hearing to another time or place upon his or her initiative. Oral notice of the time and place of the continued CCS Fair Hearing shall be given to each party present at the CCS Fair Hearing. Such oral notice shall be confirmed in writing by the Hearing Officer subsequent to the CCS Fair Hearing and prior to the continued hearing.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42404 to new section 42126 and renumbering former section 42715 to section 42404, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42405. Evidence.
Note     •     History

(a) Notwithstanding any other provision of these regulations, and unless otherwise ordered by the assigned Hearing Officer, the parties shall exchange copies of all documents and other items to be offered into evidence at the hearing other than those for impeachment or rebuttal. Each proposed exhibit shall be premarked for identification.
(b) Prior to the commencement of the CCS Fair Hearing, any party proposing to object to the receipt in evidence of any proposed exhibit shall advise the opposing party of such objection. The parties shall confer with respect to any objections in advance of the CCS Fair Hearing and attempt to resolve the objections. Failure to comply with the requirements of (a) above shall constitute a ground for objection to the introduction of undisclosed documents and other items into evidence other than for impeachment or rebuttal.
(c) In all cases, the Hearing Officer, in order to obtain additional evidence necessary for the proper determination of the case may:
(1) continue the CCS Fair Hearing and hold the record open for either party to produce additional evidence;
(2) close the hearing and hold the record open in order to permit the introduction of additional documentary evidence. Any material submitted after the close of the CCS Fair Hearing shall be made available to both parties and each party shall have the opportunity for rebuttal;
(3) order a further CCS Fair Hearing if the nature of the additional evidence or the refutation thereof makes a further hearing necessary.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42405 to new section 42127 and renumbering former section 42716 to section 42405, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42406. Representation at a CCS Fair Hearing.
Note     •     History

(a) A Hearing Officer may refuse to allow any person to represent a party in any hearing when the person:
(1) engages in unethical, disruptive or contemptuous conduct; or
(2) intentionally fails to comply with the proper instructions or orders of the Hearing Officer or with the provisions of this article.
(b) This section shall not be construed to limit the right of a party or its representative to make evidentiary and procedural objections and state the reasons therefor.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42406 to new section 42128 and renumbering former section 42717 to section 42406, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42407. Oral Argument and Briefs.
Note     •     History

(a) The Hearing Officer shall grant oral argument and may grant written argument at the request of any party made prior to the close of the CCS Fair Hearing. The parties shall be advised as to the time and manner within which written argument is to be filed.
(b) The Hearing Officer may require any party to submit written memorandum pertaining to any or all issues raised in the CCS Fair Hearing.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect renumbering former section 42407 to new section 42129 and renumbering former section 42718 to section 42407, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42420. Disqualification of Hearing Officer.
Note     •     History

(a) A Hearing Officer shall voluntarily withdraw from any proceedings in which he/she:
(1) cannot conduct a fair or impartial hearing; or
(2) has prior knowledge of or involvement with either party, or may benefit personally from the outcome of a hearing.
(b) A party may request the disqualifications of a Hearing Officer by filing a notarized statement with the Department stating in detail the grounds upon which it is claimed that a fair and impartial hearing cannot be given or that the Hearing Officer has an interest in the proceeding. The Department, through the Chief Hearing Officer or Chief Counsel of the hearing entity, shall:
(1) Investigate the allegations and advise the complaining party in writing of the decision granting or denying the request to disqualify the Hearing Officer. A copy of the decision shall be mailed to the other parties; or
(2) Provide for reassignment of the case to another Hearing Officer without investigation.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805 and 123850, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect relocating article 4 heading from preceding section 42420 to preceding section 42130 and renumbering former section 42420 to section 42130 and renumbering former section 42719 to section 42420, including amendment of Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42700. Decision.
Note     •     History

(a) The Hearing Officer shall take the matter being appealed under submission at the conclusion of the hearing. A proposed decision, that may be adopted as the decision of the Director, shall be submitted to the Director.
(b) The Director shall take one of the following actions:
(1) adopt the proposed decision in its entirety; or
(2) reject the proposed decision and decide the matter himself or herself based upon the record including the transcript; or
(3) order a further hearing to take additional evidence. If the case is so assigned, the Hearing Officer shall prepare a proposed decision as provided in subsection (a), upon the additional evidence and the record of the prior hearing.
(c) The decision shall state the basis for the decision and the evidence relied upon, and shall be final upon adoption by the Director.
(d) The Director shall issue a decision within 90 days of a request for a CCS Fair Hearing, when the request is made as specified in section 42180, subsections (a) through (c), except in those cases where the claimant waives the 90-day requirement, the claimant withdraws or abandons the request for hearing, the Hearing Officer or Director requires additional information to make a decision and such information is not made available to meet the 90-day period, a continuance is granted or the Director orders a further hearing. If the claimant conditionally withdraws the hearing request, the 90-day period shall begin on the date the request for hearing is reinstated by the Hearing Officer. If the claimant waives the 90-day requirement or required information is not available to meet the 90-day requirement, a decision will be made by the Director within 45 days of the close of the record of the hearing.
NOTE

Authority cited: Sections 20, 100275(a) and 123805, Health and Safety Code. Reference: Sections 123805, 123850 and 123925, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect relocating chapter 13 and article 1 headings from preceding section 42700 to preceding section 42131, renumbering former section 42700 to section 42131 and renumbering former section 42720 to section 42700, including amendment of section and Note, filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42701. Reasons for Notice of Action. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249, 250.6, 252, 254, 255, 258 and 262, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect filed 1-24-91 pursuant to section 100, title 1, California Code of Regulations; operative 1-30-91 (Register 91, No. 8).
3. Change without regulatory effect renumbering former section 42701 to section 42132 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42702. Right to Appeal. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 252 and 262, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect relocating article 2 heading from preceding section 42702 to preceding section 42140 and renumbering former section 42702 to section 42140 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42703. First Level Appeal. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 252 and 262, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 42703 to section 42160 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42705. Request for CCS Fair Hearing. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 252 and 262, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect amending subsection (a)(2) filed 1-24-91 pursuant to section 100, title 1, California Code of Regulations; operative 1-30-91 (Register 91, No. 8).
3. Change without regulatory effect relocating article 3 heading from preceding section 42705 to preceding section 42180 and renumbering former section 42705 to section 42180 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42706. Notice of CCS Fair Hearing. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 42706 to section 42305 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42707. Time and Place of Formal Fair Hearing. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 42707 to section 42320 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42708. Continuation. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect filed 1-24-91 pursuant to section 100, title 1, California Code of Regulations; operative 1-30-91 (Register 91, No. 8).
3. Change without regulatory effect renumbering former section 42708 to section 42321 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42709. Hearing Officer's Authority. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 42709 to section 42326 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42710. Discovery. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 42710 to section 42330 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42711. Subpoenas. [Renumbered]
Note     •     History

NOTE

Authority Cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 42711 to section 42400 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42712. Preparation for CCS Fair Hearing. [Renumbered]
Note     •     History

NOTE

Authority Cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 42712 to section 42401 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42713. Conduct of CCS Fair Hearing. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code; and Section 11181, Government Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 42713 to section 42402 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42714. Office Notice. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code; and Sections 451 and 452, Evidence Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect filed 1-24-91 pursuant to section 100, title 1, California Code of Regulations; operative 1-30-91 (Register 91, No. 8).
3. Change without regulatory effect renumbering former section 42714 to section 42403 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42715. Continued Hearings. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect filed 1-24-91 pursuant to section 100, title 1, California Code of Regulations; operative 1-30-91 (Register 91, No. 8).
3. Change without regulatory effect renumbering former section 42715 to section 42404 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42716. Evidence. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect filed 1-24-91 pursuant to section 100, title 1, California Code of Regulations; operative 1-30-91 (Register 91, No. 8).
3. Change without regulatory effect renumbering former section 42716 to section 42405 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42717. Representation at a CCS Fair Hearing. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code. 
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect filed 1-24-91 pursuant to section 100, title 1, California Code of Regulations; operative 1-30-91 (Register 91, No. 8).
3. Change without regulatory effect renumbering former section 42717 to section 42406 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42718. Oral Argument and Briefs. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect renumbering former section 42718 to section 42407 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42719. Disqualification of Hearing Officer. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249 and 252, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect filed 1-24-91 pursuant to section 100, title 1, California Code of Regulations; operative 1-30-91 (Register 91, No. 8).
3. Change without regulatory effect renumbering former section 42719 to section 42420 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42720. Decision. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 249, Health and Safety Code. Reference: Sections 249, 252 and 262, Health and Safety Code.
HISTORY

1. New section filed 12-31-90; operative 1-30-91 (Register 91, No. 8).
2. Change without regulatory effect filed 1-24-91 pursuant to section 100, title 1, California Code of Regulations; operative 1-30-91 (Register 91, No. 8).
3. Change without regulatory effect renumbering former section 42720 to section 42700 filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Chapter 14. Other CCS Programs [Repealed]
Article 1. Immunization Adverse Reaction Fund [Repealed]
§42800. Fund Administration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 429.35, Health and Safety Code. Reference: Section 429.35, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect repealing chapter 14, article 1 (sections 42800-42801) and section filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§42801. Use of Fund. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 429.35, Health and Safety Code. Reference: Section 429.35, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations adding new section filed 3-9-90 (Register 90, No. 13). For prior history, see Title 17, Part I, Subchapter 3, Sections 2890-2923, not consecutive.
2. Change without regulatory effect repealing section filed 1-28-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
Division 2.1. Department of Rehabilitation
Chapter 1. Programs for the Blind*
NOTE

Authority cited: Section 19006, Welfare and Institutions Code. Reference: Sections 19625 to 19633, Welfare and Institutions Code and Section 3(5) of Randolph-Sheppard Vending Act as amended (P.L. 732, 74th Congress as amended by Section 4 of P.L. 565, 83rd Congress), and in accordance with Federal regulations and Calif. State Plan for Vocational Rehabilitation adopted pursuant to Chapter IV, Title 45, CFR.
HISTORY

1. Chapter 1.1 (Sections 7000-7071) of Title 5, editorially renumbered 47000-47071 of Title 22 (Register 66, No. 9). For prior history, see Register 60, No. 12.
2. Repealer of Subchapter 1 (§§47000-47071) and new Subchapter 1 (§§47000-47009, 47020-47023, 47030-47034, 47036-47041, 47050-47055, 47060-47065, 47070, 47071) filed 3-24-72; designated effective 7-1-72 (Register 72, No. 13).
3. Repealer of Chapter 1 (Subchapter 1, Articles 1-7, Sections 47000-47071, not consecutive) filed 10-12-77; effective thirtieth day thereafter (Register 77, No. 42).

*See Article 12, Subchapter 5, Chapter 3 of Title 9.
Chapter 2. Vocational Rehabilitation Programs*
NOTE

Authority cited: section 19006, Welfare and Institutions Code. Reference: Section 19700 et seq., Welfare and Institutions Code.
HISTORY

1. Division 2.1 (Section 48000) editorially transferred to Title 9, Chapter 3 (Section 7350) (Register 78, No. 42). For history of former Section 48000, see Registers 70, Nos. 29, 26 and 12; and 69, No. 26.

*See Subchapter 11, Chapter 3 of Title 9.
Division 3. Health Care Services
Subdivision 1. California Medical Assistance Program*

(Originally Filed 2-28-66)
NOTE

Authority cited for Subdivision 1: Sections 14100, 14105 and 14106, Welfare and Institutions Code. Additional authority cited for regulations filed on 9-30-71: Sections 14005.6, 14106.5, 14122, 14124.5, 14134, W. & I. Code, and Sec. 53.6 of Chapter 577, Stats. of 1971. Additional authority cited: Section 14124.5, Welfare and Institutions Code. Additional authority cited for regulation filed 1-18-74: Sections 10541, 10553.1, 10554, 10554.1, 11004, 11050, 11100, 14000, 14005.1, 14005.2, 14005.4, 14005.7, 14008, 14016, 14017, 14023, 14051, 14053, 14053.6, 14060, 14061, 14100.1, 14132, 14184 and 14329, Welfare and Institutions Code. Reference: Sections 11004, 11050, 11100, 14000, 14005.1, 14005.2, 14005.4, 14005.6, 14005.7, 14008, 14016, 14017, 14023, 14051, 14053, 14053.6, 14059, 14100.1, 14132, 14133, 14184, 14256, 14261, 14301 and 14329, Welfare and Institutions Code.
Chapter 1. Introduction
§50000. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Shall means mandatory. May means permissive. Should means suggested or recommended.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14124.5, Welfare and Institutions Code.
HISTORY

1. Repealer of Chapter 1 (Sections 50001-50011, not consecutive) and new Chapter 1 (Sections 50000-50009, 50009.1-50009.3) filed 12-20-76 as an emergency; designated effective 1-1-77. Certificate of Compliance included (Register 76, No. 52). For history of former Chapter 1, see Registers 66, Nos. 6 and 36; 67, Nos. 8, 15 and 23; 68, No. 43; 71, No. 40; 72, No. 5; 73, No. 26; 74, No. 3. For history of Subdivision 1, see Register 66, No. 6.
2. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§50001. Department. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10554.1 and 14124.5, Welfare and Institutions Code. Reference: Sections 17.1, 10000, 10002, 10020, 10021, 10022, 10023, 10024, 10025, 10052, 10058, 10554.1, 10555, 10600, 10608, 10800, 10800.1, 10803, 10806, 10809, 10850, 10851, 10852, 10853, 10900, 10950, 10951, 10952, 10953, 10954, 10956, 10957, 10958, 10959, 10960, 10961, 10962, 10963, 10964, 10965, 11000, 11002, 11003, 11004, 11005.5, 11008, 11008.2, 11008.6, 11008.7, 11008.9, 11008.10, 11018, 11050, 11051, 11052, 11053, 11054, 11055, 11057, 11100, 11102, 11150, 11151, 11152, 11153.7, 11155, 11157, 11158, 11205, 11257, 11452, 12150, 12152, 12305, 13000, 14000, 14000.2, 14001, 14002, 14003, 14005, 14005.1, 14005.4, 14005.7, 14005.8, 14005.9, 14005.12, 14005.13, 14006, 14007, 14008, 14008.5, 14009, 14011, 14012, 14013, 14014, 14015, 14016, 14017, 14018, 14019, 14023, 14026, 14050.1, 14050.2, 14050.3, 14051, 14052, 14053, 14054, 14057, 14061, 14062, 14063, 14100.1, 14103.6, 14104.3, 14109, 14112, 14115, 14119, 14122, 14124.5, 14133, 14140, 14141, 14142, 14143, 14144, 14201 and 14252, Welfare and Institutions Code and Chapter 2, Part 1, Division 1, Article 3.1, Section 306 et seq., Health and Safety Code, and to implement, interpret or make specific Chapter 1252, Statutes of 1977 (SB 363), SB 1410 (1978) and SB 1596 (1978).
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
3. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§50002. Director. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10554.1 and 14124.5, Welfare and Institutions Code. Reference: Sections 17.1, 10000, 10002, 10020, 10021, 10022, 10023, 10024, 10025, 10052, 10058, 10554.1, 10555, 10600, 10608, 10800, 10800.1, 10803, 10806, 10809, 10850, 10851, 10852, 10853, 10900, 10950, 10951, 10952, 10953, 10954, 10956, 10957, 10958, 10959, 10960, 10961, 10962, 10963, 10964, 10965, 11000, 11002, 11003, 11004, 11005.5, 11008, 11008.2, 11008.6, 11008.7, 11008.9, 11008.10, 11018, 11050, 11051, 11052, 11053, 11054, 11055, 11057, 11100, 11102, 11150, 11151, 11152, 11153.7, 11155, 11157, 11158, 11205, 11257, 11452, 12150, 12152, 12305, 13000, 14000, 14000.2, 14001, 14002, 14003, 14005, 14005.1, 14005.4, 14005.7, 14005.8, 14005.9, 14005.12, 14005.13, 14006, 14007, 14008, 14008.5, 14009, 14011, 14012, 14013, 14014, 14015, 14016, 14017, 14018, 14019, 14023, 14026, 14050.1, 14050.2, 14050.3, 14051, 14052, 14053, 14054, 14057, 14061, 14062, 14063, 14100.1, 14103.6, 14104.3, 14109, 14112, 14115, 14119, 14122, 14124.5, 14133, 14140, 14141, 14142, 14143, 14144, 14201 and 14252, Welfare and Institutions Code and Chapter 2, Part 1, Division 1, Article 3.1, Section 306 et seq., Health and Safety Code, and to implement, interpret or make specific Chapter 1252, Statutes of 1977 (SB 363), SB 1410 (1978) and SB 1596 (1978).
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
3. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§50003. Medi-Cal Program. [Repealed]
History

HISTORY

1. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§50004. Medi-Cal Program Administration.
Note     •     History

(a) The Department is the single state agency approved by the Secretary of the Department of Health and Human Services to administer the Medi-Cal program.
(b) The Department shall administer the Medi-Cal program in accordance with the following:
(1) The State Plan under Title XIX of the Social Security Act.
(2) Applicable State law, as specified in the Welfare and Institutions Code.
(3) Medi-Cal regulations.
(c) The county welfare department in each county shall be the agency responsible for local administration of the Medi-Cal program under the direction of the Department.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10722, 10743, 11050, 14001.1 and 14100, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§50005. Medi-Cal Regulations.
Note     •     History

Regulations promulgated by the Department for purposes of administering the Medi-Cal program shall be known as Medi-Cal regulations. These regulations comprise Division 3, Title 22, California Administrative Code.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10060, 10743, 14002 and 14124.5, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§50006. Conformity with Federal Requirements. [Repealed]
History

HISTORY

1. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§50007. Fiscal Intermediary.
Note     •     History

Fiscal intermediary, as used in these regulations or in any other document pertaining to the Medi-Cal program and its administration, means any individual, partnership or association, corporation or institution contracting with the Department for the performance of fiscal services related to the program.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14000.3 and 14104.3, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§50008. Liens. [Repealed]
History

HISTORY

1. Repealer filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance transmitted to OAL 4-29-83 and filed 6-3-83 (Register 83, No. 23).
§50009. Medi-Cal Consultant.
Note     •     History

Medi-Cal consultant, as used in these regulations, means the appropriate professional individual employed by the Department to render advice and determinations in matters related to services provided under Medi-Cal. Appropriate Medi-Cal consultants shall personally review and sign any document as required by these regulations. Signatory authority of a Medi-Cal consultant shall not be delegated.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14119, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§50009.1. Medical Review.
Note     •     History

(a) Medical review means a periodic, not less than annual, evaluation of the health needs of each beneficiary in each mental hospital, skilled nursing facility and intermediate care facility. Medical Review is conducted by a Medical Review Team on behalf of the Department.
(b) Such review is to determine the quality and adequacy of the services being provided each beneficiary, the level of care required to meet each beneficiary's health needs and the necessity and desirability of the initial or continued placement of such patient in such facility.
(c) The review shall include a personal contact with and observation of each beneficiary and a review of each beneficiary's medical record by a Team member or members. The review may include a medical examination of the beneficiary by the Medi-Cal consultant when the consultant deems it necessary.
NOTE

Authority cited: Sections 10725, 10743 and 14124.5, Welfare and Institutions Code. Reference: Sections 14019.5, 14100.1, 14104 and 14119, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§50009.2. Medical Review Team.
Note     •     History

A Medical Review Team shall be comprised of a physician and other appropriate health and social service personnel necessary to conduct medical review.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14100.1, 14104, 14119 and 14133.1, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§50009.3. Health Care Services.
Note     •     History

Health care services means the medical services, social services, supplies, devices, drugs and any other medical care to which an eligible person is entitled pursuant to these regulations.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14021, 14053, 14132 and 14136, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
Chapter 2. Determination of Medi-Cal Eligibility and Share of Cost
Article 1. Definitions, Abbreviations and Program Terms
§50011. Definitions--General.
Note     •     History

The definitions in this article shall apply to Chapter 2 of this division unless the context requires otherwise.
NOTE

Authority cited for Chapter 2: Sections 10554.1 and 14124.5, Welfare and Institutions Code. Reference Sections 17.1, 10000, 10002, 10020, 10021, 10022, 10023, 10024, 10025, 10052, 10058, 10554.1, 10555, 10600, 10608, 10800, 10800.1, 10803, 10806, 10809, 10850, 10851, 10852, 10853, 10900, 10950, 10951, 10952, 10953, 10954, 10956, 10957, 10958, 10959, 10960, 10961, 10962, 10963, 10964, 10965, 11000, 11002, 11003, 11004, 11005.5, 11008, 11008.2, 11008.6, 11008.7, 11008.9, 11008.10, 11018, 11050, 11051, 11052, 11053, 11054, 11055, 11057, 11100, 11102, 11150, 11151, 11152, 11153.7, 11155, 11157, 11158, 11205, 11257, 11452, 12150, 12152, 12305, 13000, 14000, 14000.2, 14001, 14002, 14003, 14005, 14005.1, 14005.4, 14005.7, 14005.8, 14005.9, 14005.12, 14005.13, 14006, 14007, 14008, 14008.5, 14009, 14011, 14012, 14013, 14014, 14015, 14016, 14017, 14018, 14019, 14023, 14026, 14050.1, 14050.2, 14050.3, 14051, 14052, 14053, 14054, 14057, 14061, 14062, 14063, 14100.1, 14103.6, 14104.3, 14109, 14112, 14115, 14119, 14122, 14124.5, 14133, 14140, 14141, 14142, 14143, 14144, 14201 and 14252, Welfare and Institutions Code and Chapter 2, Part 1, Division 1, Article 3.1, Section 306 et seq., Health and Safety Code.
HISTORY

1. Repealer of Chapter 2 (Sections 50024-50750, not consecutive) and new Chapter 2 (Sections 50011-50955, not consecutive) filed 12-20-76 as an emergency; designated effective 1-1-77. Certificate of Compliance included (Register 76, No. 52). For history of former Chapter 2, see Registers 66, Nos. 6, 19, 30; 67, Nos. 23, 34, 52; 68, Nos. 21, 43; 69, Nos. 3, 31; 70, No. 27; 71, Nos. 40, 52; 72, Nos. 5, 18, 27, 31, 40, 52; 73, Nos. 4, 18, 19, 22, 26, 36, 41, 52; 74, Nos. 3, 18, 41, 45, 46; 75, Nos. 6, 17, 23, 32, 48; 76, Nos. 14, 27, 29, 43.
§50012. Abbreviations.
Note     •     History

The following abbreviations shall apply to chapter 2 of this division: 

ABD. 	Aged, Blind or Disabled. 

ABD-MN. 	Aged, Blind or Disabled--Medically Needy. 

AFDC. 	Aid to Families with Dependent Children. 

AFDC-MN. 	Aid to Families with Dependent Children--
	 Medically Needy. 

BRU. 	Benefits Review Unit. 

CETA. 	Comprehensive Employment and Training Act. 

CHDP. 	Child Health and Disability Prevention Program. 

EAS. 	Eligibility and Assistance Standards Manual. 

ETS. 	Employment Training Services. 

HIC. 	Social Security Health Insurance Claim Number. 

INS. 	Immigration and Naturalization Service. 

LTC. 	Long-Term Care. 

MBSAC. 	Minimum Basic Standard of Adequate Care. 

MFBU. 	Medi-Cal Family Budget Unit. 

MI. 	Medically Indigent. 

MN. 	Medically Needy. 

OASDI. 	Old Age Survivors and Disability Insurance. 

Other PA. 	Other Public Assistance. 

PA. 	Public Assistance. 

PCCM. 	Primary Care Case Management. 

PHP. 	Prepaid Health Plan. 

POE. 	Proof of Eligibility. 

SDX. 	State Data Exchange. 

SSN. 	Social Security Number. 

SSI/SSP. 	Supplemental Security Income/State Supplemental 
	 Program. 

UIB. 	Unemployment Insurance Benefits. 

WIN. 	Work Incentive Program. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1, 14050.1 and 14088, Welfare and Institutions Code. 
HISTORY

1. Amendment filed 3-5-81; effective thirtieth day thereafter (Register 81, No. 10). 
2. Amendment filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81. 
3. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5) 
4. Amendment filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
5. Amendment refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
6. Request to readopt amendment on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
8. Amendment filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§50013. Adequate Consideration.
Note     •     History

Adequate consideration means the receipt of cash or property which is fair and reasonable under the circumstances considering the net market value of property that is sold, converted or transferred.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14015, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50014. Adult.
Note     •     History

(a) Adult means:
(1) A person who is 21 years of age or older.
(2) A blind or disabled MN person who is 18 to 21 years of age, living in the home of a parent and not currently enrolled in school, college, university, or a course of vocational or technical training to prepare him/her for gainful employment.
(3) A person who is 18 to 21 years of age, who is not living in the home of a parent or caretaker relative, is not claimed as a tax dependent of his/her parent(s) and is not receiving out-of-home care from a public agency.
(4) A person 14 to 18 years of age who is not living in the home of a parent or caretaker relative and who does not have a parent, caretaker relative or legal guardian handling any of his/her financial affairs.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14008 and 14010, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. Amendment of subsection (a)(2), repealer of subsection (a)(3), subsection renumbering, amendment of newly designated subsection (a)(4), and amendment of Note filed 12-9-97; operative 1-8-98 (Register 97, No. 50).
§50015. Adverse Action.
Note     •     History

(a) Adverse action means an action taken by a county department which discontinues Medi-Cal eligibility or increases an MFBU's share of cost. The following shall not be considered to be adverse actions:
(1) Discontinuance due to any of the following reasons:
(A) Death, for a one-person MFBU.
(B) The whereabouts of the beneficiary is unknown and the post office has returned county department mail directed to the beneficiary indicating no forwarding address.
(C) Admission to an institution which renders the beneficiary ineligible.
(D) The beneficiary also has Medi-Cal eligibility under another identity or category, or in another county or state; or will have such dual eligibility as of the first of the coming month if discontinuance action is not taken.
(E) Receipt of the beneficiary's clear and signed written statement that does either of the following:
1. States the beneficiary no longer wishes Medi-Cal benefits.
2. Gives information that requires discontinuance and includes the beneficiary's acknowledgment that this must be the consequence of supplying such information.
(2) An increase in an MFBU's share of cost due to either of the following:
(A) The voluntary inclusion of eligible family members who currently are not receiving benefits under any Medi-Cal program.
(B) Receipt of the beneficiary's clear and signed statement which gives information which requires an increase in the share of cost and includes the beneficiary's acknowledgment that this must be the consequence of supplying such information.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10721, 10950 and 11050, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 5-30-80 as an emergency; effective upon filing (Register 80, No. 22). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-27-80.
3. Certificate of Compliance filed 9-26-80 (Register 80, No. 39).
4. Amendment of subsection (a)(2)(A) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
§50016. Aid.
Note     •     History

Aid means cash assistance, food stamps or Medi-Cal.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14050.2, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50017. Aid Category.

Aid category means the specific category under which a person is eligible to receive Medi-Cal.
§50018. Aid Code.

Aid code means the two-digit number which indicates the aid category under which a person is eligible.
§50019. Aid to Families with Dependent Children (AFDC).

Aid to Families with Dependent Children (AFDC) means the public assistance program that provides a cash grant and Medi-Cal to children deprived of parental support or care and their eligible relatives.
§50020. Aid to the Potentially Self-Supporting Blind (APSB). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1, and 14050.1, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33) A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
2. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
§50021. Applicant.

Applicant means the individual or family making, or on whose behalf is made, an application, request for restoration of aid or reapplication.
§50022. Application.

Application means a written request for aid.
§50023. Approval of Eligibility.

Approval of eligibility means the determination made by the county department that a person or family is eligible for Medi-Cal.
§50024. Beneficiary.
Note     •     History

Beneficiary means a person who has been determined eligible for Medi-Cal.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14252, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50025. Benefits Review Unit (BRU). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
2. Repealer filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§50025.3. Board and Care.
Note     •     History

(a) Board and care means receipt of board, room, personal care and designated supplemental services related to individual needs in one of the following nonmedical protective living environments certified in accordance with EAS 46-325.3 for a full calendar month:
(1) A licensed residential care facility.
(2) The home of a relative or legally appointed guardian or conservator, other than the home of a spouse or the home of a parent for a blind or disabled child.
(3) A home in which a child is placed by a court under Welfare and Institutions Code 727(a).
(4) An exclusive use home approved by a licensed home finding agency.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.13, Welfare and Institutions Code.
HISTORY

1. New section filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
§50025.5. Burial Insurance.
Note     •     History

Burial insurance means insurance which by its terms can only be used to pay the burial expenses of the insured.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. New section filed 3-7-80; as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 7-6-80.
2. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
3. Editorial correction of NOTE filed 7-7-83 (Register 83, No. 29).
§50025.6. California Standard Nomenclature (CSN), 1979. [Repealed]
Note     •     History

NOTE

Authority cited: Section 57(c), Chapter 328, Statutes of 1982; Section 14124.5, Welfare and Institutions Code. Reference: Sections 14132, 14133 and 14122.1, Welfare and Institutions Code; and Section 53, Chapter 328, Statutes of 1982.
HISTORY

1. New section filed 6-24-83 as an emergency; effective upon filing (Register 83, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-22-83.
2. Certificate of Compliance transmitted to OAL 10-21-83 and filed 11-23-83 (Register 83, No. 48).
3. Editorial correction renumbering Section 50025.6 to Section 51050 filed 12-20-83 (Register 83, No. 52).
§50026. Cash Grant.
Note     •     History

Cash grant means the money payment made to a person eligible for AFDC, EVH or SSI/SSP.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1 and 14050.1, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33) A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
2. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
§50027. Certification Date for Claims Clearance.

Certification date for claims clearance means the date of the most recent service listed on the Record of Health Care Costs, MC 177S or MC 177P.
§50028. Certification--Effective Date.

Effective date of certification for Medi-Cal means the date the person is certified to receive Medi-Cal benefits.
§50029. Certification for Medi-Cal.

Certification for Medi-Cal means the determination by the county department or the Department that a person is eligible for Medi-Cal and has no share of cost, has met the share of cost or is in long-term care and has a share of cost which is less than the cost of long-term care at the Medi-Cal rate.
§50029.5. Certified Long-Term Care Insurance Policy or Certificate.
Note     •     History

Certified Long-Term Care Insurance Policy or Certificate means any long-term care insurance policy or certificate certified by the Department of Health Services and approved for issue or delivery to California residents by the Department of Insurance as meeting the requirements set forth in Section 22005(e) of the Welfare and Institutions Code.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22004, 22005 and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 11-1-93 as an emergency; operative 11-1-93 (Register 93, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-1-93 order transmitted to OAL 2-17-94 and filed 3-31-94 (Register 94, No. 13).
§50030. Child.
Note     •     History

(a) Child means a person under the age of 21 except for those persons who are specified as adults in Section 50014.
(b) An unborn is considered a child for Medi-Cal purposes.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 12305, 12305.5, 14001, 14005.1,14005.4, 14005.7, 14008, 14010, 14011, 14017, 14018, 14051, 14051.5, and 14052, Welfare and Institutions Code; Sections 25.6, 34.7, 34.9 and 34.10, Civil Code.
HISTORY

1. Amendment of subsection (a)(3) filed 10-31-78 as an emergency; designated effective 11-1-78 (Register 78, No. 44).
2. Certificate of Compliance filed 2-6-79 (Register 79, No. 6).
3. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
4. Amendment of subsection (a), repealer of subsections (a)(1)-(a)(4) and amendment of Note filed 12-9-97; operative 1-8-98 (Register 97, No. 50).
§50031. Child Health and Disability Prevention Program (CHDP).
Note     •     History

Child Health and Disability Prevention Program (CHDP) means the community based program for early identification and referral for treatment of persons under 21 years of age with potentially handicapping conditions.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14100.1, Welfare and Institutions Code; Section 320, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50032. Competent.

Competent means being able to act on one's own behalf in business and personal matters.
§50033. Contiguous Property.
Note     •     History

Contiguous property means adjacent or adjoining property that is not separated by a road, street, right of way or in any other manner from property being considered.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50034. Conversion of Property.
Note     •     History

Conversion of property means changing property from one form to another without changing ownership.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006 and 14015, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50035. County Agency.

County agency means either an administrative division of a county government or a noncounty organization that has a contract with the county to act on the county's behalf.
§50035.5. County Cash-Based Medi-Cal Eligibility.
Note     •     History

County cash-based Medi-Cal eligibility means eligibility for Medi-Cal benefits which is based upon a county department determination of eligibility for a cash grant.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1 and 14050.1, Welfare and Institutions Code.
HISTORY

1. New section filed 3-5-81; effective thirtieth day thereafter (Register 81, No. 10).
2. Amendment of section and Note filed 7-21-2011; operative 8-20-2011 (Register 2011, No. 29).
§50036. County Department.

County department means the department authorized by the county board of supervisors to administer aid programs, including Medi-Cal.
§50036.5. County Case Error Rate.
Note     •     History

The county case error rate means the number of quality control case reviews found in error divided by the total number of completed case reviews in that county, exclusive of state caused errors.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016(g), Welfare and Institutions Code.
HISTORY

1. New section filed 7-6-83 as an emergency; effective upon filing (Register 83, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-83.
2. Certificate of Compliance transmitted to OAL 11-3-83 and filed 12-6-83 (Register 83, No. 50).
3. Corrected Certificate of Compliance as to 7-6-83 order filed 1-9-84 (Register 84, No. 2).
4. Amendment filed 5-15-92; operative 6-15-92 (Register 92, No. 21).
§50036.6. Dependent Relative. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-21-84.
2. Order of Repeal of 7-24-84 emergency order filed 12-20-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 51).
§50037. Eligibility and Assistance Standards Manual (EAS).

Eligibility and Assistance Standards Manual (EAS) means the portion of the Manual of Policies and Procedures published by the State Department of Benefit Payments which includes regulations pertaining to the AFDC, APSB, SSP and EVH programs.
§50037.5. Eligibility Quality Control.
Note     •     History

(a) Eligibility quality control means both of the following:
(1) Federally mandated review of Medi-Cal cases to ensue proper determination of eligibility.
(2) State mandated review of Medi-Cal cases within individual counties to ensure proper determination of eligibility.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14016 (b), (d) and (e)(1) and 14100.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-6-83 as an emergency; effective upon filing (Register 83, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-83.
2. Certificate of Compliance transmitted to OAL 11-3-83 and filed 12-6-83 (Register 83, No. 50).
3. Corrected Certificate of Compliance as to 7-6-83 order filed 1-9-84 (Register 84, No. 2).
§50038. Eligibility Services.

Eligibility services means those services provided by the county department relating to the initial and continuing determination of a person's or family's Medi-Cal eligibility.
§50038.5. Emergency Assistance (EA).
Note     •     History

(a) Emergency Assistance (EA) means the public assistance programs that provide assistance for 30 days to:
(1) Families not meeting the qualifications for the federal AFDC-U program.
(2) Those children who are being, or are in immediate danger of being abused, neglected or exploited and to families of such children.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 87(c), Chapter 1594, Statutes of 1982. Reference: Sections 11250.5, 11406.5 and 14005.1, Welfare and Institutions Code; and Department of Social Services Manual of Policies and Procedures, Eligibility and Assistance Standards, Section 45-401.2 (incorporated into Title 22, California Administrative Code).
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance transmitted to OAL 4-13-83 and filed 5-16-83 (Register 83, No. 21).
3. Editorial correction of subsections (a)(1) and (2) filed 5-16-83 (Register 83, No. 21).
§50039. Encumbrances of Record.
Note     •     History

Encumbrances of record means obligations for which property is security, as evidenced by a written document.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
2. Amendment filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
§50040. Fair Market Value. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-21-84.
2. Order of Repeal of 7-24-84 emergency order filed 12-20-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 51).
§50041. Family Member.
Note     •     History

(a) Family member means the following persons living in the home:
(1) A child or sibling children.
(2) The parents married or unmarried of the sibling children.
(3) The stepparents of the sibling children.
(4) The separate children of either unmarried parent or of the parent or stepparent.
(b) If there are no children, family member means a single person or a married couple.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14051, 14052 and 14008, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
§50041.5. Federal Poverty Level.
Note     •     History

The federal poverty level means an income level based on the official poverty line as defined by the federal Office of Management and Budget and revised annually or at any shorter interval the Secretary of Health and Human Services deems feasible and desirable pursuant to Section 9902(2), Title 42, United States Code.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 12, Chapter 1430, Statutes of 1989. Reference: Section 14005.3, Welfare and Institutions Code; and Section 9902(2), Title 42, United States Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History Note 1 (Register 95, No. 9).
3. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 9).
4. New section refiled 3-3-95 as an emergency; operative 3-3-95 (Register 95, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-95 order including amendment of section transmitted to OAL 2-22-95 and filed 4-5-95 (Register 95, No. 14).
§50042. Foster Child. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Repealer filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
§50043. Heirloom.

Heirloom means any item of personal property, other than cash and securities, which has substantially sentimental value, has been owned by a family for at least two generations and is intended to be retained by the family in succeeding generations.
§50044. Home.
Note     •     History

Home means real or personal property, fixed or mobile, located on land or water, in which a person or family lives.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50045. Immigration and Naturalization Service (INS).

Immigration and Naturalization Service (INS) means the branch of the United States Government that administers regulations regarding aliens in the United States.
§50045.1. Impairment Related Work Expenses (IRWE).
Note     •     History

“Impairment Related Work Expenses” (IRWE) means those expenses of a working disabled QMB or SLMB program applicant/beneficiary which are necessary to become or remain employed. Such expenses include but are not limited to expenses which are:
(a) Required to control a disabling condition, thereby enabling the individual to work;
(b) Essential to meet the functional demands of a job, e.g., wheelchairs, respirators, prosthesis, attendant care;
(c) Necessary in preparing for work, in traveling to and from work, or assistance needed immediately upon returning from work (e.g., attendant care services, transportation costs, exterior ramps, and railing or pathways modified to the exterior of the applicant's/beneficiary's residence).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 1382a(b) and 1396a(a), Title 42, United States Code; and Section 14005.11, Welfare and Institutions Code.
HISTORY

1. New section filed 8-13-90 as an emergency; operative 8-13-90 (Register 90, No. 40). A Certificate of Compliance must be transmitted to OAL by 12-11-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance transmitted to OAL 12-11-90 and filed 1-9-91 (Register 91, No. 8).
3. Amendment of opening statement filed 12-21-93; operative 1-20-94 (Register 93, No. 52).
§50045.3. Income and Eligibility Verification System.
Note     •     History

The Income and Eligibility Verification System (IEVS) is the federally mandated system established to obtain, use and verify information relevant to determination of eligibility and share of cost.
NOTE

Authority cited: Sections 10725, 10740 and 14124.5, Welfare and Institutions Code. Reference: Sections 11025, 14001 and 14016.9, Welfare and Institutions Code; and 42 Code of Federal Regulations 435.940.
HISTORY

1. New section filed 7-16-87; operative 7-16-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 30).
§50045.5. In-Home Supportive Services.
Note     •     History

In-Home Supportive Services (IHSS) means the social services program which provides necessary personal and domestic care so that aged, blind and disabled persons may remain in their own homes.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 12305, 12305.5, 14001, 14005.1, 14005.4, 14005.7, 14008, 14008.5, 14010, 14011, 14017, 14018 and 14051.5, Welfare and Institutions Code; Sections 25.6, 34.5, 34.7, 34.9 and 34.10, Civil Code.
HISTORY

1. New section filed 10-31-78 as an emergency; designated effective 11-1-78 (Register 78, No. 44).
2. Certificate of Compliance filed 2-6-79 (Register 79, No. 6).
§50046. Inmate.
Note     •     History

Inmate means a person living or being cared for in an institution. Excluded from this definition are persons residing at a facility for vocational training or educational purposes, and persons temporarily in an institution pending more suitable arrangements, such as children in a local agency facility pending foster care placement.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016 and 14053, Welfare and Institutions Code.
HISTORY

1. Amendment filed 4-1-83; effective thirtieth day thereafter (Register 83, No. 14).
§50047. Institution.

Institution means an establishment which provides food and shelter to four or more persons unrelated to the proprietor and in addition provides some treatment or services which meet needs beyond the basic provision of food and shelter.
§50048. Institution--Medical.

Medical institution means any public or private acute care hospital, acute psychiatric hospital, intermediate care facility, skilled nursing facility, or other medical facility licensed by an officially designated state standard setting authority.
§50049. Institution--Mental Diseases.

An institution for mental diseases means an institution primarily engaged in providing diagnosis, treatment or care for persons with mental illness.
§50050. Institution--Nonmedical.

Nonmedical institution means any institution providing nonmedical residential care, custodial care, custody or restraint. This includes penal institutions.
§50051. Institution--Private.

A private institution means a proprietary or nonprofit facility managed and controlled by an individual, private association or corporation.
§50052. Institution--Public.
Note     •     History

Public institution means an institution that is the responsibility of a governmental unit or over which a governmental unit exercises administrative control. Excluded from this definition are medical facilities and publicly operated community residences designed to serve and serving no more than sixteen persons.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016 and 14053, Welfare and Institutions Code.
HISTORY

1. Amendment filed 4-1-83; effective thirtieth day thereafter (Register 83, No. 14).
§50052.5. Institution--Tuberculosis.
Note     •     History

Tuberculosis institution means an institution which is primarily engaged in providing diagnosis, treatment or care of persons with tuberculosis, including medical attention, nursing care and related services.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14053(14)(b), Welfare and Institutions Code.
HISTORY

1. New section filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
§50053. Intraprogram Status Change.
Note     •     History

Intraprogram status change means a change in a person's or family's eligibility from one aid category to another aid category, in which the first digit of the aid code remains the same.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10743 and 14100.1, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50054. Interprogram Transfer.
Note     •     History

Interprogram transfer means a transfer of eligibility from one aid category to another aid category, in which the first digit of the aid code changes.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10743 and 14100.1, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50054.5. Life Insurance.
Note     •     History

Life insurance means a contract for which premiums are paid during the lifetime of the insured, and on which the insuring company pays the face amount of the policy to the beneficiary upon the death of the insured. Life insurance may also be purchased by a single premium or by letting dividends accumulate.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11158 and 14006, Welfare and Institutions Code.
HISTORY

1. New section filed 3-7-80 as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 7-6-80.
2. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
§50054.7. Limited Service Status.
Note     •     History

Limited service status means that the beneficiary's use of the Medi-Cal card is limited because of enrollment in a noncomprehensive PHP or PCCM plan, improper utilization of service, application as a child under Section 50147.1 or participation in a pilot project conducted by the Department. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14010, 14017, 14088.16 and 14088.4, Welfare and Institutions Code. 
HISTORY

1. New section filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32). 
2. Amendment filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
3. Amendment refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
4. Request to readopt amendment on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
6. Amendment filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§50055. Linked.
Note     •     History

Linked means meeting the SSI/SSP requirements of age, blindness or disability or the AFDC requirements of deprivation of parental support or care.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.7 and 14051, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50056. Long-Term Care (LTC).
Note     •     History

Long-term care (LTC) means inpatient medical care which lasts for more than the month of admission and is expected to last for at least one full calendar month after the month of admission.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14050.3, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50057. Marriage.

Marriage means the state of being married, including a legal common law marriage, as defined in Section 4100 et seq., Chapter 2, Division 4, Part 5, Title 1, California Civil Code.
§50058. Medi-Cal.

Medi-Cal means California's medical assistance program and the benefits available under that program.
§50059. Medi-Cal Card.

Medi-Cal card means a computer printed or hand typed card issued each month to a person certified to receive Medi-Cal in order to identify the person as a Medi-Cal beneficiary and authorize the receipt of Medi-Cal covered services by that person.
§50059.5. State Dollar Error Rate.
Note     •     History

The state dollar error rate means the Medicaid dollar error rate reported to the Department by the United States Department of Health and Human Services, less any portion of this error rate attributable to state caused errors.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016(g), Welfare and Institutions Code.
HISTORY

1. New section filed 7-6-83 as an emergency; effective upon filing (Register 83, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-83.
2. Certificate of Compliance transmitted to OAL 11-3-83 and filed 12-6-83 (Register 83, No. 50).
3. Corrected Certificate of Compliance as to 7-6-83 order filed 1-9-84 (Register 84, No. 2).
4. Amendment filed 5-15-92; operative 6-15-92 (Register 92, No. 21).
§50059.6. Federal Standard.
Note     •     History

“Federal standard” means the Medicaid dollar error rate standard to which the State is held accountable by the Federal Government.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016(g), Welfare and Institutions Code.
HISTORY

1. New section filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 38). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-21-83.
2. Certificate of Compliance filed 12-12-83 (Register 83, No. 50).
3. Amendment filed 5-15-92; operative 6-15-92 (Register 92, No. 21).
§50059.7. State Caused Errors.
Note     •     History

State caused errors means case errors in a county for which the state assumes responsibility.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016(g), Welfare and Institutions Code.
HISTORY

1. New section filed 5-15-92; operative 6-19-92 (Register 92, No. 21).
§50060. Medi-Cal Family Budget Unit (MFBU).
Note     •     History

Medi-Cal Family Budget Unit (MFBU) means the persons who will be included in the Medi-Cal eligibility and share of cost determination.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7 and 14008, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 7-7-83 (Register 83, No. 29).
§50060.5. Medi-Cal-Only Eligibility.
Note     •     History

Medi-Cal-only eligibility means a person's or family's eligibility for Medi-Cal benefits that has been determined independently of an eligibility determination for any other aid or benefit program.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50060.6. Medical Support.
Note     •     History

Medical support is any liability or payment for the purpose of medical care available under a court or administrative order, including but not limited to health insurance, specific dollar amounts for medical purposes, and payments for medical care from any third party.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14008.6, 14023 and 14024, Welfare and Institutions Code; 42 CFR, Section 301.1.
HISTORY

1. New section filed 4-16-93 as an emergency; operative 4-16-93 (Register 93, No. 16). A Certificate of Compliance must be transmitted to OAL 8-16-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-16-93 order transmitted to OAL 8-13-93 and filed  9-23-93 (Register 93, No. 39).
§50061. Medically Indigent (MI) Person or Family.

Medically indigent (MI) person or family means a person or family eligible under the Medically Indigent program.
§50062. Medically Needy (MN) Person or Family.

Medically needy (MN) person or family means a person or family eligible under the Medically Needy program.
§50063. Minimum Basic Standard of Adequate Care (MBSAC).

Minimum Basic Standard of Adequate Care (MBSAC) means the amount necessary to provide an AFDC family with basic needs as specified in the EAS manual.
§50063.5. Minor Consent Services.
Note     •     History

(a) Minor consent services means services related to:
(1) Sexual assault.
(2) Drug or alcohol abuse for children 12 years of age or older.
(3) Pregnancy.
(4) Family planning.
(5) Venereal disease for children 12 years of age or older.
(6) Sexually transmitted diseases designated by the Director for children 12 years of age or older.
(7) Mental health care for children 12 years of age or older who are mature enough to participate intelligently and which is needed to prevent the children from seriously harming themselves or others or because the children are the alleged victims of incest or child abuse.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14010, Welfare and Institutions Code; and Sections 25.9 and 34.7, Civil Code.
HISTORY

1. New section filed 4-28-82; effective thirtieth day thereafter (Register 82, No. 18).
§50064. Multiple Dwelling Unit.

Multiple dwelling unit means any dwelling with more than one separate living unit, that is, a unit which normally would include as a minimum a bathroom and a kitchen.
§50064.5. Nonrecurring Lump Sum Payment.
History

Nonrecurring lump sum payment means a payment accrued over more than one calendar month and not expected to be received again in the future. It does not include the amount of the monthly benefit normally attributable to the month for which eligibility is being determined.
HISTORY

1. New section filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
§50065. Obligate.
Note     •     History

Obligate means to incur a cost for health care services.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.9 and 14019.3, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50066. Other Public Assistance (Other PA) Recipient.

Other Public Assistance (Other PA) recipient means a person eligible for Medi-Cal under one of the categories in the Other Public Assistance program.
§50067. Overpayment.
Note     •     History

Overpayment means the receipt of Medi-Cal benefits when there is no entitlement to all or a portion of the benefits received.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14009, 14014, 14023 and 14024, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50068. Parent.
Note     •     History

Parent means the natural or adoptive parent of a child.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14008, 14051 and 14052, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50068.5. Parent--Minor.
Note     •     History

Minor parent means a person who meets the definition of a child and has his or her own child or children living in the home.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14008, 14010, 14051 and 14052, Welfare and Institutions Code.
HISTORY

1. New section filed 12-9-97; operative 1-8-98 (Register 97, No. 50).
§50069. Parents--Unmarried.
Note     •     History

Unmarried parents means parents who are living together with their common child and the parents are not married to each other.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14008, 14051 and 14052, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50069.5. Parent--Unmarried Minor. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14008, 14051 and 14052, Welfare and Institutions Code.
HISTORY

1. New section filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. Repealer filed 12-9-97; operative 1-8-98 (Register 97, No. 50).
§50070. Patient.

Patient means a person receiving individual professional services directed by a licensed practitioner of the healing arts towards maintenance, improvement, or protection of health, or the alleviation of disability or pain.
§50071. Persons Living in the Home.
Note     •     History

(a) Persons living in the home means all of the following:
(1) Persons physically present in the home;
(2) Persons temporarily absent from the home because of hospitalization, visiting, vacation, trips in connection with work, or because of similar reasons as limited by (d).
(3) Persons away at school or vocational training who will resume living in the home as evidenced by the person returning home for vacations, weekends and at other times.
(b) A temporary absence is normally one in which the person leaves and returns to the home in the same month or the following month.
(c) Whether a person is living in the home while in LTC or board and care shall be determined in accordance with Section 50377.
(d) A child, other than specified in (e), temporarily absent from the home in accordance with (a)(2) shall be considered to be living in the home as long as the parent continues to have responsibility for the care and control of the child. A parent continues to have responsibility for the care and control of a child until the court removes this responsibility or the parent voluntarily relinquishes it in accordance with Department of Social Services, Manual of Policies and Procedures, Division 30.
(e) The home in which a child shall be determined in accordance with Section 50374 when both of the following conditions exist:
(1) The child stays alternately for periods of one month or less with each of his/her parents.
(2) The child's parents are separated or divorced.
(f) An 18 to 21 year old or unmarried minor parent living on the parent's property shall not be considered to be living in the parent's home if both of the following conditions exist:
(1) The 18 to 21 year old or unmarried minor parent does not receive any support from the parents.
(2) The building the 18 to 21 year old or unmarried minor parents lives in would be considered other real property of the parents.
(g) A person whose institutional status results in ineligibility for Medi-Cal shall not be considered to be living in the home during any full month of institutionalization.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14008 and 14051, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. Amendment of subsection (c) filed 2-11-82; effective thirtieth day thereafter (Register 82, No. 7).
3. New subsection (f) filed 4-1-83; effective thirtieth day thereafter (Register 83, No. 14).
4. Amendment of subsection (d), relettering of former subsections (e) and (f) to subsections (f) and (g) and new subsection (e) filed 4-17-89; operative 5-17-89 (Register 89, No. 48). 
§50071.5. Prepaid Health Plan.
Note     •     History

(a) Prepaid health plan means any health care service plan as defined in Health and Safety Code Section 1345 (f) which:
(1) Is licensed as a health care service plan by the Commissioner of Corporations pursuant to the Knox-Keene Health Care Service Plan Act of 1975, Chapter 2.2, commencing with Section 1340, Division 2, Health and Safety Code, or has an application for licensure pending and was registered under the Knox-Mills Health Plan Act prior to its repeal in Chapter 941, Statutes of 1975.
(2) Meets the requirements for participation in the Medicaid Program, Title XIX of the Social Security Act, on an at risk basis.
(3) Has a contract with the Department to furnish directly or indirectly health services to Medi-Cal beneficiaries on a predetermined periodic rate basis.
(b) The term “prepaid health plan” does not include any pilot program contract entered into pursuant to Article 7, commencing with Section 14490, Chapter 8, Part 3, Division 9, Welfare and Institutions Code.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
§50071.6. Prepaid Health Plan--Comprehensive.
Note     •     History

Comprehensive prepaid health plan means a prepaid health plan that is required by contract with the Department to provide the full scope of benefits available under the Medi-Cal program.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
§50071.8. Primary Care Case Management (PCCM) Plan.
Note     •     History

Primary care case management plan or PCCM plan means any person or organization who: 
(a) Has entered into a contract with the Department on a capitated or risk sharing basis, or both, to provide or arrange for the provision of health care services under the provisions of Article 2.9 commencing with section 14088, Welfare and Institutions Code; and 
(b) Meets the requirements for participation in the Medicaid Program, as stated in Title XIX of the Social Security Act, on an at-risk basis.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088, 14088.16 and 14088.2, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency, operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§50072. Property--Community.
Note     •     History

Community property means property acquired by either spouse during marriage, unless the property was acquired as separate property or with funds that can be identified as separate property.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006 and 14008, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50073. Property--Personal.
Note     •     History

Personal property means possessions or interests, exclusive of real property, that may be easily transported or stored; including but not limited to cash on hand, bank accounts, notes, mortgages, deeds of trust, cash surrender value of life insurance, motor vehicles, uncollected judgments, an interest in a firm in receivership, a lawsuit, patents and copyrights.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50074. Property--Real.
Note     •     History

Real property means land and improvements which generally includes any immovable property attached to the land and any oil, mineral, timber or other rights related to the land.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50075. Property--Separate.
Note     •     History

(a) Separate property means any item that is considered separate property under California Property Law. Generally, separate property is property acquired by an individual by any method prior to marriage, after obtaining an interlocutory or final judgment of dissolution, or while voluntarily separated; or at any time by gift or inheritance, or purchases made with funds that are separate property or with funds from the sale of separate property.
(b) Separate property also includes that portion of a couple's former community property which has been transmuted into separate property by a written interspousal agreement in accordance with 50403(c).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006, 14006.2 and 14008, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
2. New subsection (b) filed 2-16-88 as an emergency; operative 2-16-88 (Register 88, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-88.
3. New subsection (b) refiled 6-16-88 as an emergency; operative 6-16-88 (Register 88, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-14-88.
4. Emergency language of subsection (b) refiled and operative 6-16-88 repealed on 10-14-88 by operation of Government Code Section 11346.1 (Register 88, No. 49).
5. New subsection (b) filed 11-16-88; operative 11-16-88 pursuant to Government Code Section 11346.2(d) (Register 88, No. 49).
§50076. Property--Share of Community.
Note     •     History

For the purpose of determining Medi-Cal eligibility, share of community property is to be treated as if each spouse owns one-half of the community property.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-11-82; effective thirtieth day thereafter (Register 82, No. 7).
§50077. Public Agency.

Public agency means an administrative division of local, state or federal government, or an organization that has a contract to act in behalf of the local, state or federal government.
§50078. Public Assistance (PA) Recipient.
Note     •     History

Public assistance (PA) recipient means a person or family receiving assistance under the AFDC, SSI/SSP, Indochinese refugee or Cuban refugee program.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1 and 14050.1, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
3. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
§50079. Public Funds.

Public funds means monies provided by local, state or federal government.
§50079.5. Publicly Operated Community Residence.
Note     •     History

(a) Publicly operated community residence means a facility designed and planned to serve no more than 16 residents which is actually serving 16 or fewer residents. The facility provides food and shelter and must provide some additional services such as:
(1) Social services.
(2) Help with personal activities.
(3) Training in socialization and life skills.
(b) Excluded from this definition are:
(1) Residential facilities located on the grounds or immediately adjacent to any large institution or multi-purpose complex.
(2) Educational or vocational training facilities.
(3) Correctional or holding facilities for persons detained under the penal system.
(4) Medical treatment facilities.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016 and 14053, Welfare and Institutions Code.
HISTORY

1. New section filed 4-1-83; effective thirtieth day thereafter (Register 83, No. 14).
§50079.6. Qualified Disabled and Working Individual.
Note     •     History

“Qualified Disabled and Working Individual” means an individual who meets the eligibility criteria for the Qualified Disabled and Working Individual program specified in Section 50256.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 12, Chapter 1430, Statutes of 1989. Reference: Section 14005.3, Welfare and Institutions Code; and Sections 1396a(a)(10)(E) and 1396d(s), Title 42, United States Code.
HISTORY

1. Renumbering of former section 50079.6 to section 50079.7 and new section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 91, No. 8.
2. Editorial correction of History Note 1 (Register 95, No. 9).
3. Reinstatement of section as it existed prior to emergency filed 3-2-95 by operation of Government Code section 11346.1(f) (Register 95, No. 9).
4. Renumbering of former section 50079.6 to section 50079.7 and new section refiled 3-3-95 as an emergency; operative 3-3-95 (Register 95, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-95 order including amendment of Note transmitted to OAL 2-22-95 and filed 4-5-95 (Register 95, No. 14).
§50079.7. Qualified Medicare Beneficiary.
Note     •     History

“Qualified Medicare Beneficiary” means an individual who meets the eligibility criteria for the Qualified Medicare Beneficiary program specified in Section 50258.
NOTE

Authority cited: Sections 10725, 14005.11 and 14124.5, Welfare and Institutions Code; and Section 12, Chapter 1430, Statutes of 1989. Reference: Section 1396d(p), Title 42, United States Code; and Section 14005.11, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 50079.6 to new section 50079.7 filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History Note 1 (Register 95, No. 9).
3. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 9).
4. Renumbering of former section 50079.6 to section 50079.7 and new section refiled 3-3-95 as an emergency; operative 3-3-95 (Register 95, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-95 order  transmitted to OAL 2-22-95 and filed 4-5-95 (Register 95, No. 14).
§50080. Quality Control. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14016(b), (d) and (e)(1) and 14100.1, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-6-83 as an emergency; effective upon filing (Register 83, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-83.
2. Certificate of Compliance transmitted to OAL 11-3-83 and filed 2-6-83 (Register 83, No. 50).
3. Corrected Certificate of Compliance as to 7-6-83 order filed 1-9-84 (Register 84, No. 2).
§50081. Reapplication.
History

Reapplication means an application for Medi-Cal-only eligibility made in the same county as a previous application, if the previous application was denied or withdrawn, or Medi-Cal-only eligibility based on the previous application has been discontinued for more than 12 months.
HISTORY

1. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
§50082. Recipient.
Note     •     History

Recipient means a person or family receiving aid under a public assistance program or the Other Public Assistance program.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1 and 14050.1, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50083. Redetermination.

Redetermination means the review of a person's or family's Medi-Cal eligibility.
§50084. Relative.
Note     •     History

Relative means a mother, father, grandfather, grandmother, son, daughter, brother, sister, stepfather, stepmother, stepbrother, stepsister, uncle, aunt, first cousin, nephew, niece, half-brother, half-sister, any such person of a preceding or succeeding generation denoted by a prefix of grand, great or great-great or the suffix in-law.
NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.7, 14006 and 14008, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
2. Amendment filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
3. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50085. Relative--Caretaker.
Note     •     History

Caretaker relative means a relative who provides care and supervision to a child, if there is no natural or adoptive parent in the home.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50086. Repayment.

Repayment means the liquidation of an overpayment in response to issuance of demands and recovery thereof by the Department of Benefit Payments.
§50087. Residence.
Note     •     History

Residence means the place in which a person or family lives or is physically present if the person or family has no present intention of leaving.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14007 and 14016, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50088. Responsible Relative.
Note     •     History

Responsible relative means a relative who is responsible to contribute to the cost of health care services received by a Medi-Cal beneficiary.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14008, 14008.5, 14009 and 14010, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50089. Restoration.
History

Restoration means the approval of Medi-Cal-only eligibility for a person or family in the same county as that in which they were previously eligible for Medi-Cal-only, if the effective date of the approval occurs within 12 months of the end of the previous period of eligibility.
HISTORY

1. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
§50090. Share of Cost.
Note     •     History

Share of cost means a person's or family's net income in excess of their maintenance need that must be paid or obligated toward the cost of health care services before the person or family may be certified and receive Medi-Cal cards.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.9 and 14054, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50091. Share of Encumbrances.

Share of encumbrances means that portion of the encumbrances attributed to each portion of jointly owned property.
§50091.5. Specified Low-Income Medicare Beneficiary.
Note     •     History

“Specified Low-Income Medicare Beneficiary” (SLMB) means an individual who meets the eligibility criteria for the SLMB Program specified in Section 50258.1.
NOTE

Authority cited: Sections 10725 and 14124.5 of the Welfare and Institutions Code.  Reference: Section 1396a(a)(10)(E)(iii), Title 42, United States Code.
HISTORY

1. New section filed 12-21-93; operative 1-20-94 (Register 93, No. 52).
§50092. Spenddown. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Section 14019.6, Welfare and Institutions Code.
HISTORY

1. Repealer filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
2. Certificate of Compliance transmitted to OAL 12-14-82 and filed 1-21-83 (Register 83, No. 4).
§50093. State Data Exchange (SDX).
Note     •     History

State Data Exchange (SDX) means the data system by which the Federal Government provides information to the State regarding the eligibility of SSI/SSP applicants and recipients.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14017, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50094. Stepparent.
Note     •     History

Stepparent means a person who is married to the parent of a child and who is not the other parent of the child.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11261, 14001.1 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50095. Supplemental Security Income/State Supplemental Program (SSI/SSP).

Supplemental Security Income/State Supplemental Program (SSI/SSP) means the federal and state payments, respectively, which are based on need, and are paid to aged, blind or disabled persons.
§50095.1. Title II Disregard Person.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.7, Welfare and Institutions Code.
HISTORY

1. New section filed 1-5-78 as an emergency; effective upon filing (Register 78, No. 1).
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18).
3. Renumbering of Section 50095.1 to Section 50095.7 filed 8-9-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-9-85.
4. Certificate of Compliance as to 8-9-85 order transmitted to OAL 11-13-85 and filed 12-11-85 (Register 85, No. 50).
§50095.5. Therapeutic Wages.
Note     •     History

(a) Therapeutic wages are wages earned by the individual when all of the following conditions are met:
(1) A physician who does not have a financial interest in the long-term care facility in which the individual resides, and who is in charge of the individual's case prescribes this work as therapy for the individual.
(2) The individual must be employed by the same long-term care facility in which he or she resides.
(3) The individual's employment does not displace any existing employees.
(4) The individual has resided in a long-term care facility continuously since September 1979.
NOTE

Authority cited: Sections 10725, 14005.13 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.13, Welfare and Institutions Code.
HISTORY

1. New section filed 8-9-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-9-85.
2. Certificate of Compliance transmitted to OAL 11-13-85 and filed 12-11-85 (Register 85, No. 50).
§50095.7. Title II Disregard Person.
Note     •     History

“Title II disregard person” means a person who meets all the conditions of Section 50564.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.7, Welfare and Institutions Code.
HISTORY

1. Renumbering of Section 50095.1 to Section 50095.7 filed 8-9-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-9-85. For prior history, see Registers 78, No. 18, and 78, No. 1.
2. Certificate of Compliance transmitted to OAL 11-13-85 and filed 12-11-85 (Register 85, No. 50).
§50096. Transfer of Property.
Note     •     History

Transfer of property means a change in ownership whereby a person no longer holds title to, or beneficial interest in, property.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006 and 14015, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50097. Verification.
Note     •     History

Verification means the process of obtaining acceptable evidence which substantiates statements made by an applicant/beneficiary.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 57, Chapter 328, Statutes of 1982. Reference: Section 14011, Welfare and Institutions Code.
HISTORY

1. New section filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
2. Certificate of Compliance transmitted to OAL 12-14-82 and filed 1-21-83 (Register 83, No. 4).
Article 2. Administration
§50101. County Department Responsibilities.
Note     •     History

(a) The county department shall:
(1) Be responsible for determining initial and continuing eligibility for Medi-Cal applicants or beneficiaries promptly and humanely, in accordance with:
(A) Medi-Cal regulations.
(B) Departmental directives.
(2) Construe Medi-Cal regulations fairly and equitably when determining Medi-Cal eligibility.
(3) Have available at each office copies of all laws, rules, regulations and bulletins relating to Medi-Cal.
(4) Comply with state hearing decisions of the Director.
(5) Assist applicants or beneficiaries in understanding their rights and responsibilities in relation to application for Medi-Cal.
(6) Evaluate the capacity of the applicants or beneficiaries to discharge their responsibilities as set forth in these regulations.
(7) Assist applicants or beneficiaries as needed in establishing their eligibility.
(8) Determine eligibility, assess need, and authorize personal care program services for eligible beneficiaries, as needed.
(b) The county department shall take the following actions whenever an applicant or beneficiary, who is applying for or receiving Medi-Cal on behalf of a child under eighteen years of age who was born out of wedlock or who has an absent parent, meets his/her responsibilities as specified in Section 50185 (a) 10.
(1) As soon as possible after the applicant's or beneficiary's opportunity to claim good cause as specified in 50771.5, and not later than two working days after approval of eligibility, the county shall provide to the district attorney the following forms, whether or not the Child/Spousal and Medical Support Notice and Agreement (CA 2.1 Notice and Agreement) has been completed;
(A) A completed Referral to District Attorney (CA 371, Revised December 1992)
(B) A Child Support Questionnaire (CA 2.1 Q Support Questionnaire, Revised March 1993), if one has been completed;
(C) Health Insurance Questionnaire (DHS 6155, Revised October 1990), if one has been completed.
(D) Any other forms or information requested by the district attorney.
(2) If the referral described in (1) above has previously been provided to the district attorney, the county shall promptly report to the district attorney whenever good cause has been claimed. The district attorney will suspend all activities to establish paternity or secure medical support until notified of a final determination of good cause by the county.
(3) The county shall promptly report to the district attorney all cases in which it has been determined that there is or is not good cause for refusal to cooperate as specified in Section 50771.5. The district attorney will not undertake to establish paternity or secure support if there has been a finding of good cause unless there also has been a determination by the county that the district attorney may proceed without the participation of the parent or caretaker relative. If there has been such a determination, the district attorney may undertake to establish paternity or secure support but may not involve the parent or caretaker relative.
(4) If the county determines that the applicant or beneficiary and the child on whose behalf the application was filed are not eligible, the applicant or beneficiary shall be informed that he/she may go to the district attorney for help in locating the absent parent(s) of the child, collecting child and medical support for the child, and establishing paternity.
(5) The county shall provide the district attorney with any information requested concerning medical support cases and shall advise the district attorney in writing if any of the following circumstances arise:
(A) A person is added to or deleted from the MFBU.
(B) The child ceases living with the person who is receiving Medi-Cal on his/her behalf.
(C) A child moves out of foster care and begins living with a parent or relative.
(D) A child has been accepted for adoption by a public or private adoption agency or such an acceptance has been terminated.
(E) Medi-Cal benefits have been discontinued.
(6) If the district attorney notifies the county that the applicant or beneficiary has not cooperated, the county shall verify the facts, determine whether he/she had good cause for failure to cooperate pursuant to Section 50771.5, and notify the district attorney of the determination.
(7) Prior to making a final determination of good cause for refusing to cooperate, the county shall:
(A) Afford the district attorney the opportunity to review and comment on the findings and basis for the proposed determination;
(B) Consider any recommendation from the district attorney; and from any witnesses on behalf of the applicant in any hearing that results from an applicant's or beneficiary's appeal of any county action relating to establishing paternity or securing medical support.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10000, 10058, 10747, 10800, 10963, 11000, 11490, 14008.6 and 14016, Welfare and Institutions Code; and 42 C.F.R. Sections 433.135, 433.136, 433.137, 433.138, 433,145, 433.146, 433.147, 433.148 and 435.604.
HISTORY

1. Amendment filed 5-30-80 as an emergency; effective upon filing (Register 80, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-80.
2. Certificate of Compliance filed 9-26-80 (Register 80, No. 39).
3. Amendment of subsection (a)(2) filed 3-25-83; effective thirtieth day thereafter (Register 83, No. 13).
4. Editorial correction of NOTE filed 7-7-83 (Register 83, No. 29).
5. New subsection (a)(8) filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
6. New subsections (b)-(b)(7)(B) and amendment of Note filed 4-16-93 as an emergency; operative 4-16-93 (Register 93, No. 16). A Certificate of Compliance must be transmitted to OAL 8-16-93 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 4-16-93 order including amendment of subsection (b)(1)(C) and Note transmitted to OAL 8-13-93 and filed  9-23-93 (Register 93, No. 39).
§50103. Civil Service or Merit Systems.

All persons employed by a county and engaged in administration of the Medi-Cal program shall be employed under a civil service or merit system that meets the requirements established by the California State Personnel Board.
§50105. Staffing Requirements.
Note     •     History

(a) Medi-Cal eligibility services may be provided by personnel in those technical nonsocial work job classifications that are established by the county personnel agency responsible for approving such job classification.
(b) The county department shall assign Medi-Cal eligibility staff in sufficient numbers so that any applicant or beneficiary in need of eligibility services shall be provided with those services.
(c) Eligibility information shall be available 24 hours a day, 7 days a week, to persons with medical and related emergencies.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10809 and 14001, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50106. Staff Training.
Note     •     History

The county department shall train Medi-Cal eligibility staff in accordance with the training requirements of Division 14, Manual of Policies and Procedures, Department of Social Services.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10800, 10820, 10900, 10906 and 14001, Welfare and Institutions Code.
HISTORY

1. Editorial correction filed 7-7-83 (Register 83, No. 29).
§50107. Civil Rights.

(a) The county department shall not discriminate against any applicant or beneficiary on the basis of race, color, creed, ethnic origin, sex, marital status, age, physical or mental handicap, national origin or political affiliation.
(b) Persons who believe that they have been discriminated against may file a grievance with the Department in accordance with departmental procedures.
§50109. Reports.

The county department shall submit reports as required by the Department and shall comply with such provisions as the Department may find necessary to ensure the correctness of the reports.
§50110. Medi-Cal Case.
Note     •     History

(a) Each MFBU shall be one Medi-Cal case.
(b) Each Other PA person or Other PA family group shall be one Medi-Cal case.
(c) A PA recipient or PA family group shall not be a Medi-Cal case.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005 and 14008, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50111. Case Records and Confidentiality.
Note     •     History

(a) The county department shall adhere to the requirements in Divisions 19 and 23, Manual of Policies and Procedures, Department of Social Services, governing:
(1) Maintenance of case records.
(2) Confidentiality of case records.
(3) Safeguarding federal tax information.
(4) Access to case records.
(b) The board of supervisors of a county may authorize the destruction of:
(1) Narrative portions of a case record which are over three years old in any case file, active or inactive, after audit by the county department.
(2) Case files which have remained inactive for a period of three years providing the Department has not notified the county department that unresolved issues or pending civil or criminal actions exist.
NOTE

Authority cited: Sections 10725, 10740 and 14124.5, Welfare and Institutions Code. Reference: Sections 10850-10853, 14001 and 14100.2, Welfare and Institutions Code; and 42 Code of Federal Regulations, 431.300 and 431.305.
HISTORY

1. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Amendment of subsection (a) filed 7-16-87; operative 7-16-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 30).
§50113. Forms.
Note     •     History

(a) The county department shall use the forms prescribed by the Department in providing Medi-Cal eligibility services.
(b) Other forms shall not be substituted by the county department unless specifically approved by the Department.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10820, 1085, 11050, 14001 and 14011, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50115. Quality Control--County Cooperation.

The county department shall cooperate with the Department in ensuring that federal quality control requirements are met.
§50116. Medi-Cal Fiscal Penalties.
Note     •     History

(a) The Department shall assess fiscal penalties to counties whenever the state dollar error rate exceeds the federal standard.
(b) A county's case error rate shall be determined based on reviews by Department staff of a random sample of a minimum number of cases for each period, as follows:
(1) All cases shall be sampled in any county with less than 50 Medi-Cal cases.
(2) Fifty cases in any county with greater than 0.01 percent and less than or equal to 0.50 percent of the Medi-Cal cases in the state.
(3) Seventy-five cases in any county with greater than 0.50 percent and less than or equal to 1.0 percent of the Medi-Cal cases in the state.
(4) One hundred cases in any county with greater than 1.0 percent and less than or equal to 3.0 percent of the Medi-Cal cases in the state.
(5) One hundred twenty-five cases in any county with greater than 3.0 percent and less than or equal to 10.0 percent of the Medi-Cal cases in the state.
(6) Six hundred fifty cases in any county with greater than 10.0 percent of the Medi-Cal cases in the state.
(c) Medi-Cal fiscal penalties established under this Section shall apply only to those counties for which case error rates are established.
(d) The Department shall determine which counties in the state are liable for fiscal penalties as follows:
(1) The 60 percent of counties in the state with the highest case error rates shall be liable if the state's dollar error rate exceeds the federal standard by 0.01 percent to 1.0 percent.
(2) The 70 percent of counties in the state with the highest case error rates shall be liable if the state's dollar error rate exceeds the federal standard by greater than 1.0 percent and less than or equal to 2.0 percent.
(3) The 80 percent of counties in the state with the highest case error rates shall be liable if the state's dollar error rate exceeds the federal standard by greater than 2.0 percent and less than or equal to 3.0 percent.
(4) The 90 percent of counties in the state with the highest case error rates shall be liable if the state's dollar error rate exceeds the federal standard by greater than 3.0 percent and less than or equal to 4.0 percent.
(5) All counties in the state shall be liable if the state's dollar error rate exceeds the federal standard by greater than 4.0 percent.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016(c), (e) and (g), Welfare and Institutions Code.
HISTORY

1. New section filed 7-6-83 as an emergency; effective upon filing (Register 83, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-83.
2. Certificate of Compliance transmitted to OAL 11-3-83 and filed 12-6-83 (Register 83, No. 50).
3. Corrected Certificate of Compliance as to 7-6-83 order filed 1-9-84 (Register 84, No. 2).
4. Amendment filed 5-15-92; operative 6-15-92 (Register 92, No. 21).
§50116.5. Appeal of Quality Control Review Findings.
Note     •     History

(a) When the Department finds a sampled case that includes an ineligible person or a person with an understated share of cost, written notification which describes the error shall be sent to the county department.
(b) The county department shall respond to the Department in writing within two weeks from receipt of notification of the error and shall indicate whether it agrees or disagrees with the findings.
(c) If the county disagrees, the Department shall reevaluate the error findings, taking into consideration any additional facts contained in the county's response.
(d) The Department shall again notify the county of the Department's findings.
(e) The county may then appeal to the Chief, Medi-Cal Policy Division, requesting that the Department review the case and render a final decision.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016(f), Welfare and Institutions Code.
HISTORY

1. New section filed 5-15-92; operative 6-19-92 (Register 92, No. 21).
§50117. Calculation of Medi-Cal Fiscal Penalties.
Note     •     History

(a) The Department shall calculate the fiscal penalty for a liable county for each monitoring period as follows:
(1) A penalty multiple shall be calculated by multiplying a county's case error rate times its percentage of statewide Medi-Cal cases.
(2) A county's penalty multiple shall be divided by the sum of the penalty multiples of all counties then multiplied times the penalty bank.
(b) The penalty bank shall include only quality control federal fiscal sanctions, federal withholds, federal disallowances, and any associated General Fund expenditures, minus the value of any state assumed errors and the General Fund share of the value of client caused errors.
(c) The case error rate and penalty multiple shall be adjusted by excluding client errors for the purpose of determining the associated General Fund expenditures.
(d) If the Federal Government reduces or eliminates any quality control federal fiscal sanction, federal withhold or federal disallowance assessed a county as a penalty, the Department shall reduce or eliminate the corresponding fiscal penalty assessment including any associated General Fund expenditures to liable counties.
(e) The monitoring period shall be the federal fiscal year. Fiscal penalties shall apply to the entire monitoring period. The first monitoring period shall begin October 1, 1988.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016(g), Welfare and Institutions Code.
HISTORY

1. New section filed 7-6-83 as an emergency; effective upon filing (Register 83, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-83.
2. Certificate of Compliance transmitted to OAL 11-3-83 and filed 12-6-83 (Register 83, No. 50).
3. Corrected Certificate of Compliance as to 7-6-83 order filed 1-9-84 (Register 84, No. 2).
4. Amendment filed 5-15-92; operative 6-15-92 (Register 92, No. 21).
§50118. Application of Medi-Cal Fiscal Penalties.
Note     •     History

(a) The Department shall notify the county in writing when it determines that a Medi-Cal fiscal penalty will be imposed.
(b) The county may request reconsideration of the Medi-Cal fiscal penalty in accordance with Section 50118.5.
(c) When a Medi-Cal fiscal penalty is imposed, the amount of the penalty shall be collected through direct repayment.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016(f) and (i), Welfare and Institutions Code.
HISTORY

1. New section filed 7-6-83 as an emergency; effective upon filing (Register 83, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-83.
2. Certificate of Compliance transmitted to OAL 11-3-83 and filed 12-6-83 (Register 83, No. 50).
3. Corrected Certificate of Compliance as to 7-6-83 order filed 1-9-84 (Register 84, No. 2).
4. Amendment filed 5-15-92; operative 6-15-92 (Register 92, No. 21).
§50118.5. Reconsideration of a Medi-Cal Fiscal Penalty.
Note     •     History

(a) A county may request reconsideration of a Medi-Cal fiscal penalty if the county case error rate is caused by circumstances outside the control of the county. Such circumstances may include, but are not necessarily limited to, the following:
(1) Natural disasters which contribute significantly to the county case error rate.
(2) Work stoppages or other work activity beyond the control of the county which has a significant adverse impact on the processing of Medi-Cal eligibility cases.
(3) Failure by the Department to meet the minimum sample of cases specified in Section 50116.
(4) Such other occurrences as determined by the Director.
(b) The county shall have thirty days from the date of the Department's notice of fiscal penalty to file a written request for reconsideration with the Director. The request shall be signed by the county department Director and shall include a concise, detailed explanation of the basis for requesting reconsideration. The Director may, for good cause, extend the time to sixty days for the county to submit a request for reconsideration.
(c) Based on all the available written material, the Director shall address a decision on reconsideration to the county, in writing, within sixty days of receipt of the request.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016(f), Welfare and Institutions Code.
HISTORY

1. New section filed 7-6-83 as an emergency; effective upon filing (Register 83, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-83.
2. Certificate of Compliance transmitted to OAL 11-3-83 and filed 12-6-83 (Register 83, No. 50).
3. Corrected Certificate of Compliance as to 7-6-83 order filed 1-9-84 (Register 84, No. 2).
4. Amendment filed 5-15-92; operative 6-15-92 (Register 92, No. 21).
§50119. County Corrective Action Requirements.
Note     •     History

(a) The county shall correct a case found in error during the Department's sample case review within thirty days after being notified of the Department's final decision that a case error has occurred.
(b) A county whose case error rate is found to be in excess of fifteen percent shall within 90 days of being notified by the Department of this error rate provide a written report to the Department which shall describe the steps the county has taken or plans to take to reduce or eliminate the causes of error. The Department shall provide direction on the form and content of the report and shall be responsible for approving the county's Corrective Action Plan.
(c) The data collected on an individual county during the review conducted by the Department shall be analyzed by the county to determine causes of error. The county shall utilize this information in conjunction with other information available to the county to develop and implement correction actions which will reduce or eliminate the causes of error.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016(h), Welfare and Institutions Code.
HISTORY

1. New section filed 7-6-83 as an emergency; effective upon filing (Register 83, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-83.
2. Certificate of Compliance transmitted to OAL 11-3-83 and filed 12-6-83 (Register 83, No. 50).
3. Corrected Certificate of Compliance as to 7-6-83 order filed 1-9-84 (Register 84, No. 2).
4. Amendment filed 5-15-92; operative 6-15-92 (Register 92, No. 21).
Article 3. County of Responsibility for Determination of Medi-Cal Eligibility
§50120. County of Responsibility.
Note     •     History

(a) The county of responsibility shall be the county whose county department is responsible for determining the initial and continuing Medi-Cal eligibility for a person or family. The appropriate county of responsibility shall be determined in accordance with the regulations in this article.
(b) Disputes between counties regarding county of responsibility shall be resolved by the Director.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10806 and 14016, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50121. Persons Eligible Under SSI/SSP.
Note     •     History

The county of responsibility for determining Medi-Cal eligibility for persons eligible under AFDC or SSI/SSP shall be established in accordance with the regulations of the applicable public assistance program.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1 and 14050.1, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
3. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
4. Editorial correction of section heading filed 7-7-83 (Register 83, No. 29).
§50123. County of Responsibility--Persons with a Family.
Note     •     History

(a) The county of responsibility for determining Medi-Cal eligibility for persons whose eligibility as MN, MI or Other PA is determined as part of a family, or based on family income, shall be either of the following:
(1) The county in which the family's residence is located.
(2) The county of physical presence if the family's residence is unclear.
(b) The county of responsibility for determining Medi-Cal eligibility for a family which includes a person under age 21 or, through December 31, 1982, an MI person, living away from the home and who is claimed by his/her parent as a dependent in order to receive a tax credit or deduction for state or federal income tax purposes shall be the county in which the claiming parent lives as determined in accordance with (a).
(c) The county of responsibility for determining Medi-Cal eligibility for a person who is claimed by his/her parent as a dependent or as a deduction for tax purposes and whose parent lives out of state shall be the county in which such person resides as determined in accordance with (a).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 57(c), Chapter 328, Statutes of 1982; and Section 87(c), Chapter 1594, Statutes of 1982. Reference: Sections 11050, 14005.4, 14005.7, 14008 and 14016(a) and (c), Welfare and Institutions Code.
HISTORY

1. New subsections (b) and (c) filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 1-28-83 and filed 2-28-83 (Register 83, No. 10).
3. Editorial correction of NOTE filed 4-12-83 (Register 83, No. 16).
§50125. County of Responsibility--Persons with No Family.
Note     •     History

(a) The county of responsibility for determining Medi-Cal eligibility for persons whose eligibility as MN, MI or Other PA is not determined as part of a family, nor based on family income, shall be:
(1) The placing county for:
(A) Persons placed by a county agency in a private or county-administered facility in order to receive long-term care.
(B) Children placed by a county agency in foster or adoptive care under Aid Codes 04, 43, 44, 45, 46 and 47.
(2) The county in which the person's home is located, if the person is temporarily absent from the home as specified in Section 50071(a)(2).
(3) The county in which the person is living in all other situations.
NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Sections 11050, 14005.4, 14006, 14008 and 14016(a) and (c), Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a)(1)(B) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsections (a)(2) and (a)(3) filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
3. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50126. County of Responsibility--Persons Eligible Under Special Programs.
Note     •     History

(a) The county of responsibility for determining Medi-Cal eligibility for persons eligible under the Cuban Refugee, Indochinese Refugee, and Medi-Cal Dialysis Programs shall be:
(1) The county in which the person's residence is located.
(2) The county of physical presence if the person's residence is unclear.
(b) The county of responsibility for determining Medi-Cal eligibility for persons eligible under the MC 800 Program shall be the county which owns the medical facility, or which has a contract with the hospital, where health services are received.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14016, Welfare and Institutions Code.
HISTORY

1. New section filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
§50127. Persons with a Guardian.
Note     •     History

(a) The county of responsibility for persons with a county public guardian shall be the county in which the public guardian is located except that if the person is physically present in another county and the new county will accept a transfer of guardianship, the new county shall be the county of responsibility.
(b) The county of responsibility for persons with a private guardian or persons with a guardian employed by the state shall be established as if there were no guardian in accordance with Sections 50121, 50123 and 50129, provided the ward is a resident of the State.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11050, 14001 and 14016, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Editorial correction filed 7-7-83 (Register 83, No. 29).
§50129. County of Responsibility--Persons Placed in State Hospitals by County Mental Health Agencies or Regional Centers for the Developmentally Disabled.

Notwithstanding the requirements of any other section in this article, the county of responsibility for determining Medi-Cal eligibility for persons placed in state hospitals after screening and referral by a county mental health agency or a regional center for the Developmentally Disabled shall be the county in which the state hospital is located, unless the person's eligibility is determined as part of a family or based on family income. In this case the county of responsibility shall be determined in accordance with Section 50123.
§50131. Placement in Long-Term Care After Release from a State Hospital.
Note     •     History

(a) Notwithstanding the requirements of any other section in this article, the county of responsibility for determining Medi-Cal eligibility for persons released from a state hospital and placed in a long-term care facility shall be the county in which the long-term care facility is located, with the following exceptions:
(1) If the person has a public guardian or conservator in the original county of placement into the state hospital, then that county shall remain the county of responsibility, unless the county in which the long-term care facility is located agrees to accept guardianship or conservatorship of the person.
(2) If the person's eligibility is determined as part of a family or based upon family income, then the county of responsibility shall be determined in accordance with Section 50123.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11050, 14001 and 14016, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Editorial correction filed 7-7-83 (Register 83, No. 29).
§50133. County of Responsibility--Deceased Persons.

The county of responsibility for determining Medi-Cal eligibility for persons who are deceased shall be the county which would have been the county of responsibility at the time of the person's death.
§50134. County of Responsibility--Persons Absent from the State.

The county of responsibility for determining Medi-Cal eligibility for persons who are absent from the State and retain California residence, in accordance with Article 7 of these regulations, shall be the county which would have been the county of responsibility prior to the person's absence from the State.
§50135. Application Made in County Other Than County of Responsibility.
Note     •     History

(a) The county in which a person applies for Medi-Cal shall accept the application and a Statement of Facts from such person or family on behalf of the county of responsibility. If a Statement of Facts cannot be obtained, the county accepting the application shall provide information to the county of responsibility for the latter county to locate the applicant.
(b) The information described above shall be forwarded to the county of responsibility not later than 15 days from the date of application.
(c) The county in which a person applies may with the consent of the applicant or beneficiary, choose to become the county of responsibility for determining initial eligibility and initiating an intercounty transfer.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11050, 14001 and 14016, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50136. Intercounty Transfer Procedure.
Note     •     History

(a) An intercounty transfer shall be initiated if persons or families receiving Medi-Cal-only become the responsibility of a new county. The transfer shall be accomplished in accordance with the following procedure, as modified by Section 50138.
(1) The county department initiating the transfer shall inform the beneficiary in writing of his/her responsibility to apply for a redetermination of eligibility in the new county of residence and, within 7 calendar days of the date the county department learns of the change in county of responsibility, send the following to the county department in the new county of responsibility:
(A) Two copies of the Notification of Transfer, Form ABCDM 215, with Section A completed indicating the date of discontinuance determined in accordance with Section 50137.
(B) One copy of the most recently completed of each of the following forms with the Notification of Transfer, Form ABCDM 215, or within one week after this form is sent:
1. Application for Public Social Services, CA 1.
2. Statement of Fact, MC 210, MC 250 or CA 2.
3. Share of Cost Determination--MN and MI Person, MC 176M.
4. Allocation/Special Deduction Worksheet, MC 176W, if any.
5. Property Worksheet, MC 176P, if any.
6. Rights of Persons Requesting Medi-Cal, MC 216, if any.
7. Medi-Cal Responsibilities Checklist, MC 217, if any.
8. Verification of disability, if any.
9. Notification of Action, Utilization of Property, Form MC 239U, if the person or family is within a six-month utilization period at the time of transfer.
(C) The amount, if any, of a remaining adjustment for decreases in income pursuant to Section 50653.3.
(D) Other information that the initiating county considers important in order for the new county of responsibility to determine eligibility. 
(2) The initiating county, if the person or family becomes the responsibility of a third county during the transfer process, shall:
(A) Notify the former new county department that the transfer is cancelled.
(B) Request the former new county department to forward to the county department of the current new county of responsibility all information and documents supplied by the initiating county and any additional information secured by the former new county.
(C) Send to the current new county department two copies of the Notification of Transfer, Form ABCDM 215, with Section A completed indicating the date of discontinuance determined in accordance with Section 50137.
(3) The county department in the new county of responsibility shall:
(A) Perform a redetermination of eligibility if the conditions of Section 50136 (a)(i) are met.
(B) Return to the initiating county department one copy of the Notification of Transfer form, Form ABCDM 215, within 30 days of receipt of the form. Section B shall be completed, indicating acceptance or refusal of the transfer, and the effective date of eligibility, if eligibility is approved in the new county.
(C) Send a Notice of Action to the person or family, if their eligibility is approved. A Notice of Action must also be sent to the person or family if eligibility is discontinued for failure to apply for a redetermination or if the person or family is no longer eligible. Such action shall be effective as established in accordance with Section 50137.
(4) If the Notification of Transfer form has not been returned within 30 days, the initiating county shall contact the new county to assure that continuous Medi-Cal coverage will be provided to the extent that eligibility exists.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11053 and 14016, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a)(1)(B) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
3. Editorial correction filed 7-7-83 (Register 83, No. 29).
4. Amendment filed 4-17-86; effective thirtieth day thereafter (Register 86, No. 16).
5. Change without regulatory effect of subsection (a)(1)(C) (Register 87, No. 11).
§50137. Intercounty Transfer--Effective Date of Discontinuance/Eligibility.
Note     •     History

(a) In a change in county of responsibility, the effective date of discontinuance as determined by the initiating county department shall be the last day of the month in which the 30th day after notification to the new county of the change in county of responsibility occurs except that:
(1) If the initiating county department determines the person or family is no longer eligible, the last day of the month in which the determination of ineligibility is made, provided a 10-day notice is given or is waived. Otherwise, discontinuance is effective on the last day of the month in which the 10-day notice is given.
(2) If the person or family is receiving Medi-Cal under either the Four Month or Nine Month Continuing Eligibility categories, the last day of the final month in which four month or nine month continuing eligibility exists.
(b) If the county department in the new county of responsibility determined that a person or family is eligible for Medi-Cal, the effective date of eligibility shall be the first day of the month following the month in which the initiating county department discontinues eligibility.
(c) Counties involved in an intercounty transfer may, by mutual agreement, establish a different effective date of discontinuance, if the initiating county department can suppress card issuance for the following month.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 133.5, Chapter 102, Statutes of 1981; and Section 14, Chapter 1447, Statutes of 1984. Reference: Sections 10740, 11053, 14005.8, 14005.9, 14016(a) and 14100.1, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a)(2) filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85. For prior history, see Register 84, No. 24.
2. Certificate of Compliance as to 4-15-85 order transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
§50138. Intercounty Transfer--Blindness or Disability Determination Pending.
Note     •     History

(a) In a change of county of responsibility for persons or families who have an application pending for either the SSI/SSP or MN programs on the basis of blindness or disability, the responsibility shall be transferred to the new county in accordance with the following:
(1) If the person or family is eligible for Medi-Cal at the time the county of responsibility changes, responsibility shall be transferred in accordance with Sections 50136 and 50137.
(2) The pending determination of blindness or disability shall be retained by the initiating county department until the blindness or disability determination is received. The initiating county department shall forward the blindness or disability determination, along with the documents specified in Section 50136 (a) (1) (B), within 14 calendar days of the date the determination was received.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11053, 14001 and 14016, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
Article 4. Beneficiary Application Process
§50141. Application Process--General.
History

The county department shall receive and act upon all applications, reapplications, requests for restoration and redeterminations without delay and in accordance with the provisions of this article.
HISTORY

1. Change without regulatory effect amending article 4 heading filed 9-19-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 38).
§50142. Screening.

(a) County departments that have established a procedure for screening potential applicants prior to application shall:
(1) Determine the Medi-Cal program under which the person or family should be processed.
(2) Provide information regarding Medi-Cal eligibility requirements to all persons being screened.
(3) Inform each person being screened of that person's rights under the Medi-Cal program, even if it appears that the person is ineligible. Rights of Persons Requesting Medi-Cal, MC 216, shall be explained to, and signed by, the person being screened.
(A) The original shall be retained by the county department. If the person being screened does not apply for Medi-Cal, the form shall be retained for at least 90 days.
(B) A copy shall be given to the person being screened.
§50143. Persons Who May File an Application for Medi-Cal.
Note     •     History

(a) Any person who wishes to receive Medi-Cal may file an application. If the applicant for any reason is unable to apply on his own behalf, or is deceased, any of the following persons may file the application for the applicant.
(1) The applicant's guardian or conservator or executor.
(2) A person who knows of the applicant's need to apply.
(3) A public agency representative.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11050, 14001, 14005.4, 14005.7, 14016.1 and 14016.2, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
2. Amendment of subsection (a) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
§50145. Medi-Cal Application for Persons Applying for a Cash Grant.
Note     •     History

(a) A person or family applying and approved for any public assistance program as specified in Section 50227 shall not be required to submit a separate application for Medi-Cal. Medi-Cal eligibility is established automatically.
(b) A person or family specified in (a) may also apply for retroactive Medi-Cal in accordance with Section 50148.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1, 14019 and 14050.1, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
3. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
4. Amendment filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
5. Amendment of section heading, subsection (a) and Note filed 7-21-2011; operative 8-20-2011 (Register 2011, No. 29).
§50146. Medi-Cal Application for Persons Applying for In-Home Supportive Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1 and 12305, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Repealer filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
§50147. Application for Medi-Cal Only.
Note     •     History

(a) A person or family applying for Medi-Cal only shall submit a completed application form to the county department.
(b) The county department shall, within 30 days of receipt of a referral from the Department pursuant to 50183.5, contact an ABD person in a long-term care facility and assist the ABD person with the completion of an application form for Medi-Cal-only.
(1) An application for Medi-Cal-only shall be completed when:
(A) The ABD person has been in long-term care for more than the month of admission and is expected to remain in the facility for at least 30 days.
(B) The ABD person has nonexempt monthly gross income in excess of $44.90.
(2) The county department shall advise the Department immediately that an inappropriate referral has been received when the conditions in (1) do not exist.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004, and 14016, Welfare and Institutions Code.
HISTORY

1. Amendment filed 4-13-81; effective thirtieth day thereafter (Register 81, No. 16).
§50147.1. Child Applying for Medi-Cal.
Note     •     History

(a) A child may apply for Medi-Cal without parental contact in order to receive minor consent services. 
(b) A child applying on the basis of a need for minor consent services other than mental health care shall submit to the county welfare department a completed and signed form Request for Eligibility for Limited Services indicating the need for services related to one or more of these needs. 
(c) A child applying for Medi-Cal solely on the basis of a need for mental health care shall submit to the county welfare department a statement from a mental health professional: licensed marriage, family and child counselor; licensed educational psychologist; credentialed school psychologist; clinical psychologist; or a licensed psychologist which states that the child needs mental health treatment or counseling and meets both of the following conditions: 
(1) Is mature enough to participate intelligently in the mental health treatment or counseling on an outpatient basis. 
(2) Is one of the following: 
(A) In danger of causing serious physical or mental harm to self or others without mental health treatment or counseling. 
(B) The alleged victim of incest or child abuse. 
(d) The county department shall process the applications of children applying under (b) and (c) in accordance with the following: 
(1) If a child refuses to complete or sign the form or provide a statement of need for mental health care the child's application shall be denied. 
(2) If a child is not competent to complete or sign the form, the person completing the Statement of Facts in accordance with Section 50163(a)(2) and (3) may sign the form on the child's behalf. 
(3) After submission of the completed and signed form or statement of need for mental health care, the county department shall: 
(A) Deny the application if a child is under 12 years of age and applying for services related to drug abuse, alcohol abuse, venereal disease or a sexually transmitted disease or for mental health care.
(B) Issue POE labels under the child's existing Medi-Cal status if the child is currently included in a public assistance case or an MFBU which has no share of cost and is not enrolled in a PHP or PCCM plan. The child's separate application shall be denied.
(C) Deny the application if the child is currently eligible for Medi-Cal and enrolled in a PHP or PCCM plan and refer the child to the PHP or PCCM plan for care.
(D) Process the application and determine eligibility if the child is one of the following:
1. Currently included in an MFBU which has a share of cost.
2. Part of a family not currently receiving Medi-Cal.
3. Excluded from an MFBU.
4. An ineligible member of an MFBU.
(E) If the child is an unmarried minor parent, he/she shall be included in the MFBU with his/her child for minor consent services only.
(e) When a child is not living with the child's parents and county department determines that no person or agency accepts legal responsibility for the child, the county department shall process the child's application and determine his or her eligibility as an adult if the child appears to be competent.
(f) The parents of a child applying in accordance with (b) or (c) shall neither be contacted regarding the child's application nor informed that the application has occurred.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1, 14005.4, 14005.7, 14008, 14008.5, 14010, 14011, 14017, 14018, and 14088.3, Welfare and Institutions Code; Sections 25.6, 25.9, 34.5, 34.7, 34.9 and 34.10, Civil Code. 
HISTORY

1. New section filed 10-31-78 as an emergency, designated effective 11-1-78 (Register 78, No. 44). 
2. Certificate of Compliance filed 2-6-79 (Register 79, No. 15).
3. New subsection (c) filed 4-9-79; effective thirtieth day thereafter (Register 79, No. 15). 
4. Amendment filed 4-28-82; effective thirtieth day thereafter (Register 82, No. 18). 
5. Editorial correction filed 7-7-83 (Register 83, No. 29). 
6. Amendment of subsections (c) and (d) filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90.
7. Amendment refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
8. Request to readopt amendment on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-6-91.
9. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
10. Amendment of subsections (c) and (d) filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§50148. Application for Retroactive Medi-Cal.
Note     •     History

(a) A person or family applying for retroactive Medi-Cal shall:
(1) Submit a completed application form to the county department, if the application is for retroactive coverage only.
(2) Request retroactive coverage in one of the following ways if the request for retroactive Medi-Cal is made in conjunction with, or after, an application for public assistance or Medi-Cal:
(A) On the application form.
(B) On the Statement of Facts.
(C) By submitting a written request.
(b) An application for retroactive coverage pursuant to (a)(2) must be submitted within one year of the month for which retroactive coverage is requested.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11050, 14001, 14019 and 14019.6, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
2. New subsection (b) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
§50149. Application Form.
Note     •     History

(a) An application for Public Social Services shall be used as the application form for all Medi-Cal applications.
(b) The original of the completed form shall be placed in the case file.
(c) A copy of the completed form shall be given to the applicant at the time of application.
(d) Only one person's signature shall be required on the application or any other forms necessary to complete the eligibility determination.
(e) A new application form shall not be required for:
(1) Requests for restoration of aid.
(2) Interprogram transfers.
(3) Interprogram status changes.
(4) Request to add a family member to the Medi-Cal case.
(5) Redeterminations.
(6) Infants meeting the criteria under the Continued Eligibility Program as described in Section 50262.3.
NOTE

Authority cited: Sections 10725, 14016.10 and 14124.5, Welfare and Institutions Code. Reference: Sections 11050, 11053 and 14001, Welfare and Institutions Code.
HISTORY

1. Editorial correction filed 7-7-83 (Register 83, No. 29).
2. New subsection (e)(6) and amendment of Note filed 4-27-94 as an emergency; operative 4-27-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-25-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-27-94 order transmitted to OAL 8-24-94 and filed 9-29-94 (Register 94, No. 39).
§50151. Date of the Application.

(a) The date of application for a person or family applying for Medi-Cal shall be the date the completed application form is received by the county department.
(b) The date of application for a person or family applying for Medi-Cal in a county other than the county of responsibility shall be the date the completed application form is received by the county department in which the application is being made.
§50153. Medi-Cal Application--Process for All Programs.

(a) An application for Medi-Cal under any program other than SSI/SSP shall be an application for Medi-Cal under all such programs for which the person or family may be eligible.
(b) When taking an application, the county department shall:
(1) Determine the program under which the person or family may be eligible.
(2) Process the application under the appropriate program. Applications by persons who appear to be eligible for SSI/SSP shall be processed in accordance with (3). Applications by persons who appear to be eligible for AFDC hall be processed in accordance with (4).
(3) Refer persons who may be eligible for SSI/SSP, and who do not refuse to apply for that program, to the Social Security Administration for a determination of SSI/SSP eligibility.
(A) The referral shall be documented in the case file.
(B) Pending the SSI/SSP determination, the county department shall determine eligibility under any other program for which the person may be eligible.
(4) Applicants who appear to be eligible for an AFDC cash grant shall be advised of their potential eligibility and the application shall be processed under the AFDC cash grant program if the applicant so desires. The fact that the applicant was advised of potential AFDC cash grant eligibility shall be documented in the case file.
(c) A person or family may choose to have their application processed under any program for which they are eligible even if such program is not the most advantageous.
§50155. Withdrawal of Application--Request for Discontinuance.
Note     •     History

(a) An applicant or beneficiary may withdraw an application for or request discontinuance from Medi-Cal by any of the following methods:
(1) Completion of a Request for Withdrawal of Application or Discontinuance of Eligibility form.
(A) The original shall be placed in the case file.
(B) A copy shall be given to the applicant.
(2) Submission of a signed request for withdrawal or discontinuance. The request for withdrawal or discontinuance shall be placed in the case file.
(3) Failing to respond to a Notice of Action which requests that the beneficiary contact the county to indicate a desire to continue eligibility.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11050 and 14001, Welfare and Institutions Code.
HISTORY

1. Editorial correction filed 7-7-83 (Register 83, No. 29).
§50157. Face-to-Face Interview.
Note     •     History

(a) A face-to-face interview with the applicant, or the person completing the Statement of Facts, is required only at the time of application, reapplication, restoration or as specified in (d). The interview shall be completed within 30 days of the date of application, reapplication or restoration. 
(b) A face-to-face interview shall not be required at time of application, reapplication or restoration for persons who have a government representative, such as a public guardian, acting on their behalf. 
(c) A face-to-face interview at restoration shall not be required, for beneficiaries who have been notified that eligibility will be discontinued, if the request for restoration is received before the effective date of discontinuance. 
(d) A face-to-face interview shall be required at redetermination of eligibility for persons or families indicated in this paragraph. The interview shall be completed within the month in which redetermination is required. A face-to-face interview shall be completed once a year at time of redetermination for all MFBUs which contain at least one AFDC-MN or MI member, except for MFBUs consisting of any of the following: 
(1) Persons who receive Medi-Cal through the Aid for Adoption of Children program. 
(2) Persons who have a government representative, such as a public guardian, acting on their behalf. 
(3) MI children who are not living with a parent or relative and for whom a public agency is assuming financial responsibility in whole or in part. 
(e) The face-to-face interview shall be conducted by a representative of the county department unless, for good reason, a direct interview between the county department and the applicant or the person completing the Statement of Facts is not possible. In such a situation, the interview may be conducted by another public agency acting on behalf of the county department. 
(f) The representative of the agency conducting the interview shall verbally advise the applicant, or the person completing the Statement of Facts, in detail of the: 
(1) Eligibility requirements. 
(2) Medi-Cal benefits available under the Medi-Cal program. 
(3) Confidential nature of information received, including the fact that the parents will not be contacted, without the applicant's consent if the applicant is a child, requesting Medi-Cal for minor consent services in accordance with Section 50147.1. 
(4) Exchange of income and eligibility information through IEVS, including the fact that tax information will be obtained and that IEVS information will be used to verify income and eligibility. 
(5) Purposes, provisions and availability of social services, the Family Planning Program, Child Health Disability Prevention (CHDP) Program, Special Supplemental Food Program for Women, Infants and Children (WIC) and other public or private resources. 
(A) If the applicant is a pregnant, breastfeeding or postpartum woman as defined in Title 42, United States Code, Section 1786(b), or a parent/guardian of a child under the age of five, the applicant shall be provided with a WIC brochure to inform them of the availability of benefits provided under WIC.
(B) An oral explanation of the Special Supplemental Food Program for WIC benefits shall be given to those individuals who are unable to read.
(C) Referrals shall be made to the WIC program for all such individuals as specified in (A).
(D) The representative of the agency conducting the interview shall document by a notation on the Statement of Facts that the requirements of the CHDP program, as specified in subsections (f)(5) and (k) and Section 50184(b), and of the Special Supplemental Food Program for Women, Infants and Children (WIC) program as specified in (f)(5) and Section 50184(c), have been met.
(6) Possibility of being included in a quality control sample. 
(7) Availability of Medi-Cal prepaid health plans and PCCM plans in the area. 
(8) Right to request a fair hearing. 
(9) Responsibility to report to the county department and to any provider of health care services any existing contractual or other legal entitlement to other health care coverage; and, to fully utilize other health care coverage before using Medi-Cal benefits. The information to be reported shall include the name of the other health care coverage, policy and group numbers, and termination date, if available. Willful failure to comply with these requirements is a misdemeanor. 
(10) Responsibility to report to the county department the availability of any option to obtain other health care coverage through, but not limited to, the beneficiary's employer, labor union, trust fund, spouse or parent and to provide information requested by the Department which is necessary to determine if it would be cost effective for the Department to pay the premium to obtain or continue other health care coverage. 
(11) Responsibility to apply for, and/or retain any available other health care coverage when there is no premium cost to the beneficiary. Compliance with this requirement shall be a condition of coverage for Medi-Cal covered benefits to the party responsible for the acquisition or continuance of such health care coverage, and shall not interfere with Medi-Cal benefits provided to the remaining family unit. 
(12) Assignment of Rights Requirements as follows:
(A) Assignment to the state by an applicant, beneficiary, caretaker relative, or individual applying on behalf of an applicant, of all rights to medical support and to payments for medical care from a third party is a condition of eligibility.
(B) Receipts of Medi-Cal benefits shall constitute an assignment by operation of law except as provided below. This means that receipt of Medi-Cal benefits shall constitute automatic assignment of these rights that the individual may assign on his/her behalf, or on behalf of any other family member for whom he/she has the legal authority to assign such rights, as required in Section 50185.
(C) The county shall advise the individual that he/she has the right to refuse to assign these rights on behalf of himself/herself or the child on whose behalf application is made.
(D) An applicant, beneficiary, parent, or caretaker relative who does not wish to assign his/her rights or the rights of a person for whom he/she can legally assign rights to medical support and payments shall be given the opportunity to withdraw his/her Medi-Cal application, as specified in Section 50155.
(E) Refusal of the individual to assign these rights shall result in his/her denial or discontinuance of Medi-Cal eligibility.
(13) Responsibility of the applicant, beneficiary, parent, caretaker relative, or individual applying on behalf of the applicant, to cooperate in:
(A) Identifying and locating the absent parent.
(B) Establishing paternity for a child born out of wedlock for whom Medi-Cal is requested.
(C) Obtaining medical support and payments.
(D) Identifying and providing information concerning any third party who is or may be liable for medical care and services.
Failure of the applicant, beneficiary, parent, caretaker relative, or individual acting on behalf of an applicant to comply with the above shall result in denial or discontinuance of his/her eligibility unless good cause exists for not cooperating, as specified in Section 50771.5. If the applicant/beneficiary is a pregnant woman, cooperation with Sections (A), (B), and (C) above is waived until the end of the 60-day postpartum period.
(14) Applicant's or beneficiary's responsibilities as specified in Sections 50185 and 50187 which include but are not limited to: 
(A) Responsibility to report to the county department when Medi-Cal may be billed for health care services received by the beneficiary as a result of an accident or injury caused by some other person's action or failure to act. 
(B) Responsibility to report any changes in circumstances which may affect eligibility or share of cost within 10 calendar days following the date the change occurred. 
(C) Responsibility to furnish Social Security account numbers for all persons for whom Medi-Cal is requested.
(D) Responsibility to apply for Medicare, if eligible, and furnish the Health Insurance Claim Number. 
(g) During the interview, the representative of the agency conducting the interview shall complete and explain the contents of the following forms if the forms were not completed during screening:
(1) Important Information for Persons Requesting Medi-Cal (MC 210 Coversheet (9/91)) 
(2) Statement of Facts (Medi-Cal (MC 210 (3/92))
(3) Child Support Questionnaire (CA 2.1 Q Support Questionnaire (3/93)) and the Child/Spousal and Medical Support Notice and Agreement (CA 2.1 Notice of Agreement (12/89));
(4) Child Support Enforcement Program Notice (CS 196 (12/92)); and
(h) The applicant shall sign and date the forms referenced in subsection (g).
(i) The original of the Important Information for Persons Requesting Medi-Cal (MC 210 Coversheet (9/91)), and a copy of the Child Support Questionnaire (CA 2.1 Q Support Questionnaire (3/93)), and the Child/Spousal and Medical Support Notice and Agreement (CA 2.1 Notice of Agreement (12/89)) shall be placed in the case file.
(j) A copy of each relevant form referenced in i shall be given to the persons being interviewed and the originals of the Child Support Questionnaire (CA 2.1 Q (3/93)) and the Child/Spousal and Medical Support Notice and Agreement (CA 2.1 Notice of Agreement (12/89)) shall be forwarded, within two working days, to the district attorney.
(k) An informational pamphlet on the CHDP program shall be given to the applicant, if there are persons under 21 years of age in the family,
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004, 14000, 14001, 14005, 14005.4, 14008.6, 14010, 14011, 14012, 14023, 14088.3, 14100.2 and 14124.91, Welfare and Institutions Code; and Section 1902(a), Social Security Act, Title 42, United States Code, Section 1786(b); Title 42, United States Code, Sections 1396a(a)(11),(51),(52) and (53); Title 42, Code of Federal Regulations, Section 431.635; 42 CFR, Subpart M, 431.635; and 42 C.F.R. Sections 433.135, 433.136, 433.137, 433.138, 433.145, 433.146, 433.147, 433.148 and 435.604.
HISTORY

1. Amendment of subsection (c) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51). 
2. Amendment filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). 
3. Amendment of subsection (d)(3) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32). 
4. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2). 
5. Editorial correction filed 7-7-83 (Register 83, No. 29). 
6. Amendment of subsection (f) filed 7-16-87; operative 7-16-87 pursuant to Government Code section 11346.2(d) (Register 87, No. 30). 
7. Amendment of subsection (f) filed 6-28-89; operative 7-28-89 (Register 89, No. 26). 
8. Amendment of subsection (f)(7) filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90.
9. Amendment refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
10. Request to readopt amendment on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
12. Amendment of subsection (f) filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
14. Amendment of section and Note filed 4-16-93 as an emergency; operative 4-16-93 (Register 93, No. 16). A Certificate of Compliance must be transmitted to OAL 8-16-93 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 4-16-93 order including amendment of  Note transmitted to OAL 8-13-93 and filed  9-23-93 (Register 93, No. 39).
16. Amendment of subsection (f)(5), new subsections (f)(5)(A)-(D), repealer of subsection (l) and amendment of Note filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
§50159. Statement of Facts.

(a) Following completion of the application form, a Statement of Facts shall be completed, signed and filed with the county department.
(b) The Statement of Facts shall be used by the county department in the determination of the applicant's:
(1) Eligibility.
(2) Share of cost.
(3) Other health care coverage.
§50161. Statement of Facts Form.
Note     •     History

(a) A Statement of Facts is not required in determining Medi-Cal eligibility for a child receiving aid under the Aid for Adoption of Children program.
(b) A public agency, applying on behalf of a child who may be eligible as an MI child who is not living with a parent or relative and for whom a public agency is assuming financial responsibility in whole or in part, shall complete the Application and Statement of Facts for Child in Foster Care Supported by Public Funds, MC 250.
(c) An applicant applying for Medi-Cal under any other program shall complete the Statement of Facts, form MC 210.
(d) A person applying for Medi-Cal and requesting retroactive coverage shall complete the appropriate Statement of Facts for the current month and the Supplement to Statement of Facts for Retroactive Coverage/Restoration, MC 213, for the retroactive months. If only retroactive coverage is requested, a Statement of Facts, MC 210, shall be completed for one retroactive month for which Medi-Cal is requested and the MC 213 shall be completed for each additional retroactive month.
(e) An applicant or beneficiary who has a form CA 2 which has been completed within the last 12 months and which is on file with the county department need not complete the MC 210, unless the county department determines that the applicant's or beneficiary's circumstances have changed to such a degree as to require a new Statement of Facts.
(f) Any person requesting a restoration of Medi-Cal-only eligibility shall complete the Supplement to Statement of Facts for Retroactive Coverage/Restoration, form MC 213, unless the county department determines that the applicant's circumstances have changed to such a degree as to require a new MC 210, or unless a new MC 210 is required as part of redetermination of eligibility under Section 50189.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.4, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (c) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
3. Amendment of subsection (b) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
§50163. Persons Who May Complete and Sign the Statement of Facts.
Note     •     History

(a) The applicant or spouse of the applicant shall complete and sign the Statement of Facts, unless:
(1) The applicant is a child. Generally, the person or agency having legal responsibility for the child shall complete and sign the Statement of Facts. The child shall complete and sign the Statement of Facts if the child is competent and either of the following applies:
(A) The child is not living with the child's parents or caretaker relatives and the county has determined that no person or agency accepts legal responsibility for the child.
(B) The child is applying on his or her own behalf in accordance with Section 50147.1 (a).
(2) The applicant has a conservator, guardian or executor. In this case, the conservator, guardian or executor shall complete and sign the Statement of Facts.
(3) The applicant is incompetent, in a comatose condition or suffering from amnesia, and there is no spouse, conservator, guardian or executor. In this case:
(A) The county department shall evaluate the applicant's circumstances and determine whether or not there is a need for protective services.
(B) The Statement of Facts may be completed and signed on the applicant's behalf by a relative, a person who has knowledge of the applicant's circumstances, or a representative of a public agency or the county department.
(C) The person completing the Statement of Facts on behalf of the applicant shall provide all available information required on the Statement of Facts regarding the applicant's circumstances.
(D) If a county department representative completes and signs the Statement of Facts, another representative of that county department shall:
1. Confirm, by personal contact, the applicant's inability to act on his own behalf.
2. Countersign and approve any recommendations for eligibility.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11054, 14000, 14001, 14005.1, 14005.4, 14005.7, 14008, 14008.5, 14010, 14011, 14017, 14018 and 14051.5, Welfare and Institutions Code; Sections 25.6, 34.5, 34.7, 34.9 and 34.10, Civil Code.
HISTORY

1. Amendment of subsection (a)(1) filed 10-31-78 as an emergency; designated effective 11-1-78 (Register 78, No. 44).
2. Certificate of Compliance filed 2-6-79 (Register 79, No. 6).
3. Amendment filed 5-30-79 as an emergency; designated effective 6-1-79 (Register 79, No. 22).
4. Certificate of Compliance filed 9-19-79 (Register 79, No. 38).
5. Amendment of subsection (a)(1)(A) filed 2-11-82; effective thirtieth day thereafter (Register 82, No. 7).
6. Editorial correction of NOTE filed 7-7-83 (Register 83, No. 29).
§50165. Filing the Statement of Facts.
Note     •     History

(a) At the time the Statement of Facts is given or mailed to an applicant, the county department shall:
(1) Set a reasonable deadline for returning the Statement of Facts to the county department.
(2) Inform the applicant of the deadline.
(b) If the Statement of Facts is not returned personally or by mail by the deadline specified in (a), the county department shall:
(1) Attempt to contact the applicant or beneficiary to determine the reason for the delay.
(2) Extend the deadline for returning the Statement of Facts if a valid reason for the delay, such as incapacity, is found.
(3) Deny the application or discontinue eligibility if a valid reason for the delay cannot be established.
(c) A copy of the completed Statement of Facts shall be provided to the individual who signed it, at the request of that individual.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10001, 10060, 11004, 11050, 11054, 14001, 14011 and 14012, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50166. Obtaining Information for the Completion of the Statement of Facts.
Note     •     History

(a) The county department or the representative of a public agency completing the Statement of Facts in accordance with Section 50163(a)(3) shall:
(1) Perform a diligent search to obtain available information regarding the applicant's circumstances applicable to Medi-Cal eligibility determination.
(2) Complete the Statement of Facts based upon the findings of the diligent search.
(3) Establish disability in accordance with Section 50167(a)(1).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11054, 14000, 14001, and 14011, Welfare and Institutions Code.
HISTORY

1. New section filed 5-30-79 as an emergency; designated effective 6-1-79 (Register 79, No. 22).
2. Certificate of Compliance filed 9-19-79 (Register 79, No. 38).
§50167. Verification-Prior to Approval.
Note     •     History

(a) With regard to information on the Statement of Facts, the county department shall obtain verification of the following items in the manner specified below, prior to approval of eligibility:
(1) Blindness, as determined in accordance with Section 50219, and federal disability, as determined in accordance with Section 50223 (a)(1) or (b), shall be verified by any of the following methods:
(A) By determining that the person was eligible as an MN person on the basis of blindness or disability in December 1973, and that there has been continuing eligibility since that time.
(B) By obtaining verification that a prior determination of blindness or disability is still valid. Verification shall be documented by viewing any of the following or similar items and noting in the case record the date of the award letter or notification and the disability onset and reexamination dates:
1. A Social Security Administration Title II award letter indicating receipt of disability benefits provided the reexamination date has not passed or a reexamination date is not indicated and the applicant is still receiving those benefits. 
2. A Social Security Administration notification that Title II disability benefits have been increased or decreased provided the applicant is still receiving those benefits.
3. A Railroad Retirement Board notification of a total and permanent disability award provided the applicant is still receiving those benefits.
4. A signed statement from the Social Security Administration that states that the person is eligible for Title II benefits on the basis of a disability.
5. Documentation of a prior determination of disability under the MN program, if the determination was performed within the last 12 months unless: 
a. The reexamination date has passed.
b. The applicant indicates his/her physical or mental condition has improved.
6. Data on the SDX or a signed statement from the Social Security Administration indicating that a person was discontinued from SSI/SSP for reasons other than cessation of disability provided the procedures specified in (D) are followed within twelve months of the SSI/SSP discontinuance date.
(C) By obtaining a letter from a physician verifying any of the physical or mental impairments meeting the federal definition of presumptive disability or blindness contained in Title 20, Code of Federal Regulations, Section 416.934, provided the procedures specified in (D) are followed after eligibility is determined.
(D) By following procedures established by the California Department of Social Services, Disability Evaluation Division. All necessary information shall be submitted to that division not later than 10 days after the receipt of the Statement of Facts by the county, except in the event of a delay due to circumstances beyond the control of the county.
(2) Incapacity, as defined in Section 50211, shall be verified by viewing one of the following:
(A) A current Medical Report form or written statement signed by a physician, licensed or certified psychologist or authorized member of their staff which documents that incapacity exists and gives the expected duration of the condition.
(B) A current Certificate of Disability form.
(C) Documentation of current receipt of Title II or Railroad Retirement disability benefits.
(D) Documentation of current receipt of SSI/SSP benefits based on disability or blindness.
(E) Documentation of current receipt of State Disability Insurance (SDI) or Worker's Compensation.
(F) If a current Medical Report form or a written statement cannot be obtained without delay, and no other verification of incapacity exists, a verbal statement from one of the persons specified in (A) shall be accepted as verification for up to 60 days pending receipt of written verification.
(3) Alien status shall be verified in accordance with the alienage verification and documentation procedures described in Article 7.
(4) The fact that the parents and a public or private agency will not accept legal responsibility for a child shall be verified by documented verbal or written communication with the parents and agencies, if the child is applying alone on the basis that neither the parents nor an agency will accept legal responsibility. 
(5) SGA disability, as determined in accordance with Section 50223 (a) (2), shall be verified by following procedures established by the Department of Social Services, Disability Evaluation Division. All necessary information shall be submitted to the Department of Social Services by the county not later than 10 days after the receipt of the Statement of Facts by the county, except in the event of a delay due to circumstances beyond the control of the county.
(6) Identity of all persons other than those listed in (D). Identity shall be verified by viewing one of the following:
(A) California driver's license.
(B) Identification card issued by the Department of Motor Vehicles.
(C) Any other document which appears to be valid and establishes identity.
(D) Persons who are:
1. In an institution and contact is made with the facility to verify presence in the institution.
2. Receiving Medi-Cal through the Aid for Adoption of Children program. 
3. Children in a family, if identity of one parent has been verified 
4. Children requesting Medi-Cal for minor consent services in accordance with Section 50147.1.
5. MI children who are not living with a parent or relative and for whom a public agency is assuming financial responsibility in whole or in part.
6. Not acting on their own behalf and a government representative, such as a public guardian, is acting for them.
7. The spouse of a person whose identity has been verified.
(7) The following income and resources:
(A) Unearned income, which shall be verified by viewing any of the following:
1. Data from the IEVS which confirms information on the Statement of Facts.
2. Checks or copies of checks. County departments shall not require copies of checks issued by the United States Government.
3. Award letters.
4. Signed statements from persons or organizations providing the income. 
5. Check stubs.
6. Statements from checking, savings or trust fund accounts which indicate that the income is directly deposited for the applicant or beneficiary by the persons or organizations providing the income.
7. The statement of the person completing the Statement of Facts, for income received from the United States Government. This statement shall constitute verification pending receipt by the county department of verification from appropriate government agency, when the verification in 1 through 6 cannot be provided.
(B) Income in kind, which shall be verified by a written statement from the provider of the items of need. Verification shall be limited to those items which the applicant is claiming have a lower value than the values established in accordance with Section 50511 (b).
(C) Earned income, which shall be verified by viewing paycheck stubs. If paycheck stubs are not available, a signed statement from the employer verifying the amount and frequency of the payments shall be obtained. If an individual is self-employed, records kept by such individual for tax purposes shall be viewed.
1. Therapeutic Wages as defined in Section 50095.5 shall be verified by obtaining all of the following:
a. A statement from the individual's physician which provides that he/she has no financial interest in the LTC facility in which the individual resides and that the work has been prescribed as therapy for the individual.
b. A statement from the facility in which the individual resides verifying the individual's employment by that facility and that such employment does not displace any existing employees.
c. A statement(s) from the facility(ies) verifying that the individual has been an LTC resident for a continuous period commencing at least five years prior to September, 1984.
d. The provisions of this regulation also apply to eligibility determination or redeterminations made retroactively to October 1, 1984.
(D) Fluctuating income, which shall be verified by viewing check stubs or a copy of the checks that show the amount of income. If these are not available a signed statement from the person or organization making the payments verifying the amount and frequency of the payments shall be obtained.
(E) Child care costs, which shall be verified by viewing receipts and/or canceled checks.
(F) Cost of care for an incapacitated person while someone else is employed, which shall be verified by viewing receipts and/or canceled checks.
(G) Deductible expenses for maintenance or improvement of income-producing property, as defined in Section 50508, which shall be verified by viewing actual receipts for such services or a signed statement from the person providing the service or goods verifying the nature and cost of the service or goods. 
(H) The market value of real property, other than the principal residence, which shall be verified by viewing any of the following:
1. A current incorporated tax statement from the county Tax Assessor's Office.
2. Records maintained by the County Tax Assessor.
3. A written statement from a qualified real estate appraiser which gives the appraisal value of the property, when the applicant chooses to meet the conditions of Section 50412(a)(3).
(I) Checking or savings account balances, which shall be verified by viewing either of the following:
1. A current account statement from the institutions holding the funds.
2. Signed correspondence from the institution holding the funds.
(J) The value of stocks, bonds and mutual funds, which shall be verified by both:
1. Viewing the certificate or a signed statement from the issuing institution stating a description of the investment, including the number of shares owned.
2. Taking one of the following actions:
a. Telephone contact with a recognized stock exchange broker to establish at the current selling price of the property.
b. Establishment of the current selling price of the property through listings in a current newspaper.
(K) U.S. Savings Bonds values, which shall be verified by viewing the bond and by contacting any bank or institution where such bonds may be liquidated.
(L) The value of deeds of trusts, mortgages and other promissory notes, which shall be verified by both:
1. Viewing documents which state a description of the item.
2. Taking one of the following actions:
a. Viewing documents from the lender which establish the principal amount remaining on the note.
b. Viewing an appraisal obtained from a party qualified to appraise mortgages and notes as described in Section 50441 (c)(2).
c. Making a telephone contact with a recognized broker who buys, sells or appraises such items.
(M) The value of nonexempt motor vehicles, boats, campers or trailers, which shall be verified by viewing the appropriate document as follows:
1. Vehicle registration.
2. Appraisal statements when obtained pursuant to Sections 50461 and 50463.
(N) The cash surrender value of nonexempt life insurance policies, which shall be verified by viewing either of the following:
1. The value tables included in the policy.
2. Signed correspondence from the carrier indicating the current value.
(O) The value of nonexempt jewelry, which shall be verified by reviewing the appraisal statements.
(P) The value of burial trusts or prepaid burial contracts, which shall be verified by viewing the actual trust or contract or by viewing signed correspondence from the trustor or contractor which details its value.
(Q) The value of nonexempt property held in trust, which shall be verified by viewing either of the following:
1. A document indicating the trust's current value, executed by the trustor or executor.
2. An appraisal of the property obtained by the applicant from an agent qualified to appraise such property.
(R) Encumbrances of record on any item of property subject to verification, which shall be verified by either of the following:
1. A payment book issued by the institution or person holding the encumbrance which indicates the current amount of the encumbrance.
2. Written correspondence stating the amount of the encumbrance obtained by the applicant from the institution or person holding the encumbrance.
(S) The value of oil leases or mineral rights which shall be verified by one of the following:
1. Written or telephone contact with a member of a recognized professional appraisal society which establishes the current market value of the lease or right.
2. Viewing records maintained by the county tax assessor where the lease or right is located.
3. Written or telephone contact with the company/organization developing the natural resource which establishes the current market value.
(T) Health care benefits available through employment, retirement or military service which shall be verified by viewing those insurance policies which specifically name the applicant, health benefit identification cards, or letters from health care benefit providers. Health care benefits available through work related injuries or settlements from prior injuries shall be verified by viewing letters from the Workmen's Compensation Board, employers, or insurance companies.
(U) Application for unconditionally available income as determined in accordance with Section 50186, which shall be verified by viewing:
1. A Veterans Benefit Referral form, referral for veterans benefits.
2. Application printouts for disability insurance benefits.
3. Application printouts for unemployment insurance benefits.
4. Application receipts for OASDI benefits.
5. Application receipts for any other unconditionally available income source.
(V) Employee retirement contributions and other employee benefit contributions which shall be verified by viewing a statement from the employer. 
(8) Except for women applying for minor consent services under Section 50147.1, a woman whose eligibility or share of cost is based on pregnancy shall provide a letter of verification from either a physician or a person certified as a nurse practitioner, midwife or physician's assistant.
(9) Property as defined in Section 50425 (a)(7) is listed for sale with a licensed real estate broker at its fair market value and a bona fide attempt is being made to sell such property. This shall be verified by viewing a listing contract and appraisal from a qualified real estate appraiser.
(10) California residency shall be verified in accordance with Sections 50320.1 and 50320.2.
(b) The provisions of this section apply to all items listed in (a) at:
(1) Initial application and reapplication.
(2) The time a change is reported or at redetermination for items not previously verified.
(3) Redetermination for items which the county determines could have appreciated in value since the last verification.
(c) The applicant or the county shall make a diligent search to obtain documentation necessary to verify items (a)(7)(A) through (a)(7)(V) and (a)(9) above. Such a search shall include at a minimum, one contact with the appropriate person/organization from which this documentation could be obtained. When the county determines that such documentation cannot be obtained either by the applicant or by county within the promptness requirements listed in Section 50177, the county shall:
(1) List and retain in the case record all actions taken to obtain documentation required for verification.
(2) Obtain from the applicant, and retain in the case record, an affidavit dated and signed by the applicant under penalty of perjury which lists a description and value of any item for which documentation for verification purposes was determined not available.
(3) Obtain a signed and dated affidavit from the applicant under penalty of perjury which lists the amounts of any earned or unearned income received and retain this document in the case record.
NOTE

Authority cited: Sections 10725, 10740, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Sections 12305.5, 14001, 14005.1, 14005.3, 14005.4, 14005.7, 14005.13, 14006, 14007.5, 14008, 14010, 14011, 14017, 14018, 14051.5, 14148 and 14148.5, Welfare and Institutions Code; Sections 25.6, 34.5, 34.7, 34.9 and 34.10, Civil Code; Section 66 of Chapter 722, Statutes of 1992; Title 20, Code of Federal Regulations, Section 416.934; and 42 Code of Federal Regulations, 435.948.
HISTORY

1. Amendment of subsection (a)(8) filed 6-27-89 as an emergency; operative 6-27-89 (Register 89, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repeated on 10-25-89. For prior history, see Register 87, No. 30.
2. Certificate of Compliance transmitted to OAL 10-25-89 and filed 11-22-89 (Register 89, No. 48).
3. Amendment of subsection (a)(1) filed 4-17-89; operative 5-17-89 (Register 89, No. 48). 
4. New subsection (a)(10) and amendment of  Note filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
5. Amendment of subsections (a)(1)(B)1.-2., (a)(1)(B)4.-5. and (a)(1)(C), repealer of subsections (a)(1)(C)1.-13., amendment of subsections (a)(1)(D) and (a)(2), and amendment of Note filed 11-20-96; operative 12-20-96 (Register 96, No. 47).
§50167.2. Verification of Income--IEVS Requirements.
Note     •     History

(a) In administering the Medi-Cal program, the county department shall adhere to the requirements in Division 20.006, Manual of Policy and Procedures, Department of Social Services, governing:
(1) Submission of information to IEVS on applicants, beneficiaries and any other family member whose income and resources are considered in establishing eligibility and share of cost, for persons in long-term care status except as provided in (c).
(2) Use of matched IEVS information received from the Departments of Health Services and Social Services.
(3) Time requirements for completing case action based on IEVS information.
(4) Maintenance of records.
(5) Submission of reports.
(b) The county department shall review and compare the IEVS information against information contained in the case file and shall verify that IEVS information pertains to the applicant, beneficiary or other family member and is applicable to case circumstances in accordance with procedures established by the Department prior to taking case action based upon IEVS information alone.
(c) The county department shall submit information on persons in Long-Term Care status only at application and at the annual redetermination.
(d) In addition to the requirements of (a) the county department shall submit to the Department for submittal to the State Wage Information Collection Agency, the name and Social Security Number of the absent parent of any child in the MFBU to the extent such information is available in order to identify employers of the absent parent and any third party liability.
NOTE

Authority cited: Sections 10725, 10740 and 14124.5, Welfare and Institutions Code. Reference: 42 Code of Federal Regulations 433.138(c) and (d), and 435.940-435.965.
HISTORY

1. New section filed 7-16-87; operative 7-16-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 30).
§50167.5. Verification of Unearned Income Information from Internal Revenue Service (IRS) or Franchise Tax Board (FTB)--IEVS Requirements.
Note     •     History

(a) The county department shall not deny or terminate benefits to an applicant or beneficiary or increase the share of cost based on unearned income information from IRS or FTB until it has:
(1) Verified the amount of the income and the value of the property involved.
(2) Established whether the income or property was available to the individual.
(3) Determined the period or periods when the individual actually had the income or property.
(b) The county department shall verify the IRS or FTB information by either:
(1) Contacting the individual by a letter, written in a neutral, nonaccusatory manner, which advises of the:
(A) Information received from IEVS.
(B) Potential impact on eligibility or share of cost.
(C) Requirement to respond within 10 days.
(D) Consequences of failure to respond to the inquiry, as specified in Section 50175.
(2) Referring the case to the Department for investigation in accordance with procedures established by the Department.
NOTE

Authority cited: Sections 10725, 10740 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004, 11025, 14001, 14011 and 14014, Welfare and Institutions Code; and 42 Code of Federal Regulations 435.955.
HISTORY

1. New section filed 7-16-87; operative 7-16-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 30).
§50168. Verification--Within 60 Days.
Note     •     History

(a) With regard to information on the Statement of Facts, the county department shall obtain verification of the following items in the manner specified below, within 60 days of the date of initial application, but not necessarily prior to approval of eligibility:
(1) Social Security Numbers (SSNs) shall be submitted through the IEVS to the Social Security Administration for verification in accordance with procedures established by the Department.
(A) SSN(s) shall be confirmed by viewing Social Security cards, Social Security Administration form series OA-702. Any one of the following shall be acceptable if the Social Security card is not available:
1. An award letter, Medicare card or a check from the Social Security Administration showing the applicant's name and SSN with letters A, HA, J, T or M following the SSN.
2. Other documentation from the Social Security Administration upon approval by the Department.
(B) Application for an SSN or evidence of an SSN shall be confirmed by viewing Social Security Administration district office notification that application for an SSN or evidence of an SSN has been made.
(b) Medicare eligibility shall be verified by viewing a Health Insurance Card, form SSA-1966, an award letter showing the individual's Health Insurance Claim number (HIC), an Explanation of Medicare Benefits (EOMB) issued by the Medicare fiscal intermediary, or a bill for Premium Part A or Part B, form SSA 1545 or 1545A.
(c) If a person or family receives a Medi-Cal card prior to verification of an HIC number, SSN, application for an SSN or evidence of an SSN, and that verification is not completed within the time limit for reasons within the beneficiary's control:
(1) Eligibility no longer exists and the person shall be discontinued. In family situations only the person or persons whose number is not verified shall be discontinued.
(2) Eligibility shall not be reapproved until the required evidence is submitted.
NOTE

Authority cited: Sections 10725, 10740 and 14124.5, Welfare and Institutions Code; and Section 57, Chapter 328, Statutes of 1982. Reference: Sections 11004, 14001 and 14011, Welfare and Institutions Code; and 42 Code of Federal Regulations 435.910(g).
HISTORY

1. Amendment of subsections (a) and (b) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsections (a) and (c) and new subsection (d) filed 4-9-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
4. Amendment filed8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
5. Certificate of Compliance transmitted to OAL 12-14-82 and filed 1-21-83 (Register 83, No. 4).
6. Editorial correction of subsection (a)(1)(C) filed 7-7-83 (Register 83, No. 29).
7. Amendment filed 7-16-87; operative 7-16-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 30).
§50169. Additional Verification Requirements.
Note     •     History

(a) The county department shall not require verification of information, other than the verification specified in these regulations, unless the county department considers the verification necessary to ensure a correct eligibility determination in the specific case. 
(b) The need for in-home supportive services as determined under the IHSS program pursuant to the standards and procedures established for that program, DSS Manual of Policies and Procedures, division 30, sections 30-700 through 30-775, shall be verified prior to the application of the deduction specified in section 50551.6. Such determination and verification shall be limited to the type and amount of services needed. The payment for IHSS services shall be verified by viewing cancelled checks, or receipts signed by the provider of service. 
(c) The county department shall document in the case file the type of verification obtained when verification is required under (a) or (b) or under sections 50167 and 50168. 
(d) The following items shall be verified at each redetermination, restoration or reapplication. 
(1) Incapacity. 
(2) Legal responsibility for a child applying alone. 
(3) Refusal of the parent to apply for an 18 to 21 year old child. 
(4) Income, except income received from the United States government which has previously been verified in accordance with the provisions of sections 50167(a)(7)(A)1. through 5. or for which verification has been obtained from the appropriate government agency. 
(5) Status and value of nonexempt property. 
(6) The continuing need for IHSS services. 
(7) Immigration status; provided, however, that the county department shall not require or request an applicant for or a beneficiary of restricted Medi-cal benefits to disclose their citizenship or immigration status, birthplace, country of citizenship, alien registration number and/or alien admission number, date of first entry into the United States, or name upon first entry into the United States. 
(e) County departments shall verify the immigration status of all alien applicants for full Medi-Cal benefits and of persons applying for restricted Medi-Cal benefits who indicate they are amnesty aliens. 
(f) The following items shall be verified whenever there is a change:
(1) Blindness. 
(2) Disability. 
(3) Immigration status; provided, however, that the county department shall not require or request an applicant for or a beneficiary of restricted Medi-cal benefits to disclose their citizenship or immigration status, birthplace, country of citizenship, alien registration number and/or alien admission number, date of first entry into the United States, or name upon first entry into the United States.
(4) SSN; provided, however, that the county department shall not require or request an applicant for or a beneficiary of restricted Medi-cal benefits to disclose whether they have a Social Security Number or what that number is.
(5) HIC number. 
(6) A change in residency shall be verified whenever one of the following conditions exists:
(A) The applicant or beneficiary is absent from the state for less than 60 days and claims to be a resident of California, and the county has evidence to the contrary pursuant to Section 50321(a).
(B) The applicant or beneficiary is absent from the state for more than 60 days and claims to meet the conditions of Section 50323 for maintaining California residency.
(g) The following procedures shall apply, for persons who were determined eligible prior to the effective date of this subsection and who have not submitted an SSN, at the time of the next redetermination, restoration or reapplication: 
(1) Section 50168(a)(1) shall apply when a face-to-face interview is required. 
(2) Persons for whom a face-to-face interview is not required shall submit an SSN, or evidence of application for an SSN, within 60 days.
(h) Certification for Medi-Cal shall not be delayed or discontinued pending receipt of verification from a person who is currently eligible unless the beneficiary refuses to cooperate. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 2, Chapter 364, Statutes of 1984; and Section 9, Chapter 1441, Statutes of 1988. Reference: Sections 14005.14, 14007.5 and 14011, Welfare and Institutions Code; and the Crespin v. Kizer court order (Alameda County Superior Court, December 16, 1992). 
HISTORY

1. Amendment of subsections (d) and (e), and relettering of subsections (e), (f) and (g) filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. For prior history, see Register 85, No. 43.
2. Amendment of subsections (d) and (e), and relettering of subsections (e), (f) and (g) refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
3. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-05-90 and disapproved 8-6-90 (Register 90, No. 42).
4. Amendment filed 8-23-90 as an emergency pursuant to section 9 of chapter 441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day. 
5. Certificate of Compliance as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
6. New subsections (f)(6)-(f)(6)(B) and amendment of subsections (d)(7), (f)(3), (f)(4) and Note filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50171. Clarification of Statement of Facts.
Note     •     History

(a) All information provided on the Statement of Facts other than that verified in accordance with Sections 50167, 50168 and 50169 shall be accepted as a basis for determination of eligibility and share of cost, unless the Statement of Facts is unclear or inconsistent.
(b) If additional clarification is needed, the county department shall inform the person who signed the Statement of Facts of the information needed and the reason for the request. Such persons shall be responsible for securing the additional information.
(c) If the person who signed the Statement of Facts has difficulty in securing the necessary information, the county department shall, with the person's written consent, obtain the information. The Applicant Authorization for Release of Information form shall identify persons to be contacted and the specific information to be requested.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004, 11050, 14001 and 14011, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) and new subsection (c) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Editorial correction of subsection (c) filed 7-7-83 (Register 83, No. 29).
§50172. Verification by Signature.
Note     •     History

(a) The signature on the Statement of Facts shall be accepted as verification of the facts if both of the following conditions are met, except as specified in (c):
(1) The information required for establishing eligibility under these regulations is not available.
(2) The county department determines that the information provided on the Statement of Facts is sufficient to determine eligibility. If the information on the Statement of Facts is insufficient, the county department shall accept a signed statement, from the person completing the Statement of Facts, providing the necessary supplemental information.
(b) The county department shall state on the Statement of Facts that this is the only method of verification available, if this method of verification is used.
(c) The signature on the Statement of Facts shall not be accepted as verification of a person's SSN, application for an SSN or for evidence of an SSN.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14011, Welfare and Institutions Code.
HISTORY

1. New section filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsection (a) and new subsection (c) filed 4-9-80; effective thirtieth day thereafter (Register 80, No. 15).
§50173. Eligibility Determination.
Note     •     History

(a) The county department shall determine the person's or family's eligibility and share of cost after the applicant for Medi-Cal has applied, completed the Statement of Facts, and provided all essential information. The eligibility and share of cost determination shall be completed in the following manner: 
(1) Those persons whose eligibility is being determined as Other PA recipients shall have their eligibility determined in accordance with the regulations and procedures governing the program to which they are linked and any other requirements applicable to their aid category, as specified in sections 50237 through 50247. 
(2) Those persons whose eligibility is being determined as MN or MI shall have their eligibility and share of cost determined in accordance with articles 4 through 13 (commencing with section 50141). 
(b) A determination based on the results of a county search for information under section 50166 shall be completed in the same manner as any other determination. 
(1) Only the income and resources discovered through the search shall be considered available. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Sections 11054, 14000, 14001, 14007.5 and 14011, Welfare and Institutions Code. 
HISTORY

1. New subsection (b) filed 5-30-79 as an emergency; designated effective 6-1-79 (Register 79, No. 22). 
2. Certificate of Compliance filed 9-19-79 (Register 79, No. 38). 
3. Amendment of subsection (b) filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
4. Amendment of subsection (b) refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
5. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
6. Amendment of subsection (b) filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50175. Denial or Discontinuance Due to Lack of Information, Noncooperation or Loss of Contact.
Note     •     History

(a) The application shall be denied or eligibility shall be discontinued under any of the following circumstances:
(1) There is insufficient information available to make an eligibility determination, after the county department has made a reasonable effort to obtain the necessary information.
(2) The applicant or person completing the Statement of Facts fails, without good cause, to provide necessary verification or to cooperate with the county department in resolving incomplete, inconsistent or unclear information on the Statement of Facts.
(3) The beneficiary fails, without good cause, to return a status report required under Section 50191 (a) or (b).
(4) The applicant or beneficiary fails, without good cause, to participate in the face-to-face interview in accordance with Section 50157.
(5) The applicant or beneficiary fails, without good cause, to respond within 10 days to a letter from the county department identifying information received from the IEVS and requesting further information.
(6) The county department, after reasonable attempts to contact the applicant or beneficiary, determines that there is loss of contact.
(7) The applicant or beneficiary;
(A) Refuses to assign to the state all rights to medical support and payments as specified in Section 50185(a)(11).
(B) Fails to cooperate with the state, county department, and the district attorney's office, without good cause, as specified in Section 50771.5 in:
1. Providing information to establish paternity for a child under eighteen years of age born out of wedlock for whom Medi-Cal is requested;
2. Obtaining medical support and payments; and
3. Identifying and providing information to assist the state, county, or district attorney in pursuing any third party who is or may be liable to pay for medical care, services, or support.
In the case of a refusal to assign rights or to cooperate in (B) above, the parent or caretaker relative will be given the opportunity to withdraw his/her application. Refusal to withdraw the application shall result in his/her ineligibility as specified in Section 50379.
(b) A person or family whose eligibility is denied or discontinued for any of the reasons specified in (a) may:
(1) Reapply at any time, including the original month of application.
(2) Have the denial or discontinuance rescinded by providing evidence that the person or family had good cause for not meeting the conditions specified by the county department.
(c) For purposes of this section good cause includes, but is not limited to:
(1) Failure of the county to provide the beneficiary with the required status report form or with the information that failure to complete and return the form may result in discontinuance.
(2) Failure of the postal system to deliver the required status report forms in a timely manner.
(3) Physical or mental illness or incapacity of the beneficiary and the authorized representative which precludes their completion or return of the completed status report form in a timely manner, or which precludes their participation in the face-to-face interview.
(4) A level of literacy of the beneficiary and the authorized representative which, in conjunction with other social or language barriers, precludes the beneficiary and the authorized representative from completing the status report.
(5) Failure of the county to process properly the submitted Statement of Facts or status report form.
(6) Unavailability of transportation to the county department for the face-to-face interview.
(7) A determination by the county department that the applicant or beneficiary (1) failed to cooperate in obtaining medical support and payments for himself/herself and for any other individual for whom he/she is applying; in identifying and providing information to assist the state, county, and/or district attorney in pursuing any third party who is or may be liable to pay for medical care, services, and support; and in establishing paternity, but (2) met the good cause criteria specified in Section 50771.5.
NOTE

Authority cited: Sections 10725, 10740 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004, 11050, 14001, 14008.6, 14011, 14012, 14014 and 14016, Welfare and Institutions Code; and 42 Code of Federal Regulations 435.955(c)(2); and 42 C.F.R. Sections 433.135, 433.136, 433.137, 433.138, 433.145, 433.146, 433.147, 433.148 and 435.604.
HISTORY

1. Amendment of subsection (b) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
3. Editorial correction of Note filed 7-7-83 (Register 83, No. 29).
4. Amendment of subsection (a) filed 7-16-87; operative 7-16-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 30).
5. New subsections (a)(7)-(a)(7)(B)3. and (c)(7), and amendment of subsections (a), (c)(5) and Note filed 4-16-93 as an emergency; operative 4-16-93 (Register 93, No. 16). A Certificate of Compliance must be transmitted to OAL 8-16-93 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-16-93 order including amendment of  Note transmitted to OAL 8-13-93 and filed  9-23-93 (Register 93, No. 39).
§50176. Discontinuance Due to Death.

Eligibility, shall be discontinued at the end of the month in which a person dies.
§50177. Promptness Requirement.
Note     •     History

(a) The county department shall complete the determination of eligibility and share of cost as quickly as possible but not later than any of the following:
(1) Forty-five days following the date the application, reapplication or request for restoration is filed.
(2) Ninety days following the date the application, reapplication or request for restoration is filed when eligibility depends on establishing disability or blindness.
(b) The 45- and 90-day periods may be extended for any of the following reasons:
(1) The applicant, the applicant's guardian, or other person acting on the applicant's behalf, has for good cause, been unable to return the completed Statement of Facts, Supplement to Statement of Facts for Retroactive Coverage/Restoration, or necessary verification in time for the county department to meet the promptness requirement.
(2) There has been a delay in the receipt of reports and information necessary to determine eligibility and the delay is beyond the control of either the applicant or the county department.
(c) The determination of eligibility shall be considered complete on the date the Notice of Action is mailed to the applicant.
NOTE

Authority cited: Sections 10725, 14124.5 and 14154.2(b), Welfare and Institutions Code. Reference: Sections 11052, 11055, 14001, 14011, 14016, and 14154.2(b) Welfare and Institutions Code; and 42 Code of Federal Regulations 435.911.
HISTORY

1. Amendment of subsection (b)(1) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
3. Amendment of subsection (b) filed 3-7-80 as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 7-6-80.
4. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
5. Editorial correction of NOTE filed 7-7-83 (Register 83, No. 29).
6. Change without regulatory effect filed 1-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 8).
§50179. Notice of Action--Medi-Cal-Only Determinations or Redeterminations.
Note     •     History

(a) County departments shall notify beneficiaries in writing of their Medi-Cal-only eligibility or ineligibility, and of any changes made in their eligibility status or share of cost. This notification shall be called the “Notice of Action.”
(b) The Notice of Action shall be on a form prescribed by the Department and shall include the name and telephone number of the eligibility worker who completed the eligibility determination, and the date the form was completed. A copy of the Notice of Action shall be placed in the case file.
(c) The Notice of Action shall include the following:
(1) The approval, denial or discontinuance of eligibility, the recision of a denial or discontinuance, or the change in the share of cost and the effective date of the action.
(2) The amount of the share of cost, if any, and the amount of the net nonexempt income used to determine the share of cost.
(3) The reason an action is being taken and the law or regulation that requires the action, if the action is a denial, discontinuance or increase in share of cost.
(4) The right to request a State hearing if dissatisfied with:
(A) Any action or inaction by the county department that affects the applicant's or beneficiary's Medi-Cal eligibility or share of cost, except as limited in Section 50951(a).
(B) Any action taken by, or on behalf of, the Department that affects the applicant's or beneficiary's Medi-Cal benefits.
(5) The procedures for requesting a State hearing and the time limits within which a state hearing must be requested.
(6) The circumstances under which aid will be continued if a hearing is requested.
(7) A statement, when appropriate, regarding the information or action necessary to reestablish eligibility or determine a correct share of cost.
(d) The Notice of Action shall be mailed for:
(1) Adverse actions, at least 10 calendar days prior to the first of the month in which the action becomes effective, excluding the date of mailing.
(2) Discontinuances or increases in the share of cost which are not adverse actions, in sufficient time to reach the beneficiary by the effective date of the action.
(3) All other instances, no later than the date the county department takes the action.
(e) Duplicate Notices of Action shall be mailed to the administrator of the long-term care facility in which the applicant or beneficiary resides, if the applicant or beneficiary or person acting on their behalf has made such a request.
(f) Conditional notices, which advise applicants or beneficiaries that eligibility will be denied or discontinued unless specified actions are taken by the applicants or beneficiaries, shall not be considered to meet the Notice of Action requirements of (a).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10950, 10951, 11002, 11004, 11052, 11055, 14000, 14005, 14016, 14016.2, 14023, 14023.7 and 14124.90 Welfare and Institutions Code.
HISTORY

1. Amendments of subsections (a) and (c) filed 6-28-89; operative 7-28-89 (Register 89, No. 26). For prior history, see Register 81, No. 21.
2. Amendment of subsection (c)(1), repealer of subsections (c)(4)-(c)(7), and subsection renumbering filed 9-10-97; operative 10-10-97 (Register 97, No. 37).
§50179.5. Notice of Action--County Cash Assistance Determinations or Redeterminations Which Affect County Cash-Based Medi-Cal Eligibility.
Note     •     History

(a) Persons who are granted, denied or discontinued from county cash-based programs shall be notified by the county department, in writing, of their eligibility or ineligibility for county cash-based Medi-Cal. Additionally, persons who are discontinued shall be notified of their continued Medi-Cal eligibility status in accordance with (c).
(b) The form of notification shall be one of the following:
(1) The appropriate Notice of Action prescribed by the Department of Social Services, if the notification regarding Medi-Cal eligibility does not affect the adequacy of timeliness of the cash assistance.
(2) A Medi-Cal Notice of Action, if the notification regarding Medi-Cal eligibility would affect the adequacy of timeliness of the cash assistance.
(c) A Notice of Action of discontinuance of county cash-based Medi-Cal shall include notice that one of the following actions has been taken:
(1) A referral for determination of Medi-Cal eligibility under another program is being made and notification of that determination will follow.
(2) A Medi-Cal-only determination has been made and the specific results of that determination.
(3) County cash-based Medi-Cal is being discontinued for one of the reasons stated in Section 50183 and a determination of Medi-Cal-only eligibility will require a separate application.
(4) A cash grant is being discontinued due to failure of the recipient to submit data on current status, via Monthly AFDC Eligibility and Income Report form or another approved method. An automatic reevaluation of Medi-Cal eligibility under any program will be done only if the data is provided by the effective date of the notice.
(5) Additional information is required to permit completion of a Medi-Cal-only determination. The information required may include the person's wishes concerning continued Medi-Cal eligibility. The county department may require that the person provide the information by a specific date.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 11004, Welfare and Institutions Code.
HISTORY

1. New section filed 3-5-81; effective thirtieth day thereafter (Register 81, No. 10).
2. Editorial correction of subsection (c)(4) filed 7-7-83 (Register 83, No. 29).
3. Amendment of subsections (b)(1)-(2) and (c)(4) and amendment of Note filed 7-21-2011; operative 8-20-2011 (Register 2011, No. 29).
§50179.7. Notice of Action--Medi-Cal Eligibility of SSI/SSP Recipients.
Note     •     History

(a) The Department of Health Services shall notify persons determined to be eligible for SSI/SSP by the Social Security Administration that they are also eligible for Medi-Cal.
(b) The Department of Health Services shall notify persons whose Medi-Cal eligibility has been discontinued by the Department pursuant to Section 50183.5 that their public assistance Medi-Cal eligibility has been discontinued and that the county department will contact them to assist them with the completion of a Medi-Cal-only application.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004 and 14016, Welfare and Institutions Code.
HISTORY

1. New section filed 4-13-81; effective thirtieth day thereafter (Register 81, No. 16).
§50180. Action Prior to Denial of Application.

Persons or families denied Medi-Cal eligibility under any program other than SSI/SSP shall have their circumstances evaluated by the county department prior to denial. If it appears that eligibility would exist under any program other than SSI/SSP, the application shall be processed under that program. The date of application shall be the date of the original application.
§50181. Action Following Denial of an SSI/SSP Application.
Note     •     History

(a) Persons denied SSI/SSP eligibility, who then apply for Medi-Cal at the county department, shall have their application processed under the appropriate program. The date of application shall be:
(1) The date of the original application for SSI/SSP for those persons who apply at the county department within 30 days of receipt of a written notice of denial of SSI/SSP benefits.
(2) The date the person's completed application form is received by the county department for those persons who do not apply at the county department within the 30-day period specified in (1).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11057, 14001, 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50182. Corrective Action on Denied Applications.

(a) A denial of an application shall be rescinded in either of the following situations:
(1) A fair hearing decision orders such action.
(2) The county department determines that the denial was in error.
(b) Medi-Cal eligibility that results from corrective action taken on a denied application shall be approved based on the date of the application that was denied.
§50183. Transfer Between Programs.
Note     •     History

(a) A person or family who has been receiving Medi-Cal under any program other than SSI/SSP and whose eligibility is discontinued shall be evaluated by the county department to determine if Medi-Cal eligibility exists under any other program. If it appears that eligibility would exist for:
(1) AFDC, regulations pertaining to the appropriate AFDC program shall be followed in transferring the case and establishing eligibility.
(2) SSI/SSP, the person shall be referred to the Social Security Administration. This referral shall be documented in the case file. Pending the SSI/SSP determination, the county department shall determine eligibility under any other program for which the person may be eligible.
(3) Only Medi-Cal-only, the county department shall initiate an intraprogram status change or interprogram transfer to the appropriate aid category and shall determine eligibility under that aid category. A new application form is not required.
(b) The county shall not be required to evaluate Medi-Cal eligibility under another program when a beneficiary has:
(1) Been discontinued due to any of the following:
(A) A move out of state.
(B) A move with loss of contact.
(C) Death.
(2) Established Medi-Cal eligibility simultaneously in two or more different counties or under two or more different programs or identities, and eligibility was discontinued in all but one county or under all but one program or identity.
(3) Been discontinued from the program due to noncooperation in supplying information needed to meet cash grant eligibility requirements, and those same requirements exist for all Medi-Cal-only programs for which the person may be eligible.
(c) Persons whose SSI/SSP eligibility has been discontinued may apply for Medi-Cal at the county department.
(1) A new application shall be completed, unless the family of the person discontinued from SSI/SSP is currently receiving Medi-Cal. In this case, the request for aid shall then be treated as a request to add a family member to the Medi-Cal case.
(2) The date of the application shall be the date the completed application form is received by the county department.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005 and 14016, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a)(1) and (b)(1) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsection (a)(1) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
3. Amendment filed 3-5-81; effective thirtieth day thereafter (Register 81, No. 10).
4. Editorial correction of subsection (a)(3) filed 7-7-83 (Register 83, No. 29).
5. Amendment of subsections (a)(1)-(a)(3) and (b)(3) and amendment of Note filed 7-21-2011; operative 8-20-2011 (Register 2011, No. 29).
§50183.5. Action Following Medi-Cal Discontinuance by the Department.
Note     •     History

(a) The Department shall inform the county department of any ABD person whose Medi-Cal eligibility as an SSI/SSP PA recipient has been discontinued because the conditions in (1)(A) and (B) exist.
(1) The county department shall contact the person and assist the person with the completion of an application for Medi-Cal-only pursuant to Section 50147 when the following conditions exist.
(A) The person has been in long-term care for more than the month of admission and is expected to remain in the facility for at least 30 days.
(B) The person has nonexempt monthly gross income in excess of $44.90.
(2) The county department shall advise the Department immediately that an inappropriate referral has been received when the conditions in (1) do not exist.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004 and 14016, Welfare and Institutions Code.
HISTORY

1. New section filed 4-13-81; effective thirtieth day thereafter (Register 81, No. 16).
§50184. Referral for Social Services.
Note     •     History

(a) The county department shall refer a person or family for social services in accordance with Department procedures if it appears that there is a need for such services.
(b) A referral for social services shall also be made for the following needs related to the CHDP Program unless other arrangements have been made with the local CHDP Program:
(1) Assistance in:
(A) Arranging for screening services for persons under 21 years of age under the CHDP Program.
(B) Overcoming fears of medical treatment.
(C) Understanding the importance of preventive health.
(2) Arranging for transportation, child care or other services to enable the individual to take advantage of CHDP benefits.
(c) The county department shall notify all applicants who are pregnant, breastfeeding or postpartum women as defined in Section 50157(f)(5)(A) or parents/guardians of children under the age of five of the availability of benefits provided by the Special Supplemental Food Program for Women, Infants and Children (WIC) program by giving the applicant a WIC brochure.
(1) An oral explanation of WIC benefits shall be given to those individuals who are unable to read.
(2) Referral shall be made to the WIC program if there appears to be a need for such services for all such individuals, as specified in subsection (c) above.
(d) The Department of Health Services, no less frequently than annually, shall provide written notification concerning the WIC program to all Medi-Cal beneficiaries who might be pregnant, breastfeeding, or postpartum as defined in Section 50157(f)(5)(A), or a parent/guardian of a child under the age of five.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10001, 10051, 14000, 14001 and 14001.1, Welfare and Institutions Code; Title 42, United States Code, Sections 1396a(a)(11), (51), (52) and (53); Title 42, Code of Federal Regulations, Section 431.635; and Section 1902(a) of the Social Security Act.
HISTORY

1. Editorial correction adding Note filed 7-7-83 (Register 83, No. 29).
2. New subsections (c)-(d) and amendment of Note filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
§50185. Applicants' and Beneficiaries' General Responsibilities.
Note     •     History

(a) As a condition of eligibility, applicants and beneficiaries, and persons acting on behalf of such applicants or beneficiaries, shall:
(1) Complete and participate in the completion of all documents required in the application process or in the determination of continuing eligibility.
(2) Make available to the county department all documents needed to determine eligibility and share of cost, as specified in Sections 50167 through 50172.
(3) Report all facts that are pertinent to the determination of eligibility and share of cost.
(4) Report the following facts to the county department that may affect the determination of eligibility and share of cost within 10 calendar days following the date the change occurred:
(A) Change of address.
(B) Change in property or income.
(C) Change in family composition.
(D) Change in other health care coverage.
(5) The requirement to report to the county department and to any provider of health care services any existing contractual or other legal entitlement to other health care coverage; and, to fully utilize other health care coverage before using Medi-Cal benefits. The information to be reported shall include the name of the other health care coverage, policy and group numbers, and termination date, if available.
(6) Responsibility to report to the county department the availability of any option to obtain other health care coverage through, but not limited to, the beneficiary's employer, labor union, trust fund, spouse or parent and to provide information necessary for the Department to determine if it would be cost effective for the Department to pay the premium to obtain or continue other health coverage.
(7) The requirement to apply for, and/or retain any available other health care coverage when there is no premium cost to the beneficiary. Compliance with this requirement shall be a condition of coverage for Medi-Cal covered benefits to the party responsible for the acquisition or continuance of such health care coverage, and shall not interfere with Medi-Cal benefits provided to the remaining family unit.
(8) Cooperate fully in any investigation that may be required for quality control.
(9) Report, apply for, and utilize all other health care coverage available to the individual or family group in accordance with Section 50763.
(10) Complete Medi-Cal status reports in accordance with Section 50191 (a) or (b).
(11) Promptly notify the county department which initially established Medi-Cal eligibility of any changes in residence from one county to another within the state and apply for a redetermination of eligibility within the new county of residence. “Apply for a redetermination of eligibility,” as used in this section, is defined as any clear expression to the county department, whether verbal or written, that the beneficiary is living in the county and wishes to continue receiving Medi-Cal.
(12) Cooperate with the state, county department, and the district attorney's office in all of the following:
(A) Establishing paternity for a child under eighteen years of age born out of wedlock for whom Medi-Cal is requested.
(B) Obtaining medical support and payments; and
(C) Providing all of the information requested by the state, county department, and district attorney's office, which is necessary to identify, locate, and pursue any  third party, including an absent parent, who is or may be liable for medical care and services or support.
(13) In the case of a woman who is pregnant, or a child who was born out of wedlock or whose parent is absent from the home, at the conclusion of the 60-day postpartum period:
(A) Complete the Child Support Questionnaire (CA 2.1 Q Support Questionnaire, Revised 3/93), the Child/Spousal and Medical Support Notice and Agreement (CA 2.1 Notice and Agreement, Revised 12/92), and any additional forms specified in the district attorney and approved by the Department of Health Services;
(B) Appear at the county department and at the office of the district attorney to provide information, when requested;
(C) Provide to the county department and to the district attorney all information which is relevant to the case.
(D) Appear as a witness in court or in other hearings and proceedings relating to (9) and (10) above.
(14) Assign to the state all rights to any medical support and to payments for medical care from any third party, as specified in Section 50157.
(b) Applicants and recipients whose eligibility is determined by the Social Security Administration shall, as a condition of eligibility, comply with subsections (a)(9), (a)(10), and (a)(11) above, and report to the Department and utilize all other health care coverage available to them in accordance with Section 50763.
(c) If the Statement of Facts has been completed and signed by someone other than the applicant or beneficiary, the responsibilities stated in (a) and (b) shall rest with that person as well as with the applicant or beneficiary.
(d) The county shall assist the applicant or beneficiary as necessary in meeting the requirements of this section.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10740, 11004(a) and (b), 11053, 14001, 14008.6, 14011, 14016 and 14100.1, Welfare and Institutions Code; and 42 C.F.R. Sections 433.135, 433.136, 433.137, 433.138, 433.145, 433.146, 433.147, 433.148 and 435.604.
HISTORY

1. Amendment of subsection (a)(2) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. New subsection (a) (7) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
3. New subsection (a)(8) filed 6-14-84; designated effective 7-1-84 pursuant to Government Code section 11346.2(d) (Register 84, No. 24).
4. Amendment of section heading, subsections (a), (a)(6) and (b) and Note filed 4-16-93 as an emergency; operative 4-16-93 (Register 93, No. 16). A Certificate of Compliance must be transmitted to OAL 8-16-93 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-16-93 order including amendment of  Note transmitted to OAL 8-13-93 and filed  9-23-93 (Register 93, No. 39).
6. Amendment of subsection (a)(4), new subsections (a)(4)(A)-(a)(7), and subsection renumbering filed 9-10-97; operative 10-10-97 (Register 97, No. 37).
§50185.5. Medi-Cal Managed Care Plan Assigned Enrollment Prior to Two-Plan Model Implementation or for Geographic Areas Not Designated for Two-Plan Model Implementation.
Note     •     History

(a) This section applies to geographic areas specified by the director, which may include geographic areas designated for implementation of the two-plan model as defined in section 53810(n) prior to implementation of the two-plan model, and geographic areas not designated for two-plan model implementation. This section applies to aid categories specified by the director, pursuant to Welfare and Institutions Code Section 14016.5 and 14087.305. 
(b) The following definitions apply to this section:
(1) Affiliate means an existing Medi-Cal managed care plan that has a written agreement to become a subcontractor to the local initiative or the commercial plan when the local initiative or commercial plan commences operation, or an entity that has been awarded the local initiative or commercial plan contract under the Two-Plan Model and is an existing Medi-Cal prepaid health plan contractor that is authorized under its Medi-Cal prepaid health plan contract to operate in the service area to which the plan has been awarded the commercial plan or local initiative contract under the Two-Plan Model.
(2) Assignment means the action taken by the health care options contractor to enroll an eligible beneficiary or an eligible family group into a Medi-Cal managed care plan when the beneficiary fails to select a managed care plan and does not provide a written certification of an established patient-provider relationship.
(3) Authorized affiliate means any existing Medi-Cal prepaid health plan that has been awarded the local initiative or commercial plan contract under the Two-Plan Model, or is an affiliate that has been authorized by the department to receive assignments after a local initiative or commercial plan has submitted a written request to the department that assignments be made to that affiliate.
(4) Commercial plan means a prepaid health plan in a designated geographic area awarded a contract by the department pursuant to sections 53800(b)(1).
(5) Commercial plan enrollment maximum means the enrollment level established by the department pursuant to section 53820(b).
(6) Confirmed conditional start date means the date established by the department on which a local initiative or commercial plan is authorized to begin operation under the Two Plan Model, subject to the local initiative or commercial plan fulfilling the conditions specified by the department at the time the confirmed conditional start date is given by the department.
(7) CP/LI ratio means the total enrollment of the commercial plan, or if the commercial plan is not operational, the combined total enrollment of the commercial plan affiliates, DIVIDED by the combined total enrollment of the local initiative affiliates.  The source of the enrollment totals is the department's monthly Medi-Cal managed care capitation report.
(8) Fee-for-service managed care program means a program operated in a designated geographic area by an entity contracting with the Department under which services continue to be provided on a fee-for-service basis, but each Medi-Cal beneficiary is provided with a primary care provider who coordinates the beneficiary's Medi-Cal health care.
(9) Health care options contractor means the entity contracting with the department to provide applicants and beneficiaries with information on the available options to receive Medi-Cal benefits and to process applicant and beneficiary enrollment choices or assignments in designated geographic areas.
(10) Health care options presentation means a presentation in-person or by mail to Medi-Cal applicants and beneficiaries which provides information on the Medi-Cal managed care plans and fee-for-service options available within the designated geographic area in which the applicant or beneficiary resides.
(11) Local initiative means a prepaid health plan awarded a contract by the department pursuant to sections 53800(b)(2) and 53810(h).
(12) Local initiative enrollment minimum means the total number of Medi-Cal beneficiaries in the mandatory aid categories in the designated geographic area less the maximum enrollment level established pursuant to section 53820 of the commercial plan.
(13) Operational means a managed care plan is providing covered services to enrolled Medi-Cal beneficiaries and is entitled to receive capitation payments from the department.
(c) Applicants and beneficiaries shall be informed by the county welfare department of the availability of health care options presentations which explain the options for receiving Medi-Cal benefits and the obligation of the applicants and beneficiaries to attend a presentation. For beneficiaries who do not attend a health care options presentation, the department shall mail information explaining the beneficiary's health care options.
(1) The county welfare department shall inform applicants and beneficiaries of the availability of health care options presentations at the time of their initial eligibility and annual redetermination in the following geographic areas:
(A) Areas designated for the two-plan model, when:
1. only the commercial plan is operational; or
2. only the local initiative is operational; or
3. the department intends to award two commercial plan contracts and no local initiative contract, and only one commercial plan is operational.
(B) Areas not designated for the two-plan model.
(2) If, within the same geographical area, the local initiative is scheduled to become operational prior to the date the commercial plan is expected to become operational, the local initiative may submit a written request to the department that the department include all existing beneficiaries in the mandatory aid categories in the health care options notification process.
(d) At the health care options presentation or by mail, the department shall provide to the applicant or beneficiary information on Medi-Cal managed care plans operating within the geographic area in which the applicant or beneficiary resides.
(e) Each applicant or beneficiary shall submit in writing to the health care options contractor a choice to enroll in a Medi-Cal managed care plan or shall certify in writing that he or she has an established patient-provider relationship either: 
(1) within 30 days of the applicant's or beneficiary's attendance at a health care options presentation; or,
(2) if the applicant or beneficiary does not attend a health care options presentation prior to the postmark date on which the health care options materials were mailed to the applicant or beneficiary, within 30 days of the postmark date of the mailed health care options materials.
(f) The health care options contractor shall assign beneficiaries failing to comply with the requirements of subsection (e) to an available Medi-Cal managed care plan that has capacity to accept new beneficiaries and that has a primary care service site serving the postal ZIP code area in which the beneficiary resides. To the extent possible, a beneficiary shall not be assigned to a different Medi-Cal managed care plan than other members of the same family group.
(g) In geographic areas designated for health care to be provided under the two-plan model, if more than one Medi-Cal managed care plan meets the conditions in (f), assignments shall be made as follows:
(1) If the local initiative is operational, all assignments will be directed to the local initiative until it reaches the local initiative enrollment minimum.
(2) If the local initiative is operational and has attained its enrollment minimum and the commercial plan is not operational but has authorized affiliates, one of every two assignments will be directed to the local initiative and one will be directed to an authorized affiliate of the commercial plan. Assignments to the commercial plan's affiliates will be evenly distributed among all authorized affiliates of the commercial plan. Assignments to the authorized commercial plan affiliates will continue until their combined enrollment total reaches the commercial plan enrollment maximum, at which time assignments to authorized commercial plan affiliates will be discontinued. Enrollment in the local initiative and commercial plan affiliates will be reviewed on a monthly basis. If the local initiative's enrollment falls below the local initiative's enrollment minimum, all assignments will be directed to the local initiative as needed to restore it to its enrollment minimum. After the local initiative has been restored to its enrollment minimum, assignments to the authorized commercial plan affiliates will be resumed as provided above until the commercial plan affiliates' combined enrollment total reaches the commercial plan enrollment maximum, at which time assignments to authorized commercial plan affiliates will be discontinued.  If the commercial plan does not have any authorized affiliates, all assignments will be directed to the local initiative.
(3) If the commercial plan is operational and the local initiative is not operational but has authorized affiliates, and the combined total enrollment of the local initiative affiliates is less than the total enrollment of the commercial plan, assignments will be made as follows:
(A) If the CP/LI ratio is 1.0 or less, one of every two assignments will be directed to an authorized affiliate of the local initiative and one assignment will be directed to the commercial plan.
(B) If the CP/LI ratio is greater than 1.0 but less than or equal to 2.0, two of every three assignments will be directed to the authorized affiliates of the local initiative and one assignment will be directed to the commercial plan.
(C) It the CP/LI ratio is greater than 2.0 but less than or equal to 3.0, three of every four assignments will be directed to the authorized affiliates of the local initiative and one assignment will be directed to the commercial plan.
(D) If the CP/LI ratio is greater than 3.0, four of every five assignments will be directed to the authorized affiliates of the local initiative and one assignment will be directed to the commercial plan.
(E) For (g)(3)(A), (B), (C) and (D), assignments to the authorized local initiative affiliates will be evenly distributed among all authorized affiliates of the local initiative.
(F) Once (g)(3)(B), (C), or (D) have been applied, and the CP/LI ratio reaches 1.0 or less, until 90 days prior to the Local Initiative's confirmed conditional start date, one of every two assignments will be directed to an authorized affiliate of the local initiative and one assignment will be directed to the commercial plan.  No further use of the CP/LI ratio will be made to determine assignments.  When the commercial plan reaches its enrollment maximum, further assignments to the commercial plan will be discontinued.  Enrollment totals in the commercial plan and the combined enrollment total for the local initiative affiliates will be reviewed on a monthly basis.  If enrollment falls below the commercial plan enrollment maximum, assignments to the commercial plan will be resumed with the commercial plan receiving one of every two assignments until the commercial plan reaches the commercial plan enrollment maximum.
(G) Beginning 90 days prior to a local initiative's confirmed conditional start date, all assignments will be made to the authorized affiliates of the local initiative.  These assignments will be evenly distributed among all authorized affiliates of the local initiative.  When enrollment in the affiliates of the local initiative reaches the local initiative's minimum enrollment, one of every two assignments will be directed to an authorized affiliate of the local initiative and one assignment will be directed to the commercial plan.  Assignments to the authorized affiliates of the local initiative will be evenly distributed among all authorized affiliates of the local initiative.  Assignments to the commercial plan will continue until the enrollment total of the commercial plan equals the commercial plan enrollment maximum, at which time assignments to the commercial plan will be discontinued.  The enrollment total of the commercial plan and the combined enrollment total for the affiliates of the local initiative will be reviewed on a monthly basis.  If the combined enrollment of the affiliates of the local initiative falls below the local initiative's enrollment minimum, all assignments will be directed to the authorized affiliates of the local initiative as needed to restore the combined enrollment in affiliates of the local initiative to the local initiative enrollment minimum.  After enrollment in the affiliates of the local initiative has been restored to its enrollment minimum, assignments to the commercial plan will be resumed as provided above until the commercial plan's enrollment reaches the commercial plan enrollment maximum, at which time assignments to the commercial plan will be discontinued.
(4) If the commercial plan is operational, and the local initiative is not operational but has authorized affiliates, and the combined enrollment of the local initiative affiliates is equal to or greater than the enrollment in the commercial plan, one of every two assignments will be directed to an authorized affiliate of the local initiative and one assignment will be directed to the commercial plan.  When the commercial plan reaches its enrollment maximum, further assignments to the commercial plan will be discontinued.  Enrollment totals in the commercial plan and the combined enrollment total for the local initiative affiliates will be reviewed on a monthly basis.  If enrollment falls below the commercial plan enrollment maximum, assignments to the commercial plan will be resumed with the commercial plan receiving one of every two assignments until the commercial plan reaches the commercial plan enrollment maximum.
(5) If the commercial plan is operational, and the local initiative is not operational and the local initiative does not have any authorized affiliates, all assignments will be directed to the commercial plan.  When the commercial plan reaches its enrollment maximum, further assignment to the commercial plan will be discontinued.  Enrollment in the commercial plan will be reviewed on a monthly basis.  If enrollment falls below the commercial plan enrollment maximum, assignments to the commercial plan will be resumed with the commercial plan receiving all assignments until the commercial plan reaches its enrollment maximum.
(6) If neither the local initiative nor commercial plan is operational, but either one or both has authorized affiliates, assignment shall be as follows:
(A) If the local initiative does not have any authorized affiliates and the commercial plan has authorized affiliates, all assignments will be directed to the commercial plan's authorized affiliates.  When the combined total enrollment of the commercial plan's affiliates reaches the commercial plan maximum, further assignments to the commercial plan's authorized affiliates will be discontinued.  Enrollment in the commercial plan's affiliates will be reviewed on a monthly basis.  If the combined total enrollment of the commercial plan's affiliates falls below the commercial plan maximum, assignments will be resumed until the combined enrollment in the commercial plan's affiliates reaches the commercial plan maximum.
(B) If the local initiative has authorized affiliates and the commercial plan does not have authorized affiliates, all assignments will be directed to the authorized affiliates of the local initiative.
(C) If the local initiative has not been given a confirmed conditional start date by the department, and the combined total enrollment of the local initiative affiliates is less than the combined total enrollment of the commercial plan affiliates, until the combined total enrollment of the local initiative affiliates is equal to or greater than the combined total enrollment of the commercial plan affiliates, assignments will be made as follows:
1. If the CP/LI ratio is 1.0 or less, one of every two assignments will be directed to the authorized affiliates of the local initiative and one assignment will be directed to an authorized affiliate of the commercial plan.
2. If the CP/LI ratio is greater than 1.0 but less than or equal to 2.0, two of every three assignments will be directed to the authorized affiliates of the local initiative and one assignment will be directed to an authorized affiliate of the commercial plan.
3. If the CP/LI ratio is greater than 2.0 but less than or equal to 3.0, three of every four assignments will be directed to the authorized affiliates of the local initiative and one assignment will be directed to an authorized affiliate of the commercial plan.
4. If the CP/LI ratio is greater than 3.0, four of every five assignments will be directed to the authorized affiliates of the local initiative and one assignment will be directed to an authorized affiliate of the commercial plan.
5. For (g)(6)(C)(1), (2), (3) and (4), assignments to the authorized affiliates of the local initiative will be evenly distributed among all authorized affiliates of the local initiative and assignments to authorized affiliates of the commercial plan will be evenly distributed among all authorized affiliates of the commercial plan.
6. Once (g)(6)(C), (2), (3) or (4) have been applied, and the CP/LI ratio reaches 1.0 or less, until 90 days prior to the local initiative's confirmed conditional start date, one of every two assignments will be directed to an authorized affiliate of the local initiative and one assignment will be directed to an authorized affiliate of the commercial plan.  No further use of the CP/LI ratio will be made to determine assignments. Assignments to the authorized affiliates of the local initiative will be evenly distributed among all authorized affiliates of the local initiative and assignments to the authorized affiliates of the commercial plan will be evenly distributed among all authorized affiliates of the commercial plan. Assignments to the authorized affiliates of the commercial plan will continue until the combined enrollment total of the affiliates of the commercial plan equals the commercial plan enrollment maximum, at which time assignments to authorized affiliates of the commercial plan will be discontinued.  In the case of an affiliate that has affiliated with both the local initiative and the commercial plan, the total enrollment of that affiliate will be included in the combined commercial plan enrollment totals to determine if the commercial plan enrollment maximum has been reached.  The combined enrollment total for the affiliates of the commercial plan and combined total for the affiliates of the local initiative will be reviewed on a monthly basis.  If the local initiative's enrollment falls below the local initiative's enrollment minimum, all assignments will be directed to the local initiative as needed to restore it to its enrollment minimum.  After the local initiative has been restored to its enrollment minimum, assignments to the authorized affiliates of the commercial plan will be resumed as provided above until the combined enrollment of the authorized affiliates of the commercial plan reaches the commercial plan enrollment maximum, at which time assignments to the authorized affiliates of the commercial plan will be discontinued.
(D) If the combined enrollment of the affiliates of the local initiative is equal to or greater than the combined enrollment of the affiliates of the commercial plan, one of every two assignments will be directed to an authorized affiliate of the local initiative and one assignment will be directed to an authorized affiliate of the commercial plan. Assignments to the authorized affiliates of the local initiative will be evenly distributed among all authorized affiliates of the local initiative, and assignments to the authorized affiliates of the commercial plan will be evenly distributed among all authorized affiliates of the commercial plan. Assignments to the authorized affiliates of the commercial plan will continue until the combined enrollment total of affiliates of the commercial plan equals the commercial plan enrollment maximum, at which time assignments to the authorized affiliates of the commercial plan will be discontinued. In the case of an affiliate that has affiliated with both the local initiative and the commercial plan, the total enrollment of that affiliate will be included in the combined commercial plan enrollment totals to determine if the commercial plan enrollment maximum has been reached. The combined enrollment total for the affiliates of the commercial plan and combined total for the affiliates of the local initiative will be reviewed on a monthly basis. If enrollment falls below the commercial plan enrollment maximum, assignments to the authorized affiliates of the commercial plan will be resumed with the commercial plan receiving one of every two assignments until the combined enrollment of the affiliates of the commercial plan reaches the commercial plan enrollment maximum.
(E) Beginning 90 days prior to a local initiative's confirmed conditional start date, all assignments will be made to the authorized affiliates of the local initiative. These assignments will be evenly distributed among all authorized affiliates of the local initiative. When enrollment in the affiliates of the local initiative reaches the local initiative's minimum enrollment, one of every two assignments will be directed to an authorized affiliate of the local initiative and one assignment will be directed to an authorized affiliate of the commercial plan. Assignments to the authorized affiliates of the local initiative will be evenly distributed among all authorized affiliates of the local initiative and assignments to the authorized affiliates of the commercial plan will be evenly distributed among all authorized affiliates of the commercial plan. Assignments to the authorized affiliates of the commercial plan will continue until the combined enrollment total of the affiliates of the commercial plan equals the commercial plan enrollment maximum, at which time assignments to authorized affiliates of the commercial plan will be discontinued. In the case of an affiliate that has affiliated with both the local initiative and the commercial plan, the total enrollment of that affiliate will be included in the commercial plan's enrollment totals to determine if the commercial plan enrollment maximum has been reached. The combined enrollment total of the affiliates of the commercial plan and combined enrollment total for the affiliates of the local initiative will be reviewed on a monthly basis. If enrollment falls below the commercial plan enrollment maximum, assignments to the authorized affiliates of the commercial plan will be resumed with one of every two assignments directed to the authorized affiliates of the commercial plan until the combined enrollment of the affiliates of the commercial plan reaches its enrollment maximum. If the commercial plan does not have any authorized affiliates, all assignments will be directed to the authorized affiliates of the local initiative.
(7) Where the department awards two commercial plan contracts and no local initiative contract, assignment shall be as follows:
(A) If neither commercial plan is operational, assignments will be evenly distributed among authorized affiliates of the two commercial plans. When the combined total enrollment of a commercial plan's affiliates totals one-half of the mandatory enrollment population, assignments will cease for the authorized affiliates of that plan. In the case of an affiliate that has affiliated with both commercial plans, the total enrollment of this affiliate will be equally divided for purposes of computation of the enrollment total to determine when assignments will cease.
(B) If a single commercial plan is operational, assignments will be evenly distributed among the operational commercial plan and the authorized affiliates of the nonoperational commercial plan. Assignments to the authorized affiliates of the nonoperational commercial plan will be evenly distributed. When the total enrollment of the single operational commercial plan or the combined total enrollment of the authorized affiliates of the nonoperational commercial plan equals one-half of the mandatory enrollment in the designated geographic area, assignments will cease for that plan. In the case of an affiliate that has affiliated with both the operational and nonoperational commercial plan, the total enrollment of that affiliate will be equally divided for purposes of computation of the enrollment total to determine when assignments will cease.
(8) If both the local initiative and the commercial plan become operational in a geographic area prior to the implementation of mandatory enrollment of beneficiaries in the two plan model, assignments will be directed to the local initiative until it reaches its enrollment minimum, then assignments will be evenly distributed between the local initiative and the commercial plan. No assignments will be made to other Medi-Cal managed care plans. When the commercial plan reaches its enrollment maximum, further assignment to the commercial plan will be discontinued. Enrollment in the local initiative and commercial plan will be reviewed on a monthly basis. If the local initiative's enrollment falls below the local initiative's enrollment minimum, all assignments will be directed to the local initiative as needed to restore it to its enrollment minimum. After the local initiative has been restored to its enrollment minimum, assignments to the commercial plan will be resumed as provided above until the commercial plan's enrollment reaches the commercial plan enrollment maximum, at which time assignments to the commercial plan will be discontinued.
(9) This is a graphic presentation that illustrates the requirements set forth in sections (g)(1), (g)(2), (g)(3), (g)(4), (g)(5), (g)(6) and (g)(8):

View Graphic
(h) In geographic areas not designated for two-plan model implementation, if the department contracts for a fee-for-service managed care program, assignments will be directed to the fee-for-service managed care contractor as long as the contractor has an available capacity. In other geographic areas, assignments will be evenly distributed among Medi-Cal managed care plans which have been approved by the department to participate in the assignment process and have available enrollment capacity consistent with the growth limits pursuant to section 53830.
(i) The health care options contractor shall notify the beneficiary in writing of the beneficiary's assignment to a Medi-Cal managed care plan at least ten working days prior to the submission of the assignment documents to the department for processing. The notice shall contain the name of the Medi-Cal managed care plan to which the beneficiary is assigned; the conditions defined in subdivisions (j)(1), (2) and (3); and the time frame for advising the health care options contractor if the assignment is not appropriate or if the beneficiary wishes to enroll in a different Medi-Cal managed care plan or certify to a patient-provider relationship.
(j) An assignment is not appropriate when:
(1) The time and distance a beneficiary is required to travel to obtain primary care services from his or her residence exceeds the normal practice for the community or 30 minutes or 10 miles, whichever is greater.
(2) Public transportation is not available to the primary care site, unless the managed care plan to which the beneficiary is assigned provides transportation for outpatient services. This criteria will not apply to the designated fee-for-service managed care program geographic areas where public transportation to Medi-Cal services has not historically been available to the beneficiary.
(3) Culturally and linguistically appropriate services are not available to the beneficiary.
(k) The beneficiary may notify the health care options contractor that the assignment meets one or more of the conditions in subdivisions (j)(1), (2), or (3) or the beneficiary requests enrollment in another Medi-Cal managed care plan. The beneficiary may also certify to a patient-provider relationship. The notice from the beneficiary shall be in writing and state, if applicable, the specific condition(s) making the assignment inappropriate and the desired action by the health care options contractor.
(1) For such notices from beneficiaries received within ten working days of the postmark date of the notice of assignment from the health care options contractor, the health care options contractor shall respond by accepting the patient-provider certification, if provided, or by enrolling the beneficiary in another Medi-Cal managed care plan of his or her choice.
(2) For such notices from beneficiaries received after the tenth working day from the postmark date of the notice of assignment from the health care options contractor, the health care options contractor shall assist the beneficiary to disenroll from the assigned Medi-Cal managed care plan and then either accept the patient-provider certification or enroll the beneficiary in another Medi-Cal managed care plan of his or her choice.
(3) If the beneficiary notifies the health care options contractor that the assignment is inappropriate because one or more of the conditions described in subdivisions (j)(1), (2), and (3) exist, and if another Medi-Cal managed care plan within the geographic area cannot provide for an appropriate assignment in relation to the conditions in (j)(1), (2) and (3), or if another Medi-Cal managed care plan within the geographic area can provide for appropriate assignment in relation to the conditions in (j)(1), (2) and (3), but does not have available capacity, the beneficiary may elect to obtain benefits by receiving a fee-for-service card whether or not the beneficiary has certified to a patient-provider relationship.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14016.5, 14016.6 and 14087.305, Welfare and Institutions Code.
HISTORY

1. New section filed 7-10-95; operative 7-10-95. Submitted to OAL for printing only pursuant to section 147, SB 485 (Ch. 722/92) (Register 95, No. 28).
2. Amendment of section filed 6-26-96; operative 6-26-96. Submitted to OAL for printing only pursuant to Section 147 SB 485 (Ch. 722/92) (Register 96, No. 27).
3. Amendment filed 8-30-96; operative 8-30-96. Submitted to OAL for printing only (Register 96, No. 36).
§50186. Unconditionally Available Income.
Note     •     History

(a) An applicant or beneficiary shall, as a condition of Medi-Cal eligibility, take all actions necessary to obtain unconditionally available income. This includes applying for such income and cooperating in supplying the information requested by the agency making the award determination.
(b) Income shall be considered unconditionally available if the applicant or beneficiary has only to claim or accept the income. Such income includes, but is not limited to:
(1) Disability insurance benefits.
(2) Benefits available to veterans of military service.
(3) OASDI benefits.
(4) Unemployment insurance benefits.
(c) Public assistance benefits shall not be considered unconditionally available income.
(d) Only the person who refuses to apply for and accept unconditionally available income shall be rendered ineligible by such refusal.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. New section filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
§50187. Social Security Numbers and Health Insurance Claim Numbers.
Note     •     History

(a) Each applicant or beneficiary shall, as a condition of eligibility for full Medi-Cal benefits, obtain and provide to the county department a Social Security Number (SSN) and, if eligible, a Social Security Health Insurance Claim (HIC) Number. In addition, amnesty aliens eligible for restricted Medi-Cal benefits pursuant to section 50302(b)(3) must possess or have applied for an SSN and, if eligible, a HIC number.
(b) The SSN shall be provided at the time of application unless the applicant must apply for the number. If application for an SSN must be made, the number will be provided to the county department by the Department or by the Social Security Administration. 
(c) The HIC number shall be provided by the applicant or beneficiary in accordance with section 50777. 
(d) Medi-Cal shall not be denied, delayed or discontinued for an applicant or beneficiary because of these requirements unless the applicant or beneficiary refuses to cooperate. 
(1) Eligibility of an applicant or beneficiary who refuses to apply for or provide a number shall be denied or discontinued. 
(2) Eligibility of a child who is not applying on the child's own behalf shall be denied or discontinued if a parent or caretaker relative living with the child refuses to apply for or provide a number for the child. 
(3) Persons ineligible for Medi-Cal in accordance with (1) or (2) shall be ineligible members of the MFBU in accordance with section 50379.
(e) The county department shall assist the applicant or beneficiary by explaining how to apply for an SSN orHIC number and by providing an SSA Referral Notice, form MC 194. 
(f) The county shall notify the beneficiary if the information provided by that beneficiary does not result in verification of the SSN by SSA. Medi-Cal eligibility shall be discontinued if the beneficiary fails, without good cause, to respond to the notice within 60 days. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.7 and 14011, Welfare and Institutions Code; and Section 1320b(7)(a), Title 42, United States Code of Regulations. 
HISTORY

1. Amendment of subsection (d)(3) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 4-9-80; effective thirtieth day thereafter (Register 80, No. 15). 
3. Amendment of subsection (d) (3) filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2). 
4. Amendment of subsection (a) filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
5. Amendment of subsection (a) refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
6. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
7. Amendment of subsection (a) filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50189. Redetermination--Frequency and Process.
Note     •     History

(a) Persons or families determined to be eligible for Medi-Cal shall have their eligibility redetermined at least once every 12 months.
(b) At the time of the redetermination, the beneficiary shall complete a new Statement of Facts.
(c) The county department shall:
(1) Complete the redetermination within 12 months of the most recent of the following:
(A) Approval of eligibility on any application, reapplication or restoration which required a Statement of Facts form.
(B) Last redetermination.
(2) Inform beneficiaries in writing that income and eligibility information, including tax information, will be obtained through the IEVS.
(3) Verify information on the Statement of Facts in accordance with Section 50169 (d).
(4) Send a Notice of Action if there is a change in the beneficiary's eligibility status or share of cost.
(5) Provide an informational pamphlet on the CHDP program to the beneficiary which describes the CHDP benefits available, and how and where the benefits are provided in the county, if there are persons under 21 years of age in the family.
(d) A face-to-face interview shall be required at the time of redetermination for all MFBUs which contain at least one AFDC-MN or MI member, except for MFBUs consisting of any of the following:
(1) Persons who receive Medi-Cal through the Aid for Adoption of Children program.
(2) Persons who have a government representative, such as a public guardian, acting on their behalf.
(3) MI children who are not living with a parent or relative and for whom a public agency is assuming financial responsibility in whole or in part.
NOTE

Authority cited: Sections 10725, 10740 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004, 14001, 14005.4 and 14012, Welfare and Institutions Code; and 42 Code of Federal Regulations 435.945(d).
HISTORY

1. Amendment of subsections (c) and (d) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsection (c)(1)(A) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
3. Amendment of subsection (d) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
4. Editorial correction to History Note 3 (Register 78, No. 40).
5. Amendment of subsection (d)(3) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
6. Editorial correction of subsection (c)(1)(A) filed 7-7-83 (Register 83, No. 29).
7. Amendment of subsection (c) filed 7-16-87; operative 7-16-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 30).
§50191. Status Reports.
Note     •     History

(a) The county department shall require the completion of a Medi-Cal Status Report form at three month intervals for all MFBU's which contain at least one AFDC-MN or MI person. The requirement to complete status reports shall not apply to the following:
(1) Persons who receive Medi-Cal through the Aid for Adoption of Children program.
(2) Persons who have a government representative, such as a public guardian, acting on their behalf.
(3) MI children who are not living with a parent or relative and for whom a public agency is assuming financial responsibility in whole or in part.
(4) Children who are requesting Medi-Cal in accordance with Section 50147.1.
(5) Persons who receive county General Assistance Benefits and whose Medi-Cal eligibility factors are monitored at least quarterly by the county Department under its general assistance program.
(6) MFBUs consisting solely of an eligible pregnant woman and/or infant under one year of age.
(b) In addition to the status reports required in accordance with (a), the county department, consistent with Article 2, may require persons or families to complete status reports at more frequent intervals.
NOTE

Authority cited: Sections 10725, 14016.10 and 14124.5, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Sections 14005.4, 14005.9, 14010, 14011 and 14012, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
2. Amendment of subsection (a)(3) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
3. Amendment of subsection (a) (4) filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
4. Amendment of subsection (a) and new subsection (c) filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
5. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
6. Amendment of subsection (a) and repealer of subsection (c) filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
7. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
8. Editorial correction of subsection (a) filed 7-7-83 (Register 83, No. 29).
9. Editorial correction of printing error in subsection (a) (Register 93, No. 35).
10. New subsection (a)(6) and amendment of Note filed 4-27-94 as an emergency; operative 4-27-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-25-94 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-27-94 order transmitted to OAL 8-24-94 and filed 9-29-94 (Register 94, No. 39).
12. Editorial correction of Note (Register 94, No. 39).
§50192. Testing Techniques for Redeterminations, Status Reporting and Verification.
Note     •     History

(a) Notwithstanding Sections 50169, 50189 and 50191, the Director may, in counties selected by the Director, establish requirements for redeterminations, status reporting, and verification of information on the Statement of Facts for the purpose of testing the effectiveness of the different administrative requirements.
(b) Selection criteria may include, but shall not be limited to:
(1) Caseload size.
(2) Past county administrative requirements.
(3) Population characteristics.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10600, 11004, 11050, 14001, 14005.4, 14005.7, 14011 and 14012, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
2. Editorial correction of NOTE filed 7-7-83 (Register 83, No. 29).
§50193. Beginning Date of Eligibility.
Note     •     History

(a) The beginning date of eligibility for Medi-Cal for persons who apply under any public assistance program shall be the first day of the month of application, providing the person meets the citizenship, residency, linkage and financial eligibility criteria of the appropriate program, notwithstanding the beginning date of the cash grant. For persons who do not meet these eligibility criteria during the month of application, the beginning date of eligibility shall be the first day of the first month in which the above specified eligibility criteria of the appropriate program are met.
(b) The beginning date of eligibility for Medi-Cal specified in (a) shall also apply to:
(1) Persons who apply for AFDC and meet eligibility criteria in the month of application but whose eligibility is denied because they no longer meet eligibility criteria at the time eligibility for AFDC is determined.
(2) Persons who apply for SSI/SSP and meet the eligibility criteria but are denied because they die before the application can be processed and an application is filed on their behalf at the county department within 30 days of receipt of a written notice of denial.
(c) The beginning date of eligibility for persons applying only for Medi-Cal shall be: the first day of the month of application, if all eligibility criteria of the appropriate Medi-Cal program are met. If the eligibility criteria are not met during the month of application, the beginning date of eligibility shall be the first day of the month, subsequent to the month of application, during which the eligibility criteria of the appropriate Medi-Cal program are met.
(d) For the purposes of (c), eligibility criteria are considered to be met throughout the month if they are met at any time during the month, except for persons specified in Section 50273(a).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016, 14005, 14018 and 14053, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering former section 50701 to new section 50193 filed 9-19-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 38).
§50195. Period of Eligibility.
Note     •     History

(a) The period of eligibility for Medi-Cal for persons eligible for AFDC or SSI/SSP shall begin with the date specified in Section 50193 (a) and (b), and shall continue through each successive month during which the person is determined to be eligible.
(b) The period of eligibility for Medi-Cal for persons eligible as Other PA recipients shall begin with the date specified in Section 50193 (c), and shall continue through each successive month during which the person meets all eligibility requirements of the appropriate Other PA category.
(c) The period of eligibility for Medi-Cal for persons eligible as MN or MI, except as specified in (d), shall begin with the date specified in Section 50193 (c), and shall continue through each successive month during which the beneficiary meets the appropriate basic program requirements in Article 5 of this chapter and all of the following conditions:
(1) Has cooperated with the county department to the extent required by Sections 50185 and 50187.
(2) Has met the property requirements specified in Article 9 at some time during the month.
(3) Has met the citizenship, residence and institutional status requirements specified in Articles 6 and 7 at some time during the month.
(d) The period of eligibility for Medi-Cal for a child applying on his or her own behalf in accordance with Section 50147.1 (a) shall begin with the date specified in Section 50193 (c), and shall continue through each successive month during which the child meets both of the following conditions:
(1) Has met the conditions specified in (c).
(2) Has submitted a completed and signed form MC 4026 to the county department during the month in question which states that the child has a need for services related to sexual assault, drug or alcohol abuse, pregnancy, family planning or venereal disease.
(e) The period of eligibility shall be modified for any portion of a month in which a person is ineligible due to institutional status, as described in Section 50273.
(f) A final date of eligibility shall be established when the county department determines that the person or family will no longer meet all eligibility requirements as of the first of the following month. The final date shall be the last day of the:
(1) Current month, if the discontinuance is not an adverse action as defined in Section 50015.
(2) Current month, if the discontinuance is an adverse action and the 10-day advance notice requirements of Section 50179(e) will be met in the current month.
(3) Following month, if the discontinuance is an adverse action and the 10-day advance notice requirements will not be met in the current month.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016 and 14053, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering former section 50703 to new section 50195 filed 9-19-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 38).
2. Change without regulatory effect amending section and Note filed 6-21-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 25).
§50197. Retroactive Eligibility.
Note     •     History

(a) In addition to the period of eligibility specified in Section 50195, an applicant shall be eligible for Medi-Cal in any of the three months immediately preceding the month of application or reapplication if all of the following requirements are met in that month:
(1) The county department determines that the applicant would have been eligible for one of the programs specified in Section 50201, except as specified in (c), had an application been made.
(2) The applicant received health services.
(3) The applicant was not previously denied Medi-Cal for the month in question, unless the application was denied for one of the following reasons:
(A) County error.
(B) The applicant's failure to cooperate, when that failure, or the applicant's subsequent failure to reapply, was due to circumstances beyond the control of the applicant.
(b) The request for retroactive eligibility shall be made in accordance with Section 50148 and shall be treated as any other application, except that persons applying on the basis of disability shall have their disability determined prior to determining retroactive eligibility.
(c) A person 21 years of age or older shall not be retroactively eligible as a medically indigent person unless either of the following conditions exist.
(1) The person was residing in a skilled nursing or intermediate care facility during any part of both:
(A) The month of application.
(B) The month for which retroactive eligibility is requested.
(2) The person is a woman with a confirmed pregnancy.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14019, 14019.6, 14142 and 14145, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering former section 50710 to new section 50197 filed 9-19-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 38).
2. Change without regulatory effect amending subsections (a) and (a)(2) and Note filed 6-21-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 25).
§50199. Certification for Medi-Cal--Completion.
History

(a) A person or family determined to be eligible for Medi-Cal shall not receive a Medi-Cal card until certified for Medi-Cal.
(b) Certification for Medi-Cal shall be completed by:
(1) The county department for:
(A) Persons who have no share of cost or who have a share of cost for long-term care which is less than the cost of care.
(B) Persons who have a share of cost, other than those specified in (A), and who complete form MC 113, in accordance with Section 50658 (d).
(2) The Department for persons who have a share of cost, other than those specified in (1)(A) and (B).
HISTORY

1. Change without regulatory effect renumbering former section 50715 to new section 50199 filed 9-19-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 38).
Article 5. Medi-Cal Programs
§50201. Medi-Cal Programs--General.
Note     •     History

(a) A person or family may be eligible for Medi-Cal under one of the following programs.
(1) Aid to Families with Dependent Children (AFDC).
(2) Supplemental Security Income/State Supplemental Program (SSI/SSP).
(3) Other Public Assistance (Other PA).
(4) Medically Needy (MN).
(5) Medically Indigent (MI).
(6) Miscellaneous Special Programs.
(7) Medi-Cal Special Treatment Programs.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14142 and 14145, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
3. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
4. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
§50203. Medically Needy Program.
Note     •     History

(a) A person's eligibility shall be determined under the Medically Needy program if that person is any of the following:
(1) An aged, blind or disabled person who meets one of the following conditions:
(A) Is not eligible for or does not want to receive assistance as a PA or Other PA recipient.
(B) Has an application pending for SSI/SSP.
(2) A child or family member who is both:
(A) Linked to AFDC in accordance with Section 50205.
(B) Not eligible for or does not want to receive assistance as a PA or Other PA recipient.
(3) A caretaker relative who chooses to be included in a child's MFBU in accordance with Section 50373 (a)(5) (A) 13 or when all children are PA or other PA.
(b) A person who meets the conditions of more than one of the following categories shall have eligibility determined on the basis of the category listed first unless the person requests otherwise:
(1) Blindness, as defined in Section 50219.
(2) Age, as defined in Section 50221.
(3) Disability, as defined in Section 50223.
(4) Linkage to AFDC, as defined in Section 50205.
(c) In order to be eligible under this program the persons listed in (a) shall meet the property, citizenship, residence, institutional status and cooperation requirements specified in these regulations.
(d) In order to be certified and receive a Medi-Cal card under this program, the persons listed in (a) shall be determined eligible and meet the income and share-of-cost requirements specified in these regulations.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.3 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 3-7-80 as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-6-80.
2. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
3. Amendment of subsection (a) filed 2-11-82; effective thirtieth day thereafter (Register 82, No. 7).
4. Change without regulatory effect of subsection (a)(3) (Register 87, No. 11).
5. Amendment of subsection (a) and repealer of subsection (e) filed 4-17-89; operative 5-17-89 (Register 89, No. 48). 
§50205. Linkage to AFDC.
Note     •     History

(a) Linkage to AFDC exists if a child is living with a relative and deprived of parental support or care. Deprivation shall be established if all conditions of any one of the following sections are met at any time during the month:
(1) Deprivation--Deceased Parent, section 50209.
(2) Deprivation--Physical or Mental Incapacity of Parent, Section 50211.
(3) Deprivation--Absent Parent, Section 50213.
(4) Deprivation--Unemployed Parent, Section 50215.
(b) A child who is deprived of parental support or care for more than one reason, may have linkage to AFDC established on any basis of deprivation that is listed in (a). The advantages and disadvantages of each basis shall be explained to the applicant or beneficiary and the basis of deprivation shall be the choice of the child's parent or caretaker relative.
(c) All family members living in the home, except those children excluded from the MFBU in accordance with Section 50381 and children who are ineligible for Medi-Cal, shall be considered in determining whether linkage to AFDC exists. Family members also include persons who are PA or other PA recipients.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14051 and 14052, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
2. New subsection (d) filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
3. Amendment filed 3-24-82; effective thirtieth day thereafter (Register 82, No. 13).
4. Amendment of subsections (b) and (c) filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
§50207. Deprivation--Relinquishment for Adoption. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14051 and 14052, Welfare and Institutions Code.
HISTORY

1. Repealer filed 3-24-82; effective thirtieth day thereafter (Register 82, No. 13).
§50209. Deprivation--Deceased Parent.
Note     •     History

(a) Deprivation of parental support or care exists if either of the child's parents is deceased.
(b) Children of a deceased parent and the remaining parent living with the child shall be linked to AFDC on the basis of this deprivation factor.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14001.1 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50211. Deprivation--Physical or Mental Incapacity of a Parent.
Note     •     History

(a) Deprivation of parental support or care exists if either of the child's parents is physically or mentally incapacitated.
(b) A parent is incapacitated if such parent has a physical or mental illness, defect or impairment that is expected to last at least 30 days, is verifiable in accordance with Section 50167, and does either of the following:
(1) Reduces substantially or eliminates the parent's ability to support or care for the child.
(2) Causes one of the following situations:
(A) The parent is prevented from working full-time at a job in which customarily engaged, and from working full-time on another job for which equipped by education, training or experience or which could be learned by on-the-job training.
(B) Employers refuse to employ the parent for work the parent could do and is willing to do, because of behavioral or other disorders which interfere with the securing and maintaining of employment.
(C) The parent is prevented from accomplishing as much on a job as a regular employee and, as a result, is paid on a reduced basis.
(D) The parent is blind or disabled in accordance with Section 50223(a)(1) or (b).
(E) The parent has qualified for and is employed in a job which is rehabilitative or therapeutic or is in a sheltered workshop, and which is not considered to be full-time.
(c) The following persons shall be linked to AFDC on the basis of this deprivation factor:
(1) The children of an incapacitated parent.
(2) The incapacitated parent.
(3) The spouse of the incapacitated parent or the second parent of the children whose basis of deprivation is an incapacitated parent.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.3, 14005.7 and 14051, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b)(2)(D) filed 3-7-80 as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 7-6-80.
2. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
3. Amendment of subsection (b)(2)(A) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
4. Amendment of subsection (c) filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
5. Amendment of subsection (b) filed 11-20-96; operative 12-20-96 (Register 96, No. 47).
§50213. Deprivation-Absent Parent.
Note     •     History

(a) Deprivation of parental support or care exists if there is continued absence of one or both of a child's parents from the home.
(b) Deprivation does not exist when one or both of the parents is absent from the home on a temporary basis, such as for a:
(1) Visit.
(2) Trip.
(3) Temporary assignment undertaken in connection with current or prospective employment.
(4) Parental absence due solely to active duty in the uniformed services of the United States. Uniformed services means the Army, Navy, Air Force, Marine Corps, Coast Guard, National Oceanographic and Atmospheric Administration and Public Health Service of the United States.
(c) Continued absence shall be considered to exist when a parent is physically absent from the home and both of the following conditions exist:
(1) The nature of the absence results in an interruption or termination of the parent's functioning as a provider of maintenance, physical care, or guidance for the child, regardless of the reason for the absence or the length of time the parent has been absent.
(2) The known or indefinite duration of the absence precludes counting on the parent's performance of the function of planning for the present support or care of the children.
(d) When the conditions specified in (c) exist, regular or frequent visits with the child by a parent who is physically absent from the home shall not in and of itself prevent a determination that “continued absence” exists. “Continued absence” shall be considered to exist when the child lives with each parent for alternating periods of time.
(e) If the parent in the home has stated on the Statement of Facts that the other parent has left the family, this shall be considered to mean that there is continued absence unless the county department has conflicting information. In the case of conflicting information, the written statement shall be supported by at least one of the following:
(1) Written statements of the absent parent or other persons with prior knowledge of the family relationship.
(2) The actions of the applicant or beneficiary or the absent parent clearly indicate:
(A) Physical absence of the other parent.
(B) Interruption of or marked reduction in marital and family responsibilities.
(3) Other evidence that substantiates continued absence.
(f) Absence of a parent on active duty in the Armed Forces may or may not constitute deprivation, dependent upon whether or not the facts in the individual case indicate an interruption of, or marked reduction in, marital and family responsibilities. The county department shall determine if deprivation exists by examining each case individually in light of all relevant factors, including:
(1) Length of absence.
(2) Assignment to a duty station to which the family may not move.
(3) The financial impact on the family, if the parent may be accompanied to that station.
(4) The extent of family disruption that would be caused if family members would have to give up employment to accompany the parent to the assigned duty station.
(g) Children of an absent parent, and the parent in the home, shall be linked to AFDC on the basis of this deprivation factor. If the parent in the home is married, and the spouse also has children from a prior union, the following persons shall be linked to AFDC:
(1) The children of each parent, other than mutual children.
(2) Both parents.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7 and 14051, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (f)(2) filed 10-24-86; effective thirtieth day thereafter (Register 86, No. 43).
2. Amendment of subsection (b), repealer of subsection (e) and relettering of subsection (f) to subsection (e) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
3. Amendment of subsections (c)-(f) filed 4-17-89; operative 5-17-89 (Register 89, No. 48). 
§50215. Deprivation-Unemployed Parent.
Note     •     History

(a) Deprivation of parental support or care exists if a parent with whom the the child lives is any of the following as limited by (b), (c) and (d):
(1) Not working.
(2) Working less than 100 hours a month.
(3) Employed on an intermittent basis more than 100 hours per month and the hours in excess of 100 hours are of a temporary nature. Temporary nature is shown if the parent was under the 100 hour standard for the two prior calendar months and is expected to be under the standard during the next month.
(4) Unemployed and has been accepted for or is participating in an education or training program essential to future self-support which is all of the following:
(A) Directed toward a specific occupation and will qualify the unemployed person for an occupation in demand in the local area.
(B) A program which will be completed by the unemployed person within a maximum of two years.
(C) Not a program which involves post baccalaureate work.
(b) For deprivation due to unemployment to exist, the unemployed parent must meet all of the following conditions:
(1) Is the principal wage earner as determined in accordance with (c).
(2) Has not been employed, or has worked less than 100 hours, in the last 30 days.
(3) Is available for and actively seeking employment.
(4) Has not, without good cause, within the last 30 days either:
(A) Quit a job or employment related training.
(B) Refused a bona fide offer of employment or employment related training.
(5) Possesses, or has applied for, a Social Security number.
(6) Has not refused to apply for and accept any unemployment insurance benefits (UIB) to which he is entitled.
(7) Has established a connection with the labor force in either of the following ways:
(A) By meeting one of the following requirements in 6 calendar quarters within any 13 calendar quarter period ending within the year prior to the month of application for Medi-Cal:
1. Earns a gross income of at least $50 during the quarter.
2. Participated for at least five days during the quarter in any activity administered under any of the following:
a. The Work Incentive (WIN) program.
b. The Work Incentive Demonstration Program (WIN Demo). 
c. The Community Work Experience Program (CWEP).
d. The Greater Avenues for Independence (GAIN) Program.
3. A combination of 1. and 2.
(B) By having received, or having been eligible to receive, UIB within the year prior to the month of application. A person is eligible to receive UIB if either of the following conditions is met:
1. The person would have been eligible to receive unemployment compensation upon filing an application.
2. The person performed work not covered by Unemployment Compensation Law, and the coverage of such work, if combined with any covered work, would create eligibility to receive unemployment compensation upon filing an application.
(8) Is not unemployed throughout the month as a result of participation in a labor dispute.
(c) The principal wage earner is the parent who has earned the greater amount of income in the 24 month period immediately preceding either of the following:
(1) The month of application, reapplication or restoration.
(2) The date of a redetermination that a family's circumstances have changed in such a way as to meet the requirements for deprivation due to the unemployment of a parent.
(d) The following persons shall be linked to AFDC on the basis of this deprivation factor:
(1) The children of the unemployed parent.
(2) The unemployed parent.
(3) The second parent of the children whose basis of deprivation is unemployed parent.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7 and 14051, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a)(4) and (f) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
3. Amendment filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82.
4. Certificate of Compliance transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33).
5. Repealer of subsection (b) (8) and relettering of subsection (b) (9) to subsection (b)(8) filed 12-8-83; effective thirtieth day thereafter (Register 83, No. 50).
6. Amendment of subsection (b) (7) (A) filed 10-24-86; effective thirtieth day thereafter (Register 86, No. 43).
7. Amendment of subsection (c) filed 4-17-89; operative 5-17-89 (Register 89, No. 48). 
8. Editorial correction of printing error in subsections (d)(2) and (d)(3) (Register 93, No. 13).
§50216. Good Cause--Refusal of Employment.
Note     •     History

(a) Good cause for refusal of employment or training or for quitting a job or training as required in Section 50215 (b), shall be found if the applicant or beneficiary refuses or quits for any of the following reasons:
(1) The offer of employment was from an employer who did not:
(A) Possess an appropriate license to engage in business.
(B) Withhold or hold in trust the employee contributions required by Part 2 of Division 1 of the Unemployment Insurance Code, Section 2601 et seq., for unemployment compensation disability benefits and does not transmit all such employee contributions to the Department of Social Services as required by Section 986 of the Unemployment Insurance Code.
(C) Carry either workers' compensation insurance or possess a certificate of self-insurance as required by Division 4 of the Labor Code, Section 3201 et seq.
(2) The employment or training violated applicable health and safety laws and regulations.
(3) The wage offered for the employment or training was less than the applicable state or federal minimum wage or was lower than the customary wage in the community for that particular employment or training as set by the Employment Development Department, whichever is higher.
(4) The acceptance of employment would preclude completion of a job training or educational program approved by the state or county.
(5) The employment or training was in excess of the individual's mental or physical capacity.
(6) The individual was ill or required to care for an ill member of the immediate family and no other care arrangements were feasible.
(7) Child care arrangements could not be made.
(8) The individual was without a means of getting to or from the place of employment or training.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.7 and 14051, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Repealer of subsection (a)(5) and consecutive renumbering of subsections (a)(6)-(a)(9) to subsections (a)(5)-(a)(8) filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82.
3. Certificate of Compliance transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33).
4. Editorial correction of subsections (a) and (a)(1)(B) filed 7-7-83 (Register 83, No. 29).
§50216.5. Linkage to AFDC--Placement in Foster Care. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14051, and 14052, Welfare and Institutions Code.
HISTORY

1. New section filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Amendment of subsection (a) filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
3. Repealer filed 3-24-82; effective thirtieth day thereafter (Register 82, No. 13).
§50217. Linkage to SSI/SSP. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.3, Welfare and Institutions Code.
HISTORY

1. Repealer filed 3-7-80 as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 7-6-80.
2. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
§50219. Blindness.

(a) Persons shall be considered to be blind if there has been a medical determination that they have either of the following conditions:
(1) Central visual acuity of no more than 20/200 with correction.
(2) Tunnel vision, which is a limited visual field of 20 degrees or less.
§50221. Age.
Note     •     History

(a) Persons are aged if they are 65 years of age or older. Persons are considered to be 65 years of age on the first day of the month in which they reach age 65.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.3, 14005.7 and 14050.1, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 7-7-83 (Register 83, No. 29).
§50223. Disability.
Note     •     History

(a) Persons 18 years of age or over are disabled if they meet the definition in (1) or the definition in (2):
(1) Federally disabled persons are persons who meet the definition of disability in Title II or Title XVI, Social Security Act.
(2) SGA-disabled persons are persons who were once determined to be disabled in accordance with the provisions of the SSI/SSP program (Section 1614, Part A, Title XVI, Social Security Act) and meet both the following conditions:
(A) Were eligible for SSI/SSP but became ineligible because of engagement in substantial gainful activity as defined in Title XVI regulations.
(B) Continue to suffer from the physical or mental impairment which was the basis of the disability determination.
(b) Children who are under 18 years of age shall be considered to be disabled if they have any medically determinable physical or mental impairment of comparable severity to that which would make an adult disabled in accordance with (a)(1) or (2).
(c) Eligibility or share of cost determinations effective on or after January 1, 1980 shall be based on the provisions of this Section.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-7-80 as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 7-6-80.
2. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
3. Amendment of subsection (a)(1) filed 7-2-80 effective thirtieth day thereafter (Register 80, No. 27).
§50227. Public Assistance Cash Grant Programs.
Note     •     History

(a) Public assistance cash grant programs include the following programs:
(1) AFDC.
(2) SSI/SSP.
(3) Cuban Refugee Cash Grant.
(4) Indochinese Refugee Cash Grant.
(5) Emergency Assistance (EA).
(b) Except as provided in (d) and (e) below, persons receiving a cash grant under any one of the programs specified in (a) shall automatically receive a Medi-Cal card for each month in which they receive the cash grant.
(c) Except as provided in (d) and (e) below, persons not currently in receipt of a cash grant under one of the programs specified in (a), shall automatically receive a Medi-Cal card for each month in which they are ineligible for the cash grant because of either of the following reasons:
(1) Their cash grant has been suspended for an administrative reason such as to:
(A) Determine the amount of the cash grant.
(B) Adjust an overpayment.
(C) Change the recipient's representative payee.
(2) They are in the Zero Basic Grant category because the net income of the family exceeds the AFDC payment standard but does not exceed the Minimum Basic Standard of Adequate Care (MBSAC).
(d) Persons who (1) fail to assign to the state their rights or the rights of individuals for whom they can legally assign rights to medical support and/or (2) fail to cooperate, without good cause, in identifying and providing information regarding any other coverage or any third party who is or may be liable to pay for medical coverage, care, services, or support payments (including individuals required to cooperate in the establishment of paternity) shall be ineligible for Medi-Cal.
(e) Persons shall not be considered Public Assistance recipients for purposes of Medi-Cal eligibility when the following conditions exist. The person is both:
(1) Age 21 years or older.
(2) Receiving AFDC for which federal financial participation is not obtainable or EA as part of an unemployed parent family.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 87, Chapter 1594, Statutes of 1982, SB 2012. Reference: Sections 11250.5, 11406.5, 14005.1 and 14008.6, Welfare and Institutions Code; and 42 C.F.R. Sections 433.135, 433.136, 433.137, 433.138, 433.145, 433.146, 433.147, 433.148 and 435.604.
HISTORY

1. Amendment of subsection (a) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment of subsection (a) filed 7-31-81 as an emergency; effective thirtieth day thereafter (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
3. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
4. Amendment of subsections (a) and (b) and new subsection (d) filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
5. Certificate of Compliance transmitted to OAL 4-13-83 and filed 5-16-83 (Register 83, No. 21).
6. Editorial correction of Note filed 5-16-83 (Register 83, No. 21).
7. Amendment of subsections (b) and (c) and Note, new subsection (d) and subsection relettering filed 4-16-93 as an emergency; operative 4-16-93 (Register 93, No. 16). A Certificate of Compliance must be transmitted to OAL 8-16-93 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-16-93 order including amendment of  Note transmitted to OAL 8-13-93 and filed  9-23-93 (Register 93, No. 39).
§50237. Other Public Assistance Program.
Note     •     History

(a) The Other Public Assistance Program consists of categories of Medi-Cal beneficiaries defined in Sections 50243 through 50247. Except as specified in Sections 50243 through 50247, individuals applying for Medi-Cal under any of the Other Public Assistance Program categories shall meet all of the requirements of AFDC or SSI/SSP.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1, 14005.7, and 14050.1, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
3. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
4. Amendment filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82.
5. Certificate of Compliance transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33).
§50241. Children Not in School or Training. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1, 14005.7 and 14050.1, Welfare and Institutions Code.
HISTORY

1. Repealer filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82.
§50243. Four Month Continuing Eligibility.
Note     •     History

(a) The Four Month Continuing category includes persons who were:
(1) Discontinued from AFDC due solely to increased earnings from employment or increased hours of employment of a child in or added to the AFDC unit or a parent of a child or added to the filing unit, and were members of a family receiving an AFDC cash grant or eligible under Section 50227 (c)(1) in at least three of the six months immediately prior to the month they became ineligible for AFDC.
This Four Month Continuing category does not include persons who were discontinued from AFDC due to any of the following:
(A) A stepparent contribution.
(B) An increase in a stepparent contribution.
(C) The return of an absent parent to the home which ends deprivation.
(D) The stepparent's ability to meet the needs of the parent.
(E) The expiration of the $30 plus 1/3 or $30 earned income disregard.
(2) Discontinued from AFDC due (wholly or in part) to the collection or increased collection of child/spousal support, beginning August 1, 1984 and ending September 30, 1988 providing such persons were receiving an AFDC cash under Section 50227 (c)(1) in at least three of the six months prior to the month they became ineligible for AFDC.
(b) Eligibility for Four Month Continuing based on increased earnings or hours of employment shall continue for a period of four months following the most recent month in which the family became ineligible for AFDC, providing that the family maintains California residency and a family member continues to be employed.
(c) Eligibility for Four Month Continuing based (wholly or in part) on the collection or increased collection of child/spousal support shall continue for a period of four months following the most recent month in which the family became ineligible for AFDC.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1 and 14050.1, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Amendment of subsection (a)(1), (b) - (d) filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85.
3. Certificate of Compliance including amendment transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
4. Amendment filed 9-11-87; operative 10-11-87 (Register 87, No. 37).
5. Amendment of subsection (b) filed 4-17-89; operative 5-17-89 (Register 89, No. 48). 
6. Certificate of Compliance filed 9-12-79 (Register 79, No. 37).
§50244. Nine Month Continuing Eligibility.
Note     •     History

(a) The Nine Month Continuing category includes persons who were discontinued from AFDC due solely to the expiration of the $30 plus 1/3 or $30 earned income disregard specified under that program.
(b) Eligibility under this category shall continue for a period of nine consecutive months following the most recent month in which the family became ineligible for AFDC, regardless of whether the other conditions of eligibility are met.
(c) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to October 1, 1984.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 14, AB 1557, Chapter 1447, Statutes of 1984. Reference: Section 14005.8, Welfare and Institutions Code.
HISTORY

1. New section filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85.
2. Certificate of Compliance including amendment of subsection (a) transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
§50245. In-Home Supportive Services (IHSS). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 12305, 12305.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment filed 10-31-78 as an emergency; designated effective 11-1-78 (Register 78, No. 44).
3. Certificate of Compliance filed 2-6-79 (Register 79, No. 6).
4. Amendment filed 5-17-79 as an emergency; effective upon filing (Register 79, No. 20).
5. Certificate of Compliance filed 9-12-79 (Register 79, No. 37).
6. Repealer filed 7-21-2011; operative 8-20-2011 (Register 2011, No. 29).
§50247. Twenty Percent Social Security Increase.
Note     •     History

(a) The Twenty Percent Social Security Increase category includes persons or families who were all of the following:
(1) Eligible for or receiving a cash grant in August 1972.
(2) Entitled to monthly Social Security benefits in August 1972.
(3) Discontinued from cash grant eligibility solely because of the 20 percent increase in Social Security benefits under Public Law 92-336.
(b) Persons or families considered to have been eligible for or receiving a cash grant in August 1972 are those persons who were:
(1) Receiving a cash grant.
(2) Not receiving a cash grant due to adjustment for overpayment.
(3) Not receiving a cash grant because it had been suspended in order to determine the amount of the grant.
(4) Not receiving an AFDC cash grant because their income was less than the MBSAC but greater than the payment standard.
(5) Eligible for a cash grant but refused it.
(c) Persons or families considered to have been entitled to Social Security benefits in August 1972, ar those persons who either:
(1) Received Social Security benefits in August 1972.
(2) Subsequently received Social Security benefits which included retroactive payment for August 1972.
(d) Eligibility under this category shall be determined as follows:
(1) Establish that the conditions in (a) are met.
(2) Determine, on the Computation of SSP Payment for Adult Aid Recipients, SSP 1, or the AFDC Budget Worksheet, CA 241, the net income in accordance with SSI/SSP or AFDC regulations, whichever is appropriate.
(3) Subtract the amount of the 20 percent Social Security increase received in October 1972 from the net income.
(4) If the amount determined in (3) is less than the MBSAC or the SSI/SSP payment level, whichever is appropriate, the person is eligible under this category.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1 and 14050.1, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (d)(2) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment of subsection (d) filed 7-31-81 as an emergency; effective upon filing. A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
3. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
§50249. Medically Needy Program. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.3, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsection (a)(1)(A) and (a)(2)(B) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
3. Repealer filed 3-7-80 as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 7-6-80.
4. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
§50251. Medically Indigent Program.
Note     •     History

(a) A person under 21 years of age shall have eligibility determined under the Medically Indigent program if that person is any of the following:
(1) A person who cannot meet the eligibility requirements as a PA or Other PA recipient, an MN person, or an MN family member.
(2) A person who is not an MN family member because of the exclusion of a child from the MFBU.
(3) A child who is not living with a parent or relative and for whom a public agency is assuming financial responsibility in whole or in part.
(4) A child receiving assistance under Aid for Adoption of Children.
(5) A child who is not eligible as an AFDC MN person because the child is not living with a relative.
(6) A person under 21 years of age who can qualify as an MN blind or disabled person but chooses to apply as an MI person. The choice may be made by a person acting on behalf of the person under 21 years of age.
(b) A person age 21 years or older shall have eligibility determined under the Medically Indigent program if that person is all of the following:
(1) Under age 65.
(2) Unable to meet the eligibility requirements as PA or Other PA recipient, an MN person, or an MN family member.
(3) Either pregnant or residing in a skilled nursing or an intermediate care facility.
(c) In order to be eligible under this program, the persons listed in (a)(1), (2), (5), (6) and (b) shall meet the property, citizenship, residence, institutional status and cooperation requirements specified in these regulations.
(d) In order to be certified and receive a Medi-Cal card under this program the persons listed in (a)(1), (2), (5), (6) and (b) shall be determined eligible and meet the income and share of cost requirements specified in these regulations.
(e) Children specified in (a)(3) shall be eligible and certified for Medi-Cal:
(1) On the basis of the information provided by the public agency on form MC 250.
(2) Without considering the property or income of the child or the child's parents.
(f) The children specified in (a)(4) above shall be eligible and certified for Medi-Cal without any additional determinations by the county department.
(g) For purposes of this section:
(1) Persons are considered 21 years of age on the first day of the month following the month in which they reach age 21.
(2) Persons are considered 18 years of age on the first day of the month in which they reach age 18.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 57(c), AB 799, Chapter 328, Statutes of 1982; and Section 87(c), SB 2012, Chapter 1594, Statutes of 1982. Reference: Sections 14005.4 and 14052, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a)(2), (a)(3), (a)(5), and adoption of subsection (f) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment filed 2-5-80 as an emergency; effective upon filing (Register 80, No. 6). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-5-80.
3. Certificate of Compliance transmitted to OAH 6-4-80 and filed 6-6-80 (Register 80, No. 23).
4. Amendment of subsection (a)(4) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
5. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
6. Amendment of subsections (a)-(c) filed 3-24-82; effective thirtieth day thereafter (Register 82, No. 13).
7. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
8. Certificate of Compliance transmitted to OAL 4-13-83 and filed 5-16-83 (Register 83, No. 21).
§50253. Miscellaneous Special Programs.
Note     •     History

Miscellaneous Special Programs are those specified in Sections 50255 through 50263.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14142 and 14145, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
§50255. Repatriate Program.

Persons eligible for cash payments and other assistance under the Repatriate program shall not be eligible for Medi-Cal. Medi-Cal eligibility may be established upon discontinuance from the program.
§50256. Qualified Disabled and Working Individual Program.
Note     •     History

(a) Eligibility Criteria: To receive Medi-Cal benefits under the Qualified Disabled and Working Individual Program an eligible individual must:
(1) Be entitled to enroll in Part A Medicare hospital insurance benefits for the disabled and working, and
(2) Not have net nonexempt income that exceeds 200 percent of the federal poverty level as defined by Section 50041.5. The qualifying income level as defined in Section 50571 (the share of cost process for incurred medical expenses under Article 12 of this chapter) is not applicable under this program, and
(3) Not have property that exceeds twice the resource limit as defined by Section 50421.5.
(b) Period of Eligibility: Eligibility for the Qualified Disabled and Working Individual Program shall be in accordance with Sections 50193, 50195 and 50197.
(c) Benefits: The Department shall pay Medicare Part A hospital premiums for qualified disabled and working individuals as defined in Section 50079.6.
NOTE

Authority cited: Section 20, Health and Safety Code; Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 12, Chapter 1430, Statutes of 1989. Reference: Section 14005.3, Welfare and Institutions Code; and Sections 1396a(a)(10)(E) and 1396d(s), Title 42, United States Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History Note 1 (Register 95, No. 9).
3. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 9).
4. New section refiled 3-3-95 as an emergency; operative 3-3-95 (Register 95, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-95 order including amendment of section and Note  transmitted to OAL 2-22-95 and filed 4-5-95 (Register 95, No. 14).
6. Change without regulatory effect amending subsection (b) and Note filed 6-21-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 25).
§50257. Refugee Medical Assistance (RMA) and Entrant Medical Assistance (EMA).
Note     •     History

(a) Refugees and entrants who are not otherwise eligible for Medi-Cal under federally-funded AFDC, SSI/SSP, MN or Medically Indigent Child programs may be eligible for Medi-Cal through the special federal programs of Refugee Medical Assistance (RMA) or Entrant Medical Assistance (EMA). 
(b) Refugees and entrants who apply for Medi-Cal under the RMA or EMA programs shall:
(1) Meet the definition contained in the Department of Social Services (DSS) Manual of Policy and Procedures (MPP) of “refugee” (MPP sections 69.203.1 and 69.203.2), “children of refugees” (MPP section 69-203.3), or “entrant” (MPP sections 69-301 through 69-305).
(2) Have their eligibility for Medi-Cal under the RMA or EMA programs determined in accordance with articles 4 through 13 (commencing with section 50141) of this chapter; however, in-kind services and/or shelter provided to refugees by a sponsor or resettlement agency are not to be considered as income.
(3) Provide the name of the resettlement agency to the county welfare department.
(c) Recipients of Refugee Cash Assistance (RCA) or Entrant Cash Assistance (ECA) shall automatically receive a Medi-Cal card. But receipt of RCA/ECA is not a condition of RMA/EMA eligibility. Refugees may apply for “RMA/FMA-Only” benefits.
(d) Recipients of RCA/ECA who become ineligible for these cash programs solely because of increased earnings from employment will continue to be eligible for up to eight months of transitional RMA/EMA benefits with no share-of-cost. Eligibility for RMA/EMA is limited until the end of the RMA/EMA time-eligibility period specified in subsection (e) of this Section.
(e) Eligibility for Medi-Cal under the RMA or EMA programs shall be limited to the shorter of the following periods:
(1) The refugee's first eight months of United States residency, beginning with the month of entry, or the entrant's (including entrant children born in the United States resettlement camps) first eight months of parole (release from Immigration and Naturalization Service custody).
(2) The time period for which DHS determines that sufficient federal funds are available under the Refugee Resettlement Program (RRP) and Cuban and Haitian Entrant Program (CHEP).
(f) Refugees shall be ineligible for RMA/EMA if:
(1) They have been denied or terminated from RCA/ECA for failure or refusal to comply with registration, employment, education or training requirements of MPP section 69-208; or
(2) They are full-time students in an institution of higher education, as defined by MPP section 69-206.51, except where such enrollment is part of an employability plan developed by a county welfare department or its designee per MPP sections 69-206.52, 69-206.53, or 69-206.54, or is part of a plan for an unaccompanied minor meeting the requirements of sections 69-213.23 or 69-213.62.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 57, Chapter 328, Statutes of 1982; and Section 87, Chapter 1594, Statutes of 1982. Reference: Sections 14005.4 and 14011.5, Welfare and Institutions Code; and Sections 400.90 through 400.156, 400.200 through 400.212, and 400.300 through 400.319, Title 45, Code of Federal Regulations.
HISTORY

1. Repealer and new section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of subsection(b)(1) transmitted to OAL 4-13-83 and filed 5-16-83 (Register 83, No. 21).
3. Amendment of subsections (b)(1) and (d)(1) filed 8-7-90; operative 9-6-90 (Register 90, No. 39).
4. Amendment of section and Note filed 2-28-96; operative 3-29-96 (Register 96, No. 9).
§50258. Qualified Medicare Beneficiary Program.
Note     •     History

(a) Eligibility Criteria: To receive Medi-Cal benefits under the Qualified Medicare Beneficiary program an individual eligible for such benefits must:
(1) Be entitled to Part A Medicare hospital insurance benefits, and
(2) Meet the qualifying income level as defined in section 50570 (the share of cost process for incurred medical expenses under article 12 of this chapter is not applicable under this program), and 
(3) Meet the qualifying property (resource) limit as defined in section 50421.
(b) Period of Eligibility: Notwithstanding sections 50193, 50195 and 50197, eligibility for the Qualified Medicare Beneficiary Program shall begin the first of the month following the month of approval.
(c) Benefits: The Department shall pay: Medicare premiums, coinsurance, and deductibles for qualified Medicare beneficiaries as defined in section 50079.7.
NOTE

Authority cited: Section 20, Health and Safety Code; Sections 10725, 14005.11 and 14124.5, Welfare and Institutions Code; and Section 12, Chapter 1430, Statutes of 1989. Reference: Sections 1396a(a)(10)(E) and (G), 1396a(m)(4) and 1396d(p)(1), Title 42, United States Code; and Section 14005.11, Welfare and Institutions Code.
HISTORY

1. New section filed 8-13-90 as an emergency; operative 8-13-90 (Register 90, No. 40). A Certificate of Compliance must be transmitted to OAL by 12-11-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance transmitted to OAL 12-11-90 and filed 1-9-91 (Register 91, No. 8).
3. Amendment of subsection (c) filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History Note 3 (Register 95, No. 9).
5. Reinstatement of subsection (c) as it existed prior to emergency amendment filed 3-2-95 by operation of Government Code section 11346.1(f) (Register 95, No. 9).
6. Amendment of subsection (c) refiled 3-3-95 as an emergency; operative 3-3-95 (Register 95, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-95 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-3-95 order transmitted to OAL 2-22-95 and filed 4-5-95 (Register 95, No. 14).
8. Change without regulatory effect amending subsection (b) and Note filed 6-21-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 25).
§50258.1. Specified Low-Income Medicare Beneficiary Program (SLMB).
Note     •     History

(a) Eligibility Criteria: A SLMB is ineligible as a QMB solely due to excess income.  To receive Medi-Cal benefits under the SLMB program an individual eligible for such benefits must:
(1) Be entitled to Part A Medicare hospital insurance benefits, and
(2) Meet the qualifying income level as defined in Section 50570(b) (the share of cost process for incurred medical expenses under Article 12 of this chapter is not applicable under this program), and
(3) Meet the qualifying property (resource) limit as defined in Section 50421.
(b) Period of Eligibility: Eligibility for the SLMB program shall begin the first month eligibility is approved.  A SLMB may be eligible for up to three months of retroactive benefits from the month of application as provided in Section 50197 but no earlier than January 1, 1993.
(c) Benefits: The Department shall pay Medicare Part B premiums for SLMB as defined in Section 50091.5.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396a(a)(10)(E)(iii), Title 42, United States Code; and Section 14005.11, Welfare and Institutions Code.
HISTORY

1. New section filed 12-21-93; operative 1-20-94 (Register 93, No. 52).
2. Change without regulatory effect amending subsection (b) and Note filed 6-21-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 25).
§50259. Indochinese Refugee Status. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10554.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14005, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-20-78 as an emergency; effective upon filing (Register 78, No. 29).
2. Certificate of Compliance transmitted to OAH 11-16-78 and filed 11-17-78 (Register 78, No. 46).
3. Repealer filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
4. Certificate of Compliance transmitted to OAL 4-13-83 and filed 5-16-83 (Register 83, No. 21).
§50260. 60-Day Postpartum Services Program.
Note     •     History

A pregnant woman who was eligible for and received Medi-Cal during the last month of pregnancy, shall continue to be eligible for all pregnancy related and postpartum services, for a 60-day period beginning on the last day of pregnancy, regardless of whether the other conditions of eligibility are met. Eligibility for this program ends on the last day of the month in which the 60th day occurs.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.3 and 14100.1, Welfare and Institutions Code; and 42 United States Code Section 1396a (e) (5).
HISTORY

1. New section filed 1-4-88 as an emergency; operative 1-4-88 (Register 88, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-4-88.
2. Certificate of Compliance transmitted to OAL 4-28-88 and filed 5-31-88 (Register 88, No. 23).
§50261. Special Medi-Cal Dialysis Programs. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14140, 14141, 14142, 14143 and 14145, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Repealer filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81 (Register 81, No. 13).
4. Reinstatement of section as it existed prior to emergency repealer filed 3-25-81 by operation of Government Code Section 11346.1(f) (Register 82, No. 30).
5. Repealer filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
§50262. Special Zero Share of Cost Programs for Pregnant Women and Infants.
Note     •     History

The following eligibility criteria shall apply to pregnant women, and infants under one year old with a share of cost. As used in this section the terms “woman” and “women” mean any female regardless of age. Counties shall determine eligibility for applicants and beneficiaries under either of the programs described in subsections (a)(1) and (a)(2). Eligibility shall first be determined under subsection (a)(1).
(a) Eligibility criteria:
(1) 185 Percent Program. The net nonexempt Medi-Cal Family Budget Unit (MFBU) income of an otherwise eligible pregnant woman, or infant under one year old, shall be above the maintenance income need level but shall not exceed 185 percent of the federal poverty level, as revised annually in accordance with section 673(2) of the Omnibus Budget Reconciliation Act of 1981 (Public Law 97-35).
(2) 200 Percent Program. The net nonexempt Medi-Cal Family Budget Unit (MFBU) income of an otherwise eligible pregnant woman, or infant under one year old, shall exceed 185 percent of the federal poverty level as specified in (a)(1) but shall not exceed 200 percent of the federal poverty level, as revised annually in accordance with section 673(2) of the Omnibus Budget Reconciliation Act of 1981 (Public Law 97-35).
(3) In determining net nonexempt income of the MFBU, all deductions and exemptions applicable solely to AFDC-MN persons or families, as provided in article 10, shall be allowed except health insurance premiums.
(4) A pregnant woman or infant may not reduce MFBU income to the 185 or 200 percent level by meeting a share of cost.
(5) If the pregnant woman and/or infant meet the requirements of the 200 Percent Program, but have assets which exceed the resource limit, the assets shall be waived for those applicants or beneficiaries in accordance with Section 50401(b).
(b) Period of Eligibility:
(1) Pregnant woman. Eligibility for the pregnant woman shall begin no earlier than the first day of the month for which pregnancy is verified. Eligibility shall end on the last day of the month of the 60-day period immediately following the last day of pregnancy.
(2) Infant. Eligibility for an infant shall end upon attainment of age one, unless the infant is an inpatient for whom medical services are provided during a continuous period which began before his/her first birthday. In that event, the infant shall continue to be eligible until the end of the stay for which the inpatient services are furnished.
(3) Retroactive eligibility. Eligibility for a pregnant woman or infant may be established retroactively in any of the three months immediately preceding the month of application as provided in section 50197.
(c) Scope of Benefits:
(1) A pregnant woman shall be eligible only for pregnancy related services, including services for conditions which complicate pregnancy.
(2) An otherwise eligible infant shall receive full Medi-Cal benefits if the infant is a United States citizen or meets the requirements of section 14007.5 of the Welfare and Institutions Code, as added by Statutes of 1988, chapter 1441, Section 3. If the infant does not meet the requirements of this subsection, services shall be restricted to treatment of emergency medical conditions only.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14007.5, 14148, 14148.1 and 14148.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-27-89 as an emergency; operative 6-27-89 (Register 89, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-25-89.
2. Certificate of Compliance as to 6-27-89 order including change without regulatory effect of subsection (c)(2) transmitted to OAL 10-25-89 and filed 11-22-89 (Register 89, No. 48).
3. Amendment of subsections (a) and (b) filed 1-23-90 as an emergency; operative 1-23-90 (Register 90, No. 4). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-23-90.
4. Certificate of Compliance as to 1-23-90 order including amendment transmitted to OAL 5-22-90 and filed 6-21-90 (Register 90, No. 33).
5. Editorial correction of subsection (c) printing error (Register 90, No. 33).
6. New subsection (a)(5) filed 5-28-92 as an emergency; operative 5-28-92 (Register 92, No. 22). A Certificate of Compliance must be transmitted to OAL 9-25-92 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 5-28-92 order transmitted to OAL 9-25-92 and filed 10-19-92 (Register 92, No. 43).
8. Change without regulatory effect amending subsection (b)(3) and Note filed 6-21-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 25).
§50262.3. Continued Eligibility Program for Pregnant/Postpartum Women and Infants.
Note     •     History

(a) A pregnant woman who has applied for, been determined eligible for and is receiving Medi-Cal, shall continue to remain eligible for pregnancy-related services throughout the pregnancy and the 60-day postpartum period beginning on the last day of pregnancy, regardless of any increases in her family's income.
(b) Infants born to women who are eligible for and receiving Medi-Cal at the time of birth are automatically deemed eligible for one year without a separate Medi-Cal application and social security identification number. In addition, these infants shall remain eligible, regardless of any increases in the family's income, as long as the following conditions continue to apply:
(1) the infant continues to live with his/her mother; and
(2) the mother remains eligible for Medi-Cal or would have remained eligible if she were still pregnant.
(c) Individuals described in (a) or (b) above must continue to meet all other eligibility criteria.
NOTE

Authority cited: Sections 10725, 14016.10 and 14124.5, Welfare and Institutions Code. Reference: Title 42, Sections 1396a(e)(4), 1396a(e)(5) and 1396a(e)(6) of the United States Code.
HISTORY

1. New section filed 4-27-94 as an emergency; operative 4-27-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-25-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-27-94 order transmitted to OAL 8-24-94 and filed 9-29-94 (Register 94, No. 39).
3. Editorial correction of subsection (c) (Register 94, No. 39).
4. Editorial correction of Authority cite (Register 95, No. 43).
§50262.5. Special Zero Share of Cost Program for Children of Age One Up to Age Six (133 Percent Program).
Note     •     History

(a) Children who have attained one year of age but have not attained six years of age are eligible to receive Medi-Cal benefits under the 133 Percent program if the following conditions are satisfied:
(1) The net nonexempt Medi-Cal Family Budget Unit (MFBU) income of otherwise eligible children shall not exceed 133 percent of the federal income official poverty line as defined by the Office of Management and Budget, and revised annually in accordance with section 673(2) of the Omnibus Budget Reconciliation Act of 1981 (Public Law 97-35).
(2) In determining net nonexempt income of the MFBU, all deductions and exemptions applicable solely to AFDC-MN persons or families, as provided in article 10, shall be allowed except health insurance premiums.
(3) A child may not reduce MFBU income to the 133 percent level by meeting a share of cost.
(4) When determining eligibility for the 133 Percent Program, property shall be disregarded in accordance with Section 50401(c).
(b) Period of Eligibility:
(1) The period of eligibility for the 133 Percent program shall begin no earlier than the first day of the month of the child's first birthday unless the child is an inpatient for whom medical services are provided during a continuous period which began before his/her first birthday and he/she remains eligible under the 185 or 200 percent program. Once the continuous inpatient stay ends, the child must be evaluated for the 133 Percent program if he/she has not attained age six.
(2) The period of eligibility for the 133 Percent program shall end on the last day of the month in which the child attains age six unless the child is an inpatient for whom medical services are provided during a continuous period which began before his/her sixth birthday. In that event, the period of eligibility continues under the 133 Percent program until the end of the stay for which the inpatient services are furnished so long as the child would have remained eligible under the 133 Percent program but for attaining the age of six.
(c) Scope of Benefits:
(1) An otherwise eligible child shall receive full Medi-Cal benefits if the child is a United States citizen or meets the requirements of section 50302. If the child does not meet the requirements of this section, services shall be restricted to treatment of emergency medical conditions only.
(2) Services provided under this section shall not be subject to any share of cost requirements.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1, 14007.5, 14050.1 and 14148.75, Welfare and Institutions Code; and Title 42, Sections 1395(a)(3)(E), 1396a(a)(10)(A)(i)(VI), (e)(7), (l) and 1396b(v), United States Code.
HISTORY

1. New section filed 10-01-90 as an emergency; operative 10-1-90 (Register 90, No. 45). A Certificate of Compliance must be transmitted by OAL by 1-29-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance including amendment of subsections (a) and (c) transmitted to OAL 1-28-91 and filed 2-19-91 (Register 91, No. 12). 
3. Amendment of subsection (a), new subsection (a)(4), and amendment of Note filed 4-2-98 as an emergency; operative 4-2-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 14148.75 (Register 98, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a), new subsection (a)(4), and amendment of Note refiled 4-15-98 as an emergency, including additional amendment of subsection (a)(4); operative 4-15-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 14148.75 (Register 98, No. 16). A Certificate of Compliance must be transmitted to OAL by 10-12-98 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 3 and History 4 (Register 98, No. 47).
6. Certificate of Compliance as to 4-15-98 order transmitted to OAL 10-9-98 and filed 11-18-98 (Register 98, No. 47).
§50262.6. Special Zero Share of Cost Program for Children of Age Six Up to Age Nineteen (100 Percent Program).
Note     •     History

(a) Children who have attained six years of age but have not attained nineteen years of age are eligible to receive Medi-Cal benefits under the 100 Percent program if the following conditions are satisfied:
(1) The net nonexempt Medi-Cal Family Budget Unit (MFBU) income of otherwise eligible children shall not exceed 100 percent of the federal poverty level as defined in Section 50041.5.
(2) In determining net nonexempt income of the MFBU, all deductions and exemptions applicable solely to AFDC-MN persons or families, as provided in Article 10 of this chapter, shall be allowed except health insurance premiums.
(3) A child may not reduce MFBU income to the 100 percent level by meeting a share of cost.
(4) When determining eligibility for the 100 Percent Program, property shall be disregarded in accordance with Section 50401(c).
(5) Notwithstanding Section 50014, children are defined for this program as persons under 19 years of age.
(b) Period of Eligibility:
(1) The period of eligibility for the 100 Percent program shall begin no earlier than the first day of the month of the child's sixth birthday unless the child is an inpatient for whom medical services are provided during a continuous period that began before his/her sixth birthday and he/she remains eligible under Sections 50262 or 50262.5. Once the continuous inpatient stay ends, the child must be evaluated for the 100 Percent program if he/she has not attained age nineteen.
(2) The period of eligibility for the 100 Percent program shall end on the last day of the month in which the child attains age nineteen unless the child is an inpatient for whom medical services are provided during a continuous period that began before his/her sixth birthday. In that event, the period of eligibility continues under the 100 Percent program until the end of the stay for which the inpatient services are furnished so long as the child would have remained eligible under the 100 Percent program but for attaining the age of nineteen.
(c) Scope of Benefits:
(1) An otherwise eligible child shall receive full Medi-Cal benefits if the child is a United States citizen or meets the requirements of Section 50301. If the child does not meet the requirements of this section, services shall be restricted to treatment of emergency medical conditions and pregnancy related services only.
(2) Services provided under this section shall not be subject to any share of cost requirements.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1, 14005.23, 14007.5, 14050.1 and 14148.75, Welfare and Institutions  Code; and Title 42, Sections 1395(a)(3)(E), 1396a(a)(10)(A)(i)(VII), (e)(7), (l), 1396b(v) and 1396(l)(1)(D), United States Code.
HISTORY

1. New section filed 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance, as to 10-26-95 order including editorial correction of subsection (b)(2), transmitted to OAL 2-21-96 and filed 3-20-96 (Register 96, No. 12).
3. Amendment of subsection (a), new subsections (a)(4) and (a)(5), and amendment of subsection (b)(1) and Note filed 4-2-98 as an emergency; operative 4-2-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 14148.75 (Register 98, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a), new subsections (a)(4) and (a)(5), and amendment of subsections (b)(1) and Note refiled 4-15-98 as an emergency, including additional amendment of subsection (a)(4); operative 4-15-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 14148.75 (Register 98, No. 16). A Certificate of Compliance must be transmitted to OAL by 10-12-98 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 3 and History 4 (Register 98, No. 47).
6. Certificate of Compliance as to 4-15-98 order transmitted to OAL 10-9-98 and filed 11-18-98 (Register 98, No. 47).
§50262.7. Targeted Case Management Services Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealed by operation of Government Code section 11346.1(g) (Register 97, No. 15).
5. New section filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
6. Change without regulatory effect renumbering former section 50262.7 to new section 51365 filed 6-9-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
§50263. MC 800 Program.
History

(a) The MC 800 program is an eligibility process that a county department may choose to utilize to determine eligibility for persons receiving health care services at either a county medical facility or a county contract hospital. This process shall not be utilized unless the county department executes a waiver agreeing to abide by payment adjustments made pursuant to post-audits conducted by the Department, in accordance with procedures established by the Director.
(b) If the county department chooses to utilize the MC 800 program, persons who meet the requirements set forth in (c) shall be allowed to select one of the following methods of having their eligibility determined:
(1) The Medi-Cal application process, as specified in Article 4.
(2) The MC 800 process, in accordance with Department procedures.
(c) Persons who may have their eligibility determined in accordance with the MC 800 program are those who meet the requirements of the MI program and are all of the following:
(1) At least 21 years of age.
(2) Not eligible under any PA, Other PA, MN or special program.
(3) Not currently certified as a Medi-Cal beneficiary.
(4) Not applying for coverage for any health care services received prior to admission to or receipt of services at the county medical facility or county contract hospital.
(5) Not being transferred to a long-term care or private medical facility.
(6) Not eligible under another public program that must bill Medi-Cal for health care services provided to that program's beneficiaries.
HISTORY

1. Amendment of subsection (a) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 26).
§50264. Medi-Cal Special Treatment Programs.
Note     •     History

(a) Medi-Cal Special Treatment Programs consist of:
(1) The Medi-Cal Special Treatment Programs--Only:
(A) The Medi-Cal Dialysis Only program which covers persons who are eligible under provisions of Article 17, only for dialysis and related services.
(B) The Medi-Cal Parenteral Hyperalimentation Only program which covers persons who are eligible under provisions of Article 17, only for parenteral hyperalimentation and related services.
(2) The Medi-Cal Special Treatment Programs--Supplement:
(A) The Medi-Cal Dialysis Supplement program which covers persons eligible under the Medically Needy or the Medically Indigent programs and who also meet the applicable eligibility requirements contained in Article 17.
(B) The Medi-Cal Parenteral Hyperalimentation Supplement program which covers persons who are eligible under the Medically Needy or Medically Indigent programs and who also meet the applicable eligibility requirements contained in Article 17.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14140, 14141, 14142, 14143, 14144 and 14145, Welfare and Institutions Code.
HISTORY

1. New section filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
2. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
3. New section filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
§50265. Medi-Cal Aid Codes.
History

(a) Aid codes shall be used in the classification and reporting of Medi-Cal beneficiaries as required by the Department's written procedures.
HISTORY

1. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
§50268. Tuberculosis (TB) Program.
Note     •     History

(a) Eligibility Criteria: To be eligible under the Tuberculosis (TB) Program an individual shall:
(1) Be diagnosed by a Medi-Cal provider as infected with TB as defined in Section 51187.
(2) Have net nonexempt income as determined pursuant to Article 10 which does not exceed the maximum amount for a disabled individual as provided in 42 United States Code Section 1396a(a)(10)(A)(i).
(3) Have net nonexempt resources as determined pursuant to Article 9 which do not exceed the maximum amount for property reserve for a disabled individual as under 42 United States Code Section 1396a(a)(10)(A)(i). These amounts are specified in Section 50420.
(4) Meet the citizenship, immigration status, and documentation requirements for full Medi-Cal benefits as specified in Article 7.
(b) Period of Eligibility: Eligibility for the TB Program shall begin the first month eligibility is approved. A person with TB may be eligible for retroactive benefits in any of the three months immediately preceding the month of application as provided in Section 50197, but not earlier than October 1, 1994.
(c) Benefits: TB infected individuals under this program shall be eligible only for TB related services as defined in Section 51355.
(d) Individuals eligible under this program shall have no share of cost.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 8-16-95 as an emergency; operative 8-16-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-14-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-14-95 as an emergency; operative 12-14-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-8-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-8-96 order, including amendment of subsection (a)(3), transmitted to OAL 7-30-96 and filed 9-11-96 (Register 96, No. 37).
5. Change without regulatory effect amending subsection (b) and Note filed 6-21-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 25).
Article 6. Institutional Status
§50271. Institutional Status--General.
Note     •     History

The status of being an inmate in public or private institutions shall be a factor in the determination of Medi-Cal eligibility as specified in Section 50273. The eligibility of inmates whose institutional status does not cause ineligibility under Section 50273 shall be contingent upon all other eligibility requirements being met.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016 and 14053, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 4-2-83; effective thirtieth day thereafter (Register 83, No. 14).
§50273. Medi-Cal Ineligibility Due to Institutional Status.
Note     •     History

(a) Individuals who are inmates of public institutions are not eligible for Medi-Cal: The following individuals are considered inmates of a public institution:
(1) An individual in a prison, or a county, city, or tribal jail.
(2) An individual in a prison or jail: Prior to arraignment, prior to conviction, or prior to sentencing.
(3) An individual who is incarcerated, but can leave prison or jail on work release or work furlough and must return at specific intervals.
(4) Individuals released from prison or jail due to a medical emergency who would otherwise be incarcerated but for the medical emergency. Institutional status of such persons is not affected by transfer to a public or private medical facility.
(5) A minor in a juvenile detention center prior to disposition (judgment) due to criminal activity of the minor.
(6) A minor, after disposition, placed in a detention or correctional facility, including a youth ranch, forestry camp, or home which is part of the criminal justice system.
(7) A minor placed on probation by a juvenile court on juvenile intensive probation with specific conditions of release, including residence in a juvenile detention center.
(8) A minor placed on probation by a juvenile court on juvenile intensive probation to a secure treatment facility contracted with the juvenile detention center if the secure treatment facility is part of the criminal justice system.
(9) Individuals between the ages of 21-65 who are in an institution for mental diseases shall be considered inmates of a public institution until they are unconditionally released.
(b) Ineligibility for individuals classified as inmates in (a) begins on the day institutional status commences and ends on the day institutional status ends.
(c) The following individuals are not considered inmates of a public institution and shall be eligible for Medi-Cal provided that all other requirements for eligibility set out in this chapter are satisfied:
(1) An individual released from prison or jail on permanent release, bail, own recognizance (OR), probation, or parole with a condition of:
(A) Home arrest;
(B) Work release;
(C) Community service;
(D) Outpatient treatment;
(E) Inpatient treatment.
(2) An individual who, after arrest but before booking, is escorted by police to a hospital for medical treatment and held under guard.
(3) An individual in prison or jail who transfers temporarily to a halfway house or residential treatment facility prior to a formal probation release order.
(4) An individual released from prison or jail under a court probation order due to a medical emergency.
(5) A minor in a juvenile detention center prior to disposition (judgment) due to care, protection or in the best interest of the child (e.g., Child Protective Services) if there is a specific plan for that person that makes the stay at the detention center temporary. This would include those juveniles awaiting placement but still physically present in juvenile hall.
(6) A minor placed on probation by a juvenile court on juvenile intensive probation with home arrest restrictions.
(7) A minor placed on probation by a juvenile court on juvenile intensive probation to a secure treatment facility contracted with the juvenile detention center if the secure treatment facility is not part of the criminal justice system.
(8) A minor placed on probation by a juvenile court on juvenile intensive probation with treatment as a condition of probation:
(A) In a psychiatric hospital;
(B) In a residential treatment center;
(C) As an outpatient.
(9) Individuals released from an institution for mental diseases or transferred from such an institution to a public or private medical facility.
(10) Individuals on conditional release or convalescent leave from an institution for mental diseases.
(11) Individuals under age 22 who are patients in an institution for mental diseases, were institutionalized prior to their 21st birthday, and continue to receive inpatient psychiatric care.
(12) An individual under 21 years of age, who is receiving inpatient psychiatric hospital services while an inmate of a public institution.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016, 14011.10 and 14053, Welfare and Institutions Code;  Sections 4011.1 and 4015, Penal Code; 42 U.S.C. Section 1396d(a)(29)(A); and 42 CFR Sections 435.1009 and 435.1010.
HISTORY

1. Repealer and new section filed 4-1-83 effective thirtieth day thereafter (Register 83, No. 14). For prior history, see Register 77, No. 51.
2. Amendment filed 4-10-86; effective thirtieth day thereafter (Register 86, No. 15). 
3. Amendment of subsections (c) and (d) filed 4-17-89; operative 5-17-89 (Register 89, No. 48.) 
4. Repealer and new section filed 1-26-95; operative 2-27-95 (Register 95, No. 4).
5. Editorial correction of subsections (a)(4) and (a)(5) (Register 2011, No. 52).
6. Change without regulatory effect adding new subsection (c)(12) and amending Note filed 1-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 4).
§50275. Voluntary Inmates.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016 and 14053, Welfare and Institutions Code.
HISTORY

1. Repealer filed 4-1-83; effective thirtieth day thereafter (Register 83, No. 14).
§50279. Limitations of Institutional Status.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016 and 14053, Welfare and Institutions Code.
HISTORY

1. Repealer filed 4-1-83; effective thirtieth day thereafter (Register 83, No. 14).
Article 7. Alienage, Citizenship and Residence
§50301. Citizenship or Immigration Status for Full Medi-Cal Benefits.
Note     •     History

(a) “Full Medi-Cal benefits” means all the services ordinarily covered by the Medi-Cal program. 
(b) To be eligible for full Medi-Cal benefits, an applicant or beneficiary shall be a California resident who is one of the following: 
(1) A citizen of the United States. 
(2) A national of the United States from American Samoa or Swain's Island. 
(3) An alien who has been lawfully admitted to the United States for permanent residence. This category includes “conditional permanent resident” who have been granted a two-year period lawful admission for of permanent residence in accordance with section 216 of the Immigration and Nationality Act (8 USC 1186a). 
(4) An alien permanently residing in the United States under color of law. (PRUCOL). 
(5) An amnesty alien (lawful temporary resident or lawful permanent resident) whose status has been adjusted in accordance with section 210, 210A or 245A of the Immigration and Nationality Act (8 USC sections 1160, 1161 or 1255a) if the alien meets one of the following conditions:
(A) The alien is aged, blind, disabled, or under 18 years of age, or 
(B) More than five years has elapsed since the date the alien was granted lawful temporary resident status. The date of granting is the date the alien filed his or her application for lawful temporary resident status.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Section 14007.5, Welfare and Institutions Code. 
HISTORY

1. Amendment filed 10-20-88 as an emergency; operative 10-20-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-20-89. 
2. Amendment refiled 2-10-89 as an emergency; operative 2-15-89 (Register 89, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-89. 
3. Amendment refiled 6-5-89 as an emergency; operative 6-15-89 (Register 89, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89. 
4. Certificate of Compliance transmitted to OAL 10-12-89 and disapproved by OAL on 11-13-89 (Register 89, No. 48). 
5. Repealer and new section filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
6. Repealer and new section refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
7. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
8. Repealer and new section filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance including amendment as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50301.1. Documentation of Status as a Citizen or National of the United States.
Note     •     History

(a) Applicants in this classification shall present a document which establishes their identify, such as a driver's license, and an original document which serves as evidence that an applicant is a citizen or national of the United States.
(1) If the applicant declares a birthplace outside of the United States or its outlying possessions, or 
(2) If evidence exists which suggests that the applicant may be falsely claiming to be a citizen or national of the United States. 
(b) Documents which establish status as a citizen or national of the U.S. include the following: 
(1) A birth certificate issued by a governmental entity within the United States or its outlying possessions.
(2) A United States passport. 
(3) United States Citizen Identification Card (INS Form I-197) or Identification Card for Use of Resident Citizen in the United States (I-179).
(4) Certificate of Naturalization (INS Form N-550 or N-570). 
(5) Certificate of Citizenship (INS Form N-560 or N-561). 
(6) Certification of Birth Abroad (Dept. of State Form FS-545 or DS-1350). 
(7) Report of Birth: Child Born Abroad of American Parent or Parents (Dept. of State Form FS-240). 
(8) Northern Mariana Identification Card issued by INS to persons born in the Northern Mariana Islands who are now U.S. citizens. 
(9) A religious document, of which the issuing organization has a record, showing that the birth took place in the U.S. Religious documents shall be accepted only in the absence of other types of evidence.
(10) An Individual Fee Register Receipt (INS Form G-711) which shows that the person has filed an Application for a New Naturalization or Citizenship Paper (INS Form N-565).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Sections 14011 and 14007.5, Welfare and Institutions Code. 
HISTORY

1. New section filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988;operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
2. New section refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
3. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
4. Repealer and new section filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of  law on the following day.
5. Certificate of Compliance including amendment as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50301.2. Documentation of Status as an Alien Lawfully Admitted for Permanent Residence.
Note     •     History

Applicants in this classification shall present a document, such as a driver's license, which establishes their identity and one or more of the following documents: 
(a) An Alien Registration Receipt Card (INS Form I-551 or earlier Forms I-151 of AR-3a). 
(b) An Arrival-Departure Record (INS Form I-94) or foreign passport with a special stamp showing that an Alien Registration Receipt Card (INS Form I-551) will be issued. 
(c) An INS Form I-181b notification letter issued in connection with an INS Form I-181, Memorandum of Creation of Record of Lawful Permanent Residence, which shows that an Alien Registration Receipt Card (INS Form I-551) will be issued. 
(d) A Permit to Re-enter the United States (INS Form I-327). 
(e) A letter from the Canadian Department of Indian Affairs, a birth or baptismal record issued on a Canadian Indian reservation or tribal or school records which establish that an American Indian born in Canada is of at least one half American Indian ancestry. 
(f) An Individual Fee Register Receipt (INS Form G-711) for replacement of a lost stolen or unreadable alien registration or alien admission document listed in this section. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Sections 14011 and 14007.5, Welfare and Institutions Code. 
HISTORY

1. New section filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
2. New section refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
3. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
4. Repealer and new section filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50301.3. Documentation of Status as an Alien Permanently Residing in the United States Under Color of Law (PRUCOL).
Note     •     History

Applicants in this classification shall present a document which establishes their identity, such as a driver's license, and one or more of the following INS-issued documents: 
(a) Aliens admitted to the United States before April 1, 1980 in accordance with Immigration and Nationality Act (INA) section 203(a)(7) (8 USC 1153(a)(7)): Arrival-Departure Record, INS Form I-94, annotated “REFUGEE-CONDITIONAL ENTRY.” 
(b) Aliens paroled into the United States for an indefinite period including Cuban/Haitian Entrants and PublicInterest/Humanitarian Parolees: INS Form I-94, with notation that the alien has been paroled into the United States pursuant to INA section 212(d)(5) (8 USC 1182(d)(5)) or stamped “Cuban/Haitian Entrant (Status Pending) reviewable January 15, 1981. Employment authorized until January 15, 1981”.
(c) Aliens subject to an Order of Supervision: INS Form I-220B. 
(d) Aliens granted an indefinite stay of deportation: INS Form I-94 or a letter from INS showing this status.
(e) Aliens granted an indefinite voluntary departure: INS Form I-94 or a letter from INS showing this status.
(f) Aliens on whose behalf an INS Form I-130 (Petition to Classify Status of Alien Relative for Issuance of Immigrant Visa) has been filed, with their families covered by the petition, who are entitled to voluntary departure but whose departure INS does not contemplate enforcing: INS Form I-94 showing this status or Alien Voluntary Departure Notice, INS Form I-210. 
(g) Aliens who have filed applications for adjustment to lawfully admitted for permanent residence status that INS has accepted as “properly filed”: an INS Form I-181 Memorandum of Creation of Record of Lawful Permanent Residence, an INS For I-94 (Arrival-Departure Record) stamped I&NA section 245 Applicant, or a properly endorsed U.S. passport.
(h) Aliens granted a stay of deportation for a specific period by court order, statute or regulation, or by individual determination of INS in accordance with INA section 106 (8 USC 1105a) or relevant INS Operating Instruction and whose departure INS does not contemplate enforcing: INS Form I-94, a letter from INS, or an order issued by a District Director of INS, the Executive Office of Immigration Review, or a federal court.
(i) Aliens granted asylum in accordance with INA section 208 (8 USC 1158): INS Form I-94 and a letter from INS showing this status. 
(j) Aliens admitted as refugees since April 1, 1980: Arrival-Departure Record, INS Form I-94, annotated: “ADMITTED AS A REFUGEE PURSUANT TO SECTION 207 OF THE IMMIGRATION AND NATIONALITY ACT” or an unexpired Refugee Travel Document, INS Form I-571. 
(k) Aliens granted voluntary departure, whose departure INS does not contemplate enforcing: INS Form I-94 showing this status or Alien Voluntary Departure Notice, INS Form I-210 bearing a departure date. 
(l) Aliens in deferred action status pursuant to INS operating instructions:Alien Voluntary Departure Notice, INS Form I-210 or a letter from INS showing this status. 
(m) Aliens who have applied for an adjustment of status from undocumented alien to alien lawfully admitted for permanent residence in accordance with INA section 249 (8 USC 1259) on the basis of having entered and continuously resided in the United States since before January 1, 1972: Individual Fee Register Receipt, INS Form G-711 and an Interview Appointment Letter, INS Form I-468. 
(n) Aliens who have been granted suspension of deportation in accordance with INA section 244 (8 USC 1254) whose departure INS does not contemplate enforcing: Arrival-Departure Record, INS Form I-94 and an order issued by the Executive Office of Immigration Review.
(o) Aliens who deportation is being withheld in accordance with INA section 243(h) (8 USC 1253(h)): Arrival-Departure Record, INS Form I-94 and an order issued by the Executive Office of Immigration Review.
(p) Citizens of the Republic of the Marshall Islands or the Federated States of Micronesia who, in accordance with 48 USC sections 1681 through 1695, may live, work or study in the United States without restrictions: Arrival-Departure Record, INS Form I-94 annotated “CFA/MIS” or “CFA/FSM.” 
(q) Aliens granted extended voluntary departure for a specified time due to conditions in their home countries: Arrival-Departure Record, INS Form I-94 showing this status or Alien Voluntary Departure Notice, INS Form I-210. 
(r) Aliens whose INS documents have been lost or stolen or are unreadable: An Individual Fee Register Receipt (INS Form G-711) which shows the person has applied for replacement of a lost, stolen or unreadable alien registration or alien admission document listed in this section.
(s) Aliens living in the United States with the knowledge and permission of INS whose departure that agency does not contemplate enforcing: INS documents which establish these facts. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Sections 14007.5 and 14011, Welfare and Institutions Code. 
HISTORY

1. New section filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
2. New section refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
3. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
4. Repealer and new section filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50301.4. Documentation of Status as an Amnesty Alien.
Note     •     History

(a) Aliens whose status has been adjusted in accordance with Immigration and Nationality Act sections 210, 210A or 254A (8 USC sections 1160, 1161 or 1255a) who are applying for full Medi-Cal benefits shall present one of the following INS documents: 
(1) Aliens granted lawful temporary resident status: Temporary Resident Card, INS Form I-688. 
(2) Aliens granted lawful permanent resident status: Alien Registration Receipt Card, INS Form I-551 or an INS Form I-688 with a sticker on the back which reads “Temporary evidence of lawful admission for permanent residence and employment authorization. Valid for 1 year from the expiration date on the reverse of this I-688.....Form I-688 Ext.”
(3) Aliens whose INS documents have been lost or stolen or are unreadable: An individual Fee Register Receipt (INS Form G-711) which shows the person has applied for replacement of a lost, stolen or unreadable I-688 or I-551.
(4) Aliens who were issued an I-688 extension sticker which subsequently was lost or stolen or which became unreadable: an I-94 (Arrival-Departure Record) with the stamp: “PROCESSED FOR I-551. TEMPORARY EVIDENCE OF LAWFUL ADMISSION FOR PERMANENT RESIDENCE. VALID UNTIL ______________.” (The expiration date is one year from the date lawful permanent residence status was granted.)
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Sections 14007.5 and 14011, Welfare and Institutions Code. 
HISTORY

1. New section filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
2. New section refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
3. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
4. Repealer and new section filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50301.5. Opportunity to Document Satisfactory Immigration Status.
Note     •     History

(a) Alien applicants for full Medi-Cal benefits must present documents from INS or an order issued by the District Director of INS, the Executive Office of Immigration Review, or a federal court which serve as reasonable evidence of satisfactory immigration status for Medi-Cal purposes. After they are informed of this fact, they shall have 30 calendar days, or the time it actually takes the county department to process their Medi-Cal applications, whichever is longer, to submit such documents. The 30-day period begins at the time the applicant submits a completed form MC 13 (5/89) containing a declaration in writing, under penalty of perjury, which attests to his or her status as an alien. 
(b) Applicants who do not present documentation indicating satisfactory immigration status within the period prescribed in subsection (a), are eligible for restricted Medi-Cal benefits if they meet all other program requirements. 
(c) The county department shall provide adequate notice to the individual of any adverse action and shall accord to the individual an opportunity for a hearing in accordance with the Department of Social Services Manual of Policies and Procedures sections 22-017, 22-021 and 22-022.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Sections 10950 to 10965, inclusive, 14007.5 and 14011, Welfare and Institutions Code. 
HISTORY

1. New section filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
2. New section refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
3. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
4. Repealer and new section filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50301.6. Verification of Satisfactory Immigration Status.
Note     •     History

(a) “Satisfactory immigration status” for Medi-Cal purposes means lawful admission for permanent residence in the United States, status as an alien permanently residing in the U.S. under color of law, or status as an amnesty alien. 
(b) The authenticity of all INS-issued documents presented as reasonable evidence of such status shall be verified through the Systematic Alien Verification of Entitlements (SAVE) system operated by INS or by direct contact with INS officials. 
(c) Applicants for full Medi-Cal benefits who have declared themselves to be aliens, must also declare in writing whether, to the best of their knowledge and belief, they have a satisfactory immigration status. Such aliens shall present INS-issued documents which indicate their status. At least one of these documents should contain an alien registration or alien admission number. 
(d) A primary SAVE system verification shall be used to access the biographical/immigration status computer record contained in the Alien Status Verification Index maintained by INS. This procedure shall be used to verify the status of all aliens claiming satisfactory immigration status who present an INS-issued document which contains an alien registration or alien admission number. 
(e) The secondary SAVE system verification procedure shall be used to forward copies of original INS documents in cases where: 
(1) A primary check of the Alien Status Verification Index instructs the county department to “Institute secondary verification.” 
(2) The document presented indicates immigration status but does not include an alien registration or alien admission number. 
(3) The Alien Status Verification Index record includes the alien registration or admission number on the document presented by the alien but does not match other information contained in the document. 
(4) The document is suspected to be counterfeit or to have been altered.
(5) The document includes an alien registration number in the A60 000 000 (not yet issued) or A80 000 000 (illegal border crossing) series. 
(6) The document is a fee receipt from INS for replacement of a lost, stolen or unreadable INS document.
(7) The document is one of the following: an INS Form I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Record of Permanent Residence, an Arrival-Departure Record (INS Form I-94) or a foreign passport stamped “PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE” that INS issued more than one year before the date of application for Medi-Cal.
(f) The status of amnesty aliens who are eligible only for restricted Medi-Cal benefits because they are not aged, blind, disabled or under 18 years of age, shall be verified through the SAVE system; provided, however, that the county department shall not require or request an applicant for or beneficiary of restricted Medi-cal benefits to disclose their citizenship or immigration status, birthplace, country of citizenship, alien registration number and/or alien admission number, date of first entry into the United States, name upon first entry into the United States, or whether they have a Social Security Number.
(g) Full Medi-Cal benefits received pending completion of a determination of immigration status by INS shall be reduced to restricted Medi-Cal benefits upon receipt of notice from the SAVE system, from an INS official, or the applicant/beneficiary of a lack of satisfactory immigration status.
(h) The county department shall provide adequate notice to the individual of any adverse action and shall accord to the individual an opportunity for a hearing in accordance with the Department of Social Services Manual of Policies and Procedures and Procedures sections 22-017, 22-021 and 22-022.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Sections 10950 to 10965, inclusive, 14007.5 and 14011, Welfare and Institutions Code;  and the Crespin v. Kizer court order (Alameda County Superior Court, December 16, 1992).
HISTORY

1. New section filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90.
2. New section refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90.
3. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
4. Repealer and new section filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
6. Amendment of subsection (f) and Note filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50302. Restricted Medi-Cal Benefits for Certain Aliens.
Note     •     History

(a) “Restricted Medi-Cal benefits” to certain applicants and beneficiaries means program-covered services to treat an emergency medical condition as defined in section 14007.5(d) of the Welfare and Institutions Code and section 440.255 of title 42 of the Code of Federal Regulations, and pregnancy-related services, as defined in section 1(g) of chapter 1441 of the Statutes of 1988 and section 440.255 of title 42 of the Code of Federal Regulations.
(b) To be eligible for restricted Medi-Cal benefits, an applicant or beneficiary shall be a California resident, as specified in section 50320, who is one of the following:
(1) An alien who lacks a document from INS or an order issued by a District Director of INS, the Executive Office of Immigration Review, or a federal court that serves as reasonable evidence of satisfactory immigration status.
(2) A nonimmigrant alien legally admitted to the U.S. for a limited period.
(3) An amnesty alien whose status has been adjusted to lawful temporary resident or lawful permanent resident in accordance with section 210, 210A, or 245A of the Immigration and Nationality Act (8 USC section 1160, 1161, or 1255a) who is not eligible for full Medi-Cal benefits under these regulations.
(c) Alien applicants for restricted Medi-Cal benefits who lack documentation of satisfactory immigration status or who are nonimmigrant aliens shall meet all other requirements for program eligibility except for possessing or having applied for an SSN.
(d) Applicants for restricted Medi-Cal benefits who are amnesty aliens must possess or have applied for an SSN.
(e) The Systematic Alien Verification for Entitlements (SAVE) system operated by INS shall not be used to verify the immigration status of persons applying for restricted Medi-Cal benefits unless these persons indicate that they are amnesty aliens.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Sections 14007.5 and 14011, Welfare and Institutions Code.
HISTORY

1. New section filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90.
2. New section refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90.
3. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
4. Repealer and new section filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50302.1. Limitations on Medi-Cal Benefits for Aliens.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 411, 431 and 432 of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub.L. 104-193); Sections 501 and 508 of Division C (the “Immigration Reform and Immigrant Responsibility Act of 1996”) of the Omnibus Consolidated Appropriations Act, 1997 (Pub.L 104-208); Sections 5302, 5562, 5571 and 5581 of the Balanced Budget Act of 1997 (Pub.L. 105-33) as amended by Sections 401 and 403 of the Taxpayer Relief Act of 1997 (Pub.L. 105-34.); 8 USC Sections 1101(a)(15) and 1621(b); Sections 14007.5 and 14011, Welfare and Institutions Code; and Section 1, Chapter 1441, Statutes of 1988.
HISTORY

1. New section filed 11-5-96 as an emergency; operative 12-1-96 (Register 96, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-31-97 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 97, No. 49).
3. New section filed 12-1-97; operative 12-1-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49). 
4. Change without regulatory effect repealing section filed 10-5-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 41).
§50302.2. Limitations on Medi-Cal Benefits for Aliens.
Note     •     History

(a) Pursuant to Section 411 of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (8 USC section 1611), and notwithstanding any other provision of this division, aliens who are not qualified aliens, nonimmigrant aliens under the Immigration and Nationality Act (INA) (8 USC section 1101 et seq.), or aliens paroled into the United States under Section 212(d)(5) of the INA (8 USC section 1182(d)(5)), for less than one year, are not eligible to receive the state-only funded long-term care services described in subdivision (f) of Section 1 of Chapter 1441 of the Statutes of 1988.
(b) A qualified alien is an alien who, at the time he or she applies for, receives, or attempts to receive a public benefit, is any of the following:
(1) An alien lawfully admitted for permanent residence under the INA (8 USC section 1101 et seq.).
(2) An alien who is granted asylum under Section 208 of the INA (8 USC section 1158).
(3) A refugee who is admitted to the United States under Section 207 of the INA (8 USC section 1157).
(4) An alien who is paroled into the United States under Section 212(d)(5) of the INA (8 USC section 1182(d)(5)) for a period of at least one year.
(5) An alien whose deportation is being withheld under Section 243(h) of the INA as in effect immediately before the effective date of Section 307 of Division C of Public Law 104-208 or Section 241(b)(3) of the Act (as amended by Section 305(a) of Division C of Public Law 104-208).
(6) An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980. (See editorial note under 8 USC section 1101, “Effective Date of 1980 Amendment”.)
(7) An alien who is a Cuban and Haitian entrant (as defined in Section 501(e) of the Refugee Education Assistance Act of 1980).
(8) An alien who meets all of the conditions of subparagraphs (A), (B), (C), and (D) below:
(A) The alien has been battered or subjected to extreme cruelty in the United States by a spouse or a parent, or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent of the alien consented to, or acquiesced in, such battery or cruelty. 
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided.
(C) The alien has been approved or has a petition pending which sets forth a prima facie case for:
1. status as a spouse or child of a United States citizen pursuant to clause (ii), (iii), or (iv) of Section 204(a)(1)(A) of the INA (8 USC section 1154(a)(1)(A)),
2. classification pursuant to clause (ii) or (iii) of Section 204(a)(1)(B) of the INA (8 USC section 1154),
3. suspension of deportation and adjustment of status pursuant to Section 244(a)(3) of the INA (8 USC section 1254), as in effect prior to April 1, 1997,
4. status as a spouse or child of a United States citizen pursuant to clause (i) of Section 204(a)(1)(A) of the INA (8 USC section 1154(a)(1)(A)) or classification pursuant to clause (i) of Section 204(a)(1)(B) of the INA (8 USC section 1154(a)(1)(B)), or
5. Cancellation of removal pursuant to Section 240A(b)(2) of the INA.
(D) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(9) An alien who meets all of the conditions of subparagraphs (A), (B), (C), (D) and (E) below:
(A) The alien has a child who has been battered or subjected to extreme cruelty in the United States by a spouse or a parent of the alien (without the active participation of the alien in the battery or cruelty), or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent consented or acquiesced to such battery or cruelty. 
(B) The alien did not actively participate in such battery or cruelty.
(C) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided.
(D) The alien meets the requirements of subsection (b)(8)(C) above.
(E) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the child subjected to the battery or cruelty.
(10) An alien child who meets all of the conditions of subparagraphs (A), (B), and (C) below:
(A) The alien child resides in the same household as a parent who has been battered or subjected to extreme cruelty in the United States by that parent's spouse or by a member of the spouse's family residing in the same household as the parent and the spouse consented or acquiesced to such battery or cruelty. 
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided.
(C) The alien child meets the requirements of subsection (b)(8)(C) above.
(c) For purposes of this section, there is a “substantial connection between such battery or cruelty and the need for benefits to be provided” if the alien declares, and the county welfare department verifies, any of the following circumstances:
(1) The alien or the alien's child is receiving cash assistance based on battery or extreme cruelty;
(2) The benefits are needed due to a loss of financial support resulting from the alien's and/or his or her child's separation from the abuser;
(3) The benefits are needed because the alien or his or her child requires medical attention or mental health counseling, or has become disabled, as a result of the battery or cruelty;
(4) The benefits are needed to provide medical care during an unwanted pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien or his or her child, and/or to care for any resulting children; or
(5) The medical coverage and/or health care services are needed to replace medical coverage or health care services the applicant or child had when living with the abuser.
(d) For purposes of this section, “nonimmigrant” is defined the same as in Section 1101(a)(15) of the INA (8 USC section 1101(a)(15)).
(e) For purposes of establishing eligibility for state-only funded long-term care services described in subdivision (f) of Section 1 of Chapter 1441 of the Statutes of 1988, all of the following requirements must be met:
(1) The alien must declare himself or herself to be a qualified alien under subsection (b), a nonimmigrant alien under subsection (d), or an  alien paroled into the United States for less than one year under Section 212(d)(5) of the INA (8 USC section 1182(d)(5)). The alien shall declare that status through use of the “Supplemental Alienage and Immigration Status Declaration” MC 13S (12/96).
(2) The alien must present documents issued by or acceptable to the Immigration and Naturalization Service (INS) which serve as reasonable evidence of the alien's declared status. 
(3) The alien must complete and sign Form MC 13S (12/96).
(4) The documentation presented by the alien as reasonable evidence of the alien's declared immigration status must be submitted to the INS for verification through the Systematic Alien Verification for Entitlements (SAVE) system procedures as follows:
(A) A primary SAVE system verification must be used to access the biographical/immigration status computer record contained in the Alien Status Verification Index maintained by the INS. Subject to subparagraph (B), this procedure must be used to verify the status of all aliens who claim to be qualified aliens and who present an INS-issued document that contains an alien registration or alien admission number.
(B) The secondary SAVE system verification procedure must be used to forward copies of original INS documents evidencing an alien's status as a qualified alien, as a nonimmigrant alien under the INA, or as an alien paroled into the United States under Section 212(d)(5) of the INA (8 USC section 1182(d)(5)), for less than one year in any of the following cases:
1. a primary check of the Alien Status Verification Index instructs the county department to “Institute secondary verification.”
2. The document presented indicates immigration status but does not include an alien registration or alien admission number.
3. The Alien Status Verification Index record includes the alien registration or admission number on the document presented by the alien but does not match other information contained in the document.
4. The document is suspected to be counterfeit or to have been altered.
5. The document includes an alien registration number in the A60 000 000 (not yet issued) or A80 000 000 (illegal border crossing) series.
6. The document is a fee receipt from INS for replacement of a lost, stolen or unreadable INS document.
7. The document is one of the following: an INS Form I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Record of Permanent Residence, an Arrival-Departure Record (INS Form I-94) or a  foreign passport stamped “PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE” that INS issued more than one year before the date of application for Medi-Cal.
(5) Verification of the alien's declared status must be received from the INS before eligibility for state-only funded long-term care services is established.
(f) A nonprofit charitable organization that provides federal, state, or local public benefits shall not be required to determine, verify, or otherwise require proof of eligibility of any applicant or beneficiary with respect to his or her immigration status or alienage.
(g) Nothing in this section shall be construed to withdraw eligibility for state public health assistance for immunizations with respect to immunizable diseases and for testing and treatment of symptoms of communicable diseases whether or not such symptoms are caused by a communicable disease.
(h) An alien who is a qualified alien pursuant to paragraphs (8), (9) or (10) of subsection (b), will remain eligible for Medi-Cal benefits as long as the need for benefits related to the battery or cruelty is necessary as determined by the county welfare department, and the alien continues to meet all Medi-Cal program eligibility requirements. The county eligibility worker shall review the alien's circumstances to evaluate the beneficiary's continued need for Medi-Cal benefits at the annual redetermination.
(i)(1) Any alien who was made eligible for state-only funded long-term care services for the month in which this section becomes effective and whose services are terminated, suspended, or reduced, pursuant to subsection (a), is entitled to a hearing, pursuant to Welfare and Institutions Code Section 10950 and Title 22, California Code of Regulations, Section 50951, on the issue of whether the alien is a qualified alien as defined under subsection (b), a nonimmigrant alien as defined under subsection (d), or an alien paroled into the United States for less than one year under Section 212(d)(5) of the INA or on the issue of whether a service requested by the alien falls within one of the exceptions provided in 8 USC section 1621(b).
(2) Subject to the provisions of Welfare and Institutions Code Section 10950 and Title 22, California Code of Regulations, Section 50951, any alien whose application for Medi-Cal benefits is denied for any reason, including the provisions of subsection (a), is entitled to a hearing.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: 8 USC Sections 1101, 1611, 1621, 1641 and 1642; Sections 501 and 508 of Division C (the “Immigration Reform and Immigrant Responsibility Act of 1996”) of the Omnibus Consolidated Appropriations Act, 1997 (Pub.L. 104-208); Sections 5302, 5562, 5571 and 5581 of the Balanced Budget Act of 1997 (Pub.L. 105-33) as amended by Sections 401 and 403 of the Taxpayer Relief Act of 1997 (Pub.L. 105-34.); Sections 14007.5 and 14011, Welfare and Institutions Code; and Section 1, Chapter 1441, Statutes of 1988.
HISTORY

1. New section filed 3-4-98; operative 9-4-98 (Register 98, No. 10).
§50303. Alien Status Verification.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Section 14007.5, Welfare and Institutions Code; and Sections 1, 2 and 3, Chapter 1441, Statutes of 1988.
HISTORY

1. Repealer and new section filed 10-20-88 as an emergency; operative 10-20-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-20-89.
2. Repealer and new section refiled 2-10-89 as an emergency; operative 2-15-89 (Register 89, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-89.
3. Repealer and new section refiled 6-5-89 as an emergency; operative 6-15-89 (Register 89, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
4. Certificate of Compliance transmitted to OAL 10-12-89 and disapproved by OAL on 11-13-89 (Register 89, No. 48).
5. Repealer filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90.
6. Repealer refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90.
7. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
8. Repealer filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
10. Editorial correction of printing error in HISTORY 8. (Register 91, No. 32).
§50304. Written Declaration of Status as a Citizen of the United States, a National of the United States, or an Alien.
Note     •     History

(a) Individuals requesting or receiving Medi-Cal benefits shall state in writing, under penalty of perjury, whether they are citizens or nationals of the United States or aliens. In the case of a child under 21 years of age, the child's parent, caretaker relative, or legal guardian shall attest to this fact on the child's behalf unless the child is considered an adult for Medi-Cal purposes in accordance with sections 50014 and 50030(a). 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Sections 14007.5 and 14011, Welfare and Institutions Code. 
HISTORY

1. Repealer filed 10-20-88 as an emergency; operative 10-20-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed and former section reinstated as it existed prior to emergency repeal on 2-20-89. 
2. Repealer refiled 2-10-89 as an emergency; operative 2-15-89 (Register 89, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-89. 
3. Repealer refiled 6-5-89 as an emergency; operative 6-15-89 (Register 89, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89. 
4. Certificate of Compliance transmitted to OAL 10-12-89 and disapproved by OAL on 11-13-89 (Register 89, No. 48). 
5. Repealer and new section filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
6. Repealer and new section refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
7. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
8. Repealer and new section filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50305. Documentation of an Alien's Legal Status.
History

HISTORY

1. Repealer filed 10-20-88 as an emergency; operative 10-20-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed and former section reinstated as it existed prior to emergency repeal on 2-20-89. 
2. Repealer refiled 2-10-89 as an emergency; operative 2-15-89 (Register 89, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-89. 
3. Repealer refiled 6-5-89 as an emergency; operative 6-15-89 (Register 89, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89. 
4. Certificate of Compliance transmitted to OAL 10-12-89 and disapproved by OAL on 11-13-89 (Register 89, No. 48). 
5. Repealer filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
6. Repealer refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
7. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
8. Repealer filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50310. WR 6 Procedure.
History

HISTORY

1. Repealer filed 10-20-88 as an emergency; operative 10-20-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed and former section reinstated as it existed prior to emergency repeal on 2-20-89. 
2. Repealer refiled 2-10-89 as an emergency; operative 2-15-89 (Register 89, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-89. 
3. Repealer refiled 6-5-89 as an emergency; operative 6-15-89 (Register 89, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89. 
4. Certificate of Compliance transmitted to OAL 10-12-89 and disapproved by OAL on 11-13-89 (Register 89, No. 48). 
5. Repealer filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
6. Repealer refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
7. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
8. Repealer filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50311. Lawful Presence in the United States.
History

HISTORY

1. New subsection (c) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51). 
2. Repealer filed 10-20-88 as an emergency; operative 10-20-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed and former section reinstated as it existed prior to emergency repeal on 2-20-89. 
3. Repealer refiled 2-10-89 as an emergency; operative 2-15-89 (Register 89, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-89. 
4. Repealer refiled 6-5-89 as an emergency; operative 6-15-89 (Register 89, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89. 
5. Certificate of Compliance transmitted to OAL 10-12-89 and disapproved by OAL on 11-13-89 (Register 89, No. 48). 
6. Repealer filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
7. Repealer refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
8. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
9. Repealer filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50313. Legal Entry for a Limited Period.
History

HISTORY

1. Repealer filed 10-20-88 as an emergency; operative 10-20-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed and former section reinstated as it existed prior to emergency repeal on 2-20-89. 
2. Repealer refiled 2-10-89 as an emergency; operative 2-15-89 (Register 89, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-89. 
3. Repealer refiled 6-5-89 as an emergency; operative 6-15-89 (Register 89, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89. 
4. Certificate of Compliance transmitted to OAL 10-12-89 and disapproved by OAL on 11-13-89 (Register 89, No. 48). 
5. Repealer filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
6. Repealer refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
7. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
8. Repealer filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50320. California Residence--General.
Note     •     History

(a) California residence is a requirement for Medi-Cal eligibility.
(b) California residence shall be established by either of the following if the verification requirements of Section 50320.1 are met:
(1) The applicant is physically present and is living in California with the intention to remain permanently or for an indefinite period.
(2)  The applicant is physically present, is living in California and  entered the State with a job commitment or to seek employment, whether or not currently employed.
(c) Children living with their parents shall have their residence determined as that of their parents, except that parents who do not meet the California residency requirements may establish California residence for their children if both of the following circumstances apply. The parents:
(1) Intend for their children to remain in California on other than a temporary basis.
(2) Have made arrangements for the children to remain in California independent of the parents.
(d) Family members may establish separate residences without a break in marital or family ties. Only those family members who meet the requirements of this article shall be eligible for Medi-Cal.
(e) Once California residence is established it continues until residence is established in another state or country.
(f) A person's declaration on the MC 210 Statement of Facts (Medi-Cal), or on the SAWS 2 Statement of Facts, together with the evidence required in Section 50320.1, shall be accepted for purposes of establishing  residence unless there is evidence to the contrary.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section  66, Chapter 722, Statutes of 1992 and 42 Code of Federal Regulations 435.403.
HISTORY

1. Relettering of subsection (c) to subsection (d) and new subsection (c) filed 2-6-80 as an emergency; effective upon filing. A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-6-80. (Register 80, No. 6).
2. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
3. Amendment filed 10-23-81; effective thirtieth day thereafter (Register 81, No. 43).
4. Amendment of subsection (b)-(b)(2), (e), (f) and Note filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50320.1. California Residence--Evidence.
Note     •     History

(a) In addition to the declaration of residence on the MC 210 Statements of Facts (Medi-Cal), or on the SAWS 2 Statement of Facts, California residence is not established unless both of the following conditions are met as required in Subdivision 50230(f):
(1) The applicant produces one of the following:
(A) A current California rent or mortgage receipt or utility bill in the applicant's name bearing the current address of the applicant. Rent receipts provided by a relative shall not be accepted for purposes of Section 50320.1(a)(1) in the absence of other credible evidence that supports a finding that the applicant is a resident of California pursuant to Section 50320(b) unless the relative declares under penalty of perjury that the information set forth on the rent receipt provided by the applicant is true and correct.
(B) A current and valid California motor vehicle driver's license or California Identification Card issued by the California Department of Motor Vehicles in the applicant's name bearing the current address of the applicant.
(C) A current and valid California motor vehicle registration in the applicant's name bearing the current address of the applicant.
(D) A document showing that the applicant is employed in this state.
(E) A document showing that the applicant has registered with a public or private employment service in this state.
(F) Evidence that the applicant has enrolled his or her children in a school in this state.
(G) Evidence that the applicant is receiving public assistance other than Medi-Cal in this state.
(H) Evidence that the applicant has registered to vote in this state.
(I) Any evidence produced in accordance with subdivision b.
(2) The applicant declares under penalty of perjury, that all of the following apply:
(A) The applicant does not maintain a principal residence outside this state. When an applicant is unable to make this declaration because he or she claims an out-of-state principal residence as exempt property under section 50425, the county shall consider any evidence provided by the applicant pursuant to Section 50320.2(c).
(B) The applicant is not receiving public assistance outside this state. As used in the section, “public assistance” does not include unemployment insurance benefits.
(b) If an applicant, including but not limited to homeless persons and migrant workers, declares under penalty of perjury, that he or she does not have one of the residency verification documents required in Subdivision (a)(1)(A) through (a)(1)(H), the county shall consider, pursuant to Section 50320.2, any other evidence produced by an applicant to verify residency except those documents specified in subdivision 50320.2(b).
NOTE

Authority cited: Sections 10725, 14007.1 and 14124.5, Welfare and Institutions Code. Reference: Section 66, Chapter 722, Statutes of 1992; and 42 Code of  Federal Regulations 435.403. 
HISTORY

1. New section filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50320.2. California Residency--County Verification.
Note     •     History

(a) The county may request clarification of the applicant's residency if it determines that any information provided as part of his or her Medi-Cal application is inconsistent with the statement on the MC 210 Statement of Facts (Medi-Cal), or on the SAWS 2 Statement of Facts that the applicant is a resident of California.
(b) A declaration, affidavit, or other statement from the applicant, or any other person that the applicant is a resident of California is unacceptable as verification of residency in the absence of other credible evidence that supports a finding that the applicant is a resident of California pursuant to Section 50320(b).
(c) When an applicant claims an out-of-state principal residence as exempt property under Section 50425, the county shall determine that such an applicant is a resident of California only if a preponderance of the credible evidence provided under Section 50320.1 supports a finding that the applicant is a resident of California pursuant to Section 50320(b).
(d) A migrant worker who claims to be a resident of California pursuant to Section 50320(b)(2) shall provide evidence that he or she entered the state with a job commitment or evidence that he or she entered the state to seek employment, whether or not currently employed. The county shall determine that such an applicant is a resident of California only if a preponderance of the credible evidence supports a finding that the applicant is a resident of California pursuant to Section 50320(b)(2).
(e) The county may determine that the claim on the MC 210 Statement of Facts (Medi-Cal), or on the SAWS 2 Statement of Facts is supported, and that the applicant is a resident of California if a preponderance of the credible evidence produced by the applicant supports a finding that the applicant is a resident of California. If a preponderance of the credible evidence produced by the applicant does not support the finding that the applicant is a resident of California, the applicant shall be determined not to be a resident of California, shall be denied eligibility for Medi-Cal benefits, and shall be afforded all notification and fair hearing rights provided to any person denied eligibility for Medi-Cal.
(f) A denial of a determination of residency may be appealed in the same manner as any other denial of eligibility. The Administrative Law Judge shall receive any proof of residency offered by the applicant and may inquire into any facts relevant to the question of residency. A determination of residency shall not be granted unless a preponderance of the credible evidence supports either the applicant's intent to remain indefinitely in this state, or any other basis provided by the laws governing the Medi-Cal program for establishing residency for Medi-Cal eligibility.
NOTE

Authority cited: Sections 10725, 14007.1 and 14124.5, Welfare and Institutions Code. Reference: Section 66, Chapter 722, Statutes of 1992; and 42 Code of  Federal Regulations 435.403. 
HISTORY

1. New section filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50321. Temporary Absence from the State.
Note     •     History

(a) Residence shall not be affected by temporary absence from the State for periods of 60 days or less. An absence of 60 days or less shall be presumed to be a temporary absence unless there is evidence to the contrary.
(b) An application, restoration, redetermination or reapplication from an applicant or beneficiary who is temporarily absent from the State for 60 days or less shall be accepted.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: 42 Code of  Federal Regulations 435.403.
HISTORY

1. New Note filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50323. Absence from the State for More Than 60 Days.
Note     •     History

(a) Absence from the State for more than 60 days shall be presumptive evidence of the applicant's or beneficiary's intent to change residence from California to a place outside the State unless the person declares in writing both:
(1) An intent to return to California.
(2) The existence of one of the following circumstances:
(A) Illness or emergency circumstances which prohibit return to California.
(B) Family members with whom the applicant or beneficiary lives are California residents and are physically present in the State.
(C) The applicant or beneficiary maintains California housing arrangements.
(b) Unless there is evidence to the contrary, California residence may be considered to be terminated when an applicant or beneficiary leaves California and then takes any of the following actions in another state:
(1) Purchases, leases or rents a residence.
(2) Becomes employed.
(3) Obtains an out-of-state driver's license.
(4) Applies for aid in another state.
(c) Medi-Cal shall be discontinued effective the last day of the month in which residence terminated, if the 10 day notice can be given. Otherwise, the discontinuance shall be effective the last day of the following month.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: 42 Code of  Federal Regulations 435.403.
HISTORY

1. Amendment of subsection (a) and new Note filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50325. Death During Absence from the State.
Note     •     History

A person who dies during an absence from the State shall be considered a resident if there is evidence that the requirements of Section 50321 or Section 50323 were met at the time of death.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: 42 Code of  Federal Regulations 435.403.
HISTORY

1. New Note filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50327. Persons Living on Land Leased or Owned by the United States.
Note     •     History

Persons living within the boundaries of California on land owned or leased by the Federal Government shall be considered California residents.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: 42 Code of  Federal Regulations 435.403.
HISTORY

1. New Note filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50329. Persons on Parole from Correctional or Other Institutions.
Note     •     History

Persons on parole from correctional or other institutions may establish California residence.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: 42 Code of  Federal Regulations 435.403.
HISTORY

1. New Note filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50331. United States Citizen Children of Aliens.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14007, Welfare and Institutions Code.
HISTORY

1. Repealer filed 2-6-80 as an emergency; effective upon filing. A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 6-6-80 (Register 80, No. 6).
2. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
§50333. Foster Children and Institutionalized Persons Placed Out-of-State.
Note     •     History

(a) A child placed in out-of-state foster care maintains California residence if the child was placed under either of the following:
(1) Through the Interstate Compact on the Placement of Children.
(2) By a state or county agency responsible for the child's care.
(b) A person placed in an out-of-state institution by a state or county agency responsible for the person's care maintains California residence unless the other state accepts responsibility for the person.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14007, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-23-81; effective thirtieth day thereafter (Register 81, No. 43).
§50334. Out-of-State Foster Children and Institutionalized Persons Placed in California.
Note     •     History

(a) An out-of-state child placed in foster care in California is a California resident if both of the following conditions are met:
(1) The child was placed by an out-of-state court directly with a guardian or foster parent in California.
(2) The other state has not adopted the Interstate Compact on the Placement of Children.
(b) An out-of-state person placed in an institution in California by another state agency, or a local government agency in another state, responsible for the person's care remains a resident of the placing state unless a California state or county agency accepts responsibility for the person.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14007, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-23-81; effective thirtieth day thereafter (Register 81, No. 43).
§50336. Other Persons in Out-of-State Institutions.
Note     •     History

(a) The Director shall have the authority to determine the state of residence for a person who is living in an institution in another state when that state's medical assistance agency claims the person is a California resident.
(b) Applications for Medi-Cal on behalf of the persons specified in (a) shall be referred to the Director by the county department.
(c) The determination shall be made in accordance with federal Medicaid regulation 42 CFR 435.403,  and shall be based upon such factors as the person's age, competency, former state of physical presence, the residence of the person's parents or in accordance with an interstate agreement entered into by the Director and another state's medical assistance agency.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14007, Welfare and Institutions Code.
HISTORY

1. New section filed 10-23-81; effective thirtieth day thereafter (Register 81, No. 43).
2. Amendment of subsection (c) filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
§50338. Other Persons in California Institutions.
Note     •     History

(a) Persons living in California institutions, other than persons specified in Section 50334 shall be considered California residents.
(b) Notwithstanding (a), the Director shall have the authority to determine the state of residence for persons in California institutions in accordance with federal Medicaid regulation 42 CFR 435.403. The determination shall be based upon such factors as the person's age, competency, former state of physical presence and the residence of the person's parents, or in accordance with an interstate agreement entered into by the Director and another state's medical assistance agency. The county department shall, upon request by the Director, obtain the information necessary for the determination to be made.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14007, Welfare and Institutions Code.
HISTORY

1. New section filed 10-23-81; effective thirtieth day thereafter (Register 81, No. 43).
2. Amendment of subsection (b) filed 5-17-93 as an emergency with Secretary of State by the Department of Health Services; operative 5-17-93. Submitted to OAL for printing only pursuant to 1992 Senate Bill 485 (Register 93, No. 21).
Article 8. Responsible Relatives and Unit Determination
§50351. Responsible Relatives.
Note     •     History

(a) The responsibility of a relative to contribute to the cost of health care services of a Medi-Cal applicant or beneficiary shall be limited to spouse for spouse and parent for child.
(b) In determining Medi-Cal eligibility and share of cost, relative responsibility shall be determined in accordance with the following:
(1) Relative responsibility shall be spouse for spouse when the spouses are living together in the home.
(2) If one or both of the spouses is in LTC or board and care, the spouses income and property shall be considered available in determining each other's eligibility and share of cost in accordance with the MFBU composition provision of Section 50377.
(3) If neither of the spouses is in LTC or board and care but the spouses are living apart, the spouses shall have their eligibility and share of cost determined as single persons the day following the separation, if it is known that the separation will not be temporary in accordance with Section 50071(b).
(4) Relative responsibility shall be parent for child living in the parent's home and persons specified in (c), except that the parents shall neither be held financially responsible for, nor asked or required to contribute to, or provide other health care coverage for, the cost of minor consent services which the child applies for in accordance with Section 50147.1(a).
(c) Notwithstanding Sections 50014 and 50030, any person whether living in the home or away from the home, shall be considered a child and his/her parent shall be considered a responsible relative when both of the following conditions exist:
(1) The person is 18 years of age or older but under 21.
(2) The parent claims the child as a dependent in order to receive a tax credit or deduction for state or federal income tax purposes.
(d) Where, under Section 50373(a)(5), deeming occurs that is not spouse for spouse or parent for child as required under subsection (a), and the family has  excess property or a share of cost, or both, the county shall redetermine the budget unit to ensure that each person's available income is deemed only to that person's child or spouse. For the purposes of this subsection, “deeming” is the process by which the income of one person is treated as available to another person.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 87(c), Chapter 1594, Statutes of 1982. Reference: Sections 14008, 14008.6 and 14010, Welfare and Institutions Code; and Sections 25.9 and 34.7, Civil Code; and 42 C.F.R. Sections 433.135, 433.136, 433.137, 433.138, 433.145, 433.146, 433.147, 433.148 and 435.604; and Sneed v. Kizer (N.D. Cal 1990) 728 F. Supp. 607.
HISTORY

1. Amendment filed 1-28-77 as an emergency; effective upon filing (Register 77, No. 5).
2. Certificate of Compliance filed 4-22-77 (Register 77, No. 17).
3. Amendment of subsections (a)(2)(C) and (b), and repealer of subsection (d) filed 10-31-78 as an emergency; designated effective 11-1-78 (Register 78, No. 44).
4. Certificate of Compliance filed 2-6-78 (Register 79, No. 6).
5. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
6. Amendment of subsection (b)(4) filed 4-28-82; effective thirtieth day thereafter (Register 82, No. 18).
7. Amendment filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
8. Certificate of Compliance transmitted to OAL 1-28-83 and filed 2-28-83 (Register 83, No. 10).
9. Amendment of subsection (c)(1) filed 12-3-85; effective thirtieth day thereafter (Register 85, No. 49).
10. Amendment of subsection (b)(2) and Note and repealer of subsection (d) filed 4-16-93 as an emergency; operative 4-16-93 (Register 93, No. 16). A Certificate of Compliance must be transmitted to OAL 8-16-93 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-16-93 order including amendment of  Note transmitted to OAL 8-13-93 and filed  9-23-93 (Register 93, No. 39).
12. New subsection (d) and amendment of Note filed 12-9-97; operative 1-8-98 (Register 97, No. 50).
§50371. Medi-Cal Family Budget Unit.
Note     •     History

(a) The Medi-Cal Family Budget Unit (MFBU) shall be the basic unit of persons considered in determining a person's or family's eligibility and share of cost. The MFBU shall be established in accordance with Sections 50373 through 50379. Members of the MFBU may be excluded from an established MFBU in accordance with Section 50381.
(b) Changes in the MFBU shall be reflected in the share of cost determination within the time frames specified in Section 50565, except that the changes may be reflected in the month the changes are reported if it is to the beneficiary's advantage. Any advantage shall be explained to the beneficiary. The beneficiary shall determine whether the change shall be reflected in the month it is reported.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.5, 14005.7, 14008 and 14051, Welfare and Institutions Code.
HISTORY

. 1.Amendment filed 1-28-77 as an emergency; effective upon filing (Register 77, No. 5).
2. Certificate of Compliance filed 4-22-77 (Register 77, No. 17).
3. Amendment of subsections (e) and (f) and repealer of subsection (i) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
4. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
5. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
6. Amendment of subsection (a) filed 4-17-89; operative 5-17-89 (Register 89, No. 48).
§50373. Medi-Cal Family Budget Unit Determination, No Family Member in LTC or Board and Care.
Note     •     History

(a) The MFBU for a family with no family member in LTC or board and care shall be determined in accordance with the following:
(1) Family members who are PA or Other PA recipients, except for persons eligible for four month or nine month continuing eligibility, shall not be included in the MFBU.
(2) All family members living in the home, other than those specified in (1), shall be included in the MFBU in accordance with (5) whether or not they are eligible for, or wish to receive, Medi-Cal. Potential members of the MFBU may be excluded in accordance with Section 50381.
(3) All family members living in the home, except those children excluded from the MFBU in accordance with 50381 and children who are ineligible for Medi-Cal, shall be considered in determining whether linkage to AFDC exists. Family members also include persons who are PA or other PA recipients.
(4) A person who is 18 years of age or older, but under age 21, is claimed as a dependent in order to receive a tax credit or deduction for state or federal income tax purposes shall be included in his/her parent's MFBU.
(5) Once the potential members of the MFBU have been identified, the MFBU shall be determined in accordance with the following as modified by Section 50374:

View Graphic

View Graphic
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14005.8, 14008 and 14010, Welfare and Institutions Code. 
HISTORY

1. Amendment of subsections (a)(1) and (a) (4) filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85. For prior history, see Register 83, No. 21.
2. Certificate of Compliance transmitted to OAL, 8-13-85 and filed 9-18-85 (Register 85, No. 38).
3. Amendment of subsection (a)(4) filed 12-3-85; effective thirtieth day thereafter (Register 85, No. 49).
4. Change without regulatory effect of subsections (a)(2) and (a)(5) (A) 10. (Register 87, No. 11).
5. Amendment of subsection (a)(3) filed 6-3-87; operative 7-3-87 (Register 87, No. 47). Ed. Note: The changes to the text of subsection (a)(3) were printed in Register 87, No. 24; however, the HISTORY NOTE was inadvertently omitted.
6. Amendment of subsection (a)(5) filed 4-17-89; operative 5-17-89 (Register 89, No. 48). 
7. Editorial correction of printing error in subsection (a)(5)(B)9. (Register 93, No. 13).
8. Amendment of section and Note filed 12-9-97; operative 1-8-98 (Register 97, No. 50).
§50374. MFBU Determination--Child Stays Alternately with Each Parent.
Note     •     History

(a) A child, who stays alternately for periods of one month or less with each of his/her parents and the parents are separated or divorced, shall be included in the MFBU of the parent specified in this section. The child shall be included in the MFBU of the parent:
(1) With whom the child stays for the majority of time unless the other parent can establish that he/she has majority responsibility, as defined in (c), or care and control of the child.
(2) Who has majority responsibility, as defined in (c), when the child spends an equal amount of time with each parent.
(3) Who applies for Medi-Cal on behalf of the child, when the child spends an equal amount of time with each parent and each parent exercises an equal share of care and control responsibilities. When both parents apply for Medi-Cal for such a child, the child's MFBU shall be determined in accordance with (b). 
(b) A child described in (a) (3) shall be included in the MFBU of the parent who solely meets one of the following conditions in the order specified. The parent who:
(1) Is designated in a current court order as the primary parent for purposes of public assistance, under Civil Code, Section 4600.5(h).
(2) Is eligible for Medi-Cal.
(3) Is designated, through mutual agreement of both parents, as the primary parent for purposes of public assistance.
(4) First applied for Medi-Cal on behalf of the child.
(c) For purposes of this section, when determining which parent has majority responsibility for care of a child, the following factors shall be considered. In addition, other similar factors shall also be considered as a single factor may not be determinative. The determination shall include, the extent to which the parent:
(1) Decides where the child attends school.
(2) Deals with the school on educational decisions and problems.
(3) Controls participation in extracurricular and recreational activities.
(4) Arranges medical and dental care services.
(5) Claims the child as a tax dependent.
(6) Purchases and maintains the child's clothing.
(d) Once the MFBU has been determined with (a), (b) and (c), the child shall remain in that MFBU while staying with the other parent for alternating periods of one month or less. If the child stays with the other parent consecutively for more than one month, then the child shall be included in the MFBU of that parent.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.7, 14008 and 14051, Welfare and Institutions Code.
HISTORY

1. New section filed 4-17-89; operative 5-17-89 (Register 89, No. 48). 
§50375. Medi-Cal Family Budget Unit Determination, Stepparent Cases.
Note     •     History

(a) Family members in a family which includes a stepparent shall be in the same MFBU unless only the separate children of one parent wish to receive Medi-Cal.
(b) If the applicant requests that only the separate children of one parent receive Medi-Cal, the right to make this choice and its effects shall be explained to the applicant at the time of the face-to-face interview.
(c) The stepparent unit shall consist of the following:
(1) Stepparent.
(2) Parent.
(3) Mutual children.
(4) Stepparent's separate children.
(d) When only the separate children of one parent will receive Medi-Cal:
(1) The parent of the separate children shall be an ineligible member of the separate children's MFBU in accordance with Section 50379(e).
(2) The members of the stepparent unit, other than the parent of the separate children shall be excluded from the MFBU in accordance with Section 50381(b).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14008, 14051 and 14052, Welfare and Institutions Code.
HISTORY

1. New section filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. Amendment of subsection (c) filed 2-11-82; effective thirtieth day thereafter (Register 82, No. 7).
3. Amendment of subsection (a)(3) filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
4. Amendment filed 12-9-97; operative 1-8-98 (Register 97, No. 50).
§50377. Medi-Cal Family Budget Unit (MFBU) Determination, Family Member in Long-Term Care or Board and Care.
Note     •     History

(a) An aged, blind or disabled person who is in LTC or board and care shall be in his/her own MFBU, except as provided in (c).
(b) An aged, blind or disabled person's spouse who is in LTC or board and care shall be in his/her own MFBU, except as provided in (c).
(c) Spouses and their children shall be in the same MFB for property evaluations until the end of the sixth full month of LTC or board and care status when all of the following conditions are met:
(1) Both spouses are aged, blind or disabled.
(2) One or both spouses is in LTC or board and care.
(3) Both spouses apply for and are eligible for Medi-Cal.
(d) A person who is in LTC or board and care who is not aged, blind or disabled and whose spouse is not aged, blind or disabled shall be included in the MFBU with the person's spouse, and/or children or, where the person is a child, with the child's parents.
(e) A child who is a ward of the court or the responsibility of a public agency due to a voluntary placement by a parent or guardian and who is a patient in a medical facility shall be in the child's own MFBU.
(f) A child who is not blind or disabled, who is in LTC and who was not living with the child's parents immediately prior to entering LTC shall be in the child's own MFBU.
(g) Income and property available to the MFBUs established in accordance with this section shall be determined in accordance with Sections 50557 and 50403.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 5, Chapter 1221, Statutes of 1985. Reference: Sections 14005.4, 14005.7, 14005.16 and 14008, Welfare and Institutions Code.
HISTORY

1. New section filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. Amendment filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
3. Amendment refiled 3-28-86 as an emergency; effective upon filing (Register 86, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-28-86.
4. Certificate of Compliance as to 3-28-86 order filed 6-6-86 (Register 86, No. 23).
§50379. Ineligible Members of the Medi-Cal Family Budget Unit.
Note     •     History

(a) Persons who are ineligible for Medi-Cal for any of the following reasons shall be ineligible members of the MFBU, as limited by (b).
(1) Refusal to apply for a Social Security number except as specified in Section 50302(c).
(2) Refusal to apply for a Medicare health insurance claim number.
(3) Refusal to apply for and accept unconditionally available income.
(4) Inability to meet the basic eligibility criteria for any of the Medi-Cal programs.
(5) Parents who reside outside the state and who claim their children residing in the state as dependents in order to receive a tax credit or deduction for state or federal income tax purposes.
(6) Refusal by a parent or caretaker relative to assign to the state all rights to medical support and payments for medical care from any third party.
(7) Refusal by a parent or caretaker relative, without good cause as specified in Section 50771.5, to cooperate in establishing paternity for a child under eighteen years of age born out of wedlock for whom Medi-Cal is requested and in obtaining medical support and payments, and in identifying and providing information concerning any third party who is or may be liable to pay for medical care or support.
(b) A child ineligible for Medi-Cal for any of the reasons listed in (a) who has separate income or property may be treated as an ineligible member of the MFBU or be excluded from the MFBU in accordance with Section 50381. This choice is the option of the person who has legal responsibility for the child.
(c) Persons who are eligible for four month continuing eligibility or Transitional Medi-Cal shall be ineligible members of the MFBU.
(d) Minor parents living with their parents shall be ineligible members of the MFBU that includes the minor parent's children except when the minor parent wishes to receive only minor consent services. Minor parents who wish to receive Medi-Cal, other than minor consent services, shall be included in the MFBU with their parents.
(e) The parent of the separate children in a stepparent case who are the only family members who wish to receive Medi-Cal in accordance with Section 50375 shall be an ineligible member of the separate children's MFBU.
(f) The following persons shall be ineligible members of the MFBU when a person 18 to 21 is claimed by his/her parent as a dependent in order to receive a tax credit or deduction for state or federal income taxation:
(1) The spouse, children, and parent(s) of the person 18 to 21 claimed as a tax dependent shall be ineligible members of the MFBU which includes the tax dependent.
(2) The person 18 to 21 claimed as a tax dependent shall be an ineligble member of the MFBUs which include either:
(A) His/her parent(s).
(B) His/her spouse and children.
(g) Ineligible members of a MFBU shall:
(1) Be included in the MFBU for the purpose of determining eligibility based on property and share of cost.
(2) Have their health care costs used to meet the share of cost.
(3) Not be issued a Medi-Cal card.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 87(c), Chapter 1594, Statutes of 1982; and Section 14, Chapter 1447, Statutes of 1984. Reference: Sections 14005.4, 14005.7, 14005.8, 14005.12, 14007.1, 14008 and 14008.6, Welfare and Institutions Code; Title 42, Section 1396r-6, UNited States Code; and 42 C.F.R. Sections 433.135, 433.136, 433.137, 433.138, 433.145, 433.146, 433.147, 433.148 and 435.604.
HISTORY

1. New section filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. New subsections (a)(5)-(6), filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
3. Relettering of subsection (f) to subsection (g) and new subsection (f) filed 12-21-82 as an emergency; effective upon filing (Register 82, No. 52). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-20-83.
4. Amendment of subsection (a)(5) filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
5. Certificate of Compliance as to 10-1-82 order transmitted to OAL 1-28-83 and filed 2-28-83 (Register 83, No. 10).
6. Certificate of Compliance as to 12-21-82 order transmitted to OAL 4-19-83 and filed 5-16-83 (Register 83, No. 21).
7. Certificate of Compliance as to 12-31-82 order transmitted to OAL 4-13-83 and filed 5-16-83 (Register 83, No. 21).
8. Amendment of subsections (c) and (g)(2) filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85.
9. Certificate of Compliance including amendment of subsection (g)(2) transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
10. New subsections (a)(7) and (a)(8) and amendment of Note filed 4-16-93 as an emergency; operative 4-16-93 (Register 93, No. 16). A Certificate of Compliance must be transmitted to OAL 8-16-93 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-16-93 order including amendment of  Note transmitted to OAL 8-13-93 and filed  9-23-93 (Register 93, No. 39).
12. Amendment of section and Note filed 12-9-97; operative 1-8-98 (Register 97, No. 50).
§50381. Persons Excluded from the Medi-Cal Family Budget Unit.
Note     •     History

(a) Any child, other than an unborn or an infant during the first two months of life, may be excluded from the MFBU. This choice shall be the option of the person who has legal responsibility for the child. Excluded children shall not:
(1) Apply separately unless they apply for minor consent services.
(2) Be included in the MFBU for the purpose of determining eligibility and share of cost.
(3) Be considered in determining the program for which the persons included in the MFBU are eligible.
(4) Have their health care costs used to meet the MFBU's share of cost.
(b) All the members of the stepparent unit established in accordance with Section 50375, other than the parent of the separate children receiving Medi-Cal, shall be considered excluded from the MFBU. The excluded members shall not:
(1) Apply separately unless they apply for minor consent services.
(2) Be included in the MFBU for the purpose of determining eligibility and share of cost.
(3) Have their health care costs used to meet the MFBU's share of cost.
(c) The county department shall explain to the applicant who has a choice of being included or excluded from the MFBU the advantages and disadvantages of such an action before the choice is made.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7 and 14008, Welfare and Institutions Code.
HISTORY

1. New section filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. Amendment of subsections (a), (a)(4) and (b)(3) filed 12-9-97; operative 1-8-98 (Register 97, No. 50).
Article 9. Property
§50401. Property Evaluation.
Note     •     History

(a) After determining the appropriate Medi-Cal program for the members of the MFBU, the county department shall evaluate the property holdings of the MFBU to determine:
(1) Property to be included in determining eligibility.
(2) The value of the included property.
(3) Whether the total value of the included property exceeds the property reserve limits specified in Section 50420.
(b) After determining the value of all property to be included in the property reserve of the MFBU, the value shall be waived for a pregnant woman and/or infant if those applicants or beneficiaries are found to be eligible under the 200 Percent program as provided in Section 50262(a).
(c) When determining eligibility under the Percent programs, as described under Sections 50262.5 and 50262.6, property shall be disregarded.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006, 14148.5 and 14148.75, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
2. New subsection (b) and amendment of Note filed 5-28-92 as an emergency; operative 5-28-92 (Register 92, No. 22). A Certificate of Compliance must be transmitted to OAL 9-25-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-28-92 order transmitted to OAL 9-25-92 and filed 10-19-92 (Register 92, No. 43).
4. New subsection (c) and amendment of Note filed 4-2-98 as an emergency; operative 4-2-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 14148.75 (Register 98, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 4 (Register 98, No. 47).
6. Reinstatement of section as it existed prior to 4-2-98 emergency amendment by operation of Government Code section 11346.1(f) (Register 98, No. 47).
7. New subsection (c) and amendment of Note filed 11-18-98; operative 11-18-98 (Register 98, No. 47).
§50402. Availability of Property.
Note     •     History

Property which is not available shall not be considered in determining eligibility.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50403. Treatment of Property: Separate and Community Property.
Note     •     History

(a) The separate property and share of community property of any person included in the MFBU shall be considered in determining Medi-Cal eligibility.
(b) A spouse's share of community property is always one-half of the current total community property.
(c) For purposes of establishing eligibility, an interspousal agreement entered into pursuant to Welfare and Institutions Code Section 14006.2 shall:
(1) be written, dated and signed by both spouses or by a person who has the legal authority to enter into such agreements on behalf of either spouse;
(2) list each asset being transmuted;
(3) clearly designate the owner of each asset;
(4) list the value of each asset; and
(5) evidence an equal division of the nonexempt community property.
(d) If an interspousal agreement does not comply with (c)(4) of this section, the county shall request additional information from the applicant, or other party mentioned in (c)(1) to supplement the agreement and verify the methodology used to value assets. Such information may be necessary pursuant to verification requirements contained in Article 4 of this Division.
(e) If an interspousal agreement evidences an unequal division of the nonexempt community property, and the applicant received the smaller share of such property under the agreement, the county shall determine whether the transfer was for adequate consideration in accordance with Sections 50408 and 50409.
(1) If the county determines that the transfer was not for adequate consideration and was made in order to establish eligibility or to reduce the share of cost, the county shall give the applicant's spouse the option of reconveying to the applicant in accordance with Section 50411(d)(1) an amount of property sufficient to provide each spouse with equal shares of the total nonexempt community property identified in the interspousal agreement.
(2) If the applicant's spouse does not reconvey property pursuant to (e)(1) above, the county shall assess a period of ineligibility for the applicant in accordance with Section 50411.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006, 14006.2, 14008, 14008.5 and 14015, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. New subsections (c), (d) and (e) filed 11-16-88; operative 11-16-88 pursuant to Government Code Section 11346.2(d) (Register 88, No. 49).
§50404. Owner of Property.
Note     •     History

(a) The owner of property, for Medi-Cal eligibility purposes, shall be the person who holds legal title to the property unless otherwise specified in these regulations.
(b) Ownership of property may be vested in one individual or shared with other individuals.
(c) Notwithstanding (a), a person shall be the owner of separate property designated in a written interspousal agreement.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006 and 14006.2, Welfare and Institutions Code.
HISTORY

1. New subsection (c) filed 2-16-88 as an emergency; operative 2-16-88 (Register 88, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-88.
2. New subsection (c) refiled 6-16-88 as an emergency; operative 6-16-88 (Register 88, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-14-88.
3. Emergency language of new subsection (c) refiled and operative 6-16-88 repealed on 10-14-88 by operation of Government Code Section 11346.1 (Register 88, No. 49).
4. New subsection (c) filed 11-16-88; operative 11-16-88 pursuant to Government Code Section 11346.2(d) (Register 88, No. 49).
§50405. Contracts of Sale.
Note     •     History

(a) Property purchased under a signed contract of sale by the applicant or beneficiary shall be included in the property reserve of the applicant or beneficiary.
(b) Property being sold by the applicant or beneficiary under a signed contract of sale shall not be considered the property of the applicant or beneficiary. The interest payments received under the contract of sale shall be unearned income. The principal payments received under the contract of sale shall be property.
(c) Property being purchased or sold under a verbal or unsigned contract of sale shall be considered the property of the seller until the sale is complete.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50406. Conversion or Transfer of Property.
Note     •     History

Conversion or transfer of property may affect eligibility. Sections 50407 through 50411 describe methods of converting or transferring property, and the effect of each method on eligibility.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006 and 14015, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50407. Conversion of Property--Treatment.
Note     •     History

(a) Conversion of property in itself from one form to another has no effect on eligibility; however, the property obtained through a conversion may have an effect on eligibility and therefore shall be evaluated to determine its effect.
(b) Insurance or other third-party payments for the loss or damage of property shall be treated as converted property rather than income.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006 and 14015, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50408. Transfer of Property Which Does Not Result in Ineligibility.
Note     •     History

(a) Transfer of property shall not result in ineligibility for Medi-Cal under any of the following conditions:
(1) The property would have been considered exempt pursuant to Section 50418 of Article 9 of Division 3 of this title at the time of transfer.
(2) The net market value of the property transferred, when included in the property reserve, would not result in ineligibility. The determination of value shall be made as of the time of transfer. If eligibility exists, the value of the property shall no longer be considered.
(3) Adequate consideration is received. Adequate consideration is the fair market value of the property as defined in Section 50412 and includes:
(A) A transfer which was to satisfy a legal debt.
(B) A transfer which was to reimburse someone other than a responsible relative, as specified in Section 50351, for care or benefits provided on the basis of an agreement or understanding that reimbursement would be made. The applicant or beneficiary shall provide evidence that clearly establishes that the value of the care or benefits provided was reasonably equivalent to the value of the property transferred.
(C) A written transmutation of a married couple's nonexempt community property into equal shares of separate property through an interspousal agreement.
(4) Foreclosure or repossession of the property was imminent at the time of transfer, and there is no evidence of collusion.
(5) The transfer was made in return for an enforceable contract for life care which does not include complete medical care. In this case, each full item of need provided under the life care contract shall be considered income in kind in accordance with Section 50509.
(6) The transfer was made without adequate consideration but the applicant or beneficiary provides convincing evidence to the county as specified in Section 50409(b), to overcome the presumption that thetransfer was for the purpose of establishing eligibility or reducing the share of cost.
(b) There is a presumption that property transferred by the applicant or beneficiary more than two years preceding the date of initial application was not transferred to establish eligibility or reduce the share of cost. Such property shall not be considered in determining eligibility.
(c) While the transfer of property by an applicant or beneficiary from one form to another, as described in (a) above, has no effect on eligibility, any property obtained by an applicant or beneficiary through such a transfer may have an effect on eligibility and therefore shall be evaluated to determine its effect.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006, 14006.2 and 14015, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
3. New subsection (a)(2)(C) filed 2-16-88 as an emergency; operative 2-16-88 (Register 88, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-88.
4. New subsection (a)(2)(C) refiled 6-16-88 as an emergency; operative 6-16-88 (Register 88, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-14-88.
5. Amendment filed 6-28-88; operative 7-28-88 (Register 88, No. 27).
6. New subsection (a)(2)(C) refiled and operative 6-16-88 repealed 10-14-88 pursuant to Government Code Section 11346.1 (Register 88, No. 49).
7. New subsection (a)(2)(C) filed 11-16-88; operative 11-16-88 pursuant to Government Code Section 11346.2(d) (Register 88, No. 49).
§50409. Transfer of Property Which Results in Ineligibility.
Note     •     History

(a) Transfer of property shall result in ineligibility for Medi-Cal if:
(1) the transfer met none of the conditions specified in Section 50408; or
(2) the transfer was in return for an enforceable life care contract which includes complete medical care.
(b) Transfer of property without adequate consideration shall result in ineligibility for Medi-Cal if the transfer was made to establish eligibility or to reduce the share of cost.
(1) It shall be presumed that property transferred without adequate consideration was for the purpose of establishing eligibility or to reduce the share of cost as limited by (2).
(2) To overcome the presumption, the applicant or beneficiary has the burden of establishing that this presumption is not correct.
(A) The applicant or beneficiary shall provide evidence which may include verification of the onset of traumatic injury or illness, diagnosis of a previously undetected disability condition or unexpected loss of income or resources after transfer and/or that adequate resources were available at the time of the transfer of property for support and medical care considering such things as the applicant's or beneficiary's age, health, life expectancy, and ability to understand extent of resources.
(B) Such evidence may also include other subjective evidence including, but not limited to, evidence that the claimant transferred in order to avoid probate and/or that the claimant had no knowledge of Medi-Cal or its benefits at the time of the transfer.
(C) However, any such evidence presented must be convincing evidence in order to overcome the presumption stated in (b)(1) above.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006 and 14015, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
3. Amendment filed 6-28-88; operative 7-28-88 (Register 88, No. 27).
§50410. Transfer of Property with Retention of a Life Estate.
Note     •     History

Property transferred by the applicant or beneficiary with retention of a life estate shall be treated as any other transfer to determine whether the transfer results in ineligibility.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14015, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50411. Period of Ineligibility Due to Transfer of Property.
Note     •     History

(a) Following a determination of ineligibility due to the transfer of property, there shall be a period of ineligibility. This period shall be the time during which the net market value of the property at the time of transfer, less consideration received, would have supported the applicant or beneficiary and the applicant's or beneficiary's family.
(b) The period of ineligibility shall be computed in the following manner:
Determine the net market value of the property at the time of transfer less any consideration received which is the net value of the property transferred.
(2) Determine the portion of the net value of the property transferred which, if included in the property reserve at the time of transfer, would not have caused such reserve to exceed the property limit that was applicable at that time.
(3) The portion of the net value of the property transferred that would not have fallen within the property limit at the time of transfer is the excess net value of the property transferred and shall be used to determine the period of ineligibility.
(4) The number of months in the period of ineligibility shall be determined by dividing the excess net value of the property transferred by the monthly maintenance need for the applicant or beneficiary and the applicant's or beneficiary's family. The maintenance needs used shall be the maintenance needs in effect during each individual month since the date of the transfer. Income received by the family after the transfer shall not affect this computation.
(5) The period of ineligibility may be further reduced by deducting the actual cost to the applicant or beneficiary of the following:
(A) Medical expenses.
(B) Out-of-home care costs in excess of the maintenance needs.
(C) Major home repairs necessary to put the home into a liveable condition.
(c) The period of ineligibility shall begin the first of the month following the date the transfer which resulted in ineligibility occurred, unless a 10 day notice is required and cannot be given. In that case, the period of ineligibility shall begin the first of the next month.
(d) The period of ineligibility shall end when any of the following situations occur:
(1) The property which was transferred and caused ineligibility is reconveyed to the applicant or beneficiary.
(2) The applicant or beneficiary receives adequate consideration for the property.
(3) Deduction of the amounts specified in (b) (4) and (5) has reduced the excess net market value to zero.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006 and 14015, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b)(4) and (b)(5) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50412. Market Value of Property.
Note     •     History

(a) The market value of real property shall be (1) or (2), unless the applicant or beneficiary chooses to meet the conditions of (3), and (3) is lower:
(1) The assessed value determined under the most recent property tax assessment, if the property is located in California.
(2) The value established by applying the assessment method used in the area where the property is located, if the property is located outside of California.
(3) The value established as the result of an appraisal by a qualified real estate appraiser, if the appraisal is obtained by the applicant or beneficiary and provided to the county department.
(b) The market value of each item of personal property shall be determined by the specific methods contained in this article.
(c) The market value of notes secured by deeds of trust and mortgages which are considered as other real property in accordance with Section 50441(b) shall be established in accordance with Section 50441(c).
NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code; and Section 57, Chapter 328, Statutes of 1982. Reference: Sections 11153.7 and 14006, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-77 as an emergency; effective upon filing (Register 77, No. 5).
2. Certificate of Compliance filed 4-22-77 (Register 77, No. 17).
3. Amendment of subsections (a)(3) and (c) filed 5-6-81; effective thirtieth day thereafter (Register 81, No. 19).
4. Amendment of subsection (a)(1) filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
5. Certificate of Compliance transmitted to OAL 4-29-83 and filed 6-3-83 (Register 83, No. 23).
6. Amendment of subsection (a)(3) filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-21-84.
7. Order of Repeal of 7-24-84 emergency order filed 12-20-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 51).
8. Amendment of subsection (a)(3) filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
9. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50413. Encumbrances.
Note     •     History

(a) Encumbrances of record are obligations for which the property is security. Encumbrances include, but are not limited to:
(1) Loans.
(2) Attachments for debts and taxes.
(3) Chattel mortgages and liens.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50414. Share of Encumbrances Determination.

(a) The share of encumbrances shall be determined as follows:
(1) Determine the total market value of the property.
(2) Determine the market value of the portion of the property that is to be considered.
(3) Divide the amount determined in (2) by the amount determined in (1) to obtain the percentage that the portion of property is of the total property.
(4) Multiply the total encumbrances on the property by the percentage determined in (3) above. This is the share of encumbrances.
§50415. Net Market Value of Property.
Note     •     History

(a) The net market value of real or personal property is the owner's equity in that property.
(b) The net market value shall be determined by subtracting the encumbrances of record from the market value.
(c) The net market value of real or personal property owned jointly with other persons shall be determined by subtracting the beneficiary's share of encumbrances from the beneficiary's interest in the property.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50416. Utilization Requirements.
Note     •     History

(a) Other real property, as specified in Section 50427(b), shall be utilized in order to be exempt unless the net market value, when added to the net market value of other nonexempt property, falls within the limits set forth in Section 50420.
(b) The property is utilized if any of the following requirements are met:
(1) The beneficiary is receiving net yearly income from the property of at least six percent of the net market value of the property.
(A) For property not limited to seasonal use, this requirement is met if the net monthly income from the property is one-twelfth of six percent of the net market value of the property.
(B) For property limited to seasonal use, this requirement is met if the net yearly income is six percent of the net market value of the property. Property limited to seasonal use includes, but is not limited to:
1. Farmland.
2. Summer cabins.
(C) For purpose of determining net yearly income from property limited to seasonal use, the year is considered to begin in the first month of the year in which income normally begins. Income from all months of the year shall be considered in determining net yearly income of the property, regardless of the eligibility status of the beneficiary in those months.
(2) The property has been sold, or the sale is in escrow and there is a bona fide attempt to close the sale.
(c) The applicant or beneficiary shall be allowed six months to meet utilization requirements. The six month period shall be known as the utilization period, and shall begin on the first of the month following issuance of a notice of action informing the applicant or beneficiary that the property is not yielding sufficient income, as required in (b). The utilization period shall be stayed during periods of ineligibility in accordance with (1).
(d) The utilization period may be extended for a maximum of one year for good cause, as specified in Section 50417.
(e) The utilization period shall be extended for as long as the property is listed for sale, provided all of the following conditions are met:
(1) The county department determines that utilization requirements can only be met by sale of the property. This determination shall be made using evidence provided by the applicant or beneficiary, which may be, but is not limited to, either of the following:
(A) A written statement from a qualified real estate appraiser which gives the appraisal value of the property and its income potential.
(B) A certificate of condemnation.
(2) The property is listed for sale with a licensed real estate broker at the market value, as determined in accordance with Section 50412(a).
(3) The beneficiary provides the following evidence every six months, and at any other time it is requested by the county department:
(A) A statement from the real estate agency that no bona fide offer has been rejected.
(B) Copies of any offers that have been submitted and the reasons for rejection.
(C) Evidence of the efforts being made to advertise the property for sale.
(f) If the applicant or beneficiary utilizes the property by sale, the property shall be sold for at least market value, unless the property was sold under either of the following situations, and the applicant or beneficiary submits evidence that there was a bona fide attempt to sell at market value.
(1) The property was listed with a licensed real estate broker for at least three months and the final sale price was similar to comparable sales in the area.
(2) There was an inability to sell the property for the market value and the county department determines that the final sale price was reasonable.
(g) An existing environmental impact report involving a property shall be considered by the county department in determining the utilization potential of the property.
(h) A life estate interest in real property shall be utilized in accordance with this section.
(i) The applicant or beneficiary may arrange for a reassessment of the property during the utilization period. The assessment shall affect utilization as follows:
(1) The reassessment value shall be used in determining utilization requirements.
(2) The reassessment shall not affect the beginning date or the length of the utilization period.
(j) The entire net market value of property not utilized in accordance with this section shall be included in the property reserve on the first of the month following the last month of the utilization period.
(k) A utilization period shall begin whenever:
(1) An applicant, with other real property that is not being utilized, becomes eligible except as specified in (1).
(2) The other real property of a beneficiary, that has been utilized, is no longer utilized.
(3) The net market value of other real property, when added to the net market value of other nonexempt property, no longer falls within the limits set forth in Section 50420.
(l ) When a utilization period has begun and the beneficiary becomes ineligible for Medi-Cal prior to its expiration, the remainder of the utilization period shall be applied if eligibility is subsequently reestablished and the property is not utilized at that time. However, if the beneficiary can verify that the property was utilized at any time during the period of ineligibility, a new utilization period shall begin.
NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (e)(1)(A) and (k) filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86. For prior history, see Register 83, No. 4.
2. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50417. Utilization--Good Cause.
Note     •     History

(a) Good cause, as required in Section 50416 (d), shall be found only if the applicant or beneficiary has made a bona fide effort to meet utilization requirements and is unable to do so because of circumstances beyond such person's control.
(b) Circumstances beyond a person's control shall include any of the following situations:
(1) Death of a part owner of the property and inability or refusal of the administrator or executor of the estate or other responsible person to complete disposition of the property if such person is other than the applicant or beneficiary.
(2) Misplaced reliance by the applicant or beneficiary upon what appeared to be a bona fide offer. The county department shall require a copy of the written offer for the property as evidence that the offer was bona fide. Misplaced reliance may have resulted if the offer was either of the following:
(A) Bona fide but the purchaser was unable to complete the purchase.
(B) Apparently bona fide but eventually found not to be bona fide.
(3) Prolonged illness causing the seller to be homebound or hospitalized during the utilization period and unable to take the necessary action to meet utilization requirements or to arrange for an agent to do so.
(4) Like reasons which the county department determines meet the general intent of good cause.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11153.7 and 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction filed 6-10-83 (Register 83, No. 24).
§50418. Exemption of Property.
Note     •     History

(a) Certain real and personal property is exempt and shall not be included in determining eligibility. These property exemptions are specified in Sections 50425 through 50489.
(b) All real and personal property not exempt as specified in (a) is nonexempt property.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50419. Property Reserve.
Note     •     History

The property reserve is the net market value of the nonexempt property of those persons whose property is considered in determining the eligibility of the MFBU.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50420. Property Limit.
Note     •     History

(a) The property reserve shall not exceed the following limits.

	Number of Persons	Property	Property	Property	Property	Property
	Whose Property is	Limit	Limit	Limit	Limit	Limit
	Considered	1985	1986	1987	1988	1989

	1 person	 1,600	1,700	1,800	1,900	2,000
	2 persons	 2,400	2,550	2,700	2,850	3,000
	3 persons	 2,550	2,700	2,850	3,000	3,150
	4 persons	 2,700	2,850	3,000	3,150	3,300
	5 persons	 2,850	3,000	3,150	3,300	3,450
	6 persons	 3,000	3,150	3,300	3,450	3,600
	7 persons	 3,150	3,300	3,450	3,600	3,750
	8 persons	 3,300	3,450	3,600	3,750	3,900
	9 persons	 3,450	3,600	3,750	3,900	4.050
	10 persons or more	 3,600	3,750	3,900	4,050	4,200

(b) The members of the MFBU shall be ineligible for Medi-Cal if the condition specified in (a) above is not met at some time during the month in which application is made.
(c) If the property reserve has been in excess of the property limit from the first day of the month of application through the date of application the MFBU shall be eligible under the following conditions:
(1) The property reserve is brought within the property limit in any manner other than transfer without adequate consideration by the last day of the month of application.
(2) All other conditions of eligibility are met.
(d) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to January 1, 1985.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14006 and 14019.6, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a), (b) and new subsection (d) filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85. For prior history, see Register 83, No. 16.
2. Certificate of Compliance as to 4-15-85 order transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
§50420.5. Separation of Community Property: Spouse in Long-Term Care Facility.
Note     •     History

(a) The value of property available to an applicant or beneficiary who is in a skilled nursing or intermediate care facility and is in a MFBU separate from his or her spouse shall be determined to meet the property reserve limits if the value as determined in (1)(E) or (2)(D) of this subsection is equal to or less than the applicable property reserve limit.
(1) If the applicant or beneficiary has entered into an interspousal agreement prior to or on the date of entry into a skilled nursing or intermediate care facility and the agreement meets the requirements set forth in section 50403(c) and (d), the county shall determine:
(A) The value of the applicant or beneficiary's nonexempt separate property resulting from the interspousal agreement.
(B) The value of the applicant or beneficiary's one-half share of any nonexempt community property acquired since or not included in the interspousal agreement.
(C) The value of the applicant or beneficiary's nonexempt separate property from sources other than the interspousal agreement.
(D) The value of any nonexempt separate property owned by the applicant or beneficiary's spouse and/or the applicant or beneficiary's spouse's share of nonexempt community property which is actually made available to the applicant or beneficiary.
(E) The value of property determined in (a)(1)(A) through (D) of this section remaining after deducting expenditures made for the applicant or beneficiary's own benefit as defined in (b) of this section and verified losses, if any, in the market value of such property since the date of the interspousal agreement.
(2) If the date the interspousal agreement was executed is later than the date of entry into a skilled nursing or intermediate care facility, or in the absence of an interspousal agreement which meets the requirements of section 50403 (c), (d) and (e), the county shall determine:
(A) The value of the applicant or beneficiary's nonexempt separate and one-half share of nonexempt community property on the date of most recent entry, as limited by (d) of this section, into a skilled nursing or intermediate care facility.
(B) The value of the applicant or beneficiary's share of any nonexempt separate and one-half share of nonexempt community property acquired from the date of most recent entry into a skilled nursing or intermediate care facility to the date eligibility is determined.
(C) The value of any nonexempt separate property owned by the applicant or beneficiary's spouse and/or the applicant or beneficiary's spouse's share of nonexempt community property which is actually made available to the applicant or beneficiary.
(D) The value of property determined in (a)(2)(A) through (C) of this section remaining after deducting expenditures made for the applicant or beneficiary's own benefit, as defined in (b) of this section, and verified losses, if any, in the market value of such property since the date of entry into a skilled nursing or intermediate care facility.
(b) Expenditures for the applicant or beneficiary's own benefit shall include but are not limited to:
(1) Expenditures for the applicant or beneficiary's own medical expenses.
(2) Expenditures associated with property owned by the applicant or beneficiary and for improvements to such property in proportion to his or her ownership interest in the property, for example.
(A) Payments made on the mortgage on a jointly owned principal residence.
(B) Payments made on a note on a jointly owned motor vehicle.
(C) Expenditures for improvements on a jointly owned principal residence.
(3) Expenditures for other exempt or nonexempt property for the sole benefit of the applicant or beneficiary including, but not limited to, personal effects, recreational items, and burial trusts.
(4) Transfer of nonexempt assets for adequate consideration as defined in 50408(a)(3).
(c) For purposes of this section, it shall be presumed that all property is community property. This presumption may be rebutted by either spouse.
(d) The mere change of residence from one medical facility to another shall not be considered a new entry into LTC for purposes of subsection (a) of this section.
(e) Effective 1/1/90, the regulations contained in this section shall not apply to an institutionalized spouse as defined by section 1924 (h)(1) of Title XIX of the Social Security Act.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006, 14006.2 and 14008, Welfare and Institutions Code; and Section 1924, Title XIX, Social Security Act (Section 1396r-5, Title 42, United States Code).
HISTORY

1. New section filed 10-13-89 as an emergency pursuant to Sections 5 and 6(d) of Chapter 1221, Statutes of 1985; operative 10-13-89 (Register 89, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-13-90.
2. New section filed 2-26-90 as an emergency pursuant to Sections 5 and 6(d) of Chapter 1221, Statutes of 1985; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 6-26-90.
3. Certificate of Compliance as to 2-26-90 order including amendment of subsections (a) and (b) transmitted to OAL 6-8-90 and filed 7-9-90 (Register 90, No. 34).
§50421. Limits and Methods of Property Determination for the Qualified Medicare Beneficiary (QMB) or the Specified Low-Income Medicare Beneficiary (SLMB).
Note     •     History

(a) To qualify for the QMB or SLMB programs, the net nonexempt property of a QMB or SLMB applicant/beneficiary cannot exceed twice the Supplemental Security Income (SSI) program property limit.
(1) Adult.
(A) A QMB or SLMB applicant/beneficiary who is married or is 18 years of age or older shall be considered an adult for purposes of this section.
(B) Only the property of the QMB or SLMB applicant/beneficiary and his/her spouse, if living in the home, shall be considered in determining net nonexempt property. Such property shall be determined in accordance with Article 9 and shall be compared to twice the SSI property limit for one person (or two persons, if the spouse is living in the home).
(2) Child.
(A) A QMB or SLMB applicant/beneficiary who is unmarried and younger than 18 years of age shall be considered a child for purposes of this section.
(B) Net nonexempt property shall be determined in accordance with article 9. Only the property of the QMB or SLMB child and his/her parent(s) shall be considered in determining net nonexempt property. For purposes of this subsection, the parent(s) includes stepparent(s).
(C) The parent(s)'s net nonexempt property shall be compared to the SSI property limit for one or two persons (depending upon the number of parents in the home). If the parent(s)'s net nonexempt property does not exceed this property limit, only the QMB or SLMB child's property shall be considered. If the parent(s)'s net nonexempt property exceeds the SSI property limit, the excess amount over the SSI property limit shall be added to the QMB or SLMB child's own net nonexempt property. The QMB or SLMB child's total net nonexempt property shall be compared to twice the Medi-Cal property limit for one person.
(D) If there are two or more QMB or SLMB children in the home, the excess amount of the parent(s)'s net nonexempt property over the SSI property limit shall be divided by the number of QMB or SLMB children and that quotient added to each child's net nonexempt property. The net nonexempt property of the QMB or SLMB child shall no longer be increased by his/her share of the parental allocation when:
1. The parental allocation of net nonexempt property when added to the QMB or SLMB child's own net nonexempt property exceeds twice the SSI property limit for one person, or 
2. The QMB or SLMB child is found ineligible as a QMB or SLMB for any other reason. When a QMB or SLMB child no longer qualifies to receive a share of the parent(s)'s nonexempt property, the parent(s)'s net nonexempt property shall then be redivided by the number of remaining QMB or SLMB children in the home and that quotient added to the net nonexempt property of each of those children.
NOTE

Authority cited: Sections 10725, 14005.11 and 14124.5, Welfare and Institutions Code; and Section 12, Chapter 1430, Statutes of 1989.Reference: Sections 416.1202 and 416.1205, Title 20, Code of Federal Regulations; Section 1396a(a), Title 42, United States Code; and Section 14005.11, Welfare and Institutions Code.
HISTORY

1. New section filed 8-13-90 as an emergency; operative 8-13-90 (Register 90, No. 40). A Certificate of Compliance must be transmitted to OAL by 12-11-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance transmitted to OAL 12-11-90 and filed 1-9-91 (Register 91, No. 8).
3. Amendment filed 12-21-93; operative 1-20-94 (Register 93, No. 52).
§50421.5. Limits and Methods of Property Determination for the Qualified Disabled and Working Individual (QDWI).
Note     •     History

(a) To qualify for the QDWI program, the net nonexempt property of a QDWI applicant/beneficiary cannot exceed twice the Supplemental Security Income (SSI) resource limit in accordance with Section 1613, Title XVI of the Social Security Act.
(b) Only the property of the QDWI applicant/beneficiary and, if married, his/her spouse, if living in the home, shall be considered in determining net nonexempt property. Such property shall be determined in accordance with Section 50420.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 12, Chapter 1430, Statutes of 1989. Reference: Section 14005.3, Welfare and Institutions Code; and Sections 1396a(a)(10)(E) and 1396d(s), Title 42, United States Code.
HISTORY

1. New section filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History Note 1 (Register 95, No. 9).
3. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 9).
4. New section refiled 3-3-95 as an emergency; operative 3-3-95 (Register 95, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-95 order including amendment of subsection (b) and Note transmitted to OAL 2-22-95 and filed 4-5-95 (Register 95, No. 14).
§50422. Liens.
Note     •     History

NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-21-84.
2. Order of Repeal of 7-24-84 emergency order filed 12-20-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 51).
§50423. Items of Property to Be Considered.
Note     •     History

(a) The items of property to be considered in determining eligibility are described in Sections 50425 through 50489. Each of these sections indicates:
(1) Whether all or a portion of the item of property is exempt.
(2) The method for determining the net market value of the specific item of property.
(3) Any other information necessary to evaluate the property.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50425. Property Used As a Principal Residence.
Note     •     History

(a) A principal residence may consist of real or personal property, fixed or mobile, located on land or water. The principal residence includes land or buildings surrounding, contiguous to, or appertaining to the residence.
(b) The following items of real property may serve as a principal residence:
(1) A house.
(2) The entire multiple unit dwelling if any portion of the multiple unit dwelling serves as the principal residence of the applicant or beneficiary.
(3) The items listed in (d). These items shall be considered as real property when they are assessed as real property by the county assessor of the county in which the property is located.
(c) Property which the applicant or beneficiary uses or formerly used as a home shall be exempt as the principal residence if any of the following situations exist:
(1) The applicant or beneficiary lives on the property.
(2) The family of the applicant or beneficiary lives on the property and Medi-Cal eligibility is determined in either of the following ways:
(A) With the applicant or beneficiary and the family in a single MFBU.
(B) With the income of the family considered in determining the applicant's or beneficiary's eligibility.
(3) The applicant or beneficiary is absent from the property for any reason, including admittance to LTC, and declares in writing that he/she intends to return to the property to live.
(4) The applicant or beneficiary is absent from the property and has a spouse, child under age 21 or a dependent relative, who lives on the property. A disabled child age 21 or older is considered a dependent relative for purposes of this regulation only.
(5) A sibling or child age 21 or over of the applicant or beneficiary has continuously resided on the property for at least one year immediately prior to the date the applicant or beneficiary entered a SNF or ICF and continues to reside there.
(6) The property cannot be sold because there are legal obstacles preventing the sale and the applicant or beneficiary or person acting on his/her behalf provides evidence of attempts to overcome such obstacles.
(7) The applicant or beneficiary no longer lives on the property, does not intend to return to the property, the property is not otherwise exempt and the property cannot be readily converted to cash but a bona fide effort is being made to sell the property. A bona fide effort to sell means that the property is listed for sale with a licensed real estate broker for its fair market value established by a qualified real estate appraiser, a good faith effort is being made to sell the property, offers at fair market value are accepted, and the applicant or beneficiary has supplied proof of compliance with these conditions to the county.
(d) The following items of personal property may serve as a principal residence:
(1) A mobile home.
(2) A houseboat.
(3) A motor vehicle used as a residence.
(4) Any other shelter not attached to the land and used as a residence.
(e) Only one property may be exempt as the principal residence.
(f) Real property formerly used as a principal residence shall be considered other real property, effective the first of the month following the date the property is no longer used as a principal residence as specified in (a). Such property shall be subject to all conditions placed upon other real property in these regulations.
(g) Personal property formerly used as a principal residence shall be evaluated as an item of personal property beginning the first of the month following the date the property is no longer used as a principal residence as specified in (c).
NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86. For prior history, see Register 84, No. 51.
2. Certificate of Compliance including amendment of subsections (a)-(c) transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
3. Change without regulatory effect of subsection (g) (Register 87, No. 11).
§50426. Property Used to Purchase a Principal Residence.
Note     •     History

(a) The proceeds from the sale of real property retained by an applicant or beneficiary who does not own a suitable principal residence or who wishes to sell the current principal residence and purchase a new principal residence shall be exempt for a period of six months from the date of receipt of the proceeds so long as the proceeds from the sale of the real property are intended to be used to purchase a principal residence. Such proceeds may also be applied to the costs of moving, necessary furnishings, and repair or alteration to the principal residence.
(b) If a portion of the proceeds specified in (a) is diverted to some other purpose, the status of the remainder is not affected provided such remainder is being retained to apply toward the purchase of a principal residence.
NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
3. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50427. Other Real Property.
Note     •     History

(a) Real property not exempt as a principal residence, including deeds of trust as specified in Section 50441(b), is other real property.
(b) Other real property not exempt under any other section of these regulations shall be exempt if both of the following conditions are met:
(1) The combined net market value of all other real property is $6,000 or less.
(2) The owner meets the utilization requirements set forth in Section 50416.
(c) Other real property with a net market value of more than $6,000 shall be considered as follows:
(1) The first $6,000 of net market value shall be exempt if the owner meets the utilization requirements set forth in Section 50416.
(2) The net market value in excess of $6,000 shall be included in the property reserve.
NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code; Section 57(c), Chapter 328, Statutes of 1982; Section 87, Chapter 1594, Statutes of 1982. Reference: Sections 11153.7 and 14006, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86. For prior history, see Register 84, No. 51.
2. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50428. Liens.
Note     •     History

(a) The Department shall record a lien against the ownership interest in the principal residence of an institutionalized beneficiary if the property meets the provisions of Section 50425 (a)(7) unless:
(1) The individual did not receive a Notice of Action according to the provisions of Section 50179 or has not had the opportunity for a state hearing according to the provisions of Article 18 (commencing with Section 50951) of this Chapter. Such Notice shall include the following:
(A) The beneficiary has stated he/she does not intend to return to the principal residence from long term care;
(B) A lien will be recorded against the property for the cost of all Medi-Cal claims paid or to be paid on the beneficiary's behalf.
(C) The recording of the lien does not mean ownership of the property is lost or transferred.
(D) The requirements to list the property for sale that the applicant or beneficiary must meet to remain eligible for Medi-Cal in accordance with Section 50425.
(E) The beneficiary has the right to a county level review and a state hearing prior to recording of the lien or imposing any requirements to list the property for sale.
(F) The procedures for requesting a county level review and the time limits within which such requests must be made.
(b) Any recorded lien for an amount equal to the cost of medical care provided may be foreclosed only after one of the following:
(1) The beneficiary sells the property.
(2) The beneficiary dies and the following conditions are met:
(A) There is no surviving spouse.
(B) The beneficiary has no surviving child who is under the age of 21 or who is blind or disabled.
(c) Any lien shall dissolve when the beneficiary is discharged from LTC and returns to the principal residence to live.
(d) The county department shall notify the Department upon a determination that:
(1) All the criteria set forth in Section 50428(a) are met; or
(2) A person in long term care has been discharged and has returned to the principal residence to live.
NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code: Section 57(c), Chapter 328, Statutes of 1982; and Section 87, Chapter 1594, Statutes of 1982. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of subsection (b)(1)(B) transmitted to OAL 4-29-83 and filed 6-3-83 (Register 83, No. 23).
3. Editorial correction of subsection (b)(1)(B) refiled 7-6-83 (Register 83, No. 28).
4. Repealer filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-21-84.
5. Order of Repeal of 7-24-84 emergency order filed 12-20-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 51).
6. Amendment filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
7. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50429. Value and Division of Real Property Where Part Is Used As a Home.
Note     •     History

NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-21-84.
2. Order of Repeal of 7-24-84 emergency order filed 12-20-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 51).
3. Repealer filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
4. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50431. Land Contiguous to the Home--Value and Division.
Note     •     History

NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-21-84.
2. Order of Repeal of 7-24-84 emergency order filed 12-20-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 51).
3. Repealer filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
4. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50433. Single Family Dwelling Used in Part As a Business--Value and Division.
Note     •     History

NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-21-84.
2. Order of Repeal of 7-24-84 emergency order filed 12-20-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 51).
3. Repealer filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
4. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50435. Multiple Dwelling Unit--Value and Division.
Note     •     History

NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-21-84.
2. Order of Repeal of 7-24-84 emergency order filed 12-20-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 51).
3. Repealer filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
4. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50437. Land with More Than One Building--Value and Division.
Note     •     History

NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-21-84.
2. Order of Repeal of 7-24-84 emergency order filed 12-20-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 51).
3. Repealer filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
4. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50441. Mortgages, Deeds of Trust and Other Promissory Notes.
Note     •     History

(a) Mortgages, notes secured by deeds of trust and other promissory notes which can be sold or discounted shall be included in the property reserve, except as specified in (b).
(b) A mortgage, or a note secured by a deed of trust, from the sale of real property owned by the applicant or beneficiary shall be considered other real property and subject to all the conditions placed upon other real property in these regulations.
(c) The market value of all mortgages and notes shall be the value as established in (1), unless the applicant or beneficiary chooses to meet the conditions of (2), and (2) is lower:
(1) The principal amount remaining on the note.
(2) The appraised value obtained by the applicant or beneficiary from a party qualified to appraise such items. Parties qualified to appraise such items include, but are not limited to, any of the following:
(A) Banks.
(B) Savings and Loan Associations.
(C) Credit Unions.
(D) Licensed loan or mortgage brokers.
(d) Proceeds from mortgages and notes shall be considered as follows:
(1) The principal portion of the payment shall be treated as property.
(2) The interest portion of the payment shall be unearned income and shall be included in determining the share of cost.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. New section filed 5-6-81; effective thirtieth day thereafter (Register 81, No. 19). For prior history, see Registers 81, No. 15; 80, No. 48; 77, No. 51; 77, No. 17; and 77, No. 5.
2. Editorial correction of NOTE filed 1-21-83 (Register 83, No. 4).
§50442. Life Estate.
Note     •     History

(a) A life estate interest in real property shall be considered real property.
(b) A life estate interest in personal property shall be considered personal property.
(c) The value of a life estate shall be:
(1) The entire market value of the property on which the life estate is held if the applicant or beneficiary was the owner of the property prior to selling the property and he/she is retaining a life estate interest in the property, and the Life estate is revocable, or 
(2) In all other instances, the value determined in accordance with the California State Gift Inheritance Tax Formula or, at the applicant's or beneficiary's option, a lesser value established by a person qualified to appraise such items as described in Section 50441 (c) (2).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code; and 42 United States Code Section 1396a (a) (10) (C).
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
2. Amendment of subsection (c) filed 5-17-89; operative 6-16-89 (Register 89, No. 20). 
§50443. American Indian's Interest in Land Held in Trust by United States Government.
Note     •     History

The entire market value of an American Indian's interest in land held in trust by the United States Government shall be exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50445. Federal Payments to Indians and Alaskan Natives--Property.
Note     •     History

(a) Payments received from the Federal Government under Public Law 90-507 shall be excluded from consideration as personal property when the total of nonexempt personal property, including such payments does not exceed $2,000 for each individual. Payments converted into other property shall be treated the same as the payments. However, if the property received through such a conversion is again converted, the property acquired is included in the property reserve unless otherwise exempt.
(b) Payments received from the Federal Government under Public Law 92-254 or Section 6 of Public Law 87-775 shall be exempt.
(c) Per capita payments distributed pursuant to any judgment of the Indian Claims Commission or the Court of Claims in favor of any Indian Tribe are exempt.
(d) Shares of stock and money payments made to Alaskan Natives under the Alaskan Native Claims Settlement Act are exempt as long as the payments or stock remain separately identifiable and not comingled with nonexempt resources. Any property obtained from stock investments under the Act is not exempt.
(e) Receipts derived from lands, as specified in Section 50537(e), shall be exempt providing all of the following conditions are met. The monies:
(1) Are retained by the original recipient.
(2) Are not commingled.
(3) Can be separately identified as a proportionate share of the applicant's or beneficiary's property.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. New subsection (e) filed as an emergency 6-17-80; (Register 80, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-16-80.
2. Certificate of Compliance filed 9-26-80 (Register 80, No. 39).
§50446. Payments to Victims of the National Socialist Persecution.
Note     •     History

(a) Payments received from the Federal Republic of Germany (German Reparations Payments) pursuant to the federal law on the Compensation of Victims of the National Socialist Persecution (Federal Compensation Law) shall be exempt from consideration as personal property provided these funds are not spent and are kept identifiable.
(b) If the funds referred to in subsection (a) have been spent, the property acquired with the funds shall be included in the property reserve unless otherwise exempt.
(c) If the exempt funds referred to in subsection (a) have been commingled with nonexempt funds, it is the applicant's or beneficiary's responsibility to be able to distinguish which are the exempt commingled funds. It is presumed that withdrawals from an account in which exempt and nonexempt funds have been commingled were made from the nonexempt fund first.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.5 and 14006, Welfare and Institutions Code, and Program Operations Manual SI 01120.405.
HISTORY

1. New section filed 9-4-91; operative 10-4-91 (Register 92, No. 2).
2. Editorial correction of subsection (c) (Register 95, No. 45).
§50448. Payments to Victims of Crimes--Treatment as Property.
Note     •     History

Payments made under the California Victims of Crimes program, which are exempt as income in the month of receipt in accordance with Section 50534, shall be exempt as property for the 9-month period beginning after the month in which the payment was received.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Sections 1383(a)(9), 1382b(a) and 1396a(r), Title 42, United States Code. Reference: Section 13959, Government Code; Section 14006(c), Welfare and Institutions Code.
HISTORY

1. New section filed 10-4-93; operative 11-3-93 (Register 93, No. 41).
§50448.5. Relocation Assistance Benefits.
Note     •     History

(a) Relocation assistance benefits are payments made by a public agency to a person who has been relocated as a result of a program of area redevelopment, urban renewal, freeway construction, or any other public development involving demolition or condemnation of existing housing.
(b) Relocation Assistance Benefits paid by a public agency shall be exempt provided these these funds are not spent and are kept identifiable.
(c) If the exempt funds referred to in subsection (b) have been commingled with nonexempt funds, it is the applicant's or beneficiary's responsibility to be able to distinguish which are the exempt commingled funds. It is presumed that withdrawals from an account in which exempt and nonexempt funds have been commingled were made from the nonexempt funds first.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 1396a(r)(2) and 4636, Title 42, United States Code; Sections 14005.4, 14005.7 and 14006, Welfare and Institutions Code; and United States Department of Health and Human Services Social Security Administration “Program Operations Manual SI 00830.655, SI 01130.670 and SI 01130.700.”
HISTORY

1. New section filed 3-30-98; operative 4-29-98 (Register 98, No. 14).
§50449. Earned Income Tax Credit.
Note     •     History

The actual Earned Income Tax Credit (EITC) payment or an advance payment of the Earned Income Tax Credit made by an employer shall be exempt in the month following the month of receipt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code; Sections 1612b, 1613a and 1902r(2), Social Security Act [42 U.S.C. Sections 1382a(b), 1382b(a), and 1396a(r)(2)].
HISTORY

1. New section filed 2-2-93; operative 3-4-93 (Register 93, No. 6).
§50451. Cash on Hand.
Note     •     History

Cash on hand shall be included in the property reserve, unless it is income received in that month.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50453. Checking and Savings Accounts.
Note     •     History

(a) The entire amount in checking and savings accounts to which the applicant or beneficiary has unrestricted access shall be included in the property reserve, subject to the limitations in Section 50453.5 and the following conditions:
(1) Income received during a month and deposited in a checking or savings account shall not be considered as property during that month.
(2) Accounts held with persons who are not family members shall be considered available in their entirety if the applicant or beneficiary has unrestricted access to the funds, unless the conditions of (3) are met.
(3) If the applicant or beneficiary presents evidence which clearly establishes that all or a portion of the funds specified in (2) are the property of a person who is not a family member, those funds shall not be considered the property of the applicant or beneficiary.
(b) If an applicant or beneficiary has restricted access to a checking or savings account such as accounts which require two signatures or savings accounts held in trust by other than the applicant or beneficiary, only those funds actually available shall be included in the property reserve.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
§50453.5. Savings of a Child.
Note     •     History

Reasonable amounts saved from a child's exempt earnings for future education or for other future identifiable needs are exempt as property.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. New section filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
§50453.7. Long-Term Care Insurance Exemption.
Note     •     History

(a) Property shall be exempt up to the amount of benefits that have been paid for Long-Term Care services countable towards the Medi-Cal property exemption as defined in Section 58023 in behalf of the Medi-Cal applicant or Medi-Cal beneficiary under a certified long-term care insurance policy or certificate certified by the State to provide this exemption.
(b) Property exempted under subsection (a) shall also be exempt from any recovery by the State of payments made for medical services.
(c) Income received from property exempt under subsection (a) shall be nonexempt and shall be treated in accordance with regulations contained in Article 10 of Chapter 8.
(d) The Medi-Cal applicant or Medi-Cal beneficiary shall provide verification from the insurance company of the amount of qualified benefits paid which entitle that applicant or beneficiary to an exemption under subsection (a). After notifying the Department in accordance with Probate Code, Sections 215 and 9202, the person handling the estate of a deceased Medi-Cal beneficiary shall also provide verification to the Department from the insurance company of the amount of qualified benefits paid which entitle that deceased beneficiary to an exemption under subsection (b).
(1) If the verification provided by the insurance company is found to be in error resulting in the ineligibility of the Medi-Cal applicant or Medi-Cal beneficiary, the County shall notify the Department to take appropriate actions against the insurance company under Section 58082(e).
(2) If the verification provided by the insurance company is found to be in such a condition that the County cannot determine whether the Medi-Cal applicant or Medi-Cal beneficiary is entitled to an exemption under subsection (a), the County shall determine that the Medi-Cal applicant or Medi-Cal beneficiary is not entitled to such an exemption and shall notify the Department to take appropriate actions against the insurance company under Section 58082(f) of the Partnership Regulations for Insurers.
(3) If the verification provided to the Department by the person handling the estate of a deceased beneficiary is found to be either in error, or in such a condition that the Department cannot determine whether the deceased beneficiary is entitled to an exemption under subsection (b), the Department shall take appropriate actions against the insurance company under Section 58082(e) and (f).
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22004, 22005 and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 11-1-93 as an emergency; operative 11-1-93 (Register 93, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-1-93 order including amendment of subsection (d)(3) transmitted to OAL 2-17-94 and filed 3-31-94 (Register 94, No. 13).
3. Editorial correction of printing errors in subsections (a), (d) and (d)(2) (Register 94, No. 13).
§50454. Income Tax Refunds.
Note     •     History

Income tax refunds shall be included in the property reserve.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50454.5. California Franchise Tax Board Payments.
Note     •     History

(a) The following payments or funds received from the California Franchise Tax Board shall be exempt:
(1) Renters Credits.
(2) Senior Citizens Homeowners and Renters Property Assistance.
(3) Senior Citizens Tax Postponement.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code, Reference: Section 11008.4, Welfare and Institutions Code.
HISTORY

1. New section filed 4-17-89; operative 5-17-89 (Register 89, No. 48) . 
§50455. Lump Sum Payments.
Note     •     History

(a) Nonrecurring lump sum social insurance payments, such as nonrecurring lump sum payments of any of the items specified in section 50507(a)(1) through (9), shall be included in the property reserve, except as provided in (b).
(b) Retroactive SSI and Title II benefit payments shall not be included in the property reserve for a period of six months after the month in which they are received.
(c) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to October 1, 1984.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14005.8 and 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
2. Amendment filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85.
3. Certificate of Compliance as to 4-15-85 order transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
4. Change without regulatory effect amending subsection (a) filed 6-14-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 35).
§50456. Stocks, Bonds, Mutual Funds.
Note     •     History

Stocks, bonds and mutual funds shall be included in the property reserve. The value of these items shall be the closing price on the date the property is evaluated.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50457. United States Savings Bonds.
Note     •     History

United States Savings Bonds shall be included in the property reserve. The value of these bonds shall be the amount for which they can be sold.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE filed 10-11-88 (Register 88, No. 45).
§50459. Promissory Notes.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Repealer filed 11-26-80 as an emergency; effective upon filing (Register 80, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-26-81.
3. Certificate of Compliance transmitted to OAL 3-9-81 and filed 4-7-81 (Register 81, No. 15).
§50461. Motor Vehicles.
Note     •     History

(a) One motor or other vehicle that is used for transportation shall be exempt, subject to the following conditions:
(1) The applicant or beneficiary shall be allowed to choose which vehicle used for transportation shall be exempt except that recreational and commercial vehicles shall be considered to be used for transportation only if other motor vehicles are not available to provide transportation for the applicant or beneficiary.
(2) A vehicle owned by an applicant or beneficiary who no longer drives shall be exempt when other individuals use the vehicle to meet the transportation needs of the applicant or beneficiary.
(b) The net market value of all nonexempt motor vehicles shall be included in the property reserve.
(c) The net market value of a motor vehicle shall be determined by the following process:
(1) Determine the class of the motor vehicle.
(2) Determine the vehicle license fee which does not include registration or weight fees, using the class and the State Department of Motor Vehicles license fee chart.
(3) Multiply the vehicle license fee by 50. This is the market value of the motor vehicle.
(4) Subtract any encumbrances of record from the market value. This is the net market value.
(d) In those cases where the class of the motor vehicle is unknown or unavailable, the county department or the applicant or beneficiary shall contact the State Department of Motor Vehicles to determine the class or license fee of the motor vehicle.
(e) In those cases where the applicant or beneficiary does not agree with the net market value:
(1) Three appraisals by auto dealers, insurance adjustors or personal property appraisers shall be submitted to the county department.
(2) The average of these appraisals shall be the market value.
(3) The net market value shall be the market value minus any encumbrances of record.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (d) and new subsection (e) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsections (a)(1) and (d) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
§50463. Boats, Campers, Trailers.
Note     •     History

(a) The net market value of boats, campers, and trailers and mobile homes, which are not assessed as real property by the county assessor, shall be included in the property reserve unless exempt as either of the following:
(1) A principal residence.
(2) A vehicle used for transportation.
(b) Items in (a) which are assessed as real property by the county assessor of the county in which the property is located and which are not exempt as a home shall be considered as other real property and treated in accordance with Section 50427.
(c) The net market value of these items shall be determined as follows:
(1) The market value shall be any of the following:
(A) The average of three appraisals by dealers, insurance adjustors or personal property appraisers submitted to the county department by the applicant or beneficiary.
(B) The market value placed on the item by the county assessor.
(C) The market value of the item determined by use of the State Department of Motor Vehicle's license fee chart.
(D) The original purchase price of the item if the applicant or beneficiary does not wish or is unable to provide three appraisals or the market value cannot be determined in accordance with (B) or (C).
(2) The net market value shall be the market value less any encumbrances of record.
(d) Eligibility or share-of-cost determinations effective on or after January 1, 1980, shall be based on the provisions of this section.
NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b)(1) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 3-7-80 as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 7-6-80.
3. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
4. Amendment of subsection (a)(1) filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
5. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50465. Household Items.
Note     •     History

All items used to furnish and equip a home shall be exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83 No. 24).
§50467. Personal Effects.
Note     •     History

(a) All items of clothing shall be exempt.
(b) The following jewelry shall be exempt:
(1) Wedding and engagement rings.
(2) Heirlooms.
(3) Any other item of jewelry with a net market value of $100 or less.
(c) The net market value of jewelry not exempted above shall be included in the property reserve.
(d) The net market value of jewelry shall be determined as follows:
(1) The applicant or beneficiary shall submit at least one written appraisal of current market value by a jeweler, insurance adjustor or personal property appraiser, or proof of the purchase price in the form of a sales slip which shall establish the market value.
(2) Subtract any encumbrances of record from the market value. This is the net market value.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code; and 42 CFR 435.851.
HISTORY

1. Amendment of subsection (d) filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
2. Certificate of Compliance transmitted to OAL 12-14-82 and filed 1-21-83 (Register 83, No. 4).
3. Editorial correction of NOTE filed 6-10-83 (Register 83, No. 24).
4. Amendment of subsection (d)(1) filed 10-24-86; effective thirtieth day thereafter (Register 86, No. 43).
§50469. Recreational Items.
Note     •     History

(a) All recreational items shall be exempt, except for:
(1) Recreational motor vehicles, such as motor homes and snowmobiles, which shall be considered in accordance with Section 50461.
(2) Boats, campers and trailers, which shall be considered in accordance with Section 50463.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50471. Musical Instruments.
Note     •     History

All musical instruments shall be exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50473. Livestock and Poultry.
Note     •     History

(a) Livestock and poultry retained primarily for personal use shall be exempt.
(b) The net market value of livestock and poultry retained primarily for profit shall be included in the property reserve except to the extent exempt as business property in accordance with Section 50485.
(c) The net market value of livestock and poultry shall be the net market value listed by the applicant or beneficiary on the Statement of Facts, unless the county department determines further verification is required. If verification is required:
(1) The applicant or beneficiary shall submit three appraisals from persons or businesses dealing in livestock and poultry. The average of these appraisals shall be the market value.
(2) Subtract any encumbrances of record from the market value. This is the net market value.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 12305 and 12305.5, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 5-17-79 as an emergency; effective upon filing (Register 79, No. 20).
2. Certificate of Compliance filed 9-12-79 (Register 79, No. 37).
§50475. Life Insurance.
Note     •     History

Life insurance policies, except term insurance, owned by a member of the MFBU on the life of any individual in the family shall be exempt if the combined face value of all of the policies on the insured individual is $1,500 or less. If the combined face value of all of the policies exceeds $1,500, the net cash surrender value of life insurance policies shall be included in the property reserve.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
2. Editorial correction of printing error (Register 89, No. 16).
§50476. Burial Insurance.
Note     •     History

Burial insurance with no cash surrender value shall be exempt. Burial insurance with a cash surrender value shall be considered a revocable burial fund and shall be treated as provided for in section 50479.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11158, 12152 and 14006, Welfare and Institutions Code; and Section 416.1231, Title 20, Code of Federal Regulations.
HISTORY

1. New section filed 3-7-80 as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-6-80.
2. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
3. Amendment filed 5-29-91; operative 6-28-91 (Register 91, No. 31).
§50477. Burial Plots, Vaults and Crypts.
Note     •     History

(a) Any burial plot, vault or crypt retained by the applicant or beneficiary for use by any member of the family shall be exempt. For the purposes of this section only, the family shall include the applicant or beneficiary, his/her spouse, adult or minor children (including adopted and stepchildren), siblings, parents, adoptive parents, and the spouses of those individuals.
(b) The net market value of any burial plot not exempted above is other real property and shall be subject to all conditions placed on other real property in these regulations.
(c) The net market value of any burial vault or crypt not exempted above is personal property and shall be included in the property reserve.
(d) The net market value of a burial plot, vault or crypt shall be the net market value listed by the applicant or beneficiary on the Statement of Facts, unless the county department determines further verification is required. If verification is required:
(1) The applicant or beneficiary shall submit a statement of value from the organization from which the plot, vault or crypt was purchased. This statement of value shall be the market value.
(2) Subtract encumbrances of record from the market value. This is the net market value.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11158, 12152 and 14006, Welfare and Institutions Code; and Section 416.1231, Title 20, Code of Federal Regulations.
HISTORY

1. Editorial corrections adding NOTE filed 6-11-83 (Register 83, No. 24).
2. Amendment of subsection (a) filed 5-29-91; operative 6-28-91 (Register 91, No. 31).
§50479. Burial Funds.
Note     •     History

(a) All of the following burial funds for an individual shall be exempt.
(1) Money or securities placed in an irrevocable trust for funeral, cremation, or interment expenses with the following trustees: any banking institution or trust company empowered by the State of California to act as trustee in the handling of trust funds, cemetery authority which has established an endowment care fund, or not less than three persons one of whom may be in the employ of a funeral director.
(2) Money or securities placed in an irrevocable trust created by the deposit in an insured savings institution made by one person of his or her own money in his or her own name as trustee for a funeral director to provide payment for funeral services rendered by the funeral director upon the depositor's death.
(3) Life or burial insurance purchased specifically for funeral, cremation, or interment expense, which is placed in an irrevocable trust or which has no loan or surrender value available to the recipient.
(4) Securities issued by a licensed cemetery authority which by their terms are convertible only into payment for funeral, cremation, or interment expenses.
(b) The first $1,500 paid for designated burial funds for funeral, cremation or interment expenses for an individual shall be exempt when the fund is revocable.
(c) Designated burial funds include burial trusts, prepaid burial contracts, burial insurance, annuities or any separately identifiable assets which are clearly designated as set aside for the expenses connected with the individual's burial, cremation, or other funeral arrangements.
(d) Interest earned on or appreciation in value of either an exempt burial fund described in subsection (a), above or revocable designated burial fund described in subsections (b) and (c), above shall be exempt if it is left to accumulate and become part of the separately identifiable burial fund.
(e) The amount of designated burial funds which are not exempt shall be included in the property reserve.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11158 and 14006, Welfare and Institutions Code; Section 1396a(r)(2), Title 42, United States Code; and Sections 416.1201 and 416.1231, Title 20, Code of Federal Regulations.
HISTORY

1. Amendment filed 3-7-80 as an emergency; effective upon filing (Register 80, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-6-80.
2. Certificate of Compliance filed 6-6-80 (Register 80, No. 23).
3. Amendment filed 5-29-91; operative 6-28-91 (Register 91, No. 31).
4. Amendment of section heading, section and Note filed 10-25-95; operative 11-24-95 (Register 95, No. 43).
§50481. Disaster and Emergency Assistance Payments.
Note     •     History

Disaster and emergency assistance payments, regardless of the date of receipt, and any interest earned from such payments, shall be permanently exempt and shall not be included in the property reserve. This exemption applies only to such payments received from federal, state, or local government agencies, or disaster assistance organizations.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code; and 42 U.S.C. Sections 1382a(b)(11) and (12), 1382b(a)(6), 1396a(a)(10), 5121 et seq. and 5155(d).
HISTORY

1. New section filed 10-5-93; operative 11-4-93 (Register 93, No. 41).
2. Editorial correction of Note (Register 97, No. 15).
§50483. Loans.
Note     •     History

(a) Loans shall be exempt as property in the month in which they are any of the following:
(1) Exempt as income in accordance with Section 50533.
(2) Treated as income in the month of receipt because no repayment is required.
(b) Loans which require repayment, except those exempted in (a)(1), shall be included in the property reserve beginning in the month of receipt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-17-79 as an emergency; effective upon filing (Register 79, No. 38). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 1-15-80.
2. Certificate of Compliance transmitted to OAH 1-8-80 and filed 1-16-80 (Register 80, No. 3).
§50485. Business Property.
Note     •     History

(a) Equipment, inventory, licenses and materials owned by the applicant or beneficiary which are necessary for employment, for self-support or for an approved plan of rehabilitation or self-care necessary for employment shall be exempt.
(1) Equipment, inventory, licenses and materials shall be considered necessary for employment if either of the following conditions is met:
(A) The applicant's or beneficiary's employer requires that the applicant or beneficiary provide this property as a condition of employment.
(B) The applicant or beneficiary is currently unemployed but has been required to use this property for employment in the past and can provide reasonable evidence that the applicant or beneficiary is actively seeking employment which will require the use of the same property. This property shall be exempt for a maximum of one year from the date the beneficiary became unemployed if this condition is met.
(2) Equipment, inventory, licenses and materials shall be considered necessary for self-support if the applicant or beneficiary obtains a reasonable rate of return from the use of this property.
(A) A business or means of self-support that has been in existence for more than one year shall be considered to be realizing a reasonable rate of return if it is earning an annual net income equal to six percent of the net market value of the property. Net income shall be determined in accordance with Sections 50505 and 50517(a)(5).
(B) A business or means of self-support that has been in existence for more than one year and is not earning net income equal to six percent of the net market value of the property shall be considered to be providing a reasonable rate of return for a maximum of six months if the applicant or beneficiary can show by objective evidence that the property will begin earning six percent within six months.
(C) A business or means of self-support shall not be required to realize any actual income during the first year of operation in order to meet the requirement for realizing a reasonable rate of return.
(D) A business or means of self-support that has been in existence for more than one year and is resumed after an illness, or a period of convalescence from an illness or injury, shall not be required to realize any actual income during the first six months of resumed operation in order to meet the requirement for realizing a reasonable rate of return.
(E) A business or means of self-support that has provided the applicant or beneficiary with income in the past shall be considered to be providing a reasonable rate of return for a maximum of one year during a period when it is not in operation if the applicant or beneficiary can provide evidence that both of the following conditions are met:
1. The business or means of self-support is not in operation due to reasons beyond the applicant's or beneficiary's control.
2. Operation will be resumed within one year of the date operation ceased.
(3) Equipment, inventory, licenses and materials shall be considered necessary for an approved plan of rehabilitation or self-care necessary for employment if the county department determines that the property is necessary for any of the following:
(A) Training which will lead to employment or self-support.
(B) Future employment or a means of self-support that will result from a plan of rehabilitation established by the county or the Department of Rehabilitation.
(C) Employment or a means of self-support that will continue after a period of illness or a period of convalescence or both.
(b) Motor vehicles shall be considered equipment only if used for employment or for a means of self-support other than for commuting to and from work.
(c) Cash on hand and money in checking accounts necessary for the functioning of a business or a means of self-support shall be exempt up to a maximum of three times the average monthly cash expenditures of the business.
(d) Real property used in whole or in part as a business or as a means of self-support shall be considered other real property in accordance with Section 50427.
(e) Stocks, bonds and other similar items of personal property shall not be considered property necessary for employment or self-support even in those instances where the beneficiary holds stock in the corporation in which the beneficiary is employed.
(f) A person who owns equipment, inventory, licenses and materials for self-support shall not be required to be personally involved in the business or means of self-support in order for the property to be exempt under (a).
(g) The net market value of business equipment, inventory, licenses and materials shall be the amount listed by the applicant or beneficiary on the Statement of Facts, unless the county department determines that Sections 50442 through 50489 provide a method of valuing the specific item of property or that further verification is required.
(1) If any of the sections between Sections 50442 and 50489 can be applied as a method of valuing the specific item of property that method shall be used.
(2) If the county determines that further verification is required and Sections 50442 through 50489 do not apply:
(A) The applicant or beneficiary shall submit an appraisal from an appropriate dealer, insurance adjuster or personal property appraiser. The value listed on the appraisal shall be the market value.
(B) The county shall subtract encumbrances of record from the market value. This is the net market value.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11155, 12305, 12305.5, and 14006, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-17-79 as an emergency; effective upon filing (Register 79, No. 20).
2. Certificate of Compliance filed 9-12-79 (Register 79, No. 37).
3. Amendment filed 1-16-80; effective thirtieth day thereafter (Register 80, No. 3).
§50487. Stocks Held by Natives of Alaska.
Note     •     History

Shares of stock in a regional or village corporation held by natives of Alaska for a 20 year period during which such stock cannot be conveyed, transferred or surrendered, shall be exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-11-83 (Register 83, No. 24).
§50489. Trusts--General.
Note     •     History

(a) Property and income held in trust for the benefit of an individual or individual's spouse shall be treated in accordance with Sections 50489 through Section 50489.9. These sections shall supersede any other section(s) of this article.
(b) For purposes of sections 50489 through 50489.9, the following definitions apply:
(1) “Annuitant” means a person who has the right to receive payments from an annuity. The annuity shall be annuitized based upon the life expectancy of the annuitant.
(2) “Annuitized” means that an annuity is paying a fixed, equal amount to the annuitant on a periodic basis. Payments shall be no less frequent than monthly over a number of years equal to or less than the annuitant's life expectancy as indicated in life expectancy tables provided by the Secretary for the Department of Health and Human Services, contained in Section 3258.9 (Revision 64), Part 3 of the Health Care Financing Administration's State Medicaid Manual and titled “Life Expectancy Table--Males and Life Expectancy Table--Females”. The final annuity payment may be for an amount less than the previously fixed annuity payments in order to fully exhaust benefits under the annuity. An annuity shall be considered annuitized even though it may provide an annual cost of living adjustment equal to or less than 5%.
(3) “Annuity” means a contract to make periodic payments of a fixed or variable sum paid to an annuitant which are payable unconditionally. Annuity payments may continue for a fixed period of time or for as long as an annuitant lives. An annuitant purchases an annuity with his or her property or property rights. Annuities shall be established to provide the annuitant with payments representing principal and interest which are more than the fair market value of the property used to purchase the annuity. Annuities purchased prior to August 11, 1993, other periodic payment plans, or annuities that are purchased with property rights belonging to someone other than the Medi-Cal applicant/beneficiary or spouse shall continue to be treated in accordance with Title 22, Section 50402 and Article 10 of this chapter.
(4) “Assets” shall mean all income and property of the individual or the individual's spouse, including income or property which the individual or spouse is entitled to, but does not receive because of circumstances brought about by:
(A) the individual or the individual's spouse, or
(B) any other individual or entity, including a court or administrative body, with legal authority to act in place of, or on behalf of, the individual or the individual's spouse, or
(C) any other individual or entity, including any court or administrative body, acting at the direction or upon the request of the individual or the individual's spouse.
(5) “Beneficiary” means any individual or individuals designated in the trust instrument as benefiting in some way from the trust.
(6) “Date of establishment” means the date the trust document (in the case of a trust), annuity purchase agreement (in the case of an annuity), or other creating document (in the case of a similar legal device) is signed and dated. A trust is not considered to be established on the date it has been amended.
(7) “Irrevocable trust” means a trust which cannot be revoked by its own terms or a trust deemed to be irrevocable under State law.
(8) “Revocable trust” means a trust which can be revoked by its own terms or a trust deemed to be revocable under State law.
(9) “Similar legal device” (SLD) means any legal instrument, device or arrangement that involves the transfer of assets from an individual or entity (transferor) to another individual or entity (transferee) with the intent that the assets be held, managed, or administered by an individual or entity for the benefit of the transferor or certain other individuals. SLDs also include annuities purchased on or after August 11, 1993.
(10) “Trust” means any arrangement in which an individual or entity (trustor) transfers assets to a trustee with the intent that the assets be held, managed, or administered by the trustee(s) for the benefit of the trustor or certain designated individuals (beneficiaries). The trust must be valid under State law. The term “trust” also includes any legal instrument or device similar to a trust as described in subsection (b)(9) of this section.
(11) “Trustee” means any individual(s), entity, trust advisory committee, or individual(s) with power of appointment, who manages, holds, or administers a trust for the trust beneficiary or beneficiaries.
(12) “Trustor” means an individual who creates a trust. A trustor is also known as the “settlor” or “grantor”.
(c) For purposes of this article, trusts shall be classified in three ways:
(1) Medicaid Qualifying Trusts (MQT): A trust established prior to August 11, 1993, as described in Section 50489.1.
(2) OBRA 93 Trusts: A trust established on or after August 11, 1993 as described in Section 50489.5.
(3) Other Trusts: A trust other than those described in subsections (c)(1) or (c)(2) of this section.
(d) Placement of assets in, or distributions from, a trust other than a burial trust which is exempt pursuant to Section 50479 shall be considered a transfer of assets.
(e) Verification of trusts shall be performed by the county in accordance with subsections (e)(1) and (e)(2) of this section.
(1) A written trust shall be verified by examining the trust documents and any other related documents.
(2) An oral trust shall be verified by written affidavit and by any other related documents. Affidavits shall be dated and signed under penalty of perjury, and shall specify the terms of the oral agreement. Real property cannot be held in an oral trust. Oral trusts which are held in financial institutions are subject to Section 50402.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.7, 14006 and 14015(a), Welfare and Institutions Code; and Sections 1396a(r)(2)(A) and 1396p(c), (d) and (e), Title 42, United States Code.
HISTORY

1. Repealer and new section filed 4-6-94; operative 5-6-94 (Register 94, No. 14).  For prior history, see Register 87, No. 30.
2. Repealer and new section filed 1-28-98; operative 1-28-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 5).
§50489.1. Medicaid Qualifying Trusts.
Note     •     History

(a) Pursuant to Title 42, U.S.C., Section 1396a(k) as it existed prior to repeal, a Medicaid Qualifying Trust (MQT):
(1) Is one which was established prior to August 11, 1993, other than by will, by an individual or the individual's spouse, or by the individual's guardian, conservator, or legal representative who is acting on the individual's behalf; and which
(2) Provides that the individual or the spouse may receive all or part of the income or principal of the trust that is dispersed directly or to another person or entity on behalf of that individual; and which
(3) Gives the trustee(s) discretion in distributing funds to the individual, to the spouse, or to another person or entity on behalf of that individual; and
(4) Is not described in Section 50489.9, and
(5) May be revocable or irrevocable, and
(6) May be established to enable the individual or the spouse to qualify for Medi-Cal.
(b) For purposes of this section, “individual” means a person or spouse who establishes an MQT and who is a beneficiary of the MQT.
(c) Property in an MQT is available as specified below:
(1) If the MQT is revocable, it shall be available.
(2) If the MQT is irrevocable then:
(A) Any amount distributed from the principal of the MQT to the individual, to the spouse, or to another person or entity on behalf of that individual or spouse shall be available property.
(B) Any amount distributed from the income of the MQT to the individual, to the spouse, or to another person or entity on behalf of that individual or spouse shall be considered income and shall be subject to Article 10 of this chapter.
(C) The maximum amount that the trustee(s) could distribute to the individual, to the spouse, or to another person or entity on behalf of that individual or spouse from trust principal shall be considered available property. The maximum amount is the amount the trustee(s) may distribute if the trustee(s) were to exercise full discretion under the terms of the MQT.
(D) The maximum amount that the trustee(s) may distribute to the individual, to the spouse, or to another person or entity on behalf of that individual or spouse from trust income if the trustee(s) were to exercise full discretion under the terms of the MQT is available income and is subject to Article 10 of this chapter.
(E) Any amount of trust principal for which the trustee(s) has no discretion to release to the individual, to the spouse, or to another person or entity on behalf of that individual or spouse shall be considered transferred property. The date of the transfer shall be the date the trust was established, the date the trust receives the property, or the date disbursement is foreclosed, whichever is the most recent.
(F) Any amount of trust income for which the trustee(s) has no discretion to release to the individual, to the spouse, or to another person or entity on behalf of that individual or spouse shall be considered transferred assets. The date of the transfer shall be the date trust disbursement is foreclosed, or the date the trust receives income, whichever is the most recent. Transfers of income occurring prior to August 11, 1993, shall not be considered.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.7, 14006 and 14015(a), Welfare and Institutions Code; and Sections 1396a(r)(2)(A) and 1396p(c), (d) and (e), Title 42, United States Code.
HISTORY

1. New section filed 1-28-98; operative 1-28-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 5).
§50489.5. OBRA 93 Trusts Established On or After August 11, 1993.
Note     •     History

(a) An OBRA 93 trust:
(1) Is established, in part or in whole, with assets of an individual or individual's spouse, on or after August 11, 1993, other than by will; and
(2) Is not described in Section 50489.9, and
(3) Shall be treated in accordance with the remainder of this section.
(b) The provisions of this section shall apply to OBRA 93 trusts without regard to:
(1) the purposes for which the trust is established,
(2) whether the trustee(s) has, or exercises, any discretion under the terms of the trust,
(3) restrictions on when, or whether, distributions may be made from the trust, or
(4) restrictions on the use of trust assets or distributions.
(c) The provisions of this section shall apply to any OBRA 93 trust if it was established by any of the following:
(1) the individual, or
(2) the individual's spouse, or
(3) any other person or entity, including a court or administrative body, with legal authority to act in place of, or on behalf of, the individual or the individual's spouse, regardless of whether that person or entity claims to be acting in such a capacity at the time of the action, or
(4) any other person or entity, including any court or administrative body, acting at the direction, or upon the request of, the individual or the individual's spouse.
(d) In the case of an OBRA 93 trust which includes the assets of someone other than the individual or the individual's spouse, the provisions of this section shall apply only to that portion of the trust containing the assets of the individual or the individual's spouse.
(e) In the case of a revocable OBRA 93 trust:
(1) trust income and principal shall be considered property available to the individual who has the right, power, and authority to revoke the trust and to use the proceeds, and
(2) payments from the trust to, or for the benefit of, the individual or spouse shall be considered income of that individual or spouse in accordance with Article 10 of this chapter, and
(3) if payments are made to any person or entity, other than the individual or spouse, for any purpose other than for the benefit of the individual or spouse, those payments shall be considered transferred assets as of the date of payment.
(f) In the case of an irrevocable OBRA 93 trust:
(1) if payment(s) can be made from the trust to, or for the benefit of, the individual or spouse at any time or under any circumstances, the portion of the trust income or principal from which payment(s) to the individual or spouse could be made shall be considered property available to that individual or spouse,
(2) if payment(s) from the trust income or principal is made to, or for the benefit of, the individual or spouse, the payment(s) shall be considered income of that individual or spouse, in accordance with Article 10 of this chapter,
(3) if payment(s) is made from the trust income or principal for any other purpose, the payment(s) shall be considered a transfer of assets by the individual or spouse as of the date of payment, and
(4) if any portion of the trust income or principal from which payment cannot be made to, or for the benefit of, the individual or spouse, then that portion shall be considered a transferred asset. The value of the assets transferred shall include the amount of assets used to establish the trust and any assets added to that portion. Payments which have been made from that portion of the trust shall not be deducted from the value of the assets transferred. The date of transfer shall be the date the trust was established, the date the trust receives the asset or the date disbursement is foreclosed, whichever is most recent.
(g) In the case of an annuity:
(1) Payments shall be considered income in accordance with Article 10 of this chapter, and
(2) Section 50402 shall apply only to the extent that it is not inconsistent with subsections (g)(2)(A)-(g)(2)(D) of this section.
(A) The undistributed balance of the annuity shall be considered unavailable if the annuity contract is annuitized upon the life expectancy of the individual or spouse or for a shorter period of time.
(B) The life expectancy of the annuitant shall be determined in accordance with life expectancy tables specified by the Secretary of the Department of Health and Human Services, contained in Section 3258.9 (Revision 64), Part 3 of the Health Care Financing Administration's State Medicaid Manual and titled “Life Expectancy Table--Males and Life Expectancy Table--Females”.
(C) Any payment scheduled to occur beyond the life expectancy of the individual or spouse as determined in accordance with subsection (g)(2)(B) of this section shall be considered a transfer of assets.
(D) Any payment made to, or set aside for, another individual (other than for the sole benefit of the spouse), shall be considered a transfer of assets.
(h) The county must consider whether undue hardship exists before eligibility may be denied under this section. Eligibility shall not be denied based upon the provisions of this section if undue hardship is found to exist. The provisions of this section shall be waived if the application of these provisions would work an undue hardship. If undue hardship, in accordance with the provisions of this subsection, is considered and found not to apply, the county shall state that on the notice of action. For purposes of this section, undue hardship exists when all of the conditions in subsections (h)(1) through (h)(4) of this section exist or when the conditions in subsections (h)(5) or (h)(6) of this section exists. The county shall notify the individual that undue hardship is being considered prior to denying eligibility to any individual under this section.
(1) The trust assets cannot, under any circumstances, be used to provide for the health care or medical needs of the Medi-Cal applicant or Medi-Cal beneficiary, and
(2) Health care cannot be obtained from, and medical needs cannot be met by, any source other than Medi-Cal without depriving the individual of food, clothing or shelter or other necessities of life, and
(3) The individual's parents (if the individual is under 21) or the individual's spouse, cannot provide for the health care and medical needs or health care coverage of the individual without depriving themselves of food, clothing or shelter or other necessities of life, and
(4) The courts have denied a good faith petition to release the trust assets to pay for the required medical care.
(A) A petition to release the trust assets shall not be considered a valid good faith petition if the petition contains language which suggests or requests that the courts do anything other than release the trust assets needed to pay for the required medical care.
(B) The counties shall verify that the criteria contained in subsections (h)(4) and (h)(4)(A) of this section, concerning a valid good faith petition and court order exist by examining the petition and the court order.
(C) Subsection (h)(4) of this section does not apply to an annuity.
(5) No person shall be made ineligible to the extent the trust contains otherwise exempt income or property.
(6) No person shall be made ineligible due to the application of subsection (g) of this section, concerning an annuity purchased prior to March 1, 1996 when the annuity cannot be annuitized to comply with the provisions of subsection (g) of this section. Any annuity purchased prior to March 1, 1996 which cannot be annuitized to comply with the provisions of subsection (g) of this section, shall continue to be considered in accordance with Section 50402.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.7, 14006 and 14015(a), Welfare and Institutions Code; and Sections 1396a(r)(2)(A) and 1396p(c), (d) and (e), Title 42, United States Code.
HISTORY

1. New section filed 1-28-98; operative 1-28-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 5).
§50489.9. Trusts Other than Those Described in 50489.1 or 50489.5.
Note     •     History

(a) Trusts described in subsections (a)(1) through (a)(4) of this section, shall be considered available in accordance with subsection (b) of this section:
(1) Trusts that are not described in Section 50489.1 or Section 50489.5.
(2) Any trust established prior to April 7, 1986, which benefits no one other than a mentally retarded person who resides in an intermediate care facility for the mentally retarded.
(3) A trust established on or after August 11, 1993, which meets all of the following conditions:
(A) A trust, or portion of a trust, that contains the assets of an individual or spouse who was both disabled as verified in accordance with Section 50167(a)(1) and under the age of 65 when the trust was established and who is currently disabled whether or not he/she is age 65 or over, and
(B) A trust that is established for the benefit of the disabled individual or disabled spouse in subsection (a)(1)(A) of this section by a parent, grandparent, legal guardian of the individual, or a court, and where
(C) The State receives all remaining funds in the trust, or respective portion of the trust, upon the death of the individual or spouse or upon termination of the trust up to an amount equal to the total medical assistance paid on behalf of that individual by the Medi-Cal program. A trust, or respective portion of the trust, will still be considered for the benefit of the individual or spouse if the trust permits funds to be used for other purposes when the trust's terms permit such use only after payment of the State's interest pursuant to this subsection.
(4) A trust established on or after August 11, 1993, which meets all the conditions listed in subsections (a)(4)(A) through (a)(4)(F) of this section:
(A) the trust contains the assets of the individual or spouse who is disabled as verified in accordance with Section 50167(a)(1), and
(B) the trust is established and managed by a nonprofit association, and
(C) a separate account is maintained for each trust beneficiary, but for purposes of investment and management of funds, the trust pools these accounts, and
(D) the accounts in the trust are established, except for purposes of subsection (a)(4)(E) of this section, solely for the benefit of the disabled individual or disabled spouse, as defined in subsection (a)(4)(F) of this section, by the disabled individual or disabled spouse, his or her parents, his or her grandparents, or the legal guardian of that individual, or by a court, and
(E) the State receives, upon the death of the disabled individual or disabled spouse, all funds remaining in the individual's account, up to an amount equal to the total amount of medical assistance paid on behalf of that individual by the Medi-Cal program. The State shall receive this amount only to the extent that funds remain in that individual's account and are not retained by the trust to cover management and investment fees associated with that account.
(F) In determining whether an account may be considered solely for the benefit of the disabled individual or disabled spouse, both subsections (a)(4)(F)(1) and (a)(4)(F)(2) of this section shall apply.
(1) Except in accordance with subsection (a)(4)(E) of this section, the account funds must benefit no one other than the disabled individual or disabled spouse for whose benefit the account was established before the State's interest has been satisfied pursuant to subsection (a)(4)(E) of this section.
(2) If the trust permits funds to be used for any purpose other than for the sole benefit of the disabled individual or disabled spouse for whose benefit the trust or account was established, before the State's interest has been satisfied pursuant to subsection (a)(4)(E) of this section, the account will not be considered solely for the benefit of that individual or spouse. Such accounts shall be treated pursuant to Section 50489.5. An account will still be considered for the sole benefit of the individual or spouse if the trust permits funds to be used for other purposes when the trust's terms permit such use only after payment of the State's interest pursuant to subsection (a)(4)(E) of this section.
(b) Trusts described in subsections (a)(1) of this section through (a)(4) of this section, shall be considered available as specified in subsections (b)(1) and (b)(2) of this section.
(1) If the trust is revocable, trust income and principal shall be considered available to the person who has the right, power, and authority to revoke the trust and to use the proceeds.
(A) Trust income is income, and is subject to Article 10 of this chapter. If trust income is not distributed in the month of receipt, it is available property.
(B) Trust principal is available property.
(2) If the trust is irrevocable, the trust assets are not available until distributed.
(c) Any augmentations or additions made to a trust described in subsection (a)(3) of this section or subsection (a)(4) of this section after the disabled individual or disabled spouse for whose benefit the trust was established reaches the age of 65 shall be considered a transfer of assets for less than adequate consideration; earlier augmentations or additions shall not be considered transferred for less than adequate consideration.
(d) In the case of a trust described in subsection (a)(3) of this section or (a)(4) of this section, to ensure that the Department recovers the costs of medical care it provided, the Department's Third Party Liability Branch shall be notified
(1) by the county, whenever the county becomes aware of a Medi-Cal applicant or Medi-Cal beneficiary who is a trust beneficiary, and
(2) by the trustee, upon death of the trust beneficiary, termination of the trust, or change of trustee.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.7, 14006 and 14015(a), Welfare and Institutions Code; and Sections 1396a(r)(2)(A) and 1396p(c), (d) and (e), Title 42, United States Code.
HISTORY

1. New section filed 1-28-98; operative 1-28-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 5).
Article 10. Income
§50501. Income--General.
Note     •     History

(a) Income includes benefits in cash or in kind from:
(1) Labor.
(2) Services provided.
(3) Business activities.
(4) Returns from real or personal property.
(5) Contributions.
(6) Other similar sources.
(b) Income from sources listed in (a) shall be considered as income only if it is currently available in accordance with Sections 50513 through 50517.
(c) Income from sources listed in (a) shall be divided into three types:
(1) Gross earned income as described in Section 50503.
(2) Gross unearned income as described in Section 50507.
(3) Income in kind as described in Section 50509.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14005.9 and 14005.12, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50503. Gross Earned Income.
Note     •     History

(a) Gross earned income includes:
(1) Wages, including amounts designated for meals provided by an employer or business enterprise, salaries, bonuses and commissions from an employer or business enterprise.
(2) Net profits from self-employment as determined in accordance with Section 50505.
(3) Earnings under Title 1 of the Elementary and Secondary Education Act.
(4) Payments under the Job Training Partnership Act (JTPA). Payments which are identified by the local JTPA office as an incentive payment or training allowance shall be considered as gross unearned income.
(5) Payments under the Economic Opportunity Act.
(6) Training incentive payments and work allowances under ongoing manpower programs other than WIN or JTPA.
(7) Income received for having provided IHSS services.
(8) Net income from real or personal property as determined in accordance with Section 50508 which is the result of continuous and appreciable effort on the part of the applicant or beneficiary. This includes income from:
(A) Room and board.
(B) The rental of rooms which requires daily effort on the part of the beneficiary.
(C) A business enterprise.
(D) The sale of produce, livestock, poultry, dairy products and other similar items.
(9) Earnings from public service employment.
(10) Actual Earned Income Tax Credit (EITC) payment received for taxable year 1980 and thereafter whether received as a tax refund or received as an advance payment.
(11) Tips actually received for the performance of work activities, notwithstanding the amount calculated by the employer for tax withholding purposes.
(12) For purposes of applying Sections 50543, 50553.1, 50553.3, 50553.5 of Title 22 of the California Code of Regulations to AFDC-MN or MI persons, Temporary Workers Compensation payments which are (i) employer funded, (ii) made to an individual who remains employed during recuperation from a temporary illness or injury pending his/her return to the job, and (iii) are specifically characterized under State law as temporary wage replacements.
(13) For purposes of applying Sections 50543, 50553.1, 50553.3, 50553.5 of Title 22 of the California Code of Regulations to AFDC-MN or MI persons, State Disability Insurance payments.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Sawyer v. Anderson, Belshé, et al., U.S. District Court, EDCA, No. CIV S-94-0228 GEB JFM; and Tinoco v. Belshé, U.S. District Court, NDCA, No. C94 0947 WHO. Reference: Sections 14005.4, 14005.7 and 14005.8, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
2. New subsections (a)(10) and (b) filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85.
3. Certificate of Compliance as to 4-15-85 order transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
4. Amendment filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
5. New subsections (a)(12) and (a)(13) and amendment of Note filed 3-11-97; operative 4-10-97 (Register 97, No.11).
§50505. Net Profit from Self-Employment.
Note     •     History

(a) The net profit from self-employment shall be an estimation of the annual net income for the current year based on the federal tax return filed for the previous year as limited by (c). 
(b) If there is no tax return for the previous year or there is evidence that using the tax return would give an inaccurate estimation of income, the county department shall use current business records. In this circumstance, net profit shall be determined in accordance with (d) and (e).
(c) The following expenses, when used to determine annual net income on the federal tax return, shall not be deducted:
(1) Entertainment costs.
(2) Depreciation.
(3) Purchase of capital equipment expenditures.
(4) Payments on the principal of loans for capital assets or durable goods.
(d) Net profit of a self-employed person shall be determined by subtracting from the gross business income, expenses which are directly related to the production of goods or services, and without which the goods or services could not be produced. Such expenses include, but are not limited to:
(1) Transportation costs to call upon customers or deliver goods.
(2) Payments of the interest of loans for capital assets or durable goods.
(3) Payments for rental of space or equipment.
(4) Wages and other benefits paid to employees.
(5) Material and supply costs.
(6) Maintenance and repair costs.
(e) Personal expenses such as income tax payments, lunches and transportation to and from work are not classified as business expenses and shall not be deducted.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14005.9 and 14005.12, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24). 
2. Amendment filed 4-17-89; operative 5-17-89 (Register 89, No. 48). 
§50507. Gross Unearned Income.
Note     •     History

(a) Gross unearned income includes:
(1) Old age, survivors and disability insurance payments from the Social Security Administration (OASDI).
(2) Annuities, which are sums paid yearly or at other specific intervals in return for payment of a fixed sum by the annuitant.
(3) Pensions.
(4) Retirement payments.
(5) Disability payments except for the State Disability Insurance benefits considered to be earned income under Section 50503(a)(13) of this Title.
(6) Veterans payments which include:
(A) Pensions based on need.
(B) Compensation payments.
(C) Educational assistance.
(7) Workers' Compensation payments, except for any amount determined to be unavailable in accordance with Section 50515, and except for Temporary Workers Compensation payments considered to be earned income under Section 50503(a)(12) of this Title.
(8) Railroad Retirement and any other payments made by the Railroad Retirement Board.
(9) Unemployment Insurance Benefits.
(10) Proceeds from a life insurance policy which are in excess of the lesser of:
(A) $1,500.
(B) The amount expended on the insured person's last illness and burial expenses.
(11) Other insurance payments.
(12) Loans which do not require repayment.
(13) Gifts.
(14) Non-exempt child/spousal support, whether provided voluntarily or by court order.
(15) Inheritances which are in the form of cash, securities or other liquid assets.
(16) Contributions from any source.
(17) Prizes and awards.
(18) Net income from the rental of real or personal property which is not considered gross earned income in accordance with Section 50503(a)(8).
(19) Dividends.
(20) Interest payments from any source, including trust, trust deeds and contracts of sale.
(21) Royalties, including but not limited to payments to a holder of a patent or copyright, for the use of the invention, or to the owner of a mine, oil well or similar holdings, for the extraction of the product or other use.
(22) Income of a PA or Other PA recipient which is not used to determine the recipient's eligibility.
(23) Incentive payments or training allowances under JTPA.
(24) Any other income which is available to meet current needs in accordance with Section 50513.
(25) Any of the items specified in (10) through (24) if received in a lump sum payment.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Sawyer v. Anderson, Belshé, et al., U.S. District Court, EDCA, No. CIV S-94-0228 GEB JFM; and Tinoco v. Belshé, U.S. District Court, NDCA, No. C94 0947 WHO. Reference: Sections 14005.4, 14005.7 and 14005.8, Welfare and Institutions Code.. Reference: Sections 14005.4, 14005.7, 14005.8 and 14006, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a)(1), (a)(12) and (a)(22) filed 9-17-79 as an emergency; effective upon filing (Register 9, No. 38). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 1-15-80.
2. Certificate of Compliance transmitted to OAL 1-8-80 and filed 1-16-80 (Register 80, No. 3).
3. Amendment of subsection (a)(14) and new subsection (b) filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85.
4. Certificate of Compliance including amendment of subsection (a) transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
5. Amendment filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
6. Amendment of subsection (a)(6) filed 2-16-88 as an emergency; operative 2-16-88 (Register 88, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-88.
7. Emergency language filed 2-16-88 repealed by operation of Government Code Section 11346.1 (Register 88, No. 27).
8. Amendment of subsection (a)(6) refiled 6-22-88 as an emergency; operative 6-22-88 (Register 88, No. 27). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-20-88.
9. Certificate of Compliance transmitted to OAL 6-20-88 and filed 7-15-88 (Register 88, No. 31).
10. Amendment of  subsections (a)(5) and (a)(7) and amendment of Note filed 3-11-97; operative 4-10-97 (Register 97, No.11).
§50508. Net Income from Property.
Note     •     History

(a) Net income from property shall be considered in determining share of cost and shall be computed as follows:
(1) If the income is from the rental of real property, subtract the following expenses, as limited by (b), from the gross income:
(A) Taxes and assessments.
(B) Interest on encumbrance payments. The principal portion of the payments shall not be deducted.
(C) Insurance.
(D) Utilities.
(E) Upkeep and repairs. The amount of this item shall be the greater of the following:
1. The actual amount expended for upkeep and repairs during the month.
2. Fifteen percent of the gross monthly rental plus $4.17 per month.
(2) In determining whether utilization requirements are met in accordance with Section 50416 (a) (1) only the amount specified in (a) (1) (E) 1. shall be deducted rather than the amount specified in (a) (1) (E) 2.
(3) If the income is from the rental of rooms, or the provision of board and room or board and care, which does not require a business license, the net income shall be 10 percent of the gross amount received.
(4) If the income is from the provision of board and room or board and care which requires a business license, or from self-employment, the net income is the net profit from self-employment as determined in accordance with Section 50505.
(5) If the income is from a deed of trust or a mortgage, the net income is the amount specified in Section 50441 (c).
(6) If the income is from property in which the person holds a life estate, the net income is the amount actually received.
(7) If the income is from personal property, the net income is the amount actually received.
(b) If the income is from the rental of unit(s) of a multiple unit dwelling or other dwellings on property that is exempt as the principal residence and the applicant or beneficiary is living in a portion of the property, the expenses specified in (a) which are common to the property as a whole shall be prorated as follows:
(1) Determine the number of rooms in the building. If there is more than one building, determine the number of rooms in all of the buildings together. For the purpose of this section, rooms include any room other than the following:
(A) Bathroom.
(B) Hallway.
(C) Closet.
(D) Unfinished basement, loft or attic.
(2) Determine the number of rooms which are producing the rental income.
(3) Based upon the number of rooms, determine the percentage of the property which is producing the rental income.
(4) Apply the percentage determined in accordance with (3) to the expenses specified in (a) which are common to the property as a whole. This is the amount which shall be subtracted from the gross income.
NOTE

Authority cited: Sections 10725, 14006.1 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7 and 14006, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a)(5) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
3. Amendment of subsection (a)(1) and new subsection (b) filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
4. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§50509. Income in Kind.
Note     •     History

(a) Income in kind is any support or maintenance received in kind from a person other than a responsible relative for:
(1) Housing.
(2) Utilities.
(3) Food.
(4) Clothing.
(b) Income in kind shall be considered as income only if the entire item of need is provided.
(c) The value of free board and lodging received during a temporary absence from the home shall be considered as follows:
(1) If the absence is for one month or less, the income in kind value shall not be considered income.
(2) If the absence is for more than one month, the income in kind value shall be considered income to the extent that it exceeds the actual costs of maintaining the home to which the beneficiary will return.
(d) Income in kind which is received as earned income shall be subject to earned income exemptions and deductions.
(e) Income in kind which is received as unearned income shall be subject to unearned income exemptions and deductions.
(f) Income in kind from a parent shall not be considered in determining the eligibility of a child when any of the following conditions exists:
(1) The child's application is being processed for minor consent services in accordance with Section 50147.1(a)(3)(D).
(2) The child is an unmarried minor parent and the share of cost is being determined for the MFBU that includes the child's children.
(3) The child is an unborn, except that if the mother is receiving income in kind, there is income in kind to the unborn.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. New subsection (f) filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
§50511. Value of Income in Kind.
Note     •     History

(a) The value of the income in kind for the items specified in Section 50509 (a) shall be the lesser of the following:
(1) The actual cost or net market value of the item, or
(2) The income in kind amounts effective July 1, 1981 for housing, utilities (including telephone), food and clothing specified in (d) as adjusted for any increases or decreases in the cost of living specified in (b).
(b) Individual income in kind amounts shall be adjusted by the same percentage increase or decrease that is applied to the AFDC Maximum Aid Payment levels pursuant to Section 11453 Welfare and Institutions Code. Such adjustments shall be effective at the same time as adjustments to the AFDC payment levels become effective as specified in Section 11453, Welfare and Institutions Code.
(c) If one of the items listed in 50509(a) is shared with persons who are not included in the MFBU and who are not responsible for members of the MFBU, the income in kind value to the members of the MFBU shall be the lesser of:
(1) Their share of the net market value or actual cost of the item.
(2) The value determined in accordance with (a) (2).
(d) The income in kind amounts effective July 1, 1981 are as follows:
(1) Housing.

(A) One person MFBU	$111 per month.

(B) Two person MFBU	$150 per month.

(C) Three person MFBU	$163 per month.

(1) Housing.

(A) One person MFBU	$111 per month.

(B) Two person MFBU	$150 per month.

(C) Three person MFBU	$163 per month.

(D) Four person or larger MFBU	$173 per month.

(2) Utilities, including telephone.

(A) One person MFBU	$25 per month.

(B) Two person MFBU	$26 per month.

(C) Three person MFBU	$28 per month.

(D) Four person or larger MFBU	$29 per month.

(3) Food.

(A) One person MFBU	$62 per month.

(B) Two person MFBU	$133 per month.

(C) Three person MFBU	$169 per month.

(D) Four person MFBU	$209 per month.

(E) Five person MFBU	$252 per month.

(F) Six person MFBU	$293 per month.

(G) Seven person MFBU	$327 per month.

(H) Eight person MFBU	$358 per month.

(I) Nine person MFBU	$391 per month.

(J) Ten person or larger MFBU	$424 per month.

(4) Clothing.

(A) One person MFBU	$20 per month.

(B) Two person MFBU	$37 per month.

(C) Three person MFBU	$56 per month.

(D) Four person MFBU	$74 per month.

(E) Five person MFBU	92 per month.

(F) Six person MFBU	$110 per month.

(G) Seven person MFBU	$129 per month.

(H) Eight person MFBU	$144 per month.

(I) Nine person MFBU	$165 per month.

(J) Ten person or larger MFBU	$181 per month.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 32, SB 633, Statutes of 1981, Chapter 69. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-1-77 as an emergency; effective upon filing (Register 77, No. 27).
2. Certificate of Compliance filed 10-27-77 (Register 77, No. 44).
3. Amendment filed 9-25-79 as an emergency; effective upon filing (Register 79, No. 39). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 1-23-80.
4. Certificate of Compliance filed 1-16-80 (Register 80, No. 3).
5. Amendment of subsections (a) and (c) filed 9-30-80 as an emergency; effective upon filing (Register 80, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed 1-30-81.
6. Amendment of subsections (a) and (c) filed 12-3-80; effective thirtieth day thereafter (Register 80, No. 49).
7. Certificate of Compliance as to 9-30-80 order filed 1-27-81 (Register 81, No. 5).
8. Amendment of subsections (a) and (c) filed 10-2-81 as an emergency; effective upon filing (Register 81, No. 40).
9. Certificate of Compliance as to 10-2-81 order transmitted to OAL 1-15-82 and filed 2-1-82 (Register 82, No. 6).
10. Amendment filed 1-13-86; effective thirtieth day thereafter (Register 86, No. 3).
§50512. Ownership of Income.
Note     •     History

(a) Except as specified in (b), income is considered to belong to the person who:
(1) Is named on a negotiable instrument.
(2) Is given cash.
(3) Receives the income in kind.
(b) In the case of a married couple it shall be presumed that each spouse has a one-half community property ownership interest in the total monthly gross earned and unearned income of both spouses providing all of the following conditions exist:
(1) One spouse is in LTC and the other spouse is noninstitutionalized.
(2) There is no break in marital ties.
(3) The LTC spouse receives an amount of income which is greater than the amount of income received by the noninstitutionalized spouse.
(c) The community property ownership presumption in (b) shall be rebuttable by either spouse who provides evidence that all or a portion of the total income is owned separately by one spouse.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 5, Chapter 1221, Statutes of 1985. Reference: Sections 14005.4, 14005.7 and 14005.16, Welfare and Institutions Code; and Sections 687, 5105 and 5110, Civil Code.
HISTORY

1. Renumbering and amendment of former Section 50513(d) to Section 50512 filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86. For prior history, see Register 77, No. 51.
2. Renumbering and amendment of former Section 50513(d) to Section 50512 refiled 3-28-86 as an emergency; effective upon filing (Register 86, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-28-86.
3. Certificate of Compliance including amendment of subsection (b) as to 3-28-86 ordered filed 6-6-86 (Register 86, No. 23). 
. EXPLANATORY NOTE:
1. Approval by OAL of the Certificate of Compliance for the amendment of Section 50512, filed 6-6-86, was made in the absence of a final determination by the Secretary of the United States Department of Health and Human Services pursuant to Section 1116 of the federal Social Security Act that a conflict exists between Section 50512 or Chapter 1221 of the California Statutes of 1985 and any federal statute or regulation.
§50513. Availability of Income.
Note     •     History

(a) Only income which is actually available to meet the needs of a person or family shall be considered in determining that person's or family's share of cost.
(b) Income shall be considered available in the month it is received unless it is:
(1) To be apportioned over time in accordance with Section 50517.
(2) Unavailable in accordance with Section 50515.
(c) Income is considered to be received on the day it becomes available for use by the person.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 5, Chapter 1221, Statutes of 1985. Reference: Sections 14005.4, 14005.7 and 14005.16, Welfare and Institutions Code; and Sections 687, 5105 and 5110, Civil Code.
HISTORY

1. Amendment of subsection (d) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Renumbering and amendment of Section 50513(d) to Section 50512 filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
3. Renumbering and amendment of Section 50513(d) to Section 50512 refiled 3-28-86 as an emergency; effective upon filing (Register 86, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-28-86.
§50515. Unavailable Income.
Note     •     History

(a) Income which is not available to meet current needs of a person or family shall not be considered in determining that person's or family's share of cost. Unavailable income includes, but is not limited to, the following:
(1) That portion of Worker's Compensation and other public or private insurance settlements which is either of the following:
(A) Designated for medical, legal or other such expenses.
(B) Not controlled by the applicant or beneficiary or person acting on his behalf.
(2) That portion of a contribution that is both of the following:
(A) From a person living in the household who has no legal responsibility to support, such as an unrelated adult or an adult child.
(B) Used to meet the actual costs of the contributor's share of the housing, utilities, food and other household costs. If actual costs are unavailable, the amounts specified in Section 50511 shall be used. This shall be the difference between the income-in-kind values for the family size with the person included and excluded.
(3) That portion of the monthly income of a medically needy person residing in a licensed board and care facility which is both of the following:
(A) Paid to the facility for residential care and support.
(B) In excess of the appropriate maintenance need level as determined in accordance with Section 50603.
(4) An advance or a reimbursement from an employer to cover expenses necessary for job performance is unavailable to the extent that the advance or reimbursement does not exceed the actual out-of-pocket costs of the employee.
(b) When a person is in LTC and is in his/her own MFBU in accordance with Section 50377, his/her spouse's share of the community property owned income shall be considered unavailable to the LTC person.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7 and 14005.16, Welfare and Institutions Code.
HISTORY

1. New subsection (a)(3) filed 11-17-83 as an emergency; effective upon filing (Register 83, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-17-84.
2. Certificate of Compliance as to 11-17-83 order transmitted to OAL 3-16-84 and filed 4-17-84 (Register 84, No. 16).
3. New subsection (b) filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
4. New subsection (b) refiled 3-28-86 as an emergency; effective upon filing (Register 86, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-28-86.
5. Certificate of Compliance as to 3-28-86 order filed 6-6-86 (Register 86, No. 23). 
. EXPLANATORY NOTE:
. Approval by OAL of the Certificate of Compliance for the amendment of Section 50515(b), filed 6-6-86, was made in the absence of a final determination by the Secretary of the United States Department of Health and Human Services pursuant to Section 1116 of the federal Social Security Act that a conflict exists between Section 50515(b) or Chapter 1221 of the California Statutes of 1985 and any federal statute or regulation.
6. New subsection (a)(4) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
§50517. Apportionment of Income over Time.
Note     •     History

(a) Income shall be considered available in the month received, unless it is apportioned over time in accordance with the following:
(1) Income earned and received in more than eight but less than twelve months under an annual contract of employment shall be apportioned equally over the period of the contract beginning with the first month of the contract.
(2) Income received more frequently than monthly or semi-monthly shall be converted to monthly income in accordance with (3) if both of the following conditions are met:
(A) The beneficiary wishes to receive Medi-Cal for more than two months.
(B) The beneficiary is to receive the income for a full month.
(3) Income shall be converted to monthly income by the following methods:
(A) Multiply weekly income by 4.33 or 4 1/3.
(B) Multiply income received every two weeks by 2.167 or 2 1/6.
(4) Income received less frequently than monthly shall be converted to monthly income by the following methods.
(A) Divide quarterly income by three.
(B) Divide income received every two months by two.
(5) Income from self-employment, as determined in accordance with Section 50505, shall be determined on an annual basis and apportioned monthly.
(6) Loans which do not require repayment and are not exempt in accordance with Section 50533, and which specify that they are to cover a certain period of time shall be apportioned over that period of time.
(7) Interest income from a deed of trust or contract of sale shall be determined on an annual basis and apportioned monthly.
(8) Interest income which is received less frequently than monthly and is not exempt as specified in Section 50542 shall be apportioned as follows:
(A) Determine the number of months of the period during which the interest accrued.
(B) Divide the interest income by the number of months in the interest period.
(C) Consider the amount determined in (B) as income in each of the months of the next interest period.
NOTE

Authority cited: Sections 10725, 14005.9(c) and 14124.5, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Sections 14005.4, 14005.7, 14005.9, and 14006, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) and repealer of subsection (b), filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsection (a)(6) filed 9-17-79 as an emergency; effective upon filing (Register 79, No. 38). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 1-15-80.
3. Certificate of Compliance transmitted to OAH 1-8-80 and filed 1-16-80 (Register 80, No. 3).
4. Amendment filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
5. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
6. Amendment of subsection (a) filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
7. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
§50517.1. Apportionment of Income Exemptions and Deductions.
Note     •     History

(a) Income exemptions and deductions shall be apportioned over time using the procedures for apportioning income over time.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. New section filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Editorial correction adding NOTE filed 6-11-83 (Register 83, No. 24).
§50518. Fluctuating Income.
Note     •     History

(a) Fluctuating income shall be determined by estimating the amount to be received in the month unless the conditions of (b) are met. This estimate shall be made considering all of the following:
(1) The income pattern over the last year.
(2) The actual income received in the last month.
(3) The beneficiary's statement of anticipated income.
(b) Actual income shall be used if it is known at the time the share of cost determination is being made. In no instance shall the share of cost determination be delayed solely to determine the actual income.
(c) The provisions of this section shall not apply to income from self-employment which shall be determined in accordance with Section 50505 and apportioned in accordance with Section 50517(a)(5).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7 and 14005.12, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
2. New subsection (c) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
§50519. Income Exemptions and Deductions--General.
Note     •     History

(a) Certain items of earned and unearned income shall be exempt from consideration in determining a beneficiary's share of cost. Income which remains after the application of the exemptions specified in Sections 50523 through 50544 shall be nonexempt income.
(b) Certain amounts of income shall be deducted from nonexempt income to determine the net income to be used in determining the share of cost. Income which remains after the application of the deductions specified in Sections 50547 through 50555.2 shall be net nonexempt income.
(c) Exemptions and deductions do not apply uniformly to all MN and MI categories nor to both earned and unearned income. Restrictions are stated where applicable.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
2. Certificate of Compliance transmitted to OAL 12-16-82 and filed 1-21-83 (Register 83, No. 4).
3. Amendment of NOTE filed 4-12-83 (Register 83, No. 16).
§50521. Payments Exempt from Consideration as Income.

Income specified in Sections 50523 through 50544 shall be exempt. These exemptions shall apply to all MN and MI persons, unless otherwise specified.
§50523. Property Tax Refunds.
Note     •     History

Refunds or rebates of taxes on real property shall be exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50523.5. California Franchise Tax Board Payments.
Note     •     History

The payments which are exempt property pursuant to Section 50454.5 shall also be exempt income in the month of receipt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 11008.4, Welfare and Institutions Code.
HISTORY

1. New section filed 4-17-89; operative 5-17-89 (Register 89, No. 48). 
§50524. Child/Spousal Support Received by AFDC-MN and MI Family Members. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 14, Chapter 1447, Statutes of 1984. Reference: Sections 14005.4, 14005.7 and 14005.8, Welfare and Institutions Code.
HISTORY

1. New section filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85.
2. Certificate of Compliance transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
3. Renumbering and amendment of Section 50524 to Section 50554.5 filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
§50525. Public Assistance and General Relief Grants.
Note     •     History

(a) Public assistance cash grants shall be exempt.
(b) In addition to public assistance cash grants, the following cash payments from county agencies are exempt:
(1) Special circumstances payments provided to SSI/SSP recipients pursuant to EAS regulations.
(2) Emergency loans provided to SSI/SSP recipients pursuant to EAS regulations.
(3) General Relief or General Assistance payments.
(4) Cash value of food stamps.
(5) Immediate need payments provided to AFDC recipients pursuant to EAS 40-129.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. New subsections (b)(4) and (b)(5) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
§50526. Work Incentive Program (WIN).
Note     •     History

Earnings from public service employment under the WIN program are exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. New section filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
§50527. Social Services.
Note     •     History

(a) Payments received for social services provided in accordance with Title XX of the Social Security Act shall be exempt, whether provided in kind or as a direct payment to the individual for purchase of designated services. Such services include, but are not limited to:
(1) In-Home Supportive Services.
(2) Child care.
(3) Training and rehabilitation services, including payment for training expenses.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a)(1) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50528. Assistance Based on Need.
Note     •     History

(a) Assistance based on need which is furnished by the State or any political jurisdiction thereof, as specified in (b), shall be exempt if the payment is all of the following:
(1) Made regularly on a periodic basis at least once a quarter or made to a specific group or class of individuals in similar circumstances or situations.
(2) Made in cash, which may be currency or any negotiable instrument.
(3) Issued in an amount based on the need of the individual.
(b) Assistance based on need includes payments from the following and similar sources:
(1) Short-Doyle.
(2) Regional centers for the Developmentally Disabled.
(3) Probation departments.
(c) Payments made pursuant to public law, when the law specifically exempts such payment from eligibility and share of cost determinations, shall be considered assistance based on need.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
§50529. Federal Housing Assistance.
History

(a) Federal housing assistance in the form of rent subsidies, loans or partial house payments under the U. S. Housing Act of 1937, the National Housing Act, Title V of the Housing Act of 1949 or the Housing and Urban Development Act of 1965 shall be exempt.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
§50530. Training Expenses.
Note     •     History

The allowance for training expenses paid by the Department of Rehabilitation to persons participating in that Department's training programs shall be exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. New section filed as an emergency 6-17-80 (Register 80, No. 25). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 10-16-80.
2. Certificate of Compliance filed 9-26-80 (Register 80, No. 39).
§50531. Foster Care Payments.
Note     •     History

(a) Payments from any source, received by a foster parent for the care of a foster child, shall be exempt except for:
(1) The portion of the payment designated by the county department for care and supervision, if such a designation is made.
(2) Payments made to a foster parent when a foster child is temporarily absent from the foster home for a month or more.
(3) Payments made to ensure availability of a room or rooms for foster children.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50533. Exempt Loans, Grants, Scholarships and Fellowships.
Note     •     History

(a) The following loans, grants, scholarships and fellowships are exempt:
(1) Loans made under Title III of the Federal Economic Opportunity Act, Special Program to Combat Poverty in Rural Areas.
(2) Loans or grants to an undergraduate student for educational purposes made or insured by the Federal Commissioner of Education. These include, but are not limited to:
(A) Supplemental Education Opportunity grants.
(B) National Direct Student loans.
(C) College Work Study.
(D) Basic Educational Opportunity grants.
(E) Federal insured student loans.
(3) Educational loans or grants to undergraduate students when it is verified that they are awarded on the basis of the student's need. These include, but are not limited to:
(A) Extended Opportunity Program loans and grants.
(B) Bureau of Indian Affairs loans and grants.
(C) California State scholarships (Cal Grant A).
(D) College Opportunity grants (Cal Grant B).
(E) Occupational, Educational-Training grants (Cal Grant C).
(4) Funds for readers, or educational scholarships, which are all of the following:
(A) Provided to an aged, blind or disabled person enrolled in a California public school or institution of higher learning.
(B) Awarded by an educational institution.
(C) Not available to meet basic needs.
(5) Other loans, grants, scholarships or fellowships, or portions thereof, to undergraduate or graduate students if the following conditions are met:
(A) The loan, grant, scholarship or fellowship document specifically limits the use of the funds for purposes other than current living costs.
(B) The loan, grant, scholarship or fellowship would not be available if used for any purpose other than the one specified.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 11008.7, 11008.9, 11008.10 and 12152, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
§50534. Payments to Victims of Crimes--Treatment as Income.
Note     •     History

Payments made under the California Victims of Crimes program shall be exempt as income in the month of receipt and thereafter as property in accordance with Section 50448, and shall not be considered to be unconditionally available income pursuant to Section 50186.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Sections 1382a(b), 1383(a)(9) and 1396a(r), Title 42, United States Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code and Section 13959 et seq., Government Code.
HISTORY

1. New section filed as an emergency 6-17-80 (Register 80, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-16-80.
2. Certificate of Compliance filed 9-26-80 (Register 80, No. 39).
3. Amendment of section heading, text and Note filed 10-4-93; operative 11-3-93 (Register 93, No. 41).
§50535. Relocation Assistance Benefits.
Note     •     History

Relocation assistance benefits shall be exempt if paid by a public agency to a person who has been relocated as a result of a program of area redevelopment, urban renewal, freeway construction, or any other public development involving demolition or condemnation of existing housing.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50535.5. Disaster and Emergency Assistance Payments.
Note     •     History

Disaster and emergency assistance payments, whether in cash or in-kind, regardless of the date of receipt, and any interest earned from such payments, shall be exempt and shall not be included in the share of cost computation. This exemption applies only to such payments received from federal, state, and local government agencies, or disaster assistance organizations.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code; and 42 U.S.C. Sections 1382a(b)(11) and (12), 1382b(a)(6), 1396a(a)(10), 5121 et seq. and 5155(d).
HISTORY

1. New section filed 10-5-93; operative 11-4-93 (Register 93, No. 41).
§50536. Payments to Victims of the National Socialist Persecution.
Note     •     History

(a) Payments received from the Federal Republic of Germany (German Reparations Payments) pursuant to the federal law on the Compensation of Victims of the National Socialist Persecution (Federal Compensation Law) as enacted on June 29, 1956 shall be exempt as income in the month received.
(b) Interest earned on German Reparations Payments shall not be exempt and shall be considered countable unearned income in the month received.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.5, and 14006, Welfare and Institutions Code, and Program Operations Manual System SI 01120.405.
HISTORY

1. New section filed 12-10-85; effective thirtieth day thereafter (Register 85, No. 50).
2. Amendment filed 9-4-91; operative 10-4-91 (Register 92, No. 2).
§50537. Federal Payments to Indians and Alaskan Natives--Income.
Note     •     History

(a) Payments made to Indians under Public Law 90-507 shall be considered personal property rather than income to the extent specified in Section 50445.
(b) Per capita payments made to Indians under Section 6 of Public Law 87-775 and Public Law 92-254 shall be exempt.
(c) Per capita payments distributed pursuant to any judgment of the Indian Claims Commission or the Court of Claims in favor of any Indian Tribe are exempt.
(d) Payments made to Alaskan Natives under the Alaskan Native Claims Settlement Act are exempt. Income obtained from stock investments under the Act is not exempt.
(e) Receipts derived from lands held in trust and distributed by the federal government to members of the following Indian tribes are exempt:
(1) Bad River Bank of the Lake Superior Tribe of Chippewa Indians    of Wisconsin.
(2) Blackfeet Tribe, Blackfeet, Montana.
(3) Cherokee Nation of Oklahoma, Oklahoma.
(4) Cheyenne River Sioux Tribe, Cheyenne River, South Dakota.
(5) Crow Creek Sioux Tribe, Crow Creek, South Dakota.
(6) Lower Brule Sioux Tribe, Lower Brule, South Dakota.
(7) Devil's Lake Sioux Tribe, Fort Totten, North Dakota.
(8) Fort Belknap Indian Community, Fort Belknap, Montana.
(9) Assinboine and Sioux Tribes, Fort Peck, Montana.
(10) Lac Courte Oreilles Band of Lake Superior Chippewa Indians,    Lac Courte and Oreilles, Wisconsin.
(11) Keweenaw Bay Indian Community, L'Anse, Michigan.
(12) Minnesota Chippewa Tribe, White Earth, Minnesota.
(13) Navajo Tribe, Navajo, New Mexico.
(14) Oglala Sioux Tribe, Pine Ridge, South Dakota.
(15) Rosebud Sioux Tribe, Rosebud, South Dakota.
(16) Shoshone-Bannock Tribe, Fort Hall, Idaho.
(17) Standing Rock Sioux Tribe, Standing Rock, North and South Dakota.
(18) Seminole Indians, Florida.
(19) Pueblos of Zia and Jemez, New Mexico.
(20) Stockbridge Munsee Indian Community, Wisconsin.
(21) Burns Indian Colony, Oregon.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. New subsection (e) filed as an emergency 6-17-80 (Register 80, No. 25). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 10-16-80.
2. Certificate of Compliance filed 9-26-80 (Register 80, No. 39).
3. Change without regulatory of subsection (a) (Register 87, No. 11).
§50538. VISTA Payments.
Note     •     History

Payments made under the Domestic Volunteer Services Act of 1973 to VISTA volunteers are exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50539. Job Training Partnership Act (JTPA) Payments.
Note     •     History

(a) All earnings of a child which are derived from participation in JTPA programs shall be exempt for up to six months per calendar year. Other JTPA payments made to a child shall be exempt at all times.
(b) Payments, other than earnings, to an adult which are derived from participation in JTPA programs shall be exempt to the extent that the payment reimbursements do not exceed the adult's actual training expenses.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
2. Repealer and new section filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
§50540. Executive Volunteer Programs.
Note     •     History

Payments for supportive services or reimbursement of out-of-pocket expenses made to persons serving in the Service Corps of Retired Executives (SCORE) and the Active Corps of Executives (ACE) pursuant to Section 418 of Public Law 93-113 are exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50541. Senior Citizen Volunteer Programs.
Note     •     History

Compensation received by beneficiaries who are 60 years of age or older, for volunteer services performed under the Retired Senior Volunteer program, the Foster Grandparents program or the Older Americans Community Service program of the National Older Americans Act, shall be exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50542. Irregular or Infrequent Income.
Note     •     History

(a) The first $60 of casual or inconsequential unearned income per calendar quarter shall be exempt if either of the following conditions are met.
(1) The income is received not more than twice per quarter.
(2) The income cannot be reasonably anticipated.
(b) Earned income not exceeding $30 per calendar quarter shall be exempt if either of the following conditions are met:
(1) The income is received not more than twice per quarter.
(2) The income cannot be reasonably anticipated.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50543. Student Exemption.
Note     •     History

(a) All earned income, including earnings from JTPA after the six months' exemption pursuant to Section 50539 has expired, of an AFDC-MN or MI child shall be exempt if the child is either of the following:
(1) A full-time student.
(2) A part-time student with a school schedule that is equal to at least one-half of a full-time curriculum, and the child is not employed full-time.
(b) For purposes of this exemption the following definitions apply:
(1) School attendance means enrollment and attendance in a school, college, university, or in a course of vocational or technical training designed to fit the child for gainful employment and includes participation in the Job Corps program under the Economic Opportunity Act.
(2) Full-time student means a student who has a school schedule equal to a full-time curriculum, as defined by the school attended.
(3) Part-time employment means employment for less than 173 hours per month.
(c) The student exemption shall also apply to full or part-time earnings between school terms or during vacation periods, if the child plans to continue school attendance during the next term or when the vacation period ends.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
3. Amendment of subsection (a) filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
§50543.5. Earned Income Tax Credit.
Note     •     History

(a) The actual Earned Income Tax Credit (EITC) payment  shall be exempt as income whether received as a tax refund or an advance payment.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.7, Welfare and Institutions Code; Sections 402(a)(8)(A)(viii), 1612b, 1613a and 1902r(2) Social Security Act (42 U.S.C. Sections 602, 1382a(b), 1382b(a) and 1382a(r)(2)).
HISTORY

1. New section filed 9-28-89 as an emergency; operative 10-1-89 (Register 89, No. 40). A Certification of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-90. 
2. Certificate of Compliance as to 9-28-89 order including amendment transmitted to OAL 1-26-90 and filed 2-21-90 (Register 90, No. 9). 
3. Amendment of section heading, text and Note filed 2-2-93; operative 3-4-93 (Register 93, No. 6).
§50544. Earnings of Children Under Age 14.
Note     •     History

Earnings of children under 14 years of age shall be exempt.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50545. Deductions from Income.
Note     •     History

The deductions specified in Sections 50547 through 50555.2 shall be deducted from nonexempt income in the sequence presented in these regulations to determine net nonexempt income.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
2. Certificate of Compliance transmitted to OAL 12-16-82 and filed 1-21-83 (Register 83, No. 4).
3. Editorial correction of NOTE filed 4-12-83 (Register 83, No. 16).
§50547. Educational Expenses.
Note     •     History

(a) Documented educational expenses for college or similar training courses which are incurred by a beneficiary shall be deducted either from any income received for educational purposes, as defined in (b), or from any loan received for educational purposes, which is considered as property in accordance with Section 50483(b). Such educational expenses shall be apportioned over the period of time they are intended to cover to determine the monthly deduction. Documented expenses incurred by the beneficiary include any of the following items or services necessary for school attendance:
(1) Tuition.
(2) Books.
(3) Fees.
(4) Equipment and supplies.
(5) Special clothing needs.
(6) Child care services.
(7) Costs of transportation to and from school based on the mode most economically available and feasible in the particular circumstances. If it is determined that personal car usage meets these criteria, all actual transportation costs will be prorated based on the percentage of miles driven to and from school to total miles driven each month. Allowable transportation costs include, but are not limited to, car payments, car insurance and registration, and gasoline.
(b) Income for educational purposes includes, but is not limited to:
(1) Exempt student loans, grants or fellowships, as identified in Section 50533.
(2) Nonexempt student loans, grants or fellowships which do not require repayment.
(3) Social Security and Veteran's Administration payments to a child attending school which are based on a deceased or disabled parent's entitlement.
(4) Veterans Educational Assistance program payments (GI Bill).
(c) The beneficiary educational expenses shall first be deducted from the totally exempt loans or grants identified in Section 50533. Any remaining educational expenses shall next be deducted from other loans for educational purposes, that are considered property in accordance with Section 50483(b), and finally from other income received for educational purposes.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
3. Repealer of subsection (a)(6) and renumbering of subsection (a)(7) to (a)(6) filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82.
4. Certificate of Compliance transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33)
5. New subsection (a)(7) filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
§50549. Deductions from Income--MFBUs Which Include Aged, Blind or Disabled MN Persons.
Note     •     History

The deductions in Section 50549.1 through 50551.6 shall be subtracted from nonexempt income of MFBUs which include aged, blind or disabled MN persons. These deductions are applied only if a member of the MFBU applies and is found eligible as aged, blind or disabled. Each deduction shall apply only to the income specified in the section which defines that deduction.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.3, 14005.7 and 14005.14, Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-7-78 as an emergency; effective upon filing (Register 78, No. 6).
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18).
3. Amendment filed 1-20-81 as an emergency; effective upon filing (Register 81, No. 4). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-19-81.
4. Order of Repeal of 1-20-81 order filed 1-29-81 by OAL pursuant to Government Code Section 11349.6(Register 81, No. 4).
5. Editorial Correction of Order of Repeal filed 1-30-81 (Register 81, No. 4).
6. Amendment filed 11-4-81; effective thirtieth day thereafter (Register 81, No. 45).
7. Editorial correction of NOTE filed 6-10-83 (Register 83, No. 24).
§50549.1. Support Payment from an Absent Parent.
Note     •     History

One-third of any payment made by an absent parent for the support of a disabled or blind child shall be deducted from the total payment.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.3 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50549.2. Any Income Deduction--Unearned Income.
History

(a) Twenty dollars shall be deducted from the combined nonexempt unearned income of all aged, blind or disabled MN persons and the spouse or parents of these persons.
(b) That portion of the allowable $20 deduction which is in excess of the combined nonexempt unearned income shall be subtracted from the combined nonexempt earned income in accordance with Section 50551.2.
(c) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to January 1, 1977.
HISTORY

1. Amendment filed 2-7-78 as an emergency; effective upon filing (Register 78, No. 6).
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18).
§50549.3. Guardian and Conservator Fees.
Note     •     History

(a) Reasonable court approved guardian/conservator fees shall be allowed as a deduction to the unearned income of an aged, blind, or disabled medically needy person if all of the following conditions are met:
(1) The fees are paid to a court-appointed guardian or conservator of an individual who has been declared by a court to be substantially unable to manage his/her own financial resources and then only to the extent the fees are actually owed in the month in which the payment is made.
(2) A court-appointed guardian or conservator is required by the entity paying the unearned income as a condition of rendering payment to incompetent persons.
(3) The guardian or conservator provides a signed statement from the entity making such payment verifying the requirement set forth in (a)(2).
(b) Payments rendered by the Social Security Administration or other entity to incompetent persons which may be made to a representative payee or other similar individual regardless of guardian/conservator status, shall not be considered to meet the conditions specified in subsection (a)(2).
(c) When the conditions set forth in subparagraph (a) are not met, the unearned income of an aged, blind, or disabled medically needy person which is used to pay reasonable or court ordered guardian/conservator fees shall be considered available in accordance with section 50513.
NOTE

Authority cited: Sections 10725, 14124.5(a) and 14154.2(b), Welfare and Institutions Code; 42 CFR Section 435.831; and 42 U.S.C. Section 1396a(r). Reference: 20 CFR Sections 416.601 and 416.1123(b)(3); 42 U.S.C. Section 1383(a)(2)(A).
HISTORY

1. New section filed 11-2-90 as an emergency; operative 11-2-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-4-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-2-90 order including amendments transmitted to OAL 3-1-91 and filed 4-1-91 (Register 91, No. 16).
§50551. Student Deduction.
Note     •     History

(a) A maximum of $1,620 per year shall be deducted from the nonexempt earned income of a blind or disabled person who is all of the following:
(1) Under age 22.
(2) Not now married.
(3) Not a parent.
(4) Enrolled or will be enrolled in school for at least eight hours a week during one month of either the following:
(A) Current calendar quarter.
(B) Next calendar quarter.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.3 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 2-7-78 as an emergency; effective upon filing (Register 78, No. 6).
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18).
3. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
4. Change without regulatory effect of subsection (a)(4) (Register 87, No. 11).
§50551.1. Thirty Dollars Plus One-Third--MFBUs Which Include Aged, Blind or Disabled MN Persons.
Note     •     History

(a) The first $30 plus one-third of the remainder shall be deducted from the nonexempt earned income of an AFDC-MN or MI person, if the person meets all of the following:
(1) Is the spouse or parent of an aged, blind or disabled MN person.
(2) Was eligible for and receiving an AFDC cash grant, as specified in (b) from any state, in one of the four months immediately prior to the month in which the deduction will be applied.
(3) Did not receive the $30 plus one-third deduction in any AFDC cash family budget unit for four consecutive months without an intervening twelve consecutive month period when he/she was not an AFDC recipient.
(b) A person is considered to have been receiving an AFDC cash grant if that person meets any of the following conditions:
(1) Was receiving an AFDC money payment.
(2) Was not receiving an AFDC money payment due to the adjustment of an overpayment.
(c) When the beneficiary has received the $30 plus one-third deduction in any MFBU or AFDC Assistance Unit for four consecutive months as provided in (a) above, he/she shall be eligible for a $30 disregard for a period of eight consecutive months immediately following the end of the four consecutive months.
(d) If for any reason the beneficiary does not receive the $30 deduction in a month that month shall nonetheless count as one of the eight consecutive months.
(e) When the additional eight consecutive month period has expired, a beneficiary shall not be entitled to receive either the $30 plus one-third or the $30 deduction again until he/she has not received AFDC for twelve consecutive months.
(f) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to October 1, 1984.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 14, AB 1557, Chapter 1447, Statutes of 1984. Reference: Sections 14005.4, 14005.7 and 14005.8, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 2-7-78 as an emergency; effective upon filing (Register 78, No. 6).
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18).
3. Amendment filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82.
4. Certificate of Compliance transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33).
5. Amendment of subsection (a)(2) and new subsections (c), (d), (e), and (f) filed 4-15-85 as an emergency (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85.
6. Certificate of Compliance including amendment of subsections (c)-(e) transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
§50551.2. Any Income Deduction--Earned Income.
History

(a) That portion of the income deduction specified in Section 50549.2 which is in excess of the nonexempt unearned income shall be subtracted from the combined nonexempt earned income of aged, blind or disabled MN persons and the spouse or parents of these persons.
(b) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to January 1, 1977.
HISTORY

1. Amendment filed 2-7-78 as an emergency; effective upon filing (Register 78, No. 6).
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18).
3. Change without regulatory effect of subsection (a) (Register 87, No. 11).
§50551.3. Sixty-Five Plus One-Half.
History

(a) The first $65 plus one-half of the remainder shall be deducted from the combined nonexempt earned income of all aged, blind or disabled MN persons and the spouse or parents of these persons.
(b) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to January 1, 1977.
HISTORY

1. Amendment filed 2-7-78 as an emergency; effective upon filing (Register 78, No. 6).
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18).
§50551.4. Work Expenses of the Blind.
Note     •     History

In addition to the deduction in Section 50551.3 the actual cost of work related expenses shall be deducted from the nonexempt earned income of a blind person.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.3 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50551.5. Income Necessary to Achieve Self-Support.

(a) Nonexempt earned or unearned income of a blind or disabled person shall be deducted, if such income is needed to implement a plan of self-support which meets all of the following criteria:
(1) Is in writing.
(2) Was initiated and approved while the person was receiving SSI/SSP.
(3) Has not been subsequently abandoned.
§50551.6. Cost of In-Home Supportive Services--ABD-MN and SGA Disabled.
Note     •     History

(a) The amount actually paid for in-home supportive services provided to any ABD-MN person, or to a SGA-disabled person as defined in Section 50223(a)(2) shall be deducted from the combined nonexempt income of the SGA-disabled or ABD-MN person and the responsible relative, except as limited by (b), (c) and (d).
(b) The cost of in-home supportive services (IHSS) shall be a deduction only when all of the following conditions are met:
(1) The services are provided by a person other than a family member living in the home.
(2) The services have been determined to be necessary pursuant to an IHSS needs assessment described in Section 50169(b), and:
(3) The costs for these services have been reduced by any veterans benefit designated as an Aid and Attendance payment.
(c) In-home supportive services means those services which may be provided under the IHSS program.
(d) For ABD-MN persons, the provisions of this section shall be limited to persons who, without in-home supportive services, would require 24-hour-a-day care in a health facility or community care facility as evidenced by a statement signed by a physician.
NOTE

Authority cited: Sections 10725, 14005.14 and 14124.5, Welfare and Institutions Code; and Section 2, Chapter 364, Statutes of 1984. Reference: Sections 14005.3 (Section 1, Chapter 1156, Statutes of 1979), 14005.14 and 14024, Welfare and Institutions Code.
HISTORY

1. New section filed 1-20-81 as an emergency; effective upon filing (Register 81, No. 4). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-19-81.
2. Order of Repeal of 1-20-81 order filed 1-29-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 4).
3. New section filed 11-4-81; effective thirtieth day thereafter (Register 81, No. 45).
4. Amendment filed 5-30-85 as an emergency; effective upon filing (Register 85, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-85.
5. Certificate of Compliance transmitted to OAL 9-24-85 and filed 10-24-85 (Register 85, No. 43).
6. Amendment of subsection (b) filed 2-16-88 as an emergency; operative 2-16-88 (Register 88, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-88.
7. Emergency language filed 2-16-88 repealed by operation of Government Code Section 11346.1 (Register 88, No. 27).
8. Amendment of subsection (b) refiled 6-22-88 as an emergency; operative 6-22-88 (Register 88, No. 27). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-20-88.
9. Certificate of Compliance transmitted to OAL 6-20-88 and filed 7-15-88 (Register 88, No. 31).
§50553. Deductions from Earned Income--AFDC-MN, MI or Ineligible Members of the MFBU.
Note     •     History

(a) The deductions specified in Sections 50553.1 through 50553.5 shall be subtracted in sequence from the nonexempt gross earned income of each AFDC-MN or MI persons, or persons who are ineligible members of the MFBU, except as specified in (b). 
(b) An AFDC-MN or MI person, or an ineligible member of the MFBU, who is included in the same MFBU as the person's aged, blind or disabled MN spouse or child shall not receive the deductions specified in Sections 50553.1 through 50553.5. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code; and Section 402 (a)(8)(iii), Social Security Act (42 U.S.C. Section 602). 
HISTORY

1. Amendment filed 2-7-78 as an emergency; effective upon filing (Register 78, No. 6). 
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18). 
3. Amendment filed 2-11-82; effective thirtieth day thereafter (Register 82, No. 7). 
4. Amendment of subsection (a) filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82. 
5. Certificate of Compliance transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33). 
6. Amendment filed 9-28-89 as an emergency; operative 10-1-89 (Register 89, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-90. 
7. Certificate of Compliance as to 9-28-89 order transmitted to OAL 1-26-90 and filed 2-21-90 (Register 90, No. 9). 
§50553.1. Deduction for Work Expenses.
Note     •     History

(a) Ninety dollars for mandatory deductions and work related expenses shall be deducted from the earned income of each AFDC-MN and MI person. 
(b) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to October 1, 1989. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code; and Section 402 (a) (8) (ii), Social Security Act (42 U.S.C. Section 602). 
HISTORY

1. Amendment filed 2-7-78 as an emergency; effective upon filing (Register 78, No. 6). 
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18). 
3. Amendment of subsection (a) and repealer of subsection (e) filed 8-8-80;effective thirtieth day thereafter (Register 80, No. 32). 
4. Repealer and new section filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82. 
5. Certificate of Compliance transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33). 
6. Amendment filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85. 
7. Certificate of Compliance as to 4-15-85 order transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38). 
8. Amendment filed 9-28-89 as an emergency; operative 10-1-89 (Register 89, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-90. 
9. Certificate of Compliance as to 9-28-89 order transmitted to OAL 1-26-90 and filed 2-21-90 (Register 90, No. 9). 
§50553.2. Deduction for Dependent Care.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82.
2. Repealer of subsection (b)(2) filed 7-16-82 as an emergency; effective upon filing (Register 82, No. 29). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-13-82.
3. Certificate of Compliance as to 4-2-82 order transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33).
4. Certificate of Compliance as to 7-16-82 order transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33).
5. New subsection (b)(2) filed 12-8-83; effective thirtieth day thereafter (Register 83, No. 50).
6. Renumbering and amendment of former Section 50553.2 to Section 50553.5 filed 9-28-89 as an emergency; operative 10-1-89 (Register 89, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-90.
7. Certificate of Compliance as to 9-28-89 order transmitted to OAL 1-26-90 and filed 2-21-90 (Register 90, No. 9). 
§50553.3. Thirty Dollars Plus One-Third.
Note     •     History

(a) Thirty dollars of nonexempt earned income of each AFDC-MN or MI person, plus one-third of the remainder, shall be deducted if the person who is earning the income meets both of the following conditions:
(1) Was eligible for and receiving an AFDC cash grant, as specified in (b), from any state in one of the four months immediately prior to the month in which the deduction will be applied.
(2) Did not receive the $30 plus one-third deduction in any AFDC cash family budget unit for four consecutive months without an intervening twelve consecutive month period when he/she was not an AFDC recipient.
(b) A person is considered to have been receiving an AFDC cash grant if that person meets any of the following conditions:
(1) Was receiving an AFDC money payment.
(2) Was not receiving an AFDC payment due to the adjustment of an overpayment.
(c) When the beneficiary has received the $30 plus one-third deduction in any MFBU or AFDC Assistant Unit for four consecutive months as provided in (a) above, he/she shall be eligible for a $30 disregard for a period of eight consecutive months immediately following the end of the four consecutive months.
(d) If for any reason the beneficiary does not receive the $30 deduction in a month that month shall nonetheless count as one of the eight consecutive months.
(e) When the additional eight consecutive month period has expired, a beneficiary shall not be entitled to receive either the $30 plus one-third or the $30 deduction again until he/she has not received AFDC for twelve consecutive months.
(f) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to October 1, 1984.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 14, Chapter 1447, Statutes of 1984. Reference: Sections 14005.4, 14005.7 and 14005.8, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Repealer and new section filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82.
3. Certificate of Compliance transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33).
4. New subsections (c), (d), (e), and (f) filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85.
5. Certificate of Compliance as to 4-15-85 order transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
§50553.5. Deduction for Dependent Care.
Note     •     History

(a) The amount as determined in accordance with (b) shall be deducted from the remaining earned income of an AFDC-MN or MI person when both of the following conditions exist: 
(1) The person has reasonable and necessary costs of obtaining child care for a child in the MFBU or care for an incapacitated person in the MFBU. 
(2) The county department determines that adequate dependent care cannot be provided by another member of the MFBU. 
(b) The amount deducted in accordance with (a) shall be the actual amount paid as limited by the following: 
(1) A maximum of $200 per child under two years of age. 
(2) A maximum of $175 per child two years of age or older. 
(3) A maximum of $175 per incapacitated person. 
(c) This deduction shall also apply when the care is provided by a member of the MFBU, other than a spouse or parent, who terminated employment specifically to provide the necessary care. 
(d) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to October 1, 1989. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code; and Sections 402(a)(8)(iii) and 1902 (r)(2), Social Security Act (42 U.S.C. Section 602). 
HISTORY

1. Renumbering of former Section 50553.2 to Section 50553.5, and amendment of subsections (b) and (d) filed 9-28-89; operative 10-1-89 (Register 89, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-90. 
2. Certificate of Compliance as to 9-28-89 order transmitted to OAL 1-26-90 and filed 2-21-90 (Register 90, No. 9). 
§50554. Court Ordered Alimony or Child Support.
Note     •     History

(a) Court ordered alimony or child support, or child support paid pursuant to an agreement with a district attorney, shall be deducted from the income of an AFDC-MN or MI beneficiary when it is actually paid by that beneficiary.
(b) The amount deducted shall be the lesser of the amount:
(1) Actually paid.
(2) Specified in the court order or agreement with a district attorney.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. New section filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
§50554.5. Child/Spousal Support Received by AFDC-MN and MI Family Members.
Note     •     History

(a) Fifty dollars per month shall be deducted from the child/spousal support received by AFDC-MN and MI family members, whether provided voluntarily or by court order, when received and due in the current month. 
(b) Fifty dollar for each month shall be deducted from child support received by AFDC-MN and MI family members for past months if both of the following conditions are met: 
(1) The payments for past months are received by the family member in the current month. 
(2) The payments were made by the absent parent in the month the payment was due. 
(c) Child support payments shall be considered to meet the conditions described in (b) only in cases where the absent parent makes payment as described and required in a court order, agreement with the district attorney, voluntary payment schedule, or other such document which establishes a duty to pay child support and includes but is not limited to cases where one of the following conditions is met: 
(1) The agreement or court order specifies a payment schedule which requires annual, semi-annual, quarterly or other multiple month payments for reasons other than payment of past due amounts. 
(2) Payment is made but not received due to circumstances beyond the control of both the absent parent and the AFDC-MN or MI family member. Such circumstances include, but are not limited to the following: 
(A) Payment is made timely to the district attorney or court and not passed on to the AFDC-MN or MI person until a subsequent month. 
(B) Payment for each month is made through payroll deduction or garnishment of wages and is not forwarded to the AFDC-MN or MI person until the subsequent month. 
(d) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to October 1, 1989. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7 and 14005.8, Welfare and Institutions Code; and Section 402(a)(8)(A)(vi), Social Security Act (42 U.S.C. Section 602). 
HISTORY

1. Renumbering and amendment of Section 50524 to Section 50554.5 filed 7-9-87; operative 8-8-87 (Register 87, No. 30). 
2. Amendment of subsections (a) and (b), and new subsections (c) and (d) filed 9-28-89 as an emergency; operative 10-1-89 (Register 89, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-90. 
3. Certificate of Compliance as to 9-28-89 order transmitted to OAL 1-26-90 and filed 2-21-90 (Register 90, No. 9). %
§50555. Deductions from Any Income--All MN or MI Programs.
Note     •     History

The deductions specified in Sections 50555.1 through 50555.2 shall be subtracted from any nonexempt income that remains after the application of all preceding exemptions and deductions.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
2. Editorial correction of NOTE filed 4-12-83 (Register 83, No. 16).
3. Editorial correction of NOTE filed 6-10-83 (Register 83, No. 24).
§50555.1. Income of an MN or MI Person Used to Determine Public Assistance Eligibility of Another Family Member.
History

(a) That portion of the income of an MN or MI person or a person responsible for the MFBU which is counted in determining the eligibility of a spouse, parent or child as a PA or Other PA recipient shall be deducted.
(b) Income of a stepparent and the value of income in kind provided by a stepparent which is counted in determining the eligibility of a spouse or stepchildren as PA or Other PA recipients shall be deducted.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
§50555.2. Health Insurance Premiums.
Note     •     History

(a) Health insurance premiums shall be deducted if paid by and purchased for any person in the family.
(b) Health insurance payments paid less often then monthly shall be averaged on a monthly basis.
(c) The premium for Part B Medicare shall be deducted for those months in which the beneficiary actually makes the payment, notwithstanding Section 50773(b).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 6-10-83 (Register 83, No. 24).
§50555.3. Court Ordered Child Support. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. Repealer filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
§50555.4. Special Deduction for Aged, Blind or Disabled MN. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Section 8, Chapter 328, Statutes of 1982.
HISTORY

1. Amendment of subsection (a)(2) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Repealer filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
3. Certificate of Compliance transmitted to OAL 12-16-82 and filed 1-21-83 (Register 83, No. 4).
§50557. Treatment of Income.
Note     •     History

(a) The following income shall be considered in determining the share of cost of a person or family:
(1) Net nonexempt income of all persons included in the MFBU in accordance with Section 50371 through 50381.
(2) Income specified in Sections 50558 through 50564.
(b) That portion of the income of persons excluded from the MFBU as PA or Other PA recipients which was used to determine their PA or Other PA eligibility shall not be considered. All income of persons eligible for four months or nine months continuing eligibility shall be considered.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 14, Chapter 1447, Statutes of 1984. Reference: Sections 14005.4, 14005.7 and 14005.8, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsection (a)(2) filed 1-5-78 as an emergency; effective upon filing (Register 78, No. 1).
3. Certificate of compliance filed 5-5-78 (Register 78, No. 18).
4. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
5. Amendment of subsection (b) filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85.
6. Certificate of Compliance as to 4-15-85 order transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
§50558. Income of Persons Excluded from the MFBU.
Note     •     History

(a) The income of children excluded from the MFBU shall not be counted in determining the share of cost for the MFBU.
(b) In addition to their own income, children excluded from the MFBU shall be allocated an amount to meet their combined need, which shall be determined as follows, unless the condition of (c) is met:
(1) Determine the maintenance need for the MFBU with the children included.
(2) Determine the maintenance need for the MFBU with the children excluded.
(3) Subtract the amount determined in (2) from the amount determined in (1).
(4) Subtract the net nonexempt income of all excluded children from the amount determined in (3). This is the amount that shall be allocated to the children excluded from the MFBU.
(c) The income of the members of a stepparent unit who are excluded from the MFBU shall be treated in accordance with Sections 50559 and 50561.
NOTE

Authority cited: Sections 10725 and 14124, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7 and 14008, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
§50559. Income Deemed Available from the Stepparent.
Note     •     History

(a) If there is a stepparent living in the home and only the parent and the parent's separate children are included in the MFBU, the income deemed available from the stepparent shall be determined as follows:
(1) Combine the stepparent's nonexempt unearned income with the stepparent's gross earned income minus the deduction for work expenses specified in Section 50553.1.
(2) Deduct, from the amount determined in (1), the following amounts:
(A) Amounts actually paid by the stepparent to persons not living in the home but who are claimed as dependents for purposes of determining the stepparent's Federal personal income tax liability.
(B) Voluntary or court-ordered child support and alimony payments made by the stepparent to persons not living in the home.
(C) The maintenance need for the stepparent unit which includes the:
1. Stepparent.
2. Mutual children.
3. Stepparent's children.
(3) The remainder, if any, is income available to the MFBU.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 5, Chapter 1221, Statutes of 1985. Reference: Sections 14005.4, 14005.7 and 14005.16, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. Amendment filed 2-11-82; effective thirtieth day thereafter (Register 82, No. 7).
3. Repealer and new section filed 4-2-82 as an emergency; effective upon filing (Register 82, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-82.
4. Certificate of Compliance transmitted to OAL within 120 days and filed 8-10-82 (Register 82, No. 33).
5. Amendment filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
6. Amendment refiled 3-28-86 as an emergency; effective upon filing (Register 86, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-28-86.
7. Reinstatement of section as it existed prior to emergency amendment filed 3-28-86 by operation of Government Code Section 11346.1(f) (Register 86, No. 23).
§50561. Treatment--Stepparent Cases.
Note     •     History

(a) If there is a stepparent living in the home, and only the parent and the parent's separate children are included in the MFBU, the income considered in determining the share of cost of those children shall be:
(1) The income of the children.
(2) The income of the parent.
(3) The income available from the stepparent as determined in accordance with Section 50559.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 5, Chapter 1221, Statutes of 1985. Reference: Sections 14005.4, 14005.7, 14008 and 14005.16, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
2. Amendment filed 12-2-85 as an emergency; effective upon filing (Register 85, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-1-86.
3. Amendment refiled 3-28-86 as an emergency; effective upon filing (Register 86, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-28-86.
4. Reinstatement of section as it existed prior to emergency amendment filed 3-28-86 by operation of Government Code Section 11346.1(f) (Register 86, No. 23).
§50563. Treatment of Income--Aged, Blind or Disabled MN Person or Person's Spouse in LTC or Board and Care.
Note     •     History

(a) When an aged, blind or disabled MN person or the spouse of that person is in LTC or board and care and that person has a spouse and/or children who are not Public Assistance recipients, the income of that person shall be treated in the following manner, beginning the first of the month the spouses, or the parent and children, are in separate MFBUs:
(1) The net nonexempt income of the person in LTC or board and care which is in excess of the appropriate maintenance need for that person in accordance with the provisions of Article 11 of this chapter shall be allocated to the spouse and/or children as follows:
(A) When the family is applying for Medi-Cal, determine the maintenance need for the spouse and/or children other than any children excluded from the MFBU.
(B) When only the person in LTC or board and care is applying for Medi-Cal, determine the maintenance need for the spouse and/or all the children.
(C) Subtract the net nonexempt income of the spouse and/or children, other than the excluded children, from the amount determined in (A) or (B). This is the amount that shall be allocated to the spouse and/or children from the net nonexempt income of the MN person in LTC or board and care which is in excess of the maintenance need as determined in (1).
(2) If the person in LTC or board and care is a stepparent:
(A) The stepchildren shall be treated as natural children of the person in LTC or board and care.
(B) The allocation shall be determined in accordance with (1).
(b) In no event shall any income be allocated from the family members living at home to the person in long-term care or board and care.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1, 14005.4, 14005.7, 14008, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-77 as an emergency; effective upon filing (Register 77, No. 5).
2. Certificate of Compliance filed 4-22-77 (Register 77, No. 17).
3. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
4. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
5. Amendment of subsection (a), repealer of subsection (b) and relettering of subsection (c) to subsection (b) filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
6. Certificate of Compliance transmitted to OAL 12-16-82 and filed 1-21-83 (Register 83, No. 4).
7. Editorial correction of subsections (a)(1) and (a)(2)(A) filed 1-21-83 (Register 83, No. 4).
8. Amendment of subsection (a) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
§50564. Treatment of Income--Persons No Longer Receiving Title XVI Due to a Cost of Living Increase in OASDI Benefits Under Title II.
Note     •     History

(a) The provisions of this section shall be applied to any MFBU which includes an aged, blind or disabled person who meets all of the following conditions:
(1) Was eligible for and receiving Title XVI benefits in any month since April 1977.
(2) Was in receipt of OASDI Title II benefits and received a cost of living increase since April 1977.
(3) Has not been entitled to Title XVI benefits in any month since receipt of a Title II cost of living increase, including the month of receipt of the Title II increase.
(4) Would be entitled to Title XVI benefits, as determined in accordance with Department procedures, if the Title II cost of living increases received after Title XVI ineligibility occurred are disregarded. Increases to be disregarded include the increase which rendered Title XVI ineligibility.
(b) The aged, blind or disabled person in the MFBU who meets all of the conditions specified in (a) shall be eligible for Medi-Cal as a Title II Disregard person with no share of cost.
(c) The net nonexempt income of the Title II Disregard person shall be considered when determining the share of cost for the remaining family members.
(d) The Title II Disregard person shall be considered a member of the MFBU when determining the maintenance need in accordance with Section 50601.
(e) The share of cost for the MFBU shall be processed in accordance with Section 50660.
(f) The provisions of this regulation also apply to eligibility determinations or redeterminations made retroactively to September 1, 1978.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14005.7, Welfare and Institutions Code.
HISTORY

1. New section filed 1-5-78 as an emergency; effective upon filing (Register 78, No. 1).
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18).
3. New subsection (c) filed 6-30-78 as an emergency; effective upon filing (Register 78, No. 26).
4. Amendment filed 5-24-79 as an emergency; designated effective 6-1-79 (Register 79, No. 21).
5. Certificate of Compliance filed 9-19-79 (Register 79, No. 38).
§50565. Projection of Anticipated Income. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14005.9(c) and 14124.5, Welfare and Institutions Code, Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Section 14005.9, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Repealer and new section filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
3. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
4. Repealer filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
5. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
§50567. Adjustment for Decreases in Income. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Section 14005.9, Welfare and Institutions Code.
HISTORY

1. Repealer filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
2. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
§50569. County Failure to Change Income. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Section 14005.9, Welfare and Institutions Code.
HISTORY

1. Repealer filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
2. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
§50570. Income Determination and Limit for the Qualified Medicare Beneficiary (QMB) or the Specified Low-Income Medicare Beneficiary (SLMB).
Note     •     History

(a) To determine the eligibility of an adult, couple, or child for the QMB program, net nonexempt income shall not exceed 90% of the official poverty level in 1990, 100% of the official poverty level in 1991 and thereafter, as defined by the federal Office of Management and Budget, and revised annually in accordance with section 673(2) of the Omnibus Budget Reconciliation Act of 1981. Income attributable to a Title II cost of living adjustment is excluded according to federal law.
(b) To determine the eligibility of an adult, couple, or child for the SLMB program, net nonexempt income shall not exceed 110% in 1993 and 1994, rising to 120% in 1995 and ongoing of the official poverty level in each year as defined by the federal Office of Management and Budget in accordance with Section 4501 of the Omnibus Budget Reconciliation Act of 1990.  Income attributable to a Title II cost of living adjustment is excluded according to federal law.
(c) Net nonexempt income shall first be determined in accordance with all the applicable provisions of Article 8 and Article 10, except that the health insurance premiums as specified under Section 50555.2 are not allowed and the deduction for IRWE as defined in Section 50045.1 is allowed.
(d) If ineligibility results from the computation under (c) above, the net nonexempt income then will be determined following SSI methodology specified in Section 1612, Title XVI of the federal Social Security Act.
NOTE

Authority cited: Sections 10725, 14005.11 and 14124.5, Welfare and Institutions Code; and Section 12, Chapter 1430, Statutes of 1989. Reference: Sections 1396a(a)(10)(E)(iii) and 1396d(p), Title 42, United States Code; Section 4501, Omnibus Budget Reconciliation Act of 1990, Public Law 101-508; and Section 14005.11, Welfare and Institutions Code. 
HISTORY

1. New section filed 8-13-90 as an emergency; operative 8-13-90 (Register 90, No. 40). A Certificate of Compliance must be transmitted to OAL by 12-11-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance including amendment transmitted to OAL 12-11-90 and filed 1-9-91 (Register 91, No. 8).
3. Amendment of section heading, new subsection (b) and subsection redesignation, and amendment of newly designated subsections (c)-(d) and Note filed 12-21-93; operative 1-20-94 (Register 93, No. 52).
§50571. Income Determination and Limit for the Qualified Disabled and Working Individual (QDWI).
Note     •     History

(a) To qualify for the QDWI Program, the net nonexempt income of a QDWI applicant/beneficiary cannot exceed 200 percent of the federal poverty level.
(b) Net nonexempt income shall be determined following SSI methodology specified in Section 1612, Title XVI of the federal Social Security Act.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 12, Chapter 1430, Statutes of 1989. Reference: Section 14005.3, Welfare and Institutions Code; and Sections 1396a(a)(10)(E) and 1396d(s), Title 42, United States Code.
HISTORY

1. New section filed  10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History Note 1 (Register 95, No. 9).
3. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 9).
4. New section refiled 3-3-95 as an emergency; operative 3-3-95 (Register 95, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-95 order including amendment of Note transmitted to OAL 2-22-95 and filed 4-5-95 (Register 95, No. 14).
Article 11. Maintenance Need
§50601. Maintenance Need--General.

(a) The amount of income a person or family is allowed to retain for living expenses shall be determined by adding the following:
(1) The maintenance need for the members of the MFBU living in the home as determined in accordance with Section 50603.
(2) The maintenance need for the members of the MFBU in long-term care as determined in accordance with Section 50605.
§50603. Maintenance Need--Persons Living in the Home.
Note     •     History

(a) The maintenance need for members of the MFBU living in the home shall be determined in the following manner with amounts of 1 cent or more rounded to the next highest dollar.
(1) The maintenance need for an MFBU consisting of one individual shall equal 80 percent of the AFDC payment level for a family of two persons multiplied by 133 1/3 percent.
(2) The maintenance need for an MFBU consisting of two adults shall equal the AFDC payment level for a family of three persons multiplied by 133 1/3 percent.
(3) The maintenance need for an MFBU consisting of two persons when one or both persons are not adults and for an MFBU consisting of three through ten persons shall equal 133 1/3 percent of the AFDC payment level for a family group of corresponding size.
(4) The monthly maintenance need determined in accordance with (1) through (3) shall be calculated on an annual basis, rounded to the next higher multiple of $100, and then prorated.
(5) The maintenance need for an MFBU consisting of 11 or more persons shall equal the maintenance need level for a family group of 10 established in accordance with (3) and (4) plus an amount equal to the AFDC MBSAC increase level for additional persons in excess of 10 for each MFBU member in excess of 10.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 124.7, Chapter 323, Statutes of 1983. Reference: Sections 14005.12 and 14008, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82. For prior history, see Register 82, No. 13.
2. New section refiled 12-16-82 as an emergency; effective upon filing (Register 82, No. 51). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-15-83.
3. Certificate of Compliance as to 8-18-82 and 12-16-82 orders transmitted to OAL 12-31-82 and filed 2-1-83 (Register 83, No. 6).
4. Amendment of subsection (a) and repealer of subsections (b) and (c) filed 2-1-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 6).
5. Amendment filed 11-17-83 as an emergency; effective upon filing (Register 83, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-17-84.
6. Certificate of Compliance as to 11-17-83 order transmitted to OAL 3-16-84 and filed 4-17-84 (Register 84, No. 16).
§50604. Maintenance Need--Family Members Maintaining Separate Residences with Eligibility Determined As a Single MFBU.
Note     •     History

(a) An MFBU which includes a child who maintains a separate residence from his/her parent(s) in accordance with Section 50351(c) shall be assigned a combined maintenance need to be calculated according to (1) through (3).
(1) In accordance with Section 50603, determine the maintenance need for the separate household of the child as follows:
(A) For one child living alone or one child sharing a residence with other persons not financially responsible for the child, use the maintenance need level for one person established in accordance with Section 50603(a).
(B) For two or more children who are living together and who are claimed as dependents by the parent(s) for tax purposes, use the maintenance need level for the corresponding number of persons established in accordance with Section 50603(a).
(C) For two or more children who live alone in separate residences, use the maintenance need level for one for each child established in accordance with Section 50603(a).
(D) For a married child living with his/her spouse, use the maintenance need level for two established in accordance with Section 50603(a).
(2) Determine the maintenance need for the parent's household in accordance with Section 50603.
(3) Combine the maintenance need determined in (1) and (2). This is the total maintenance need for the entire MFBU.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 57(c), Chapter 328, Statutes of 1982; and Section 87(c), Chapter 1594, Statutes of 1982. Reference: Sections 14005.12 and 14008, Welfare and Institutions Code.
HISTORY

1. New section filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
2. New subsection (a)(1)(D) filed 12-21-82 as an emergency; effective upon filing (Register 82, No. 52). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-20-83.
3. Certificate of Compliance as to 10-1-82 order transmitted to OAL 1-28-83 and filed 2-28-83 (Register 83, No. 10).
4. Amendment of subsection (a)(1)(A)-(C) filed 2-28-83; effective thirtieth day thereafter (Register 83, No. 10).
5. Certificate of Compliance as to 12-21-82 order including amendment of subsection (a)(1)(D) transmitted to OAL 4-19-83 and filed 5-16-83 (Register 83, No. 21).
§50605. Maintenance Need--Persons in Long-Term Care.
Note     •     History

(a) The maintenance need for a member of the MFBU in long-term care shall be either of the following:
(1) Thirty-five dollars for personal and incidental needs, when the beneficiary will remain in long-term care for the entire calendar month.
(2) For individuals with therapeutic wages, thirty-five dollars plus an additional amount equal to either a) 70 percent of the gross therapeutic earnings; or, b) 70 percent of the maintenance need level allowed for a noninstitutionalized person or family of corresponding size, as described in Section 50603, whichever is less.
(A) The provisions of subsection (a)(2) of this regulation also apply to eligibility determinations or redeterminations made retroactively to October 1, 1984.
(3) The appropriate maintenance need determined in accordance with Section 50603, if the person will be in long-term care for only a portion of the month.
(b) An LTC patient shall retain an amount of income for upkeep of a home in addition to the amount specified for personal and incidental needs in (a) (1) if all of the following conditions are met.
(1) The LTC patient's spouse or a family member of the LTC patient is not living in the home.
(2) The home, whether rented or owned by the LTC patient, is actually being maintained for the return of the LTC patient.
(3) There is a verified medical determination that the LTC patient, or when both spouses are in LTC, either spouse, is likely to return home within six months of the date LTC patient status was established.
(4) The income is deducted for not more than the six-month period referenced in (3).
(c) The amount allowed for upkeep of the home, if the conditions specified in (b) are met, shall be:
(1) One hundred thirty-three and one-third percent of the income in kind value of housing for one person pursuant to Section 50511(a) and (b), if the applicant or beneficiary has been living alone in the home.
(2) One hundred thirty-three and one-third percent of the income in kind value of housing for 2 persons pursuant to Section 50511(a) and (b) divided by 2, if the home is shared with persons for whom the applicant or beneficiary has no legal responsibility for support.
(3) One hundred thirty-three and one-third percent of the income in kind value of housing for 2 persons pursuant to Section 50511(a) and (b) divided by 2 for each spouse, if the beneficiary and spouse were living together at the time either or both became inpatients and both have become LTC patients and either is likely to return home within six months of the date LTC status was established.
(4) The amount allowed for upkeep of the home as determined according to (1) through (3) shall be calculated on an annual basis, rounded to the next higher multiple of $100, and then prorated.
(d) The LTC patient shall also retain an amount of income to pay for the support of a disabled relative if all of the following conditions are met.
(1) The disabled relative is not the LTC patient's:
(A) Spouse.
(B) Child, as defined in Section 50030.
(2) The LTC patient has contributed and will continue to contribute to the support of the disabled relative on a regular basis.
(e) The amount allowed for the support of a disabled relative, if the conditions specified in (d) are met, shall be the lesser of:
(1) The actual amount contributed.
(2) The maintenance need level for one person established in accordance with Section 50603(a)(1), minus the disabled relative's net income.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14005.13 and 14124.5, Welfare and Institutions Code. Reference: Title 42, Code of Federal Regulations, Section 435.725(d); and Sections 14005.7, 14005.12 and 14005.13, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (c) and (e) filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82. For prior history, see Register 82, No. 13.
2. Amendment of subsections (c) and (e) refiled 12-16-82 as an emergency; effective upon filing (Register 82, No. 51). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-15-83.
3. Certificate of Compliance as to 8-18-82 and 12-16-82 orders transmitted to OAL 12-31-82 and filed 2-1-83 (Register 83, No. 6).
4. Amendment of subsections (c) and (e)(1) filed 2-1-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 6).
5. Amendment of subsections (c) and (e) filed 11-17-83 as an emergency; effective upon filing (Register 83, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-17-84.
6. Certificate of Compliance as to 11-17-83 order transmitted to OAL 3-16-84 and filed 4-17-84 (Register 84, No. 16).
7. Amendment of subsection (a)(1) filed 4-4-85 as an emergency; effective upon filing (Register 85, No. 15). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-2-85.
8. Amendment of subsection (a)(2) filed 8-9-85 as an emergency, effective on filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-9-85.
9. Certificate of Compliance as to 4-4-85 order transmitted to OAL 7-30-85 and filed 8-29-85 (Register 85, No. 36).
10. Certificate of Compliance as to 8-9-85 order transmitted to OAL 11-13-85 and filed 12-11-85 (Register 85, No. 50).
11. Amendment of subsection (c) filed 4-16-86; effective thirtieth day thereafter (Register 86, No. 16).
12. Amendment of subsections (b)(1) and (b)(3), new subsection (b)(4), amendment of subsections (c)(3) and (d) and amendment of Note filed 9-13-2011; operative 10-13-2011 (Register 2011, No. 37).
Article 12. Share of Cost
§50651. Share of Cost--General.

Share of cost shall be determined and processed in accordance with the requirements of this article.
§50652. Share of Cost Period. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10724, 10725, 14005.9(c) and 14124.5, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Section 14005.9, Welfare and Institutions Code.
HISTORY

1. New section filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
2. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
3. Repealer filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
4. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
. HISTORY
1. Amendment of subsection (b)(2) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
2. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
3. Amendment filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
4. Amendment filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
5. Amendment of subsection (a)(2) filed 12-23-81; effective thirtieth day thereafter (Register 81, No. 52).
6. Certificate of Compliance as to 7-31-81 order transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
7. Certificate of Compliance as to 11-30-81 order filed 3-30-82 (Register 82, No. 14).
8. Amendment of subsection (a) filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
9. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
10. Editorial correction of NOTE filed 4-12-83 (Register 83, No. 16).
§50653. Determination of Share of Cost.
Note     •     History

(a) The share of cost shall cover a one month period and be determined as follows:
(1) For MFBUs which do not include a person in LTC:
(A) Determine the net nonexempt income available to the members of the MFBU.
(B) Round the total net nonexempt income determined in (A) to the nearest dollar, with amounts ending in 50 cents or more rounded to the next higher dollar.
(C) Determine the appropriate maintenance need for the MFBU in accordance with Section 50603.
(D) Subtract the combined maintenance need from the total rounded net nonexempt income. The remainder, if any, is the share of cost.
(2) For MFBUs which include a person in LTC:
(A) Determine the total countable income available to the MFBU in the month.
(B) Add to the total countable income any amounts previously deducted in accordance with Sections 50547 through 50554.
(C) Subtract from the amount determined in (B) the deductions and allocations specified in Sections 50555.4 and 50563. This is the net nonexempt income available to the MFBU.
(D) Round the total net nonexempt income determined in (C) to the nearest dollar, with amounts ending in 50 cents or more to the next highest dollar.
(E) Determine the appropriate maintenance need in accordance with Section 50601.
(F) Subtract the amount determined in (E) from the amount determined in (D). This amount, if any, is the share of the cost.
(b) The share of cost shall be determined:
(1) At the time of application, reapplication or restoration.
(2) When there is a change in income, family composition or any other factor affecting the share of cost. In these instances the share of cost shall be determined in accordance with Sections 50653.3 and 50655.5.
NOTE

Authority cited: Sections 10725, 14005.9(c) and 14124.5, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Sections 14005.4, 14005.7 and 14005.9, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b)(2) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
2. Amendment filed 1-8-81; effective thirtieth day thereafter (Register 81, No. 2).
3. Amendment filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
4. Amendment filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
5. Amendment of subsection (a)(2) filed 12-23-81; effective thirtieth day thereafter (Register 81, No. 52).
6. Certificate of Compliance as to 7-31-81 order transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
7. Certificate of Compliance as to 11-30-81 order filed 3-30-82 (Register 82, No. 14).
8. Amendment of subsection (a) filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
9. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
10. Editorial correction of NOTE filed 4-12-83 (Register 83, No. 16).
§50653.3. Changes Which Decrease the Share of Cost.
Note     •     History

(a) In situations where a change in income or other circumstances, which results in a decrease in the share of cost is reported by the beneficiary in a timely manner, as specified in Section 50185, the county department shall:
(1) Make the necessary changes in the ongoing share of cost by the first of the month following the month in which the change was reported.
(2) Determine what the share of cost should have been for the month in which the change occurred.
(3) Implement the beneficiary's choice of either of the following:
(A) Having an adjustment made in future months in accordance with (c) for the months in which income in excess of the correct share of cost was paid or obligated toward medical bills.
(B) Having the correct Form MC 177S or Medi-Cal card with a share of cost issued and processed for the months in which the share of cost should have been lower.
(b) In situations where a change in income or other circumstances, which results in a decrease in the share of cost, is not reported by the beneficiary in a timely manner, as specified in Section 50185, the county department shall:
(1) Make the necessary changes in the ongoing share of cost by the first of the month following the month in which the change was reported.
(2) Not make an adjustment for the excess income the beneficiary may have paid or obligated prior to county action specified in (b)(1) unless the county department determines that there was good cause for failure to report in a timely manner. Good cause shall be determined in accordance with Section 50175.
(c) When it is determined in accordance with (a) or (b) that there has been a decrease in the share of cost which is to be adjusted, the adjustment shall be made in accordance with the following:
(1) The period of adjustment shall begin with the month the county department takes action in accordance with (a) or (b), and shall terminate when the total adjustment has been made.
(2) The amount of the adjustment is the difference between the original share of cost and the corrected share of cost.
(3) The amount of the adjustment or a portion of the adjustment equal to the share of cost shall be subtracted from the share of cost each month until the adjustment is completed.
NOTE

Authority cited: Sections 10725, 14005.9 and 14124.5, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Sections 14005.4, 14005.7 and 14005.9, Welfare and Institutions Code.
HISTORY

1. New section filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
2. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
3. Amendment of subsections (a) and (b) filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40).
4. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
5. Editorial correction of NOTE filed 4-12-83 (Register 83, No. 16).
§50653.5. Changes Which Increase the Share of Cost.
Note     •     History

(a) Except as described in Section 50262.3, in situations where a change in income or other circumstances, which result in an increase in the share of cost, is reported by the beneficiary in a timely manner, as specified in Section 50185, the county department shall make necessary changes effective:
(1) Immediately, if the increase is due to the voluntary inclusion of a family member who has income. The share of cost to be met shall be either of the following:
(A) The total increased share of cost shall be met by all members of the MFBU providing Medi-Cal cards have not been issued to the MFBU for the share-of-cost month and form MC 177S has not been submitted to the Department in accordance with Section 50658(c).
(B) The difference between the increased share of cost and the former share of cost shall be met by the newly included family member(s) when Medi-Cal cards have been issued to the MFBU for the share-of-cost month or form MC 177S has been submitted to the Department in accordance with Section 50658(c).
(2) In accordance with the following, in all other instances:
(A) The first of the month following the month in which the change was reported, if a 10 day notice can be given.
(B) The first of the second month following the month in which the change was reported, if the change cannot be made in accordance with (A).
(b) In situations where a change in income or other circumstances, which results in an increase in the share of cost determination, is not reported by the beneficiary in a timely manner, as specified in Section 50185, the county department shall:
(1) Make the changes to the ongoing share of cost in accordance with (a).
(2) Determine what the share of cost should have been for the months in which the beneficiary should have had a share of cost or an increased share of cost.
(3) Report a potential overpayment in accordance with Section 50783 which incorporates 50781, if the beneficiary:
(A) Received a Medi-Cal card and should have had a share of cost.
(B) Met a share of cost which was less than the corrected share of cost.
NOTE

Authority cited: Sections 10725, 14016.10 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.9 and 14009, Welfare and Institutions Code.
HISTORY

1. New section filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
2. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
3. Amendment filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
4. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
5. Amendment of subsection (a)(1) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
6. Amendment of subsections (b)(2) and (b)(3) and Note filed 4-13-93; operative 5-13-93 (Register 93, No. 16).
7. Amendment of subsection  (a) and Note  filed 4-27-94 as an emergency; operative 4-27-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-25-94 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-27-94 order transmitted to OAL 8-24-94 and filed 9-29-94 (Register 94, No. 39).
9. Editorial correction of Note (Register 94, No. 39).
§50653.7. Changes in Share of Cost Determination Due to Administrative Error.
Note     •     History

(a) An administrative error which causes the share of cost amount to be in excess of the correct share of cost amount shall be adjusted in accordance with Section 50653.3(a).
(b) If the county fails to take action on an increase in income within the time frames specified in Section 50653.5, excess income received after the time the county department should have taken action shall not be reported as a potential overpayment.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Section 14005.9, Welfare and Institutions Code.
HISTORY

1. New section filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
2. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
§50655. Record of Health Care Costs--Share of Cost.
Note     •     History

(a) The Record of Health Care Costs--Share of Cost, form MC 177S, shall be used to verify that health care costs have been obligated or paid by the beneficiary in an amount equal to the share of cost. The form shall be used for all beneficiaries who have a share of cost, except as specified in (b).
(b) Form MC 177S shall not be used for beneficiaries who meet both of the following conditions:
(1) Are in long-term care.
(2) Have a share of cost which is less than or equal to the monthly cost of care at the Medi-Cal reimbursement rate for the long-term care facility.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14005.4, 14005.7, 14005.9, 14006 and 14019.6, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
2. Amendment filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
3. Certificate of Compliance transmitted to OAL 12-14-82 and filed 1-21-83 (Register 83, No. 4).
4. Change without regulatory effect of subsection (a) (Register 87, No. 11).
§50657. Completion of Form MC 177S.
Note     •     History

(a) Form MC 177S shall be completed as follows:
(1) The identifying information shall be completed by the county department. The only persons who shall be listed on form MC 177S as eligible to have the cost of their health services used to meet the share of cost are those:
(A) Eligible members of the MFBU in accordance with Sections 50373, 50375 and 50377.
(B) Ineligible members of the MFBU in accordance with Section 50379.
(2) Form MC 177S shall be issued to the beneficiary for each month during which the beneficiary must meet a share of cost.
(A) For continuing beneficiaries, form MC 177S shall be issued prior to the first day of the month of eligibility.
(B) For new and restored beneficiaries, form MC 177S shall be issued at the time the approval notice of action is issued.
(3) The beneficiary shall present form MC 177S to each provider when the cost of services provided will be used to meet the share of cost.
(4) The provider will list on the form MC 177S health services which have been provided and meet all of the following criteria.
(A) Were provided in the month specified on form MC 177S. Services are considered to have been provided in the month if the date of service is within the month. The date of service for:
1. Health services provided under a Global Billing Agreement is the date the last service under the agreement is rendered or the date of delivery, if the global billing is for pregnancy and delivery.
2. Dental prosthesis, prosthetic and orthotic appliances, and eye appliances is the date the item is actually ordered from the fabricating laboratory.
3. Prescription drugs is the date the item was actually received.
4. All other health services is the date the service was actually rendered.
(B) Have not been submitted as a claim against the Medi-Cal program.
(C) Have not been paid by Medicare, other health coverage, or any other party, and the provider for the amounts listed on form MC 177S.
(5) For each service listed the provider shall include:
(A) The date of service, in accordance with (a) (4) (A).
(B) The total cost of the service provided.
(C) The amount billed to the patient.
(D) The patient Medi-Cal identification number.
(E) Either of the following:
1. For Medi-Cal program covered services, the procedure/drug code for the service provided.
2. For other services, a description of the service provided, such as inpatient, drug or dental.
(F) The Medi-Cal provider number or provider license number.
(6) The provider shall sign a declaration under penalty of perjury that:
(A) Each service listed on form MC 177S was provided to the person listed on the date specified.
(B) Payment for the amount listed in the Billed Patient column will be sought from the patient and not from the Medi-Cal program or a third-party payor.
(7) When the amount in the Billed Patient column of form MC 177S equals or exceeds the share of cost, the beneficiary or the beneficiary's representative shall:
(A) Sign the form indicating that the beneficiary has assumed legal responsibility for the amount shown in the Billed Patient column.
(B) Return the form to the county department.
(b) For purposes of this section, the following definitions shall apply:
(1) Provider means the person or entity which provides health services to the persons listed on form MC 177S and which is a Medi-Cal provider or a licensed practitioner meeting the criteria of a Medi-Cal provider in accordance with Article 3, Chapter 3.
(2) Health services means the medical services, social services, supplies, devices, drugs and any other medical care provided to a person listed on form MC 177S by a provider as defined in (b)(1).
NOTE

Authority cited: Sections 10725, 14005.9 and 14124.5, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981; and Section 57(c), Chapter 328, Statutes of 1982; and Section 14, AB 1557, Chapter 1447, Statutes of 1984. Reference: Sections 14005, 14005.4, 14005.7, 14005.8, 14005.9, 14018, 14019 and 14019.6, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a)(1)(A) filed 4-15-85 as an emergency; effective upon filing (Register 85, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-13-85. For prior history, see Register 83, No. 16.
2. Certificate of Compliance including amendment of subsection (a)(1)(A) transmitted to OAL 8-13-85 and filed 9-18-85 (Register 85, No. 38).
3. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§50658. Form MC 177S Processing. 
Note     •     History

(a) When the share of cost has been met, the beneficiary shall return the signed form MC 177S to the county department. The county department shall review form MC 177S to ensure that:
(1) The case description portion of the form is complete.
(2) The services listed were provided to persons listed on form MC 177S.
(3) The providers have completed the form in accordance with Section 50657(a)(4) through (6).
(4) The beneficiary or the beneficiary's representative has signed the form.
(b) If the items specified above are not completed correctly, the following action shall be taken:
(1) The county department shall attempt to obtain the information necessary for completion of form MC 177S verbally from either of the following:
(A) The beneficiary.
(B) The provider.
(2) If the information necessary to correct form MC 177S cannot be obtained verbally the county department shall:
(A) Identify the information needed.
(B) Return the form to the beneficiary.
(3) When the amount shown in the Billed Patient column is in excess of the share of cost amount, the county department shall:
(A) Explain to the beneficiary that the amount shown in the Billed Patient column is the amount for which he has assumed legal responsibility.
(B) Attempt to correct the error in accordance with (b) (1) and (2) if the beneficiary states that the assumption of legal responsibility for the cost of services in excess of the share of cost was not intentional.
(c) After form MC 177S has been determined to be correct and complete, the following action shall be taken, unless the conditions specified in (d) are met.
(1) The first two pages of form MC 177S shall be submitted to Department of Health Services, Key Data Entry Unit. In addition a copy of form MC 176M shall be submitted with form MC 177S if an adjustment to the share of cost is being made pursuant to Section 50653.3.
(2) Key Data Entry Unit will certify that the share of cost has been met.
(3) The Department will issue Medi-Cal cards to the persons included in the MFBU.
(d) If the beneficiary signs a Certification of Medical Need/Request for Medi-Cal Card, MC 113, which indicates a need for medical services prior to normal anticipated receipt of a Department issued Medi-Cal card, the county department shall:
(1) Enter the date of certification for claims clearance on form MC 177S.
(2) Issue a Medi-Cal card to each person who has been listed on form MC 113 as having an immediate need. Card issuance procedures specified in Article 14 shall be followed.
(3) Indicate on form MC 177S and form MC 176M, if required, the persons who have been issued a card.
(4) Forward form MC 177S and form MC 176M, if required, to the Key Data Entry Unit.
NOTE

Authority cited: Sections 10725, 14005.9(c) and 14124.5, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Sections 14005.4, 14005.7, 14005.9 and 14017, Welfare and Institutions Code.
HISTORY

1. Amendment of Subsection (a)(3) and new subsection (a)(8) filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
2. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
3. Amendment of subsection (a)(3) filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
4. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
5. Editorial correction of NOTE filed 4-12-83 (Register 83, No. 16).
6. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§50659. Long-Term Care Patients with a Share of Cost.
Note     •     History

(a) Form MC 177S shall not be required for a person or family with a share of cost when all the following conditions are met:
(1) One or more members of the MFBU are LTC patients.
(2) The share of cost is less than or equal to the monthly cost of care at the Medi-Cal reimbursement rate for the long-term care facility.
(b) If the conditions listed in (a) are met:
(1) All members of the MFBU who are not LTC patients shall be issued Medi-Cal cards with no share of cost listed.
(2) The LTC patient shall be issued a Medi-Cal card that shows the share of cost.
(3) If there is more than one LTC patient in the MFBU, the MFBU share of cost shall be divided equally among the LTC patients.
(c) If an MFBU includes LTC patients and the share of cost is in excess of the cost of care at the Medi-Cal rate, the MFBU shall meet its share of cost by using form MC 177S procedures described in this article.
NOTE

Article cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14005.9 and 14006, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) and new subsection (d) filed 8-8-80 (Register 80, No. 32).
2. Amendment filed 7-3-86; effective thirtieth day thereafter (Register 86, No. 27).
§50660. MFBUs Which Include a Title II Disregard Person.
Note     •     History

(a) Form MC 177S shall not be required for an aged, blind or disabled person who meets the conditions specified in Section 50564. Each Title II disregard person shall be issued a Medi-Cal card with no share of cost.
(b) The remaining MFBU members with a share of cost shall have their case processed in accordance with Section 50655. Those services received by the aged, blind or disabled MN person meeting the conditions of Section 50564 shall not be used to meet the remaining MFBU members' share of cost.
(c) A person meeting the conditions of Section 50564 shall be identified in the case file by the notation “Title II Disregard Person” beside the person's name on the applicable MC 176.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4 and 14005.7, Welfare and Institutions Code.
HISTORY

1. New section filed 1-5-78 as an emergency; effective upon filing (Register 78, No. 1).
2. Certificate of Compliance filed 5-5-78 (Register 78, No. 18).
3. New subsection (d) filed 6-30-78 as an emergency; effective upon filing (Register 78, No. 26).
4. Editorial correction deleting subsection (d) filed 6-10-83 (Register 83, No. 24).
Article 13. Period of Eligibility
§50701. Beginning Date of Eligibility. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016, 14005, 14018 and 14053, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a) and (b)(2) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment of subsections (a) and (b) filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
3. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
4. Amendment of subsection (d) filed 4-1-83; effective thirtieth day thereafter (Register 83, No. 14).
5. Amendment filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
6. Change without regulatory effect repealing article 13 and renumbering former section 50701 to new section 50193 filed 9-19-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 38).
§50703. Period of Eligibility. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11014, 11016 and 14053, Welfare and Institutions Code .
HISTORY

1. Amendment of subsection (a) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment of subsection (d) filed 10-31-78 as an emergency; designated effective 11-1-78 (Register 78, No. 44).
3. Certificate of Compliance filed 2-6-79 (Register 79, No. 6).
4. Amendment of subsection (f) filed 5-30-80 as an emergency; effective upon filing (Register 80, No. 22). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-27-80.
5. Certificate of Compliance filed 9-26-80 (Register 80, No. 39).
6. Amendment of subsection (a) filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
7. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
8. Amendment of subsection (c) filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
9. Amendment of subsection (e) filed 4-1-83; effective thirtieth day thereafter (Register 83, No. 14).
10. Certificate of Compliance as to 12-31-82 order transmitted to OAL 4-13-83 and filed 5-16-83 (Register 83, No. 21).
11. Change without regulatory effect renumbering section 50703 to section 50195 filed 9-19-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 38).
§50710. Retroactive Eligibility. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14019, 14019.6, 14142 and 14145, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a)(1) filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer of subsection (a)(3)(C) filed 8-18-82 as an emergency; effective upon filing (Register 82, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-16-82.
3. Amendment of subsection (a)(1) and new subsection (c) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 38). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
4. Amendment of subsection (c) filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
5. Certificate of Compliance as to 9-1-82 order filed 12-30-82 (Register 83, No. 1).
6. Editorial correction of 12-30-82 Certificate of Compliance filed 1-3-83 (Register 83, No. 1).
7. Certificate of Compliance as to 8-18-82 order transmitted to OAL 12-14-82 and filed 1-21-83 (Register 83, No. 5).
8. Certificate of Compliance as to 10--82 order transmitted to OAL 1-28-83 and filed 2-25-83 (Register 83, No. 9).
9. Amendment of subsection (a)(2) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
10. Change without regulatory effect renumbering section 50710 to section 50197 filed 9-19-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 38).
§50715. Certification for Medi-Cal--Completion. [Renumbered]
History

HISTORY

1. Change without regulatory effect renumbering section 50715 to section 50199 filed 9-19-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 38).
Article 14. Medi-Cal Card Use and Issuance
§50731. Medi-Cal Card Use.
Note     •     History

(a) Persons certified for Medi-Cal shall receive a Medi-Cal card or either a PHP identification card, or a PCCM plan restricted card and shall show proof of eligibility for Medi-Cal services by one of the following:
(1) Presenting a valid Medi-Cal card to the Medi-Cal provider of their choice. 
(2) Presenting their valid PHP identification card to a provider in the PHP in which the beneficiary is enrolled. PHP enrollees may obtain their services under emergency circumstances from non-PHP providers by presenting their valid PHP identification card to the provider for purposes of billing the PHP. PHP enrollees also may be entitled to a restricted Medi-Cal card if they are enrolled in a noncomprehensive PHP. 
(3) Presenting a valid PCCM plan restricted card to a provider in the PCCM plan in which the beneficiary is enrolled. PCCM plan enrollees may obtain services under emergency circumstances from nonplan providers by presenting a valid PCCM plan restricted card to the provider for purposes of billing the PCCM plan. 
(b) Children who are receiving both SSI/SSP and an AFDC/BHI supplemental payment shall receive a Medi-Cal card under the SSI/SSP program only. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14017, 14018 and 14088.16, Welfare and Institutions Code. 
HISTORY

1. Amendment filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32). 
2. Amendment of subsection (a) filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
3. Amendment refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
4. Request to readopt amendment on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
6. Amendment of subsection (a) filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-25-91 order including amendment of subsection (a)(3) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§50732. Medi-Cal--Signature Requirement.
Note     •     History

(a) Each Medi-Cal beneficiary must sign and date his/her Medi-Cal card in the space provided upon receipt and prior to presentation of the card for any services.
(b) The requirement in (a) above shall not apply to the following:
(1) Medi-Cal beneficiaries who are under 18 years of age.
(2) Medi-Cal beneficiaries who are in Long Term Care as defined in Section 50056.
(c) For purposes of subsection (a), for persons who are unable to sign their name or make a mark in lieu of a signature, “sign” shall mean a determination by the provider of services that the individual is unable to sign the Medi-Cal card because of a disability.
NOTE

Authority cited: Section 14124.5 Welfare and Institutions Code. Reference: section 14018, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-86 as an emergency; effective upon filing (Register 86, No. 1).
2. Order of Repeal of 1-3-86 emergency order filed 1-3-86 by OAL pursuant to Government Code Section 11349.6 (Register 86, No. 1).
3. New section filed 1-28-86 as an emergency; effective upon filing (Register 86, No. 5). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-28-86.
4. Certificate of Compliance including amendment transmitted to OAL 5-16-86 and filed 6-5-86 (Register 86, No. 23).
§50733. Medi-Cal Card--Authorization for Services.
Note     •     History

(a) The Medi-Cal card shall be authorization for the person named on the card to receive those Medi-Cal covered services for which the person is eligible. 
(b) The Medi-Cal card shall be authorization for payment of claims only for the cost of Medi-Cal covered services which are all of the following: 
(1) Incurred during the month in which the Medi-Cal card is valid. 
(2) Not paid or obligated by the beneficiary to meet the share of cost requirement. 
(3) Not provided by the PHP or PCCM plan of which the beneficiary is a member. 
(4) Not payable by a third party under a contractual or other legal entitlement. 
(5) Not prohibited due to the limited service status of the beneficiary.
(c) A mother's Medi-Cal card shall be authorization for services for her newborn child, if the conditions of (b) are met, during the month of birth and the month following the month of birth. 
(d) It shall be a misdemeanor for a beneficiary to sell, furnish, give or lend the beneficiary's Medi-Cal card to any other person or persons for their use. 
NOTE

Authority cited: Sections 10725, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14010, 14017, 14018 and 14088.16, Welfare and Institutions Code. 
HISTORY

1. Amendment of subsection (d) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51). 
2. Amendment of subsections (a), (b) and (d) filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32). 
3. Amendment of subsection (b)(3) filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90.
4. Amendment refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
5. Request to readopt amendment on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
7. Amendment of subsection (b) filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§50735. Locations at Which Medi-Cal Card May Be Used.

(a) The Medi-Cal card shall be authorization for payment for Medi-Cal covered services received in any California county.
(b) The Medi-Cal card shall be authorization for payment for Medi-Cal covered services provided outside California in accordance with Section 51006.
§50737. Format of Medi-Cal Card.
Note     •     History

(a) A Medi-Cal card issued by the Department or by the county department in accordance with these regulations shall be used to authorize services.
(b) The Medi-Cal card for persons with no share of cost shall contain:
(1) Complete and accurate information identifying the beneficiary, the program under which eligibility has been established and other health care coverage entitlement.
(2) Valid month and year and whether it is a past month Medi-Cal card.
(3) Information on limited service or PHP status, if applicable.
(4) Two MEDI labels, if the card is a full complement card.
(5) Proof of eligibility (POE) labels.
(c) The Medi-Cal card for persons who have met their share of cost and are required to complete form MC 177S, shall contain:
(1) The items listed in (b).
(2) The date of certification for claims clearance.
(d) The Medi-Cal card for persons in long-term care, with a share of cost less than or equal to the monthly cost of care at the Medi-Cal reimbursement rate for the long-term care facility, shall contain:
(1) The items listed in (b).
(2) The amount of the share of cost.
NOTE

Authority cited: Sections 10725, 14005.9(c), 14124.5 and 14312, Welfare and Institutions Code; Section 133.5, AB 251, Chapter 102, Statutes of 1981. Reference: Sections 14005.9, 14010 and 14017, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
2. Amendment of subsection (c) filed 11-30-81 as an emergency; effective upon filing (Register 81, No. 49). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-30-82.
3. Certificate of Compliance filed 3-30-82 (Register 82, No. 14).
4. Amendment of subsection (c) filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-83.
5. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
§50739. Full Complement and POE Only Medi-Cal Cards.
Note     •     History

(a) A full complement Medi-Cal card is one which has POE labels and two MEDI labels. This type of Medi-Cal card shall be issued to a beneficiary who is not enrolled in a PHP:
(1) As the initial card for the current month of certification for Medi-Cal.
(2) As the initial card for any month of a retroactive period during which there is certification for Medi-Cal.
(3) As a replacement card for a person who is entitled to and has requested a card, has completed a Request for Medi-Cal Card or Additional POE Labels, form MC 110, and has not received a card.
(4) As a replacement card if the original was incorrect or mutilated and was returned to the county department with both MEDI labels intact.
(b) A Medi-Cal card with POE labels only shall be issued:
(1) To replace a lost or stolen card or a mutilated card with the MEDI labels missing.
(2) When additional POE labels are requested.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14017, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a)(4) and (b)(1) filed 12-17-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
§50740. Medi-Cal Cards for Restricted Medi-Cal Benefits to Certain Aliens.
Note     •     History

An alien who is eligible for restricted Medi-Cal benefits, and who meets all other eligibility requirements, shall receive a Medi-Cal card which entitles him or her to program-covered services to treat an emergency medical condition as defined in section 14007.5(d) of the Welfare and Institutions Code and section 440.255 of title 42 of the Code of Federal Regulations, and pregnancy-related services, as defined in section 1(g) of chapter 1441 of the Statutes of 1988, and section 440.255 of title 42 of the Code of Federal Regulations. 
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 9, Chapter 1441, Statutes of 1988. Reference: Section 14007.5, Welfare and Institutions Code. 
HISTORY

1. New section filed 11-14-89 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 11-14-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-14-90. 
2. New section refiled 3-8-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 3-13-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-11-90. 
3. Certificate of Compliance as to 3-8-90 order transmitted to OAL 7-5-90 and disapproved 8-6-90 (Register 90, No. 42).
4. New section filed 8-23-90 as an emergency pursuant to section 9 of chapter 1441 of the Statutes of 1988; operative 8-23-90 (Register 90, No. 42). A Certificate of Compliance must be transmitted to OAL by 12-21-90 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance including amendment as to 8-23-90 order transmitted to OAL 11-20-90 and filed 12-17-90 (Register 91, No. 5).
§50741. Medi-Cal Card Issuance by the Department.
Note     •     History

(a) The Department shall issue a Medi-Cal card to each person who is not enrolled in a comprehensive PHP and is any of the following:
(1) Reported by the county department as both eligible and certified for Medi-Cal and for whom the county department is requesting that a card be issued.
(2) Reported by the Social Security Administration as eligible for SSI/SSP.
(3) Certified for Medi-Cal by BRU.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14017, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-5-81; effective thirtieth day thereafter (Register 81, No. 10).
§50742. Limitations on Eligibility Reports and Card Issuance Requests Submitted by the County Department.
Note     •     History

(a) The county department shall not submit a report of eligibility to the Department for a person for a given month, or request the Department to issue a Medi-Cal card for a person for a given month, as long as any one of the following applies to that person for that month:
(1) The county has information which requires discontinuance of the person for that month.
(2) The person is subject to discontinuance for the month due to loss of contact or noncooperation.
(b) The county department shall not request the Department to issue a Medi-Cal card for a person for a month during the following periods:
(1) From time of county receipt of information which requires that the person be assigned a share of cost and receive a form MC 177S for a month, until the completed MC 177S is submitted to the county department.
(2) From time of county receipt of information which requires that an LTC person receive an increased share of cost, until determination of the increased share of cost is made.
(c) The county department shall not withhold a report of eligibility for the beneficiary for the coming month if information requiring an adverse action is received too late in a month for the county department to make that action effective the coming month because timely notice of the adverse action cannot be provided to the beneficiary.
(d) This section applies to all Medi-Cal eligibles including public assistance recipients.
(e) The report of eligibility data required by this section shall be completed in accordance with schedules issued by the Director.
NOTE

Authority cited: Sections 10554.1 and 14124.5, Welfare and Institutions Code. Reference: Sections 10600, 10850, 11004, 11050, 11051, 11052, 11054, 11055, 12305, 14000.2, 14001, 14005, 14005.1, 14005.4, 14005.7, 14011, 14012, 14014, 14016, 14050.1, 14051 and 14052, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§50743. Medi-Cal Card Issuance by the County Department--No Share of Cost.
Note     •     History

(a) The county department shall issue a current or past month Medi-Cal card as limited by Section 50746, to each person who meets all of the following conditions:
(1) Is eligible for SSI/SSP. The county department shall verify SSI/SSP eligibility by obtaining information from the SDX data available to the county. If the SDX data on the individual does not appear to be accurate or complete, proof of eligibility shall be any of the following:
(A) The SSI/SSP check for the month for which the card is requested.
(B) Documentation from the Social Security Administration verifying eligibility.
(C) An SSI/SSP award letter received that month.
(D) An approved Title XVI emergency loan for that month.
(E) Other proof of eligibility as specified by the Department.
(2) Is not enrolled in a comprehensive PHP for the month for which a card is requested.
(3) Needs any of the following:
(A) Additional or duplicate POE labels.
(B) A replacement for a mutilated card.
(C) A replacement for a card containing erroneous data.
(D) A replacement Medi-Cal card because the original card was not received. In this case, the SSI/SSP recipient shall complete and sign form MC 110.
(b) The county department may issue current or past month Medi-Cal cards, as limited by Section 50746, to all other Medi-Cal eligibles who meet all of the following conditions:
(1) Do not have a share of cost.
(2) Are not enrolled in a comprehensive PHP for the month for which a card is requested.
(3) Did not receive a Medi-Cal card. In this case, the beneficiary shall complete and sign form MC 110.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14017.8 and 14115, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment filed 3-5-81; effective thirtieth day thereafter (Register 81, No. 10).
3. Amendment of subsection (a) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
§50745. Medi-Cal Card Issuance by the County Department--Share of Cost.

(a) The county department may issue current or past month Medi-Cal cards, as limited by Section 50746, to persons who are in long-term care and have a share of cost which is less than or equal to the monthly cost of care at the Medi-Cal reimbursement rate for the long-term care facility unless the person in long-term care also has a spenddown of property.
(b) The county department shall issue current month Medi-Cal cards with MEDI or POE labels to persons with a share of cost met by use of form MC 177S, if the person who requests the card signs a form MC 110 which indicates a need for medical services prior to normal anticipated receipt of a Department issued Medi-Cal card. In this case the county department shall process form MC 177S in accordance with Section 50658.
(c) The county department may issue current or past month Medi-Cal cards with POE labels only, as limited by Section 50746, to persons with a share of cost if certification by the county department or BRU has occurred.
(d) The Director may order the suspension of county issuance of Medi-Cal cards for persons with a share of cost, if the Director determines that the cost of the procedure is exceeding allowable costs under the Department's program for control of county department Medi-Cal administrative costs.
(1) The Director shall inform a county department of the suspension in that county, in writing, 30 days prior to the effective date of the suspension.
(2) The Director may reinstate the county issuance of Medi-Cal cards for persons with a share of cost, if it is determined that sufficient funds are available. Notification of the reinstatement shall be in writing.
§50746. Limitation on Medi-Cal Card Issuance.
Note     •     History

(a) The county department shall not provide a Medi-Cal card or request that a Medi-Cal card be issued by the Department to any Medi-Cal beneficiary more than one year subsequent to the month of service, unless one of the following conditions is met:
(1) A court action requires that a Medi-Cal card be issued.
(2) An adopted State hearing decision or other administrative hearing decision requires a redetermination of eligibility which results in a beneficiary's entitlement to a Medi-Cal card.
(3) An adopted State hearing decision states that, due to a county department or Department administrative error, a Medi-Cal card for a month was not received by the beneficiary.
(4) The Department requests that the Medi-Cal card be issued.
(5) The county department has determined that an administrative error has occurred.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14017 and 14115, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 5-30-80 as an emergency; effective upon filing (Register 80, No. 22). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-27-80.
2. Certificate of Compliance filed 9-26-80 (Register 80, No. 39).
3. Repealer of subsection (b) filed 7-9-87; operative 8-8-87 (Register 87, No. 30).
§50749. Control of County Issued Medi-Cal Cards.
Note     •     History

(a) The county department shall record every Medi-Cal card issued or voided by the county department on the Control Log for MC 301, form HAS 2007.
(b) The county department may, with Department approval, use a substitute for form HAS 2007.
(c) The county department shall account for stocks of Medi-Cal cards, as required by the Department.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14017, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-8-80; effective thirtieth day thereafter (Register 80, No. 32).
§50751. Report of Eligibles.
Note     •     History

(a) The Department shall compile a monthly report of all persons eligible for Medi-Cal. This Report of Eligibles shall include all persons: 
(1) Certified for Medi-Cal by the county department and reported to the Department for issuance of Medi-Cal cards or listing as enrolled in a PHP or PCCM plan. 
(2) Certified for Medi-Cal and issued Medi-Cal cards by the county department. 
(3) With a share of cost. These persons are reported as eligible but not certified for Medi-Cal. 
(4) Certified for Medi-Cal and issued Medi-Cal cards by Benefits Review Unit. 
(5) Reported by the Social Security Administration as eligible. 
(b) The county department shall report the information specified in (a)(1), (2) and (3) in accordance with Department procedures. 
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14017.8 and 14088.16, Welfare and Institutions Code. 
HISTORY

1. Amendment of subsection (a)(1) filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90.
2. Amendment refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt amendment on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. Amendment of subsection (a) filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
Article 15. Other Health Care Coverage and Medicare Buy-In Coverage
§50761. Other Health Care Coverage--General.
Note     •     History

A beneficiary with other health care coverage is not entitled to receive health care benefits and services under the Medi-Cal schedule of benefits until the other health care coverage available has been exhausted or denied for lack of service coverage. This requirement shall not, however, apply to beneficiaries covered under Medi-Cal capitated contracting arrangements except to the extent permitted under a contract.
NOTE

Authority cited: Section 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10020, 14000, 14023, 14023.7 and 14490, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 6-28-89; operative 7-28-89 (Register 89, No. 26).
§50763. Beneficiary Responsibility--Other Health Care Coverage.
History

(a) An applicant or beneficiary shall:
(1) Apply for, and/or retain any available health care coverage when no cost is involved.
(2) Report to the county department any entitlement to other health care coverage at the time of application, reapplication, or redetermination; and report any change in entitlement no later than 10 calendar days from the date the beneficiary was notified of the change by the employer or insurer. The report shall include name of carrier, policy and group numbers, and termination date, if available.
(3) Utilize other available health care coverage prior to utilizing Medi-Cal coverage.
(4) Report to the county department services received as the result of an accident or injury as specified in Section 50771 (b), and report the information specified in Section 50771(d)(2).
(5) Provide current other health care coverage billing information to the provider at the time the service is received. This information shall include the name of the other health care coverage, policy and group numbers, and termination date, if available.
(b) Compliance with the other health care coverage requirements of subsection (a)(l) shall be a condition of receiving Medi-Cal covered benefits to the party responsible for the acquisition or continuance of such health care coverage, and shall not interfere with Medi-Cal benefits provided to the remaining family unit..
HISTORY

. 1. Amendment filed 6-28-89; operative 7-28-89 (Register 89, No. 26)
§50765. County Department Responsibility--Other Health Care Coverage.
Note     •     History

(a) The county department shall:
(1) Determine the other health care coverage in effect or available to an applicant or beneficiary upon each determination or redetermination of Medi-Cal.
(2) Code the other health care coverage using the coding system prescribed by the Department.
(3) Provide information regarding the beneficiary's other health care coverage to the Department in the manner, form and frequency requested.
(4) Notify the Department that the beneficiary's other health care coverage has lapsed or will lapse no later than five working day's following the receipt of such information.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference Sections 14124.90 and 14124.91, Welfare and Institutions Code.
HISTORY

. 1. Amendment filed 6-28-89; operative 7-28-89 (Register 89, No. 26).
§50769. Department Responsibility--Other Health Care Coverage.
Note     •     History

(a) On the Medi-Cal card of beneficiaries who have other health care coverage, the Department shall place an indicator code to give notice to providers and beneficiaries that other health care coverage must be utilized prior to billing the Medi-Cal program.
(b) The Department's fiscal intermediary shall, as directed by the Department, deny provider claims submitted for beneficiaries who have other health care coverage unless the claim is accomplished by a notice of denial of non-coverage of service, termination of coverage, or partial payment which is less than the Medi-Cal schedule of benefits for the service or benefit provided. A provider of service may submit a copy of the original notice of denial or explanation of benefits letter from the other health care coverage. This notice or letter is valid for a period of one year from the date the service was denied. The notice or letter must be accompanied by a completed Medi-Cal claim form for the same service provided to the beneficiary as indicated on the notice or letter.
(c) When Medi-Cal payment has been made before the other health care coverage has been identified, the Department shall recover payments from the parties having a legal obligation.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code, Reference: Sections 14023, 14023.7, 14124.90. Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 6-28-89; operative 7-28-89 (Register 89, No. 28).
§50771. Recovery of Third Party Payments.
Note     •     History

(a) A beneficiary shall reimburse the Department for any payment received for health care services which were paid by Medi-Cal, if the payment received by the beneficiary is made by either of the following:
(1) A federal or state program.
(2) A legal or contractual entitlement.
(b) A beneficiary who receives health care services as a result of an accident or injury caused by some other person's action or failure to act shall furnish the Department with an assignment of rights to receive payment for those services, if those services will be billed to Medi-Cal. If the beneficiary is unable to make the assignment, the beneficiary's guardian, attorney or the person acting on the beneficiary's behalf shall do so.
(c) The Department may file a lien against the property of a beneficiary if the beneficiary fails to comply with the requirement in (b).
(d) The county department shall provide the following written information to the Department of Benefit Payments concerning a beneficiary who may meet the conditions of (b).
(1) The name and address of the beneficiary.
(2) The name and address of the:
(A) Attorney handling the case.
(B) Insurance carriers responsible for payment.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 87, Chapter 1594, Statutes of 1982. Reference: Section 14006, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (c) filed 12-31-83 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance transmitted to OAL 4-29-83 and filed 6-3-83 (Register 83, No. 23).
§50771.5. Determination of Good Cause for Refusal to Cooperate.
Note     •     History

(a) Good cause exists when cooperation is against the best interest, as specified in (b) and (c) below, of an applicant, beneficiary, or child for whom application is made or Medi-Cal received. These regulations shall not preclude the county welfare department from contracting with the district attorney for assistance in the investigation of good cause claims.
(b) Good cause exists if the applicant's or beneficiary's cooperation in securing medical support and payments, establishing paternity, identifying and providing information concerning liable or potentially liable third parties is reasonably anticipated to result in serious physical or emotional harm;
(1) To the child for whom support is to be sought;
(2) To the parent or caretaker relative with whom the child is living as specified in (d) below.
(c) The county believes that proceeding to secure medical support or establish paternity would be detrimental to the child for whom such support would be sought because at least one of the following circumstances exists:
(1) The child for whom such support is sought was conceived as a result of incest or forcible rape;
(2) Legal proceedings for the adoption of the child are pending before a court of competent jurisdiction; or
(3) The applicant or beneficiary is currently being assisted by a public or licensed private social service agency to resolve the issue of whether to keep the child or relinquish him/her for adoption, and the discussions have not gone on for more than three months.
(d) Serious physical or emotional harm as it relates to the parent or caretaker relative means substantial reduction of the capacity of the parent or caretaker relative to care for the child adequately. The mere belief of the parent, caretaker relative, applicant, or beneficiary that cooperation could or would result in harm shall not be a sufficient basis for finding good cause.
(e) A finding of good cause for emotional harm shall be based only upon a demonstration of an emotional impairment that substantially affects the individual's functioning. The county shall consider the following when determining emotional harm:
(1) The present emotional state of the individual subject to emotional harm;
(2) The emotional health history of the individual subject to emotional harm;
(3) The intensity and probable duration of the emotional impairment;
(4) The degree of cooperation to be required; and
(5) The extent of the involvement of the individual in the paternity establishment or support enforcement activity to be undertaken.
(f) An applicant, beneficiary, parent, or caretaker relative who claims to have good cause for refusing to cooperate shall have the burden of proof in establishing the existence of good cause. The individual shall be required to:
(1) Specify the circumstances described in (b) above that the individual believes provides sufficient good cause for not cooperating;
(2) Provide sufficient information (such as the putative father or absent parent's name and address, if known) to permit an investigation pursuant to (l) below; and
(3) Provide corroborative evidence as described in Section 50771.5(g) within 20 days from the day the claim of good cause was made. In exceptional cases, where the county determines the individual requires additional time because of the difficulty of obtaining corroborative evidence, a reasonable additional period of time shall be allowed upon request of the individual and approval by county supervisory personnel.
(g) Good cause may be corroborated by:
(1) Birth certificate or medical or law enforcement records which indicate that the child was conceived as the result of incest or forcible rape;
(2) Court documents or other records which indicate that legal proceedings for adoption are pending before a court of competent jurisdiction;
(3) Court, medical, criminal, child protective services, psychological, or law enforcement records which indicate that the putative father or absent parent might inflict physical or emotional harm on the child, parent, or caretaker relative;
(4) Medical records which indicate emotional health history and the present emotional health status of the parent, caretaker relative, or the child for whom support would be sought; or written statements from a mental health professional indicating a diagnosis or prognosis concerning the emotional health of the parent, caretaker relative, or the child for whom support would be sought;
(5) A written statement from a public or licensed private social service agency that the applicant or beneficiary is being assisted by the agency to resolve the issue of whether to keep the child or relinquish him/her for adoption;
(6) Statements under penalty of perjury from individuals, other than the applicant or beneficiary, with actual knowledge of the circumstances which provide the basis for the good cause claim.
(h) The county shall examine the corroborative evidence supplied by the applicant, beneficiary, parent, or caretaker relative to ensure that it actually verifies the good cause claim.
(i) If, after examining the corroborative evidence submitted by the individual, the county wishes to request additional corroborative evidence which is needed to justify a determination of good cause, the county shall:
(1) Promptly inform the applicant or beneficiary that additional corroborative evidence is needed; and
(2) Specify the type of evidence which is needed.
(j) Upon request, the county shall:
(1) Advise the applicant or beneficiary how to obtain the necessary evidence.
(2) Make a reasonable effort to obtain specific information which the applicant or beneficiary is not reasonably able to obtain without assistance.
(k) Where a claim is based on the individual's anticipation of physical harm as defined in (d) above, and corroborative evidence is not submitted in support of the claim:
(1) The county shall make reasonable efforts to examine, review, and evaluate the good cause claim when it believes that:
(A) The claim is credible without corroborative evidence; and
(B) Corroborative evidence is not available.
(2) Good cause shall be found if the claimant's statement and the investigation which is conducted satisfy the county that the individual has good cause for refusing to cooperate.
(3) A determination that good cause exists shall be reviewed and approved or disapproved by county supervisory personnel and the county's findings shall be recorded in the case record.
(l) In the course of determining whether good cause exists, the county shall not contact the absent parent or putative father from whom support would be sought unless such contact is determined to be necessary to establish the good cause claim.
(1) Prior to making contact with the absent parent or putative father, the county will inform the applicant or beneficiary that the absent parent or putative father may be contacted unless the applicant or beneficiary:
(A) Presents additional corroborative evidence or information so that contact with the parent or putative father becomes unnecessary:
(B) Withdraws the application for assistance or requests discontinuance.
(2) The county shall inform the applicant or beneficiary that he/she may request the good cause claim be denied. If the applicant or beneficiary makes this request, the county shall send the appropriate Notice of Action.
(m) Prior to making a final determination of good cause for refusing to cooperate, the county shall:
(1) Afford the district attorney the opportunity to review and comment on the findings and basis for the proposed determination;
(2) Consider any recommendation from the district attorney; and
(3) Give the district attorney the opportunity to participate as a witness in any hearing (under the Department of Social Services Manual of Policies and Procedures (DSS-MMP) Chapter 22-000) that results from an applicant's or beneficiary's appeal of any county action relating to establishing paternity or securing medical support.
(n) The county shall determine whether or not good cause exists, based on the applicant's or beneficiary's statement, together with the corroborative evidence, if the statement and evidence provide a sufficient basis for making a determination. The county may further verify the good cause claim through an investigation if necessary.
(o) The determination of whether or not good cause exists shall be made within 45 days from the day the good cause claim is made. This time standard may be exceeded only where the case record documents that the county needs additional time because:
(1) The information required to verify the claim cannot reasonably be obtained within 45 days; or
(2) The applicant or beneficiary did not provide corroborative evidence within the period required by (f)(3).
(p) The applicant or beneficiary shall be notified on the appropriate Notice of Action form of the final determination that good cause does or does not exist. If good cause does not exist, the notice shall also specify that:
(1) The applicant or beneficiary will be afforded an opportunity to cooperate, to withdraw the application for assistance, or to have the case closed; and
(2) Continued refusal to cooperate will result in ineligibility for the applicant or beneficiary who refuses, in accordance with Section 50379; however, eligibility will be granted for the other members of the MFBU, if otherwise eligible.
(q) If good cause exists, the county shall determine whether medical support enforcement may proceed without unreasonable risk of harm to the child, parent, or caretaker or relative if the caretaker relative does not participate in these medical support activities.
(1) This determination shall be in writing, shall contain the county's findings and basis for the determination, and shall be entered into the case record.
(2) If the county determines that good cause exists and that the district attorney may proceed to establish paternity and enforce medical support, the county shall notify the applicant or beneficiary to enable such individual to withdraw his/her application or to have the record closed.
(3) Prior to making this determination, the county shall afford the district attorney an opportunity to review and comment on the findings and basis for the proposed determination and shall consider any recommendation from the district attorney.
(r) Good cause may be denied if the individual fails to meet his/her responsibilities as specified in (f) above.
(s) If the district attorney determines that a beneficiary has failed or refused to cooperate within the meaning of Section 50185(a)(9) and (a)(10), the district attorney will provide the county with a statement which specifies the circumstances of the beneficiary's failure or refusal. The county shall take action to terminate Medi-Cal to the beneficiary only when it has verified on the basis of all available evidence that the beneficiary failed or refused to cooperate without good cause.
(t) The failure of a foster parent or caretaker relative who is not requesting Medi-Cal as part of the child's MFBU, to comply with this requirement shall not affect eligibility for the MFBU members. In foster care situations, the child's natural parent and the placing agency shall be asked to cooperate to the extent possible.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11477 and 14008.6, Welfare and Institutions Code; and 42 C.F.R. Sections 433.135, 433.136, 433.137, 433.138, 433.145, 433.146, 433.147, 433.148 and 435.604.
HISTORY

1. New section filed 4-16-93 as an emergency; operative 4-16-93 (Register 93, No. 16). A Certificate of Compliance must be transmitted to OAL 8-16-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-16-93 order including amendment of  Note transmitted to OAL 8-13-93 and filed  9-23-93 (Register 93, No. 39).
§50772. Veterans Aid and Attendance Payments.
Note     •     History

(a) A Veterans Aid and Attendance payment is a veterans benefit designated to purchase aid and attendance services, and it shall be considered a third party payment.
(b) A beneficiary who receives Veterans Aid and Attendance payments shall be required to utilize this benefit in accordance with the following:
(1) Beneficiaries in LTC shall utilize the Aid and Attendance payments for LTC services prior to the utilization of Medi-Cal benefits. Such utilization shall occur through the share of cost process described in Article 12, that is, any amounts for Veterans Aid and Attendance payments shall be added to the share of the cost amount determined in Section 50653(a)(2)(F).
(2) Beneficiaries not in LTC shall utilize the Aid and Attendance payments for the cost of IHSS prior to the application of the income deduction specified in Section 50551.6.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14024, Welfare and Institutions Code.
HISTORY

1. New section filed 2-16-88 as an emergency; operative 2-16-88 (Register 88, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-15-88.
2. Emergency language filed 2-16-88 repealed by operation of Government Code Section 11346.1 (Register 88, No. 27).
3. New section refiled 6-22-88 as an emergency; operative 6-22-88 (Register 88, No. 27). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-20-88.
4. Certificate of Compliance transmitted to OAL 6-20-88 and filed 7-15-88 (Register 88, No. 31).
§50773. Medicare Buy-In.
Note     •     History

(a) Medicare Buy-In is the payment of Medicare Part B premiums by the Department under the California Medicare Buy-In agreement with the Social Security Administration for Medi-Cal beneficiaries who are:
(1) Eligible under the SSI/SSP, Other PA or MN program on the basis of age.
(2) Eligible under the SSI/SSP, Other PA or MN program on the basis of blindness or disability and also eligible for Medicare Part B in accordance with section 50775(a).
(b) State payment of Part B premiums under the Buy-In provisions shall become effective the:
(1) Second month after the month in which Medi-Cal eligibility is approved for MN persons who were not eligible for a federally covered Medi-Cal program in the month before their first month of MN eligibility.
(2) First month of eligibility for PA and Other PA recipients and MN persons not specified in (1).
(3) The first month after the month of eligibility for qualified Medicare beneficiaries in accordance with Section 50258.
(4) The first month eligibility is approved for Specified Low-Income Medicare Beneficiaries in accordance with Section 50258.1.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.1 and 14050.1, Welfare and Institutions Code; and Section 1396a(a)(10)(E)(iii), Title 42, United States Code.
HISTORY

1. Amendment of subsections (a)(1) and (a)(2) filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Amendment of subsection (a) filed 7-31-81 as an emergency; effective upon filing (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-28-81.
3. Certificate of Compliance transmitted to OAL 11-6-81 and filed 1-27-82 (Register 82, No. 5).
4. Amendment of subsection (b)(1) filed 5-15-90; operative 6-14-90 (Register 90, No. 25).
5. Amendment of subsection (b) filed 8-13-90 as an emergency; operative 8-13-90 (Register 90, No. 40). A Certificate of Compliance must be transmitted to OAL by 12-11-90 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance transmitted to OAL 12-11-90 and filed 1-9-91 (Register 91, No. 8).
7. New subsection (b)(4) and amendment of subsection (b)(3) and Note filed 12-21-93; operative 1-20-94 (Register 93, No. 52). 
§50775. Medicare Coverage.
History

(a) Persons eligible for both Medicare Part A (Hospital) and Part B (Outpatient) benefits under the Social Security Act, Title XVIII, are persons or their spouses who have the required number of quarters of covered employment, are citizens of the United States or aliens legally present in the United States for at least five years, and who meet at least one of the following:
(1) Are 65 years of age or over.
(2) Are entitled to disability, including blindness, benefits for at least 24 consecutive months under Title II of the Social Security Act, or Railroad Retirement program.
(3) Meet the requirements for the receipt of Medicare as a patient with chronic renal disease.
(b) Persons eligible for only Medicare Part B benefits are persons who are either citizens of the United States or are aliens legally present in the United States for at least five years, and are all of the following:
(1) Not eligible for Medicare Part A.
(2) Sixty-five years of age or over.
HISTORY

1. Amendment filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
§50777. Requirement to Apply for Medicare.
Note     •     History

(a) The following Medi-Cal applicants and beneficiaries shall be required to apply for Medicare Part A:
(1) Any person 64 years and 9 months of age or older.
(2) Persons applying for Medi-Cal on the basis of blindness or disability.
(3) Persons who are receiving disability payments under title II of the Social Security Act or Railroad Retirement program unless the county can obtain verification of receipt of Social Security title II disability payments in accordance with section 50167. In these instances Medicare enrollment is deemed to be automatic beginning with the 25th month of receipt of this benefit and application is not required.
(4) Persons receiving dialysis-related health care services.
(b) The following Medi-Cal applicants and beneficiaries shall be required to apply for Medicare Part B:
(1) Persons who are applying for Medi-Cal on the basis of being aged.
(2) Persons applying for Medi-Cal on the basis of blindness or disability unless the county can obtain verification of receipt of Social Security Title II disability payments in accordance with section 5167. In these instances Medicare enrollment is deemed to be automatic beginning with the 25th month of receipt of this benefit and application is not required.
(3) Persons receiving dialysis-related health care services, unless the county can obtain verification of receipt of Medicare Part A benefits in accordance with section 50167. In these instances, Medicare Part B enrollment is deemed to be automatic and application is not required.
(c) The persons specified in (a) and (b) shall submit verification to the county department of the approval or denial of their Medicare eligibility within 60 days of the date they are notified of the requirement to apply or within 10 days of the notification of approval or denial if their eligibility for Medicare is not determined within 60 days. Except for those persons applying under Sections 50258 and 50256, persons who would only be eligible for Medicare Part A if they paid a premium shall not be required to accept Part A benefits.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005, 14005.3, 14005.11 and 14109, Welfare and Institutions Code; Sections 426(b), 426-1, 1396a(a), 1396d(p), 1396d(s) and 9902(2), Title 42, United States Code; and Sections 4-7.18(b)(2), 405.210(b)(1)(iv), 408.5, 408.12, 408.13 and 435.603, Title 42, Code of Federal Regulations.
HISTORY

1. Amendment of subsection (a)(4) and repealer of subsection (a)(5) filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 7-5-88; operative 8-4-88 (Register 88, No. 31).
4. Amendment of subsection (c) filed 8-13-90 as an emergency; operative 8-13-90 (Register 90, No. 40). A Certificate of Compliance must be transmitted to OAL by 12-11-90 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance transmitted to OAL 12-11-90 and filed 1-9-91 (Register 91, No. 8).
6. Amendment of subsection (c) and Note filed 10-3-94 as an emergency; operative 10-3-94 (Register 94, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-95 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History Note 6 (Register 95, No. 9).
8. Reinstatement of subsection (c) and Note as they existed prior to emergency amendment filed 3-2-95 by operation of Government Code section 11346.1(f) (Register 95, No. 9).
9. Amendment of subsection (c) and Note refiled 3-3-95 as an emergency; operative 3-3-95 (Register 95, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-95 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-3-95 order including amendment of  subsection (c) transmitted to OAL 2-22-95 and filed 4-5-95 (Register 95, No. 14).
§50778. Other Health Care Coverage Premium Payment.
Note     •     History

The Department, in accordance with the period of eligibility as stipulated within the policyholder's contract, or in accordance with the period of eligibility as stipulated for continuation of coverage under federal law, shall pay the premiums to provide other health care coverage for a beneficiary with entitlement to such coverage when the estimated savings to the Medi-Cal program is 110% or greater than the premium costs. The estimated savings shall be determined by the Department by the review of either:
(a) Costs of covered medical services received by the beneficiary during the preceding year, irrespective of the payment source; or
(b) Estimated annual cost of medical services for the treatment of the beneficiary's pre-existing medical condition.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14124.91, Welfare and Institutions Code; and 42 USC 1396b(a)(1).
HISTORY

1. New section filed 6-28-89; operative 7-28-89 (Register 89, No. 26).
2. Amendment of section and Note filed 4-8-2010; operative 5-8-2010 (Register 2010, No. 15).
Article 16. Overpayments, Fraud and Improper Utilization
§50781. Potential Overpayments.
Note     •     History

(a) A potential overpayment occurs when all of the following conditions exist, as limited by (b).
(1) A beneficiary, or other person acting on the beneficiary's behalf, has been informed verbally and in writing on the MC 210 cover sheet (9/91), and the certification in the Statement of Facts (Medi-Cal), MC 210 (3/92), or on the cover sheet to and the Application for Cash Aid, Food Stamps, and/or Medical Assistance (SAWS 1) (9/90) CA 1/DFA 285-A1, or on the Important Information For Applicants and Recipients For Cash Aid, Food Stamps and Medical Assistance (SAWS 2A) (5/92) (Important Information) CA2/DFA 285-A2/MC 210, or on the Statement of Facts Cash and Food Stamps - (JA2) (4/90) CA2/DFA 285-A2 of his/her responsibility to report completely and accurately, facts required pursuant to Subdivision 1, Chapter 2, which would affect eligibility or share or cost, and to report any changes in those facts within 10 days.
(2) A beneficiary or the person acting on the beneficiary's behalf has completed and signed the Medi-Cal Applicant/Beneficiary Understanding, MC 210 (9/91) cover sheet and the certification in the Statement of Facts (Medi-Cal) MC 210 (3/92), or the certification in the Statement of Facts Cash Aid and Food Stamps - (JA2) (4/90) CA2/DFA 285-A2, or the certification in the Application for Cash Aid, Food Stamps, and/or Medical Assistance (SAWS 1) (9/90) CA1/DFA 285-A1, or the certification in the Important Information For Applicants and Recipients For Cash Aid, Food Stamps and Medical Assistance (SAWS 2A) (5/92) (Important Information) CA2/DFA 285-A2/MC 210 and has, within his/her competence, done any of the following:
(A) Provided incorrect oral or written information.
(B) Failed to provide information required pursuant to Subdivision 1, Chapter 2, which would affect the eligibility or share of cost determination.
(C) Failed to report changes in circumstances regarding any information required pursuant to Subdivision 1, Chapter 2, which would affect eligibility or share of cost within 10 days of the change.
(3) These facts, when considered in conjunction with other information available on the beneficiary's circumstances, would result in ineligibility or an increased share of cost.
(b) If an increase occurred in a person's income or assets and that increase would not have affected the person's eligibility or share of cost in the month in which there was an increase in income or assets or in the following month because of the 10-day notice requirements specified in Sections 50179, 50185 and 50653.5, no potential overpayment exists in either such month.
(c) No potential overpayment exists if the beneficiary informed the county department of circumstances which would result in ineligibility or an increased share of cost, and the county department failed to act on the information.
(d) No potential overpayment exists when there is a failure on the part of a beneficiary to perform an act which is a condition of eligibility if the failure is due to an error by the Department or the county department.
(e) For purposes of this section, potential overpayments shall be determined by applying the laws in effect in the month or months for which the potential overpayment is being determined.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004, 14009 and 14016.4, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 12-30-81 as an emergency; effective upon filing (Register 82, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-82.
2. Certificate of Compliance transmitted to OAL 4-23-82 and filed 5-12-82 (Register 82, No. 20).
3. New subsection (a)(3) and amendment of subsection (c) filed 5-12-82; effective thirtieth day thereafter (Register 82, No. 20).
4. Amendment of section and Note filed 4-13-93; operative 5-13-93 (Register 93, No. 16).
§50781.5. Potential Overpayments--Unreported Other Health Coverage.
Note     •     History

(a) A potential overpayment occurs when a beneficiary, or the person acting on the beneficiary's behalf, has knowingly failed to report other health coverage under either of the following circumstances:
(1) The other health coverage is of a type designated by the Department as not subject to post-service reimbursement, and the beneficiary who fails to utilize such other health coverage without good cause; or
(2) The beneficiary has received services for which Medi-Cal paid, and the beneficiary also claimed and received payment through private health care coverage.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14009, 14016.4 and 14024, Welfare and Institutions Code.
HISTORY

1. New section filed 4-13-93; operative 5-13-93 (Register 93, No. 16).
§50782. Fraud.
Note     •     History

Fraud occurs if an overpayment occurs and the beneficiary or the person acting on the beneficiary's behalf willfully failed to report facts as specified in Section 50781(a) with the intention of deceiving the Department, the county department or the Social Security Administration for the purpose of obtaining Medi-Cal benefits to which the beneficiary was not entitled.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004, 14009, 14014 and 14016.4, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-30-81 as an emergency; effective upon filing (Register 82, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-82.
2. Certificate of Compliance transmitted to OAL 4-23-82 and filed 5-12-82 (Register 82, No. 20).
3. Amendment of section and Note filed 4-13-93; operative 5-13-93 (Register 93, No. 16).
§50783. County Action on Potential Overpayment.
Note     •     History

(a) The county department shall take the following action when it appears that there may be a potential overpayment:
(1) Determine the correct eligibility status and share of cost based on the correct income, property and other circumstances.
(2) Determine whether a potential overpayment exists in accordance with Section 50781.
(3) If a potential overpayment exists, refer it to the Department or to the county unit contracting with the Department to collect overpayments in accordance with the procedures established by the Department.
(4) In those instances where the potential overpayment is due to the willful failure to report facts and there was a person acting on behalf of the beneficiary:
(A) Determine whether the beneficiary is competent to handle his/her own affairs.
(B) If the beneficiary is competent, require that the beneficiary act on his/her own behalf in the future.
(C) If the beneficiary is not competent, refer the case to Social Services and/or the public guardian or conservator to ensure that the beneficiary's interests are protected.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 133.5, Chapter 102, Statutes of 1981. Reference: Sections 11004, 14009 and 14016.4, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 12-30-81 as an emergency; effective upon filing (Register 82, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-82.
2. Certificate of Compliance transmitted to OAL 4-23-82 and filed 5-12-82 (Register 82, No. 20).
§50785. Action on Overpayment--Department of Health. [Repealed]
Note     •     History

NOTE

Authority cited: Section 10725 and 14124.5, Welfare and Institutions Code; Section 133.5, Chapter 102, Statutes of 1981. Reference: Sections 11004, 14009 and 14016.4, Welfare and Institutions Code.
HISTORY

1. Repealer filed 12-30-81 as an emergency; effective upon filing (Register 82, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-82.
2. Certificate of Compliance transmitted to OAL 4-23-82 and filed 5-12-82 (Register 82, No. 20).
§50786. Action on Overpayment--Department of Health Services or County Unit Contracted to Collect Overpayments.
Note     •     History

(a) Upon receipt of a potential overpayment referral, the Department's Recovery Section or the county unit contracted to collect overpayments shall:
(1) Determine the amount of Medi-Cal benefits received by the beneficiary for the period in which there was a potential overpayment.
(2) Compute the actual overpayment in accordance with the following:
(A) When the potential overpayment was due to excess property, the actual overpayment shall be the lesser of the:
1. Actual cost of services paid by the Department during that period of consecutive months in which there was excess property throughout each month.
2. Amount of property in excess of the property limit during that period of consecutive months in which there was excess property throughout each month. This excess amount shall be determined as follows:
a. Compute the excess property at the lowest point in the month for each month.
b. The highest monthly amount determined in a. shall be the amount of the excess property for the entire period of consecutive months.
(B) When the potential overpayment was due to increased share of cost, the actual overpayment shall be the lesser of the:
1. Actual cost of services received in the month(s) which were paid by the Department.
2. Amount of the increased share of cost for the month(s) in which services were received which were paid by the Department.
(C) When the overpayment was due to excess property and increased share of cost, the actual overpayment shall be a combination of (A) and (B).
(D) When the potential overpayment was due to other factors which result in ineligibility the overpayment shall be the actual cost of services paid by the Department.
(E) Potential overpayments, due to beneficiary possession of other health coverage that is not subject to post-services reimbursement, shall be processed by the Department to determine and recover actual overpayments in all cases. The actual overpayment in such cases shall be the actual cost of services paid by the Department which would have been covered by private health insurance or other health coverage, had the coverage been known to the Department. The actual overpayment shall not include any costs which can be recovered directly by the Department from the health insurance carrier or other source.
(3) Refer those cases where there appears there may be fraud to the Investigations Branch of the Department.
(4) Take appropriate action to collect overpayments in accordance with Section 50787.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004, 14005.9, 14009 and 14016.4, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-30-81 as an emergency; effective upon filing (Register 82, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-82.
2. Certificate of Compliance transmitted to OAL 4-23-82 and filed 5-12-82 (Register 82, No. 20).
3. Amendment filed 5-12-82; effective thirtieth day thereafter (Register 82, No. 20).
4. Amendment of subsection (a)(2)(A)2. filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
5. Amendment of subsections (a)(2)(B)1. and 2. and Note filed 4-13-93; operative 5-13-93 (Register 93, No. 16).
§50787. Demand for Repayment.
Note     •     History

(a) The Department or the county unit contracted to collect overpayments shall demand repayment of actual overpayments in accordance with procedures established by the Department.
(b) The Department or the county unit contracted to collect overpayments shall inform the beneficiary, or the person acting on the beneficiary's behalf, in writing, of the overpayment amount and of his/her right to a state hearing on the overpayment in accordance with Section 50951. If the person requests a state hearing on the overpayment, collection action shall be suspended until a final decision has been rendered in accordance with Section 50953.
(c) The Department or the county unit contracted to collect overpayments may take other collection actions as permitted under state law against the income or resources of the beneficiary or the income and resources of any person who is financially responsible for the cost of the beneficiary's health care in accordance with Sections 50088, 50163, and 50185.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11004, 14009, 14014, 14016.4 and 14024, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-30-81 as an emergency; effective upon filing (Register 82, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-82.
2. Certificate of Compliance transmitted to OAL 4-23-82 and filed 5-12-82 (Register 82, No. 20).
3. New subsection (b) and subsection relettering, and amendment of newly designated subsection (c) and Note filed 4-13-93; operative 5-13-93 (Register 93, No. 16).
§50789. Failure to Repay. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 133.5, Chapter 102, Statutes of 1981. Reference: Sections 11004, 14009 and 14016.4, Welfare and Institutions Code.
HISTORY

1. Repealer filed 12-30-81 as an emergency effective upon filing (Register 82, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-82.
2. Certificate of Compliance transmitted to OAL 4-23-82 and filed 5-12-82 (Register 82, No. 20).
§50791. Medi-Cal Overpayments Fraud--AFDC Cash Grant.
Note     •     History

(a) When an AFDC overpayment occurs, the county department shall:
(1) Investigate any potential Medi-Cal fraud which is incidental to AFDC cash grant fraud and take appropriate action.
(2) Determine whether there was ineligibility for Medi-Cal as an AFDC recipient. If so, the county shall determine whether:
(A) Medi-Cal eligibility existed under any other program.
(B) There was a potential Medi-Cal overpayment.
(C) Report potential Medi-Cal overpayments to the county unit designated to collect Medi-Cal overpayments caused by AFDC recipients.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 133.5, Chapter 102, Statutes of 1981. Reference: Sections 11004, 14009 and 14016., Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-30-81 as an emergency; effective upon filing (Register 82, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-82.
2. Certificate of Compliance transmitted to OAL 4-23-82 and filed 5-12-82 (Register 82, No. 20).
3. Amendment of subsection (a)(2)(C) filed 5-12-82; effective thirtieth day thereafter (Register 82, No. 20).
§50793. Utilization Restrictions.
Note     •     History

(a) A beneficiary who has been determined by the Department to be misusing or abusing Medi-Cal benefits by obtaining drugs or other services at a frequency or amount not medically necessary may be subjected to one or more of the following forms of utilization restriction:
(1) Prior authorization for all Medi-Cal services.
(2) Prior authorization for specific Medi-Cal services.
(3) Restriction to utilization of a specific, beneficiary- or Department-selected pharmacy.
(4) Restriction to a specific, beneficiary- or Department-selected primary provider of medical services.
(b) Utilization restriction shall not apply in the following situations:
(1) Emergencies as defined in Section 51056.
(2) Referral of the restricted beneficiary to another provider by the beneficiary- or Department-selected primary provider of medical services.
(c) The Department shall impose utilization restriction upon a beneficiary only on the written order of the Director or the Director's designee. The written order, hereinafter referred to as the Notice of Action, shall:
(1) Include the reasons for the action.
(2) State the dates of the restriction period.
(3) Explain the beneficiary's right to and procedures for requesting a hearing.
(4) Be mailed to the beneficiary by regular mail at least ten days prior to the effective date.
(d) The restriction as described in (a) above shall be for a period of two (2) years from the effective date on the Notice of Action.
(e) Should the Department find during the term of the restriction that the potential for abuse still exists, so as to warrant continued restriction beyond the two (2) year period, the Department may extend the period of restriction. Each such extension shall:
(1) Be for an additional period of two (2) years.
(2) Require a separate Notice of Action in accordance with (c) above except that the Notice of Action must be mailed at least ninety (90) days prior to the effective date of the action.
(f) Should the beneficiary's request for a hearing be received prior to the effective date of the action:
(1) Said action will not be taken until the hearing has been held and a final decision rendered.
(2) The effective date of the action will be the first day of the month following the adoption, by the Director, of the final hearing decision, provided the notice of decision was mailed at least ten (10) days prior to the effective date of the action.
(g) Should the beneficiary's request for a hearing be received on or subsequent to the effective date of the action, said action will remain in full force and effect until the hearing has been held and a final decision rendered.
(h) Under no circumstances shall the months wherein a beneficiary is off restricted status solely due to requesting a hearing be counted toward the two year period as provided for in (d) or (e) above.
(i) There is no right to a hearing when a beneficiary is placed on restricted status as a result of his or her conviction of any misdemeanor or felony involving fraud or abuse of medical assistance benefits or services or in connection with any public assistance program.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14124.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-16-78 as an emergency; designated effective 8-16-78 (Register 78, No. 32).
2. Certificate of Compliance filed 12-12-78 (Register 78, No. 50).
3. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 28).
Article 17. Dialysis Medi-Cal Program
§50801. Medi-Cal Special Treatment Programs--General.
Note     •     History

For the purposes of determining eligibility for Medi-Cal Special Treatment Programs, the regulations in this article shall supersede any conflicting regulations in this chapter.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50803. Medi-Cal Special Treatment Programs Beneficiary.
Note     •     History

(a) Medi-Cal Special Treatment Programs beneficiary means a person who is either a Medi-Cal Special Treatment Programs--Only beneficiary or a Medi-Cal Special Treatment Programs--Supplement beneficiary.
(1) Medi-Cal Special Treatment Programs--Only beneficiary means a person who has been determined eligible for Medi-Cal Special Treatment Programs--Only coverage in accordance with Section 50817(b).
(2) Medi-Cal Special Treatment Programs--Supplement beneficiary means a person who is a Medi-Cal Medically Needy or Medically Indigent beneficiary and who has been determined eligible for the Medi-Cal Special Treatment Programs--Supplement coverage in accordance with Section 50817(c).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50805. Real Property--Medi-Cal Special Treatment Programs
Note     •     History

Real property means any interest in land and improvements.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14140, 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment of section heading filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50807. Personal Property--Medi-Cal Special Treatment Programs.
Note     •     History

Personal property means cash, savings accounts, securities and similar items; notes, mortgages and deeds of trust; the cash surrender value of life insurance on the life of the beneficiary, spouse or any member of the family; motor vehicles; and any other property or equity other than real property.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14140, 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment of section heading filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50809. Gross Income--Medi-Cal Special Treatment Programs.
Note     •     History

Gross income means adjusted annual gross income as used for purposes of federal income tax reporting.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14140, 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment of section heading filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46). 
§50811. Annual Net Worth.
Note     •     History

Annual net worth means the total market value of all property and gross income received for a 12-month period by the applicant or beneficiary, in accordance with Section 50825.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 11-10-83 (Register 83, No. 46).
§50813. Percentage Obligation.
Note     •     History

Percentage obligation means the percent of the cost of dialysis or parenteral hyperalimentation and related services for which a Medi-Cal Special Treatment Programs beneficiary must either pay or assume full legal responsibility.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50815. Application Process--Medi-Cal Special Treatment Programs.
Note     •     History

(a) The county department shall receive and act on applications for the Medi-Cal Special Treatment Programs in accordance with Article 4.
(1) The Application for Public Social Services, Form CA 1, shall be used as the application form.
(2) The name of the applicable Medi-Cal Special Treatment Program shall be indicated immediately above the “Medi-Cal card” box on Form CA 1.
(b) The county, in addition to meeting the requirements of Section 50157(f) and (g), shall provide Medi-Cal Special Treatment Programs--Supplement applicants a copy of the applicable Medi-Cal Special Treatment Programs--Supplement Client Information statement at the initial and redetermination or reapplication interviews. A signed and dated copy of the applicable Medi-Cal Special Treatment Programs--Supplement Client Information statement shall be placed in the case folder.
(c) A redetermination shall be required annually.
(d) The county department shall require Medi-Cal Special Treatment Programs--Only and Medi-Cal Special Treatment Programs--Supplement beneficiaries to complete a Medi-Cal Status Report, Form MC 176S, no later than the third month following the month of Medi-Cal Special Treatment Programs eligibility approval and at three month intervals thereafter. Status reports shall not be required during the quarter in which an annual redetermination is completed.
(1) A reevaluation shall be made when a change in circumstances affects the percentage obligation or eligibility.
(2) Information supplied on the status report shall be considered in reevaluating percentage obligation or eligibility.
(e) Retroactive eligibility, as defined by Section 50197, shall not be provided under the Medi-Cal Special Treatment Programs.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment of subsection (d) filed 10-3-80; effective thirtieth day thereafter (Register 80, No. 40).
4. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
5. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
6. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
7. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
8. Change without regulatory effect amending subsection (e) and Note filed 6-21-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 25).
§50817. Eligibility Requirements--Medi-Cal Special Treatment Programs.
Note     •     History

(a) Applicants for Medi-Cal Special Treatment programs shall meet cooperation, citizenship, residence, institutional status and transfer of property requirements in Article 4, 6 and 9.
(b) Applicants shall be eligible for Medi-Cal Special Treatment Programs--Only coverage if they are all of the following:
(1) In need of dialysis or parenteral hyperalimentation and related services.
(2) Otherwise eligible for Medi-Cal under Section 50203 as Medically Needy or Section 50251 as Medically Indigent except for property which exceeds the limits set forth in Article 9.
(3) Not eligible for renal dialysis Medicare if under 65 years of age. Medicare eligibility shall not affect Medi-Cal Special Treatment Programs--Only eligibility for persons age 65 or for persons applying for parenteral hyperalimentation coverage.
(c) Applicants shall be eligible for the Medi-Cal Special Treatment Programs--Supplement coverage if they are all of the following:
(1) Eligible under Section 50203 as Medically Needy or Section 50251 as Medically Indigent. Medicare eligibility shall not affect Medi-Cal Special Treatment Programs--Supplement eligibility.
(2) In need of dialysis or parenteral hyperalimentation and related services.
(3) Employed or self-employed.
(4) Earning an individual gross income that exceeds the minimum maintenance need for one person.
(d) Applicants for the Medi-Cal Special Treatment Programs shall apply for Medicare as follows:
(1) Applicants for dialysis coverage shall apply for Medicare within ten days of making application for a Medi-Cal Special Treatment Program. Applicants who fail to apply for Medicare within the prescribed time period, except for good cause as exemplified under Section 50175 (c), shall have the application denied under that specific Medi-Cal Special Treatment Program.
(2) Applicants for or beneficiaries of parenteral hyperalimentation coverage shall apply for Medicare in accordance with Section 50777.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14015, 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
7. Amendment of subsections (b)(2) and (b)(3) filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
§50819. Verification Requirements--Medi-Cal Special Treatment Programs.
Note     •     History

(a) All Medi-Cal Special Treatment Program applicants or beneficiaries shall provide the following:
(1) Applicable verification required under Article 4.
(2) A copy of the Social Security statement of Medicare status to the county department within ten days of receipt.
(b) Dialysis Program beneficiaries shall provide verification of Medicare status at the following times:
(1) Annual redetermination, if previous verification does not indicate current status.
(2) Each month in which it appears there may be a change in Medicare eligibility status if the beneficiary is currently ineligible for Medicare.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50820. Eligibility Determination for Medi-Cal Special Treatment Programs.
Note     •     History

(a) The county department shall determine a person's eligibility for the Medi-Cal Special Treatment programs as follows:
(1) Persons who apply for the Medi-Cal Dialysis Only Program or the Medi-Cal Dialysis Supplement Program shall have their eligibility determined as of the month of application.
(2) Persons who apply for the Medi-Cal Parenteral Hyperalimentation Only Program or the Medi-Cal Parenteral Hyperalimentation Supplement Program on or before the last day of the second month following the month these regulations are effective shall have their eligibility determined retroactively to January 1, 1981, for months in which they otherwise meet program eligibility requirements.
(3) Persons who apply for the Medi-Cal Parenteral Hyperalimentation Only Program or the Medi-Cal Parenteral Hyperalimentation Supplement Program after the last day of the second month following the month these regulations are effective shall have their eligibility determined as of the month of application.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14142 ad 14144.5, Welfare and Institutions Code.
HISTORY

1. New section filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50821. Medi-Cal Special Treatment Program.
Note     •     History

(a) The Department shall provide a Medi-Cal Special Treatment Program card to each Medi-Cal Special Treatment Programs beneficiary. Each Medi-Cal Special Treatment Program card shall identify the program for which the beneficiary is eligible.
(b) The individual Medi-Cal Special Treatment Program cards shall be authorization for payment of the cost of covered services in accordance with regulations of the Department, if the costs of those services:
(1) Were incurred during the period covered by the Medi-Cal Special Treatment Programs card.
(2) Are not payable by a third party under contractual or other legal entitlement.
(3) Are not paid or obligated by the Medi-Cal Special Treatment Programs beneficiary as part of the percentage obligation.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50823. Beginning Date of Eligibility--Medi-Cal Special Treatment Programs.
Note     •     History

The beginning date of eligibility for the Medi-Cal Special Treatment Programs shall be the first of the month of application or the first of the month during which there is eligibility, whichever is later. However, the beginning date of eligibility for persons who apply for either the Medi-Cal Parenteral Hyperalimentation Only Program or the Medi-Cal Parenteral Hyperalimentation Supplement Program on or before the last day of the second month following the month these regulations are effective shall be the first of the month in which there is eligibility as determined pursuant to Section 50820(a)(2).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50825. Determination of Annual Net Worth.
Note     •     History

(a) Annual net worth shall be determined by combining the net market value of all property, other than the property excluded in (c), and the net income reasonably expected to be received in a 12-month period by the persons whose property and income are considered in accordance with (b). The initial 12-month period shall begin on the first of the month of initial eligibility.
(b) In determining the annual net worth of a beneficiary, the property and income of the following persons shall be considered:
(1) The beneficiary.
(2) The beneficiary's spouse.
(3) The beneficiary's parents, if the beneficiary is all of the following:
(A) Under 21 years of age.
(B) Unmarried.
(C) Living with the parents.
(c) The following real and personal property shall be excluded in determining annual net worth:
(1) One motor vehicle used for the transportation needs of the beneficiary or any member of the family.
(2) The first $40,000 of market value of the beneficiary's home. The remaining market value, less pro rata encumbrances, shall be included in net worth determination.
(3) The first $1,000 paid for life insurance placed in burial trusts for funeral, cremation or interment expenses.
(4) Wedding and engagement rings, heirlooms, clothing, household furnishings and equipment.
(5) Equipment, inventory, licenses and materials owned by the applicant or beneficiary which are necessary for employment, for self-support or for an approved plan of rehabilitation or self-care necessary for employment shall be exempt as follows:
(A) Motor vehicles necessary for employment or self-support, in addition to the motor vehicle exempt in (c)(1), shall be exempt.
(B) Other property necessary for employment or self-support shall be exempt in accordance with 50485.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 11155, 11158, 14140, 14141, 14142 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a) and (c)(3) filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
4. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
5. Editorial correction of NOTE (Register 97, No. 37).
§50827. Determination and Application of Percentage Obligation--Medi-Cal Special Treatment Programs.
Note     •     History

(a) The percentage obligation shall be based upon the annual net worth of the Medi-Cal Special Treatment Programs applicant or beneficiary.
(b) The percentage obligation shall be applied to the cost of allowable services remaining unpaid, after the Medi-Cal Special Treatment Programs beneficiary has utilized benefits available under any other federal or state law or other contractual or legal entitlements.
(c) The amount of the percentage obligation shall not be:
(1) A claim against any of the Medi-Cal Special Treatment Programs.
(2) Reimbursed by a third party.
(d) The percentage obligation of a Medi-Cal Special Treatment Programs--Only beneficiary shall be determined as follows:
(1) Applicants or beneficiaries who are determined to have an annual net worth of less than $5,000 shall be assigned a zero percentage obligation.
(2) Applicants or beneficiaries who are determined to have an annual net worth of $5,000 or more shall be assigned a percentage obligation of two percent for each $5,000 of net worth, including the first $5,000.
(e) The percentage obligation of a Medi-Cal Special Treatment Programs--Supplement beneficiary shall be determined as follows:
(1) Applicants or beneficiaries who are determined to have an annual net worth of less than $5,000 shall be assigned a zero percentage obligation.
(2) Applicants or beneficiaries who are determined to have an annual net worth of $5,000 or more shall be assigned a percentage obligation of one percent for each $5,000 of net worth, including the first $5,000.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14141, 14142, 14143, 14144 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Amendment fled 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50829. Declaration of Acceptance.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14142 and 14144.5, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
§50831. Share of Cost--Medi-Cal Special Treatment Programs--Supplement Beneficiary.
Note     •     History

(a) Services within the Medi-Cal scope of benefits, other than services covered under the Medi-Cal Special Treatment Programs--Supplement shall be subject to a share of cost.
(b) Share of cost shall be determined in accordance with Section 50653.
(c) Costs which are paid or obligated by the beneficiary under the Medi-Cal Special Treatment Programs--Supplement in any one month shall be applied to the share of cost for that month.
(d) A Medi-Cal Special Treatment Programs--Supplement beneficiary, who is a member of an MFBU which has met its share of cost, shall be certified as eligible for Medi-Cal services and shall be issued a Medi-Cal card in accordance with Section 50658. Once certified for full Medi-Cal coverage, all Medi-Cal services received by a beneficiary during that month shall be covered under the provisions of the full Medi-Cal program rather than under the provisions of the Medi-Cal Special Treatment Programs--Supplement.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.4, 14005.7, 14005.9, 14054 and 14144.5, Welfare and Institutions Code.
HISTORY

1. New section filed 5-16-80 as an emergency; effective upon filing (Register 80, No. 20). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-14-80.
2. Certificate of Compliance filed 8-22-80 (Register 80, No. 34).
3. Amendment filed 3-25-81 as an emergency; effective upon filing (Register 81, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-23-81.
4. Order of Repeal of 3-25-81 emergency order filed 4-3-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 14).
5. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
6. Editorial correction of NOTE filed 11-10-83 (Register 83, No. 46).
Article 18. State Administrative Hearings
§50951. Right to State Hearing.
Note     •     History

(a) Applicants or beneficiaries shall have the right to a State hearing if dissatisfied with any action or inaction of the county department, the Department of Health Services or any person or organization acting in behalf of the county or he Department relating to Medi-Cal eligibility or benefits. There is no right to a state hearing where the sole issue is the application of a State or federal law and both of the following conditions are met:
(1) The applicant or beneficiary does not question that the State or federal law has been correctly applied.
(2) The State or federal law requires a reduction in Medi-Cal entitlement for some or all beneficiaries.
(b) The right to a state hearing shall be governed by the provisions of Sections 10950 through 10965, Welfare and Institutions Code.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10950-10965, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment and new Article 18 title filed 5-30-80 as an emergency; effective upon filing (Register 80, No. 22). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-27-80.
3. Certificate of Compliance filed 9-26-80 (Register 80, No. 39).
4. Amendment of subsection (a) filed 1-13-81 as an emergency; effective upon filing (Register 81, No. 3). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 5-13-81.
5. Certificate of Compliance transmitted to OAL 4-22-81 and filed 5-19-81 (Register 81, No. 21).
6. Amendment of subsection (a) filed 7-17-81; effective thirtieth day thereafter (Register 81, No. 29).
§50953. State Hearing Procedures.
Note     •     History

(a) Fair hearings under the provision of the statute specified in Section 50951 (b) shall be conducted in accordance with the regulations and procedures of the Department of Social Services (DSS), unless otherwise specified in these regulations. Department of Health Services regulations shall prevail over DSS regulations in the circumstances of a State hearing related to termination or reduction of medical services in accordance with Sections 51014.1 and 51014.2.
(b) Prehearing procedures and representation at the hearing shall be the responsibility of the:
(1) County for those State hearings in which the issue involves county action or inaction.
(2) Department for those State hearings in which the issue involves Department action or inaction.
(3) Both the county and the Department when the issue involves action or inaction by both the county and the Department.
(c) The Director may develop an agreement with another agency to perform the State hearings. The Department shall retain sole authority for decision-making on Medi-Cal issues.
(1) Each proposed decision involving Medi-Cal issues shall be submitted to the Department for action. Substantive review for the conformity of the proposed decision to the Department's regulations and policies shall be the sole responsibility of the Director. The Director shall take action on the proposed decision within 30 days following actual receipt by the Department.
(2) All requests for rehearing or reconsideration of cases involving Medi-Cal shall be acted upon by the Director. The Director shall grant or deny the request no earlier than 5 nor later than 15 working days after the request is actually received by the Department. If action is not taken by the Director within this period, the request for rehearing shall be deemed denied.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 10950-10965, 14001 and 14124.5, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 12-15-77; effective thirtieth day thereafter (Register 77, No. 51).
2. Amendment of subsection (a) filed 3-15-79 as an emergency; effective upon filing (Register 79, No. 11).
3. Certificate of Compliance filed 6-28-79 (Register 79, No. 26).
4. Amendment filed 5-30-80 as an emergency; effective upon filing (Register 80, No. 22). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 9-27-80.
5. Certificate of Compliance filed 9-26-80 (Register 80, No. 39).
6. Amendment of subsection (c)(2) filed 12-27-85; effective thirtieth day thereafter (Register 85, No. 52).
§50955. Fair Hearing--Assistance in Filing.

The county department shall assist the applicant or beneficiary in filing a request for a fair hearing, if the applicant or beneficiary requests such assistance.
Article 19. Medi-Cal Estate Recovery
§50960. Definitions.
Note     •     History

NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; and Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bontá (2003) 106 Cal. App. 4th 498.
HISTORY

1. Relocation and amendment of article 19 heading and new section filed 5-2-94 as an emergency; operative 5-2-94 (Register 94, No. 18).  A Certificate of Compliance must be transmitted to OAL by 8-30-94 or emergency language will be repealed by operation of law on the following day.
2. Repealed on 8-31-94 by operation of law.
3. Amendment of article 19 heading and new section filed 4-27-95 as an emergency; operative 4-27-95 (Register 95, No. 17). Exempt from OAL review pursuant to Chapter 147, Statutes of 1994, section 32. A Certificate of Compliance must be transmitted to OAL by 10-24-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of article 19 heading and new section refiled 11-22-95 as an emergency; operative 11-22-95 (Register 95, No. 47). Exempt from OAL review pursuant to Chapter 147, Statutes of 1994, section 32. A Certificate of Compliance must be transmitted to OAL by 3-21-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-27-95 order, including amendment of subsections (c) and (d) and Note, transmitted to OAL 2-6-96 and filed 3-19-96 (Register 96, No. 12).
6. Amendment of section and Note filed 7-27-2004 as an emergency; operative 7-27-2004 (Register 2004, No. 31). Exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. A Certificate of Compliance must be transmitted to OAL by 11-24-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 7-27-2004 order transmitted to OAL 11-19-2004 and filed 1-3-2005 (Register 2005, No. 1).
8. Repealer filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section as it existed prior to 3-23-2005 emergency repeal by operation of Government Code section 11346.1(f) (Register 2005, No. 41).
10. Repealer filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
Chapter 2.5. Third Party Liability
Article 1. Definitions
§50960.2. Annuity.
Note     •     History

“Annuity” means a contract, which gives a person or entity the right to receive periodic payments of a fixed or variable sum, either for life or for a term of years, and which also may include a lump sum payment or periodic payments upon the death of the decedent. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New chapter 2.5, article 1 (sections 50960.2-50960.36) and new section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.4. Applicant.
Note     •     History

“Applicant” means a dependent, heir, or survivor of the decedent seeking a waiver of his or her portion of the Department's estate claim due to substantial hardship. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.6. Dependent.
Note     •     History

“Dependent” means an immediate family or blood relative of the decedent who relied on the decedent for support and who is entitled to receive estate property.  
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
2. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.9. Equity Interest.
Note     •     History

“Equity interest” means the fair market value of the property to which the decedent held legal title or interest at the time of death (to the extent of such interest), less the amount owed in deeds of trust, mortgages, and liens on record at the time of death. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshev. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.12. Estate.
Note     •     History

“Estate” means either: 
(a) For individuals who die on or after October 1, 1993, and for payments made on or after October 1, 1993, “estate” is defined as all real and personal property and other assets in which the decedent had any legal title or interest at the time of death (to the extent of such interest), including assets conveyed to a dependent, heir, survivor, or assignee of the decedent through joint tenancy, tenancy in common, survivorship, life estate, living trust, annuities purchased on or after September 1, 2004, life insurance policy that names the estate as the beneficiary or reverts to the estate, or any retirement account that names the estate as the beneficiary or reverts to the estate; 
(b) For individuals who died prior to October 1, 1993, “estate” is defined according to the common law. For purposes of this article, estate includes property that passes from a decedent to his or her heirs by way of a revocable inter vivos trust. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.15. Estate Hearing.
Note     •     History

“Estate hearing” means a hearing conducted in person, before the hearing office appointed by the Director, in which an applicant may seek a waiver of the claim because of substantial hardship. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.21. Fair Market Value.
Note     •     History

“Fair market value” means the price that goods or property would bring in an open market of willing buyers and sellers, with neither party being under pressure to buy or sell, at the time of the decedent's death. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.23. Heir.
Note     •     History

“Heir” means a person who survives the decedent and is designated to receive some or all of the decedent's property. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.26. Irrevocable Transfer.
Note     •     History

“Irrevocable transfer” means a grant of an interest in real property where the transferor does not retain the right to revoke the interest granted. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.29. Life Estate.
Note     •     History

“Life estate” means an interest in real property whose duration is limited to the life of the estate holder or some other designated person, that grants the life estate tenant the right of occupancy and may include the right to receive any income derived from the property. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.32. Revocable Transfer.
Note     •     History

“Revocable transfer” means a grant of an interest in real property where the transferor retains the right to revoke the interest granted, including a grant of a remainder interest in real property where the remainder interest does not transfer until the death of the grantor. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.34. Survivor.
Note     •     History

“Survivor” means a person who becomes entitled to receive estate property by reason of having survived the decedent. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
2. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50960.36. Voluntary Post Death Lien.
Note     •     History

“Voluntary post death lien” means an encumbrance that is voluntarily agreed to and placed on real property to secure the unpaid portion of the Department's estate claim until the claim is paid in full. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Belshe v. Hope (1995) 33 Cal. App. 4th 161; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
Article 2. Estate Recovery
§50961. Estate Claims.
Note     •     History

(a) The Department shall claim against the estate of a decedent, or against any recipient of the decedent's property by distribution or survival, an amount equal to the lesser of: 
(1) All payments made by the Medi-Cal program on behalf of the decedent, except for those payments specified under subsection (c) that are not included in the claim; or, 
(2) The decedent's equity interest in the property at the time of death (to the extent of such interest). 
(b) All payments made by the Medi-Cal program on behalf of decedents: 
(1) Age 65 and older, who died prior to July 11, 1994, shall include all payments made for services provided at age 65 and older; 
(2) Age 65 and older, who died on or after July 11, 1994, shall include all payments made from age 65 and older, in addition to any payments made from age 55 to 64 that were paid on or after October 1, 1993; 
(3) Age 55 to 64, who died on or after July 11, 1994, shall include only those payments made on or after October 1, 1993. 
(c) The Department's claim shall include all payments made by the Medi-Cal program on behalf of the decedent, including nursing facility and other long-term care services, home and community based services, inpatient/outpatient services, durable medical equipment, related hospital and prescription drug services, health care and insurance premiums, and payments to managed care plans. The Department's claim shall not include payments made for personal care services provided under In-Home Support Services, or the cost of premiums, co-payments and deductibles paid on behalf of either Qualified Medicare Beneficiaries or Specified Low-Income Medicare Beneficiaries (QMB/SLMB). 
(d) The Department shall provide an exemption of the claim in any of the following circumstances: 
(1) Where the decedent was under age 55 when the services were provided, unless the decedent was an inpatient in a nursing facility, intermediate care facility for the mentally retarded, or other medical institution; 
(2) During the lifetime of a surviving spouse; 
(3) When, as of the date of decedent's death, there is a surviving child of the decedent who is under age 21, and who can provide the Department with the documentary evidence specified in Section 50966(a)(2), to the address specified in Section 50966(a); 
(4) When, as of the date of the Department's notice of claim, there is a surviving child of the decedent who is blind, or disabled, within the meaning of Section 1614 of the Federal Social Security Act (42 USC Section 1382c), and who qualifies for a claim exemption under Section 50966. 
(e) The Department shall waive the proportionate share of its claim against any applicant who qualifies for a waiver due to a substantial hardship, as specified in Section 50963(a). 
(f) The Department shall not enforce collection of the proportionate share of an estate claim for any applicant who is awaiting the resolution of a hardship waiver request or an estate hearing. However, the Department shall enforce collection of its claim from the remaining dependent(s), heir(s), or survivor(s) for his or her proportionate share of the claim. 
(g) The Department shall reduce its claim in accordance with Section 50453.7(b) for insurance benefits received under the California Partnership for Long-Term Care. 
(h) The Department shall claim against annuities as part of a decedent's estate. The Department's claim shall be recovered from the value of an annuity, annuity payments, or distributions receivable by any person or entity from the date the annuity payments or distributions are designated to be made. The Department's claim shall apply to the annuity, annuity payments, or distributions regardless of the funding source for the annuity. 
(i) Where the decedent made an irrevocable transfer of a remainder interest in property with a retained life estate, the Department's claim shall not apply against the life estate or the remainder interest. Where the decedent held a life estate and made a revocable transfer of the remainder interest in the property, the Department's claim shall apply to the fair market value of the property as if title to the property had remained solely with the decedent. Where the decedent made a revocable transfer of a remainder interest in property and made an irrevocable grant of a life estate in the property, the Department's claim shall apply to the fair market value of the remainder interest. Where the decedent made a revocable transfer of a remainder interest in property and made a revocable grant of a life estate in the property, the Department's claim shall apply to the fair market value of the property as if title to the property had remained solely with the decedent. 
(j) The Department's claim shall not apply against property interests that the decedent irrevocably transferred before death. 
(k) A voluntary post death lien shall be proposed, in accordance with Section 50965, to secure the unpaid portion of the Department's claim until the claim is paid in full. 
(l) Except for claims governed by Probate Code Sections 9203 and 19203, the Department shall charge simple interest, at the rate of seven percent per annum, on the unpaid portion of its claim until the claim is fully satisfied. 
(1) Where there has been no claim exemption sought pursuant to Section 50961(d) or a substantial hardship waiver requested in accordance with Section 50963, simple interest shall begin to accrue on the date of notice of claim or the date of distribution, whichever is later. 
(2) Where a claim exemption has been sought pursuant to Section 50961(d) or a substantial hardship waiver has been requested in accordance with Section 50963, simple interest shall begin to accrue on the 15th day following the date of the final determination of the claim exemption or substantial hardship waiver request. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 1382(c) and 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Sections 9203 and 19203, Probate Code; Belshé v. Hope (1995) 33 Cal. App. 4th 161; Dalzin v. Belshé (N.D. Cal. 1997) 993 F. Supp. 732; California Advocates for Nursing Home Reform v. Bontá (2003) 106 Cal. App. 4th 498; and California Constitution, Article 15, Section 1. 
HISTORY

1. Relocation of article 19 heading and new section filed 5-2-94 as an emergency; operative 5-2-94 (Register 94, No. 18).  A Certificate of Compliance must be transmitted to OAL by 8-30-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 92, No. 39.
2. Repealed on 8-31-94 by operation of law.
3. New section filed 4-27-95 as an emergency; operative 4-27-95 (Register 95, No. 17). Exempt from OAL review pursuant to Chapter 147, Statutes of 1994, section 32. A Certificate of Compliance must be transmitted to OAL by 10-24-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 11-22-95 as an emergency; operative 11-22-95 (Register 95, No. 47). Exempt from OAL review pursuant to Chapter 147, Statutes of 1994, section 32. A Certificate of Compliance must be transmitted to OAL by 3-21-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-27-95 order, including amendment of subsection (c)(2), repealer of subsections (c)(3)-(d) and new subsection (d), transmitted to OAL 2-6-96 and filed 3-19-96 (Register 96, No. 12).
6. New subsection (g) and amendment of Note filed 7-27-2004 as an emergency; operative 7-27-2004 (Register 2004, No. 31). Exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. A Certificate of Compliance must be transmitted to OAL by 11-24-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 7-27-2004 order transmitted to OAL 11-19-2004 and filed 1-3-2005 (Register 2005, No. 1).
8. New article 2 heading and repealer and new section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
9. Repeal of new article 2 heading and section and reinstatement of section as it existed prior to 3-23-2005 emergency by operation of Government Code sections 11346.1(f)-(g) (Register 2005, No. 41).
10. New article 2 heading and repealer and new section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
11. Amendment of section and Note filed 7-16-2007; operative 8-15-2007 (Register 2007, No. 29).
§50962. Notification.
Note     •     History

(a) Within 90 days of the date of death of an individual who received or may have received Medi-Cal benefits, or was the surviving spouse of a person who received Medi-Cal benefits, the attorney for the estate, or if there is no attorney, the beneficiary, the personal representative, or the person in possession of property of the decedent, shall give written notice by mail of the decedent's death to the Director of the Department of Health Care Services at his or her Sacramento office, or, Estate Recovery Section, Mail Stop 4720, P.O. Box 997425, Sacramento, CA 95899-7425. The notice shall include a copy of the decedent's death certificate. Any other notice or submission of county vital records (i.e., death certificate) to the State Registrar of Vital Statistics or other governmental entities shall not satisfy this requirement. 
(b) Date of notice of the decedent's death to the Director shall be deemed as the date that the notice is postmarked; or in the absence of a postmark, the date stamp posted by the Department upon receipt of the notice; or in the absence of a date stamp, the date on the original proof of mailing that references the decedent's name, from the person or entity giving notice to the Department. 
(c) The Department shall provide written notice to the person handling the decedent's estate, which includes the following:
(1) The basis for the estate claim; the specific statutes and regulations supporting the claim; the basis for an exemption from the claim; the right to seek a waiver of the Department's claim; the right to contest the Department's claim; the right to request an estate hearing if dissatisfied with the waiver decision; the  timeframes for requesting a waiver or estate hearing; and the basis for the applicant to seek a waiver or estate hearing due to substantial hardship; and
(2) A copy of the itemized Medi-Cal payments that constitute the basis for the claim; and
(3) An Application for Hardship Waiver, form DHCS 6195 (8/07).
(d) The person handling the estate of the decedent shall notify all dependents, heirs, or survivors of the Department's claim and their right to seek a waiver of or to contest the Department's claim against the estate. The person handling the estate shall also notify any surviving child of the decedent, or his or her representative, of the right to seek an exemption from the Department's claim.
(e) An applicant has 60 days from the date stated on the Department's notice of claim in which to submit an application for waiver due to substantial hardship.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Sections 215, 1215, 9202 and 19202, Probate Code; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 5-2-94 as an emergency; operative 5-2-94 (Register 94, No. 18).  A Certificate of Compliance must be transmitted to OAL by 8-30-94 or emergency language will be repealed by operation of law on the following day.  For prior history, see Register 92, No. 39.
2. Repealed on 8-31-94 by operation of law.
3. New section filed 4-27-95 as an emergency; operative 4-27-95 (Register 95, No. 17). Exempt from OAL review pursuant to Chapter 147, Statutes of 1994, section 32. A Certificate of Compliance must be transmitted to OAL by 10-24-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 11-22-95 as an emergency; operative 11-22-95 (Register 95, No. 47). Exempt from OAL review pursuant to Chapter 147, Statutes of 1994, section 32. A Certificate of Compliance must be transmitted to OAL by 3-21-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-27-95 order, including amendment of section, transmitted to OAL 2-6-96 and filed 3-19-96 (Register 96, No. 12).
6. Amendment of section and Note filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section and Note as they existed prior to 3-23-2005 emergency amendment by operation of Government Code section 11346.1(f) (Register 2005, No. 41).
8. Amendment of section and Note filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
9. Amendment of subsections (c)-(e) and amendment of Note filed 7-16-2007; operative 8-15-2007 (Register 2007, No. 29).
10. Change without regulatory effect amending subsections (a) and (c)(3) filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50963. Substantial Hardship Criteria.
Note     •     History

(a) The Department shall waive an applicant's proportionate share of the claim if the applicant can demonstrate through submission of a written, completed Application for Hardship Waiver, form DHCS 6195 (8/07), or, if applicable, at an estate hearing, that enforcement of the Department's claim would result in substantial hardship to the applicant. In determining the existence of substantial hardship, the Department shall waive an applicant's proportionate share of the claim if one or more of the following factors apply: 
(1) When allowing the applicant to receive the inheritance from the estate would enable the applicant to discontinue eligibility for public assistance payments and/or medical assistance programs; or,
(2) When the estate property is part of an income-producing business, including a working farm or ranch, and recovery of medical assistance expenditures would result in the applicant losing his or her primary source of income; or, 
(3) When an aged, blind, or disabled applicant has continuously lived in the decedent's home for at least one year prior to the decedent's death and continues to reside there, and is unable to obtain financing to repay the State. The applicant shall apply to obtain financing, for an amount not to exceed his or her proportionate share of the claim, from a financial institution as defined in Probate Code Section 40. The applicant shall provide the Department with a denial letter(s) from the financial institution; or, 
(4) When the applicant provided care to the decedent for two or more years that prevented or delayed the decedent's admission to a medical or long-term care institution. The applicant must have resided in the decedent's home during the period care was provided and continue to reside in the decedent's home. The applicant must provide written medical substantiation from a licensed health care provider(s), which clearly indicates that the level and duration of care provided prevented or delayed the decedent from being placed in a medical or long-term care institution; or, 
(5) When the applicant transferred the property to the decedent for no consideration; or,
(6) When equity in the real property is needed by the applicant to make the property habitable, or to acquire the necessities of life, such as food, clothing, shelter or medical care.
(b) A substantial hardship shall not exist when the decedent or applicant created the hardship by using estate planning methods to divert or shelter assets in order to avoid estate recovery.
(c) To the extent that there currently is, or later becomes, any conflict between the preceding criteria and the standards that may be specified by the Secretary of the Department of Health and Human Services, the federal standards shall prevail.
(d) The Department shall provide written notification to the applicant of its decision regarding the hardship waiver application within 90 days of the application's submission.
(e) If an application for hardship waiver is denied, the Department shall provide the applicant with notice of the right, the address, and the timeframe to request an estate hearing, at the time it provides notice of its decision.
(f) The Department shall issue its decision on an applicant's hardship waiver application prior to and independent of its consideration of a voluntary post death lien. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 40, Probate Code; and Section 14009.5, Welfare and Institutions Code; State Medicaid Manual HCFA-Pub. 45-3, Transmittal No. 65 §3810; and California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498. 
HISTORY

1. New section filed 5-2-94 as an emergency; operative 5-2-94 (Register 94, No. 18).  A Certificate of Compliance must be transmitted to OAL by 8-30-94 or emergency language will be repealed by operation of law on the following day.  For prior history, see Register 92, No. 39.
2. Repealed on 8-31-94 by operation of law.
3. New section filed 4-27-95 as an emergency; operative 4-27-95 (Register 95, No. 17). Exempt from OAL review pursuant to Chapter 147, Statutes of 1994, section 32. A Certificate of Compliance must be transmitted to OAL by 10-24-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 11-22-95 as an emergency; operative 11-22-95 (Register 95, No. 47). Exempt from OAL review pursuant to Chapter 147, Statutes of 1994, section 32. A Certificate of Compliance must be transmitted to OAL by 3-21-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-27-95 order, including amendment of subsections (a) and (a)(4) and new subsections (d)-(f), transmitted to OAL 2-6-96 and filed 3-19-96 (Register 96, No. 12).
6. Amendment of section heading, section and Note filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section heading, section and Note as they existed prior to 3-23-2005 emergency amendment by operation of Government Code section 11346.1(f) (Register 2005, No. 41).
8. Amendment of section heading, section and Note filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
9. Change without regulatory effect amending subsection (a) and Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50964. Estate Hearing.
Note     •     History

(a) An applicant may challenge the Department's hardship waiver decision by requesting an estate hearing. The request must be in writing and mailed to the Director of the Department through his or her designee, the Office of Administrative Hearings and Appeals, within 60 days of the date of the Department's decision inscribed at the top of the Department's notice. 
(1) The Department shall provide the applicant at least 30 days notice of the date, time and place of the hearing. The hearing shall be conducted within 60 days from the date of the request, and may be continued for good cause, such as illness, injury or incarceration of the applicant.
(2) For an in-state applicant the Department shall conduct the hearing within the California Court of Appeal district where the applicant resides. In the case of an out-of-state applicant, the hearing shall be conducted in Sacramento, California.
(3) At the estate hearing, the applicant and/or the applicant's representative shall have the opportunity to be heard, offer evidence, and present witnesses in support of the request for a waiver. All testimony shall be submitted under oath, affirmation, or penalty of perjury. The proceedings at the estate hearing shall be electronically recorded. The applicant and/or the applicant's representative shall be prepared to leave copies of all documents which support the applicant's request for a waiver with the hearing officer.
(b) The hearing shall be conducted in an impartial manner by a hearing officer appointed by the Director.
(c) A proposed decision, stating the applicable law, evidence and reasoning upon which the decision is based, shall be submitted to the Director no more than 30 days after the hearing record is closed. Within 30 days after the proposed decision is received by the Director, the Director may adopt the proposed decision, reject the proposed decision and have a decision prepared based upon the record, or refer the matter to the hearing officer to take additional evidence. If the Director takes no action within 30 days after receipt of the proposed decision, the decision shall be deemed adopted.
(d) Any errors or omissions in the information provided by the applicant that would affect the Department's decision may be a basis for denial of the request for hardship waiver.
(e) The decision shall be final upon adoption by the Director and no further administrative appeal shall occur. Copies of the decision shall be mailed by certified mail to the applicant or his or her designated representative.
(f) Judicial review of the final decision of the Department may be had by filing a petition for a writ of administrative mandate in accordance with the provisions of Section 1094.5, et seq., Code of Civil Procedure.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 1094.5, et seq., Code of Civil Procedure; Section 14009.5, Welfare and Institutions Code; and Section 69100, Government Code.
HISTORY

1. New section filed 5-2-94 as an emergency; operative 5-2-94 (Register 94, No. 18).  A Certificate of Compliance must be transmitted to OAL by 8-30-94 or emergency language will be repealed by operation of law on the following day.  For prior history, see Register 92, No. 39.
2. Repealed on 8-31-94 by operation of law.
3. New section filed 4-27-95 as an emergency; operative 4-27-95 (Register 95, No. 17). Exempt from OAL review pursuant to Chapter 147, Statutes of 1994, section 32. A Certificate of Compliance must be transmitted to OAL by 10-24-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 11-22-95 as an emergency; operative 11-22-95 (Register 95, No. 47). Exempt from OAL review pursuant to Chapter 147, Statutes of 1994, section 32. A Certificate of Compliance must be transmitted to OAL by 3-21-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-27-95 order, including amendment of section and Note, transmitted to OAL 2-6-96 and filed 3-19-96 (Register 96, No. 12).
6. Amendment of section and Note filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section and Note as they existed prior to 3-23-2005 emergency amendment by operation of Government Code section 11346.1(f) (Register 2005, No. 41).
8. Amendment of subsections (a) and (e) and Note filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
9. Change without regulatory effect amending Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50965. Voluntary Post Death Lien.
Note     •     History

(a) The Department shall propose a voluntary post death lien on the real property of the estate, and other real property that the dependent(s), heir(s), or survivor(s) has an interest in, when one or more of the dependent(s), heir(s), or survivor(s) are: 
(1) Living in and not willing to sell the real property, and 
(2) Unable to pay the Department's claim in full, and 
(3) Can demonstrate as provided in subsection (b) that he or she is unable to obtain financing. 
(b) The Department shall offer to accept a voluntary post death lien as soon as it has been determined that the dependent(s), heir(s), or survivor(s) is unable to pay or to obtain financing to pay their proportionate share of the estate claim. The dependent(s), heir(s), or survivor(s) shall apply to obtain financing, for an amount not to exceed his or her proportionate share of the claim, from a financial institution as defined in Probate Code Section 40, and shall provide the Department with a denial letter(s) from the financial institution. 
(c) A voluntary post death lien shall be proposed independent of a decision on an applicant's request for a waiver due to a substantial hardship. 
(d) In addition to the placement of a lien on the real property, the Department shall require that monthly payments be made to the Department of Health Care Services, Estate Recovery Section, MS 4720, P.O. Box 997421, Sacramento, CA 95899-7421. The monthly payments shall be in accordance with the dependent's, heir's, or survivor's financial ability to pay, and shall be adjusted as needed. Monthly payments shall continue until the lien amount owed to the Department by the lienee, plus interest, is paid in full. Payments shall not be required when a dependent's, heir's, or survivor's income is below the federal poverty level. 
(e) The voluntary post death lien will accrue simple interest at the rate of seven percent per annum, and becomes due and payable, including all interest accrued, upon the first to occur of the following: 
(1) The death of the dependent(s), heir(s), or survivor(s); or, 
(2) The sale, refinance, transfer, or change in title to the real property; or, 
(3) Escrow funding; and/or 
(4) Default in payments. 
(f) In the event of a transfer of an interest in, or title to, real property subject to the voluntary post death lien without payment of the lien, the lienee shall provide notification of the transfer, with the identity and address of the new titleholder(s), by mail to the Department at the address specified in subsection (g), within 30 days of the transfer. The lienee shall notify the new titleholder(s) of the voluntary post death lien prior to the transfer of title, and the obligation to satisfy the lien pursuant to this Section. The new titleholder(s) shall make arrangement for full satisfaction of the Department's lien with the Estate Recovery Section. 
(g) When the dependent(s), heir(s), or survivor(s) agree to a voluntary post death lien, the Department will prepare and mail the lien documents to the dependent(s), heir(s), or survivor(s) for notarized signature(s). The dependent(s), heir(s), or survivor(s) shall return the notarized documents to the Department of Health Care Services, Estate Recovery Section, MS 4720, P.O. Box 997425, Sacramento, CA 95899-7425. Upon receipt of the lien documents, the Department shall forward the documents to the County Recorder's Office where the property is located for recording of the lien. 
(h) The Department shall issue a release of lien to the County Recorder's Office after full payment of the lien with accrued interest is received. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 1396p(b), 42 USC; Section 40, Probate Code; Section 14009.5, Welfare and Institutions Code; California Advocates for Nursing Home Reform v. Bonte (2003) 106 Cal. App. 4th 498; and California Constitution, Article 15, Section 1.
HISTORY

1. New section filed 3-23-2005; this filing is deemed an emergency and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14043.75(a); effective 3-23-2005 (Register 2005, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-2005 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 92, No. 39.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 41).
3. New section filed 5-10-2006; operative 5-10-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
4. Change without regulatory effect amending subsections (d), (f) and (g) and Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
§50966. Claim Exemption.
Note     •     History

(a) The Department shall withdraw its claim against the estate of a deceased Medi-Cal beneficiary when the surviving child or his or her representative provides the following documentary evidence to the Department of Health Care Services, Estate Recovery Section, Mail Stop 4720, PO Box 997425, Sacramento, CA 95899-7425, which demonstrates the surviving child was blind or disabled as of the date of the Department's notice of claim:
(1) Documented proof of blindness or disability in the form of a copy  of an award letter from the Federal Social Security Administration (SSA) or any correspondence from the SSA that provides verification of the surviving child's blindness or disability and that the blindness or disability existed on the date of the Department's notice of claim. This documentation is not required if the surviving child is enrolled in Medi-Cal with a blindness or disability aid code. If the surviving child is over age 65, is not in possession of the award letter, and his or her SSA/Supplemental Security Income disability benefits were converted to an aged category, the Department will accept a verification of benefits, awarded prior to age 65, from the SSA as proof that the benefits were based on blindness or disability criteria; and
(2) Documented proof that he or she is a surviving child of the decedent, such as a copy of a birth certificate or adoption papers.
(b) The Department will suspend collection activity on its claim for 60 days from notification, by telephone at the number on the Department's notice of claim or in writing to the Department, that the required documentary evidence as specified in subsection (a) will be provided. If, after 60 days, the Department does not receive the documentary evidence, collection activity will resume until such evidence is received. 
(c) When documentary evidence of blindness or disability does not already exist, the surviving child or his or her representative may submit a request for a disability determination to the Department by telephone at the number on the notice of claim, or in writing at the address specified in subsection (a). Such a request must be submitted within 60 days from the date of the Department's notice of claim.
(d) Upon receipt of a disability determination request, the Department shall suspend collection activity on its claim. The Department shall mail a letter with the forms listed in subsection (d)(1) through (3) inclusive, to the surviving child or his or her representative, explaining that the forms, and the documented proof specified in subsection (a)(2), must be completed and mailed to the Department within 30 days from the date of the letter. For the purposes of the forms required under this subsection the term “applicant” means a surviving child seeking an exemption of the Department's claim.
(1) Applicant's Supplemental Statement of Facts for Medi-Cal, MC 223 (05/07); and
(2) Authorization for Release of Information, MC 220 14 pt (04/08); and
(3) Appointment of Representative--Estate Recovery, DHCS 6249 (3-08), (complete only if applicable).
(e) If within 30 days the Department does not receive the completed forms and documented proof, pursuant to subsection (d), a second letter shall be mailed to the surviving child or his or her representative granting an additional 30 days from the date of the second letter. Failure to submit the completed forms and documented proof within the additional timeframe will result in the resumption of collection activity.
(f) The California Department of Social Services (DSS) shall make the disability determinations on behalf of the Department when the surviving child's earned income does not exceed the federal Substantial Gainful Activity (SGA) limit. The Department shall forward the completed forms in subsection (d) to the DSS when earned income on the Applicant's Supplemental Statement of Facts for Medi-Cal, MC 223 (05/07) does not exceed the SGA limit. The DSS shall mail its decision to the Department. When earned income exceeds the SGA limit, the Department shall notify the surviving child or his or her representative that the disability determination cannot be made and collection activity shall resume. 
(g) The Department shall notify the surviving child or his or her representative by mail of the disability determination made by the DSS. The disability determination is not subject to review through an administrative hearing.
(1) If the DSS determines that the surviving child qualifies as blind or disabled under the meaning of Section 1614 of the Federal Social Security Act (42 USC Section 1382c), the Department's claim shall be deemed withdrawn as of the determination date. 
(2) If the DSS determines that the surviving child does not qualify as blind or disabled under the meaning of Section 1614 of the Federal Social Security Act (42 USC Section 1382c), collection activity shall resume.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 421, 1382c and 1396p(b), 42 USC; Section 14009.5, Welfare and Institutions Code; Dalzin v. Belshé (N.D. Cal. 1997) 993 F. Supp. 732; and California Advocates for Nursing Home Reform v. Bonte  (2003) 106 Cal. App. 4th 498.
HISTORY

1. New section filed 7-16-2007; operative 8-15-2007 (Register 2007, No. 29).
2. Change without regulatory effect amending subsections (a), (d)(1)-(3) and (f) and Note filed 4-15-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 16).
Chapter 3. Health Care Services
Article 1. Application and Enrollment
§51000. Agent.
Note     •     History

“Agent” means a person who has been delegated the authority to obligate or act on behalf of an applicant or provider.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.75, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. Renumbering of former article 1 to article 1.3, new article 1 (sections 51000-51000.55) and section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. Renumbering of former article 1 to article 1.3, new article 1 (sections 51000-51000.55) and section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. Renumbering of former article 1 to article 1.3, new article 1 (sections 51000-51000.55) and section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former article 1 to article 1.3, new article 1 (sections 51000-51000.55) and section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.1. Applicant.
Note     •     History

“Applicant” means any individual, partnership, group, association, corporation, institution, or entity, and the officers, directors, owners, managing employees, or agents thereof, that applies to the Department for enrollment as a provider in the Medi-Cal program.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043 and 14043.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by  1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment of section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
7. Amendment of section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
8. Amendment of section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
9. Certificate of Compliance as to 6-2-2005 order transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.1.1. Application or Application Package.
Note     •     History

“Application” or “Application Package” means a completed and signed application form, including an application for continued enrollment, signed under penalty of perjury or notarized pursuant to Welfare and Institutions Code Section 14043.25, a Disclosure Statement, a Provider Agreement, and all attachments or changes in the form, statement, or agreement.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.1 and 14043.25, Welfare and Institutions Code.
HISTORY

1. New section filed 2-8-2001; operative 2-8-2001 (Register 2001, No. 6).
2. Redesignation of former section 51000.101 as new section 51000.1.1 and amendment of section heading, section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
3. Redesignation of former section 51000.101 as new section 51000.1.1 and amendment of section heading, section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
4. Redesignation of former section 51000.101 as new section 51000.1.1 and amendment of section heading, section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
5. Certificate of Compliance as to 6-2-2005 order, including amendment of section, transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.2. Beneficiary.
Note     •     History

“Beneficiary” means any person certified as eligible for services under the Medi-Cal program.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14000 and 14005, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.3. Business Address.
Note     •     History

“Business address” means the location where an applicant or provider provides services, goods, supplies, or merchandise, directly or indirectly, to a Medi-Cal beneficiary. A post office box or commercial box is not a business address. The business address for the location of a vehicle or vessel owned and operated by an applicant or provider enrolled in the Medi-Cal program and used to provide services, goods, supplies, or merchandise, directly or indirectly, to a Medi-Cal beneficiary shall either be the business address location listed on the provider's application as the location where similar services, goods, supplies, or merchandise would be provided, or the applicant's or provider's pay to address.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.1 and 14043.62, Welfare and Institutions Code; and Title 45, Code of Federal Regulations, Sections 162.408 and 162.412.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment of section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
7. Amendment of section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
8. Amendment of section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
9. Certificate of Compliance as to 6-2-2005 order transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
10. Change without regulatory effect amending section and Note filed 2-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 9).
§51000.4. Business Telephone.
Note     •     History

“Business telephone” means the telephone number at the business address of the applicant or provider. A beeper number, answering service, biller or billing service, pager, facsimile machine, answering machine, or a cellular telephone shall not be used as the primary business telephone. A cellular telephone shall not be used as the primary business telephone, except for a provider enrolled in the Medi-Cal program pursuant to Welfare and Institutions Code Section 14043.15(b)(2). 
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.15 and 14043.7, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of section, transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment filed 2-3-2003 as an emergency; operative 2-3-2003 (Register 2003, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 8-5-2003 as an emergency; operative 8-5-2003 (Register 2003, No. 32). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 2-2-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section as it existed prior to 2-3-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 24).
10. Amendment refiled 6-8-2004 as an emergency; operative 6-8-2004 (Register 2004, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-2004 or emergency language will be repealed by operation of law on the following day.
11. Reinstatement of section as it existed prior to 6-8-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 41).
12. Amendment of section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
13. Amendment of section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
14. Amendment of section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
15. Certificate of Compliance as to 6-2-2005 order transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.5. Capital.
Note     •     History

“Capital” means the total of all money invested in, and property or services contributed to, an applicant's or provider's business enterprise for the purpose of starting, acquiring, equipping, and operating the applicant's or provider's business enterprise.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14125.8, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.6. Change of Ownership.
Note     •     History

“Change of Ownership” means:
(a) For a partnership, the removal, addition, or substitution of a partner.
(b) For an unincorporated sole proprietorship, the transfer of title and property to another person.
(c) For a corporation, the merger of the applicant's or provider's corporation into another corporation, or the consolidation of two or more corporations, resulting in the creation of a new corporation. The transfer of corporate stock or the merger of another corporation into the applicant's or provider's corporation does not constitute a “change of ownership” but may constitute a “change of ownership or control interest,” as defined in Section 51000.15, and may require disclosure under Section 51000.35, or a reporting of changed or additional information pursuant to Section 51000.40.
(d) For a lease, the lease of all or part of an applicant's or provider's facility constitutes a change of ownership of the leased portion.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.2, 14043.26 and 14043.27, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section, including amendments, refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of subsection (c), transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment of subsection (c) and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
7. Amendment of subsection (c) and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
8. Amendment of subsection (c) and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
9. Certificate of Compliance as to 6-2-2005 order, including further amendment of Note, transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.6.1. Deactivate.
Note     •     History

“Deactivate” means the provider's number, including all business addresses used by the provider to provide health care services, goods, supplies, or merchandise directly or indirectly to Medi-Cal beneficiaries shall no longer be used to bill the Medi-Cal Program on or after the effective date of the deactivation.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.2, 14043.36, 14043.37, 14043.45, 14043.62 and 14043.7, Welfare and Institutions Code.
HISTORY

1. New section filed 11-10-2005; operative 11-10-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 45).
2. Change without regulatory effect amending section and Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.7. Enrolled or Enrollment in the Medi-Cal Program.
Note     •     History

“Enrolled or enrollment in the Medi-Cal program” means authorized under any processes by the Department or its agents or contractors to receive, directly or indirectly, reimbursement for the provision of services, goods, supplies, or merchandise to a Medi-Cal beneficiary.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.1, 14043.2, 14043.25, 14043.26, 14043.29 and 14043.65, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment of section heading, section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
7. Amendment of section heading, section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
8. Amendment of section heading, section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
9. Certificate of Compliance as to 6-2-2005 order transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.8. Group Provider Number.
Note     •     History

“Group Provider Number” means the unique identification number used by a provider group applicant to obtain reimbursement from the Medi-Cal program.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.45, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Change without regulatory effect amending section and Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.9. Indirect Ownership Interest.
Note     •     History

(a) “Indirect Ownership Interest” means an ownership interest in any entity that has an ownership interest in the applicant or provider. This term includes an ownership interest in any entity that has an indirect ownership interest in the applicant or provider.
(b) The amount of indirect ownership interest is determined by multiplying the percentages of ownership in each entity. For example, if A owns 10 percent of the stock in a corporation which owns 80 percent of the stock of the applicant or provider, A's interest equates to an 8 percent indirect ownership interest in the applicant or provider and shall be reported pursuant to Section 51000.35. Conversely, if B owns 80 percent of the stock of a corporation which owns 5 percent of the stock of the applicant or provider, B's interest equates to a 4 percent indirect ownership interest in the applicant or provider and need not be reported.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.2, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.10. Line of Credit.
Note     •     History

“Line of Credit” means a right granted by an applicant or provider to any other person or entity to defer payment to applicant or provider for the purchase of services, goods, supplies, or merchandise, from applicant or provider up to a predetermined number or amount of services, goods, supplies, or merchandise, or a predetermined amount of money.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14125.8, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.10.1. Location.
Note     •     History

“Location” means a street, city, or rural route address or a site or place within a street, city, or rural route address, and the city, county, state, and nine digit ZIP Code. A post office box or commercial box is not a location. 
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.1 and 14043.62, Welfare and Institutions Code. 
HISTORY

1. New section filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
2. New section refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
3. New section refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
4. Certificate of Compliance as to 6-2-2005 order transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.11. Mailing Address.
Note     •     History

“Mailing address” means the address at which the applicant or provider wishes to receive general program correspondence, such as bulletin articles and Provider Manual updates. The mailing address includes the post office box number, or the street number and name, room or suite number or letter, and the city, state and 9-digit zip code.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.12. Managing Employee.
Note     •     History

“Managing employee” means a general manager, business manager, administrator, director, or other individual who exercises operational or managerial control over, or who directly or indirectly conducts the day-to-day operation of an applicant or provider.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.2, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.13. Ownership Interest.
Note     •     History

“Ownership interest” means the possession of equity in the capital, the stock, or the profits of the applicant or provider.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.2, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.14. Pay To Address.
Note     •     History

“Pay to address” means the address at which the applicant or provider wishes to receive payment for the provision of healthcare services, equipment or supplies to Medi-Cal beneficiaries. The pay to address includes the post office box number, or the street number and name, room or suite number or letter, the city, state and 9-digit zip code.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.15. Person with an Ownership or Control Interest.
Note     •     History

(a) “Person with an ownership or control interest” means a person or corporation that:
(1) Has an ownership interest totaling 5 percent or more in an applicant or provider.
(2) Has an indirect ownership interest equal to 5 percent or more in an applicant or provider.
(3) Has a combination of direct and indirect ownership interests equal to 5 percent or more in an applicant or provider.
(4) Owns an interest of 5 percent or more in any mortgage, deed of trust, note, or other obligation secured by the applicant or provider if that interest equals at least 5 percent of the value of the property or assets of the applicant or provider.
(5) Is an officer or director of an applicant or provider that is organized as a corporation.
(6) Is a partner in an applicant or provider that is organized as a partnership.
(b) To determine percentage of ownership, mortgage, deed of trust, note or other obligation, the percentage of interest owned in the obligation is multiplied by the percentage of the applicant or provider's assets used to secure the obligation. For example, if A owns 10 percent of a note secured by 60 percent of the provider's assets, A's interest in the provider's assets equates to 6 percent and shall be reported pursuant to Section 51000.35(a). Conversely, if B owns 40 percent of a note secured by 10 percent of the provider's assets, B's interest in the provider's assets equates to 4 percent and need not be reported.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.2, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of subsection (b), transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.15.1. Preenrollment Period or Preenrollment.
Note     •     History

“Preenrollment period” or “preenrollment” includes the period of time during which an application package for enrollment, continued enrollment, or for the addition of or change in a location is pending with the Department. 
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Section 14043.1, 14043.26 and 14043.4, Welfare and Institutions Code. 
HISTORY

1. New section filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
2. New section refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
3. New section refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
4. Certificate of Compliance as to 6-2-2005 order transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.16. Provider Group.
Note     •     History

“Provider Group” means two or more rendering providers doing business together under a provider number at the same business location.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.15, 14043.26 and 14043.45, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment of section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
7. Amendment of section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
8. Amendment of section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
9. Certificate of Compliance as to 6-2-2005 order, including amendment of Note, transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
10. Change without regulatory effect amending section and Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.17. Provider Group Applicant.
Note     •     History

“Provider Group Applicant” means more than one individual rendering provider applying to be enrolled as a provider group.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14043 and 14043.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.18. Provider Identification Number or PIN.
Note     •     History

“Provider Identification Number or PIN” means the unique identification number assigned to a provider to:
(a) Submit electronic claims for reimbursement.
(b) Verify a beneficiary's eligibility.
(c) Determine whether the beneficiary has met his/her share of cost, if applicable.
(d) Complete a Medi-Service reservation or reversal.
(e) Gain access to the provider telecommunications network for check write or claim information, payment history, or to verify procedure codes and rates of reimbursement.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14040 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of subsection designators, transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.19. Provider.
Note     •     History

“Provider” shall have the same meaning as in Section 51051.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14043 and 14043.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.20. Provider Number.
Note     •     History

“Provider Number” means the unique identification number used by an applicant or provider to obtain reimbursement from the Medi-Cal program.
NOTE

Authority cited: Section 20, Health and Safety Code; Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14043.26 and 14043.45, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Change without regulatory effect amending section and Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.20.1. Provider Transferor.
Note     •     History

(a) “Provider Transferor” means a provider that joins a transferee applicant to its Medi-Cal provider agreement, including its rights to use the provider number for that location when any of the following events occur;
(1) A change of ownership as defined in Section 51000.6.
(2) A sale or transfer of 50 percent or more of the assets owned by the corporation at the location for which a provider number was issued.
(3) A cumulative change in the person(s) with an ownership or control interest of 50 percent or more since the information provided in the last complete application package that was approved for enrollment.
(4) When a new Taxpayer Identification Number is issued by the Internal Revenue Service (IRS).
(5) When the Board of Pharmacy requires a new site permit, pursuant to Chapter 9 (commencing with Section 4000) Division 2 of the Business and Professions Code.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14043.25, 14043.26 and 14043.45, Welfare and Institutions Code; and 42 Code of Federal Regulations, Part 489.
HISTORY

1. New section filed 11-10-2005; operative 11-10-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 45).
2. Change without regulatory effect amending subsection (a) and Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.20.9. Rendering Practitioner.
Note     •     History

NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 2505, 2746, 2834 and 3500, Business and Professions Code; Section 100185.5, Health and Safety Code; and Sections 14043.1, 14043.26 and 14043.47, Welfare and Institutions Code. 
HISTORY

1. New section filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
2. New section refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
3. New section refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
4. Certificate of Compliance as to 6-2-2005 order, including repealer of section, transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.21. Rendering Provider.
Note     •     History

“Rendering provider” means an individual provider who renders healthcare services, or provides goods, supplies, or merchandise, as a member of a provider group and uses the group provider number to bill the Medi-Cal program.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.22. Rendering Provider Number.
Note     •     History

“Rendering provider number” means the unique identification number assigned to a rendering provider to identify the rendering provider on claims submitted by a provider group under a group provider number.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.45, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of Note, transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.23. Significant Business Transaction.
Note     •     History

“Significant business transaction” means any business transaction or series of transactions that involve health care services, goods, supplies, or merchandise related to the provision of services to Medi-Cal beneficiaries that, during any one fiscal year, exceed the lesser of $25,000 or 5 percent of an applicant's or provider's total operating expenses.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.2, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of section, transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.24. Subcontractor.
Note     •     History

“Subcontractor” means an individual, agency, or organization:
(a) To which an applicant or provider has contracted or delegated some of its management functions or responsibilities of providing healthcare services, equipment or supplies to its patients.
(b) With whom an applicant or provider has entered into a contract, agreement, purchase order, lease, or leases of real property, to obtain space, supplies, equipment, or services provided under the Medi-Cal Program.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.2, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.24.1. Successor Liability with Joint and Several Liability.
Note     •     History

“Successor Liability with Joint and Several Liability” means a provider transferor joins a transferee applicant to its Medi-Cal provider agreement, including its rights to use the provider number issued for that location.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14043.25, 14043.26 and 14043.45, Welfare and Institutions Code; and 42 Code of Federal Regulations, Part 489.
HISTORY

1. New section filed 11-10-2005; operative 11-10-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 45).
2. Change without regulatory effect amending section and Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.25. Supplier.
Note     •     History

“Supplier” means any manufacturer, principal labeler, wholesaler and any other primary supplier from which an applicant or provider purchases services, goods, supplies, or merchandise, used in carrying out its responsibilities under Medi-Cal.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.2, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.25.1. Suspend.
Note     •     History

“Suspend” includes a deactivation, and means health care services, goods, supplies, or merchandise provided, directly or indirectly, to a Medi-Cal beneficiary shall not be reimbursed under the Medi-Cal program until the provider is reinstated by the Department.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14043.2, 14043.36, 14043.37 and 14043.7, Welfare and Institutions Code.
HISTORY

1. New section filed 11-10-2005; operative 11-10-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 45).
§51000.25.2. Transferee Applicant.
Note     •     History

(a) “Transferee Applicant” means an individual or entity that joins a provider transferors' Medi-Cal provider agreement including the use of the provider number issued for that location when any of the following events occur:
(1) A change of ownership as defined in Section 51000.6.
(2) A sale or transfer of 50 percent or more of the assets owned by the corporation at the location for which a provider number was issued.
(3) A cumulative change in the person(s) with an ownership or control interest of 50 percent or more since the information provided in the last complete application package that was approved for enrollment.
(4) When a new Taxpayer Identification Number is issued by the Internal Revenue Service (IRS).
(5) When the Board of Pharmacy requires a new site permit, pursuant to Chapter 9 (commencing with Section 4000) Division 2 of the Business and Professions Code.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14043.25, 14043.26 and 14043.45, Welfare and Institutions Code; and 42 Code of Federal Regulations, Part 489.
HISTORY

1. New section filed 11-10-2005; operative 11-10-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 45).
2. Change without regulatory effect amending subsection (a) and Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.26. Wholly Owned Supplier.
Note     •     History

“Wholly owned supplier” means a supplier whose total ownership interest is held by an applicant or provider or by a person, persons, or other entity with an ownership or control interest in an applicant or provider.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Section 14043.2, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51000.30. Medi-Cal Provider Application for Enrollment, Continued Enrollment, or Enrollment at a New, Additional, or Change in Location.
Note     •     History

(a) As a condition for enrollment, continued enrollment, or enrollment at a new, additional, or change in location, an applicant or provider shall meet the Standards of Participation specified in Chapter 7 (commencing with Section 14000) and Chapter 8 (commencing with Section 14200) of Part 3 of Division 9 of the Welfare and Institutions Code, and Division 3, Title 22, California Code of Regulations, and either: 
(1) Be certified by the Department to participate in the Medi-Cal program and be a: 
(A) Clinic licensed by the Department pursuant to Chapter 1 (commencing with Section 1200) of Division 2 of the Health and Safety Code, including a clinic, operated by a licensed clinic, that is exempt from licensure pursuant to Section 1206(h) of the Health and Safety Code; or 
(B) Health facility licensed by the Department pursuant to Chapter 2 (commencing with Section 1250) of Division 2 of the Health and Safety Code; or 
(C) Adult day health care provider licensed pursuant to Chapter 3.3 (commencing with Section 1570) of Division 2 of the Health and Safety Code; or 
(D) Home health agency licensed pursuant to Chapter 8 (commencing with Section 1725) of Division 2 of the Health and Safety Code; or 
(E) Hospice licensed pursuant to Chapter 8.5 (commencing with Section 1745) of Division 2 of the Health and Safety Code; or 
(2) Submit to the Department a completed application package on forms specified in subsection (c), below, Section 51000.35, and Section 51000.45. These forms shall: 
(A) Contain complete and accurate information. 
(B) Be signed under penalty of perjury by an individual who is the sole proprietor, partner, corporate officer, or by an official representative of a governmental entity or non-profit organization, who has the authority to legally bind the applicant seeking enrollment, or the provider seeking continued enrollment, or the provider seeking enrollment at a new, additional, or change in location, as a Medi-Cal provider. 
(C) Contain an original signature in ink. 
(D) Be notarized by a Notary Public, unless the applicant or provider is licensed pursuant to Division 2 (commencing with Section 500) of the Business and Professions Code, the Osteopathic Initiative Act, the Chiropractic Initiative Act, or is a lawfully organized group consisting of persons who are so licensed. The Certificate of Acknowledgement signed by the Notary Public shall be in the form specified in Section 1189 of the Civil Code. 
(b) For applicants or providers enrolled pursuant to subdivision (a)(2), the following events require the submission of a new complete application package: 
(1) When there is a change of ownership as defined in Section 51000.6; 
(2) When 50 percent or more of the assets owned by the corporation at the location for which a provider number has been issued are sold or transferred; 
(3) When a new Taxpayer Identification (ID) Number is issued by the IRS; 
(4) When the Board of Pharmacy requires a new site permit, pursuant to Chapter 9 (commencing with Section 4000) Division 2 of the Business and Professions Code; 
(5) When the deletion of one or more rendering providers for a provider group, results in one remaining rendering provider. 
(6) When there is a cumulative change, of 50 percent or more in the person(s) with an ownership or control interest since the information provided in the last complete application package that was approved for enrollment; 
(7) When a transferee applicant meets the requirements for successor liability with joint and several liability set forth in Section 51000.32.
(c) The applicant or provider, when required pursuant to subsection (a)(2) through (b), shall complete, as applicable: 
(1) The “Medi-Cal Provider Group Application,” DHS 6203 (Rev. 07/05), incorporated by reference herein; or 
(2) The “Medi-Cal Provider Application,” DHS 6204 (Rev. 07/05), incorporated by reference herein; or 
(3) One of the applications from the following list, each incorporated by reference herein, which is applicable to their provider type: 
(A) “Medi-Cal Durable Medical Equipment Provider Application,” DHS 6201 (Rev. 07/05). 
(B) “Medi-Cal Orthotics and Prosthetics Provider Application,” DHS 6202 (Rev. 07/05). 
(C) “Medi-Cal Pharmacy Provider Application,” DHS 6205 (Rev. 07/05). 
(D) “Medi-Cal Medical Transportation Provider Application,” DHS 6206 (Rev. 07/05). 
(E) “Medi-Cal Physician Application/Agreement,” DHS 6210 (Rev. 07/05). 
(F) “Medi-Cal Rendering Provider Application/Disclosure Statement/Agreement for Physician and Allied Providers,” DHS 6216 (07/05).
(G) “Medi-Cal Nonphysician Medical Practitioner and Licensed Midwife Application,” DHS 6248 (Rev. 07/05). 
(4) One of the applications specified in (c)(2) or (c)(3)(G) for each nonphysician medical practitioner and licensed midwife under the supervision of a physician and surgeon. 
(d) The applicant or provider, when required pursuant to subsection (a) through (b) above, shall indicate on the application: 
(1) Whether the applicant or provider is requesting enrollment, or continued enrollment, enrollment at a new, additional, or change in location, or enrollment pursuant to subsection (b) above, and the provider's current provider number(s) or group number(s) if any. 
(2) Whether the applicant or provider is a governmental entity or is a partnership, unincorporated sole proprietorship, corporation or limited liability company. If the applicant or provider is a partnership, a copy of the fully executed partnership agreement shall be submitted with the application. 
(3) The legal name under which the applicant or provider is applying for enrollment, continued enrollment, enrollment at a new, additional or change in location, or enrollment pursuant to subsection (b) above. The legal name of the individual, partnership, provider group, association, corporation, institution, or entity, shall be the name currently on file with the Internal Revenue Service (IRS). If the applicant or provider is using a fictitious name, a copy of the Fictitious Business Name Statement, or Fictitious Name Permit, shall be submitted with the application. 
(4) The business address of the applicant or provider. 
(5) The business telephone number of the applicant or provider. 
(6) The pay to address, if different from the business address specified on the application. 
(7) The mailing address, if different from the business or pay to addresses. 
(8) If the applicant or provider is an individual, the date of birth and gender of the applicant or provider. 
(9) If the applicant or provider is an individual, the driver's license number or state-issued identification card number, and the state of issuance, of the applicant or provider. A copy of the applicant's or provider's valid driver's license, or state-issued identification card, shall be submitted with the application. The driver's license or state-issued identification card shall be issued within the 50 United States or the District of Columbia. 
(10) The license or certificate number, or other approval to provide health care services, of the applicant or provider, including those of the rendering provider(s) in a provider group, and the effective and expiration dates. A copy of the valid license, certificate, or other approval, shall be submitted with the application. 
(11) The Medicare billing number, if the applicant or provider is enrolled in the Medicare program. 
(12) The Taxpayer Identification Number issued by the IRS under the name of the applicant or provider, or the social security number issued under the name of the applicant or provider. A copy of the IRS Form 941, Form 8109-C, Letter 147-C, or Form SS-4 (Confirmation Notification) shall be submitted with the application. 
(13) The provider type of the applicant or provider and, if the applicant or provider is a physician, all of the following: 
(A) A listing of his/her specialt(y)ies. 
(B) The location, current status and past history of all hospital privileges. 
(C) If requesting preferred provider status, documentation shall be submitted at the time of submission of the application package to show that the physician meets all of the criteria listed in the Provider Bulletin, titled “Preferred Provider Status” dated February 2004, accessible on the Medi-Cal web site at www.medi-cal.ca.gov at the Provider Enrollment link, under Statutes, Regulations and Provider Bulletins. 
(14) The names, social security numbers (optional), and dates of birth of all rendering providers, if the applicant is a provider group applicant. 
(15) The applicant's or provider's Seller's Permit number, if applicable. A copy of the Seller's Permit shall be submitted with the application. 
(16) If the applicant intends to provide or the provider currently provides durable medical equipment as defined in Section 51160, or is a medical device retailer as defined in Section 51251, or claims reimbursement for the items listed in Section 51521 or 51526, the applicant or provider shall submit the “Medi-Cal Durable Medical Equipment Provider Application,” DHS 6201 (Rev. 07/05), with the information specified in (A) through (D) below. This requirement does not apply to a provider who is authorized to submit claims for reimbursement for durable medical equipment, incontinence medical supplies, or prosthetic and orthotic appliances based on enrollment in the Medi-Cal program as a provider type other than a Durable Medical Equipment and Medical Supply Provider. 
(A) A statement indicating whether the applicant or provider has a retail business open and available to the general public that is readily identifiable as a place in which the applicant or provider sells, rents or leases durable medical equipment or medical supply items either in stock on the premises, or in a warehouse under the applicant's or provider's direct control, and has an established place of business, as specified in Section 51000.60. 
(B) The days and hours of operation of the applicant's or provider's business. 
(C) The address of any warehouse(s) under the direct control of the applicant or provider in which the applicant or provider engages in sales, leasing, or rental of items, and if applicable, the name(s), address(es), and telephone number(s) of the person(s) who hold an ownership interest in the warehouse(s). 
(D) A statement of the composition and percentage of the applicant's or provider's current business activities including whether the applicant intends to provide or provider currently provides: 
1. Beds. 
2. Incontinence medical supplies. 
3. Ostomy supplies. 
4. Infusion equipment and supplies. 
5. Oxygen equipment and supplies. 
6. Urinary catheters, bags and related supplies. 
7. Wheelchairs. 
(17) If the applicant or provider is a pharmacy as defined in Section 51106 and provides pharmaceutical services as defined in Section 51107, the applicant or provider shall submit the “Medi-Cal Pharmacy Provider Application,” DHS 6205 (Rev. 07/05), with the following information: 
(A) A statement indicating whether the applicant or provider has a retail established place of business that meets the criteria specified in Section 51000.60. If the applicant or provider does not have a business open and available to the general public, an explanation shall be provided. 
(B) The National Council for Prescription Drug Programs (NCPDP) number. 
(C) The Drug Enforcement Agency (DEA) registration certificate, and the effective and expiration dates. A copy of the DEA registration shall be submitted with the application, if controlled substances are dispensed. 
(D) The California State Board of Pharmacy (CSBP) permit number and the effective date. A copy of the CSBP permit shall be submitted with the application. 
(E) The name of the pharmacist-in-charge at the business address, as required by Section 4113 of the Business and Professions Code. 
(F) The driver's license number or state-issued identification card, and the state of issuance, of the pharmacist-in-charge. A copy of the driver's license, or state-issued identification card of the pharmacist-in-charge shall be submitted with the application. 
(G) The social security number (optional) of the pharmacist-in-charge. 
(H) The information specified in subsections (d)(16)(B) through (D), above, and the percentage of the applicant's or provider's total business activities represented by the sale of prescription drugs, and meets the requirements of Welfare and Institutions Code Section 14043.34. 
(I) The license number of the pharmacist-in-charge. A copy of the license issued to the pharmacist-in-charge shall be submitted with the application. 
(18) If the applicant intends to provide or the provider currently provides medical transportation services as defined in Section 51151, and claims reimbursement for services as a provider of medical transportation as defined in Section 51152, or provides nonemergency medical transportation as defined in Section 51151.7, the applicant or provider shall submit the “Medi-Cal Medical Transportation Provider Application,” DHS 6206 (Rev. 07/05), with the following information: 
(A) For emergency transportation by ambulance, the California Highway Patrol (CHP) certificate number and the date of issuance. A copy of the CHP certificate shall be submitted with the application. 
(B) For nonemergency medical transportation, as defined in Section 51151.7, by litter van or wheelchair van registered with DMV as a commercial vehicle, the vehicle identification number (VIN), make and model, year, and license plate number of each vehicle. Proof of full coverage commercial insurance for each vehicle, indicating the VIN for each covered vehicle, shall be submitted. 
(C) For air ambulance transportation, the Federal Aviation Administration (FAA) certificate number. A copy of the FAA certificate and a statement on company letterhead of where the aircraft is hangared shall be submitted with the application. 
(D) For each driver of nonemergency medical ground transportation vehicles and for each pilot of aircraft(s) employed by the applicant or provider: 
1. Full legal name. 
2. California driver's license number and the expiration date. A copy of the valid California driver's license shall be submitted with the application. 
3. Driving history printout issued by the Department of Motor Vehicles (DMV). A copy of the driving history printout shall be submitted with the application. 
4. Medical examination report, DL-51, issued by the DMV and the effective and expiration dates. A copy of the DL-51 shall be submitted with the application. 
5. A copy of the certificates for first aid and CPR specified in Sections 51231.1 and 51231.2 shall be submitted with the application. 
6. A copy of the standard pre-employment drug and alcohol lab test results shall be submitted with the application. 
7. Pilot's license number of the pilot. A copy of the license shall be submitted with the application. 
(E) Days and hours of business operation. 
(F) Geographic area within which the city or county has issued a business license or permit to provide medical transportation services. A copy of the license or permit shall be submitted with the application. 
(G) The documentation required by Sections 51231.1 and 51231.2. 
(19) If the applicant intends to provide or the provider currently provides lab services as defined in Section 51137.1, or 51137.2, a Clinical Laboratory Improvement Amendment (CLIA) certificate appropriate for the level of testing performed and a state license or registration shall be submitted. If the applicant or provider performs a test included within the 80000 series of the Physician's Current Procedural Terminology (CPT) codes, a CLIA certificate appropriate for the level of testing performed shall also be submitted if the applicant or provider performs or submits claims for any of the following CPT codes: 78110, 78111, 78120, 78121, 78122, 78130, 78160, 78191, 78270, 78271 and 78272. A copy of the CLIA certificate and the state license or registration shall be submitted with the application. 
(20) If the applicant or provider is a nonphysician medical practitioner or licensed midwife as defined in Sections 51170, 51170.1, 51170.2, 51170.3 and 51191, the applicant or provider shall submit the “Medi-Cal Nonphysician Medical Practitioner and Licensed Midwife Application,” DHS 6248 (07/05) with the following information: 
(A) For the nonphysician medical practitioner and licensed midwife:
1. The license/certification number of the applicant or provider, and the effective and expiration dates. A copy of the valid license or certificate shall be submitted with the application. 
2. Date first employed by employing provider including verification of employment.
3. Maximum work hours per week at this location. 
4. Hours of supervision per week at this location. 
5. For nurse practitioners, the duration of the nurse practitioner training program and the name of the school providing the training program, or equivalent experience. 
(B) For the employing provider:
1. Legal Name that is currently on file with the Internal Revenue Service (IRS).
2. Medical License Number. A copy of the valid license shall be submitted with the application. 
3. Provider number. 
4. Business address.
5. Type of facility at the business address. 
6. Type of service delivered at the business address. 
7. Business telephone number. 
8. Other Medi-Cal provider(s), if any, for whom the applicant currently works, including the name, provider number, business address of each employing provider and the maximum hours per week the applicant works. 
(C) For the supervising provider: 
1. Legal Name that is currently on file with the Internal Revenue Service (IRS).
2. Medical License Number. A copy of the valid license shall be submitted with the application. 
3. Provider number. 
4. Driver's license number or state-issued identification card number, and the state of issuance, of the applicant or provider. A copy of the applicant's or provider's valid driver's license, or state-issued identification card, shall be submitted with the application. The driver's license or state-issued identification card shall be issued within the 50 United States or the District of Columbia. 
5. Business telephone number. 
6. Type of practice/specialty. 
7. Name of each nonphysician medical practitioner or licensed midwife supervised, the provider type, and the maximum number of hours worked. 
(21) For the individual signing the application, who shall have the authority to legally bind the applicant or provider seeking enrollment, continued enrollment, enrollment at a new, additional, or change in location, or enrollment pursuant to subsection (b) above, the following shall be provided: 
(A) The full legal name and title. 
(B) Date of birth. 
(C) Gender. 
(D) Social security number (optional). 
(E) The driver's license number or state-issued identification card number and state of issuance. The driver's license or state-issued identification card shall be issued within the 50 United States or the District of Columbia. A copy of the valid driver's license, or state-issued identification card, shall be submitted with the application. 
(e) The applicant or provider shall comply with all state and local laws and ordinances regarding business licensing and operations, and shall obtain all state and local licenses and permits necessary to provide the services, goods, supplies, or merchandise being provided or services being rendered by the applicant or provider. A copy of each license and permit shall be submitted with the application. Failure to obtain and maintain all necessary licenses and permits, including but not limited to, a business license, a fictitious name statement, a seller's permit, or a pharmacy or home medical device retailer license, shall result in the disapproval of an applicant's application, or the temporary suspension and deactivation of the provider's number. 
(f) The applicant or provider shall obtain and show evidence of maintaining: 
(1) Worker's Compensation insurance as required by state law; 
(2) Liability insurance that covers premises and operation; and 
(3) For any individual licensed or certified pursuant to Division 2 (commencing with Section 500) of the Business and Professions Code, the Osteopathic Initiative Act, or the Chiropractic Initiative Act, Professional Liability Insurance coverage. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.45, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.15, 14043.2, 14043.25 and 14043.26, Welfare and Institutions Code; and Title 45, Code of Federal Regulations, Sections 162.408 and 162.412.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section, including amendments, refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of section, transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment of section and Note filed 2-3-2003 as an emergency; operative 2-3-2003 (Register 2003, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 8-5-2003 as an emergency; operative 8-5-2003 (Register 2003, No. 32). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 2-2-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment, including further amendment of section and Note, refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section as it existed prior to 2-3-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 24).
10. Amendment refiled 6-8-2004 as an emergency; operative 6-8-2004 (Register 2004, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-2004 or emergency language will be repealed by operation of law on the following day.
11. Reinstatement of section as it existed prior to 6-8-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 41).
12. Amendment of section heading, section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
13. Amendment of section heading, section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
14. Amendment of section heading, section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
15. Certificate of Compliance as to 6-2-2005 order, including further amendment of section, transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
16. Amendment of subsections (d)(1), (d)(20)(B)3., (d)(20)(B)8., (d)(20)(C)3. and (e) and amendment of Note filed with the Secretary of State on 2-28-2008 (Register 2008, No. 9). Exempt from review by the Office of Administrative Law pursuant to Welfare and Institutions Code section 14043.45.
17. Change without regulatory effect amending subsection (d)(13)(C) filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.31. Medi-Cal Provider Group or Rendering Provider Application for Enrollment, Continued Enrollment or Enrollment at a New, Additional or Change in Location.
Note     •     History

(a) The provider group applicant or provider group shall; 
(1) Submit a provider group application package pursuant to Section 51000.30(a) through (b) that lists all rendering providers at the business address for which the application package is submitted. 
(2) Cease using the provider group number to submit claims whenever the deletion of one or more rendering provider results in less than two remaining rendering providers.
(b) A rendering provider shall: 
Apply for enrollment in the Medi-Cal program by submitting “Medi-Cal Rendering Provider Application/Disclosure Statement/Agreement for Physician/Allied Providers,” DHS 6216 (07/05) pursuant to Section 51000.30 if not already currently enrolled as a Medi-Cal provider.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.15, 14043.2, 14043.25 and 14043.26, Welfare and Institutions Code. 
HISTORY

1. New section filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
2. New section refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
3. New section refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
4. Certificate of Compliance as to 6-2-2005 order, including amendment of section and Note, transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.32. Requirements for Successor Liability with Joint and Several Liability.
Note     •     History

(a) A provider transferor may elect successor liability with joint and several liability by meeting both of the following conditions:
(1) By letter postmarked no later than five days after the occurrence of any event listed in Section 51000.30(b), the provider transferor and the transferee applicant shall submit to the Department the “Successor Liability with Joint and Several Liability Agreement,” DHS 6217 (11/05), signed and dated by both, which includes the following information:
(A) The legal name of provider transferor which shall be the name currently on file with the Internal Revenue Service (IRS).
(B) Current provider number for the location affected.
(C) Fictitious business name of the provider transferor, if applicable.
(D) The legal name of transferee applicant which shall be the name currently on file with the Internal Revenue Service (IRS).
(E) Current provider number(s) of transferee applicant, if applicable.
(F) Fictitious business name of the transferee applicant, if applicable.
(G) A statement signed and dated by both the provider transferor and the transferee applicant wherein they accept joint and several liability for all debts arising from the Medi-Cal provider agreement applicable to the location for which a provider number was issued by the Department.
(2) The transferee applicant shall submit to the Department within 35 days of the occurrence of any event listed in Section 51000.30(b), a complete application package pursuant to Section 51000.30.
(b) Notwithstanding the Provider Bulletin, titled “Effective Date of Enrollment,” dated June 2004, accessible on the Medi-Cal web site at www.medi-cal.ca.gov at the Provider Enrollment link, under Statutes, Regulations and Provider Bulletins, if the transferee applicant is enrolled based on an application submitted pursuant to Section 51000.30(b), the effective date of enrollment shall be the date on the notice and the provider transferor's provider number shall be deactivated effective that date.
(c) If an application submitted pursuant to 51000.30(b) is denied based on the transferee applicant's failure to meet the criteria specified in Section 51000.50(a), the provider transferor's Medi-Cal provider agreement along with the provider number originally issued for that location shall be deactivated as of the date of the occurrence of any event listed in Section 51000.30(b). Both the provider transferor and the transferee applicant shall be jointly and severally liable to the Department for all amounts paid for services, goods, supplies, or merchandise, provided directly or indirectly, to a Medi-Cal beneficiary after that date.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.15, 14043.2, 14043.25 and 14043.26, Welfare and Institutions Code; and 42, Code of Federal Regulations, Part 489. 
HISTORY

1. New section filed 11-10-2005; operative 11-10-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 45).
§51000.35. Disclosure Requirements.
Note     •     History

(a) The applicant or provider shall disclose all the information required by 42, Code of Federal Regulations, Sections 455.104, 455.105 and 455.106, on the “Medi-Cal Disclosure Statement,” DHS 6207 (Rev. 02/05) or the “Medi-Cal Rendering Provider Application/Disclosure Statement/Agreement for Physician/Allied Providers,” DHS 6216 (07/05), incorporated by reference herein, and submit the disclosure statement with the application required by Sections 51000.30 and 51000.40. The disclosure statement shall include all of the following: 
(1) The name, address, title and percentage of ownership or control interest  of each person(s) with an ownership or control interest, as defined in Section 51000.15, in the applicant or provider, or in any subcontractor in which the applicant or provider has direct or indirect ownership of 5 percent or more. 
(2) Whether any of the persons named in subsection (a)(1), above, is related to another such as spouse, parent, child or sibling. 
(3) The name and address of any other health care provider in which a person(s) with an ownership or control interest in the applicant or provider also has an ownership or control interest. This requirement applies to the extent that the applicant or provider can obtain this information by requesting it in writing from the health care provider. The applicant or provider shall: 
(A) Keep copies of all these requests and the responses to them. 
(B) Make them available to the Department upon request. 
(C) Advise the Department when there is no response to a request. 
(4) The name and address of each person(s) with an ownership or control interest in any subcontractor with whom the applicant or provider has had business transactions involving health care services, goods, supplies or merchandise related to the provision of services to a Medi-Cal beneficiary that total more than $25,000 during the 12-month period immediately preceding the date of the application, or immediately preceding the date on the Department's request for such information. 
(5) Any significant business transactions between the applicant or provider and any wholly owned supplier, or between the applicant or provider and any subcontractor, during the 5-year period ending on the date of the application, or ending on the date of the written request by the Department for such information. 
(6) The identity of any person(s) who has ownership or control interest in the applicant or provider, or is an agent or managing employee of the applicant or provider, who has within the previous ten years of the date of the application package: 
(A) Been convicted of any felony or misdemeanor involving fraud or abuse in any government program; or
(B) Been found liable in any civil proceeding involving fraud or abuse in any government program; or
(C) Entered into a settlement in lieu of conviction involving fraud or abuse in any government program.
(b) The applicant or provider shall also state on the “Medi-Cal Provider Disclosure Statement, DHS 6207 (Rev. 02/05):” 
(1) Whether the applicant or provider has ever participated in the Medi-Cal program as a provider and, if applicable, the names under which the applicant or provider participated, and all provider numbers previously assigned to the applicant or provider. 
(2) Whether the applicant or provider has ever participated in other states' Medicaid programs as a provider and, if applicable, the name of the state(s), the name(s) under which the applicant or provider participated, and the provider number(s). 
(3) Whether the applicant or provider has ever been suspended from a Medicare or Medicaid program and, if applicable: 
(A) The provider number(s), including rendering provider number(s) and group provider number(s), assigned to the applicant or provider that was/were suspended. 
(B) The effective date(s) of the suspension(s). 
(C) If the applicant or provider was suspended and subsequently reinstated, the date(s) of the reinstatement(s) and a copy of the letter(s) of reinstatement shall be included with the application. 
(4) Whether the license, certificate, or other approval to provide health care, of the applicant or provider has ever been suspended or revoked, or whether the applicant or provider has otherwise lost that license, certificate, or approval, or has surrendered that license, certificate or approval while a disciplinary hearing on that license, certificate or approval was pending. And, if the applicant is a pharmacy, whether the license of the pharmacist-in-charge has ever been suspended or revoked, or whether the pharmacist-in charge has otherwise lost his/her license, or surrendered his/her license while a disciplinary hearing on his/her license was pending. If applicable, the applicant or provider shall indicate the state(s) in which the action(s) against his/her license occurred, or occurred against the license of the pharmacist-in-charge, and the effective date(s) of the licensing authority's order(s). The applicant or provider shall provide written confirmation from the licensing authority that his/her professional privileges, or those of the pharmacist-in-charge, have been restored. 
(5) Whether the license, certificate or other approval to provide health care of the applicant or provider has been disciplined by any licensing authority. And, if the applicant or provider is a pharmacy, whether the Board of Pharmacy license of the pharmacist-in-charge has ever been disciplined by any licensing authority. If applicable, the applicant or provider shall indicate what action(s) was/were taken against his/her license, or what action(s) was/were taken against the license of the pharmacist-in-charge, where the action(s) against his/her license was/were taken, or was/were taken against the license of the pharmacist-in-charge, and the effective date(s) of the licensing authority's decision(s). 
(6) The driver's license number for each person who has a direct or indirect ownership interest totaling 5 percent or more in the applicant or provider. A copy of the driver's license of such persons shall be submitted with the application. If such persons does not have a driver's license, a copy of his/her state-issued identification card shall be submitted. 
(7) If the applicant intends to sell, or the provider currently sells incontinence medical supplies: 
(A) A statement of all sources of capital of the applicant or provider. 
(B) The names and addresses of all manufacturers, suppliers and other providers with whom the applicant or provider has any type of business relationship relative to the provision of services, goods, supplies, or merchandise, to Medi-Cal beneficiaries. 
(C) The names and addresses of all persons and entities to whom the applicant or provider has extended a line of credit of $5,000 or more. 
(c) Each applicant or provider shall submit a new disclosure statement to the Department within 35 days of any change to the information previously submitted to the Department on any disclosure statement as required by this Article. When there is a cumulative change of 50 percent or more in the person(s) with an ownership or control interest, since the information provided in the last completed application package that was approved for enrollment, a new application package is required pursuant to Section 51000.30. Changes of less than 50 percent shall be reported pursuant to Section 51000.40. 
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.2, ,14043.26, 14043.27, 14043.36 and 14125.8, Welfare and Institutions Code; 42, U.S.C., Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section, including amendments, refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of section, transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment of subsections (a)-(a)(3), (a)(4), (a)(6) and (c) and amendment of Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
7. Amendment of subsections (a)-(a)(3), (a)(4), (a)(6) and (c) and amendment of Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
8. Amendment of subsections (a)-(a)(3), (a)(4), (a)(6) and (c) and amendment of Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
9. Certificate of Compliance as to 6-2-2005 order, including amendment of subsections (a) and (b) and amendment of Note, transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.40. Reporting of Additional or Changed Information to Provider Applications.
Note     •     History

(a) A provider, including a provider group, shall report to the Department within 35 days of any addition or change in the information previously submitted in the application package. 
(b) A provider, including a provider group, shall complete the form “Medi-Cal Supplemental Changes,” DHS 6209 (Rev. 11/05), incorporated by reference herein, to add or change the following information, or to request the following actions: 
(1) “Pay to” or “mailing” address. 
(2) Business telephone number.
(3) Managing employee.
(4) Pharmacist-in-charge, if the provider is a pharmacy. 
(5) Medicare billing number. 
(6) Business activities, if the provider currently provides durable medical equipment and/or incontinence medical supplies and:
(A) The change requires the issuance of a new license, permit, or certificate; or
(B) The provider is adding or deleting incontinence medical supplies.
(7) Name under which the provider or provider group is doing business (DBA). 
(8) CLIA number. 
(9) Deactivation of a provider number. 
(10) Re-issuance of a Provider Identification Number (PIN).
(11) For provider of medical transportation services:
(A) Vehicle or aircraft information.
(B) Driver or pilot information, or the addition of information on a new driver or pilot. 
(C) The days and/or hours of operation of the applicant's or provider's business. 
(D) The geographic area(s) served. 
(12) A change of less than 50 percent in the person(s) with an ownership or control interest, as defined in Section 51000.15, of the provider, or provider group that does not result in a new Taxpayer Identification Number being issued by the IRS. Any cumulative change of 50 percent or more in the person(s) with an ownership or control interest, since the information provided in the last complete application package was approved for enrollment, requires a new application required pursuant to Section 51000.30(b)(6).
(13) Specialty Code.
(c) A nonphysician medical practitioner or licensed midwife shall complete the “Medi-Cal Nonphysician Medical Practitioner and Licensed Midwife Application, “DHS 6248 (Rev. 07/05), to report to the Department any change in information previously submitted, as required pursuant to Section 51000.30(d), to add or change the following information, or to request the following actions: 
(1) Delete a nonphysician medical practitioner or licensed midwife;
(2) Change the supervising physician, when the employing provider remains the same; 
(3) Change the hours of supervision; 
(4) Change the maximum hours worked per week. 
(d) The Department may require the provider to submit a new application package when the provider uses the form “Medi-Cal Supplemental Changes,” DHS 6209 (Rev. 11/05) to report information not listed in subsection (b) above. 
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.15, 14043.2, 14043.25 and 14043.26, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section, including amendments, refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of section, transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment of section heading, section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
7. Amendment of section heading, section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
8. Amendment of section heading, section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
9. Certificate of Compliance as to 6-2-2005 order, including further amendment of section. transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.45. Provider Agreement.
Note     •     History

An applicant or provider shall sign and submit one of the following provider agreements, as applicable: 
(a) “Medi-Cal Provider Agreement,” DHS 6208 (Rev. 05/05), incorporated by reference herein. 
(b) “Medi-Cal Physician Application/Agreement,” DHS 6210 (Rev. 07/05), incorporated by reference herein.
(c) “Medi-Cal Rendering Provider Application/Disclosure Statement/Agreement for Physician/Allied Providers,” DHS 6216 (07/05), incorporated by reference herein.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.2, 14043.25 and 14123.25(a), Welfare and Institutions Code; 42 U.S.C. Sections 1320a-3, 1320a-7, 1396a(a)(38), 1396b(i)(2); and 42 Code of Federal Regulations Parts 431 and 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section, including amendments, refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of section and Note, transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment filed 2-3-2003 as an emergency; operative 2-3-2003 (Register 2003, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 8-5-2003 as an emergency; operative 8-5-2003 (Register 2003, No. 32). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 2-2-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section as it existed prior to 2-3-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 24).
10. Amendment refiled 6-8-2004 as an emergency; operative 6-8-2004 (Register 2004, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-2004 or emergency language will be repealed by operation of law on the following day.
11. Reinstatement of section as it existed prior to 6-8-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 41).
12. Amendment of section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
13. Amendment of section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
14. Amendment of section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
15. Certificate of Compliance as to 6-2-2005 order, including further amendment of section. transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51000.50. Application Review Criteria and Notice of Department Action.
Note     •     History

(a) The Department shall review the applicant's or provider's completed application package for enrollment, continued enrollment, enrollment at a new, additional, or change in location, or enrollment pursuant to Section 51000.30(b) in the Medi-Cal program. The applicant or provider shall meet the following requirements for enrollment in the Medi-Cal program: 
(1) The application package shall be signed and notarized if required by Section 51000.30(a)(2). 
(2) The information specified in Sections 51000.30, 51000.35, and 51000.45, and all required submittals and attachments to the application package have been received by the Department. 
(3) The applicant or provider has a valid license, certificate, or other approval necessary to perform the healthcare services or to provide the goods, supplies, or merchandise within the applicable provider of service category or subgroup of that category.
(4) The applicant or provider meets all applicable standards for participation in the Medi-Cal program specified in Chapter 7 (commencing with section 14000) and Chapter 8 (commencing with 14200) of Part 3 of Division 9 of the Welfare and Institutions Code, and Division 3, Title 22, California Code of Regulations.
(5) The applicant or provider has obtained all state and local licenses, permits, or authorizations necessary to operate a business at the business address for which the application package is submitted and to perform the health care services or to provide the goods, supplies, or merchandise with the applicable provider of service category or subgroup of that category. 
(6) All fines, and debts due and owing, including overpayments and penalty assessments, to any federal, state, or local government entity that relates to Medicare, Medicaid, Medi-Cal, or any other federal and state health care program, have been paid, or satisfactory arrangements have been made to fulfill the obligation or the fine or debt has been excused by legal proceedings. 
(7) No applicant, provider, person with an ownership or control interest in the applicant or provider, or person who is a director, officer, or managing employee of an applicant or provider, has been convicted of any felony, or convicted of any misdemeanor involving fraud or abuse in any government program, related to neglect or abuse of a patient in connection with the delivery of a healthcare item or service, or in connection with the interference with, or obstruction of, any investigation into health care related fraud or abuse, or has been found liable for fraud or abuse in any civil proceeding, or has entered into a settlement in lieu of conviction for fraud or abuse in any government program within ten years of the date of the application package. 
(8) No applicant, provider, person with an ownership or control interest in the applicant or provider, or person who is a director, officer, or managing employee of an applicant or provider shall be under investigation for any healthcare related fraud or abuse at the time of the application for enrollment, continued enrollment, enrollment at a new, additional, or change in location, enrollment pursuant to Section 51000.30(b), or during the preenrollment period. 
(9) The applicant or provider has satisfactorily corrected any discrepancies in the application package or identified in a background check, preenrollment inspection or unannounced visit within the time limit specified by the Department. If the applicant or provider cannot satisfactorily correct one or more discrepancies because they occurred in the past, then the application shall be denied. 
(10) The applicant or provider has satisfactorily demonstrated to the Department that the business address for which the application package was submitted is an established place of business as specified in Section 51000.60, at the time of application and at the time of any background check, preenrollment inspection or unannounced visit. 
(11) If applicable, the period of time during which an applicant or provider has been barred from reapplying has passed. 
(12) The information submitted by the applicant or provider is accurate and complete. 
(b) Except as provided in subsection (c), within 30 days of receipt of an application package, the Department shall provide written notice to inform the applicant or provider that either:
(1) A moratorium has been imposed pursuant to Welfare and Institutions Code, Section 14043.55 or 14125.8, on the enrollment of providers in the specific provider of service category for which the applicant or provider has applied. If a moratorium has been imposed, the Department shall return the application package to the applicant or provider with the notice.
(2) The Department has received the applicant's or provider's application package and shall evaluate the application package based upon the criteria contained in this Chapter and its governing statutes.
(c) Within 15 days of receipt of an application package from a physician, or a group of physicians, licensed by the Medical Board of California or the Osteopathic Medical Board of California, the Department shall provide written notice to inform the applicant or provider that the Department has received the applicant's or provider's application package. 
(d) An applicant or provider who requests consideration as a preferred provider shall be notified within 60 days whether the applicant or provider meets or does not meet all of the criteria listed in the Provider Bulletin, titled “Preferred Provider Status”, dated February 2004, accessible on the Medi-Cal Web site at www.medi-cal.ca.gov at the Provider Enrollment link, under Statute, Regulations, and Provider Bulletins. If an applicant or provider is notified that the applicant or provider does not meet the criteria for a preferred provider, the application package submitted shall be processed in accordance with the remainder of this section. 
(e) Except as provided in subsection (f) within 180 days of receipt by the Department of an application package, or within 180 days from the date of the notice to an applicant or provider that the applicant or provider does not qualify as a preferred provider, the Department shall give written notice to the applicant or provider of one of the following: 
(1) The applicant or provider is granted provisional provider status for a period of 12 months, effective from the date on the notice; or
(2) The application package is incomplete, describing which information is required, or which attachments are outstanding and/or inadequate. The application package shall be returned at the time of this notice to the applicant, who may re-submit the application package at any future date. When an application package is re-submitted, it may include the materials previously submitted along with the materials necessary to correct the outstanding and/or inadequate information, provided the materials are current and valid at the time of re-submission; or
(3) The Department is exercising its authority under Welfare and Institutions Code Section 14043.37, 14043.4, or 14043.7 to conduct background checks, preenrollment inspections, or unannounced visits; or 
(4) The application package is denied based on the applicant's or provider's failure to meet the criteria specified in subsection (a), or failure to comply with the requirements specified in this Chapter or its governing statutes. 
(f) Notwithstanding subsection (e), within 90 days of receipt by the Department of an application package from a physician or group of physicians licensed by the Medical Board of California or the Osteopathic Medical Board of California, or within 90 days from the date of the notice to an applicant or provider that the applicant or provider does not qualify as a preferred provider, the Department shall give written notice to the applicant or provider that either paragraph (1), (2), (3) or (4) of subsection (e) applies, or shall on the 91st day grant the applicant or provider provisional provider status for a period no longer than 12 months, effective from the 91 day. 
(g) If the re-submitted application package is received by the Department within 60 days of the date of the notice of an incomplete application pursuant to subsection (e)(2) above, the Department shall continue to process the application package and shall, within 60 days of the receipt of the re-submitted application package, send a notice indicating one of the following actions:
(1) The applicant or provider is granted provisional provider status for a period of 12 months, effective from the date on the notice; or
(2) The Department is exercising its authority under Welfare and Institutions Code, Section 14043.37, 14043.4, or 14043.7 to conduct background checks, preenrollment inspections, or unannounced visits; or
(3) The application package is denied based on the applicant's or provider's failure to meet the criteria specified in subsection (a), or failure to comply with the requirements specified in this Chapter or its governing statutes.
(h) If a re-submitted application package for enrollment, continued enrollment, enrollment at a new additional or change in location, or enrollment pursuant to Section 51000.30(b), is not received by the Department within 60 days of the date of the notice of an incomplete application pursuant to subsection (e)(2) above, the application package shall be denied by operation of law pursuant to Welfare and Institutions Code Section 14043.26. If the failure to re-submit an application package is by a provider applying for continued enrollment, the provider shall be subject to immediate deactivation of all provider numbers, pursuant to Welfare and Institutions Code Section 14043.26(h)(2)(B). Nothing in this subsection prevents the provider from reapplying as a new applicant by submitting a new application package, which shall receive a new application received date. 
(i) If a background check is conducted pursuant to Welfare and Institutions Code, Section 14043.37, a preenrollment inspection is conducted pursuant to Welfare and Institutions Code Section 14043.4, or an unannounced visit is conducted pursuant to Welfare and Institutions Code, Section 14043.7, prior to enrollment, continued enrollment, enrollment at a new, additional or change in location, or enrollment pursuant to Section 51000.30(b), the Department shall provide written notice to the applicant or provider of the following:
(1) The applicant or provider is granted provisional provider status for a period of 12 months, effective from the date on the notice; or 
(2) Discrepancies were found with the information provided by the applicant or provider on the application package that require remediation. The applicant or provider shall have 60 days from the date of the notice to provide the requested information and documentation to the Department in order to remediate the discrepancies. If no response is received or the discrepancies are not remediated within the 60 days, the application shall be denied by operation of law pursuant to Welfare and Institutions Code Section 14043.26; or 
(3) Discrepancies were found with the information provided by the applicant or provider on the application package that cannot be remediated and the application shall be denied by operation of law pursuant to Welfare and Institutions Code Section 14043.26. 
(4) The application is denied based on the applicant's or provider's failure to meet the criteria specified in subsection (a), or failure to comply with the requirements specified in this Chapter or its governing statutes. 
(5) A provider whose application for continued enrollment has been denied pursuant to subsection (i)(2), (i)(3), or (i)(4) above, shall prior to any hearing be subject to temporary suspension and deactivation of all provider numbers pursuant to Welfare and Institutions Code, Section 14043.2, 14043.36, 14043.37 and 14043.7.
(j) Any notice by the Department of a denial of an application package shall specify the reason(s) for denial and the administrative remedies, if any, that may be pursued by the applicant or provider. 
(k) An applicant or provider whose application package has been denied for enrollment, continued enrollment, enrollment at a new, additional, or change in location, or enrollment pursuant to Section 51000.30(b), may appeal the application package denial, in accordance with Welfare and Institutions Code, Section 14043.65. 
(l) An applicant or provider whose application package has been denied for failure to submit to the Department requested information or documentation pursuant to Welfare and Institutions Code Section 14043.26(h)(2)(A) or failure to remediate discrepancies identified by the Department pursuant to Welfare and Institutions Code Section 14043.26(i)(2)(A) may reapply for enrollment in the Medi-Cal program by submitting a new application package that shall be reviewed anew. 
(m) An applicant or provider whose application package has been denied for failing to disclose information or for providing false information pursuant to Welfare and Institutions Code Section 14043.2, or denied because it is under investigation pursuant to Welfare and Institutions Code Section 14043.36, shall be barred from reapplying for enrollment in the Medi-Cal program for a period of three years from the date of the denial notice. The Department shall not deny enrollment to an applicant or provider whose felony or misdemeanor charges did not result in a conviction. 
(n) An applicant shall not apply for enrollment within 10 years from the date of the conviction for any offense or for any act included in Welfare and Institutions Code Section 14043.36. An applicant or provider whose application package has been denied based on a conviction for any offense or for any act included in Welfare and Institutions Code Section 14043.36, shall be barred from reapplying for enrollment in the Medi-Cal program for a period of 10 years from the date of the denial notice or from the date of the final decision following an appeal from that denial. 
(o) An applicant or provider whose application package has been denied based on two or more convictions for any offense or two or more acts included in Welfare and Institutions Code Section 14043.36, shall be permanently barred from applying for enrollment in the Medi-Cal program. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.2, 14043.26. 14043.28, 14043.36, 14043.37, 14043.4, 14043.6, 14043.65 and 14043.7, Welfare and Institutions Code; 42 U.S.C. Sections 1320a-3, 1320a-7, 1396a(a)(38) and 1396b(i)(2); and Title 42, Code of Federal Regulations, Part 455.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of section, transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment of section and Note filed 2-3-2003 as an emergency; operative 2-3-2003 (Register 2003, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 8-5-2003 as an emergency; operative 8-5-2003 (Register 2003, No. 32). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 2-2-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section and Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section and Note as they existed prior to 2-3-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 24).
10. Amendment of section and Note refiled 6-8-2004 as an emergency; operative 6-8-2004 (Register 2004, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-2004 or emergency language will be repealed by operation of law on the following day.
11. Reinstatement of section as it existed prior to 6-8-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 41).
12. Amendment of section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
13. Amendment of section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
14. Amendment of section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
15. Certificate of Compliance as to 6-2-2005 order, including further amendment of section, transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
16. Change without regulatory effect amending subsections (e), (f) and (g)(2) and amending Note filed 2-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 9).
17. Change without regulatory effect amending subsection (b), adopting new subsections (c) and (f), relettering subsections and amending newly designated subsections (d), (e), (g), (h), (i)(5) and (l) filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.51. Provisional Provider and Preferred Provisional Provider Status.
Note     •     History

(a) The Department shall grant provisional provider status for a period of 12 months, or preferred provisional status for a period of 18 months, subject to the provisions of Welfare and Institutions Code Sections 14043.26 through 14043.29, when: 
(1) An application for enrollment of a new provider is approved. 
(2) An application for continued enrollment of a provider is approved. 
(3) An application for enrollment of an additional location, or change of location for a provider is approved. 
(4) An application for any change pursuant to Section 51000.30(b) is approved. 
(5) The Department fails to take any action listed in Section 51000.50(e) within 180 days after receiving an application package. The applicant or provider shall be granted provisional provider status, effective on the 181st day. 
(b) When a provider currently enrolled in the Medi-Cal program at one or more locations, who has submitted an application package for enrollment at an additional or change in location, begins billing for services provided at an additional or change of location, using their existing provider number, the provider shall be considered to be on provisional provider status. If the provider is subject to Welfare and Institutions Code Section 14043.47(c), the provider shall submit documentation in the application package that identifies the physician providing services at every three locations. 
(c) Provisional provider status or preferred provisional provider status shall be terminated, by the Department, pursuant to Welfare and Institutions Code Section 14043.27(c)(1) - (12), regardless of whether the period of time for which the provisional provider status or preferred provisional provider status was granted has elapsed. 
(d) Termination of provisional provider status or preferred provisional provider status, by the Department, shall include deactivation of all provider numbers used by the provider at any location, to obtain reimbursement from the Medi-Cal program, except where the termination is based upon a ground related solely to a specific location. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.2, 14043.26, 14043.27, 14043.36, 14043.37, 14043.4 and 14043.7, Welfare and Institutions Code; 42 U.S.C. Sections 1320a-3, 1320a-7, 1396a(a)(38) and 1396b(i)(2); and 42 Code of Federal Regulations Part 455. 
HISTORY

1. New section filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
2. New section refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
3. New section refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
4. Certificate of Compliance as to 6-2-2005 order transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
5. Change without regulatory effect amending subsection (a)(5) and Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.52. Provider Numbers.
Note     •     History

(a) When provisional provider status or preferred provisional provider status is granted, a provider number shall be used by the provider for each business address for which an application package has been approved. This provider number shall be used exclusively for the locations for which it is issued, except for providers subject to paragraphs (1), (2), or (3) below: 
(1) If the practice of the provider's profession or delivery of services, goods, supplies, or merchandise is such that services, goods, supplies, or merchandise are rendered or delivered only at locations other than the provider's business address and this practice or delivery of services, goods, supplies, or merchandise has been disclosed in the application package approved by the Department when the provisional provider status or preferred provisional provider status was granted; or 
(2) If a provider submits claims under an existing provider number for services rendered at an additional or change in location, pursuant to Section 51000.51(b); or 
(3) A rendering provider in a group uses only one provider number, which does not change by location or provider group. 
(b) A provider number used following submission of an application pursuant to Section 51000.30(a)(2) and (b) is exclusive to the provider and shall not be transferred or used by a transferee, except when a transferee applicant meets the successor liability with joint and several liability requirements set forth in Section 51000.32. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.15, 14043.2, 14043.26, 14043.27, 14043.36, 14043.37, 14043.4, 14043.47, 14043.6, 14043.45, 14043.65 and 14043.7, Welfare and Institutions Code; 42 U.S.C. Sections 1320a-3, 1320a-7, 1396a(a)(38) and 1396b(i)(2); and 42 Code of Federal Regulations Part 455. 
HISTORY

1. New section filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
2. New section refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
3. New section refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
4. Certificate of Compliance as to 6-2-2005 order, including amendment of subsection (b), transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
5. Change without regulatory effect amending subsections (a) and (b) and amending Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.53. Deactivation of a Provider Number(s) or Location(s).
Note     •     History

(a) The Department shall deactivate, immediately and without prior notice, a provider's provider number(s) or location(s) used to obtain reimbursement from the Medi-Cal program, under the following circumstances: 
(1) When warrants or documents mailed to a provider's mailing address, pay to address, or business address, are returned by the United States Postal Service as not deliverable. 
(2) When a provider has not submitted a claim for reimbursement from the Medi-Cal program for one year. 
(3) When the person or entity that was enrolled no longer exists by operation of law or otherwise. 
(4) When an application for change in location, pursuant to Welfare and Institutions Code Section 14043.26(k), is approved the prior location shall be deactivated. 
(5) When the provider has a license, certificate, or other approval to provide healthcare revoked or suspended by a federal, California, or another state's licensing, certification, or approval authority, or has otherwise lost that license, certificate, or approval, or has surrendered that license, certificate, or approval while a disciplinary hearing on that license, certificate, or approval was pending. 
(6) When a provider receives written notice that it is subject to the requirement for continued enrollment pursuant to Section 51000.55 and fails to respond to the Department within the time frames required by Sections 51000.50 and 51000.55. 
(7) When a provider submits a written request for termination or deactivation of its provider number(s) or location(s). 
(8) When an application submitted pursuant to Section 51000.30(b) is approved, and the provider transferor and transferee applicant meet the requirements set forth in Section 51000.32, the provider status of the transferor at that location shall be deactivated.
(9) When an application submitted pursuant to Section 51000.30(b) is denied on the transferee applicant's failure to meet the criteria specified in Section 51000.50(a), the provider transferor's provider number or location shall be deactivated.
(b) Prior to taking action to deactivate a provider's number or specific location used by a provider to obtain reimbursement from the Medi-Cal program pursuant to subsections (a)(1) and (a)(2), the Department shall use due diligence in attempting to contact the provider by telephone or in writing to ascertain whether the provider wishes to continue to participate in the Medi-Cal program. 
(c) During the provisional provider status period or preferred provisional provider status period, the Department shall deactivate a provider's number or the specific location used by a provider to obtain reimbursement from the Medi-Cal program pursuant to Welfare and Institutions Code Section 14043.27. 
(d) An applicant or provider who has used one or more provider numbers to obtain reimbursement from the Medi-Cal program for a specific location and who's provider number(s) or location(s) has been deactivated pursuant to this section may appeal this action pursuant to Welfare and Institutions Code Section 14043.65. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.2, 14043.26, 14043.27, 14043.28, 14043.36, 14043.37, 14043.45, 14043.62 and 14043.7, Welfare and Institutions Code; 42 U.S.C. Sections 1320a-3, 1320a-7, 1396a(a)(39) and 1396b(i)(2); and 42 Code of Federal Regulations Part 455. 
HISTORY

1. New section filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
2. New section refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
3. New section refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
4. Certificate of Compliance as to 6-2-2005 order, including amendment of section, transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
5. Editorial correction of subsection (a)(8) (Register 2006, No. 36).
6. Change without regulatory effect amending section heading, section and Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
7. Change without regulatory effect amending subsection (b) and Note filed 6-21-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 25).
§51000.55. Requirements for Continued Enrollment.
Note     •     History

(a) The Department shall periodically identify a specific provider of service category or subgroup of that category that will be subject to the continued enrollment requirements of this section.
(b) The Department shall provide individual written notice to each of the providers in the specific category or subgroup of a category that has been identified for continued enrollment, and will notify those providers that they are subject to this section. This notice for continued enrollment shall be mailed to the provider's business address and mailing address on file with the Department. 
(c) When a provider receives written notice for continued enrollment pursuant to subsection (b) above, the provider shall respond to the Department within 35 days from the date of the notice to declare its intent to either apply for continued enrollment or to withdraw from the Medi-Cal program. Providers that fail to respond to the Department within 35 days from the date of the notice shall be subject to termination from the Medi-Cal program and deactivation of the provider's number and each business address used by the provider to provide services, goods, supplies, or merchandise to Medi-Cal beneficiaries. 
(d) Within 180 days of receipt of a declaration of a provider's intent to apply for continued enrollment in the Medi-Cal program, the Department shall send a notice transmitting instructions to that provider on how to apply for continued enrollment.
(e) Within 70 calendar days from the date of the Department's notice pursuant to subsection (d), the provider shall submit to the Department a complete application package for continued enrollment in the Medi-Cal program. The Department shall review the completed application package in accordance with Section 51000.50. Providers that fail to submit to the Department a complete application package within 70 calendar days from the date of the notice shall be subject to immediate termination from the Medi-Cal program and deactivation of the provider's number and each business address used by the provider to provide services, goods, supplies, or merchandise to Medi-Cal beneficiaries.
(f) Upon receipt of a declaration of a provider's intent to withdraw from enrollment in the Medi-Cal program, the Department shall immediately terminate the provider's enrollment in the Medi-Cal program and shall deactivate the provider's number and each business address used by the provider to provide services, goods, supplies, or merchandise to Medi-Cal beneficiaries. 
(g) A provider may appeal the termination or the deactivation pursuant to this subsection in accordance with Welfare and Institutions Code, Section 14043.65. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.2, 14043.26, 14043.28, 14043.29, 14043.45 and 14043.7, Welfare and Institutions Code.
HISTORY

1. New section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
2. New section, including amendments, refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
3. New section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-2000 order, including amendment of subsection (e), transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
6. Amendment filed 2-3-2003 as an emergency; operative 2-3-2003 (Register 2003, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 8-5-2003 as an emergency; operative 8-5-2003 (Register 2003, No. 32). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 2-2-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section as it existed prior to 2-3-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 24).
10. Amendment refiled 6-8-2004 as an emergency; operative 6-8-2004 (Register 2004, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-2004 or emergency language will be repealed by operation of law on the following day.
11. Reinstatement of section as it existed prior to 6-8-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 41).
12. Amendment of section heading, section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
13. Amendment of section heading, section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
14. Editorial correction of subsection (d) (Register 2005, No. 22).
15. Amendment of section heading, section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
16. Certificate of Compliance as to 6-2-2005 order transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
17. Change without regulatory effect amending subsection (c), (e) and (f) and amending Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
§51000.60. Established Place of Business.
Note     •     History

(a) The applicant or provider shall have an established place of business appropriate and adequate for the services billed or claimed to the Medi-Cal program as relevant to his or her scope of practice or type of business. This section does not apply to an applicant or provider who is subject to Section 51000.30(a)(1)(A) - (E). 
(b) Failure to have an established place of business at the time of any inspection by the Department for enrollment, continued enrollment, enrollment at a new, additional or change in location, or enrollment pursuant to Section 51000.30(b) warrants denial of an application or shall make a provider subject to temporary suspension from the Medi-Cal program, which shall include temporary deactivation of the provider's number and each business address used by the provider to provide services, goods, supplies, or merchandise to Medi-Cal beneficiaries, effective 15 days from the date of notice to the provider. 
(c) “Established place of business” means a business address of the provider or applicant that meets all of the following criteria: 
(1) Is open and conducting business at the time the application is submitted for participation in the Medi-Cal program; 
(2) Has the administrative and fiscal foundation to survive as a going concern. This criterion shall be shown by financial records such as a business plan, bank statements, loan documents, promissory notes, invoices, accounts receivable, business tax records, payroll records and contractual agreements; 
(3) Has adequate inventory and staff to meet current and anticipated sales and service requirements for its business; 
(4) Operates in compliance with Section 51000.30(e); 
(5) Has Worker's Compensation insurance as required by state law; 
(6) Obtains and maintains, for any individual licensed or certified pursuant to Division 2 (commencing with Section 500) of the Business and Professions Code, the Osteopathic Initiative Act, or the Chiropractic Initiative Act, Professional Liability insurance coverage in an amount not less than $100,000 per claim, with a minimum annual aggregate of not less than $300,000, from an authorized insurer pursuant to Section 700 of the Insurance Code; 
(7) Has the necessary equipment, office supplies and facilities available to carry out its business, including storage and retrieval of all documentation as required by Section 51476; 
(8) Has the necessary service agreements to process cash and credit card transactions if operating as a retail business, or has the necessary payment mechanisms to process patient billing claims if the applicant or provider is a physician/medical practice; and 
(9) Unless the applicant is requesting enrollment or the provider is enrolled pursuant to Welfare and Institutions Code Section 14043.15(b)(2) the following criteria also apply; 
(A) Is located in a building either owned by the applicant or provider, or the applicant or provider has obtained a signed lease agreement. 
(B) Has regular and permanently posted business hours; 
(C) Is identifiable as a medical/healthcare provider or business, by permanently attached signage that identifies the name of the provider or business as shown on the application. 
(D) Obtains and maintains Liability insurance coverage, that covers premises and operation, in an amount not less than $100,000 per claim, with a minimum annual aggregate of not less than $300,000, from an authorized insurer pursuant to Section 700 of the Insurance Code. 
(d) If the applicant or provider intends to provide or currently provides durable medical equipment as defined in Section 51160, or is a medical device retailer as defined in Section 51251, or is a pharmacy as defined in Section 51106 and provides pharmaceutical services as defined in Section 51107, all criteria in subsection (a) through (c) above must be met, and the applicant or provider must additionally meet the following criteria: 
(1) Provides service to the general public on a walk-in basis during regular business hours. A request for exemption from this requirement shall be stated on the application, appropriate for the services provided, and requires the approval of the Department; 
(2) Has adequate inventory in stock either on the premises, or in a warehouse under the applicant's or provider's direct control, to meet current and anticipated sales volume. 
NOTE

Authority cited: Section 20, Health and Safety Code; Sections 10725, 14043.37, 14043.4, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 700, Insurance Code. Reference: Sections 14043, 14043.1, 14043.27, 14043.37, 14043.4, 14043.45, 14043.62 and 14043.7, Welfare and Institutions Code. 
HISTORY

1. New section filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
2. New section refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
3. Amendment of section heading, section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
4. Certificate of Compliance as to 6-2-2005 order, including amendment of subsection (d)(1) and amendment of Note, transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
5. Change without regulatory effect amending subsection (b) and amending Note filed 1-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 4).
Article 1.3. General Provisions
§51001. Beneficiary.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14000 and 14005, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
3. Renumbering of former article 1 to article 1.3 and repealer of section filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
4. Renumbering of former article 1 to article 1.3 and repealer of section refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
5. Renumbering of former article 1 to article 1.3, and repealer of section refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
6. Renumbering of former article 1 to article 1.3, and repealer of section refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51002. Beneficiary Billing.
Note     •     History

(a) A provider of service under the Medi-Cal program shall not submit claims to or demand or otherwise collect reimbursement from a Medi-Cal beneficiary, or from other persons on behalf of the beneficiary, for any service included in the Medi-Cal program's scope of benefits in addition to a claim submitted to the Medi-Cal program for that service, except to:
(1) Collect payments due under a contractual or legal entitlement pursuant to Section 14000 (b) of the Welfare and Institutions Code.
(2) Bill a long-term care patient for the amount of his liability.
(3) Collect copayment pursuant to Welfare and Institutions Code Section 14134.
(b) In the event that a beneficiary willfully refuses to provide current other health care coverage billing information as described in Section 50763 (a) (5) to a provider, upon giving the beneficiary written notice of intent, the provider may bill the beneficiary as a private pay patient. This shall not apply for beneficiaries covered under Medi-Cal capitated contracting arrangements. Capitated contractor or subcontractor billing beneficiaries covered under Medi-Cal capitated contracting arrangements shall be governed by applicable laws including Welfare and Institutions Code and by; the terms of the contract.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 133.5 of Chapter 102, Statutes of 1981; and Section 2 of Chapter 237, Statutes of 1981. Reference: Section 14134, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3). For prior history, see Register 72, No. 5.
2. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
3. New subsection (2)(3) filed 11-17-81 as an emergency; effective upon filing (Register 81, No. 47). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-17-82.
4. Certificate of Compliance transmitted to OAL 3-16-82 and filed 4-16-82 (Register 82, No. 16).
5. Amendment filed 6-28-89; operative 7-28-89 (Register 89, No. 26).
§51003. Treatment Authorization Requests (TARs).
Note     •     History

(a) “Prior authorization,” or “authorization” means authorization granted by a designated Medi-Cal consultant or by a Primary Care Case Management (PCCM) plan and is obtained through submission and approval of a TAR. The responsibilities of the Medi-Cal consultant shall not be delegated, except to the extent provided under Sections 51013 and 51014. Authorization may be granted by a PCCM plan only for beneficiaries enrolled in that PCCM plan and the responsibilities of the PCCM plan shall not be delegated except as provided under Section 51003.7.
(b) A TAR received by the Department from a Fee-For-Service Medi-Cal provider shall be reviewed for medical necessity only.
(c) “Reauthorization” means authorization of a new TAR for continuation of previously authorized Medi-Cal services.  
(1) “Request for Non-Acute Continuing Services,” as used in Section 51014.1(e), means a new TAR for continuation of previously approved services received by the Department from Fee-For-Service Medi-Cal providers in the following categories:
(A) Long-Term Care, specifically Skilled Nursing Facility, Intermediate Care Facility and Subacute levels of care.
(B) General Inpatient Hospice Care.
(C) Home and Community-Based Waiver Services, including all related services.
(D) Early Periodic Screening Diagnosis and Treatment (EPSDT) Supplemental Home Nursing and Related Services.
(E) All other non-acute services under the Medi-Cal program when the treating physician (i.e., the physician, podiatrist, or dentist who is treating the beneficiary and certifying that the services must be continued) substantiates on or with the request in writing that the same level or frequency of services should be continued because the treatment goal approved on the original TAR has not been achieved, without regard to the length of time the service has been provided. To meet the requirement to substantiate the need for continuing care, justification of medical necessity shall be submitted pursuant to subsection (d).
(2) “Request by a provider for Acute Continuing Services,” as used in Section 51014.1(f), means a Request for Extension of Stay in Hospital, form 18-1 (8/93) used for approval of acute care services in hospitals, including submission of requests to on-site Medi-Cal reviewers or to the local Medi-Cal Field Office. This request shall be submitted when the treating physician (i.e., the physician, dentist or podiatrist certifying the need for acute care pursuant to Section 51327(a)(3)(A)) has determined that the beneficiary cannot safely be discharged because acute care services continue to be medically necessary, for one of the following reasons:
(A) Further acute care is needed for the purpose of treating the condition or conditions for which acute care was originally approved for an acute admission requiring authorization.
(B) Complications directly related to the diagnosis for which acute care was originally approved have arisen and necessitate further acute care.
(C) Further acute care is needed for an illness contracted during the course of an approved acute admission if the illness most likely occurred because the beneficiary was hospitalized.
(d) In addition to the information specified in Section 51456, a provider submitting a TAR shall explain why the services are medically necessary or submit supporting documentation indicating medical necessity.
(e) Authorization may be granted only for Medi-Cal benefits that are medically necessary and do not exceed health care services received by the public generally for similar medical conditions. The “Manual of Criteria for Medi-Cal Authorization,” published by the Department in January 1982, last revised April 11, 2011, and herein incorporated by reference in its entirety, shall be the basis for the professional judgments of Medi-Cal consultants or PCCM plans in their decisions on authorizations for services or conditions listed in the Manual. Such authorization shall be valid for the number of days specified by the Medi-Cal consultant or PCCM plan up to a maximum of 180 days, unless otherwise specified in this chapter. The Medi-Cal consultant or PCCM plan may grant authorization for up to a maximum of two years when the treatment as authorized is clearly expected to continue unmodified for up to or beyond two years.
(f) Authorization may be granted only for the lowest cost item or service covered by the Medi-Cal program that meets the beneficiary's medical needs.
(g) A provider may appeal the decision of a Medi-Cal consultant on a TAR pursuant to Section 51003.1. A provider appealing the decision of a PCCM plan on a TAR shall file the appeal in accordance with Section 56262.
(h) Rural Health Clinics and Federally Qualified Health Centers are not subject to TAR requirements.

*NOTE: The December 1996 revision of this provision was made by emergency regulation package R-60-96E. Implementation of R-60-96E was enjoined on November 26, 1996 (Carmen Doe, et al. v. Wilson, et al., City and County of San Francisco Superior Court No. 982521). The change to the Manual of Criteria for Medi-Cal Authorization included in R-60-96E that would have occurred in December 1996 is of no force or effect.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Sections 20 and 1267.7, Health and Safety Code. Reference: Sections 14053, 14064, 14081, 14087, 14088, 14088.16, 14088.2, 14103.6, 14105.12, 14132, 14132.22, 14132.25, 14132.42, 14132.8, 14133, 14133.05, 14133.1, 14133.25 and 14133.3, Welfare and Institutions Code; Jeneski v. Meyers (1984) 163 Cal. App.3d 18, 209 Cal. Rptr. 178; Duran v. Belshé, San Diego County Superior Court Case No. 674204, (1995); and Fresno Community Hospital and Medical Center v. State of California, et al., Fresno County, Superior Court Case No. 555694-9, (1996).
HISTORY

1. Amendment of subsection (e) filed 10-27-88 as an emergency; operative 10-27-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-89. For prior history, see Register 88, No. 15.
2. Certificate of Compliance including amendment of subsection (e) transmitted to OAL 2-24-89 and filed 3-27-89 (Register 89, No. 13).
3. Amendment of subsection (e) filed 8-16-89; operative 9-15-89 (Register 89, No. 33).
4. Amendment of subsections (a), (b)(3), (c), (e) and (g) filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90.
5. Amendment of subsection (e) filed 4-6-90 as an emergency; operative 4-6-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-6-90.
6. Amendment refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
7. Amendment of subsection (e) filed 8-2-90 as an emergency readoption of 4-6-90 order; operative 8-2-90 (Register 90, No. 41). A Certificate of Compliance must be transmitted to OAL by 11-30-90, or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (c) filed 10-26-90 as an emergency; operative 10-26-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 2-25-91 or emergency language will be repealed by operation of law on the following day.
9. Request to readopt amendment on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-6-91.
10. Certificate of Compliance as to 8-2-90 order transmitted to OAL 10-16-90 and filed 11-15-90 (Register 91, No. 6).
11. Readoption and amendment of 10-26-90 order correcting omission of subsection (c) contained in 11-6-90 order, filed 1-18-91 as an emergency; operative 1-18-91 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 5-20-91 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsection (e) filed 2-11-91 as an emergency; operative 2-11-91 (Register 91, No. 12). A Certificate of Compliance must be transmitted to OAL by 6-11-91 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 10-26-90 order transmitted to OAL 2-22-91 and filed 3-25-91 (Register 91, No. 15).
14. Certificate of Compliance as to 1-18-91 order transmitted to OAL 2-22-91 and filed 3-25-91 (Register 91, No. 15).
15. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
16. Amendment of subsections (a), (b), (c), (e) and (g) filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
17. Request to readopt 2-11-91 order pursuant to Government Code section 11346.1 granted and filed 5-15-91 as an emergency; operative 6-11-91 (Register 91, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-9-91 or emergency language will be repealed by operation of law on the following day. 
18. Request to readopt 5-15-91 order and 8-29-91 order pursuant to Government Code section 11346.1, and merging 5-15-91 order and 8-29-91 order together, granted and filed 10-4-91 as an emergency; operative 10-4-91 (Register 91, No. 52). A Certificate of Compliance must be transmitted to OAL 2-1-92 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 3-25-91 order including amendment of subsection (a) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
20. Amendment of subsection (e) filed 8-29-91 as an emergency; operative 8-29-91 (Register 92, No. 10). A Certificate of Compliance must be transmitted to OAL 12-27-91 or emergency language will be repealed by operation of law on the following day.
21. Amendment of subsection (e) refiled 12-23-91 as an emergency; operative 12-23-91 (Register 92, No. 18).  A Certificate of Compliance must be transmitted to OAL 4-21-92 or emergency language will be repealed by operation of law on the following day.
22. Certificate of Compliance as to 12-23-91 order transmitted to OAL 4-1-92 and filed 5-5-92 (Register 92, No. 21).
23. Editorial correction to History 21 (Register 92, No. 24).
24. Change without regulatory effect amending subsection (e) filed 1-27-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 24).
25. Request to readopt 10-4-91 order pursuant to Government Code section 11346.1(h) granted and filed 1-28-92 as an emergency; operative 2-4-92 (Register 92, No. 24). A Certificate of Compliance must be transmitted to OAL 6-3-92 or emergency language will be repealed by operation of law on the following day.
26. Request to readopt 1-28-92 order pursuant to Government Code section 11346.1(h) granted and filed 6-8-92 as an emergency; operative 6-3-92 (Register 92, No. 24). A Certificate of Compliance must be transmitted to OAL 10-7-92 or emergency language will be repealed by operation of law on the following day.
27. Request to readopt 6-8-92 order pursuant to Government Code section 11346.1(h) granted and filed 10-6-92 as an emergency; operative 10-7-92 (Register 92, No. 41). A Certificate of Compliance must be transmitted to OAL 2-4-93 or emergency language will be repealed by operation of law on the following day.
28. Change without regulatory effect amending subsection (e) filed 3-1-93; operative 3-31-93 (Register 93, No. 10).
29. Editorial correction of printing error (Register 93, No. 15).
30. Reinstatement of subsection (e) as it existed prior to emergency amendment filed 2-11-91 by operation of Government Code section 11346.1(f) (Register 93, No. 15).
31. Amendment of subsection (e) filed 4-12-93; operative 4-12-93. Submitted to OAL for printing only pursuant to SB 485, section 147 (Register 93, No. 16).
32. Amendment of subsection (e) filed 6-29-93 as an emergency; operative 6-29-93 (Register 93, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-93 or emergency language will be repealed by operation of law on the following day.
33. Amendment of subsection (e) filed 9-16-93 as an emergency; operative 9-16-93 (Register 93, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-14-94 or emergency language will be repealed by operation of law on the following day.
34. Certificate of Compliance as to 6-29-93 order transmitted to OAL 10-22-93 and filed 12-7-93 (Register 93, No. 50).
35. Redesignation of former subsection (g) to subsection (h) and new subsection (g) filed 2-10-94 as an emergency; operative 2-10-94 (Register 94, No. 5).  A Certificate of Compliance must be transmitted to OAL by 6-10-94 or emergency language will be repealed by operation of law on the following day.
36. Certificate of Compliance as to 9-16-93 order transmitted to OAL 1-13-94 and filed 2-28-94 (Register 94, No. 8).
37. Amendment of subsections (c)(1) and (c)(1)(D), new subsection (c)(1)(H), and amendment of subsection (e) and Note filed 10-20-94; operative 10-20-94 (Register 94, No. 42).
38. Reinstatement of subsection (g) as it existed prior to emergency amendment filed 3-3-95 by operation of Government Code section 11346.1(f) (Register 95, No. 9).
39. Editorial correction switching History 12 and 13 and deleting print-only language from History 37 (Register 95, No. 14).
40. Amendment of subsection (e) filed 7-19-95 as an emergency; operative 7-19-95 (Register 95, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-16-95 or emergency language will be repealed by operation of law on the following day.
41. Amendment of subsection (e) refiled 11-20-95 as an emergency; operative 11-20-95 (Register 95, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-96 or emergency language will be repealed by operation of law on the following day.
42. Amendment of subsection (e) and Note filed 4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
43. Certificate of Compliance as to 7-19-95 order, including further amendment of subsection (e) and amendment of Note transmitted to OAL 3-19-96 and filed 4-24-96 (Register 96, No. 17).
44. Editorial correction of Note and History 42 (Register 96, No. 35).
45. Amendment of subsection (e) and Note refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
46. Amendment of subsection (e) and Manual of Criteria for Medi-Cal Authorization (incorporated by reference) filed 11-5-96 as an emergency; operative 12-1-96 (Register 96, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-31-97 or emergency language will be repealed by operation of law on the following day.
47. Certificate of Compliance as to 8-28-96 order, including further amendment of subsection (e) and new footnote, transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
48. Amendment of subsection (e) and Note filed 9-22-97 as an emergency; operative 9-22-97 (Register 97, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-20-98 or emergency language will be repealed by operation of law on the following day.
49. Amendment of subsection (e) filed 12-1-97; operative 12-1-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 49). 
50. Amendment of subsection (e) and Note, including further amendment of subsection (e), refiled 1-12-98; operative 1-21-98 (Register 98, No. 3).  A Certificate of Compliance must be transmitted to OAL by 5-21-98 or emergency language will be repealed by operation of law on the following day.
51. Amendment of subsection (e) filed 4-10-98 as an emergency; operative 4-10-98 (Register 98, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-10-98 or emergency language will be repealed by operation of law on the following day.
52. Amendment of subsection (e) and Note refiled 5-21-98 as an emergency; operative 5-21-98 (Register 98, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-18-98 or emergency language will be repealed by operation of law on the following day.
53. Certificate of Compliance as to 4-10-98 order, including further amendment of subsection (e), transmitted to OAL 7-27-98 and filed 9-4-98 (Register 98, No. 36).
54. Certificate of Compliance as to 5-21-98 order, including further amendment of subsection (e) and Note transmitted to OAL 9-16-98 and filed 10-27-98 (Register 98, No. 44).
55. Change without regulatory effect amending subsection (e) filed 10-5-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 41).
56. Amendment of subsection (e) and Note filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
57. Amendment of subsection (e) filed 3-27-2000 as an emergency; operative 3-30-2000 (Register 2000, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2000 or emergency language will be repealed by operation of law on the following day.
58. Amendment of subsection (e) filed 6-5-2000 as an emergency; operative 6-5-2000 (Register 2000, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-3-2000 or emergency language will be repealed by operation of law on the following day.
59. Certificate of Compliance as to 3-13-2000 order transmitted to OAL 7-5-2000 and filed 8-14-2000 (Register 2000, No. 33).
60. Amendment of subsection (e) refiled 8-21-2000 as an emergency; operative 10-3-2000 (Register 2000, No. 34). A Certificate of Compliance must be transmitted to OAL by 1-31-2001 or emergency language will be repealed by operation of law on the following day.
61. Certificate of Compliance as to 3-27-2000 order transmitted to OAL 7-17-2000 and filed 8-28-2000 (Register 2000, No. 35).
62. Amendment of subsection (e) filed 9-22-2000 as an emergency; operative 9-22-2000 (Register 2000, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-22-2001 or emergency language will be repealed by operation of law on the following day.
63. Amendment of subsection (e) refiled 1-23-2001 as an emergency; operative 1-23-2001 (Register 2001, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-23-2001 or emergency language will be repealed by operation of law on the following day.
64. Certificate of Compliance as to 8-21-2000 order transmitted to OAL 1-3-2001 and filed 2-5-2001 (Register 2001, No. 6).
65. Certificate of Compliance as to 1-23-2001 order transmitted to OAL 2-7-2001 and filed 3-16-2001 (Register 2001, No. 11).
66. Amendment of subsection (e) and Note filed 9-29-2004; operative 10-29-2004 (Register 2004, No. 40).
67. Amendment of section heading, section and Note filed 2-22-2007; operative 3-24-2007 (Register 2007, No. 8).
68. Amendment of subsection (e) and Note filed 11-6-2007; operative 12-6-2007 (Register 2007, No. 45).
69. Amendment of subsection (e) and Note filed 2-21-2012; operative 4-2-2012 (Register 2012, No. 8).
§51003.1. Provider Appeal Process for Treatment Authorization Requests (TARs).
Note     •     History

(a) A provider of services may appeal the decision of a Medi-Cal consultant regarding a TAR, as follows:
(1) The provider shall submit a written appeal to the Medi-Cal Operations Division Headquarters in Sacramento within 180 calendar days from the date on the TAR, which is the date a decision on the TAR is made by the Medi-Cal consultant.
(A) The written appeal shall be:
1. Post marked by the United States Postal Service,
2. Personally delivered to the Department and date stamped upon receipt, or
3. Labeled with the date deposited with a common carrier for delivery to the Department.
(B) When the last day of the 180 day appeal period falls on a Saturday, Sunday or Holiday, the final date to submit the appeal would be the next business day.
(2) The written appeal shall include:
(A) Original TAR number and service type requested,
(B) Date(s) or service(s) in dispute,
(C) Reason the appeal should be granted,
(D) Any additional documentation that a provider chooses to submit that supports the basis for the conclusion that the services are medically necessary, and
(E) A new, completed TAR for the services appealed.
(b) The Department shall review the provider appeal and send a written decision, and the basis for that decision, to the provider:
(1) When the appeal decision is based on a review of documented medical necessity, the written decision shall be sent to the provider within 180 calendar days from the date of receipt by the Department.
(2) When the appeal decision is a denial based on failure to submit the appeal within 180 calendar days from the date of the decision on the original TAR, the written decision shall be sent to the provider within 60 calendar days from the date of receipt by the Department.
(c) If a provider is not satisfied with the appeal decision, the provider may seek a judicial remedy pursuant to Section 1085 of the Code of Civil Procedure.
NOTE

Authority cited: Sections 10725, 14105, 14124.5, 14132.22, 14132.5, 14133 and 14133.05, Welfare and Institutions Code; and Section 1267.7, Health and Safety Code. Reference: Sections 14053, 14064, 14081, 14087, 14088, 14088.16, 14088.2, 14103.6, 14105.12, 14132, 14132.22, 14132.25, 14132.5, 14132.42, 14132.8, 14133, 14133.05, 14133.1, 14133.25 and 14133.3, Welfare and Institutions Code; Jeneski v. Meyers (1984) 163 Cal. App. 3d 18, 209 Cal. Rptr. 178; Duran v. Belshé, San Diego County Superior Court Case No. 674204, (1995); and Fresno Community Hospital and Medical Center v. State of California, et al., Fresno County, Superior Court Case No. 555694-9, (1996).
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
2. Renumbering of former section 51003.1 to section 51003.3 and new section 51003.1 filed 2-22-2007; operative 3-24-2007 (Register 2007, No. 8).
§51003.3. Prior Authorization of Personal Care Benefits.
Note     •     History

“Prior Authorization,” “reauthorization,” or “approval” of a beneficiary of Medi-Cal personal care benefits means authorization granted by the staff of the designated county department.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1992; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. Renumbering of former section 51003.1 to section 51003.3, including amendment of section and Note, filed 2-22-2007; operative 3-24-2007 (Register 2007, No. 8).
§51003.7. Prior Authorization Under Primary Care Case Management Contracts.
Note     •     History

(a) All Medi-Cal covered services not included in the PCCM plan contract as part of the capitated services provided to a PCCM plan member are subject to prior authorization by the member's PCCM plan except:
(1) Dental Services. 
(2) Emergency services as defined in section 51056(a). 
(3) Those services determined by the Department to be exempt from PCCM plan prior authorization requirements as specified in each PCCM plan contract. In determining which services shall not be subject to prior authorization, the Department shall consider the factors specified in section 51159(a).
(b) No payment shall be made by the Department for Medi-Cal covered services rendered by a nonplan provider to a PCCM plan member when the provider failed to obtain the required prior authorization from the PCCM plan. 
(c) The Department shall recoup payments erroneously made to a provider for Medi-Cal covered services rendered to a PCCM plan member without proper authorization. 
(d) The PCCM plan medical director may delegate responsibility for authorizing medical services to another plan physician or subcontracting physician. The PCCM plan and medical director retain final responsibility for all authorizations or denials of Treatment Authorization Requests for all Medi-Cal noncapitated services rendered to PCCM plan members. The physician accepting the delegation of authority shall agree in writing to:
(1) Review and either defer, authorize, or deny Treatment Authorization Requests for Medi-Cal covered noncapitated services to be rendered to PCCM plan members in accordance with section 51003.
(2) Respond to inquiries from the fiscal intermediary regarding Treatment Authorization Requests which have been submitted for PCCM plan members. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088, 14088.4 and 14177, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§51004. Copayment.
Note     •     History

(a) Copayment as used in these regulations refers to a specified amount of money which a beneficiary must expend for an outpatient visit to or by a provider, for each prescribed drug and for nonemergency services received in an emergency room as set forth in Welfare and Institutions Code Section 14134.
(b) A visit means all services provided on one occasion by one provider and billed on one claim.
(c) A drug prescription means a written instruction by a physician for the preparation and dispensing of a medicine.
(d) Perinatal care means services received during the full period of getation and the first month following birth.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; Section 133.5 of Chapter 102, Statutes of 1981; and Section 2 of Chapter 237, Statutes of 1981. Reference: Section 14134, Welfare and Institutions Code.
HISTORY

1. Repealer filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 72, No. 18.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. New section filed 11-17-81 as an emergency; effective upon filing (Register 81, No. 47). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-17-82.
4. Certificate of Compliance transmitted to OAL 3-16-82 and filed 4-16-82 (Register 82, No. 16).
§51005. Other Health Care Coverage.
Note     •     History

(a) Wherever beneficiaries eligible for benefits under this program are also eligible for the same benefits, either full or partial, under any other State or Federal medical care program or under other contractual or legal entitlement, including but not limited to a private group or indemnification insurance program or the Federal Medicare program, the Department shall require the full utilization of benefits available through the other programs, before utilizing Medi-Cal covered benefits. This requirement shall not apply to beneficiaries covered under Medi-Cal capitated contracting arrangements except to the extent permitted under the capitated contract.
(1) The maximum reimbursement by Medi-Cal for services rendered to beneficiaries with other State, Federal, or private health care coverage shall be the reimbursement calculated on a claim for similar services established under chapter 7 (sections 14000 through 14199) of the Welfare and Institutions Code, less the amount of the payment made by the other State, Federal, or private health care program.
(2) Where a claim for medical services involves coverage under both the Medicare and Medi-Cal programs, the maximum reimbursement by Medi-Cal shall be the amount established for similar services under chapter 7 (sections 14000 through 14199) of the Welfare and Institutions Code, less the amount paid by Medicare. In the event the Department cannot for any reason establish the amount it would have paid for similar services, the maximum reimbursement shall be the amount of the Medicare deductible and coinsurance claimed.
(b) If the billing information is different from what appears on the Medi-Cal card, or is not on the Medi-Cal card a provider of services shall notify the Department of any other health care coverage of a Medi-Cal beneficiary within 60 days of learning such entitlement exists. The information shall include the name and Medi-Cal identification number of the beneficiary, the insured and the name of the health insurance carrier providing the beneficiary's other health care coverage; the policy and group number, and termination date, if available. This information shall be provided to the Department's Health Insurance Unit referral desk via the toll free telephone number 1-800-952-5294 as published in the Medi-Cal Provider Manuals and Provider Bulletins.
(c) If the Department has established probable existence of third party liability before a claim is filed, the Department's fiscal intermediary shall, as directed by the Department, deny provider claims submitted for a beneficiary who has other health care coverage in effect unless the claim is accompanied by a notice of denial of liability, proof of termination of coverage, or partial payment notice. The provider shall first seek payment from the beneficiary's other health care coverage prior to submitting a claim to the Department.
(d) When the Department has paid for services and other health care coverage benefits are available as enumerated in subsection (a), the Department may recover payment for those services from the liable party.
(e) Whenever the Department receives payment for a health care service provided to a beneficiary which is in excess of both the amount which the Department has expended on behalf of the beneficiary for said service, and the administrative costs incurred in the collection of such payment, the excess shall be returned to the payor who made the payment.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14000, 14005, 14023, 14023.7, 14024, 14109.5, 14124.90 and 14490, Welfare and Institutions Code; and Chapter 93, Statutes of 1989.
HISTORY

1. Amendment filed 1-22-71; designated effective 3-1-71 (Register 71, No. 4). For prior history, see Register 70, No. 27.
2. New subsections (b), (c) and (d) filed 7-13-73; effective thirtieth day thereafter (Register 73, No. 28).
3. New NOTE filed 8-30-84 (Register 84, No. 35).
4. Amendment filed 6-28-89; operative 7-28-89 (Register 89, No. 26).
5. Amendment of subsection (a) filed 1-29-90 as an emergency; operative 1-29-90 (Register 90, No. 5). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-29-90.
6. Change without regulatory effect pursuant to section 100(b)(3), Title 1, California Code of Regulations amending subsections (a)(1) and (2), filed 6-5-90 (Register 90, No. 30).
7. Amendment of subsections (a)(1) and (2) refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL by 11-6-90 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 1-29-90 order transmitted to OAL 10-24-90 and filed 11-26-90 (Register 91, No. 2).
§51006. Out-of-State Coverage.
Note     •     History

(a) Necessary out-of-state medical care, within the limits of the program, is covered only under the following conditions:
(1) When an emergency arises from accident, injury or illness; or
(2) Where the health of the individual would be endangered if care and services are postponed until it is feasible that he return to California; or
(3) Where the health of the individual would be endangered if he undertook travel to return to California; or
(4) When it is customary practice in border communities for residents to use medical resources in adjacent areas outside the State; or
(5) When an out-of-state treatment plan has been proposed by the beneficiary's attending physician and the proposed plan has been received, reviewed and authorized by the Department before the services are provided. The Department may authorize such out-of-state treatment plans only when the proposed treatment is not available from resources and facilities within the State.
(6) Prior authorization is required for all out-of-state services, except:
(A) Emergency services as defined in Section 51056.
(B) Services provided in border areas adjacent to California where it is customary practice for California residents to avail themselves of such services. Under these circumstances, program controls and limitations are the same as for services from providers within the State.
(b) No services are covered outside the United States, except for emergency services requiring hospitalization in Canada or Mexico.
NOTE

Authority cited: Sections 10725 and 14125.5, Welfare and Institutions Code. Reference: Section 14122, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a)(5) filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3). For prior history, see Register 72, No. 5.
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51007. Discrimination.
Note     •     History

No provider of services receiving payment through this program shall discriminate against any beneficiary on the basis of race, color, age, sex, religion, ancestry, national origin or physical or mental disability.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 10000 and 14100.1, Welfare and Institutions Code; and Section 11135, Government Code.
HISTORY

1. Amendment filed 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51008. Bills for Service.
Note     •     History

(a) Except for good cause, bills for service provided pursuant to the Medi-Cal Program (Welfare and Institutions Code, Division 9, Part 3, Chapter 7), shall be received by the fiscal intermediary, or otherwise as designated by the Director, not later than the sixth month following the month of service and shall be in the form prescribed by the Director.
(b) As used in this section:
(1) “Month of service” means the month in which a:
(A) Service is provided or supplies are furnished.
(B) Dental prosthesis, custom-made eye appliance, custom-made prosthetic appliance, or custom-made orthotic appliance is ordered from the fabricating laboratory.
(C) Trial period prior authorized or required under these regulations is completed for a prosthetic appliance or orthotic appliance covered under Section 51315, a hearing aid covered under Section 51319, or an item of durable medical equipment covered under Section 51321.
“Good cause” means circumstances beyond the control of the provider, as specified in Section 51008.5.
(c) A Resubmission Turnaround Document (RTD), which has been sent by the fiscal intermediary for correction or additional information, must be received back from the provider not later than 60 days following the date of the RTD. The claim is subject to denial of payment if corrections or additional information furnished by the provider on the RTD are incomplete, inaccurate or untimely.
(d) A request for adjustment or reconsideration of an adjudicated claim must be received by the fiscal intermediary not later than six months following the date of payment or denial of the claim by the fiscal intermediary. If favorable resolution of a claim is not obtained, a grievance or complaint concerning the processing or payment of the claim must be filed in accordance with Section 51015.
NOTE

Authority cited: Sections 10725, 14105, 14115 and 14124.5, Welfare and Institutions Code. Reference: Sections 14115, 14124.1, 14124.2 and 14133, Welfare and Institutions Code.
HISTORY

1. New section filed 9-7-66 as an emergency; effective upon filing; Certificate of Compliance included (Register 66, No. 30).
2. Amendment filed 7-1-70; designated effective 8-1-70 (Register 70, No. 27).
3. Amendment of subsection (a) filed 5-9-73 as an emergency; effective upon filing (Register 73, No. 19).
4. Certificate of Compliance filed 9-5-73 (Register 73, No. 36).
5. Amendment of subsection (b) filed 12-23-75; effective thirtieth day thereafter (Register 75, No. 52).
6. Amendment of subsection (b) filed 11-29-79; effective thirtieth day thereafter (Register 79, No. 48).
7. New subsections (c) and (d) filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
8. New subsections (b)(3) and (e) filed 7-31-81; effective thirtieth day thereafter (Register 81, No. 31).
9. Amendments of subsection (a)-(d), and renumbering and amendment of former subsection (e) to section 51008.5 filed 12-6-85; effective thirtieth day thereafter (Register 85, No. 49).
10. Repealer of subsections (b)(1)(D) and (E) and amendment of subsections (a), (c), (d) and Note filed 9-16-92; operative 10-16-92 (Register 92, No. 38).
§51008.1. Upper Billing Limit.
Note     •     History

(a) Bills submitted pursuant to Section 51008 for durable medical equipment as defined in Section 51160, medical supplies authorized pursuant to Section 51320, or incontinence medical supplies listed in Section 51526(c) shall not exceed an amount that is the lesser of:
(1) The usual charges made to the general public, or
(2) The net purchase price of the item, which shall be documented in the provider's books and records, plus no more than a 100 percent mark-up. Documentation shall include, but not be limited to, evidence of purchase such as invoices or receipts.
(A) Net purchase price is defined as the actual cost to the provider to purchase the item from the seller, including any rebates, refunds, discounts or any other price reducing allowances, known by the provider at the time of billing the Medi-Cal program for the item, that reduce the item's invoice amount.
(B) The net purchase price shall reflect price reductions guaranteed by any contract to be applied to the item(s) billed to the Medi-Cal program.
(C) The net purchase price shall not include provider costs associated with late payment penalties, interest, inventory costs, taxes, or labor.
(D) Where a custom wheelchair as defined in (d) is subject to the provisions of this regulation, the provider may bill the provider's cost of labor to assemble the custom wheelchair which is above the 100 percent mark-up, only when the inclusion of the actual labor cost would result in a bill that exceeds the net purchase price of the entire custom wheelchair plus a 100 percent mark-up. Regardless of any codes used to bill the wheelchair base or frame of a custom wheelchair, where inclusion of the provider's actual cost for assembly of the custom wheelchair exceeds the amount of the allowed 100 percent mark-up, the provider shall be allowed to add to the bill submitted under 51008 that actual cost of labor that exceeds the 100 percent mark-up to the claim line that would otherwise have been used to bill only the custom wheelchair's base or frame.
(E) If the provider's actual cost of labor is included in the bill, the actual time spent assembling the entire custom wheelchair shall be itemized by hours or fractions thereof and the per hour cost of labor, and each shall be documented in the provider's books and records.
(b) Providers shall not submit bills pursuant to this section for items obtained at no cost.
(c) Bills for items of rented durable medical equipment are excluded from the upper billing limit provisions in subsection (a)(2).
(d) A custom wheelchair, either manual or power, is one which has been uniquely constructed or assembled to address a particular patient's individual medical needs for positioning, support and mobility.
NOTE

Authority cited: Sections 10725, 14043.75, 14105, 14105.2 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14100.7, 14103.7, 14105.2 and 14125, Welfare and Institutions Code.
HISTORY

1. New section filed 2-27-2003 as an emergency; operative 3-1-2003 (Register 2003, No. 9). Pursuant to statutes of 1999, chapter 146, section 78, a Certificate of Compliance must be transmitted to OAL by 8-28-2003 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2003, No. 20).
3. New section refiled 8-28-2003 as an emergency; operative 8-28-2003 (Register 2003, No. 35). Pursuant to statutes of 1999, chapter 146, section 78, a Certificate of Compliance must be transmitted to OAL by 2-24-2004 or emergency language will be repealed by operation of law on the following day.
4. Order of 8-28-2003 repealed by operation of law (Register 2004, No. 9).
5. New section filed 2-24-2004; operative 2-25-2004 (Register 2004, No. 9). Pursuant to section 14043.75(a) of the Welfare and Institutions Code, this filing is deemed an emergency and exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-24-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-24-2004 order, including new subsections (a)(2)(A)-(E), amendment of subsection (b) and new subsections (c) and (d), transmitted to OAL 3-12-2004 and filed 4-26-2004 (Register 2004, No. 18).
§51008.5. Billing Procedures for Claims Delayed by Good Causes.
Note     •     History

(a) The Department, upon review of substantiating documentation received to justify good cause for late submittal of the claim, may receive and authorize the processing of late claims if the reason for delayed submission is due to the following circumstances which are beyond the control of the provider:
(1) Failure of the patient or legal representative, due to deliberate concealment or physical or mental incapacity, to present identification as a Medi-Cal beneficiary. Delayed billing shall be submitted not later than 60 days after the date certified by the provider as the date the patient was first identified as a Medi-Cal beneficiary. The date certified by the provider as the date the patient was first identified shall not be later than one year after the month in which the service was rendered. Identification of a patient as a Medi-Cal beneficiary means presentation of any of the following for the month of service:
(A) Medi-Cal card.
(B) MEDI label.
(C) Proof of eligibility (POE) label.
(D) Any of the above indicating Kaiser, Ross-Loos or CHAMPUS coverage, when accompanied by denial of coverage or an explanation of the other coverage by that carrier.
(2) Billing involving other coverage, including Medicare or other health insurance coverage. Billing shall be submitted not later than one year after the month of service to permit the provider to obtain proof of payment, partial payment or nonliability of the carrier.
(3) Initiation of legal proceedings to obtain payment of a liable third party, pursuant to Section 14115 of the Welfare and Institutions Code.
(4) Determination by the Director that the provider was prevented from submitting bills for services, within the time limits set forth in Section 51008, due to circumstances beyond the control of the provider, as described below. The Director may extend the time period for the submission of bills for a period not to exceed one year from the date of service for any of the following:
(A) Delay or error in the certification or determination of Medi-Cal eligibility by the State or county.
(B) Damage to or destruction of the provider's business office or records by a natural disaster, including fire, flood or earthquake; or circumstances involving such disaster have substantially interfered with processing bills in a timely manner.
(C) Delay of required authorization by:
1. Medi-Cal Field Services.
2. Professional Standards Review Organization.
3. California Children's Services.
(D) Compliance with Section 51470 (b) involving undelivered custom-made items.
(E) Delay by the Department in enrolling a provider or fiscal intermediary in supplying billing forms to the provider.
(F) Theft, sabotage or other deliberate, willful acts by an employee.
(G) Other circumstances that are clearly beyond the control of a provider that have been reported to the appropriate law enforcement or fire agency when applicable.
(H) The unforeseen cessation of maternity care for a patient for whom prenatal care was provided on the assumption that global billing would be used.
(5) Special circumstances that cause a billing delay beyond the time limitations specified in this Section 51008. Such bills may be submitted for processing beyond the time limits specified in Section 51008, provided such submittal is within 60 days after the date of resolution of the circumstances causing the billing delay. These circumstances include:
(A) Court decisions.
(B) State hearing decisions.
(b) Circumstances that shall not be considered beyond the control of the provider include, but are not limited to:
(1) Negligence by employees.
(2) Misunderstanding of or unfamiliarity with Medi-Cal regulations.
(3) Illness or absence of any employee trained to prepare bills.
(4) Delays caused by the United States Postal Service or any private delivery service.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14115, 14124.1, 14124.2 and 14133, Welfare and Institutions Code; and 42 C.F.R. Section 447.45(d)(4)(iv).
HISTORY

1. Renumbering and amendment of former section 51008(e) to section 51008.5 filed 12-6-85; effective thirtieth day thereafter (Register 85, No. 49). For prior history, see Register 81, No. 31.
2. New subsection (a)(4)(H) and amendment of Note filed 9-16-92; operative 10-16-92 (Register 92, No. 38).
3. Editorial correction of subsection (a) (Register 2011, No. 26). 
4. Change without regulatory effect relocating former subsections (b)(5)-(b)(5)(B) to new subsections (a)(5)-(a)(5)(B) and amending Note filed 6-29-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 26).
§51009. Confidential Nature of Records.
Note     •     History

All individual medical records of beneficiaries acquired by individuals or institutions providing care, the Department, or any other state or local agency, or by any organization contracting to provide administrative services under this program, shall be confidential and shall not be released without the written consent of the beneficiary or his personal representative. This shall not preclude the release of statistical or summary data or information in which individual beneficiaries are not, and cannot be, identified, nor shall it preclude exchange of information between individuals or institutions providing care, fiscal intermediaries, and state or local official agencies. Neither shall this section preclude exchange of information necessary for the purpose of effecting recovery as provided in Welfare and Institutions Code, Sections 10020 through 10025, 14024 and 14124.70 through 14124.79 with persons liable thereunder.
NOTE

Authority cited: Sections 10725, 14100.2 and 14124.5, Welfare and Institutions Code. Reference: Section 14100.2, Welfare and Institutions Code.
HISTORY

1. Refiled 6-5-67 as an emergency; effective upon filing, Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 11-15-68; effective thirtieth day thereafter (Register 68, No. 43).
3. Amendment filed 7-13-73; effective thirtieth day thereafter (Register 73, No. 28).
4. Editorial correction (Register 81, No. 38).
5. New NOTE filed 12-13-84 (Register 84, No. 50).
§51011. Identification of Beneficiary.
Note     •     History

(a) All out-of-hospital and inpatient services may be provided subject to the limitations specified in the scope of benefits, and subject to the Medical Assistance classification of the beneficiary upon presentation by a beneficiary of a valid medical care eligibility card issued by a local welfare department, except where these regulations specify that prior authorization for a specific service is required, and evidence of such authorization is presented or furnished, such card shall be deemed adequate authorization to provide services up to the expiration date specified on the card. Limitations to personal care services are specified in Section 51350.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. Refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment of subsection (a) filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51011.1. Year 2000 Alternate Procedure for Verification of Eligibility.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14018.2, Welfare and Institutions Code.
HISTORY

1. New section filed 12-27-99 as an emergency; operative 12-27-99 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-25-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 46).
§51013. California Children Services.
Note     •     History

A beneficiary under age 21 who has a medical or surgical condition which would qualify for services under California Children Services, shall be referred to that program for case management and prior authorization by the appropriate local or state administrative agency for California Children Services. Medical care not provided through California Children Services shall be provided through the procedures established in these regulations.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14000 and 14133, Welfare and Institutions Code.
HISTORY

1. Refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
3. Editorial correction of first sentence (Register 95, No. 45).
§51014. Vocational Rehabilitation Services.
Note     •     History

Whenever a service is requested on behalf of a Medi-Cal beneficiary on the basis that such service is needed for vocational rehabilitation, that beneficiary shall be referred in writing by the Medi-Cal consultant to the State Department of Rehabilitation for counseling and evaluation.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14113, Welfare and Institutions Code.
HISTORY

1. New section filed 5-31-68; effective thirtieth day thereafter (Register 68, No. 21).
2. Amendment filed 12-7-87; operative 1-6-88 (Register 87, No. 50).
§51014.1. Fair Hearing Related to Denial, Termination or Reduction in Medical Services.
Note     •     History

(a) In addition to any notice mailed pursuant to section 50179, 53261, 53452, 56261, or 56452, each beneficiary shall be informed in writing, at the time of application to the program and by the Department on a quarterly basis thereafter, of the right to a fair hearing upon receipt of notice of:
(1) Any action, other than approval, including but not limited to deferral or denial, taken by the Department or a Medi-Cal managed care plan on a request by a provider for any medical service.
(2) Any intended action by the Department or a Medi-Cal managed care plan to terminate or reduce any medical service.
(b) The written notice of the right to a fair hearing shall specify:
(1) The method by which a hearing may be obtained.
(2) That the beneficiary may be either:
(A) Self represented.
(B) Represented by an authorized third party such as legal counsel, relative, friend or any other person.
(3) The circumstances under which the medical service shall be continued pending decision on the fair hearing.
(4) The time limit for requesting fair hearing.
(c) Except as provided in (d), notice of intended action to reduce or terminate authorization for a medical service prior to expiration of the period covered by the authorization shall be mailed by the Department or by the Medi-Cal managed care plan to the beneficiary at least 10 days before the effective date of action. The notice shall include:
(1) A statement of the action the Department or Medi-Cal managed care plan intends to take.
(2) The reason for the intended action.
(3) A citation of the specific regulations or Medi-Cal managed care plan authorization procedures supporting the intended action.
(4) An explanation of the beneficiary's right to request a fair hearing for the purpose of appealing the Department's or Medi-Cal managed care plan's decision.
(5) An explanation of the procedure to request a hearing.
(6) An explanation of the circumstances under which a medical service shall be continued if a hearing is requested.
(d) The Department or Medi-Cal managed care plan may dispense with the 10 day mailing requirement in (c), but shall mail the notice of action before the date of action and shall meet all other requirements, when any of the following circumstances occur:
(1) The Department or Medi-Cal managed care plan receives a clear written statement signed by the beneficiary stating that the beneficiary no longer wishes to receive continuous medical service.
(2) The beneficiary has been admitted or committed to an institution and is no longer eligible for Medi-Cal benefits or, for a Medi-Cal managed care plan member, is no longer enrolled in the Medi-Cal managed care plan.
(3) The beneficiary has been accepted for medical assistance in another state or a new jurisdiction and that fact has been established by the jurisdiction presently providing assistance.
(4) A change in level of medical care is prescribed by the beneficiary's physician.
(5) The Department, or Medi-Cal managed care plan with the concurrence of the Department, obtains facts indicating the medical service should be terminated because of the probable fraud of the beneficiary. In this case notice shall be mailed at least 5 days before the action becomes effective.
(e) Except as provided in (g), notice of a reduction or termination as defined in (e)(1) and (2) shall be mailed by the Department or Medi-Cal managed care plan to the beneficiary or to the person identified as the beneficiary's authorized representative in records submitted by the health care provider requesting the services. The notice shall contain the information required by (c), except that it shall describe the action the Department or Medi-Cal managed care plan has taken rather than an action it intends to take. It shall be deposited with the United States postal service in time for pick-up no later than the third working day after the reduction or termination.
(1) “Termination” as used in this subdivision means denial by the Department or Medi-Cal managed care plan of a request for non-acute continuing services, as defined in section 51003(c)(1).
(2) “Reduction” as used in this subdivision means approval by the Department or Medi-Cal managed care plan of a request for non-acute continuing services as defined in section 51003(c)(1), at less than the amount or frequency requested and less than the amount or frequency approved on the immediately preceding authorization. There is no reduction if a shorter time period of services than requested is approved, as long as the amount or frequency of services during that period has not been reduced from the previously approved level.
(f) Except as provided in (g), notice of a termination as defined in (f)(1), shall be personally delivered or mailed as provided below. Notice shall be personally delivered to the beneficiary in his or her hospital room unless the beneficiary's treating physician has certified in writing that such personal delivery may result in serious harm to the beneficiary. If the treating physician has so certified, notice shall be mailed to the mailing address of the beneficiary or the person, if any, identified as the beneficiary's authorized representative in hospital medical records or documents submitted by the hospital to the Department or Medi-Cal managed care plan. Notice required by this subdivision shall contain the information required by (c) except that it shall describe the action the Department or Medi-Cal managed care plan has taken rather than an action it intends to take. It shall be personally delivered or be mailed no later than the first working day after termination.
(1) “Termination” as used in this subdivision means denial by the Department or Medi-Cal managed care plan of a request by a provider for acute continuing services, as defined in section 51003(c)(2). There is no termination when the field office consultant or Medi-Cal managed care plan approves less than the full number of acute care days requested.
(g) Notice of termination or reduction as provided for in (e) and (f) is not required in any of the following circumstances:
(1) By the date that notice would otherwise be personally delivered or mailed;
(A) Non-acute services requested for a limited time period are provided in full or, 
(B) In the case of acute care services, the beneficiary is discharged from the hospital.
(2) The only days of acute care denied have already been provided to the beneficiary.
(3) The Department or Medi-Cal managed care plan  authorized acute care days subject to specific services being performed during a specified time, and the Department or Medi-Cal managed care plan retroactively denies these previously authorized days because such services were delayed or not performed.
(h) Notice of action taken, or intended action other than approval for either a written or verbal request by a provider for medical service, other than those specified under subdivisions (c), (e) and (f) or sections 53261 or 56261, shall be transmitted by the Department or Medi-Cal managed care plan to the provider of service. The method of transmittal of the notice of action taken or intended action may be either written or verbal. Should the beneficiary not receive notification from the provider of the Department's or Medi-Cal managed care plan's decision, the beneficiary may contact the provider to obtain such notification.
(i) For the purposes of this section, “medical service” means those services that are subject to prior authorization pursuant to section 51003 or the Medi-Cal managed care plan's authorization procedures.
(j) For the purposes of this section, “Medi-Cal managed care plan” means a prepaid health plan as defined in section 50071.5 or a primary care case management plan as defined in section 50071.8.
(k) The provisions of this section apply to Medi-Cal managed care plans only for beneficiaries who are enrolled in the Medi-Cal managed care plan and for medical services that are covered in the contract between the Department and the Medi-Cal managed care plan. The provisions of this section do not apply to the decisions of providers serving beneficiaries enrolled in Medi-Cal managed care plans when prior authorization of the service by the Medi-Cal managed care plan's authorization procedures is not a condition of payment for the medical service.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 10950, 14088, 14088.4, 14124.5 and 14311, Welfare and Institutions Code.
HISTORY

1. New section filed 3-15-79 as an emergency; effective upon filing (Register 79, No. 11).
2. Certificate of Compliance filed 6-28-79 (Register 79, No. 26).
3. Amendment of subsection (c) and new subsections (e)-(g) filed 10-26-90 as an emergency; operative 10-26-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 2-25-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-26-90 order transmitted to OAL 2-22-91 and filed 3-25-91 (Register 91, No. 15).
5. Amendment of section and Note filed 10-17-95; operative 11-16-95 (Register 95, No. 42).
§51014.2. Medical Assistance Pending Fair Hearing Decision.
Note     •     History

(a) Continued medical assistance as set forth in (b), (c), and (d) below, pending a hearing decision shall be provided only if the beneficiary appeals in writing to the Department for a hearing within 10 days of the mailing or personal delivery of the notice of action pursuant to section 51014.1(c), (e) or (f), or before the effective date of action.
(b) In the case of a termination or reduction pursuant to section 51014.1(c), authorization shall be maintained until the period covered by the existing authorization expires, the date a hearing decision is rendered, or the date on which the hearing is otherwise withdrawn or closed, whichever is earliest.
(c) In the case of a termination of acute care services pursuant to section 51014.1(f), acute care authorization pending a hearing shall begin:
(1) The first day after the previously approved length of stay for continuing acute care if the request for extension by a provider was submitted to the on-site Medi-Cal reviewer during the first on-site visit after the previously approved length of stay expired.
(2) The sixth day of hospitalization if a request for extension pursuant to section 51003(c)(2)(B)5. was submitted to the on-site Medi-Cal reviewer during the first on-site visit after the first five days of hospitalization. 
(3) The day the request for extension was submitted to the Department or to the Medi-Cal managed care plan if neither (1) nor (2) apply.
(4) The date of the termination decision if a decision on the request for extension was initially deferred pending the receipt of additional information.
Authorization pending a hearing pursuant to this subdivision shall end on the date a hearing decision is rendered, the date on which the hearing appeal is withdrawn or closed, the date the treating physician documents that the beneficiary is ready for lower level of care, or the date of discharge, whichever is earliest.
(d) In the case of a termination or reduction of non-acute care services pursuant to section 51014.1(e), authorization shall begin:
(1) Upon expiration of the previous authorization if the request by a provider for reauthorization is submitted prior to such expiration, or
(2) The day of receipt of a completed request for reauthorization not requiring additional information from the provider, or 
(3) The date of deferral of a decision on a request for reauthorization, when such deferral was necessary because of an incomplete request or because additional medical information is needed.
Authorization pending a hearing pursuant to this subdivision ends on the date through which services were requested by the treating physician, the date a hearing decision is rendered, or the date on which the hearing appeal is withdrawn or closed, whichever is earliest.
(e) Notwithstanding (a), (c), and (d), continued medical assistance pursuant to (c) or (d):
(1) is not required at a greater amount or frequency of services than approved for the immediately preceding period of authorization,
(2) is not required in the case of acute care services if the beneficiary has been discharged from the hospital at the time that continued authorization would otherwise be put into effect,
(3) is not required in the case of non-acute care services requested for a limited time period, if they have been provided in full at the time that continued authorization would otherwise be put into effect.
(f) For the purposes of this section, “Medi-Cal managed care plan” means a prepaid health plan as defined in section 50071.5 or a primary care case management plan as defined in section 50071.8.
(g) The provisions of this section apply to Medi-Cal managed care plans only for beneficiaries who are enrolled in the Medi-Cal managed care plan and for medical services that are covered in the contract between the Department and the Medi-Cal managed care plan.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Sections 1250, 1267.7 and 1275.3, Health and Safety Code. Reference: Sections 10950, 14088, 14088.4, 14124.5 and 14311, Welfare and Institutions Code; and Sections 1250 and 1275.3, Health and Safety Code.
HISTORY

1. Amendment refiled by the Department of Health Services with the Secretary of State on 5-30-89 as an emergency pursuant to Health and Safety Code section 1275.3; operative 5-30-89. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 89, No. 23). For prior history, see Register 89, No. 1.
2. Certificate of Compliance as to 5-30-89 order transmitted to OAL 9-27-89 and filed 10-26-89 (Register 89, No. 44).
3. Amendment filed 10-26-90 as an emergency; operative 10-26-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 2-25-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-26-90 order transmitted to OAL 2-22-91 and filed 3-25-91 (Register 91, No. 15).
5. Amendment of section and Note filed 10-17-95; operative 11-16-95 (Register 95, No. 42).
§51015. Provider Grievances and Complaints.
Note     •     History

When a provider of services has a grievance or complaint concerning the processing or payment of his claims for services provided under the Medical Assistance Program the following procedures must be met:
(a) The provider shall initiate an appeal, by submitting a grievance or complaint in writing, within 90 days of the action precipitating the grievance or complaint, to the appropriate fiscal intermediary identifying the claims involved and specifically describing the disputed action or inaction regarding such claims.
(b) The fiscal intermediary shall acknowledge the written grievance or complaint within 15 days of its receipt.
(c) The fiscal intermediary shall determine whether or not the grievance or complaint shall be referred to professional peer review.
(1) When the grievance or complaint is not referred to professional peer review, the fiscal intermediary shall review the merits of the grievance or complaint and send a written decision of its conclusion and reasons therefor to the provider within 30 days of the acknowledgment of the receipt of the grievance or complaint.
(2) When the grievance or complaint is referred to professional peer review:
(A) All parties concerned shall be notified that the referral has been made to professional peer review and that a final determination will require up to 60 days from the acknowledgment of receipt of the grievance or complaint.
(B) The professional peer review shall make its evaluation and submit its findings and recommendations to the fiscal intermediary and the provider within 30 days of the referral from the fiscal intermediary.
(C) The fiscal intermediary, after taking into consideration the findings and recommendations of the professional peer review, shall send a written decision to the provider.
(d) After these procedures have been followed, a provider who is not satisfied with the appeal decision by the fiscal intermediary, may seek appropriate judicial remedies in compliance with Section 14104.5 of the Welfare and Institutions Code, no later than one year after receiving notice of the decision.
NOTE

Authority cited: Sections 14104.5 and 14124.5, Welfare and Institutions Code. Reference: Section 14104.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-25-79; effective thirtieth day thereafter (Register 79, No. 4). For prior history, see Registers 66, No. 30; 68, No. 43; 70, No. 30; and 74, No. 3.
2. Amendment filed 12-6-85; effective thirtieth day thereafter (Register 85, No. 49).
3. Amendment filed 4-2-92; operative 4-2-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 14).
§51015.1. Special Claims Review Appeals.
Note     •     History

NOTE

Authority cited: Sections 14105, 14124.5 and 14133(b), Welfare and Institutions Code. Reference: Sections 14104.5 and 14133(b), Welfare and Institutions Code.
HISTORY

1. New Section filed 12-20-78; effective thirtieth day thereafter (Register 78, No. 51).
2. Repealer filed 6-24-2003; operative 7-24-2003 (Register 2003, No. 26).
§51015.2. Providers of Personal Care Services Grievance and Complaints.
Note     •     History

Notwithstanding Section 51015, when a provider of personal care services has a grievance or complaint concerning the processing or payment of money for services rendered, the following procedures must be met:
(a) The provider shall initiate an appeal, by submitting a grievance or complaint in writing within 90 days of the action precipitating the grievance or complaint, to the designated county department identifying the claims involved and specifically describing the disputed action or inaction regarding such claims.
(b) The designated county department shall acknowledge the written grievance or complaint within 15 days of its receipt.
(c) The designated county department shall review the merits of the grievance or complaint and send a written decision of its conclusion and reasons to the provider within 30 days of the acknowledgement of the receipt of the grievance or complaint.
(d) After following this procedure, a provider who is not satisfied with the decision by the designated county department may seek appropriate judicial remedies in compliance with Section 14104.5 of the Welfare and Institutions Code, no later than one year after receiving notice of the decision.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
Article 1.5. Provider Audit Appeals
§51016. Definitions.
Note     •     History

(a) The following definitions shall be used throughout this article unless otherwise noted.
(1) Audits or Examination Report. “Audit or examination report” means a document that presents the final audit or examination findings and is formally issued to the provider by the Department upon the completion of the audit or examination.
(2) Completed Audit or Examination. “Completed audit or examination” means an audit or examination for which an audit or examination report has been issued.
(3) “Date of mailing” means the date postmarked on the envelope if postage was prepaid and the envelope was properly addressed.
(4) Demand for Repayment. “Demand for repayment” means a written notice issued to the provider by the Department that identifies the amount of the overpayment, determined by an audit or examination, that must be repaid. The notice may be made through the issuance of a statement of accountability, statement of account status, letter, or any combination of the foregoing.
(5) Duplicate. “Duplicate” means a counterpart or facsimile copy of the original produced by the same impression or from the same matrix as the original or by some technique of accurate reproduction.
(6) “Exit conference” means an informal meeting, between the provider and those Department representatives responsible for the audit or examination, at which the preliminary findings of the audit or examination are discussed.
(7) Formal Hearing. “Formal hearing” means an administrative hearing conducted by a hearing officer pursuant to Section 14171(b), Welfare and Institutions Code, and the provisions of this article.
(8) Hearing Auditor. “Hearing auditor” means an individual designated to conduct the informal level of review.
(9) Hearing Officer. “Hearing officer” means a hearing officer appointed by the Director pursuant to Section 14171(b), Welfare and Institutions Code.
(10) Informal Conference. “Informal conference” means a proceeding conducted in person or by telephone, for the purpose of scheduling the informal level of review and formal hearing; exchanging documents; and resolving other preliminary matters.
(11) Informal Level of Review. “Informal level of review” means an informal hearing for institutional providers and a pretrial conference for non-institutional providers, held by a hearing officer or hearing auditor prior to a formal hearing to clarify or resolve facts and issues in dispute.
(12) Party. “Party” means the provider, the Department and any person, other than a hearing officer, allowed to appear in the proceedings.
(13) Institutional Provider. “Institutional provider” means any of the following:
(A) Any individual, entity or organization of a type required to be licensed pursuant to either Chapter 1 (commencing with Section 1200) or Chapter 2 (commencing with Section 1250) of Division 2, Health and Safety Code, or exempt from licensure pursuant to Section 1206(b) through (l) Health and Safety Code, or Section 1254 Health and Safety Code which provides services or supplies under the Medi-Cal program, and is subject to audit by the Department.
(B) Any individual, entity, or organization of a type required to file a cost report or cost information with the Department.
(14) Non-institutional Provider. “Non-institutional provider” means any individual, entity, or organization other than those defined in subsection (13) who provides services or supplies under the Medi-Cal program, and who is subject to audit by the Department.
(15) File. “File” means delivery of a pleading or other paper to, and its date stamping by, the Office of Administrative Hearings and Appeals, Office of Legal Services, Department of Health Services.
(16) Serve. “Serve” means the delivery of a pleading or other paper on a party in the manner provided by Government Code Section 11505(c).
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Sections 14171 and 14172.5, Welfare and Institutions Code.
HISTORY

1. Repealer of Section 51016 and new Article 1.5 (Sections 51016-51043) filed 3-2-76; designated effective 4-1-76 (Register 76, No. 10). For prior history, see Register 72, No. 11, and Register 75, No. 23.
2. Repealer of Article 1.5 (Sections 51016-51043) and new Article 1.5 (Sections 51016-51047) filed 5-8-80; effective thirtieth day thereafter (Register 80, No. 19).
3. Amendment filed 10-11-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 41).
4. Amendment filed 9-17-85; effective thirtieth day thereafter (Register 85, No. 38).
§51017. Provider Audit Hearing.
Note     •     History

A provider may request a hearing under the provisions of this article to examine any disputed audit or examination finding which results in an adjustment to Medi-Cal program reimbursement or reimbursement rates by submitting a Statement of Disputed Issues to the Department in accordance with Section 51022.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51018. Home Office--Chain Organization Related Entities.
Note

The home office of a chain organization has no separate right to an individual hearing under this article. Where a provider in a chain organization disputes an audit or examination finding concerning the allocation of home office costs, other related entity costs or any other matter affecting all or some of the providers in the chain organization, all providers in the chain organization that are affected by the issue in dispute shall be made parties to the proceedings for the purpose of resolution of that issue only, in accordance with Section 51030.
NOTE

Authority cited: Sections 14105, 14124.5, and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51019. Amended Cost Reports.
Note

(a) An amended cost report may be submitted by a provider and accepted by the Department for the fiscal period or periods for which proceedings are pending under this article.
(b) The hearing officer may suspend the proceedings until identification of any additional disputes that may result from an amended report filed by a provider.
(c) Additional issues which are raised by accepted cost report amendments may be included in the proceedings at the request of the provider in accordance with Section 51022.
(d) The hearing officer may dismiss the proceeding without prejudice to the right to request a subsequent hearing under this article when the hearing officer deems this course to be appropriate.
NOTE

Authority cited: Sections 14105, 14124.5, and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51020. Amended Audit Report.
Note

(a) An amended audit report may be issued by or on behalf of the Department for the fiscal period or periods for which proceedings are pending under this article.
(b) The hearing officer may suspend the proceedings until identification of any additional disputes that may result from an amended audit report.
(c) Additional issues in dispute which are raised by the amended audit report may be included in the proceedings at the request of the provider in accordance with Section 51022.
(d) The hearing officer may dismiss the proceeding without prejudice to the right to request a subsequent hearing under this article when the hearing officer deems this course to be appropriate.
NOTE

Authority cited: Sections 14105, 14124.5, and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51021. Exit Conference and Audit Report.
Note     •     History

(a) The provider shall be afforded a reasonable opportunity to participate in an exit conference after the conclusion of any field audit or examination of records or reports of a provider, by or on behalf of the Department, and prior to the issuance of the Audit Report. The purpose of the exit conference is to:
(1) Inform the provider of the audit or examination findings and the supporting reasons and evidence.
(2) Inform the provider of the specific instances in which no records were found to substantiate claims billed to the program which was the subject of the audit or examination.
(3) Allow the provider an opportunity to present relevant information concerning the audit or examination findings.
(b) The provider must make available to the Department any records which were identified as unavailable for review or missing within 15 calendar days of the exit conference to be included in the Audit Report.
(c) Where the audit or examination involves the records or reports of a provider of pharmaceutical services:
(1) The auditor or reviewer shall identify missing prescriptions by beneficiary name, beneficiary number, prescription number and date of service to the provider at the exit conference.
(2) The audit worksheets relating to exceptions taken shall be furnished to the provider subsequent to the submission of missing prescriptions pursuant to subsection (b), in the event that a request for repayment of an overpayment is made.
(d) An audit or examination findings issued by or on behalf of the Department shall include the following:
(1) A complete copy of the audit report which identifies all items to which exception has been taken, the monetary value of each and the reason for the exception, including citation to the appropriate statutory or regulatory authority.
(2) Notice of the provider's right to a hearing pursuant to the provisions of this article. A copy of the provisions of this article shall accompany such notice.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14170 and 14171, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
§51022. Request for Hearing.
Note     •     History

(a) An Institutional provider may request a hearing for any disputed audit or examination finding as follows:
(1) A written request shall be filed with the Department within 60 calendar days of the receipt of the written notice of the audit or examination findings.
(2) This request may be amended at any time during the 60 calendar day period.
(b) A Non-institutional provider may request a hearing on any disputed audit or examination finding as follows:
(1) A written request shall be filed with the Department within 30 calendar days of the receipt of the audit or examination finding.
(2) This request may be amended at any time during the 30 calendar day period.
(c) All late requests by either Institutional or Non-institutional providers shall be denied and the audit or examination findings deemed final unless the provider establishes in writing good cause for late filing within 15 calendar days of being notified of the untimeliness of its request.
(d) The request shall be known as “Statement of Disputed Issues.” It shall be in writing, signed by the provider or the authorized agent, and shall state the address of the provider and of the agent, if any agent has been designated. A provider or the agent shall specify the name and address of the individual authorized on behalf of the provider to receive any and all documents, including the final decision of the Director, relating to proceedings conducted pursuant to this article. The Statement of Disputed Issues need not be formal, but it shall be specific as to each issue as are in dispute, setting forth the provider's contentions as to those issues and the estimated amount each issue involves. The information specified in subsection (e) shall also be included. If the hearing officer determines that a Statement of Disputed Issues fails to state the specific grounds upon which objection to the specific item is based, the provider or the agent shall be notified that it does not comply with the requirement of this regulation, and the reasons therefor.
(1) An Institutional provider shall be granted 30 calendar days after the date of the mailing of the notice of deficiency to the provider within which to file an amended Statement of Disputed Issues.
(2) A Non-institutional provider shall be granted 15 calendar days after the date of mailing of the notice of deficiency within which to file an amended Statement of Disputed Issues.
(3) If within the time permitted in (1) or (2) above, the Institutional or Non-institutional provider, respectively, or the agent fails to amend its appeal as notified, the appeal as to those issues shall be rejected.
(e) The request shall also specify whether the provider does or does not wish that an informal level of review among the parties be held, together with the reasons therefor. Either party may request, or the hearing officer may order, that a telephone conference call be initiated among the parties for discussion of the advisability of conducting an informal level of review. The hearing officer shall decide whether an informal level of review would be appropriate and notify the parties of this decision in writing.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-11-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 41).
2. Editorial correction of Authority cite (Register 95, No. 45).
§51023. Informal Level of Review.
Note     •     History

(a) If the hearing officer determines that an informal level of review is appropriate, it shall be ordered and scheduled as soon as reasonably possible. The hearing officer, or a hearing auditor designated by the hearing officer, shall preside at this informal level of review.
(b) Written notice of the time and place of informal level of review shall be mailed to each party at least 30 calendar days before the date of the informal level of review. This period may be shortened with the consent of the parties. Any party may waive notice. This notice may be combined with the notice of formal hearing.
(c) Efforts shall be made to resolve the facts and issues in dispute in a fair and equitable manner, subject to the requirements of state and federal law. Matters in dispute, raised in the provider's Statement of Disputed Issues pursuant to Section 51022, which are not discussed or raised at the informal level of review shall not be deemed waived.
(d) The proceedings at the informal level of review shall be electronically recorded unless the parties agree otherwise.
(e) The results of the informal level of review shall be:
(1) Served on the parties, within a reasonable time, in the form of a written Report of Findings or Pretrial Order.
(2) For Institutional providers, the report of findings shall be considered as final unless the provider submits written request for a formal hearing in accordance with Section 51024.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-11-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 41).
2. Amendment of subsection (c) filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51024. Request for Formal Hearing.
Note     •     History

(a) The form and content of the request shall be as specified in Section 51022(d).
(b) An Institutional provider shall have 30 calendar days following the receipt of the written Report of Findings within which to file a request for formal hearing with the Director. The request shall be deemed filed on the date mailed to the Department. The audit findings, as amended by the Report of Findings, shall be considered final and deemed dispositive of all issues raised i the Statement of Disputed Issues filed pursuant to Section 51022 at the end of this period unless good cause for late filing is found.
(c) A request for formal hearing filed after the time permitted in subsection (b) shall be rejected unless the provider establishes in writing good cause for late filing within 15 calendar days of being notified of the untimeliness of its request.
(d) A formal hearing shall routinely be scheduled in each case involving a Non-institutional provider. No separate request for formal hearing shall be required.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-11-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 41).
§51025. Notice of Formal Hearing.
Note

Written notice of the time and place of formal hearing shall be mailed to each party at least 30 calendar days before the date of hearing. This period may be shortened with the consent of the parties. Any party may waive notice.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51026. Department Mailings.
Note     •     History

NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51027. Time and Place of Informal Level of Review and Formal Hearing.
Note     •     History

(a) The hearing officer shall determine the time and place of an informal level of review or formal hearing. The informal level of review or formal hearing shall be held at one of the following locations.
(1) In the County of:
(A) San Francisco if the provider resides within the First Appellate District.
(B) Los Angeles if the provider resides within the Second or Fourth Appellate District.
(C) Sacramento if the provider resides within the Third or Fifth Appellate District.
(b) Notwithstanding subdivision (a), the hearing officer may select:
(1) A different place nearer the place where the provider resides.
(2) Any place within the State agreeable to the parties.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51028. Merger of Successive Requests for Hearings.
Note     •     History

NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 2).
§51029. Consolidation of Proceedings.
Note     •     History

NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51030. Hearing Officer's Authority.
Note     •     History

(a) The hearing officer may, on his/her own motion or the motion of any party, as the hearing officer deems appropriate:
(1) Consolidate for hearing or decision any number of issues or appeals when the facts and circumstances are similar and no substantial right of any party will be prejudiced.
(2) Join other parties, grant continuances and hold additional formal hearings as necessary to dispose of all issues.
(3) Hear any issue before any other issue in the proceeding where it is found that the decision on that issue could abate further proceedings.
(4) Prepare a proposed decision on any separately heard issue for the Director's signature and postpone hearing on any remaining issues until a final decision has been issued by the Director.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51031. Severance of Issues.
Note     •     History

NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51032. Discovery.
Note     •     History

(a) After the acceptance of the Statement of Disputed Issues, a party, upon written request made to another party, prior to the hearing and within thirty (30) calendar days after receipt of the Notice of Acceptance of the Statement of Disputed Issues or within fifteen (15) calendar days after the receipt of the Notice of Acceptance of an amended Statement of Disputed Issues or issuance of a Report of Findings, is entitled to:
(1) Obtain the names and addresses of witnesses to the extent known to the other party, including, but not limited to, those intended to be called to testify at the informal hearing or formal hearing.
(2) Inspect and make a copy of any of the following in the possession or custody or under the control of the other party:
(A) Statements pertaining to the subject matter of the proceeding made by any party to another party or person.
(B) Statements of witnesses then proposed to be called by the party and of other persons having personal knowledge of the acts, omissions or events which are the basis for disputed audit or examination findings, not included in subdivision (2)(A).
(C) All writings, including but not limited to audit work papers, patient ledgers, medical records and invoices or things which the party then proposes to offer into evidence.
(D) Other writing or thing which is relevant and which would be admissible in evidence.
(E) Investigative reports made for or on behalf of the Department or other party pertaining to the subject matter of the proceeding, to the extent that such reports:
(1) Contain the names and addresses of witnesses or of persons having personal knowledge of the acts, omissions or events which are the basis for the disputed audit or examination findings.
(2) Reflect matters perceived by the investigator in the course of his investigation.
(3) Contain or include by attachment any statement or writing described in subsections (2)(A) through (2)(D) inclusive, or summary thereof.
(4) For the purpose of this section, “statements” includes written statements by the person, signed or otherwise authenticated by the person, stenographic, mechanical, electrical or other recordings, or transcripts thereof, or oral statements by the person and written reports or summaries of such oral statements.
(5) Nothing in this section shall authorize the inspection or copying of any writing or thing which is privileged from disclosure by law or otherwise made confidential or protected as the attorney's work product.
(6) Any denial of discovery by a party shall be in writing and shall be accompanied by a written statement describing the specific reasons for denial as to each item of discovery denied. Such a denial shall be mailed within 30 calendar days from the date of filing the request for discovery.
(b) A party shall have the same rights as are accorded a party under the provisions of Section 11507.7 of the Government Code in the event that a request for discovery pursuant to this section has not been granted. In the event an order to show cause is issued, a copy shall be filed with each party.
(c) The provisions of this article provide the exclusive right to and method of discovery as to any proceeding governed by this article.
NOTE

Authority cited: Sections 14105, 14124.5, and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51033. Subpoenas and Witnesses.
Note

(a) The hearing officer shall issue subpoenas and subpoenas duces tecum before the formal hearing, for attendance or production of documents at the formal hearing, as necessary or at the request of any party. The hearing officer may also issue subpoenas and subpoenas duces tecum after the formal hearing has commenced. Compliance with the provisions of Section 1985, California Code of Civil Procedure, shall be a condition precedent to the issuance of a subpoena duces tecum.
(b) The process issued pursuant to subsection (a) shall be extended to all parts of the State and shall be served in accordance with the provisions of Sections 1987 and 1988, California Code of Civil Procedure. No witness shall be obliged to attend at a place out of the county in which he resides unless the distance be less than 150 miles from his place of residence except that the hearing officer, upon affidavit of any party showing that the testimony of such witness is material and necessary, may endorse on the subpoena an order requiring the attendance of such witness.
(c) All witnesses appearing pursuant to subpoena, other than the parties or officers or employees of the State or any political subdivision thereof, shall receive fees and all witnesses appearing pursuant to subpoena, except the parties, shall receive mileage in the same amount and under the same circumstances as prescribed by law for witnesses in civil actions in a superior court.
(d) Witnesses appearing pursuant to subpoena, except the parties, who attend formal hearings at points so far removed from their residences as to prohibit return thereto from day to day shall be entitled, in addition to fees and mileage, to a per diem compensation of $3.00 for expenses of subsistence for each day of actual attendance and for each day necessarily occupied in traveling to and from the hearing. Fees, mileage and expenses of subsistence shall be paid by the party at whose request the witness is subpoenaed.
NOTE

Authority cited: Sections 14105, 14124.5, and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51034. Depositions.
Note

(a) On verified petition of any party, the hearing officer may order that the testimony of any material witness residing within or without the State be taken by deposition in the manner prescribed by law for depositions in civil actions. The petition shall set forth:
(1) The nature of the pending proceeding.
(2) The name and address of the witness whose testimony is desired.
(3) A showing of the materiality of his testimony.
(4) A showing that the witness will be unable or cannot be compelled to attend.
(5) A request for an order requiring the witness to appear and testify before an officer named in the petition for that purpose.
(b) The hearing officer's order for taking of testimony by deposition from a witness residing out-of-State shall be supported by a court order. The court order shall be obtained by filing a petition in the Superior Court of Sacramento County, in accordance with Section 11189, Government Code.
NOTE

Authority cited: Sections 14105, 14124.5, and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51035. Affidavits.
Note

(a) Any party may mail or deliver to the opposing party, at least ten calendar days prior to a formal hearing or a continued hearing, a copy of any affidavit to be introduced in evidence, together with a notice as provided in subsection (b). Unless the opposing party, within seven days after such mailing or delivery, mails or delivers to the proponent a request to cross-examine an affiant, the right to cross-examine such affiant is waived and the affidavit, if introduced in evidence, shall be given the same effect as if the affiant had testified orally. If an opportunity to cross-examine an affiant is not offered after request therefor is made as herein provided, the affidavit may be introduced in evidence, but shall be given only the same effect as other hearsay evidence.
(b) The notice referred to in subsection (a) shall be substantially in the following form: 

NOTICE
The accompanying affidavit of (here insert name of affiant) will be introduced as evidence at the formal hearing in (here insert title of proceeding). (Here insert name of affiant) will not be called to testify orally and you will not be entitled to question him unless you notify (here insert name of proponent or his attorney) at (here insert address) that you wish to cross-examine him. To be effective your request must be mailed or delivered to (here insert name of proponent or his attorney) on or before (here insert a date seven days after the day of mailing or delivering the affidavit to the opposing party).
NOTE

Authority cited: Sections 14105, 14124.5, and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51036. Preparation for Formal Hearing.
Note     •     History

A party appearing at a formal hearing shall have necessary evidence and witnesses present and be ready to proceed. Each party shall make available sufficient copies, as indicated by the hearing officer, of any documents to be introduced in evidence. The hearing officer, if necessary and following reasonable notice, may require any or all parties to submit a written statement of contentions and reasons, together with any requested documents. Each party submitting written statements and documents shall also provide a copy to all other parties.
NOTE

Authority cited: Sections 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
2. Editorial correction of Authority cite (Register 95, No. 45).
§51037. Conduct of Formal Hearing.
Note

(a) Testimony shall be taken only on oath, affirmation or penalty of perjury.
(b) The proceedings at the formal hearing shall be electronically recorded.
(c) Each party shall have the right to:
(1) Call and examine parties and witnesses.
(2) Introduce exhibits.
(3) Question opposing witnesses and parties on any matter relevant to the issue even though the matter was not covered in the direct examination.
(4) Impeach any witness regardless of which party first called the witness to testify.
(5) Rebut the evidence against him.
(d) The provider shall not be called to testify during presentation of the Department's prima facie case pursuant to subsection (i). A provider who thereafter fails to testify, in the provider's behalf, may be called and examined by the Department as if under examination.
(e) The formal hearing need not be conducted according to technical rules relating to evidence and witnesses.
(1) Relevant evidence, including hearsay, shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions.
(2) Hearsay evidence shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions.
(3) The rules of privilege shall be effective to the same extent that they are now or hereafter may be recognized in civil actions and irrelevant and unduly repetitious evidence shall be excluded.
(f) The following additional exception to the “best evidence” rule (Evidence Code Section 1500) applies:
(1) A duplicate is admissible to the same extent as an original unless:
(A) A genuine question is raised as to the authenticity of the original or the duplicate.
(B) It would be unfair to admit the duplicate in lieu of the original.
(g) A hearing officer may question any party or witness and may admit any relevant and material evidence.
(h) The hearing officer shall control the taking of evidence in a manner best suited to ascertain the facts ad safeguard the rights of the parties. Prior to taking evidence, the hearing officer shall set forth the order in which evidence will be received.
(i) The Department shall present its audit findings and evidence first at the hearing. The Department has the burden of proof of demonstrating, by a preponderance of the evidence, that the audit findings were correctly made. Once the Department has presented such a prima facie case, the burden of proof shifts to the provider to demonstrate, by a preponderance of the evidence, that the provider's position regarding disputed issues is correct.
(j) The burden of producing evidence as to a particular fact is on the party against whom a finding on that fact would be required in the absence of further evidence.
(k) The hearing shall be conducted in the English language. The proponent of any testimony to be offered by a witness who does not speak the English language proficiently shall provide an interpreter, approved by the hearing officer, proficient in the English language and the language in which the witness will testify, to serve as interpreter during the hearing. The cost of the interpreter shall be paid by the party providing the interpreter.
NOTE

Authority cited: Sections 14105, 14124.5, and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51038. Official Notice.
Note

(a) The hearing officer shall take official notice of those matters which must be judicially noticed by a court under Section 451 of the Evidence Code. The hearing officer may take official notice of those matters set forth in Section 452 of the Evidence Code.
(b) Parties present at the formal hearing shall be informed of the matters to be noticed, and those matters shall be noted in the record, referred to therein, or appended thereto.
(c) Each party shall be given a reasonable opportunity on request to refute the officially noticed matters by evidence or by written or oral presentation of authority, the manner of such refutation to be determined by the hearing officer.
NOTE

Authority cited: Sections 14105, 14124.5, and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51039. Continued or Further Hearings.
Note

(a) A hearing officer may continue a formal hearing to another time or place if deemed advisable or upon request and a showing of good cause.
(1) Written notice of the time and place of the continued formal hearing, except as provided herein, shall be in accordance with this article.
(2) Oral notice of the time and place of the continued formal hearing may be given to each party present at the formal hearing. Such oral notice shall be confirmed in writing by the hearing officer subsequent to the formal hearing.
(b) The hearing officer may order a further formal hearing prior to the decision, if the hearing officer deems advisable or on a showing of good cause. Notice shall be given in accordance with Section 51025.
NOTE

Authority cited: Sections 14105, 14124.5, and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51040. Evidence.
Note     •     History

(a) In Non-institutional provider cases, notwithstanding any other provision of these regulations, and unless otherwise ordered by the assigned Administrative Law Judge, the parties shall:
(1) Not less than ten (10) calendar days prior to the pretrial conference, file a list of all documents and other items to be offered into evidence at the formal hearing, except for impeachment or rebuttal, with a brief statement following each document describing its substance or purpose and the identity of the sponsoring witness.
(2) Not less than seven (7) calendar days prior to the date on which the formal hearing is scheduled to commence, exchange copies of all documents and other items to be offered into evidence at the formal hearing other than for impeachment or rebuttal. Each proposed exhibit shall be premarked for identification.
(3) Prior to the commencement of the formal hearing, any party proposing to object to the receipt in evidence of any proposed exhibit shall advise the opposing party of such objection. The parties shall confer with respect to any objections in advance of the formal hearing and attempt to resolve them. Failure to comply with the requirements of (1) or (2) above shall constitute a ground for objection to the introduction of undisclosed documents and other items, into evidence other than for impeachment or rebuttal.
(b) In all cases, the hearing officer, in order to obtain additional evidence necessary for the proper determination of the case, may:
(1) Continue the formal hearing and hold the record open for either party to produce additional evidence.
(2) Close the hearing and hold the record open in order to permit the introduction of additional documentary evidence. Any material submitted after the close of the formal hearing shall be made available to both parties and each party shall have the opportunity for rebuttal.
(3) Order a further formal hearing if the nature of the additional evidence or the refutation thereof makes a further hearing desirable.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-11-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 41).
§51041. Representation at a Formal Hearing.
Note     •     History

(a) A hearing officer or hearing auditor may refuse to allow any person to represent a party in any hearing when the person:
(1) Engages in unethical, disruptive or contemptuous conduct.
(2) Intentionally fails to comply with the proper instructions or orders of the hearing officer or hearing auditor or the provisions of this article.
(b) This section shall not be construed to limit the right of a party or its representative to make evidentiary and procedural objections and state the reasons therefor.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51042. Oral Argument and Briefs.
Note

(a) The hearing officer shall grant oral and may grant written argument at the request of any party made prior to the close of the formal hearing. The parties shall be advised as to the time and manner within which written argument is to be filed.
(b) The hearing officer may require any party to submit written memoranda pertaining to any or all issues raised in the formal hearing.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51043. Disqualification of Hearing Officer.
Note     •     History

(a) A hearing officer shall voluntarily withdraw from any proceedings in which the hearing officer:
(1) Cannot give a fair or impartial hearing.
(2) Has an interest.
(b) A party may request the disqualification of a hearing officer by filing an affidavit stating in detail the grounds upon which it is claimed that a fair and impartial hearing cannot be given or that the hearing officer has an interest in the proceeding. The hearing officer shall immediately present the affidavit to the Chief Counsel of the Department who shall:
(1) Investigate the allegations and advise the complaining party in writing of the decision granting or denying the request to disqualify the hearing officer. A copy of the decision shall be mailed to the other parties. Or
(2) Reassign the case to another hearing officer without investigation.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutons Code.
HISTORY

1. Amendment of subsection (b)(1) filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51044. Decision.
Note

(a) The hearing officer shall take the matter under submission at the conclusion of the hearing. A proposed decision, in a form that may be adopted as the decision of the Director, shall be submitted to the Director as soon as practical. A copy of the proposed decision, upon submission to the Director, shall be:
(1) Filed by the Department as a public record.
(2) Served by the Department on each party in the case and each party's representative.
(b) The Director may:
(1) Adopt the proposed decision without reading or hearing the record.
(2) Reject the proposed decision and have a decision prepared based upon the documentary and electronically recorded record, with or without taking additional evidence. The Director shall decide no case provided for in this paragraph without affording the parties the opportunity to present either oral or written argument.
(3) Refer the matter to the hearing officer to take additional evidence. If the case is so assigned, the hearing officer shall prepare a proposed decision as provided in subsection (a), upon the additional evidence and the documentary and electronically recorded record of the prior hearing. A copy of such proposed decision shall be furnished to each party and each party's representative as prescribed in subsection (a).
(c) The decision shall be final upon adoption by the Director. Copies of the decision of the Director shall be mailed by certified mail to the designated representative of the provider.
(d) A dismissal may be issued if a provider fails to appear at a formal hearing. A copy of such dismissal shall be mailed to each party together with a statement of the provider's right to reopen the hearing.
(e) The Director may vacate any dismissal if the provider makes application in writing, within ten calendar days after personal service or receipt of such dismissal, showing good cause for failure to appear at the hearing. Lack of good cause shall be inferred if a continuance of the formal hearing is not requested promptly upon discovery of the reasons for failure to appear at the hearing.
(f) If a party to a formal hearing other than the provider fails to appear at a hearing and the hearing officer issues a decision on the merits adverse to that party's interests, the decision shall be accompanied by a statement of the party's right to make application to vacate the decision. The application may be in writing and shall be made within ten calendar days after personal service or mailing of the decision. Upon a showing of good cause for failure to appear at the hearing, the Director may issue an order to vacate the decision and the matter may be set for further hearing. Lack of good cause will be inferred when a continuance of the hearing was not requested promptly upon discovery of the reasons for failure to appear at the hearing.
(g) The parties shall be given written notice of an order granting or denying any application to vacate a decision.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
§51045. Reconsideration.
Note     •     History

(a) The Department may order a reconsideration of all or part of the case on its own motion or on petition of any party. The power to order a reconsideration shall expire 30 calendar days after delivery or mailing of a decision to the provider. The Department may grant a stay of expiration of its power to order reconsideration:
(1) for up to 30 days for the purpose of enabling a party to file a petition for reconsideration; or
(2) for up to 10 days when needed solely for the purpose of considering a petition filed prior to expiration of its power to order reconsideration.
The petition of a party shall be deemed denied if the Department takes no action within the time allowed for ordering reconsideration.
(b) The case may be:
(1) Reconsidered by the Department on all the pertinent parts of the records and such additional evidence and arguments as may be permitted.
(2) Assigned to a hearing officer for further written or oral hearing.
(c) The decision for a reconsideration assigned to a hearing officer shall be subject to the procedure provided in section 51044.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect amending subsection (a) filed 10-4-90 pursuant to section 100, title 1, California Code of Regulations (Register, No. 45).
§51046. Judicial Review.
Note     •     History

NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Section 14171, Welfare and Institutions Code.
HISTORY

1. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51047. Recovery of Overpayments.
Note     •     History

(a) When it is established upon audit that an overpayment has been made to a provider, the Department shall begin liquidation of any overpayment to a provider 60 days after issuance of the first Statement of Accountability or demand for repayment. The demand for repayment or Statement of Accountability shall be issued no later than 60 days after the issuance of the audit or examination report establishing such overpayment. The overpayment shall be recovered by any of the following methods:
(1) Lump sum payment by the provider.
(2) Offset against current payments due to the provider.
(3) A repayment agreement executed between the provider and the Department.
(4) Any other method of recovery available to and deemed appropriate by the Director.
(b) An offset against current payments shall continue until one of the following occurs:
(1) The overpayment is recovered.
(2) The Department enters into an agreement with the provider for repayment of overpayment.
(3) The Department determines, as a result of proceedings under this article, that there is no overpayment.
(c) The provider shall pay interest at the rate of seven percent per annum on any unrecovered overpayment in all cases where the statement of account status was issued before June 28, 1981. In all other cases, the provider shall pay interest as provided by Welfare and Institutions Code Section 14171(f).
(d) Nothing in this section shall prohibit a provider from repaying all or a part of the disputed overpayment without prejudice to his right to a hearing under this article.
(e) Any recovered overpayment that is subsequently determined to have been erroneously collected shall be promptly refunded to the provider, together with interest computed at the legal rate of seven percent per annum from the date of such liquidation or 60 days after issuance of the audit or examination findings, whichever is later. The provisions of this paragraph shall apply only to those overpayments determined by audit reports issued after April 6, 1976 and before June 28, 1981. In all other cases, interest shall be paid in accordance with the provisions of Sections 14171(e) and 14172.5, Welfare and Institutions Code.
(f) As used in this section, “Statement of Account Status” also includes statement of accountability or demand for repayment.
NOTE

Authority cited: Sections 14105, 14124.5 and 14171, Welfare and Institutions Code. Reference: Sections 14171, 14171.5 and 14172.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-15-82 as an emergency; effective upon filing (Register 82, No. 38). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-13-83.
2. Certificate of Compliance transmitted to OAL 1-13-83 and filed 2-16-83 (Register 83, No. 8).
3. Editorial correction of NOTE filed 12-13-84 (Register 84, No. 50).
4. Amendment filed 9-17-85; effective thirtieth day thereafter (Register 85, No. 38).
5. Editorial correction of subsection (f) (Register 95, No. 45).
6. Change without regulatory effect amending subsection (a) filed 5-24-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 22).
§51048. Administrative Review of Performance Under Selective Provider Contracts.
Note     •     History

(a) As an alternative to judicial review pursuant to Welfare and Institutions Code Section 14087.27(a), administrative review of disputes between a contracting hospital and the state relating to performance under the Selective Provider Contracting Program shall be heard by an independent hearing examiner appointed by the Director of the Department of Health Services.
(b) The independent hearing examiner shall conduct an administrative hearing and render a proposed decision to be adopted by the Director pursuant to the applicable procedural requirements of Article 1.5, Provider Audit Appeals (Sections 51016-51047) with the following exceptions:
(1) There shall be no exit conference or informal hearings.
(2) All references to a hearing officer shall apply to the independent hearing examiner appointed by the Director pursuant to Welfare and Institutions Code Section 14087.27.
NOTE

Authority cited: Sections 14124.5 and 14082, Welfare and Institutions Code; Section 57, Chapter 328, Statutes of 1982; and Chapter 1594, Statutes of 1982. Reference: Section 14087.27, Welfare and Institutions Code.
HISTORY

1. New section filed 10-8-82 as an emergency; effective upon filing (Register 82, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-5-83.
2. Certificate of Compliance transmitted to OAL 12-31-82 and withdrawn 1-28-83 (Register 83, No. 12).
3. New section refiled 1-28-83 as an emergency; effective upon filing (Register 83, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-28-83.
4. Certificate of Compliance transmitted to OAL 5-26-83 and filed 6-30-83 (Register 83, No. 27).
5. Editorial correction of subsection (b) (Register 95, No. 45).
Article 1.6. Skilled Nursing Facility and Intermediate Care Facility Certification Appeals Procedure
§51048.1. Limitations.
Note     •     History

(a) A skilled nursing and/or intermediate care facility Medi-Cal provider may, in accordance with the regulations contained in Sections 51048.2 through 51048.8, appeal the decision of the Department that a facility is not qualified to participate in the Medi-Cal program.
(b) The Department in rendering its determination shall set forth the pertinent facts and conclusions upon which the determination is made, and shall notify the provider of its right to appeal under subdivision (a).
(c) The effective date of a determination rendered under this article is as follows:
(1) A determination not to renew a certification is effective on the date the existing certification actually expires.
(2) A determination to deny a certification is effective upon the receipt of the determination by the provider, except, if the provider files a request for reconsideration under Section 51048.3, the determination shall be effective upon receipt of the reconsidered determination by the provider.
(d) These appeal processes are only available to Medi-Cal providers of skilled nursing facilities who do not participate in the Medicare program. Providers who participate in both Medi-Cal and Medicare may appeal certification decisions to the Department of Health and Human Services in accordance with 42 CFR, 405.1501 et seq. A final decision rendered pursuant to 42 CFR 405.1501 et seq. is binding for purposes of Medi-Cal participation.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14100.1, Welfare and Institutions Code.
HISTORY

1. New Article 1.6 (Sections 51048.1-51048.8) filed 7-31-85; effective thirtieth day thereafter (Register 85, No. 31).
§51048.2. Right to a Reconsideration.
Note     •     History

(a) A skilled nursing and/or intermediate care facility provider who disagrees with a determination that the skilled nursing or intermediate care facility does not qualify as a provider of services in the Medi-Cal program may, in accordance with Section 51048.3, request that the Department reconsider that decision.
(b) The reconsideration of a nonrenewal of an existing provider agreement shall be completed prior to the end of the certification period.
(c) The reconsideration of a denial of an initial application for certification shall be made within 30 days of the receipt of the request for a reconsideration.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14100.1, Welfare and Institutions Code.
HISTORY

1. Editorial correction of subsection (a) (Register 95, No. 45).
§51048.3. Request for Reconsideration.
Note

(a) If a provider or authorized representative of the provider requests a reconsideration, the request shall be filed within 15 days after the date of receipt of notice of the determination that the provider does not qualify as a Medi-Cal provider. The request shall be filed with the Director of the Department of Health Services or the designee authorized to accept such requests.
(b) A request for reconsideration shall:
(1) Be in writing.
(2) State the reasons upon which the provider disagrees with the determination.
(3) Include relevant evidence.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14100.1, Welfare and Institutions Code.
§51048.4. Reconsidered Determination.
Note

(a) The Department shall review each request for reconsideration that is filed in accordance with Section 51048.2. The Department shall reconsider the determination and the reasons on which it was based. The Department shall issue, within 30 days of the receipt of the request, a reconsidered determination affirming, revising, in whole or in part, or reversing the determination.
(b) The reconsidered determination shall be based upon the evidence considered in making the original determination and any other evidence submitted by the provider and verified by the Department.
(c) The written reconsidered determination shall be mailed to the provider or his authorized representative. The reconsidered determination shall:
(1) Contain the reason or reasons for affirming, revising or reversing the determination.
(2) Inform the provider of the right to a full evidentiary hearing.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14100.1, Welfare and Institutions Code.
§51048.5. Right to Full Evidentiary Hearing.
Note

(a) A skilled nursing facility or intermediate care facility provider which disagrees with the Department's reconsidered determination that the skilled nursing facility or intermediate care facility does not qualify as a provider of services in the Medi-Cal program may, by complying with Section 51048.6 request a full evidentiary hearing or the providermay by-pass the informal reconsideration process and appeal the Department's decision directly to the evidentiary hearing process.
(b) The hearing shall provide an opportunity for the provider to:
(1) Appear before an impartial hearing officer to offer evidence to rebut the Department's determination concerning the provider's ability to render services in the Medi-Cal program.
(2) Be represented by counsel or another representative.
(3) Be heard in person.
(4) Call witnesses.
(5) Present oral and documentary evidence.
(6) Cross-examine witnesses.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14100.1, Welfare and Institutions Code.
§51048.6. Request for a Full Evidentiary Hearing.
Note

(a) A request for a full evidentiary hearing shall be made in writing and signed by the provider or authorized representative of the skilled nursing facility or intermediate care facility concerned. The request shall be filed:
(1) With the Director, Department of Health Services, or the designee authorized to accept such requests.
(2) Within 15 days after the date the notice of the determination or reconsidered determination is received by the provider.
(b) A request for hearing shall contain:
(1) A statement as to the specific issues in the preceding determination with which the provider disagrees.
(2) The basis for provider's contention that the determination is incorrect.
(c) The provider or authorized representative of the skilled nursing facility or intermediate care facility shall bear sole responsibility for filing the request for full evidentiary hearing.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14100.1, Welfare and Institutions Code.
§51048.7. Full Evidentiary Hearing.
Note

(a) The Department, within 30 days following receipt of a request for a full evidentiary hearing submitted in accordance with Section 51048.6, shall:
(1) Mail notification of the time and place of the hearing to the provider or the provider's authorized representative.
(2) Appoint an impartial hearing officer.
(b) The written decision of the hearing officer shall be mailed to the provider or provider's authorized representative within 30 days of the hearing and shall:
(1) Contain reasons for the decision.
(2) State evidence upon which the decision is based.
(3) Inform the provider of the right to judicial review in accordance with Section 1094.5, Code of Civil Procedure.
(c) The evidentiary hearing shall be held either before or within 90 days after the effective date of the nonrenewal or denial.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14100.1, Welfare and Institutions Code.
§51048.8. Termination of a Provider.
Note

(a) The Department may terminate certification of a skilled nursing facility or intermediate care facility provider prior to the expiration date of the certification upon those grounds specified in Welfare and Institutions Code, Section 14123, for the suspension and temporary suspension of a provider from the medical assistance program or as specified in subdivision (b).
(b) A final decision which terminates the certification of a skilled nursing facility or intermediate care facility provider prior to the expiration date of the certification which is entered under the Medicare review procedures specified in Section 51048.1 is binding and effective immediately for purposes of Medi-Cal participation and such final decision shall constitute a finding that the termination is necessary to protect the public welfare or the interest of the medical assistance program.
(c) Proceedings to terminate a certification shall be conducted according to Government Code, Section 11500, et seq.
NOTE

Authority cited: Sections 10725 and 14124.6, Welfare and Institutions Code. Reference: Section 14123, Welfare and Institutions Code.
§51048.9. Remedies Other Than Termination.
Note     •     History

(a) The Department may impose a remedy other than or in addition to termination of a provider as provided in Section 1919(h)(2) of the Social Security Act. (Section 1396r(h)(2) of Title 42 of the United States Code).
(b) In deciding what remedy to impose, the Department shall select the remedy using the factors and standards contained in subpart F (commencing with section 488.400) of part 488 of subchapter E of chapter IV of Title 42 of the Code of Federal Regulations.
(c) The provisions of this Article shall apply to facility appeals of remedies other than termination.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14100.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-18-96 as an emergency; operative 7-18-96 (Register 96, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-15-96 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-18-96 order transmitted to OAL 11-14-96 and filed 12-31-96 (Register 97, No. 1).
Article 2. Definitions
§51050. Health Care Financing Administration's Common Procedure Coding System.
Note     •     History

Health Care Financing Administration's Common Procedure Coding System (HCPCS) means a coded listing and description of health care services and items prepared and updated annually by theU.S. Health Care Financing Administration. HCPCS consists of the Physicians' Current Procedural Terminology (CPT), published by the American Medical Association, and other codes and descriptions authorized by the Health Care Financing Administration to describe services and items not contained in the CPT. HCPCS is used by all Medicare and Medicaid Programs nationwide to identify and describe covered benefits under their respective programs. To the extent not elsewhere adopted in these regulations, HCPCS, and each of its subsequent updates, is herein incorporated by reference into these regulations.
EDITORIAL NOTE: Pursuant to the provisions of Title 1 of the California Administrative Code, Section 20, this regulation is not printed in full herein. The Health Care Financing Administration's Common Procedure Coding System, and each of its annual updates, may be examined at the Department of Health Services, Benefits Branch, 714 P Street, Sacramento. It is published in two separate documents. Copies of the HCPCS Level II Code Book can be purchased from St. Anthony Publishing, Inc., P.O. Box 96561, Washington, DC 20090. Copies of the CPT can be purchased from the American Medical Association by calling 800-621-8335.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 433.123, Title 42, Code of Federal Regulations.
HISTORY

1. Editorial correction renumbering former Section 50025.6 to Section 51050 filed 12-20-83 (Register 83, No. 52). For prior history, see Registers 83, No. 48 and 83, No. 26.
2. Repealer and new section filed 10-1-87; operative 10-31-87 (Register 87, No. 41).
3. Amendment of section heading and section filed 7-28-97 as an emergency; operative 7-28-97 (Register 97, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-25-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-28-97 order transmitted to OAL 11-19-97 and filed 1-6-98 (Register 98, No. 2).
§51051. Provider.
Note     •     History

(a) “Provider” means any individual, partnership, group, association, corporation, institution, or entity, and the officers, directors, owners, managing employees, or agents of any partnership, group association, corporation, institution, or entity, that provides services, goods, supplies, or merchandise, directly or indirectly, to a Medi-Cal beneficiary, and that has been enrolled in the Medi-Cal program. 
(b) Providers include, but are not limited to: 
Acupuncturists 
Audiologists 
Blood Banks 
Child Health and Disability Prevention Providers 
Chiropractors 
Christian Science Facilities 
Christian Science Practitioners 
Clinical Laboratories or Laboratories 
Comprehensive Perinatal Providers 
Dental School Clinics 
Dentists 
Dispensing Opticians 
Durable Medical Equipment and Medical Supply Providers
Early and Periodic Screening, Diagnosis and Treatment (EPSDT) Providers 
EPSDT Supplemental Services Providers 
Fabricating Optical Laboratory 
Hearing Aid Dispensers 
Home Health Agencies Hospices 
Hospital Outpatient Departments 
Hospitals 
Intermediate Care Facilities 
Intermediate Care Facilities for the Developmentally Disabled 
Licensed Midwife
Local Educational Agency Providers
Nurse Anesthetists 
Nurse Midwives 
Nurse Practitioners 
Nursing Facilities 
Occupational Therapists 
Ocularists Optometrists 
Orthotists 
Organized Outpatient Clinics 
Outpatient Heroin Detoxification Providers 
Personal Care Service Providers 
Pharmacies/Pharmacists 
Physical Therapists 
Physicians 
Podiatrists 
Portable X-ray Services 
Prosthetists 
Providers of Medical Transportation 
Psychologists Rehabilitation 
Centers Renal Dialysis Centers and Community Hemodialysis Units 
Respiratory Care Practitioners 
Rural Health Clinics 
Short-Doyle Medi-Cal Providers 
Skilled Nursing Facilities 
Speech Therapists 
Targeted Case Management Providers
NOTE

Authority cited: Sections 10725, 14043.75, 14100.1, 14015 and 14124.5, Welfare and Institutions Code; Section 87, Chapter 1594, Statutes of 1982; and Section 13, Chapter 502, Statutes of 1990. Reference: Sections 14043, 14043.1, 14043.15, 14043.26, 14043.27, 14043.36, 14100.1, 14105, 14105.3, 14115.6, 14124.5, 14132, 14132.39, 14132.4, 14132.44 and 14134.5, Welfare and Institutions Code; Section 33, Chapter 456, Statutes of 1990; Section 1250(k), Health and Safety Code; Section 1206, Business and Professions Code; and Title 42 United States Code, Section 263a.
HISTORY

1. Amendment of subsection (b) filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88. For prior history, see Register 87, No. 38.
2. Certificate of Compliance transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
3. Amendment filed 11-28-88 as an emergency; operative 11-28-88 (Register 89, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-28-89.
4. Certificate of Compliance as to 11-28-88 order transmitted to OAL 3-27-89 and filed 4-26-89 (Register 89, No. 18).
5. Amendment of subsection (b) filed 10-1-90 as an emergency; operative 10-1-90 (Register 90, No. 45). A Certificate of Compliance must be transmitted to OAL by 1-29-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-1-90 order transmitted to OAL 1-29-91 and filed 2-28-91 (Register 91, No. 13).
7. Amendment of subsection (b) filed 5-24-91 as an emergency; operative 5-24-91 (Register 91, No. 26). A Certificate of Compliance must be transmitted to OAL by 9-23-91 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (b) filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
9. Amendment of subsection (b) adding Local Educational Agency Providers filed 12-22-93 as an emergency; operative 12-22-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-22-94 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsection (b) and Note filed 1-20-94 as an emergency; operative 1-20-94 (Register 94, No. 3).  A Certificate of Compliance must be transmitted to OAL by 5-20-94 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (b) adding Early and Periodic Screening, Diagnosis and Treatment, and Supplemental EPSDT Providers filed 4-4-94 as an emergency; operative 4-4-94 (Register 94, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-94 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 12-22-93 order transmitted to OAL 4-20-94 and filed 6-2-94 (Register 94, No. 22).
13. Certificate of Compliance as to 1-20-94 order transmitted to OAL 5-19-94 and filed 7-1-94 (Register 94, No. 26).
14. Amendment of subsection (b) adding Early and Periodic Screening, Diagnosis and Treatment and Supplemental EPSDT Providers refiled 8-1-94 as an emergency; operative 8-1-94 (Register 94, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-29-94 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsection (b) adding Early and Periodic Screening, Diagnosis and Treatment and Supplemental EPSDT Providers refiled 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-21-95 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsection (b) adding Early and Periodic Screening, Diagnosis and Treatment and Supplemental EPSDT Providers refiled 2-22-95; operative 2-22-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-22-95 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 2-22-95 order including amendment of section transmitted to OAL 3-16-95 and filed 4-27-95 (Register 95, No. 17).
18. Amendment of subsection (b) and Note filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
19. Amendment of subsection (b) and Note refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
20. Editorial correction of History 19 (Register 97, No. 15).
21. Reinstatement of subsection (b) and Note as they existed prior to emergency amendment filed 7-1-96 by operation of Government Code section 11346.1(f) (Register 97, No. 15).
22. Amendment of subsection (b) and Note filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
23. Amendment of subsection (b) filed 6-23-97; operative 7-23-97 (Register 97, No. 26).
24. Amendment of subsection (b) filed 8-10-99 as an emergency; operative 8-10-99 (Register 99, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-8-99 or emergency language will be repealed by operation of law on the following day.
25. Amendment of section heading, section and Note filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
26. Amendment of section heading, section and Note refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
27. Certificate of Compliance as to 8-10-99 order transmitted to OAL 12-7-99 and filed 1-14-2000 (Register 2000, No. 2).
28. Amendment of section heading, section and Note refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
29. Amendment of section heading, section and Note refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
30. Amendment of subsection (b) and amendment of Note filed 10-24-2000 as an emergency and submitted to OAL for printing only pursuant to Section 78, Chapter 146, Statutes of 1999; operative 10-24-2000 (Register 2000, No. 43). A Certificate of Compliance must be transmitted to OAL by 4-23-2001 or emergency language will be repealed by operation of law on the following day.
31. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
32. Editorial correction of History 30 (Register 2001, No. 14). 
33. Amendment of subsection (b) and amendment of Note refiled 4-4-2001 as an emergency and submitted to OAL for printing only pursuant to Section 78, Chapter 146, Statutes of 1999; operative 4-4-2001 (Register 2001, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2001 or emergency language will be repealed by operation of law on the following day.
34. Certificate of Compliance as to 4-4-2001 order transmitted to OAL 7-31-2001 and filed 9-5-2001 (Register 2001, No. 36).
35. Amendment of subsection (b) and amendment of Note filed 9-3-2004; operative 10-3-2004 (Register 2004, No. 36).
36. Amendment of subsection (a) and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
37. Amendment of subsection (a) and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
38. Amendment of subsection (a) and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
39. Certificate of Compliance as to 6-2-2005 order, including further amendment of subsection (a), transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51052. Blood Bank.
Note     •     History

“Blood bank” means a facility that collects, stores, and distributes human blood and blood derivatives.
NOTE

Authority cited: Sections 10725 and 14105, Welfare and Institutions Code. Reference: Section 14132(g), Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Certificate of Compliance filed 1-8-76 (Register 76, No. 2).
3. Charge without regulatory effect adding NOTE (Register 86, No. 49).
§51053. Physician.
Note     •     History

“Physician” means a doctor of medicine or osteopathy.
NOTE

Authority cited: Sections 10725 and 14105, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Sections 51053 and 51055 refiled 6-5-67; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51055. Physicians' Services.
Note     •     History

“Physicians' services” means professional services performed or provided by physicians, including, but not limited to, surgery, anesthesiology, radiology, consultations, and home, office and institutional calls.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132(a), Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51056. Emergency Services.
Note     •     History

(a) Except as provided in subsection (b), “emergency services” means those services required for alleviation of severe pain, or immediate diagnosis and treatment of unforeseen medical conditions, which, if not immediately diagnosed and treated, would lead to disability or death.
(b) For purposes of providing treatment of an emergency medical condition to otherwise eligible aliens pursuant to Welfare and Institutions Code Section 14007.5(d), “emergency medical condition” means a medical condition (including emergency labor and delivery) manifesting itself by acute symptoms of sufficient severity, including severe pain, such that the absence of immediate medical attention could reasonably be expected to result in any of the following:
(1) Placing the patient's health in serious jeopardy.
(2) Serious impairment to bodily functions.
(3) Serious dysfunction of any bodily organ or part.
(c) Emergency services are exempt from prior authorization, but must be justified according to the following criteria:
(1) Any service classified as an emergency, which would have been subject to prior authorization had it not been so classified, must be supported by a physician's, podiatrist's, dentist's, or pharmacist's statement which describes the nature of the emergency, including relevant clinical information about the patient's condition, and states why the emergency services rendered were considered to be immediately necessary. A mere statement that an emergency existed is not sufficient. It must be comprehensive enough to support a finding that an emergency existed. Such statement shall be signed by a physician, podiatrist, dentist, or pharmacist who had direct knowledge of the emergency described in this statement.
(A) The provision for pharmacist certification of emergency services shall pertain only to the dispensing of drugs.
(2) The Department may impose postservice prepayment audit as set forth in Section 51159(b), to review the medical necessity of emergency services provided to beneficiaries. The Department may require providers to follow the procedures for obtaining authorization on a retroactive basis as the process for imposing postservice prepayment audits. Requests for retroactive authorization of emergency services must adequately document the medical necessity of the services and must justify why the services needed to be rendered on an emergency basis.
(d) Program limitations set forth in Sections 51304 and 51310 are not altered by this section.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; Section 57(c), Chapter 328, Statutes of 1982; and Section 147, Chapter 722, Statutes of 1992. Reference: Sections 14007.5, 14059, 14103.6, 14132, 14133 and 14133.1, Welfare and Institutions Code; and Title 42, United States Code, Section 1396b(v)(3).
HISTORY

1. Amendment of subsections (a) and (b) and new subsection (c) filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For prior history, see Register 72, No. 5.
2. Amendment of subsection (b) filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5).
3. Amendment of subsection (b) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
4. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-3-83 (Register 83, No. 6).
5. Change without regulatory effect of NOTE (Register 86, No. 49).
6. Amendment of subsection (a), new subsections (b)-(b)(3), and subsection relettering filed 4-12-93; operative 4-12-93. Submitted to OAL for printing only pursuant to SB 485, section 147 (Register 93, No. 16).
7. Amendment of subsection (c)(1) and new subsection (c)(1)(A) filed 8-7-95 as an emergency; operative 8-7-95 (Register 95, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-5-95 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-7-95 order transmitted to OAL 11-30-95 and filed 1-11-96 (Register 96, No. 2).
§51056.1. Experimental Services.
Note     •     History

(a) Experimental services means those drugs, equipment, procedures or services that are in a testing phase undergoing laboratory and/or animal studies prior to testing in humans.
(b) Investigational services means those drugs, equipment, procedures or services for which laboratory and animal studies have been completed and for which human studies are in progress but:
(1) Testing is not complete; and
(2) The efficacy and safety of such services in human subjects are not yet established; and
(3) The service is not in wide usage.
(c) The determination that a service is experimental or investigational is based on:
(1) Reference to relevant federal regulations, such as those contained in Title 42, Code of Federal Regulations, Chapter IV (Health Care Financing Administration) and Title 21, Code of Federal Regulations, Chapter I (Food and Drug Administration);
(2) Consultation with provider organizations, academic and professional specialists pertinent to the specific service;
(3) Reference to current medical literature.
NOTE

Authority cited: Sections 10725, 14105, 14105.44, and 14124.5, Welfare and Institutions Code. Reference: Sections 14059, 14105.44, 14124.5, 14132 and 14133.3, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For history of prior section, see Register 71, No. 44.
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
3. Amendment filed 12-18-87 as an emergency; operative 12-18-87 (Register 88, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-18-88.
4. Certificate of Compliance including amendment of subsections (b) and (c) transmitted to OAL 4-14-88 and filed 5-16-88 (Register 88, No. 21). 
§51056.2. Unlabeled Use of Drugs.
Note     •     History

Unlabeled use of drugs means the use of an already marketed drug for a clinical indication not listed in the approved labeling of the drug by the U.S. Food and Drug Administration.
NOTE

Authority cited: Sections 10725, 14105, 14105.44 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059, 14105.44 and 14132, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance as to 12-18-87 order including new section transmitted to OAL 4-14-88 and filed 5-16-88; operative 5-16-88 (Register 88, No. 21).
§51057. Dentist.
Note     •     History

“Dentist” means a doctor of dental surgery (D.D.S.), dental medicine (D.M.D.), or dental science (D.D.Sc.).
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Sections 51057, 51059, 51061, 51063, 51065, 51067, 51069 and 51071 refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51059. Dental Services.
Note     •     History

“Dental services” means professional services performed or provided by dentists including diagnosis and treatment of malposed human teeth, of disease or defects of the alveolar process, gums, jaws and associated structures; the use of drugs, anesthetics and physical evaluation; consultations; home, office and institutional calls.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132(h), Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-25-67 as an emergency; designated effective 9-1-67 (Register 67, No. 34).
2. Original section refiled 12-28-67 as an emergency; designated effective upon filing, and with an effective date of 9-1-67 (Register 67, No. 52). Certificate of Compliance included.
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51060. Dental School Clinic.
Note     •     History

“Dental school clinic” means an organized unit which, under the management of a dental school, provides dental services.
NOTE

Authority cited: Section 14105, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14133, 14133.1 and 14133.25, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51061. Emergency Dental Services.
History

HISTORY

1. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40). For prior history, see Register 67, No. 52.
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
§51063. Diagnostic Dental Services.
History

HISTORY

1. Repealer filed 8-25-67 as an emergency; designated effective 9-1-67 (Register 67, No. 34).
2. Original section refiled 12-28-67 as an emergency; designated effective upon filing, and with an effective date of 9-1-67 (Register 67, No. 52). Certificate of Compliance included.
3. Repealer filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
§51065. Restorative Dental Services.
History

HISTORY

1. Repealer filed 8-25-67 as an emergency; designated effective 9-1-67 (Register 67, No. 34).
2. Original section refiled 12-28-67 as an emergency; designated effective upon filing, and with an effective date of 9-1-67 (Register 67, No. 52). Certificate of Compliance included.
3. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
4. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
§51066. Orthodontic Dental Services.
History

HISTORY

1. New section filed 8-14-70; designated effective 9-15-70 (Register 70, No. 33).
2. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
§51067. Registered Nurse.
Note     •     History

“Registered nurse” means any person having a current license to practice in California issued by the Board of Registered Nursing.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14124.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51069. Licensed Vocational Nurse.
Note     •     History

Licensed Vocational Nurse means any person having a current license to practice vocational nursing in California issued by the Board of Vocational Nurse Examiners.
NOTE

Authority cited: Sections 10725, 14105 and 14124, Welfare and Institutions Code. Reference: Section 14124.5, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51070. Psychiatric Technician.
History

HISTORY

1. New section filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5).
2. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51071. Chiropractor.
Note     •     History

“Chiropractor” means a doctor of chiropractic.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51073. Chiropractic Services.
Note     •     History

Chiropractic services means services a chiropractor may perform under California laws limited to treatment involving manual manipulation of the spine.
NOTE

Authority cited: Sections 14053 and 14105, Welfare and Institutions Code. Reference: Section 14053, Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-23-67 as an emergency; effective upon filing (Register 67, No. 8).
2. Certificate of Compliance--Section 11422.1, Government Code--filed 4-12-67 (Register 67, No. 15).
3. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51074. Acupuncturist.
Note     •     History

“Acupuncturist” means a person who is trained in the theory and method of acupuncture.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 4-30-81; effective thirtieth day thereafter (Register 81, No. 18).
§51074.5. Acupuncture Services.
Note     •     History

“Acupuncture services” means the stimulation of a certain point or points on or near the surface of the body by the insertion of needles to prevent, modify or alleviate the perception of severe, persistent chronic pain resulting from a generally recognized medical condition.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 4-30-81; effective thirtieth day thereafter (Register 81, No. 18).
§51075. Podiatrist.
Note     •     History

“Podiatrist” means a doctor of surgical chiropody (D.S.C.), doctor of podiatric medicine (D.P.M.), doctor of surgical podiatry (D.S.P.), or doctor of podiatry (D.P. or Pod. D.).
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51077. Podiatry Services.
Note     •     History

“Podiatry Services” means services a podiatrist may perform under California laws.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51079. Physical Therapist.
Note     •     History

“Physical Therapist” means a person trained to practice physical therapy.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132(a), Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-23-67 as an emergency; effective upon filing (Register 67, No. 8).
2. Certificate of Compliance--Section 11422.1, Government Code--filed 4-12-67 (Register 67, No. 15).
3. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51081. Physical Therapy.
Note     •     History

“Physical therapy” means treatment prescribed by a physician, dentist or podiatrist of any bodily condition by the use of physical, chemical and other properties of heat, light, water, electricity or sound, and by massage and active, resistive or passive exercise.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 73, No. 5.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
§51082. Respiratory Care Practitioner.
Note     •     History

(a) A respiratory care practitioner is a person trained and licensed as specified in Business and Professions Code section 3700 et seq., while acting within the scope of practice for respiratory care providers authorized by California law, to provide therapy, management, rehabilitation, diagnostic evaluation, and care of patients with deficiencies and abnormalities which affect the pulmonary system and associated aspects of cardiopulmonary and other systems.
(b) Respiratory care practitioners must meet the standards for participation in the Medi-Cal program as specified in section 51225.5 to implement the written or verbal orders of a physician pertaining to the practice of respiratory care.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14509 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 6-23-97; operative 7-23-97 (Register 97, No. 26).
§51082.1. Respiratory Care Practitioner Services.
Note     •     History

(a) Respiratory care practitioner services means medically necessary services rendered within scope of practice of a respiratory care practitioner under the supervision of a physician for the therapy, management, rehabilitation, diagnostic evaluation, and care of patients with deficiencies, and abnormalities, which affect the pulmonary system and associated aspects of cardiopulmonary and other systems functions. These services include, but are not limited to:
(1) direct and indirect pulmonary care services;
(2) direct and indirect respiratory care procedures, including the administration of pharmacological, diagnostic, and therapeutic agents necessary to implement treatment, disease prevention, pulmonary rehabilitation, or diagnostic regimen prescribed by a physician and surgeon;
(3) observation and monitoring of signs and symptoms, general behavior and physiological responses to respiratory care treatment and diagnostic testing; and
(4) diagnostic and therapeutic services which may include:
(A) administration of medical gases (except general anesthetics), aerosols, humidification, and environmental control systems;
(B) pharmacologic agents related to respiratory care procedures;
(C) mechanical or physiological ventilatory support;
(D) bronchopulmonary hygiene;
(E) cardiopulmonary resuscitation;
(F) maintenance of natural airways;
(G) insertion without cutting tissues and maintenance of artificial airways;
(H) diagnostic and testing techniques required for implementation of respiratory care protocols; and
(I) collection and analysis of blood specimens, and specimens from the respiratory tract.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14509 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 6-23-97; operative 7-23-97 (Register 97, No. 26).
§51083. Occupational Therapist.
History

HISTORY

1. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51085. Occupational Therapy.
Note     •     History

“Occupational therapy” means services prescribed by a physician, dentist or podiatrist to restore or improve a person's ability to undertake activities of daily living when those skills are impaired by developmental or psycho-social disabilities, physical illness or advanced age.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
3. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
4. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
5. Change without regulatory effect of NOTE (Register 86, No. 49).
§51087. Dietitian.
History

HISTORY

1. Amendment filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5).
2. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51089. Dietitian's Services.
History

HISTORY

1. Repealer filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
§51090. Dispensing Optician.
Note     •     History

“Dispensing optician” means an individual or firm which fills prescriptions of physicians for prescription lenses and kindred products and fits and adjusts such lenses and spectacle frames. A dispensing optician is also authorized to act on the advice, direction and responsibility of a physician or optometrist in connection with the fitting of a contact lens or contact lenses.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51091. Optometrist.
Note     •     History

“Optometrist” means a doctor of optometry.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14060, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51093. Optometric Services.
Note     •     History

“Optometric Services” means any services an optometrist may perform under the laws of this state.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059, 14060 and 14132, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51094. Hearing Aid Dispenser.
Note     •     History

“Hearing aid dispenser” means a person engaged in the fitting or selling of hearing aids to an individual with impaired hearing.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For history of former section, see Register 72, No. 5.
2. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
§51094.1. Hearing Aid.
Note     •     History

Hearing aid means any aid prescribed as specified in Section 51319 for the purpose of aiding or compensating for impaired human hearing loss.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
4. Change without regulatory effect of NOTE (Register 86, No. 49).
§51095. Speech Pathologist.
Note     •     History

“Speech pathologist” means a person who performs procedures of identification, measurement and correction or modification of speech, voice or language disorders and conditions, and who does counseling related to such disorders and conditions.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For prior history, see Register 67, No. 23.
2. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
§51096. Speech Pathology Services.
Note     •     History

Speech pathology services mean services for the purpose of identification, measurement and correction or modification of speech, voice or language disorders and conditions, and counseling related to such disorders and conditions.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
4. Change without regulatory effect of NOTE (Register 86, No. 49).
§51097. Audiologist.
Note     •     History

“Audiologist” means a person who performs procedures of measurement, appraisal, identification and counseling related to hearing and disorders of hearing; provides rehabilitation services for the modification of communicative disorders resulting from hearing loss affecting speech, language and auditory behavior; and recommends and evaluates hearing aids.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
§51098. Audiological Services.
Note     •     History

“Audiological services” means services for: the measurement, appraisal, identification and counseling related to hearing and disorders of hearing; the modification of communicative disorders resulting from hearing loss affecting speech, language and auditory behavior; and the recommendation and evaluation of hearing aids.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
4. Change without regulatory effect of NOTE (Register 86, No. 49).
§51098.5. Sign Language Interpreter Services.
Note     •     History

“Sign language interpreter services” means those services specified in Section 51309.5, which are provided by a certified or non-certified interpreter, who meets the standards set forth in Section 51202.5, to facilitate effective communication between:
(a) a deaf or hearing-impaired Medi-Cal beneficiary and a Medi-Cal enrolled provider during the course of a medically necessary health care examination or other procedure, or
(b) a deaf or hearing impaired adult representative of the Medi-Cal beneficiary and a Medi-Cal enrolled provider when necessary to facilitate the provision of medically necessary health care services to the beneficiary, or
(c) a deaf or hearing impaired adult who receives services or training on behalf of the Medi-Cal beneficiary and the Medi-Cal enrolled provider when necessary to provide medically necessary health care services to the beneficiary.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14105, Welfare and Institutions Code. Reference: Section 54.1, Civil Code; Section 14000, Welfare and Institutions Code; 42 USC Sections 12101 et seq.; 28 CFR Sections 35.130(a) and (b); and 45 CFR Sections 84.4(a) and (b).
HISTORY

1. New section filed 8-21-2000 as an emergency; operative 8-21-2000 (Register 2000, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-21-2000 order transmitted to OAL 12-19-2000 and filed 2-2-2001 (Register 2001, No. 5).
3. Amendment of section and Note filed 8-7-2008; operative 9-6-2008 (Register 2008, No. 32).
§51099. Psychologist.
Note     •     History

“Psychologist” means a person trained in the assessment, treatment, prevention, and amelioration of emotional and mental health disorders.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-8-69; effective thirtieth day thereafter (Register 69, No. 19).
2. Amendment filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
4. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
5. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51100. Psychologist Services.
History

HISTORY

1. New section filed 6-23-66; effective upon filing; Certificate of Compliance included (Register 66, No. 19).
2. Repealer filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
§51101. Orthotist.
Note     •     History

“Orthotist” means a person who makes and fits orthopedic braces for the support of weakened body parts or the correction of body defects.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Sections 51101, 51103, 51105, 51107 and 51109 refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51102. Ocularist.
Note     •     History

“Ocularist” means a person who is trained to design, fabricate, and fit artificial eyes.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 7-23-87; operative 8-22-87 (Register 87, No. 31).
§51103. Prosthetist.
Note     •     History

“Prosthetist” means a person who makes and fits artificial limbs or other parts of the body.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51104. Durable Medical Equipment and Medical Supply Providers.
Note     •     History

“Durable Medical Equipment and Medical Supply Providers” means individuals or entities identified as assistive device and sickroom supply dealers in Welfare and Institutions Code, Section 14105.2 who furnish the following:
(a) Durable medical equipment, as defined in Section 51160.
(b) Medical supplies, covered in accordance with Section 51320 and reimbursed in accordance with Section 51520.
(c) Incontinence medical supplies, as defined in Section 14125.1 of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 10725, 14105, 14105.21 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14043.75, 14059, 14105.2 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
3. Amendment of section heading, section and Note filed 10-24-2000 as an emergency and submitted to OAL for printing only pursuant to Section 78, Chapter 146, Statutes of 1999; operative 10-24-2000 (Register 2000, No. 43). A Certificate of Compliance must be transmitted to OAL by 4-23-2001 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2001, No. 14). 
5. Amendment of section heading, section and Note refiled 4-4-2001 as an emergency and submitted to OAL for printing only pursuant to Section 78, Chapter 146, Statutes of 1999; operative 4-4-2001 (Register 2001, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-4-2001 order transmitted to OAL 7-31-2001 and filed 9-5-2001 (Register 2001, No. 36).
7. Amendment of first paragraph and amendment of Note filed 2-27-2003 as an emergency; operative 3-1-2003 (Register 2003, No. 9). Pursuant to statutes of 1999, chapter 146, section 78, a Certificate of Compliance must be transmitted to OAL by 8-28-2003 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of History 7 (Register 2003, No. 20).
9. Amendment of first paragraph and amendment of Note refiled 8-28-2003 as an emergency; operative 8-28-2003 (Register 2003, No. 35). Pursuant to statutes of 1999, chapter 146, section 78, a Certificate of Compliance must be transmitted to OAL by 2-24-2004 or emergency language will be repealed by operation of law on the following day.
10. Order of 8-28-2003 repealed by operation of law (Register 2004, No. 9).
11. Amendment of first paragraph, repealer of subsection (d) and amendment of Note filed 2-24-2004; operative 2-25-2004 (Register 2004, No. 9). Pursuant to section 14043.75(a) of the Welfare and Institutions Code, this filing is deemed an emergency and exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-24-2004 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 2-24-2004 order, including amendment of Note, transmitted to OAL 3-12-2004 and filed 4-26-2004 (Register 2004, No. 18).
§51104.1. Incontinence Medical Supply Dealer.
Note     •     History

“Incontinence Medical Supply Dealer” means any person, partnership, corporation, or other entity that is a retailer who maintains an inventory of and is an outlet for incontinence medical supplies, and who provides these supplies directly to the general public.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; and Section 36, Chapter 456, Statutes of 1990. Reference: Section 14132, Welfare and Institutions Code; and Section 33, Chapter 456, Statutes of 1990.
HISTORY

1. New section filed 5-24-91 as an emergency; operative 5-24-91 (Register 91, No. 26). A Certificate of Compliance must be transmitted to OAL by 9-23-91 or emergency language will be repealed by operation of law on the following day.
§51105. Pharmacist.
Note     •     History

“Pharmacist” means a doctor of pharmacy (Pharm.D.), Bachelor of Science in Pharmacy (B.S.), or a person trained to practice pharmacy in an accredited college of pharmacy or an approved apprentice program prior to 1937.
NOTE

Authority cited: Sections 14053 and 14105, Welfare and Institutions Code. Reference: Sections 14053 and 14059, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. New NOTE filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51106. Pharmacy.
Note     •     History

“Pharmacy” is a facility where a pharmacist stores, compounds, and dispenses drugs.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132(d), Welfare and Institutions Code.
HISTORY

1. New section filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51107. Pharmaceutical Services.
Note     •     History

“Pharmaceutical Services” means professional services provided by pharmacists in the dispensing of drugs and medical supplies on the legal prescription of a licensed practitioner.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132(d), Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51108. Inpatient.
Note     •     History

“Inpatient” means a person who has been admitted to a hospital, skilled nursing facility, or intermediate care facility for bed occupancy for purposes of receiving inpatient services. A person is considered an inpatient when he is formally admitted as an inpatient with the expectation that he will remain at least overnight and occupy a bed, even though it later develops that he can be discharged or that he is transferred to another facility and does not actually use a bed overnight.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51109. Hospital.
Note     •     History

“Hospital” means any institution, place, building, or agency which meets the standards specified in Section 51207 of these regulations and which maintains and operates organized facilities for one or more persons for the diagnosis, care and treatment of human illness, which may include convalescence and care during and after pregnancy, or which maintains and operates organized facilities for any such purpose, and to which persons may be admitted for overnight stay or longer.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14110 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-8-69; effective thirtieth day thereafter (Register 69, No. 19).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51110. Hospital Acute Care.
Note     •     History

(a) “Hospital acute care” means those services provided by a hospital to patients who need, or must have available the facilities, services, and equipment described in Section 51207 for prevention, diagnosis, or treatment of illness or injury.
(b) The determination of need for acute care shall be made in accordance with Sections 51003 and 51327.
(c) An acute care patient able to reasonably sustain a transport in an Emergency Medical Technician I (EMT-1) staffed ambulance, with no expected increase in morbidity or mortality, shall be considered stable for the purpose of transport.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 57 (c), Chapter 328, and Section 87 (c), Chapter 1594, Statutes of 1982. Reference: Sections 14081, 14087, 14110, 14132 and 14133.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-13-71 as an emergency; designated effective 10-13-71 (Register 71, No. 42). For prior history, see Register 68, No. 43.
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Amendment filed 2-3-83 as an emergency; effective upon filing (Register 83, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-3-83.
4. Certificate of Compliance transmitted to OAL 6-3-83 and filed 7-6-83 (Register 83, No. 28).
5. Change without regulatory effect of NOTE (Register 86, No. 49).
§51110.1. Hospital Extended Care.
History

HISTORY

1. Amendment filed 10-13-71 as an emergency; designated effective 10-13-71 (Register 71, No. 42). For prior history, see Register 68, No. 43.
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Repealer filed 7-16-75 as an emergency; effective upon filing (Register 75, No. 29).
4. Certificate of Compliance filed 11-12-75 (Register 75, No. 46).
§51110.2. Hospital Long-Term Care.
History

HISTORY

1. Amendment filed 10-13-71 as an emergency; designated effective 10-13-71 (Register 71, No. 42). For prior history, see Register 68, No. 43.
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Repealer filed 7-16-75 as an emergency; effective upon filing (Register 75, No. 29).
4. Certificate of Compliance filed 11-12-75 (Register 75, No. 46).
§51110.3. Hospital Extended Care Facility.
History

HISTORY

1. New section filed 2-23-67 as an emergency; effective upon filing (Register 67, No. 8).
2. Certificate of Compliance--Section 11422.1, Government Code--filed 4-12-67 (Register 67, No. 15).
3. Amendment filed 11-15-68; effective thirtieth day thereafter (Register 68, No. 43).
4. Amendment of subsection (b) filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3).
5. Repealer filed 7-16-75 as an emergency; effective upon filing (Register 75, No. 29).
6. Certificate of Compliance filed 11-12-75 (Register 75, No. 46).
§51110.4. Hospital Intermediate Care.
History

HISTORY

1. New section filed 3-30-72 as an emergency; effective upon filing (Register 72, No. 15).
2. Certificate of Compliance filed 7-27-72 (Register 72, No. 31).
3. Repealer filed 7-16-75 as an emergency; effective upon filing (Register 75, No. 29).
4. Certificate of Compliance filed 11-12-75 (Register 75, No. 46).
§51111. Inpatient Hospital Services.
Note     •     History

“Inpatient Hospital Services” include the following services furnished by a hospital:
(a) Bed and board;
(b) Nursing and related services, use of hospital facilities, medical social services ordinarily furnished by the hospital, and such drugs, biologicals, supplies, appliances and equipment, as are ordinarily furnished by the hospital;
(c) Other diagnostic and therapeutic services ordinarily furnished by the hospital, exclusive of physicians' services;
(d) Medical and surgical services performed by interns and residents-in-training, as defined in Section 1861 (b) of Title XVIII of the Federal Social Security Act; and
(e) Administrative services performed by physicians for the hospital.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Sections 51111 and 51113 refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51112. Hospital Outpatient Department.
Note     •     History

“Hospital outpatient department” means a hospital unit which provides services for the prevention, diagnosis, and treatment of disease, illness, or injury to outpatients.
NOTE

Authority cited: Sections 10725, 14105 and 14124, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51113. Hospital Outpatient Department Services.
Note     •     History

“Hospital outpatient department services” means diagnostic, preventive or therapeutic services furnished on an outpatient basis on the premises of a hospital. Hospital based home health agency services, home dialysis services, portable X-ray services, and collection of laboratory specimens need not be furnished on the premises of the facility.
NOTE

Authority cited: Sections 10725, 14105 and 14124, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40). For prior history, see Register 70, No. 27.
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51115. Organized Outpatient Clinic.
Note     •     History

(a) “Organized outpatient clinic” means a medical care facility that is established, organized, and licensed pursuant to Section 406, Title 17, California Administrative Code, and which provides services for the prevention, diagnosis and treatment of disease, illness or injury on an outpatient basis, and which is not part of a hospital.
(b) “Organized outpatient clinic with surgical facilities” means an organized outpatient clinic which conforms to the standards established in Title 17, California Administrative Code, Section 425(c)(4)(A) and (B).
NOTE

Authority cited: Sections 14105 and 14124, Welfare and Institutions Code. Reference: Sections 14100.1, 14105, 14124 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For prior history, see Register 72, No. 5.
2. Amendment filed 12-30-77; designated effective 2-1-78 (Register 77, No. 53).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51115.1. Organized Outpatient Clinic Services.
Note

(a) “Organized Outpatient Clinic Services” means preventive, diagnostic, therapeutic, and rehabilitative services that are:
(1) Provided to outpatients;
(2) Provided by a facility that is not part of a hospital but is organized and operated to provide medical care to outpatients; and
(3) Except in the case of certified nurse-midwife services, furnished by or under the direction of a physician or dentist.
(b) A clinic may not provide patients with room and board and professional services on a continuous 24-hour-a-day basis.
(c) Eligibility for clinic services is limited to those patients:
(1) Who for the purpose of receiving necessary health care go or are brought to a clinic;
(2) Who receive services in the clinic;
(3) Who within a 24-hour period leave the clinic site at which the services are provided.
NOTE

Authority cited: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14000, 14124.5 and 14132, Welfare and Institutions Code; 42 CFR 440.90; and 42 CFR 440.2. (Section filed 9-10-86, operative 10-10-86; Register 86, No. 37)
§51115.5. Rural Health Clinic.
Note     •     History

“Rural health clinic” means an organized outpatient clinic or hospital outpatient department, located in a rural shortage area, which has been certified by the Secretary, United States Department of Health and Human Services.
NOTE

Authority cited: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance transmitted to OAH 11-28-78 and filed 11-29-78 (Register 78, No. 48).
3. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51115.6. Rural Health Clinic Services.
Note     •     History

“Rural health clinic services” means preventative, diagnostic, therapeutic, rehabilitative or treatment services, including, but not limited to, primary care services provided by a rural health clinic.
NOTE

Authority cited: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14100.1, 14100.5, 14105 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance transmitted to OAH 11-28-78 and filed 11-29-78 (Register 78, No. 48).
§51115.7. Rural Shortage Area.
Note     •     History

“Rural shortage area” means a census tract designated by the Secretary, Department of Health and Human Services, as rural and deficient in personal health services or primary medical manpower.
NOTE

Authority cited: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance transmitted to OAH 11-28-78 and filed 11-29-78 (Register 78, No. 48).
3. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51116. Outpatient Heroin Detoxification Services.
Note     •     History

(a) “Outpatient detoxification services” means the administering or furnishing by a physician, or under the ongoing supervision of a physician, either of the following:
(1) Methadone as a substitute narcotic drug in decreasing doses to reach a diminished or drug free state in a period not to exceed 21 days.
(2) Nonnarcotic drugs to reduce or eliminate, over a period not to exceed 21 days, an individual's dependence on heroin or other morphine-like drugs.
NOTE

Authority cited: Section 14105, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Renumbering of Section 51163 to Section 51116 filed 7-29-77 as an emergency; designated effective 8-1-77 (Register 77, No. 31).
3. Editorial renumbering of Section 51163 to Section 51116 (Register 77, No. 48).
§51117. Rehabilitation Center.
Note     •     History

“Rehabilitation center” means a facility which provides an integrated multidisciplinary program of restorative services designed to upgrade or maintain the physical functioning of patients.
NOTE

Authority cited: Sections 10725, 14105 and 14124, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 12-24-71, as an emergency; effective upon filing (Register 71, No. 52). For history of former section, See Register 71, No. 40.
2. Certificate of Compliance--Section 11422.1, Gov. Code, as to 9-30-71 filing, filed 1-25-72 (Register 72, No. 5).
3. Certificate of Compliance as to 12-24-71 filing, filed 4-19-72 (Register 72, No. 18).
4. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
5. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51118. Intermediate Care Facility.
Note     •     History

“Intermediate care facility” means a facility which is licensed as such by the Department or is a hospital or skilled nursing facility which meets the standards specified in Section 51212 and has been certified by the Department for participation in the Medi-Cal program.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14110 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 3-30-72 as an emergency; effective upon filing (Register 72, No. 15).
2. Certificate of Compliance filed 7-27-72 (Register 72, No. 31).
3. Amendment filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3).
4. Amendment filed 7-16-75 as an emergency; effective upon filing (Register 75,No. 29).
5. Certificate of Compliance filed 11-12-75 (Register 75, No. 46).
6. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51119. Rehabilitation Services.
History

HISTORY

1. Sections 51119 and 51121 refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, as to 9-30-71 filing, filed 1-25-72 (Register 72, No. 5).
§51120. Intermediate Care Services.
Note     •     History

(a) Intermediate care services means services provided in hospitals, skilled nursing facilities or intermediate care facilities to patients who:
(1) Require protective and supportive care, because of mental or physical conditions or both, above the level of board and care.
(2) Do not require continuous supervision of care by a licensed registered or vocational nurse except for brief spells of illness.
(3) Do not have an illness, injury, or disability for which hospital or skilled nursing facility services are required.
(b) With respect to services furnished to individuals under age 65, intermediate care services may include services in a public institution (or distinct part thereof) for mentally retarded or persons with related conditions only if:
(1) The primary purpose of such institution (or distinct part thereof) is to provide a program of health or rehabilitative services for mentally retarded individuals and such institutions meet standards as may be prescribed by the United States Department of Health and Human Services.
(2) The mentally retarded individual with respect to whom a request for payment is made has been determined to need and is receiving active treatment under such a program.
(3) Payment for intermediate care services to any such institution (or distinct part thereof) will not be used to displace with Federal funds any non-Federal expenditures that are already being made for mentally retarded persons.
(c) Intermediate care services do not include:
(1) Services rendered in accordance with Section 51305, Physician Services; 51306, Optometry Services; 51307, Dental Services; 51308, Chiropractic Services; 51309, Psychology, Physical Therapy, Occupational Therapy, Speech Therapy, and Audiology Services; 51310, Podiatry Services; 51311, Laboratory, Radiological, and Radioisotope Services; 51312, Prayer or Spiritual Healing; 51313, Pharmaceutical Services and Prescribed Drugs; 51314, Rehabilitation Center Outpatient Services; 51315, Prosthetic and Orthotic Appliances; 51317, Eyeglasses, Prosthetic Eyes, and Other Eye Appliances; 51319, Hearing Aids; 51320, Medical Supplies; 51321, Durable Medical Equipment, except as provided in Section 51321 (h) (4); 51323, Medical Transportation Services; 51325, Blood and Blood Derivatives; 51326, Nurse Anesthetist Services; 51327, Inpatient Hospital Services; 51328, Outpatient Heroin Detoxification Services; 51330, Chronic Hemodialysis; 51330.1, Renal Homotransplantation; 51331, Hospital Outpatient Department Services and Organized Outpatient Clinic Services; 51337, Home Health Agency Services; 51340, Early and Periodic Screening Services; and 51341, Short-Doyle Medi-Cal Provider Services.
(2) Other equipment and supplies for which prior authorizations have been granted to other providers by the Medi-Cal Consultant and which are therefore separately billed by other providers of services; nor
(3) Personal care items and services not reimbursable by the California Medical Assistance Program as a medical care service but for which a personal and incidental allowance is provided.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14110 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 3-30-72 as an emergency; effective upon filing (Register 72, No. 15).
2. Certificate of Compliance filed 7-27-72 (Register 72, No. 31).
3. Amendment of subsections (a) and (c)(1) filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
4. Amendment of subsections (a) and (b)(1) filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51120.5. Nursing Facility.
Note     •     History

Nursing facility means a facility that is licensed as either a skilled nursing facility or an intermediate care facility.
NOTE

Authority cited: Section 14105, Welfare and Institutions Code; and Section 13, Chapter 502, Statutes of 1990. Reference: Section 1250(k), Health and Safety Code.
HISTORY

1. New section filed 10-1-90 as an emergency (Register 90, No. 45). A Certificate of Compliance must be transmitted to OAL by 1-29-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-1-90 order transmitted to OAL 1-29-91, filed 2-28-91 (Register 91, No. 13).
§51121. Skilled Nursing Facility Services.
Note     •     History

(a) Skilled nursing facility means any institution, place, building, or agency which is licensed as a skilled nursing facility by the Department or is a distinct part or unit of a hospital, meets the standard specified in section 51215 of these regulations (except that the distinct part of a hospital does not need to be licensed as a skilled nursing facility) and has been certified by the Department for participation as a skilled nursing facility in the Medi-Cal program
(b) As used in this chapter and defined in this section, the term “skilled nursing facility” shall include the terms “skilled nursing home,” “convalescent hospital,” “nursing home,” or “nursing facility.”
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code: and Section 13, Chapter 502, Statutes of 1990. Reference: Sections 14110 and 14132, Welfare and Institutions Code; and Section 1250(k), Health and Safety Code. 
HISTORY

1. Amendment filed 7-1-70; designated effective 8-1-70; Register 70, No., 27).
2. Amendment of subsection (a) and new subsection (b) filed 7-13-73; effective thirtieth day thereafter (Register 73, No. 28).
3. Amendment filed 7-16-75 as an emergency; effective upon filing (Register 75, No. 29).
4. Certificate of Compliance filed 11-12--75 (Register 75, No. 46).
5. Change without regulatory effect adding NOTE (Register 86, No. 49).
6. Amendment of subsection (b) filed 10-1-90 as an emergency; operative 10-1-90 (Register 90, No. 45). A Certificate of Compliance must be transmitted to OAL by 1-29-91 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-1-90 order transmitted to OAL 1-29-91, filed 2-28-91 (Register 91, No. 13).
§51123. Skilled Nursing Facility Services.
Note     •     History

(a) Skilled nursing facility services include:
(1) Room and board.
(2) Nursing and related care services.
(3) Commonly used items of equipment, supplies and services used for the medical and nursing benefit of patients as set forth in 51511 (b).
(b) Skilled nursing facility services do not include:
(1) Services rendered in accordance with Section 51305, Physician's Services; 51306, Optometry Services; 51307, Dental Services; 51308, Chiropractic Services; 51309, Psychology, Physical Therapy, Occupational Therapy, Speech Therapy, and Audiology Services; 51310, Podiatry Services; 51311, Laboratory, Radiological, and Radioisotope Services; 51312, Prayer or Spiritual Healing; 51313, Pharmaceutical Services and Prescribed Drugs; 51314, Rehabilitation Center Outpatient Services; 51315, Prosthetic and Orthotic Appliances; 51317, Eyeglasses, Prosthetic Eyes, and Other Eye Appliances; 51319, Hearing Aids; 51320, Medical Supplies, other than those described under (a) (3) above; 51321, Durable Medical Equipment, other than those described under (a) (3) above; 51323, Medical Transportation Services; 51325, Blood and Blood Derivatives; 51326, Nurse Anesthetist Services; 51327, Inpatient Hospital Services; 51328, Outpatient Heroin Detoxification Services; 51330, Chronic Hemodialysis; 51330.1, Renal Homotransplantation; 51331, Hospital Outpatient Department Services and Organized Outpatient Clinic Services; 51337, Home Health Agency Services; 51340, Early and Periodic Screening Services; and 51341, Short-Doyle Medi-Cal Provider Services.
(2) Other equipment and supplies for which prior authorizations have been granted to other providers by the Medi-Cal consultant and which are therefore separately billed by other providers of services.
(c) Skilled nursing facility services do not include items and services which are provided under State Department of Social Services regulations.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b)(1) filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32). For prior history, see Register 73, No. 28.
2. Amendment of subsections (a)(3) and (c) filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51124. Skilled Nursing Facility Level of Care.
Note     •     History

(a) “Skilled Nursing facility level of care” means that level of care provided by a skilled nursing facility meeting the standards for participation as a provider under the Medi-Cal program as set forth in Section 51215 of this division.
(b) The skilled nursing facility level of care is the level of care needed by Medi-Cal beneficiaries who do not require the full range of health care services provided in a hospital as hospital acute care or hospital extended care, but who require the continuous availability of skilled nursing care provided by licensed registered or vocational nurses, or the equivalent thereof, as set forth in Section 51215. 
(c) Skilled nursing care provided in participating skilled nursing facilities is the composite of necessary observation, assessment, judgment, supervision, documentation, and teaching of the patient and includes specific tasks and procedures.
(d) Skilled nursing procedures provided as a part of skilled nursing care are those procedures which must be furnished under the direction of a registered nurse in response to the attending physician's orders, and are either performed or supervised by a licensed registered nurse, a licensed vocational nurse or in the case of institutions for mentally retarded or distinct parts of institutions which are certified as skilled nursing facilities and providing care for mentally retarded patients, by a licensed psychiatric technician. A need for one or more skilled nursing procedures does not necessarily indicate a medical need for skilled nursing facility services. Rather, the need must be for a level of service which includes the continuous availability of procedures such as, but not necessarily limited to, the following: administration of intravenous, intramuscular, or subcutaneous injections, and intravenous or subcutaneous infusions; gastric tube or gastrostomy feedings; nasopharygeal aspiration; insertion or replacement of catheters; application of dressings involving prescribed medications and aseptic techniques; treatment of extensive decubiti and other widespread skin disorders; heat treatments which require observation by licensed personnel to evaluate the patient's progress; administration of medical gases under prescribed therapeutic regimen; and restorative nursing procedures which require the presence of a licensed nurse.
(e) Other health care services, such as physical, occupational or speech therapy, require specialized training for proper performance. The need for such therapies does not necessarily indicate a need for nursing facility services.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14108 and 14110, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 7-13-73; effective thirtieth day thereafter (Register 73, No. 28).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
4. Editorial correction of printing error in section heading (Register 94, No. 17).
§51124.1. Transitional Inpatient Level of Care.
Note     •     History

NOTE

Authority cited: Sections 10725, 14105.981 and 14132.22, Welfare and Institutions Code. Reference: Sections 14105.981 and 14132.22, Welfare and Institutions Code.
HISTORY

1. New section filed 4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 96, No. 35).
3. New section refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-28-96 order, including new subsection (a)(4) and amendment of subsection (c)(2)(A), transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
5. Change without regulatory effect repealing section filed 6-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 24).
§51124.2. Medi-Cal Care Coordinator.
Note     •     History

“Medi-Cal Care Coordinator” means the designated Medi-Cal consultant who authorizes, reauthorizes, and coordinates, as required, medically necessary services for a beneficiary. The Medi-Cal Care Coordinator shall be a physician or registered nurse. The extent of the participation of the Medi-Cal Care Coordinator is determined by the complexity and multiplicity of service needs of the patient. The Medi-Cal Care Coordinator shall work, as required, with the physicians, the facility discharge coordinators, preadmission screeners and other facility personnel, as required, to coordinate and authorize those services needed by the patient and which are authorized by the Medi-Cal Program.
NOTE

Authority cited: Sections 10725, 14105.981 and 14132.22, Welfare and Institutions Code. Reference: Sections 14105.981 and 14132.22, Welfare and Institutions Code.
HISTORY

1. New section filed 4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 96, No. 35).
3. New section refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-28-96 order transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
§51124.5. Subacute Level of Care.
Note     •     History

(a) Subacute level of care means a level of care needed by a patient who does not require hospital acute care but who requires more intensive licensed skilled nursing care than is provided to the majority of patients in a skilled nursing facility.
(b) To be eligible for subacute level of care a patient's condition shall meet all of the criteria as provided for in the Subacute Level of Care Criteria contained in the Manual of Criteria for Medi-Cal Authorization referenced in Title 22, California Code of Regulations (CCR), Section 51003(e) as determined by the patient's attending physician and as approved by the appropriate Medi-Cal field office medical consultant or equivalent authorizing agent, who is responsible for authorizing the level of care.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 6-3-86 as an emergency; effective upon filing (Register 86, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-1-86.
2. Section refiled 11-3-86 as an emergency; effective 10-1-86 (Register 86, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-87.
3. Certificate of Compliance including amendment filed 1-20-87 (Register 87, No. 4).
4. Amendment of subsection (b) filed 10-27-88 as an emergency; operative 10-27-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-89.
5. Certificate of Compliance transmitted to OAL 2-24-89 and filed 3-27-89 (Register 89, No. 13).
§51124.6. Pediatric Subacute Care Services.
Note     •     History

(a) Pediatric subacute care services are the health care services needed by a person under 21 years of age who uses a medical technology that compensates for the loss of a vital bodily function.
(b) Medical necessity for pediatric subacute care services shall be substantiated by any one of the following items in (1) through (4) below:
(1) A tracheostomy with dependence on mechanical ventilation for a minimum of six hours each day;
(2) Dependence on tracheostomy care requiring suctioning at least every six hours, and room air mist or oxygen as needed, and dependence on one of the four treatment procedures listed in (B) through (E) below:
(A) Dependence on intermittent suctioning at least every eight hours, and room air mist or oxygen as needed;
(B) Dependence on continuous intravenous therapy including administration of therapeutic agents necessary for hydration or of intravenous pharmaceuticals; or intravenous pharmaceutical administration of more than one agent, via a peripheral or central line, without continuous infusion;
(C) Dependence on peritoneal dialysis treatments requiring at least four exchanges every 24 hours;
(D) Dependence on tube feeding, naso-gastric or gastrostomy tube;
(E) Dependence on other medical technologies required continuously, which in the opinion of the attending physician and the Medi-Cal consultant require the services of a professional nurse.
(3) Dependence on total parenteral nutrition or other intravenous nutritional support, and dependence on one of the five treatment procedures listed in (b)(2)(A) through (E) above;
(4) Dependence on skilled nursing care in the administration of any three of the five treatment procedures listed in (b)(2)(A) through (E) above.
(c) Medical necessity for pediatric subacute skilled nursing care shall be further substantiated by all of the following conditions:
(1) The intensity of medical/skilled nursing care required by the patient shall be such that the continuous availability of a registered nurse in the pediatric subacute unit is medically necessary to meet the patient's healthcare needs, and not be any less than the nursing staff ratios specified in Section 51215.8(g) and (i);
(2) The patient's medical condition has stabilized such that the immediate availability of the services of an acute care hospital, including daily physician visits, are not medically necessary;
(3) The intensity of medical/skilled nursing care required by the patient is such that, in the absence of a facility providing pediatric subacute care services, the only other medically necessary inpatient care appropriate to meet the patient's health care needs under the Medi-Cal program is in an acute care licensed hospital bed.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14114 and 14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 4-13-94 as an emergency; operative 4-1-94. Emergency adoption submitted to OAL for printing only pursuant to section 4, AB 36 (chapter 1030, Statutes of 1993) (Register 94, No. 15).
2. Certificate of Compliance as to 4-13-94 order including amendment of section transmitted to OAL 9-26-94 and filed 10-20-94 (Register 94, No. 42).
3. Editorial correction of History 1 and 2 (Register 95, No. 14).
§51124.7. Preceptorship.
Note     •     History

“Preceptorship”, as referenced in Section 51215.8(k), means a one-to-one teaching relationship wherein a registered nurse meeting the qualifications specified in Section 51215.8(j) works with a licensed nurse, as specified in Section 51215.8(k)(2), to enhance the licensed nurse's clinical competency in providing nursing services to the types of pediatric patients with technology dependency for whom the facility provides care.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14114 and 14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 10-20-94; operative 10-20-94 (Register 94, No. 42).
2. Editorial correction of History 1 (Register 95, No. 14).
§51125. Home Health Agency.
History

HISTORY

1. Refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 7-1-70; designated effective 8-1-70 (Register 70, No. 27).
3. Repealer filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
§51127. Coordinated Home Care.
History

HISTORY

1. Amendment filed 6-23-66 as an emergency; effective upon filing; Certificate of Compliance included (Register 66, No. 19).
2. Repealer filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
§51128. Specialized Rehabilitative Services in Skilled Nursing Facilities or Intermediate Care Facilities.
Note     •     History

“Specialized rehabilitative services” means physical therapy, occupational therapy, speech therapy or audiology services furnished to inpatients of skilled nursing or intermediate care facilities by providers meeting the standards set forth in Article 3 of these regulations.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-12-75 as an emergency; effective upon filing (Register 75, No. 37).
2. Certificate of Compliance filed 1-8-76 (Register 76, No. 2).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
§51129. Home Health Agency Services.
History

HISTORY

1. Amendment filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5). For prior history, see Register 72, No. 5.
2. Amendment filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
3. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
4. Repealer filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
§51131. Home Nursing Services.
Note     •     History

NOTE

Authority cited: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14100.1, 14105 and 141245, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31). For history of former Section 51131, see Register 72, No. 40.
2. Certificate of Compliance transmitted to OAH 11-28-78 and filed 11-29-78 (Register 78, No. 48).
3. Repealer filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
§51132. Short-Doyle Medi-Cal Providers.
Note     •     History

“Short-Doyle Medi-Cal providers” means any agency, individual, organization, or facility which has been approved by the Department to participate in the Short-Doyle Medi-Cal program.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14021, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-75 as an emergency; effective upon filing (Register 75, No. 40).
2. Certificate of Compliance filed 1-8-76 (Register 76, No. 2).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
§51133. Home Health Aide Services.
History

HISTORY

1. Amendment filed 6-23-66 as an emergency; effective upon filing; Certificate of compliance included (Register 66, No. 19).
2. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
§51134. Short-Doyle Medi-Cal Provider Services.
Note     •     History

“Short-Doyle Medi-Cal provider services means those community mental health services covered by the Short-Doyle Act which are provided by a Short-Doyle Medi-Cal provider.
NOTE

Authority cited: Section 14131, Welfare and Institutions Code. Reference: Section 14021, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-75 as an emergency; effective upon filing (Register 75, No. 40).
2. Certificate of Compliance filed 1-8-76 (Register 76, No. 2).
§51135. Healing by Prayer or Spiritual Means.
Note     •     History

“Healing by prayer or spiritual means” means services of Christian Science Practitioners.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 8-25-67 as an emergency; designated effective 9-1-67 (Register 67, No. 34). Certificate of Compliance filed 8-30-67.
3. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51136. Christian Science Facility.
History

HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51137. Laboratory.
History

HISTORY

1. Repealer filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For prior history, see Register 68, No. 43.
§51137.1. Clinical Laboratory or Laboratory.
Note     •     History

“Clinical Laboratory” or “Laboratory” means any place used, organized, or operated, for the examination, detection, identification, measurement, or enumeration of any particular entity or substance, which consists of materials derived from the human body for the purpose of providing information for diagnosis, prevention, or treatment of any disease or impairment of, or the assessment of the health of, human beings, or used as an aid in the prevention, prognosis, monitoring, or treatment of a physiological or pathological condition in a human being.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code; Section 1206, Business and Professions Code; and Title 42 United States Code, Section 263a.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
4. Amendment of section heading, text and Note filed 1-20-94 as an emergency; operative 1-20-94 (Register 94, No. 3).  A Certificate of Compliance must be transmitted to OAL by 5-20-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-20-94 order transmitted to OAL 5-19-94 and filed 7-1-94 (Register 94, No. 26).
§51137.2. Clinical Laboratory or Laboratory Services.
Note     •     History

“Clinical laboratory or laboratory services” include the biological, microbiological, serological, chemical, immunohematological, hematological, biophysical, cytological, pathological, or other types of examination of materials derived from the human body, for purposes of diagnosis, prevention, or treatment of any disease or impairment of, or the assessment of the health of, human beings.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code.  Reference: Section 14132, Welfare and Institutions Code; Section 1206, Business and Professions Code; and Title 42 United States Code, Section 263a.
HISTORY

1. New section filed 1-20-94 as an emergency; operative 1-20-94 (Register 94, No. 3).  A Certificate of Compliance must be transmitted to OAL by 5-20-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-20-94 order transmitted to OAL 5-19-94 and filed 7-1-94 (Register 94, No. 26).
§51139. Radiological and Radioisotope Services.
Note     •     History

Radiological and Radioisotope Services means diagnostic and therapeutic X-ray and radioisotope services.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-23-66 as an emergency; effective upon filing; Certificate of Compliance included (Register 66, No. 19).
2. Amendment filed 11-15-68; effective thirtieth day thereafter (Register 68, No. 43).
3. Repealer and new section filed 5-2-73; effective thirtieth day thereafter (Register 73, No. 18).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51141. Outpatient Services.
History

HISTORY

1. Sections 51141, 51143 and 51145 refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
§51142. Inpatient Services.
Note     •     History

“Inpatient services” means preventive diagnostic, or treatment services provided in a hospital, skilled nursing facility, or intermediate care facility to a patient who is a registered inpatient in that facility.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 8-8-78; effective thirtieth day thereafer (Register 78, No. 32).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51143. Outpatient Services.
Note     •     History

“Outpatient services” means preventive, diagnostic, or treatment services other than inpatient services.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For prior history, see Register 72, No. 31.
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51145. Home.
Note     •     History

For the purposes of providing home health agency services, home means any place of residence of a beneficiary, other than while a registered inpatient of a hospital or skilled nursing facility or intermediate care facility.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51145.1. “Home” Defined for the Personal Care Services Program.
Note     •     History

For purposes of Section 51350(b), “home” means that place in which the beneficiary chooses to reside. A person receiving an SSI/SSP payment for a nonmedical out-of-home living arrangement is not considered to be living in his/her “home”. The beneficiary's “home” does not include a board and care facility, a facility licensed by the California State Department of Health Services nor a community care facility or a residential care facility licensed by the California State Department of Social Services.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51146. Homebound Patient.
Note     •     History

A homebound patient is defined as one who is essentially confined to his home due to illness or injury, and if ambulatory or otherwise mobile, is unable to be absent from his home except on an infrequent basis or for periods of relatively short duration; e.g. for a short walk prescribed as therapeutic exercise.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-70; designated effective 8-1-70 (Register 70, No. 27).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51147. Medical Social Work or Medical Social Services.
Note     •     History

Medical Social Work or Medical Social Services, as referred to in Section 51125 and 51129 means professional services, provided by a person with a master's degree from a recognized school of social work, to assist individuals and groups in their efforts to solve medical-social problems that arise as a result of their illness or disabilities.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51149. Social Work Services.
History

HISTORY

1. Refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
§51151. Medical Transportation Services.
Note     •     History

“Medical transportation services” means the transportation of the sick, injured, invalid, convalescent, infirm or otherwise incapacitated persons by ambulances, litter vans or wheelchair vans licensed, operated, and equipped in accordance with applicable state or local statutes, ordinances or regulations. Medical transportation services do not include transportation of beneficiaries by passenger car, taxicabs or other forms of public or private conveyances.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 6-23-66 as an emergency; effective upon filing; Certificate of Compliance included (Register 66, No. 19).
2. Amendment filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
3. Amendment filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§51151.1. Ambulance.
Note     •     History

“Ambulance” means a vehicle specially constructed, modified, equipped and used for the purpose of transporting sick, injured, invalid, convalescent, infirm or otherwise incapacitated persons.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§51151.2. Ambulance Patient.
Note     •     History

“Ambulance patient” means a patient whose medical condition requires the specialized services, equipment and personnel available in an ambulance.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§51151.3. Litter Van.
Note     •     History

“Litter van” means a vehicle which is modified, equipped and used for the purpose of providing nonemergency medical transportation for those patients with stable medical conditions who require the use of a litter or gurney and which is not routinely equipped with the medical equipment or personnel required for the specialized care provided in an ambulance.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§51151.4. Litter Van Patient.
Note     •     History

“Litter van patient” means a patient whose medical condition is such that the patient may be transported by a litter van.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§51151.5. Wheelchair Van.
Note     •     History

“Wheelchair van” means a vehicle which is modified, equipped and used for the purpose of providing nonemergency medical transportation for wheelchair van patients and which is not routinely equipped with the medical equipment or personnel required for the specialized care provided in an ambulance.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§51151.6. Wheelchair Van Patient.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
2. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51151.7. Nonemergency Medical Transportation.
Note     •     History

“Nonemergency medical transportation” means transportation by ambulance, litter van and wheelchair van of the sick, injured, invalid, convalescent, infirm or otherwise incapacitated persons whose medical conditions require medical transportation services but do not require emergency services or equipment during transport.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§51152. Provider of Medical Transportation.
Note     •     History

“Provider of medical transportation” means an individual or organization furnishing medical transportation services as defined in Section 51151.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51153. Other Medically Indicated Transportation Service.
History

HISTORY

1. New section filed 6-23-66 as an emergency; effective upon filing; Certificate of Compliance included (Register 66, No. 19).
2. Repealer filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
§51154. Renal Dialysis Center.
Note     •     History

“Renal dialysis center” means a facility which provides chronic hemodialysis and evaluates and treats renal disease.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51155. Community Hemodialysis Unit.
Note     •     History

“Community hemodialysis unit” means a facility which provides chronic hemodialysis and supervision of patients undergoing chronic home hemodialysis.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51156. Renal Homotransplantation Center.
Note     •     History

“Renal homotransplantation center” means a hospital at which renal homotransplantation is performed and which provides or has available the supportive personnel and services required to perform renal homotransplantation.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51157. Renal Dialysis, Renal Homotransplantation and Related Services.
Note     •     History

(a) “Renal dialysis” means removal by artificial means of waste products normally excreted by the kidneys. Such removal may be accomplished by the use of an artificial kidney or peritoneal dialysis on a continuing basis.
(b) “Renal homotransplantation” means the implantation of a kidney from one person to another for the treatment of renal disease.
(c) “Related services” means hospital inpatient and physician's services related to the treatment of renal failure, stabilization of renal failure, treatment of complications of dialysis, and dialysis related laboratory tests, medical supplies, and drugs.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14140-14144, Welfare and Institutions Code.
HISTORY

1. New section filed 4-25-75 as an emergency, effective upon filing (Register 75, No. 17).
2. Certificate of Compliance filed 8-7-75 (Register 75, No. 32).
§51158. Nurse Anesthetist.
Note     •     History

Nurse Anesthetist means a registered nurse who has completed a course of training in a School of Anesthesia accredited by the American Association of Nurse Anesthetists.
NOTE

Authority cited: Sections 14105, 14115.3 and 14124.5, Welfare and Institutions Code. Reference: Section 14115.3, Welfare and Institutions Code.
HISTORY

1. New section filed 5-1-75 as an emergency; effective upon filing (Register 75, No. 18).
2. Certificate of Compliance filed 8-19-75 (Register 75, No. 34).
3. Repealer filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
§51159. Utilization Controls.
Note     •     History

Utilization controls that may be applied to services set forth in this chapter include: 
(a) Prior authorization, which is approval in advance of the rendering of service of the medical necessity and program coverage of the requested services, by a Department of Health consultant or PCCM plan. In determining what services shall be subject to prior authorization, the Director shall consider factors which include, but are not limited to: 
(1) Whether the services to be controlled are generally considered to be elective procedures. 
(2) Whether other physician procedures not subject to prior authorization are sufficient in scope and number to afford beneficiaries reasonable access to necessary health care services. 
(3) The level of program payment for procedures. 
(4) The cost effectiveness of applying prior authorization as a utilization control. 
(b) Postservice prepayment audit, which is review for medical necessity and program coverage after service was rendered but before payment is made. Payment may be withheld or reduced if the service rendered was inappropriate. 
(c) Postservice postpayment audit, which is review for medical necessity and program coverage after service was rendered and the claim paid. The department may take appropriate steps to recover payments made if subsequent investigation uncovers evidence that the claim should not have been paid. 
(d) Limitation on number of services, which means certain services may be restricted as to number within a specified time frame. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16, 14105, 14106, 14132, 14133 and 14133.25, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-1-75 as an emergency; designated effective 7-1-75 (Register 75, No. 27). 
2. Certificate of Compliance filed 10-24-75 (Register 75, No. 43). 
3. Amendment filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82. 
4. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-3-83 (Register 83, No. 6). 
5. Amendment of subsection (a) filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
6. Amendment refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
7. Request to readopt amendment on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
9. Amendment of subsection (a) filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-25-91 order including amendment of Note transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§51159.1. Peer Review.
Note     •     History

The Department may request peer review of provider claims or practices by medical, pharmaceutical or other professional associations or societies. The recommendations of the peer review body to the Department shall be advisory but shall be carefully considered by the Department.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14132 and 14133, Welfare and Institutions Code.
HISTORY

1. New section filed 11-28-75; designated effective 1-1-76 (Register 75, No. 48).
2. Repealer and new section filed 5-15-81; effective thirtieth day thereafter (Register 81, No. 20).
§51160. Durable Medical Equipment.
Note     •     History

Durable medical equipment means equipment prescribed by a licensed practitioner to meet medical equipment needs of the patient that:
(a) Can withstand repeated use.
(b) Is used to serve a medical purpose.
(c) Is not useful to an individual in the absence of an illness, injury, functional impairment, or congenital anomaly.
(d) Is appropriate for use in or out of the patient's home.
NOTE

Authority cited: Section 14105, Welfare and Institutions Code. Reference: Sections 14131 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
4. Amendment of first paragraph and new subsections (a)-(d) filed 6-5-2000 as an emergency; operative 6-5-2000 (Register 2000, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-3-2000 or emergency language will be repealed by operation of law on the following day.
5. Amendment of first paragraph and new subsections (a)-(d) refiled 8-21-2000 as an emergency; operative 10-3-2000 (Register 2000, No. 34). A Certificate of Compliance must be transmitted to OAL by 1-31-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-21-2000 order, including further amendment of subsections (c) and (d), transmitted to OAL 1-3-2001 and filed 2-5-2001 (Register 2001, No. 6).
§51161. Prosthetic and Orthotic Appliances.
Note     •     History

Prosthetic and orthotic appliances means those appliances prescribed by a physician, dentist or podiatrist for the restoration of function or replacement of body parts.
NOTE

Authority cited: Section 14105, Welfare and Institutions Code. Reference: Sections 14131 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
§51162. Eyeglasses, Prosthetic Eyes, and Other Eye Appliances.
Note     •     History

Eyeglasses, prosthetic eyes and other eye appliances means those items prescribed by a physician or optometrist for medical conditions related to the eye.
NOTE

Authority cited: Section 14105, Welfare and Institutions Code. Reference: Sections 14131 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
§51162.1. Fabricating Optical Laboratory.
Note     •     History

“Fabricating optical laboratory” means a laboratory which surfaces, cuts and edges ophthalmic lenses; fabricates eye appliances as specified in Section 51519.2; and has entered into an exclusive area negotiated contract with the Department of Health Services. An “exclusive area negotiated contract” means a non-bid contract let under the statutory authority of Section 14105.3 of the Welfare and Institutions Code which allows the Department to purchase ophthalmic appliances for Medi-Cal beneficiaries living in a designated geographic area from a specific fabricating optical laboratory.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 87, Chapter 1594, Statutes of 1982. Reference: Sections 14105.3 and 14132, Welfare and Institutions Code; Section 26685, Health and Safety Code; and Sections 2541.3 and 2541.6, Business and Professions Code.
HISTORY

1. New section filed 11-28-88 as an emergency; operative 11-28-88 (Register 89, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-28-89.
2. Certificate of Compliance as to 11-28-88 order including amendment transmitted to OAL 3-27-89 and filed 4-26-89 (Register 89, No. 18).
3. Editorial correction of text adding “as specified in Section 51519.2” which was inadvertently omitted from Register 89, No. 18 and correction of History No. 2 (Register 89, No. 38).
§51163. Human Reproductive Sterilization.
Note     •     History

(a) Human reproductive sterilization means any medical treatment, procedure or operation, for the purpose of rendering an individual permanently incapable of reproducing.
(b) In this section, and in Sections 51305.1 through 51305.6, “sterilization” means human reproductive sterilization.
NOTE

Authority cited: Sections 14105, 14124.5 and 14191, Welfare and Institutions Code. Reference: Sections 14053, 14059, 14132 and 14191, Welfare and Institutions Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Amendment titled 6-24-80; designated effective 10-15-80 (Register 80, No. 26).
§51164. Intermediate Care Facility for the Developmentally Disabled.
Note     •     History

Intermediate care facility for the developmentally disabled means a facility which:
(a) Meets the provisions of Section 76079 of Title 22 of the California Administrative Code, and
(b) Has as its primary purposes, the furnishing of health 24-hour developmental, training and habilitative, and supportive health services to persons with a developmental disability as defined in Welfare and Institutions Code Section 4512.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code; and Sections 208.4, Health and Safety Code. Reference: Section 14132, Welfare and Institutions Code; and Section 1250, Health and Safety Code.
HISTORY

1. Emergency language filed 3-29-84 repealed by operation of Government Code Section 11346.1(f) (Register 85, No. 19).
2. Amendment filed by the Department of Health Services with the Secretary of State on 8-1-84 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 19).
3. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§51164.1. Intermediate Care Facility for the Developmentally Disabled Habilitative.
Note     •     History

(a) Intermediate care facility for the developmentally disabled habilitative means a facility which:
(1) Has as its primary purposes, the furnishing of 24-hour personal care, developmental, training and habilitative, and supportive health services in a facility with 15 beds or less to residents with a developmental disability. Developmental disability is a disability which originates before age 18 and is a permanent substantial handicap as defined in Welfare and Institutions Code Section 4512.
(2) Provides services to the developmentally disabled in the least restrictive community type setting.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code; and Sections 208.3, 208.4 and 1267.7, Health and Safety Code. Reference: Section 14132, Welfare and Institutions Code; and Section 1250, Health and Safety Code.
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 8-1-84 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 19).
2. Certificate of Compliance filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§51164.2. Intermediate Care Facility for the Developmentally Disabled-Nursing.
Note     •     History

Intermediate care facility for the developmentally disabled-nursing means a facility which:
(a) Has as its primary purpose, the furnishing of 24-hour nursing supervision, personal care, training and habilitative services in a facility with 4-15 beds to medically fragile developmentally disabled beneficiaries, or to beneficiaries who demonstrate a significant developmental delay that may lead to a developmental disability if not treated. Such beneficiaries shall have been certified by a physician as not requiring continuous skilled nursing care. Developmental disability is a disability as defined in Welfare and Institutions Code Section 4512.
(b) Provides services to medically fragile developmentally disabled beneficiaries in the least restrictive community setting.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Sections 208, 208.4 and 1275.3, Health and Safety Code. Reference: Sections 1250, 1250.1 and 1275.3, Health and Safety Code.
HISTORY

1. New section refiled by the Department of Health Services with the Secretary of State on 5-30-89 as an emergency pursuant to Health and Safety Code Section 1275.3; operative 5-30-89. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 89, No. 23). For prior history, see Register 89, No. 1.
2. Certificate of Compliance as to 5-30-89 order including amendment of subsection (a) transmitted to OAL 9-27-89 and filed 10-26-89 (Register 89, No. 44).
§51165. Intermediate Care Facility Services for the Developmentally Disabled.
Note     •     History

(a) Intermediate care facility services for the developmentally disabled means those services provided in intermediate care facilities for the developmentally disabled, pursuant to the provisions of Sections 76301 through 76413 of Title 22 of the California Administrative Code, except as indicated in (b).
(b) Intermediate care facility services for the developmentally disabled except as reimbursed under Section 51510.1 do not include:
(1) Services rendered in acordance with Section 51305, Physicians' Services; 51306, Optometry Services; 51307, Dental Services; 51308, Chiropractic Services; 51309, Psychology, Physical Therapy, Occupational Therapy, Speech Therapy and Audiological Services; 51310, Podiatry Services; 51311, Laboratory, Radiological and Radioisotope Services; 51312, Prayer or Spiritual Healing; 51313, Pharmaceutical Services and Prescribed Drugs; 51314, Rehabilitation Center Outpatient Services; 51315, Prosthetic and Orthotic Appliances; 51317, Eyeglasses,  Contact Lenses, Low Vision Aids, Prosthetic Eyes and Other Eye Appliances; 51319, Hearing Aids; 51320, Medical Supplies; 51321, Durable Medical Equipment, except as provided in Section 51321(h)(4); 51323, Medical Transportation Services; 51325, Blood and Blood Derivatives; 51326, Nurse Anesthetist Services; 51327, Inpatient Hospital Services; 51328, Outpatient Detoxification Services; 51330, Chronic Hemodialysis; 51330.1, Renal Homotransplantation; 51331, Hospital Outpatient Department and Organized Outpatient Clinic Services; 51337, Home Health Agency Services; 51340, Early and Periodic Screening Services; and 51341, Short-Doyle/Medi-Cal Provider Services.
(2) Other equipment and supplies for which prior authorizations have been granted to other providers by the Medi-Cal consultant and which are therefore separately billed by other providers of services.
(3) Personal care items and services for which a personal and incidental allowance is provided.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code; and Section 208.4, Health and Safety Code. Reference: Section 14132, Welfare and Institutions Code; and Section 1250, Health and Safety Code.
HISTORY

1. Amendment filed 3-29-84 as an emergency; designated effective 4-1-84 (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-30-84. For prior history, see Registers 84, No. 2; 82, No. 31 and 79, No. 9.
2. Emergency language filed 3-29-84 repealed by operation of Government Code Section 11346.1(f) (Register 85, No. 19).
3. Amendment filed by the Department of Health Services with the Secretary of State on 8-1-84 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 19).
4. Certificate of Compliance including amendment of subsection (b)(1) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§51165.1. Intermediate Care Facility Services for the Developmentally Disabled Habilitative.
Note     •     History

Intermediate care facility services for the developmentally disabled habilitative means those services provided pursuant to Sections 76853 through 76906 of Title 22 of the California Administrative Code. Included are services of the interdisciplinary professional staff/team in providing case conference review of clients' developmental needs, developing and implementing programs and providing specific training and expertise to the program staff who implement the individual service plans.
NOTE

Authority cited. Section 14124.5, Welfare and Institutions Code; and Sections 208.3, 208.4 and 1267.7, Health and Safety Code. Reference: Section 14132, Welfare and Institutions Code; and Section 1250, Health and Safety Code.
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 8-1-84 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 19).
2. Certificate of Compliance filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§51165.2. Intermediate Care Facility Services for the Developmentally Disabled--Nursing.
Note     •     History

Intermediate care facility services for the developmentally disabled-nursing means those services provided pursuant to Sections 73856 through 73907, Title 22, California Code of Regulations.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Sections 208, 208.3, 208.4, 1250.1 and 1275.3, Health and Safety Code. Reference: Sections 1250.1 and 1275.3, Health and Safety Code.
HISTORY

1. New section refiled by the Department of Health Services with the Secretary of State on 5-30-89 as an emergency pursuant to Health and Safety Code Section 1275.3; operative 5-30-89. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 89, No. 23). For prior history, see Register 89, No. 1.
2. Certificate of Compliance as to 5-30-89 order including amendment transmitted to OAL 9-27-89 and filed 10-26-89 (Register 89, No. 44).
§51170. Nonphysician Medical Practitioner.
Note     •     History

“Nonphysician medical practitioner” means a nurse midwife, physician's assistant, or nurse practitioner who provides primary care.
NOTE

Authority cited: Sections 14053, 14105, 14124.5 and 14132, Welfare and Institutions Code. Reference: Article 12.5 of Chapter 5, Articles 2 and 2.5 of Chapter 6, and Chapter 7.7, Business and Professions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 8-9-78 (Register 78, No. 31).
§51170.1. Physician's Assistant.
Note     •     History

(a) “Physician's assistant” means a person whom the California Board of Medical Quality Assurance has currently:
(1) Certified as a primary health care, women's health care or emergency care physician's assistant.
(2) Approved to perform direct patient care services under the supervision of a primary care physician approved by the Board.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 8-9-78 (Register 78, No. 31).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
§51170.2. Nurse Midwife.
Note     •     History

“Nurse midwife” means a person who is licensed as a registered nurse and who is currently certified as a nurse midwife by the California Board of Registered Nursing.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 8-9-78 (Register 78, No. 31).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
§51170.3. Nurse Practitioner.
Note     •     History

(a) “Nurse practitioner” means a licensed registered nurse:
(1) Who is certified by the Board of Registered Nursing as a nurse practitioner.
(2) Whose practice is predominantly that of primary care.
(b) “Certified family nurse practitioner” means a nurse practitioner, as defined in (a), who is authorized or permitted by the Board of Registered Nursing to hold oneself out as a family nurse practitioner and is currently practicing as such.
(c) “Certified pediatric nurse practitioner” means a nurse practitioner, as defined in (a), who is authorized or permitted by the Board of Registered Nursing to hold oneself out as a pediatric nurse practitioner and is  currently practicing as such.
NOTE

Authority cited: Sections 14105, 14124.5 and 14132.41, Welfare and Institutions Code. Reference: Sections 14059, 14132 and 14132.41,  Welfare and Institutions Code; and Sections 2834, 2835 and 2836, Business and Professions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 8-9-78 (Register 78, No. 31).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
4. Amendment of subsection (a)(1) and Note and new subsections (b) and (c) filed 5-3-93 as an emergency; operative 5-3-93 (Register 93, No. 19). A Certificate of Compliance must be transmitted to OAL 8-31-93 or emergency language will be repealed by operation of  law on the following day.
5. Reinstatement of section as it existed prior to emergency amendment filed 5-3-93 by operation of Government Code section 11346.1(f) (Register 93, No. 44).
6. Amendment of subsection (a)(1) and Note and new subsections (b) and (c)  refiled 10-27-93 as an emergency; operative 10-27-93 (Register 93, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-25-94 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-27-93 order including amendment of Note transmitted to OAL 10-18-93 and filed 12-2-93 (Register 93, No. 49). 
§51170.5. Primary Care.
Note     •     History

(a) “Primary care” means health professional services provided in a continuing relationship established with an individual or family group in order to provide:
(1) Surveillance of health needs.
(2) Access to comprehensive health care.
(3) Referral to other health professionals.
(4) Health counseling and patient education.
(b) Primary care is generally provided by those health professionals, including nonphysician medical practitioners, whose practice is predominantly that of general medicine, family practice, internal medicine, pediatrics, obstetrics or gynecology.
NOTE

Authority cited: Sections 14053, 14105, 14124.5 and 14132, Welfare and Institutions Code. Reference: Article 12.5 of Chapter 5, Articles 2 and 2.5 of Chapter 6, and Chapter 7.7, Business and Professions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 8-9-78 (Register 78, No. 31).
§51171. Physician-Practitioner Interface.
Note     •     History

“Physician-Practitioner Interface” means the system of collaboration and physician supervision by which medical treatment services provided by physicians and nonphysician medical practitioners are integrated and made consistent with accepted medical practice.
NOTE

Authority cited: Sections 14053, 14105, 14124.5 and 14132, Welfare and Institutions Code. Reference: Article 12.5 of Chapter 5, Articles 2 and 2.5 of Chapter 6 and Chapter 7.7, Business and Professions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 8-9-78 (Register 78, No. 31).
§51172. Date of Service.
Note     •     History

Notwithstanding any other Department regulation, for purposes of billing for prescribed drugs, the date of service means the date a prescription is filled. If the drug has not been received by the beneficiary or the beneficiary's representative within 15 days after the prescription is filled, the pharmacy must reverse the claim and refund the payment to the Department.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14124.1 and 14124.2, Welfare and Institutions Code.
HISTORY

1. New section filed 4-9-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Amendment filed 1-9-95; operative 3-1-95 (Register 95, No. 2).
§51173. Acute Administrative Days.
Note     •     History

Acute administrative days means those days approved in an acute inpatient facility which provides a higher level of medical care than that currently needed by the patient.
NOTE

Authority cited: Section 14105(a), Welfare and Institutions Code. Reference: Section 14105(a), Welfare and Institutions Code.
HISTORY

1. New section filed 4-28-82; designated effective 6-1-82 (Register 82, No. 18).
§51173.1. In-Home Medical Care and Nursing Facility Waiver Services.
Note     •     History

“In-home medical care waiver services and nursing facility waiver services” means those medical services provided in a beneficiary's place of residence to beneficiaries who would otherwise require acute hospital or nursing facility inpatient care for at least 90 consecutive days. Such services shall be provided by organizations or individuals approved by the Department to provide such services. For purposes of in-home medical care waiver services and nursing facility waiver services, the beneficiary's place of residence may include congregate living situations or facilities licensed as congregate living health facilities, if the home setting is not medically appropriate or available. For the purpose of providing in-home medical care services, congregate living situations do not include community care facilities licensed pursuant to Section 1500, Health and Safety Code, except that in-home medical care waiver and nursing facility waiver services may be provided to ventilator-dependent children residing in foster care homes in accordance with Section 1507.5, Health and Safety Code.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14114 and 14132, Welfare and Institutions Code; and Section 1507.5, Health and Safety Code.
HISTORY

1. New section filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
2. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
3. Amendment filed 6-18-87; operative 7-18-87 (Register 87, No. 25).
4. Amendment of section heading, text and Note filed 10-20-94; operative 10-20-94 (Register 94, No. 42).
5. Editorial correction of History 4 (Register 95, No. 14).
§51174. Paramedic Ambulance Services.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 4-20-82 as an emergency; effective upon filing (Register 82, No. 18).
2. Order of Repeal of 4-20-82 emergency order filed 4-29-82 by OAL pursuant to Government Code Section 11349.6 (Register 82, No. 18).
3. New section filed 7-6-82 as an emergency; effective upon filing (Register 82, No. 28). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 11-3-82.
4. Certificate of Compliance as to 7-6-82 order transmitted to OAL 11-3-82 and filed 12-3-82 (Register 82, No. 49).
5. Repealer filed 8-9-85; effective thirtieth day thereafter (Register 85, No. 32).
§51175. Nurse Midwife Services.
Note     •     History

Nurse midwife services means services provided by nurse midwives, acting within the scope of their practice.
NOTE

Authority cited: Section 14124.5, Welfare Institutions Code. Reference: Section 14132.4, Welfare and Institutions Code.
HISTORY

1. New section filed 12-21-83; effective thirtieth day thereafter (Register 83, No. 52).
§51176. Home and Community-Based Waiver Services.
Note     •     History

(a) Home and community-based waiver services which are permitted and defined under appropriate federal waiver are those services available to individuals in order to avoid institutionalization. Federal waivers as used in this chapter in reference to home and community-based services are embodied in the following:
(1) Waiver for service to the developmentally disabled effective October 1, 1992 and as periodically amended and/or renewed;
(2) Waiver for services to the elderly effective July 1, 1987 and as periodically amended and/or renewed;
(3) In-Home Medical Care Services Waiver, effective July 1, 1987 and as periodically amended and/or renewed;
(4) Skilled Nursing Facility Level of Care Waiver, effective July 1, 1987 and as periodically amended and/or renewed;
(5) Model Waiver, effective July 1, 1988 and as periodically amended and/or renewed;
(6) Waiver for People with AIDS and Related Conditions, effective January 1, 1989 and as periodically amended and/or renewed; and
(7) Nursing Facility Waiver Services.
(b) Home and community-based services may include the following:
(1) Case Management
(2) Home-maker
(3) Home Health Aide
(4) Personal Care
(5) Habilitation
(6) Respite Care
(7) Day Treatment
(8) Other services as determined necessary by the Department to accomplish the objectives of the program. 
EDITORIAL NOTE: The approved waivers are available for review at Department of Health Services, Chief, Alternative Services Unit, Medi-Cal Benefits Branch, 714 P Street, Sacramento, CA 95814.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87. Reference: Sections 14114 and 14132(s), Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-83 as an emergency; effective upon filing (Register 83, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed 6-25-83.
2. Certificate of Compliance including editorial correction transmitted to OAL 6-22-83 and filed 7-27-83 (Register 83, No. 31).
3. Amendment of section heading, subsections (a)-(a)(1), repealer of subsection (a)(2), redesignation and amendment of former subsection (a)(3), new subsections (a)(3)-(7) and amendment of Editorial Note filed 10-20-94; operative 10-20-94 (Register 94, No. 42).
4. Editorial correction of History 3 (Register 95, No. 14).
§51177. Swing Bed Services.
Note     •     History

Swing bed services are skilled nursing facility services as defined in Section 51123 which are provided by a swing bed facility.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1339.5, 1339.7, 1339.8, 1339.9, 1339.15 and 1339.19, Health and Safety Code.
HISTORY

1. New section filed 1-17-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 3).
§51178. Swing Bed Facility.
Note     •     History

Swing bed facility means a hospital as defined in Section 51109 which meets the standards for swing bed facility participation specified in Section 51247.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1339.3, 1339.5, 1339.9 and 1339.15, Health and Safety Code.
HISTORY

1. New section filed 1-17-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 3).
§51179. Comprehensive Perinatal Services.
Note     •     History

“Comprehensive perinatal services” means obstetrical, psychosocial, nutrition, and health education services, and related case coordination provided by or under the personal supervision of a physician during pregnancy and 60 days following delivery.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled as an emergency 6-5-87; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including amendment filed 9-17-87 (Register 87, No. 38).
§51179.1. Comprehensive Perinatal Provider.
Note     •     History

“Comprehensive perinatal provider” means any general practice physician, family practice physician, obstetrician/gynecologist, pediatrician, a group, any of whose members are one of the above-named physicians, or any preferred provider organization, organized outpatient clinic, or any other clinic holding a valid Medi-Cal provider number, approved by the Department to provide comprehensive perinatal services.
NOTE

Authority cited: Section 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled as an emergency 6-5-87; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance filed 9-17-87 (Register 87, No. 38).
§51179.2. Comprehensive Perinatal Nutrition Services.
Note     •     History

“Comprehensive perinatal nutrition services” means direct patient care nutrition services provided by any qualified professional as specified in Section 51179.7, pursuant to protocols as defined in Section 51179.10.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87,No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including amendment filed 9-17-87 (Register 87, No. 38).
§51179.3. Comprehensive Perinatal Psychosocial Services.
Note     •     History

“Comprehensive perinatal psychosocial services” means direct patient care psychosocial services provided by any qualified professional as specified in Section 51179.7, pursuant to protocols as defined in Section 51179.10.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including amendment filed 9-17-87 (Register 87, No. 38).
§51179.4. Comprehensive Perinatal Health Education Services.
Note     •     History

“Comprehensive perinatal health education services” means direct patient care health education services provided by any qualified professional as specified in Section 51179.7, pursuant to protocols as defined in Section 51179.10.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including amendment filed 9-17-87 (Register 87, No. 38).
§51179.5. Personal Supervision.
Note     •     History

“Personal supervision” means evaluation, in accordance with protocols, by a licensed physician, of services performed by others through direct communication, either in person or through electronic means.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including amendment filed 9-17-87 (Register 87, No. 38).
§51179.6. Case Coordination.
Note     •     History

“Case coordination” means organizing the provision of comprehensive perinatal services, and includes, but is not limited to, supervision of all aspects of patient care including antepartum, intrapartum, and postpartum.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section filed 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance filed 9-17-87 (Register 87, No. 38).
§51179.7. Comprehensive Perinatal Practitioner.
Note     •     History

(a) “Comprehensive Perinatal Practitioner” means any one of the following:
(1) A physician who is either:
(A) A general practice physician, or
(B) A family practice physician, or
(C) A pediatrician, or
(D) An obstetrician-gynecologist.
(2) A Certified Nurse Midwife as defined in Section 51170.2.
(3) A Registered Nurse who is licensed as such by the Board of Registered Nursing and who has one year experience in the field of maternal and child health.
(4) A Nurse Practitioner as defined in Section 51170.3.
(5) A Physician's Assistant as defined in Section 51170.1.
(6) A social worker who either:
(A) Holds a Master's Degree or higher in social work or social welfare from a college or university with a Social Work Degree program accredited by the Council on Social Work Education and who has one year of experience in the field of Maternal and Child Health, or
(B) Holds a Master's Degree in psychology or Marriage, Family and Child counseling and has one year of experience in the field of Maternal and Child Health, or
(C) Holds a Baccalaureate Degree in social work or social welfare from a college or university with a Social Work Degree program accredited by the Council on Social Work Education and who has one year experience in the field of Maternal and Child Health.
(7) A health educator who either has:
(A) A Master's Degree (or higher) in Community or Public Health Education from a program accredited by the Council on Education for Public Health and who has one year of experience in the field of Maternal and Child Health, or
(B) A Baccalaureate Degree with a major in Community or Public Health Education and who has one year of experience in the field of Maternal and Child Health.
(8) A childbirth educator who is:
(A) Licensed as a Registered Nurse by the Board of Registered Nursing and has one year experience in a program which complies with the “Guidelines for Childbirth Education” (last published in 1981), herein incorporated by reference in its entirety and available from the American College of Obstetricians and Gynecologists, 600 Maryland Avenue, South West, Suite 300 East, Washington, D.C., 20024-2588 or
(B) A Certified Childbirth Educator who has completed a training program and is currently certified to teach that method of childbirth education by the American Society for Psychoprophylaxis in Obstetrics, or Bradley, or the International Childbirth Education Association.
(9) A dietitian who is registered, or is eligible to be registered by the Commission on Dietetic Registration, the credentialing agency of the American Dietetic Association, with one year of experience in the field of perinatal nutrition.
(10) A comprehensive perinatal health worker who:
(A) Is at least 18 years of age, is a high school graduate or equivalent, and has at least one year of full-time paid practical experience in providing perinatal care;
(B) Provides services in a clinic that is either licensed or exempt from licensure under Section seq. and 1250 of the Health andSafety Code, under the direct supervision of a comprehensive perinatal practitioner as defined in Section 51179.7(a)(1).
(11) A licensed vocational nurse who is licensed under Section 2516 of the Business and Professions Code and who has one year of experience in the field of Maternal and Child Health.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including amendment filed 9-17-87 (Register 87, No. 38).
§51179.8. Individualized Care Plan.
Note     •     History

“Individualized Care Plan” means a document developed by a comprehensive perinatal practitioner(s) in consultation with the patient. The plan consists of four components; obstetrical, nutritional, health education, and psychosocial. Each component includes identification of risk conditions, prioritization of needs, proposed interventions including methods, timeframes, and outcome objectives, proposed referrals and staff persons' respective responsibilities, based on the results of assessments.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including repealer of former Section 51179.8, and renumbering and amendment of Section 51179.9 to Section 51179.8 filed 9-17-87 (Register 87, No. 38).
§51179.9. Protocol.
Note     •     History

“Protocol” means written procedures for providing psychosocial, nutrition, and health education services and related case coordination. Protocols shall be approved by the Comprehensive Perinatal Provider as defined in Section 51179.7(a)(1) and the Comprehensive Perinatal Practitioners as defined in Sections 51179.7(a)(6)() or 51179.7(a)(6)(B), and Section 51179.7(a)(7)(A) and Section 51179.7(a)(9). Protocols shall be developed, approved, and adopted within six months of the effective date of provider approval as a Comprehensive Perinatal Provider.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including renumbering of former Section 51179.9 to Section 51179.8, and renumbering and amendment of Section 51179.10 to Section 51179.9 filed 9-17-87 (Register 87, No. 38).
§51179.10. Protocol.
Note     •     History

NOTE

Authority cited: Sections 1725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including renumbering and amendment of Section 51179.10 to Section 51179.9 filed 9-17-87 (Register 87, No. 38).
§51180. Hospice Care.
Note     •     History

(a) Hospice care means the provision of palliative and supportive items and services described below to a terminally ill individual as defined in Section 51180.2, who has voluntarily elected to receive such care in lieu of curative treatment related to the terminal condition, by a hospice provider or by others under arrangements made by a hospice provider:
(1) Nursing sevices;
(2) Physical or occupational therapy, or speech-language pathology;
(3) Medical social services under the direction of a physician;
(4) Home health aide and homemaker services;
(5) Medical supplies and appliances;
(6) Drugs and biologicals;
(7) Physician services;
(8) Short-term inpatient care;
(9) Counseling, including bereavement, dietary and spiritual counseling;
(10) Any other item or service for which payment may otherwise be made under the Medi-Cal program.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88.
2. Certificate of Compliance transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
3. Amendment of subsections (a)(2) and (a)(9) and new subsection (a)(10) filed 3-27-2000 as an emergency; operative 3-30-2000 (Register 2000, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-27-2000 order transmitted to OAL 7-17-2000 and filed 8-28-2000 (Register 2000, No. 35).
§51180.1. Hospice.
Note     •     History

(a) Hospice means a public agency or private organization, or a subdivision thereof, or a facility which:
(1) Is primarily engaged in providing the items and services described in Section 51180 to terminally ill individuals.
(2) Makes such services available as needed on a 24-hour basis, and
(3) Provides bereavement counseling for the immediate family and significant others.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88.
2. Certificate of Compliance transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
§51180.2. Terminally Ill.
Note     •     History

Terminally ill means that an individual's medical prognosis as certified by a physician is that his or her life expectancy is six months or less.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88.
2. Certificate of Compliance transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
§51180.3. Routine Home Care.
Note     •     History

Routine home care means care provided in the individual's residence which is not continuous care.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88.
2. Certificate of Compliance transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
§51180.4. Continuous Home Care.
Note     •     History

Continuous home care means care provided in the individual's residence, which consists predominately of skilled nursing care, for a minimum of eight hours in a 24-hour period, for the palliation or management of acute medical symptoms and/or when the family or caregiver is physically or emotionally unable to manage the patient's care.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88.
2. Certificate of Compliance including amendment transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
§51180.5. Respite Care.
Note     •     History

Respite care means short-term inpatient care in an acute hospital, skilled nursing facility/Level B, intermediate care facility/Level A, or a hospice facility which is organized to provide inpatient care directly, when necessary to relieve family members or others primarily caring for the individual.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88.
2. Certificate of Compliance transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
3. Amendment filed 3-27-2000 as an emergency; operative 3-30-2000 (Register 2000, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-27-2000 order transmitted to OAL 7-17-2000 and filed 8-28-2000 (Register 2000, No. 35).
§51180.6. General Inpatient Care.
Note     •     History

General inpatient care means services in an acute hospital, skilled nursing facility/Level B, or a hospice facility which is organized to provide inpatient care directly, for the purpose of pain control or acute or chronic symptom management.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88.
2. Certificate of Compliance transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
3. Editorial correction of History 2 (Register 95, No. 45).
4. Amendment filed 3-27-2000 as an emergency; operative 3-30-2000 (Register 2000, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-27-2000 order transmitted to OAL 7-17-2000 and filed 8-28-2000 (Register 2000, No. 35).
§51180.7. Representative.
Note     •     History

Representative means a person who, because of a terminally ill individual's mental or physical incapacity, is lawfully authorized in accordance with the procedures set forth in Civil Code Section 2500 et seq. or otherwise to execute or revoke an election for hospice care or terminate medical care on behalf of the individual.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88.
2. Certificate of Compliance transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
§51181. Personal Care Services Provider.
Note     •     History

A personal care services provider is that individual, county employee, or county contracted agency authorized by the Department of Health Services to provide personal care services to eligible beneficiaries. An individual provider shall not be a family member, which for purposes of this section means the parent of a minor child or a spouse.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51182. Personal Representative.
Note     •     History

For purposes of Section 51204 and 51350, “personal representative” means the duly appointed guardian or conservator of the individual or a person representing the individual provided that it can be established with reasonable certainty through forms, documents or correspondence that such person is authorized to represent the individual.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51183. Personal Care Services.
Note     •     History

Personal care services include (a) personal care services and (b) ancillary services prescribed in accordance with a plan of treatment.
(a) Personal care services include:
(1) Assisting with ambulation, including walking or moving around (i.e., wheelchair) inside the home, changing locations in a room, moving from room to room to gain access for the purpose of engaging in other activities. Ambulation does not include movement solely for the purpose of exercise.
(2) Bathing and grooming including the cleaning the body using a tub, shower or sponge bath, including getting a basin of water, managing faucets, getting in and out of tub, or shower, reaching head and body parts for soaping, rising, and drying. Grooming includes hair combing and brushing, shampooing, oral hygiene, shaving and fingernail and toenail care.
(3) Dressing includes putting on and taking off, fastening and unfastening garments and undergarments, and special devices such as back or leg braces, corsets, elastic stockings/garments and artificial limbs or splints.
(4) Bowel, bladder and menstrual care including assisting the person on and off toilet or commode and emptying commode, managing clothing and wiping and cleaning body after toileting, assistance with using and emptying bedpans, ostomy and/or catheter receptacles and urinals, application of diapers and disposable barrier pads.
(5) Repositioning, transfer skin care, and range of motion exercises.
(A) Includes moving from one sitting or lying position to another sitting or lying position; e.g., from bed to or from a wheelchair, chair, sofa, and the like, coming to a standing position and/or rubbing skin and repositing to promote circulation and prevent skin breakdown. However, if decubiti have developed, the need for skin and wound care is a paramedical service.
(B) Such exercises shall include the carrying out of maintenance programs, i.e., the performance of the repetitive exercises required to maintain function, improve gait, maintain strength, or endurance; passive exercises to maintain range of motion in paralyzed extremities; and assistive walking.
(6) Feeding, hydration assistance including reaching for, picking up, grasping utensil and cup; getting food on utensil, bringing food, utensil, cup to mouth, manipulating food on plate. Cleaning face and hands as necessary following meal.
(7) Assistance with self administration of medications. Assistance with self-administration of medications consists of reminding the beneficiary to take prescribed and/or over-the-counter medications when they are to be taken and setting up Medi-sets.
(8) Respiration limited to nonmedical services such as assistance with self-administration of oxygen, assistance in the use of a nebulizer, and cleaning oxygen equipment.
(9) Paramedical services are defined in Welfare and Institutions Code Section 12300.1 as follows:
(A) Paramedical services include the administration of medications, puncturing the skin or inserting a medical device into a body orifice, activities requiring sterile procedures, or other activities requiring judgment based on training given by a licensed health care professional.
(B) Paramedical services are activities which persons could perform for themselves but for their functional limitations.
(C) Paramedical services are activities which, due to the beneficiary's physical or mental condition, are necessary to maintain the beneficiary's health.
(b) Ancillary services are subject to time per task guidelines when established in Sections 30-758 and 30-763.235(b) and 30-763.24 of the Department of Social Services' Manual of Policies and Procedures and are limited to the following:
(1) Domestic services are limited to the following:
(A) Sweeping, vacuuming, washing and waxing of floor surfaces.
(B) Washing kitchen counters and sinks.
(C) Storing food and supplies.
(D) Taking out the garbage.
(E) Dusting and picking up.
(F) Cleaning oven and stove.
(G) Cleaning and defrosting refrigerator.
(H) Bringing in fuel for heating or cooking purposes from a fuel bin in the yard.
(I) Changing bed linen.
(J) Miscellaneous domestic services (e.g., changing light bulbs and wheelchair cleaning, and changing and recharging wheelchair batteries) when the service is identified and documented by the case worker as necessary for the beneficiary to remain safely in his/her home.
(2) Laundry services include washing and drying laundry, and is limited to sorting, manipulating soap containers, reaching into machines, handling wet laundry, operating machine controls, hanging laundry to dry if dryer is not routinely used, mending, or ironing, folding, and storing clothing on shelves, in closets or in drawers.
(3) Reasonable food shopping and errands limited to the nearest available stores or other facilities consistent with the beneficiary's economy and needs; compiling a list, bending, reaching, and lifting, managing cart or basket, identifying items needed, putting items away, phoning in and picking up prescriptions, and buying clothing.
(4) Meal preparation and cleanup including planning menus; e.g., washing, peeling and slicing vegetables; opening packages, cans and bags, mixing ingredients; lifting pots and pans; reheating food, cooking, and safely operating stove, setting the table and serving the meals; cutting the food into bite-size pieces; washing and drying dishes, and putting them away.
(5) Assistance by the provider is available for accompaniment when the beneficiary's presence is required at the destination and such assistance is necessary to accomplish the travel limited to:
(A) Accompaniment to and from appointments with physicians, dentists and other health practitioners. This accompaniment shall be authorized only after staff of the designated county department has determined that no other Medi-Cal service will provide transportation in the specific case.
(B) Accompaniment to the site where alternative resources provide in-home supportive services to the beneficiary in lieu of IHSS. This accompaniment shall be authorized only after staff of the designated county department have determined that neither accompaniment nor transportation is available by the program.
(6) Heavy Cleaning which involves thorough cleaning of the home to remove hazardous debris or dirt.
(7) Yard hazard abatement which is light work in the yard which may be authorized for:
(A) removal of high grass or weeds and rubbish when this constitutes a fire hazard
(B) removal of ice, snow or other hazardous substances from entrances and essential walkways when access to the home is hazardous.
(c) Ancillary services may not be provided separately from personal care services listed in section (a) above.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51184. Early and Periodic Screening, Diagnosis, and Treatment (EPSDT) Program Definitions.
Note     •     History

(a) EPSDT Screening Services means:
(1) An initial, periodic, or additional health assessment of a Medi-Cal eligible individual under 21 years of age provided in accordance with the requirements of the Child Health and Disability Prevention (CHDP) program as set forth in Title 17, Sections 6800 et seq.; or
(2) A health assessment, examination, or evaluation of a Medi-Cal eligible individual under 21 years of age by a licensed health care professional acting within his or her scope of practice, at intervals other than those specified in paragraph (a)(1) to determine the existence of physical or mental illnesses or conditions; or
(3) Any other encounter with a licensed health care professional that results in the determination of the existence of a suspected illness or condition or a change or complication in a condition for a Medi-Cal eligible person under 21 years of age.
(b) EPSDT diagnosis and treatment services means only those services provided to persons under 21 years of age that:
(1) Are identified in section 1396d(r) of title 42 of the United States Code,
(2) Are available under this chapter without regard to the age of the recipient or that are provided to persons under 21 years of age pursuant to any provision of federal Medicaid law other than section 1396d(a)(4)(B) and section 1396a(a)(43) of title 42 of the United States Code, and
(3) Meet the standards and requirements of Sections 51003 and 51303, and any specific requirements applicable to a particular service that are based on the standards and requirements of those sections.
(c) EPSDT supplemental services means health care, diagnostic services, treatment, and other measures, that:
(1) Are identified in Section 1396d(r) of Title 42 of the United States Code.
(2) Are available only to persons under 21 years of age,
(3) Meet any one of the standards of medical necessity as set forth in paragraphs (1), (2), or (3) of Section 51340(e), and
(4) Are not EPSDT diagnosis and treatment services.
(d) EPSDT supplemental services include EPSDT case management services when provided by EPSDT case managers described in paragraph (h)(4).
(e) EPSDT diagnosis and treatment provider means any of the providers listed under Section 51051, other than EPSDT supplemental services providers.
(f) EPSDT Supplemental Services Provider means a person enrolled pursuant to Section 51242 to provide EPSDT supplemental services as defined in subsection (c).
(g) EPSDT case management services means services that will assist EPSDT-eligible individuals in gaining access to needed medical, social, educational, and other services.
(h) EPSDT case manager means:
(1) A targeted case management (TCM) provider under contract with a local governmental agency described in Section 14132.44 of the Welfare and Institutions Code.
(2) Entities and organizations, including Regional Centers, that provide TCM services to persons described in Section 14132.48 of the Welfare and Institutions Code.
(3) A unit within the Department designated by the Director.
(4) A child protection agency, other agency or entity serving children, or an individual provider, that the Department finds qualified by education, training, or experience, and that the Department enrolls pursuant to Section 51242 to provide EPSDT case management services.
(i) For purposes of the EPSDT program, excepting pediatric day health care EPSDT services provided as EPSDT supplemental services, the term “services” is deemed to include supplies, items, or equipment.
(j) EPSDT supplemental services include pediatric day health care EPSDT services when provided by a pediatric day health care facility.
(k) For purposes of pediatric day health care EPSDT services, the following definitions shall apply:
(1) “Pediatric day health care EPSDT services” means services that:
(A) Promote the physical, developmental and psychosocial well-being of individuals eligible for EPSDT services who are medically fragile as defined in Section 1760.2(b) of the Health and Safety Code and who live with their parent, foster parent, or legal guardian.
(B) Provide medically necessary skilled nursing care and therapeutic interventions which include occupational therapy, physical therapy, speech therapy and medical nutrition therapy provided by licensed or registered therapists and furnished in response to the attending physician's orders and in accordance with the individual's plan of treatment. These services do not include respite care pursuant to Section 14132.10(a), of the Welfare and Institutions Code.
(C) Are provided in a day program of less than 24 hours that is individualized and family-centered, with developmentally appropriate activities of play, learning and social interaction designed to optimize the individual's medical status and developmental functioning so that he or she can remain within the family.
(2) “Pediatric day health care facility” means a facility that is licensed pursuant to Section 1760 of the Health and Safety Code. For purposes of providing pediatric day health care EPSDT services, a pediatric day health care facility may also be referred to as the “facility”.
(3) “Pharmaceutical services” means medications, including prescription and nonprescription, and total parental nutrition supplied to eligible beneficiaries by licensed nursing personnel and administered upon orders of the attending physician.
(4) “Nutrition services” means a minimum of one meal per day, between meal nourishment, and consultation services by the facility's dietitian.
NOTE

Authority cited: Sections 10725, 14124.5 and 14195, Welfare and Institutions Code; and Sections 100275, 125000 and 125100, Health and Safety Code.  Reference: Sections 14059, 14132 and 14132.10, Welfare and Institutions Code; Sections 125000 and 125100, Health and Safety Code; and 42 U.S.C. 1396d(r).
HISTORY

1. New section filed 4-4-94 as an emergency; operative 4-4-94 (Register 94, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-1-94 as an emergency; operative 8-1-94 (Register 94, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-29-94 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-21-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 2-22-95; operative 2-22-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-22-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-22-95 order including amendment of section transmitted to OAL 3-16-95 and filed 4-27-95 (Register 95, No. 17).
6. Amendment of subsection (i), new subsections (j)-(k)(4) and amendment of Note filed 11-10-99 as an emergency; operative 11-10-99 (Register 99, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-9-2000 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-10-99 order, including further amendment of subsection (k)(1)(B) and (k)(4), transmitted to OAL 3-8-2000 and filed 4-19-2000 (Register 2000, No. 16).
§51185. Targeted Case Management Services Program Definitions.
Note     •     History

(a) “Encounter” means a face-to-face contact or a significant telephone contact in lieu of a face-to-face contact when environmental considerations preclude a face-to-face encounter, for the purpose of rendering one or more targeted case management service components by a case manager. For the target populations specified in Section 50262.7(a)(3)(B), (C) or (D), the encounter may be with persons acting on behalf of the Medi-Cal beneficiary.
(b) “High-risk persons” means those persons who have failed to take advantage of necessary health care services, or do not comply with their medical regimen or who need coordination of multiple medical, social and other services due to the existence of an unstable medical condition in need of stabilization, substance abuse or because they are victims of abuse, neglect, or violence, including, but not limited to, the following individuals:
(1) Women, infants, children and young adults to age 21.
(2) Pregnant women.
(3) Persons with Human Immunodeficiency Virus/Acquired Immune Deficiency Syndrome.
(4) Persons with reportable communicable disease.
(5) Persons who are technology dependent. Solely for the purposes of the Targeted Case Management Services program, “technology dependent persons” means those persons who use a medical technology, embodied in a medical device, that compensates for the loss of normal use of a vital body function and require skilled nursing care to avert death or further disability.
(6) Persons with multiple diagnoses who require services from multiple health/social service providers.
(7) Persons who are medically fragile. Solely for the purposes of the Targeted Case Management Services program, “medically fragile persons” means those persons who require ongoing or intermittent medical supervision without which their health status would deteriorate to an acute episode.
(c) “Host county” means the local governmental agency that has been designated by all local governmental agencies participating in the targeted case management program, to be the administrative and fiscal intermediary between the department and all participating local governmental agencies.
(d) “Local Governmental Agency” means a county or chartered city.
(e) “Skilled Professional Medical Personnel” means a physician, dentist, or nurse, or other specialized personnel who has completed a 2-year or longer program leading to an academic degree or certification in a medically-related profession and who performs duties and responsibilities requiring professional medical knowledge and skills, and who is in an employer-employee relationship with the local governmental agency.
(f) “Year”, “current year” or “fiscal year” means the period July 1 through June 30.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealed by operation of Government Code section 11346.1(g) (Register 97, No. 15).
5. New section filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
§51187. Tuberculosis (TB) Infection.
Note     •     History

(a) Tuberculosis (TB) Infection means a condition in which living tubercle bacilli are present in an individual with or without producing active disease.
(b) For the purposes of this program, an individual is considered TB infected if a physician indicates a positive diagnosis or a suspicion of TB infection in his/her diagnosis. A TB infected individual includes, but is not limited to, an individual who:
(1) Has a positive Tuberculin skin test using the Mantoux method and who receives treatment for latent TB infection or active TB;
(2) Has a negative Tuberculin skin test but whose sputum culture or culture from another tissue sample is positive for the Tuberculosis organism;
(3) Has never received a Tuberculin skin test but whose sputum culture or culture from another tissue sample is positive for the Tuberculosis organism;
(4) Has a negative Tuberculin skin test and whose sputum or other tissue culture for TB is not or cannot be obtained, but in the physician's judgement he/she requires and is given TB-related drug and/or surgical therapy;
(5) Is symptomatic with a negative TB skin test who is being treated with a TB drug regimen while awaiting the TB culture results because the physician suspects he/she may have active TB, until such time as the individual's culture turns out to be negative for TB, causing the TB drug regimen to be discontinued.
NOTE

Authority cited: Sections 14005.20, 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 8-16-95 as an emergency; operative 8-16-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-14-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-14-95 as an emergency; operative 12-14-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-8-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-8-96 order, including amendment of subsection (b) and new subsections (b)(1)-(5), transmitted to OAL 7-30-96 and filed 9-11-96 (Register 96, No. 37).
§51187.1. Tuberculosis (TB) Related Services.
Note     •     History

(a) Tuberculosis (TB) Related Services for persons eligible for the TB program pursuant to Section 50268 means outpatient medical services related to the diagnosis and treatment of TB infection.
(1) TB diagnostic services means those outpatient services necessary to confirm the presence of TB infection or active disease.
(2) TB related treatment means all outpatient services necessary for the medical management and follow-up of TB infection and/or active disease, which may include drug therapy, Targeted Case Management pursuant to the requirements of Section 14132.44, Welfare and Institutions Code and directly observed therapy (DOT) when provided by a provider listed under Section 51051, who meets the qualifications specified in Section 51276. DOT means the direct observation of the ingestion of prescribed anti-tuberculosis medications by TB infected persons. DOT includes:
(A) Delivering of prescribed medications;
(B) Assisting with the means to ingest prescribed medications;
(C) Observing the ingestion of prescribed medications;
(D) Monitoring for signs of nonadherence or adverse side effects;
(E) Documenting that prescribed medications have been ingested; and
(F) Reporting compliance and/or other problems.
NOTE

Authority cited: Sections 14005.20, 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059, 14132 and 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 8-16-95 as an emergency; operative 8-16-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-14-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-14-95 as an emergency; operative 12-14-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-8-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-8-96 order, including amendment of subsection (a)(2), new subsections (a)(2)(A)-(F), and amendment of Note, transmitted to OAL 7-30-96 and filed 9-11-96 (Register 96, No. 37).
§51190.1. Local Educational Agency (LEA) Eligible Beneficiary.
Note     •     History

For the purposes of this article, a “Local Educational Agency (LEA) eligible beneficiary” means a person eligible for services under Title XIX of the Social Security Act and certified for Medi-Cal who is one of the following:
(a) Under age 22 and enrolled in a school within an LEA in California. Any person who becomes 22 years of age while participating in an Individualized Education Plan or Individualized Family Service Plan may continue his or her participation in the program for the remainder of that current school year; or
(b) A Medi-Cal eligible family member of a student meeting subsection (a) above.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14053 and 14132, Welfare and Institutions Code; and 42 U.S.C. Sections 1396a and 1396d.
HISTORY

1. New section filed 12-22-93 as an emergency; operative 12-22-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-22-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-22-93 order including amendment of subsections (a) and (b) transmitted to OAL 4-20-94 and filed 6-2-94 (Register 94, No. 22).
§51190.2. Local Educational Agency (LEA) Provider.
Note     •     History

“Local Educational Agency (LEA) Provider” means a Local Educational Agency (LEA), that meets the definition in Education Code, Section 33509(e), and that meets the Medi-Cal program requirements pursuant to Section 51270(a).  LEA Providers may be enrolled retroactively to January 1, 1993.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14053 and 14132, Welfare and Institutions Code; and Section 33509(e), Education Code.
HISTORY

1. New section filed 12-22-93 as an emergency; operative 12-22-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-22-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-22-93 order transmitted to OAL 4-20-94 and filed 6-2-94 (Register 94, No. 22).
§51190.3. Local Educational Agency (LEA) Practitioner.
Note     •     History

(a) A “Local Educational Agency (LEA) Practitioner” means an employee or individual under contract to an LEA Provider to furnish LEA Services to LEA eligible beneficiaries.  All LEA practitioners except the practitioner identified in (21) below shall provide documented evidence of being licensed, certified, registered, or otherwise credentialed to practice in California as one of the following:
(1) A licensed physician,
(2) A licensed registered nurse, including a registered credentialed school nurse or a certified public health nurse,
(3) A certified nurse practitioner,
(4)  A licensed vocational nurse,
(5) A licensed clinical social worker,
(6) A registered dietician,
(7) A licensed physician's assistant,
(8) A licensed psychologist,
(9) A licensed marriage, family and child counselor,
(10) A licensed optometrist,
(11) A licensed speech therapist,
(12) A licensed audiologist,
(13) A credentialed school psychologist,
(14) A credentialed school social worker,
(15) A credentialed school counselor,
(16) A registered school audiometrist,
(17) A credentialed language, speech and hearing specialist,
(18) A licensed physical therapist,
(19) A registered occupational therapist,
(20) A licensed psychiatrist, or
(21) A trained health care aide as specified in Section 51491(g)(1).
(b) Any person who is suspended from participation in the Medi-Cal program may not furnish services as an LEA Practitioner.
(c) An LEA practitioner shall provide services only within his/her appropriate scope of practice.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 12-22-93 as an emergency; operative 12-22-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-22-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-22-93 order transmitted to OAL 4-20-94 and filed 6-2-94 (Register 94, No. 22).
§51190.4. Local Educational Agency (LEA) Services.
Note     •     History

“Local Educational Agency (LEA) Services” means preventive, diagnostic, therapeutic, and rehabilitative services that are:
(a) Listed in Section 51360;
(b) Medically necessary as defined in Welfare and Institutions Code, Section 14059.5;
(c) Provided on an outpatient basis; and
(d) Provided to an LEA eligible beneficiary, as defined in Section 51190.1; by an LEA practitioner, as defined in Section 51190.3; on or after January 1, 1993.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14053, 14059.5 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 12-22-93 as an emergency; operative 12-22-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-22-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-22-93 order including amendment of opening statement transmitted to OAL 4-20-94 and filed 6-2-94 (Register 94, No. 22).
§51190.5. Managed Care Plan.
Note     •     History

“Managed Care Plan” means an entity contracting with the Department to provide health care services to enrolled Medi-Cal beneficiaries under Chapter 7, commencing with Section 14000 or Chapter 8, commencing with Section 14200 of Division 9, Part 3 of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14000 et seq., 14053, 14132, 14200 et seq., Welfare and Institutions Code.
HISTORY

1. New section filed 12-22-93 as an emergency; operative 12-22-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-22-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-22-93 order including amendment transmitted to OAL 4-20-94 and filed 6-2-94 (Register 94, No. 22).
§51191. Licensed Midwife.
Note     •     History

“Licensed Midwife” means an individual who holds a current, unrevoked, unsuspended license to practice midwifery under the Licensed Midwifery Practice Act of 1993, as set forth in Business and Professions Code Section 2505, et seq., and the regulations adopted thereunder.
NOTE

Authority cited: Sections 14124.5, Welfare and Institutions Code. Reference: Section 14132.39, Welfare and Institutions Code; and Sections 2505-2521, Business and Professions Code.
HISTORY

1. New section filed 9-3-2004; operative 10-3-2004 (Register 2004, No. 36).
§51192. Licensed Midwife Services.
Note     •     History

Licensed midwife services means services rendered by a licensed midwife, which are performed in accordance with Section 2507 of the Business and Professions Code, and Section 51356 of this Chapter.
NOTE

Authority cited: Sections 14124.5, Welfare and Institutions Code. Reference: Section 14132.39, Welfare and Institutions Code; and Section 2507, Business and Professions Code.
HISTORY

1. New section filed 9-3-2004; operative 10-3-2004 (Register 2004, No. 36).
Article 3. Standards for Participation
§51200. Basic Requirement for Program Participation.
Note     •     History

(a) In addition to any other statutory or regulatory conditions for participation in the Medi-Cal program and any federal requirements for participation in Medicaid, as a condition for enrollment, or continued enrollment, an applicant or provider also shall meet the standards specified in this Article, applicable to their provider type, and the requirements specified in Sections 51000.30 through 51000.55. Failure to meet applicable standards for participation shall result in the denial of the applicant's or provider's application for enrollment, or continued enrollment, as specified in Section 51000.50.
(b) Any provider who violates any provision of law or regulation that governs the Medi-Cal program shall be subject to temporary or permanent suspension from the Medi-Cal program, as permitted by Section 14123, Welfare and Institutions (W&I) Code.
(c) All providers shall be subject to temporary suspension, including temporary deactivation of all provider numbers used by the provider to obtain reimbursement from the Medi-Cal program, under any of the following circumstances:
(1) The provider has failed to disclose all information required in federal Medicaid regulations or any other information required by the Department, or has disclosed false information, as specified in Section 14043.2, W&I Code.
(2) The provider is discovered to be under investigation for fraud or abuse, as specified in Section 14043.36.
(3) The provider has failed to remediate discrepancies that are discovered as a result of an unannounced visit to the provider, as specified in Section 14043.7, W&I Code.
(d) All applicants applying for enrollment, or providers applying for continued enrollment, in the Medi-Cal program shall be certified for participation in the Medicare program of the Federal Social Security Act (Title XVIII), if they provide services that are included in the Medicare scope of benefits and if they provide those services to persons who are eligible beneficiaries of the Medicare program.
(e) Any provider who requests the performance of a clinical laboratory test or examination for a Medi-Cal beneficiary, or upon a biological specimen derived from a Medi-Cal beneficiary, shall provide with the request to the clinical laboratory diagnostic information relevant to the test or examination for which the request is made, including the latest International Classification of Diseases, 9th Revision, or the latest published editions or amendments thereto, Clinical Modification (ICD-9-CM) code numbers, to the highest level of specificity indicating medical necessity for all laboratory tests as required under the Medicare program pursuant to 42, U.S.C., Section 1395u(p) and 42, CFR, Section 424.32.
(f) In addition to meeting and complying with all applicable requirements specified in Articles 1, 2, and 3, any place where a provider, as defined in Section 51051(a), renders laboratory or clinical laboratory services as defined in Section 51137.2 and any person performing, supervising, consulting on, or directing such laboratory or clinical laboratory services shall meet and maintain compliance with the requirements of Section 51211.2.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999.  Reference: Sections 14043.1, 14043.36, 14043.75, 14123 and 14132, Welfare and Institutions Code; Sections 101150-101160, Health and Safety Code; and Sections 1200-1327, Business and Professions Code.
HISTORY

1. New section filed 4-30-74; effective thirtieth day thereafter (Register 74, No. 18).
2. Designation of subsection (a), new subsection (b) and Note filed 1-20-94 as an emergency; operative 1-20-94 (Register 94, No. 3).  A Certificate of Compliance must be transmitted to OAL by 5-20-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-20-94 order transmitted to OAL 5-19-94 and filed 7-1-94 (Register 94, No. 26).
4. Amendment of subsection (b) and Note filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
6. Amendment of section and Note filed 10-24-2000 as an emergency and submitted to OAL for printing only pursuant to Section 78, Chapter 146, Statutes of 1999; operative 10-24-2000 (Register 2000, No. 43). A Certificate of Compliance must be transmitted to OAL by 4-23-2001 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 2001, No. 14). 
8. Amendment of section and Note refiled 4-4-2001 as an emergency and submitted to OAL for printing only pursuant to Section 78, Chapter 146, Statutes of 1999; operative 4-4-2001 (Register 2001, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 4-4-2001 order, including further amendment of subsection (e), transmitted to OAL 7-31-2001 and filed 9-5-2001 (Register 2001, No. 36).
10. New subsection (g) filed 2-3-2003 as an emergency; operative 2-3-2003 (Register 2003, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
11. New subsection (g) refiled 8-5-2003 as an emergency; operative 8-5-2003 (Register 2003, No. 32). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 2-2-2004 or emergency language will be repealed by operation of law on the following day.
12. New subsection (g) refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
13. Reinstatement of section as it existed prior to 2-3-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 24).
14. New subsection (g) refiled 6-8-2004 as an emergency; operative 6-8-2004 (Register 2004, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-2004 or emergency language will be repealed by operation of law on the following day.
15. Reinstatement of section as it existed prior to 6-8-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 41).
§51200.01. Established Place of Business.
Note     •     History

NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; Section 700, Insurance Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-3-2003 as an emergency; operative 2-3-2003 (Register 2003, No. 6). Emergency adoption exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Adoption to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-5-2003 as an emergency; operative 8-5-2003 (Register 2003, No. 32). Emergency adoption exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Adoption to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 2-2-2004 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). Emergency adoption exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 24).
5. New section refiled 6-8-2004 as an emergency; operative 6-8-2004 (Register 2004, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-2004 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 41).
§51201. Physical Therapy.
History

HISTORY

1. Repealer filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For prior history, see Register 72, No. 31.
§51201.1. Physical Therapist.
Note     •     History

A physical therapist shall be licensed as a Registered Physical Therapist by the California Board of Medical Quality Assurance, or similarly registered or licensed by a comparable agency in the state in which the therapist practices, and shall be a graduate of a program in physical therapy approved by the agency or organization recognized by the Council on Post Secondary Accreditation or the U.S. Department of Education, or its equivalent. Physical therapists certified by the Physical Therapy Examining Committee may perform tissue penetration for the purpose of evaluating neuromuscular performance.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059, 14105 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
3. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51202. Speech Pathologist.
Note     •     History

A speech therapist shall be licensed by the Speech Pathology and Audiology Examining Committee of the State Board of Medical Quality Assurance or similarly licensed by a comparable agency in the state in which he practices.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 11-4-76; effective thirtieth day thereafter (Register 76, No. 45).
3. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
§51202.5. Sign Language Interpreters.
Note     •     History

(a) Individuals who provide sign language interpreter services shall possess the ability to communicate effectively, accurately and impartially both receptively and expressively in a health care setting, and either;
(1) Hold a current certification by one of the following:
(A) The National Registry of Interpreters for the Deaf (RID);
(B) The National Association of the Deaf (NAD)/California Association of the Deaf (CAD) at a competency Level IV or V only; or
(C) The California Department of Rehabilitation at a competency Level III and possess a certificate from RID, NAD/CAD at a competency Level IV or V only; or
(2) Be non-certified.
(b) An individual who provides sign language interpreter services shall not be related to the beneficiary by heredity or by marriage, or live in the same household.
(c)(1) A beneficiary may select an individual to provide sign language interpreter services, except those persons excluded in (b). 
(2) In an emergency or acute care situation or in the event the Medi-Cal enrolled provider determines that the interpreter selected by the beneficiary does not communicate effectively, accurately or impartially, and may adversely affect the health and well-being of the beneficiary due to inaccurate interpretation of a diagnosis or a misunderstanding of medical advice or instruction, the Medi-Cal enrolled provider is required to select a different interpreter. Whenever a Medi-Cal enrolled provider acts pursuant to this paragraph, he or she shall provide a written statement of reasons for the action. The Medi-Cal enrolled provider shall maintain this statement in the medical record of the beneficiary and make it available to the State upon request pursuant to Section 51476(g).
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14105, Welfare and Institutions Code. Reference: Section 54.1, Civil Code; Section 14000, Welfare and Institutions Code; 42 USC Sections 12101 et seq.; 28 CFR Section 36.303; and 45 CFR Section 84.22(c).
HISTORY

1. New section filed 8-21-2000 as an emergency; operative 8-21-2000 (Register 2000, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-21-2000 order transmitted to OAL 12-19-2000 and filed 2-2-2001 (Register 2001, No. 5).
3. Amendment of subsection (a), redesignation of former subsection (c) as new subsection (c)(1), new subsection (c)(2) and amendment of Note filed 8-7-2008; operative 9-6-2008 (Register 2008, No. 32).
§51203. Occupational Therapy.
History

HISTORY

1. Refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 3-30-72 as an emergency; effective upon filing (Register 72, No. 15).
3. Certificate of Compliance filed 7-27-72 (Register 72, No. 31).
4. Repealer filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
§51203.1. Occupational Therapist.
Note     •     History

An occupational therapist shall be a graduate of a curriculum in occupational therapy approved by the Council on Education of the American Medical Assocition in collaboration with the American Occupational Therapy Association, and shall be registered by the American Occupational Therapy Association.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective date 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51204. Personal Care Services Provider.
Note     •     History

All providers of personal care program services must be approved by Department of Health Services and shall sign the “Personal Care Program Provider/Enrollment Agreement” form [SOC 426(1/93)] designated by the Department agreeing to comply with all applicable laws and regulations governing Medi-Cal and the providing of personal care services. Beneficiaries shall be given a choice of service provider.
(a) Individual providers will be selected by the beneficiary, by the personal representative of the beneficiary, or in the case of a minor, the legal parent or guardian. The beneficiary or the beneficiary's personal representative, or in the case of a minor, the legal parent or guardian shall certify on the provider enrollment document that the provider, in the opinion of the beneficiary, is qualified to provide personal care so long as the person signing is not the provider.
(b) Contract agency personal care providers shall be selected in accordance with Welfare and Institutions Code section 12302.1. The contract agency shall certify to the designated county department that the workers it employs are qualified to provide the personal care services authorized.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51205. Prosthetic and Orthotic Appliance Facilities.
Note     •     History

NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132(k), Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-23-66 as an emergency; effective upon filing; Certificate of Compliance included (Register 66, No. 19).
2. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
4. Repealer filed 4-20-98; operative 5-20-98 (Register 98, No. 17).
§51206. Hospitals, Home Health Agencies and Laboratories.
History

HISTORY

1. Repealer filed 4-30-74; effective thirtieth day thereafter (Register 74, No. 18). For prior history, see Register 73, No. 52.
§51207. Hospitals.
Note     •     History

(a) A hospital, to be eligible for participation in the program, shall:
(1) Be certified, or meet the requirements for certification under Title XVIII of the Federal Social Security Act.
(2) Be licensed pursuant to the provisions of Chapter 2 of the Health and Safety Code.
(3) Have an organized medical staff that has promulgated medical staff by-laws, rules, and regulations which include provisions that assure correct utilization and high quality of professional services rendered to Medi-Cal beneficiaries in the hospital.
(4) Take timely and definitive action, including initiating proceedings to suspend or terminate hospital privileges, against medical staff members who provide inappropriate or excessive services, or services of inferior quality to Medi-Cal beneficiaries.
(b) Notwithstanding the provisions of paragraph (a) of this regulation, eligibility for participation in the program shall be conditional on compliance with Welfare and Institutions Code 14105.5.
(c) Notwithstanding any other provisions of these regulations, those hospitals operated by, or listed and certified by, the First Church of Christ Scientist, Boston, Massachusetts, are eligible for participation in the program provided they conform to governmental requirements with regard to housing, fire protection, safety, and sanitation.
(d) A hospital which does not meet all of the requirements of this section, may nevertheless, be paid under the program for services furnished by it to eligible beneficiaries of the program on an emergency basis as defined in Section 51056, provided it meets the requirements specified in subsection (a)(2) of this Section. This provision shall apply in each case only until such time as the patient may be moved safely to an institution that meets the requirements of the remainder of this Section.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14110, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-22-71; designated effective 3-1-71 (Register 71, No. 4). For prior history, see Register 70, No. 30.
2. Amendment filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3).
3. Amendment filed 3-7-80; effective thirtieth day thereafter (Register 80, No. 9).
4. Amendment of subsection (a) filed 8-23-85; effective thirtieth day thereafter (Register 85, No. 34).
§51208. Dispensing Optician.
Note     •     History

A dispensing optician shall have a permit as a registered dispensing optician issued by the California Board of Medical Quality Assurance or shall hold a permit issued by a comparable agency in the state in which he practices.
NOTE

Authority cited: Section 14015, Welfare and Institutions Code. Reference: Sections 14059, 14131 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51208.1. Fabricating Optical Laboratory.
Note     •     History

A fabricating optical laboratory, as defined in Section 51162.1, shall meet all of the following conditions:
(a) Be licensed by the Department as a device manufacturer, in accordance with Section 10376, Title 17, California Code of Regulations; and
(b) Meet the quality standards for prescription ophthalmic appliances as specified in the American National Standards Institute (ANSI) Standard Z80.1, copyright 1972, published by the American National Standards Institute, 1430 Broadway, New York, NY 10018; and
(c) Enter into an exclusive area negotiated contract for ophthalmic appliances with the Department of Health Services.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 87, Chapter 1594, Statutes of 1982. Reference: Sections 14105.3 and 14132, Welfare and Institutions Code; Section 26685, Health and Safety Code; and Sections 2541.3 and 2541.6, Business and Professions Code.
HISTORY

1. New section filed 11-28-88 as an emergency; operative 11-28-88 (Register 89, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-28-89.
2. Certificate of Compliance as to 11-28-88 order transmitted to OAL 3-27-89 and filed 4-26-89 (Register 89, No. 18).
§51209. Hospital Outpatient Department.
Note     •     History

A hospital outpatient department shall be operated by a hospital certified for participation in the Medi-Cal Program and shall be staffed by personnel who meet the standards of Division 3, Chapter 3, Article 3 of Title 22, California Administrative Code when providing services outlined in Section 51331.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14019.5, 14059, 14110 and 14132, Welfare and Institutions Code.
HISTORY

1. Refiled 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
4. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
5. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51210. Blood Banks.
Note     •     History

Blood banks shall be licensed by the Department in accordance with the provisions of Division 2, Chapter 4, Sections 1600 to 1623 inclusive, of the Health and Safety Code.
NOTE

Authority cited: sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14110 and 14132, Welfare and Institutions code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51211. Other Organized Outpatient Services.
History

HISTORY

1. Amendment filed 2-23-67 as an emergency; effective upon filing (Register 67, No. 8).
2. Certificate of Compliance--Section 11422.1, Government Code--filed 4-12-67 (Register 67, No. 15).
3. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
4. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
§51211.1. Organized Outpatient Clinic.
Note     •     History

An organized outpatient clinic shall be a clinic, or an establishment for handicapped persons, which is so licensed by and which meets the standards for such licensure of the Department, or is similarly licensed by a comparable agency in the state in which it is located, or is exempt from licensure under the provisions of Section 1206 or Section 1505 of the California Health and Safety Code.
(a) In any organized outpatient clinic which provides physical therapy services, there shall be at least one physical therapist who meets the standards of Section 51201.1, and such other properly trained and supervised physical therapy personnel as are necessary to meet the needs of the organized outpatient clinic.
(b) In any organized outpatient clinic which provides occupational therapy services, there shall be at least one registered occupational therapist who meets the standards of Section 51203.1 and such other properly trained and supervised occupational therapy personnel as are necessary to meet the needs of the organized outpatient clinic.
NOTE

Authority cited: Section 14105, Welfare and Institutions Code. Reference: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3).
3. Amendment filed 5-25-76; effective thirtieth day thereafter (Register 76, No. 22).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
5. Change without regulatory effect amending first paragraph filed 10-30-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 44).
§51211.2. Laboratory or Clinical Laboratory.
Note     •     History

(a) A laboratory or clinical laboratory in California or receiving biological specimens (as defined in Business and Professions Code section 1206) originating in California shall: 
(1) Be operated under  a current, unrevoked and unsuspended clinical laboratory license or registration issued by the department pursuant to division 2, chapter 3, (commencing with section 1200) of the Business and Professions Code; or a current, unrevoked and unsuspended certificate of approval issued by the department pursuant to sections 1000-1003 inclusive of the Health and Safety Code; or be exempt from licensure and registration under Business and Professions Code section 1241 or 1244; and 
(2) Have a current, unrevoked and unsuspended, certificate appropriate for the type and complexity of clinical laboratory tests or examinations performed, issued pursuant to the federal Clinical Laboratory Improvement Amendments (CLIA) of 1988, 42 United States Code section 263a; P.L. 100-578 and its implementing regulations, 42, Code of Federal Regulations part 493. If the United States Department of Health and Human Services (HHS) exempts clinical laboratories, laboratories or public health laboratories licensed, registered or otherwise approved by the department from the requirements of CLIA pursuant to (p) of section 263a of title 42 of the United States Code and section 493.513 of title 42 of the Code of Federal Regulations, this subsection's requirements regarding a CLIA certificate shall not apply, but only to those clinical laboratories, laboratories or public health laboratories exempted by HHS and only for the period of such exemption.
(3) If providing services to persons who are Medicare eligible, be certified or meet the requirements for certification under title XVIII of the Federal Social Security Act, and have elected to provide services under title XVIII, or
(4) If providing services to persons who are not Medicare eligible, be certified or meet the requirements for certification under title XVIII of the Federal Social Security Act.
(b) All persons performing, supervising, consulting on, or directing laboratory or clinical laboratory services in California or on biological specimens originating in California shall comply with the requirements set forth in division 2, chapter 3 (commencing with section 1200) of the Business and Professions Code and the regulations adopted thereunder for the type and complexity of testing performed.
(c) For the purposes of providing laboratory services for qualified practitioners whose practices are conducted solely in states other than California and on biological specimens that do not originate in California, a laboratory or clinical laboratory shall be certified to provide services under the federal Clinical Laboratory Improvement Amendments (CLIA) of 1988, 42 United States Code section 263a; P.L. 100-578 and shall be licensed, registered or otherwise approved by the appropriate state agency in the state in which it is located, if such licensure, registration or approval is required.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code; Sections 101150-101165, Health and Safety Code; Sections 1200-1327, Business and Professions Code; Title 42 United States Code, Sections 263a, 1395w-2, 1396a(a)(9)(C), 1395x(e)(9), 1395x(s)(13) and (14), 1395x(aa)(2)(G), 1396n(a)(1)(B), Title 42 Code of Federal Regulations, Sections 405.2163, 405.2171, 410.5, 410.32, 416.49, 416.107, 417.800, 418.92, 440.30, 482.27, 482.53, 483.75, 484.14, 485.58, 485.304, 488.54, 491.9 and 583.460.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 12-28-73 as an emergency; designated effective 1-1-74. Certificate of Compliance included (Register 73, No. 52).
3. Amendment of subsection (a) filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
5. Amendment of section heading, text and Note filed 1-20-94 as an emergency; operative 1-20-94 (Register 94, No. 3).  A Certificate of Compliance must be transmitted to OAL by 5-20-94 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 1-20-94 order including amendment of subsections (a)-(a)(1) and Note transmitted to OAL 5-19-94 and filed 7-1-94 (Register 94, No. 26).
7. Amendment of section and Note filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of subsections (b) and (c) (Register 98, No. 7).
9. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§51211.5. Rural Health Clinic Standards for Participation.
Note     •     History

(a) Each rural health clinic shall:
(1) Be licensed or exempt from licensure under Chapter 1, Division 2, California Health and Safety Code.
(2) Be located in a rural shortage area at the time of initial certification or be a private, nonprofit facility that meets all other conditions except for location in a shortage area and was operating in a rural area on July 1, 1977 that was subsequently determined by the Secretary, Department of Health and Human Services, to have an insufficient supply of physicians to meet the needs of the area served.
(3) Be certified and continue to meet the standards for certification as a rural health clinic established by the Secretary, Department of Health and Human Services.
(4) Provide that a physician or nonphysician medical practitioner be available to furnish patient care services at all hours of clinic operation. A nonphysician medical practitioner shall be available to furnish patient care services at least 60 percent of the hours of clinic operation.
(5) Execute a provider participation agreement with the Director containing, but not limited to, the following provisions:
(A) The participation agreement shall be subject to the same terms and conditions, and be coterminous with the period of eligibility, specified by the Secretary, Department of Health and Human Services.
(B) The participation agreement, including that of a provider who voluntarily withdraws from participation in Medicare, shall continue to be valid only if the provider continues to be certified as meeting the standards as a rural health clinic established by the Secretary, Department of Health and Human Services.
(C) The provider may terminate the participation agreement by filing a written notice with the Director stating the effective date of termination. The Director may approve:
1. The date selected by the clinic.
2. A date that is six months after the date on which the clinic filed notice.
3. A date that is less than six months after the date on which the clinic filed notice if the Director determines that termination on that date would not unduly disrupt service to the community served or interfere with the administration of the Medi-Cal program.
(D) A clinic that ceases to furnish services to the community shall be deemed to have voluntarily terminated the participation agreement, effective on the last day of service.
(6) Maintain any records and accounts required by the Director in accordance with State and Federal law.
(b) The Department shall take appropriate action to deny or terminate the rural health clinic's participation under Medi-Cal upon notification that a provider participation agreement with a facility under Title XVIII of the Act has been terminated.
(c) A clinic whose agreement has been cancelled or otherwise terminated by the Department shall not be issued another provider participation agreement until the reasons which caused the cancellation or termination have been removed and a reasonable assurance provided the survey agency that they will not recur.
NOTE

Authority cited: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance transmitted to OAH 11-28-78 and filed 11-29-78 (Register 78, No. 48).
3. Amendment of subsections (a)(5) and (6) and new subsections (b) and (c) filed 2-5-79; effective thirtieth day thereafter (Register 79, No. 6).
4. Amendment of subsection (a) filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51212. Intermediate Care Facility.
Note     •     History

(a) An intermediate care facility as defined in section 51118 shall:
(1) Be licensed by the Department of Health Services as an intermediate care facility unless exempt under state law from licensure. (Facilities which are licensed by the Department of Health services as a hospital or skilled nursing facility may also provide intermediate care services if they meet all the requirements of this section.)
(2) Be certified to participate in the Medi-Cal program as a provider of intermediate care services and execute a provider participation agreement with the Department, and be in compliance with the requirements contained in title XIX of the Social Security Act and regulations promulgated pursuant thereto. The certification notice shall be conspicuously posted in the facility on a public bulletin board in the area open to and usually frequented by patients, physicians, and visitors.
(3) Assure that Medi-Cal beneficiaries in the facility are visited by their attending physicians in accordance with section 51334(f) of this chapter.
(4) Grant access to Medi-Cal beneficiaries and their records to authorized personnel of the Department.
(b) Notwithstanding any other provisions of these regulations, those sanitaria or skilled nursing facilities operated by, or listed and certified by the First Church of Christ, Scientist, Boston, Massachusetts, shall be eligible for participation in this program as an intermediate care facility provided they conform with the requirements of the local governmental authorities in the areas in which they are located with regard to housing, fire protection, safety, and sanitation.
(c) Facilities shall notify the Medi-Cal consultant's office within 48 hours of all discharges or deaths of Medi-Cal beneficiaries in their facilities.
NOTE

Authority cited: Sections 14105 and 14110, Welfare and Institutions Code; and section 13, chapter 502, Statutes of 1990. Reference: Sections 14124.5, 14132 and 14132(n), Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Repealer of subsection (d) filed 3-2-79; effective thirtieth day thereafter (Register 79, No. 9). For prior history, see Register 75, No. 46).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
4. Amendment filed 10-1-90 as an emergency; operative 10-1-90 (Register 90, No. 45). A Certificate of Compliance must be transmitted to OAL by 1-29-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-1-90 order including amendment of subsection (a)(2) transmitted to OAL 1-29-91, filed 2-28-91 (Register 91, No. 13).
§51213. Rehabilitation Center.
Note     •     History

(a) A rehabilitation center shall be certified by the Department as meeting the requirements of this section, shall be approved by the Department and shall meet the requirements of either (b) or (c) and all the other provisions of this section.
(b) Such rehabilitation center shall be a hospital, which meets the standards for participation set forth in Section 51207 and which is currently participating in the program and which was an organized outpatient department, and which
(1) Has an organized rehabilitation service, and
(2) Has as chief of the rehabilitation service a physician who has the necessary training and experience to assure proper patient assessment and care.
(c) If it is not a hospital which meets the requirements of (b) above, the rehabilitation center shall be an organized outpatient clinic. Each such rehabilitation center shall have an organized rehabilitation service and shall provide sufficient professional supervision to assure that the extended treatment plan of the attending physician will be properly carried out.
(d) The rehabilitation center shall provide two or more of the following services:
(1) Physical therapy
(2) Occupational therapy
(3) Speech therapy
(4) Audiology
(e) The rehabilitation center shall meet the standards set forth in Section 51209 or 51211.1 when providing physical therapy and occupational therapy, and employ personnel who meet the definitions set forth in Section 51079 when providing physical therapy, Section 51083 when providing occupational therapy, Section 51095 when providing speech therapy and Section 51097 when providing audiology services.
(f) The rehabilitation center shall establish and maintain a record of diagnosis, condition, treatment plan, services provided, and functional results on each patient treated. Such medical records shall include the following:
(1) The extended treatment plan required pursuant to the provisions of Section 51314 (a).
(2) Patient identification, including Social Security number.
(3) A medical history, including a recent physical examination.
(4) Attending physician's orders.
(5) A complete record of all services rendered by the rehabilitation center.
(6) Progress notes.
(7) Copies of laboratory and radiology reports as they relate to conditions treated by the rehabilitation center.
(8) Medication records.
(g) Each such rehabilitation center shall have written policies that provide for:
(1) Arrangements with Medi-Cal providers to provide laboratory, x-ray, and other ancillary services on an as needed basis.
(2) A utilization review plan that includes:
(A) The organization and composition of a utilization review committee, which shall include at least one physician and which shall be responsible for the utilization review functions.
(B) The frequency of meetings which shall be not less than monthly.
(C) A selection of cases for review on a random sample basis of not less than one case in every ten.
(D) A summary of the number and types of cases reviewed, and the findings on each.
(E) The actions to be taken by the rehabilitation center based on the findings and recommendations of the utilization review committee.
(3) Notification of the utilization review committee of all new patients for whom the rehabilitation center assumes responsibility for treatment. The utilization review committee shall also be provided with a monthly updated list of all rehabilitation center patients.
(4) The medical records of each patient to be available from the rehabilitation center for the use of the utilization review committee.
(5) The names and office or facility locations of consultants who are available to provide consultation on an individual case basis to the rehabilitation center, on request, for those professional services provided by the rehabilitation center.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14019.5, 14059, 14110 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (c) and (e) filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For prior history, see Register 72, No. 31.
2. Amendment of subsection (a) filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3).
3. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51214. Hearing Aid Dispenser.
Note     •     History

A Hearing Aid Dispenser shall be licensed as a hearing aid dispenser by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For history of prior section see Register 72, No. 5.
2. Amendment filed 11-21-77; effective thirtieth day thereafter (Register 77, No. 48).
3. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
4. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51215. Skilled Nursing Facilities.
Note     •     History

(a) A skilled nursing facility, as defined in section 51121, shall:
(1) Be licensed by the Department of Health Services unless exempt under state laws from licensure. (facilities which are licensed by the Department of Health Services as hospitals may also provide skilled nursing facility services if they meet all of the requirements of this section.
(2) Be certified to participate in the Medi-Cal program as a provider of skilled nursing facility services by being in compliance with the Medicare and Medicaid requirements of Titles XVIII and XIX of the Social Security Act and regulations promulgated pursuant thereto. 
(3) Execute a provider participation agreement with the Department of Health Services for participation in the Medi-Cal program. Facilities participating in both the Medicare and Medicaid programs shall be subject to the same terms and conditions, and be coterminous with the period of approval of eligibility, specified by the United States Department of Health and Human Services pursuant to title XVIII of the Social Security Act. Upon notification that a provider participation agreement with a facility under title XVIII of the Act has been terminated, the Department may take appropriate action to deny or terminate the facility's participation under Medi-Cal. A facility whose agreement under title XVIII has been canceled or otherwise terminated shall not be issued another provider participation agreement until the reasons which caused the cancellation or termination have been removed and a reasonable assurance provided the survey agency that they will not recur.
(4) Assure that Medi-Cal beneficiaries in the facility are visited by their attending physicians in accordance with section 51335 (f) of this chapter.
(5) Notify the Medi-Cal consultant's office within 48 hours of all discharges and deaths of Medi-Cal beneficiaries in that facility.
(b) Notwithstanding the provisions of subsection (a) of this regulation, eligibility for participation in the program shall be conditional on compliance with Welfare and Institutions Code section 14105.5.
(c) Notwithstanding any other provisions of these regulations, those sanitaria or skilled nursing facilities operated by, or listed and certified by the First Church of Christ Scientist, Boston, Massachusetts, shall be eligible for participation in this program, provided they conform to housing, fire protection, safety and sanitation requirements of the local communities where they are located.Execute a provider participation agreement with the Department of Health Services for participation in the Medi-Cal program. Facilities 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; and Section 13, Chapter 502; Statutes of 1990. Reference: Sections 14110 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a)(1) and (a)(7) filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5). For prior history, see Register 72, No.18).
2. Amendment filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3).
3. Repealer and new section filed 7-16-75 as an emergency; effective upon filing (Register 75, No. 29).
4. Certificate of Compliance filed 11-12-75 (Register 75, No. 46).
5. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
6. Amendment filed 10-1-90 as an emergency; operative 10-1-90 (Register 90, No. 45). A Certificate of Compliance must be transmitted to OAL by 1-29-91 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-1-90 order including amendment of subsection (a)(2) transmitted to OAL 1-29-91, filed 2-28-91 (Register 91, No. 13).
§51215.4. Transitional Inpatient Care Unit.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105.981 and 14132.22, Welfare and Institutions Code.
HISTORY

1. New section filed 4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsections (l)-(n) and (o)(5) and History 1 (Register 96, No. 35).
3. New section refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-28-96 order, including amendment of section, transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
5. Change without regulatory effect repealing section filed 6-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 24).
§51215.5. Subacute Care Unit.
Note     •     History

(a) A subacute care unit means an identifiable unit of a skilled nursing facility accommodating beds including contiguous rooms, a wing, a floor, or a building that is approved by the Department for such purpose.
(b) In addition to the requirements set forth in subsections (c) through (l) a subacute care unit shall comply with all of the licensing and certification requirements set forth in Title 22, Division 5, otherwise applicable to a skilled nursing facility.
(c) The facility shall accept and retain only those subacute patients for whom it can provide adequate care.
(d) Subacute beds shall not be dual classified as swing beds as they are defined in Section 1339.5 of the Health and Safety Code.
(e) Subacute care units shall employ sufficient nursing staff as follows: freestanding SNFs shall provide a minimum daily average of 3.8 actual licensed nursing hours per patient day and 2.0 actual certified nurse assistant (CNA) hours per patient day; distinct part SNF's shall provide a minimum daily average of 4.0 actual licensed nursing hours per patient day and 2.0 actual CNA hours per patient day. Subacute units that do not utilize CNAs shall employ sufficient licensed nursing staff to provide 4.8 actual licensed nursing hours per patient day.
(f) In providing for the licensed nursing hours requirement in accordance with subsection (e) above, each subacute care unit shall have a minimum of one registered nurse (RN) per shift.
(g) Each RN and LVN shall upon hire provide to the employer evidence of the following: (1) A minimum of six months experience within the past two years working in a general acute care facility; or (2) An acquired equivalent competency appropriate to the type of subacute patient the facility provides care for.
(h) Nursing staff assigned to the subacute care unit shall not be assigned other duties outside of the subacute care unit during any given shift.
(i) The facility shall provide documentation upon request by the Department that the Director of Nursing, and all subacute care staff are participating in an ongoing educational program in accordance with Title 22, California Code of Regulations, Division 5, Section 70213(c), focused on subacute care.
(j) Physician services shall be provided in a subacute care unit in accordance with Title 22, California Code of Regulations, Division 5, Section 72303, with the exception of (b)(1).
(k) The attending physician shall perform an initial evaluation and prepare a written report of physical examination of the patient within 48 hours of admission to the subacute care unit.
(l) The subacute care unit shall provide the required services in accordance with Title 22, California Code of Regulations, Division 5, Section 72301(d).
NOTE

Authority cited: Sections 10725 and 14124.5 Welfare and Institutions Code. Reference: Section 14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 6-3-86 as an emergency; effective upon filing (Register 86, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-1-86.
2. Section refiled 11-3-86 as an emergency; effective 10-1-86 (Register 86, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-87.
3. Certificate of Compliance including amendment filed 1-20-87 (Register 87, No. 4).
4. Amendment of subsections (e), (f), (i), (j) and (l) filed 10-27-88 as an emergency; operative 10-27-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-89.
5. Certificate of Compliance including amendment of subsection (e) transmitted to OAL 2-24-89 and filed 3-27-89 (Register 89, No. 13).
§51215.6. Participation Requirements for the Adult Subacute Program and Pediatric Subacute Program.
Note     •     History

(a) Adult subacute services and pediatric subacute services shall be provided by a licensed general acute care hospital with distinct-part skilled nursing beds or a freestanding certified nursing facility that enters into a contract with the Department.
(b) Each applicant for an initial contract, contract amendment, or contract renewal to provide adult subacute services or pediatric subacute services, shall submit a completed application, or written request in the case of contract amendment, to the Department containing, but not limited to, evidence of the following:
(1) Licensure as a general acute care hospital with or without distinct-part skilled nursing beds, a skilled nursing facility or a Congregate Living Health Facility;
(2) Certification as a Medicare and Medi-Cal provider;
(3) History as a licensed health care facility for a period of 12 months prior to and during the initial application process, contract amendment, or contract renewal as follows:
(A) Maintenance of an uninterrupted Medi-Cal provider agreement; and
(B) As applicable to the type of facility, all deficiencies in patient care, or deficiencies of a severity which would impose immediate jeopardy or actual harm to a resident's/patient's health or safety during a facility certification survey, complaint survey or special incident investigation. The Department may terminate a contract, impose contract penalties, or deny the award of a contract, a contract amendment, or contract renewal in other instances of deficiencies found during a facility certification survey, complaint survey or special incident investigation that would not impose immediate jeopardy or actual harm to a resident's/patient's health or safety, but are determined to be widespread. These deficiencies are determined by the Department or the Center for Medicare and Medicaid Services, and
(C) As applicable to the type of facility, all citations as defined by Health and Safety Code Sections 1424(c), (d) and (e) that pertain to patient care. The presence of a citation or citations shall not, in itself, constitute the basis for denial of the contract application, amendment or renewal. A citation or citations shall be evaluated for impact on such areas as patient care, patient safety, fraud and for indications of a pattern of noncompliance.
(4) As applicable to the type of facility, documentation that the applicant can comply with one or more of the following:
(A) With Section 51215.5 for adult subacute services;
(B) With Section 51215.8 for pediatric subacute services.
(5) An applicant for an adult subacute or pediatric subacute contract shall, in addition to the requirements of (b) of this section, provide evidence that the location of the proposed subacute unit has a subacute population and a need for subacute services. This evidence shall include a list of potential patients, with each patient's Medi-Cal identification number, current level of care, and the address of each patient's current location. The requirements of this subsection shall also apply to adult subacute and pediatric subacute contract amendments and renewals.
(6) An applicant for an adult subacute or pediatric subacute contract that is a general acute care hospital with distinct-part skilled nursing beds shall, in addition to the requirements of (b)(3) of this section, have a history of maintaining the appropriate accreditation for participation in the Medicare and Medi-Cal programs, and maintaining supplemental authorization by Licensing and Certification for a distinct-part which functions as a skilled nursing facility service. The requirements of this subsection shall also apply to adult subacute and pediatric subacute contract amendments and renewals.
(7) Nothing in this section shall preclude a new licensee without a history of providing care in a licensed health care facility from being eligible to enter into a contract with the Department to provide subacute care services to adult or pediatric patients if all other applicable requirements of the subacute care program are met.
(c) Freestanding certified nursing facilities shall specify in their application that the location of the proposed unit is within close proximity to a general acute care hospital with which the freestanding certified nursing facility has a transfer agreement and with which the physicians who assume responsibility for treatment management of patients receiving transitional inpatient care services have staff privileges.
(d) The Department shall not be precluded from imposing one or more penalties specified in subsections (1) through (5) below upon a contractor under the provisions of this section as an interim alternative to contract termination. Such action shall apply to a contractor that fails to comply with any term or condition of the initial, amended, or renewed contract and any applicable laws and regulations. Penalties may include, but are not limited to:
(1) Suspension of new admissions;
(2) Relocation of selected patients;
(3) Transfer of selected patients;
(4) Reduction in the number of beds under contract;
(5) Reduction in the term of the contract.
(e) A contract entered into under the provisions of this section shall be renewed by the Department unless the Department determines good cause is shown for nonrenewal. Good cause shall include, but not be limited to the following:
(1) Failure of the contractor to comply with the terms and conditions of the initial contract and applicable laws and regulations;
(2) Failure of the contractor to comply with the provisions of an amended or renewed contract and applicable laws and regulations;
(3) The Department's determination, based upon the contractor's past performance under its contract, that the Contractor does not have the ability to fulfill the terms of a renewed contract with the State. The Contractor's remediation of a single or multiple areas of noncompliance shall not be construed as relief from contract nonrenewal.
(f) Contract nonrenewal shall commence following 30 calendar days' written notice of nonrenewal by the Department to the contractor. The contractor shall be responsible for the appropriate and safe disposition of affected patients. Reimbursement to the contractor for services provided to all affected patients shall continue, unless the contractor fails to actively pursue appropriate, alternative placement for the patients.
(g) A contract entered into under the provisions of this section shall be terminated by the Department at any time during the contract term when the Department has determined good cause exists, as established in (e) of this section.
(1) The Department shall give 30 calendar days' written notice to the contractor prior to the termination of a contract.
(2) The contract shall be terminated immediately if the Department determines that there is an immediate threat to the health and safety of Medi-Cal beneficiaries.
(3) Upon notice of contract termination, the contractor shall be responsible for the appropriate and safe disposition of affected patients. Reimbursement to the contractor for services provided to all affected patients shall continue, unless the contractor fails to actively pursue appropriate, alternative placement for the patients.
(h) The provider, with 120 calendar days' written notice to the Department, may cancel an adult or pediatric subacute contract with the Department.
(i) Upon the receipt of an application to provide adult subacute care, or pediatric subacute care, the Department shall:
(1) Within 30 calendar days from receipt of the application, inform the applicant in writing whether the application is complete and acceptable or that the application is deficient and what specific information or clarification is necessary.
(2) Within 90 calendar days from receipt of a complete application, approve or deny the application.
(3) Within 60 calendar days from receipt of any information or clarification necessary to make an application complete, reach a decision to approve or deny the application for participation in the adult subacute program or pediatric subacute program.
(4) Within the 90 calendar days after an application is initially received, conduct an onsite review of the facility.
(5) Upon approval for participation in the adult subacute program or pediatric subacute care program, send a contract to the applicant.
(j) If an application for an initial contract, a contract amendment, or a contract renewal, for the adult subacute program, or pediatric subacute program is denied, the applicant has 30 calendar days from the date of the receipt of written notification of the denial to submit a written appeal to the Department. This written appeal shall contain factual statements as to why the applicant meets the criteria which have been cited as the basis for the denial of the application. The Department shall issue a written decision within 60 calendar days of receipt of the applicant's appeal.
(k) A separate and distinct cost center shall be established and maintained in order to identify and segregate costs for adult and/or pediatric subacute patients separately from costs for other patients who may be served within the certified nursing facility.
(1) Cost reporting for the adult subacute or pediatric subacute unit in freestanding certified nursing facilities shall be maintained according to generally accepted accounting principles and the uniform accounting system adopted by the State and specified in the Accounting and Reporting Manual for California Long-Term Care Facilities, pursuant to Section 97019, and shall be submitted in the manner approved by the State specified in the Accounting and Reporting Manual for California Long-Term Care Facilities, pursuant to Section 97019.
(2) Cost reporting for the adult subacute or pediatric subacute unit in distinct part skilled nursing units in general acute care hospitals shall be maintained according to generally accepted accounting principles and the uniform accounting system adopted by the State and specified in the Accounting and Reporting Manual for California Hospitals, pursuant to Section 97018, and shall be submitted in the manner approved by the State specified in the Accounting and Reporting Manual for California Hospitals, pursuant to Section 97019.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14132.25, Welfare and Institutions Code; and Section 15376(a) and (b), Government Code; and Title 42 Code of Federal Regulations, Part 413.
HISTORY

1. New section filed 6-3-85 as an emergency; effective upon filing (Register 86, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-1-86.
2. Section refiled 11-3-86 as an emergency; effective 10-1-86 (Register 86, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-87.
3. Certificate of Compliance including amendment (and renumbering and amendment of former Section 51215.7 to subsections (b)-(d)) filed 1-20-87 (Register 87, No. 4).
4. Amendment of section and Note filed 4-13-94 as an emergency; operative 4-1-94. Emergency amendment submitted to OAL for printing only pursuant to section 4, AB 36 (chapter 1030, Statutes of 1993) (Register 94, No. 15).
5. Certificate of Compliance as to 4-13-94 order including amendment of section transmitted to OAL 9-26-94 and filed 10-20-94 (Register 94, No. 42).
6. Editorial correction of History 4 and 5 (Register 95, No. 14).
7. New subsections (d)-(d)(2) and subsection relettering filed 4-6-95; operative 4-6-95 (Register 95, No. 14).
8. Repealer of section heading and section, new section heading and section and amendment of Note filed 4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
9. Editorial correction of subsection (c)(3)(B) and History 8 (Register 96, No. 35).
10. Repealer of section heading and section, new section heading and section and amendment of Note refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 8-28-96 order, including amendment of section, transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
12. Amendment of subsections (d)(3)(B) and (d)(3)(C) and amendment of Note filed 4-1-2003 as an emergency; operative 4-1-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-30-2003 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 4-1-2003 order transmitted to OAL 7-28-2003 and filed 8-18-2003 (Register 2003, No. 34).
14. Change without regulatory effect amending section heading and section filed 6-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 24).
§51215.7. Application for Subacute Care Contract.
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 6-3-86 as an emergency; effective upon filing (Register 86, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-1-86.
2. Section refiled 11-3-86 as an emergency; effective 10-1-86 (Register 86, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-87.
3. Certificate of Compliance including renumbering and amendment of former Section 51215.7 to Section 51215.6 (b)-(d) filed 1-20-87; effective upon filing (Register 87, No. 4).
4. Editorial correction of History 2 (Register 95, No. 45).
§51215.8. Pediatric Subacute Care Unit.
Note     •     History

(a) A pediatric subacute care unit means an identifiable unit of a certified nursing facility licensed as a skilled nursing facility and meeting the standards for participation as a provider under the Medi-Cal program set forth in this section, accommodating beds including contiguous rooms, a wing, a floor, or a building that is approved by the Department for such purpose. In addition to the requirements set forth in this section, a facility providing pediatric subacute care unit services shall comply with all of the licensing requirements set forth in Title 22, Division 5, otherwise applicable to licensure as a skilled nursing facility.
(b) To the highest practicable extent, the pediatric subacute unit shall provide a safe, clean, comfortable and nurturing home-like environment designed to promote normal child development.
(c) Pediatric subacute beds shall not be dual classified as swing beds as they are defined in Section 1339.5, Health and Safety Code.
(d) The facility shall accept and retain only those pediatric subacute patients for whom it can provide appropriate care in accordance with this section, and as defined in Section 51124.6(c)(1).
(e) The pediatric subacute care unit shall house patients based on their ages, gender, and/or developmental levels, and/or social needs in a manner planned to promote the growth and development of all those housed together.
(f) The facility shall provide for a comprehensive developmental assessment for each pediatric subacute care patient who is under 36 months of age. The assessment shall be performed by a qualified professional with training and expertise specific to the assessment of, and program planning for, infant and child development. The professional who performs the developmental assessment shall:
(1) Assess the patient's abilities and needs in at least the following areas, where applicable, within 14 calendar days of admission to the pediatric subacute care unit:
(A) Sensorimotor development including gross motor skills, fine motor skills and visual motor perception;
(B) Social development and cognitive development;
(C) Self-help development including developmentally appropriate feeding, toileting, dressing, and grooming;
(D) Language and communication skills; and
(E) Play and recreation needs.
(2) Prepare a developmental program for each patient with specific goals and plan of activities to reach each goal;
(3) Provide direct developmental services to patients in accordance with the developmental program;
(4) Provide ongoing instruction to pediatric subacute direct patient care unit staff on the daily activities required to facilitate continuity of the developmental program;
(5) Monitor the progress of the patient in reaching the goals of the developmental program, reassess the patient and revise the developmental program at appropriate intervals, but at least quarterly;
(6) Maintain a record of the developmental program in the patient's medical chart, including regular progress notes;
(7) Participate in the interdisciplinary team conferences;
(8) Provide family training as appropriate;
(9) Make recommendations to the Service Coordinator, as provided for in (j) of this Section, regarding the provision of continuing developmental services prior to the patient's discharge to a lower level of care.
(g) The facility shall incorporate each patient's developmental program into the comprehensive nursing care plan for each patient. The nursing care plan shall be revised based on changes in the developmental program.
(h) In accordance with (j)(3) of this Section, the facility shall work with the Local Education Agency in the development and implementation of an Individual Education Plan (IEP) for each pediatric subacute care patient who is 36 months of age and older. The facility shall incorporate those activities identified in the IEP, as appropriate, into the patient's comprehensive nursing care plan. To facilitate continuity of services, the facility shall obtain instruction from the Local Education Agency for the pediatric subacute direct patient care unit staff in performing activities in the IEP when the child is not in a formal educational session.
(i) In accordance with (j)(3) and (j)(4) of this section, the facility shall work with the Regional Center, as defined in Title 17, California Code of Regulations, Section 54302(a)(43) or the Local Education Agency Provider, as defined in Title 22, California Code of Regulations, Section 51190.2, in the development and implementation of an Individual Family Service Plan (IFSP), as specified in Government Code Section 95020, for each pediatric subacute patient who is under 36 months of age. The facility shall incorporate those identified activities in the IFSP, as appropriate, into the patient's comprehensive nursing plan. To facilitate continuity of services, the facility shall obtain instruction from the Regional Center or Local Education Agency Provider for the pediatric subacute unit staff in performing activities in the IFSP.
(j) Each pediatric subacute care unit shall designate a person or persons as the Service Coordinator whose time is equal, in hours, to one full-time position for every 20 patients. This position shall be dedicated to the pediatric subacute care unit and be separate from the nurse staffing hours required by (k) of this section. The Service Coordinator(s) shall be either a registered nurse or individual with a baccalaureate degree in social work who possesses the knowledge and ability to assess the current needs of each pediatric subacute patient and the available resources in the facility and community to meet those needs. The Service Coordinator's activities shall include, but not be limited to:
(1) Coordination of patient admission activities;
(2) Liaison between the patient, family members, the interdisciplinary team and community to assure that services to meet the patient's needs are initiated and met in accordance with their plans of care and treatment;
(3) Referral to and collaboration with Early Intervention Programs as described in the Individuals with Disabilities Education Act, 20 United States Code, Section 1400, et seq., Early Intervention Program, 20 United States Code, Section 1471, and with Special Education Programs, as described in the California Education Code, Section 56000 et seq.;
(4) Coordination with local or state agencies and programs providing services to children, such as the Regional Center, California Children's Services, Child Protective Services;
(5) Coordination of patient and family teaching;
(6) Preparation and implementation of a discharge plan for each patient's return home, to other appropriate placement or leave of absence. This shall include the identification and arrangement of services and equipment for the patient to effectuate discharge or leave of absence;
(k) Pediatric subacute care units shall define, implement, and maintain a system for determining patient requirements for nursing care based on patient needs with goals that are time limited, as demonstrated in each patient's comprehensive care plan. Nursing personnel shall be sufficient to assure prompt recognition of any untoward change in patient condition, and to facilitate appropriate nursing, medical or other appropriate intervention. The pediatric subacute care unit shall utilize nursing staff in at least the following minimum ratios: a minimum daily average of 5.0 actual unduplicated licensed nursing hours per patient day, and 4.0 actual certified nurse aide hours per patient day.
(l) In providing for the licensed nursing hours requirement in accordance with subsection (k) of this section, each pediatric subacute unit shall provide:
(1) A registered nurse as the pediatric subacute unit's head nurse/nurse manager; and
(2) A minimum of one registered nurse per shift, not including the unit's head nurse/nurse manager, unless at least 80% of the time of that nurse is spent in direct patient care. In such a case, the remaining 20% of time of that nurse shall be spent in managerial duties for the pediatric subacute unit.
(m) The head nurse/nurse manager shall upon hire provide to the employer evidence specified in subsections (m)(1) and (2) below:
(1) Current California licensure as a registered nurse, and a minimum of two years experience within the last five years which shall include nursing supervision, and providing care to the types of pediatric patients with technology dependency for whom the facility provides care; and
(2) Within one year of his/her date of hire, proof of completion of at least 30 continuing education units specific to the physical and psycho-social assessment of, and provision of care to, the critically ill child.
(n) Each licensed nurse shall provide to the employer evidence of either of the following:
(1) Upon hire, a minimum of six months experience within the past two years providing care to the types of pediatric subacute patients with technology dependency for whom the facility provides care; or
(2) An acquired competency, to be documented in the licensed nurse's personnel records, including:
(A) Proof of completion of at least 15 continuing education units specific to the provision of care to the critically ill child within one year of his/her date of hire, and
(B) Proof of completion, within two months of employment, of at least 40 hours of direct employee specific preceptorship, provided by a registered nurse meeting the qualifications specified in Section 51215.8(m), designed to promote the licensed nurse's clinical competency in providing nursing services to the types of pediatric patients with technology dependency for whom the facility provides care. The preceptorship may be provided during the licensed nurse's normal working tour of duty.
(o) All pediatric subacute care licensed and certified nursing staff shall either have upon hire, or prior to the completion of the orientation period described in Title 22, Section 72517(d), obtain and subsequently maintain, pediatric cardiopulmonary resuscitation certification.
(p) The registered nurse member of the pediatric subacute care licensed nursing staff on each shift shall either have upon hire, or within 90 calendar days of his/her date of hire, obtain and subsequently maintain, pediatric advanced cardiopulmonary resuscitation life support certification.
(q) No nursing staff person assigned to the pediatric subacute unit, including the unit's head nurse/nurse manager, shall be assigned duties outside of the pediatric subacute care unit during any given shift when the staff person is assigned to the pediatric subacute unit.
(r) In complying with the staff development requirements specified in Section 72517(a)(1), the facility shall focus on the nursing care and developmental needs of pediatric patients for whom it provides care. The facility shall maintain documentation of compliance with this section and provide it upon request by the Department.
(s) Each nurse aide assigned to the pediatric subacute care unit shall meet the nurse aide certification requirements set forth in Sections 71801 through 71853.
(t) The pediatric subacute care unit shall utilize a licensed Respiratory Care Practitioner to provide a minimum of 3.0 hours per patient day to each ventilator dependent patient, and a minimum of 2.0 hours per patient day to each non-ventilator dependent patient, of medically necessary respiratory care services, when provided under the order of a person lawfully authorized to give such an order, and according to each pediatric subacute beneficiary's assessment and care plan. A licensed Respiratory Care Practitioner shall be present in the nursing facility 24 hours a day and may have assigned duties outside the pediatric subacute care unit.
(u) Each facility providing pediatric subacute services shall provide for the consultant services of a registered dietician with demonstrated background and/or clinical experience in pediatric nutrition. The pediatric registered dietician shall provide a comprehensive nutrition assessment within seven working days of the child's admission to the pediatric subacute unit followed by development and implementation of a nutrition care plan in accordance with accepted pediatric nutrition standards of care.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 4-13-94 as an emergency; operative 4-1-94. Emergency adoption submitted to OAL for printing only pursuant to section 4, AB 36 (chapter 1030, Statutes of 1993) (Register 94, No. 15).
2. Certificate of Compliance as to 4-13-94 order including amendment of section transmitted to OAL 9-26-94 and filed 10-20-94 (Register 94, No. 42).
3. Editorial correction of History 1 and 2 (Register 95, No. 14).
4. Amendment of section and Note filed 6-30-97 as an emergency; operative 6-30-97 (Register 97, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-30-97 order transmitted to OAL 10-22-97 and filed 11-26-97 (Register 97, No. 48).
§51215.9. Pediatric Subacute Care Unit--Physician Services.
Note     •     History

(a) Physician services shall be provided in a pediatric subacute care unit in accordance with Section 72303, Title 22, California Code of Regulations, with the exception of (b)(1) of that section, and in accordance with (a) and (b) of this section.
(b) Each pediatric subacute patient's attending physician shall perform an initial history and physical examination of the patient and prepare a written report of the examination within 24 hours of the patient's admission to the pediatric subacute care unit. In addition to documentation of history and physical examination, this report shall include a plan of treatment that addresses, at a minimum, the following areas:
(1) The patient's level of function;
(2) History of dependence on and potential for weaning from medical technology(ies);
(3) Nutritional status, including growth history, anthropometric status and dietary needs; and
(4) Need for physical therapy, occupational therapy or speech therapy assessment and services.
(c) Medi-Cal beneficiaries receiving pediatric subacute care services shall be visited by their attending physician at least twice weekly during the first month of stay, and at a minimum of once each week thereafter, and more often as the patient's condition warrants.
(d) A certified pediatric nurse practitioner or certified family nurse practitioner may, in collaboration with the pediatric subacute care unit patient's attending physician, provide non-duplicative services to pediatric subacute care unit patients within the scope of their practice requirements.
(e) Each pediatric subacute care unit shall have a medical director who is a pediatrician currently certified by the American Board of Pediatrics, with demonstrated experience in caring for pediatric patients with dependence on medical technology. This requirement shall apply to a physician who has assumed the responsibility of medical director of a pediatric subacute care unit on or after the adoption date of this regulation. The pediatric subacute care unit medical director shall:
(1) Act as liaison between facility administration and physicians attending pediatric subacute patients;
(2) Be responsible for reviewing and evaluating pediatric subacute administrative and medical care policies and procedures;
(3) Act as a consultant to the head nurse/nurse manager in matters relating to pediatric subacute patient care services;
(4) Provide attending physician services to all pediatric subacute patients in the event of the absence or non-availability of other attending physicians;
(5) Be responsible for reviewing pediatric subacute unit employees' preemployment and annual health examination reports.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 6-30-97 as an emergency; operative 6-30-97 (Register 97, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-30-97 order transmitted to OAL 10-22-97 and filed 11-26-97 (Register 97, No. 48).
§51215.10. Pediatric Subacute Care Unit--Rehabilitation Therapy Services.
Note     •     History

(a) Each pediatric subacute care unit shall define, implement and maintain a system for assessing and meeting patient needs for all appropriate physical, occupational and speech therapy services including supportive and maintenance programs. The appropriate therapist shall develop a plan of treatment, as specified in (g) or (j) of this section, which shall be integrated into an individualized comprehensive plan of care consistent with an interdisciplinary team approach in meeting each child's needs.
(b) The following definitions shall apply only to this section:
(1) “Physician” shall mean a licensed medical doctor who is a pediatric physiatrist or a physician with knowledge and experience in the rehabilitation of infants, children and adolescents.
(2) “Therapist” shall mean a licensed or registered physical therapist, occupational therapist or speech pathologist with experience in pediatric rehabilitation services.
(c) Each pediatric subacute care patient shall receive, not more than 14 calendar days prior to, or within seven calendar days after admission to a pediatric subacute care unit, a complete rehabilitation assessment performed by a physician. Such assessment shall reflect the actual status of the child at the time of admission to the pediatric subacute care unit and shall be repeated as clinically indicated by change in functional or cognitive status of the child.
(d) In addition to the complete rehabilitation assessment specified in (c) of this section, the physician shall, based on functional potential and maintenance needs of the pediatric subacute care patient, develop and recommend a program of therapy to be provided after admission to the pediatric subacute care unit.
(e) Each pediatric subacute care patient shall receive a physical therapy and occupational therapy assessment and have a plan of treatment developed by the appropriate therapist reflective of the medical recommendations specified in (d) of this section, within 14 days of admission to the pediatric subacute care unit, unless medically contraindicated and documented as such in the medical record. Subsequent physical therapy and occupational therapy assessments shall be performed quarterly or more often as clinically indicated.
(f) A speech therapy assessment shall be provided to pediatric subacute care patients as medically indicated and a plan of treatment developed that identifies measurable functional goals within specific time frames.
(g) For each pediatric subacute care patient, in developing the plan of treatment specified in (e) of this section, the therapist shall:
(1) Develop, periodically review and revise a time limited, goal oriented plan of supportive or maintenance interventions;
(2) Instruct appropriate pediatric subacute care unit staff on the provision of the interventions.
(h) The therapy services specified in (e) through (g) of this section shall be considered a part of the pediatric subacute care services authorized in accordance with Section 51335.6(c).
(i) In addition to the therapy services as specified in (e), (f) and (g) of this section, supplemental rehabilitation therapy services provided in a pediatric subacute care unit may be covered separately for pediatric subacute care patients who, as determined by the physician who performs the assessment specified in (c) of this section:
(1) Can tolerate a minimum of four hours per week of any combination of direct therapy provided by or under the direct supervision of a therapist as specified in (b) of this section.
(2) Demonstrate the potential to achieve, or continue to achieve, measurable functional goals within specific time frames in such areas as mobility, activities of daily living or the reduction of nursing care.
(i) For each pediatric subacute care patient for whom supplemental rehabilitation therapy services are requested, the physician shall participate in the continuing rehabilitation plan of treatment by providing ongoing rehabilitation consultation and direction to the rehabilitation therapy staff in addition to the review and approval of the rehabilitation plan of treatment.
(k) For each pediatric subacute care patient for whom supplemental rehabilitation therapy services are requested, in addition to the requirements to (e), (f) and (g), the therapist shall document in the supplemental rehabilitation therapy plan of treatment:
(1) The specific type, number and frequency of direct therapy services to be performed by or under the direct supervision of the appropriate therapist;
(2) Therapeutic goals of the services provided by each discipline and anticipated duration of treatment.
(l) Supplemental rehabilitation therapy services shall be covered separately from the pediatric subacute care services authorized in accordance with Section 51335.6(c).
(m) Supplemental rehabilitation therapy services shall be subject to the standards of medical necessity as set forth in Sections 51303(a) and 51340(e). Authorization requests shall be initiated by the facility.
(1) For the initial requests for supplemental rehabilitation therapy services, a treatment authorization request (TAR) shall be submitted within 10 working days of the development of the patient's plan of treatment accompanied by the documentation as required by the Department.
(2) For reauthorization or requests for continuation of supplemental rehabilitation therapy services, a TAR shall be accompanied by a statement describing the pediatric subacute care patient's progress and documentation demonstrating the continued medical necessity of these services.  
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 6-30-97 as an emergency; operative 6-30-97 (Register 97, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-30-97 order transmitted to OAL 10-22-97 and filed 11-26-97 (Register 97, No. 48).
§51215.11. Pediatric Subacute Care Unit--Ventilator Weaning.
Note     •     History

(a) Each pediatric subacute care unit shall define, implement and maintain a system for assessing, on admission and at least quarterly, those pediatric patients who are dependent, in part or completely, on mechanical ventilation for the appropriateness of reduction or elimination of such dependence.
(b) Ventilator weaning services performed in the pediatric subacute care unit shall be covered separately for the purpose of decreasing or eliminating dependence on mechanical ventilation, subject to the following criteria:
(1) The pediatric subacute care patient shall be evaluated and deemed appropriate for a weaning trial by a physician with knowledge of and experience in pediatric mechanical ventilation care and who documents, at a minimum, the history of ventilator dependence, previous weaning attempts, an a description of the weaning plan of treatment specifying measurable functional goals within specified time frames and post-weaning stabilization care intensity and duration.
(2) The appropriate health care professional, as the result of a comprehensive patient assessment, shall develop a plan of treatment which shall be integrated into an individualized comprehensive plan of care consistent with an interdisciplinary team approach in meeting the child's needs. A plan of treatment specifying measurable functional goals within specified time frames shall include but not be limited to:
(A) A respiratory care practitioner's plan of treatment that provides documentation of needed respiratory care practitioner time greater than the three hours in a day, as required by Section 51215.8(t).
(B) A nursing plan of treatment that documents the need for registered nurse assessments and subsequent skilled nursing care interventions at specified intervals, but in any case, more than three times in every 24 hours.
(c) Ventilator weaning services shall be covered separately from the pediatric subacute care services authorized in accordance with Section 51335.6(c).
(d) Ventilator weaning requests shall be subject to the standards of medical necessity as set forth in Sections 51303(a) and 51340(e). Authorization requests shall be initiated by the facility.
(1) For the initial request for ventilator weaning, a treatment authorization request (TAR) shall be submitted within 10 working days of the development of the patient's plan of treatment accompanied by the documentation in (b) of this section as appropriate.
(2) For reauthorization or requests for continuation of ventilator weaning, a TAR shall be accompanied by a statement describing the pediatric subacute care patient's progress and decreased ventilator dependence achieved and the information required in (b)(1) of this section updated to document continued medical necessity of these services.
(3) Pediatric subacute care patients for whom ventilator weaning is authorized shall remain eligible for pediatric subacute care services authorized in accordance with Section 51335.6(c) for the duration of authorization period for ventilator weaning.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 6-30-97 as an emergency; operative 6-30-97 (Register 97, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-30-97 order transmitted to OAL 10-22-97 and filed 11-26-97 (Register 97, No. 48).
§51216. Transfer of Ownership.
Note     •     History

In the case of a transfer of the ownership of an institutional provider of service (includes hospital, skilled nursing facility, intermediate care facility, and home health agency), the new owner shall not be considered as an eligible provider earlier than thirty days following notice of a change of ownership or proposed change of ownership. The notice shall be in writing and shall be submitted to the Department. If the interests of the state are adequately protected, the Department may authorize shortening the 30-day period or waiving the notice requirement.
NOTE

Authority cited: Section 14030, Welfare and Institutions Code. Reference: Section 14030, Welfare and Institutions Code.
HISTORY

1. New section filed 1-13-69; effective thirtieth day thereafter (Register 69, No. 3).
2. Amendment filed 3-30-72 as an emergency; effective upon filing (Register 72, No. 15).
3. Certificate of Compliance filed 7-27-72 (Register 72, No. 31).
4. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
5. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51217. Home Health Agency.
Note     •     History

A home health agency shall:
(a) Be licensed by the Department according to applicable laws and regulations and,
(b) Meet the standards for Medicare participation in Title 42 Code of Federal Regulations, Part 405 Subpart L or be certified under Title XVIII or XIX of the federal Social Security Act.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 208, Health and Safety Code. Reference: Section 14132, Welfare and Institutions Code; and Section 1727, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 12-28-73 as an emergency; designated effective 1-1-74. Certificate of Compliance included (Register 73, No. 52). For prior history, see Register 72, No. 40.
2. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
§51218. Renal Dialysis Centers, Community Hemodialysis Units and Renal Homotransplantation Centers.
Note     •     History

Renal dialysis centers, community hemodialysis units and renal transplantation centers shall:
(a) Be certified for and participate in the Medicare program.
(b) Meet standards established by the Department and be certified by the Department to participate in the Medi-Cal program.
(c) Be recommended for certification by the areawide comprehensive health planning agency on the basis of community need.
NOTE

Authority cited: Sections 14100, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14019.5, 14053, 14059 and 14103, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5). For prior history, see Register 72, No. 40.
2. Amendment filed 12-28-73 as an emergency; designated effective 1-1-74. Certificate of Compliance included (Register 73, No. 52).
§51219. Audiologist.
Note     •     History

An audiologist shall be licensed by the Speech Pathology and Audiology Examining Committee of the State Board of Medical Quality Assurance or similarly licensed by a comparable agency in the State in which he practices.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For history of prior section, see Register 72, No. 5.
2. Amendment filed 11-4-76; effective thirtieth day thereafter (Register 76, No. 45).
3. Change without regulatory effect adding NOTE (Regiser 86, No. 49).
§51220. Chiropractor.
Note     •     History

A chiropractor shall be licensed to practice by the California Board of Chiropractic Examiners or similarly licensed by a comparable agency in the state in which he practices.
NOTE

Authority cited: Sections 10725, 14015 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51220.5. Acupuncturist.
Note     •     History

An acupuncturist shall be certified to practice acupuncture in California by the Division of Allied Health Professions of the California Board of Medical Quality Assurance or be similarly certified by a comparable agency of the state in which the acupuncturist practices.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 4-30-81; effective thirtieth day thereafter (Register 81, No. 18).
§51221. Christian Science Facilities.
Note     •     History

A Christian Science facility shall annually provide the Department with evidence that they are currently certified by the First Church of Christ Scientist, Boston, Massachusetts.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14019.5, 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For history of prior section, see Register 67, No. 15.
2. Change without regulatory effect adding NOTE (Register 86, o. 49).
§51222. Christian Science Practitioner.
Note     •     History

A Christian Science practitioner shall:
(a) Be listed in the Christian Science Journal, published by the First Church of Christ Scientist, Boston, Massachusetts, as a practitioner;
(b) Meet the requirements of the First Church of Christ Scientist relating to billing the Medi-Cal Program for services rendered.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14019.5, 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New sections 51222 through 51233 filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51223. Dentist.
Note     •     History

(a) A dentist shall be licensed to practice dentistry by the California Board of Dental Examiners or similarly licensed by a comparable agency in the state in which he practices.
(b) A qualified oral surgeon shall be a dentist who meets the requirements of (1) and either (2) or (3).
(1) Confines his practice to the specialty of oral surgery.
(2) Has successfully completed a course of advanced study in oral surgery of three years or more in programs recognized by the Council on Dental Education of the American Dental Association.
(3) Has completed advanced training in oral surgery and meets both of the following requirements:
(A) Has had advanced study and hospital experience in performing oral surgery in maxillofacial deformities and temporomandibular joint dysfunction.
(B) Is listed in the Directory of the American Dental Association with the Specialty Code of 10, as defined in the 1977 issue.
(c) A qualified orthodontist shall be a dentist who meets the requirements of (1) and either (2) or (3).
(1) Confines his practice to the specialty of orthodontics.
(2) Has successfully completed a course of advanced study in orthodontics of two years or more in programs recognized by the Council on Dental Education of the American Dental Association.
(3) Has completed advanced training in orthodontics prior to July 1, 1969 and is a member of or eligible for membership in the American Association of Orthodontists.
(d) A qualified maxillofacial prosthodontist shall be a dentist who meets the requirements of (1) and either (2) or (3).
(1) Provides maxillofacial prosthetic services to the general public as an integral part of his practice.
(2) Is a Fellow or an Associate Fellow of the American Academy of Maxillofacial Prosthetics.
(3) Is a member of or eligible for membership in the American Board of Prosthodontics.
(e) A qualified practitioner in temporomandibular joint dysfunction management shall be a dentist who:
(1) Provides temporomandibular joint pain diagnosis and treatment services to the general public as an integral part of his practice.
(2) Has had advanced training in providing temporomandibular joint pain diagnosis and treatment.
NOTE

Authority cited: Sections 14105, 14124.5 and 14132, Welfare and Institutions Code. Reference: Section 14132(h), Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
§51224. Dental School Clinic.
Note     •     History

A dental school clinic shall be under the direction of a dental school which has been approved by the California Board of Dental Examiners.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14131 and 14132, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51224.5. Durable Medical Equipment and Medical Supply Providers.
Note     •     History

(a) As a condition for enrollment, or continued enrollment, in the Medi-Cal program, an applicant or provider of durable medical equipment and medical supplies shall:
(1) Maintain a business address, as defined in Section 51000.3, that is accessible to the general public. Each provider shall keep, maintain, and have readily retrievable at their business address those records specified in Section 51476.
(2) Maintain a business telephone, as defined in Section 51000.4, at the business address. The business telephone number shall be listed under the name of the business and in the business portion of the local telephone company directory.
(3) Maintain comprehensive liability insurance that covers both the applicant's or provider's place of business and any and all customers and employees of the applicant or provider.
(4) Fill orders from its inventory or by contracting with other companies for the purchase of items necessary to fill the order. Items may be fabricated or fitted for sale only from supplies purchased under contract.
(5) Obtain and maintain all state and local licenses and permits necessary to provide the services, goods, supplies, or merchandise being provided, including but not limited to, the licenses specified below:
(A) One or more of the licenses issued by the Bureau of Home Furnishings and Thermal Insulation of the Department of Consumer Affairs, as applicable to the applicant's or provider's business activity:
1. If the applicant or provider intends to rent or currently rents beds, a Sanitizer's License, a Furniture and Bedding Manufacturer's License, a Custom Upholsterer's License, a Retail Furniture and Bedding Dealer's License, or a Retail Bedding License.
2. If the applicant or provider intends to sell, or currently sells beds, a Retail Bedding Dealer's License, an Importer's License, a Furniture and Bedding Manufacturer's License, a Wholesale Furniture and Bedding Dealer's License, or a Retail Furniture and Bedding Dealer's License.
3. If the applicant or provider intends to sell, or currently sells wheelchairs, a Retail Furniture Dealer's License, an Importer's License, a Furniture and Bedding Manufacturer's License, a Wholesale Furniture and Bedding Dealer's License, a Custom Upholsterer's License, or a Retail Furniture and Bedding Dealer's License.
(B) Licenses issued by the Board of Pharmacy entitled “Medical Device Retailer Original Certificate,” and “Medical Device Retailer Original Exemptee Certificate,” if the applicant or provider intends to provide, or currently provides, ostomy supplies, oxygen equipment and supplies, urinary catheters, bags, and related supplies.
(6) Have written policies and/or procedures that ensures all the following:
(A) Beneficiaries shall be advised that:
1. Medi-Cal may approve rental or purchase of durable medical equipment on behalf of the beneficiary.
2. Except for life support equipment, such as ventilators, when previously paid rental charges equal the maximum allowable purchase price of the rented item, the item is considered to have been purchased and no further reimbursement to the provider shall be made for the beneficiary's use of the item, unless repair and maintenance is separately authorized.
(B) All warranties, expressed and implied, shall be honored and neither the beneficiary nor the Medi-Cal program shall be charged for the repair or replacement of Medi-Cal covered items or for services covered under warranty.
(C) Beneficiaries shall be provided with necessary information and instructions on how to use items safely and effectively.
(D) Questions or complaints from beneficiaries about items that are sold or rented shall be responded to within 10 calendar days of the date the beneficiary contacts the provider.
(E) Maintenance and/or repair or items shall be provided directly, or through a service contract with another company.
(F) Returns of substandard or unsuitable items shall be accepted from beneficiaries. Substandard or unsuitable items shall be replaced by the provider at no additional cost to the beneficiary or the Medi-Cal program. For the purposes of this section only, the following shall apply:
1. A “substandard item” shall have the same meaning specified in Section 14043.1, Welfare and Institutions (W&I) Code.
2. An “unsuitable item” is an item that, when in actual use, does not meet the medical needs of the beneficiary when the beneficiary's medical condition has not significantly changed since the item was fitted or sold.
(G) In addition to the written polices and procedures specified in (A) through (F), above, a durable medical equipment and medical supply applicant or provider who holds a license as a medical device retailer, or a medical device retailer exemptee, and provides dangerous drugs or dangerous devices, as defined in Section 4022, Business and Professions (B&P) Code, shall meet the standards specified in Section 4131, B&P Code, and have written policies and procedures that meet the requirements of Section 4132, B&P Code.
(b) Consumer information, such as copies of warranties and product information, a copy of the written policies and/or procedures required by subsection (a)(6), above, and a copy of the participation standards specified in this Section shall be provided to each beneficiary to whom a Medi-Cal reimbursed item is provided.
(c) Applicants and enrolled providers shall be subject to an onsite inspection, as permitted by Section 14043.37, W&I Code, or an unannounced visit, as permitted by Section 14043.7, W&I Code, to ensure the requirements of this section have been met.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999.  Reference: Sections 4022, 4130, 4131, 4132, 19051, 19055 and 19059.5, Business and Professions Code; and Sections 14043.37, 14043.7, 14043.75, 14059 and 14132(m), Welfare and Institutions Code.
HISTORY

1. New section filed 10-24-2000 as an emergency and submitted to OAL for printing only pursuant to Section 78, Chapter 146, Statutes of 1999; operative 10-24-2000 (Register 2000, No. 43). A Certificate of Compliance must be transmitted to OAL by 4-23-2001 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2001, No. 14). 
3. New section refiled 4-4-2001 as an emergency and submitted to OAL for printing only pursuant to Section 78, Chapter 146, Statutes of 1999; operative 4-4-2001 (Register 2001, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-4-2001 order transmitted to OAL 7-31-2001 and filed 9-5-2001 (Register 2001, No. 36).
§51225. Orthotist.
Note     •     History

An orthotist shall be certified in orthotics by either the American Board for Certification in Orthotics and Prosthetics or the Board for Orthotist/Prosthetist Certification.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132.63, Welfare and Institutions Code. Reference: Sections 14059, 14132(k) and 14132.63, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
2. Amendment of section and Note filed 4-20-98; operative 5-20-98 (Register 98, No. 17).
§51225.5. Respiratory Care Practitioner.
Note     •     History

(a) A respiratory care practitioner shall:
(1) be licensed by the Respiratory Care Board of California or similarly certified by a comparable agency in the state in which he or she practices, and
(2) have a Registered Respiratory Therapist credential from the National Board of Respiratory Care.
(b) In addition to the requirements under subsection (a), a respiratory care practitioner who performs cardio-pulmonary resuscitation (CPR) shall have successfully completed a cognitive and skills examination in accordance with the curriculum of the American Red Cross or the American Heart Association, every two (2) years, and shall have available for review a valid CPR certification.
(c) In addition to the requirements under subsection (a), a respiratory care practitioner who performs electrocardiograph (EKG) procedures shall have available for review by the Department a letter from a supervising physician certifying that he or she has received training and is competent to perform EKG procedures.
(d) Respiratory care practitioners shall abide by the “Ethical Performance of Respiratory Home Care”, effective April 1983 and the “Statement of Principles on Fraud and Abuse in Home Care”, effective July, 1991 of the American Association of Respiratory Care (AARC), as stated in the AARC Position Statements published in 1995.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14509 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 6-23-97; operative 7-23-97 (Register 97, No. 26).
§51226. Pharmacy.
Note     •     History

A pharmacy shall have a valid permit issued by the California Board of Pharmacy pursuant to Sections 4035 and 4035.1 of the Business and Professions Code or have a similar permit issued by the state in which it is located.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51227. Pharmacist.
Note     •     History

A pharmacist shall hold a valid certificate issued by the California Board of Pharmacy pursuant to Section 4085 of the Business and Professions Code, or hold a similar valid certificate issued by the State in which he practices.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51228. Physician.
Note     •     History

A physician shall be licensed as a physician and surgeon by the California Board of Medical Quality Assurance or the California Board of Osteopathic Examiners or similarly licensed by a comparable agency of the state in which he practices.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51229. Podiatrist.
Note     •     History

A podiatrist shall be licensed to practice podiatry by the California Board of Medical Quality Assurance, or shall be similarly licensed by a comparable agency of the state in which he practices.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51230. Prosthetist.
Note     •     History

A prosthetist shall be certified in prosthetics by either the American Board for Certification in Orthotics and Prosthetics or the Board for Orthotist/Prosthetist Certification.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132.63, Welfare and Institutions Code. Reference: Sections 14059, 14132 and 14132.63, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
2. Amendment of section and Note filed 4-20-98; operative 5-20-98 (Register 98, No. 17).
§51231. Ambulance Requirements.
Note     •     History

(a) Ambulances shall be licensed, operated and equipped in accordance with applicable federal, state and local statutes, ordinances and regulations.
(b) Ambulances operated in other states shall comply with applicable federal, state and local statutes, ordinances and regulations.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21). For prior history see 73, No. 5.
§51231.1. Litter Van Requirements.
Note     •     History

(a) Litter vans shall be operated by a certified driver and an attendant.
(1) These persons shall:
(A) Possess a current California driver's license or a current California Ambulance Driver Certificate issued by the State Department of Motor Vehicles.
(B) Be at least 18 years of age.
(C) Possess at least a current American Red Cross Standard First Aid and Personal Safety Certificate or equivalent.
(D) Have passed a physical examination within the past two years and possess a current Department of Motor Vehicle form DL-51, Medical Examination Report, which is specifically incorporated herein by reference.
(E) Not act in the capacity of a driver or attendant when such person:
1. Is required by law to register as a sex offender for any offense involving force, duress, threat or intimidation.
2. Habitually or excessively uses or is addicted to narcotics or dangerous drugs, or has been convicted during the preceding seven years of any felony offense relating to the use, sale, possession or transportation of narcotics, addictive or dangerous drugs or alcohol.
3. Habitually or excessively uses intoxicating beverages.
(b) Litter vans shall be equipped with at least the following:
(1) Loading entrance large enough to accommodate a patient comfortably lying on a standard-sized gurney.
(2) Emergency exit, other than loading entrance, that can accommodate a standard-sized gurney.
(3) Locking devices for all doors and all door latches which shall be operable from inside and outside on all vehicles manufactured and first registered after January 1, 1980.
(4) Approved seat belt assemblies for the driver and attendant.
(5) Fasteners to secure the gurney to the vehicle which must be of sufficient strength to prevent the gurney from rolling or sliding, to prevent the gurney from leaving the floor in case of sudden movement and to support the gurney and patient in the event the vehicle is overturned.
(6) One interior light.
(7) Portable, battery operated light.
(8) Controlled heating and air conditioning system in the passenger compartment.
(9) Seats covered with washable vinyl or similar impermeable material which shall be in sanitary and functional condition.
(10) Spare wheel, jack and tire tools necessary to make minor repairs except when operating where service and repair cars are immediately available.
(11) Current maps of the streets in the area where service is provided.
(12) Fire extinguisher, type 4-B:C dry powder or carbon dioxide. Vaporizing liquid extinguishers shall not be used.
(13) Identification display of the name under which the litter van is doing business or providing service, on both sides and the rear of each litter van in letters that contrast sharply with the background. Lettering for upper case letters shall be not less than four inches in height, or proportionate width, and of a color readily visible during daylight. Lower case letters shall be no less than three-fourths of the upper case height. All litter vans operated under a single license shall display the same identification. A litter van shall not display identification as an ambulance.
(14) One two-man gurney with mattress and upper and lower restraining straps.
(15) Cot fastener, floor or wall type.
(16) Attendant seat in patient compartment.
(c) Litter vans may be used as wheelchair vans if the litter van meets all the requirements for a wheelchair van as listed in Section 51231.2.
(d) Litter van providers shall be licensed, operated and equipped in accordance with applicable federal, state and local statutes, ordinances and regulations.
(e) Litter van providers in other states shall comply with applicable federal, state and local statutes, ordinances and regulations.
(f) All litter van patients shall be secured to gurney by restraining belts while being loaded, unloaded and transported.
(g) The driver or attendant shall not smoke in the litter van while transporting a patient.
(h) Litter van providers shall furnish the following information to the local Medi-Cal Field Office on an annual basis:
(1) Statement of hours of operation and geographic area served.
(2) Standard brake and light certificate issued by the Department of Consumer Affairs within 45 days following the annual renewal date.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§51231.2. Wheelchair Van Requirements.
Note     •     History

(a) Wheelchair vans shall be operated by a certified driver and, where applicable, an attendant.
(1) These persons shall:
(A) Possess a current California driver license or a current California Ambulance Driver Certificate issued by the State Department of Motor Vehicles.
(B) Be at least 18 years of age.
(C) Possess at least a current American Red Cross Standard First Aid and Personal Safety Certificate or equivalent.
(D) Have passed a physical examination within the past two years and possess a current Department of Motor Vehicle form DL-51, Medical Examination Report, which is specifically incorporated herein by reference.
(E) Not act in the capacity of a driver or attendant when such person:
1. Is required by law to register as a sex offender for any offense involving force, duress, threat or intimidation.
2. Habitually or excessively uses or is addicted to narcotics or dangerous drugs, or has been convicted during the preceding seven years of any felony offense relating to the use, sale, possession or transportation of narcotics, addictive or dangerous drugs or alcohol.
3. Habitually or excessively uses intoxicating beverages.
(b) Wheelchair vans shall be equipped with at least the following:
(1) One standard-sized wheelchair.
(2) Loading entrance large enough to accommodate a patient comfortably seated in a standard-sized wheelchair.
(3) Emergency exit, other than loading entrance, that can accommodate a standard-sized wheelchair.
(4) Locking devices for all doors and all door latches which shall be operable from inside and outside on all vehicles manufactured and first registered after January 1, 1980.
(5) Seating capacity to accommodate at least two patients seated in standard-sized wheelchairs.
(6) Approved seat belt assemblies for the driver and any front seat passengers.
(7) Fasteners to secure the wheelchair to the vehicle which must be of sufficient strength to prevent the chairs from rotating, to prevent the chair wheels from leaving the floor in case of sudden movement and to support the chairs and patients in the event the vehicle is overturned.
(8) Lift or ramp with a load capacity of at least 450 pounds which can be secured to the vehicle.
(9) Foot stool or extra step for loading.
(10) One interior light.
(11) Portable, battery-operated light.
(12) Controlled heating and air conditioning system in the patient compartment.
(13) Seats covered with washable vinyl, or similar impermeable material which shall be in sanitary and functional condition.
(14) Spare wheel, jack and tire tools necessary to make minor repairs except when operating where service and repair cars are immediately available.
(15) Current maps of the streets in the area where service is provided.
(16) Fire extinguisher, type 4-B:C dry powder or carbon dioxide. Vaporizing liquid extinguishers shall not be used.
(17) Identification display of the name under which the wheelchair van is doing business or providing service, on both sides and rear of each wheelchair van in letters that contrast sharply with the background. Lettering for upper case letters shall be not less than four inches in height, or proportionate width, and of color readily visible during daylight. Lower case letters shall be no less than three-fourths of the upper case height. All wheelchair vans operated under a single license shall display the same identification.
(c) Wheelchair van providers shall be licensed, operated and equipped in accordance with applicable federal, state and local statutes, ordinances and regulations.
(d) Wheelchair van providers in other states shall comply with applicable federal, state and local statutes, ordinances and regulations.
(e) All wheelchair passengers must be secured to wheelchairs while being loaded, unloaded or transported.
(f) Neither driver nor attendant shall smoke in the wheelchair van.
(g) Wheelchair van providers shall furnish the following information to the local Medi-Cal Field Office on an annual basis:
(1) Statement of hours and geographic area served.
(2) Standard brake and light certificate issued by the Department of Consumer Affairs within 45 days following the annual renewal date.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§51232. Psychologist.
Note     •     History

A psychologist shall be licensed by the Psychology Examining Committee of the State Board of Medical Quality Assurance or be similarly licensed by a comparable agency in the State in which he practices.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 11-4-76; effective thirtieth day thereafter (Register 76, No. 45).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51233. Optometrist.
Note     •     History

An optometrist shall be licensed by the California Board of Optometry to practice optometry, or be similarly licensed by a comparable agency of the state in which he practices.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14131 and 14132, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49). 
§51234. Psychiatric Technician. [Repealed]
History

HISTORY

1. New section filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5).
2. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51235. Dietitian. [Repealed]
History

HISTORY

1. New section filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5).
2. Repealer filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51236. Radiological and Radioisotope Services.
Note     •     History

Diagnostic and therapeutic radiological and radioisotope services shall only be provided pursuant to the registration or licensing provisions of Chapter 5, subchapters 4, and 4.5 of Title 17, California Administrative Code, or with similar registration or licensing provisions of a similar agency of the state in which the service is rendered.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14019.5, 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-2-73; effective thirtieth day thereafter (Register 73, No. 18).
2. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51237. Nurse Anesthetist.
Note     •     History

A nurse anesthetist shall be licensed as a registered nurse by the California Board of Registered Nursing, or similarly registered or licensed by a comparable agency in the state in which he practices, and certified by the American Association of Nurse Anesthetists.
NOTE

Authority cited: Sections 14105, 14115.3 and 14124.5, Welfare and Institutions Code. Reference Section 14115.3, Welfare and Institutions Code.
HISTORY

1. New section filed 5-1-75 as an emergency; effective upon filing (Register 75, No. 18).
2. Certificate of Compliance filed 8-19-75 (Register 75, No. 34).
3. Amendment filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
§51238. Short-Doyle Medi-Cal Provider.
Note     •     History

A Short-Doyle Medi-Cal provider shall be approved by the Department to participate in the Short-Doyle Medi-Cal program.
NOTE

Authority cited: Sections 14124.5 and 14131, Welfare and Institutions Code. Reference: Section 14131, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-75 as an emergency; effective upon filing (Register 75, No. 40).
2. Certificate of Compliance filed 1-8-76 (Register 76, No. 2).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
§51239. Outpatient Heroin Detoxification Provider.
Note     •     History

(a) Outpatient heroin detoxification services shall be provided only by or through one of the following:
(1) Persons or facilities approved to provide such treatment under the provisions of Subchapter 6, Title 9, California Administrative Code.
(2) Persons or facilities approved to conduct research programs under the provisions of Section 11481, Health and Safety Code, and Subsection 4351 (a), Welfare and Institutions Code.
(3) Organized outpatient clinics appropriately licensed under the provisions of Section 400, Title 17, California Administrative Code.
(4) Hospital outpatient departments appropriately licensed under the provision of Section 70103, Title 22, California Administrative Code.
(5) Physicians providing office heroin detoxification services.
(b) Providers of heroin detoxification services shall comply with the requirements of the appropriate State of California Codes, including but not limited to the following, as a condition for reimbursement when using a drug for heroin detoxification purposes which is covered by any of these codes:
(1) Chapter 6, Title 9, California Administrative Code.
(2) Section 11481, Subsection 4351, Health and Safety Code.
(3) Sections 26670, 26678 or 26679, Health and Safety Code.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14019.5, 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Change without regulatory effect of NOTE (Register 86, No. 49).
§51240. Utilization of Nonphysician Medical Practitioners.
Note     •     History

(a) Each primary care physician, organized outpatient clinic or hospital outpatient department which utilizes a qualified nonphysician medical practitioner shall complete a “Medi-Cal Nonphysician Medical Practitioner and Licensed Midwife Application,” DHS 6248 (Rev. 07/05) for enrollment in the Medi-Cal program pursuant to Section 51000.30.
(b) The number of nonphysician medical practitioners who may be supervised by a single primary care physician shall be in accordance with applicable professional licensing statutes and regulations.
(c) A primary care physician, an organized outpatient clinic or a hospital outpatient department shall not utilize more nonphysician medical practitioners than can be supervised within the limits stated in (b).
(d) Each primary care physician organized outpatient clinic or hospital outpatient department which utilizes a nonphysician medical practitioner shall develop a Physician-Practitioner Interface specifically establishing the scope and limits of services to be rendered by, and related to the functions of, each nonphysician medical practitioner.
(1) A Physician-Practitioner Interface includes the following:
(A) In the case of registered nurses, standardized procedures, as required by Title 16, Article 7, Division 14, California Code of Regulations, commencing with Section 1470.
(B) In the case of physician assistants, a written delegation of medical services and written supervisory guidelines, as required by Section 1399.540 and Section 1399.545(e), Title 16, California Code of Regulations.
(C) All written protocols issued by collaboration between the physician and the nonphysician medical practitioner.
(D) All written standing orders of the physician.
(E) All written special orders given by the physician.
(2) Agreements reached in developing the Physician-Practitioner Interface shall be retained on file at the provider's office, readily available for review by the Department.
NOTE

Authority cited: Sections 10725, 14043.15, 14105 and 14124.5, Welfare and Institutions Code; and Section 20, Health and Safety Code. Reference: Sections 14043, 14043.1, 14043.2, 14043.47, 14132.4, 14132.41 and 14132.966, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 8-9-78 (Register 78, No. 31).
3. Change without regulatory effect amending subsection (f)(1)(B) filed 7-7-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 27).
4. Editorial correction of subsection (d) (Register 95, No. 45).
5. Amendment filed 11-10-2005; operative 11-10-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 45).
6. Amendment of subsection (b), repealer of subsections (b)(1)-(4) and (e)-(e)(2)(B) and amendment of Note filed 5-17-2012; operative 6-16-2012 (Register 2012, No. 20).
§51241. Physician Relationship to Nonphysician Medical Practitioners.
Note     •     History

(a) The relationship between the physician and the nonphysician medical practitioner shall be that of a shared and continuing responsibility to follow the progress of the patient in a manner which assures the nonphysician medical practitioner's adherence to the limits of the specific professional practice established by law and regulations, while maximizing patient safety, health and well-being.
(b) The supervising physician shall be available to the nonphysician medical practitioners in person or through electronic means to provide supervision to the extent required by California professional licensing laws, necessary instruction in patient management, consultation and referral to appropriate care and services by specialist physicians or other licensed health care professionals, as may be required in each case.
(c) In cases of emergencies as defined in Section 51056, the nonphysician medical practitioner, to the extent permitted by the laws relating to license or certificate involved, may render emergency services to a patient pending establishment of contact with the physician.
(d) In all cases, the nonphysician medical practitioner shall be responsible to maintain reasonable communication with the physician, to keep the physician informed, to follow instructions and, in any case of doubt, to seek assistance or additional instructions.
NOTE

Authority cited: Sections 14053, 14105, 14124.5 and 14132, Welfare and Institutions Code. Reference: Article 12.5 of Chapter 5, Articles 2 and 2.5 of Chapter 6, and Chapter 7.7, Business and Professions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 8-9-78 (Register 78, No. 31).
§51242. EPSDT Diagnosis and Treatment Provider and EPSDT Supplemental Services Provider.
Note     •     History

(a) An EPSDT diagnosis and treatment provider shall meet the requirements for participation in the Medi-Cal program as specified in this chapter, excepting the requirements specified in subsection (b).
(b) A provider seeking to provide EPSDT supplemental services, who is not enrolled as a provider pursuant to subsection (a), shall first submit a provider enrollment application to the department to become an EPSDT supplemental services provider.  The application shall be accompanied by a request for prior authorization, pursuant to Section 51340(c), for the initial service the provider seeks to provide.
(c) An EPSDT case manager, defined in Section 51184(h)(4), seeking to provide EPSDT case management services shall be considered to be an EPSDT supplemental services provider and shall comply with the requirements of this section.
(d) In order to be approved as an EPSDT supplemental services provider for the particular service sought, the provider shall supply documentation or other evidence which the Department determines establishes that both of the following conditions are met:
(1) The services to be provided meet the standard of medical necessity set forth in Section 51340(e).
(2) The provider is licensed, certified, or otherwise recognized or authorized under state law governing the healing arts to provide the service pursuant to Division 2 (commencing with section 500) of the Business and Professions Code or is a licensed pediatric day health and respite care facility pursuant to Section 1760 of the Health and Safety Code, and meets any applicable requirements in federal Medicaid law to provide the particular service requested.
(e) Notwithstanding the provisions of paragraph (d)(1), an entity or individual seeking to provide EPSDT case management services pursuant to Section 51340(j)(3) shall supply documentation enabling the Department to determine that both of the following requirements are met:
(1) The criteria specified in Section 51340(f) are met.
(2) The entity or individual is qualified by education, training, or experience to provide EPSDT case management services to the beneficiary.
(f) The Department shall not approve an application pursuant to subsection (b) or (c) of this section if the Department determines that the service to be provided is accessible and available in an appropriate and timely manner through existing Medi-Cal certified provider types or other Medi-Cal programs.
(g) Once enrolled as an EPSDT supplemental services provider, the provider shall remain enrolled only for the purpose of providing subsequent EPSDT supplemental services within his or her scope of practice, or within the scope of the facility's license, unless disenrolled by provider choice or the Department's administrative action, pursuant to Chapter 3, Division 3, Title 22, California Code of Regulations.
(h) A provider who is currently enrolled as a Medi-Cal services provider shall not be required to enroll as an EPSDT supplemental services provider.
(i) Notwithstanding subsections (a) and (d), a local health department as defined in Section 101185 of the Health and Safety Code or a comprehensive environmental agency as referenced in Section 101275 of the Health and Safety Code may provide onsite investigations to detect the source of lead contamination as an EPSDT supplemental service, as specified in 51340.1(d). To be eligible for payment, the service must be rendered by an individual who is a Registered Environmental Health Specialist registered in accordance with Article 1 of Chapter 4 of Part 1 of Division 104 of the California Health and Safety Code (commencing with Section 106600) and who has been certified in accordance with Section 35005 of Title 17 of the California Code of Regulations as a Certified Lead Inspector/Assessor of the Department.
NOTE

Authority cited: Sections 10725, 14124.5 and 14195, Welfare and Institutions Code.  Reference: Sections 14059, 14132 and 14132.10, Welfare and Institutions Code.
HISTORY

1. New section filed 4-4-94 as an emergency; operative 4-4-94 (Register 94, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-1-94 as an emergency; operative 8-1-94 (Register 94, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-29-94 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-21-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 2-22-95; operative 2-22-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-22-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 2-22-95 order including amendment of section heading and section transmitted to OAL 3-16-95 and filed 4-27-95 (Register 95, No. 17).
6. New subsection (i) and amendment of Note filed 4-13-99 as an emergency; operative 4-13-99 (Register 99, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-11-99 or emergency language will be repealed by operation of law on the following day.
7. New subsection (i) and amendment of Note refiled 8-5-99 as an emergency; operative 8-5-99 (Register 99, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-3-99 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (d)(1), (d)(2) and (g) and amendment of Note filed 11-10-99 as an emergency; operative 11-10-99 (Register 99, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-9-2000 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 8-5-99 order transmitted to OAL 12-1-99 and filed 1-12-2000 (Register 2000, No. 2).
10. Certificate of Compliance as to 11-10-99 order transmitted to OAL 3-8-2000 and filed 4-19-2000 (Register 2000, No. 16).
§51242.1. EPSDT Supplemental Services Provider--Pediatric Day Health Care Facility.
Note     •     History

(a) A pediatric day health care facility, as defined in Section 51184(k)(2), seeking to provide pediatric day health care EPSDT services shall be considered to be an EPSDT supplemental services provider and shall comply with the provisions specified in this section and in Section 51242, except the provisions of subsections (a), (c) and (e). In addition, the pediatric day health care facility shall maintain documentation available for Department review substantiating compliance with all of the provisions of this section.
(b) The pediatric day health care facility shall provide the required EPSDT services specified in Section 1760.6 of the Health and Safety Code, with the exception of Section 1760.6(b)(5).
(c) The pediatric day health care facility shall comply with the personnel requirements specified in Section 1267.13 of the Health and Safety Code. Such personnel, as required to provide the services pursuant to paragraph (b) of this section, shall be:
(1) Licensed, certified or credentialed health professionals acting within their scope of practice who meet the experience requirements specified in this section; and
(2) Present in the facility in sufficient numbers, as determined under the patient classification system defined in Title 22, California Code of Regulations, Section 70053.2, during all hours of facility operation to provide services as prescribed by the attending physician and documented in the individual plan of treatment and to address projected admissions, terminations and emergencies.
(d) In complying with the provisions of paragraph (c) of this section, the following requirements shall apply:
(1) Registered nurse personnel shall upon hire provide to the employer evidence of all of the following:
(A) Current California licensure as a registered nurse, and a minimum of two years of experience within the last five years which includes the provision of nursing services to children with the types of medical conditions for which the facility provides care. For those registered nurses serving in a supervisory capacity, such experience shall include nursing supervision; and
(B) Within one year of his or her date of hire, proof of completion of at least thirty (30) continuing education units specific to the physical and psychosocial assessment of, and provision of nursing services to, children with the types of medical conditions for which the facility provides care.
(2) Licensed nurse personnel, other than registered nurses, shall provide to the employer evidence, upon hire, of a minimum of six months' experience within the past two years providing care to children with the types of medical conditions for which the facility provides care; or an acquired competency, to be documented in the licensed nurse's personnel records, including:
(A) Proof of completion, within one year of his/her date of hire, of at least 15 continuing education units specific to the provision of care to children with the types of medical conditions for which the facility provides care, and
(B) Proof of completion, within two months of employment, of at least 40 hours of direct employee specific preceptorship, provided by a registered nurse meeting the qualifications specified in subsection (1). For purposes of this section “preceptorship” means the pairing of the newly hired nurse with a registered nurse who has met the experience and education qualifications specified in subsection (1), for the purpose of promoting the clinical competency of the newly hired nurse in providing nursing services to the types of patients for whom the facility provides care. Such a preceptorship may be provided during the licensed nurses' normal working tour of duty.
(3) If the facility provides care to a child who is dependent on mechanical ventilation, the facility shall employ a licensed respiratory care practitioner, or a licensed nurse with documented education, preparation and expertise specific to the assessment and treatment of the ventilator dependent child. Such personnel shall be present in the facility during all hours in which the ventilator dependent child is present in the facility.
(4) If the facility utilizes nonlicensed nursing personnel pursuant to Section 1337 of the Health and Safety Code, such personnel shall, upon hire, provide evidence of a minimum of six months' experience within the past year providing care to children with the types of medical conditions for which the facility provides care.
(5) All medical personnel shall:
(A) Have upon hire, and subsequently maintain, pediatric cardiopulmonary resuscitation certification, or
(B) Prior to the completion of the orientation period described in Title 22, California Code of Regulations, Section 72517(d), obtain, and subsequently maintain, pediatric cardiopulmonary resuscitation certification.
(e) The facility shall collaborate with and involve the child's parent, foster parent or legal guardian in the decision making process for all care planning and provision of interventions and treatment at the facility and in the child's home. Such collaboration shall be provided by the director or personnel delegated by the director, and shall involve, at a minimum:
(1) A conference with the child's parent, foster parent or legal guardian to be held quarterly, or more frequently as indicated by the needs of the child or parent, foster parent or legal guardian, to provide, at a minimum:
(A) A written status report on the plan of treatment of the child at the facility.
(B) Information on the interventions and treatments specified in the child's plan of treatment.
(2) A written report of the day's events provided to the parent, foster parent or legal guardian at the conclusion of each day of attendance specifying information including but not limited to:
(A) Treatments provided and when they were provided.
(B) Medications administered, including amount, time and route of dosage.
(C) Nutritional intake, including amount, time and route of intake.
(D) Developmental activities.
(E) Contact with the attending physician.
(f) The facility shall work in conjunction with the Regional Center, as defined in Title 17, Section 54302(a)(49), or the Local Education Agency Provider, as defined in Title 22, Section 51190.2, in the development and implementation of an age appropriate Individualized Family Service Plan (IFSP), Individualized Education Plan (IEP) and/or Individualized Health and Support Plan (IHSP) as specified in Government Code Section 95020, for each child. The facility shall incorporate those identified activities in the IFSP, IEP, and/or IHSP as appropriate, into the individual plan of treatment. To facilitate continuity of services, the facility shall obtain instruction for its personnel from the Regional Center or Local Education Agency Provider in performing activities identified in the IFSP, IEP, and/or IHSP.
(g) During any work shift, personnel employed by the facility shall not be simultaneously assigned duties at a licensed health care facility, including but not limited to, a skilled nursing facility or a congregate living health facility as defined in Division 2, Chapter 2, commencing with Section 1250 of the Health and Safety Code.
(h) The facility shall accept and retain only those beneficiaries for whom it can provide adequate, safe, therapeutic and effective care as determined by the attending physician and documented in the child's individualized plan of treatment.
(i) Pharmaceutical services, as required by paragraph (b) of this section, shall be:
(1) Supplied to the licensed nursing personnel of the facility by the child's parent, foster parent or legal guardian in the original dispensing container which specifies administration instructions, except when a verbal order is obtained from the attending physician and the medication is delivered to the facility by a pharmacy. In such a case, the facility shall provide the container with the new medication to the child's parent, foster parent or legal guardian the same day the medication was delivered to the facility. Administered only upon written and signed orders of the child's attending physician.
(2) All physician orders shall be current and maintained in the child's medical record at the facility. Verbal orders from the attending physician for services to be rendered at the facility may be received and recorded by licensed nursing personnel in the child's medical record at the facility and shall be signed by the attending physician within thirty (30) working days.
(3) Administered by facility personnel acting within the scope of their practice.
(j) Nutrition services, as required by paragraph (b) of this section, shall include a minimum of one meal per day, between meal nourishment, and consultation services by the facility's dietitian. Therapeutic diets, as defined in Title 22, Section 72115, and between meal nourishment shall be provided and served as prescribed by the attending physician. The child's parent, foster parent or legal guardian shall supply the facility with baby food, baby formula, enteral formula, and any other food or snack items not included in the facility's fixed meal menu. The administration of all food shall be supervised by licensed or certified personnel functioning within their scope of practice and documented in the plan of treatment.
(k) Each pediatric day health care facility shall provide readily available emergency health services as follows:
(1) The facility shall obtain a written agreement from the child's parent, foster parent or legal guardian granting the facility permission to transfer the child to a hospital or other health facility in case of an emergency.
(2) The facility shall maintain written agreements for the provision of emergency medical care which shall include:
(A) An on-call physician.
(B) Hospital or emergency room care.
(C) Medical transportation.
(3) First aid services shall be available at the facility. All personnel shall receive in-service training in first aid. Training in cardiopulmonary resuscitation shall be in accordance with Sections 51242.1(d)(5)(A) and (B).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14132.10, Welfare and Institutions Code.
HISTORY

1. New section filed 11-10-99 as an emergency; operative 11-10-99 (Register 99, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-9-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-10-99 order, including amendment of subsections (d)(1)(A) and (d)(2), new subsections (d)(2)(A)-(B) and amendment of subsections (i)(2) and (j), transmitted to OAL 3-8-2000 and filed 4-19-2000 (Register 2000, No. 16).
§51243. Intermediate Care Facility for the Developmentally Disabled.
Note     •     History

An intermediate care facility for the developmentally disabled as defined in Section 51164 shall meet each of the following requirements:
(a) Be licensed by the Department of Health Services as any of the following:
(1) A hospital pursuant to the provisions of Sections 70101 through 70137 of Title 22 of the California Administrative Code.
(2) A psychiatric hospital pursuant to the provisions of Sections 71101 through 71135 of Title 22 of the California Administrative Code.
(3) A skilled nursing facility pursuant to the provisions of Sections 72201 through 72241 of Title 22 of the California Administrative Code.
(4) An intermediate care facility pursuant to the provisions of Sections 73201 through 73241 of Title 22 of the California Administrative Code.
(b) Meet the standards and be certified to participate in the Medi-Cal program under:
(1) Section 51215, Skilled Nursing Facility.
(2) Section 51212, Intermediate Care Facility.
(3) Section 51207, Hospitals.
(c) Be certified by the department as meeting the standards specified in 42 Code of Federal Regulations, Sections 442.400 through 442.516 and applicable standards in Sections 442.250 through 442.254 or be provisionally certified as meeting these standards with a federal or state approved plan of correction.
(d) Be licensed and approved to provide intermediate care facility services to the developmentally disabled pursuant to the provisions of Sections 76000 through 76725 of Title 22 of the California Administrative Code.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code; and Section 208.4, Health and Safety Code. Reference: Section 14132, Welfare and Institutions Code; and Section 1250, Health and Safety Code.
HISTORY

1. Amendment filed 3-29-84 as an emergency; designated effective 4-1-84 (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-30-84. For prior history, see Registers 84, No. 2; 82, No. 31 and 79, No. 9.
2. Emergency language filed 3-29-84 repealed by operation of Government Code Section 11346.1(f) (Register 85, No. 19).
3. Amendment filed by the Department of Health Services with the Secretary of State on 8-1-84 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 19).
4. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§51243.1. Intermediate Care Facility for the Developmentally Disabled Habilitative.
Note     •     History

(a) An intermediate care facility for the developmentally disabled habilitative as defined in Section 51164.1 shall:
(1) Be licensed by the Department as an intermediate care facility for the developmentally disabled habilitative pursuant to the provisions of Sections 76800 through 76962 of Title 22 of the California Administrative Code.
(2) Be certified by the Department as meeting the standards and conditions specified in Title 42, Code of Federal Regulations, Sections 440.150, 442.100 through 442.115, and 442.400 through 442.516.
(b) Each facility shall cooperate with the State Medical Review Team and keep on file the following items:
(1) A description of procedures to be used for taking needed corrective action following a state review.
(2) Records and reports sent to the facility by the State Medical Review Team.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code; and Sections 208.3, 208.4 and 1267.7, Health and Safety Code. Reference: Section 14132, Welfare and Institutions Code; and Section 1250, Health and Safety Code.
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 8-1-84 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 19).
2. Certificate of Compliance filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§51243.2. Intermediate Care Facility for the Developmentally Disabled-Nursing.
Note     •     History

(a) An intermediate care facility for the developmentally disabled-nursing as defined in Section 51164.2 shall:
(1) Be licensed by the Department as an intermediate care facility for the developmentally disabled-nursing pursuant to the provisions of Sections 73846 through 73855, Title 22, California Code of Regulations.
(2) Be certified by the Department as meeting the applicable standards and conditions specified in Title 42, Code of Federal Regulations, Sections 440.150, 442.100 through422.112 and Part 483, Support D.
(b) Each facility shall cooperate with the State Medi-Cal Utilization Review Team and keep on file the following items:
(1) Policies and procedures to be used for taking needed corrective action of identified deficiencies following a state review.
(2) Records and reports sent to the facility by the State Medi-Cal Utilization Review Team.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Sections 208, 1250.1 and 1275.3, Health and Safety Code. Reference: Sections 1250, 1250.1, and 1275.3, Health and Safety Code.
HISTORY

1. New Section refiled by the Department of Health Services with the Secretary of State on 5-30-89 as an emergency pursuant to Health and Safety Code Section 1275.3; operative 5-30-89. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 89, No. 23). For prior history, see Register 89, No. 1.
2. Certificate of Compliance as to 5-30-89 order including amendment of subsections (a) (2) and (b) transmitted to OAL 9-27-89 and filed 10-26-89 (Register 89, No. 44).
§51244. In-Home Medical Care Waiver Services Provider and Nursing Facility Waiver Services Provider.
Note     •     History

(a) An in-home medical care waiver services provider and a nursing facility waiver services provider shall:
(1) Be licensed in accordance with appropriate state or local laws; and
(2) Be certified in accordance with the standards set forth in the applicable federal waiver and in a written agreement between the Department and the provider of services necessary to implement the in-home medical care waiver services program component or the Nursing Facility Waiver Services program component. In the event the specific standards for participation are not set forth in the waiver and agreement and the services to be provided are the same as otherwise set forth in Article 2 of this chapter (excluding Section 51173.1 and Section 51176), the provider shall adhere to the provider standards applicable to the service to be provided, as otherwise set forth in Article 3 of this chapter, commencing with Section 51200; and
(3) Be certified to participate in the Medi-Cal program by meeting the standards for participation as a provider under the Medi-Cal program, being in compliance, where applicable, with the Medicare and Medicaid requirements of Titles XVIII and XIX of the Social Security Act.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14114 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
2. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
3. Amendment of section heading, text and Note filed 10-20-94; operative 10-20-94 (Register 94, No. 42).
4. Editorial correction of History 3 (Register 95, No. 14).
§51245. Nurse Midwife.
Note     •     History

A nurse midwife shall be licensed as a registered nurse and currently certified as a nurse midwife by the California Board of Registered Nursing.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Section 14132.4, Welfare and Institutions Code.
HISTORY

1. New section filed 12-21-83; effective thirtieth day thereafter (Register 83, No. 52).
§51246. Home and Community-Based Waiver Services Providers.
Note     •     History

(a) A home and community-based waiver services provider shall:
(1) Be licensed in accordance with the appropriate state laws; and
(2) Be certified in accordance with the standards set forth in the applicable federal waiver approved by the Department of Health and Human Services; or
(3) In the event specific standards for participation are not set forth in the waiver and the services to be provided are the same as otherwise set forth in Article 2 of this chapter (excluding Section 51176) as a Medi-Cal covered benefit in the absence of a waiver, the provider shall adhere to the provider standards applicable to the service to be provided, as otherwise set forth in Article 3 of this chapter, commencing with Section 51200.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87. Reference: Sections 14114 and 14132(s), Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-83 as an emergency; effective upon filing (Register 83, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-25-83.
2. Certificate of Compliance including editorial correction transmitted to OAL 6-22-83 and filed 7-27-83 (Register 83, No. 31).
3. Amendment of section heading, subsection (a) and Note filed 10-20-94; operative 10-20-94 (Register 94, No. 42).
4. Editorial correction of History 3 (Register 95, No. 14).
§51247. Swing Bed Facility.
Note     •     History

(a) Swing bed facilities as defined in Section 51178 shall:
(1) Meet the standards for hospitals specified in Section 51207.
(2) Be certified as a special hospital provider of long-term services under Title XVIII of the Federal Social Security Act.
(3) Be approved by the Department as a primary health service hospital in accordance with Division 2, Article 10 of the Health and Safety Code commencing with Section 1339.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 208, Health and Safety Code. Reference: Sections 1339.7, 1339.9 and 1339.15, Health and Safety Code.
HISTORY

1. New section filed 1-17-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 3).
§51248. Ocularist.
Note     •     History

An ocularist shall be certified by the American Anaplastology Association, or by the National Examining Board of Ocularists, or shall be a graduate of at least a two year course in ocular prostheses sponsored by a school or college of medicine or optometry, and whose degrees are accepted by the applicable board, or shall be a California licensed physician and surgeon, optometrist, or optician.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 7-23-87; operative 8-22-87 (Register 87, No. 31).
§51249. Application Process for Comprehensive Perinatal Providers.
Note     •     History

(a) Except where a capitated health system contract entered into by the Department provides otherwise, to become a comprehensive perinatal provider as defined in Section 51179.1, the Medi-Cal enrolled provider shall complete and submit a Department approved application form entitled Application for Certification As A Comprehensive Perinatal Provider Under Medi-Cal to the local health department or designated State agent for review. The designated agent may include counties or other non-profit organizations as designated by the Director of the Department. Applications shall be available from the local Comprehensive Perinatal Services Program Coordinator or the State Maternal and Child Health Branch, 714 P Street, Sacramento, CA 95814.
(b) The Department shall utilize the following criteria in evaluating applications:
(1) Provider's ability to provide the services specified in Section 51348 through the provider's own service or through subcontractors.
(2) Training and experience of providers rendering services specified in Section 51348.
(3) Quality of care rendered by providers as evidenced by history of:
(A) Revocations, suspensions, or restrictions by a licensing authority.
(B) The extent of training received in the provision of comprehensive perinatal care which has been approved by the State.
(c) The Department shall have responsibility for the final decision and for notifying the provider of acceptance or rejection of the application.
(d) The Department shall:
(1) Within 60 calendar days from receipt of the application, inform the applicant in writing that the application is complete and acceptable or that the application is deficient and what specific information or clarification is necessary.
(2) Within 60 calendar days from receipt of an application which is complete upon initial submission, reach a decision to approve or deny the applicant for participation as a comprehensive perinatal provider.
(3) Within 60 calendar days from receipt of any information or clarification necessary to make an application complete, reach a decision to approve or deny the applicant for participation as a comprehensive perinatal provider.
(4) Send written notification to the applicant upon approval or denial for participation as a comprehensive perinatal provider. The written notification of the denial shall contain the basis for the denial.
(e) An applicant whose application has been denied shall have 30 calendar days from the date of the receipt of written notification of the denial to submit a written appeal to the Department. This written appeal shall contain factual statements as to why the applicant meets the criteria which have been cited as the basis for the denial of the application. The Department shall issue a written decision within 60 calendar days of receipt of the applicant's appeal.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code; and Section 15376(a) and (b), Government Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including amendment of subsection (a) filed 9-17-87 (Register 87, No. 38).
§51250. Hospice.
Note     •     History

A hospice shall:
(a) Be certified and continue to meet the conditions for participation as a hospice under Title XVIII of the Social Security Act, Section 1861 (dd), (42 U.S.C. 1395x(dd)).
(b) Make available and provide core services and other services, and utilize volunteers as specified in 42 Code of Federal Regulations, Part 418, Subpart C, in accordance with the conditions specified. Reference to Medicare beneficiaries shall apply equally to Medi-Cal beneficiaries.
(c) Not discontinue or diminish care provided to a Medi-Cal beneficiary based on expiration of the beneficiary's final election period.
(d) Make available to the Department complete, accurate medical and fiscal records, signed and dated by appropriate staff, to fully substantiate all claims for hospice services submitted to the Department, and shall permit access to all records and facilities for the purpose of claims audit, program monitoring and utilization review.
(e) Notify the Department of Health Services by mail postmarked within two working days of approval of hospice benefits for an individual by a Medi-Cal Consultant.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference Sections 14053 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88.
2. Certificate of Compliance including amendment of subsections (b) and (e) transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
§51251. Medical Device Retailer.
Note     •     History

Any Medi-Cal provider who dispenses dangerous medical devices, as defined in Business and Professions Code section 4034.5, shall have a valid pharmacy license or medical device retailer permit issued by the Board of Pharmacy pursuant to Business and Professions Code section 4034.5 and 4081.
NOTE

Authority cited: Section 208, Health and Safety Code; and Section 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 2-15-91; operative 3-17-91 (Register 91, No. 11).
§51255. Licensed Midwife.
Note     •     History

(a) In order to participate in the Medi-Cal Program, a licensed midwife shall enroll as a Medi-Cal Provider, pursuant to Article 1 of Chapter 3 commencing with Section 51000.
(b) A licensed midwife shall comply with the provisions of the Licensed Midwifery Practice Act of 1993, as set forth in Business and Professions Code Section 2505 et seq.
(c) A licensed midwife shall be supervised by a licensed physician and surgeon who has current practice or training in obstetrics and who shall:
(1) Have current, unrevoked, unsuspended hospital privileges in obstetrics;
(2)  Be a current Medi-Cal provider; and
(3) Supervise no more than four individual licensed midwives at once, so as not to exceed a ratio of four individual licensed midwives to one individual supervising licensed physician and surgeon.
(d) The supervision required in (c) of this section shall not be construed to require the physical presence of the supervising licensed physician and surgeon.
NOTE

Authority cited: Sections 14124.5, Welfare and Institutions Code. Reference: Section 14132.39, Welfare and Institutions Code; and Sections 2505-2521, Business and Professions Code.
HISTORY

1. New section filed 9-3-2004; operative 10-3-2004 (Register 2004, No. 36).
§51260. Certified Nurse Practitioner.
Note     •     History

A Certified Nurse Practitioner shall meet the standards prescribed by the Board of Registered Nursing within the State of California.
NOTE

Authority cited: Sections 14105, 14124.5 and 14132.41, Welfare and Institutions Code. Reference: Sections 14132 and 14132.41, Welfare and Institutions Code; and Sections 2834, 2835, 2835.5 and 2836, Business and Professions Code.
HISTORY

1. New section filed 5-3-93 as an emergency; operative 5-3-93 (Register 93, No. 19). A Certificate of Compliance must be transmitted to OAL 8-31-93 or emergency language will be repealed by operation of law on the following day.
2. Emergency adoption of section filed 5-3-93 repealed by operation of  Government Code section 11346.1(g) (Register 93, No. 44).
3. New section refiled 10-27-93 as an emergency; operative 10-27-93 (Register 93, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-25-94 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 10-27-93 order including amendment of Note transmitted to OAL 10-18-93 and filed 12-2-93 (Register 93, No. 49).
§51270. Local Educational Agency (LEA) Provider.
Note     •     History

(a) A Local Educational Agency (LEA) Provider, as defined in Section 51190.2, shall be certified by the Department of Education as meeting all of the following conditions for participation:
(1) The LEA Provider meets the definition of an LEA as stated in Education Code, Section 33509(e), and
(2) The LEA Provider has signed a contract with the Department of Health Services.
(b) As a condition for participation, LEA Providers shall comply with the following requirements:
(1) Any federal funds received by an LEA Provider for LEA Services shall be reinvested by the LEA Provider in services, as identified in Education Code Section 8804(g), for school children and their families,
(2) LEA Providers shall consult with a local school-linked services collaborative group, such as defined in Education Code, Section 8806, regarding decisions on reinvestment of federal funds referred to in (b)(1) above,
(3) LEA Providers shall submit annually, on or before October 10th, a certification of the specific amount available in non-federal matchable funds to draw down federal Medicaid funds for the specific fiscal year.
(4) LEA Providers shall adhere to and comply with all federal and state third party liability requirements prior to billing Medi-Cal, including but not limited to policy directives issued by the federal Department of Health and Human Services and Health Care Financing Administration and those standards found in 42 United State Code Section 1396a(a)(25); 42 Code of Federal Regulations Section 433.139; Welfare and Institutions Code, Sections 14005, 14023.7, 14124.90; and Title 22, California Code of Regulations, section 51005 and Article 15 commencing with Section 50761.
(5) LEA Providers shall comply with confidentiality requirements as specified in 42 United States Code Section 1320c-9; 42 Code of Federal Regulations, Section 431.300; Welfare and Institutions Code, Section 14100.2; California Code of Regulations, Title 22, Section 51009; and Education Code, Sections 49060 and 49073 through 49079.
(6) LEA Providers shall submit an Annual Report which shall include, but is not limited to, the following:
(A) Identification of who participates in the community collaborative;
(B) Concise summary financial statement identifying funds received as a result of claiming for LEA Services and identifying both, how funds will be reinvested and how funds were reinvested in the previous year; and
(C) Identification of anticipated services priorities for the future.
(c) LEA Providers shall maintain records as necessary to fully disclose the type and extent of services provided to a Medi-Cal beneficiary.
(d) LEA Providers shall maintain records showing that all LEA Practitioners, which it employs or with which it contracts, meet and shall continue to meet all appropriate licensing and certification requirements.
(e) LEA Providers shall review each publication of the “suspended and ineligible list” of Medi-Cal providers periodically published and distributed by the Department.  LEA Providers may not bill for services rendered by any practitioners found on this list during the suspended or ineligible period.
(f) LEA Providers shall adhere to and comply with all federal Health and Human Services and Health Care Financing Administration requirements with respect to billing for services provided by other health care professionals under contract with the LEA.
(g) The LEA Provider shall ensure that its practitioners provide only those services which are within their appropriate scope of practice.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14005, 14023.7, 14053, 14059, 14100.2, 14124.5, 14124.90, 14131 and 14132, Welfare and Institutions Code; Sections 8804(g), 8806, 33509(e), 49060 and 49073 through 49079, Education Code; 42 United States Code Sections 1320c-9 and 1396a(a)(25); and 42 Code of Federal Regulations Sections 431.300 and 433.139.
HISTORY

1. New section filed 12-22-93 as an emergency; operative 12-22-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-22-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-22-93 order transmitted to OAL 4-20-94 and filed 6-2-94 (Register 94, No. 22).
§51271. Targeted Case Management Services Provider Qualifications.
Note     •     History

(a) A targeted case management provider of services shall be a local governmental agency and shall:
(1) Contract with the department to provide targeted case management services as a condition of enrollment as a targeted case management provider in the Medi-Cal program, and
(2) Provide and certify the non-federal match, and
(3) Have an established fee mechanism effective January 1, 1995, specific to targeted case management services provided, which may include a sliding fee schedule based on income and vary by program, and
(4) Have an established procedure for performance monitoring that assures the participating units are complying with state and federal requirements, and
(5) Make available to the department a performance monitoring plan, including protocols and procedures, establishing a countywide system to assure non-duplication of services and to ensure coordination and continuity of care among providers of targeted case management services provided to beneficiaries who are eligible to receive case management services from two or more programs. 
(6) Have an administrative capacity to ensure quality of services in accordance with state and federal requirements.
(7) Have a financial management capacity and system that provides documentation of services and costs.
(8) Have a capacity to document and maintain individual case records in accordance with state and federal requirements.
(9) Have a demonstrated ability to meet all requirements of state and federal law governing the participation of providers in the state Medicaid program, including but not limited to, the ability to meet federal and state requirements for documentation, billing and audits.
(10) Have a minimum of five years of experience in providing case management services to the target population.
(b) In addition to the requirements specified in subsection (a), targeted case management service providers shall meet the following supplemental requirements:
(1) For the purpose of providing targeted case management services to high-risk persons identified in Section 51185(b) the targeted case management services provider shall:
(A) Designate a public health agency employing staff with case manager qualifications as specified in Section 51272.
(B) Have the ability to evaluate the effectiveness, accessibility and quality of targeted case management services on a community-wide basis.
(C) Have established referral systems and demonstrated linkages and referral ability with essential social and health services agencies.
(2) For the purpose of providing service to the target population specified in Section 50262.7(a)(2) the targeted case management services provider shall:
(A) Designate a public health agency employing staff with case manager qualifications as specified in Section 51272.
(B) Ensure 24-hour availability of case management services and continuity of those services.
(C) Have the capacity to communicate with persons who have little or no proficiency in the English language.
(3) For the purpose of providing service to the target population specified in Section 50262.7(a)(3)(A) the targeted case management services provider shall:
(A) Ensure 24-hour availability of case management services and continuity of those services.
(B) Have established referral systems and demonstrated linkages and referral ability with essential social and health service agencies.
(4) For the purpose of providing service to the target population specified in Section 50262.7(a)(3)(B), (C) or (D), the targeted case management services provider shall:
(A) Designate an agency employing staff with case manager qualifications as specified in Section 51272.
(B) Ensure 24-hour availability of case management services and continuity of those services.
(C) Have established referral systems and demonstrated linkages and referral ability with essential social and health services agencies.
(5) For the purpose of providing service to the target population specified in Section 50262.7(a)(3)(E) the targeted case management services provider shall:
(A) Demonstrate programmatic and administrative experience in providing services which prevent institutionalization and have the ability to increase their service capability to provide services to adults of all ages.
(B) Demonstrate they have an advisory group which includes representatives of the target group.
(C) Have established referral systems and demonstrated linkages and referral ability with essential social and health services agencies.
(c) A local education agency may not enroll as a targeted case management services provider.
(d) To qualify as a provider of targeted case management services, local governmental agencies shall:
(1) Notify the department in writing of the intent to claim targeted case management for a specific targeted group. Such notice shall be received by the department no later than September 1 of each year, and
(2) Demonstrate participation in a time survey as scheduled by the department, and
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealed by operation of Government Code section 11346.1(g) (Register 97, No. 15).
5. New section filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
§51272. Targeted Case Manager.
Note     •     History

(a) Case managers employed by a targeted case management services provider shall meet the following minimum requirements for education, training and experience:
(1) For the targeted population specified in Section 51185(b), be certified as a Public Health Nurse or a Registered Nurse, or a Licensed Vocational Nurse under the direct supervision of a skilled professional medical person, or an individual who possesses the education and/or experience specified in (3) below and who is under the direct supervision of a skilled professional medical person.
(2) For the targeted populations specified in Sections 50262.7(a)(2), and 50262.7(a)(3)(E), be a Registered Nurse; or possess the education and/or experience specified in subsection (a)(3) below, under the direct supervision of a skilled professional medical person.
(3) For the target populations specified in Sections 50262.7(a)(3)(A), (B), (C) and (D), have education or relevant case management experience consisting of a Bachelor's degree in a health or human services field; an Associate of Arts degree with two years experience performing case management duties in a health and human services field; or four years experience performing case management duties in a health or human services field.
(4) All individuals providing case management services pursuant to this section, except Public Health Nurses and Registered Nurses, shall have completed agency-approved case management training.
(b) Targeted case management case managers shall not perform contract management, program planning and policy development, coordination of targeted case management data systems and claiming, and targeted case management quality assurance and/or performance monitoring.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealed by operation of Government Code section 11346.1(g) (Register 97, No. 15).
5. New section filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
§51273. Targeted Case Management Advisory Committee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealer filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
§51276. Directly Observed Therapy (DOT) Provider Qualifications.
Note     •     History

(a) Each provider of Directly Observed Therapy (DOT) shall:
(1) Have a manager responsible for the tuberculosis (TB) DOT program who supervises and monitors DOT staff activities and ensures appropriate documentation of TB patient records.
(2) Ensure all staff providing DOT have provider-approved DOT training.
(3) Have policies and protocols for the provision of DOT to ensure the following:
(A) Assessment of individual barriers to DOT, such as a TB patient's need for transportation.
(B) Appropriate selection of either field-based or clinic-based DOT based upon potential patient barriers to completion of DOT.
1. Field-based DOT means DOT provided to a TB patient at his/her place of residence, work site, shelter, or any other location agreed upon between DOT staff an the TB patient.
2. Clinic-based DOT means DOT provided to a TB patient at the site of the provider agency.
(C) Patients receive and ingest the prescribed medications and insuring renewals of and/or changes to medications are promptly obtained.
(D) Patient ingestion of medications is recorded in the patient's case record.
(E) Documentation in patient case files include all activities related to the provision of DOT.
(F) Reporting to both the local health department and the treating physician when there is failure to make contact with a TB patient at any time during the course of treatment.
(G) Reporting to the treating physician all side effects or other patient problems.
(H) Confidentiality of patient records.
(4) Have the capacity to provide TB DOT in a manner that is linguistically and culturally appropriate to the population being served.
(5) Initiate active outreach to locate a patient after a patient's missed appointment with DOT staff. Active outreach shall include, but is not limited to, the following:
(A) Reviewing patient information and evaluating locating information.
(B) Developing a strategy for locating the patient.
(C) Promptly dispatching DOT staff to physically search for the patient at the last known place of residence, work site, shelter, or other location. DOT staff shall attempt to locate the patient on at least three separate occasions.
NOTE

Authority cited: Sections 10725, 14005.20 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-11-96; operative 9-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 37).
Article 4. Scope and Duration of Benefits
§51301. Schedule of Benefits.
Note     •     History

The benefits covered by Medi-Cal are limited to those set forth in this article and in Chapter 5, Article 4.
NOTE

Authority cited: Sections 10721, 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14021, 14053, 14131-14145.9, 14550 and 14551, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 72, No. 5.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Amendment filed 6-28-78 as an emergency; designated effective 7-1-78 (Register 78, No. 26).
4. Change without regulatory effect of NOTE (Register 86, No. 49).
§51303. General Provisions.
Note     •     History

(a) Health care services set forth in this article and in Chapter 5, Article 4 (commencing with Section 54301 of this title), which are reasonable and necessary to protect life, to prevent significant illness or significant disability, or to alleviate severe pain through the diagnosis or treatment of disease, illness or injury are covered by the Medi-Cal program, subject to utilization controls, to the extent specified in this Chapter, Chapter 5, and Chapter 11. Such utilization controls shall take into account those diseases, illnesses, or injuries which require preventive health services or treatment to prevent serious deterioration of health. Nothing in this section shall preclude payment for family planning services, or for early, periodic screening, diagnosis and treatment services (EPSDT), provided under the Child Health and Disability Prevention (CHDP) Program. Authorization may only be granted when fully documented medical justification is provided that the services are medically necessary. Services not requiring prior authorization are subject to other utilization controls, as specified in this chapter.
(b) Limitations specified in this article do not apply to Medicare/Medi-Cal program covered services (crossover services).
(c) Except as set forth in (b) above, if the Medi-Cal Program is to pay any portion of a charge for services for which other coverage is available, the limitations and controls specified in this article apply.
(d) Inpatient services in hospitals are covered only when provided on the signed order of the physician, dentist or podiatrist responsible for the care of the patient.
(e) Inpatient services in skilled nursing facilities and intermediate care facilities are covered only when provided on the signed order of the physician responsible for the care of the patient.
(f) Outpatient services are covered subject to the limitations and controls set forth in this chapter.
(g) Experimental services are not covered.
(h) Investigational services are not covered except when it is clearly documented that all of the following apply:
(1) Conventional therapy will not adequately treat the intended patient's condition;
(2) Conventional therapy will not prevent progressive disability or premature death;
(3) The provider of the proposed service has a record of safety and success with it equivalent or superior to that of other providers of the investigational service;
(4) The investigational service is the lowest cost item or service that meets the patient's medical needs and is less costly than all conventional alternatives;
(5) The service is not being performed as a part of a research study protocol;
(6) There is a reasonable expectation that the investigational service will significantly prolong the intended patient's life or will maintain or restore a range of physical and social function suited to activities of daily living.
All investigational services require prior authorization. Payment will not be authorized for investigational services that do not meet the above criteria, or for associated inpatient care when a beneficiary needs to be in the hospital primarily because she/he is receiving such nonapproved investigational services.
(i) Services and supplies not primarily medical in purpose or which are common household items are not covered.
(j) Services set forth in this article must be provided by providers who meet, where applicable, the standards set forth in Article 3 of this chapter.
(k) Services prescribed or ordered by a provider suspended from participation in the Medi-Cal program shall not be covered by the program while the suspension is in effect, providing that at least 15 days written notice is given to all affected providers.
NOTE

Authority cited: Chapter 1066, Statutes of 1977; Section 57(c), Chapter 328, Statutes of 1982; and Sections 14059.5, 14105, 14105.44 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14059.5, 14105.44, 14124.5, 14132 and 14133.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-28-78 as an emergency; designated effective 7-1-78 (Register 78, No. 26). For prior history, see Register 76, No. 37.
2. Amendment filed 8-16-78 as an emergency; designated effective 8-16-78 (Register 78, No. 32).
3. Certificate of Compliance filed 12-12-78 (Register 78, No. 50). For prior history, see Register 78, No. 32.
4. Amendment of subsection (a) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37).
5. Certificate of Compliance as to 9-1-82 order transmitted to OAL 12-28-82 and filed 1-21-83 (Register 83, No. 4).
6. Amendment of subsection (a) filed 7-7-86 as an emergency; effective upon filing (Register 86, No. 28). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-4-86.
7. Certificate of Compliance transmitted to OAL 10-30-86 and filed 11-25-86 (Register 86, No. 48).
8. Amendment of subsections (g)-(k) filed 12-18-87 as an emergency; operative 12-18-87 (Register 88, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-18-88.
9. Certificate of Compliance including amendment of subsection (h) (3) transmitted to OAL 4-14-88 and filed 5-16-88 (Register 88, No. 21).
10. Amendment of subsection (b) filed 5-25-89; operative 6-24-89 (Register 89, No. 21).
§51304. Benefit Limitations.
Note     •     History

(a) Program coverage of services specified in Sections 51308, 51308.5, 51309, 51310, 51312, and 51331(a)(3) through (9), unless noted otherwise, is limited to a maximum of two services from among those services set forth in those sections in any one calendar month.
(b) For purposes of this section, “services” means all care, treatment, or procedures provided a beneficiary by an individual practitioner on one occasion.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132, 14133 and 14133.1, Welfare and Institutions Code; and Section 690, Business and Professions Code.
HISTORY

1. Amendment filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 75, No. 9.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Amendment of subsection (a) filed 3-9-79; effective thirtieth day thereafter (Register 79, No. 10).
4. Amendment of subsection (a) filed 4-30-81; effective thirtieth day thereafter (Register 81, No. 18).
5. Repealer of subsection (c) and amendment of Note filed 4-4-94 as an emergency; operative 4-4-94 (Register 94, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-94 or emergency language will be repealed by operation of law on the following day.
6. Repealer of subsection (c) and amendment of Note  refiled 8-1-94 as an emergency; operative 8-1-94 (Register 94, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-29-94 or emergency language will be repealed by operation of law on the following day.
7. Repealer of subsection (c) and amendment of Note refiled 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-21-95 or emergency language will be repealed by operation of law on the following day.
8. Repealer of subsection (c) and amendment of Note refiled 2-22-95; operative 2-22-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-22-95 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-22-95 order transmitted to OAL 3-16-95 and filed 4-27-95 (Register 95, No. 17).
§51305. Physician Services.
Note     •     History

(a) Outpatient physician services are covered if they are medically necessary to protect life, to prevent significant illness or significant disability, or to alleviate severe pain, subject to the limitations specified below.
(b) Outpatient surgical procedures, other than those needed for diagnostic purposes or those rendered as emergency services pursuant to Section 51056; procedures considered to be elective; and specified outpatient medical procedures, including but not limited to, Hyperbaric Oxygen Therapy, Pheresis, Psoriasis Day Care and Cardiac Catheterization, require prior authorization. Authorization may be granted only when fully documented medical justification is provided that the services are medically necessary. Services not requiring prior authorization are subject to other utilization controls, as specified in this chapter. Utilization controls shall be imposed on medical/surgical procedures in accordance with the standards set forth in Section 51159. Identification of those procedures requiring prior authorization shall be transmitted to all affected providers of service in bulletins authorized by the Department.
(c) Surgical procedures typically performed on an inpatient basis which can be performed safely on an outpatient or ambulatory basis will not be reimbursed in an inpatient setting. Exceptions may be authorized by a field office medical consultant if there is adequate documentation of the medical need for inpatient care. In selecting procedures which should normally be performed in an outpatient setting, the Department shall consider patient safety, quality of medical care, common practice in the medical community, and cost of the procedure. Lists of surgical procedures identified by the Department for performance on an outpatient or ambulatory basis will be transmitted to all interested providers of service in bulletins authorized by the Department.
(d) A maximum of eight psychiatry services and eight injections for allergy desensitization, hyposensitization, or immunotherapy by injection of an antigen to stimulate production of protective antibodies may be provided in any 120-day period without prior authorization. Prior authorization shall be required when more than eight psychiatry or eight of the above allergy injections are provided in a 120-day period except those provided on an emergency basis.
(1) Services rendered on an emergency basis are exempt from authorization. The emergency services shall meet the definition in Section 51056 and the provider shall comply with the requirements of that section.
(2) A total treatment plan shall be developed for psychiatry and allergy services which require prior authorization. The treatment plan may be authorized for a period up to 120 days and shall include the following:
(A) The principal diagnosis and significant associated diagnosis.
(B) Clinical information adequate to describe the physiological and functional limitations, including the date of onset of the illness(es).
(C) Prognosis.
(D) Specific services to be rendered.
(E) The therapeutic goals to be achieved and the anticipated time needed to attain those goals.
(F) Drug regimen.
(e) Physician services provided to hospital, skilled nursing facility or intermediate care facility inpatients are covered only during periods of hospital, skilled nursing facility or intermediate care facility stays covered by the program.
(f) Psychiatry, psychology, physical therapy, occupational therapy, audiology, speech therapy, optometry and podiatry services are not covered as physicians' services when performed by persons other than physicians.
(g) Respiratory care is covered as a physician service. Respiratory care is subject to prior authorization except when personally rendered by the physician. Authorization requests shall include clinical justification for the services and the nature, frequency and expected duration of the respiratory care.
(h) Orthoptics and pleoptics are not covered.
(i) Procedures for the treatment of defects for cosmetic purposes only are covered subject to prior authorization. Authorization may be granted only for the correction of serious disfigurement eligible for coverage by California Children Services. These patients shall be referred to that program as provided in Section 51013.
(j) A second eye examination with refraction within twenty-four months is covered only when a sign or symptom indicates a need for this service. The provider of services shall make a reasonable effort to ascertain the date of any prior eye examination with refraction.
(k) Primary care physician services rendered by nonphysician medical practitioners are covered as physician's services to the extent permitted by applicable professional licensing statutes and regulations, and as set forth in the Physician-Practitioner Interface as described in Section 51240.
(1) Services and entries in the patient's health record by nonphysician medical practitioners shall be reviewed by the primary care physician to the extent required by the applicable professional licensing statutes and regulations.
(2) Patients shall be informed or notified in writing, prior to being served, that medical services may be rendered by nonphysician medical practitioners. In cases of emergencies as defined in Section 51056, the nonphysician medical practitioner may render emergency services to a patient without such prior notification.
(3) Reimbursement for services rendered by nonphysician medical practitioners shall be made in accordance with Section 51503.1.
(4) Reimbursement shall not be made for service rendered by a nonphysician medical practitioner to a person eligible for Medicare benefits unless Medicare makes reimbursement for that service by that practitioner.
(5) Out-of-State services of nonphysician medical practitioners are covered in accordance with each of the following:
(A) The Medicaid law and program for that location.
(B) Local laws applicable to such practitioners.
(C) The provisions of Section 51006.
(l) External mammary prostheses made of silicone or other similar materials, prosthetic mammary implants, and reconstructive mammoplasty shall be deemed medically necessary incident to mastectomy and shall be covered. “Mastectomy” means the surgical procedures as described in the latest edition of the Physicians' Current Procedural Terminology for the removal of all or part of the breast for medically necessary reasons, as determined by a licensed physician and surgeon who is a Department Medi-Cal consultant.
(m) One early discharge follow up visit is covered without prior authorization when the requirements of Section 51327(b) are met.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 20, Health and Safety Code. Reference: Sections 14043.47, 14053, 14059, 14059.5, 14060, 14132, 14132.41, 14132.42, 14133(a), 14133(b), 14132.6, 14133.25 and 14133.3, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 483.40(e) and 485.631(b)(iv).
HISTORY

1. New subsection (l) filed 7-18-85 as an emergency; effective upon filing (Register 85, No. 29). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-15-85. For prior history, see Register 83, No. 27.
2. Certificate of Compliance transmitted to OAL 10-30-85 and filed 12-2-85 (Register 85, No. 49).
3. Amendment of subsection (a) filed 7-7-86 as an emergency; effective upon filing (Register 86, No. 28). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-4-86.
4. Certificate of Compliance transmitted to OAL 10-30-86 and filed 11-25-86 (Register 86, No. 48).
5. Amendment of subsection (g) filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
6. Amendment of subsection (l) filed 10-1-87; operative 10-31-87 (Register 87, No. 41).
7. New subsection (m) and amendment of Note filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-13-2000 order transmitted to OAL 7-5-2000 and filed 8-14-2000 (Register 2000, No. 33).
9. Amendment of subsection (k)(1) and Note filed 5-17-2012; operative 6-16-2012 (Register 2012, No. 20).
§51305.1. Criteria for the Performance of Sterilization.
Note     •     History

(a) A sterilization shall be performed only if the following conditions are met:
(1) The individual is at least 21 years old at the time consent is obtained.
(2) The individual is not a mentally incompetent individual.
(3) The individual is able to understand the content and nature of the informed consent process as specified in 51305.3.
(4) The individual is not an institutionalized individual.
(5) The individual has voluntarily given informed consent in accordance with all the requirements prescribed in Section 51305.1 through 51305.4.
(6) At least 30 days, but not more than 180 days, have passed between the date of written informed consent and the date of the sterilization, except in the following instances:
(A) Sterilization may be performed at the time of emergency abdominal surgery if the following requirements are met:
1. The written informed consent to be sterilized was given at least 30 days before the individual intended to be sterilized.
2. At least 72 hours have passed after written informed consent to be sterilized was given.
(B) Sterilization may be performed at the time of premature delivery if the following requirements are met:
1. The written informed consent was given at least 30 days before the expected date of the delivery.
2. At least 72 hours have passed after written informed consent to be sterilized was given.
(b) For the purposes of this section the following definitions apply:
(1) Mentally incompetent individual means an individual who has been declared mentally incompetent by a federal, State or local court of competent jurisdiction for any purpose, unless the individual has been declared competent for purposes which include the ability to consent to sterilization.
(2) Institutionalized individual means an individual who is:
(A) Involuntarily confined or detained, under a civil or criminal statute, in a correctional or rehabilitative facility, including a mental hospital or other facility for the care and treatment of mental illness.
(B) Confined, under a voluntary commitment, in a mental hospital or other facility for the care and treatment of mental illness.
NOTE

Authority cited: Sections 14105, 14124.5 and 14191, Welfare and Institutions Code. Reference: Sections 14053, 14059, 14133, 14133.25, 14133.3 and 14191, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 6-24-80; designated effective 10-15-80 (Register 80, No. 26).
2. Change without regulatory effect of NOTE (Register 86, No. 49).
§51305.2. Requirements for Sterilization Other Than Emergency Sterilization. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 220, Statutes of 1975. Reference: Sections 14053, 14053.6, 14059, 14105, 14124.5, 14132 and 14184, Welfare and Institutions Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer filed 6-24-80; designated effective 10-15-80 (Register 80, No. 26).
§51305.3. Informed Consent Process for Sterilization.
Note     •     History

(a) An individual has given informed consent only if:
(1) The person who obtained consent for the sterilization procedure:
(A) Offered to answer any questions the individual to be sterilized may have concerning the procedure.
(B) Provided the individual with a copy of the consent form and the booklet on sterilization published by the Department.
(C) Provided orally all of the following to the individual to be sterilized:
1. Advice that the individual is free to withhold or withdraw consent to the procedure at any time before the sterilization without affecting the right to future care or treatment and without loss or withdrawal of any federally funded program benefits to which the individual might be otherwise entitled.
2. A full description of available alternative methods of family planning and birth control.
3. Advice that the sterilization procedure is considered to be irreversible.
4. A thorough explanation of the specific sterilization procedure to be performed.
5. A full description of the discomforts and risks that may accompany or follow the performing of the procedure, including an explanation of the type and possible effects of any anesthetic to be used.
6. A full description of the benefits or advantages that may be expected as a result of the sterilization.
7. Approximate length of hospital stay.
8. Approximate length of time for recovery.
9. Financial cost to the patient.
10. Information that the procedure is established or new.
11. Advice that the sterilization will not be performed for at least 30 days, except under the circumstances specified in Section 51305.1.
12. The name of the physician performing the procedure. If another physician is to be substituted, the patient shall be notified, prior to administering pre-anesthetic medication, of the physician's name and the reason for the change in physician.
(2) Suitable arrangements were made to ensure that the information specified in (a)(1) was effectively communicated to any individual who is blind, deaf, or otherwise handicapped.
(3) An interpreter was provided if the individual to be sterilized did not understand the language used on the consent form or the language used by the person obtaining consent.
(4) The individual to be sterilized was permitted to have a witness of the individual's choice present when consent was obtained.
(5) The sterilization operation was requested without fraud, duress, or undue influence.
(6) The consent form requirements of Section 51305.4 were met.
(b) Informed consent may not be obtained while the individual to be sterilized is:
(1) In labor or within 24 hours postpartum or postabortion.
(2) Seeking to obtain or obtaining an abortion.
(A) Seeking to obtain means that period of time during which the abortion decision and the arrangements for the abortion are being made.
(B) Obtaining an abortion means that period of time during which an individual is undergoing the abortion procedure, including any period during which preoperative medication is administered.
(3) Under the influence of alcohol or other substances that affect the individual's state of awareness.
(c) The informed consent process may be conducted either by a physician or by the physician's designee.
(d) A copy of the signed consent form shall be:
(1) Provided to the patient.
(2) Retained by the physician and the hospital in the patient's medical records.
(3) Attached to the physician's billing form.
NOTE

Authority cited: Sections 14105, 14124.5 and 14191, Welfare and Institutions Code. Reference: Sections 14053, 14053.6, 14059, 14105, 14124.5, 14132, 14184 and 14191, Welfare and Institutions Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer and new section filed 6-24-80; designated effective 10-15-80 (Register 80, No. 26).
3. Amendment of subsection (b) filed 12-13-85; effective thirtieth day thereafter (Register 85, No. 52).
§51305.4. Certification of Informed Consent for Sterilization.
Note     •     History

(a) The Consent Form, provided by the Department in English and Spanish, shall be the only approved form and shall be signed and dated by the:
(1) Individual to be sterilized.
(2) Interpreter, if one is provided.
(3) Person who obtained the consent.
(4) Physician who performed the sterilization procedure.
(b) The person securing consent shall certify, by signing the Consent Form, to have personally:
(1) Advised the individual to be sterilized, before the individual to be sterilized signed the Consent Form, that no federal benefits may be withdrawn because of the decision not to be sterilized.
(2) Explained orally the requirements for informed consent to the individual to be sterilized as set forth on the Consent Form and in Section 51305.3.
(3) Determined, to the best of his or her knowledge and belief, that the individual to be sterilized appeared mentally competent and knowingly and voluntarily consented to be sterilized.
(c) The physician performing the sterilization shall certify, by signing the Consent Form, that:
(1) The physician, shortly before the performance of the sterilization, advised the individual to be sterilized that federal benefits shall not be withheld or withdrawn because of a decision not to be sterilized.
(2) The physician explained orally the requirements for informed consent as set forth on the Consent Form.
(3) To the best of the physician's knowledge and belief, the individual to be sterilized appeared mentally competent and knowingly and voluntarily consented to be sterilized.
(4) At least 30 days have passed between the date of the individual's signature on the Consent Form and the date upon which the sterilization was performed, except in the following instances:
(A) Sterilization may be performed at the time of emergency abdominal surgery if the physician:
1. Certifies that the written informed consent to be sterilized was given at least 30 days before the individual intended to be sterilized.
2. Certifies that at least 72 hours have passed after written informed consent to be sterilized was given.
3. Describes the emergency on the Consent Form.
(B) Sterilization may be performed at the time of premature delivery if the physician certifies that:
1. The written informed consent was given at least 30 days before the expected date of the delivery. The physician shall state the expected date of delivery on the Consent Form.
2. At least 72 hours have passed after written informed consent to be sterilized was given.
(d) The interpreter, if one is provided, shall certify that the interpreter:
(1) Transmitted the information and advice presented orally to the individual to be sterilized.
(2) Read the Consent Form and explained its contents to the individual to be sterilized.
(3) Determined, to the best of the interpreter's knowledge and belief, that the individual to be sterilized understood what the interpreter told the individual.
(e) The person who obtains consent shall provide the individual to be sterilized with a copy of the booklet on sterilization, provided by the Department in English and Spanish, before obtaining consent.
(f) For the purposes of this section, shortly before means a period within 72 hours prior to the time the patient receives any preoperative medication.
NOTE

Authority cited: Chapter 220, Statutes of 1975, Sections 14105, 14124.5 and 14191, Welfare and Institutions Code. Reference: Sections 14053, 14053.6, 14059, 14105, 14124.5, 14131, 14132, 14184 and 14191, Welfare and Institutions Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer and new section filed 6-24-80 designated effective 10-15-80 (Register 80, No. 26).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
§51305.5. Additional Requirements for Informed Consent Process for Elective Sterilization. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 220, Statutes of 1975. Reference: Sections 14053, 14053.6, 14059, 14105, 14124.5, 14132 and 14184, Welfare and Institutions Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer of section filed 6-24-80; designated effective 10-15-80 (Register 80, No. 26).
§51305.6. Hysterectomy.
Note     •     History

(a) A hysterectomy shall not be covered if:
(1) Performed solely for the purpose of rendering an individual permanently sterile.
(2) There is more than one purpose to the procedure, and the hysterectomy would not be performed except for the purpose of rendering the individual permanently sterile.
(b) Except for previously sterile women, a nonemergency hysterectomy may be covered only if:
(1) The person who secures the authorization to perform the hysterectomy has informed the individual and the individual's representatives, if any, orally and in writing, that the hysterectomy will render the individual permanently sterile.
(2) The individual and the individual's representative, if any, has signed a written acknowledgment of the receipt of the information in (1).
(3) The individual has been informed of the rights to consultation by a second physician.
(c) A copy of the signed statement shall be:
(1) Provided to the patient.
(2) Retained by the physician and the hospital in the patient's medical records.
(3) Attached to the physician's billing form.
(d) For previously sterile women, hysterectomy may be covered if the physician certifies the individual was previously sterile and states the cause of sterility on the claim form or an attachment.
(e) An emergency hysterectomy may be covered only if the physician certifies on the claim form or an attachment that the hysterectomy was  performed because of a life-threatening emergency situation in which the physician determined that prior acknowledgement was not possible and includes a description of the nature of the emergency. 
NOTE

Authority cited: Sections 14105, 14124.5 and 14191, Welfare and Institutions Code. Reference: Sections 14053, 14053.6, 14059, 14105, 14124.5, 14132, 14184 and 14191, Welfare and Institutions Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer an new section filed 6-24-80; designated effective 10-15-80 (Register 80, No. 26).
3. Amendment of subsection (b) and new subsections (d) and (e) filed 7-15-83; effective thirtieth day thereafter (Register 83, No. 29).
§51305.7. Noncompliance.
Note     •     History

(a) Noncompliance with Sections 51305.1 through 51305.6 shall result in nonpayment for sterilization services.
(b) Noncompliance with Sections 51305.1 through 51305.6 shall result in a referral to the Board of Medical Quality Assurance.
NOTE

Authority cited: Sections 14191 and 14193, Welfare and Institutions Code. Reference: Sections 14053, 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Change without regulatory effect of NOTE (Register 86, No. 49).
§51305.8. Effective Date. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 220, Statutes of 1975. Reference: Chapter 220, Statutes of 1975.
HISTORY

1. New section filed 6-27-77 as an emergency; effective upon filing (Register 77, No. 27).
2. Amendment filed 8-3-77 as an emergency; effective upon filing (Register 77, No. 32).
3. Certificate of Compliance filed 11-30-77 (Register 77, No. 49).
4. Repealer filed 6-24-80; designated effective 10-15-80 (Register 80, No. 26).
§51305.9. Interim Coverage of Intermediate and Comprehensive Ophthalmological Services for Nonaphakic Beneficiaries. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Sections 14132, 14133 and 14133.1, Welfare and Institutions Code; and Section 149, Chapter 323, Statutes of 1983.
HISTORY

1. New section filed 91-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
2. Certificate of Compliance transmitted to OAL 12-30-82 and withdrawn 1-28-83 (Register 83, No. 10).
3. New section refiled 1-28-83 as an emergency; effective upon filing (Register 83, No. 10). (Corrected copy of 1-28-83 emergency order refiled 1-31-83.) A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-28-83.
4. Emergency language repealed by operation of Government Code Section 11346.1(f) (Register 83, No. 26).
5. New section filed 6-24-83 as an emergency; effective upon filing (Register 83, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-22-83.
6. Certificate of Compliance transmitted to OAL 10-21-83 and filed 11-23-83 (Register 83, No. 48).
7. Editorial correction of NOTE filed 12-20-83 (Register 83, No. 52).
8. Repealer filed 9-30-85 as an emergency; effective upon filing (Register 85, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-28-86.
9. Certificate of Compliance transmitted to OAL 1-8-86 and filed 2-6-86 (Register 86, No. 6).
§51306. Optometry Services.
Note     •     History

(a) Services provided by optometrists acting within the scope of their practice as authorized by California law are covered, except as otherwise limited by these regulations.
(b) Orthoptics and pleoptics are not covered.
(c) A second eye examination with refraction within twenty-four months is covered only when a sign or symptom indicates a need for this service. The provider of services shall make a reasonable effort to ascertain the date of any prior eye examination with refraction.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14060, 14132(a) and (k), and 14133(a) and (b), Welfare and Institutions Code; and Sections 690 and 3041, Business and Professions Code.
HISTORY

1. New section filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Amendment filed 10-3-78; designated effective 11-15-78 (Register 78, No. 40).
4. Change without regulatory effect of NOTE (Register 86, No. 49).
§51306.1. Interim Coverage of Optometric Services for Nonaphakic Beneficiaries over 21. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14132, 14133 and 14133.1, Welfare and Institutions Code; and Section 53, Chapter 328, Statutes of 1982.
HISTORY

1. New section filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
2. Certificate of Compliance transmitted to OAL 12-30-82 and withdrawn 1-28-83 (Register 83, No. 10).
3. New section refiled 1-28-83 as an emergency; effective upon filing (Register 83, No. 10). (Corrected copy of 1-28-83 emergency order refiled 1-31-83.) A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-28-83.
4. Emergency language repealed by operation of Government Code Section 11346.1(f) (Register 83, No. 26).
5. New section filed 6-24-83 as an emergency; effective upon filing (Register 83, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-22-83.
6. Certificate of Compliance transmitted to OAL 10-21-83 and filed 11-23-83 (Register 83, No. 48).
7. Repealer filed 9-30-85 as an emergency; effective upon filing (Register 85. No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-28-86.
8. Certificate of Compliance transmitted to OAL 1-8-86 and filed 2-6-86 (Register 86, No. 6).
9. Editorial correction of History 6 (Register 95, No. 45).
§51307. Dental Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14105, 14124.5, 14132 and 14133.3, Welfare and Institutions Code; and Section 69, Chapter 69, Statutes of 1993. Reference: Sections 14053, 14059.5, 14132 and 14133, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b)(9) and new subsection (d)(11) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50). For prior history, see Register 75, No. 14.
2. Amendment of subsection (b)(1) and new subsection (d)(12) filed 4-19-78; effective thirtieth day thereafter (Register 78, No. 16).
3. Amendment of subsection (e) filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
4. Amendment filed 11-30-78; designated effective 1-1-79 (Register 78, No. 48).
5. Amendment of subsection (b)(3) filed 1-24-79; effective thirtieth day thereafter (Register 79, No. 4).
6. Amendment of subsection (e)(7) filed 5-15-79 as an emergency; designated effective 5-15-79 (Register 79, No. 20).
7. Certificate of Compliance filed 9-12-79 (Register 79, No. 37).
8. Amendment of subsection (b)(2)(A) filed 1-29-80; effective thirtieth day thereafter (Register 80, No. 5).
9. Amendment of subsections (d) and (e) filed 4-6-90 as an emergency; operative 4-6-90 (Register 90, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-6-90.
10. Amendment of subsections (d) and (e) filed 8-2-90 as an emergency readoption of 4-6-90 order; operative 8-2-90 (Register 90, No. 41). A Certificate of Compliance must be transmitted to OAL by 11-30-90 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 8-2-90 order transmitted to OAL 10-16-90 and filed 11-15-90 (Register 91, No. 6).
12. Amendment of subsections (d) and (e) filed 2-11-91 as an emergency; operative 2-11-91 (Register 91, No. 12). A Certificate of Compliance must be transmitted to OAL by 6-11-91 or emergency language will be repealed by operation of law on the following day.
13. Request to readopt 2-11-91 order pursuant to Government Code section 11346.1 granted and filed 5-15-91 as an emergency; operative 6-11-91 (Register 91, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-9-91 or emergency language will be repealed by operation of law on the following day.
14. Request to readopt 5-15-91 order and 8-29-91 order pursuant to Government Code section 11346.1, and merging 5-15-91 order and 8-29-91 order together, granted and filed 10-4-91 as an emergency; operative 10-4-91 (Register 91, No. 52). A Certificate of Compliance must be transmitted to OAL 2-1-92 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsections (b) and (e) filed 8-29-91 as an emergency; operative 8-29-91 (Register 92, No. 10). A Certificate of Compliance must be transmitted to OAL 12-27-91 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsections (b) and (e) refiled 12-23-91 as an emergency; operative 12-23-91 (Register 92, No. 18).  A Certificate of Compliance must be transmitted to OAL 4-21-92 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 12-23-91 order transmitted to OAL 4-1-92 and filed 5-5-92 (Register 92, No. 21).
18. Editorial correction to History 17 (Register 92, No. 24).
19. Request to readopt 10-4-91 order pursuant to Government Code section 11346.1(h) granted and filed 1-28-92 as an emergency; operative 2-4-92 (Register 92, No. 24). A Certificate of Compliance must be transmitted to OAL 6-3-92 or emergency language will be repealed by operation of law on the following day.
20. Request to readopt 1-28-92 order pursuant to Government Code section 11346.1(h) granted and filed 6-8-92 as an emergency; operative 6-3-92 (Register 92, No. 24). A Certificate of Compliance must be transmitted to OAL 10-7-92 or emergency language will be repealed by operation of law on the following day.
21. Request to readopt 6-8-92 order pursuant to Government Code section 11346.1(h) granted and filed 10-6-92 as an emergency; operative 10-7-92 (Register 92, No. 41). A Certificate of Compliance must be transmitted to OAL 2-4-93 or emergency language will be repealed by operation of law on the following day.
22. Editorial correction of  History 20 (Register 92, No. 41).
23. Reinstatement of subsections (d) and (e) and Note as they existed prior to emergency amendment filed 2-11-91 by operation of Government Code section 11346.1(f) (Register 93, No. 15).
24. New subsections (b)(2)(D)-(D)(2) and (e)(11) and amendment of Note filed 6-29-93 as an emergency; operative 6-29-93 (Register 93, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-93 or emergency language will be repealed by operation of law on the following day. 
25. Amendment of subsections (d)(9), (e)(4)-(5), (e)(8) and Note and new subsections (g)-(g)(5) filed 9-20-93 as an emergency; operative 9-20-93 (Register 93, No. 39). Submitted for printing only. A Certificate of Compliance must be transmitted to OAL by 1-18-94 or emergency language will be repealed by operation of law on the following day.
26. Certificate of Compliance as to 6-29-93 order including amendment of subsection (b)(2)(D) transmitted to OAL 10-22-93 and filed 12-7-93 (Register 93, No. 50).
27. Editorial correction of printing error amending subsection (d)(1), adding subsection (d)(5)(D), repealing subsection (d)(8), and renumbering subsequent subsections (Register 93, No. 53).
28. Repealer of subsection (g), and reinstatement of subsections (d) and (e) and Note as they existed prior to 9-20-93 emergency order by operation of Government Code section 11346.1(f), operative 1-19-94. Readoption of 9-20-93 emergency order filed as an emergency and exempt from OAL review pursuant to chapter 69, section 69, Statutes of 1993 (Senate Bill 35) 2-14-94; operative 2-14-94 (Register 94, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-14-94 or emergency language will be repealed by operation of law on the following day.
29. Certificate of Compliance as to 9-16-93 order including amendment of Note transmitted to OAL 1-13-94 and filed 2-28-94 (Register 94, No. 8).
30. Certificate of Compliance as to 2-14-94 order transmitted to OAL 5-5-94 with amendment of subsections (e), (g)(4) and (5) and repealer of subsections (g)(4)(A)-(B) and filed 6-9-94 (Register 94, No. 23).
31. Editorial correction of History 25 (Register 95, No. 25).
32. Repealer of subsection (b)(8), subsection renumbering, and amendment of subsections (e)(5) and (g)(2) filed 7-19-95 as an emergency; operative 7-19-95 (Register 95, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-16-95 or emergency language will be repealed by operation of law on the following day.
33. Repealer of subsection (b)(8), subsection renumbering, and amendment of subsections (e)(5) and (g)(2) refiled 11-20-95 as an emergency; operative 11-20-95 (Register 95, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-96 or emergency language will be repealed by operation of law on the following day.
34. Certificate of Compliance as to 7-19-95 order, including further amendment of subsection (g)(2), transmitted to OAL 3-19-96 and filed 4-24-96 (Register 96, No. 17).
35. Amendment of subsections (b)(2)(D)-(b)(2)(D)2. and repealer of subsection (e)(11) filed 4-10-98 as an emergency; operative 4-10-98 (Register 98, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-10-98 or emergency language will be repealed by operation of law on the following day.
36. Certificate of Compliance as to 4-10-98 order transmitted to OAL 7-27-98 and filed 9-4-98 (Register 98, No. 36).
37. Repealer filed 11-6-2007; operative 12-6-2007 (Register 2007, No. 45).
§51308. Chiropractic Services.
Note     •     History

Services provided by chiropractors, acting within the scope of their practice as authorized by California law, are covered, except that such services shall be limited to treatment of the spine by means of manual manipulation and subject to the limitations set forth in Section 51304(a).
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14132, 14133 and 14133.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Amendment filed 6-29-73 as an emergency; designated effective 7-1-73. Certificate of Compliance included (Register 73, No. 26).
4. Amendment filed 2-27-74 as an emergency; effective upon filing (Register 74, No. 9).
5. Certificate of Compliance filed 4-12-74 (Register 74, No. 15).
6. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51308.5. Acupuncture Services.
Note     •     History

(a) Acupuncture services are covered, subject to the limitations set forth below and in Section 51304(a), when provided by one of the following:
(1) A physician, dentist or podiatrist.
(2) An acupuncturist.
(b) Acupuncture services shall be limited to treatment performed to prevent, modify or alleviate the perception of severe, persistent chronic pain resulting from a generally recognized medical condition.
(c) Acupuncture is covered either with or without electric stimulation of the needles.
(d) Acupuncture is covered only when used to treat a condition for which treatment by other modalities is also covered.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132, 14133 and 14133.1, Welfare and Institutions Code.
HISTORY

1. New section filed 4-30-81; effective thirtieth day thereafter (Register 81, No. 18).
2. Change without regulatory effect of NOTE (Register 86, No. 49).
§51309. Psychology, Physical Therapy, Occupational Therapy, Speech Pathology and Audiological Services.
Note     •     History

(a) Psychology, physical therapy, occupational therapy, speech pathology and audiological services are covered when provided by persons who meet the appropriate requirements specified in Article 2 and Article 3 of this Chapter.
The written prescription of a physician, dentist or podiatrist is required for physical therapy and occupational therapy services. Speech pathology and audiological services shall be provided only upon the written referral of a physician or dentist.
(b) Physical therapy services shall include physical therapy evaluation, treatment planning, treatment, instruction, consultative services, and application of topical medications. Services do not include the use of Roentgen rays or radioactive materials or the use of electricity for surgical purposes including cauterization. Services are limited to treatment immediately necessary to prevent or to reduce anticipated hospitalization or to continue a necessary plan of treatment after discharge from the hospital.
(c) Occupational therapy services shall include occupational therapy evaluation, treatment planning, treatment, instruction and consultative services.
(d) Such services, except physical therapy, are subject to the limitations set forth in Section 51304(a). Physical therapy services may be provided after prior authorization and approval of a treatment plan is obtained from the Medi-Cal consultant.
(1) The authorization request shall include diagnosis, modalities, frequency, therapeutic goals, duration of treatment and date of progress review where applicable. The physician's, dentist's or podiatrist's prescription shall be attached to the authorization request.
(2) Authorization for physical therapy services shall be contingent upon compliance with the following requirements:
(A) There is direct and specific relationship of the services to written treatment plan prescribed by the physician, dentist or podiatrist after consultation with a qualified physical therapist.
(B) The complexity and sophistication of the level of service or condition of the beneficiary requires the judgment, knowledge and skills of a physical therapist.
(C) Provision of the services is with the expectation that the beneficiary will improve significantly in a reasonable and generally predictable period of time or to establish an effective maintenance program in connection with a specific disease state.
(D) Service is to be performed by a qualified physical therapist who meets the standards set forth in Section 51201.1 of this chapter.
(E) The service is considered, under accepted standards of medical practice, to be a specific and effective treatment for the beneficiary's condition.
(F) The service is reasonable and medically necessary for the treatment of the beneficiary's condition.
(3) Professional physical therapy necessary to establish or periodically reevaluate a palliative or maintenance therapy program may be authorized. Services which do not require the skills of a physical therapist shall not be covered or authorized.
(4) Prior authorization shall not be granted for more than 30 treatments at any one time. Authorizations shall be valid for up to 120 days. A request for reauthorization shall include a statement describing the beneficiary's progress toward achieving the therapeutic goals included in the treatment plan.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Section 14132, Welfare and Institutions Code; and Section 52, Chapter 328, Statutes of 1982.
HISTORY

1. Amendment filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 72, No. 5.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
4. Amendment of subsections (b) and (d) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
5. Certificate of Compliance transmitted to OAL 12-30-82 (the portion pertaining to subsection (b) was withdrawn 1-28-83) and filed 2-7-83 (Register 83, No. 7).
6. Amendment of subsection (b) refiled 1-28-83 as an emergency; effective upon filing (Register 83, No. 7). (Corrected copy of 1-28-83 emergency order refiled 2-16-83.) A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-28-83.
7. Editorial correction of HISTORY No. 6 (Register 83, No. 11).
8. Emergency language repealed by operation of Government Code Section 11346.1(f) (Register 83, No. 27).
9. Amendment of subsection (b) filed 6-29-83 as an emergency; effective upon filing (Register 83, No. 27). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-27-83.
10. Certificate of Compliance as to 6-29-83 order filed 8-11-83 (Register 83, No. 33).
11. Amendment of subsections (b) and (d) filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51309.5. Scope of Sign Language Interpreter Services.
Note     •     History

(a) Sign language interpreter services, as set forth in Section 51098.5, are covered as part of the Medi-Cal enrolled provider service subject to the limitation specified in subsection (b). Sign language interpreter services may be utilized for medically necessary health care services and related services such as, or similar to:
(1) Obtaining medical history.
(2) Obtaining informed consent and permission for treatment.
(3) Explaining diagnoses, treatment and prognoses of an illness.
(4) Communicating prior to, during or after medical procedures.
(5) Providing instructions regarding medication.
(6) Explaining instructions for self-care and/or therapy activities, upon discharge from a health care facility to an unsupervised home setting.
(7) Providing mental health assessment, therapy or counseling.
(8) Obtaining or providing case management information.
(b) Reimbursement shall be limited to Medi-Cal enrolled providers employing fewer than fifteen employees.
(c) Sign language interpreter services shall not be covered for a beneficiary who is receiving services in a health care facility that is required by federal regulation 45 Code of Federal Regulations Section 84.52 to provide such services.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14105, Welfare and Institutions Code. Reference: Section 54.1, Civil Code; Section 14000, Welfare and Institutions Code; 42 USC Sections 12101 et seq.; 28 CFR Section 36.303; and 45 CFR Section 84.52(d).
HISTORY

1. New section filed 8-21-2000 as an emergency; operative 8-21-2000 (Register 2000, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-21-2000 order transmitted to OAL 12-19-2000 and filed 2-2-2001 (Register 2001, No. 5).
3. Amendment of section heading, section and Note filed 8-7-2008; operative 9-6-2008 (Register 2008, No. 32).
§51310. Podiatry Services.
Note     •     History

(a) Services provided by podiatrists, acting within the scope of their practice as authorized by California law, are covered subject to the following:
(1) Podiatric office visits described by procedure codes 99201-99203 and 99211-99213 in the latest edition of the Physicians' Current Procedural Terminology are covered as medically necessary. All other outpatient podiatry services are subject to prior authorization and are limited to medical and surgical services necessary to treat disorders of the feet, ankles, or tendons that insert into the foot, secondary to or complicating chronic medical diseases, or which significantly impair the ability to walk.

Editorial Note: For full incorporation by reference of the Physicians' Current Procedural Terminology Codes, see CCR, Title 22, section 51050.
(2) Podiatry services rendered on an emergency basis are exempt from prior authorization. Emergency services shall conform to and be in compliance with the provisions of section 51056.
(3) Podiatry services rendered to hospital, skilled nursing facility or intermediate care facility inpatients are covered only when provided pursuant to an order on the patient's chart, signed by the physician or podiatrist who admitted the patient, specifying the care to be given. Services to skilled nursing facility and intermediate care facility inpatients are further subject to prior authorization.
(4) Hospitalization of patients by podiatrists is subject to the procedures set forth in section 51327. Podiatry services provided to hospital inpatients are covered only to the extent that the period of hospitalization is covered by the program.
(b) Routine nail trimming is not covered.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14131, 14132, 14133, 14133.1 and 14133.25, Welfare and Institutions Code; Section 2472, Business and Professions Code; Section 52, Chapter 328, Statutes of 1982; and Section 433.123, Title 42 of the Code of Federal Regulations.
HISTORY

1. Amendment filed 12-28-73 as an emergency; designated effective 1-1-74. Certificate of Compliance included (Register 73, No. 52). For prior history, see Register 72, No. 31.
2. Amendment filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
3. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
4. Amendment of subsection (a) (1) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
5. Certificate of Compliance as to 9-1-83 order transmitted to OAL 12-30-82 (the portion pertaining to subsection (a) (1) was withdrawn 1-28-83) and filed 2-7-83 (Register 83, No. 10).
6. Amendment of subsection (a) (1) refiled 1-28-83 as an emergency; effective upon filing (Register 83, No. 10). (Corrected copy of 1-28-83 emergency order refiled 2-16-83.) A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-28-83.
7. Emergency language repealed by operation of Government Code section 11346.1(f) (Register 83, No. 27).
8. Amendment of subsection (a)(1) filed 6-29-83 as an emergency; effective upon filing (Register 83, No. 27). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-27-83.
9. Certificate of Compliance, including editorial correction of subsection (a)(1), as to 6-29-83 order filed 8-11-83 (Register 83, No. 33).
10. Editorial correction of Editorial Note of subsection (a)(1) filed 4-11-84 (Register 84, No. 15).
11. Change without regulatory effect of Note (Register 86, No. 49).
12. Amendment of subsection (a)(1) filed 10-1-87; operative 10-31-87 (Register 87, No. 41).
13. Amendment of subsection (a)(1) filed 4-9-90; operative 4-9-90 (Register 90, No. 17).
14. Amendment of subsection (a)(1) and Note filed 3-9-93; operative 3-9-93 (Register 93, No. 11).
§51311. Laboratory, Radiological and Radioisotope Services.
Note     •     History

(a) Examinations, tests, and therapeutic services ordered by a licensed practitioner, within his scope of practice as defined by California law, for the purpose of providing information for diagnosis, prevention, or treatment of any disease, injury or impairment of, or the assessment of the health of, human beings, or used as an aid in the prevention, prognosis, monitoring, or treatment of a physiological or pathological condition or illness in a human being are covered except that laboratory services provided for chronic outpatient hemodialysis in renal dialysis centers and community hemodialysis units are payable only when billed by the renal dialysis center or community hemodialysis unit.
(b) Services rendered by portable X-ray providers are covered subject to prior authorization except that services rendered in skilled nursing and intermediate care facilities shall not require prior authorization. Emergency services performed in locations other than skilled nursing and intermediate care facilities are covered without prior authorization subject to the submission of a written statement with the claim for services to support the emergency. The following procedures and examinations are covered as portable X-ray services:
(1) Diagnostic radiological procedures.
(2) Diagnostic ultrasonic procedures.
(3) Noninvasive cardiovascular studies.
(c) Procedures and examinations which are not covered as portable X-ray services include:
(1) Procedures involving fluoroscopy;
(2) Procedures involving the use of contrast media;
(3) Procedures requiring the administration of a substance to the patient or injection of a substance into the patient and/or special manipulation of the patient;
(4) Procedures which require special medical skill or knowledge possessed by a physician, dentist or podiatrist or which require that medical judgment be exercised;
(5) Routine screening procedures;
(6) Procedures which are not of a diagnostic nature.
(7) Procedures which for safety, and effectiveness to permit clear interpretation of the film by a radiologist, need to be performed in a radiologic facility and because there is a necessity for any of the following:
(A) Immobilization of the patient.
(B) Avoidance of excessive radiation due to the number of views required.
(C) Special techniques to deal with complex radiologic problems.
(D) Special equipment and supplies.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 5, Chapter 1156, Statutes of 1983. Reference: Section 1206, Business and Professions Code; Sections 14132, 14133 and 14133.1, Welfare and Institutions Code; and Section 149.1, Chapter 323, Statutes of 1993.
HISTORY

1. Amendment of subsection (b) and new subsection (c)(7) filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84. For prior history, see Register 83, No. 6.
2. New subsection (c)(7) refiled 4-23-84 as an emergency; designated effective 4-30-84 (Register 84, No. 21). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-21-84.
3. Certificate of Compliance as to 12-30-83 order (subsection (b) only) transmitted to OAL 4-27-84 and filed 5-22-84 (Register 84, No. 21).
4. Amendment of subsection (b) filed 5-22-84; effective thirtieth day thereafter (Register 84, No. 21).
5. Certificate of Compliance as to 4-23-84 order transmitted to OAL 8-15-84 and filed 9-12-84 (Register 84, No. 37).
6. Amendment of subsection (c)(7) filed 9-12-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 37).
7. Amendment of subsection (a) and Note filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of Note (Register 98, No. 7).
9. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§51312. Prayer or Spiritual Healing.
Note     •     History

Prayer or spiritual healing services covered are limited to those allowed under Title XVIII of the Social Security Act. Such services are subject to the limitation set forth in Section 51304(a).
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Sections 14132, 14133 and 14133.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51313. Pharmaceutical Services and Prescribed Drugs.
Note     •     History

(a) Drugs on the Medi-Cal List of Contract Drugs are covered, subject to limitations specified in this Section and Section 51313.3 when prescribed by a licensed practitioner within the scope of the practitioner's practice as defined by California law.
(b) Drugs shall be furnished in quantities not to exceed a 100 calendar day supply except for sodium fluoride tablets, drops and solutions or when necessary to comply with minimum quantities specified in section 51513.
(c) Drugs not on the Medi-Cal List of Contract Drugs and not excluded in Section 51313.3 are covered subject to prior authorization in accordance with Section 51003.
(1) Authorization may be granted when:
(A) The clinical condition of the patient requires the use of an unlisted drug and listed drugs have been adequately considered or tried and do not meet the medical needs of the patient.
(B) The use of an unlisted drug results in a less expensive treatment than would otherwise occur.
(2) Authorization for prescribed drugs shall be granted for a specific quantity of medication and number of refills, if any, in accordance with the beneficiary's medical need and the chronicity of the condition.
(3) Prescribed drugs dispensed on an emergency basis are exempt from prior authorization. However, any such emergency service shall conform to the definition in section 51056(a) and the provider shall comply with the provisions of section 51056(b).
(4) Authorization for unlabeled use of drugs shall not be granted unless the requested unlabeled use represents reasonable and current prescribing practices. The determination of reasonable and current prescribing practices shall be based on:
(A) Reference to current medical literature.
(B) Consultation with provider organizations, academic and professional specialists.
(d) Drugs listed under Sections 51510(c), 51510.1(b), 51510.2(b)(4), .3(b)(4) and 51511(c) are covered for the treatment of skilled nursing facility or intermediate care facility inpatients (including developmentally disabled, developmentally disabled/habilitative, and developmentally disabled/nursing), subject to the requirements of subdivisions (a), (b) and (c) except for drugs which are included in the daily facility rate as specified in Sections 51510, 51510.1, 51510.2, 51510.3 and 51511.
(e) Drugs for the treatment of hospital cute care or hospital extended care inpatients, including discharge medications, are covered as encompassed in the formulary of the hospital and are not subject to the limitations of (a) through (c) above.
(1) The quantities furnished as discharge medications shall not exceed a 10 days supply.
(2) The charges shall be incorporated in the hospital's claim for inpatient services.
(f) Drugs administered for chronic outpatient hemodialysis in renal dialysis centers and community hemodialysis units are covered, but are payable only when included in the all-inclusive rate set forth in section 51509.2.
(g) Drugs included under Prudent Purchase of Drug contracts, as set forth in section 51513.6 are covered subject to the conditions set forth in section 51513.6 and the other provisions of this section.
NOTE

Authority cited: Sections 10725, 14105, 14105.44 and 14124.5, Welfare and Institutions Code; Chapter 328, Section 57, and Chapter 1594, Section 87, Statutes of 1982. Reference: Sections 14053, 14105.3, 14105.35, 14105.44, 14132, 14133 and 14133.1, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 9-16-85 as an emergency; effective upon filing (Register 85, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-14-86. For prior history, see Register 83, No. 44.
2. Certificate of Compliance including amendment of subsections (a) and (c)(2) transmitted to OAL 1-2-86 and filed 2-3-86 (Register 86, No. 7).
3. Change without regulatory effect of NOTE (Register 86, No. 49).
4. Certificate of Compliance including new subsection (c)(4) transmitted to OAL 4-14-88 and filed 5-16-88 (Register 88, No. 21).
5. Amendment of subsection (d) filed 5-8-91; operative 5-8-91 (Register 91, No. 24).
6. Amendment of subsections (a), (c) and (d) and new subsection (h) filed 5-22-91 as an emergency pursuant to Statutes of 1990, chapter 456, section 36, p. 1658-1659; operative 5-22-91 (Register 91, No. 27). A Certificate of Compliance must be transmitted to OAL by 9-19-91 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (a), (c) and (d) and new subsection (h) refiled 9-19-91 as an emergency; operative 9-20-91 (Register 92, No. 4). A Certificate of Compliance must be transmitted to OAL 1-20-92 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (a), (c) and (d) refiled 1-23-92 as an emergency; operative 1-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 5-22-92 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 1-23-92 order including amendment of Note transmitted to OAL 5-22-92 and filed 7-6-92 (Register 92, No. 28).
10. Repealer of subsection (h) and amendment of Note filed 1-9-95; operative 3-1-95 (Register 95, No. 2).
11. Editorial correction of subsection (g) (Register 95, No. 25).
§51313.3. Limitations on Coverage of Drugs on the Medi-Cal List of Contract Drugs.
Note     •     History

(a) Drugs on the Medi-Cal List of Contract Drugs shall have the limitations specified in (b) through (g) below.
(b) Code 1 drugs on the List of Contract Drugs marked “*”, require prior authorization in accordance with Section 51003 unless used under the conditions specified on the Medi-Cal List of Contract Drugs, and are subject to the prescription documentation requirements of Section 51476(c).
(c) Where drugs are listed by specific dosage forms, their use is limited to such method of administration (e.g., ophthalmic ointments are limited to ophthalmic use) unless prior authorization is obtained.
(d) When a manufactured dosage form or strength is specifically listed, only those dosage forms or strengths listed are allowable for payment, unless prior authorization is obtained. A listed drug, except intravenous solutions, when prepared by the provider in an unlisted dosage form or strength, does not require prior authorization. Long-acting dosage preparations require prior authorization unless specifically listed. Long-acting dosage preparations are drug products physically constructed to give slow-release therapeutic effect.
(e) Common household remedies and the following items are not covered:
(1) Nonlegend drug preparations;
A. Benzoic and Salicylic Acid Ointment (precompounded)
B. Salicylic Acid Cream or Ointment
C. Salicylic Acid Liquid
D. Sodium Chloride Tablets 1Gm
E. Sodium Chloride Tablets 2.5Gm
F. Zinc Oxide Paste
G. Nonlegend Analgesics except for those in part 2 of the Medi-Cal List of Contract Drugs.
(2) Enteral nutritional supplements or replacements, except that these items may be covered, subject to prior authorization, if used as a therapeutic regimen to prevent serious disability or death in patients with medically diagnosed conditions that preclude the full use of regular food.
(3) Vitamin combinations for person over 5 years of age, except for prenatal vitamin-mineral combination products included in part 2 of the Medi-Cal List of Contract Drugs or legend prenatal vitamin-mineral combination products, subject to prior authorization, for use during pregnancy.
(f) Only nonlegend cough and cold drug products which meet the requirements of part 3 of the Medi-Cal List of Contract Drugs are covered. Time-release products are not covered under part 3 of the Medi-Cal List of Contract Drugs.
(g) This section does not apply to items administered or dispensed as part of a physician's, dentist's, or podiatrist's service.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14105.35, 14105.39 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-91 as an emergency pursuant to Statutes of 1990, chapter 456, section 36, p. 1658-1659; operative 5-22-91 (Register 91, No. 27). A Certificate of Compliance must be transmitted to OAL by 9-19-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-19-91 as an emergency; operative 9-20-91 (Register 92, No. 4). A Certificate of Compliance must be transmitted to OAL 1-20-92 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 1-23-92 as an emergency; operative 1-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 5-22-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-23-92 order transmitted to OAL 5-22-92 and filed 7-6-92 (Register 92, No. 28).
5. Amendment of subsection (e)(3) filed 1-9-95; operative 3-1-95 (Register 95, No. 2).
§51313.6. Drug Evaluation Criteria.
Note     •     History

(a) The Director shall use the following criteria when evaluating drugs to add to and to delete from the Medi-Cal List of Contract Drugs. The Director may restrict usage of any drug or therapeutic category of drugs on the Medi-Cal List of Contract Drugs.
The Director's decision shall be made upon consideration of all of the five criteria specified below in items (1) through (5), without regard to the order in which the criteria are presented. The examples recited under each criterion shall not be exhaustive of those factors which may be considered.
(1) Cost. For the purpose of this section, cost means the potential fiscal impact of the proposed change on the Medi-Cal drug program or the Medi-Cal program. Evaluation of cost may involve a single drug or comparison between two or more drugs, and may take into account, but is not limited to, differences of unit cost, differences of cost of total treatment, or cost of alternative methods of treatment.
(2) Efficacy. For the purposes of this section, efficacy means the speed, duration, and extent to which a drug will alleviate, control or cure a medical condition. Evaluation of efficacy may involve a single drug or comparisons between two or more drugs, and may take into account such factors as efficacy of alternative methods of treatment.
(3) Essential Need. For the purpose of this section, essential need means that the availability of a drug through the Medi-Cal List of Contract Drugs is necessary to protect life or to prevent significant disability. Evaluation of essential need may involve a single drug or comparisons between two or more drugs, and may take into account such facts as the availability of alternative methods of treatment, the incidence, severity and prognosis of the medical conditions for which a drug is indicated; whether a drug is a lifesaving agent or palliative in effect; or whether a drug may provide treatment for a medical condition not adequately treated by any marketed drug.
(4) Misuse Potential. For the purpose of this section, misuse potential means the opportunity for unjustified, inappropriate, irresponsible, or improper use of a drug. Evaluation of unjustified, inappropriate, or irresponsible use may involve a single drug or comparisons between two or more drugs, and may take into account such factors as utilization of a drug where there is insufficient medical necessity for its use; continued utilization of a drug despite loss of effectiveness; utilization of a drug where more efficacious or more safe drugs are available; utilization of a drug where the drug is a mixture and less than the total number of active ingredients may suffice; or utilization of a drug where a less costly but equally safe and efficacious drug may be used. Evaluation of improper use may involve a single drug or comparisons between two or more drugs, and may take into account such factors as utilization of a drug in a manner that deviates from approved medical, legal, or social standards.
(5) Safety. For the purpose of this section, safety means relative freedom from side effects and is determined by reviewing the contraindications, precautions, warnings, adverse effects, and drug interactions associated with the use of a drug. Evaluation of safety may involve a single drug or comparisons between two or more drugs, and may take into account such factors as safety of alternative methods of treatment, or the relationship of safety of a drug to the severity of prognosis of the medical conditions for which the drug is indicated.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14105.39 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-91 as an emergency pursuant to Statutes of 1990, chapter 456, section 36, p. 1658-1659; operative 5-22-91 (Register 91, No. 27). A Certificate of Compliance must be transmitted to OAL by 9-19-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-19-91 as an emergency; operative 9-20-91 (Register 92, No. 4). A Certificate of Compliance must be transmitted to OAL 1-20-92 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 1-23-92 as an emergency; operative 1-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 5-22-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-23-92 order transmitted to OAL 5-22-92 and filed 7-6-92 (Register 92, No. 28).
5. Change without regulatory effect amending subsection (a)(1) and Note filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§51314. Rehabilitation Center Outpatient Services.
Note     •     History

Outpatient physical therapy, occupational therapy, speech therapy and audiology services provided in a rehabilitation center approved as meeting the standards set forth in Section 51213 are covered as specified below:
(a) One visit in a six-month period, for evaluation of the patient and preparation of an extended treatment plan, is covered without prior authorization. Additional services in a six-month period require prior authorization. The request for prior authorization shall be accompanied by an extended treatment plan signed by a physician. The extended treatment plan shall include all of the following:
(1) The principal and significant associated diagnosis.
(2) Prognosis.
(3) Date of onset of illness or injury.
(4) Specific type, number, and frequency of services to be rendered by each discipline.
(5) Therapeutic goals to be achieved by each discipline and the anticipated time required for achievement of these goals.
(6) The extent to which physical therapy, occupational therapy, speech therapy or audiology services have been previously provided, and benefits or improvements demonstrated by such prior care.
(b) Authorization may be granted for rehabilitation center outpatient services when such services are medically necessary as set forth in Section 51303(a) and are reasonably expected to develop or restore functions related to basic activities of daily living. Therapeutic goals may seek to:
(1) Develop or restore intelligible speech,
(2) Provide necessary training in the use of prosthetic or orthotic devices,
(3) Provide capability for self care to include feeding, toilet activities, and ambulation.
(c) A maximum of 30 visits may be authorized at any one time. Authorizations shall be valid for up to 120 days. A request for reauthorization shall include a statement describing the patient's progress toward achieving the therapeutic goals included in the extended treatment plan.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14132, 14133 and 14133.3, Welfare and Institutions Code.
HISTORY

1. New section filed 12-24-71, as an emergency; effective upon filing (Register 71, No. 52).
2. Certificate of Compliance filed 4-19-72 (Register 72, No. 18).
3. Repealer of subsection (d) filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
4. Amendment of subsection (b) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
5. Certificate of Compliance transmitted to OAL 12-30-82 and withdrawn 1-28-83 (Register 83, No. 7).
6. Amendment of subsection (b) refiled 1-28-83 as an emergency; effective upon filing (Register 83, No. 7). (Corrected copy of 1-28-83 emergency order refiled 2-16-83.) A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-28-83 (Register 83, No. 7).
7. Editorial correction of HISTORY No. 6 (Register 83, No. 11).
8. Emergency language repealed by operation of Government Code Section 11346.1(f) (Register 83, No. 27).
9. Amendment of subsection (b) filed 6-29-83 as an emergency; effective upon filing (Register 83, No. 27). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-27-83.
10. Certificate of Compliance as to 6-29-83 order filed 8-11-83 (Register 83, No. 33).
§51315. Prosthetic and Orthotic Appliances.
Note     •     History

(a) All prosthetic and orthotic appliances necessary for the restoration of function or replacement of body parts as prescribed by a licensed physician, podiatrist or dentist, within the scope of their license, are covered when provided by a prosthetist, orthotist or the licensed practitioner, respectively. A written prescription signed by a physician, podiatrist, or dentist is always required. In addition, this written, signed prescription shall accompany any request for prior authorization, which is required under the following circumstances:
(1) For orthotic appliances (procedure codes L0100-L4999) each time the cumulative costs of purchase, replacement, and repair exceed $250.00 per beneficiary, per provider, per 90-day period. This 90-day period of time begins on the date of payment of the first claim after the close of the previous 90-day period of time during which a claim, if any, was paid.
(2) For prosthetic appliances (procedure codes L5000-L8499) each time the cumulative costs of purchase, replacement, and repair exceed $500.00 per beneficiary, per provider, per 90-day period. This 90-day period of time begins on the date of payment of the first claim after the close of the previous 90-day period of time during which a claim, if any, was paid.
(3) For all unlisted, By Report, and By Invoice prosthetic and orthotic appliances.
(b) The authorization request shall specify the type of appliance and include the medical diagnosis, prognosis, and an explanation of the purpose that the appliance will serve.
(c) Authorization for repairs shall not be granted when the cost of repairs is equal to, or more than, the cost of purchasing a new appliance.
(d) Stock conventional and stock orthopedic shoes are covered when provided by a prosthetist or orthotist on the prescription of a physician or podiatrist and when at least one of the shoes will be attached to a prosthesis or brace.
(1) Modification of stock conventional or orthopedic shoes is covered when medically indicated.
(2) Custom-made orthopedic shoes may be authorized when there is a clearly established medical need that cannot be satisfied by the modification of stock conventional or stock orthopedic shoes.
(e) The only provider types authorized to furnish and bill for prosthetic and orthotic appliances are orthotists, as defined in Sections 51101 and 51225, prosthetists, as defined in Sections 51103 and 51230, physicians, as defined in Section 51053, dentists, as defined in Sections 51027 and 51223, and podiatrists, as defined in Section 51075, acting within the scope of their practice. Prosthetic and orthotic appliance codes are listed in the Medi-Cal provider manual, pursuant to Welfare and Institutions Code section 14105.21. Appliances listed in the provider manual and designated by double asterisks (**) may be furnished and billed by pharmacists.
(f) Reimbursement for prosthetic and orthotic appliances:
(1) Shall not exceed 80 percent of the lowest maximum allowance for California established by the federal Medicare program for the same or similar appliances.
(2) When there is no comparable Medicare-reimbursed appliance, reimbursement shall not exceed an amount that is the lesser of:
(A) The usual charges made to the general public for the provision of the same or similar appliances, or
(B) The maximum reimbursement rates listed in the Medi-Cal provider manual.
(3) Maximum reimbursement rates are for the basic appliances and for any component parts that may be added to these basic appliances. When applicable, billings shall include both the basic appliance and the component parts necessary to complete the prescribed appliance.
(4) No separate reimbursement for fitting, measuring, or delivery of appliances shall be made.
NOTE

Authority cited: Sections 14043.75, 14105, 14124.5, 14132, 14132.76, 14132.765 and 14133, Welfare and Institutions Code; Chapter 328, Statutes of 1982; Chapter 1381, Statutes of 1990; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14053, 14105.21, 14132(k), 14132.76, 14132.765, 14133 and 14133.1(c), Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 5-30-78; designated effective 7-1-78 (Register 78, No. 22). For prior history, see Register 77, No. 50.
2. Amendment of subsection (d) filed 1-16-80; effective thirtieth day thereafter (Register 80, No. 3).
3. Amendment of subsection (a) filed 11-7-86; effective thirtieth day thereafter (Register 86, No. 45).
4. Change without regulatory effect of NOTE (Register 86, No. 49).
5. Amendment of subsection (a) filed 5-25-89; operative 6-24-89 (Register 89, No. 21.)
6. Amendment of subsection (a) and Note, designation and amendment of subsections (a)(1)(A) and (B), and new subsections (a)(1) and (a)(2)-(a)(2)(B) filed 9-14-92; operative 10-14-92 (Register 92, No. 38).
7. Amendment of subsections (a)(2)-(a)(2)(B) filed 3-24-93; operative 4-23-93 (Register 93, No. 13).
8. Change without regulatory effect amending subsection (a)(2) and Note filed 3-8-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 10).
9. Editorial correction reinstating inadvertently omitted subsections (b)-(d)(2) (Register 97, No. 37).
10. Amendment of subsection (a), repealer of subsections (a)(1)-(2), redesignation and amendment of former subsections (a)(2)(A)-(B) as new subsections (a)(1)-(2), new subsection (a)(3) and amendment of Note filed 7-17-2003 as an emergency; operative 7-17-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 1-13-2004 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction of History 10 (Register 2003, No. 33).
12. Amendment of subsection (a), repealer of subsections (a)(1)-(2), redesignation and amendment of former subsections (a)(2)(A)-(B) as new subsections (a)(1)-(2), new subsection (a)(3) and amendment of Note filed 1-14-2004 as an emergency; operative 1-14-2004 (Register 2004, No. 3). A Certificate of Compliance must be transmitted to OAL by 7-12-2004 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 1-14-2004 order, including further amendment of subsections (a)-(a)(2), new subsections (e)-(f)(4) and amendment of Note, transmitted to OAL 7-12-2004 and filed 8-12-2004 (Register 2004, No. 33).
§51316. Respiratory Care Services.
Note     •     History

(a) Respiratory care services provided by respiratory care practitioners acting within their scope of practice, upon the written prescription of a physician or surgeon, are covered as Medi-Cal benefits subject to the following:
(1) The respiratory care service is within accepted respiratory treatment modalities and considered to be specific and effective treatment for the beneficiary's condition; and
(2) The respiratory care service is shown to be medically necessary for the treatment of the beneficiary's condition pursuant to Section 51303.
(b) Reimbursement will not be made for:
(1) respiratory care procedures which are included within other procedure codes;
(2) training in the use of durable medical equipment or devices related to respiratory care reimbursed to any other provider; or
(3) teaching or training of patients or care givers to administer intermittent positive pressure breathing (IPPB).
(c) Except as otherwise noted, respiratory care services are subject to prior authorization.
(d) One respiratory care evaluation (code number X4700) of a patient with an acute respiratory illness, or respiratory problem in a six (6) month period, is covered without prior authorization unless reimbursement for a comparable examination has been made to the patient's physician within six months. Additional evaluations within a six (6) month period require medical justification and are subject to prior authorization. A respiratory care evaluation or reevaluation includes but is not limited to:
(1) review of the effectiveness of current and past medical treatment including services, items, or equipment related to the patient's respiratory condition;
(2) development, in conjunction with a physician, of a treatment plan to address the patient's respiratory condition, or to prevent or substantially shorten an anticipated hospital stay; and
(3) any other appropriate assessments or measurements of the patient's respiratory system not already covered under other service codes which are within the respiratory care practitioner's scope of practice and are related to the patient's current treatment plan.
(e) Participation in an organized respiratory care case conference (code number X4702) with other health team members immediately involved in the care or recovery of the patient is reimbursable only when the following criteria are met:
(1) The respiratory care case conference must be documented as medically necessary pursuant to Section 51303.
(2) Documentation in the patient's medical record must include the status or progress of the patient as well as the proposed treatment plan agreed upon in the respiratory care case conference.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14509 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 6-23-97; operative 7-23-97 (Register 97, No. 26).
§51317. Eyeglasses, Contact Lenses, Low Vision Aids, Prosthetic Eyes and Other Eye Appliances.
Note     •     History

(a) Eye appliances are covered on the written prescription of a physician or optometrist, subject to the provisions of this section.
(1) Providers shall make a reasonable effort to ascertain and record the age, source and characteristics of the beneficiary's most recent ophthalmic correction. A review of the provider's prior records and questioning the beneficiary concerning prior ophthalmic corrections will satisfy this requirement.
(2) Lost, broken or significantly damaged eye appliances may not be replaced unless the beneficiary or beneficiary's representative supplies the provider with a signed statement outlining the circumstances of the loss or destruction and the steps taken to recover the lost item, and certifying that the loss, breakage or damage was beyond the beneficiary's control. Providers shall not be held responsible for inaccurate statements by beneficiaries. A provider may certify that specific items require replacement due to normal wear and tear or aging and that no abuse is evident.
(3) Repair or replacement of ophthalmic frames for lenses that do not conflict with the criteria in (c)(1), (2), (4)(A) and (B) is covered without a prescription.
(4) The following are not covered:
(A) Eyeglasses used primarily for protective, cosmetic, occupational or avocational purposes.
(B) Eyeglasses prescribed for other than the correction of refractive errors or binocularity anomalies.
(C) Double segment bifocal or no-line multifocal lenses.
(D) Multifocal contact lenses.
(b) Eye appliances to supplement an existing eye appliance, regardless of the source of the existing appliance, are limited to the following:
(1) Two pairs of single vision eyeglasses, one for distance vision and one for near vision, in lieu of multifocal eyeglasses when there are indications that multifocal lenses cannot be worn satisfactorily. When two pairs of single vision lenses are thus supplied, both shall meet the requirements of (c)(1) and, when applicable, (c)(3) and (c)(4). Except for those that qualify as a low vision aid, single vision eyeglasses to supplement multifocals are not a program benefit.
(2) Low vision aids, including single vision eyeglasses prescribed as a low vision aid.
(3) Ptosis crutches, occluders, bandage contact lenses, prosthetic eyes and prostheic scleral shells.
(4) Overcorrection single vision or bifocal eyeglasses for concurrent use with contact lenses. Prescription eyeglasses for alternative use by a person who has and is able to wear contact lenses are not covered. Contact lenses shall not subsequently be covered after a patient has been provided prescription eyeglasses because the patient could not wear contact lenses.
(c) Prescription eyeglass lenses conforming to American National Standard Requirements for First Quality Prescription Lenses Z80.11972 are covered if the prescription is for:
(1) Single vision lenses and specifies at least one of the following:
(A) Power in at least one meridian of either lens of 0.75 diopters or more.
(B) Astigmatic correction of either eye of 0.75 diopters or more.
(C) Total differential prismatic correction of 3/4 or more prism diopters in the vertical meridian.
(D) Total differential prismatic correction of one and one-half or more prism diopters in the horizontal meridian.
(E) Power in any meridian that differs from the corresponding meridian of the lens for the other eye by 0.75 diopters or more.
(2) Multifocal lenses with an add of at least 0.75 diopters.
(3) Replacement lenses which meet the criteria in (1) or (2) and also one or more of the following:
(A) The power is changed at least 0.50 diopters in any corresponding meridian.
(B) The cylinder axis is changed 20 or more degrees for a 0.50-0.62 diopter cylinder in the old or new correction, 15 or more degrees for a 0.75-0.87 diopter cylinder, 10 or more degrees for a 1.00-1.87 diopter cylinder or 5 or more degrees for a 2.00 diopter or stronger cylinder. Change in axis in cylinders of 0.12-0.37 diopters, as the sole reason for change, is not covered.
(C) The prismatic differential correction is changed at least 3/4 prism diopters in the vertical meridian or at least one and one-half prism diopters in the horizontal meridian.
(D) The previous lens is lost, broken or marred to a degree significantly interfering with vision or eye safety. A certificate or statement as specified in paragraph (a)(2) is required.
(E) The frame must be replaced because a different size or shape is necessary.
(4) Absorptive lenses which reduce the amount of light energy reaching the eye, or selectively restrict the passage of specific parts of the light spectrum, meet the criteria for coverage under (1), (2), or (3), and are provided under any of the following conditions:
(A) when eye pathology that is aggravated by exposure to this light exists,
(B) when the normal eye protective system that guards against this light is compromised, or
(C) when chronic pathological conditions that are intensified by exposure to this light energy are present.
All absorptive lenses provided under the program shall be identified by manufacturer and by trade name, and be represented by established and published transmission charts that confirm the eye protection objective of the lens.
(5) Trifocal lenses which meet the criteria in (1), (2) or (3), but only for beneficiaries who are currently wearing trifocals.
(6) A balance lens, when the corrected acuity for the poorer eye is not better than 0.10 decimal notation, 20/200 Snellen or equivalent at specified distances. Coverage for the poorer eye is limited to a single vision balance lens unless a prescription lens is medically justified. Multifocal balance lenses are not covered.
(d) Eyeglass frames conforming to American National Standard Requirements for Dress Ophthalmic Frames Z80.5--1979 are covered when the beneficiary does not possess a frame suitable for continued use. Replacement eyeglass frames are not covered if a previous frame can be made suitable for continued use by adjustment, repair or replacement of a broken front or temples. Repairs and parts replacement are covered.
(1) Replacement of frames lost, stolen or destroyed in circumstances beyond the beneficiary's control is covered. A certificate or statement as specified in paragraph (a)(2) is required. Replacement of frames deliberately destroyed, abused or discarded by the beneficiary is not covered. Replacement of frames for reasons other than lost, theft or destruction in circumstances beyond the beneficiary's control may be covered when the provider submits a statement as specified in paragraph (a)(2) explaining why the prior frame cannot continue in use.
(2) Replacement of frames within two years is limited to the same model whenever feasible.
(3) Frames are not covered for use with lenses weaker than the minimums specified for an original prescription, as defined in (c)(1) and (2) in this section.
(4) Frames shall be sturdy and of good quality with the manufacturer's or American distributor's name or identification clearly stamped on the frame. Only frames which the provider also supplies to the general public shall be provided to Medi-Cal patients. Discontinued or closeout frames are not covered. The provider shall allow the patient to try on and choose from an adequate selection of frame styles, colors and sizes.
(e) Contact lenses, limited to lenses for which the federal Food and Drug Administration has given approval of the lenses and the applications and hard lenses conforming to American National Standard Requirements for First Quality Contact Lenses Z80.2--1972 are covered as follows:
(1) Following prior authorization for:
(A) Extended wear contact lenses which require more professional postdispensing monitoring than lenses designed for daily removal and disposable prescription contact lenses designed for short-term wear and frequent replacement. Authorization may be granted upon verification that other lenses cannot be used and there is reasonable assurance the patient can use the specialized lenses.
(B) Contact lenses when chronic pathology or deformity of the nose, skin or ears precludes the wearing of eyeglasses.
(C) Contact lenses for a diagnosis of aniseikonia when supported by clinical data.
(2) Without prior authorization for:
(A) A diagnosis of aphakia or keratoconus when contact lenses other than extended wear contact lenses are fitted. If extended wear contact lenses are to be provided, prior authorization is required.
(B) When eyeglasses are contraindicated due to chronic corneal or conjunctival pathology or deformity other than corneal astigmatism; when contact lenses other than extended wear contact lenses are fitted. If extended wear contact lenses are to be provided, prior authorization is required.
(C) Therapeutic bandage lenses prescribed by a physician for a diagnosis approved by the federal Food and Drug Administration for those lenses, when fitted by a physician or by either a dispensing optician or an optometrist under the direct supervision of a physician.
(f) Low vision optical aids, excluding electronic devices, are covered when visual function is markedly enhanced and all the following conditions are satisfied:
(1) Visual acuity in the better eye when optimal correction with a prescription eyeglass lens or contact lens is equal to or poorer than 0.30 decimal notation, 20/60 Snellen, or equivalent at specified distances, or either visual field is limited to 10 degrees or less from the point of fixation in any direction.
(2) The condition causing the subnormal vision is chronic and cannot be relieved by medical or surgical intervention.
(3) The physical and mental condition of the patient is such that there is a reasonable expectation that the aid will be used to enhance the everyday functioning of the beneficiary.
(4) The aid prescribed or provided is the least costly type that will meet the needs of the patient.
(5) Prior authorization, when the amount claimed for payment of an aid is $100.00 or more, has been obtained from:
(A) The California Children Services, in accordance with Section 51013, when the beneficiary is under, or who is a candidate for, case management by that program.
(B) The Medi-Cal consultant for:
1. Low vision aids recommended by the Department of Rehabilitation in accordance with Section 51014.
2. All others.
(6) TARs for low vision aids shall include:
(A) The etiology, current status and prognosis of the visual defect.
(B) The visual acuity at far and at near, measured monocularly and binocularly with optimum spectacle or contact lens correction.
(C) The visual acuities using the aid.
(D) A copy of the detailed field study when the aid is designed to compensate for a field defect.
(E) A description of the aid, including cost, model number and name of distributor or manufacturer.
(F) A statement of the amount of professional time expended in fitting the aid, excluding diagnostic and follow-up time associated with the fitting and postfitting supervision of the patient by a medical or optometric provider.
(g) Prosthetic Eyes. A written prescription by a physician or optometrist is required for the provision of prosthetic eyes.
(1) The claim for reimbursement shall include the following:
(A) Explanation of the need for a prosthetic eye.
(B) Prior prosthetic eye history.
(C) Description of and justification for other than a precast prosthesis.
(2) Prosthetic eyes may be replaced:
(A) To accommodate changes resulting from orbital development in persons under 18 years of age.
(B) When necessary to prevent a significant disability.
(C) When the prior prosthesis was lost or destroyed due to circumstances beyond the beneficiary's control.
(D) When the prior prosthesis can no longer be rehabilitated.
(3) Repair of a prosthetic eye may be covered as an unlisted eye appliance procedure.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14110.5, 14132, 14133 and 14133.1, Welfare and Institutions Code; and Statutes of 1985, Chapter 111, Item 4260-101-001, Provision 21.
HISTORY

1. Amendment of subsections (c)(2) and (c)(4) filed 6-24-83 as an emergency; effective upon filing (Register 83, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-22-83. For prior history, see Register 83, No. 26.
2. Repealer and new section filed 7-8-83; effective thirtieth day thereafter (Register 83, No. 30).
3. Certificate of Compliance as to 6-24-83 order transmitted to OAL 10-21-83 and filed 11-23-83 (Register 83, No. 48).
4. Amendment of subsection (g) filed 8-23-85; effective thirtieth day thereafter (Register 85, No. 36).
5. Amendment of subsections (c)(1)(D), (c)(3)(C) and (c)(4)(A) filed 9-30-85 as an emergency; effective upon filing (Register 85, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-28-86.
6. Certificate of Compliance transmitted to OAL 1-8-86 and filed 2-6-86 (Register 86, No. 6).
7. Amendment of subsections (c)(4) and (d)(3) filed 11-14-86; effective thirtieth day thereafter (Register 86, No. 46).
§51317.1. Interim Coverage of Eyeglass Lenses.
Note     •     History

NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Sections 14110.5, 14132, 14133 and 14133.1, Welfare and Institutions Code; and Section 149, Chapter 323, Statutes of 1983.
HISTORY

1. New section filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
2. Certificate of Compliance transmitted to OAL 12-30-82 and withdrawn 1-28-83 (Register 83, No. 10).
3. New section refiled 1-28-83 as an emergency; effective upon filing (Register 83, No. 10). (Corrected copy of 1-28-83 emergency order refiled 1-31-83.) A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-28-83.
4. Emergency language repealed by operation of Government Code Section 11346.1(f) (Register 83, No. 26).
5. New section filed 6-24-83 as an emergency; effective upon filing (Register 83, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-22-83.
6. Certificate of Compliance transmitted to OAL 10-21-83 and filed 11-23-83 (Register 83, No. 48).
7. Editorial correction of NOTE filed 12-20-83 (Register 83, No. 52).
8. Repealer filed 9-30-85 as an emergency; effective upon filing (Register 85, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-28-86.
9. Certificate of Compliance transmitted to OAL 1-8-86 and filed 2-6-86 (Register 86, No. 6).
§51319. Hearing Aids.
Note     •     History

(a) Hearing aids are covered only when supplied by a hearing aid dispenser on prescription of an otolaryngologist, or the attending physician where there is no otolaryngologist available in the community, plus an audiological evaluation including a hearing aid evaluation which must be performed by or under the supervision of the above physician or by a licensed audiologist.
(b) Prior to prescribing a hearing aid, the otolaryngologist or attending physician shall perform a complete ear, nose and throat examination.
(c) Prior authorization is required for the purchase or trial period rental of hearing aids, and for hearing aid repairs which exceed a cost of $25.00 per repair service. Claims for individual repair services shall not be cumulative for the purposes of determining the need for prior authorization.
(1) Ear molds are covered without prior authorization.
(2) Prior authorization is required for all supplies and accessories necessary for the operation of a hearing aid, except as provided in (1) above.
(3) Binaural hearing aids may be authorized under any of the following conditions:
(A) The hearing loss is associated with legal blindness.
(B) For beneficiaries 20 years of age or under, tests of each ear reveal a hearing loss level of 30 dB or greater, American National Standards Institute (ANSI), 1969, for 500, 1,000, and 2,000 Hertz (Hz) by pure tone air conduction. Cases shall be referred to California Children Services for evaluation, consultation, or case management for patients eligible for such coverage by California Children Services.
(C) For beneficiaries over 18 years of age, tests of each ear reveal a hearing loss level of 35 dB or greater, ANSI, 1969 for 500, 1,000, and 2,000 Hertz (Hz) by pure tone air conduction. Where the provision of a binaural hearing aid is the basis for employment, beneficiaries with the above hearing loss shall be referred to the California Department of Rehabilitation for evaluation, consultation, and case management as provided in Section 51014.
(d) Requests for authorization for hearing aids must include the results of the following tests:
(1) Pure tone air conduction threshold and bone conduction tests of each ear at 500, 1,000, 2,000, 3,000 and 4,000 Hertz (Hz) with effective masking as indicated.
(2) Speech tests, aided and unaided, shall include the following:
(A) Speech Reception Threshold (SRT) using Spondee words.
(B) A Word Discrimination Score (WDS) derived from testing at 40 decibels (dB) above the SRT or at the Most Comfortable Loudness (MCL) using standard discrimination word lists (such as PB or W22) utilizing either recorded or live voice.
(C) Sound Field Aided and Unaided, Speech Scores (SRT and WDS) shall be established.
(e) Test results shall be presented in a format acceptable to the Medi-Cal consultant and shall include proposed hearing aid specifications.
(f) Authorization for hearing aids may be granted only when:
(1) Tests of the better ear, after treatment of any condition contributing to the hearing loss, reveal an average hearing loss level of 35 dB or greater, ANSI, 1969, for 500, 1000, and 2000 Hertz (Hz) by pure tone air conduction, or:
(2) The difference between the level of 1000 Hertz (Hz) and 2000 Hrtz (Hz) is 20 dB or more, the average of the air conduction threshold at 500, 1000, and 2,000 Hertz (Hz) need only be 30 dB hearing level, (ANSI, 1969), and
(3) Speech communication is effectively improved or auditory contact is necessary for sound awareness (personal safety) in the environment in which the beneficiary exists.
(g) Replacement of a hearing aid may be authorized only if:
(1) The prior hearing aid has been lost, stolen, or irreparably damaged due to circumstances beyond the beneficiary's control. The Treatment Authorization Request shall include each of the following:
(A) A statement describing the circumstances of the loss, theft, or destruction of the hearing aid, signed by the beneficiary and the otolaryngologist or the attending physician if there is no otolaryngologist available in the community.
(B) An audiological evaluation, if other than a duplicate of the prior hearing aid is required.
(2) The hearing impairment of the beneficiary requires amplification or correction not within the capabilities of the beneficiary's present hearing aid. The new aid shall be prescribed in accordance with (a) above.
(h) Eyeglass hearing aids are covered when the requirements of this section and Section 51317 are met at the same time.
(i) Initial hearing aid batteries supplied with the hearing aid are covered when supplied with a hearing aid that has been prior authorized. Replacement hearing aid batteries are not covered.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14053, 14132 and 14133, Welfare and Institutions Code; and Section 53, Chapter 328, Statutes of 1982.
HISTORY

1. New subsection (g) filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3). For prior history, see Register 72, No. 40.
2. Amendment of subsection (f) filed 5-15-79 as an emergency; designated effective 5-15-79 (Register 79, No. 20).
3. Editorial correction (Register 79, No. 26).
4. Certificate of Compliance filed 9-12-79 (Register 79, No. 37).
5. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
6. Editorial correction of subsection (f)(2) (Register 80, No. 40).
7. Amendment of subsection (c)(1) and new subsection (h) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
8. Certificate of Compliance transmitted to OAL 12-28-82 and filed 1-21-83 (Register 83, No. 4).
9. Amendment of subsection (h) filed 3-1-84; effective thirtieth day thereafter (Register 84, No. 9).
10. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
11. Amendment of subsection (c)(1), new subsection (c)(2) and subsection renumbering filed 4-4-2003 as an emergency; operative 4-4-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 4-4-2003 order transmitted to OAL 7-28-2003 and filed 9-4-2003 (Register 2003, No. 36).
§51320. Medical Supplies.
Note     •     History

(a) Medical supplies are covered when prescribed by a licensed practitioner within the scope of his practice as defined by California laws.
(b) Common household items and articles of clothing are not covered.
(c) Medical supplies for chronic outpatient hemodialysis provided in renal dialysis centers and community hemodialysis units or for home dialysis are covered, but are payable only when included in the all inclusive facility rate set forth in Section 51509.2.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14124.5, 14105.47, 14132, and 14133, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 73, No. 5.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Amendment filed 4-24-81; designated effective 7-1-81 (Register 81, No. 17).
4. Change without regulatory effect amending subsection (a) and Note filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§51321. Durable Medical Equipment.
Note     •     History

(a) Durable medical equipment, as defined in Section 51160, is covered in accordance with the standards set forth in section 51303(a) and when provided on the written prescription of licensed practitioners within the scope of their practice as established in California law. Alterations or improvements of real property are not covered except to the extent authorized for the provision of home dialysis services. In addition to the prescribing practitioner's signature, all of the following specific information, at a minimum, shall be clearly provided on, or with the prescription form, or as an attachment to the Treatment Authorization Request:
(1) Full name and telephone number of the prescribing practitioner.
(2) Date of prescription.
(3) Specific item(s) being prescribed.
(4) Patient's medical condition/diagnosis necessitating each item. This documentation shall include:
(A) The patient's medical status and functional limitation(s) and
(B) A description of the manner in which the specific item being requested is expected to improve the medical status or functional ability of the patient, stabilize the patient's condition, or prevent additional deterioration of the medical status or functional ability of the patient.
(5) Estimated length of time the item is determined to be medically necessary.
(b) Prior authorization is required:
(1) For the purchase of durable medical equipment listed in Section 51521 when the cumulative cost within the calendar month of purchasing items within a group exceeds $100.00.
(2) For the repair or maintenance of durable medical equipment when the cumulative cost within the calendar month exceeds $250.00 for the repair and maintenance of items within a group, and when the cumulative cost of renting items within a group exceeds $50.00 within a fifteen month period.  The cost of repairs shall not exceed the replacement value of the item being repaired.
(3) For the provision of oxygen, Procedure Code E0441, when more than the equivalent of two H tanks (which equals 10 “E” tanks or 500 cu. ft.) are provided during one calendar month.
(4) For the purchase, rental, repair or maintenance of any unlisted devices or equipment, regardless of the dollar amount.
(c) All authorization requests shall, at a minimum, include all of the following:
(1) Identification of patient; name and patient Medi-Cal identification or Social Security number.
(2) Date of request.
(3) Medical justification relevant to the item being requested.
(4) Location where patient resides.
(5) Description of item, including:
(A) Manufacturer's name and/or model type/serial number, as applicable.
(B) Procedure Code.
(C) Estimated length of need, whether rental or purchase of the item is requested, and associated charges. Except for life support equipment, such as ventilators, and other equipment that requires ongoing service or maintenance, when previously paid rental charges equal the maximum allowable purchase price of the rented item, as specified in Section 51521(i), the item is considered to have been purchased and no further reimbursement to the provider shall be made unless repair or maintenance of the item is separately authorized. When the Department determines it is medically necessary to purchase an unlisted item of durable medical equipment that had been rented for a Medi-Cal patient, the Department and the provider shall determine the purchase price and the amount of the rental charges that may be applied to the purchase price.
(6) Rendering provider identification, including name, address, telephone number, contact name, contact telephone number, and Medi-Cal provider I.D. number.
(d) In addition to the documentation requirements specified in (c) above, authorization requests for unlisted durable medical equipment/devices also require copies of catalog pages and medical justification to substantiate why a listed item is insufficient to meet the patient's medical needs.
(e) The following items are not covered by the program:
(1) Modification of automobiles/or other highway motor vehicles
(2) Books or other items of a primarily educational nature
(3) Air conditioners, air filters, or heaters
(4) Food blenders
(5) Reading lamps, or other lighting devices
(6) Bicycles, tricycles, or exercise equipment, except as otherwise specified in this Chapter
(7) Television sets
(8) Orthopedic mattresses, recliners, rockers, seat lift chairs, or other furniture items
(9) Waterbeds
(10) Household items
(11) Other items not generally used primarily for health care and which are regularly and primarily used by persons who do not have a specific medical need for them.
(f) Authorization shall not be granted for medical equipment when a household or furniture item will adequately serve the patient's medical needs.
(g) Authorization for durable medical equipment shall be limited to the lowest cost item that meets the patient's medical needs.
(h) Authorization for durable medical equipment for skilled nursing facility/Level B or intermediate care facility/Level A inpatients may be approved as follows:
(1) The equipment is necessary for the continuous care of the patient to meet the unusual medical needs of that patient. A patient may be considered to have unusual medical needs when a disease or medical condition is exacerbated by physical characteristics such as height, weight, and body build. Physical characteristics, in and of themselves, shall not constitute an unusual medical condition.
(2) Canes, crutches, wheelchairs, wheelchair cushions, and walkers may be authorized only when the item must be custom made or modified to meet the unusual medical needs of the patient and the need is expected to be permanent. A custom wheelchair, either manual or power, is one which has been uniquely constructed or assembled to address a particular patient's individual medical needs for positioning, support and mobility.
(3) Suction and positive pressure apparatus may be authorized only when the item will be continuously used by the patient or must be immediately available to the patient for one month or more.
(i) Beneficiaries shall be responsible for appropriate use and care of durable medical equipment purchased for their use under the Medi-Cal program.
(j) Rendering providers of durable medical equipment shall ensure that all devices and equipment are appropriate to meet the beneficiary's medical needs. If a piece of equipment or a device, when in actual use, fails to meet the beneficiary's needs, and the beneficiary's medical condition has not significantly changed since the device/equipment was dispensed, the rendering provider shall adjust or modify the equipment, as necessary, to meet the beneficiary's needs. Any equipment or device that cannot be adjusted or modified, shall be replaced by the rendering provider at no cost to the Medi-Cal program.
(k) In addition to the requirements specified in subsections (a) through (j) above, authorization of the following shall be made in accordance with the criteria contained in the applicable chapter of the Manual of Criteria for Medi-Cal Authorization:
(1) Antidecubitus Care (ADC) Support Surfaces--Chapter 13.1.
(2) Osteogenesis Stimulator Devices to Accelerate the Healing of Selected Bone Fractures--Chapter 13.2.
NOTE

Authority cited: Sections 14105, 14124.5 and 14126.23, Welfare and Institutions Code; Section 100275, Health and Safety Code; Section 57(c), Chapter 328, Statutes of 1982; and Section 3, Chapter 1381, Statutes of 1990. Reference: Sections 14053, 14132, 14133, 14133.1(c) and 14133.3, Welfare and Institutions Code; Section 447.15, Title 42, Code of Federal Regulations; and Vera Blue, et al., v. Bontá (2002) 99 Cal. App. 4th 980.
HISTORY

1. Amendment of subsections (b) and (c) filed 11-4-76; effective thirtieth day thereafter (Register 76, No. 45). For prior history, see Register 72, No. 31.
2. Amendment of subsection (b) filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22).
3. Amendment of subsection (h) filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
4. Amendment of subsection (a) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
5. Certificate of Compliance transmitted to OAL 12-28-82 and filed 1-21-83 (Register 83, No. 4).
6. Amendment of subsections (b) and (c) filed 11-7-86; effective thirtieth day thereafter (Register 86, No. 45).
7. Change without regulatory effect of NOTE (Register 86, No. 49).
8. Amendment filed 5-25-89; operative 6-24-89 (Register 89, No. 21).
9. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-10-90 order transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
11. Amendment of subsection (b) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
13. Amendment of subsection (b) and Note filed 5-18-94; operative 6-17-94 (Register 94, No. 20).
14. Amendment of subsection (b) filed 8-2-95 as an emergency; operative 8-2-95 (Register 95, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-95 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 8-2-95 order transmitted to OAL 11-22-95 and filed 1-3-96 (Register 96, No. 1).
16. Amendment of subsection (g) and Note filed 4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
17. Editorial correction of History 16 (Register 96, No. 35).
18. Amendment of subsection (g) and Note refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 8-28-96 order transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
20. Amendment filed 6-5-2000 as an emergency; operative 6-5-2000 (Register 2000, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-3-2000 or emergency language will be repealed by operation of law on the following day.
21. Amendment refiled 8-21-2000 as an emergency; operative 10-3-2000 (Register 2000, No. 34). A Certificate of Compliance must be transmitted to OAL by 1-31-2001 or emergency language will be repealed by operation of law on the following day.
22. Amendment of subsection (k) and new subsections (k)(1)-(2) filed 9-22-2000 as an emergency; operative 9-22-2000 (Register 2000, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-22-2001 or emergency language will be repealed by operation of law on the following day.
23. Amendment of subsection (k) and new subsections (k)(1)-(2) refiled 1-23-2001 as an emergency; operative 1-23-2001 (Register 2001, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-23-2001 or emergency language will be repealed by operation of law on the following day.
24. Certificate of Compliance as to 8-21-2000 order, including further amendment of subsections (a), (a)(4)(B), (b)(2), (c)(5)(C), (e)(1) and (h)(2), transmitted to OAL 1-3-2001 and filed 2-5-2001 (Register 2001, No. 6).
25. Certificate of Compliance as to 1-23-2001 order, including amendment of Note, transmitted to OAL 2-7-2001 and filed 3-16-2001 (Register 2001, No. 11).
26. Change without regulatory effect repealing and adopting new subsection (e)(11), repealing subsection (e)(12) and amending Note filed 5-13-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 20).
27. Change without regulatory effect amending section and Note filed 6-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 24).
§51323. Medical Transportation Services.
Note     •     History

(a) Ambulance, litter van and wheelchair van medical transportation services are covered when the beneficiary's medical and physical condition is such that transport by ordinary means of public or private conveyance is medically contraindicated, and transportation is required for the purpose of obtaining needed medical care.
(1) Ambulance services are covered when the patient's medical condition contraindicates the use of other forms of medical transportation.
(2) Litter van services are covered when the patient's medical and physical condition:
(A) Requires that the patient be transported in a prone or supine position, because the patient is incapable of sitting for the period of time needed to transport.
(B) Requires specialized safety equipment over and above that normally available in passenger cars, taxicabs or other forms of public conveyance.
(C) Does not require the specialized services, equipment and personnel provided in an ambulance because the patient is in stable condition and does not need constant observation.
(3) Wheelchair van services are covered when the patient's medical and physical condition:
(A) Renders the patient incapable of sitting in a private vehicle, taxi or other form of public transportation for the period of time needed to transport.
(B) Requires that the patient be transported in a wheelchair or assisted to and from residence, vehicle and place of treatment because of a disabling physical or mental limitation.
(C) Requires specialized safety equipment over and above that normally available in passenger cars, taxicabs or other forms of public conveyance.
(D) Does not require the specialized services, equipment and personnel provided in an ambulance, because the patient is in stable condition and does not need constant observation.
(b) Authorization shall be granted or Medi-Cal reimbursement shall be approved only for the lowest cost type of medical transportation that is adequate for the patient's medical needs, and is available at the time transportation is required.
(1) Emergency medical transportation is covered, without prior authorization, to the nearest facility capable of meeting the medical needs of the patient. Each claim for program reimbursement of emergency medical transportation shall be accompanied by a written statement which will support a finding that an emergency existed. Notwithstanding Section 51056 (b), the statement may be made by the provider of the emergency transportation, describing the circumstances necessitating the emergency service. The statement shall include the name of the person or agency requesting the service, the nature and time of the emergency, the facility to which the patient was transported, relevant clinical information about the patient's condition, why the emergency services rendered were considered to be immediately necessary and the name of the physician accepting responsibility for the patient at the facility.
(2) All nonemergency medical transportation, necessary to obtain program covered services, requires a physician's, dentist's or podiatrist's prescription and prior authorization except as provided in (C).
(A) When the service needed is of such an urgent nature that written authorization could not have reasonably been submitted beforehand, the medical transportation provider may request prior authorization by telephone. Such telephone authorization shall be valid only if confirmed by a written request for authorization.
(B) Transportation shall be authorized only to the nearest facility capable of meeting the patient's medical needs.
(C) Nonemergency transportation services are exempt from prior authorization when provided to a patient being transferred from an acute care hospital immediately following a stay as an inpatient at the acute level of care to a skilled nursing facility or an intermediate care facility licensed pursuant to Section 1250 of the Health and Safety Code.
(c) Medical transportation by air is covered under the following conditions:
(1) For emergencies, only when such transportation is medically necessary as demonstrated by compliance with paragraph (b) (1) and either of the following apply:
(A) The medical condition of the patient precludes other means of medical transportation as indicated in the statement submitted in accordance with paragraph (b) (1).
(B) The patient or the nearest hospital capable of meeting the medical needs of the patient is inaccessible to ground medical transportation, as indicated in the statement submitted in accordance with paragraph (b) (1).
(2) For nonemergencies, only when transportation by air is necessary because of the medical condition of the patient or practical considerations render ground transportation not feasible. The necessity for transportation by air shall be substantiated by content of a written order of a physician, podiatrist or dentist.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Sections 14132 and 14136.3, Welfare and Institutions Code.
HISTORY

1. New subsection (d) filed 7-6-82 as an emergency; effective upon filing (Register 82, No. 28). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-82. For prior history, see Register 82, No. 18.
2. Certificate of Compliance as to 7-6-82 order transmitted to OAL 11-3-82 and filed 12-3-82 (Register 82, No. 49).
3. Amendment of subsection (b) filed 4-11-84; effective thirtieth day thereafter (Register 84, No. 15).
4. Repealer of subsection (d) filed 8-9-85; effective thirtieth day thereafter (Register 85, No. 32).
5. Amendment of subsection (b)(2)(C), designation of portion of subsection (b)(2)(C) as new subsection (b)(2)(C)1. and amendment thereof, new subsections (b)(2)(C)2.-3., and amendment of Note filed 4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of History 5 (Register 96, No. 35).
7. Amendment of subsection (b)(2)(C), designation of portion of subsection (b)(2)(C) as new subsection (b)(2)(C)1. and amendment thereof, new subsections (b)(2)(C)2.-3., and amendment of Note refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of subsection (b)(2)(C)3. (Register 97, No. 11).
9. Certificate of Compliance as to 8-28-96 order transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
10. Change without regulatory effect amending subsection (b)(2)(C), repealing subsections (b)(2)(C)1.-3. and amending Note filed 6-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 24).
§51325. Blood and Blood Derivatives.
Note     •     History

Blood is covered as ordered by a physician or dentist and only upon certification of the blood bank supplying the blood, or the facility where the transfusion is given, that voluntary blood donations cannot be obtained. Blood derivatives are covered as prescribed by a physician or dentist when appropriate to the diagnosis and condition of the beneficiary.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Sections 14132(g) and 14133.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-23-66 as an emergency; effective upon filing; Certificate of Compliance included (Register 66, No. 19).
2. Amendment filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
4. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51326. Nurse Anesthetist Services.
Note     •     History

Nurse anesthetist services are covered when provided by a nurse anesthetist within the scope of his or her licensure.
NOTE

Authority cited: Sections 14105, 14115.3 and 14124.5, Welfare and Institutions Code. Reference: Section 14115.3, Welfare and Institutions Code.
HISTORY

1. New section filed 5-1-75 as an emergency; effective upon filing (Register 75, No. 18).
2. Certificate of Compliance filed 8-19-75 (Register 75, No. 34).
3. Amendment filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
§51327. Inpatient Hospital Services.
Note     •     History

(a) Inpatient hospital services are covered as specified below:
(1) Hospital care for newborns and hospitalization for delivery services are covered as follows:
(A) Inpatient delivery services in hospitals designated as contract hospitals in closed areas or contract/non-contract hospitals in open areas are covered without authorization up to a maximum of two consecutive days prior to delivery, beginning at midnight at the beginning of the day the mother is admitted, if delivery occurs within that two-day period, and without authorization up to a maximum of two consecutive days following vaginal delivery, or four consecutive days following delivery by Cesarean section, beginning at midnight at the end of the day the mother delivers. Continued medically necessary hospitalization beyond two days prior to delivery, beyond two days following vaginal delivery, or beyond four days following delivery by Cesarean section, requires timely submission of a request for authorization, as defined in Section 51003(b)(3), for Medi-Cal field office review. Authorization is required for all days of hospitalization when delivery does not occur within two consecutive days of admission. Hospitals under the onsite authorization procedure shall obtain authorizations not later than the first regularly scheduled review day following admission. Authorizations may be granted for up to a maximum of 30 days. For the purposes of this section, the following definitions shall apply:
1. “Closed areas” means areas in which the proportion of bed capacity under contract between the Department and the contracting hospitals exceeds the hospital bed needs of the Medi-Cal population in that area.
2. “Open areas” means areas in which the proportion of bed capacity under contract between the Department and the contracting hospitals does not exceed the hospital bed needs of the Medi-Cal population in that area.
(B) Hospital care for newborns is covered, subject to the following:
1. Nursery care for well newborns during the same hospital admission associated with the delivery is not separately reimbursable.
2. Nursery care for sick newborns, who do not require neonatal intensive care, but who require an acute level of care during the same hospital admission associated with the delivery, is separately reimbursable under the following circumstances:
a. For contract hospitals reimbursed on a per diem basis, timely submission of a request for authorization for Medi-Cal field office review, as specified in subsection (a)(1)(A), is required for services provided to the newborn beginning with the day of the mother's discharge, or as dictated by the terms of the hospital's contract.
b. For non-contract hospitals, a separate authorization is required commencing with the onset of the newborn's illness, whether or not the mother has been discharged.
3. Nursery care for a newborn whose mother is ineligible for Medi-Cal and has no other medical insurance, or whose mother's health coverage does not include coverage for the newborn, or whose mother is incarcerated, is covered subject to timely submission of a request for authorization for Medi-Cal field office review, as specified in Section 51003(b)(3). Authorization is required for each day of the newborn's hospital stay.
4. Neonatal intensive care is covered, commencing with the onset of the newborn's illness and admission to the Neonatal Intensive Care Unit (NICU), subject to timely submission of a request for authorization for Medi-Cal field office review, as specified in Section 51003(b)(3), or as dictated by the terms of the hospital's contract.
(C) When delivery occurs prior to admission of the mother to the hospital, inpatient care for both the mother and newborn is covered without authorization up to a maximum of 48 hours beginning at midnight at the end of the day the mother delivered. The actual time of vaginal delivery shall be established based upon the mother's statement, records of auxiliary personnel involved in the care/transport of the mother, and clinical assessment by the attending physician.
(D) Emergency inpatient services in hospitals designated as noncontract hospitals in closed areas are covered as specified in section 51327(a)(2).
(2) Emergency hospital services shall not require authorization prior to admission, if hospitalization is for services that meet the definition of emergency services as defined in section 51541(c)(6)(A) and are justified as required in section 51056(c). However, all hospitalization resulting from emergency admissions requires approval by the Medi-Cal Consultant. Approval shall be obtained by the hospital on the day of admission or, when the day of admission is not a State working day, the first State working day thereafter. For those hospitals under the onsite authorization procedure, the first State working day shall mean the first regularly scheduled review day. Authorizations may be granted for up to a maximum of 30 days.
(A) A Medi-Cal beneficiary who is admitted to a noncontract hospital in a closed area for emergency inpatient delivery services shall be transported when stable to a contracting facility for all, or the remainder of, the post-delivery inpatient length of stay specified in subsection (a)(1)(A), unless:
1. A contract facility is unable to accept the transfer.
2. The mother's condition fails to meet the Stable for Transport Guidelines in Section 5.4 of the Manual of Criteria for Medi-Cal Authorization. If the mother's condition does not stabilize during the two consecutive days following vaginal delivery, or four consecutive days following  delivery by Cesarean section, the post delivery length of stay at the noncontract hospital shall be covered, without authorization.
3. A decision for early discharge is made by the treating physician, in consultation with the mother, as specified in subsection (b).
(3) All other hospitalization is covered only if prior authorization is obtained from the Medi-Cal Consultant before the hospital admission is effected. The Medi-Cal Consultant's authorization shall be for a specified number of days of hospital care for the diagnosis specified or the operative procedure contemplated in the authorization request. Nonemergency services for other unrelated diagnoses or operative procedures shall not be covered without additional prior authorization by a Medi-Cal Consultant. Continued necessary hospitalization beyond the specified number of days shall be covered after approval by the Medi-Cal Consultant has been obtained by the hospital on or before the last day of the previously approved period of hospitalization. Hospitals under the onsite authorization procedure shall obtain authorization not later than the first regularly scheduled review day thereafter. Days not prior authorized for admission or for extension of stay are not covered unless otherwise provided for in these regulations.
(A) As a minimum, the authorization request shall contain the admitting diagnosis or operative procedure contemplated and acceptable justification of the hospital admission and the estimated length of hospital stay. The beneficiary's physician, podiatrist or dentist shall certify to the Department at the time of admission, and recertify not less often than every two calendar months where such services are furnished over a period of time, that the beneficiary requires inpatient hospital services.
(B) If a request is approved, the number of days of hospitalization shall be authorized as determined by the Medi-Cal Consultant on the basis of medical information submitted.
(C) Under no circumstances shall any one request for authorization of extensions be approved for more than one month for acute or one year for long-term care.
(D) Claims for nonemergency hospitalization shall be accompanied by an approved preadmission authorization request and an approved extension of hospital stay if the stay extends beyond the period previously authorized.
(4) For long-term care, the attending physician must recertify, at 30, 60, and 90 days after initial certification and every 60 days thereafter, the patient's need for continued care in accordance with the procedures specified by the Director.
(5) Inpatient hospital services, in an institution for mental illness or in the psychiatric service of a general hospital, are covered for persons 65 years of age and over and for persons under 21 years of age. If the person was receiving such services prior to his twenty-first birthday and he continues without interruption to require and receive such services, the services are covered to his twenty-second birthday. Such inpatient services are subject to the limitations specified in (2) and (3) above.
(6) Inpatient hospital services, in an institution for tuberculosis or in the tuberculosis service of a general hospital, are covered for persons 65 years of age or older.
(7) Inpatient general hospital services for persons under 65 years of age with a primary diagnosis of mental illness or tuberculosis are covered. Such inpatient services are subject to the limitations specified in (2), 3, 5 and (6) above.
(b) Following delivery, an early discharge follow up visit for the mother and newborn, within 48 hours of discharge, is covered without authorization when the decision to discharge the mother and newborn before the time periods specified in subsection (a)(1)(A) is made by the treating physician in consultation with the mother. When discussing early discharge with the mother, the treating physician shall disclose the availability of an early discharge follow up visit. If early discharge is determined appropriate, the treating physician and mother shall determine, based on factors such as the transportation needs of the family and environmental and social risks, whether the postdischarge visit shall occur at home, in the treating physician's office, or the plan's facility. The early discharge follow up visit shall:
(1) Be prescribed by the treating physician.
(2) Be with licensed health care providers whose scopes of practice include postpartum care and/or newborn care.
(3) Include, at a minimum, parent education, assistance and training in breast or bottle feeding, and the performance of any necessary maternal or neonatal physical assessments.
(c) The following inpatient hospital services are not covered:
(1) Services in an institution for mental illness for persons 21 through 64 years of age except as specified in (a)(5) above.
(2) Services in an institution for tuberculosis for persons under 65 years of age.
(3) Inpatient hospital services provided by a hospital which has been designated as noncontracting in accordance with section 51541(c) except for the following:
(A) Emergency services and subsequent inpatient services, in accordance with section 51541 (c)(6)(A), until the patient's condition meets the definition of stable for transport, as defined in section 51110(c).
(B) Services to a beneficiary who is an inpatient and whose condition meets the definition of stable for transport as defined in section 51110(c) providing the following conditions are met:
1. A hospital designated as contracting with capacity to provide the necessary care is unavailable and this finding has been appropriately justified, and
2.The patient, whose condition is stable, continues to require acute level of care, and
3. Discharge of the patient, whose condition is stable, from acute level of care would be life threatening or could result in permanent impairment.
(C) Services to a beneficiary who is eligible for Medicare benefits providing the conditions of section 51005 have been met.
(D) Services to a Medicare Part A crossover patient subsequent to the exhaustion of Medicare inpatient benefits as along as the beneficiary is in a life threatening or emergency situation which could result in permanent impairment, until the patient's condition meets the definition of stable for transport, as defined in section 51110(c).
(E) Services to beneficiaries where the travel time from a beneficiary's home to a contract hospital, exceeds the normal practice for the community or 30 minutes, whichever is greater, and the noncontracting hospital providing services is closer to the beneficiary's home than a contracting hospital.
(F) Services to a beneficiary when retroactive authorization has been granted in accordance with section 51003(b).
(d) There shall also be a periodic medical review (not less than annually) of all beneficiaries in mental hospitals by a Medical Review Team as defined in section 50009.2.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; Section 57(c), Chapter 328, and Section 87(c), Chapter 1594, Statutes of 1982. Reference: Sections 14019, 14081, 14087, 14132, 14132.42, 14133 and 14133.3, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 7-1-75 as an emergency; effective upon filing (Register 75, No. 27). For prior history, see Register 74, No. 3.
2. Certificate of Compliance filed 10-24-75 (Register 75, No. 43).
3. Amendment of subsection (a) filed 10-24-75; effective thirtieth day thereafter (Register 75, No. 43).
4. Amendment filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
5. Amendment of subsections (a)(1) and (a)(2) filed 3-30-81; effective thirtieth day thereafter (Register 81, No. 14).
6. Amendment of subsection (a) filed 9-11-81; effective thirtieth day thereafter (Register 81, No. 37).
7. Amendment of subsection (a)(1) and (2), and new subsection (b)(3) filed 2-3-83 as an emergency; effective upon filing (Register 83, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-3-83.
8. Certificate of Compliance transmitted to OAL 6-3-83 and filed 7-6-83 (Register No. 28).
9. Amendment filed 6-26-87; operative 7-26-87 (Register 87, No. 27).
10. Amendment of subsection (a)(1)(A) filed 7-12-89; operative 8-11-89 (Register 89, No. 28).
11. Amendment of subsection (a)(1)(A) filed 8-1-91; operative 9-2-91 (Register 91, No. 48).
12. Amendment of section and Note filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 3-13-2000 order transmitted to OAL 7-5-2000 and filed 8-14-2000 (Register 2000, No. 33).
§51328. Outpatient Heroin Detoxification Services.
Note     •     History

(a) Routine elective heroin detoxification services are covered, subject to prior authorization, only as an outpatient service. Outpatient services are limited to a maximum period of 21 days. Inpatient hospital services shall be limited to patients with serious medical complications of addiction or to patients with associated medical problems which require inpatient treatment. Hospital admission is subject to the provisions of 51327 (a).
(b) A new course of outpatient heroin detoxification treatment shall not be covered until at least 28 days have elapsed since the completion of an immediately preceding course of treatment. New courses of outpatient heroin detoxification treatment by the same provider which are started in the period between the 29th through the 90th days following completion of an immediately preceding course of treatment shall be reimbursed at the rates listed under Section 51533 (a) (2) and (3). The daily rate listed under Section 51533 (a) (1) shall not be billed by the same provider or separately by a physician employee of that provider until 90 days have elapsed. The patient may be considered a new patient for reimbursement purposes after 90 days following the completion of the immediately preceding course of heroin detoxification.
(c) The patient may be considered a new patient for reimbursement purposes by a new provider for heroin detoxification services started in the period between the 29th through the 90th days following completion of an immediately preceding course of heroin detoxification services only if the fact of the preceding course is denied or misrepresented by the patient. Otherwise reimbursement shall be according to Section (b).
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14131, 14132, 14133 and 14133.25, Welfare and Institutions Code.
HISTORY

1. New section filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment of subsection (a) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
3. Certificate of Compliance transmitted to OAL 12-28-82 and withdrawn 1-27-83 (Register 83, No. 5).
4. Amendment of subsection (a) refiled 1-27-83 as an emergency; effective upon filing (Register 83, No. 5). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-27-83.
5. Certificate of Compliance transmitted to OAL 5-26-83 and filed 6-30-83 (Register 83, No. 27).
6. Change without regulatory effect of NOTE (Register 86, No. 49).
§51329. Rehabilitation Center Services.
History

HISTORY

1. Amendment filed 3-20-70; designated effective 4-20-70 (Register 70, No. 21). For prior history, see Register 68, No. 21.
2. Amendment filed 1-22-71; designated effective 3-1-71 (Register 71, No. 4).
3. Repealer filed 12-24-71, as an emergency; effective upon filing (Register 71, No. 52).
4. Certificate of Compliance filed 4-19-72 (Register 72, No. 18).
§51330. Chronic Hemodialysis.
Note     •     History

(a) Chronic hemodialysis is covered only as an outpatient service. Prior authorization may be granted for dialysis, physician services, medical supplies, equipment and drugs required for dialysis services, when provided by renal dialysis centers or community hemodialysis units.
(b) Authorization for outpatient chronic hemodialysis may be granted for up to 12 months at any one time.
(c) The following information shall be provided on or attached to the authorization request form for home dialysis or training:
(1) Evidence that the beneficiary, the beneficiary's spouse, or other co-learner is suitable for training in home dialysis.
(2) Evidence establishing the suitability of the home facilities for dialysis.
(3) Evidence that the overall installation costs in the home are reasonable and in no event exceed $750.00.
(4) Evidence that the water supply in the home is suitable for renal dialysis.
(5) Evidence of the availability of a qualified local physician to be responsible for the ongoing medical supervision of the beneficiary.
(6) The plan for continuing case management.
(7) A budget for all expenses related to home dialysis, including supplies prorated on a monthly cost basis.
(d) Reauthorization for a patient on chronic hemodialysis is required at least every 12 months. Reauthorization requests shall be submitted at least one month prior to expiration of the current authorization period.
(e) Inpatient hospitalization for persons undergoing chronic hemodialysis shall be in accordance with the provisions of Section 51327.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Sections 14133, 14133.1 and 14133.3, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a) and (b) and new subsection (e) filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40). For prior history, see Register 72, No. 5.
2. Amendment of subsection (e) filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
3. Amendment of subsections (b) and (c) filed 8-31-79; effective thirtieth day thereafter (Register 79, No. 35).
4. Change without regulatory effect of NOTE (Register 86, No. 49).
§51330.1. Renal Homotransplantation.
Note     •     History

Renal homotransplantation is covered only when performed in a hospital which meets the standards established by the Department for renal homotransplantation centers.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Sections 14133 and 14133.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
4. Amendment filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3).
5. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51331. Hospital Outpatient Department Services and Organized Outpatient Clinic Services.
Note     •     History

(a) Hospital outpatient department services and organized outpatient clinic services are covered to the extent listed:
(1) Physician
(2) Optometric
(3) Psychology
(4) Podiatric
(5) Physical therapy
(6) Occupational therapy
(7) Speech pathology
(8) Audiology
(9) Acupuncture
(10) Dental
(11) Laboratory and X-ray
(12) Blood and blood derivatives
(13) Chronic hemodialysis
(14) Hearing aids
(15) Prosthetic and orthotic appliances
(16) Durable medical equipment
(17) Medical supplies
(18) Prescribed drugs
(19) Use of an emergency, examining, or treatment room or other hospital facilities included in Section 51509(g), when required for the provision of a covered physician's service.
(20) Adult Day Health Care
(b) Physician services in a hospital outpatient department or clinic are subject to the requirements of Sections 51305 through 51305.7. Services indicated in (3) and (6) through (8) above are subject to the limitations specified in Section 51304(a). Podiatry services, except as otherwise specified in Section 51310(a)(1), and physical therapy services are covered only if prior authorization is obtained from the Medi-Cal consultant. The services set forth above are subject to the same limitations that apply when such services are provided in a nonhospital or nonclinic setting.
(c) Organized outpatient clinic services shall be covered only for services provided to outpatients at the clinic site. Medical staff of organized outpatient clinics who wish to provide and be reimbursed for ongoing care to a clinic patient who has been admitted to a health facility, or who is confined to his or her residence must obtain and use individual or group physician provider numbers. They must also separately bill the program for these out-of-clinic services utilizing their individual provider numbers with the appropriate place of service indicated.
(d) Drugs dispensed by a licensed nonprofit community or free clinic for use at home shall be covered only if the clinic has obtained a permit pursuant to Business and Professions Code Section 4063 et seq. All drugs dispensed to Medi-Cal patients by clinics with special permits shall be subject to the provisions of Sections 51313 and 51313.3 as applicable.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; Section 57(c), Chapter 328, Statutes of 1982; and Section 208, Health and Safety Code. Reference: Sections 14053, 14131, 14132, 14133, 14133.1, 14133.3 and 14133.25, Welfare and Institutions Code; Section 52, Chapter 328, Statutes of 1982;  Section 149, Chapter 323, Statutes of 1983; and Section 4063, Business and Professions Code.
HISTORY

1. Amendment filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 72, No. 18.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. New subsection (a)(19) filed 6-28-78 as an emergency; designated effective 7-1-78 (Register 78, No. 26).
4. Amendment filed 9-4-80; effective thirtieth day thereafter (Register 80, No. 36).
5. Amendment of subsection (a) filed 4-30-81; effective thirtieth day thereafter (Register 81, No. 18).
6. Amendment of subsection (b) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
7. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
8. New subsection (c) filed 9-10-86; effective thirtieth day thereafter (Register 86, No. 37).
9. Change without regulatory effect of NOTE (Register 86, No. 49).
10. New subsection (d) and amendment of Note filed 1-6-94; operative 2-7-94 (Register 94, No. 1).
§51331.5. Rural Health Clinic Services.
Note     •     History

The following services are covered as rural health clinic services when provided by a rural health clinic in accordance with the requirements of this chapter:
(a) Physicians services.
(b) Primary care services when provided by a nonphysician medical practitioner.
(c) Services and supplies incident to the services provided under (a) and (b).
(d) Home nursing services, in those areas designated by the Secretary, Department of Health and Human Services as having a shortage of Home Health Agencies when provided in accordance with the following:
(1) The services are furnished by a registered nurse or licensed vocational nurse who is compensated by the clinic.
(2) The services are furnished to a homebound patient.
(3) The services are furnished in accordance with a written treatment plan established by a physician or nonphysician medical practitioner.
(4) The treatment plan is approved and subsequently reviewed at least every 60 days by the supervising physician employed by the clinic.
(5) The services do not include the preparation of meals, housecleaning, or other nonmedical services not covered by this chapter.
(6) The services are documented in accordance with standards specified in Title 22, California Administrative Code, Sections 75054 and 75056 regarding clinical and administrative record keeping.
(7) The services are provided on a part-time or intermittent basis unless provided to patients who are approved in advance by the Department for in-home medical care which is described in Section 14132(t) of the Welfare and Institutions Code. If patients are approved for in-home medical care, services can be provided on any Department approved basis.
(e) Any other outpatient services, supplies, equipment and drugs.
NOTE

Authority cited: Sections 10725, 14100.1, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14100.1, 14105, 14124.5 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance transmitted to OAH 11-28-78 and filed 11-29-78 (Register 78, No. 48).
3. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
§51332. Organized Outpatient Clinic Services.
History

HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Repealer filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
3. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
§51333. Other Organized Outpatient Services.
History

HISTORY

1. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40). For prior history, see Register 67, No. 52.
2. Certificate of Compliance--Section 11422.5, Gov. Code, filed 1-25-72 (Register 72, No. 5).
§51334. Intermediate Care Services.
Note     •     History

Intermediate care services are covered subject to the following:
(a) Intermediate care services are covered only after prior authorization has been obtained from the designated Medi-Cal consultant for the district where the facility is located. The authorization request shall be initiated by the facility. The attending physician shall sign the authorization request and shall certify to the Department that the beneficiary requires this level of care.
(1) An initial treatment authorization request shall be processed for each admission.
(2) An initial authorization may be granted for up to one year from the date of admission.
(b) The request for reauthorization must be received by the appropriate Medi-Cal consultant on or before the first working day following the expiration of a current authorization. When the request is received by the Medi-Cal consultant later than the first working day after the previously authorized period has expired, one day of authorization shall be denied for each day the reauthorization request is late. Reauthorizations may be granted for up to six months.
(c) The Medi-Cal consultant shall deny any authorization request, reauthorization request, or shall cancel any authorization in effect when services or placement are not appropriate to the health needs of the patient. In the case of denial of a reauthorization request or cancellation of authorization, the beneficiary shall be notified in writing of the Department's decision, to deny ongoing services; the provider will be notified simultaneously. If the beneficiary does not agree with the Department's decision, the beneficiary has the right to request a fair hearing pursuant to section 51014.1 herein. If the beneficiary requests a fair hearing within ten days of the date of the notice, the Department will institute aid paid pending the hearing decision pursuant to section 51014.2 herein.
(d) The attending physician must recertify, at least every 60 days, the patient's need for continued care in accordance with the procedures specified by the Director. The attending physician must comply with this requirement prior to the 60-day period for which the patient is being recertified. The facility must present proof of this recertification at the time of billing for services rendered.
(e) Prior to the transfer of a beneficiary between facilities, a new initial Treatment Authorization Request shall be initiated by the receiving facility and signed by the attending physician. No transfer shall be made unless approved in advance by the Medi-Cal consultant for the district where the receiving facility is located.
(f) Medi-Cal beneficiaries in the facility shall be visited by their attending physicians no less often than every 60 days. An alternative schedule of visits may be proposed subject to approval by the Medi-Cal consultant. At no time, however, shall an alternative schedule of visits result in more than three months elapsing between physician visits.
(g) There shall be a periodic medical review, not less often than annually, of all beneficiaries receiving intermediate care services by a Medical Review Team as defined in section 50028.2.
(h) Leave of absence from intermediate care facilities is reimbursed in accordance with section 51535 and is covered for the maximum number of days per calendar year as indicated below:
(1) Developmentally disabled patients: 73 days.
(2) Patients in a certified special treatment program for mentally disordered persons, or patients in a mental health therapeutic and rehabilitative program approved and certified by a local mental health director: 30 days.
(3) All other patients: 18 days. Up to 12 additional days of leave per year may be approved in increments of no more than three consecutive days when the following conditions are met:
(A) The request for additional days of leave shall be in accordance with the individual patient care plan and appropriate to the physical and mental well-being of the patient.
(B) At least five days inpatient care must be provided between each approved leave of absence.
(i) Special program services for the mentally disordered (as defined in chapter 4, division 5, title 22 of the California Administrative Code) provided in intermediate care facilities are covered when prior authorization has been granted by the Department for such services. Payment for these services shall be made in accordance with section 51511.1.
(j) A need for a special services program for the mentally disordered is not sufficient justification for a beneficiary to be placed in an intermediate care facility. All beneficiaries admitted to intermediate care facilities must meet the criteria found in paragraph (k) of this section.
(k) A need for a special services program for the developmentally disabled or mentally disordered is not sufficient justification for a beneficiary to be placed in an intermediate care facility. All beneficiaries admitted to intermediate care facilities must meet the criteria found in paragraph (l) of this section.
(l) In order to qualify for intermediate care services, a patient shall have a medical condition which needs an out-of-home protective living arrangement with 24-hour supervision and skilled nursing care or observation on an ongoing intermittent basis to abate health deterioration. Intermediate care services emphasize care aimed at preventing or delaying acute episodes of physical or mental illness and encouragement of individual patient independence to the extent of his ability. As a guide in determining the need for intermediate care services, the following factors may assist in determining appropriate placement:
(1) The complexity of the patient's medical problems is such that he requires skilled nursing care or observation on an ongoing intermittent basis and 24-hour supervision to meet his health needs.
(2) Medications may be mainly supportive or stabilizing but still require professional nurse observation for response and effect on an intermittent basis. Patients on daily injectable medications or regular doses of PRN narcotics may not qualify.
(3) Diet may be of a special type, but patient needs little or no assistance in feeding himself.
(4) The patient may require minor assistance or supervision in personal care, such as in bathing or dressing.
(5) The patient may need encouragement in restorative measures for increasing and strengthening his functional capacity to work toward greater independence.
(6) The patient may have some degree of vision, hearing or sensory loss.
(7) The patient may have some limitation in movement, but must be ambulatory with or without an assistive device such as a cane, walker, crutches, prosthesis, wheelchair, etc.
(8) The patient may need some supervision or assistance in transferring to a wheelchair, but must be able to ambulate the chair independently.
(9) The patient may be occasionally incontinent of urine; however, patient who is incontinent of bowels or totally incontinent of urine may qualify for intermediate care service when the patient has been taught and can care for himself.
(10) The patient may exhibit some mild confusion or depression; however, his behavior must be stabilized to such an extent that it poses no threat to himself or others.
NOTE

Authority cited: Sections 10725, 14105, 14108, 14108.1 and 14124.5, Welfare and Institutions Code. Reference: Sections 10725, 14105, 14108, 14108.1, 14108.2, 14124.5 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 11-19-76 as an emergency; effective upon filing (Register 76, No. 47). For prior history, see Register 75, No. 46.
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment of subsections (i) and (j) filed 3-2-79; effective thirtieth day thereafter (Register 79, No. 9).
4. Amendment of subsection (h) filed 9-20-79 as an emergency; designated effective 9-20-79 (Register 79, No. 38). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 1-18-80.
5. Certificate of Compliance filed 11-29-79 (Register 79, No. 48).
6. Amendment of subsection (h) filed 4-7-83; effective thirtieth day thereafter (Register 83, No. 15).
7. Amendment of subsection (h)(3) filed 2-9-84; designated effective 3-1-84 pursuant to Government Code section 11346.2(d) (Register 84, No. 6).
8. Amendment of subsection (c) filed 10-26-90 as an emergency; operative 10-26-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 2-25-91 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 10-26-90 order transmitted to OAL 2-22-91 and filed 3-25-91 (Register 91, No. 15).
§51335. Skilled Nursing Facility Services.
Note     •     History

Skilled nursing facility services necessary for the treatment of illness or injury, are covered subject to the following:
(a) Skilled nursing facility services are covered only after prior authorization has been obtained from the designated Medi-Cal consultant for the district where the skilled nursing facility is located. The authorization request shall be initiated by the facility and shall be signed by the attending physician.
(b) An initial Treatment Authorization Request shall be required for each admission.
(1) An initial authorization may be granted for periods up to one year from the date of admission.
(2) An approved initial Treatment Authorization Request shall be required prior to the transfer of a beneficiary between skilled nursing facilities.
(3) For Medicare/Medi-Cal covered services (crossover services) a request for authorization shall be received by the Medi-Cal consultant's office on or before the 20th calendar day of skilled nursing facility care. Medi-Cal shall not pay coinsurance for skilled nursing facility care unless an authorization request has been approved covering the 21st and subsequent days of skilled nursing facility care. When the authorization request is received by the Medi-Cal consultant's office after the 20th day of skilled nursing facility care, one day of coinsurance authorization shall be denied for each day the request is late.
(c) A request for reauthorization must be received by the appropriate Medi-Cal consultant on or before the first working day following the expiration of a current authorization. When the request is received by the Medi-Cal consultant later than the first working day after the previously authorized period, one day of authorization shall be denied for each day the request is late.
(1) Reauthorizations may be granted for periods up to one year.
(d) The Medi-Cal consultant shall deny an authorization request or reauthorization request or shall cancel any authorization or reauthorization in effect when services or placement are not appropriate to the needs of the patient (beneficiary).
(1) Where the reauthorization request is denied or an existing authorization is cancelled, the beneficiary shall be notified in writing of the Department's decision to deny ongoing services; the provider will be notified simultaneously. If the beneficiary does not agree with the Department's decision, the beneficiary has the right to request a fair hearing pursuant to section 51014.1 herein. If the beneficiary requests a fair hearing within ten days of the date of the notice, the Department will institute aid paid pending the hearing decision pursuant to section 51014.2 herein. 
(2) Medi-Cal consultants shall deny any initial authorization request if the skilled nursing facility is not participating in Medicare as a skilled nursing facility and the patient is qualified for skilled nursing facility care. Medicare benefits shall be utilized to their fullest extent; failure to utilize such benefits shall result in denial of Medi-Cal benefits under this section for the same period of time Medicare benefits would have been available. Exception to this rule may be made:
(A) When skilled nursing facility benefits are known to have been exhausted.
(B) When Medicare rejects skilled nursing facility level of care and the Medi-Cal consultant determines the medical necessity for skilled nursing facility care.
(C) When it can be determined that there are no skilled nursing facility care beds available in or near the community.
(e) The attending physician must recertify, at least every 60 days, the patient's need for continued care in accordance with the procedures specified by the Director. The attending physician must comply with this requirement prior to the start of the 60-day period of stay for which the patient is being recertified. The facility must present proof of this recertification at the time of billing for services rendered.
(f) Medi-Cal beneficiaries in the facility shall be visited by their attending physician no less often than once every 30 days for the first 90 days following admission. Subsequent to the 90th day, an alternative schedule of visits may be proposed, subject to approval by the Medi-Cal consultant. At no time, however, shall an alternative schedule of visits result in more than 60 days elapsing between physician visits.
(g) Services are not covered unless provided on the signed order of the physician responsible for the care of the patient.
(h) There shall be a periodic medical review, not less often than annually, of all beneficiaries receiving skilled nursing facility services by a medical review team as defined in section 50028.2.
(i) Leave of absence from skilled nursing facilities is reimbursed in accordance with section 51535 and is covered for the maximum number of days per calendar year as indicated below:
(1) Developmentally disabled patients: 73 days.
(2) Patients in a certified special treatment program for mentally disordered persons, or patients in a mental health therapeutic program approved and certified by a local mental health director: 30 days.
(3) All other patients: 18 days. Up to 12 additional days of leave per year may be approved in increments of no more than two consecutive days when the following conditions are met:
(A) The request for additional days of leave shall be in accordance with the individual patient care plan and appropriate to the physical and mental well-being of the patient.
(B) At least five days inpatient care must be provided between each approved leave of absence.
(j) In order to qualify for skilled nursing facility services, a patient shall have a medical condition which needs visits by a physician at least every 60 days and constantly available skilled nursing services. The following criteria together with the provisions of section 51124, will assist in determining appropriate placement:
(1) Need for patient observation, evaluation of treatment plans, and updating of medical orders by the responsible physician;
(2) Need for constantly available skilled nursing services. A patient may qualify for nursing home services if the patient has one or more of the following conditions:
(A) A condition which needs therapeutic procedures. A condition such as the following may weigh in favor of nursing home placement.
1. Dressing of postsurgical wounds, decubiti, leg ulcers, etc. The severity of the lesions and the frequency of dressings will be determining factors in evaluating whether they require nursing home care.
2. Tracheostomy care, nasal catheter maintenance.
3. Indwelling catheter in conjunction with other conditions. Its presence without a requirement for other skilled nursing care is not a sufficient criterion for nursing home placement.
4. Gastrostomy feeding or other tube feeding.
5. Colostomy care for initial or debilitated patients. Facilities shall be required to instruct in self-care, where such is feasible for the patient. Colostomy care alone should not be a reason for continuing nursing home placement.
6. Bladder and bowel training for incontinent patients.
(B) A condition which needs patient skilled nursing observation. Patients whose medical condition requires continuous skilled nursing observation of the following may be in a nursing home dependent on the severity of the condition. Observation must, however, be needed at frequent intervals throughout the 24 hours to warrant care in a nursing home:
1. Regular observation of blood pressure, pulse, and respiration is indicated by the diagnosis or medication and ordered by the attending physician.
2. Regular observation of skin for conditions such as decubiti, edema, color, and turgor.
3. Careful measurement of intake and output is indicated by the diagnosis or medication and ordered by the attending physician.
(C) The patient needs medications which cannot be self-administered and requires skilled nursing services for administration of the medications. Nursing home placement may be necessary for reasons such as the following:
1. Injections administered during more than one nursing shift. If this is the only reason for nursing home placement, consideration should be given to other therapeutic approaches, or the possibility of teaching the patient or a family member to give the injections.
2. Medications prescribed on an as needed basis. This will depend on the nature of the drug and the condition being treated and frequency of need as documented. Many medications are now self-administered on an PRN basis in residential care facilities.
3. Use of restricted or dangerous drugs, if required more than during the daytime, requiring close nursing supervision.
4. Use of new medications requiring close observation during initial stabilization for selected patients. Depending upon the circumstances, such patients may also be candidates for intermediate care facilities.
(D) A physical or mental functional limitation.
1. Physical limitations. The physical functional incapacity of certain patients may exceed the patient care capability of intermediate care facilities.
a. Bedfast patients.
b. Quadriplegics, or other severe paralysis cases. Severe quadriplegics may require such demanding attention (skin care, personal assistance, respiratory embarrassment) as to justify placement in nursing homes.
c. Patients who are unable to feed themselves.
2. Mental limitations. Persons with a primary diagnosis of mental illness (including mental retardation), when such patients are severely incapacitated by mental illness or mental retardation.
The following criteria are used when considering the type of facility most suitable for the mentally ill and mentally retarded person where care is related to his mental condition.
a. The severity of unpredictability of the patient's behavior or emotional state.
b. The intensity of the care, treatment, services, or skilled observation that his condition requires and,
c. The physical environment of the facility, its equipment, and the qualifications of staff and,
d. The impact of the particular patient on other patients under care in the facility.
(3) The general criteria identified above are not intended to be either all-inclusive or mutually exclusive. In practice, they should be applied as a total package in evaluation of an approved admission.
(k) Special program services for the mentally disordered (as defined in chapter 3, division 5, title 22) provided in skilled nursing facilities are covered when prior authorization has been granted by the Department for such services. Payment for these services will be made in accordance with Section 51511.1.
(l) A need for a special services program for the mentally disordered is not sufficient justification for a beneficiary to be placed in a skilled nursing facility. All beneficiaries admitted to skilled nursing facilities must meet the criteria found in paragraph (i) of this section.
(m) A need for a special services program for the developmentally disabled or mentally disordered is not sufficient justification for a beneficiary to be placed in a skilled nursing facility. All beneficiaries admitted to skilled nursing facilities must meet the criteria found in paragraph (j) of this section.
(n) The placement criteria established in Section 14091.21 of the Welfare and Institutions Code must be met except in either of the following circumstances:
(1) The beneficiary's physician and the discharge planner determine that the beneficiary requires short-term nursing facility care for postsurgical, rehabilitation, or therapy services which are curative rather than palliative in nature; or
(2) The beneficiary's attending physician certifies in the medical record that transfer to a freestanding nursing facility would cause specific physical or psychological harm to the beneficiary.
NOTE

Authority cited: Sections 10725, 14105, 14108, 14108.1 and 14124.5, Welfare and Institutions Code. Reference: Sections 10725, 14091.21, 14105, 14108, 14108.1, 14108.2, 14124.5 and 14132, Welfare and Institutions Code; Hudman v Kizer, Sacramento County Superior Court Case No. 362172, and Laguna Honda Hospital and Rehabilitation Center of the City and County of San Francisco v Kizer, U.S. District Court, EDCA, No. CIV-S90-1239 MLS EM.
HISTORY

1. Amendment filed 11-19-76 as an emergency; effective upon filing (Register 76, No. 47). For prior history, see Register 75, No. 46.
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment of subsections (k) and (l) filed 3-2-79; effective thirtieth day thereafter (Register 79, No. 9).
4. Amendment of subsection (i) filed 9-20-79 as an emergency; designated effective 9-20-79 (Register 79, No. 38). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 1-18-80.
5. Certificate of Compliance filed 11-29-79 (Register 79, No. 48).
6. Amendment of subsection (i) filed 4-7-83; effective thirtieth day thereafter (Register 83, No. 15).
7. Amendment of subsection (i)(3) filed 2-9-84; designated effective 3-1-84 (Register 84, No. 6).
8. Amendment of subsection (d)(1) filed 10-26-90 as an emergency; operative 10-26-90 (Register 90, No. 50). A Certificate of Compliance must be transmitted to OAL by 2-25-91 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (a) and (b) filed 11-26-90 as an emergency; operative 11-26-90 (Register 91, No. 3). A Certificate of Compliance must be transmitted to OAL by 3-26-91 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 10-26-90 order transmitted to OAL 2-22-91 and filed 3-25-91 (Register 91, No. 15).
11. Amendment filed 4-2-91 as an emergency; operative 4-2-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-31-91 or emergency language will be repealed by operation of law on the following day.
12. Amendment refiled 8-8-91 as an emergency; operative 8-8-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 12-6-91 or emergency language will be repealed by operation of law on the following day.
13. Amendment refiled 12-2-91 as an emergency; operative 12-6-91 (Register 92, No. 10). A Certificate of Compliance must be transmitted to OAL 4-6-92 or emergency language will be repealed by operation of law on the following day.
14. Amendment refiled 4-13-92 as an emergency; operative 4-13-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-12-92 or emergency language will be repealed by operation of law on the following day.
15. Editorial correction of printing error restoring inadvertently omitted subsection (a)(2) (Register 92, No. 28).
16. Amendments, including additional amendments to subsections (a)(3)(C)(2) and (a)(5), refiled 7-2-92 as an emergency; operative 8-11-92 (Register 92, No. 28). A Certificate of Compliance must be transmitted to OAL by 10-30-92 or emergency language will be repealed by operation of law on the following day.
17. Reinstatement of section as it existed prior to emergency amendment filed 4-2-91 by operation of Government Code section 11346.1(g) (Register 93, No. 4).
18. Editorial correction of printing error restoring inadvertently omitted Note (Register 93, No. 33).
19. Amendment of subsection (d) and Note and new subsections (n)-(n)(2) filed 6-9-94 as an emergency; operative 6-9-94. Exempt from OAL review, approval and repeal and shall remain in effect until revised or replaced per Statutes of 1992, Chapter 722, Section 147 (Register 94, No. 23).
§51335.1. Transitional Inpatient Care Services.
Note     •     History

NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105.981 and 14132.22, Welfare and Institutions Code.
HISTORY

1. New section filed 4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsection (c), Note, and History 1 (Register 96, No. 35).
3. New section refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-28-96 order, including amendment of section, transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
5. Change without regulatory effect repealing section filed 6-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 24).
§51335.5. Subacute Care Services.
Note     •     History

(a) Subacute care services are a type of skilled nursing facility service which is provided by a subacute care unit which meets the requirements of Sections 51215.5 and 51215.6.
(b) Subacute care services provided in the subacute care unit are covered pursuant to the requirements specified in Sections 51124.5 and 51335(a) through (e) except for (b)(1) and (c)(1).
(c) A Treatment Authorization Request shall be required for each admission to a subacute unit caring for adult patients, and may be granted for a period of up to six months and reauthorized for a period of up to six months.
(d) Medi-Cal beneficiaries at the subacute level of care in the facility shall be visited by their attending physician as provided for in the Manual of Criteria for Medi-Cal Authorization--Subacute Level of Care Criteria, referenced in Title 22, California Code of Regulations, Section 51003(e).
(e) Services to subacute patients shall be covered only on the signed order of the physician responsible for the care of the patient.
(f) Subacute bedhold will be authorized during acute hospitalization of a Medi-Cal beneficiary in accordance with Section 51535.1.
(g) Leave of absence for a Medi-Cal beneficiary at the subacute level of care will be authorized in accordance with Section 51535.
(h) A medical review of all beneficiaries receiving subacute care services shall be performed by a medical review team.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14114 and 14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 6-3-86 as an emergency; effective upon filing (Register 86, No. 23). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-1-86.
2. Section refiled 11-3-86 as an emergency; effective 10-1-86 (Register 86, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-29-87.
3. Certificate of Compliance including amendment filed 1-20-87 (Register 87, No. 4).
4. Amendment of subsection (e), repealer of subsection (i) and relettering of former subsection (j) to subsection (i) filed 10-27-88 as an emergency; operative 10-27-88 (Register 88, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-89.
5. Certificate of Compliance transmitted to OAL 2-24-89 and filed 3-27-89 (Register 89, No. 13).
6. Amendment of subsections (c), (d), (h) and Note filed 4-13-94; operative 4-1-94. Emergency amendment submitted to OAL for printing only pursuant to section 4, AB 36 (chapter 1030, Statutes of 1993) (Register 94, No. 15).
7. Certificate of Compliance as to 4-13-94 order including amendment of section transmitted to OAL 9-26-94 and filed 10-20-94 (Register 94, No. 42).
8. Editorial correction of History 6 and 7 (Register 95, No. 14).
§51335.6. Pediatric Subacute Care Services.
Note     •     History

(a) Pediatric subacute care services are a type of skilled nursing facility service, provided in a pediatric subacute care unit which meets the requirements of Sections 51215.6, 51215.8, 51215.9, 51215.10 and 51215.11.
(b) Pediatric subacute care services provided in a pediatric subacute unit in a licensed skilled nursing facility are covered pursuant to the requirements specified in Sections 51124.6 and 51335(a) through (e) and (g) excepting (b)(1), (c)(1), (f), (h), (j), (k), (l), and (m).
(c) A Treatment Authorization Request shall be required for each admission to a subacute unit caring for pediatric patients, and may be granted for a period of up to six months and reauthorized for a period of up to six months. A separate Treatment Authorization Request shall be required for supplemental rehabilitation therapy services as provided for in Section 51215.10(i) through (m), and for ventilator weaning, as provided for in Section 51215.11. Authorization requests shall be initiated by the facility.
(d) Pediatric subacute bedhold days will be authorized in accordance with Section 51535.1.
(e) Leave of absence for a Medi-Cal beneficiary in the pediatric subacute unit will be authorized in accordance with Section 51535.
(f) Pediatric subacute services shall be covered only when care is provided in the pediatric subacute unit of the nursing facility.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section  14132.25, Welfare and Institutions Code.
HISTORY

1. New section filed 4-13-94 as an emergency; operative 4-1-94. Emergency adoption submitted to OAL for printing only pursuant to section 4, AB 36 (chapter 1030, Statutes of 1993) (Register 94, No. 15).
2. Certificate of Compliance as to 4-13-94 order including amendment of section transmitted to OAL 9-26-94 and filed 10-20-94 (Register 94, No. 42).
3. Editorial correction of History 1 and 2 (Register 95, No. 14).
4. Amendment of subsections (a) and (c)  and Note filed 6-30-97 as an emergency; operative 6-30-97 (Register 97, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-30-97 order transmitted to OAL 10-22-97 and filed 11-26-97 (Register 97, No. 48).
§51336. Specialized Rehabilitative Services in Skilled Nursing Facilities and Intermediate Care Facilities.
Note     •     History

(a) Specialized rehabilitative services shall be covered in accordance with the standards of medical necessity as set forth in Section 51303(a). Such service shall include the medically necessary continuation of treatment services initiated in the hospital or short term intensive therapy expected to produce recovery of function leading to either (1) a sustained higher level of self care and discharge to home or (2) a lower level of care. Specialized rehabilitation service shall be covered contingent upon compliance with the following requirements:
(1) The services shall be ordered by the beneficiary's attending physician. The physician's signed order, specifying the care to be given, shall be on the beneficiary's chart. A copy of the order shall be made available for departmental review upon request;
(2) The services require prior authorization by the Medi-Cal consultant for the district in which the facility is located. The authorization request may be initiated by the therapist;
(3) The authorization request shall be accompanied by a treatment plan, signed by the attending physician, which shall include the following:
(A) Principal and significant diagnoses;
(B) Prognosis;
(C) Date of onset of illness or injury;
(D) Specific type, number, and frequency of services to be performed by each discipline;
(E) Therapeutic goals of the service provided by each discipline and anticipated duration of treatment;
(F) Extent of and benefits or improvements demonstrated by any previous provision of physical therapy, occupational therapy, speech pathology or audiology services;
(4) Authorization for rehabilitative services shall be contingent upon compliance with the following requirements:
(A) The direct and specific relationship of the services to the written treatment plan prescribed by the physician after necessary consultation with the qualified physical therapist, occupational therapist, speech pathologist or audiologist;
(B) Complexity and sophistication of the level of service, or condition of the beneficiary which requires the judgement, knowledge and skills of a therapist;
(C) Provision of the services with the expectation that the beneficiary will improve significantly in a reasonable, and generally predictable, pe-riod of time; or in order to establish an effective maintenance program for a specific disease state;
(D) Performance of the services by the qualified therapist specified in (a)(4)(A) above;
(E) Consideration of the services, under accepted standards of medical practice, to be a specific and effective treatment for beneficiary's condition;
(F) Reasonableness and necessity of the services for treatment of the beneficiary's condition.
(5) Professional therapy necessary to establish or periodically reevaluate a palliative or maintenance program may be authorized. Services under treatment programs not requiring the skills of a qualified therapist shall not be separately payable or authorized.
(6) No more than 30 treatments shall be authorized at any one time. Authorizations shall be valid for up to 120 days. A request for reauthorization shall include a statement describing the beneficiary's progress toward achieving the therapeutic goals included in the treatment plan.
NOTE

Authority cited: Sections 14105, 14124.5 and 14132, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14053, 14132, and 14133.3, Welfare and Institutions Code.
HISTORY

1. New section filed 9-12-75 as an emergency; effective upon filing (Register 75, No. 37).
2. Certificate of Compliance filed 1-8-76 (Register 76, No. 2).
3. Amendment of subsection (a)(5) filed 1-16-76; effective thirtieth day thereafter (Register 76, No. 3).
4. Amendment of subsection (a) filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
6. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-7-83 (Register 83, No. 7).
7. Amendment filed 6-22-87; operative 7-22-87 (Register 87, No. 27).
§51337. Home Health Agency Services.
Note     •     History

(a) Home health agency services are covered as specified below when prescribed by a physician and provided at the home of the beneficiary in accordance with a written treatment plan which the physician reviews every 60 days. The plan shall indicate a need for one or more of the following:
(1) Part-time or intermittent skilled nursing services by licensed nursing personnel.
(2) In-home medical care services as provided in Section 14132(t) of the Welfare and Institutions Code.
(3) Physical, occupational, or speech therapy.
(4) Medical social services.
(5) The services of a home health aide.
(6) Provision of medical supplies, other than drugs and biologicals.
(7) The use of medical appliances, provided for under an approved treatment plan.
(b) One visit in a six-month period for evaluation of the patient is covered without prior authorization. More than one visit in a six-month period is subject to prior authorization. The request for prior authorization for additional visits shall be accompanied by a written treatment plan approved and signed by the physician. This shall include the following:
(1) The principal diagnosis and significant associated diagnoses.
(2) Prognosis.
(3) Date of onset of the illness.
(4) Specific types of services to be rendered by each discipline.
(5) The therapeutic goals to be achieved by each discipline, and anticipated time for achievement of goals.
(6) The extent to which home health agency care has been previously provided, and benefits or improvements demonstrated by prior care.
(7) A description of the home situation, to include whether assistance is available from household members, homemakers, attendants, or others.
(8) A reauthorization request shall include a statement describing the patient's progress toward achieving the therapeutic goals.
(c) One early discharge visit is covered without prior authorization when the requirements of Section 51327(b) are met.
(d) Authorizations may be granted for home health agency services only when the beneficiary's medical condition requires either home nursing care or other covered service, exclusive of physician services.
(e) A maximum of 30 visits may be authorized at any one time and authorizations shall be valid for up to 120 days. When the Department contracts with an agency to provide in-home medical services, the scope, duration, and cost of services will be defined in a written agreement between the provider agency and the Department of Health Services.
(f) In areas serviced by a home health agency, all home health agency services shall be limited to those provided by approved home health agencies as defined in Sections 51125, 51145 and 51217.
(g) In areas determined by the Director not to be serviced by a home health agency, part-time or intermittent skilled nursing care may be furnished by any qualified provider using the services of a registered nurse. These services shall be subject to the same limitations as described in this section and to the same requirements for prior authorization and reimbursement as home health agency services.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 100275, Health and Safety Code. Reference: Sections 14132 and 14132.42, Welfare and Institutions Code; and Section 1727, Health and Safety Code.
HISTORY

1. Repealer of subsection (f) filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32). For prior history, see Register 72, No. 18.
2. Amendment filed 7-24-79 as an emergency; effective upon filing (Register 79,No. 30).
3. Certificate of Compliance transmitted to OAH 11-20-79 and filed 11-29-79 (Register 79, No. 48).
4. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
5. Editorial correction of subsection (c) (Register 95, No. 45).
6. New subsection (c), subsection relettering and amendment of Note filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-13-2000 order transmitted to OAL 7-5-2000 and filed 8-14-2000 (Register 2000, No. 33).
§51338. Home Health Aide Services.
History

HISTORY

1. New section filed 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 5-31-68; effective thirtieth day thereafter (Register 68, No. 21).
3. Amendment filed 11-15-68; effective thirtieth day thereafter (Register 68, No. 43).
4. Repealer filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
§51339. Special Duty Nursing.
History

HISTORY

1. Amendment filed 5-8-69; effective thirtieth day thereafter (Register 69, No. 19). For prior history, see Register 67, No. 52.
2. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Sec. 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
4. Editorial correction of History 1 and 3 (Register 95, No. 45).
§51340. Early and Periodic Screening, Diagnosis, and Treatment (EPSDT) Services and EPSDT Supplemental Services.
Note     •     History

(a) EPSDT screening services as defined in Section 51184(a)(1) are a program benefit when provided through the Child Health and Disability Prevention program in accordance with Title 17, California Code of Regulations, Sections 6800 et seq.  EPSDT screening services as defined in Sections 51184(a)(2) and (a)(3) are covered when provided by a certified Medi-Cal provider meeting the requirements of this chapter, if such services are otherwise reimbursable under the program.
(b) EPSDT diagnosis and treatment services as defined in Section 51184(b) are covered subject to the provisions of this chapter.
(c) Unless otherwise specified in this Chapter, EPSDT supplemental services are covered subject to prior authorization if the requirements of subsections (e) or (f), as appropriate, are met. The Department shall review requests for services resulting from EPSDT screening services for compliance with this section whether the screen was performed by a Medi-Cal provider or a non-Medi-Cal provider.
(d) Requests for prior authorization for EPSDT supplemental services pursuant to subsection (c) shall state explicitly that the request is for EPSDT supplemental services, and shall be accompanied by the following information:
(1) The principal diagnosis and significant associated diagnoses.
(2) Prognosis.
(3) Date of onset of the illness or condition, and etiology if known.
(4) Clinical significance or functional impairment caused by the illness or condition.
(5) Specific types of services to be rendered by each discipline with physician's prescription where applicable.
(6) The therapeutic goals to be achieved by each discipline, and anticipated time for achievement of goals.
(7) The extent to which health care services have been previously provided to address the illness or condition, and results demonstrated by prior care.
(8) Any other documentation available which may assist the Department in making the determinations required by this section.
(e) EPSDT supplemental services must meet one of the following standards, as determined by the Department:
(1) The standards and requirements set forth in Sections 51003 and 51303, and any specific requirements applicable to a specific service that are based on the standards and requirements of those sections other than the service-specific requirements set forth in Section 51340.1.
(2) The service-specific requirements applicable to EPSDT Supplemental Services set forth in Section 51340.1.
(3) When the standards set forth in paragraph (e)(1) or (e)(2) are not applicable to the services being requested, all of the following criteria, where applicable:
(A) The services are necessary to correct or ameliorate defects and physical and mental illnesses and conditions discovered by the screening services as defined in subsection (a) of this section.
(B) The supplies, items, or equipment to be provided are medical in nature.
(C) The services are not requested solely for the convenience of the beneficiary, family, physician or another provider of services.
(D) The services are not unsafe for the individual EPSDT-eligible beneficiary, and are not experimental.
(E) The services are neither primarily cosmetic in nature nor primarily for the purpose of improving the beneficiary's appearance. The correction of severe or disabling disfigurement shall not be considered to be primarily cosmetic nor primarily for the purpose of improving the beneficiary's appearance.
(F) Where alternative medically accepted modes of treatment are available, the services are the most cost-effective.
(G) The services to be provided:
1. Are generally accepted by the professional medical and dental community as effective and proven treatments for the conditions for which they are proposed to be used. Such acceptance shall be demonstrated by scientific evidence, consisting of well designed and well conducted investigations published in peer-review journals, and, when available, opinions and evaluations published by national medical and dental organizations, consensus panels, and other technology evaluation bodies. Such evidence shall demonstrate that the services can correct or ameliorate the conditions for which they are prescribed.
2. Are within the authorized scope of practice of the provider, and are an appropriate mode of treatment for the health condition of the beneficiary.
(H) The predicted beneficial outcome of the services outweighs potential harmful effects.
(I) Available scientific evidence, as described in paragraph (e)(3)(G)1., demonstrates that the services improve the overall health outcomes as much as, or more than, established alternatives.
(f)(1) Notwithstanding subsection (e), EPSDT case management services as specified in paragraph (j)(3) may be covered for the EPSDT-eligible beneficiary when accompanied by the information described in subsection (d) if the Department determines that both of the following criteria are met:
(A) The service to which access is to be gained through case management is medically necessary for the EPSDT-eligible beneficiary. For purposes of this subsection, medical necessity is established if the service meets the criteria set forth in subsection (e)(1), (e)(2), or (e)(3).
(B) The EPSDT-eligible beneficiary has a medical or mental health condition or diagnosis.
(2) Requests for EPSDT case management services shall not be approved if the Department determines that EPSDT case management services appropriate to the EPSDT-eligible beneficiary's needs can reasonably be obtained through the use of family, agency, or institutional assistance that is typically used by the general public in assuring that children obtain necessary medical, social, educational, or other services. In making the determination described in this paragraph, the Department may take into account the following factors:
(A) Whether or not the beneficiary has a complicated medical condition, including a history of multiple or complex medical or mental health diagnoses, frequent recent hospitalizations, use of emergency rooms, or other indicators of medical or mental health conditions resulting in significant impairment.
(B) Whether or not the beneficiary has a history of one or more environmental risk factors, including:
1. parent, guardian, or primary care-giver mental retardation or mental illness, physical or sensory disability, substance abuse, under age 18 years, prolonged absence, or
2. other environmental stressors, which may result in neglect, abuse, lack of stable housing, or otherwise compromise the parent's, guardian's, or primary caregiver's ability to assist the beneficiary in gaining access to the necessary medical, social, educational, and other services.
(g) If reimbursement is being sought on a “by report” basis, a description of the service, the proposed unit of service, and the requested dollar amount shall be included with the request for authorization.  A “by report” service or item is any service for which a maximum allowance has not been established because the item is rarely billed to the Medi-Cal program or because the service is unusual, variable or new.
(h) EPSDT supplemental services requested as a result of EPSDT screening services are exempt from the benefit limitations in Section 51304, and may be covered subject to prior authorization as defined in Section 51003 if the requirements of subsection (e) of this section are met.
(i) Regardless of the source of the referral for the service, requests for EPSDT diagnostic and treatment services and EPSDT supplemental services pursuant to the requirements of this chapter shall be reviewed pursuant to this section.
(j)(1) Requests for EPSDT case management services shall not be authorized where the Department has determined that appropriate case management services may be obtained through a targeted case management (TCM) provider under contract with a participating local governmental agency that has elected to provide case management services pursuant to Section 14132.44 of the Welfare and Institutions Code, or where TCM services are available pursuant to Section 14132.48 of the Welfare and Institutions Code.
(2) Where the Department determines that EPSDT case management services are not provided or available pursuant to paragraph (j)(1), requests for EPSDT case management services may be referred to the unit within the Department designated by the Director.
(3) Where the Department determines that EPSDT case management services are not provided or available pursuant to paragraph (j)(1) or (j)(2), the Department may authorize EPSDT case management services through an EPSDT case manager described in Section 51184(h)(4).
(k) For members of Medi-Cal managed care plans, the Medi-Cal managed care plan shall determine whether EPSDT case management services are medically necessary based on subsection (f). If the plan determines EPSDT case management services are medically necessary, the plan shall refer the members to an appropriate EPSDT case manager described in paragraph (h)(1) or (h)(2) of Section 51184. Services shall first be sought pursuant to paragraph (j)(1). If services are not available pursuant to paragraph (j)(1), the plan shall provide, or arrange and pay for, the EPSDT case management services. For purposes of this subsection, Medi-Cal managed care plan means any entity that has entered into a contract with the Department to provide, or arrange for, comprehensive health care to enrolled Medi-Cal beneficiaries pursuant to Chapter 8 or Articles 2.7, 2.8, 2.9 and 2.91 of Chapter 7 of Part 3, Division 9, of the Welfare and Institutions Code.
(l) The Department shall not approve an EPSDT supplemental service pursuant to this section if the Department determines that the service to be provided is accessible and available in an appropriate and timely manner as an EPSDT diagnostic and treatment service.
(m) The Department shall not approve a request for EPSDT diagnostic and treatment services or EPSDT supplemental services in home and community-based settings if the Department determines that the total cost incurred by the Medi-Cal program for providing such services to the beneficiary is greater than the total costs incurred by the Medi-Cal program in providing medically equivalent services at the beneficiary's otherwise appropriate institutional level of care, where medically equivalent services at the appropriate level are available in a timely manner.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code; Sections 306-309, Health and Safety Code; and 42 U.S.C. 1396d(r).
HISTORY

1. New section filed 2-27-75; effective thirtieth day thereafter (Register 75, No. 9).
2. Change without regulatory effect of NOTE (Register 86, No. 49).
3. Amendment of section heading, text, and  Note filed 4-4-94 as an emergency; operative 4-4-94 (Register 94, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-94 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, text and Note refiled 8-1-94 as an emergency; operative 8-1-94 (Register 94, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-29-94 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of printing errors in subsections (d)(1), (e) and (i) (Register 94, No. 31).
6. Amendment of section heading, text and Note refiled 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-21-95 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading, text and Note refiled 2-22-95; operative 2-22-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-22-95 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-22-95 order including amendment of section heading and section transmitted to OAL 3-16-95 and filed 4-27-95 (Register 95, No. 17).
9. Amendment of subsection (c) and amendment of Note filed 4-13-99 as an emergency; operative 4-13-99 (Register 99, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-11-99 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsection (c) and amendment of Note refiled 8-5-99 as an emergency; operative 8-5-99 (Register 99, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-3-99 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 8-5-99 order transmitted to OAL 12-1-99 and filed 1-12-2000 (Register 2000, No. 2).
§51340.1. Requirements Applicable to EPSDT Supplemental Services.
Note     •     History

(a) When the particular EPSDT Supplemental Services identified in this section are requested, the request for service shall be approved only when the criteria and requirements set forth in this section are met. Requests for all other EPSDT Supplemental Services shall be approved only when the requirements set forth in Section 51340(e)(1) or (e)(3) are met.
(b) Dental Services
(1) Dental services, other than orthodontic services
Requests for dental services, as EPSDT Supplemental Services, including but not limited to services necessary for the relief of pain and infections, restoration of teeth or maintenance of dental health, shall be evaluated under Section 51340(e)(1) or (e)(3), as applicable.
(2) Orthodontic services
Orthodontic services are covered only:
(A) When medically necessary pursuant to the criteria set forth in the Medi-Cal “Manual of Criteria for Medi-Cal Authorization,” Chapter 8.1, as incorporated by reference in Section 51003(e) or
(B) When medically necessary for the relief of pain and infections, restoration of teeth, maintenance of dental health, or the treatment of other conditions or defects, pursuant to the criteria set forth in Section 51340(e)(1) or (e)(3), as applicable.
(c) Hearing Services
(1) Requests for hearing services, as EPSDT Supplemental Services, including but not limited to services necessary for the diagnosis and treatment for defects in hearing, including hearing aids, shall be evaluated under Section 51340(e)(1) or (e)(3), as applicable.
(2) When a hearing aid is approved under the standards of Section 51340(e)(3), one package of six hearing aid batteries, size 675, 13, 312 or 10A, may be furnished on a quarterly basis without prior authorization. Batteries in sizes other than those listed, and hearing aid batteries provided at more frequent intervals, shall be subject to prior authorization.
(d) Onsite Investigations to Detect the Source of Lead Contamination
(1) Onsite investigations to detect the source of lead contamination are covered as an EPSDT supplement service only when:
(A) The results of two consecutive laboratory tests performed on a blood specimen collected from a child at least 30 days apart document that the child has a venous blood lead level equal to or greater than 15 micrograms per deciliter (ug/dL); or
(B) The results of one laboratory test establishes that the child has a venous blood lead level equal to or greater than 20 micrograms per deciliter (ug/dL); and
(C) The onsite investigation has been recommended as a medically necessary part of the management and treatment of the child by the physician who ordered the laboratory tests specified in this section and who has received notification that the child has been found to have an elevated blood lead level, as specified in (A) or (B) above; and
(D) The onsite investigation is conducted by an individual who meets the criteria specified in Section 51242(i).
(2) A second onsite investigation is covered only when the child's home or primary residence changes and the child's blood lead level increases above the last level recorded prior to the child's change of residence.
(3) The onsite investigation shall be limited to the home or primary residence of the child with the elevated blood lead level. For the purposes of this subsection only, the following shall apply:
(A) “Onsite investigation” means an interview with the family of the child to gather basic information about the habits of the child and an assessment of the environment using a portable X-ray fluorescence (XRF) analyzer or equivalent device.
(B) “Home or primary residence” means all the interior rooms in the residential unit within the main structure/building in which the child resides, including window panes and frames, doors, walls, baseboards and handrails, water pipes, furniture, utensils, toys and dust; and the exterior including the garage, porch, storage rooms, detached structures, patio, backyard, abandoned cars, trailers and appliances, front lawn, fences and any other objects or structures on the property which are accessible to the child.
(4) Onsite investigations do not include:
(A) Removal of lead sources;
(B) Provision of alternate housing;
(C) Collection or laboratory analysis of environmental samples.
(5) Onsite investigations of public housing, publicly-assisted housing or federally assisted housing are not covered.
(6) Onsite investigations conducted at the same address for several children in the same family shall be considered one investigation.
(7) Notwithstanding the requirements of Section 51340(c), onsite investigations shall not be subject to prior authorization or the documentation requirements of Section 51340(d) if all the requirements of this subsection are met.
(e) Pediatric day health care services
(1) Pediatric day health care services provided to a beneficiary shall be covered only after prior authorization has been obtained from the designated Medi-Cal consultant, as set forth in Section 50009, before services are initiated in the EPSDT pediatric day health care facility. The hours of attendance in the pediatric day health care facility shall be authorized by the designated Medi-Cal consultant. The total number of hours authorized for the pediatric day health care facility may be substituted for a portion of the authorized in-home nursing care services but at no time shall exceed the number of hours allowed under Section 51340(m). Prior authorization and reauthorization requests shall be initiated by the facility.
(2)  In determining the need for pediatric day health care services, the plan of treatment developed by the facility shall document the need for:
(A) Skilled nursing services during each day of attendance by licensed nursing personnel. The need for skilled nursing services may be demonstrated by, but not be limited to, one or more of the following:
1. Skilled nursing assessment.
2. Mechanical ventilation.
3. Tracheotomy care and suctioning.
4. Respiratory treatment, which may involve oxygen administration or suctioning.
5. Medication administration, either oral, enteral, parenteral or inhalation.
6. Enteral or parenteral nutrition, or intravenous fluid administration.
(B) A developmental program of activities structured to promote or maintain the beneficiary's optimal functional potential, and the probable benefit from therapeutic intervention. The need for physical therapy, occupational therapy, speech therapy or medical nutrition therapy must be documented by specific assessments and individualized recommendations to include measurable goals and the expected benefits from the therapeutic interventions.
(C) Therapy services that shall be provided as follows:
1. The pediatric day health care facility shall provide occupational therapy, physical therapy, speech therapy and medical nutrition therapy in accordance with the plan of treatment. Such therapy shall be provided by licensed or registered therapists. Authorization for occupational therapy, physical therapy and speech therapy shall be in accordance with Section 51309. Authorization for medical nutrition therapy shall be in accordance with Section 51340.
2. Interventions specified in the individual plan of treatment that do not require the judgment, knowledge and skills of a licensed or registered therapist shall be provided by appropriately trained nursing personnel. These interventions shall be considered part of the nursing services and developmental activities.
(3) The initial request for prior authorization shall be accompanied by the individual plan of care approved and signed by the attending physician. Initial authorization requests may be granted for up to three months. In addition to the information specified in paragraph (e)(2) of this section, the plan of treatment shall include the following:
(A) Primary diagnosis and significant associated diagnoses.
(B) Clinical summary of the beneficiary's medical condition, including history, a physical examination documented as rendered within the last three months, functional status, and treatment services received prior to admission to the pediatric day health care facility.
(C) Specific types and frequency of interventions to be rendered by each discipline, and medical necessity for these services to be rendered in the facility.
(D) Medications to be administered, including method of administration, dosage and frequency.
(E) Diet, including type, method of administration and frequency.
(F) For technology dependent beneficiaries, as defined in Section 1760.2 of the Health and Safety Code, a plan for treatment and monitoring of the medical equipment to be used.
(G) Scheduled day(s) and hours of attendance.
(H) Signed consent of parent, foster parent or legal guardian granting the facility permission to transfer the child to the hospital or other health facility in case of an emergency.
(4) Reauthorization requests for continuation of pediatric day health care EPSDT services may be granted for up to six months, and shall be:
(A) Accompanied by an updated individual plan of treatment describing the beneficiary's progress toward achieving therapeutic goals.
(B) Received by the designated Medi-Cal consultant on or before the expiration of a current authorization. If the request is received by the designated Medi-Cal consultant after the previously authorized period has expired, the request shall be effective on the date when it is received by the Medi-Cal consultant.
(5) The pediatric day health care facility shall assist the beneficiary's parent, foster parent or legal guardian in arranging for or obtaining medically necessary services outside the scope of the pediatric day health care EPSDT services. However, the parent, foster parent or legal guardian shall maintain primary responsibility for obtaining these other medically necessary services.
(6) Pediatric day health care facilities shall not provide EPSDT services for inpatients of the following health facilities which are licensed pursuant to Division 2, Chapter 2, commencing with Section 1250 of the Health and Safety Code:
(A) General acute care hospital.
(B) Skilled nursing facility.
(C) Intermediate care facility.
(D) Intermediate care facility for the developmentally disabled.
(E) Intermediate care facility for the developmentally disabled-habilitative.
(F) Intermediate care facility for the developmentally disabled-nursing.
(G) Congregate living health facility, including a congregate living health facility which is certified as a nursing facility.
NOTE

Authority cited: Sections 10725, 14124.5 and 14195, Welfare and Institutions Code. Reference: Sections 14059, 14132 and 14132.10, Welfare and Institutions Code; Sections 100275, 125000 and 125100, Health and Safety Code; and 42 U.S.C. 1396d(r).
HISTORY

1. New section filed 4-27-95; operative 4-27-95 (Register 95, No. 17).
2. Amendment and redesignation of first paragraph as subsection (a), subsection relettering, new subsections (d)-(d)(7) and amendment of Note filed 4-13-99 as an emergency; operative 4-13-99 (Register 99, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-11-99 or emergency language will be repealed by operation of law on the following day.
3. Amendment and redesignation of first paragraph as subsection (a), subsection relettering, new subsections (d)-(d)(7) and amendment of Note refiled 8-5-99 as an emergency; operative 8-5-99 (Register 99, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-3-99 or emergency language will be repealed by operation of law on the following day.
4. New subsections (e)-(e)(6)(G) and amendment of Note filed 11-10-99 as an emergency; operative 11-10-99 (Register 99, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-9-2000 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-5-99 order, including further amendment of subsection (d)(1)(A), transmitted to OAL 12-1-99 and filed 1-12-2000 (Register 2000, No. 2).
6. Certificate of Compliance as to 11-10-99 order, including further amendment of subsections (e)(2)(B) and (e)(2)(C)1., transmitted to OAL 3-8-2000 and filed 4-19-2000 (Register 2000, No. 16).
§51341. Short-Doyle Mental Health Medi-Cal Program Services.
Note     •     History

(a) Community mental health services, as defined in this section, provided by Short-Doyle Medi-Cal providers to Medi-Cal beneficiaries are covered by the Medi-Cal program.
(b) Community Mental Health Services.
(1) Acute inpatient hospital service means those services provided by a hospital, including bed and board, to a Medi-Cal beneficiary who needs intense diagnosis and/or treatment of an acute psychiatric condition on a continuous 24-hour a day basis.
(2) Psychiatric health facility services means therapeutic and/or rehabilitation services provided in a non-hospital 24 hour inpatient setting, on either a voluntary or involuntary basis. Services are provided to individuals experiencing an acute psychiatric episode or crisis, whose physical health needs can be met in an affiliated hospital or in outpatient settings.
(3) Mental health service means interventions designed to provide the maximum reduction of mental disability and restoration or maintenance of functioning consistent with the requirements for learning, development, independent living and enhanced self-sufficiency. Services shall be directed toward achieving the individual's goals/desired results/personal milestones.
(4) Medication support service means prescribing, administering, dispensing and monitoring of psychiatric medications necessary to alleviate the symptoms of mental illness which are provided by a staff person within the scope of practice of his/her profession.
(5) Day treatment intensive service means services provided by an organized and structured multi-disciplinary treatment program as an alternative to hospitalization, to avoid placement in a more restrictive setting, or to maintain the individual in a community setting. These services are provided to a distinct group of individuals and occur in a therapeutic, organized and structured setting. Day treatment intensive is a packaged program with service available at least three hours and less than 24 hours each day the program is open.
(6) Day rehabilitation service means evaluation, rehabilitation and therapy to maintain or restore personal independence and functioning consistent with requirements for learning and development. It is an organized and structured program which provides services to a distinct group of individuals. Day rehabilitation is a packaged program with service available at least three hours and less than 24 hours each day the program is open.
(7) Adult residential treatment service means rehabilitation services provided in a non-institutional residential setting where individuals are supported in their efforts to restore, maintain and apply interpersonal and independent living skills, and access community support systems. Programs shall provide a therapeutic community including a range of activities and services for individuals who would be at risk of hospitalization or other institutional placement if they were not in the residential treatment program. This is a structured package program with services available day and night, seven days a week.
(8) Crisis residential treatment services means therapeutic and/or rehabilitation services provided in a 24-hour residential treatment program for individuals experiencing an acute psychiatric episode or crisis, and who do not present medical complications requiring nursing care. Individuals are supported in their efforts to restore, maintain and apply interpersonal and independent living skills, and access community support systems. Interventions which focus on symptom reduction shall also be available. This is a structured, packaged program with services available day and night, seven days a week.
(9) Crisis intervention means quick emergency response service enabling the individual to cope with a crisis, while maintaining his/her status as a functioning community member to the greatest extent possible. A crisis is an unplanned event that results in the individual's need for immediate service intervention. Crisis intervention services are limited to stabilization of the presenting emergency.
(10) Crisis Stabilization -- Emergency Room means an immediate face-to-face response lasting less than 24 hours, to or on behalf of an individual exhibiting acute psychiatric symptoms, provided in a 24-hour health facility or hospital based outpatient program. The goal is to avoid the need for inpatient services by alleviating problems which, if not treated, present an imminent threat to the individual or other's safety or substantially increase the risk of the individual becoming gravely disabled.
(11) Crisis Stabilization -- Urgent Care means an immediate face-to-face response lasting less than 24 hours, to or on behalf of an individual exhibiting acute psychiatric symptoms, provided at a certified Mental Health Rehabilitation provider site. The goal is to avoid the need for inpatient services by alleviating problems and symptoms which, if not treated, present an imminent threat to the individual or other's safety or substantially increase the risk of the individual becoming gravely disabled. Services provided to individuals in a Crisis stabilization -- Urgent Care program are not based in 24-hour health care facilities or hospital based outpatient programs. Services shall be available 24 hours per day.
(12) Case management brokerage means activities provided by program staff to access medical, educational, social, prevocational, vocational, rehabilitative, or other needed community services for eligible individuals.
NOTE

Authority cited: Sections 10725, 14021.3, 14021.5 and 14124.5, Welfare and Institutions Code. Reference: Sections 14021, 14021.3 and 14021.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-29-84 as an emergency; designated effective 7-1-84 (Register 84, No. 28). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-30-84. For prior history, see Registers 76, No. 2 and 75, No. 40.
2. Order of Repeal of 6-29-84 emergency language filed 11-26-84 by OAL pursuant to Government Code Section 11349.6(b) (Register 84, No. 48).
3. Amendment filed 1-31-85 as an emergency; designated effective 2-1-85 (Register 85, No. 7). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-3-85.
4. Certificate of Compliance transmitted to OAL 5-17-85 and filed 6-14-85 (Register 85, No. 24).
5. New subsections (b)(10) and (c)(3)-(4) and amendment of Note filed 10-5-93 as an emergency; operative 10-5-93 (Register 93, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-2-94 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-5-93 order transmitted to OAL 2-2-94 and filed 3-15-94 (Register 94, No. 11).
7. Repealer and new subsections (b)(2)-(10) and new subsections (b)(11)-(12) filed 10-2-95 as an emergency; operative 10-2-95 (Register 95, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-30-96 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section heading, subsection (a) and repealer of subsections (c)-(c)(4) filed 12-14-95 as an emergency; operative 12-14-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-96 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 10-2-95 order including amendment of subsection (b)(4) transmitted to OAL 1-26-96 and filed 3-7-96 (Register 96, No. 10).
10. Reinstatement of subsections as they existed prior to emergency amendment filed 12-14-95 by operation of Government Code section 11346.1 (Register 96, No. 16).
11. Amendment of section heading, subsection (a) and repealer of subsections (c)-(c)(4) filed 4-16-96 as an emergency; operative 4-16-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-96 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 4-16-96 order transmitted to OAL 8-13-96 and filed 9-25-96 (Register 96, No. 39).
§51341.1. Drug Medi-Cal Substance Abuse Services.
Note     •     History

(a) Substance abuse services, as defined in this section, provided to Medi-Cal beneficiaries, are covered by the Medi-Cal program when determined medically necessary in accordance with Section 51303. Services shall be prescribed by a physician, and are subject to utilization controls, as set forth in Section 51159.
(b) For the purposes of this Section, the following definitions and requirements shall apply:
(1) “Admission to treatment date” means the date of the first face-to-face treatment service, as described in Subsection (d) of this regulation, rendered by the provider to the beneficiary.
(2) “ADP” means the State of California Department of Alcohol and Drug Programs which is authorized to administer Drug Medi-Cal substance abuse services through an interagency agreement with the State of California  Department  of   Health   Services.   Whenever   ADP   contracts  for Drug Medi-Cal substance abuse services directly with a provider, ADP shall also assume the role and responsibilities assigned to the county under this section.
(3) “Collateral services” means face-to-face sessions with therapists or counselors and significant persons in the life of a beneficiary, focusing on the treatment needs of the beneficiary in terms of supporting the achievement of the beneficiary's treatment goals. Significant persons are individuals that have a personal, not official or professional, relationship with the beneficiary.
(4) “County” means the department authorized by the county board of supervisors to administer alcohol and substance abuse programs, including Drug Medi-Cal substance abuse services.
(5) “Crisis intervention” means a face-to-face contact between a therapist or counselor and a beneficiary in crisis. Services shall focus on alleviating crisis problems. “Crisis” means an actual relapse or an unforeseen event or circumstance which presents to the beneficiary an imminent threat of relapse. Crisis intervention services shall be limited to stabilization of the beneficiary's emergency situation.
(6) “Day care habilitative services” means outpatient counseling and rehabilitation services provided at least three (3) hours per day, three (3) days per week to persons with substance abuse diagnoses, who are pregnant or in the postpartum period, and/or to Early and Periodic Screening Diagnosis, and Treatment (EPSDT)-eligible beneficiaries, as otherwise authorized in this Chapter. 
(7) “DHS” means the State of California Department of Health Services.
(8) “Group counseling” means face-to-face contacts in which one or more therapists or counselors treat two or more clients at the same time, focusing on the needs of the individuals served. For outpatient drug free treatment services and narcotic treatment programs, group counseling shall be conducted with no less than four and no more than 10 clients at the same time, only one of whom needs to be a Medi-Cal beneficiary.
(9) “Individual counseling” means face-to-face contacts between a beneficiary and a therapist or counselor. Telephone contacts, home visits, and hospital visits shall not qualify as Medi-Cal reimbursable units of service. 
(10) “Intake” means the process of admitting a beneficiary into a substance abuse treatment program. Intake includes the evaluation or analysis of the cause or nature of mental, emotional, psychological, behavioral, and substance abuse disorders; the diagnosis of substance abuse disorders utilizing the Diagnostic and Statistical Manual of Mental Disorders Third Edition-Revised or Fourth Edition, published by the American Psychiatric Association; and the assessment of treatment needs to provide medically necessary treatment services by a physician licensed to practice medicine in the State of California. Intake may include a physical examination and laboratory testing (e.g., body specimen screening) necessary for substance abuse treatment and evaluation conducted by staff lawfully authorized to provide such services and/or order laboratory testing within the scope of their practice or licensure.
(11) “Medical psychotherapy” is a type of counseling service that has the same meaning as defined in Section 10345 of Title 9, CCR.
(12) “Medication Services” means the prescription or administration of medication related to substance abuse treatment services, or the assessment of the side effects or results of that medication conducted by staff lawfully authorized to provide such services and/or order laboratory testing within the scope of their practice or licensure.
(13) “Naltrexone treatment services” means an outpatient treatment service directed at serving detoxified opiate addicts who have substance abuse diagnosis by using the drug Naltrexone, which blocks the euphoric effects of opiates and helps prevent relapse to opiate addiction. 
(14) “Narcotic treatment program” means an outpatient service using methadone and/or levoalphacetylmethadol (LAAM), directed at stabilization and rehabilitation of persons who are opiate addicted and have a substance abuse diagnoses. For the purposes of this section, “narcotic treatment program” does not include detoxification treatment.
(15) “Outpatient drug free treatment services” means an outpatient service directed at stabilizing and rehabilitating persons with substance abuse diagnoses. 
(16) “Perinatal certified substance abuse program” means a Medi-Cal certified program which provides substance abuse services, as specified in Subsection (c)(4) of this regulation, to pregnant and postpartum women with substance abuse diagnoses. 
(17) “Perinatal residential substance abuse services program” means a non-institutional, non-medical, residential program which provides rehabilitation services to pregnant and postpartum women with substance abuse diagnoses. Each beneficiary shall live on the premises and shall be supported in her efforts to restore, maintain, and apply interpersonal and independent living skills and access community support systems. Programs shall provide a range of activities and services for pregnant and postpartum women. Supervision and treatment services shall be available day and night, seven days a week.
(18) “Postpartum” means individuals who meet the criteria specified in Sections 50260 or 50262.3(a).
(19) “Postservice postpayment utilization review” has the same meaning as Section 51159(c).
(20) “Provider” means the legal entity certified pursuant to Section 51200 to provide Drug Medi-Cal substance abuse services to eligible beneficiaries at its certified location(s).
(21) “Substance abuse diagnoses” are those set forth in the Diagnostic and Statistical Manual of Mental Disorders Third Edition-Revised or Fourth Edition, published by the American Psychiatric Association.
(22) “Unit of service” means: 
(A) For outpatient drug free, day care habilitative, perinatal residential, and Naltrexone treatment services, a face-to-face contact on a calendar day.
(B) For narcotic treatment program services, a calendar month of treatment services provided pursuant to this section and Chapter 4 commencing with Section 10000 of Title 9, CCR.
(c) Drug Medi-Cal substance abuse services for pregnant and postpartum women:
(1) Any of the substance abuse services listed in subsection (d) of this regulation shall be reimbursed at enhanced perinatal rates pursuant to Section 51516.1(a)(3) only when delivered by providers who have been certified pursuant to Section 51200 to provide perinatal Medi-Cal services to pregnant and postpartum women.
(2) Only pregnant and postpartum women are eligible to receive residential substance abuse services.
(3) Perinatal services shall address treatment and recovery issues specific to pregnant and postpartum women, such as relationships, sexual and physical abuse, and development of parenting skills.
(4) Perinatal services shall include:
(A) Mother/child habilitative and rehabilitative services (i.e., development of parenting skills, training in child development, which may include the provision of cooperative child care pursuant to Health and Safety Code Section 1596.792);
(B) Service access (i.e., provision of or arrangement for transportation to and from medically necessary treatment);
(C) Education to reduce harmful effects of alcohol and drugs on the mother and fetus or the mother and infant; and
(D) Coordination of ancillary services (i.e., assistance in accessing and completing dental services, social services, community services, educational/vocational training and other services which are medically necessary to prevent risk to fetus or infant).
(d) Drug Medi-Cal substance abuse services shall include:
(1) Narcotic treatment program services, utilizing methadone and/or levoalphacetylmethadol (LAAM) as narcotic replacement drugs, including intake, treatment planning, medical direction, body specimen screening, physician and nursing services related to substance abuse, medical psychotherapy, individual and/or group counseling, admission physical examinations and laboratory tests, medication services, and the provision of methadone and/or LAAM, as prescribed by a physician to alleviate the symptoms of withdrawal from opiates, rendered in accordance with the requirements set forth in Chapter 4 commencing with Section 10000 of Title 9, CCR
(2) Outpatient drug free treatment services including admission physical examinations, intake, medical direction, medication services, body specimen screens, treatment and discharge planning, crisis intervention, collateral services, group counseling, and individual counseling, provided by staff that are lawfully authorized to provide, prescribe and/or order these services within the scope of their practice or licensure, subject to the following:
(A) Group counseling sessions shall focus on short-term personal, family, job/school, and other problems and their relationship to substance abuse or a return to substance abuse. Services shall be provided by appointment. Each beneficiary shall receive at least two group counseling sessions per month.
(B) Individual counseling shall be limited to intake crisis intervention, collateral services, and treatment and discharge planning.
(3) Day care habilitative services including intake, admission physical examinations, medical direction, treatment planning, individual and group counseling, body specimen screens, medication services, collateral services, and crisis intervention, provided by staff that are lawfully authorized to provide, prescribe and/or order these services within the scope of their practice or licensure. Day care habilitative services shall be provided only to pregnant and postpartum women and/or to EPSDT-eligible beneficiaries as otherwise authorized in this Chapter. The service shall consist of regularly assigned, structured, and supervised treatment.
(4) Perinatal residential substance abuse services including intake, admission physical examinations and laboratory tests, medical direction, treatment planning, individual and group counseling services, parenting education, body specimen screens, medication services, collateral services, and crisis intervention services, provided by staff that are lawfully authorized to provide and/or order these services within the scope of their practice or licensure. 
(A) Perinatal residential substance abuse services shall be provided in a residential facility licensed by ADP pursuant to Chapter 5 (commencing with Section 10500), Division 4, Title 9, CCR.
(B) Perinatal residential substance abuse services shall be reimbursed through the Medi-Cal program only when provided in a facility with a treatment capacity of 16 beds or less, not including beds occupied by children of residents [In accordance with 42 USC Section 1396d(a)(25)(B) and Section 1396(i) and 42 CFR Section 435.1009, Medicaid reimbursement is not allowed for individuals in facilities with a treatment capacity of more than 16 beds].
(C) Room and board shall not be reimbursable through the Medi-Cal program.
(5) Naltrexone treatment services including intake, admission physical examinations, treatment planning, provision of medication services, medical direction, physician and nursing services related to substance abuse, body specimen screens, individual and group counseling, collateral services, and crisis intervention services, provided by staff that are lawfully authorized to provide, prescribe and/or order these services within the scope of their practice or licensure. Naltrexone treatment services shall only be provided to a beneficiary who:
(A) Has a confirmed, documented history of opiate addiction;
(B) Is at least (18) years of age;
(C) Is opiate free; and
(D) Is not pregnant.
(e) ADP shall:
(1) Provide administrative and fiscal oversight, monitoring, and auditing for the provision of statewide Drug Medi-Cal substance services;
(2) Ensure that utilization review is maintained through on-site postservice postpayment utilization review; and
(3) Demand recovery of payment in accordance with the provisions of Subsection (m) of this regulation.
(f) The county shall:
(1) Implement and maintain a system of fiscal disbursement and controls over the Drug Medi-Cal substance abuse services rendered by providers delivering services within its jurisdiction pursuant to an executed provider agreement;
(2) Monitor to ensure that billing for reimbursement is within the rates established for services; and
(3) Process claims for reimbursement.
(g) In addition to the requirements of Section 51476 and the regulations set forth in this chapter, the provider shall:
(1) Establish, maintain, and update as necessary, an individual patient record for each beneficiary admitted to treatment and receiving services. For purposes of this regulation, “an individual patient record” means a file for each beneficiary which shall contain, but not be limited to, information specifying the beneficiary's identifier (i.e., name, number), date of beneficiary's birth, the beneficiary's sex, race and/or ethnic background, beneficiary's address and telephone number, beneficiary's next of kin or emergency contact, and all documentation relating to the beneficiary gathered during the treatment episode, including all intake and admission data, all treatment plans, progress notes, continuing services justifications, laboratory test orders and results, referrals, counseling notes, discharge summary and any other information relating to the treatment services rendered to the beneficiary.
(2) Maintain group counseling sign-in sheets which indicate the date and duration of the session;
(3) Provide services; and
(4) Submit claims for reimbursement and maintain documentation specified in Section 51008.5 supporting good cause claims where the good cause results from provider- related delays.
(h) For a provider to receive reimbursement for Drug Medi-Cal substance abuse services, those services shall be provided by or under the direction of a physician and the following requirements shall apply:
(1) Admission criteria and procedures
(A) For outpatient drug free, Naltrexone treatment, day care habilitative, and perinatal residential treatment services, the provider shall perform all of the following:
(i) Develop and use criteria and procedures for the admission of beneficiaries to treatment.
(ii) Complete a personal, medical, and substance abuse history for each beneficiary upon admission to treatment.
(iii) Complete an assessment of the physical condition of the beneficiary within thirty (30) calendar days of the admission to treatment date. The assessment shall be completed by either:
(a) A physical examination of the beneficiary by a physician, registered nurse practitioner, or physician assistant authorized by state law to perform the prescribed procedures; or
(b) A review of the beneficiary's medical history, substance abuse history, and/or the most recent physical examination documentation. If the assessment is made without benefit of a physical examination, the physician shall complete a waiver which specifies the basis for not requiring a physical examination.
(B) In addition to the requirements of Subsection (h)(1)(A) of this regulation, for Naltrexone treatment services, the following shall apply:
(i) The provider shall confirm that the beneficiary: 
(a) Has a documented history of opiate addiction;
(b) Is at least eighteen (18) years of age;
(c) Has been opiate free for a period of time to be determined by a physician based on the physician's clinical judgment. The provider shall administer a body specimen test to confirm the opiate free status of the beneficiary; and
(d) Is not pregnant and is discharged from the treatment if she becomes pregnant.
(ii) The physician shall certify beneficiary's fitness for treatment based upon the beneficiary's physical examination, medical history, and laboratory results; and
(iii) The physician shall advise beneficiaries of the overdose risk should they return to opiate use while taking Naltrexone and the ineffectiveness of opiate pain relievers while on Naltrexone.
(C) For narcotic treatment programs, the provider shall adhere to the admission criteria specified in Section 10270, Title 9, CCR.
(D) For each beneficiary, the provider shall:
(i) Establish medical necessity consistent with Section 51303. For purposes of these regulations, medical necessity is established by the physician's admission of each beneficiary pursuant to Subsection (h)(1) of this regulation, the physician's review and signature of each beneficiary's treatment plan and updates pursuant to Subsection (h)(2) of this regulation, and the physician's determination to continue services pursuant to Subsection (h)(5) of this regulation; and
(ii) Identify the applicable Diagnostic and Statistical Manual of Mental Disorders Third Edition-Revised or Fourth Edition diagnostic code.
(2) Treatment plan for each beneficiary
(A) For a beneficiary admitted to outpatient drug free, day care habilitative, perinatal residential, and Naltrexone treatment services the provider shall prepare an individualized written treatment plan, based upon the information obtained in the intake and assessment process.
(i) The initial treatment plan shall include:
(a) A statement of problems to be addressed;
(b) Goals to be reached which address each problem;
(c) Action steps which will be taken by the provider, and/or beneficiary to accomplish identified goals;
(d) Target dates for the accomplishment of action steps and goals;
(e) A description of the services, including the type of counseling, to be provided and the frequency thereof; and
(f) The assignment of a primary counselor.
(ii) The provider shall ensure that the initial treatment plan meets the following requirements:
(a) The counselor shall complete and sign within thirty (30) calendar days of the admission to treatment date, and
(b) The physician shall review, approve, and sign within fifteen (15) calendar days of signature by the counselor.
(iii) The provider shall ensure that the treatment plan is reviewed and updated as described below:
(a) The counselor shall review and sign the updated treatment plan no later than ninety (90) calendar days after signing the initial treatment plan, and no later than every ninety (90) calendar days thereafter, or when a change in problem identification or focus of treatment occurs, whichever comes first.
(b) Within fifteen (15) calendar days of signature by the counselor, the physician shall review, approve, and sign all updated treatment plans. If the physician has not prescribed medication, a psychologist licensed by the State of California Board of Psychology may sign an updated treatment plan.
(B) For narcotic treatment programs, providers shall complete treatment plans in accordance with the requirements specified in Section 10305, Title 9, CCR.
(3) Progress notes shall be legible and completed as follows:
(A) For outpatient drug free or Naltrexone treatment services, the counselor shall record a progress note for each beneficiary participating in an individual or group counseling session. Progress notes are individual narrative summaries and shall include:
(i) A description of the beneficiary's progress on the treatment plan problems, goals, actions steps, objectives, and/or referrals; and
(ii) Information on a beneficiary's attendance including the date (month, day, year) and duration in minutes of individual or group counseling sessions.
(B) For day care habilitative and perinatal residential treatment services, the counselor shall record a progress note, at a minimum, once a week. The progress notes are individual narrative summaries and shall include:
(i) The time period covered by the summary. The period shall be no more than seven (7) days.
(ii) A description of the beneficiary's progress on the treatment plan problems, goals, actions steps, objectives, and/or referrals; and
(iii) A record of the beneficiary's attendance at each counseling session including the date (month, day, year) and duration of the counseling session.
(C) For narcotic treatment programs, he counselor shall record progress notes in accordance with the requirements of Section 10345, Title 9, CCR.
(4) Minimum provider and beneficiary contact
(A) For outpatient drug free, day care habilitative, perinatal residential, or Naltrexone treatment services, a beneficiary shall be provided a minimum of two (2) counseling sessions per thirty (30) day period except when the provider determines that:
(i) Fewer beneficiary contacts are clinically appropriate; and
(ii) The beneficiary is progressing toward treatment plan goals.
(B) Narcotic treatment program providers shall provide counseling in accordance with Section 10345, Title 9, CCR. A beneficiary shall receive a minimum of fifty (50) minutes of counseling per calendar month. Waivers of this requirement shall be in accordance with Section 10345, Title 9, CCR.
(5) Continuing services shall be justified as shown below:
(A) For outpatient drug free, day care habilitative, perinatal residential, and Naltrexone treatment services:
(i) No sooner than five (5) months and no later than six (6) months the beneficiary's admission to treatment date or the date of completion of the most recent justification for continuing services, the counselor shall review the progress and eligibility of the beneficiary to continue to receive treatment services.
(ii) If the counselor recommends that the beneficiary requires further treatment, the physician shall determine the need to continue services based on the following factors:
(a) The medical necessity of continuing treatment;
(b) The prognosis; and
(c) The counselor's recommendation for the beneficiary to continue receiving services.
(iii) The provider shall discharge the beneficiary if the physician determines there is no medical necessity to continue treatment.
(B) For narcotic treatment program services, the review to determine continuing need for services shall be performed in accordance with Section 10410, Title 9, CCR.
(6) Discharge of a beneficiary from treatment may occur on a voluntary or involuntary basis. In addition to the requirements of this subsection, an involuntary discharge is subject to the requirements set forth in Subsection (p) of this regulation. The provider shall complete a discharge summary for each beneficiary in accordance with the following requirements:
(A) For outpatient drug free, day care habilitative, perinatal residential, and Naltrexone treatment services, the provider shall complete the discharge summary within thirty (30) calendar days of the date of the last face-to-face treatment contact with the beneficiary. The discharge summary shall include:
(i) The duration of the beneficiary's treatment as determined by the dates of admission to and discharge from treatment;
(ii) The reason for discharge;
(iii) A narrative summary of the treatment episode; and
(iv) The beneficiary's prognosis.
(B) For narcotic treatment program services, the discharge summary shall meet the requirements of Section 10415, Title 9, CCR.
(7) Except where share of cost, as defined in Section 50090, is applicable, providers shall accept proof of eligibility for Drug Medi-Cal as payment in full for treatment services rendered. Providers shall not charge fees to beneficiaries for access to Drug Medi-Cal substance abuse services or for admission to a Drug Medi-Cal treatment slot.
(i) Providers shall maintain the following documentation in the individual patient record established pursuant to subsection (g)(1) for each beneficiary for a minimum of three (3) years from the date of the last face-to-face contact. If an audit takes place during the three year period, the provider shall maintain records until the audit is completed.
(1) Evidence that the beneficiary met the admission criteria specified listed in Subsection (h)(1) of this regulation;
(2) Treatment plan(s) as described in Subsection (h)(2) of this regulation;
(3) Progress notes as described in Subsection (h)(3) of this regulation;
(4) Evidence that the beneficiary received counseling as described in Subsection (h)(4) of this regulation with exceptions of waivers noted, signed, and dated by the physician in the beneficiary's treatment plan;
(5) Justification for continuing services as described in Subsection (h)(5) of this regulation;
(6) Discharge summary as described in Subsection (h)(6) of this regulation;
(7) Evidence of compliance with requirements for the specific treatment service as described in Subsection (d) of this regulation;
(8) Evidence that the beneficiary met the requirements for good cause specified in Section 51008.5 where the good cause results from beneficiary-related delays; and
(9) Evidence that the provider complied with the multiple billing requirements specified in Section 51490.1(d).
(j) Reimbursement for Drug Medi-Cal Substance Abuse Services
(1) ADP shall not reimburse a provider for services not rendered or received by a beneficiary.
(2) In order to receive and retain reimbursement for services provided to a beneficiary, the provider shall comply with the requirements listed in Subsection (i) of this regulation.
(3) When a beneficiary receives services from more than one provider, ADP shall reimburse only one provider for a single unit of service provided at a single certified location on a calendar day.
(4) For outpatient drug free, day care habilitative, and Naltrexone treatment services, ADP may reimburse the provider for an additional unit of service on a calendar day under the circumstances listed below. The additional unit of service shall be reimbursed pursuant to Section 51490.1(d) and shall be documented in the individual patient record as a separate unit of service in accordance with Subsection (h)(3) of this regulation.
(A) Outpatient drug free and Naltrexone for crisis intervention or collateral services; or
(B) Day care habilitative for crisis intervention.
(5) ADP shall reimburse a narcotic treatment program for services based on Section 51516.1. If the beneficiary receives less than a full month of services, ADP shall prorate reimbursement to the daily rate per beneficiary, based on the annual rate per beneficiary and a 365-day year pursuant to Section 11758.42(g) of the Health and Safety Code.
(k) ADP shall conduct a postservice postpayment utilization review of Drug Medi-Cal substance abuse services. The review shall:
(1) Verify that the documentation requirements of Subsection (i) of this regulation are met;
(2) Verify that each beneficiary meets the admission criteria, including the use of an appropriate Diagnostic and Statistical Manual of Mental Disorders Third Edition-Revised or Fourth Edition diagnostic code, and medical necessity for services is established pursuant to Subsection (h)(1)(D) of this regulation;
(3) Verify that a treatment plan exists for each beneficiary and that the provider rendered services claimed for reimbursement in accordance with the requirements set forth in Subsection (h) of this regulation; and
(4) Establish the basis for recovery of payments in accordance with Subsection (m) of this regulation.
(l) In determining compliance and demand for recovery of payment actions, ADP shall base its findings on a sampling of beneficiary records and other records of the provider.
(m) In addition to the provisions of Section 51458.1(a), ADP shall recover overpayments to providers for any of the following reasons:
(1) For all providers who:
(A) Claimed reimbursement for a service not rendered.
(B) Claimed reimbursement for a service at an uncertified location.
(C) Failed to meet the requirements of Subsection (h)(1)(D) of this regulation.
(D) Used erroneous, incorrect, or fraudulent good cause codes and procedures specified in Sections 51008 and 51008.5.
(E) Used erroneous, incorrect, or fraudulent multiple billing codes and certification processes specified in Section 51490.1(d).
(2) For outpatient drug free, day care habilitative, perinatal residential, and Naltrexone treatment services:
(A) The provider failed to meet the time frames of Subsections (h)(1)(A)(iii), (h)(2)(A)(ii), (h)(2)(A)(iii), or (h)(5)(A) of this regulation.
(B) The provider received reimbursement in excess of the limits set forth in Section 51516.1(a).
(3) For narcotic treatment programs, because the provider failed to meet:
(A) The admission criteria time frames specified in Section 10270, Title 9, CCR.
(B) The time frames for treatment plan completion and for review specified in Section 10305, Title 9, CCR.
(C) The continuing treatment time frames specified in Section 10410, Title 9, CCR.
(4) The provider received reimbursement for an ineligible narcotic treatment program individual or group counseling session. For purposes of this subsection, “ineligible narcotic treatment program individual or group counseling session” means: 
(A) The counseling session does not meet the minimum requirements set forth in Section 10345, Title 9, CCR;
(B) The counseling session is not the type specified in the treatment plan required by Section 10305, Title 9, CCR; or
(C) The frequency of counseling exceeds that specified in the treatment plan required by Section 10305, Title 9, CCR.
(5) The provider received reimbursement for an ineligible individual counseling session. For purposes of this subsection “ineligible individual counseling session” means an individual counseling session which does not meet the requirements specified in Subsection (b)(9) and, for outpatient drug free treatment services, Subsection (d)(2)(B) of this regulation.
(6) The provider received reimbursement for an ineligible group counseling session. For purposes of this subsection, “ineligible group counseling session” means a group counseling session which does not meet the requirements specified in Subsection (b)(8) of this regulation.
(7) The provider received reimbursement for an ineligible day care habilitative unit of service. For purposes of this subsection, “ineligible day care habilitative unit of service” means a unit of service that was less than three hours of service on the calendar day billed or provided to a non-pregnant, non-postpartum or non-EPSDT eligible beneficiary.
(n) ADP shall utilize the procedures contained in Section 51458.2 to determine the amount of the demand for recovery of payment.
(o) Provider noncompliance with other requirements set forth in this section shall be noted as programmatic deficiencies. ADP shall issue a report to the provider documenting any demand for recovery of payment and/or programmatic deficiencies and the provider shall submit a corrective action plan within sixty (60) calendar days of the date of the report. The plan shall:
(1) Address each demand for recovery of payment and/or programmatic deficiency;
(2) Provide a specific description of how the deficiency shall be corrected; and
(3) Specify the date of implementation of the corrective action.
(p) Providers shall inform all beneficiaries of their right to a fair hearing related to denial, involuntary discharge, or reduction in Drug Medi-Cal substance abuse services as it relates to their eligibility or benefits, pursuant to Section 50951.
(1) Providers shall advise beneficiaries in writing at least ten (10) calendar days prior to the effective date of the intended action to terminate or reduce services. The written notice shall include:
(A) A statement of the action the provider intends to take;
(B) The reason for the intended action;
(C) A citation of the specific regulation(s) supporting the intended action;
(D) An explanation of the beneficiary's right to a fair hearing for the purpose of appealing the intended action;
(E) An explanation that the beneficiary may request a fair hearing by submitting a written request to:

DEPARTMENT OF SOCIAL SERVICES
STATE HEARINGS DIVISION
P.O. BOX 944243, MS 19-37
SACRAMENTO, CA 94244-2430
1 (800) 925-5253
TDD 1(800) 952-8349
(F) An explanation that the provider shall continue treatment services pending a fair hearing decision only if the beneficiary appeals in writing to ADP for a hearing within ten (10) calendar days of the mailing or personal delivery of the notice of intended action.
(2) All fair hearings shall be conducted in accordance with Section 50953.
(q) County and Provider Administrative Appeals
A provider and/or county may appeal Drug Medi-Cal dispositions concerning demands for recovery of payment and/or programmatic deficiencies of specific claims. Such appeals shall be handled pursuant to Section 51015 in accordance with the Interagency Agreement between ADP and DHS.
(1) Requests for first-level appeals, grievances, and complaints will be managed as follows:
(A) The provider and/or county shall initiate action by submitting a letter to:

DEPUTY DIRECTOR
PROGRAM OPERATIONS DIVISION
DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS
1700 K STREET
SACRAMENTO, CA 95814-4037
(i) The provider and/or county shall submit the letter on the official stationery of the provider and/or county and it shall be signed by an authorized representative of the provider and/or county.
(ii) The letter shall specify that it is being submitted in accordance with Section 51015.
(iii) The letter shall identify the specific claim(s) involved and describe the disputed (in)action regarding the claim.
(B) The letter shall be submitted to the address listed in Subsection (q)(1)(A) of this regulation within ninety (90) calendar days from the date the provider and/or county received written notification of the decision to disallow claims.
(C) ADP shall acknowledge the letter within fifteen (15) calendar days of its receipt.
(D) ADP shall inform the provider and/or county of ADP's decision and the basis for the decision within fifteen (15) calendar days after ADP's acknowledgement notification. ADP shall have the option of extending the decision response time if additional information is required from the provider and/or county. The provider and/or county will be notified if ADP extends the response time limit.
(2) A provider and/or county may initiate a second level appeal, grievance or complaint to DHS.
(A) The second level process may be pursued only after complying with first-level procedures and only when:
(i) ADP has failed to acknowledge the grievance or complaint within fifteen (15) calendar days of its receipt, or
(ii) The provider and/or county is dissatisfied with the action taken by ADP where the conclusion is based on ADP's evaluation of the merits.
The second-level appeal shall be submitted to DHS within thirty (30) calendar days from the date ADP failed to acknowledge the first-level appeal or from the date of the ADP first-level appeal decision.
(B) All second-level appeals made in accordance with this section shall be directed to:

CHIEF
MEDI-CAL POLICY DIVISION
DEPARTMENT OF HEALTH SERVICES
714 P STREET, ROOM 1561
SACRAMENTO, CA 95814
(C) In referring an appeal, grievance, or complaint to DHS, the provider and/or county shall submit:
(i) A copy of the original written grievance or complaint sent to ADP;
(ii) A copy of ADP's report to which the appeal, grievance, or complaint applies; and
(iii) If received by the provider and/or county, a copy of ADP's specific finding(s), and conclusion(s) regarding the appeal, grievance, or complaint with which the provider and/or county is dissatisfied.
NOTE

Authority cited: Sections 10725, 14021.3, 14021.5, 14021.6, 14124.1 and 14124.5, Welfare and Institutions Code; Section 11758.41, Health and Safety Code; and Statutes of 1996, Chapter 1027. Reference: Sections 14021, 14021.3, 14021.5, 14021.6, 14124.1, 14132.90 and 14133, Welfare and Institutions Code; Sections 11758.42, 11758.46 and 11758.47, Health and Safety Code; Sections 436.122, 456.21, 456.22 and 456.23, Title 42, Code of Federal Regulations; Statutes of 1996, Chapter 162, Items 4200-101-0001 and 4200-102-0001; and Statutes of 1996, Chapter 1027.
HISTORY

1. New section filed 12-14-95 as an emergency; operative 12-14-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-96 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1 (Register 96, No. 16).
3. New section filed 4-16-96 as an emergency; operative 4-16-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-16-96 order transmitted to OAL 8-13-96 and filed 9-25-96 (Register 96, No. 39).
5. Amendment of section and Note filed 5-12-97 as an emergency; operative 5-12-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-9-97 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, section and Note filed 6-30-97 as an emergency; operative 7-1-97 (Register 97, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-29-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 5-12-97 order transmitted to OAL 8-13-97 and filed 9-23-97 (Register 97, No. 39).
8. Amendment of section heading, section and Note refiled 10-6-97 as an emergency; operative 10-29-97 (Register 97, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-26-98 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note refiled 1-14-98 as an emergency; operative 2-26-98 (Register 98, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-26-98 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 1-14-98 order, including further amendment of section heading, section and Note, transmitted to OAL 6-11-98 and filed 6-29-98 (Register 98, No. 27).
11. Change without regulatory effect amending subsection (p)(1)(E) filed 5-17-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 20).
§51342. Acute Administrative Days.
Note     •     History

(a) Acute administrative days are covered, when authorized by a Medi-Cal consultant pursuant to Section 51003, subject to the following:
(1) The acute inpatient facility has made appropriate and timely discharge planning.
(2) All other coverage has been utilized.
(3) The acute inpatient facility meets the requirements contained in the Manual of Criteria for Medi-Cal Authorization.
(b) Ancillary services provided during acute administrative days are subject to the Medi-Cal program requirements and controls applicable to ancillary services provided to patients authorized to receive services in acute inpatient facilities.
NOTE

Authority cited: Section 14105(a), Welfare and Institutions Code. Reference: Sections 14110.1 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 4-28-82; designated effective 6-1-82 (Register 82, No. 18).
2. Change without regulatory effect of NOTE (Register 86, No. 49).
§51343. Intermediate Care Facility Services for the Developmentally Disabled.
Note     •     History

(a) Intermediate care facility services for the developmentally disabled are covered subject to prior authorization by the Department. Authorizations may be granted for up to six months. The authorization request shall be initiated by the facility. The attending physician shall sign the authorization request and shall certify to the Department that the beneficiary requires this level of care.
Each authorization request and reauthorization request submitted shall have attached certification documentation as required by the Department of Developmental Services. Such documentation shall be completed by regional center personnel.
(b) The request for reauthorization shall be received by the appropriate Medi-Cal consultant on or before the first working day following the expiration of a current authorization. When the request is received by the Medi-Cal consultant later than the first working day after the previously authorized period has expired, one day of authorization shall be denied for each day the reauthorization request is late.
(c) The Medi-Cal consultant shall deny any authorization request, reauthorization request, or shall cancel any authorization in effect when services or placement are not appropriate to the health needs of the patient. In the case of denial of a reauthorization request or cancellation of authorization, the facility shall be notified by the most expeditious means and payment may be made for up to 15 days following the date of giving notice.
(d) The attending physician shall recertify, at least every 60 days, the patient's need for continued care in accordance with the procedures specified by the Director. The attending physician shall comply with this requirement prior to the 60-day period for which the patient is being recertified. The facility shall present proof of this recertification at the time of billing for services rendered.
(e) Prior to the transfer of a beneficiary between facilities, a new initial Treatment Authorization Request shall be initiated by the receiving facility and signed by the attending physician.  No transfer shall be made unless approved in advance by the Medi-Cal consultant for the district where the receiving facility is located.
(f) Medi-Cal beneficiaries in the facility shall be visited by their attending physicians no less often than every 60 days. An alternative schedule of visits may be proposed subject to approval by the Medi-Cal consultant. An alternative schedule of visits shall not result in more than three months elapsing between physician visits.
(g) There shall be a written plan of care for each beneficiary. The plan of care shall be reviewed and evaluated by a physician and other personnel involved in the care of the individual every 90 days. The plan of care shall meet the requirements of 42 CFR 456.380.
(h) Each beneficiary shall receive a comprehensive medical, social and psychological evaluation prior to admission. Psychological evaluations shall be performed within a time period not exceeding three months before admission and shall meet the requirements of 42 CFR 456.370 (a) (1) (i).
(i) Each beneficiary shall receive a complete dental examination within one month following admission unless such an examination was done within six months of admission, and the results are received and reviewed by the facilities and are entered into the resident's record. Each beneficiary shall be reexamined at specific intervals in accordance with his or her needs.
(j) Each beneficiary shall receive an annual physical examination that includes:
(1) Examination of vision and hearing.
(2) Routine screening laboratory examinations as determined necessary by the physician and special studies when the index of suspicion is high.
(k) There shall be a periodic medical review, not less often than annually, of all beneficiaries receiving intermediate care facility services for the developmentally disabled by an independent professional review team which meets the requirements of 42 CFR 456.602 through 456.604.
(l) Services shall be covered only for developmentally disabled persons as defined in Section 51164. Intermediate care services for the developmentally disabled are limited to those persons who require and will benefit from services provided pursuant to the provisions of Sections 76301 through 76413 of Title 22 of the California Administrative Code. The “Manual of Criteria for Medi-Cal Authorization,” published by the Department, shall be the basis for the professional judgments of Medi-Cal consultants in their decision on authorization for services provided pursuant to this section. In determining the need for intermediate care facility services in institutions for the developmentally disabled, the following factors shall be considered:
(1) The extent of psychosocial and developmental service needs.
(2) The need for specialized developmental and training services which are not available through other levels of care.
(3) The extent to which provisions of specialized developmental and training services can reasonably be expected to result in a higher level of patient functioning and a lessening dependence on others in carrying out daily living activities.
(4) The individual's score on an assessment form approved by the Department of Developmental Services for the determination of intermediate care facility/developmentally disabled eligibility.
(5) Whether the patient has a qualifying developmental deficit in either a self-help area or social-emotional area as follows:
(A) A qualifying developmental deficit shall be determined in the self-help skill area if the patient has two moderate or severe skill task impairments in eating, toileting, bladder control or dressing skill task; or
(B) A qualifying developmental deficit shall be determined in the social-emotional area if the patient exhibits two moderate or severe impairments from a combination of the following assessment items:
1. Social behavior,
2. Aggression,
3. Self-injurious behavior,
4. Smearing,
5. Destruction of property,
6. Running or wandering away,
7. Temper tantrums, or emotional outbursts.
(m) Services shall be provided at a level determined appropriate to the number and types of functional characteristics of the individual and the number of hours of direct staff time needed for each individual.
(n) Payment for services shall be made in accordance with Section 51510.1.
(o) Leave of absence from intermediate care facilities for the developmentally disabled is covered up to a maximum of 73 days in a calendar year for developmentally disabled Medi-Cal inpatients. Payment shall be made in accordance with Section 51535.
NOTE

Authority cited: Sections 14105, 14108 and 14124.5, Welfare and Institutions Code; and Section 208.4, Health and Safety Code. Reference: Sections 14108 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-29-84 as an emergency; designated effective 4-1-84 (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-30-84. For prior history, see Registers 84, No. 2; 82, No. 31; 79, Nos. 48, 38 and 9.
2. Emergency language filed 3-29-84 repealed by operation of Government Code Section 11346.1(f) (Register 85, No. 19).
3. Amendment filed by the Department of Health Services with the Secretary of State on 8-1-84 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 19).
4. Certificate of Compliance including amendment of subsection (l) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
5. Editorial correction of 11-28-84 order filed by the Department of Health Services with the Secretary of State on 6-27-85. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 32).
§51343.1. Intermediate Care Facility Services for the Developmentally Disabled Habilitative.
Note     •     History

(a) Intermediate care facility services for the developmentally disabled habilitative (ICF-DDH) are covered subject to prior authorization by the Department of Health Services for the ICF-DDH level of care. Authorizations may be granted for up to six months. Requests for prior authorization of admission to an ICF-DDH or for continuation of services shall be initiated by the facility on forms designated by the Department. Certification documentation required by the Department of Developmental Services must be completed by regional center personnel and submitted with the Treatment Authorization Request form. The attending physician shall sign the Treatment Authorization Request form and shall certify to the Department that the beneficiary requires this level of care.
(b) The request for reauthorization shall be received by the appropriate Medi-Cal consultant on or before the first working day following the expiration of a current authorization. Certification shall be redetermined and a new certification form shall be completed by regional center personnel and shall be attached to the request for authorization. One day of authorization shall be denied for each day the reauthorization request is late.
(c) The Medi-Cal consultant shall deny any authorization request or reauthorization request, or shall cancel any authorization in effect when services or placement are not appropriate to the health and developmental needs of the beneficiary. Where the reauthorization request is denied, or an existing authorization is cancelled, the facility shall be notified by the most expeditious means. A copy of the denial letter and the denied Treatment of Authorization Request shall serve as the official notice of action and shall be returned to the provider. Payment will be made up to 15 days following the postmark date of the denial letter.
(d) Prior to the transfer of a beneficiary between facilities, the receiving facility shall originate an initial Treatment Authorization Request signed by the attending physician. This Treatment Authorization Request must be approved by a DHS Medi-Cal consultant prior to admission except in cases of emergency as specified in Section 51056.
(e) Covered services shall be limited to individuals who are defined as developmentally disabled in Welfare and Institutions Code, Section 4512. In determining the need for intermediate care facility services for the developmentally disabled habilitative, the following criteria shall be considered:
(1) The complexity of the beneficiary's medical problems is such that skilled nursing care on an ongoing but intermittent basis is needed. Individuals shall be placed in an ICF-DDH only if their predominant skilled nursing needs are predictable and advance arrangements can be made for licensed nurses to provide needed services at prescribed intervals. Individuals who require skilled nursing procedures on an “as needed basis” are not candidates for placement in an ICF-DDH.
(2) Medication may be mainly supportive or stabilizing but still requires professional nurse evaluation on an intermittent basis.
(3) The beneficiary needs specialized developmental, training and habilitative program services which are not available through other levels of care.
(4) The extent to which provision of specialized developmental, training and habilitative program services can be expected to result in a higher level of beneficiary functioning and a lessening dependence on others in carrying out daily living activities or in the prevention of regression.
(5) The beneficiary must have two or more developmental deficits as measured on standardized evaluation forms prescribed and furnished by the Department of Developmental Services in any one of the following two domains:
(A) Self-help domain:
1. Eating
2. Toileting
3. Bladder Control
4. Dressing
(B) Social-emotional domain:
1. Aggression--has had one or more violent episodes causing minor physical injury within the past year or has resorted to verbal abuse and threats but has not caused physical injury within the past year.
2. Self-injurious behavior--behavior exists but result only in minor injuries which require first aid.
3. Smearing feces--smears once a week or more but less than once a day.
4. Destruction of property.
5. Running or wandering away.
6. Temper tantrums, or emotional outbursts.
7. Unacceptable social behavior--positive social participation is impossible unless closely supervised or redirected.
(6) Beneficiaries shall not have any of the following extreme developmental deficits in the socio-emotional area:
(A) Aggression--has had violent episodes which have caused serious physical injury in the past year.
(B) Self-injurious behavior--causes severe injury which requires physician attention at least once per year.
(C) Smearing--smears at every opportunity.
(7) Beneficiaries shall not be admitted to or approved for service in an intermediate care facility for the developmentally disabled habilitative if those beneficiaries have a decubitis ulcer.
(8) Beneficiaries shall not be admitted with clinical evidence of an active communicable disease that is required to be reported in accordance with Section 2500 of Title 17 of he California Administrative Code.
(9) Beneficiaries shall not be admitted to an ICF/DDH for purposes of respite care with the exception of clients enrolled in a federally approved home and community-based care program under Section 1915(c) of the Social Security Act.
(f) There shall be a written plan of care for each beneficiary, which shall be established by a physician prior to the beneficiary's admission to the facility and reviewed and evaluated at least every 90 days by all personnel involved in the care of the individual. The plan of care shall meet the requirements of 42 Code of Federal Regulations 456.380 and shall be signed and dated by the physician at least every 90 days.
(g) Each beneficiary shall have received a comprehensive medical and social evaluation within 12 months prior to admission. A psychological evaluation must have been completed within three months prior to admission. Medical, psychological and social evaluations shall meet the requirements of 42 Code of Federal Regulations 456.370.
(h) Each beneficiary shall receive a complete dental examination within one month following admission unless such an examination was done within six months prior to admission. In either case, a comprehensive report prepared by the dentist shall be completed and entered into the beneficiary's record. Each beneficiary shall be reexamined as needed but at least annually.
(i) There shall be a periodic review, no less often than annually, of all care and services provided to beneficiaries receiving intermediate care facility services for the developmentally disabled habilitative by the State Medical Review Team in accordance with the requirements of 42 Code of Regulations 456.602 through 456.604.
(j) Each beneficiary shall receive preventive health services that includes physical examinations, immunizations and tuberculosis control in accordance with 42 Code of Regulations 442.477.
(k) Regardless of frequency of contact, the attending physician shall recertify, at least every 60 days, the beneficiary's need for continued care in accordance with the procedures specified by the Director. The facility shall attach a physician's signed statement at the time of billing as proof of this recertification. This statement shall be completed in the format specified by the Department.
(l) Medi-Cal beneficiaries in the facility shall be seen by their attending physicians no less often than every 60 days. An alternative schedule of not more than 90 days elapsed time may be proposed subject to approval by the Medi-Cal consultant.
(m) Services shall be provided at a level consistent with that described in the beneficiary's individual service plan.
(n) Payment for service shall be made in accordance with Section 51510.2.
(o) Leave of absence from intermediate care facilities for developmentally disabled habilitative residents is covered up to a maximum of 73 days in a calendar year. Payment shall be made in accordance with Section 51535.
NOTE

Authority cited: Sections 14105, 14108 and 14124.5, Welfare and Institutions Code; and Sections 208.3, 208.4 and 1267.7, Health and Safety Code. Reference: Sections 14108 and 14132, Welfare and Institutions Code; and Section 1250, Health and Safety Code.
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 8-1-84 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 19).
2. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
3. Editorial correction of subsection (e)(2) (Register 95, No. 45).
§51343.2. Intermediate Care Facility Services for the Developmentally Disabled-Nursing.
Note     •     History

(a) Intermediate care facility services for the developmentally disabled-nursing (ICF/DD-N) are covered subject to prior authorization by the Department for the ICF/DD-N level of care. Authorizations may be granted for up to six months. Requests for prior authorization of admission to an ICF/DD-N or for continuation of services shall be initiated by the facility on Certification for Special Treatment Program Services forms (HS 231). Certification documentation required by the Department of Developmental Services shall be completed by regional center personnel and submitted with the Treatment Authorization Request form. The attending physician shall sign the Treatment Authorization Request form and shall certify to the Department that the beneficiary requires this level of care.
(b) The request for reauthorization shall be received by the appropriate Medi-Cal consultant on or before the first working day following expiration of a current authorization. Certification shall be redetermined and a new certification form shall be completed by regional center personnel and shall be attached to the request for authorization. One day of authorization shall be denied for each day the reauthorization request is late.
(c) The Medi-Cal consultant shall deny any authorization request or reauthorization request, or shall cancel any authorization in effect when services or placement are not appropriate to the health and developmental needs of the beneficiary. When the reauthorization request is denied, or an existing authorization is cancelled, the facility shall be notified by the most expeditious means and a timely notice of action shall be sent to the beneficiary in accordance with Title 22, California Code of Regulations, Section 51014.1.
(d) Prior to the transfer of a beneficiary between facilities, the receiving facility shall originate an initial Treatment Authorization Request signed by the attending physician. This Treatment Authorization Request shall be approved by a Department Medi-Cal consultant prior to admission except in cases of emergency as specified in Section 51056, Title 22, California Code of Regulations.
(e) The beneficiary's medical condition shall be determined on an individual basis by the Department's Medi-Cal consultant. However, in determining the need for ICF/DD-N services the following conditions shall be met:
(1) A regional center has diagnosed the beneficiary as being developmentally disabled, or has determined that the beneficiary demonstrates significant developmental delay that may lead to a developmental disability if not treated.
(2) The beneficiary's medical condition is such that 24-hour nursing supervision, in accordance with Title 22, California Code of Regulations, Section 73839(a) personal care, and developmental services are required. The stability of the beneficiary's medical condition and frequency of required skilled nursing services shall be the determining factors in evaluating whether beneficiaries are appropriate for ICF/DD-N placements.
(3) Each beneficiary shall have a physician's certification that continuous skilled nursing care is not required and that the beneficiary's medical condition is stable. Beneficiaries convalescing from surgical procedures shall be stable enough that only intermittent nursing care is needed.
(4) The beneficiary needs a level of developmental, training and habilitative program services and recurring but intermittent skilled nursing services which are not available through other small (4-15 bed) community-based health facilities.
(5) The beneficiary's condition is such that there is a need for the provision of active treatment services as described at Section 73801, thereby leading to a higher level of beneficiary functioning and a lessening dependence on others in carrying out daily living activities or in the prevention of regression or in ameliorating developmental delay.
(6) The beneficiary shall have two or more developmental deficits as measured on the Client Developmental Evaluation Report prescribed by the Department of Developmental Services in any one or combination of the following three domains:
(A) Self-help domain:
1. Eating
2. Toileting
3. Bladder control
4. Dressing
(B) Motor domain:
1. Ambulation
2. Crawling and standing
3. Wheelchair mobility
4. Rolling and sitting
(C) Social emotional domain:
1. Aggression--has had one or more violent episodes causing minor physical injury within the past year or has resorted to verbal abuse and threats but has not caused physical injury within the past year.
2. Self-injurious behavior--behavior exists but results only in minor injuries which require first aid.
3. Smearing feces--smears once a week or more but less than once a day.
4. Destruction of property.
5. Running or wandering away.
6. Temper tantrums, or emotional outburst.
7. Unacceptable social behavior--positive social participation is impossible unless closely supervised or redirected.
(f) The beneficiary must have a need for active treatment, defined at Section 73801, Title 22, California Code of Regulations, and intermittent skilled nursing services such as:
(1) Apnea monitoring
(2) Colostomy care
(3) Gastrostomy feeding and care
(4) Naso-gastric feeding
(5) Tracheostomy care and suctioning
(6) Oxygen therapy
(7) Intermittent positive-pressure breathing
(8) Licensed nurse evaluation on an intermittent basis
(9) Catheterization
(10) Wound irrigation and dressing
(11) The beneficiary needs special feeding assistance.
(12) The beneficiary needs repositioning to avoid skin breakdown which would lead to decubitus ulcers and contractures.
(g) Conditions which would exclude beneficiaries from placement in an ICF/DD-N are as follows:
(1) Beneficiaries shall not have any of the following extreme developmental deficits in the social-emotional area:
(A) Aggression--has had violent episodes which have caused serious physical injury in the past year.
(B) Self-injurious behavior--causes severe injury which requires physician treatment at least once per year.
(C) Smearing--smears at every opportunity.
(2) Beneficiaries shall not be admitted to or approved for service in an intermediate care facility for the developmentally disabled-nursing if those beneficiaries have a decubitus ulcer at the third or fourth stage of development as defined in Title 22, California Code of Regulations, Section 73811.
(3) Beneficiaries shall not be admitted with clinical evidence of an active communicable disease that is required to be reported in accordance with Section 2500, Title 17, California Code of Regulations.
(h) There shall be a written individual program plan of care for each beneficiary, which shall be established by a physician prior to the beneficiary's admission to the facility and reviewed and evaluated at least every 90 days by all members of the interdisciplinary staff/team involved in the care of the individual. The plan of care shall include the following:
(1) Diagnoses, symptoms, complaints, and complications indicating the need for admission;
(2) A description of the functional level of the individual;
(3) Objectives;
(4) Any orders for:
(A) Medications;
(B) Treatments;
(C) Restorative and rehabilitative services;
(D) Activities;
(E) Therapies;
(F) Social services;
(G) Diet; and
(H) Special procedures designed to meet the objectives of the plan of care;
(5) Plans for continuing care, including review and modification of the plan of care;
(6) Plans for discharge.
(i) Each beneficiary shall have received a comprehensive medical evaluation within three months and a comprehensive social evaluation within six months prior to admission. A psychological evaluation (developmental evaluation for clients under 18 months of age) must have been completed within three months prior to admission. Subsequent medical, psychological and social evaluations shall be completed at least annually by staff involved in carrying out the beneficiary's plan of care. Each evaluation must include:
(1) Diagnoses;
(2) Summary of present medical, social, and where appropriate, developmental findings;
(3) Medical and social family history;
(4) Mental and physical functional capacity;
(5) Prognoses;
(6) Kinds of services needed;
(7) Evaluation by placement worker of the resources available to the beneficiary in the home, family and community; and
(8) A recommendation concerning:
(A) Admission to the ICF/DD-N, or
(B) Continued care in the ICF/DD-N for individuals who apply for Medi-Cal while in the ICF/DD-N.
(j) Each beneficiary shall receive a complete dental examination within one month following admission unless such an examination was done within six months prior to admission. In either case, a comprehensive report prepared by the dentist shall be completed and entered into the beneficiary's record. Each beneficiary shall be reexamined as needed, but at least annually.
(k) There shall be a periodic review, no less often than annually, of all care and services provided to beneficiaries receiving intermediate care facility services for the developmentally disabled-nursing by the State Medi-Cal Utilization Review Team in accordance with the requirements of Title 42, Code of Federal Regulations, Sections 456.602 through 456.604.
(l) Each beneficiary shall receive preventive health services as follows:
(1) Annual physical examinations that include examination of vision and hearing, routine screening laboratory examinations as determined necessary by the physician, and special studies when needed.
(2) Immunizations, using as a guide the most current recommendations of the Public Health Service Advisory Committee on Immunization Practices or the Committee on the Control of Infectious Diseases of the American Academy of Pediatrics.
(3) Tuberculosis control, appropriate to the ICF/DD-N population, in accordance with the most current recommendations of the American College of Chest Physicians or the section on diseases of the chest of the American Academy of Pediatrics or both.
(m) Regardless of frequency of contact, the attending physician shall recertify in writing, at least every 60 days, the beneficiary's need for continued care in the ICF/DD-N.
(n) Medi-Cal beneficiaries in the facility shall be seen by their attending physicians no less often than every 60 days.
(o) Services shall be provided at a level consistent with that described in the beneficiary's individual service plan.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; and Sections 208 and 1275.3, Health and Safety Code. Reference: Sections 1250.1 and 1275.3, Health and Safety Code.
HISTORY

1. New section refiled by the Department of Health Services with the Secretary of State on 5-30-89 as an emergency pursuant to Healthand Safety Code Section 1275.3; operative 5-30-89. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 89, No. 23). For prior history, see Register 89, No. 1.
2. Certificate of Compliance as to 5-30-89 order including amendment transmitted to OAL 9-27-89 and filed 10-26-89 (Register 89, No. 44).
§51344. In-Home Medical Care Waiver Services and Nursing Facility Waiver Services.
Note     •     History

(a) In-home medical care waiver services and nursing facility waiver services are covered when prescribed by a physician and provided at the beneficiary's place of residence in accordance with a written treatment plan indicating the need for in-home medical care waiver services or nursing facility waiver services and in accordance with a written agreement between the Department and the provider of service.
(b) All in-home medical care waiver services are subject to prior authorization. Authorization will be granted only:
(1) If the beneficiary for whom in-home medical care waiver services are requested would otherwise require care in an inpatient acute care hospital for at least 90 consecutive days; and
(2) If the total cost incurred by the Medi-Cal program of providing in-home medical care waiver services and other medically necessary Medi-Cal services to the beneficiary is less than the total cost incurred by the Medi-Cal program in providing all medically necessary services to the beneficiary in an inpatient acute care hospital and;
(3) If the beneficiary under 21 years of age for whom prior authorization for provision of in-home medical care waiver services in the beneficiary's home is requested has a relative, foster parent, or related or non-related legal guardian, or other responsible adult who is willing to become and remain involved in the care of the child, and become and remain proficient in performing the tasks necessary to care for the child. This requirement shall not be interpreted to mean that such person must provide any particular number of daily hours of care to the child. Notwithstanding this requirement, there shall be a responsible adult who is able to learn and perform the tasks necessary to care for the child. This person shall demonstrate his/her proficiency by performing these tasks as average of four hours per week (minimum of 16 hours each month) in order to maintain the skills necessary to take care of the child at home.
(4) If the beneficiary for whom in-home medical care waiver services are requested has, or will be placed in, a residence which meets the following criteria, as determined by the Department;
(A) The residence is large enough to accommodate the medical equipment and supplies required to maintain the patient in the residence; and
(B) The residence includes those physical adaptations which are necessary to ensure the health and safety of the waiver beneficiary; and
(C) The residence is clean and free of insects or pests.
(c) All nursing facility waiver services are subject to prior authorization. Prior authorization will be granted only:
(1) If the beneficiary for whom nursing facility waiver services are requested would otherwise require care in an inpatient nursing facility providing Medi-Cal nursing facility Level A services, pursuant to Section 51120, or nursing facility Level B services, pursuant to Section 51123, subacute services, pursuant to Section 51124.5, or pediatric care services, pursuant to Section 51124.6, for at least 90 consecutive days; and
(2) If the total cost incurred by the Medi-Cal program of providing nursing facility waiver services and other medically necessary Medi-Cal services to the beneficiary is less than the total cost incurred by the Medi-Cal program in providing care to the beneficiary in a nursing facility providing all medically necessary services at the level of Medi-Cal nursing facility service appropriate to the beneficiary's medical needs; and
(3) If the beneficiary under 21 years of age for whom prior authorization for provision of nursing facility waiver services in the beneficiary's home is requested has a relative, foster parent, or related or non-related legal guardian, or other responsible adult who is willing to become and remain involved in the care of the child, and become and remain proficient in performing the tasks necessary to care for the child. This requirement shall not be interpreted to mean that such person must provide any particular number of daily hours of care to the child. Notwithstanding this requirement, there shall be a responsible adult who is able to learn and perform the tasks necessary to care for the child. This person shall demonstrate his/her proficiency by performing these tasks an average of 4 hours per week (minimum of 16 hours each month) in order to maintain the skills necessary to take care of the child at home.
(4) If the beneficiary for whom nursing facility waiver services are requested has, or will be placed in, a residence which meets the following criteria, as determined by the Department:
(A) The residence is large enough to accommodate the medical equipment and supplies required to maintain the patient in the residence; and
(B) The residence includes those physical adaptations which are necessary to ensure the health and safety of the waiver beneficiary; and
(C) The residence is clean and free of insects or pests.
NOTE

Authority cited: Section 10725, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14114 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
2. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
3. Amendment of section heading and subsections (a)-(b)(2), new subsections (a)(3)-(c)(4)(C) and amendment of Note filed 10-20-94; operative 10-20-94 (Register 94, No. 42).
4. Editorial correction of History 3 (Register 95, No. 14).
§51345. Nurse Midwife Services.
Note     •     History

(a) Nurse midwife services permitted under state law are covered when provided by a certified nurse midwife.
(b) Services are limited to:
(1) The care of mothers and newborns through the maternity cycle of pregnancy, labor, birth, and the immediate postpartum period, not to exceed six weeks.
(2) Primary care as defined in Section 51170.5.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Section 14132.4, Welfare and Institutions Code.
HISTORY

1. New section filed 12-21-83; effective thirtieth day thereafter (Register 83, No. 52.).
§51345.1. Certified Family Nurse Practitioner and Certified Pediatric Nurse Practitioner Services.
Note     •     History

(a) Services provided by certified family nurse practitioners and certified pediatric nurse practitioners within the scope of their practice as authorized by California law are covered except as provided in (b).
(b) Services rendered to a person eligible for Medicare benefits, which are reimbursable by Medicare when performed by a physician shall be covered only when Medicare makes reimbursement for those services by that nurse practitioner.
(c) Services shall be subject to the requirements specified in Section 51305, to the extent that such requirements are applicable.
NOTE

Authority cited: Sections 14105, 14124.5 and 14132.41, Welfare and Institutions Code. Reference: Sections 14115.6 and 14132.41, Welfare and Institutions Code; and Sections 2834, 2835, 2835.5 and 2836, Business and Professions Code.
HISTORY

1. New section filed 8-13-86; effective upon filing (Register 86, No. 33).
2. Amendment of section heading, text and Note filed 5-3-93 as an emergency; operative 5-3-93 (Register 93, No. 19). A Certificate of Compliance must be transmitted to OAL 8-31-93 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed 5-3-93  by operation of  Government Code section 11346.1(f) (Register 93, No. 44).
4. Amendment of section heading, text and Note refiled 10-27-93 as an emergency; operative 10-27-93 (Register 93, No. 44).   A Certificate of Compliance must be transmitted to OAL by 2-25-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-27-93 order including amendment of Note transmitted to OAL 10-18-93 and filed 12-2-93 (Register 93, No. 49).
§51346. Home and Community-Based Waiver Services.
Note     •     History

(a) Home and community-based waiver services shall be provided and reimbursed as Medi-Cal covered benefits only:
(1) For the duration of the applicable federally approved waiver;
(2) To the extent the services are set forth in the applicable waiver approved by the Department of Health and Human Services; and
(3) To the extent the Department can claim and be reimbursed federal funds for these services.
(b) In the event a home and community-based waiver service is the same as a service otherwise set forth in this article, commencing with Section 51301, and the scope and duration of the home and community-based waiver services are not specifically set forth in the waiver, then the scope and duration of benefits as set forth in this article shall apply.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87. Reference: Sections 14114 and 14132(s), Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-83 as an emergency; effective upon filing (Register 83, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed 6-25-83.
2. Certificate of Compliance including editorial correction transmitted to OAL 6-22-83 and filed 7-27-83 (Register 83, No. 31).
3. Amendment of section heading, subsections (a) and (b) and Note filed 10-20-94; operative 10-20-94 (Register 94, No. 42).
4. Editorial correction of History 3 (Register 95, No. 14).
§51347. Swing Bed Services.
Note     •     History

Swing bed services are covered pursuant to the requirements specified in Section 51335.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1339.5, 1339.7 and 1339.9, Health and Safety Code.
HISTORY

1. New section filed 1-17-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 3).
2. Editorial correction of NOTE (Register 97, No. 37).
§51348. Comprehensive Perinatal Services.
Note     •     History

(a) Comprehensive perinatal services, as defined in Section 51179, are covered to the extent specified in this section. Prior authorization is required for nutrition, psychosocial and health education services which exceed the Maximum Frequency amounts as set forth in Section 51504.
(b) Except where a capitated health system contract entered into by the Department provides otherwise, obstetrical services in addition to all necessary medical care shall include, but are not limited to:
(1) A written assessment of each patient's obstetrical status.
(2) Preparation of the individualized care plan obstetrical component.
(c) Except where a capitated health system contract entered into by the Department provides otherwise, nutrition services shall include but are not limited to:
(1) Written assessments of each patient's nutritional status.
(A) A complete initial nutrition assessment shall be performed at the initial visit or within four weeks thereafter and shall include: anthropometric data, biochemical data, clinical data, and dietary data.
(B) A nutrition reassessment using updated information shall be offered to each client at least once every trimester and the individualized care plan revised accordingly.
(2) Preparation of the individualized care plan nutritional component that addresses:
(A) The prevention and/or resolution of nutrition problems.
(B) The support and maintenance of strengths and habits oriented toward optimal nutritional status, and;
(C) The goals to be achieved via nutrition interventions.
(3) Dispensing, as medically necessary, prenatal vitamin/mineral supplement to each client.
(4) Treatment and intervention directed toward helping the patient understand the importance of, and maintain good nutrition during pregnancy and lactation, with referrals as appropriate.
(5) Postpartum reassessment, development of a care plan, and interventions.
(d) Except where a capitated health system contract entered into by the Department provides otherwise, health education services shall include, but are not limited to:
(1) Client orientation including, but not limited to provision of detailed information regarding the services to be provided, what to do in case of an emergency, and;
(2) Written assessments of each patient's health education status.
(A) A complete initial education assessment shall be performed at the initial visit or within four weeks thereafter and shall include an evaluation of: current health practices; past experience with health care delivery systems; prior experience with and knowledge about pregnancy, prenatal care, delivery, postpartum self-care, infant care, and safety; client's expressed learning needs; formal education and reading level; learning methods most effective for the client; educational needs related to diagnostic impressions, problems, and/or risk factors identified by staff; languages spoken and written; mental, emotional, or physical disabilities that affect learning; mobility/residency; religious/cultural influences that impact upon perinatal health; and client and family or support person's motivation to participate in the educational plan. 
(B) An education reassessment using updated information shall be offered to each client every trimester and the individualized care plan revised accordingly.
(3) Preparation of the individualized care plan health education component that addresses:
(A) Health education strengths.
(B) The prevention and/or resolution of health education problems and/or needs and medical conditions and health promotion/risk reduction behaviors which can be ameliorated and/or resolved through education.
(C) The goals to be achieved via health education interventions.
(D) Health education interventions based on the patient's identified needs, interests, and capabilities, and particularly directed toward assisting the patient to make appropriate, well-informed decisions about her pregnancy, delivery, and parenting, with referrals, as appropriate.
(4) Postpartum assessment, development of care plan, and interventions.
(e) Except where a capitated health system contract entered into by the Department provides otherwise, psychosocial services shall include, but are not limited to:
(1) Written assessments of each patient's psychosocial status.
(A) A complete initial assessment of psychosocial functioning shall be performed at the initial visit or within four weeks thereafter and shall include review of: current status including social support system; personal adjustment to pregnancy; history of previous pregnancies; patient's goals for herself in this pregnancy; general emotional status and history; wanted or unwanted pregnancy, acceptance of the pregnancy; substance use and abuse; housing/household; education/employment; and financial/material resources.
(B) A psychosocial reassessment using updated information shall be offered to each client every trimester, and the individualized care plan revised accordingly.
(2) Preparation of the individualized care plan psychosocial component that addresses:
(A) The prevention and/or resolution of psychosocial problems.
(B) The support and maintenance of strengths in psychosocial functioning, and;
(C) The goals to be achieved via psychosocial interventions.
(3) Treatment and intervention directed toward helping the patient understand and deal effectively with the biological, emotional, and social stresses of pregnancy with referrals, as appropriate.
(4) Postpartum reassessment, development of a care plan, and interventions.
(f) Review and revisions of the care plan shall occur during the antenatal, intrapartum, and postpartum periods on a regular basis and will be based on repeated and ongoing assessments and evaluation of the client's status.
(g) Nutrition, psychosocial, and health education services as defined in Sections 51179.2, 51179.3, and 51179.4 shall be provided by a comprehensive perinatal practitioner as defined under Section 51179.7.
(h) Each Comprehensive Perinatal Provider shall perform the duties of, or shall have on staff or employ or contract with one or more comprehensive perinatal practitioners as defined in Section 51179.7, to provide interdisciplinary services.
(i) Each Comprehensive Perinatal Provider shall inform the beneficiary what services will be provided, who will provide these services, where to obtain the services, when the services will be delivered, and procedures to follow in case of emergency.
(j) The Comprehensive Perinatal Provider shall refer patients, as appropriate, to services not specifically made part of comprehensive perinatal services, as defined in Section 51179. These services shall include, but are not limited to, those provided by the following programs: Women, Infants, and Children Supplemental Foods, Child Health and Disability Prevention, Family Planning, Genetic Disease, and Dental.
(k) The Comprehensive Perinatal Provider shall complete and forward to the Department, upon request, a Perinatal Data Form in a format prescribed by the Department for each patient served.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including amendment filed 9-17-87 (Register 87, No. 38).
4. Editorial correction of subsection (i) (Register 95, No. 45).
§51348.1. Comprehensive Perinatal Standards of Care.
Note     •     History

(a) Services shall be provided in conformance with:
(1) “Standards for Obstetric-Gynecologic Services, Sixth Edition,” herein incorporated by reference in its entirety and available from the American College of Obstetricians and Gynecologists, 600 Maryland Avenue, South West, Suite 300 East, Washington D.C., 20024-2588.
(2) Newborn Screening Regulations as set forth in Title 17, California Administrative Code, Section 6500 et seq.
(3) Hemolytic Disease of the Newborn Requirements as set forth in Title 17, California Administrative Code, Section 6510 et seq.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-1787.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance filed 9-17-87 (Register 87, No. 38).
§51348.2. Patient Rights.
Note     •     History

(a) Patient participation in the comprehensive perinatal services program shall be voluntary. Each eligible patient shall be informed about the services available in the program, the potential risks and benefits of participation, and alternative obstetrical care if she chooses not to participate in the program.
(b) Prior to the administration of any assessment, drug, procedure, or treatment, the patient shall be informed of potential risks or hazards which may adversely affect her or her unborn infant during pregnancy, labor, birth, or postpartum and the alternative therapies available to her. The patient has a right to consent or refuse the administration of any assessment, drug, procedure or treatment.
(c) The patient has the right to be treated with dignity and respect, to have her privacy and confidentiality maintained, to review her medical treatment and record with her physician or practitioner, to be provided explanations about tests and clinic procedures, to have her questions answered about procedures, to have her questions answered about her care, and to participate in the planning and decisions about her management during pregnancy, labor and delivery.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14134.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance filed 9-17-87 (Register 87, No. 38).
§51349. Hospice Care.
Note     •     History

(a) Hospice care, as defined in Section 51180 is covered to the extent specified in this section.
(b) Of the four levels of care described in subsection (j), only general inpatient care is subject to prior authorization. Authorization for general inpatient care shall be granted only when all applicable requirements, as set forth in the Criteria for Authorization of Hospice Care section of the Department's Manual of Criteria for Medi-Cal Authorization, are met.
(c) Services shall be limited to individuals who have been certified as terminally ill in accordance with the procedures specified in Title 42, Code of Federal Regulations, Part 418, Subpart B, and who directly or through their representative voluntarily elect to receive such benefits in lieu of other care as specified.
(d) An individual who elects to receive hospice care, or that individual's representative as defined in Section 51180.3 must file an election statement with the hospice providing the care. The election statement shall include:
(1) Identification of the hospice.
(2) The individual's or representative's acknowledgement that:
(A) He or she has full understanding that the hospice care given as it relates to the individual's terminal illness will be palliative rather than curative in nature.
(B) Certain Medi-Cal benefits as specified in subsection (f) are waived by the election.
(3) The effective date of the election.
(4) The signature of the individual or representative.
(e) Elections may be made for up to two periods of 90 days each, one subsequent period of 30 days, and one 180-day extension of the 30-day period. Hospice services shall not be covered beyond 390 days.
(1) Payment shall be made for hospice care on behalf of an individual who voluntarily elects such care only during the two periods of 90 days each and one subsequent period of 30 days and any subsequent extension during the individual's lifetime.
(2) An election period shall be considered to continue through the initial election period and through subsequent election periods as long as the hospice provider agrees to renew the election and as long as the individual:
(A) Remains in the care of the hospice; and
(B) Does not revoke the election.
(3) An individual's voluntary election may be revoked or modified at any time. To revoke the election of hospice care, the individual or representative must file a statement with the hospice that includes the following information:
(A) A signed statement that the individual or representative revokes the individual election for Medi-Cal coverage for the remainder of the election period.
(B) The effective date, which may not be earlier than the date the revocation is made.
(4) Revocation shall constitute a waiver of the right to hospice care during the remainder of the current 90 or 30-day election period plus any extension.
(5) An individual may at any time after revocation execute a new election for any remaining entitled election period.
(6) An individual may once in each election period elect to receive services through a hospice program different than the hospice with which the election was made. Such change shall not be considered a revocation pursuant to subparagraph (A). Such change shall be made in accordance with the procedure specified in 42 Code of Federal Regulations, Part 418, Subpart B.
(f) An individual who voluntarily elects hospice care under subsection (c) shall waive the right to payment on his or her behalf for all Medi-Cal services related to the terminal condition for which hospice care was elected, except for:
(1) Services provided by the designated hospice.
(2) Services provided by another hospice through arrangement made by the designated hospice.
(3) Services provided by the individual's attending physician if that physician is not employed by the designated hospice or receiving compensation from the hospice for those services.
(g) A plan of care shall be established by the hospice for each individual before services are provided. Services must be consistent with the plan of care. The plan of care shall conform to the standards specified in 42 Code of Federal Regulations, Part 418, Subpart C.
(h) The following services, when reasonable and necessary for the palliation or management of a terminal illness and related conditions are covered when provided by qualified personnel:
(1) Nursing services when provided by or under the supervision of a registered nurse.
(2) Physician services when provided by any Medi-Cal enrolled physician except that the services of the hospice medical director or the physician member of the interdisciplinary group, as required under 42 Code of Federal Regulations, Part 418, Subpart C shall be performed by a doctor of medicine or osteopathy.
(3) Medical social services when provided by a social worker with at least a Bachelor's degree in social work, from a school approved or accredited by the council on Social Work Education, under the direction of a physician.
(4) Counseling services when provided to the terminally ill individual and the family member or other persons caring for the individual at home. Counseling shall, as appropriate, be provided for the purpose of training the individual's family or other care giver to provide care and to help the individual and those caring for him or her to adjust to the individual's approaching death and to cope with feelings of grief and loss.
(5) Short-term inpatient care when provided in a hospice inpatient unit or in a hospital or a skilled nursing facility/Level B, that meets the standards specified in 42 Code of Federal Regulations, Part 418, Subpart E regarding staffing and patient areas.
(6) Drugs and Biologicals when used primarily for the relief of pain and symptom control related to the individual's terminal illness.
(7) Medical supplies and appliances.
(8) Home health aide services and homemaker services when provided under the general supervision of a registered nurse. Services may include personal care services and such household services as may be necessary to maintain a safe and sanitary environment in the areas of the home used by the patient.
(9) Physical therapy, occupational therapy and speech-language pathology when provided for the purpose of symptom control, or to enable the patient to maintain activities of daily living and basic functional skills.
(i) Bereavement counseling as necessary shall be made available to the patient's immediate family or significant other for up to one year after death, however bereavement counseling is not reimbursable through the Medi-Cal program.
(j) Reimbursement for covered services, with the exception of physician services, shall be made at one of the four levels specified below and in Section 51544. Coinsurance on behalf of Medicare eligible beneficiaries and room and board for residents of skilled nursing/Level B or intermediate care facilities/Level A shall be paid to the hospice as specified in Section 51544.
(1) Routine home care shall be covered for each day the recipient is at home and is not receiving continuous care.
(2) Continuous home care shall be covered only during periods of crisis when skilled nursing care is necessary on a continuous basis to achieve palliation or management of the patient's pain or symptoms in order to maintain the recipient in his/her residence. Continuous care may include homemaker and/or home health aide services but must be predominantly nursing in nature.
(3) Respite care shall be covered only when provided in an inpatient facility, on an occasional, intermittent and nonroutine basis and only when necessary to relieve family members or other persons caring for the terminally ill individual.
(4) General inpatient care shall be covered only when the patient requires and receives general inpatient care in an inpatient facility for pain control or chronic symptom management which cannot be managed in the patient's residence.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14132 and 14133.85, Welfare and Institutions Code.
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency will be repealed on 2-24-88.
2. Certificate of Compliance transmitted to OAL 2-24-88 and filed -22-88 (Register 88, No. 15).
3. Amendment of section and Note filed 3-27-2000 as an emergency; operative 3-30-2000 (Register 2000, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-27-2000 order transmitted to OAL 7-17-2000 and filed 8-28-2000 (Register 2000, No. 35).
§51350. Personal Care Services.
Note     •     History

(a) Personal care services as specified in section 51183 are provided when authorized by the staff of a designated county department based on the state approved Uniformity Assessment tool. To the extent not inconsistent with statutes and regulations governing the Medi-Cal program, the needs assessment process shall be governed by the Department of Social Services' Manual of Policies and Procedures Sections 30-760, 30-761, and 30-763.
(b) Personal care services may be provided only to a categorically needy beneficiary as defined in Welfare and Institutions Code, Section 14050.1, who has a chronic, disabling condition that causes functional impairment that is expected to last at least 12 consecutive months or that is expected to result in death within 12 months and who is unable to remain safely at home without the services. The services shall be provided in the beneficiary's home or other locations as may be authorized by the Director subject to federal approval. Personal care services authorized shall not exceed 283 hours in a calendar month.
(c) Personal care services will be prescribed by a physician. The beneficiary's medical necessity for personal care shall be certified by a licensed physician. Physician certification shall be done annually.
(d) Registered nurse supervision consists of review of the service plan and provision of supportive intervention. The nurse shall review each case record at least every twelve months. The nurse shall make home visits to evaluate the beneficiary's condition and the effectiveness of personal care services based on review of the case record or whenever determined as necessary by staff of a designated county department. If appropriate, the nurse shall arrange for medical follow-up. All nurse supervision activities shall be documented and signed in the case record of the beneficiary.
(e) Paramedical services when included in the personal care plan of treatment must be ordered by a licensed health care professional lawfully authorized by the State. The order shall include a statement of informed consent saying that the beneficiary has been informed of the potential risks arising from receipt of such services. The statement of informed consent shall be signed and dated by the beneficiary, the personal representative of the beneficiary, or in the case of a minor, the legal parent or guardian.
(f) Grooming shall exclude cutting with scissors or clipping toenails.
(g) Menstrual care is limited to external application of sanitary napkin and cleaning. Catheter insertion, ostomy irrigation and bowel program are not bowel or bladder care but paramedical.
(h) Repositioning, transfer skin care, and range of motion exercises have the following limitations:
(1) Includes moving from one sitting or lying position to another sitting or lying position; e.g., from bed to or from a wheelchair, or sofa, coming to a standing position and/or rubbing skin and repositioning to promote circulation and prevent skin breakdown. However, if decubiti have developed, the need for skin and wound care is a paramedical service.
(2) Range of motion exercises shall be limited to the general supervision of exercises which have been taught to the beneficiary by a licensed therapist or other health care professional to restore mobility restricted because of the injury, disuse or disease. Range of motion exercises shall be limited to maintenance therapy when the specialized knowledge or judgment of a qualified therapist is not required and the exercises are consistent with the beneficiary's capacity and tolerance. Such exercises shall include the carrying out of maintenance programs. i.e., the performance of the repetitive exercises required to maintain function, improve gait, maintain strength or endurance; passive exercises to maintain range of motion in paralyzed extremities; and assistive walking.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51351. Targeted Case Management Services.
Note     •     History

(a) Targeted case management services shall include at least one of the following service components:
(1) A documented assessment identifying the beneficiary's needs. The assessment shall support the selection of services and assistance necessary to meet the assessed needs and shall include the following, as relevant to each beneficiary:
(A) Medical/mental condition.
(B) Physical needs, such as food and clothing.
(C) Social/emotional status.
(D) Housing/physical environment.
(E) Familial/social support system.
(F) Training needs for community living.
(G) Educational/vocational needs.
(2) Development of a comprehensive, written, individual service plan, based upon the assessment specified in subsection (a)(1) above. The plan shall be developed in consultation with the beneficiary and/or developed in consultation with the beneficiary's family or other social support system. The plan shall be in writing and, as relevant to each beneficiary, document the following:
(A) The nature, frequency, and duration of the services and assistance required to meet identified needs.
(B) The programs, persons and/or agencies to which the beneficiary will be referred.
(C) Specific strategies to achieve specific beneficiary outcomes.
(D) Case manager's supervisor's signature.
(3) Implementation of the service plan includes linkage and consultation with and referral to providers of service. The case manager shall follow-up with the beneficiary and/or provider of service to determine whether services were received and whether the services met the needs of the beneficiary. The follow-up shall occur as quickly as indicated by the assessed need, but shall not exceed thirty (30) days from the scheduled service.
(4) Assistance with accessing the services identified in the service plan includes the following:
(A) Arranging appointments and/or transportation to medical, social, educational and other services.
(B) Arranging translation services to facilitate communication between the beneficiary and the case manager, or the beneficiary and other agencies or providers of service.
(5) Crisis assistance planning to coordinate and arrange immediate service or treatment needed in those situations that appear to be emergent in nature or which require immediate attention or resolution in order to avoid, eliminate or reduce a crisis situation for a specific beneficiary.
(A) For the target populations defined in Section 50262.7(a)(2), crisis assistance planning shall be restricted to non-medical situations.
(6) Periodic review of the beneficiary's progress toward achieving the service outcomes identified in the service plan to determine whether current services should be continued, modified or discontinued. The review or reinvestigation shall be:
(A) Completed at least every six months,
(B) Conducted by the case manager in consultation with the beneficiary and/or in consultation with the beneficiary's family or social support system, and
(C) Approved by the case manager's supervisor.
(7) Any modifications to the plan of service shall be made in writing and become an addendum to the plan of service.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealed by operation of Government Code section 11346.1(g) (Register 97, No. 15).
5. New section filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
§51351.1. Targeted Case Management Provider Contracts.
Note     •     History

(a) A targeted case management services provider may contract with a nongovernmental entity or the University of California, or both, to provide targeted case management services on its behalf, when the following conditions exist:
(1) The targeted case management services provider employs at least one case manager who provides all of the service components that constitute a targeted case management service, as described in Section 51351.
(2) The nongovernmental entity shall not be a local educational agency.
(b) If the targeted case management services provider has contracted with the same nongovernmental entity or the University of California, or both, to provide targeted case management services and perform and claim the costs of administrative activities pursuant to Welfare and Institutions Code, Section 14132.47, the following shall apply:
(1) The subcontract amount for targeted case management and the subcontract amount for administrative activities shall be separately identified in the agreement between the targeted case management service provider and the nongovernmental entity or the University of California, or both.
(2) Individual staff employed by the subcontractor shall only perform and claim the costs of targeted case management services or administrative activities, not both.
(3) Local governmental agency subcontractors shall not perform contract management, program planning and policy development, coordination of targeted case management data systems and claiming, targeted case management quality assurance and/or performance monitoring.
(c) All contracts between the targeted case management services provider and the nongovernmental entity or the University of California, or both, for the provision of targeted case management services under this section, shall be subject to the same terms and conditions as the contract between the department and the targeted case management services provider. The targeted case management services provider is liable for the acts and omissions of a subcontractor.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealed by operation of Government Code section 11346.1(g) (Register 97, No. 15).
5. New section filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
§51355. Tuberculosis (TB) Related Services.
Note     •     History

(a) The following outpatient services shall be covered as Tuberculosis (TB) Related Services as defined in Section 51187.1 when provided in accordance with the requirements of this chapter:
(1) Physician Services as specified in Section 51305.
(2) Laboratory Services as specified in Section 51311.
(3) Radiologic Services as specified in Section 51311.
(4) Anti-Tuberculosis Medications.
(5) Directly Observed Therapy as defined in Section 51187.1.
(6) Targeted Case Management Services as specified in Section 14132.44, Welfare and Institutions Code.
NOTE

Authority cited: Sections 10725, 14005.20, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Sections 14059 and 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 8-16-95 as an emergency; operative 8-16-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-14-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-14-95 as an emergency; operative 12-14-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-8-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-8-96 order, including new subsections (a)(4)-(6), repealer of subsection (b) and amendment of Note, transmitted to OAL 7-30-96 and filed 9-11-96 (Register 96, No. 37).
§51356. Licensed Midwife Services.
Note     •     History

(a) The following services shall be covered as licensed midwife services under the Medi-Cal Program when provided by a licensed midwife supervised by a licensed physician and surgeon as specified in Section 51255:
(1) Attendance at cases of normal childbirth and
(2) The provision of prenatal, intrapartum, and postpartum care, including family planning care, for the mother, and immediate care for the newborn.
(b) All complications that arise during childbirth that may prevent a vaginal delivery or place the unborn child or mother at risk shall be immediately referred to the supervising licensed physician and surgeon as described in Section 51255.
(c) As used in this section, “supervision” shall not be construed to require the physical presence of the supervising licensed physician and surgeon.
(d) In the event of home birth attended by a licensed midwife, the midwife shall provide information and instructional materials on shaken baby syndrome to the parents or guardians of the newborn, pursuant to Health and Safety Code Section 24522.
(e) A licensed midwife shall provide newborn screening information to parents or guardians in accordance with the requirements of California Code of Regulations Title 17 Section 6504.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Section 14132.39, Welfare and Institutions Code; Sections 550-558 and 2505-2521, Business and Professions Code; and Section 24522, Health and Safety Code.
HISTORY

1. New section filed 9-3-2004; operative 10-3-2004 (Register 2004, No. 36).
§51360. Local Educational Agency (LEA) Services.
Note     •     History

(a) Local Educational Agency (LEA) Services, as defined in Section 1190.4, are covered to the extent specified in this section.  Frequency limitations are set forth in Section 51535.5.
(b) LEA Services shall include (1) through (8) below:
(1) LEA health and mental health evaluation and health and mental health education services, which include any or all of the following:
(A) Nutritional assessment and nutrition education, consisting of assessments and non-classroom nutrition education delivered to the LEA eligible beneficiary based on the outcome of the nutritional health assessment (diet, feeding, laboratory values, and growth).
(B) Vision assessment, consisting of examination of visual acuity at the far point conducted by means of the Snellen Test.
(C) Hearing assessment, consisting of testing for auditory impairment using at-risk criteria and appropriate screening techniques as defined in Title 17, California Code of Regulations, Sections 2951(c).
(D) Developmental assessment, consisting of examination of the developmental level by review of developmental achievement in comparison with expected norms for age and background.
(E) Assessment of psychosocial status, consisting of appraisal of cognitive, emotional, social, and behavioral functioning and self-concept through tests, interviews, and behavioral evaluations.
(F) Health education and anticipatory guidance appropriate to age and health status, consisting of non-classroom health education and anticipatory guidance based on age and developmentally appropriate health education.
(2) LEA physical therapy, which consists of physical therapy services as set out in Section 51309(b) when provided by an LEA practitioner to an LEA eligible beneficiary.
(3) LEA occupational therapy, which consists of physical therapy services as set out in Section 51309(c) when provided by an LEA practitioner to an LEA eligible beneficiary.
(4) LEA speech pathology and audiology services, which consist of: speech pathology services as defined in Section 51096, and audiology services as defined in Section 51098 when provided by an LEA practitioner to an LEA eligible beneficiary.
(5) LEA psychology and counseling services, consisting of diagnosis and psychological counseling of LEA eligible beneficiaries with identified mental health, substance abuse, behavioral adjustment, or social problems.
(6) LEA nursing services, consisting of preventive and medically necessary nursing services rendered at the school site.  Services for accompanying the LEA eligible beneficiary off-campus for delivery of health services are also reimbursable if specified as medically necessary in the Individualized Education Plan (IEP), as defined in Education Code, Section 56340 et seq.; Individualized Family Service Plan (IFSP), as set forth in Government Code, Section 95020; or Individualized Health and Support Plan (IHSP), as set forth in Section 51535.5(f)(2)(C).
(7) LEA school health aide services, consisting of the direct provision  of specialized physical health care services rendered at the school site.  Services for accompanying the LEA eligible beneficiary off-campus for delivery of health services are also reimbursable if specified as medically necessary in the child's IEP, as set forth in Education Code, Section 56340 et seq.; IFSP, as set forth in Government Code, Section 95020; or IHSP, as set forth in Section 51535.5(f)(2)(C).
(8) LEA medical transportation, which consists of medical transportation as described in Section 51323(a), and the associated mileage.  
(A) For beneficiaries without an IEP or IFSP, services are limited to trips between the school site and a location at which health services are rendered.
(B) For beneficiaries with an IEP or IFSP, LEA medical transportation may include trips to and from the residence, school site or other sites of service when all of the following conditions are met on the day of service:
1. The beneficiary receives a Medicaid covered service other than medical transportation at the site being transported to; and
2. Both, the Medicaid covered service and medical transportation are included in the beneficiary's IEP or IFSP.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14124.5, 14131, 14132, 14132.15, 14133, 14133.1, 14133.3, 14133.6 and 14133.9, Welfare and Institutions Code; Section 56340 et seq., Education Code; and Section 95020, Government Code.
HISTORY

1. New section filed 12-22-93 as an emergency; operative 12-22-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-22-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-22-93 order including amendment of subsections (b)(7)-(8) and new subsections (b)(8)(A)-(B)2 transmitted to OAL 4-20-94 and filed 6-2-94 (Register 94, No. 22).
§51365. Targeted Case Management Services Program.
Note     •     History

(a) Persons who are eligible to receive targeted case management services shall consist of the following Medi-Cal beneficiary groups:
(1) High-risk persons as defined in Section 51185.
(2) Persons who have language or other comprehension barriers and:
(A) Are unable to access or appropriately utilize services themselves,
(B) Have demonstrated noncompliance with their medical regimen;
(C) Are unable to understand medical directions because of language or other comprehension barriers; or
(D) Have no community support system to assist in follow-up care at home.
(3) Persons who are 18 years of age and older and who:
(A) Are on probation and have a medical and/or mental condition; or
(B) Have exhibited an inability to handle personal, medical, or other affairs; or
(C) Are under public conservatorship of person and/or estate; or
(D) Have a representative payee; or
(E) Are in frail health and in need of assistance to access services in order to prevent institutionalization.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering former section 50262.7 to new section 51365 filed 6-9-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
Article 5. Scope and Duration of Supplemental Schedule of Benefits
§51401. Medically Needy Benefits.
History

HISTORY

1. Amendment filed 7-1-70; designated effective 8-1-70 (Register 70, No. 27). For prior history, see Register 69, No. 19.
2. Repealer filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
§51403. General Provisions.
History

HISTORY

1. Repealer filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 72, No. 40.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
§51405. Physicians' Services.
History

HISTORY

1. Repealer filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 75, No. 43.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
§51406. Nursing Home and Convalescent Home Services.
History

HISTORY

1. Repealer filed 7-1-70; designated effective 8-1-70 (Register 70, No. 27). For prior history, see Register 69, No. 19.
§51407. Blood and Blood Derivatives.
History

HISTORY

1. Repealer filed 7-1-70; designated effective 8-1-70 (Register 70, No. 27). For prior history, see Register 67, No. 52.
§51409. Physical Therapy Services.
Note     •     History

NOTE

Authority cited: Section 14133, Welfare and Institutions Code.
HISTORY

1. Repealer filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 75, No. 34.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
§51410. Podiatrists' Services.
Note     •     History

NOTE

Authority cited: Sections 10553.1, 10554, 10554.1, 11004, 11050, 11100, 14005.1, 14005.2, 14005.4, 14005.6, 14005.7, 14016, 14017, 14023, 14051, 14053, 14100.1, 14105, 14124.5 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 12-28-73 as an emergency; designated effective 1-1-74. Certificate of Compliance included (Register 73, No. 52).
2. Repealer filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
3. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
§51413. Prescribed Drugs.
History

HISTORY

1. Amendment filed 7-1-75 as an emergency; designated effective 7-1-75 (Register 75, No. 27). For prior history, see Register 72, No. 43.
2. Certificate of Compliance filed 10-24-75 (Register 75, No. 43).
3. Repealer filed 12-23-75 as an emergency; effective upon filing (Register 75, No. 52).
4. Certificate of Compliance filed 3-19-76 (Register 76, No. 12).
§51427. Inpatient Hospital Services.
History

HISTORY

1. Repealer filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20). For prior history, see Register 75, No. 43.
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
Article 6. Eligibility for Payment
§51451. Inclusions, Exclusions and Suspensions.
Note     •     History

All individuals, partnerships, clinics, groups, associations, corporations or institutions meeting the requirements specified in the Definitions (Article 2 of Chapter 3 of these Regulations) and Standards for Participation (Article 3 of Chapter 3 of these Regulations) may participate in the California Medical Assistance Program except where such individuals, partnerships, clinics, groups, associations, corporations or institutions have been suspended or have had their provider number(s) deactivated.
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.26, 14043.36, 14043.62, 14043.7 and 14123, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-23-66 as an emergency; effective upon filing; Certificate of Compliance included (Register 66, No. 19).
2. Amendment filed 11-15-68; effective thirtieth day thereafter (Register 68, No. 43).
3. Amendment filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
4. Amendment filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
5. Amendment of section and Note filed 2-3-2003 as an emergency; operative 2-3-2003 (Register 2003, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 8-5-2003 as an emergency; operative 8-5-2003 (Register 2003, No. 32). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. Amendments to remain in effect for 180 days pursuant to section 78, chapter 146, Statutes of 1999 (AB 1107). A Certificate of Compliance must be transmitted to OAL by 2-2-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). Emergency amendments exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75. A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
8. Reinstatement of section and Note as they existed prior to 2-3-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 24).
9. Amendment of section and Note refiled 6-8-2004 as an emergency; operative 6-8-2004 (Register 2004, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-2004 or emergency language will be repealed by operation of law on the following day.
10. Reinstatement of section as it existed prior to 6-8-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 41).
11. Amendment of section and Note filed 9-29-2004 as an emergency; operative 10-7-2004 (Register 2004, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL pursuant to Welfare and Institutions Code section 14043.75.
12. Amendment of section and Note refiled 1-27-2005 as an emergency; operative 2-5-2005 (Register 2005, No. 4). A Certificate of Compliance must be transmitted to OAL by 6-6-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
13. Amendment of section and Note refiled 6-2-2005 as an emergency; operative 6-7-2005 (Register 2005, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-5-2005 or emergency language will be repealed by operation of law on the following day. Deemed emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14043.75.
14. Certificate of Compliance as to 6-2-2005 order transmitted to OAL 9-29-2005 and filed 11-10-2005 (Register 2005, No. 45).
§51452. Violation of Regulations, Administrative Sanctions.
Note     •     History

(a) Violation of any Medi-Cal statute, rule or regulation relating to the provision of health care services under the California Medical Assistance Program by an individual, partnership, clinic, group, association, corporation, or institution, or any officer, director, agent or employee, shall be deemed contrary to public health, safety, welfare, morals, and to said program, and to constitute grounds for issuing a reprimand; placing the provider on probationary status; or suspension from participation in said program.
(b) The type and degree of the sanction shall be governed by the severity of the violation. Mitigating circumstances shall be considered in reaching a final determination on whether administrative sanctions will be imposed and the extent and degree of their severity.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14123, Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
2. Amendment filed 4-9-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
§51453. Recommendation for Suspension.
Note     •     History

The Director may commence proceedings under Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code leading to the suspension of any individual, partnership, clinic, group, association, corporation or institution from participation in the California Medical Assistance Program, upon the recommendation of a county, a fiscal intermediary, any state or federal department, agency, board or commission, a person or group of persons, or upon his own motion; however, only the Director or other personnel employed by the Department shall be authorized to sign an accusation to commence the proceedings referred to herein.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14123, Welfare and Insitutions Code.
HISTORY

1. Amendment filed 11-15-68; effective thirtieth day thereafter (Register 68, No. 43). For prior history, see Register 67, No. 52.
2. Amendment filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
3. Amendment filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3).
4. New NOTE filed 12-14-84 (Register 84, No. 50).
§51454. Provider Defined.
Note     •     History

As used in this article, “provider” shall have the same meaning as in Section 51051. 
NOTE

Authority cited: Sections 10725, 14043.75 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14043, 14043.1 and 14123, Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
2. New NOTE filed 12-14-84 (Register 84, No. 50).
3. Amendment of section and Note filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
4. Amendment of section and Note refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
5. Amendment of section and Note refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51454.1. Provider of Personal Care Services Defined.
Note     •     History

For purposes of this article, providers of personal care services are defined in Section 51181.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51455. Prior Authorization.
Note     •     History

(a) Any provider may be subjected to a requirement of prior authorization for all or certain specified services to be rendered under the California Medical Assistance Program, by written notice served on such provider from the Director or a carrier. The requirement for prior authorization may be imposed on such provider by the Director upon a determination that the provider has been rendering unnecessary services to a Medi-Cal beneficiary.
(b) As used in this regulation, “unnecessary services” includes but is not limited to any of the following which exceed customary and usual practices in terms of frequency, quantity, propriety, or length of treatment:
(1) Office, home or inpatient visits.
(2) Furnishing, prescribing or ordering drugs, appliances, services, hospital, skilled nursing facility or intermediate care facility admissions.
(c) The written notice of requirement for prior authorization shall state the nature, type, and extent of the services determined by the director to have been unnecessary, and shall also state which services shall be subject to prior authorization and the duration that such prior authorization shall remain in force.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14103.6 and 14133, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32). For prior history, see Register 70, No. 9.
2. Amendment of subsection (a) filed 8-16-78 as an emergency; designated effective 8-16-78 (Register 78, No. 32).
3. Certificate of Compliance filed 12-12-78 (Register 78, No. 50).
4. New NOTE filed 12-14-84 (Register 84, No. 50).
§51456. Signing Treatment Authorization Requests.
Note     •     History

Any provider who prescribes a service shall not sign a Treatment Authorization Request (TAR) until the patient has been examined and all of the following information appears on the TAR:
(a) Beneficiary identification;
(b) Provider identification;
(c) Diagnosis and other pertinent medical information; 
(d) Service or item requested.
All signatures shall constitute certification that the information submitted is current, accurate and complete and that the services or items requested on the Treatment Authorization Request are medically indicated and necessary.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14103.6, 14133 and 14133.1, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-74; effective thirtieth day thereafter (Register 74, No. 45).
2. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
§51457. Administrative Action.
History

HISTORY

1. Repealer filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9). For prior history, see Register 68, No. 43.
§51458. Cause for Suspension.
Note     •     History

(a) The conviction of a provider of either (1) a felony, or (2) any offense, misdemeanor or felony, involving moral turpitude shall be grounds for suspension from participation in the California Medical Assistance Program. The record of such conviction shall be conclusive evidence of the fact that the conviction occurred. The Department may inquire into the circumstances surrounding the commission of the crime in order to determine if such conviction was of an offense involving moral turpitude and suspension is warranted. A plea or verdict of guilty or a conviction following a plea of nolo contendere made to a charge of a felony, or any offense involving moral turpitude, shall be deemed to be a conviction within the meaning of this section.
(b) The Department may suspend a provider from the program based upon a judgment of conviction regardless of whether the provider obtains a subsequent order under the provisions of section 1203.4 of the Penal Code allowing him to withdraw his plea of guilty, and to enter a plea of not guilty, or setting aside the verdict of guilty, or dismissing the information or indictment.
(c) Suspension of a provider of service from participation in the Medicare program shall be grounds for suspension of that provider from participation in the Medi-Cal Program.
(d) The suspension or revocation of a provider's license, certification, permit or registration or the failure to obtain such license, certification permit or registration shall be grounds for suspension from participation in the California Medical Assistance program, when such license, certification, permit or registration is required for program participation in accordance with article 3.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 208, Health and Safety Code. Reference: Section 14123, Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-71; designated effective 3-1-71 (Register 71, No. 4).
2. New subsection (c) filed 12-28-73 as an emergency; designated effective 1-1-74. Certificate of Compliance included (Register 73, No. 52).
3. New subsection (d) filed 2-23-79; effective thirtieth day thereafter (Register 79, No. 8).
4. Amendment filed 9-28-79; effective thirtieth day thereafter (Register 79, No. 39).
5. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
6. Amendment of subsection (d) filed 2-15-91; operative 3-17-91 (Register 91, No. 11).
§51458.1. Cause for Recovery of Provider Overpayments.
Note     •     History

(a) The Department shall recover overpayments to providers including, but not limited to, payments determined to be:
(1) In excess of program payment ceilings or allowable costs.
(2) In excess of the amounts usually charged by a provider.
(3) For services not documented in the provider's records, or for services where the provider's documentation justifies only a lower level of payment.
(4) Based upon false or incorrect claims or cost reports from providers.
(5) For services deemed to have been excessive, medically unnecessary or inappropriate.
(6) For services prescribed, ordered or rendered by persons who did not meet the standards for participation in the Medi-Cal program at the time the services were prescribed, ordered or rendered.
(7) For services not covered by the program.
(8) For services to persons not eligible for program coverage when the services were provided.
(9) For Medi-Cal covered services already paid for by the beneficiary, but not yet refunded, or for services already reimbursed by the Department or other coverage.
(10) For services that should have been billed to other coverage.
(11) For services not ordered or prescribed, when an order or prescription is required.
(12) For services not authorized, when a treatment authorization request is required.
(13) In violation of any other Medi-Cal regulation where overpayment has occurred.
(b) The provisions of Sections 51488 and 51488.1 shall prevail in circumstances that conflict with this section.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005, 14005.1, 14005.4, 14005.8, 14018, 14019, 14021, 14024, 14026, 14103.2, 14103.6, 14105, 14107, 14110.1, 14117, 14123, 14124.1, 14124.2, 14124.5, 14131, 14132, 14133, 14133.1, 14170, 14176 and 1477, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-80; effective thirtieth day thereafter (Register 81, No. 1).
2. Editorial correction of NOTE (Register 84, No. 35).
3. Editorial correction of subsection (a)(9) (Register 95, No. 45).
§51458.2. Statistical Extrapolation of Medi-Cal Provider Reviews.
Note     •     History

(a) The Department shall make a demand to recover an amount due from a Medi-Cal provider (as specified in Section 51458.1) using probability sampling to extrapolate the recoverable amount when the extrapolated recovery amount exceeds the cost to the Department of doing the audit.
(b) Probability sampling shall be done in conformance with generally accepted statistical standards and procedures described in any textbook on statistical sampling methods.
(c) Whenever the results of a probability sample are used to extrapolate the amount to be recovered, the demand for recovery shall be accompanied by a clear description of:
(1) The universe from which the sample was drawn,
(2) The sample size and method used to select the sample,
(3) The formulas and calculation procedures used to determine the amount to be recovered, and
(4) The confidence level used to calculate the precision of the extrapolated overpayment.
(d) As used in this section, the following definitions shall apply:
(1) “Probability sampling” means the standard statistical methodology in which a sample is selected based on the theory of probability (a mathematical theory used to study the occurrence of random events).
(2) “Extrapolation” means the methodology whereby an unknown value can be estimated byprojecting the results of a probability sample to the universe from which the sample was drawn with a calculated precision (margin of error).
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14170 and 14133, Welfare and Institutions Code.
HISTORY

1. New section filed 4-13-88; operative 5-13-88 (Register 88, No. 17).
§51459. Reinstatement.
Note     •     History

A provider whose participation in the California Medical Assistance Program has been suspended may petition the Department for reinstatement or reduction of term of suspension after a period of not less than one year has elapsed from the effective date of the decision, or from the date of the denial of a similar petition. The Department shall give notice to the Attorney General of the filing of the petition, and the Attorney General and the petitioner shall be afforded an opportunity to present written argument to the Department. The Department shall decide the petition, and the decision shall include the reasons therefor.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14124.6, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-23-66 as an emergency; effective upon filing; Certificate of Compliance included (Register 66, No. 19).
2. Amendment filed 11-15-68; effective thirtieth day thereafter (Register 68, No. 43).
3. Repealer and new section filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
4. New NOTE filed 12-14-84 (Register 84, No. 50).
§51460. Special Claims Review.
Note     •     History

(a) The Department may place any provider on special claims review for specific or all services provided. The special claims review may be performed by the Department, or by the fiscal intermediary under direction of the Department. Special claims review may be imposed on a provider upon a determination that the provider has submitted improper claims, including claims which incorrectly identify or code services provided.
(b) A provider, while on special claims review, shall furnish any material requested by the Department in order to substantiate specific or all claims subject to special claims review.
(c) The Department shall provide written notice to any provider placed on special claims review. The written notice shall include the following:
(1) Services determined to have been improperly billed by the provider.
(2) Services subject to special claims review.
(3) Documentation to be submitted with all claims subject to special claims review.
(4) Instructions for submission of claims subject to special claims review.
NOTE

Authority cited: Sections 14105, 14124.5, and 14133(b), Welfare and Institutions Code. Reference: Sections 14104.5 and 14133(b), Welfare and Institutions Code.
HISTORY

1. New section filed 12-20-78; effective thirtieth day thereafter (Register 78, No. 51).
§51461. Orders for Suspension or Placement on Prior Authorization. [Repealed]
History

HISTORY

1. Repealer filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9). For prior history, see Register 68, No. 21.
§51463. Requests for Hearing. [Repealed]
History

HISTORY

1. Amendment filed 11-15-68; effective thirtieth day thereafter (Register 68, No. 43).
2. Repealer filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
§51464. When Hearing Not Requested. [Repealed]
History

HISTORY

1. New section filed 5-31-68; effective thirtieth day thereafter (Register 68, No. 21).
2. Repealer filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
§51465. Review by the Director. [Repealed]
History

HISTORY

1. Amendment filed 11-15-68; effective thirtieth day thereafter (Register 68, No. 43). For prior history, see Register 68, No. 21.
2. Repealer filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
§51466. Disclosure of Significant Beneficial Interest.
Note     •     History

(a) A provider shall not bill or submit a claim for service involving the referral of a beneficiary to or from another provider unless each provider has disclosed any significant beneficial interest existing between the providers. Disclosure shall be accomplished by completing and submitting a Medi-Cal Personal Disclosure Statement of Significant Beneficial Interest form as provided by the Department.
(b) A provider that fails to comply with (a) or that submits a false or incorrect disclosure shall be subject to suspension from participation or payment under the Medi-Cal program.
(c) For the purpose of this section:
(1) “Significant beneficial interest” means any financial interest held by a provider, or a member of the provider's immediate family, in another provider that is equal to or greater than the lesser of the following:
(A) Five per cent of the whole.
(B) $25,000.00.
(2) “Immediate family” means spouse, son, daughter, father, mother, father-in-law, mother-in-law, son-in-law or daughter-in-law.
(d) Interests held by a provider and members of that provider's immediate family shall be combined and valued as a single interest.
(1) The extent of financial interest shall be determined as follows:
(A) Full ownership shall be considered as 100 percent financial interest and control regardless of mortgages or other incumbrances.
(B) Interest in a partnership shall be determined on the basis of the percentage of ownership specified in either a written or verbal partnership agreement.
(C) Interest in a corporation shall be determined by computing the percentage of stock or bonds owned of the total outstanding shares or bonds of the corporation as of the last working day of the month preceding compliance with (a).
(D) All other financial arrangements shall require establishment of a fair and reasonable dollar value for both the interest and the whole. The percentage interest shall be computed as the percentage the dollar value of the interest represents of the whole.
(2) The dollar value of the following types of interests shall be determined as follows:
(A) Bonds, over-the-counter stocks and stocks listed on the major stock exchanges shall be valued at the closing selling price on the last working day of the month preceding compliance with (a).
(B) Stocks in a closely held corporation shall be valued at the original purchase price, par value, or current market value, whichever is greater.
(C) Partnership interests shall be valued at the total dollar amount invested in organizing the partnership. A fair and reasonable dollar equivalent shall be determined if investment is not in form of monies.
(D) All other financial arrangements shall be valued at the actual dollar investment or a fair and reasonable dollar equivalent for investments not in the form of monies.
NOTE

Authority cited: Sections 14022 and 14124.5, Welfare and Institutions Code. Reference: Sections 14022 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Amendment filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
§51466.1. Significant Beneficial Interest. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14022 and 14124.5, Welfare and Institutions Code. Reference: Sections 14022 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. Repealer filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
§51467. Advertising. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Chapter 905, Statutes of 1978.
HISTORY

1. New section filed 6-23-66 as an emergency; effective upon filing; Certificate of Compliance included (Register 66, No. 19).
2. Amendment filed 4-17-67; effective thirtieth day thereafter (Register 67, No. 16).
3. Repealer filed 7-25-79; effective thirtieth day thereafter (Register 79, No. 30).
§51469. Decertification. [Repealed]
History

HISTORY

1. New section filed 11-15-68; effective thirtieth day thereafter (Register 68, No. 43).
2. Repealer filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
§51470. Billing for Benefits Provided.
Note     •     History

(a) A provider shall not bill or submit a claim to the Department or a fiscal intermediary for Medi-Cal benefits not provided to a Medi-Cal beneficiary.
(b) A dental prosthesis, custom-made eye appliance, custom-made prosthetic applicance, or custom-made orthotic appliance shall be deemed provided after diligent attempts to effect delivery have proved unsuccessful or delivery is impossible due to circumstances beyond the control of the provider. Payment for undelivered appliances shall be limited to 80% of the amount which would have been payable had delivery been accomplished. Undelivered appliances for which claims are submitted and paid shall be retained by the provider for a period not less than one year from the date it was ordered from the fabricating laboratory for purposes of delivery to the beneficiary or the Department on demand. If delivery is made to the patient or a representative of the Department on demand within one year of the date of service, the payment on the original claim can be adjusted to provide a total compensation equal to that which would have been forthcoming had delivery been made on the date of service.
(c) Services provided by a selected substitute provider shall be considered to have been provided by the billing provider if all of the following conditions are met:
(1) Services are provided during the temporary absence of the billing provider.
(2) The substitute provider is also a qualified Medi-Cal provider.
(3) The substitute provider has an agreement with the billing provider to provide services in the absence of the billing provider and not to independently bill for the same service.
(4) The claim clearly identifies the substitute provider by name and provider number.
(d) A provider shall not bill or submit a claim to the Department or a fiscal intermediary for Medi-Cal covered benefits provided to a Medi-Cal beneficiary:
(1) For which the provider has received and retained payment.
(2) Which do not meet the requirements of Department regulations.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
2. Amendment filed 8-31-79; effective thirtieth day thereafter (Register 79, No. 35).
3. Amendment filed 11-29-79; effective thirtieth day thereafter (Register 79, No. 48).
4. Amendment of subsection (c)(3) filed 1-16-80; effective thirtieth day thereafter (Register 80, No. 3).
5. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
§51471. Seeking Reimbursement from Beneficiaries. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14019.3, 14019.4, 14105 and 14134, Welfare and Institutions Code.
HISTORY

1. New section filed 8-6-70; designated effective 9-7-70 (Register 70, No. 32).
2. Amendment filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
3. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
4. Amendment filed 8-8-78; effective thirtieth day thereafter (Register 78, No. 32).
5. New subsection (a)(3) filed 11-17-81 as an emergency; effective upon filing (Register 81, No. 47). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-17-82.
6. Certificate of Compliance transmitted to OAL 3-16-82 and filed 4-16-82 (Register 82, No. 16).
7. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
8. Repealer filed 6-28-89; operative 7-28-89 (Register 89, No. 26).
§51471.1. Reimbursements for Program Underpayments.
Note     •     History

Providers shall cooperate with the Department in making reimbursements to beneficiaries for Medi-Cal program underpayments. Providers shall provide such beneficiaries with documentation of claims for reimbursement on forms provided by the Department. Providers shall accept an underpayment adjustment from the Medi-Cal program for such beneficiaries and reimburse such beneficiaries the full amount of that adjustment, up to the amount actually received in payment from the beneficiary for the medical services in question.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14005.7, 14017 and 14018, Welfare and Institutions Code.
HISTORY

1. New section filed 3-21-77 as an emergency; effective upon filing (Register 77, No. 13). For prior history, see Register 77, No. 13.
2. Certificate of Compliance filed 5-20-77 (Register 77, No. 21).
3. Editorial correction of first sentence (Register 95, No. 45).
§51472. Sub-Standard Services.
History

No provider shall render to a Medi-Cal beneficiary health care services which are below or less than the standard of acceptable quality.
HISTORY

1. New sections 51472 through 51478 filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
§51473. Excessive Services.
History

No provider shall render to any Medi-Cal beneficiary, or submit a claim for reimbursement for, any health care service or services clearly in excess of accepted standards of practice.
HISTORY

1. New section filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9). * For technical reasons, History Note printed in Register 80, No. 13.
§51473.1. Referral for Excessive Services.
Note     •     History

(a) A provider shall not refer any Medi-Cal beneficiary for any health care service which is clearly in excess of accepted standards of practice.
(b) A provider shall not prescribe drugs for any beneficiary that are clearly beyond the beneficiary's legitimate medical needs.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Sections 14103.6, 14103.75 and 14133, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-16-78 as an emergency; designated effective 8-16-78 (Register 78, No. 32). For prior history, see Register 72, No. 40.
2. Certificate of Compliance filed 12-12-78 (Register 78, No. 50). For prior history, see Register 78, No. 32.
3. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
§51473.2. Services to Children.
Note     •     History

(a) A provider may render Medi-Cal program services to a child without parental consent only under those conditions specified by the California Civil Code, Division First, Part 1.
(b) Claims for reimbursement shall be submitted and paid for only those health care services provided in accordance with (a) above.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14008, 14008.5 and 14010, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-78 as an emergency; designated effective 11-1-78 (Register 78, No. 44).
2. Certificate of Compliance filed 2-6-79 (Register 79, No. 6).
3. Editorial Correction of NOTE filed 12-13-84 (Register 84, No. 50).
4. Amendment of subsection (a) filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51474. False Advertising. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Section 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9). * For technical reasons, History Note printed in Register 80, No. 13.
2. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51475. Refusal to Render Services. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Section 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-70; designated effective 4-1-70 (Register 80, No. 13). * For technical reasons, History Note printed in Register 80, No. 13.
2. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51476. Keeping and Availability of Records.
Note     •     History

(a) Each provider shall keep, maintain, and have readily retrievable, such records as are necessary to fully disclose the type and extent of services provided to a Medi-Cal beneficiary. Required records shall be made at or near the time at which the service is rendered. Such records shall include, but not be limited to the following:
(1) Billings.
(2) Treatment authorization requests.
(3) All medical records, service reports, and orders prescribing treatment plans.
(4) Records of medications, drugs, assistive devices, or appliances prescribed, ordered for, or furnished to beneficiaries.
(5) Copies of original purchase invoices for medication, appliances, assistive devices, written requests for laboratory testing and all reports of test results, and drugs ordered for or supplied to beneficiaries.
(6) Copies of all remittance advices which accompany reimbursement to providers for services or supplies provided to beneficiaries.
(7) Identification of the person rendering services. Records of each service rendered by nonphysician medical practitioners (as defined in Title 22, CCR, Section 51170) shall include the signature of the nonphysician medical practitioner and the countersignature of the supervising physician to the extent required by the applicable professional licensing statutes and regulations.
(b) Records of institutional providers shall include, in addition, the following:
(1) Records of receipts and disbursements of personal funds of beneficiaries being held in trust by the provider.
(2) Employment records including shifts, schedules and payroll records of employees.
(3) Book records of receipts and disbursements by the provider.
(4) Individual ledger accounts reflecting credit and debit balances for each beneficiary to whom services are provided.
(c) Records of providers shall document the meeting of Code I restrictions for medical supplies in the list established by the Department and for drugs listed in the Medi-Cal List of Contract Drugs as follows:
(1) The practitioner who issues a prescription for a Code I supply or drug shall document, in the patient's chart, the patient's diagnostic or clinical condition that fulfills the Code I restriction.
(2) The dispenser shall maintain readily retrievable documentation of the patient's diagnostic or clinical condition information that fulfills the Code I restriction. If this Code I diagnostic or clinical condition information is transmitted to the dispenser other than by personal handwritten order from the prescriber, the dispenser shall document the transmittal date and the name of prescriber or the employee or agent who is legally authorized to transmit such information. The documentation shall be personally signed by the dispenser.
(d) Every practitioner who issues prescriptions for Medi-Cal beneficiaries shall maintain, as part of the patient's chart, records which contain the following for each prescription:
(1) Name of the patient.
(2) Date prescribed.
(3) Name, strength and quantity of the item prescribed.
(4) Directions for use.
(e) Records of medical transportation providers shall include, in addition to (a):
(1) Time and date of service for each beneficiary.
(2) Odometer readings at each pick-up and delivery location.
(3) The provider assigned vehicle identification code and name of the operator providing the service.
(4) Names of beneficiaries transported in total or partial group runs.
(f) Records of providers of psychiatric and psychological services shall include in addition to (a), patient logs, appointment books or similar documents showing the date and time allotted for appointment of each patient or group of patients, and the time actually spent with such patients.
(g) A provider shall make available, during regular business hours, all pertinent financial books and all records concerning the provision of health care services to a Medi-Cal beneficiary, and all records required to be made and retained by this section, to any duly authorized representative of the Department acting in the scope and course of employment including, but not limited to, employees of the Attorney General, Medi-Cal Fraud Unit duly authorized and acting within the scope and course of their employment. Failure to produce records may result in sanctions, audit adjustments, or recovery of overpayments, in accordance with Section 51458.1 of this title.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14043.341, 14105.35, 14107, 14124.1, 14124.2, 14133, 14133.3 and 14170, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 483.40(e) and 485.631(b)(iv).
HISTORY

1. Amendment filed 8-10-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 32). For prior history, see Register 81, No. 48.
2. Amendment of subsection (c) and Note filed 1-9-95; operative 3-1-95 (Register 95, No. 2).
3. Change without regulatory effect amending subsections (a)(7), (c) and (f) and amending Note filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
4. Amendment of subsection (a)(7) and Note filed 5-17-2012; operative 6-16-2012 (Register 2012, No. 20).
§51476.1. Pharmacy and Clinic with Special Permit Records of Pharmaceutical Services.
Note     •     History

(a) Pharmacy records or records of drugs dispensed by a clinic that has obtained a special permit pursuant to Business and Professions Code Section 4063 et seq. shall be maintained and readily retrievable. Original written prescription orders presented to the pharmacist or clinic shall be retained. Oral prescription orders shall be reduced to writing, by hand or machine, and retained. The records describing the provision of a pharmaceutical service or a clinic dispensed drug to a Medi-Cal beneficiary, shall include, but not be limited to the following:
(1) Full beneficiary name.
(2) Name, category of professional licensure and license number of the prescriber.
(3) Name, strength, and quantity of the drug or medical supply dispensed, as applicable.
(4) Directions for use of the drug or medical supply.
(5) Name of the principal labeler of any multi-source drug or medical supply dispensed when not specifically identified by the brand name of the drug dispensed.
(6) Date of service.
(7) Name or initials of the pharmacist or clinic dispenser that provided the service.
(8) A unique number to identify each pharmaceutical service or drug billed to the program. This number shall be the “prescription number” required on the claim form.
(b) Pharmacy records shall include documentation of compliance with Code I restrictions for medical supplies and drugs in accordance with Section 51476(c).
(c) Records of clinics with special permits shall include documentation of compliance with Code 1 restrictions for drugs in accordance with Section 51476(c).
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; and Section 208, Health and Safety Code. Reference: Sections 14124.1, 14124.2 and 14132, Welfare and Institutions Code; and Section 4063, Business and Professions Code.
HISTORY

1. New section filed 4-9-80; effective thirtieth day thereafter (Register 80, No. 15).
2. New subsection (b) filed 6-16-81; designated effective 8-1-81 (Register 81, No. 25).
3. Amendment of section heading, text and Note filed 1-6-94; operative 2-7-94 (Register 94, No. 1).
§51476.2. Personal Care Services Records.
Note     •     History

Each county shall keep, maintain, and have readily retrievable, such records as are necessary to fully disclose the type and extent of personal care services provided to a Medi-Cal beneficiary. Records shall be made at or near the time the service is rendered or the assessment or other activity is performed. Such records shall include, but not be limited to the following:
(a) Timesheets
(b) Assessment forms and notes
(c) All service records, care plans, and orders/prescriptions ordering personal care.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51477. Confidential Beneficiary Information. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Section 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9). * For technical reasons, History Note printed in Register 80, No. 13).
2. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§51478. Prohibition of Rebate, Refund, or Discount.
Note     •     History

No provider shall offer, give, furnish, or deliver any rebate, refund, commission preference, patronage dividend, discount, or any other gratuitous consideration, in connection with the rendering of health care service to any Medi-Cal beneficiary. No provider shall solicit, request, accept, or receive, any rebate, refund, commission, preference, patronage dividend, discount, or any other gratuitous consideration, in connection with the rendering of health care service to any Medi-Cal beneficiary.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-70; designated effective 4-1-70 (Register 70, No. 25). * For technical reasons, History Note printed in Register 80, No. 13).
2. Amendment filed 10-23-86; effective thirtieth day thereafter (Register 86, No. 43).
§51479. Change of Order or Prescription.
Note     •     History

No provider shall dispense prescription drugs or devices in an amount different from that prescribed without the prescriber's authorization, except for prescriptions refilled in accordance with:
(1) Business and Professions Code Section 4229.5.
(2) Health and Safety Code Section 11201.
NOTE

Authority cited: Sections 14019.5, 14105, 14105.7 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14105, 14105.7 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-71; designated effective 3-1-71 (Register 71, No. 4).
2. Amendment filed 2-21-79; designated effective sixtieth day after filing (Register 79, No. 8).
3. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
§51480. Discriminatory Billings.
History

(a) No provider shall bill or submit a claim for reimbursement for the rendering of health care services to a Medi-Cal beneficiary in any amount greater or higher than the usual fee charged by the provider to the general public for the same service.
(b) Notwithstanding (a) above, if an organized outpatient clinic renders services without charge to the general public under programs other than Titles XVIII or XIX financed by federal or state funds, Medi-Cal may be considered a third party payor and be billed for Medi-Cal covered services when rendered to Medi-Cal beneficiaries, provided that:
(1) The clinic has an established fee schedule; and
(2) It ascertains from all individuals served whether they have any third party coverage for medical care or services, and, where such coverage is available, that third party coverage is billed and diligent efforts made to collect such claimed amounts; and
(3) Medi-Cal is not the only third party payor from which the clinic seeks payment.
HISTORY

1. New sections 51480 through 51484 filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
2. Amendment filed 7-13-73; effective thirtieth day thereafter (Register 73, No. 28).
3. Amendment filed 4-1-74; effective thirtieth day thereafter (Register 74, No. 14).
§51481. Forbidden Conduct.
Note     •     History

No provider shall engage in conduct inimical to the public health, morals, welfare and safety of any Medi-Cal beneficiary.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14123, Welfare and Institutions Code.
HISTORY

1. New NOTE filed 12-14-84 (Register 84, No. 50).
§51482. Unwarranted Inpatient Discharge.
Note     •     History

No provider shall order or cause the discharge of a Medi-Cal beneficiary inpatient from any facility without a valid medical-social reason which warrants discharge.
NOTE

Authority cited: Sections 10725, 14105, and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code.
HISTORY

1. New NOTE filed 12-14-84 (Register 84, No. 50).
§51483. Provider Requirements.
Note     •     History

No provider who fails to meet and comply with the requirements specified in the Definitions (Article 2 of Chapter 3 of these Regulations) and Standards (Article 3 of Chapter 3 of these Regulations), and no provider who fails to continue to meet and comply with the requirements specified in said Definitions and Standards, shall participate in the California Medical Assistance Program.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14123, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 86, No. 49).
§51483.1. Personal Care Provider Requirements.
Note     •     History

All providers of personal care program services must be approved by Department of Health Services and shall sign the “Personal Care Program Provider/Enrollment Agreement” form [SOC 426(1/93)] designated by the Department agreeing to comply with all applicable laws and regulations governing Medi-Cal and personal care service. Beneficiaries shall be given a choice of service provider.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51484. Billing for Suspended Provider.
Note     •     History

No provider shall bill or submit a claim for or on behalf of any provider who has been suspended from participation in the California Medical Assistance Program, for any services rendered in whole or in part by any such suspended provider during the term of such suspension.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14123, Welfare and Institutions Code.
HISTORY

1. New NOTE filed 5-9-84 (Register 84, No. 19).
§51485. Submission of False Information.
Note     •     History

No provider shall submit or cause to be submitted any false or misleading statement of material fact when complying with departmental regulations, or in connection with any claim for reimbursement, or any request for authorization of services.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14107, Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-71; designated effective 3-1-71 (Register 71, No. 4).
2. Amendment filed 8-31-79; effective thirtieth day thereafter (Register 79, No. 35).
3. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
§51485.1. Civil Money Penalties.
Note     •     History

(a) The Director may assess civil money penalties against a person or provider (“provider”) pursuant to Welfare and Institutions Code Section 14123.2 after a determination that the provider knows or has reason to know that items or services:
(1) Were not provided as claimed,
(2) Are not reimbursable under the Medi-Cal Program as provided in subsection (d), or
(3) Were claimed in violation of an agreement with the State.
(b) The Director's determination of whether a provider “knows or has reason to know” that items or services were not provided, are not reimbursable, or were claimed in violation of an agreement with the State (hereafter “improperly claimed”), shall be based on the following standards:
(1) Knows: The provider is aware of a high probability of the existence of the fact that items or services were improperly claimed, or
(2) Has reason to know: The provider has information from which a reasonable person in that position would infer that items or services were improperly claimed.
(c) The Director's determination of whether the provider knows or has reason to know that items or services were “not provided as claimed” shall be based on information available pursuant to Section 51476.
(d) The Director shall determine whether or not the provider knows or has reason to know that claimed items or services are “not reimbursable under the Med-Cal Program” in the following instances:
(1) The provider has been suspended from participation in the Program,
(2) The claimed items or services are substantially in excess of patient needs as defined in Section 51303(a),
(3) The items or services are deficient in quality compared with professionally recognized standards of health care (See Section 51472),
(4) The provider has demonstrated a pattern of abusive overbilling to the Medi-Cal Program. Evidence of such overbilling shall include, but not be limited to:
(A) Identical audit adjustments repeated in two or more fiscal years except if there is a pending appeal where these adjustments are still at issue,
(B) Repeated submission of improperly coded or identified claims.
Evidence of such overbilling shall not include repeated submission of claims which have been denied payment previously, even though such payment denial was not contested.
(e) The Director's determination of whether the provider knows or has reason to know that items or services were “claimed in violation of an agreement with the State” shall be based on the terms of the written agreement, and on other relevant evidence as that term is defined in Section 51037(e)(1). The Director shall consider only material violations which go to the merits of the agreement as distinguished from those which affect only form.
(f) A civil money penalty shall be no more than three times the amount claimed by the provider for each item or service. It shall be within the Director's discretion to assess a lower penalty. In setting the amount of the penalty, the Director may consider evidence of mitigating circumstances submitted by the provider. Examples of such evidence include, but are not limited to:
(1) Clerical error.
(2) Good faith mistake.
(3) Reliance on official publications.
(4) Prior record of properly submitted claims.
(g) An assessment of civil money penalties shall be effective upon the 60th calendar day after the date that the Department serves notice to the provider of the determination. Such notice shall be in writing, and shall include grounds for the determination.
(h) A provider shall have the right to appeal the determination by filing a request for hearing pursuant to Section 51022. The effective date of the assessment shall be deferred until this request is rejected or a final administrative decision is adopted.
(i) Upon the effective date of assessment, the Director shall collect the civil money penalty in accordance with the procedures set forth in Sections 14115.5 and 14172 of the Welfare and Institutions Code and Section 51047.
(j) Interest shall accrue on any unpaid balance of a civil money penalty from the effective date of assessment, at the rate specified in Section 14172(a) of the Welfare and Institutions Code.
(k) Civil money penalty appeal hearings shall be conducted pursuant to the procedural guidelines set forth in Section 51016 et seq. (Title 22, CAC, Article 1.5).
(l) Assessment of civil money penalties pursuant to Welfare and Institutions Code Section 14123.2 shall not operate to bar imposition of any other applicable penalty provisions, such as those contained in Welfare and Institutions Code Section 14171.5.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14123.2, Welfare and Institutions Code.
HISTORY

1. New section filed 8-7-86; effective thirtieth day thereafter (Register 86, No. 32).
2. Editorial correction of subsection (f) (Register 95, No. 45).
§51486. Medi-Cal Card Labels.
Note     •     History

(a) No provider shall remove more labels from a Medi-Cal card than are necessary to submit a claim for reimbursement for each service, drug, or item provided.
(b) No provider shall remove any label from a Medi-Cal card to bill for any service provided to any person other than the beneficiary identified on such card.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14107, Welfare and Institutions Code.
HISTORY

1. New section filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 50).
3. Amendment of subsection (a) filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
4. New NOTE filed 5-9-84 (Register 84, No. 19).
§51487. Examinations of Beneficiaries.
Note     •     History

No provider shall prohibit or interfere with the examination of Medi-Cal Program beneficiaries by any duly authorized representative of the Department acting in the scope and course of his employment.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14100.1, 14104, 14105 and 14133, Welfare and Institutions Code.
HISTORY

1. New section filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
2. New NOTE filed 12-13-84 (Register 84, No. 50).
§51488. Pharmaceutical Postservice--Postpayment On-Site Reviews Including Clinics with Special Permits.
Note     •     History

(a) The Department, during on-site reviews of pharmaceutical providers, including clinics with special permits, may review  the records of the provider related to the provision of Medi-Cal services to determine compliance with Medi-Cal statutes and regulations. The Department may consider the following in deciding that a provider has received an overpayment:
(1) The drug was ordered or authorized by a licensed prescriber ineligible to participate in the Medi-Cal program.
(2) The dispensed drug, strength and quantity were not the same as the drug, strength and quantity that were ordered or authorized.
(3) The drug dispensed was not a covered benefit.
(4) The Medi-Cal program was inappropriately charged.
(5) The recipient was ineligible to receive Medi-Cal benefits.
(6) The drug was dispensed contrary to the provisions of Section 51513.6.
(b) The Department shall determine whether a service was provided in compliance with Medi-Cal statutes and regulations. Apparent violations of non-Medi-Cal statutes or regulations shall be referred to appropriate agencies.
(c) The Department shall have the burden of demonstrating that noncompliance with Medi-Cal statutes or regulations has occurred. This burden shall be met if the determination is based upon information appearing on records maintained by the provider pursuant to Section 51476 and 51476.1 of these regulations or evidence from other sources. The Department shall consider evidence supplied by the provider from other sources in arriving at its determination.
(d) The results of the on-site review should serve the additional purpose of directing the provider to the Departmental policies and requirements as they apply to audit issues identified.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; and Chapter 328, Section 57, and Chapter 1594, Section 87, Statutes of 1982. Reference: Sections 14053, 14105.3, 14107, 14124.1, 14132, 14133 and 14184, Welfare and Institutions Code; and Sections 4063 and 4063.7, Business and Professions Code.
HISTORY

1. New section filed 4-9-80; effective thirtieth day thereafter (Register 80, No. 15).
2. New subsection (a)(6) filed 6-1-83 as an emergency; effective upon filing (Register 83, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-29-83.
3. Certificate of Compliance as to 6-1-83 order transmitted to OAL 9-29-83; corrected Certificate of Compliance transmitted to OAL 10-31-83 and filed 10-31-83 and refiled 11-1-83 with original Certificate of Compliance (Register 83, No. 44).
4. Amendment of section heading, subsection (a) and Note filed 1-6-94; operative 2-7-94 (Register 94, No. 1).
§51488.1. Pharmaceutical Recovery Standards Including Clinics with Special Permits.
Note     •     History

(a) The Department shall recover the following pharmaceutical overpayments from pharmaceutical providers, including clinics with special permits, at their respective recovery rates:
(1) Services not rendered. 100% of the ingredient cost and professional fee, if any, paid shall be recovered where:
(A) The services billed were not provided.
(2) Noncovered services. 100% of the ingredient cost and professional fee, if any, paid shall be recovered where:
(A) The drug dispensed was different from the drug prescribed or authorized, or was dispensed contrary to the provisions of Section 51513.6.
(B) The service billed was rendered to a person ineligible for Medi-Cal.
(C) The service billed was not the same as the service rendered and the service rendered was not a covered benefit.
(D) The service billed was not a covered benefit.
(3) Prescription Splitting. Where the pharmacist, without authorization from the prescriber, dispensed a smaller quantity than prescribed or subsequently authorized which resulted in dispensing one or more refills to provide the beneficiary with an equivalent or nearly equivalent quantity as originally prescribed or subsequently authorized, 100% of the professional fee paid for each such refill shall be recovered. The provisions of this subsection are not applicable to prescriptions reduced to the extent necessary to comply with Section 51313(b).
(4) Excessive refills. Where the refills dispensed exceed the directions for use of the original prescription, 100% of the ingredient cost and professional fee, if any, paid for each refill shall be recovered.
(5) Duplicate billings. 100% of the ingredient cost and professional fee, if any, shall be recovered where the provider bills or submits a claim to the Department for which the provider has received and retained payment from the Department, the beneficiary, or from another person on behalf of the beneficiary, subject to the exceptions found in Section 51471.
(6) Discriminatory Billing. Where the provider bills or submits a claim for services in any amount in excess of the charge for the same service to the general public, the difference between the amount paid and the charge to the general public shall be recovered, subject to the exceptions found in Section 51480(b).
(7) False and Misleading Information. 100% of the ingredient cost and professional fee, if any, paid shall be recovered where the provider submits or causes to be submitted any false or misleading statement of material fact on or in connection with any claim which results in reimbursement for ingredient costs and professional fees, if any, not allowed under the regulations of this division.
(8) Drug Discrepancy.
(A) 100% of the ingredient cost and professional fee, if any, paid shall be recovered where the drug dispensed is not a covered program benefit.
(B) Where the pharmacy or clinic with a special permit dispensed a drug on Medi-Cal List of Contract Drugs, but billed the Department for a different and more costly drug on the Medi-Cal List of Contract Drugs, the difference in ingredient cost between the two drugs shall be recovered.
(C) 100% of the ingredient cost shall be recovered, for those drug products subject to the provisions of Section 51513.6, where the pharmacy or clinic with a special permit dispensed a drug product other than the State-designated brand without prior authorization as provided in Section 51003 of this Title.
(9) Quantity discrepancy. Where the quantity of drug billed is larger than the quantity of drug dispensed, the difference in the allowable cost between the quantity paid and quantity dispensed shall be recovered.
(10) Strength discrepancy. Where the strength of the drug billed is greater than the strength of the drug prescribed or dispensed, the difference in the allowable cost between the strength paid and that prescribed or dispensed shall be recovered as long as both strengths are covered benefits.
(11) Manufacturer discrepancy. Where the brand of drug billed is more expensive than the brand of drug dispensed, the difference in the allowable cost between the brand billed and the brand dispensed shall be recovered; except when the brand billed was not stocked by the provider; 100% of the ingredient cost and professional fee, if any, paid shall be recovered.
(12) Lowest Cost Drug Discrepancy. Where the brand of generic drug billed was not the least costly brand of that generic drug stocked in the pharmacy or clinic with a special permit at the time of dispensing the difference in the allowable costs between the brand paid and the least costly brand stocked shall be recovered. No recovery will be sought where a prescriber prohibits substitution as provided in Section 4047.6 of the Business and Professions Code and as provided in Section 51513(a)(14) of these regulations.
(13) Dosage Form Discrepancy.
(A) Unless prior authorization was obtained, 100% of the ingredient cost and professional fee, if any, paid shall be recovered where the directions for use of the dosage form billed do not call for utilization of the drug in the manner designated for that dosage form in the Medi-Cal List of Contract Drugs.
(B) Where the dosage form billed is different from the dosage form dispensed, the difference in allowable cost between the item paid and that dispensed shall be recovered, as long as both dosage forms are covered benefits.
(C) Where the drug quantity dispensed is not in compliance with the Medi-Cal minimum quantity requirements, 100% of the professional fee, if any, plus the difference in cost between the two quantities paid shall be recovered.
(14) Prior Authorization Requirements. 100% of the ingredient cost and professional fee, if any, shall be recovered under any of the following circumstances:
(A) The drug dispensed was not listed in the Medi-Cal List of Contract Drugs and was dispensed without prior authorization.
(B) The drug was dispensed contrary to the provisions of Section 51513.6.
(C) The drug was dispensed in any manner different from that which was authorized.
(15) Code I prescriptions. Unless prior authorization was obtained, 100% of the ingredient cost and professional fee, if any, paid shall be recovered where the drug dispensed is not in compliance with the Code I restrictions in Medi-Cal regulations.
(b) Audit Findings. Notwithstanding the provisions of paragraph (a) where a service has been rendered, mitigating or ameliorating facts and circumstances will be considered in determining the audit findings.
(c) Recovery shall be made for services not in conformance with new program requirements only when there has been notice of such requirements in Department bulletins or fiscal intermediary mailings. All previously published Department bulletins and fiscal intermediary mailings, mailed to providers prior to the operative date of this section shall remain in effect until amended or withdrawn by the Department.
NOTE

Authority cited: Sections 14105, 14105.35 and 14124.5, Welfare and Institutions Code; and Section 208, Health and Safety Code. Reference: Sections 14053, 14105.3, 14107, 14124.1, 14132, 14133, 14176, 14177 and 14184, Welfare and Institutions Code; and Sections 4063 and 4063.7, Business and Professions Code.
HISTORY

1. New section filed 4-9-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Amendment of subsections (a)(2)(A), (a)(8)(C) and (a)(14) filed 6-1-83 as an emergency; effective upon filing (Register 83, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-29-83.
3. Amendment of subsection (a)(8)(C) filed 9-29-83 as an emergency; designated effective 9-29-83 (Register 83, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-27-84.
4. Certificate of Compliance as to 6-1-83 order (subsections (a)(2)(A) and (a)(14) only) transmitted to OAL 9-29-83; corrected Certificate of Compliance transmitted to OAL 10-31-83 and filed 10-31-83 and refiled 11-1-83 with original Certificate of Compliance (Register 83, No. 44).
5. Reinstatement of subsection (a)(8)(C) as it existed prior to emergency amendment filed 9-29-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 13).
6. Amendment of subsection (a)(8)(C) filed 6-29-84; effective thirtieth day thereafter (Register 84, No. 26).
7. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
8. Amendment of section heading, text and Note filed 1-6-94; operative 2-7-94 (Register 94, No. 1).
9. Amendment of subsection (a)(14)(A) and Note filed 1-9-95; operative 3-1-95 (Register 95, No. 2).
§51488.2. Statistical Extrapolation for Medi-Cal Pharmacy Reviews.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14103.6, 14107, 14123, 14124.1, 14124.2, 14133, 14133.1, 14170, 14176 and 14177, Welfare and Institutions Code.
HISTORY

1. New section filed 4-9-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Editorial correction of NOTE filed 12-14-84 (Register 84, No. 50).
3. Repealer filed 4-13-88; operative 5-13-88 (Register 88, No. 17).
§51488.3. Underpayment Adjustments to Medi--Cal Reviews of Pharmacies and Clinics With Special Permits.
Note     •     History

(a) For the purpose of determining underpayment adjustments to a Medi-Cal recovery action, underpayment shall mean a payment amount within the audit period identified by the pharmacy or clinic with a special permit as being deficient. The underpayment may be due to a billing error made by the pharmacy or clinic with a special permit or an incorrect payment made by the fiscal intermediary for claims submitted within the billing time limits as specified in Section 51008.
(b) The pharmacy or clinic with a special permit  shall submit a written statement of findings of underpayment to the Department of Health Services prior to issuance of a demand for payment of identified underpayments. This written statement shall provide specific documentation pursuant to Section 51476 to support the contention of the pharmacy or clinic with a special permit that an underpayment occurred.
(c) Should a probability sample be used in auditing a pharmacy or a clinic with a special permit having qualified underpaid amounts in the sample, both the overpayments and underpayments shall be extrapolated to the audit period universe in determining the recoverable amount due.
(d) No review may be reopened to provide for underpayments in which a final decision has been reached pursuant to Section 14171 of the Welfare and Institutions Code.
(e) For the purpose of this section, a valid claim shall mean any claim, for service dates within the audit period, that meets all of the requirements for billing established under Articles 1, 6, and 7 of this Chapter.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 208, Health and Safety Code. Reference: Sections 10722, 14115, 14132, 14170, 14170.1, 14171 and 14172, Welfare and Institutions Code; and Section 4063, Business and Professions Code.
HISTORY

1. New section filed 12-2-85; effective thirtieth day thereafter (Register 85, No. 49).
2. Amendment of section heading, text and Note filed 1-6-94; operative 2-7-94 (Register 94, No. 1).
§51488.4. Adjustments to Medi-Cal Pharmacy and Clinic with a Special Permit Reviews for Unsubmitted Claims.
Note     •     History

(a) Valid claims as defined in Section 51488.3(e), which have inadvertently not been submitted for payment, shall be submitted to the fiscal intermediary for adjudication and shall be credited toward the amount of any overpayment due the Department of Health Services as a result of an onsite review.
(b) The pharmacy or clinic with a special permit  shall submit specific written documentation pursuant to Section 51476 to support the contention that the previously unsubmitted claim is a valid claim. The documentation shall be submitted to the Department of Health Services prior to issuance of a demand for payment of identified overpayments.
(c) No review may be reopened to provide for underpayments in which a final decision has been reached pursuant to Section 14171 of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 208, Health and Safety Code. Reference: Sections 10722, 14115, 14132, 14170, 14170.1, 14171 and 14172, Welfare and Institutions Code; and section 4063, Business and Professions Code.
HISTORY

1. New section filed 12-2-85; effective thirtieth day thereafter (Register 85, No. 49).
2. Amendment of section heading, subsection (b) and Note filed 1-6-94; operative 2-7-94 (Register 94, No. 1).
§51489. Eligibility for Payment for Paramedic Ambulance Services.
Note     •     History

NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code. Reference: Section 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 4-20-82 as an emergency; effective upon filing (Register 82, No. 18).
2. Order of Repeal of 4-20-82 emergency order filed 4-29-82 by OAL pursuant to Government Code Section 11349.6 (Register 82, No. 18).
3. New section filed 7-6-82 as an emergency; effective upon filing (Register 82, No. 28). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-82.
4. Certificate of Compliance as to 7-6-82 order transmitted to OAL 11-3-82 and filed 12-3-82 (Register 82, No. 49).
5. Repealer filed 8-9-85; effective thirtieth day thereafter (Register 85, No. 32).
§51490. Claim Submission Requirements for Short--Doyle Medi--Cal Providers.
Note     •     History

(a) All claims for community mental health and drug abuse services provided to Medi-Cal beneficiaries by a Short-Doyle Medi-Cal provider shall be submitted through the Short-Doyle Medi-Cal system.
(b) Except for good cause, as specified in Section 51008 and approved by the Department, claims for Short-Doyle Medi-Cal services shall be presented to the Department of Mental Health no later than two months after the month of service. The Department of Mental Health shall present such claims to the Department no later than three months after the month of service.
(c) The State Department of Mental Health shall resubmit a claim, which has been returned by the Department for correction or additional information, no later than three months after the month in which the claim was sent by the Department.
NOTE

Authority cited: Sections 10725, 14021.5 and 14124.5, Welfare and Institutions Code. Reference: Section 14021.5, Welfare and Institutions Code.
HISTORY

1. New section filed 1-31-85 as an emergency; designated effective 2-1-85 (Register 85, No. 7). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-3-85. For prior history, see Register 84, No. 48.
2. Certificate of Compliance including amendment transmitted to OAL 5-17-85 and filed 6-14-85 (Register 85, No. 24).
3. Amendment of subsections (b) and (c) filed 12-14-95 as an emergency; operative 12-14-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-96 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of subsections as they existed prior to emergency amendment filed 12-14-95 by operation of Government Code section 11346.1 (Register 96, No. 16).
5. Amendment of subsections (b) and (c) filed 4-16-96 as an emergency; operative 4-16-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-16-96 order transmitted to OAL 8-13-96 and filed 9-25-96 (Register 96, No. 39).
§51490.1. Claim Submission Requirements for Counties and Providers of Drug Medi-Cal Substance Abuse Services.
Note     •     History

(a) Claims from counties and providers for reimbursement of outpatient drug free, day care habilitative, narcotic treatment program, Naltrexone treatment, and perinatal residential treatment services shall be presented to ADP no later than thirty (30) calendar days after the month of service, unless the county or provider has good cause, as specified in Sections 51008 and 51008.5. The county or provider shall produce, upon request by ADP for audit or monitoring purposes, documentation to substantiate the good cause.
(b) ADP shall present such claims to DHS no later than sixty (60) calendar days after the month of service, or thirty (30) calendar days after the date ADP receives such claims, if the requirements of Subsection (a) of this regulation have been met.
(c) ADP shall resubmit claims, which have been returned by DHS for correction or additional information, within 97 calendar days from the current date (i.e., computer run date) shown on the Error Correction Reports from DHS.
(d) An additional unit of service, or a multiple service billing, provided to a beneficiary on the same day may be claimed up to the maximum amount allowable if the beneficiary's return visit is to the same provider and the return visit service is not a duplicate to, or the same as, the service previously provided to the beneficiary on the same day.
“Multiple billing” means a claim is being made for a return, face-to-face visit, which is for an additional service to a previously provided service on that same day. Documentation shall include a “Multiple billing override code”. “Multiple billing override code” means the code, designated by the prefix “Y”, that is entered on the Drug Medi-Cal Eligibility Worksheet (Form ADP 1584, revised June 6, 1996) or an error correction report from DHS, to indicate that a valid return visit was provided. The county and/or provider shall prepare and retain, in the beneficiary's patient record, a Multiple Billing Override Certification (Form ADP 7700, Revised 5/97), certifying that a review of the client's record substantiated the multiple service. The form shall be signed by the person authorized to represent the county and/or provider.
(1) For outpatient drug free and Naltrexone treatment services:
(A) The return visit shall not create a hardship on the beneficiary; and
(B) The return visit shall be clearly documented in the beneficiary's progress notes with the time of day each visit was made. The progress notes shall clearly reflect that an effort was made to provide all necessary services during one visit and the return visit was unavoidable; or,
(C) The return visit shall be a crisis or collateral service. Collateral services shall be documented in the beneficiary's treatment plan in accordance with the beneficiary's short/long-term goals. The beneficiary's progress notes shall specifically reflect the steps taken to meet the goals defined in the beneficiary's treatment plan.
(2) For day care habilitative services, the return visit shall be a crisis service. Crisis services shall be documented in the progress notes.
(3) The county and/or provider shall prepare and keep on file a statement which documents the reason the beneficiary required a return visit. This statement shall be produced upon request by ADP for audit or monitoring purposes.
NOTE

Authority cited: Sections 10725, 14021.5 and 14124.5, Welfare and Institutions Code; Section 11758.41, Health and Safety Code; and Statutes of 1996, Chapter 1027. Reference: Section 14021.5, Welfare and Institutions Code; Sections 11758.42 and 11758.46, Health and Safety Code; and Statutes of 1996, Chapter 1027.
HISTORY

1. New section filed 12-14-95 as an emergency; operative 12-14-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-96 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1 (Register 96, No. 16).
3. New section filed 4-16-96 as an emergency; operative 4-16-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-16-96 order, including amendment of subsection (a) and new subsections (a)(1)-(a)(2)(B), transmitted to OAL 8-13-96 and filed 9-25-96 (Register 96, No. 39).
5. Amendment of section heading and section filed 5-12-97 as an emergency; operative 5-12-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-9-97 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, section and Note filed 6-30-97 as an emergency; operative 7-1-97 (Register 97, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-29-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 5-12-97 order transmitted to OAL 8-13-97 and filed 9-23-97 (Register 97, No. 39).
8. Amendment of section heading, section and Note refiled 10-6-97 as an emergency; operative 10-29-97 (Register 97, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-26-98 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note refiled 1-14-98 as an emergency; operative 2-26-98 (Register 98, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-26-98 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 1-14-98 order, including further amendment of section heading, section and Note, transmitted to OAL 6-11-98 and filed 6-29-98 (Register 98, No. 27).
11. Change without regulatory effect relocating forms ADP 7700 and ADP 1584 from section 51516.1 to section 51490.1 filed 4-4-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 14).

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§51491. Local Educational Agency (LEA) Eligibility for Payment.
Note     •     History

Reimbursement for LEA Services shall be limited to those services provided to an LEA Eligible Beneficiary, by an LEA Practitioner, through an LEA Provider.
(a) LEA health and mental health evaluation and health and mental health education services shall be reimbursable only if those services are provided by an LEA Practitioner who:
(1) If licensed or certified under the Business and Professions Code, Healing Arts Division, Section 500 et seq., furnishes LEA Services within the scope of practice of the practitioner as defined in that code;
(2) If not licensed or certified under the Business and Professions Code, Healing Arts Division, furnishes LEA Services within the following limitations:
(A) A credentialed school psychologist meeting the qualifications defined in Education Code, Section 49422, may provide psychosocial assessments, and health education and anticipatory guidance only;
(B) A credentialed school social worker meeting the qualifications defined in Education Code, Section 44874, may provide psychosocial assessments and health education and anticipatory guidance only;
(C) A credentialed school counselor meeting the qualifications defined in Education Code, Section 49600, may provide psychosocial assessments only;
(D) A registered school audiometrist registered pursuant to Health and Safety Code, Sections 1685 and 1686 may provide hearing assessments only;
(E) A registered credentialed school nurse meeting the qualifications defined in Education Code, Sections 49426 and 44877, may provide vision, hearing, developmental, and psychological assessments, health education and anticipatory guidance, and nutritional assessments and nutrition education.  Registered credentialed school nurses may provide hearing assessments only if they are a registered school audiometrist.
(F) A credentialed language, speech and hearing specialist meeting the qualifications defined in Education Code, Sections 44225(b)(4) and 44268 may perform hearing assessments and developmental assessments related to language only.
(b) LEA physical therapy services shall be reimbursable only if those services are rendered by a licensed physical therapist who meets the standards of Section 51201.1.
(c) LEA occupational therapy services shall be reimbursable only if those services are rendered by a registered occupational therapist who meets the standards of Section 51203.1.
(d) LEA speech pathology or audiology services shall be reimbursable only if those services are rendered by a licensed speech therapist who meets the standards of Section 51202; or a licensed audiologist who meets the standards of Section 51219.
(e) LEA psychology and counseling services shall be reimbursable only if those services are rendered by a licensed psychiatrist, licensed psychologist, or licensed clinical social worker who meets applicable State licensure requirements; or a licensed marriage, family, and child counselor meeting the qualifications defined in Business and Professions Code, Sections 4980 through 4981.
(f) LEA nursing services shall be reimbursable only if those services are rendered by a licensed registered nurse, certified nurse practitioner, certified public health nurse, or registered credentialed school nurse meeting the requirements of Education Code, Section 49426; or a licensed physician's assistant or licensed vocational nurse meeting State licensure requirements, including supervision requirements.
(g) LEA school health aide services shall be reimbursable only if those services are rendered by a trained health care aide as specified in Education Code, Section 49423.5 under the supervision of one of the following:
(1) A licensed physician and surgeon,
(2) A registered credentialed school nurse, or
(3) A certified public health nurse;
(h) LEA medical transportation services and LEA mileage, shall be reimbursable only if all vehicles, drivers and attendants meet the standards specified in Sections 51231, 51231.1 and 51231.2.
(i) LEA Services shall be reimbursable only when provided at one of the following sites:
(1) At a school site within the LEA Provider's domain in accordance with Section 51270;
(2) In the office or normal place of business of an LEA Practitioner; or
(3) For authorized LEA medical transportation services and LEA mileage, between a school site and a location at which health services are rendered to the beneficiary except as provided in Section 51360(b)(8).
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14000, 14018.2, 14053, 14059, 14100.2, 14105, 14124.1, 14124.5, 14132, 14133, 14136.5 and 14170, Welfare and Institutions Code; Sections 500 et seq., 4980 and 4981, Business and Professions Code; Sections 44225(b)(4), 44268, 44874, 44877, 49600, 49422, 49423.5 and 49426, Education Code; and Sections 1685 and 1686, Health and Safety Code. 
HISTORY

1. New section filed 12-22-93 as an emergency; operative 12-22-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-22-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-22-93 order including new opening statement and amendment of subsections (g)-(g)(3) and (i)(1) and (3) transmitted to OAL 4-20-94 and filed 6-2-94 (Register 94, No. 22).
§51492. Claim Submission Requirements for Targeted Case Management Providers.
Note     •     History

(a) Only local governmental agencies meeting the eligibility criteria specified in Section 51271 shall submit targeted case management service claims to the department.
(b) All claims for targeted case management services provided to Medi-Cal beneficiaries by a targeted case management services provider pursuant to Welfare and Institutions Code, Section 14132.44, shall be submitted electronically to the department. The electronic submission may be magnetic tape or diskette.
(c) Each electronically submitted claim shall be accompanied by a corresponding invoice.
(d) Claims for targeted case management services may be submitted monthly, but not more than six months after the month in which the targeted case management service is rendered pursuant to Welfare and Institutions Code, Section 14115.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealed by operation of Government Code section 11346.1(g) (Register 97, No. 15).
5. New section filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
§51492.1. Host County Contractual Responsibilities in the Targeted Case Management Program.
Note     •     History

NOTE

Authority cited: Sections 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealer filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
§51492.2. Participation Fee Requirements in the Targeted Case Management Program.
Note     •     History

(a) The department shall perform administrative activities, including technical support, processing claims, and program monitoring for local governmental agencies participating in the targeted case management program, pursuant to Welfare and Institutions Code, Section 14132.44.
(b)  Local governmental agencies shall pay the department's costs of performing administrative activities described in subsection (a).
(c) Local governmental agencies shall designate a host county as defined in Section 51185(c). Each participating local governmental agency shall deposit with the host county an annual participation fee, for that local governmental agency's portion of the costs described in subsection (b), through a mechanism agreed to by the department and local governmental agencies.
NOTE

Authority cited: Sections 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealed by operation of Government Code section 11346.1(g) (Register 97, No. 15).
5. New section filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
Article 7. Payment for Services and Supplies
§51501. General.
Note     •     History

(a) Notwithstanding any other provisions of these regulations, no provider shall charge for any service or any article more than would have been charged for the same service or article to other purchasers of comparable services or articles under comparable circumstances. However, if an organized outpatient clinic renders services without charge to the general public under programs, other than Title XVIII or XIX, financed by federal or state funds, Medi-Cal may be considered a third party payor and be billed for Medi-Cal covered services when rendered to Medi-Cal beneficiaries if: 
(1) The clinic has an established fee schedule; and 
(2) The clinic ascertains from all individuals served whether they have a third party coverage for medical care or services, and if such coverage is available that third party coverage is billed and a diligent effort made to collect such claimed amounts; and 
(3) Medi-Cal is not the only third party pay or from which the clinic seeks payment. 
(b) Payments for benefits under the Medi-Cal Program can be made only to providers who meet the Standards for Participation specified in Article 3 (commencing with Section 51200), and the requirements for payment in Article 7 of this chapter. 
(c) Payment by the Medi-Cal Program for each outpatient visit which involves copayment, emergency room service which involves copayment and each prescribed drug which involves copayment shall not be reduced by the amount of copayment required by these regulations. 
(d) No provider shall submit claims to the Medi-Cal Program using any provider number other than that issued to the provider by the Department. 
(e) Fees shall not be paid to any provider for professional services rendered in a hospital or other facility when such provider is compensated on a salary or contract basis, for performing the same or similar services, by that hospital or facility if the funds used to pay such salary or to discharge the obligation of such contract are subject to reimbursement in whole or in part from the General Fund of the State of California or from taxes or assessments paid to any of its subdivisions. 
(f) A negotiated rate of payment between a Medi-Cal provider and any contractor contracting with the Department on an at-risk basis pursuant to Chapter 7 or Chapter 8, Part 3, Division 9, Welfare and Institutions Code shall not be the basis for finding a violation of (a) above or Section 51480 and shall not be the basis for otherwise reducing the provider's reimbursement pursuant to the payment regulations of this article. 
NOTE

Authority cited: Sections 14105, 14124.5 and 14312, Welfare and Institutions Code; Section 133.5, Chapter 102, Statutes of 1981; Section 2, Chapter 237, Statutes of 1981; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14000, 14053, 14088.16, 14105, 14106 and 14134, Welfare and Institutions Code. 
HISTORY

1. Amendment of subsection (a) filed 4-1-74; effective thirtieth day thereafter (Register 74, No. 14). For prior history, see Register 72, No. 40. 
2. New subsection (e) filed 3-5-76 as an emergency; effective upon filing (Register 76, No. 10). 
3. Certificate of Compliance filed 7-1-76 (Register 76, No. 27). 
4. New subsection (f) filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). 
5. Amendment of subsection (c) filed 11-17-81 as an emergency; effective upon filing (Register 81, No. 47). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-17-82.
6. Certificate of Compliance transmitted to OAL 3-16-82 and filed 4-16-82 (Register 82, No. 16). 
7. Editorial correction restoring subsections (a)(A)-(f) inadvertently deleted during printing of Register 84, No. 50, and redesignation of subsections (a)(A)-(C) to subsections (a)(1)-(3) (Register 85, No. 12). 
8. Amendment of subsection (f) filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
9. Amendment refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
10. Request to readopt amendment on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
12. Amendment of subsection (f) filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
14. Amendment of subsection (b) and Note filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
15. Amendment of subsection (b) and Note refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
16. Amendment of subsection (b) and Note refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
17. Amendment of subsection (b) and Note refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51502. Billing Requirements.
Note     •     History

(a) All charges submitted for payment shall be on billing forms approved by the Director. Unless otherwise prescribed by the Director, the following shall be included on or attached to each billing form:
(1) The name, address, and Medi-Cal provider number of the provider submitting the billing.
(2) The name, address and Medi-Cal identification number for the beneficiary receiving the services billed, MEDI labels for services requiring this documentation and such other information as the Director may prescribe to ensure correct payment of the claim.
(3) A coded description of each diagnosis, in a form prescribed by the Director.
(4) A coded description of each procedure for each service rendered to the beneficiary in a form prescribed by the Director. The billing form for all clinical laboratory tests or examinations shall include the diagnostic information specified in Section 51200(e).
(5) The Medi-Cal provider number or license number, when different than the billing provider, for the following:
(A) The admitting, attending and operating physician, dentist or podiatrist who provides hospital inpatient services.
(B) The referring physician, dentist, podiatrist and rendering practitioner who provides outpatient institutional services, physician services and other provider services.
(C) The attending physician who renders services to a patient in a long-term care facility.
(D) The ordering or prescribing physician, dentist or podiatrist, when the service claimed by the provider requires an order or prescription by a licensed practitioner as defined by California law.
(E) The facility where physician services or allied services were rendered if other than home or office.
(6) The Medi-Cal provider number or California laboratory identification number of the laboratory where services were rendered for out-patient institutional services, physician services and allied services.
(7) The total amount billed to Medicare and the amount paid by Medicare for Medicare/Medi-Cal crossover claims for long-term care services, hospital inpatient services, outpatient institutional services, optometric services, physician services and allied services.
(8) The number of pints of blood and the Medicare blood deductible amount for Medicare/Medi-Cal crossover claims for hospital inpatient services, outpatient and institutional services, physician services and allied services.
(9) The Medicare deductible and coinsurance amounts for Medicare/Medi-Cal crossover claims for long-term care services, hospital inpatient services, outpatient institutional services, optometric services, physician services and allied services.
(10) The charge for each service.
(11) The provider's signature certifying that all information included on or attached to the billing form is true, accurate and complete.
(b) Notwithstanding any other provisions of these regulations, payment for any service rendered includes the payment for completion of the required authorization or billing forms. No provider shall submit charges or receive additional payment for the completion of required authorization or billing forms.
(c) All claims for services rendered in an organized outpatient clinic shall be submitted by the clinic, except that  claims for surgical  proce-dures provided in licensed surgical clinics may be submitted separately by physicians and by clinics for services provided by each provider.
(d) The Department may require additional documentation to determine the medical necessity of services before paying benefits under the Medi-Cal program.
NOTE

Authority cited: Sections 14105, 14115 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14018.2, 14043.75, 14059, 14115, 14124.5, 14132 and 14133, Welfare and Institutions Code.
HISTORY

1. New section filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40). Certificate of Compliance--Section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
2. Amendment filed 8-6-76; effective thirtieth day thereafter (Register 76, No. 32).
3. Amendment of subsection (c) filed 12-30-77; designated effective 2-1-78 (Register 77, No. 53).
4. Amendment of subsection (a) filed 10-24-79; effective thirtieth day thereafter (Register 79, No. 42).
5. Amendment of subsection (a) filed 2-1-80; effective thirtieth day thereafter (Register 80, No. 5).
6. New subsection (d) filed 3-30-81; effective thirtieth day thereafter (Register 81, No. 14).
7. Amendment of subsections (a)(2) and (c) filed 3-6-85; effective thirtieth day thereafter (Register 85, No. 10).
8. Amendment of subsection (a)(4) and amendment of Note filed 10-24-2000 as an emergency and submitted to OAL for printing only pursuant to Section 78, Chapter 146, Statutes of 1999; operative 10-24-2000 (Register 2000, No. 43). A Certificate of Compliance must be transmitted to OAL by 4-23-2001 or emergency language will be repealed by operation of law on the following day.
9. Editorial correction of History 8 (Register 2001, No. 14). 
10. Amendment of subsection (a)(4) and amendment of Note refiled 4-4-2001 as an emergency and submitted to OAL for printing only pursuant to Section 78, Chapter 146, Statutes of 1999; operative 4-4-2001 (Register 2001, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2001 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-4-2001 order, including further amendment of subsection (a)(4), transmitted to OAL 7-31-2001 and filed 9-5-2001 (Register 2001, No. 36).
§51502.1. Requirements for Electronic Claims Submission.
Note     •     History

(a) As used in this section, the following definitions shall apply:
(1) “Biller” includes any employee, officer, agent or director of the entity which will bill on behalf of a provider pursuant to a contractual relationship with the provider which does not include payment to billers on the basis of a percentage of amount billed or collected from Medi-Cal.
(2) “Source Documents” include every document or record on which the provider or the biller relies to submit a claim, as described in Title 22, Section 51476. Source documents shall also include all printed representations of information transmitted as a claim to the biller or the fiscal intermediary, whether transmitted by the provider or biller.
(3) “Provider” shall have the same meaning as in Section 51051 of these regulations. 
(4) “Electronic claims submission” means that submission of Medi-Cal claims for service on magnetic tape, computer-to-computer via telephone or other electronic means which are approved by the Director as being compatible with and acceptable for processing by the State claims processing system.
(b) Any enrolled provider may request of the Department authorization to transmit claims to the fiscal intermediary electronically. The Director shall provide written acknowledgement of provider's request for electronic claims submission participation within 30 days of receipt of the request. This acknowledgement shall identify additional information, if any, needed. The Director shall notify the provider in writing of approval or denial within six months of receipt of the request. In the event that the request is denied, the written notice shall specifically set forth the reasons for the denial.
(c) The Director shall authorize such billing unless the Director determines that the requesting provider is ineligible for electronic claims submission. In determining eligibility, the Director shall consider the provider's history of Medi-Cal provider participation, for the three years preceding provider request for participation. A provider shall be determined ineligible for electronic claims submission if during the three years one of the following criteria is met. The provider has:
(1) Been convicted of any felony, crime or misdemeanor involving fraud or abuse of the Medi-Cal, Medicaid or Medicare programs.
(2) Been convicted of any crime involving dishonesty, corruption, theft, fraud, kickbacks, rebates or bribes.
(3) Been found liable or convicted in any civil or criminal legal action involving misuse of electronic communication mechanisms.
(4) Been the subject of any civil or criminal proceedings by any private or public entity administering Medi-Cal, Medicaid or private insurance, which result in one of the following: suspension from the Medi-Cal program in accordance with Title 22, CAC, Section 51458, placement on special claims review in accordance with Section 51460, placement on prior Authorization in accordance with Title 22, CAC, Section 51455, recovery of overpayments in excess of 10 percent of total provider annual Medi-Cal payments for the most recent full fiscal year in accordance with Title 22, CAC, Section 51458.1 or the filing of criminal charges for fraudulent billing of the Medi-Cal program in accordance with Sections 14107 of the Welfare and Institutions Code and 72 of the Penal Code.
(5) Failed or refused to provide the Department, its duly authorized agents or agents of other state or federal agencies charged with the review of state or federal expenditures with patient records, source documents or other documentation required by statute or regulation.
(6) Made any false or misleading statement in patient records, substantiation of claims, requests for prior authorization, Departmental application or other documentation in violation of statute or regulation.
(d) Any provider determined by the Director to be eligible for electronic claims submission may employ a biller certified by the Director as eligible to perform such billing. The Director shall provide written acknowledgement of biller request to perform such billing for an eligible provider within 30 days of application date. This acknowledgement shall identify additional information, if any, needed. The Director shall notify biller in writing of approval or denial within six months of request receipt. In the event such a request is denied the written notice shall specify reasons for denial. In determining the eligibility of a biller, the Director shall consider the biller's history of Medi-Cal participation or overall business activities for the three years preceding participation request receipt. A biller shall be determined to be ineligible for electronic claim submission if one of the following criteria is met during the three years preceding receipt of request for participation. The biller has:
(1) Been convicted of any crime involving dishonesty, corruption, fraud, computer fraud, embezzlement, larceny, forgery, falsification of documents, kickbacks, rebates or bribes.
(2) Been found liable or convicted in any civil, criminal or administrative actions involving illegal use of electronic communication mechanisms.
(3) Submitted claims for services not claimed by a provider or for a greater dollar amount than claimed by a provider under the Medi-Cal, Medicaid, Medicare programs or any other health insurance carrier.
(4) Entered an agreement for compensation with any provider based upon percentage or other variable related to the amount billed or collected from the Medi-Cal, Medicaid, or Medicare programs in violation of state or federal law.
(5) Failed or refused to produce source documents for the Department, its duly authorized agents or agents of other state or federal agencies charged with review of state or federal expenditures as provided in statute or regulation.
(6) Failed to demonstrate it employs adequate precautions to protect the confidentiality of Medi-Cal beneficiary records and claims submission methods in accordance with statute or regulation.
(e) The agreement between a provider and a biller shall be in writing and shall be readily retrievable and available on request to the Department or any duly authorized agency for Departmental review to ensure compliance with state and federal standards. Said agreement must in no case contain an agreement for compensation of the biller based on a formula which has as a factor the percentage of the amount billed or collected from the Medi-Cal, Medicaid or Medicare programs in violation of state or federal law.
(f) Any provider or biller eligible for electronic claims submission shall, prior to engaging in any such billing, enter into an agreement with the Department specifying the conditions of participation in such billing methods. This agreement shall be drafted by the Department. The provider and biller shall agree to conditions which shall include, but not be limited to, the following:
(1) Any and all source documents used in documenting, preparing or submitting claims shall be retained in a manner readily retrievable and shall be made available to agents of the Department or any other duly authorized agency on request during normal business hours. Out-of-state providers may be required to produce source documents at a location designated by the Department within the State of California.
(2) All source documents shall be maintained for a period of at least three years from the date received by the FI for payment, as specified by Title 22, CAC, Section 51476.
(3) Source documents, originals or on microfilm/microfiche, shall show the identification of the person or persons who actually rendered the service claimed. All providers shall have on file a printed representation of all information transmitted electronically as a claim by the provider to the biller or the fiscal intermediary. All billers shall produce a printed representation of all information transmitted electronically as a claim by the provider to the biller on demand of the Department or any other authorized agency.
(4) Any instructions between a provider and a biller related to the submission of Medi-Cal claims shall be in writing and available for inspection.
(5) Claims shall not be processed until such time as the Department's fiscal intermediary receives, verifies and posts a Claims Certification Statement and Control Sheet, which shall include all of the following:
(A) A certification of the truth and accuracy of each claim.
(B) The number and total dollar amount of claims submitted.
(C) Such beneficiary identification as the Department may require.
(D) The signature of the provider or the provider's agent.
(6) The Department shall be promptly notified by the provider of any changes in a provider's or biller's status which might affect such person's ability to participate in electronic billing methods.
(7) The provider shall be responsible for ensuring that all remittances and paid claims information are reviewed and that corrections for any overpayments are promptly pursued through the Department's Fiscal Intermediary within the applicable limits of Section 51008(d) of Title 22, CAC.
(8) The provider shall bill those services requiring submission of a MEDI label or other attachment with the claim in accordance with Department billing instructions including instructions regarding structuring the remarks section in a format compatible with electronic data submission.
(g) No provider or potential biller shall submit claims electronically without first securing the approval of the Department for the system to be used for claims submission. In reviewing a proposed billing system, the Department may request submission of a test billing and consider the:
(1) Compatibility with and acceptability for processing by the State claims processing system.
(2) Provider's or potential biller's system for maintaining adequate documentation to support the services, claims and medical necessity thereof.
(h) The test billing and signed provider/biller agreements shall constitute formal request for participation in the electronic claims submission program.
(i) Ongoing approval of the billing system is contingent upon maintenance of the system as approved by the Department under subsection (g). Failure to do so shall be considered grounds for the Department to disapprove the provider or biller for the submission of claims electronically.
(j) Failure or refusal of a provider or a biller to continue to comply with the standards of participation set forth in subsections (c) through (g) shall subject a provider or biller to immediate suspension from participation in the electronic claims submission program. For purposes of applying the standards set forth in those subsections (c) and (d), suspension will occur if one of the events set forth in those subsections has occurred during the three year period prior to the proposed suspension. Notification of the suspension shall be in writing. The provider or biller has the right to appeal the suspension in writing within 30 days of the date of notification. The Department shall review the appeal and any supporting documents in accordance with the time frames and procedures specified in Section 51015(d) of these regulations.
NOTE

Authority cited: Sections 10725, 14040, 14105 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14040, 14100.2, 14107, 14115, 14124.1, 14124.2 and 14170, Welfare and Institutions Code.
HISTORY

1. New section filed 6-29-84 as an emergency; designated effective 7-1-84 (Register 84, No. 28). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-30-84.
2. Order of Repeal of 6-29-84 emergency language filed 11-28-84 by OAL pursuant to Government Code Section 11349.6(b) (Register 84, No. 48).
3. New section filed 3-18-85 as an emergency; effective upon filing (Register 85, No. 14). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-16-85.
4. Certificate of Compliance including amendment of subsection (c)(4) filed 7-15-85 (Register 85, No. 29).
5. Amendment of subsection (f)(2) and new subsection (j) filed 4-24-87; operative 5-24-87 (Register 87, No. 17).
6. Amendment of subsection (a)(3) and Note filed 9-28-99 as an emergency; operative 9-28-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 3-27-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
7. Amendment of subsection (a)(3) and Note refiled 11-24-99 as an emergency; operative 11-24-99 (Register 99, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-22-2000 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to section 78, AB 1107 (Chapter 146, Statutes of 1999).
8. Amendment of subsection (a)(3) and Note refiled 5-5-2000 as an emergency; operative 5-22-2000 (Register 2000, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-19-2000 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (a)(3) and Note refiled 8-28-2000 as an emergency; operative 9-6-2000 (Register 2000, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-4-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 8-28-2000 order transmitted to OAL 12-26-2000 and filed 2-8-2001 (Register 2001, No. 6).
§51503. Physician Services.
Note     •     History

(a) Except as otherwise provided, reimbursement for physician services shall be the usual charges made to the general public not to exceed the maximum reimbursement rates listed in this section for each procedure performed by a physician.
(b) Except as set forth in (d), (e), (h), (k) and (l), the maximum reimbursement rates for physician services shall be the rates set forth in the “Schedule of Medi-Cal Physician Rates”, published by the Department of Health Services, June 2002, herein incorporated by reference in its entirety.
(c) As used in (b), a given procedure listed in the “Schedule of Medi-Cal Physician Rates” means those procedures which are a benefit of the Medi-Cal program as determined by the Department.
(d) The maximum reimbursement for “By Report” procedures, and procedures not listed in the “Schedule of Medi-Cal Physician Rates” shall be based upon a review of such procedures to determine their relationship to other procedures for which reimbursement rates are established.
(e) The maximum reimbursement rate for professional services for immunizations shall be $9.00. The maximum reimbursement rate for professional services for other injections shall be $4.46.
(f) Maximum reimbursement rates for anesthesia services shall be determined in accordance with this Section, except anesthesia services performed by a nurse anesthetist and billed by a physician shall be reimbursed in accordance with Section 51505.2. Physicians billing for anesthesia services performed by a nurse anesthetist shall indicate on the claim that such services were performed by a nurse anesthetist.
(g) Reimbursement for services rendered on or after November 1, 1976 by physicians which were provided in hospital outpatient emergency, examining, and treatment rooms shall be reduced to 80 percent of the maximum reimbursement rates as set forth in (b) unless:
(1) The physician is called from outside the outpatient department setting to provide emergency services.
(2) The physician or group of physicians contract with a hospital and assume total financial responsibility for such outpatient services.
(3) Specified medical procedures, as determined by the Department, when performed in a hospital outpatient setting may be reimbursed at the rates set forth in (b).
(h) Pathology tests that are not listed in (b) shall be reimbursed in accordance with the provisions of section 51529.
(i) In compliance with section 51501 and notwithstanding any provision of Title XVIII of the Social Security Act, Medi-Cal payments for a physician's services to outpatient dialysis patients shall be made only to providers of service.
(j) The Medi-Cal program, through its intermediary, will pay allowable Medi-Cal rates for direct patient care services in a teaching setting when directly provided by teaching physicians only when such services are provided and billed in accordance with program policies and regulations of the Department of Health Services and when:
(1) They are performed for necessary treatment of the patient;
(2) They are not an exercise of teaching supervision without direct patient care services being provided;
(3) They do not duplicate any medical services billed by any other provider; and
(4) The teaching physician is not on salary or contract to the hospital for the direct patient care services provided.
No professional fees are payable for services provided independently by residents or students in a teaching setting.
(k) Reimbursement for an early discharge follow up visit provided to a mother and her newborn shall be made when the conditions specified in Section 51327(b) are met. Each early discharge follow up visit shall be separately reimbursed when the physician providing service to the mother is different from the physician providing service to the newborn. Services provided to the mother and her newborn shall be billed using Evaluation and Management Code 99499 with the modifier “ZW.”
(l) Physician services provided under the California Children's Services program shall be reimbursed at rates which are 39.7 percent greater than the Medi-Cal rate which would otherwise be applicable.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14077, 14105, 14132.42 and 14148.4, Welfare and Institutions Code; Statutes of 1982, Chapter 1594, Section 77; Statutes of 1983, Chapter 323, Section 149; Statutes of 1984, Chapter 268, Section 66; Statutes of 1986, Chapter 186, Items 4260-106-001 and 890; Statutes of 1992, Chapter 722, Section 88, Statutes of 1998, Chapter 324, Items 4260-101-0001 and 0890; Statutes of 1999, Chapter 50, Items 4260-101-0001 and 4260-101-0890; Section 433.123, Title 42, Code of Federal Regulations; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. Amendment of subsection (b), relettering of former subsections (f)-(k) to subsections (g)-(l) and new subsection (f) filed 1-19-90 as an emergency; operative 1-19-90 (Register 90, No. 5). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-21-90. For prior history, see Register 89, No. 21.
2. Certificate of Compliance as to 1-19-90 order including amendment of subsection (f) transmitted to OAL 5-18-90 and filed 6-15-90 (Register 90, No. 32).
3. Amendment of subsections (a), table in subsection (b), subsection (h) and Note filed 10-1-92 with Secretary of State by Department of Health Services; operative 10-1-92. Submitted to OAL for printing only pursuant to section 147(c), SB 485, (Chapter 722, Statutes of 1992) (Register 92, No. 40).
4. Certificate of Compliance as to 10-1-92 order transmitted to OAL 1-2-93 and filed 3-12-93 (Register 93, No. 11).
5. Amendment of subsection (g) and Note filed 4-11-96 as an emergency pursuant to section 14105 of the Welfare and Institutions Code; operative 1-18-96 pursuant to stats. 1995, ch. 303, item 4260-101-001, sec. 5 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-11-96 order transmitted to OAL 8-7-96 and filed 9-13-96 (Register 96, No. 37).
7. Repealer of subsection (h), new subsections (h)-(h)(3), and amendment of Note filed 12-30-97; operative 5-1-98 (Register 98, No. 1).
8. Amendment of subsections (b), (f) and (g) and amendment of Note filed 3-1-99 as an emergency; operative 3-1-99 (Register 99, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-29-99 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section as it existed prior to 3-1-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 99, No. 33).
10. Amendment of subsections (b), (f) and (g) and amendment of Note filed 8-10-99 as an emergency; operative 8-10-99 (Register 99, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-8-99 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 8-10-99 order transmitted to OAL 12-2-99 and filed 1-13-2000 (Register 2000, No. 2).
12. New subsection (m) and amendment of Note filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 3-13-2000 order transmitted to OAL 7-5-2000 and filed 8-14-2000 (Register 2000, No. 33).
14. Amendment of subsections (b), (f) and (h)(2), new subsection (n) and amendment of Note filed 11-13-2000 as an emergency; operative 11-13-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-2001 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 11-13-2000 order transmitted to OAL 3-13-2001 and filed 4-4-2001 (Register 2001, No. 14).
16. Amendment of section and Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
17. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (m), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51503.1. Reimbursement for Services Rendered by a Nonphysician Medical Practitioner.
Note     •     History

(a) Except as provided in (b), reimbursement for services rendered by a nonphysician medical practitioner shall be made directly to the physician, organized outpatient clinic or hospital outpatient department utilizing the nonphysician medical practitioner.
(b) Reimbursement for services rendered by a nurse midwife, a certified family nurse practitioner, or a certified pediatric nurse practitioner shall be made in accordance with Section 51503.2.
(c) Reimbursement shall be the lesser of the billed amount or the rates established pursuant to Section 51503.
(d) All claims for payment for nonphysician medical practitioner services rendered pursuant to (a) shall include:
(1) The name and license or certificate number of the nonphysician medical practitioner rendering the service.
(2) The location at which the service was rendered.
(3) The name of the supervising physician or the attending physician.
(e) Reimbursement for services rendered by nonphysician medical practitioners shall be limited to those which are:
(1) Defined by statutes and regulations as Medi-Cal reimbursable services.
(2) Within the scope of services permitted by the statutes and regulations governing the activities of licensed physician's assistants, nurse midwives, and nurse practitioners.
(3) Within the scope of the Physician-Practitioner Interface as defined in Section 51171.
NOTE

Authority cited: Sections 14053, 14105, 14124.5, 14132 and 14132.41, Welfare and Institutions Code. Reference: Articles 2 and 2.5 of Chapter 6, and Chapter 7.7, Business and Professions Code; and Sections 14115.6 and 14132.41, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 8-9-78 (Register 78, No. 31).
3. Amendment filed 8-13-86; effective upon filing (Register 86, No. 33).
4. Amendment of section and Note filed 5-3-93 as an emergency; operative 5-3-93 (Register 93, No. 19). A Certificate of Compliance must be transmitted to OAL 8-31-93 or emergency language will be repealed by operation of law on the following day.
5. Reinstatement of section as it existed prior to emergency amendment filed 5-3-93  by operation of  Government Code section 11346.1(f) (Register 93, No. 44).
6. Amendment of section and Note refiled 10-27-93 as an emergency; operative 10-27-93 (Register 93, No. 44).  A Certificate of Compliance must be transmitted to OAL by 2-25-94 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-27-93 order including amendment of Note transmitted to OAL 10-18-93 and filed 12-2-93 (Register 93, No. 49).
§51503.2. Reimbursement for Services Rendered by a Nurse Midwife, a Certified Family Nurse Practitioner, or a Certified Pediatric Nurse Practitioner.
Note     •     History

(a) Reimbursement for services rendered by a nurse midwife, a certified family nurse practitioner, or a certified pediatric nurse practitioner shall be the usual charges made to the general public not to exceed the maximum reimbursement rates established in Section 51503 for the same service.
(b) Reimbursement may be made either:
(1) Directly to the nurse midwife, a certified family nurse practitioner, or certified pediatric nurse practitioner as an independent provider of service.
(2) To the physician, organized outpatient clinic, or hospital outpatient department which employs or utilizes the nurse midwife, a certified family nurse practitioner, or certified pediatric nurse practitioner as a nonphysician medical practitioner in accordance with Section 51503.1.
NOTE

Authority cited: Sections 14105 and 14132.41, Welfare and Institutions Code. Reference: Sections 14132.4 and 14132.41, Welfare and Institutions Code; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. New section filed 12-21-83; effective thirtieth day thereafter (Register 83, No. 52).
2. Amendment of section heading, text and Note filed 5-3-93 as an emergency; operative 5-3-93 (Register 93, No. 19). A Certificate of Compliance must be transmitted to OAL 8-31-93 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed 5-3-93  by operation of  Government Code section 11346.1(f) (Register 93, No. 44).
4. Amendment of section heading, text and Note refiled 10-27-93 as an emergency; operative 10-27-93 (Register 93, No. 44).  A Certificate of Compliance must be transmitted to OAL by 2-25-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-27-93 order including amendment of Note transmitted to OAL 10-18-93 and filed 12-2-93 (Register 93, No. 49).
6. Amendment of subsection (a), new subsection (c) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
7. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (c), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51503.3. Reimbursement for Sign Language Interpreter Services.
Note     •     History

(a) Reimbursement for the provision of sign language interpreter services utilized in accordance with Section 51309.5, rendered by non-certified or certified interpreters shall be made to Medi-Cal enrolled providers employing fewer than fifteen employees in accordance with the maximum reimbursement rates set forth in this section. However, in no case shall the services billed exceed charges made to the general public for provision of similar services.
(b) Reimbursement for sign language interpreter services shall be as follows:

Procedure Code	Description	Rate

Z0324	Certified Sign Language Interpreter	$64.55

Z0326	Non-Certified Sign Language Interpreter	$38.73
Each procedure code represents a minimum of two hours of service, which includes travel time.
(c) Additional sign language interpreter services may be billed in 15-minute increments as follows:

Z0328	Certified Sign Language Interpreter	$6.36

Z0329	Non-Certified Sign Language Interpreter	$3.82
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725 and 14105, Welfare and Institutions Code. Reference: Section 54.1, Civil Code; Section 14000, Welfare and Institutions Code; 42 USC Sections 12101 et seq.; 28 CFR Section 36.303; and 45 CFR Section 84.22(c).
HISTORY

1. New section filed 8-21-2000 as an emergency; operative 8-21-2000 (Register 2000, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-21-2000 order transmitted to OAL 12-19-2000 and filed 2-2-2001 (Register 2001, No. 5).
3. Amendment of subsection (a) and Note filed 8-7-2008; operative 9-6-2008 (Register 2008, No. 32).
§51504. Comprehensive Perinatal Services.
Note     •     History

(a) Except where a capitated health system contract entered into by the Department provides otherwise, reimbursement for comprehensive perinatal obstetric, nutrition, psychosocial, and health education services shall be made only to comprehensive perinatal providers defined in Section 51179.1.
(b) Except where a capitated health system contract entered into by the Department provides otherwise, reimbursement for comprehensive perinatal obstetric services shall not exceed the maximum allowances for similar services established in Sections 51503, 51509 or 51509.1, whichever is applicable, plus the following amounts.
(1) An additional $50.00 shall be allowed for the initial comprehensive medical office visit when provided within 16 weeks of the last menstrual period.
(2) An additional $100.00 in total shall be allowed for the tenth and all subsequent prenatal office visits.
(c) Except where a capitated health system contract entered into by the Department provides otherwise, reimbursement for pathology services shall not exceed the maximum allowances established in Section 51529.
(d) Except where a capitated health system contract entered into by the Department provides otherwise, reimbursement for comprehensive perinatal nutrition, psychosocial, and health education services shall not exceed the maximum allowances listed in this section. Reimbursement shall be claimed only for time spent rendering covered patient care services while in direct personal contact with the patient. Reimbursement shall not be claimed for similar services provided under the Maternal and Child Health program.
(e) Reimbursement for the combined perinatal assessment procedure listed in subsection (1) shall be allowed only when all three indicated assessments and the initial comprehensive medical examination have been performed.
(1) Maximum allowances for comprehensive perinatal nutrition, psychosocial, and health education assessment:

Procedure	Maximum
Code		Allowance

Z6500	Initial comprehensive nutrition, psychosocial, and health
	education assessments and development of care plan, first
	30 minutes each assessment (total of 90 minutes), including
	ongoing coordination of care.	$135.83
(2) Maximum allowances for comprehensive perinatal nutrition services:

Z6200	Initial nutrition assessment and development of care plan,
	first 30 minutes	$16.83
Z6202	Initial nutrition assessment and development of care plan,
	each subsequent 15 minutes	8.41
	(Maximum of 1 1/2 hours)

Z6204	Follow-up antepartum nutrition assessment, treatment
	and/or intervention, individual, each 15 minutes	8.41
	(Maximum of 2 hours)
Z6206	Follow-up antepartum, nutrition assessment, treatment,
	and/or intervention, group, per patient, each 15 minutes	2.81
	(Maximum of 3 hours)
Z6208	Postpartum nutrition assessment, treatment, and/or inter-
	vention, including development of care plan, individual,
	each 15 minutes	8.41
	(Maximum of 1 hour)
Z6210	Prenatal vitamin-mineral supplement, 300-day supply	39.96

(3) Maximum allowances for comprehensive perinatal psychosocial services:
(4) Maximum allowances for comprehensive perinatal health education services:

Procedure	Maximum
Code		Allowance

Z6300	Initial psychosocial assessment and development of care
	plan, first 30 minutes	$16.83
Z6302	Initial psychosocial assessment and development of care
	plan, each subsequent 15 minutes	8.41
	(Maximum of 1 1/2 hours)

Z6304	Follow-up antepartum psychosocial assessment, treatment
	and/or intervention, individual, each 15 minutes	8.41
	(Maximum of 3 hours)
Z6306	Follow-up antepartum psychosocial assessment, treatment
	and/or intervention, group, per patient, each 15 minutes	2.81
	(Maximum of 4 hours)

Z6308	Postpartum psychosocial assessment, treatment, and/or in-
	tervention, including development of care plan, individual,
	each 15 minutes	8.41
	(Maximum of 1 1/2 hours)

Z6400	Client orientation, each 15 minutes	8.41
	(Maximum of 2 hours)
Z6402	Initial health education assessment and development of
	care plan, first 30 minutes	16.83
Z6404	Initial health education assessment and development of
	care plan, each subsequent 15 minutes	8.41
	(Maximum of 2 hours)
Z6406	Follow-up antepartum health education assessment, treat-
	ment, and/or intervention, individual, each 15 minutes	8.41
	(Maximum of 2 hours)

Z6408	Follow-up antepartum health education assessment, treat-
	ment, and/or intervention, group, per patient, each 15
	minutes	2.81
	(Maximum of 2 hours)

Z6410	Perinatal education, individual, each 15 minutes	8.41
	(Maximum of 4 hours)

Z6412	Perinatal education, group, per patient, each 15 minutes	2.81
	(Maximum of 18 hours)

Z6414	Post partum health education assessment, treatment, and/
	or intervention, including development of care plan, indi-
	vidual, each 15 minutes	8.41
	(Maximum of 1 hour)
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14075, 14077, 14105 and 14134.5, Welfare and Institutions Code; Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. New section filed 2-17-87 as an emergency; effective upon filing (Register 87, No. 8). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-17-87.
2. New section refiled 6-5-87 as an emergency; operative 6-17-87 (Register 87, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-15-87.
3. Certificate of Compliance including amendment of subsection (d) filed 9-17-87 (Register 87, No. 38).
4. Amendment of subsection (b) filed 5-9-88 as an emergency; operative 5-15-88 (Register 88, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-12-88.
5. Certificate of Compliance including amendment of subsection (b)(2) transmitted to OAL 9-1-88 and filed 10-3-88 (Register 88, No. 42).
6. Amendment of subsections (e)(1)-(e)(4) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
8. Amendment of subsections (e)(1)-(2) and (e)(4), new subsection (f) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
9. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (f), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51504.1. Reimbursement for Services Rendered by a Licensed Midwife.
Note     •     History

(a) Reimbursement for services rendered by a licensed midwife shall be the usual charges made to the general public not to exceed the maximum reimbursement rates listed in Section 51503 for the same service.
(b) Reimbursement shall be made directly to the licensed physician and surgeon, clinic licensed pursuant to Sections 1204 or 1204.3 of the Health and Safety Code, or a clinic exempt from licensure under Section 1206 of the Health and Safety Code that utilizes the licensed midwife's services.
(c) Each claim for licensed midwife services shall be submitted by the licensed physician and surgeon, clinic licensed pursuant to Sections 1204 or 1204.3 of the Health and Safety Codes, or a clinic exempt from licensure under Section 1206 of the Health and Safety Codes, and shall include the name and Medi-Cal provider number of each licensed midwife and licensed physician and surgeon who supervised the provision of services for which reimbursement is being claimed.
NOTE

Authority cited: Section 14105, Welfare and Institutions Code. Reference: Section 14132.39, Welfare and Institutions Code.
HISTORY

1. New section filed 9-3-2004; operative 10-3-2004 (Register 2004, No. 36).
§51505. Other Professional Services.
History

HISTORY

1. Amendment filed 11-1-76 as an emergency; effective upon filing (Register 76, No. 45). For prior history, see Register 75, No. 32.
2. Amendment of subsection (b) filed 12-14-76; effective thirtieth day thereafter (Register 76, No. 51).
3. Certificate of Compliance filed 1-28-77 (Register 77, No. 5).
4. Repealer filed 11-4-77; effective thirtieth day thereafter (Register 77, No. 45).
§51505.1. Podiatry Services.
Note     •     History

(a) Reimbursement for podiatry services shall be the usual charges made to the general public not to exceed the maximum reimbursement rates listed in this section for each procedure performed by a podiatrist.
(b) Except as provided in subsections (d), (e), (f), and (g), of this section, the maximum reimbursement rates for podiatry services shall be the amount listed for podiatry services in the “Schedule of Medi-Cal Physician Rates,” incorporated by reference in its entirety in Section 51503(b).
(c) As used in (b), a given procedure listed in the “Schedule of Medi-Cal Physician Rates” means those procedures which are a benefit of the Medi-Cal program as determined by the Department.
(d) The maximum reimbursement for “By Report” or procedures not listed in the “Schedule of Medi-Cal Physician Rates” shall be based upon a review of such procedures to determine their relationship to other procedures for which unit reimbursement rates are established.
(e) The maximum reimbursement rate for professional services for injections shall be determined in accordance with 51503(e).
(f) Pathology tests shall be reimbursed in accordance with the provisions of Section 51529.
(g) Podiatry services provided under the California Children's Services program shall be reimbursed at rates which are 39.7 percent greater than the Medi-Cal rate which would otherwise be applicable.
NOTE

Authority cited: Sections 10725, 14105 and 14125, Welfare and Institutions Code. Reference: Sections 14105 and 14132, Welfare and Institutions Code; Statutes of 1982, Chapter 1594, Section 77; Statutes of 1983, Chapter 323, Section 149; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1984, Chapter 268, Section 66; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; Statutes of 1992, Chapter 722, Section 88; Statutes of 1998, Chapter 324, Items 4260-101-001 and 0890; Statutes of 1999, Chapter 50, Items 4260-101-0001 and 4260-101-0890; and Section 433.123, Title 42, Code of Federal Regulations; and Statutes of 2000, Chapter 50, Items 4260-101-0001 and 0890.
HISTORY

1. Amendment of subsection (b) and new subsection (g) filed 7-30-82 as an emergency; designated effective 8-1-82 (Register 82, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-82. For prior history, see Register 81, No. 52.
2. Amendment of subsection (b) filed 12-21-82 as an emergency; effective upon filing (Register 82, No. 52). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-20-83.
3. Certificate of Compliance as to 7-30-82 order transmitted to OAL 11-26-82 and filed 12-27-82 (Register 82, No. 52).
4. Certificate of Compliance as to 12-21-82 order transmitted to OAL 4-19-83 and filed 5-24-83 (Register 83, No. 22).
5. Amendment of subsections (b) and (f) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84.
6. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
7. Amendment of subsections (b) and (f) filed 8-1-85 as an emergency; effective on filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
8. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
9. Amendment of subsection (f) filed 10-1-87; operative 10-31-87 (Register 87, No. 41).
10. Amendment of table in subsection (b) and Note filed 10-1-92 with Secretary of State by Department of Health Services; operative 10-1-92. Submitted to OAL for printing only pursuant to section 147(c), SB 485, (Chapter 722, Statutes of 1992) (Register 92, No. 40).
11. Certificate of Compliance as to 10-1-92 order transmitted to OAL 1-2-93 and filed 3-12-93 (Register 93, No. 11).
12. Amendment of subsection (b), new subsection (h), and amendment of Note filed 12-30-97; operative 5-1-98 (Register 98, No. 1).
13. Amendment of subsections (b) and (f), new subsection (i), and amendment of Note filed 3-1-99 as an emergency; operative 3-1-99 (Register 99, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-29-99 or emergency language will be repealed by operation of law on the following day.
14. Reinstatement of section as it existed prior to 3-1-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 99, No. 33).
15. Amendment of subsections (b) and (f), new subsection (i) and amendment of Note filed 8-10-99 as an emergency; operative 8-10-99 (Register 99, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-8-99 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 8-10-99 order transmitted to OAL 12-2-99 and filed 1-13-2000 (Register 2000, No. 2).
17. Amendment of subsections (b) and (f), new subsection (j) and amendment of Note filed 11-13-2000 as an emergency; operative 11-13-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-2001 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 11-13-2000 order transmitted to OAL 3-13-2001 and filed 4-4-2001 (Register 2001, No. 14).
19. Amendment of section and Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
20. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (h), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51505.2. Nurse Anesthetist Services.
Note     •     History

(a) Reimbursement for nurse anesthetist services shall be the usual charges made to the general public not to exceed the maximum reimbursement rates listed in this section for each occasion of anesthesia service provided by a nurse anesthetist.
(b) No fees shall be paid to nurse anesthetists for anesthesia services when such nurse anesthetists are compensated on a salary or other contract basis for performing the same or similar services by any provider listed in Section 51051 of this Title.
(c) The maximum reimbursement rates for nurse anesthetist services shall be determined in accordance with the “Schedule of Medi-Cal Physician Rates”, incorporated by reference in Section 51503(b).
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; Statutes of 1999, Chapter 50, Items 4260-101-0001 and 4260-101-0890; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. Amendment of subsection (c) filed 12-28-79 as an emergency; designated effective 1-1-80 (Register 79, No. 52). For prior history, see Registers 75, No. 18; 75, No. 34; 76, No. 45; and 77, No. 5. A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 5-1-80.
2. Amendment of subsection (c) filed 2-29-80 as an emergency; designated effective 3-1-80 (Register 80, No. 9). A Certificate of Compliance must be filed by 6-29-80 or emergency language will be repealed.
3. Certificate of Compliance as to 12-28-79 order filed 3-27-80 (Register 80, No. 13).
4. Certificate of Compliance as to 2-29-80 order filed 6-28-80 (Register 80, No. 26).
5. Amendment of subsection (c) filed 8-1-80 as an emergency; effective upon filing (Register 80, No. 31). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 11-29-80).
6. Certificate of Compliance transmitted to OAL 11-28-80 and filed 12-24-80 (Register 80, No. 52).
7. Amendment of subsection (c) filed 7-31-81 as an emergency; designated effective 8-1-81 (Register 81, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-81.
8. Certificate of Compliance as to 7-31-81 order transmitted to OAL 11-6-81 and filed 12-23-81 (Register 81, No. 52).
9. Amendment of subsection (c) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84.
10. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
11. Amendment of subsection (c) filed 8-1-85 as an emergency; effective on filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
12. Certificate of Compliance transmitted to OAL and filed 12-27-85 (Register 85, No. 52).
13. Amendment of  subsection (c) and Note filed 10-1-92 with Secretary of State by Department of Health Services; operative 10-1-92. Submitted to OAL for printing only pursuant to section 147(c), SB 485, (Chapter 722, Statutes of 1992) (Register 92, No. 40).
14. Certificate of Compliance as to 10-1-92 order transmitted to OAL 1-2-93 and filed 3-12-93 (Register 93, No. 11).
15. Amendment of subsection (c), new subsections (c)(1) and (c)(2), repealer and new subsection (d), and amendment of Note filed 12-30-97; operative 5-1-98 (Register 98, No. 1).
16. Amendment of subsections (c)(1)-(2) and amendment of Note filed 11-13-2000 as an emergency; operative 11-13-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-2001 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 11-13-2000 order transmitted to OAL 3-13-2001 and filed 4-4-2001 (Register 2001, No. 14).
18. Amendment of subsection (c), repealer of subsections (c)(1)-(d), new subsection (d) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
19. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (d), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51505.3. Psychology Services.
Note     •     History

(a) Reimbursement for psychology services shall be the usual charges made to the general public not to exceed the maximum reimbursement allowances listed in this section.
(b) Group therapy shall be counseling at least two but not more than eight persons at any session. Group therapy reimbursement shall not be made for sessions which are less than one and one-half hours.
(c) Family therapy shall include at least two members of the immediate family, as defined by subsection (c) of Section 51466. The oldest family member in attendance shall be billed under procedure codes X9508 or X9510. All other family members in attendance shall be billed under procedure code X9512. For Medi-Cal clients:
(1) A MEDI label and Medi-Cal claim form shall be submitted for each Medi-Cal eligible family member in attendance at the family therapy session.
(2) At least two Medi-Cal eligible family members shall be in attendance at the family therapy session.
(3) At least one Medi-Cal eligible family member shall be billed under procedure code X9512 for each family therapy session.
(d) Psychodiagnostic services shall be provided and billed as follows:
(1) Psychodiagnostic services shall include test administration, scoring, and, when required, a written test report summarizing the performance and behavior results. Test administration shall include any pretest interview, pretest instruction and test materials. Test administration shall be concluded within seven consecutive work days. Psychodiagnostic time allowances shall only apply to the psychologist's actual time involved in rendering a given service.
(2) Group psychodiagnostic testing shall include two but not more than eight persons at any session.
(3) Atypical test sessions, where the time allowance for test administration exceeds three hours, shall be fully explained.
(4) The psychodiagnostic tests performed shall be reported on the billing form.
(5) Partial hour allowances shall be used whenever a procedure involves a fraction of an hour.
(6) A computer scored test shall be billed using the computer firm's charge for the service. A computer scored test shall be reimbursed at the computer firm's usual charge up to the maximum allowance listed under procedure code X9536. Additional time required to administer the test or to evaluate the computerized report may be billed as a part of test administration or test scoring, respectively.
(e) Case conference allowances shall be limited to conferences with persons immediately involved in the care or recovery of the client. Case conferences shall be limited to one per patient per month.
(f) The maximum allowance for out-of-office call is payable only for visits to the first client receiving services at any given location on the same day. It shall not apply to services rendered by a hospital outpatient department nor an organized outpatient clinic.
(g) Maximum Allowances shall be as follows:

Procedure	Maximum
 Code	Allowance

PSYCHOTHERAPY

X9500	Individual, one-half hour		$18.98
X9502		Individual, one hour		38.01
X9504		Individual, one and one-half hour (maximum)		56.98
X9506	Group Therapy, per person, per session		 14.48
X9508	Family Therapy, one hour, oldest family member		50.87
X9510		Family Therapy, one and one-half hours (maximum)		 76.32
X9512		Family Therapy, each additional family member		 1.68

PSYCHODIAGNOSTIC SERVICES 

X9514	Test Administration, includes pretest interview
		one complete hour		 $38.01
X9516		two complete hours		75.96
X9518		three complete hours		 114.00
X9520		four complete hours		 152.01
X9522		five complete hours		 189.96
X9524		six complete hours (maximum)		227.98
X9526		partial hour, each 15 minutes		9.49
X9528	Group Test Administration, per person over one, add		 14.48
X9530	Test Scoring, one complete hour		38.01
X9532		two complete hours (maximum)		 75.96
X9534		partial hours--each 15 minutes		 9.49

X9536	Computer Scored Test, per test, at computer firm's usual
		charge up to a maximum of		18.98
X9538	Written Test Report, when required, one complete hour 		38.01
X9540		two complete hours (maximum)		75.96
X9542		partial hour--each 15 minutes		9.49

RELATED PSYCHOLOGY SERVICES

X9544	Case conference, one-half hour		$18.98
X9546		one complete hour (maximum)		38.01
X9548	Out-of-Office call		9.49

X9550	Unlisted Services	By Report
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14132, Welfare and Institutions Code; Statutes of 1982, Chapter 1594, Section 77; Statutes of 1983, Chapter 323, Section 149; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1984, Chapter 268, Section 66; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. Amendment of subsection (g) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 83, No. 22.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment of subsection (g) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Editorial correction of HISTORY 3. (Register 85, No. 52).
5. Certificate of Compliance as to 8-1-85 order transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
6. Amendment of subsections (c), (c)(3), (d)(6) and (g) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
8. Amendment of subsection (g), new subsection (h) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
9. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (h), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51506. Dental Services.
Note     •     History

(a) The reimbursement for dental services shall be in accordance with the maximum reimbursement rates listed below. Billing shall not exceed charges made to the general public. 
(1) Maximum reimbursement rates include preparation of necessary forms to cover dental services and appliances as prescribed. 
(2) A treatment plan authorized for a beneficiary 17 years of age or younger shall be effective until completion if there is both continuing eligibility and dental necessity, regardless of change in age status. 
(3) The maximum reimbursement for By Report (B/R) procedures shall be based upon a review of such procedures to determine their relationship to other procedures for which a maximum reimbursement rate has been established. 
(b) Charges for dental service shall be reimbursed in accordance with the Department of Health Services maximum reimbursement rates as follows for the periods indicated.

VISITS--DIAGNOSTIC
(9000-9199) 

Procedure	       Maximum
Number	      Allowances

	Jan. 1, 1994	July 1, 1995	April 10, 1998

9010 Complete examination, initial episode of 
 treatment only	 $24.48	25.00
9015 Examination, periodic (annual)	 9.35
9020 Office visit during regular office hours for 
 treatment and for observation of injuries to the 
 teeth and supporting structures	 11.68
9030 Professional visit after regular office hours, 
 or to bedside	 17.50
9035 Hospital care	 35.02
9040 Specialist consultation	 17.50
9045 Pit and Fissure Dental Sealants for Permanent 
 First Molars, to age twenty-one (21)			15.00
9046 Pit and Fissure Dental Sealants for Permanent
 Second Molars, to age twenty-one (21)			15.00
9049 Prophylaxis--beneficiaries through age 12	 36.95	30.00
9050 Prophylaxis--beneficiaries age 13 years and
 older	42.90	40.00
9061 Prophylaxis, including topical application of
  fluoride--beneficiaries age five and under	 43.21	30.00

9062 Prophylaxis, including topical application of
 fluoride--beneficiaries age 6 through 17	 45.92	40.00
9080 Emergency treatment, palliative	 47.87	45.00
9110 Intraoral periapical, single, first film	13.98	10.00
9111 Intraoral periapical, each additional film	 6.38	3.00
9112 Intraoral, complete series consisting of at least 
 14 periapical films plus bite-wings	 46.64	45.00
9113 Intraoral, occlusal, each film	 7.00
9114 Extraoral single head or lateral jaw	 20.19
9115 Extraoral each additional head or lateral jaw	 4.07
9116 Bite-wings, two films	 20.35	10.00
9117 Bite-wings, four films	 26.77	18.00
9118 Bite-wing, one film	 1.50
9119 Photograph or slide, first	 6.85
9120 Photograph or slide, each additional
 (maximum five)	 1.50
9125 Panographic-type film, single film	 11.94
9150 Biopsy of oral tissue	 29.18
9160 Gross and microscopic histopathological 
 report	 23.34

ORAL SURGERY
(9200-9299)

9200 Removal of erupted tooth, uncomplicated,
 first tooth	 $49.23	45.00
9201 Removal of erupted tooth, uncomplicated, 
 each additional tooth	 46.41	38.00
9202 Removal of erupted tooth, surgical	 89.25	85.00
9203 Removal of root or root tip, completely 
 covered by bone	 40.83

9204 Removal of root or root tip, not completely
 covered by bone	 29.18
9220 Postoperative visit, complications (e.g., 
 osteitis)	 7.00
9230 Removal of impacted tooth--soft tissue	 113.97	100.00
9231 Removal of impacted tooth--partial bony	 158.73	135.00

9232 Removal of impacted tooth--complete 
 bony	 197.45	165.00
9250 Alveoloplasty per quadrant, edentulous	 40.86
9252 Alveoloplasty per quadrant, in conjunction
 with extractions	 23.34

9255 Vestibuloplasty, submucosal resection
 (not to include grafts)	 312.76
9256 Alveoloplasty with ridge extension secondary
 epithelialization (per arch)	 58.37
9257 Removal of palatal exostosis (torus)	 58.37

Procedure	       Maximum
Number	      Allowances

	Jan. 1, 1994	July 1, 1995	April 10, 1998

9258 Removal of mandibular exostosis
 (torus)--per quadrant	 49.04
9259 Excision of hyperplastic tissue (per arch)	 46.70
9260 Incision and drainage of abscess, intraoral	 17.50
9261 Incision and drainage of abscess, extraoral	 29.18
9262 Excision pericoronal gingiva, operculectomy	 17.50
9263 Sialolithotomy--intraoral	 58.37
9264 Sialolithotomy--extraoral	 233.47
9265 Closure of salivary fistula	 87.55
9266 Dilation of salivary duct	 29.18
9267 Reduction of tuberosity, unilateral	 29.18
9269 Excision of benign tumor, up to 1.25 cm	 29.18
9270 Excision of benign tumor, larger than 
 1.25 cm	 58.37
9271 Excision of malignant tumor	 116.73
9273 Reimplantation and/or stabilization of 
 accidentally avulsed or displaced permanent 
 tooth and/or alveolus	 140.08

9275 Transplantation of tooth or tooth bud	 116.73
9276 Removal of foreign body from bone--
 independent procedure	 52.52
9277 Radical resection of bone for tumor with
 bone graft	 904.97
9278 Maxillary sinusotomy for removal of tooth
 fragment or foreign body	 116.73
9279 Oral-antral fistula closure	 99.23
9280 Excision of cyst, up to 1.25 cm	 40.86
9281 Excision of cyst over 1.25 cm	 87.55
9282 Sequestrectomy	 46.70
9285 Condylectomy of mandible, unilateral	 703.71
9289 Meniscectomy of temporomandibular joint,
 unilateral	 703.71
9290 Excision of foreign body from soft tissue	 23.34
9291 Frenectomy, or frenotomy, separate procedure	 40.86
9292 Suture of soft tissue wound or injury	 24.52
9294 Injection of sclerosing agent into
 temporomandibular joint.	 35.02
9295 Injection of trigeminal nerve branches
 for destruction 	 58.37
9296 Surgical exposure of impacted or unerupted
 tooth to aid eruption, soft tissues	 23.34
9297 Surgical exposure of impacted or unerupted
tooth to aid eruption, partial bony	 35.02
9298 Surgical exposure of impacted or unerupted
 tooth to aid eruption, complete bony or
 ectopic eruption 	 52.52
9299 Unlisted surgical service or procedure	By Report

DRUGS AND ANESTHESIA
(9300-9449) 

9300 Injectable drugs	 $5.83
9301 Conscious sedation relative analgesia,
 Nitrous oxide (N2O2, oxygen), per visit	 11.68
9400 General anesthesia	 33.16

PERIODONTICS
(9450-9499)

9451 Emergency treatment: (periodontal abscess, 
 acute periodontitis, etc.)	 $57.18	55.00
9452 Subgingival curettage and root planing
 per treatment	 189.98	200.00

9453 Occlusal adjustment (limited), per quadrant 
 (minor spot grinding)	 23.34
9472 Gingivectomy or gingivoplasty,
 per quadrant	 81.70
9473 Osseous and mucogingival surgery,
 per quadrant	 99.23
9474 Gingivectomy or gingivoplasty treatment,
 per tooth (fewer than six teeth)	 17.50

Procedure	       Maximum
Number	      Allowances

	Jan. 1, 1994	July 1, 1995	April 10, 1998

ENDODONTICS
(9500-9599)

9501 Therapeutic pulpotomy	 $17.50
9502 Vital pulpotomy	 17.50
9503 Recalcification, includes temporary
 restoration, per tooth	 16.34
9511 Anterior root canal therapy	 217.26	215.00
9512 Bicuspid root canal therapy	 263.94	260.00
9513 Molar root canal therapy	 333.58	330.00
9530 Apicoectomy--surgical procedure in
 conjunction with root canal filling	 134.25
9531 Apicoectomy (separate surgical
 procedure), per tooth	 72.38
9534 Apexification (therapeutic apical closure),
 per treatment.	 13.65

RESTORATIVE DENTISTRY
(9600-9699)

Amalgam Restorations

9600 One surface, primary tooth	 $37.95	33.00
9601 Two surfaces, primary tooth	 46.49	41.00
9602 Three surfaces, primary tooth	 56.00	48.00
9603 Four or more surfaces, primary tooth
 (maximum)	 63.68	55.00
9611 One surface, permanent tooth	 43.86	39.00
9612 Two surfaces, permanent tooth	 53.15	48.00
9613 Three surfaces, permanent tooth	 62.77	57.00
9614 Four or more surfaces, permanent tooth
 (maximum)	 73.53	60.00

Silicate, Composite, Plastic Restorations

9640 Silicate cement restoration 	 $51.28	0.00
9641 Silicate restorations, two or more in a
 single tooth (maximum) 	 79.05	0.00
9645 Composite or plastic restoration	 62.58	55.00
9646 Composite or plastic restorations, two or
 more in a single tooth (maximum)	 98.77	80.00
9648 Pin retention, (per pin) maximum
 three pins per tooth	 31.06	31.00

Crowns

9650 Crown, plastic (laboratory processed)	 $105.06
9651 Crown, plastic with metal	 134.25
9652 Crown, porcelain	 140.08
9653 Crown, porcelain fused to metal	 397.53	330.00
9660 Crown, cast, full	 388.49	340.00
9663 Crown, cast, three-fourths	 116.73
9670 Crown, stainless steel, primary	 87.87	75.00
9671 Crown, stainless steel, permanent	 104.84	90.00
9672 Cast metal dowel post	 103.35	75.00

PROSTHETICS
(9680-9799)
Pontics

9680 Fixed bridge pontic, cast metal	 $105.06
9681 Fixed bridge pontic, slotted facing	 105.06
9682 Fixed bridge pontic, slotted pontic	 110.90
9692 Fixed bridge pontic, porcelain fused
 to metal	 157.58

9693 Fixed bridge pontic, plastic processed
 to metal	 122.57

Recementing

9685 Recement inlay, facing, pontic	 $42.83	30.00
9686 Recement crown	 39.29	30.00
9687 Recement bridge	 52.34	50.00

Repairs, Crown And Bridge

9690 Repair fixed bridges	 By Report
9694 Replace broken tru-pontic	 $17.50
9695 Replace broken facing, post intact	 14.01
9696 Replace broken facing, post backing
 broken	 23.34

Procedure	       Maximum
Number	      Allowances

	Jan. 1, 1994	July 1, 1995	April 10, 1998

Removable Prosthodontics

9700 Complete maxillary denture	 484.77	400.00
9701 Complete mandibular denture	 484.77	400.00
9702 Partial upper or lower denture with two
 assembled chrome cobalt wrought or cast
 chrome cobalt clasps with occlusal rests and
 necessary teeth, acrylic base	 191.28
9703 Partial upper or lower denture with
 cast chrome cobalt skeleton, two cast clasps,
 and necessary teeth	 493.93	400.00
9704 Clasps, third and each additional clasp for
 procedure 9703	48.27	35.00
9705 Stress breakers, extra	 29.18
9706 Partial upper or lower stayplate, acrylic
 (base fee, teeth and clasps extra)	 191.10	150.00
9708 Partial upper or lower denture, all acrylic,
 with two assembled chrome cobalt wrought
 clasps having two clasp arms, but no rests,
 and necessary teeth	 175.11
9709 Clasp third and each additional for
 Procedure 9708	 14.01
9712 Clasp third and each additional for
 Procedure 9702	 17.50
9716 Clasp or teeth, each for Procedure 9706	 29.68	23.00
9720 Denture adjustment, per visit	 11.68
9721 Reline--office, cold cure	 44.28
9722 Reline--laboratory processed	 158.70	140.00
9723 Tissue conditioning, per denture	 35.02

9724 Denture duplication (“jump,” 
 “reconstruction”) denture base including
 necessary tooth replacement, per denture	 268.19	150.00

Repairs, Dentures, Acrylic

9750 Repair broken denture base only
 (complete or partial)	 62.78	45.00
9751 Repair broken denture and replace one
 broken denture tooth	 74.71	65.00
9752 Each additional denture tooth replaced on
 9751 repair (maximum two)	 18.95	15.00
9753 Replace one broken denture tooth only
 (complete or partial)	 57.09	50.00
9754 Each additional denture tooth replaced on
 9753 repair (maximum two)	 18.95	15.00

9755 Adding first tooth to partial denture to
 replace newly extracted natural tooth	 45.66
9756 Each additional natural tooth replaced on
 9755 repair (maximum two)	 15.17
9757 Add a new or replace a broken chrome cobalt
 assembled wrought clasp with two clasp arms
 and rest to an existing 9702 partial denture	 48.38
9758 Each additional new or replacement clasp
 for repair 9757 (maximum two)	 48.38
9759 Add a new or replace a broken chrome cobalt 
 assembled wrought clasp with two clasp arms
 and no rest to an existing 9708 partial denture	 38.36
9760 Each additional new or replacement clasp
 for repair 9759 (maximum two)	 38.36
9761 Reattaching clasp on partial denture, clasp
 intact, each (maximum two)	 29.18
9762 Add a new or replace a broken cast chrome
 cobalt clasp with two clasp arms and rest to an
 existing 9703 partial denture	 52.52
9763 Each additional new or replacement clasp
 for repair 9762 (maximum two)	 52.52

SPACE MAINTAINERS
(9800-9899)

9800 Fixed, unilateral band type
 (including band)	 58.37
9801 Removable plastic with two stainless steel
 round wire clasps or rests	 64.20
9802 Each additional clasp or rest
 (for 9801 only)	 11.68
9811 Fixed, unilateral stainless steel crown type
 (including crown, Procedure 9670 or 9671)	 81.70
9812 Fixed, bilateral lingual or palatal bar type	 145.93
9832 Fixed or removable appliance to control
 harmful habit	 70.05

Procedure	       Maximum
Number	      Allowances

	Jan. 1, 1994	July 1, 1995	April 10, 1998

FRACTURES AND DISLOCATIONS
(9900-9999)
(Includes Usual Follow-up Care)

9900 Maxilla, open reduction, simple	 $469.14
9901 Maxilla, closed reduction, simple	 273.66
9902 Mandible, open reduction, simple	 625.53
9903 Mandible, closed reduction, simple	 312.76
9904 Maxilla, closed reduction, compound	 371.40
9905 Maxilla, open reduction, compound	 625.53
9906 Mandible, closed reduction, compound	 371.40
9907 Mandible, open reduction, compound	 625.53
9913 Reduction of dislocation of
 temporomandibular joint	 62.55
9915 Treatment of malar fracture, simple,
 closed reduction	 195.18
9916 Treatment of malar fracture, simple or
 compound depressed, open reduction	 371.40

UNLISTED PROCEDURES

9999 Fees to be determined	By Report 
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; Clark v. Kizer (Coye) (October 15, 1992) S871700 [nonpub. opn.]; Order Modifying Judgment, Clark v. Kizer (Coye) (October 15, 1992) S871700 [non pub. opn.], filed on June 21, 1995. Reference: Section 14105, Welfare and Institutions Code; Statutes of 1989, Chapter 93, Items 4260-106-001 and 890; and 42 U.S.C., Section 1396a(a)(30)(A).
HISTORY

1. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89. For prior history, see Register 85, No. 52. 
2. Certificate of Compliance transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
4. Amendment of subsection (b) refiled 12-26-91 as an emergency; operative 12-26-91 (Register 92, No. 12). A Certificate of Compliance must be transmitted to OAL 4-24-92 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b) refiled and amendment of Note filed 4-24-92 as an emergency; operative 4-24-92 (Register 92, No. 18).  A Certificate of Compliance must be transmitted to OAL 8-24-92 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-24-92 order including amendment of subsection (b) [9760] transmitted to OAL 8-21-92 and filed 10-5-92 (Register 92, No. 41).
7. Amendment of subsection (b) filed 12-24-92 as an emergency; operative 12-24-92 (Register 92, No. 52). A Certificate of Compliance must be transmitted to OAL 4-23-93 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-24-92 order transmitted to OAL 4-19-93 and filed 5-18-93 (Register 93, No. 21).
9. Amendment of subsection (b) filed 6-29-93 as an emergency; operative 6-29-93 (Register 93, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-93 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 6-29-93 order transmitted to OAL 10-22-93 and filed 12-7-93 (Register 93, No. 50).
11. Amendment of subsection (b) and Note filed 10-27-95 as an emergency; operative 10-27-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-96 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 10-27-95 order including editorial corrections to subsection (b) transmitted to OAL 2-6-96 and filed 3-13-96 (Register 96, No. 11).
13. Amendment of subsection (b) (amending Procedure Numbers 9045 and 9046 and repealing Procedure Number 9047) filed 4-10-98 as an emergency; operative 4-10-98 (Register 98, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-10-98 or emergency language will be repealed by operation of law on the following day.
14. Editorial correction of subsection (b) (Register 98, No. 16).
15. Certificate of Compliance as to 4-10-98 order transmitted to OAL 7-27-98 and filed 9-4-98 (Register 98, No. 36).
§51506.1. Maxillofacial Dental Services.
Note     •     History

(a) Reimbursement for maxillofacial dental services shall be the usual charge to the general public, not to exceed the maximum reimbursement rates listed in this section. 

(b) Maximum Allowances
	Maximum

Code	Allowances

DIAGNOSTIC SERVICES

9950	Clinical Examination and Consultation, Including
		Study Models	 $51.99
9952	Prosthetic Evaluation and Treatment Plan,
		Including Study Models	 74.33
9955	TMJ Series radiographs	 81.34
9956	Cephalometric Head Film, single, first film,
		Including tracing	 22.48
9957	Cephalometric Head Film, Each Additional film,
		Including tracing	 4.56

MAXILLOFACIAL PROSTHETIC SERVICES

9960	Speech appliance transitional with or without
		pharyngeal extension	 $593.76
9962	Speech appliance, permanent, edentulous, with
		or without pharyngeal extension	 1,115.78
9964	Speech appliance, permanent, partially edentulous,
		cast framework, with or without pharyngeal
		extension	 1,190.11

9966	Palatal lift, interim	 595.07
9968	Palatal lift, permanent, cast framework	 1,115.78
9970	Obturator immediate surgical, routine	 669.52
9971	Obturator immediate surgical, complex	 892.66
9972	Obturator permanent, complex	 1,190.11
9973	Resection prosthesis, permanent edentulous, 
		complex	 1,190.11
9974	Resection prosthesis, permanent edentulous, routine	 1,041.46
9975	Resection prosthesis, permanent, partially 
		edentulous, complex	 1,338.92

9976	Repositioner, mandibular, two piece	 1,785.33
9977	Removal facial prosthesis	 By Report
9978	Splints and stents	 By Report
9979	Radiation therapy fluoride carrier	 59.00
9980	Repairs, maxillofacial prosthesis	 By Report
9981	Rebase laboratory processed, maxillofacial 
		prosthesis	 By Report
9982	Balancing (opposing) maxillofacial 
		prosthesis	 By Report

MAXILLOFACIAL SURGICAL PROCEDURES

9985	Maxillofacial surgical procedures	 By Report

TEMPOROMANDIBULAR JOINT DYSFUNCTION
MANAGEMENT

9990	Occlusal analysis, including report and/or
		models	 $89.81
9992	Occlusal adjustments, limited centric and excursive
		adjustments including records and/or models	 44.96
9994	Occlusal balancing, altering centric relation,
		including records and/or models	 238.59
9995	Orthopedic stabilizing appliance, disocclusion
		splint	 210.49
9996	Postoperative visits, symptomatic care and
		counseling	 36.52
9998	Unlisted therapeutic service	 By Report
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code; and Statutes of 1989, Chapter 93, Items 4260-106-001 and 890. 
HISTORY

1. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89. For prior history, see Register 85, No. 52. 
2. Certificate of Compliance transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
§51506.2. Orthodontic Dental Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code; and Statutes of 1989, Chapter 93, Items 4260-106-001 and 890.
HISTORY

1. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89. For prior history, see Register 85, No. 52.
2. Certificate of Compliance transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
3. Amendment of subsections (a) and (b) filed 2-11-91 as an emergency; operative 2-11-91 (Register 91, No. 12). A Certificate of Compliance must be transmitted to OAL by 6-11-91 or emergency language will be repealed by operation of law on the following day.
4. Request to readopt 2-11-91 order pursuant to Government Code section 11346.1 granted and filed 5-15-91 as an emergency; operative 6-11-91 (Register 91, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-9-91 or emergency language will be repealed by operation of law on the following day.
5. Request to readopt 5-15-91 order filed 10-4-91 as an emergency; operative 10-4-91 (Register 91, No. 52). A Certificate of Compliance must be transmitted to OAL 2-1-92 or emergency language will be repealed by operation of law on the following day.
6. Request to readopt 10-4-91 order pursuant to Government Code section 11346.1(h) granted and filed 1-28-92 as an emergency; operative 2-4-92 (Register 92, No. 24). A Certificate of Compliance must be transmitted to OAL 6-3-92 or emergency language will be repealed by operation of law on the following day.
7. Request to readopt 1-28-92 order pursuant to Government Code section 11346.1(h) granted and filed 6-8-92 as an emergency; operative 6-3-92 (Register 92, No. 24). A Certificate of Compliance must be transmitted to OAL 10-7-92 or emergency language will be repealed by operation of law on the following day.
8. Request to readopt 6-8-92 order pursuant to Government Code section 11346.1(h) granted and filed 10-6-92 as an emergency; operative 10-7-92 (Register 92, No. 41). A Certificate of Compliance must be transmitted to OAL 2-4-93 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section as it existed prior to emergency amendment filed 2-11-91 by operation of Government Code section 11346.1(f) (Register 93, No. 15).
10. Amendment of section and Note filed 9-16-93 as an emergency; operative 9-16-93 (Register 93, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-14-94 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 9-16-93 order transmitted to OAL 1-13-94 and filed 2-28-94 (Register 94, No. 8).
12. Amendment of subsection (c) -- MALOCCLUSION CASES filed 9-22-97 as an emergency; operative 9-22-97 (Register 97, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-20-98 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (c)--MALOCCLUSION CASES refiled 1-12-98; operative 1-21-98 (Register 98, No. 3).  A Certificate of Compliance must be transmitted to OAL by 5-21-98 or emergency language will be repealed by operation of law on the following day.
14. Amendment of subsection (c)--MALOCCLUSION CASES refiled 5-21-98; operative 5-21-98 (Register 98, No. 20).  A Certificate of Compliance must be transmitted to OAL by 9-18-98 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 5-21-98 order, including further amendment of subsection (c)--MALOCCLUSION CASES transmitted to OAL 9-16-98 and filed 10-27-98 (Register 98, No. 44).
16. Repealer filed 11-6-2007; operative 12-6-2007 (Register 2007, No. 45).
§51507. Physical Therapy.
Note     •     History

(a) Reimbursement for physical therapy services shall be the usual charges made to the general public not to exceed the maximum reimbursement rates listed in this section.
(b) The following definitions shall apply to the reimbursement of physical therapy services under this section.
(1) Modality means any physical therapy treatment, unless listed separately which does not require the continuous attention of the therapist. Examples are:

	a. Hot or cold packs	f. Microwave
	b. Traction, mechanical 	g. Whirlpool
	c. Electrical stimulation 	h. Diathermy
	    (unattended) 	i.  Infrared
	d. Vasopneumatic devices 	j. Ultraviolet
	e. Paraffin bath 	k. Ultrasound
(2) Procedure means any physical therapy treatment, unless listed separately which requires the continuous attention of the therapist. Examples are:

	a. Therapeutic exercise 	h. Electrical stimulation
	b. Neuromuscular reeducation 	   (motor point)
	c. Rehabilitation services 	i. Ionotophoresis 
	d. Functional activities 	j. Traction, manual
	e. Gait training 	k. Massage
	f. Orthotics training 	l. Contrast baths
	g. Prosthetics training
(3) Tests and measurements mean individually administered, observed and recorded procedures and include a written report of the tests and measurements involved. Examples are:

	a. Orthotic “check out”	c. Activities of daily liv-
	b. Prosthetic “check out”	    ing “check out”
(4) Case Conference means participation in organized conference with other health team members, who are immediately involved in the care or recovery of the patient, concerning status, or progress, of the patient under treatment and includes required charting entries. Case conferences shall be limited to one per patient per month.
(5) Additional 15-minute period means any 15-minute period or major portion thereof, 7 minutes or more, immediately following the initial 30 minutes.
(6) The maximum allowance for home or long-term care facility visit is payable only for visits to the first patient receiving services at any given location on the same day.
(c) Maximum reimbursement rates for physical therapy services shall be as follows:

Procedure	Maximum
 Code	Allowance

X3900	Single modality to one area--initial 30 minutes		$17.04

X3902	Single modality to one area--each additional 15 minutes		3.63

X3904	Single procedure to one area--initial 30 minutes		21.19
X3906	Single procedure to one area--each additional
		15 minutes		6.86
X3908	Treatment including a combination of any modalities
		and procedures (one or more areas)--
		initial 30 minutes		21.19

X3910	Treatment including a combination of any modalities
		and procedures (one or more areas)--each additional
		15 minutes		6.86
X3912	Hubbard Tank--initial 30 minutes		34.84

X3914	Hubbard Tank--each additional 15 minutes		6.86
X3916	Hubbard Tank or pool therapy with therapeutic
		exercise--initial 30 minutes		41.69
X3918	Hubbard Tank or pool therapy with therapeutic
		exercise--each additional 15 minutes		6.86
X3920	Any of the tests and measurements--initial 30 minutes,
		plus report		34.84

X3922	Any of the tests and measurements--each additional
		15 minutes, plus report		17.04
X3924	Physical therapy preliminary evaluation in a rehabilitation
		center, SNF, ICF, or subacute care facility		34.84
X3926	Case conference and report--initial 30 minutes		21.19
X3928	Case consultation and report		21.19

X3930	Case conference and report--each additional
		15 minutes		6.86
X3932	Home or long-term care facility visit--add		6.57
X3934	Mileage, per mile one-way beyond ten-mile radius of 
		point of origin (office or home)		1.77

X3936	Unlisted Services	By Report
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. Amendment of subsection (c) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 81, No. 52.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment of subsection (c) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Amendment of subsection (c) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
7. Amendment of subsection (c), new subsection (d) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
8. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (d), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51507.1. Occupational Therapy.
Note     •     History

(a) Reimbursement for occupational therapy services shall be the usual charges made to the general public not to exceed the maximum reimbursement rates listed in this section.
(b) The following definitions shall apply to the reimbursement of occupational services under this section:
(1) Treatment means therapeutic procedures which require the personal attention or direct supervision of the therapist.
(2) Evaluation means initial or subsequent evaluation using tests, measurements, and observation of the patient's performance, progress, and behavior, and includes written reports thereof.
(3) Case conference means participation in organized conference with other health team members, who are immediately involved in the care or recovery of the patient, concerning status or progress of the patient under treatment and includes required charting entries. Case conferences shall be limited to one per patient per month.
(4) Additional 15-minute periods means any 15-minute period or a major portion thereof, 7 minutes or more, following the initial 30-minute period.
(5) The maximum allowance for home or long-term care facility visit is payable only for visits to the first patient receiving services at any given location on the same day.
(c) The maximum reimbursement rates for occupational therapy services shall be as follows:

Procedure			Maximum
 Code			Allowance

X4100	Evaluation--initial 30 minutes, plus report		$34.84
X4102	Evaluation--each additional 15 minutes, plus report		17.04
X4104	Case conference and report--initial 30 minutes		21.19
X4106	Case conference and report--each additional 15 minutes		6.86
X4120	Case consultation and report		21.19
X4108	Occupational therapy preliminary evaluation in a
		rehabilitation center, SNF, ICF, or subacute 
		care facility		34.84
X4110	Treatment--initial 30 minutes	 	21.19
X4112	Treatment--each additional 15 minutes		6.86
X4114	Home or long-term care facility visit--add		6.57
X4116	Mileage per mile, one way, beyond a ten-mile radius of
		office or usual hospital base		1.77

X4118	Unlisted services	 By Report
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. Amendment of subsection (c) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 81, No. 52.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment of subsection (c) filed 8-1-85 as an emergency; effective on filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Amendment of subsection (c) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (c) adding X4120 filed 8-2-95 as an emergency; operative 8-2-95 (Register 95, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-95 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 8-2-95 order transmitted to OAL 11-22-95 and filed 1-3-96 (Register 96, No. 1).
8. Amendment of subsection (c), new subsection (d) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
9. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (d), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51507.2. Speech Therapy and Audiology.
Note     •     History

Reimbursement for speech therapy and audiology services shall be the usual charges made to the general public not to exceed the following maximum reimbursement rates.

AUDIOLOGY
Basic Procedures

Procedure			Maximum
 Code			Allowance

X4500	Diagnostic audiological evaluation, including pure
	 tone audiometry, speech reception threshold and
	 discrimination		$66.05
X4501	Pure tone audiometry (with complete audiogram)	 	35.79
X4502	Audiological preliminary evaluation in a rehabilitation
		center, SNF, ICF, or subacute care facility		33.03
V5008	Hearing screening		18.07

X4504	Audiometry during surgery	By Report

Pediatric Evaluation (0-7 Years)

X4506	First Visit		77.05
X4508	First diagnostic follow-up		42.15
X4510	Second diagnostic follow-up		42.15

Evaluation for Site of Lesion (Following Procedure X4500)

X4512	Bekesy audiometry		37.64
X4514	Short Increment Sensitivity Index (S.I.S.I.)		15.05
X4516	Loudness balance test		15.05
X4518	Tone decay test		15.05

Other Audiological Services
(Following Audiological Evaluation Procedures)

Procedure	Maximum
 Code	Allowance

X4520	Visual evoked potential response test, medical diagnosis		$160.10
X4522	Evoked response audiometry test, physician evaluation		160.10
X4524	Somatosensory evoked response test
		1/more nerves, physician evaluation		160.10
X4526	Hearing therapy (individual) per hour		45.40

X4528	Hearing therapy (group), each patient		26.57
X4530	Impedance audiometry (bilateral)		33.14
V5010	Assessment for hearing aid (following procedures X4500,
	 X4506, X4508, or X4510)		52.70
X4532	Electroacoustic analysis of hearing aid as a 
		monaural procedure		23.32
V5264	Ear mold/insert, not disposable, any type		27.52

V5265	Ear mold/insert, disposable, any type	By Report

X4534	Out-of-office call (Payable only for visits to the first
	 patient receiving services at any given location on the
	 same day)		8.27
X4536	Weber test	 	7.53
X4538	Impedance audiometry (unilateral)		15.21
X4540	Tympanometry		22.94
X4542	Electroacoustic analysis of hearing aid as a binaural
		procedure		42.81
X4544	Diagnostic evaluation for severely physically/mentally
		handicapped person over seven years of age		84.75
X4546	Electronystagmography		89.83

X4535	Unlisted audiological services	By Report

SPEECH--LANGUAGE SERVICES

X4300	Language evaluation		$66.05
X4301	Speech evaluation		66.05
X4302	Speech--Language therapy (group) each patient 		26.57
X4303	Speech--Language therapy (individual) per one hour
	 (following procedures X4300 or X4301)		45.24
X4304	Speech--language therapy, individual, per half hour		22.63
X4306	Out-of-office call (Payable only for visits to the first
	 patient receiving services at any given location on the
	 same day)		8.27
X4308	Speech therapy preliminary evaluation in a
		rehabilitation center, SNF, ICF, or subacute
		care facility		33.03

X4310	Augmentative and Alternative Communication
		(AAC) related bundled speech therapy services,
		per visit		45.24

X4312	AAC recipient assessment	By Report

X4320	Unlisted speech therapy services	By Report
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code; Statutes of  1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. Amendment filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 81, No. 52.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Editorial correction replacing text dropped in 4-1-90 printing (Register 91, No. 14).
6. Repealer and new section filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
8. Amendment of procedure codes X4506 and V5010, and new procedure codes X4310 and X4312 filed 7-28-97 as an emergency; operative 7-28-97 (Register 97, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-25-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 7-28-97 order transmitted to OAL 11-19-97 and filed 1-6-98 (Register 98, No. 2).
10. Redesignation and amendment of section as subsection (a), new subsection (b) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
11. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (a) designator and subsection (b), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
12. Amendment filed 4-4-2003 as an emergency; operative 4-4-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 4-4-2003 order transmitted to OAL 7-28-2003 and filed 9-4-2003 (Register 2003, No. 36).
§51507.3. Respiratory Care Practitioner.
Note     •     History

(a) Reimbursement for respiratory care services shall be the usual charges made to the general public not to exceed the maximum reimbursement rates authorized by this section.
(b) Reimbursement for all equipment used in respiratory care practitioner services shall be made only to durable medical equipment dealers in accordance with Section 51521. No separate reimbursement shall be made to a respiratory care practitioner for installation, setup, or instruction in the use of equipment.
(c) Maximum reimbursement rates for respiratory care practitioner services shall be as established in Section 51503, except that:
(1) No reimbursement shall be allowed to respiratory care practitioners for physician interpretation or evaluation services, and;
(2) The maximum reimbursement rates for a respiratory care evaluation and a respiratory care case conference shall be as follows:

Code		Maximum
Number		Allowances

X4700	Evaluation	$29.48
X4702	Case conference	 17.93
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14132, Welfare and Institutions Code; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. New section filed 6-23-97; operative 7-23-97 (Register 97, No. 26).
2. Amendment of subsection (c)(2), new subsection (d) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
3. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (d), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51508. Hospital Inpatient Services Reimbursement. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100.1, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-1-77; effective thirtieth day thereafter (Register 77, No. 36). For prior history, see Register 76, No. 38.
2. Amendment of subsections (a)(1) and (a)(3) filed 2-5-79; effective thirtieth day thereafter (Register 79, No. 6).
3. Amendment of subsections (a)(1) and (a)(3) filed 8-1-79; effective thirtieth day thereafter (Register 79, No. 31). 
4. Repealer filed 5-30-80; designated effective 1-1-80 (Register 80, No. 29).
§51508.1. Extraordinary Administrative Adjustments. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100, 14100.1, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14100, 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 6-2-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 23).
2. Repealer filed 5-30-80; designated effective 1-1-80 (Register 80, No. 29).
§51508.2. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100, 14100.1, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14100, 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 6-2-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 23).
2. Repealer filed 5-30-80; designated effective 1-1-80 (Register 80, No. 29).
§51508.3. Application. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100, 14100.1, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14100, 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 6-2-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 23).
2. Repealer filed 5-30-80; designated effective 1-1-80 (Register 80, No. 29).
§51508.4. Review of Application. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100, 14100.1, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14100, 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 6-2-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 23).
2. Repealer filed 5-30-80; designated effective 7-1-80 (Register 80, No. 29).
§51508.5. Criteria for Review. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100, 14100.1, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14100, 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 6-2-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 23).
2. Amendment of subsection (a)(2) filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21).
3. New subsection (a)(2)(C) filed 2-8-78; effective thirtieth day thereafter (Register 78, No. 6).
4. New subsection (a)(2)(D) filed 2-5-79; effective thirtieth day thereafter (Register 79, No. 6).
5. New subsection (a)(2)(E) filed 8-1-79; effective thirtieth day thereafter (Register 79, No. 31).
6. Repealer filed 5-30-80; designated effective 7-1-80 (Register 80, No. 29).
§51508.6. Recommendation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100, 14100.1, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14100, 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 6-2-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 23).
2. Repealer filed 5-30-80; designated effective 7-1-80 (Register 80, No. 29).
3. Editorial correction of Note (Register 97, No. 31).
§51508.7. Action by the Director. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100, 14100.1, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14100, 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 6-2-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 23).
2. Repealer filed 5-30-80; designated effective 7-1-80 (Register 80, No. 29).
§51508.8. Conditional Administrative Adjustments. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100, 14100.1, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14100, 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 6-2-76 as an emergency; effective upon filing. Certificate of Compliance included (Register 76, No. 23).
2. Repealer filed 5-30-80; designated effective 7-1-80 (Register 80, No. 29).
§51508.9. Medi-Cal Hospital Payment Rate Exception. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100.1, 14105, 14106 and 14161, Welfare and Institutions Code. Reference: Sections 14105, 14106 and 14161, Welfare and Institutions Code.
HISTORY

1. New section filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21).
2. Repealer filed 5-30-80; designated effective 7-1-80 (Register 80, No. 29).
§51509. Hospital Outpatient Departments.
Note     •     History

(a) Billing shall not exceed a provider's usual charge made to the general public. Reimbursement for hospital outpatient departments shall be the provider's usual charge to the general public not to exceed the maximum rates authorized by this section.
(1) Maximum reimbursement rates, as shown in the following schedules, include overhead and professional components, except as otherwise indicated in (g) below. When these segments are billed separately, the total may not exceed the amounts listed.
(2) Notwithstanding any other provisions of this section, the Director may negotiate with individual hospital facilities an all-inclusive per visit rate for hospital outpatient services, provided that such negotiated rates do not increase overall program costs.
(b) Occupational therapy reimbursement shall be made in accordance with Section 51507.1, except that payment shall not be made for procedure codes X4114 or X4116.
(c) Speech therapy and audiology reimbursement shall be made in accordance with Section 51507.2, except that payment shall not be made for procedure code X4306.
(d) Psychology: Reimbursement for psychology shall be made in accordance with Section 51505.3, except no payment shall be made for procedure code X9548.
(e) Laboratory: Reimbursement for laboratory services shall be made in accordance with Section 51529.
(f) Physical therapy reimbursement shall be made in accordance with Section 51507, except that payment shall not be made for procedure codes X3932 or X3934.
(g) Physician Services.
(1) Hospital Outpatient Departments.
(A) Services by interns, residents or hospital compensated physicians.
1. Reimbursement for services shall be made directly to the hospital.
2. Reimbursement shall not exceed the amounts payable in accordance with Section 51503(g) plus the amounts payable under (2).
(B) Services by physicians not compensated by the hospital.
1. Payment for services may be made separately to the physician and to the hospital for services provided by each provider.
2. Reimbursement for hospital services shall not exceed the amounts payable in (2).
3. Reimbursement for physician services shall be made in accordance with Section 51503(g), Title 22, California Code of Regulations.
(2) Maximum reimbursement rates for hospital facilities shall be as follows:

Procedure				Maximum
 Code				Allowance

Z7500	Use of hospital examining or treatment room		$23.77
Z7502	Use of emergency room (Bill only when used for the
			treatment of emergency conditions; for nonemergency
			conditions the examining room fee is payable.)		34.58
Z7504	Use of cast room		 34.58
Z7506	Use of operating room or cystoscopic room--first hour		101.90
Z7508		first subsequent half hour		40.76
Z7510	 second subsequent half hour		40.76			 maximum reimbursement		224.19
Z7512	Use of recovery room		18.22
Z7514	Payment for room and board and general nursing care
	 for stays of less than 24 hours, including ordinary
			medication		40.76

Z7612	Unlisted services	 By Report
(h) Pharmaceutical Services: Billings for drugs and medical supplies dispensed to outpatients shall be in accordance with sections 51513, and 51520.
(i) Radiology Services: Reimbursement for radiology services will not exceed amounts payable by Medi-Cal for the same services when rendered by physicians in nonhospital settings. If the hospital and professional components are billed separately, the total payment will not exceed the amount otherwise payable.
(j) Other Outpatient Services: Payment shall not exceed the maximum payment under the program for the same services by individual providers.
(k) Reimbursement rates payable to hospital outpatient departments qualifying for outpatient disproportionate share reimbursement shall be the maximum reimbursement rates authorized in subsections (a) through (j) of this section augmented by the hospital's disproportionate reimbursement factor, as described below:
(1) The Department shall develop annually a disproportionate provider factor for each hospital outpatient department located within the State and actively participating in the Medi-Cal program, using, to the extent available, the most recent annual financial disclosure data administered by the Office of Statewide Health Planning and Development.
(2) The disproportionate provider factor shall be the ratio of total Medi-Cal outpatient gross revenue, including “other” outpatient deductions from revenues, and revenue-offsetting subsidies, including medically indigent services program funds, as those deductions are described in the Office of Statewide Health Planning and Development Quarterly and Financial Disclosure Report, to total outpatient revenue. For hospitals unable to report the outpatient component of their “other” deductions from revenue, the Department shall estimate this amount by multiplying the ratio of other outpatient gross revenues to other total gross revenues by the total of other deductions from revenue. The calculation of a hospital's outpatient disproportionate provider factor shall not take into account any funds received by the hospital pursuant to Part 4.7, commencing with Section 16900, of the Welfare and Institutions Code, and shall exclude Medicare and Medi-Cal contractual allowances.
(3) Notwithstanding Section 51509(k)(2), the outpatient disproportionate provider factor for each qualifying children's hospital shall be no less than the amount that would have been established had the formula specified in Section 51509(k)(2) excluded revenue-offsetting subsidies, including medically indigent services program funds.
(4) Hospital outpatient departments with disproportionate provider factors exceeding the mean factor for all hospital outpatient departments specified in Section 51509 (k)(1) shall qualify for outpatient disproportionate share reimbursement. In calculating the mean disproportionate provider factor, equal weight will be given to each separately located outpatient department.
(5) Any reimbursement generated by the disproportionate provider factor of a qualifying hospital outpatient department shall be directly proportioned to that hospital's disproportionate provider factor, as defined in Section 51509 (k)(2). The disproportionate provider factors for all qualifying hospital outpatient departments shall be set at levels which ensure that the estimated aggregate payments to be made under this Section to all qualifying hospitals do not exceed the funding available for this purpose.
(6) The maximum reimbursement payable to each qualifying hospital outpatient department under this section, including any reimbursement attributable to a disproportionate provider factor developed pursuant to this Section, shall not exceed the charges billed by that hospital for any services or items provided to eligible Medi-Cal beneficiaries.
(l) The maximum reimbursement rates payable to hospital outpatient departments qualifying for small and rural hospital outpatient rate increases shall be the reimbursement rates authorized in subsections (a) through (k) of this section, augmented by the hospital's rate increase factor as described below:
(1) The Department shall establish and annually update two separate percentage rate increase factors for hospital outpatient department services provided by small and rural hospitals, as defined in Section 1188.855 of the Health and Safety Code, in order to allocate to each eligible hospital its share of the total funding appropriated for rate increases under this subsection. One rate increase factor shall be computed for all minimum floor hospitals, and one rate increase factor shall be computed for all nonminimum floor hospitals.
(2) The percentage rate increase factors specified in Section 51509(l)(1) shall be based on the ratio of Medi-Cal's outpatient expenditures for each small and rural hospital to the total of Medi-Cal's outpatient expenditures for all small and rural hospitals during the preceding calendar year, provided that:
(A) The rate increase for minimum floor hospitals shall be 125 percent of the rate increase for nonminimum floor hospitals.
(B) Estimated expenditures attributable to the combined rate increases for minimum floor and nonminimum floor hospitals shall not exceed the funds appropriated for this purpose in the annual Budget Act or in any other specific appropriation measure.
(3) If any eligible hospital had less than a full year of operation upon which to determine the ratio of Medi-Cal expenditures as specified in Section 51509(l)(2), the Department shall extrapolate the Medi-Cal paid 

claims expenditures for that hospital to estimate a full year's expenditures.
(4) For purposes of this subsection, “minimum floor hospital” means a hospital for which:
(A) Medi-Cal's expenditures for outpatient services during the preceding calendar year were less than one-half percent of Medi-Cal's expenditures for outpatient services rendered by all small and rural hospitals during that period; and,
(B) Total gross patient revenue from all sources during the preceding calendar year was less than $2,500,000.
(5) For purposes of this subsection, “nonminimum floor hospital” means a hospital for which:
(A) Medi-Cal's expenditures for outpatient services during the preceding calendar year were equal to or greater than one-half percent of Medi-Cal's total expenditures for outpatient services rendered by all small and rural hospitals during that period, or;
(B) Total gross patient revenue from all sources during the preceding calendar year was equal to or greater than $2,500,000.
(6) The maximum reimbursement rates payable to each hospital outpatient department under this section, including rates attributable to small and rural hospital outpatient reimbursement, shall not exceed the charges billed by that hospital for the services and items rendered.
(m) Except as provided in subsection (n), the maximum reimbursement rates paid to hospitals for hospital outpatient services under this section shall be the rates in effect on June 30, 2001, increased by the following percentages, when the hospital submits a bill in accordance with applicable requirements of section 51502 using a currently active hospital outpatient department provider number with respect to services in which the hospital uses Medi-Cal authorized billing codes: 
(1) 30 percent for services provided on or after July 1, 2001.
(2) 34.33 percent for services provided on or after July 1, 2002.
(3) 38.81 percent for services provided on or after July 1, 2003.
(4) 43.44 percent for services provided on or after July 1, 2004.
(n) The increases provided for in subsection (m) are subject to the following exceptions:
(1) The increases shall not apply to reimbursement for drugs dispensed to outpatients and paid in accordance with section 51513.
(2) The increases shall not apply to reimbursement for medical supplies dispensed to outpatients and paid in accordance with section 51520.
(3) The increases shall not apply to reimbursement for services that are paid on a cost-basis, which for the purpose of this paragraph includes, but is not limited to, the following:
(A) Federally qualified health center services,
(B) Medical items and equipment that are paid a rate equal to or greater than the provider's acquisition cost,
(C) Medical items and equipment that are paid a rate equal to or greater than the manufacturer's suggested retail price.
(4) The increases for a clinical diagnostic laboratory test shall not exceed the difference between the rate payable on June 30, 2001 and the payment rate recognized under title 42 United States Code, section 1395l(h) for such test under Part B of the Medicare Program.
NOTE

Authority cited: Section 1188.877, Health and Safety Code; and Sections 10725, 14105, 14105.97 and 14124.5, Welfare and Institutions Code. Reference: Section 1188.877, Health and Safety Code; Sections 14087.3 and 14132, Welfare and Institutions Code; Statutes of 1982, Chapter 1594, Section 77; Statutes of 1983, Chapter 323, Section 149; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1984, Chapter 268, Section 66; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; Section 14105.97, Welfare and Institutions Code; Statutes of 1998, Chapter 324, Items 4260-101-0001 and 0890; and Statutes of 2000, Chapter 52, Items 4260-101-0001.
HISTORY

1. New subsection (k) filed 5-24-89 as an emergency exempt from OAL review pursuant to Welfare and Institutions Code section 14105.97; operative 5-24-89 (Register 89, No. 21). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-21-89. For prior history, see Register 85, No. 52.
2. Certificate of Compliance as to 5-24-89 order disapproved and new subsection (k) filed 9-29-89 as an emergency; operative 9-29-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-2-90.
3. Certificate of Compliance as to 9-29-89 order including amendment of subsection (k)(2) filed 10-30-89 (Register 89, No. 45).
4. New subsection (l) filed 6-18-90 as an emergency; operative 6-18-90 (Register 90, No. 32). A Certificate of Compliance must be transmitted to OAL by 10-16-90 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-18-90 order transmitted to OAL 10-3-90 and filed 10-23-90 (Register 90, No. 49).
6. Amendment of subsections (k) and (k)(2)-(6) and Note filed 7-16-92 as an emergency; operative 7-16-92 (Register 92, No. 29). A Certificate of Compliance must be transmitted to OAL 11-13-92 or emergency language will be repealed by operation of law on the following day.
7. Amendment filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 7-16-92 order transmitted to OAL 11-10-92 and filed 12-22-92 (Register 92, No. 52).
9. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
10. Editorial correction adding History 9 (Register 95, No. 25).
11. Amendment of subsections (g)(1)(A)2. and (g)(1)(B)3. filed 7-21-98 as an emergency; operative 7-27-98 (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-98 or emergency language will be repealed by operation of law on the following day.
12. Editorial correction of History 11 (Register 99, No. 2).
13. Certificate of Compliance as to 7-21-98 order transmitted to OAL 11-23-98 and filed 1-7-99 (Register 99, No. 2).
14. Amendment of subsection (g)(2) and amendment of Note filed 3-1-99 as an emergency; operative 3-1-99 (Register 99, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-29-99 or emergency language will be repealed by operation of law on the following day.
15. Reinstatement of section as it existed prior to 3-1-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 99, No. 33).
16. Amendment of subsection (g)(2) and amendment of Note filed 8-10-99 as an emergency; operative 8-10-99 (Register 99, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-8-99 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 8-10-99 order transmitted to OAL 12-2-99 and filed 1-13-2000 (Register 2000, No. 2).
18. Amendment of subsections (g)(1)(A)2. and (g)(1)(B)3., new subsection (m) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
19. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (m), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
20. Amendment of subsection (a) and new subsections (m)-(n)(4) filed 4-10-2003 as an emergency; operative 4-10-2003 (Register 2003, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-2003 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 4-10-2003 order transmitted to OAL 8-7-2003 and filed 9-15-2003 (Register 2003, No. 38).
§51509.1. Organized Outpatient Clinics.
Note     •     History

(a) Reimbursement for organized outpatient clinic services shall be the usual charges made to the general public not to exceed the maximum reimbursement rates listed in this section.
(b) Organized outpatient clinics with surgical facilities, as defined in Health and Safety Code Section 1204(b), shall be reimbursed as follows.
(1) Payment for surgical procedures may be made either directly to the clinic or separately to the clinic, physician or dentist for the services provided by each provider.
(A) Reimbursement for clinic services shall not exceed the amounts listed in (3).
(B) Reimbursement for physician or dental services, normally provided in an office setting as determined by the Department, shall not exceed 80 percent of the maximum allowed under Section 51509.1(e), or Section 51506, as appropriate.
(C) Reimbursement for physician or dental services, not normally provided in an office setting as determined by the Department, shall not exceed the full amount allowed under Section 51509.1(e), or Section 51506, as appropriate.
(2) Payment for nonsurgical procedures shall:
(A) Be made directly to the clinic.
(B) Not exceed the amounts payable in accordance with Section 51509.1(e).
(3) Maximum reimbursement rates for clinic services, when surgery is provided, shall be as follows:

Procedure				Maximum
 Code				Allowance

Z7500	Use of examining or treatment room		$21.66
Z7504	Use of cast room		31.49
Z7506	Use of operating room or cystoscopic room--first hour		92.83

Z7508		first subsequent half hour		37.13
Z7510		second subsequent half hour		37.13
		maximum charges		185.65

Z7512	Use of recovery room		16.59
Z7514	Payment for room and board and general nursing
			care for stays of less than 24 hours, including ordinary
			medication		37.13

Z7612	Unlisted services	 By Report
(c) Community clinics and free clinics, as defined in Health and Safety Code Section 1204(a), and county operated organized outpatient clinics not subject to reimbursement as a hospital outpatient department under Section 51509, shall be reimbursed directly.
(1) Reimbursement for physician services and the services of nonphysician medical practitioners shall be made in accordance with the provisions of Section 51503.
(2) Maximum reimbursement rates for other services shall not exceed the maximum payment under the program for the same services by individual providers.
(3) Reimbursement for take-home drugs dispensed by clinics that have obtained permits pursuant to Business and Professions Code Section 4063 et seq. shall not exceed the amounts payable for drug ingredient cost under Section 51513.  No dispensing fee or markup shall be paid.
(d) Rural health clinics, as defined in Section 51115.5, shall maintain adequate financial and statistical records to allow determination of the cost of covered services furnished to Medi-Cal beneficiaries.
(1) Reimbursement for rural health clinic services provided by a rural health clinic that is an integral part of a hospital and is operating under common licensure with other departments of the hospital shall be on the basis of reasonable cost, as specified in Section 450.30(a)(10)(i), Title 42, Code of Federal Regulations.
(2) Reimbursement for rural health clinic services provided by all other rural health clinics shall be on the basis of an interim cost-reimbursement rate per clinic visit established for the clinic under the principles established in Title 42, Code of Federal Regulations, Section 450.30 (a) (10) (ii) or (iii) (A). These interim reimbursements shall be subjected to reconciliation to reasonable cost and any screening guidelines or tests of reasonableness established by the Health Care Financing Administration.
(e) Organized outpatient clinics, not qualifying under (b), (c) or (d), shall be reimbursed directly.
(1) Reimbursement for physician services and the services of nonphysician medical practitioners shall be made in accordance with the provisions of Section 51503.
(2) Maximum reimbursement rates for other services shall not exceed the maximum payment under the program for the same services by individual providers.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 208, Health and Safety Code. Reference: Sections 14105, 14132 and 14132.1, Welfare and Institutions Code; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; Statutes of 1998, Chapter 324, Items 4260-101-0001 and 0890; Statutes of 1999, Chapter 50, Items 4260-101-0001 and 4260-101-0890; Section 4063.7, Business and Professions Code; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. Amendment of subsections (b)(3) and (c)(1) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 81, No. 52.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment of subsections (b)(3) and (c)(1) filed 8-1-85 as an emergency; effective on filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Amendment of subsection (c)(1) filed 5-9-88 as an emergency; operative 5-15-88 (Register 88, No. 20). Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-12-88.
6. Certificate of Compliance transmitted to OAL 9-1-88 and filed 10-3-88 (Register 88, No. 42).
7. Amendment of subsection (b)(3) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
9. New subsection (c)(3) and amendment of Note filed 1-6-94; operative 2-7-94 (Register 94, No. 1).
10. Amendment of subsection (b)(1)(B) filed 7-21-98 as an emergency; operative 7-27-98 (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-98 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction of History 10 (Register 99, No. 2).
12. Certificate of Compliance as to 7-21-98 order transmitted to OAL 11-23-98 and filed 1-7-99 (Register 99, No. 2).
13. Amendment of section and Note filed 3-1-99 as an emergency; operative 3-1-99 (Register 99, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-29-99 or emergency language will be repealed by operation of law on the following day.
14. Reinstatement of section as it existed prior to 3-1-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 99, No. 33).
15. Amendment of section and Note filed 8-10-99 as an emergency; operative 8-10-99 (Register 99, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-8-99 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 8-10-99 order transmitted to OAL 12-2-99 and filed 1-13-2000 (Register 2000, No. 2).
17. Amendment of subsection (e)(1) and amendment of Note filed 11-13-2000 as an emergency; operative 11-13-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-2001 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 11-13-2000 order transmitted to OAL 3-13-2001 and filed 4-4-2001 (Register 2001, No. 14).
19. Amendment of subsections (c)(1) and (e)(1), new subsection (f) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
20. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (f), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51509.2. Chronic Hemodialysis Services.
History

(a) Renal dialysis centers and community hemodialysis units shall be reimbursed the lesser of customary charges or reasonable costs for services provided in accordance with Section 51330.
(b) The Department shall use the “Health Insurance Regulations Manual” (HIRM-1), Intermediary Letters and other payment guidelines issued through March 31, 1976 by the U.S. Department of Health, Education, and Welfare for the administration of Title XVIII of the Social Security Act:
(1) In ascertaining whether or not costs are reasonable for these services.
(2) As a guide for computation of interim payments and reasonable costs at final settlement.
(c) Charges for dialysis equipment and supplies are payable by the Medi-Cal program only when billed by the facility.
HISTORY

1. New section filed 2-25-70; designated effective 4-1-70 (Register 70, No. 9).
2. Amendment filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5).
3. Amendment filed 11-1-76 as an emergency; effective upon filing (Register 76, No. 45).
4. Certificate of Compliance filed 1-28-77 (Register 77, No. 5). 
§51509.3. Rural Health Clinic Reimbursement. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14100.1, 14105 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-1-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Editorial correction to reprint subsection (c) and history notes which were erroneously deleted by Register 78, No. 32 (Register 78, No. 39).
3. Repealer filed 11-2-78 as an emergency; effective upon filing (Register 78, No. 44).
4. Certificate of Compliance as to 8-1-78 emergency transmitted to OAH 11-28-78 and filed 11-29-78 (Register 78, No. 48).
5. Amendment of title of section filed 2-5-79; effective thirtieth day thereafter (Register 79, No. 6).
6. Certificate of Compliance as to 11-2-78 emergency filed 2-5-79 (Register 79, No. 6).
§51510. Nursing Facility Level A Services.
Note     •     History

(a) Payment to nursing facilities, hospitals, or public institutions providing level A services in accordance with Section 51120 shall be as set forth in this section and Section 51535. As used in this section, the term “nursing facility level A services” is defined as a nursing facility services provided in accordance with Section 51120.
(b) Each provider of nursing facility level A services shall furnish all equipment, drugs, supplies, and services necessary to provide level A services except as provided in subsection (c). Such equipment, supplies, and services are, at a minimum, those which are required by law, including those required by federal Medicaid regulations and state licensing regulations.
(c) Not included in the payment rate and to be billed separately by the provider thereof, subject to the utilization controls and limitations of Medi-Cal regulations covering such services and supplies, are as follows:
1. Allied health services ordered by the attending physician.
2. Alternating pressure mattresses/pads with motor.
3. Atmospheric oxygen concentrators and enrichers and accessories.
4. Blood, plasma and substitutes.
5. Dental services.
6. Durable medical equipment as specified in Section 51321(g).
7. Insulin.
8. Intermittent positive pressure breathing equipment.
9. Intravenous trays, tubing and blood infusion sets.
10. Laboratory services.
11. Legend drugs.
12. Liquid oxygen system.
13. MacLaren or Pogon Buggy.
14. Medical supplies as specified in the list established by the Department.
15. Nasal cannula.
16. Osteogenesis stimulator device.
17. Oxygen (except emergency).
18. Parts and labor for repairs of durable medical equipment if originally separately payable or owned by the beneficiary.
19. Physician services.
20. Portable aspirator.
21. Portable gas oxygen system and accessories.
22. Precontoured structures (VASCO-PASS, cut out foam).
23. Prescribed prosthetic and orthotic devices for exclusive use of patient.
24. Reagent testing sets.
25. Therapeutic air/fluid support systems/beds.
26. Traction equipment and accessories.
27. Variable height beds.
28. X-rays.
(d) Not included in the payment rate nor in the Medi-Cal schedules of benefits are personal items such as cosmetics, tobacco products and accessories, dry cleaning, beauty shop services (other than shaves or shampoos performed by the facility staff as part of patient care and periodic hair trims) and television rental.
(e) Payment to nursing facilities or public institutions providing Level A services in accordance with Section 51120 shall be as follows:
(1) For facilities in the following counties the base rate is:

		Alameda, Contra Costa,
		Marin, Napa, San
		Francisco, San Mateo
	Los Angeles	Santa Clara & Sonoma	All Other 
	County	Counties	Counties

	$80.62	$80.62	$67.94

(2) For facilities with licensed bed capacities of 100 beds or more, effective August 2, 2003, each facility shall receive a rate of $89.54 until the prospective county rate for their geographic location based on the categories listed above exceeds that amount. At that time, those facilities shall receive the rate for all facilities within that geographic location.
(3) For a leave of absence, the base rate shall be reduced pursuant to Section 51535.
(4) For bed holds, the base rate shall be reduced pursuant to Section 51535.1.
(f) Nothing in this section shall prohibit the Director from negotiating all-inclusive rates which provide for additional Medi-Cal covered services that are medically indicated provided that such negotiated rates are less than the cost of the covered services if billed separately.
(g) Each facility shall certify on the form provided by the Department that nurse assistants who receive certificates pursuant to Section 1439.3, Health and Safety Code, will receive a twenty cents per hour pay increase commencing with the next payroll period following certification.
(1) The Department shall inspect relevant payroll and personnel records of facilities which are reimbursed for care of Medi-Cal patients under this section to insure that the nurse assistants who have received certificates pursuant to Section 1439.3, Health and Safety Code, have received the twenty cents per hour pay increase.
(2) Any facility which the Department finds has not paid the required twenty cents per hour increase for certified nurse assistants shall be liable to the State for the amount of funds reimbursed to the facility as a result of the anticipated wage increase. Recovery shall be for the entire period during which wages did not meet the requirements of this regulation. In addition, the facility shall be subject to suspension from participation in the Medi-Cal program pursuant to the provisions of Section 14123, Welfare and Institutions Code. The facility shall also be subject to the provisions of Section 14107, Welfare and Institutions Code.
(h) Facilities shall be exempted, upon request, from the provisions of subsection (g) if each of the following apply:
(1) The facility has an ongoing nurse assistant training program which:
(A) Has been in effect continuously and prior to February 1, 1978.
(B) The Department finds to be in continuous and substantial compliance with the requirements of Section 72322.
(2) Effective October 31, 1977, the facility is currently paying nurse assistants an entry wage level of $3.50 per hour or higher.
(i) Each facility shall certify on the form provided by the Department that an additional $1.84 per patient day for the period of March 1, 1978 through June 30, 1978, was expended for increased nonadministrative employee wages and benefits. Facilities will be exempted from this certification requirement if the entry wage level of the lowest paid nonadministrative employee exceeded $3.97 an hour on March 1, 1978. Facilities exceeding the $3.97 hourly wage shall certify that the additional funds received were used to ensure the continued delivery of quality care in such facility.
(1) The Department shall inspect relevant payroll and personnel records of facilities which are reimbursed for care of Medi-Cal patients under this section to insure that the wage increases provided for in the March 1, 1978, rate increases have been implemented. Any facility which has not made the wage and benefit increases required by this subsection shall be liable to the State for the amount of funds paid to such facilities for these wage increases, but not distributed to employees, plus a penalty of ten percent of the funds not distributed. The facility shall also be subject to the provisions of Section 14107, Welfare and Institutions Code.
(2) For purposes of this section, the base from which employee wages and benefits shall be increased shall be the payroll for nonadministrative employees for the month of December, 1977 and shall include only nonovertime hours worked by covered employees. The amount of funds to be distributed per month for the period March 1, 1978 to and including June 30, 1978 for nonadministrative employee wages and benefits shall equal the total Medi-Cal patient days for the month of December, 1977 multiplied by $1.84 plus any amount expended pursuant to Section 1439.7 of the Health and Safety Code for purposes of wage increases during the March 1, 1978 through June 30, 1978 effective period.
(j) By July 1, 1978, and annually thereafter, each facility shall certify on the form provided by the Department that:
(1) All nonadministrative employees of the facility employed less than three months shall receive a minimum wage level equivalent to the federal minimum wage plus fifty percent of the facility's average hourly wage increase established for the period March through June 1978 pursuant to subsection (i).
(2) All nonadministrative employees of the facility employed for three months or more shall receive a minimum wage level equivalent to the federal minimum wage plus the facility's total average hourly wage increase established for the period March through June 1978 pursuant to subsection (i).
(3) Any employee who was employed by the facility for the period March through June 1978 shall not receive a lower wage than the wage received by that employee pursuant to subsection (i) for the March through June 1978 period.
(4) Any wage increase for certified nurse assistants required by subsection (g) shall be in addition to any of the average wages certified to in this subsection.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105, 14108, 14108.1, 14110.6, 14110.7, 14124.5 and 14126.023, Welfare and Institutions Code. Reference: Sections 14108, 14108.1, 14108.2, 14109.5, 14110.1, 14110.4, 14110.6, 14110.7 and 14123, Welfare and Institutions Code; and Statutes of 2003, Chapter 157, Items 4260-101-0001 and 4260-101-0890.
HISTORY

1. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89. For prior history, see Register 89, No. 1.
2. Certificate of Compliance transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 1).
3. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a) and (e), heading and Note filed as an emergency 3-14-91; operative 3-14-91 (Register 91, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-12-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-10-90 order including amendment of subsection (b) transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
6. Certificate of Compliance as to 3-14-91 order, including amendment of  subsections (a), (b), and (e), transmitted to OAL 7-11-91 and filed 8-9-91 (Register 91, No. 50).
7. Amendment of subsection (e) and Note filed 8-12-91 as an emergency; operative 8-12-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 12-10-91 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-12-91 order transmitted to OAL 12-9-91 and filed 1-2-92 (Register 92, No. 18).
9. Amendment of subsection (e) and table in subsection (e)(1) and Note filed 12-3-92 as an emergency; operative 12-3-92 (Register  92, No. 49). A Certificate of Compliance must be transmitted to OAL 4-2-93 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-3-92 order transmitted to OAL 4-2-93 and filed 5-14-93 (Register 93, No. 20).
11. Editorial correction of printing error restoring subsection (b) (Register 93, No. 20).
12. Amendment of subsection (e)(1) and Note filed 8-24-93 as an emergency; operative 8-24-93 (Register 93, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-22-93 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (e)(1) and Note refiled 12-20-93 as an emergency; operative 12-20-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-21-94 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-20-93 order transmitted to OAL 3-22-94 and filed 4-28-94 (Register 94, No. 17).
15. Amendment of subsection (e)(1) and Note filed 8-31-94 as an emergency; operative 8-31-94 (Register 94, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-94 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsection (e)(1) and Note refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL 5-3-95 or emergency language will be repealed by operation of law on the following day.
17. Editorial correction of History 6 (Register 95, No. 23).
18. Certificate of Compliance as to 1-3-95 order transmitted to OAL 4-27-95 and filed 6-9-95 (Register 95, No. 23).
19. Amendment of subsection (e)(1) and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
20. Certificate of Compliance as to 9-19-96 order transmitted to OAL 1-17-97 and filed 3-3-97 (Register 97, No. 10).
21. Amendment of subsection (e)(1) filed 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
22. Certificate of Compliance as to 5-15-97 order transmitted to OAL 9-10-97 and filed 9-30-97 (Register 97, No. 40).
23. Amendment of subsection (e)(1) and Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
24. Editorial correction of History 23 (Register 98, No. 24).
25. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
26. Amendment of subsection (e)(1) and Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
27. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
28. Amendment of subsection (e)(1) and Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
29. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
30. Amendment of subsection (e)(1) and Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
31. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
32. Amendment of subsection (e)(1) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
33. Amendment of subsection (e)(1) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
34. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
35. Amendment of subsection (e)(1) and amendment of Note filed 8-24-2005 as a deemed emergency pursuant to Welfare and Institutions Code section 14105(a); operative 8-24-2005 for dates of service 8-1-2002 through 7-31-2003 pursuant to Statutes of 2002, Chapter 379, Items 4260-101-0001 and 4260-101-0890  (Register 2005, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-2005 or emergency language will be repealed by operation of law on the following day.
36. Certificate of Compliance as to 8-24-2005 order transmitted to OAL 12-22-2005 and filed 1-23-2006 (Register 2006, No. 4).
37. Change without regulatory effect amending subsections (a), (b), (c)14., (g)-(g)(2), (h)(1)(B) and (i)(1)-(2) and amending Note filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
38. Amendment of subsection (e)(1), repealer and new subsections (e)(2)-(3), new subsection (e)(4) and amendment of Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
39. Certificate of Compliance as to 6-24-2010 order transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§51510.1. Intermediate Care Services for the Developmentally Disabled.
Note     •     History

(a) Each provider of intermediate care services for the developmentally disabled shall furnish all equipment, drugs, services and supplies necessary to provide intermediate care services for the developmentally disabled except as provided in subsection (b). Such equipment, drugs, supplies, and services are, at a minimum, those which are required by law, including those required by federal Medicaid regulations and state licensing regulations.
(b) Not included in the payment rate and to be billed separately by the provider thereof, subject to the utilization controls and limitations of Medi-Cal regulations covering such services and supplies, are as follows:
(1) Allied health services ordered by the attending physician.
(2) Alternating pressure mattresses/pads with motor.
(3) Atmospheric oxygen concentrators and enrichers and accessories.
(4) Blood, plasma and substitutes.
(5) Dental services.
(6) Durable medical equipment as specified in Section 51321(g).
(7) Insulin.
(8) Intermittent positive pressure breathing equipment.
(9) Intravenous trays, tubing and blood infusion sets.
(10) Laboratory services.
(11) Legend drugs.
(12) Liquid oxygen system.
(13) MacLaren or Pogon Buggy.
(14) Medical supplies as specified in the list established by the Department.
(15) Nasal cannula.
(16) Osteogenesis stimulator device.
(17) Oxygen (except emergency).
(18) Parts and labor for repairs of durable medical equipment if originally separately payable or owned by the beneficiary.
(19) Physician services.
(20) Portable aspirator.
(21) Portable gas oxygen system and accessories.
(22) Precontoured structures (VASCO-PASS, cut out foam).
(23) Prescribed prosthetic and orthotic devices for exclusive use of patient.
(24) Reagent testing sets.
(25) Therapeutic air/fluid support systems/beds.
(26) Traction equipment and accessories.
(27) Variable height beds.
(28) X-rays.
(c) Not included in the payment rate nor in the Medi-Cal schedule of benefits are costs for personal items of beneficiaries such as cosmetics, tobacco products and accessories, dry cleaning, beauty shop services (other than shaves or shampoos performed by the facility staff as part of patient care and periodic trims) and television rental.
(d) Skilled nursing facilities and intermediate care facilities with the licensed bed capacities shown below meeting the standards and criteria established for intermediate care facility services for the developmentally disabled, as defined in Sections 76301 through 76413, Article 3, Chapter 8, Division 5, Title 22, California Code of Regulations, shall be entitled to payment according to the following daily rates. Payment for service includes the Quality Assurance Fee pursuant to Health and Safety Code Section 1324.2.

Total Licensed Beds 

		7/1/03 -- 7/31/03
	1-59	60+	60+ w/Distinct Part
	$141.19	$120.69	$120.69

		8/1/03

	$143.95	$123.87	$123.87
(1) Reduced for leave of absence for all patients receiving intermediate care facility services for the developmentally disabled in accordance with Section 51535.
(2) Reduced for bed hold for acute hospitalization for all patients receiving intermediate care facility services for the developmentally disabled in accordance with Section 51535.1.
(e) For purposes of this section, the rate year is August 1st through July 31st.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105, 14108, 14110.6, 14110.7, 14124.5 and 14126.023, Welfare and Institutions Code. Reference: Sections 14087.3, 14108, 14109.5, 14110.4, 14110.6, 14110.7 and 14123, Welfare and Institutions Code; Sections 1250, 1324, 1324.2, 1324.4, 1324.8, 1324.10 and 1324.12, Health and Safety Code; and Statutes of 2003, Chapter 157, Items 4260-101-0001 and 4260-101-0890.
HISTORY

1. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89. For prior history, see Register 89, No. 1.
2. Certificate of Compliance transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
3. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-10-90 order including amendment of subsection (a) transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
5. Amendment of subsections (d), (f) and Note filed 8-12-91 as an emergency; operative 8-12-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 12-10-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance, including editorial correction of table in subsection (f), as to 8-12-91 order transmitted to OAL 12-9-91 and filed 1-2-92 (Register 92, No. 18).
7. Amendment of subsections (d) and (f)  and  Note filed 12-3-92 as an emergency; operative 12-3-92 (Register  92, No. 49). A Certificate of Compliance must be transmitted to OAL 4-2-93 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-3-92 order transmitted to OAL 4-2-93 and filed 5-14-93 (Register 93, No. 20).
9. Amendment of subsections (d) and (f) and Note filed 8-24-93 as an emergency; operative 8-24-93 (Register 93, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-22-93 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsections (d) and (f) and Note refiled 12-20-93 as an emergency; operative 12-20-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-21-94 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-20-93 order transmitted to OAL 3-22-94 and filed 4-28-94 (Register 94, No. 17).
12. Amendment of subsections (d) and (f) and Note filed 8-31-94 as an emergency; operative 8-31-94 (Register 94, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-94 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsections (d) and (f) and Note  refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL 5-3-95 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 1-3-95 order transmitted to OAL 4-27-95 and filed 6-9-95 (Register 95, No. 23).
15. Amendment of subsections (d) and (f) and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 9-19-96 order transmitted to OAL 1-17-97 and filed 3-3-97 (Register 97, No. 10).
17. Amendment of subsections (d) and (f) filed 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 5-15-97 order transmitted to OAL 9-10-97 and filed 9-30-97 (Register 97, No. 40).
19. Amendment of subsections (d) and (f) and amendment of Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
20. Editorial correction of History 19 (Register 98, No. 24).
21. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
22. Amendment of subsection (d) and Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
23. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
24. Amendment of subsection (d) and Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
25. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
26. Amendment of subsection (d) filed 6-29-2000 as an emergency; operative 7-1-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-30-2000 or emergency language will be repealed by operation of law on the following day.
27. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 9-29-2000 and filed 11-1-2000 (Register 2000, No. 44).
28. Amendment of subsection (d) and Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
29. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
30. Amendment of subsection (d) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
31. Amendment of subsection (d) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
32. Editorial correction of History 31 (Register 2003, No. 25).
33. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
34. Amendment of subsection (d) and amendment of Note filed 8-24-2005 as a deemed emergency pursuant to Welfare and Institutions Code section 14105(a); operative 8-24-2005 for dates of service 8-1-2002 through 7-31-2003 pursuant to Statutes of 2002, Chapter 379, Items 4260-101-0001 and 4260-101-0890  (Register 2005, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-2005 or emergency language will be repealed by operation of law on the following day.
35. Certificate of Compliance as to 8-24-2005 order transmitted to OAL 12-22-2005 and filed 1-23-2006 (Register 2006, No. 4).
36. Change without regulatory effect amending subsections (b)(6), (b)(14) and (d)(1)-(2) and amending Note filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
37. Amendment of subsection (d), repealer and new subsection (e) and amendment of Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
38. Certificate of Compliance as to 6-24-2010 order transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§51510.2. Intermediate Care Services for the Developmentally Disabled-Habilitative.
Note     •     History

(a) Daily Reimbursement Rate--Intermediate care facilities meeting licensing and Medi-Cal standards and criteria for providing services to the developmentally disabled-habilitative as contained or referred to in Sections 51164.1 through 51343.1 and Sections 76801 through 76962, Divisions 3 and 5 of Title 22, California Code of Regulations, shall be entitled to payment according to the following daily rates. Payment for service includes the Quality Assurance Fee pursuant to Health and Safety Code Section 1324.2.

Total Licensed Beds 

		7/1/03 -- 7/31/03
	4-6		7-15
	$163.45		$162.35

		8/1/03
	$163.45		$163.18
(1) Each provider of intermediate care, developmentally disabled/habilitative services shall furnish:
(A) Services of the facility's direct care staff in accordance with Section 76872 of Title 22 of California Code of Regulations.
(B) Services of the facility's interdisciplinary professional staff/team and qualified mental retardation professional staff as follows:
1. Case conference review of client's developmental needs;
2. Joint development of individual service plans;
3. In-service training of direct care staff and follow-up to ensure proper implementation of individual service plan.
4. Advising on the need for provision of various types of intervention or specialized equipment beyond the capabilities of the facility or staff;
(C) Administrative services in accordance with Sections 76907 through 76931 of Title 22 of California Code of Regulations.
(D) Health support, food and nutritional and pharmaceutical services as required in Sections 76874 through 76906 of Title 22 of California Code of Regulations.
(E) Transportation services when necessary for round trips to attending physicians in accordance with Section 51343.1(f), (g), and (l).
(F) Social services required in 42 Code of Federal Regulations, Sections 442.494 and 442.495.
(G) All services, drugs, equipment and supplies required to provide intermediate care, developmentally disabled/habilitative services except as provided in subsection (b). Such equipment, drugs, supplies, and services are, at a minimum, those which are required by law, including those required by federal Medicaid regulations and state licensing regulations.
(2) The daily reimbursement rate shall be adjusted for purposes of leave of absence or acute hospitalization in accordance with Sections 51535 and 51535.1, Title 22, California Code of Regulations.
(b) Services and supplies not covered by the payment rate but which are recommended by the interdisciplinary staff and ordered by the attending physician and which the facility's direct care staff are not qualified to provide may be billed separately, subject to the utilization controls and limitations of Medi-Cal regulations covering such services and supplies. These include:
(1) Medical and Dental Services.
(A) Costs of medical or dental services.
(B) Costs of a physician's medical evaluation for purposes of Section 51343.1(h). If a physician's evaluation has been completed for purposes of Section 51343.1(h), the costs of an additional evaluation will not be reimbursed until 12 months thereafter.
(2) Psychological Services.
(A) Costs of psychological therapy services.
(B) The cost of a psychological evaluation provided during the first 3 months after admission is not reimbursable.
(3) Cost of incontinence medical supplies for beneficiaries five years of age or more whose developmental deficits are such that bowel and bladder control cannot be attained. Prior authorization is required in accordance with Section 51003, Title 22, California Code of Regulations.
(4) The following services, items and supplies;
(A) Allied health services ordered by the attending physician.
(B) Alternating pressure mattresses/pads with motor.
(C) Atmospheric oxygen concentrators and enrichers and accessories.
(D) Blood, plasma and substitutes.
(E) Dental services.
(F) Durable medical equipment as specified in Section 51321(g).
(G) Insulin.
(H) Intermittent positive pressure breathing equipment.
(I) Intravenous trays, tubing and blood infusion sets.
(J) Laboratory services.
(K) Legend drugs.
(L) Liquid oxygen system.
(M) MacLaren or Pogon Buggy.
(N) Medical supplies as specified in the list established by the Department.
(O) Nasal cannula.
(P) Osteogenesis stimulator device.
(Q) Oxygen (except emergency).
(R) Parts and labor for repairs of durable medical equipment if originally separately payable or owned by the beneficiary.
(S) Physician services.
(T) Portable aspirator.
(U) Portable gas oxygen system and accessories.
(V) Precontoured structures (VASCO-PASS, cut out foam).
(W) Prescribed prosthetic and orthotic devices for exclusive use of patient.
(X) Reagent testing sets.
(Y) Therapeutic air/fluid support systems/beds.
(Z) Traction equipment and accessories.
(AA) Variable height beds.
(BB) X-rays.
(c) All services and supplies billed separately are subject to the general provisions and billing limitations set forth in Sections 51303 and 51304, Title 22, California Code of Regulations.
(d) Not included in the payment rate nor in the Medi-Cal schedule of benefits are costs for personal items of beneficiaries such as cosmetics, tobacco products and accessories, dry cleaning, beauty shop services (other than shaves or shampoos performed by the facility staff as part of patient care and periodic hair trims) and television rental.
NOTE

Authority cited: Sections 20 and 1267.7, Health and Safety Code; and Sections 10725, 14105, 14108, 14108.2, 14110.6, 14110.7, 14124.5 and 14126.023, Welfare and Institutions Code. Reference: Sections 1250, 1267.7, 1324, 1324.2, 1324.4, 1324.6, 1324.8, 1324.10 and 1324.12, Health and Safety Code; Sections 14105.47, 14108, 14108.2, 14109.5, 14110.4, 14110.6 and 14123, Welfare and Institutions Code; and Statutes of 2003, Chapter 157, Items 4260-101-0001 and 4260-101-0890.
HISTORY

1. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89. For prior history, see Register 89, No. 1.
2. Certificate of Compliance transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
3. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-10-90 order including amendment of subsection (a) transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
5. Amendment of subsection (a) and Note filed 8-12-91 as an emergency; operative 8-12-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 12-10-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-12-91 order transmitted to OAL 12-9-91 and filed 1-2-92 (Register 92, No. 18).
7. Amendment of subsection (a)  and  Note filed 12-3-92 as an emergency; operative 12-3-92 (Register  92, No. 49). A Certificate of Compliance must be transmitted to OAL 4-2-93 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-3-92 order transmitted to OAL 4-2-93 and filed 5-14-93 (Register 93, No. 20).
9. Amendment of subsection (a) and Note filed 8-24-93 as an emergency; operative 8-24-93 (Register 93, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-22-93 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsection (a) and Note refiled 12-20-93 as an emergency; operative 12-20-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-21-94 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-20-93 order transmitted to OAL 3-22-94 and filed 4-28-94 (Register 94, No. 17).
12. Amendment of subsection (a) and Note filed 8-31-94 as an emergency; operative 8-31-94 (Register 94, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-94 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (a) and Note refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL 5-3-95 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 1-3-95 order including amendment of subsection (a) transmitted to OAL 4-27-95 and filed 6-9-95 (Register 95, No. 23).
15. Amendment of subsection (b)(3) filed 12-21-95; operative 1-20-96 (Register 95, No. 51).
16. Amendment of subsection (a) and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be  transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 9-19-96 order transmitted to OAL 1-17-97 and filed 3-3-97 (Register 97, No. 10).
18. Amendment of subsection (a) filed 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 5-15-97 order transmitted to OAL 9-10-97 and filed 9-30-97 (Register 97, No. 40).
20. Amendment of section heading, subsection (a) and Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
22. Amendment of subsection (a) and Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
23. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
24. Amendment of subsection (a) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
25. Amendment of subsection (a) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
26. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
27. Change without regulatory effect amending subsections (a)(1)(A), (a)(1)(C)-(F), (a)(2), (b)(1)(B), (b)(4)(F), (b)(4)(N) and (c) and amending Note filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
28. Amendment of subsection (a) and Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
29. Certificate of Compliance as to 6-24-2010 order transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§51510.3. Intermediate Care Services for the Developmentally Disabled-Nursing.
Note     •     History

(a) Daily Reimbursement Rate--Intermediate care facilities meeting licensing and Medi-Cal standards and criteria for providing services to the developmentally disabled-nursing as contained or referred to in Sections 51164.2 through 51343.2, Division 3, and Sections 73800 through 73956, Division 5, Title 22, California Code of Regulations, shall be entitled to payment according to the following daily rates. Payment for service includes the Quality Assurance Fee pursuant to Health and Safety Code Section 1324.2.

Total Licensed Beds 

		7/1/03 -- 7/31/03
	4-6		7-15
	$200.28		$177.60

		8/1/03
	$200.28		$177.60
(1) Each provider of intermediate care, developmentally disabled-nursing services shall furnish:
(A) Services of the facility's direct care staff in accordance with Section 73873, Title 22, California Code of Regulations.
(B) Services of the facility's interdisciplinary professional staff/team and qualified mental retardation professional as follows:
1. Case conference review of beneficiary's medical/nursing and developmental needs.
2. Joint development of individual service plans.
3. In-service training of direct care staff and follow-up to ensure proper implementation of individual service plans.
4. Advising on the need for provision of various types of intervention beyond the capabilities of the direct care staff and specialized equipment beyond the resources of the facility.
(C) Administrative services in accordance with Sections 73908 through 73932, Title 22, California Code of Regulations.
(D) Health support, food and nutritional, and pharmaceutical services as required in Sections 73875 through 73907, Title 22, California Code of Regulations.
(E) Transportation services when necessary for round trips to attending physicians in accordance with Section 51343.2(i), (j) and (o), Title 22, California Code of Regulations.
(F) Social services required in Section 73856(c), Title 22, California Code of Regulations.
(G) All services, drugs, equipment and supplies required to provide intermediate care, developmentally disabled-nursing services except as provided in subsection (b). Such equipment, drugs, supplies, and services are, at a minimum, those which are required by law, including those required by federal Medicaid regulations and state licensing regulations.
(2) The daily reimbursement rate shall be adjusted for purposes of leave of absence or acute hospitalization in accordance with Sections 51535 and 51535.1, Title 22, California Code of Regulations.
(b) Services and supplies not covered by the payment rate but which are recommended by the interdisciplinary staff and ordered by the authorized health practitioners and which the facility's direct care staff are not qualified to provide may be billed separately, subject to the utilization controls and limitations of Medi-Cal regulations covering such services and supplies. These include:
(1) Medical and dental services.
(A) Costs of medical or dental services.
(B) Cost of a physician's medical evaluation for purposes of Section 51343.2(i), Title 22, California Code of Regulations. If a physician's evaluation has been completed for purposes of that section, the costs of an additional evaluation will not be reimbursed until 12 months thereafter.
(2) Psychological services provided by a licensed psychologist. These services shall be reimbursed in accordance with Title 22, California Code of Regulations, Section 51505.3.
(3) Cost of incontinence medical supplies for beneficiaries five years of age or more whose developmental deficits are such that bowel and bladder control cannot be attained. Prior authorization is required in accordance with Section 51003, Title 22, California Code of Regulations.
(4) The following services, items and supplies:
(A) Allied health services ordered by the attending physician.
(B) Alternating pressure mattresses/pads with motor.
(C) Atmospheric oxygen concentrators and enrichers and accessories.
(D) Blood, plasma and substitutes.
(E) Dental services.
(F) Durable medical equipment as specified in Section 51321(g).
(G) Insulin.
(H) Intermittent positive pressure breathing equipment.
(I) Intravenous trays, tubing and blood infusion sets.
(J) Laboratory services.
(K) Legend drugs.
(L) Liquid oxygen system.
(M) MacLaren or Pogon Buggy.
(N) Medical supplies as specified in the list established by the Department.
(O) Nasal cannula.
(P) Osteogenesis stimulator device.
(Q) Oxygen (except emergency).
(R) Parts and labor for repairs of durable medical equipment if originally separately payable or owned by the beneficiary.
(S) Physician services.
(T) Portable aspirator.
(U) Portable gas oxygen system and accessories.
(V) Precontoured structures (VASCO-PASS, cut out foam).
(W) Prescribed prosthetic and orthotic devices for exclusive use of patient.
(X) Reagent testing sets.
(Y) Therapeutic air/fluid support systems/beds.
(Z) Traction equipment and accessories.
(AA) Variable height beds.
(BB) X-rays.
(c) All services and supplies billed separately are subject to the general provisions and billing limitations set forth in Sections 51303 and 51304, Title 22, California Code of Regulations.
(d) Payment shall not be provided for purposes of respite care except for beneficiaries who are enrolled in a federally approved home and community-based care program under Section 1915(c) of the Social Security Act. Whenever respite care is provided to Medi-Cal beneficiaries through other funding sources, all Medi-Cal admission requirements shall be met.
(e) Not included in the payment rate nor in the Medi-Cal schedule of benefits are costs of beneficiaries' personal items such as cosmetics, tobacco products and accessories, dry cleaning, beauty shop services (other than shaves or shampoos performed by the facility staff as part of patient care and periodic hair trims), television rental, and costs associated with recreational activities not otherwise provided for in the daily reimbursement rate.
NOTE

Authority cited: Sections 20, 1267.7 and 1275.3, Health and Safety Code; and Sections 10725, 14105, 14108, 14108.2, 14110.6, 14110.7, 14124.5 and 14126.023, Welfare and Institutions Code. Reference: Sections 1250, 1267.7, 1324, 1324.2, 1324.4, 1324.6, 1324.8, 1324.10, 1324.12 and 1324.14, Health and Safety Code; Sections 14108, 14108.2, 14109.5, 14110.4, 14110.6 and 14123, Welfare and Institutions Code; and Statutes of 2003, Chapter 157, Items  4260-101-0001 and 4260-101-0890.
HISTORY

1. New section refiled by the Department of Health Services with the Secretary of State on 5-30-89 as an emergency pursuant to Health and Safety Code section 1275.3; operative 5-30-89. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 89, No. 23). For prior history, see Register 89, No. 1.
2. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89.
3. Certificate of Compliance as to 5-30-89 order including amendment transmitted to OAL 9-27-89 and filed 10-26-89 (Register 89, No. 44).
4. Certificate of Compliance as to 8-7-89 order transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
5. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-10-90 order including amendment of subsection (a) transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
7. Amendment of subsection (a) and Note filed 8-12-91 as an emergency; operative 8-12-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 12-10-91 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-12-91 order transmitted to OAL 12-9-91 and filed 1-2-92 (Register 92, No. 18).
9. Amendment of subsection (a)  and  Note filed 12-3-92 as an emergency; operative 12-3-92 (Register  92, No. 49). A Certificate of Compliance must be transmitted to OAL 4-2-93 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-3-92 order transmitted to OAL 4-2-93 and filed 5-14-93 (Register 93, No. 20).
11. Amendment of subsection (a) and Note filed 8-24-93 as an emergency; operative 8-24-93 (Register 93, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-22-93 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsection (a) and Note refiled 12-20-93 as an emergency; operative 12-20-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-21-94 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-20-93 order transmitted with amendments to OAL 3-22-94 and filed 4-28-94 (Register 94, No. 17).
14. Amendment of subsection (a) and Note filed 8-31-94 as an emergency; operative 8-31-94 (Register 94, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-94 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsection (a) and Note refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL 5-3-95 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 1-3-95 order transmitted to OAL 4-27-95 and filed 6-9-95 (Register 95, No. 23).
17. Amendment of subsection (a) and Note filed 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
18. Amendment of subsection (b)(3) filed 12-21-95; operative 1-20-96 (Register 95, No. 51).
19. Amendment of subsection (a) and Note refiled 2-5-96 as an emergency; operative 2-5-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-6-96 or emergency language will be repealed by operation of law on the following day.
20. Certificate of Compliance as to 2-5-96 order transmitted to OAL 6-4-96 and filed 7-12-96 (Register 96, No. 28).
21. Amendment of subsection (a) and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
22. Certificate of Compliance as to 9-19-96 order transmitted to OAL 1-17-97 and filed 3-3-97 (Register 97, No. 10).
23. Amendment of subsection (a) filed 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
24. Certificate of Compliance as to 5-15-97 order transmitted to OAL 9-10-97 and filed 9-30-97 (Register 97, No. 40).
25. Amendment of subsection (a) and Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
26. Editorial correction of History 25 (Register 98, No. 24).
27. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
28. Amendment of subsection (a) and Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
29. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
30. Amendment of subsection (a) and Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
31. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
32. Amendment of subsection (a) filed 6-29-2000 as an emergency; operative 7-1-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-30-2000 or emergency language will be repealed by operation of law on the following day.
33. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 9-29-2000 and filed 11-1-2000 (Register 2000, No. 44).
34. Amendment of subsection (a) and Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
35. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
36. Amendment of subsection (a) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
37. Amendment of subsection (a) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
38. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
39. Change without regulatory effect amending subsections (a)(1)(A), (a)(1)(C)-(F), (a)(2), (b)(1)(B), (b)(2), (b)(4)(F), b)(4)(N), (c) and (d) and amending Note filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
40. Amendment of subsection (a) and Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
41. Certificate of Compliance as to 6-24-2010 order transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§51511. Nursing Facility Level B Services.
Note     •     History

(a) Payment to nursing facilities, hospitals, or public institutions providing Level B services in accordance with Section 51123 shall be as set forth in this section. As used in this section, the term “nursing facility Level B services” is defined as nursing facility services provided in accordance with Section 51123. Payment shall be as follows:
(1) For facilities with licensed bed capacities and located by county, for the 2003-04 rate year are as follows:

		Alameda, Contra Costa,
		Marin, Napa, San  Francisco,
		San Mateo
	Los Angeles	Santa Clara & Sonoma	All Other 
Bedsize	County	Counties	Counties

1-59 	$107.06	$132.57	$115.19
60+	$107.20	$139.34	$119.60
(2) For nursing facilities that are distinct parts of acute care hospitals, if such facilities are not state operated, the per diem reimbursement rate shall be the lesser of the facility's costs, as projected by the Department, or $236.82.
(A) For purposes of this section, the rate year is August 1, 2003, through July 31, 2004.
(B) The facility's projected costs shall be based on the audit report findings of cost reports with fiscal periods ending January 1, 2001, through December 31, 2001. In the event the provider appeals the audit, pursuant to Welfare and Institutions Code Section 14171, and the provider notifies the Department by June 1, 2003, that the audit report findings have been modified by an appeal decision or an agreement between the hospital and the Department, the facility's projected costs shall be based on the modified audit findings.
(C) If the audit of a cost report is not issued by July 1, 2003, the Department shall establish an interim projected reimbursement rate based on the cost report with a fiscal period ending January 1, 2001 through December 31, 2001, adjusted by an audit disallowance factor of .96106.
(D) The Department will use the facility's interim projected reimbursement rate in the computation of the prospective class median rate. Facilities that did not provide Nursing Facility Level B services to Medi-Cal patients during the cost report period and/or facilities with less than a full year's reported cost shall not be used to establish the prospective class median rate. In addition, facilities with Medi-Cal patient days representing less than 20 percent of their total patient days will be excluded from the median determination.
(E) If the facility has an interim reimbursement rate as specified in (C), when the audit report is issued or when the cost report is deemed true and correct under Welfare and Institutions Code Section 14170(a)(1), the Department shall adjust the facility's projected reimbursement rate retroactively to August 1, 2003 to reflect the cost determined pursuant to such audit, or to reflect the cost in the cost report in the event that cost report is deemed true and correct. The Department shall notify the provider of the revised rates within 45 days of issuance of the audit report.
(F) Interest will accrue from August 1, 2003 and be payable on any such underpayment or overpayment at a rate equal to the monthly average received on investment in the Surplus Money Investment Fund (as referenced in Welfare and Institutions Code Section 14171) during the month the audit report is issued.
(G) If a provider appeals an audit pursuant to Welfare & Institutions Code Section 14171, and there is a determination that the audit findings inaccurately reflect the audited facility's projected costs, the provider shall be entitled to seek a retroactive adjustment in its reimbursement rate, but the resulting reimbursement rate shall not exceed the prospective median rate as provided in subsection (a)(2)(A).
(H) Payment under subsection (a)(2) shall only be made for services authorized pursuant to conditions set forth in Section 51335 for patients determined to need Level B services for other than post-surgical rehabilitation or therapy services.
(3) Reimbursement to any state-operated facility shall be based on its actual allowable costs.
(4) For facilities that are designated as swing bed facilities, the rate is $229.96.
(5) Reduced for leave of absence provided pursuant to Section 51535.
(6) Reduced for bed hold provided pursuant to Section 51535.1.
(b) Each provider of nursing facility level B services shall furnish all equipment, drugs, supplies, and services necessary to provide level B services except as provided in subsection (c). Such equipment, drugs, supplies, and services are, a minimum, those which are required by law, including those required by federal Medicaid regulations and state licensing regulations.
(c) Not included in the payment rate and to be billed separately by the provider thereof, subject to the utilization controls and limitations of Medi-Cal regulations covering such services and supplies, are:
(1) Allied health services ordered by the attending physician, excluding respiratory therapy.
(2) Alternating pressure mattresses/pads with motor.
(3) Atmospheric oxygen concentrators and enrichers and accessories.
(4) Blood, plasma and substitutes.
(5) Dental services.
(6) Durable medical equipment as specified in Section 51321(g).
(7) Insulin.
(8) Intermittent positive pressure breathing equipment.
(9) Intravenous trays, tubing and blood infusion sets.
(10) Laboratory services.
(11) Legend drugs.
(12) Liquid oxygen system.
(13) MacLaren or Pogon Buggy.
(14) Medical supplies as specified in the list established by the Department.
(15) Nasal cannula.
(16) Osteogenesis stimulator device.
(17) Oxygen (except emergency).
(18) Parts and labor for repairs of durable medical equipment if originally separately payable or owned by the beneficiary.
(19) Physician services.
(20) Portable aspirator.
(21) Portable gas oxygen system and accessories.
(22) Precontoured structures (VASCO-PASS, cut out foam).
(23) Prescribed prosthetic and orthotic devices for exclusive use of patient.
(24) Reagent testing sets.
(25) Therapeutic air/fluid support systems/beds.
(26) Traction equipment and accessories.
(27) Variable height beds.
(28) X-rays.
(d) Not included in the payment rate nor in the Medi-Cal schedules of benefits are personal items such as cosmetics, tobacco products and accessories, dry cleaning, beauty shop services (other than shaves or shampoos performed by the facility staff as part of patient care and periodic hair trims) and television rental.
(e) Nothing in this section shall prohibit the Director from negotiating all-inclusive rates which provide for additional Medi-Cal covered services that are medically indicated provided that such negotiated rates are less than the cost of the covered services if billed separately.
(f) Each facility shall certify on the form provided by the Department that nurse assistants who receive certificates pursuant to Section 1439.3, Health and Safety Code, will receive a twenty cents per hour pay increase commencing with the next payroll period following certification.
(1) The Department shall inspect relevant payroll and personnel records of facilities which are reimbursed for care of Medi-Cal patients under this section, to insure that the nurse assistants who have received certificates pursuant to Section 1439.3, Health and Safety Code, have received the twenty cents per hour pay increase.
(2) Any facility which the Department finds has not paid the required twenty cents per hour increase for certified nurse assistants shall be liable to the State for the amount of funds reimbursed to the facility as a result of the anticipated wage increase. Recovery shall be for the entire period during which wages did not meet the requirements of this regulation. In addition, the facility shall be subject to suspension from participation in the Medi-Cal program pursuant to the provisions of Section 14123, Welfare and Institutions Code. The facility shall also be subject to the provisions of Section 14107, Welfare and Institutions Code. 
(g) Facilities shall be exempted, upon request, from the provisions of subsection (f) if each of the following apply:
(1) The facility has an ongoing nurse assistant training program which:
(A) Has been in effect continuously and prior to February 1, 1978.
(B) The Department finds to be in continuous and substantial compliance with the requirements of Section 72322.
(2) Effective October 31, 1977, the facility is currently paying nurse assistants an entry wage level of $3.50 per hour or higher.
(h) Each facility shall certify on the form provided by the Department that an additional $2.28 per patient day for the period of March 1, 1978 through June 30, 1978, was expended for increased nonadministrative employee wages and benefits. Facilities will be exempted from this certification requirement if the entry wage level of the lowest paid nonadministrative employee exceeded $3.97 an hour on March 1, 1978. Facilities exceeding the $3.97 hourly wage shall certify that the additional funds received were used to ensure the continued delivery of quality care in such facility.
(1) The Department shall inspect relevant payroll and personnel records of facilities which are reimbursed for care of Medi-Cal patients under this section to insure that the wage increases provided for in the March 1, 1978, rate increases have been implemented. Any facility which has not made the wage and benefit increases, required by this section, shall be liable to the State for the amount of funds paid to such facilities for these wage increases, but not distributed to employees, plus a penalty of ten percent of the funds not distributed. The facility shall also be subject to the provisions of Section 14107, Welfare and Institutions Code.
(2) For purposes of this section, the base from which employee wages and benefits shall be increased shall be the payroll for nonadministrative employees for the month of December, 1977 and shall include only nonovertime hours worked by covered employees. The amount of funds to be distributed per month, for the period March 1, 1978 to and including June 30, 1978 for nonadministrative employee wages and benefits, shall equal the total Medi-Cal patient days for the month of December, 1977 multiplied by $2.28 plus any amount expended pursuant to Section 1439.7 of the Health and Safety Code for purposes of wage increases during the March 1, 1978 through June 30, 1978 effective period.
(i) By July 1, 1978, and annually thereafter, each facility shall certify on the form provided by the Department that:
(1) All nonadministrative employees of the facility employed less than three months shall receive a minimum wage level equivalent to the federal minimum wage plus fifty percent of the facility's average hourly wage increase established for the period March through June 1978 pursuant to subsection (h).
(2) All nonadministrative employees of the facility employed for three months or more shall receive a minimum wage level equivalent to the federal minimum wage plus the facility's total average hourly wage increase established for the period March through June 1978 pursuant to subsection (h).
(3) Any employee who was employed by the facility for the period March through June 1978 shall not receive a lower wage than the wage received by that employee pursuant to subsection (h) for the March through June 1978 period.
(4) Any wage increase for certified nurse assistants required by subsection (f) shall be in addition to any of the average wages certified to in this subsection.
(j) Notwithstanding any other provisions of these regulations, payment for out-of-state skilled nursing facility services shall be the lesser of the facility's charge, the other state's Medicaid rate or the highest Medi-Cal rate applicable to services provided in comparable facilities.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105, 14108, 14108.1, 14108.2, 14110.6, 14110.7, 14124.5 and 14126.023, Welfare and Institutions Code. Reference: Sections 14105, 14108, 14108.1, 14108.2, 14109.5, 14110.1, 14110.4, 14110.6, 14110.7, 14123 and 14171, Welfare and Institutions Code; and Statutes of 2003, Chapter 157, Items 4260-101-0001 and 4260-101-0890; and Sections 447.15 and 483.1, et seq., Title 42, Code of Federal Regulations.
HISTORY

1. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89. For prior history, see Register 89, No. 1.
2. Certificate of Compliance transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
3. Change without regulatory effect regarding printing error of subsection (a)(1) pursuant to section 100, title 1, California Code of Regulations filed 4-25-90 (Register 90, No. 22).
4. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a), heading and Note filed as an emergency 3-14-91; operative 3-14-91 (Register 91, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-12-91 or emergency language will be repealed by operation of law on the following day.
6. Amendment filed 4-2-91 as an emergency; operative 4-2-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-31-91 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance order as to 12-10-90 order including amendment of subsection (b) transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
8. Certificate of Compliance as to 3-14-91 order transmitted to OAL 7-11-91 and filed 8-9-11 (Register 91, No. 50).
9. Amendment of subsection (a)(1), (a)(2), (a)(3) and Note filed 8-8-91 as an emergency; operative 8-8-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 12-6-91 or emergency language will be repealed by operation of law on the following day.
10. Amendment refiled 12-2-91 as an emergency; operative 12-6-91 (Register 92, No. 10). A Certificate of Compliance must be transmitted to OAL 4-6-92 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-2-91 order transmitted to OAL 12-9-91 and filed 1-2-92 (Register 92, No. 18).
12. Amendment of subsection (a)(2) filed 4-13-92 as an emergency; operative 4-13-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-12-92 or emergency language will be repealed by operation of law on the following day.
13. Editorial correction of printing error (Register 92, No. 28).
14. Amendment of subsection (a)(2) refiled 7-2-92 as an emergency; operative 8-11-92 (Register 92, No. 28). A Certificate of Compliance must be transmitted to OAL by 10-30-92 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsections (a)-(a)(3) and Note filed 12-3-92 as an emergency; operative 12-3-92 (Register 92, No. 49). A Certificate of Compliance must be transmitted to OAL 4-2-93 or emergency language will be repealed by operation of law on the following day.
16. Repealer of subsection (a)(2), new subsections (a)(2)-(a)(3) and subsection renumbering filed 2-1-93 as an emergency; operative 2-1-93 (Register 93, No. 6). A Certificate of Compliance must be transmitted to OAL 6-1-93 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 12-3-92 order transmitted to OAL 4-2-93 and filed 5-14-93 (Register 93, No. 20).
18. Certificate of Compliance as to 2-1-93 order, including amendment of subsection (a)(2)(C) and Note transmitted to OAL 5-28-93 and filed 7-13-93 (Register 93, No. 29).
19. Amendment of subsections (a)-(a)(1), (a)(2)(A), (a)(5)-(6) and Note filed 8-24-93 as an emergency; operative 8-24-93 (Register 93, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-22-93 or emergency language will be repealed by operation of law on the following day.
20. Amendment of subsections (a), (a)(1), (a)(2)(A), (a)(5)-(6) and Note refiled 12-20-93 as an emergency; operative 12-20-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-21-94 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 12-20-93 order transmitted to OAL 3-22-94 and filed 4-28-94 (Register 94, No. 17).
22. Amendment of subsections (a)(1), (a)(2)(A), (a)(4)  and Note filed 8-31-94 as an emergency; operative 8-31-94 (Register 94, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-94 or emergency language will be repealed by operation of law on the following day.
23. Amendment of subsections (a)(1), (a)(1)(A), (a)(4) and Note refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL 5-3-95 or emergency language will be repealed by operation of law on the following day.
24. Certificate of Compliance as to 1-3-95 order transmitted to OAL 4-27-95 and filed 6-9-95 (Register 95, No. 23).
25. Amendment of subsections (a)(2)-(a)(2)(B), repealer of subsections (a)(2)(B)1. and (a)(2)(B)3., new subsections (a)(2)(C)-(F), subsection relettering, and amendment of Note filed 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
26. Amendment of subsection (a)(2)-(a)(2)(B), repealer of subsections (a)(2)(B)1. and (a)(2)(B)3., new subsections (a)(2)(C)-(F), subsection relettering, and amendment of Note refiled 2-5-96 as an emergency; operative 2-5-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-6-96 or emergency language will be repealed by operation of law on the following day.
27. Certificate of Compliance as to 2-5-96 order transmitted to OAL 6-4-96 and filed 7-12-96 (Register 96, No. 28).
28. Amendment of subsections (a)(1), (a)(2)(A)-(C) and (a)(2)(E)-(F)  and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
29. Certificate of Compliance as to 9-19-96 order transmitted to OAL 1-17-97 and filed 3-3-97 (Register 97, No. 10).
30. Amendment of subsection (a)(1) filed 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
31. Certificate of Compliance as to 5-15-97 order transmitted to OAL 9-10-97 and filed 9-30-97 (Register 97, No. 40).
32. Amendment of subsections (a)(1), (a)(2)(A)-(C) and (a)(2)(E)-(F)  and amendment of Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
33. Editorial correction of History 32 (Register 98, No. 24).
34. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
35. Amendment of subsections (a)(1)-(a)(2)(G) and amendment of Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
36. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
37. Amendment of subsections (a)(1)-(a)(2)(C), (a)(2)(E)-(F) and (a)(4) and amendment of Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
38. Amendment of subsections (a)(1), (a)(2) and (a)(4) filed 2-28-2000 as an emergency; operative 2-28-2000 (Register 2000, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2000 or emergency language will be repealed by operation of law on the following day.
39. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
40. Amendment of subsections (a)(1), (a)(2) and (a)(4) refiled 6-19-2000 as an emergency; operative 6-19-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-2000 or emergency language will be repealed by operation of law on the following day.
41. Certificate of Compliance as to 6-19-2000 order transmitted to OAL 9-22-2000 and filed 10-16-2000 (Register 2000, No. 42).
42. Amendment of subsections (a)(1)-(a)(2)(C), (a)(2)(E)-(F) and (a)(4) and amendment of Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
43. Certificate of Compliance as to 11-17-2000 order, with further amendments,  transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
44. Amendment of subsections (a)(1)-(a)(1)(C), (a)(1)(E)-(F) and (a)(1)(H)(4) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
45. Amendment of subsections (a)(1)-(a)(1)(C), (a)(1)(E)-(F) and (a)(1)(H)(4) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
46. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
47. Amendment of subsections (a)(1)-(a)(2)(C), (a)(2)(E)-(F) and (a)(4) and amendment of Note filed 8-24-2005 as a deemed emergency pursuant to Welfare and Institutions Code section 14105(a); operative 8-24-2005 for dates of service 8-1-2002 through 7-31-2003 pursuant to Statutes of 2002, Chapter 379, Items 4260-101-0001 and 4260-101-0890  (Register 2005, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-2005 or emergency language will be repealed by operation of law on the following day.
48. Certificate of Compliance as to 8-24-2005 order transmitted to OAL 12-22-2005 and filed 1-23-2006 (Register 2006, No. 4).
49. Change without regulatory effect amending subsections (a)(2)(G), (c)(6), (c)(14), (f)-(f)(2), (g)(1)(B) and (h)(1) and amending Note filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
50. Amendment of subsections (a)(1)-(a)(2)(C), (a)(2)(E)-(F), (a)(4) and (a)(6) and amendment of Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
51. Certificate of Compliance as to 6-24-2010 order transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§51511.1. Special Program Services for the Mentally Disordered.
Note     •     History

(a) Supplemental payment for special program services for the mentally disordered shall be limited to the amounts specified in (b).
(b) Skilled nursing facilities and intermediate care facilities meeting the standards and criteria established for special program services to the mentally disordered as defined in Sections 72443 through 72475 or Section 73417 through 73423, Division 5, Title 22, California Administrative Code, shall be entitled to a supplemental payment of $5.72 per patient day.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14132, Welfare and Institutions Code; Items 426-106-001 and 890, Budget Act of 1981; Item 4260-101-001, Budget Act of 1982.
HISTORY

1. Amendment of subsection (b) filed 1-31-85 as an emergency; designated effective 2-1-85 (Register 85, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-1-85. For prior history, see Register 83, No. 1.
2. Certificate of Compliance as to 1-31-85 order transmitted to OAL 5-23-85 and filed 6-24-85 (Register 85, No. 25).
§51511.2. Uniform Accounting and Cost Reporting System for Skilled Nursing Facilities and Intermediate Care Facilities.
Note     •     History

(a) For fiscal years commencing on or after January 1, 1977, all skilled nursing and intermediate care facilities participating in the Medi-Cal program shall maintain a uniform accounting system as specified by the California Health Facilities Commission pursuant to Part 1.7, Division 1, Health and Safety Code.
(b) Annual cost reports shall be submitted to the Department of Benefit Payments by each facility no later than three months after the close of the facility's fiscal year. The report shall be submitted in the format prescribed by the State.
(c) Each facility shall maintain, for a period of three years following the submission of annual cost reports, financial and statistical records of the period covered by such cost reports, which are accurate and in sufficient detail to substantiate the cost data reported. These records shall be made available to State or federal representatives upon request.
NOTE

Authority cited: Sections 14105, 14106 and 14161, Welfare and Institutions Code. Reference: Sections 14105, 14106 and 14161, Welfare and Institutions Code.
HISTORY

1. New section filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21).
§51511.3. Transitional Inpatient Care Services Reimbursement. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105.981 and 14132.22, Welfare and Institutions Code; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 4260-101-0890.
HISTORY

1. New section filed 4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsection (b), table, subsection (f), and History 1 (Register 96, No. 35).
3. New section refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-28-96 order, including amendment of section, transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
5. Amendment of subsections (a)-(b), (b)(3), (b)(4) and (c)(2) and amendment of Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of subsection (a) designator and History 5 (Register 98, No. 24).
7. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
8. Amendment of subsection (a) and Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
10. Amendment of subsections (a), (b), (b)(3), (b)(4) and (c)(2) and amendment of Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
12. Amendment of subsections (a), (b), (b)(3), (b)(4) and (c)(2) and amendment of Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
14. Change without regulatory effect repealing section filed 6-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 24).
§51511.5. Nursing Facility Services--Subacute Care Reimbursement.
Note     •     History

(a)(1) For the 2003-04 rate year, the prospective rate of reimbursement, which shall be the all-inclusive per diem rates of reimbursement for subacute services as defined in Section 51335.5(a), shall be the lesser of the facility's costs as projected by the Department or the rate based on the class median rates continued from the prior year, as set forth below:

	Type of	Type of	Class Median-
	Licensure	Patient	Based Rate

Hospital-based	Ventilator dependent	$580.07

Freestanding	Ventilator dependent	$409.72

Hospital-based	Non-ventilator dependent	$553.15

Freestanding	Non-ventilator dependent	$381.45
(2)(A) For the 2003-04 rate year, a facility that experienced a reduction in projected facility costs, which would result in a reduced subacute reimbursement rate for the 2003-04 rate year pursuant to subsection (a)(1), shall have its subacute prospective reimbursement rate for 2003-04 set at its 2002-03 rate.
(B) Subacute facilities that do not have historical costs shall receive an interim reimbursement rate. This interim rate shall be based on the subacute facility's projection of their total patient days and costs, as approved by the Department. When actual subacute audit report data becomes available, interim rates shall be retroactively adjusted to the subacute facility's final prospective rate. Final rates may be less than the interim rate, in which case the Department shall recover any overpayment. Only subacute facilities participating in the program as of June 1st shall be in included in the rate study.
(b) Payments to nursing facilities with subacute care units for patients on bedhold receiving acute services shall be in accordance with section 51535.1(d).
(c) The provisions of section 51511 shall apply to subacute care units except for section 51511(a). Section 51511(c) shall apply to subacute providers with the exception of items included within the subacute rate pursuant to section 51511.5(d).
(d) Included within the subacute care per diem rate are all services, equipment and supplies necessary for the administration of the treatment procedures listed in the patient care criteria including but not limited to:
(1) Oxygen and all equipment necessary for administration including positive pressure apparatus.
(2) Ventilators, including calibration and maintenance.
(3) Feeding pumps and equipment necessary for tube feedings, including formula.
(4) Speech therapy.
(5) Occupational therapy.
(6) Physical therapy.
(7) Equipment and supplies necessary for the care of a tracheostomy.
(8) Lab, X-ray and transportation services.
(9) Equipment and supplies for continuous IV therapy.
(10) Equipment and supplies necessary for debridement, packing and medicated irrigation with or without whirlpool treatment.
(e) For purposes of this section, the rate year is August 1, 2003 through July 31, 2004.
(f)(1) The facility's projected costs for purposes of section (a) shall be based on the audit report findings of cost reports with fiscal periods ending January 1, 2000 through December 31, 2000. In the event that a facility's audit report finding does not include subacute ancillary costs, the facility's projected ancillary costs will be based on the median of the subacute ancillary costs of facilities that had audited ancillary costs.
(2) If the audit of a cost report as described in subsection (f)(1) is not issued by July 1, 2003, the Department shall establish the facility's interim costs based on the cost report with a fiscal period ending January 1, 2000 through December 31, 2000, adjusted by an audit disallowance factor of .96101.
(3) The Department will use the facility's interim costs as the facility's projected costs for purposes of subsection (a). In addition, facilities that did not provide subacute care services to Medi-Cal patients during the cost report period, facilities that combine subacute and distinct part nursing facility Level B costs, and/or facilities with less than a full year's reported cost shall not be included for purposes of establishing the projected class median costs.
(4) If the facility's interim costs, as specified in subsection (f)(2), are established for a facility when the audit report is issued or when the cost report is deemed true and correct under Welfare and Institutions Code Section 14170(a)(1), the Department shall adjust the facility's reimbursement rate retroactively to August 1, 2003 to reflect the facility's costs determined pursuant to such an audit, or to reflect the costs in the cost report in the event that the cost report is deemed true and correct.
(5) Interest will accrue from August 1, 2003 and be payable on any underpayment or overpayment resulting from the application of subsection (f)(4) at a rate equal to the monthly average received on investment in the Surplus Money Investment Fund (as referenced in Welfare and Institutions Code Section 14171) during the month the audit report is issued.
(6) If a provider appeals an audit adjustment pursuant to Welfare & Institutions Code Section 14171, and there is a determination that the audit findings inaccurately reflect the audited facility's projected costs, the provider shall be entitled to seek a retroactive adjustment in its reimbursement rate but the resulting reimbursement rate shall not exceed the prospective rate of reimbursement as provided in subsection (a).
(g) Payment under subsection (a) shall only be made for services authorized pursuant to conditions set forth in Section 51335.5 for patients determined to need subacute care services.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14132.25, Welfare and Institutions Code; and Statutes of 2003, Chapter 157, Items 4260-101-0001 and 4260-101-0890.
HISTORY

1. Certificate of Compliance as to 10-27-88 order including amendment of subsection (d) transmitted to OAL 2-24-89 and filed 3-27-89 (Register 89,  No. 13). For prior history, see Register 89, No. 1.
2. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89.
3. Certificate of Compliance transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
4. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a) and heading filed as an emergency 3-14-91; operative 3-14-91 (Register 91, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-12-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-10-90 order transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
7. Amendment of subsection (c) and repealer of subsections (e) and (f) filed 5-21-91 as an emergency pursuant to Statutes of 1990, chapter 456, section 36, p. 1658-1659; operative 5-22-91 (Register 91, No. 27). A Certificate of Compliance must be transmitted to OAL by 9-19-91 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-14-91 order transmitted to OAL 7-11-91 and filed 8-9-91 (Register 91, No. 50).
9. Amendment of subsection (a) and Note filed 8-12-91 as an emergency; operative 8-12-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 12-10-91 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 8-12-91 order transmitted to OAL 12-9-91 and filed 1-2-92 (Register 92, No. 18).
11. Amendment of subsection (c) refiled 1-23-92 as an emergency; operative 1-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 5-22-92 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 1-23-92 order transmitted to OAL 5-22-92 and filed 7-6-92 (Register 92, No. 28).
13. Amendment of subsection (a) and Note filed 12-3-92 as an emergency; operative 12-3-92 (Register 92, No. 49). A Certificate of Compliance must be transmitted to OAL 4-2-93 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-3-92 order transmitted to OAL 4-2-93 and filed 5-14-93 (Register 93, No. 20).
15. Amendment of subsection (a) and Note filed 8-24-93 as an emergency; operative 8-24-93 (Register 93, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-22-93 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsection (a) and Note refiled 12-20-93 as an emergency; operative 12-20-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-21-94 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 12-20-93 order transmitted to OAL 3-22-94 and filed 4-28-94 (Register 94, No. 17).
18. Amendment of subsection (a), new subsections (e)-(l) and amendment of Note filed 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
19. Editorial correction of History 18 (Register 96, No. 6).
20. Amendment of subsection (a), new subsections (e)-(l) and amendment of Note refiled 2-5-96 as an emergency; operative 2-5-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-6-96 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 2-5-96 order transmitted to OAL 6-4-96 and filed 7-12-96 (Register 96, No. 28).
22. Amendment of subsections (a), (e)-(g) and (i)-(j) and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
23. Certificate of Compliance as to 9-19-96 order transmitted to OAL 1-17-97 and filed 3-3-97 (Register 97, No. 10).
24. Amendment of subsections (a), (f)-(g) and (i)-(j) and amendment of Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
25. Editorial correction of subsection (f) designator and History 24 (Register 98, No. 24).
26. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
27. Amendment of subsections (a), (e), (g) and (i)-(k) and amendment of Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
28. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
29. Amendment of subsections (a), (e), (g), (i) and (j) and amendment of Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
30. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
31. Amendment of subsections (a), (e), (f)-(g), (i) and (j) and amendment of Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
32. Certificate of Compliance as to 11-17-2000 order, including further amendments, transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
33. Amendment of subsections (a), (e)-(g), (i) and (j) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
34. Amendment of subsections (a), (e)-(g), (i) and (j) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
35. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
36. Amendment of section and Note filed 8-24-2005 as a deemed emergency pursuant to Welfare and Institutions Code section 14105(a); operative 8-24-2005 for dates of service 8-1-2002 through 7-31-2003 pursuant to Statutes of 2002, Chapter 379, Items 4260-101-0001 and 4260-101-0890  (Register 2005, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-2005 or emergency language will be repealed by operation of law on the following day.
37. Certificate of Compliance as to 8-24-2005 order transmitted to OAL 12-22-2005 and filed 1-23-2006 (Register 2006, No. 4).
38. Amendment of subsections (a)(1), (a)(2)(A), (e)-(f)(5) and (g) and amendment of Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
39. Certificate of Compliance as to 6-24-2010 order, including further amendment of subsections (a)(1), (f)(1) and (f)(6), transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§51511.6. Nursing Facility Services--Pediatric Subacute Care Reimbursement.
Note     •     History

(a) The per diem rates of reimbursement for pediatric subacute services as defined in Section 51335.6(a) shall be as follows:

Licensure	Type of Patient	Rate of 
		Reimbursement

Hospital-Based	Ventilator Dependent	$719.71

Hospital-Based	Non-Ventilator Dependent	$660.52

Freestanding	Ventilator Dependent	$673.08

Freestanding	Non-Ventilator Dependent	$613.89

(b) The per diem rate of reimbursement for supplemental rehabilitation therapy services shall be $43.13. This rate shall include payment for physical therapy, occupational therapy and speech therapy services provided in accordance with Section 51215.10(i) through (m).
(c) The per diem rate of reimbursement for ventilator weaning services shall be $40.21. This rate shall include respiratory care practitioner and nursing care services provided in accordance with Section 51215.11.
(d) Payment to nursing facilities with pediatric subacute units for patients on bedhold receiving acute services shall be in accordance with Section 51535.1(d).
(e) The provisions of Section 51511 shall apply to pediatric subacute units except for Section 51511(a). Section 51511(c) shall apply to pediatric subacute units except as provided for in 51511.6(f).
(f) The pediatric subacute per diem rate includes the following:
(1) Equipment and supplies necessary for continuous intravenous therapy;
(2) Oxygen and all equipment necessary for administration including positive pressure apparatus;
(3) Ventilators, including calibration and maintenance;
(4) Registered Dietician consultant services;
(5) Respiratory therapy services;
(6) Physical, occupational and speech therapy services, as specified in Section 51215.10(h);
(7) Developmental services;
(8) Service Coordinator activities.
(9) Portable x-ray services when provided by freestanding providers.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section  14132.25, Welfare and Institutions Code; and Statutes of 2003, Chapter 157, Items 4260-101-0001 and 4260-101-0890.
HISTORY

1. New section filed 4-13-94 as an emergency; operative 4-1-94. Emergency adoption submitted to OAL for printing only pursuant to section 4, AB 36 (chapter 1030, Statutes of 1993) (Register 94, No. 15).
2. Certificate of Compliance as to 4-13-94 order including amendment of section transmitted to OAL 9-26-94 and filed 10-20-94 (Register 94, No. 42).
3. Editorial correction of subsection (d)(3) and History 1 and 2 (Register 95, No. 14).
4. Amendment of subsection (a) and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 9-19-96 order transmitted to OAL 1-17-97 and filed 3-3-97 (Register 97, No. 10).
6. Amendment of section and Note filed 6-30-97 as an emergency; operative 6-30-97 (Register 97, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-30-97 order transmitted to OAL 10-22-97 and filed 11-26-97 (Register 97, No. 48).
8. Amendment of subsections (a)-(c) and amendment of Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
9. Editorial correction of History 8 (Register 98, No. 24).
10. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
11. Amendment of subsections (a)-(c) and amendment of Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
13. Amendment of subsections (a)-(c) and amendment of Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
15. Amendment of subsections (a)-(c) and amendment of Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
17. Amendment of subsections (a)-(c), new subsection (f)(9) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
18. Amendment of subsections (a)-(c), new subsection (f)(9) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
20. Amendment of subsections (a)-(c) and amendment of Note filed 8-24-2005 as a deemed emergency pursuant to Welfare and Institutions Code section 14105(a); operative 8-24-2005 for dates of service 8-1-2002 through 7-31-2003 pursuant to Statutes of 2002, Chapter 379, Items 4260-101-0001 and 4260-101-0890  (Register 2005, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-2005 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 8-24-2005 order transmitted to OAL 12-22-2005 and filed 1-23-2006 (Register 2006, No. 4).
22. Amendment of subsections (a)-(c) and amendment of Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
23. Certificate of Compliance as to 6-24-2010 order transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§51512. Certified Outpatient Rehabilitation Centers.
History

Reimbursement for services rendered by certified outpatient rehabilitation centers is limited to the maximum allowances and other provisions contained in Section 51509.
HISTORY

1. New section filed 1-22-71; designated effective 3-1-71 (Register 71, No. 4).
§51513. Pharmaceutical Services and Prescribed Drugs.
Note     •     History

(a) Definitions. The following definitions and definitions pursuant to Welfare and Institutions Code, Section 14105.45 shall be applicable to this section.
(1) Average Wholesale Price (AWP) means the price for a drug product listed for a standard package in the Department's primary price reference source. The selection of the primary price reference source shall be based upon an evaluation of the various price reference sources available in relation to the following criteria:
(A) Accuracy and currentness of prices.
(B) Comprehensiveness of data base.
(C) Capability to meet the needs of the Department's fiscal intermediary.
The primary price reference source will be the price reference source that, in the judgment of the Director, best meets the criteria specified above. 
(2) A Standard Package means 100s, pints or pounds, if commercially available; or the commercially available size that is next above 100s, pints or pounds; or, in the case of larger quantities, that size which is closest to the quantity dispensed; or, in the case of conventional dispensing units, the unit dispensed; or, in those cases in which the only commercially available sizes are less than 100s, pints or pounds, the package closest to the amount dispensed. Where the most frequently purchased size differs from the above limits, a standard package shall mean that package size determined by the Director to be the size most frequently purchased by providers, and designated with a “++” on the Medi-Cal List of Contract Drugs. The National Drug Code (NDC) of the Package from which the drug is dispensed shall be used when billing Medi-Cal. Payment for the drug dispensed is based on a  standard package as defined in this subsection.
(b) Payment for Legend and Nonlegend Drugs.
(1) Payment for legend and nonlegend drugs dispensed by licensed pharmacists in compliance with Section 51313 shall be in accordance with Welfare and Institutions Code, Section 14105.45. Payments for legend and nonlegend drugs dispensed by a clinic with a special permit pursuant to Business and Professions Code, Section 4063, and provided in compliance with Section 51313 shall consist of the cost of the legend or nonlegend drugs.
(A) The price charged to the program shall not exceed that charged to the general public.
(B) The pharmacist or the clinic with a special permit, to the extent permitted by law, shall dispense the lowest cost drug product within the generically equivalent drugs that the pharmacy or clinic with a special permit has in stock which meets the medical needs of the beneficiary.
(2) Payment to a pharmacy for both the professional fee component and the ingredient cost component for legend and nonlegend drugs listed in the Medi-Cal List of Contract Drugs and preceded by “#” shall be limited to drugs dispensed in minimum quantities of 100 dosage units. Payment to a pharmacy for less than 100 dosage units for legend and nonlegend drugs listed in the Medi-Cal List of Contract Drugs and preceded by “#” shall be for the ingredient cost only. One hundred

dosage units means 100 tablets or capsules. Exceptions to this requirement shall be:
(A) The initial prescription for the generically equivalent drugs for the beneficiary.
(B) Those prescriptions for which prior authorization is obtained from a Medi-Cal consultant.
(C) Those prescriptions for skilled nursing facility or intermediate care facility inpatients; however, such prescriptions shall be subject to the requirements of subsection (b)(3).
(3) Payment to a pharmacy for both the professional fee component and the ingredient cost component of claims for dispensing legend and nonlegend drugs listed in the Medi-Cal List of Contract Drugs and preceded by “+” shall be limited to a maximum of three such payments in any 75-day period when the same generically equivalent drugs is provided to the same beneficiary. Payment to a pharmacy for more than three such claims in any 75-day period shall be limited to the ingredient cost only. Exceptions to this requirement shall be:
(A) The initial prescription for the generically equivalent drug for the beneficiary.
(B) Those prescriptions for which prior authorization is obtained from a Medi-Cal consultant.
(C) Any drug dispensed in a quantity of 180 or more tablets or capsules.
(4) Payment to a pharmacy for oral contraceptive legend drugs listed in Part 1 of the Medi-Cal List of Contract Drugs shall be limited to a minimum quantity of three cycles. Payment to a pharmacy for less than a quantity of three cycles shall be for the ingredient cost only. Exceptions to this requirement shall be:
(A) The initial prescription for the legend generically equivalent drugs for the beneficiary.
(B) Those prescriptions for which prior authorization is obtained from a Medi-Cal consultant.
(5) Payment to a pharmacy for both the professional fee component and the ingredient cost component for theophylline liquid or for liquid potassium supplement legend drugs listed in Part 1 of the Medi-Cal List of Contract Drugs shall be limited to a minimum quantity of 480 cc. Payment to a pharmacy for less than a quantity of 480 cc shall be for the ingredient cost only. Exceptions to this requirement shall be:
(A) The initial prescription for the legend generically equivalent drug for the beneficiary.
(B) Those prescriptions for which prior authorization is obtained from a Medi-Cal consultant.
(c) Fee for Service. Charges for extemporaneously compounded prescriptions shall be allowed according to the following schedule:

Capsules and Papers
	6-36		$1.98
	37-100		3.95
Ointments
	up to 180 Gm		1.64
	180 Gm and over		3.29
Suppositories
	up to 24		3.29
	24 and over		5.76
Sterile Eye Preparations
	All		2.04
Nose and Ear Preparations
	All		0.81
Emulsions
	up to 240cc		0.81
	240cc and over		1.64
Liquids other than simple pouring or reconstituting
	All		0.99
(d) Fee for Partial Prescription Refills. The fee for a partial prescription refilled in accordance with Business and Professions Code Section 4229.5 or Health and Safety Code Section 11201 shall be the fee amount allowed for refill of the full prescription quantity multiplied by the percent of the full prescription quantity finally refilled. The total of the fees for partial refills of such prescription shall not exceed the fee for the same prescription when refilled as a routine service. The claim for the completed service, signed by the provider, shall reflect such fee determination.
(e) Drugs Administered for Chronic Outpatient Hemodialysis. Drugs administered for chronic outpatient hemodialysis in renal dialysis centers and community hemodialysis units are payable only when included in the all inclusive rate set forth in Section 51509.2.
NOTE

Authority cited: Sections 20 and 208, Health and Safety Code; and Sections 10725, 14105, 14105.7 and 14124.5, Welfare and Institutions Code. Reference: Section 4211, Business and Professions Code; Sections 14105, 14105.7, 14105.35, 14105.45, 14132, 14133 and 14133.1, Welfare and Institutions Code; Fiscal Year 1989-90 Budget Act (Chapter 93, Statutes of 1989); 42 U.S.C. Section 1396a(a)(30)(A); and 42 C.F.R. Sections 447.301, 447.302, 447.304, 447.331, 447.332, 447.333 and 447.334.
HISTORY

1. Amendment of subsection (d) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Registers 83, No. 34; and 82, No. 49.
2. Amendment of subsections (a), (a)(10), (a)(12) and (a)(13) filed 10-3-84; effective thirtieth day thereafter (Register 84, No. 40).
3. Certificate of Compliance as to 8-1-84 order transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
4. Amendment of subsection (d) filed 1-31-85 as an emergency; designated effective 2-1-85 (Register 85, No. 5). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-1-85.
5. Certificate of Compliance transmitted to OAL 5-23-85 and filed 6-24-85 (Register 85, No. 26).
6. Amendment of subsection (d) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
7. Relettering of subsections (d)-(f) to subsections (e)-(g) and new subsection (d) filed 9-16-85 as an emergency; effective upon filing (Register 85, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-14-86.
8. Certificate of Compliance as to 8-1-85 order transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
9. Certificate of Compliance as to 9-16-85 order transmitted to OAL 1-2-86 and filed 2-3-86 (Register 86, No. 7).
10. Amendment of subsections (a)(9), (a)(13), (b)(4) and (b)(5) filed 7-28-86; designated effective 9-1-86 (Register 86, No. 31).
11. Amendment of subsection (a)(13) filed 6-10-87; operative 7-10-87 (Register 87, No. 25).
12. Amendment of subsections (a)(12)-(14) filed 10-27-87 as an emergency; operative 10-29-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-26-88.
13. Certificate of Compliance transmitted to OAL 2-24-88 and filed 3-25-88 (Register 88, No. 14).
14. Amendment of subsection (a)(8) filed 9-14-89 as an emergency; operative 10-16-89 (Register 89, No. 38). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-13-90.
15. Amendment of subsection (a)(8) refiled 2-13-90 as an emergency; operative 2-13-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-13-90.
16. Certificate of Compliance as to 2-13-90 order transmitted to OAL 6-8-90 and disapproved 7-9-90 (Register 90, No. 34).
17. Amendment of subsection (a)(8) refiled 7-12-90 as an emergency; operative 7-12-90 (Register 90, No. 34). A Certificate of Compliance must be transmitted to OAL by 11-9-90 or emergency language will be repealed by operation of law on the following day.
18. Amendment of subsection (a)(8) refiled 11-16-90 as an emergency; operative 11-16-90 (Register 90, No. 52). A Certificate of Compliance must be transmitted to OAL by 3-18-91 or emergency language will be repealed by operation of law on the following day.
19. Amendment of subsections (a) and (e), and Note filed 3-22-91; operative 4-21-91 (Register 91, No. 15).
20. Certificate of Compliance as to 11-16-90 order including amendment of NOTE transmitted to OAL 3-12-91 and filed 4-11-91 (Register 91, No. 17).
21. Amendment of subsections (a), (b), (c) and (d) and repealer of subsections (e) and (f) filed 5-22-91 as an emergency pursuant to Statutes of 1990, chapter 456, section 36, p. 1658-1659; operative 5-22-91 (Register 91, No. 27). A Certificate of Compliance must be transmitted to OAL by 9-19-91 or emergency language will be repealed by operation of law on the following day.
22. Amendment of subsections (a), (b), (c) and (d) refiled 9-19-91 as an emergency; operative 9-20-91 (Register 92, No. 4). A Certificate of Compliance must be transmitted to OAL 1-20-92 or emergency language will be repealed by operation of law on the following day.
23. Amendment of subsections (a), (b), (c) and (d) refiled 1-23-92 as an emergency; operative 1-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 5-22-92 or emergency language will be repealed by operation of law on the following day.
24. Certificate of Compliance as to 1-23-92 order including amendment of subsections (a)(2), (a)(10)-(11), (a)(13)-(14) and (d)(2) and Note transmitted to OAL 5-22-92 and filed 7-6-92 (Register 92, No. 28).
25. Amendment of subsections (b)(1), (b)(1)(B), (c) and (d)(1) and Note filed 1-6-94; operative 2-7-94 (Register 94, No. 1).
26. Amendment of subsections (a)(1)-(3), (a)(5), (a)(10)-(12), (b)-(b)(1), (b)(1)(B)-(b)(2)(A), (b)(3)-(b)(3)(A), (b)(4)-(b)(4)(A), (b)(5)-(b)(5)(A) and (c), repealer of subsections (a)(6)-(7) and (a)(17) filed 1-9-95; operative 3-1-95 (Register 95, No. 2).
27. Change without regulatory effect renumbering subsections filed 4-26-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 17).
28. Change without regulatory effect amending section and Note filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations except for subsection (a)(3) removing the definition of “drug product,” a change that is exempt from review by OAL pursuant to Welfare and Institutions Code section 14105.45(f) (Register 2009, No. 5).
29. Editorial correction of History 28 (Register 2009, No. 11).
§51513.1. Average Wholesale Price (AWP). [Repealed]
History

HISTORY

1. Repealer and new section filed 8-1-73 as an emergency; designated effective 8-10-73 (Register 73, No. 31). For prior history, see Register 72, No. 5.
2. Repealer filed 12-6-73 as an emergency; designated effective 12-6-73 (Register 73, No. 49).
3. Certificate of Compliance filed 4-3-74 (Register 74, No. 14).
§51513.2. Establishment of Maximum Allowable Ingredient Cost. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14105.7, 14107, 14124.1, 14132, 14133, and 14184, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (e) and (f) filed 2-4-77; effective thirtieth day thereafter (Register 77, No. 6). For prior history, see Register 74, No. 18.
2. Amendment of subsection (e) filed 8-31-79; effective thirtieth day thereafter (Register 79, No. 35).
3. New subsection (j) filed 10-3-84; effective thirtieth day thereafter (Register 84, No. 40).
4. Repealer filed 5-22-91 as an emergency pursuant to Statutes of 1990, chapter 456, section 36, p. 1658-1659; operative 5-22-91 (Register 91, No. 27). A Certificate of Compliance must be transmitted to OAL by 9-19-91 or emergency language will be repealed by operation of law on the following day.
5. Repealer of section refiled 9-19-91 as an emergency; operative 9-20-91 (Register 92, No. 4). A Certificate of Compliance must be transmitted to OAL 1-20-92 or emergency language will be repealed on the following day.
6. Repealer of section refiled 1-23-92 as an emergency; operative 1-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 5-22-92 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-23-92 order transmitted to OAL 5-22-92 and filed 7-6-92 (Register 92, No. 28).
8. Editorial correction of printing error in History 6. (Register 92, No. 28).
§51513.3. Maximum Allowable Ingredient Cost. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14053, 14105, 14105.7, 14132 and 14133, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982.
HISTORY

1. Amendment of subsection (b) filed 9-5-89; operative 10-1-89 (Register 89, No. 36). For prior history, see Register 88, No. 49.
2. Amendment of subsection (b) filed 11-29-89 as an emergency; operative 11-29-89 (Register 89, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-29-90.
3. Certificate of Compliance as to 11-29-89 order deleting Triamterene with hydrochlorothiazide capsules transmitted to OAL 3-21-90 and filed 3-22-90 (Register 90, No. 16).
4. Repealer filed 5-22-91; operative 5-22-91 (Register 91, No. 27). This repealer is not subject to the Administrative Procedure Act and is exempt from review by OAL pursuant to Welfare and Institutions Code section 14105.45 (Stats. 1990, ch. 457, section 17, p. 1670-1671).
5. Repealer of section refiled 9-19-91 as an emergency; operative 9-20-91 (Register 92, No. 4). A Certificate of Compliance must be transmitted to OAL 1-20-92 or emergency language will be repealed on the following day.
6. Repealer of section refiled 1-23-92 as an emergency; operative 1-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 5-22-92 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-23-92 order transmitted to OAL 5-22-92 and filed 7-6-92 (Register 92, No. 28).
8. Editorial correction of printing error in History 6. (Register 92, No. 28).
§51513.4. Maximum Allowable Cost. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14105, and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 7-10-81; effective thirtieth day thereafter (Register 81, No. 28). For prior history, see Register 81, No. 18.
2. Amendment of subsection (b) filed 12-31-81 as an emergency; designated effective 1-1-82 (Register 82, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-1-82.
3. Amendment of subsection (b) filed 1-22-82; designated effective 3-1-82 (Register 82, No. 4).
4. Repealer filed 2-2-82; effective thirtieth day thereafter (Register 82, No. 6).
5. Certificate of Compliance as to 12-31-81 order filed 4-23-82 (Register 82, No. 17).
§51513.5. Estimated Acquisition Cost. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14105, 14107, 14124.1, 14132, and 14133, Welfare and Institutions Code.
HISTORY

1. New section filed 2-4-77; effective thirtieth day thereafter (Register 77, No. 6).
2. Amendment filed 8-7-78; effective thirtieth day thereafter (Register 78, No. 32).
3. Amendment filed 8-31-79; effective thirtieth day thereafter (Register 79, No. 35).
4. Amendment of subsection (b) filed 4-25-80; effective thirtieth day thereafter (Register 80, No. 17).
5. Certificate of Compliance transmitted to OAL 11-28-80 and filed 12-24-80 (Register 80, No. 52).
6. Amendment of subsections (a) and (b), and Note filed 3-22-91; operative 4-21-91 (Register 91, No. 15).
7. Editorial correction adding subsection (b) identifier (Register 91, No. 23).
8. Change without regulatory effect repealing section filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§51513.6. Prudent Purchase of Drugs Program.
Note     •     History

(a) Prudent Purchase of Drugs is the designated name of the mechanism through which the Department shall solicit competitive bids or negotiate prices and enter into contracts with principal labelers for generic drug type codes in order to obtain refunds, rebates, guaranteed prices or any other form of preferential price under the Medi-Cal program. The acceptance of a bid or the mutual agreement on a negotiated price followed by the awarding and approval of a contract with a principal labeler to supply a specific drug product shall constitute the identification of a State-designated drug product under the provisions of this Section.
(b) Under the Prudent Purchase of Drugs Program, the Department may:
(1) Review all generic drug type codes marketed, at least annually.
(2) Select those generic drug type codes which represent substantial drug product usage or expenditures under the Medi-Cal program.
(3) For each generic drug type code selected for inclusion under a rebate, discount or guaranteed price contract, (1) negotiate a contract or (2) solicit competitive price bids for multisource drugs in conformance with terms and conditions established by the Invitation for Bid. Prior to accepting any bid or negotiated price, the Department will seek information from the Federal Food and Drug Administration regarding potential drug product bioequivalency, supply or other related problems.
(A) Negotiated contracts may be entered into for drug products marketed under an existing and valid U.S. patent or in those instances where the Department has received an insufficient number of acceptable bidders.
(4) Award a contract to one or more principal labeler(s) to supply the State-designated drug product based on negotiations or on the lowest bid(s) which meet(s) the terms and conditions of the State's solicitation for bid. Terms and conditions for either negotiated or competitively bid contracts shall include, but not be limited to the following:
(A) Acceptable quality, which means:
1. All drug products offered shall be manufactured or compounded, processed, packaged, labeled, and handled in accordance with the provisions of applicable federal and state law.
2. All drug products offered shall conform to standards, where applicable, of the current United States Pharmacopoeia (USP) or National Formulary (NF), including supplements or revisions.
3. The drug product shall be pharmaceutically elegant, i.e., neatly labeled, free of chips, pittings, dye spots, foreign matter, and other defects.
4. All United States Drug Enforcement Agency (DEA) Schedule II-IV products shall comply with the Health and Safety Code Section 11919.
5. All multisource drugs products (except those drugs introduced to the U.S. market prior to 1938 or for which the United States Food and Drug Administration has not chosen to issue ratings) shall have an “AA” or “AB” bioequivalency rating for solid oral dosage forms, or an “A” rating for all other dosage forms, from the FDA in its most recent edition of Approved Prescription Drug Products.
(B) Availability, which means that the State-designated drug product shall be available throughout the State to outpatient pharmacies through usual and customary distribution channels in sufficient quantities to meet the needs of the Medi-Cal program.
(C) Conformity with usual and customary distribution channels, which means the use of drug wholesalers or direct orders from principal labelers or any comparable combination or arrangement thereof.
(D) Product liability insurance, the terms of which shall indemnify the State of California, its officers, agents and employees for any liability arising out of a claim when such drug product is dispensed under the Medi-Cal program in accordance with California pharmacy laws, rules and regulations and current professional standards and practices.
(E) An initial contract term of not less than 12 months, subject to the Department's right to terminate the contract. Subsequent contracts may be awarded through solicitation of competitive bids, an extension of the initial competitively bid contract not to exceed 6 months or a renegotiation of contracts for drug products under a U.S. patent.
(c) At least 90 days prior to the implementation date of the contract, the Department shall notify prescribers, dispensers, and drug wholesale organizations through provider bulletins or other means of the establishment of a State-designated drug type code, of the principal labelers with whom the Department has contracted for supply of same, and of the implementation date.
(d) (Reserved)
(e) (Reserved)
(f) The pharmacist or clinic with a special permit shall:
(1) To the extent required by law, dispense the State-designated product. Payment to a pharmacy or clinic with a special permit for other than the State-designated product shall only be for those prescriptions for which prior authorization is obtained from a Medi-Cal consultant pursuant to Section 51003 of this Title and subsection (g), below.
(2) Maintain prescriptions and invoices for purchases of State-designated drug products in accordance with Section 51476 for the purposes of audit by the Department.
(3) Provide the Department upon its request, information on the quantities of each State-designated drug product on hand in the pharmacy or clinic with a special permit as of the effective date of implementation of the contract for such product(s) within 10 calendar days of such date. The Department shall provide forms upon which this information shall be reported.
(g) Prior authorization shall be granted by the Department only in the following situations:
(1) Where the clinical condition of the beneficiary requires the use of a drug product other than the State-designated drug product, only upon fully documented evidence of medical necessity from the provider.
(2) Upon the request of a pharmacy or a clinic with a special permit, when the pharmacy or clinic with a special permit has ordered the State-designated drug product from the principal labeler(s) or from all drug wholesalers serving the area of the pharmacy or clinic with a special permit, as determined by the Department, and is unable to obtain the drug product within 48 hours excluding Saturdays, Sundays and holidays.
(h) The Department may assess penalties against a contractor for failure to meet the terms and conditions set forth in the contract. These penalties may include but are not limited to:
(1) Termination of the contract;
(2) Forfeiture of the performance bond;
(3) Other fines and penalties as set forth in the contract.
(i) The Department shall conduct onsite survey reviews of pharmacy and clinic with special permit records to determine the accuracy of data reported to the Department concerning drugs dispensed that are subject to the Prudent Purchase of Drugs program. The Department shall determine from such records whether prescription data submitted to the Department supports the utilization figures used in the preparation of invoices submitted to contractors under the Prudent Purchase of Drugs program. When discrepancies are identified, the Department shall determine the extent to which prior invoices need to be adjusted in order to depict the amount due to the State by the contractors more accurately. Any adjustment calculated in compliance with this requirement shall be applied as an offset to the next scheduled invoices to the contractor(s).
(j) The Department may use a probability sample in auditing pharmacies or clinics with special permits to determine the potential amount of overcharges received by the Department from contractors under the Prudent Purchase of Drugs program. When a probability sample is used to determine the amount of overcharge for the universe from which the sample was drawn, an appropriate and commonly accepted statistical procedure, such as the ratio of means estimator, shall be used to calculate the audit findings. If a probability sample is used to determine the amount of potential overcharges, failure to execute the probability sampling according to accepted statistical procedures will invalidate expansion to the universe sampled.
(1) Whenever a probability sampling method is used to determine the amount of potential overcharge received by the Department, the invoice adjustments to contractors under the Prudent Purchase of Drug program shall be accompanied by a clear statement of:
(A) The specification of the universe that was sampled.
(B) The sample size and method of selecting the sample.
(C) The formulas and calculation procedures used to determine the overcharged amount(s).
(D) The confidence level used to evaluate the precision of the audit findings.
NOTE

Authority cited: Section 14124.5, Welfare and Institutions Code; and Section 208, Health and Safety Code. Reference: Sections 14105.3 and 14132, Welfare and Institutions Code; and Section 4063, Business and Professions Code.
HISTORY

1. New section filed 6-1-83 as an emergency; effective upon filing (Register 83, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-29-83.
2. Amendment of subsection (b), renumbering and amendment of subsection (e) to subsection (f), renumbering of subsections (f) and (g) to subsections (g) and (h), and new subsections (e), (i) and (j) filed 9-29-83 as an emergency; designated effective 9-29-83 (Register 83, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-27-84.
3. Certificate of Compliance as to 6-1-83 order transmitted to OAL 9-29-83; corrected Certificate of Compliance (subsections (a), (c) and (d) only) transmitted to OAL 10-31-83 and filed 10-31-83 and refiled 11-1-83 with original Certificate of Compliance (Register 83, No. 44).
4. Order of Repeal of 6-1-83 emergency order (subsection (d) only) filed 10-31-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 44).
5. Reinstatement of section as it existed prior to emergency amendment filed 9-29-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 13).
6. Amendment filed 6-29-84; effective thirtieth day thereafter (Register 84, No. 26).
7. Amendment of subsections (f), (f)(3), (g)(2), (i) and (j) and Note filed 1-6-94; operative 2-7-94 (Register 94, No. 1).
§51514. Chiropractic Services.
Note     •     History

Reimbursement for chiropractic services shall be the usual charges made to the general public not to exceed the following maximum reimbursement rates:

Procedure	Maximum
 Code	Allowance

98940	Manipulation of spine by chiropractor,
one to two regions	 $16.72

98941	Manipulation of spine by chiropractor,
three to four regions	 $16.72

98942	Manipulation of spine by chiropractor,
five regions	 $16.72

X1200	Home visits (where required and made between
11 p.m. and 8 a.m.) -- add	 10.53
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, Welfare and Institutions Code; Statutes of 1982, Chapter 1594, Section 77; Statutes of 1983, Chapter 323, Section 149; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1984, Chapter 268, Section 66; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. Amendment of subsection (a) filed 7-30-82 as an emergency; designated effective 8-1-82 (Register 82, No. 33). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-82. For prior history, see Register 81, No. 52.
2. Certificate of Compliance as to 7-30-82 order transmitted to OAL 11-26-82 and filed 12-27-82 (Register 82, No. 52).
3. Amendment of subsection (a) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84.
4. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
5. Amendment filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
6. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
7. Amendment filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 9-25-92 order including amendment of section transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
9. Editorial correction of printing error in Procedure Code X1200 (Register 94, No. 24).
10. Amendment filed 7-21-98 as an emergency; operative 7-27-98 (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-98 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction of History 10 (Register 99, No. 2).
12. Certificate of Compliance as to 7-21-98 order transmitted to OAL 11-23-98 and filed 1-7-99 (Register 99, No. 2).
13. Amendment filed 7-6-2000; operative 7-6-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 27).
14. Redesignation and amendment of section as subsection (a), new subsection (b) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
15. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (a) designator and subsection (b), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51514.5. Acupuncture Services.
Note     •     History

Reimbursement for acupuncture services shall be the usual charges made to the general public not to exceed the maximum reimbursement rates listed in this section.

Procedure Code		Maximum Allowance

  Z4800	First Visit	$27.03
  Z4802	Subsequent Visits	$16.22
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code; Statutes of 1982, Chapter 1594, Section 77; Statutes of 1983, Chapter 323, Section 149; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1984, Chapter 268, Section 66; and Statutes of 1985, Chapter 111, Items 4260-106-001 and 890.
HISTORY

1. Amendment filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 82, No. 52.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Amendment of section and Note filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
§51515. Reimbursement for Prosthetic and Orthotic Appliances and Repairs. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14021.3, 14021.5, 14043.75, 14105, 14105.2, 14105.21 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14103.7, 14105 and 14105.2, Welfare and Institutions Code; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; and Statutes of 1985, Chapter 111, Items 4260-106-001 and 890.
HISTORY

1. Amendment of subsections (c) and (e) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 83, No. 15.
2. Certificate of Compliance including amendment of subsections (c) and (e) transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment of subsections (c) and (e) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Certificate of Compliance including amendment of subsection (c) transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Amendment of subsections (b), (c)(1), (c)(3), (c)(6), (d)(6) and (e) filed 7-2-87; operative 8-1-87 (Register 87, No. 28).
6. Repealer and new section filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 9-25-92 order including amendment of subsections (c) and (e) transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
8. New subsection (c)(2) L1844 filed 9-29-93 as an emergency; operative 9-29-93 (Register 93, No. 40).  A Certificate of Compliance must be transmitted to OAL 1-27-94 or emergency language will be repealed by operation of law on the following day.
9. Editorial correction amending History 8 (Register 93, No. 46).
10. Certificate of Compliance as to 9-29-93 order transmitted to OAL 10-29-93 and filed 11-8-93 (Register 93, No. 46).
11. Amendment of subsections (c) and (e) filed 11-28-94 as an emergency; operative 11-28-94 (Register 94, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-28-95 or emergency language will be repealed by operation of law on the following day.
12. Editorial correction of History 11 (Register 95, No. 18).
13. Certificate of Compliance as to 11-28-94 order transmitted to OAL 3-23-95 and filed 5-4-95; effective 5-4-95 except for L1685 which was disapproved and no longer in effect as of 5-4-95 (Register 95, No. 18).
14. Amendment of subsection (e)(2) adding L1685 filed 5-5-95 as an emergency; operative 5-5-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-4-95 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 5-5-95 order transmitted to OAL 5-31-95 and filed 6-30-95 (Register 95, No. 26).
16. Amendment of subsections (c)(2)-(4), (e)(1), and (e)(4)-(5) filed 8-2-95 as an emergency; operative 8-2-95 (Register 95, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-95 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 8-2-95 order transmitted to OAL 11-22-95 and filed 1-3-96 (Register 96, No. 1).
18. Amendment of subsections (c)(1) [L0210, L0500, L0510 and L1000], (c)(2) [L1885, L1902, L2850 and L2860], (c)(4) [L3660, L3890 and L3985], (e)(1) [L5500-L5590, L5600, L5617, L5654, L5845-L5846, L5930, L5985] and (e)(6) [L8614-L8619] filed 7-29-96 as an emergency; operative 7-29-96 (Register 96, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-26-96 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 7-29-96 order transmitted to OAL 11-7-96 and filed 12-23-96 (Register 96, No. 52).
20. Amendment filed 7-28-97 as an emergency; operative 7-28-97 (Register 97, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-25-97 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 7-28-97 order transmitted to OAL 11-19-97 and filed 1-6-98 (Register 98, No. 2).
22. Amendment of subsection (d)(4), repealer of subsections (d)(5)-(d)(5)(B) and amendment of subsection (e)(3) filed 3-9-98; operative 4-8-98 (Register 98, No. 11).
23. Amendment of subsections (c)(1)-(4) and (e)(1)-(4) filed 7-21-98 as an emergency; operative 7-27-98 (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-98 or emergency language will be repealed by operation of law on the following day.
24. Editorial correction of History 23 (Register 99, No. 2).
25. Certificate of Compliance as to 7-21-98 order transmitted to OAL 11-23-98 and filed 1-7-99 (Register 99, No. 2).
26. Amendment of subsections (c)(2)-(4), (c)(6) and (e)(1)-(4) filed 8-27-99 as an emergency; operative 8-30-99 (Register 99, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-28-99 or emergency language will be repealed by operation of law on the following day.
27. Amendment of subsections (c)(2)-(4), (c)(6) and (e)(1)-(4) refiled 12-27-99 as an emergency; operative 12-28-99 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-26-2000 or emergency language will be repealed by operation of law on the following day.
28. Amendment of subsections (c)(2)-(4), (c)(6) and (e)(1)-(4) refiled 4-24-2000 as an emergency; operative 4-26-2000 (Register 2000, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-2000 or emergency language will be repealed by operation of law on the following day.
29. Certificate of Compliance as to 4-24-2000 order transmitted to OAL 5-24-2000 and filed 7-6-2000 (Register 2000, No. 27).
30. Amendment of subsections (c)(4), (c)(6), (e)(1) and (e)(6) filed 10-31-2000 as an emergency; operative 10-31-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-28-2001 or emergency language will be repealed by operation of law on the following day.
31. Certificate of Compliance as to 10-31-2000 order transmitted to OAL 2-22-2001 and filed 4-4-2001 (Register 2001, No. 14).
32. Amendment of subsections (c)(2), (c)(4), (c)(6) and (e)(1) filed 12-19-2001 as an emergency; operative 12-19-2001 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-18-2002 or emergency language will be repealed by operation of law on the following day.
33. Certificate of Compliance as to 12-19-2001 order transmitted to OAL 4-9-2002 and filed 4-30-2002 (Register 2002, No. 18).
34. Amendment of subsection (a)(1), new subsections (a)(1)(A)-(B), amendment of subsections (a)(2) and (b)(3)(A)-(B), new subsection (b)(4) and amendment of Note filed 2-27-2003 as an emergency; operative 3-1-2003 (Register 2003, No. 9). Pursuant to statutes of 1999, chapter 146, section 78, a Certificate of Compliance must be transmitted to OAL by 8-28-2003 or emergency language will be repealed by operation of law on the following day.
35. Amendment of subsections (c)(1), (c)(2), (c)(4)-(6), (e)(1)-(4) and (e)(6) filed 4-4-2003 as an emergency; operative 4-4-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
36. Editorial correction of History 34 (Register 2003, No. 20).
37. Amendment of section heading and section filed 7-17-2003 as an emergency; operative 7-17-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 1-13-2004 or emergency language will be repealed by operation of law on the following day.
38. Editorial correction of History 37 (Register 2003, No. 33).
39. Amendment of subsection (a)(1), new subsections (a)(1)(A)-(B), amendment of subsections (a)(2) and (b)(3)(A)-(B), new subsection (b)(4) and amendment of Note refiled 8-28-2003 as an emergency; operative 8-28-2003 (Register 2003, No. 35). Pursuant to statutes of 1999, chapter 146, section 78, a Certificate of Compliance must be transmitted to OAL by 2-24-2004 or emergency language will be repealed by operation of law on the following day.
40. Certificate of Compliance as to 4-4-2003 order transmitted to OAL 7-28-2003 and filed 9-4-2003 (Register 2003, No. 36).
41. Repealer of section and amendment of Note filed 1-14-2004. Submitted to OAL for printing only (Register 2004, No. 3).
42. Order of 8-28-2003 repealed by operation of law (Register 2004, No. 9).
§51516. Reimbursement for Short-Doyle/Medi-Cal Services.
Note     •     History

(a) The federal Medicaid share of reimbursement for Short-Doyle Medi-Cal mental health services shall be based on the lowest of the following.
(1) The provider's usual and customary charge to the general public for the same or similar services, unless the provider is a nominal charge provider pursuant to Medicare rules at 42 CFR 413.13.
(2) The provider's reasonable and allowable cost of rendering the services, based on year-end cost reports and Medicare principles of reimbursement pursuant to 42 CFR Part 413 and as described in HCFA Publication 15-1, for providers not contracting on a negotiated rate basis.
(3) The negotiated rates as approved by the Department of Mental Health for Short-Doyle/Medi-Cal providers contracting on a negotiated rate basis pursuant to section 5705.2 of the Welfare and Institutions Code.
(4) The following maximum allowances are effective for fiscal year 1998-1999:

	Service Function 	Maximum Allowance

Hospital inpatient services, per day	$724.16

Psychiatric Health Facilities, per day	414.13

Adult crisis residential services, per day	233.53

Adult residential services, per day	113.89

Day treatment intensive, half day	110.51

Day treatment intensive, full day	155.22

Day rehabilitative services, half day	64.47

Day rehabilitative services, full day	100.63

Mental health services, per minute	1.99

Medication support services, per minute	3.70

Crisis intervention services, per minute	2.98

Crisis stabilization--emergency room, per hour	72.50

Crisis stabilization--urgent care, per hour	72.50

Case management, brokerage, per minute	1.55

(b) Negotiated rates, as defined in section 5705.2 of the Welfare and Institutions Code, shall be established by the standard service function categories and reimbursement principles delineated in (a)(4) above. Reimbursement based on negotiated rates shall be subject to retrospective cost settlement which shares equally with the federal government the portion of the federal reimbursement that exceeds actual costs in the aggregate by legal entity. In no case will payments exceed the established maximum allowances.
NOTE

Authority cited: Sections 10725, 14021.3, 14021.5, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 5705, 5718, 5720 and 5724, Welfare and Institutions Code; and Statutes of 1998, Chapter 324, Item 4260-101-0001.
HISTORY

1. Amendment filed 8-7-89; operative 8-7-89 as an emergency (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89. For prior history, see Register 89, No. 1.
2. Certificate of Compliance transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
3. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-10-90 order transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
5. Amendment filed 6-17-92 as an emergency; operative 6-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 10-15-92 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-17-92 order including amendment of Note transmitted to OAL 10-7-92 and filed 11-17-92 (Register 92, No. 47).
7. Amendment of subsections (a)(4),  (c)(3) and  Note filed 10-5-93 as an emergency; operative 10-5-93 (Register 93, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-2-94 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-5-93 order transmitted to OAL 2-2-94 and filed 3-15-94 (Register 94, No. 11).
9. Amendment of section and Note filed 10-2-95 as an emergency; operative 10-2-95 (Register 95, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-30-96 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsection (a)(4) and Note filed 11-3-95 as an emergency; operative 11-3-95 (Register 95, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-96 or emergency language will be repealed by operation of law on the following day.
11. Repealer of subsections (c)-(d) filed 12-14-95 as an emergency; operative 12-14-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-96 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 10-2-95 order transmitted to OAL 1-26-96 and filed 3-7-96 (Register 96, No. 10).
13. Certificate of Compliance as to 11-3-95 order transmitted to OAL 2-22-96 and filed 3-19-96 (Register 96, No. 12).
14. Reinstatement of subsections as they existed prior to emergency amendment filed 12-14-95 by operation of Government Code section 11346.1 (Register 96, No. 16).
15. Repealer of subsections (c) and (d) filed 4-16-96 as an emergency; operative 4-16-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-96 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 4-16-96 order transmitted to OAL 8-13-96 and filed 9-25-96 (Register 96, No. 39).
17. Amendment of subsection (a)(4) and Note filed 2-3-97 as an emergency; operative 2-3-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-3-97 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 2-3-97 order transmitted to OAL 5-20-97 and filed 6-30-97 (Register 97, No. 27).
19. Amendment of subsection (a)(4) and Note filed 3-3-98 as an emergency; operative 3-3-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-1-98 or emergency language will be repealed by operation of law on the following day.
20. Certificate of Compliance as to 3-3-98 order transmitted to OAL 6-1-98 and filed 7-10-98 (Register 98, No. 28).
21. Amendment of subsection (a)(4) and amendment of Note filed 8-27-99 as an emergency; operative 8-27-99 (Register 99, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-99 or emergency language will be repealed by operation of law on the following day.
22. Certificate of Compliance as to 8-27-99 order transmitted to OAL 11-22-99 and filed 12-22-99 (Register 99, No. 52).
§51516.1. Reimbursement Rates for Drug Medi-Cal Substance Abuse Program Services.
Note     •     History

(a) Reimbursement for Naltrexone treatment, outpatient drug free treatment, day care rehabilitative, and perinatal residential treatment services shall be based on the lowest of the following:
(1) The provider's usual and customary charge to the general public for the same or similar services;
(2) The provider's allowable cost of providing the services, as specified in Section 11848.5 of the Health and Safety Code; or
(3) The statewide maximum allowances (SMAs) for Fiscal Years 2003-2004, 2004-2005, 2005-2006, 2006-2007, 2007-2008, 2008-2009, 2009-2010, and 2010-2011, which ADP shall establish in accordance with Sections 14021.6 and 14021.9(b) of the Welfare and Institutions Code. 
The SMAs for the following Drug Medi-Cal substance abuse program services for Fiscal Year 2003-2004 are: 

	Maximum 	Maximum
	Allowance	Allowance
	Non-Perinatal	Perinatal
Service Function	Unit of Service	Unit of Service

Naltrexone services, per
 face-to-face visit	$21.19	N/A

Outpatient drug free treatment 
 services, face-to-face individual 
 counseling session, per
 person	$70.25	$106.08

Outpatient drug free treatment 
 services, face-to-face group 
 counseling session, per person	$32.33	$53.22

Day care rehabilitative, per 
 face-to-face visit	$67.85	$74.44

Perinatal residential treatment 
 services, per day	N/A	$76.18
The SMAs for the following Drug Medi-Cal substance abuse program services for Fiscal Year 2004-2005 are: 

	Maximum 	Maximum
	Allowance	Allowance
	Non-Perinatal	Perinatal
Service Function	Unit of Service	Unit of Service

Naltrexone services, per
 face-to-face visit	$21.19	N/A

Outpatient drug free treatment 
 services, face-to-face individual 
 counseling session, per
 person	$63.90	$106.08

Outpatient drug free treatment 
 services, face-to-face group 
 counseling session, per person	$30.60	$46.97

Day care rehabilitative, per 
 face-to-face visit	$67.93	$75.99

Perinatal residential treatment 
 services, per day	N/A	$76.18
The SMAs for the following Drug Medi-Cal substance abuse program services for Fiscal Year 2005-2006 are: 

	Maximum 	Maximum
	Allowance	Allowance
	Non-Perinatal	Perinatal
Service Function	Unit of Service	Unit of Service

Naltrexone services, per
 face-to-face visit	$21.19	N/A

Outpatient drug free treatment 
 services, face-to-face individual 
 counseling session, per
 person	$64.16	$106.08

Outpatient drug free treatment 
 services, face-to-face group 
 counseling session, per person	$30.85	$48.16

	Maximum 	Maximum
	Allowance	Allowance
	Non-Perinatal	Perinatal
Service Function	Unit of Service	Unit of Service

Day care rehabilitative, per 
 face-to-face visit	$67.98	$77.27

Perinatal residential treatment 
 services, per day	N/A	$77.46
The SMAs for the following Drug Medi-Cal substance abuse program services for Fiscal Year 2006-2007 are: 

	Maximum 	Maximum
	Allowance	Allowance
	Non-Perinatal	Perinatal
Service Function	Unit of Service	Unit of Service

Naltrexone services, per
 face-to-face visit	$21.19	N/A

Outpatient drug free treatment 
 services, face-to-face individual 
 counseling session, per
 person	$64.16	$106.08

Outpatient drug free treatment 
 services, face-to-face group 
 counseling session, per person	$30.85	$48.16

Day care rehabilitative, per 
 face-to-face visit	$67.98	$77.27

Perinatal residential treatment 
 services, per day	N/A	$77.46
The SMAs for the following Drug Medi-Cal substance abuse program services for Fiscal Year 2007-2008 are: 

	Maximum 	Maximum
	Allowance	Allowance
	Non-Perinatal	Perinatal
Service Function	Unit of Service	Unit of Service

Naltrexone services, per
 face-to-face visit	$21.19	N/A

Outpatient drug free treatment 
 services, face-to-face individual 
 counseling session, per
 person	$74.79	$106.08

Outpatient drug free treatment 
 services, face-to-face group 
 counseling session, per person	$31.56	$63.62

Day care rehabilitative, per 
 face-to-face visit	$67.55	$79.92

Perinatal residential treatment 
 services, per day	N/A	$96.81
The SMAs for the following Drug Medi-Cal substance abuse program services for Fiscal Year 2008-2009 are: 

	Maximum 	Maximum
	Allowance	Allowance
	Non-Perinatal	Perinatal
Service Function	Unit of Service	Unit of Service

Naltrexone services, per
 face-to-face visit	$21.19	N/A

Outpatient drug free treatment 
 services, face-to-face individual 
 counseling session, per
 person	$74.99	$106.08

Outpatient drug free treatment 
 services, face-to-face group 
 counseling session, per person	$31.45	$63.62

Day care rehabilitative, per 
 face-to-face visit	$67.96	$82.90

Perinatal residential treatment 
 services, per day	N/A	$95.21
The SMAs for the following Drug Medi-Cal substance abuse program services for Fiscal Year 2009-2010 are: 

	Maximum 	Maximum
	Allowance	Allowance
	Non-Perinatal	Perinatal
Service Function	Unit of Service	Unit of Service

Naltrexone services, per
 face-to-face visit	$19.07	N/A

Outpatient drug free treatment 
 services, face-to-face individual 
 counseling session, per
 person	$66.53	$95.23

Outpatient drug free treatment 
 services, face-to-face group 
 counseling session, per person	$28.27	$57.26

Day care rehabilitative, per 
 face-to-face visit	$61.05	$73.04

Perinatal residential treatment 
 services, per day	N/A	$89.90

The SMAs for the following Drug Medi-Cal substance abuse program services for Fiscal Year 2010-2011 are: 

	Maximum 	Maximum
	Allowance	Allowance
	Non-Perinatal	Perinatal
Service Function	Unit of Service	Unit of Service

Naltrexone services, per
 face-to-face visit	$19.07	N/A

Outpatient drug free treatment 
 services, face-to-face individual 
 counseling session, per
 person	$67.53	$96.66

Outpatient drug free treatment 
 services, face-to-face group 
 counseling session, per person	$28.69	$55.95

Day care rehabilitative, per 
 face-to-face visit	$61.97	$74.14

Perinatal residential treatment 
 Services, per day	N/A	$91.25

(A) The SMA for counseling sessions for outpatient drug free treatment services shall be prorated annually as follows:
1. The SMA for an individual counseling session shall be prorated annually using the percentage computed by dividing the total actual time for all counseling sessions by the total time which would have been spent if all counseling sessions were 50 minutes in duration. This percentage (not to exceed 100 percent) shall be applied to the SMA to determine the maximum reimbursement rate.
For example: Total Session Time/(50 minutesxNumber of Sessions) x SMA=Prorated SMA.
2. The SMA for a group counseling session shall be prorated annually using the percentage computed by dividing the total actual time for all counseling sessions by the total time which would have been spent if all counseling sessions were 90 minutes in duration. This percentage (not to exceed 100 percent) shall be applied to the SMA per person to determine the maximum reimbursement rate.
For example: Total Session Time/(90 minutesxNumber of Sessions) x SMA = Prorated SMA.
3. To qualify as a group counseling session there shall be at least one Medi-Cal beneficiary in a group of no less than four and no more than ten individuals.
(b) Reimbursement for narcotic treatment program services shall be limited to the lower of the following:
(1) A uniform statewide reimbursement (USR) rate; or
(2) The provider's usual and customary charge to the general public for the same or similar service.
(c) The USR rate for narcotic treatment program services shall be based on the following:
(1) A per capita rate for each beneficiary receiving narcotic replacement therapy dosing, core, and lab work services:
(A) The narcotic replacement therapy dosing fee for methadone or LAAM shall include ingredient costs for an average daily dose of methadone or an average dose of LAAM dispensed to Medi-Cal beneficiaries;
(B) Where available, core and lab work services shall be based on and not exceed, for individual services or in the aggregate, outpatient rates for the same or similar service under the Medi-Cal fee-for-service program.
(d) The USR rate for narcotic treatment program services shall be prorated to a daily rate per beneficiary if the beneficiary receives less than a full month of services. The daily rate shall be based on:
(1) The annual rate per beneficiary; and
(2) A 365-day year.
(e) Reimbursement for narcotic treatment program services shall not be provided for services not rendered to or received by a beneficiary.
(f) For narcotic treatment program services, the USR rate shall consist of the following service components:
(1) Core; laboratory work; and dosing which are described below:
(A) Core consists of a physical exam, a test/analysis for drug determination, intake assessment, initial treatment plan, and physician supervision.
(B) Laboratory work consists of a tuberculin skin test, a serological test for syphilis, drug screening (urinalysis), and pregnancy tests for female LAAM beneficiaries.
(C) Dosing consists of an ingredient and dosing fee.
(2) Counseling services.
(g) For narcotic treatment program services, the Fiscal Year 2003-2004 USR rate for each service component shall be as follows:

Fiscal Year 2003-2004 Rates for USR Components by Type of Medication 
with Administrative Costs Shown in Parentheses

	Narcotic Treatment	Methadone	Methadone	LAAM
	Service Components	Non-Perinatal	Perinatal	Non-Perinatal

		Daily	Monthly	Daily	Monthly	Dose	Monthly

	Core, Laboratory Work,	$9.58		$10.76		$22.61	
	 and Dosing	($0.88)	$291.39	($0.98)	$327.28	($2.07)	$293.93

	Narcotic Treatment		Narcotic Treatment Counseling is delivered in 10 minute increments
	 Counseling

	Individual	$14.05	$21.22	$14.05
		($1.29)	($1.94)	($1.29)
	
	Group	$3.59	$5.91	$3.59
		($0.33)	($0.54)	($0.33)
For narcotic treatment program services, the Fiscal Year 2004-2005 USR rate for each service component shall be as follows:

Fiscal Year 2004-2005 Rates for USR Components by Type of Medication 
with Administrative Costs Shown in Parentheses

	Narcotic Treatment	Methadone	Methadone	LAAM
	Service Components	Non-Perinatal	Perinatal	Non-Perinatal

		Daily	Monthly	Daily	Monthly	Dose	Monthly

	Core, Laboratory Work,	$9.39		$10.75		$22.33
	 and Dosing	($0.86)	$285.61	($0.98)	$326.98	($2.04)	$290.29

	Narcotic Treatment
	 Counseling		Narcotic Treatment Counseling is delivered in 10 minute increments

	Individual	$12.78	$21.22	$12.78
		($1.17)	($1.94)	($1.17)
	
	Group	$3.40	$5.22	$3.40
		($0.31)	($0.48)	($0.31)
For narcotic treatment program services, the Fiscal Year 2005-2006 USR rate for each service component shall be as follows:

Fiscal Year 2005-2006 Rates for USR Components by Type of Medication 
with Administrative Costs Shown in Parentheses

	Narcotic Treatment	Methadone	Methadone	LAAM
	Service Components	Non-Perinatal	Perinatal	Non-Perinatal

		Daily	Monthly	Daily	Monthly	Dose	Monthly

	Core, Laboratory Work,	$9.64		$11.84		$22.33
	 and Dosing	($0.88)	$293.22	($1.08)	$360.13	($2.04)	$290.29

	Narcotic Treatment
	 Counseling		Narcotic Treatment Counseling is delivered in 10 minute increments

	Individual	$13.03	$21.22	$13.03
		($1.19)	($1.94)	($1.19)
	
	Group	$3.64	$6.29	$3.64
		($0.33)	($0.58)	($0.33)
For narcotic treatment program services, the Fiscal Year 2006-2007 USR rate for each service component shall be as follows:

Fiscal Year 2006-2007 Rates for USR Components by Type of Medication 
with Administrative Costs Shown in Parentheses

	Narcotic Treatment	Methadone	Methadone
	Service Components	Non-Perinatal	Perinatal

		Daily	Monthly	Daily	Monthly
	
	Core, Laboratory Work,	$9.64		$11.84
	 and Dosing	($0.88)	$293.22	($1.08)	$360.13

	Narcotic Treatment Counseling		Narcotic Treatment Counseling is delivered in 10 minute increments
	  
	Individual		$13.03	$21.22
			($1.19)	($1.94)
	
	Group		$3.64	$6.29
			($0.33)	($0.58)
For narcotic treatment program services, the Fiscal Year 2007-2008 USR rate for each service component shall be as follows:

Fiscal Year 2007-2008 Rates for USR Components by Type of Medication 
with Administrative Costs Shown in Parentheses

	Narcotic Treatment	Methadone	Methadone
	Service Components	Non-Perinatal	Perinatal

		Daily	Monthly	Daily	Monthly
	
	Core, Laboratory Work,	$11.20		$12.15
	 and Dosing	($1.02)	$340.67	($1.11)	$369.56

	Narcotic Treatment Counseling		Narcotic Treatment Counseling is delivered in 10 minute increments
	  
	Individual		$14.96	$21.22
			($1.37)	($1.94)
	
	Group		$3.51	$7.07
			($0.32)	($0.65)
For narcotic treatment program services, the Fiscal Year 2008-2009 USR rate for each service component shall be as follows:

Fiscal Year 2008-2009 Rates for USR Components by Type of Medication 
with Administrative Costs Shown in Parentheses

	Narcotic Treatment	Methadone	Methadone
	Service Components	Non-Perinatal	Perinatal
		Daily	Daily
	
	Core, Laboratory Work,	$12.44	$13.38
	 and Dosing	($1.14)	($1.22)

		Narcotic Treatment Counseling	Narcotic Treatment Counseling is delivered in 10 minute increments

	Individual	$15.00	$21.22
		($1.37)	($1.94)
	
	Group	$3.49	$7.07
		($0.32)	($0.65)
	
For narcotic treatment program services, the Fiscal Year 2009-2010 USR rate for each service component shall be as follows:

Fiscal Year 2009-2010 Rates for USR Components by Type of Medication 
with Administrative Costs Shown in Parentheses

	Narcotic Treatment	Methadone	Methadone
	Service Components	Non-Perinatal	Perinatal
		Daily	Daily
	
	Core, Laboratory Work,	$11.34	$12.21
	 and Dosing	($1.03)	($1.11)

		Narcotic Treatment Counseling	Narcotic Treatment Counseling is delivered in 10 minute increments

	Individual	$13.30	$19.04
		($1.22)	($1.74)
	
	Group	$3.14	$6.36
		($0.29)	($0.58)
	
For narcotic treatment program services, the Fiscal Year 2010-2011 USR rate for each service component shall be as follows:

Fiscal Year 2010-2011 Rates for USR Components by Type of Medication 
with Administrative Costs Shown in Parentheses

	Narcotic Treatment	Methadone	Methadone
	Service Components	Non-Perinatal	Perinatal
		Daily	Daily
	
	Core, Laboratory Work,	$11.51	$12.39
	 and Dosing	($1.05)	($1.13)

		Narcotic Treatment Counseling	Narcotic Treatment Counseling is delivered in 10 minute increments

	Individual	$13.50	$19.33
		($1.24)	($1.77)
	
	Group	$3.19	$6.22
		($0.29)	($0.57)
	
The USR rates include administrative costs for the county or ADP when ADP assumes the role of the county as described in Section 51341.1(f). Provider reimbursement shall be adjusted to reimburse the county or ADP for administrative costs.
(h) For narcotic treatment program services, counseling sessions shall meet the requirements specified in Section 10345, Title 9, CCR, and
(1) A minimum of fifty (50) minutes of counseling per calendar month shall be provided to each beneficiary. Counseling shall be individual and/or group counseling which meets the requirements of Section 51341.1(b)(8) and/or (b)(9). Any waiver of the fifty (50) minute minimum for counseling shall be in accordance with Section 10345, Title 9, CCR.
(2) ADP shall reimburse a provider for up to a maximum of 200 minutes of counseling per calendar month, per beneficiary. Counseling shall be individual and/or group counseling which meets the requirements of Section 51341.1(b)(8) and (b)(9).
(3) A provider shall claim reimbursement for counseling in 10-minute increments.
NOTE

Authority cited: Sections 10725, 14021.5, 14021.6, 14105 and 14124.5, Welfare and Institutions Code; and Sections 20 and 11758.42, Health and Safety Code. Reference: Sections 5705, 14021.5, 14021.6, 14021.9 and 14132.90, Welfare and Institutions Code; and Sections 11758.42 and 11758.46, Health and Safety Code.
HISTORY

1. New section filed 12-14-95 as an emergency; operative 12-14-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-96 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1 (Register 96, No. 16).
3. New section filed 4-16-96 as an emergency; operative 4-16-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-16-96 order transmitted to OAL 8-13-96 and filed 9-25-96 (Register 96, No. 39).
5. Amendment of section and Note filed 5-12-97 as an emergency; operative 5-12-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-9-97 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, section and Note, new forms ADP-6065, ADP-7700 and ADP-1584 filed 6-30-97 as an emergency; operative 7-1-97 (Register 97, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-29-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 5-12-97 order transmitted to OAL 8-13-97 and filed 9-23-97 (Register 97, No. 39).
8. Amendment of section heading, section and Note, and new forms ADP-6065, ADP-7700 and ADP-1584 refiled 10-6-97 as an emergency; operative 10-29-97 (Register 97, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-26-98 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note and new forms ADP-6065, ADP-7700 and ADP1584 refiled 1-14-98 as an emergency; operative 2-26-98 (Register 98, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-26-98 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsections (a)(3), (c)(1)(A), (f) and (f)(1), new subsections (f)(1)(A)-(C), repealer of subsections (f)(2)-(3), subsection renumbering, amendment of newly designated subsection (f)(2) and subsection (g), and amendment of Note filed 6-29-98 as an emergency; operative 7-1-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-29-98 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 1-14-98 order, including further amendment of section heading and subsections (c)(1)-(c)(1)(B), transmitted to OAL 6-11-98 and filed 6-29-98 (Register 98, No. 27).
12. Amendment of section and Note refiled 10-20-98 as an emergency; operative 10-30-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 3-1-99 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 10-20-98 order, including amendment of chart in subsection (g), transmitted to OAL 2-1-99 and filed 3-15-99 (Register 99, No. 12).
14. Amendment of subsections (a)(3)-(a)(3)(A), redesignation of subsections (a)(3)(A)(i)-(iii) as (a)(3)(A)1.-3., amendment of newly designated subsections (a)(3)(A)1.-2., and amendment of subsection (g) and Note filed 8-20-99 as an emergency; operative 8-20-99 (Register 99, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-99 or emergency language will be repealed by operation of law on the following day. Pursuant to Welfare and Institutions Code section 14021.5(e), reimbursement rates for FY 1999-2000 Drug Medi-Cal Substance Abuse Program Services are retroactive to 7-1-99.
15. Certificate of Compliance as to 8-20-99 order transmitted to OAL 12-1-99 and filed 1-12-2000 (Register 2000, No. 2).
16. Change without regulatory effect relocating forms ADP 7700 and ADP 1584 from section 51516.1 to section 51490.1 filed 4-4-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 14).
17. Amendment of subsections (a), (a)(3) and (g) filed 3-21-2001 as an emergency; operative 3-21-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-19-2001 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 3-21-2001 order transmitted to OAL 7-12-2001 and filed 8-15-2001 (Register 2001, No. 33). 
19. Amendment of subsections (a)(3) and (g) filed 1-21-2003 as an emergency; operative 1-21-2003 (Register 2003, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-21-2003 or emergency language will be repealed by operation of law on the following day.
20. Certificate of Compliance as to 1-21-2003 order transmitted to OAL 5-15-2003 and filed 6-17-2003 (Register 2003, No. 25).
21. Amendment of subsections (a)(3) and (g) filed 4-22-2004 as an emergency; operative 4-22-2004 (Register 2004, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-20-2004 or emergency language will be repealed by operation of law on the following day.
22. Certificate of Compliance as to 4-22-2004 order transmitted to OAL 8-19-2004 and filed 9-29-2004 (Register 2004, No. 40).
23. Amendment of section and Note filed 6-17-2010 as an emergency; operative 6-17-2010 (Register 2010, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-14-2010 or emergency language will be repealed by operation of law on the following day.
24. Editorial correction of subsection (a)(3) (Register 2010, No. 42).
25. Certificate of Compliance as to 6-17-2010 order transmitted to OAL 9-30-2010 and filed 11-10-2010 (Register 2010, No. 46).
26. Amendment of subsections (a)(3) and (g) and amendment of Note filed 12-27-2011; operative 12-27-2011. This regulatory action is a deemed emergency pursuant to Welfare and Institutions Code sections 14021.6 and 14105 (Register 2011, No. 52).
27. Certificate of Compliance as to 12-27-2011 order transmitted to OAL 6-5-2012 and filed 7-3-2012 (Register 2012, No. 27).
§51517. Hearing Aids.
Note     •     History

(a) Reimbursement for hearing aids, hearing aid supplies and accessories, molds or inserts and repairs using the list of Healthcare Common Procedure Coding System codes billable to the Medi-Cal program, shall be the usual charges made to the general public not to exceed the maximum reimbursement rates published in the Medi-Cal Provider Manual, pursuant to Welfare and Institutions Code Section 14105.49.
(b) The following conditions shall apply to the reimbursement for hearing aids, hearing aid supplies and accessories, molds or inserts and repairs under this section.
(1) All hearing aids shall be guaranteed for at least one year exclusive of ear piece, cord and batteries. The guarantee shall cover the repair or replacement of any or all defective parts and labor on a new aid. Out of guarantee repairs shall have a minimum guarantee for at least six months.
(2) Hearing aid maximum allowances listed in this section are for new instruments and include up to six post-sale visits for training, adjustments and fitting, an initial standard package of batteries, a cord, receiver, and such other components normally required for use of the instrument.
(3) Dealer charges for repairs, subsequent to the guarantee period, may be reimbursed. Repair facility reports shall be available for review upon request.
(4) Retail sales tax is reimbursable in addition to the allowances listed in subsection (c). Taxes shall be itemized separately.
(5) Hearing aid provider billings shall include the provider's usual and customary charges for services provided.
(c) The maximum reimbursement rates for hearing aids, hearing aid supplies and accessories, molds or inserts and repairs shall not exceed the lesser of the following: 
(1) Hearing Aids
(A) All Monaural hearing aids (one ear only)
1. The maximum allowable amount established by the Department.
2. The one-unit wholesale cost, plus a markup determined by the Department.
3. The billed amount.
4. The rate established by the Department's contracting program to the extent it is in operation.
(B) All Binaural hearing aids (for both ears)
1. The maximum allowable amount established by the Department.
2. The one-unit wholesale cost, plus a markup determined by the Department.
3. The billed amount.
4. The rate established by the Department's contracting program to the extent it is in operation.
(C) CROS/BICROS
1. The maximum allowable amount established by the Department.
2. The one-unit wholesale cost, plus a markup determined by the Department.
3. The billed amount.
4. The rate established by the Department's contracting program to the extent it is in operation.
(2) Hearing Aid Supplies and Accessories
(A) The retail price.
(B) The wholesale cost, plus a markup determined by the Department.
(C) The billed amount.
(D) The rate established by the Department's contracting program to the extent it is in operation.
(3) Molds or Inserts
(A) The maximum amount allowable established by the Department.
(B) The billed amount.
(C) The rate established by the Department's contracting program to the extent it is in operation.
(4) Repairs
The maximum reimbursement for repairs, subsequent to the guarantee period, shall not exceed the lesser of the following:
(A) The invoice cost, plus a markup determined by the Department.
(B) The billed amount.
(C) The rate established by the Department's contracting program to the extent it is in operation.
NOTE

Authority cited: Section 20, Health and Safety Code and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14105.49, Welfare and Institutions Code; Statutes of 1982, Chapter 1594, Section 77; Statutes of 1983, Chapter 323, Section 149; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1984, Chapter 268, Section 66; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. Certificate of Compliance as to 9-1-82 order transmitted to OAL 12-28-82 and filed 1-21-83 (Register 83, No. 4). For prior history, see Register 82, No. 52.
2. Amendment of subsections (b)(2), (c) and repealer of subsection (d) filed 6-20-83 as an emergency; effective upon filing (Register 83, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-18-83.
3. Certificate of Compliance as to 6-20-83 order transmitted to OAL 10-6-83 and filed 11-4-83 (Register 83, No. 45).
4. Editorial correction of NOTE filed 11-4-83 (Register 83, No. 45).
5. Amendment of subsection (c) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84.
6. Editorial correction of subsection (b)(2) filed 8-30-84 (Register 84, No. 35).
7. Certificate of Compliance as to 8-1-84 order including amendment of subsection (c) transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
8. Amendment of subsection (c) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
9. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
10. Repealer and new section filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction of printing error (Register 93, No. 11).
12. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
13. Amendment of subsection (c), new subsection (d) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
14. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (d), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
15. Amendment of subsections (b)(6) and (c) filed 4-4-2003 as an emergency; operative 4-4-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 4-4-2003 order transmitted to OAL 7-28-2003 and filed 9-4-2003 (Register 2003, No. 36).
17. Change without regulatory effect amending section and Note filed 3-12-2009 pursuant to section 100, title 1, California Code of Regulations, except for amendments of Medi-Cal reimbursement rates and billable codes in subsections (b) and (c), which are exempt from the rulemaking provisions of the Administrative Procedure Act and from the review and approval of the Office of Administrative Law pursuant to Welfare and Institutions Code section 14105.49(b) (Register 2009, No. 11).
§51518. Optometry Services.
Note     •     History

(a) General Provisions.
(1) The reimbursement for optometric services shall be in accordance with the maximum reimbursement rates listed below; however, billing shall not exceed charges made to the general public.
(2) Additional routine tests that may be needed shall be considered a part of the basic examination. Extensive treatment programs or difficult tests not included in the list below may be billed as unlisted items.
(3) Maximum allowances include preparation of necessary forms when an eye appliance is prescribed.
(4) Procedure Codes 92004, 92012 and 92014 are from the “Physicians' Current Procedural Terminology” Fourth Edition, 1990, (CPT-4), which is hereby incorporated by reference. Providers shall use all related guidelines and criteria listed in the 1990 CPT-4, as adopted by the Department, to bill for these CPT-4 procedure codes.
(b) Maximum reimbursement allowances for optometry services shall be as follows:
(1) Diagnostic and Ancillary Procedures.

Procedure	Maximum
 Code	Rate

 92002	Optometric service; medical examination and
		evaluation with initiation of diagnostic and
		treatment program, intermediate, new patient		$32.80

 92004	Optometric service; comprehensive, new patient,
		one or more visits. (To include case history, visual
		acuity testing, opthalmoscopy, ocular motility
		testing, testing for neurological integrity, refraction
		at far and near points, phorometric tests,
		confrontation fields and tonometry)		47.45

 92012	Optometric service, medical examination
		 and evaluation, with initiation or
		continuation of diagnostic and treatment program;
		intermediate, established patient (seen within six
		months of the comprehensive examination)		22.59	

 92014	Optometric service; comprehensive, established
		patient, one or more visits. (To include case history,
		visual acuity testing, ophthalmoscopy, ocular
		motility testing, testing for neurological integrity,
		refraction at far and near points, phorometric tests,
		confrontation fields and tonometry)		47.45

 92020	Gonioscopy (separate procedure)		16.40

 92081	Visual field examination, unilateral or bilateral,
		with interpretation and report; limited examination
		(eg, tangent screen, Autoplot, arc perimeter, or
		single stimulus level automated test,
		such as Octopus 3 or 7 or equivalent)		16.40

 92082	Visual field examination, unilateral or bilateral,
		with interpretation and report; intermediate 
		examination (eg, at least 2 isopters on Goldman
		perimeter, or semiquantitative, automated
		suprathreshold screening program, Humphrey
		suprathreshold automatic diagnostic test,
		Octopus program 33)		22.14

 92083	Visual field examination, unilateral or bilateral,
		with interpretation and report; extended
		examination, (eg, Goldmann visual fields
		with at least 3 isopters plotted and static
		determination within the central 30o, or 
		quantitative, automated threshold perimetry,
		Octopus program G-1, 32 or 42, Humphrey
		visual field analyzer full threshold programs
		30-2, 24-2, or 30/60-2)		22.14

 92100	Serial tonometry (separate procedure) with multiple 
		measurements of intraocular pressure over an extended 
		time period with interpretation and report, same day 
		(eg, diurnal curve or medical treatment of acute elevation 
		of intraocular pressure)		28.93

 92225	Ophthalmoscopy, extended, with retinal drawing
		(eg, for retinal detachment, melanoma), with
		interpretation and report, initial		41.00

 92250	Fundus photography with interpretation and report		42.13

 99201	Office or other outpatient visit for the evaluation and
		management of a new patient, which requires these
		three key components: a problem focused history;
		a problem focused examination; and straightforward
		medical decision making		11.41

 99202	Office or other outpatient visit for the evaluation
		and management of a new patient, which requires these 
		three key components: an expanded problem focused 
		history; an expanded problem focused
		examination; and straightforward medical decision
		making		34.30

 99203	Office or other outpatient visit for the evaluation
		and management of a new patient, which requires these 
		three key components: a detailed history; a detailed
		examination; and medical decision making of low 
		complexity		57.20

 99204	Office or other outpatient visit for the evaluation
		and management of a new patient, which requires these 
		three key components: a comprehensive history; a
		comprehensive examination; and medical decision making 
		of moderate complexity		68.90

 99205	Office or other outpatient visit for the evaluation
		and management of a new patient, which requires these 
		three key components: a comprehensive history; a
		comprehensive examination; and medical decision making 
		of high complexity		82.70

 99211	Office or other outpatient visit for the evaluation
		and management of an established patient, that may
		not require the presence of a physician		12.00

 99212	Office or other outpatient visit for the evaluation
		and management of an established patient, which
		requires at least two of these three key components:
		a problem focused history; a problem focused
		examination; and straightforward medical decision
		making		11.41

 99213	Office or other outpatient visit for the evaluation
		and management of an established patient, which requires 
		at least two of these three key components: an expanded 
		problem focused history; an expanded problem 
		focused examination; medical decision making of low 
		complexity		24.00

 99214	Office or other outpatient visit for the evaluation
		and management of an established patient, which requires 
		at least two of these three key components: a detailed history; 
		a detailed examination; medical decision making of 
		moderate complexity		37.50

 99215	Office or other outpatient visit for the evaluation
		and management of an established patient, which requires 
		at least two of these three key components: a comprehensive 
		history; a comprehensive examination; medical decision 
		making of high complexity		57.20

 99241	Office consultation for a new or established patient, 
		which requires these three key components: a problem 
		focused history; a problem focused examination; and 
		straightforward medical decision making		30.60

 99242	Office consultation for a new or established patient, 
		which requires these three key components: an expanded 
		problem focused history; an expanded problem focused 
		examination; and straightforward medical decision 
		making		47.20

 99243	Office consultation for a new or established patient, 
		which requires these three key components: detailed 
		history; a detailed examination; and medical decision
		making of low complexity		59.50

 (2) Supplemental Procedures

 65205	Removal of foreign body, external eye;
		conjunctival superficial	$	6.74
 65210	Removal of foreign body, external eye; conjunctival
		embeddeed (includes concretions), subconjunctival,
		or scleral nonperforating		117.27
 65220	Removal of foreign body, external eye;
		corneal, without slit lamp		13.48
 65222	Removal of foreign body, external eye;
		corneal, with slit lamp		20.21

 67820	Correction of trichiasis; epilation, by forceps only		13.48
 67938	Removal of embedded foreign body, eyelid		273.27
 68761	Closure of the lacrimal punctum; by plug, each		125.47
 68801	Dilation of lacrimal punctum, with or without irrigation		136.63
 Z2700	Low vision patient. To include professional
		evaluation, fitting and subsequent supervision,
		including six months' follow-up care		75.11

 Z2704	Detailed biomicroscopy/slit lamp evaluation		9.88

 Z2706	Contact lens examination (in addition to
		basic examination) to include multiple
		ophthalmometry, measurement of tear flow,
		measurement of ocular adnexa, initial
		tolerance evaluation, and other tests as
		necessary		33.05

 Z2708	Out-of-office call (add to procedure allowance)		7.50

 Z2710	Mileage--per mile one way beyond a ten-mile
		radius from point of origin		1.36

 Z2712	Diagnostic closure of the lacrimal punctum;
		by absorbable plug, 1 or more closures;
		includes office visits		48.84

 92499	Unlisted procedure	By Report

NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code; Statutes of 1999, Chapter 50, Items 4260-101-0001 and 0890; and Sections 11024, 11026, 11150 and 11210, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 81, No. 52.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment of subsection (b) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed upon 11-29-85.
4. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Amendment of subsection (b)(2) filed 10-20-86; effective thirtieth day thereafter. Statutes of 1984, Chapter 258, Items 4260-106-001 and 890, and Statutes of 1985, Chapter III, Items 4260-106-001 and 890 (Register 86, No. 43).
6. Repealer and new section filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
8. Amendment of subsections (b)(1) and (b)(2) filed 7-21-98; operative 7-27-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 30).
9. Amendment of subsection (a)(4) filed 7-21-98 as an emergency; operative 7-27-98 (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-98 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of History 9 (Register 99, No. 2).
11. Certificate of Compliance as to 7-21-98 order transmitted to OAL 11-23-98 and filed 1-7-99 (Register 99, No. 2).
12. Amendment of subsection (b)(1) and amendment of Note filed 11-13-2000 as an emergency; operative 11-13-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-2001 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 11-13-2000 order transmitted to OAL 3-13-2001 and filed 4-4-2001 (Register 2001, No. 14).
14. Amendment of subsections (b)(1)-(2) and amendment of Note filed 12-19-2001 as an emergency; operative 12-19-2001 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-18-2002 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 12-19-2001 order transmitted to OAL 4-9-2002 and filed 4-30-2002 (Register 2002, No. 18).
§51519. Eye Appliances.
Note     •     History

(a) General Provisions.
(1) The reimbursement for eye appliances shall be in accordance with maximum reimbursement rates listed below; however, billing shall not exceed charges made to the general public.
(2) The listed allowances include impact resistance and testing, oversize lenses, special beveling, drilling, mounting, fitting and adjusting, loaners for postcataract cases, sales taxes paid by the provider, and follow-up services for a period of six months after date of service.
(3) “Diopters” refers to the power of the strongest meridian of the major portion of the lens, the maximum cylindrical power, or the power of the segment addition, as appropriate.
(4) When a Medi-Cal beneficiary resides in a geographic area where a fabricating optical laboratory has entered into an exclusive area negotiated contract with the Department, the lens dispensing fees listed in Section 51519.1(b) shall be used instead of HCPCS codes V2100 through V2430, and V2700 through V2755 listed in (b) below. When a fabricating optical laboratory, which has entered into an exclusive area negotiated contract with the Department, also supplies the frames, the frame dispensing fee listed in Section 51519.1(b) shall be used instead of HCPCS codes V2020 and Z2910 through Z2916 listed in (b) below.
(b) Maximum reimbursement rates for eye appliances shall be as follows:

	Section
Procedure	Maximum
 Code	Allowance
	per Lens
(1) Spectacle Lenses 

SINGLE VISION GLASS OR PLASTIC

	V2100	Sphere, single vision, plano to plus or minus
			4.00, per lens		$18.30

	V2101	Sphere, single vision, plus or minus 4.12 to plus
			or minus 7.00D, per lens		21.69

	V2102	Sphere, single vision, plus or minus 7.12 to plus
			or minus 20.00D, per lens		25.75

	V2103	Spherocylinder, single vision, plano to plus or
			minus 4.00D sphere, .12 to 2.00D cylinder, per
			lens		18.48

	V2104	Spherocylinder, single vision, plano to plus or
			minus 4.00D sphere 2.12 to 4.00D cylinder,
			per lens		18.62
	V2105	Spherocylinder, single vision, plano to plus or
			minus 4.00D sphere, 4.25 to 6.00D cylinder,
			per lens		29.39
	V2106	Spherocylinder, single vision, plano to plus
			or minus 4.00D sphere, over 6.00D cylinder,
			per lens		31.14
	V2107	Spherocylinder, single vision, plus or minus
			4.25 to plus or minus 7.00D sphere, .12 to
			2.00D cylinder, per lens		21.89
	V2108	Spherocylinder, single vision, plus or minus 4.25
			to plus or minus 7.00D sphere, 2.12 up to
			4.00D cylinder, per lens		22.18
	V2109	Spherocylinder, single vision, plus or minus
			4.25 to plus or minus 7.00D sphere, 4.25 to
			6.00D cylinder, per lens		33.01
	V2110	Spherocylinder, single vision, plus or minus 4.25 to
			plus or minus 7.00D sphere, over 6.00D cylinder,
			per lens		37.34
	V2111	Spherocylinder, single vision, plus or minus
			7.25 to plus or minus 12.00D sphere, .25
			to 2.25D cylinder, per lens		25.74
	V2112	Spherocylinder, single vision, plus or minus 7.25
			to plus or minus 12.00D sphere, 2.25D to 4.00D
			cylinder, per lens		25.74
	V2113	Spherocylinder, single vision, plus or minus
			7.25 to plus or minus 12.00D sphere, 4.25
			to 6.00D cylinder, per lens		37.40
	V2114	Spherocylinder, single vision, sphere over
			plus or minus 12.00D, per lens		29.90
	V2115	Lenticular (myodisc), per lens, single vision		77.05
	V2116	Lenticular lens, nonaspheric, per lens, single vision		51.17
	V2117	Lenticular, aspheric, per lens, single vision		57.00
	V2410	Variable asphericity lens, single vision, full field,
			glass or plastic, per lens		57.05

BIFOCAL GLASS OR PLASTIC

 V2200	Sphere, bifocal, plano to plus or minus 4.00D,
		per lens		$29.39
 V2201	Sphere, bifocal, plus or minus 4.12 to plus or
		minus 7.00D, per lens		36.38
 V2202	Sphere, bifocal, plus or minus 7.12 to plus or
		minus 20.00D, per lens		42.60
 V2203	Spherocylinder, bifocal, plano to plus or minus
		4.00D sphere, .12 to 2.00D cylinder, per lens		29.76
 V2204	Spherocylinder, bifocal, plano to plus or minus
		4.00D sphere, 2.12 to 4.00D cylinder, per lens		29.77
 V2205	Spherocylinder, bifocal, plano to plus or minus
		4.00D sphere, 4.25 to 6.00D cylinder, per lens		43.91
 V2206	Spherocylinder, bifocal, plano to plus or minus
		4.00D sphere, over 6.00D cylinder, per lens		44.17
 V2207	Spherocylinder, bifocal, plus or minus 4.25 to
		plus or minus 7.00 sphere, .12 to 2.00D cylinder,
		per lens		36.41
 V2208	Spherocylinder, bifocal, plus or minus 4.25 to plus
		or minus 7.00D sphere, 2.12 to 4.00D cylinder,
		per lens		38.48 

    V2209	Spherocylinder, bifocal, plus or minus 4.25 to

		plus or minus 7.00D sphere, 4.25 to 6.00D
		cylinder, per lens		49.81
 V2210	Spherocylinder, bifocal, plus or minus 4.25 to plus
		or minus 7.00D sphere, over 6.00D cylinder, 
		per lens		51.64

 V2211	Spherocylinder, bifocal, plus or minus 7.25 to 
		plus or minus 12.00D sphere, .25 to 2.25D 
		cylinder, per lens		42.31
 V2212	Spherocylinder, bifocal, plus or minus 7.25 to
		plus or minus 12.00D sphere, 2.25 to 4.00D 
		cylinder, per lens		42.60
 V2213	Spherocylinder, bifocal, plus or minus 7.25 to
		plus or minus 12.00D sphere, 4.25 to 6.00D
		cylinder, per lens		52.37
 V2214	Spherocylinder, bifocal, sphere over plus or
		minus 12.00D, per lens		44.87
 V2215	Lenticular, (myodisc), per lens, bifocal		95.89
 V2216	Lenticular, nonaspheric, per lens, bifocal		87.40

 V2217	Lenticular, aspheric lens, bifocal		97.71
 V2220	Bifocal add over 3.25D		14.31
 V2430	Variable asphericity lens, bifocal, full field, glass
		or plastic, per lens		97.71

TRIFOCAL GLASS OR PLASTIC

 V2300	Sphere, trifocal, plano to plus or minus 4.00D,
		per lens		$ 42.35
 V2301	Sphere, trifocal, plus or minus 4.12 to plus or
		minus 7.00D, per lens		46.42
 V2302	Sphere, trifocal, plus or minus 7.12 to plus or
		minus 20.00D, per lens		54.33
 V2303	Spherocylinder, trifocal, plano to plus or minus
		4.00D sphere, 12-2.00D cylinder, per lens		42.59
 V2304	Spherocylinder, trifocal, plano to plus or minus
		4.00D sphere, 2.25-4.00D cylinder, per lens		50.21
 V2305	Spherocylinder, trifocal, plano to plus or minus
		4.00D sphere, 4.25-6,00D cylinder, per lens		55.10
 V2306	Spherocylinder, trifocal, plano to plus or minus 
		4.00D sphere, over 6.00D cylinder, per lens		55.36
 V2307	Spherocylinder, trifocal, plus or minus 4.25 to plus
		or minus 7.00D sphere, .12 to 2.00D cylinder,
		per lens		47.60
 V2308	Spherocylinder, trifocal, plus or minus 4.25 to plus 
		or minus 7.00D sphere, 2.12 to 4.00D cylinder,
		per lens		47.60
 V2309	Spherocylinder, trifocal, plus or minus 4.25 to
		plus or minus 7.00D sphere, 4.25 to 6.00D
		cylinder, per lens		61.83
 V2310	Spherocylinder, trifocal, plus or minus 4.25 to
		plus or minus 7.00D sphere, over 6.00D
		cylinder, per lens		62.09
 V2311	Spherocylinder, trifocal, plus or minus 7.25 to 
		plus or minus 12.00D sphere, .25 to 2.25D
		cylinder, per lens		54.33
 V2312	Spherocylinder, trifocal, plus or minus 7.25 to
		plus or minus 12.00D sphere, 2.25 to 4.00D
		cylinder, per lens		54.59

 V2313	Spherocylinder, trifocal, plus or minus 7.25 to
		plus or minus 12.00D sphere, 4.25 to 6.00D
		cylinder, per lens		62.09
 V2314	Spherocylinder, trifocal, sphere over plus or
		minus 12.00D, per lens		54.33
 V2315	Lenticular (myodisc), per lens, trifocal	By Report	
 V2316	Lenticular, nonaspheric lens, trifocal	By Report	 V2317	Lenticular, aspheric lens, trifocal	By Report	 V2320	Trifocal add over 3.25D		14.31

(2) Corneal Lenses

 V2500	Contact lens, PMMA, spherical, per lens		$ 65.94
 V2501	Contact lens, PMMA, toric or prism ballast,
		per lens		103.69
 Z2900	Contact lens, PMMA or gas permeable,
		replacement, per lens		71.32
 V2510	Contact lens, gas permeable, spherical, per lens		88.64
 V2511	Contact lens, gas permeable, toric or prism
		ballast, per lens		143.27
 V2513	Contact lens, gas permeable, extended wear, per lens		152.59

 V2520	Contact lens, hydrophilic, spherical, per lens		78.21
 V2521	Contact lens, hydrophilic, toric or prism ballast,
		per lens		136.15

    Z2902	Contact lens, hydrophilic, replacement		71.32

   V2523	Contact lens, hydrophilic, extended wear,
		per lens		112.92
 Z2908	Contact lens, extended wear, replacemement		97.59
 Z2904	Thermal hydrophilic lens care kit		37.59
 Z2906	Bandage contact lenses		56.77
(3) Miscellaneous Lens Items

 V2700	Balance lens, per lens		50 per--
				cent of
				of 
				allow--
				ance
				for com-
				parable
				single 
				vision
				lens

 V2710	Slab off prism, glass or plastic, per lens	40.00	
 V2715	Prism, per lens 	8.17	
 V2718	Press-on lens, Fresnell prism, per lens	15.78	
 V2740	Tint, plastic, rose 1 or 2, per lens	By Report	
 V2741	Tint, plastic, other than rose 1 or 2, per lens	By Report	
 V2742	Tint, glass, rose 1 or 2, per lens	By Report	
 V2743	Tint, glass, other than rose 1 or 2, per lens	By Report	
 V2744	Tint, photochromatic, per lens	By Report	
 V2755	U-V lens, per lens	By Report	

(4) Frames

 V2020	Frames, purchase		21.31
 Z2910	Arm with adjustable pad		5.91
 Z2912	Front--zyl (replace or repair)		11.18
 Z2914	Front--combination or metal (replace or repair)		12.66
 Z2916	Temple--all types (replace)		6.70

(5) Low Vision Aids

 V2600	Hand held low vision aids and other 
		non-spectacle mounted aids	By Report	
 V2610	Single lens spectacle mounted low vision aids	By Report	
 V2615	Telescopic and other compound lens system,
		including distance vision telescopic, near 
		vision telescopes and compound microscopic
		lens system	By Report	

(6) Prosthetic Eyes

 V2623	Prosthetic eye, plastic, custom	By Report
 V2624	Polishing and resurfacing of ocular prosthesis		$31.96
 V2625	Enlargement of ocular prosthesis	By Report
 V2626	Reduction of ocular prosthesis	By Report
 V2627	Scleral cover shell	By Report
 V2628	Fabrication and fitting of ocular conformer	By Report
 V2629	Prosthetic eye, other type	By Report	

(7) Miscellaneous Nonlens Items

 Z2918	Occluder, clip patch style		6.70
 Z2920	Occluder, cup		7.83
 Z2926	Headband		2.84
 Z2928	Nosepads, nosepad covers, temple covers		2.27
 V2799	Not otherwise classified	By Report	

NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 87, Chapter 1594, Statutes of 1982. Reference: Sections 14105 and 14105.3, Welfare and Institutions Code; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; and Statutes of 1985, Chapter 111, Items 4260-106-001 and 890.
HISTORY

1. Amendment filed 11-28-88 as an emergency; operative 11-28-88 (Register 89, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-28-89. For prior history, see Register 86, No. 46.
2. Certificate of Compliance as to 11-28-88 order transmitted to OAL 3-27-89 and filed 4-26-89 (Register 89, No. 18).
3. Repealer and new section filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
5. Amendment of subsection (b)(6) filed 9-29-93 as an emergency; operative 9-29-93 (Register 93, No. 40).  A Certificate of Compliance must be transmitted to OAL 1-27-94 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction amending History 5 (Register 93, No. 46).
7. Certificate of Compliance as to 9-23-93 order transmitted to OAL 10-29-93 and filed 11-8-93 (Register 93, No. 46).
8. Amendment of subsections (b)(2) and (b)(6) filed 8-27-99 as an emergency; operative 8-30-99 (Register 99, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-28-99 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsections (b)(2) and (b)(6) refiled 12-27-99 as an emergency; operative 12-28-99 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-26-2000 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsections (b)(2) and (b)(6) refiled 4-24-2000 as an emergency; operative 4-26-2000 (Register 2000, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-2000 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-24-2000 order transmitted to OAL 5-24-2000 and filed 7-6-2000 (Register 2000, No. 27).
§51519.1. Dispensing Fees for Ophthalmic Appliances Supplied by a Fabricating Optical Laboratory Under an Exclusive Area Negotiated Contract.
Note     •     History

(a) General Provisions.
(2) Dispensing Fees include ordering, fitting and adjusting eye appliances and follow-up services for a period of six months after date of service.
(b) Maximum reimbursement for dispensing fees shall be as follows:

	Maximum
	Allowance
	for Dispensing
Procedure	Fee per Lens
 Code	and Frame

Z2930 Single vision lens		 $10.77
Z2932 Bifocal lens		 15.90
Z2934 Trifocal lens		 21.88
Z2936 Frame		 6.21

NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 87, Chapter 1594, Statutes of 1982. Reference: Sections 14105.3 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 11-28-88 as an emergency; operative 11-28-88 (Register 89, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-28-89.
2. Certificate of Compliance as to 11-28-88 order transmitted to OAL 3-27-89 and filed 4-26-89 (Register 89, No. 18).
3. Amendment of subsection (b) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
§51519.2. Reimbursement Rates for Ophthalmic Appliances Supplied by a Fabricating Optical Laboratory Under an Exclusive Area Negotiated Contract.
Note     •     History

(a) General Provisions.
(1) Reimbursement rates listed in (b) below include lens grinding, cutting, edging, impact resistance and testing, oversize lenses, special beveling, drilling and mounting.
(2) “Diopters” refers to the power of the strongest meridian of the major portion of the lens, the maximum cylindrical power, or the power of the segment addition, as appropriate.
(b) Maximum reimbursement rates payable under an exclusive area negotiated contract for eye appliances shall be as follows:
(1) Spectacle Lenses.

	Maximum
Procedure	Reimbursement
 Code	Rates per Lens

SINGLE VISION GLASS

Z3100 0.00-4.00 diopters	 $ 7.34
Z3102 4.12-7.00 diopters	 7.68
Z3104 7.12-20.00 diopters	 19.79
Z3106 Lenticular	 28.44

BIFOCAL GLASS

Z3108 0.00-4.00 diopters	 $10.95
Z3110 4.12-7.00 diopters	 12.60
Z3112 7.12-20.00 diopters	 21.60
Z3114 Lenticular	  40.14

TRIFOCAL GLASS

Z3116 0.00-4.00 diopters	 $15.65
Z3118 4.12-7.00 diopters	 16.94

SINGLE VISION PLASTIC

Z3120 0.00-4.00 diopters	 $8.32
Z3122 4.12-6.00 diopters	 9.56
Z3124 6.12-10.00 diopters	 12.43
Z3126 10.12-14.00 diopters	 15.00
Z3128 14.12-18.00 diopters	 15.00
Z3130 Aspheric (lenticular or full field)	 28.60

	Maximum
Procedure	Reimbursement
 Code	Rates per Lens

Z3132 Lenticular, nonaspheric, plus	 26.65
Z3134 Lenticular, nonaspheric, minus	 32.30

BIFOCAL PLASTIC

Z3136 0.00-4.00 diopters	 $13.04
Z3138 4.12-6.00 diopters	 15.32
Z3140 6.12-10.00 diopters 	 18.01
Z3142 10.12-14.00 diopters 	 28.92
Z3144 14.12-18.00 diopters	 28.92
Z3146 Aspheric (lenticular or full field)	 46.15
Z3148 Lenticular, nonaspheric, plus	 31.20
Z3150 Lenticular, nonaspheric, minus	35.42

TRIFOCAL PLASTIC

Z3152 0.00-4.00 diopters	 $20.15
Z3154 4.12-7.75 diopters	 22.17
Z3156 8.00-14.00 diopters	 32.18

(2) Miscellaneous Lens Items.

Z3158 Balance lens	50 percent of allowance for  comparable single vision lens

Z3160 4.00-6.00 diopter, cylinder	 $1.81
Z3162 Prism (if available from stock blank)	 4.22
Z3164 Bifocal--adds 4.00 diopter or higher	 13.00
Z3166 Absorptive characteristics	By Report
Z3168 Higher powers than listed (per diopter)	 2.48
Z3170 Slab-off	 26.00
Z3172 Fresnel prism	 11.05
(3) Frames.

Z3174 Frame--zyl	 $9.50
Z3176 Frame--(metal only)	 16.20
Z3178 Arm with adjustable pad	 3.75
Z3180 Front--zyl (replace supplied frames)	 4.80
Z3182 Front--metal only (replace supplied frames)	 10.40
Z3184 Temple--(replace supplied frames)	 2.35
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code; and Section 87, Chapter 1594, Statutes of 1982. Reference: Sections 14105.3 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 11-28-88 as an emergency; operative 11-28-88 (Register 89, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-28-89.
2. Certificate of Compliance as to 11-28-88 order transmitted to OAL 3-27-89 and filed 4-26-89 (Register 89, No. 18).
3. Amendment of section heading and subsections (b)(1)-(b)(3) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-25-92 order including amendment of subsection (b)(3) transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
5. Amendment of  subsections (a) and (b) and new Note filed 10-1-92 with Secretary of State by Department of Health Services; operative 10-1-92. Submitted to OAL for printing only pursuant to section 147(c), SB 485, (Chapter 722, Statutes of 1992) (Register 92, No. 40).
§51520. Medical Supplies.
Note     •     History

(a) Reimbursement for medical supplies provided in compliance with Section 51320 shall be in accordance with Welfare and Institutions Code, Section 14105.47.
(b) Reimbursement for incontinence medical supplies shall be the amount billed in accordance with Section 51008.1, not to exceed the amount provided in Welfare and Institutions Code, Section 14125.
(c) Sales tax, when appropriate, shall be added to the charge to the program.
NOTE

Authority cited: Section 20, Health and Safety Code; Sections 10725, 14043.75, 14105, 14105.2, 14105.47 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14105.2, 14105.47, 14125 and 14125.1, Welfare and Institutions Code; and Statutes of 1992, Chapter 722, Sections 90 and 111.
HISTORY

1. New section filed 9-30-71 as an emergency; designated effective 10-1-71 (Register 71, No. 40).
2. Certificate of Compliance--section 11422.1, Gov. Code, filed 1-25-72 (Register 72, No. 5).
3. Amendment of subsection (b) filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
4. New subsection (d) filed 1-30-73; effective thirtieth day thereafter (Register 73, No. 5).
5. Amendment of  subsections (a) and (b) and new Note filed 10-1-92 with Secretary of State by Department of Health Services; operative 10-1-92. Submitted to OAL for printing only pursuant to section 147(c), SB 485, (Chapter 722, Statutes of 1992) (Register 92, No. 40).
6. Certificate of Compliance as to 10-1-92 order transmitted to OAL 1-2-93 and filed 3-12-93 (Register 93, No. 11).
7. Amendment of section and Note filed 2-27-2003 as an emergency; operative 3-1-2003 (Register 2003, No. 9). Pursuant to statutes of 1999, chapter 146, section 78, a Certificate of Compliance must be transmitted to OAL by 8-28-2003 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of History 7 (Register 2003, No. 20).
9. Amendment of section and Note refiled 8-28-2003 as an emergency; operative 8-28-2003 (Register 2003, No. 35). Pursuant to statutes of 1999, chapter 146, section 78, a Certificate of Compliance must be transmitted to OAL by 2-24-2004 or emergency language will be repealed by operation of law on the following day.
10. Order of 8-28-2003 repealed by operation of law (Register 2004, No. 9).
11. Amendment of section and Note filed 2-24-2004; operative 2-25-2004 (Register 2004, No. 9). Pursuant to section 14043.75(a) of the Welfare and Institutions Code, this filing is deemed an emergency and exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-24-2004 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 2-24-2004 order transmitted to OAL 3-12-2004 and filed 4-26-2004 (Register 2004, No. 18).
13. Change without regulatory effect amending subsection (a) and Note filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§51520.1. Establishment of Maximum Allowable Product Cost for Medical Supplies. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053, 14105.7, 14124.1, 14132 and 14133, Welfare and Institutions Code.
HISTORY

1. New section filed 5-22-91 as an emergency pursuant to Statutes of 1990, chapter 456, section 36, p. 1658-1659; operative 5-22-91 (Register 91, No. 27). A Certificate of Compliance must be transmitted to OAL by 9-19-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-19-91 as an emergency; operative 9-20-91 (Register 92, No. 4). A Certificate of Compliance must be transmitted to OAL 1-20-92 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 1-23-92 as an emergency; operative 1-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 5-22-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-23-92 order including amendment of section heading, subsections (a), (f)-(h) and Note transmitted to OAL 5-22-92 and filed 7-6-92 (Register 92, No. 28).
5. Amendment of subsections (b)-(d) filed 1-9-95; operative 3-1-95 (Register 95, No. 2).
6. Editorial correction restoring current version of section and adding History Note 5 (Register 95, No. 8).
7. Repealed by operation of Welfare and Institutions Code section 14105.47 (Assembly Bill No. 442 (2001-2002 Reg. Sess.) section 74 (Register 2009, No. 5).
§51520.2. List of Generic Medical Supply Types. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982. Reference: Sections 14053, 14105, 14105.7, 14132 and 14133, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982.
HISTORY

1. New section filed 5-22-91 as an emergency pursuant to Statutes of 1990, chapter 456, section 36, p. 1658-1659; operative 5-22-91 (Register 91, No. 27). A Certificate of Compliance must be transmitted to OAL by 9-19-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 9-19-91 as an emergency; operative 9-20-91 (Register 92, No. 4). A Certificate of Compliance must be transmitted to OAL 1-20-92 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 1-23-92 as an emergency; operative 1-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 5-22-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-23-92 order including amendment of section transmitted to OAL 5-22-92 and filed 7-6-92 (Register 92, No. 28).
5. Amendment of subsection (b) and Note filed 1-9-95; operative 3-1-95 (Register 95, No. 2).
6. Editorial correction restoring current version of section and adding History Note 5 (Register 95, No. 8).
7. Change without regulatory effect repealing section filed 1-26-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 5).
§51521. Durable Medical Equipment.
Note     •     History

(a) Reimbursement for the rental or purchase of durable medical equipment, except wheelchairs, wheelchair accessories, and speech-generating devices and related accessories, shall be the lesser of:
(1) The amount billed pursuant to Section 51008.1, or
(2) An amount that does not exceed 80 percent of the lowest maximum allowance for California established by the federal Medicare Program for the same or similar item or service, or
(3) The guaranteed acquisition cost negotiated by means of the contracting process provided for pursuant to Welfare and Institutions Code Section 14105.3 plus a percentage markup to be established by the Department.
(b) Reimbursement for wheelchairs and wheelchair accessories, and speech-generating devices and related accessories shall be the lesser of:
(1) The amount billed pursuant to Section 51008.1, or
(2) An amount that does not exceed 100 percent of the lowest maximum allowance for California established by the federal Medicare Program for the same or similar item or service, or
(3) The guaranteed acquisition cost negotiated by means of the contracting process provided for pursuant to Welfare and Institutions Code Section 14105.3 plus a percentage markup to be established by the Department.
(c) Reimbursement for all durable medical equipment billed to the Medi-Cal Program utilizing codes with no specified maximum allowable rate shall be the lesser of:
(1) The amount billed pursuant to Section 51008.1, or
(2) The guaranteed acquisition cost negotiated by means of the contracting process provided for pursuant to Welfare and Institutions Code Section 14105.3 plus a percentage markup to be established by the Department, or
(3) The actual acquisition cost plus a markup to be established by the Department, or
(4) The manufacturer's suggested retail purchase price, on June 1, 2006, documented by a printed catalog or a hard copy of an electronic catalog page showing the price on that date, and reduced by a percentage discount not to exceed 20 percent, or not to exceed 15 percent for wheelchairs and wheelchair accessories if the provider employs or contracts with a qualified rehabilitation professional, as defined in paragraph (3) of subdivision (c) of Welfare and Institutions Code Section 14105.485, or
(5) A price established through targeted product-specific cost containment provisions developed with providers.
(d) Reimbursement for all durable medical equipment supplies and accessories billed to the Medi-Cal program shall be the lesser of:
(1) The amount billed pursuant to Section 51008.1, or
(2) The acquisition cost plus a 23 percent markup.
(e) In addition to other required information, billings for equipment reimbursed “By Report,” whether listed or unlisted, shall include or be accompanied by a description of the equipment indicating:
(1) The manufacturer's name and suggested retail price for the equipment.
(2) Description of and justification for any special features of the equipment such as custom modifications or special accessories.
(3) If an unlisted item, the reason a listed item cannot be used.
(f) Billings for wheelchairs, whether listed or unlisted, shall include or be accompanied by a description of the equipment indicating the manufacturer's name, model designation and suggested retail price.
(g) In addition to other required information, billings for repair and maintenance shall include or be accompanied by a written description of the service indicating:
(1) The reason or justification for repair and the services provided.
(2) The labor time involved (may be rounded to the nearest half hour for the total repair job) and the hourly charge for labor.
(3) The manufacturer's name and catalogue numbers of parts used.
(h) Maximum reimbursement rates established by the Department include payment for the following services. No additional reimbursement shall be allowed for these services except as provided below.
(1) Freight, delivery or transportation, except as necessary to cover the additional costs of required, atypical services not otherwise covered in the maximum reimbursement rates.
(2) Installation, setup or instruction in the use of equipment.
(3) Repair, maintenance or routine servicing of rental equipment.
(i) Purchased equipment shall be guaranteed for a period of at least six months from the date of purchase. Out-of-guarantee repairs shall be guaranteed for a period of at least three months from the date of such repair. No reimbursement shall be allowed for parts or labor during a guarantee period if the need for repair is due to a defect in materials or workmanship.
(j) Monthly rental rates shall apply to calendar month periods, or their equivalent.
NOTE

Authority cited: Section 20, Health and Safety Code; Sections 10725, 14043.75, 14105, 14105.2, 14105.48 and 14124.5, Welfare and Institutions Code; and Section 78, Chapter 146, Statutes of 1999. Reference: Sections 14103.7, 14105, 14105.2 and 14105.48, Welfare and Institutions Code; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890; Statutes of 2003, Chapter 230 and Chapter 659, Items 4260-101-001 and 0890; and Statutes of 2006, Chapter 74, Items 4260-101-0001 and 0890.
HISTORY

1. Amendment filed 2-25-83 as an emergency; designated effective 3-1-83 (Register 83, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-29-83. For prior history, see Register 81, No. 52).
2. Certificate of Compliance as to 2-25-83 order transmitted to OAL 6-27-83 and filed 7-28-83 (Register 83, No. 31).
3. Amendment filed 2-15-84 (approved by OAL with Certificate of Compliance filed 7-28-83; designated effective 8-27-83 (Register 84, No. 7).
4. Amendment of subsection (i) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84.
5. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
6. Amendment of subsection (i) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
7. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
8. Repealer and new section filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 9-25-92 order including amendment of subsections (i)(6) and (i)(7) transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
10. Amendment of subsection (i)(6) filed 9-29-93 as an emergency; operative 9-29-93 (Register 93, No. 40).  A Certificate of Compliance must be transmitted to OAL 1-27-94 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction amending subsection (i)(6) and History 10 (Register 93, No. 46).
12. Certificate of Compliance as to 9-29-93 order transmitted to OAL 10-29-93 and filed 11-8-93 (Register 93, No. 46).
13. Editorial correction of printing errors in subsections (i)(6) and (7) (Register 94, No. 7).
14. Amendment of subsections (i)(1), (5) and (8) filed 11-28-94 as an emergency; operative 11-28-94 (Register 94, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-28-95 or emergency language will be repealed by operation of law on the following day.
15. Editorial correction of History 14 (Register 95, No. 18).
16. Certificate of Compliance as to 11-28-94 order transmitted to OAL 3-23-95 and filed 5-4-95 (Register 95, No. 18).
17. Editorial correction of subsection (i)(2) inserting inadvertently omitted text (Register 95, No. 29).
18. Amendment of subsection (i)(6) filed 8-2-95 as an emergency; operative 8-2-95 (Register 95, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-95 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 8-2-95 order including amendment of subsection (i)(6) transmitted to OAL 11-22-95 and filed 1-3-96 (Register 96, No. 1).
20. Editorial correction of subsections (i)(3) and (i)(7) (Register 96, No. 11).
21. Amendment of subsections (i)(3) [X2981 and X2982] and (i)(8) [E0600, E0747 and E0781-X2948] filed 7-29-96 as an emergency; operative 7-29-96 (Register 96, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-26-96 or emergency language will be repealed by operation of law on the following day.
22. Certificate of Compliance as to 7-29-96 order transmitted to OAL 11-7-96 and filed 12-23-96 (Register 96, No. 52).
23. Amendment of subsection (i) filed 7-28-97 as an emergency; operative 7-28-97 (Register 97, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-25-97 or emergency language will be repealed by operation of law on the following day.
24. Certificate of Compliance as to 7-28-97 order transmitted to OAL 11-19-97 and filed 1-6-98 (Register 98, No. 2)
25. Amendment of  subsections (i)(1)-(7), new subsection (i)(8), subsection renumbering, and amendment of newly designated subsection (i)(9) filed 7-21-98 as an emergency; operative 7-27-98 (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-98 or emergency language will be repealed by operation of law on the following day.
26. Editorial correction of History 25 (Register 99, No. 2).
27. Certificate of Compliance as to 7-21-98 order, including further amendment of subsections (i)(3) and (i)(6)-(i)(9), transmitted to OAL 11-23-98 and filed 1-7-99 (Register 99, No. 2).
28. Amendment of subsections (i)(2)-(3) and (i)(6)-(7) filed 8-27-99 as an emergency; operative 8-30-99 (Register 99, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-28-99 or emergency language will be repealed by operation of law on the following day.
29. Amendment of subsections (i)(2)-(3) and (i)(6)-(7) refiled 12-27-99 as an emergency, including further amendment of subsections (i)(3) and (i)(6)-(7); operative 12-28-99 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 4-26-2000 or emergency language will be repealed by operation of law on the following day.
30. Amendment of subsections (i)(2)-(3) and (i)(6)-(7) refiled 4-24-2000 as an emergency; operative 4-26-2000 (Register 2000, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-2000 or emergency language will be repealed by operation of law on the following day.
31. Amendment of subsections (i)(1)-(9) filed 6-5-2000 as an emergency; operative 6-5-2000 (Register 2000, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-3-2000 or emergency language will be repealed by operation of law on the following day.
32. Certificate of Compliance as to 4-24-2000 order transmitted to OAL 5-24-2000 and filed 7-6-2000 (Register 2000, No. 27).
33. Amendment of subsections (i)(1)-(9) refiled 8-21-2000 as an emergency; operative 10-3-2000 (Register 2000, No. 34). A Certificate of Compliance must be transmitted to OAL by 1-31-2001 or emergency language will be repealed by operation of law on the following day.
34. Amendment of subsections (i)(1), (i)(6), (i)(8) and (i)(9) filed 10-31-2000 as an emergency; operative 10-31-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-28-2001 or emergency language will be repealed by operation of law on the following day.
35. Certificate of Compliance as to 8-21-2000 order transmitted to OAL 1-3-2001 and filed 2-5-2001 (Register 2001, No. 6).
36. Certificate of Compliance as to 10-31-2000 order transmitted to OAL 2-22-2001 and filed 4-4-2001 (Register 2001, No. 14).
37. Amendment of subsection (i)(1) -- groups 1, 2, 4 and 6 filed 12-19-2001 as an emergency; operative 12-19-2001 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-18-2002 or emergency language will be repealed by operation of law on the following day.
38. Certificate of Compliance as to 12-19-2001 order transmitted to OAL 4-9-2002 and filed 4-30-2002 (Register 2002, No. 18).
39. Amendment of subsection (i), new subsection (j) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
40. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (j), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
41. Amendment of subsection (a), repealer and new subsection (a)(1), new subsection (a)(2), subsection renumbering, amendment of newly designated subsection (a)(3) and amendment of Note filed 2-27-2003 as an emergency; operative 3-1-2003 (Register 2003, No. 9). Pursuant to statutes of 1999, chapter 146, section 78, a Certificate of Compliance must be transmitted to OAL by 8-28-2003 or emergency language will be repealed by operation of law on the following day.
42. Amendment of subsection (i) filed 4-4-2003 as an emergency; operative 4-4-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-4-2003 or emergency language will be repealed by operation of law on the following day.
43. Editorial correction of History 41 (Register 2003, No. 20).
44. Amendment of subsection (a), repealer and new subsection (a)(1), new subsection (a)(2), subsection renumbering, amendment of newly designated subsection (a)(3) and amendment of Note refiled 8-28-2003 as an emergency; operative 8-28-2003 (Register 2003, No. 35). Pursuant to statutes of 1999, chapter 146, section 78, a Certificate of Compliance must be transmitted to OAL by 2-24-2004 or emergency language will be repealed by operation of law on the following day.
45. Certificate of Compliance as to 4-4-2003 order transmitted to OAL 7-28-2003 and filed 9-4-2003 (Register 2003, No. 36).
46. Order of 8-28-2003 repealed by operation of law (Register 2004, No. 9).
47. Amendment of subsection (a), repealer and new subsection (a)(1), new subsection (a)(2), subsection renumbering, amendment of newly designated subsection (a)(3) and amendment of Note filed 2-24-2004; operative 2-25-2004 (Register 2004, No. 9). Pursuant to section 14043.75(a) of the Welfare and Institutions Code, this filing is deemed an emergency and exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-24-2004 or emergency language will be repealed by operation of law on the following day.
48. Certificate of Compliance as to 2-24-2004 order transmitted to OAL 3-12-2004 and filed 4-26-2004 (Register 2004, No. 18).
49. Amendment of section and Note filed 12-9-2008; operative 12-9-2008. Submitted to OAL for printing only (Register 2008, No. 50).
§51522. Hearing and Speech Centers. [Repealed]
History

HISTORY

1. New section filed 2-23-67 as an emergency; effective upon filling (Register 67, No. 8).
2. Certificate of Compliance--Section 11422.1, Government Code--filed 4-12-67 (Register 67, No. 15).
3. Repealer filed 4-17-67; effective thirtieth day thereafter (Register 67, No. 16).
§51523. Home Health Agency Services.
Note     •     History

(a) An approved home health agency shall be reimbursed in accordance with the maximum rates as shown below. However, in no case shall the service billed exceed charges made to the general public for the provision of similar services. 

Procedure		Maximum
 Code	Per Visit Allowance	Rates	

	Z6900	Skilled Nursing Services	 $74.86

	Z6902	Home Health Aide Services	 $45.75

	Z6904	Physical Therapy Services	$68.84

	Z6906	Occupational Therapy Services	 $71.36
	Z6908	Speech Therapy Services	 $78.43
	Z6910	Medical Social Services	 $96.22
	Z6914	Case Evaluation and Initial Treatment Plan	 $30.13
	Z6916	Monthly Case Evaluation Extension of
		Treatment Plan	 $15.19

	Z6918	Unlisted Services	 By Report

	Z6920	Early Discharge Visit	 $74.86
(b) Each “Per Visit Allowance” billed shall represent a minimum of one hour's service provided to the patient, with the exception of “Home Health Aide Services,” which shall represent a minimum of two hours of service provided to the patient.
(c) “Unlisted Services” (Procedure Code Z6918) are payable only upon prior authorization of the Department and shall include:
(1) Services which are provided by the Home Health Agency staff but which are not shown in these rates, except that services rendered by interns or residents-in-training are not separately payable.
(2) Unusual transportation costs may be billed “By Report.” All other travel expenses are included in the “Per Visit Allowance” rates.
(d) “Case Evaluation and Initial Treatment Plan” (Procedure Code Z6914) is for the purpose of evaluating and developing a patient's proposed treatment plan for approval by the patient's attending physician; and shall be billed one time only for each individual case. No service rendered prior to the development and signed approval by the attending physician of the “Case Evaluation and Initial Treatment Plan” is payable.
(e) A “Monthly Case Evaluation--Extension of Treatment Plan” (Procedure Code Z6916) may be allowed after “Case Evaluation and Initial Treatment Plan,” provided such service is rendered no sooner than one full calendar month following the date of the attending physician's approval of the initial treatment plan, and no more frequently than monthly thereafter.
(f) Services provided during the Early Discharge Visit (Procedure code Z6920) shall be provided to both the mother and her newborn in accordance with Section 51327(b).
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14132.42, Welfare and Institutions Code; Statutes of 2000, Chapter 52, Items 4260-101-001 and 4260-101-0890; Section 433.123, Title 42, Code of Federal Regulations; and Coalition of Visiting Nurse Associations v. Department of Health Services, Los Angeles County Superior Court (Case No. BC22501).
HISTORY

1. Amendment of subsection (a) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 81, No. 52.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment of subsection (a) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Amendment filed 10-1-87; operative 10-31-87 (Register 87, No. 41).
6. Amendment of subsection (a) filed 5-9-88 as an emergency; operative 5-15-88 (Register 88, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-12-88.
7. Certificate of Compliance transmitted to OAL 9-1-88 and filed 10-3-88 (Register 88, No. 42).
8. Amendment of subsections (a), (c), (d) and (e) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 9-25-92 order including amendment of subsection (a) transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
10. Amendment of subsection (a) and Note filed 12-22-94 as an emergency; operative 12-22-94 pursuant to Welfare and Institutions Code section 14105(a) (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-21-95 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-22-94 order transmitted to OAL 4-21-95 and filed 6-1-95 (Register 95, No. 22).
12. Amendment of subsection (a) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (a) and Note refiled 2-5-96 as an emergency; operative 2-5-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-6-96 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 2-5-96 order transmitted to OAL 6-4-96 and filed 7-12-96 (Register 96, No. 28).
15. Amendment of subsection (a), new subsection (f) and amendment of Note filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 3-13-2000 order transmitted to OAL 7-5-2000 and filed 8-14-2000 (Register 2000, No. 33).
17. Amendment of subsection (a) and amendment of Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
§51524. In-Home Medical Care Waiver Services and Nursing Facility Waiver Services.
Note     •     History

(a) The method and rate of reimbursement for in-home medical care waiver services and nursing facility waiver services shall be set forth in a written agreement between the provider of services and the Department and may be set on an individual case by case basis.
(b) For beneficiaries receiving in-home care waiver services, the total reimbursement for all Medi-Cal services provided to a beneficiary shall be less than the total cost of services that would be incurred by the Medi-Cal program for the beneficiary in an acute hospital.
(c) For beneficiaries receiving nursing facility waiver services, the total reimbursement for all Medi-Cal services provided each recipient shall be less than the total cost of services that would be incurred by the Medi-Cal program for the beneficiary in the level of Medi-Cal nursing facility care appropriate to that beneficiary's medical needs.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14114 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
2. Certificate of Compliance transmitted to OAL 12-30-82 and filed 2-2-83 (Register 83, No. 6).
3. Editorial correction of NOTE filed 1-15-85 (Register 85, No. 4).
4. Amendment of section heading, text and Note filed 10-20-94; operative 10-20-94 (Register 94, No. 42).
5. Editorial correction of History 4 (Register 95, No. 14).
§51525. Blood and Blood Derivatives.
Note     •     History

Payment will be made for reasonable costs subject to maximums which may be established by the Director.
NOTE

Authority cited: Sections 10725 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-5-67 as an emergency; effective upon filing. Certificate of Compliance filed 6-9-67 (Register 67, No. 23).
2. Amendment filed 9-27-72; designated effective 11-1-72 (Register 72, No. 40).
3. New NOTE filed 1-15-85 (Register 85, No. 4).
§51526. Incontinence Medical Supplies.
Note     •     History

(a) Manufacturers and principal labelers shall report to the Department, at least annually, their median prices charged for all their Medi-Cal covered products.
(b) The Department shall update the median prices charged within sixty (60) days after receipt from the manufacturer or principal labeler subject to the Department's verification of the accuracy of the median price charged data.
(c) For purposes of reporting the median price charged and calculating the maximum estimated acquisition cost for Incontinence Medical Supplies, the major product categories are:
(1) Disposable Diapers and Briefs
(A) Economy
(1) Infant, large
(2) Infant, extra large
(3) Youth, small
(4) Youth, medium
(5) Youth, large
(6) Adult, small
(7) Adult, medium
(8) Adult, large
(9) Adult, extra large
(B) Premium
(1) Infant, large
(2) Infant, extra large
(3) Youth, small
(4) Youth, medium
(5) Youth, large
(6) Adult, small
(7) Adult, medium
(8) Adult, large
(9) Adult, extra large
(2) Underpads
(A) Economy
(1) Small
(2) Medium
(3) Large
(4) Tuckable
(B) Premium
(1) Small
(2) Medium
(3) Large
(4) Tuckable
(3) Undergarments
(A) Economy
(B) Premium
(4) Liners and Pads
(A) Small
(B) Medium
(C) Large
(5) Adult pant systems
(A) Mesh
(B) Pants
(6) Barrier Creams for the skin
(7) Incontinence washes
(d) The major product categories defined in this section may be, but are not required to be, the same categories used for negotiating contract prices for incontinence medical supplies. The Department may contract for products in all or any portion of these categories or in other categories as it decides are necessary.
(e) Notwithstanding the listing of major product categories in subsection (c), the establishment of a major product category or the inclusion of a product within a major product category does not mean the product or the category are a Medi-Cal program benefit.
NOTE

Authority cited: Sections 14105, 14125.1(c), 14125.4, 14125.5 and 14125.9, Welfare and Institutions Code; and Section 36, Chapter 456, Statutes of 1990. Reference: Section 14132, Welfare and Institutions Code; and Section 33, Chapter 456, Statutes of 1990.
HISTORY

1. New section filed 5-24-91 as an emergency; operative 5-24-91 (Register 91, No. 26). A Certificate of Compliance must be transmitted to OAL by 9-23-91 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsection (b) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84.
§51527. Medical Transportation Services.
Note     •     History

(a) General Provision.
(1) The reimbursement for medical transportation services shall be in accordance with maximum reimbursement rates as follows: however, billing shall not exceed charges made to the general public.
(b) Maximum reimbursement rates for medical transportation services shall be as follows:

	Procedure	Maximum
	Code	Allowance

(1) Ambulance Transportation

	X0030	Ambulance service, basic life support (BLS) base
		 rate, emergency transport, one way (includes
		 allowance for emergency run)		$118.20
	X0032	Non-emergency transportation, ambulance, base
		 rate one way		 107.16
	X0002	Response to call, 2 patients, each patient (does
		 not include an allowance for emergency run)		 37.02
	X0034	Ambulance service, (BLS) per mile, transport 
		 one way		 3.55
	X0004	Night call--7:00 p.m. to 7:00 a.m.		 9.88
	X0006	Emergency run		 9.88
	X0036	Ambulance service, oxygen, administration and
		 supplies, life sustaining situation		 9.88
	X0008	Neonatal intensive care incubator		 51.49
	X0010	Waiting time over 15 min.--each 15 min.		 9.88

	X0012	Compressed air for infant respirator		10.23
		Extra attendant--RN, EMT, or equivalent; (in addition to
		normal crew of two):
	X0014	 First hour		16.44
	X0016	 Second and third hour, each hour		11.51
	X0018	 Each additional hour		5.25
	X0020	Cost of IV fluids (invoice must be attached)		By Report
	X0022	ECG in ambulance		16.07
	A0999	Unlisted		 By Report
	
(2) Air Ambulance Transportation

	A0430	Ambulance service, conventional air services,
		 transport, one way (fixed wing)		$1,275.00
	A0431	Ambulance service, conventional air services,
		 transport, one way (rotary wing)		1,800.00
	X0500	Patient on board miles, helicopter, per mile		22.10
	X0502	Patient on board miles, fixed-wing, per mile		14.25
	X0504	Night call, 7:00 p.m. to 7:00 a.m.		100.00
	X0506	Waiting time over 15 minutes, each 15 minutes		25.00
	X0508	Federal excise tax for fixed-wing aircraft over 
		 6,000 pounds		10% of 
				loaded
				mileage
				charge
	X0510	Oxygen--per tank		9.88
	X0512	Neonatal intensive care incubator		51.49
	X0514	Compressed air for infant respirator		10.23

	X0516	Administration of IV solution, 1000cc, including
		 tubing and other supplies		13.00

	X0518	Administration of IV solution, 500cc, including 
		 tubing and other supplies		7.00

	X0522	Unlisted air transportation	By Report
	
(3) Wheelchair Van and Litter Van Transportation

	X0200	Response to call, nonlitter patient: 
		1 patient		 $17.65
	X0202	2 patients, each patient		 14.10
	X0204	3 patients, each patient		 11.71
	X0206	4, or more patients, each patient		 10.01
	X0208	Wheelchair use		 0.89
	X0210	Response to call, litter patient in litter van		 26.29

	X0212	Attendant		 5.52
	X0214	Waiting time over 15 min.--each 15 min.		 5.65

	X0216	Mileage one way--per mile		 1.30
	X0218	Night call--7:00 p.m. to 7:00 a.m.		 6.13
	X0220	Oxygen--per tank		 11.86

	X0222	Unlisted		 By Report
	
(4) Patient transfer from discharging acute care hospital to a receiving skilled nursing facility or intermediate care facility.

	X0400	Response to call, ambulance		 $107.16
	X0402	Ambulance mileage, one way--per mile		 3.55
	X0404	Response to call, litter patient in litter van		 26.29

	X0406	Response to call, non-litter patient		 17.65
	X0408	Litter van and wheelchair van mileage, one way--
		per mile		 1.30

	X0410	Wheelchair use		 0.89
	X0412	Oxygen--per tank		 11.86
	X0414	Attendant		 5.52
	X0416	Unlisted	 	By Report
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14136.5, Welfare and Institutions Code; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; Statutes of 1998, Chapter 324, Items 4260-101-0001 and 0890; Statutes of 1999, Chapter 50, Items 4260-101-0001 and 0890; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. New subsection (b)(3) filed 4-11-84; effective thirtieth day thereafter (Register 84, No. 15). For prior history, see Register 81, No. 52.
2. Amendment of subsection (b) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84.
3. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
4. Amendment of subsection (b) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
5. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
6. Editorial correction of printing error in subsection (b)(2) and HISTORY 4. (Register 91, No. 30).
7. Amendment of subsection (b)(1), new subsection (b)(2) and amendment and redesignation of subsections (b)(3)-(b)(4) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
9. Amendment of subsection (b)(1) filed 8-2-95 as an emergency; operative 8-2-95 (Register 95, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-95 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 8-2-95 order transmitted to OAL 11-22-95 and filed 1-3-96 (Register 96, No. 1).
11. Amendment of subsections (b)(1) and (b)(4) amendment of Note filed 3-1-99 as an emergency; operative 3-1-99 (Register 99, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-29-99 or emergency language will be repealed by operation of law on the following day.
12. Reinstatement of section as it existed prior to 3-1-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 99, No. 33).
13. Amendment of subsections (b)(1) and (b)(4) and amendment of Note filed 8-10-99 as an emergency; operative 8-10-99 (Register 99, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-8-99 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 8-10-99 order transmitted to OAL 12-2-99 and filed 1-13-2000 (Register 2000, No. 2).
15. Amendment of subsections (b)(1) and (b)(4) and amendment of Note filed 11-13-2000 as an emergency; operative 11-13-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-2001 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 11-13-2000 order transmitted to OAL 3-13-2001 and filed 4-4-2001 (Register 2001, No. 14).
17. Amendment of subsection (b)(2) filed 12-19-2001 as an emergency; operative 12-19-2001 (Register 2001, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-18-2002 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 12-19-2001 order transmitted to OAL 4-9-2002 and filed 4-30-2002 (Register 2002, No. 18).
19. Amendment of subsections (b)(3)-(4), new subsection (c) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
20. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (c), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
§51528. Paramedic Ambulance Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14136.5, Welfare and Institutions Code; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; and Statutes of 1985, Chapter 111, Items 4260-106-001 and 890.
HISTORY

1. New section filed 4-20-82 as an emergency; effective upon filing (Register 82, No. 18).
2. Order of Repeal of 4-20-82 emergency order filed 4-29-82 by OAL pursuant to Government Code Section 11349.6 (Register 82, No. 18).
3. New section filed 7-6-82 as an emergency; effective upon filing (Register 82, No. 28). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-3-82.
4. Certificate of Compliance as to 7-6-82 order transmitted to OAL 11-3-82 and filed 12-3-82 (Register 82, No. 49).
5. Amendment of subsection (a) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84.
6. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
7. Amendment of subsection (a) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
8. Repealer filed 8-9-85; effective thirtieth day thereafter (Register 85, No. 32).
9. Certificate of Compliance as to 8-1-85 order transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
§51529. Pathology Services.
Note     •     History

(a) This section applies to all laboratory services excluding those performed for hospital inpatients and billed as part of the hospital cost reimbursement billing, and excluding those tests with rates incorporated in section 51503(b).
(1) Payment shall be made only for tests performed by standard procedures and techniques commonly employed by clinical laboratories. No payment shall be made to any provider for a laboratory test performed by a laboratory that is not qualified for reimbursement under the Medicare program (Title XVIII) for that test.
(2) Reimbursement for laboratory tests shall be the least of the following:
(A) The amount billed.
(B) The charge to the general public.
(C) 80 percent of the lowest maximum allowance established by the federal Medicare program for the same or similar services.
(3) Reimbursements pursuant to this section shall be made only to a provider who actually performed the pathology services. No provider shall bill the Medi-Cal program for pathology services, including collection and handling services, the provider did not actually perform. For purposes of this section, services shall be deemed to have been performed by the provider if the services are performed by the provider personally, or by an employee of the provider.
(4) Reimbursement for collection and handling of specimens is payable only in accordance with the following:
(A) The specimen is a blood sample.
(B) The specimen is forwarded to an outside laboratory.
(C) The following code is billed:
Code 99000: Handling and/or conveyance of specimen for transfer from the physician's office to a laboratory.
Code 99000 includes any or all of the following: Single or multiple venipuncture, capillary puncture or arterial puncture with one or more tubes, centrifugation and serum separation, freezing, refrigeration, preparation for air transportation or other special handling procedures, supplies, registration of patient or specimen, and third party billing.
(D) Reimbursement shall be made for only one collection and handling procedure per day per provider for each beneficiary.
(E) Reimbursement shall be the least of the following:
1. The amount billed
2. The charge to the general public 
3. Medicare's maximum allowance.
(5) Laboratory services necessary for chronic outpatient hemodialysis in renal dialysis centers and community hemodialysis units are payable only when billed by the renal dialysis center or community hemodialysis units.
(b) Newborn screening for heritable disorders mandated by law and prenatal screening for birth defects shall be reimbursed at the rate as established by the Department of Health Care Services pursuant to regulations as provided in sections 6508 and 6529, Title 17, California Code of Regulations.
(c) Any combination of two or more tests which are performed together on automated laboratory equipment shall be billed and reimbursed as an automated test.
(d) No reimbursement shall be made by the Medi-Cal program for any service which comes within the definition of laboratory services or clinical laboratory services unless the provider of service and all other persons or entities performing, supervising, consulting on, or directing the laboratory or clinical laboratory services for which reimbursement is sought from the Medi-Cal program are in compliance with the requirements of section 51211.2.
(e) If the Department determines that a provider of service no longer substantially meets the requirements for participation because one or more condition level deficiencies, as defined in 17 CCR 1029.55, exist; or immediate jeopardy, as defined in 17 CCR 1029.95, exists; or the license, registration or approval has been temporarily suspended, as defined in 17 CCR 1029.173, the Department may in lieu of, or in addition to, any other available sanction, and prior to hearing, temporarily suspend a provider of service from the Medi-Cal program and not pay all or part of the Medi-Cal and Medicaid reimbursements to which the provider would otherwise be entitled, provided that in the opinion of the Director such action is necessary to protect the public welfare or the interests of the Medi-Cal program. The Department shall follow the procedures identified in 17 CCR 1067.15 in taking such action. If it is determined upon judicial review that immediate jeopardy did not exist or if an adjudicatory hearing results in a final decision that condition level deficiencies did not exist, the provider of service may submit claims for the period of time for which the provider of service was temporarily suspended. Reimbursement of such claims shall be made to the same extent it would have been made if the provider of service had not been temporarily suspended and the claim had been submitted timely.
NOTE

Authority cited: Sections 20 and 309(b), Health and Safety Code; Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 101150-101165, 124980, 124985, 124990 and 124995, Health and Safety Code; Sections 14105, 14105.05, 14105.22, 14115.4, 14123 and 14134.2, Welfare and Institutions Code; Sections 1206, 1220, 1272 and 1272.6, Business and Professions Code; Statutes of 1982, Chapter 1594, Sections 77 and 79; Statutes of 1983, Chapter 323, Section 149; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; Statutes of 1984, Chapter 268, Section 66; Statutes of 1985, Chapter 111, Items 4260-106-001 and 890; Section 433.123, Title 42, Code of Federal Regulations; Title 42 United States Code, Section 263a; 42 USC, Section 1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Sections 1001.201 through 1001.1701 and 1002.2; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. Certificate of Compliance as to 12-21-82 order transmitted to OAL 4-19-83 and filed 5-24-83 (Register 83, No. 22). For prior history, see Register 82, No. 52.
2. Amendment of subsections (a)(4)(E), (b), and (c) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84.
3. Certificate of Compliance including amendment of subsections (a)(2) and (a)(4) transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
4. Amendment of subsections (a)(4)(E), (b) and (c) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
5. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
6. Change without regulatory effect of subsection (d) (Register 87, No. 25).
7. Amendment of subsections (b)-(d) filed 10-1-87; operative 10-31-87 (Register 87, No. 41).
8. Amendment of subsection (d) filed 12-6-90 as an emergency by the Department of Health Services with the Secretary of State; operative 12-6-90. Submitted to OAL for printing only pursuant to Health and Safety Code 309(g) (Register 91, No. 14).
9. Certificate of Compliance as to 12-6-90 order transmitted to OAL 3-19-91; exempted from OAL review pursuant to Health and Safety Code section 309(h); filed with the Secretary of State 4-18-91 (Register 91, No. 20).
10. Editorial correction of printing error in subsection (d) (Register 91, No. 32).
11. New subsection (f) and amendment of Note filed 1-20-94 as an emergency; operative 1-20-94 (Register  94, No. 3).  A Certificate of Compliance must be transmitted to OAL by 5-20-94 or emergency language will be repealed by operation of law on the following day.  
12. Certificate of Compliance as to 1-20-94 order transmitted to OAL 5-19-94 and filed 7-1-94 (Register 94, No. 26).
13. Amendment of subsections (a)(4)(C), (b) and (e) filed 7-28-97 as an emergency; operative 7-28-97 (Register 97, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-25-97 or emergency language will be repealed by operation of law on the following day.
14. Amendment of subsection (f), new subsection (g) and amendment of Note filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 7-28-97 order transmitted to OAL 11-19-97 and filed 1-6-98 (Register 98, No. 2).
16. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
17. Change without regulatory effect amending subsection (g) filed 5-14-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 20).
18. Amendment of subsection (a), new subsection (h) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
19. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (h), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
20. Change without regulatory effect amending section and Note filed 7-22-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§51531. X-Ray Services.
Note     •     History

(a) Payment for X-ray services, when provided at home, in residential care facilities, in intermediate care facilities or in skilled nursing facilities, and done by or under the direction of a physician, may be made when billed by the physician, except when these services are included in the cost payment formula of a skilled nursing facility.
(b) Payment for X-ray services performed by portable X-ray services as set forth in Section 51311(b), when provided at home, in residential care facilities, in intermediate care facilities or in skilled nursing facilities may be made in accordance with the following:
(1) Payment for X-ray services shall be reasonable charges not to exceed the charge in the locality for similar services with consideration for customary charges. Services shall be billed by either the physician (Radiologist) or the portable X-ray service. In no event shall the charge exceed the charge made to the general public.
(2) Payment for portable X-ray transportation shall include transportation of portable X-ray equipment and personnel to the home or skilled nursing facility. Maximum reimbursement rates shall be established pursuant to Welfare and Institutions Code Section 14105.23.
(c) Claims for services rendered by portable X-ray services shall include the name and address of the practitioner ordering the service, tentative diagnosis and a brief statement stating why portable X-ray service was necessary.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; and Section 20, Health and Safety Code. Reference: Section 14105, Welfare and Institutions Code; Statutes of 1982, Chapter 1594, Section 77; Statutes of 1983, Chapter 323, Section 149; Statutes of 1984, Chapter 268, Section 66; and Statutes of 1985, Chapter 111, Items 4260-106-001 and 890.
HISTORY

1. Amendment of subsection (b)(2) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 82, No. 52.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment of subsection (b)(2) filed 8-1-85 as an emergency; effective on filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Amendment of subsection (b)(2) filed 5-9-88 as an emergency; operative 5-15-88 (Register 88, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-12-88.
6. Certificate of Compliance transmitted to OAL 9-1-88 and filed 10-3-88 (Register 88, No. 42).
7. Amendment of subsection (b)(2) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
9. Change without regulatory effect amending subsection (b)(2) and Note filed 11-29-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 48).
§51532. Early and Periodic Screening, Diagnosis, and Treatment (EPSDT) Services.
Note     •     History

(a) Reimbursement for early and periodic screening services under the Child Health and Disability Prevention program shall be made in accordance with the provisions of Title 17, California Code of Regulations, Sections 6800 et seq.
(b) EPSDT screening services not provided through CHDP providers shall be reimbursed up to the maximum allowance for services set forth in this article.
(c) EPSDT diagnosis and treatment services, and services authorized as EPSDT Supplemental Services in excess of the maximum number of services specified in Section 51304, shall be reimbursed up to the maximum allowance for services set forth in this article.  Reimbursement for EPSDT supplemental services not set forth in this article shall be based upon a review of such services to determine their relationship to other services for which maximum allowances are set forth.
(d) Reimbursement for EPSDT case management services provided by entities or individuals serving EPSDT-eligible beneficiaries pursuant to Section 51340(j)(3) shall not duplicate reimbursement provided under other publicly funded programs.
(e) Reimbursement for EPSDT case management services provided pursuant to Section 51340(k) shall be in accordance with the provisions of the contract between the Department and the Medi-Cal managed care plan.
NOTE

Authority cited: Sections 208 and 320-324.5, Health and Safety Code; and Sections 14105 and 14125.4, Welfare and Institutions Code. Reference: Sections 320-324.5, Health and Safety Code; Sections 14105 and 14125.4, Welfare and Institutions Code; Item 265--Budget Act of 1979; and Item 291--Budget Act of 1980.
HISTORY

1. New section filed 2-27-75; effective thirtieth day thereafter (Register 75, No. 9).
2. Amendment filed 8-1-80 as an emergency; effective upon filing (Register 80, No. 31). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 11-29-80.
3. Certificate of Compliance transmitted to OAL 11-28-80 and filed 12-24-80 (Register 80, No. 52).
4. Amendment of section heading, text, and  Note filed 4-4-94 as an emergency; operative 4-4-94 (Register 94, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-94 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, text, and  Note refiled 8-1-94 as an emergency; operative 8-1-94 (Register 94, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-29-94 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, text and Note refiled 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-21-95 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading, text and Note refiled 2-22-95; operative 2-22-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-22-95 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-22-95 order including amendment of subsection (c) and new subsections (d)-(e) transmitted to OAL 3-16-95 and filed 4-27-95 (Register 95, No. 17).
§51532.1. Early and Periodic Screening, Diagnosis and Treatment (EPSDT) Supplemental Services Provided by Registered Nurses, Licensed Vocational Nurses and Certified Home Health Aides.
Note     •     History

(a) Reimbursement for EPSDT supplemental services defined in Section 51184, provided in the home by Registered Nurses, Licensed Vocational Nurses and certified Home Health Aides shall be in accordance with the maximum reimbursement rates set forth in this section. However, in no case shall the services billed exceed charges made to the general public for the provision of similar services. For the purposes of this section, “in the home” means the beneficiary's residence, or foster care placement pursuant to Section 17731, Welfare and Institutions Code. “In the home” does not include a licensed health facility.
(b) Reimbursement for EPSDT supplemental nursing services and home health aide services provided by a home health agency shall be as follows:

Procedure Code	Description	Hourly Rate

Z5832	Registered Nurse	$40.57

Z5834	Licensed Vocational Nurse	$29.41

Z5836	Registered Nurse providing	$45.43
	 supervision

Z5838	Home Health Aide	$18.90
(c) Reimbursement for EPSDT supplemental nursing services provided by licensed registered nurses and licensed vocational nurses enrolled as EPSDT supplemental services providers acting within the scope of their practice, under the written order and direction of the patient's treating physician pursuant to Section 51242, shall be as follows:

Procedure Code	Description	Hourly Rate

Z5804	Registered Nurse	$31.94

Z5806	Licensed Vocational Nurse	$24.42

Z5840	Registered Nurse providing	$35.77
	 supervision
(d) The name of the treating physician shall be included with each Treatment Authorization Request submitted pursuant to this section.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code; Section 100275, Health and Safety Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code; 42 United States Code, Section 1396d(r); and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 4260-101-0890.
HISTORY

1. New section filed 8-10-99 as an emergency; operative 8-10-99 (Register 99, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-8-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-10-99 order transmitted to OAL 12-7-99 and filed 1-14-2000 (Register 2000, No. 2).
3. Amendment of subsections (b)-(c) and amendment of Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
§51532.2. Early and Periodic, Screening, Diagnosis, and Treatment (EPSDT) Supplemental Services: Onsite Investigation to Detect the Source of Lead Contamination.
Note     •     History

(a) Reimbursement for EPSDT supplemental services identified in Sections 51184 and 51340 shall be in accordance with the maximum reimbursement rates set forth in this section. However, in no case shall the service billed exceed charges made to the general public for the provision of similar services.
(b) Reimbursement for EPSDT supplemental services for an onsite investigation to detect the source of lead contamination in the home environment of a child diagnosed with high blood lead levels provided in accordance with subsection (d) of Section 51340.1 shall be:

Procedure Code	Description	Rate

Z5830	Onsite investigation	$270.00 per
	to detect the source of	investigation
	lead contamination in the
	home.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132(v), Welfare and Institutions Code; and 42 U.S.C. 1396d(r).
HISTORY

1. New section filed 4-13-99 as an emergency; operative 4-13-99 (Register 99, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-11-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-5-99 as an emergency; operative 8-5-99 (Register 99, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-3-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-5-99 order transmitted to OAL 12-1-99 and filed 1-12-2000 (Register 2000, No. 2).
§51532.3. EPSDT Supplemental Services Provider--Pediatric Day Health Care Facility Reimbursement.
Note     •     History

(a) The hourly rate of reimbursement for pediatric day health care EPSDT services shall be $29.41.
(b) Payment for pediatric day health care services shall be limited to:
(1) Labor costs for nursing services and developmental programs authorized in Section 51340.1(e)(2)(B), and
(2) Equipment, medications and supplies for emergency purposes.
(c) Not included in the payment rate for pediatric day health care services are those items listed in Sections 51242.1(k)(2)(A), (B) and (C), and any equipment or supplies specified in, or otherwise necessary to implement, the child's plan of treatment.
NOTE

Authority cited: Sections 10725 and 14124.5, Welfare and Institutions Code. Reference: Section 14132.10, Welfare and Institutions Code; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 4260-101-0890.
HISTORY

1. New section filed 11-10-99 as an emergency; operative 11-10-99 (Register 99, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-9-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-10-99 order transmitted to OAL 3-8-2000 and filed 4-19-2000 (Register 2000, No. 16).
3. Amendment of subsection (a) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
§51533. Outpatient Heroin Detoxification Services.
Note     •     History

(a) Daily treatment of patients shall be reimbursed in accordance with the schedule shown below:

Procedure		Per Visit
 Code		Allowance

Z6600	(1) Services rendered during the first seven days, per visit	$14.60
	Services shall include: taking of the initial history; physical examination by a physician; other physician services necessary to the heroin detoxification services; necessary urine screening  tests and related specimen handling; daily visits to the clinic for medication or reexamination; any other procedures related to outpatient heroin detoxification services.
Z6602	(2) Services rendered from the 8th through the 21st day, per
	visit 	 $9.29
	Services shall include administering medication and other procedures related to outpatient heroin detoxification services.
Z6604	(3) Reexamination by a physician between 8th and 21st days,
	maximum of one per week, per visit	 $18.01
	Reexamination by a physician shall be provided only as a substitute for visits under (a) (2) and payment shall include all other services specified under (a) (2).
(b) Additional charges may be billed by appropriately licensed facilities or by physicians or other Medi-Cal providers for services medically necessary to diagnose and treat diseases which, in the individual patient, the physician believes are concurrent with but not part of the outpatient heroin detoxification services as defined in Section 51116. Fees for additional physician services provided for the diagnosis and treatment of concurrent diseases or illness shall be reduced to reflect any fees already paid in the daily outpatient heroin detoxification service.
(c) A new course of outpatient heroin detoxification treatment shall not be covered until at least 28 days have elapsed since the completion of an

immediately preceding course. New courses of outpatient heroin detoxification treatment by the same provider which are started in the period between the 29th and through the 90th days following the completion of an immediately preceding course of treatment shall be reimbursed at the rates listed under (a) (2) and (3). The daily rate listed under (a) (1) shall not be billed by the same provider or separately billed by a physician employee of that provider until 90 days have elapsed. The patient may be considered a new patient for reimbursement purposes after 90 days following the completion of the immediately preceding course of heroin detoxification.
(d) The patient may be considered a new patient for reimbursement purposes by a new provider for heroin detoxification services started in the period between the 29th through the 90th days following completion of an immediately preceding course of heroin detoxification services only if the fact of the preceding course is denied or misrepresented by the patient. Otherwise reimbursement shall be according to Section (c).
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14105, Welfare and Institutions Code; Statutes of 1984, Chapter 258, Items 4260-106-001 and 890; and Statutes of 1985, Chapter 111, Items 4260-106-001 and 890.
HISTORY

1. Amendment of subsection (a) filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31.) A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 81, No. 52.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment of subsection (a) filed 8-1-85 as an emergency; effective upon filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Amendment of subsection (a) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
7. Editorial correction of subsection (c) (Register 95, No. 45).
§51534. Home and Community-Based Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14132(u), Welfare and Institutions Code. Reference: Sections 14105, 14132(u) and 14149, Welfare and Institutions Code.
HISTORY

1. New section filed 2-25-83 as an emergency; effective upon filing (Register 83, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-25-83.
2. Certificate of Compliance including editorial correction transmitted to OAL 6-22-83 and filed 7-27-83 (Register 83, No. 31).
3. Editorial correction of NOTE filed 1-15-85 (Register 85, No. 4).
4. Repealer filed 10-20-94; operative 10-20-94 (Register 94, No. 42).
5. Editorial correction of History 4 (Register 95, No. 14).
§51535. Leave of Absence.
Note     •     History

(a) Payment may be made to skilled nursing facilities, swing bed facilities, intermediate care facilities, intermediate care facilities for the developmentally disabled, intermediate care facilities for the developmentally disabled/habilitative and intermediate care facilities for the developmentally disabled-nursing, for patients who are on approved leave of absence. Payment for leave of absence shall not exceed the maximum number of days per calendar year indicated below:
(1) Developmentally disabled, developmentally disabled habilitative and developmentally disabled-nursing beneficiaries: 73 days.
(2) Patients in a certified special treatment program for mentally disordered persons, or patients in a mental health therapeutic and rehabilitative program approved and certified by a local mental health director: 30 days.
(3) All other patients: 18 days. Up to 12 additional days of leave per year may be approved when the request for additional days of leave is in accordance with the individual patient care plan and appropriate to the physical and mental well-being of the patient.
(b) Leave of absence may be approved for:
(1) A visit with relatives or friends.
(2) Participation by developmentally disabled, developmentally disabled habilitative and developmentally disabled-nursing beneficiaries in an organized summer camp for developmentally disabled persons.
(c) All of the following requirements shall be met:
(1) Written approval and instructions for leave of absence shall be provided as follows:
(A) In the individual program plan for developmentally disabled patients in intermediate care facilities for the developmentally disabled, developmentally disabled habilitative and developmentally disabled-nursing.
(B) In the individual patient care plan for patients in a certified special treatment program for mentally disordered persons, or patients in a mental health therapeutic and rehabilitative program approved and certified by a local mental health officer.
(C) By the patient's attending physician for all other patients and in the individual patient care plan for those leaves involving the up to 12 additional days described in (a)(3).
(2) The facility shall hold the bed vacant during leave.
(3) The day of departure shall be counted as one day of leave and the day of return shall be counted as one day of inpatient care.
(4) Leave shall be terminated on the day of the death of the patient. Leave shall be terminated if the patient is admitted as an inpatient to any other facility, or if the patient exceeds the approved period of leave of absence and is determined to be absent without leave.
(5) Payment shall not be made for the last day of leave if the patient dies or fails to return from leave within the period of approved leave.
(6) Payment shall not be made for the period of leave of absence if the patient is discharged within 24 hours of return from leave, or if the patient is discharged while on leave of absence, except as provided in (c)(5).
(7) Failure to return from leave of absence within the approved period shall not invalidate an approved treatment authorization request. There shall be no requirement to file a new treatment authorization request if the patient fails to return from leave within the approved period.
(8) Facility claims shall identify the inclusive dates of leave.
(9) The patient's records maintained in the skilled nursing facility, intermediate care facility, intermediate care facility for the developmentally disabled, intermediate care facility for the developmentally disabled habilitative, or intermediate care facility for the developmentally disabled-nursing shall show the address of the intended leave destination and the inclusive dates of leave.
(d) Payment to skilled nursing facilities, swing bed facilities, intermediate care facilities, intermediate care facilities for the developmentally disabled, intermediate care facilities for the developmentally disabled-habilitative, and intermediate care facilities for the developmentally disabled-nursing for patients who are on approved leave of absence shall be at the appropriate facility daily rate less $5.05 for raw food costs, except for state operated institutions.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105, 14108, 14108.1, 14108.2 and 14124.5, Welfare and Institutions Code; and Section 1275.3, Health and Safety Code. Reference: Sections 14108, 14108.1, 14108.2, 14109.5 and 14110.1, Welfare and Institutions Code; Section 1275.3, Health and Safety Code; and Statutes of 2003, Chapter 157, Items 4260-101-0001 and 4260-101-0890.
HISTORY

1. Amendment refiled by the Department of Health Services with the Secretary of State on 5-30-89 as an emergency pursuant to Health and Safety Code section 1275.3; operative 5-30-89. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 89, No. 23). For prior history, see Register 89, No. 1.
2. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89.
3. Certificate of Compliance as to 5-30-89 order including amendment of subsections (a)(1) and (b)(2) transmitted to OAL 9-27-89 and filed 10-26-89 (Register 89, No. 44).
4. Certificate of Compliance as to 8-7-89 transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
5. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-10-90 order transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
7. Amendment of subsection (d) and Note filed 8-12-91 as an emergency; operative 8-12-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 12-10-91 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-12-91 order transmitted to OAL 12-9-91 and filed 1-2-92 (Register 92, No. 18).
9. Amendment of subsection (d) and  Note filed 12-3-92 as an emergency; operative 12-3-92 (Register 92, No. 49). A Certificate of Compliance must be transmitted to OAL 4-2-93 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-3-92 order transmitted to OAL 4-2-93 and filed 5-14-93 (Register 93, No. 20).
11. Amendment of subsection (d) and Note filed 8-24-93 as an emergency; operative 8-24-93 (Register 93, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-22-93 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsection (d) and Note refiled 12-20-93 as an emergency; operative 12-20-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-21-94 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-20-93 order transmitted to OAL 3-22-94 and filed 4-28-94 (Register 94, No. 17).
14. Amendment of subsection (d) and Note filed 8-31-94 as an emergency; operative 8-31-94 (Register 94, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-94 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsection (d) and Note refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL 5-3-95 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 1-3-95 order transmitted to OAL 4-27-95 and filed 6-9-95 (Register 95, No. 23).
17. Amendment of subsection (d) and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 9-19-96 order transmitted to OAL 1-17-97 and filed 3-3-97 (Register 97, No. 10).
19. Amendment of subsection (d) and Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
20. Editorial correction of History 19 (Register 98, No. 24).
21. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
22. Amendment of subsection (d) and Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
23. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
24. Amendment of subsection (d) and amendment of Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
25. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
26. Amendment of subsection (d) and amendment of Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
27. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
28. Amendment of subsection (d) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
29. Amendment of subsection (d) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
30. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
31. Amendment of subsection (d) and amendment of Note filed 8-24-2005 as a deemed emergency pursuant to Welfare and Institutions Code section 14105(a); operative 8-24-2005 for dates of service 8-1-2002 through 7-31-2003 pursuant to Statutes of 2002, Chapter 379, Items 4260-101-0001 and 4260-101-0890  (Register 2005, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-2005 or emergency language will be repealed by operation of law on the following day.
32. Certificate of Compliance as to 8-24-2005 order transmitted to OAL 12-22-2005 and filed 1-23-2006 (Register 2006, No. 4).
33. Amendment of subsection (d) and amendment of Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
34. Certificate of Compliance as to 6-24-2010 order transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§51535.1. Bed Hold for Acute Hospitalization.
Note     •     History

(a) Payment shall be made to skilled nursing facilities, swing bed facilities, intermediate care facilities, intermediate care facilities for the developmentally disabled, intermediate care facilities for the developmentally disabled habilitative, and intermediate care facilities for the developmentally disabled-nursing for bed hold days for any beneficiary who exercises the bed hold option provided by Title 22, California Code of Regulations, Sections 72520, 73504, 76506 and 76909.1.
(b) Payment for bed hold days shall be limited to a maximum of seven days for each period of acute hospitalization.
(c) The following requirements shall be met:
(1) Acute hospitalization for the beneficiary shall be ordered by the attending physician.
(2) The facility shall hold a bed vacant during the entire bed hold period except when notified, in writing by the attending physician that the patient requires more than seven days of hospitalization. If so notified, the facility is no longer required to hold the bed available and shall not bill Medi-Cal for any remaining days of bed hold.
(3) The day of departure shall be counted as one day of bed hold and the day of return shall be counted as one day of inpatient care.
(4) Bed hold shall be terminated and payment shall not be made on the day of death of the beneficiary.
(5) Facility claims shall identify the inclusive dates of bed hold.
(6) A new treatment authorization request shall be required, as specified in section 51335(b)(3), for Medicare-eligible beneficiaries who have returned from a Medicare-qualifying stay in an acute care hospital.
(7) The beneficiary's records maintained in the facility shall show the name and address of the acute care hospital to which the beneficiary has been admitted.
(d) Payment to skilled nursing facilities, swing bed facilities, intermediate care facilities for the developmentally disabled, intermediate care facilities for the developmentally disabled-habilitative, and intermediate care facilities for the developmentally disabled-nursing for beneficiaries who are on bed hold for acute hospitalization shall be at the appropriate facility daily rate less $5.05 for raw food costs, except for state operated institutions.
NOTE

Authority cited: Sections 10725, 14105, 14108, 14108.1, 14108.2, 14109.5 and 14124.5, Welfare and Institutions Code; and Sections 20 and 1275.3, Health and Safety Code. Reference: Sections 14087.3, 14108, 14108.1, 14108.2, 14110.1, 14123 and 14132.22, Welfare and Institutions Code; Section 1275.3, Health and Safety Code; and Statutes of 2003, Chapter 157, Items 4260-101-0001 and 4260-101-0890.
HISTORY

1. Amendment refiled by the Department of Health Services with the Secretary of State on 5-30-89 as an emergency pursuant to Health and Safety Code section 1275.3; operative 5-30-89. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 89, No. 23). For prior history, see Register 89, No. 1.
2. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89.
3. Certificate of Compliance as to 5-30-89 order transmitted to OAL 9-27-89 and filed 10-26-89 (Register 89, No. 44).
4. Certificate of Compliance as to 8-7-89 transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
5. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91, or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-10-90 order transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
7. Amendment of subsection (d) and Note filed 8-12-91 as an emergency; operative 8-12-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 12-10-91 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-12-91 order transmitted to OAL 12-9-91 and filed 1-2-92 (Register 92, No. 18).
9. Amendment of subsection (d) and  Note filed 12-3-92 as an emergency; operative 12-3-92 (Register 92, No. 49). A Certificate of Compliance must be transmitted to OAL 4-2-93 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-3-92 order transmitted to OAL 4-2-93 and filed 5-14-93 (Register 93, No. 20).
11. Amendment of subsection (d) and Note filed 8-24-93 as an emergency; operative 8-24-93 (Register 93, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-22-93 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsection (d) and Note refiled 12-20-93 as an emergency; operative 12-20-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-21-94 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-20-93 order transmitted to OAL 3-22-94 and filed 4-28-94 (Register 94, No. 17).
14. Amendment of subsection (d) and Note filed 8-31-94 as an emergency; operative 8-31-94 (Register 94, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-94 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsection (d) and Note refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL 5-3-95 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 1-3-95 order transmitted to OAL 4-27-95 and filed 6-9-95 (Register 95, No. 23).
17. Amendment of section heading, subsections (b), (b)(1)-(2), (b)(7) and (d), new subsection (e) and amendment of Note filed  4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
18. Editorial correction of History 17 (Register 96, No. 35).
19. Amendment of section heading, subsections (b), (b)(1)-(2), (b)(7) and (d), new subsection (e) and amendment of Note  refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
20. Amendment of subsection (d) and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 9-19-96 order transmitted to OAL 1-17-97 and filed 3-3-97 (Register 97, No. 10).
22. Certificate of Compliance as to 8-28-96 order transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
23. Amendment of subsection (d) and Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
24. Editorial correction of History 23 (Register 98, No. 24).
25. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
26. Amendment of subsection (d) and Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
27. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
28. Amendment of subsection (d) and amendment of Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
29. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
30. Amendment of subsection (d) and amendment of Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
31. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
32. Amendment of section heading, subsection (d) and Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
33. Amendment of section heading, subsection (d) and Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
34. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
35. Amendment of subsection (d) and amendment of Note filed 8-24-2005 as a deemed emergency pursuant to Welfare and Institutions Code section 14105(a); operative 8-24-2005 for dates of service 8-1-2002 through 7-31-2003 pursuant to Statutes of 2002, Chapter 379, Items 4260-101-0001 and 4260-101-0890  (Register 2005, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-2005 or emergency language will be repealed by operation of law on the following day.
36. Certificate of Compliance as to 8-24-2005 order transmitted to OAL 12-22-2005 and filed 1-23-2006 (Register 2006, No. 4).
37. Change without regulatory effect amending subsections (a), (b), (c)(1)-(2) and (c)(7), repealing subsection (e) and amending Note filed 6-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 24).
38. Amendment of subsection (d) and amendment of Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
39. Certificate of Compliance as to 6-24-2010 order transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§51535.2. Reimbursement Rates for Personal Care Services Program.
Note     •     History

(a) For the individual provider mode for providing personal care services, the reimbursement rate shall be a maximum of $5.50 per hour of service; provided, however, that the reimbursement rate in each county shall not exceed the rate in each county for the individual provider mode of service in the IHSS program pursuant to Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code, as it existed on September 28, 1992.
(b) For the contract mode for providing personal care services pursuant to Welfare and Institutions Code Sections 12302 and 12302.1, the reimbursement rates shall be those specified in the contract between the county and the agency contractor not to exceed the following maximum rates for services provided through State fiscal year 1993-94 as follows:

	(1) Butte	$ 9.65
	(2) Nevada	$10.34
	(3) Riverside	$12.29
	(4) San Diego	$10.49
	(5) San Francisco	$12.28
	(6) San Joaquin	$ 9.50
	(7) San Mateo	$12.65
	(8) Santa Barbara	$11.76
	(9) Santa Clara	$11.11
	(10) Santa Cruz	$13.61
	(11) Stanislaus	$10.51
	(12) Tehama	$11.30
	(13) Ventura	$11.04
(c) Nothing in this section is intended to be a limitation on the rights of providers and beneficiaries or on the duties of the Department of Social Services, pursuant to Welfare and Institutions Code Section 12302.2 subdivision (a). Contributions, premiums and taxes paid pursuant to Welfare and Institutions Code Section 12302.2, subdivision (a) shall be in addition to the hourly rates specified in subdivision (a) of this section.
NOTE

Authority cited: Section 14132.95, Welfare and Institutions Code; Section 8, Chapter 939, Statutes of 1922; Section 3, Chapter 7, Statutes of 1993. Reference: Section 14132.95, Welfare and Institutions Code; Section 1396d(a)(7) of Title 42, of the United States Code; Article 7 (commencing with Section 12300) of Part 3 of Division 9 of the Welfare and Institutions Code; Section 440.170(f) of Title 42 of the Code of Federal Regulations.
HISTORY

1. New section filed 4-14-93 as an emergency; operative 4-14-93. Submitted to OAL for printing only pursuant to section 8, AB 1773 (Chapter 939, Statutes of 1992) (Register 93, No. 16).
§51535.5. Local Educational Agency (LEA) Services.
Note     •     History

(a) Reimbursement to LEA Providers is limited to the specified set of LEA Services defined in Section 51190.4 and set forth in Section 51360.
(b) LEA Services shall be reimbursable only when provided to an LEA eligible beneficiary, as defined in Section 51190.1; by an LEA Practitioner, as defined in Section 51190.3; and subject to the limitations of this section.
(c) When a beneficiary is covered by a managed care plan contract the following applies:
(1) If the beneficiary does not have an IEP or an IFSP, the LEA Provider may be reimbursed for LEA Services for which the plan is not capitated under the managed care plan contract;
(2) If the beneficiary has an IEP or an IFSP, the LEA Provider may be reimbursed for LEA Services rendered according to the IEP or IFSP as well as LEA Services for which the plan is not capitated under the managed care plan contract.
(d) Any claims for LEA services, as defined in Section 51190.4, rendered by an LEA Practitioner shall conform with the standards set forth in Welfare and Institutions Code, Section 14115.
(e) LEA Providers shall adhere to and comply with all federal and state third party liability requirements prior to billing Medi-Cal, including but not limited to policy directives issued by the federal Department of Health and Human Services and Health Care Financing Administration and those standards found in 42 United States Code Section 1396a(a)(25); 42 Code of Federal Regulations Section 433.139; Welfare and Institutions Code, Sections 14005, 14023.7, 14124.90; and Title 22, California Code of Regulations, Section 51005 and Article 15 commencing with Section 50761.
(f) LEA Services are reimbursable subject to the following limitations:
(1) Notwithstanding Section 51304, reimbursable LEA Services, as set forth in Section 51360(b)(1) through (8) are limited to medically necessary services up to a maximum of twenty-four (24) services per twelve- (12) month period for an LEA eligible beneficiary by one LEA Provider.
(2) Any LEA Services beyond limits in (1) above shall be provided only as authorized and documented as medically necessary in one of the following:
(A) The Individualized Education Plan (IEP), as set forth in Education Code, Section 56340 et seq., for special education students documents the need for additional services, and is maintained in the school's records; or
(B) The Individualized Family Service Plan (IFSP), as set forth in Government Code, Section 95020, for special education students documents the need for additional services, and is maintained in the school's records; or (C) The Individualized Health and Support Plan (IHSP), meaning a plan for assessment and treatment of students with disabilities or disorders other than those who have been diagnosed as eligible for special education and are therefore treated under an IEP.  The IHSP documents the need for additional services, and is maintained in the school's records.
(g) Reimbursement for LEA Services shall not exceed the maximum allowances listed in this section.
(1) Additional 15 minute period means any complete 15 minute period immediately following the maximum minutes allowed for the initial service unit.
(h) Maximum allowances for LEA Services are as follows:

Procedure	Maximum
Code	Allowance

X4900	LEA health and mental health evaluation
	and health and mental health education	$19.13
X4905	LEA physical therapy--
	initial service unit (20-90 minute range)	36.66
X4910	LEA physical therapy--
	each additional 15 minutes	7.20
X4915	LEA occupational therapy--
	initial service unit (20-90 minute range)	36.66
X4920	LEA occupational therapy--
	each additional 15 minutes	7.20

Procedure	Maximum
Code	Allowance

X4925	LEA speech pathology and audiology services--
	initial service unit (15-45 minute range)	23.76

X4930	LEA speech pathology and audiology services--
	each additional 15 minutes	11.88

X4935	LEA psychology and counseling services--
	initial service unit (15-90 minute range)	39.91

X4940	LEA psychology and counseling services--
	each additional 15 minutes	9.97

X4945	LEA nursing services--
	initial service unit (15-90 minute range)	32.34
X4950	LEA nursing services
	each additional 15 minutes	8.09

X4955	LEA school health aide services
	(15-90 minute range)		6.06
X4960	LEA medical transportation (per trip)	18.54
X4965	LEA mileage (per mile)		1.30
X4970	LEA case management--low cost (per 15 minute
	increments)		12.38
X4975	LEA case management--moderate cost (per 15
	minute increments)		14.40
X4980	LEA case management--high cost (per 15 minute 
	increments)		16.42
(i) The amount payable to the LEA Provider shall be the lesser of either:
(1) the billed amount of charges or
(2) The above listed maximum allowance multiplied by the federal medical assistance percentage (FMAP) for California that is effective on the date of payment.
(j) The amount payable in (i) above shall be reduced by any or all of the following:
(1) Any processing charges withheld by the State as stated in the contract between Department of Health Services and the LEA Provider; or
(2) Any third-party collections.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code.  Reference: Sections 14000, 14005, 14018.2, 14023.7, 14053, 14059, 14077, 14088.16, 14100.2, 14105, 14106, 14115, 14124.1, 14124.5, 14124.90, 14132, 14133, 14133.1, 14134, 14136.5 and 14170, Welfare and Institutions Code; Section 56340 et seq., Education Code; Section 95020, Government Code; 42 United States Code Section 1396a(a)(25); 42 Code of Federal Regulations Section 433.139; and Statutes of 2000, Chapter 52, Items 4260-101-0001 and 0890.
HISTORY

1. New section filed 12-22-93 as an emergency; operative 12-22-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-22-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-22-93 order transmitted to OAL 4-20-94 and filed 6-2-94 (Register 94, No. 22).
3. Amendment of subsections (h) and (i)(2), repealer and new subsection (k) and amendment of Note filed 7-16-2002; operative rates for services provided on or after 8-1-2000 pursuant to Stats. 2000, c. 52, Items 4260-101-0001 and 0890 (Register 2002, No. 29).
4. Certificate of Compliance as to 7-16-2002 order, including repealer of subsection (k), transmitted to OAL 11-12-2002 and filed 12-24-2002 (Register 2002, No. 52).
5. Editorial correction restoring inadvertently deleted first line of subsection (h) (Register 2006, No. 47).
§51535.6. Reimbursement for Directly Observed Therapy (DOT).
Note     •     History

Reimbursement for providing directly observed therapy (DOT), as defined in Section 51187.1, shall not exceed $19.23 per encounter. An encounter shall consist of direct visual observation by DOT staff of a patient's ingestion of anti-tuberculosis medications. Delivering medications without visual confirmation of ingestion does not constitute an encounter.
NOTE

Authority cited: Sections 10725, 14005.20 and 14124.5, Welfare and Institutions Code. Reference: Sections 14059 and 14132, Welfare and Institutions Code.
HISTORY

1. New section filed 9-11-96; operative 9-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 37).
§51535.7. Targeted Case Management Services Reimbursement.
Note     •     History

(a) Each targeted case management provider of service pursuant to Welfare and Institutions Code, Section 14132.44, shall complete and submit to the department, by November 1 of each year, a cost report of the prior year costs of each local program providing targeted case management services in a format specified by the department. Only one cost report shall be submitted for targeted case management services provided to target populations specified in subsections 50262.7(a)(1); 50262.7(a)(2); 50262.7(a)(3)(A); 50262.7(a)(3)(B), (C) or (D); or 50262.7(a)(3)(E).
(b) The cost report shall certify all of the following:
(1) The availability and expenditure of one-hundred (100) percent of the nonfederal share of the cost of providing targeted case management services from the provider's general fund or from any other federally approved source.
(2) The amount of funds expended on allowable targeted case management services.
(3) Targeted case management program expenditures represent costs that are eligible for federal financial participation.
(4) The costs reflected in the annual cost reports used to determine targeted case management rates are developed pursuant to Welfare and Institutions Code, Section 14132.44(f)(1)(D).
(5) That targeted case management services provided in accordance with Section 1396n(g) of Title 42 of the United States Code will not duplicate case management services provided under any home- and community-based services waiver.
(6) That claims for providing case management services pursuant to Welfare and Institutions Code, Section 14132.44 will not duplicate claims made to public agencies or private entitles under other program authorities for the same purposes.
(7) That the provider has complied with all the requirements of Section 51271.
(c) The cost report shall reflect only the allowable direct and indirect costs of providing targeted case management services. Allowable costs include the following:
(1) Salaries and benefits;
(2) Services and supplies, including costs of contracted targeted case management services;
(3) Operating expenses including leases, bond servicing costs and county (city)-wide overhead costs as reflected in the approved cost allocation plan;
(4) Amortized capital expenditures;
(5) Documented cost increases, such as contractual increases for salaries, benefits or operating costs.
(d) The information in the cost report shall be used to determine the annual, program specific, per encounter reimbursement rate for the current fiscal year using actual allowable costs and encounter data from the prior fiscal year.
(e) Effective July 1, 1996, and each year thereafter, the reimbursement rate shall be calculated by dividing the allowable case management costs of providing targeted case management services by the total number of all encounters in the prior fiscal year, including encounters with persons who are not Medi-Cal beneficiaries.
(f) Effective July 1, 1996, and each year thereafter, the total dollar amount that may be claimed in the current year by the local governmental agency for targeted case management services provided pursuant to this section shall not exceed the product of:
(1) The projected number of Medicaid encounters for the current year, times the current year billable rate per encounter.
(g) Any costs associated with providing targeted case management services in the current year in excess of the total dollar amount specified in subsection (f), shall be recognized in the annual cost report and become part of the calculation to determine the billable rate per encounter for the subsequent year.
(h) All claims scheduled for payment for targeted case management services provided prior to July 1, 1995, are not subject to revision unless the department requests a revised claim from the local governmental agency.
NOTE

Authority cited: Sections 14105, 14124.5 and 14132.44, Welfare and Institutions Code. Reference: Section 14132.44, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995 (Register 96, No. 27).
2. New section refiled 10-29-96 as an emergency; operative 10-29-96 (Register 96, No. 44). Submitted to OAL for printing only pursuant to Section 6, Chapter 305, Statutes of 1995. A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 15).
4. Repealed by operation of Government Code section 11346.1(g) (Register 97, No. 15).
5. New section filed 4-10-97; operative 4-10-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
Article 7.5. Hospital Inpatient Services Reimbursement Section
§51536. Hospital Inpatient Services Reimbursement.
Note     •     History

(a) Reimbursement for hospital inpatient services provided to Medi-Cal program beneficiaries shall be the lesser of the following for each hospital:
(1) Customary charges.
(2) Allowable costs determined in accordance with applicable Medicare standards and principles of reimbursement.
(3) All-inclusive rate per discharge.
(b) The following definitions are applicable to this section:
(1) Base year means the most recent hospital accounting year ending before the effective date of this regulation.
(2) Prior year means the hospital accounting year immediately preceding the year for which final settlement is being concluded.
(3) Final settlement year means the hospital accounting year for which final settlement is being concluded.
(4) Allowable cost means the hospital's allowable Medi-Cal cost permitted by applicable Medicare standards and principles of reimbursement, 42 CFR, Part 405 and HIM-15.
(5) Reimbursable cost means the lesser of each hospital's customary charges, allowable cost, or all-inclusive rate per discharge multiplied by the number of Medi-Cal discharges.
(6) Rate per discharge means the hospital specific, all-inclusive rate per Medi-Cal discharge which, when multiplied by the number of Medi-Cal discharges, including deaths but excluding newborns, in the hospital's accounting year, determines the total dollar limit on reimbursable cost for that accounting year. The Department shall adjust the base year cost per discharge from the midpoint of the hospital's fiscal year to the implementation date of these regulations to ensure uniform application of the reimbursement system. This rate shall become the rate per discharge for the base year.
(7) Pass-through categories means those hospital cost categories which, for purposes of final settlement, are not subject to the hospital cost index. Pass-through categories are limited to:
(A) Depreciation.
(B) Rents and leases.
(C) Interest.
(D) Property taxes and license fees.
(E) Electricity, natural gas and water.
(F) Hospital malpractice insurance.
(G) Medicare allowable return on equity capital for proprietary facilities.
(8) Service intensity means the necessary changes in the character of the services provided to each patient, including changes in applicable technology, qualitative changes in personnel, quantitative changes in personnel, qualitative changes in supplies, drugs, and other materials, and quantitative changes in supplies, drugs, and other materials. Service intensity does not include changes in the types of patients and illnesses treated.
(9) Tentative Settlement means the Department's determination of liabilities owed, resulting from an all-inclusive rate per discharge calculation using data which has not been audited by the Department provided by a hospital for the hospital's accounting year.
(10) Final Settlement means a Department determination of liabilities owed resulting from an all-inclusive rate per discharge calculation based upon data audited and edited by the Department and/or upon data provided by the Office of Statewide Health Planning and Development as being true and correct for the final settlement year.
(c) The methods of payment for inpatient hospital services shall include the following:
(1) An all-inclusive rate per discharge that shall be retrospectively established for each hospital's tentative and final settlement. The rate per discharge shall:
(A) Apply to all covered services provided by the hospital during its final settlement year.
(B) Be updated annually to reflect reimbursable changes in factor input prices, service intensity, patient volume, and other items allowed through the administrative adjustment process and the appeals process.
(2) An interim payment based upon a cost to charge ratio, as set forth in federal regulations.
(d) Interim rate adjustments and the recovery of overpayments to hospitals shall be made at tentative or final settlement based upon the application of this section. Such overpayments shall be collected and such interim rates shall be adjusted whether or not appeals of any audit or examination for the current or any prior fiscal year have been filed by the hospital. This subsection shall apply:
(1) to overpayments determined and interim rate adjustments made as a result of tentative or final settlements for cost reporting periods for services provided on or after April 13, 1990, except for the period commencing on September 10, 1990 until October 15, 1990.
(2) to overpayments determined and interim rate adjustments made as a result of any final settlement performed for which an administrative appeal has not been filed and the time for filing such filing such appeal has expired.
(e) For overpayments determined as a result of tentative or final settlements (except final settlements referred to in (d)(2)) issued after April 13, 1990 (except for the period commencing on September 10, 1990, until October 15, 1990) which are for cost reporting periods for services provided prior to April 13, 1990, the following provisions shall apply:
(1) Pending the exhaustion of the Department's appeal rights in Fountain Valley Community Hospital v. State Department of Health Services, the Department shall not recoup overpayments made to hospitals and owed by hospitals to the Department.
(2) If a Federal Court of Appeals or the United States Supreme Court finds that subsection (d) may be applied to the overpayments identified but not collected in this subsection, the Department shall recoup such overpayments, including interest.
(f) A hospital cost index shall be established for each hospital. This index shall consist of an input price index and an allowance for changes in service intensity.
(1) The hospital cost index shall be calculated to account for actual changes in the input price index after the close of each hospital's accounting year.
(2) The hospital cost index shall be applied on a cumulative basis to the hospital's rate per discharge for the base year to determine its rate per discharge for the final settlement year.
(g) An input price index shall be established to compute the reimbursable change in the prices of goods and services purchased by hospitals. The input price index shall consist of a market basket classification of goods and services purchased by hospitals, a corresponding set of market basket weights derived from each hospital's own mix of purchased goods and services, and a related series of price indicators.
(1) Weights corresponding to market basket categories shall be derived and annually updated for each hospital. These weights shall be computed using the latest available information from each hospital's Medi-Cal cost report, financial disclosure report, or other direct report of expenses. If information from these sources is not sufficient to establish a hospital specific weight for a particular market basket category, the Department shall assign a representative weight based on information from the United States National Hospital Input Price Index published by the Department of Health and Human Services, or other available sources.
(2) The input price index shall be calculated after the close of each hospital's accounting year, to account for actual changes in the:
(A) Hospital specific wage and benefit rates and market basket weights.
(B) Price indicators and market basket weights for other nonpass-through categories.
(C) Allowable cost for pass-through categories.
(3) The market basket categories and price indicators to be used in developing each hospital's input price index are shown in the following table.

MARKET BASKET CLASSIFICATION

MARKET BASKET
CATEGORIES	                        PRICE INDICATORS                         
	     VARIABLE	       SOURCE
(1) Professional Fees:
(a) Physicians' Salaries,	Physicians' service 	Consumer Price Index,
      Wages, Fees and	component	Urban Consumers
      Benefits
(b)  Other Professional	Hourly earnings, production	U.S. Department of
       Fees	or nonsupervisory, private	Labor, Bureau of
	nonagricultural employees	Labor Statistics

(2)  Food	Average of processed foods	Producer Price Index
	and feeds component of PPI
	and food and beverages 	Consumer Price Index, 	component of CPI	All Urban Consumers
(3)  Drugs	Pharmaceuticals and ethi-	Producer Price Index
	cals component		
(4) Other Costs:
(a)  Chemicals	Chemicals and allied	Producer Price Index
	products component

(b)  Medical Instruments	Special industry machinery	Producer Price Index
        and Appliances	and equipment component
(c)  Rubber and Plastics	Rubber and plastics 	Producer Price Index
	component
(d)  Travel	Transportation component	Consumer Price Index,
		All Urban Consumers
(e)  Apparel and Textiles	Textile products and 	Producer Price Index
	apparel component
(f)  Business Services	Services component	Consumer Price Index,
		All Urban Consumers
(g)  All Other	All items	Consumer Price Index,
		All Urban Consumers
(h) An annual service intensity allowance of one percent for reimbursable increase in service intensity shall be added to each hospital's input price index. This allowance shall be in addition to reimbursement for pass-through categories and approved administrative adjustments and appeals.
(i) A volume adjustment shall be made to the hospital's rate per discharge for the final settlement year if the number of total hospital discharges in the hospital's final settlement year differs from the number of discharges in its prior year.
(1) The volume adjustment shall be calculated using the following formula, which adjusts the rate per discharge for estimated changes in average costs resulting from changes in volume.

VOLUME ADJUSTMENT FORMULA

View Graphic
Where:
ACR = Allowable change in the rate per discharge after volume adjustment, expressed as a proportion of the prior year rate per discharge.
HCI = Hospital Cost Index before any volume adjustments, expressed as a proportion of the prior year rate.
DISP = Total hospital discharges in the prior year.
VC = Variable cost as a proportion of total cost.
DISF = Total hospital discharges in the final settlement year.
(2) Each hospital's total cost shall be divided into the fixed and variable components shown in the following table. Data from the hospital's financial disclosure report or other direct report of expenses shall be used to estimate the percentage of a hospital's cost which varies with volume. A fixed to variable cost ratio of 50:50 shall be used when sufficient data from the hospital are not available.
(3) A hospital may submit additional data on the classification of fixed and variable costs for review by the Department. If these classifications and data are accepted by the Department, the hospital shall continue to:
(A) Utilize these accepted classifications of fixed and variable costs in subsequent years, unless a significant change in operations occurs.
(B) Submit any required data on fixed and variable costs to the Department in subsequent years, unless a significant change in operations occurs.
(j) A hospital may request an administrative adjustment to the all-inclusive reimbursement rates established for that hospital if the hospital's allowable cost exceeds or is expected to exceed reimbursement based on those rates.
(1) The following items are not subject to an administrative adjustment under the procedures in section 51536(h)(3):
(A) The use of Medicare standards and principles of reimbursement.
(B) The method for determining the input price index.
(C) The use of all-inclusive reimbursement rates.
(D) The use of a volume adjustment formula.
(2) Issues involving the following items may be resolved through an administrative adjustment under the procedures in section 51536(h)(3):
(A) The addition of new and necessary services.
(B) Changes in case mix.
(C) Inappropriate calculation of fixed and variable costs.
(D) The use of incorrect data or an error in calculations.
(E) Other items affecting hospital costs.
(3) The procedures for requesting an administrative adjustment of an all-inclusive rate shall be as follows:
(A) A request for an administrative adjustment of the all-inclusive rate per discharge shall be submitted within 60 days after notification of that rate.
(B) The request for an administrative adjustment shall be submitted in writing to the Department and shall specifically and clearly identify the issue and the total dollar amounts involved, separately for services provided prior to April 13, 1990, and for services provided on or after April 13, 1990. Failure to comply fully with this subsection shall result in the denial of the request for an administrative adjustment. The hospital shall demonstrate at least one of the following:

CLASSIFICATION OF FIXED AND VARIABLE COSTS

       FIXED COST	       VARIABLE COSTS
		
SALARIES AND WAGES	SALARIES AND WAGES
 Management and supervision	 Registered nurses
 Technician and specialist	 Licensed vocational nurses
 Clerical and other administrative	 Aides and orderlies
 Physicians	 Environmental and food services
 Nonphysician medical practitioners	 Other salaries and wages

EMPLOYEE BENEFITS--Distributed	EMPLOYEE BENEFITS--Distributed
 proportionately according to	 proportionately according to
 salaries and wages	 salaries and wages

FICA	FICA
 Unemployment insurance	 Unemployment insurance
 Vacation, holiday, and sick leave	 Vacation, holiday, and sick leave
 Group insurance	 Group insurance
 Pension and retirement	 Pension and retirement
 Workers' compensation	 Workers' compensation
 Other employee benefits	 Other employee benefits

OTHER DIRECT EXPENSES	PROFESSIONAL FEES
 Depreciation and amortization	 Medical
 Utilities	 Consulting and management
 Insurance	 Legal
 Licenses and taxes (other than	 Audit
   income)	 Other professional fees

 Other direct expenses	
	SUPPLIES
	 Food
	 Surgical supplies
	 Pharmaceuticals
	 Medical care materials
	 Minor equipment
	 Nonmedical supplies
1. Costs for which additional reimbursement is being requested are necessary, proper, and consistent with efficient and economical delivery of covered patient care services.
2. Incorrect data were used.
3. An error was made in the rate calculation.
4. More appropriate data are available.
(C) The hospital shall be notified of the Department's decision in writing within 45 days of receipt of the hospital's written request administrative adjustment, or within 45 days of receipt of any additional documentation or clarification which may be required, whichever is later. The request for an administrative adjustment shall be deemed denied if no decision is issued.
(D) Administrative adjustments for changes in case mix shall be resolved in the following manner:
1. The case mix adjustment allowance shall be determined using the following steps:
a. Calculate the summation of the Medi-Cal cost per day in the prior year times the percentage of Medi-Cal days in the final settlement year for each routine, nursery, and special care unit.
b. Calculate the summation of the Medi-Cal cost per day in the prior year times the percentage of Medi-Cal days in the prior year routine, nursery, and special care unit.
c. Divide the result in a. above by the result in b. above.
d. Subtract 1.0 from the quotient determined in c. above.
2. Each hospital's cost index, before volume adjustment, shall be multiplied by the case mix adjustment allowance.
3. The Medi-Cal days and costs per day shall be applied to routine services, nursery services and special care services, as specified Medi-Cal cost report.
4. A hospital may submit additional data on routine, nursery or special care costs and days for review by the Department. If these data are accepted by the Department for case mix calculations, the hospital shall continue to submit those data to the Department in subsequent years, unless a significant operations occurs.
(k) A hospital may appeal the Department's decision on the administrative adjustment. The appeal shall be filed in accordance with the applicable procedural requirements of article 1.5.
(1) The appeal shall be submitted within 60 days after notification of the Department's decision on the administrative adjustment.
(2) Items that are not subject to an administrative adjustment, as specified in section 51536(h)(1), shall not be subject to appeal.
(3) The hospital shall be paid at the reimbursable cost initially determined by the Department pending determination of an appeal.
(4) Any underpayments, identified in the appeal decision, shall be paid to the hospital, together with interest computed at the legal rate of seven percent per annum beginning 60 days after issuance of the audit or examination findings.
(l) New hospitals shall be exempt from the provisions of this section relating to the use of all-inclusive rates per discharge. A new hospital is one that has operated under present and previous ownership for less than three years. A new hospital shall be reimbursed in accordance with applicable Medicare and principles of reimbursement.
(m) Each hospital shall be notified of the rate per discharge at the time of tentative and final settlement.
(n) A change in reimbursable costs shall result in a redetermination of all-inclusive rates per discharge.
(o) Payment for skilled nursing facility services shall be made in accordance with section 51511.
(o) For hospital fiscal periods beginning on or after the effective date of Sections 51545 through 51557, reimbursement for hospital inpatient services shall be in accordance with Sections 51545 through 51557. Section 51536 will cease to be effective for fiscal periods subject to Sections 51545 through 51557.
(p) Payment for intermediate care facility services shall be made in accordance with section 51510.
NOTE

Authority cited: Sections 14100.1, 14105 and 14106, Welfare and Institutions Code. Reference: Sections 14105, 14105.15 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 5-30-80; designated effective 7-1-80 (Register 80, No. 29).
2. Amendment adding paragraphs 9 and 10 to subsection (b), amending subsection (c), adopt new subsection (d) and relettering (d)-(n) to (e)-(o) filed 4-13-90 as an emergency; operative 4-13-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL by 8-13-90 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (b) and (c), new subsection (d), and relettering of subsections (d)-(n) to subsections (e)-(o) filed 10-15-90 as an emergency; operative 10-15-90 (Register 90, No. 47). A Certificate of Compliance must be transmitted to OAL by 2-13-91 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of HISTORY 2, new HISTORY 3, and renumber former HISTORY 3 to HISTORY 4 (Register 91, No. 12).
5. Certificate of Compliance as to 4-13-90 order transmitted to OAL 8-9-90 and disapproved by OAL 9-10-90 (Register 91, No. 12).
6. Amendment of subsections (b), (c) and (d), new subsection (e), and relettering of subsections (e)-(o) to (f)-(p) filed 2-15-91 as an emergency; operative 2-15-91 (Register 91, No. 12). A Certificate of Compliance must be transmitted to OAL by 6-17-91 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance including amendments transmitted to OAL 6-12- 91 and filed 7-12-91 (Register 91, No. 43).
8. New article heading filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
9. New subsection (o) filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
10. Editorial correction of subsection (j)(3)(B) (Register 98, No. 22).
§51537. Maximum Allowable Reimbursement Level for Inpatient Hospital Services. [Repealed]
History

HISTORY

1. New section filed 8-27-81; effective thirtieth day thereafter (Register 81, No. 35).
2. Repealer filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
§51538. Maximum Allowable Rate of Increase for Inpatient Hospital Services. [Repealed]
History

HISTORY

1. New section filed 10-1-81 as an emergency; designated effective 10-1-81 (Register 81, No. 42). 
2. Certificate of Compliance transmitted to OAL 1-28-82 and filed 2-26-82 (Register 82, No. 9).
3. Repealer filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
§51539. Hospital Reimbursement for Inpatient Hospital Services.
Note     •     History

(a) Reimbursement to hospitals for inpatient hospital services rendered to Medi-Cal program beneficiaries shall be determined in accordance with Sections 51536 and 51537, except as modified by this section.
(b) Hospital reimbursement shall, unless exempted from or modified by the provisions of this section, be payable at no more than the 60th percentile rate per discharge of the peer group to which the hospital is assigned by the Department. The peer groups shall be based on a classification of hospitals that combines individual hospitals in a unit on the basis of similar or common characteristics.
(1) The following peer group classifications adapted from the California Health Facilities Commission's report “Hospital Peer Grouping for Efficiency Comparison” (1982) will be used:
(A) University Teaching Hospitals
(B) Large (Non-university) Teaching Hospitals
(C) Large Complex Hospitals
(D) Moderate Sized Hospitals
(E) Small Urban Hospitals
(F) Rural Hospitals
(G) Urban, Skilled Nursing Emphasis Hospitals
(H) Rural, Skilled Nursing Emphasis Hospitals
(I) Alcohol--Drug Rehabilitation Hospitals
(J) Moderate Psychiatric Emphasis Hospitals
(K) Acute Psychiatric Hospitals
(L) Miscellaneous Long-term Psychiatric Hospitals
(M) Miscellaneous Large Skilled Nursing Hospitals
(N) Miscellaneous Large Prepaid Health Plans
(O) Miscellaneous Student Health Centers
(P) Miscellaneous Children's Specialty Hospitals
(Q) Miscellaneous Rehabilitation Hospitals
(R) Miscellaneous Large Rehabilitation Emphasis Hospitals
(S) Miscellaneous Respiratory Specialty Hospitals
(2) The Department shall review the peer grouping system and the placement of individual hospitals as a basis for Medi-Cal reimbursement at least annually.
(3) Hospitals exempted from this section shall consist of new hospitals, rural hospitals, sole community hospitals, children's hospitals, charitable research hospitals, and hospitals in peer groups with less than five hospitals with adequate data to compute percentiles.
(c) In addition to the reimbursement pursuant to (b), disproportionate share hospitals, whose all inclusive rate per discharge exceeds the peer group 60th percentile rate per discharge, shall be reimbursed a percent of the difference between the peer group 60th percentile rate per discharge and the hospital's all inclusive rate per discharge.
(1) A hospital is defined as having a disproportionate share of low income patients with special needs if its proportion of low income patient revenue is greater than 31 percent of the total gross revenues reported by that hospital to the California Health Facilities Commission.
(2) Low income patients with special needs are defined and measured for this purpose by using Medi-Cal gross revenues as reported to the California Health Facilities Commission. Consideration will also be given to public revenue from sources other than Medi-Cal. Medicare revenue is specifically excluded from such consideration.
(3) Additional reimbursement for disproportionate share hospitals with rates per discharge above the peer group 60th percentile will be determined as follows:

		The additional
		reimbursement %
	If the	applied to the amount
	disproportionate share is:	above the 60th percentile is:

	95% - 100%	50%
	88% - 94%	45%
	81% - 87%	40%
	74% - 80%	35%
	67% - 73%	30%
	60% - 66%	25%
	53% - 59%	20%
	46% - 52%	15%
	39% - 45%	10%
	32% - 38%	5%
(d) (1) A hospital may request an administrative adjustment of the reimbursement limits specified in this section at the time of tentative settlement. The request shall be made within 60 days after notification of the reimbursement limits on tentative settlement and shall be made in accordance with the procedures specified in Section 51536(h).
(2) The following items will not be subject to an administrative adjustment:
(A) The use of hospital peer groups.
(B) The use of the 60th percentiles and the methods used to compute them.
(3) A hospital may appeal the Department's decision on the administrative adjustment in accordance with Section 51536 (i). On appeal, a hospital with costs in excess of the limits established in this section shall be granted additional reimbursement for costs which it must incur to efficiently and economically provide covered services in conformity with applicable state and federal law, regulations, and quality and safety standards. Factors relevant to determining whether additional reimbursement shall be granted include, but are not limited to:
(A) Differences in case mix between the hospital and other hospitals in its peer group;
(B) Differences in labor costs, caused by factors such as differences in location, between the hospital and other hospitals in its peer group;
(C) Differences in capital costs between the hospital and other hospitals in its peer group. Approval by the Office of Statewide Health Planning and Development of a capital expenditure shall be evidence of the need for the capital expenditure; however, such approval shall not, per se, compel additional reimbursement;
(D) Differences in the type, nature or scope of items or services furnished between the hospital and other hospitals in its peer group;
(E) Differences in costs between the hospital and other hospitals in its peer group due to extraordinary circumstances beyond the hospital's control such as strikes, fire, earthquake, flood, or similar unusual occurrences with substantial cost effects;
(F) The addition of new and necessary services to the hospital;
(G) Changes in the case mix of the hospital; or
(H) Other items or circumstances affecting hospital costs. Any additional reimbursement granted pursuant to this section shall not result in a recalculation of the 60th percentile limit under (b).
(e) (1) The Department shall take one or more of the following actions if it has reason to believe that a hospital's rate per discharge will exceed the peer 60th percentile:
(A) Reduce the hospital's interim payment percentage.
(B) Prohibit increases in the accommodation rates charged by the hospital.
(2) Actions taken by the Department under (1) shall not be subject to administrative adjustment or administrative appeal.
(3) The Department shall notify the hospital of any action taken under (1) and give the hospital an opportunity to submit written evidence that the hospital's rate per discharge is unlikely to exceed the peer group 60th percentile. The Department may reconsider its action on the basis of the written evidence.
(f) For hospital fiscal periods beginning on or after the effective date of Sections 51545 through 51557, reimbursement for hospital inpatient services shall be in accordance with Sections 51545 through 51557. Section 51539 will cease to be effective for fiscal periods subject to Sections 51545 through 51557.
NOTE

Authority cited: Sections 14105, 14105.1 and 14124.5, Welfare and Institutions Code; and Chapter 1594, Statutes of 1982, Section 87 (SB 2012). Reference: Sections 14105.1 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 11-1-82 as an emergency; effective upon filing (Register 82, No. 45). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed 3-1-83.
2. Certificate of Compliance including amendments transmitted to OAL 3-1-83 and filed 4-1-83 (Register 83, No. 14)
3. Amendment filed 1-17-84 as an emergency; effective on filing (Register 84, No. 5). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-18-84.
4. Certificate of Compliance as to 1-17-84 order transmitted to OAL 5-4-84 and filed 6-1-84 (Register 84, No. 22).
5. New subsection (f) filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
§51540. Hospitals with a Disproportionate Share of Low Income Patients. [Repealed]
History

HISTORY

1. New section filed 1-27-82 as an emergency; effective upon filing (Register 82, No. 5). A Certificate of Compliance must be received within 120 days or emergency language will be repealed on 5-27-82.
2. Certificate of Compliance transmitted to OAL 5-26-82 and filed 6-29-82 (Register 82, No. 27).
3. Repealer filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
§51541. Hospital Inpatient Services Reimbursement.
Note     •     History

(a) Except as provided in Welfare and Institutions Code, Division 9, Part 3, Chapter 8 regarding Prepaid Plans, reimbursement for hospital inpatient services provided to Medi-Cal beneficiaries shall be based on either of the following two reimbursement methodologies:
(1) Negotiated contract reimbursement. “Negotiated contract reimbursement” means that method of reimbursement as specified in an executed contract resulting from negotiations, competitive bidding or any other method the special hospital negotiator, as defined in Welfare and Institutions Code Section 14082, or, on or after July 1, 1983, the California Medical Assistance Commission, as defined in Welfare and Institutions Code Sections 14165 and 14165.5 deems appropriate.
(2) Hospital reimbursement as otherwise described in this article.
(b) Hospital reimbursement as otherwise described in this article shall be used to reimburse hospitals for hospital inpatient services prior to implementation of negotiated contract reimbursement.
(c) Contracting Process. The process used for negotiated contract reimbursement will contain the following steps:
(1) All acute care hospitals in Health Facilities Planning Areas (HFPA) selected by the special hospital negotiator in the State of California will be notified by the special hospital negotiator or, on or after July 1, 1983, the California Medical Assistance Commission, of the opportunity to contract for the provision of inpatient services to Medi-Cal beneficiaries. State hospitals and hospitals owned by the U.S. Government will not be included in the notification process.
(2) Hospitals which indicate an interest in contracting with the Medi-Cal Program will be asked to present their proposal to the special hospital negotiator or, on or after July 1, 1983, the California Medical Assistance Commission.
(3) The special hospital negotiator or, on or after July 1, 1983, the California Medical Assistance Commission will contract with a sufficient number of hospitals to assure accessibility of inpatient hospital services, to Medi-Cal beneficiaries within normal community travel time or 30 minutes whichever is greater.
(4) The special hospital negotiator will first evaluate the amount of inpatient hospital services historically rendered to Medi-Cal patients in each HFPA and will determine the Medi-Cal patients' needs. Projections of service needs for patients within each HFPA will then be established. Projected needs will be met by negotiated contract reimbursement or hospital reimbursement as otherwise described in this article. Hospital reimbursement, as otherwise described in this article, will be used for those services and beneficiaries exempt from the Selective Provider Contracting Program. Hospital capacity projected to be needed in one HFPA may be contracted for in another HFPA so long as the normal community travel practices are considered and provided for.
(5) All affected acute care hospitals in each HFPA will be notified when projected needs have been met in accordance with paragraphs (3) and (4). Affected hospitals will be designated as contracting or non-contracting and Medi-Cal physicians and beneficiaries will be notified that inpatient services, except as provided for in subsection (6) below, will only be provided in contracting hospitals. Affected hospitals will not include state hospitals, children's and charitable research hospitals as defined in Welfare and Institutions Code Section 14087.2, hospitals owned or operated by the U.S. Government, and out-of-state hospitals.
(6) Hospitals designated as non-contracting will no longer be eligible to receive reimbursement for services provided to Medi-Cal beneficiaries except under any one of the following circumstances:
(A) Provision of inpatient hospital services as defined in Welfare and Institutions Code Section 14087.
(B) Provision of inpatient hospital services to a Medi-Cal beneficiary where the travel time from a beneficiary's home to a contract hospital, exceeds the normal practice for the community or 30 minutes, whichever is greater, and the non-contracting hospital providing services is closer to the beneficiary's home than a contracting hospital.
(C) Provision of inpatient hospital services to a Medicare Part A crossover patient by a non-contracting hospital, subsequent to the exhaustion of Medicare inpatient benefits and, as long as the beneficiary is in a life threatening or emergency situation which could result in permanent impairment.
(7) Once designation has occurred in accordance with paragraph (5), the special hospital negotiator is exempt from the provisions of paragraphs (1) and (2).
NOTE

Authority cited: Sections 14124.5 and 14082, Welfare and Institutions Code; Section 52, Chapter 328, Statutes of 1982; and Section 87, Chapter 1594, Statutes of 1982. Reference: Sections 14081, 14082, 14082.5, 14086, 14087, 14087.2, 14165 and 14165.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-8-82 as an emergency; effective upon filing (Register 82, No 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-5-83.
2. Certificate of Compliance transmitted to OAL 12-30-82 and withdrawn 1-28-83 (Register 83, No. 10).
3. New section refiled 1-28-83 as an emergency; effective upon filing (Register 83, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-28-83.
4. Certificate of Compliance transmitted to OAL 5-26-83 and filed 6-30-83 (Register 83, No. 27).
§51542. Acute Administrative Days.
Note     •     History

(a) Reimbursement for acute administrative days shall be as follows:
(1) On the same basis as specified in section 51511(a)(2) for nursing facilities that are distinct parts of acute care hospitals.
(2) For all other acute administrative days, on the same basis as for nursing facilities that are distinct parts of acute care hospitals and offer Level B services.
(3) Not include payment for ancillary items listed in section 51511(c). These items and services shall be reimbursed according to the Medi-Cal levels of reimbursement for similar items and services provided to acute care inpatients of the hospital.
(4) Include payment for items as specified in section 51511(b).
NOTE

Authority cited: Sections 10725, 14105(a), 14110.1 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14110.1, Welfare and Institutions Code.
HISTORY

1. New section filed 4-28-82; designated effective 6-1-82 (Register 82, No. 18).
2. Editorial correction of NOTE filed 1-15-85 (Register 85, No. 4).
3. Change without regulatory effect of subsection (a)(1) pursuant to section 100, title 1, California Code of Regulations filed 4-26-90 (Register 90, No. 22).
4. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a) filed as an emergency 3-14-91; operative 3-14-91 (Register 91, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-12-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-10-90 order transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
7. Certificate of Compliance as to 3-14-91 order transmitted to OAL 7-11-91 and filed 8-9-91 (Register 91, No. 50).
8. Amendment of  subsection (a)(2)  filed 12-3-92 as an emergency; operative 12-3-92 (Register 92, No. 49). A Certificate of Compliance must be transmitted to OAL 4-2-93 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-3-92 order transmitted to OAL 4-2-93 and filed 5-14-93 (Register 93, No. 20).
10. Amendment of section heading, new subsections (b)-(b)(2) and amendment of Note filed  4-1-96 as an emergency; operative 4-1-96 (Register 96, No. 14). A Certificate of Compliance must be transmitted to OAL by 9-30-96 pursuant to Welfare and Institutions Code section 14132.22 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction of History 10 (Register 96, No. 35).
12. Amendment of section heading, new subsections (b)-(b)(2), and amendment of Note refiled 8-28-96 as an emergency; operative 9-30-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-28-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 8-28-96 order transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
14. Change without regulatory effect amending section heading, section and Note filed 6-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 24).
§51543. Out-of-State Hospital Inpatient Services Reimbursement.
Note     •     History

Out-of-state hospital inpatient services which have been certified for payment at the acute level and which are either of an emergency nature or for which prior Medi-Cal authorization has been obtained, shall be reimbursed the current statewide per diem average of contract rates for acute inpatient hospital services provided by California hospitals with at least 300 beds or the out-of-state hospital's actual billed charges, whichever is less. The term, “current,” as used in this paragraph means the most recent per diem average as of December 1 of the prior calendar year of the contract rates for California hospitals with at least 300 beds that the California Medical Assistance Commission has reported to the Legislature pursuant to Welfare and Institutions Code Section 14165.9. Therefore, the average per diem contract rate in effect on December 1 in a particular calendar year for California contract hospitals with at least 300 beds shall be the maximum rate paid to out-of-state hospitals for dates of service beginning January 1 of the following calendar year.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 14105, 14105.15 and 14124.5, Welfare and Institutions Code. Reference: Sections 14086, 14105 and 14105.15, Welfare and Institutions Code; Chandler Regional Medical Center, et al., v. California Department of Health Services; Diana M. Bontá, et al. and Arizona Burn Center, et al., v. California Department of Health Services; Diana M. Bontá, et al. City and County of San Francisco, Case Nos. CGC-01-324400 and CGS-02-408260.
HISTORY

1. New section filed 9-11-87; operative 10-11-87 (Register 87, No. 37).
2. Amendment filed 10-1-92 with Secretary of State by Department of Health Services; operative 10-1-92. Submitted to OAL for printing only pursuant to section 147(c), SB 485, (Chapter 722, Statutes of 1992) (Register 92, No. 40).
3. Certificate of Compliance as to 10-1-92 order transmitted to OAL 1-2-93 and filed 3-12-93 (Register 93, No. 11).
4. Amendment filed 4-21-2009; operative 5-21-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 17).
§51544. Hospice Care.
Note     •     History

(a) Hospices shall be reimbursed the lesser of the amount billed or the amounts established under title XVIII of the Social Security Act pursuant to section 1902(a)(13), (42 USC 1396a(a)(13)) of such Act, for all covered services, as specified in section 51349.
(b) With the exception of physician services, as specified in subsection (f), room and board payments as specified in subsection (h) and coinsurance for individuals entitled to Title XVIII hospice benefits as specified in subsection (i), reimbursement for hospice care shall be made at one of four rates for each day a recipient is under the care of the hospice regardless of the amount of services furnished:
(1) Reimbursement for routine home care as defined in Section 51180.3, Billing Code number Z7100, shall be made for each day the recipient is at home and not receiving continuous home care.
(2) Reimbursement for continuous home care, as defined in Section 51180.4, Billing Code number Z7102, shall be made on an hourly rate basis for each day, or portion thereof, a recipient qualifies for and receives such care. A minimum of eight hours of care must be provided in a 24-hour period in order to qualify for the continuous home care rate.
(3) Reimbursement for respite care as defined in Section 51180.5, Billing Code number Z7104, shall be made for each day a recipient qualifies and receives such care. Reimbursement for respite care shall be limited to no more than five consecutive days. Payment for the sixth and consecutive days shall be made at the routine home care rate.
(4) Reimbursement for general inpatient care as defined in Section 51180.6, Billing Code number Z7106, shall be made for each day a recipient qualifies and receives such care.
(c) Inpatient rates (general or respite) shall be paid for the date of admission and all subsequent inpatient days except the day on which the patient is discharged. For the day of discharge, the appropriate home care rate shall be paid unless the patient dies as an inpatient. If the patient dies while an inpatient, the inpatient rate (general or respite) shall be paid for the discharge day.
(d) Overall payments to a hospice, excluding payments for room and board as specified in subsection (h) and coinsurance and deductibles as specified in subsection (i), are subject to the same limitations which apply to Medicare payments specified in 42 CFR, part 418, Subpart G.
(1) Payment for inpatient care days (general and respite) shall be limited to 20% of the total days provided by a hospice to all Medi-Cal beneficiaries in the Medicare cap period, November 1st through October 31st of the following year.
(2) Total Medi-Cal payments to any one hospice shall not exceed the Medicare cap amount multiplied by the number of Medi-Cal beneficiaries who elected to receive hospice care from that hospice during the cap period.
(e) The following physician services are included in the four payment rates described in subsection (b).
(1) General supervisory services of the medical director.
(2) Participation in the establishment of plans of care, supervision of care and services, periodic review and updating of plans of care, and establishment of governing policies by the physician member of the interdisciplinary group.
(f) Reimbursement for physician services not described in (e) which are provided to hospice patients by physicians employed by or under arrangement made by the hospice (Code number Z7108), shall be made to the hospice in accordance with Section 51503, 51509 or 51509.1, whichever is applicable. Reimbursement for these physician services shall be included in the amount subject to the hospice cap amount described in subsection (d)(2).
(g) Services of the patient's attending physician, if he or she is not an employee of the hospice or providing services under arrangement with the hospice, are not considered hospice services and are not subject to the hospice cap described in subsection (d)(2). Reimbursement for these services shall not exceed the maximum allowances established in section 51503, 51509 or 51509.1, whichever is applicable.
(h) Payment shall be made to a hospice provider for services rendered to an individual who is a resident of a Level A or Level B nursing facility at one or more of the levels of hospice care described in subsection (b), with the exception of respite care, and for physician services provided by the hospice which are not included in one of the levels of care. Payment shall be 95 percent of the facility's Medi-Cal per diem rate where the patient resides.
(i) Coinsurance payments shall be made to a hospice provider on behalf of individuals entitled to title XVIII hospice benefits as follows:
(1) A coinsurance payment shall be made for each palliative drug and for each biological prescription furnished by the hospice while the individual is not an inpatient. The amount of coinsurance for each prescription shall approximate five percent of the cost of the drug or biological to the hospice, not to exceed $5.
(2) A coinsurance payment shall be made for each day of respite care provided, not to exceed five percent of the respite care daily rate. However, the total amount of coinsurance payments for respite care shall not exceed the Medicare inpatient hospital deductible amount applicable in the year in which hospice care is elected.
(3) Coinsurance may not be billed for Medi-Cal patients unless the hospice also bills and collects coinsurance from Medicare only patients.
(j) A hospice provider shall submit claims for payment for hospice care furnished in an individual's home only on the basis of the geographic location at which the service is furnished. The hospice provider shall identify on the claim the geographic location of the home in which the hospice care is furnished.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14053 and 14123, Welfare and Institutions Code; Statutes of 2003, Chapter 157, Items 4260-101-0001 and 4260-101-0890; and 42 United States Code Section 1396a(a)(13)(B) [Section 1902(a)(13)(B) of the federal Social Security Act].
HISTORY

1. New section filed 10-27-87 as an emergency; operative 10-27-87 (Register 87, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-24-88.
2. Certificate of Compliance including amendment of subsections (b)(3) and (h) transmitted to OAL 2-24-88 and filed 3-22-88 (Register 88, No. 15).
3. Amendment filed 12-10-90 as an emergency; operative 12-10-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 4-9-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-10-90 order transmitted to OAL 4-8-91 and filed 5-8-91 (Register 91, No. 24).
5. Amendment of subsection (h) filed 8-12-91 as an emergency; operative 8-12-91 (Register 92, No. 6). A Certificate of Compliance must be transmitted to OAL 12-10-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-12-91 order transmitted to OAL 12-9-91 and filed 1-2-92 (Register 92, No. 18).
7. Amendment of subsections (b)(1)-(b)(4), (f) and (h) filed 9-25-92 as an emergency; operative 10-1-92 (Register 92, No. 40). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
8. Amendment of table in  subsection (h)  filed 12-3-92 as an emergency; operative 12-3-92 (Register 92, No. 49). A Certificate of Compliance must be transmitted to OAL 4-2-93 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 9-25-92 order transmitted to OAL 1-22-93 and filed 3-9-93 (Register 93, No. 11).
10. Certificate of Compliance as to 12-3-92 order transmitted to OAL 4-2-93 and filed 5-14-93 (Register 93, No. 20).
11. Amendment of subsection (h) filed 8-24-93 as an emergency; operative 8-24-93 (Register 93, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-22-93 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsection (h) refiled 12-20-93 as an emergency; operative 12-20-93 (Register 93, No. 52).  A Certificate of Compliance must be transmitted to OAL by 4-21-94 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-20-93 order transmitted to OAL 3-22-94 and filed 4-28-94 (Register 94, No. 17).
14. Amendment of subsection (h) and Note filed 8-31-94 as an emergency; operative 8-31-94 (Register 94, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-94 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsection (h) and Note refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL 5-3-95 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 1-3-95 order transmitted to OAL 4-27-95 and filed 6-9-95 (Register 95, No. 23).
17. Amendment of subsection (h) and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 9-19-96 order transmitted to OAL 1-17-97 and filed 3-3-97 (Register 97, No. 10).
19. Amendment of subsection (h) and Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
20. Editorial correction of History 19 (Register 98, No. 24).
21. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
22. Amendment of subsection (h) and Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
23. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
24. Amendment of subsection (h) and amendment of Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
25. Amendment of subsection (h) filed 2-28-2000 as an emergency; operative 2-28-2000 (Register 2000, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2000 or emergency language will be repealed by operation of law on the following day.
26. Amendment of subsection (d) and new subsection (j) filed 3-27-2000 as an emergency; operative 3-30-2000 (Register 2000, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2000 or emergency language will be repealed by operation of law on the following day.
27. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
28. Amendment of subsection (h) refiled 6-19-2000 as an emergency; operative 6-19-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-2000 or emergency language will be repealed by operation of law on the following day.
29. Certificate of Compliance as to 3-27-2000 order transmitted to OAL 7-17-2000 and filed 8-28-2000 (Register 2000, No. 35).
30. Certificate of Compliance as to 6-19-2000 order transmitted to OAL 9-22-2000 and filed 10-16-2000 (Register 2000, No. 42).
31. Amendment of subsection (h) and amendment of Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
32. Certificate of Compliance as to 11-17-2000 order, including further amendment of subsection (h), transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
33. Amendment of subsection (h) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
34. Amendment of subsection (h) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
35. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
36. Redesignation and amendment of portion of subsection (h) as new subsection (h)(1), new subsection (h)(2) and amendment of Note filed 8-24-2005 as a deemed emergency pursuant to Welfare and Institutions Code section 14105(a); operative 8-24-2005 for dates of service 8-1-2002 through 7-31-2003 pursuant to Statutes of 2002, Chapter 379, Items 4260-101-0001 and 4260-101-0890  (Register 2005, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-2005 or emergency language will be repealed by operation of law on the following day.
37. Certificate of Compliance as to 8-24-2005 order transmitted to OAL 12-22-2005 and filed 1-23-2006 (Register 2006, No. 4).
38. Editorial correction restoring inadvertently omitted Histories 9 and 10 (Register 2009, No. 5).
39. Amendment of subsection (h), repealer of subsections (h)(1)-(2) and amendment of Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
40. Certificate of Compliance as to 6-24-2010 order transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§51545. Definitions.
Note     •     History

(a) The following definitions are applicable to Article 7.5 only unless otherwise specified in another section:
(1) Administrative Adjustment (AA) means the adjustment to a provider's PIRL in response to a provider's administrative adjustment request (AAR).
(2) Administrative Adjustment Request (AAR) means the provider's request for changes to the PIRL, which includes both the all-inclusive rate per discharge limitation (ARPDL) and peer grouping rate per discharge limitation (PGRPDL).
(3) Aligned ARPDs means the modified ARPDs which have been adjusted to estimate their value as of a common fiscal period ending for the purpose of computing the 60th percentile for the PGRPDL.
(4) All-Inclusive Rate Per Discharge (ARPD) means the per discharge dollar limit on Medi-Cal reimbursable costs prior to the application of the peer grouping inpatient reimbursement limitation (PIRL). The ARPD excludes return on owner's equity, disproportionate share payments and reductions for third-party liability (TPL), as referenced in applicable parts of 42 CFR, Part 413 and HCFA Publication 15-1.
(5) All-Inclusive Rate Per Discharge Limitation (ARPDL) means a Medi-Cal inpatient reimbursement limit (MIRL) which is the all-inclusive rate per discharge (ARPD) multiplied by the number of Medi-Cal discharges. The ARPDL excludes return on owner's equity, disproportionate share payments and reductions for TPL, as referenced in applicable parts of 42 CFR, Part 413 and HCFA Publication 15-1.
(6) Allowable Rate Per Discharge (ARPD) means all-inclusive rate per discharge (ARPD).
(7) Atypical Case means Cost Outliers or Day Outliers.
(8) Base Period shall be for fiscal periods which begin on or after the effective date of Sections 51545 through 51557, the FPE immediately prior to the settlement period.
(9) Base Year means Base Period.
(10) Burden of Going Forward means the responsibility of a party to be the first one to present its evidence with respect to a particular issue.
(11) Burden of Proof means the responsibility of proving, by a preponderance of the evidence, the existence or nonexistence of each fact which is essential to demonstrate that a party's position regarding a disputed issue is correct.
(12) Case Mix means the mix in terms of the diagnosis related groups (DRGs) of the Medi-Cal patients served by the provider.
(13) Case Mix Index means an index that measures the average level of health care needed by a provider's Medi-Cal patients.
(14) Charitable Research Hospital means a provider which accepts catastrophically ill patients by referral only, has over 33 percent of their Gross Operating Expense (GOE) as charity care, over 1 percent of their GOE for research and has no obstetrics or nursery.
(15) Children's Hospital means in accordance with Section 14087.2 of the W&I Code, those hospitals where 30 percent of the infants and children served by the single institution qualify for Medi-Cal payment systems and the institution serves primarily children.
(16) Contract Services Costs means costs related to services provided that are covered by a contract with the Department for care of Medi-Cal inpatients, per W&I Code Section 14081.
(17) Contract Hospital means a provider that contracts with the Department, based on negotiations with the California Medical Assistance Commission (CMAC) in accordance with W&I Code Section 14081.
(18) Cost Outliers means those patients who have extraordinarily higher inpatient costs as identified by the cost outlier formulas in Section 51551.
(19) Cost Report means a report required by the Department and completed by the provider to determine the Medi-Cal Program's share of the provider's reasonable costs in accordance with applicable parts of 42 CFR, Part 413 and HCFA Publication 15-1.
(20) County Appropriations means the amount appropriated to the provider from the county general fund or other county sources for operating deficits or other operating needs. If a county hospital repays the county any portion of the appropriations, the repayment must be abated against current fiscal period appropriations.
(21) Customary Charges, as specified in applicable parts of 42 CFR, Part 413 and HCFA Publication 15-1, means those uniform charges allowed by Medi-Cal which are listed in a provider's established charge schedule which is in effect and applied consistently to most patients and recognized for program reimbursement.
(22) Crossover Patients means hospital inpatients who are eligible for both Medi-Cal and Medicare.
(23) Current Fiscal Settlement Period means the provider's accounting year for which a peer group inpatient reimbursement limitation (PIRL) is being determined.
(24) Day Outliers means those patients whose stay in the hospital is extraordinarily longer as identified by the day outlier formulas in Section 51551.
(25) Department means the California State Department of Health Services.
(26) Depreciation and Amortization means those amounts which represent portions of the depreciable or amortizable asset's cost or other basis which is allocable to a period of operation.
(27) Diagnosis Related Group (DRG) means a group identified by certain clinically coherent types of patients who should have similar resource consumption within each of the universe of DRGs used in the Medicare Prospective Payment System (PPS), in accordance with applicable parts of 42 CFR, Part 413 and HCFA Publication 15-1.
(28) Discharge means the termination of lodging and a formal release of an inpatient by a provider. Deaths are counted as inpatient discharges. See Medi-Cal Discharge.
(29) Disproportionate Share Hospital means a provider whose Medicaid inpatient utilization rate (as defined in Section 1923(b)(2) of the Social Security Act) is at least one standard deviation above the mean Medicaid inpatient utilization rate for providers receiving Medicaid payments in the State, or where the providers's low income utilization rate (as defined in Section 1923(b)(3) of the Social Security Act) exceeds 25 percent.
(30) Economically and Efficiently Operated Providers means providers whose costs do not exceed the PIRL except for those costs that are otherwise found allowable by an AA or Formal Appeal process.
(31) Employee Benefits means the direct operating costs related to employee benefits consisting of FICA; State Unemployment Insurance (SUI) and Federal Unemployment Insurance (FUI); vacation, holiday, and sick leave; group health insurance; group life insurance; pension and retirement; workers' compensation insurance; other payroll related employee benefits; and, other non-payroll related employee benefits.
(32) Employee Benefits Index means the factor resulting from the adjusted comparison of settlement period employee benefits expense to prior period employee benefits expense.
(33) Exempt Reimbursement means reimbursement not included in, or subject to limitation by the PIRL. These costs are limited to return on owner's equity and disproportionate share payments.
(34) Extraordinary and Unusual Events means an event of a sudden, unexpected, or unusual nature; e.g., avalanche, floods, earthquakes or other similar events whose circumstances are unavoidable regardless of the level of prudence exercised by the provider.
(35) Factor Input Price means the same as the Input Price Index.
(36) Final Peer Group Inpatient Reimbursement Limitation (PIRL) Settlement means a Departmental determination of liabilities owed resulting from a PIRL calculation based upon data audited or otherwise considered true and correct by the Department for the final settlement fiscal period, pursuant to the W & I Code Section 14170.
(37) Fiscal Period Ending (FPE) means the last day of a provider's fiscal period. A fiscal period is an accounting period established by the provider. The fiscal period is generally a twelve (12) consecutive month period; however, in some instances may be less than or exceed twelve (12) months.
(38) Fixed Costs means an operating expense or a class of operating expenses as a class, that does not vary with patient volume. Fixed costs are not fixed in the sense that they do not fluctuate or vary, but fluctuate or vary from causes independent of patient volume.
(39) Food Service Expense means those expenses for services and supplies related to the food service categories of: kitchen, dietary, and cafeteria.
(40) Formal Appeal means the provider's appeal of the Department's decision on an AAR concerning a final PIRL calculation.
(41) Formula Relief means changes in the ARPD that will carry forward into the next fiscal period's ARPD calculation.
(42) Gross Operating Expense (GOE) means the total operating expenses of the provider. This includes all expenses incurred in conducting the ordinary major activities of the provider inclusive of daily hospital services, ancillary services, research, education, general services, fiscal services and administrative services, including the physician professional component. 
(43) Initial Base Period means the last fiscal period for each provider ending prior to the effective date of Sections 51545 through 51557.
(44) Input Price Index (IPI) means the weighted computation resulting in the reimbursable change in the prices of goods and services purchased by the providers (except for pass-throughs). The IPI shall consist of a market basket classification of goods and services purchased by providers, a corresponding set of market basket weights derived from each provider's own mix of purchased goods and services, and a related series of price indicators.
(45) Interim Payment Rate means the rate paid to a provider, expressed as a percentage, derived by the PIRL divided by provider's charges.
(46) Interest on Working Capital means a cost representing all interest incurred on borrowings for working capital purposes or interest on an unpaid tax liability.
(47) Interest, All Other means a cost representing all interest incurred for borrowings other than interest on working capital.
(48) Leases and Rents Costs means costs representing lease and rental expenses relating to occupying or using buildings, leasehold improvements and fixed assets not owned by the provider and not directly assignable to another cost center.
(49) Length of Stay Outliers means Day Outliers.
(50) Licenses and Taxes Costs means costs representing all license expenses and all taxes (other than tax on income).
(51) Malpractice Insurance (Hospital and Professional) Costs means costs representing liability insurance expenses, including premiums paid for physicians, the deductibles paid on claims, or the actuarially determined cost of self-insurance.
(52) Maximum Inpatient Reimbursement Limitation (MIRL) means the lowest of the following:
(A) Customary charges.
(B) Allowable costs determined by the Department, in accordance with applicable Medicare standards and principles of cost based reimbursement, as specified in applicable parts of 42 CFR, Part 413 and HCFA Publication 15-1.
(C) ARPD limitation.
(53) Medi-Cal Discharges means those discharges where the inpatient services provided were covered by Medi-Cal for a Medi-Cal eligible beneficiary. This includes deaths, and eligible beneficiaries whose Medi-Cal covered services were paid in full or in part by third parties, if Medi-Cal was also billed for the services. Late paid claims where the patients' statistics were not included in the cost or audit report used to derive the PIRL and well newborns shall not be counted as Medi-Cal discharges. However, a well newborn whose mother is not eligible for Medi-Cal shall be counted as a discharge if the newborn is eligible for Medi-Cal. Medicare crossover patients are not counted as Medi-Cal discharges if Medi-Cal paid only for any applicable deductibles and co-payments.
(54) MIRL Reimbursement Rate Per Discharge means the per discharge reimbursement amount under the MIRL, which has not been reduced for third-party liability, excluding any one-time relief, return on owner's equity and any disproportionate share payments. It is calculated by dividing the MIRL by the number of Medi-Cal discharges.
(55) New Hospital means any hospital:
(A) Which has a complete new physical plant that is less than three years of age and is not on the same or an adjacent property as the old physical plant; or
(B) Under new ownership, or resuming operations for the first time after a 12-month period (i.e. was closed for at least 12 months prior to being reopened under new ownership); or
(C) Which has operated under present and all previous ownerships for less than three years.
(56) New Service means an additional service developed and implemented by a Medi-Cal provider, to furnish and maintain quality inpatient hospital care to a patient population inclusive of Medi-Cal recipients.
(57) Newborn means an infant born in the hospital or delivered outside the hospital and admitted to the hospital shortly after birth.
(58) Noncontract Hospital means a provider that does not have a negotiated contract with the Department to provide medical care for Medi-Cal beneficiaries, pursuant to W & I Code Section 14081.
(59) Noncontract Service Costs means costs related to services provided to Medi-Cal inpatients, which are excluded from the provider's contract with the Department.
(60) Non-Pass-Through Costs means costs which are subject to the hospital cost index, as found in Section 51549.
(61) OSHPD means the Office of Statewide Health Planning and Development.
(62) One-Time Relief means changes in the ARPDL which only affect the settlement period and are not carried forward into the next settlement period ARPDL.
(63) OSHPD Accounting and Disclosure System means a uniform accounting and disclosure system designed by OSHPD.
(64) Outliers means Cost Outliers and Day Outliers.
(65) Partial Period Contracting Hospital means a contract hospital with a contract which covers only a partial fiscal period.
(66) Partially Contracting Hospital means a contract hospital with a contract that does not include all Medi-Cal covered services.
(67) Pass-Through Costs means cost categories for purposes of the ARPDL that are not subject to the hospital cost index. The categories are limited to: depreciation, rents, leases, interest, property tax, license fees, utilities and malpractice insurance, as defined in Section 51549.
(68) Per Diem means a daily rate paid for hospital services provided to Medi-Cal beneficiaries.
(69) Peer Group means a group of hospitals with similar characteristics that are grouped together for purposes of determining reimbursement limitations.
(70) Peer Grouping Inpatient Reimbursement Limitation (PIRL) means the lowest of the following:
(A) Customary charges.
(B) Allowable costs determined by the Department, in accordance with applicable Medicare standards and principles of cost based reimbursement, as specified in applicable parts of 42 CFR, Part 413 and HCFA Publication 15-1.
(C) ARPDL.
(D) PGRPDL.
If a provider is exempt from the peer group limits, the Medi- Cal reimbursement limitation will be the lowest of (A), (B) or (C), identified above. All references to PIRL include MIRL.
(71) Peer Grouping Rate Per Discharge Limitation (PGRPDL) means a Medi-Cal inpatient reimbursement limit. The PGRPDL excludes return on owner's equity, disproportionate share payments and reductions for third-party liability. The PGRPDL is the 60th percentile ARPD of each provider's peer group multiplied by the provider's number of Medi-Cal discharges.
(72) Pharmacy Expense means those expenses for services and supplies related to the pharmacy. The cost of drugs dispensed to inpatients are also included in this category.
(73) Primary Health Service Hospital means a provider that is either (1) located outside of a standard metropolitan statistical area, and located at least 15 miles from another licensed acute care hospital, and has 60 or fewer acute care beds; or (2) is located at least 20 miles from any other licensed acute care hospital, and has 60 or fewer acute care beds; or (3) be the only licensed acute care hospital in the county, and has fewer than 100 acute care beds as defined by Health and Safety Code Section 1339.9.
(74) Prior Fiscal Period means the most recent fiscal period ending prior to the period in which a PIRL is being determined.
(75) Productive Hours means the total paid hours less hours not on the job. Hours not on the job include: vacation time; sick time; holidays; and other paid time off.
(76) Productive Salaries means the total direct payroll costs for productive hours related to a given classification.
(77) Professional Fees means fees for professional services consisting of medical (therapist and others); consulting and management fees; legal; audits; registry nurses and contracted services.
(78) Provider means an institution in California that furnishes inpatient hospital services to Medi-Cal beneficiaries.
(79) Purchased Services means costs related to services purchased from outside contractors.
(80) Rate Per Discharge means ARPD.
(81) Reasonable Costs means reimbursable costs as defined by 42 CFR, Part 413 and HCFA Publication 15-1.
(82) Recalculated Final PIRL Settlement means a final PIRL settlement which has been recalculated.
(83) Reimbursable Costs means those costs that are reimbursed as determined by the PIRL.
(84) Replacement Service means a newly implemented service which replaces another service in whole or in part.
(85) Rural Hospitals means consistent with Section 1188.855 of the Health and Safety Code, an acute care hospital which meets the criteria within peer group six (rural hospitals) as defined in the report entitled, “Hospital Peer Grouping for Efficiency Comparison” dated December 20, 1982.
(86) Salaries and Wages means the direct operating costs related to salaries and wages, consisting of: management and supervision; technicians and specialists; registered nurses; licensed vocational nurses; aides and orderlies; clerical and other administrative; environmental and food services; non-physician medical practitioners; and other salaries and wages. Those salaries and wages related to students from the medical education centers as well as physicians are not included here.
(87) Salary and Wage Index means the factor which is defined as part of the calculations in Section 51549(b)(2)(A)1.
(88) Second Level Appeal means Formal Appeal.
(89) Service Intensity means changes in the character of the services provided to each patient including but not limited to: changes in applicable technology; qualitative and quantitative changes in: personnel; supplies; drugs; and other materials. Service intensity does not include changes in the types of patients and illnesses treated.
(90) Settlement Fiscal Period means the provider's accounting period for which a PIRL settlement is being or has been conducted.
(91) Sixtieth Percentile means the point at which sixty percent (60%) will be below in any given group arrayed in order.
(92) Sixtieth Percentile ARPD means the maximum reimbursement per discharge under the PGRPDL system. It is the sixtieth percentile rate per discharge for each peer group.
(93) Sole Community Hospital is defined in 42 USC, Section 1395ww(d)(5)(C)(iii).
(94) Student and Physician Professional Fees means fees charged for the professional services provided to patients by hospital-based physicians and students. These do not include those fees related to the education, research and administrative duties performed by the hospital-based physicians.
(95) Student and Physician Salaries and Wages means the compensation (exclusive of in-service education), of students in teaching programs and physicians including such items as research, education program activities, general hospital administration, patient care and supervision. 
(96) Tentative PIRL Settlement means the Department's determination of liabilities owed, resulting from a PIRL or MIRL calculation using unaudited cost report data provided by a provider.
(97) Third-Party Liability (TPL) means amount owed for hospital inpatient services on behalf of a Medi-Cal eligible beneficiary by any payor other than Medi-Cal.
(98) Total Hospital Gross Revenue means the amount of total charges for services rendered to all patients.
(99) Total Medi-Cal Gross Revenue means the amount of charges to Medi-Cal for services rendered to Medi-Cal eligible patients.
(100) Total Paid Hours means the sum of the productive hours and the vacation time, sick time, holidays, and other paid time off for all employee classes related to daily hospital services, ancillary services, general services; fiscal services; and administrative services.
(101) Utilities means the direct expenses, excluding telephone and telegraph expenses, incurred in the operation of the hospital plant and equipment, such as, but not limited to: electricity, gas and water.
(102) Variable Costs means operating costs that vary or fluctuate with changes in patient volume.
(103) Volume Adjustment means the adjustment for changes in patient volume that applies to the provider specific all-inclusive rate per discharge for a given fiscal period.
(104) Well Newborn means those newborns who have no major medical problems who are not counted as Medi-Cal discharges. This includes newborns classified in Medicare PPS DRGs 372 and 373.
(105) Working Capital means the difference between total current assets and total current liabilities.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14081, 14105, 14108, 14124.5 and 14170, Welfare and Institutions Code; and Section 1339.9, Health and Safety Code.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
2. Certificate of Compliance as to 8-28-96 order, including new subsections (i) and (j) and amendment of Note, transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
3. Change without regulatory effect amending subsections (a)(4), (a)(19), (a)(21), (a)(27), (a)(58), (a)(73), (a)(93) and  (a)(104) filed 8-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
§51546. Reimbursement Limits.
Note     •     History

(a) For provider fiscal periods beginning on or after the effective date of this Section, reimbursement for in-state hospital inpatient services provided to Medi-Cal program beneficiaries not fully covered by a negotiated contract as allowed in W&I Code Section 14081, shall be the least of the following four items except as stated in (b), (d), (f), (g), and (h) for each provider:
(1) Customary charges.
(2) Allowable costs determined by the Department, in accordance with applicable Medicare standards and principles of cost based reimbursement, as specified in applicable parts of 42 Code of Federal Regulations (CFR), Part 413 and HCFA Publication 15-1.
(3) All-inclusive rate per discharge limitation (ARPDL).
(4) The peer grouping rate per discharge limitation (PGRPDL).
(b) The following adjustment shall be made to items (1) and (4) above:
(1) Providers shall also be reimbursed for disproportionate share payments if applicable.
(2) The least of the four items listed in (a)(1)-(4) above shall be reduced by the amount of third-party liability.
(c) Amounts determined under (a)(3) or (a)(4) above may be increased only by an AA or appeal.
(d) New hospitals and rural hospitals shall be exempt from the provisions of this Article relating to the MIRL and PIRL. New and rural hospitals shall be reimbursed in accordance with the lesser of subsections (a)(1) or (a)(2) above, and subject to any limitations provided for under federal law and/or regulation.
(e) Each provider shall be notified of the ARPDL and PGRPDL at the time of tentative and/or final PIRL settlements. If only a final PIRL settlement is issued, it shall take the place of both the tentative and final PIRL settlement.
(f) Payments for Medicare covered services provided to Medicare/Medi-Cal crossover patients shall not be subject to the limitations specified in this Section. These services shall be reimbursed only for the Medicare deductibles and co-insurance amounts. The deductibles and co-insurance amounts shall not exceed the state reimbursement maximums. State reimbursement maximums shall be the interim rate times charges after consideration of the Medicare payment.
(g) Payment for skilled nursing facility services shall be made in accordance with Section 51511.
(h) Payment for intermediate care facility services shall be made in accordance with Section 51510.
NOTE

Authority cited: Sections 10725, 14100.1, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
2. Certificate of Compliance as to 8-28-96 order, including new subsections (i) and (j) and amendment of  Note, transmitted to OAL 1-23-97 and filed 3-10-97 (Register 97, No. 11).
3. Change without regulatory effect amending subsection (c), repealing subsections(i)-(j) and amending Note filed 6-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 24).
§51547. Methods of Payment.
Note     •     History

(a) The methods of payment for inpatient hospital services under the MIRL shall include the following:
(1) An ARPD that shall be retrospectively established for each provider's tentative and final settlement fiscal period. The ARPD shall:
(A) Apply to all non-contract Medi-Cal inpatient covered services provided by the provider during its settlement fiscal period. It shall be based upon the statistics included in the providers Medi-Cal cost or audit report.
(B) Be updated annually to reflect reimbursable changes in factor input prices, service intensity, technology, productivity, patient volume, and other items as allowed through the AA and appeals process.
(2) An interim payment rate based upon an actual or projected reimbursable cost to charge ratio.
(A) The current interim payment rate shall be based on the lower of the following:
1. The latest tentative settlement fiscal period for which a final settlement has not been issued.
2. The latest final (which also includes recalculated finals) settlement fiscal period.
(B) Interim payment rates calculated under (A) may use data from settlements that have been previously issued if needed to determine the lower of 1. and 2. above.
(C) When newly-established providers do not have cost experience on which to base a determination of an interim rate of payment. In such cases, the Department will use the following methods to determine an appropriate rate:
1. If there is a provider or providers comparable in substantially all relevant factors to the provider for which the rate is needed, the Department will base an interim rate of payment on the reimbursable costs and customary charges of the comparable provider.
2. If there are no substantially comparable providers from whom data are available, the Department will determine an interim rate of payment based on the budgeted or projected reimbursable costs and customary charges of the provider.
3. Under either method, the Department will review the provider's cost and charge experience and adjust the interim rate of payment in line with the provider's cost and charge experience.
4. The Department may prohibit increases in the accommodation rates, as defined in applicable parts of 42 CFR, Part 413 and HCFA Publication 15-1, charged by the provider if the Department projects that such increases would cause their interim payments to exceed the PIRL.
5. Newly established providers may appeal their interim rate if it is based upon the criteria in (a)(2)(C)1. through 4., in accordance with the AAR procedures specified in Section 51550.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14105.15 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
2. Change without regulatory effect amending subsection (a)(2)(C)4. filed 8-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
§51548. Overpayments.
Note     •     History

(a) Interim payment rate adjustments and recovery of overpayments to providers shall be made at tentative or final settlement based upon the application of this Article.
(1) Such overpayments shall be collected and such interim payment rates shall be adjusted whether or not appeals of any audit, MIRL or PIRL for the current or any prior fiscal period have been filed by the provider.
(2) Interim payment rates calculated after the effective date of Article 7.5, Sections 51545 through 51557, and applied to services provided after the effective date of this regulation, shall comply with Sections 51547 and 51548 even if the actual settlement upon which the new interim rate is based, is not subject to this regulation.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14105.15, Welfare and Institutions Code. 
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
§51549. Reimbursement Formula.
Note     •     History

(a) A hospital cost index (HCI) shall be established for each provider. This index shall consist of an input price index (IPI) and shall contain an allowance for changes in scientific and technological advancement, service intensity and productivity. The allowance shall be called the Service Intensity, Productivity, Scientific and Technological Advancement Factor (SIPTF).
(1) The HCI shall be calculated to account for actual changes in the IPI after the close of each provider's accounting period.
(2) The HCI shall be multiplied by the non-pass-through portion of the provider's MIRL reimbursement rate per discharge (tentative or final) for the prior fiscal period to determine the non-pass-through portion of its ARPD for the settlement fiscal period.
(A) The prior period shall always be the base period for each settlement.
(B) For the initial base period only, the non-pass-through portion of the ARPD shall be calculated as follows:
1. Step 1, add the amount of TPL for the initial base period to the MIRL (lowest of 51536(a)(1)-(3)) which includes amounts reimbursed under the AA and appeals process for the initial base period.
2. Step 2, recalculate Medi-Cal discharges for any initial base period in accordance with the definition of Medi-Cal discharges contained in Section 51545.
a. The Department shall notify the provider of the revised count of Medi-Cal discharges for the initial base period.
b. The provider may file an AAR on the count of Medi-Cal discharges for the initial base period only and only as it is used in the settlement period MIRL. The AAR must be filed within 60 days of notification of the number of Medi-Cal discharges for the initial base period.
c. The provider may file an appeal on the Department's response to the AAR in accordance with Section 51552.
3. Step 3, divide the result of step 1 by the result of step 2.
4. Step 4, multiply the percentage of non-pass-through costs for the initial base period by the result of step 3.
5. Use the result of step 4 in place of the PNPARPD in the ARPD formula in subsection (3) below.
(3) The ARPD shall be calculated as follows:
ARPD = PASPD + NPARPD.
   = PASPD + (PNPARPD * HCI)
   = (TPTC/THD) + (PNPARPD * ((AIPI * CMAF) + SIPTF))
Where ARPD = All-inclusive Rate Per Discharge.
PASPD = Pass through per discharge = TPTC/THD
TPTC = Total pass through costs in the settlement fiscal period
THD = Total hospital discharges in the settlement fiscal period.
NPARPD = Non-Pass-through All-inclusive Rate Per Discharge.
NPARPD = PNPARPD * HCI
PNPARPD = Prior year Non-Pass-through portion of the MIRL    reimbursement rate per discharge which is,
((PMIRL - (PMCDIS * (PTPTC/PTHD)))/PMCDIS)
Where:
 PMIRL = Prior fiscal period MIRL.
 PMCDIS = Prior fiscal period number of Medi-Cal discharges.
 PTPTC = Prior fiscal period total pass through costs.
 PTHD = Prior fiscal period total hospital discharges
HCI = Hospital Cost Index =
 ((AIPI) ** (Days/730))* CMAF) + (SIPTF. **(days/730))
If the prior or settlement fiscal period is long (over 370 days) or short (under 360 days). If both fiscal periods are over 359 days and under 371 days HCI = (AIPI * CMAF) + SIPTF.
Where:
AIPI = Adjusted Input Price Index.
SIPTF = Allowance for Service Intensity, Productivity, and Scientific       and Technological advancement Factor.
Days = Sum of days in the current and prior fiscal periods.
CMAF = Case mix adjustment factor.
* = Multiplication.
** = Exponentiation.
(4) An annual allowance for service intensity, productivity and scientific and technological advancement shall be added to the allowable increase in the non-pass-through portion of the ARPD, as detailed in the formulas in this section. This allowance shall be in addition to reimbursement for pass-through categories and shall be the net amount of changes for scientific and technological advancement, productivity improvement and service intensity, if any (excluding case mix), as recommended annually by the prospective payment assessment commission for the Medicare PPS for all FPEs during the PPS effective dates of the recommended allowance.
(5) The pass-through categories are those hospital cost categories which, for purposes of tentative and final settlement, are not subject to the HCI.
(6) Each pass-through category is listed below:
(A) Depreciation.
(B) Rents and Leases.
(C) Interest.
(D) Property Taxes and License Fees.
(E) Utility Expenses.
(F) Malpractice Insurance.
(b) An IPI shall be established to compute the reimbursable change in the prices of goods and services purchased by the providers (except for pass-throughs). The IPI shall consist of a market basket classification of goods and services purchased by providers, a corresponding set of market basket weights derived from each provider's own mix of purchased goods and services, and a related series of price indicators.
(1) Weights corresponding to market basket categories shall be derived and updated for each settlement fiscal period. These weights shall be computed using the latest available information from each provider's Medi-Cal cost report. If information from this source is not sufficient to establish a hospital specific weight for a particular market basket category, the Department shall assign a weight based on information from the United States National Hospital Input Price Index published by the Department of Health and Human Services, or other available sources.
(2) The IPI shall be calculated after the close of each hospital's FPE, to account for actual and/or estimated changes in the:
(A) Hospital specific wage and benefit rates.
1. The index for allowable changes in wages shall be computed as follows:
Salary and Wage Index (SWI) = CLSA/ACSA.
Where:
CLSA = Summation of (PYHx * CYHRx) for all x.
ACSA = Summation of all Actual Prior Fiscal Period Salaries for all x categories.
x = The following categories:
a. Technicians and Specialists.
b. Registered Nurses.
c. LVNs.
d. Aides and orderlies.
e. Clerical and other administrative.
f. Environmental and food service.
PYHx = Prior Fiscal Period Productive Hours.
CYHRx = Current (Settlement) Fiscal Period Hourly Rate = CYSx/CYHx.
CYSx = Current (Settlement) Fiscal Period salary Expense for each category.
CYHx = Current (Settlement) Fiscal Period productive Hours.
2. The Employee Benefits Index (EBI) shall be computed as follows:
EBI = (PYHT * CYBR)/PYB.
Where:
PYHT = Prior Year (Prior Fiscal Period) Paid Labor Hours for All Labor Categories.
CYBR = Current Year (Settlement Fiscal Period) Benefit Rate = CYB/CYHT.
PYB = Prior Year (Prior Fiscal Period) Benefits Costs.
CYB = Current Year (Settlement Fiscal Period) Benefits costs.
CYHT = Current Year (Settlement Fiscal Period) Labor Hours for All Labor Categories.
3. The SWI and EBI shall be annualized for any provider which has a short or long (under 360 or over 370 days) prior or current fiscal period.
(a) The SWI shall be adjusted using the following formula:
ASWI = SWI ** (730/Days).
ASWI = Adjusted SWI.
Where Days = Total days in the current and prior fiscal periods.
(b) The EBI shall be adjusted using the following formula:
AEBI = EBI ** (730/Days).
Where:
AEBI = Adjusted EBI.
Days = Total days in the current and prior fiscal periods.
(c) If the SWI and EBI are not annualized, then the ASWI = SWI and AEBI = EBI.
(B) Price indicators for other non-pass-through categories.
(C) Market basket weights for the following categories:
1. Salary and wages.
2. Benefits.
3. Professional fees, medical.
4. Professional fees, other.
5. Food.
6. Drugs.
7. All other non-pass-through costs.
(D) The non-pass-through costs “all other” category shall be weighted using the following weights for purposes of calculating the price indicator:

Category	Weight

Chemicals	12.16%
Surgical and Medical Instruments
and Supplies	10.59%
Rubber and Miscellaneous Plastics	9.02%
Business Travel and Motor Freight	4.71%
Apparel and Textiles	4.31%
Business Services	14.90%
All other miscellaneous	44.31%

(E) The weights for the seven market basket categories shall be the percentage of costs for each category as calculated from the Medi-Cal cost report.
(F) Each market basket weight shall be multiplied by the corresponding price indicator. The results will be summed to obtain the unadjusted non-pass-through price index.
(G) The price indicators for items under (C) (3 through 7) will be established for the end of each calendar quarter (March 31, June 30, September 30 and December 31). Any FPE other than on a calendar quarter shall use the price indicators under (C) above for the quarter in which the provider's FPEs.
1. The following five market basket categories and price indicators to be used in developing each provider's IPI are shown in the following table.

Non-Pass-Through Market Basket Classification
(Excluding Wages and Benefits)

View Graphic
2. The price index shall be 1.0 + the percentage increase in each service category as measured by the price indicator, expressed as a proportion.
(3) The formula for the hospital IPI shall be:
IPI = (PX1 * PGE1) + (PX2 * PGE2) + (PX3 * PGE3) + (PX4 * PGE4) + (ASWI * PGE5) + (AEBI * PGE6) + (PXO * PGE7)
Where:
IPI = Input Price Index.
PX1 = Price Index for Medical Professional Fees.
PX2 = Price Index for Other Professional Fees.
PX3 = Price Index for Food Costs.
PX4 = Price Index for Drug Costs.
ASWI = Adjusted Salary and Wage Index.
AEBI = Adjusted Employee Benefit Index.
PXO = Price Index for Other Costs.
PGE1 = Proportion of non-pass-through GOE which is for Medical Professional Fees for the prior fiscal period.
PGE2 = Proportion of non-pass-through GOE which is for Other Professional Fees for the prior fiscal period.
PGE3 = Proportion of non-pass-through GOE which is for Food Costs for the prior fiscal period.
PGE4 = Proportion of non-pass-through GOE which is for Drug Costs for the prior fiscal period.
PGE5 = Proportion of non-pass-through GOE which is for Salary and Wages for the prior fiscal period.
PGE6 = Proportion of non-pass-through GOE which is for Employee Benefits for the prior fiscal period.
PGE7 = Proportion of non-pass-through GOE which is for Other Costs for the prior fiscal period.
non-pass-through GOE = GOE minus total of all pass-through costs for the prior fiscal period.
(4) Providers that do not supply the data needed to calculate the IPI, shall have an IPI equal to the hospital market basket increase as calculated by HCFA, for the closest corresponding time period. For hospitals with short FPEs, the closest corresponding time period shall be the one with the closest mid-point.
(c) A volume adjustment shall be made to the provider's non-pass-through portion of the ARPD for the settlement fiscal period if the number of annualized total hospital discharges in the provider's settlement fiscal period differs from the number of annualized total hospital discharges in its prior fiscal period. The volume adjustment is used to allocate fixed costs on a per discharge basis. Provider fiscal periods (both settlement and prior) under 360 or over 370 days shall be annualized to a 365 day period based on the following formula:
ATHD = (365/DFP) * THD.
Where:
ATHD = Annualized total hospital discharges.
DFP = Days in fiscal period.
THD = Total hospital discharges.
(1) The volume adjustment shall be calculated using the following formula which adjusts the rate per discharge for estimated changes in average costs resulting from changes in volume.

VOLUME ADJUSTMENT FORMULA
AIPI = IPI * VAF
Where:
AIPI = Allowable change in the prior year non-pass-through portion of the ARPD after volume adjustment, expressed as a proportion. This is the adjusted IPI, which has not been annualized and does not include any CMAF or SIPTF.
IPI = Hospital Input Price Index.

View Graphic
VAF = Volume Adjustment Factor
DISP = Total hospital discharges in the prior fiscal period (annualized if needed).
VC = Variable cost as a proportion of total cost for the prior fiscal period.
* = Multiplication.
DISF = Total hospital discharges in the settlement fiscal period (annualized if needed).
(2) Each provider's total costs, except for pass-through costs, shall be divided into the fixed and variable components shown in the following table. Data from the provider's Medi-Cal cost report or in the event it is unavailable, other direct report of expenses, shall be used to estimate the percentage of a provider's cost which varies with volume. A fixed to variable cost ratio of 50:50 shall be used when sufficient data from the provider are not available.

CLASSIFICATION OF FIXED AND VARIABLE COSTS

Fixed Costs	Variable Costs

Salaries and Wages	Salaries And Wages

Management and supervision	Registered nurses
Technician and specialist	Licensed vocational nurses
Clerical and other administrative	Aides and orderlies
Physicians	Environmental and food
	Services
Nonphysician medical practitioners	Other salaries and wages

Employee Benefits-Distributed	Employee Benefits-Distributed
proportionately according to	proportionately according	salaries and wages	to salaries and wages
FICA	FICA
Unemployment insurance	Unemployment insurance
Vacation, holiday, and sick leave	Vacation, holiday, and sick
	leave
Group insurance	Group insurance
Pension and retirement	Pension and retirement
Workers' compensation	Workers' compensation
Other employee benefits	Other employee benefits

Other Direct Expenses	Professional Fees
Insurance	Medical
Other direct expenses	Consulting and management
	Legal
	Audits
	Other professional fees
	Supplies
	Food
	Surgical supplies
	Pharmaceuticals
	Medical care materials
	Minor equipment
	Nonmedical supplies
	Purchased Services
	Medical
	Repairs and maintenance
	Management services
	Other purchased services
(3) A provider may submit additional data on the classification of fixed and variable costs for review by the Department with the AAR. If these alternative classifications and/or data are accepted by the Department, the provider shall continue to:
(A) Utilize these accepted classifications of fixed and variable costs in all FPEs.
(B) Submit to the Department, along with their filed cost report, any required data on fixed and variable costs necessary to do the alternative calculations for all subsequent FPEs. If the provider fails to supply the data with the cost report, they shall have their interim payments reduced by 20 percent. If the data has not still been supplied 60 days after the 20 percent reduction in interim payments begins, the provider shall have their interim payments reduced by 100 percent until the data are supplied. The provider shall be given 30 days advance notice to supply the required data before any reductions in interim payments are applied under this subsection.
(4) All providers must supply the data items for each FPE necessary to do the PIRL calculations. The data must be supplied as part of each provider's Medi-Cal cost report.
(d) Summary of ARPDL formula for provider with full settlement and full prior fiscal periods:

View Graphic
Where:
ARPDL = All-Inclusive Rate Per Discharge Limitation.
MCDIS = Medi-Cal discharges in the settlement fiscal period.
RENTS = Rental costs for the settlement fiscal period.
LIC = License fees for the settlement fiscal period.
PTAX = Property Tax expenses for the settlement fiscal period.
DEP = Total allowable depreciation expenses for the settlement fiscal period.
LEAS = Lease expenses for the settlement fiscal period.
INT = Allowable Interest expense for the settlement fiscal period.
UTL = Allowable utility expenses for the settlement fiscal period.
MPI = Total Malpractice Insurance costs for the settlement fiscal period.
THD = Total hospital discharges for the settlement fiscal period.
PMIRL = MIRL (Lowest of rate, costs and charges) for the prior fiscal period.
PMCDIS = Medi-Cal discharges in the prior fiscal period.
TPTCPP = Total allowable pass-through costs for the prior fiscal period.
PTHD = Total hospital discharges for the prior fiscal period.
PX1 = Price index for medical professional fees.
MPFP = Allowable Medical Professional Fees for the prior fiscal period.
GOEPP = Gross Operating Expenses (GOE) for the prior fiscal period.
PX2 = Price index for Other Professional Fees.
OPFP = Allowable Other Professional Fees for the prior fiscal period.
PX3 = Price Index for Food costs.
FOODP = Allowable food costs for the prior fiscal period.
PX4 = Price Index for Drug costs.
DRUGP = Allowable costs for Drugs for the prior fiscal period.
PYHk = Prior fiscal period hours paid for employee classification k.
CYHRk = Settlement Fiscal Period Hourly Wage rate for employee classification k.
PYHRk = Prior fiscal period Hourly Wage Rate for employee classification k.
SWP = Allowable costs for salaries and wages for the prior fiscal period.
PYHT = Prior fiscal period paid hours.
CYBR = Settlement fiscal period hourly benefits rate.
PYB = Prior fiscal period benefits.
PXO = Price Index for Other Costs.
OTCP = Other allowable costs for the prior fiscal period.
DISp = Total hospital discharges for the prior fiscal period.
VC = Variable cost proportion for the prior fiscal period.
DISf = Total hospital discharges for the settlement fiscal period.
DRGCi = DRG weight for patient i in the settlement fiscal period.
n = Number of DRG weights in the settlement fiscal period.
DRGPj = DRG weight for patient j in the prior fiscal period.
m = Number of DRG weights in the prior fiscal period.
MCDISP = Medi-Cal discharges in the prior fiscal period.
STA = Adjustment factor for Scientific and Technological Advancement.
PI = Adjustment factor for Productivity Improvement.
SI = Adjustment factor for Service Intensity.
Lines 2 through 15 are the ARPD = All-Inclusive Rate Per Discharge.
Line 2 is the PASPD = Pass-through cost per discharge.
Line 3 is the PNPARPD = Prior fiscal period Non-pass through MIRL Reimbursement Rate Per Discharge.
Lines 4 through 12 are the IPI = Input Price Index.
Lines 4 through 13 are the AIPI - Adjusted Input Price Index.
Lines 4 through 15 are the HCI = Hospital Cost Index.
Line 8 is the SWI = Salary and Wage Index.
Line 10 is the EBI = Employee Benefits Index.
Line 13 is the VAF = Volume Adjustment Factor.
Line 14 is the CMAF = Case Mix Adjustment Factor.
Line 15 is the SIPTF = Allowance for Service Intensity, Productivity, and Scientific and Technological Advancement Factor.
NOTE

Authority cited: Sections 10725, 14105, 14106 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14105.15, 14106 and 14171, Welfare and Institutions Code.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
2. Change without regulatory effect amending section filed 8-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
§51550. Administrative Adjustment Process.
Note     •     History

(a) A provider may request an AA to the ARPDL or PGRPDL established for that provider if the provider's cost based allowable reimbursement for the settlement fiscal period as defined by the lower of Sections 51546(a)(1) and (a)(2), exceeds or are expected to exceed the PIRL by over $100. Expected to exceed only refers to the settlement period being issued and not any future settlement fiscal periods. The burden shall be on the provider to estimate, using the PIRL settlement information provided by the Department and any other information they may have, if they will expect to exceed the PIRL by over $100.
(b) Items that are not subject to an AA or appeal include the following:
(1) The use of Medicare standards and principles of reimbursement.
(2) The reimbursement amounts determined in Section 51546(a)(1) and (a)(2).
(3) The method for determining the IPI.
(4) The use of all-inclusive reimbursement rates.
(5) The use of a volume adjustment formula.
(6) Disproportionate share payments (these are not reduced by application of the PIRL).
(7) Data reported on the cost report which has been audited or reviewed by the Department are considered true and correct pursuant to W&I Code Section 14170. Data that was incorrectly transferred from the providers' Medi-Cal cost or audit report and used to calculate the MIRL is subject to appeal.
(8) The methodology used to calculate the interim rate.
(9) Any prior fiscal period issues.
(10) Higher costs due to low occupancy.
(11) Items not reimbursed as part of the Medi-Cal cost report process as determined in Section 51546(a)(1) and (a)(2).
(12) Increased costs. Only the cause for the increased costs may be appealable, and then only if it is otherwise an appealable item.
(13) Any issue raised in a previous formal appeal for which a decision was made by the Department for the same provider. The only exception is to incorporate into the settlement fiscal period PIRL the prior decision in the same manner as it was previously decided by the Department. These only include decisions made for FPEs affected by Sections 51545 through 51557. This does not include issues withdrawn by the provider and thus not determined on their merits in the formal decision.
(14) Increases in average length of stay.
(15) Changes in the Cost-Based Reimbursement System as determined under Section 51546(a)(1) and (a)(2).
(16) Increased costs incurred by entering into a contract which did not contain reasonable cost increase limitations.
(17) Increases due to increased costs or charges of a related party.
(18) Any issues involving labor cost increases except for those allowed in Section 51551(b).
(19) New services.
(c) Issues involving the following MIRL (or ARPDL but not PGRPDL) items may be resolved through an AA under the procedures in Section 51551:
(1) Changes in Medi-Cal case mix and outliers.
(2) Inappropriate calculation of fixed and variable costs.
(3) An error in the calculations.
(4) Determination of whether or not a provider is exempt from the ARPDL.
(5) Extraordinary and unusual events.
(6) Labor costs as allowed under Section 51551(b).
(7) Other causes of cost increases for costs which were economically and efficiently incurred for the necessary care of Medi-Cal inpatients, that are an increase on a per-discharge basis over the prior fiscal period and are not listed under (b) as not being subject to an AAR.
(8) The interim rate as it may be affected by changes resulting from items appealed under (1) through (7) above.
(d) If a provider's cost based reimbursement (lower of Section 51546(a)(1) and (a)(2)) exceeds both the ARPDL and the PGRPDL, the providers' AAR and any subsequent appeal of the AA, must address both limitations in order to obtain relief for both limitations. If only the ARPDL is appealed, no further appeal rights will exist for the PGRPDL at any later date, except for an AAR on a tentative PIRL settlement that is issued later as a final PIRL settlement.
(e) The procedures for requesting an AA of an ARPDL shall be as follows:
(1) A request for an AA of the ARPDL or PGRPDL, which the Department deems acceptable, shall be submitted within 90 days after notification of that limitation. These AARs must be postmarked or hand delivered on or before the 90th day after the postmark on the settlement notification letter. No extensions shall be granted. If a settlement letter from the Department contains settlements for more than one fiscal period, 120 days shall be allowed to file the AAR.
(2) The AAR shall be submitted in writing to the Department and shall specifically and clearly identify each issue, the total dollar amount involved for each issue and the dollar amount of overlap among each issue. If the Department determines that additional data are needed, the provider shall have 60 days after notification of the Department's request to supply it to the Department. No extension shall be granted.
(3) The AAR need not be formal, but it shall be in writing and specific as to each issue in dispute, setting forth the provider's specific contentions as to those issues and the estimated amount each issue involves. If the Department determines that the request for any issue fails to state the specific grounds upon which objection to the specific issue is based, including the estimated dollar amount involved, the provider shall be notified that is does not comply with the requirements of this regulation and the issue cannot be accepted. If an issue is not accepted on this basis, the provider may not submit this issue as a formal appeal.
(4) All AARs must be signed by an employee of the provider authorized by the provider to do so or by an authorized representative.
(A) If the AAR is signed by an authorized representative, a signed statement of such authorization for each FPE must accompany the AAR signed by an appropriate employee of the provider.
(B) Each AAR must have a declaration attesting to the validity of all statements contained in the AAR. The declaration shall be signed by an appropriate employee of the provider or an authorized representative.
(5) For each issue other than those covered by one of the specific formulas in this section the provider must demonstrate either (A), (B) or all parts of (C) below:
(A) Data that was incorrectly transferred as specified in Section 51550 (b)(7).
(B) An error was made in the rate calculation.
(C) All costs for which additional reimbursement are being requested were:
1. Economically and efficiently provided for the necessary care of Medi-Cal inpatients.
2. Not already included in the ARPDL and/or PGRPDL, whichever limitation(s) is being appealed.
3. Not overlapped with any other AAR issue, or if there were, all such overlap must be used to reduce any additional reimbursement which would otherwise have been granted.
(6) The request shall contain all the appropriate data to allow the Department to determine if relief is needed and to do the relief calculation.
(A) This may include, but is not limited to:
1. All internal/external reports concerning each issue;
2. All material presented to the hospitals' Governing Board concerning this issue;
3. Medical records for Medi-Cal patients;
4. Bank statements and canceled checks;
5. All financial statements;
6. Copies of contracts.
7. Copies of proposed and/or actual budgets.
8. The provider's suggested calculation for relief (for each issue specifically listed under Section 51551 below, the formula in regulation must be used).
(B) All data submitted must be accompanied by one or more statements attesting that the data are true and correct signed by an individual with knowledge of the submitted data. More than one statement may be required if more than one data source is utilized.
(C) All data submitted may be audited by the Department.
(7) One-time relief may be granted for extraordinary and unusual events.
(A) The criteria for one-time relief is any item which occurred in one FPE and is not normally expected to apply to all future FPEs and therefore the ARPDL is not adjusted each future FPE for this issue.
(B) Formula relief shall only be granted for issues which are expected to carry on to every FPE.
(C) Relief for allowable increases in employee hours per discharge shall be one-time relief for the first two FPEs and then formula relief during the third FPE.
(8) The following steps are required by the Department for calculating relief:
(A) The provider shall clearly identify each issue and the estimated dollar amount of relief for each issue.
(B) The provider shall identify the specific cause of the increased costs.
(C) The provider shall calculate what reimbursement is already included in the ARPDL due to this issue (such as pass-throughs) and/or overlap from other AAR issues.
(D) The Department shall review the providers' figures on (A) and make any necessary corrections.
(E) The Department shall determine whether to grant one-time or formula relief.
(9) If data or other items requested by the Department for evaluation of an AAR are not supplied within 60 days, the Department shall suspend further consideration of this issue. If the requested data are not supplied within 120 days, the Department shall deem the AAR rejected for all issues for which the Department requested data or other items, and the provider shall be precluded from raising the issue(s) in a formal appeal.
(10) The provider shall be notified of the Department's decision in writing within 90 days of receipt of the provider's written request for an AA, or within 60 days of receipt of any additional documentation or clarification which was required by the Department, whichever is later. The request for an AA shall be deemed denied if no decision is issued within these time frames. The Department shall notify providers of such denials.
(11) A change in cost based reimbursable costs as defined in Section 51546(a)(1) and (a)(2), whether or not as a result of an audit appeals process, shall result in a redetermination of the PIRL, and shall not give rise to any additional appeal rights.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14105.15, 14106 and 14171, Welfare and Institutions Code.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
2. Change without regulatory effect amending subsection (a) filed 8-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
§51551. Specific Administrative Adjustment Issues.
Note     •     History

(a) AAs for year-to-year changes in case mix and/or outliers under the ARPD (not the PGRPD) shall be resolved in the following manner:
(1) The case mix adjustment factor (CMAF) shall be calculated using the following steps:
(A) The provider shall supply a listing for every Medi-Cal discharge that occurred during both the settlement fiscal period and the prior fiscal period, sorted in admission date order, and shall include as a minimum:
1. The patient's last name and first initial.
2. Medi-Cal I.D. Number.
3. The admission date.
4. The discharge date.
5. The principal diagnosis code.
6. The total amount of billed charges.
7. The DRG number.
8. The DRG weight. The same set of DRG groups and weights must be used for both settlement fiscal period and prior fiscal period data. If charges for a newborn were billed together with its mother, the newborn(s) and the mother must be listed separately on this listing, each with their own DRG and weight.
9. The sum of the cost weights and the number of Medi-Cal DRG discharges on the list. The number of Medi-Cal DRG discharges on the list must equal or exceed the number of audited Medi-Cal discharges. The listing must include all Medi-Cal patients, which includes newborns that are not counted as Medi-Cal discharges.
(B) The sum of the cost weights for each FPE shall be divided by their respective number of Medi-Cal discharges (not the number of patients in the listing) to obtain the average DRG weight for each fiscal period.
(C) The settlement fiscal period average DRG weight shall be divided by the prior fiscal period average DRG weight to obtain the CMAF.
(D) DRG cost weights used in this Section may be any set used by Medicare during any part of either the settlement or prior fiscal period.
The Department may also publish a set of Medi-Cal or California specific DRG cost weights, day outlier cutoffs and classifications as an option for the providers to use.
(E) Once a case mix adjustment index is granted, each subsequent fiscal period ARPDL shall include a CMAF (even if the adjustment is negative) and the provider shall supply all required data necessary to do the CMAF calculation to the Department within 9 months after the end of each subsequent FPE. Failure to do so will result in a 20 percent reduction to the provider's current interim payments. If the data is not received within 12 months of the end of the FPE, the interim payment reduction shall be increased to 100 percent, resulting in an interim payment rate of zero percent. If a provider does not supply the data prior to the issuance of the final settlement, the CMAF shall be calculated so as to remove the affect of all previous CMAFs by compounding the previous CMAFs and applying the result to decrease the settlement fiscal periods ARPD. The provider shall not be eligible for a CMAF for any fiscal period. However, if the tentative PIRL settlement is issued within 6 months of the end of the FPE and the case mix data has not yet been supplied, then a CMAF of 1.0 shall be used for the tentative PIRL settlement only.
(F) For noncontract hospitals, the DRG weights shall be modified by one of the following two methods:
1. All DRG weights for all patients transferred to other acute care hospitals after being stabilized will be multiplied by 0.4 (a 60 percent reduction).
2. All DRG weights for patients transferred to other acute care hospitals after being stabilized shall be adjusted as follows:
a. For each patient transferred list the charges from the hospital they were transferred to.
b. Divide each patient's charges at the provider's hospital by the patient's total charges (which includes charges from both the hospital they were transferred to and the hospital they were transferred from).
c. Multiply the result of (b) for each patient by their DRG weight to obtain a new weight to use in the CMAF calculation.
3. The provider shall choose which option it will use. If the provider fails to specify an option in their AAR, the Department shall use option 1.
4. Outlier calculations for these providers shall be adjusted by using the costs and days for the patients while they are at both providers, and using the same allocation formula 1-3 above.
(2) Additional reimbursement shall be granted to approximate a hospital's increases, on a per discharge basis, in the marginal cost of care beyond specified thresholds that are already reimbursed for in the ARPDL, including the CMAF. AARs for additional reimbursement due to outliers (both cost and day outliers) shall be determined as follows:
(A) If the provider has received a CMAF for the settlement fiscal period, then the outlier relief shall be calculated by:
1. The hospital shall also include on the listing required under (a)(1)(A) above the following additional items:
a. The length of stay for each patient.
b. The outlier cutoffs, in terms of both days and costs, as determined in accordance with Medicare prospective payment rules and regulations for the applicable time period of each individual patient. However, whenever the Medicare formula uses a cost-to-charge ratio, the hospital specific cost-to-charge ratio shall be used. If the provider elects to use an alternative set of DRG weights published by the Department to calculate their CMAF, then the corresponding set of alternative outlier cutoffs must be used for each patient.
c. If a patient qualifies as a day outlier under the Medicare prospective payment definitions, or using the alternative cutoff when the alternative DRG weights are used, then the amount of allowable outlier payments shall also be listed. This amount shall be the MIRL divided by the number of Medi-Cal patient days, times 80 percent, multiplied by the number of days over the day outlier threshold for each patient.
d. For patients that do not qualify as a day outlier, but do qualify as a cost outlier, the amount of costs over the threshold shall be listed and shall be calculated as follows:
(1) The outlier cost cutoff shall be the greater of:
(A) A fixed dollar amount (adjusted for area wage levels) as defined in 42 CFR, Part 412.80(a)(ii)(A) for the appropriate service period.
(B) 1.5 multiplied by the ARPD multiplied by the DRG weight for the patient.
(2) The total costs for each patient shall be the overall Medi-Cal cost to charge ratio calculated from the cost report multiplied by the charges for each patient.
(3) The amount over the cost outlier thresholds, which is step (2) minus step (1), shall be multiplied by 0.80.
e. The cost to charge ratio is determined from the cost report for both the settlement and prior fiscal period.
2. If a patient qualifies as both a day and cost outlier, they shall be treated only as a day outlier.
3. Sum the amounts calculated in (2)(A)1.c. and d. above and divide by the respective number of Medi-Cal discharges for each FPE.
4. Relief shall be calculated by subtracting the prior fiscal period result of 3. from the settlement fiscal period result of 3.
5. Once an outlier adjustment, in conjunction with a CMAF, has been granted, it shall be included in all subsequent settlements even if it is a negative adjustment. Data necessary to do the outlier calculation shall be submitted each FPE within 9 months of the end of the FPE or current interim payments shall be reduced by 20 percent. If the data is not received within 12 months of the end of the FPE, the interim payments reduction shall be increased to 100 percent, resulting in an interim payment rate of zero percent.
(B) If a provider has not elected a case mix adjustment index, then relief for outliers shall be calculated as follows:
1. Providers shall provide lists containing the number of patients for every length of stay for both the settlement fiscal period and the prior fiscal period. For newborns not counted as separate Medi-Cal discharges, their days shall be added to their mother's.
2. The settlement fiscal period and prior fiscal period mean lengths of stay for all Medi-Cal patients shall be calculated by dividing total Medi-Cal patient days (including nursery days) by Medi-Cal discharges for each respective fiscal period.
3. Calculate the standard deviation of the length of stay for all patients in the prior fiscal period.
4. Compute 1.94 standard deviations of the mean length of stay in the prior fiscal period and add the result to the mean length of stay in the prior fiscal period.
5. Round the result in 4. above down to the next whole number to establish the outlier threshold to be used for both prior and settlement fiscal periods.
6. List the patients who exceeded the result of 5. above in either the settlement or prior fiscal period. Include in the list the patient's name, admission date, discharge date, length of stay and charges.
7. Calculate the amount of day outlier payments by:
a. Subtracting the result of 5. above from the length of stay of each patient whose stay exceeded the outlier threshold each FPE.
b. Sum the total days calculated in a. above for each FPE.
c. Divide the number from b. above by the number of Medi-Cal discharges in each respective FPE.
d. Subtract the prior fiscal period result of c. above from the settlement fiscal period result of c.
e. Multiply the result of d. above by the number of settlement fiscal period Medi-Cal discharges.
f. Calculate a per diem rate by dividing the settlement fiscal period MIRL by the total number of patient days (including newborn days).
g. Relief is calculated by multiplying the result of 7.e. above by the result of 7.f. above.
8. For patients who do not qualify as a day outlier, additional relief shall be provided as a cost outlier as follows:
a. For both the prior fiscal period and settlement fiscal period, the provider shall provide a listing of the number of patients by charge category (in either $100 or $200 increments) in order to calculate the mean and standard deviation.
b. Calculate the mean charge per discharge and standard deviation for both FPEs.
c. Convert the means and standard deviations to costs per discharge, by using the allowable cost to charge ratio from the cost report for each respective FPE.
d. Calculate the increase in the cost per discharge by dividing the settlement fiscal period mean cost per discharge by the prior fiscal period mean cost per discharge.
e. Calculate the prior fiscal period cost outlier cutoff by adding 1.94 standard deviations to the mean cost per discharge.
f. The prior fiscal period charge cutoff shall be the result of step e. above divided by the prior fiscal period allowable cost to charge ratio from the cost report.
g. Calculate the settlement fiscal period charge outlier cutoff by multiplying the results of d. above by the result of f.
h. For each FPE, list the following items for each Medi-Cal patient, in admission date order, over the charge threshold as calculated in g. above:
(1) Last name and first initial.
(2) Admission date.
(3) Length of stay.
(4) Charges.
(5) Amount of charges over the threshold.
(6) Costs over the threshold, which is (5) multiplied times the cost to charge ratio from the cost report. Enter zero in this column for any patient who is a day outlier.
i. Sum the items under (6) above for both the prior and settlement fiscal periods (separately).
j. Adjust prior fiscal period costs to settlement fiscal period costs by multiplying the prior fiscal period item i. above result times the result of d. above.
k. Divide the results of prior fiscal period j. above and settlement fiscal period j. above by the respective number of Medi-Cal discharges each FPE.
l. Subtract the prior fiscal period result of k. above from the settlement fiscal period result of k. above.
m. Multiply the result of l. above (minimum of zero) by the settlement fiscal period number of Medi-Cal discharges.
n. Add the result of m. above to the MIRL and divide by the settlement fiscal period net cost of covered services.
o. Multiply the lesser of the result of d. above or 1.0 by the result of n. above to calculate the additional amount of relief for cost outliers who do not qualify as day outliers. This cannot exceed the amount of the MIRL liability.
(b) AAs for changes in labor costs shall be resolved in the following manner:
(1) Relief from the SWI and EBI can be granted if, and only if, the basis is due to labor/benefit cost increases per discharge resulting from either the new adherence to existing requirements imposed by government regulations, rules, and/or statutes or the adherence to new requirements imposed by government regulations, rules, and/or statues. This includes new rules and new adherence to rules imposed by the Joint Commission on Accreditation of Health Organizations. The adherence to the regulations, rules, and/or statutes must be necessary to legally render the provided services to Medi-Cal recipients.
(2) The Department will be authorized to grant relief if the provider meets the criteria for relief. Any relief granted shall be based upon an analysis of labor costs both prior and subsequent to the effective date of adherence to the requirements. Any request for relief will require the following:
(A) A summation of the governmental requirements necessitating the increase in labor costs;
(B) Additional hours and staff required to adhere to the governmental requirements. The request will specify:
1. The exact title(s) of the added staff;
2. The appropriate employee cost category; and
3. The number of hours and hourly rates for each added or deleted staff member.
(C) Source of the additional support, e.g., new hire or transferred from another employee classification; and
(D) The appropriate pages of the Medi-Cal cost report reflecting the additional costs associated with the increased hours.
(3) A separate request shall be rendered for each affected cost center. The cost centers for appeal purposes shall be the exact same cost centers as disclosed in the provider's Medi-Cal cost report as audited by the Department. Relief may be granted only for those cost centers that incurred the expenses as the result of governmental requirements.
(4) The Department shall evaluate the submitted data to determine any changes in the following areas for each affected cost center:
(A) Labor hours per discharge;
(B) Labor costs per discharge;
(C) Changes made in other employee classifications that resulted in labor cost increases or decreases.
(5) The unit measure of change shall be the ARPD. Any relief granted shall be on a per discharge basis by adjusting the ARPD to incorporate the increased, if any, labor costs per discharge which were not reimbursed in the ARPD and which do not overlap with any other issues. Any adjustments necessitated by the application of relief shall impact the base rate per discharge and will be carried forward into future settlements.
(6) The only basis for relief under Subsection (b) of 51551 shall be:
(A) Increased employee hours per discharge; or
(B) The requirement to employ more expensive labor, e.g., replace Aides with Registered Nurses.
(7) Requests for relief on the basis of increased patient acuity will be deferred to Section 51551(a). Patient acuity or service intensity shall not be entertained under Section 51551(b).
(8) Relief sought on the basis of labor disputes shall not be granted. Labor disputes are inclusive of, but not limited to, strikes, arbitration, and/or labor issues where employees in an organized, collective, or unified movement refrained from physically reporting to perform their routine duties or physically reported but refrained from performing their routine duties.
(9) Relief shall not be granted under 51551(b) as the result of circumstances created when the provider switched to or from nursing services instead of salaried personnel.
(c) The following steps will be used for calculating relief for any ARPDL issues not otherwise specified in this regulation:
(1) The provider shall clearly identify the issue and estimated dollar amount of relief.
(2) The provider shall determine what is the specific underlying cause of the increased costs. If the underlying cause of the increased costs is not clearly stated, the AAR shall not be accepted by the Department.
(3) The provider shall calculate what reimbursement, if any, is already included in the ARPDL due to this issue (such as pass-throughs or case mix covering a new service) and shall also calculate any overlap between this and other AA issues.
(4) The Department shall review and correct if necessary, the provider's calculations in steps 1 through 3 above.
(5) The Department shall subtract any overlap with other issues from the amount determined in steps 1 through 3 above.
(6) The Department shall determine if relief is “one-time” or “formula.”
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14105.15, 14106 and 14171, Welfare and Institutions Code; Part 412.80(a)(ii)(A), 42 Code of Federal Regulations.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
2. Change without regulatory effect amending section filed 8-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
§51552. AA Formal Appeals Process.
Note     •     History

(a) A provider may appeal the Department's decision on the AAR for a final PIRL settlement only. There shall be no appeal on an AAR for a tentative PIRL settlement. The appeal shall be filed and conducted in accordance with the applicable procedural requirements of Article 1.5, except as modified by this section, including the following:
(1) The appeal shall be submitted within 30 days after notification of the Department's decision on the AAR.
(2) The provider shall present its issues and evidence first at the hearing, as they shall have the burden of going forward.
(3) The provider has the burden of proof of demonstrating by a preponderance of the evidence, that the provider's position regarding disputed issues is correct.
(4) In order to demonstrate that it is entitled to relief from the PIRL and that the AA decision should be overturned, the provider has the burden of demonstrating by a preponderance of the evidence that the Department's AA decision is inconsistent with the applicable regulatory provisions and that the provider's alternative is consistent with the applicable regulatory provisions.
(5) If the Department's AA decision is proved, by a preponderance of evidence, inconsistent with the applicable regulatory provisions, and the provider has not proved by a preponderance of the evidence that its position is consistent with the applicable regulatory provisions, then the Administrative Law Judge (ALJ) may fashion whatever relief is necessary to obtain consistency with the applicable regulatory provisions.
(6) Items that are not subject to an AA, as specified in Section 51551, shall not be subject to appeal.
(7) The provider shall be paid at the PIRL initially determined by the Department pending determination of a formal appeal.
(8) Any underpayments, identified in the appeal decision, shall be repaid to the provider, together with interest computed at the legal rate of interest beginning the later of the date the payment is received by the Department or the date the appeal is formally accepted by the Department.
(9) The evidence to be submitted by the provider at a formal appeal hearing that was not provided to the Department nor specifically and individually identified as available to the Department, during the AA process excluding oral testimony, must be submitted to the Department 30 days before the scheduled date of the hearing. The only exception, is when a hearing is scheduled within 45 days from the date notice is given. In this latter case, evidence must be submitted 15 days before the scheduled date of the hearing. Failure to submit this information within the specified time frames shall result in its exclusion from the formal appeal hearing and record.
(10) Recalculation of the PIRL due to an appeal decision shall not give rise to any further appeal rights.
(11) If results of an audit appeal of the cost report or any prior fiscal period PIRL, AA or appeal, change data used in the settlement fiscal period PIRL, the PIRL shall be recalculated. The recalculation shall not give rise to further appeal rights.
(12) If an issue in an AAR is not accepted pursuant to Section 51550(e)(2) and (e)(3), the ALJ may only consider the evidence that was presented in the AAR and not any additional information or testimony. If the ALJ determines that the issue should have been accepted, the issue shall be remanded for a response to the merits.
(13) Only those issues that were clearly identified in a timely filed AAR, including an estimated dollar amount for each issue may be accepted as issues on a formal appeal.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14105.15, 14106 and 14171, Welfare and Institutions Code.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
2. Change without regulatory effect amending subsection (a)(12) filed 8-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
§51553. Peer Grouping.
Note     •     History

(a) Hospital reimbursement shall, unless exempted from or modified by the provisions of this section, be payable at no more than the 60th percentile aligned ARPD of the peer group to which the hospital is assigned by the Department. This limit is the Peer Group Rate Per Discharge Limitation (PGRPDL). The peer groups shall be based on a classification of hospitals as determined in the 1991 Hospital Peer Grouping Report published by the Department, that combines individual hospitals in a unit on the basis of similar or common characteristics. The following peer group classifications will be used:
(1) University Teaching Hospitals.
(2) Major (non-university) Teaching Hospitals.
(3) Large Teaching Emphasis Hospitals.
(4) Medium/Small Teaching Emphasis Hospitals.
(5) Extremely Large Sized Hospital.
(6) Large Sized Hospitals.
(7) Moderately Sized Hospitals.
(8) Medium Sized Hospitals.
(9) Moderately Small Sized Hospitals.
(10) Very Small Sized Hospitals.
(11) Acute Psychiatric Hospitals.
(12) Alcohol-Drug Rehabilitation Hospitals.
(13) Combination Psychiatric/Alcohol/Drug Rehabilitation Hospitals.
(14) Psychiatric Health Facilities.
(15) Psychiatric Teachering Hospitals.
(16) Psychiatric Children's Hospitals.
(17) Moderate Alcohol-Drug Rehabilitation Emphasis Hospitals.
(18) Moderate Psychiatric Emphasis Hospitals.
(19) State Hospital-Veterans Home.
(20) State Hospital-Mental Health.
(21) State Hospital-Developmental Services.
(22) Children's Hospitals.
(23) Crippled Children's Hospitals.
(24) Rehabilitation Hospitals.
(25) Large Rehabilitation Emphasis Hospitals.
(26) Respiratory Specialty Hospitals.
(27) Student Health Centers.
(28) Charitable Research Hospitals.
(29) Rural Hospitals.
(30) Specialty Teaching Hospitals.
(31) Prepaid Health Plan Hospitals.
(32) Prepaid Health Plan-Psychiatric/Alcohol-Drug Rehabilitation Hospitals.
(33) Prepaid Health Plan-Teaching Emphasis.
(34) Eye Hospitals.
(35) Women Hospitals.
(36) Dental/Outpatient Hospitals.
(b) The Department may review and change the number and definitions of peer groups and the peer group placement of individual providers.
(1) Providers shall be notified of all such reviews and resultant changes to the peer groups.
(2) For purposes of peer group placement, license beds shall be average licensed beds excluding any beds in suspense, in accordance with Section 1271.1 of the Health and Safety Code.
(3) All peer group assignments will be for all FPEs between July 1st and June 30th for each fiscal year.
(c) Providers exempted from application of the PGRPDL shall consist of new hospitals, rural hospitals, sole community hospitals, children's hospitals, crippled children's hospitals, charitable research hospitals, primary health service hospitals and hospitals in peer groups with less than five Medi-Cal providers.
(d) Providers with less than 15 Medi-Cal discharges in any FPE that covers over 360 days, shall be exempt from the PGRPDL for that FPE only.
(e) The peer group 60th percentile ARPD for each July 1-June 30 FPE shall be calculated by:
(1) Obtaining the ARPD for each provider for the FPE during the state's fiscal period (or use the latest available if one is not yet available for the selected time period).
(2) Using actual or estimated rates of inflation, align the ARPD for each hospital to a July 1 to June 30 FPE.
(3) Locating the 60th percentile, by multiplying 0.6 times one more than the number of ARPDs in the peer group.
(4) Starting from the bottom of a list of ARPDs, ordered from the lowest ARPD at the bottom, up to the highest ARPD at the top, count up the number of ARPDs using the result of (3) above.
(5) Interpolate if necessary.
(f) The 60th percentile ARPD shall be updated quarterly.
(g) Once a final PIRL settlement is issued for a provider, the 60th percentile ARPD established in that provider's FPE shall not change, even though the final PIRL settlement may be reissued as a “recalculated final PIRL settlement” as a result of any appeal as well as other reasons for recalculation.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14105.15, 14106 and 14171, Welfare and Institutions Code; and Section 1271.1, Health and Safety Code.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
2. Change without regulatory effect amending subsection (a)(31) and amending subsection (e)(4) filed 8-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
§51554. Peer Group Administrative Adjustments.
Note     •     History

(a) A provider may request an AA of the reimbursement limits specified in this section and their peer group placement at the time of tentative and final PIRL settlement.
(1) The request shall be made within 90 days after notification of the reimbursement limits and shall be made in accordance with the procedures specified in Section 51550.
(2) The burden of proof shall be on the provider to prove that the additional reimbursement sought meets all of the requirements under Section 51550 and that except where a specific formula in Section 51555 exists, the provider's cost per discharge of the item being appealed, exceeds the 60th percentile cost per discharge of the item being appealed.
(3) In addition to the items listed under Section 51550(b), the following items shall not be subject to an AA of the PGRPDL:
(A) The use of hospital peer groups.
(B) The use of 60th percentiles and the methods used to compute them.
(C) Changes in case mix.
(D) Costs associated with strikes, other labor stoppages or slow downs.
(E) The addition of new services.
(F) Costs due to low occupancy.
(G) Difference in the type, nature, or scope of items or services available whether or not provided, between the provider and other providers in its peer group since differences in the actual services needed to be rendered are accounted for in the CMA as specified in Section 51555.
(H) Any other issue that is not a difference between the provider and other providers in their peer group.
(4) A provider may appeal the Department's decision on the AA for final PIRL settlements only. The appeal shall be in accordance with Section 51552.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14105.15, 14106 and 14171, Welfare and Institutions Code.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
§51555. Peer Group Specific Administrative Adjustment Issue.
Note     •     History

(a) Differences in case mix (including outliers) between the provider and other providers in its peer group shall be determined for the PGRPDL using the following formula, but subject to reduction for overlapping issues as specified in Section (d) below:
MARD=PGL * CMA
Where: MARD=Maximum Allowable Rate per Discharge under the PGRPDL.
CMA=Case Mix Adjustment, which is the providers case mix index divided by the peer group 60th percentile case mix index.
PGL=Peer Grouping reimbursement Limit per discharge (60th percentile ARPD for the peer group if no adjustments have been made).
(1) Case mix indexes shall be based on DRGs and shall be computed using OSHPD patient discharge data for providers. Providers with an ARPD CMAF shall use data they are required to supply for the ARPD CMAF. However, the set of DRG weights used must be consistent for all providers in the peer group and shall be determined by the Department for each FPE.
(2) Providers shall be allowed to submit more accurate patient discharge data for their hospital. Any such patient discharge data must be submitted with the AAR. The data cannot be used until it is verified by the Department. The Department shall not accept data that it determines may not accurately reflect the provider's Medi-Cal patients.
(3) If OSHPD patient discharge data does not correspond with all provider's FPE, the closest FPE shall be used. Indices will be developed for a calendar year and for a July 1 - June 30 FPE. The period which most closely corresponds to the providers FPE shall be used. Calendar year data shall be used for FPEs from October 1 through March 31 inclusive. July 1 through June 30 fiscal period data shall be used for all other FPEs.
(4) CMAs may be applied to any provider with a case mix index greater than the 60th percentile case mix index of its peer group.
(5) In addition to case mix relief, a provider shall be granted relief for outliers if the provider's outlier relief per discharge is greater than the computed 60th percentile outlier relief per discharge for all providers in the provider's peer group. The methodology used shall be as follows:
(A) Using OSHPD patient discharge data, and Medicare criteria for DRG outlier relief as specified in 42 CFR, Part 412, compute the total outlier relief for all providers in each peer group (using the same formula as listed in Section 51551-ARPD case mix and outliers). However, the cost outlier cutoff shall not vary within any one FPE worth of data.
(B) Convert the results under (1) above to outlier relief per- Medi-Cal discharge.
(C) Align the results of (B) above, in order from lowest at the bottom up to the highest at the top, and by counting up from the bottom to the n + 1 provider (n = # of providers in the peer group), compute the 60th percentile outlier relief per discharge for each peer group.
(D) If the requesting providers's outlier relief per discharge is greater than the 60th percentile outlier relief per discharge, the provider's MARD shall be increased by the difference of the two figures.
(6) These formulas shall be subject to the following limitations:
(A) Only those providers with 30 or more Medi-Cal discharges shall be included in the calculation of the 60th percentile outlier and case mix index per discharge. However, providers with under 30 Medi-Cal discharges may still receive relief using the formulas in this Section.
(B) Providers whose Medi-Cal discharge count per their OSHPD patient discharge data has more than a 50 percent variance from the appropriate Medi-Cal discharge figure from the cost report, after adjusting for well newborns who are included in the OSHPD patient discharge data but not counted as Medi-Cal discharges, shall be excluded from the 60th percentile calculation. Cost report figures shall be adjusted to estimate the calendar or fiscal period OSHPD data.
(C) If the provider requesting outlier relief has more than a 10 percent variance in Medi-Cal discharge figures (OSHPD patient discharge data vs. Medi-Cal cost report), or under 30 Medi-Cal discharges, the provider shall be required to submit its own data for use in the calculation. Such data must be for all Medi-Cal patients and include the patient's last name, ICD-9 primary diagnosis code, admission data, discharge date, DRG number, charges, patient's age, and OSHPD disposition code. The list shall be in admission date order.
(D) Providers may submit additional data to replace the OSHPD data. Any such data must be supplied with the AAR. Providers must supply a list in admission date order, containing each Medi-Cal patient's last name, ICD-9 code, admission date, discharge date, DRG number, charges, patient's age, and OSHPD disposition code.
(7) For noncontracting hospitals that do not keep a patient for the full episode of care, the CMA formula will be modified by one of the following formulas:
(A) Use only 40 percent of the appropriate DRG case mix weight for patients treated by noncontract hospitals, or
(B) 1. Track each patient's record to the contract hospital they were transferred to, and
2. Sum the charges from both providers, and
3. Apply the percent of total charges from the noncontract hospital to the DRG weight.
(b) Differences in labor costs, caused by factors such as differences in location, between the provider and other providers in its peer group shall be calculated using the following formula, subject to reduction for overlapping issues as specified in Section (d) below:
MARD = (LRCAF * WRR * PGL) + ((1-WRR) * PGL)
Where:
MARD = Maximum Allowable Rate Per Discharge under PGRPDL
LRCAF = Labor Related Cost Adjustment Factor, which is the minimum of (WI / PGWI), (HWR / PGWR) and (HWD / PGWD).
WRR = Wage Related Reimbursement Proportion of PGRPD (and ARPD) Reimbursement limitation for this hospital, which is: (TWRC / GOE) * (36LIMIT - %PASS * NETCOST)) / (36LIMIT * %NON).
PGL = Peer group limit, which is the 60th percentile ARPD.
WI = The wage and benefit index for the area in which the hospital is located.
PGWI = Peer group 60th percentile WI.
HWR = Hospital aligned wage and benefit rate per hour.
PGWR - Peer group 60th percentile HWR.
HWD = Hospital aligned wage related items per discharge.
PGWD = Peer Group 60th percentile HWD.
TWRC = Total wage related costs (sum of wages, benefits, and professional fees).
GOE = Gross operating expenses.
36LIMIT = Maximum reimbursement under MIRL (lesser of costs, charges, and the ARPD multiplied by the number of Medi-Cal discharges).
%PASS = Proportion of GOE which are pass throughs from Report E, Part II, Line 3.
NETCOST = The lesser of net cost of covered services and charges.
%NON = 1 - %PASS, which is the proportion of GOE which are not-pass-through costs.
NOTE: * = Multiplication
(1) The labor adjustment formula starts by determining the portion of the MIRL that was allowed for Wage Related Reimbursement (WRR). Only this amount is adjusted by the minimum of:
(A) A ratio based on an area (Metropolitan Statistical Area (MSA)) index developed by the Department of Health and Human Services, calculated using aligned average hourly rates for all hospital employees. The provider's area index is divided by the peer group 60th percentile wage index.
(B) A ratio based on comparing the provider's aligned hourly rate to the 60th percentile aligned hourly rate of the peer group.
(C) A ratio based on comparing the providers's aligned wage related items per discharge to the 60th percentile aligned wage related items per discharge for the peer group.
(2) The first ratio is calculated as follows:
(A) Use Medi-Cal cost report data to determine the statewide average employee composition among all employee classifications.
(B) Adjust the wage and benefit rates for each provider to the adjusted rate using the statewide distribution of employees.
(C) Align the adjusted wage and benefit rates for each provider using OSHPD disclosure data. The alignment factors shall be a Department estimate of increases in salary levels.
(D) Sum the adjusted wages and benefits for each MSA and statewide.
(E) Sum productive hours by MSA and statewide.
(F) Divide the sum of wages and benefits by the sum of productive hours for each MSA and the statewide totals.
(G) Divide each MSA average hourly wage rate (Step 4.) by the statewide average to obtain an MSA index.
(H) Assign the index for each MSA to all hospitals in the MSA.
(I) Determine the 60th percentile index for each Peer Group.
(J) Divide the hospital's area index by the 60th percentile index of its peer group.
(3) The second ratio (in (A)2. above) is calculated by:
(A) Total the wages and benefits for all employees for each provider.
(B) Divide (A) above by the corresponding total productive hours for each provider.
(C) The Department shall estimate increases in employee hourly wage and benefit costs, and align the data in (B) above to a common FPE for all providers.
(D) Align all of the results of (C) above ordered from lowest at the bottom to the highest at the top for each peer group.
(E) Count (0.6 * (n + 1)) places up from the bottom of the list in each peer group to find the 60th percentile.
1. N is the number of hourly rates in the peer group.
2. Interpolation will be used whenever (0.6 * (N + 1)) is not a whole number.
(4) The last ratio is calculated by:
(A) Total the wages and benefits for all employees for each provider.
(B) Using Department estimates of rates of increase in employee hourly wages and benefit costs, align the data in (A) above to a common FPE for all providers.
(C) Divide the result of (B) above by the number of total hospital discharges.
(D) For each peer group, order from lowest at the bottom to the highest at the top the results of (C) above.
(E) Count (.6 * (n + 1)) places up from the bottom of the list in each group to find the 60th percentile.
1. N is the number of wage and benefit rates per discharge in the peer group.
2. Interpolation will be used whenever (.6 * (n + 1)) is not a whole number.
(c) Differences in capital costs between the provider and other providers in its peer group shall be resolved using the method specified in this subsection. Approval by the OSHPD of a capital expenditure shall be evidence of the need for the capital expenditure; however, such approval shall not, per se, compel additional reimbursement. The following methods shall be used to calculate relief under this issue:
(1) Using data from the Medi-Cal cost report, compute relief by:
(A) Removing the 60th percentile capital cost per discharge from the 60th percentile allowable rate per discharge.
(B) Computing the allowable provider Medi-Cal capital expense per discharge subject to the limitations in (E) below, and
(C) Adding the result of (A) above the result of (B) above.
(D) The resulting figure from (C) above will be used in place of the 60th percentile rate per discharge, but to avoid overlap with any other issue, this adjustment shall be made last.
(E) The result of (1)(B) above shall be subject to the following adjustments:
1. A hospital which has had a change of ownership (CHOW) on or after July 18, 1984 must submit data showing what its capital costs would have been had the CHOW not occurred except for any additional costs allowed under the Deficit Reduction Act of 1984. This capital cost amount shall be used when computing the provider's capital per discharge figure above.
2. If a provider has had its capital costs reduced by Medicare, the provider's capital expense per discharge (CEPD) shall be reduced by the Medicare capital cost reduction percentage.
The formula for relief would then be:
MPGRPD = (PGRPD - 60th percentile CEPD) + ( X * hospital CEPD)
Where: X = 1 minus the Medicare payment reduction percentage
3. If a provider's capital expense per discharge is above the 60th percentile, it shall not be entitled to automatic relief. The provider must still prove that the capital expenses are necessary for the care of Medi-Cal patients.
(d) Providers which are eligible for any multiple adjustments under Sections 51554 through 51555 shall have relief computed using the following methodologies:
(1) For providers which are eligible for case mix, labor and capital adjustments, relief shall be computed as follows:
MPGRPD = MAX(CMA,LRCAF,MIN ((CMA*(WI/PGWI), (HWD/PGWD))) * WRR * PGRPD) + (CMA * (1 - CRC - WRR) * PGRPD) + CEPD
Where: CRC = Capital related cost percentage (CEPD/GOE)
MIN= Minimum of the items in parentheses
MAX= Maximum of the items in parentheses
If the provider's CEPD has been modified per Section 51555(c)(2), that revised figure shall be substituted into the formula above.
(2) For providers which are entitled to a CMA but whose capital and/or labor costs per discharge are below the 60th percentile, those cost components shall not be adjusted by the CMAF. The formula for relief shall be:
MPGRPD = ((PGRPD - 60th percentile CEPD - 60th percentile labor per discharge) * CMA) + hospital CEPD + hospital labor per discharge
(A) This formula shall be modified to remove only those costs (labor and/or capital) which are below the 60th percentile limit.
(B) A provider's reimbursement, pursuant to the above, shall not be adjusted below the 60th percentile rate per discharge.
(3) All other multiple adjustments shall have their overlapping relief calculated using the basic PGARPDL principles.
(e) Differences in costs between the provider and other providers in its peer group due to extraordinary events beyond the provider's control such as fire, earthquake, flood, or similar unusual occurrences with substantial cost effects shall be an appealable item;
(f) Differences in costs between the provider and other providers in its peer group caused by other items or circumstances affecting provider costs which meet all of the following criteria:
(1) The item is a difference, on a per discharge basis, between the hospital and the 60th percentile of the peer group.
(2) The item can be measured or estimated for all providers in the peer group.
(3) The costs were necessary for the provision of quality medical care to Medi-Cal beneficiaries.
(4) There is no overlap with other issues or the overlap can be measured.
(g) Relief for any issue shall be reduced for any overlap between issues.
(h) Any additional reimbursement granted pursuant to this section shall not result in a recalculation of the 60th percentile limit under Section 51553.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105, 14105.15, 14106 and 14171, Welfare and Institutions Code.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
2. Change without regulatory effect amending subsections (a) and (a)(5) filed 8-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
§51556. Contracts.
Note     •     History

(a)(1) The reimbursement limitation for the noncontract service costs of contracting hospitals which had a valid contract during the entire settlement fiscal period shall be determined by the following method:
Noncontract Reduction = NMCN - TCL
Where:
NMCN = Noncontract Medi-Cal net cost of covered services including third-party liability amounts
TCL = PYNCPD * PDL * SYND
PYNCPD = PYNC/PYND
TCL = Total cost limit exclusive of any reductions for third-party liability
PYNCPD = Prior fiscal period noncontract cost per day
PYNC = Prior fiscal period noncontract costs
PYND = Prior fiscal period noncontract days
PDL = Per diem limit increase which shall be the target as specified in federal regulation CFR 42, Section 413.40(c)(3).
SYND = Settlement fiscal period noncontract days
(2) All AA and appeal issues must pertain to the reason for the increase in the average noncontract costs per day from the prior fiscal period to the settlement fiscal period.
(3) Contracting hospitals with noncontract service costs will also have an ARPDL calculation performed each FPE. The calculation will be used to determine the base period for the next FPE in the event the provider discontinues the contracting program.
(b) The noncontract reimbursement reduction, if any, for partial FPE contracting hospitals, those hospitals which have gone on or off contracting during their settlement fiscal period, shall be determined as follows:
Noncontract Reduction = PRNC * FYR
Where:
PRNC = NMCN/TMCN
PRNC = Proportion of reimbursement not under contract
FYR = Full fiscal period all services reimbursement reduction as determined by the PIRL.
NMCN = Noncontracting Medi-Cal net cost of covered services
TMCN = Total Medi-Cal net cost of covered services for the entire fiscal period for all services.
NOTE

Authority cited: Sections 10725, 14100.1, 14105, 14105.1, 14106 and 14124.5, Welfare and Institutions Code; and Chapter 1594, Statutes of 1982, Section 87 (SB 2012). Reference: Sections 14105 and 14106, Welfare and Institutions Code.
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
2. Change without regulatory effect amending subsection (b) filed 8-5-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
§51557. Disproportionate Share.
Note     •     History

Disproportionate share payments shall be paid in accordance with the provisions of the State Plan.
NOTE

Authority cited: Sections 10725, 14100.1, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14100.1 and 14105, Welfare and Institutions Code; and Chapter 976, Statutes of 1988 (AB 2563).
HISTORY

1. New section filed 4-23-92; operative 5-25-92 (Register 92, No. 20).
Article 8. Conflict of Interest
§51600. Definitions.
Note     •     History

(a) The following definitions shall govern the interpretation of this article unless the context or subject matter otherwise requires:
(1) “State or local officer or employee who is responsible for the expenditure of substantial amounts of funds under Medi-Cal” means a person holding any of the following positions, or the functional equivalents thereof, on or after September 26, 1980:
(A) Governor's Office
1. Special Hospital Negotiator
(B) Department of Health Services
1. Director.
2. Assistant Director.
3. Chief Deputy Director, Medical Care Services.
4. Deputy Director, Audits and Investigations Division.
5. Deputy Director, Health Care Policy and Standards Division.
6. Deputy Director, Medi-Cal Division.
7. Deputy Director, Organized Health Systems Division.
(C) California Medical Assistance Commission
1. Executive Director.
2. Commissioners.
(2) “Substantial amount of funds” means the amount defined by the federal Department of Health and Human Services pursuant to Section 1902 (a) (4) (c) of the federal Social Security Act as amended by Public Law 95-559.
(3) “Judicial, quasi-judicial or other proceeding” means any proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter involving a specific party or parties in any court or state administrative agency, including but not limited to any proceeding governed by Chapter 5, Part 1, Division 3, Title 2, Government Code.
(4) “Fiscal intermediary management employee”:
(A) Means any appointive or civil service employee, who had responsibilities related to development, contract negotiation, contract management, supervision, technical assistance or audit of a Medi-Cal fiscal intermediary in the:
1. Governor's Office.
2. Health and Welfare Agency.
3. Department of Health Services.
4. Controller's Office.
5. Attorney General.
6. Legislature.
(B) Does not mean any employee performing in a purely clerical, secretarial or ministerial capacity.
NOTE

Authority cited: Sections 14030 and 14124.5, Welfare and Institutions Code; and Section 5, Ch. 1129, Statutes of 1980. Reference: Sections 14030, 14032 and 14104.6, Welfare and Institutions Code.
HISTORY

1. New Article 8 (Sections 51600-51602) filed 1-9-81 as an emergency; effective upon filing (Register 81, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-8-81. For prior history, see Register 77, No. 10.
2. Certificate of Compliance as to 1-9-81 order transmitted to OAL 5-6-81 and filed 6-5-81 (Register 81, No. 23).
3. Amendment of subsection (a)(1) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
4. Certificate of Compliance as to 9-1-82 order transmitted to OAL 12-2-82 and filed 12-30-82 (Register 83, No.1).
5. Amendment of subsection (a)(1) filed 6-27-83 as an emergency; designated effective 7-1-83 (Register 83, No.27). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-29-83.
6. Certificate of Compliance as to 6-27-83 order transmitted to OAL 10-14-83 and filed 11-10-83 (Register 83, No. 46).
7. Editorial correction of NOTE filed 12-13-84 (Register 84, No. 50).
§51601. Exclusion from Proceedings.
Note

(a) Any act prohibited under the provisions of Sections 207 or 208, Title 18, United States Code, shall also be prohibited under this Article when committed in connection with Medi-Cal by a:
(1) Current or former State or local officer or employee responsible for expenditure of substantial amounts of Medi-Cal funds.
(2) Partner of a person in (1).
(b) A person found to have committed an act in violation of (a) shall be subject to exclusion in accordance with (c).
(c) Any interested person or party may petition the court or presiding officer or any other officer in a judicial, quasi-judicial or other proceeding to exclude any person found to be in violation of this article. Presiding officer includes, but is not limited to, a hearing officer serving pursuant to Section 11512, Government Code. 
(d) Exclusion from proceedings shall be ordered only following notice and opportunity for a hearing in accordance with Section 87404, Government Code.
NOTE

Authority cited: Section 14124.5 Welfare and Institutions Code; Section 5, Ch. 1129, Stats. 1980. Reference: Sections 14030, 14032, Welfare and Institutions Code.
§51602. Prohibition Against Contracting.
Note

(a) The Department shall not approve, renew, or continue a fiscal intermediary contract if any current employee of the contractor, or a subcontractor to the contractor, was all of the following:
(1) In State employment on or after September 26, 1980.
(2) A fiscal intermediary management employee within two years prior to terminating State employment.
(3) Employed by the contractor, or a subcontractor to the contractor, within one year after terminating State employment.
NOTE

Authority cited: Section 14124.5 Welfare and Institutions Code. Section 5, Ch. 1129, Stats. 1980. Reference: Section 14104.6, Welfare and Institutions Code.
Article 9. Quality Assurance Fee and Long Term Care Reimbursement Methodology
§52000. Definitions.
Note     •     History

The following definitions shall apply only to Chapter 3. Article 9.
(a) “Administrator Compensation” means the remuneration paid to a facility administrator regardless of the form in which it is paid. “Administrator Compensation” includes salary, wages, fringe benefits, allowances, bonuses, debt forgiveness, severance payments, payments for accumulated but unused leave and payments of amounts previously deferred. “Administrator Compensation” includes fees regardless of the label placed on them, for example, consultant fees or director's fees. 
(b) “Administrative Costs” means 1) expenses including the facility's portion of home office costs related to the overall management and administration of the facility, including those of the medical director, general and patient accounting activities, communication systems, data processing activities, patient admissions, governing board activities, public relations, paid liability losses, theft insurance, auto insurance, property insurance, licenses and taxes (other than property and income taxes and facility license fee), 2) taxes related to liability insurance, 3) the production of indexes, abstracts, and statistics for facility management uses, 4) procuring supplies, equipment and service necessary to facility operations, and 5) interest incurred on borrowing other than interest incurred on mortgage notes, capitalized lease obligations and other borrowing for the acquisition of land, buildings and equipment. 
(c) “Audited Cost Report Data” means data contained in audit reports issued by the Department. 
(d) “Benchmark” means the maximum allowable cost. 
(e) “Capital Costs” means costs of depreciation and amortization expense on land improvements, building improvements, leasehold improvements and equipment; all leases and rental expenses related to building, equipment and leasehold improvements; and interest incurred on mortgage notes, capitalized lease obligations and other borrowing for the acquisition of land, buildings and equipment. 
(f) “De-Certified” means not currently certified to participate in the Medi-Cal Program. 
(g) “Direct Care Agency Costs” means expenditures for contractor staff for routine services and any ancillary services included in the Medi-Cal rate including all nursing, social services and activities. 
(h) “Direct Care Labor Costs” means salary, wages and benefits for routine nursing services and any ancillary services included in the Medi-Cal rate including all nursing, social services and activities provided by employees of the facility, as well as direct care salary costs of services provided to the facility by a related entity. 
(i) “Direct and Indirect Care Non-labor Costs” means costs related to services supporting the delivery of resident care (including the non-labor portion of nursing, housekeeping, laundry and linen, dietary, medical records, in-service education and plant operations and maintenance costs), and expenses for contracted plumbers, gardeners, equipment service contracts, contracts for facility repairs or remodeling, security guards, alarm services, pickup and delivery laundry services, non-administrative consultants or any other service agreement and minor equipment. 
(j) “Direct Pass-Through Costs for Care Giver Training” means costs, for a formal program of education that is organized to train students to enter a care giver licensed or certified occupational specialty, which includes salaries, wages and benefits of the instructor and expenses for related training materials or supplies; or the cost of a contracted instructor if services are performed within the facility. 
(k) “Direct Pass-Through Costs for Facility License Fees” means the annual fee for a license to operate a skilled nursing facility. 
(l) “Fair Rental Value System (FRVS)” means a system where reimbursement to a facility is based on the estimated current value of its capital assets in lieu of direct reimbursement for depreciation, amortization, interest, rent or lease payments. 
(m) “Freestanding Nursing Facility, Level-B (FS/NF-B)” means a licensed and certified skilled nursing facility that is not part of an acute care hospital and that meets the standards of participation in Welfare and Institutions Code Section 14091.21 and Title 22, California Code of Regulations Sections 51121 and 51215. 
(n) “Freestanding Subacute Nursing Facility, Level-B (FSSA/NF-B)” means a licensed and certified skilled nursing facility as defined in subsection (t) and meets additional standards of participation to provide adult subacute care services, pursuant to Title 22, California Code of Regulations Section 51215.5. 
(o) “Indirect Care Agency Costs” means expenditures for contractor staff for housekeeping, laundry and linen, dietary, medical records, in service education, and plant operations and maintenance. 
(p) “Indirect Care Labor Costs” means salary, wages and benefits for housekeeping, laundry and linen, dietary, medical records, in service education, and plant operations and maintenance for employees of the facility, as well as indirect care salary costs of services provided to the facility by a related entity. 
(q) “In-service Education” means a program of instruction, or training, provided by a facility for its employees. 
(r) “Labor Inflation Index” means an index created using the linear regression method to forecast future labor costs from historical facility-specific wage report data as specified in Health and Safety Code Section 128730.
(s) “Liability Insurance Costs” means the reasonable costs of insurance premiums purchased from a commercial insurance carrier including the related brokerage fees and reasonable policy deductible costs or reasonable self insurance costs or reasonable costs of insurance purchased from a captive insurance company including the policy deductibles.
(t) “Minor Equipment” means equipment or the combined equipment items of an integrated system with a useful life of less than 2 years or a cost of less than $5,000. 
(u) “Peer Group” means a group of counties that are categorized and clustered together by means of the following factors: geographic urban/rural status, median/average direct care per diem costs, and the frequency of provider facilities within each county.
(v) “Rate Year” means the fiscal period from August 1 through July 31. 
(w) “Rental Factor” means the average 20-year US Treasury Bond yield for the calendar year preceding the rate year plus a two percent risk premium, subject to a floor of seven percent and a ceiling of ten percent. 
(x) “Replacement Project” means construction costs incurred from a completed project that materially altered architectural, structural, mechanical, electrical, and Fire & Life safety details of the existing facility or structure. Purchases of major items of equipment, such as capital additions are a “replacement project,” provided the equipment is related and made in conjunction with a plan that when aggregated meets the $500 per-bed cost threshold. Small unrelated costs that are accumulated in order to meet the $500 per-bed threshold are not a “replacement project.”
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code.
HISTORY

1. New article 9 (sections 52000-52600) and section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New article 9 (sections 52000-52600) and section refiled 1-10-2011 as an emergency, including amendment of section; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order, including repealer of subsections (f)-(i), subsection relettering and amendment of newly designated subsections (r), (s), (t) and (x), transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52100. Quality Assurance Fee.
Note     •     History

(a) Each rate year, Freestanding Nursing Facility, Level-Bs (FS/NF-Bs) and Freestanding Subacute Nursing Facility, Level-Bs (FSSA/NF-Bs) shall pay a uniform Quality Assurance Fee (QAF) pursuant to Health and Safety Code Section 1324.21, as described in Sections 52100 through 52104. The QAF shall not exceed the percentage set forth in Title 42, United States Code Section 1396b(w)(4)(C)(ii). 
(b) Each FS/NF-B and FSSA/NF-B shall determine the amount due, as specified in Health and Safety Code Section 1324.21(b), by multiplying the QAF by the total resident days for the preceding month. 
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14110.6, Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency, including amendment of subsection (b); operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52101. Payment of the Quality Assurance Fee.
Note     •     History

(a) Each FS/NF-B and FSSA/NF-B shall remit payment of the amount due to the Department on a monthly basis on or before the last day of the month following the month in which the QAF is imposed, with a completed Freestanding Nursing Facility, Level-B (FS/NF-B) and Freestanding Subacute Nursing Facility, Level-B (FSSA/NF-B) Quality Assurance Fee Payment Invoice form DHCS 9116 (Rev. 03-10), herein incorporated by reference in its entirety. 
(b) If a FS/NF-B or FSSA/NF-B fails to pay all or part of the amount due within 60 calendar days of the date the payment is due, as specified in subsection (a), the Department shall issue a delinquency notice to the FS/NF-B or FSSA/NF-B demanding payment within 15 calendar days of the date of the delinquency notice. 
(c) Each FS/NF-B and FSSA/NF-B shall be liable for payment of interest at the rate of seven percent per annum on any unpaid amount due, beginning on the 61st calendar day from the date the payment is due, until the unpaid amount due, plus any interest, is paid in full. 
(d) If a FS/NF-B or FSSA/NF-B fails to pay all or part of the outstanding amount due, the Department shall recover the unpaid amount due, plus interest, by one or more of the following methods, until paid in full:
(1) Offset any Medi-Cal reimbursement payments due to the FS/NF-B or FSSA/NF-B; 
(2) Execute a repayment agreement between the FS/NF-B or FSSA/NF-B and the Department; 
(3) Assess a penalty up to 50 percent of the unpaid amount due;
(4) Recommend to the California Department of Public Health that license renewal be delayed until the Department has recovered the full amount due.
(e) After July 31, 2012, FS/NF-Bs and FSSA/NF-Bs shall remain liable for payment of any QAFs assessed prior to July 31, 2012, but not yet collected prior to that date, until the amount due, plus interest and penalties, is paid in full.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14110.6, Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency, including amendment of subsections (d)(3) and (e); operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52102. Exemption from the Quality Assurance Fee.
Note     •     History

Facilities specified in Health and Safety Code Section 1324.20(c), are exempt from payment of the QAF, as specified in Section 52101.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14110.6, Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency, including repealer of subsection (a) designator and subsections (b) and (c); operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52103. Request for Exemption from the Quality Assurance Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14110.6, Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. Readoption of 7-22-2010 emergency filing, including repealer of section filed 1-10-2011; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Repealed 4-19-2011 by operation of law upon expiration of 1-10-2011 emergency repeal by operation of Government Code section 11366.1(g) (Register 2011, No. 20).
§52104. Quality Assurance Fee and Change of Ownership.
Note     •     History

The amount due shall be assessed on each FS/NF-B and FSSA/NF-B irrespective of any change in ownership, change in ownership interest or control, or the transfer of any portion of the assets of a FS/NF-B and FSSA/NF-B to another owner. A new owner shall assume any and all liability for payment of the amount due, plus interest, owed by the facility.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14105 and 14110.6, Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52500. Facilities Subject to Facility-Specific Rate Setting System.
Note     •     History

(a) Facilities subject to the reimbursement methodology, as described in Sections 52500 through 52516, and as authorized by Welfare and Institutions Code Section 14126 shall be Freestanding Nursing Facility, Level-Bs (FS/NF-B), and Freestanding Subacute Nursing Facility, Level-Bs (FSSA/NF-B).
(b) The per diem rate shall be calculated prospectively on a facility-specific basis using facility-specific audited cost report data as specified in Health and Safety Code Section 128730. 
(1) Cost report data shall be submitted in accordance with Title 22, California Code of Regulations Section 97040. 
(2) Audited cost report data shall be used for facility-specific rate setting. 
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency, including amendment of subsection (b); operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52501. Facility Specific Rate Methodology.
Note     •     History

The facility-specific cost-based per diem payment shall be based on the sum of the projected costs of the cost categories listed below. Costs within a specific cost category shall not be shifted to any other cost category. The cost categories are as follows:
(a) Labor costs 
(b) Direct and Indirect care non-labor costs
(c) Administrative costs
(d) Capital costs
(e) Direct pass-through costs
(f) Professional liability insurance costs
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency, including amendment of first paragraph and new subsection (f); operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52502. Labor Costs Category.
Note     •     History

(a) Labor costs shall be calculated by combining direct care labor costs, direct care agency costs, indirect care labor costs, and indirect care agency costs.
(b) The Department shall calculate the daily direct care labor costs by combining direct care labor costs and direct care agency costs and dividing by total resident days. 
(1) The benchmark for the daily direct care labor cost rate component shall be the 90th percentile of each peer group.
(2) The Department shall determine the rate component for each facility either at actual inflated cost or the benchmark for its peer group, whichever is lower. 
(3) Each facility's direct care labor costs shall be adjusted by the labor inflation index from the mid-point of the cost reporting period to the mid-point of the rate year.
(4) If a FSSA/NF-B enters into service agreements with unrelated contractors to operate physical therapy, speech pathology, occupational therapy, or respiratory therapy services, the contractor's documented cost of labor to work within the facility shall be included as direct care agency costs. If the facility does not submit to the Department the unrelated contractor's supporting documentation of the contractor's labor costs, all of the purchased service costs shall be included in other non-labor. If the consultant is employed by a related entity, the cost is treated as if it was incurred by the facility. 
(c) The Department shall calculate the daily indirect care labor costs by combining indirect care labor costs and indirect care agency costs and dividing by total resident days. 
(1) If a facility employs a contractor to provide regularly scheduled daily staff needed to operate a facility department (such as plant operations, housekeeping, laundry and linen, or dietary), the contractor's documented labor costs shall be included in the indirect care agency costs. Facilities shall provide the Department with the portion of the contract agreement and other documents that identify the labor costs. If the facility fails to document the portion of the contract cost related to labor, the Department shall determine the indirect labor costs related to the contractor based on the following percentages: 
(A) Plant Operations and Maintenance -- 31 percent 
(B) Housekeeping -- 85 percent 
(C) Laundry and Linen -- 78 percent 
(D) Dietary -- 58 percent 
(2) The benchmark for the daily indirect care labor cost rate component shall be the 90th percentile of each peer group.
(3) The Department shall determine the rate component for each facility either at actual inflated cost or the benchmark for its peer group, whichever is lower. 
(4) Each facility's indirect care labor costs shall be adjusted by the labor inflation index from the mid-point of the cost reporting period to the mid-point of the rate year.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency, including amendment of subsection (a) and repealer of subsection (d); operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order, including amendment of subsections (b)(1)-(2) and (c)(2)-(3), repealer of subsections (b)(3) and (c)(4) and subsection renumbering, transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52503. Direct and Indirect Care Non-Labor Costs Category.
Note     •     History

The Department shall calculate the daily direct and indirect care non-labor costs by dividing direct and indirect care non-labor costs by total resident days. 
(a) The benchmark for the daily direct and indirect care non-labor cost rate component shall be the 75th percentile of each peer group.
(b) The Department shall determine the rate component for each facility either at actual inflated cost or the benchmark for its peer group, whichever is lower. 
(c) Each facility's direct and indirect care non-labor costs shall be adjusted by the California Consumer Price Index for All-Urban Consumers from the mid-point of the cost reporting period to the mid-point of the rate year.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency, including amendment of section heading and section; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order, including amendment of section, transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52504. Administrative Costs Category.
Note     •     History

The Department shall calculate the daily administrative costs by dividing administrative costs by total resident days. 
(a) The benchmark for the daily administrative cost rate component shall be the 50th percentile of each peer group.
(b) The Department shall determine the rate component for each facility either at actual inflated cost or the benchmark for its peer group, whichever is lower. 
(c) Each facility's administrative costs shall be adjusted by the California Consumer Price Index for All-Urban Consumers from the mid-point of the cost reporting period to the mid-point of the rate year.
(d) Administrator compensation for services, provided by sole proprietors, partners, officers, directors or other administrators of skilled nursing facilities defined in Health and Safety Code Section 1250(c), shall be limited to:
(1) The reasonable value of the services performed regardless of the type of service. 
(2) Compensation essential to employ a staff person, in place of the administrator, in order to maintain the daily operations of the facility administrator. 
(3) The value of comparable services provided at a similar facility, based on the size and classification of the facility, geographic location, the number and type of personnel supervised, the qualifications of the administrator and duties performed. 
(4) The value of services rendered in connection with resident care as determined by arm's length transactions. 
(e) If an assistant administrator is employed to perform duties of the administrator, this position shall be taken into consideration when determining reasonableness.
(f) To be considered “full-time” and receive compensation for providing full-time services, an administrator shall devote at least 40 hours per week to the services for which compensation is provided. An administrator who devotes less than 40 hours per week to the services for which compensation is provided shall be compensated an amount proportionate to a full-time basis. 
(g) If an administrator performs services for several facilities, spending less than full-time at each facility, then the allowable compensation shall reflect an amount proportionate to a full-time basis.
(h) For purposes of determining reasonable compensation, the Department shall conduct surveys to collect data regarding facility administrators in both proprietary and non-proprietary facilities in like geographic locations. 
(1) The data collected in the surveys from non-owner administrators, shall be used to develop compensation ranges by geographic location and number of beds to evaluate administrator compensation during audits and to adjust costs. 
(2) The compensation ranges shall be based on data that reflects “full time” compensation. 
(3) For years when no survey is completed, the compensation ranges shall be updated by an inflation factor provided by the federal Centers for Medicare & Medicaid Services. 
(i) Compensation paid to a relative of the owner of the facility shall be limited to the factors described in subsection (d). Relatives include: 
(1) spouse; 
(2) natural parent, child or sibling; 
(3) adoptive parent or adopted child; 
(4) stepparent, stepchild, stepbrother or stepsister; 
(5) father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law or sister-in-law;
(6) grandparent or grandchild. 
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency, including amendment of subsection (i); operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order, including amendment of subsections (a)-(b) and (h)(2), transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52505. Capital Costs Category.
Note     •     History

The Fair Rental Value System (FRVS) shall be used to reimburse capital costs associated with the use of a space as determined by the base value for each facility. The FRVS methodology establishes a facility's base value as determined by the FRVS calculation.
(a) The Department shall determine the facility's fair rental value based on a calculation consisting of the following factors: estimated building value, estimated equipment value, depreciation value, current facility value, estimated land value and the rental factor.
(1) The estimated building value shall be determined annually by a calculation based on a standard facility size of 400 square feet times the number of licensed beds times the R.S. Means Building Construction Cost Data times the location factor. The estimated building value shall be trended forward annually to the mid-point of the rate year using the R.S. Means Building Construction Cost Index.
(2) The estimated equipment value shall be determined by multiplying the number of facility beds by $4,000; this value shall be added to the estimated building value.
(3) The depreciation value shall be determined in subparagraphs (A) or (B). For the purposes of computing the depreciation as determined in subparagraphs (A) or (B) the Department shall determine the age of each facility by calculating the difference between the midpoint of the current rate year, and one of the following: a facility's original license date, the year of construction, initial loan documentation or similar documentation.
(A) If a facility's age is at or over 34 years, the facility is fully depreciated and the depreciation is calculated based on a 1.8 percent annual depreciation rate times 34 years times the combined total of the estimated building and estimated equipment value.
(B) If a facility's age is less than 34 years, the facility is not fully depreciated and the depreciation is calculated based on a 1.8 percent annual depreciation rate times the facility's age times the combined total of the estimated building and estimated equipment value.
(4) The current facility value shall be determined by subtracting the depreciation value from the combined total of the estimated building and estimated equipment value.
(5) The estimated land value shall be determined by an assessment equal to ten percent of the estimated building value as determined in subsection (a)(1).
(6) The fair rental value shall be determined by the combined total of the current facility value as determined in subsection (a)(4) and estimated land value as determined in subsection (a)(5). The fair rental value shall then be multiplied by the rental factor.
(b) The Department shall determine the capital rate component for each facility by dividing the facility's fair rental value by the greater of actual resident days for the cost reporting period or adjusted resident days, based on the statewide average occupancy rate. Days from partial year cost reports shall be annualized in the calculation.
(c) The Department shall determine the costs incurred for capital improvements, modifications, replacement projects or renovations equal to or greater than $500 per bed on a total licensed-bed basis by converting the costs incurred into an equivalent number of new beds. The equivalent number of new beds shall be averaged in with the age of the original beds, and the weighted average age of all beds shall represent the facility's age. The facility's age shall be used in the depreciation as calculated in subsection (a)(3).
(d) Capital costs calculated under this section shall be limited to the maximum annual increase for the capital cost category for all facilities in the aggregate and shall not exceed 8 percent of the prior rate year's FRVS cost component.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order, including amendment of section, transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52506. Direct Pass-Through Costs Category.
Note     •     History

(a)(1) Direct pass-through costs are comprised of proportional Medi-Cal costs for property taxes, facility license fees, caregiver training costs, the Medi-Cal portion of the facility quality assurance fee, and new state and federal mandates for the applicable rate year. 
(2) The Medi-Cal proportional share of the pass-through per diem costs shall be calculated as the facility actual allowable Medi-Cal cost as reported on the facility's most recent available cost report, as adjusted for audit findings. 
(b) The Department shall calculate the daily costs of the property tax pass through by dividing property tax costs by total resident days.
(1) The Department shall update the property tax pass-through costs at the rate of 2 percent annually.
(2) Each facility's property tax costs shall be increased from the mid-point of the cost reporting period to the mid-point of the rate year.
(c) The Department shall calculate the daily direct pass-through costs for facility license fees by multiplying the current annual fee by the number of licensed facility beds and then dividing that product by total resident days.
(d) The Department shall calculate the daily direct pass through costs for care giver training by dividing care giver training costs by total resident days.
(1) The Department shall apply the California Consumer Price Index for All-Urban Consumers to allowable care giver training costs. 
(2) Each facility's care giver training costs shall be increased from the mid-point of the cost reporting period to the mid-point of the rate year.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency, including amendment of subsection (a)(1) and repealer of subsections (e)-(e)(3)(J); operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52507. Professional Liability Insurance Costs.
Note     •     History

(a) The Department shall calculate costs for professional liability insurance by dividing professional liability insurance costs by total resident days. 
(b) The benchmark for the professional liability insurance cost rate component, including insurance deductible costs, shall be the 75th percentile of each peer group. 
(c) Facilities shall report supplemental data on an annual basis as specified under 52500(b), otherwise insurance deductible costs shall continue to be reimbursed within the administrative costs category. 
(d) The Department shall determine the rate component for each facility either at actual inflated cost or the benchmark for its peer group, whichever is lower. 
(e) Each facility's professional liability insurance costs shall be adjusted by the California Consumer Price Index for All-Urban Consumers from the mid-point of the cost reporting period to the mid-point of the rate year. 
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14132, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 7-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. Certificate of Compliance as to 1-10-2011 order, including amendment of section and Note, transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52508. Peer-Groups.
Note     •     History

(a) The Department shall place FS/NF-Bs in each county in the following peer groups: 

	Peer Group Number	County

	1	Colusa
		Del Norte
		Imperial
		Kern
		Kings
		Lake
		Lassen
		Tulare
		Yuba
			
	2	Butte
		Humboldt
		Inyo
		Madera
		Mendocino
		Merced
		San Luis Obispo
		Tehama
		Yolo
			
	3	Calaveras
		Glenn
		Plumas
		San Joaquin
		Shasta
		Siskiyou
		Stanislaus
		Sutter
		Ventura
			
	4	Amador
		El Dorado
		Nevada
		Placer
		Tuolumne
			
	5	Los Angeles
			
	6	Fresno
		Orange
		Riverside
		San Bernardino
		San Diego
		Santa Cruz
		Solano
			
	7	Alameda
		Contra Costa
		Marin
		Monterey
		Napa
		Sacramento
		San Francisco
		San Mateo
		Santa Barbara
		Santa Clara
		Sonoma
(b) FSSA/NF-Bs shall be in their own peer group.
(c) The seven counties in California that have no Medi-Cal skilled nursing days shall be excluded from the peer groups identified in subsection (a).
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52509. Rate-Setting for State-Owned Facilities (FS/NF-Bs).
Note     •     History

State-owned and operated FS/NF-Bs shall receive a prospective payment rate based on the peer-group weighted average Medi-Cal reimbursement rate. 
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52510. Rate-Setting for Newly Certified Facilities.
Note     •     History

(a) Facilities newly certified to participate in the Medi-Cal program, shall receive a reimbursement rate based on the peer-group weighted average Medi-Cal reimbursement rate. Facilities shall continue to receive the peer-group weighted average Medi-Cal reimbursement rate until one of the conditions of subsection (b)(1) or (b)(2) has been met.
(b)(1) The Department shall calculate the FS/NF-B facility-specific rate when a minimum of six months of Medi-Cal cost data has been audited. The facility-specific rate shall be calculated prospectively and shall be effective on August 1 of each rate year, pursuant to Welfare and Institutions Code Section 14126.021.
(b)(2) The Department shall calculate the FSSA/NF-B facility-specific rate when a cost report with a minimum of twelve months of Medi-Cal cost data has been audited. The facility-specific rate shall be calculated prospectively and shall be effective on August 1 of each rate year, pursuant to Welfare and Institutions Code Section 14126.021.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52511. Rate-Setting for De-Certified Facilities.
Note     •     History

(a) Facilities that have been de-certified for less than six months and upon recertification shall continue to receive the facility per diem reimbursement rate in effect prior to decertification. Facilities shall continue to receive the facility per diem reimbursement rate until one of the conditions in paragraph (1) or (2) have been met.
(1) The Department shall calculate the FS/NF-B facility-specific rate when a minimum of six months of Medi-Cal cost data has been audited. The facility-specific rate based on the audited six months of Medi-Cal cost data shall be calculated prospectively and shall be effective on August 1 of each rate year, pursuant to Welfare and Institutions Code Section 14126.021.
(2) The Department shall calculate the FSSA/NF-Bs facility-specific rate when a cost report with a minimum of twelve months of Medi-Cal cost data has been audited. The facility-specific rate shall be calculated prospectively and shall be effective on August 1 of each rate year, pursuant to Welfare and Institutions Code Section 14126.021.
(b) Facilities that have been de-certified for six months or longer and upon recertification shall receive a reimbursement rate based on the peer-group weighted average Medi-Cal reimbursement rate. Facilities shall continue to receive the peer-group weighted average Medi-Cal reimbursement rate until one of the conditions in paragraph (1) or (2) have been met.
(1) The Department shall calculate the FS/NF-B facility-specific rate when a minimum of six months of Medi-Cal cost data has been audited. The facility-specific rate shall be calculated prospectively and shall be effective on August 1 of each rate year, pursuant to Welfare and Institutions Code Section 14126.021.
(2) The Department shall calculate the FSSA/NF-Bs facility-specific rate when a cost report with a minimum of twelve months of Medi-Cal cost data has been audited. The facility-specific rate shall be calculated prospectively and shall be effective on August 1 of each rate year, pursuant to Welfare and Institutions Code Section 14126.021.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52512. Rate-Setting for Facilities with Changes of Ownership.
Note     •     History

(a) Facilities that have a change of ownership or changes of the licensed operator shall continue to receive the facility per diem reimbursement rate in effect with the previous owner. Facilities shall continue to receive the facility per diem reimbursement rate until one of the conditions in subsection (b)(1) or (b)(2) have been met.
(b)(1) The Department shall calculate the FS/NF-B facility-specific rate when a minimum of six months of Medi-Cal cost data has been audited. The facility-specific rate shall be calculated prospectively and shall be effective on August 1 of each rate year, pursuant to Welfare and Institutions Code Section 14126.021.
(b)(2) The Department shall calculate the FSSA/NF-Bs facility-specific rate when a cost report with a minimum of twelve months of Medi-Cal cost data has been audited The facility-specific rate shall be calculated prospectively and shall be effective on August 1 of each rate year, pursuant to Welfare and Institutions Code Section 14126.021.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52513. Change in Facility Fiscal Period.
Note     •     History

Except for changes in ownership, when a facility files more than two Office of Statewide Health Planning and Development reports in a calendar year, the Department shall use the most recent facility fiscal period available. 
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52514. Out-of-State Providers.
Note     •     History

Reimbursement for out-of-state providers shall be the statewide facility-specific weighted average rate applicable to the rate year during which services are provided.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52515. Hospice.
Note     •     History

Reimbursement for hospice room and board services under the facility-specific rate methodology shall be 95 percent of the rate applicable to the facility in which the resident resides.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52516. Audits and Audit Adjustments.
Note     •     History

(a) The Department shall conduct full-scope field audits of all FS/NF-B facilities and home offices participating in the Medi-Cal program a minimum of once every three years. Limited scope reviews shall be conducted at intervening periods. All FSSA/NF-Bs shall be subject to audit on an annual basis.
(b) Audited cost data shall be used to develop facility-specific reimbursement rates. 
(c) Overpayments to any facility shall be recovered pursuant to Welfare and Institutions Code, Section 14126.023 and Title 22, California Code of Regulations, Section 51047. 
(d) Facilities have the right to appeal audit or examination findings. Specific appeal procedures are contained in Welfare and Institutions Code Section 14171, and Title 22, California Code of Regulations, Sections 51016 through 51048.
(e) For facilities that obtain an audit appeal decision that results in revision of the facility's allowable costs used to calculate a facility's reimbursement rate, the Department shall make a retroactive adjustment in the facility-specific reimbursement rate.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5, 14126.027, 14170 and 14171, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency, including amendment of subsection (b); operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order, including amendment of subsections (a) and (d), transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
§52600. Provider Bulletin Authority.
Note     •     History

For purposes of rate years occurring prior to August 1, 2010, the Department may continue to apply those standards and other regulatory provisions and guidance issued in provider bulletins applicable to those rate years notwithstanding any changes in the prospective application of such bulletin provisions.
NOTE

Authority cited: Sections 20, 1324.20, 1324.21 and 1324.23, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14126.027, Welfare and Institutions Code. Reference: Sections 14105, 14109.5, 14110.1, 14110.6, 14170 and 14171, Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2010 as an emergency; operative 7-22-2010 (Register 2010, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
2. New section refiled 1-10-2011 as an emergency; operative 1-18-2011 (Register 2011, No. 2). A Certificate of Compliance must be transmitted to OAL by 4-18-2011 or emergency language will be repealed by operation of law on the following day. Any rules issued by provider bulletin by the Department of Health Care Services that are covered by or inconsistent with these emergency regulations are superseded as of the effective date of these emergency regulations. 
3. Certificate of Compliance as to 1-10-2011 order transmitted to OAL 4-5-2011 and filed 5-17-2011 (Register 2011, No. 20).
Article 10. Early and Periodic Screening, Diagnosis, and Treatment Program [Repealed]
NOTE

Authority cited for Article 10: Sections 14105, 14106 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New Article 10 (Sections 52000-52014) filed 1-30-73; effective thirtieth day thereafter (Reg. 73, No. 5). For history of former Article 10, see Register 72, Nos. 40 and 43.
2. Repealer of Article 10 (Sections 52000-52014) filed 2-27-75; effective thirtieth day thereafter (Register 75, No. 9). For prior history of Article 10, see Register 73, Nos. 15, 26 and 28.
Chapter 3.5. Pilot and Demonstration Projects [Repealed]
NOTE

Authority cited: Sections 14124.5, 14132.5 and 14132.6, Welfare and Institutions Code. Reference: Sections 14124.5, 14132.5 and 14132.6, Welfare and Institutions Code.
HISTORY

1. New Chapter 3.5 (Sections 52001-52011, not consecutive) filed 3-1-79; designated effective 4-1-79 (Register 79, No. 9).
2. Amendment of subsection (b) filed 1-30-80; effective thirtieth day thereafter (Register 80, No. 5).
3. Repealer of Chapter 3.5 (Article 1, Sections 52001-52011, not consecutive) filed 11-24-82; effective thirtieth day thereafter (Register 82, No. 48).
Chapter 4. Prepaid Health Plans
Article 1. General Provisions
§53000. General.
Note     •     History

(a) Health care services to eligible Medi-Cal beneficiaries may be provided through prepaid health plans. These plans shall:
(1) Contract with the Department to provide, to the maximum extent feasible, the full scope of Medi-Cal program benefits to Medi-Cal beneficiaries voluntarily electing to obtain their health care services from the plan.
(2) Share in the risk of providing health care services.
(3) Provide readily available health care services and utilize preventive health care programs to improve the health status of their members.
(4) Be encouraged to utilize new and innovative approaches in the delivery of health care services to assure that care is provided in the most cost-effective manner possible.
NOTE

Authority cited: Sections 14301, 14304.5, 14312, and 14450, Welfare and Institutions Code. Reference: Sections 14000, 14053, 14200.1, 14251, 14253, 14254, 14258, 14261, 14263, 14265, 14300, 14301, 14302, 14302.6, 14303, 14304, 14304.5, 14305, 14306, 14308, 14400, 14402, 14403, 14405, 14406, 14407, 14408, 14409, 14412, 14413, 14450, 14451, 14452, 14452.3, 14452.4, 14454, 14455, 14456, 14457, 14458, 14459, and 14460, Welfare and Institutions Code.
HISTORY

1. New Chapter 4 (Sections 53000-53600, not consecutive) filed 3-4-77; effective thirtieth day thereafter (Register 97, No. 10).
Article 2. Definitions
§53100. Acceptable Medical Care.

Acceptable medical care means medical care of a quality which equals or exceeds the standards for medical practice developed by the plan and approved by the Department pursuant to the provisions of Section 53280.
§53101. Actuarial Equivalence.
Note     •     History

Actuarial equivalence means the per capita costs for Medi-Cal fee-for-service beneficiaries adjusted by age, sex, aid category, scope of services and other appropriate factors, as determined by the Department, in order to be comparable with the costs for Medi-Cal beneficiaries who are members of prepaid health plans.
NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53101.1. Actuarial Method.
Note     •     History

Actuarial method means any reasonable and adequate method of determining prospective per capita rates of payment for plan members that is based on recent comparable data from each prepaid health plan and other prepaid populations, as determined by the Department, where data is available including:
(a) Experience data to determine the expected costs of services and other requirements for which the rates will serve as payment.
(b) Experience data to determine the expected utilization of each service and other requirements for which the rates will serve as payment by the aid category, age and sex of the Medi-Cal members.
(c) Projected inflation in the costs of the services and other requirements during the period to be covered by the rates.
(d) Costs of any new services or requirements that will be required during the year for which the rates are determined but which were not required during the previous year.
NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53102. Affiliate.
History

Affiliate means an organization or person that, directly or indirectly through one or more intermediaries, controls, or is controlled by or is under common control with, a plan and that provides services to or received services from a plan.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53104. Carrier. [Repealed]
History

HISTORY

1. Repealer filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53106. Catastrophic Coverage Limitation. [Repealed]
History

HISTORY

1. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53108. Contract.
Note     •     History

Contract means the written agreement entered into between a health care service plan, as defined in Section 1345, Health and Safety Code, and the Department and approved by appropriate state agencies to provide health care services to members under the provisions of the Waxman-Duffy Prepaid Health Plan Act, Section 14200, et seq., Welfare and Institutions Code.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14204, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50).
§53110. Control.
Note     •     History

Control means the possession, directly or indirectly, of the power to direct or cause the direction of the management or policies of a plan. Such power may be exercised through one or more intermediary companies, or alone, or in conjunction with, or pursuant to an agreement. Such power may be established through a majority or minority ownership or voting of securities, common directors, officers or stockholders, voting trusts, holding trusts, affiliates, contract or any other direct or indirect means.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14482, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50).
§53111. Department. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53112. Director. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53114. Disenrollment.
Note     •     History

Disenrollment means the process by which a member's entitlement to receive services from a plan is terminated.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14412 and 14413, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 2-2-83 (Register 83, No. 6).
§53115. Door-to-Door Marketing.
Note     •     History

Door-to-door marketing means the use of any marketing presentation at the residence of an individual who has not requested such a presentation.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14408(d), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Editorial correction of NOTE filed 2-2-83 (Register 83, No. 6).
§53115.5. Effective Date of Enrollment.
Note     •     History

Effective date of enrollment means the first day of the first month in which a Medi-Cal beneficiary's name appears on the approved list of members furnished to the plan by the Department as a result of the completion of an application for enrollment in the prepaid health plan.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14406 (a), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50).
§53116. Enrollment.

Enrollment means the process by which a Medi-Cal beneficiary becomes a member of a plan.
§53116.5. Experience Data.
Note     •     History

Experience data means cost and utilization data from the Medi-Cal fee-for-service program, prepaid health plans or other prepaid populations which is determined by the Director to be sufficient in quantity and extent to provide credibility.
NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 4456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50).
§53117. Facility.
Note     •     History

(a) Facility means any premises:
(1) Owned, leased, used or operated directly or indirectly by or for the benefit of a plan or its affiliates for purposes related to a contract between the plan and the Department.
(2) Maintained by a provider to provide services on behalf of a plan.
NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53117.3. Formal Grievance. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Repealer filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53117.7. Immediate Family. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408(d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5(a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53117.9. Informal Grievance. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450 (n), Welfare and Institutions Code.
HISTORY

1. New section filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50).
2. Repealer filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
3. Editorial correction of repealer filed 9-22-82 and inadvertently left in print in Register 82, No. 39 (Register 82, No. 52).
§53118. Marketing.

(a) Marketing means:
(1) Any activity conducted by, or on behalf of, a plan in which information regarding the services offered is disseminated in order to persuade Medi-Cal beneficiaries to enroll or accept an application for enrollment in that plan.
(2) Any presentation made by, or on behalf of, a plan to any individual or organization to procure written or other public endorsement of that plan.
§53120. Marketing Representative.

Marketing representative means any person engaged in marketing activities on behalf of a plan. 
§53121. Medi-Cal Beneficiary. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53122. Member.
History

Member means any Medi-Cal beneficiary who has enrolled in a plan pursuant to Section 53420.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53124. Prepaid Health Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Section 14251, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 10-26-84; effective thirtieth day thereafter (Register 84, No. 43).
§53126. Prepaid Patient Population.

Prepaid patient population means the entire patient population both Medi-Cal and non-Medi-Cal, that is entitled to receive medical care from a plan in consideration for a predetermined, periodic, fixed subscription premium.
§53128. Preventive Health Care. [Repealed]
History

HISTORY

1. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53130. Primary Care Physician. [Repealed]
History

HISTORY

1. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53132. Public Hearing. [Repealed]
History

HISTORY

1. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53133. Risk Limit.
Note     •     History

Risk limit means the per member dollar amount in excess of which the plan assumes no financial liability for the cost of services rendered to any member.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14451.5, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53134. Service Area.

Service area means the geographical area designated by the Department within which a plan shall provide, directly or through subcontract, health care services to its members who reside therein.
§53136. Service Location.

Service location means any plan location at which a member obtains any health care service.
§53138. Service Site.
Note     •     History

Service site means the location designated by a plan at which members shall receive primary care physician services.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14406 and 14450, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 2-2-83 (Register 83, No. 6).
§53140. State Employee.
Note     •     History

(a) “State employee” pursuant to Welfare and Institutions Code includes:
(1) The Director of the Department of Health Services, and
(2) The following appointive and civil service employees of the Department:
(A) Chief deputy directors;
(B) Deputy directors;
(C) Chief counsel;
(D) Division chiefs;
(E) Branch chiefs;
(F) Section chiefs;
(G) Office, unit, bureau, project and program chiefs.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14477(b), Welfare and Institutions Code. 
HISTORY

1. Repealer and new section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53142. State Officer. [Repealed]
History

HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53144. Subcontract.

(a) Subcontract means an agreement between a plan and any of the following:
(1) A provider of health care services who agrees to furnish such services to plan members, except for providers of unusual or seldom-used health care services.
(2) A marketing organization.
(3) Any other person or organization who agrees to perform any administrative function or service for the operation of the plan specifically related to securing or fulfilling its contractual obligations with the Department.
§53144.5. Sub-Subcontract.
Note     •     History

Sub-subcontract means any agreement, descending from and subordinate to a subcontract, which is entered into for the purpose of providing any goods or services connected with a prepaid health plan's obligations under a contract entered into pursuant to this Chapter.
NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53145. Substantial Financial Interest. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53150. Unit Medical Record. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53152. Vendor.
Note     •     History

Vendor means any person who provides services or supplies to a prepaid health plan or subcontractor of a prepaid health plan and who does not have a subcontract with the prepaid health plan or plan subcontractors.
NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
Article 3. Operational Requirements
§53200. Organization and Administration.
Note     •     History

(a) Each plan shall have the organizational and administrative ability to carry out its contractual obligations, including but not limited to the following:
(1) An unrestricted Knox-Keene license or pending application therefor.
(2) A medical director as specified in Section 53246.
(3) A grievance procedure as specified in Section 53260.
(4) Member and enrollment reporting systems which fulfill the plan's contractual obligations.
(5) A data-reporting system which provides reports required under the contract to the Department on a timely basis.
(6) Financial records and books of account fully disclosing the disposition of all Medi-Cal program funds received. Such records and books shall be maintained on the accrual basis in accordance with generally accepted accounting principles.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14251, 14308, 14450, and 14459, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53210. Scope of Services.
Note     •     History

(a) Except as provided in Section 14257 of the Welfare and Institutions Code, each plan shall provide the following health care services:
(1) Physician services.
(2) Hospital outpatient department services.
(3) Laboratory and X-ray services.
(4) Pharmaceutical services and prescribed drugs.
(5) Hospital inpatient care.
(6) Skilled nursing facility care.
(7) A continuing program of preventive health care services, appropriate to the needs of the projected plan population, which:
(A) Satisfies the requirements of Title 10, California Administrative Code, Section 1300.67(f). 
(B) Includes the provision of Child Health and Disability Prevention Program services to members under the age of 21 in accordance with the provisions of Title 17, California Administrative Code, Sections 6800-6874.
(b) In addition to the health care services specified in (a), above, each plan shall provide the full scope of services set forth in this subdivision in Chapter 3, Article 4, beginning with Section 51301, and in Chapter 11, beginning with Section 59998, unless certain services are specifically excluded under the terms of the contract.
(c) The Director shall establish the scope and duration of services to be covered by any plan contract.
(d) A plan may elect to provide services which are not included in Section 14053, Welfare and Institutions Code. A plan shall obtain the prior approval of the Director if such services are provided at a cost to members. Each member shall be notified of the scope of such additional services offered by the plan and the charges therefor:
(1) During the enrollment process.
(2) Any time the scope of such services is changed.
(3) Prior to rendering such services.
(e) Each plan shall meet the requirements of Sections 51163 and 51305.1 of this subdivision, in providing needed human reproductive sterilization services.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14304.5 and 14256, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (d) filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53212. Availability of Services.
Note     •     History

(a) The Director shall determine the availability of services to be provided under the plan contract.
(b) Each plan shall obtain departmental approval prior to making any substantial change in availability or location of services to be provided under the contract, except in the case of unforeseen circumstances. A proposal to change the location of services or reduce their availability shall be given to the Department at least 30 days prior to the proposed effective date.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14450, 14452.3, 14452.4 and 14452.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment of subsection (h) filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50).
3. Repealer of subsections (c)-(h) filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53214. Pharmaceutical Services and Prescribed Drugs.
History

(a) Each plan shall provide, either directly or through subcontracts, the services of pharmacies and pharmacists. Such pharmaceutical services shall be available to members during reasonable hours as specified in the contract.
(b) Prescribed drugs shall be provided to members in accordance with all applicable laws and regulations.
(c) Pharmaceutical services shall include as a minimum the following functions:
(1) Supervising the efficient distribution of drugs.
(2) Providing pharmaceutical consultative services when appropriate, which are:
(A) Consultation with members concerning drug therapy in which the pharmacist asks the member if he is currently taking any drugs, and informs him on what is being taken, how to take it, what to expect, what special precautions should be observed and how the medication is to be properly stored. The purpose of this consultation is to assure that the member understands the proper use of the drug and that the prescriber's intentions will materialize in a drug regimen of optimal effectiveness, safety and duration.
(B) Professional consultation with prescribers, or other members of the health care team, in which the pharmacist discusses drug effects, dosage regimens, interactions, side effects, toxicities, antidotes, drugs of choice for disease conditions and in all other ways acts as the drug information specialist to the health care team.
(3) Participating in in-service training programs for plan staff to provide current information about pharmaceuticals and their proper use in member treatment.
(4) Participating in drug utilization review. This shall include a review of:
(A) Member medical records to determine the range and types of drugs taken by members, and
(B) Drug utilization patterns of the plan in general.
(5) Participating in professional review activities relating to the use of pharmaceuticals.
HISTORY

1. Amendment of subsection (c) filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53216. Care Under Emergency Circumstances.
Note     •     History

(a) Each plan shall provide, directly or by subcontract, at least one physician and a nurse on duty 24 hours a day, 7 days a week, at each location designated as a location where members can obtain medical services in the event of emergency circumstances, as defined in Section 51056.
(b) Written procedures shall be developed and applied by the plan regarding care under emergency circumstances provided by nonplan providers in and outside the service area. These procedures shall include but not be limited to the following:
(1) Verification of membership.
(2) Transfer of the medical management of the member to a plan provider.
(3) Payment within 60 days of receipt of properly documented bills for the services rendered to the member. Bills for services rendered to the member shall be submitted not later than the second month following the month of service, except for good cause.
(4) Written notice of action within 60 days of receipt of bills which are denied or reduced for any reason by the plan. The notice shall include a statement, subject to prior approval by the Department, of the provider's right to:
(A) Dispute the plan's rejection or reduction of the bill.
(B) Submit the dispute to the Department pursuant to Article 7.
(c) The plan shall provide or pay for medical transportation, as defined in Sections 51151 and 51323, to members needing care when such transportation is necessary due to the medical condition of the member.
(d) Each provider who agrees with a plan to provide emergency medical services shall furnish, when the course of treatment of a plan member under emergency circumstances requires the use of drugs, a sufficient quantity of such drugs to last until the member can reasonably be expected to have a prescription filled.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment of subsection (b) filed 6-12-79; effective thirtieth day thereafter (Register 79, No. 24).
§53218. Preventive Health Care Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14132 and 14308, Welfare and Institutions Code. Reference: Sections 14304.5 and 14308, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Repealer filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53220. Member Billing.
Note     •     History

(a) A prepaid health plan, affiliate, vendor, subcontractor or sub-subcontractor shall not submit a claim to, demand or otherwise collect reimbursement from, a member or persons acting on behalf of a member for any services provided under this Chapter except to collect:
(1) Third-party payment in accordance with Section 53222 (a).
(2) Payment for services provided pursuant to Section 53210 (d).
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14452.6, Welfare and Institutions Code.
HISTORY

1. New section filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50).
§53222. Recovery from Other Sources.
Note     •     History

(a) Plans may recover and retain the cost of covered services rendered to a member under the terms of this Chapter, to the extent that such member is covered for such services, under any other state or federal medical care program or under other contractual or legal entitlement, including but not limited to, a private group or individual indemnification program.
(b) Plans shall not attempt recovery in circumstances involving casualty insurance, tort liability or worker's compensation. Circumstances which may result in casualty insurance payments, tort liability payments, or workers' compensation awards shall be reported to the Department within ten days after discovery by the plan.
NOTE

Authority cited: Section 14124.71, Welfare and Institutions Code. Reference: Section 14452.6, Welfare and Institutions Code.
HISTORY

1. New section filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50).
2. Amendment of subsection (b) filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53230. Facilities, Service Locations and Equipment.
Note     •     History

(a) Each plan shall have available within the service area sufficient facilities, service sites and service locations to meet its contractual obligations.
(b) Each facility shall meet the following requirements:
(1) Licensing, and accreditation where applicable, by the appropriate agencies.
(2) Continued compliance with licensing standards.
(3) Compliance with all applicable local, state and federal standards including those for fire and safety.
(c) Each plan shall assure proper sterilization and disinfection of equipment. Plan providers shall make necessary provisions for proper sterilization of dressings, utensils, instruments and solutions used in the facility. Autoclaves and sterilizers shall be used and maintained in operating condition by qualified personnel.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (c), (d), (f), (g) and new subsection (i) filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer of subsections (c)-(h) and relettering of subsection (i) to subsection (c) filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53240. Personnel Resources. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14450, 14456, and 14460, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (b), (f) and new subsection (g) filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53242. Providers.
Note     •     History

(a) A provider of services employed by or under subcontract to a plan shall meet those standards for participation as a provider of health care services under the Medi-Cal program set forth in this subdivision in Chapter 3, Article 3, beginning with Section 51200.
(b) The Department may require that a plan identify all:
(1) Physicians, by specialty.
(2) Providers furnishing any services, by type of service provided.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53244. Allied Health Personnel. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14450 and 14456, Welfare and Institutions Code.
HISTORY

1. New subsection (d) filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53246. Medical Director.
Note     •     History

(a) Each plan shall appoint a physician as medical director. His responsibilities shall include, but not be limited to:
(1) Ensuring that medical decisions are rendered by qualified medical personnel, unhindered by fiscal or administrative management.
(2) Ensuring that the medical care provided meets the standards for acceptable medical care. 
(3) Ensuring that medical protocols and rules of conduct for plan medical personnel are followed.
(4) Developing and implementing medical policy.
(5) Resolving medically related grievances. The medical director shall refer nonmedical grievances, and other grievances which he determines may be appropriately resolved through the grievance procedure, to the grievance coordinator.
(6) Actively participating in the functioning of the plan grievance procedures.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-2-83 (Register 83, No. 6).
§53250. Subcontracts.
Note     •     History

(a) A provider or management subcontract entered into by a plan which is not a qualified HMO shall become effective upon approval by the Department in writing, or by operation of law where the Department has acknowledged receipt of the proposed subcontract and has failed to approve or disapprove the proposed subcontract within 60 days of receipt. Subcontract amendments shall be submitted to the Department, for prior approval, at least 30 days before the effective date of any proposed changes governing compensation, services or term. Proposed changes, which are neither approved nor disapproved by the Department, shall become effective by operation of law 30 days after the Department has acknowledged receipt, or upon the date specified in the subcontract amendment, whichever is later.
(b) A subcontractor providing any basic health care service to members shall meet all of the requirements of Chapters 3 and 4 of this subdivision, related to the services the subcontractor is required to perform.
(c) Each subcontract submitted for Department approval pursuant to subsection (a), above, shall contain at least the elements required by subsection (e) and the following:
(1) Specification of the services to be provided.
(2) Specification that the subcontract shall be governed by and construed in accordance with all laws, regulations and contractual obligations incumbent upon the plan.
(3) Specification that the subcontract or subcontract amendments shall become effective only as set forth in subsection (a).
(4) Specification of the term of the subcontract, including the beginning and ending dates, as well as methods of extension, renegotiation and termination.
(5) Subcontractor's agreement to submit reports as required by the Contractor.
(d) Subcontracts entered into by a plan which is a qualified HMO shall be exempt from prior approval by the Department.
(e) Each subcontract shall contain:
(1) The subcontractor's agreement to make all of its books and records, pertaining to the goods and services furnished under the terms of the subcontract, available for inspection, examination or copying:
(A) By the Department, the United States Department of Health and Human Services and the Department of Corporations.
(B) At all reasonable times at the subcontractor's place of business, or at such other mutually agreeable location in California.
(C) In a form maintained in accordance with the general standards applicable to such book or record keeping.
(D) For a term of a least five years from the close of the fiscal year in which the subcontract was in effect.
(2) Full disclosure of the method and amount of compensation or other consideration to be received by the subcontractor from the plan.
(3) Subcontractor's agreement to maintain and make available to the Department, upon request, copies of all sub-subcontracts and to ensure that all sub-subcontracts are in writing and require that the subcontractor:
(A) Make all applicable books and records available at all reasonable times for inspection, examination or copying by the Department.
(B) Retain such books and records for a term of at least five years from the close of the fiscal year in which the sub-subcontract is in effect.
(4) Subcontractor's agreement to notify the Department in the event the agreement with the Contractor is amended or terminated. Notice to the Department is considered given when properly addressed and deposited in the United States Postal Service as first-class registered mail, postage attached.
(5) Subcontractor's agreement that assignment or delegation of the subcontract shall be void unless prior written approval is obtained from the Department in those instances where prior approval by the Department is required.
(6) Subcontractor's agreement to hold harmless both the State and plan members in the event the plan cannot or will not pay for services performed by the subcontractor pursuant to the subcontract.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14452, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment of subsection (g)(16) and new subsection (g)(17) filed 10-20-78; effective thirtieth day thereafter (Register 78, No. 42).
3. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53251. Assumption of Financial Risk.
Note     •     History

(a) Plans shall be responsible for the total costs, except as otherwise provided in this Chapter, of care rendered to members under the provisions of this Chapter.
(b) The Department shall bear the costs of providing medically necessary covered services to a member when such costs, based on Medi-Cal schedules of reimbursement and exclusive of third-party recoveries, exceed the risk limit in the aggregate during the 12-month period specified in the contract. The risk limit shall be determined annually, at the same time and using the same data base as used in the determination of new annual rates, as provided by Section 53321, and shall be stated in the contract. The Department shall bear such costs only for the period of time between the date on which the aggregate amount exceeds the risk limit, and the end of the 12-month period specified in the contract. The Department shall determine that services and the amounts payable therefor are reasonable and medically necessary, prior to payment, and within 90 days after submittal of the documentation required in subsection (b)(2).
(1) Members whose cost of care exceeds the risk limit in the 12-month period shall not be disenrolled by the plan solely for that reason. The plan shall remain responsible for arranging and initially paying for the member's medically necessary care, at Medi-Cal reimbursement levels, when the cost for such care exceeds the risk limit in the 12-month period.
(2) Plans shall submit to the Department documentation of accumulated costs which result in reaching the risk limit and of all costs in excess of the limit. Documentation shall be submitted in a format prescribed by the Department.
(c) A plan shall not enter into a subcontract which would remove the contractor's obligation to bear a significant portion of the overall risk assumed in providing services under this Chapter.
(d) A plan shall designate one of the methods described in subsection (e) as its operating definition of significant risk, if the plan enters into subcontracts to fulfill its contractual obligations, unless the plan can demonstrate to the Department that significant risk is retained by some other method. Combinations of methods shall not be permitted. All sub-contract approvals by the Department shall be contingent upon the retention of significant risk, as designated by the method selected by the contractor.
(e) Significant risk shall be the financial responsibility for either of the following:
(1) All expenditures which exceed 115 percent of the estimated specified total expenditures made under each subcontract.
(2) All inpatient hospitalization expenditures, including expenditures for services connected with the period of hospitalization, as determined by the Department.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14451.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Amendment filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53252. Reinsurance.
Note     •     History

(a) The provisions of Section 53251 notwithstanding, the prepaid health plan may obtain reinsurance for the cost of providing covered services, subject to the following conditions:
(1) Reinsurance shall not reduce plan liability below $5,000 per member for any one 12-month period. 
(2) Reinsurance may cover both of the following:
(A) The total cost of services provided to members under emergency circumstances by nonplan providers, including the cost of inpatient care in a nonplan facility until such time as the member may be safely transported to a plan facility.
(B) Up to 90 percent of all expenditures related to the contract exceeding 115 percent of the plan's gross income from capitation payments and third-party recoveries under the terms of the contract during any plan fiscal year.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14451.5(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50).
§53260. Grievance Procedures.
Note     •     History

(a) Each plan shall establish and maintain a procedure for submittal, processing and resolution of all member complaints. Such procedure shall be approved by the Department and shall provide for the processing of disenrollment requests through the grievance procedure in sufficient time to submit requests to the Department in accordance with the provision of Section 53440.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14303.1, 14303.2, 14409, 14412, 14413 and 14450, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Amendment of subsection (a) and repealer of subsections (b)-(h) filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53261. Notice to Members of Plan Action to Deny, Defer or Modify a Request for Medical Services.
Note     •     History

(a) The plan shall provide members with a notice of an action taken by the plan to deny a request by a provider for any medical service. Notice in response to an initial request from a provider shall be provided in accordance with this section. Notice in response to a request for continuation of a medical service shall be provided in accordance with section 51014.1. Notice of denial shall not be required in the following situations:
(1) The denial is a denial of a request for prior authorization for coverage for treatment that has already been provided to the member.
(2) The denial is a non-binding verbal description to a provider of the services which may be approved by the plan.
(3) The denial is a denial of a request for drugs, and a drug identical in chemical composition, dosage, and bioequivalence may be obtained through prior authorization from the plan or from the list, established by the plan, of drugs available without prior authorization from the plan.
(b) The plan shall provide members with a notice of deferral of a request by a provider for a medical service. Notice of the deferral shall be delayed for 30 days to allow the provider of the medical services time to submit the additional information requested by the plan and to allow time for the plan to make a decision. If, after 30 days from the plan's receipt of the request for prior authorization, the provider has not complied with the plan's request for additional information, the plan shall provide the member notice of denial pursuant to subdivision (a). If, within that 30 day period, the provider does comply, the plan shall take appropriate action on the request for prior authorization as supplemented by the additional information, including providing any notice to the member.
(c) The plan shall provide members notice of modification of a request by a provider for prior authorization. Notice in response to an initial request from a provider shall be provided in accordance with this subdivision. Notice in response to a request for continuation of a medical service shall be provided in accordance with section 51014.1. Notice of modification pursuant to this subdivision shall not be required in the following situations:
(1) The plan may modify a request for durable equipment without notice, as long as the substituted equipment is capable of performing all medically significant functions that would have been performed by the requested equipment.
(2) The plan may modify the duration of any approved therapy or the length of stay in an acute hospital inpatient facility without notice as long as the plan provides an opportunity for the provider to request additional therapy or inpatient days before the end of the approved duration of the therapy or length of stay.
(d) The written notice of action issued pursuant to subdivision (a), (b), or (c) shall be deposited with the United States postal service in time for pick-up no later than the third working day after the action and shall specify:
(1) The action taken by the plan.
(2) The reason for the action taken.
(3) A citation of the specific regulations or plan authorization procedures supporting the action.
(4) The member's right to a fair hearing, including:
(A) The method by which a hearing may be obtained.
(B) That the member may be either:
1. Self represented.
2. Represented by an authorized third party such as legal counsel, relative, friend or any other person.
(C) The time limit for requesting fair hearing.
(e) For the purposes of this section, medical services means those services that are subject to prior authorization under the plan's authorization procedures.
(f) The provisions of this section  apply only for medical services that are covered in the contract between the Department and the plan.
(g) The provisions of this section do not apply to the decisions of providers serving plan members when prior authorization of the service by the plan's authorization procedures is not a condition of payment to the provider for the medical service.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. New section filed 10-17-95; operative 11-16-95 (Register 95, No. 42).
§53270. Consumer Participation in Policy Making. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. Repealer filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53280. Quality of Care.
Note     •     History

(a) Each plan shall meet the standards for acceptable medical care as defined in Section 53100 of this Title, and use effective professional review in assessing the care provided to its members in accordance with the standards for health care service plans set forth in Title 10, California Administrative Code,Chapter 3, Subchapter 5.5, beginning with Section 1300.43.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14450 and 14458, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (c), (d) and (e) filed 7-5-78; effective thirtieth day thereafter (Register 78, No.27).
2. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53282. Medical Record System.
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14455, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53284. Medical Record Service.
Note     •     History

(a) Each plan shall maintain a medical record service in accordance with the requirements of Title 10, California Administrative Code, Sections 1300.70 and 1300.80.
(b) Confidentiality of medical records shall be maintained in accordance with the provisions of Section 51009.
(c) Fifteen days prior to ceasing operation each plan shall provide the Department with a plan for preserving medical records.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14455, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53286. Continuity of Care.
Note     •     History

(a) Each plan shall establish and operate a system to assure continuity of care in accordance with the requirements of Title 10, California Administrative Code, Section 1300.67.1.
(b) Each plan shall make a primary care physician available to supervise and coordinate each member's health care. Any member dissatisfied with the primary care physician shall be allowed to select another. Any plan physician dissatisfied with the professional relationship with any plan member may request that another primary care physician be substituted to supervise the member's care.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53288. Shared Responsibility for Members' Health Care. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. Repealer filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53290. Medical Review. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14456, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53291. General Reviews. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14457, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53310. Records.

(a) Each plan shall maintain or cause to be maintained all records necessary to verify the information and reports required by statute, regulation or contractual obligation for four years from the date of submission of such information or reports. Such records and documents shall include but not be limited to:
(1) Working papers used in the preparation of reports to the Department.
(2) Reports to the Department.
(3) Financial documents.
(4) Medical records.
(5) Prescription files.
§53312. Reporting.
Note     •     History

(a) Each plan, except those that are excluded under Section 14308(c), Welfare and Institutions Code, shall submit reports to the Department as specified below.
(b) Annual reports shall include:
(1) The financial audit required by Section 53340. This report shall be submitted to the Department no later than 90 days after the close of the plan's fiscal year.
(2) An update of the provider listing required in Section 53242(b).
(3) Disclosure statements in compliance with Section 53601.
(c) Quarterly reports shall include:
(1) Utilization and statistical data in compliance with Section 53314.
(2) Financial reports pursuant to Section 53324(c).
(3) Child Health and Disability Prevention Program reporting disclosing services rendered in accordance with Section 53210(a)(7)(B).
(d) Other reports which shall be submitted to the Department include the following:
(1) Information requested by the Department to conduct medical reviews or contract monitoring in accordance with Section 14457, Welfare and Institutions Code.
(2) Financial reports relevant to affiliates as specified in Section 53330.
(3) Copies of any financial reports submitted to other public or private organizations as specified in Section 53324(d).
(4) Notification of possible third-party tort liability situations. This information shall be submitted within ten days of discovery.
(5) Information necessary for the evaluation of compliance with Section 53402.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14308, 14457 and 14459, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (c) and (d) filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53314. Statistical Data.
Note     •     History

(a) Each plan shall supply statistical data and information, reported no less frequently than quarterly by dates specified by the Department, including:
(1) Statistical information concerning:
(A) Utilization of services to and benefits of members.
(B) Distribution of members by age intervals and sex.
(C) Costs of health care.
(D) Administrative expenses.
(E) Quality of care rendered.
(2) Other utilization and financial information required by the Department for auditing purposes or computations of capitation rates.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14308, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53320. Capitation Payment.
Note     •     History

(a) Payment to each plan shall be on a monthly capitation payment basis. Each plan shall be at risk for services provided. The capitation payment shall:
(1) Constitute payment in full by the State for health care and administration services rendered under the contract.
(2) Be based upon a count of eligible members furnished to the plan monthly by the Department.
(b) The capitation payment shall not include payment for recoupment of any losses incurred by the plan under any prior contractual obligations with the State.
(c) Capitation payment shall not be made for members enrolled in excess of the enrollment maximums specified in the plan contract.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14301, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-2-83 (Register 83, No. 6).
§53321. Capitation Payment Rates Determination.
Note     •     History

(a) The Department shall determine capitation payment rates annually by actuarial methods with assistance from an actuary or consulting actuary.
(b) The rates shall not exceed actuarially equivalent Medi-Cal fee-for-service costs. These costs shall be determined by viewing the total services and requirements, including administration, provided under this Chapter by a prepaid health plan as though such same services and requirements, including administration, were reimbursable under Chapter 3. For purposes of this section:
(1) Costs of administration include, but are not limited to:
(A) Salaries, bonuses or benefits paid or incurred with respect to the officers, directors, partners, trustees or other principal management of the plan, minus, to the extent that such persons also are providers of health care services, the minimum reasonable cost of obtaining such health care services from other persons.
(B) Cost of soliciting, enrolling and verifying enrollment of members.
(C) Legal and accounting fees and expenses.
(D) Costs associated with the establishment and maintenance of agreements with providers of health care services, excluding the cost of reviewing quality and utilization of such services and the cost of reviewing utilization of health care services on a referral basis.
(E) Premium on required fidelity and surety bonds and any insurance maintained pursuant to Section 1377, Health and Safety Code, and any insurance or other expense incurred for the purpose of complying with Section 1375.1, Health and Safety Code. Malpractice insurance is not included within this subsection.
(F) Costs of preparing reports required by this Chapter.
(G) Costs of maintaining facilities for administrative services.
(2) Cost of administration shall not include:
(A) Bad debt write-off.
(B) Donations.
(C) Out-of-state and out-of-country travel.
(D) Expenditures for commercial market development.
(E) Stock losses.
(F) Good will.
(c) The rates shall be effective for one year beginning the first day of July each year. In the event that payment of the new rates is delayed beyond the first day of July, continued payment of the rate in effect shall be interim payment only. Final payment shall be:
(1) Adjusted by increase or decrease to the level of the new rates.
(2) Effective as of the first day of July.
(d) Notwithstanding subsection (c), payment of the new annual rates shall commence no later than September 1, provided that a contract amendment providing for the new annual rates has been prior approved by DHHS, and signed by the Department and the plan, but has not yet received the approval of all required control agencies and departments.
(e) Contract amendments providing for the new annual rates shall provide that:
(1) The plan stipulates to a confession of judgment, for any amounts received in excess of the final approved rate, by accepting payment of the new annual rates prior to final approval.
(f) Any underpayment by the State, if the final approved rates differ from the rates set forth in an amendment providing for new annual rates, shall be paid by the Department to the plan within 30 days after final approval of such rate amendment.
(g) Any overpayment by the State shall be recovered by Department withhold of the amount due from the plan's next capitation payment, not to exceed 25 percent of the capitation payment. If the overpayment is more than 25 percent, amounts up to 25 percent shall be withheld from each successive capitation payment until such deficiencies are recovered by the Department.
(h) The contract between the State and a prepaid health plan shall include:
(1) The monthly capitation rates.
(2) A description of the actuarial method, assumptions, cost information and utilization rates used in determining the rates.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14301, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history see Register 78, No. 27.
2. Amendment filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53322. Capitation Rate Redetermination.
Note     •     History

(a) Capitation rates shall be redetermined during the rate year only when all of the following conditions are met:
(1) A change occurs in the obligations of the plan which results in increased or decreased costs of performing under the contract.
(2) The change in subsection (1) is the result of either of the following:
(A) A change in federal or state law or regulation.
(B) A change in the Department's interpretation or implementation of federal or state law or regulation.
(3) The projected difference in plan costs associated with either of the conditions set forth in subsection (a)(2) exceeds one percent of the statewide average capitation rate for the affected categories of members.
(b) The redetermination of capitation rates shall be subject to the approval of the Secretary, United States Department of Health and Human Services, the State Department of General Services and the State Department of Finance.
(c) Rates redetermined pursuant to subsection (a) shall be effective on the first day of the month in which the change in the obligations of a plan becomes effective. During the period of rate redetermination, continued payment of the rate in effect shall be interim payment only. Final payment shall be:
(1) Subject to increase or decrease to the level of the redetermined rates.
(2) Retroactive to the first day of the month in which the change in the obligations of a plan became effective.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14301, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53323. Cost Reimbursement. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14301(b), Welfare and Institutions Code. 
HISTORY

1. Amendment of subsection (a) filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53324. Financial Resources.
Note     •     History

(a) Each plan shall maintain adequate financial resources to carry out its contractual obligations. The level of such resources shall be determined for each plan by the Department and shall include, but not necessarily be limited to, the following:
(1) Tangible net equity as defined in Title 10, California Administrative Code, Section 1300.76.
(2) Working capital trends.
(3) Profit and loss trends.
(4) Enrollment growth.
(b) Administrative costs incurred by a plan and its affiliates shall not exceed the limits established by Title 10, California Administrative Code, Section 1300.78.
(c) Each plan shall submit to the Department, within 45 days after the close of each fiscal quarter, a quarterly financial report in the format prescribed by Title 10, California Administrative Code, Section 1300.84.2. The Department may at its discretion waive this reporting requirement.
(d) Each plan shall submit to the Department a copy of any financial report submitted to any other public or private organization, if such report differs in content from any financial report already submitted to the Department.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Editorial correction adding NOTE filed 2-2-83 (Register 83, No. 6).
§53326. Financial Security.
Note     •     History

(a) Each plan shall provide evidence of and maintain financial security.
(b) Financial security may be in the form of, but is not limited to, one of the following:
(1) A guarantee bond.
(2) A letter of credit.
(3) A time certificate of deposit.
(4) A trust agreement.
(c) The Department shall approve the form and amount of financial security required for each plan contract.
(d) The Department may waive the requirement for financial security for a plan which is qualified as an HMO under Title XIII, Public Health Service Act.
(e) The Department shall take possession of financial security sufficient to indemnify the Department in the event that the plan defaults on any contractual obligation to the Department.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. Relettering of subsection (d) to subsection (e) and new subsection (d) filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53330. Affiliate.
History

(a) Every affiliate shall:
(1) Furnish, upon request, to the plan and to the Department financial reports relevant to the disposition of funds paid to the affiliate by the plan. Reports shall be prepared according to generally accepted accounting principles and shall provide all financial data required by the plan to fulfill its obligations to the Department for financial reporting.
(2) Make all books and records, which are pertinent to plan contracts with the Department, available for inspection by the Department and HEW. These books and records shall be retained for at least four years from the close of each fiscal year in which the contract is in effect.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53340. Financial Audit.
Note     •     History

(a) Each plan shall have an audit performed at least annually by an independent certified public accountant who is independent according to the provisions of Accounting Series Release Number 126 (July 5, 1972) issued by the Securities Exchange Commission. A plan operated by a public entity shall have an annual audit performed in a manner approved by the Department. Additional audits may be required by the Director after a determination of good cause. All certified financial statements shall be filed with the Department not later than 90 days after the close of the plan's fiscal year. Combined financial statements shall be prepared in accordance with the rules set forth in Section 1300.84, Title 10, California Administrative Code, in order to demonstrate the financial position of the overall related health care delivery system when delivery of health care or other services is dependent upon affiliates. Financial statements shall be presented in a form that clearly shows the financial position of the individual plan separately from the combined totals. Interentity transactions and profits shall be eliminated when combined statements are prepared.
(b) The plan shall authorize the independent accountant to allow representatives of the Department, upon written request, to inspect any and all working papers relating to the preparation of the audit report. The inspection shall:
(1) Be conducted at the accountant's place of business in California during normal business hours. 
(2) Be conducted at the Department of Health Services' headquarters in Sacramento, California, if the accountant's place of business is outside the State of California.
(3) Include notes, computations, work sheets and rough drafts.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14459, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment of subsection (a) filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
3. Amendment filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53350. Civil Penalties.
Note     •     History

(a) The Director may, except as provided in Section 53352 subsection (a), impose one or more of the civil penalties specified in (b) upon a plan which fails to comply with the provisions of Chapter 8, Part 3, Division 9, Welfare and Institutions Code, the provisions of this Chapter, or the terms of the plan contract.
(b) Civil penalties imposed by the Director shall be in the amounts specified below with respect to violation of any provision of:
(1) Article 3 excluding Sections 53312 and 53314.
(A) First violation: $500.
(B) Second violation: $1,000.
(C) Third and each subsequent violation: $5,000.
(2) Article 4.
(A) First violation: $1,000.
(B) Second and each subsequent violation: $5,000.
(3) Article 5.
(A) First violation: $1,000.
(B) Second and each subsequent violation: $1,000.
(4) Sections 53312 and 53314 of this Chapter.
(A) First violation: $500, plus $25 per day for each day that the item to be submitted is late.
(B) Second and each subsequent violation: $500, plus $25 per day for each day that the item to be submitted is late.
(5) The contract which is not specifically governed by regulation in this Chapter.
(A) First violation: $500.
(B) Second and subsequent violations: $1,000.
(6) Chapter 8, Part 3, Division 9 of the Welfare and Institutions Code which is not specifically addressed by regulations in this Chapter.
(A) First violation: $1,000.
(B) Second and subsequent violations: $1,000.
(c) The counting of violations for the purposes of Welfare and Institutions Code Section 14304(b)(3) shall:
(1) Be done without regard to contract term.
(2) Commence with violations occurring on or after the effective date of this section.
(d) Imposition of penalties, under the provisions of subsection (a) shall follow administrative proceedings held in accordance with the provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2, Government Code.
(e) The Department shall issue a letter of noncompliance to a plan found by the administrative proceedings addressed in subsection (d) to be in violation of any provision of law, regulation or the contract. The letter of noncompliance shall include the violation, sanctions to be imposed and corrective action to be taken within stated time limits. Failure to comply with corrective actions within the time limits given shall be deemed to be a subsequent violation for the purposes of subsection (c).
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14304 and 14409, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53352. Contract Termination.
Note     •     History

(a) The Director shall terminate a contract with a prepaid health plan which the Secretary, HEW, has determined does not meet the requirements for participation in the Medicaid program, Title XIX of the Social Security Act.
(b) The Director shall, except as provided in subsection 53350 (b), terminate a plan contract for reasons including, but not limited to:
(1) Noncompliance with the requirements of law or regulations or terms of the contract.
(2) Failure to pay valid accrued claims within 120 days after receipt by the plan, or failure to ensure that future claims will be paid.
(c) The Director shall give reasonable notice of intention to terminate a plan's contract.
(1) The notice shall be provided to:
(A) The prepaid health plan.
(B) Members of the plan.
(C) Others who may be directly interested.
(D) Other persons and organizations as the Director may deem necessary.
(2) The notice shall include:
(A) The reason for the termination.
(B) The effective date.
(d) The plan may request that a public hearing be held by the Office of Administrative Hearings to allow the Department to show good cause for the termination. The public hearing shall be held 30 days after receipt, by the plan, of the notice of intention to terminate the contract. In order to give the Office of Administrative Hearings sufficient time to arrange for a hearing, the plan request for a hearing shall be submitted no later than five days after receipt of the notice of intention to terminate, by making its request to the Office of Administrative Hearings directly.
(e) The Office of Administrative Hearings shall provide written recommendations concerning the termination of the contract to the Department and to the plan within 30 days after conclusion of the hearing.
(f) Notwithstanding subdivision (d), a plan contract shall be immediately terminated if the Director finds that there is an immediate threat to the health of Medi-Cal beneficiaries enrolled in the plan.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14304, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. New subsections (d)-(f) filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
Article 4. Marketing, Enrollment and Disenrollment
§53400. Marketing.
History

(a) Each plan shall be responsible for the conduct of all marketing activities. (Next page is 1300.54.5)
(b) Each plan shall be responsible for complying with all statutory, regulatory and contractual provisions relating to member enrollment and marketing activities.
(c) Each plan shall engage in marketing activities only after receipt of written authorization from the Department.
(d) All marketing methods and presentations shall have written authorization by the Department prior to use.
(e) All printed or illustrated material shall be approved by the Department prior to distribution to members or prospective members.
(f) All marketing orientation and training programs shall have written authorization by the Department prior to use.
(g) A prepaid health plan or marketing representative shall not adopt or utilize any procedure to identify prospective members who have medical or psychiatric problems, other than those specifically excluded from coverage by the contract, in order to exclude such prospective members from enrollment in the plan.
HISTORY

1. New subsection (g) filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53401. Marketing on County Premises.
Note     •     History

(a) Counties may allow marketing of prospective PHP members on county premises by a county employee under any one of the following conditions:
(1) Marketing is performed under the terms of a demonstration project approved by the Department provided the demonstration project meets the requirements of Section 14411, Welfare and Institutions Code.
(2) The county operates the prepaid health plan for which marketing is performed.
(3) The county and the prepaid health plan, for which marketing is to be performed, enter into a written agreement. Prepaid health plans shall obtain written departmental approval to enter into such agreements prior to negotiating agreements with a county.
(A) Agreements entered into pursuant to (a) (3) shall:
1. Not exceed two years.
2. Describe the relationship between marketing activities and the eligibility process.
3. Be submitted to the Department for approval at least 30 days prior to the proposed effective date of the agreement.
(B) Changes to the terms of the agreements, approved by the Department, shall be submitted by the plan to the Department for approval at least 30 days prior to the proposed effective date of the change.
(b) Counties may allow marketing of prospective prepaid health plan members on county premises by a state employee or a prepaid health plan marketing representative under either of the following conditions:
(1) Such marketing is performed under the terms of a demonstration project approved by the Department provided the demonstration project meets the requirements of Section 14411, Welfare and Institutions Code.
(2) The Department, the county and the prepaid health plan for which marketing is to be performed enter into a written agreement. Such agreement shall be for a period not to exceed two years.
(c) All marketing materials and presentations to be used shall be submitted for approval by the Department in accordance with Section 53400.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14411, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
§53401.1. Marketing on State Premises.
Note     •     History

(a) The State may permit marketing of prospective members on state premises provided the following conditions are met:
(1) Marketing shall be performed by state employees or prepaid health plan marketing representatives.
(2) Marketing is performed under the terms of a written agreement between the Department, the State Department of General Services and the prepaid health plan for which marketing is to be performed. Such agreements shall be for a period not to exceed two years.
(b) All marketing materials and presentations used pursuant to this section require the approval of the Department as specified in Section 53400.
NOTE

Authority cited: Sections 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303., 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53402. Marketing Representatives.

(a) Plan marketing representatives shall be responsible for the enrollment of members.
(b) Each plan shall establish an educational program which assures that its marketing representatives have sufficient knowledge about the plan to thoroughly explain how it operates to prospective and new members.
(c) A marketing representative shall not provide marketing services on behalf of more than one plan. 
(d) All marketing representatives shall satisfactorily complete the plan's marketing orientation and training program and the Department's examination for marketing representatives prior to engaging in marketing activities on behalf of any plan.
(e) Marketing representatives shall neither offer nor give any form of compensation or reward to induce or procure Medi-Cal beneficiary enrollment.
§53404. Marketing Presentation.
Note     •     History

(a) All marketing presentations shall fully disclose the availability of and restrictions upon the services provided by the plan. Such presentations shall, as a minimum, specify:
(1) The scope, access to and availability of services.
(2) The nature of the membership identification which will authorize the member to obtain services. 
(3) That members shall obtain all covered health care services rendered in nonemergency situations through the plan's providers.
(4) That medical services required in an emergency may be obtained at all times from specified plan providers or from nonplan providers, if necessary.
(5) That enrollment is voluntary.
(6) That enrollment is subject to a verification and processing period from 15 to 45 days in length.
(7) That disenrollment is possible only under the conditions specified in Section 53440 and only after action by the Department.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14402 and 14408, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Editorial correction adding NOTE filed 2-2-83 (Register 83, No. 6).
§53406. Misrepresentation.
History

(a) Marketing representatives shall not misrepresent themselves, the plan or the Medi-Cal program through false advertising, false statements or in any other manner in order to induce Medi-Cal beneficiaries to enroll in the plan.
(b) Violations of this section shall include, but are not limited to, false or misleading claims, inferences or representations that:
(1) Marketing representatives are employees or representatives of the State or county or anyone other than the plan or the marketing organization by which they are reimbursed.
(2) The plan is recommended or endorsed by any state agency or county agency or any other organization which has not certified its endorsement in writing to the plan.
(3) The State or county recommends that a Medi-Cal beneficiary enroll in a plan.
(4) A Medi-Cal beneficiary will lose benefits under the Medi-Cal program or any other health or welfare benefits to which he is legally entitled if the beneficiary does not enroll in a plan.
HISTORY

1. Amendment of subsection (b) filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53407. Door-to-Door Marketing. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14408, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
§53408. Prepaid Patient Population. [Repealed]
History

HISTORY

1. Repealer filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53420. Member Enrollment.

(a) A Medi-Cal beneficiary is enrolled upon completion of all of the following events:
(1) The voluntary signing and dating by the Medi-Cal beneficiary of an enrollment application. 
(2) Departmental validation of the beneficiary's application for enrollment.
(3) Departmental verification of the beneficiary's Medi-Cal eligibility.
(4) Addition of the beneficiary's name to the approved list of members, furnished to the plan, which is effective at the first of any given month.
(b) Enrollment shall be voluntary.
(c) Enrollment shall be limited to Medi-Cal beneficiaries who reside within the plan's service area. 
(d) A Medi-Cal beneficiary shall not be enrolled in more than one plan at any one time.
(e) Dependent minor children or persons legally judged incapable of acting on their own behalf may be enrolled in a plan by their parents or legal guardians.
§53422. Enrollment Application. [Repealed]
History

HISTORY

1. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53424. Enrollment Application Processing.

(a) Each plan shall accept and submit to the Department enrollment applications from all eligible Medi-Cal beneficiaries in the order in which the applications were made to the plan.
(b) Unless otherwise provided in writing by the Department, each plan shall accept enrollment applications from eligible Medi-Cal beneficiaries to the enrollment maximums specified in the plan contract.
(c) Each plan shall accept enrollment applications regardless of the member's race, religion, age, sex, national origin, or ancestry, and without reference to preexisting medical conditions other than those specifically excluded from coverage under the plan contract.
(d) Each plan shall verify the accuracy of each marketing presentation according to procedures established by the Department prior to submitting an enrollment application to the Department for processing.
(e) Each plan shall submit all enrollment applications to the Department within 15 days of the Medi-Cal beneficiary's signing of the application.
§53426. Term of Membership.
History

Except as provided in Section 53440, membership shall continue indefinitely after enrollment. Membership shall be contingent upon the member's retention of Medi-Cal eligibility as well as eligibility for enrollment in the plan under the terms of the plan contract.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53440. Disenrollment of Members.
Note     •     History

(a) Requests for disenrollment made under the following circumstances shall not be processed through the plan's grievance procedure and shall be submitted to the Department for processing within 5 working days after the member signs the disenrollment request:
(1) The member's eligibility as a Medi-Cal beneficiary for enrollment in the plan is terminated.
(2) The enrollment is in violation of Sections 53400, 53401, 53401.1, 53402, 53404 or 53406. 
(3) The request for disenrollment is pursuant to Sections 53508 and 53510.
(4) Change of a member's place of residence outside the plan's service area.
(b) The Department shall, on an annual basis, provide in writing to each plan a schedule of the last calendar dates in each month by which requests for disenrollment must be submitted to the Department by the plans to assure that disenrollment occurs in compliance with Section 14413 of the Welfare and Institutions Code. The Department may revise the schedule, as necessary, to assure that the requirements of Section 14413 are met. The Department shall provide reasonable notice to plans of revisions to the schedule.
(c) All requests for disenrollment, except those made pursuant to subsection (a), shall be submitted to the Department no later than the calendar date set forth in the schedule described under subsection (b) for the month following the month in which the member requests disenrollment.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14303.1, 14303.2, 14409, 14412, 14413 and 14450, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Amendment filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
3. Amendment filed 9-21-84; effective thirtieth day thereafter (Register 84, No. 38).
§53442. Disenrollment Requests.
Note     •     History

(a) Members desiring disenrollment shall make their requests to an authorized representative of the plan, on forms prescribed by the Department, or to the Department.
(b) Plans shall furnish disenrollment request forms to members immediately upon request by the member. Disenrollment request forms shall be mailed to a member if requested.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14303.1, 14303.2, 14409, 14412, 14413 and 14450, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53450. Information to New Enrollees.
Note     •     History

(a) Each Medi-Cal beneficiary signing an enrollment application shall be informed in writing of the following:
(1) A 15 to 45-day processing period is necessary between the date of application and receipt by the plan of written notice from the Department that the applicant has been enrolled.
(2) Enrollment is not effective until such processing is completed.
(3) The applicant has the right to receive health care services under his/her current arrangement during the processing period, so long as he/she retains Medi-Cal eligibility.
(4) The applicant has the right to request disenrollment without cause at any time.
NOTE

Authority cited: Sections 14203 and 14312, Welfare and Institutions Code. Reference: Sections 14412 and 14413, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
2. Amendment filed 11-19-85; effective thirtieth day thereafter (Register 85, No. 47).
§53452. Information to New Members.
Note     •     History

Each plan shall provide, in writing, in addition to those items of information required by Section 14406, Welfare and Institutions Code, the following to each member within seven days after the effective date of enrollment:
(a) The effective date of enrollment and the term of enrollment.
(b) A description of all available services and an explanation of any service limitations, exclusions from coverage or charges for services when applicable.
(c) The name, telephone number and service site address of the primary care physician chosen by or otherwise made available to the member.
(d) The appropriate use of health care services and the contributions the member can make toward the maintenance of the member's own health.
(e) Information concerning transportation arrangements offered by the plan.
(f) An explanation of the member's right to request a fair hearing under Welfare and Institutions Code Section 10950, et seq. for unresolved grievances and to request a fair hearing without going through the plan's grievance procedures when a health care service requested by the member or a provider has not been provided.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 10950, 14406 and 14450, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
3. Repealer of subsection (a) designator, subsection relettering, new subsection (f) and amendment of Note filed 10-17-95; operative 11-16-95 (Register 95, No. 42).
§53454. Annual Information to Members.
History

Each plan shall revise, if necessary, and distribute the information specified in Section 53452(b) to each member or the member's family unit at least once every 12 months.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53456. Notification of Changes in Services.
History

Each plan shall revise and distribute the information specified in Section 53452(b) at least 14 days prior to any changes which the plan makes in services provided or in the locations at which services may be obtained to each member affected by such change. Notification shall be provided as soon as possible in cases of unforeseen circumstances.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53458. Information for Departmental Dissemination.
History

Each plan shall furnish the Department, upon request, the information required in Section 53452(b) for dissemination to prospective members.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
Article 5. Applications, Contracts and Public Hearings
§53500. Application Information.
Note     •     History

(a) Each organization applying to establish a plan, and each plan applying to renew its contract with the State,shall submit to the Department a package containing the following information:
(1) A brief history and general description of its organization.
(2) A description of its proposed or existing administrative structure, including:
(A) The functions and responsibilities of all principals, policymakers, administrator, medical director and other executive officers.
(B) An organization chart and functional description of each organizational unit.
(3) A list of all principals, policymakers, executive officers, providers of health care services and other key personnel, including the following information:
(A) Full name.
(B) Business address.
(C) Date and place of birth.
(D) Internal Revenue Service employer number, when applicable.
(E) License number, medical specialty and Medi-Cal provider number, when applicable.
(4) Evidence of a current Knox-Keene license or a license application with related correspondence or a license as a nonprofit hospital service plan issued pursuant to Section 11493(e) and Sections 11501 to 11505 of the Insurance Code.
(5) Financial information including:
(A) A detailed cash flow budget, including all written assumptions, estimates and projections, demonstrating the availability and sources of funds to meet the obligations under the contract, for the prospective contract period. Supporting budgets for such affiliates must be provided when the contractor relies upon affiliates to provide services under the contract (see Section 53102 for the definition of “affiliate”).
(B) A projected calculation of tangible net equity.
(C) Certified financial statements, presented on a combined basis with all affiliates, as of the contractor's fiscal or calendar year end. No additional disclosures are required when the contractor's submission is within 90 days after the end of the contractor's fiscal year. Unaudited financial statements to the most current quarter end shall also be submitted if the contractor's submission occurs prior to or more than 90 days after the close of the contractor's fiscal year. Unaudited statements shall be prepared on a combined basis.
(D) A listing of all subcontracts between the plan and affiliates.
(E) Proof of adequate professional liability insurance coverage.
(6) A description of the proposed or existing health care delivery system, including information concerning the following:
(A) The scope and availability of services to be provided under the proposed contract.
(B) The ratios of physicians to the prepaid patient population and primary care physicians to the prepaid patient population.
(C) Location and description of all service sites, hospitals, pharmacies, laboratory and X-ray facilities and skilled nursing facilities, with information about the service availability at each location.
(D) The availability of services in emergency circumstances.
(E) The preventive health care programs offered.
(F) The medical record and medical record service system to be used by the plan.
(G) A description of the proposed or existing system to set standards for acceptable medical care, evaluate the quality of care provided, including procedures for the establishment and continuous professional review of the standards for acceptable medical care, review of the performance of medical personnel and review of the effectiveness of controls upon the utilization and costs of services.
(7) A delineation of the zip codes of the proposed or existing contract service area and the location of the Medi-Cal beneficiary target population within the service area.
(8) A description of proposed marketing efforts, with realistic enrollment and marketing cost projections, for both Medi-Cal and private target population enrollment.
(9) Copies of all proposed or existing subcontracts related to securing health care services, administrative and management services or any other services necessary to fulfill its contractual obligations, unless the Department already has a current copy of the subcontract on file.
(10) A description of the proposed or existing system for promptly reimbursing nonplan providers for emergency services rendered to members.
(11) Certification of willingness and ability to enroll members regardless of their race, creed, color, religion, age, sex, national origin, sexual orientation, marital status or ancestry; and without reference to preexisting medical conditions other than those specifically excluded from coverage under the contract.
(12) A description of the proposed or existing procedures by which grievances submitted by members are to be promptly processed and resolved.
(13) Any other information required by the Department for proper evaluation of the application. 
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14204 and 14450, Welfare and Institutions Code.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Amendment filed 12-30-81; effective thirtieth day thereafter (Register 82, No. 1).
3. Amendment of subsection (a)(5) filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
4. Amendment filed 10-26-84; effective thirtieth day thereafter (Register 84, No. 43).
§53502. Rejection of Contract Applications.
Note     •     History

(a) The Director may reject applications for the establishment of a plan contract for any reason, including but not limited to:
(1) Failure of the organization to submit, to the satisfaction of the Department, any of the information required by Section 53500.
(2) Failure of the organization to satisfactorily demonstrate to the Department its intent and ability to comply with the terms and conditions of the contract and with all applicable laws and regulations.
(3) Presentation of evidence at a public hearing held in accordance with Section 14300, Welfare and Institutions Code, that the organization has not complied with, or will not be able to comply with, its contractual obligations.
(4) Evidence that the contract should not be entered into or renewed pursuant to Section 53600. 
(b) The Director shall have final authority and sole discretion to enter into plan contracts or reject plan contract applications.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14300, Welfare and Institutions Code.
HISTORY

1. New subsection (a)(4) filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27). 
2. Amendment of subsections (a)(2) and (a)(3) filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
3. Amendment of subsection (a) filed 10-26-84; effective thirtieth day thereafter (Register 84, No. 43).
§53504. Effect and Term of Contracts. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14251 and 14302, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (c) filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 12-20-81; effective thirtieth day thereafter (Register 82, No. 1).
§53506. Contract Renewals.
Note     •     History

(a) A plan contract shall be renewed unless good cause is shown for nonrenewal. Good cause for nonrenewal shall include, but not be limited to, the following:
(1) Failure of the plan to comply with all terms and conditions of the contract and with all applicable laws and regulations.
(2) Failure of the plan to comply with the provisions of a renewed contract and all applicable laws and regulations.
(3) The Department's finding of fact, based upon the plan's past performance under its contract, that it does not have the ability to fulfill the terms of a renewed contract with the State.
(b) The Director shall have final discretionary authority in the renewal of any plan contract.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14303.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53508. Mergers or Reorganizations.
Note     •     History

(a) The Department may approve plan contract amendments relating to mergers or reorganizations if, in addition to satisfying the conditions of Section 14303.1 or 14303.2, Welfare and Institutions Code as applicable, the following conditions are satisfied:
(1) The surviving organization meets the requirements of Section 53124.
(2) The information required by Section 53500 is submitted for the surviving organization.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14300, 14303.1 and 14303.2, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Amendment of subsection (a)(6) filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
3. Amendment filed 10-26-84; effective thirtieth day thereafter (Register 84, No. 43).
§53510. Reorganizations and Intraplan Mergers.
Note     •     History

NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14300 and 14303.2, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-10-79; effective thirtieth day thereafter (Register 79, No. 50). For prior history, see Register 78, No. 27.
2. Amendment filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
3. Repealer filed 10-26-84; effective thirtieth day thereafter (Register 84, No. 43).
§53518. Prehearing Requirements.
Note     •     History

(a) Each prepaid health plan submitting a proposal for an initial contract and each plan wishing to renew its contract or merge with another plan shall submit a formal proposal pursuant to Section 53500 to the Department at least 150 days prior to the date of the initial contract, renewal or merger.
(b) The Department shall complete its review of the proposal within 30 days after its receipt. The Department shall notify the plan within 30 days after receipt of the proposal of any deficiencies in the proposal. The plan shall supply any additional information requested by the Department in the deficiency notification within 15 days after notification of deficiencies by the Department.
(c) The Department shall publish a public notice in accordance with the provisions of Section 53520. 
(d) At least five working days prior to the date of a public hearing, the Department shall make available to the plan and to the public all information which it intends to present at the hearing. This information shall be provided directly to the plan. In addition, information shall be made available to the public by making one or more copies available for public inspection in a public building within the service area of the plan. The location of such public building and the availability of such information shall be included in the notice of public hearing sent to plan members and to interested members of the general public.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14300, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53520. Public Notice and Public Hearings.
Note     •     History

(a) The Department shall publish a public notice at least 120 days prior to:
(1) Entering into an initial or renewed contract.
(2) Amending an existing contract for the purpose of:
(A) Reducing the scope or availability of services provided by the prepaid health plan.
(B) Enlarging the service area of the prepaid health plan.
(C) Increasing the maximum enrollment permitted under the contract.
(D) Making any other change in the plan's organization, operation or delivery of services which, in the Department's estimation, will have a substantial impact on the ability of enrollees to obtain health care services.
(b) The public notice shall appear in at least two major newspapers of general distribution in the service area of the prepaid health plan.
(c) Any person may request that a public hearing be held. The written request shall be:
(1) Received by the Department no later than 30 calendar days after publication of the notice of intent to contract; and
(2) Accompanied by an explanation of the reason for the request and a description of problems or questions regarding the plan's ability to meet its contractual obligations.
(d) The Director shall determine whether the request for hearing is reasonable and shall notify the person requesting a hearing of the determination. A request shall be considered reasonable if, in the Department's estimation, the request raises previously unaddressed problems or poses previously unaddressed questions regarding the plan's ability to meet its contractual obligations.
(e) A public hearing shall be held by the Department if it determines that the request for hearing is reasonable and warrants a full public hearing.
(f) Public hearings held pursuant to Section 14300, Welfare and Institutions Code, shall be conducted within the service area of the plan.
(g) Notification of the time, date and place of the public hearing shall be placed in at least one general circulation newspaper distributed within the service area of the plan at least 15 calendar days prior to the hearing. The Department shall mail a notification of the time, date and place of the hearing to the following:
(1) The organization applying for a contract, contract renewal or merger.
(2) Members of the plan on which the hearing is being held.
(3) Any interested party who requests notification of such public hearings.
(4) Those public interest groups, consumer advocate groups or professional associations within the service area which may be affected by the contract and for which the Department has the name and address of the organization or a responsible party therefrom.
(5) The person requesting the hearing.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Sections 14300 and 14303, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (b), (d), (e) and (f) filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer and new section filed 9-22-82; effective thirtieth day thereafter (Register 82, No. 39).
§53522. Public Hearing Process.
Note     •     History

(a) The Department shall prepare the agenda for the hearing and an informational attachment to the agenda, translated into languages appropriate to the plan's actual or potential membership. The informational summary shall serve to provide the public hearing audience with background material on the plan.
(b) Each public hearing shall be presided over by a duly authorized hearing officer.
(c) The hearing officer shall present an oral statement designed to inform the public of the authority and purpose for holding the hearing, to explain how the hearing will be conducted, to provide the public with directions on presenting testimony and to solicit testimony from the public.
(d) Departmental management, fiscal and medical audit information on the plan shall be introduced at the hearing. A representative from the Department shall introduce and summarize all of the documents to be entered into the public hearing record by the Department.
(e) The plan's representative shall introduce and summarize any documentation which it desires to have entered into the public hearing record. All charts and other presentation material shall be in a size or format specified by the Department.
(f) Public input from the audience shall be made on the basis of the order in which an identification card for persons wishing to make a presentation is received by the hearing officer. All persons wishing to testify or ask questions shall be afforded that opportunity. The plan and the Department shall have a sufficiently broad representation of personnel in attendance to answer questions asked by interested parties.
(g) Witnesses at the hearing shall not be subject to questioning except under the following conditions:
(1) Representatives of the plan shall be subject to questioning by representatives of the Department. In addition, members of the public may direct questions to representatives of the plan under such conditions and pursuant to such procedures as may be determined by the hearing officer.
(2) Representatives of the Department shall be subject to questioning by representatives of the plan. In addition, members of the public may direct questions to representatives of the Department under such conditions and pursuant to such procedures as may be determined by the hearing officer.
(3) Expert witnesses giving testimony either favorable or unfavorable to the plan may be subject to questioning under such conditions and pursuant to such procedures as may be determined by the hearing officer.
(4) The hearing officer may ask questions of any person giving testimony.
(h) Testimony at the hearing shall not be given under oath.
(i) The hearing officer shall close the public hearing when there are no more requests to present oral statements or questions. In the event that there is relevant evidence, which in the exercise of reasonable diligence could not have been produced at the public hearing, the hearing officer may in his discretion continue the hearing for the submission of such evidence or may provide for the submission of such evidence pursuant to such procedures as he deems appropriate.
(j) The hearing officer shall make a proposed finding of fact, based only upon such evidence as is contained in the public hearing record, regarding the plan's compliance with its previous contract obligations, when applicable, and its ability to comply with its proposed contract obligations.
(k) The proposed finding of fact by the hearing officer shall be utilized by the Department in its decision process for contract approval or denial.
NOTE

Authority cited: Section 14312, Welfare and Institutions Code. Reference: Section 14300, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 2-2-83 (Register 83, No. 6).
Article 6. Conflict of Interest
§53600. Prohibitions Against Contracting.
History

(a) A plan contract shall not be approved or renewed by the Department if any state officer or state employee or his spouse or his minor children has a substantial financial interest in (1), (2) or (3). For the purposes of this subsection, state employee includes any Department employee in an analyst, auditor or medical personnel classification who has direct responsibility for the negotiation, development or management of a prepaid health plan contract.
(1) The contract or the contracting organization.
(2) Any contract with the contracting organization.
(3) Procurement of a contract for the contracting organization.
(b) A prepaid health plan contract shall not be approved or renewed if a state officer or state employee provides legal or management services to the contracting organization. A state officer or state employee shall not share in the income or any remuneration derived from the provision of legal or management services to a contracting organization.
(c) A prepaid health plan contract shall not be approved or renewed if any state officer or state employee receives anything of value for the purpose of influencing or attempting to influence the negotiations for approval or renewal of the contract.
(d) A plan shall not contract with any subcontractor if any of the following persons connected with the plan have a substantial financial interest in the subcontractor:
(1) Any person also having a substantial financial interest in the plan.
(2) Any director, officer, partner, trustee or employee of the plan.
(3) Any member of the immediate family of any person designated in (1) or (2).
(e) The prohibition in subsection (d) shall not apply to the plan's subsidiary corporation, its parent corporation, another subsidiary of its parent corporation or with an affiliate of the plan if combined or consolidated financial statements including these entities are prepared at the time of the annual audit required in Section 53340 and at the time of filing quarterly reports required by Section 53324.
(f) A prepaid health plan contract shall not be approved, renewed or continued by the Department if a state officer or state employee is employed in a management or consultant position by the contractor or subcontractor within one year after the state officer or state employee terminated state employment.
(1) For purposes of this subsection, state employee means any appointive or civil service employee of the Department or the Health and Welfare Agency at the unit chief level or higher who, within two years prior to leaving state employment, was employed in the Alternative Health Systems Program.
(2) Employees of the Department who are assigned as auditors or analysts which are not directly responsible for the development, negotiations, contract management or direct supervision of prepaid health plans shall not be subject to the provisions of this section.
(3) Employees of the Department who are assigned as contract managers shall not be subject to the provisions of this subsection unless they are employed by a prepaid health plan or a contractor of the prepaid health plan for which, within two years prior to leaving state employment, they were responsible for development, negotiations, contract management or direct supervision of that prepaid health plan contract.
(4) This subsection shall not apply to any employee, appointee or person on contract with the Department who is employed, appointed or contracted with by the Department to fulfill:
(A) The purposes of a federal grant provided that such person does not supervise, develop, manage or negotiate a prepaid health plan contract.
(B) A specific function for the Department, on a temporary basis not to exceed 120 days, which does not include supervising, developing, managing or negotiating a prepaid health plan contract.
HISTORY

1. Amendment filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
§53601. Disclosure Statements.
Note     •     History

NOTE

Authority cited: Sections 14124.5 and 1431, Welfare and Institutions Code. Reference: Sections 14201, 14251, 14256, 14261, 14262 (a) (b) (c), 14300, 14301, 14302, 14303, 14303.1, 14303.2, 14304, 14308, 14312, 14402, 14405, 14406 (a) (b), 14408 (d), 14409 (a) (b), 14410, 14411 (a) (b), 14412, 14413, 14450, 14451, 14451.5 (a) (b), 14452, 14452.5, 14454, 14455, 14456, 14459, 14460, 14475, 14476, 14477, 14478, 14479, 14480, 14481 and 14482, Welfare and Institutions Code.
HISTORY

1. New section filed 7-5-78; effective thirtieth day thereafter (Register 78, No. 27).
2. Repealer filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
Article 7. Emergency Services Claims Disputes
§53620. General Provisions.
Note     •     History

(a) The provisions of this article shall establish the procedures for Department resolution of disputes concerning payment for emergency services rendered by non-plan providers to prepaid health plan members who are Medi-Cal beneficiaries.
(b) The procedures established in this article may be used to resolve disputes which meet all of the following requirements:
(1) Arise out of services rendered after September 28, 1977.
(2) Have not previously been resolved and are not presently the subject of litigation or arbitration.
(3) Involve plans with current, active contracts with the Department.
(c) Nothing in this article shall be construed to give rise to any right of action or other claim against the Department.
(d) Prepaid health plans and nonplan providers shall not bill prepaid health plan members for services which are or have been the subject of review pursuant to this article.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. New Article 7 (Sections 53620-53702, not consecutive) filed 6-12-79; effective thirtieth day thereafter (Register 79, No. 24).
2. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53622. Definitions.
Note     •     History

(a) The following definitions shall govern the construction of this article unless the context or subject matter otherwise requires:
(1) “Day” means a calendar day.
(2) “Dispute” means a dispute concerning payment for care under emergency circumstances provided to plan members by nonplan providers.
(3) “Emergency services” or “care under emergency circumstances” means those health care services required for alleviation of severe pain or immediate diagnosis and treatment of unforeseen medical conditions which if not immediately diagnosed and treated would lead to disability or death. Such emergency is deemed to continue until:
(A) In reasonable medical judgment, the patient's condition has stabilized sufficiently so as to permit either:
(1) Discharge, or
(2) Referral and transfer of the patient, in accordance with instructions from the patient's plan, to such level of treatment or care as may be appropriate, and
(B) A reasonable time within which to complete such discharge, or referral and transfer. 
(4) “Party” means the provider, the plan or any person, other than an officer or employee of the Department acting in an official capacity, who has been allowed to appear in the proceeding.
(5) “Provider” means a nonplan provider who files a claim against a plan for emergency services in accordance with this article.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a)(3) filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53624. Claims Filing.
Note     •     History

(a) A provider may submit a dispute to the Department by filing a claim accompanied by a copy of the proof of service of the claim on the plan.
(b) A claim and proof of service shall be filed within 120 days after the dispute arose.
(c) For the purposes of this article, a dispute is deemed to arise upon the occurrence of the earlier of the following events:
(1) A plan sends notice of rejection or reduction of a demand for payment for care under emergency circumstances. In this case, the dispute arises on receipt of the notice by the provider.
(2) A plan fails to pay a demand for payment for care under emergency circumstances within 60 days after the demand was properly mailed to the plan.
(d) No claim shall be filed or prosecuted by an assignee of the claim.
(e) A claim shall not be accepted for filing concerning any dispute in which the demand for payment was made more than two years after the termination of the provider's services.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 35).
2. Editorial correction of subsection (c)(1) (Register 2006, No. 20).
§53626. Filing and Service.
Note     •     History

(a) All papers shall be filed at the State Department of Health Services, Office of Legal Services, 714 P Street, Sacramento, CA 95814, and shall be deemed filed as of the postmark date, or receipt by the Department, if no legible postmark is provided.
(b) Service may be accomplished and proved by:
(1) Ordinary mail, postage fully prepaid, and the execution of a declaration of service by mail, made under penalty of perjury.
(2) Any means authorized by law for use in civil actions.
(c) Proof of service shall include the following information stated under penalty of perjury to be true:
(1) The name of the patient to which the served document pertains.
(2) Specific identification of each document served.
(3) The identity of the person or party served, the date of service and address to which service was tendered.
(d) Except as may otherwise be provided in this article, all documents and papers filed by a provider hereunder shall be properly served on the plan. Each plan shall keep its State contract officers apprised of the identity and address of the person authorized to accept such service on behalf of the plan. A plan shall also provide this information in writing upon request to provider representatives.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53628. Claim Content.
Note     •     History

(a) The claim shall be entitled “Emergency Services Claim” and shall contain the following information:
(1) The full name of the patient and whether such patient was a Medi-Cal beneficiary during the period of service.
(2) The title, name, and address of both the provider and the provider's authorized representative if any.
(3) The name and address of the prepaid health plan of which the patient was a member during the period of treatment, together with the present name and address of the plan.
(4) The period of treatment for which payment is requested.
(5) The date the dispute arose and the facts establishing such date pursuant to Section 53624. 
(6) The total amount claimed for the services provided.
(7) A statement that a demand upon the plan for payment for such services has been made by the provider, and the date and method of transmission of such demand.
(8) A statement setting forth all facts supporting the contention that the treatment given was an emergency service within the meaning of Section 53622. A mere statement that an emergency existed is not sufficient.
(9) A statement of facts showing that the patient could not have been transferred to the care of the prepaid health plan during the period claimed.
(10) A statement that the dispute has not previously been resolved, is not the subject of pending litigation, arbitration, or billing to Medi-Cal.
(11) A statement that the provider has supplied to the plan copies of all medical records or other supporting documents on which the provider relies, in accordance with paragraph (d).
(b) Legible copies of the following documents shall, if in provider's possession or under provider's control, be submitted as attachments to the claim:
(1) A copy of any document from the prepaid health plan rejecting or reducing the provider's demand; 
(2) A copy of the provider's demand for payment itemizing the services provided.
(3) A copy of the proof of service required by Section 53624.
(c) The claim shall:
(1) Be dated and signed by the provider or the provider's authorized representative.
(2) Designate an individual and an address for the service of any and all papers relating to proceedings conducted under this article.
(d) The provider shall attach copies of all medical records, or other supporting documents on which the provider relies, to the copy of the claim which the provider serves upon the plan in accordance with Section 53624.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53630. Dismissal After Notice of Defective Claim.
Note     •     History

(a) The hearing officer shall notify the provider of any defects if the hearing officer finds that the claim fails to conform with the requirements of Sections 53620, 53624, and 53628. The provider shall have 60 days from the date of mailing of the notice within which to file and serve a corrected claim. The claim shall be dismissed upon the provider's failure to file a timely corrected claim with proof of service.
(b) A claim shall not be dismissed for the late filing or service if, prior to the issuance of a decision in the matter:
(1) The provider shows good cause for the late filing or service.
(2) The parties have stipulated in writing that the time may be extended.
NOTE

Authority cited: Section 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53632. Notice of Defense.
Note     •     History

(a) The plan shall file a response entitled, “Notice of Defense” which shall:
(1) Admit or deny, in whole or in part, each numbered portion of the claim. Matters not denied are deemed admitted. Denials may be based on a lack of information sufficient to identify the transaction or prepare a defense.
(2) Introduce new information in defense of the plan's position, if any.
(3) State the reasons for rejecting the claim.
(b) The Notice of Defense shall include copies of all supporting documents, if any.
(c) The Notice of Defense shall state any limitation of liability asserted by the plan according to Section 53698.
(d) The Notice of Defense shall:
(1) Be signed by or on behalf of the plan and shall contain the plan's address.
(2) Designate an individual and an address for the service of any and all papers relating to proceedings conducted under this article.
(3) State the name and address of the plan's authorized representative, if any.
(e) The plan, within 60 days after receiving service of a claim, shall:
(1) Serve a copy of the Notice of Defense on the provider.
(2) File the Notice of Defense and a copy of the proof of service with the Department.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53634. Defaults.
Note     •     History

(a) Failure to file a timely Notice of Defense and to serve a copy on the provider or failure to appear at a hearing shall be deemed a default and a waiver of the defaulting party's right to a hearing unless, prior to decision in the matter:
(1) The party shows good cause for the failure.
(2) All parties have stipulated in writing that the failure shall not be deemed a default.
(b) The hearing officer may, following a default:
(1) Render a decision based upon the defaulting party's express admissions, or upon other evidence.
(2) Receive affidavits as evidence without notice to the defaulting party.
(3) Render a decision against the defaulting party without receiving evidence or argument if the burden of proof is on the defaulting party.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) and repealer of subsection (c) filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53636. Amended or Supplemental Claims.
Note     •     History

(a) The provider may file and serve an amended or supplemental claim within 90 days of the original filing date, except where dismissal has been entered pursuant to Section 53630.
(b) The plan shall be given 45 days to file a response to any amended or supplemental claim.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53638. Consolidation of Claims.
Note     •     History

(a) The hearing officer may consolidate claims for hearing and decision involving the same parties upon notice to all parties, if parties agree or if no substantial right of any party will be prejudiced.
(b) When claims have been consolidated:
(1) A consolidated hearing may be held.
(2) A single record of the proceedings shall be made.
(3) Evidence introduced in one claim may be considered as introduced in the others.
(4) Separate or consolidated decisions shall be made, as appropriate.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53640. Additional Parties.
Note

The hearing officer may join other persons, upon their consent, as parties to the proceeding in order to resolve the issues and to render a decision. The hearing may be continued as necessary.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
§53642. Withdrawal or Settlement of Claim.
Note     •     History

(a) The provider may, by written request, withdraw a claim at any time prior to issuance of a decision. The hearing officer shall then issue a notice to the parties dismissing the claim.
(b) The parties may enter into a stipulated agreement settling the claim at any time prior to issuance of a decision. The stipulated agreement, signed by the parties, shall be submitted in writing to the hearing officer, who shall issue a decision and order, in accordance with Section 53691.
(c) Relief, in accordance with Section 53696, from a decision or order of settlement or dismissal, shall result in the reinstatement of a previously withdrawn or settled claim.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53644. Discovery.
Note     •     History

NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Repealer filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53646. Submissions.
Note     •     History

NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Repealer filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53648. Nondisclosure.
Note     •     History

NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Repealer filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53650. Expedited or Deferred Proceedings.
Note     •     History

NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Repealer filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53651. Small Claims Procedure.
Note     •     History

NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Repealer filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53652. Request for Hearing.
Note     •     History

(a) Within 20 days after the filing of a Notice of Defense, any party may file a request for a hearing. Each party may appear before the hearing officer, personally or by representative, and participate in the hearing if any party files a timely request for hearing.
(b) Each party shall be deemed to have waived the right to a hearing if a timely request for a hearing is not filed. The hearing officer may proceed to render a decision upon the written record, as provided in Section 53654.
(c) Where a hearing has not been requested, one may still be held upon a proper showing of good cause or at the discretion of the hearing officer.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53654. Decision on Written Record.
Note     •     History

(a) The hearing officer may render a proposed decision based on the record if all of the parties have waived their right to oral hearing.
(b) The hearing officer shall make a record of the relevant written evidence and argument. The parties, within the time limit specified by the hearing officer, may submit additional written argument and evidence.
(c) Such written evidence shall be considered as all of the evidence in the proceeding, and the decision shall be based thereon subject to the procedure set forth in Section 53692.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53656. Prehearing and Posthearing Conferences.
Note

(a) The hearing officer may order the holding of prehearing or posthearing conferences for the purpose of facilitating the disposition of the proceeding. Attendance may be by telephone conference call.
(b) The hearing officer may preside at the conference or may assign responsibility for the conduct of the conference to the medical consultant assigned to the hearing. Agreements and actions resulting from the conference shall become part of the hearing record and be binding upon all parties.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
§53658. Notice of Hearing.
Note     •     History

(a) The hearing officer shall schedule the matter for hearing upon the timely application of any party, or upon the hearing officer's own motion. Notice of hearing shall be served upon all parties at least 15 days prior to the date of the hearing unless the parties:
(1) Consent to shorter notice.
(2) Waive notice.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Repealer of subsection (b) filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53660. Time and Place of Hearing.
Note     •     History

(a) The Department shall determine the time and place of hearing. The scheduling of time and place of hearing shall be subject to the availability of Department staff.
(b) The hearing shall be held as soon as reasonably possible after any request for hearing, in accordance with Section 53652.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53662. Witnesses and Subpoenas.
Note     •     History

Each party shall arrange for the appearance of the witnesses called by that party. Subpoenas and subpoenas duces tecum shall be issued by the hearing officer in accordance with Section 11510, Government Code.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53664. Depositions.
Note

(a) The hearing officer, on application of any party, may order the deposition of a witness to be taken for use as evidence, but not for discovery, if:
(1) The witness cannot be compelled to attend the hearing.
(2) Other circumstances warrant such action.
(b) The deposition shall be taken in the manner prescribed by law for the taking of depositions in civil actions. The party who applies for the taking of the deposition of a person residing outside the State shall obtain the necessary order of the superior court, in the manner prescribed by law for like depositions in civil actions.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
§53666. Hearing Officer.
Note     •     History

(a) The hearing officer, designated by the Director, shall conduct proceedings on emergency claims disputes governed by this article.
(b) The hearing officer may:
(1) Administer oaths and affirmations.
(2) Issue subpoenas and subpoenas duces tecum authorized by this article.
(3) Determine the order in which evidence shall be received.
(4) Control the taking of evidence as appropriate to ascertain the facts and safeguard the rights of the parties.
(5) Rule on offers of proof.
(6) Question any witness and call and examine additional witnesses in order to fully develop the hearing record.
(7) Dispose of procedural requests or similar matters.
(8) Take other action authorized by law.
(c) The hearing officer shall voluntarily withdraw and be disqualified from any proceedings in which the hearing officer:
(1) Cannot give a fair or impartial hearing.
(2) Has an interest.
(d) Any party may request the disqualification of a hearing officer by filing an affidavit stating in detail the grounds for disqualification. The Department's Chief Counsel shall investigate the allegations and render a written decision, copies of which shall be mailed to all parties. The Chief Counsel need not investigate or respond to the allegations if the Director designates another hearing officer.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53668. Medical Consultant.
Note     •     History

(a) The hearing officer may be assisted by a medical consultant employed by the Department. The medical consultant shall have expertise or qualifications appropriate to the subject matter of the dispute, when possible.
(b) The medical consultant shall:
(1) Investigate and review the subject matter of the dispute, as directed by the hearing officer.
(2) Submit a written report of the resulting opinions, findings or conclusions. A copy of the report shall be:
(A) Entered in the hearing record.
(B) Provided to each party.
(c) The medical consultant may:
(1) Question any witness, during the hearing, in order to fully develop the hearing record.
(2) Be called and examined as the witness of the hearing officer.
(3) Be called by any party and examined, as if on cross-examination, if the medical consultant does not otherwise testify.
(d) The medical consultant may submit additional reports, as may be appropriate, if the hearing record is held open for the introduction of additional evidence. The parties shall have the opportunity for rebuttal in accordance with Section 53670.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (d) filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53670. Evidence Rules.
Note     •     History

(a) Oral evidence shall be taken only on oath or affirmation.
(b) Each party shall have the right to:
(1) Call and examine witnesses.
(2) Introduce exhibits.
(3) Cross-examine opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination.
(4) Impeach any witness regardless of which party first called the witness to testify.
(5) Rebut any evidence.
(c) The hearing need not be conducted according to technical rules relating to evidence and the witnesses. Evidence shall be admitted if it is relevant and of the nature which responsible persons are accustomed to rely upon in the conduct of serious affairs. Evidence may be admitted regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions. The hearing officer shall determine the weight to be accorded any admissible evidence.
(d) Hearsay evidence that is admitted may be used for the purpose of supplementing and explaining other evidence. Hearsay evidence shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions.
(e) Unduly repetitious evidence may be excluded.
(f) The rules of privilege shall be effective to the extent required by law.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53672. Affidavits As Evidence.
Note

An affidavit shall have the same effect as oral testimony if the party wishing to introduce the affidavit complies with Section 11514, Government Code.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
§53674. Official Notice.
Note

The hearing officer may take official notice of generally accepted technical or scientific matter within the Department's special field or facts which may be judicially noticed by the courts of this State, in accordance with Section 11515, Government Code.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
§53676. Hearing Procedure.
Note     •     History

(a) The hearing shall be open to the parties and to such other persons as the hearing officer may deem necessary and proper.
(b) Oral testimony shall be taken only on oath or affirmation.
(c) Each party shall have the right to:
(1) Be represented by counsel.
(2) Call and examine witnesses.
(3) Introduce exhibits.
(4) Cross-examine opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination.
(5) Impeach any witness regardless of which party first called the witness.
(6) Rebut any evidence presented.
(d) The hearing officer shall preside over and regulate the conduct of the hearing.
(e) The hearing shall be conducted in the English language.
(1) Proponents of any testimony to be offered by a witness who does not speak proficient English shall provide an interpreter.
(2) The interpreter must be accepted by the hearing officer as proficient in the English language and the language of the witness.
(3) The party providing the interpreter shall pay the costs of the interpreter.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (d) and (e) filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53678. Record of Hearing.
Note     •     History

A complete record of the proceedings at the hearing shall be made by electronic recording. The parties may obtain copies of the recording or any transcript, at cost and on reasonable notice.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53680. Joint Hearings.
Note     •     History

NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Repealer filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53682. Severance of Issues.
Note     •     History

NOTE

Authority cited: Sections 1412 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Repealer filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53684. Oral and Written Argument.
Note     •     History

(a) The hearing officer shall permit oral argument, at the request of any party, and determine the manner and duration of argument. Written argument may be permitted at the request of any party. The parties shall be advised concerning the time and manner for filing written arguments.
(b) The hearing officer may, at any time, direct the parties to file written briefs or memoranda discussing any or all issues raised by the proceedings.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53686. Continued Hearings.
Note     •     History

(a) The hearing officer, prior to issuance of a proposed decision in the matter, may continue or reopen a hearing:
(1) On the hearing officer's own initiative.
(2) At the request of any party only upon a showing of good cause.
(b) Notice of the time and place of the continued hearing:
(1) May be oral if the continuance is ordered during a hearing session.
(2) Shall be in writing to all parties, in accordance with this article, if ordered outside a hearing session.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53688. Additional Evidence.
Note     •     History

NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Repealer filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53690. Burden of Proof.
Note

(a) The provider shall bear the burden of proving, by a preponderance of the evidence, all facts supporting entitlement to relief.
(b) The plan shall bear the burden of proving, by a preponderance of the evidence, all facts presented in defense against the claim.
(c) The party bearing the burden of proof of a particular fact shall initially bear the burden of producing evidence of that fact.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
§53691. Decisions by the Hearing Officer.
Note     •     History

(a) The hearing officer may issue a decision or order in accordance with paragraph (b) which shall be final. The hearing officer shall be deemed to act for and on behalf of the Director. The decision shall recite the Director's name as the signatory of such decision, in the following form: “(Name of Director), Director of Health Services, by (signature of hearing officer), Hearing Officer.”
(b) Decisions by the hearing officer may be issued pursuant to this section, if:
(1) The hearing officer finds that the claim should be dismissed, pursuant to Section 53630.
(2) A claim has been withdrawn or settled, pursuant to Section 53642.
(3) Either party defaults in accordance with the provisions of Section 53634.
(c) Relief from any decision or other final action of a hearing officer pursuant to this section may be had in accordance with the provisions of Section 53696.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. New section filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53692. Decision.
Note     •     History

(a) The hearing officer shall submit a proposed decision to the Director in writing within 60 days after the record has been closed. The proposed decision shall contain findings of fact, a determination of the issues presented, and an order.
(b) The Director may take any of the following actions within 30 days after submission of the hearing officer's proposed decision:
(1) Adopt the proposed decision.
(2) Reject the proposed decision and order that a new proposed decision be prepared based upon the record.
(3) Direct the hearing officer to reopen the hearing for the taking of further evidence and the preparation of a new proposed decision.
(c) The decision adopted by the Director shall:
(1) Be delivered to each party personally or sent to them by certified or registered mail.
(2) Become effective 30 days after it is delivered or mailed to the parties, unless a reconsideration is ordered within that time.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53694. Reconsideration.
Note     •     History

(a) Reconsideration of all or part of a decision, may be ordered by the Director within 30 days after the delivery or mailing of a decision to the parties.
(b) Reconsideration may be ordered on the Director's own motion or on the petition of any party to the action. The petition shall be deemed denied if no action is taken within 30 days.
(c) Reconsideration of a case by the Director may be on all pertinent parts of the record, and such additional evidence and argument as may be permitted.
(1) As an alternative, the case may be assigned to a hearing officer designated by the Director.
(2) A reconsideration assigned to a hearing officer shall be subject to the procedure provided in Section 53692.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53696. Relief from Decision or Order.
Note

(a) The Director, upon written application, may relieve a party from a decision, order or other proceeding for any of the following:
(1) Fraud, misrepresentation or other misconduct on the part of any party or the Department.
(2) Newly discovered evidence which could not have been discovered earlier.
(3) Circumstances beyond the control of the party.
(4) Any other good cause.
(b) The written application shall be filed with the Department and served upon any other party involved, within 15 days following discovery of the grounds for relief, and not later than 180 days after the decision, order or other proceeding was issued or taken.
(c) Opposing parties may file a response to the application for relief within 15 days following receipt of service.
(d) The Director shall, in writing and to all parties:
(1) Acknowledge receipt of the application, and set the date for any hearing deemed necessary, within 10 days following receipt of the application.
(2) Provide a decision on the application within 30 days following receipt of the application or upon completion of any hearing held.
(e) The Director may assign the decision on the application to a hearing officer designated by the Director, subject to the procedure provided in Section 53692.
(f) The decision of the Director shall be final and shall not be subject to further administrative appeal.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
§53697. Judicial Review.
Note     •     History

Any party to an administrative adjudication covered by Article 7 may obtain judicial review of the Director's decision by seeking a writ of mandate, in accordance with Section 11523, Government Code.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-11-85; effective thirtieth day thereafter (Register 85, No. 41).
§53698. Standard of Liability.
Note     •     History

(a) The plan's financial liability to the provider, if any, shall not exceed the lower of the following rates applicable at the time the services were rendered by the provider:
(1) The usual charges made to the general public by the provider.
(2) The fee-for-service rates for similar services under the Medi-Cal program. Upon determination of the plan's liability, if no final rate has been established for a provider for the period and type of services in question, then the applicable interim rate shall be used for final determination of plan liability.
(b) The amount demanded shall be presumed to be correct, and the provider shall be entitled to the full amount demanded in its claim should it prevail, unless the plan files a Notice of Defense, pursuant to Section 53632, which places the amount of the provider's demand for payment in issue.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
§53700. Liquidation of Liability.
Note

(a) A plan determined to be financially liable to the provider, shall within 30 days of the effective date of the decision:
(1) Reimburse the provider for the full amount of the determined liability.
(2) Provide proof of reimbursement in such form as the Director may require.
(b) Any amount of liability for which proof of reimbursement is not provided within the 30-day period shall be deemed unpaid. The Director shall arrange to offset any unpaid liability, in accordance with Section 53702.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
§53702. Liability Offset.
Note     •     History

(a) The Director shall consult with the plan in developing a schedule for offset of any unpaid liability against future capitation payments.
(b) The schedule shall be developed to minimize the impact of offset on the plan's cash flow. An individual claim shall not be liquidated by offset against fewer than two nor more than six of the next monthly capitation payments.
(c) The offset from each capitation payment shall be immediately forwarded to the appropriate provider.
NOTE

Authority cited: Sections 14312 and 14454, Welfare and Institutions Code. Reference: Section 14454, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-3-82; effective thirtieth day thereafter (Register 82, No. 36).
Chapter 4.1. Two-Plan Model Managed Care Program
Article 1. General Provisions
§53800. General Provisions.
Note     •     History

(a) In regions designated by the department, health care services to eligible Medi-Cal beneficiaries shall be provided through no more than two prepaid health plans.
(b) The two prepaid health plans in the designated regions shall be selected as follows:
(1) The department shall award one contract through a competitive bid process.
(2) The department shall award one contract to a prepaid health plan which is:
(A) Organized by the county government(s) or by stakeholders of a region designated by the director under the Two-Plan Model, or
(B) Designated by the county government(s) or by stakeholders of a region designated by the director under the Two-Plan Model, and approved by the department at the department's sole discretion.
(C) As a condition of contract award, the prepaid health plan shall agree:
(1) To include in its health care delivery system under the contract any safety net provider as defined in subsection 53810(hh) physically located and operating within the designated region, as defined in subsection 53810(m), that is willing to agree to provide services under the same terms and conditions that the plan requires of any other similar provider to be included in the health care delivery system under the contract, and
(2) To establish participation standards for any provider of medical or hospital services, physically located and operating within the region, that will ensure the opportunity for substantial participation of traditional Medi-Cal providers, as defined in subsection 53810(jj), in the health care delivery system under the contract. Nothing in this subsection shall be construed to prevent federally qualified health centers from requesting cost-based reimbursement consistent with federal law in seeking to enter into a subcontracting relationship with a plan in a designated region.
(3) If no health care service plan is willing or able to contract with the department pursuant to subsection (2), the department may award two contracts pursuant to subsection (1). The two prepaid health plans shall agree to offer subcontracts to safety net providers physically located and operating within the designated region in accordance with policies developed by each prepaid health plan and approved by the department prior to commencement of plan operation.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14201, Welfare and Institutions Code.
HISTORY

1. New article 8 (sections 53800-53830) and section filed 5-14-93 as an emergency; operative 5-14-93. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 93, No. 20).
2. Repealer of article 8 heading, new chapter 4.1 and article 1 headings, and amendment of subsections (a) and (b)(3) filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
3. Amendment filed 10-30-96 as an emergency; operative 10-30-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 46).
4. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
5. Amendment of subsection (b)(2)(C)(1) filed 10-1-97 as an emergency; operative 10-1-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 40).
Article 2. Definitions
§53810. Definitions.
Note     •     History

The following definitions shall be used throughout this chapter unless the context requires otherwise.
(a) Affiliate means an organization or person that, directly or indirectly through one or more intermediaries, controls, or is controlled by or is under common control with, a plan, and that provides services to, or receives services from, a plan.
(b) American Indian means any person who is eligible under federal law to receive health services provided directly by the United States Department of Health and Human Services, Indian Health Service (IHS) or by a tribal or urban Indian health program funded by IHS to provide health services to eligible individuals either directly or by contract. The definition includes members of an American Indian's household.
(c) Assignment means the actions taken by the Health Care Options Program to enroll an eligible beneficiary into a plan, in the absence of a selection made by the beneficiary. Assignment also means action by a plan to assign a member to a primary care physician in the absence of a selection made by the member.
(d) Capitated service means a medical service for which a plan is compensated in its fixed monthly per member rate.
(e) Caseload means the number of Medi-Cal beneficiaries in mandatory aid categories in a given month.
(f) Case Management means services provided by a primary care provider/physician to ensure the coordination of medically necessary health care services, assuring the provision of preventive services in accordance with established standards and periodicity schedules and ensuring continuity of care for Medi-Cal members. It includes health risk assessment, treatment planning, coordination, referral, follow-up, and monitoring of appropriate services and resources required to meet an individual's health care needs.
(g) Commercial plan means the prepaid health plan in a designated region awarded a contract by the department pursuant to section 53800(b)(1).
(h) Commercial plan enrollment maximum means the enrollment level established by the department pursuant to section 53820(b).
(i) Contract means the written agreement entered into between a prepaid health plan and the department to provide health care services to plan members in a designated region.
(j) Contract maximum means the maximum enrollment level established by the terms of a prepaid health plan or PCCM plan contract.
(k) Contracted capacity means the number of Medi-Cal beneficiaries in the mandatory aid categories a prepaid health plan has either contracted with the department to enroll and serve in a region, or has committed to enter a prepaid health plan contract with the department to enroll and serve in a region.
(l) Department means the Department of Health Services.
(m) Designated region means that geographic area designated by the director within which a plan is approved by the department to provide services to Medi-Cal beneficiaries pursuant to a contract authorized by Welfare and Institutions Code Section 14087.3. The designated regions shall be within, between, or among the counties of Alameda, Contra Costa, Fresno, Kern, Los Angeles, Riverside, San Bernardino, San Francisco, San Joaquin, Santa Clara, Stanislaus, Tulare, and any other county, with the approval of the Director, which may elect to participate in accordance with the provisions of this regulation.
(n) Disproportionate share hospital (DSH) means any hospital receiving payments as provided in Welfare and Institutions Code Section 14105.98.
(o) Eligible beneficiary means a person who resides in an area covered by the Two-Plan Model Managed Care Program, who has been determined eligible to receive Medi-Cal services, whose scope of Medi-Cal benefits is not limited, and meets the enrollment criteria as specified in section 53845.
(p) Enrollment level means the number of Medi-Cal beneficiaries enrolled in a plan.
(q) Fair hearing means an administrative hearing conducted by the State relating to Medi-Cal eligibility or benefits, pursuant to sections 50951 through 50955, 51014.1, 51014.2, and 53894.
(r) Federally qualified health means centers means an entity which:
(1) Is receiving a grant under section 330 of the Public Health Service Act; or
(2) Is receiving funding from such a grant under a contract with the recipient of such a grant, and meets the requirements to receive a grant under section 330 of such Act; or
(3) Based on the recommendation of the Health Resources and Services Administration within the Public Health Service, is determined by the Secretary of Health and Human Services to meet the requirements for receiving such a grant; or
(4) Was treated by the Secretary, for purposes of Part B of title XVIII, as a comprehensive federally funded health center as of January 1, 1990; and
(5) May be an outpatient health program or facility operated by a tribe or tribal organization under the Indian Self-Determination Act (Public Law 93-638) or by an urban Indian organization receiving funds under title V of the Indian Health Care Improvement Act for the provision of primary health services.
(s) Health Care Options Program means the entity providing Medi-Cal managed care and fee-for-service options presentations, managed care plan enrollment and disenrollment activities, and managed care related problem resolution functions in designated regions.
(t) Indian Health Service facility means a tribal or urban Indian organization operating health care programs or facilities with funds from the Department of Health and Human Services, IHS, appropriated pursuant to the Indian Health Care Improvement Act (25 U.S.C. section 1601) or the Snyder Act (25 U.S.C. section 13).
(u) Initial health assessment means an assessment conducted by the plan of a member's medical health status.
(v) Local initiative means the prepaid health plan which is organized by a county government or by county governments of a region designated by the director, or organized by stakeholders of the designated region, and awarded a contract by the department pursuant to section 53800(b)(2).
(w) Local initiative enrollment minimum means the total number of Medi-Cal beneficiaries in the mandatory aid categories in the designated geographic area less the maximum enrollment level established pursuant to section 53820.
(x) Mandatory aid categories means the Medi-Cal aid categories of Public Assistance-Aid to Families with Dependent Children, as described in section 1931 of the Social Security Act (42 United States Code, section 1396) as added by the Personal Responsibility and Work Opportunity Reconciliation Act of 1996. Medically Needy-Family (Aid to Families with Dependent Children) with No Share of Cost, as described in section 1931 of the Social Security Act (42 United States Code, section 1396) as added by the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, and Medically Indigent Children with No Share of Cost, which will be required to enroll in a prepaid health plan under the two-plan model.
(y) Maximum enrollment means the maximum commercial plan enrollment level at which the commercial plan ceases to receive default assignment enrollments as provided under this Chapter.
(z) Member means an eligible beneficiary who is enrolled in a plan.
(aa) Nondesignated region means any geographic region of California other than a designated region or the counties of Orange, Sacramento, San Mateo, Santa Barbara, Santa Cruz, or Solano. Unless other geographic boundaries are established by the department, region shall mean a single county.
(bb) Ombudsman means the individual within the department who investigates and resolves complaints about managed care made by, or on behalf of, Medi-Cal beneficiaries.
(cc) Plan means a prepaid health plan that has entered into a contract with the department.
(dd) Prepaid Health Plan (PHP) means a health care service plan licensed pursuant to the Knox-Keene Health Care Service Plan Act of 1975, which has entered into a contract with the department on a capitated rate basis to arranger for the provision of health services to eligible beneficiaries in a designated region.
(ee) Primary Care Case Management (PCCM) plan means a primary care provider or other entity who has entered into a contract to provide health care services under the provisions of article 2.9 commencing with section 14088, Welfare and Institutions Code.
(ff) Primary care physician means a physician who has the responsibility for providing, or for supervising nonphysician medical practitioners providing integrated services addressing a large majority of personal health care needs sustained over time; for maintaining and coordinating the continuity of member care, and for initiating referrals for specialist care. A primary care physician is a physician in general practice or is a board certified or board eligible internist, pediatrician, obstetrician/gynecologist, or family practitioner.
(gg) Primary care provider means a person responsible for coordinating and providing primary care to members, within the scope of their license to practice, for initiating referrals and for maintaining continuity of care. A primary care provider may be a primary care physician or nonphysician medical practitioner including a nurse practitioner, certified nurse midwife or physician assistant.
(hh) Safety net provider means any provider of comprehensive primary care or acute hospital inpatient services that provides these services to a significant total number of Medi-Cal and charity and/or medically indigent patients in relation to the total number of patients served by the provider.
(ii) Service site means the location designated by a plan at which a member receives primary care physician services.
(jj) Traditional provider means any physician who has delivered services to Medi-Cal beneficiaries within the last six months; this notwithstanding, local initiatives or commercial plans may establish their own policies and participation standards for the inclusion of traditional providers in their provider networks. Policies and participation standards established pursuant to this subsection shall be consistent with those required under section 1915(b)(4) of the Social Security Act.
(kk) Transition period means, for each designated region, the period beginning April 1, 1993 through the date the two-plan model becomes operational in the region.
(ll) Two-plan model means the health care delivery system described in section 53800, which will consist, in most cases, of a commercial plan and a local initiative.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4, 14105.98, 14201 and 17000, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-93 as an emergency; operative 5-14-93. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 93, No. 20).
2. New article 2 heading and amendment of section and Note filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
3. Amendment of subsections (j), (s) and (bb) and repealer of subsections (bb)(1)-(4) filed 10-30-96 as an emergency; operative 10-30-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 46).
4. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
Article 3. Maximum Enrollment Levels
§53820. Maximum Enrollment Levels.
Note     •     History

(a) The department shall implement the two-plan model in regions designated by the department, pursuant to section 53800.
(b) For each designated region, the department shall establish a maximum enrollment level of Medi-Cal beneficiaries in the mandatory aid categories for the commercial plan under the two-plan model, which will consider the following factors:
(1) The number of inpatient days qualifying for DSH supplemental payments as the surrogate measure for services provided by all safety net providers in the region.
(2) The impact of the enrollment of Medi-Cal beneficiaries in the commercial plan on supplemental DSH payments, to the extent that inpatient days provided to members of the commercial plan will be diverted from safety net providers.
(3) The number of acute inpatient hospital days attributable to the Medi-Cal beneficiaries not enrolled in prepaid health plans or PCCM plans.
(4) The acute inpatient hospital utilization rate for Medi-Cal beneficiaries in the mandatory aid categories.
(5) The enrollment levels of both plans of the two-plan model necessary to ensure true beneficiary choice between plans and among providers within the two plans.
(6) The hospital inpatient care contracts the commercial plan may have with disproportionate share hospitals.
(7) An agreement between a local initiative and commercial plan in a designated region regarding local initiative minimum and commercial plan maximum enrollment levels.
(c) The process for setting the maximum enrollment level for the commercial plan in any region shall include the following:
(1) The department shall notify the Board(s) of Supervisors of each county included within the region of the proposed maximum enrollment level and the rationale for the proposed level.
(2) The Board(s) of Supervisors shall have 30 days to submit written comments to the department on the proposed maximum enrollment level.
(3) The department shall review and consider any written comments received from the Board(s) of Supervisors within the 30 day comment period and may adjust the maximum enrollment level, if the department determines that an adjustment is warranted, or may set the maximum enrollment level as originally proposed.
(d) The department shall reevaluate the maximum enrollment level at least every two years and revise the level, if appropriate.
(e) If the number of enrollees and the utilization patterns of the commercial plan have significantly reduced or will significantly reduce DSH supplemental payments in the region, the department shall require the commercial plan to contract with disproportionate share hospitals for inpatient care for members.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4, 14105.98 and 14201, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-93 as an emergency; operative 5-14-93. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 93, No. 20).
2. New article 3 heading, amendment of subsections (a), (b), (b)(2), (b)(6) and (c), and new subsection (e) filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
3. Repealer of article 3 heading, section heading, section and Note and new article 3 heading, section heading, section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
4. New subsection (b)(7) filed 10-1-97 as an emergency; operative 10-1-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 40).
Article 4. Prepaid Health Plan and Primary Care Case Management Plan Enrollment Growth During the Transition Period
§53830. Prepaid Health Plan and Primary Care Case Management Plan Enrollment Growth During the Transition Period.
Note     •     History

(a) Until the implementation of the two-plan model in a designated region, the aggregate enrollment level of all prepaid health plans and PCCM plans affiliated with either the local initiative or the commercial plan operating in the region shall not exceed the maximum enrollment level for the commercial plan established by the department under section 53820(b) unless an exemption has been granted by the department pursuant to subsection (e). If the maximum enrollment level for the commercial plan in the region is exceeded and if the sum of the prepaid health plan contract maximums in the region is greater than the maximum enrollment level for the commercial plan in the region, the department shall negotiate amendments to the prepaid health plan contracts to set contract maximums specified to the region that will assist in bringing the total enrollment level in conformance with the maximum enrollment level for the commercial plan.
(b) Until the implementation of the Two-Plan Model in a designated region, the total allowable enrollment growth for PCCM plans in a  designated region shall be the maximum enrollment level for the commercial plan set by the department for the region in accordance with section 53820(b) less the aggregate contracted capacity of all prepaid health plans operating in the region and less the total enrollment level of all PCCM plans operating in the region, unless an exemption has been granted by the department pursuant to subsection (e).
(1) If there is allowable enrollment growth in the region for PCCM plans, a PCCM plan's enrollment growth in a region shall not exceed the percentage growth in the caseload in the region, which shall be determined as follows:
(A) In June of each year, the department shall establish an aggregate caseload growth percentage factor for the subsequent six-month period in each region. The department shall recalculate and apply this factor in December of each year.
(B) Each PCCM plan's enrollment level in each region as of July 1 in each year shall be multiplied by the caseload growth percentage factor calculated in June for that region. The product of this calculation shall be the PCCM plan's maximum enrollment growth for the six-month period ending December 31 of that year. Each PCCM plan's maximum enrollment growth for the six-month period ending June 30 in each year shall be calculated in the same manner by the department, using the PCCM plan's enrollment level in each region as of January 1.
(C) Once a PCCM plan achieves its six-month maximum enrollment growth in a region, enrollments in that region shall not be accepted by the department for the remainder of the six-month period except as necessary to allow the PCCM plan to maintain its maximum enrollment level by replacing beneficiaries who disenroll from the PCCM plan.
(D) In calculating the aggregate caseload factor for each subsequent six-month period, the department may adjust this factor for any documented over- or underestimate of caseload growth in a region for the preceding caseload growth in a region for the preceding six-month period. Based on this adjustment, the department may further limit or increase PCCM maximum enrollment growth in the region for the succeeding six-month period.
(2) If the total allowable enrollment growth in the region is insufficient to allow all PCCM plans operating in a region to increase enrollment as provided in subsection (b)(1), the allowable increase shall be distributed equally among plans falling within the following priority categories, except that no plan may increase above the level provided by subsection (b)(1):
(A) Among PCCM plans whose most recent annual medical review by the department found no or only minor deficiencies in quality of care:
(i) First, PCCM plans whose most recent annual medical review by the department found a compliance level of 80 percent or better in the provision of Child Health and Disability Prevention services;
(ii) Second, PCCM plans whose most recent annual medical review by the department found a compliance level of 80 percent or better in the provision of adult preventive screens;
(iii) Third, all other PCCM plans whose most recent annual medical review by the department found no or only minor deficiencies in the quality of care; and then,
(B) All other PCCM plans in the region.
(c) If there is no allowable enrollment growth PCCM plans in a designated region, a PCCM plan's maximum enrollment level in that region shall be limited to its enrollment level as of the first month following the month in which the PCCM plan is notified to this effect.
(d) Until the department has established the commercial plan maximum enrollment level in a designated region as provided under section 53820(b), the maximum enrollment level for each PCCM plan in the designated region shall be capped at the plan's enrollment level as of July 1, 1993, unless an exemption has been granted by the department pursuant to subsection (e).
(e) The department may grant exemptions to the maximum enrollment level established for a PCCM plan pursuant to subsections (b) or (d) if special circumstances are established by the department. Special circumstances may specifically include, but are not limited to, a county Board of Supervisors, with the stated intention of including the PCCM plan or plans or the additional enrollment in the provider network of the local initiative, requesting the department to allow a PCCM plan or PCCM plans to enroll Medi-Cal beneficiaries above the maximum enrollment level established pursuant to subsections (b) or (d).
(f) PCCM plan enrollment growth in nondesignated regions shall be limited to caseload growth as described in subsection (b)(1) unless special circumstances are established by the department. Special circumstances may include:
(1) A county board of Supervisors asks the department to allow a PCCM plan or PCCM plans operating in the county to enroll Medi-Cal beneficiaries at a rate greater than caseload growth.
(2) The department identifies a problem with access to care in a region that can be met by PCCM plans enrolling Medi-Cal beneficiaries at a rate greater than caseload growth.
(3) A county Board of Supervisors proposes to develop a health care delivery system both for Medi-Cal beneficiaries and for medically indigent persons covered by the county's responsibilities under 17000 of the Welfare and Institutions Code, and intends to use a PCCM plan or PCCM plans in this system.
(g) PCCM plans shall be permitted to open new service sites, enlarge existing service areas, and add new service areas in nondesignated regions to the extent that the plans do not exceed the enrollment level authorized by this section.
(h) The department shall publish a public notice of its intent to approve a new service area or enlargement of a service area for a PCCM plan in nondesignated regions at least 60 days prior to the action. The notice shall appear in at least two major newspapers of general distribution in the proposed service area and shall provide instruction for submission of comments.
(i) Nothing in this section precludes the department from applying appropriate sanctions as provided in section 56350 or 56408 against PCCM plans.
(j) Nothing in this section authorizes a PCCM plan to enroll embers in excess of the plan's capacity to provide services to members under the terms of the plan's contract and all applicable laws and regulations.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4, 14088, 14088.16, 14088.25 and 17000, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-93 as an emergency; operative 5-14-93. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 93, No. 20).
2. Amendment of subsections (a)-(b) and (d), new subsection (e), subsection redesignation and amendment of subsections (g)-(h) filed 7-1-94; operative 7-1-94. Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 31).
3. New article 4 heading and amendment of subsection (a), (b) and (d) filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
4. Editorial correction deleting erroneous second History 2 (Register 96, No. 46).
5. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
Article 5. Two-Plan Model Requirements
§53840. Two-Plan Model Requirements.
Note     •     History

Each plan in a designated region shall:
(a) Obtain or maintain a license to operate as a Knox-Keene health care service plan, and meet all requirements set forth in Chapter 2.2 (commencing with Section 1340 of the Health and Safety Code) and related applicable regulatory requirements throughout the term of the contract between the plan and the department.
(b) Comply with all applicable federal and state statutory, regulatory, and administrative requirements, including, but not limited to, those organizational and administrative requirements contained in the Social Security Act and the Code of Federal Regulations.
(c) Comply with all standards, requirements and responsibilities stipulated and agreed to in the contract between the plan and the department including but not limited to:
(1) Organization.
(2) Legal Capacity.
(3) Administration/Staffing.
(4) Management Information System.
(5) Reporting Requirements.
(6) Quality Improvement System.
(7) Provider Network and Geographic Access, including a documented system for monitoring access to care.
(8) Scope of Services including preventive services for adults and all required CHDP and EPSDT services.
(9) Medical Standards/Health Education.
(10) Marketing and Enrollment.
(11) Member Services/Grievance System.
(12) Cultural and Linguistic Services Requirements.
(13) Financial Solvency.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New article 5 (sections 53840 and 53845) and section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53845. Enrollment Criteria.
Note     •     History

(a) Enrollment in plans shall be mandatory for eligible beneficiaries who meet all of the following criteria:
(1) Are eligible to receive Medi-Cal services that are not limited in scope;
(2) Have been determined to have a share of cost equal to zero;
(3) Do not meet the criteria for exemption from plan enrollment, specified in section 53887;
(4) Have been determined by their county welfare department to be eligible for one of the following programs:
(A) The section 1931(b) Program, which consists of the services described in Welfare and Institutions Code section 14005.30, including persons whose Medi-Cal eligibility is based upon their receipt of benefits under the California Work Opportunity and Responsibility to Kids (CalWORKS) Program.
(B) The Medically Indigent program for children under age 21, as specified in section 50251(a).
(C) The Medically Needy Program for families and caretaker relatives, specified in sections 50203(a)(2) and (3).
(D) The Other Public Assistance Program as specified in section 50237.
(E) The Special Zero Share of Cost Program for infants, as specified in section 50262; for children of age one to age six, as specified in section 50262.5; and for children of age six to age nineteen, as specified in section 50262.6.
(F) The Transitional Medi-Cal Program as established in accordance with Section 1931 of the federal Social Security Act (Title 42, United States Code, section 1396u-1) and described in Welfare and Institutions Code sections 14005.8 and 14005.81.
(b) Enrollment in a plan shall be voluntary for eligible beneficiaries who meet all of the following criteria:
(1) Are eligible to receive Medi-Cal services that are not limited in scope;
(2) Have been determined to have a share of cost equal to zero; and
(3) Have been determined by their county welfare department to be eligible for one of the following programs:
(A) The federal Supplemental Security Income for the Aged, Blind, and Disabled Program (Title 42, United States Code, section 1382 et seq.) or who are deemed by the county welfare department to be Supplemental Security Income recipients in accordance with section 4913 of the federal Balanced Budget Act of 1997.
(B) The Medically Indigent Program for pregnant women, as specified in section 50251(b)(3).
(C) Foster Care Program as described in Article 5 (commencing with section 11400) Chapter 2, Part 3, Division 9 of the Welfare and Institutions Code.
(D) Adoption Assistance Program as described in Chapter 2.1 (commencing with section 16115) Part 4, Division 9 of the Welfare and Institutions Code.
(E) The Medically Needy Program for aged, blind and disabled beneficiaries, specified in section 50203(a)(1).
(F) The receipt of health care services through an Indian Health Service facility as defined in section 55100(j).
(G) The In-Home Supportive Services program.
(c) Children receiving services under either the Foster Care or Adoptions Assistance Programs may be enrolled voluntarily if:
(1) The county Director of Social Services, or his or her delegated representative, determines that it is in the best interest of the child;
(2) The child's caretaker agrees to the enrollment; or
(3) The probation officer in the case of a foster child who is a ward of the court approves the enrollment.
(d) Where the department determines that it is feasible, and the conditions of subsection (c) are met, a child receiving services under the Foster Care or Adoptions Assistance Programs who physically resides in a designated region, but whose county of residence for the purpose of determining eligibility for the Medi-Cal program is part of another designated or nondesignated region, may be permitted to enroll in either of the two plans in the designated region in which the child physically resides.
(e) Beneficiaries enrolled in one of the following form of other health coverage shall not be enrolled in a Medi-Cal managed care plan:
(1) Medicare HMO,
(2) CHAMPUS Prime HMO,
(3) Kaiser HMO or
(4) Any other HMO or prepaid health plan in which the enrollee is limited to a prescribed panel of providers for comprehensive services.
(f) Beneficiaries with other coverage in an HMO, as specified in (e)(1), (3) or (4) above, may be enrolled in the Medi-Cal plan, as specified in section 53889, if:
(1) The Medi-Cal plan in which the eligible beneficiary is enrolling is the same as the HMO in which the beneficiary is enrolled, and
(2) Such enrollment is allowed in the contract between the plan and the department.
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Amendment of section and Note filed 12-19-2000 as an emergency; operative 12-19-2000. Submitted to OAL for printing only pursuant to section 147, SB 485 (Ch. 722/92) (Register 2000, No. 51).
4. Amendment of subsections (a)(4)(D), (a)(4)(F) and (b)(3)(G) and amendment of Note filed 7-21-2011; operative 8-20-2011 (Register 2011, No. 29).
§53850. Organization and Administration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New article 6 (sections 53850-53876) and section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Editorial correction of section heading (Register 96, No. 46).
3. Repealer filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
Article 6. Operational Requirements
§53851. Scope of Services.
Note     •     History

(a) Each plan in a designated region shall provide or arrange for the provision of all Medi-Cal covered services to be delivered, unless excluded under the contract, in accordance with the terms and conditions of the contract between the plan and the department.
(b) The scope of services available to Medi-Cal members shall include:
(1) An initial health assessment, unless the member's primary care physician determines that the member's medical record contains complete information, updated within the previous 12 months, consistent with the assessment requirements stated below, and with the requirements of section 53840(c)(7). The assessment, at a minimum shall include, a history of the member's physical and mental health, an identification of risks, an assessment of need for preventive screens or services and health education, and the diagnosis and plan for treatment of any diseases. The plan shall ensure that care for pregnant women is initiated at the earliest time possible.
(2) Health education.
(3) Preventive services.
(4) Primary and specialty care.
(5) Case management and coordination of care as defined in section 53810(f).
(6) Emergency care.
(c) Each plan shall refer and coordinate care for those services that are excluded under the contract, whether or not covered under the Medi-Cal program, pursuant to the requirements of the contract between the plan and the department.
(d) No plan shall withhold medically necessary Medi-Cal covered services not specifically excluded under the contract, due to a dispute with the department over capitation rates, service costs or any other reason. The plan shall pursue a remedy in accordance with the provisions of the contract.
(e) Each plan shall ensure that information, services or presentations required under this section, shall be provided in: language that is easy to understand, the preferred language of the beneficiary, a culturally appropriate manner, and a way that is fully accessible to beneficiaries with disabilities.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53852. Availability of Services.
Note     •     History

Each plan in a designated region shall obtain written departmental approval prior to making any substantial change in the availability or location of services to be provided under the contract, except in the case of a natural disaster or emergency circumstances. A proposal to change the physical location at which covered services are provided, or to reduce or change the hours, days or location at which the services are available, shall be given to the department at least sixty days prior to the proposed effective date. The department's denial of the proposal shall prohibit implementation of the proposed changes. The plan's proposal shall allow for timely notice to beneficiaries to allow them to change plans if desired.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53853. Accessibility of Services.
Note     •     History

(a) Each plan in a designated region shall retain sufficient professional medical staff, including adequate numbers of specialists and subspecialists, to provide access to preventive and managed health care services to its members. Access to physicians or physician extenders shall be as follows:
(1) Each plan shall ensure its provider network satisfies a ratio of at least one full-time equivalent primary care physician for every 2,000 members.
(2) Each plan shall ensure its provider network satisfies a ratio of at least one full-time equivalent physician for every 1,200 plan members.
(3) Plans that utilize nonphysician medical practitioners shall not allow a full-time equivalent nonphysician medical practitioner to maintain a caseload of more than 1,000 plan members. The plan shall ensure compliance with title 22, CCR, sections 51240 and 51241.
(4) If utilized by a plan, members may select a nonphysician practitioner as their primary care provider. Nonphysician practitioners including certified nurse midwives, nurse practitioners and physicians assistants, shall meet the requirements of existing practice and licensure standards for mid-level practitioners, as specified in section 1399.541 and 1470, Title 16, CCR.
(b) Each plan in a region shall ensure that each member of the plan has a primary care physician to supervise and coordinate each member's health care, by either allowing members to select their primary care physicians or assigning members to primary care physicians, pursuant to section 53890.
(c) Each plan shall ensure that members have 24-hour access to interpreter services.
(d) Each plan shall ensure that other appropriate linguistic services are available to members pursuant to the contract between the plan and the department.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53854. Pharmaceutical Services and Prescribed Drugs.
Note     •     History

(a) Each plan in a designated region shall at a minimum, make available to members during the hours of operation of each member's primary care service site, either directly or through subcontracts, the services of pharmacies and pharmacists in accordance with title 22, CCR, section 53214.
(1) Pharmaceutical services shall, at a minimum, be available to members during established service site hours.
(2) When the course of treatment provided to a member by a contracting provider under emergency circumstances requires the use of drugs, a sufficient quantity of such drugs will be provided to the member to last until the member can reasonably be expected to have a prescription filled.
(3) Plans shall establish and document the availability of after hours nonemergency pharmacy services. Plans shall make available by telephone information regarding the availability, location and hours of operation of pharmacies providing such services.
(b) Prescribed drugs shall be provided to members by licensed pharmacies and shall be reimbursed by the plan in which the member is enrolled. Professional standards reflected by reasonable and current prescribing practices, based on reference to current medical literature and consultation with provider organizations, academic and professional specialists, shall be met, including but not limited to Title 16, sections 1707.1, 1707.2, and 1707.3.
(c) Prescribed drugs may include the provision of pre-packaged drugs ordered by a physician and dispensed by a pharmacist or other appropriately licensed individuals affiliated with the plan after the plan has obtained written approval from the department to operate in this manner.
(d) Except for drugs specifically excluded from the contract, any drug covered by the Medi-Cal Program shall be available from the plan when medically necessary. This shall not be construed to require a plan to include in its formulary every drug listed on the Medi-Cal formulary, or to prevent a plan from performing appropriate utilization review to determine the most suitable drug therapy for a particular medical condition. . The plan shall not refuse to dispense or pay for Medi-Cal covered drugs, while pursuing the resolution of a dispute with the department over the plan's reimbursement for drugs, coverage of drugs, or for any other issue relating to covered drugs.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4, 14132, 14133 and 14133.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Amendment of subsections (a)(1) and (d) filed 10-1-97 as an emergency; operative 10-1-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 40).
§53855. Care Under Emergency Circumstances.
Note     •     History

(a) Each plan in a designated region shall cover emergency medical services without prior authorization pursuant to title 10, CCR, section 1300.67(g) and title 22, CCR, section 53216. Each plan shall reimburse, without prior authorization, hospital emergency departments or emergency physicians for medical screening examinations necessary to determine the presence or absence of an emergency medical condition and, if an emergency medical condition exists, for all services medically necessary to stabilize the plan member. If the medical screening examination indicates that the patient's condition does not constitute an emergency as defined in section 51056, hospital emergency departments or emergency physicians shall obtain prior authorization from the plan to render treatment. The plan may deny reimbursement for any services rendered to the member beyond the medical screening examination if the hospital emergency department or emergency physician fails to obtain prior authorization. Upon receipt of a request for such authorization from an emergency services provider, a plan shall render a decision upon the request within 30 minutes, or the request shall be deemed to be approved.
(b) Each plan shall maintain a 24-hour multilingual telephone contact number for handling emergencies. Each plan shall ensure that a physician is available 24 hours a day to: coordinate the transfer to a plan provider of a member whose condition is stabilized; or authorize medically necessary post-stabilization services. Each plan shall have a system to ensure continuity of care and follow-up care for all plan members for whom the plan has denied authorization for emergency services.
(c) A plan may subject all hospital emergency department and emergency physician claims to post-service, prepayment review for post-stabilization services; however claims for medical screening examinations shall not be denied without review. Each plan shall pay emergency services claims at the appropriate level based on the documentation submitted. All properly documented claims for medical screening examinations and emergency services rendered by noncontracted providers shall be paid by the plan within 45 days of receipt of a valid invoice. Each plan shall pay for all claims involving medically necessary services to diagnose and treat nonemergency conditions that the plan has prior authorized.
(d) Each plan shall arrange and make payment for emergency department, emergency physician and emergency transportation services, at the lesser of:
(1) The usual charges made to the general public by the emergency services provider,
(2) The maximum Medi-Cal fee-for-service rate, as specified in sections 51503 and 51509, or
(3) The rate negotiated between the plan and the provider of services for emergency services as defined in section 51056.
(e) For emergency inpatient hospital services, payment shall be made in accordance with the provisions in the contract between the plan and the department.
(f) If disputes arise over claims submitted by providers seeking reimbursement for the provision of emergency services to plan members, the parties shall adhere to the procedures and requirements prescribed in section 53875 for the resolution of such disputes.
(g) In the event the provision of emergency services to plan members is delegated to an entity, such entity, and any further delegatees, shall assume all obligations and responsibilities required under this section. The contractor shall assure compliance with the requirements of this section regardless of the entity providing the emergency services.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14454, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Amendment of subsections (a), (d)(1) and (g) filed 10-1-97 as an emergency; operative 10-1-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 40).
§53856. Facilities, Service Locations, and Equipment.
Note     •     History

Each plan in a designated region shall comply with the requirements contained in section 53230, and shall assure proper sterilization and disinfection of equipment, in accordance with California Occupational Safety and Health Administration (CAL/OSHA) standards, pursuant to California Labor Code, section 6305 or any other applicable federal, state or local standard.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53857. Medical Director.
Note     •     History

(a) Each plan in a designated region shall appoint a physician as medical director whose responsibilities shall include, but not be limited to, the following:
(1) Ensuring that medical decisions are:
(A) Rendered by qualified medical personnel.
(B) Are not influenced by fiscal or administrative management considerations.
(2) Ensuring that the medical care provided meets the standards for acceptable medical care.
(3) Ensuring that medical protocols and rules of conduct for plan medical personnel are followed.
(4) Developing and implementing medical policy.
(5) Resolving grievances related to medical quality of care.
(6) Actively participating in the functioning of the plan grievance procedures.
(7) Actively participating in the functioning of the plan quality improvement program.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4, 14450 and 14495, Welfare and Institutions Code; and Section 1367, Health and Safety Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53858. Member Grievance Procedures.
Note     •     History

(a) Each plan in a designated region shall establish and maintain written procedures for the submittal, processing, and resolution of all member grievances and complaints. The grievance system shall include the handling of complaints and shall:
(1) Operate according to the written procedures, which shall be approved in writing by the department prior to use. Amendments shall be approved in writing by the department prior to implementation of the revised procedure.
(2) Be described in information sent to each member within 7 days of the date of enrollment in the plan and annually thereafter, pursuant to sections 53893 and 53894. The description shall include:
(A) An explanation of the plan's system for processing and resolving grievances, and how a member is to use it.
(B) A statement that grievance forms are available in the office of each primary care provider, or in each member services department of the plan, in the case of a plan in which all primary care providers are the exclusive providers of that plan and are contiguously located.
(C) A statement that grievances may be filed in writing or verbally directly with the plan in which the member is enrolled or at any office of the plan's providers.
(D) The local or toll-free telephone number a member may call to obtain information, request grievance forms, and register a verbal grievance.
(E) A written statement explaining the member's right to request a fair hearing, provided pursuant to sections 50951, 51014.1, 51014.2, and 53894.
(F) An explanation of the state's Medi-Cal Managed Care Ombudsman program and the program's voice and TDD telephone numbers.
(b) Each plan shall make local or toll-free telephone service available to members during normal business hours for requesting grievance forms, filing verbal grievances, and requesting information.
(c) Each plan shall provide upon request a grievance form, either directly or by mail if mailing is requested to any member requesting the form.
(d) Each plan shall provide assistance to any member requesting assistance in completing the grievance form.
(e) The member grievance procedures shall at a minimum provide for:
(1) The recording in a grievance log of each grievance received by the plan, either verbally or in writing. The grievance log shall include the following information:
(A) The date and time the grievance is filed with the plan or provider.
(B) The name of the member filing the grievance.
(C) The name of the plan provider or staff person receiving the grievance.
(D) A description of the complaint or problem.
(E) A description of the action taken by the plan or provider to investigate and resolve the grievance.
(F) The proposed resolution by the plan or provider.
(G) The name of the plan provider or staff person responsible for resolving the grievance.
(H) The date of notification of the member of the proposed resolution.
(2) The immediate submittal of all medical quality of care grievances to the medical director for action.
(3) The submittal, at least quarterly, of all member grievances to the plan's quality assurance committee or review and appropriate action. For purposes of this subsection, member grievances shall include but not be limited to those related to access to care, quality of care, and denial of services.
(4) The review and analysis, on at least a quarterly basis, of all recorded grievances related to access to care, quality of care and denial of services, and take appropriate action to remedy any problems identified in such reviews.
(5) The mailing of a written notice of the proposed resolution to the member. Each notice shall include information about the member's right to request a fair hearing pursuant to sections 50951, 51014.1, 51014.2, and 53894.
(6) A system for addressing any cultural or linguistic requirements related to the processing of member grievances prescribed in the contract between the plan and the department.
(7) A procedure for the expedited review and disposition of grievances in the event of a serious or imminent health threat to a member, in accordance with Health and Safety Code section 1368 and 1368.02.
(f) Grievance forms shall be available in the offices of each of the plan's primary care providers, or in each member services department of the plan, in the case of a plan in which all primary care providers are the exclusive providers of that plan and are contiguously located.
(g) Each plan shall adhere to the following requirements and time frames in processing member grievances:
(1) Member grievances shall be resolved within thirty days of the member's submittal of a written grievance or if the grievance is made verbally, it shall be resolved within 30 days of the written record of the grievance.
(2) In the event resolution is not reached within thirty days, the member shall be notified in writing by the plan of the status of the grievance and shall be provided with an estimated completion date of resolution.
(3) Such notice shall include a statement notifying the member they may exercise their right to request a fair hearing in accordance with sections 50951, 51014.1, 51014.2, and 53894.
(h) Each plan shall maintain in its files copies of all grievances, the responses to them, and logs recording them for a period of five years from the date the grievance was filed.
(i) Any member whose grievance is resolved or unresolved shall have the right to request a fair hearing. Submission of a grievance shall not be construed as a waiver of the member's right to request a fair hearing in accordance with sections 50951, 51014.1, 51014.2, and 53894.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 10950 through 10965, 14087.3, 14087.4 and 14450, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53859. Provider Grievances and Complaints.
Note     •     History

Each plan shall have a formal process to resolve provider grievances and complaints. A provider of medical services may submit to a plan in a designated region a grievance or complaint concerning the authorization or denial of a service or the processing of a payment or nonpayment of a claim by that plan.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53860. Quality of Care.
Note     •     History

(a) Each plan shall monitor, evaluate, and take effective action to address any needed improvements in the quality of care delivered by all practitioners providing services on its behalf in all types of settings, including, but not limited to, ambulatory, inpatient and home settings.
(b) Each plan shall implement an effective quality improvement program in accordance with the standards in Title 10, section 1300.70.
(c) In addition to subsection (b), each plan shall implement and maintain a quality improvement program including at a minimum the following elements:
(1) A system of accountability which includes the participation of the plan's governing body, the designation of a quality improvement committee with oversight and performance responsibility, the supervision of activities by the plan's medical director, and the inclusion of contracted physicians and other health care providers in the process of quality improvement program development and performance review.
(2) Objective and systematic monitoring and evaluation of the quality and appropriateness of care and services rendered on an ongoing basis, including conducting quality of care studies that address the quality of clinical care as well as the quality of health services delivery.
(3) A utilization management program, including, but not limited to procedures for monitoring under and over-utilization of services, procedures to evaluate medical necessity, prior authorization policies and procedures, and criteria used for approval, referral and denial of services, pursuant to Health and Safety Code, section 1363.5.
(d) The department shall arrange for, at least annually, an external quality of care review of each plan from an entity qualified to conduct such reviews in accordance with Title 42 USC, Section 1396a (30)(C). In addition, as a component of its contract compliance monitoring activities, the department shall conduct annual medical reviews which shall include but not be limited to an appraisal of plan performance in areas such as access to care, continuity of care, quality of care, provision of health education and preventive services, and authorization and denial of services. The department's annual medical reviews shall not duplicate the external quality of care review, except to the extent that such duplication is necessary to verify the plan's compliance with any corrective actions arising out of the external quality of care review. Each plan shall cooperate with and assist both the external quality review organization and the department in the conduct of these reviews.
(e) The department shall issue medical review reports to the plan detailing findings, recommendations, corrective actions and sanctions, as appropriate. Each plan shall comply in full with any corrective action plan issued by the department. Failure to comply may result in the imposition of sanctions as appropriate.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4, 14309 and 14458, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53861. Records.
Note     •     History

(a) Each plan in a designated region shall maintain or cause to be maintained all records necessary to verify information and reports required by statute, regulation or contractual obligation for five years from the end of the fiscal year in which the plan contract expires or is terminated. Each plan shall make such records available for inspection or examination to the department, the United States Department of Health and Human Services, the States Department of Justice, or the Comptroller General of the United States or their duly authorized representatives upon request. Records and documents shall include but not be limited to:
(1) Working papers used in the preparation of reports to the department.
(2) Reports to the department, specified in section 53872.
(3) Financial documents.
(4) Medical records.
(5) Quality assurance and improvement records.
(6) Prescription files.
(b) Each plan shall retain or cause to be retained all records pertaining to pending litigation or litigation in progress until the litigation is final.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4, 14308 and 14458, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53862. Reporting.
Note     •     History

Each plan in a designated region shall submit to the department:
(a) Annual reports which shall include:
(1) The financial audit required by section 53340. In addition to the annual audited financial statements, the plan shall include the annual report required under section 1300.84.06, Title 10. The plan's annual report shall have a supplemental income statement, prepared in a format consistent with the annual report, reflecting the plan's various Medi-Cal contracts each as a separate line of business by designated region which come included.
(2) An update of the provider listing required in section 53242(b).
(b) Quarterly reports which shall include:
(1) Each plan shall submit to the department, within 45 days after the close of each fiscal quarter, a quarterly financial report in the format prescribed by Title 10, section 1300.84.2. The required financial reports shall have a supplemental income statement, reflecting the plan's various Medi-Cal contracts as separate business operations of the plan by designated region, which combines and correlates to the submitted income statement for the plan.
(c) Other reports which shall be submitted to the department shall include the following:
(1) Utilization and statistical data, including detailed encounter level data, in compliance with the requirements of the contract between the plan and the department.
(2) Pediatric preventive services provided in accordance with the Child Health and Disability Prevention Program reports disclosing services rendered in accordance with Health and Safety Code section 320, et seq., and Title 17, CCR, sections 6840 through 6850 as required by the contract between the plan and the department.
(3) Information requested by the department to conduct medical reviews or contract monitoring in accordance with section 14457, Welfare and Institutions Code.
(4) Financial reports relevant to affiliates as specified in section 53330. These reports will include at a minimum financial statements of affiliates and, if publicly traded, copies of the quarterly Form 10-Q and annual Form 10-K as required by the Securities and Exchange Commission.
(5) Copies of any financial reports submitted to other public or private organizations as specified in section 53324(d).
(6) Upon request, monthly financial statements.
(7) Notification of possible third-party tort liability or estate recovery situations. This information shall be submitted within ten days of discovery.
(8) Reports specified in the contract between the plan and the department.
(9) On a monthly basis, an updated listing of the plan's provider network, by specialty.
(d) Each plan shall submit to public health authorities reports required by state law.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14308, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53863. Assumption of Financial Risk.
Note     •     History

Each plan shall comply with the assumption of financial risk requirements in section 53251.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14451.5 Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53864. Financial Standards/Resources.
Note     •     History

(a) Each plan shall demonstrate fiscal soundness and maintain adequate financial resources to carry out its contractual obligations. Such resources shall be determined by the department and shall include, but not necessarily be limited to, the following:
(1) Tangible net equity as defined in Title 10, section 1300.76
(2) Working capital and current ratio of one of the following:
(A) A current ration of at least 1:1, or
(B) Prior demonstration to the department that the contractor is now meeting financial obligations on a timely basis and has been doing so for at least the preceding two years, or
(C) Evidence that sufficient noncurrent assets, which are readily convertible to cash, are available to achieve an equivalent working capital ratio of 1:1, if the noncurrent assets are considered current.
(3) Demonstration through its history of plan operations that the plan's arrangements for health care are financially sound, and provide for the achievement and maintenance of a positive cash flow, including provisions for retirement of existing and proposed indebtedness.
(4) Enrollment growth.
(b) Administrative costs incurred by a plan and its affiliates shall comply with the requirements of the Knox-Keene Act as set forth in Title 10, section 1300.78. Plans which compensate their subcontractors on a capitated basis shall comply with title 10, CCR, section 1300.78 regarding administrative costs, considering the combined administrative cost of the plan and its capitated subcontractors for Medi-Cal business.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14450, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53865. Financial Performance Guarantee.
Note     •     History

(a) Each plan shall provide evidence of and maintain an acceptable financial performance guarantee to the department as specified below.
(b) The department shall approve the form and amount of financial performance guarantee required for each plan contract.
(c) The department may waive the requirement for a financial performance guarantee for a plan which is qualified as an HMO under Title XIII, Public Health Service Act (42 U.S.C. Section 300e et seq.).
(d) The department shall take possession of the financial performance guarantee sufficient to indemnify the department in the event that the plan defaults on any contractual obligation to the department.
(e) A financial performance guarantee is required, and shall be equal to at least one month's capitation as determined by the department and may be in the form of, but not limited to, one of the following options cited below. The department may extend the time periods for compliance if the department determines that such extension or phase-in will not present a significant financial risk to the State, and if it will not cause the plan to be operated in a manner that may be hazardous to its members.
(1) Guarantee/Performance Bond, or
(2) A guaranteed letter of credit, or
(3) A time certificate of deposit.
A plan electing the time certificate of deposit option may fulfill this requirement by making a deposit with the department, or at the discretion of the department, with any bank authorized to do business in this State and insured by the Federal Deposit Insurance Corporation, or savings and loan association doing business in this State and insured by the Savings Association Insurance Fund. Cash, investment certificates, accounts, or any combination of these shall be assigned to the department, upon those terms as the department may prescribe, until released by the department. The deposit required shall be an allowable asset of the plan in the determination of tangible net equity and all income from the deposit shall be an asset of the plan. A plan that has made a deposit pursuant to this option may withdraw that deposit or any part thereof, after making a substitute deposit of cash, investment certificates, accounts or any combination of these. Any substitute deposit shall be approved by the department before being deposited or substituted.
(4) A trust agreement under a Financial Security Agreement with an approved financial institution.
(5) Withhold from capitation by the department an amount equal to the required amount and retained by the department until completion of the contractual obligations associated with the contract.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14450, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53866. Member Billing and Recovery from Other Sources.
Note     •     History

Each plan in a designated region may bill plan members or third-party payers for services provided as long as such member billings or recovery efforts from third-parties are conducted in accordance with the requirements of sections 53220 and 53222.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4 , Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53867. Subcontracts.
Note     •     History

Procedures and requirements for the processing and approval of subcontracts for each plan in a designated region shall conform to those specified in section 53250. Subcontracts with federally qualified health centers shall be exempt from the 60-day automatic approval provisions specified in section 53250, unless the department has previously approved, in writing, the plan's proposed reimbursement methodology and rates of payment for federally qualified health centers. Delegation of any obligation or requirement to a subcontractor by a plan shall not release the plan from the responsibility to discharge any obligation or comply with any requirement contained in the contract between the plan and the department.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53868. Reinsurance.
Note     •     History

Each plan in a designated region may purchase reinsurance to provide indemnification against unanticipated financial liabilities provided that such coverage is purchased in accordance with the specification and requirements of section 53252.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53869. Capitation Payment, Payment Rate Determination/Redetermination.
Note     •     History

(a) In making capitation payments, the department shall adhere to the requirements specified in section 53320. Per capita rates of payment, by the department, for services provided to beneficiaries enrolled in each plan in a designated region shall be payable effective the date a beneficiary's enrollment takes effect. Capitation payments by a plan to a primary care provider or clinic contracting with a plan on a capitation basis shall be payable effective the date of the beneficiary's enrollment where the beneficiary's assignment to or selection of a plan has been confirmed by the plan. However, capitation payments by a plan to a primary care provider for a beneficiary whose assignment to or selection of a primary care provider was not confirmed by the plan on the date of the beneficiary's enrollment, but is later confirmed by the plan, shall be payable no later than 30 days after the beneficiary's enrollment.
(b) The department shall determine capitation payment rates annually by actuarial methods with assistance from an actuary or consulting actuary, except that the department reserves the right to redetermine rates on an actuarial basis or move to a negotiated rate for each rate year.
(c) The rates shall not exceed actuarially equivalent Medi-Cal fee-for-service costs. These costs shall be determined by viewing the total services and requirements, including administration, provided under this Chapter by a local initiative or commercial plan, as though such services and requirements were reimbursable under Chapter 3. For the purposes of this section:
(1) Costs of administration include, but are not limited to:
(A) Salaries, bonuses or benefits paid or incurred with respect to the officers, directors, partners, trustees or other principal management of the plan, minus, to the extent that such persons also are providers of health care services, the minimum reasonable cost of obtaining such health care services from other persons.
(B) Cost of marketing.
(C) Legal and accounting fees and expenses.
(D) Costs associated with the establishment and maintenance of agreements with providers of health care services, excluding the cost of reviewing quality and utilization of such services and cost of reviewing utilization of health care services on a referral basis.
(E) Premium on required fidelity and surety bonds and any insurance maintained pursuant to Health and Safety Code, section 1377, and any insurance or other expense incurred for the purpose of complying with Health and Safety Code, section 1375.1.
(F) Costs of preparing reports required by this Chapter.
(G) Costs of maintaining facilities for administrative services.
(2) Costs of administration shall not include:
(A) Bad debt write-off.
(B) Donations.
(C) Out-of-state and out-of country travel.
(D) Expenditures for commercial market development.
(E) Stock losses.
(F) Good will.
(G) Malpractice insurance.
(d) Capitation rates shall be effective for one year beginning the first day of October each year. In the event that payment of the new rates is delayed beyond the first day of October, continued payment of the rate in effect shall be interim payment only. Final payment shall be:
(1) Adjusted by any increase or decrease to the level of the new rates.
(2) Effective as of the first day of October.
(e) Notwithstanding subsection (d), payment of the new annual rates shall commence no later than December 1, provided that a contract amendment providing for the new annual rates has been prior approved by the United States Department of Health and Human Services, and signed by the department and the plan, but has not yet received the approval of all required control agencies and departments.
(f) Contract amendments providing for the new annual rates shall provide that:
(1) The plan stipulates to a confession of judgment, for any amounts received in excess of the final approved rate, by accepting payment of the new annual rates prior to final approval.
(g) Any underpayment by the State, if the final approved rates differ from the rates set forth in an amendment providing for new annual rates, shall be paid by the department to the plan within 30 days after final approval of such rate amendment.
(h) Any overpayment by the department shall be recovered by withhold of the amount due from the plan's next capitation payment, not to exceed 25 percent of the capitation payment. If the overpayment is more than 25 percent, amounts up to 25 percent shall be withheld from each successive capitation payment until such deficiencies are recovered by the department. Upon termination the department may recover all amounts outstanding from the last capitation payment.
(i) The contract between the department and a local initiative or commercial plan shall include:
(1) The monthly capitation rates.
(2) A description of the actuarial method, assumptions, cost information and utilization rates used in determining the rates.
(j) In redetermining capitation rates, the department shall follow to the requirements specified in section 53322.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14301, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53870. Affiliated Organizations and Persons.
Note     •     History

(a) Every affiliate of a plan in each designated region shall:
(1) Furnish, upon request, to the plan and to the department financial reports relevant to the disposition of funds paid to the affiliate by the plan. Reports shall be prepared according to generally accepted accounting principals and shall provide all financial data required by the plan to fulfill its obligations to the department for financial reporting.
(2) Make all books and records, which are pertinent to plan contracts with the department available for inspection by the department and the United States Department of Health and Human Services. These books and records shall be retained for at least five years from the close of each fiscal year in which the contract is in effect.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section heading, section and Note and new section heading, section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53871. Financial Audit.
Note     •     History

Each plan in a designated region shall have an annual audit performed by an independent certified public accountant in accordance with the provisions of section 53340, except that this audit shall be received by the department no later than 120 days after the close of the plan's fiscal year, or 180 days for public entities whose audits are conducted by a county grand jury.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53872. Civil Penalties.
Note     •     History

(a) The Director may, except as provided in section 53873, impose one or more of the civil penalties specified in (b) upon a plan which fails to comply with the provisions of Article 2.7 of Chapter 7, Part 3, of Division 9 of the Welfare and Institutions Code, the provisions of this Chapter, or the terms of the plan contract.
(b) Civil penalties imposed by the Director shall be in the amounts specified below with respect to violation of any provision of:
(1) Article 2, excluding section 53862.
(A) First violation: $1,000.
(B) Second violation: $5,000.
(C) Third and each subsequent violation: $10,000.
(2) Article 3.
(A) First violation: $5,000.
(B) Second and each subsequent violation: $10,000.
(3) Section 53862.
(A) First violation: $1,000, plus $500 per day for each day that the item to be submitted is late, not to exceed $10,000 total for each violation.
(B) Second and each subsequent violation: $5,000, plus $500 per day for each day that the item to be submitted is late, not to exceed $10,000 total for each violation.
(4) The contract, which is not specifically governed by regulation in this Chapter.
(A) First violation: $5,000.
(B) Second and each subsequent violation: $10,000.
(5) Article 2.7, Chapter 7, Part 3, Division 9 of the Welfare and Institutions Code, which is not specifically addressed by regulations in this Chapter.
(A) First violation: $5,000.
(B) Second and each subsequent violation: $10,000.
(c) The counting of violations for the purposes of this section shall:
(1) Be done without regard to contract term.
(2) Commence with violations occurring on or after the effective date of this section.
(d) Imposition of penalties, under the provisions of subsection (a) shall follow administrative proceedings held in accordance with the provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2, Government Code.
(e) The department shall issue a letter of noncompliance to a plan found by the administrative proceedings addressed in subsection (d) to be in violation of any provision of law, regulation or the contract. The letter of noncompliance shall include the violation, sanctions to be imposed and corrective action to be taken within stated time limits. Failure to comply with corrective actions within the time limits given shall be deemed to be subsequent violation for the purposes of subsection (c).
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14304, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53873. Contract Termination.
Note     •     History

In terminating a contract with a plan in a designated region, the department shall adhere to the procedures and requirements prescribed in section 53352, except for subsection (d) and (e).
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14304, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53874. Conflict of Interest.
Note     •     History

In entering into contracts or subcontracts, each plan in a designated region shall comply with the prohibitions against contracting relating to conflict of interest set forth in section 53600 except as otherwise provided in Welfare and Institutions Code, sections 14087.31(k), 14087.35(p)(1), 14087.36(v)(1), 14087.38(h), and 14087.969.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53875. Emergency Services Claims Disputes.
Note     •     History

In resolving disputes over claims for reimbursement for emergency services provided to plan members by nonplan providers, the involved parties and the department shall adhere to the procedures and requirements set forth in Article 7 of Chapter 4, commencing with section 53620 except subsection (e) of section 53676.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53876. Cultural and Linguistic Requirements.
Note     •     History

(a) Each plan in a designated region shall implement and adhere to the cultural and linguistic services requirements of the contract between the plan and the department. The contract at a minimum shall include requirements for:
(1) Interpreters.
(2) Translated signage.
(3) Translated written materials.
(4) Referrals to culturally and linguistically appropriate community services programs.
(b) In consultation with representatives from contracting plans and community-based diverse cultural and linguistic groups, the department shall develop, and update as appropriate, a set of comprehensive cultural and linguistic requirements which shall be incorporated into the contract between the department and each plan in a designated region.
(c) The plan shall establish and maintain a community advisory committee, and meet periodically with the committee concerning the development and implementation of its cultural and linguistic accessibility standards and procedures.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Editorial correction adding inadvertently omitted History 1 (Register 97, No. 10).
3. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
Article 7. Marketing, Enrollment, Assignment, and Disenrollment
§53880. Marketing.
Note     •     History

(a) Each plan in a designated region shall limit its marketing activities to printed, illustrated, or video taped materials, and media advertising. Plans may participate in an organized community or neighborhood health fair in a public place for marketing purposes.
(1) Printed and illustrated materials may be available to members or prospective members, as follows:
(A) By mail. Printing, postage, and any related costs of material mailed to prospective members shall be paid by the plan. The department shall conduct all mailings to ensure the confidentiality of Medi-Cal beneficiaries is protected.
(B) By posting materials in public places.
(C) At health care options presentations, which shall be conducted pursuant to section 53886.
(b) Prior to engaging in marketing activities, each plan shall submit a marketing plan which shall be approved in writing by the department prior to its implementation.
(c) All marketing materials, including but not limited to, all printed materials, illustrated materials, video taped and media scripts shall be approved in writing by the department prior to distribution to members or prospective members.
(d) No representative of a plan shall contact prospective members for the purposes of marketing, except in cases where the contact is initiated by the prospective member, unless that contact is approved in writing by and coordinated through the department, pursuant to (a)(1)(A), above. However, physicians, mid-level practitioners, nurses, or office staff may discuss plan membership with their patients. Each plan shall be responsible for informing all network providers they may not distribute unauthorized or unapproved material to Medi-Cal beneficiaries.
(e) All marketing materials, presentations and displays shall conform to the cultural and linguistic requirements prescribed in the contract between the plan and the department.
(f) A plan shall not engage in door-to-door marketing for the purpose of enrolling members, or any other purpose.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4, 14263, 14408 and 14450, Welfare and Institutions Code.
HISTORY

1. New article 7 (sections 53880-53896) and section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53881. Marketing and Member Materials.
Note     •     History

(a) The Evidence of Coverage, disclosure form, and any marketing brochure developed by or for a plan in a designated region and distributed to prospective members shall meet the requirements contained in Health and Safety Code, section 1363.1, and Title 10, section 1300.63(a), as to print size, readability, and understandability of text.
(b) Evidence of coverage and disclosure forms or member services guides distributed to eligible beneficiaries by a plan shall fully disclose the availability of and restrictions upon the services provided by the plan, and any exclusions from coverage. These materials shall, at a minimum, specify:
(1) The scope, access to, and availability of services, including service site locations and telephone numbers, and the service area authorized in that plan's contract.
(2) A description of the membership identification card issued by the plan, if applicable, and an explanation as to its use in authorizing or assisting members to obtain services.
(3) That members shall obtain all Medi-Cal health care services covered by the plan's contract through the plan's providers.
(4) That medical services required in an emergency may be obtained from specified plan providers or from non-plan providers, if necessary.
(5) The disenrollment process, and an explanation that disenrollment is possible only under the conditions specified in section 53891 and is effective only after the disenrollment transaction is completed by the Health Care Options Program as specified in section 53889.
(6) The plan's grievance process, including instructions on how to use it.
(7) That members have the right to a fair hearing, including instructions on how to request one.
(8) The interpreter, linguistic, and cultural services available through plan personnel.
(9) Any transportation services to service sites that are available through the plan or under the Medi-Cal program. This shall include a description of both medical and non-medical transportation services, and the conditions under which non-medical transportation is available to members.
(10) Information on the availability of and procedures for obtaining services at Federally Qualified Health Centers and Indian Health Service facilities.
(11) Information on the member's right to seek family planning services from any qualified provider eligible to provide family planning services under the Medi-Cal program, including providers outside the plan's provider network, how to access these services, and a description of the limitations on the services that beneficiaries may seek outside the plan.
(12) Information on the availability and procedures for obtaining nurse midwife and nurse practitioner services.
(13) Information concerning the availability of services covered under the State's California Children Services (CCS) program from providers outside the plan's provider network and how to access these services.
(14) An explanation of the disenrollment process for members qualifying for expedited disenrollment as specified in section 53889.
(15) Information on how to obtain minor consent services through the plan, and an explanation of those services.
(16) An explanation of an American Indian beneficiary's right to not enroll in a plan, not be restricted in their right to access Indian Health Facilities by a plan, and their right to disenroll from a plan without cause.
(17) The information specified in section 53895(b).
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14408, Welfare and Institutions Code; and Sections 1363 and 1364, Health and Safety Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Amendment of subsections (b), (b)(5), (b)(8), (b)(10)-(12) and (b)(14), new subsection (b)(17) and amendment of Note filed 12-19-2000 as an emergency; operative 12-19-2000. Submitted to OAL for printing only pursuant to section 147, SB 485 (Ch. 722/92) (Register 2000, No. 51).
§53882. Member Enrollment.
Note     •     History

(a) Enrollment in a plan in a designated region shall be mandatory for those eligible beneficiaries specified in section 53845(a), and voluntary for those specified in section 53845(b).
(b) Enrollment shall be limited to eligible beneficiaries who reside within the designated region, except as provided in section 53845(d).
(c) The department or the Health Care Options Program shall mail an enrollment form and plan information to each eligible beneficiary described in section 53845(a) who does not attend a health care options presentation as described in section 53886. The mailing shall include health care options information and instructions to enroll in a plan within thirty days of the postmark date on the mailing envelope. At a minimum, the mailing shall include instructions on how to enroll, how to request an exemption from mandatory enrollment for medical or nonmedical reasons, and how to request a medical exemption certification form.
(d) Each eligible beneficiary described in section 53845(a) shall select a plan within thirty days of receipt of an enrollment form unless requesting an exemption to plan enrollment is submitted to the Health Care Options Program within 30 days of receipt as prescribed in section 53887(b), or within thirty days of the postmark date of the health care options information  if mailed, with instructions from the department or the Health Care Options Program to select a plan.
(1) In the event an eligible beneficiary described in section 53845(a) does not select a plan within thirty days, the Health Care Options Program shall assign the eligible beneficiary to a plan, in accordance with section 53883.
(2) For purposes of selecting a plan:
(A) In the case of a family group, eligible beneficiary means the individual or entity with legal authority to make a choice on behalf of dependent family members.
(e) An eligible beneficiary shall not be enrolled in more than one plan at any one time.
(f) The Health Care Options Program shall process all enrollments.
(g) An eligible beneficiary is enrolled upon completion of all of the following events:
(1) Either of the following enrollment activities:
(A) The voluntary signing and dating by the eligible beneficiary of an enrollment form, except as provided under section 53845(c), and departmental validation of the beneficiary's enrollment form; or
(B) The assignment, as specified in section 53883, of an eligible beneficiary to a plan.
(2) Departmental verification of the beneficiary's Medi-Cal eligibility.
(3) Addition of the beneficiary's name to the approved list of members, which is effective the first day of any given month and which is furnished monthly to the plan by the department.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53883. Assignment of Eligible Beneficiaries to Plans.
Note     •     History

(a) The Health Care Options Program shall assign an eligible beneficiary described in section 53845(a) to a plan within a designated region, from which to receive health care services, in the following situations:
(1) In the event the eligible beneficiary does not select a plan within thirty days of receiving an enrollment form pursuant to section 53882(d).
(2) In the event a member requests and is granted disenrollment from either plan within that region, pursuant to section 53891, but does not enroll in the competing plan, unless that member was granted approval by the department or its designee to receive health care services through the fee-for-service Medi-Cal program, pursuant to section 53887.
(3) In the event the competing plan is at capacity, the fee-for-service Medi-Cal option shall be made available.
(b) In carrying out (a), the Health Care Options Program shall comply with the assignment requirements contained in section 53884.
NOTE

Authority cited: Sections 10725, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53884. Assignment System.
Note     •     History

(a) The Health Care Options Program shall implement a system within each designated region approved by the department to assign an eligible beneficiary described in section 53845(a), to a plan, in the event the beneficiary does not select a plan pursuant to section 53882(d).
(b) In assigning an eligible beneficiary to a plan, the Health Care Options Program's system shall, at a minimum, consider the following:
(1) Zip code of eligible beneficiary matched to zip codes served by the plan in accordance with the provisions of section 50185.5(f).
(2) Enrollment capacity and availability of the plan.
(3) Plan's ability to render linguistically appropriate services and the eligible beneficiary's need for those services, if made known to the Health Care Options Program.
(4) Assignment of family members to the same plan to the extent possible.
(5)(A) Assignments between plans shall be distributed in accordance with an agreement, approved by the Department, between a local initiative and a commercial plan in a designated region; or
(B) in the absence of an approved agreement, the Department shall determine how assignments shall be distributed in a designated region.
(6) In approving an agreement between a local initiative and a commercial plan, or when the Department determines how assignments shall be distributed, the Department may consider the following factors:
1. The potential for a high level of informed beneficiary choice of plans and providers.
2. The potential for the local initiative to achieve an enrollment level that reasonably allows it to spread financial risk and a reasonable opportunity for it to attain financial viability.
3. Maintaining the level of disproportionate share hospital days and safety net providers in the region so that neither is adversely affected by the mandatory enrollment of Medi-Cal beneficiaries in managed care, when compared to Medi-Cal program levels prior to implementing the two-plan model in the region.
4. The need to assure that a commercial plan is not precluded from receiving default assignments, other than during a limited time period immediately preceding and following local initiative start-up.
5. The ability of the department's enrollment contractor to accurately and timely perform the selected assignment distribution methodology.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section heading, section and Note and new section heading, section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Repealer of subsection (b)(5)(A), redesignation and amendment of former subsection (b)(5) to new subsection (b)(5)(A), repealer and new subsection (b)(5)(B) and new subsections (b)(6)-(b)(6)5. filed 10-1-97 as an emergency; operative 10-1-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 40).
§53885. Travel Distance Standards.
Note     •     History

(a) Each plan shall ensure that primary health care services provided through the plan are no more than 30 minutes travel time or ten (10) miles travel distance from each member's place of residence, unless the department has approved an alternative time and distance standard.
(b) An eligible beneficiary may voluntarily choose to receive services from a plan service site with a travel time or distance that exceeds the requirements in subsection (a).
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53886. Health Care Options Presentation.
Note     •     History

(a) The Health Care Options Program shall provide, in each designated region, a presentation of plan options to each new and continuing eligible beneficiary who meets the mandatory enrollment criteria specified in section 53845 and to any eligible beneficiary who meets the voluntary enrollment criteria specified in section 53845 and requests a presentation. For non-English or limited English speaking beneficiaries, presentations shall be made in the beneficiary's preferred language. Reasonable accommodations shall be made for persons who are blind, deaf or hearing impaired. At the department's discretion, the presentation may be in person or by mail. The department shall ensure that any eligible beneficiary requesting a face-to-face presentation is provided the opportunity to have such presentation at the earliest possible time and in the most convenient location possible, or is given the opportunity to speak with a telephone representative provided by the Health Care Options Program for assistance in making a plan selection.
(b) The health care options presentation shall include, at a minimum, the following information:
(1) The names of each plan.
(2) Each plan's service area.
(3) The name, address, telephone number, and specialty, if any, of each primary and specialty care provider or clinic participating in each plan. Providers participating in each plan will be listed alphabetically by last name and grouped by geographic area.
(4) The process for selecting or changing a primary care provider and an explanation that beneficiaries have the right to select a primary care clinic as their primary care provider and to change their primary care provider at any time.
(5) Services covered by each plan.
(6) Procedures for accessing and receiving health care services from each plan.
(7) Hospitals used by each plan.
(8) Any features or additional services, including cultural and linguistic services, provided by each plan, pursuant to the contract.
(9) An explanation that a beneficary eligible for voluntary enrollment may submit a request for disenrollment from the plan at any time, in accordance with the provisions of section 53891.
(c) For eligible beneficiaries for whom plan enrollment is mandatory, the following additional information shall be provided:
(1) An explanation that an exemption from plan enrollment exists for American Indians, members of American Indian households, and others eligible to receive health care services through an Indian Health Service facility, as specified in section 53887(a)(1).
(2) An explanation that an exemption from plan enrollment may be obtained for individuals with complex medical conditions, as specified in section 53887(a)(2), and how to request such an exemption.
(3) An explanation that if beneficiaries do not select a plan within 30 days, they will be assigned to a plan.
(4) An explanation that beneficiaries have the right to disenroll from a plan and reenroll in the competing plan at any time, in accordance with section 53891.
(d) The Health Care Options Program shall provide assistance to eligible beneficiaries in enrollment/disenrollment, as needed.
(e) Prior to either requesting enrollment by signing a written request or being assigned to a plan in a designated region in accordance with section 53883, each eligible beneficiary shall be informed in writing by the department or the Health Care Options Program of at least the following:
(1) There will be a 15 to 45 day processing time between the date of application or assignment and the effective date of enrollment in a plan.
(2) Until plan enrollment is effective, the beneficiary may receive Medi-Cal covered health care services from any Medi-Cal provider licensed to provide the services.
(3) An explanation of the process for requesting exemption from plan enrollment for the reasons specified in section 53887.
(f) In the event disenrollment from a plan is restricted pursuant to section 53891(b) during the second through sixth month of enrollment, the Health Care Options Program shall inform beneficiaries of the conditions of disenrollment.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14016.5, 14087.3, 14087.305 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Amendment of section and Note filed 12-19-2000 as an emergency; operative 12-19-2000. Submitted to OAL for printing only pursuant to section 147, SB 485 (Ch. 722/92) (Register 2000, No. 51).
§53887. Exemption from Plan Enrollment.
Note     •     History

(a) An eligible beneficiary meeting the criteria specified in section 53845(a), who satisfies the requirements in (1) or (2) below, may request fee-for-service Medi-Cal for up to 12 months as an alternative to plan enrollment by submitting a request for exemption from plan enrollment to the Health Care Options Program as specified in (b) below.
(1) An eligible beneficiary who is an American Indian as specified in section 55100(i), a member of an American Indian household, or chooses to receive health care services through an Indian Health Service facility and has written acceptance from an Indian Health Service facility for care on a fee-for-service basis.
(2) An eligible beneficiary who is receiving fee-for-service Medi-Cal treatment or services for a complex medical condition, from a physician, a certified nurse midwife, or a licensed midwife who is participating in the Medi-Cal program but is not a contracting provider of either plan in the eligible beneficiary's county of residence, may request a medical exemption to continue fee-for-service Medi-Cal for purposes of continuity of care.
(A) For purposes of this section, conditions meeting the criteria for a complex medical condition include, and are similar to, the following:
1. An eligible beneficiary is pregnant.
2. An eligible beneficiary is under evaluation for the need for an organ transplant; has been approved for and is awaiting an organ transplant; or has received a transplant and is currently either immediately post-operative or exhibiting significant medical problems related to the transplant. Beneficiaries who are medically stable on post-transplant therapy are not eligible for exemption under this section.
3. An eligible beneficiary is receiving chronic renal dialysis treatment.
4. An eligible beneficiary has tested positive for HIV or has received a diagnosis of acquired immune deficiency syndrome (AIDS).
5. An eligible beneficiary has been diagnosed with cancer and is currently receiving chemotherapy or radiation therapy or another course of accepted therapy for cancer that will continue for up to 12 months or has been approved for such therapy.
6. An eligible beneficiary has been approved for a major surgical procedure by the Medi-Cal fee-for-service program and is awaiting surgery or is immediately post-operative.
7. An eligible beneficiary has a complex neurological disorder, such as multiple sclerosis, a complex hematological disorder, such as hemophilia or sickle cell diseases, or a complex and/or progressive disorder not covered in 1. through 6. above, such as cardiomyopathy or amyotrophic lateral sclerosis, that requires ongoing medical supervision and/or has been approved for or is receiving complex medical treatment for the disorder, the administration of which cannot be interrupted.
8. An eligible beneficiary is enrolled in a Medi-Cal waiver program that allows the individual to receive sub-acute, acute, intermediate or skilled nursing care at home rather than in a sub-acute care facility, an acute care hospital, an intermediate care facility or a skilled nursing facility.
9. An eligible beneficiary is participating in a pilot project organized and operated pursuant to sections 14087.3, 14094.3, or 14490 of the Welfare and Institutions Code.
(B) A request for exemption from plan enrollment based on complex medical conditions shall not be approved for an eligible beneficiary who has:
1. Been a member of either plan on a combined basis for more than 90 calendar days,
2. A current Medi-Cal provider who is contracting with either plan, or
3. Begun or was scheduled to begin treatment after the date of plan enrollment.
(3) Except for pregnancy, any eligible beneficiary granted a medical exemption from plan enrollment shall remain with the fee-for-service provider only until the medical condition has stabilized to a level that would enable the individual to change physicians and begin receiving care from a plan provider without deleterious medical effects, as determined by a beneficiary's treating physician in the Medi-Cal fee-for-service program, up to 12 months from the date the medical exemption is first approved by the Health Care Options Program. A beneficiary granted a medical exemption due to pregnancy may remain with the fee-for-service Medi-Cal provider through delivery and the end of the month in which 90 days post-partum occurs.
(4) Any extension to the 12-month medical exemption time limit shall be requested through the Health Care Options Program no earlier than 11 months after the starting date of the exemption currently in effect. The Health Care Options Program will notify the beneficiary 45 days before the expiration of an approved medical exemption and will inform the beneficiary how to request an extension. An extension to the medical exemption shall be approved if the eligible beneficiary continues to meet the requirements of subsection (a)(2).
(b) Exemption from plan enrollment or extension of an approved exemption due to a complex medical condition, as specified in (a)(2)(A), shall be requested on the “Request for Medical Exemption from Plan Enrollment” form (HCO Form 7101, June 2000), hereby incorporated by reference, which is available from the Health Care Options Program. Exemption from plan enrollment or extension of an approved exemption due to a beneficiary's enrollment in a Medi-Cal waiver program, as specified in (a)(2)(A)8, or a beneficiary's acceptance for care at an Indian Health Service facility, as specified in (a)(1), shall be requested on the “Request for Non-Medical Exemption from Plan Enrollment” form (HCO Form 7102, October 2000), hereby incorporated by reference, which is available from the Health Care Options Program. The completed request for exemption shall be submitted to the Health Care Options Program by the Medi-Cal fee-for-service provider or the Indian Health Service facility treating the beneficiary and shall be submitted by mail or facsimile. Request for exemption from plan enrollment or extension of an approved exemption shall not be submitted by the plan.
(c) The Health Care Options Program, as authorized by the department, shall approve each request for exemption from plan enrollment that meets the requirements of this section. At any time, the department may, at its discretion, verify the complexity, validity, and status of the medical condition and treatment plan and verify that the provider is not contracted or otherwise affiliated with a plan. The Health Care Options Program, as authorized by the department, or the department may deny a request for exemption from plan enrollment or revoke an approved request for exemption if a provider fails to fully cooperate with this verification.
(d) Approval of requests for exemption from plan enrollment is subject to the same processing times and effective dates specified in section 53889 for the processing of enrollment and disenrollment requests.
(e) The Health Care Options Program, as authorized by the department, or the department may revoke an approved request for exemption from plan enrollment at any time if the department determines that the approval was based on false or misleading information, the medical condition was not complex, treatment has been completed, or the requesting provider is not or has not been providing services to the beneficiary. The department shall provide written notice to the beneficiary that the approved request for exemption from plan enrollment has been revoked and shall advise the beneficiary that they must enroll in a Medi-Cal plan and how that enrollment will occur, as specified in section 53882. The revocation of an approved request for exemption from plan enrollment shall not otherwise affect an eligible beneficiary's eligibility or ability to receive covered services as a plan member.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Amendment of subsections (b), (b)(4) and (c) filed 10-1-97 as an emergency; operative 10-1-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 40).
4. Repealer and new section heading, section and Note filed 12-19-2000 as an emergency; operative 12-19-2000. Submitted to OAL for printing only pursuant to section 147, SB 485 (Ch. 722/92) (Register 2000, No. 51).
§53888. Enrollment/Disenrollment Form.
Note     •     History

(a) The Health Care Options Program shall make the enrollment/disenrollment form available in the Health Care Options information packets mailed to mandatory eligible beneficiaries, at the Health Care Options presentations, and at department-approved Health Care Options Program sites. The Health Care Options Program shall mail the enrollment/disenrollment form to a beneficiary within three working days of receiving a telephone or written request for a form.
(b) Plans shall make the enrollment/disenrollment form available at the member services departments and shall mail the form to a beneficiary within three working days of receiving a telephone or written request for a form.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Repealer and new section and Note filed 12-19-2000 as an emergency; operative 12-19-2000. Submitted to OAL for printing only pursuant to section 147, SB 485 (Ch. 722/92) (Register 2000, No. 51).
§53889. Enrollment/Disenrollment Processing.
Note     •     History

(a) An eligible beneficiary shall submit an enrollment or disenrollment request on an original, signed enrollment/disenrollment form to the Health Care Options Program by mail or in person at department-approved Health Care Options Program sites. Expedited disenrollment requests may also be submitted by facsimile. An eligible beneficiary also may request expedited disenrollment over the telephone from the Health Care Options Program.
(b) An eligible beneficiary shall provide the following information on the enrollment/disenrollment form when requesting enrollment or disenrollment: first and last name of the beneficiary; sex; date of birth; Social Security Number; Medi-Cal number; complete mailing address; telephone number, if available; plan choice, if requesting enrollment; name and address of doctor or clinic beneficiary is choosing as primary care provider; language of the beneficiary; and the reason for disenrolling, if requesting disenrollment. If the beneficiary is requesting enrollment or disenrollment for any other eligible family member, the same information shall be provided for the other eligible beneficiaries on the same form where indicated. The beneficiary or authorized representative, as specified in (h), shall sign and date the enrollment/disenrollment form.
(c) The Health Care Options Program shall assist with, accept and process enrollment and disenrollment requests regardless of the beneficiary's race, creed, color, religion, age, sex, national origin, ancestry, marital status, sexual orientation, physical or mental disability, or pre-existing medical conditions.
(d) The Health Care Options Program shall ensure that beneficiaries are informed of their right to request a fair hearing in accordance with sections 50951, 51014.1, 51014.2, and 53894.
(e) The Health Care Options Program shall accept and process all completed enrollment and disenrollment requests, including expedited disenrollment requests, from eligible beneficiaries within two working days of receipt if such requests meet the conditions for plan disenrollment specified in section 53891.
(f) Approval of enrollment and disenrollment requests is conditioned upon receipt of a fully completed enrollment/disenrollment form and all required supporting documentation.
(g) The Health Care Option Program shall notify beneficiaries in writing of the approval or disapproval of enrollment and disenrollment requests, including expedited disenrollment requests, within seven working days of receipt of the request. This notice shall include the effective date of the enrollment and/or disenrollment, as specified in (h) below.
(h) Enrollment and disenrollment requests may be submitted by the beneficiary or other authorized individuals listed in (1) through (7) below:
(1) Persons with legal authority to act on the beneficiary's behalf. Such persons include, but are not limited to, parents, legal guardians, publicly appointed guardians, and other legally designated representatives.
(2) Department staff responsible for the administration of the Two-Plan Model Program and Health Care Options Program staff.
(3) County staff, including but not limited to, social workers, probation officers, caseworkers, and other local government personnel responsible for supervision or case management of the beneficiary.
(4) Foster parents or parents adopting a child in the Adoption Assistance Program.
(5) Medi-Cal managed care Two-Plan Model Program contractors.
(6) Case managers, physicians or medical staff of the Medi-Cal home and community-based services waiver programs.
(7) Care coordinators at Regional Centers for the Developmentally Disabled.
(i) The effective date of enrollment or disenrollment is determined as follows:
(1) Enrollment requests and non-expedited disenrollment requests processed before the monthly update to the Medi-Cal Eligibility Data System shall be effective on the first day of the month following the month in which the request is processed.
(2) Enrollment requests and non-expedited disenrollment requests processed after the monthly update to the Medi-Cal Eligibility Data System shall be effective on the first day of the second month following the month in which the request is processed.
(3) Expedited disenrollment requests shall be effective on the first day of the month in which the request is processed, whether submitted before or after the monthly update to the Medi-Cal Eligibility Data System.
(j) The Health Care Options Program shall process all completed disenrollment requests meeting the requirements of section 53891 as expedited disenrollments if they also meet the criteria in (1) and (2) below. Approved expedited disenrollments are effective as specified in (i)(3) in this section.
(1) The beneficiary has not used services for which the plan is contractually obligated to pay during the month for which disenrollment is requested, and
(2) Disenrollment is requested for one of the following reasons, and all required supporting documentation is provided:
(A) The beneficiary is an American Indian, a member of an American Indian household, or chooses to receive health care services through an Indian Health Service facility and has written acceptance from the Indian Health Service facility for care on a fee-for-service basis.
(B) The beneficiary is receiving services under the Foster Care or Adoption Assistance Program or has been placed in the care of Child Protective Services. The disenrollment request must be submitted by the authorized foster parent, the authorized adoptive parent, or the licensed agency providing protective services.
(C) The beneficiary has a complex medical condition, specified in section 53887(a)(2)(A), and the disenrollment request is submitted with verification of the medical condition, treatment plan, and duration of treatment by the Medi-Cal fee-for-service physician.
(D) The beneficiary is enrolled in a Medi-Cal waiver program that allows the individual to receive sub-acute, acute, intermediate or skilled nursing care at home rather than in a sub-acute care facility, acute care hospital, intermediate care facility or skilled nursing facility. Verification of participation in the waiver program must be submitted with the disenrollment request by the beneficiary or the beneficiary's authorized representative as specified in (h).
(E) The beneficiary is participating in a pilot project organized and operated pursuant to sections 14087.3, 14094.3, or 14490 of the Welfare and Institutions Code. Verification of participation in the pilot program must be submitted with the disenrollment request by the beneficiary or the beneficiary's authorized representative as specified in (h).
(F) The Health Care Options Program incorrectly enrolled or assigned the eligible beneficiary to a plan not chosen by the beneficiary, as determined by the Health Care Options Program, the beneficiary or the plan and verified by the Health Care Options Program. An explanation of the incorrect enrollment or assignment must be submitted with the disenrollment request by the beneficiary or the beneficiary's authorized representative as specified in (h).
(G) The beneficiary submitted a non-expedited disenrollment request that meets the requirements for disenrollment or a request for exemption from plan enrollment based upon a qualifying complex medical condition that was not timely processed by the Health Care Options Program. An explanation of the lack of timely processing must be submitted with the disenrollment request by the beneficiary or the beneficiary's authorized representative as specified in (h).
(H) The beneficiary has moved or been placed outside of the plan service area and has notified his or her caseworker of the new address. If the beneficiary's new address is not yet shown in the Medi-Cal Eligibility Data System, the beneficiary is responsible for requesting that the caseworker provide verification of the new address to the Health Care Options Program by telephone, facsimile, or in writing.
(I) The beneficiary or plan has experienced an irreconcilable breakdown in the patient-physician relationship, has used the plan's problem resolution process, and the department has approved the disenrollment. Documentation of the irreconcilable breakdown in the patient-physician relationship, including the use of the plan's problem resolution process, must be submitted with the disenrollment request by the beneficiary, the beneficiary's authorized representative as specified in (h), or the plan. Use of the plan's problem resolution process shall not be required in situations where a beneficiary's behavior presents physical risk to plan staff, a provider, or staff at a provider site, and the plan or provider has filed a police report regarding the physical risk.
(J) The beneficiary was enrolled in the plan due to incorrect information provided by the Health Care Options Program or due to prohibited marketing practices by the plan, as determined by the Health Care Options Program, the beneficiary or the plan and verified by the Health Care Options Program. Explanation of the incorrect information or the prohibited marketing practices must be submitted with the disenrollment request by the beneficiary or the beneficiary's authorized representative, as specified in (h).
(K) The beneficiary requires nursing facility services, other than members requesting hospice services, has been admitted to a long-term care facility and will remain in long-term care for more than two consecutive months. The name of the long-term care facility and the date of admission must be submitted with the disenrollment request by the beneficiary or the beneficiary's authorized representative as specified in (h).
(L) The beneficiary is deceased, and the death is not yet reflected in the Medi-Cal Eligibility Data System. A copy of the death certificate must be submitted with the disenrollment request by the beneficiary's authorized representative as specified in (h).
(k) The Health Care Options Program shall notify the plan of enrollment and disenrollment on a weekly basis. However, enrollment and disenrollment is effective only when confirmed by the department's eligibility information contained in the Medi-Cal Eligibility Data System update that is provided monthly to plans.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14495, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Repealer and new section heading, section and Note filed 12-19-2000 as an emergency; operative 12-19-2000. Submitted to OAL for printing only pursuant to section 147, SB 485 (Ch. 722/92) (Register 2000, No. 51).
§53890. Assignment of Primary Care Physician.
Note     •     History

(a) Each plan in a designated region shall have a mechanism in place and approved in writing by the department to ensure that each member is assigned to a primary care physician, by either:
(1) Allowing each member to select a primary care physician from the plan's network of affiliated physicians, if the member chooses to do so; or
(2) Assigning a primary care physician to each member within forty days from the effective date of enrollment, if the member does not select one within the first thirty days of the effective date of enrollment in the plan. This assignment shall meet the conditions of both:
(A) The member shall be assigned to a primary care physician within the maximum travel distances specified in section 53885.
(B) The member shall be assigned to a primary care physician who is or has office staff who are linguistically and culturally competent to communicate with the member or have the ability to interpret in the provision of health care services and related activities during the member's office visits or contacts, if the language or cultural needs of the member are known to the plan.
(b) The plan shall provide the member written notice of their assignment to a primary care physician within 10 days of their assignment, and informing the member of their right to choose another primary care physician from the plan's list of approved primary care physicians.
(c) Any member dissatisfied with the primary care physician selected or assigned shall be allowed to select or be assigned to another primary care physician. Each plan shall assist its members in changing primary care physicians if that change is requested by the member. Any request by a member to change primary care physicians shall be processed by the plan within 30 days of the date the request is received by the plan.
(d) Any plan physician dissatisfied with the physician/patient relationship with any member may request that the member select or be assigned to another primary care provider.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section heading, section and Note and new section heading, section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53890.5. Assignment of a Primary Care Provider.
Note     •     History

(a) If the plan utilizes nonphysician practitioners, members may select, be assigned to, or change such providers in accordance with the provisions of section 53890.
(b) In all cases where a nonphysician practitioner is a member's primary care provider, the plan shall ensure that a primary care physician is responsible for the overall coordination of the member's health care, consistent with applicable state and federal laws and regulations.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code.
HISTORY

1. New section filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53891. Disenrollment of Members.
Note     •     History

(a) The Health Care Options Program shall disenroll any member from a plan when one of the following conditions is met:
(1) A member's eligibility for enrollment as a Medi-Cal beneficiary is terminated.
(2) The Health Care Options Program incorrectly enrolled or assigned a member to a plan not of his/her choosing, as indicated on the enrollment request form completed by beneficiary.
(3) A member was enrolled in the plan due to incorrect information provided by the Health Care Options Program or due to prohibited marketing practices by the plan as specified in sections 53880 or 53881.
(4) A member's request for disenrollment is due to plan merger or reorganization.
(5) There is a change of a member's place of residence to outside the plan's service area.
(6) A member requests the disenrollment for any reason and the request is not made during any restricted disenrollment period for that member.
(7) The member or the plan requests disenrollment for good cause, as specified below, when the request is made during any restricted disenrollment period for the member. For the purposes of this subsection, good cause for disenrollment means one of the following:
(A) The member requires Medi-Cal services that are excluded under the terms of the plan's contract and which can be obtained only if the member disenrolls from the plan.
(B) The plan requests disenrollment because the member uses or permits to be used fraudulently the member's Medi-Cal coverage under the plan, as defined in Welfare and Institutions Code section 14043.1(d). Fraudulent use includes allowing others to use the member's plan membership card to receive services from the plan or to submit claims for services which were not provided to the member.
(C) The plan or member requests the disenrollment because of an irreconcilable breakdown in the physician-patient relationship, specified in section 53889(j)(2)(I).
(D) The member or plan requests the disenrollment for any other reasons determined by the department to constitute good cause.
(8) The member requests disenrollment for one of the reasons specified for exemption from plan enrollment in section 53887 and meets the criteria specified in that section.
(9) The member meets the criteria for expedited disenrollment in accordance with section 53889(j).
(10) The member becomes enrolled in one of the following forms of other health coverage, except when dual enrollment is permitted as specified in Section 53845(f):
(A) Medicare HMO
(B) CHAMPUS Prime HMO
(C) Kaiser HMO
(D) Any other HMO/Prepaid Health Plan in which the enrollee is limited to a prescribed panel of providers for comprehensive service.
(b) The department may restrict disenrollment from a plan during the second through sixth month of a member's initial enrollment in the plan when all of the following apply:
(1) Both plans in a designated area are operational.
(2) Both plans have requested restricted disenrollment.
(3) The department's federal waiver or State Plan amendment authorizing operation of the Two-Plan Model Program authorizes restricted disenrollment.
(c) Each disenrollment request shall be accompanied by an enrollment request for enrollment in the competing plan unless the member has moved out of the plan's service area, meets the criteria in section 53887 for exemption from plan enrollment, will be incarcerated for more than one month, or is eligible for voluntary enrollment. Any member who does not select the competing plan shall be assigned, in accordance with section 53883. If the competing plan is at enrollment capacity, fee-for-service Medi-Cal shall be made available to the eligible beneficiary.
(d) Disenrollment requests shall be processed in accordance with the provisions of section 53889.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4, 14407.6 and 14407.8, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Amendment of section and Note filed 12-19-2000 as an emergency; operative 12-19-2000. Submitted to OAL for printing only pursuant to section 147, SB 485 (Ch. 722/92) (Register 2000, No. 51).
§53892. Problem Resolution Process for Members.
Note     •     History

(a) Any member of a plan may request assistance by telephone, facsimile, in writing, or in person from the Health Care Options Program in resolving problems associated with mandatory or voluntary enrollment or disenrollment in the Two-Plan Model Program or assignment to a plan.
(b) If the Health Care Options Program is not able to resolve the problem through the procedures for processing enrollment and disenrollment specified in section 53889, then the Health Care Options Program shall first direct the beneficiary to the plan in which the beneficiary is a member, unless the beneficiary has already been to the plan to attempt to resolve problems resulting from plan enrollment or disenrollment. If the beneficiary wishes to disenroll from the plan, the Health Care Options Program shall advise the beneficiary of the options to:
(1) Be referred to the plan's problem resolution process.
(2) Be referred to the department's Medi-Cal Managed Care Ombudsman and the Department of Managed Health Care's Office of the Patient Advocate.
(c) If the beneficiary is referred to a plan's problem resolution process, the Ombudsman or the Department of Managed Health Care's Office of the Patient Advocate, the Health Care Options Program shall provide an estimated time frame within which the member shall be contacted by the plan, the Ombudsman or the Department of Managed Health Care's Office of the Patient Advocate.
(d) If the beneficiary still wishes to disenroll, the Health Care Options Program shall process the disenrollment request as specified in sections 53889 and 53891.
(e) If the member and the plan have been unsuccessful in resolving the problem to the member's satisfaction, but the member does not want to disenroll, the plan shall forward the problem to the department's Ombudsman by the next working day following the day on which the member indicates he/she does not want to disenroll.
(1) The plan shall tell the beneficiary when the beneficiary may expect to be contacted by the Ombudsman.
(f) In addressing issues under the problem resolution process, the Health Care Options Program, the department's Ombudsman, and the plan shall perform these functions in a manner consistent with cultural and linguistic requirements prescribed by the contract between the plan and the department.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 10950, 14087.3, 14087.4 and 14450, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section and Note and new section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Amendment of section and Note filed 12-19-2000 as an emergency; operative 12-19-2000. Submitted to OAL for printing only pursuant to section 147, SB 485 (Ch. 722/92) (Register 2000, No. 51).
§53893. Medi-Cal Managed Care Ombudsman.
Note     •     History

(a) The department may designate a Medi-Cal Managed Care Ombudsman. The Ombudsman shall provide Medi-Cal beneficiaries access to a service which investigates and resolves complaints about managed care plans by, or on behalf of, Medi-Cal beneficiaries.
(b) The duties of the Ombudsman shall include, but not be limited to the following:
(1) Encouraging beneficiaries to avail themselves of the opportunity to obtain health care through Medi-Cal managed care plans.
(2) Assisting beneficiaries by removing inappropriate barriers to accessing care.
(3) Educating and informing managed care plans of the specific needs of Medi-Cal beneficiaries.
(4) Educating beneficiaries on how to use the managed care system effectively.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 10950 through 10965, 14087.3, 14087.4 and 14450, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section heading, section and Note and new section heading, section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53894. Notice to Members of Plan Action to Deny, Defer or Modify a Request for Medical Services.
Note     •     History

(a) Each plan shall provide members with a notice of an action taken by the plan to deny a request by a provider for any medical service. Notice in response to an initial request from a provider shall be provided in accordance with this section. Notice in response to a request for continuation of a medical service shall be provided in accordance with section 51014.1. Notice of denial of a medical service shall not be required in the following situations:
(1) The denial is a denial of a request for prior authorization for coverage for treatment that has already been provided to the member.
(2) The denial is a non-binding verbal description to a provider of the services which may be approved by the plan.
(3) The denial is a denial of a request for drugs, and a drug identical in chemical composition, dosage, and bioequivalence may be obtained through prior authorization from the plan or from the list, established by the plan, of drugs available without prior authorization from the plan.
(b) Each plan shall provide members with a notice of deferral of a request by a provider for a medical service. Notice of the deferral shall be delayed for 30 days to allow the provider of the medical services time to submit the additional information requested by the plan and to allow time for the plan to make a decision. If, after 30 days from the plan's receipt of the request for prior authorization, the provider has not complied with the plan's request for additional information, the plan shall provide the member notice of denial pursuant to subdivision (a). If, within that 30 day period, the provider does comply, the plan shall take appropriate action on the request for prior authorization as supplemented by the additional information, including providing any notice to the member.
(c) Each plan shall provide members notice of modification of a request by a provider for prior authorization. Notice in response to an initial request from a provider shall be provided in accordance with this subdivision. Notice in response to a request for continuation of a medical service shall be provided in accordance with section 51014.1. Notice of modification pursuant to this subdivision shall not be required in the following situations:
(1) Each plan may modify a request for durable equipment without notice, as long as the substituted equipment is capable of performing all medically significant functions that would have been performed by the requested equipment.
(2) Each plan may modify the duration of any approved therapy or the length of stay in an acute hospital inpatient facility without notice as long as the plan provides an opportunity for the provider to request additional therapy or inpatient days before the end of the approved duration of the therapy or length of stay.
(d) The written notice of action issued pursuant to subdivisions (a), (b), or (c) shall be deposited with the United States postal service in time for pick-up no later than the third working day after the action and shall specify:
(1) The action taken by the plan.
(2) The reason for the action taken.
(3) A citation of the specific regulations or plan authorization procedures supporting the action.
(4) The member's right to a fair hearing, including:
(A) The method by which a hearing may be obtained.
(B) That the member may be either:
1. Self represented.
2. Represented by an authorized third party such as legal counsel, relative, friend or any other person.
(C) The time limit for requesting a fair hearing.
(e) For the purposes of this section, medical services means those services that are subject to prior authorization under the plan's authorization procedures.
(f) The provisions of this section apply only to medical services that are covered in the contract between the Department and the plan.
(g) The provisions of this section do not apply to the decisions of providers serving plan members when prior authorization of the service by the plan's authorization procedures is not a condition of payment to the provider for the medical service.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 10950 through 10965, 14087.3, 14087.4 and 14450, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section heading, section and Note and new section heading, section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53895. Information to New Members.
Note     •     History

(a) The plan shall send information to new members, as described below, by the seventh day of the first month of enrollment in the plan by the new member and annually thereafter.
(b) Each plan shall provide to each member in writing, in addition to those items of information contained in the Welfare and Institutions Code, section 14406, the following information, as approved by the department:
(1) The plan name and the address and telephone number within the plan's service area where member services are available.
(2) The effective date of enrollment.
(3) A description of all available services and an explanation of any service limitations, exclusions from coverage or charges for services, when applicable.
(4) An explanation of how to use the fee-for-service system when Medi-Cal covered services are excluded or limited under the plan and how to obtain additional information.
(5) Information on the availability of transitional Medi-Cal eligibility and how the member may apply for this program.
(6) The name, telephone number, and service site address of the primary care provider selected by the member or instructions to select a primary care provider within thirty days and that failure to timely select a primary care physician will result in the member being assigned a primary care provider by the plan, in accordance with section 53890. The plan shall notify the primary care provider of selection by or assignment of the eligible beneficiary within ten days of selection or assignment.
(7) Procedures for changing the member's primary care provider and an explanation that the member can make this change at any time.
(8) Information concerning any non-medical transportation services available to the member from the plan and through the local EPSDT and CHDP programs, and how to obtain such services.
(9) The appropriate use of health care services in a managed care system and the contributions the member can make toward the maintenance of the member's own health, including the value of scheduling an initial health assessment appointment.
(10) An explanation of the member's right to request a fair hearing under Welfare and Institutions Code section 10950, et seq. without going through the plan's grievance procedures when a health care service requested by the member or a provider has not been provided.
(11) Information on the availability of and procedures for obtaining services at Federally Qualified Health Centers and Indian Health Services facilities.
(12) Information on the member's right to seek family planning services from any provider eligible to provide family planning services under the Medi-Cal program, including providers outside the plan's provider network, and a description of those services.
(13) Information on the member's eligibility for nurse midwife and nurse practitioner services and how to obtain these services.
(14) Information concerning the provision and availability of services covered under the CCS program from providers outside the plan's provider network and how to access these services.
(15) An explanation of the expedited disenrollment process for members meeting the criteria in section 53889(j).
(16) Information on how to obtain minor consent services through the plan, and an explanation of those services.
(17) A description of the Medi-Cal Managed Care Ombudsman Program and the Department of Managed Health Care's Office of Patient Advocate, including the toll-free telephone numbers for each.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14087.3 and 14406, Welfare and Institutions Code.
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section heading, section and Note and new section heading, section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
3. Amendment of section and Note filed 12-19-2000 as an emergency; operative 12-19-2000. Submitted to OAL for printing only pursuant to section 147, SB 485 (Ch. 722/92) (Register 2000, No. 51).
§53896. Annual Information to Members.
Note     •     History

Each plan in a designated region shall revise, if necessary, and distribute the information specified in section 53895(a) to each member or the member's family unit at least once every twelve months.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14406, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-1-96 as an emergency; operative 7-1-96. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 96, No. 28).
2. Repealer of section heading, section and Note and new section heading, section and Note filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53897. Notification of Changes in Services.
Note     •     History

Each plan in a designated region shall revise, obtain the approval of the department, and distribute the information specified in section 53895(a) at least thirty days prior to any changes which the plan makes in services provided or in the locations at which services may be obtained, to each member affected by that change. Notification shall be provided at least fourteen days prior to any changes in cases of unforeseeable circumstances.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3, 14087.4 and 14406, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
§53898. Information for Departmental Dissemination.
Note     •     History

Each plan in a designated region shall furnish the department and the Health Care Options Program the information required in section 53895(a), as it changes and upon request, for dissemination to prospective members.
NOTE

Authority cited: Sections 10725, 14105, 14124.5 and 14312, Welfare and Institutions Code. Reference: Sections 14087.3 and 14087.4, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-97; operative 3-4-97. Submitted to OAL for printing only pursuant to Section 147, SB 485 (Ch. 722/92) (Register 97, No. 10).
Chapter 4.5. Geographic Managed Care Program
Article 1. General Provisions
§53900. General.
Note     •     History

(a) In defined geographic areas designated by the department, health care services shall be provided to eligible beneficiaries as follows:
(1) Medical services shall be provided through Prepaid Health Plans (PHPs) and Primary Care Case Management (PCCM) plans.
(2) Dental services shall be provided through dental-only Knox-Keene licensed PHPs.
(b) PHPs, PCCM plans, and dental plans participating in the Geographic Managed Care (GMC) program shall meet the requirements contained in this chapter and the PHP and PCCM plan requirements contained in chapters 4 and 6, respectively, of this subdivision. If the requirements in this chapter and those in chapters 4 and 6 conflict, this chapter shall take precedence.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New chapter 4.5, article 1 and section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53902. Definitions.
Note     •     History

The following definitions shall control the construction of this chapter, unless the context requires otherwise.
(a) Assignment. Assignment means the actions taken by the GMC enrollment contractor to enroll an eligible beneficiary into a GMC plan, in the absence of a selection made by the beneficiary. Assignment also means action by a GMC plan to assign a member to a primary care provider, in the absence of a selection made by the member.
(b) Capitated Service. Capitated service means a medical or dental service for which a GMC plan is compensated in its fixed monthly per member rate.
(c) Dental Plan. Dental plan means a specialized health care service plan, which provides only dental services and is licensed under the Knox-Keene Health Care Services Plan Act of 1975.
(d) Eligible Beneficiary. Eligible beneficiary means a person who resides in an area covered by the GMC program, who has been determined eligible to receive Medi-Cal services, whose scope of Medi-Cal benefits is not limited, and who has been determined to have a share of cost equal to zero, as specified in Section 53906.
(e) Fair Hearing. Fair hearing means an administrative hearing conducted by the state relating to Medi-Cal eligibility or benefits, pursuant to Sections 50951 through 50955.
(f) Federally Qualified Health Maintenance Organization (HMO). Federally qualified HMO means a PHP that has been determined by the federal Health Care Financing Administration to be a qualified HMO under Section 1310(d) of the Public Health Service Act.
(g) Geographic Managed Care (GMC) Program. GMC Program means the program authorized by Section 14089 et seq. of the Welfare and Institutions Code.
(h) GMC Contract. GMC contract means the written agreement entered into between a prepaid health plan, primary care case management  plan, or dental plan and the department to provide health care services to GMC plan members.
(i) GMC Enrollment Contractor. GMC enrollment contractor means the entity contracting with the department to provide GMC options presentations, enrollment and disenrollment activities, and problem resolution functions.
(j) GMC Plan. GMC plan means a PHP, PCCM plan, or dental plan that has entered into a GMC contract with the department.
(k) Indian. Indian means any Indian who is eligible under federal law to receive health services provided directly by the United States Indian Health Services (IHS) or by a tribal or urban contractor through contract with IHS.
(l) Indian Health Service Program Facility. Indian Health Service program facility means a tribal or urban Indian Health Service (IHS) organization operating health care programs or facilities with funds from the IHS under the Indian Self-Determination Act and the Indian Health Care Improvement Act, through which services are provided, directly or by contract, to the eligible Indian population within a defined geographic area.
(m) Initial Health Assessment. Initial health assessment means an assessment conducted by the GMC plan of a member's medical or dental health status.
(n) Member. Member means an eligible beneficiary who is enrolled in a GMC plan.
(o) Prepaid Health Plan (PHP). PHP means a health care service plan licensed pursuant to the Knox-Keene Health Care Service Plan Act of 1975, which has entered into a contract with the department on a capitated rate basis to furnish health services to eligible beneficiaries.
(p) Primary Care Case Management (PCCM) Plan. PCCM plan means a primary care provider that has contracted with the department pursuant to Article 2.9, commencing with Section 14088, Welfare and Institutions Code.
(q) Primary Care Provider. Primary care provider means a physician or dentist who has the responsibility for providing initial and primary care to members, for maintaining the continuity of member care, and for initiating referrals for specialist care.
(r) Service Site. Service site means the location designated by a GMC plan at which a member received primary care physician or dentist services.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Sections 10950-10965, 14088, 14088.05, 14089, 14251 and 14252, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53904. GMC Plan Requirements.
Note     •     History

(a) Each GMC plan shall:
(1) Agree to provide or arrange for the provision of, to the extent allowed by state and federal law, the scope of Medi-Cal program benefits set forth by GMC contract to eligible beneficiaries who either select or are assigned to that GMC plan.
(2) Share in the risk of providing health care services.
(3) Provide readily available and accessible health care services and utilize preventive health care programs to improve the health status of its members.
(4) Case manage members' utilization of health care services.
(5) Inform eligible beneficiaries about non-medical transportation services that may be available to them under the Medi-Cal program, including the conditions under which non-medical transportation services will be provided to members by the GMC plan and how a member is to request those services, if the plan opts to provide them.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14089 and 14089.4, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53906. Eligible Beneficiaries.
Note     •     History

(a) Enrollment in GMC plans shall be mandatory for eligible beneficiaries who meet all of the following criteria:
(1) Are eligible to received Medi-Cal services that are not limited in scope;
(2) Have been determined to have a share of cost equal to zero;
(3) Do not meet the criteria for selecting an alternative to GMC plan enrollment, specified in Section 53923.5;
(4) Are eligible for any of the following:
(A) Programs linked to the Aid to Families with Dependent Children (AFDC) program, as defined in Section 50019;
(B) The Medically Indigent program for children under age 21, as defined in Section 50251(a); or
(C) Foster Children program.
(b) Enrollment in GMC plans shall be voluntary for eligible beneficiaries who meet all of the following criteria:
(1) Are eligible to receive Medi-Cal services that are not limited in scope;
(2) Have been determined to have a share of cost equal to zero; and
(3) Are eligible for either of the following:
(A) The federal Supplemental Security Income for the Aged, Blind, and Disabled program set forth commencing with Section 1382, Title 42, United States Code.
(B) The Medically Indigent program for pregnant women, as defined in Section 50251(b)(3).
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
Article 2. Operational Requirements
§53910. Organization and Administration.
Note     •     History

(a) Each GMC plan shall have the organizational and administrative ability to carry out its contractual obligations, including but not limited to the following:
(1) Each PHP and dental plan shall meet the organizational and administrative requirements contained in Section 53200.
(2) Each PCCM plan shall meet the organizational and administrative requirements contained in Section 56200.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New article 2 and section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53910.5. Scope of Services.
Note     •     History

(a) Each GMC plan shall provide or arrange for the provision of Medi-Cal services in accordance with the requirements for PHPs and PCCM plans, as set forth in Chapters 4 and 6, beginning with Sections 53210 and 56210, respectively, unless services are specifically included or excluded under the terms of the GMC contract, and the following:
(1) Initial medical or dental health assessments.  An initial health assessment shall include a history of the member's medical or dental health, an identification of risks, an assessment of need for preventive screens or services and health education, and the diagnosis and plan for treatment of any diseases.
(2) Health education.
(3) Preventive services.
(4) Identification and treatment of disease.
(5) Primary and urgent care.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53911. Availability of Services.
Note     •     History

Each GMC plan shall obtain written departmental approval prior to making any substantial change in the availability or location of services to be provided under the GMC contract, except in the case of a natural disaster or emergency circumstances.  A proposal to change the location for the provision of covered services or to reduce their availability shall be given to the department at least sixty days prior to the proposed effective date.  The department's denial of the proposal shall prohibit implementation of the proposed changes.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutews of 1992) (Register 94, No. 15).
§53911.5. Accessibility to Physicians and Dentists.
Note     •     History

(a) Each GMC plan that is a PHP or PCCM plan shall retain sufficient professional medical staff to provide access to preventive and managed health care services to its members.  Access to physicians shall be as follows:
(1) Each PHP and PCCM plan shall provide at least one full-time equivalent primary care physician for every 2,000 patients, or have in place an alternative mechanism for ensuring access, approved in writing by the department.
(2) Each PHP and PCCM plan shall provide at least one full-time equivalent physician for every 1,200 plan members, or have in place an alternative mechanism for ensuring access, approved in writing by the department.
(3) If utilized by a PHP or PCCM plan, mid-level practitioners, such as nurse practitioners and physicians assistants, shall meet the requirements of existing practice and licensure standards for mid-level practitioners, as specified in Sections 1399.541 and 1470, Title 16, CCR, including physician supervision, as specified in Section 2746.5, Business and Professions Code.
(b) Each dental plan shall establish and implement a mechanism for ensuring access, including but not limited to a maximum ratio of dentists to patients, approved in writing by the department.
(c) Each GMC plan shall ensure that each member of the plan has a primary care provider to supervise and coordinate each member's health care, by either allowing members to select their primary care providers or assigning members to primary care providers, pursuant to Section 53925.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14089, Welfare and Institutions Code; and Section 2746.5, Business and Professions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53912. Pharmaceutical Services and Prescribed Drugs.
Note     •     History

(a) Each PHP and PCCM plan shall provide, either directly or through subcontracts, the services of pharmacies and pharmacists.  Pharmaceutical services shall be available to members during service site hours.
(b) Prescribed drugs shall be provided to members by licensed pharmacies and shall be reimbursed by the PHP or PCCM plan in which the member is enrolled.  Professional standards reflected by reasonable and current prescribing practices, based on reference to current medical literature and consultation with provider organizations, academic and professional specialists, shall be met, including but not limited to Title 16, Sections 1707.1, 1707.2, and 1707.3.
(c) Prescribed drugs may include the provision of pre-packaged drugs dispensed under the direct supervision of the professionally licensed personnel of the PHP or PCCM plan after the plan has written approval granted by the department.
(d) Each dental plan shall provide written prescriptions to members as necessary, and shall instruct each member to fill any prescriptions at a pharmacy used by the PHP or PCCM plan in which the member is enrolled.  The PHP or PCCM plan in which the member is enrolled shall reimburse the pharmacy for each prescription filled.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14089, 14132, 14133 and 14133.1, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53912.5. Care Under Emergency Circumstances.
Note     •     History

(a) Each GMC plan shall meet the requirements specified in Section 53216.
(b) Each GMC plan shall arrange for and make payment, at the lowest of the Medi-Cal fee-for-service rate or the plan negotiated rate, for emergency services as defined in Section 51056.
(c) Each GMC plan shall make payment, at the lowest of the Medi-Cal fee-for-service rate or the plan negotiated rate, for the diagnostic portion of any emergency room or urgent care visit.  Specifically, each plan shall reimburse and shall not require prior authorization for the following:
(1) Emergency room services required to determine whether a member's condition requires emergency services.
(2) All other capitated services, such as radiology or pathology, necessary to diagnose the possible emergency condition.
(d) A GMC plan may authorize and reimburse services provided beyond those required to determine whether the condition is an emergency.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14088.4, 14089 and 14454, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53913. Facilities, Service Locations and Equipment.
Note     •     History

(a) Each GMC plan shall comply with the requirements contained in Section 53230, and shall assure proper sterilization and disinfection of equipment, in accordance with California Occupational Safety and Health Administration (Cal/OSHA) standards, pursuant to California Labor Code, Section 6305.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53913.5. Medical Director and Dental Director.
Note     •     History

(a) Each PHP and PCCM plan shall appoint a physician as medical director and each dental plan shall appoint a dentist as dental director, whose responsibilities shall include, but not be limited to, the following:
(1) Ensuring that medical or dental decisions are rendered by qualified medical or dental personnel, unhindered by fiscal or administrative management.
(2) Ensuring that the medical or dental care provided meets the standards for acceptable medical and dental care.
(3) Ensuring that medical or dental protocols and rules of conduct for plan medical or dental personnel are followed.
(4) Developing and implementing medical or dental policy.
(5) Resolving medical or dental quality of care related grievances.  The medical or dental director shall refer non-medical or non-dental related grievances, and other grievances that are determined to be appropriately resolved through the grievance procedure, to the grievance coordinator.
(6) Actively participating in the functioning of the plan grievance procedures.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14088, 14089, 14089.2, 14450 and 14495, Welfare and Institutions Code; and Section 1367, Health and Safety Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53914. Member Grievance Procedures.
Note     •     History

(a) Each GMC plan shall establish and maintain written procedures for the submittal, processing, and resolution of all member grievances and complaints.  The grievance system shall include the handling of complaints and shall:
(1) Operate according to the written procedures, which shall be approved in writing by the department prior to use.  Amendments shall be approved in writing by the department prior to implementation of the revised procedure.
(2) Be described in information sent to each member upon enrollment in the GMC plan and annually thereafter, pursuant to Sections 53926.5 and 53927.  The description shall include:
(A) An explanation of the GMC plan's system for processing and resolving grievances, and how a member is to use it.
(B) A statement that grievance forms are available in the office of each primary care provider, or in each member services department of the GMC plan, in the case of a GMC plan in which all primary care providers are the exclusive providers of that plan and are contiguously located.
(C) A statement that grievances may be filed in writing or verbally directly with the GMC plan in which the member is enrolled or at any office of the GMC plan's providers.
(D) The telephone number a member may call to obtain information, request grievance forms, and register a verbal grievance.
(E) A statement that a member has a right to request a fair hearing, pursuant to Section 50951.
(b) Each GMC plan shall make local or toll-free telephone service available to members during normal business hours for requesting grievance forms, filing verbal grievances, and requesting information.
(c) Each GMC plan shall provide upon request a grievance form, either directly or by mail if mailing is requested to any member requesting the form.
(d) Each GMC plan shall provide assistance to any member requesting assistance in completing the grievance form.  
(e) The member grievance procedures shall at a minimum provide for:
(1) The recording in a grievance log of each grievance received by the GMC plan, either verbally or in writing.  The grievance log shall include the following information:
(A) The date and time the grievance is filed with the GMC plan or provider.
(B) The name of the member filing the grievance.
(C) The name of the GMC plan provider or staff person receiving the grievance.
(D) A description of the complaint or problem.
(E) A description of the action taken by the GMC plan or provider to investigate and resolve the grievance.
(F) The proposed resolution by the GMC plan or provider.
(G) The name of the GMC plan provider or staff person responsible for resolving the grievance.
(H) The date of notification of the member of the proposed resolution.
(2) The immediate submittal of all medical or dental quality of care grievances to the medical or dental director for action.
(3) The submittal, at least quarterly, of all quality of care grievances to the GMC plan's quality assurance committee for review and appropriate action.
(4) The mailing of a written notice of the proposed resolution to the member.  Each notice shall include information about the member's right to request a fair hearing pursuant to Section 50951.
(f) Grievance forms and a grievance log shall be available in the offices of each of the GMC plan's primary care providers, or in each member services department of the GMC plan, in the case of a GMC plan in which all primary care providers are the exclusive providers of that plan and are contiguously located.
(g) Each GMC plan shall adhere to the following requirements and time frames in processing member grievances:
(1) Member grievances shall be resolved within thirty days of the member's filing the grievance.
(2) In the event resolution is not reached within thirty days, the member shall be notified in writing by the GMC plan of the status of the grievance and shall be provided with an estimated completion date of resolution.
(h) Each GMC plan shall maintain in its files copies of all grievances, the responses to them, and logs recording them for a period fo five years from the date the grievance was filed.
(i) Any member whose grievance is resolved or unresolved shall have the right to request a fair hearing, in accordance with Sections 50951 through 50955.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 10950 through 10965, 14089, 14089.2 and 14450, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53914.5. Provider Grievances and Complaints.
Note     •     History

(a) A provider of medical or dental services may submit to a GMC plan a grievance or compliant concerning the authorization or denial of a service or the processing payment or nonpayment of a claim by that GMC plan.  Each GMC plan shall comply with the provider grievance and complaint requirements specified in Section 56262.  These requirements shall apply to PHPs, PCCM plans, and dental plans in the GMC program.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53915. Quality of Care.
Note     •     History

(a) Each GMC plan shall provide care which meets or exceeds the standards for medical or dental practice developed by the GMC plan and approved in writing by the department.  Each GMC plan shall use effective professional review in assessing the care provided to its members in accordance with state standards, including but not limited to Title 10, Section 1300.70.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14088.25, 14089, 14309 and 14458, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53915.5. Records.
Note     •     History

(a) Each GMC plan shall maintain or cause to be maintained all records necessary to verify information and reports required by statute, regulation or contractual obligation for five years from the date of submission of the information or reports.  Records and documents shall include but not be limited to:
(1) Working papers used in the preparation of reports to the department.
(2) Reports to the department, specified in Section 53916.
(3) Financial documents.
(4) Medical or dental records.
(5) Prescription files.
(b) Each GMC plan shall retain or cause to be retained all records pertaining to pending litigation or litigation in progress until the litigation is final.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14089, 14308 and 14458, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53916. Reporting.
Note     •     History

(a) Each GMC plan shall submit to the department:
(1) Reports required in Section 53312.
(2) Reports specified in the GMC contract.
(3) As frequently as it changes, an updated listing of the GMC plan's provider network, by specialty.
(b) Each GMC plan shall submit to the local health department, reports specified in the GMC contract.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14089 and 14308, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
Article 3. Marketing, Enrollment, Assignment, and Disenrollment
§53920. Marketing.
Note     •     History

(a) Each GMC plan shall limit its marketing activities to printed and illustrated materials, and media advertising. 
(1) Printed and illustrated materials may be made available to members or prospective members, as follows:
(A) By mail.  Printing, postage, and any related costs of material mailed to prospective members shall be paid by the GMC plan.  Mailings shall be coordinated with the department so that the confidentiality of Medi-Cal beneficiaries is protected.
(B) By posting materials in public places.
(C) At GMC options presentations, which shall be conducted by the GMC enrollment contractor, pursuant to Section 53923.
(b) All printed and illustrated materials and media scripts shall be approved in writing by the department prior to distribution to members or prospective members.
(c) No representative of a GMC plan shall contact prospective members for the purposes of marketing, unless that contact is approved in writing by a coordinated through the department, pursuant to (a)(1)(A), above.  However, physicians, dentists, mid-level practitioners, nurses, office staff may discuss GMC plan membership with their patients.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14088.15, 14088.22, 14089, 14263, 14408 and 14450, Welfare and Institutions Code.
HISTORY

1. New article 3 and  section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53920.5. Marketing and Member Materials.
Note     •     History

(a) The Evidence of Coverage, disclosure form, and any marketing brochure developed by or for a GMC plan and distributed to prospective members shall meet the requirements contained in Section 1300.63(a), Title 10, as to print size, readability, and understandability of text.
(b) All marketing materials distributed to eligible beneficiaries by a GMC plan shall fully disclose the availability of and restrictions upon the services provided by the GMC plan, and any exclusions from coverage.  Marketing materials shall, at a minimum, specify:
(1) The scope, access to, and availability of services, including service site locations and telephone numbers, and the service area authorized in that GMC plan's GMC contract.
(2) A description of the membership identification card issued by the GMC plan, if applicable, and an explanation as to its use in authorizing or assisting members to obtain services.
(3) That members shall obtain all Medi-Cal covered nonemergency health care services through the GMC plan's providers.
(4) That medical or dental services required in an emergency may be obtained from specified GMC plan providers or from non-plan providers, if necessary.
(5) The disenrollment process, and an explanation that disenrollment is possible only under the conditions specified in Section 53925.5 and is effective only after the disenrollment transaction is completed by the department.
(6) The GMC plan's grievance process, including instructions on how to use it.
(7) That members have the right to a fair hearing, including instructions on how to request one.
(8) The interpretive, linguistic, and cultural services available through plan personnel.
(9) Any transportation services to service sites that are available through the GMC plan or under the Medi-Cal program.  This shall include a description of both medical and non-medical transportation services, and the conditions under which non-medical transportation is available to members, if available.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14088.15, 14088.22, 14089 and 14408, Welfare and Institutions Code; and Sections 1363 and 1364, Health and Safety Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53921. Member Enrollment.
Note     •     History

(a) Enrollment in GMC plans shall be mandatory for those eligible beneficiaries specified in Section 53906(a), and voluntary for those specified in Section 53906(b).
(b) Enrollment shall be limited to eligible beneficiaries who reside within the GMC program area.
(c) The department or the GMC enrollment contractor shall mail an enrollment form and GMC plan information to each eligible beneficiary described in Section 53906(a).  The mailing shall include GMC options presentation information and instructions to enroll in GMC plans within thirty days of the postmark date on the mailing envelope.
(d) Each eligible beneficiary described in Section 53906(a) shall enroll in GMC plans within thirty days of receipt of an enrollment from with instructions from the department or the GMC enrollment contractor to select GMC plans.
(1) In the event an eligible beneficiary described in Section 53906(a) does not enroll in GMC plans within thirty days, the GMC enrollment contractor shall assign the eligible beneficiary to GMC plans, in accordance with Section 53921.5.
(2) For purposes of selection of GMC plans:
(A) In the case of a family group, eligible beneficiary means the individual or entity with legal authority to make a choice on behalf of dependent family members.
(B) In the case of a foster care child, eligible beneficiary means the entity with legal authority to make a choice on behalf of the child.
(e) Each eligible beneficiary enrolling in a GMC plan shall enroll in a dental plan and either a PHP or PCCM plan.  An eligible beneficiary shall not be enrolled in more than one PHP or PCCM plan and one dental plan at any one time.  
(f) The GMC enrollment contractor shall process all enrollments.
(g) An eligible beneficiary is enrolled upon completion of all of the following events:
(1) Either of the following enrollment activities:
(A) The voluntary signing and dating by the eligible beneficiary of an enrollment form and departmental validation of the beneficiary's enrollment form; or
(B) The assignment, as specified in Section 53921.5, of an eligible beneficiary to a PHP or PCCM plan and a dental plan.
(2) Departmental verification of the beneficiary's Medi-Cal eligibility.
(3) Addition of the beneficiary's name to the approved list of members, which is effective the first day of any given month and which is furnished monthly to the GMC plan by the department.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53921.5. Assignment of Eligible Beneficiaries to GMC Plans.
Note     •     History

(a) The GMC enrollment contractor shall assign an eligible beneficiary described in Section 53906(a) to a GMC plan, from which to receive health care services, in the following situations:
(1) In the event the eligible beneficiary does not select a PHP or PCCM plan and a dental plan within thirty days of receiving an enrollment form pursuant to Section 53921(c).
(2) In the event a member requests and is granted disenrollment from a GMC plan, pursuant to Section 53925.5, but does not select a different GMC plan in which to enroll, unless that member was granted approval by the GMC enrollment contractor to receive health care services through the fee-for-service Medi-Cal program, pursuant to Section 53923.5.
(b) In carrying out (a), the GMC enrollment contractor shall comply with the equitable distribution requirements contained in Section 53922.
NOTE

Authority cited: Sections 10725, 14089.7, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53922. Equitable Distribution.
Note     •     History

(a) The GMC enrollment contractor shall implement a system approved by the department to assign an eligible beneficiary described in Section 53906(a), to GMC plans, in the event the beneficiary does not select GMC plans pursuant to Section 53921(d).
(b) The assignment shall ensure the equitable distribution of eligible beneficiaries among GMC plans and include but not be limited to the following considerations:
(1) Zip code of eligible beneficiary matched to zip codes served by the GMC plan.
(2) Enrollment capacity and availability of the GMC plan.
(3) GMC plan's ability to render linguistically appropriate services and the eligible beneficiary's need for those services, if made known to the GMC enrollment contractor.
(4) Rotation of assignments among all GMC plans.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53922.5. Travel Distance Standards.
Note     •     History

(a) No member who is assigned to GMC plans pursuant to Section 53921.5 shall be denied a request for disenrollment if all primary health care services through that assigned GMC plan are more than ten (10) miles from the eligible beneficiary's place of residence.
(b) An eligible beneficiary may voluntarily choose to receive services from a GMC plan with service sites exceeding the maximum distance specified in (a).
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53923. Options Presentation.
Note     •     History

(a) The GMC enrollment contractor shall provide a presentation of GMC plan options to each new and continuing eligible beneficiary who requests a presentation.
(b) The GMC options presentation shall include, at a minimum, the following information:
(1) The names of each GMC plan.
(2) Each GMC plan's service area.
(3) The locations of each GMC plan's service sites.
(4) Services covered by GMC plans.
(5) Procedures for accessing and receiving health care services from GMC plans.
(6) Hospitals used by each PHP and PCCM plan.
(7) Any features or additional services provided by each GMC plan that are beyond those that must be covered by GMC plans, pursuant to the GMC contract, such as non-medical transportation services, languages spoken, health promotion, risk reduction, health education and counseling services.
(8) An explanation that an alternative to GMC plan enrollment exists for Indians, members of Indian households, and others eligible to receive health care services through an Indian Health Service program facility, and for individuals with complex medical conditions, as specified in Section 53923.5(b).
(9) Assistance to eligible beneficiaries in completing the enrollment form, as needed.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53923.5. Alternative to GMC Plan Enrollment.
Note     •     History

An eligible beneficiary specified in Section 53906(a) who meets the requirements of (a) or (b) may request from the GMC enrollment contractor an alternative to GMC plan enrollment.
(a) An eligible beneficiary who is an Indian, is a member of an Indian household, or has written acceptance from an Indian Health Service program facility to receive health care services through that facility, may, as an alternative to GMC plan enrollment and upon request, choose to receive health care services through an Indian Health Service program facility.  Any request for this alternative shall be made to the GMC enrollment contractor at the GMC options presentation or through the problem resolution process specified in Section 53926.
(b) On or before March 31, 1995, an eligible beneficiary who is receiving treatment or services for a complex medical situation from a physician who is participating in the Medi-Cal program, but is not a contracted provider of any GMC plan, may request through the problem resolution process specified in Section 53926, continued fee-for-service Medi-Cal for the purposes of continuity of care.  The department shall review on a case-by-case basis and make a determination on each request presenting a complex medical situation.  The department may approve continued treatment under the fee-for-service Medi-Cal program for any eligible beneficiary whose diagnosis or treatment needs are verified in writing by the beneficiary's Medi-Cal provider and meet one of the criteria below in 1 through 3 for continued fee-for-service Medi-Cal.
(1) The eligible beneficiary is under the care of a physician specialist:
(A) For treatment of a condition that is within the specialist's scope of practice, pursuant to the Business and Professions Code;
(B) That specialty is not practiced by any physician within the available providers of any GMC plan; and
(C) That specialist is a participating Medi-Cal provider, but is not a contracted provider of any GMC plan.
(2) The eligible beneficiary is in a complex, high risk medical treatment plan:
(A) Under the supervision of a physician who is a participating Medi-Cal provider, but is not a contracted provider of any GMC plan; and
(B) May experience deleterious medical effects if that treatment were to be disrupted by leaving the care of that physician to begin receiving care from a GMC plan physician.
(3) The eligible beneficiary is a woman who is pregnant and under the care of a physician who is a participating Medi-Cal provider, but is not a contracted provider of any GMC plan.
(c) Any eligible beneficiary granted continued fee-for-service Medi-Cal under (b)(1) or (2) may remain with that fee-for-service physician only until the medical condition has stabilized to a level that would enable the eligible beneficiary to change physicians and begin receiving care from a GMC plan physician without deleterious medical effects.  An eligible beneficiary granted continued fee-for-service Medi-Cal under (b)(3) may remain with that physician through delivery and the end of the month in which ninety days post-partum occurs.
(d) The department may verify the medical conditions and treatment plans presented by an eligible beneficiary, pursuant to (b), to confirm their complexity, validity, and status.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53924. Enrollment/Disenrollment Form.
Note     •     History

(a) The department shall develop a combined enrollment/disenrollment form and shall provide it to GMC plans and the GMC enrollment contractor.
(b) Each GMC plan shall send an enrollment/disenrollment form to each member, as specified in Section 53926.5.
(c) Each GMC plan shall make enrollment/disenrollment forms available during business hours:
(1) At each service site.  In the case of a GMC plan in which all primary care providers are the exclusive providers of that plan and are contiguously located, enrollment/disenrollment forms shall be available, at a minimum, in the member services department of the plan.
(2) At each member services department.
(d) Each GMC plan shall provide an enrollment/disenrollment form to a member immediately if requested in person, or by mail if requested by telephone or in writing.  The GMC plan shall mail the form within three working days of receiving the request.
(e) The GMC enrollment contractor shall make enrollment/disenrollment forms available at the GMC options presentation.  The GMC enrollment contractor shall mail a form to a member within three working days of receiving a telephone or written request for a form.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53924.5. Enrollment/Disenrollment Form Processing.
Note     •     History

(a) Members shall submit enrollment/disenrollment forms to the GMC enrollment contractor for processing. 
(b) Unless otherwise notified in writing by the department, the GMC enrollment contractor shall accept and process all requests for enrollment from eligible beneficiaries up to the maximum enrollment levels specified in each plan's GMC contract.
(c) The GMC enrollment contractor shall transmit all completed enrollment/disenrollment forms to the department within two working days of the date the GMC enrollment contractor receives the completed form.
(d) Each request for disenrollment shall be accompanied by a request for enrollment in another GMC plan.  If the member requesting disenrollment does not make an enrollment selection, the member shall be assigned to a plan in accordance with Section 53921.5.
(e) The GMC enrollment contractor shall accept enrollment/disenrollment forms regardless of the prospective member's race, creed, color, religion, age, sex, national origin, ancestry, marital status, sexual orientation, or physical or mental disability, and without reference to pre-existing medical or dental conditions.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14088.5, 14089, 14413 and 14495, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53925. Assignment of Primary Care Provider.
Note     •     History

(a) Each GMC plan shall have a mechanism in place and approved in writing by the department to ensure that each member is assigned to a primary care provider, by either:
(1) Allowing each member to select a primary care provider from the GMC plan's network of affiliated providers, if the member chooses to do so; or
(2) Assigning a primary care provider to each member within forty days from the effective date of enrollment, if the member does not select one within the first thirty days of the effective date of enrollment in the GMC plan.
(A) Assignment conducted pursuant to (a)(2) shall meet both 1 and 2:
1. The member shall be assigned to a primary care provider within the maximum travel distances specified in Section 53922.5.
2. If available within the GMC plan, the member shall be assigned to a primary care provider who is or has office staff who are linguistically and culturally competent to communicate with the member or have the ability to interpret in the provision of health care services and related activities during the member's office visits or contacts, if the language or cultural needs of the member are known to the GMC plan.
(b) Any member dissatisfied with the primary care provider selected or assigned shall be allowed to select or be assigned to another primary care provider.  Each GMC plan shall assist its members in changing primary care providers if that change is requested by the member.  Any GMC plan physician or dentist dissatisfied with the professional relationship with any member may request that the member select or be assigned to another primary care provider. 
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53925.5. Disenrollment of Members.
Note     •     History

(a) The GMC enrollment contractor shall disenroll any member who requests disenrollment when one of the following conditions and (c) are met:
(1) A member requests disenrollment during the first thirty days of enrollment.
(2) A member requests disenrollment during the second through sixth month of enrollment in a PHP that is a federally qualified Health Maintenance Organization, a PCCM plan, or a dental plan, for good cause, as follows:
(A) To comply with any of the criteria specified in Section 14407.8(b), Welfare and Institutions Code;
(B) To accommodate the needs of a foster care child;
(C) To comply with travel distance standards specified in Section 53922.5; or
(D) To grant an alternative to GMC plan enrollment as specified in Section 53923.5, if the process for obtaining that alternative was initiated prior to the effective date of enrollment in a GMC plan.
(3) A member requests disenrollment after having met the six-month minimum enrollment period applicable to enrollment in any PHP that is a federally qualified Health Maintenance Organization, a PCCM plan, or a dental plan.
(4) Any member of a PHP that is not a federally qualified Health Maintenance Organization shall be granted disenrollment from that PHP at any time. 
(b) The GMC enrollment contractor shall determine whether to grant a request for disenrollment made by a member during the second through sixth month of enrollment.  A disenrollment request from a member enrolled in a PHP that is a federally qualified Health Maintenance Organization, a PCCM plan, or a dental plan, shall be granted by the GMC enrollment contractor if one of the criteria specified in (a)(2) is met.
(c) Each disenrollment request shall be accompanied by an enrollment request for enrollment in a different GMC plan.  Any member who does not select another GMC plan shall be assigned to one, in accordance with Section 53921.5.
(d) A member who requests and is denied disenrollment during the second through sixth month of enrollment shall have the right to request assistance from the GMC enrollment contractor in accordance with Section 53926.
NOTE

Authority citeed: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14089, 14407.6 and 14407.8, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53926. Problem Resolution Process for Members.
Note     •     History

(a) Any member may request assistance from the GMC enrollment contractor in resolving problems associated with mandatory participation in the GMC program, assignment to a GMC plan, enrollment, or disenrollment.
(b) The request for assistance from the GMC enrollment contractor shall be in writing and shall state the nature of a problem.
(c) The GMC enrollment contractor shall prepare a written response and mail it to the member within ten days of receipt of a member's written request for problem resolution.
(d) In the event a member is dissatisfied with the response of the GMC enrollment contractor to a request for problem resolution, the member may file an appeal with the department.
(1) The member shall submit to the department the information specified in (b) and the written response of the GMC enrollment contractor.
(2) The department shall prepare a written decision and mail it to the member within ten days of receipt of a member's appeal.
(e) Each member has the right to request a fair hearing, in accordance with Section 50951.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 10950, 14089, 14089.2 and 14450, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53926.5. Information to New Members.
Note     •     History

(a) Each eligible beneficiary, prior to or upon either signing an enrollment application or being assigned to GMC plans in accordance with Section 53921.5, shall be informed in writing by the department or the GMC enrollment contractor of at least the following:
(1) There will be a 15 to 45 day processing time between the date of application and the effective date of enrollment in GMC plans.
(2) Until GMC plan enrollment is effective, the beneficiary may receive Medi-Cal covered health care services from any Medi-Cal provider licensed to provide the services.
(3) An alternative to GMC plan enrollment exists. 
(4) Disenrollment from certain GMC plans, specified in Section 53925.5, is restricted during the second through sixth month of enrollment.
(b) Each GMC plan shall provide in writing, in addition to those items of information required by Section 14406, Welfare and Institutions Code, the following to each member within seven days after the effective date of enrollment in the plan:
(1) The effective date of enrollment.
(2) A description of all available services and an explanation of any service limitations, exclusions from coverage or charges for services, when applicable.
(3) The name, telephone number and service site address of the primary care provider selected by the member or instructions to select a primary care provider within thirty days or be assigned to one, in accordance with Section 53925.
(4) An enrollment/disenrollment form and an explanation that it must be used to disenroll from the GMC plan, in the event disenrollment is requested by the member.
(5) Information concerning non-medical transportation available to them under the Medi-Cal program, or offered by the GMC plan, if applicable, and how to receive it.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14089, 14406 and 14407.6, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53927. Annual Information to Members.
Note     •     History

(a) Each GMC plan shall revise, if necessary, and distribute the information specified in Section 53926.5(b)(2) to each member or the member's family unit at least once every twelve months.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Sections 14089 and 14406, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53927.5. Notification of Changes in Services.
Note     •     History

(a) Each GMC plan shall revise and distribute the information specified in Section 53926.5(b)(2) at least thirty days prior to any changes which the GMC plan makes in services provided or in the locations at which services may be obtained, to each member affected by that change.  Notification shall be provided at least fourteen days prior to any changes in cases of unforeseeable circumstances.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code  Reference: Sections 14089 and 14406, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
§53928. Information for Departmental Dissemination.
Note     •     History

(a) Each GMC plan shall furnish the department and the GMC enrollment contractor the information required in Section 53926.5(b)(2) and (5), as it changes and upon request, for dissemination to prospective members.
NOTE

Authority cited: Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code.  Reference: Section 14089, Welfare and Institutions Code.
HISTORY

1. New section filed 3-11-94; operative 3-11-94; Submitted to OAL for printing only pursuant to section 147, SB 485 (Chapter 722, Statutes of 1992) (Register 94, No. 15).
Chapter 5. Adult Day Health Care
Article 1. General Provisions
§54001. General.
Note     •     History

(a) Adult day health care services may be provided to eligible Medi-Cal beneficiaries by adult day health care providers which meet the requirements of this Chapter. Adult day health care providers shall:
(1) Sign an adult day health care provider agreement with the Department to provide the services described under this Chapter to Medi-Cal beneficiaries who are eligible for and voluntarily elect to participate in an adult day health care program.
(2) Promote the social, emotional and physical well-being of impaired individuals living in the community, alone or with others, in order to maintain them at or restore them to their optimal functional potential and to help them remain at or return to their homes.
(3) Share with families and other persons the burden of providing substantial care to impaired elderly individuals by offering respite for one or several days during the week.
(4) Supplement the diagnostic evaluation conducted by other health professionals by means of a sustained functional assessment.
(5) Provide diagnostic and treatment services to persons who would otherwise require admission to or continued stay in a hospital or other health care facility.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Renumbering of Chapter 5 (Sections 59998-59999) to Chapter 11 (Sections 59998-59999) and new Chapter 5 (Sections 54001-54507, not consecutive) filed 6-28-78 as an emergency; designated effective 7-1-78 (Register 78, No. 26).
2. Certificate of Substantial Compliance filed 1-29-79 (Register 79, No. 5).
3. Amendment of subsection (a)(3) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54003. Definitions and Standards.

The definitions stated in Article 2, Chapter 3, Division 3, Title 22, California Administrative Code, and the standards stated in Article 3, Chapter 3, Division 3 of the California Administrative Code, shall apply to this Chapter unless modified by regulations in this Chapter.
§54005. Grants.

The Department shall grant funds for the establishment of Adult Day Health Centers from the one-time appropriation of $100,000 authorized by Chapter 1065, Statute of 1977. The grants shall be made to licensed centers in accordance with the departmental guidelines for AB 1612, issued January 3, 1978.
Article 2. Definitions
§54101. Activity Program.

Activity program means a program as defined in Title 22, Division 5, Sections 72381 and 73377, California Administrative Code.
§54103. Adult Day Health Care.

Adult day health care means an organized day program of therapeutic, social and health activities and services, provided to elderly persons or other persons with physical or mental impairments for the purpose of restoring or maintaining optimal capacity for self-care.
§54105. Adult Day Health Center.

Adult day health center means a licensed facility which provides adult day health care, or a distinct portion of a licensed health facility in which such care is provided in a specialized unit, under a special permit issued by the Department.
§54107. Adult Day Health Care County Plan.

Adult Day Health Care County Plan means a county plan for a community-based system of adult day health care.
§54108. Adult Day Health Care Planning Council.
Note     •     History

“Adult Day Health Care Planning Council” means the council appointed by the county board of supervisors to develop the Adult Day Health Care County Plan.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. New section filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54109. Affiliate.

Affiliate means an organization or person that, directly or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with an adult day health care provider and that provides services to an adult day health center.
§54111. Beneficiary Agreement of Participation.

Beneficiary agreement of participation means the agreement voluntarily signed by a beneficiary or the beneficiary's guardian or legal conservator in which the beneficiary agrees to receive day health services from the adult day health center.
§54113. Day of Attendance.

Day of attendance means any calendar day during which a participant receives covered services at the center for a minimum of four hours, excluding transportation time.
§54115. Daily Rate.

Daily rate means the amount paid by the Department per day of attendance to the adult day health center for administration and covered services provided under the adult day health care program.
§54117. Discharge.

Discharge means the termination of an agreement of participation.
§54119. Individualized Plan of Care.

Individualized plan of care means a written plan designed to provide a participant of an adult day health center with appropriate treatment in accordance with the assessed needs of the participant.
§54121. Multidisciplinary Team.

Multidisciplinary team means the group within the adult day health center that conducts assessments and makes recommendations to the Department regarding admission, treatment and services provided, and discharge of participants by the adult day health center.
§54123. Nonmedical Transportation.

Nonmedical transportation means the movement of participants to and from the adult day health center in vehicles that are not specially equipped for medical transportation services.
§54125. Nutrition Service.

(a) Nutrition service means a service provided by the adult day health center which is organized, staffed and equipped to provide:
(1) Safe, appetizing and nutritional food.
(2) Therapeutic diets prescribed by the participant's physician.
(3) Counseling when therapeutic diets are prescribed.
§54127. Nursing Service.

Nursing service means a service provided by the adult day health center which is organized, staffed and equipped to provide skilled nursing care to participants.
§54129. Occupational Therapy.

Occupational therapy as used in this Chapter means services rendered by an occupational therapist to train or strengthen muscles or nerve functions. Services shall include, but are not limited to, modification of the environment and training in self-help for activities of daily living.
§54131. Participant.

Participant means a Medi-Cal beneficiary who has been accepted by the adult day health center's Intake and Assessment Unit, voluntarily signs an Agreement of Participation, and whose application for participation in an adult day health center has been approved by the Department.
§54133. Psychiatric and Psychological Services.
Note     •     History

(a) Psychiatric services means services performed by a physician trained or experienced in psychiatry.
(b) Psychology services means services provided by a:
(1) Psychologist.
(2) Psychological assistant under the direction and supervision of a psychologist or board certified psychiatrist.
(3) A psychiatric social worker who is a licensed clinical social worker working in consultation with a psychologist or board certified psychiatrist.
(4) A psychiatric nurse who meets the qualifications of Section 78337.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (b)(3) and new subsection (b)(4) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54135. Service Area.

Service area means the geographic area in which the adult day health center is authorized to provide service. Unless otherwise specified, the service area shall be so limited that no participant will be in transit utilizing ground transportation more than one hour from his or her home to the center.
§54137. Staff Physician Services.

Staff physician services means those services provided by a physician employed by the adult day health care provider.
§54139. Subcontract.

(a) Subcontract means any agreement between the adult day health care provider and any of the following:
(1) A provider of services, as defined in Section 51051, and any other organization that provides services to Medi-Cal beneficiaries in order to meet the requirements of this Chapter.
(2) An organization or person that performs administrative functions or services for the operation of the program specifically related to meeting the requirements of this Chapter.
§54141. Supervision.

(a) Supervision means the instruction and direction of an employee or subordinate in the performance of assigned duties. Supervision does not necessarily require the immediate presence of the supervisor.
(1) Direct supervision means that the supervisor shall be present in the same building as the person being supervised and available for consultation and assistance.
(2) Immediate supervision shall mean that the supervisor shall be physically present while the task is being performed.
Article 3. Eligibility, Participation and Discharge
§54201. Eligibility.
Note     •     History

Adult day health care services may be provided to eligible Medi-Cal beneficiaries who have medical or psychiatric impairment, who meet the criteria stated in Section 54209, and who are one of the following:
(a) Not inpatients in a licensed health facility.
(b) Inpatients in a licensed health facility who are provided transition visits in accordance with Section 54504.
NOTE

Authority cited: Section 14570, Welfare and Institutions Code. Reference: Section 14525, Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-11-83; effective thirtieth day thereafter (Register 83, No. 7).
§54203. Participation.
Note     •     History

(a) Participation by an eligible Medi-Cal beneficiary in adult day health care program shall require:
(1) A written request from a physician.
(2) A multidisciplinary team assessment.
(3) An agreement of participation signed by the participant or the participant's guardian or conservator.
(4) Approval by the Department.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (a)(3) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54205. Physician Request.

(a) Adult day health care services shall be requested in writing by a physician. The request shall include:
(1) Principal and significant diagnoses.
(2) Prognosis.
(3) Specific type of treatment and anticipated duration.
(4) Overall therapeutic goals for the participant.
(5) Medications and special diets.
§54207. Multidisciplinary Team Assessment.
Note     •     History

(a) Each applicant shall be assessed by a multidisciplinary team prior to acceptance into the program. The assessment shall be conducted by the adult day health care provider in order to ascertain the individual's pathological diagnosis, physical disabilities, functional abilities, psychological status and social and physical environment. The assessment shall include:
(1) Contact with the applicant's physician to obtain the individual's medical history and a statement indicating the applicant's restrictions and medications and absence of infectious disease. If the applicant does not have a personal physician, the center shall assist the individual in finding one. An initial physical examination may be done by the staff physician or by a nurse practitioner under the supervision of a physician to the extent allowed under state law.
(2) Assessment of the home environment based on a home visit within the last 12 months. The assessment shall include:
(A) Living arrangements.
(B) Relationship with family or other person.
(C) Facilities available such as heat, bath, toilet, stove.
(D) Existence of environmental barriers such as stairs or other features not negotiable by the impaired individual.
(E) Access to transportation, shopping, church or other needs of the individual.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (a)(2) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54209. Prior Authorization.
Note     •     History

(a) Adult day health care services except for the initial assessment and reassessments shall require prior authorization by the Medi-Cal Consultant. The request for authorization shall:
(1) Be initiated by the center and shall include the results of an individual's multidisciplinary assessment conducted by the center within the last 30 days and the participant's plan of care.
(2) Be approved and signed by a physician.
(3) Include a statement describing the patient's progress toward achieving the therapeutic goals.
(b) Initial authorizations and reauthorizations may be granted for up to three months. Adult day health centers which do not have a staff physician shall obtain signed approval of the treatment plan every 180 days.
(c) Authorization or reauthorization may be granted only if all of the following conditions exist:
(1) A medical condition that requires treatment or rehabilitative services prescribed by a physician.
(2) Mental or physical impairments which handicap daily living activities but which are not of such a serious nature as to require 24-hour institutional care.
(3) Reasonable expectation that preventative service will maintain or improve the present level of functioning.
(4) High potential for further deterioration and probable institutionalization if adult day health care were not available.
(d) In determining the need for adult day health care services, the Medi-Cal Consultant shall consider the following:
(1) Medical factors including the necessity:
(A) For nursing care, supervision or observation on an ongoing intermittent basis to abate health deterioration.
(B) To see a physician or psychiatrist no less than every 60 days.
(C) To monitor medications for response and effect on an intermittent basis.
(D) For medications which cannot safely be self-administered due to physical or mental disabilities.
(E) For individualized therapeutic treatment designed to restore optimal functional potential or to prevent deterioration.
(2) Functional status including:
Limitation in movement, with or without an assistive device such as a cane, walker, crutches, prosthesis or wheelchair, or the need for training in the use of these devices.
(B) Inability to perform toileting, bathing, eating, dressing, grooming, transferring and self-medication or the need of training and assistance in the activities of daily living.
(C) Incontinency and the probable benefit from continence retraining.
(D) Vision, hearing or sensory loss to some degree.
(E) Dependency and the need for part-time or full-time basic supervision by persons other than day health center staff.
(3) Psychosocial limitations including:
(A) Inability of person or family to cope adequately with problems associated with the person's disability.
(B) Need for a psychosocial environment involving peer group membership and social rehabilitation.
(C) Mild or moderate confusion or depression, or tendency to wander.
(D) Inappropriate affect, appearance or behavior.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (b) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54211. Multidisciplinary Team.
Note     •     History

(a) The multidisciplinary team conducting the assessment pursuant to Section 54207 shall consist of at least a physician, nurse, social worker, occupational therapist and physical therapist. The physician may be either a salaried staff member of the adult day health center or the participant's physician. When indicated by the needs of the participant, a psychiatrist, psychologist, psychiatric social worker, speech therapist and dietitian shall be included as members of the assessment team and assist in the assessment.
(b) The multidisciplinary assessment team shall:
(1) Determine the medical, psychosocial and functional status of each participant.
(2) Develop an individualized plan of care including goals, objectives and services designed to meet the needs of the person. The plan shall be signed by each member of the team, except that the signature of only one physician member of the team shall be required.
(A) The individualized plan of care shall include:
1. Medical diagnoses.
2. Prescribed medications and frequency.
3. Scheduled days of attendance.
4. Specific type, number of units of service and frequency of individual services to be given on a monthly basis.
5. The specific elements of the services which need to be identified with individual objectives, therapeutic goals and duration of treatment.
6. An individualized activity plan designed to meet the needs of the participant for social and therapeutic recreational activities.
7. Participation in specific group activities.
8. A plan to meet transportation needs.
9. Therapeutic diet requirements, dietary counseling and education if indicated.
10. A plan for other needed services which the adult day health center will coordinate.
11. Prognosis and prospective length of stay.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (b)(2)(A) 11 filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54213. Discharge.

(a) Participation in an adult day health program shall be voluntary. The participant may terminate participation at any time. However, if the assessment team has found the participant's condition to be of such serious nature that continued treatment is essential to prevent institutionalization, the participant shall be informed in writing that termination is counter to the participant's best interest. A copy of the letter shall be sent to the participant's personal physician and the Department.
(b) Discharge shall be mandatory when:
(1) The participant notifies the adult day health care center either orally or in writing of intent to discontinue participation. The date of discharge shall be the date of notification or a later date designated by the participant.
(2) The participant leaves the service area permanently.
(3) The participant requests discharge from the Department either orally or in writing. The date of discharge shall be as in (1).
(c) Discharge may be requested by the adult day health center if:
(1) Maximum benefit has been achieved and there is no further need for adult day health care services.
(2) The participant is unable or unwilling to use the prescribed services and adult day health center staff have made every effort to remove possible obstacles.
(d) The adult day health center shall forward any discharge request and supporting information to the Department within five working days of receipt.
§54215. Reassessment.

(a) Reassessment, at least quarterly, shall include:
(1) Progress achieved.
(2) Review and revision of goals and objectives.
(3) Revision or continuation of the individual plan of care.
(4) Preparation of a reauthorization request for continuing care.
§54217. Beneficiary Agreement of Participation.
Note     •     History

(a) When the initial assessment has been completed and the individualized plan of care prepared, an agreement of participation on forms furnished by the Department shall be prepared by the adult day health care provider and discussed with the prospective participant or the participant's guardian or conservator.
(b) If the terms of agreement are satisfactory, the participant shall sign the statement. The statement shall be sent to the Department with the initial Treatment Authorization Request. The signing of the agreement of participation does not mandate participation and the participant may end participation at any time.
(c) Statement that the participant understands that services beyond the amounts included in each adult day health center's staffing requirements as set forth in Section 54423 (a) are subject to prior authorization by a Medi-Cal consultant.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54221. Hours of Operation.

(a) Centers shall be open to participants for no less than 6 hours and no more than 12 hours during each calendar day of operation.
(b) Programs will operate at least five days a week. Adjustment may be made in the hours or days of operation:
(1) To accommodate working relatives of participants.
(2) In response to other special circumstances.
(c) New programs may be initiated with fewer than six hours per day or less than five days per week for the first six months of operation or until full licensed capacity is reached, whichever occurs first.
(1) An adult day health care provider shall not operate less than five days a week or six hours a day after the first six months of operation without written prior approval of the Department. The Department shall consider the following factors in making its decision:
(A) Location of the center.
(B) Density of population.
(C) Average daily attendance.
(D) Availability of transportation and meals from other agencies.
(E) Needs of the participants currently served at the center.
(2) Minimum operation after the sixth month shall be not less than four hours a day and three days a week.
§54223. Attendance.

(a) Attendance shall be regular and planned. Treatment needs of the participant shall determine the frequency and duration of attendance. The number of days scheduled shall be governed by the least time needed to carry out an individual plan of care related to the needs of the participant and his or her family.
(b) Participants shall not be encouraged to attend more frequently than necessary for achievement of individual goals and objectives.
Article 4. Services and Standards
§54301. Certification.

(a) Each adult day health center shall:
(1) Be licensed or have a special permit pursuant to Chapter 3.5, commencing with Section 1570, Division 2, Health and Safety Code, to provide adult day health care.
(2) Have appropriate licensed and allied health personnel to provide services in accordance with the requirements of this Chapter.
(3) Have a written description of its philosophy, objectives and program for providing medical and ancillary health related services available for public inspection.
(4) Demonstrate to the satisfaction of the Department that staff and facilities are adequate to provide the planned services described in its written program.
(5) Provide or arrange for, through written agreement, nonroutine medical services which may become necessary.
(6) Execute a written agreement with each participant which specifies but is not limited to, a list of basic services which are to be furnished each visit or according to a specified schedule.
(7) When serving a substantial number of participants of a particular racial group, or whose primary language is other than English, employ staff of that particular racial or linguistic group at all times.
(b) Each facility shall sign an adult day health care provider agreement with the Department in order to participate in the Medi-Cal program.
(c) The Department shall certify adult day health centers which meet the requirements of this chapter as a special category of clinic and hospital outpatient services.
§54303. Denial of Initial Certification.

(a) The Director shall deny application for certification if the applicant has:
(1) Not been approved as a licensed adult day health care provider.
(2) Failed to meet the requirements of Section 54301, or any other applicable requirements of the statutes or regulations relating to the California Medical Assistance Program.
(3) Previously violated Department regulations and there is probability of noncompliance by the applicant.
(4) Failed to correct violations of regulations pertaining to licensure or Medi-Cal certification.
(5) Failed to comply with the approved adult day health care county plan.
(b) Upon the denial of the application, a written notice of denial shall be sent by the Department by certified mail informing the applicant of the reasons for denial, and advising the applicant of the right to petition for a hearing.
(c) An applicant may submit a written petition for hearing to the Department within 15 days after the Department mails the notice.
(d) The hearing shall be initiated by filing and serving a statement of issues in accordance with Section 11504.
(e) The proceeding shall be conducted in accordance with Chapter 5, commencing with Section 11500, Division 3, Title 2, Government Code.
(f) Hearing concerning denial of Medi-Cal certification as a provider of adult day health care services shall be consolidated with hearing concerning denial of licensure whenever possible.
§54305. Termination or Suspension of Certification.

(a) Certification shall be suspended or revoked for any of the following:
(1) Violation of any statute or regulation relating to the California Medical Assistance Program.
(2) Aiding, abetting or permitting the violation of applicable statutory provisions or regulations of the Department.
(3) Conduct in the operation or maintenance of an adult day health center which is inimical to the health, morals, welfare or safety of either participant receiving services from the center or the people of the State of California.
(b) Proceedings for termination or suspension shall be commenced in accordance with Chapter 5, commencing with Section 11500, Part 1, Division 3, Title 2, Government Code.
§54307. Denial of Renewal of Certification.

(a) The Director shall deny an application for renewal of certification as a provider of adult day health care services if the applicant:
(1) Was party to an action which resulted in denial, suspension or revocation of license as an adult day health care provider.
(2) Is not currently certified as a Medi-Cal provider because of suspension or disapproval of an application for certification.
(3) Has previously violated Department regulations and there is probability of noncompliance by the applicant.
(4) Has failed to correct violation of regulations pertaining to other licensure and Medi-Cal certification.
(5) Is not in compliance with the approved Adult Day Health County Plan.
(6) Would be denied certification under Section 54303.
(b) A public hearing may be held in accordance with Section 78215, Division 5, on a renewal application if the Director determines that the public's interest will be served.
(c) The Director shall send the applicant a written notice of denial by certified mail. The notice shall advise the applicant concerning the reason for the denial and the right to petition for a hearing as set forth in Section 54303.
(d) The applicant shall submit a plan and date for discontinuing care to the Director for approval. The Director shall approve the plan in writing.
(e) Hearing concerning denial of renewal application for certification as an adult day health care provider shall be consolidated with any hearing concerning denial of licensure as an adult day health care provider, whenever possible.
§54309. Required Services.
Note     •     History

(a) Each adult day health center shall provide directly on the premises, at least the following services:
(1) Rehabilitation services, including:
(A) Physical therapy as specified in Section 54313.
(B) Occupational therapy as specified in Section 54315.
(C) Speech therapy as specified in Section 54317.
(2) Medical services supervised by either the participant's personal physician or a staff physician or both.
(3) Nursing service, including:
(A) Skilled nursing care rendered by a professional nursing staff, who evaluate the particular nursing needs of each participant and provide the care and treatment indicated.
(B) Self-care training and services oriented toward activities of daily living and personal hygiene, such as toileting, bathing and grooming.
(4) Nutrition services, including:
(A) A minimum of one meal per day which is in accordance with the requirements stated in Section 54331. Therapeutic diets and supplemental feedings shall be available if therapeutically indicated.
(B) Dietary counseling and nutrition education for participants and their families.
(5) Psychiatric and psychological services including:
(A) Consultation.
(B) Individual assessment.
(C) Supervision of treatment by a psychiatrist, psychologist, psychiatric social worker or psychiatric nurse, when indicated.
(6) Medical social services to participants and their families to help with personal, family and adjustment problems that interfere with the effectiveness of treatment.
(7) Planned recreational and social activities suited to the needs of the participants and designed to encourage physical exercise to prevent deterioration and to stimulate social interaction.
(8) Nonmedical and medical transportation service for participants, only if necessary, to and from their homes. Specially equipped vehicles shall be utilized when medically necessary to accommodate participants with severe physical disabilities that limit mobility.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (a)(5)(C) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54311. Optional Services.

(a) Each adult day health center may arrange for the following additional services. These services shall be separately billed by the provider according to the requirements of Article 7, Chapter 3, Division 3, Title 22, California Administrative Code.
(1) Podiatric services arranged for by the supervising physician.
(2) Visual care screening and advice for low-vision cases by a licensed ophthalmologist or optometrist, following referral and arrangement by the supervising physician.
(3) Dental screening for the purpose of apprising the participant of the necessity of regular or emergency dental care, which is arranged for by the supervising physician.
(b) Optional services may include other services within the concept and objectives of adult day health care that have been approved by the Department.
§54313. Physical Therapy Service.
Note     •     History

(a) The physical therapy service shall:
(1) Provide:
(A) Muscle, nerve joint and functional ability tests.
(B) Treatment to relieve pain, develop or restore function.
(C) Assistance to achieve and maintain maximum performance using physical means such as exercise, massage, heat, sound, water, light or electricity.
(2) Provide an evaluation by the physical therapist and establishment of a treatment program. The treatment program shall be modified as needed based upon subsequent reevaluations.
(3) Require that physical therapists:
(A) Record treatments, each day, in the participant's health record. Each entry shall be signed.
(B) Record quarterly progress notes. Each entry shall be signed and dated.
(C) Review and initial all evaluations and the discharge summary.
(4) Define the responsibilities of the physical therapist and the duties assigned to the auxiliary personnel by the individual treatment plan.
(b) Physical therapy staff shall meet the following requirements:
(1) The physical therapist, physical therapist assistant and physical therapist aide shall accomplish those tasks required by the individualized plan of care within the staffing requirements stated in Section 54423.
(2) The physical therapist shall act as a member of the assessment team in an evaluation of the patient's rehabilitation potential.
(c) Physical therapy equipment shall include but is not limited to:
(1) Parallel bars.
(2) Full-view mirror.
(3) Overhead pulley and weights.
(4) Set of training stairs.
(5) Treatment table enclosed for privacy.
(6) Availability of wheelchairs, walkers, canes, crutches and other ambulation aides.
(d) Adequate space shall be maintained for the necessary physical therapy equipment. Space can be used for other services during the day when physical therapy services are not being given.
(e) Physical therapy procedures may include:
(1) Therapeutic exercise.
(2) Neuromuscular reeducation.
(3) Rehabilitation services.
(4) Functional activities.
(5) Gait training.
(6) Orthotics training.
(7) Prosthesis training.
(8) Massage.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54315. Occupational Therapy Services.
Note     •     History

(a) Occupational therapy services shall:
(1) Reevaluate the participant as the condition changes and modify treatment goals consistent with these changes.
(2) Decrease or eliminate disability during participant's initial phase of recovery following injury or illness.
(3) Increase or maintain the participant's capability for independence.
(4) Enhance the participant's physical, emotional and social well-being.
(5) Develop function to a maximum level.
(6) Guide participants in the use of therapeutic, creative and self-care activities for improving function.
(7) Require that occupational therapists:
(A) Record treatments, each day, in the participant's health record. Each entry shall be signed.
(B) Record quarterly progress notes. Each entry shall be signed and dated.
(C) Review and initial all evaluations and the discharge summary.
(8) Develop personnel policies which define the occupational therapy responsibilities and the duties assigned to the occupational therapy assistant.
(b) Occupational therapy staff shall meet the following requirements:
(1) The occupational therapy service shall be under the direction of an occupational therapist.
(2) The occupational therapist and occupational therapy assistant shall work the hours necessary to accomplish those tasks required by the individualized plan of care within the staffing requirements stated in Section 54423.
(c) The occupational therapy service shall provide:
(1) Equipment and supplies for creative skills. This may include, but is not limited to leatherwork, weaving, needlework, ceramics, woodworking, painting and graphic arts.
(2) Means and supplies for adapting equipment for reeducation in activities of daily living.
(3) Therapeutic exercises, sensory stimulation and coordinating exercise concentrating on the range of motion of the upper extremities.
(4) Evaluation of needed splints or slings to increase or maintain functional use of the upper extremities.
(d) Adequate space shall be provided for the necessary occupational therapy equipment needed to provide occupational therapy. Space can be used for other services during times when occupational therapy services are not being given.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (a)(7)() and new subsections (c)(3) and (4) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54317. Speech Therapy Services.
Note     •     History

(a) Speech therapy services shall:
(1) Evaluate participants and develop necessary plans for appropriate speech and language therapy.
(2) Instruct other health team personnel and family members in methods of assisting the participant to improve and correct speech disorders.
(3) Require that speech therapists:
(A) Record treatments, each day, in the participant's health record. Each entry shall be signed.
(B) Record quarterly progress notes. Each entry shall be signed and dated.
(C) Review and initial all evaluations and the discharge summary.
(4) Develop personnel policies which define the duties of the speech therapist and allied personnel.
(b) Speech therapy staff shall meet the following requirements:
(1) There shall be a speech therapist employed a sufficient number of hours to accomplish those tasks listed in each individualized plan of care within the staffing requirements stated in Section 54423.
(2) The speech therapist shall act as a member of the assessment team and evaluate to determine the type of speech or language disorder.
(c) Speech therapy equipment, tests, materials and supplies shall be sufficient to implement the treatment and program required by each participant seen by the speech therapists.
(d) Speech therapy space shall be adequately free of ambient noise.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (a)(3)(B) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54319. Staff Physician Services.

(a) Staff physician services shall include consultation to staff and may include the following limited direct services to the participant:
(1) Periodic physical examination as part of the assessment process.
(2) Consultation with the participant's physician.
(3) Minor, incidental or occasional treatment.
(4) The development of the medical component of the individual participant's plan of care, except when this component is developed by the participant's physician who retains primary responsibility for all medical care provided to the participant.
(b) The center staff physician may sign the authorization request and the individualized plan of care.
(c) By arrangement with the center director, staff physician services shall be provided at the center on a regular basis. Staff physician services may be secured on a voluntary basis or may be paid by the adult day health center on an hourly basis consistent with reasonable reimbursement for similar consultative services.
(d) Space shall be provided which ensures privacy for the staff physician's examination and consultation.
(e) The adult day health center may allow participants who are independently responsible for taking their own medication at home, if authorized by the participant's physician, to continue to be responsible for taking their own medication during the hours spent in the adult day health care program.
§54321. Personal Physician.
Note     •     History

(a) Close liaison shall be maintained with the participant's personal physician. The personal physician shall retain primary responsibility for the medical care of the participant.
(b) The personal physician shall be:
(1) Requested to provide the report of physical examination and medical history required for initial evaluation.
(2) Requested to sign the Medi-Cal treatment authorization request for prior authorization if the adult day health center does not have a staff physician.
(3) Informed, on a regular basis, of the participant's status and progress.
(c) Reimbursement for services provided by a personal physician to a participant shall neither be made by nor become the responsibility of the center.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (b)(2) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54323. Nursing Service.
Note     •     History

(a) The nursing service shall, as a minimum:
(1) Assess each participant to determine needs for personal care and assistance in activities of daily living such as bathing, grooming, toileting and eating; include these needs in the plan of care and supervise the provision of these services.
(2) Specify short-term and long-term nursing goals in each individualized plan of care.
(3) Document all skilled nursing care provided on the day the service is given and include quarterly signed and dated progress notes in each participant record.
(4) Provide health education and counseling to the participant and family when indicated by the plan of care.
(5) Provide assistance to the participant in obtaining medical services from providers other than adult day health staff.
(6) Monitor, administer and record prescribed medications as follows:
(A) Medication shall be given only on the prescriber's order.
(B) Participants shall be identified prior to the administration of a drug.
(C) Medication shall be administered within one hour of the prescribed time.
(D) Time and doses of each drug administered must be recorded in the participant's record by the nurse who gave the drug.
(7) Provide training in self-administration of medications to participants.
(8) Provide liaison to the participant's personal physician.
(9) Develop the nursing component in the plan of care for each participant capable of benefiting from a continence training program.
(10) Provide observation and monitoring of health status.
(11) Provide supportive and restorative nursing as indicated by the treatment plan.
(b) The nursing service shall provide a registered nurse or a licensed vocational nurse under the supervision of a registered nurse at the center during the hours the center is offering required services.
(c) A registered nurse shall be a member of the assessment team to assess the nursing needs of the participant and develop the nursing component of the individualized plan of care.
(d) Nursing service supplies and equipment shall meet the requirements of Section 78439 (a), Title 22, California Administrative Code.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsections (a)(3), (b), and (d) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54325. Psychiatric and Psychological Services.
Note     •     History

(a) Each adult day health center shall have a consultant psychiatrist, psychologist, psychiatric social worker or psychiatric nurse who shall make assessments of participants when indicated, develop an individualized plan of care, supervise the carrying out of these plans and do reassessments. The consultant psychiatrist, psychologist, psychiatric social worker or psychiatric nurse shall provide consultation services to center staff at least three hours per month.
(b) Consultant services are indicated when:
(1) The participant's diagnoses or medical history indicate a mental, emotional or behavioral problem.
(2) Information from the participant's family indicates mental, emotional or behavioral problems may exist.
(3) The psychosocial assessment developed by the social worker indicates apparent mental, emotional or behavioral problems that need further assessment by a psychiatrist, psychologist, psychiatric social worker or psychiatric nurse.
(4) Observation by center staff indicates the need for psychiatric or psychological assessment.
(c) Services shall provide a therapeutic setting conducive to restoring dignity and self-esteem and good mental health to all participants. Techniques such as group socialization activities which restore or expand normal social roles, individual and group therapies in various forms such as reality orientation, art and music therapy, psycho-social drama, counseling and discussion shall be a part of the general program. Specialized techniques and mental health treatment supervised by a psychiatrist, psychologist or psychiatric social worker may be provided as part of the plan of care by appropriately qualified personnel.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsections (a) and (b)(3) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54327. Personal Psychiatrist and Psychologist Services.

(a) The adult day health center shall maintain close liaison with the attending psychologist or psychiatrist providing services to a participant. The psychologist or psychiatrist shall maintain primary responsibility for the psychological or psychiatric treatment of the participant and shall be kept informed of the participant's health status. Any psychologic or psychiatric services provided by the center shall be coordinated with the attending psychiatrist or psychologist.
(b) The center shall assist the participant in obtaining psychiatric or psychological services determined to be necessary.
(c) An attending psychiatrist or psychologist for an individual participant who is also the consultant psychiatrist or psychologist for the adult day health center, may not bill for services provided at the center for this participant in the manner prescribed in Article 7, Chapter 3, Division 3, Title 22, California Administrative Code.
§54329. Medical Social Services.
Note     •     History

(a) Medical social services shall as a minimum:
(1) Interview and screen all referrals to determine the general appropriateness of the prospective participant for the full assessment process and adult day health care participation.
(2) Provide referral for persons not appropriate for adult day health care.
(3) Provide a signed and dated documentation for all service performed the day the service is provided and include signed and dated quarterly progress reports in each participant record.
(4) Provide for periodic reevaluation and revision of plan of care.
(5) Provide counseling and referral to available community resources.
(6) Promote peer group relationship through problem-centered discussion group and task oriented committees.
(7) Serve as liaison with the participant's family and home.
(8) Serve as liaison with other community agencies who may be providing services to a participant and work with these agencies to coordinate all services delivered to the participant to meet the participant's needs and avoid duplication. Liaison shall include, but not be limited to the following agencies:
(A) In-Home Supportive Services in the county welfare department.
(B) Home Health Agency providers.
(9) Provide discharge planning for all discharged participants.
(b) Medical social service staffing shall meet the following requirements:
(1) A medical social worker shall be a full-time employee of the adult day health center.
(2) A social work assistant or social work aide shall provide medical social services only under the supervision of the medical social worker.
(3) A medical social worker shall act as a member of the assessment team to evaluate medical social needs of all participants. The medical social worker shall develop a plan of care if indicated, including short-term and long-term goals with participation of the participant's family and other appropriate individuals.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsections (a)(3) and (b)(1) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54331. Nutrition Service.

(a) The nutrition service shall as a minimum:
(1) Be staffed and equipped to assure that food provided to the participants is safe, appetizing and provides for nutritional needs.
(2) Include dietary counseling and education as part of the nutrition service.
(3) Provide at least one meal to each participant who is present for four hours. The meal shall provide one-third of the recommended dietary allowance of the Nutrition Board of the National Research Council, National Academy of Science.
(4) Each participant who is in the center for eight hours shall be served a meal and between meal nourishments that shall supply at least one-half of the recommended dietary allowance of the Nutrition Board of the National Research Council, National Academy of Science.
(b) Participant food preferences, including ethnic foods shall be adhered to as much as possible.
(c) Therapeutic diets shall be served as ordered and shall be prepared under the guidance of a registered dietitian. The diet order shall be reviewed every 90 days when the reassessment is done.
(d) A dietitian shall be employed on a consulting basis. Consultant services shall be provided on the premises at appropriate times on a regularly scheduled basis. A written record of the frequency, nature and duration of the consultant's visits shall be maintained.
(e) Sufficient staff shall be employed, oriented, trained and their working hours scheduled to provide for the nutritional needs of the participants and to maintain the service areas. If nutritional employees are assigned duties in other services, those duties shall not interfere with the sanitation, safety or time required for work assignments.
§54333. Transportation.

(a) Transportation shall be provided only if necessary. Persons who live within walking distance of the center and who are sufficiently mobile shall be encouraged to walk to the center.
(b) Family members shall be encouraged to provide nonmedical transportation for the participant if specially equipped vehicles are not needed. Volunteers may also be utilized to provide transportation.
(c) Transportation to and from participants' homes shall be scheduled to insure that participant one-way transit time does not exceed one hour.
(d) Medical transportation shall be supplied by either the center's own vehicles or by contract with other transportation services to facilitate regular attendance and prompt arrival and departure. If there is an existing transportation system in the area which is equipped to handle handicapped persons and is capable of providing the level of service, medical transportation service shall be purchased from that system. Vehicles used for nonmedical transportation shall be in good condition. Vehicles used for medical transportation shall meet the qualifications stated in Section 51151.
(e) Vehicle operators employed by the center shall maintain good driving records and shall have an appropriate operator's license. The vehicle operator shall be responsible for maintaining a schedule of transportation to and from the center. The driver or the driver's assistant shall assist the participant in and out of home and vehicle as necessary.
(f) If a participant does not appear for transportation or come to the center on a scheduled day of attendance, prompt follow-up shall be made to determine the reason. Efforts should be made to determine if the participant is helpless and unable to answer the door or phone or has gone away for the day.
(g) Participants who know that they will not attend on a scheduled day, shall notify the center.
(h) If the participant is ill, the adult day health center shall determine by visit or by telephone call the extent of the illness and make arrangements for proper treatment if indicated, such as notifying the participant's physician, family or arranging for home health services.
§54335. Emergency Service.
Note     •     History

(a) Each adult day health center shall provide a readily available source of emergency health services.
(1) The participant, or the participant's sponsor shall sign an agreement granting the center permission to transfer the participant to a hospital or other health facility in case of emergency.
(2) The center shall maintain written agreements for emergency medical care which shall include:
(A) An on-call physician.
(B) Hospital or emergency room care.
(C) Medical transportation.
(b) First aid services shall be available. All staff members shall receive in-service training in first aid and cardiac pulmonary resuscitation within the first six months of employment. Annual refresher courses shall be arranged for by the adult day health provider.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (a)(2)(A) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54337. Program Aides.

(a) Program aides may be full-time or part-time employees. Aides shall evidence capacity for learning, the ability to comprehend the use of written and spoken English and shall have personal qualities conducive to good interpersonal relationships with demonstrated competence in helping others.
(b) Program aides, under the supervision of the program director or of members of the multidisciplinary assessment team, shall perform assigned tasks involving:
(1) Support of major group activity and recreational programs.
(2) Transportation of participants to and from the adult day health center.
(3) Arranging for appointments for participants outside the center.
(4) Assistance in personal care under nursing supervision.
(c) Program aides may be part-time or full-time volunteers serving without compensation. Volunteer participation shall be encouraged. Volunteer staff shall not be considered in the basic staff ratio. Regular individual hours of service shall be scheduled to the mutual satisfaction of volunteers and staff. Volunteers shall be responsible to the program director or a delegated staff member.
(d) The duties of volunteers shall be mutually determined by volunteers and staff and shall either supplement staff in established activities or by providing additional services to the program for which the volunteer has special talents, such as but not limited to:
(1) Art.
(2) Music.
(3) Flower arrangements.
(4) Foreign language.
(5) Creative skills or crafts.
§54339. Activity Program.
Note     •     History

(a) The activity program shall be staffed and equipped to meet the needs and interests of each participant and shall encourage self-care and resumption of normal activities. Participants shall be encouraged to participate in activities suited to their individual needs. The activity program shall provide a planned schedule of social and other purposeful independent or group activities. Opportunities shall be provided for involvement, both individual and group, in the planning and implementation of the activity programs.
(b) The primary objectives of activity programs shall be to encourage the participant toward restoration to self-care and the resumption of normal activities or for those who cannot realistically resume normal activities, to prevent further mental or physical deterioration.
(c) The individual plan of care of each participant shall include an individual activity plan. This plan shall be reviewed quarterly.
(d) Each adult day health center shall designate an activity coordinator who shall be a full-time employee of the center. The activity coordinator shall have the following duties:
(1) Assess the needs and interests of each participant and develop an individualized activity plan as part of the individualized plan of care developed by the assessment team.
(2) Record, date and sign quarterly progress notes in each participant record.
(3) Provide or supervise the provision of activities specified in the activity plan.
(4) Develop, implement and supervise the activity program.
(5) Schedule and post planned activities.
(e) The center shall provide equipment and supplies necessary for the program, including special equipment and supplies necessary for participants having special needs.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (d) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
Article 5. Administration
§54401. Organization and Administration.

(a) Each adult day health center shall be organized and staffed to carry out the requirements of this Chapter. Staffing and administrative requirements and capabilities shall include:
(1) An administrator.
(2) A program director with appropriate qualifications.
(3) Sufficient clerical supportive staff to conduct the center's daily business in an orderly manner.
(4) A grievance procedure.
(5) The ability to provide data reports required by the Department.
(6) Financial records and books of account fully disclosing the disposition of all funds received. Fiscal reports shall be submitted quarterly to the Department in the format prescribed by the Department.
(7) Appropriately qualified staff in sufficient numbers to provide an adequate scope of services and to meet the staffing requirements stated in Section 54423.
(8) Ethnic or linguistic staff as indicated by participant characteristics.
(9) Participant records maintained in a format approved by the Department.
(10) Adequate personnel records.
(11) Nondiscrimination by and to participants and staff.
(12) Confidentiality of data maintained as stated in Section 54439.
(b) Each adult day health care provider shall establish written policies and procedures for continuously reviewing the performance of health personnel, the utilization of services, costs and standards for acceptable health care. Such procedures shall receive prior approval of the Department.
§54403. Administrator.

(a) Each center shall have an administrator. The administrator shall have the responsibility and authority to carry out the policies of the licenses. The licensee shall notify the Department in writing within 14 working days following a change of administrator. Notification shall include the new administrator's name, mailing address, effective date of office, background, qualifications and Social Security number.
(b) An administrator shall have the following qualifications:
(1) Knowledge of supervision and care appropriate to the participants receiving services.
(2) Ability to conform to the applicable laws, rules and regulations.
(3) Ability to maintain or supervise the maintenance of financial and other records.
(4) Ability to direct the work of others.
(5) Be of good character and maintain a reputation of personal integrity.
(6) Graduation from an accredited college or university, in a field related to the program, and either of the following:
(A) A master's degree plus one year of successful experience in a responsible managerial, administrative or supervisory position in a social or health service program or agency.
(B) A bachelor's degree plus three years of successful experience in a responsible managerial, administrative or supervisory position in a social or health service program or agency.
(c) The administrator shall:
(1) Administer the center in accordance with these regulations and established policy, program and budget.
(2) Report to the licensee concerning the operation of the center and interpret recognized standards of care and supervision to the licensee.
(3) Develop an administrative plan and procedure to insure clearly defined lines of responsibility, equitable workloads and adequate supervision.
(4) Recruit, employ and train qualified employees and terminate employment of employees who perform in an unsatisfactory manner.
(d) Each center shall make provision for continuity of operation and assumption of the administrator's responsibilities during the administrator's absence.
(e) Centers with a capacity of 50 and over, shall provide both an administrator and a full-time program director.
(f) The administrator of two or more licensed centers shall not serve as a program director.
(g) The administrator shall not be responsible for more than three centers, without prior written approval by the Department. In this circumstance, there shall be one assistant administrator for every three additional centers or fraction thereof.
§54405. Program Director.
Note     •     History

(a) Each center shall have a full-time program director during hours of operation. The administrator may serve in this capacity if the administrator meets the qualifications. The program director shall be on the premises and available to participants and their relatives and employees. When the program director is temporarily absent, another adult on the staff shall be designated to serve as the acting program director. When the program director is expected to be or has been absent for more than one month, the acting program director shall meet the qualifications of the program director.
(b) The program director shall be a qualified professional in the field of nursing, social work, psychology or recreational, occupational or physical therapy with demonstrated or potential competence in working with the impaired, elderly living at home. The director shall be knowledgeable of physical, social and mental health programs operating within a licensed health facility or clinic. The director shall have no other duties than those related to adult day health care and during those hours shall not be included in the staff ratios of any other licensed facility.
(c) The duties of the program director shall include:
(1) Developing the program in accordance with the needs of the participants served.
(2) Implementing and coordinating the program.
(3) Evaluating the participant's changing needs and making necessary program adjustments.
(4) Supervising employees and volunteers.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (b) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54406. Activity Coordinator.
Note     •     History

(a) The activity coordinator shall have one of the following qualifications:
(1) Two years' experience in a social recreational or educational program within the past five years, one year of which was full-time in an activities program in a health care, mental health or handicapped program setting.
(2) Be an occupational therapist, art therapist, music therapist, dance therapist, recreation therapist, occupational therapist assistant or qualified social worker.
(3) Completion of at least 36 hours training in a course designed specifically for this position and approved by the Department and shall receive regular consultation from an occupational therapist, qualified social worker or recreation therapist.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54407. Grievance Procedure.

(a) Each adult day health care provider shall establish and maintain a procedure for submittal, processing and resolution of grievances of participants regarding care and administration by the provider. Such procedure shall be approved by the Department and shall provide for the following:
(1) Recording each grievance in writing.
(2) Maintaining a log of all grievances submitted, including notes on progress towards resolution.
(3) A written finding of fact and decision within 30 days of the recording of any grievance received.
(4) Transmittal of the following to the participant within five days of decision:
(A) A written copy of the finding of fact.
(B) An explanation of the decision concerning the grievance.
(C) Information concerning the participant's right to a fair hearing in accordance with Section 54409.
(b) The participant may request a fair hearing by the Department within 10 days following receipt of written decision concerning the grievance.
§54409. Participant Fair Hearing.

(a) Each participant shall have the right to a fair hearing for matters relative to an unresolved grievance regarding care and administration by the adult day health care provider.
(b) The adult day care provider shall present its position at the fair hearing and implement the fair hearing decision adopted by the Director.
(c) Implementation of the fair hearing decision shall not be the basis for discharge of the participant by the adult day health care provider.
§54411. Reports.
Note     •     History

(a) Each provider of adult day health care services shall furnish to the Director or the Director's designee scheduled or requested information and reports including but not limited to information and reports listed below:
(1) Monthly Services Report for each participant.
(2) Agreements of Participation.
(3) Discharge requests.
(4) Initial and successive individualized plans of care.
(5) Treatment Authorization Request.
(6) Annual demographic report.
(7) Financial Reporting.
(8) Any other reports requested by the Department.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54413. Financial Reporting.
Note     •     History

(a) The adult day health care provider shall maintain financial records on an accrual basis and shall submit to the Department an annual audit performed by an independent certified public accountant. All verified financial statements shall be filed with the Department as soon as practical after the close of the center's fiscal year, and in any event, within a period not to exceed 90 days thereafter. The Department may grant exceptions to this time limit, for good cause.
(b) The audit report prepared by the independent certified public accountant shall include a table of contents and at least the following:
(1) A balance sheet reflecting the assets, liabilities and net worth of the adult day health care provider at the close of the fiscal year under audit.
(2) A statement of income and expenses reflecting all sources and amounts of income and expenses.
(3) A statement of changes in financial position, reflecting the adult day health care provider's sources and applications of funds and the net increase or decrease in working capital for the fiscal year just ended.
(4) All notes relating to the financial statements specified in (1), (2) and (3).
(5) A statement that the audit was conducted in accordance with generally accepted auditing standards and, further where in the accountant's opinion, the financial statements fairly present the financial position, results of operations and changes in financial position in conformity with generally accepted accounting principles applied on a consistent basis. If the accountant is unable to express an unqualified opinion, this shall be stated in his report and the report shall specify the reason or reasons.
(6) Financial statements shall be public records.
(c) Upon the Department's written request, the adult day health care provider shall authorize the accountant to allow representatives of the Department to inspect any and all working papers relating to the preparation of the audit report, including notes, computation, work sheets and rough drafts at the accountant's place of business during normal business hours. The accountant's costs of producing records for inspection and the costs incurred in the reproduction of documents shall be borne by the Department.
(d) When delivery of adult day health care is dependent in part upon affiliates, combined financial statements shall be prepared, and as a minimum disclose:
(1) The financial position of the provider separate from the combined totals.
(2) Inter-entity adjustments and eliminations.
(3) An independent accountant's opinion in writing, indicating why combined statements are not appropriate.
(e) A quarterly report shall be submitted by the center to the Department. The report shall include:
(1) A balance sheet.
(2) Revenue and expenses by cost center, including but not limited to salaries and staff benefits by work classification, equipment, contracts, consultation, training and travel. Cost centers shall include:
(A) Medical and nursing.
(B) Physical therapy.
(C) Occupational therapy.
(D) Speech therapy.
(E) Psycho-social services.
(F) Nutrition.
1. Transportation incidental to provision of meals.
2. Nutritional counseling.
(G) Supportive services.
1. Recreation.
2. Art, music and dance therapy.
3. Services not included in other cost centers.
(H) Administration.
1. Office supplies and equipment.
2. Postage.
3. Furniture.
4. Publications and printing.
5. Liability insurance.
6. Telephone, telegraph.
7. Reproduction.
8. Legal consultation.
9. Audit expenses.
10. Rent.
11. Utilities.
12. Maintenance.
(I) Space.
1. Rent or mortgage payment.
2. Facility insurance.
3. Utilities.
4. Housekeeping supplies and equipment.
5. Maintenance supplies and equipment.
6. Repairs.
7. Facility license fees.
8. Janitorial service.
(J) Transportation.
1. Insurance.
2. Parking fees.
3. Overnight storage fees.
4. Vehicle license fees.
5. Purchased transportation services.
6. Vehicle supplies.
7. Vehicle maintenance.
8. Amortization.
(2) Such financial records shall be filed with the Department as soon as practical after the end of the licensee's fiscal quarter and, in any event, within a period not to exceed 30 days thereafter.
(f) Every affiliated company shall:
(A) Furnish, upon request, to the provider and to the Department financial reports relevant to the disposition of funds paid to the affiliated company by the provider. Reports shall be:
1. Prepared in accordance with generally accepted accounting principles.
2. Provide all financial data required by provider to fulfill its obligations to the Department for financial reporting.
(B) Make all books and records available for inspection by the Department and the United States Department of Health, Education and Welfare for a term of at least four years.
(g) Each adult day health provider shall maintain adequate financial resources to carry out its obligations. The level of such resources shall be determined for each provider by the Department and shall include, but will not necessarily be limited to, the following:
(1) Ability to meet current obligations when due.
(2) Revenue and expense trends.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsections (e)(2)(H), (I) and (J) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54415. Medical Review.

(a) Each adult day health care center shall be reviewed by a Department of Health medical review team at least annually. The review shall include but is not limited to assessment of:
(1) The participant's current medical, psycho-social and functional status.
(2) The appropriateness of care provided.
(3) The quality of care provided.
(4) The necessity for the services rendered.
(5) Staffing requirements.
(6) The system for participant care.
(7) Medical records.
(8) Professional review system and reports.
(9) Grievances relating to health care and their disposition.
(10) Procedures for controlling the utilization of services.
§54417. On-Site Visits.

(a) Each adult day health care center shall be subject to periodic on-site visits by Department representatives. Such visits shall include but are not limited to observation of the following:
(1) General operation.
(2) Availability and provision of services.
(3) Degree of participant satisfaction with the adult day health care center.
(4) Administrative operation.
§54419. Utilization Review Committee.
Note     •     History

(a) Each adult day health center shall establish a utilization review committee. Membership in this committee shall include, but is not limited to, a representative from the adult day health center, and professional personnel such as a physician, psychiatrist, nurse, social worker, occupational, physical or speech therapist who are not employed by the center.
(b) The committee shall evaluate the appropriateness of the health care provided by reviewing individual records of participants and shall make recommendations to the center to correct any deficiencies identified. Procedures for the utilization review committee and the method of selecting records for review shall be approved by the Department. This committee shall meet at least quarterly.
(c) All activities of the utilization review committee shall be reported quarterly to the Department in a format approved by the Department. As a minimum, the report shall include the:
(1) Number of cases reviewed.
(2) Nature and extent of the problems encountered.
(3) Summaries of the actions taken by the review system.
(d) Each provider of adult day health care services shall permit the Department and the Department of Health, Education and Welfare to inspect, audit and otherwise, evaluate the quality and appropriateness of care being rendered to participants served by the center.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (a) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54421. Advisory Committees.

(a) Each adult day health care center may establish an advisory committee composed of community and participant representatives other than those comprising the governing body. The functions of this committee shall be:
(1) To serve as informational resources.
(2) To provide liaison between the center and the community.
(3) To resolve individual issues.
(4) To contribute specific expertise as needed.
(5) To assist in reaching those in need of services.
(b) The committee may meet monthly.
§54423. Staffing Requirements.
Note     •     History

(a) The program director, a registered nurse with public health background, a medical social worker, a program aide and the activity coordinator shall be on duty. Other staff shall be employed in sufficient numbers to provide services as prescribed in the individual plans or care, in accordance with the following minimal requirements, determined by each center's average daily attendance based on the previous quarter experience.
(1) Centers with an average daily attendance of 10 or less shall provide at least:
(A) A total of 40 hours per month in the following areas: Physical therapy, speech therapy and occupational therapy and psychiatric or psychological services.
(B) Two hours per month of nutritional services provided by a dietitian.
(2) Centers with an average daily attendance of 11-20 shall provide at a minimum:
(A) A total of 80 hours per month in the following areas: Physical therapy, speech therapy, occupational therapy and psychiatric or psychological services.
(B) Four hours per month of nutritional services provided by a dietitian.
(3) Centers with an average daily attendance of 21-30 shall provide at least:
(A) A total of 120 hours per month in the following areas: Physical therapy, speech therapy, occupational therapy and psychiatric or psychological services.
(B) Six hours per month of nutritional services provided by a dietitian.
(4) Centers with an average daily attendance of 31-40 shall provide at least:
(A) A total of 160 hours per month in the following areas: Physical therapy, speech therapy, occupational therapy and psychiatric or psychological services.
(B) Seven hours per month of nutritional services provided by a dietitian.
(5) Centers with an average daily attendance of 41-50 shall provide at least:
(A) A total of 200 hours per month in the following areas: Physical therapy, speech therapy, occupational therapy and psychiatric or psychological services.
(B) Eight hours per month of nutritional services provided by a dietitian.
(6) Centers with an average daily attendance of 51-60 shall provide at least:
(A) A total of 240 hours per month in the following areas: Physical therapy, speech therapy, occupational therapy and psychiatric or psychological services.
(B) Ten hours per month of nutritional services provided by a dietitian.
(7) An additional half-time licensed vocational nurse shall be provided for each increment of 10 in average daily attendance exceeding 40.
(8) An additional half-time social work assistant shall be provided for each increment of 10 in average daily attendance exceeding 40.
(9) Program aides shall be provided in a ratio of one-half aide for every increment of eight in average daily attendance.
(10) The program director of centers whose average daily attendance is 20 or less may also serve as the registered nurse, social worker, occupational therapist, physical therapist, speech therapist or dietitian, provided that:
(A) The program director meets the professional qualifications for that position.
(B) The program director and the administrator are not the same person.
(11) The center may request staffing variations to these staffing requirements according to Section 78217, Title 22, California Administrative Code.
(b) Adult day health centers which serve participants whose primary language is other than English, shall employ sufficient trained staff to communicate with and facilitate rendering services to such participants. When a substantial number of the participants are in a non-English speaking group, bilingual staff shall be provided. Bilingual staff shall be persons capable of communicating in English and the preferred language of the participant.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (a) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54425. Participant Records.
Note     •     History

(a) Each center shall maintain a complete health record for each participant in the program in the format established by the Department. Each medical record shall include, but is not limited to:
(1) Identifying information including:
(A) Name, address, telephone number, sex, age, ethnic background, Social Security and Medi-Cal numbers.
(B) Name, address and phone number of responsible person.
(2) Admission data including:
(A) Referral source.
(B) Reason for application as given by referral source, participant and family or others.
(C) Date of entry into the program, number of days scheduled for attendance, method of transportation and fee if non-Medi-Cal.
(3) Signed Agreement of Participation.
(4) Daily records of participant's attendance and services utilized, including transportation.
(5) Records shall be maintained of:
(A) Referrals to other providers.
(B) Dates and substance of communications with the participants' physician, family members and other persons providing assistance.
(6) Medication records.
(7) Medication errors and drug reactions shall be recorded with notation of action taken.
(8) Progress notes by involved personnel.
(9) Assessment of the participants by the multidisciplinary team.
(10) Physician examination and medical history.
(11) Individual plan of care.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (a)(1) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54429. Solicitation.

(a) Adult day health centers shall not:
(1) Hire persons solely for the purpose of solicitation of participants.
(2) Offer money or any valuable consideration as an inducement to become a participant.
(3) Make false statements in advertising in any media.
(4) Make false statements to prospective participants regarding any aspect of the program.
(b) Adult day health centers may assign employed staff to meet with community organizations to provide information concerning the program.
§54431. Service Area.
Note     •     History

(a) Each adult day health center shall serve only participants living in the service area specified in the county plan and approved by the Department. An exception to this requirement may be granted only if the center meets a special need of a particular individual residing outside the service area. Special needs shall be limited to:
(1) The individual does not reside in an adult day health service area.
(2) The adult day health care center in the individual's service area does not provide a needed service.
(3) The individual is a former resident of the service area.
(4) The center offers strong ties to the cultural background of the individual which are not available in the area in which the individual resides.
(b) The following procedures shall be followed in obtaining a waiver:
(1) The center shall send a written waiver request to the Department. A personal letter from the individual stating the reasons for the request shall be attached.
(2) The center shall request a written statement from the participant's personal physician explaining why the lack of service area waiver would be detrimental to the person's total health needs.
(c) The Department shall not provide reimbursement for transportation provided outside the service area.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (b)(1) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
§54433. Subcontracts.

(a) All subcontracts shall be in writing.
(b) Each subcontract shall be submitted to the Department at least 60 days prior to the effective date. If the Department does not formally act on a subcontract within 60 days after receipt, the adult day health care provider may use the services of the subcontractor.
(c) Each subcontract shall include at least the following:
(1) Full disclosure of the amount of compensation or other consideration to be received by the subcontractor from the adult day health center. That requirement provision shall not apply to subcontracts with providers employed or salaried by the adult day health care provider.
(2) Specification of the services to be provided and the times and days when these services are available to members.
(3) A provision that the subcontract shall be governed by and construed in accordance with all laws, regulations and contractual obligations incumbent upon the adult day health care provider.
(4) A provision that the Department and the Department of Health, Education and Welfare shall have the right to inspect or reproduce all books and records of the subcontractor as they relate to the provision of goods and services under the terms of the subcontract. Such books and records shall be available for inspection or reproduction at all reasonable times at the subcontractor's place of business for a term of at least four years from the effective date of the subcontract.
(5) A provision requiring the subcontractor, upon written request, to furnish financial reports relating to the provision of services under the subcontract and the payment therefore to the adult day health center and to the Department in such form and at such times as required by the adult day health care provider to fulfill its obligations for financial reporting to the Department.
§54435. Civil Rights of Participants.

(a) The adult health center shall not discriminate against participants because of race, color, creed, national origin, sex, physical or mental handicaps in accordance with Title VI of the Civil Rights Act of 1964, 42 U.S.C., Section 2000d, rules and regulations on the grounds of race, color, creed, national origin or physical or mental handicaps include, but are not limited to, the following:
(1) Denying a participant any service or benefit or availability of a facility.
(2) Providing any service or benefit to a participant which is different or is provided in a different manner or at a different time from that provided to other participants.
(3) Restricting a participant in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service or benefit.
(4) Treating a participant differently from others in satisfying any admission, enrollment quota, eligibility, membership or other requirement or condition which individuals must meet in order to be provided any service or benefits.
(5) Assignment of times or places for the provision of services on the basis of the race, color, creed or national origin of the participants to be served.
(b) The adult day health care center will take affirmative action to ensure that participants are provided services without regard to race, color, creed, sex, national origin, physical or mental handicap.
(c) The center shall refer complaints alleging discrimination against the participants race, color, national origin, creed, sex, physical or mental handicap to the Department for review and appropriate action.
§54437. Civil Rights of Employees.

(a) The center will not discriminate against any employee or applicant for employment because of race, color, creed, sex, national origin or mental or physical handicaps. The center will take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to their race, color, creed, sex, national origin, or mental or physical handicaps. Such action shall apply to all forms of personnel actions.
(b) The center shall, in all solicitations or advertisements for employees placed by or on behalf of the adult day health care provider, state that all qualified applicants will receive consideration for employment without regard to race, color, creed, sex, national origin, or mental or physical handicaps.
(c) The adult day health care provider shall send a notice provided by the Department to each labor union or representative of workers, with which it has a collective bargaining agreement or other contract or understanding, advising the labor union or workers' representative of the provider's equal opportunity commitments. Copies of the notice shall be posted in conspicuous places available to employees and applicants for employment.
§54439. Confidentiality of Data.

(a) Names of persons receiving public social services are confidential as provided in Section 10850, California Welfare and Institutions Code, and are to be protected from unauthorized disclosure. Release of any information pertaining to adult day health care participants shall be made in accordance with the provisions of Section 51009, Title 22, California Administrative Code.
(b) All information, records, data and data elements collected and maintained for the operation of an adult day health center and pertaining to participants shall be protected by the adult day health care provider from unauthorized disclosure.
§54443. Informational Material.

(a) Informational material provided to potential participants must have prior approval of the Department and must include the following:
(1) The name, address and phone number of the center.
(2) The service area boundaries.
(3) Eligibility criteria.
(4) A description of services provided at the center.
(5) The days and hours of operation.
(6) The cost per day.
(b) Information released to the media and the general public which contains eligibility or program information must have prior approval of the Department.
§54445. Conflict of Interest.

(a) No state officer or state employee shall have a direct financial interest in a center or a direct financial interest in any contract with the adult day health care provider.
(b) No state officer or state employee shall provide legal or management services to the adult day health care provider, outside of specific duties as a state officer or state employee. No state officer or state employee shall share in the income or any remuneration derived from providing legal or management services to an adult day health care provider.
(c) No state officer or state employee shall receive anything of value for the purpose of influencing or attempting to influence the negotiations for approval or renewal of the provider agreement with the Department.
§54447. Provider Sanctions.
Note     •     History

(a) The Department shall, after warning, impose one or more of the following sanctions on adult day health care providers for violating time requirements as specified in Sections 54217 (d), 54403 (a), 54411, 54413 and 54507.
(1) Suspension of admission privileges.
(2) Forfeiture of all or part of the Medi-Cal reimbursement for each day the required documents are late.
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
Article 6. Payment of Services
§54501. Adult Day Health Care Services.
Note     •     History

(a) Department reimbursement for adult day health care services shall be the usual charges made to the general public by the center not to exceed the maximum reimbursement rates listed in this section. 
(b) The maximum all-inclusive rate per day of attendance for each approved Medi-Cal participant shall be $69.58. 
(c) Payments shall be made only for days of attendance in the time period approved by the Medi-Cal consultant. 
(d) The comprehensive daily rate shall be reduced by the Department for any component of the required basic services which is funded in part or in whole from any other source, as indicated in fiscal reports submitted in accordance with Section 54413 or as determined by a Department fiscal audit. Failure to report other income sources may, at the discretion of the Department, result in suspension of certification. 
(e) The comprehensive daily rate shall be payment in full for all adult day health care services provided to the Medi-Cal participant. Physical therapy, occupational therapy and speech therapy provided or arranged by the center beyond the requirements stated in Section 54423 (a) may be reimbursed according to Sections 51507, 51507.1 and 51507.2 if a separate prior authorization request is approved for physical therapy in accordance with Section 51309 (b) or for rehabilitation center outpatient services in accordance with Section 51314. A written statement, signed by the adult day health care provider, certifying that they are meeting the requirements of Section 54423 (a) for the time period of the treatment authorization request and that the therapeutic needs of this participant are in excess of Section 54423 requirements, shall be attached to the claim and prior authorization request. 
(f) A provider of adult day health care shall not submit claims to or demands or otherwise collect reimbursement from a Medi-Cal participant, or from other persons on behalf of the participant, for any service included in the daily rate for adult day health care services unless the exceptions of Section 51002, Division 3, Chapter 3, Title 22, California Administrative Code, apply. 
(g) The daily rate includes costs for purchase of meals and transportation. Utilization of existing community resources for meals and transportation is mandated unless the adult day health care provider can justify to the satisfaction of the Department the need to provide meals or transportation directly. 
(h) The maximum number of payments for days of attendance for any 24-hour period shall not exceed the licensed capacity. 
(i) A provider of adult day health care shall make reasonable efforts to recover the value of services rendered to participants whenever said participants are covered for the same services, either fully or partially, under any other state or federal program or under other contractual or legal entitlement, including but not limited to, a private group or indemnification program. Such recoveries are returned to the Department. A provider shall notify the Department if efforts to recover payment are unsuccessful. 
(j) A provider of adult day health care shall not attempt to recover the value of services rendered when such recovery shall result from an action involving third-party tort liability. The provider shall notify the Department of any situation in which it appears that a participant will benefit from a third-party liability. 
NOTE

Authority cited: Section 20, Health and Safety Code; and Sections 10725, 14105, 14124.5 and 14570, Welfare and Institutions Code. Reference: Section 14571, Welfare and Institutions Code; Statutes of 2003, Chapter 157, Items 4260-101-0001 and 4260-101-0890; and the Settlement Agreement in California Association for Adult Day Services v. Department of Health Services, January 12, 1994, San Francisco County Superior Court (Case Number 944047).
HISTORY

1. Amendment filed 8-7-89 as an emergency; operative 8-7-89 (Register 89, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-5-89. For prior history, see Register 87, No. 33. 
2. Certificate of Compliance transmitted to OAL 12-1-89 and filed 1-2-90 (Register 90, No. 2).
3. Amendment of subsection (b) and Note filed 11-7-94 as an emergency; operative 11-7-94 (Register 94, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-7-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-7-94 order transmitted to OAL 3-1-95 and filed 4-12-95 (Register 95, No. 15).
5. Amendment of subsection (b) and Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of History 5 (Register 98, No. 24).
7. Certificate of Compliance as to 12-31-97 order transmitted to OAL 4-27-98 and filed 6-9-98 (Register 98, No. 24).
8. Amendment of subsection (b) and Note filed 10-29-98 as an emergency; operative 10-29-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 10-29-98 order transmitted to OAL 2-26-99 and filed 4-8-99 (Register 99, No. 15).
10. Amendment of subsection (b) and amendment of Note filed 11-3-99 as an emergency; operative 11-3-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-2-2000 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 11-3-99 order transmitted to OAL 3-1-2000 and filed 4-6-2000 (Register 2000, No. 14).
12. Amendment of subsection (b) and amendment of Note filed 11-17-2000 as an emergency; operative 11-17-2000 (Register 2000, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-19-2001 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 11-17-2000 order transmitted to OAL 3-8-2001 and filed 4-19-2001 (Register 2001, No. 16).
14. Amendment of subsection (b) and amendment of Note filed 1-27-2003 as an emergency; operative 8-1-2001 pursuant to Statutes of 2002, Chapter 16, Items 4260-101-0001 and 4260-101-0890 (Register 2003, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsection (b) and amendment of Note refiled 5-22-2003 as an emergency; operative 5-22-2003 (Register 2003, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-2003 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 5-22-2003 order transmitted to OAL 9-18-2003 and filed 10-16-2003 (Register 2003, No. 42).
17. Amendment of subsection (d) and amendment of Note filed 8-24-2005 as a deemed emergency pursuant to Welfare and Institutions Code section 14105(a); operative 8-24-2005 for dates of service 8-1-2002 through 7-31-2003 pursuant to Statutes of 2002, Chapter 379, Items 4260-101-0001 and 4260-101-0890  (Register 2005, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-2005 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 8-24-2005 order transmitted to OAL 12-22-2005 and filed 1-23-2006 (Register 2006, No. 4).
19. Amendment of subsection (b) and Note filed 6-24-2010 as an emergency; operative 6-24-2010 (Register 2010, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-21-2010 or emergency language will be repealed by operation of law on the following day.
20. Certificate of Compliance as to 6-24-2010 order transmitted to OAL 11-29-2010 and filed 1-10-2011 (Register 2011, No. 2).
§54503. Fee Schedule.

Each approved adult day health care provider shall establish a fee schedule for services to the general public.
§54504. Transition Visits.
Note     •     History

(a) An adult day health care provider may be reimbursed for a maximum of five transition visits per institutionalized participant, each visit consisting of two to four hours at the adult day health center. Transition visits to an adult day health care center may be made by an inpatient of:
(1) An acute hospital utilizing administrative days,
(2) An Intermediate Care Facility, or
(3) A Skilled Nursing Facility.
(b) Reimbursement for the transition visits shall not exceed 85% of the center's current approved daily rate.
(c) The attending physician shall authorize the transition visits. Physician approval shall be documented in the patient's chart.
NOTE

Authority cited: Sections 14105, 14124.5 and 14570, Welfare and Institutions Code. Reference: Sections 14105, 14525 and 14571, Welfare and Institutions Code.
HISTORY

1. New section filed 2-11-83; effective thirtieth day thereafter (Register 83, No. 7).
§54505. Initial Assessment Rate.
Note     •     History

(a) An approved adult day health care provider shall be reimbursed for one initial assessment by the provider's multidisciplinary team for each new participant. Assessment made after a discharge and for reentry is not reimbursable for a reentry less than 12 months after the discharge of the same participant.
(b) Reimbursement for the initial assessment shall be based on the center's current approved daily rate plus five percent.
(c) Reimbursement for the initial assessment shall be limited to a maximum of three days.
NOTE

Authority cited: Sections 14105, 14124.5 and 14570, Welfare and Institutions Code and Chapter 1066, Statutes of 1977. Reference: Sections 14105 and 14571, Welfare and Institutions Code and Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment of subsection (b) filed 9-17-79 as an emergency; effective upon filing (Register 79, No. 38). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 1-15-80.
2. Amendment of subsection (a) filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
3. Certificate of Compliance filed 11-29-79 (Register 79, No. 48).
§54507. Billing Requirements.
Note     •     History

(a) All charges submitted for payment shall be on billing forms approved by the Department. The billing shall include a monthly invoice, the number of days of attendance for each participant and monthly service reports.
(b) Billing shall be submitted by the adult day health care provider directly to the Department for the month of service. Billings are due by the 15th of the month following the month of service.
(c) Billing for initial assessments days shall be submitted on the invoice and shall meet the requirements of (a) and (b).
NOTE

Authority cited: Chapter 1066, Statutes of 1977. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. Amendment filed 9-19-79; effective thirtieth day thereafter (Register 79, No. 38).
Chapter 5.5. Indians and Indian Health Service Facilities in Medi-Cal Managed Care Programs
§55000. General.
Note     •     History

(a) The United States Congress has declared that it is the policy of the United States, in fulfillment of the special responsibilities and legal obligations to the American Indian people, to meet the national goal of providing the highest possible health status to Indians. In furtherance of these national goals and national policy, special programs have been developed by the Federal Government to address the health problems of Indians living on and near the Indian reservations, in rural areas, and in urban centers.
(b) These regulations are intended to recognize the inherent sovereignty of Indian tribes and nations, the requirements of the Indian Health Care Improvement Act and the Indian Self-Determination and Education Assistance Act, and to recognize the special status of Indians, Indian tribes, and Indian Health Service programs under federal law. This special status requires that separate considerations be applied to the inclusion or exclusion of Indians and Indian Health Service Facilities from Medi-Cal managed care plans.
(c) The programs operated by Indian tribes and Indian organizations within California, referred to in these regulations as Indian Health Service Facilities, are required by federal law to provide services to all eligible Indians who present themselves for care. Indian Health Service Facilities are also required by federal law to act as the payor of last resort for eligible Indians and are required to obtain reimbursement for the services provided to eligible Indians from all sources including the Medi-Cal program. These facilities may serve non-Indians, but only to the extent that such services do not result in the denial or diminution of health services to eligible Indians.
(d) The department intends to provide a single, clear, and accessible set of guidelines which define how Indian Health Service Facilities will relate to the Medi-Cal managed care plans in their respective locations; to ensure that individual Indians continue to receive the required care to which they are entitled; and to ensure that Indian Health Service Facilities may continue to provide comprehensive services to eligible Indians.
(e) The department intends to ensure that the Indian Health Service Facilities are reimbursed, if they are qualified for and elect to receive reasonable cost reimbursement, as provided in federal law, at their reasonable cost reimbursement rate, or a percentage of reasonable cost as provided in 42 U.S.C. 1396a(a)(13)(C), whether they elect to act as subcontractors of the Medi-Cal managed care plans or out-of-plan providers.
(f) The department also intends to ensure that Indian Health Service Facilities which choose to be and are designated as Indian Health Service (IHS) providers by the federal government will receive the IHS payment rate.
NOTE

Authority cited: Stats. 1992, Ch. 722; Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Sections 14000, 14016.5, 14087.3, 14087.305, 14087.4, 14087.5, 14088, 14089, 14089.05, 14200 and 14499.5, Welfare and Institutions Code; and Title 25, United States Code, Sections 13 and 1601.
HISTORY

1. New chapter 5.5 (sections 55000-55180) and section filed 4-3-98; operative 4-3-98. Submitted to OAL for printing only pursuant to section 147, Senate Bill 485 (Ch. 722/92) (Register 98, No. 15).
2. Change without regulatory effect amending Note filed 4-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 15).
§55100. Definitions.
Note     •     History

The following definitions shall control the construction of this chapter unless the context requires otherwise.
(a) County organized health system means a Medi-Cal managed care plan contracting with the department to serve enrolled beneficiaries under the authority of Welfare and Institutions Code, Section 14499.5, or Welfare and Institutions Code, Division 9, Part 3, Chapter 7, Article 2.8, commencing with Section 14087.5.
(b) Disenrollment means the process under which a member's entitlement to receive services from a Medi-Cal managed care plan is terminated.
(c) Federally qualified health center means an entity which:
(1) Is receiving a grant under Section 330 of the Public Health Service Act;
(2) Is receiving funding from such a grant under a contract with the recipient of such a grant, and meets the requirements to receive a grant under Section 330 of such Act;
(3) Based on the recommendation of the Health Resources and Services Administration within the Public Health Service, is determined by the Secretary of Health and Human Services to meet the requirements for receiving such a grant; or
(4) Was treated by the Secretary, for purposes of Part B of Title XVIII, as a comprehensive federally funded health center as January 1, 1990; and
(5) May be an outpatient health program or facility operated by a tribe or tribal organization under the Indian Self-Determination Act (Public Law 93-638) or by an urban Indian organization receiving funds under Title V of the Indian Health Care Improvement Act for the provision of primary health services.
(d) Fee-for-service managed care plan means a Medi-Cal managed care plan that does not assume financial risk for the provision of services to its members.
(e) Fee-for-service managed care program means a single fee-for-service managed care plan contracting in a county to provide or arrange for health care services to mandatorily enrolled Medi-Cal beneficiaries.
(f) Fee-for-service provider means a provider of services as defined in Section 51051 which has been issued a Medi-Cal provider number by the department.
(g) Geographic managed care program means a health care delivery system consisting of Medi-Cal managed care plans contracting with the department under the authority of Welfare and Institutions Code Sections 14089 or 14089.05 to provide services to mandatorily enrolled Medi-Cal beneficiaries.
(h) Health care options program means the program established by the department to inform Medi-Cal beneficiaries of their options for receiving Medi-Cal benefits in areas served by Medi-Cal managed care plans other than county organized health systems.
(i) Indian means any person who is eligible under federal law and regulations (25 U.S.C. Sections 1603c, 1679b, and 1680c and 42 CFR Section 36.12) to receive health services provided directly by the United States Department of Health and Human Services, Indian Health Service, or by a tribal or an urban Indian health program funded by the Indian Health Service to provide health services to eligible individuals either directly or by contract. 
(j) Indian Health Service Facility means a tribal or urban Indian organization operating health care programs or facilities with funds from the Department of Health and Human Services, Indian Health Service, appropriated pursuant to the Indian Health Care Improvement Act (25 U.S.C. Section 1601 et. seq.) or the Snyder Act (25 U.S.C. Section 13 et. seq.).
(k) Lock-in means the restriction of a member's right to disenroll from a Medi-Cal managed care plan without good cause.
(l) Medi-Cal managed care plan means an entity contracting with the department to provide health care services to enrolled Medi-Cal beneficiaries under Chapter 7, commencing with Section 14000, or Chapter 8, commencing with Section 14200, of Division 9, Part 3, of the Welfare and Institutions Code.
(m) Medi-Cal managed care program means a program established by the department in which participation requirements for beneficiaries and Medi-Cal managed care plans have been standardized. As used in this article, Medi-Cal managed care programs include the two-plan model, Geographic Managed Care, prepaid health plan, primary care case management, county organized health systems, and fee-for-service managed care programs.
(n) Member means any Medi-Cal beneficiary who has enrolled in a Medi-Cal managed care plan.
(o) Prepaid health plan program means the Medi-Cal managed care program in which beneficiaries may voluntarily enroll in Medi-Cal managed care plans contracting with the department under Welfare and Institutions Code Section 14200 et seq.
(p) Primary care case management program means the Medi-Cal managed care program in which beneficiaries may voluntarily enroll in Medi-Cal managed care plans contracting with the department under Welfare and Institutions Code Section 14088 et seq.
(g) Two-plan model means the health care delivery system described in Section 53800, consisting of two Medi-Cal managed care plans in a county providing services to mandatorily enrolled Medi-Cal beneficiaries.
NOTE

Authority cited: Stats. 1992, Ch. 722; Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Sections 14000, 14016.5, 14087.3, 14087.305, 14087.4, 14087.5, 14088, 14089, 14089.05, 14200 and 14499.5, Welfare and Institutions Code; and Title 25, United States Code, Sections 13 and 1601.
HISTORY

1. New section filed 4-3-98; operative 4-3-98. Submitted to OAL for printing only pursuant to section 147, Senate Bill 485 (Ch. 722/92) (Register 98, No. 15).
2. Change without regulatory effect amending Note filed 4-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 15).
§55110. Enrollment of Indians in Medi-Cal Managed Care Plans.
Note     •     History

(a) Indians shall not be required to enroll in any Medi-Cal managed care plans, with the exception of county organized health systems.
(b) Indians who are enrolled in a Medi-Cal managed care plan, including county organized health systems, shall not be restricted in their access to Indian Health Service Facilities by the Medi-Cal managed care plan.
(c) Notwithstanding any other regulations in this title, Indians who are enrolled in a Medi-Cal managed care plan other than a county organized health system shall be permitted to disenroll from the Medi-Cal managed care plan without cause as of the beginning of the first calendar month following a full calendar month after the request for disenrollment is made. Indians shall not be subject to any lock-in provisions which may apply to other members of Medi-Cal managed care plans.
NOTE

Authority cited: Stats. 1992, Ch. 722; Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Sections 14000, 14016.5, 14087.3, 14087.305, 14087.4, 14087.5, 14088, 14089, 14089.05, 14200 and 14499.5, Welfare and Institutions Code; and Title 25, United States Code, Sections 13 and 1601.
HISTORY

1. New section filed 4-3-98; operative 4-3-98. Submitted to OAL for printing only pursuant to section 147, Senate Bill 485 (Ch. 722/92) (Register 98, No. 15).
2. Change without regulatory effect amending Note filed 4-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 15).
§55120. Indian Health Service Facility Participation in Medi-Cal Managed Care Programs.
Note     •     History

(a) Indian Health Service Facilities may participate in the Medi-Cal managed care program as a subcontractor with a Medi-Cal managed care plan, if agreement is reached between the parties to the subcontract and the subcontract is approved by the department. Approval by the department shall be based on the subcontract's compliance with standards applicable to all subcontracts held by Medi-Cal managed care plans, including standards relative to appropriate reimbursement rates.
(b) In the two-plan model, the department shall require the local initiative to offer a subcontract to each Indian Health Service Facility located in the designated region served by the local initiative under the two-plan model. If there is no local initiative in a county and the department exercises its option under Section 53800(b)(3), the department shall establish participation standards for Indian Health Service Facilities that provide that at least one of the two Medi-Cal managed care plans participating in the program shall offer a subcontract to each Indian Health Facility located in the designated region served by the plans under the two-plan model. The terms of these subcontracts shall be consistent with the requirements of this chapter and, in other respects, shall be consistent with the terms and conditions offered to other subcontractors providing a similar scope of services.
(c) In counties with mandatory enrollment in Medi-Cal managed care programs other than the two-plan model and county organized health systems, the department shall establish participation standards for Indian Health Service Facilities. These standards shall provide that at least one Medi-Cal managed care plan participating in the program in the county shall offer a subcontract to each Indian Health Facility located in the geographic region served by the program. The terms of these subcontracts shall be consistent with the requirements of this chapter and, in other respects, shall be consistent with the terms and conditions offered to other subcontractors providing a similar scope of services.
(d) In the two-plan model program or in a Geographic Managed Care program, if the Indian Health Service Facility does not participate as a subcontractor, the department shall accept applications to the extent permitted by federal law from an Indian Health Service Facility interested in contracting as a fee-for-service managed care plan under Section 55130. The fee-for-service managed care plan may only enroll Indians and the number of non-Indians receiving services from the Indian Health Service Facility at the time of application to the department. If departmental resources limit the implementation and monitoring of additional fee-for-service managed care plans, the department may discontinue the acceptance of applications and implemention of any additional fee-for-service managed care programs by providing six months written notice of its intent to discontinue acceptance and implementation to the California Area Office, Indian Health Service, Public Health Service, Department of Health and Human Services.
NOTE

Authority cited: Stats. 1992, Ch. 722; Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Sections 14000, 14016.5, 14087.3, 14087.305, 14087.4, 14087.5, 14088, 14089, 14089.05, 14200 and 14499.5, Welfare and Institutions Code; and Title 25, United States Code, Sections 13 and 1601.
HISTORY

1. New section filed 4-3-98; operative 4-3-98. Submitted to OAL for printing only pursuant to section 147, Senate Bill 485 (Ch. 722/92) (Register 98, No. 15).
2. Change without regulatory effect amending Note filed 4-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 15).
§55130. Indian Health Service Facilities as Fee-for-Service Managed Care Plans.
Note     •     History

(a) If, under the option provided in Section 55120(d), the Indian Health Service Facility elects to become a fee-for-service managed care plan, the Indian Health Service Facility shall act as primary care case manager for Medi-Cal beneficiaries who are Indians or non-Indians currently receiving services from the Indian Health Service Facility, once they voluntarily enroll with the Indian Health Service Facility fee-for-service managed care plan. The plan shall be responsible to provide or arrange for health care services for its members as agreed to in the contract between the department and the Indian Health Service Facility. The department shall inform Medi-Cal beneficiaries who are Indians or non-Indians currently receiving services from the Indian Health Service Facility of their option to enroll in the Indian Health Service Facility fee-for-service managed care plan through the health care options program.
(b) To participate as a fee-for-service managed care plan, the Indian Health Service Facility must demonstrate sufficient resources and capability to implement the fee-for-service managed care contract, including, but not limited to:
(1) Medical and administrative staff.
(2) Information systems.
(3) Organizational structure.
(4) Financial solvency.
(5) Quality improvement system.
(6) Member grievance system.
NOTE

Authority cited: Stats. 1992, Ch. 722; Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14000, 14016.5, 14087.3, 14089 and 14089.05, Welfare and Institutions Code; and Title 25, United States Code, Sections 13 and 1601.
HISTORY

1. New section filed 4-3-98; operative 4-3-98. Submitted to OAL for printing only pursuant to section 147, Senate Bill 485 (Ch. 722/92) (Register 98, No. 15).
2. Change without regulatory effect amending Note filed 4-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 15).
§55140. Indian Health Service Facility Reimbursement When Subcontracting with a Medi-Cal Managed Care Plan.
Note     •     History

(a) A Medi-Cal managed care plan subcontracting with an Indian Health Service Facility shall reimburse the Indian Health Service Facility for services according to one of the following reimbursement options:
(1) If the Indian Health Service Facility is a rural health clinic or qualifies as a federally qualified health center, the Medi-Cal managed care plan shall reimburse the facility at the facility's interim per visit rate as established by the department, or through an alternate reimbursement methodology approved in writing by the department.
(2) If the Indian Health Service Facility is a rural health clinic or a federally qualified health center and the facility and the Medi-Cal managed care plan have agreed to an at-risk rate and the Indian Health Service Facility has waived its right to cost-based reimbursement under the subcontract, the Medi-Cal managed care plan shall reimburse the facility at the negotiated rate.
(3) If, prior to the effective date of these regulations, a Medi-Cal a managed care plan has negotiated a subcontract, which has been approved by the department, with an Indian Health Service Facility that is a federally qualified health center or a rural health clinic, and this subcontract contains terms for reimbursement other than cost-based reimbursement as described in subsection (c), the Medi-Cal managed care plan may continue to reimburse the facility at the agreed rate under the subcontract.
(4) If the Indian Health Service Facility is entitled to be reimbursed as an Indian Health Service provider by the federal government at a reimbursement rate other than the rate described in subsection (a)(1), the Medi-Cal managed care plan shall reimburse the facility at the Indian Health Service payment rate.
(b) Referrals made by the Indian Health Service Facility to other providers shall be in accordance with the terms of the subcontract.
(c) If the Indian Health Service Facility has elected to subcontract with a Medi-Cal managed care plan and qualifies to be reimbursed as a rural health clinic or federally qualified health center on the basis of reasonable cost, as provided in federal law, the department shall reimburse or recover from the Indian Health Service Facility at least annually an amount equalling the difference between payments received from the Medi-Cal managed care plan through the subcontract and reasonable cost reimbursement, or a percentage of reasonable cost as provided in 42 U.S.C. 1396a(a)(13)(C), as a part of the department's annual reconciliation process with the facility for all Medi-Cal services. As a condition of obtaining the reconciliation, the Indian Health Service Facility shall maintain a record of the number of visits by plan members separate from visits by fee-for-service Medi-Cal beneficiaries.
NOTE

Authority cited: Stats. 1992, Ch. 722; Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Sections 14000, 14087.3, 14087.5, 14088, 14089, 14089.05, 14200 and 14499.5, Welfare and Institutions Code; Title 25, United States Code, Sections 13 and 1601; and Title 42, United States Code, Sections 1396(b)(m)(2)(A)(ix) and 1396(d)(l)(2).
HISTORY

1. New section filed 4-3-98; operative 4-3-98. Submitted to OAL for printing only pursuant to section 147, Senate Bill 485 (Ch. 722/92) (Register 98, No. 15).
2. Change without regulatory effect amending Note filed 4-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 15).
§55150. Indian Health Service Facility Out-of-Plan Reimbursement.
Note     •     History

When the Indian Health Service Facility provides services covered by a Medi-Cal managed care plan to members of that plan and the Indian Health Service Facility does not have a subcontract with the Medi-Cal managed care plan or has a subcontract but is providing services to members not covered by the subcontract, the following reimbursement requirements shall apply:
(a) For Medi-Cal beneficiaries who are Indians, the Medi-Cal managed care plan shall reimburse the Indian Health Service Facility for services provided to the beneficiary at the applicable reimbursement rate that would have been received by the Indian Health Service Facility if the service has been rendered to a Medi-Cal beneficiary through the Medi-Cal fee-for-service program.
(b) For Medi-Cal beneficiaries who are not Indians, the Medi-Cal managed care plan shall reimburse the Indian Health Service Facility only if the Medi-Cal managed care plan has authorized the service or if the Medi-Cal managed care plan is obligated by its contract with the department to pay out-of-plan providers for the service without prior authorization (e.g., emergency services or family planning services). If reimbursement is required, reimbursement shall be at the applicable reimbursement rate that would have been received by the Indian Health Service Facility if the service had been rendered to a Medi-Cal beneficiary through the Medi-Cal fee-for-service program.
(c) The Indian Health Service Facility may be required, as a condition of payment, by the Medi-Cal managed care plan to submit supporting documentation or specific claim information in a format acceptable to the Medi-Cal managed care plan, pursuant to the Medi-Cal managed care plan's out-of-plan claims procedures which are required by the Medi-Cal managed care plan of any other provider of out-of-plan services. In addition, a Medi-Cal managed care plan may request from the Indian Health Service Facility, as a condition of payment, verification of a person's eligibility as an Indian, as defined in section 55100.
(d) Referrals made by the Indian Health Service Facility to other providers shall be coordinated with the Medi-Cal managed care plan. Providers which accept the referrals shall be responsible for obtaining authorization and payment from the Medi-Cal managed care plan.
NOTE

Authority cited: Stats. 1992, Ch. 722; Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Sections 14000, 14087.3, 14087.5, 14088, 14089, 14089.05, 14200 and 14499.5, Welfare and Institutions Code; Title 25, United States Code, Sections 13 and 1601; and Title 42, United States Code, Sections 1396(b)(m)(2)(A)(ix) and 1396(d)(l)(2).
HISTORY

1. New section filed 4-3-98; operative 4-3-98. Submitted to OAL for printing only pursuant to section 147, Senate Bill 485 (Ch. 722/92) (Register 98, No. 15).
2. Change without regulatory effect amending Note filed 4-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 15).
§55160. Indian Health Service Facility Fee-for-Service Managed Care Plan Reimbursement.
Note     •     History

If the Indian Health Service Facility provides services as a fee-for-service managed care plan, the department shall reimburse the facility at the applicable reimbursement rate that would have been received by the Indian Health Service Facility if the service had been rendered to a Medi-Cal beneficiary through the Medi-Cal fee-for-service program for each qualifying visit by a member of the fee-for-service managed care plan. In addition, the department shall pay a monthly case management fee established by the department for each member. If the Indian Health Service Facility qualifies for reasonable cost reimbursement, as provided in federal law, the department shall reimburse or recover from the Indian Health Service Facility at least annually an amount equalling the difference between the payments received from the department, excluding case management fees, and reasonable cost reimbursement, or a percentage of reasonable cost, as provided in 42 U.S.C. 1396a(a)(13)(C).
NOTE

Authority cited: Stats. 1992, Ch. 722; Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Sections 14000, 14087.3, 14087.5, 14088, 14089, 14089.05, 14200 and 14499.5, Welfare and Institutions Code; and Title 25, United States Code, Sections 13 and 1601; and Title 42, United States Code, Sections 1396(b)(m)(2)(A)(ix) and 1396(d)(l)(2).
HISTORY

1. New section filed 4-3-98; operative 4-3-98. Submitted to OAL for printing only pursuant to section 147, Senate Bill 485 (Ch. 722/92) (Register 98, No. 15).
2. Change without regulatory effect amending Note filed 4-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 15).
§55170. Indian Health Service Facilities and Non-Indian Beneficiaries.
Note     •     History

The Indian Health Service Facility will determine the number of non-Indian Medi-Cal beneficiaries which the facility will accept as patients with the following limitations:
(a) The facility must ensure that it maintains its historical and cultural character as an Indian Health Service Facility;
(b) The facility must ensure that it provides care to Indian patients at a satisfactory level, as required by federal law;
(c) If the Indian Health Service Facility subcontracts with a Medi-Cal managed care plan, the number of non-Indian members may be negotiated between the parties.
(d) In the two-plan model or a Geographic Managed Care program, if the Indian Health Service Facility elects to participate as a fee-for-service managed care plan, the Indian Health Service Facility shall enroll only Indians and the number of non-Indians receiving services from the Indian Health Service Facility at the time of its application to the department.
NOTE

Authority cited: Stats. 1992, Ch. 722; Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Sections 14000, 14016.5, 14087.3, 14087.305, 14087.4, 14087.5, 14088, 14089, 14089.05, 14200 and 14499.5, Welfare and Institutions Code; and Title 25, United States Code, Sections 13 and 1601.
HISTORY

1. New section filed 4-3-98; operative 4-3-98. Submitted to OAL for printing only pursuant to section 147, Senate Bill 485 (Ch. 722/92) (Register 98, No. 15).
2. Change without regulatory effect amending Note filed 4-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 15).
§55180. Indian Health Service Facilities and the Health Care Options Program.
Note     •     History

(a) In geographic areas served by a Geographic Managed Care program, the two-plan model, or where the health care options program is operating, Indian Health Service Facilities shall be listed as an option in the presentation and informing materials used to advise beneficiaries of their options for receiving Medi-Cal benefits. Indians and non-Indians currently receiving services from an Indian Health Service Facility in such an area may, as an alternative to enrollment in a Medi-Cal managed care plan, and upon request, choose to receive health care services through the Indian Health Service Facility. Such a request shall be made to the health care options program.
(b) In areas covered by subsection (a), if the Indian Health Service Facility provides the department with current information on Indian Medi-Cal beneficiaries and non-Indian Medi-Cal beneficiaries who are currently receiving services from the facility in the form agreed to between the department and the Indian Health Service Facility, the following shall apply:
(1) If an Indian Medi-Cal beneficiary, who is identified by the Indian Health Service Facility as currently receiving services from the facility, does not make a choice of options, that beneficiary shall not be assigned to a Medi-Cal managed care plan, but shall remain in the fee-for-service Medi-Cal program to allow the beneficiary to continue to receive care from the Indian Health Service Facility. This requirement shall apply whether or not the Indian Health Service Facility has subcontracted with a Medi-Cal managed care plan, but shall not apply if the Indian Health Service Facility is a fee-for-service managed care plan.
(2) Non-Indian Medi-Cal beneficiaries may be identified by the Indian Health Service Facility as currently receiving services from the facility. Such beneficiaries who do not make a choice of options shall not be assigned to a Medi-Cal managed care plan, but shall remain in the fee-for-service Medi-Cal program to allow those beneficiaries to continue to receive care from the Indian Health Service Facility. This requirement shall apply whether or not the Indian Health Service Facility has subcontracted with a Medi-Cal managed care plan, but shall not apply if the Indian Health Service Facility is a fee-for-service managed care plan.
(3) If the Indian Health Service Facility is a fee-for-service managed care plan, beneficiaries identified in subdivisions (1) and (2) who fail to make a choice shall be assigned to the Indian Health Service Facility's fee-for-service managed care plan.
NOTE

Authority cited: Stats. 1992, Ch. 722; Sections 10725, 14089.7, 14105, 14124.5, 14203 and 14312, Welfare and Institutions Code. Reference: Sections 14000, 14016.5, 14087.3, 14087.305, 14087.4, 14089, 14089.05 and 14200, Welfare and Institutions Code; and Title 25, United States Code, Sections 13 and 1601.
HISTORY

1. New section filed 4-3-98; operative 4-3-98. Submitted to OAL for printing only pursuant to section 147, Senate Bill 485 (Ch. 722/92) (Register 98, No. 15).
2. Change without regulatory effect amending Note filed 4-9-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 15).
Chapter 6. Primary Care Case Management Plans
Article 1. General Provisions
§56000. General.
Note     •     History

(a) Health care services to eligible Medi-Cal beneficiaries may be provided through PCCM plans. PCCM plans shall: 
(1) Contract with the Department to provide or arrange for the provision of the full scope of Medi-Cal services, unless certain services are specifically excluded under the terms of the contract, to Medi-Cal beneficiaries voluntarily electing to obtain health care services from the PCCM plan.
(2) Share in the risk of providing health care services. 
(3) Provide readily available health care services and utilize preventive health care programs to improve the health status of their members.
(4) Case manage members' utilization of health care services. 
(b) The definitions in Article 2 shall apply to Chapter 6 of this division unless the context requires otherwise. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14000, 14053 and 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsection (a) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
Article 2. Definitions
§56100. Acceptable Medical Care. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g). (Register 92, No. 1).
§56101. Actuarial Equivalence.
Note     •     History

Actuarial equivalence means the per capita costs for Medi-Cal fee-for-service beneficiaries adjusted by age, sex, aid category, geographic location, scope of services, and other appropriate factors in order to be comparable with the costs for Medi-Cal beneficiaries who are members of each PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56101.1. Actuarial Method.
Note     •     History

Actuarial method means any reasonable and adequate method of determining prospective per capita rates of payment for PCCM plan members that is based on actual expenditures for fee-for-service Medi-Cal beneficiaries and recent comparable data from each PCCM plan and other prepaid populations. This data may include: 
(a) Experience data to determine the expected costs of services and other requirements for which the rates will serve as payment. 
(b) Experience data to determine the expected utilization of each service and other requirements for which the rates will serve as payment by the aid category, age and sex of the Medi-Cal members. 
(c) Projected inflation in the costs of the services and other requirements during the period to be covered by the rates. 
(d) Costs of any new services or requirements that will be required during the year for which the rates are determined but were not required during the previous year. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of first paragraph transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56102. Affiliate.
Note     •     History

Affiliate means an organization or person that, directly or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with, a PCCM plan and that provides services to or receives services from a PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56114. Disenrollment.
Note     •     History

Disenrollment means the process by which a member's entitlement to receive services from a PCCM plan is terminated. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14088.5, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of  Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91(Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56115. Door-to-Door Marketing.
Note     •     History

Door-to-door marketing means the use of a marketing presentation at the residence of an individual who has not requested a presentation. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of  law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56115.5. Effective Date of Enrollment.
Note     •     History

Effective date of enrollment means the first day of the first month in which a Medi-Cal beneficiary's name appears on the approved list of members furnished to the PCCM plan by the Department as a result of the completion of a designation form for enrollment in the PCCM plan.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56116. Enrollment.
Note     •     History

Enrollment means the process by which a Medi-Cal beneficiary becomes a member of a PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56116.5. Experience Data.
Note     •     History

Experience data means historical cost and utilization data from the Medi-Cal fee-for-service program, prepaid health plans, PCCM plans or other prepaid populations which is sufficient to enable accurate statistical analysis and comparison. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56117. Facility.
Note     •     History

Facility means any location which is:
(a) Owned, leased, used or operated directly or indirectly by or for the benefit of a PCCM plan or its affiliates for purposes related to a PCCM contract, or 
(b) Maintained by a provider for the provision of services on behalf of a PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56118. Marketing.
Note     •     History

Marketing means: 
(a) Any activity conducted by, or on behalf of, a PCCM plan in which information regarding the services offered is disseminated in order to persuade Medi-Cal beneficiaries to enroll, or accept a designation form for enrollment, in that PCCM plan, or 
(b) Any presentation made by, or on behalf of, a PCCM plan to any individual or organization for the purpose of enrolling beneficiaries. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088, 14088.16 and 14088.3, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56120. Marketing Representative.
Note     •     History

Marketing representative means any person engaged in marketing activities on behalf of a PCCM plan, pursuant to Article 4 of this Chapter.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14088.3, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56122. Member.
Note     •     History

Member means any Medi-Cal beneficiary who has enrolled in a PCCM plan pursuant to section 56420. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088, 14088.16 and 14088.3, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56124. Optional Services.
Note     •     History

Optional services means any Medi-Cal covered service included in the PCCM contract as a capitated service which the Department does not require the PCCM plan to provide under capitation. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56130. PCCM Contract.
Note     •     History

PCCM contract means the written agreement entered into between a primary care provider as defined in section 14088 (b)(1), Welfare and Institutions Code and the Department, and approved by the Department of Finance to provide health care services to members under the provisions of sections 14088.16 and 14088.17, Welfare and Institutions Code. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088, 14088.16, 14088.17, 14088.6 and 14088.7, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56133. Risk Limit.
Note     •     History

Risk limit means the per member dollar amount in excess of which the Department will reimburse the PCCM plan the cost, based on Medi-Cal fee-for-service rates, of capitated services rendered to any member. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56138. Service Site.
Note     •     History

Service site means the location designated by a PCCM plan at which members shall receive health care services. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56144. Subcontract.
Note     •     History

(a) Subcontract means an agreement between a PCCM plan and any of the following: 
(1) A provider of health care services who agrees to furnish services to PCCM plan members. 
(2) A marketing organization. 
(3) Any other person or organization who agrees to perform any administrative function or service for the operation of the PCCM plan specifically related to securing or fulfilling its PCCM contractual obligations. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56144.5. Sub-Subcontract.
Note     •     History

Sub-subcontract means any agreement, descending from and subordinate to a subcontract, which is entered into for the purpose of providing any goods or services connected with a PCCM plan's obligations under a PCCM contract. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56146. Written Approval.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 1).
§56152. Vendor.
Note     •     History

Vendor means any person who provides services or supplies to a PCCM plan or subcontractor of a PCCM plan and who does not have a written subcontract with the PCCM or its subcontractors. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
Article 3. Operational Requirements
§56200. Organization and Administration.
Note     •     History

Each PCCM plan shall have the organizational and administrative ability to carry out its contractual obligations.To demonstrate this ability, each PCCM plan shall maintain the following:
(a) A license to provide medical care. 
(b) An approved Medi-Cal provider number. 
(c) A grievance procedure as specified in section 56260. 
(d) Member and enrollment reporting systems which fulfill the  PCCM plan's contractual obligations. 
(e) A data-reporting system which provides reports required under the contract to the Department on a timely basis. 
(f) Financial records and books of account fully disclosing the disposition of all Medi-Cal program funds received under the PCCM contract. These records and books shall be maintained on the accrual basis and in a uniform accounting system in accordance with generally accepted accounting principles. 
(g) A medical director as specified in section 56246. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14088.2, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsections (d) and (f) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56210. Scope of Services.
Note     •     History

(a) Each PCCM plan shall provide or arrange for the provision of the full scope of Medi-Cal services set forth in Chapter 3, Article 4, beginning with section 51301, and in Chapter 11, beginning with section 59998, unless services are specifically excluded under the terms of the PCCM contract. 
(b) A PCCM plan may elect to provide services which are not included in section 14053, Welfare and Institutions Code at no cost to members.
(c) A PCCM plan shall obtain the prior written approval of the Department if any services are to be provided at a cost to members. Departmental approval shall be based on compliance with State and federal law and regulation and the terms of the PCCM contract. Each member shall be notified of the scope of any non-Medi-Cal covered services offered by the PCCM plan and a full disclosure of any charges: 
(1) Prior to the signing of any membership designation form. 
(2) Any time the scope of services is changed, and 
(3) Immediately prior to rendering services at a cost to members. 
(d) Each PCCM plan shall meet the requirements of sections 51163 and 51305.1 of this subdivision, in providing needed human reproductive sterilization services. 
(e) Each PCCM plan shall provide Child Health and Disability Prevention Program Services to members under the age of 21 in accordance with the provisions of sections 6800 through 6874, Title 17, California Code of Regulations. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088, 14088.13 and 14088.2, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56212. Availability of Services.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 1).
§56214. Pharmaceutical Services and Prescribed Drugs.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91(Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 1).
§56216. Care Under Emergency Circumstances.
Note     •     History

(a) Each PCCM plan shall provide information to members on obtaining medical services on a 24-hour-a-day, seven-days-a-week basis in the event of an emergency as defined in section 51056(a). 
(b) Written procedures shall be developed and followed by the PCCM plan regarding care under emergency circumstances provided by nonplan providers in and outside the service area. These procedures shall include but shall not be limited to the following: 
(1) Verification of membership. 
(2) Transfer of medical management of the member to the PCCM plan.
(3) Payment for PCCM plan authorized services that are included in the PCCM contract as a covered service.
(4) Notice to nonplan providers of the right to: 
(A) Dispute the PCCM plan's rejection or reduction of the claim. 
(B) Submit the dispute to the Department for resolution in accordance with section 56262. 
(c) When the course of treatment of a PCCM plan member under emergency services requires the use of drugs, the PCCM plan shall authorize the provider to furnish a sufficient quantity of drugs to last until the member can reasonably be expected to have a prescription filled. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088, 14088.16, 14088.2 and 14088.4, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsections (a) and (c) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56220. Member Billing.
Note     •     History

A PCCM plan, affiliate, vendor, subcontractor or sub-subcontractor shall not submit a claim to, demand, or otherwise collect reimbursement from, a member or persons acting on behalf of a member for any services provided under this chapter except to collect third-party payment in accordance with section 56222(a). 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56222. Recovery from Other Sources.
Note     •     History

(a) PCCM plans may recover and retain the cost of capitated services rendered to a member under the terms of this chapter, to the extent that the member is covered for these services under any other state or federal medical care program or under other contractual or legal entitlement, including but not limited to, a private group or individual indemnification program. 
(b) PCCM plans shall not attempt recovery in circumstances involving casualty insurance, tort liability, or workers' compensation awards to PCCM plan members. Circumstances which may result in casualty insurance payments, tort liability payments, or workers' compensation awards shall be reported, in writing, to the Department within ten calendar days after discovery by the PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56230. Facilities and Service Sites.
Note     •     History

(a) Each PCCM plan shall have available within the service area, sufficient facilities and service sites to meet its contractual obligations. 
(b) Each facility shall meet the following requirements: 
(1) Licensing, and accreditation where applicable, by appropriate agencies. 
(2) Continued compliance with licensing standards. 
(3) Compliance with all applicable local, state and federal standards including those for fire and safety.
(c) Each PCCM plan and subcontracting facility shall be subject to an onsite inspection by the Department prior to approval for use in providing services to members under the terms of the PCCM contract or the subcontract. Inspections for continuing facility adequacy shall be conducted periodically thereafter. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088 and 14088.16, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56242. Providers.
Note     •     History

A provider of services employed by or under subcontract to a PCCM plan shall meet those standards for participation as a provider of health care services under the Medi-Cal program set forth in Chapter 3, Article 3, beginning with section 51200. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56246. Medical Director.
Note     •     History

Each PCCM plan shall appoint a physician as medical director. The medical director's responsibilities shall include, but not be limited to: 
(a) Ensuring that medical decisions are rendered by qualified medical personnel. 
(b) Ensuring that authorized physicians and medical personnel are trained on Treatment Authorization Requests, authorization requirements, and procedures for noncapitated services. 
(c) Ensuring that the PCCM plan's medical standards are followed. 
(d) Developing and implementing medical policy. 
(e) Resolving medically related grievances. The medical director shall refer nonmedical grievances to the PCCM plan's grievance procedure pursuant to section 56260. 
(f) Actively participating in the functioning of the PCCM plan grievance procedures. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56250. Subcontracts.
Note     •     History

(a) A provider or management subcontract entered into by a PCCM plan shall become effective upon submission to and approval in writing by the Department. Departmental approval shall be based on compliance with (b) and (c) below.
(b) A PCCM plan that subcontracts for the provision of any health care service to PCCM plan members shall ensure that the subcontractor meets all requirements of Chapters 3 and 6 related to services a PCCM plan is required to perform. 
(c) Each subcontract submitted for Department approval pursuant to subdivision (a), shall contain at least the following: 
(1) Specification of the services to be provided. 
(2) Specification that the subcontract shall be governed by and construed in accordance with all laws, regulations and contractual obligations incumbent upon the PCCM plan. 
(3) Specification that the subcontract or subcontract amendments shall become effective only as set forth in subdivision (a). 
(4) Specification of the term of the subcontract, including the beginning and ending dates, as well as methods of extension, renegotiation and termination. 
(5) Subcontractor's agreement to submit reports as required by the PCCM plan and the Department. 
(6) The subcontractor's agreement to make all of its books and records, pertaining to the goods and services furnished under the terms of the subcontract, available for inspection, examination or copying: 
(A) By the Department and by the Department of Health and Human Services. 
(B) At all reasonable times at the subcontractor's place of business, or at some other mutually agreeable location in California. 
(C) In a form maintained in accordance with the general standards applicable to book or record keeping. 
(D) For the term required by section 56310. 
(7) Full disclosure of the method and amount of compensation or other consideration to be received by the subcontractor from the PCCM plan.
(8) Subcontractor's agreement to maintain and make available to the Department, upon request, copies of all sub-subcontracts and to ensure that all sub-subcontracts are in writing and require that the sub-subcontractor: 
(A) Make all applicable books and records available at all reasonable times for inspection, examination or copying by the Department and by the Department of Health and Human Services. 
(B) Retain all books and records pertaining to its PCCM sub-subcontract in accordance with section 56310. 
(9) Subcontractor's agreement to notify the Department in the event the agreement with the PCCM plan is amended or terminated. Notice to the Department is considered given when properly addressed and deposited in the United States Postal Service as first-class registered mail, postage attached. 
(10) Subcontractor's agreement that assignment or delegation of the subcontract shall be void unless prior written approval is obtained from the Department. 
(11) Subcontractor's agreement to hold harmless both the State and PCCM plan members in the event the PCCM plan cannot or will not pay for services performed by the subcontractor pursuant to the subcontract.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14124.1, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56251. Assumption of Financial Risk.
Note     •     History

(a) PCCM plans shall be responsible for the total costs, except as otherwise provided in this chapter, of services covered at risk rendered to members under PCCM contracts. 
(b) If so agreed by contract, the Department shall bear the costs of providing medically necessary covered services to a member when costs, based on Medi-Cal schedules of reimbursement and exclusive of third-party recoveries, exceed the risk limit in the aggregate during the 12-month period specified in the contract. The risk limit shall be determined annually, at the same time and using the same data base as used in the determination of new annual rates pursuant to section 56321, and shall be stated in the contract. The Department shall bear costs only for the period of time between the date on which the aggregate amount exceeds the risk limit, and the end of the 12-month period specified in the contract. Within 90 calendar days after submittal of the documentation required in subdivision (b)(2), the Department shall determine whether services are medically necessary and the amounts payable under the schedule of Medi-Cal benefits are reasonable prior to payment. 
(1) Members whose cost of care exceeds the risk limit in the 12-month period shall not be disenrolled by the PCCM plan solely for that reason. The PCCM plan shall continue to provide case management and any other services specified by its PCCM contract with the Department. 
(2) PCCM plans shall submit to the Department documentation of accumulated costs which result in reaching the risk limit and of all costs in excess of the limit. 
(c) A PCCM plan shall not enter into any subcontract which would remove the PCCM plan's obligation to bear a significant portion of the overall risk assumed in providing capitated services under this Chapter.
(d) Significant portion of risk shall be the financial responsibility for all expenditures which exceed 115 percent of the specific total expenditures made under each subcontract in excess of the amount paid to the subcontractor by the PCCM plan in any contract year. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsections (b) and (c) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56252. Reinsurance.
Note     •     History

(a) The provisions of section 56251 notwithstanding, the PCCM plan may obtain reinsurance for the cost of providing capitated services, subject to the following conditions: 
(1) Reinsurance shall not reduce the PCCM plan's liability below the minimum liability per member for any one12-month period, as set forth in the PCCM contract. 
(2) Reinsurance may cover both of the following: 
(A) The total cost of capitated services provided to members under emergency circumstances by nonplan providers.
(B) Up to 90 percent of all expenditures related to the contract exceeding 115 percent of the PCCM plan's gross income from capitation payments and third-party recoveries under the terms of the contract during any PCCM plan fiscal year. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14088.4, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56260. Grievance Procedures.
Note     •     History

Each PCCM plan shall establish and maintain a procedure for submittal, processing and resolution of all member and provider grievances and complaints.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.5 and 14088.16, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56261. Notice to Members of PCCM Plan Action to Deny, Defer or Modify a Request for Medical Services.
Note     •     History

(a) The PCCM plan shall provide members with a notice of an action taken by the PCCM plan to deny a request by a provider for any medical service. Notice in response to an initial request from a provider shall be provided in accordance with this section. Notice in response to a request for continuation of a medical service shall be provided in accordance with section 51014.1. Notice of denial shall not be required in the following situations:
(1) The denial is a denial of a request for prior authorization for coverage for treatment that has already been provided to the member.
(2) The denial is a non-binding verbal description to a provider of the services which may be approved by the PCCM plan.
(3) The denial is a denial of a request for drugs, and a drug identical in chemical composition, dosage, and bioequivalence may be obtained through prior authorization from the PCCM plan or from the list, established by the PCCM plan, of drugs available without prior authorization from the plan.
(b) The PCCM plan shall provide members with a notice of deferral of a request by a provider for a medical service. Notice of the deferral shall be delayed for 30 days to allow the provider of the medical services time to submit the additional information requested by the plan and to allow time for the PCCM plan to make a decision. If, after 30 days from the PCCM plan's receipt of the request for prior authorization, the provider has not complied with the PCCM plan's request for additional information, the PCCM plan shall provide the member notice of denial pursuant to subdivision (a). If, within that 30 day period, the provider does comply, the PCCM plan shall take appropriate action on the request for prior authorization as supplemented by the additional information, including providing any notice to the member.
(c) The PCCM plan shall provide members notice of modification of a request by a provider for prior authorization. Notice in response to an initial request from a provider shall be provided in accordance with this subdivision. Notice in response to a request for continuation of a medical service shall be provided in accordance with section 51014.1. Notice of modification pursuant to this subdivision shall not be required in the following situations:
(1) The PCCM plan may modify a request for durable equipment without notice, as long as the substituted equipment is capable of performing all medically significant functions that would have been performed by the requested equipment.
(2) The PCCM plan may modify the duration of any approved therapy or the length of stay in an acute hospital inpatient facility without notice as long as the PCCM plan provides an opportunity for the provider to request additional therapy or inpatient days before the end of the approved duration of the therapy or length of stay.
(d) The written notice of action issued pursuant to subdivision (a), (b), or (c) shall be deposited with the United States postal service in time for pick-up no later than the third working day after the action and shall specify:
(1) The action taken by the PCCM plan.
(2) The reason for the action taken.
(3) A citation of the specific regulations or PCCM plan authorization procedures supporting the action.
(4) The member's right to a fair hearing, including:
(A) The method by which a hearing may be obtained.
(B) That the member may be either:
1. Self represented.
2. Represented by an authorized third party such as legal counsel, relative, friend or any other person.
(C) The time limit for requesting fair hearing.
(e) For the purposes of this section, medical services means those services that are subject to prior authorization under the PCCM plan's authorization procedures.
(f) The provisions of this section apply only for medical services that are covered in the contract between the Department and the PCCM plan.
(g) The provisions of this section do not apply to the decisions of providers serving plan members when prior authorization of the service by the PCCM plan's authorization procedures is not a condition of payment to the provider for the medical service.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14450, Welfare and Institutions Code.
HISTORY

1. New section filed 10-17-95; operative 11-16-95 (Register 95, No. 42).
§56262. Provider Grievance and Complaints.
Note     •     History

(a) A provider of medical services may submit a grievance or complaint concerning the authorization or denial of a service or the processing, payment or nonpayment of a claim by a PCCM plan as follows: 
(1) The provider shall initiate a first level appeal, by submitting a grievance or complaint in writing, within 30 calendar days of the action precipitating the grievance or complaint, to the PCCM plan identifying the claim involved and specifically describing the disputed action or inaction regarding the claim. 
(2) The PCCM plan shall acknowledge the written grievance or complaint within 15 calendar days of its receipt. 
(3) The PCCM plan may refer a grievance or complaint to professional peer review. 
(A) When the grievance or complaint is not referred to professional peer review, the PCCM plan shall review the merits of the grievance or complaint and send a written report of its conclusion and reasons to the provider within 30 calendar days of the acknowledgement of the receipt of the grievance or complaint. 
(B) When the grievance or complaint is referred to professional peer review: 
1. All parties concerned shall be notified that a referral has been made to professional peer review and that a final determination may require up to 60 calendar days from the acknowledgement of the receipt of the grievance or complaint. 
2. The professional peer review shall make its evaluation and submit its findings and recommendations to the PCCM plan and the provider within 30 calendar days after the receipt of the referral from the PCCM plan. 
3. The PCCM plan, after taking into consideration the findings and recommendations of the professional peer review, shall send a written report of its conclusions and reasons to the provider within 30 calendar days of receipt of the recommendation. 
4. The PCCM plan shall retain all documentation related to the peer review in accordance with section 56310.
(b) A provider may, after complying with subdivision (a) above, refer the grievance or complaint to the Department for a second level of appeal:
(1) Within 30 calendar days of receipt of the PCCM plan's written report of its conclusion, or 
(2) When the PCCM plan has failed to act within the deadlines set forth in subdivision (a). 
(c) In a second level appeal for a grievance or complaint to the Department, the provider shall submit the following to the Department:
(1) A letter requesting the Department to review the first level of appeal. 
(2) A copy of the letter sent to the PCCM plan requesting the first level of appeal. 
(3) A copy of the original documents submitted to the PCCM plan. 
(4) A copy of the first level appeal denial response letter if the second level of appeal is based on denial.
(5) A copy of any other correspondence between the PCCM plan and the provider that documents timely submission and the validity of the appeal. 
(d) The Department shall acknowledge the second level appeal request by a provider within 15 calendar days of its receipt, and shall send written notice to the PCCM plan of the appeal. 
(e) The Department shall review the written documents submitted in the provider's appeal, may ask for additional information, and may hold an informal meeting with the involved parties. The Department shall send a written report of its conclusions and reasons to the provider and the PCCM plan within 60 calendar days of receipt of the appeal from the provider. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.5 and 14088.16, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56264. Member Complaints.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14088.5, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 1).
§56280. Quality of Care.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 1).
§56284. Confidentiality of Medical Records.
Note     •     History

Each PCCM plan shall maintain confidentiality of medical records in accordance with the provisions of section 51009 and with section 14100.2, Welfare and Institutions Code. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14100.2, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56286. Continuity of Care.
Note     •     History

(a) Each PCCM plan shall designate a primary care physician to supervise and coordinate each member's health care. Any member dissatisfied with the primary care physician shall be allowed to select another if more than one is available. Any PCCM plan physician dissatisfied with the professional relationship with any PCCM plan member may request that another primary care physician be substituted to supervise the member's care. 
(b) Each PCCM plan shall establish and operate a case management system, which shall assure continuity of care through appropriate referral of members needing specialty health services, documentation of referral services in member's medical records, monitoring of members with ongoing medical conditions, documentation in the member's medical records of emergency medical encounters with appropriate follow-up as medically indicated, and coordinated hospital discharge planning including necessary post-discharge care. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56310. Records.
Note     •     History

(a) Each PCCM plan shall maintain or cause to be maintained all records necessary to verify information and reports required by statute, regulation or contractual obligation for three years from the date of submission of information or reports, except as specified in subdivision (b). Such records shall include but shall not be limited to: 
(1) Working papers used in the preparation of reports to the Department. 
(2) Reports to the Department. 
(3) Financial documents. 
(4) Medical records. 
(5) Prescription files, if pharmacy services are provided under the contract. 
(b) A PCCM plan shall retain or cause to be retained all records necessary to complete or accommodate an audit by state or federal agencies, if the audit is either in progress or the PCCM plan has been provided written notice of intent to audit prior to the expiration of the record retention requirements in subdivision (a). The records shall be retained until the audit is complete and the records are released by the Department. 
(c) A PCCM plan shall retain or cause to be retained all records pertaining to pending litigation or litigation in progress until the litigation is final. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14124.1, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsection (b) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56312. Reporting.
Note     •     History

Each PCCM plan shall submit reports to the Department as specified below: 
(a) Annual reports shall include: 
(1) Any financial audit required by section 56340. This audit report shall be submitted no later than 90 calendar days after the close of the PCCM plan's contract year. 
(2) Any disclosure statement required by the PCCM contract.
(b) Quarterly reports shall include: 
(1) Utilization and statistical data in compliance with section 56314.
(2) Financial reports in compliance with section 56314. 
(c) Child Health and Disability Prevention Program services rendered and health problems found shall be reported in accordance with sections 6800 through 6874, Title 17, California Code of Regulations. 
(d) When changes occur, an update of any provider listing required under section 56242(b) shall be submitted within 30 calendar days of the change. 
(e) Each PCCM plan shall submit to the Department a copy of any financial report submitted to any other government agency or public or private organization. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56314. Statistical Data.
Note     •     History

(a) On a quarterly basis, each PCCM plan shall supply statistical data and information to the Department. 
(b) The statistical data shall include but are not limited to: 
(1) Utilization of services covered at risk. 
(2) Costs of health care services covered at risk. 
(3) General and administrative expenses. 
(4) Unaudited financial statements. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsection (b) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56320. Capitation Payment.
Note     •     History

(a) Payment to each PCCM plan shall be on a monthly capitation payment basis. Each PCCM plan shall be at risk for capitated services provided under the PCCM contract. The capitation payment shall: 
(1) Constitute payment in full by the Department for health care and administrative services rendered under the PCCM contract. 
(2) Be based upon a count of eligible members furnished to the PCCM plan monthly by the Department. 
(b) The capitation payment shall not include payment for recoupment of any losses incurred by the PCCM plan under any prior contractual obligations with the State. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including repealer of subsection (c) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56321. Capitation Payment Rates Determination.
Note     •     History

(a) The Department shall determine capitation payment rates annually by actuarial methods. 
(b) The rates shall not exceed actuarially equivalent Medi-Cal fee-for-service costs. These costs shall be determined by viewing the total services at risk and requirements, including administration, provided under this chapter by a PCCM plan as though the same services and requirements, including administration, were reimbursable under Chapter 3 commencing with section 51001. 
(c) The rates shall be effective for one year beginning the first day of July each year. 
(1) In the event that payment of new rates is delayed beyond the first day of July, continued payment of the rate in effect shall be an interim payment only.
(2) Final payment shall be: 
(A) Adjusted by increase or decrease to the level of the new rates. 
(B) Effective as of the first day of July. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56322. Capitation Rate Redetermination.
Note     •     History

(a) Capitation rates shall be redetermined during the rate year only when all of the following conditions are met:
(1) A change occurs in the obligations of the PCCM plan which results in increased or decreased costs of performing under the PCCM contract.
(2) The change in subdivision (1) is the result of either of the following:
(A) A change in federal or state law or regulation. 
(B) A change in the Department's interpretation or implementation of federal or state law or regulation. 
(3) The projected difference in the actuarial equivalent costs associated with the conditions set forth in subdivision (a)(2) exceeds one percent of the statewide average capitation rate for services covered at risk for the affected categories of members. 
(b) The redetermination of capitation rates shall be subject to the approval of the appropriate state and federal control agencies. 
(c) Rates redetermined pursuant to subdivision (a) shall be effective on the first day of the month in which the change in the obligations of a PCCM plan becomes effective. During the period of rate redetermination, continued payment of the rate in effect shall be interim payment only. Final payment shall be: 
(1) Subject to increase or decrease to the level of the redetermined rates. 
(2) Retroactive to the first day of the month in which the change in the obligations of a PCCM plan became effective. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14088.6, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsection (a) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56322.1. Savings Sharing.
Note     •     History

(a) Notwithstanding section 56320, the Department shall calculate and disburse savings sharing to PCCM plans in accordance with the methodology and disbursement schedule specified in the PCCM contract. 
(b) The savings sharing amount for a given PCCM plan is determined by comparing the expected fee-for-service cost for all services provided to PCCM plan members to the actual cost, which is the capitation payment plus the cost of noncapitated services paid through the fee-for-service system. If the expected fee-for-service cost exceeds the actual cost minus the State savings on the capitation payment, the difference is the amount saved, a portion of which is paid to the PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56324. Financial Resources.
Note     •     History

(a) Each PCCM plan shall maintain adequate financial resources to carry out its contractual obligations. The Department shall determine the level of adequate financial resources for each PCCM plan by considering factors which include, but shall not be limited to, the following: 
(1) Tangible net equity. 
(2) Working capital trends. 
(3) Profit and loss trends. 
(4) Enrollment growth. 
(b) Administrative costs incurred by a PCCM plan and its affiliates shall not exceed the limits established in the PCCM contract. 
(c) Each PCCM plan shall at all times have and maintain a tangible net equity as specified in the PCCM contract. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsection (c) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56326. Financial Security.
Note     •     History

(a) Each PCCM plan that requests payment for medical services in advance of providing those services shall provide evidence of and maintain financial security. Financial security shall be maintained through the duration of the PCCM contract. 
(b) Financial security may be in the form of, but is not limited to, one of the following: 
(1) A guarantee bond. 
(2) A letter of credit. 
(3) A time certificate of deposit. 
(4) A trust agreement. 
(c) The Department shall approve the form and determine the amount of financial security required for each PCCM plan based on the projected number of enrollments and the applicable capitation rates. 
(d) The Department may take possession of financial security sufficient to indemnify the Department in the event that the PCCM plan defaults on its contractual obligation to the Department. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsections and transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56330. Affiliate.
Note     •     History

Upon request by the Department every affiliate shall: 
(a) Furnish to the PCCM plan and to the Department financial reports relevant to the disposition of funds paid to the affiliate by the PCCM plan. Reports shall be prepared according to generally accepted accounting principles and shall provide all financial data required by the PCCM plan to fulfill its obligations to the Department for financial reporting pursuant to these regulations and the PCCM contract. 
(b) Make all books and records which are pertinent to PCCM plan contracts with the Department available for inspection by the Department and by the Department of Health and Human Services. These books and records shall be retained in accordance with section 56310. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56340. Financial Audit.
Note     •     History

(a) A PCCM plan, not operated by a public entity, that has an average enrollment of 5,000 members per month or more in any three consecutive months within a contract year, shall have an audit performed at the close of the contract year by an independent certified public accountant. Regardless of enrollments, all PCCM plans not operated by a public entity shall have a independent certified public accountant perform an audit at least once every third year after the initial contract is signed with the Department.
(b) A PCCM plan operated by a public entity shall have an annual audit performed in a manner specified in the PCCM contract. The audit may be performed by, but is not limited to performance by: 
(1) A certified public accountant. 
(2) The county's financial accounting/audit department. 
(3) The State's Auditor General office. 
(c) Combined financial statements shall be prepared if the PCCM plan and an affiliate are substantially dependent upon each other for the provision of health care, management or other services. When a combined financial statement is required the independent accountant's report or opinion shall cover all the entities included in the combined financial statements. If the accountant's report or opinion makes reference to the fact that a part of the examination was performed by another auditor, the PCCM plan shall also file the individual financial statements and report or opinion issued by the other auditor. 
(d) PCCM plans which have subsidiaries that are required to be consolidated under generally accepted accounting principles shall present either consolidating financial statements, or consolidating schedules for the balance sheet and statement of operations, which in either case shall show the PCCM plan separate from the other entities included in the consolidated balances. Interentity transactions and profits shall be eliminated when combined statements are prepared. 
(e) The PCCM plan shall authorize the independent accountant to allow representatives of the Department, upon written request, to inspect any and all working papers relating to the preparation of the audit report. The inspection shall: 
(1) Be conducted at the accountant's place of business in California during normal business hours. 
(2) Be conducted at the Department's headquarters in Sacramento, California, if the accountant's place of business is outside the State of California. 
(3) Include supporting documentation, such as notes, computations, work sheets and rough drafts. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56350. Civil Penalties and Sanctions.
Note     •     History

(a) The Department may, except as provided in section 56352(a), impose one or more of the civil penalties specified in subdivision (b) below upon a PCCM plan which fails to comply with the provisions of Chapter 7, Part 3, Division 9, Welfare and Institutions Code, the provisions of this chapter, or the terms of the PCCM contract. 
(b) Civil penalties may include but are not limited to: 
(1) Restricting the PCCM plan's marketing privileges. 
(2) Delaying, or denying payment, in whole or in part, of savings sharing. 
(3) Terminating the PCCM contract. 
(4) Delaying or withholding capitation payments. 
(5) Requiring the PCCM plan to terminate any subcontract or sub-subcontract. 
(6) Other penalties as set forth in the contract. 
(c) The Department shall issue a written notice of noncompliance to a PCCM plan found to be in violation of any provision of law, regulation or the contract. The notice of noncompliance shall include: 
(1) A description of the violation. 
(2) The penalties to be imposed by the Department. 
(3) A description of any corrective action required by the Department and time limits for compliance. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsection (a) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56352. Contract Termination.
Note     •     History

(a) The Department shall terminate a contract with a PCCM plan which the Secretary, Department of Health and Human Services has determined does not meet the requirements for participation in the Medicaid program stated in Title XIX of the Social Security Act. 
(b) The Department may terminate a PCCM contract for noncompliance by the PCCM plan with the requirements of state or federal law or regulations or terms of the PCCM contract. 
(c) The Department shall give 30 calendar days written notice prior to the termination of a PCCM contract to: 
(1) The PCCM plan. 
(2) PCCM plan members. 
(3) Other entities, organizations, and persons that the Department deems appropriate. 
(d) Notwithstanding subdivision (c), the contract shall be terminated immediately if the Department determines that: 
(1) There is an immediate threat to the health of Medi-Cal beneficiaries enrolled in the PCCM plan; or, 
(2) A state officer or state employee: 
(A) Provides legal or management services to the PCCM plan, or 
(B) Has a financial interest in: 
1. The PCCM contract or PCCM contracting organization. 
2. Any contract with the PCCM plan. 
3. The procurement of a PCCM contract for the PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
Article 4. Marketing, Enrollment and Disenrollment
§56400. Marketing.
Note     •     History

(a) Each PCCM plan shall ensure compliance with all statutory, regulatory and contractual provisions relating to member enrollment and marketing activities. 
(b) PCCM plan subcontractors shall not enter into any sub-subcontracts for marketing. 
(c) Each PCCM plan shall establish an education program that assures that its marketing representatives have sufficient knowledge about the PCCM plan to explain how it operates to prospective and new members.
(d) A PCCM plan or marketing representative shall not adopt or utilize any procedure to identify prospective members who have medical or psychiatric problems, other than those specifically excluded from coverage by the PCCM contract, in order to exclude prospective members from enrollment in the PCCM plan. 
(e) Marketing on county premises by PCCM plans is prohibited unless the marketing of prospective members is in accordance with Welfare and Institutions Code sections 14016.5 and 14016.6. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56401. Door-to-Door Marketing.
Note     •     History

(a) PCCM plans may use door-to-door marketing only when all of the following conditions are met: 
(1) The presenter is a marketing representative of the PCCM plan. 
(2) Door-to-door marketing is performed only in the service area of the PCCM plan. 
(3) The PCCM plan complies with this article and the terms of the PCCM contract.
(b) The Department may revoke door-to-door marketing privileges for any violation of the PCCM contract or applicable law or regulation.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56402. Marketing Representative.
Note     •     History

(a) All PCCM plan marketing representatives shall complete the PCCM plan's marketing education program required by Section 56400(c) and shall receive a passing score of 90 percent or better, based on a straight percentage method, on the Department's examination for marketing representatives prior to engaging in marketing activities on behalf of any PCCM plan. 
(b) A PCCM plan marketing representative shall not provide marketing services on behalf of more than one PCCM plan or prepaid health plan. 
(c) A PCCM plan marketing representative shall neither offer nor give any form of compensation or reward to induce or procure enrollment of members. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsection (a) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56404. Marketing Presentation.
Note     •     History

Marketing presentations shall fully disclose the availability of, and restrictions upon the services provided by the PCCM plan. Such presentations shall, as a minimum, specify: 
(a) The scope, access to, and availability of services. 
(b) A description of the PCCM plan restricted Medi-Cal card which will authorize the member to obtain services. 
(c) That members shall obtain all PCCM plan covered health care services rendered in nonemergency situations through the PCCM plan's providers. 
(d) What emergency services are and that emergency services may be obtained at all times from specified PCCM plan providers or from non-PCCM plan providers, if necessary. 
(e) That enrollment is voluntary. 
(f) That enrollment is subject to a verification and processing period from 15 to 45 calendar days in length.
(g) The conditions under which disenrollment is possible.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsections (d) and (g) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56406. Misrepresentation.
Note     •     History

(a) No marketing representatives or marketing organizations under contract with or employed by any PCCM plan shall in any manner misrepresent themselves, the PCCM plans they represent or the Medi-Cal program to induce enrollment. 
(b) Violations of this section shall include, but shall not be limited to false or misleading claims that:
(1) Marketing representatives are employees or representatives of the federal government, state, county or anyone other than the PCCM plan.
(2) The PCCM plan is recommended or endorsed by any government organization or official. 
(3) The federal government, state or county recommends that a Medi-Cal beneficiary enroll in a specific PCCM plan. 
(4) A Medi-Cal beneficiary will lose benefits under the Medi-Cal program or any other health or welfare benefit to which the beneficiary is legally entitled, if the beneficiary does not enroll in a PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56408. Penalties for Misrepresentation.
Note     •     History

The Department may impose one or more of the following penalties for violations of the provisions of this Article: 
(a) Revoke one or more permitted method of marketing. 
(b) Refuse to accept new enrollments for a period specified by the Department. 
(c) Refuse to accept enrollments submitted by a specific marketing representative or organization. 
(d) Withhold, deny or recover all or part of the capitation payment or savings sharing for persons enrolled as a result of the violations. 
(e) Require that the PCCM plan personally contact each member enrolled in violation of this Article, explain the nature of the violation and inform the member of the right to disenroll. 
(f) Terminate the PCCM contract. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56420. Member Enrollment.
Note     •     History

(a) A Medi-Cal beneficiary is enrolled upon completion of all of the following events: 
(1) The voluntary signing and dating of a designation form by the Medi-Cal beneficiary. 
(2) Departmental validation of the beneficiary's designation form. 
(3) Departmental verification of the beneficiary's Medi-Cal eligibility. 
(4) Addition of the beneficiary's name to the approved list of members, furnished by the Department to the PCCM plan, which is effective at the first of any given month. 
(b) Enrollment shall be voluntary. 
(c) Enrollment shall be limited to Medi-Cal beneficiaries who reside within the PCCM plan's service area. 
(d) A Medi-Cal beneficiary shall not be enrolled in more than one PCCM plan, Prepaid Health Plan, or any other Medi-Cal capitated plan providing the same services at any one time. 
(e) Dependent minor children or persons legally judged incapable of acting on their own behalf may be enrolled in a PCCM plan by a parent, legal guardian or conservator. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56424. Designation Form Processing.
Note     •     History

(a) PCCM plans shall submit all completed designation forms to the Department within 15 calendar days of the date the PCCM plan receives the completed designation form. 
(b) Unless otherwise provided in writing by the Department, each PCCM plan shall accept designation forms from eligible Medi-Cal beneficiaries to the enrollment maximums specified in the PCCM contract. 
(c) Each PCCM plan shall accept designation forms regardless of the prospective member's race, creed, color, religion, age, sex, national origin, ancestry, marital status, sexual orientation, physical or mental handicap, and without reference to pre-existing medical conditions other than those specifically excluded from coverage by the PCCM contract. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14088.3, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsection (b) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56426. Term of Membership.
Note     •     History

Except as provided in section 56440, membership shall continue indefinitely after enrollment. Membership shall be contingent upon the member's retention of Medi-Cal eligibility as well as eligibility for enrollment in the PCCM plan under the terms of the PCCM contract. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56440. Disenrollment of Members.
Note     •     History

(a) A request for disenrollment by a PCCM plan member shall be submitted to the Department by the PCCM plan within five working days after either the date the member submits a signed disenrollment request directly to the PCCM plan or the postmark date for disenrollment requests sent by U.S. mail.
(b) Disenrollment of members for the following reasons shall be processed by the Department:
(1) The member's eligibility as a Medi-Cal beneficiary for enrollment in the PCCM plan is terminated. 
(2) The enrollment is in violation of sections 56400, 56402, 56404, or 56406. 
(3) Change of a member's place of residence outside the PCCM plan's service area. 
(4) The member requests disenrollment.
(c) Requests for disenrollment in which the member states a reason for disenrollment shall be referred to the PCCM  plan's grievance process in addition to submission to the Department as required in (a) above.
(d) Requests for disenrollment initiated by the PCCM plan shall be processed through the PCCM plan's grievance procedure and shall be based on the breakdown of the PCCM plan/member relationship.
(1) If the grievance procedure does not resolve the problem, the PCCM plan shall submit a written request to the Department for disenrollment of that member.
(2) The Department shall approve a PCCM plan-initiated disenrollment request only if efforts by the PCCM plan to counsel or modify the members behavior, including referral for mental health services, when appropriate, have been unsuccessful or are impossible or impractical given the circumstances, and if one or more of the following circumstances is documented:
(A) the member is repeatedly verbally abusive to PCCM plan providers, ancillary or administrative staff or other PCCM plan members.
(B) The member physically assaults a PCCM plan provider or staff person or PCCM plan member.
(C) The member is otherwise repeatedly disruptive to PCCM plan operations.
(D) The member repeatedly uses providers not affiliated with the PCCM plan for nonemergency services, causing the PCCM plan to be subjected to repeated provider demands for payment for services or other demonstrable degradation in the PCCM plan's relations with community providers.
(e) The Department shall, on an annual basis, develop a disenrollment processing schedule that assures that disenrollment occurs in compliance with applicable federal and state law and regulation. The Department shall revise the schedule, as necessary, to assure compliance, and shall provide reasonable notice to PCCM plans of the annual schedule and revisions to the schedule. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14088.5, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56442. Disenrollment Requests.
Note     •     History

Members desiring disenrollment shall make written requests to the PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14088.5, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56450. Information to Prospective Members.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14088.16 and 14088.5, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 1).
§56452. Information to New Members.
Note     •     History

Each PCCM plan shall provide to members, in writing, within seven days after the effective date of enrollment:
(a) The effective date of enrollment and the term of enrollment.
(b) A description of all available services and an explanation of any service limitations, exclusions from coverage, or charges for services when applicable.
(c) An explanation of the procedure for obtaining services.
(d) The name, telephone number and service site address of the primary care physician chosen by or otherwise made available to the member.
(e) An explanation of and the procedure for obtaining health service rendered in emergency circumstances occurring outside the PCCM plan's service area.
(f) The causes for which a member will lose entitlement to receive services from the PCCM plan.
(g) The procedure for processing and resolving any grievance by members. This information shall include the title, address, and telephone number of a person responsible for resolving grievances or initiating the grievance procedure and shall include an explanation of the member's right to request a fair hearing under Welfare and Institutions Code Section 10950, et seq., for unresolved grievances and to request a fair hearing without going through the PCCM plan's grievance procedures when a health care service requested by the member or a provider has not been provided.
(h) Disenrollment procedures, including an explanation of the member's right to disenroll without cause, and a disenrollment form.
(i) An explanation of the appropriate use of health care services and the contributions the member can make toward the maintenance of the member's own health.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 10950, 14088.16, 14088.5, 14406 and 14450, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 1).
7. New section filed 10-17-95; operative 11-16-95 (Register 95, No. 42).
§56456. Notification of Changes in Services.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 1).
Article 5. Application and Proposal
§56500. Application and Proposal Information.
Note     •     History

(a) Each applicant for a PCCM contract shall submit to the Department an application containing, but not limited to, the following information:
(1) A statement as to the optional services that will be selected in addition to the mandatory services required of PCCM plans.
(2) A brief description of any existing health care delivery system including information covering the scope and availability of services currently provided to Medi-Cal beneficiaries by the applicant. 
(3) A description of the proposed PCCM plan health care delivery system. If the services are a duplicate of those described in (2), a signed statement declaring that the health care delivery system will be the same will satisfy this requirement. 
(4) A U.S. Postal Zip Code map with the proposed service area outlined in red. 
(5) A separate list of all service area Zip codes in numerical order. 
(6) A general area map of the service area that has all service sites distinctly identified and clearly listed on a legend. 
(7) An array of the Medi-Cal population in the service area by PCCM plan eligible Medi-Cal Aid categories. 
(8) A breakdown of the applicant's current patient population by private pay, insurance and Medi-Cal. 
(9) A history of any experience the applicant has in providing care to patients through medical systems such as preferred provider organizations, industrial practice, prepaid health plans, PCCM plans, or any structured medical care delivery system that would demonstrate the ability to function as a PCCM plan. 
(b) Each PCCM contract applicant approved by the Department shall submit a proposal containing, but not limited to, the following information: 
(1) A description of the administrative structure which includes: 
(A) An organization chart with the identification and functional description of each organizational unit, including corporate and medical management personnel. 
(B) Complete background information for corporate and medical management personnel. 
(C) Job descriptions for corporate and medical management personnel. 
(D) A completed disclosure statement pursuant to section 56600. 
(2) If applicable, a corporate structure chart identifying and displaying the relationships between the proposed PCCM plan and its parent company, affiliates, subsidiaries, and any principal subcontractors. 
(3) For each provider of health care services included in the PCCM plan, provide the following: 
(A) Full name. 
(B) Business address. 
(C) Professional license number including the expiration date, where applicable; medical specialty including any certifying board, where applicable; and Medi-Cal provider number. 
(D) Days and hours of operation for each provider. 
(E) If an individual provider serves more than one site, list the days and hours of service for each site.
(4) A complete description of the procedures for internal and external referrals. 
(5) A complete description of the system for providing or arranging for the provision of emergency services.
(6) Descriptions of the following medical administrative procedures:
(A) The proposed quality assurance, peer review, and utilization review programs. 
(B) The proposed medical record system. 
(C) The proposed provider grievance and complaint process. 
(D) The procedures for provision of health education services. 
(E) Proposed protocols for handling and disposing of infectious waste.
(7) Proposed protocols for medical care which includes age specific preventive health services.
(8) A description of the following proposed administrative procedures: 
(A) Office procedures for missed appointment follow-up and the handling of emergency telephone calls. 
(B) Marketing plan. 
(C) Standard subcontract format. 
(D) Tort liability protocols/procedures. 
(E) The system for prompt reimbursement of nonplan providers for capitated services rendered to PCCM plan members.
(F) The system for complying with PCCM contract quarterly utilization and financial reporting requirements. 
(9) A description of the following membership services:
(A) Enrollment procedures. 
(B) The Statement of Understanding to be signed by each member. 
(C) Member complaint process including a sample of the disposition notice, complaint log, and any related printed materials. 
(D) The PCCM plan service guide. 
(10) A listing and brief description of any existing government contract which involves current medical operations. 
(11) A written statement that the PCCM plan will or will not accept the option of a risk limit. 
(12) A description of activities that must be completed prior to contract implementation such as hiring staff, printing marketing materials and enrolling members. 
(13) The following financial information: 
(A) Detailed financial plan demonstrating the availability and sources of sufficient funds to cover operating costs for the first year of operation.
(B) Current income statement. 
(C) Balance Sheet. 
(D) Statement of Changes in Financial Position. 
(E) A detailed cash flow budget, including all written assumptions, estimates and projections, demonstrating the availability and sources of funds to meet the obligations under the prospective contract. Projections shall include enrollment, income and expenses on a month-by-month basis for two years. Supporting budgets for affiliates shall be provided when the organization relies upon affiliates to provide services under the prospective contract. 
(F) A projected calculation of tangible net equity. 
(G) Certified financial statements, presented on a combined basis with all affiliates, as of the applicant's fiscal or calendar year end. No additional disclosures are required when the applicant's submission is within 90 calendar days after the end of the applicant's fiscal year. Unaudited financial statements to the most current quarter end shall also be submitted if the applicant's submission occurs prior to or more than 90 calendar days after the close of the applicant's fiscal year. Unaudited statements shall be prepared on a combined basis. 
(H) A listing of all proposed subcontracts between the PCCM plan and affiliates. 
(I) Proof of adequate professional liability insurance coverage. 
(c) Each PCCM contract applicant approved by the Department shall submit the following certifications: 
(1) A signed statement as to the willingness and ability of the applicant to revise policies or procedures as necessary or required by the Department. 
(2) A signed statement as to the willingness and ability of the applicant to enroll members regardless of their race, creed, color, religion, age, sex, physical or mental handicap, sexual orientation, marital status, national origin or ancestry, and without reference to preexisting medical conditions other than those specifically excluded from converge under the PCCM contract. 
(3) A signed statement to the effect that the applicant will not engage in selective enrollment marketing activities. 
(4) A written statement that the applicant will maintain and operate a system which ensures the provision of or arrangement for CHDP services in close proximity to the primary care service site for eligible members.
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56502. PCCM Contract Selection Criteria.
Note     •     History

(a) The Department in exercising its discretion to enter into PCCM contracts shall evaluate applications, considering the following:
(a) Provider models that are able to offer the broadest base or reach particular segments of the Medi-Cal population, such as rural areas and Medicare/Medi-Cal beneficiaries. These provider models include, but are not limited to: 
(1) Primary care clinics with specialists. 
(2) Primary care clinics. 
(3) Hospital based clinics. 
(4) Group practices. 
(5) Individual primary care physicians. 
(6) Other models which offer potential for contracting, which shall be considered by the Department on an individual basis. 
(b) Applicants who demonstrate sufficient resources to implement the PCCM contract, which include, but are not limited to: 
(1) Support staff. 
(2) Information systems. 
(3) Organizational structure. 
(4) Available capital. 
(c) Applicants who provide the broadest range of optional services in addition to mandatory services. 
(d) Applicants who will cover service areas that: 
(1) Are in geographic areas which are free from competition from other PCCM or managed care plans. 
(2) Have a significant enrollment pool based on the Department's estimated Medi-Cal beneficiary distribution patterns. 
(3) Serve an area where PCCM plans exist or have existed and have not achieved significant enrollment given the service area or where the Department determines the Medi-Cal eligible population can support an additional plan. 
(e) Applicants who have managed care or related experience, which includes but is not limited to: 
(1) Subcontracting experience with PCCM plans. 
(2) PHP experience. 
(3) Industrial provider experience. 
(4) Preferred provider experience. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56505. Contract Term.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 1).
§56506. Contract Renewals.
Note     •     History

NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 1).
§56508. Mergers, Reorganizations or Assumptions.
Note     •     History

(a) A PCCM plan shall submit proposals for mergers, reorganizations or assumptions to the Department for review. 
(b) The Department may approve PCCM plan proposals relating to mergers, reorganizations or assumptions if, in addition to satisfying the requirements of section 14088 et seq., Welfare and Institutions Code as applicable, the following conditions are satisfied: 
(1) The surviving organization meets the requirements of section 56500. 
(2) The surviving organization provides written assurance that it will comply with all PCCM contract requirements and all applicable state and federal laws and regulations. 
(c) The Department shall accept or reject the proposal within 60 calendar days of receipt of the proposal.
(d) Implementation of the proposal shall be accomplished by amendment of the PCCM contract. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
§56520. Public Notice.
Note     •     History

(a) The Department shall publish a public notice of its intent to enter into a PCCM contract at least 60 calendar days prior to entering into an initial PCCM contract. 
(b) The public notice shall appear in at least two major newspapers of general distribution in the service area of the proposed PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14088.16, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of subsection (b) transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
Article 6. Conflict of Interest
§56600. Conflict of Interest.
Note     •     History

(a) The Department shall terminate a PCCM contract, if the Department determines that a state officer or state employee: 
(1) Provides legal or management services to a PCCM plan, 
(2) Has financial interest in the PCCM contract or PCCM plan, 
(3) Has any separate contract with the PCCM plan, or 
(4) Is involved in the procurement of a contract or subcontract for any PCCM plan. 
(b) The Department shall terminate a PCCM contract, if the Department determines that a PCCM plan fails to meet any of the following federal requirements: 
(1) Disclosure of the identity of any person who has an ownership or control interest in the PCCM plan. 
(2) Disclosure of the identity and circumstance surrounding any person who has an ownership or control interest in the PCCM plan who has been convicted of a criminal offense related to the person's involvement in any program under Medicare, Medicaid, or the Federal Social Security Act, Title XIX services program since the inception of the programs. 
(3) Conditions required to obtain federal financial participation for the PCCM plan. 
NOTE

Authority cited: Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14030, 14031, 14032 and 14088.16, Welfare and Institutions Code.
HISTORY

1. New section filed 3-9-90 as an emergency; operative 3-9-90 (Register 90, No. 12). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-9-90. 
2. New section refiled 7-9-90 as an emergency; operative 7-9-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 11-6-90.
3. Request to readopt section on an emergency basis pursuant to Government Code section 11346.1 granted and filed 11-6-90 as an emergency; operative 11-6-90 (Register 91, No. 6). A Certificate of Compliance must be transmitted to OAL by 3-6-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-6-90 order transmitted to OAL 2-22-91; disapproved by OAL on 3-25-91 (Register 91, No. 18).
5. New section filed 3-25-91 as an emergency; operative 3-25-91 (Register 91, No. 18). A Certificate of Compliance must be transmitted to OAL by 7-23-91 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-25-91 order including amendment of section transmitted to OAL 7-19-91 and filed 8-19-91 (Register 92, No. 1).
Chapter 7. Construction/Renovation Reimbursement Program
Article 1. Definitions
§57000. Capital Expenditure Project.
Note     •     History

(a) “Capital expenditure project” means a project for expenditures which, under generally accepted accounting principles, are not properly chargeable as expenses of operation and maintenance and are related to the acquisition, construction, renovation, improvement, modernization, expansion, or replacement of a plant, buildings, and equipment with respect to which the expenditure is made, including, but not limited to the following if included in revenue bond debt service:
(1) Studies, surveys, designs, plans, working drawings, and specifications bid preparation, inspection, and material testing;
(2) Site preparation, including demolishing or razing structures, hazardous waste removal, and grading and paving;
(3) Off-site construction and improvements required by the onsite project including the expansion of utilities, access roads, parking structures, bus stops, bus turnouts, bus shelters, and landscaping;
(4) Permit and license fees;
(5) Architectural, legal, accounting, contract administration cost and appraisal fees;
(6) Costs incurred for borrowing funds including capitalized interest; and
(7) Construction costs.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57003. Debt Service.
Note     •     History

“Debt service” means principal and interest paid to holders of revenue bonds issued for the purpose of financing capital expenditure projects. Debt service may also include but is not limited to other debt service costs such as credit enhancement, debt service reserve funds, trustee fees, liquidity letters of credit, bond counsel or other costs of bond funding which may or may not be capitalized and reflected in the principal portion of debt service.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57006. Disproportionate Share Hospital.
Note     •     History

“Disproportionate share hospital” means a hospital which serves a disproportionate number of low income patients as specified in the Medicaid State Plan Attachment 4.19-A., pages 18-29.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57009. Final Plans.
Note     •     History

“Final plans” means those documents required by the Office of Statewide Health Planning and Development (OSHPD) and the Office of the State Architect which have been submitted to the OSHPD with Form OSH-FD 121 entitled “Application for Building Permit” as specified in the California Code of Regulations, Title 22, division 7, section 94037. In order to constitute “final plans” the box entitled “final plans” on the Form OSH-FD 121 shall be marked.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57012. Fixed Equipment.
Note     •     History

“Fixed equipment” means equipment that is permanently affixed to the structure and which has a useful life determined in accordance with guidelines published by the American Hospital Association, entitled “Estimated Useful Lives of Depreciable Hospital Assets,” 1983 and does not include:
(a) movable equipment;
(b) equipment that under generally accepted accounting principles is usually charged as an expense of operation and maintenance;
(c) items of current operating expense, such as food, fuel, pharmaceuticals,dressings, paper, printed forms, and house-cleaning supplies.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57015. New Debt.
Note     •     History

“New debt” means funds resulting from the sale of revenue bonds used for financing a certified project as specified in section 57030 of this chapter for which final plans are submitted after July 1, 1989 and prior to June 30, 1994.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57018. Revenue Bond.
Note     •     History

“Revenue bond” as defined in the California Government Code, division 3, Part 7.2, section 15459(c) means any bonds, warrants, notes, leases or installment sale obligations evidenced by certificates of participation, or other evidence of indebtedness issued by a local agency payable from funds other than the proceeds of ad valorem taxes or the proceeds of assessments levied without limitation as to rate or amount by the local agency upon property in the local agency.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code; and Section 15459(c), Part 7.2, Division 3, California Government Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57021. Three Most Recent Years.
Note     •     History

“Three most recent years” means the three most recent calendar years.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57024. Supplemental Reimbursement.
Note     •     History

“Supplemental reimbursement” for the purposes of this chapter means reimbursement by the Department to an eligible hospital pursuant to the provisions of the Welfare and Institutions Code, section 14085.5.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
Article 2. Eligibility for Construction/Renovation Reimbursement Program
§57027. Hospital Eligibility.
Note     •     History

(a) In order to be considered eligible for supplemental reimbursement a hospital shall be determined an eligible hospital.
(b) A hospital shall meet both of the following conditions in order to be determined an eligible hospital:
(1) Be a disproportionate share hospital as defined in section 57006 of article 1, for the three most recent years, and
(2) Have entered into a contract to provide Medi-Cal inpatient hospital services pursuant to section 14082 of the Welfare and Institutions (W&I) Code, have entered into a contract with a county organized health system pursuant to section 14087.5 of W&I or participate as a provider in a successor program.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 14082, 14085.5 and 14087.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57030. Capital Expenditure Project Certification.
Note     •     History

(a) An eligible hospital's capital expenditure project or portion thereof shall be certified by the Department before supplemental reimbursement is made. In order to be certified or to remain certified, the capital expenditure project shall satisfy the following conditions:
(1) Final plans shall be submitted to the Office of Statewide Health Planning and Development and to the Office of the State Architect after July 1, 1989 and prior to June 30, 1994.
(2) Project funding shall be through the issuance of new debt.
(3) The hospital facilities being constructed, renovated, or replaced by the capital expenditure project shall be related to a covered service reimbursable by the Medi-Cal program and shall be available and accessible to Medi-Cal patients for the duration of the project debt reimbursement period.
(4) The capital expenditure project shall be for the construction, renovation, or replacement of the eligible hospital's facilities.
(5) The total capital expenditure project cost shall be not less than five million dollars ($5,000,000) unless the eligible hospital provides evidence that the project is necessary for the retention of federal and state licensing and certification and for meeting fire and life safety, seismic, or other regulatory standards.
(6) All supplemental reimbursement received by the eligible hospital shall be placed in a special account, the funds of which shall be used exclusively for the payment of debt service issued to finance the project or to reimburse the eligible hospital for debt service already paid for the project.
(7) The capital expenditure project shall finance the upgrading or construction of buildings and equipment to a level required by currently accepted medical practice standards, including projects designed to ensure that buildings and equipment meet the Joint Commission on Accreditation of Hospitals and Health Systems fire and life safety, seismic, or other related regulatory standards.
(b) The eligible hospital shall submit to the Department evidence that demonstrates that conditions set forth in subsection (a) of this section have been satisfied. Such evidence may include, but is not limited to copies of bank statements showing deposits and withdrawals, contracts, the official statement of the debt instrument, and the final plan date stamped by the Office of Statewide Health Planning and Development.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
Article 3. Standards for Supplemental Reimbursement
§57033. Supplemental Reimbursement Calculation.
Note     •     History

(a) The eligible hospital's supplemental reimbursement for a capital expenditure project which has been certified under section 57030 shall be calculated as follows:
(1) For each year in which the hospital is eligible to receive supplemental reimbursement, the hospital shall report to the Department the amount of debt service incurred for that portion of the capital expenditure project that represents the costs of the construction, renovation, or replacement of hospital facilities, including buildings and fixed equipment, which are available and accessible to Medi-Cal patients and provides services that are related to a covered service and reimbursable by the Medi-Cal program or successor program.
(2) The Department shall use the Medicaid inpatient utilization rate formula as specified in the Medicaid State Plan Attachment 4.19-A, pages 18-29, to determine the ratio of the hospital's total paid Medi-Cal patient days to total paid patient days.
(3) The supplemental reimbursement to the eligible hospital for each fiscal year shall equal the amount determined annually in subsection (a)(1) multiplied by the percentage resulting from dividing the number of Medi-Cal paid patient days by the total number of paid patient days.
(4) The supplemental reimbursement shall not be decreased by more than 10% of the initial ratio derived under subsection (a)(2) prior to the retirement of the debt.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57036. Reimbursement Provisions.
Note     •     History

(a) If an eligible hospital's capital expenditure project has been certified pursuant to section 57030 and if appropriations for supplemental reimbursement of capital expenditure projects are available, supplementalreimbursement to the eligible hospital shall commence no later than 30 days after the department's receipt of the certificate of occupancy for the hospital's capital expenditure project issued by the Office of Statewide Health Planning and Development.
(1) In cases where the hospital must obtain a certificate of occupancy, the Department shall not be required to reimburse for debt service prior to its receipt of the certificate of occupancy.
(2) The frequency of the supplemental reimbursement shall correspond to the bond repayment schedule, but in no case shall the hospital be reimbursed more than twice per fiscal year.
(3) Supplemental reimbursement combined with reimbursement from all other sources dedicated exclusively for debt service shall be limited to no more than 100% (percent) of the debt service.
(b) Interest income realized from unexpended revenue bond funds shall reduce the reimbursement obligation under this section by the percentage figure derived from section 57033(a)(3).
(c) The information required by section 57033(a)(1) shall be reported separately for each hospital facility that is being constructed, renovated or replaced by the capital expenditure project.
(d) An eligible hospital receiving supplemental reimbursement pursuant to this section shall be liable for any reduced federal financial participation resulting from the Department's payment of supplemental reimbursement under this section.
(1) The Department shall offset any reduced federal financial participation against reimbursement otherwise due the eligible hospital either under this chapter or for services provided under the California Medical Assistance Program.
(2) The Department shall not deliver to the eligible hospital the amount of the federal financial participation in the debt service until the federal government approves federal financial participation for supplemental reimbursement made under this chapter and thereby supplements the Medicaid grant award for the Medi-Cal program.
(e) The Department may conduct periodic audits to determine if all requirements under this chapter have been met.
(1) Supplemental reimbursement made to eligible hospitals shall be subject to change based on final calculations when final Medi-Cal utilization data becomes available.
(2) If the final Medi-Cal utilization data, indicates that a hospital was not, in fact, a disproportionate share provider for the time period in which supplemental reimbursement was made, the hospital shall be obligated to return such supplemental reimbursements to the State.
(3) If the final Medi-Cal utilization data indicates that a hospital was either overpaid or underpaid, the Department shall make an adjustment to amounts the Department would otherwise pay to the hospital by reducing or augmenting the current supplemental reimbursement otherwise due under this chapter or due for services provided under the California Medical Assistance Program.
(f) As a condition of receiving supplemental reimbursement, the eligible hospital shall keep, maintain, and have readily retrievable, such records as are necessary to fully disclose supplemental reimbursement amounts to which the hospital is entitled.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
§57039. Continuing Eligibility.
Note     •     History

(a) A hospital shall maintain eligibility and the capital expenditure project shall continue to meet the conditions set forth in 57030 for each year for which reimbursement is sought.
(b) Thirty (30) days prior to the anniversary of the certification date all documentation necessary to substantiate continued hospital eligibility and to maintain project certification, as required in this chapter, shall be submitted to the Department by the eligible hospital. The State shall not render supplemental reimbursement until all required documentation has been approved.
NOTE

Authority cited: Sections 10725, 14105 and 14124.5, Welfare and Institutions Code. Reference: Section 14085.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-5-89 as an emergency; operative 10-5-89 (Register 89, No. 41). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-2-90.
2. New section filed 2-9-90 as an emergency; operative 2-6-90 (Register 90, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-6-90.
3. Certificate of Compliance as to 2-6-90 order including amendments transmitted to OAL 6-5-90 and filed 6-22-90 (Register 90, No. 34).
Chapter 8. California Partnership for Long-Term Care
Article 1. Definitions
§58000. Activities of Daily Living.
Note     •     History

“Activities of Daily Living” means the verbatim definitions of California Insurance Code Sections 10232.8(f) and 10232.8(g) which must be used verbatim in Partnership Policies.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22006(c), Welfare and Institutions Code.
HISTORY

1. New chapter 8 (sections 58000-58082), article and section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58000 to section 58001 and new section 58000 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58001. Adult Day Health/Social Care.
Note     •     History

“Adult Day Health/Social Care” means a structured, comprehensive program which provides a variety of community-based services including health, social, and related supportive services in a protective setting on a less than 24-hour basis. These community-based services are designed to meet the needs of functionally impaired adults through an individualized service plan, and include the following: personal care and supervision as needed, the provision of meals as long as the meals do not meet a full daily nutritional regimen, transportation to and from the service site, and social, health, and recreational activities.
In California, providers of Adult Day Health/Social Care may include Adult Day Care Facilities as defined in Health and Safety Code Section 1502(a)(2), and Adult Social Day Care Facilities as defined in Health and Safety Code Section 1502.2, which are licensed by the Department of Social Services; Adult Day Health Care Facilities licensed by the Department of Health Services, pursuant to Health and Safety Code Section 1575 et seq.; and Alzheimer Day Care Resource Centers administered by the Department of Health Services pursuant to Health and Safety Code Section 1568.10 et seq.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22006(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer of former section 58001 and renumbering of former section 58000 to section 58001 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58002. Average Daily Private Pay Rate for Nursing Facilities.
Note     •     History

“Average Daily Private Pay Rate for Nursing Facilities” means the estimated average net revenue per patient day for intermediate and skilled nursing facility services for the current calendar year for patients not qualifying for Federal and State reimbursement. The net revenue per patient day is reported annually by each nursing facility to the Office of Statewide Health Planning and Development (OSHPD) and published annually in the OSHPD report entitled, “Aggregate Long Term Care Facility Financial Data”. The published data lags the current year by two years. Therefore, the Department of Health Services will adjust the average net revenue per patient day for the most recent calendar year published by OSHPD to estimate the increase in net revenue per patient day for the two years for which data is not available and thus estimate the average net revenue per patient day for the current calendar year. The average rate of increase in the net revenue per patient day for the most recent five years for which published data is available will be used to make the adjustment. The resulting Average Daily Private Pay Rate for Nursing Facilities for the upcoming calendar year will be rounded to the nearest ten dollars ($10) and distributed by the Department of Health Services in the Long Term Care Issuers' Bulletin.
Charges for ancillary services such as physical therapy, speech therapy, audiology, laboratory, as well as charges for patient supplies and legend prescription drugs are not included in the calculation of Average Daily Private Pay Rate for Nursing Facilities.
NOTE

Authority cited: Section 22009(a)(3), Welfare and Institutions Code. Reference: Section 22005(b), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of section, transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer of former section 58002 and renumbering of former section 58003 to section 58002 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58003. Benefit Eligibility.
Note     •     History

“Benefit Eligibility” in each Policy or Certificate is defined as follows:
(a) “How to qualify for Benefits: We will pay for the Qualified Long-Term Care Services covered by this policy if:
(1) The insured becomes a Chronically Ill Individual, and
(2) The Services are prescribed for the insured in a written Plan of Care.
(b) The insured will be considered a Chronically Ill Individual when one of the following criteria are met:
(1) The insured is unable to perform, without Standby Assistance or Hands-On Assistance from another individual, [2 Activities of Daily Living] due to a loss of functional capacity and the loss of functional capacity is expected to last at least 90 days; OR
(2) the insured has a Severe Cognitive Impairment requiring Substantial Supervision to protect the insured from threats to health and safety.
(c) The certification that the insured is a Chronically Ill Individual must be made by a Licensed Health Care Practitioner, within the preceding 12 months and must be renewed at least every 12 months. The services to be paid by the Policy [Certificate] must be prescribed in a written Plan of Care prepared by a Licensed Health Care Practitioner.
(d) All of the services covered by this policy are Qualified Long-Term Care Services.
(e) The definitions for the following terms will help explain how the insured qualifies for benefits under this Policy:
Activities of Daily Living;
Standby Assistance;
Hands-On Assistance;
Severe Cognitive Impairment;
Substantial Supervision;
Licensed Health Care Practitioner;
Plan of Care; and
Qualified Long-Term Care Services.”
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22006(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of section, transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58003 to section 58002 and new section 58003 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58004. California Partnership for Long-Term Care.
Note     •     History

“California Partnership for Long-Term Care” means the program, authorized by Section 22000, et seq. of the California Welfare and Institutions Code, between the State of California and participating insurance companies that offer long-term care insurance Policies [Certificates], and provide Medi-Cal Asset Protection, that are approved as Partnership Policies [Certificates].
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22006(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58004 to section 58005 and new section 58004 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58005. Care Management/Care Coordination.
Note     •     History

“Care Management/Care Coordination” includes, but is not limited to the following:
(a) the performance of a comprehensive individualized face-to-face assessment conducted in the client's place of residence;
(b) the development of a Plan of Care;
(c) the performance of a comprehensive, individualized reassessment at least every six months;
(d) when desired by the individual and determined necessary by the Care Management Provider Agency, coordination of appropriate services and ongoing monitoring of the delivery of such services; and
(e) the development of a discharge plan when the Care Management Provider Agency services, or the Policy benefits, are about to be terminated and if further care is needed. If the insured is immediately eligible for Medi-Cal, the Care Management Provider Agency shall prepare a transition plan.
Care Management/Care Coordination takes an all-inclusive look at a person's total needs and resources, and links the person to a full range of appropriate services using all available funding sources.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006(b), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58005 to section 58006 and renumbering of former section 58004 to section 58005, including amendment of section heading and section, filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58006. Care Management Provider Agency.
Note     •     History

“Care Management Provider Agency” means an agency or other entity that provides Care Management/Care Coordination and meets the standards set forth in Article 5.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006(b), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58006 to section 58007 and renumbering and amendment of former section 58005 to section 58006 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58007. Care Management Supervisor.
Note     •     History

“Care Management Supervisor” means a person who is an experienced Care Manager/Coordinator and is responsible for directing and supervising other Care Managers/Coordinators and undertaking duties as described in Section 58069.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006(b), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of section, transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58007 to section 58008 and renumbering and amendment of former section 58006 to section 58007 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58008. Care Manager/Coordinator.
Note     •     History

“Care Manager/Coordinator” means a person who, either alone or as part of a team, is responsible for performing assessments and reassessments, developing Plans of Care, coordinating the provision of care, and monitoring the delivery of services.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006(b), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58008 to section 58009 and renumbering and amendment of former section 58007 to section 58008 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58009. Certificate.
Note     •     History

“Certificate” means any certificate of coverage issued under a group long-term care insurance policy, which policy has been approved for delivery in the State of California.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer of former section 58009 and renumbering of former section 58008 to section 58009 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58010. Elimination Period.
Note     •     History

“Elimination Period” is defined as either (a) or (b).
(a) “Elimination Period” means the total number of days that covered, Formal Long-Term Care Services must be received after the insured is determined to be a Chronically Ill Individual and before the benefits covered by the Policy or Certificate are payable. The number of days must be accumulated within a nine-month period [insurer option: a period longer than 9 months, but not shorter than 9 months can be used] after the insured has been determined to be a Chronically Ill Individual. The number of days can be accumulated before the filing of a claim if the insured can establish that he or she was a Chronically Ill Individual before filing a claim. The Elimination Period need only be met once during a lifetime. Any day when covered services [insurer option: days the insured receives inpatient care in a general acute care hospital may also be counted] are reimbursed by other insurance or Medicare may be counted toward meeting the Elimination Period. Respite Care [insurer option: list other benefits that are exempted] is not subject to the Elimination Period.
(b) “Elimination Period” means a provision that defines the number of days the insured must be disabled before the benefits covered by the Policy or Certificate are payable, and that is approved by the Department of Health Services.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005.1(b), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer of former section 58010 and renumbering and amendment of former section 58014 to new section 58010 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
5. Amendment of section and Note filed 5-30-2001 as an emergency; operative 5-30-2001. A Certificate of Compliance must be transmitted to OAL by 9-27-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 2001, No. 22).
6. Certificate of Compliance as to 5-30-2001 order transmitted to OAL 9-24-2001 and filed 10-31-2001 (Register 2001, No. 44).
§58011. Formal Long-Term Care Services.
Note     •     History

“Formal Long-Term Care Services” means long-term care services for which the provider is paid.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22006(a), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer of former section 58011 and renumbering of former section 58015 to new section 58011 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58012. Hands-On Assistance.
Note     •     History

“Hands-on Assistance” means the physical assistance of another person without which the insured would be unable to perform the Activity of Daily Living.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22006(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer and new section filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58013. Home Health Care Services.
Note     •     History

“Home Health Care Services” means skilled nursing or other professional services in the residence, including, but not limited to, part-time and intermittent skilled nursing services, home health aide services, physical therapy, occupational therapy, or speech therapy and audiology services, and medical social services by a social worker.
NOTE

Authority cited: Section 22009(a)(3), Welfare and Institutions Code. Reference: Section 10232.9, Insurance Code; Section 22006(c), Welfare and Institutions Code; and 42 United States Code Section 1395x(o).
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer of former section 58013 and renumbering of former section 58016 to new section 58013, including amendment of section and Note, filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58014. Elimination Period.
Note     •     History

NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005(b), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58014 to new section 58010 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58015. Formal Long-Term Care Services.
Note     •     History

NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22006(a), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58015 to new section 58011 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58016. Home Health Care Services.
Note     •     History

NOTE

Authority cited: Section 22009(a)(3), Welfare and Institutions Code. Reference: Section 22006(c), Welfare and Institutions Code; and 42 United States Code Section 1395x(o).
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58016 to new section 58013 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58017. Homemaker Services.
Note     •     History

“Homemaker Services” means assistance with activities necessary to or consistent with the insured's ability to remain in his or her residence, that is provided by a skilled or unskilled person under a plan of care developed by a Licensed Health Care Practitioner.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 10232.9, Insurance Code; Section 22006(c), Welfare and Institutions Code; and 42 United States Code Section 488.1 et seq.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of section and Note filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58018. Hospice Services.
Note     •     History

“Hospice services” are outpatient services not paid by Medicare, that are designed to provide palliative care, alleviate the physical, emotional, social, and spiritual discomforts of an individual who is experiencing the last phases of life due to the existence of a terminal disease, and to provide supportive care to the primary care giver and the family. Care may be provided by a skilled or unskilled person under a plan of care developed by a physician or a multidisciplinary team under medical direction.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 10232, Insurance Code; Section 22006(a), Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
2. Renumbering of former section 58018 to section 58019 and new section 58018 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58019. Informal Long-Term Care Services.
Note     •     History

“Informal Long-Term Care Services” means long-term care services for which the provider is not paid.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22006(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer of former section 58019 and renumbering of former section 58018 to section 58019 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58020. Issuer.
Note     •     History

“Issuer” means an entity delivering or issuing for delivery in this State, Partnership Long-Term Care Insurance Policies or Certificates, as follows:
(a) insurers, as defined in Section 23, California Insurance Code;
(b) fraternal benefit societies, as defined in Section 10990, California Insurance Code;
(c) any similar organization regulated by the Commissioner of the Department of Insurance pursuant to Section 12921, California Insurance Code; or
(d) The California Public Employees' Retirement System Board of Administration.
NOTE

Authority cited: Sections 22005(f) and 22009(a), Welfare and Institutions Code. Reference: Section 22013, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer of former section 58020 and renumbering and amendment of former section 58022 to section 58020 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58021. Licensed Health Care Practitioner.
Note     •     History

“Licensed Health Care Practitioner” means any physician (as defined in Title 42, United States Code, Section 1395x(r)(1)) and any registered professional nurse, licensed social worker, or other individual who meets such requirements as may be prescribed by the Secretary of the Treasury. The Licensed Health Care Practitioner must be employed by a Care Management Provider Agency or be a Qualified Official Designee of a Care Management Provider Agency.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22006(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer and new section filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order, including amendment of section, transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58022. Long-Term Care Services Countable Toward Medi-Cal Property Exemption.
Note     •     History

“Long-Term Care Services Countable Toward Medi-Cal Property Exemption” means those services that may be covered in a Policy or Certificate which will qualify for the Medi-Cal Property Exemption. These services include the following:
(a) long-term care in nursing facilities, as defined in Sections 51120 and 51123;
(b) home health services, as defined in Section 51337;
(c) home and community-based services approved under 42 U.S.C. Section 1396n(c), and provided in the Welfare and Institutions Code, Section 14132(s) and (t);
(d) Residential Care Facility Services;
(e) personal care services as defined in California Code of Regulations, Title 22, Section 51183;
(f) adult day health care services as defined in California Code of Regulations, Title 22, Section 54103;
(g) hospice services as defined in California Code of Regulations, Title 22, Sections 51180 through 51180.7; and
(h) other services approved by the Department of Health Services.
NOTE

Authority cited: Section 22009(a)(3), Welfare and Institutions Code. Reference: Section 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58022 to section 58020 and renumbering and amendment of former section 58023 to section 58022 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58023. Medi-Cal Asset Protection.
Note     •     History

“Medi-Cal Asset Protection” means the right extended to the insured by California when the insured uses the benefits of this Policy. This right allows the insured to protect one dollar of assets for every dollar this Policy pays out in benefits, in the event the insured later applies for Medi-Cal benefits or for other qualifying State long-term care benefits. The amount of this asset protection at any time is equal to the sum of all benefit payments made for the insured's care by this Policy. Should the insured later apply for Medi-Cal benefits or for other qualifying public long-term care benefits, he or she will not be required to expend the protected assets prior to becoming eligible for these public benefits. The insured's protected assets will also be exempt from any claim the State of California may have against his or her estate to recover the costs of State-paid long-term care or medical services provided to the insured.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22004 and 22006(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58023 to section 58022 and new section 58023 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58024. Medi-Cal Property Exemption.
Note     •     History

“Medi-Cal Property Exemption” means the total equity value of real and personal property not otherwise exempt under Medi-Cal regulations (California Code of Regulations, Title 22, Section 50000 et seq.) equal to the sum of qualifying insurance benefit payments made on behalf of the insured.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22001, 22003, 22006, 22008.5 and 22009(c)(2), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58025. Partnership Long-Term Care Insurance Policy or Certificate, or Partnership Policy or Certificate.
Note     •     History

“Partnership Long-Term Care Insurance Policy or Certificate” or “Partnership Policy or Certificate” means any long-term care insurance Policy or Certificate approved by the Department of Health Services and the Department of Insurance for issue or delivery to California residents as meeting the requirements set forth in Section 22005(e) of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 22005 and 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58025 to section 58026 and new section 58025 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58026. Personal Care Services.
Note     •     History

“Personal Care Services” means:
(a) Ambulation assistance, including help in walking or moving around (i.e. wheelchair) outside or inside the place of residence, changing locations in a room, moving from room to room to gain access for the purpose of engaging in other activities. Ambulation assistance does not include movement solely for the purpose of exercise.
(b) Bathing and grooming including cleaning the body using a tub, shower or sponge bath, including getting a basin of water, managing faucets, getting in and out of tub or shower, reaching head and body parts for soaping, rinsing, and drying. Grooming includes hair combing and brushing, shampooing, oral hygiene, shaving and fingernail and toenail care.
(c) Dressing including putting on and taking off, fastening and unfastening garments and undergarments, and special devices such as back or leg braces, corsets, elastic stockings/garments and artificial limbs or splints.
(d) Bowel, bladder and menstrual care including assisting the person on and off toilet or commode and emptying commode, managing clothing and wiping and cleaning body after toileting, assistance with using and emptying bedpans, ostomy and/or catheter receptacles and urinals, application of diapers and disposable barrier pads.
(e) Repositioning, transfer skin care, and range of motion exercises, including moving from one sitting or lying position to another sitting or lying position; e.g., from bed to or from a wheelchair, or sofa, coming to a standing position and/or rubbing skin and repositioning to promote circulation and prevent skin breakdown. Motion exercises shall include the carrying out of maintenance programs, i.e. the performance of the repetitive exercises required to maintain function, improve gait, maintain strength or endurance, passive exercises to maintain range of motion in paralyzed extremities, and assistive walking.
(f) Feeding, hydration assistance, including reaching for, picking up, grasping utensil and cup; getting food on utensil; bringing food, utensil, cup to mouth, and manipulating food on plate. Cleansing face and hands as necessary following meal.
(g) Assistance with self-administration of medications.
(h) Assistance with Instrumental Activities of Daily Living, which include:
(1) domestic or cleaning services;
(2) laundry services;
(3) reasonable food shopping and errands;
(4) meal preparation and cleanup;
(5) transportation assistance to and from medical appointments; and,
(6) heavy cleaning which involves thorough cleaning of the home to remove hazardous debris or dirt; and,
(7) using the telephone.
(i) Partnership Long-Term Care Insurance Policy or Certificate shall not, if it provides Personal Care Services, limit or exclude benefits by requiring that the provision of Personal Care Service be at a level of certification or licensure greater than that required by the eligible service, or by limiting benefits to services provided by Medicare-certified agencies or providers.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(b) and 22006(c), Welfare and Institutions Code;  Sections 488.1 et  seq., 42 Code of Federal Regulations.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58026 to section 58027 and renumbering and amendment of former section 58025 to section 58026 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58027. Plan of Care.
Note     •     History

“Plan of Care” means a written individualized plan of services prescribed by a Licensed Health Care Practitioner which specifies the type, frequency, and providers of all Formal and Informal Long-Term Care Services required for the individual, and the cost, if any, of any Formal Long-Term Care Services prescribed. Changes in the Plan of Care must be documented to show that such alterations are required by changes in the client's medical situation, functional and/or cognitive abilities, behavioral abilities or the availability of social supports.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006(b), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58027 to section 58028 and renumbering and amendment of former section 58026 to section 58027 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58028. Policy.
Note     •     History

“Policy” means any contract, rider, or endorsement delivered or issued for delivery in the State of California by an Issuer.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58028 to section 58030 and renumbering and of former section 58027 to section 58028 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58029. Qualified Long-Term Care Services.
Note     •     History

“Qualified Long-Term Care Services” means necessary diagnostic, preventive, therapeutic, curing, treating, mitigating, and rehabilitative services, and maintenance or personal services which are needed to assist the insured with the disabling conditions that cause the insured to be a Chronically Ill Individual.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22006(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58029 to section 58031 and new section 58029 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58030. Qualified Official Designee of a Care Management Provider Agency.
Note     •     History

“Qualified Official Designee of a Care Management Provider Agency” means an individual who meets the Care Manager/Coordinator qualifications and is designated by the Care Management Provider Agency to certify the insured is a Chronically Ill Individual and/or to perform Care Management/Care Coordination.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005(a), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58030 to section 58032 and renumbering and amendment of former section 58028 to section 58030 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58031. Quarterly/Annually.
Note     •     History

“Quarterly/Annually”, unless otherwise stated, refers to periods aligned with the State Fiscal Year of July 1 to June 30.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005(d), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of section, transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58031 to section 58033 and renumbering of former section 58029 to section 58031 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58032. Residential Care Facility.
Note     •     History

“Residential Care Facility” means a facility licensed as a Residential Care Facility for the Elderly or a residential care facility as defined in the California Health and Safety Code. Outside California, eligible providers are facilities licensed or certified by the appropriate state agency to provide ongoing care and related services sufficient to support needs resulting from an inability to perform Activities of Daily Living or Severe Cognitive Impairment or if no licensure or certification is required, facilities engaged primarily in providing on-going care and related services sufficient to support needs resulting from an inability to perform Activities of Daily Living or Severe Cognitive Impairment and which also:
(a) provide such care and services on a twenty four (24) hour a day basis; and
(b) have a trained ready-to-respond employee on duty in the facility at all times to provide such care and services; and
(c) provide three meals a day and accommodates special dietary needs; and
(d) have arrangements to ensure that residents receive the medical care services of a physician or nurse in case of emergency; and
(e) have appropriate methods and procedures to provide necessary assistance to residents in the management of prescribed medications.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 10232.92, Insurance Code; and Section 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58032 to section 58034 and renumbering of former section 58030 to section 58032, including amendment of section and Note, filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58033. Respite Care.
Note     •     History

“Respite Care” means the supervision and care of Chronically Ill Individuals in the home or out of the home while the family or other individuals who normally provide care take short-term leave or rest that provides them with temporary relief from the responsibilities of caregiving.
A Partnership Long-Term Care Insurance Policy or Certificate shall not, if it provides Respite Care, limit or exclude benefits by requiring that the provision of Respite Care be at a level of certification or licensure greater than that required by the eligible service or by limiting benefits to services provided by Medicare-certified agencies or providers.
Eligible providers for Respite Care include: a Nursing Facility, a Residential Care Facility, community-based programs such as an Adult Day Health/Social Care provider, persons employed by a home health agency, and a person who is qualified by training and/or experience to provide the care.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 10232.9, Insurance Code; Sections 22005(b) and 22006(c), Welfare and Institutions Code;  42 Code of Federal Regulations Section 488.1 et seq.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering of former section 58033 to section 58036 and renumbering of former section 58031 to section 58033, including amendment of section and Note, filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58034. Service Summary.
Note     •     History

“Service Summary” means a written summary, prepared by an issuer for a qualified insured, which identifies the following:
(a) the Partnership Policy or Certificate,
(b) the total benefits paid for services as of the end of the previous quarter,
(c) the total benefits paid for services in the current quarter,
(d) the total amount of benefits paid as of the end of the previous quarter qualifying for a Medi-Cal Property Exemption,
(e) The total amount of benefits paid for services in the current quarter qualifying for a Medi-Cal Property Exemption, and
(f) remaining benefit amount.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22003(b), 22004 and 22005(b), Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Renumbering and amendment of former section 58032 to new section 58034 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58035. Severe Cognitive Impairment.
Note     •     History

“Severe Cognitive Impairment” means a loss or deterioration in intellectual capacity that:
(a) is comparable to (and includes) Alzheimer's disease and similar forms of irreversible dementia and;
(b) is measured by clinical evidence and standardized tests prescribed or approved by the California Partnership for Long-Term Care.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22003, 22004 and 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58036. Shortened Benefit Period Nonforfeiture Benefit.
Note     •     History

“Shortened Benefit Period Nonforfeiture Benefit” means that, when premiums cease being paid, the covered benefits will be paid by the Issuer at the rate specified in the Partnership Policy or Certificate but the lifetime maximum benefit payable will be reduced to an amount less than provided in the Partnership Policy or Certificate at date of issue.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005(b), Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 58033 to new section 58036 filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58037. Standby Assistance.
Note     •     History

“Standby Assistance” means the presence of another person within arm's reach of the insured that is necessary to prevent, by physical intervention, injury to the insured while the insured is performing an Activity of Daily Living (such as being ready to catch insured if he or she falls while getting into or out of the bathtub or shower as part of bathing, or being ready to remove food from the insured's throat if he or she chokes while eating).
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22003(b), 22004 and 22005(d), Welfare and Institutions Code.
HISTORY

1. New section filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58038. Substantial Supervision.
Note     •     History

“Substantial Supervision” means continual supervision (which may include cuing by verbal prompting, gestures, or other demonstrations) by another person that is necessary to protect a person who has Severe Cognitive Impairment from threats to his or her health or safety (such as may result from wandering).
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005(b), Welfare and Institutions Code.
HISTORY

1. New section filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
Article 2. Conditions of Issuer Participation
§58050. Issuer Requirements.
Note     •     History

(a) Each issuer must offer, prominently advertise, and actively market a Partnership Comprehensive Policy or Certificate (paying benefits on an expense incurred or expense reimbursable basis) that contains the following minimum benefits:
(1) a lifetime maximum benefit set in dollars and equivalent in dollars to three hundred sixty-five (365) times eighty percent (80%) of the Average Daily Private Pay Rate for Nursing Facilities;
(2) a thirty-day Elimination Period;
(3) coverage for services in a nursing facility and coverage of the home and community-based care services as specified in Section 58059(e);
(4) a Respite Care benefit not subject to an Elimination Period;
(5) Care Management/Care Coordination;
(6) except for previously approved Partnership Policies, if offered on an expense reimbursable basis,
(A) a nursing facility per diem benefit of eighty (80%) of the Average Daily Private Pay Rate for Nursing Facilities, rounded to the nearest multiple of ten dollars ($10);
(B) a Residential Care Facility benefit;
(C) a monthly home and community-based care benefit of fifty percent (50%) of the nursing facility per diem benefit contained in the Partnership Policy or Certificate multiplied by thirty; and
(D) automatic increases of five percent (5%) each year over the previous year for each year the contract is in force for all covered benefits and for the lifetime maximum benefit;
(7) except for previously approved Partnership Policies if offered on an expense incurred basis,
(A) benefits that pay eighty percent (80%) of the costs incurred by the insured for nursing facility services up to eighty percent (80%) of the Average Daily Private Pay Rate for Nursing Facilities, rounded to the nearest one dollar ($1);
(B) benefits that pay eighty percent (80%) of the costs incurred by the insured for care in a Residential Care Facility up to fifty percent (50%) of the Average Daily Private Pay Rate for Nursing Facilities, rounded to the nearest one dollar ($1);
(C) benefits that pay eighty percent (80%) of the costs incurred by the insured for home and community-based care;
(D) a lifetime maximum benefit that automatically increases by five percent (5%) each year over the previous year for each year the contract is in force; and
(8) all other benefits and provisions defined in Sections 58059(f), (g) and (l), 58060, and 58061.
(b) Issuers are not required to offer a Partnership Nursing Facility and Residential Care Facility Only” Policy or Certificate (paying benefits on an expense incurred or expense reimbursable basis), except as provided in Section 58061(c)(3). If the issuer elects to offer such a Policy or Certificate, the policy shall display prominently on page one (1) of the Policy or Certificate: “Nursing Facility and Residential Care Facility Only” Policy [Certificate]. The issuer must also offer, prominently advertise, and actively market a Partnership Policy or Certificate that contains the following minimum benefits:
(1) a lifetime maximum benefit set in dollars that is equivalent in dollars to three hundred sixty-five (365) times eighty percent (80%) of the Average Daily Private Pay Rate for Nursing Facilities;
(2) a thirty-day Elimination Period, and the Elimination Period definition used verbatim;
(3) coverage for services in a nursing facility and a Residential Care Facility as specified in Section 58059(d);
(4) Care Management;
(5) If issued on an expense reimbursable basis,
(A) a nursing facility per diem benefit of eighty percent (80%) of the Average Daily Private Pay Rate for Nursing Facilities, rounded to the nearest multiple of ten dollars ($10);
(B) a Residential Care Facility Benefit of fifty percent (50%) of the nursing facility per diem benefit contained in the Partnership Policy or Certificate;
(C) automatic increases of five percent (5%) each year over the previous year for each year the contract is in force for all covered benefits and for the lifetime maximum benefit;
(6) if issued on an expense incurred basis,
(A) benefits that pay eighty percent (80%) of the costs incurred by the insured for nursing facility services up to eighty percent (80%) of the Average Daily Private Pay Rate for Nursing Facilities, rounded to the nearest one dollar ($1);
(B) benefits that pay eighty percent (80%) of the costs incurred by the insured for care in a Residential Care Facility up to fifty percent (50%) of the Average Daily Private Pay Rate for Nursing Facilities, rounded to the nearest one dollar ($1);
(C) a lifetime maximum benefit that automatically increases by five percent (5%) each year over the previous year for each year the contract is in force; and
(7) all other benefits and provisions specified in Sections 58059(f), (g) and (l), 58060 and 58061.
(c) If any Issuer elects to offer and market a Partnership Policy or Certificate with lifetime maximum benefits in amounts greater than the minimum, the Issuer must offer Policies or Certificates with lifetime benefit maximums in amounts equal to seven hundred thirty (730) times and one thousand ninety-five (1095) times the Average Daily Private Pay Rate for Nursing Facilities and with Elimination Periods of both thirty (30) and ninety (90) days.
(d) Issuers of Partnership group Policies to employers may use normal underwriting and age criteria, but may only issue Policies to those employers who agree to make Certificates available to all individuals within one of the following groups:
(1) active employees and retirees, the active employees' and retirees' spouses, and the parents of all employees and their spouses, who are California residents; or,
(2) retirees, the retirees' spouses and the parents of retirees and their spouses, who are California residents.
(e) Social underwriting, defined as refusal to issue an insurance Policy or Certificate based upon non-medical primary determinants, is prohibited. However, social factors may be considered when pricing a Partnership Policy or Certificate for applicants, so long as a clear rationale for the pricing differential and associated premium impact is submitted to the California Partnership for Long-Term Care. Non-medical factors unacceptable for use as primary determinants when refusing to issue a Policy or Certificate include; the applicant's gender; marital status; living arrangements; sexual preference; presence or absence of an assumed support network (for example but not limited to family, church, community), including health status of probable caretaker spouse; current or past occupation except with respect to group Policies or individual  Policies issued by Issuers that are precluded by their charter or bylaws from selling to the general public; hobbies, except recognized high risk pursuits; educational level; and geographic location within California.
(f) All Partnership Policies or Certificates issued by the Issuer, whether initial Partnership Policies or Certificates, upgrades to Partnership Policies or Certificates, and/or replacements for Partnership Policies and Certificates, shall bear the same Policy or Certificate form number and use an additional unique identifier to designate subsequent versions of the initial Policies and Certificates. All individual Partnership Policies, upgrades and/or replacements of Partnership Policies shall be considered a single risk pool for purposes of approving any future premiums adjustments with the following exception. A group Issuer may form a separate risk pool whenever at least two thousand (2000) Certificates are in force for a single employer, labor organization, or trust established by a single employer or labor organization, for a single nonprofit association composed of individuals who are or were actively engaged in the same profession, trade, or occupation and organized in good faith for purposes other than obtaining insurance, and for a single nonprofit association created and maintained in good faith for the benefit of its members and not for the purposes of obtaining insurance, in active existence for at least five years, and with a constitution and bylaws and a board with member representation. Nothing in this section, however, shall preclude an Issuer of non-Partnership policies from pooling the non-Partnership policies with Partnership Policies or Certificates to avoid or reduce the amount of any future premium increase that otherwise might have occurred to the risk pool of Partnership Policies and Certificates.
(g) Long-term care insurance policies or certificates that are not approved under the California Partnership for Long-Term Care must include a statement on the outline of coverage, the policy or certificate application, and the front page of the policy or certificate in bold type and in a separate box.  The required statement, to appear verbatim, on all non-Partnership policies and certificates issued or delivered sixty (60) days or more after the first Partnership Policies or Certificates have been filed with the Department of Insurance will read as follows:
“THIS POLICY [CERTIFICATE] IS AN APPROVED LONG-TERM CARE INSURANCE POLICY [CERTIFICATE] UNDER CALIFORNIA LAW AND REGULATIONS. HOWEVER, THE BENEFITS PAYABLE BY THIS POLICY [CERTIFICATE] WILL NOT QUALIFY FOR MEDI-CAL ASSET PROTECTION UNDER THE CALIFORNIA PARTNERSHIP FOR LONG-TERM CARE.
FOR INFORMATION ABOUT POLICIES AND CERTIFICATES QUALIFYING UNDER THE CALIFORNIA PARTNERSHIP FOR LONG-TERM CARE, CALL THE HEALTH INSURANCE COUNSELING AND ADVOCACY PROGRAM AT THE TOLL-FREE NUMBER, 1 (800) 434-0222.”

The required statement may omit the last sentence giving the telephone number to call for information about the California Partnership for Long-Term Care where an Issuer offers both Partnership and non-Partnership policies or certificates simultaneously in a single application or solicitation to all individuals within either of the groups described in Subsections (d)(1) and (d)(2).
(h) Issuers are responsible for contracting with one or more Care Management Provider Agencies that meet the standards described in Article 5.
(i) Notwithstanding the provisions of Subsection (c), above, an Issuer that elects to offer or market a Partnership Policy or Certificate of lifetime maximum benefits in amounts greater than the minimum required for approval may offer lifetime maximum benefits with amounts equal to seven hundred thirty (730) times the Average Daily Private Pay Rate for Nursing Facilities, or to one thousand ninety-five (1095) times the Average Daily Private Pay Rate for Nursing Facilities, or both, and with Elimination Periods of thirty (30) or ninety (90) days, or both, provided that the offering is made on a non-discriminatory basis to all individuals within one of the following groups:
(1) active employees and retirees, the active employees' and retirees' spouses, and the parents of all employees and their spouses, who are California residents; or,
(2) retirees, the retirees' spouses and the parents of retirees and their spouses, who are California residents.
(j) Each Issuer shall:
(1) maintain records for each agent of that agent's amount of replacement sales as a percent of the agent's total annual sales and the amount of lapses of long-term insurance policies sold by the agent as a percent of the agent's total annual sales;
(2) report annually by June 30, the 10 percent of its agents in the state with the greatest percentage of lapes and replacements as measured by section (j)(1);
(3) report annually by June 30, the number of lapsed policies as a percent of its total annual sales in the state, as a percent of its total number of policies in force in the state, and as a total number of each policy form in the state, as of the end of the preceeding calendar year; and,
(4) report annually by June 30, the number of replacement policies sold as a percent of its total annual sales in the state and as a percent of its total number of policies in force in the state as of the end of the preceding calender year.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22001, 22003, 22004, 22005.1, 22006 and 22008.5, Welfare and Institutions Code.
HISTORY

1. New article 2 and section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including repealer and new subsections (a)(6)(A)-(C) and (b)(6)(A) and subsection relettering, and amendment of subsections (b)(5)(C), (e), (f) and (h) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsection (h) and new subsection (j) filed 10-26-94 as an emergency; operative 10-26-94 (Register 94, No. 43). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
4. Certificate of Compliance as to 10-26-94 order transmitted to OAL 2-22-95 and filed 3-30-95 (Register 95, No. 13).
5. Amendment filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
7. Amendment of subsections (a)(2), (a)(4) and (a)(6)(B) and amendment of Note filed 5-30-2001 as an emergency; operative 5-30-2001. A Certificate of Compliance must be transmitted to OAL by 9-27-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 2001, No. 22).
8. Certificate of Compliance as to 5-30-2001 order transmitted to OAL 9-24-2001 and filed 10-31-2001 (Register 2001, No. 44).
§58051. Targeting Requirements.
Note     •     History

(a) Issuers may issue or deliver Partnership individual Policies or Certificates to California residents only.
(b) Issuers are responsible for taking appropriate measures to assure that a substantial number and proportion of their total sales of Partnership Policies or Certificates each year are to individuals within the target population. The target population for the purchase of a Partnership Policy or Certificate or replacement of current long-term care coverage with a Partnership Policy or Certificate is California residents between the ages of 55 and 74 years old with assets greater than 365 times eighty percent (80%) of the Average Daily Private Pay Rate for Nursing Facilities and with annual incomes less than the seventy-fifth (75) percentile for their age cohort, provided that the annual premium for the Partnership Policy or Certificate does not exceed seven percent (7%) of the prospective purchaser's annual income. The California Partnership for Long-Term Care shall annually distribute to participating Issuers the annual incomes equivalent to the seventy-fifth (75) percentile in the target populations based on data from the U.S. Department of Commerce, Bureau of the Census Current Population Survey.
Individuals with ages outside the target population, and/or with assets lower or incomes higher than the target population, are eligible to purchase Partnership Policies or Certificates.
(c) Each prospective Issuer, prior to approval by the Department of Health Services, shall submit a detailed marketing plan describing the Issuer's strategy for marketing a substantial number and proportion of their total sales of Partnership Policies and Certificates to the target population. The Issuer's marketing plan will cover the following issues:
(1) identify the primary and secondary markets and how marketing efforts directed to these markets will result in sales to individuals in the target population;
(2) describe the distribution and sale system to be used, the marketing methods to be used, and how these are appropriate to reach the target population;
(3) detail the resources and materials to be used and how these will result in sales to the target population; and
(4) describe the methods to be used to monitor success in marketing a substantial portion of their Partnership Policies and Certificates to the target population.
(d) Each Issuer will annually, by July 1, submit to the Department of Health Services an assessment of the number and proportion of sales made during the prior year to the target population and an updated market plan for the next year.
(e) Participating Issuers will cooperate in evaluation studies to measure the success of efforts to reach the target population by mailing surveys prepared by The California Partnership for Long-Term Care to a representative sample of their California policy or certificate holders who purchase non-Partnership policies or certificates. Participating insurers shall also submit individual level data on their sales of non-Partnership policies for the prior year to the Department by March 31.
(f) Each prospective Issuer shall each year contribute to a fund to be used for common educational and marketing expenses for reaching the target population in an amount to be negotiated by the California Partnership for Long-Term Care and the participating Issuers. The amount of each participating Issuer's required annual contribution will in no case be lower than $10,000 or the equivalent of $10,000 in “in-kind” services.
(g) Issuers shall make reasonable efforts to determine the appropriateness of a recommended purchase or replacement in accordance with the criteria for the target population and Insurance Code Sections 10234.95, 10235.16, and 10235.17.
(h) Participating Issuers who replace existing policies and certificates with Partnership Policies or Certificates, or who replace Partnership Policies or Certificates, shall forward to the Department of Health Services one copy of the “Notice To Applicants Regarding Replacements of Accident and Sickness or Long-Term Care Insurance” required under the Insurance Code Section 10235.16(b) and (d).
The fact that a Partnership Policy or Certificate provides a Medi-Cal Property Exemption shall not in itself, without otherwise determining the appropriateness of the replacement of current long-term care coverage, be deemed as a transaction that materially improves the individual's position within the meaning of Insurance Code Section 10235.16(d).
(i) Agents shall make reasonable efforts to avoid selling Partnership Policies or Certificates to Medi-Cal beneficiaries unless:
(1) a third party pays the premium; and
(2) both the prospective Policy or Certificate holder and the third party sign a statement acknowledging that the applicant is a Medi-Cal beneficiary but wants private coverage for which the third party will pay the premium.  The statement must be submitted with the application and shall be retained in the Issuer's files.
(j) Issuers shall not issue or deliver a Partnership Long-Term Care Insurance Policy or Certificate with knowledge that the individual is entitled to benefits under another long-term care insurance policy or certificate, unless:
(1) the existing policy is in force under a non-forfeiture benefit provision; or
(2) the existing policy or certificate is being replaced by issuance or delivery of the new Partnership Policy or Certificate.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsections (e), (h) and (i)(2), and new subsections (j)(1) and (j)(2) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsections (a)-(c), (c)(4), (e), (h), (j) and (j)(2) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58052. Marketing and Disclosure Requirements.
Note     •     History

(a) Every Issuer shall submit a copy of any advertisements, educational and/or sales materials intended for use with Partnership Policies or Certificates to the Department of Health Services for review and approval at least thirty (30) days before dissemination. These materials are deemed approved unless the Department of Health Services formally disapproves them within thirty (30) days of receipt.
(b) Policies or Certificates deemed to meet the requirements of this Chapter shall be designated by the presence of the official logo of the California Partnership for Long-Term Care. The official logo shall be printed on every Partnership Policy or Certificate, and all application forms, sales materials, and other information used by the Issuer in conjunction with the sales and marketing of Partnership Policies and Certificates. Subject to the conditions in this Section, all materials bearing this logo must be reviewed and approved by the Department of Health Services.
(c) No long-term care insurance Policy or Certificate may be advertised, solicited, or issued for delivery in this state as a Partnership Long-Term Care Insurance Policy or Certificate unless the Issuer does the following:
(1) provides the Department of Health Services with a written summary of the methods the Issuer will use to alert the consumer, prior to presentation of an application for a Partnership Policy or Certificate, of the availability of consumer information and public education provided by the California Department of Aging's Health Insurance Counseling and Advocacy Program;
(2) uses applications to be signed by the applicant which indicates, that the applicant;
(A) received, prior to the presentation of an application or enrollment form, a complete description of the California Partnership for Long-Term Care in a form and format prepared by the Department of Health Services, including an explanation of Asset Protection provided by the program and how it is achieved and the Health Insurance Counseling and Advocacy Program's toll free consumer information number; and
(B) received, prior to the presentation of an application or enrollment form, a copy of a long-term care insurance shoppers guide approved by the California Partnership for Long-Term Care; and
(C) received a statement regarding Medi-Cal eligibility and benefits that shall be in the following format:

“NOTICE TO APPLICANT
REGARDING MEDI-CAL ELIGIBILITY
I understand that eligibility for Medi-Cal is not automatic; an application is necessary. Once my long-term care insurance begins paying benefits, the insurer will send me quarterly statements showing how much asset protection I have earned. This permanent asset protection is in addition to any asset exemptions available to any Californian applying for Medi-Cal. I understand that should I want to apply for Medi-Cal it is my responsibility to complete the application process. I further understand that before receiving Medi-Cal I will first have to use any additional assets I have not protected. If I become a Medi-Cal beneficiary, I understand that I may have to apply a portion of my income toward the cost of my care, and that Medi-Cal services at that time may not be the same services I was receiving under my private long-term care insurance.

	   (Signature of Applicant(s))”
(D) agrees to the release of information by the Issuer to the State as may be needed to evaluate the California Partnership for Long-Term Care and to provide the necessary verification to document the applicant's Medi-Cal Property Exemption, in the following format:

“CONSENT AND AUTHORIZATION TO RELEASE
INFORMATION
I hereby agree to the release of all records and information pertaining to this long-term care insurance policy or certificate to the State of California for the purposes of documenting my Medi-Cal asset disregard under the Medi-Cal program, evaluating the California Partnership for Long-Term Care, and meeting Department of Health Services or Department of Insurance audit or quality control requirements.
As part of the evaluation of the California Partnership for Long-Term Care, the State is trying to determine how well this program is reaching people with varying amounts of income and assets. You will therefore be asked to fill out a brief survey, prepared by the State, and indicate what range your income and assets fall into.
I understand that the information contained in these records will be used for no purpose other than those stated above, and will be kept strictly confidential by the State of California.

	   (Signature of Applicant(s))”
(E) Received a graphic comparison in a form provided by the California Partnership for Long-Term Care showing the benefit levels of a Policy or Certificate that increases benefits at a compounded annual rate of not less than five percent (5%) over the Policy or Certificate period with a policy or certificate that does not increase benefits. The graphic comparison shall show benefit levels over at least a twenty (20) year period. The comparison will also illustrate the costs the Policy or Certificate holder would pay out of their own income or assets for nursing home care between a Policy or Certificate that does not increase benefits and;
1. an expense reimbursable Policy or Certificate that increases benefits but not premiums over the Policy or Certificate period; and
2. an expense incurred Policy or Certificate that increases premiums and benefits over the Policy or Certificate period.
(F) Received a statement regarding the absence of a Medi-Cal residential care facility benefit if the application is for a Nursing Facility and Residential Care Facility Only Policy or Certificate with the following features:
1. Benefit Eligibility is based on deficiencies in two Activities of Daily Living; and
2. the lifetime maximum benefit is less than seven hundred thirty (730) times the Nursing Facility per diem benefit.
(G) Issuers that market by direct mail response without sales agents will meet the requirements of Subsections (c)(2)(A) and (B), above, by using applications, to be signed by the applicant, that indicate the applicant received the specified publications and information prior to completing the application or enrollment form.
NOTE

Authority cited: Sections 22005 and 22009(a), Welfare and Institutions Code. Reference: Sections 22001, 22003, 22004 and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendments of subsections (a), (c)(2)(A) and (c)(2)(C) and new subsection (c)(2)(G) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer of subsection (c)(2)(E), redesignation of former subsection (c)(2)(F), and amendment of subsection (c)(2)(F02 filed 10-26-94 as an emergency; operative 10-26-94 (Register 94, No. 43). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
4. Certificate of Compliance as to 10-26-94 order transmitted to OAL 2-22-95 and filed 3-30-95 (Register 95, No. 13).
5. Amendment filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58053. Conversion of Policies or Certificates.
Note     •     History

(a) Conversion of Non-Partnership Policies or Certificates to Partnership Policies.
Each participating Issuer which has previously sold non-Partnership long-term care insurance policies or certificates shall make the following provisions for its policy or certificate holders who are not in benefit status or in the process of satisfying the policy or certificate elimination period;
(1) Individual policy holders who hold non-Partnership policies on the date when the participating Issuer's Policy is first available for purchase shall have a right to convert to a Partnership Policy at any time during the period the Issuer is a participating Issuer. However, the policy holder's right to convert may be limited to one-time only if the Issuer elects to provide written notification to each individual policy holder of the right to convert to a Partnership Policy within twelve months (12) of the date the participating Issuer is approved and allows the policy holder a minimum window of at least sixty (60) days to convert to a Partnership Policy.
(2) Each holder of a non-Partnership certificate shall be afforded the right to convert to a Partnership Certificate if the employer or entity who holds the group policy elects to make available a Partnership Certificate to any of its employees or members. If the employer or entity so elects, the holders of non-Partnership certificates shall be provided written notification and allowed, at minimum, a window of at least sixty (60) days to convert to a Partnership Certificate.
(3) Except as provided in (4) below, participating Issuers shall allow current policy or certificate holders to convert to a Partnership Policy or Certificate based upon full underwriting criteria no more stringent than if the policy or certificate holder were applying for coverage under a certified Policy or Certificate.
(4) Participating Issuers shall allow current policy or certificate holders with policies or certificates in effect for less than twenty-four (24) months to convert to a Partnership Policy or Certificate based on underwriting criteria no more stringent than specified in (5) below if either of the following conditions are met:
(A) the current policy or certificate converts nursing home care only and the policy or certificate holder is converting to a Partnership Nursing Facility and Residential Care Facility Only Policy or Certificate with a lifetime maximum benefit that is no greater than the lifetime maximum benefit of the current policy or certificate; or
(B) the current policy or certificate covers home and community-based care and nursing home benefits and the policy or certificate holder is converting to a Partnership Comprehensive Policy or Certificate with a lifetime maximum benefit no greater than the lifetime maximum benefit of the current policy or certificate.
(5) Participating Issuers shall allow current policy or certificate holders who meet the conditions of (4) above to convert to a Partnership Policy or Certificate based on either no underwriting or underwriting that only disqualifies the policy or certificate holder from converting to a Partnership Policy or Certificate if he or she is:
(A) currently in benefit status or satisfying an elimination period; and/or
(B) currently receiving Formal or Informal Long-Term Care Services which would reasonably indicate that the policy or certificate holder would meet or shortly meet (within 1 year) the Insured Event criteria were the policy or certificate holder to be assessed; and/or
(C) currently using ambulation devices or medical equipment that would reasonably indicate that the policy or certificate holder would meet or shortly meet (within 1 year) the Insured Event criteria were he or she to be assessed.
(6) When a participating Issuer replaces the current policy or certificate of its policy or certificate holder with a Partnership Policy or Certificate, the Issuer shall acknowledge the prior coverage by granting a premium credit for each full year the original policy or certificate was in force toward all subsequent premium payments for the replacement Policy or Certificate as specified in Section 58066(b).
(b) Conversion of Partnership Policies and Certificates to Non-Partnership Status. The prospective Issuer of a non-Partnership policy or certificate to a holder of a current Partnership Policy or Certificate shall require the applicant to sign a form stating that he/she recognizes that the new policy or certificate does not conform to certification standards and that the Medi-Cal Property Exemption feature will no longer apply. This provision shall apply regardless of whether the original Partnership Policy or Certificate was issued by the Issuer of the new non-Partnership policy or certificate.
(c) Conversion of Non-tax-qualified Partnership Policies or Certificates to Tax Qualified Partnership Policies or Certificate.
Each participating Issuer which sold Non-tax qualified Partnership long-term care insurance Policies or Certificates after January 1, 1997 shall make the following provision for its policy or certificate holders:
(1) Notify each Policy or Certificate holder of the availability of a Tax-Qualified Partnership Policy or Certificate within ninety (90) days after such a Policy of Certificate first becomes available; and
(2) Allow each Policy or Certificate holder a minimum window of at least sixty (60) days to convert to a Tax-Qualified Partnership Policy or Certificate with similar coverage, a premium based on original issue age, and without new underwriting.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsections (a)(5)(A) and (a)(6), transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of section heading and section filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58054. Conversion of Certified Policies and Certificates to Non-Certified Status.
Note     •     History

NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22004 and 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Repealer filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58055. Issuer's Liability.
Note     •     History

Issuers of Partnership Policies or Certificates approved by the California Partnership for Long-Term Care shall be held liable for intentional or fraudulent material misrepresentation made by any agent, broker, solicitor, or Issuer representative regarding any feature or benefit of a Partnership Policy or Certificate that causes financial harm to the Policy or Certificate holder. In addition to any other applicable requirements of California Insurance Code, the Issuer shall be liable for the difference between the benefit promised by the agent, broker, solicitor, or other Issuer representative and the actual benefit provided under the Policy or Certificate. The liability of Issuers shall not diminish or otherwise mitigate the statutory obligations and liabilities of licensed agents and brokers, solicitors, or other Issuer representatives.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22001, 22003, 22004, 22005 and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of section, transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58056. Agent Training.
Note     •     History

(a) Issuers shall provide written evidence to the Department of Insurance that procedures are in place to assure that no agent, broker, solicitor, or individual will be authorized to market, sell, solicit, or otherwise contact any person for the purpose of marketing a Partnership Long-Term Care Insurance Policy or Certificate unless the agent, broker, solicitor, or individual has completed eight (8) hours of education on long-term care in general that meet the requirements of Section 10234.93, Chapter 2.6 of Part 2 of the Insurance Code and eight (8) hours of training in a live classroom setting on the California Partnership for Long-Term Care in particular. Such assurances shall be in the form of a document signed by the agent, broker, solicitor, or individual and a representative of the company attesting to the completion of the required training by the agent, broker, solicitor, or individual and submitted to the Department of Insurance.
(b) Issuers shall provide written evidence to the Department of Insurance that procedures are in place to assure that no agent, broker, solicitor, or individual will be authorized to market, sell, solicit, or otherwise contact any person for the purpose of marketing a Partnership Long-Term Care Insurance Policy or Certificate unless, prior to each license renewal, the agent, broker, solicitor, or individual completes eight (8) hours of  education in a live classroom setting on the California Partnership for Long-Term Care.  This educational requirement is in addition to the requirements of Section 10234.93, Chapter 2.6 of Part 2 of the Insurance Code, which the agent must complete prior to taking the 8 hour training on the California Partnership for Long-Term Care.  For licensees issued a license after January 1, 1992, the Partnership education requirement shall be met by completing four (4) hours of such education in each licensure year.  Assurances that the education requirements have been met shall be in the form of a document signed by the agent, broker, solicitor, or individual and a representative of the company attesting to the completion of the required training by the agent, broker, solicitor, or individual and submitted to the Department of Insurance.
(c) Issuers shall use only curriculum and instructors approved by the Department of Insurance and the California Partnership for Long-Term Care. 
(d) The curriculum for training courses on the California Partnership for Long-Term Care used for continuing education shall be submitted for approval to the Department of Insurance and to the California Partnership for Long-Term Care on an annual basis no later than January 1.
(e) Issuers that are self-funded and not otherwise subject to compliance with the California Insurance Code shall be exempt from the reporting requirements of this Section.  Self-funded Issuers shall submit to the California Partnership for Long-Term Care written evidence that individuals authorized to market, sell, solicit, or otherwise contact persons for the purpose of marketing Certified Policies or Certificates have completed training equivalent to the requirements of this Section. Self-funded Issuers shall also use only curriculum and instructors approved by the California Partnership for Long-Term Care.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22003 and 22004, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of  subsections (a)-(d) and new subsection (e) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsections (a) and (b) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58057. Termination of Issuer Participation.
Note     •     History

(a) Approval of the long-term care Partnership Policy or Certificate of each Issuer is conditional upon the Issuer fully complying with all requirements of this Chapter. The Director of the Department of Health Services may disqualify any Issuer from participation in the California Partnership for Long-Term Care, and may remove the approval status of any Partnership Policy or Certificate issued by an Issuer, whenever the Issuer fails to comply with any and all requirements of this Chapter.
(b) Any disqualification of an Issuer from participation in the California Partnership for Long-Term Care, or the removal of the certification of any Partnership Policy or Certificate, shall be after notice and hearing conducted in accordance with Chapter 5, Part 1, Division 3, Title 2 of the Government Code (sections 11500 et seq.).
(c) The Director may temporarily suspend any Issuer from participation in the California Partnership for Long-Term Care prior to a hearing when there is a substantial probability that federal financial participation will be adversely impacted by the Department's continued certification of the Issuer's Policy or Certificate or by the Issuer's continued participation in the California Partnership for Long-Term Care, or where the activities of the participating Issuer are either detrimental to the public interest or adversely impact other participating Issuers, Partnership Policy or Certificate holders, or the California Partnership for Long-Term Care. The Director shall notify the Issuer of any temporary suspension, and the effective date thereof, and at the same time shall serve the Issuer with a written description of the basis for the suspension. Upon the receipt of a notice of defense from the Issuer, the Director shall set the matter for hearing within 30 days after receipt of such notice. The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination on the merits. The temporary suspension shall be deemed vacated if the Director fails to make a determination on the merits within 60 days after the hearing was completed.
(d) If the Department of Health Services withdraws from the California Partnership for Long-Term Care or removes the certification status of any long-term care insurance Policy or Certificate, a Policy or Certificate holder who purchased a Policy or Certificate while the Policy or Certificate was certified will retain his or her right to the Medi-Cal Property Exemption. An individual who applies for any policy or certificate after the removal of certification status will have no right to the Medi-Cal Property Exemption.
(e) Any Issuer whose approval to market Partnership Policies or Certificates is removed by the Director or any issuer who discontinues selling a Partnership-approved Policy or Certificate, shall continue to comply with all requirements of this Chapter including the documentation and reporting requirements set forth in Article 6.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22001, 22003(b), 22005 and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsections (a)-(c) and new subsection (e) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58058. Conditions Governing Discontinuance of Sales by the Issuer.
Note     •     History

Pursuant to the authority granted by Welfare and Institutions Code Section 22005(e) and Insurance Code Section 12921, the following shall apply:
(a) No Partnership Long-Term Care Insurance Policy or Certificate shall be sold, transferred, or otherwise ceded to another Issuer without first having obtained approval from the Commissioner of the Department of Insurance.
(b) The Commissioner of the Department of Insurance shall not approve any sale, transfer, or ceding of any Partnership Long-Term Care Insurance Policy or Certificate if such action would result in premium increases for either the transferred Policy or Certificate holders or the Partnership Policies or Certificates that were not transferred, unless the Commissioner determines such a sale, transfer, or ceding to be in the public interest. The provision does not apply to:
(1) any reinsurance agreement or transaction in which the ceding Issuer continues to remain directly liable for its insurance obligations or risks under the contracts of insurance subject to the reinsurance agreement; and
(2) the ceding Issuer remains responsible for complying with all requirements of this Chapter and those imposed by Insurance Code Sections 1070 et seq. and 1090 et seq.
(c) Self-funded Issuers not subject to compliance with the California Insurance Code are exempt from the requirements of this Section.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of first paragraph and new subsection (c) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsections (a) and (b) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
Article 3. Benefits and Provisions for Partnership Policies and Certificates
§58059. Required Benefits for Partnership Policies and Certificates.
Note     •     History

No long-term care insurance policy or certificate may be approved, advertised, or solicited, in this state as a Partnership Long-Term Care Insurance Policy or Certificate which does not meet the standards of Article 3, and which has not been certified by the Department of Health Services and approved by the Commissioner of the Department of Insurance as a Partnership Long-Term Care Insurance Policy or Certificate. A Partnership Long-Term Care Insurance Policy or Certificate shall contain the following benefits and features:
(a) coverage for either nursing facility and Residential Care Facility only, or Comprehensive Benefits. Policies or Certificates covering only nursing facility and Residential Care Facility benefits shall display prominently on page one (1) of the Policy or Certificate:

“NURSING FACILITY AND RESIDENTIAL CARE
FACILITY ONLY” POLICY [CERTIFICATE]
Policies or Certificates covering Nursing Facility, Residential Care Facility, and home and community-based benefits shall display prominently on page one (1) of the Policy or Certificate:

“COMPREHENSIVE” POLICY [CERTIFICATE]
(b) a lifetime maximum benefit that is set in dollars and not in days or other units of care;
(c) a lifetime maximum benefit which at the time of purchase is equivalent in dollars to at least three hundred sixty-five (365) times seventy percent (70%) of the Average Daily Private Pay Rate for Nursing Facilities;
(d) if a Partnership Nursing Facility and Residential Care Facility Only Policy or Certificate, it shall provide a Residential Care Facility as well as a nursing facility benefit;
(e) if a Partnership Comprehensive Benefits Policy or Certificate, it shall provide a Respite Care, a Residential Care Facility, and a Nursing Facility Benefit as well as the following home and community-based care benefits:
(1) Home Health Care;
(2) Adult Day Health/Social Care;
(3) Personal Care Services;
(4) Homemaker Services; and
(5) Hospice Care.
The definitions of these services must be identical to those contained in Article 1, and must appear verbatim in any Partnership Policy or Certificate.
(f) Care Management services by a Care Management Provider Agency. Changes for the initial assessment and individualized Plan of Care provided by a Care Management Provider Agency shall not be considered as a claim cost. Charges for coordinating the provision of care and monitoring services can be considered as a claim cost. Insurance benefit payments can count toward the Medi-Cal Property Exemption to the extent they are for Long-Term Care Services Countable Toward Medi-Cal Property Exemption delivered to insured individuals and are part of an individualized Plan of Care approved by the State-approved Care Management Provider Agency as the result of a face-to-face assessment conducted by the Care Management Provider Agency (or its Qualified Official Designee).
(g) the Benefit Eligibility definition (appropriate for the type of Policy or Certificate), and the related definitions for Activities of Daily Living, Severe Cognitive Impairment, Hands-on Assistance, Standby Assistance, Substantial Supervision, Licensed Health Care Practitioner, Plan of Care, and Qualified Long-Term Care Services used to determine eligibility for benefits and when benefits begin counting toward the Medi-Cal Property Exemption. These definitions must be identical to those contained in Article 1, and must appear verbatim in any Partnership Policy or Certificate, except that policies or certificates issued by Issuers that are self-funded and not otherwise subject to compliance with the California Insurance Code may use in a Partnership Policy or Certificate different criteria for determining eligibility for policy benefits so long as the Policy or Certificate complies with the requirements of Section 7702B of the Internal Revenue Code, and so long as the criteria used are approved by the Department of Health Services.
(1) The Partnership will prescribe or approve the precise instruments to be used to determine if a Policy or Certificate holder has met the Benefit Eligibility definition. The Mental Status Questionnaire (MSQ), and the Folstein Mini Mental State Examination will be used to assess Severe Cognitive Impairment. Policy and Certificate holders will be deemed to have met the Severe Cognitive Impairment criteria for the Benefit Eligibility by:
(A) failing to answer correctly at least seven of the ten questions on the MSQ test; or,
(B) exhibiting specific behavior problems requiring daily supervision, including but not limited to wandering, abusive or assaultive behavior, poor judgment or uncooperativeness which poses a danger to self or others, and extreme or bizarre personal hygiene habits, and failing to answer correctly at least four questions on the MSQ, or achieving a score of 23 or lower on the Folstein Mini Mental State Examination.
(2) To determine Benefit Eligibility based on Activities of Daily Living,
(A) In a Comprehensive Policy or Certificate 2 Activities of Daily Living shall be used for home and community-based and Residential Care Facility benefits and either 2 or 3 Activities of Daily Living shall be used for the Nursing Facility benefit.
(B) In a Nursing Facility and Residential Care Facility Only Policy or Certificate, either 2 or 3 Activities of Daily Living shall be used.
(h) either the Elimination Period definition contained in Section 58010(a) must appear verbatim, or the definition specified in Section 58010(b) which defines the number of days the insured must be disabled before the benefits are covered by the Policy or Certificate, must be used  in any Partnership Policy or Certificate. The Elimination Period shall not be less than thirty days (30) for Partnership Policies and Certificates with lifetime maximum benefits which at time of purchase are equivalent in dollars to less than seven hundred and thirty (730) times the Average Daily Private Pay Rate for Nursing Facilities. An Elimination Period of not more than ninety days (90) shall be used in Partnership Policies and Certificates with lifetime maximum benefits which at time of purchase are equivalent in dollars to at least seven hundred and thirty (730) times the Average Daily Private Pay Rate for Nursing Facilities;
(i) upon the issue date, if issued as an expense reimbursable Policy;
(1) a nursing facility per diem benefit of no less than seventy percent (70%) of the Average Daily Private Pay Rate for Nursing Facilities, rounded to the nearest multiple of ten dollars ($10);
(2) a Residential Care Facility benefit that is not less than seventy percent (70%) and not more than one hundred percent (100%) of the nursing facility per diem benefit contained in the Partnership Policy or Certificate; 
(3) a Respite Care Benefit in Policies or Certificates with Comprehensive Benefits that is not subject to the Elimination Period and not less than a total of 21 days in any calendar year for care in a Nursing Facility, Residential Care Facility, or in a home or a community-based program. The Respite Care benefit is payable at the daily and monthly maximum benefit amounts applicable for the type of service being used to provide the Respite Care; and
(4) monthly home and community-based care benefits, for Partnership Policies or Certificates with Comprehensive Benefits, of at least fifty percent (50%) and no more than one hundred (100%) of the nursing facility per diem benefit provided in the Partnership Policy or Certificate, multiplied by thirty. The home and community-based care benefits shall be issued in increments of ten percent (10%).  Insurance products approved for residents in continuing care retirement communities are exempt from this provision;
(j) upon the issue date, if issued on an expense incurred basis, benefits that pay no less than seventy percent (70%) and no more than one hundred (100%) of the cost incurred by the insured for all covered services;
(k) an inflation protection provision which satisfies one (1) of the following criteria:
(1) if the Partnership Policy or Certificate is issued on an expense incurred basis, as specified in Section 58059(j), the lifetime maximum benefit must automatically increase at five percent (5%) each year over the previous year for each year that the contract is in force with the following exception: the Partnership Policy or Certificate may be issued with a lifetime maximum benefit that automatically increases each year by a fixed amount equal to five percent (5%) of the original amount issued provided that the applicant is seventy (70) years of age or over at the time the application is taken, the applicant is first offered an inflation protection provision that automatically increases by five percent (5%) each year over the previous year for each year that the contract is in force, and the applicant is given a graph which illustrates the difference in policy benefits payable between the two inflation protection provisions and the cost of care; or
(2) if the Partnership Policy or Certificate is issued on an expense reimbursable basis, the nursing facility per diem benefit, the lifetime maximum benefit, and the monthly home and community-based care benefit if a Comprehensive Benefits Policy or Certificate, must automatically increase at five percent (5%) each year over the previous year for each year that the contract is in force, with the following exception: the Partnership Policy or Certificate may be issued with a nursing facility per diem benefit, a lifetime maximum benefit, and a monthly home and community-based care benefit if a Comprehensive Benefits Policy or Certificate, that automatically increases by five percent (5%) each year over the amount initially issued provided that the applicant is seventy (70) years of age or over at the time the application is taken, the applicant is first offered an inflation protection provision that automatically increases by five percent (5%) each year over the previous year for each year that the contract is in force, and the applicant is given a graph which illustrates the difference in policy benefits payable between the two inflation protection provisions;
(l) a Shortened Benefit Period Non-Forfeiture Benefit, or a provision that gives the Policy or Certificate holder the option to elect, at the time the Partnership Policy or Certificate is issued, to pay an extra premium for a rider providing such a benefit. The Shortened Benefit Period Non-Forfeiture Benefit must have the following features:
(1) eligibility begins no later than after ten (10) years of premium payments;
(2) the lifetime maximum benefit is no less than the dollar equivalent of three (3) months of care at the nursing facility per diem benefit contained in the Partnership Policy or Certificate and, in the case of an expense reimbursable Policy or Certificate, the nursing facility per diem and monthly home and community-based care benefit, if a Comprehensive Benefits Policy or Certificate, are no less than the benefits already contained in the Policy or Certificate.
(3) the lifetime maximum benefit, and, in the case of an expense reimbursable Policy or Certificate, the nursing facility per diem benefit, and the monthly home and community care benefit if a Comprehensive Benefits Policy or Certificate, increases each year in the same amount and is computed in the same manner as the inflation protection provision issued with the Policy or Certificate as specified in subsection (k) of this section;
(4) the lifetime maximum benefit may be reduced by the amount of any claims already paid;
(5) Cash back, extended term, and reduced paid-up forms of non-forfeiture benefits will not be allowed. Other non-forfeiture benefits that meet the requirements of this Section may be allowed if they are acceptable to the Department of Health Services and the Department of Insurance.
(m) Self-funded Issuers not subject to California Insurance Code are exempt from: 
(1) the requirement of Subsection (e) that the definition for Homemaker Services be used verbatim in each Comprehensive Policy and Certificate as long as the definition conforms to Section 58017; and
(2) the requirement of Subsection (i)(2) to include a Residential Care Facility Benefit that is no less than seventy percent (70%) of the nursing facility per diem benefit contained in the Partnership Policy or Certificate, as long as a Residential Care Facility Benefit is included at no less than fifty percent (50%) of the nursing facility per diem benefit contained in the Partnership Policy or Certificate.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005.1, Welfare and Institutions Code.
HISTORY

1. New article 3 and section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsections (c), (i)(3), (j)(1)-(j)(3), (k)(2), and (l)(4), repealer of subsections (k)(2)(A)-(B), and new subsection (l)(6) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsection (l) filed 10-26-94 as an emergency; operative 10-26-94 (Register 94, No. 43). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
4. Certificate of Compliance as to 10-26-94 order transmitted to OAL 2-22-95 and filed 3-30-95 (Register 95, No. 13).
5. Amendment of subsections (c), (i)(1), (j), (k)(1)-(2) and (l)(3) filed 9-6-95 as an emergency; operative 9-6-95. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 95, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-96 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of History 5 (Register 95, No. 42).
7. Amendment of subsections (c), (i)(1), (j), (k)(1)-(2) and (l)(3) refiled 1-2-96 as an emergency; operative 1-2-96 (Register 96, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 9-6-95 order, including amendment of subsections (k)(1)-(2) and (l)(3), transmitted to OAL 4-3-96 and filed 5-2-96 (Register 96, No. 18).
9. Amendment filed 1-23-97 as an emergency; operative 1-23-97 (Register 97, No. 10). A Certificate of Compliance must be transmitted to OAL by 5-23-97 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of History 9 (Register 97, No. 27).
11. Certificate of Compliance as to 1-23-97 order transmitted to OAL 5-21-97 and filed 7-1-97 (Register 97, No. 27).
12. Amendment of article heading, section heading and section filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
14. Amendment of subsections (h), (i)(2) and (m), new subsections (m)(1)-(2) and amendment of Note filed 5-30-2001 as an emergency; operative 5-30-2001. A Certificate of Compliance must be transmitted to OAL by 9-27-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 2001, No. 22).
15. Certificate of Compliance as to 5-30-2001 order transmitted to OAL 9-24-2001 and filed 10-31-2001 (Register 2001, No. 44).
§58060. Required Provisions for Partnership Policies and Certificates.
Note     •     History

Partnership Long Term Care Policies or Certificates shall contain the following provisions:
(a) a provision that benefits may not be paid in excess of actual charges.
(b) a provision that the long-term care services covered by the Partnership Policy or Certificate may not be delivered by a member of the individual's family, unless:
(1) the family member is a regular employee of an organization which is providing the services; and
(2) the organization receives the payment for the services; and
(3) the family member receives no compensation other than the normal compensation for employees in his or her job category.
(c) a provision to protect against unintentional lapse that provides the following:
(1) No individual long-term care Policy or Certificate shall be issued until the Issuer has received from the applicant either of the following:
(A) A written designation of at least one Authorized Designee, in addition to the applicant, who is to receive notice of lapse or termination of the Policy or Certificate for nonpayment of premium.
(B) A written waiver dated and signed by the applicant electing not to designate additional persons to receive notice.
(2) The applicant has the right to designate at least one Authorized Designee who is to receive the notice of termination, in addition to the insured. Designation shall not constitute acceptance of any liability on the third party for services provided to the insured. The form used for the written designation must provide space clearly designated for listing at least one Authorized Designee. The designation shall include each Authorized Designee's full name and home address. The Issuer shall notify the insured of the right to change this written designation, no less often than once every two years. In the case of an applicant who elects not to designate an additional person, the waiver shall state:

“Protection Against Unintended Lapse.
I understand that I have the right to designate at least one Authorized Designee other than myself to receive notice of lapse or termination of this long-term care insurance policy for nonpayment of premium. I understand that notice will not be given until 30 days after a premium is due and unpaid. I elect not to designate any person to receive this notice.”
(3) When the Policy or Certificate holder pays the premium for a Partnership Long-Term Care Insurance Policy or Certificate through a payroll or pension deduction plan, the requirements contained in paragraph (1) need not be met until 60 days after the Policy or Certificate holder is no longer on that deduction payment plan. The application or enrollment form for a Partnership Long-Term Care Insurance Policy or Certificate shall clearly indicate the deduction payment plan selected by the applicant.
(4) No individual long-term care Policy or Certificate shall lapse or be terminated for nonpayment of premium unless the Issuer, at least 30 days prior to the effective date of the lapse or termination, gives notice to the insured and to those Authorized Designees named pursuant to paragraph (1), at the address provided by the insured for purposes of receiving notice of lapse or termination. Notice shall be given by first-class United States mail, postage prepaid, no less than 30 days after a premium is due and unpaid. Notice shall be deemed to have been given as of five days after the date of mailing.
(5) In addition to the requirement in Subsection (c)(1), a Partnership Long-Term Care Insurance Policy or Certificate shall include a provision which, in the event of lapse, provides for reinstatement of coverage, if the Issuer is provided with proof of the insured's Cognitive Impairment or loss of functional capacity. This option shall be available to the insured if requested within five months after termination and shall allow for the collection of past due premium, where appropriate. The standard of proof of Severe Cognitive Impairment or loss of functional capacity shall not be more stringent than the benefit eligibility criteria on Severe Cognitive Impairment or the loss of functional capacity contained in the Policy or Certificate.
(d) a provision that benefits shall only be paid after the payment of all other benefits to which the Policy or Certificate holder is otherwise entitled, excluding Medi-Cal. The Issuer shall make reasonable efforts to determine whether benefits are available from other policies or certificates or from Medicare. Benefits are not payable for Medicare co-payments and deductibles.
(e) a statement on the outline of coverage, the Policy or Certificate application, and the Policy or Certificate in bold type and in a separate box as follows:
“THE BENEFITS PAYABLE BY THIS POLICY [CERTIFICATE] QUALIFY FOR MEDI-CAL ASSET PROTECTION UNDER THE CALIFORNIA PARTNERSHIP FOR LONG-TERM CARE. 
ELIGIBILITY FOR MEDI-CAL IS NOT AUTOMATIC. IF AND WHEN YOU NEED MEDI-CAL, YOU MUST APPLY AND MEET THE ASSET STANDARDS IN EFFECT AT THAT TIME. UPON BECOMING A MEDI-CAL BENEFICIARY, YOU WILL BE ELIGIBLE FOR ALL MEDICALLY NECESSARY BENEFITS MEDI-CAL PROVIDES AT THAT TIME, BUT YOU MAY NEED TO APPLY A PORTION OF YOUR INCOME TOWARD THE COST OF YOUR CARE. MEDI-CAL SERVICES MAY BE DIFFERENT THAN THE SERVICES RECEIVED UNDER THE PRIVATE INSURANCE.
(f) a provision that, in the event a non-Medicaid national or State long-term care program is created through public funding that substantially duplicates benefits covered by Partnership Policies or Certificates, the Policy or Certificate holder will be entitled to be compensated as follows:
(1) for Policies or Certificates issued before January 1, 1997, or for Policies or Certificates issued after January 1, 1997 that are not federally tax-qualified, the Policy or Certificate holder will be entitled to select either a partial refund of premiums paid or a reduction in future premiums. An actuarial method for determining the premium refunds and premium reductions will be mutually agreed upon by the Department of Insurance and the Issuers. The amount of the premium refunds and reductions to be made by each Issuer will be based on the extent of the duplication of covered benefits, the amount of past premium payments, and claims experience. Each participating Issuer's premium refund and reduction plans shall be filed and approved by the Department of Insurance.
(2) for Policies or Certificates issued after January 1, 1997, that are federally tax-qualified, the Policy or Certificate holder will be entitled to select either a reduction in future premiums or an increase in future benefits. An actuarial method for determining the premium reductions and increases in future benefits will be mutually agreed upon by the Department of Insurance and the Issuers. The amount of the premium reductions and benefit increases to be made by each Issuer will be based on the extent of the duplication of covered benefits, the amount of past premium payments and claims experience. Each participating Issuer's premium reduction and benefit increase plans shall be filed and approved by the Department of Justice.
(g) a provision for a waiver of premium as specified in Section 58065(d).
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including repealer of subsection (a) and subsection relettering, and amendment of newly designated subsections (c)(5) and (e) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment filed 1-23-97 as an emergency; operative 1-23-97 (Register 97, No. 10). A Certificate of Compliance must be transmitted to OAL by 5-23-97 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 97, No. 27).
5. Certificate of Compliance as to 1-23-97 order transmitted to OAL 5-21-97 and filed 7-1-97 (Register 97, No. 27).
6. Amendment of section heading, first paragraph and subsections (b), (c)(3), (c)(5) and (d)-(f) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58061. Required Provisions to Allow the Increase or Decrease of Benefits in Partnership Policies or Certificates.
Note     •     History

Partnership Long-Term Care Insurance Policies or Certificates shall contain:
(a) a provision that gives the Policy or Certificate holder the option to elect, no less frequently than on each anniversary date after the Policy or Certificate is issued, to pay an extra premium for one or all of the following three riders:
(1) a rider for a Nursing Facility and Residential Care Facility Only expense reimbursable Policy or Certificate to increase the amount of the nursing facility per diem benefit, so long as the increase in the per diem amount is issued in multiples of ten (10) in ten dollar ($10) increments;
(2) a rider for a Comprehensive Benefit expense reimbursable Policy or Certificate to increase the amount of the nursing facility per diem and the monthly home and community-based care benefit, so long as the increase in the nursing facility per diem amount is issued in multiples of ten (10) in ten dollar ($10) increments and the monthly home and community-based care benefit is issued in multiples of ten (10) and in the same ratio to the nursing facility per diem as the ratio in the original Policy or Certificate;
(3) a rider for an expense reimbursable or expense incurred Policy or Certificate to increase the lifetime maximum benefit of either a Nursing Facility and Residential Care Facility Only or a Comprehensive Benefits Policy or Certificate.
The Issuer may require the Policy or Certificate holder to undergo new underwriting, in addition to the payment of an additional premium, to qualify for the rider(s) elected. The Issuer may restrict the aggregate amount of additional coverage a Policy or Certificate holder may acquire by rider(s) to the maximum coverage allowed by this Section or the maximum the Issuer allows when issuing a new Partnership Policy or Certificate, whichever is less. The Issuer may use the same age restrictions for the issuance of any rider governed by this section as the age limits, if any, that the Issuer uses for the issuance or delivery of a new Partnership Policy or Certificate.  The extra premium for the increased coverages elected by the Policy or Certificate holder shall be calculated in accordance with Section 58066(a).
(b) a provision that, in the event the Issuer develops new benefits and/or provisions not included in its original Partnership Policy or Certificate or markets a replacement Policy, the Issuer will grant current holders of its Partnership Policies or Certificates who are not in benefit or within the Elimination Period the following rights:
(1) they will be notified by the Issuer of the availability of the new benefits and/or provisions within twelve months;
(2) they will be afforded an opportunity by the Issuer to acquire the new benefits and/or provisions in one of the following ways:
(A) by adding a rider to the original Partnership Policy or Certificate, in which case a separate premium will be calculated for the rider based on the Policy or Certificate holder's attained age; the premium for the original Policy or Certificate will remain unchanged based on age at issuance;
(B) by replacing their existing Partnership Policy or Certificate with a subsequent Partnership Policy or Certificate issued by the current Issuer, in which case consideration for past insured status shall be recognized by giving a five percent (5%) premium credit for each full year the original Partnership Policy or Certificate was in force toward all subsequent premium payments for the replacement Partnership Policy or Certificate as specified in Section 58066(b);
(C) by replacing their existing Partnership Policy or Certificate with a subsequent Partnership Policy or Certificate with a premium based on the insured's original issue age.
(3) they may have to undergo new underwriting, but the underwriting can be no more restrictive than if the Policy or Certificate holder were applying for a new Partnership Policy or Certificate.
(4) the Issuer of Partnership group Policies must offer current group Policy holders the opportunity to have the new benefits and/or provisions extended to current Certificate holders, but the Issuer is relieved of the obligations imposed by this provision if the holder of the group Policy declines the Issuer's offer.
(c) a provision that gives the Policy or Certificate holder a right, exercisable any time after the first year, to retain a Policy or Certificate meeting all the requirements of certification while lowering the premium subject to the following conditions:
(1) the Policy or Certificate holder of an expense reimbursable Policy or Certificate may:
(A) reduce the nursing facility per diem and the monthly home and community-based care benefit (but not below the minimum specified in Section 58050(a) or (b)), and/or;
(B) reduce the lifetime maximum benefit, but not below the dollar equivalent of one hundred eight-two (182) times seventy percent (70%) of the Average Daily Private Pay Rate for Nursing Facilities;
(2) the Policy or Certificate holder of an expense incurred Policy may;
(A) reduce the lifetime maximum benefit, but not below the dollar equivalent of one hundred eight-two (182) times seventy percent (70%) of the Average Daily Private Pay Rate for Nursing Facilities;
(3) the Policy or Certificate holder of either an expense reimbursable or expense incurred Comprehensive Benefits Policy or Certificate may convert to a Nursing Facility and Residential Care Facility Only Policy or Certificate with per diem not less than the minimums specified in Section 58050(b) and a lifetime maximum benefit no less than the dollar equivalent of one hundred eight-two (182) times seventy percent (70%) of the Average Daily Private Pay Rate for Nursing Facilities;
(4) the reduced nursing facility per diem benefit, lifetime maximum benefit, and, if a Comprehensive Benefits Policy or Certificate, monthly home and community-based care benefit, of an expense reimbursable Policy or Certificate, must increase each year in the same amount and be computed in the same manner as the inflation protection provision issued with the original Policy or Certificate as specified in subsection (k) of Section 58059;
(5) the lower premium for any reduced coverage Policy or Certificate shall be calculated in accordance with 58066(c);
(6) in the event a Policy or Certificate is about to lapse, the Issuer shall advise the Policy or Certificate holder of the options to lower the premium by reducing coverage and of the premiums, applicable to the reduced coverage; if the Policy or Certificate has a Non-Forfeiture Benefit rider, the Issuer shall also advise the Policy or Certificate holder that the the original policy may be kept in force for a shortened benefit period under the Non-Forfeiture Benefit rider.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsections (a), (a)(2), (a)(3), (b)(2)(B), (c)(5) and (c)(6), incorporation (and amendment) of former subsection (a)(4) into subsection (a)(3), and repealer of subsection (a)(5) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsections (c)(1)(B), (c)(2)(A) and (c)(4) filed 9-6-95 as an emergency; operative 9-6-95. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 95, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-4-96 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 95, No. 42).
5. Amendment of subsections (c)(1)(B), (c)(2)(A) and (c)(4) refiled 1-2-96 as an emergency; operative 1-2-96 (Register 96, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-6-95 order, including amendment of subsection (c)(4), transmitted to OAL 4-3-96 and filed 5-2-96 (Register 96, No. 18).
7. Amendment of section heading and section filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58062. Benefits and Provisions Allowable in Partnership Policies or Certificates.
Note     •     History

Issuers are allowed to include the following optional benefits and provisions in Partnership Long-Term Care Policies and Certificates;
(a) additional benefits over the minimum benefits required in Comprehensive Benefit Policies or Certificates by Section 58059(e), so long as these benefits are for Long-Term Care Services Countable Toward the Medi-Cal Property Exemption.
(b) a provision to prorate home and community-based care benefits based on the percentage of the month a Policy or Certificate holder was eligible for benefits.
(c) a provision in expense reimbursable Policies and Certificates that requires Policy or Certificate holders to pay co-payments, not to exceed twenty percent (20%), toward the cost of any home and community-based care benefits received in one day that exceed $50. 
(d) the use of a Preferred Provider Organization (PPO) to deliver covered benefits and/or the use of a Point-of-Service reimbursement schedule that provides different reimbursement rates for Policy or Certificate holders who go out-of-plan to receive covered benefits, provided that the reimbursement rates at least meet the minimum benefits specified in Section 58050.
(e) a provision that institutional and home and community-based care benefits need not be paid on the same day.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (d) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of section heading, first paragraph and subsections (a) and (c), repealer of subsection (d) and subsection relettering filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58063. Prohibited Provisions in Partnership Policies or Certificates.
Note     •     History

The following provisions may not be included in a Partnership Policy or Certificate:
(a) a restoration of benefits;
(b) a second Elimination Period;
(c) any cap on the daily or weekly (as opposed to monthly) home and community-based care benefits.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (c) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of section heading and first paragraph filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58064. Information for Establishing Allowable Benefits and Minimum and Maximum Benefits.
Note     •     History

The Department of Health Services shall distribute the following to assist in implementing the requirements of this Chapter.
(a) a Long Term Care Issuer's Bulletin to participating Issuers. This Long Term Care Issuer's Bulletin, to be issued in November of each year, will establish the Average Daily Private Pay Rate for Nursing Facilities for the upcoming calendar year and establish the minimum benefits that may be covered in all Partnership Policies and Certificates issued or delivered in the upcoming calendar year; and,
(b) a list of Long-Term Care Services Countable Toward the Medi-Cal Property Exemption as identified in Section 58003.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (b) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsection (a) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
Article 4. Premium Provisions
§58065. Basic Premium Provisions.
Note     •     History

(a) The initial premiums for Partnership Policies and Certificates issued or delivered shall either:
(1) remain level for the life of the Policy or Certificate; or,
(2) increase annually at the rate of no more than five percent (5%) for each year the Partnership Policy or Certificate is in force, in order to provide inflation protection.
(b) The initial premiums for all Partnership Policies and Certificates, whether such Policies or Certificates were issued or delivered with premiums that remain level for the life of the Policy or Certificate or that increase annually at a rate no more than of five percent (5), shall be:
(1) based on the age of the applicant; and,
(2) based on premium rates for which there is a reasonable expectation that rate increases will not be necessary in the future. The Department of Health Services shall not certify a Policy or Certificate and the Department of Insurance shall not approve the premium rates unless a determination is made, based on a review of the Insurer's rate experience with prior offerings, financial condition, and an actuarial review of the rates and assumptions by the Department of Insurance, that there is a reasonable expectation that no rate increase on the Policy or Certificate will be necessary over the life of the Policy or Certificate.
(c) The actuarial filings and premium schedules for indemnity Policies and Certificates shall be presented in units of ten dollars ($10).
(d) The premium for the original Partnership Policy or Certificate as well as any optional rider(s) in force shall be waived during all periods during which the Policy or Certificate holder is receiving nursing facility or Residential Care Facility benefits under the Policy or Certificate. Issuers may elect to waive premiums when home and community-based care services are received.
(e) Any Issuer offering a guarantee of premium on a long-term care Policy or Certificate must offer the guarantee for a period of no less than ten (10) years.
(f) Nothing in this subdivision shall preclude an Issuer from reducing premiums or using a Policy form or Certificate form in which the premiums are no longer required to be paid after a specified period of time.
(g) Self-funded Issuers not subject to compliance with the California Insurance Code are exempt from the requirements of Subsection (b)(2), above.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005.1, Welfare and Institutions Code.
HISTORY

1. New article 4 and section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (g) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsections (a), (a)(2), (b), (b)(2) and (d) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
5. Amendment of subsection (b)(2) and amendment of Note filed 5-30-2001 as an emergency; operative 5-30-2001. A Certificate of Compliance must be transmitted to OAL by 9-27-2001 or emergency language will be repealed by operation of law on the following day. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 2001, No. 22).
6. Certificate of Compliance as to 5-30-2001 order transmitted to OAL 9-24-2001 and filed 10-31-2001 (Register 2001, No. 44).
§58066. Provisions Governing Premiums When Benefits Increase or Decrease.
Note     •     History

(a) The extra premiums for the optional rider(s) that add a Shortened Benefit Period Non-Forfeiture Benefit described in Section 58059(l) and/or that increase the amounts of the covered benefits of the Policy or Certificate as provided in Section 58061(a)(1)(2) and (3) shall be in the same form as the original Policy--either remain level for the life of the Policy or increase annually at no more than five percent (5%). The extra premiums for the optional rider(s) may be based on the attained age of the Policy or Certificate holder at the time the rider is elected. Premiums for the optional riders shall be filed and approved by the Department of Insurance at the time rates are filed initially. For the optional riders allowed in Section 58061(a)(1) and (2), the premiums for each additional $10 unit of a covered benefit shall be the rate that corresponds to the current attained age of the Policy or Certificate holder as such rates were filed initially and approved by the Department of Insurance. For the optional riders allowed in Section 58061(a)(3), the premium for the increase in the lifetime maximum benefit shall be the difference in premiums between the new lifetime maximum benefit elected and the lifetime maximum benefit of the current Policy or Certificate, based on the rates filed initially and approved by the Department of Insurance and the current attained age of the Policy or Certificate holder. The premium for the underlying coverage of the original Policy or Certificate shall not be changed by the addition of one or more riders and shall continue to be based on the age of the Policy or Certificate holder on the date when the original Policy or Certificate was issued or delivered.
(b) When an Issuer replaces a non-Partnership or a Partnership Policy or Certificate it has previously issued  with either a new non-Partnership  or Partnership Policy or Certificate, the Issuer shall recognize past insured status by granting a premium credit that meets the requirements of Insurance Code 10234.87, and satisfies the following conditions:
(1) a credit equal to or not less than five percent (5%) of the premium for the original policy or certificate for each full year the original policy or certificate was in force shall be given toward all subsequent premium payments for the replacement policy or certificate.  However, the cumulative credit allowed need not exceed fifty percent (50%). 
(2) no credit need be provided if a claim has been filed under the original policy or certificate. The cumulative credits allowed need not reduce the premium for the replacement policy to less than the premium for the original policy or certificate. No credit need be provided if there is no difference between the premium for the replacement policy or certificate and the premium for the current policy or certificate.
(c) The premium when a Partnership Policy or Certificate holder elects to reduce the coverage of the original Policy or Certificate as provided in Section 58061(c)(1)(2) and (3) will be calculated as follows:
(1) the premium will be based on the reduced amount of coverage elected and the age of the Policy or Certificate holder at issue age; and
(2) the premium reductions from the change in coverage shall be applied toward all future premium payments.
(d) Self-funded Issuers not subject to compliance with the California Insurance Code are exempt from the requirements of Subsection (a), above, that premiums for the optional riders be submitted to and approved by the Department of Insurance. 
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including repealer of subsection (a) and subsection relettering, amendment of newly designated subsections (b)(1) and (c)(2), and new subsection (d) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58067. Provisions Governing Rate Increases.
Note     •     History

(a) Participating Issuers in the California Partnership for Long-Term Care shall conduct annual actuarial reviews to determine how well current premiums are covering anticipated expenditures for Partnership Policies and Certificates. The result of these reviews shall be made available to the Department of Insurance in a manner and format prescribed by the Department.
(b) Increases in the premiums for all Policies or Certificates and all optional riders can only be made on a class basis after approval by the Department of Insurance. The Department of Insurance shall not approve any premium increases greater than a cumulative total of forty percent (40%) over any three-year period; the total amount of any approved rate increase must be spread equally over each of the three years. This restriction may be waived by the Commissioner of the Department of Insurance in the event the Issuer demonstrates to the Commissioner's satisfaction that major unforeseen changes in the long-term care environment threaten the solvency of the plan or the company. Examples of such changes include a significant change by the courts in the interpretation of benefit or benefit eligibility language, or major medical breakthroughs which notably change underlying morbidity patterns.
(c) If a premium increase is approved by the Department of Insurance, the Issuer shall include in the premium increase notice to the Policy or Certificate holder, or by separate notice to the Certificate holder, a statement advising them of the options to lower their premiums by reducing coverage as provided in Section 58061(c).
(d) Self-funded Issuers not subject to compliance with the California Insurance Code are exempt from the requirement of Subsection (a), above, that the annual actuarial reviews be submitted to and conducted in a manner prescribed by the Department of Insurance and the requirement of Subsection (b), above, pertaining to the Department of Insurance's approval of all premium increases for Partnership Policies or Certificates and for all optional riders to Partnership Policies or Certificates.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Section 22005, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (c) and new subsection (d) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsections (a) and (d) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
Article 5. Care Management Provider Agency Standards
§58068. Care Management Provider Agency Functions.
Note     •     History

(a) The Care Management Provider Agency must be capable of providing a professional assessment of a person's physical, cognitive, social and emotional functional levels in order to identify individual strengths and needs. The individual's current functional capacities, family and other support systems, financial status and living arrangements must be evaluated as well. The Care Management Provider Agency must be able to develop a comprehensive Plan of Care that addresses identified needs in a cost effective manner. When desired by the individual and determined necessary by the Care Management Provider Agency, the Care Management Provider Agency must be able to arrange for the delivery and coordination of services as well as monitor their quality over an extended period.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006, Welfare and Institutions Code.
HISTORY

1. New article 5 and section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
§58069. The Role of the Care Management Supervisor.
Note     •     History

(a) A Care Management Supervisor shall have demonstrated expert ability in the Care Management role. This individual shall also:
(1) support and clarify the role of the Care Manager;
(2) be accessible to Care Managers on a scheduled and as needed basis;
(3) provide guidance on decisions requiring judgment, assist with problem situations, and approve Plans of Care and discharge;
(4) demonstrate administrative ability to explain goals, policies, and procedures, and assist staff in adjusting to changes that occur;
(5) encourage the development of professional growth and upgrading of skill through access to training and current literature; and
(6) evaluate the Care Manager's performance based on established criteria. The evaluation shall include: a review of client records, observations of client visits, supervisory conferences, and productivity measures.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-23-93 order, including amendment of subsections (a) and (a)(6) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
§58070. Staff Qualifications.
Note     •     History

(a) Care Managers shall meet or exceed both of the following qualifications:
(1) be a registered nurse and/or graduate of an accredited four year college or university with a degree in nursing, health, social work, gerontology or other related area; and
(2) have a minimum of two years of experience in the human service field, ideally in community-based care. A master's degree in  nursing, health, social work, gerontology or a related field may be substituted for one year of experience.
(b) If the Care Manager has a social service background, the agency will have nursing or clinical health care staff available for consultation; if the Care Manager has a clinical health care background, the agency shall have psycho/social staff available for consultation.
(c) All Care Management Supervisors shall, in addition to meeting Care Manager standards, have at least two years of Care Management experience.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsections (a), (b) and (c) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
§58071. Staff Ratios.
Note     •     History

(a) Care Management staffing ratios shall not exceed the following:
(1) clients to Care Manager: 60:1 (total clients in benefit status); and
(2) Care Managers to Care Management Supervisor: 10:1.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (a) transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
§58072. Client Bill of Rights and Responsibilities.
Note     •     History

(a) A Care Management Provider Agency shall have a written list of rights and legal responsibilities which shall be presented to each client or his or her representative at the time of assessment or as soon as possible thereafter. The list shall include:
(1) a description of available services, and unit charges and billing mechanisms (where applicable);
(2) a policy on which services are covered by the insurance benefit and which services need to be paid for out-of-pocket (where applicable);
(3) the criteria for admission to service and discharge from service;
(4) a right to be informed of the name of their Care Manager and of the manner in which that person may be contacted;
(5) a right for active client participation in the development and implementation of the Plan of Care. The client or officially designated representative shall, prior to implementation, receive a copy of the Plan of Care and a written list of all potential service providers to be involved in implementation of the Plan of Care;
(6) a right for the client or officially designated representative to be fully informed of the client's health condition;
(7) a provision for the confidential treatment of all client information retained by the agency and a requirement for written consent to release information to persons not otherwise authorized under law to receive it;
(8) a policy regarding client access to the case record;
(9) an explanation of the appeal procedure and the right to file an appeal of benefit eligibility or Plan of Care service authorization decisions without discrimination or reprisal from the agency;
(10) procedures for registering and resolving complaints; and
(11) a right to a discharge plan when the Care Management Provider Agency services are about to be terminated. If the Policy or Certificate holder is immediately eligible for Medi-Cal, the Care Management Provider Agency will prepare a transition plan. The transition plan and/or discharge plan must be provided to the Policy or Certificate holder within 30 days after receipt of notification from the Issuer that coverage will be exhausted.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsection (a)(11) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58073. Quality Assurance.
Note     •     History

(a) A Care Management Provider Agency shall have a written quality assurance program which shall include but not be limited to:
(1) Annual program evaluation. The agency's board of directors (or their appointed designees) shall, at least Annually, review policies and make recommendations on:
(A) admission and discharge criteria;
(B) Plans of Care and records;
(C) personnel qualifications;
(D) quality assurance program;
(E) delivery of Care Management services; and
(F) methods for assuring the quality of direct services provided including whether client needs as identified in the Plans of Care were met, assessing client satisfaction and incorporating client suggestions.
The written minutes of this annual program evaluation meeting shall document the dates of the meeting(s), attendance, agenda and recommendations.
(2) Quarterly service record review. At least Quarterly, the agency's board of directors, or a committee appointed by the board, shall, observing all confidentiality protocols, review a random sample of active and closed case records. Each record review shall be documented on a record review form and shall include, but not be limited to, verification that:
(A) agency policies are followed in the provision of services to clients and families;
(B) clients and families actively participate in the care planning process, including the decision regarding how much coordination and monitoring is necessary and desirable;
(C) client, family and other community resources are integrated into the Plan of Care;
(D) Care Management services are effective in maintaining an appropriate environment for the client;
(E) the provision of services is coordinated with those provided by other agencies to avoid duplication of services, and to integrate acute care with chronic care;
(F) action is initiated by the Care Management Provider Agency when unmet client service needs are identified. Pattern of unmet needs should be documented and reported to the Department of Health Services;
(G) the agency's sampling methodology shall be defined in its quality assurance program policies and procedures. The sample of client records reviewed each Quarter shall be according to the following ratios:
1. eighty (80) or less cases; eight (8) records; and
2. eighty-one (81) or more cases; ten percent (10%) of caseload for the Quarter to a maximum of twenty-five (25) records.
(3) Annual documentation of clinical competence. At least Annually, a written evaluation report shall be prepared on the clinical competence of each Care Manager by the employee's professional supervisor. Each Care Manager shall review and sign his/her evaluation report, a copy of which shall remain in the employee's personnel folder. The evaluation report shall include but not be limited to:
(A) coordination, assessment and monitoring skills (including clinical counseling, ability to elicit client input and act upon client feedback, problem solving, and ability to build rapport with clients, families and other providers);
(B) recording in client case records; and
(C) participation in the agency's in-service educational programs.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (a)(1)(F) transmitted to OAL 12-30-93  and filed 1-28-94 (Register 94, No. 4).
§58074. Annual Report of the Agency's Quality Assurance Program.
Note     •     History

(a) An Annual written report of the agency's quality assurance program shall be prepared and submitted to the governing authority. The report shall summarize all findings and recommendations resulting from the quality assurance activities. This report and documentation of all actions on the findings or recommendations shall be available to the contracting Issuer(s) and the Department of Health Services (DHS).
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
§58075. Objectivity and Impartiality.
Note     •     History

(a) To insure objectivity, the Care Management Provider Agencies which also provide other services included in an insured's Plan of Care will be required to document that clients were made aware of a full array of services, and the costs and availability of other providers of these services.
(b) Individuals who provide direct care as described in Section 58059(e) cannot also act as Care Managers for assessment and care planning.
(c) Direct service providers and Care Managers should not report to the same clinical supervisor.
(d) Employees of the Issuer cannot also act as Care Managers for assessment and care planning.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
§58076. Policy Manual.
Note     •     History

(a) Prior to the Care Management Provider Agency being approved by the State, and with an Annual update thereafter, the Care Management Provider Agency must file the following with the Department of Health Services and with each Issuer with whom they contract:
(1) an organizational chart; and
(2) a policy manual that includes the following:
(A) job descriptions;
(B) Care Manager training requirements;
(C) Care Manager availability and turn-around time for conducting assessments and developing Plans of Care;
(D) personal policies;
(E) the appeals procedure;
(F) the client bill of rights and responsibilities as described in Section 58072;
(G) the agency's quality assurance program (including the Annual program evaluation, the Quarterly service record review and verification that the Annual documentation of clinical competence has been completed);
(H) data collection procedures (including confidentiality safeguards);
(I) records retention procedures; and
(J) documentation of efforts to provide culturally sensitive services.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005(a) and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (a), transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
Article 6. Issuer Reporting Requirements and Audit Information
§58077. Issuer Reporting Requirements.
Note     •     History

Unless otherwise noted, the requirements of this Section refer to Issuer documentation and reporting requirements for Partnership Policies and Certificates. Reports are due thirty (30) days after the close of reporting periods specified for the respective reports. Issuers shall submit the following reports, which are all part of the Long-Term Care Insurance Uniform Data Set.
(a) Report on new purchasers. Each Issuer shall maintain a registry of new purchasers and submit on a Quarterly basis aligned with the State Fiscal Year, a report to the Department of Health Services that will include the following information on all individuals who purchased a Partnership Policy or Certificate during the reporting period:
(1) name, address, telephone number, date of birth, sex, marital status, and Social Security number;
(2) Policy or Certificate identification information, including the following:
(A) Policy or Certificate form number;
(B) Policy or Certificate category (individual, organization-sponsored, or group);
(C) effective date of coverage;
(D) Policy type (Nursing Facility and Residential Care Facility Only; Comprehensive Benefit; Single Life; or Multi-Life);
(3) Policy or Certificate Elimination Period in days;
(4) the maximum daily benefit for nursing facility care and monthly benefit for home and community-based care;
(5) maximum lifetime benefit amount in dollars;
(6) any options and riders in force;
(7) purchase type (upgrade from non-Partnership policy or certificate of reporting company, conversion, replacement of another company's policy or certificate, or new issue);
(8) for expense-incurred Policies or Certificates, the percentage of expenses payable;
(9) the annual premium for the Policy or Certificate, the premium payment mode (also known as the “premium frequency”), and the type of premium (level, indexed, or lump sum); and
(10) the name and address of the Authorized Designee to be notified in the event that the Policy is in danger of lapsing due to unpaid premium.
(b) Report on persons who changed or dropped their Policies or Certificates. For the purposes of this Chapter, a Policy change shall include the following: upgrades, reduced coverage option, reinstatement, inflation upgrade, changes to benefits, riders, premium series rerate, Policy category changes, inflation catch-up, Social Security number change, conversion to single/multi-life, non-forfeiture or partnership status lost. Each Issuer shall submit on a Quarterly basis aligned with the State Fiscal Year and in a format specified by the State of California, a report to the Department of Health Services that will include the following information on all individuals who have changed or dropped Partnership Policies or Certificates during the reporting period:
(1) name, address, telephone number, and Social Security number;
(2) effective date of original Policy which is reported in Section 58077(a)(2)(C);
(3) effective date of the Policy or Certificate change or drop;
(4) if applicable, a description of the new Policy or Certificate or amended Policy or Certificate as described in Section 58051(h);
(5) if applicable, the reason the Policy or Certificate was dropped, including any of the following:
(A) death of insured;
(B) converted Policy or Certificate;
(C) benefits exhausted;
(D) recision;
(E) voluntarily;
(F) certified status of the Policy or Certificate lost;
(G) other; and
(H) unknown.
(c) Report on persons who were assessed for long-term care benefit eligibility. Each Issuer shall submit on a Quarterly basis aligned with the State Fiscal Year and in a format specified by the State of California, a report to the Department of Health Services that will include the following information on all individuals who were assessed for long-term care benefit eligibility during the reporting period:
(1) name, address, telephone number, Social Security number, sex, marital status, and living arrangements (alone, with spouse, or with other relatives);
(2) Medicare status (Part A, Part A and B, or none);
(3) other insurance status (Medicare supplement, prepaid health care, or none);
(4) date the assessment was conducted;
(5) benefit contact;
(6) name, address, and telephone number of the person or company that performed the assessment and whether the claimant was found eligible for long-term care services and for Medi-Cal Property Exemption;
(7) eligibility decision date;
(8) effective date of disability; and
(9) a listing of the Benefit Eligibility criteria met for all persons assessed, including deficiencies in Activities of Daily Living, and Severe Cognitive Impairment.
(d) Report on service payments and utilization. 
Each Issuer shall submit on a Quarterly basis aligned with the State Fiscal Year and in a format specified by the State of California, a report (in the event the payment is for a service received during a prior reporting period, a separate record shall be generated for each quarter during which a service was received) to the Department of Health Services that will include the following information on the services or benefits paid each month during the reporting period for each insured person:
(1) name and Social Security number of the beneficiary;
(2) Policy or Certificate identification information, including the following:
(A) the Policy or Certificate form number;
(B) the original effective date of coverage;
(3) service code;
(4) number of units of service delivered during the reporting period;
(5) the last month of the quarter in which the reported services were delivered;
(6) the dollar amount of services or benefits paid by the Policy or Certificate and the amount paid that counts toward the Medi-Cal Property Exemption (Asset Protection);
(7) the number of units of service paid by the Policy or Certificate during the reporting period;
(8) the total number of days of service paid for by the Policy or Certificate during the reporting period for services received.
(9) remaining benefit (in dollars) that indicates the total remaining benefit at the end of the reporting period;
(10) remaining nursing home benefit (in days);
(11) remaining home care benefit (in days).
(e) Report on applications received, denied and total Policies in force at end of the reporting period.
Each Issuer shall report on a quarterly basis and in a format specified by the State of California, a single entry summary count of:
(1) the total number of applications received at the Insurer's office during the reporting period.
(2) the total number of applications denied during the reporting period.
(3) the total number of Policies in force at the end of the reporting period.
(f) Issuers will respond to all errors within 30 days of receipt of notification from the Department of a file and/or data error.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22005, 22011(c), (d) and (e), Welfare and Institutions Code.
HISTORY

1. New article 6 and section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (a), transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58078. Records Maintenance.
Note     •     History

(a) Each Issuer shall maintain information as stipulated in subsection (f) on all Policy or Certificate holders who have ever received any benefit under the Policy or Certificate. Such information shall be updated at least Quarterly. This requirement for updating shall not require the conduct of any assessment, reassessment, or other evaluation of the Policy or Certificate holder's condition which is not otherwise required by federal or State statute or regulation.
(b) When a Policy or Certificate holder who has received any benefit dies or lapses or his or her Policy or Certificate for any reason, the Issuer must retain the stipulated information for a period of at least five (5) years after the time when the Policy ceases to be in force. Unless notified by the Department of Health Services to the contrary during this period, after the five (5) years, the Service Summary provided by the Issuer will be deemed to comply with all Medi-Cal Property Exemption reporting, record keeping, auditing and quality control requirements of this rule. The Issuer may use microfiche, microfilm, optical storage media, or any other cost effective method of record storage as alternatives to storage of paper copies of stipulated information.
(c) At the time the Policy or Certificate ceases to be in force, the Issuer shall notify the Policy or Certificate holder of his or her right to request his or her service records as stipulated in subsection (f).
(d) The Issuer shall also, upon request in writing, provide such Policy or Certificate holder or the Policy or Certificate holder's Authorized Designee, if any, with a copy of the Issuer's service records as required in subsection (f) which are necessary to establish the Medi-Cal Property Exemption. These records shall be provided to the Policy or Certificate holder or the Policy or Certificate holder's Authorized Designee, if requested, within sixty (60) days of the request. The Issuer may charge a reasonable fee to cover the costs of providing each set of requested service record copies.
(e) The Issuer shall enclose with the records a statement advising the former Policy or Certificate holder that it is in his or her interest to retain the records if he or she may ever wish to establish eligibility for the Medi-Cal Program.
(f) The information to be maintained includes the following:
(1) evidence that the Benefit Eligibility has taken place;
(A) Benefit Eligibility must be documented by a Care Management Provider Agency, or its Qualified Official Designee, as part of the initial assessment of the client or as part of a subsequent reassessment.
(B) These assessments must be based on direct observations and interviews in conjunction with a medical record review. The Care Manager carrying out the assessment or their Care Management Supervisor must sign and certify the completion of the assessment. Each individual who completes a portion of such assessment shall sign and certify as to the accuracy of that portion of the assessment.
(2) description of services provided under the Policy or Certificate, including the following:
(A) name, address, phone number, and license number, if applicable, of provider;
(B) amount, date, and type of services provided, and whether the services qualify for Medi-Cal Property Exemption;
(C) dollar amounts paid by the Issuer, whether on an indemnity, expense incurred, or other basis;
(D) the charges of the service providers, including copies of invoices for all services counting towards Medi-Cal Property Exemption; and
(E) identification of the Care Management Provider Agency and copies of all assessments and reassessments.
(3) In order for services to qualify for a Medi-Cal Property Exemption, these services must be in accord with a Plan of Care developed by a Care Management Provider Agency. If the Policy or Certificate holder has received any benefits delivered as part of a Plan of Care, the Issuer must retain the following:
(A) a copy of the original Plan of Care; and
(B) a copy of any changes made in the Plan of Care. Such services shall count towards the Medi-Cal Property Exemption after the Care Management Provider Agency adds the documented need for and description of the new services to the Plan of Care. In cases when the service must begin before the revisions to the Plan of Care are made, the new services will only count towards a Medi-Cal Property Exemption if the revisions to the Plan of Care are made within ten (10) business days of the commencement of the new services. Care Management Provider Agencies must act upon requests for changes in the Plan of Care in an expeditious manner. Issuers must maintain initial assessments and subsequent reassessments as part of Benefit Eligibility documentation.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22004, 22005 and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsections (f)(1), (f)(1)(A) and (f)(3)(B) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58079. Reporting to the Policy or Certificate Holder on the Medi-Cal Property Exemption.
Note     •     History

(a) Each Issuer shall send a Medi-Cal Property Exemption Report (rev. 12/93) at least Quarterly to each Policy or Certificate holder for whom any benefit payments were made since the last Medi-Cal Property Exemption report. Each Medi-Cal Property Exemption report shall include the dollar amounts of benefits paid by the Policy or Certificate for the Policy or Certificate holder in the following order and for the periods specified:
(1) the cumulative amount of benefits paid prior to the current reporting period that counted towards the Medi-Cal Property Exemption;
(2) the amount paid during the current reporting period regardless of qualification for the Medi-Cal Property Exemption;
(3) the amount paid during the current reporting period that counts towards the Medi-Cal Property Exemption; and
(4) the total cumulative amount paid to date that counts towards the Medi-Cal Property Exemption (i.e., the amounts reported in (1)+(3)). This amount should be clearly indicated with a label “Medi-Cal Property Exemption To Date”.
(5) the remaining benefit amount.
(b) The Medi-Cal Property Exemption report shall also include the following statement in bold type:
“This report provides you with a total amount of insurance payments, to date, which count towards the Medi-Cal Property Exemption for purposes of being eligible for the State of California's Medicaid (Medi-Cal) program. Please examine this report and carefully compare your current asset total with the amount indicated in this report with the label “Medi-Cal Property Exemption To Date.” If your Property Exemption level is close to the amount of the assets you currently have, you may be eligible for the Medi-Cal program. It is your responsibility to make application to the County (usually the Department of Social Services); at the time of your application, a determination will be made whether and when you are eligible. (Please note: contact the appropriate County department regarding other exemptions of assets in addition to the Property level listed above.)”
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22004, 22005, and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (a), transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. New subsection (a)(5) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58080. Preparing a Service Summary.
Note     •     History

(a) Each Issuer shall prepare a Service Summary at the client's request specifically for the Policy or Certificate holder applying for Medi-Cal. The Issuer shall also prepare a Service Summary and sent it to the Policy or Certificate holder and the Department of Health Services when the Policy or Certificate holder has exhausted his or her benefits under the Policy or Certificate or when the Policy or Certificate ceases to be in force for a reason other than the death of the Policy or Certificate holder, whichever occurs first. This Service Summary will be in a standardized form and format prescribed by the Department of Health Services.
This Service Summary is prepared in addition to the information requirements described in Section 58078.
(b) Each Issuer shall notify the policy or certificate holder and the Care Manager Provider Agency one hundred twenty (120) days prior to the date when coverage for each Policy or Certificate is about to be exhausted. A copy of the Issuer's notification shall be forwarded to the Department of Health Services at the same time it is forwarded to the Care Manager Provider Agency.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22004, 22005(f), and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. New subsection (b) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order, including further amendment of subsection (b), transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
§58081. Plan of Action for Information and Document Maintenance.
Note     •     History

(a) Each Issuer shall, prior to certification by the Department of Health Services, submit to the Department a plan for complying with the information maintenance and documentation requirements set forth in Article 6 of this Chapter. No Policy or Certificate shall be certified until the Department of Health Services has approved the Issuer's documentation plan for the Policy or Certificate. The documentation plan will include the following:
(1) the location where records will be kept. Records required for purposes of the California Partnership for Long-Term Care must be available at no more than three (3) locations, each of which shall be easily accessible to the California Partnership for Long-Term Care;
(2) the Issuer shall agree to give the Department of Health Services, or its appointed designee, access to all information described in Section 58078 of this Chapter on an aggregate basis and on an individual basis for all Policy or Certificate holders. Access to information on persons who have not applied for Medi-Cal is required in order for the Department of Health Services, or its appointed designee, to determine if an Issuer's system for documenting the Medi-Cal Property Exemption is functioning correctly. The Department of Health Services shall determine the frequency of access to the data and the size of samples for auditing purposes.
(3) the name, job title, address, and telephone number of the person primarily responsible for the maintenance of the information required and for acting as liaison with the Department of Health Services concerning the information;
(4) methods for determining when insurance benefits or prepaid benefits qualify for the Medi-Cal Property Exemption, including the following:
(A) documentation of the Insured Event;
(B) description of services;
(C) documentation of charges and benefits paid; and
(D) documentation of Plans of Care;
(5) description of electronic and manual systems which will be used in maintaining the required information;
(6) information that will be retained which is needed to comply with this rule; and
(7) copies of forms and descriptions of standard procedures for maintaining and reporting the information required, including the specific electronic medium which will be used to report required information and a description of the relevant files.
(b) After the Department of Health Services has approved a plan of action, the Department of Health Services shall advise the Department of Insurance and the Issuer in writing within five days.
(c) If the Department of Health Services disapproves a plan of action, the Department of Health Services shall within five (5) days advise the Issuer of the shortcomings in the plan of action and shall instruct the Issuer of the methods necessary to resolve them.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22004, 22005, and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
§58082. Auditing and Correcting Deficiencies in Issuer Record Keeping.
Note     •     History

(a) Within one (1) year of the first date that any Policy or Certificate holder of a particular Issuer's Policy or Certificate has met the criteria for Benefit Eligibility, and as often as the Department of Health Services deems necessary thereafter, the Department of Health Services, or its appointed designee, shall conduct a systems audit of that company's records. The Issuer shall be responsible for advising the Department of Health Services when this one (1) year period has begun. The Department of Health Services, or its appointed designee, shall inform each Issuer of inaccuracies and other potential problems discovered in its systems audits, and the Issuer shall correct any problems in its methods of operation.
(b) The Department of Health Services shall periodically reconcile a sample of individual applications for Medi-Cal of persons who have submitted documentation for qualification for the Medi-Cal Property Exemption with the reports submitted by Issuers. The Department shall have the final decision concerning sample sizes and other auditing methods. The Department of Health Services shall promptly advise Issuers of any problems discovered, and the Issuer shall correct any problems in its method of operation. The Department of Health Services shall also notify the Issuer of any obligations described in this Chapter to hold clients harmless.
(c) The Department of Health Servicers may enter into voluntary arrangements with Issuers of Partnership Long-Term Care Insurance Policies and Certificates under which the Department of Heath Services would issue binding determinations as to whether or not services qualify for a Medi-Cal Property Exemption. Requests for information and advice from Policy or Certificate holders shall be directed through their Issuer or Care Management Provider Agency. When the procedures in this section are followed, the written determinations of the Department of Health Services concerning whether services qualify for a Medi-Cal Property Exemption shall be binding upon the Department of Health Services in all subsequent actions, and the Department of Health Services shall not make any assertion contradicting these determinations in any action arising in this subsection:
(1) All requests for determinations as to whether or not services qualify for a Medi-Cal Property Exemption shall be submitted to the California Partnership for Long-Term Care in writing. These requests may include, but are not limited to, requests for determinations in the following areas:
(A) whether Benefit Eligibility has occurred and has been adequately documented;
(B) whether a revision of a Plan of Care is required;
(C) whether a service or services are in accord with the Plan of Care;
(D) whether a service is of such a nature as to qualify for a Medi-Cal Property Exemption; and
(E) whether the applicable amount is the amount paid by the Issuer or the amount charged for the service.
(2) The California Partnership for Long-Term Care may require Issuers and Care Management Provider Agencies submitting requests for determination to provide all records and other information necessary for making a determination. The records and other information shall include, but are not limited to, the following:
(A) assessments;
(B) Plans of Care;
(C) invoices for services rendered;
The Issuer providing the records and other information shall be responsible for their accuracy. If any records or other information are later determined to be materially inaccurate, the determination based on the inaccurate information shall be void and not be binding on the Department of Health Services, or any other person or entity in subsequent actions. In the case of a Policy or Certificate holder for whom a determination has been invalidated because information provided was determined to be inaccurate, the provisions of subsections (e) and (f) will apply in the same manner as for any other Policy or Certificate holder.
(3) The California Partnership on Long-Term Care shall render its determination on each request in writing within thirty (30) days of receiving the request. Each determination of the California Partnership for Long-Term Care shall state the reason(s) for it's determination, including the following:
(A) relevant facts;
(B) documentation of facts;
(C) statutes;
(D) regulations; and
(E) policies;
(4) A copy of all determinations of the California Partnership for Long-Term Care shall be kept on file at the Department of Health Services, together with the related records and information. The original of the determination shall be sent to the Issuer or the Care Management Provider Agency who originally requested it. The receipt of the original determination shall be responsible for notifying the Policy or Certificate holder or the Policy or Certificate holder's authorized agent.
(d) When an audit or other review by the Department of Health Services, or its appointed designee, reveals deficiencies in the record keeping procedures of an Issuer, the Department of Health Services will notify the Issuer of the deficiencies and establish a reasonable deadline for correction.
(e) If an Issuer prepares a Service Summary which is used in a Medi-Cal application for a Policy or Certificate holder and the client is found eligible for Medi-Cal, and the Policy or Certificate holder after receiving Medi-Cal services is found to be ineligible for Medi-Cal solely by reason of errors in the Issuer's Service Summary or documentation of services, the Department of Health Services may require the Issuer to pay for services counting towards the Medi-Cal Property Exemption required by the Policy or Certificate holder until the Issuer has paid an amount equal to the amount of the Issuer's errors; after which the Policy or Certificate holder, if otherwise eligible, could qualify for Medi-Cal coverage.
(f) If the Department of Health Services determines that an Issuer's record pertaining to a Policy or Certificate holder who has received Medi-Cal benefits are in such condition that the Department of Health Services cannot determine whether the Policy or Certificate holder qualifies for a Medi-Cal Property Exemption, the Department of Health Services may require the Issuer to pay for services counting towards the Medi-Cal Property Exemption required by the Policy or Certificate holder until the Issuer has paid an amount equal to the amount of the services which could not be determined; after which, the Policy or Certificate holder, if otherwise eligible, could qualify for Medi-Cal coverage.
(g) Compliance with subsections (e) and (f) is a requirement for a Policy or Certificate to retain certification.
NOTE

Authority cited: Section 22009(a), Welfare and Institutions Code. Reference: Sections 22004, 22005, and 22006, Welfare and Institutions Code.
HISTORY

1. New section filed 8-30-93 as an emergency; operative 8-30-93 (Register 93, No. 36). Submitted for printing only pursuant to section 22009, Welfare and Institutions Code.
2. Certificate of Compliance as to 8-30-93 order, including amendment of subsection (a), transmitted to OAL 12-30-93 and filed 1-28-94 (Register 94, No. 4).
3. Amendment of subsections (a), (c) and (c)(1)(A) filed 10-1-98 as an emergency; operative 10-1-98. Submitted to OAL for printing only pursuant to Welfare and Institutions Code section 22009(d) (Register 98, No. 41). A Certificate of Compliance must be transmitted to OAL by 1-29-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-1-98 order transmitted to OAL 1-28-99 and filed 3-15-99 (Register 99, No. 12).
Chapter 11. Drug Formulary and Medical Supplies Listing
Article 1. Medical Supplies and Medi-Cal Drug Formulary
§59998. Medical Supplies. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14105, 14124.5 and 14125.4, Welfare and Institutions Code; and Section 57(c), Chapter 328, Statutes of 1982, Section 36, Chapter 456, Statutes of 1990. Reference: Sections 14053, 14053.6, 14105, 14107, 14124.1, 14124.5, 14125.4, 14132 and 14133, Welfare and Institutions Code; Section 53, Chapter 328, Statutes of 1982 and Section 33, Chapter 456, Statutes of 1990.
HISTORY

1. Renumbering of chapter 5 (sections 59998-59999) to chapter 11 (sections 59998-59999) filed 6-28-78 as an emergency; designated effective 7-1-78 (Register 78, No. 26). For prior history, see Register 77, No. 22.
2. Certificate of Substantial Compliance filed 1-29-79 (Register 79, No. 5).
3. Repealer and new section filed 4-24-81; designated effective 7-1-81 (Register 81, No. 17).
4. Editorial correction of subsection (b) (Register 82, No. 35).
5. Amendment of subsections (a)(7) and (b) and new subsection (c) filed 9-1-82 as an emergency; effective upon filing (Register 82, No. 37). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-30-82.
6. Certificate of Compliance transmitted to OAL 12-28-82 and filed 1-21-83 (Register 83, No. 4).
7. Editorial correction of HISTORY NOTE No. 5 (Register 83, No. 7).
8. Certificate of Compliance as to subsections (a)(7) and (b) transmitted to OAL 12-28-82 and filed 2-7-83 (Register 83, No. 7).
9. Amendment of subsection (b) and repealer of subsection (c) filed 3-1-84; effective thirtieth day thereafter (Register 84, No. 9).
10. Amendment of subsection (b) filed 10-25-89; operative 12-1-89 pursuant to Government Code section 11346.2(c) (Register 89, No. 44).
11. Amendment of subsection (b) filed 10-27-89; operative 12-1-89 (Register 89, No. 44).
12. Amendment filed 10-30-89; operative 12-1-89 (Register 89, No. 44).
13. Amendment of subsection (b) and Note filed 3-22-91; operative 4-21-91 (Register 91, No. 15).
14. Amendment of subsection (b) filed 5-24-91 as an emergency; operative 5-24-91 (Register 91, No. 26). A Certificate of Compliance must be transmitted to OAL by 9-23-91 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsections (a)(2) and (a)(3)  filed 1-9-95; operative 3-1-95 (Register 95, No. 2).
16. Amendment of subsections (a)(4) - (a)(4)(A), (b) and Note filed 12-21-95; operative 1-20-96 (Register 95, No. 51)
17. Repealed by operation of Welfare and Institutions Code section 14105.47 (Assembly Bill No. 442 (2001-2002 Reg. Sess.) section 74 (Register 2009, No. 5).
§59999. Medi-Cal Drug Formulary. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 14105, 14105.42, 14105.91 and 14124.5, Welfare and Institutions Code; and Section 208, Health and Safety Code. Reference: Sections 14053, 14105, 14105.43, 14105.91 and 14132, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b), page 58, filed 1-21-88; operative 3-1-88 (Register 88, No. 5). For prior history, see Register 87, No. 47. 
2. Amendment of subsection (b), page 61, filed 1-21-88; operative 3-1-88 (Register 88, No. 5). 
3. Amendment of subsections (b) and (e) filed 1-21-88; operative 3-1-88 (Register 88, No. 5). 
4. Amendment of subsection (b) filed 3-7-88; operative 5-1-88 (Register 88, No. 12). 
5. Amendment of subsections (b) and (e) filed 3-9-88; operative 5-1-88 (Register 88, No. 12). 
6. Amendment of subsections (c) and (e) filed 3-10-88; operative 5-1-88 (Register 88, No. 12).  
7. Amendment of subsections (b) and (e) filed 3-23-88; operative 5-1-88 (Register 88, No. 14). 
8. Amendment of subsection (b) filed 4-6-88; operative 4-6-88 (Register 88, No. 17). 
9. Amendment of subsections (b) and (e) filed 7-13-88; operative 9-15-88 (Register 88, No. 29).
10. Amendment of subsection (b) filed 8-9-88; operative 8-9-88 (Register 88, No. 33). 
11. Amendment of subsections (b) and (e) filed 8-26-88; operative 9-25-88 (Register 88, No. 36). 
12. Amendment of subsections (b) and (e) filed 8-29-88; operative 10-1-88 (Register 88, No. 39). 
13. Amendment of subsection (b) filed 9-22-88; operative 10-22-88 (Register 88, No. 42). 
14. Editorial correction of printing error (Register 88, No. 45). 
15. Amendment of subsection (b) filed 11-2-88; operative 12-2-88 (Register 88, No. 45). 
16. Amendment of subsections (b) and (e) filed 11-21-88; operative 12-2-88 (Register 88, No. 45). 
17. Amendment of subsection (b) filed 12-19-88 pursuant to Welfare and Institutions Code section 14105.91; operative 12-19-88 (Register 88, No. 52). 
18. Amendment of subsections (b) and (e) filed 1-17-89; operative 3-1-89 (Register 89, No. 4). 
19. Editorial correction of Erythromycin printing error (Register 89, No. 11). 
20. Amendment of subsections (b), (c) and (e) filed 4-26-89 pursuant to Welfare and Institutions Code section 14105.91; operative 4-26-89 (Register 89, No. 17).
21. Amendment of subsections (b) and (e) adding Lisinopril filed 5-15-89; operative 6-14-89 (Register 89, No. 21). 
22. Amendment of subsections (b) and (e) filed 5-18-89 (Register 89, No. 21). Pentamidine was approved by the United States Food and Drug Administration (Department of Health and Human Services Medicaid Regional Memorandum No. 89-9) and pursuant to Welfare and Institutions Code section 14105.43 is deemed to be approved for addition to the Medi-Cal drug formulary only for the purpose of treating AIDS or an AIDS-related condition for the period prior to the completion of the procedures established pursuant to Welfare and Institutions Code section 14105.4. 
23. Amendment of subsections (b) and (e) adding Ciprofloxacin filed 5-24-89; operative 6-23-89 (Register 89, No. 24). 
24. Amendment of subsection (b) adding Topical Oil 120cc to Fluocinolone 0.01% filed 8-25-89; operative 8-25-89 (Register 89, No. 36). 
25. Amendment of subsections (a), (c) and (e) filed 9-5-89; operative 10-1-89 (Register 89, No. 36). 
26. Amendment of subsection (b) filed 9-20-89; operative 9-20-89 (Register 89, No. 40). Pentamidine, approved by the U.S. Food and Drug Administration, and pursuant to Welfare and Institutions Code section 14105.43 is deemed to be approved for addition to the Medi-Cal drug formulary only for the purpose of treating AIDS or an AIDS-related condition for the period prior to the completion of the procedures established pursuant to Welfare and Institutions Code section 14105.4. 
27. Amendment of subsection (b) adding injection dosage form of Sodium Chloride filed 10-19-89; operative 12-1-89 (Register 89, No. 44). 
28. Amendment of subsections (b) and (e) adding Heparin Lock Flush Solution filed 10-30-89; operative 12-1-89 (Register 89, No. 44). 
29. Editorial correction of spelling errors (Glucocorticoids and Trisalicylate) (Register 89, No. 44). 
30. Amendment of subsection (b) adding Ganciclovir Sodium filed 10-31-89 pursuant to Welfare and Institutions Code section 14105.43; operative 10-31-89 (Register 89, No. 48). 
31. Amendment of subsections (b) and (e) deleting Isotretinoin filed 12-6-89; operative 2-15-90 (Register 89, No. 52). 
32. Amendment of subsections (b) and (e) adding Pyrazinamide filed 2-22-90; operative 3-24-90 (Register 90, No. 9). 
33. Amendment of subsections (b) and (e) adding Calcitroil filed 3-1-90; operative 3-31-90 (Register 90, No. 9). 
34. Amendment of subsection (b) filed 3-2-90, operative 2-15-90 (Register 90, No. 19). Zidovudine, approved by the U.S. Food and Drug Administration, and pursuant to Welfare and Institutions Code sections 14105.43 and 14105.91 is deemed approved for addition to the Medical drug formulary only for the purpose of treating AIDS or an AIDS-related condition for the period prior to the completion of the procedures established pursuant to Welfare and Institutions Code section 14105.4. 
35. Amendment of subsection (b) (Albuterol) filed 3-7-90 pursuant to Welfare and Institutions Code section 14105.91; operative 3-7-90 (Register 90, No. 19). 
36. Amendment of subsection (b) (Cromolyn Sodium) filed 3-15-90 pursuant to Welfare and Institutions Code section 14105.91; operative 3-15-90 (Register 90, No. 19). 
37. Amendment of subsection (b) adding additional dosage of drug Guanfacine HCL to Medi-Cal Drug Formulary filed 3-22-90 pursuant to Welfare and Institutions Code section 14105.91; operative 3-22-90 (Register 90, No. 19). 
38. Amendment of subsection (b) (Zidovudine) filed 4-25-90; operative 4-25-90 (Register 90, No. 19). 
39. Amendment of subsections (b) and (e) filed 4-25-90; operative 4-15-90 (Register 90, No. 26). Fluconazole, approved by the U.S. Food and Drug Administration, and pursuant to Welfare and Institutions Code sections 14105.43 and 14105.91 is deemed approved for addition to the Medi-Cal Drug Formulary only for the purpose of treating AIDS or an AIDS-related condition for the period prior to the completion of the procedures established pursuant to Welfare and Institutions Code section 14105.4. 
40. Amendment of subsections (b) and (e) filed 5-1-90; operative 7-1-90 (Register 90, No. 26).  
41. Amendment of subsections (c) and (e) filed 6-15-90; operative 7-15-90 (Register 90, No. 32).
42. Amendment of subsection (b) Gentamicin and subsection (e) adding Gentamicin filed 6-22-90; operative 6-22-90 pursuant to Welfare and Institutions Code section 14105.91 (Register 90, No. 32).
43. Amendment of subsection (b) Haloperidol Decanoate filed 6-22-90; operative 6-22-90 pursuant to Welfare and Institutions Code section 14105.91 (Register 90, No. 32).
44. Amendment of subsection (b) Rifampin filed 6-22-90; operative 6-22-90 pursuant to Welfare and Institutions Code section 14105.91 (Register 90, No. 32).
45. Amendment of subsection (b) Levothyroxine Sodium filed 6-22-90; operative 6-22-90 pursuant to Welfare and Institutions Code section 14105.91 (Register 90, No. 32).
46. Amendment of subsection (b) Nifedipine filed 7-2-90; operative 7-2-90 pursuant to Welfare and Institutions Code section 14105.91 (Register 90, No. 32).
47. Amendment of subsections (b) and (e) (Metronidazole) filed 7-5-90; operative 7-5-90 pursuant to Welfare and Institutions Code section 14105.91 (Register 90, No. 32).
48. Amendment of subsections (b) and (e) adding Nizatidine filed 7-11-90; operative 8-10-90 (Register 90, No. 32).
49. Amendment of subsections (b) and (e) adding Permethrin filed 7-18-90; operative 8-17-90 (Register 90, No. 32).
50. Amendment of subsections (b) and (e) adding Cefuroxime Axetil filed 7-19-90; operative 8-18-90 (Register 90, No. 32).
51. Editorial correction of printing error of subsection (b) Sodium Chloride filed 8-1-90; operative 8-1-90 (Register 90, No. 32).
52. Addition of Lovastatin to (b) and (e) filed 7-30-90; operative 7-30-90 (Register 90, No. 38). 
53. Repealer filed 4-22-91 as an emergency pursuant to Statutes of 1990, chapter 456, section 36, p. 1658-1659; operative 5-22-91 (Register 91, No. 27). A Certificate of Compliance must be transmitted to OAL by 9-19-91 or emergency language will be repealed by operation of law on the following day.
54. Repealer of section refiled 9-19-91 as an emergency; operative 9-20-91 (Register 92, No. 4). A Certificate of Compliance must be transmitted to OAL 1-20-92 or emergency language will be repealed on the following day.
55. Repealer of section refiled 1-23-92 as an emergency; operative 1-17-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 5-22-92 or emergency language will be repealed by operation of law on the following day.
56. Certificate of Compliance as to 1-23-92 order transmitted to OAL 5-22-92 and filed 7-6-92 (Register 92, No. 28).
Division 4. Environmental Health
Chapter 1. Introduction
Article 1. Definitions
§60001. Department.
Note     •     History

Whenever the term “department” or “Department” is used in this division, it means the State Department of Public Health, unless otherwise specified.
NOTE

Authority cited: Sections 131052 and 131200, Health and Safety Code. Reference: Section 20, Health and Safety Code.
HISTORY

1. New Division 4 (Sections 60001-60180, not consecutive) filed 7-2-74 as an emergency; effective upon filing. Certificate of Compliance included (Register 74, No. 27).
2. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
3. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
4. Editorial correction of NOTE filed 7-2-84 (Register 84, No. 27).
5. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§60003. Director.
Note     •     History

Whenever the term “director” is used in this division, it means the Director, State Department of Public Health, unless otherwise specified.
NOTE

Authority cited: Sections 131052 and 131200, Health and Safety Code. Reference: Section 21, Health and Safety Code.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
3. Editorial correction of NOTE filed 7-2-84 (Register 84, No. 27).
4. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§60091. Chemical Toilet. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. Renumbering from Section 60091 to 66016 filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19). For former history, see Register 78, No. 51.
§60093. Chemical Toilet Additive. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. Renumbering from Section 60093 to 66020 filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19). For former history see Register 78, No. 51.
§60095. Chemical Toilet Waste. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. Renumbering from Section 60095 to 66024 filed 5-1-79; effective thirtieth day thereafter (Register 79, No. 18). For former history, see Register 78, No. 51.
Article 2. Monitoring and Reporting Requirements -- Scope
§60098. Monitoring and Reporting Requirements.
Note     •     History

The phrase “The monitoring and reporting requirements as specified in regulations adopted by the department that pertain to maximum contaminant levels” as used in Health and Safety Code section 116275, subdivision (c)(3) includes, but is not limited to, the requirements of Articles 18 and 20 of Chapter 15, Title 22, California Code of Regulations.
NOTE

Authority cited: Sections 131052 and 131200, Health and Safety Code. Reference: Section 116275, Health and Safety Code.
HISTORY

1. New article 2 (section 60098) and section filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
Chapter 2. Regulations for the Implementation of the California Environmental Quality Act
Article 1. General Requirements and Categorical Exemptions
§60100. General Requirements.
Note     •     History

The Department of Health Services incorporates by reference the objectives, criteria, and procedures as delineated in Chapters 1, 2, 2.5, 2.6, 3, 4, 5, and 6, Division 13, Public Resources Code, Sections 21000 et seq., and the Guidelines for the Implementation of the California Environmental Quality Act, Title 14, Division 6, Chapter 3, California Administrative Code, Sections 15000 et seq.
NOTE

Authority cited: Title 14, Section 15022(d), California Administrative Code; Section 208, Health and Safety Code; and Section 21082, Public Resources Code. Reference: Sections 21000 et seq., Public Resources Code.
HISTORY

1. New Chapter 2 (Sections 60100 and 60101) filed 1-2-86; effective thirtieth day thereafter (Register 86, No. 1). For history of former Chapter 2, see Registers 79, No. 19 and 77, No. 42.
§60101. Specific Activities Within Categorical Exempt Classes.
Note

The following specific activities are determined by the Department to fall within the classes of categorical exemptions set forth in Sections 15300 et seq. of Title 14 of the California Administrative Code:
(a) Class 1: Existing Facilities.
(1) Any interior or exterior alteration of water treatment units, water supply systems, and pump station buildings where the alteration involves the addition, deletion, or modification of mechanical, electrical, or hydraulic controls.
(2) Maintenance, repair, replacement, or reconstruction to any water treatment process units, including structures, filters, pumps, and chlorinators.
(b) Class 2: Replacement or Reconstruction.
(1) Repair or replacement of any water service connections, meters, and valves for backflow prevention, air release, pressure regulating, shut-off and blow-off or flushing.
(2) Replacement or reconstruction of any existing water supply distribution lines, storage tanks and reservoirs of substantially the same size.
(3) Replacement or reconstruction of any water wells, pump stations and related appurtenances.
(c) Class 3: New Construction of Small Structures.
(1) Construction of any water supply and distribution lines of less than sixteen inches in diameter, and related appurtenances.
(2) Construction of any water storage tanks and reservoirs of less than 100,000 gallon capacity.
(d) Class 4: Minor Alterations to Land.
(1) Minor alterations to land, water, or vegetation on any officially existing designated wildlife management areas or fish production facilities for the purpose of reducing the environmental potential for nuisances or vector production.
(2) Any minor alterations to highway crossings for water supply and distribution lines.
NOTE

Authority cited: Section 208, Health and Safety Code; Section 21082, Public Resources Code; and Sections 15022(a) and 15300.4, Title 14, Division 6, California Administrative Code. Reference: Sections 15301, 15302, 15303, 15304 and 15308, Public Resources Code.

CROSS-REFERENCE TABLE
NOTE: Sections in Chapters 1 and 2 of Division 4 were renumbered by an order filed 5-1-79 which created a new Chapter 30. The following cross-reference table showing old and new section numbers is provided for research purposes.

*Those sections which were amended by the 5-1-79 order are asterisked.

OLD SECTION	NEW SECTION

	60091	66016
	60093	66020
	60095	66024
	60102	66028
	60103	66032
	60104	66036
	60105	66040
	60106	66048
	60107	66052
	60108	66056
	60109	66060
	60110	66064
	60111	66068
	60112	66072
	60113	66076
	60114	66080
	60115	66084
	60116	66088
	60117	66092
	60118	66096
	60119	66100
	60120	66104
	60121	66108
	60122	66120*
	60123	66124
	60124	66128
	60125	66132
	60127	66136
	60127	66136
	60128	66140
	60129	66144
	60130	66148
	60131	66160
	60133	66164
	60135	66176
	60137	66180
	60139	66184
	60141	66188
	60143	66196
	60145	66200
	60147	66204
	60149	66208
	60151	66212
	60153	66216
	60155	66220
	60157	66224
	60159	66228
	60161	66232
	60163	66236
	60165	66240
	60167	66300
	60169	66305
	60171	66310
	60173	66315
	60175	66320
	60177	66328
	60179	66336
	60181	66344
	60185	66352
	60187	66360
	60189	66370
	60191	66084*
	60193	66376*
	60195	66379*
	60197	66391
	60199	66384
	60201	66387*
	60203	66390*
	60205	66393*
	60207	66396*
	60209	66399
	60211	66402
	60213	66405
	60215	66408
	60217	66420
	60219	66428
	60221	66436*
	60223	66444*
	60225	66452*
	60227	66460
	60229	66470
	60231	66475
	60233	66480
	60235	66485*
	60237	66490*
	60239	66495
	60241	66500
	60243	66505
	60245	66510*
	60247	66520
	60249	66525
	60251	66530
	60253	66535*
	60255	66540*
	60257	66545
	60259	66550
	60261	66555
	60263	66560
	60265	66570
	60267	66595
	60269	66620
	60271	66645
	60273	66670*
	60275	66672
	60277	66674
	60279	66676
	60281	66680
	60283	66685
	60285	66880
	60287	66683
	60289	66886
	60291*	66889*
	60293	66892
	60295	66895
	60297	66898*
	
Chapter 3. Water Recycling Criteria
Article 1. Definitions
§60301. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code.
HISTORY

1. New Chapter 4 (§§ 60301-60357, not consecutive) filed 4-2-75; effective thirtieth day thereafter (Register 75, No. 14).
2. Renumbering of Chapter 4 (Sections 60301-60357, not consecutive) to Chapter 3 (Sections 60301-60357, not consecutive), filed 10-14-77; effective thirtieth day thereafter (Register 77, No. 42).
3. Amendment of chapter heading, repealer of section and amendment of Note filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.100. Approved Laboratory.
Note     •     History

“Approved laboratory” means a laboratory that has been certified by the Department to perform microbiological analyses pursuant to section 116390, Health and Safety Code. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.160. Coagulated Wastewater.
Note     •     History

“Coagulated wastewater” means oxidized wastewater in which colloidal and finely divided suspended matter have been destabilized and agglomerated upstream from a filter by the addition of suitable floc-forming chemicals. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.170. Conventional Treatment.
Note     •     History

“Conventional treatment” means a treatment chain that utilizes a sedimentation unit process between the coagulation and filtration processes and produces an effluent that meets the definition for disinfected tertiary recycled water. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.200. Direct Beneficial Use.
Note     •     History

“Direct beneficial use” means the use of recycled water that has been transported from the point of treatment or production to the point of use without an intervening discharge to waters of the State. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.220. Disinfected Secondary-2.2 Recycled Water.
Note     •     History

“Disinfected secondary-2.2 recycled water” means recycled water that has been oxidized and disinfected so that the median concentration of total coliform bacteria in the disinfected effluent does not exceed a most probable number (MPN) of 2.2 per 100 milliliters utilizing the bacteriological results of the last seven days for which analyses have been completed, and the number of total coliform bacteria does not exceed an MPN of 23 per 100 milliliters in more than one sample in any 30 day period. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.225. Disinfected Secondary-23 Recycled Water.
Note     •     History

“Disinfected secondary-23 recycled water” means recycled water that has been oxidized and disinfected so that the median concentration of total coliform bacteria in the disinfected effluent does not exceed a most probable number (MPN) of 23 per 100 milliliters utilizing the bacteriological results of the last seven days for which analyses have been completed, and the number of total coliform bacteria does not exceed an MPN of 240 per 100 milliliters in more than one sample in any 30 day period. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.230. Disinfected Tertiary Recycled Water.
Note     •     History

“Disinfected tertiary recycled water” means a filtered and subsequently disinfected wastewater that meets the following criteria: 
(a) The filtered wastewater has been disinfected by either: 
(1) A chlorine disinfection process following filtration that provides a CT (the product of total chlorine residual and modal contact time measured at the same point) value of not less than 450 milligram-minutes per liter at all times with a modal contact time of at least 90 minutes, based on peak dry weather design flow; or 
(2) A disinfection process that, when combined with the filtration process, has been demonstrated to inactivate and/or remove 99.999 percent of the plaque-forming units of F-specific bacteriophage MS2, or polio virus in the wastewater. A virus that is at least as resistant to disinfection as polio virus may be used for purposes of the demonstration. 
(b) The median concentration of total coliform bacteria measured in the disinfected effluent does not exceed an MPN of 2.2 per 100 milliliters utilizing the bacteriological results of the last seven days for which analyses have been completed and the number of total coliform bacteria does not exceed an MPN of 23 per 100 milliliters in more than one sample in any 30 day period. No sample shall exceed an MPN of 240 total coliform bacteria per 100 milliliters. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.240. Drift.
Note     •     History

“Drift” means the water that escapes to the atmosphere as water droplets from a cooling system. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.245. Drift Eliminator.
Note     •     History

“Drift eliminator” means a feature of a cooling system that reduces to a minimum the generation of drift from the system. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.250. Dual Plumbed System.
Note     •     History

“Dual plumbed system” or “dual plumbed” means a system that utilizes separate piping systems for recycled water and potable water within a facility and where the recycled water is used for either of the following purposes: 
(a) To serve plumbing outlets (excluding fire suppression systems) within a building or 
(b) Outdoor landscape irrigation at individual residences. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.300. F-Specific Bacteriophage MS-2.
Note     •     History

“F-specific bacteriophage MS-2” means a strain of a specific type of virus that infects coliform bacteria that is traceable to the American Type Culture Collection (ATCC 15597B1) and is grown on lawns of E. coli (ATCC 15597). 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.310. Facility.
Note     •     History

“Facility” means any type of building or structure, or a defined area of specific use that receives water for domestic use from a public water system as defined in section 116275 of the Health and Safety Code. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.320. Filtered Wastewater.
Note     •     History

“Filtered wastewater” means an oxidized wastewater that meets the criteria in subsection (a) or (b): 
(a) Has been coagulated and passed through natural undisturbed soils or a bed of filter media pursuant to the following: 
(1) At a rate that does not exceed 5 gallons per minute per square foot of surface area in mono, dual or mixed media gravity, upflow or pressure filtration systems, or does not exceed 2 gallons per minute per square foot of surface area in traveling bridge automatic backwash filters; and 
(2) So that the turbidity of the filtered wastewater does not exceed any of the following: 
(A) An average of 2 NTU within a 24-hour period; 
(B) 5 NTU more than 5 percent of the time within a 24-hour period; and 
(C) 10 NTU at any time. 
(b) Has been passed through a microfiltration, ultrafiltration, nanofiltration, or reverse osmosis membrane so that the turbidity of the filtered wastewater does not exceed any of the following: 
(1) 0.2 NTU more than 5 percent of the time within a 24-hour period; and 
(2) 0.5 NTU at any time. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.330. Food Crops.
Note     •     History

“Food crops” means any crops intended for human consumption. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.400. Hose Bibb.
Note     •     History

“Hose bibb” means a faucet or similar device to which a common garden hose can be readily attached. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.550. Landscape Impoundment.
Note     •     History

“Landscape impoundment” means an impoundment in which recycled water is stored or used for aesthetic enjoyment or landscape irrigation, or which otherwise serves a similar function and is not intended to include public contact. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.600. Modal Contact Time.
Note     •     History

“Modal contact time” means the amount of time elapsed between the time that a tracer, such as salt or dye, is injected into the influent at the entrance to a chamber and the time that the highest concentration of the tracer is observed in the effluent from the chamber. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.620. Nonrestricted Recreational Impoundment.
Note     •     History

“Nonrestricted recreational impoundment” means an impoundment of recycled water, in which no limitations are imposed on body-contact water recreational activities. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.630. NTU.
Note     •     History

“NTU” (Nephelometric turbidity unit) means a measurement of turbidity as determined by the ratio of the intensity of light scattered by the sample to the intensity of incident light as measured by method 2130 B. in Standard Methods for the Examination of Water and Wastewater, 20th ed.; Eaton, A. D., Clesceri, L. S., and Greenberg, A. E., Eds; American Public Health Association: Washington, DC, 1995; p. 2-8. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.650. Oxidized Wastewater.
Note     •     History

“Oxidized wastewater” means wastewater in which the organic matter has been stabilized, is nonputrescible, and contains dissolved oxygen. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.660. Peak Dry Weather Design Flow.
Note     •     History

“Peak Dry Weather Design Flow” means the arithmetic mean of the maximum peak flow rates sustained over some period of time (for example three hours) during the maximum 24-hour dry weather period. Dry weather period is defined as periods of little or no rainfall. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.700. Recycled Water Agency.
Note     •     History

“Recycled water agency” means the public water system, or a publicly or privately owned or operated recycled water system, that delivers or proposes to deliver recycled water to a facility. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.710. Recycling Plant.
Note     •     History

“Recycling plant” means an arrangement of devices, structures, equipment, processes and controls which produce recycled water. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.740. Regulatory Agency.
Note     •     History

“Regulatory agency” means the California Regional Water Quality Control Board(s) that have jurisdiction over the recycling plant and use areas. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.750. Restricted Access Golf Course.
Note     •     History

“Restricted access golf course” means a golf course where public access is controlled so that areas irrigated with recycled water cannot be used as if they were part of a park, playground, or school yard and where irrigation is conducted only in areas and during periods when the golf course is not being used by golfers. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.760. Restricted Recreational Impoundment.
Note     •     History

“Restricted recreational impoundment” means an impoundment of recycled water in which recreation is limited to fishing, boating, and other non-body-contact water recreational activities. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.800. Spray Irrigation.
Note     •     History

“Spray irrigation” means the application of recycled water to crops to maintain vegetation or support growth of vegetation by applying it from sprinklers. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.830. Standby Unit Process.
Note     •     History

“Standby unit process” means an alternate unit process or an equivalent alternative process which is maintained in operable condition and which is capable of providing comparable treatment of the actual flow through the unit for which it is a substitute. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.900. Undisinfected Secondary Recycled Water.
Note     •     History

“Undisinfected secondary recycled water” means oxidized wastewater. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60301.920. Use Area.
Note     •     History

“Use area” means an area of recycled water use with defined boundaries. A use area may contain one or more facilities.
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
Article 2. Sources of Recycled Water
§60302. Source Specifications.
Note     •     History

The requirements in this chapter shall only apply to recycled water from sources that contain domestic waste, in whole or in part. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. Repealer of former article 2 (sections 60303-60307) and new article 2 (section 60302) and section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
Article 3. Uses of Recycled Water
§60303. Exceptions.
Note     •     History

The requirements set forth in this chapter shall not apply to the use of recycled water onsite at a water recycling plant, or wastewater treatment plant, provided access by the public to the area of onsite recycled water use is restricted. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. Repealer of former article 3 (sections 60309-60311) and new article 3 (sections 60303-60307) and section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60304. Use of Recycled Water for Irrigation.
Note     •     History

(a) Recycled water used for the surface irrigation of the following shall be a disinfected tertiary recycled water, except that for filtration pursuant to Section 60301.320(a) coagulation need not be used as part of the treatment process provided that the filter effluent turbidity does not exceed 2 NTU, the turbidity of the influent to the filters is continuously measured, the influent turbidity does not exceed 5 NTU for more than 15 minutes and never exceeds 10 NTU, and that there is the capability to automatically activate chemical addition or divert the wastewater should the filter influent turbidity exceed 5 NTU for more than 15 minutes: 
(1) Food crops, including all edible root crops, where the recycled water comes into contact with the edible portion of the crop, 
(2) Parks and playgrounds, 
(3) School yards, 
(4) Residential landscaping, 
(5) Unrestricted access golf courses, and 
(6) Any other irrigation use not specified in this section and not prohibited by other sections of the California Code of Regulations. 
(b) Recycled water used for the surface irrigation of food crops where the edible portion is produced above ground and not contacted by the recycled water shall be at least disinfected secondary-2.2 recycled water. 
(c) Recycled water used for the surface irrigation of the following shall be at least disinfected secondary-23 recycled water: 
(1) Cemeteries, 
(2) Freeway landscaping, 
(3) Restricted access golf courses, 
(4) Ornamental nursery stock and sod farms where access by the general public is not restricted, 
(5) Pasture for animals producing milk for human 
consumption, and 
(6) Any nonedible vegetation where access is controlled so that the irrigated area cannot be used as if it were part of a park, playground or school yard 
(d) Recycled wastewater used for the surface irrigation of the following shall be at least undisinfected secondary recycled water: 
(1) Orchards where the recycled water does not come into contact with the edible portion of the crop, 
(2) Vineyards where the recycled water does not come into contact with the edible portion of the crop, 
(3) Non food-bearing trees (Christmas tree farms are included in this category provided no irrigation with recycled water occurs for a period of 14 days prior to harvesting or allowing access by the general public), 
(4) Fodder and fiber crops and pasture for animals not producing milk for human consumption, 
(5) Seed crops not eaten by humans, 
(6) Food crops that must undergo commercial pathogen-destroying processing before being consumed by humans, and 
(7) Ornamental nursery stock and sod farms provided no irrigation with recycled water occurs for a period of 14 days prior to harvesting, retail sale, or allowing access by the general public. 
(e) No recycled water used for irrigation, or soil that has been irrigated with recycled water, shall come into contact with the edible portion of food crops eaten raw by humans unless the recycled water complies with subsection (a). 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60305. Use of Recycled Water For Impoundments.
Note     •     History

(a) Except as provided in subsection (b), recycled water used as a source of water supply for nonrestricted recreational impoundments shall be disinfected tertiary recycled water that has been subjected to conventional treatment. 
(b) Disinfected tertiary recycled water that has not received conventional treatment may be used for nonrestricted recreational impoundments provided the recycled water is monitored for the presence of pathogenic organisms in accordance with the following: 
(1) During the first 12 months of operation and use the recycled water shall be sampled and analyzed monthly for Giardia, enteric viruses, and Cryptosporidium. Following the first 12 months of use, the recycled water shall be sampled and analyzed quarterly for Giardia, enteric viruses, and Cryptosporidium. The ongoing monitoring may be discontinued after the first two years of operation with the approval of the department. This monitoring shall be in addition to the monitoring set forth in section 60321. 
(2) The samples shall be taken at a point following disinfection and prior to the point where the recycled water enters the use impoundment. The samples shall be analyzed by an approved laboratory and the results submitted quarterly to the regulatory agency. 
(c) The total coliform bacteria concentrations in recycled water used for nonrestricted recreational impoundments, measured at a point between the disinfection process and the point of entry to the use impoundment, shall comply with the criteria specified in section 60301.230 (b) for disinfected tertiary recycled water. 
(d) Recycled water used as a source of supply for restricted recreational impoundments and for any publicly accessible impoundments at fish hatcheries shall be at least disinfected secondary-2.2 recycled water. 
(e) Recycled water used as a source of supply for landscape impoundments that do not utilize decorative fountains shall be at least disinfected secondary-23 recycled water. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. Repealer and new section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60306. Use of Recycled Water for Cooling.
Note     •     History

(a) Recycled water used for industrial or commercial cooling or air conditioning that involves the use of a cooling tower, evaporative condenser, spraying or any mechanism that creates a mist shall be a disinfected tertiary recycled water. 
(b) Use of recycled water for industrial or commercial cooling or air conditioning that does not involve the use of a cooling tower, evaporative condenser, spraying, or any mechanism that creates a mist shall be at least disinfected secondary-23 recycled water. 
(c) Whenever a cooling system, using recycled water in conjunction with an air conditioning facility, utilizes a cooling tower or otherwise creates a mist that could come into contact with employees or members of the public, the cooling system shall comply with the following: 
(1) A drift eliminator shall be used whenever the cooling system is in operation. 
(2) A chlorine, or other, biocide shall be used to treat the cooling system recirculating water to minimize the growth of Legionella and other micro-organisms. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60307. Use of Recycled Water for Other Purposes.
Note     •     History

(a) Recycled water used for the following shall be disinfected tertiary recycled water, except that for filtration being provided pursuant to Section 60301.320(a) coagulation need not be used as part of the treatment process provided that the filter effluent turbidity does not exceed 2 NTU, the turbidity of the influent to the filters is continuously measured, the influent turbidity does not exceed 5 NTU for more than 15 minutes and never exceeds 10 NTU, and that there is the capability to automatically activate chemical addition or divert the wastewater should the filter influent turbidity exceed 5 NTU for more than 15 minutes: 
(1) Flushing toilets and urinals, 
(2) Priming drain traps, 
(3) Industrial process water that may come into contact with workers, 
(4) Structural fire fighting, 
(5) Decorative fountains, 
(6) Commercial laundries, 
(7) Consolidation of backfill around potable water pipelines, 
(8) Artificial snow making for commercial outdoor use, and 
(9) Commercial car washes, including hand washes if the recycled water is not heated, where the general public is excluded from the washing process. 
(b) Recycled water used for the following uses shall be at least disinfected secondary-23 recycled water: 
(1) Industrial boiler feed, 
(2) Nonstructural fire fighting, 
(3) Backfill consolidation around nonpotable piping, 
(4) Soil compaction, 
(5) Mixing concrete, 
(6) Dust control on roads and streets, 
(7) Cleaning roads, sidewalks and outdoor work areas and 
(8) Industrial process water that will not come into contact with workers. 
(c) Recycled water used for flushing sanitary sewers shall be at least undisinfected secondary recycled water. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. Repealer and new section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60309. Fodder, Fiber, and Seed Crops. [Repealed]
History

HISTORY

1. Repealer of former article 3 (sections 60309-60311) and repealer of section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
Article 4. Use Area Requirements
§60310. Use Area Requirements.
Note     •     History

(a) No irrigation with disinfected tertiary recycled water shall take place within 50 feet of any domestic water supply well unless all of the following conditions have been met: 
(1) A geological investigation demonstrates that an aquitard exists at the well between the uppermost aquifer being drawn from and the ground surface. 
(2) The well contains an annular seal that extends from the surface into the aquitard. 
(3) The well is housed to prevent any recycled water spray from coming into contact with the wellhead facilities. 
(4) The ground surface immediately around the wellhead is contoured to allow surface water to drain away from the well. 
(5) The owner of the well approves of the elimination of the buffer zone requirement. 
(b) No impoundment of disinfected tertiary recycled water shall occur within 100 feet of any domestic water supply well. 
(c) No irrigation with, or impoundment of, disinfected secondary-2.2 or disinfected secondary-23 recycled water shall take place within 100 feet of any domestic water supply well. 
(d) No irrigation with, or impoundment of, undisinfected secondary recycled water shall take place within 150 feet of any domestic water supply well. 
(e) Any use of recycled water shall comply with the following: 
(1) Any irrigation runoff shall be confined to the recycled water use area, unless the runoff does not pose a public health threat and is authorized by the regulatory agency. 
(2) Spray, mist, or runoff shall not enter dwellings, designated outdoor eating areas, or food handling facilities. 
(3) Drinking water fountains shall be protected against contact with recycled water spray, mist, or runoff. 
(f) No spray irrigation of any recycled water, other than disinfected tertiary recycled water, shall take place within 100 feet of a residence or a place where public exposure could be similar to that of a park, playground, or school yard. 
(g) All use areas where recycled water is used that are accessible to the public shall be posted with signs that are visible to the public, in a size no less than 4 inches high by 8 inches wide, that include the following wording: “RECYCLED WATER - DO NOT DRINK”. Each sign shall display an international symbol similar to that shown in figure 60310-A. The Department may accept alternative signage and wording, or an educational program, provided the applicant demonstrates to the Department that the alternative approach will assure an equivalent degree of public notification. 
(h) Except as allowed under section 7604 of title 17, California Code of Regulations, no physical connection shall be made or allowed to exist between any recycled water system and any separate system conveying potable water. 
(i) The portions of the recycled water piping system that are in areas subject to access by the general public shall not include any hose bibbs. Only quick couplers that differ from those used on the potable water system shall be used on the portions of the recycled water piping system in areas subject to public access. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. Repealer of former article 4 (section 60313) and new article 4 (section 60310) and section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).

View Graphic
§60311. Pasture for Milking Animals. [Repealed]
History

HISTORY

1. Repealer filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
Article 5. Dual Plumbed Recycled Water Systems
§60313. General Requirements.
Note     •     History

(a) No person other than a recycled water agency shall deliver recycled water to a dual-plumbed facility. 
(b) No recycled water agency shall deliver recycled water for any internal use to any individually-owned residential units including free-standing structures, multiplexes, or condominiums. 
(c) No recycled water agency shall deliver recycled water for internal use except for fire suppression systems, to any facility that produces or processes food products or beverages. For purposes of this Subsection, cafeterias or snack bars in a facility whose primary function does not involve the production or processing of foods or beverages are not considered facilities that produce or process foods or beverages. 
(d) No recycled water agency shall deliver recycled water to a facility using a dual plumbed system unless the report required pursuant to section 13522.5 of the Water Code, and which meets the requirements set forth in section 60314, has been submitted to, and approved by, the regulatory agency. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13521, 13522.5, 13523.1, 13553 and 13554, Water Code. 
HISTORY

1. Amendment filed 9-22-78; effective thirtieth day thereafter (Register 78, No. 38).
2. Repealer of former article 4 (section 60313) and new article 5 (sections 60313-60316) and section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60314. Report Submittal.
Note     •     History

(a) For dual-plumbed recycled water systems, the report submitted pursuant to section 13522.5 of the Water Code shall contain the following information in addition to the information required by section 60323: 
(1) A detailed description of the intended use area identifying the following: 
(A) The number, location, and type of facilities within the use area proposing to use dual plumbed systems, 
(B) The average number of persons estimated to be served by each facility on a daily basis, 
(C) The specific boundaries of the proposed use area including a map showing the location of each facility to be served, 
(D) The person or persons responsible for operation of the dual plumbed system at each facility, and 
(E) The specific use to be made of the recycled water at each facility. 
(2) Plans and specifications describing the following: 
(A) Proposed piping system to be used, 
(B) Pipe locations of both the recycled and potable systems, 
(C) Type and location of the outlets and plumbing fixtures that will be accessible to the public, and 
(D) The methods and devices to be used to prevent backflow of recycled water into the public water system. 
(3) The methods to be used by the recycled water agency to assure that the installation and operation of the dual plumbed system will not result in cross connections between the recycled water piping system and the potable water piping system. This shall include a description of pressure, dye or other test methods to be used to test the system every four years. 
(b) A master plan report that covers more than one facility or use site may be submitted provided the report includes the information required by this section. Plans and specifications for individual facilities covered by the report may be submitted at any time prior to the delivery of recycled water to the facility. 
NOTE

Authority cited: Sections 13521 and 13522.5, Water Code. Reference: Sections 13521, 13522.5, 13523.1, 13553 and 13554, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60315. Design Requirements.
Note     •     History

The public water supply shall not be used as a backup or supplemental source of water for a dual-plumbed recycled water system unless the connection between the two systems is protected by an air gap separation which complies with the requirements of sections 7602(a) and 7603(a) of title 17, California Code of Regulations, and the approval of the public water system has been obtained. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13521, 13523.1, 13553 and 13554, Water Code. 
HISTORY

1. Repealer of former article 5 (sections 60315-60319) and repealer and new section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60316. Operation Requirements.
Note     •     History

(a) Prior to the initial operation of the dual-plumbed recycled water system and annually thereafter, the Recycled Water Agency shall ensure that the dual plumbed system within each facility and use area is inspected for possible cross connections with the potable water system. The recycled water system shall also be tested for possible cross connections at least once every four years. The testing shall be conducted in accordance with the method described in the report submitted pursuant to section 60314. The inspections and the testing shall be performed by a cross connection control specialist certified by the California-Nevada section of the American Water Works Association or an organization with equivalent certification requirements. A written report documenting the result of the inspection or testing for the prior year shall be submitted to the department within 30 days following completion of the inspection or testing. 
(b) The recycled water agency shall notify the department of any incidence of backflow from the dual-plumbed recycled water system into the potable water system within 24 hours of the discovery of the incident. 
(c) Any backflow prevention device installed to protect the public water system serving the dual-plumbed recycled water system shall be inspected and maintained in accordance with section 7605 of Title 17, California Code of Regulations. 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13521, 13553 and 13554, Water Code. 
HISTORY

1. New section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60317. Restricted Recreational Impoundment. [Repealed]
History

HISTORY

1. Repealer filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§60319. Landscape Impoundment. [Repealed]
History

HISTORY

1. Repealer filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
Article 5.1. Groundwater Recharge
§60320. Groundwater Recharge.
Note     •     History

(a) Reclaimed water used for groundwater recharge of domestic water supply aquifers by surface spreading shall be at all times of a quality that fully protects public health. The State Department of Health Services' recommendations to the Regional Water Quality Control Boards for proposed groundwater recharge projects and for expansion of existing projects will be made on an individual case basis where the use of reclaimed water involves a potential risk to public health.
(b) The State Department of Health Services' recommendations will be based on all relevant aspects of each project, including the following factors: treatment provided; effluent quality and quantity; spreading area operations; soil characteristics; hydrogeology; residence time; and distance to withdrawal.
(c) The State Department of Health Services will hold a public hearing prior to making the final determination regarding the public health aspects of each groundwater recharge project. Final recommendations will be submitted to the Regional Water Quality Control Board in an expeditious manner.
NOTE

Authority cited: Section 208, Health and Safety Code; and Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code.
HISTORY

1. New Article 5.1 (Section 60320) filed 9-22-78; effective thirtieth day thereafter (Register 78, No. 38).
2. Editorial correction of NOTE filed 12-3-84 (Register 84, No. 49).
Article 5.5. Other Methods of Treatment
§60320.5. Other Methods of Treatment.
Note     •     History

Methods of treatment other than those included in this chapter and their reliability features may be accepted if the applicant demonstrates to the satisfaction of the State Department of Health that the methods of treatment and reliability features will assure an equal degree of treatment and reliability.
NOTE

Authority cited: Section 208, Health and Safety Code; and Section 13521, Water Code. Reference: Section 13520, Water Code.
HISTORY

1. Renumbering of Article 11 (Section 60357) to Article 5.5 (Section 60320.5) filed 9-22-78; effective thirtieth day thereafter (Register 78, No. 38).
Article 6. Sampling and Analysis
§60321. Sampling and Analysis.
Note     •     History

(a) Disinfected secondary-23, disinfected secondary-2.2, and disinfected tertiary recycled water shall be sampled at least once daily for total coliform bacteria. The samples shall be taken from the disinfected effluent and shall be analyzed by an approved laboratory. 
(b) Disinfected tertiary recycled water shall be continuously sampled for turbidity using a continuous turbidity meter and recorder following filtration. Compliance with the daily average operating filter effluent turbidity shall be determined by averaging the levels of recorded turbidity taken at four-hour intervals over a 24-hour period. Compliance with turbidity pursuant to section 60301.320(a)(2)(B) and (b)(1) shall be determined using the levels of recorded turbidity taken at intervals of no more than 1.2-hours over a 24-hour period. Should the continuous turbidity meter and recorder fail, grab sampling at a minimum frequency of 1.2-hours may be substituted for a period of up to 24-hours. The results of the daily average turbidity determinations shall be reported quarterly to the regulatory agency. 
(c) The producer or supplier of the recycled water shall conduct the sampling required in subsections (a) and (b). 
NOTE

Authority cited: Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code. 
HISTORY

1. Repealer and new section filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
Article 7. Engineering Report and Operational Requirements
§60323. Engineering Report.

(a) No person shall produce or supply reclaimed water for direct reuse from a proposed water reclamation plant unless he files an engineering report.
(b) The report shall be prepared by a properly qualified engineer registered in California and experienced in the field of wastewater treatment, and shall contain a description of the design of the proposed reclamation system. The report shall clearly indicate the means for compliance with these regulations and any other features specified by the regulatory agency.
(c) The report shall contain a contingency plan which will assure that no untreated or inadequately-treated wastewater will be delivered to the use area.
§60325. Personnel.
Note     •     History

(a) Each reclamation plant shall be provided with a sufficient number of qualified personnel to operate the facility effectively so as to achieve the required level of treatment at all times.
(b) Qualified personnel shall be those meeting requirements established pursuant to Chapter 9 (commencing with Section 13625) of the Water Code.
NOTE

Authority cited: Section 208, Health and Safety Code; and Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code.
HISTORY

1. New NOTE filed 12-3-84 (Register 84, No. 49).
§60327. Maintenance.
Note     •     History

A preventive maintenance program shall be provided at each reclamation plant to ensure that all equipment is kept in a reliable operating condition.
NOTE

Authority cited: Section 208, Health and Safety Code; and Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code.
HISTORY

1. New NOTE filed 12-3-84 (Register 84, No. 49).
§60329. Operating Records and Reports.
Note     •     History

(a) Operating records shall be maintained at the reclamation plant or a central depository within the operating agency. These shall include: all analyses specified in the reclamation criteria; records of operational problems, plant and equipment breakdowns, and diversions to emergency storage or disposal; all corrective or preventive action taken.
(b) Process or equipment failures triggering an alarm shall be recorded and maintained as a separate record file. The recorded information shall include the time and cause of failure and corrective action taken.
(c) A monthly summary of operating records as specified under (a) of this section shall be filed monthly with the regulatory agency.
(d) Any discharge of untreated or partially treated wastewater to the use area, and the cessation of same, shall be reported immediately by telephone to the regulatory agency, the State Department of Health, and the local health officer.
NOTE

Authority cited: Section 208, Health and Safety Code; and Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code.
HISTORY

1. New NOTE filed 12-3-84 (Register 84, No. 49).
§60331. Bypass.
Note     •     History

There shall be no bypassing of untreated or partially treated wastewater from the reclamation plant or any intermediate unit processes to the point of use.
NOTE

Authority cited: Section 208, Health and Safety Code; and Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code.
HISTORY

1. New NOTE filed 12-3-84 (Register 84, No. 49).
Article 8. General Requirements of Design
§60333. Flexibility of Design.

The design of process piping, equipment arrangement, and unit structures in the reclamation plant must allow for efficiency and convenience in operation and maintenance and provide flexibility of operation to permit the highest possible degree of treatment to be obtained under varying circumstances.
§60335. Alarms.

(a) Alarm devices required for various unit processes as specified in other sections of these regulations shall be installed to provide warning of:
(1) Loss of power from the normal power supply.
(2) Failure of a biological treatment process.
(3) Failure of a disinfection process.
(4) Failure of a coagulation process.
(5) Failure of a filtration process.
(6) Any other specific process failure for which warning is required by the regulatory agency.
(b) All required alarm devices shall be independent of the normal power supply of the reclamation plant.
(c) The person to be warned shall be the plant operator, superintendent, or any other responsible person designated by the management of the reclamation plant and capable of taking prompt corrective action.
(d) Individual alarm devices may be connected to a master alarm to sound at a location where it can be conveniently observed by the attendant. In case the reclamation plant is not attended full time, the alarm(s) shall be connected to sound at a police station, fire station or other full-time service unit with which arrangements have been made to alert the person in charge at times that the reclamation plant is unattended.
§60337. Power Supply.

The power supply shall be provided with one of the following reliability features:
(a) Alarm and standby power source.
(b) Alarm and automatically actuated short-term retention or disposal provisions as specified in Section 60341.
(c) Automatically actuated long-term storage or disposal provisions as specified in Section 60341.
Article 9. Alternative Reliability Requirements for Uses Permitting Primary Effluent
§60339. Primary Treatment.

Reclamation plants producing reclaimed water exclusively for uses for which primary effluent is permitted shall be provided with one of the following reliability features:
(a) Multiple primary treatment units capable of producing primary effluent with one unit not in operation.
(b) Long-term storage or disposal provisions as specified in Section 60341.
Article 10. Alternative Reliability Requirements for Uses Requiring Oxidized, Disinfected Wastewater or Oxidized, Coagulated, Clarified, Filtered, Disinfected Wastewater
§60341. Emergency Storage or Disposal.

(a) Where short-term retention or disposal provisions are used as a reliability feature, these shall consist of facilities reserved for the purpose of storing or disposing of untreated or partially treated wastewater for at least a 24-hour period. The facilities shall include all the necessary diversion devices, provisions for odor control, conduits, and pumping and pump back equipment. All of the equipment other than the pump back equipment shall be either independent of the normal power supply or provided with a standby power source.
(b) Where long-term storage or disposal provisions are used as a reliability feature, these shall consist of ponds, reservoirs, percolation areas, downstream sewers leading to other treatment or disposal facilities or any other facilities reserved for the purpose of emergency storage or disposal of untreated or partially treated wastewater. These facilities shall be of sufficient capacity to provide disposal or storage of wastewater for at least 20 days, and shall include all the necessary diversion works, provisions for odor and nuisance control, conduits, and pumping and pump back equipment. All of the equipment other than the pump back equipment shall be either independent of the normal power supply or provided with a standby power source.
(c) Diversion to a less demanding reuse is an acceptable alternative to emergency disposal of partially treated wastewater provided that the quality of the partially treated wastewater is suitable for the less demanding reuse.
(d) Subject to prior approval by the regulatory agency, diversion to a discharge point which requires lesser quality of wastewater is an acceptable alternative to emergency disposal of partially treated wastewater.
(e) Automatically actuated short-term retention or disposal provisions and automatically actuated long-term storage or disposal provisions shall include, in addition to provisions of (a), (b), (c), or (d) of this section, all the necessary sensors, instruments, valves and other devices to enable fully automatic diversion of untreated or partially treated wastewater to approved emergency storage or disposal in the event of failure of a treatment process and a manual reset to prevent automatic restart until the failure is corrected.
§60343. Primary Treatment.

All primary treatment unit processes shall be provided with one of the following reliability features: 
(a) Multiple primary treatment units capable of producing primary effluent with one unit not in operation.
(b) Standby primary treatment unit process.
(c) Long-term storage or disposal provisions.
§60345. Biological Treatment.

All biological treatment unit processes shall be provided with one of the following reliability features:
(a) Alarm and multiple biological treatment units capable of producing oxidized wastewater with one unit not in operation.
(b) Alarm, short-term retention or disposal provisions, and standby replacement equipment.
(c) Alarm and long-term storage or disposal provisions.
(d) Automatically actuated long-term storage or disposal provisions.
§60347. Secondary Sedimentation.

All secondary sedimentation unit processes shall be provided with one of the following reliability features:
(a) Multiple sedimentation units capable of treating the entire flow with one unit not in operation.
(b) Standby sedimentation unit process.
(c) Long-term storage or disposal provisions.
§60349. Coagulation.

(a) All coagulation unit processes shall be provided with the following mandatory features for uninterrupted coagulant feed:
(1) Standby feeders,
(2) Adequate chemical stowage and conveyance facilities,
(3) Adequate reserve chemical supply, and
(4) Automatic dosage control.
(b) All coagulation unit processes shall be provided with one of the following reliability features:
(1) Alarm and multiple coagulation units capable of treating the entire flow with one unit not in operation;
(2) Alarm, short-term retention or disposal provisions, and standby replacement equipment;
(3) Alarm and long-term storage or disposal provisions;
(4) Automatically actuated long-term storage or disposal provisions, or
(5) Alarm and standby coagulation process.
§60351. Filtration.

All filtration unit processes shall be provided with one of the following reliability features:
(a) Alarm and multiple filter units capable of treating the entire flow with one unit not in operation.
(b) Alarm, short-term retention or disposal provisions and standby replacement equipment.
(c) Alarm and long-term storage or disposal provisions.
(d) Automatically actuated long-term storage or disposal provisions.
(e) Alarm and standby filtration unit process.
§60353. Disinfection.

(a) All disinfection unit processes where chlorine is used as the disinfectant shall be provided with the following features for uninterrupted chlorine feed:
(1) Standby chlorine supply,
(2) Manifold systems to connect chlorine cylinders,
(3) Chlorine scales, and
(4) Automatic devices for switching to full chlorine cylinders.
Automatic residual control of chlorine dosage, automatic measuring and recording of chlorine residual, and hydraulic performance studies may also be required.
(b) All disinfection unit processes where chlorine is used as the disinfectant shall be provided with one of the following reliability features:
(1) Alarm and standby chlorinator;
(2) Alarm, short-term retention or disposal provisions, and standby replacement equipment;
(3) Alarm and long-term storage or disposal provisions;
(4) Automatically actuated long-term storage or disposal provisions; or
(5) Alarm and multiple point chlorination, each with independent power source, separate chlorinator, and separate chlorine supply.
§60355. Other Alternatives to Reliability Requirements.
Note     •     History

Other alternatives to reliability requirements set forth in Articles 8 to 10 may be accepted if the applicant demonstrates to the satisfaction of the State Department of Health that the proposed alternative will assure an equal degree of reliability.
NOTE

Authority cited: Section 208, Health and Safety Code; and Section 13521, Water Code. Reference: Sections 13520 and 13521, Water Code.
HISTORY

1. New NOTE filed 12-3-84 (Register 84, No. 49).
Article 11. Other Methods of Treatment [Renumbered]
HISTORY

1. Renumbering of Article 11 (Section 60357) to Article 5.5 (Section 60320.5) filed 9-22-78; effective thirtieth day thereafter (Register 78, No. 38.) For history of former Article 11, see Registers 75, No. 14 and 77, No. 42.
Chapter 4. Water Treatment Devices
Article 1. Definitions
§60400. Certification.
Note     •     History

“Certification” means that a water treatment device or a treatment component used in water treatment devices has met the testing requirements specified in section 60435 or the testing requirements accepted by the Department pursuant to section 116830(c) of the Health and Safety Code as defined in section 60440.
NOTE

Authority cited: Sections 116830, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 116350, 116825, 116830 and 116835, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
2. Editorial correction of printing error restoring chapter 4 and article 1 headings (Register 91, No. 31).
3. Change without regulatory effect amending section and Note filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
§60401. Health and Safety Claim.
Note     •     History

(a) “Health or Safety Claim” means one or more of the following:
(1) Any claim that the water treatment device or treatment component will remove or reduce a contaminant for which a primary drinking water standard as defined in Health and Safety Code section 116275 or a treatment requirement as authorized in sections 116365(j) and 116375(d) of the Health and Safety Code has been established.
(2) Any claim that the water treatment device or treatment component will remove or reduce a contaminant for which a national primary drinking water standard or treatment requirement has been established under the U.S. Safe Drinking Water Act (PL 93-523 and as amended under PL 99-339) (42 U.S.C. section 300g-1).
(3) Any claim that the water treatment device or treatment component will remove or reduce a contaminant which has been determined to present a health risk by the United States Environmental Protection Agency pursuant to sections 1445(a)(2) and 1445(a)(3) of the U.S. Safe Drinking Water Act (PL 93-523 and as amended under PL 99-339) (42 U.S.C. section 300j-4(a)(2) and (a)(3)).
NOTE

Authority cited: Sections 116375, 116830 and 131200, Health and Safety Code. Reference: Sections 116275, 116365, 116375, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
2. Change without regulatory effect amending subsections (a)(1)-(2) and Note filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
§60402. Independent Laboratory.
Note     •     History

“Independent Laboratory” means a laboratory that is neither owned or operated by the manufacturer or an entity which is a parent or subsidiary company to the manufacturer of a water treatment device or treatment component nor is in a partnership with the manufacturer or entity which is a parent or subsidiary company to the manufacturer.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Sections 4057 and 4057.1, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
§60403. Manufacturer.
Note     •     History

(a) “Manufacturer” means any person, as defined by section 116825(c) of the California Health and Safety Code, that makes, converts, constructs, or produces water treatment devices or treatment components for the purpose of sale, lease or rent to individuals, corporations, associations, or other entities. Manufacturer also includes:
(1) Persons that assemble water treatment devices or treatment components from components manufactured by another entity.
(2) Persons who add their own product name or product identification to water treatment devices or treatment components which have been manufactured or assembled by another entity.
NOTE

Authority cited: Sections 116830 and 131200, Health and Safety Reference: Sections 116825, 116830, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
2. Change without regulatory effect amending subsection (a) and Note filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
§60404. Recognized Testing Organization.
Note     •     History

“Recognized Testing Organization” means an independent laboratory which has been accredited by the Department pursuant to Health and Safety Code, division 1, part 2, chapter 7.5, section 1010 et seq.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Sections 4010.1, 4057 and 4057.1, Health and Safety Code. 
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
§60405. Testing Requirements.
Note     •     History

“Testing Requirements” means the contaminant reduction and general performance requirements pursuant to section 60435.
NOTE

Authority Cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Sections 4057 and 4057.1. Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
§60406. Modification.
Note     •     History

“Modification” means any change made to a certified water treatment device or certified treatment component which may affect its performance in meeting the testing requirements or an change in the health or safety claims made with respect to the certified water treatment device or certified treatment component.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Sections 4057 and 4057.1, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
Article 2. Certification Requirements
§60407. Certification Period.
Note     •     History

The certification shall be valid for one year and shall be renewable for a period not to exceed five years.
NOTE

Authority cited: Sections 208, 4057.1 and 4057.2, Health and Safety Code. Reference: Sections 4057.1 and 4057.2, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
2. Editorial correction of printing error restoring article 2 heading (Register 91, No. 31).
Article 3. Application Requirements
§60410. Certification Application.
Note     •     History

(a) Application for certification shall be submitted by the manufacturer for each water treatment device or treatment component.
(b) A completed application shall include the following:
(1) Applicant business name, address, and phone number.
(2) A contact person, address, and phone number.
(3) The identification of each and every specific contaminant for each and every health or safety claim which is made for the water treatment device or treatment component.
(4) Product design specifications and engineering information including blueprints or similar drawing which will provide detailed information about the construction of the water treatment device and treatment components.
(5) Parts list for the water treatment device or treatment component.
(6) Test data and verification as prescribed by section 60435, 60445, 60450 or 60455.
(7) A list of all names, model numbers, or other product identifications which are used by the manufacturer to describe the water treatment device or treatment component.
(8) A statement containing the following declaration by the manufacturer: “This water treatment device or treatment component, which is identified as (insert name, model number, or other product identification) has been toxicologically reviewed and tested to verify that no substances are contributed by the unit to the treated water at levels that would adversely affect the health of the users. The toxicological review and testing was conducted pursuant to the requirements of the material review and qualifications procedures contained in the appropriate testing standard referenced in Table I of section 60435 or Table II of section 60450”.
(9) The application shall be signed by a person in a principal management position.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Section 4057.1, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
2. Editorial correction of printing error in Reference and restoring article 3 heading (Register 91, No. 31).
§60415. Certification Renewal.
Note     •     History

(a) A completed application for renewal of a certification shall be submitted by the manufacturer. A completed application shall include the following:
(1) Applicant business name, address, and phone number.
(2) A contact person, address, and phone number.
(3) A written statement that identifies any change to the information provided as described in section 60410(b)(7) and (8) or changes to section 60410(b)(4) and (5) which do not constitute modifications.
(4) The application shall be signed by a person in a principal management position.
(b) The manufacturer shall be responsible for making application for renewal of a certification at least 30 days prior to the expiration date. If the application is submitted after that date, a late application penalty must be paid.
(c) In the event that the application for renewal of the certification is denied by the department, the manufacturer will be notified by registered mail of the denial and the reasons for the denial. The manufacturer may appeal the denial in accordance with Government Code, title 2, division 3, chapter 5, section 11500 et seq. The registered letter providing notice of the denial will be considered the accusation within the appeal process.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Section 4057.1, Health and Safety Code. 
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
§60425. Modification of a Certification.
Note     •     History

(a) Any modification made to a certified water treatment device or certified treatment component without the written approval of the Department shall void the certification.
(b) Application to modify an existing certification shall be submitted by the manufacturer. A completed application for the modification of a certified water treatment device or certified treatment component shall include the following:
(1) Applicant business name, address, and telephone number.
(2) Name of a contact person, address, and telephone number.
(3) A statement of the reasons for the modification(s).
(4) A description of the modification(s) to the certified water treatment device or certified treatment component such as changes in the health or safety claims; changes in treatment components; changes in parts which are in direct contact with the influent or product water; or changes to parts which affect the treatment process or product safety. 
(6) Changes to the parts list provided pursuant to section 60410(b)(5).
(7) Changes to the product design, specifications and engineering information including blueprints or similar drawings provided pursuant to section 60410(b)(4).
(8) Changes to the list of names, model numbers, or other product identifications provided pursuant to section 60410(b)(7).
(9) A statement containing the following declaration by the manufacturer: “This water treatment device or treatment component, which is identified as (insert name, model number, or other product identification) has been to toxicologically reviewed and tested to verify that no substances are contributed by the unit to the treated water at levels that would adversely affect the health of the users. The toxicological review and testing was conducted pursuant to the requirements of the material review and qualifications procedures contained in the appropriate testing standard referenced in Table I of section 60435 or Table II of section 60450.” 
(10) The application shall be signed by a person in a principal management position.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Section 4057.1, Health and Safety Code. 
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
§60430. Processing Time. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code; and Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
2. Repealer filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
Article 4. Testing and Testing Protocols
§60435. Testing and Testing Protocols.
Note     •     History

(a) To be considered for certification, a water treatment device or treatment component shall be tested and found to meet the requirements set forth in Table I.
(b) The testing shall be conducted:
(1) By a recognized testing organization; or
(2) By a manufacturer pursuant to section 60445.
(c) All contaminant reduction and general performance testing shall be conducted by a laboratory which has been accredited by the Department pursuant to Health and Safety Code, division 1, part 2, chapter 7.5, section 1010 et seq. Test data submitted pursuant to section 60450 are exempt from this provision.

View Graphic

Notes:
1National Sanitation Foundation Standard 53, Drinking Water Treatment Units Health Effects, June 1988.
2National Sanitation Foundation Standard 58, Reverse Osmosis Drinking Water Treatment Systems, November 1986.
3National Sanitation Foundation Standard 44, Cation Exchange Water Softeners, December 1987.
4National Sanitation Foundation Standard 62, Drinking Water Distillation Systems, May 1989.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Section 4057.1, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
2. Editorial correction of printing error restoring article 4 heading (Register 91, No. 31).
§60440. Manufacturer's Testing Protocols.
Note     •     History

(a) Whenever the testing requirements of Table I of section 60435 are not applicable for the treatment process or the specific contaminant for which certification is requested, the applicant shall submit proposed testing protocols to the Department for approval prior to the testing of the water treatment device or treatment component.
(b) The proposed testing protocols shall include the following:
(1) Testing shall be conducted in duplicate.
(2) Testing shall be conducted under pressure and flow conditions typical of the end use of the water treatment device or treatment component.
(3) Testing shall provide an equivalent level of assurance that the performance of a water treatment device or treatment component is consistent with the performance of those water treatment or treatment components devices which are tested against the testing requirements prescribed in Table I of section 60435.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Section 4057.l, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
§60445. Manufacturer's Test Data.
Note     •     History

(a) Test data developed by a manufacturer and submitted to the Department pursuant to the provisions of section 60435(b)(2) shall meet all of the following requirements:
(1) The data was obtained using the testing requirements prescribed in section 60435 or the testing requirements accepted by the Department pursuant to section 116830(c) of the Health and Safety Code as defined in section 60440.
(2) The data was produced by a laboratory which is wholly owned by the manufacturer of the water treatment device or treatment component.
(3) The manufacturer has complied with the Department's request for information regarding the qualifications of the laboratory staff, laboratory equipment used for testing and analysis, and records related to the testing under review.
(4) The manufacturer's laboratory has been inspected by the Department's staff under a cost reimbursement agreement to recover the cost incurred to make the inspection(s).
(5) The manufacturer has performed replicate testing, as specified by the Department, during the on-site inspection. Such testing shall be required when test data submitted pursuant to this section is incomplete or there is reasonable doubt regarding the ability of the treatment process to remove or reduce one or more of the specific contaminants tested.
NOTE

Authority cited: Sections 116830 and 131200, Health and Safety Code. Reference: Sections 116830, 116835, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
2. Change without regulatory effect amending subsection (a)(1) and Note filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
§60450. Prior Test Data.
Note     •     History

When a manufacturer submits prior test data to satisfy the requirements of section 60410(b)(6), the manufacturer shall demonstrate that any test data developed before September 1, 1990 was developed by an independent laboratory or by a manufacturer's laboratory; and that the test data was developed using a testing protocol that was consistent with the applicable testing requirements set forth in Table II. All test data considered by the Department pursuant to this paragraph shall have been produced from testing that was conducted after January 1, 1983.

View Graphic
Notes: 1 National Sanitation Foundation Standard 53, Drinking Water Treatment Units Health Effects, June 1988.2 National Sanitation Foundation Standard 58, Reverse Osmosis Drinking Water Treatment Systems, November 1986.3 National Sanitation Foundation Standard 44, Cation Exchange Water Softeners, December 1987.4 National Sanitation Foundation Standard 62, Drinking Water Distillation Systems, May 1989.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Section 4057.1, Health and Safety Code. 
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
§60455. Extrapolation of Data.
Note     •     History

(a) Where a manufacturer has several water treatment devices or treatment components each using the same treatment technology and they are of similar construction, the manufacturer may submit test data developed pursuant to section 60435 or the manufacturer's testing protocol accepted by the Department pursuant to section 4057.i(c) of the Health and Safety Code, as defined in section 60440, on one water treatment device or treatment component as representative of the others under the following conditions:
(1) The manufacturer submits evidence that extrapolation will provide test data that is reasonably consistent with empirical data that would be obtained from the actual testing of the water treatment device or treatment component.
(2) Extrapolation is limited to the scaling or down in size as measured by the volume of product water produced or volume of water to be treated.
(3) Scaling up shall be limited to three times greater than the size of the representative water treatment device or treatment component.
(4) Scaling down shall be limited to one third the size of the representative water treatment device or treatment component.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Section 4057.1, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
§60460. Retesting.
Note     •     History

(a) The manufacturer shall retest each certified water treatment device or certified treatment component every five years from the date of certification to insure continued compliance with this chapter and shall submit the results to the Department along with the application for recertification.
(b) The manufacturer shall retest a certified water treatment device or certified treatment component for the reduction of a contaminant or for a general performance requirement when the Department determines through testing pursuant to section 60435 or the manufacturer's testing protocol accepted by the Department pursuant to section 4057.1 of the Health and Safety Code, as defined in section 60440, that the water treatment device or treatment component is not meeting a requirement when the water treatment device or treatment component is used according to the manufacturer's instructions. The manufacturer shall comply with the following requirements when retesting pursuant to this paragraph:
(1) Retesting pursuant to subsection (b) shall be conducted by a recognized testing organization in accordance with section 60435 or the manufacturer's testing protocol and shall be initiated within three months of notification by registered mail of the Department's determination.
(2) The results of retesting shall be submitted to the Department within 60 days of initiating the testing.
(3) The results of retesting shall be in conformance with section 60435 or the manufacturer's testing protocol. Manufacturers of certified water treatment devices or certified treatment components determined to be out of compliance with section 60435 or the manufacturer's testing protocol will be notified by registered mail of the decertification and reason for decertification. The manufacturer may appeal the decertification in accordance with Government Code, title 2, division 3, chapter 5, section 11500 et seq. The registered letter providing notice of the decertification will be considered the accusation within the appeal process.
(c) Retesting pursuant to subdivision (a) shall not be required for a certified water treatment device or certified treatment component if the water treatment device or treatment component is listed under a product listing program operated a non-profit third party testing organization and subject to the following provisions:
(1) The listing program is operated by a recognized testing organization.
(2) The listing program includes retesting of the water treatment device or its treatment components at least every five years.
(3) The listing program requires that the manufacturer maintain a quality assurance and quality control program for the manufacturing of the water treatment device or treatment component. 
(4) The listing program includes visits at least every two years to the manufacturing plants to inspect the manufacturing of the water treatment device or treatment component and the quality control records maintained by the manufacturer.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Sections 4057.1 and 4057.3, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
Article 5. Product Labeling and Data Sheet Requirements
§60465. Product Labeling.
Note     •     History

(a) A permanent, clear, and legible plate or label containing the following information shall be securely affixed to each certified water treatment device or certified treatment component so that such plate or label can only be removed with a purposeful effort and the plate or label shall be affixed in a readily accessible location:
(1) Equipment name.
(2) Model designation.
(3) Name of manufacturer.
(4) The statement “For conditions of use, health claims certified by the California Department of Health Services, and replacement parts, see product data sheet.”
(5) The statement “California Department of Health Services certification Number: XXXXXX.”
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Section 4057.1, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
2. Editorial correction of printing error restoring article 5 heading (Register 91, No. 31).
§60470. Product Data Sheet.
Note     •     History

(a) Each certified water treatment device shall be accompanied by a Product Data Sheet which includes the following information:
(1) A copy of the certificate by which the Department has granted certification of the water treatment device. The copy may be incorporated in the product data sheet or attached to the sheet.
(2) Service flow rate in gallons per minute or gallons per day (Liters/day) or the production rate in gallons per day (Liters/day).
(3) Rated service life of the water treatment device (where applicable).
(4) General use conditions and needs, such as maximum turbidity and bacteriological quality of source water.
(5) Model or part number and estimated cost of components that must be periodically or routinely, replaced to maintain the effectiveness of the certified water treatment device.
(6) Maximum and minimum operating temperature in degrees Fahrenheit and degrees Centigrade.
(7) Maximum and minimum operating pressure in pounds per square inch and kilograms per square centimeter.
(8) A reference to the owner's manual for general operation and maintenance requirements, and the manufacturer's warranty.
NOTE

Authority cited: Sections 208 and 4057.1, Health and Safety Code. Reference: Section 4057.1, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
Article 6. Fees
§60475. Fees.
Note     •     History

(a) The fees specified shall be paid pursuant to the requirements of this chapter. The fees paid are non-refundable:

(1) Certification or Recertification 	$1,400

(2) Annual Renewal	$  400

(3) Late Renewal Penalty 	$  200

(4) Modification of a Certification 	$  300
NOTE

Authority cited: Sections 208, 4057.1 and 4057.5, Health and Safety Code. Reference: Section 4057.5, Health and Safety Code.
HISTORY

1. New section filed 9-6-90; operative 10-6-90 (Register 90, No. 43).
2. Editorial correction of printing error restoring article 6 heading (Register 91, No. 31).
Chapter 12. Safe Drinking Water Project Funding
Article 1. Definitions
§63000.10. Applicant.
Note     •     History

“Applicant” means a public water system that is applying for funding from the State Revolving Fund.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.20(i), Health and Safety Code. 
HISTORY

1. New chapter 12 (articles 1-7), article 1 (sections 63000.10-63000.95) and section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.13. CEQA.
Note     •     History

“CEQA” means the California Environmental Quality Act and the regulations and guidelines adopted by the California Resources Agency to implement that Act.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760 et seq., Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.16. Completion of Project.
Note     •     History

“Completion of Project” means, in the case of a construction project, that the Department has conducted a final inspection of the project and has notified the water system that project construction has been completed in conformance with the plans and specifications identified in the funding agreement for compliance with Health and Safety Code Part 12, Chapter 4, Section 116270 et seq, and related regulations. In the case of a planning project, completion of project means that the Department has received and approved the planning report.
NOTE

Authority cited: Sections 116760.43 and 131200, Health and Safety Code. Reference: Sections 116760.20(g), 116760.40, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63000.17. Consolidation Project.
Note     •     History

“Consolidation project” means a project that involves the restructuring of two or more water systems into a single public water system through physical consolidation of the water systems. 
NOTE

Authority cited: Section 116760.40, Health and Safety Code. Reference: Sections 116760.10(g), 116760.20(g) and 116761(b), Health and Safety Code. 
HISTORY

1. New section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.19. Construction Funding.
Note     •     History

“Construction Funding” means a loan and/or grant to cover the cost of planning, preliminary engineering, design, acquisition of water systems, purchase of land or equipment, and construction or consolidation of a water system project.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Sections 116760.20(e), 116760.30, 116760.40, 116761.20(a) and 116761.50(b)(2), Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of section and Note filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.25. Disadvantaged Community.
Note     •     History

“Disadvantaged Community” means a community whose median household income is less than 80 percent of the statewide median household income.
NOTE

Authority cited: Sections 116760.43 and 131200, Health and Safety Code. Reference: Sections 116275, 116761.21, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63000.28. Drinking Water Standards.
Note     •     History

“Drinking Water Standards” means all drinking water requirements set forth in the California Safe Drinking Water Act (section 116275 et. seq. Health and Safety Code) and the regulations adopted by the Department pursuant thereto.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.20(k), Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.31. Eligible Project Cost.
Note     •     History

“Eligible Project Cost” means those costs of a proposed project that are deemed by the Department to comply with the eligibility criteria set forth in section 63010.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.20(g) and 116760.50, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.34. Federal Cross-Cutters.
Note     •     History

“Federal Cross-cutters” means those federal laws, regulations, policies and executive orders listed in Appendix VII of the USEPA program guidelines.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.42, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.35. Federal Funding Allocation.
Note     •     History

“Federal Funding Allocation means the capitalization grant awarded by the USEPA to the Department from a specific federal fiscal year allocation.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.42, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.37. Notice of Acceptance of Application.
Note     •     History

NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.70, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Renumbering of former section 63000.37 to new section 63000.67 filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.40. Funding Application.
Note     •     History

“Funding Application” means the appropriate application form to be submitted by an applicant for State Revolving Fund funding. The application forms are: Application Cover Sheet [DHS 8595 (5/99)], Application for Construction Funds [DHS 8585 (4/01)]; Application for Short Term Planning Loans [DHS 8586 (1/99)]; Application for Source Water Protection Funds [DHS 8588 (2/00)]; and Application for Refinancing [DHS 8587 (1/99)], which are all incorporated by reference.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.79, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.43. Funding Agreement.
Note     •     History

“Funding Agreement” means the document that is signed by the funding recipient and the Department that consummates the loan and/or grant.
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.20(e), 116760.30, 116760.40, 116761.20(a), 116761.50(b)(2), 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of section and Note filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
4. Amendment of section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63000.46. Funding Agreement Execution.
Note     •     History

“Funding Agreement Execution” means that the funding agreement has been signed by both the funding recipient and the Department.
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.40, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63000.47. Funding Recipient.
Note     •     History

“Funding recipient” means the public water system that enters into a funding agreement with the State and receives funding from the Safe Drinking Water State Revolving Fund. 
NOTE

Authority cited: Section 116760.40, Health and Safety Code. Reference: Section 116760.40, Health and Safety Code. 
HISTORY

1. New section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.48. Intended Use Plan.
Note     •     History

“Intended Use Plan” means the document prepared by the Department, which identifies the management and utilization of the State Revolving Fund and describes how those uses support the goals of the program.
NOTE

Authority cited: Sections 116760.10, 116760.70(g) and 131200, Health and Safety Code. Reference: Sections 116760.10, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New section filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63000.49. Local Match Project.
Note     •     History

“Local Match Project” means a project whereby the local public agency provides 20 percent of the total eligible cost of the project to the Department to cover the State's matching share of the federal dollars.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.40, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.62. Median Household Income.
Note     •     History

“Median Household Income” means the household income that represents the median value for the service area of a public water system.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116761.21, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.65. NEPA.
Note     •     History

“NEPA” means the National Environmental Policy Act (42 U.S.C. 4331 et seq.) or a NEPA equivalent or NEPA- Like process approved by the USEPA for the drinking water revolving fund loan program.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.20, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.66. Non-Profit or Not-for-Profit.
Note     •     History

“Non-profit” or “ not-for-profit” means an entity that is exempt from taxes under United States Internal Revenue Code Section 501(c), 26 U.S.C. 501(c). 
NOTE

Authority cited: Sections 116760.40 and 131200, Health and Safety Code. Reference: Sections 116760.10(l), 116760.40, 116761.20, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
2. Amendment of section heading, section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63000.67. Notice of Acceptance of Application.
Note     •     History

“Notice of Acceptance of Application” means a notice sent to the applicant that (1) identifies the portions and costs of the project that have been determined to be eligible for State Revolving Fund funding; (2) explains the terms and conditions that will govern the loan or grant for the project; and (3) sets forth the conditions and schedules that must be met before a funding agreement will be executed. 
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.70, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former section 63000.37 to new section 63000.67 filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.68. Planning Funding.
Note     •     History

“Planning Funding” means a loan and/or grant to cover the cost of studies, planning, and preliminary engineering for a project.
NOTE

Authority cited: Sections 116760.43, 116760.80, 116761.20 and 131200, Health and Safety Code. Reference: Sections 116760.80, 116761.20, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of section heading, section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63000.70. Possible Contaminating Activity (PCA).
Note     •     History

“Possible contaminating activity (PCA)” means a human activity that is an actual or potential origin of contamination for a drinking water source and includes sources of both microbiological and chemical contaminants that could have adverse effects upon human health. 
NOTE

Authority cited: Section 116762.60, Health and Safety Code. Reference: Section 116760 et seq., Health and Safety Code. 
HISTORY

1. New section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.71. Project.
Note     •     History

“Project” means all planning, engineering, construction, and construction related activities undertaken to solve the specific water system problem for which the project was ranked on the project priority list.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116761.20, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.74. Project Priority List.
Note     •     History

“Project Priority List” means the list of projects for which public water systems have requested funding and that have been ranked in priority order in accordance with section 116760.70 of the Health and Safety Code.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.70, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.77. Project Primarily to Serve Future Growth.
Note     •     History

“Project Primarily to Serve Future Growth” means a project, or project component, that has a design capacity that is more than two times the design capacity needed to serve the existing water demand at maximum day demand, as defined in Section 64551.30, of Chapter 16 of this Title, plus the design capacity needed to meet fire flow requirements of the local fire authority.
NOTE

Authority cited: Sections 116760.43 and 131200, Health and Safety Code. Reference: Sections 116760.20, 116760.90, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63000.80. Refinancing Loan.
Note     •     History

“Refinancing Loan” means a loan to refinance the remaining balance of an existing indebtedness incurred for construction of an otherwise eligible project where the construction of such project commenced after July 1, 1993.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.20, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.81. Restructured Water System.
Note     •     History

“Restructured water system” means the single public water system that results from the consolidation of two or more water systems. 
NOTE

Authority cited: Section 116760.40, Health and Safety Code. Reference: Sections 116760.10(g), 116760.20(g), 116760.40 and 116761(b) and (c), Health and Safety Code. 
HISTORY

1. New section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.83. Service Area.
Note     •     History

“Service Area” means all of the geographical area that is currently served drinking water by a public water system.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.20, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.84. Source Water Assessment.
Note     •     History

“Source water assessment” means an evaluation of a drinking water source that includes delineation of the boundaries of the source area, identification of PCAs within the delineated area, a determination of the PCAs to which the source is most vulnerable, and a summary of the vulnerability of the source to contamination. 
NOTE

Authority cited: Section 116762.60, Health and Safety Code. Reference: Section 116760 et seq., Health and Safety Code. 
HISTORY

1. New section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.85. Source Water Protection (SWP).
Note     •     History

“Source water protection (SWP)” means the process of managing the activities within a delineated source area to prevent drinking water source contamination. 
NOTE

Authority cited: Section 116762.60, Health and Safety Code. Reference: Section 116760 et seq., Health and Safety Code. 
HISTORY

1. New section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.86. Source Water Protection Program.
Note     •     History

“Source water protection program”, also known as a wellhead protection program or a watershed management program, means a comprehensive program developed to protect a water source used as a drinking water supply and includes activities such as organizing a community taskforce to develop and carry out the protection program, educating the community on source protection, conducting a source water assessment to determine the PCAs to which the source is most vulnerable, identifying management measures for the PCAs posing the highest risk, developing a strategy for implementing those measures, considering protection principles when siting any new sources, and identifying alternative sources of supply for emergencies. 
NOTE

Authority cited: Section 116762.60, Health and Safety Code. Reference: Section 116760 et seq., Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Renumbering of former section 63000.86 to section 63000.89 and new section 63000.86 filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.87. Source Water Protection (SWP) Loan.
Note     •     History

“Source Water Protection (SWP) loan” means a loan to cover the cost of a Source Water Protection Project. 
NOTE

Authority cited: Section 116762.60 , Health and Safety Code. Reference: Section 116760 et seq., Health and Safety Code. 
HISTORY

1. New section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.88. SWP Loan Applicant.
Note     •     History

“SWP loan applicant” means a public water system that is applying for a SWP loan from the State Revolving Fund.
NOTE

Authority cited: Section 116762.60, Health and Safety Code. Reference: Section 116760 et seq., Health and Safety Code.
HISTORY

1. New section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.89. State Revolving Fund.
Note     •     History

“State Revolving Fund” means the Safe Drinking Water State Revolving Fund created pursuant to section 116760.30 of the Health and Safety Code. 
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.30, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Renumbering of former section 63000.89 to new section 63000.90 and renumbering of former section 63000.86 to section 63000.89 filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.90. Target Consumer Rate.
Note     •     History

“Target Consumer Rate” means an amount equal to 1 1/2 percent of the median household income for water systems where the median household income is equal to or less than the statewide median household income or 2 percent of the median household income for water systems where the median household income is greater than the statewide median household income.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.70, Health and Safety Code. 
HISTORY

1. Renumbering of former section 63000.89 to new section 63000.90 filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63000.92. USEPA.
Note     •     History

“USEPA” means the United States Environmental Protection Agency.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760 et seq., Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63000.95. USEPA Program Guidelines.
Note     •     History

“USEPA Program Guidelines” means the Drinking Water State Revolving Fund Program Guidelines (EPA 816-R-97-005, February 28, 1997) adopted by the USEPA.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760 et seq., Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
Article 2. Financing Criteria
§63010. Project Eligibility.
Note     •     History

(a) In order to be eligible for funding, an applicant shall have the authority to enter into a funding agreement with the State. 
(b) In order to be eligible for funding that is not a SWP loan, an applicant shall be either a community water system or a non-profit non-community water system. 
(1) Only those project costs that are directly associated with the planning, design, and construction of a project shall be eligible for funding. 
(2) The following project costs, that would otherwise be eligible pursuant to paragraph (1), shall be ineligible for funding: 
(A) Land acquisition except for land or land access that is integral to the construction of source, treatment or distribution facilities. 
(B) Ongoing operation and maintenance costs. 
(C) Any project facilities that are primarily to serve future growth. 
(D) Dams or rehabilitation of dams and any raw water storage facilities. 
(E) Water rights except water rights acquired through consolidation with another water system. 
(F) Laboratories, except those necessary for operation of a treatment facility. 
(c) In order to be eligible for a SWP loan, an applicant shall be a community water system except that both a community and non-profit non-community water system shall be eligible for a SWP loan for land or easement acquisition. 
(1) SWP project costs that shall be eligible for a SWP loan include only those associated with source water protection measures such as destruction of abandoned wells, hazardous waste collection programs, upgrade or abatement of septic systems, public education, water quality monitoring at critical points in protection areas, fencing out cattle and other animals from intakes, tributaries or reservoir boundaries, restricting public access to critical areas in protection areas, evaluations of agricultural practices and education on best management practices, installation of signs at boundaries of zones or protection areas, and structures to divert contaminated runoff from the source. 
(2) SWP project costs shall be ineligible for SWP funding if the project is eligible for funding through the following: 
(A) The federal Comprehensive Environmental Response Compensation and Liability Act of 1980 (Superfund) as amended by the Superfund Amendments and Reauthorization Act of 1986; or 
(B) Programs established under the Hazardous Substance Account Act (Health and Safety Code, Chapter 6.8, Section 25300 et seq); or 
(C) The Underground Storage Tank Cleanup Fund created pursuant to Health and Safety Code section 25299.50. 
(d) Costs arising from construction change orders that occur after funding agreement execution shall be ineligible for funding except for the following: 
(1) A change in the executed funding agreement amount based on the final accepted construction bid as provided in section 63052(b). 
(2) Change orders that are a result of changes in drinking water standards. 
(3) Change orders requested by the Department. 
NOTE

Authority cited: Sections 116760.43, 116760.50, 116762.60 and 131200, Health and Safety Code. Reference: Sections 116760.10(l), 116760.40(f), 116760.50, 116761, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New article 2 (sections 63010-63014) and section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of section and Note filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
4. Amendment of subsection (d)(1) and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63011. Planning Funding.
Note     •     History

(a) Planning funding shall be used only to finance planning, studies, and preliminary engineering costs for an eligible project. Planning funds shall not be used for detailed design, equipment purchase, or construction.
(b) Planning funding shall be limited to a maximum amount of $500,000 per project, as loan, grant, or combined loan and grant.
(c) Projects funded by planning funding shall be completed and a planning report submitted to the Department within 18 months from funding agreement execution.
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.80(b), 116761.20, 116761.21, 116761.23, 116761.50(b)(3), 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of section heading, section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63012. Construction Funding.
Note     •     History

(a) Construction funding shall be limited to a maximum amount of $20,000,000 per project.
(b) A public water system shall not be awarded more than an aggregate amount of $30,000,000 in construction funding and refinancing loans from a federal funding allocation.
(c) The funding limitations established by this section shall not apply during the month preceding the federal deadline for obligation of funds to applicants from a federal funding allocation.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Sections 116760.10(l), 116760.42(b) and 116761, Health and Safety Code.
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63013. Refinancing Loans.
Note     •     History

(a) Refinancing loan funds shall be used only to refinance the remaining balance of an existing indebtedness incurred by the construction of an eligible project ranked in a category A through G on the Project Priority List. 
(b) An applicant for a refinancing loan shall be a public agency.
(c) Refinancing loans shall be limited to a maximum amount of $20,000,000 per project and an aggregate total of $30,000,000 per water system from a federal funding allocation.
(d) Refinancing loans shall only be made when all eligible projects ranked in a category A through G on the Project Priority List have been funded or by-passed.
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.20(g), 116760.42(b), 116760.50, 116761, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of subsection (a) filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
4. New subsection (d) and amendment of Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63014. Local Match Projects.
Note     •     History

(a) Local match projects shall be considered to be the same as construction projects and shall be subject to the same conditions and limitations.
(b) An applicant for a local match project shall be a community water system owned by a public agency.
(c) Only projects that exceed $5,000,000 in eligible project costs shall be eligible for local matching.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Sections 116760.40(i) and 116760.50, Health and Safety Code.
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63015. SWP Loans.
Note     •     History

(a) SWP loan funds shall be used only for planning, preliminary engineering, detailed design, construction, education, land acquisition, conservation easements, equipment purchase, and implementing the elements of a source water protection program. 
(b) SWP loans shall be limited to a maximum amount of $2,000,000 per project per year. 
(c) A SWP loan applicant shall not be awarded more than an aggregate amount of $3,000,000 in SWP loans in any fiscal year. 
(d) A planning project funded by a SWP loan shall be completed and a planning report submitted to the Department within 18 months from funding agreement execution. 
NOTE

Authority cited: Section 116760.50 and 116762.60, Health and Safety Code. Reference: Sections 116760.80(b) and 116761, Health and Safety Code. 
HISTORY

1. New section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
Article 3. Disadvantaged Communities
§63020. Grant Eligibility.
Note     •     History

(a) An applicant, determined eligible for funding under this chapter, may be eligible for grant funding only if:
(1) It is a public water system owned by a public agency or a not-for-profit water company, and 
(2) Its service area is a disadvantaged community. 
(b) In the case of a consolidation project, the grant eligibility requirement of subsection (a)(2) shall be based on evaluation of the service area “median household income” of each participating applicant.
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.10(g), 116760.20(h), 116761.23(b), 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New article 3 (sections 63020-63021) and section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of section and Note filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
4. Amendment of section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63021. Grant Limitations.
Note     •     History

(a) The maximum amount of grant funding to be awarded to a project shall be limited to the following percentages according to the classification of the project using the most recent Project Priority List adopted pursuant to Health and Safety Code section 116760.70:
(1) 80% of the eligible project cost if the project is in Project Priority List categories A through G;
(2) 65% of the eligible project cost if the project is in Project Priority List categories H through L; or
(3) 50% of the eligible project cost if the project is in Project Priority List categories M through O.
(b) The maximum amount of grant funding that one water system may receive for a project shall not exceed the limitation set forth in Health and Safety Code 116761.23(a).
(c) The total amount of grant funding awarded to a disadvantaged community for a project shall be limited to the amount of funding needed so that the projected average residential water rate, which would result from a loan from the State Revolving Fund, will not exceed the target consumer rate. This subsection (c) does not establish a limitation on the total amount of loan funding that can be awarded to a disadvantaged community.
(d) For consolidation projects, the limitations set forth in this section shall be applied to each participating applicant's eligible share of the total project cost of the consolidation project, and the total grant amount awarded for the entire consolidation project shall be limited to the total grant eligibilities of the individual participating applicants.
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.10(g) and (l), 116760.40, 116760.42(b), 116760.70, 116761.20, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. New subsection (e) and amendment of Note filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
4. Amendment of section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
Article 4. Application Process
§63025. Funding Application.
Note     •     History

(a) All funding applications shall be submitted by public water systems only after a water system has received a written invitation from the Department to do so.
(b) Upon receipt of a written invitation from the Department to submit a funding application, an applicant shall indicate their intention to submit the application within the deadline set forth in the letter by signing a statement of intent. The statement of intent shall be received by the Department prior to close of business on the day indicated in the invitation.
(c) In order to be assured of receiving funding consideration from a specific federal funding allocation, a completed funding application shall be submitted to the Department by close of business on the date set forth in the letter of invitation.
(d) A funding application shall not be accepted for processing unless the funding application form is completed and the additional information specified below is submitted: 
(1) For SWP loan applications, the information in Sections 63026(d), 63026(e), 63027, and 63028(a). 
(2) For all other funding applications, the information in Sections 63026, 63027, and 63028.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.79, Health and Safety Code.
HISTORY

1. New  article 4 (sections 63025-63030) and section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of subsection (d) and new subsections (d)(1)-(2) filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63026. Technical Information.
Note     •     History

(a) Each funding application for construction funding or a refinancing loan shall contain the following information:
(1) A map showing the current service area of the water system.
(2) A map or drawing showing the location of all existing water sources, pumping facilities, treatment facilities, storage tanks or reservoirs, water transmission mains, and water main pressure zones.
(3) A schedule for full compliance with CEQA and NEPA.
(b) Each applicant for construction funding shall prepare and submit with the funding application, an engineering report addressing all of the following elements:
(1) An identification and evaluation of alternative solutions to the problem. The evaluation shall compare estimated project costs, relative effectiveness in solving the problem, and environmental impacts of each alternative.
(2) An evaluation, including costs and feasibility, of possible physical consolidation with other water systems.
(3) A description of the selected or proposed alternative.
(4) A conceptual or preliminary engineering design, including the design capacity of project components, and a schematic layout of the proposed project. All assumptions, criteria, and calculations used for the preliminary design shall be shown.
(5) An analysis and estimation of the anticipated useful life of components of the proposed project.
(6) A preliminary analysis of projected growth anticipated to occur within the service area within the next ten years, the resultant projected water demand, and the amount of growth or water demand to be included in the project.
(7) A proposed design and construction schedule.
(8) A cost estimate breakdown of the proposed project.
(9) In the case of a consolidation project, each funding application also shall include identification of the single public water system that would result from completion of the consolidation project. 
(c) Each funding application for a refinancing loan shall include all of the following:
(1) A description and estimated costs of all alternative solutions to the problem that were considered prior to construction of the selected project.
(2) A layout or schematic drawing showing the location and relationship of all project facilities including the newly constructed portions.
(3) A description of the facilities that were constructed and for which refinancing is being requested including an estimate of their useful life.
(4) The design capacities of project components and the design parameters and engineering calculations used in the sizing and design of the project components.
(5) An analysis and estimation of the water demand within the service area at the time of start of construction of the project and a projection of anticipated growth and water demand for a ten-year period commencing from the time of start of construction.
(6) A cost breakdown of the constructed project.
(7) As-built plans for all of the construction facilities that are to be covered by the refinancing loan.
(8) The final plans and specifications used to solicit and select the construction bid.
(9) Information that demonstrates that the applicant has complied with all applicable federal cross-cutters. 
(d) Each SWP loan applicant shall submit the following: 
(1) A completed source water assessment for each drinking water source addressed by the proposed project. 
(2) A list of the types of contaminants that the proposed project is intended to address and the associated PCAs. 
(3) A description of the dimensions and location of the area or zone in which the associated PCAs are located. 
(4) A map showing water system facilities, intake or well location, and source protection areas and/or zones. 
(5) A description of the local community taskforce addressing source water protection (if one exists). The description shall include a list of the participants and their affiliations, and the methods used to establish the membership in the taskforce. 
(6) A schedule for full compliance with CEQA and NEPA. 
(e) Each SWP loan applicant shall prepare and submit an engineering report with the loan application that addresses all of the following: 
(1) Descriptions and estimated costs of all alternative solutions to the problem that were considered prior to selection of the proposed project. 
(2) A description of the proposed project. 
(3) A conceptual or preliminary engineering design and schematic layout of the proposed project, if applicable. All assumptions, criteria, and calculations used shall be shown. 
(4) An analysis and estimation of the anticipated useful life of the components of the proposed project, if applicable. 
(5) A proposed schedule for carrying out the project. 
(6) A cost estimate breakdown of the proposed project. 
NOTE

Authority cited: Section 116760.43 and 116762.60, Health and Safety Code. Reference: Sections 116760.40, 116760.79 and 116760.90, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. New subsection (b)(9), amendment of subsection (c)(9), new subsections (d)-(e)(6) and amendment of Note filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63027. Managerial Information.
Note     •     History

Each funding application shall contain the following:
(a) Copies of any leases, easements, or other documentation for land, water sources, treatment, pumping, storage, or distribution facilities used in the operation of the water system that are not owned by the water system.
(b) A written statement certifying that the applicant, or in the case of a consolidation project, the restructured water system, is a legal entity and that it has the authority to enter into a long-term indebtedness with the State of California. 
(c) A description of the water rights held by the water system and any available documentation to substantiate those rights.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Sections 116760.50, 116760.79 and 116760.90, Health and Safety Code.
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of subsection (b) filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
§63028. Financial Information.
Note     •     History

(a) Each funding application shall contain the following:
(1) A projected revenue/expenditure analysis that compares all anticipated water system revenues and planned expenditures for the next five years.
(2) An analysis and calculation of the average current water rate charged to residential users and the projected average water rate that will be charged to residential users following completion of the eligible project. This analysis is not required for non-community water systems.
(3) Financial statements (balance and income) of the water system covering the past three years.
(4) A description of the accounting and budget control procedures used and any proposed changes to the procedures.
(b) In addition to the requirements of subsection (a), applicants for a refinancing loan shall also include a certification that proceeds of the previous debt were used to pay for eligible project costs. If ineligible items were funded, a list of those items and their costs shall be included.
(c) In addition to the requirements of subsection (a), applicants that propose to use local matching funds pursuant to section 63014 shall include a resolution adopted by the governing body. The resolution shall identify the source of the local matching funds and pledge those funds for deposit into the State Revolving Fund.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Sections 116760.40(i), 116760.79, 116760.90 and 116761.50(d), Health and Safety Code.
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63029. Notice of Acceptance of Application.
Note     •     History

(a) Within 60 days of receipt of a Notice of Acceptance of Application from the Department, the applicant shall indicate its acceptance of the terms and conditions of the Notice of Application Acceptance by signing and returning it to the Department.
(b) If the proposed project is a consolidation project for which the restructured water system is not one of the applicants, within 60 days of receipt of a Notice of Acceptance of Application from the Department, the applicant(s) and the restructured water system shall indicate their acceptance of the terms and conditions of the Notice of Application Acceptance by signing and returning it to the Department.
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.40, 116760.50, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Redesignation and amendment of existing section as subsection (a), new subsection (b) and amendment of Note filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
4. Amendment of section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63030. Project By-Passing.
Note     •     History

(a) A project on the Project Priority List shall be by-passed for funding consideration for the current fiscal year if any of the following apply:
(1) The water system indicated that it did not desire to receive funding for a particular project in the current fiscal year.
(2) A water system fails to sign a statement of intent to submit an application and return it to the Department by the date identified in the letter as specified in Section 63025(b).
(3) A water system, receiving an invitation from the Department to submit a funding application, informs the Department that it does not wish to submit an application at this time.
(4) A funding application is rejected by the Department for failure on the part of the applicant to comply with the requirements of this chapter.
(5) An applicant fails to sign and return the Notice of Acceptance of Application within 60 days of receipt of the Notice of Acceptance of Application.
(6) The Department withdraws a previously issued Notice of Acceptance of Application for failure on the part of the applicant to comply with the terms and conditions as stated in the Notice of Acceptance of Application.
(7) A water system received an invitation (statement of intent) from the Department pursuant to Section 63025, and for two consecutive years failed to return the statement of intent by the deadline.
(8) The applicant has reached the $3,000,000 loan maximum set forth in subsection 63015(c) for a SWP loan, or the $30,000,000 funding maximum set forth in subsection 63012(b) for a construction funding or refinancing loan.
(b) Any project that is by-passed for any reason shall remain on the Project Priority List and be eligible for future funding consideration. 
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.42(b), 116760.70(e), 116761.50(b)(3), 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of subsections (a)(2), (a)(5) and (a)(7) filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
4. Amendment of subsection (a)(6), new subsection (a)(7), subsection renumbering and amendment of Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
Article 5. Information to Be Submitted Prior to Execution of the Funding Agreement
§63040. Technical and Financial Information.
Note     •     History

(a) All applicants for construction funding, SWP loans, or refinancing loans shall comply with all applicable environmental review and procedural requirements of CEQA and NEPA prior to execution of the funding agreement.
(b) Prior to execution of a funding agreement that includes a loan, each funding recipient shall submit the following:
(1) A resolution or ordinance adopted by the governing body dedicating the source of repayment of the loan.
(2) A completed fiscal services agreement for loan repayment funds.
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.10(l), 116760.79, 116760.90, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New article 5 (section 63040) and  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of subsections (a)-(b) filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
4. Amendment of subsection (b)(2) and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
Article 6. Design and Construction
§63050. Plans and Specifications.
Note     •     History

Applicants for construction funding or SWP loans involving construction shall submit final design plans and project specifications to the Department in accordance with the schedule set forth in the Notice of Acceptance of Application. 
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.10(l), 116760.90, 116761, 116761.50(b)(3), 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New article 6 (sections 63050-63051) and section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
4. Amendment of section and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63051. Federal Cross-Cutting Requirements.
Note     •     History

(a) The criteria for projects subject to federal cross-cutting authorities shall be those established in the most recent Intended Use Plan adopted prior to the date the water system is invited to submit an application for funding the project.
(b) Each SWP project shall comply with federal cross-cutting authorities.
NOTE

Authority cited: Sections 116760.10, 116760.40, 116760.70(g) and 131200, Health and Safety Code. Reference: Sections 116760.10, 116760.42, 116761, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Repealer and new section and amendment of Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63052. Construction.
Note     •     History

(a) Construction contracts awarded by the applicant for any project involving the use of grant funds from the State Revolving Fund shall be based on competitive construction bids.
(b) An applicant's request for a change in the amount of funding specified in the funding agreement shall be limited to one occasion and shall be based solely on the final accepted construction bid(s).
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116761.50, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
Article 7. Claims and Loan Repayments
§63055. Submission of Claims for Reimbursement.
Note     •     History

(a) No claims for reimbursement shall be submitted prior to execution of the funding agreement. Claims shall be submitted only for reimbursement of costs already incurred.
(b) Claims shall be submitted no more frequently than monthly.
(c) No claims shall be submitted for construction costs incurred after completion of the project as defined in Section 63000.16.
(d) No claims for local match projects shall be reimbursed until the applicant's local share has been received and deposited into the State Revolving Fund account.
NOTE

Authority cited: Sections 116760.43, 116760.50 and 131200, Health and Safety Code. Reference: Sections 116760.10(l), 116761.50, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New article 7 (sections 63055-63057) and section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment of subsections (b) and (c) and Note filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
§63056. Loan Repayments.
Note     •     History

(a) Loan repayments shall be made in accordance with the schedule set forth in the funding agreement.
(b) A penalty of one-tenth of one percent per day (not compounded) on the payment amount due shall be assessed for late payments.
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section116761.50, Health and Safety Code. 
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
§63057. Records.
Note     •     History

(a) All applicant records and documents relating to funding received from the State Revolving Fund shall be maintained until such time that any State Revolving Fund loan has been fully repaid. 
(b) All applicant records and documents pertaining to the funding agreement shall be available for inspection and audit by the Department or the USEPA during normal business hours. 
(c) In the case of a consolidation project, the requirements of this section shall also be met by the restructured water system. 
NOTE

Authority cited: Section 116760.43, Health and Safety Code. Reference: Section 116760.10(l), Health and Safety Code.
HISTORY

1. New  section filed 3-23-99 as an emergency; operative 3-23-99 (Register 99, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-23-99 order transmitted to OAL 7-13-99 and filed 8-18-99 (Register 99, No. 34).
3. Amendment filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
Article 8. Consolidation Projects
§63058. Limitations on Water Systems Involved in Consolidation Projects.
Note     •     History

Upon completion of a consolidation project, all water systems involved in the consolidation, other than the restructured system, shall cease to operate as public water systems. 
NOTE

Authority cited: Section 116760.40, Health and Safety Code. Reference: 116760.10(g), 116760.20(g) and 116760.40, Health and Safety Code. 
HISTORY

1. New article 8 (section 63058) and section filed 8-6-2002; operative 9-5-2002 (Register 2002, No. 32).
Chapter 13. Operator Certification
Article 1. Definitions
§63750.10. Accredited Academic Institution.
Note     •     History

“Accredited academic institution” means an academic institution accredited by the Western Association of Schools and Colleges or an accrediting organization recognized by the Council of Post Secondary Education.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Section 106910, Health and Safety Code. 
HISTORY

1. New chapter 13 (articles 1-5, sections 63750.10-63850), article 1 (sections 63750.10-63750.85) and section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New chapter 13 (articles 1-5, sections 63750.10-63850), article 1 (sections 63750.10-63750.85) and section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.15. Certificate.
Note     •     History

“Certificate” means a certificate of competency issued by the Department stating that the operator has met the requirements for a specific operator classification of the certification program.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106885 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.20. Certified Distribution Operator.
Note     •     History

“Certified distribution operator” means a distribution operator who possesses a valid certificate issued pursuant to this chapter.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106885 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.25. Chief Operator.
Note     •     History

“Chief operator” means the person who has overall responsibility for the day-to-day, hands-on, operation of a water treatment facility or the person who has overall responsibility for the day-to-day, hands-on, operation of a distribution system. 
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Section 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.30. Comprehensive Operator Training Program.
Note     •     History

“Comprehensive Operator Training Program” means an on-the-job training program that allows an operator to gain proficiency in all systems and processes related to a water treatment facility.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Section 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.35. Contact Hour.
Note     •     History

“Contact hour” means not less than 50 minutes of specialized training or a continuing education course.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106900 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.40. Continuing Education Course.
Note     •     History

“Continuing education course” means a presentation that transmits information related to the operation of a treatment facility and/or distribution system.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106900 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.45. Distribution Operator.
Note     •     History

“Distribution operator” means any person who maintains or operates any portion of a distribution system.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106885 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.50. Distribution System.
Note     •     History

“Distribution system” means any combination of pipes, tanks, pumps, etc., which delivers drinking water from a source or treatment facility to the consumer and includes: 
(a) Disinfection facilities for which no Giardia or virus reduction is required pursuant to section 64654 (a). 
(b) The composite of all distribution systems of a public water system.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106885 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.55. GED.
Note     •     History

“GED” means a general equivalency diploma.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Section 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.60. Interim Distribution Operator Certificate.
Note     •     History

“Interim Distribution Operator Certificate” means a certificate issued by the Department pursuant to section 63810.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106895 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.65. Operator Experience.
Note     •     History

“Operator experience” means the daily performance of activities consisting of the control or oversight of any process or operation at a water treatment facility or in a distribution system that may affect the quality or quantity of water.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Section 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.70. Shift Operator.
Note     •     History

“Shift operator” means a person in direct charge of the operation of a water treatment facility or distribution system for a specified period of the day.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Section 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.75. Specialized Training.
Note     •     History

“Specialized training” means college level courses providing at least 36 contact hours of training each in drinking water or waste water quality, drinking water or waste water treatment, drinking water distribution, or drinking water or waste water facility operation, offered by an accredited academic institution or an organization either accredited by the International Association of Continuing Education Training (IACET) or an authorized provider of IACET, or courses completed and deemed acceptable by the Department prior to January 1, 2001 for the purpose of operator certification. 
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106900 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63750.85. Water Treatment Facility.
Note     •     History

“Water treatment facility” means a group or assemblage of structures, equipment, and processes that treat or condition a water supply, affecting the physical, chemical, or bacteriological quality of water distributed or otherwise offered to the public for domestic use by a public water system as defined in Health and Safety Code section 116275. Facilities consisting of only disinfection for which no Giardia or virus reduction is required pursuant to section 64654(a) and which are under the control of a certified distribution operator are not included as water treatment facilities.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Section 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order, including amendment of section, transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
Article 2. Operator Certification Grades
§63765. Water Treatment Facility Staff Certification Requirements.
Note     •     History

(a) Except as provided in (c), chief and shift operators shall possess valid operator certificates pursuant to Table 63765-A.

Table 63765-A -- Minimum Certification Requirements for Chief and Shift Operators 

	Treatment Facility	Minimum Certification	Minimum Certification 
	Classification	of Chief Operator	of Shift Operator

	T1 	T1 	T1

	T2 	T2 	T1

	T3 	T3 	T2

	T4 	T4 	T3

	T5 	T5 	T3
(b) Treatment operators not designated by the water supplier as chief or shift operator pursuant to section 64413.5 shall be certified but may hold certificates of any grade. 
(c) Until January 1, 2003, a shift and/or chief operator may continue to be employed in that capacity provided that the operator: 
(1) Is in compliance with the certification requirements that were in effect on December 31, 2000, and 
(2) Has been in continuous employment since December 31, 2000 in a water treatment facility that has not modified its treatment process resulting in a change in classification. 
(d) Operators who possessed treatment operator certificates valid as of December 31, 2000 shall be deemed to hold certificates pursuant to Table 63765-B.

Table 63765-B -- Certificate Grade Equivalents

	Operator Certification 	Operator Certification
	Grades December 31, 2000	 Grades January 1, 2001

	I 	T1

	II 	T2

	III 	T3

	IV 	T4

	V 	T5
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106875, 106880, 106885 and 116555, Health and Safety Code. 
HISTORY

1. New article 2 (sections 63765-63770) and section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 63765-63770) and section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63770. Distribution System Staff Certification Requirements.
Note     •     History

(a) Chief and shift operators shall possess valid operator certificates pursuant to Table 63770-A.

Table 63770-A - Minimum Certification Requirements for Chief and Shift Operators

	Distribution System 	Minimum Certification 	Minimum Certification 
	Classification 	of Chief Operator	of Shift Operator

	D1 	D1 	D1

	D2 	D2 	D1

	D3 	D3 	D2

	D4 	D4 	D3

	D5 	D5 	D3 
(b) Water systems shall utilize only certified distribution operators to make decisions addressing the following operational activities: 
(1) Install, tap, re-line, disinfect, test and connect water mains and appurtenances. 
(2) Shutdown, repair, disinfect and test broken water mains. 
(3) Oversee the flushing, cleaning, and pigging of existing water mains. 
(4) Pull, reset, rehabilitate, disinfect and test domestic water wells. 
(5) Stand-by emergency response duties for after hours distribution system operational emergencies. 
(6) Drain, clean, disinfect, and maintain distribution reservoirs. 
(c) Water systems shall utilize either certified distribution operators or treatment operators that have been trained to make decisions addressing the following operational activities: 
(1) Operate pumps and related flow and pressure control and storage facilities manually or by using a system control and data acquisition (SCADA) system. 
(2) Maintain and/or adjust system flow and pressure requirements, control flows to meet consumer demands including fire flow demands and minimum pressure requirements. 
(d) Water systems shall utilize either certified distribution operators or treatment operators to make decisions addressing the following operational activities: 
(1) Determine and control proper chemical dosage rates for wellhead disinfection and distribution residual maintenance. 
(2) Investigate water quality problems in the distribution system.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106875, 106880, 106885 and 116555, Health and Safety Code.
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
Article 3. Operator Examination Criteria and Applications
§63775. Eligibility Criteria for Taking a Water Treatment Operator Examination.
Note     •     History

(a) An applicant who has had a certificate revoked, and not reinstated, for any reason other than failure to meet renewal requirements pursuant to section 63840 shall not be eligible for water treatment operator examination at any grade level. 
(b) In order to be eligible for taking the T1 operator exam, an applicant shall have a high school diploma or GED. The following experience and/or training may be substituted for a high school diploma or GED: 
(1) Successful completion of the “Basic Small Water System Operations” course provided by the Department, or 
(2) One year as an operator of a facility that required an understanding of chemical feeds, hydraulic systems, and pumps. 
(c) In order to be eligible for taking the T2 operator exam, an applicant shall have: 
(1) A high school diploma or GED. The following experience and/or training may be substituted for a high school diploma or GED: 
(A) Successful completion of the “Basic Small Water System Operations” course provided by the Department, or 
(B) One year as an operator of a facility that required an understanding of chemical feeds, hydraulic systems, and pumps. 
(2) Successfully completed at least one course of specialized training covering the fundamentals of drinking water treatment. 
(d) In order to be eligible for taking the T3 operator exam, an applicant shall have: 
(1) A high school diploma or GED. 
(2) Successfully completed a total of at least two courses of specialized training that includes at least one course covering the fundamentals of drinking water treatment. 
(e) In order to be eligible for taking the T4 operator exam, an applicant shall have: 
(1) A valid Grade T3 operator certificate. 
(2) Successfully completed at least three courses of specialized training that includes at least two courses in drinking water treatment. 
(f) In order to be eligible for taking the T5 operator exam, an applicant shall have: 
(1) A valid Grade T4 operator certificate. 
(2) Successfully completed at least four courses of specialized training that includes at least two courses in drinking water treatment. 
(g) Specialized training courses used to fulfill the requirements of this section may also be used to fulfill the requirements of section 63780. 
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106875, 106900, 106910 and 116555, Health and Safety Code. 
HISTORY

1. New article 3 (sections 63775-63795) and section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 63775-63795) and section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63780. Eligibility Criteria for Taking a Distribution Operator Examination.
Note     •     History

(a) An applicant who has had a certificate revoked, and not reinstated, for any reason other than failure to meet renewal requirements pursuant to section 63840 shall not be eligible for distribution operator examination at any grade level. 
(b) In order to be eligible for taking the D1 operator exam, an applicant shall have a high school diploma or GED. The following experience and/or training may be substituted for a high school diploma or GED: 
(1) Successful completion of the “Basic Small Water System Operations” course provided by the Department, or 
(2) One year as an operator of a facility that required an understanding of a piping system that included pumps, valves, and storage tanks. 
(c) In order to be eligible for taking the D2 operator exam, an applicant shall have: 
(1) A high school diploma or GED. The following experience and/or training may be substituted for a high school diploma or GED: 
(A) Successful completion of the “Basic Small Water System Operations” course provided by the Department, or 
(B) One year as an operator of a facility that required an understanding of a piping system that included pumps, valves, and storage tanks. 
(2) Successfully completed a total of at least one course of specialized training in water supply principles. 
(d) In order to be eligible for taking the D3 operator exam, an applicant shall have: 
(1) A valid Grade D2 or interim Grade D3 or higher operator certificate. 
(2) Successfully completed a total of at least two courses of specialized training that includes at least one course in water supply principles. 
(e) In order to be eligible for taking the D4 operator exam, an applicant shall have: 
(1) A valid Grade D3 or interim Grade D4 or higher operator certificate. 
(2) Successfully completed at least three courses of specialized training that includes at least two courses in water supply principles. 
(f) In order to be eligible for taking the D5 operator exam, an applicant shall have: 
(1) A valid Grade D4 or interim Grade D5 operator certificate. 
(2) Successfully completed at least four courses of specialized training that includes at least two courses in water supply principles. 
(g) Specialized training courses used to fulfill the requirements of this section may also be used to fulfill the requirements of section 63775.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106875, 106900, 106910 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63785. Examination Application Content and Submittal.
Note     •     History

(a) A complete application for examination shall include the following information: 
(1) The applicant's full name, social security number (pursuant to the authority found in sections 100275 and 106910 of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification), date of birth, certificate number of any operator certificates ever held, mailing address, work telephone number, and home telephone number. 
(2) The date of the examination for which the applicant is applying. 
(3) The examination fee, pursuant to section 63850. 
(4) For T1, T2, D1, and D2 applicants one of the following: 
(A) A copy of the applicant's high school diploma or the name and location of the high school and date of graduation; or 
(B) A copy of the applicant's GED; or 
(C) A certificate of completion for the “Basic Small Water System Operations” course provided by the Department; or 
(D) The name, address, and phone number of each employer, the length of time employed, and the nature of the work performed that satisfies the requirements of section 63775(b)(2) or (c)(1)(B) or 63780(b)(2) or (c)(1)(B). 
(5) For T3 and D3 applicants, a copy of the applicant's high school diploma, or the name and location of the high school and date of graduation, or a copy of the applicant's GED. 
(6) Copies of transcripts or certificates of completion of specialized training courses, as provided by the educational institution, claimed to meet the requirements of section 63775 or 63780.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code; and Section 17520, Family Code. Reference: Section 1798.17, Civil Code; and Sections 106875, 106880, 106890, 106900 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order, including amendment of subsections (a)(1) and (a)(4)(D), transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63790. Filing Deadline and Requirement for Identification at Examination.
Note     •     History

(a) For admission to an examination, a completed application shall be postmarked by the final filing date established by the Department. 
(b) An examinee shall present their driver's license, photo identification (ID) card issued by the Department of Motor Vehicles, or passport upon entry to the exam.
NOTE

Authority cited: Sections 106910, 131052 and 131200, Health and Safety Code. Reference: Sections 106875, 106880 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
4. Amendment of section heading, section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§63795. Examination Application Resubmittals and Reexaminations.
Note     •     History

(a) Applications for examination that the Department determines are incomplete pursuant to section 63785 or do not meet the qualification requirements pursuant to section 63775 or 63780 may be amended within 12 months of the original submittal date for reconsideration without payment of an additional examination fee. 
(b) Examinees may apply to retake the exam provided they submit an application that includes the following: 
(1) Applicant name, social security number (pursuant to the authority found in sections 100275 and 106910 of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification), current mailing address, grade for which applying, certificate number if currently certified, date of original application, and date of most recent exam taken. 
(2) Payment of the reexamination fee pursuant to section 63850.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code; and Section 17520, Family Code. Reference: Section 1798.17, Civil Code; and Sections 106875, 106880, 106890, 106900 and 106910, Health and Safety Code.
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order, including amendment of subsection (b)(1), transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
Article 4. Operator Certification Criteria and Applications
§63800. Eligibility Criteria for Water Treatment Operator Certification.
Note     •     History

(a) In order to be eligible for certification as a T1 operator, an applicant shall have passed a Grade T1 operator examination within the three years prior to submitting the application for certification. 
(b) In order to be eligible for certification as a T2 operator, an applicant shall have passed a Grade T2 or T3 operator certificate examination within the three years prior to submitting the application for certification. 
(c) In order to be eligible for certification as a T3 operator, an applicant shall have passed a Grade T3 operator examination within the three years prior to submitting the application for certification, and shall have completed the following: 
(1) At least one year of operator experience working as a certified T2 operator for a T2 facility or higher, or a facility that, prior to January 1, 2001, would have met the criteria for classification as a T2 facility or higher pursuant to section 64413.1. 
(2) At least one additional year of operator experience working as a certified treatment operator. 
(d) In order to be eligible for certification as a T4 operator, an applicant shall have passed a Grade T4 operator examination within the three years prior to submitting the application for certification, and shall have completed the following: 
(1) At least one year of operator experience working as a shift or chief operator, while holding a valid T3 operator certificate, at a T3 facility or higher, or a facility that, prior to January 1, 2001, would have met the criteria for classification as a T3 facility or higher pursuant to section 64413.1, and 
(2) At least three additional years of operator experience working as a certified treatment operator. 
(e) In order to be eligible for certification as a T5 operator, an applicant shall have passed a Grade T5 operator examination within the three years prior to submitting the application for certification, and shall have completed the following: 
(1) At least two years of operator experience working as a shift or chief operator, while holding a valid T4 operator certificate, at a T4 facility or higher, or a facility that, prior to January 1, 2001, would have met the criteria for classification as a T4 facility or higher pursuant to section 64413.1, and 
(2) At least three additional years of operator experience working as a certified treatment operator. 
(f) A degree earned at an accredited academic institution may be used to fulfill experience requirements in (c)(2), (d)(2), and (e)(2) as follows: 
(1) An Associate degree or certificate in water or wastewater technology that includes at least 15 units of physical, chemical, or biological science may be used to fulfill 1 year of operator experience. 
(2) A Bachelors degree in engineering or in physical, chemical, or biological sciences may be used to fulfill 1.5 years of operator experience. 
(3) A Masters degree in engineering or in physical, chemical, or biological sciences may be used to fulfill 2 years of operator experience. 
(g) A certified operator may substitute on a day-for-day basis the experience requirements in (c)(2) with experience gained while working with lead responsibility for water quality related projects or research. 
(h) If the applicant has a bachelor of science or a master of science degree, completion of a comprehensive operator training program may be used to fulfill the operator experience requirements in (c)(1) and (d)(1). Completion of the training shall be verified in writing by the chief operator. The comprehensive operator training program shall be at least 6 months in duration and shall cover the following elements: 
(1) California Safe Drinking Water Act and regulations promulgated pursuant thereto. 
(2) Water treatment calculations. 
(3) SCADA operation. 
(4) Handling of laboratory chemicals used for drinking water analyses. 
(5) Laboratory analyses conducted by operators. 
(6) Safety training. 
(7) Distribution system operation. 
(8) Treatment chemical dosing and monitoring. 
(9) Disinfectant dosing and monitoring. 
(10) Treatment processes and controls. 
(i) Experience gained as a certified waste water treatment plant operator, pursuant to California Water Code sections 13625 through 13633, may be used to fulfill up to two years of the operator experience requirements in (c)(2), (d)(2), and (e)(2). Each two months of experience as a waste water treatment plant operator shall be considered equivalent to one month of water treatment facility operator experience.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106875, 106900, 106910 and 116555, Health and Safety Code. 
HISTORY

1. New article 4 (sections 63800-63835) and section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 63800-63835) and section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63805. Eligibility Criteria for Distribution Operator Certification.
Note     •     History

(a) In order to be eligible for certification as a D1 operator, an applicant shall have passed a Grade D1 operator examination within the three years prior to submitting the application for certification. 
(b) In order to be eligible for certification as a D2 operator, an applicant shall have passed a Grade D2 operator examination within the three years prior to submitting the application for certification. 
(c) In order to be eligible for certification as a D3 operator, an applicant shall have passed a Grade D3 operator examination within the three years prior to submitting the application for certification, and shall have completed the following: 
(1) At least one year of operator experience working as a certified D2 operator, interim D3 or higher operator, or temporary D3 operator for a D2 system or higher, or a system that, prior to January 1, 2001, would have met the criteria for classification as a D2 system or higher pursuant to section 64413.3. 
(2) At least one additional year of operator experience working as a distribution operator. 
(d) In order to be eligible for certification as a D4 operator, an applicant shall have passed a Grade D4 operator examination within the three years prior to submitting the application for certification, and shall have completed the following: 
(1) At least one year of operator experience working as a certified D3, interim D4 or higher operator, or temporary D4 operator for a D3 system or higher, or a system that, prior to January 1, 2001, would have met the criteria for classification as a D3 facility or higher pursuant to section 64413.3, and 
(2) At least three additional years of operator experience working as a distribution operator. 
(e) In order to be eligible for certification as a D5 operator, an applicant shall have passed a Grade D5 operator examination within the three years prior to submitting the application for certification, and shall have completed the following: 
(1) At least two years of operator experience working as a certified D4, interim D5 operator, or temporary D5 operator for a D4 or D5 system, or a system that, prior to January 1, 2001, would have met the criteria for classification as a D4 or D5 system pursuant to section 64413.3, and 
(2) At least three additional years of operator experience working as a distribution operator. 
(f) A degree earned at an accredited academic institution may be used to fulfill experience requirements in (c)(2), (d)(2), and (e)(2) as follows: 
(1) An Associate degree, or certificate, in water or wastewater technology or distribution that includes at least 15 units of physical, chemical, or biological science may be used to fulfill 1 year of operator experience. 
(2) A Bachelors degree in engineering or in physical, chemical, or biological sciences may be used to fulfill 1.5 years of operator experience. 
(3) A Masters degree in engineering or in physical, chemical, or biological sciences may be used to fulfill 2 years of operator experience. 
(g) A certified operator may substitute on a day-for-day basis the experience requirements in (c)(2) with experience gained while working with lead responsibility for water quality or quantity related projects or research.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106875, 106900, 106910 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63810. Interim Certification of Distribution Operators.
Note     •     History

(a) A distribution operator in a position responsible for making decisions identified in section 63770(b), (c), or (d) on December 31, 2000, shall be eligible for interim certification provided that the employing water supplier, as defined in section 64402.20, submits an application which shall include for each employee: 
(1) The employee's full name, social security number (pursuant to the authority found in sections 100275 and 106910 of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification), date of birth, certificate number of any operator certificates ever held, mailing address, work telephone number, and home telephone number. 
(2) The grade at which the operator will be certified. 
(3) The certification fee specified in Table 63850-C. 
(b) Interim distribution operator certificates shall be effective as of January 1, 2001, and shall expire on January 1, 2004. Such certificates may be renewed only once for an additional 3 years and only if the water system has not received any notice of violation, citation, or order from the Department or EPA since January 1, 2001, unless the public water system can demonstrate to the satisfaction of the Department that the violation was not the result of actions taken or not taken by the operator(s). After January 1, 2007, all interim operator certificates shall be invalid. 
(c) In order to renew an interim certificate, a water supplier shall submit a renewal application between July 1, 2003 and September 1, 2003. The renewal application shall include the following: 
(1) The operator's name, social security number (pursuant to the authority found in sections 100275 and 106910 of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification), current mailing address, certificate grade, and certificate number. 
(2) Payment of the renewal fee specified in section 63850(e). 
(3) Documentation of continuing education contact hours as required by section 63840.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code; and Section 17520, Family Code. Reference: Section 1798.17, Civil Code; and Sections 106885, 106895, 106900, 106910 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order, including amendment of subsections (a)(1) and (c)(1), transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63815. CNAWWA Distribution Operator Certification.
Note     •     History

(a) Distribution operators holding a valid California-Nevada Section of the American Water Works Association (CNAWWA) distribution operator certificate on December 31, 2000, shall be deemed to have a distribution operator certification valid through December 31, 2001, pursuant to Table 63815-A.

Table 63815-A. CNAWWA -- California State Operator Grade 
Equivalents

	CNAWWA Grade	California State Grade 

	1 	D2

	2 	D3

	3 	D4

	4 	D5
(b) In order to renew a certification deemed valid pursuant to subsection (a), an operator shall submit a renewal application by September 1, 2001. 
(c) The renewal application shall include the following: 
(1) The applicant's name, social security number (pursuant to the authority found in sections 100275 and 106910 of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification), date of birth, current mailing address, work telephone number, home telephone number, certificate number of any operator certificates ever held, CNAWWA grade, and a copy of the CNAWWA certificate. 
(2) Payment of the appropriate renewal fee specified in section 63850(f). 
(d) The initial renewal of a certificate deemed valid pursuant to subsection (a) shall be valid for a two-year period.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code; and Section 17520, Family Code. Reference: Section 1798.17, Civil Code; and Sections 106885, 106890, 106896 106900 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order, including amendment of subsections (c)(1) and (c)(2), transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63820. Temporary Distribution Operator Certification.
Note     •     History

(a) Distribution operators who have received notice of qualification for examination shall be deemed to have a temporary distribution operator certification at the grade for which they have been qualified for examination. All temporary certifications will expire January 1, 2004 and shall not be renewable.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106885 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63825. Restricted Operator Certification.
Note     •     History

(a) A T1, T2, D1, or D2 restricted operator certificate may be issued without a written examination if the following conditions are met: 
(1) The water supplier, as defined in section 64402.20, serves a disadvantaged community as defined in section 63000.25; and 
(2) The Department has issued a citation or order to the water supplier for noncompliance with section 64413.5 or 64413.7, or Health and Safety Code section 116555(a)(4), (5), or (b); and 
(3) The water supplier submits an application pursuant to section 63830 and pays the application and examination fee specified in section 63850; and 
(4) The operator meets the criteria for taking the T1, T2, D1, or D2 exam and passes a performance test administered by the Department that measures his or her knowledge and ability to operate the specific treatment facility and/or distribution system without jeopardizing public health or safety. 
(b) The restricted operator certificate shall be valid for three years. The certificate may be renewed if the water supplier continues to serve a disadvantaged community and submits an application pursuant to section 63840 and the operator has met the continuing education requirements as specified in subsection 63840(c). 
(c) The restricted operator certificate is not transferable.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106875, 106880, 106885, 106890, 106910 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63830. Certification Application Content and Submittal.
Note     •     History

(a) A complete application for operator certification shall contain the following: 
(1) The applicant's full name, social security number (pursuant to the authority found in sections 100275 and 106910 of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification), date of birth, certificate number of any operator certificates ever held, mailing address, work telephone number, and home telephone number. 
(2) Payment of certification fee pursuant to section 63850. 
(3) For any experience being claimed to meet the experience requirements in sections 63800 or 63805, the name, address, and phone number of each employer, the length of time employed, and the nature of the work performed. 
(4) Employer verification of the experience being claimed in paragraph (3) with the signature of the chief operator or supervisor of each employer. 
(5) Copies of college transcripts if claiming any of the credits pursuant to sections 63800(f), 63800(h) and 63805(f). 
(6) Copies of transcripts or certificates of completion of specialized training courses claimed to meet minimum requirements.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code; and Section 17520, Family Code. Reference: Section 1798.17, Civil Code; and Sections 106875, 106885, 106890, 106900, 106910 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order, including amendment of subsection (a)(1), transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63835. Certification Application Resubmittal.
Note     •     History

An applicant, whose application for certification failed to meet the requirements of this Article or Article 5, as determined by the Department, may reapply within 12 months of the original submittal date without payment of an additional certification or renewal fee. 
NOTE

Authority cited: Sections 106910, 131052 and 131200, Health and Safety Code. Reference: Sections 106875, 106880 and 106910, Health and Safety Code.
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order, including amendment of Note, transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
4. Amendment of section heading, section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
Article 5. Certification Renewals, Delinquent Renewals and Fees
§63840. Certification Renewals.
Note     •     History

(a) All certified operators shall notify the Department within 60 days of any change in address or name during the period of their certification. 
(b) Any person wishing to maintain a valid operator certificate shall submit an application for renewal at least 120 days, but no more than 180 days, prior to expiration of the certification. The following items constitute a complete application for renewal: 
(1) The applicant's name, social security number (pursuant to the authority found in sections 100275 and 106910 of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification), current mailing address, grade, and certificate number. 
(2) Payment of the renewal fee specified in Section 63850(c), (d), (e), or (f). 
(3) A list of successfully completed continuing education courses as required by subsection (c). The following information shall be provided for each course: 
(A) Title, 
(B) name of the instructor, 
(C) location, 
(D) date(s), and 
(E) number of contact hours. 
(c) To be eligible for certificate renewal, certified operators possessing certificates that expire after December 31, 2003, shall have completed continuing education contact hours since the previous renewal or issuance of the certificate pursuant to Table 63840-A. No more than 25% of the contact hours shall be courses in operator safety.

Table 63840-A. Required Continuing Education Contact Hours for Certificate Renewal

	Water Treatment Operators 	Contact Hours Required 

Grade T1 		12

Grade T2 		16

Grade T3 		24

Grade T4 		36

Grade T5 		36

	Distribution Operators 

Grade D1 		12

Grade D2 		16

Grade D3 		24

Grade D4 		36

Grade D5 		36 
(1) Operators possessing both distribution and treatment certificates may apply continuing education credits to both certificates. 
(2) Specialized training that is used to satisfy the requirements of section 63775 or 63780 may be used to satisfy the continuing education requirements of Table 63840-A if obtained since the previous renewal or issuance of the certificate. 
(d) Except as provided in section 63815, each certificate renewed pursuant to (b) shall be valid for a period of three years.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code; and Section 17520, Family Code. Reference: Section 1798.17, Civil Code; and Sections 106875, 106885, 106890, 106900 and 106910, Health and Safety Code. 
HISTORY

1. New article 5 (sections 63840-63850) and section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 63840-63850) and section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order, including amendment of (b)(1), transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63845. Reinstatement.
Note     •     History

(a) A certificate that has been revoked only for lack of payment may be reinstated within 1 year if all fees and penalties specified in section 63850 are paid and the renewal application is complete. 
(b) A certificate that has been revoked for failure to complete the continuing education contact hours required in Table 63840-A may be reinstated within six months if all requirements specified in Table 63840-A are met and penalties specified in section 63850 are paid and the renewal application is complete. Contact hours obtained for reinstatement shall not be used to satisfy the requirements of the next renewal period. 
(c) A certificate that has been revoked for more than one year shall not be renewed. 
(d) The expiration date of a certificate that has been renewed pursuant to this section shall remain the same as if the previous certificate had been renewed prior to the expiration date.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106875, 106876, 106890, 106900 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§63850. Fees.
Note     •     History

(a) Except as provided in subsection (e), payment of the fees specified in this section shall be made by a separate check or money order for each operator. The operator's name, and in the case of renewals, the operator's certificate number, shall be written on the check or money order. 
(b) All fees submitted to the Department pursuant to this section are nonrefundable. 
(c) Operator fees shall be pursuant to Table 63850-A.

Table 63850-A. Operator Fee Schedule

 Grade	Examination	Reexamination	Certification	Triennial Renewal 
 	Fee ($)	Fee ($)	Fee ($)	Fee ($)

D1 or T1 	50 	30 	70 	70
D2 or T2 	65 	45 	80 	80
D3 or T3 	100 	70 	120 	120
D4 or T4 	130 	95 	140 	140
D5 or T5 	155 	120 	140 	140
(d) Operators who are certified or have been notified by the Department that they have met requirements for certification as both treatment and distribution operators shall pay the certification and renewal fees specified in Table 63850-B for each certificate.

Table 63850-B. Fee Schedule for Operators With 
Multiple Certificates

	Grade 	Certification Fee	Triennial Renewal Fee ($) 
		($) per Certificate 	per Certificate

	D1 or T1 	55 	55

	D2 or T2	 60 	60

	D3 or T3 	90 	90

	D4 or T4 	105 	105

	D5 or T5 	105 	105
(e) The fee schedule for interim distribution operator certification is in Table 63850-C. The fees specified in this subsection may be paid by a single check or money order for all operators included in the application.

Table 63850-C. Interim Operator Fee Schedule

	Grade 	Certification Fee ($)	Triennial Renewal Fee ($) 

	D1 	70 	70

	D2 	80 	80

	D3 	120 	120

	D4 	140 	140

	D5 	140 	140
(f) The fee schedule for distribution operators holding valid CNAWWA certificates pursuant to 63850(b) is in Table 63850-D.

Table 63850-D. CNAWWA Certification Fees

	CNAWWA Grade 	Biennial Renewal 
		Fee Due in 2001 - 
		valid for two years

	1 	80

	2 	100

	3 	120

	4 	120 
(g) A penalty fee of $50 shall be paid for renewals submitted or resubmitted after the renewal due date but at least 45 days prior to the expiration date. A penalty fee of $100 shall be paid for renewals submitted or resubmitted less than 45 days prior to the expiration date but within 1 year after the expiration date. 
(h) A certificate replacement fee of $25 shall be paid by any certificate holder requesting to have a lost, stolen, or destroyed certificate replaced.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106890 and 106910, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
Chapter 14. Water Permits
Article 1. Applications
§64001. Water Permit Application.
Note     •     History

A public water system shall submit an application for a permit or amended permit pursuant to section 116525 or section 116550, Health and Safety Code, respectively. For proposed water system improvements, new water systems, or a “project” as defined in section 15378, Title 14, California Code of Regulations where environmental documentation is required, a copy of such documentation shall be included in the application.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116525 and 116550, Health and Safety Code; and Sections 21000-21176, Public Resources Code.
HISTORY

1. New Chapter 14 (Sections 64001 and 64002) filed 7-14-86; effective thirtieth day thereafter (Register 86, No. 29).
2. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64002. Processing Time. [Repealed]
Note     •     History

NOTE

Authority cited: Section 15376, Government Code; and Sections 4011 and 4019, Health and Safety Code. Reference: Section 15376, Government Code; and Sections 21000-21176, Public Resources Code.
HISTORY

1. New section filed 7-14-86; effective thirtieth day thereafter (Register 86, No. 29).
2. Repealer filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64197. Service Connection Fee.
Note     •     History

(a) Each public water system serving at least 200 service connections shall pay to the Department a one time fee of fifty cents ($0.50) for each service connection it serves. The fee shall be submitted to the Department no later than April 30, 1991.
(b) The fee shall be based on the number of service connections previously reported to the Department for the calendar year 1989.
NOTE

Authority cited: Section 4019.5, Health and Safety Code. Reference: Section 4019.5, Health and Safety Code.
HISTORY

1. New section filed 3-5-91 as an emergency; operative 3-5-91 (Register 91, No. 14). The emergency language will remain in effect until revised by the Department of Health Services pursuant to Health and Safety Code section 4019.5(b).
2. Change without regulatory effect repealing article heading filed 4-21-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 16).
§64200. Local Health Officer Authority & Responsibility. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 7, 208 and 4010.8, Health and Safety Code. Reference: Sections 7, 208, 4010, 4010.8 and 4010.55, Health and Safety Code.
HISTORY

1. New section filed 3-7-91 as an emergency; operative 3-7-91 (Register 91, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-5- 91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-7-91 order transmitted to OAL 7-2-91 and filed 7-2-91 (Register 91, No. 40).
3. Change without regulatory effect repealing section filed 4-21-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 16).
§64201. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4020.5, Health and Safety Code. Reference: Sections 4020.5 and 4023.3, Health and Safety Code.
HISTORY

1. New section filed 6-16-91; operative 7-16-92 (Register 92, No. 25).
2. Change without regulatory effect repealing section filed 4-21-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 16).
§64202. Large Water System Regulatory Fee Determination for the Period of July 1, 1991 Through June 30, 1992. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4010.1 and 4020.5, Health and Safety Code. Reference: Sections 4010.1, 4020.5 and 4023.3, Health and Safety Code.
HISTORY

1. New section filed 6-16-91; operative 7-16-92 (Register 92, No. 25).
2. Change without regulatory effect repealing section filed 4-21-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 16).
§64203. Workload Rating Factors. [Repealed]
Note     •     History

NOTE

Authority cited: Section 4020.5, Health and Safety Code. Reference: Sections 4020.5 and 4023.3, Health and Safety Code.
HISTORY

1. New section filed 6-16-91; operative 7-16-92 (Register 92, No. 25).
2. Change without regulatory effect repealing section filed 4-21-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 16).
§64204. Wholesale Water Suppliers. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4010.1 and 4020.5, Health and Safety Code. Reference: Sections 4020.5 and 4023.3, Health and Safety Code.
HISTORY

1. New section filed 6-16-91; operative 7-16-92 (Register 92, No. 25).
2. Change without regulatory effect repealing section filed 4-21-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 16).
§64205. Late Payment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 205, 208 and 4020.5, Health and Safety Code. Reference: Sections 4020.5 and 4023.3, Health and Safety Code.
HISTORY

1. New section filed 6-16-91; operative 7-16-92 (Register 92, No. 25).
2. Change without regulatory effect repealing section filed 4-21-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 16).
§64206. Large Water System Reimbursement Fee Determination for the Billing Periods After July 1, 1992. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4010.1, 4019.10 and 4020.5, Health and Safety Code. Reference: Sections 4010.1, 4019.10 and 4023.3, Health and Safety Code.
HISTORY

1. New section filed 1-15-93; operative 2-15-93 (Register 93, No. 3).
2. Change without regulatory effect repealing section filed 4-21-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 16).
Article 3. State Small Water Systems
§64211. Permit Requirement.
Note     •     History

(a) No person shall operate a state small water system unless a permit to operate the system has been issued by the local health officer. 
(b) A state small water system shall submit a technical report to the local health officer as part of the permit application. The report shall describe the proposed or existing system as follows: service area, distribution system including storage and pumping facilities, the water source including source capacity, water quality, and any water treatment facilities. The report shall identify the owner of the system and the party responsible for day to day operation of the system. The report shall include a plan for notification of those served by the system under emergency conditions. The report shall describe the operating plan for the system and shall specify how the responsible party will respond to failure of major system components.
(c) A change in ownership of a state small water system shall require the submission of a new application.
(d) A state small water system shall provide the following notice to the consumers served by the state small water system: “The domestic water supply for this area is provided by a state small water system. State regulatory requirements for operation of a state small water system are less extensive than requirements for larger public water systems. If you have questions concerning your water supply, you should contact [insert (1) name of water system, (2) name of responsible person, and (3) telephone number] or your local health department.” This notice shall be by direct delivery on an annual basis or by continuous posting at a central location within the area served by the state small water system.
NOTE

Authority cited: Sections 116340, 116350, 131052 and 131200, Health and Safety Code. Reference:  Sections 116275 and 116340, Health and Safety Code.
HISTORY

1. New section filed 11-12-91 as an emergency; operative 11-12-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-11-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-6-92 as an emergency; operative 3-11-92 (Register 92, No. 15). A Certificate of Compliance must be transmittted to OAL 7-9-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-6-92 order including new subsections (e) and (f) transmitted to OAL 5-5-92 and filed 6-16-92 (Register 92, No. 25).
4. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64212. Bacteriological Quality Monitoring.
Note     •     History

(a) A water supplier operating a state small water system shall collect a minimum of one routine sample from the distribution system at least once every three months. The sample shall be analyzed for the presence of total coliform bacteria by a laboratory certified by the Department for bacteriological analyses pursuant to Article 3, commencing with section 100825, of Chapter 4 of Part 1 of Division 101, Health and Safety Code. The results of the analyses shall be reported to the local health officer no later than the 10th day of the month following receipt of the results by the state small water system.
(b) If any routine sample is total coliform-positive, the water supplier shall collect a repeat sample from the same location within 48 hours of being notified of the positive result. If the repeat sample is also total coliform-positive, the sample shall also be analyzed for the presence of fecal coliforms or Escherichia coli (E. coli). The water supplier shall notify the local health officer within 48 hours from the time the results are received and shall take corrective actions as directed by the local health officer to eliminate the cause of the positive samples.
(c) A local health office may require a state small water system to sample the distribution system each month, in lieu of the requirements of subsection (a), if the system has bacteriological contamination problems indicated by more than one total-coliform positive sample during the most recent 24 months of operation. The monthly sample shall be analyzed for the presence of total coliform bacteria by a laboratory certified by the Department for bacteriological analyses pursuant to Article 3, commencing with section 100825, of Chapter 4 of Part 1 of Division 101, Health and Safety Code. The results of the analyses shall be reported to the local health officer no later than the 10th day of the month following receipt of the results by the state small water system.
NOTE

Authority cited: Sections 116340, 116350, 131052 and 131200, Health and Safety Code. Reference:  Sections 116275 and 116340, Health and Safety Code.
HISTORY

1. New section filed 11-12-91 as an emergency; operative 11-12-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-11-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-6-92 as an emergency; operative 3-11-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-9-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-6-92 order including amendment of subsection (b) and new subsection (c) transmitted to OAL 5-5-92 and filed 6-16-92 (Register 92, No. 25).
4. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64213. Chemical Quality Monitoring.
Note     •     History

(a) A water supplier operating a state small water system shall sample each source of supply prior to any treatment at least once. The sample shall be analyzed by a laboratory, certified by the Department pursuant to Article 3, commencing with section 100825, of Chapter 4 of Part 1 of Division 101, Health and Safety Code, for fluoride, iron, manganese, chloride, total dissolved solids, and the inorganic chemicals listed in Table 64431-A, section 64431(a).
(b) A groundwater source that has been designated as vulnerable by the local health officer pursuant to criteria set forth in sections 64445(d)(1) and (2) shall be sampled by the water supplier operating the state small water system at least once prior to any treatment and analyzed for volatile organic compounds in accordance with approved methods specified in section 64415. The analysis shall be performed by a laboratory certified by the Department to perform analyses for organic chemicals pursuant to Article 3, commencing with section 100825, of Chapter 4 of Part 1 of Division 101, Health and Safety Code.
(c) The results of the laboratory analyses shall be submitted to the local health officer by the state small water system no later than the 10th day of the month following receipt of the results by the state small water system. A copy of the results of the analyses and a comparison of the results with the maximum contaminant levels for those contaminants listed in Table 64431-A, section 64431(a) and Table 64444-A, section 64444 shall be distributed by the state small water system to each regular user of the water system within 90 days of receiving the results. A copy of the distribution notice shall be provided to the local health officer.
(d) A water supplier operating a state small water system shall comply with any corrective actions ordered by the local health officer for any chemical contaminant which exceeds the maximum contaminant level.
NOTE

Authority cited: Sections 116340, 116350, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116340, Health and Safety Code.
HISTORY

1. New section filed 11-12-91 as an emergency; operative 11-12-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-11-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-6-92 as an emergency; operative 3-11-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-9-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-6-92 order transmitted to OAL 5-5-92 and filed 6-16-92 (Register 92, No. 25).
4. Amendment of subsections (a)-(c) filed 6-19-95; operative 6-19-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 25).
5. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64214. Service Connection Limitation.
Note     •     History

No state small water system shall add additional service connections to the system such that the total number of service connections served by the system exceeds 14 before the water system has applied for and received a permit to operate as a public water system from the Department.
NOTE

Authority cited:  Sections 208 and 4010.8, Health and Safety Code. Reference:  Sections 4010.1 and 4010.8, Health and Safety Code.
HISTORY

1. New section filed 11-12-91 as an emergency; operative 11-12-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-11-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-6-92 as an emergency; operative 3-11-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-9-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-6-92 order transmitted to OAL 5-5-92 and filed 6-16-92 (Register 92, No. 25).
4. Editorial correction of History 2 (Register 95, No. 47).
§64215. Water Supply Requirements.
Note     •     History

Prior to receiving permit approval, a state small water system which was not in existence on November 12, 1991 shall demonstrate to the local health officer that sufficient water is available from the water system's sources and distribution storage facilities to supply a minimum of three gallons per minute for at least 24 hours for each service connection served by the system.
NOTE

Authority cited: Sections 208 and 4010.8, Health and Safety Code. Reference: Sections 4010.1 and 4010.8, Health and Safety Code.
HISTORY

1. New section filed 11-12-91 as an emergency; operative 11-12-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-11-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-6-92 as an emergency; operative 3-11-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-9-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-6-92 order transmitted to OAL 5-5-92 and filed 6-16-92 (Register 92, No. 25).
4. Editorial correction of History 2 (Register 95, No. 47).
§64216. Mutual Associations Prohibited.
Note     •     History

No state small water system which was not in existence on November 12, 1991 shall be issued a permit to operate if the water supplier is an unincorporated association organized under Title 3 (commencing with Section 20000) of Division 3 of the Corporations Code.
NOTE

Authority cited: Sections 208 and 4010.8, Health and Safety Code. Reference: Sections 4010.1, 4010.8 and 4014, Health and Safety Code.
HISTORY

1. New section filed 11-12-91 as an emergency; operative 11-12-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-11-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-6-92 as an emergency; operative 3-11-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-9-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-6-92 order transmitted to OAL 5-5-92 and filed 6-16-92 (Register 92, No. 25).
4. Editorial correction of History 2 (Register 95, No. 47).
§64217. Surface Water Treatment Requirement.
Note     •     History

All state small water systems using surface water as a source of supply shall provide continuous disinfection treatment of the water prior to entry to the distribution system.
NOTE

Authority cited: Sections 208 and 4010.8, Health and Safety Code. Reference:  Sections 4010.1 and 4010.8, Health and Safety Code.
HISTORY

1. New section filed 11-12-91 as an emergency; operative 11-12-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-11-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-6-92 as an emergency; operative 3-11-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-9-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-6-92 order transmitted to OAL 5-5-92 and filed 6-16-92 (Register 92, No. 25).
4. Editorial correction of History 2 (Register 95, No. 47).
Article 4. Local Primacy Delegation
§64251. Definitions.
Note     •     History

(a) For the purpose of this Article the following definitions shall apply:
(1) “Small Water System” means a community water system except those serving 200 or more service connections, or any noncommunity or nontransient noncommunity water system.
(2) “Primacy Delegation Agreement” means the document, issued by the department and signed by the local health officer, delegating primacy to a local health officer.
(3) “Routine Inspection” means an on-site review of a small water system which includes, but is not limited to, inspections of system operations, operation and maintenance records, system facilities and equipment.
(4) “Sanitary Survey” means an on-site review of a small water system which includes, in addition to the elements of a routine inspection, an evaluation of the watershed for surface water sources and vulnerability assessments for groundwater sources.
NOTE

Authority cited: Sections 4010.7 and 4023.3(h), Health and Safety Code. Reference: Sections 4010.1 and 4023.3, Health and Safety Code. 
HISTORY

1. New article 4 and section filed 4-2-93 as an emergency; operative 4-2-93 (Register 93, No. 14). A Certificate of Compliance must be transmitted to OAL 8-2-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-2-93 order transmitted to OAL 7-29-93 and filed 9-8-93 (Register 93, No. 37).
§64252. Primacy Delegation Application.
Note     •     History

(a) The primacy delegation application submitted by a local health officer pursuant to section 116330 of the Health and Safety Code shall describe how the primacy requirements of this article will be complied with and shall contain the following information relating to the small water system program to be delegated:
(1) The number of staff persons, percentage of time and personnel classification of each staff person, and a description of the program responsibilities of each person involved in the small water system program;
(2) A proposed program budget projecting both revenues and expenditures for the first year of the program. The expenditures categories shall include personnel, general expense (i.e., rent, supplies and communications), travel, equipment, data management, any other specific services to be provided (e.g., laboratory), administrative overhead and other indirect charges. The anticipated revenues shall specify all planned sources of revenues to be used for support of the small water system program;
(3) A description of engineering and legal resources to be used in conducting the program;
(4) A description of the electronic data management system to be used to comply with the requirements of section 64256 (e) and the compatibility of the proposed system with the data management system used by the Department;
(5) A description of the current status of compliance with Division 104, Part 1, Chapters 4 and 5; Division 104, Part 12, Chapters 4 and 5 of the Health and Safety Code and California Code of Regulations, Title 22, Division 4, Chapters 15, 15.5, 17, and 17.5 of the small water systems within the county. This description shall include the following:
(A) All violations of drinking water monitoring or reporting requirements by any of the systems during the 12 months preceding the submission of the application for primacy;
(B) All violations of standards of California Code of Regulations, Title 22, Division 4, Chapters 15, 15.5, 17, and 17.5 during the 12 months preceding the submission of the application for primacy; and
(C) All enforcement actions against small water systems taken by the county during the 12 months preceding the submission of the application for primacy.
(6) A current inventory list of the small water systems within the county. For each small water system the inventory list shall specify the system name, water system identification number, mailing address, type of system (community, nontransient noncommunity or noncommunity), name and address and phone number of the responsible party, type of ownership, type of water source, type of treatment if any, dates of operation for seasonally operated systems, and either:
(A) For a community water system, the number of service connections; or
(B) For a noncommunity or nontransient noncommunity water system, the average monthly population served.
(7) Demonstration that the local primacy agency will be able to immediately undertake the activities specified as local primacy program requirements in section 64253 at the time of delegation; and
(8) An annual workplan, as required pursuant to section 64260, which, at the discretion of the Department, may be submitted separately following the Department's review of the remainder of the application.
(b) The application shall be signed by the local health officer or by a local official with the authority to submit the application on behalf of the county.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200,  Health and Safety Code. Reference: Sections 116330 and 116375, Health and Safety Code.
HISTORY

1. New section filed 4-2-93 as an emergency; operative 4-2-93 (Register 93, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-2-93 order transmitted to OAL 7-29-93 and filed 9-8-93 (Register 93, No. 37).
3. Amendment of subsections (a)(5), (a)(5)(B) and Note filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
4. Refiling of 12-11-95 order, including further amendment of subsection (a)(5) and amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-11-95 order, including amendment of subsection (a), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
6. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64253. Local Primacy Agency Minimum Program Requirements.
Note     •     History

Each local primacy agency shall conduct a regulatory program for small water systems within its jurisdiction that complies with all of the requirements set forth in sections 64254, 64255, 64256, 64257, and 64258.
NOTE

Authority cited: Sections 4010.7 and 4023.3(h), Health and Safety Code. Reference: Sections 4010.7 and 4023.3(h), Health and Safety Code. 
HISTORY

1. New  section filed 4-2-93 as an emergency; operative 4-2-93 (Register 93, No. 14). A Certificate of Compliance must be transmitted to OAL 8-2-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-2-93 order transmitted to OAL 7-29-93 and filed 9-8-93 (Register 93, No. 37).
§64254. Permits.
Note     •     History

(a) A local primacy agency shall issue and maintain a valid drinking water permit for all small water systems within its jurisdiction in accordance with sections 116525 through 116550 of the Health and Safety Code. The permit shall include terms and conditions, including compliance schedules, that are necessary to assure that water served will comply with Division 104, Part 1, Chapters 4 and 5; Division 104, Part 12, Chapters 4 and 5 of the Health and Safety Code, and Title 22, Division 4, Chapters 15, 15.5, 16, 17, and 17.5, and Title 17, Division 1, Chapter 5, Group 4 of the California Code of Regulations.
(b) All existing permits shall be reviewed and updated as necessary at least every ten years.
(c) A copy of all permit applications for proposed new community water systems under the jurisdiction of the local primacy agency that are designed to serve 200 or more service connections shall be submitted to the Department. The local primacy agency shall not issue a permit for these systems unless the Department concurs that the systems are capable of complying with Division 104, Part 1, Chapters 4 and 5; Division 104, Part 12, Chapters 4 and 5 of the Health and Safety Code, and Title 22, Division 4, Chapters 15, 15.5, 16, 17, and 17.5, and Title 17, Division 1, Chapter 5, Group 4 of the California Code of Regulations.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116330, 116375, 116525, 116530, 116535, 116540, 116545 and 116550, Health and Safety Code; and 40 Code of Federal Regulations 141.
HISTORY

1. New  section filed 4-2-93 as an emergency; operative 4-2-93 (Register 93, No. 14). A Certificate of Compliance must be transmitted to OAL 8-2-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-2-93 order transmitted to OAL 7-29-93 and filed 9-8-93 (Register 93, No. 37).
3. Amendment of subsections (a), (c) and Note filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
4. Refiling of 12-11-95 order, including further amendment of subsections (a) and (c) and amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-11-95 order, including amendment of subsection (a) and Note, transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
6. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64255. Surveillance.
Note     •     History

(a) A local primacy agency shall establish and maintain an inventory of all small water systems under its jurisdiction. The inventory shall be updated at least annually and shall include the following information for each system:
(1) All of the information specified in section 64252(a)(6);
(2) The name and telephone number of the operator of any treatment facilities utilized by the system; and
(3) A copy of the current emergency notification plan required pursuant to section 116460 of the Health and Safety Code.
(b) A local primacy agency shall conduct a routine inspection of each small water system within its jurisdiction as follows:
(1) At least once every two years on each small water system utilizing a surface water source as defined in section 64651.10;
(2) At least once every two years on each small water system utilizing groundwater that is treated in order to meet drinking water standards; and
(3) At least once every five years on each small water system utilizing groundwater without treatment.
(c) A local primacy agency shall conduct a sanitary survey of each small water system within its jurisdiction at least once every five years. A sanitary survey may be conducted in lieu of any routine inspection.
(d) A local primacy agency shall identify any deficiencies found during the routine inspection or sanitary survey and shall submit a follow-up notice to the small water system describing such deficiencies and prescribing a time schedule for corrective action. The notice shall be sent to the small water system within 60 days of the routine inspection or sanitary survey.
(e) A local primacy agency shall complete a routine inspection or sanitary survey report for each routine inspection or sanitary survey conducted within 90 days of completion of the sanitary survey or routine inspection.
(f) A local primacy agency shall determine which small water systems under its jurisdiction utilize surface water or groundwater under the direct influence of surface water and are subject to surface water treatment requirements as specified in section 64650.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200,  Health and Safety Code. Reference: Sections 116330, 116375 and 116735, Health and Safety Code. 
HISTORY

1. New  section filed 4-2-93 as an emergency; operative 4-2-93 (Register 93, No. 14). A Certificate of Compliance must be transmitted to OAL 8-2-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-2-93 order transmitted to OAL 7-29-93 and filed 9-8-93 (Register 93, No. 37).
3. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64256. Sampling and Monitoring.
Note     •     History

(a) A local primacy agency shall notify each small water system under its jurisdiction in writing of the monitoring requirements for that system pursuant to Title 22, Division 4, Chapters 15, 15.5, 17, and 17.5 of the California Code of Regulations. The notice shall identify the specific contaminants to be monitored, the type of laboratory analyses required for each contaminant, the frequency of sampling and any other sampling and reporting requirements applicable to that system.
(b) A local primacy agency shall ensure that each small water system under its jurisdiction complies with the sample siting plan requirements of section 64422.
(c) A local primacy agency shall establish a tracking system to assure that all required sampling and laboratory analyses are completed and reported by the small water systems pursuant to Title 22, Division 4, Chapters 15, 15.5, 17, and 17.5 of the California Code of Regulations. The tracking system shall include the date the sample was collected, the type or purpose of the sample, and the laboratory result.
(d) A local primacy agency shall maintain an ongoing record of the status of compliance with monitoring and reporting requirements of California Code of Regulations, Title 22, Division 4, Chapters 15, 15.5, 17, and 17.5 of each small water system.
(e) A local primacy agency shall establish a system to assure that the water quality monitoring data submitted by the small water systems is routinely reviewed for compliance with the requirements of Title 22, Division 4, Chapters 15, 15.5, 17, and 17.5 of the California Code of Regulations. The monitoring reports shall be reviewed each month for each small water system and the data entered into the data management system at least monthly.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200,  Health and Safety Code. Reference: Sections 116330, 116375, 116385 and 116400, Health and Safety Code; and 40 Code of Federal Regulations 141.
HISTORY

1. New  section filed 4-2-93 as an emergency; operative 4-2-93 (Register 93, No. 14). A Certificate of Compliance must be transmitted to OAL 8-2-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-2-93 order transmitted to OAL 7-29-93 and filed 9-8-93 (Register 93, No. 37).
3. Amendment of subsections (a), (c)-(e) and Note filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
4. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
6. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64257. Reporting.
Note     •     History

(a) The following reports shall be submitted monthly in an electronic data format to the Department no later than the last day of the month following the period being reported:
(1) A report listing all small water systems that failed during the previous month to comply with drinking water monitoring and reporting regulations of  Title 22, Division 4, Chapters 15, 15.5, 17, and 17.5 of the California Code of Regulations; and
(2) A compliance report containing the following information for each small water system under the jurisdiction of the local primacy agency that is in violation of Title 22, Division 4, Chapters 15, 15.5, 17, and 17.5 of the California Code of Regulations:
(A) The name and water system identification number of the system;
(B) A description of the type of violation and the standard violated; and
(C) A description of any enforcement action taken by the local primacy agency with respect to the violation.
(b) The following reports shall be submitted quarterly in an electronic data format to the Department no later than the last day of the quarter following the quarter being reported:
(1) A list of domestic water supply permits for small water systems that have been issued, amended, or renewed during the reporting period. The list shall include the name and the identification number of the water system; and
(2) A list of the small water systems for which a routine inspection or sanitary survey was conducted during the reporting period. The list shall indicate the name and identification number of the small water system and the type of routine inspection or sanitary survey performed.
(c) An updated inventory of small water systems under the jurisdiction of the local primacy agency shall be submitted annually in an electronic format to the Department no later than August 15 of each year.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200,  Health and Safety Code. Reference: Sections 116330, 116345 and 116375, Health and Safety Code; and 40 Code of Federal Regulations 141.
HISTORY

1. New  section filed 4-2-93 as an emergency; operative 4-2-93 (Register 93, No. 14). A Certificate of Compliance must be transmitted to OAL 8-2-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-2-93 order including amendment of subsection (a) transmitted to OAL 7-29-93 and filed 9-8-93 (Register 93, No. 37).
3. Amendment of subsections (a)(1)-(2) and Note filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
4. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of subsection (b)(1) (Register 96, No. 38).
6. Certificate of Compliance as to 12-11-95 order, including amendment of Note, transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
7. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64258. Enforcement.
Note     •     History

(a) A local primacy agency shall take enforcement actions as necessary to assure that all small water systems under the jurisdiction of the local primacy agency are in compliance with Division 104, Part 1, Chapters 4 and 5; Division 104, Part 12, Chapters 4 and 5 of the Health and Safety Code, and California Code of Regulations, Title 17, Division 1, Chapter 5, Group 4, and Title 22, Division 4, Chapters 14, 15, 15.5, 16, 17, and 17.5.
(b) A local primacy agency shall notify each small water system under their jurisdiction of any new state or federal drinking water requirements applicable to those systems.
NOTE

Authority cited: Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116330, 116375, 116625, 116650, 116655, 116660, 116665, 116670, 116675, 116725, 116730, 116735, 116740, 116745 and 116750, Health and Safety Code; and 40 Code of Federal Regulations 141.
HISTORY

1. New  section filed 4-2-93 as an emergency; operative 4-2-93 (Register 93, No. 14). A Certificate of Compliance must be transmitted to OAL 8-2-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-2-93 order transmitted to OAL 7-29-93 and filed 9-8-93 (Register 93, No. 37).
3. Amendment of subsection  (a) and Note filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
4. Refiling of 12-11-95 order, including further amendment of subsection (a) and amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of subsection (a) (Register 96, No. 38).
6. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
7. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64259. Program Management.
Note     •     History

(a) A local primacy agency shall establish and maintain a time accounting system for determining the amount of reimbursement to be billed to each small water system pursuant to section 116595 of the Health and Safety Code. The hourly cost rate of the local primacy agency shall be determined using the criteria set forth in section 116590(b) of the Health and Safety Code.
(b) A local primacy agency shall establish and maintain an individual file for each small water system under its jurisdiction. The following information shall be maintained in the file:
(1) The current operating permit and all technical reports supporting it;
(2) Permit applications, permit technical reports, permits, and amended permits for a minimum of 10 years;
(3) The most recent plans, specifications, and other information submitted by the water system pertaining to sources of supply, treatment works, storage facilities, and distribution system, including water quality monitoring plans and total coliform siting plans;
(4) Inspection and sanitary survey reports for a minimum of 10 years;
(5) Copies of bacteriological water quality analyses for a minimum of 5 years; copies of all other water quality analyses for a minimum of 10 years;
(6) Correspondence, memoranda and other written records pertaining to the system issued or written within the past three years; and
(7) Copies of all compliance orders, citations, court actions, and other enforcement documentation.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116330, 116375, 116590 and 116595, Health and Safety Code. 
HISTORY

1. New  section filed 4-2-93 as an emergency; operative 4-2-93 (Register 93, No. 14). A Certificate of Compliance must be transmitted to OAL 8-2-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-2-93 order including amendment of subsection (b)(5) transmitted to OAL 7-29-93 and filed 9-8-93 (Register 93, No. 37).
3. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64260. Workplans.
Note     •     History

(a) Each local primacy agency shall develop and submit to the department a proposed annual program workplan for the upcoming fiscal year. The local primacy agency shall submit the proposed annual workplan to the department no later than May 1 of each year for the fiscal year commencing July 1 of that year; except for the initial proposed annual workplan submitted in accordance with section 64252.
(b) The workplan developed pursuant to subsection (a) shall describe the activities proposed to be performed by the local primacy agency during the forthcoming fiscal year and shall include:
(1) The anticipated number of new small water system permits to be issued and the proposed number of existing community or noncommunity permits (designated by category) to be updated or amended.
(2) A description of how the small water system inventory specified in section 64255 (a) will be maintained.
(3) A description of how the surveillance activities specified in section 64255 (b) through (f) will be conducted and the priorities to be used in determining the activities to be performed.
(4) The number of planned routine inspections and sanitary surveys to be performed for each category of small water systems (community, noncommunity and nontransient noncommunity).
(5) A listing of small water systems proposed for enforcement action and the priorities to be used in determining these systems.
NOTE

Authority cited: Sections 4010.7 and 4023.3(h), Health and Safety Code. Reference: Sections 4010.7 and 4023.3(h), Health and Safety Code.
HISTORY

1. New  section filed 4-2-93 as an emergency; operative 4-2-93 (Register 93, No. 14). A Certificate of Compliance must be transmitted to OAL 8-2-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-2-93 order transmitted to OAL 7-29-93 and filed 9-8-93 (Register 93, No. 37).
Chapter 15. Domestic Water Quality and Monitoring Regulations
Article 1. Definitions
§64400. Acute Risk.
Note     •     History

“Acute Risk” means the potential for a contaminant or disinfectant residual to cause acute health effects, i.e., death, damage or illness, as a result of a single period of exposure of a duration measured in seconds, minutes, hours, or days.
NOTE

Authority cited: Sections 100275, 116375 and 116450, Health and Safety Code. Reference: Sections 116270-116751, Health and Safety Code.
HISTORY

1. Repealer and new article 1 and new section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer and new article 1 and new section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new article 1 and new section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of chapter 15 heading transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Amendment of section and Note filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.05. Combined Distribution System.
Note     •     History

“Combined distribution system” means the interconnected distribution system consisting of the distribution systems of wholesale systems and of the consecutive systems that receive finished water.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code.
HISTORY

1. New section filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64400.10. Community Water System.
Note     •     History

“Community water system” means a public water system which serves at least 15 service connections used by yearlong residents or regularly serves at least 25 yearlong residents.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64400.20. Compliance Cycle.
Note     •     History

“Compliance cycle” means the nine-year calendar year cycle during which public water systems shall monitor. Each compliance cycle consists of three three-year compliance periods. The first calendar year cycle began January 1, 1993 and ends December 31, 2001; the second begins January 1, 2002 and ends December 31, 2010; the third begins January 1, 2011 and ends December 31, 2019.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64400.25. Compliance Period.
Note     •     History

“Compliance period” means a three-year calendar year period within a compliance cycle. Within the first compliance cycle, the first compliance period runs from January 1, 1993 to December 31, 1995; the second from January 1, 1996 to December 31, 1998; the third from January 1, 1999 to December 31, 2001.
NOTE

Authority cited: Sections 100275, 116375 and 116450, Health and Safety Code. Reference: Sections 116270-116751, Health and Safety Code.
HISTORY

1. Renumbering of former section 64400.30 to new section 64400.25, including amendment of Note, filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.28. Confluent Growth.
Note     •     History

“Confluent growth” means a continuous bacterial growth covering the entire filtration area of a membrane filter, or a portion thereof, in which bacterial colonies are not discrete.
NOTE

Authority cited: Sections 100275, 116375 and 116450, Health and Safety Code. Reference: Sections 116270-116751, Health and Safety Code.
HISTORY

1. Renumbering of former section 64400.40 to new section 64400.28, including amendment of Note, filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.29. Consecutive System.
Note     •     History

“Consecutive system” means a public water system that receives some or all of its finished water from one or more wholesale systems. Delivery may be through a direct connection or through the distribution system of one or more consecutive systems.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code.
HISTORY

1. New section filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64400.30. Customer.
Note     •     History

“Customer” means a service connection to which water is delivered by a community water system or a person that receives water from a nontransient-noncommunity water system for more than six months of the year. 
NOTE

Authority cited: Sections 116350 and 116375, Health and Safety Code. Reference: Sections 116275 and 116470, Health and Safety Code. 
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Renumbering of former section 64400.30 to new section 64400.25 and renumbering of former section 66400.42 to section 64400.30 filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.32. Detected.
Note     •     History

“Detected” means at or above the detection limit for purposes of reporting (DLR). 
NOTE

Authority cited: Sections 116350 and 116375, Health and Safety Code. Reference: Sections 116275 and 116470, Health and Safety Code.
HISTORY

1. Renumbering of former section 64400.44 to new section 64400.32 filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.34. Detection Limit for Purposes of Reporting (DLR).
Note     •     History

“Detection limit for purposes of reporting (DLR)” means the designated minimum level at or above which any analytical finding of a contaminant in drinking water resulting from monitoring required under this chapter shall be reported to the Department.
NOTE

Authority cited: Sections 100275, 116375 and 116450, Health and Safety Code. Reference: Sections 116270-116751, Health and Safety Code.
HISTORY

1. Renumbering of former section 64400.45 to new section 64400.34, including amendment of Note, filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.36. Dual Sample Set.
Note     •     History

“Dual sample set” means a set of two samples collected at the same time and same location, with one sample analyzed for TTHM and the other sample analyzed for HAA5.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code.
HISTORY

1. New section filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64400.38. Enhanced Coagulation.
Note     •     History

“Enhanced coagulation” means the addition of sufficient coagulant for improved removal of disinfection byproduct precursors by conventional filtration treatment. 
NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.40. Enhanced Softening.
Note     •     History

“Enhanced softening” means the improved removal of disinfection byproduct precursors by precipitative softening. 
NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code. 
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Renumbering of former section 64400.40 to new section 64400.28 and new section 64400.40 filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.41. Finished Water.
Note     •     History

“Finished water” means the water that is introduced into the distribution system of a public water system and is intended for distribution and consumption without further treatment, except as treatment necessary to maintain water quality in the distribution system (e.g., booster disinfection, addition of corrosion control chemicals).
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code.
HISTORY

1. New section filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64400.42. Fluoridation.
Note     •     History

“Fluoridation” means the addition of fluoride to drinking water to achieve an optimal level, pursuant to Section 64433.2, that protects and maintains dental health.
NOTE

Authority cited: Sections 100275, 116410 and 116375, Health and Safety Code. Reference: Sections 116410 and 116415, Health and Safety Code.
HISTORY

1. New section filed 4-26-2001; operative 5-26-2001 (Register 2001, No. 17).
2. Renumbering of former section 64400.42 to section 64400.30 and renumbering of former section 66400.47 to section 64400.42 filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.44. Detected. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 116350 and 116375, Health and Safety Code. Reference: Sections 116275 and 116470, Health and Safety Code.
HISTORY

1. New section filed 4-26-2001; operative 5-26-2001 (Register 2001, No. 17).
2. Renumbering of former section 64400.44 to new section 64400.32 filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.45. GAC10.
Note     •     History

“GAC10” means granular activated carbon filter beds with an empty-bed contact time of 10 minutes based on average daily flow and a carbon reactivation frequency of once every 180 days, except that the reactivation frequency for GAC10 used as a best available technology for compliance with the TTHM and HAA5 MCLs monitored pursuant to section 64534.2(d) shall be once every 120 days.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code. 
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Renumbering of former section 64400.45 to new section 64400.34 and new section 64400.45 filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
6. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64400.46. GAC20.
Note     •     History

“GAC20” means granular activated carbon filter beds with an empty-bed contact time of 20 minutes based on average daily flow and a carbon reactivation frequency of once every 240 days.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code.
HISTORY

1. New section filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64400.47. Haloacetic Acids (Five) or HAA5.
Note     •     History

“Haloacetic acids (five)” or “HAA5” means the sum of the concentrations in milligrams per liter (mg/L) of the haloacetic acid compounds (monochloroacetic acid, dichloroacetic acid, trichloroacetic acid, monobromoacetic acid, and dibromoacetic acid), rounded to two significant figures after addition. 
NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code. 
HISTORY

1. New section filed 3-23-98; operative 4-22-98 (Register 98, No. 13).
2. Renumbering of former section 66400.47 to section 64400.42 and new section 64400.47 filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.50. Initial Compliance Period.
Note     •     History

“Initial compliance period” means the first full three-year compliance period which began January 1, 1993, for existing systems. For new systems, the “initial compliance period” means the period in which the Department grants the permit.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64400.60. Initial Finding.
Note     •     History

“Initial finding” means the first laboratory result from a water source showing the presence of an organic chemical listed in Section 64444, Table 64444-A.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64400.65. IOC.
Note     •     History

“IOC” means inorganic chemical.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64400.66. Locational Running Annual Average or LRAA.
Note     •     History

“Locational running annual average” or “LRAA” means the average of sample analytical results for samples taken at a particular monitoring location during the previous four calendar quarters.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code.
HISTORY

1. New section filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64400.67. Maximum Residual Disinfectant Level or MRDL.
Note     •     History

“Maximum residual disinfectant level” or “MRDL” means a level of a disinfectant added for water treatment that may not be exceeded at the consumer's tap. 
NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64400.70. MCL.
Note     •     History

“MCL” means maximum contaminant level.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64400.80. Nontransient-noncommunity Water System.
Note     •     History

“Nontransient-noncommunity water system” means a public water system that is not a community water system and that regularly serves at least the same 25 persons over 6 months per year.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64400.90. Operational Evaluation Levels or OEL.
Note     •     History

“Operational evaluation level” or “OEL” means the sum of the two previous quarters' TTHM results plus twice the current quarter's TTHM result, divided by 4 to determine an average; or the sum of the two previous quarters' HAA5 results plus twice the current quarter's HAA5 result, divided by 4 to determine an average.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code.
HISTORY

1. New section filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64401. Repeat Compliance Period.
Note     •     History

“Repeat compliance period” means any subsequent compliance period after the initial compliance period.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 92, No. 28.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.10. Repeat Sample.
Note     •     History

“Repeat sample” means a required sample collected following a total coliform-positive sample.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.20. Replacement Sample.
Note     •     History

“Replacement sample” means a sample collected to replace an invalidated sample.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.30. Routine Sample.
Note     •     History

“Routine sample” means a bacteriological sample the water supplier is required to collect on a regular basis, or one which the supplier is required to collect for a system not in compliance with Sections 64650 through 64666 when treated water turbidity exceeds 1 nephelometric turbidity unit (NTU), pursuant to section 64423(b).
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.40. Sanitary Survey.
Note     •     History

“Sanitary survey” means an on-site review of a public water system for the purpose of evaluating the adequacy of the water source, facilities, equipment, operation and maintenance for producing and distributing safe drinking water.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.50. Significant Rise in Bacterial Count.
Note     •     History

“Significant rise in bacterial count” means an increase in coliform bacteria, as determined in Section 64426, when associated with a suspected waterborne illness or disruption of physical works or operating procedures.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.55. SOC.
Note     •     History

“SOC” means synthetic organic chemical.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.60. Standby Source.
Note     •     History

“Standby source” means a source which is used only for emergency purposes pursuant to Section 64414.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.65. SUVA.
Note     •     History

“SUVA” means Specific Ultraviolet Absorption at 254 nanometers (nm), an indicator of the humic content of a water. It is calculated by dividing a sample's ultraviolet absorption at a wavelength of 254 nm (UV254) (in m-1) by its concentration of dissolved organic carbon (DOC) (in mg/L). 
NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64401.70. System with a Single Service Connection.
Note     •     History

“System with a single service connection” means a system which supplies drinking water to consumers via a single service line.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.71. Tier 1 Public Notice.
Note     •     History

“Tier 1 public notice” means a public notice issued in response to the events listed in subsection 64463.1(a) and in the manner specified in subsections 64463.1(b) and (c). 
NOTE

Authority cited: Sections 116325, 116350 and 116375, Health and Safety Code. Reference: Section 116450, Health and Safety Code. 
HISTORY

1. New section filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64401.72. Tier 2 Public Notice.
Note     •     History

“Tier 2 public notice” means a public notice issued in response to the events listed in section 64463.4(a) and in the manner specified in subsections 64463.4(b) and (c). 
NOTE

Authority cited: Sections 116325, 116350 and 116375, Health and Safety Code. Reference: Section 116450, Health and Safety Code. 
HISTORY

1. New section filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64401.73. Tier 3 Public Notice.
Note     •     History

“Tier 3 public notice” means a public notice issued in response to the events listed in section 64463.7(a) and in the manner specified in subsections 64463.7(b), and (c) or (d). 
NOTE

Authority cited: Sections 116325, 116350 and 116375, Health and Safety Code. Reference: Section 116450, Health and Safety Code.
HISTORY

1. New section filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64401.75. Too Numerous to Count.
Note     •     History

“Too numerous to count” means that the total number of bacterial colonies exceeds 200 on a 47-mm diameter membrane filter used for coliform detection.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.80. Total Coliform-positive.
Note     •     History

“Total coliform-positive” means a sample result in which the presence of total coliforms has been demonstrated.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.82. Total Organic Carbon or TOC.
Note     •     History

“Total organic carbon” or “TOC” means total organic carbon reported in units of milligrams per liter (mg/L), as measured using heat, oxygen, ultraviolet irradiation, chemical oxidants, or combinations of these oxidants that convert organic carbon to carbon dioxide, rounded to two significant figures. 
NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64401.85. Transient-noncommunity Water System.
Note     •     History

“Transient-noncommunity water system” means a public water system that is not a community water system or a  nontransient-noncommunity water system.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.90. Treatment.
Note     •     History

“Treatment” means physical, biological, or chemical processes, including blending, designed to affect water quality parameters to render the water acceptable for domestic use.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64401.92. Total Trihalomethanes or TTHM.
Note     •     History

“Total Trihalomethanes” or “TTHM” means the sum of the concentrations in milligrams per liter (mg/L) of the trihalomethane compounds (bromodichloromethane, bromoform, chloroform, and dibromochloromethane), rounded to two significant figures after addition. 
NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code.  
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64401.95. VOC.
Note     •     History

“VOC” means volatile organic chemical.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64402. Vulnerable System.
Note     •     History

“Vulnerable system” means a water system which has any water source which in the judgement of the Department, has a risk of containing an organic contaminant, based on an assessment as set forth in Section 64445(d)(1).
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64402.10. Water Source.
Note     •     History

“Water source” means an individual groundwater source or an individual surface water intake. Sources which have not been designated as standby sources shall be deemed to be water sources.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of section transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64402.20. Water Supplier.
Note     •     History

“Water supplier”, “person operating a public water system” or “supplier of water” means any person who owns or operates a public water system. These terms will be used interchangeably in this chapter.
(a) “Wholesale water supplier,” or “wholesaler” means any person who treats water on behalf of one or more public water systems for the purpose of rendering it safe for human consumption.
(b) “Retail water supplier,” or “retailer” means
(1) Any person who owns or operates any distribution facilities and any related collection, treatment, or storage facilities under the control of the operator of the public water system which are used primarily in connection with the public water system; or
(2) Any person who owns or operates any collection or pretreatment storage facilities not under the control of the operator of the public water system which are used primarily in connection with the public water system.
NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64402.30. Wholesale System.
Note     •     History

“Wholesale system” means a public water system that treats source water as necessary to produce finished water and then delivers some or all of that finished water to another public water system. Delivery may be through a direct connection or through the distribution system of one or more consecutive systems.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code.
HISTORY

1. New section filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64403. Responsibility. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 408 and 4023.3, Health and Safety Code. Reference: Section 4023.3, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(3) and new Note filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
2. Repealer of article 1 heading and section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of article 1 heading and section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Repealer of article 1 heading and section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64411. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference:  Sections 4010 through 4039.6, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 11-12-91 as an emergency; operative 11-12-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-11-92 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsection (b) refiled 3-6-92 as an emergency; operative 3-11-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-9-92 or emergency language will be repealed by operation of law on the following day.
3. New subsections (e)(1), (e)(2) and (n) and amendment of Note filed 5-27-92; operative 6-26-92 (Register 92, No. 22).
4. Editorial correction of printing error  restoring subsections (c)-(m) (Register 92, No. 22).
5. Certificate of Compliance as to 3-6-92 order transmitted to OAL 5-5-92 and filed 6-16-92 (Register 92, No. 25).
6. Amendment filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
7. Repealer  of article heading and  section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
8. Repealer of article heading and section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
9. Repealer of article heading and section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
Article 2. General Requirements
§64412. Determination of Persons Served.
Note     •     History

(a) The number of persons served by a community water system shall be determined by the water system using one of the following methods:
(1) Utilizing the most recent United States census data, or more recent special census data certified by the California Department of Finance, for the service area served by the water system;
(2) Multiplying the number of service connections served by the water system by 3.3 to determine the total population served;
(3) Determining the total number of dwelling units or efficiency dwelling units as defined in the Uniform Building Code (Title 24, California Code of Regulations), the number of mobile home park spaces and the number of individual business, commercial, industrial and institutional billing units served by the water system and multiplying this total by 2.8 to arrive at the total population served by the system.
(b) Each community water system shall report to the Department annually the number of persons and the number of service connections served by the system using the procedures set forth in subsection (a).
NOTE

Authority cited: Sections 4021(b)(3) and 4023.3, Health and Safety Code. Reference: Sections 4012 and 4023.3, Health and Safety Code.
HISTORY

1. New article 2 and repealer and new section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 90, No. 13.
2. New article 2 and repealer and new section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New article 2 and repealer and new section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64413. Initial Effective Dates. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4024, Health and Safety Code.
HISTORY

1. Repealer filed 11-22-88; operative 12-22-88 (Register 88, No. 51).
§64413.1. Classification of Water Treatment Facilities.
Note     •     History

(a) Each water treatment facility shall be classified pursuant to Table 64413.1-A based on the calculation of total points for the facility using the factors specified in subsection (b).

Table 64413.1-A. Water Treatment Facility Class Designations

	Total Points 	Class 

Less than 20 		T1

20 through 39 		T2

40 through 59 		T3

60 through 79 		T4

80 or more 		T5 
(b) The calculation of total points for each water treatment facility shall be the sum of the points derived in each of paragraphs (1) through (13). If a treatment facility treats more than one source, the source with the highest average concentration of each contaminant shall be used to determine the point value in paragraphs (2) through (5). 
(1) For water source, the points are determined pursuant to Table 64413.1-B.

Table 64413.1-B. Points for Source Water Used by the Facility

	Type of source water used by the facility 	Points

Groundwater and/or purchased treated water meeting primary	2 
and secondary drinking water standards, as defined in section 
116275 of the Health and Safety Code  

Water that includes any surface water or groundwater under the	5 
direct influence of surface water  
(2) For influent microbiological water quality, points shall be determined by using the median of all total coliform analyses completed in the previous 24 months pursuant to Table 64413.1-C:

Table 64413.1-C. Influent Water Microbiological Quality Points

	Median Coliform Density 	Points
	Most Probable Number Index (MPN) 

less than 1 per 100 mL 		0

1 through 100 per 100 mL 		2

greater than 100 through 1,000 per 100 mL 	4

greater than 1,000 through 10,000 per 100 mL 	6

greater than 10,000 per 100 mL 		8
(3) For facilities treating surface water or groundwater under the direct influence of surface water, points for influent water turbidity shall be determined pursuant to Table 64413.1-D on the basis of the previous 24 months of data, except that if turbidity data is missing for one or more of the months, the points given for turbidity shall be 5. The maximum influent turbidity sustained for at least one hour according to an on-line turbidimeter shall be used unless such data is not available, in which case, the maximum influent turbidity identified by grab sample shall be used. For facilities that have not been in operation for 24 months, the available data shall be used. For facilities whose permit specifies measures to ensure that influent turbidity will not exceed a specified level, the points corresponding to that level shall be assigned.

Table 64413.1-D. Influent Water Turbidity Points

	Maximum Influent Turbidity Level 	Points 
	Nephelometric Turbidity Units (NTU) 

Less than 15 		0

15 through 100 		2

Greater than 100 		5
(4) The points for influent water perchlorate, nitrate, or nitrite levels shall be determined by an average of the three most recent sample results, pursuant to Table 64413.1-E.

Table 64413.1-E. Influent Water Perchlorate, Nitrate, and Nitrite Points

	Perchlorate, Nitrate, and Nitrite Data Average	Points

Less than or equal to the maximum contaminant level 	0
(MCL), as specified in Table 64431-A 

For each contaminant greater than its MCL 	5
(5) The points for other influent water contaminants with primary MCLs shall be a sum of the points for each of the inorganic contaminants (Table 64431-A), organic contaminants (Table 64444-A) and radionuclides (Tables 64442 and 64443). The points for each contaminant shall be based on an average of the three most recent sample results, pursuant to Table 64413.1-F. If monitoring for a contaminant has been waived pursuant to sections 64432(m) or (n), 64432.2(c), or 64445(d), the points shall be zero for that contaminant.

Table 64413.1-F. Influent Water Chemical and Radiological 
Contaminant Points

	Contaminant Data Average 	Points 

Less than or equal to the MCL 		0

Greater than the MCL 		2

5 Times the MCL or greater 		5
(6) The total points for surface water filtration treatment shall be the sum of the points of those treatment processes utilized by the facility for compliance with section 64652, pursuant to Table 64413.1-G.

Table 64413.1-G. Points for Surface Water Filtration Treatment 

	Treatment 	Points

Conventional, direct, or inline 		15

Diatomaceous earth 		12

Slow sand, membrane, cartridge, or bag filter 	8

Backwash recycled as part of process 	5
(7) The points for each treatment process utilized by the facility and not included in paragraph (6) that is used to reduce the concentration of one or more contaminants for which a primary MCL exists, pursuant to Table 64431-A, Table 64444-A, and Tables 64442 and 64443, shall be 10. Blending shall only be counted as a treatment process if one of the blended sources exceeds a primary MCL. 
(8) The points for each treatment process not included in paragraphs (6), or (7) that is used to reduce the concentration of one or more contaminants for which a secondary MCL exists, pursuant to Tables 64449-A and 64449-B, shall be 3. Blending shall only be counted as a treatment process if one of the blended sources exceeds a secondary MCL. 
(9) The points for each treatment process not included in paragraphs (6), (7), or (8) that is used for corrosion control or fluoridation shall be 3. 
(10) The total points for disinfection treatment shall be the sum of the points for those treatment processes utilized by the facility for compliance with section 64654(a), pursuant to Table 64413.1-H.

Table 64413.1-H. Points for Disinfection Treatment

	Treatment Process 	Points

Ozone 		10

Chlorine and/or chloramine 		10

Chlorine dioxide 		10

Ultra violet (UV) 		7
(11) The points for disinfection/oxidation treatment not included in paragraphs (6), (7), (8), or (10) shall be a sum of the points for all the treatment processes used at the facility pursuant to Table 64413.1-I.

Table 64413.1-I. Points for Disinfection/Oxidation Treatment without Inactivation Credit

	Treatment Process 	Points

Ozone 		5

Chlorine and/or chloramine 	5

Chlorine dioxide 		5

Ultra violet (UV) 		3

Other oxidants 		5
(12) The points for any other treatment process that alters the physical or chemical characteristics of the drinking water and that was not included in paragraphs (6), (7), (8), (9), (10), or (11) shall be 3. 
(13) The points for facility flow shall be 2 per million gallons per day or fraction thereof of maximum permitted treatment facility capacity, up to a maximum of 50 points; except that for facilities utilizing only blending, the points shall be based on the flow from the contaminated source and the dilution flow required to meet the MCL(s) specified in Tables 64431-A, 64444-A, 64449-A, 64449-B, and Tables 64442 and 64443. 
NOTE

Authority cited: Sections 106910 and 131200, Health and Safety Code. Reference: Sections 106875, 106910, 116555, 131050 and 131051, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
4. Amendment of subsections (b)(4)-(5), (b)(7) and (b)(13) and amendment of Note filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
5. Amendment of subsections (b), (b)(4) -- Table 64413.1-E and (b)(5) and amendment of Note filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
§64413.3. Classification of Distribution Systems.
Note     •     History

(a) The distribution system for each community and nontransient- noncommunity water system shall be classified pursuant to Table 64413.3-A unless modified pursuant to subsection (b). For a wholesaler, the population served shall include the customers served by its retailers. 

Table 64413.3-A. Distribution System Classifications

	Population Served	Class

	1,000 or less 	D1

	1,001 through 10,000 	D2

	10,001 through 50,000 	D3

	50,001 through 5 million 	D4

	Greater than 5 million 	D5
(b) The class determined pursuant to (a) shall be upgraded by one level if the population served is 5 million or less and the sum of all the points from paragraphs (1) through (6) exceeds 20. 
(1) The points for pressure zones shall be zero for up to three zones, 4 for four to ten zones, or 6 for more than ten zones. 
(2) The points for disinfectants used shall be zero if no disinfectant is applied in the distribution system and no more than one type of disinfectant residual is entering the distribution system. The points shall be 5 if a single disinfectant or ammonia is applied in the distribution system. The points shall be 8 if there are multiple disinfectants in the system. 
(3) The points based on the largest single pump in the system for which the distribution operator is responsible shall be 4 for up to fifty horsepower, or 6 for fifty or more horsepower. 
(4) The points for distribution storage reservoirs in the system shall be 4 for one to five reservoirs, or 6 for greater than five. 
(5) The points for one or more existing uncovered distribution reservoirs shall be 10. 
(6) The points to be added if any of the distribution system customers are also served by a non-potable water distribution system shall be 6. This does not apply to wholesalers if the only customers receiving non-potable water are served by its retailers.
NOTE

Authority cited: Sections 100275 and 106910, Health and Safety Code. Reference: Sections 106875, 106910 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§64413.5. Treatment Facility Staff Certification Requirements.
Note     •     History

(a) Each water supplier shall designate at least one chief operator that meets the requirements specified in section 63765 for each water treatment facility utilized by the water system. 
(b) Each water supplier shall designate at least one shift operator that meets the requirements specified in section 63765 for each water treatment facility utilized by the water system for each operating shift. 
(c) Except as provided in (d), a chief operator or shift operator shall be on-site at all times that the facility is operating. 
(d) If the water supplier's operations plan, submitted and approved pursuant to section 64661, demonstrates an equal degree of operational oversight and reliability with either unmanned operation or operation under reduced operator certification requirements, the chief operator or shift operator is not required to be on-site, but shall be able to be contacted within one hour. 
(e) If there is no change in the treatment facility and the employed shift and/or chief operators, the water supplier shall be in compliance until January 1, 2003 with the shift and operator certification requirements that were in effect on December 31, 2000. If the water system employs a new shift and/or chief operator, that operator shall meet the certification requirements pursuant to section 63765(a).
NOTE

Authority cited: Sections 100275, 106910, and 116375, Health and Safety Code. Reference: Sections 106875, 106885, 106910, 116375 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§64413.7. Distribution System Staff Certification Requirements.
Note     •     History

(a) Each water supplier shall designate at least one chief operator that meets the requirements specified in section 63770 for each distribution system utilized by the water system. 
(b) Each water supplier shall designate at least one shift operator that meets the requirements specified in section 63770 for each distribution system utilized by the water system for each operating shift. 
(c) The chief operator or shift operator shall be on-site or able to be contacted within one hour.
NOTE

Authority cited: Sections 100275, 106910, and 116375, Health and Safety Code. Reference: Sections 106875, 106885, 106910, 116375 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 1-1-2001 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-2001 as an emergency; operative 5-2-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-30-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-25-2001 order transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33).
§64414. Standby Sources.
Note     •     History

(a) A source which has been designated “standby” shall be monitored a minimum of once every compliance cycle for all inorganic, organic, and radiological MCLs, unless a waiver has been granted by the Department pursuant to Section 64432(m) or (n) for inorganics, Section 64432.2(c) for asbestos, or Section 64445(d) for organics.
(b) A standby source which has previous monitoring results indicating nitrate or nitrite levels equal to or greater than 50 percent of the MCL shall collect and analyze a sample for nitrate and nitrite annually. In addition, upon activation of such a source, a sample shall be collected, analyzed for these chemicals and the analytical results reported to the Department within 24 hours of activation.
(c) A standby source shall be used only for short-term emergencies of five consecutive days or less, and for less than a total of fifteen calendar days a year.
(d) Within 3 days after the short-term emergency use of a standby source, the water supplier shall notify the Department. The notification shall include information on the reason for and duration of the use.
(e) The status of a designated standby source shall not be changed to that of a regular source of drinking water supply, unless the source meets all existing drinking water standards and approval is obtained from the Department in advance.
(f) A standby source for which perchlorate has been previously detected shall have a sample collected and analyzed for perchlorate annually. Additionally, upon activation of such a source, a sample shall be collected and analyzed for perchlorate, and the analytical result shall be reported to the Department within 48 hours of activation.
NOTE

Authority cited: Sections 116375 and 131200, Health and Safety Code. Reference: Sections 116385, 131050 and 131051, Health and Safety Code.
HISTORY

1. Repealer and new section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. Repealer and new section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of subsection (b) and Note transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Amendment of subsection (a), new subsection (f) and amendment of Note filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
§64415. Laboratory and Personnel.
Note     •     History

(a) Except as provided in subsection (b), required analyses shall be performed by laboratories certified by the Department to perform such analyses pursuant to Article 3, commencing with section 100825, of Chapter 4 of Part 1 of Division 101, Health and Safety Code. Unless directed otherwise by the Department, analyses shall be made in accordance with EPA  approved methods as prescribed at 40 Code of Federal Regulations parts 141.21 through 141.42, 141.66, and 141.89.
(b) Sample collection, and field tests including color, odor, turbidity, pH, temperature, and disinfectant residual shall be performed by personnel trained to perform such sample collections and/or tests by:
(1) The Department;
(2) A laboratory certified pursuant to subsection (a); or
(3) An operator, certified by the Department pursuant to section 106875(a) or (b) of the Health and Safety Code and trained by an entity in paragraph (1) or (2) to perform such sample collections and/or tests.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Section 116390, Health and Safety Code; and 40 Code of Federal Regulations 141.
HISTORY

1. Amendment and new Note filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
2. Amendment of subsections (a)-(b) filed 6-19-95; operative 6-19-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 25).
3. Amendment of subsection  (a) and Note filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
4. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-11-95 order, including further amendment of section, transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
6. Amendment of subsection (a) filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
7. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64416. Sampling Plan for all Monitoring Except Bacteriological.
Note     •     History

(a) Each public water system serving contiguous areas totaling more than 10,000 service connections shall submit a plan to the Department for monitoring the quality of water.
(1) This plan shall be supported by analytical, hydrological and geological data, and may be developed in cooperation with other agencies or water suppliers. 
(2) Constituents to be addressed in the plan shall include inorganic chemicals, organic chemicals, trihalomethanes, radioactivity, general minerals and general physical parameters.
(3) Sampling of certain wells on a rotating basis may be included in the plan if the water supplier is able to demonstrate with analytical, hydrological and geological data that those wells are producing similar quality water from the same aquifer.
(4) The water supplier shall submit an updated plan to the Department at least once every ten years or at any time the plan no longer ensures representative monitoring of the system.
NOTE

Authority cited: Sections 116375 and 131200, Health and Safety Code. Reference: Sections 116385, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Change without regulatory effect amending subsection (a) and Note filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
Article 2.5. Point-of-Use Treatment
§64417. Point-of-Use Treatment Device or POU.
Note     •     History

“Point-of-use treatment device” or “POU” is a treatment device applied to a single tap for the purpose of reducing contaminants in drinking water at that tap. 
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350, 116380 and 116552, Health and Safety Code. 
HISTORY

1. New article 2.5 (sections 64417-64418.7) and section filed 12-21-2010 as an emergency; operative 12-21-2010. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of 1-1-2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2010, No. 52). For prior history, see Register 2008, No. 6.
§64418. General Provisions.
Note     •     History

The regulations set forth in this Article shall remain in effect until the earlier of the date set forth pursuant to section 116380(b), Health and Safety Code, or the effective date of regulations adopted pursuant to Health and Safety Code, section 116380(a). 
(a) With Department approval, a public water system may be permitted to use point-of-use treatment devices (POUs) in lieu of centralized treatment for compliance with one or more maximum contaminant levels or treatment techniques in this Chapter, other than for microbial contaminants, volatile organic chemicals, or radon, if:
(1) the water system serves fewer than 200 service connections, 
(2) the water system meets the requirements of this Article, 
(3) the water system has demonstrated to the Department that centralized treatment, for the contaminants of concern, is not economically feasible within three years of the water system's submittal of its application for a permit amendment to use POUs, 
(4) the water system has submitted to the Department a pre-application for funding to correct the violation(s) for which POUs are being proposed to address, 
(5) the water system has applied for a permit amendment to use POUs,
(6) following a public hearing, the Department determines pursuant to section 64418.6 that there is no substantial community opposition, 
(7) the water system has a Department-approved:
(A) POU Treatment Strategy, 
(B) POU Operations and Maintenance Program, and
(C) POU Monitoring Program, and
(8) the water system demonstrates to the Department that point-of-entry treatment devices (POEs), meeting requirements of Article 2.7 of this Chapter, would not be economically feasible or that such POEs would not be as protective of public health as POUs installed pursuant to this article. 
(b) The permitted use of POUs pursuant to this Article is limited to no longer than three years or until funding for the total cost of constructing a project for centralized treatment or access to an alternative source of water is available, which ever occurs first. 
(c) As used in section 63011(a), Chapter 12, Article 2, “equipment” does not include POUs installed for the purpose of evaluating the effectiveness or feasibility, including, but not limited to economic feasibility, or pilot testing of such POUs. 
(d) If the department determines, based on the recommendation of the project applicant's engineer, that additional time is required to complete a planning project, funded in whole or in part by the Safe Drinking Water State Revolving Fund, for evaluation of the effectiveness or feasibility of POUs, the maximum time allowed, pursuant to section 63011(c), Chapter 12, Article 2, for completion of the planning project and submission of the report may he extended to not more than three years. 
NOTE

Authority cited: Sections 116350, 116375, 116380. 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350, 116380 and 116552, Health and Safety Code. 
HISTORY

1. New section filed 12-21-2010 as an emergency; operative 12-21-2010. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of 1-1-2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2010, No. 52).
2. Amendment of first paragraph and subsections (a), (a)(6)-(7) and (a)(7)(C) and new subsection (a)(8) filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
§64418.1. Economic Feasibility of Centralized Treatment.
Note     •     History

(a) To meet the requirements of section 64418(a)(3), a community water system shall submit to the Department information demonstrating that the: 
(1) estimated cost of centralized treatment, per household, is more than one percent (1%) of the median household income (MHI) of the customers served by the water system, or
(2) estimated cost of centralized treatment, per household, plus the median water bill from the most recent 12 months is;
(A) if the community's MHI is equal to or less than the statewide MHI, more than 1.5 percent (1.5%) of the MHI of the customers served by the public water system, or
(B) if the community's MHI is greater than the statewide MHI, more than two percent (2%) of the MHI of the customers served by the public water system. 
(b) The estimated cost of centralized treatment may include, but is not limited to, the costs associated with equipment, design and construction, residual disposal, monitoring, and operation and maintenance. 
(c) The water system shall submit to the Department the supporting documentation, assumptions, and calculations used to determine the anticipated increase in water bills to be presented pursuant to section 64418.6(c)(1) and (2). 
(d) To meet the requirements of section 64418(a)(3), noncommunity water systems shall submit to the Department records, including but not limited to financial statements and operating budgets for the most recent and prior two years of operation, demonstrating that the water system does not have sufficient financial resources to cover the cost of centralized treatment and further demonstrating that it will not acquire such resources within the three-year time period following the submittal of its permit amendment application required pursuant to section 64418(a)(5). 
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code. 
HISTORY

1. New section filed 12-21-2010 as an emergency; operative 12-21-2010. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of 1-1-2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2010, No. 52).
2. Amendment of subsections (a)(2) and (a)(2)(B) filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
§64418.2. POU Requirements.
Note     •     History

(a) A POU shall: 
(1) If the American National Standard Institute (ANSI) has issued product standard applicable to the specific type of proposed POU, be independently certified as meeting such a standard by an ANSI-accredited product certification body; 
(2) If ANSI has not issued a product standard applicable to the specific type of proposed POU, be approved by the Department; 
(3) Be owned, controlled, operated, and maintained by the water system and/or a person under contract with the water system, to ensure proper operation, maintenance, monitoring, and compliance with this Article and applicable drinking water standards; 
(4) Be equipped with a mechanical warning (e.g. alarm, light, etc.) that alerts users when a unit needs maintenance or is no longer operating in a manner that assures the unit is producing effluent meeting state and federal drinking water standards, unless the device is equipped with an automatic shut-off mechanism that prevents the flow of water under such circumstances; and 
(5) Be equipped with a totalizing flow meter. 
(b) Pilot testing shall be performed on each proposed type of POU to establish its use limitations and operations and maintenance criteria, as well as verification that it will produce effluent that meets drinking water standards under local expected influent water quality and flow conditions. 
(1) Prior to performing pilot testing, a pilot testing protocol shall be submitted to the Department for review and approval. 
(2) Pilot testing for a POU shall be conducted in the manner and for the time period specified by the pilot testing protocol for that POU, and shall, in all cases, be conducted for no less than two months. 
(3) After completion of the pilot testing, the water system shall submit a report to the Department describing the results and findings of the pilot testing. 
(c) With Department approval, a water system may be exempt from the pilot testing required pursuant to subsection (b) if the water system demonstrates to the Department that the POUs proposed for use have been tested under equivalent water quality and flow conditions, and the limitations, criteria, and effluent verification in subsection (b) can be ascertained and are reported to the Department. 
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350, 116380 and 116835, Health and Safety Code. 
HISTORY

1. New section filed 12-21-2010 as an emergency; operative 12-21-2010. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of 1-1-2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2010, No. 52).
2. Amendment of subsections (a)(3)-(4) filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
§64418.3. POU Treatment Strategy.
Note     •     History

Prior to installing POUs, the water system shall submit a POU Treatment Strategy for Department review and approval. At a minimum, the POU Treatment Strategy shall include each of the following: 
(a) A description of the compliance problem(s) and how the use of POUs will address the problem(s); 
(b) A description of how the water system will determine the type, number, and location of POUs to ensure a sufficient number of devices are installed for human consumption at all residential and non-residential premises within the water system's service area; 
(c) The water system's authority to require customers to accept POUs in lieu of centralized treatment and to take an action, such as discontinuing service, if a customer fails to accept POUs;
(d) The basis for the POU selection(s);
(e) The qualifications and identification of the person(s) responsible for POU installation, operation, maintenance, and water quality sampling and analyses; 
(f) A customer education program to be implemented prior to and following installation of POUs;
(g) The authority, ordinances, and/or access agreements that allow the water system's representatives access to customers' premises for POU installation, maintenance, and water quality monitoring, as well as the surveys necessary to meet subsection (b); 
(h) Identification of applicable local regulatory requirements;
(i) In the event an installed POU fails to produce water that meets drinking water standards; 
(1) a consumer notification protocol, along with example notices, consistent with Article 18, Title 22, of the California Code of Regulations, and 
(2) a plan for provision of an alternative water supply, meeting drinking water standards, to customers served by such installed POU;
(j) An on-going customer notification protocol that includes: 
(1) notices in the language(s) appropriate for communication with the customers, and 
(2) quarterly (or more frequent) notices informing the customer(s); 
(A) that only the taps for which POUs are installed provide water meeting drinking water standards, and
(B) information pertaining to the mechanical warning or shut-off mechanism required pursuant to section 64418.2(a)(4), including the telephone number of water system personnel to notify in the event the mechanical warning or shut-off mechanism is activated;
(k) The anticipated schedules for;
(1) the distribution of public hearing information,
(2) the public hearing required pursuant to section 64418.6,
(3) the distribution to customers of POU acceptance surveys,
(4) POU installation, and 
(5) construction of centralized treatment; and
(l) An estimate of the percent of voluntary participation to be achieved by consumers within the water system's service area. 
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code. 
HISTORY

1. New section filed 12-21-2010 as an emergency; operative 12-21-2010. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of 1-1-2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2010, No. 52).
§64418.4. POU Operations and Maintenance (O&M) Program.
Note     •     History

(a) Prior to installing POUs, a water system shall submit a POU Operations and Maintenance (O&M) Program for Department review and approval. The POU O&M Program shall include, but not be limited to, the following: 
(1) An installation protocol that, at a minimum, describes locations and assurances that POUs will be accessible for operation and maintenance; 
(2) The type and frequency of maintenance, at intervals specified by the manufacturer and determined by pilot testing, whichever is shorter, that ensures POUs produce effluent that meets drinking water standards; 
(3) The number and type of auxiliary POUs and parts necessary to ensure continuous effective treatment;
(4) Replacement schedules for critical components and POUs; 
(5) The qualifications and identification of the person(s) responsible for POU installation, operation, and maintenance; and
(6) POU waste-handling and disposal procedures. 
(b) To ensure a POU is properly operating and has not been bypassed, POUs shall be inspected by the water system no less often than every twelve months and when a POU's effluent is monitored pursuant to section 64418.5. 
(c) Based on the on-going operation and maintenance of installed POUs, a water system shall revise its POU O&M Program as necessary to ensure continuous effective treatment and POUs produce effluent that meets drinking water standards. Revised POU O&M Programs shall be submitted to the Department for review prior to revision implementation. 
(d) A water system shall implement its most recent POU O&M Program prepared pursuant to this section. 
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code. 
HISTORY

1. New section filed 12-21-2010 as an emergency; operative 12-21-2010. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of 1-1-2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2010, No. 52).
§64418.5. POU Monitoring Program.
Note     •     History

(a) A water system shall submit a POU Monitoring Program for Department review and approval. At a minimum, the POU Monitoring Program shall include monitoring of the contaminant(s) for which the system has applied to use POUs, as follows: 
(1) Source water monitoring -- quarterly, with samples collected during the same month (first, second, or third) of each quarter;
(2) POU effluent -- initially, with samples collected on the same day a device is installed; and
(3) POU effluent, on-going following the monitoring in paragraph (2) -- annually, with one twelfth of all units sampled monthly on a rotating basis. 
(b) After two years of monitoring conducted pursuant to subsection (a), a water system may apply to the Department for reduced on-going monitoring if all the results of the on-going monitoring conducted pursuant to (a)(3) do not exceed 75 percent of a contaminant's MCL. 
(c) The Department may require further monitoring for the contaminant of concern or other contaminants, including microbial contaminants, based on monitoring results, POU technology, or a water system's compliance with this Article. 
(d) The water system shall revise its POU Monitoring Program as necessary based on the ongoing operation and maintenance of installed POUs or additional monitoring required pursuant to subsection (c). Revised POU Monitoring Programs shall be submitted to the Department for review prior to revision implementation. 
(e) The water system shall implement its most recent POU Monitoring Program prepared pursuant to this section. 
(f) If an on-going POU effluent sample result exceeds an MCL, the water system shall: 
(1) implement the public notification and alternative water procedures identified in its Department-approved POU Treatment Strategy; 
(2) except as noted in paragraph (3), collect a confirmation sample within seven days of notification of the exceedance; 
(3) for an exceedance of a nitrate, nitrite, nitrate plus nitrite, or perchlorate MCL, collect a confirmation sample within 24 hours of notification of the exceedance; and
(4) if the confirmation sample exceeds the MCL, notify the Department within 24 hours of the result and complete corrective actions as soon as possible, but within one month of receipt of the result. 
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code. 
HISTORY

1. New section filed 12-21-2010 as an emergency; operative 12-21-2010. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of 1-1-2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2010, No. 52).
§64418.6. Public Hearing and Acceptance.
Note     •     History

To meet the requirements of section 64418(a)(6), a water system shall, pursuant to this section, conduct a customer survey and participate in, and provide information for, a public hearing held by the Department. At least 30 days prior to initiating the activities required in this section, the water system shall submit a protocol, to the Department for review and approval, describing the water system's plan to meet the requirements of this section. 
(a) Prior to conducting a customer survey, a water system shall participate in and provide information for a public hearing that, at a minimum, disseminates the following to those in its service area: 
(1) A description of the system's POU Treatment Strategy; 
(2) The adverse health effects, as specified in the appendices in section 64465, associated with the contaminant(s) of concern; and 
(3) POU Operation and Maintenance Program and Monitoring Program information that necessitates customer involvement. 
(b) At least 30 days prior to the public hearing, the water system shall place the information to be presented at the public hearing into a publicly accessible repository and notify the Department and those in its service area of the date, time, and location of the public hearing, as well as the location and hours of operation of the repository. If the water system serves multi-unit residential dwellings including, but not limited to, apartments and residential institutions, whether sub-metered or not, the water system shall provide notice to residents of such residential dwellings. 
(c) Following the public hearing, a water system shall survey its customers. The survey shall be delivered in a manner designed to reach each customer and include the following language-specific options: 
(1) “I vote FOR the use of Point-of-Use treatment devices. I ONLY want my kitchen tap and other designated drinking water taps used only for drinking, cooking, and oral hygiene, to be treated. I understand that my [system to insert frequency] water bill will increase $[system to insert increase in cost] to implement this interim measure.”, and
(2) “I vote AGAINST the use of Point-of-Use treatment devices. I want ALL the water entering my premise to be treated at a centralized treatment plant. I understand that my [system to insert frequency] water bill will increase $[system to insert increase in cost] to implement the centralized treatment.” 
(d) POU use shall be considered to have no substantial community opposition if;

View Graphic
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116552, Health and Safety Code. 
HISTORY

1. New section filed 12-21-2010 as an emergency; operative 12-21-2010. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of 1-1-2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2010, No. 52).
§64418.7. Recordkeeping, Reporting, and Compliance.
Note     •     History

(a) A water system shall maintain the following records for at least ten years and provide the records to the Department when requested: 
(1) Results of all water quality monitoring conducted pursuant to this Article; 
(2) The location and type of each installed POU; 
(3) The date and type of maintenance and repairs performed; and 
(4) Verbal and written customer complaints received and the resulting corrective actions and/or responses. 
(b) A water system shall report to the Department, at the frequency noted, the following: 
(1) Monthly -- treated water quality monitoring results; 
(2) Quarterly -- source water monitoring results and any investigations and/or corrective action(s) taken to ensure POUs meet the requirements of this Article including, but not limited to, POU maintenance, customer complaints, inspection results, and manufacturer notices pertaining to proper operation of devices. 
(c) The reports required pursuant to subsection (b) shall be submitted to the Department within ten days following the applicable reporting period. 
(d) A water system shall be in violation if:
(1) for all POUs combined, during a 12-month interval more than five percent of the results of the effluent monitoring conducted pursuant to section 64418.5 exceed an MCL, 
(2) for a POU, the effluent fails to meet the applicable compliance determination requirements in this Chapter for an MCL, or 
(3) a residential unit, dwelling unit, commercial or other establishment or institution, served by the public water system, does not have a POU installed pursuant to this Article. 
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350, 116380 and 116552, Health and Safety Code. 
HISTORY

1. New section filed 12-21-2010 as an emergency; operative 12-21-2010. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of 1-1-2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2010, No. 52).
2. Amendment of subsections (d) and (d)(3) filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
Article 2.7. Point-of-Entry Treatment
§64419. Point-of-Entry Treatment Device or POE.
Note     •     History

“Point-of-entry treatment device” or “POE” is a treatment device applied to the drinking water entering a house or building for the purpose of reducing contaminants in the drinking water distributed throughout the house or building.
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code.
HISTORY

1. New article 2.7 (sections 64419-64420.7) and section filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38). For prior history, see Register 92, No. 28.
§64420. General Provisions.
Note     •     History

The regulations set forth in this Article shall remain in effect until the earlier of the date set forth pursuant to section 116380(b), Health and Safety Code, or the effective date of regulations adopted pursuant to Health and Safety Code, section 116380(a).
(a) With Department approval, a public water system may be permitted to use point-of-entry treatment devices (POEs) in lieu of centralized treatment for compliance with one or more maximum contaminant levels or treatment techniques in this Chapter if:
(1) the water system serves fewer than 200 service connections,
(2) the water system meets the requirements of this Article,
(3) the water system has demonstrated to the Department that centralized treatment, for the contaminants of concern, is not economically feasible,
(4) the water system has submitted to the Department a pre-application for funding to correct the violation(s) for which POEs are being proposed to address,
(5) the water system has applied for a permit amendment to use POEs, 
(6) following a public hearing, the Department determines pursuant to section 64420.6 that there is no substantial community opposition, and
(7) the water system has a Department-approved:
(A) POE Treatment Strategy,
(B) POE Operations and Maintenance Program, and
(C) POE Monitoring Program.
(b) As used in section 63011(a), Chapter 12, Article 2, “equipment” does not include POEs installed for the purpose of evaluating the effectiveness or feasibility, including, but not limited to economic feasibility, or pilot testing of such POEs. 
(c) If the Department determines, based on the recommendation of the project applicant's engineer, that additional time is required to complete a planning project, funded in whole or in part by the Safe Drinking Water State Revolving Fund, for evaluation of the effectiveness or feasibility of POUs, the maximum time allowed, pursuant to section 63011(c), Chapter 12, Article 2, for completion of the planning project and submission of the report may be extended to not more than three years.
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code.
HISTORY

1. New section filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
§64420.1. Economic Feasibility of Centralized Treatment.
Note     •     History

(a) To meet the requirements of section 64420(a)(3), a community water system shall submit to the Department information demonstrating that the:
(1) estimated cost of centralized treatment, per household, is more than one percent (1%) of the median household income (MHI) of the customers served by the water system, or
(2) estimated cost of centralized treatment, per household, plus the median water bill from the most recent 12 months is;
(A) if the community's MHI is equal to or less than the statewide MHI, more than 1.5 percent (1.5%) of the MHI of the customers served by the public water system, or
(B) if the community's MHI is greater than the statewide MHI, more than two percent (2%) of the MHI of the customers served by the public water system. 
(b) The estimated cost of centralized treatment may include, but is not limited to, the costs associated with equipment, design and construction, residual disposal, monitoring, and operation and maintenance. 
(c) The water system shall submit to the Department the supporting documentation, assumptions, and calculations used to determine the anticipated increase in water bills to be presented pursuant to section 64420.6(c)(1) and (2). 
(d) To meet the requirements of section 64420(a)(3), noncommunity water systems shall submit records to the Department, including but not limited to financial statements and operating budgets for the most recent and prior two years of operation, demonstrating that the water system does not have the financial resources to cover the cost of centralized treatment. 
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code.
HISTORY

1. New section filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
§64420.2. POE Requirements.
Note     •     History

(a) A POE shall: 
(1) If the American National Standard Institute (ANSI) has issued product standard applicable to the specific type of proposed POE, be independently certified as meeting such a standard by an ANSI-accredited product certification body and approved by the Department;
(2) If ANSI has not issued a product standard applicable to the specific type of proposed POE, be certified and approved by the Department, which may or may not include certification by the Department pursuant to Division 104, Part 12, Chapter 5, Article 3 (Water Treatment Devices), of the Health and Safety Code; 
(3) Be owned, controlled, operated, and maintained by the water system and/or a person(s) under contract with the water system, to ensure proper operation, maintenance, monitoring, and compliance with this Article and applicable drinking water standards; 
(4) Be equipped with a mechanical warning (e.g. alarm, light, etc.) that alerts users when a unit needs maintenance or is no longer operating in a manner that assures the unit is producing effluent meeting state and federal drinking water standards, unless the device is equipped with an automatic shut-off mechanism that prevents the flow of water under such circumstances; 
(5) Be equipped with a totalizing flow meter; and
(6) Provide health protection equivalent to that which would be provided by centralized treatment. 
(b) Pilot testing shall be performed on each proposed type of POE to establish its use limitations and operations and maintenance criteria, as well as verification that it will produce effluent that meets drinking water standards under local expected influent water quality and flow conditions. 
(1) Prior to performing pilot testing, a pilot testing protocol shall be submitted to the Department for review and approval.
(2) Pilot testing for a POE shall be conducted in the manner and for the time period specified by the pilot testing protocol for that POE, and shall, in all cases, be conducted for no less than two months.
(3) After completion of the pilot testing, the water system shall submit a report to the Department describing the results and findings of the pilot testing.
(c) With Department approval, a water system may be exempt from the pilot testing required pursuant to subsection (b) if the water system demonstrates to the Department that the POEs proposed for use have been tested under equivalent water quality and flow conditions, and the limitations, criteria, and effluent verification in subsection (b) can be ascertained and are reported to the Department.
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350, 116380 and 116835, Health and Safety Code.
HISTORY

1. New section filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
§64420.3. POE Treatment Strategy.
Note     •     History

Prior to installing POEs, the water system shall submit a POE Treatment Strategy for Department review and approval. At a minimum, the POE Treatment Strategy shall include each of the following:
(a) A description of the compliance problem(s) and how the use of POEs will address the problem(s);
(b) A description of how the water system will determine the type, number, and location of POEs to ensure a POE(s) serves, in its entirety, each customer's building, dwelling unit, establishment, or other location within the water system's service area where drinking water is provided for human consumption; 
(c) The water system's authority to require customers to accept POEs in lieu of centralized treatment and to take an action, such as discontinuing service, if a customer fails to accept POEs, or disconnects or modifies a POE installed pursuant to this Article; 
(d) The basis for the POE selection(s);
(e) The qualifications and identification of the person(s) responsible for POE installation, operation, maintenance, and water quality sampling and analyses; 
(f) A customer education program to be implemented prior to and following installation of POEs;
(g) The authority, ordinances, and/or access agreements that allow the water system's representatives access to customers' premises for POE installation, maintenance, and water quality monitoring, as well as the surveys necessary to meet subsection (b); 
(h) Identification of applicable local regulatory requirements;
(i) In the event an installed POE fails to produce water that meets drinking water standards; 
(1) a consumer notification protocol, along with example notices, consistent with Article 18, Title 22, of the California Code of Regulations, and
(2) a plan for provision of an alternative water supply, meeting drinking water standards, to customers served by such installed POE; 
(j) An on-going customer notification protocol that includes:
(1) notices in the language(s) appropriate for communication with the customers, and
(2) quarterly (or more frequent) notices informing the customer(s) of;
(A) the extent to which POE(s) provide water meeting drinking water standards, including a description of water supplies that are not treated by the POE(s), and 
(B) information pertaining to the mechanical warning or shut-off mechanism required pursuant to section 64420.2(a)(4), including the telephone number of water system personnel to notify in the event the mechanical warning or shut-off mechanism is activated;
(k) The anticipated schedules for;
(1) the distribution of public hearing information,
(2) the public hearing required pursuant to section 64420.6, 
(3) the distribution to customers of POE acceptance surveys, 
(4) POE installation, and 
(5) if applicable, construction of centralized treatment;
(l) An estimate of the percent of voluntary participation to be achieved by consumers within the water system's service area; and 
(m) The means for ensuring that the rights and responsibilities of the customer, with respect to an installed POE, convey with title upon the sale or transfer of property to which the POE is attached. 
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code.
HISTORY

1. New section filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
§64420.4. POE Operations and Maintenance (O&M) Program.
Note     •     History

(a) Prior to installing POEs, a water system shall submit a POE Operations and Maintenance (O&M) Program for Department review and approval. The POE O&M Program shall include, but not be limited to, the following:
(1) An installation protocol that, at a minimum, describes locations and assurances that POEs will be accessible for operation and maintenance;
(2) The type and frequency of maintenance, at intervals specified by the manufacturer and determined by pilot testing, whichever is shorter, that ensures POEs produce effluent that meets drinking water standards; 
(3) The number and type of auxiliary POEs and parts necessary to ensure continuous effective treatment; 
(4) Replacement schedules for critical components and POEs;
(5) The qualifications and identification of the person(s) responsible for POE installation, operation, and maintenance; and
(6) POE waste-handling and disposal procedures.
(b) To ensure a POE is properly operating and has not been bypassed, POEs shall be inspected by the water system no less often than every twelve months and when a POE's effluent is monitored pursuant to section 64420.5. 
(c) Based on the on-going operation and maintenance of installed POEs, a water system shall revise its POE O&M Program as necessary to ensure continuous effective treatment and POEs produce effluent that meets drinking water standards. Revised POE O&M Programs shall be submitted to the Department for review prior to revision implementation. 
(d) A water system shall implement its most recent POE O&M Program prepared pursuant to this section.
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code.
HISTORY

1. New section filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
§64420.5. POE Monitoring Program.
Note     •     History

(a) A water system shall submit a POE Monitoring Program for Department review and approval. At a minimum, the POE Monitoring Program shall include monitoring of the contaminant(s) for which the system has applied to use POEs, as follows:
(1) Source water monitoring -- quarterly, with samples collected during the same month (first, second, or third) of each quarter;
(2) POE effluent -- initially, with samples collected on the same day a device is installed; and
(3) POE effluent, on-going following the monitoring in paragraph (2) -- annually, with one twelfth of all units sampled monthly on a rotating basis.
(b) After two years of monitoring conducted pursuant to subsection (a), a water system may apply to the Department for reduced on-going monitoring if all the results of the on-going monitoring conducted pursuant to (a)(3) do not exceed 75 percent of a contaminant's MCL. 
(c) The Department may require further monitoring for the contaminant of concern or other contaminants, including microbial contaminants, based on monitoring results, POE technology, or a water system's record of compliance with this Article.
(d) The water system shall revise its POE Monitoring Program as necessary based on the on-going operation and maintenance of installed POEs or additional monitoring required pursuant to subsection (c). Revised POE Monitoring Programs shall be submitted to the Department for review prior to revision implementation. 
(e) The water system shall implement its most recent POE Monitoring Program prepared pursuant to this section.
(f) If an on-going POE effluent sample result exceeds an MCL, the water system shall:
(1) implement the public notification and alternative water procedures identified in its Department-approved POE Treatment Strategy;
(2) except as noted in paragraph (3), collect a confirmation sample within seven days of notification of the exceedance;
(3) for an exceedance of a nitrate, nitrite, nitrate plus nitrite, or perchlorate MCL, collect a confirmation sample within 24 hours of notification of the exceedance; and
(4) if the confirmation sample exceeds the MCL, notify the Department within 24 hours of the result and complete corrective actions as soon as possible, but within one month of receipt of the result.
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code.
HISTORY

1. New section filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
§64420.6. Public Hearing and Acceptance.
Note     •     History

To meet the requirements of section 64420(a)(6), a water system shall, pursuant to this section, conduct a customer survey and participate in, and provide information for, a public hearing held by the Department. At least 30 days prior to initiating the activities required in this section, the water system shall submit a protocol, to the Department for review and approval, describing the water system's plan to meet the requirements of this section. 
(a) Prior to conducting a customer survey, a water system shall participate in and provide information for a public hearing that, at a minimum, disseminates the following to those in its service area:
(1) A description of the system's POE Treatment Strategy; 
(2) The adverse health effects, as specified in the appendices in section 64465, associated with the contaminant(s) of concern; and
(3) POE Operation and Maintenance Program and Monitoring Program information that necessitates customer involvement. 
(b) At least 30 days prior to the public hearing, the water system shall place the information to be presented at the public hearing into a publicly accessible repository and notify the Department and those in its service area of the date, time, and location of the public hearing, as well as the location and hours of operation of the repository. If the water system serves multi-unit residential dwellings including, but not limited to, apartments and residential institutions, whether sub-metered or not, the water system shall provide notice to residents of such residential dwellings. 
(c) Following the public hearing, a water system shall survey its customers. The survey shall be delivered in a manner designed to reach each customer and include the following language-specific options: 
(1) “I vote FOR the use of Point-of-Entry treatment devices. I acknowledge that a Point-of-Entry treatment device(s) will be installed on my premises for each building that may provide water for drinking, cooking, or oral hygiene. I understand that my [system to insert frequency] water bill will increase $[system to insert increase in cost] to implement this measure.”, and
(2) “I vote AGAINST the use of Point-of-Entry treatment devices. I want [system name] to install a centralized treatment plant. I understand that my [system to insert frequency] water bill will increase $[system to insert increase in cost] to implement centralized treatment.”
(d) POE use shall be considered to have no substantial community opposition if;

View Graphic
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code.
HISTORY

1. New section filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
§64420.7. Recordkeeping, Reporting, and Compliance.
Note     •     History

(a) A water system shall maintain the following records for at least ten years and provide the records to the Department when requested:
(1) Results of all water quality monitoring conducted pursuant to this Article;
(2) The location and type of each installed POE;
(3) The date and type of maintenance and repairs performed; and
(4) Verbal and written customer complaints received and the resulting corrective actions and/or responses.
(b) A water system shall report to the Department, at the frequency noted, the following:
(1) Monthly -- treated water quality monitoring results;
(2) Quarterly -- source water monitoring results and any investigations and/or corrective action(s) taken to ensure POEs meet the requirements of this Article including, but not limited to, POE maintenance, customer complaints, inspection results, and manufacturer notices pertaining to proper operation of devices.
(c) The reports required pursuant to subsection (b) shall be submitted to the Department within ten days following the applicable reporting period.
(d) A water system shall be in violation if;
(1) for all POEs combined, during a 12-month interval more than five percent of the results of the effluent monitoring conducted pursuant to section 64420.5 exceed an MCL, 
(2) for a POE, the effluent fails to meet the applicable compliance determination requirements in this Chapter for an MCL, or
(3) a building, residential unit, dwelling unit, commercial or other establishment or institution, served by the public water system, does not have a POE installed pursuant to this Article. 
NOTE

Authority cited: Sections 116350, 116375, 116380, 131052 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116380, Health and Safety Code.
HISTORY

1. New section filed 9-22-2011 as an emergency; operative 9-22-2011. Deemed to meet the emergency standard and submitted to OAL for file and print only pursuant to Health and Safety Code section 116380(b). Pursuant to Health and Safety Code section 116380(b)(2), effective until the earlier of January 1, 2014 or the effective date of regulations adopted pursuant to Health and Safety Code section 116380(a) (Register 2011, No. 38).
Article 3. Primary Standards--Bacteriological Quality
§64421. General Requirements.
Note     •     History

(a) Each water supplier shall:
(1) Develop a routine sample siting plan as required in Section 64422;
(2) Collect routine, repeat and replacement samples as required in Sections 64423, 64424, and 64425;
(3) Have all samples analyzed by laboratories approved to perform those analyses by the Department and report results as required in Section 64423.1;
(4) Notify the Department when there is an increase in coliform bacteria in bacteriological samples as required in Section 64426; and
(5) Comply with the Maximum Contaminant Level as required in Section 64426.1.
(b) Water suppliers shall perform additional bacteriological monitoring as follows:
(1) After construction or repair of wells;
(2) After main installation or repair;
(3) After construction, repair, or maintenance of storage facilities; and
(4) After any system pressure loss to less than five psi. Samples collected shall represent the water quality in the affected portions of the system.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference:  Section 4023.3, Health and Safety Code.
HISTORY

1. Repealer of subsection (h), deletion of former subsection (i) designator and relettering of following subsections and amendment of Note filed 11-12-91 as an emergency; operative 11-12-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-11-92 or emergency language will be repealed by operation of law on the following day.
2. Repealer of subsection (h), deletion of former subsection (i) designator and relettering of following subsections and amendment of Note refiled 3-6-92 as an emergency; operative 3-11-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-9-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-6-92 order transmitted to OAL 5-5-92 and filed 6-16-92 (Register 92, No. 25).
4. Amendment filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
5. Editorial correction of History 2 (Register 95, No. 47).
§64422. Routine Sample Siting Plan.
Note     •     History

(a) By September 1, 1992, each water supplier shall develop and submit to the Department a siting plan for the routine collection of samples for total coliform analysis, subject to the following:
(1) The sample sites chosen shall be representative of water throughout the distribution system including all pressure zones, and areas supplied by each water source and distribution reservoir.
(2) The water supplier may rotate sampling among the sample sites if the total number of sites needed to comply with (a)(1) above exceeds the number of samples required according to Table 64423-A. The rotation plan shall be described in the sample siting plan.
(b) If personnel other than certified operators will be performing field tests and/or collecting samples, the sample siting plan shall include a declaration that such personnel have been trained, pursuant to Section 64415 (b).
(c) The supplier shall submit an updated plan to the Department at least once every ten years and at any time the plan no longer ensures representative monitoring of the system.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Section 4024, Health and Safety Code.
HISTORY

1. New section filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
§64423. Routine Sampling.
Note     •     History

(a) Each water supplier shall collect routine bacteriological water samples as follows:
(1) The minimum number of samples for community water systems shall be based on the known population served or the total number of service connections, whichever results in the greater number of samples, as shown in Table 64423-A. A community water system using groundwater which serves 25-1000 persons may request from the Department a reduction in monitoring frequency. The minimum reduced frequency shall not be less than one sample per quarter.
(2) The minimum number of samples for nontransient-noncommunity water systems shall be based on the known population served as shown in Table 64423-A during those months when the system is operating. A nontransient-noncommunity water system using groundwater which serves 25-1000 persons may request from the Department a reduction in monitoring frequency if it has not violated the requirements in this article during the past twelve months. The minimum reduced frequency shall not be less than one sample per quarter.
(3) The minimum number of samples for transient-noncommunity water systems using groundwater and serving 1000 or fewer persons a month shall be one in each calendar quarter during which the system provides water to the public.
(4) The minimum number of samples for transient-noncommunity water systems using groundwater and serving more than 1000 persons during any month shall be based on the known population served as shown in Table 64423-A, except that the water supplier may request from the Department a reduction in monitoring for any month the system serves 1000 persons or fewer. The minimum reduced frequency shall not be less than one sample in each calendar quarter during which the system provides water to the public.
(5) The minimum number of samples for transient-noncommunity water systems using approved surface water shall be based on the population served as shown in Table 64423-A. A system using groundwater under the direct influence of surface water shall begin monitoring at this frequency by the end of the sixth month after the Department has designated the source to be approved surface water.
(6) A public water system shall collect samples at regular time intervals throughout the month, except that a system using groundwater which serves 4,900 persons or fewer may collect all required samples on a single day if they are taken from different sites.
(b) In addition to the minimum sampling requirements, all water suppliers using approved surface water which do not practice treatment in compliance with Sections 64650 through 64666, shall collect a minimum of one sample before or at the first service connection each day during which the turbidity level of the water delivered to the system exceeds 1 NTU. The sample shall be collected within 24 hours of the exceedance and shall be analyzed for total coliforms. If the water supplier is unable to collect and/or analyze the sample within the 24-hour time period because of extenuating circumstances beyond its control, the supplier shall notify the Department within the 24-hour time period and may request an extension. Sample results shall be included in determining compliance with the MCL for total coliforms in Section 64426.1.
(c) If any routine, repeat, or replacement sample is total coliform-positive, then the water supplier shall collect repeat samples in accordance with Section 64424 and comply with the reporting requirements specified in Sections 64426 and 64426.1.

Table 64423-A
Minimum Number of Routine Total Coliform Samples

	Monthly		Minimum
	Population Served	Service Connections	Number of
			Samples

25 to 1000	15 to 400	1 per month

1,001 to 2,500	401 to 890	  2	”
2,501 to 3,300	891 to 1,180	  3	”

3,301 to 4,100	1,181 to 1,460	  4	”
4,101 to 4,900	1,461 to 1,750	  5	”
4,901 to 5,800	1,751 to 2,100	  6	”
5,801 to 6,700	2,101 to 2,400	  7	”

6,701 to 7,600	2,401 to 2,700	2 per  week

7,601 to 12,900	2,701 to 4,600	  3	”
12,901 to 17,200	4,601 to 6,100	  4	”
17,201 to 21,500	6,101 to 7,700	  5	”
21,501 to 25,000	7,701 to 8,900	  6	”
25,001 to 33,000	8,901 to 11,800	  8	”
33,001 to 41,000	11,801 to 14,600	 10	”
41,001 to 50,000	14,601 to 17,900	 12	”
50,001 to 59,000	17,901 to 21,100	 15	”
59,001 to 70,000	21,101 to 25,000	 18	”

70,001 to 83,000	25,001 to 29,600	 20	”
83,001 to 96,000	29,601 to 34,300	 23	”
96,001 to 130,000	34,301 to 46,400	 25	”

130,001 to 220,000	46,401 to 78,600	 30	”
220,001 to 320,000	78,601 to 114,300	 38	”
320,001 to 450,000	114,301 to 160,700	 50	”
450,001 to 600,000	160,701 to 214,300	 55	”
600,001 to 780,000	214,301 to 278,600	 60	”
780,001 to 970,000	278,601 to 346,400	 70	”
970,001 to 1,230,000	346,401 to 439,300	 75	”
1,230,001 to 1,520,000	439,301 to 542,900	 85	”

1,520,001 to 1,850,000	542,901 to 660,700	 90	”
1,850,001 to 2,270,000	660,701 to 810,700	 98	”
2,270,001 to 3,020,000	810,701 to 1,078,600	105	”
3,020,001 to 3,960,000	1,078,601 to 1,414,300	110	”
3,960,001 or more	1,414,301 or more	120	”

NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4023.3, 4024 and 4026.4, Health and Safety Code.
HISTORY

1. Repealer and new section filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
2. Amendment of subsections (a)-(b) filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a)-(b) refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)-(b) refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64423.1. Sample Analysis and Reporting of Results.
Note     •     History

(a) The water supplier shall designate (label) each sample as routine, repeat, replacement, or “other” pursuant to Section 64421(b), and have each sample analyzed for total coliforms. The supplier also shall require the laboratory to analyze the same sample for fecal coliforms or Escherichia coli (E. coli) whenever the presence of total coliforms is indicated. As a minimum, the analytical results shall be reported in terms of the presence or absence of total or fecal coliforms, or E. coli in the sample, whichever is appropriate.
(b) The water supplier shall require the laboratory to notify the supplier within 24 hours, whenever the presence of total coliforms, fecal coliforms or E. coli is demonstrated in a sample or a sample is invalidated due to interference problems, pursuant to Section 64425(b), and shall ensure that a contact person is available to receive these analytical results 24-hours a day. The water supplier shall also require the laboratory to immediately notify the Department of any positive bacteriological results if the laboratory cannot make direct contact with the designated contact person within 24 hours.
(c) Analytical results of all required samples collected for a system in a calendar month shall be reported to the Department not later than the tenth day of the following month, as follows:
(1) The water supplier shall submit a monthly summary of the bacteriological monitoring results to the Department.
(2) For systems serving fewer than 10,000 service connections or 33,000 persons, the water supplier shall require the laboratory to submit copies of all required bacteriological monitoring results directly to the Department.
(3) For systems serving more than 10,000 service connections, or 33,000 persons, the water supplier shall require the laboratory to submit copies of bacteriological monitoring results for all positive routine samples and all repeat samples directly to the Department.
(d) Laboratory reports shall be retained by the water supplier for a period of at least five years and shall be made available to the Department upon request.
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Section 116385, Health and Safety Code.
HISTORY

1. New section filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
2. Amendment of subsection (b) and Note filed 5-15-2001; operative 6-14-2001 (Register 2001, No. 20).
§64424. Repeat Sampling.
Note     •     History

(a) If a routine sample is total coliform-positive, the water supplier shall collect a repeat sample set as described in paragraph (a)(1) within 24 hours of being notified of the positive result. The repeat samples shall all be collected within the same 24 hour time period. A single service connection system may request that the Department allow the collection of the repeat sample set over a four-day period.
(1) For a water supplier that normally collects more than one routine sample a month, a repeat sample set shall be at least three samples for each total coliform-positive sample. For a water supplier that normally collects one or fewer samples per month, a repeat sample set shall be at least four samples for each total coliform-positive sample.
(2) If the water supplier is unable to collect the samples within the 24-hour time period specified in subsection (a) or deliver the samples to the laboratory within 24 hours after collection because of circumstances beyond its control, the water supplier shall notify the Department within 24 hours. The Department will then determine how much time the supplier will have to collect the repeat samples.
(b) When collecting the repeat sample set, the water supplier shall collect at least one repeat sample from the sampling tap where the original total coliform-positive sample was taken. Other repeat samples shall be collected within five service connections upstream or downstream of the original site. At least one sample shall be from upstream and one from downstream unless there is no upstream and/or downstream service connection.
(c) If one or more samples in the repeat sample set is total coliform-positive, the water supplier shall collect and have analyzed an additional set of repeat samples as specified in subsections (a) and (b). The supplier shall repeat this process until either no coliforms are detected in one complete repeat sample set or the supplier determines that the MCL for total coliforms specified in Section 64426.1 has been exceeded and notifies the Department.
(d) If a public water system for which fewer than five routine samples/month are collected has one or more total coliform-positive samples, the water supplier shall collect at least five routine samples the following month. If the supplier stops supplying water during the month after the total coliform-positive(s), at least five samples shall be collected during the first month the system resumes operation. A water supplier may request the Department waive the requirement to collect at least five routine samples the following month, but a waiver will not be granted solely on the basis that all repeat samples are total coliform-negative. To request a waiver, one of the following conditions shall be met:
(1) The Department conducts a site visit before the end of the next month the system provides water to the public to determine whether additional monitoring and/or corrective action is necessary to protect public health.
(2) The Department determines why the sample was total coliform-positive and establishes that the system has corrected the problem or will correct the problem before the end of the next month the system serves water to the public. If a waiver is granted, a system shall collect at least one routine sample before the end of the next month it serves water to the public and use it to determine compliance with Section 64426.1.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Section 4023.3, Health and Safety Code.
HISTORY

1. New section filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
2. Amendment of subsection (d) filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (d) refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (d) refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64425. Sample Invalidation.
Note     •     History

(a) A water supplier may request the Department to invalidate a sample for which a total coliform-positive result has been reported if the supplier demonstrates:
(1) All repeat sample(s) collected at the same tap as the original total coliform-positive sample also are total coliform- positive and all repeat samples collected within five service connections of the original tap are not total coliform-positive; or
(2) The laboratory did not follow the prescribed analytical methods pursuant to Section 64415(a), based on a review of laboratory documentation by the Department. The supplier shall submit to the Department a written request for invalidation along with the laboratory documentation, the supplier's sample collection records and any observations noted during sample collection and delivery. The water supplier shall require the laboratory to provide the supplier with documentation which shall include, but not be limited to:
(A) A letter from the director of the laboratory having generated the data, confirming the invalidation request by reason of laboratory accident or error;
(B) Complete sample identification, laboratory sample log number (if used), date and time of collection, date and time of receipt by the laboratory, date and time of analysis for the sample(s) in question;
(C) Complete description of the accident or error alleged to have invalidated the result(s);
(D) Copies of all analytical, operating, and quality assurance records pertaining to the incident in question; and
(E) Any observations noted by laboratory personnel when receiving and analyzing the sample(s) in question.
(b) Whenever any total coliform sample result indicative of the absence of total coliforms has been declared invalid by the laboratory due to interference problems as specified at 40 Code Federal Regulations, Section 141.21(c)(2), the supplier shall collect a replacement sample from the same location as the original sample within 24 hours of being notified of the interference problem, and have it analyzed for the presence of total coliforms. The supplier shall continue to re-sample at the original site within 24 hours and have the samples analyzed until a valid result is obtained.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Section 4023.3, Health and Safety Code.
HISTORY

1. Repealer and new section filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
§64426. Significant Rise in Bacterial Count.
Note     •     History

(a) Any of the following criteria shall indicate a possible significant rise in bacterial count:
(1) A system collecting at least 40 samples per month has a total coliform-positive routine sample followed by two total coliform-positive repeat samples in the repeat sample set;
(2) A system has a sample which is positive for fecal coliform or E. coli; or
(3) A system fails the total coliform Maximum Contaminant Level (MCL) as defined in Section 64426.1.
(b) When the coliform levels specified in subsection (a) are reached or exceeded, the water supplier shall:
(1) Contact the Department by the end of the day on which the system is notified of the test result or the system determines that it has exceeded the MCL, unless the notification or determination occurs after the Department office is closed, in which case the supplier shall notify the Department within 24 hours; and
(2) Submit to the Department information on the current status of physical works and operating procedures which may have caused the elevated bacteriological findings, or any information on community illness suspected of being waterborne. This shall include, but not be limited to:
(A) Current operating procedures that are or could potentially be related to the increase in bacterial count;
(B) Any interruptions in the treatment process;
(C) System pressure loss to less than 5 psi;
(D) Vandalism and/or unauthorized access to facilities;
(E) Physical evidence indicating bacteriological contamination of facilities;
(F) Analytical results of any additional samples collected, including source samples;
(G) Community illness suspected of being waterborne; and
(H) Records of the investigation and any action taken.
(c) Upon receiving notification from the Department of a significant rise in bacterial count, the water supplier shall implement the emergency notification plan required by Section 116460, Health and Safety Code.
NOTE

Authority cited: Sections 116375 and 131200, Health and Safety Code. Reference: Sections 116460, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
2. Change without regulatory effect amending subsection (c) and Note filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
§64426.1. Total Coliform Maximum Contaminant Level (MCL).
Note     •     History

(a) Results of all samples collected in a calendar month pursuant to Sections 64423, 64424, and 64425 that are not invalidated by the Department or the laboratory shall be included in determining compliance with the total coliform MCL. Special purpose samples such as those listed in Section 64421(b) and samples collected by the water supplier during special investigations shall not be used to determine compliance with the total coliform MCL.
(b) A public water system is in violation of the total coliform MCL when any of the following occurs:
(1) For a public water system which collects at least 40 samples per month, more than 5.0 percent of the samples collected during any month are total coliform-positive; or
(2) For a public water system which collects fewer than 40 samples per month, more than one sample collected during any month is total coliform-positive; or
(3) Any repeat sample is fecal coliform-positive or E. coli-positive; or
(4) Any repeat sample following a fecal coliform-positive or E. coli-positive routine sample is total coliform-positive.
(c) If a public water system is not in compliance with paragraphs (b)(1) through (4), during any month in which it supplies water to the public, the water supplier shall notify the Department by the end of the business day on which this is determined, unless the determination occurs after the Department office is closed, in which case the supplier shall notify the Department within 24 hours of the determination. The water supplier shall also notify the consumers served by the water system. A Tier 2 Public Notice shall be given for violations of paragraphs (b)(1) or (2), pursuant to section 64463.4. A Tier 1 Public Notice shall be given for violations of paragraphs (b)(3) or (4), pursuant to section 64463.1.
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Section 116375, Health and Safety Code.
HISTORY

1. New section filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
2. Amendment of subsection (c) and new subsection (d) filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (c) and new subsection (d) refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (c) and new subsection (d) refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order including repealer of subsection (d) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
6. Amendment of subsection (c) and amendment of Note filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64426.5. Variance from Total Coliform Maximum Contaminant Level.
Note     •     History

A water system may apply to the Department for a variance from the total coliform MCL in section 64426.1(b)(1) or (2). To be eligible for a variance, the water system shall demonstrate that it meets the following criteria:
(a) During the thirty days prior to application for a variance, water entering the distribution system has:
(1) Been free from fecal coliform or E. coli occurrence based on at least daily sampling;
(2) Contained less than one total coliform per hundred milliliters of water in at least ninety-five per cent of all samples based on at least daily sampling;
(3) Complied with the turbidity requirements of section 64653, if approved surface water; and
(4) Maintained a continuous disinfection residual of at least 0.2 mg/L at the entry point(s) to the distribution system;
(b) The system has had no waterborne microbial disease outbreak, pursuant to section 64651.91, while operated in its present configuration;
(c) The system maintains contact at least twice a week with the Department and local health departments to assess illness possibly attributable to microbial occurrence in the public drinking water system;
(d) The system has analyzed, on a monthly basis, at least the number of samples required pursuant to the approved sample siting plan and has not had an E. coli-positive compliance sample within the last six months, unless the system demonstrates to the Department that the occurrence is not due to contamination entering the distribution system;
(e) The system has undergone a sanitary survey conducted by the Department within the past twelve months;
(f) The system maintains a cross-connection control program in accordance with sections 7583 through 7605, title 17 of the California Code of Regulations;
(g) The system agrees to submit a biofilm control plan to the Department within twelve months of the granting of the first request for a variance;
(h) The system monitors general distribution system bacterial quality by conducting heterotrophic bacteria plate counts on at least a weekly basis at a minimum of ten percent of the number of total coliform sites specified in the approved sample siting plan (preferably using the methods in section 9215(a), 18th edition of Standard Methods for the Examination of Water and Wastewater, 1992, American Public Health Association, et. al); and
(i) The system conducts daily monitoring at distribution system total coliform monitoring sites approved by the Department and maintains a detectable disinfectant residual at a minimum of ninety-five percent of those points and a heterotrophic plate count of less than 500 colonies per ml at sites without a disinfectant residual.
(j) No water system shall be eligible for a variance or exemption from the MCL for total coliforms unless it demonstrates that the violation of the total coliform MCL is due to a persistent growth of total coliforms in the distribution system pursuant to section 64426.5, rather than to fecal or pathogenic contamination, a treatment lapse or deficiency, or a problem in the operation or maintenance of the distribution system.
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Section 116430(a), Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of subsections (b), (e), (h), (i) and new subsection (j) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Amendment of first paragraph, subsections (a)(3), (b), (f), (h) and (j) and Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
§64427. Sanitary Survey.
Note     •     History

Systems which collect less than five routine samples per month shall be subject to an initial sanitary survey by the Department by June 29, 1994 for community water systems and June 29, 1999 for nontransient-noncommunity and transient-noncommunity water systems. Sanitary surveys shall be repeated every five years.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Section 4023.3, Health and Safety Code.
HISTORY

1. New section filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
2. Amendment filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
Article 3.5. Ground Water Rule
§64430. Requirements.
Note     •     History

A public water system that uses ground water shall comply with the following provisions of 40 Code of Federal Regulations as they appear in the Ground Water Rule published in 71 Federal Register 65574 (November 8, 2006) and amended in 71 Federal Register 67427 (November 21, 2006) and 74 Federal Register 30953 (June 29, 2009), which are hereby incorporated by reference: Sections 141.21(d)(3), 141.28(a), 141.153(h)(6), Appendix A to Subpart O (Consumer Confidence Reports), 141.202(a)(8), 141.203(a)(4), Appendices A and B to Subpart Q (Public Notification), and 141.400 through 141.405, except that in: 
(a) sections 141.402(a)(1)(ii), (a)(2), (a)(2)(ii), (a)(4), (a)(4)(ii)(A), (a)(5)(i), and (a)(5)(ii), the phrase “§141.21(a)” is replaced by “22 California Code of Regulations sections 64422 and 64423”, 
(b) sections 141.402(a)(1)(ii) and 141.405(b)(4), the phrase “§141.21(c)” is replaced by “22 California Code of Regulations section 64425”, and
(c) section 141.402(a)(2)(iii), the phrase “141.21(b)” is replaced by “22 California Code of Regulations section 64424”. 
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116325 and 116350, Health and Safety Code. 
HISTORY

1. New article 3.5 (section 64430) and new section filed 7-19-2011; operative 8-18-2011 (Register 2011, No. 29). For prior history, see Register 95, No. 25.
Article 4. Primary Standards--Inorganic Chemicals
§64431. Maximum Contaminant Levels--Inorganic Chemicals.
Note     •     History

(a) Public water systems shall comply with the primary MCLs in Table 64431-A as specified in this article.

Table 64431-A
Maximum Contaminant Levels
Inorganic Chemicals

		Maximum Contaminant
	Chemical	Level, mg/L

	Aluminum	1.
	Antimony	0.006
	Arsenic	0.010
	Asbestos	7 MFL*
	Barium	1.
	Beryllium	0.004
	Cadmium	0.005
	Chromium	0.05
	Cyanide	0.15
	Fluoride	2.0
	Mercury	0.002
	Nickel	0.1
	Nitrate (as NO3)	45.
	Nitrate+Nitrite (sum as nitrogen)	10.
	Nitrite (as nitrogen)	1.
	Perchlorate	0.006
	Selenium	0.05
	Thallium	0.002
	
* MFL=million fibers per liter; MCL for fibers exceeding 10 um in length.
NOTE

Authority cited: Sections 116293(b), 116350, 116365, 116375 and 131200, Health and Safety Code. Reference: Sections 116365, 116470, 131050 and 131051, Health and Safety Code.
HISTORY

1. Amendment of article heading, repealer of section and renumbering and amendment of former section 64435 to section 64431 filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. Amendment of article heading, repealer of section and renumbering and amendment of former section 64435 to section 64431 refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of article heading, repealer of section, and renumbering and amendment of former section 64435 to section 64431 refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Amendment of subsection (a) and table 64431-A, repealer of table 64431-B and subsection (b) and amendment of Note filed 3-23-98; operative 4-22-98 (Register 98, No. 13).
6. Amendment of Table 64431-A and amendment of Note filed 5-13-2003; operative 6-12-2003 (Register 2003, No. 20).
7. Amendment of section and Note filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
8. Amendment of subsection (a) -- Table 64431-A and amendment of Note filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
§64432. Monitoring and Compliance--Inorganic Chemicals.
Note     •     History

(a) All public water systems shall monitor to determine compliance with the nitrate and nitrite MCLs in Table 64431-A, pursuant to subsections (d) through (f) and Section 64432.1. All community and nontransient-noncommunity water systems shall monitor to determine compliance with the perchlorate MCL, pursuant to subsections (d), (e), (l), and Section 64432.3. All community and nontransient-noncommunity water systems shall also monitor to determine compliance with the other MCLs in Table 64431-A, pursuant to subsections (b) through (n), and, for asbestos, Section 64432.2. Monitoring shall be conducted in the year designated by the Department of each compliance period beginning with the compliance period starting January 1, 1993.
(b) Unless directed otherwise by the Department, each community and nontransient-noncommunity water system shall initiate monitoring for an inorganic chemical within six months following the effective date of the regulation establishing the MCL for the chemical and the addition of the chemical to Table 64431-A.
(c) Unless more frequent monitoring is required pursuant to this Chapter, the frequency of monitoring for the inorganic chemicals listed in Table 64431-A, except for asbestos, nitrate/nitrite and perchlorate, shall be as follows:
(1) Each compliance period, all community and nontransient-noncommunity systems using groundwater shall monitor once during the year designated by the Department. The Department will designate the year based on historical monitoring frequency and laboratory capacity. All community and nontransient-noncommunity systems using approved surface water shall monitor annually. All systems monitoring at distribution entry points which have combined surface and groundwater sources shall monitor annually.
(2) Quarterly samples shall be collected and analyzed for any chemical if analyses of such samples indicate a continuous or persistent trend toward higher levels of that chemical, based on an evaluation of previous data.
(d) For the purposes of Sections 64432, 64432.1, 64432.2, and 64432.3, detection shall be defined by the detection limits for purposes of reporting (DLRs) in Table 64432-A.

Table 64432-A
Detection Limits for Purposes
of Reporting (DLRs) for
Regulated Inorganic Chemicals

		Detection Limit for 
	Chemical	Purposes of Reporting
		 (DLR) (mg/L)

	Aluminum	0.05
	Antimony	0.006
	Arsenic	0.002
	Asbestos	0.2
		MFL>10mm*
	Barium	0.1
	Beryllium	0.001
	Cadmium	0.001
	Chromium	0.01
	Cyanide	0.1
	Fluoride	0.1
	Mercury	0.001
	Nickel	0.01
	Nitrate (as NO3)	2.
	Nitrite (as nitrogen)	0.4
	Perchlorate	0.004
	Selenium	0.005
	Thallium	0.001
	
* MFL=million fibers per liter; DLR for fibers exceeding 10 mm in length.
(e) Samples shall be collected from each water source or a supplier may collect a minimum of one sample at every entry point to the distribution system which is representative of each source after treatment. The system shall collect each sample at the same sampling site, unless a change is approved by the Department.
(f) A water system may request approval from the Department to composite samples from up to five sampling sites, provided that the number of sites to be composited is less than the ratio of the MCL to the DLR. Approval will be based on a review of three years of historical data, well construction and aquifer information for groundwater, and intake location, similarity of sources, and watershed characteristics for surface water. Compositing shall be done in the laboratory.
(1) Systems serving more than 3,300 persons shall composite only from sampling sites within a single system. Systems serving 3,300 persons or less may composite among different systems up to the 5-sample limit.
(2) If any inorganic chemical is detected in the composite sample at a level equal to or greater than one fifth of the MCL, a follow-up sample shall be analyzed within 14 days from each sampling site included in the composite for the contaminants which exceeded the one-fifth-MCL level. If available, duplicates of the original sample taken from each sampling site used in the composite may be used instead of resampling; the analytical results shall be reported within 14 days. The water supplier may collect up to two additional samples each from one or more of the sources to confirm the result(s). 
(3) Compliance for each site shall be determined on the basis of the individual follow-up samples, or on the average of the follow-up and confirmation sample(s) if the supplier collects confirmation sample(s) for each detection.
(g) If the level of any inorganic chemical, except for nitrate, nitrite, nitrate plus nitrite, or perchlorate, exceeds the MCL, the water supplier shall do one of the following:
(1) Inform the Department within 48 hours and monitor quarterly beginning in the next quarter after the exceedance occurred; or
(2) Inform the Department within seven days from the receipt of the analysis and, as confirmation, collect one additional sample within 14 days from receipt of the analysis. If the average of the two samples collected exceeds the MCL, this information shall be reported to the Department within 48 hours and the water supplier shall monitor quarterly beginning in the next quarter after the exceedance occurred.
(h) If the concentration of an inorganic chemical exceeds ten times the MCL, within 48 hours of receipt of the result the water supplier shall notify the Department and resample as confirmation. The water supplier shall notify the Department of the result(s) of the confirmation sample(s) within 24 hours of receipt of the confirmation result(s).
(1) If the average concentration of the original and confirmation sample(s) is less than or equal to ten times the MCL, the water supplier shall monitor quarterly beginning in the quarter following the quarter in which the exceedance occurred.
(2) If the average concentration of the original and confirmation sample(s) exceeds ten times the MCL, the water supplier shall, if directed by the Department;
(A) immediately discontinue use of the contaminated water source and
(B) not return the source to service without written approval from the Department.
(i) Compliance with the MCLs shall be determined by a running annual average; if any one sample would cause the annual average to exceed the MCL, the system is immediately in violation. If a system takes more than one sample in a quarter, the average of all the results for that quarter shall be used when calculating the running annual average. If a system fails to complete four consecutive quarters of monitoring, the running annual average shall be based on an average of the available data.
(j) If a system using groundwater has collected a minimum of two quarterly samples or a system using approved surface water has collected a minimum of four quarterly samples and the sample results have been below the MCL, the system may apply to the Department for a reduction in monitoring frequency.
(k) Water quality data collected prior to January 1, 1990, and/or data collected in a manner inconsistent with this section shall not be used in the determination of compliance with the monitoring requirements for inorganic chemicals.
(l) Water quality data collected in compliance with the monitoring requirements of this section by a wholesaler providing water to a public water system shall be acceptable for use by that system for compliance with the monitoring requirements of this section.
(m) A water system may apply to the Department for a waiver from the monitoring frequencies specified in paragraph (c)(1) of this section, if the system has conducted at least three rounds of monitoring (three periods for groundwater sources or three years for approved surface water sources) and all previous analytical results are less than the MCL. The water system shall specify the basis for its request. If granted a waiver, a system shall collect a minimum of one sample per source while the waiver is in effect and the term of the waiver shall not exceed one compliance cycle (i.e., nine years).
(n) A water system may be eligible for a waiver from the monitoring frequencies for cyanide specified in paragraph (c)(1) of this section without any prior monitoring if it is able to document that it is not vulnerable to cyanide contamination pursuant to the requirements in section 64445(d)(1) or (d)(2).
(o) Transient-noncommunity water systems shall monitor for the inorganic chemicals in Table 64431-A as follows:
(1) All sources shall be monitored at least once for fluoride;
(2) Surface water sources for parks and other facilities with an average daily population use of more than 1000 people and/or which are determined to be subject to potential contamination based on a sanitary survey shall be monitored at the same frequency as community water systems.
NOTE

Authority cited: Sections 116293(b), 116375 and 131200, Health and Safety Code. Reference: Sections 116385, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of subsection (b)(1), Table 64432-A, and subsections (e)(1)-(2) and (k) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Amendment of subsections (a) and (b) and table 64432-A and amendment of Note filed 3-23-98; operative 4-22-98 (Register 98, No. 13).
6. Amendment of subsections (a), (b), (c), (f), (j) and (m) and amendment of Note filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
7. Amendment of subsection (a), new subsections (b) and (h)-(h)(2)(B),, subsection relettering and amendment of newly designated subsections (c), (g)(1)-(2), (i), (m) and (n) and amendment of Note filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
8. Change without regulatory effect amending subsection (a) filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
§64432.1. Monitoring and Compliance--Nitrate and Nitrite.
Note     •     History

(a) To determine compliance with the MCL for nitrate in Table 64431-A, all public water systems using groundwater and transient-noncommunity systems using approved surface water shall monitor annually, and all community and nontransient-noncommunity systems using approved surface water shall monitor quarterly.
(1) The water supplier shall require the laboratory to notify the supplier within 24 hours whenever the level of nitrate in a single sample exceeds the MCL, and shall ensure that a contact person is available to receive such analytical results 24-hours a day. The water supplier shall also require the laboratory to immediately notify the Department of any acute nitrate MCL exceedance if the laboratory cannot make direct contact with the designated contact person within 24 hours. Within 24 hours of notification, the water supplier shall:
(A) Collect another sample, and
(B) Analyze the new sample; if the average of the two nitrate sample results exceeds the MCL, report the result to the Department within 24 hours. If the average does not exceed the MCL, inform the Department of the results within seven days from the receipt of the original analysis.
(C) If a system is unable to resample within 24 hours, it shall notify the consumers by issuing a Tier 1 Public Notice pursuant to section 64463.1 and shall collect and analyze a confirmation sample within two weeks of notification of the results of the first sample.
(2) For public water systems using groundwater, the repeat monitoring frequency shall be quarterly for at least one year following any one sample in which the concentration is greater than or equal to 50 percent of the MCL. After four consecutive quarterly samples are less than the MCL, a system may request that the Department reduce monitoring frequency to annual sampling.
(3) For public water systems using approved surface water, the repeat monitoring frequency shall be quarterly following any one sample in which the concentration is greater than or equal to 50 percent of the MCL. After four consecutive quarterly samples are less than 50 percent of the MCL, a system may request that the Department reduce monitoring frequency to annual sampling. A system using approved surface water shall return to quarterly monitoring if any one sample is greater than or equal to 50 percent of the MCL.
(4) After any round of quarterly sampling is completed, each community and nontransient-noncommunity system which initiates annual monitoring shall take subsequent samples during the quarter which previously resulted in the highest analytical results.
(b) All public water systems shall monitor to determine compliance with the MCL for nitrite in Table 64431-A, by taking one sample at each sampling site during the compliance period beginning January 1, 1993.
(1) If the level of nitrite in a single sample is greater than the MCL, the water supplier shall proceed as for nitrate in accordance with paragraph (a)(1) of this section.
(2) The repeat monitoring frequency for systems with an analytical result for nitrite that is greater than or equal to 50 percent of the MCL shall be quarterly monitoring for at least one year. After four consecutive quarterly samples are less than the MCL, a system may request that the Department reduce monitoring frequency to annual sampling, collecting subsequent samples during the quarter which previously resulted in the highest analytical results.
(3) The repeat monitoring frequency for systems with an analytical result for nitrite that is less than 50 percent of the MCL shall be one sample during each compliance period (every three years).
(c) All public water systems shall determine compliance with the MCL for nitrate plus nitrite in Table 64431-A. If the level exceeds the MCL, the water supplier shall proceed as for nitrate in accordance with paragraphs (a)(1) through (a)(4) of this section.
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Section 116385, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of subsections (a)(2)-(3) and (b)(2) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Amendment of subsection (a)(1) and Note filed 5-15-2001; operative 6-14-2001 (Register 2001, No. 20).
6. Amendment of subsection (a)(1)(C) and amendment of Note filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64432.2. Monitoring and Compliance--Asbestos.
Note     •     History

(a) All community and nontransient-noncommunity water systems are required to monitor to determine compliance with the MCL for asbestos in Table 64431-A during the year designated by the Department of the first compliance period of each nine-year compliance cycle, beginning in the compliance period starting January 1, 1993. The Department will designate the year based on historical monitoring frequency and laboratory capacity.
(1) If a groundwater system is vulnerable to asbestos contamination solely in its source water, it shall collect one sample at every entry point to the distribution system which is representative of each water source after treatment and proceed in accordance with Subsections 64432(c)(2) through (e) and Subsections 64432(g) through (l).
(2) All approved surface water systems shall be designated vulnerable to asbestos contamination in their source waters. If a surface water system is vulnerable solely in its source water, it shall proceed as in paragraph (1) above.
(3) If a system is vulnerable to asbestos contamination due to leaching of asbestos-cement pipe, with or without vulnerability to asbestos contamination in its source water, it shall take one sample at a tap served by asbestos-cement pipe under conditions where asbestos contamination is most likely to occur.
(b) If the level of asbestos exceeds the MCL in Table 64431-A, the supplier shall report to the Department within 48 hours and monitor quarterly beginning in the next quarter after the violation occurred. A system may request that the Department reduce monitoring frequency to one sample every compliance cycle, pursuant to Section 64432(j).
(c) If a system is not vulnerable either to asbestos contamination in its source water or due to leaching of asbestos-cement pipe, it may apply to the Department for a waiver of the monitoring requirements in paragraphs (a)(1) through (3) of this section. The Department will determine the vulnerability of groundwater sources on the basis of historical monitoring data and possible influence of serpentine formations. Vulnerability due to leaching of asbestos-cement pipe will be determined by the Department on the basis of the presence of such pipe in the distribution system and evaluation of the corrosivity of the water. The period of the waiver shall be three years.
NOTE

Authority cited: Sections 116293(b), 116375 and 131200, Health and Safety Code. Reference: Sections 116385, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of subsections (a), (b), and (c) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Amendment of subsections (a)(1) and (b) and amendment of Note filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
§64432.3. Monitoring and Compliance -- Perchlorate.
Note     •     History

(a) For initial monitoring for the perchlorate MCL, each community and nontransient-noncommunity water system shall collect two samples at each source in a year, five to seven months apart. At least one of the samples shall be collected during the period from May 1 through September 30 (vulnerable time), unless the Department specifies a different vulnerable time for the water system due to seasonal conditions related to use, manufacture and/or weather.
(b) Data collected since January 3, 2001, that is in conformance with subsection (a) may be used to comply with the initial monitoring requirement.
(c) After meeting the initial monitoring requirements in subsection (a) and if no perchlorate is detected, during each compliance period each water system:
(1) Using groundwater, shall monitor once during the year designated by the Department;
(2) Using approved surface water, shall monitor annually; and
(3) Monitoring at distribution entry points that have combined surface and groundwater sources, shall monitor annually; if perchlorate is detected in the water from the combined sources, the water system shall sample each source individually to determine which is contaminated.
(d) The water supplier shall require the laboratory to notify the supplier within 48 hours of the result whenever the level of perchlorate in a single sample exceeds the MCL, and shall ensure that a contact person is available to receive such analytical results 24-hours a day. The water supplier shall also require the laboratory to immediately notify the Department of any perchlorate MCL exceedance if the laboratory cannot make direct contact with the designated contact person within 48 hours. Within 48 hours of notification of the result, the water supplier shall:
(1) Collect and analyze a confirmation sample, and
(2) If the average of the two perchlorate sample results exceeds the MCL, report the result to the Department within 48 hours. If the average does not exceed the MCL, inform the Department of the results within seven days from the receipt of the original analytical result.
(3) If a system is unable to resample within 48 hours, it shall issue a Tier 1 notice to the consumers in accordance with sections 64463 and 64463.1 and shall collect and analyze a confirmation sample within two weeks of notification of the results of the first sample.
(e) A water system shall monitor quarterly any source in which perchlorate has been detected. After four consecutive quarterly samples indicate that perchlorate is not present at or above the DLR, a system may request that the Department reduce monitoring to the frequencies specified in paragraphs (c)(1) through (3).
(f) A water system serving less than 10,000 persons may apply to the Department for a variance from the perchlorate MCL if it can demonstrate that the estimated annualized cost per household for treatment to comply with the MCL exceeds 1% of the median household income in the community within which the customers served by the water system reside.
NOTE

Authority cited: Sections 116275, 116293(b), 116375, 116430(a) and 131200, Health and Safety Code. Reference: Sections 116275, 116385 and 131051, Health and Safety Code.
HISTORY

1. New section filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
§64432.8. Sampling of Treated Water Sources.
Note     •     History

(a) Each water supplier utilizing treatment to comply with one or more MCL(s) in Table 64431-A shall collect monthly samples of the treated water at a site prior to the distribution system and analyze for the chemical(s) for which treatment is being applied. If the treated water exceeds an MCL, other than a nitrate, nitrite, nitrate plus nitrite, or perchlorate MCL, within 48 hours of receipt of the result the water supplier shall resample the treated water to confirm the result and report the initial result to the Department. The result of the analysis of the confirmation sample shall be reported to the Department within 24 hours of receipt of the confirmation result. For nitrate, nitrite, nitrate plus nitrite, or perchlorate treated water monitoring, the water supplier shall comply with the requirements of 64432.1(a)(1) for nitrate, 64432.1(b)(1) for nitrite, 64432.1(c) for nitrate plus nitrite, and 64432.3(d) for perchlorate.
(b) The Department may require more frequent monitoring based on an evaluation of the treatment process used, the treatment effectiveness and efficiency, and the concentration of the inorganic chemical in the water source.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116361, 116385, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
8. Amendment of subsection (a) and amendment of Note filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
Article 4.1. Fluoridation
§64433. System Requirements and Exemptions.
Note     •     History

(a) Any public water system with 10,000 service connections or more that does not have a fluoridation system shall install such a system pursuant to the requirements in this article if the Department identifies a source of sufficient funds not excluded by Health and Safety Code section 116415 to cover capital and any associated costs necessary to install such a system. Installation shall be completed within two years of the date the funds are received by the water system; the water system may apply to the Department for an extension of the deadline. Following installation, if the Department identifies a source of sufficient funds not excluded by Health and Safety Code section 116415 to cover the noncapital operations and maintenance costs for the period of a year or more, the system shall fluoridate within three months of receiving the funds and shall continue fluoridating so long as such funds are received.
(b) Any public water system with 10,000 service connections or more that has a fluoridation system but ceased fluoridating prior to December 31, 1995 shall fluoridate the drinking water if its fluoridation system is determined to be capable of fluoridating the drinking water in compliance with Section 64433.2, based on a Departmental review, and the Department identifies a source of sufficient funds not excluded by Health and Safety Code section 116415 to cover the noncapital operations and maintenance costs for the period of a year or more. Such a system shall fluoridate within one month of receiving the funds and shall continue fluoridating so long as such funds are received.
(c) Any public water system required to install a fluoridation system pursuant to subsection (a) or required to fluoridate pursuant to subsection (b) shall annually submit an estimate of anticipated fluoridation operations and maintenance costs for the next fiscal year (July 1 through June 30) to the Department by the January 1 preceding that fiscal year.
(d) Any public water system with 10,000 service connections or more that has naturally-occurring fluoride and cannot demonstrate that it maintains an average annual fluoride level that is equal to or greater than the low level specified in the temperature-appropriate “control range” in Table 64433.2-A shall be subject to subsections (a) and (b).
(e) Any public water system which achieves 10,000 service connections or more subsequent to July 1, 1996, that does not have a fluoridation system, or that has naturally-occurring fluoride and meets the criteria in subsection (d) shall provide an estimate to the Department of capital and any associated costs necessary to install a fluoridation system within one year of achieving at least 10,000 service connections:
(f) Any public water system with 10,000 service connections or more shall be exempted from fluoridation in either of the following cases:
(1) The water system does not receive sufficient funds from a source identified by the Department and not excluded by Health and Safety Code section 116415 to cover the capital and associated costs needed to install a fluoridation system; or
(2) The water system received sufficient capital funds from a source identified by the Department and not excluded by Health and Safety Code section 116415 and subsequently installed a fluoridation system or the water system meets the criteria in subsection (b), and the water system did not receive sufficient funds from a source identified by the Department and not excluded by Health and Safety Code section 116415 to cover the noncapital operation and maintenance costs to fluoridate. The water system shall be exempted for any fiscal year (July 1 through June 30) for which it does not receive the funds for noncapital operation and maintenance costs.
NOTE

Authority cited: Sections 100275, 116410 and 116415, Health and Safety Code. Reference: Sections 116410 and 116415, Health and Safety Code.
HISTORY

1. New section filed 3-23-98; operative 4-22-98 (Register 98, No. 13). For prior history, see Register 95, No. 25.
2. New article 4.1 heading filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
§64433.2. Optimal Fluoride Levels.
Note     •     History

Any public water system that is fluoridating shall comply with the temperature-appropriate fluoride levels in Table 64433.2-A. The system shall determine, and submit to the Department, its annual average of maximum daily air temperatures based on the five calendar years immediately preceding the current calendar year.

Table 64433.2-A
Optimal Fluoride Levels

Annual average of maximum	Optimal	Control Range, mg/L
daily air temperatures, degrees	fluoride	Low	High
	Fahrenheit	Celsius	level, mg/L

50.0 to 53.7	10.0 to 12.0	1.2	1.1	1.7
53.8 to 58.3	12.1 to 14.6	1.1	1.0	1.6
58.4 to 63.8	14.7 to 17.7	1.0	0.9	1.5
63.9 to 70.6	17.8 to 21.4	0.9	0.8	1.4
70.7 to 79.2	21.5 to 26.2	0.8	0.7	1.3
79.3 to 90.5	26.3 to 32.5	0.7	0.6	1.2

NOTE

Authority cited: Sections 100275, 116410 and 116415, Health and Safety Code. Reference: Sections 116410 and 116415, Health and Safety Code.
HISTORY

1. New section filed 3-23-98; operative 4-22-98 (Register 98, No. 13).
§64433.3. Monitoring and Compliance--Fluoride Levels.
Note     •     History

(a) If a water system has a single fluoridation system which treats all the water distributed to consumers, the supplier shall collect a daily sample for fluoride analysis, pursuant to Section 64415(b), either in the distribution system or at the entry point. If a water system does not fluoridate all its water and/or has more than one fluoridation system, the supplier shall collect one sample daily in the distribution system and rotate the sample sites in order to be representative of the water throughout the distribution system according to a monitoring plan the Department has determined to be representative. For water systems fluoridating as of January 1, 1997, the plan shall be submitted by July 1, 1998. For all others, the plan shall be submitted prior to initiating fluoridation treatment. A water system shall monitor only when it is operating its fluoridation system.
(b) If more than 20 percent of the daily fluoride samples collected in a month by a water system pursuant to subsection (a) fall outside the control range of optimal levels as determined by temperature for that system pursuant to Section 64433.2, the system shall be out of compliance with Section 64433.2.
(c) At least once a month, any water supplier with an operating fluoridation system shall divide one sample and have one portion analyzed for fluoride by water system personnel and the other portion analyzed pursuant to Section 64415(a).
(d) Any water system with an operating fluoridation system shall sample the raw source waters annually and analyze for fluoride pursuant to Section 64415(a); samples collected pursuant to Section 64432(c)(1) may be used toward satisfying this requirement. All raw source water samples collected under this subsection are subject to compliance with the fluoride MCL in Table 64431-A.
(e) If any sample result obtained pursuant to subsection (a) does not fall within the temperature-appropriate fluoride level control range in Table 64433.2-A, the water supplier shall take action as detailed in the water system's approved fluoridation system operations contingency plan as specified in section 64433.8.
NOTE

Authority cited: Sections 100275, 116385, 116410, 116415 and 131200, Health and Safety Code. Reference: Sections 116365, 116410, 116415, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 3-23-98; operative 4-22-98 (Register 98, No. 13).
2. Amendment of subsection (d) and amendment of Note filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
§64433.5. Fluoridation System.
Note     •     History

Each fluoridation system installed or modified after January 1, 1997, shall meet the following criteria, as a minimum:
(a) Operate only when a flow of water is detected. If the water system serves less than 200 service connections, a secondary flow-based control device shall be provided as back-up protection;
(b) Provide flow measuring and recording equipment for the fluoride addition;
(c) Provide design and reliability features to maintain the level of fluoride within the temperature-appropriate control range 95 per cent of the time;
(d) Provide for containment of spills; and
(e) Provide alarm features for fluoride chemical feed and fluoride spills.
NOTE

Authority cited: Sections 100275, 116410 and 116415, Health and Safety Code. Reference: Sections 116410 and 116415, Health and Safety Code.
HISTORY

1. New section filed 3-23-98; operative 4-22-98 (Register 98, No. 13).
§64433.7. Recordkeeping, Reporting, and Notification for Water Systems Fluoridating.
Note     •     History

(a) By the tenth day of each month following the month being reported, each water supplier fluoridating its water supply shall send operational reports to the Department which include the following:
(1) The fluoride compounds used and the calculated fluoride dose in mg/L;
(2) Information on any interruptions in the fluoridation treatment which may have occurred during the month including the duration of the interruptions, an explanation of causes, and what corrective actions were taken to insure that fluoridation treatment was resumed in a timely manner;
(3) The results of the daily monitoring for fluoride in the water distribution system, reported in terms of daily results, and ranges and the number of samples collected; and
(4) The results of monthly split sample(s) analyzed pursuant to Section 64433.3(c).
(b) For water systems that fluoridated the previous fiscal year (July 1 through June 30), the water supplier shall report the operations and maintenance costs for that year to the Department by August 1.
(c) Whenever a water system initiates fluoridation, suspends fluoridation for more than ninety days, or reinitiates fluoridation after a suspension of more than ninety days, the water supplier shall notify the consumers, local health departments, pharmacists, dentists, and physicians in the area served by the water system, regarding the status of the fluoridation treatment. If a water system with more than one fluoridation system suspends the use of one or more of its fluoridation systems, but the level of fluoride being served to the consumers is in conformance with Table 64433.2-A, no notification shall be required.
(d) If a fluoride overfeed exceeding 10.0 mg/L occurs, the water system shall notify the Department by the end of the business day of the occurrence or within 24 hours if the Department office is closed.
(e) If the level of fluoride in the distribution system is found to be less than the control range in Table 64433.2-A in two or more samples in a month, the water system shall notify the Department within three business days of the second occurrence. If the level of fluoride in the distribution system is found to be 0.1 mg/L or more above the control range up to 10.0 mg/L, the water supplier shall notify the Department within three business days of the occurrence.
NOTE

Authority cited: Sections 100275, 116410, 116415 and 116450, Health and Safety Code. Reference: Sections 116410, 116415 and 116450, Health and Safety Code.
HISTORY

1. New section filed 3-23-98; operative 4-22-98 (Register 98, No. 13).
§64433.8. Fluoridation System Operations Contingency Plan.
Note     •     History

(a) Water systems fluoridating as of July 1, 1996 shall submit a fluoridation system operations contingency plan by July 1, 1998. All other water systems shall submit the plan at least three months before initiating fluoridation treatment. All fluoridating water systems shall operate in accordance with a fluoridation system operations contingency plan determined by the Department to include the elements in subsection (b).
(b) A fluoridation system operation contingency plan shall include, but not be limited to, the following elements:
(1) Actions to be implemented by the water supplier in the event that the fluoride level in a distribution system sample is found to be less than the control range in Table 64433.2-A, 0.1 mg/L above the control range up to a fluoride level of 2.0 mg/L, from 2.1 to a level of 4.0 mg/L, from 4.1 to a level of 10.0 mg/L, or above a level of 10.0 mg/L.
(2) The procedure for shutting down the fluoridation equipment if there is a fluoride overfeed and the need to do so is identified by the Department and/or the water supplier;
(3) The procedure for investigating the cause of an underfeed or overfeed;
(4) A list of water system, county health department, and Department personnel with day and evening phone numbers to be notified by the end of the business day of the occurrence or within 24 hours if the Department office is closed in the event of an overfeed exceeding 10.0 mg/L; and
(5) The procedure for notifying the public if instructed to do so by the Department in the event of a fluoride underfeed extending for more than three months or a fluoride overfeed exceeding 10.0 mg/L.
NOTE

Authority cited: Sections 100275, 116410 and 116415, Health and Safety Code. Reference: Sections 116410, 116415 and 116450, Health and Safety Code.
HISTORY

1. New section filed 3-23-98; operative 4-22-98 (Register 98, No. 13).
§64434. Water System Priority Funding Schedule.
Note     •     History

Public water systems with 10,000 service connections or more that are not fluoridating as of July 1, 1996, shall install fluoridation systems and initiate fluoridation according to the order established in Table 64434-A, as the water systems receive funds from sources identified by the Department, pursuant to Health and Safety Code section 116415.

Table 64434-A
Water System Priority Funding Schedule

SYSTEM No.	SYSTEM NAME	PRIORITY

3710010	Helix Water District	1
5610017	Ventura, City of	2
4110013	Daly City, City of	3
3710006	Escondido, City of	4
4210011	Santa Maria, City of	5
3410009	Fair Oaks Water District	6
1910083	Manhattan Beach, City of	7
3710025	Sweetwater Authority	8
4210010	Santa Barbara, City of	9
0910001	El Dorado Irrigation District	10
3410006	Citrus Heights Water District	11
4410010	Santa Cruz, City of	12
3610039	San Bernardino, City of	13

3310009	Eastern Municipal Water District	14
3710037	Padre Dam Municipal Water District	15
1910067	Los Angeles, City of	16
2810003	Napa, City of	17
3710020	San Diego, City of	18
3710034	Otay Water District	19
3310031	Riverside, City of	20
1910173	Whittier, City of	21
3410020	Sacramento, City of	22
1910139	California American Water Company - San Marino	23
3710021	San Dieguito Water District	24
3610024	Hesperia Water District	25
1910179	Burbank, City of	26
2710004	California American Water Company - Monterey	27
3310049	Western Municipal Water District	28
3010073	Moulton Niguel Water District	29
3010101	Santa Margarita Water District	30
1910239	Lakewood, City of	31
2110003	North Marin Water District	32
3010037	Yorba Linda Water District	33

SYSTEM No.	SYSTEM NAME	PRIORITY

3710015	Poway, City of	34
3110025	Placer County Water Agency	35
5010010	Modesto, City of	36
1910126	Pomona, City of	37
3410004	Carmichael Water District	38
1910043	Glendale, City of	39

3610018	Cucamonga Community Water District	40
3910011	Tracy, City of	41
1910234	Walnut Valley Water District	42
3910012	Stockton, City of	43
1910146	Santa Monica, City of	44
3710027	Vista Irrigation District	45
3010018	La Habra, City of	46
1910009	Valley County Water District	47
3310012	Elsinore Valley Municipal Water District	48
1910051	Inglewood, City of	49
3710005	Carlsbad Municipal Water District	50
4210004	Goleta Water District	51
1910213	Torrance, City of	52
1910152	South Gate, City of	53
1910155	Southern California Water Company - Southwest	54
1510017	Indian Wells Valley Water District 	55
1910039	San Gabriel Valley Water Company - El Monte	56
1610003	Hanford, City of	57
3310037	Corona, City of	58
3010062	Garden Grove, City of	59
3610003	Apple Valley Ranchos Water Community	60
3610036	Chino Hills, City of	61
3010064	Westminster, City of	62
4310011	San Jose Water Company	63
3610012	Chino, City of	64
3910004	Lodi, City of	65
5610007	Oxnard, City of	66
1910019	Cerritos, City of	67
1910205	Suburban Water Systems - San Jose Hills	68
1910059	Suburban Water Systems - La Mirada	69
1910092	Monterey Park, City of	70
1910174	Suburban Water Systems - Whittier	71
1910026	Compton, City of	72
1910124	Pasadena, City of	73
3310022	Lake Hemet Municipal Water District	74
1910142	Southern California Water Company - San Dimas	75
4510005	Redding, City of	76
3610037	Redlands, City of	77
3910005	Manteca, City of	78

3710014	Oceanside, City of	79
3610038	Rialto, City of		80
4310022	Great Oaks Water Company	81
4310014	Sunnyvale, City of	82
3310021	Jurupa Community Services District	83
3410001	Arcade- Town & County	84
3610052	Victor Valley Water District	85
3010023	Newport Beach, City of	86
3610064	East Valley Water District	87
1910225	Las Virgenes Municipal Water District	88
3710001	California American Water Company - Coronado	89
3610034	Ontario, City of		90
3910001	California Water Service Company - Stockton	91
1910033	Dominguez Water Agency	92
5410015	Tulare, City of		93
5710006	Woodland, City of	94
3710029	Olivenhain Municipal Water District	95
1910003	Arcadia, City of		96
1910008	Azusa Valley Water Company	97
4410011	Watsonville, City of	98
3010003	Buena Park, City of	99
4310005	Milpitas, City of	100
1910017	Santa Clarita Water Company	101
1910240	Valencia Water Company	102
3610004	West San Bernardino Water District	103
0910002	South Tahoe Public Utilities District	104
5610059	Southern California Water Company - Simi Valley	105
3010027	Orange, City of		106
5410010	Porterville, City of	107
4410017	Soquel Creek Water District	108
4110023	San Bruno, City of	109
1910001	Alhambra, City of	110
3010022	Southern California Water Company-West 
	 Orange County	111
3010091	Los Alisos Water District	112
3610050	Upland, City of		113
3410024	Northridge Water District	114
1010003	Clovis, City of		115
3010004	Mesa Consolidated Water District	116
3610041	San Gabriel Valley Water Company -  Fontana	117

SYSTEM No.	SYSTEM NAME	PRIORITY

3410010	Citizens Utilities Company of California - 
	 Suburban		118
3010038	Santa Ana, City of	119
3010092	Irvine Ranch Water District	120
1910211	Park Water Company - Bellflower	121
3010010	Fullerton, City of	122
4310007	Mountain View, City of	123
3010036	San Clemente, City of	124
3010079	El Toro Water District	125
5610020	Thousand Oaks, City of	126
3610029	Monte Vista Water District	127
1910004	Southern California Water Company - Artesia	128
4210016	Southern California Water Company - Orcutt	129
4110008	California Water Service Company - San Mateo	130
1310038	Rancho California Water District	131
3410017	Citizens Utilities Company of California - Parkway	132
1910024	Southern California Water Company - Claremont	133
1910044	Glendora, City of	134
3010001	Anaheim, City of	135
5710001	Davis, City of		136
1910134	California Water Service Company-
	 Hermosa/Redondo	137
1010007	Fresno, City of		138
1910102	Palmdale Water District	139
4310012	Santa Clara, City of	140
2710010	California Water Service Company - Salinas	141
4910006	Petaluma, City of	142
1910036	California Water Service Company - East Los
	 Angeles		143
3410013	Citizens Utilities Company of California - 
	 Lincoln Oaks		144
3310001	Coachella Valley Water District	145
5010019	Turlock, City of		146
5410016	California Water Service Company - Visalia	147
5610023	Waterworks District 8-Simi Valley	148
0410002	California Water Service Company - Chico	149
1910104	California Water Service Company - Palos Verdes	150
3410015	Southern California Water Company - Corodva 	151
4910009	Santa Rosa, City of	152
1910194	Rowland Water District	153
1510003	California Water Service Company - Bakersfield	154
5610040	California American Water Company -  Village
	 District		155
3310005	Desert Water Agency	156

0110003	California Water Service Company - Livermore	157
3010046	Tustin, City of		158
4310001	California Water Service Company - Los Altos
	 Suburban		159
4110007	California Water Service Company - San Carlos	160
1910070	Los Angeles, County Water Works District 4&34-
	 Lancaster		161
1510031	Bakersfield, City of	162
4110009	California Water Service Company - South San
	 Francisco		163
3010053	Huntington Beach, City of	164
4110006	California Water Service Company - Bear Gulch	165
1910034	Downey, City of	166
4110022	Redwood City		167

NOTE

Authority cited: Sections 100275, 116410 and 116415, Health and Safety Code. Reference: Sections 116410 and 116415, Health and Safety Code.
HISTORY

1. New section filed 3-23-98; operative 4-22-98 (Register 98, No. 13).
§64435. Maximum Contaminant Levels. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010-4039.6, Health and Safety Code.
HISTORY

1. Amendment of subsections (a), (b) and (d) filed 1-22-88; operative 12-22-88 (Register 88, No. 51).
2. Amendment of subsection (a) filed 1-26-89; operative 2-25-89 (Register 89, No. 6).
3. Repealer of subsection (f) and renumbering and amendment of subsection (g) to subsection (f) filed  5-6-91; operative 6-5-91 (Register 91, No. 25).
4. Amendment of subsections (c) and (d)(2), repealer of subsection (e)(2) and (e)(3), new subsection (e)(2), and amendment of Note filed 5-27-92; operative 6-26-92 (Register 92, No. 22).
5. Renumbering of former section 64435 to section 64431 filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
6. Renumbering of former section 64435 to section 64431 refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
7. Renumbering and amendment of former section 64435 to section 64431 refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64437. Sampling of System Sources. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4024, Health and Safety Code.
HISTORY

1. New NOTE filed 12-7-84 (Register 84, No. 49).
2. Renumbering and amendment of former Section 64437 to Section 64447 filed 11-22-88; operative 12-22-88 (Register 88, No. 51).
Article 4.5. Trihalomethanes [Repealed]
§64439. Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 116385, Health and Safety Code. Reference: Sections 100275 and 116385, Health and Safety Code. 
HISTORY

1. New Article 4.5 (Section 64439) filed 3-14-83; effective thirtieth day thereafter (Register 83, No. 12).
2. Amendment of section and Note filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
3. Repealer of article 4.5. (section 64439) and section filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
Article 5. Radioactivity
§64441. Natural Radioactivity. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4024, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 10-7-88; operative 1-1-89 (Register 88, No. 42).
2. Amendment of subsections (a) and (b) filed 11-22-88; operative 12-22-88 (Register 88, No. 51).
3. Repealer filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
§64442. MCLs and Monitoring -- Gross Alpha Particle Activity, Radium-226, Radium-228, and Uranium.
Note     •     History

(a) Each community and nontransient-noncommunity water system (system) shall comply with the primary MCLs in Table 64442 in the drinking water supplied to the public and use the DLRs for reporting monitoring results: 

Table 64442
Radionuclide Maximum Containment Levels (MCLs)
and Detection Levels for Purposes of Reporting (DLRs)
View Graphic
(b) Each system shall monitor to determine compliance with the MCLs in table 64442, as follows: 
(1) Monitor at each water source, or every entry point to the distribution system that is representative of all sources being used under normal operating conditions; conduct all monitoring at the same sample site(s) unless a change is approved by the Department, based on a review of the system and its historical water quality data;
(2) For quarterly monitoring, monitor during the same month (first, second or third) of each quarter during each quarter monitored;
(3) By December 31, 2007, complete initial monitoring that consists of four consecutive quarterly samples at each sampling site for each radionuclide in table 64442, except that nontransient-noncommunity water systems shall not be required to monitor radium-228 as a separate analyte, but shall monitor for compliance with the combined radium MCL using the analytical method described in Prescribed Procedures for Measurement of Radioactivity in Drinking Water, Section 6, Alpha-Emitting Radium Isotopes in Drinking Water, method 903.0 (EPA/600/4-80-032, August, 1980): 
(A) Data collected for a sampling site between January 1, 2001, and December 31, 2004, may be used to satisfy the initial monitoring requirement, subject to the Department's approval based on whether the analytical methods, DLRs, sampling sites, and the frequency of monitoring used were consistent with this article. 
(B) For gross alpha particle activity, uranium, radium-226 and radium-228, the Department may waive the final two quarters of initial monitoring at a sampling site if the results from the previous two quarters are below the DLR(s) and the sources are not known to be vulnerable to contamination. 
(c) Any new system or new source for an existing system shall begin monitoring pursuant to Subsection (b) within the first quarter after initiating water service to the public.
(d) After initial monitoring, each system shall monitor for each radionuclide at each sampling site at a frequency determined by the monitoring result(s) [single sample result or average of sample results if more than one sample collected] from the most recent compliance period as follows: 
(1) For nontransient-noncommunity water systems, the results for the total radium analyses shall be averaged. 
(2) For community water systems, the results of radium-226 and radium-228 analyses shall be added and the average calculated. 
(3) The values used for the radionuclide MCLs and DLRs shall be as specified in Table 64442. 
(4) If the single sample result or average is: 
A. Below the DLR, the system shall collect and analyze at least one sample every nine years (3 compliance periods). 
B. At or above the DLR, but at or below 1/2 the MCL, the system shall collect and analyze at least one sample every six years. 
C. Above 1/2 the MCL, but not above the MCL, the system shall collect and analyze at least one sample every three years. 
(e) A system that monitors quarterly may composite up to four consecutive samples from a single sampling site if analysis is done within a year of the first sample's collection. If the result of the composited sample is greater than 1/2 the MCL, at least one additional quarterly sample shall be analyzed to evaluate the range and trend of results over time before allowing the system to reduce the monitoring frequency. 
(f) A gross alpha particle activity measurement may be substituted for other measurements by adding the 95% confidence interval (1.65s, where s is the standard deviation of the net counting rate of the sample) to it; and if, 
(1) For uranium and radium measurements (after initial radium-228 monitoring has been completed), the gross alpha measurement does not exceed 5 pCi/L; or 
(2) For radium measurements (after initial radium-228 monitoring has been completed), the result obtained from subtracting the uranium measurement from the gross alpha measurement does not exceed 5 pCi/L. 
(g) If any sample result is greater than an MCL: 
(1) For a system monitoring less than quarterly, quarterly samples shall be collected and analyzed to determine compliance, pursuant to subsection (h);
(2) For a system that already has four consecutive quarterly results, compliance shall be determined pursuant to subsection (h). 
(3) The system shall monitor quarterly until the results of four consecutive quarterly sample results do not exceed the MCL. 
(h) A system with one or more sample results greater than an MCL shall determine compliance with the MCL as follows: 
(1) At each sampling site, based on the analytical results for that site. Any confirmation sample result shall be averaged with the initial result. 
(2) Using all monitoring results collected under this section during the previous 12 months, even if more than the minimum required number of samples was collected. 
(3) By a running annual average of four consecutive quarters of sampling results. Averages shall be rounded to the same number of significant figures as the MCL for which compliance is being determined. 
(A) If any sample result will cause the annual average at any sample site to exceed the MCL, the system shall be out of compliance immediately upon receiving the result;
(B) If a system has not analyzed the required number of samples, compliance shall be determined by the average of the samples collected at the site during the most recent 12 months; and 
(C) If a sample result is less than the DLR in table 64442, zero shall be used to calculate the annual average, unless a gross alpha particle activity is being used in lieu of radium-226, total radium, and/or uranium. In that case, if the gross alpha particle activity result is less than the DLR, 1/2 the DLR shall be used to calculate the annual average. 
(4) If compositing is allowed at a sampling site, by the results of a composite of four consecutive quarterly samples. 
(5) If the system can provide documentation that a sample was subject to sampling or analytical errors, the Department may invalidate the result based on its review of the documentation, the sampling result, and the historical sampling data. 
(6) Each system shall ensure that the laboratory analyzing its samples collected for compliance with this article calculates and reports the sample-specific Minimum Detectable Activity at the 95% confidence level (MDA95) along with the sample results. The MDA95 shall not exceed the DLR and shall be calculated as described in ANSI N42.23 Measurement and Associated Instrumentation Quality Assurance for Radiobioassay Laboratories, Appendix A.7.6 (September 10, 1995). 
NOTE

Authority cited: Sections 116325, 116350 and 116375, Health and Safety Code. Reference: Sections 116275, 116365 and 116385, Health and Safety Code. 
HISTORY

1. New section filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
§64443. MCLs and Monitoring -- Beta Particle and Photon Radioactivity.
Note     •     History

(a) Each community and nontransient-noncommunity water system (system) shall comply with the primary MCLs in table 64443 and use the DLRs for reporting monitoring results:

Table 64443
Radionuclide Maximum Contaminant Levels (MCLs)
and Detection Levels for Purposes of Reporting (DLRs)
View Graphic
(b) Each system designated by the Department as vulnerable to contamination by nuclear facilities and/or a determination of vulnerability by a Source Water Assessment, as defined in section 63000.84, shall monitor to determine compliance with the MCLs in table 64443, as follows: 
(1) Beginning within one quarter after being notified by the Department that the system is vulnerable, quarterly for beta/photon emitters and annually for tritium and strontium-90 at each water source, or every entry point to the distribution system that is representative of all sources being used under normal operating conditions, and shall conduct all monitoring at the same sample site(s) unless a change is approved by the Department, based on a review of the system and its historical water quality data;
(2) For quarterly monitoring, during the same month (first, second or third) of each quarter during each quarter monitored; and 
(3) If the gross beta particle activity minus the naturally-occurring potassium-40 beta particle activity at a sampling site has a running annual average less than or equal to 50 pCi/L (screening level), reduce monitoring to a single sample for beta/photon emitters, tritium and strontium-90 once every three years (compliance monitoring period). 
(c) Each system designated by the Department as utilizing waters contaminated by effluents from nuclear facilities on the basis of analytical data and/or a Source Water Assessment, shall: 
(1) Beginning within one quarter after being notified by the Department of the above designation, monitor on an ongoing basis pursuant to paragraphs (A) through (C) at each sampling site: 
(A) For beta/photon emitters, quarterly by analyzing three monthly samples and averaging the results or by analyzing a composite of three monthly samples;
(B) For iodine-131, quarterly by analyzing a composite of five consecutive daily samples, unless the Department has directed the system to do more frequent monitoring based on a detection of iodine-131 in the sampled water; and
(C) For strontium-90 and tritium, annually by analyzing four quarterly samples and averaging the results or by analyzing a composite of four quarterly samples. 
(2) If the gross beta particle activity minus the naturally-occurring potassium-40 beta particle activity at a sampling site has a running annual average (computed quarterly) less than or equal to 15 pCi/L (screening level), reduce the frequency of monitoring to a single sample for beta/photon emitters, iodine-131, strontium-90 and tritium once every three years (compliance monitoring period). 
(d) If the gross beta particle activity minus the naturally-occurring potassium-40 beta particle activity exceeds a system's screening level pursuant to Subsection (b)(3) or (c)(2):
(1) The sample shall be analyzed to identify the primary radionuclides present and the doses shall be calculated and summed to determine compliance with the MCL for beta particle/photon radioactivity; and 
(2) Except for strontium-90 and tritium for which the MCLs provide the average annual concentrations assumed to produce a total body or organ dose equivalent to 4 millirem/year, the concentration of manmade radionuclides shall be calculated on the basis of 2 liters per day drinking water intake using the 168 hour data list in “Maximum Permissible Body Burdens and Maximum Permissible Concentrations of Radionuclides in Air and in Water for Occupational Exposure,” NBS (National Bureau of Standards) Handbook 69 as amended August 1963, U.S. Department of Commerce. (See Title 40, Code of Federal Regulations, section 141.66(d)(2).)
(e) If a system analyzes for naturally-occurring potassium-40 beta particle activity from the same or equivalent samples used for the gross beta particle activity analysis, the potassium-40 beta particle activity shall be calculated by multiplying elemental potassium concentrations (in mg/L) by a factor of 0.82 pCi/mg. 
(f) A system required to monitor under this section may use environmental surveillance data (collected by the nuclear facility to detect any radionuclide contamination) in lieu of monitoring, subject to the Department's determination that the data is applicable to the system based on a review of the data and the hydrogeology of the area. In the event that there is a release of radioactivity or radioactive contaminants from the nuclear facility, a system using environmental surveillance data shall begin the monitoring in paragraph (b)(1) or (c)(1)(A) through (C), whichever is most applicable. 
(g) If a sample result is greater than an MCL: 
(1) Compliance shall be determined as follows: 
(A) At each sampling site, based on the analytical results for that site. Any confirmation sample result shall be averaged with the initial result. 
(B) Using all monitoring results collected under this article during the previous 12 months, even if more than the minimum required number of samples was collected. 
(C) By a running annual average of four consecutive quarters of sampling results where quarterly monitoring is required, or by an annual sample when applicable for tritium and strontium-90. Averages shall be rounded to the same number of significant figures as the MCL for which compliance is being determined.
1. If any sample result will cause the annual average at any sample site to exceed the MCL, the system shall be out of compliance immediately after being notified of the result;
2. If a system has not analyzed the required number of samples, compliance shall be determined by the average of the samples collected at the site during the most recent 12 months; and 
3. If a sample result is less than the DLR in 64443, zero shall be used to calculate the annual average. 
(D) If the system can provide documentation that a sample was subject to sampling or analytical errors, the Department may invalidate the result based on its review of the documentation, the sampling result, and the historical sampling data. 
(E) Each system shall ensure that the laboratory analyzing its samples collected for compliance with this article calculates and reports the sample-specific Minimum Detectable Activity at the 95% confidence level (MDA95) along with the sample results. The MDA95 shall not exceed the DLR and is calculated as described in ANSI N42.23 Measurement and Associated Instrumentation Quality Assurance for Radiobioassay Laboratories, Appendix A.7.6. (September 10, 1995). 
(2) If a sample has a gross beta/photon radioactivity level greater than the MCL:
(A) A system shall monitor monthly beginning the month after receiving a result greater than the MCL and continue monthly monitoring until an average of three consecutive monthly sample results does not exceed the MCL; 
(B) The system shall then monitor quarterly until the average of four consecutive quarterly sample results does not exceed the MCL; and 
(C) Subsequently, the system shall conduct the monitoring in paragraph (b)(1) or (c)(1)(A) through (C), whichever is most applicable. 
NOTE

Authority cited: Sections 116325, 116350 and 116375, Health and Safety Code. Reference: Sections 116275, 116365 and 116385, Health and Safety Code; and Section 141.66(d)(2), Title 40, Code of Federal Regulations.
HISTORY

1. New NOTE filed 12-7-84 (Register 84, No. 49).
2. Amendment of subsection (c) filed 10-7-88; operative 1-1-89 (Register 88, No. 42).
3. Amendment of subsections (b) and (c), and renumbering of Table 5 to Table 4 filed 11-22-88; operative 12-22-88 (Register 88, No. 51).
4. Repealer and new section filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
Article 5.5. Primary Standards--Organic Chemicals
§64444. Maximum Contaminant Levels--Organic Chemicals.
Note     •     History

The MCLs for the primary drinking water chemicals shown in Table 64444-A shall not be exceeded in the water supplied to the public.

Table 64444-A
Maximum Contaminant Levels
Organic Chemicals

	Maximum
	Contaminant
Chemical	Level, mg/L

(a) Volatile Organic Chemicals (VOCs)
Benzene	0.001
Carbon Tetrachloride	0.0005
1,2-Dichlorobenzene	0.6
1,4-Dichlorobenzene	0.005
1,1-Dichloroethane	0.005
1,2-Dichloroethane	0.0005
1,1-Dichloroethylene	0.006
cis-1,2-Dichloroethylene	0.006
trans-1,2-Dichloroethylene	0.01
Dichloromethane	0.005
1,2-Dichloropropane	0.005
1,3-Dichloropropene	0.0005
Ethylbenzene	0.3
Methyl-tert-butyl ether	0.013
Monochlorobenzene	0.07
Styrene	0.1
1,1,2,2-Tetrachloroethane	0.001
Tetrachloroethylene	0.005
Toluene	0.15
1,2,4-Trichlorobenzene	0.005
1,1,1-Trichloroethane	0.200
1,1,2-Trichloroethane	0.005
Trichloroethylene	0.005
Trichlorofluoromethane	0.15
1,1,2-Trichloro-1,2,2-Trifluoroethane	1.2
Vinyl Chloride	0.0005
Xylenes	1.750*

(b) Non-Volatile Synthetic Organic Chemicals (SOCs)
Alachlor	0.002
Atrazine	0.001
Bentazon	0.018
Benzo(a)pyrene	0.0002
Carbofuran	0.018
Chlordane	0.0001
2,4-D	0.07
Dalapon	0.2
Dibromochloropropane	0.0002
Di(2-ethylhexyl)adipate	0.4
Di(2-ethylhexyl)phthalate	0.004
Dinoseb	0.007

Diquat	0.02
Endothall	0.1

Endrin	0.002
Ethylene Dibromide	0.00005

Glyphosate	0.7
Heptachlor	0.00001

Heptachlor Epoxide	0.00001
Hexachlorobenzene	0.001
Hexachlorocyclopentadiene	0.05
Lindane	0.0002
Methoxychlor	0.03
Molinate	0.02
Oxamyl	0.05
Pentachlorophenol	0.001
Picloram	0.5
Polychlorinated Biphenyls	0.0005
Simazine	0.004

Thiobencarb	0.07
Toxaphene	0.003
2,3,7,8-TCDD (Dioxin)	3x10-8
2,4,5-TP (Silvex)	0.05

*MCL is for either a single isomer or the sum of the isomers.
NOTE

Authority cited: Sections 100275, 116350 and 116365, Health and Safety Code. Reference: Sections 116365, 116385 and 116555, Health and Safety Code.
HISTORY

1. Repealer of section and renumbering and amendment of section 64445.5 to section 64441 filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 90, No. 13.
2. Repealer of section and renumbering and amendment of section 64445.5 to section 64444 refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of section and renumbering and amendment of former section 64444.5 to section 64444 refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of Table 64444-A transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Editorial correction of Ethylene Dibromide entry (Register 95, No. 38).
6. Amendment of subsection (a) of Table and amendment of Note filed 4-17-2000; operative 5-17-2000 (Register 2000, No. 16).
7. Amendment of Table 64444-A filed 5-13-2003; operative 6-12-2003 (Register 2003, No. 20).
§64444.5. Maximum Contaminant Levels. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208, 4021 and 4023.1, Health and Safety Code. Reference: Sections 4017, 4023.1 and 4024, Health and Safety Code.
HISTORY

1. New section filed 11-22-88; operative 12-22-88 (Register 89, No. 6).
2. New subsection (c) filed 1-26-89; operative 2-25-89 (Register 89, No. 6).
3. Amendment of subsection (c) filed 1-26-89; operative 2-25-89 (Register 89, No. 6).
4. Amendment of subsection (c) adding Ethylene Dibromide filed 1-26-89; operative 2-25-89 (Register 89, No. 6).
5. Amendment of subsection (c) filed 3-2-89; operative 4-1-89 (Register 89, No. 11).
6. Amendment of subsection (c) filed 3-6-89; operative 4-5-89 (Register 89, No. 11).
7. Amendment of subsection (c) (Table 5) filed 4-28-89; operative 5-28-89 (Register 89, No. 18).
8. Amendment of subsection (c) (Table 5) filed 6-26-89; operative 7-26-89 (Register 89, No. 26).
9. Amendment of subsection (c) (Table 5) filed 5-25-90; operative 7-1-90 (Register 90, No. 28).
10. Amendment of subsection (c) of Table 5 repealing the .0002 mcl for Dibromochloropropane filed 5-3-91 as an emergency; operative 5-3-91 (Register 91, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (c) of Table 5 by adopting a .0002 mcl for 1,2-Dibromo-3-chloropropane filed 5-3-91 as an emergency; operative 5-3-91 (Register 91, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 5-3-91 order transmitted to OAL 7-31-91 and filed 8-28-91 (Register 91, No. 51).
13. Renumbering of section 64444.5 to section 64444 filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 91, No. 51.
14. Renumbering of section 64444.5 to section 64444 refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
15. Renumbering and amendment of former section 64444.5 to section 64444 refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64445. Initial Sampling--Organic Chemicals.
Note     •     History

(a) Each community and nontransient-noncommunity water system shall collect four quarterly samples during the year designated by the Department of each compliance period beginning with the compliance period starting January 1, 1993, from each water source at a site prior to any treatment and test for all applicable organic chemicals listed in Table 64444-A. The Department will designate the year based on historical monitoring frequency and laboratory capacity. For surface sources, the samples shall be taken at each water intake. For groundwater sources, the samples shall be taken at each well head. Where multiple intakes or wells draw from the same water supply, the Department will consider sampling of representative sources as a means of complying with this section. Selection of representative sources shall be based on evidence which includes a hydrogeological survey and sampling results. Wells shall be allowed to flow for a minimum of 15 minutes before sampling to insure that the samples reflect the water quality of the source. In place of water source samples, a supplier may collect samples at sites located at the entry points to the distribution system. The samples shall be representative of each source after treatment. The system shall collect each sample at the same sampling site, unless a change is approved by the Department.
(b) For any organic chemical added to Table 64444-A, the water system shall initiate the quarterly monitoring for that chemical in January of the calendar year after the effective date of the MCL.
(c) A water system may request approval from the Department to composite samples from up to five sampling sites, provided that the number of the sites to be composited is less than the ratio of the MCL to the DLR in Section 64445.1. Approval will be based on a review of three years of historical data, well construction and aquifer information for groundwater, and intake location, similarity of sources, and watershed characteristics for surface water. Compositing shall be done in the laboratory and analyses shall be conducted within 14 days of sample collection.
(1) Systems serving more than 3,300 persons shall composite only from sampling sites within a single system. Systems serving 3,300 persons or less may composite among different systems up to the 5-sample limit.
(2) If any organic chemical is detected in the composite sample, a follow-up sample shall be analyzed within 14 days from each sampling site included in the composite for the contaminants which were detected. The water supplier shall report the results to the Department within 14 days of the follow-up sample collection. If available, duplicates of the original sample taken from each sampling site used in the composite may be used instead of resampling.
(d) A water system may apply to the Department for a monitoring waiver for one or more of the organic chemicals on Table 64444-A in accordance with the following:
(1) A source may be eligible for a waiver if it can be documented that the chemical has not been previously used, manufactured, transported, stored, or disposed of within the watershed or zone of influence and, therefore, that the source can be designated nonvulnerable.
(2) If previous use of the chemical locally is unknown or the chemical is known to have been used previously and the source cannot be designated nonvulnerable pursuant to Paragraph (d)(1), it may still be eligible for a waiver based on a review related to susceptibility to contamination. The application to the Department for a waiver based on susceptibility shall include the following:
(A) Previous monitoring results;
(B) user population characteristics;
(C) proximity to sources of contamination;
(D) surrounding land uses;
(E) degree of protection of the water source;
(F) environmental persistence and transport of the chemical in water, soil and air;
(G) elevated nitrate levels at the water supply source; and
(H) historical system operation and maintenance data including previous Departmental inspection results.
(3) To apply for a monitoring waiver for VOCs, the water system shall have completed the initial four quarters of monitoring pursuant to subsection (a) or three consecutive years of monitoring with no VOCs detected. If granted a waiver for VOC monitoring, a system using groundwater shall collect a minimum of one sample from every sampling site every six years and a system using surface water shall not be required to monitor for the term of the waiver. The term of a VOC waiver shall not exceed three years.
(4) To obtain a monitoring waiver for one or more of the SOCs, the water system may apply before doing the initial round of monitoring or shall have completed three consecutive years of annual monitoring with no detection of the SOC(s) listed. If the system is granted a waiver for monitoring for one or more SOC(s), no monitoring for the waived SOC(s) shall be required for the term of the waiver, which shall not exceed three years.
(e) For water sources designated by a water supplier as standby sources, the water supplier shall sample each source for any organic chemical added to Table  64444-A once within the three-year period beginning in January of the calendar year after the effective date of the MCL.
(f) Water quality data collected prior to January 1, 1988, for VOCs, or January 1, 1990, for SOCs, and/or data collected in a manner inconsistent with this section shall not be used in the determination of compliance with the monitoring requirements for organic chemicals.
(g) Data (i.e., a single sample) collected in a manner consistent with this section after January 1, 1998 in which no MTBE is detected, along with a designation of nonvulnerability pursuant to subsection (d), may be used to satisfy the initial monitoring requirements in subsection (a). If the requirements are satisfied in this way by a water system, the system shall begin annual monitoring pursuant to Section 64445.1(b)(1).
(h) Water quality data collected in compliance with the monitoring requirements of this section by a wholesaler agency providing water to a public water system shall be acceptable for use by that system for compliance with the monitoring requirements of this section.
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Sections 116385 and 116555, Health and Safety Code.
HISTORY

1. New section filed 11-22-88; operative 12-22-88 (Register 88, No. 51).
2. Amendment of subsections (a) and (c) filed 3-12-90; operative 4-11-90 (Register 90, No. 13).
3. Amendment of section heading and  subsections (a)-(b), repealer of subsection (c) and new subsections (c)-(d)(4), redesignation of former subsection (d) to subsection (e), new subsections (f)-(h) and amendment of Note filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). 
4. Amendment of section heading and subsections (a)-(b), repealer of subsection (c) and new subsections (c)-(d)(4), redesignation of former subsection (d) to subsection (e), new subsections (f)-(h) and amendment of Note refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-26-95 order including amendment of subsections (a), (c)-(c)(1), (d)(1)-(2), (d)(3) and (g) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
7. Amendment of subsections (d)(3), (e) and (g) and amendment of Note filed 4-17-2000; operative 5-17-2000 (Register 2000, No. 16).
§64445.1. Repeat Monitoring and Compliance--Organic Chemicals.
Note     •     History

(a) For the purposes of this article, detection shall be defined by the detection limits for purposes of reporting (DLRs) in Table 64445.1-A:

Table 64445.1-A
Detection Limits for Purposes
of Reporting (DLRs) for
Regulated Organic Chemicals

	Detection Limit for
	Purposes of Reporting
Chemical	(DLR) (mg/L)

(a) All VOCs, except as listed	0.0005
Methyl-tert-butyl ether	0.003
Trichlorofluoromethane	0.005
1,1,2-Trichloro-1,2,2-Trifluoroethane	0.01

(b) SOCs
Alachlor	0.001
Atrazine	0.0005
Bentazon	0.002
Benzo(a)pyrene	0.0001
Carbofuran	0.005
Chlordane	0.0001
2,4-D	0.01
Dalapon	0.01
Dibromochloropropane (DBCP)	0.00001
Di(2-ethylhexyl)adipate	0.005
Di(2-ethylhexyl)phthalate	0.003
Dinoseb	0.002
Diquat	0.004

Endothall	0.045
Endrin	0.0001
Ethylene dibromide (EDB)	0.00002
Glyphosate	0.025
Heptachlor	0.00001
Heptachlor epoxide	0.00001
Hexachlorobenzene	0.0005
Hexachlorocyclopentadiene	0.001
Lindane	0.0002
Methoxychlor	0.01
Molinate	0.002
Oxamyl	0.02
Pentachlorophenol	0.0002
Picloram	0.001
Polychlorinated biphenyls (PCBs)	
 (as decachlorobiphenyl)	0.0005
Simazine	0.001
Thiobencarb	0.001
Toxaphene	0.001
2,3,7,8-TCDD (Dioxin)	5x10-9
2,4,5-TP (Silvex)	0.001

(b) When organic chemicals are not detected pursuant to Table 64445.1-A.
(1) A water system, which has not detected any of the VOCs on Table 64444-A during the initial four quarters of monitoring, shall collect and analyze one sample annually. After a minimum of three years of annual sampling with no detection of a VOC in Table 64444-A, a system using groundwater may reduce the monitoring frequency to one sample during each compliance period. A system using surface water shall continue monitoring annually.
(2) A system serving more than 3,300 persons which has not detected an SOC on Table 64444-A during the initial four quarters of monitoring shall collect a minimum of two quarterly samples for that SOC in one year during the year designated by the Department of each subsequent compliance period. The year will be designated on the basis of historical monitoring frequency and laboratory capacity.
(3) A system serving 3,300 persons or less which has not detected an SOC on Table 64444-A during the initial four quarters of monitoring shall collect a minimum of one sample for that SOC during the year designated by the Department of each subsequent compliance period. The year will be designated on the basis of historical monitoring frequency and laboratory capacity.
(c) When organic chemicals are detected pursuant to Table 64445.1-A.
(1) Prior to proceeding with the requirements of paragraphs (c)(2) through (7), the water supplier may first confirm the analytical result, as follows: Within seven days from the notification of an initial finding from a laboratory reporting the presence of one or more organic chemicals in a water sample, the water supplier shall collect one or two additional sample(s) to confirm the initial finding. Confirmation of the initial finding shall be shown by the presence of the organic chemical in either the first or second additional sample, and the detected level of the contaminant for compliance purposes shall be the average of the initial and confirmation sample(s). The initial finding shall be disregarded if two additional samples do not show the presence of the organic chemical.
(2) If one or both of the related organic chemicals heptachlor and heptachlor epoxide are detected, subsequent monitoring shall analyze for both chemicals until there has been no detection of either chemical for one compliance period.
(3) A groundwater sampling site at which one or more of the following chemicals has been detected shall be monitored quarterly for vinyl chloride: trichloroethylene, tetrachloroethylene, 1,2-dichloroethane, 1,1,1-trichloroethane, cis-1,2-dichloroethylene, trans-1,2-dichloroethylene, or 1,1-dichloroethylene. If vinyl chloride is not detected in the first quarterly sample, the sampling site shall be monitored once for vinyl chloride during each compliance period.
(4) If the detected level of organic chemicals for any sampling site does not exceed any shown in Table 64444-A, the water source shall be resampled every three months and the samples analyzed for the detected chemicals. After one year of sampling an approved surface water system or two quarters of sampling a groundwater system, the Department will consider allowing the water supplier to reduce the sampling to once per year upon request, based on a review of previous sampling data. Systems shall monitor during the quarter(s) which previously yielded the highest analytical results.
(5) If the detected level of an organic chemical for any sampling site exceeds that listed in Table 64444-A, the water supplier shall report this information to the Department within 48 hours of receipt of the result. Unless use of the contaminated source is discontinued, the water supplier shall resample the contaminated source and compliance shall be determined as follows:
(A) Water systems serving more than 3,300 persons shall sample monthly for six months and shall submit the results to the Department as specified in Section 64469. If the average concentration of the initial finding, confirmation sample(s), and six subsequent monthly samples does not exceed the MCL shown in Table 64444-A, the water supplier may reduce the sampling frequency to once every three months. If the running annual average or the average concentration of the initial finding, confirmation sample(s), and six subsequent monthly samples exceeds the MCL shown in Table 64444-A, the water system shall be deemed to be in violation of Section 64444. 
(B) Water systems serving 3,300 persons or less shall sample quarterly for a minimum of one year and shall submit the results to the Department as specified in Section 64469. If the running annual average concentration does not exceed the MCL in Table 64444-A, the water supplier may reduce the sampling frequency to once every year during the quarter that previously yielded the highest analytical result. Quarterly monitoring shall resume if any reduced frequency sample result exceeds the MCL. If the running annual average concentration exceeds the MCL in Table 64444-A, the water system shall be deemed to be in violation of Section 64444. 
(C) If any sample would cause the running annual average to exceed the MCL, the water system is immediately in violation. If a system takes more than one sample in a quarter, the average of all the results for that quarter shall be used when calculating the running annual average. If a system fails to complete four consecutive quarters of monitoring, the running annual average shall be based on an average of the available data.
(6) If any resample, other than those taken in accordance with (c)(5) of this section, of a water sampling site shows that the concentration of any organic chemical exceeds a MCL shown in Table 64444-A, the water supplier shall proceed in accordance with (c)(1) and (c)(4), or (c)(5).
(7) If an organic chemical is detected and the concentration exceeds ten times the MCL, the water supplier shall notify the Department within 48 hours of the receipt of the results and the contaminated site shall be resampled within 48 hours to confirm the result. The water supplier shall notify the Department of the result of the confirmation sample(s) within 24 hours of the receipt of the confirmation result(s). 
(A) If the average concentration of the original and confirmation sample(s) is less than or equal to ten times the MCL, the water supplier shall proceed in accordance with subsection (c)(5).
(B) If the average concentration of the original and confirmation samples exceeds ten times the MCL, use of the contaminated water source shall immediately be discontinued, if directed by the Department. Such a water source shall not be returned to service without written approval from the Department
NOTE

Authority cited: Sections 100275, 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116385, 116450, 116460, 116555, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 11-22-88; operative 12-22-88 (Register 88, No. 51).
2. Amendment of section heading, text and Note filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, text and Note refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, text and Note refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order including amendment of subsections (b)(1)-(b)(3), (c)(1)-(2), and (c)(4)-(c)(5)(B) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
6. Amendment of subsection (a) of Table and amendment of Note filed 4-17-2000; operative 5-17-2000 (Register 2000, No. 16).
7. Amendment of Table 64445.1-A and amendment of Note filed 5-13-2003; operative 6-12-2003 (Register 2003, No. 20).
8. Amendment of subsections (c)(5)-(c)(5)(B), new subsection (c)(5)(C), amendment of subsections (c)(7)(A)-(B) and amendment of Note filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
§64445.2. Sampling of Treated Water Sources.
Note     •     History

(a) Each water supplier utilizing treatment to comply with any MCL for an organic chemical listed in Table 64444-A shall collect monthly samples of the treated water at a site prior to the distribution system. If the treated water exceeds the MCL, the water supplier shall resample the treated water to confirm the result and report the result to the Department within 48 hours of the confirmation.
(b) The Department will consider requiring more frequent monitoring based on an evaluation of (1) the treatment process used, (2) the treatment effectiveness and efficiency, and (3) the concentration of the organic chemical in the water source.
NOTE

Authority cited: Sections 208 and 4023.3.3, Health and Safety Code. Reference: Sections 4017 and 4024, Health and Safety Code.
HISTORY

1. New section filed 11-22-88; operative 12-22-88 (Register 88, No. 51).
2. Amendment of section and Note filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
Article 12. Best Available Technologies (BAT)
§64447. Best Available Technology (BAT) - Microbiological Contaminants.
Note     •     History

The technologies identified by the Department as the best available technology, treatment techniques, or other means available for achieving compliance with the total coliform MCL are as follows:
(a) Protection of wells from coliform contamination by appropriate placement and construction;
(b) Maintenance of a disinfectant residual throughout the distribution system;
(c) Proper maintenance of the distribution system; and
(d) Filtration and/or disinfection of approved surface water, in compliance with Section 64650, or disinfection of groundwater.
NOTE

Authority cited: Section 4023.2, Health and Safety Code. Reference: Section 4021, Health and Safety Code.
HISTORY

1. Repealer of article 5.6 heading and section, new article 12, and renumbering and amendment of former section 64430 to section 64447 filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. Repealer of article 5.6 heading and section, new article 12, and renumbering and amendment of former section 64430 to section 64447 refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of article 5.6 heading and section, new article 12, and renumbering and amendment of former section 64430 to section 64447 refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64447.2. Best Available Technologies (BATs)--Inorganic Chemicals.
Note     •     History

The technologies listed in Table 64447.2-A are the best available technology, treatment techniques, or other means available for achieving compliance with the MCLs in Table 64431-A for inorganic chemicals.

Table 64447.2-A
Best Available Technologies (BATs)
Inorganic Chemicals

		Best Available 
	Chemical	Technologies (BATs)
	Aluminum	10
	Antimony	2, 7
	Arsenic	1, 2, 5, 6, 7, 9, 13
	Asbestos	2, 3, 8

	Barium	5, 6, 7, 9
	Beryllium	1, 2, 5, 6, 7
	Cadmium	2, 5, 6, 7

	Chromium	2, 5, 6a, 7
	Cyanide	5, 7, 11
	Fluoride	1
	Mercury	2b, 4, 6b, 7b
	Nickel	5, 6, 7

	Nitrate	5, 7, 9
	Nitrite	5, 7
	Perchlorate	5, 12
	Selenium	1, 2c, 6, 7, 9
	Thallium	1, 5

_______
aBAT for Chromium III only.
bBAT only if influent mercury concentrations <10 mg/L.
cBAT for Selenium IV only.
Key to BATs in Table 64447.2-A:
1 = Activated Alumina
2 = Coagulation/Filtration (not BAT for systems <500 service connections)
3 = Direct and Diatomite Filtration
4 = Granular Activated Carbon
5 = Ion Exchange
6 = Lime Softening (not BAT for systems <500 service connections)
7 = Reverse Osmosis
8 = Corrosion Control
9 = Electrodialysis
10 = Optimizing treatment and reducing aluminum added
11 = Chlorine oxidation
12 = Biological fluidized bed reactor
13 = Oxidation/Filtration
NOTE

Authority cited: Sections 116293(b), 116370 and 131200, Health and Safety Code. Reference: Sections 116350, 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of section heading, first paragraph and Table 64447.2-A transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Amendment of Table and Note filed 4-17-2000; operative 5-17-2000 (Register 2000, No. 16).
6. Amendment of section and Note filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
7. Amendment of Table 64447.2-A and amendment of Note filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
§64447.3. Best Available Technologies (BATs) -- Radionuclides.
Note     •     History

The technologies listed in tables 64447.3-A, B and C are the best available technology, treatment technologies, or other means available for achieving compliance with the MCLs for radionuclides in tables 64442 and 64443.

Table 64447.3-A
Best Available Technologies (BATs)
Radionuclides

Radionuclide	Best Available Technology

Combined radium-226 and radium-228	Ion exchange, reverse osmosis,
	 lime softening
Uranium	Ion exchange, reverse osmosis,
	 lime softening,
	 coagulation/filtration
Gross alpha particle activity	Reverse osmosis

Beta particle and photon radioactivity	Ion exchange, reverse osmosis

Table 64447.3-B
Best Available Technologies (BATs) and Limitations for Small Water Systems Radionuclides
View Graphic

Limitation Footnotes: 

a The regeneration solution contains high concentrations of the contaminant ions, which could result in disposal issues. 

b When point of use devices are used for compliance, programs for long-term operation, maintenance, and monitoring shall be provided by systems to ensure proper performance. 

c Reject water disposal may be an issue. 

d The combination of variable source water quality and the complexity of the water chemistry involved may make this technology too complex for small systems. 

e Removal efficiencies can vary depending on water quality.

f Since the process requires static mixing, detention basins, and filtration, this technology is most applicable to systems with sufficiently high sulfate levels that already have a suitable filtration treatment train in place. 

g Applies to ionized radionuclides only. 

h This technology is most applicable to small systems with filtration already in place. 

i Chemical handling during regeneration and pH adjustment may be too difficult for small systems without an operator trained in these procedures. 

j This would involve modification to a coagulation/filtration process already in place.

Table 64447.3-C
Best Available Technologies (BATs) for Small Water Systems by System Size
Radionuclides
View Graphic
NOTE

Authority cited: Section 116370, Health and Safety Code. Reference: Section 116350, Health and Safety Code.
HISTORY

1. New section filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
§64447.4. Best Available Technologies (BATs)--Organic Chemicals.
Note     •     History

The technologies listed in Table 64447.4-A are the best available technology, treatment technologies, or other means available for achieving compliance with the MCLs in Table 64444-A for organic chemicals.

Table 64447.4-A
Best Available Technologies (BATs)
Organic Chemicals

Chemical	Best Available Technologies

	Granular	Packed	
	Activated	Tower	
	Carbon	Aeration	Oxidation

(a) Volatile Organic Chemicals (VOCs)
Benzene	X	X
Carbon Tetrachloride	X	X
1,2-Dichlorobenzene	X	X
1,4-Dichlorobenzene	X	X
1,1-Dichloroethane	X	X
1,2-Dichloroethane	X	X
1,1-Dichloroethylene	X	X
cis-1,2-Dichloroethylene	X	X
trans-1,2-Dichloroethylene	X	X
Dichloromethane		X

1,2-Dichloropropane	X	X
1,3-Dichloropropene	X	X
Ethylbenzene	X	X
Methyl-tert-butyl ether		X
Monochlorobenzene	X	X
Styrene	X	X
1,1,2,2-Tetrachloroethane	X	X
Tetrachlorethylene	X	X
Toluene	X	X
1,2,4-Trichlorobenzene	X	X
1,1,1-Trichloroethane	X	X
1,1,2-Trichloroethane	X	X
Trichlorofluoromethane	X	X
Trichlorotrifluoroethane	X	X
Trichloroethylene	X	X
Vinyl Chloride		X
Xylenes	X	X

(b) Synthetic Organic Chemicals (SOCs)
Alachlor	X	X
Atrazine	X
Bentazon		X
Benzo(a)pyrene	X
Carbofuran	X
Chlordane	X

2,4-D	X
Dalapon	X
Di(2-ethylhexyl)adipate	X	X
Dinoseb	X	
Diquat	X
1,2-Dibromo-3-chloropropane	X	X
Di(2-ethylhexyl)phthalate	X
Endothall	X
Endrin	X
Ethylene Dibromide	X	X
Glyphosate			X
Heptachlor	X
Heptachlor epoxide	X
Hexachlorobenzene	X
Hexachlorocyclopentadiene	X	X
Lindane	X
Methoxychlor	X
Molinate	X

Oxamyl	X
Picloram	X
Pentachlorophenol	X
Polychlorinated Biphenyls	X
Simazine	X
Thiobencarb	X
Toxaphene	X	X
2,3,7,8-TCDD (Dioxin)	X
2,4,5-TP (Silvex)	X
NOTE

Authority cited: Section 116370, Health and Safety Code. Reference: Section 116350, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 88, No. 51.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of section heading and Table 64447.4-A  transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Amendment of subsection (a) of Table and amendment of Note filed 4-17-2000; operative 5-17-2000 (Register 2000, No. 16).
Article 14. Treatment Techniques
§64448. Treatment Technique Requirements.
Note     •     History

(a) A public water system which uses acrylamide and/or epichlorohydrin in drinking water treatment shall certify annually in writing to the Department that the combination of dose and monomer does not exceed the following levels:

	(1)  Acrylamide	0.05% monomer in 
		polyacrylamide dosed at 
		1 mg/L, or equivalent.

	(2) Epichlorohydrin	0.01% residual of 
		epichlorohydrin dosed at 
		20 mg/L, or equivalent.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Section 4024, Health and Safety Code.
HISTORY

1. New article 14 and section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New article 14 and section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New article 14 and section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of subsections (a)(1)-(2) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
Article 16. Secondary Drinking Water Standards
§64449. Secondary Maximum Contaminant Levels and Compliance.
Note     •     History

(a) The secondary MCLs shown in Tables 64449-A and 64449-B shall not be exceeded in the water supplied to the public by community water systems.

Table 64449-A
Secondary Maximum Contaminant Levels
“Consumer Acceptance Contaminant Levels”

	Constituents	Maximum Contaminant Levels/Units

	Aluminum	 0.2 mg/L
	Color 	 15 Units
	Copper 	 1.0 mg/L
	Foaming Agents (MBAS) 	 0.5 mg/L
	Iron 	 0.3 mg/L
	Manganese 	 0.05 mg/L
	Methyl-tert-butyl ether (MTBE)	 0.005 mg/L
	Odor--Threshold 	 3 Units
	Silver	 0.1 mg/L
	Thiobencarb 	 0.001 mg/L
	Turbidity 	 5 Units
	Zinc 	 5.0 mg/L

Table 64449-B
Secondary Maximum Contaminant Levels --
“Consumer Acceptance Contaminant Level Ranges”

		Maximum Contaminant Level Ranges

Constituent, Units	Recommended	Upper	Short Term
Total Dissolved Solids, mg/L 	 500	1,000	1,500
                  or
Specific Conductance, mS/cm 	 900	1,600	2,200
Chloride, mg/L	 250	   500	600
Sulfate, mg/L	 250	   500	600
(b) Each community water system shall monitor its groundwater sources  or distribution system entry points representative of the effluent of source treatment every three years and its approved surface water sources or distribution system entry points representative of the effluent of source treatment annually for the following:
(1) Secondary MCLs listed in Tables 64449-A and 64449-B; and
(2) Bicarbonate, carbonate, and hydroxide alkalinity, calcium, magnesium, sodium, pH, and total hardness.
(c) If the level of any constituent in Table 64449-A exceeds an MCL, the community water system shall proceed as follows: 
(1) If monitoring quarterly, determine compliance by a running annual average of four quarterly samples; 
(2) If monitoring less than quarterly, initiate quarterly monitoring and determine compliance on the basis of an average of the initial sample and the next three consecutive quarterly samples collected; 
(3) If a violation has occurred (average of four consecutive quarterly samples exceeds an MCL), inform the Department when reporting pursuant to Section 64469; 
(4) After one year of quarterly monitoring during which all the results are below the MCL and the results do not indicate any trend toward exceeding the MCL, the system may request the Department to allow a reduced monitoring frequency. 
(d) For the constituents shown on Table 64449-B, no fixed consumer acceptance contaminant level has been established.
(1) Constituent concentrations lower than the recommended contaminant level are desirable for a higher degree of consumer acceptance.
(2) Constituent concentrations ranging to the upper contaminant level are acceptable if it is neither reasonable nor feasible to provide more suitable waters.
(3) Constituent concentrations ranging to the Short Term contaminant level are acceptable only for existing community water systems on a temporary basis pending construction of treatment facilities or development of acceptable new water sources.
(e) New services from community water systems serving water which carries constituent concentrations between the upper and short term contaminant levels shall be approved only:
(1) If adequate progress is being demonstrated toward providing water of improved mineral quality.
(2) For other compelling reasons approved by the Department.
(f) A community water system may apply to the Department for a waiver from the monitoring frequencies specified in subsection (b), if the system has conducted at least three rounds of monitoring (three periods for groundwater sources or three years for approved surface water sources) and these analytical results are less than the MCLs. The water system shall specify the basis for its request. A system with a waiver shall collect a minimum of one sample per source while the waiver is in effect and the term of the waiver shall not exceed one compliance cycle (i.e., nine years).
(g) Nontransient-noncommunity and transient-noncommunity water systems shall monitor their sources or distribution system entry points representative of the effluent of source treatment for bicarbonate, carbonate, and hydroxide alkalinity, calcium, iron, magnesium, manganese, pH, specific conductance, sodium, and total hardness at least once. In addition, nontransient-noncommunity water systems shall monitor for the constituents in Tables 64449-A and B at least once.
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Sections 116385, 116555 and 116610, Health and Safety Code.
HISTORY

1. Renumbering and relocation of article 8 to article 16 and renumbering and amendment of former section 64473 to section 64449  filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. 
2. Editorial correction of subsection (a) Thiobencarb (Register 94, No. 50).
3. Renumbering and relocation of article 8 to article 16 and renumbering and amendment of former section 64473 to section 64449  refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day. 
4. Renumbering and relocation of former article 8 to article 16 and renumbering and amendment of former section 64473 to section 64449 refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order including amendment of section transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
6. Amendment of Table 64449-A, subsections (h) and (i) and Note filed 12-8-98; operative 1-7-99 (Register 98, No. 50).
7. Amendment filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
8. Change without regulatory effect amending subsection (c)(3) filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
§64449.1. Applicability of Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 4021 and 4023.3, Health and Safety Code. Reference: Sections 4017, 4024, 4026.3 and 4026.4, Health and Safety Code.
HISTORY

1. New section filed 3-12-90; operative 4-11-90 (Register 90, No. 13).
2. Renumbering and relocation of article 5.7 to article 17 and repealer of section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Cer-- tificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. 
3. Renumbering and relocation of article 5.7 to article 17 and repealer of section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Renumbering and relocation of article 5.7 to article 17 and repealer of section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64449.2. Waivers for Secondary MCL Compliance.
Note     •     History

(a) If the average of four consecutive quarters of sample results for a constituent that does not have a primary MCL is not greater than three times the secondary MCL or greater than the State Notification Level, an existing community water system is eligible to apply for a nine-year waiver of a secondary MCL in Table 64449-A, for the following: 
(1) An existing source; or 
(2) A new source that is being added to the existing water system, as long as: 
(A) The source is not being added to expand system capacity for further development; and 
(B) The concentration of the constituent of concern in the new source would not cause the average value of the constituent's concentration at any point in the water delivered by the system to increase by more than 20%. 
(b) To apply for a waiver of a secondary MCL, the community water system shall conduct and submit a study to the Department within one year of violating the MCL that includes the following: 
(1) The water system complaint log, maintained pursuant to section 64470(a), along with any other evidence of customer dissatisfaction, such as a log of calls to the county health Department; 
(2) An engineering report, prepared by an engineer registered in California and with experience in drinking water treatment, that evaluates all reasonable alternatives and costs for bringing the water system into MCL compliance and includes a recommendation for the most cost-effective and feasible approach; 
(3) The results of a customer survey distributed to all the water system's billed customers that has first been approved by the Department based on whether it includes: 
(A) Estimated costs to individual customers of the most cost-effective alternatives presented in the engineering report that are acceptable to the Department based on its review of their effectiveness and feasibility; 
(B) The query: “Are you willing to pay for (identify constituent) reduction treatment?”; 
(C) The query: “Do you prefer to avoid the cost of treatment and live with the current water quality situation?” 
(D) The statement: “If you do not respond to this survey, (insert system name) will assume that you are in support of the reduction treatment recommended by the engineering report.”
(4) A brief report (agenda, list of attendees, and transcript) of a public meeting held by the water system to which customers were invited, and at which both the tabulated results of the customer survey and the engineering report were presented with a request for input from the public. 
(c) A community water system may apply for a waiver for iron and/or manganese if, in addition to meeting the requirements in Subsection (b), an average of four consecutive quarter results for the source has not exceeded a State Notification Level for iron and/or manganese. In addition, the system shall include sequestering, as follows: 
(1) As one of the alternatives evaluated in the Engineering Report; 
(2) In the customer survey as a query: “Are you willing to pay for iron and/or manganese sequestering treatment?”
(d) Unless 50% or more of the billed customers respond to the survey, the community water system shall conduct another survey pursuant to Subsections (b) or (c) within three months from the date of the survey by sending the survey out to either all the customers again, or only the customers that did not respond to the survey. The water system shall not be eligible for a waiver until it achieves at least a 50% response rate on the survey. 
(e) If the customer survey indicates that the percentage of billed customers that voted for constituent reduction treatment and the number of billed customers that did not respond to the survey at all exceeds 50% of the total number of billed customers, the community water system shall install treatment, except as provided in Subsection (f), within three years from the date the system completed the customer survey, pursuant to a schedule established by the Department. 
(f) For iron and/or manganese MCL waiver applications, if the percentage of survey respondents that voted for constituent reduction treatment plus the percentage of survey respondents that voted for sequestering exceeds the percentage that voted to avoid the cost and maintain the current water quality situation, the community water system shall implement either constituent reduction treatment or sequestering, on the basis of which was associated with the higher percentage result. If the highest percentage result is for sequestering, the system shall submit a sequestering implementation and assessment plan to the Department that includes: 
(1) A description of the pilot testing or other type of evaluation performed to determine the most effective sequestering agent for use in the system's water; 
(2) The sequestering agent feed rate and the equipment to be used to insure that the rate is maintained for each source; 
(3) An operations plan; and 
(4) The projected cost of sequestering including capital, operations and maintenance costs. 
(g) To apply for renewal of a waiver for a subsequent nine years, the system shall request approval from the Department at least six months prior to the end of the current waiver period. The renewal request shall include all monitoring and treatment operations data for the constituent for which the waiver had been granted and any related customer complaints submitted to the water system. Based on its review of the data and customer complaints, the Department may require the water system to conduct another customer survey pursuant to this section before making a determination on the waiver renewal. 
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Sections 116385, 116455, 116555 and 116610, Health and Safety Code. 
HISTORY

1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35). For prior history, see Register 95, No. 25.
2. Change without regulatory effect amending subsections (b)(1), (b)(3), (d) and (e) filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
3. Editorial correction of subsection (b)(2) (Register 2011, No. 23).
§64449.3. Repeat Sampling. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 4021 and 4023.3, Health and Safety Code. Reference: Sections 4017, 4024, 4026.3 and 4026.4, Health and Safety Code.
HISTORY

1. Repealer filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64449.4. Use of Sources that Exceed a Secondary MCL and Do Not Have a Waiver.
Note     •     History

A source that exceeds one or more of the secondary MCLs in Table 64449-A and does not have a waiver may be used only if the source meets the requirements in Section 64414, and the community water system:  
(a) Meters the source's monthly production and submits the results to the Department by the 10th day of the next month; 
(b) Counts any part of a day as a full day for purposes of determining compliance with Section 64414(c); 
(c) As a minimum, conducts public notification by including information on the source's use (dates, constituent levels, and reasons) in the Consumer Confidence Report (Sections 64480 through 64483); 
(d) Provides public notice prior to use of the source by electronic media, publication in a local newspaper, and/or information in the customer billing, if the situation is such that the water system can anticipate the use of the source (e.g., to perform water system maintenance); and 
(e) Takes corrective measures such as flushing after the source is used to minimize any residual levels of the constituent in the water distribution system. 
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Sections 116385, 116555 and 116610, Health and Safety Code.
HISTORY

1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35). For prior history, see Register 95, No. 25.
§64449.5. Distribution System Physical Water Quality.
Note     •     History

(a) The water supplier shall determine the physical water quality in the distribution system. This determination shall be based on one or more of the following:
(1) Main flushing operations and flushing records.
(2) Consumer complaint records showing location, nature and duration of the physical water quality problem.
(3) Other pertinent data relative to physical water quality in the distribution system.
(b) If the Department determines that a water system does not have sufficient data on physical water quality in the distribution system to make the determination required in paragraph (a), the water supplier shall collect samples for the following general physical analyses: color, odor, and turbidity. Samples shall be collected from representative points in the distribution system:
(1) For community water systems with 200 to 1,000 service connections: one sample per month.
(2) For community water systems with greater than 1,000 service connections: one sample for every four bacteriological samples required per month.
(3) For community water systems with less than 200 service connections: as established by the local health officer or the Department.
(c) Odor samples required as a part of general physical analyses may be examined in the field as per Section 64415(b).
(d) The distribution system water of public water systems shall be free from significant amounts of particulate matter.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Section 4024, Health and Safety Code.
HISTORY

1. Repealer of former section 64449.5 and renumbering and amendment of former section 64475 to section 64449.5 filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 90, No. 13.
2. Repealer of former section 64449.5 and renumbering and amendment of former section 64475 to section 64449.5 refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of former section 64449.5 and renumbering and amendment of former section 64475 to section 64449.5 refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of subsection (b) and Note transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64449.7. Exemptions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 4021 and 4923.3, Health and Safety Code. Reference: Sections 4017, 4024, 4026.3 and 4026.4, Health and Safety Code.
HISTORY

1. New section filed 3-12-90; operative 4-11-90 (Register 90, No. 13).
2. Repealer filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
Article 17. Special Monitoring Requirements for Unregulated Chemicals [Repealed]
NOTE

Authority cited: Sections 100275, 116350 and 116375, Health and Safety Code. Reference: Sections 116385 and 116555, Health and Safety Code.
HISTORY

1. Repealer of article 17 (sections 64450-64453) filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38) For prior history of section 64450.1, see Register 2001, No. 18; for prior history of sections 64451 and 64453, see Register 2006, No. 31.
Article 18. Notification of Water Consumers and the Department
§64461. Significant Rise in Bacterial Count Notification. [Repealed]
Note     •     History

HISTORY

1. Repealer filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
2. Renumbering of article 7 to article 19 filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of  law on the following day.
3. Renumbering of article 7 to article 19 refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of article 7 to article 19 refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
6. Renumbering and amendment of former article 19 to article 18 filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64463. General Public Notification Requirements.
Note     •     History

(a) Each public (community, nontransient-noncommunity and transient-noncommunity) water system shall give public notice to persons served by the water system pursuant to this article. 
(b) Each water system required to give public notice shall submit the notice to the Department for approval prior to distribution or posting, unless otherwise directed by the Department. 
(c) Each wholesaler shall give public notice to the owner or operator of each of its retailer systems. A retailer is responsible for providing public notice to the persons it serves. If the retailer arranges for the wholesaler to provide the notification, the retailer shall notify the Department prior to the notice being given. 
(d) Each water system that has a violation of any of the regulatory requirements specified in subsections 64463.1(a), 64463.4(a) or 64463.7(a) in a portion of the distribution system that is physically or hydraulically isolated from other parts of the distribution system may limit distribution of the notice to only persons served by that portion of the system that is out of compliance, if the Department has granted written approval on the basis of a review of the water system and the data leading to the violation or occurrence for which notice is being given. 
(e) Each water system shall give new customers public notice of any acute violation as specified in subsection 64463.1(a) that occurred within the previous thirty days, any continuing violation, the existence of a variance or exemption, and/or any other ongoing occurrence that the Department has determined poses a potential risk of adverse effects on human health [based on a review of estimated exposures and toxicological data associated with the contaminant(s)] and requires a public notice. Notice to new customers shall be given as follows: 
(1) Community water systems shall give a copy of the most recent public notice prior to or at the time service begins; and 
(2) Noncommunity water systems shall post the most recent public notice in conspicuous locations for as long as the violation, variance, exemption, or other occurrence continues. 
NOTE

Authority cited: Sections 116325, 116350 and 116375, Health and Safety Code. Reference: Section 116450, Health and Safety Code. 
HISTORY

1. New section filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31). For prior history, see Register 92, No. 22.
§64463.1. Tier 1 Public Notice.
Note     •     History

(a) A water system shall give public notice pursuant to this section and section 64465 if any of the following occurs: 
(1) Violation of the total coliform MCL when: 
(A) Fecal coliform or E. coli are present in the distribution system; or 
(B) When any repeat sample tests positive for coliform and the water system fails to test for fecal coliforms or E. coli in the repeat sample; 
(2) Violation of the MCL for nitrate, nitrite, or total nitrate and nitrite, or when the water system fails to take a confirmation sample within 24 hours of the system's receipt of the first sample showing an exceedance of the nitrate or nitrite MCL; 
(3) Violation of a Chapter 17 treatment technique requirement resulting from a single exceedance of a maximum allowable turbidity level if: 
(A) The Department determines after consultation with the water system and a review of the data that a Tier 1 public notice is required; or 
(B) The consultation between the Department and the water system does not take place within 24 hours after the water system learns of the violation; 
(4) Occurrence of a waterborne microbial disease outbreak, as defined in section 64651.91, or other waterborne emergency, a failure or significant interruption in water treatment processes, a natural disaster that disrupts the water supply or distribution system, or a chemical spill or unexpected loading of possible pathogens into the source water that has the potential for adverse effects on human health as a result of short-term exposure; 
(5) Other violation or occurrence that has the potential for adverse effects on human health as a result of short-term exposure, as determined by the Department based on a review of all available toxicological and analytical data; 
(6) Violation of the MCL for perchlorate or when a system is unable to resample within 48 hours of the system's receipt of the first sample showing an exceedance of the perchlorate MCL as specified in section 64432.3(d)(3);
(7) For chlorite:
(A) Violation of the MCL for chlorite;
(B) When a system fails to take the required sample(s) within the distribution system, on the day following an exceedance of the MCL at the entrance to the distribution system; or
(C) When a system fails to take a confirmation sample pursuant to section 64534.2(b)(4); or
(8) Violation of the MRDL for chlorine dioxide; or when a system fails to take the required sample(s) within the distribution system, on the day following an exceedance of the MRDL at the entrance to the distribution system.
(b) As soon as possible within 24 hours after learning of any of the violations in subsection (a) or being notified by the Department that it has determined there is a potential for adverse effects on human health [pursuant to paragraph (a)(4), (5), or (6)], the water system shall: 
(1) Give public notice pursuant to this section; 
(2) Initiate consultation with the Department within the same timeframe; and 
(3) Comply with any additional public notice requirements that are determined by the consultation to be necessary to protect public health. 
(c) A water system shall deliver the public notice in a manner designed to reach residential, transient, and nontransient users of the water system and shall use, as a minimum, one of the following forms: 
(1) Radio or television; 
(2) Posting in conspicuous locations throughout the area served by the water system; 
(3) Hand delivery to persons served by the water system; or 
(4) Other method approved by the Department, based on the method's ability to inform water system users. 
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Section 116450, Health and Safety Code.  
HISTORY

1. New section filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31). For prior history, see Register 2001, No. 17.
2. Amendment of subsections (a)(4)-(5), new subsection (a)(6) and amendment of subsection (b) and Note filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
3. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64463.2. Reporting and Notification of Unregulated Organic Chemicals Monitoring. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 4021 and 4023.3, Health and Safety Code. Reference: Sections 4017, 4024 and 4028, Health and Safety Code.
HISTORY

1. New section filed 3-12-90; operative 4-11-90 (Register 90, No. 13).
2. Repealer filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64463.4. Tier 2 Public Notice.
Note     •     History

(a) A water system shall give public notice pursuant to this section if any of the following occurs: 
(1) Any violation of the MCL, MRDL, and treatment technique requirements, except: 
(A) Where a Tier 1 public notice is required under section 64463.1; or 
(B) Where the Department determines that a Tier 1 public notice is required, based on potential health impacts and persistence of the violations; 
(2) All violations of the monitoring and testing procedure requirements in sections 64421 through 64426.1, article 3 (Primary Standards -- Bacteriological Quality), for which the Department determines that a Tier 2 rather than a Tier 3 public notice is required, based on potential health impacts and persistence of the violations; 
(3) Other violations of the monitoring and testing procedure requirements in this chapter, and chapters 15.5, 17 and 17.5, for which the Department determines that a Tier 2 rather than a Tier 3 public notice is required, based on potential health impacts and persistence of the violations; or 
(4) Failure to comply with the terms and conditions of any variance or exemption in place. 
(b) A water system shall give the notice as soon as possible within 30 days after it learns of a violation or occurrence specified in subsection (a), except that the water system may request an extension of up to 60 days for providing the notice. This extension would be subject to the Department's written approval based on the violation or occurrence having been resolved and the Department's determination that public health and welfare would in no way be adversely affected. In addition, the water system shall: 
(1) Maintain posted notices in place for as long as the violation or occurrence continues, but in no case less than seven days; 
(2) Repeat the notice every three months as long as the violation or occurrence continues. Subject to the Department's written approval based on its determination that public health would in no way be adversely affected, the water system may be allowed to notice less frequently but in no case less than once per year. No allowance for reduced frequency of notice shall be given in the case of a total coliform MCL violation or violation of a Chapter 17 treatment technique requirement; and
(3) For turbidity violations pursuant to sections 64652.5(c)(2) and 64653(c), (d) and (f), as applicable, a water system shall consult with the Department as soon as possible within 24 hours after the water system learns of the violation to determine whether a Tier 1 public notice is required. If consultation does not take place within 24 hours, the water system shall give Tier 1 public notice within 48 hours after learning of the violation. 
(c) A water system shall deliver the notice, in a manner designed to reach persons served, within the required time period as follows: 
(1) Unless otherwise directed by the Department in writing based on its assessment of the violation or occurrence and the potential for adverse effects on public health and welfare, community water systems shall give public notice by; 
(A) Mail or direct delivery to each customer receiving a bill including those that provide their drinking water to others (e.g., schools or school systems, apartment building owners, or large private employers), and other service connections to which water is delivered by the water system; and 
(B) Use of one or more of the following methods to reach persons not likely to be reached by a mailing or direct delivery (renters, university students, nursing home patients, prison inmates, etc.): 
1. Publication in a local newspaper; 
2. Posting in conspicuous public places served by the water system, or on the Internet; or 
3. Delivery to community organizations. 
(2) Unless otherwise directed by the Department in writing based on its assessment of the violation or occurrence and the potential for adverse effects on public health and welfare, noncommunity water systems shall give the public notice by: 
(A) Posting in conspicuous locations throughout the area served by the water system; and 
(B) Using one or more of the following methods to reach persons not likely to be reached by a public posting: 
1. Publication in a local newspaper or newsletter distributed to customers; 
2. E-mail message to employees or students; 
3. Posting on the Internet or intranet; or 
4. Direct delivery to each customer. 
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Section 116450, Health and Safety Code. 
HISTORY

1. New section filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
2. Amendment of subsections (a), (a)(1), (a)(3), (b), (b)(2), (c) and (c)(1) and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64463.7. Tier 3 Public Notice.
Note     •     History

(a) Each water system shall give public notice pursuant to this section if any of the following occurs: 
(1) Monitoring violations; 
(2) Failure to comply with a testing procedure, except where a Tier 1 public notice is required pursuant to section 64463.1 or the Department determines that a Tier 2 public notice is required pursuant to section 64463.4; or 
(3) Operation under a variance or exemption. 
(b) Each water system shall give the public notice within one year after it learns of the violation or begins operating under a variance or exemption. 
(1) The water system shall repeat the public notice annually for as long as the violation, variance, exemption, or other occurrence continues. 
(2) Posted public notices shall remain in place for as long as the violation, variance, exemption, or other occurrence continues, but in no case less than seven days. 
(3) Instead of individual Tier 3 public notices, a water system may use an annual report detailing all violations and occurrences for the previous twelve months, as long as the water system meets the frequency requirements specified in this subsection. 
(c) Each water system shall deliver the notice in a manner designed to reach persons served within the required time period, as follows: 
(1) Unless otherwise directed by the Department in writing based on its assessment of the violation or occurrence and the potential for adverse effects on public health and welfare, community water systems shall give public notice by 
(A) Mail or direct delivery to each customer receiving a bill including those that provide their drinking water to others (e.g., schools or school systems, apartment building owners, or large private employers), and other service connections to which water is delivered by the water system; and 
(B) Use of one or more of the following methods to reach persons not likely to be reached by a mailing or direct delivery (renters, university students, nursing home patients, prison inmates, etc.): 
1. Publication in a local newspaper; 
2. Posting in conspicuous public places served by the water system, or on the Internet; or 
3. Delivery to community organizations. 
(2) Unless otherwise directed by the Department in writing based on its assessment of the violation or occurrence and the potential for adverse effects on public health and welfare, noncommunity water systems shall give the public notice by: 
(A) Posting in conspicuous locations throughout the area served by the water system; and 
(B) Using one or more of the following methods to reach persons not likely to be reached by a posting: 
1. Publication in a local newspaper or newsletter distributed to customers; 
2. E-mail message to employees or students; 
3. Posting on the Internet or intranet; or 
4. Direct delivery to each customer. 
(d) Community and nontransient-noncommunity water systems may use the Consumer Confidence Report pursuant to sections 64480 through 64483, to meet the initial and repeat Tier 3 public notice requirements in subsection 64463.7(b), as long as the Report meets the following: 
(1) Is given no later than one year after the water system learns of the violation or occurrence; 
(2) Includes the content specified in section 64465; and 
(3) Is distributed pursuant to paragraph(b)(1) and (2) or subsection (c). 
NOTE

Authority cited: Sections 116325, 116350 and 116375, Health and Safety Code. Reference: Section 116450, Health and Safety Code. 
HISTORY

1. New section filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64464.1. Notification Methods. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 4023.3 and 4028, Health and Safety Code. Reference: Sections 4010-4039.6, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 6-26-92 (Register 92, No. 22). 
2. Repealer filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64464.3. Public Notification--Water Quality Failure. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275, 116375 and 116450, Health and Safety Code. Reference: Sections 116270-116751, Health and Safety Code. 
HISTORY

1. New section filed 5-27-92; operative 6-26-92 (Register 92, No. 22). 
2. Amendment of subsection (a)(1), redesignation of subsections (b)(1)(A)-(D), amendment of subsection (b)(2), redesignation of subsections (b)(2)(A)-(C) and redesignation and amendment of subsection (b)(2)(D) filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a)(1), redesignation of subsections (b)(1)(A)-(D), amendment of subsection (b)(2), redesignation of subsections (b)(2)(A)-(C) and redesignation and amendment of subsection (b)(2)(D) refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order including amendment of subsection (a)(1) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
6. Amendment of subsection (a)(1) and Note filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
7. Repealer filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64464.6. Public Notification--Procedural Failure. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275, 116425 and 116450, Health and Safety Code. Reference: Sections 116270-116751, Health and Safety Code. 
HISTORY

1. New section filed 5-27-92; operative 6-26-92 (Register 92, No. 22). 
2. Amendment of subsection (a)(1), redesignation of subsections (b)(1)(A)-(D), amendment of subsection (b)(2), redesignation of subsections (b)(2)(A)-(C) and redesignation and amendment of subsection (b)(2)(D) filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a)(1), redesignation of subsections (b)(1)(A)-(D), amendment of subsection (b)(2), redesignation of subsections (b)(2)(A)-(C) and redesignation and amendment of subsection (b)(2)(D) refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
6. Amendment of subsection (a)(1) and Note filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
7. Repealer filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64465. Public Notice Content and Format.

(a) Each public notice given pursuant to this article, except Tier 3 public notices for variances and exemptions pursuant to subsection (b), shall contain the following: 
(1) A description of the violation or occurrence, including the contaminant(s) of concern, and (as applicable) the contaminant level(s); 
(2) The date(s) of the violation or occurrence; 
(3) Any potential adverse health effects from the violation or occurrence, including the appropriate standard health effects language from appendices 64465-A through G; 
(4) The population at risk, including subpopulations particularly vulnerable if exposed to the contaminant in drinking water; 
(5) Whether alternative water supplies should be used; 
(6) What actions consumers should take, including when they should seek medical help, if known; 
(7) What the water system is doing to correct the violation or occurrence; 
(8) When the water system expects to return to compliance or resolve the occurrence; 
(9) The name, business address, and phone number of the water system owner, operator, or designee of the water system as a source of additional information concerning the public notice; 
(10) A statement to encourage the public notice recipient to distribute the public notice to other persons served, using the following standard language: “Please share this information with all the other people who drink this water, especially those who may not have received this public notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can do this by posting this public notice in a public place or distributing copies by hand or mail”; and 
(11) For a water system with a monitoring and testing procedure violation, this language shall be included: “We are required to monitor your drinking water for specific contaminants on a regular basis. Results of regular monitoring are an indicator of whether or not your drinking water meets health standards. During [compliance period dates], we [`did not monitor or test' or `did not complete all monitoring or testing'] for [contaminant(s)], and therefore, cannot be sure of the quality of your drinking water during that time.”
(b) A Tier 3 public notice for a water system operating under a variance or exemption shall include the elements in this subsection. If a water system has violated its variance or exemption conditions, the public notice shall also include the elements in subsection (a). 
(1) An explanation of the reasons for the variance or exemption; 
(2) The date on which the variance or exemption was issued; 
(3) A brief status report on the steps the water system is taking to install treatment, find alternative sources of water, or otherwise comply with the terms and schedules of the variance or exemption; and 
(4) A notice of any opportunity for public input in the review of the variance or exemption. 
(c) Each public notice given pursuant to this article shall contain information in Spanish regarding the importance of the notice, or contain a telephone number or address where Spanish-speaking residents may contact the water system to obtain a translated copy of the public notice or assistance in Spanish. For each non-English speaking group other than Spanish-speaking that exceeds 1,000 residents or 10% of the residents in the community served, whichever is less, the public notice shall: 
(1) Contain information in the appropriate language(s) regarding the importance of the notice, or 
(2) Contain a telephone number or address where such residents may contact the water system to obtain a translated copy of the notice or assistance in the appropriate language. 
(d) Each public notice given pursuant to this article shall: 
(1) Be displayed such that it catches people's attention when printed or posted and be formatted in such a way that the message in the public notice can be understood at the eighth-grade level; 
(2) Not contain technical language beyond an eighth-grade level or print smaller than 12 point; and 
(3) Not contain language that minimizes or contradicts the information being given in the public notice. 

Appendix 64465-A. Health Effects Language  Microbiological Contaminants.

	Contaminant	Health Effects language

Total Coliform	Coliforms are bacteria that are naturally present
	in the environment and are used as an indicator
	that other, potentially-harmful, bacteria may be
	present. Coliforms were found in more samples
	than allowed and this was a warning of potential
	problems.
Fecal coliform/E.Coli	Fecal coliforms and E. coli are bacteria whose
	presence indicates that the water may be 
	contaminated with human or animal wastes. 
	Microbes in these wastes can cause short-term
	effects, such as diarrhea, cramps, nausea, 
	headaches, or other symptoms. They may pose a
	special health risk for infants, young children,
	some of the elderly, and people with severely
	compromised immune systems.
Turbidity	Turbidity has no health effects. However, high
	levels of turbidity can interfere with disinfection
	and provide a medium for microbial growth. 
	Turbidity may indicate the presence of 
	disease-causing organisms. These organisms 
	include bacteria, viruses, and parasites that can
	cause symptoms such as nausea, cramps, 
	diarrhea, and associated headaches. 

Appendix 64465-B. Health Effects Language  Surface Water Treatment

	Contaminant	Health Effects language

Giardia lamblia	Inadequately treated water may contain 
Viruses	disease-causing organisms. These organisms 
Heterotrophic plate	include bacteria, viruses, and parasites that can
count bacteria	cause symptoms such as nausea, cramps, 
Legionella 	diarrhea, and associated headaches.
Cryptosporidium

Appendix 64465-C. Health Effects Language  Radioactive Contaminants.

	Contaminant	Health Effects Language

Gross Beta particle activity	Certain minerals are radioactive and may emit
	forms of radiation known as photons and beta
	radiation. Some people who drink water 
	containing beta and photon emitters in excess of
	the MCL over many years may have an increased
	risk of getting cancer.
Strontium-90	Some people who drink water containing 
	strontium-90 in excess of the MCL over many
	years may have an increased risk of getting 
	cancer.
Tritium	Some people who drink water containing tritium
	in excess of the MCL over many years may have
	an increased risk of getting cancer.
Gross Alpha particle activity	Certain minerals are radioactive and may emit a
	form of radiation known as alpha radiation. Some
	people who drink water containing alpha emitters
	in excess of the MCL over many years may have
	an increased risk of getting cancer.
Combined Radium 226/228	Some people who drink water containing radium
	226 or 228 in excess of the MCL over many years
	may have an increased risk of getting cancer.
Uranium	Some people who drink water containing 
	uranium in excess of the MCL over many years
	may have kidney problems or an increased risk of
	getting cancer. 

Appendix 64465-D. Health Effects Language  Inorganic Contaminants.

	Contaminant	Health Effects Language

Aluminum	Some people who drink water containing
	aluminum in excess of the MCL over many years
	may experience short-term gastrointestinal tract
	effects.
Antimony	Some people who drink water containing 
	antimony in excess of the MCL over many years
	may experience increases in blood cholesterol
	and decreases in blood sugar.
Arsenic	Some people who drink water containing arsenic
	in excess of the MCL over many years may 
	experience skin damage or circulatory system
	problems, and may have an increased risk of 
	getting cancer.
Asbestos	Some people who drink water containing 
	asbestos in excess of the MCL over many years
	may have an increased risk of developing benign
	intestinal polyps.
Barium	Some people who drink water containing barium
	in excess of the MCL over many years may 
	experience an increase in blood pressure.
Beryllium	Some people who drink water containing 
	beryllium in excess of the MCL over many years
	may develop intestinal lesions.
Cadmium	Some people who drink water containing 
	cadmium in excess of the MCL over many years
	may experience kidney damage.	Chromium	Some people who use water containing 
	chromium in excess of the MCL over many years		may experience allergic dermatitis.	Copper	Copper is an essential nutrient, but some people
	who drink water containing copper in excess of
	the action level over a relatively short amount of
	time may experience gastrointestinal distress.
	Some people who drink water containing copper
	in excess of the action level over many years may
	suffer liver or kidney damage. People with 
	Wilson's Disease should consult their personal
	doctor.
Cyanide	Some people who drink water containing cyanide
	in excess of the MCL over many years may 
	experience nerve damage or thyroid problems.
Fluoride	For the Consumer Confidence Report: Some
	people who drink water containing fluoride in
	excess of the federal MCL of 4 mg/L over many
	years may get bone disease, including pain and
	tenderness of the bones. Children who drink 
	water containing fluoride in excess of the state
	MCL of 2 mg/L may get mottled teeth. 
	For a Public Notice: This is an alert about your
	drinking water and a cosmetic dental problem
	that might affect children under nine years of age. 	At low levels, fluoride can help prevent cavities, 	but children drinking water containing more than 	2 milligrams per liter (mg/L) of fluoride may 
	develop cosmetic discoloration of their 
	permanent teeth (dental fluorosis). The drinking
	water provided by your community water system
	[name] has a fluoride concentration of [insert 
	value] mg/L.
	Dental fluorosis may result in a brown staining
	and/or pitting of the permanent teeth. This 
	problem occurs only in developing teeth, before
	they erupt from the gums. Children under nine
	should be provided with alternative sources of
	drinking water or water that has been treated to
	remove the fluoride to avoid the possibility of
	staining and pitting of their permanent teeth. You
	may also want to contact your dentist about 
	proper use by young children of fluoride-
	containing products. Older children and
	adults may safely drink the water. Drinking water
	containing more than 4 mg/L of fluoride can 
	increase your risk of developing bone disease. 
	For more information, please call [water system
	contact name] of [water system name] at [phone
	number]. Some home water treatment units are
	also available to remove fluoride from drinking
	water. To learn more about available home water
	treatment units, you may call the California 
	Department of Public Health's Water Treatment
	Device Unit at (916) 449-5600.

Lead	Infants and children who drink water containing
	lead in excess of the action level may experience
	delays in their physical or mental development.
	Children may show slight deficits in attention
	span and learning abilities. Adults who drink this
	water over many years may develop kidney 
	problems or high blood pressure.
Mercury	Some people who drink water containing 
	mercury in excess of the MCL over many years
	may experience mental disturbances, or impaired
	physical coordination, speech and hearing.
Nickel	Some people who drink water containing nickel
	in excess of the MCL over many years may 
	experience liver and heart effects.
Nitrate	Infants below the age of six months who drink
	water containing nitrate in excess of the MCL
	may quickly become seriously ill and, if
	untreated, may die because high nitrate levels can
	interfere with the capacity of the infant's blood to
	carry oxygen. Symptoms include shortness of
	breath and blueness of the skin. High nitrate 
	levels may also affect the oxygen-carrying 
	ability of the blood of pregnant women.
Nitrite	Infants below the age of six months who drink
	water containing nitrite in excess of the MCL
	may become seriously ill and, if untreated, may
	die. Symptoms include shortness of breath and
	blueness of the skin.
Perchlorate	Perchlorate has been shown to interfere with 
	uptake of iodide by the thyroid gland, and to
 	thereby reduce the production of thyroid 
	hormones, leading to adverse affects associated
 	with inadequate hormone levels. Thyroid 
	hormones are needed for normal prenatal growth
 	and development of the fetus, as well as for 
	normal growth and development in the infant and
 	child. In adults, thyroid hormones are needed for
 	normal metabolism and mental function.
Selenium	Selenium is an essential nutrient. However, some
	people who drink water containing selenium in
	excess of the MCL over many years may 
	experience hair or fingernail losses, numbness in
	fingers or toes, or circulation system problems.
Thallium	Some people who drink water containing 
	thallium in excess of the MCL over many years
	may experience hair loss, changes in their blood,
	or kidney, intestinal, or liver problems.

Appendix 64465-E. Health Effects Language Volatile Organic Contaminants.

	Contaminant 	Health Effects Language

Benzene	Some people who use water containing benzene
	in excess of the MCL over many years may
	experience anemia or a decrease in blood 
	platelets, and may have an increased risk of 
	getting cancer.
Carbon Tetrachloride	Some people who use water containing carbon
	tetrachloride in excess of the MCL over many
	years may experience liver problems and may
	have an increased risk of getting cancer.
1,2-Dichlorobenzene	Some people who drink water containing
	1,2-dichlorobenzene in excess of the MCL over
	many years may experience liver, kidney, or 
	circulatory system problems.
1,4-Dichlorobenzene	Some people who use water containing 
	1,4-dichlorobenzene in excess of the MCL
	over many years may experience anemia, liver,
	kidney, or spleen damage, or changes in their
	blood.
1,1-Dichloroethane	Some people who use water containing 
	1,1-dichloroethane in excess of the MCL over
	many years may experience nervous system or
	respiratory problems.
1,2-Dichloroethane	Some people who use water containing 
	1,2- dichloroethane in excess of the MCL over
	many years may have an increased risk of getting
	cancer.
1,1-Dichloroethylene	Some people who use water containing 
	1,1-dichloroethylene in excess of the MCL over
	many years may experience liver problems.
cis-1,2-Dichloroethylene	Some people who use water containing
	cis-1,2-dichloroethylene in excess of the MCL
	over many years may experience liver problems.
trans-1,2-Dichloroethylene	Some people who drink water containing
	trans-1,2-dichloroethylene in excess of the MCL
	over many years may experience liver problems.
Dichloromethane	Some people who drink water containing 
	dichloromethane in excess of the MCL over
	many years may experience liver problems and
	may have an increased risk of getting cancer.
1,2-Dichloropropane	Some people who use water containing 
	1,2-dichloropropane in excess of the MCL over
	many years may have an increased risk of getting
	cancer.
1,3-Dichloropropene	Some people who use water containing 
	1,3-dichloropropene in excess of the MCL over
	many years may have an increased risk of getting
	cancer.
Ethylbenzene	Some people who use water containing 
	ethylbenzene in excess of the MCL over many
	years may experience liver or kidney problems.
Methyl-tert-butyl ether	Some people who use water containing 
	methyl-tert-butyl ether in excess of the MCL
	over many years may have an increased risk of
	getting cancer.
Monochlorobenzene	Some people who use water containing 
	monochlorobenzene in excess of the MCL over
	many years may experience liver or kidney 
	problems.
Styrene	Some people who drink water containing styrene
	in excess of the MCL over many years may 
	experience liver, kidney, or circulatory system
	problems.
1,1,2,2-Tetrachloroethane	Some people who drink water containing
	1,1,2,2-tetrachloroethane in excess of the MCL
	over many years may experience liver or nervous
	system problems.
Tetrachloroethylene	Some people who use water containing 
	tetrachloroethylene in excess of the MCL over
	many years may experience liver problems, and
	may have an increased risk of getting cancer.
1,2,4-Trichlorobenzene	Some people who use water containing
	1,2,4-trichlorobenzene in excess of the MCL
	over many years may experience adrenal gland
	changes.
1,1,1,-Trichloroethane	Some people who use water containing
	1,1,1-trichloroethane in excess of the MCL over
	many years may experience liver, nervous 
	system, or circulatory system problems.
1,1,2-Trichloroethane	Some people who use water containing 
	1,1,2- trichloroethane in excess of the MCL over
	many years may experience liver, kidney, or 
	immune system problems.
Trichloroethylene (TCE)	Some people who use water containing 
	trichloroethylene in excess of the MCL over
	many years may experience liver problems and
	may have an increased risk of getting cancer.
Toluene	Some people who use water containing toluene in
	excess of the MCL over many years may 
	experience nervous system, kidney, or liver 
	problems.
Trichlorofluoromethane	Some people who use water containing 
	trichlorofluoromethane in excess of the MCL
	over many years may experience liver problems.
1,1,2-Trichloro-1,2,2-	Some people who use water containing
 trifluoroethane	1,1,2-trichloro-1,2,2-trifluoroethane in 
	excess of the MCL over many years may 
	experience liver problems.
Vinyl Chloride	Some people who use water containing vinyl
	chloride in excess of the MCL over many years
	may have an increased risk of getting cancer.
Xylenes	Some people who use water containing xylenes
	in excess of the MCL over many years may 
	experience nervous system damage. 

Appendix 64465-F. Health Effects Language Synthetic Organic Contaminants.

	Contaminant	Health Effects Language

2,4-D	Some people who use water containing the weed
	killer 2,4-D in excess of the MCL over many
	years may experience kidney, liver, or adrenal
	gland problems.
2,4,5-TP (Silvex)	Some people who drink water containing Silvex
	in excess of the MCL over many years may 
	experience liver problems.

Alachlor	Some people who use water containing alachlor
	in excess of the MCL over many years may 
	experience eye, liver, kidney, or spleen 
	problems, or experience anemia, and may have
	an increased risk of getting cancer.
Atrazine	Some people who use water containing atrazine
	in excess of the MCL over many years may 
	experience cardiovascular system problems or
	reproductive difficulties.
Bentazon	Some people who drink water containing 
	bentazon in excess of the MCL overy many year
	may experience prostate and gastrointestinal 
	effects.
Benzo(a)pyrene [PAH]	Some people who use water containing 
	benzo(a)pyrene in excess of the MCL over many
	years may experience reproductive difficulties
	and may have an increased risk of getting cancer.
Carbofuran	Some people who use water containing carbo--
	furan in excess of the MCL over many years may
	experience problems with their blood, or nervous
	or reproductive system problems.
Chlordane	Some people who use water containing 
	chlordane in excess of the MCL over many years
	may experience liver or nervous system 
	problems, and may have an increased risk of 
	getting cancer.
Dalapon	Some people who drink water containing 
	dalapon in excess of the MCL over many years
	may experience minor kidney changes.
Dibromochloropropane	Some people who use water containing DBCP in
(DBCP)	excess of the MCL over many years may 
	experience reproductive difficulties and may
	have an increased risk of getting cancer.
Di (2-ethylhexyl) adipate	Some people who drink water containing
	di(2-ethylhexyl) adipate in excess of the MCL
	over many years may experience weight loss, 
	liver enlargement, or possible reproductive 
	difficulties.
Di (2-ethylhexyl) phthalate	Some people who use water containing
	di(2-ethylhexyl) phthalate well in excess of the
	MCL over many years may experience liver
	problems or reproductive difficulties, and may
	have an increased risk of getting cancer.
Dinoseb	Some people who drink water containing dinoseb
	in excess of the MCL over many years may 
	experience reproductive difficulties.
Dioxin (2,3,7,8-TCDD):	Some people who use water containing dioxin in
	excess of the MCL over many years may 
	experience reproductive difficulties and may
	have an increased risk of getting cancer.
Diquat	Some people who drink water containing diquat
	in excess of the MCL over many years may get
	cataracts.
Endothall	Some people who drink water containing 
	endothall in excess of the MCL over many years
	may experience stomach or intestinal problems.
Endrin	Some people who drink water containing endrin
	in excess of the MCL over many years may 
	experience liver problems.
Ethylene dibromide (EDB)	Some people who use water containing ethylene
	dibromide in excess of the MCL over many years
	may experience liver, stomach, reproductive 
	system, or kidney problems, and may have an 
	increased risk of getting cancer.
Glyphosate	Some people who drink water containing 
	glyphosate in excess of the MCL over many years
	may experience kidney problems or reproductive
	difficulties.
Heptachlor	Some people who use water containing 
	heptachlor in excess of the MCL over many years
	may experience liver damage and may have an
	increased risk of getting cancer.
Heptachlor epoxide	Some people who use water containing 
	heptachlor epoxide in excess of the MCL over
	many years may experience liver damage, and
	may have an increased risk of getting cancer.
Hexachlorobenzene	Some people who drink water containing 
	hexachlorobenzene in excess of the MCL over
	many years may experience liver or kidney 
	problems, or adverse reproductive effects, and
	may have an increased risk of getting cancer.
Hexachlorocyclopentadiene	Some people who use water containing 
	hexachlorocyclopentadiene in excess of the
	MCL over many years may experience kidney or
	stomach problems.

Lindane	Some people who drink water containing lindane
	in excess of the MCL over many years may 
	experience kidney or liver problems.
Methoxychlor	Some people who drink water containing 
	methoxychlor in excess of the MCL over many
	years may experience reproductive difficulties.
Molinate (Ordram)	Some people who use water containing molinate
	in excess of the MCL over many years may 
	experience reproductive effects.
Oxamyl [Vydate]:	Some people who drink water containing oxamyl
	in excess of the MCL over many years may 
	experience slight nervous system effects.
PCBs [Polychlorinated 	Some people who drink water containing PCBs
 biphenyls]:	in excess of the MCL over many years may 
	experience changes in their skin, thymus gland
	problems, immune deficiencies, or reproductive
	or nervous system difficulties, and may have an
	increased risk of getting cancer.
Pentachlorophenol	Some people who use water containing 
	pentachlorophenol in excess of the MCL over
	many years may experience liver or kidney 
	problems, and may have an increased risk of 
	getting cancer.
Picloram	Some people who drink water containing 
	picloram in excess of the MCL over many years
	may experience liver problems.
Simazine	Some people who use water containing simazine
	in excess of the MCL over many years may 
	experience blood problems.
Thiobencarb	Some people who use water containing 
	thiobencarb in excess of the MCL over many
	years may experience body weight and blood 
	effects.
Toxaphene	Some people who use water containing 
	toxaphene in excess of the MCL over many years
	may experience kidney, liver, or thyroid 
	problems, and may have an increased risk of 
	getting cancer. 

Appendix 64465-G. Health Effects Language Disinfection Byproducts, Byproduct Precursors, and Disinfectant Residuals

	Contaminant	Health Effects language

TTHMs [Total	Some people who drink water containing 
 Trihalomethanes]:	trihalomethanes in excess of the MCL over many
	years may experience liver, kidney, or central
	nervous system problems, and may have an 
	increased risk of getting cancer.
Haloacetic Acids	Some people who drink water containing 
	halocetic acids in excess of the MCL over many		years may have an increased risk of getting 
	cancer.
Bromate	Some people who drink water containing 
	bromate in excess of the MCL over many years
	may have an increased risk of getting cancer.
Chloramines	Some people who use water containing 
	chloramines well in excess of the MRDL could
	experience irritating effects to their eyes and
	nose. Some people who drink water containing
	chloramines well in excess of the MRDL could
	experience stomach discomfort or anemia.
Chlorine	Some people who use water containing chlorine
	well in excess of the MRDL could experience 
	irritating effects to their eyes and nose. Some
	people who drink water containing chlorine well
	in excess of the MRDL could experience stomach
	discomfort.
Chlorite	Some infants and young children who drink
	water containing chlorite in excess of the MCL
	could experience nervous system effects. Similar
	effects may occur in fetuses of pregnant women
	who drink water containing chlorite in excess of
	the MCL. Some people may experience anemia.
Chlorine dioxide (2 	Some infants and young children who drink
consecutive daily samples	water containing chlorine dioxide in excess of the
at the entry point to the 	MRDL could experience nervous system effects.
distribution system that 	Similar effects may occur in fetuses of pregnant
are greater than the MRDL)	women who drink water containing chlorine
	dioxide in excess of the MRDL. Some people
	may experience anemia. 
	Add for public notification only: 
	The chlorine dioxide violations reported today
	are the result of exceedances at the treatment
	facility only, not within the distribution system
	that delivers water to consumers. 

	Continued compliance with chlorine dioxide 
	levels within the distribution system minimizes
	the potential risk of these violations to 
	consumers.
Chlorine dioxide (one or  	Some infants and young children who drink
more distribution system	water containing chlorine dioxide in excess of the
samples are above the 	MRDL could experience nervous system effects.
MRDL.)	Similar effects may occur in fetuses of pregnant
	women who drink water containing chlorine
	dioxide in excess of the MRDL. Some people
	may experience anemia. 
	Add for public notification only: 
	The chlorine dioxide violations reported today
	include exceedances of the State standard within
	the distribution system that delivers water to 
	consumers. These violations may harm human
	health based on short-term exposures. Certain
	groups, including fetuses, infants, and young
	children, may be especially susceptible to 
	nervous system effects from excessive chlorine
	dioxide exposure.
Control of DBP	Total organic carbon (TOC) has no health effects.
precursors (TOC)	However, total organic carbon provides a
	medium for the formation of disinfection
	byproducts. These byproducts include
	trihalomethanes (THMs) and haloacetic acids
	(HAAs). Drinking water containing these
	byproducts in excess of the MCL may lead to
	adverse health effects, liver or kidney problems,
	or nervous system effects, and may lead to an
	increased risk of getting cancer. 

Appendix 64465-H. Health Effects Language  Other Treatment Techniques

	Contaminant	Health Effects language

Acrylamide	Some people who drink water containing high
	levels of acrylamide over a long period of time
	may experience nervous system or blood
	problems, and may have an increased risk of
	getting cancer.
Epichlorohydrin	Some people who drink water containing high
	levels of epichlorohydrin over a long period of
	time may experience stomach problems, and may
	have an increased risk of getting cancer. 
NOTE

Authority cited: Sections 116325, 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116450 and 131051, Health and Safety Code. 
HISTORY

1. New section filed 5-27-92; operative 6-26-92 (Register 92, No. 22). 
2. Amendment filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order including amendment of section transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
6. Amendment of section and Note filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
7. Repealer and new section filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
8. Amendment of Appendix 64465-D and amendment of Note filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
9. Change without regulatory effect amending Appendix 64465-E filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
§64466. Special Notice for Unregulated Contaminant Monitoring Results.
Note     •     History

Water systems required to monitor pursuant to section 64450 (Unregulated Chemicals -- Monitoring) and/or Federal Register 64(180), p 50556-50620, September 17, 1999, shall notify persons served by the water system of the availability of the results, as follows: 
(a) No later than 12 months after the results are known; 
(b) Pursuant to sections 64463.7(c) and (d)(1) and (3); and 
(c) Include a contact and telephone number where information on the results may be obtained. 
NOTE

Authority cited: Sections 116325, 116350 and 116375, Health and Safety Code. Reference: Section 116450, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 6-26-92 (Register 92, No. 22). 
2. Repealer and new section filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64467. Notice. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 4027 and 4028, Health and Safety Code. Reference: Sections 4010-4039.6, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 6-26-92 (Register 92, No. 22). 
2. Repealer filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64467.5. Wholesaler. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 4023.3, 4027 and 4028, Health and Safety Code. Reference: Sections 4010-4039.6, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 6-26-92 (Register 92, No. 22). 
2. Repealer filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64468. Health Effects Language. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4028, Health and Safety Code. Reference: Sections 4010-4039.5, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 6-26-92 (Register 92, No. 22). 
2. Repealer filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64468.1. Health Effects Language--Inorganic Chemicals. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116450, Health and Safety Code. Reference: Sections 116270-116751, Health and Safety Code; and 40 Code of Federal Regulations 141.32(e).
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of subsections (a) and (j) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. New subsections (g) and (i), subsection relettering and amendment of Note filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
6. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
8. Amendment of subsection (h) and amendment of Note filed 5-13-2003; operative 6-12-2003 (Register 2003, No. 20).
9. Repealer filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64468.2. Health Effects Language--Volatile Organic Chemicals. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116375 and 116450, Health and Safety Code. Reference: Sections 116270-116751, Health and Safety Code; and 40 Code of Federal Regulations 141.32(e).
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order including amendment of subsection (s) transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. New subsection (l), subsection relettering and amendment of Note filed 4-17-2000; operative 5-17-2000 (Register 2000, No. 16).
6. Amendment of subsections (k) and (q) and amendment of Note filed 5-13-2003; operative 6-12-2003 (Register 2003, No. 20).
7. Repealer filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64468.3. Health Effects Language--Synthetic Organic Chemicals. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116375 and 116450, Health and Safety Code. Reference: Sections 116270-116751, Health and Safety Code; and 40 Code of Federal Regulations 141.32(e).
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Amendment of subsections (b), (v) and (w) and amendment of Note filed 5-13-2003; operative 6-12-2003 (Register 2003, No. 20).
6. Repealer filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64468.4. Health Effects Language--Treatment Technique Chemicals. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4028, Health and Safety Code. Reference: Sections 4010-4039.5, Health and Safety Code.
HISTORY

1. New section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
5. Repealer filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64468.5. Health Effects Language -- Disinfectants and Disinfection Byproducts. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116350, 116450 and 116460, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Repealer filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
Article 19. Records, Reporting and Recordkeeping
§64469. Reporting Requirements.
Note     •     History

(a) Analytical results of all sample analyses completed in a calendar month shall be reported to the Department no later than the tenth day of the following month.
(b) Analytical results of all sample analyses completed by water wholesalers in a calendar month shall be reported to retail customers and the Department no later than the tenth day of the following month.
(c) Analytical results shall be reported to the Department electronically using the Electronic Deliverable Format as defined in The Electronic Deliverable Format [EDF] Version 1.2i Guidelines & Restrictions dated April 2001 and Data Dictionary dated April 2001.
(d) Within 10 days of giving initial or repeat public notice pursuant to Article 18 of this Chapter, except for notice given under 64463.7(d), each water system shall submit a certification to the Department that it has done so, along with a representative copy of each type of public notice given. 
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Section 116385, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former article 18 to article 19, repealer of section 64469 and renumbering and amendment of former section 64451 to section 64469 filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
§64470. Recordkeeping.
Note     •     History

(a) A water supplier shall maintain records on all water quality and system water outage complaints received, both verbal and written, and corrective action taken. These records shall be retained for a period of five years for Department review.
(b) A water supplier shall retain, on or at a convenient location near the water utility premises, records as indicated below:
(1) Records of microbiological analyses and turbidity analyses from at least the most recent five years and chemical analyses from at least the most recent 10 years. Actual laboratory reports may be kept, or data may be transferred to tabular summaries, provided the following information is included:
(A) The date, place, and time of sampling; and identification of the person who collected the sample;
(B) Identification of the sample as a routine sample, check sample, raw or finished water or other special sample;
(C) Date of Report;
(D) Name of the laboratory and either the person responsible for performing the analysis or the laboratory director;
(E) The analytical technique or method used; and
(F) The result of the analysis.
(2) Records and resultant corrective actions shall be kept not less than three years following the final action taken to correct a particular violation;
(3) Copies of any written reports, summaries or communications relating to sanitary surveys of the system conducted by the water supplier, a private consultant or any local, state or federal agency, for not less than 10 years following completion of the sanitary survey involved;
(4) Variances or exemptions granted to the system, for not less than five years following the expiration of such variance or exemption;
(5) Copies of any Tier 1, Tier 2, and Tier 3 public notices, for not less than three years; and
(6) Copies of monitoring plans developed pursuant to sections 64416, 64422, and 64534.8 for the same period of time as the records of analyses taken under the plan are required to be kept pursuant to paragraph (1).
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Section 116385, Health and Safety Code.
HISTORY

1. New section filed 7-1-92; operative 7-31-92 (Register 92, No. 28).
2. Repealer of section 64470 and renumbering of former section 64452 to section 64470 with amendment of section and Note filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
3. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64471. Applicability. [Repealed]
History

HISTORY

1. Relocation of article 8 to article 16 and  repealer of section filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
2. Relocation of article 8 to article 16 and repealer of section refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
3. Relocation of article 8 to article 16 and repealer of section refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64473. Maximum Contaminant Levels. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Sections 4017 and 4024, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) (Table 6) filed as an editorial correction 1-18-78; effective thirtieth day thereafter (Register 78, No. 3).
2. Amendment of subsection (a) (Table 6) filed 3-6-89; operative 4-5-89 (Register 89, No. 11).
3. Renumbering of former section 64473 to section 64449 filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 64473 to section 64449 refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 64473 to section 64449 refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
§64475. Distribution System Physical Water Quality. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4024, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed as an editorial correction 1-18-78; effective thirtieth day thereafter (Register 78, No. 3).
2. New NOTE filed 12-7-84 (Register 84, No. 49).
3. Renumbering of former section 64475 to section 64449.5 filed 9-8-94 as an emergency; operative 9-8-94 (Register 94, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-6-95 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 64475 to section 64449.5 refiled 1-3-95 as an emergency; operative 1-3-95 (Register 95, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-3-95 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 64475 to section 64449.5 refiled 4-26-95 as an emergency; operative 4-26-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-26-95 order transmitted to OAL 5-5-95 and filed 6-19-95 (Register 95, No. 25).
Article 20. Consumer Confidence Report
§64480. Applicability and Distribution.
Note     •     History

(a) Except as provided in subsection (b), each community and nontransient-noncommunity (NTNC) water system shall prepare and deliver the first Consumer Confidence Report by July 1, 2001, and subsequent reports by July 1 annually thereafter. The first Consumer Confidence Report shall contain data collected during, or prior to, calendar year 2000, as prescribed by section 64481(d)(1). Each Consumer Confidence Report thereafter shall contain data collected during, or prior to, the previous calendar year. 
(b) A new community or NTNC water system shall deliver its first Consumer Confidence Report by July 1 of the year after its first full calendar year in operation and subsequent reports by July 1 annually thereafter. 
(c) A community or NTNC water system that sells water to another community or NTNC water system shall deliver the applicable information required in section 64481 to the purchasing system by no later than April 1 of each year or on a date mutually agreed upon by the seller and the purchaser, and specifically included in a contract between the parties. 
NOTE

Authority cited: Sections 116350 and 116375, Health and Safety Code. Reference: Sections 116275 and 116470, Health and Safety Code. 
HISTORY

1. New article 20 (sections 64480-64483) and section filed 4-26-2001; operative 5-26-2001 (Register 2001, No. 17). For prior history of article 9 (sections 64481-64501), see Register 94, No. 48.
§64481. Content of the Consumer Confidence Report.

(a) A Consumer Confidence Report shall contain information on the source of the water delivered, including: 
(1) The type of water delivered by the water system (e.g., surface water, ground water) and the commonly used name (if any) and location of the body (or bodies) of water; and 
(2) If a source water assessment has been completed, notification that the assessment is available, how to obtain it, the date it was completed or last updated, and a brief summary of the system's vulnerability to potential sources of contamination, using language provided by the Department if the Department conducted the assessment. 
(b) For any of the following terms used in the Consumer Confidence Report, the water system shall provide the specified language below: 
(1) Regulatory Action Level: “The concentration of a contaminant which, if exceeded, triggers treatment or other requirements that a water system must follow.” 
(2) Maximum Contaminant Level or MCL: “The highest level of a contaminant that is allowed in drinking water. Primary MCLs are set as close to the PHGs (or MCLGs) as is economically and technologically feasible. Secondary MCLs are set to protect the odor, taste, and appearance of drinking water.” 
(3) Maximum Contaminant Level Goal or MCLG: “The level of a contaminant in drinking water below which there is no known or expected risk to health. MCLGs are set by the U.S. Environmental Protection Agency.” 
(4) Public Health Goal or PHG: “The level of a contaminant in drinking water below which there is no known or expected risk to health. PHGs are set by the California Environmental Protection Agency.” 
(5) Primary Drinking Water Standard or PDWS: “MCLs, MRDLs, and treatment techniques for contaminants that affect health, along with their monitoring and reporting requirements.” 
(6) Treatment technique: “A required process intended to reduce the level of a contaminant in drinking water.” 
(7) Variances and exemptions: “Department permission to exceed an MCL or not comply with a treatment technique under certain conditions.” 
(8) Maximum residual disinfectant level or MRDL: “The highest level of a disinfectant allowed in drinking water. There is convincing evidence that addition of a disinfectant is necessary for control of microbial contaminants.”
(9) Maximum residual disinfectant level goal or MRDLG: “The level of a drinking water disinfectant below which there is no known or expected risk to health. MRDLGs do not reflect the benefits of the use of disinfectants to control microbial contaminants.”
(c) If any of the following are detected, information for each pursuant to subsection (d) shall be included in the Consumer Confidence Report: 
(1) Contaminants subject to an MCL, regulatory action level, MRDL, or treatment technique (regulated contaminants), as specified in sections 64426.1, 64431, 64442, 64443, 64444, 64448, 64449, 64533, 64533.5, 64536, 64536.2, 64653 and 64678; 
(2) Contaminants specified in 40 Code of Federal Regulations part 141.40 (7-1-2007 edition) for which monitoring is required (unregulated contaminants);
(3) Microbial contaminants detected as provided under subsection (e); and 
(4) Sodium and hardness. 
(d) For contaminants identified in subsection (c), the water system shall include in the Consumer Confidence Report one table or several adjacent tables that have been developed pursuant to this subsection. Any additional monitoring results that a water system chooses to include in its Consumer Confidence Report shall be displayed separately. 
(1) The data in the table(s) shall be derived from data collected to comply with U.S. Environmental Protection Agency (USEPA) and Department monitoring and analytical requirements during calendar year 2000 for the first Consumer Confidence Report and subsequent calendar years thereafter. 
Where a system is allowed to monitor for regulated contaminants less often than once a year, the table(s) shall include the date and results of the most recent sampling and the Consumer Confidence Report shall include a brief statement indicating that the data presented in the table(s) are from the most recent testing done in accordance with the regulations. No data older than 9 years need be included. 
(2) For detected regulated contaminants referenced in subsection (c)(1), the table(s) shall include: 
(A) The MCL expressed as a number equal to or greater than 1.0; 
(B) For a primary MCL, the public health goal (PHG) in the same units as the MCL; or if no PHG has been set for the contaminant, the table shall include the USEPA maximum contaminant level goal in the same units as the MCL;
(C) For a detected contaminant that does not have an MCL, the table(s) shall indicate whether there is a treatment technique or specify the regulatory action level or MRDL (and MRDLG) applicable to that contaminant, and the Consumer Confidence Report shall include the appropriate language specified in subsection (b); 
(D) For detected contaminants subject to an MCL, except turbidity and total coliforms, the sample result(s) collected at compliance monitoring sampling points shall be reported in the same units as the MCL as follows: 
1. When compliance is determined by the results of a single sample, an initial sample averaged with one or two confirmation sample(s), or an average of four quarterly or six monthly samples, results shall be reported as follows: 
A. For a single sampling point, or multiple sampling points for which data is being individually listed on the Consumer Confidence Report: the sample result and, if more than one sample was collected, the average and range of the sample results; 
B. For multiple sampling points, each of which has been sampled only once and for which data is being summarized together on the Consumer Confidence Report: the average and range of the sample results. If the waters from the sampling points are entering the distribution system at the same point, a flow-weighted average may be reported; and 
C. For multiple sampling points, one or more of which has been sampled more than once and for which data is being summarized together on the Consumer Confidence Report: the average of the individual sampling point averages and range of all the sample results. If the waters from the sampling points are entering the distribution system at the same point, a flow-weighted average may be reported. 
2. When compliance with the MCL is determined by calculating a running annual average of all samples taken at a monitoring location: 
A. The highest running annual average of the monitoring location and the range of sample results or, if monitoring locations are summarized together for the Consumer Confidence Report, the highest running annual average of any of the monitoring locations and the range of sample results from all the monitoring locations; and 
B. For TTHM and HAA5 monitored pursuant to section 64534.2(d): the highest locational running annual average (LRAA) for TTHM and HAA5 and the range of individual sample results for all monitoring locations. If more than one location exceeds the TTHM or HAA5 MCL, include the LRAA for all locations that exceed the MCL.
3. When compliance with the MCL is determined on a system-wide basis by calculating a running annual average of all monitoring location averages: the highest running annual average and the range of sample results from all the sampling points. The water system shall include individual sample results for the Individual Distribution System Evaluation (IDSE) conducted pursuant to chapter 15.5, section 64530(c), when determining the range of TTHM and HAA5 results to be reported for the calendar year that the IDSE samples were taken;
4. When compliance with the MCL is determined on the basis of monitoring after treatment installed to remove a contaminant: the average level detected in the water entering the distribution system and the range of sample results; and
5. If an MCL compliance determination was made in the year for which sample results are being reported and that determination was based on an average of results from both the previous and reporting years, then the compliance determination average shall be reported, but the range shall be based only on results from the year for which data is being reported. 
(E) For turbidity: 
1. When it is reported pursuant to the requirements of section 64652.5 (filtration avoidance): the highest value; and
2. When it is reported pursuant to section 64653 (filtration): the highest single measurement based on compliance reporting and the lowest monthly percentage of samples meeting the turbidity limits specified in section 64653 for the filtration technology being used; 
(F) For lead and copper: the 90th percentile value of the most recent round of sampling, the number of sites sampled, and the number of sampling sites exceeding the action level;
(G) For total coliform: 
1. The highest monthly number of positive samples for systems collecting fewer than 40 samples per month; or 
2. The highest monthly percentage of positive samples for systems collecting at least 40 samples per month. 
(H) For fecal coliform or E. coli: the total number of positive samples during the year; and
(I) The likely source(s) of detected contaminants for any detected contaminant with an MCL. If the water system lacks specific information on the likely source, the table(s) shall include one or more of the typical sources for that contaminant listed in appendix 64481-A or 64481-B that are most applicable to the system. 
(3) The table(s) shall clearly identify any data indicating violations of MCLs, regulatory action levels, MRDLs, or treatment techniques and the Consumer Confidence Report shall give information on each violation including the length of the violation, potential adverse health effects (PDWS only), and actions taken by the system to address the violation. To describe the potential health effects, the system shall use the relevant language pursuant to appendices 64465-A through H; and
(4) For detected unregulated contaminants for which monitoring is required (except Cryptosporidium), the table(s) shall contain the average and range at which the contaminant was detected. 
(e) If the system has performed any monitoring for Cryptosporidium that indicates that Cryptosporidium may be present in the source water or the finished water, the Consumer Confidence Report shall include a summary of the monitoring results and an explanation of their significance. 
(f) If the system has performed any monitoring for radon that indicates that radon is present in the finished water, the Consumer Confidence Report shall include the monitoring results and an explanation of their significance. 
(g) For the year covered by the report, the Consumer Confidence Report shall note any violations of paragraphs (1) through (7) and give related information, including any potential adverse health effects, and the steps the system has taken to correct the violation. 
(1) Monitoring and reporting of compliance data. 
(2) Filtration, disinfection, and recycled provisions prescribed by sections 64652, 64652.5, 64653, 64653.5(b), or 64654. For systems that have failed to install adequate filtration or disinfection equipment or processes, or have had a failure of such equipment or processes that constitutes a violation, the Consumer Confidence Report shall include the following language as part of the explanation of potential adverse health effects: “Inadequately treated water may contain organisms that can cause illness when consumed. These organisms include bacteria, viruses, and parasites that can cause symptoms such as nausea, cramps, diarrhea, and associated headaches.” 
(3) One or more actions prescribed by the lead and copper requirements in sections 64673, 64674, 64683 through 64686, and 64688. To address potential adverse health effects, the Consumer Confidence Report shall include the applicable language pursuant to appendix 64465-D for lead, copper, or both. 
(4) Treatment technique requirements for Acrylamide and Epichlorohydrin in section 64448; to address potential adverse health effects, the Consumer Confidence Report shall include the relevant language from appendix 64465-H. 
(5) Recordkeeping of compliance data. 
(6) Special monitoring requirements prescribed by section 64449(b)(2) and (g). 
(7) Terms of a variance, an exemption, or an administrative or judicial order. 
(h) If a system is operating under the terms of a variance or an exemption issued under section 116430 or 116425 of the Health and Safety Code, the Consumer Confidence Report shall contain: 
(1) An explanation of the reasons for the variance or exemption; 
(2) The date on which the variance or exemption was issued; 
(3) A brief status report on the steps the system is taking to install treatment, find alternative sources of water, or otherwise comply with the terms and schedules of the variance or exemption; and 
(4) A notice of any opportunity for public input in the review, or renewal, of the variance or exemption. 
(i) A Consumer Confidence Report shall contain the language in paragraphs (1) through (4). 
(1) “The sources of drinking water (both tap water and bottled water) include rivers, lakes, streams, ponds, reservoirs, springs, and wells. As water travels over the surface of the land or through the ground, it dissolves naturally-occurring minerals and, in some cases, radioactive material, and can pick up substances resulting from the presence of animals or from human activity.” 
(2) “Contaminants that may be present in source water include: 
Microbial contaminants, such as viruses and bacteria, that may come from sewage treatment plants, septic systems, agricultural livestock operations, and wildlife. 
Inorganic contaminants, such as salts and metals, that can be naturally-occurring or result from urban stormwater runoff, industrial or domestic wastewater discharges, oil and gas production, mining, or farming. 
Pesticides and herbicides, that may come from a variety of sources such as agriculture, urban stormwater runoff, and residential uses. 
Organic chemical contaminants, including synthetic and volatile organic chemicals, that are by-products of industrial processes and petroleum production, and can also come from gas stations, urban stormwater runoff, agricultural application, and septic systems. 
Radioactive contaminants, that can be naturally-occurring or be the result of oil and gas production and mining activities.” 
(3) “In order to ensure that tap water is safe to drink, the U.S. Environmental Protection Agency (USEPA) and the California Department of Public Health (Department) prescribe regulations that limit the amount of certain contaminants in water provided by public water systems. Department regulations also establish limits for contaminants in bottled water that provide the same protection for public health.” 
(4) “Drinking water, including bottled water, may reasonably be expected to contain at least small amounts of some contaminants. The presence of contaminants does not necessarily indicate that water poses a health risk. More information about contaminants and potential health effects can be obtained by calling the USEPA's Safe Drinking Water Hotline (1-800-426-4791).” 
(j) A Consumer Confidence Report shall prominently display the following language: “Some people may be more vulnerable to contaminants in drinking water than the general population. Immuno-compromised persons such as persons with cancer undergoing chemotherapy, persons who have undergone organ transplants, people with HIV/AIDS or other immune system disorders, some elderly, and infants can be particularly at risk from infections. These people should seek advice about drinking water from their health care providers. USEPA/Centers for Disease Control (CDC) guidelines on appropriate means to lessen the risk of infection by Cryptosporidium and other microbial contaminants are available from the Safe Drinking Water Hotline (1-800-426-4791).” 
(k) A Consumer Confidence Report shall include the telephone number of the owner, operator, or designee of the water system as a source of additional information concerning the report. 
(l) A Consumer Confidence Report shall contain information in Spanish regarding the importance of the report or contain a telephone number or address where Spanish-speaking residents may contact the system to obtain a translated copy of the report or assistance in Spanish. For each non-English speaking group other than Spanish-speaking that exceeds 1,000 residents or 10% of the residents in a community, whichever is less, the Consumer Confidence Report shall contain information in the appropriate language(s) regarding the importance of the report or contain a telephone number or address where such residents may contact the system to obtain a translated copy of the report or assistance in the appropriate language. 
(m) A Consumer Confidence Report shall include information (e.g., time and place of regularly scheduled board meetings) about opportunities for public participation in decisions that may affect the quality of the water. 

Appendix 64481-A.  Typical Origins of Contaminants with  Primary MCLs, MRDLs Regulatory Action Levels,  and Treatment Techniques

	Contaminant 	Major origins in drinking water 

	Microbiological 

Total coliform bacteria 	Naturally present in the environment 

Fecal coliform and E. coli 	Human and animal fecal waste 

Turbidity 	Soil runoff 

	 Surface water treatment

Giardia lamblia	Naturally present in the environment
Viruses
Heterotrophic plate count 
 bacteria
Legionella
Cryptosporidium

	Radioactive 

Gross Beta particle activity 	Decay of natural and man-made deposits 

Strontium-90 	Decay of natural and man-made deposits 

Tritium 	Decay of natural and man-made deposits 

Gross Alpha particle activity 	Erosion of natural deposits 

Combined radium 226/228 	Erosion of natural deposits 

Uranium 	Erosion of natural deposits 

	Inorganic 

Aluminum 	Erosion of natural deposits; residue from some
	surface water treatment processes 

Antimony 	Discharge from petroleum refineries; fire 
	retardants; ceramics; electronics; solder 

Arsenic 	Erosion of natural deposits; runoff from 
	orchards;
	glass and electronics production wastes 

Asbestos 	Internal corrosion of asbestos cement water
	mains; erosion of natural deposits 

Barium 	Discharges of oil drilling wastes and from metal
	refineries; erosion of natural deposits 

Beryllium 	Discharge from metal refineries, coal-burning
	factories, and electrical, aerospace, and defense
	industries 

Cadmium 	Internal corrosion of galvanized pipes; erosion of
	natural deposits; discharge from electroplating
	and industrial chemical factories, and metal 
	refineries; runoff from waste batteries and paints 

Chromium 	Discharge from steel and pulp mills and chrome
	plating; erosion of natural deposits 

Copper 	Internal corrosion of household plumbing 
	systems; erosion of natural deposits; leaching
	from wood preservatives 

	Inorganic 

Cyanide 	Discharge from steel/metal, plastic and fertilizer
	factories 

Fluoride 	Erosion of natural deposits; water additive that
	promotes strong teeth; discharge from fertilizer
	and aluminum factories 

Lead 	Internal corrosion of household water plumbing
	systems; discharges from industrial 
	manufacturers; erosion of natural deposits 

Mercury 	Erosion of natural deposits; discharge from 
	refineries and factories; runoff from landfills and
 	cropland 

Nickel 	Erosion of natural deposits; discharge from metal
	factories 

Nitrate 	Runoff and leaching from fertilizer use; leaching
	from septic tanks and sewage; erosion of natural
	deposits 

Nitrite 	Runoff and leaching from fertilizer use; leaching
	from septic tanks and sewage; erosion of natural
	deposits 

Perchlorate	Perchlorate is an inorganic chemical used in solid
 	rocket propellant, fireworks, explosives, flares,
 	matches, and a variety of industries. It usually
 	gets into drinking water as a result of 
	environmental contamination from historic 
	aerospace or other industrial operations that used
 	or use, store, or dispose of perchlorate and its
	salts.

Selenium 	Discharge from petroleum, glass, and metal 
	refineries; erosion of natural deposits; discharge
	from mines and chemical manufacturers; runoff
	from livestock lots (feed additive) 

	Inorganic 

Thallium 	Leaching from ore-processing sites; discharge
	from electronics, glass, and drug factories 

	Synthetic organic 

2,4-D 	Runoff from herbicide used on row crops, range
	land, lawns, and aquatic weeds 

2,4,5-TP (Silvex) 	Residue of banned herbicide 

Acrylamide 	Added to water during sewage/wastewater 
	treatment 

Alachlor 	Runoff from herbicide used on row crops 

Atrazine 	Runoff from herbicide used on row crops and
	along railroad and highway right-of-ways 

Bentazon 	Runoff/leaching from herbicide used on beans,
	peppers, corn, peanuts, rice, and ornamental
 	grasses 

Benzo(a)pyrene [PAH] 	Leaching from linings of water storage tanks and
	distribution mains 

Carbofuran 	Leaching of soil fumigant used on rice and alfalfa,
	and grape vineyards 

Chlordane 	Residue of banned insecticide 

Dalapon 	Runoff from herbicide used on right-of-ways,
 	and crops and landscape maintenance 

Dibromochloropropane 	Banned nematocide that may still be present in
(DBCP) 	soils due to runoff/leaching from former use on
	soybeans, cotton, vineyards, tomatoes, and tree
	fruit 

Di(2-ethylhexyl) adipate 	Discharge from chemical factories 

Di(2-ethylhexyl) phthalate 	Discharge from rubber and chemical factories; 
	inert ingredient in pesticides 

Dinoseb 	Runoff from herbicide used on soybeans, 
	vegetables, and fruits 

Dioxin [2,3,7,8-TCDD] 	Emissions from waste incineration and other
	combustion; discharge from chemical factories 

Diquat 	Runoff from herbicide use for terrestrial and
	aquatic weeds 

Endothall 	Runoff from herbicide use for terrestrial and
	aquatic weeds; defoliant 

Endrin 	Residue of banned insecticide and rodenticide 

Epichlorohydrin 	Discharge from industrial chemical factories; 
	impurity of some water treatment chemicals 

Ethylene dibromide (EDB) 	Discharge from petroleum refineries; 
	underground gas tank leaks; banned nematocide
	that may still be present in soils due to runoff and
	leaching from grain and fruit crops 

Glyphosate 	Runoff from herbicide use 

Heptachlor 	Residue of banned insecticide 

Heptachlor epoxide 	Breakdown of heptachlor 

Hexachlorobenzene 	Discharge from metal refineries and agricultural
	chemical factories; byproduct of chlorination
	reactions in wastewater 

Hexachlorocyclo-pentadiene 	Discharge from chemical factories 

Lindane 	Runoff/leaching from insecticide used on cattle,
	lumber, and gardens 

	Synthetic organic 

Methoxychlor 	Runoff/leaching from insecticide used on fruits,
	vegetables, alfalfa, and livestock 

Molinate [Ordram] 	Runoff/leaching from herbicide used on rice 

Oxamyl [Vydate] 	Runoff/leaching from insecticide used on field
	crops, fruits and ornamentals, especially apples,
	potatoes, and tomatoes 

Pentachlorophenol 	Discharge from wood preserving factories, 
	cotton and other insecticidal/herbicidal uses 

Picloram 	Herbicide runoff 

Polychlorinated biphenyls 	Runoff from landfills; discharge of waste 
[PCBs] 	chemicals 

Simazine 	Herbicide runoff 

Thiobencarb 	Runoff/leaching from herbicide used on rice 

Toxaphene 	Runoff/leaching from insecticide used on cotton
	and cattle 

	Volatile organic 

Benzene 	Discharge from plastics, dyes and nylon factories;
	leaching from gas storage tanks and landfills 

Carbon tetrachloride 	Discharge from chemical plants and other 
	industrial activities 

1,2-Dichlorobenzene 	Discharge from industrial chemical factories 

1,4-Dichlorobenzene 	Discharge from industrial chemical factories 

1,1-Dichloroethane 	Extraction and degreasing solvent; used in
	manufacture of pharmaceuticals, stone, clay and
	glass products; fumigant 

1,2-Dichloroethane 	Discharge from industrial chemical factories 

1,1-Dichloroethylene 	Discharge from industrial chemical factories cis-1,2-Dichloroethylene 	Discharge from industrial chemical factories; 
	major biodegradation byproduct of TCE and PCE
	groundwater contamination 

trans-1,2-Dichloroethylene 	Discharge from industrial chemical factories; 
	minor biodegradation byproduct of TCE and PCE
	groundwater contamination 

Dichloromethane 	Discharge from pharmaceutical and chemical 
	factories; insecticide 

1,2-Dichloropropane 	Discharge from industrial chemical factories; 
	primary component of some fumigants 

1,3-Dichloropropene 	Runoff/leaching from nematocide used on 
	croplands 

Ethylbenzene 	Discharge from petroleum refineries; industrial
 	chemical factories 

Methyl-tert-butyl ether	Leaking underground storage tanks; discharge
(MTBE)	from petroleum and chemical factories

Monochlorobenzene 	Discharge from industrial and agricultural 
	chemical factories and drycleaning facilities 

Styrene 	Discharge from rubber and plastic factories;
	leaching from landfills 

1,1,2,2-Tetrachloroethane 	Discharge from industrial and agricultural 
	chemical factories; solvent used in production of
	TCE, pesticides, varnish and lacquers 

Tetrachloroethylene (PCE) 	Discharge from factories, dry cleaners, and auto
	shops (metal degreaser) 

1,2,4-Trichlorobenzene 	Discharge from textile-finishing factories 

1,1,1-Trichloroethane 	Discharge from metal degreasing sites and other
	factories; manufacture of food wrappings 

1,1,2-Trichloroethane 	Discharge from industrial chemical factories 

Trichloroethylene (TCE) 	Discharge from metal degreasing sites and other
 	factories 

Toluene 	Discharge from petroleum and chemical 
	factories; underground gas tank leaks 

Trichlorofluoromethane 	Discharge from industrial factories; degreasing
	solvent; propellant and refrigerant 

1,1,2-Trichloro-1,2,2-	Discharge from metal degreasing sites and other
Trifluoroethane	 factories; drycleaning solvent; refrigerant 

Vinyl chloride 	Leaching from PVC piping; discharge from 
	plastics factories; biodegradation byproduct of
 	TCE and PCE groundwater contamination 

Xylenes 	Discharge from petroleum and chemical 
	factories; fuel solvent 

Disinfection Byproducts, Disinfection Byproduct Precursors, and Disinfectant 
Residuals

Total trihalomethanes 	Byproduct of drinking water disinfection
(TTHM)

Haloacetic acids (five)	Byproduct of drinking water disinfection
(HAA5)

Bromate	Byproduct of drinking water disinfection
Chloramines	Drinking water disinfectant added for treatment

Chlorine	Drinking water disinfectant added for treatment

Chlorite	Byproduct of drinking water disinfection

Chlorine dioxide	Drinking water disinfectant added for treatment

Control of disinfection 	Various natural and manmade sources
byproduct precursors 
(Total Organic Carbon)

Appendix 64481-B.  Typical Origins of Contaminants with Secondary MCLs

	Contaminant 	Major origins in drinking water 

Aluminum 	Erosion of natural deposits; residual from some
 	surface water treatment processes 

Color 	Naturally-occurring organic materials 

Copper	Internal corrosion of household plumbing 
	systems; erosion of natural deposits; leaching
	from wood preservatives

Foaming Agents (MBAS) 	Municipal and industrial waste discharges 

Iron 	Leaching from natural deposits; industrial wastes 

Manganese 	Leaching from natural deposits 

Methyl-tert-butyl ether 	Leaking underground storage tanks; discharge
(MTBE) 	from petroleum and chemical factories 

Odor--Threshold 	Naturally-occurring organic materials 

Silver 	Industrial discharges 

Thiobencarb 	Runoff/leaching from rice herbicide 

Turbidity 	Soil runoff 

Zinc 	Runoff/leaching from natural deposits; industrial
	wastes 

Total dissolved solids 	Runoff/leaching from natural deposits 

Specific conductance 	Substances that form ions when in water; 
	seawater influence 

Chloride 	Runoff/leaching from natural deposits; seawater
 	influence 

Sulfate 	Runoff/leaching from natural deposits; industrial
	wastes 
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116470, Health and Safety Code. 
HISTORY

1. New section and appendices A-G filed 4-26-2001; operative 5-26-2001 (Register 2001, No. 17). For prior history, see Register 94, No. 48.
2. Amendment of subsections (c)(2)-(3), (d)(1)(B), (d)(3), (e), (g)(3)-(4) and appendix A and repealer of appendices C-G filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
3. Amendment of Appendix 64481-A and amendment of Note filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
4. Amendment of section, Appendix 64481-A (including heading), Appendix 64481-B and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64482. Required Additional Health Information.
Note     •     History

(a) A system that detects arsenic at levels above 0.005 mg/L, but below or equal to the MCL, shall include the following in its Consumer Confidence Report: “While your drinking water meets the federal and state standard for arsenic, it does contain low levels of arsenic. The arsenic standard balances the current understanding of arsenic's possible health effects against the costs of removing arsenic from drinking water. The U.S. Environmental Protection Agency continues to research the health effects of low levels of arsenic, which is a mineral known to cause cancer in humans at high concentrations and is linked to other health effects such as skin damage and circulatory problems.”
(b) A system that detects nitrate at levels above 23 mg/L (as nitrate), but below the MCL, shall include the following in its Consumer Confidence Report: “Nitrate in drinking water at levels above 45 mg/L is a health risk for infants of less than six months of age. Such nitrate levels in drinking water can interfere with the capacity of the infant's blood to carry oxygen, resulting in a serious illness; symptoms include shortness of breath and blueness of the skin. Nitrate levels above 45 mg/L may also affect the ability of the blood to carry oxygen in other individuals, such as pregnant women and those with certain specific enzyme deficiencies. If you are caring for an infant, or you are pregnant, you should ask advice from your health care provider.” If a system cannot demonstrate to the Department with at least five years of the most current monitoring data that its nitrate levels are stable, it shall also add the following language to the preceding statement on nitrate: “Nitrate levels may rise quickly for short periods of time because of rainfall or agricultural activity.” 
(c) A system that detects lead above the action level in more than 5%, and up to and including 10%, of sites sampled, shall include the following in its Consumer Confidence Report: “Infants and young children are typically more vulnerable to lead in drinking water than the general population. It is possible that lead levels at your home may be higher than at other homes in the community as a result of materials used in your home's plumbing. If you are concerned about elevated lead levels in your home's water, you may wish to have your water tested and/or flush your tap for 30 seconds to 2 minutes before using tap water. Additional information is available from the USEPA Safe Drinking Water Hotline (1-800-426-4791).” 
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116470, 131050 and 131051, Health and Safety Code. 
HISTORY

1. New section filed 4-26-2001; operative 5-26-2001 (Register 2001, No. 17).
2. Amendment of subsection (d) filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
3. Amendment of subsections (a)-(b), repealer of subsection (d) and amendment of Note filed 10-29-2008; operative 11-28-2008 (Register 2008, No. 44).
§64483. Consumer Confidence Report Delivery and Recordkeeping.
Note     •     History

(a) Each water system shall mail or directly deliver one copy of the Consumer Confidence Report to each customer. 
(b) The system shall make a good faith effort to reach consumers who are served by the water system but are not bill-paying customers, such as renters or workers, using a mix of methods appropriate to the particular system such as: Posting the Consumer Confidence Reports on the Internet; mailing to postal patrons in metropolitan areas; advertising the availability of the Consumer Confidence Report in the news media; publication in a local newspaper; posting in public places such as cafeterias or lunch rooms of public buildings; delivery of multiple copies for distribution by single-biller customers such as apartment buildings or large private employers; and delivery to community organizations. 
(c) No later than the date the water system is required to distribute the Consumer Confidence Report to its customers, each water system shall mail a copy of the report to the Department, followed within 3 months by a certification that the report has been distributed to customers, and that the information is correct and consistent with the compliance monitoring data previously submitted to the Department. 
(d) No later than the date the water system is required to distribute the Consumer Confidence Report to its customers, each privately-owned water system shall mail a copy of the report to the California Public Utilities Commission. 
(e) Each water system shall make its Consumer Confidence Report available to the public upon request. 
(f) Each water system serving 100,000 or more persons shall post its current year's Consumer Confidence Report on a publicly-accessible site on the Internet. 
(g) Each water system shall retain copies of its Consumer Confidence Reports for no less than 3 years. 
NOTE

Authority cited: Sections 116350 and 116375, Health and Safety Code. Reference: Sections 116275 and 116470, Health and Safety Code. 
HISTORY

1. New section filed 4-26-2001; operative 5-26-2001 (Register 2001, No. 17). For prior history, see Register 94, No. 48.
2. Amendment of subsection (g) filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
Chapter 15.5. Disinfectant Residuals, Disinfection Byproducts, and Disinfection Byproduct Precursors
Article 1. General Requirements and Definitions
§64530. Applicability of this Chapter.
Note     •     History

(a) Community water systems and nontransient noncommunity water systems that treat their water with a chemical disinfectant in any part of the treatment process or which provide water that contains a chemical disinfectant shall comply with the requirements of this chapter beginning on the dates specified in paragraphs (1) or (2), except as provided for in subsections (c) and (d). 
(1) Systems using approved surface water and serving 10,000 or more persons shall comply beginning January 1, 2002. 
(2) Systems using approved surface water and serving fewer than 10,000 persons and systems using only ground water not under the direct influence of surface water shall comply beginning January 1, 2004. 
(b) Transient noncommunity water systems using chlorine dioxide shall comply with the requirements for chlorine dioxide in this chapter beginning on the dates specified in paragraphs (1) or (2). 
(1) Systems using approved surface water and serving 10,000 or more persons shall comply beginning January 1, 2002. 
(2) Systems using approved surface water and serving fewer than 10,000 persons and systems using only ground water not under the direct influence of surface water shall comply beginning January 1, 2004. 
(c) Community water systems, and nontransient noncommunity water systems serving at least 10,000 persons, using a primary or residual disinfectant other than ultraviolet light or delivering water that has been treated with a primary or residual disinfectant other than ultraviolet light shall comply with the Individual Distribution System Evaluation (IDSE) requirements of 40 Code of Federal Regulations, parts 141.600 and either 141.601 and 141.605, 141.602 and 141.605, 141.603, or 141.604 (71 Fed. Reg. 483 (January 4, 2006); as amended at 74 Fed. Reg. 30958 (June 29, 2009)), which are incorporated by reference.
(d) Community water systems and nontransient noncommunity water systems using a primary or residual disinfectant other than ultraviolet light or delivering water that has been treated with a primary or residual disinfectant other than ultraviolet light shall:
(1) Comply with the applicable TTHM and HAA5 compliance date in table 64530-A;

Table 64530-A
TTHM and HAA5 Compliance Dates

		Shall comply with TTHM 
		and HAA5 monitoring 
		pursuant to section 
Systems of this type . . .		64534.2(d) by . . .

(a)  Systems that are not 	(1) >100,000	April 1, 2012
part of a combined 
distribution system 	(2) 50,000 -	October 1, 2012
and systems that 	 99,999
serve the largest 
population in the 	(3) 10,000 -	October 1, 2013
combined distribution 	49,999	
system and serving a 	 
population of . . .	(4)  <10,000	October 1, 2013, if no 
		Cryptosporidium monitoring is 
		required pursuant to 40 Code of 
		Federal Regulations part 
		141.701(a)(4) (71 Fed. Reg. 770 
		(January 5, 2006)), which is 
		incorporated by reference; or 

		October 1, 2014, if 
		Cryptosporidium monitoring is 
		required pursuant to 40 Code of 
		Federal Regulations part 
		141.701(a)(4) or (a)(6) (71 Fed. 
		Reg. 770 (January 5, 2006)), which
		are incorporated by reference.
				(b)  Other consecutive or 		At the same time as the system with
wholesale systems that 		the earliest compliance date in the
are part of a combined 		combined distribution system.
distribution system
(2) Systems required to conduct quarterly monitoring for TTHM and HAA5 pursuant to section 64534.2(d) shall:
(A) Begin monitoring in the first full calendar quarter that includes the compliance date in table 64530-A; and
(B) Make compliance calculations at the end of the fourth calendar quarter that follows the compliance date in table 64530-A and at the end of each subsequent quarter (or earlier if the LRAA calculated based on fewer than four quarters of data would cause the MCL to be exceeded regardless of the monitoring results of subsequent quarters).
(3) Systems required to conduct monitoring at a frequency that is less than quarterly shall:
(A) No later than 12 months after the compliance date in table 64530-A, begin monitoring in the calendar month recommended in the IDSE report prepared pursuant to section 64530(c) or the calendar month identified in the monitoring plan developed pursuant to section 64534.8; and
(B) Make compliance calculations beginning with the first compliance sample taken after the compliance date in table 64530-A.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Section 116350, Health and Safety Code. 
HISTORY

1. New chapter 15.5 (articles 1-6, sections 64530-64537.6), article 1 (sections 64530-64531) and section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of subsection (a), new subsections (c)-(d)(3)(B) and amendment of Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64531. Definitions Governing Terms Used in this Chapter.
Note     •     History

The definitions in sections 64400 through 64402.30 of chapter 15 and sections 64651.10 through 64651.93 of chapter 17 shall govern the interpretation of terms used in this chapter. 
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116275 and 116350, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
Article 2. Maximum Contaminant Levels for Disinfection Byproducts and Maximum Residual Disinfectant Levels
§64533. Maximum Contaminant Levels for Disinfection Byproducts.
Note     •     History

(a) Using the monitoring and calculation methods specified in sections 64534, 64534.2, 64535, and 64535.2, the primary MCLs for the disinfection byproducts shown in table 64533-A shall not be exceeded in drinking water supplied to the public. 

Table 64533-A
Maximum Contaminant Levels and Detection Limits for Purposes of Reporting Disinfection Byproducts 

	Maximum	Detection Limit for
	Contaminant	Purposes of Reporting
Disinfection Byproduct	Level ( mg/L)	(mg/L)

Total trihalomethanes (TTHM) 	0.080
 Bromodichloromethane		0.0010
 Bromoform		0.0010
 Chloroform		0.0010
 Dibromochloromethane		0.0010
Haloacetic acids (five) (HAA5)	0.060
 Monochloroacetic Acid		0.0020
 Dichloroacetic Acid		0.0010
 Trichloroacetic Acid		0.0010
 Monobromoacetic Acid		0.0010
 Dibromoacetic Acid		0.0010
Bromate 	0.010	0.0050
		0.00101
Chlorite	1.0	0.020
1For analysis performed using EPA Method 317.0 Revision 2.0, 321.8, or 326.0
(b) A system installing GAC, membranes, or other technology to limit disinfectant byproducts to comply with this section may apply to the Department for an extension up to December 31, 2003. Applications for extensions shall include the results of disinfection byproduct monitoring, a description of the technology being installed and how it is expected to affect future disinfection byproduct levels, and a proposed schedule for compliance. If granted an extension, a system shall meet the schedule and interim treatment and monitoring requirements established by the Department. 
(c) The best technology, treatment techniques, or other means available for achieving compliance with the maximum contaminant levels for disinfection byproducts are identified in table 64533-B. 

Table 64533-B 
Best Available Technology 
Disinfection Byproducts 

	Disinfection Byproduct	Best Available Technology
	TTHM and HAA5	Enhanced coagulation or enhanced 
		softening or GAC10, with chlorine as the
	 	primary and residual disinfectant1
	
		For all systems that disinfect their source 
		water:  
		(1)  Enhanced coagulation or enhanced 
		softening, plus GAC10; 
		(2)  Nanofiltration with a molecular weight
		cutoff <UN->1000 Daltons; or 
		(3)  GAC202
	
		For consecutive systems and applies only to
		the disinfected water that consecutive 
		systems buy or otherwise receive:2
		(1)  Systems serving >10,000 persons:  
		improved distribution system and storage
		tank management to reduce residence time, 	plus the use of chloramines for disinfectant			residual maintenance; and
		(2)  Systems serving <10,000 persons:  
		improved distribution system and storage 
		tank management to reduce residence time
	
	Bromate	Control of ozone treatment process to reduce
	 	production of bromate 
	Chlorite	Control of treatment processes to reduce 
		disinfectant demand and control of 
		disinfection treatment processes to reduce
	 	disinfectant levels  
	
	1 When using the monitoring and calculation methods specified in 
	sections 64534, 64534.2(a), 64535, and 64535.2(a) and (b).
	2 When using the monitoring and calculation methods specified in 
	sections 64534, 64534.2(d), 64535, and 64535.2(a) and (e).
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116365 and 116370, Health and Safety Code. 
HISTORY

1. New article 2 (sections 64533-64533.5) and section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of Tables 64533-A and 64533-B and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64533.5. Maximum Residual Disinfectant Levels.
Note     •     History

(a) Using the monitoring and calculation methods specified in sections 64534, 64534.4, 64535, and 64535.4, the MRDLs for the disinfectants shown in table 64533.5-A shall not be exceeded in drinking water supplied to the public. 

Table 64533.5-A 
Maximum Residual Disinfectant Level 

	Disinfectant Residual 	MRDL (mg/L)
	
	Chlorine	4.0 (as Cl2)
	Chloramines	4.0 (as Cl2)
	Chlorine dioxide	0.8 (as ClO2) 
(b) Notwithstanding subsection (a), systems may increase residual disinfectant levels of chlorine or chloramines (but not chlorine dioxide) in the distribution system in excess of the levels specified in table 64533.5-A in order to protect public health, to address specific microbiological contamination problems caused by circumstances such as, but not limited to, distribution line breaks, storm run-off events, source water contamination events, natural disasters, or cross-connection events. In such circumstances, systems shall immediately notify the Department of the source and cause of contamination, the levels of residual disinfectant, other actions being taken to correct the problem, and the expected duration of the exceedance. 
(c) The best technologies, treatment techniques, or other means available for achieving compliance with the maximum residual disinfectant levels in this section are control of treatment processes to reduce disinfectant demand and control of disinfection treatment processes to reduce disinfectant levels. 
NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116350, 116365 and 116370, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
Article 3. Monitoring Requirements
§64534. General Monitoring Requirements.
Note     •     History

(a) Except as provided in subsection (b), analyses required pursuant to this chapter shall be performed by laboratories certified by the Department to perform such analyses pursuant to Article 3, commencing with section 100825, of Chapter 4 of Part 1 of Division 101, Health and Safety Code. Unless otherwise directed by the Department, analyses shall be made in accordance with EPA approved methods as prescribed in 40 Code of Federal Regulations, part 141.131 (63 Fed. Reg. 69466 (December 16, 1998), as amended at 66 Fed. Reg. 3776 (January 16, 2001), 71 Fed. Reg. 479 (January 4, 2006), 71 Fed. Reg. 37168 (June 29, 2006), and 74 Fed. Reg. 30958 (June 29, 2009)), which are incorporated by reference. 
(b) Sample collection, and field tests including pH, alkalinity, and chlorine, chloramines, and chlorine dioxide residual disinfectants, shall be performed by personnel trained to perform such sample collections and/or tests by: 
(1) The Department;
(2) A laboratory certified pursuant to subsection (a); or
(3) An operator, certified by the Department pursuant to section 106875(a) or (b) of the Health and Safety Code and trained by an entity in paragraph (1) or (2) to perform such sample collections and/or tests.
(c) Systems shall take all samples during normal operating conditions, which exclude those circumstances covered under section 64533.5(b). 
(d) A system may apply to the Department for approval to consider multiple wells drawing water from a single aquifer as one treatment plant for determining the minimum number of TTHM and HAA5 samples required required under section 64534.2(a). In order to qualify for this reduction in monitoring requirements a system shall demonstrate to the Department that the multiple wells produce water from the same aquifer. To make this demonstration, a system shall submit information to the Department regarding the location, depth, construction, and geologic features of each well, and water quality information for each well. The Department will use this information to determine whether the wells produce water from a single aquifer. 
(e) Systems shall use only data collected under the provisions of this chapter to qualify for reduced monitoring pursuant to this article. 
(f) Systems that fail to monitor shall be in violation of the monitoring requirements for the entire monitoring period that a monitoring result would be used in calculating compliance with MCLs or MRDLs, and shall notify the public pursuant to sections 64463, 64463.7, and 64465, in addition to reporting to the Department pursuant to sections 64537 through 64537.6.
(g) Systems that fail to monitor in accordance with the monitoring plan required by section 64534.8 shall be in violation of the monitoring requirements, and shall notify the public pursuant to sections 64463, 64463.7, and 64465, in addition to reporting to the Department pursuant to sections 64537 through 64537.6.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116385 and 116555, Health and Safety Code.
HISTORY

1. New article 3 (sections 64534-64534.8) and section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64534.2. Disinfection Byproducts Monitoring.
Note     •     History

(a) Community and nontransient noncommunity water systems shall monitor for TTHM and HAA5 at the frequencies and locations indicated in table 64534.2-A. 

Table 64534.2-A 
Routine and Increased Monitoring Frequency for TTHM and HAA5 

			 	COLUMN D 
			COLUMN C	Sample location in the 
	COLUMN A	COLUMN B	Minimum monitoring	distribution system & increased 
	Type of System	Persons served	frequency	monitoring frequencies 

Systems using approved 	>10,000	Four samples per quarter 	At least 25 percent of all samples 
surface water 			per treatment plant	collected each quarter at locations
 				representing maximum residence
 				time. Remaining samples taken at
 				locations representative of at least 
				average residence time in the 
				distribution system and representing
 				the entire distribution system, taking
				into account number of persons
 				served, different sources of water,
 				and different treatment 
				methods1.

		500-9,999	One sample per quarter per	Locations representing maximum
			treatment plant	 residence time1. 

		<500	One sample per year per 	Locations representing maximum 
			treatment plant during month 	residence time1. If the sample (or 
			of warmest water temperature	average of annual samples, if more
 				than one sample is taken) exceeds
 				MCL, system shall increase 
				monitoring to one sample per 
				treatment plant per quarter, taken at
 				a point reflecting the maximum 
				residence time in the distribution 
				system, until system meets reduced
				monitoring criteria in paragraph (3)
 				of this subsection.

Systems using only ground 	>10,000	One sample per quarter	Locations representing maximum 
water not under direct		per treatment plant	residence time1.
influence of surface water 		
and using chemical disinfectant  
		<10,000	One sample per year per 	Locations representing maximum 
			treatment plant during month 	residence time1. If the sample (or 
			of warmest water temperature	average of annual samples, if more
 				than one sample is taken) exceeds
 				MCL, system shall increase 
				monitoring to one sample per 
				treatment plant per quarter, taken at
 				a point reflecting the maximum 
				residence time in the distribution 
				system, until system meets reduced
				monitoring criteria in paragraph (3)
 				of this subsection.

1If a system elects to sample more frequently than the minimum required, at least 25 percent of all samples collected each quarter (including those taken in excess of the required frequency) shall be taken at locations that represent the maximum residence time of the water in the distribution system. The remaining samples shall be taken at locations representative of at least average residence time in the distribution system.
(1) Systems may apply to the Department to monitor at a reduced frequency in accordance with table 64534.2-B. The application shall include the results of all TOC, TTHM, and HAA5 monitoring conducted in the previous 12 months and the proposed revised monitoring plan as required by section 64534.8. The Department will evaluate data submitted with the application to determine whether or not the system is eligible for the reduced monitoring specified in table 64534.2-B; 

Table 64534.2-B 
Reduced Monitoring Frequency for TTHM and HAA5 

		the system may reduce monitoring 
		if it has monitored at least one 
If the system is a(n) ... 	serving...	year and... 	to this level

Approved surface water 	>10,000	TTHM1 <UN->0.040 mg/L and 	One sample per treatment plant per
system which has a		HAA51 <UN->0.030 mg/L	quarter at distribution system location 
source water TOC1 level, 			reflecting maximum residence time.
before any treatment, 
<UN-> 4.0 mg/L 

	500-9,999	TTHM1 <UN->0.040 mg/L and 	One sample per treatment plant per year at 
		HAA51 <UN->0.030 mg/L	distribution system location reflecting 
			maximum residence time during month of
 			warmest water temperature. 

System using only ground 	>10,000	TTHM1 <UN->0.040 mg/L and 	One sample per treatment plant per year at
water not under direct 		HAA51 <UN->0.030 mg/L 	distribution system location reflecting 
influence of surface water 			maximum residence time during month of 
and using chemical			warmest water temperature.
disinfectant 
	<10,000	TTHM1 <UN->0.040 mg/L and 	One sample per treatment plant per three-year
		HAA51 <UN->0.030 mg/L for	monitoring cycle at distribution system
		two consecutive years	location reflecting maximum residence time
 		OR	during month of warmest water temperature,
		TTHM1 <UN->0.020 mg/L and 	with the three-year cycle beginning on 
		HAA51 <UN->0.015 mg/L for	January 1 following the quarter in which 
		one year	system qualifies for reduced monitoring.

1 TOC, TTHM, and HAA5 values based on annual averages.
(2) Systems on reduced monitoring shall resume monitoring at the frequency specified in column C of table 64534.2-A in the quarter immediately following the quarter in which the system exceeds 0.060 mg/L for the TTHM annual average, 0.045 mg/L for the HAA5 annual average, or 4 mg/L for the source water TOC annual average. For systems using only ground water not under the direct influence of surface water and serving fewer than 10,000 persons or for systems using approved surface water and serving fewer than 500 persons, if either the TTHM annual average is >0.080 mg/L or the HAA5 annual average is >0.060 mg/L, the system shall go to increased monitoring identified in column D of table 64534.2-A in the quarter immediately following the quarter in which the system exceeds 0.080 mg/L or 0.060 mg/L for the TTHM and HAA5 annual averages, respectively; and 
(3) Systems on increased monitoring pursuant to column D of table 64534.2-A may return to routine monitoring specified in column C of table 64534.2-A if, after at least one year of monitoring, TTHM annual average is <UN->0.060 mg/L and HAA5 annual average is <UN->0.045 mg/L. 
(b) Community and nontransient noncommunity water systems using chlorine dioxide shall conduct monitoring for chlorite as follows: 
(1) Systems shall take daily samples at the entrance to the distribution system and analyze the samples the same day the samples are taken. For any daily sample that exceeds the chlorite MCL, the system shall take three additional chlorite distribution system samples the following day (in addition to the daily sample required at the entrance to the distribution system) at these locations: as close to the first customer as possible, at a location representative of average residence time, and at a location reflecting maximum residence time in the distribution system. The system shall analyze the additional samples within 48 hours of being notified pursuant to section 64537(b) of the exceedance;
(2) Systems shall take a three-sample set each month in the distribution system. The system shall take one sample at each of the following locations: as close to the first customer as possible, at a location representative of average residence time, and at a location reflecting maximum residence time in the distribution system. Any additional routine sampling shall be conducted in the same manner (as three-sample sets, at the specified locations). The system may use the results of additional monitoring conducted under paragraph (1) to meet the monitoring requirement in this paragraph; 
(3) Systems may apply to the Department to reduce monthly chlorite monitoring in the distribution system pursuant to paragraph (2) to one three-sample set per quarter after one year of monitoring during which no individual chlorite sample taken in the distribution system has exceeded the chlorite MCL and the system has not been required to conduct additional monitoring under paragraph (1). The application shall include the results of all chlorite monitoring conducted in the previous 12 months and the proposed revised monitoring plan as required by section 64534.8. The Department will evaluate data submitted with the application and determine whether or not the system is eligible to reduce monitoring to one three-sample set per quarter. The system may remain on the reduced monitoring schedule until either any of the three individual chlorite samples taken quarterly in the distribution system under paragraph (2) exceeds the chlorite MCL or the system is required to conduct additional monitoring under paragraph (1), at which time the system shall revert to routine monitoring; and
(4) If a distribution system sample taken pursuant to paragraph (2) exceeds the chlorite MCL, the system shall take and analyze a confirmation sample within 48 hours of being notified pursuant to section 64537(c) of the exceedance. If the system fails to take a confirmation sample pursuant to this paragraph, it shall take and analyze a confirmation sample within two weeks of notification of the results of the first sample.
(c) Community and nontransient noncommunity systems using ozone shall monitor for bromate as follows: 
(1) Systems shall take one sample per month for each treatment plant in the system using ozone. Samples shall be taken at the entrance to the distribution system while the ozonation system is operating under normal conditions; 
(2) Systems may reduce bromate monitoring from monthly to once per quarter, if the system's running annual average bromate concentration is <UN->0.0025 mg/L based on monthly bromate measurements under paragraph (1) for the most recent four quarters, with samples analyzed using Method 317.0 Revision 2.0, 321.8, or 326.0. The system shall notify the Department in writing within 30 days of the change in monitoring frequency. The system shall continue monthly bromide monitoring of the source water to remain on reduced bromate monitoring; and 
(3) Systems shall resume routine bromate monitoring pursuant to paragraph (1) and notify the Department in writing within 30 days of the change in monitoring frequency if:
(A) The running annual average bromate concentration, computed quarterly, is greater than 0.0025 mg/L; or
(B) The running annual average source water bromide concentration, computed quarterly, is equal to or greater than 0.05 mg/L based upon representative monthly measurements.
(d) By the applicable date specified in section 64530(d), and in lieu of TTHM and HAA5 monitoring in subsection (a):
(1) Community and nontransient noncommunity water systems shall monitor for TTHM and HAA5 at the frequencies and location totals indicated in table 64534.2-C and in accordance with the monitoring plan developed pursuant to section 64534.8;

Table 64534.2-C 
Routine Monitoring Frequency for TTHM and HAA5

		                                                  Minimum monitoring frequency1
		
		Number of distribution system monitoring
Source water type	Persons served	locations	Monitoring period2

Systems using approved 
surface water	>5,000,000	20 dual sample sets 	per quarter

	1,000,000 - 4,999,999	16 dual sample sets	per quarter

	250,000 - 999,999	12 dual sample sets	per quarter

	50,000 - 249,999	8 dual sample sets	per quarter

	10,000 - 49,999	4 dual sample sets	per quarter

	3,301 - 9,999	2 dual sample sets	per quarter

	500 - 3,300	1 TTHM and 1 HAA5 sample: 	per quarter
		one at the location with the highest 
		TTHM measurement, one at the location 
		with the highest HAA5 measurement

	<500	1 TTHM and 1 HAA5 sample: one at the 	per year
		location with the highest TTHM  measurement, 
		one at the location with the highest HAA5 
		measurement3 

Systems using ground 	>500,000	8 dual sample sets	per quarter
water not under direct 
influence of surface water
	100,000 - 499,999	6 dual sample sets	per quarter

	10,000 - 99,999	4 dual sample sets	per quarter

	500 - 9,999	2 dual sample sets	per year

	<500	1 TTHM and 1 HAA5 sample: one at the 	per year
		location with the highest TTHM measurement, 
		one at the location with the highest HAA5 
		measurement3

1  All systems shall monitor during the month of highest disinfection byproduct concentrations.
2  Systems on quarterly monitoring shall take dual sample sets every 90 days at each monitoring location, 
except for systems using approved surface water and serving 500 - 3,300 persons.
3  Only one location with a dual sample set per monitoring period is needed if highest TTHM and HAA5 
concentrations occur at the same location and month.
(2) Undisinfected systems that begin using a disinfectant other than UV light after the applicable dates in 40 Code of Federal Regulations, part 141.600 (71 Fed. Reg. 483, January 4, 2006), which is incorporated by reference, shall consult with the Department to identify compliance monitoring locations for this subsection. Systems shall then develop a monitoring plan in accordance with section 64534.8 that includes those monitoring locations;
(3) Systems may apply to the Department to monitor at a reduced frequency in accordance with table 64534.2-D, any time the LRAA is <UN->0.040 mg/L for TTHM and <UN->0.030 mg/L for HAA5 at all monitoring locations. In addition, the source water annual average TOC level, before any treatment shall be <UN->4.0 mg/L at each treatment plant treating approved surface water, based on source water TOC monitoring conducted pursuant to section 64534.6. The application shall include the results of all TOC, TTHM, and HAA5 monitoring conducted in the previous 12 months and the proposed revised monitoring plan as required by section 64534.8. The Department will evaluate data submitted with the application to determine whether or not the system is eligible for the reduced monitoring specified in table 64534.2-D;

Table 64534.2-D
Reduced Monitoring Frequency for TTHM and HAA5

		                                           Minimum monitoring frequency
		
		Number of distribution system monitoring
Source water type	Persons served	locations	Monitoring period1

Systems using approved 	>5,000,000	10 dual sample sets: at the locations with the 	per quarter
surface water		five highest TTHM and five highest HAA5 LRAAs

	1,000,000 - 4,999,999	8 dual sample sets: at the locations with the 	per quarter
		four highest TTHM and four highest HAA5 LRAAs	

	250,000 - 999,999	6 dual sample sets: at the locations with the 	per quarter
		three highest TTHM and three highest HAA5 LRAAs

	50,000 - 249,999	4 dual sample sets: at the locations with the two	per quarter 
		highest TTHM and two highest HAA5 LRAAs

	10,000 - 49,999	2 dual sample sets: at the locations with the 	per quarter
		highest TTHM and highest HAA5 LRAAs

	3,301 - 9,999	2 dual sample sets: one at the location and during	per year 
		the quarter with the highest TTHM single 
		measurement, one at the location and during the 
		quarter with the highest HAA5 single measurement

	500 - 3,300	1 TTHM and 1 HAA5 sample:  one at the location 	per year
		and during the quarter with the highest TTHM single 
		measurement, one at the location and during the quarter 
		with the highest HAA5 single measurement; 1 dual 
		sample set per year if the highest TTHM and HAA5 
		measurements occurred at the same location and quarter

Systems using only ground 	>500,000	4 dual sample sets: at the locations with the two	per quarter
water not under direct 		highest TTHM and two highest HAA5 LRAAs
influence of surface water

	100,000 - 499,999	2 dual sample sets: at the locations with the highest 	per quarter
		TTHM and highest HAA5 LRAAs

	10,000 - 99,999	2 dual sample sets: one at the location and during the 	per year
		quarter with the highest TTHM single measurement, one 
		at the location and during the quarter with the highest 
		HAA5 single measurement
		
	500 - 9,999	1 TTHM and 1 HAA5 sample:  one at the location and 	per year
		during the quarter with the highest TTHM single 
		measurement, one at the location and during the quarter 
		with the highest HAA5 single measurement; 1 dual sample 
		set per year if the highest TTHM and HAA5 measurements 
		occurred at the same location and quarter

	<500	1 TTHM and 1 HAA5 sample:  one at the location 	every third year
		and duringthe quarter with the highest TTHM single 
		measurement, one at the location and during the quarter 
		with the highest HAA5 single measurement; 1 dual 
		sample set every third year if the highest TTHM and 
		HAA5 measurements occurred at the same location
		and quarter

1  Systems on quarterly monitoring shall take dual sample sets every 90 days.
(4) Systems on reduced monitoring shall resume routine monitoring pursuant to table 64534.2-C or conduct increased monitoring pursuant to paragraph (5) (if applicable), if the TTHM LRAA is >0.040 mg/L or the HAA5 LRAA is >0.030 mg/L at any monitoring location (for systems with quarterly reduced monitoring); a TTHM sample is >0.060 mg/L or a HAA5 sample is >0.045 mg/L (for systems with annual or less frequent monitoring); or the source water annual average TOC level, before any treatment, is >4.0 mg/L at any treatment plant treating an approved surface water;
(5) Systems that are required to monitor at a particular location annually or less frequently than annually pursuant to table 64534.2-C or 64534.2-D shall increase monitoring to dual sample sets once per quarter (taken every 90 days) at all locations if a TTHM sample is >0.080 mg/L or a HAA5 sample is >0.060 mg/L at any location. Systems on increased monitoring may return to routine monitoring specified in table 64534.2-C if, after at least four consecutive quarters of monitoring, the LRAA for every monitoring location is <UN->0.060 mg/L for TTHM and <UN->0.045 mg/L for HAA5;
(6) If the operational evaluation level (OEL) exceeds 0.080 mg/L for TTHM or 0.060 mg/L for HAA5 at any monitoring location, systems shall conduct an operational evaluation. The operational evaluation shall include the examination of system treatment and distribution operational practices, including storage tank operations, excess storage capacity, distribution system flushing, changes in sources or source water quality, and treatment changes or problems that may contribute to TTHM and HAA5 formation and what steps could be considered to minimize future exceedances. Systems that are able to identify the cause of the OEL exceedance may submit a written request to the Department to limit the scope of the evaluation. The request to limit the scope of the evaluation shall not extend the schedule in section 64537(c) for submitting the written report to the Department;
(7) Systems on reduced monitoring pursuant to table 64534.2-B may remain on reduced monitoring after the applicable date in table 64530-A for compliance with this subsection provided the system meets IDSE requirements under section 64530(c) by qualifying for a 40/30 certification (40 CFR part 141.603) or receiving a very small system waiver (40 CFR part 141.604), meets the reduced monitoring criteria in paragraphs (3) and (4), and does not change or add monitoring locations from those used for compliance monitoring under subsection (a); and 
(8) Systems on increased monitoring pursuant to table 64534.2-A shall remain on increased monitoring and conduct increased monitoring pursuant to paragraph (5) at the locations in the monitoring plan developed under section 64534.8 beginning at the applicable date in table 64530-A for compliance with this subsection. Systems on increased monitoring may return to routine monitoring specified in table 64534.2-C pursuant to paragraph (5).
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116385 and 116555, Health and Safety Code.
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Editorial correction of Table 64534.2-B (Register 2007, No. 30).
3. Amendment of subsections (a)(2) and (b)(1)-(3), new subsection (b)(4), amendment of subsections (c)(1)-(2), new subsections (c)(3)-(d)(8) and amendment of Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64534.4. Disinfectant Residuals Monitoring.
Note     •     History

(a) Community and nontransient noncommunity water systems that use chlorine or chloramines shall measure the residual disinfectant levels at the same points in the distribution system and at the same time as total coliforms are sampled, as specified in section 64421. Systems using approved surface water may use the results of residual disinfectant concentration sampling conducted under section 64656, in lieu of taking separate samples. 
(b) Public water systems that use chlorine dioxide shall monitor for chlorine dioxide daily at the entrance to the distribution system. For any daily sample that exceeds the MRDL, the system shall take three chlorine dioxide distribution system samples the following day, as follows: 
(1) If chlorine dioxide or chloramines are used to maintain a disinfectant residual in the distribution system, or if chlorine is used to maintain a disinfectant residual in the distribution system and there are no disinfection addition points after the entrance to the distribution system (i.e., no booster chlorination), the system shall take three samples as close to the first customer as possible, at intervals of at least six hours; and
(2) If chlorine is used to maintain a disinfectant residual in the distribution system and there are one or more disinfection addition points after the entrance to the distribution system (i.e., booster chlorination), the system shall take one sample at each of the following locations: as close to the first customer as possible, in a location representative of average residence time, and as close to the furthest customer as possible (reflecting maximum residence time in the distribution system). 
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116385 and 116555, Health and Safety Code.
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of subsections (b)-(b)(2) and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64534.6. Disinfection Byproduct Precursors Monitoring.
Note     •     History

(a) Systems that use approved surface water and conventional filtration treatment (as defined in section 64651.23) shall take one paired TOC sample (source water and treated water) and one source water alkalinity sample per month per treatment plant at a time representative of normal operating conditions and influent water quality. TOC and alkalinity in the source water shall be monitored prior to any treatment and at the same time as TOC monitoring in the treated water. TOC in the treated water shall be monitored no later than the point of combined filter effluent turbidity monitoring and shall be representative of the treated water. 
(b) Systems using approved surface water with an annual average treated water TOC of less than 2.0 mg/L for two consecutive years, or less than 1.0 mg/L for one year, may reduce monitoring for both TOC and alkalinity to one paired sample and one source water alkalinity sample per plant per quarter. The system shall revert to monitoring pursuant to subsection (a) in the first month following the quarter that the annual average treated water TOC is equal to or greater than 2.0 mg/L. 
(c) Systems using approved surface water and not monitoring pursuant to subsection (a) or (b):
(1) To qualify for reduced TTHM and HAA5 monitoring pursuant to table 64534.2-B or 64534.2-D, shall take monthly TOC samples every 30 days at a location prior to any treatment; and
(2) Once qualified for reduced TTHM and HAA5 monitoring pursuant to table 64534.2-B or 64534.2-D, may reduce source water TOC monitoring to quarterly TOC samples taken every 90 days at a location prior to any treatment. The system shall revert to source water TOC monitoring pursuant to paragraph (1) in the first month following the quarter that the annual average source water TOC is greater than 4.0 mg/L.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116385 and 116555, Health and Safety Code.
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of section heading, new subsections (c)-(c)(2) and amendment of Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64534.8. Monitoring Plans.
Note     •     History

(a) A system shall develop and submit to the Department a monitoring plan. The system shall implement the plan after Department review and approval. The system shall maintain the plan and make it available for inspection by the general public no later than 30 days following the applicable compliance date in sections 64530(a) or (b), and (d). 
(b) The Department will evaluate the plan based on the following required elements: 
(1) Specific locations and schedules for collecting samples for any parameters included in this chapter, including seasonal variations if applicable;
(2) How the system will calculate compliance with MCLs, MRDLs, and treatment techniques; and 
(3) For compliance monitoring pursuant to section 64534.2(d), monitoring dates and the elements specified in subparagraphs (1) and (2).
(c) Systems that submitted an IDSE report pursuant to section 64530(c) shall monitor for TTHM and HAA5 under section 64534.2(d) at the locations and months recommended in the IDSE report, unless the Department requires other locations or additional locations after its review of the IDSE report.
(d) Systems not required to submit an IDSE report pursuant to section 64530(c) and that:
(1) Do not have sufficient TTHM and HAA5 compliance monitoring locations under section 64534.2(a) to identify the required number of TTHM and HAA5 compliance monitoring locations indicated in 40 Code of Federal Regulations part 141.605(b) (71 Fed. Reg. 487 (January 4, 2006)), shall:
(A) Identify additional locations by alternating selection of locations representing high TTHM levels and high HAA5 levels until the required number of compliance monitoring locations have been identified; and
(B) Provide the rationale in the plan for identifying the locations as having high levels of TTHM or HAA5.
(2) Have more TTHM and HAA5 compliance monitoring locations under section 64534.2(a) than required for TTHM and HAA5 compliance monitoring indicated in 40 Code of Federal Regulations part 141.605(b) (71 Fed. Reg. 487 (January 4, 2006)), shall identify the locations to use by alternating selection of locations representing high TTHM levels and high HAA5 levels until the required number of compliance monitoring locations have been identified.
(e) The plan developed for compliance monitoring pursuant to section 64534.2(d) may be revised to reflect changes in treatment, distribution system operations and layout (including new service areas), or other factors that may affect TTHM or HAA5 formation, or for Department-approved reasons, after consultation with the Department regarding the need for changes and the appropriateness of changes. Systems shall comply with the requirements of subsection (a) for the revised plan. If monitoring locations are changed, systems shall replace existing compliance monitoring locations having the lowest LRAA with new locations that reflect the current distribution system locations having expected high TTHM or HAA5 levels.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116385, 116530 and 116555, Health and Safety Code.
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
Article 4. Compliance Requirements
§64535. General Requirements for Determining Compliance.
Note     •     History

(a) All samples taken and analyzed in accordance with section 64534.8 shall be included in determining compliance, pursuant to sections 64535.2, 64535.4, and 64536.4. 
(b) For violations of the MCLs in section 64533 or MRDLs in section 64533.5 that may pose an acute risk to human health, notification shall be pursuant to sections 64463, 64463.1, and 64465. 
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116450 and 116460, Health and Safety Code. 
HISTORY

1. New article 4 (sections 64535-64535.4) and section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of subsection (b) and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64535.2. Determining Disinfection Byproducts Compliance.
Note     •     History

(a) During the first year of monitoring for disinfection byproducts under sections 64534.2(a), (b), and (c), the system shall comply with paragraphs (1) through (3). During the first year of monitoring for TTHM and HAA5 under section 64534.2(d), the system shall comply with paragraphs (1) through (3) at each monitoring location.
(1) The average of the first quarter's results shall not exceed four times the MCLs specified in section 64533. 
(2) The average of the first and second quarter's results shall not exceed two times the MCLs specified in section 64533. 
(3) The average of the first, second, and third quarter's results shall not exceed 1.33 times the MCLs specified in section 64533. 
(b) TTHM and HAA5 MCL compliance, as monitored pursuant to section 64534.2.(a), shall be determined as follows: 
(1) For systems monitoring quarterly, the running annual arithmetic average, computed quarterly, of quarterly arithmetic averages of all samples collected pursuant to section 64534.2(a) shall not exceed the MCLs specified in section 64533;
(2) For systems monitoring less frequently than quarterly, the average of samples collected that calendar year pursuant to section 64534.2(a) shall not exceed the MCLs specified in section 64533. If the average of the samples collected under section 64534.2(a) exceeds the MCL, the system shall increase monitoring to once per quarter per treatment plant. Compliance with the MCL shall then be determined by the average of the sample that triggered the quarterly monitoring and the following three quarters of monitoring, unless the result of fewer than four quarters of monitoring will cause the running annual average to exceed the MCL, in which case the system is in violation immediately. After monitoring quarterly for four consecutive quarters (including the quarter that triggered the quarterly monitoring), and until such time as monitoring returns to routine monitoring pursuant to section 64534.2(a)(3), compliance shall be determined pursuant to paragraph (1);
(3) If the running annual arithmetic average of quarterly averages covering any consecutive four-quarter period exceeds the MCL, the system is in violation of the MCL and shall notify the public pursuant to sections 64463, 64463.4, and 64465, including language in appendix 64465-G, in addition to reporting to the Department pursuant to sections 64537 through 64537.6; and
(4) If a public water system fails to complete four consecutive quarters of monitoring, compliance with the MCL for the last four-quarter compliance period shall be based on an average of the available data. 
(c) Compliance for bromate shall be based on a running annual arithmetic average, computed quarterly, of monthly samples (or, for months in which the system takes more than one sample, the average of all samples taken during the month) collected by the system as prescribed by section 64534.2(c). If the average of samples covering any consecutive four-quarter period exceeds the MCL, the system is in violation of the MCL and shall notify the public pursuant to sections 64463, 64463.4, and 64465, including language in appendix 64465-G, in addition to reporting to the Department pursuant to sections 64537 through 64537.6. If a public water system fails to complete 12 consecutive months of monitoring, compliance with the MCL for the last four-quarter compliance period shall be based on an average of the available data. 
(d) Compliance for chlorite shall be based on the results of samples collected by the system pursuant to sections 64534.2(b).
(1) If any daily sample taken at the entrance to the distribution system exceeds the chlorite MCL and one (or more) of the three samples taken in the distribution system pursuant to section 64534.2(b)(1) exceeds the chlorite MCL, the system is in violation of the MCL and shall take immediate corrective action to reduce the concentration of chlorite to a level below the MCL. The system shall notify the Department within 48 hours of the determination and notify the public pursuant to the procedures for acute health risks in sections 64463, 64463.1, and 64465, including language in appendix 64465-G, in addition to reporting to the Department pursuant to sections 64537 through 64537.6. Failure to take samples in the distribution system the day following an exceedance of the chlorite MCL at the entrance to the distribution system is also an MCL violation and the system shall notify and report as described in this paragraph;
(2) If the average of an individual sample from the three-sample set taken pursuant to 64534.2(b)(2) and its confirmation sample taken pursuant to section 64634.2(b)(4) exceeds the chlorite MCL, the system is in violation of the MCL and shall take the corrective action and notify and report as described in paragraph (1). If the average of the individual sample and its confirmation does not exceed the MCL, the system shall inform the Department of the results within seven days from receipt of the original analysis. Failure to take a confirmation sample pursuant to section 64534.2(b)(4) is also an MCL violation and the system shall notify and report as described in paragraph (1); and
(3) If any two consecutive daily samples taken at the entrance to the distribution system exceed the chlorite MCL and all distribution system samples taken pursuant to 64534.2(b)(1) are less than or equal to the chlorite MCL, the system is in violation of the MCL and shall take corrective action to reduce the concentration of chlorite to a level below the MCL at the point of sampling. The system shall notify the public pursuant to the procedures for nonacute health risks in sections 64463, 64463.4, and 64465, including the language in appendix 64465-G, in addition to reporting to the Department pursuant to sections 64537 through 64537.6. Failure to monitor at the entrance to the distribution system the day following an exceedance of the chlorite MCL at the entrance to the distribution system is also an MCL violation and the system shall notify and report as described in this paragraph.
(e) TTHM and HAA5 MCL compliance, as monitored pursuant to section 64534.2(d), shall be determined as follows:
(1) For systems monitoring quarterly, each locational running annual average (LRAA), computed quarterly, shall not exceed the MCLs specified in section 64533;
(2) For systems monitoring annually or less frequently, each sample collected shall not exceed the MCLs specified in section 64533. If no sample exceeds the MCL, the sample result for each monitoring location shall be considered the LRAA for the monitoring location. If any sample exceeds the MCL, systems shall increase monitoring pursuant to section 64534.2(d)(5). Compliance with the MCL shall then be determined by the average of the sample that triggered the quarterly monitoring and the following three quarters of monitoring, unless the result of fewer than four quarters of monitoring will cause the LRAA to exceed the MCL, in which case the system is in violation immediately. After monitoring quarterly for four consecutive quarters (including the quarter that triggered the quarterly monitoring), and until such time as monitoring returns to routine monitoring pursuant to section 64534.2(d)(5), compliance shall be determined pursuant to paragraph (1);
(3) If a system fails to complete four consecutive quarters of monitoring, compliance with the MCL for the last four-quarter compliance period shall be based on an average of the available data. If more than one sample per quarter is taken at a monitoring location, all the samples taken in the quarter at that monitoring location shall be averaged to determine a quarterly average to be used in the LRAA calculation; and
(4) If the LRAA exceeds the MCL, calculated based on four consecutive quarters of monitoring (or the LRAA calculated based on fewer than four quarters of data if the MCL would be exceeded regardless of the monitoring results of subsequent quarters), the system is in violation of the MCL and shall notify the public pursuant to sections 64463, 64463.4, and 64465, including the language in appendix 64465-G, in addition to reporting to the Department pursuant to sections 64537 through 64537.6.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116450 and 116460, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64535.4. Determining Disinfectant Residuals Compliance.
Note     •     History

(a) During the first year of monitoring for disinfection residuals under section 64534.4 the system shall comply with the following: 
(1) The average of the first quarter's results shall not exceed four times the MRDLs specified in section 64533.5;
(2) The average of the first and second quarter's results shall not exceed two times the MRDLs specified in section 64533.5; and
(3) The average of the first, second, and third quarter's results shall not exceed 1.33 times the MRDLs specified in section 64533.5. 
(b) Chlorine and chloramines MRDL compliance is determined as follows: 
(1) Compliance shall be based on a running annual arithmetic average, computed quarterly, of monthly averages of all samples collected by the system under section 64534.4(a). If the average covering any consecutive four-quarter period exceeds the MRDL, the system is in violation of the MRDL and shall notify the public pursuant to sections 64463, 64463.4, and 64465, including language in appendix 64465-G, in addition to reporting to the Department pursuant to sections 64537 through 64537.6; and
(2) In cases where systems switch between the use of chlorine and chloramines for residual disinfection during the year, compliance shall be determined by including together all monitoring results of both chlorine and chloramines. Reports submitted pursuant to sections 64537 through 64537.6 shall clearly indicate which residual disinfectant was analyzed for each sample. 
(c) Compliance for chlorine dioxide shall be based on consecutive daily samples collected by the system under section 64534.4(b). 
(1) If any daily sample taken at the entrance to the distribution system exceeds the MRDL, and one (or more) of the three samples taken in the distribution system exceed the MRDL, the system is in violation of the MRDL and shall take immediate corrective action to reduce the concentration of chlorine dioxide to a level below the MRDL. The system shall notify the Department within 48 hours of the determination, notify the public pursuant to the procedures for acute health risks in sections 64463, 64463.1, and 64465, including language in appendix 64465-G, in addition to reporting to the Department pursuant to sections 64537 through 64537.6. Failure to take samples in the distribution system the day following an exceedance of the chlorine dioxide MRDL at the entrance to the distribution system is also an MRDL violation and the system shall notify and report as described in this paragraph;
(2) If any two consecutive daily samples taken at the entrance to the distribution system exceed the MRDL and all distribution system samples taken are less than or equal to the MRDL, the system is in violation of the MRDL and shall take corrective action to reduce the concentration of chlorine dioxide to a level below the MRDL at the point of sampling. The system shall notify the public pursuant to the procedures for nonacute health risks in sections 64463, 64463.4, and 64465, including language in appendix 64465-G, in addition to reporting to the Department pursuant to sections 64537 through 64537.6. Failure to monitor at the entrance to the distribution system the day following an exceedance of the chlorine dioxide MRDL at this site is also an MRDL violation and the system shall notify and report as described in this paragraph.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116450 and 116460, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
Article 5. Treatment Technique for Control of Disinfection Byproduct Precursors (DBPP)
§64536. Alternative Compliance Criteria to the Enhanced Coagulation and Enhanced Softening Performance Requirements.
Note     •     History

(a) Systems using approved surface water and conventional filtration treatment shall meet any one of the alternative compliance criteria in paragraphs (1) through (6) to comply with this article or comply with the requirements of section 64536.2. Systems that meet one of the criteria in paragraphs (1) through (6) shall still comply with monitoring requirements in section 64534.6. 
(1) The system's source water TOC level is less than 2.0 mg/L, calculated quarterly as a running annual average. 
(2) The system's treated water TOC level is less than 2.0 mg/L, calculated quarterly as a running annual average. 
(3) The system's source water TOC level is less than 4.0 mg/L, calculated quarterly as a running annual average; the source water alkalinity is greater than 60 mg/L (as CaCO3), calculated quarterly as a running annual average; and either 
(A) The TTHM and HAA5 running annual averages are no greater than 0.040 mg/L and 0.030 mg/L, respectively; or 
(B) Prior to the applicable compliance date in section 64530(a) or (b), the system has applied to the Department for the approval of, and committed funds to the installation of, technologies that will limit the levels of TTHM and HAA5 to no more than 0.040 mg/L and 0.030 mg/L, respectively. The application to the Department shall include a description of the technology to be installed, evidence of a commitment to complete the installation, such as a signed contract, bid solicitation, or approved bond measure, and a schedule containing milestones and periodic progress reports for installation and operation of the technology. These technologies shall be installed and operating not later than June 30, 2005. 
(4) The TTHM and HAA5 running annual averages are no greater than 0.040 mg/L and 0.030 mg/L, respectively, and the system uses only chlorine for primary disinfection and maintenance of a residual in the distribution system. 
(5) The system's source water SUVA, prior to any treatment and measured monthly, is less than or equal to 2.0 L/mg-m, calculated quarterly as a running annual average. 
(6) The system's finished water SUVA, measured monthly, is less than or equal to 2.0 L/mg-m, calculated quarterly as a running annual average. 
(b) Systems using approved surface water and conventional filtration treatment and practicing softening that cannot achieve the TOC removal required by section 64536.2(a) shall meet any one of the criteria in paragraphs (1) through (2) below or any one of the criteria in section 64536(a), paragraphs (1) through (6) to comply with this article. Systems that meet one of the criteria in paragraphs (1) through (2) below or one of the criteria in section 64536(a), paragraphs (1) through (6) shall still comply with the monitoring requirements in section 64534.6. 
(1) Softening that results in lowering the treated water alkalinity to less than 60 mg/L (as CaCO3), measured monthly and calculated quarterly as a running annual average; or 
(2) Softening that results in removing at least 10 mg/L of magnesium hardness (as CaCO3), measured monthly and calculated quarterly as an annual running average. 
NOTE

Authority cited: Sections 116325, 116370 and 116375, Health and Safety Code. Reference: Sections 116350, 116385 and 116555, Health and Safety Code. 
HISTORY

1. New article 5 (sections 64536-64536.6) and section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64536.2. Enhanced Coagulation and Enhanced Softening Performance Requirements.
Note     •     History

(a) Systems using approved surface water and conventional filtration treatment (as defined in section 64651.23) shall operate with enhanced coagulation or enhanced softening to achieve the TOC percent removal levels specified in this section, unless the system meets at least one of the alternative compliance criteria listed in section 64536(a) or (b). 
(b) Systems shall achieve the Step 1 percent reduction of TOC specified in table 64536.2-A between the source water and the combined filter effluent, unless the Department approves a system's request for alternate minimum TOC removal (Step 2) requirements under subsection (c). Systems practicing softening shall meet the Step 1 TOC removals in the far-right column (Source water alkalinity >120 mg/L) of table 64536.2-A for the specified source water TOC: 

Table 64536.2-A 
Step 1 Required Removal of TOC by Enhanced Coagulation and Enhanced Softening Systems Using Conventional Treatment1, 2 

		     Required Removal of TOC
	Source-Water	Source-Water Alkalinity, mg/L as CaCO3
  TOC,mg/L	0-60	 >60-120	>120%

>2.0-4.0		35.0%	25.0%	15.0%
>4.0-8.0		45.0%	35.0%	25.0%
>8.0		50.0%	40.0%	30.0%
1 Systems that meet one of the criteria in section 64536(a), paragraphs (1) through (6) do not have to operate with enhanced coagulation.
2 Softening systems that meet one of the criteria in section 64536(b), paragraphs (1) through (2) do not have to operate with enhanced softening. 
(c) Systems using approved surface water and conventional treatment that cannot achieve the Step 1 TOC removals required by subsection (b) due to water quality parameters or operational constraints shall apply to the Department, within three months of failure to achieve the TOC removals required by subsection (b), for approval of Step 2 removal requirements. If the Department approves the Step 2 removal requirements pursuant to subsection (d), and the system conducted monthly TOC monitoring beginning one year prior to the compliance date specified in section 64530, the Step 2 removal requirements will be retroactive to the compliance date for the purposes of determining compliance. 
(d) Applications made to the Department by systems using enhanced coagulation for approval of Step 2 removal requirements under subsection (c) shall include, as a minimum, results of bench-scale or pilot-scale testing conducted under paragraph (1) of this subsection that were used to determine the alternate enhanced coagulation level. 
(1) Alternate enhanced coagulation level is defined as coagulation at a coagulant dose and pH as determined by the method described in paragraphs (1) through (4) such that an incremental addition of 10 mg/L of alum (or equivalent addition of iron coagulant) results in a TOC removal of <UN->0.3 mg/L. The percent removal of TOC at this point on the “TOC removal versus coagulant dose” curve is then defined as the Step 2 removal requirement for the system. Once approved by the Department, this Step 2 removal requirement supersedes the minimum TOC removal required by subsection 64536.2(b). This requirement shall be effective until such time as the Department approves a new value based on the results of a new bench-scale or pilot-scale test. 
(2) Bench-scale or pilot-scale testing of enhanced coagulation shall be conducted by using representative water samples and adding 10 mg/L increments of alum (or equivalent addition of iron coagulant) until the pH is reduced to a level less than or equal to the enhanced coagulation Step 2 target pH shown in table 64536.2-B. 

Table 64536.2-B 
Enhanced Coagulation Step 2 Target pH 

	Alkalinity	
	mg/L as CaCO3	Target pH

	0-60 	5.5
	>60-120	6.3
	>120-240	7.0
	>240	7.5 
(3) For waters with alkalinities of less than 60 mg/L for which the addition of small amounts of alum (or equivalent addition of iron coagulant) drives the pH below 5.5 before significant TOC removal occurs, the system shall add necessary chemicals to maintain the pH between 5.3 and 5.7 in samples until the TOC removal of 0.3 mg/L per 10 mg/L alum added (or equivalent addition of iron coagulant) is reached. 
(4) If the TOC removal is consistently less than 0.3 mg/L of TOC per 10 mg/L of incremental alum dose at all dosages of alum (or equivalent addition of iron coagulant), the system is eligible to apply for a waiver of enhanced coagulation requirements. The application shall include, as a minimum, the results of bench-scale or pilot-scale testing conducted under paragraph (1) of this subsection. 
NOTE

Authority cited: Sections 116325, 116370 and 116375, Health and Safety Code. Reference: Sections 116350, 116385 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Editorial correction of Table 64536.2-A (Register 2007, No. 30).
§64536.4. Disinfection Byproduct Precursor Compliance Calculations.
Note     •     History

(a) Systems not meeting any of the criteria identified in sections 64536(a) or (b) shall comply with requirements contained in sections 64536.2(a) or (b) and shall calculate compliance quarterly, beginning after the system has collected 12 months of data, by determining an annual average using the following method: 
(1) Determine actual monthly TOC percent removal, equal to: 
(1 - [treated water TOC/source water TOC]) x 100. 
(2) Determine the required monthly TOC percent removal (from either table 64536.2-A or from section 64536.2(c)). 
(3) Divide the value in paragraph (a)(1) by the value in paragraph (a)(2). 
(4) Add together the results of paragraph (a)(3) for the last 12 months and divide by 12. 
(5) If the value calculated in paragraph (a)(4) is less than 1.00, the system is not in compliance with the TOC percent removal requirements. 
(b) In any month that one or more of the conditions of sections 64536.4(b)(1) through (b)(6) are met, the system may assign a monthly value of 1.0 (in lieu of the value calculated in section 64536.4(a)(3)) when calculating compliance under the provisions of subsection (a). 
(1) The system's source water TOC level, prior to any treatment, is less than or equal to 2.0 mg/L. 
(2) The system's treated water TOC level is less than or equal to 2.0 mg/L. 
(3) The system's source water SUVA, prior to any treatment, is less than or equal to 2.0 L/mg-m. 
(4) The system's finished water SUVA is less than or equal to 2.0 L/mg-m. 
(5) A system practicing softening removes at least 10 mg/L of magnesium hardness (as CaCO3). 
(6) A system practicing enhanced softening lowers alkalinity below 60 mg/L (as CaCO3). 
NOTE

Authority cited: Sections 116325, 116370 and 116375, Health and Safety Code. Reference: Sections 116350, 116385 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64536.6. Disinfection Byproduct Precursors Public Notification Requirements.
Note     •     History

For systems using conventional treatment, enhanced coagulation or enhanced softening are identified as treatment techniques to control the level of disinfection byproduct precursors in drinking water treatment and distribution systems. If a system fails to comply with the enhanced coagulation or enhanced softening requirements established in this article the system shall notify the public pursuant to sections 64463, 64463.4, and 64465, including language in appendix 64465-G, in addition to reporting to the Department pursuant to sections 64537 through 64537.6. 
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Section 116350, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of section heading, section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
Article 6. Reporting and Recordkeeping Requirements
§64537. General Reporting and Recordkeeping Requirements.
Note     •     History

(a) Systems required to sample quarterly or more frequently, pursuant to section 64534.2, 64534.4, or 64534.6, shall report to the Department within 10 days after the end of each quarter in which samples were collected according to section 64469(c), notwithstanding the provisions of sections 64469(a) and (b). Systems required to sample less frequently than quarterly shall report to the Department within 10 days after the end of each quarter in which samples were collected. Systems shall report information to the Department in conformance with the requirements of sections 64537.2, 64537.4, and 64537.6. 
(b) Systems shall require the laboratory to notify the system the same day samples are taken and analyzed whenever the level of chlorite in an entrance to the distribution system sample taken pursuant to section 64534.2(b)(1) exceeds the chlorite MCL or the level of chlorine dioxide in an entrance to the distribution system sample taken pursuant to section 64534.4(b) exceeds the chlorine dioxide MRDL, and shall ensure that a contact person is available to receive the analytical results 24-hours a day.
(c) Systems shall require the laboratory to notify the supplier within 48 hours whenever the level of chlorite in a single distribution system sample taken pursuant to section 64534.2(b)(1) or (b)(2) exceeds the chlorite MCL or the level of chlorine dioxide in a single distribution system sample taken pursuant to section 64534.4(b) exceeds the chlorine dioxide MRDL, and shall ensure that a contact person is available to receive such analytical results 24-hours a day. The system shall also require the laboratory to immediately notify the Department of any chlorite MCL or chlorine dioxide MRDL exceedance if the laboratory cannot make direct contact with the designated contact person within 48 hours.
(d) Systems required to conduct an operational evaluation pursuant to section 64534.2(d)(6) shall submit a written report of the evaluation to the Department no later than 90 days after being notified of the analytical result that caused the OEL exceedance. Systems shall make the written report available to the public upon request. If the Department approves the system's written request to limit the scope of the evaluation under section 64534.2(d)(6), the system shall keep the written approval with the completed report.
(e) Systems shall retain monitoring plans and records of chemical analyses in accordance with section 64470.
NOTE

Authority cited: Sections 16350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116385, 116530 and 116555, Health and Safety Code. 
HISTORY

1. New article 6 (sections 64537-64537.6) and section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of section heading, section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64537.2. Disinfection Byproducts Reporting.
Note     •     History

Systems shall report to the Department the information specified in tables 64537.2-A and 64537.2-B. 

Table 64537.2-A 
Disinfection Byproducts Reporting 

If the system is monitoring under
the requirements of section 
64534.2(a), (b), or (c) for... 	The system shall report...

TTHM and 	(a) on a quarterly	(1) The number of samples taken during
HAA5  	or more frequent basis 	the last quarter; 
		(2) The location, date, and result of each
 		sample taken during the last quarter;
		(3) The arithmetic average of all samples
 		taken in the last quarter; 
		(4) The annual arithmetic average of the
 		quarterly arithmetic averages of the 
		samples for the last four quarters; and 
		(5) Whether, based on section
 		64535.2(b), the MCL was violated.

	(b) less frequently than 	(1) The number of samples taken 
	quarterly (but at least 	during the last year;
	annually)	(2) The location, date, and result of each
 		sample taken during the last monitoring
 		period; 
		(3) The arithmetic average of all samples
 		taken over the last year; and

If the system is monitoring under
the requirements of section 
64534.2(a), (b), or (c) for... 	The system shall report...

		(4) Whether, based on section
 		64535.2(b), the MCL was violated.

	(c) less frequently than	(1) The location, date, and result of 
	annually	the last sample taken; and 
		(2) Whether, based on section
 		64535.2(b), the MCL was violated.

Chlorite 		(1) The number of entry point samples
 		taken each month for the last 3 months;
 		(2) The location, date, and result of each
 		sample (both entry point and distribution
 		system) taken during the last quarter;
		(3) If a confirmation sample is taken
		pursuant to section 64634.2(b)(4), the
		average of an individual sample and its
		confirmation sample; and
		(4) Whether, based on section
 		64535.2(d), the MCL was violated, in
 		which month it was violated, and how
 		many times it was violated in each
 		month.

Bromate		(1) The number of samples taken during
 		the last quarter; 
		(2) The location, date, and result of each
 		sample taken during the last quarter;
		(3) The arithmetic average of the 
		monthly arithmetic averages of all 
		samples taken in the last year; and 
		(4) Whether, based on section
 		64535.2(c), the MCL was violated.

Table 64537.2-B 
TTHM and HAA5 Reporting

If the system is monitoring under
the requirements of section 
64534.2(d) for... 	The system shall report...

TTHM and HAA5 	(a) For each monitoring location:
		(1) The number of samples taken during
		 the last quarter;
		(2) The date and results of each sample
		 taken during the last quarter;
		(3) The arithmetic average of quarterly
		 results for the last four quarters (LRAA);
		(4) Whether the LRAA calculated based
		on fewer than four quarters of data would
		cause the MCL to be exceeded 
		regardless of the monitoring results 
		of subsequent quarters;
		(5) Whether, based on section
		64535.2(e), the MCL was violated at 
		any monitoring location; and
		(6) Any operational evaluation levels
		that were exceeded during the quarter
		and, if so, the location and date, and the
		calculated TTHM and HAA5 levels.

		(b) For a supplier using approved surface
		water and seeking to qualify for or 
		remain on reduced TTHM/HAA5 
		monitoring, source water TOC 
		information for each treatment plant 
		that treats approved surface water:
		(1) The number of source water TOC
		samples taken each month during the last
		quarter;
		(2) The date and result of each sample
		taken during the last quarter;
		(3) The quarterly average of monthly
		samples taken during the last quarter or
		the result of the quarterly sample; and
		(4) The running annual average (RAA) of
		quarterly averages from the past four
		quarters; and
		(5) Whether the RAA exceeded 
		4.0 mg/L.
NOTE

Authority cited: Sections 116350, 116375, 131052 and 131200, Health and Safety Code. Reference: Sections 116350, 116385, 116530 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
2. Amendment of section and Note filed 5-22-2012; operative 6-21-2012 (Register 2012, No. 21).
§64537.4. Disinfectants Reporting.
Note     •     History

Systems shall report to the Department the information specified in table 64537.4-A 

Table 64537.4-A 
Disinfectants Reporting 

If the system is 
monitoring under the 
requirements of section 
64534.4 for... 	The system shall report...

Chlorine or chloramines 	(1) The number of samples taken during each
 	month of the last quarter. 
	(2) The monthly arithmetic average of all samples
 	taken in each month for the last 12 months. 
	(3) The arithmetic average of all monthly averages
 	for the last 12 months. 
	(4) Whether, based on section 64535.4(b), the
 	MRDL was violated.

Chlorine dioxide 	(1) The dates, results, and locations of samples 
	taken during the last quarter. 
	(2) Whether, based on section 64535.4(c), the
 	MRDL was violated. 
	(3) Whether the MRDL was exceeded in any two
 	consecutive daily samples and whether the 
	resulting violation was acute or nonacute.
NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116350, 116385, 116530 and 116555, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
§64537.6. Disinfection Byproduct Precursors and Enhanced Coagulation or Enhanced Softening Reporting.
Note     •     History

(a) Systems required to meet the enhanced coagulation or enhanced softening requirements in section 64536.2(a) or (b) shall report the following: 
(1) The number of paired (source water and treated water) samples taken during the last quarter. 
(2) The location, date, and result of each paired sample and associated alkalinity taken during the last quarter. 
(3) For each month in the reporting period that paired samples were taken, the arithmetic average of the percent reduction of TOC for each paired sample and the required TOC percent removal. 
(4) Calculations for determining compliance with the TOC percent removal requirements, as provided in section 64536.4(a). 
(5) Whether the system is in compliance with the enhanced coagulation or enhanced softening percent removal requirements in section 64536.2 for the last four quarters. 
(b) Systems meeting one or more of the alternative compliance criteria in section 64536(a) or (b), in lieu of meeting the requirements in section 64536.2(a) or (b), shall report the following: 
(1) The alternative compliance criterion that the system is using. 
(2) The number of paired samples taken during the last quarter. 
(3) The location, date, and result of each paired sample and associated alkalinity taken during the last quarter. 
(4) The running annual arithmetic average based on monthly averages (or quarterly samples) of source water TOC for systems meeting a criterion in sections 64536(a)(1) or (3) or of treated water TOC for systems meeting the criterion in section 64536(a)(2). 
(5) The running annual arithmetic average based on monthly averages (or quarterly samples) of source water SUVA for systems meeting the criterion in section 64536(a)(5) or of treated water SUVA for systems meeting the criterion in section 64536(a)(6). 
(6) The running annual average of source water alkalinity for systems meeting the criterion in section 64536(a)(3) and of treated water alkalinity for systems meeting the criterion in section 64536(b)(1). 
(7) The running annual average for both TTHM and HAA5 for systems meeting the criterion in section 64536(a)(3) or (4). 
(8) The running annual average of the amount of magnesium hardness removal (as CaCO3, in mg/L) for systems meeting the criterion in section 64536(b)(2). 
(9) Whether the system is in compliance with the particular alternative compliance criterion in section 64536(a) or (b). 
NOTE

Authority cited: Sections 116325 and 116375, Health and Safety Code. Reference: Sections 116350, 116385, 116530 and 116555, Health and Safety Code.
HISTORY

1. New section filed 5-18-2006; operative 6-17-2006 (Register 2006, No. 20).
Chapter 16. California Waterworks Standards
Article 1. Definitions
§64551. Applicability. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. New Chapter 16 (Sections 64551-64644, not consecutive) filed 12-6-79; effective thirtieth day thereafter (Register 79, No. 49).
2. Repealer filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
3. Amendment of article heading and repealer of former article 1 (sections 64551-64555) and new article 1 (sections 64551.10-64551.70) filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64551.10. Distribution Reservoir.
Note     •     History

“Distribution reservoir” means any tank or other structure located within or connected to the distribution system and used to store treated/finished drinking water.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64551.20. Distribution System.
Note     •     History

“Distribution system” means all physical parts of the water system, including, but not limited to: Pipes, valves, pumping stations, storage tanks or reservoirs, and user service lines, that are located between the water treatment plant, or the source if there is no treatment, and the consumer's service connection.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64551.30. Maximum Day Demand (MDD).
Note     •     History

“Maximum day demand (MDD)” means the amount of water utilized by consumers during the highest day of use (midnight to midnight), excluding fire flow, as determined pursuant to Section 64554.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64551.35. Peak Hour Demand (PHD).
Note     •     History

“Peak hour demand (PHD)” means the amount of water utilized by consumers during the highest hour of use during the maximum day, excluding fire flow, as determined pursuant to Section 64554.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64551.40. Source Capacity.
Note     •     History

“Source capacity” means the total amount of water supply available, expressed as a flow, from all active sources permitted for use by the water system, including approved surface water, groundwater, and purchased water.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64551.60. User Service Line.
Note     •     History

“User service line” means the pipe, tubing, and fittings connecting a water main to an individual water meter or service connection.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64551.70. Water Main.
Note     •     History

“Water main” means any pipeline, except for user service lines, within the distribution system.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
Article 1.5. Waivers and Alternatives
§64551.100. Waivers and Alternatives.
Note     •     History

(a) A water system that proposes to use an alternative to a requirement in this chapter shall:
(1) Demonstrate to the Department that the proposed alternative would provide at least the same level of protection to public health; and
(2) Obtain written approval from the Department prior to implementation of the alternative.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 And 131051, Health And Safety Code.
HISTORY

1. New article 1.5 (section 64551.100) and section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
Article 2. Permit Requirements
§64552. Initial Permit for Public Water System.
Note     •     History

(a) Each public water system applying for an initial domestic public water system permit shall submit an application that includes:
(1) A map and description of the entire existing and proposed service area, showing:
(A) The location of each water source, as well as wells that are abandoned, out-of-service, destroyed, standby, or inactive (not physically connected to the water system), together with:
1. Any valid water rights owned by the system for surface water sources, including information on any limitations or restrictions of those rights;
2. For a groundwater aquifer, the groundwater levels and drawdown patterns;
3. Permits or approvals for groundwater extraction if pumping from an adjudicated groundwater basin;
4. Existing and planned source pumping capability and distribution storage capacity for the system as a whole and for each pressure zone; 
5. The calculated sustained well yields of existing wells if groundwater sources are used; 
6. Permits for any waters proposed for use to offset potable water demand; and
(B) Treatment facilities and pumping plants;
(C) Distribution system piping, pressure zones, hydropneumatic tanks, and reservoirs;
(D) Valves, sample taps, and other system appurtenances;
(E) Recycled water and sewage systems; 
(F) Conveyance facilities; 
(G) Any flood plains in the projected service area; and
(H) The 100 year flood or highest recorded flood level, whichever is higher.
(2) The population, and number and type of residential, commercial, agricultural, and industrial service connections, in the system's projected service area; 
(3) Design drawings of proposed facilities drawn to scale, showing location, size, and construction material;
(4) As-built drawings of existing facilities, drawn to scale, showing location, size, construction materials, and year of installation of any water main or other facility that has already been constructed;
(5) The estimated MDD and PHD with the methods, assumptions, and calculations used for the estimations; 
(6) A source water assessment and description of each source of water proposed for use to meet the estimated MDD and information demonstrating that the sources are adequate to do so, such as, but not limited to, well pump tests, the capacities of all pumping facilities, and the hydraulic capacity of surface water treatment facilities,
(A) If the system plans to use surface water, the system shall demonstrate that it holds a valid water right to that amount of water including any allowable reductions or limitations on its availability, as stated in the water rights contract;
(B) If groundwater is to be used, the system shall demonstrate that the groundwater aquifer is sufficient, or in the case of adjudicated groundwater basins, that approval has been obtained to allow that amount of sustained withdrawal including any allowable reductions or limitations on its availability, as stated in the water rights contract;
(C) If purchased water is to be used, the system shall provide contracted amount and the hydraulic capacity at each turnout and any allowable reductions or limitations on its availability, as stated in the purchased water contract; and
(7) Information that demonstrates how the system proposes to reliably meet four hours of PHD using, but not limited to, available source capacity and distribution reservoirs.
(b) The information in subsection (a) shall be prepared by a professional civil engineer registered in the State of California with experience in water supply engineering.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116525, 116555 and 131051, Health and Safety Code.
HISTORY

1. New article 2 (sections 64552-64558) and section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64553. Responsibility. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
§64554. New and Existing Source Capacity.
Note     •     History

(a) At all times, a public water system's water source(s) shall have the capacity to meet the system's maximum day demand (MDD). MDD shall be determined pursuant to subsection (b).
(1) For systems with 1,000 or more service connections, the system shall be able to meet four hours of peak hourly demand (PHD) with source capacity, storage capacity, and/or emergency source connections.
(2) For systems with less than 1,000 service connections, the system shall have storage capacity equal to or greater than MDD, unless the system can demonstrate that it has an additional source of supply or has an emergency source connection that can meet the MDD requirement.
(3) Both the MDD and PHD requirements shall be met in the system as a whole and in each individual pressure zone.
(b) A system shall estimate MDD and PHD for the water system as a whole (total source capacity and number of service connections) and for each pressure zone within the system (total water supply available from the water sources and interzonal transfers directly supplying the zone and number of service connections within the zone), as follows:
(1) If daily water usage data are available, identify the day with the highest usage during the past ten years to obtain MDD; determine the average hourly flow during MDD and multiply by a peaking factor of at least 1.5 to obtain the PHD.
(2) If no daily water usage data are available and monthly water usage data are available:
(A) Identify the month with the highest water usage (maximum month) during at least the most recent ten years of operation or, if the system has been operating for less than ten years, during its period of operation;
(B) To calculate average daily usage during maximum month, divide the total water usage during the maximum month by the number of days in that month; and
(C) To calculate the MDD, multiply the average daily usage by a peaking factor that is a minimum of 1.5; and
(D) To calculate the PHD, determine the average hourly flow during MDD and multiply by a peaking factor that is a minimum of 1.5.
(3) If only annual water usage data are available:
(A) Identify the year with the highest water usage during at least the most recent ten years of operation or, if the system has been operating for less than ten years, during its years of operation;
(B) To calculate the average daily use, divide the total annual water usage for the year with the highest use by 365 days; and
(C) To calculate the MDD, multiply the average daily usage by a peaking factor of 2.25.
(D) To calculate the PHD, determine the average hourly flow during MDD and multiply by a peaking factor that is a minimum of 1.5.
(4) If no water usage data are available, utilize records from a system that is similar in size, elevation, climate, demography, residential property size, and metering to determine the average water usage per service connection. From the average water usage per service connection, calculate the average daily demand and follow the steps in paragraph (3) to calculate the MDD and PHD.
(c) Community water systems using only groundwater shall have a minimum of two approved sources before being granted an initial permit The system shall be capable of meeting MDD with the highest-capacity source off line.
(d) A public water system shall determine the total capacity of its groundwater sources by summing the capacity of its individual active sources. If a source is influenced by concurrent operation of another source, the total capacity shall be reduced to account for such influence. Where the capacity of a source varies seasonally, it shall be determined at the time of MDD.
(e) The capacity of a well shall be determined from pumping data existing prior to March 9, 2008 or in accordance with subsection (f) or (g). Prior to conducting a well capacity test pursuant to subsection (g), a system shall submit the information listed below to the Department for review and approval. For well capacity tests conducted pursuant to subsection (f), the information shall be submitted to the Department if requested by the Department.
(1) The name and qualifications of the person who will be conducting the test;
(2) The proposed test's pump discharge rate, based on the design rate determined during well development and/or a step-drawdown test.
(3) A copy of a United States Geological Survey 7 1/2-minute topographic map of the site at a scale of 1:24,000 or larger (1 inch equals 2,000 feet or 1 inch equals less than 2,000 feet) or, if necessary, a site sketch at a scale providing more detail, that clearly indicates;
(A) The well discharge location(s) during the test, and
(B) The location of surface waters, water staff gauges, and other production wells within a radius of 1000 feet;
(4) A well construction drawing, geologic log, and electric log, if available;
(5) Dates of well completion and well development, if known;
(6) Specifications for the pump that will be used for the test and the depth at which it will draw water from the well;
(7) A description of the methods and equipment that will be used to measure and maintain a constant pumping rate;
(8) A description of the water level measurement method and measurement schedule;
(9) For wells located in or having an influence on the aquifer from which the new well will draw water, a description of the wells' operating schedules and the estimated amount of groundwater to be extracted, while the new well is tested and during normal operations prior to and after the new well is in operation;
(10) A description of the surface waters, water staff gauges, and production wells-shown in (3)(B);
(11) A description of how the well discharge will be managed to ensure the discharge doesn't interfere with the test;
(12) A description of how the initial volume of water in the well's casing, or bore hole if there is no casing at the time, will be addressed to ensure it has no impact on the test results; and
(13) A written description of the aquifer's annual recharge.
(f) To determine the capacity of a well drilled in alluvial soils when there is no existing data to determine the capacity, a water system shall complete a constant discharge (pumping rate) well capacity test and determine the capacity as follows:
(1) Take an initial water level measurement (static water level) and then pump the well continuously for a minimum of eight hours, maintaining the pump discharge rate proposed in subsection (e)(2);
(2) While pumping the well, take measurements of the water level drawdown and pump discharge rates for a minimum of eight hours at a frequency no less than every hour;
(3) Plot the drawdown data versus the time data on semi-logarithmic graph paper, with the time intervals on the horizontal logarithm axis and the drawdown data on the vertical axis;
(4) Steady-state is indicated if the last four hours of drawdown measurements and the elapsed time yield a straight line in the plot developed pursuant to subsection (3). If steady-state is not achieved, the pump discharge rate shall be continued for a longer period of time or adjusted, with paragraphs (2) and (3) above repeated, until steady-state is achieved.
(5) Discontinue pumping and take measurements of the water level drawdown no less frequently than every 15 minutes for the first two hours and every hour thereafter for at least six hours or until the test is complete; and
(6) To complete the test, the well shall demonstrate that, within a length of time not exceeding the duration of the pumping time of the well capacity test, the water level has recovered to within two feet of the static water level measured at the beginning of the test or to a minimum of ninety-five percent of the total drawdown measured during the test, whichever is more stringent.
(7) The capacity of the well shall be the pump discharge rate determined by a completed test.
(g) The capacity of a well whose primary production is from a bedrock formation, such that the water produced is yielded by secondary permeability features (e.g. fractures or cracks), shall be determined pursuant to either paragraph (1) or (2) below.
(1) The public water system shall submit a report, for Department review and approval, proposing a well capacity based on well tests and the evaluation and management of the aquifer from which the well draws water. The report shall be prepared and signed by a California registered geologist with at least three years of experience with groundwater hydrology, a California licensed engineer with at least five years of experience with groundwater hydrology, or a California certified hydrogeologist. Acceptance of the proposed well capacity by the Department shall, at a minimum, be based on the Department's review and approval of the following information presented in the report in support of the proposed well capacity:
(A) The rationale for the selected well test method and the results;
(B) The geological environment of the well;
(C) The historical use of the aquifer;
(D) Data from monitoring of other local wells;
(E) A description of the health risks of contaminants identified in a Source Water Assessment, as defined in section 63000.84 of Title 22, and the likelihood of such contaminants being present in the well's discharge;
(F) Impacts on the quantity and quality of the groundwater;
(G) How adjustments were made to the estimated capacity based on drawdown, length of the well test, results of the wells test, discharge options, and seasonal variations and expected use of the well; and
(H) The well test(s) results and capacity analysis.
(2) During the months of August, September, or October, conduct either a 72-hour well capacity test or a 10-day well capacity test, and determine the well capacity using the following procedures:
(A) Procedures for a 72 hour well capacity test:
1. For the purpose of obtaining an accurate static water level value, at least twelve hours before initiating step 2., pump the well at the pump discharge rate proposed in subsection (e)(2) for no more than two hours, then discontinue pumping;
2. Measure and record the static water level and then pump the well continuously for a minimum of 72 hours starting at the pump discharge rate proposed in (e)(2);
3. Measure and record water drawdown levels and pump discharge rate: 
a. Every thirty minutes during the first four hours of pumping,
b. Every hour for the next four hours, and 
c. Every four hours thereafter until the water drawdown level is constant for at least the last four remaining measurements, and;
4. Plot the drawdown and pump discharge rate data versus time data on semi-logarithmic graph paper, with the time intervals on the horizontal logarithmic axis and the drawdown and pump discharge rate data on the vertical axis.
(B) Procedures for a 10 day well capacity test:
1. For the purpose of obtaining an accurate static water level value, at least twelve hours before initiating step 2., pump the well at the pump discharge rate proposed in subsection (e)(2) for no more than two hours, then discontinue pumping;
2. Measure and record the static water level and then pump the well continuously for a minimum of 10 days starting at the pump discharge rate proposed in (e)(2);
3. Measure and record water drawdown levels and pumping rate:
a. Every thirty minutes during the first four hours of pumping, 
b. Every hour for the next four hours, 
c. Every eight hours for the remainder of the first four days, 
d. Every 24 hours for the next five days, and 
e. Every four hours thereafter until the water drawdown level is constant for at least the last four remaining measurements, and;
4. Plot the drawdown and pump discharge rate data versus time data on semi-logarithmic graph paper, with the time intervals on the horizontal logarithmic axis and the drawdown and pump discharge rate data on the vertical axis.
(C) To complete either the 72-hour or 10-day well capacity test the well shall demonstrate that, within a length of time not exceeding the duration of the pumping time of the well capacity test, the water level has recovered to within two feet of the static water level measured at the beginning of the well capacity test or to a minimum of ninety-five percent of the total drawdown measured during the test, whichever is more stringent. If the well recovery does not meet these criteria, the well capacity cannot be determined pursuant to subsection (g)(2) using the proposed pump rate. To demonstrate meeting the recovery criteria, the following water level data in the well shall be measured, recorded, and compared with the criteria:
1. Every 30 minutes during the first four hours after pumping stops,
2. Hourly for the next eight hours, and
3. Every 12 hours until either the water level in the well recovers to within two feet of the static water level measured at the beginning of the well capacity test or to a at least ninety-five percent of the total drawdown measured during the test, which ever occurs first.
(D) Following completion of a 72-hour or 10-day well capacity test, the well shall be assigned a capacity no more than:
1. For a 72-hour test, 25 percent of the pumping rate at the end of a completed test's pumping.
2. For a 10-day test, 50 percent of the pumping rate at the end a completed test's pumping.
(h) The public water system shall submit a report to the Department that includes all data and observations associated with a well capacity test conducted pursuant to subsection (f) or (g), as well as the estimated capacity determination methods and calculations. The data collected during pumping and recovery phases of the well capacity tests shall be submitted in an electronic spreadsheet format in both tabular and graphic files.
(i) An assigned well capacity may be revised by the Department if pumping data collected during normal operations indicates that the assigned well capacity was not representative of the actual well capacity.
(j) If directed by the Department to do so, based on adverse conditions that may lead or may have led to a regional aquifer's inability to meet a water system's demand on such an aquifer, the water system shall submit a report to the Department that includes regional aquifer recharge estimates and a water balance analysis. The report shall be prepared and signed by a California registered geologist with at least three years of experience with groundwater hydrology, a California licensed engineer with at least five years of experience with groundwater hydrology, or a California certified hydrogeologist.
(k) The source capacity of a surface water supply or a spring shall be the lowest anticipated daily yield based on adequately supported and documented data.
(l) The source capacity of a purchased water connection between two public water systems shall be included in the total source capacity of the purchaser if the purchaser has sufficient storage or standby source capacity to meet user requirements during reasonable foreseeable shutdowns by the supplier.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116540, 116555 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64555. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64556. Permit Amendments.
Note     •     History

(a) An application for an amended domestic water supply permit shall be submitted to the Department prior to any of the following:
(1) Addition of a new distribution reservoir (100,000 gallon capacity or greater) to the distribution system;
(2) Modification or extension of an existing distribution system using an alternative to the requirements in this chapter;
(3) Modification of the water supply by:
A. Adding a new source;
B. Changing the status of an existing source (e.g., active to standby); or
C. Changing or altering a source, such that the quantity or quality of supply could be affected;
(4) Any addition or change in treatment, including:
A. Design capacity; or
B. Process; 
(5) Expansion of the existing service area (by 20% or more of the number of service connections specified in the most recent permit or permit amendment);
(6) Consolidation with one or more other water systems;
(7) Change in regulatory jurisdiction;
(8) Change in type of public water system;
(9) Obtaining a water quality standard exemption from the Department;
(10) Obtaining a secondary standard waiver from the Department;
(11) Proposal for modifications of existing recreational uses on a water supply reservoir;
(12) Request for a hand washing exclusion by a transient noncommunity water system, pursuant to section 116282 of the Health and Safety Code; or
(13) Proposal for offsetting domestic water needs with an unapproved water supply.
(b) A water system shall submit an application to the Department if it has been notified by the Department that changes to the water system require an amended permit based on the Department's review of system operations, source type and capacity, geographical location, system size, and distribution system complexity.
(c) Except as set forth in subsections(a) and (b) any modifications or extensions to an existing distribution system may be made without applying for and receiving an amended domestic water supply permit provided the modifications comply with all of the requirements of this chapter.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535, 116550 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64558. Source Capacity Planning Study.
Note     •     History

(a) If directed by the Department to do so based on its determination that there is an existing or potential problem with the system's source capacity or a proposed expansion pursuant to section 64556(a)(5), a water system shall submit a Source Capacity Planning Study (Study) containing the following information:
(1) The anticipated growth of the water system over a projected period of at least ten years in terms of the population and number and type of residential, commercial, and industrial service connections to be served by the water system.
(2) Estimates of the amount of water needed to meet the total annual demand and the MDD over the projected ten-year growth period (projected system demand). Methods, assumptions, and calculations used to estimate the projected system demand shall be included.
(3) A map and description of the entire existing and proposed service area, showing:
(A) The location of each water source, including wells that are abandoned, out-of-service, destroyed, standby, or inactive;
1. Any valid water rights owned by the system for surface water sources, including information on any limitations or restrictions of those rights;
2. For a groundwater aquifer, the groundwater levels and drawdown patterns;
3. Permits or approvals for groundwater extraction if pumping from an adjudicated groundwater basin;
4. Existing and planned source pumping capability and distribution storage capacity for the system as a whole and for each pressure zone; 
5. The calculated sustained well yields of existing wells if groundwater sources are used; 
6. Permits, if required, for any waters proposed for use to offset potable water demand; and
7. A Source Water Assessment for each potable water source.
(B) Distribution system piping, pressure zones, hydropneumatic tanks, and reservoirs;
(C) Valves, sample taps, flow meters, unmetered service connections, and other system appurtenances;
(D) Conveyance facilities; 
(E) Any flood plains in the projected service area; and
(F) The 100 year flood or highest recorded flood level, whichever is higher.
(b) If directed by the Department to do so based on its determination that a study is out of date, a water system shall update and submit the Study to the Department.
(c) Water systems that have submitted an Urban Water Management Plan to the Department of Water Resources pursuant to Water Code Part 2.6 commencing with section 10610, may submit a copy of that report in lieu of some or all of the requirements of subsection (a) to the extent such information is included in the plan.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116555 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
Article 3. Water Sources
§64560. New Well Siting, Construction, and Permit Application.
Note     •     History

(a) To receive a new or amended domestic water supply permit for a proposed well, the water system shall provide the following information to the Department in the technical report as part of its permit application:
(1) A source water assessment as defined in Section 63000.84 for the proposed site; 
(2) Documentation demonstrating that a well site control zone with a 50-foot radius around the site can be established for protecting the source from vandalism, tampering, or other threats at the site by water system ownership, easement, zoning, lease, or an alternative approach approved by the Department based on its potential effectiveness in providing protection of the source from contamination;
(3) Design plans and specifications for the well; and
(4) Documentation required for compliance with the California Environmental Quality Act (CEQA).
(b) After the Department has provided written or oral approval of the initial permit amendment application and the water system has constructed the well, the water system shall submit the following additional materials for its permit application:
(1) A copy of the well construction permit if required by the county or local agency;
(2) Department of Water Resources well completion report;
(3) A copy of any pump tests required by the Department;
(4) Results of all required water quality analyses; and 
(5) As-built plans.
(c) Each new public water supply well shall:
(1) As a minimum, be constructed in accordance with the community water system well requirements in California Department of Water Resources Bulletins 74-81 and 74-90, which are hereby incorporated by reference;
(2) Be constructed in accordance with American Water Works Association (AWWA) Standard A100-06 (Water Wells), which is hereby incorporated by reference;
(3) Be installed such that:
(A) All equipment is accessible for operation, maintenance, and removal;
(B) Protection is provided against flooding;
(C) The wellhead terminates a minimum of 18 inches above the finished grade;
(D) Wellhead and electrical controls are not installed in vaults;
(E) The well is equipped with:
1. Fittings and electrical connections to enable chlorination facilities to be readily installed;
2. A non-threaded down-turned sampling tap located on the discharge line between the wellhead and the check valve. Sampling taps used for obtaining samples for bacteriological analysis shall not have a screen, aerator, or other such appurtenance;
(F) Provisions are made to allow the well to be pumped to waste with a waste discharge line that is protected against backflow.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116530, 116535 and 131051, Health and Safety Code.
HISTORY

1. Repealer of former article 2 (sections 64560-64570) and repealer of section and new article 3 (sections 64560-64561) and new section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64560.5. Well Destruction.
Note     •     History

Destruction of a public drinking water supply well shall be in accordance with the California Department of Water Resources Bulletins 74-81 and 74-90.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64561. Source Flow Meters.
Note     •     History

Each water system shall:
(a) Except for inactive sources, install a flow meter at a location between each water source and the entry point to the distribution system;
(b) Meter the quantity of water flow from each source, and record the total monthly production each month.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116555 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6). For prior history, see Register 85, No. 42.
§64562. Quantity of Supply. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64563. Procedures for Determining Source Capacity. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64564. Procedures for Determining Needed Source Capacity and Needed Storage Volume. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64565. Department Approval of Source and Storage Capacities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
§64566. System Pressure. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64568. Conditions for Adding Service Connections. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
Article 4. Materials and Installation of Water Mains and Appurtenances
§64570. Materials and Installation.
Note     •     History

(a) All newly installed water mains shall comply with the materials and installation standards of the American Water Works Association pursuant to tables 64570-A and 64570-B. The standards are hereby incorporated by reference.

Table 64570-A
Materials Standards for Water Mains

Type of Material	Diameter of Main	Applicable Standard

PVC	 4 in. through 12 in. 	C900-97
PVC	14 in. through 48 in. 	C905-97
Polyethylene (HDPE) 	4 in. through 63 in. 	C906-99
Fiberglass	All sizes	C950-01
Ductile Iron	All sizes	C150/A21.50-02
Ductile Iron, Centrifugally cast	All sizes	C151/A21.51-02
Steel	6 inches and larger	C200-97
Copper	All sizes	C800-05
Concrete
 Reinforced steel-cylinder	All sizes	C300-04
 Prestressed steel-cylinder	All sizes	C301-99, 
		C304-99
 Reinforced noncylinder	All sizes	C302-04
 Bar wrapped/steel cylinder	All sizes	C303-02
PVC, Molecularly oriented polyvinyl 
 chloride 	All sizes	C909-02

Table 64570-B
Installation Standards for Water Mains

Type of Installation	Applicable Standard
Steel Pipe-Design and Installation	M-11 (2004)
Ductile-Iron Water Mains and Their Appurtenances	C600-05
Underground Installation of PVC Pressure Pipe and
 Fittings 	C605-05
Concrete Pressure Pipe	M9(1995)
(b) Water mains shall:
(1) Be installed below the frost line or be otherwise protected to prevent freezing; and
(2) Be protected against crushing under loads that could pass above the installation. 
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. New article 4 (sections 64570-64578) and repealer and new section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64572. Water Main Separation.
Note     •     History

(a) New water mains and new supply lines shall not be installed in the same trench as, and shall be at least 10 feet horizontally from and one foot vertically above, any parallel pipeline conveying:
(1) Untreated sewage,
(2) Primary or secondary treated sewage,
(3) Disinfected secondary-2.2 recycled water (defined in section 60301.220),
(4) Disinfected secondary-23 recycled water (defined in section 60301.225), and
(5) Hazardous fluids such as fuels, industrial wastes, and wastewater sludge.
(b) New water mains and new supply lines shall be installed at least 4 feet horizontally from, and one foot vertically above, any parallel pipeline conveying:
(1) Disinfected tertiary recycled water (defined in section 60301.230), and
(2) Storm drainage.
(c) New supply lines conveying raw water to be treated for drinking purposes shall be installed at least 4 feet horizontally from, and one foot vertically below, any water main.
(d) If crossing a pipeline conveying a fluid listed in subsection (a) or (b), a new water main shall be constructed no less than 45-degrees to and at least one foot above that pipeline. No connection joints shall be made in the water main within eight horizontal feet of the fluid pipeline.
(e) The vertical separation specified in subsections (a), (b), and (c) is required only when the horizontal distance between a water main and pipeline is less than ten feet.
(f) New water mains shall not be installed within 100 horizontal feet of the nearest edge of any sanitary landfill, wastewater disposal pond, or hazardous waste disposal site, or within 25 horizontal feet of the nearest edge of any cesspool, septic tank, sewage leach field, seepage pit, underground hazardous material storage tank, or groundwater recharge project site.
(g) The minimum separation distances set forth in this section shall be measured from the nearest outside edge of each pipe barrel.
(h) With Department approval, newly installed water mains may be exempt from the separation distances in this section, except subsection (f), if the newly installed main is:
(1) less than 1320 linear feet,
(2) replacing an existing main, installed in the same location, and has a diameter no greater than six inches more than the diameter of the main it is replacing, and
(3) installed in a manner that minimizes the potential for contamination, including, but not limited to:
(A) sleeving the newly installed main, or
(B) utilizing upgraded piping material
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64573. Minimum Water Main Size for Community Water Systems.
Note     •     History

Newly installed water mains in a community water system shall have a nominal diameter of at least four inches.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64575. Flushing.
Note     •     History

(a) A flushing valve or blowoff shall be provided at the end of each newly installed dead-end water main. Fire hydrants meeting the criteria of this section may be considered flushing valves.
(b) Flushing valves and blowoffs shall not discharge to a sanitary sewer without an air gap separation between the sewer and the valve or blowoff.
(c) The flushing velocity in the main shall not be less than 2.5 ft/s unless it is determined that conditions do not permit the required flow to be discharged to waste.
(d) Newly installed flushing valves and blowoffs shall be designed to maintain the minimum continuous flushing flows as indicated below to produce a minimum velocity of 2.5ft/s in commonly used sizes of pipe.

Table 64575-A. Minimum Flushing Flows for Different 
Size Water Mains.

	Nominal Main Size	Minimum Flushing Flow
	Diameter (inches) 	(gallons per minute)

		2	 25
		3	 50
		4	100
		6	225
		8	400
		10	600
		12	900
		14	1200
		16	1600
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
2. Change without regulatory effect amending subsection (a) filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
§64576. Air-Release, Air Vacuum, and Combination Valves.
Note     •     History

Each new air-release, air vacuum, or combination valve, and any such valve installed to replace an existing valve shall be:
(a) Installed such that its vent opening is above grade, above the calculated 100-year flood water level, and, if recorded data are available, above the highest recorded water level;
(b) Readily accessible for inspection, maintenance and replacement;
(c) Constructed and designed to prevent exposure to rainwater or runoff, vandalism, and birds, insects, rodents, or other animals;
(d) Fitted with a downward-facing screened vent or a domed and screened cap; and
(e) Installed pursuant to American Water Works Association Standard C512-04 and Manual M51 (2001), which are hereby incorporated by reference.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64577. Isolation Valves.
Note     •     History

As a minimum, isolation valves shall be installed on all new water mains within the distribution system as follows:
(a) No farther than 1,320 linear feet apart on all mains having a diameter of 12 inches or less.
(b) At each tee or crossing connection between mains that have a diameter of 12 inches or less, within 100 feet of the tee or crossing connection with the primary main.
(c) Between the water main and each fire hydrant served by the main.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64578. Water Main Valve Construction.
Note     •     History

Newly installed valves constructed on water mains shall comply with the following:
(a) A valve box shall be installed over each buried valve stem to aid in locating and operating the valve.
(b) For valves buried in trenches greater than five feet below the finished grade, either a valve stem riser to permit the use of a normal key or a notation on valve records indicating that a long key will be required shall be provided.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
Article 5. Disinfection Requirements
§64580. Disinfection of New or Repaired Mains.
Note     •     History

Prior to use, newly installed water mains, or water mains that have been taken out of service for maintenance or repair, shall be disinfected and sampled for bacteriological quality in accordance with American Water Works Association Standard C651-05, which is hereby incorporated by reference. Samples from new mains shall be negative for coliform bacteria prior to the new main(s) being placed into service.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. New article 5 (sections 64580-64583) and section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6). 
§64582. Disinfection of Reservoirs.
Note     •     History

A newly-installed distribution reservoir or distribution reservoir that has been taken out of service for repair or inspection shall be disinfected and sampled for bacteriological quality in accordance with the American Water Works Association Standard C652-02, which is hereby incorporated by reference. If the results of the bacteriological sampling are positive for coliform bacteria, the reservoir shall be resampled for bacteriological quality and the test results shall be submitted to the Department for review and approval before the reservoir is placed into service.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64583. Disinfection of Wells.
Note     •     History

A new or repaired well, or a well that has not been in operation for more than three months shall be sampled for bacteriological quality prior to use. If the results of the bacteriological sampling are positive for coliform bacteria, the well shall be disinfected in accordance with the American Water Works Association C654-03, which is hereby incorporated by reference, and resampled for bacteriological quality and the test results shall be submitted to the Department for review and approval before the well is placed into service. 
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
Article 6. Distribution Reservoirs
§64585. Design and Construction.
Note     •     History

(a) Each distribution reservoir shall meet the following:
(1) Any reservoir coatings or linings shall be installed in accordance with manufacturer's instructions;
(2) Vents and other openings shall be constructed and designed to prevent the entry of rainwater or runoff, and birds, insects, rodents, or other animals;
(3) At least one sampling tap shall be available to enable representative sampling of the water in the reservoir that will be entering the distribution system; the tap shall be protected against freezing, if necessary; and
(4) A reservoir shall not be designed, constructed, or used for any activity that creates a contamination hazard.
(b) The water supplier shall submit to the Department for review the design drawings and specifications for each proposed distribution reservoir prior to its construction. Each new distribution reservoir shall be:
(1) If it is a tank, constructed in accordance with American Water Works Association (AWWA) standards, which are hereby incorporated by reference, as follows: AWWA D100-05 (Welded Carbon Steel Tanks for Water Storage), D102-03 (Coating Steel Water-Storage Tanks), D103-97 (Factory-Coated Bolted Steel Tanks for Water Storage), D110-04 (Wire-and Strand-Wound, Circular, Prestressed Concrete Water Tanks), and D120-02 (Thermosetting Fiberglass-Reinforced Plastic Tanks);
(2) Constructed of an impervious material that prevents the movement of water into or out of the reservoir;
(3) Covered with
(A) A rigid structural roof made of impervious material that prevents the movement of water or other liquids into or out of the reservoir; or
(B) A floating cover designed, constructed, and maintained in conformance with the AWWA California-Nevada Section's “Reservoir Floating Cover Guidelines” (April 1999), AWWA Manual M25 (2000), and AWWA D130-02 (Flexible-Membrane Materials for Potable Water Applications), which are hereby incorporated by reference.
(4) Equipped with at least one separate inlet and outlet (internal or external), and designed to minimize short-circuiting and stagnation of the water flow through the reservoir;
(5) Equipped with drainage facilities that allow the tank to be drained and all residual sediment removed, and an overflow device. The reservoir drainage facilities and overflow device shall not be connected directly to a sewer or storm drain and shall be free of cross-connections;
(6) Equipped with controls to maintain and monitor reservoir water levels;
(7) Equipped to prevent access by unauthorized persons;
(8) Designed to allow authorized access and adequate lighting of reservoir interior for inspections, cleaning or repair;
(9) Equipped with isolation valves, and designed and operated to allow continued distribution of water when the reservoir is removed from service. The isolation valves shall be located within 100 feet of the reservoir. For a reservoir used to meet the disinfectant contact time requirements of chapter 17 (Surface Water Treatment), bypass lines shall be blind-flanged closed during normal operations;
(10) Designed and constructed to prevent the entry of surface runoff, subsurface flow, or drainage into the reservoir; 
(11) Designed to prevent corrosion of the interior walls of the reservoir;
(12) For a subsurface reservoir,
(A) Protected against flooding (both reservoir and vents);
(B) Equipped with underdrain facilities to divert any water in proximity to the reservoir away from the reservoir;
(C) Sited a minimum of 50 feet horizontally from a sanitary sewer and 100 feet horizontally from any other waste facilities and any force main;
(D) Constructed so as to have the reservoir bottom located above the highest anticipated groundwater level, based on a site investigation that includes actual measurements of the groundwater level during peak rainfall periods; extraction wells shall not be used to influence the highest anticipated groundwater level;
(E) Provided with a minimum of two groundwater level monitoring wells drilled to a depth at least 20 feet below the reservoir bottom and sited within 100 feet and on opposite sides (upgradient and downgradient) of the reservoir; and
(F) If the roof is to be buried and have a function (e.g., recreation, landscape, parking) in addition to covering the reservoir:
1. Designed and constructed pursuant to AWWA D110-04 (Wire- Strand-Wound, Circular, Prestressed Concrete Water Tanks), which is hereby incorporated by reference;
2. Equipped with an impervious connection, such as a pvc waterstop, between the wall and buried roof; and
3. Watertight, sloped for drainage and coated with a damp proofing material.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. New article 6 (section 64585) and section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
Article 7. Additives
§64590. Direct Additives.
Note     •     History

No chemical or product shall be added to drinking water by a water supplier unless the chemical or product is certified as meeting the specifications of NSF International/American National Standard Institute (NSF/ANSI) 60-2005 (Drinking Water Treatment Chemicals--Health Effects), which is hereby incorporated by reference. Certification shall be from an ANSI accredited product certification organization whose certification system includes, as a minimum, the following criteria for ensuring the chemical or product meets NSF/ANSI Standard 60. 
(a) Annual product testing,
(b) Annual facility inspections,
(c) Annual quality assurance and quality control review,
(d) Annual manufacturing practice reviews, and 
(e) Annual chemical stock inspections.
NOTE

Authority cited: Section 116350, 116375 and 131200, Health and Safety Code.  Reference: Sections 116275, 116375, 116550 and 131051, Health and Safety Code.
HISTORY

1. New article 7 (sections 64590-64593) and renumbering of former section 64700 to new section 64590, including amendment of section and Note, filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64591. Indirect Additives.
Note     •     History

(a) Except as provided in Section 64593 or where a more stringent statutory requirement exists, after March 9, 2008, a water system shall not use any chemical, material, lubricant, or product in the production, treatment or distribution of drinking water that will result in its contact with the drinking water including process media (carbon, sand), protective materials (coatings, linings, liners), joining and sealing materials (solvent cements, welding materials, gaskets, lubricating oils), pipes and related products (pipes, tanks, fittings), and mechanical devices used in treatment/transmission/distribution systems (valves, chlorinators, separation membranes) that has not been tested and certified as meeting the specifications of NSF International/American National Standard Institute (NSF/ANSI) 61-2005 / Addendum 1.0-2005 (Drinking Water System Components--Health Effects), which is hereby incorporated by reference. This requirement shall be met under testing conducted by a product certification organization accredited for this purpose by the American National Standards Institute.
(b) If a treatment chemical is generated on site, 
(1) No equipment used in the generation process shall be in contact with a drinking water, or a chemical to be applied to drinking water, after March 9, 2008, unless the equipment has been tested and certified as meeting the specifications of NSF International/American National Standard Institute (NSF/ANSI) Standard 61-2005/Addendum 1.0-2005 (Drinking Water System Components--Health Effects). This requirement shall be met under testing conducted by a product certification organization accredited for this purpose by the American National Standards Institute; and
(2) No input chemical used in the generation process shall be in contact with a drinking water after March 9, 2008 unless the chemical meets the requirements of section 64590.
(c) Any chemical used to clean on-line or off-line drinking water treatment facilities that may subsequently come into contact with drinking water to be distributed to the public shall meet the requirements of section 64590.
(d) Any contract for the purchase of chemicals, materials, or products that was signed by a public water system and effective prior to March 9, 2008 shall be exempt from the provisions of subsections (a) and (b) until March 9, 2009.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. New section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64593. Use of Uncertified Chemicals, Materials or Products.
Note     •     History

(a) A water supplier may use a chemical, material or product that has not been certified pursuant to sections 64590 or 64591 if the chemical, material or product is in the process of being tested and certified and there are no certified alternatives.
(b) Prior to use of an uncertified chemical, material or product, the water supplier shall provide the Department with an explanation of the need for the chemical, material or product; the date that the chemical, material or product was submitted for testing; the name of the accredited product certification organization conducting the testing; and a statement that certified alternatives are not available.
(c) Unless directed otherwise by the Department to ensure a pure and wholesome drinking water supply, a water supplier may use the following chemicals, materials, or products that have not been and are not in the process of being certified pursuant to section 64590 or 64591:
(1) a material or product previously approved by the Department for use or installation on or before March 9, 2008; 
(2) a material or product constructed of components meeting the requirements of sections 64590 and 64591;
(3) chemical by-products necessary for meeting drinking water standards, such as sodium hypochlorite for disinfection, generated by chemicals certified pursuant to section 64590 or 64591; and
(4) atmospheric air and small parts, such as probes, sensors, wires, nuts, bolts, and tubing for which there are no certified alternatives.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 64710 to new section 64593, including amendment of section heading, section and Note, filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6). 
Article 8. Distribution System Operation
§64600. Water System Operations and Maintenance Plan.
Note     •     History

(a) If directed by the Department to do so based on an identified deficiency in the system's operations, a water system shall develop and submit a Water System Operations and Maintenance Plan (Plan); the water system shall include those elements in the following list that are deemed by the Department to be relevant to the deficiency:
(1) The operations and maintenance schedule for each unit process for each treatment plant that treats an approved surface water;
(2) The operations and maintenance schedule for each groundwater source and unit process;
(3) The schedule and procedure for flushing dead end mains, and the procedures for disposal of the flushed water including dechlorination;
(4) The schedule for routine inspection of reservoirs, and the procedures for cleaning reservoirs;
(5) The schedule and procedures for inspecting, repairing, and replacing water mains;
(6) The plan and procedures for responding to water supply emergencies;
(7) The plan and procedures for responding to consumer complaints;
(8) The schedule and procedures for testing backflow prevention assemblies;
(9) The schedule and procedures for routine exercising of water main valves;
(10) The schedule and program for maintenance and calibration of source flow meters and other online instruments used to determine the quality or quantity of water;
(11) The qualifications and training of operating personnel;
(12) The program for control of biological organisms on the interior walls of water mains; and
(13) For an underground reservoir with a buried roof designed for a function in addition to covering the reservoir, a comprehensive routine inspection and monitoring plan to ensure that there is no contamination of the reservoir as a result of that additional function.
(b) Each water system that has prepared a Plan pursuant to subsection (a) shall operate in accordance with its Department-approved Plan.
(c) Each water system that has prepared a Plan pursuant to subsection (a) shall update the Plan at least once every five years and, in addition, following any change in the method of treatment or any other modification to the system requiring a change in the systems operations and maintenance.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535 and 131051, Health and Safety Code.
HISTORY

1. Repealer of former article 3 (sections 64600-64604) and section and new article 8 (sections 64600-64604) and new section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6). 
§64602. Minimum Pressure.
Note     •     History

(a) Each distribution system shall be operated in a manner to assure that the minimum operating pressure in the water main at the user service line connection throughout the distribution system is not less than 20 pounds per square inch at all times.
(b) Each new distribution system that expands the existing system service connections by more than 20 percent or that may otherwise adversely affect the distribution system pressure shall be designed to provide a minimum operating pressure throughout the new distribution system of not less than 40 pounds per square inch at all times excluding fire flow.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116535, 116555 and 131051, Health and Safety Code.
HISTORY

1. Repealer of subsection (c) filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer and new section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64604. Preparation and Maintenance of Records.
Note     •     History

(a) Each public water system subject to this chapter shall prepare:
(1) “As built” plans, maps, and drawings of all new water system facilities including updated information for all existing facilities in the same location or connected to the new facilities. The plans, maps, and drawings shall be clear and legible and shall include the location, size, construction material, and year of installation of each new water main or other facility.
(2) A schematic drawing or map showing the location of each water source, treatment facility, pumping plant, reservoir, water main and isolation valve.
(b) The plans, drawings, and maps prepared pursuant to subsection (a) shall be updated as changes occur, and maintained until replaced or superseded by updated plans or drawings. The most current plans, drawings, and maps shall be available for Department review.
(c) Results of laboratory analyses of samples taken pursuant to sections 64580, 64582, and 64583, records of flushing of mains; and records of reservoir inspections and cleaning shall be maintained for at least three years.
NOTE

Authority cited: Sections 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116275, 116375, 116450, 116535 and 131051, Health and Safety Code. 
HISTORY

1. Repealer and new section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6). 
§64610. Basic Design of Pumping Stations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repeal and deletion of former article 4 heading and repealer of article 4 (sections 64610-64612) filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64612. Water Sealed Pumps. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64622. Water Main Materials. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repeal and deletion of former article 5 heading and repealer of article 5 (sections 64622-64644) and section filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64624. Water Main Selection and Installation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64626. Layout of Water Mains. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64628. Minimum Water Main Diameter and Length of Run. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Amendment of subsection (d)(2) filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64630. Water Main Installation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64632. Water Main Valve Locations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64634. Water Main Valve Construction Standards. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Amendment filed 10-9-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64636. Air and Vacuum Relief and Air Release Valves. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64638. Water Main Joints. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64640. Fire Hydrants. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64642. Flushing Valves and Blowoffs. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64644. Service Connection Pipe. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013 and 4019, Health and Safety Code.
HISTORY

1. Repealer filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
Chapter 17. Surface Water Treatment
Article 1. General Requirements and Definitions
§64650. General Requirements.
Note     •     History

(a) For a supplier using an approved surface water, as defined in section 64651.10, this chapter establishes treatment techniques in lieu of maximum contaminant levels for turbidity and the following microbial contaminants: Giardia lamblia (cysts), viruses, heterotrophic plate count bacteria, and Legionella.  In addition, for a supplier using an approved surface water and serving at least 10,000 people, Article 3.5, commencing with section 64657, establishes treatment techniques in lieu of maximum contaminant limits for Cryptosporidium.
(b) Each supplier using an approved surface water shall provide multibarrier treatment necessary to reliably protect users from the adverse health effects of microbiological contaminants and to comply with the requirements and performance standards prescribed in this chapter. A supplier that meets the requirements of section 64652.5 and wishes to not be required to provide multibarrier treatment shall submit an application to the Department. That application shall consist of comprehensive documentation that either demonstrates current compliance with the requirements in section 64652.5 or demonstrates that the water system will be in compliance within fifteen months from application submittal. Within 30 days, the Department will review the application and inform the applicant in writing that the application is complete and accepted for filing, or that the application is deficient and what specific information is required. Within 90 days from the date the application is accepted for filing, the Department will complete its review of the documentation, determine whether to approve the application, and notify the water supplier. If at any time the Department determines that a water supplier is not in compliance with the requirements of this chapter, the Department will notify the supplier of that determination within 30 days of its being made.
(c) Except as provided for existing treatment plants in section 64652(c), within 90 days from the date of notification by the Department pursuant to subsection (b), the supplier shall submit for Department approval a plan and schedule to modify its system to meet the requirements of this chapter. 
(d) If the supplier disagrees with the Department's notification specified in subsection (b), then the supplier shall submit reasons for its disagreement within 30 days from the receipt of the notification. The Department shall notify the supplier of its final determination in writing within 30 days of receipt of the supplier's reasons for disagreement. If the Department's final determination is that the supplier does not meet the requirements of this chapter, then the supplier shall comply with provisions of subsection (c) within 90 days of receipt of the Department's final determination.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116350, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of chapter heading, section and Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
3. Amendment of subsection (a) and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64651.10. Approved Surface Water.
Note     •     History

“Approved surface water” means a surface water or groundwater under the direct influence of surface water that has received permit approval from the Department in accordance with sections 116525 through 116550 of the Health and Safety Code.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of section and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64651.16. Coagulant Chemical.
Note     •     History

“Coagulant chemical” means a floc-forming agent that has been demonstrated to provide coagulation.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.20. Coagulation.
Note     •     History

“Coagulation” means a process using coagulant chemicals and rapid mixing, by which colloidal and suspended material are destabilized and agglomerated into settleable and/or filterable flocs.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.21. Comprehensive Performance Evaluation (CPE).
Note     •     History

“Comprehensive performance evaluation (CPE)” means a review and analysis of a treatment plant's performance-based capabilities and associated administrative, operation, and maintenance practices. 
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625 and 131051, Health and Safety Code.
HISTORY

1. New section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64651.23. Conventional Filtration Treatment.
Note     •     History

“Conventional filtration treatment” means a series of treatment processes which includes coagulation, flocculation, sedimentation, and filtration resulting in substantial particulate removal.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.26. Diatomaceous Earth Filtration.
Note     •     History

“Diatomaceous earth filtration” means a process resulting in particulate removal in which a precoat cake of graded diatomaceous earth filter media is deposited on a support membrane (septum) and, while the water is being filtered by passing through the cake on the septum, additional filter media known as body feed is continuously added to the feed water to maintain the permeability of the filter cake.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.30. Direct Filtration Treatment.
Note     •     History

“Direct filtration treatment” means a series of processes including coagulation, flocculation, and filtration but excluding sedimentation.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1. 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.32. Disinfectant Contact Time.
Note     •     History

“Disinfectant contact time” means the time in minutes that it takes for water to move from the point of disinfectant application or a previous point of disinfectant residual measurement to a point before or at the point where residual disinfectant concentration is measured. Disinfectant contact time in pipelines is calculated by dividing the internal volume of the pipe by the flow rate through the pipe. Disinfectant contact time within mixing basins and storage reservoirs is determined by tracer studies or an equivalent demonstration to the Department.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.33. Disinfection.
Note     •     History

“Disinfection” means a process which inactivates pathogenic organisms in water by chemical oxidants or equivalent agents.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.34. Disinfection Profile.
Note     •     History

“Disinfection profile” means a summary of Giardia lamblia or virus inactivation through the treatment plant.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625 and 131051, Health and Safety Code.
HISTORY

1. New section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64651.36. Engineering Report.
Note     •     History

“Engineering report” means a water treatment technical report prepared by a qualified engineer.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1. 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.38. Filter Profile.
Note     •     History

“Filter profile” means a graphical representation of individual filter performance, based on continuous turbidity measurements or total particle counts versus time for an entire filter run, from startup to backwash inclusively, that includes data collected while another filter is being backwashed.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625 and 131051, Health and Safety Code.
HISTORY

1. New section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64651.40. Filter-To-Waste.
Note     •     History

“Filter-to-waste” means a provision in a filtration process to allow the first filtered water, after backwashing a filter, to be wasted or reclaimed.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.43. Filtration.
Note     •     History

“Filtration” means a process for removing particulate matter from water by passage through porous media.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.46. Flocculation.
Note     •     History

“Flocculation” means a process to enhance agglomeration or collection of smaller floc particles into larger, more easily settleable or filterable particles through gentle stirring by hydraulic or mechanical means.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.50. Groundwater Under the Direct Influence of Surface Water.
Note     •     History

“Groundwater under the direct influence of surface water” means any water beneath the surface of the ground with significant occurrence of insects or other macroorganisms, algae or large diameter pathogens such as Giardia lamblia or Cryptosporidium, or significant and relatively rapid shifts in water characteristics such as turbidity, temperature, conductivity or pH which closely correlate to climatological or surface water conditions.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of section and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64651.53. Legionella.
Note     •     History

“Legionella” means a genus of bacteria, some species of which have caused a type of pneumonia called Legionnaires disease.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of section and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64651.56. Multibarrier Treatment.
Note     •     History

“Multibarrier treatment” means a series of water treatment processes that provide for both removal and inactivation of waterborne pathogens.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.60. NTU (Nephelometric Turbidity Unit).
Note     •     History

“Nephelometric Turbidity Unit (NTU)” means a measurement of the turbidity of water as determined by the methods in 40 Code of Federal Regulations, part 141.74(a)(1) (67 Fed. Reg. 65888 (October 29, 2002)), which is incorporated by reference. 
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25). 
2. Amendment of section and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64651.63. Pressure Filter.
Note     •     History

“Pressure filter” means a pressurized vessel containing properly sized and graded granular media.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.66. Qualified Engineer.
Note     •     History

“Qualified engineer” means a Civil Engineer, registered in the State of California, with 3 years experience in water treatment design, construction, operation, and watershed evaluations.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.70. Residual Disinfectant Concentration.
Note     •     History

“Residual disinfectant concentration” means the concentration of the disinfectant in milligrams per liter (mg/l) in a representative sample of water.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code, Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25). 
§64651.73. Sedimentation.
Note     •     History

“Sedimentation” means a process for removal of settleable solids before filtration by gravity or separation.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.76. Slow Sand Filtration.
Note     •     History

“Slow sand filtration” means a process involving passage of raw water through a bed of sand at rates not to exceed 0.10 gallons per minute per square foot resulting in substantial particulate removal by physical and biological mechanisms.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4017, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.80. Supplier.
Note     •     History

“Supplier,” for the purpose of this chapter, means the owner or operator of a water system for the provision to the public of piped water for human consumption, provided such system has at least 15 service connections or regularly serves at least 25 individuals daily at least 60 days out of the year.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4017, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.83. Surface Water.
Note     •     History

“Surface water” means all water open to the atmosphere and subject to surface runoff. For purposes of this chapter, water runoff originating from the lined walls and other man-made appurtenant structures of treated water distribution reservoirs, is excluded from the definition of surface water.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4 and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.86. Turbidity Level.
Note     •     History

“Turbidity level” means the value in NTU obtained by measuring the turbidity of a representative grab sample of water at a specified regular interval of time. If continuous turbidity monitoring is utilized, the turbidity level is the discrete turbidity value at a given time.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.88. Uncovered Finished Water Storage Facility.
Note     •     History

“Uncovered finished water storage facility” means a tank, reservoir, or other facility that is open to the atmosphere with no cover or other means to prevent access by waterfowl, rodents, or other pests and is used to store water that will undergo no further treatment except residual disinfection.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625 and 131051, Health and Safety Code.
HISTORY

1. New section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64651.90. Virus.
Note     •     History

“Virus” means a virus of fecal origin which is infectious to humans by waterborne transmissions.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4 and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
§64651.91. Waterborne Microbial Disease Outbreak.
Note     •     History

“Waterborne microbial disease outbreak” means the significant occurrence of acute infectious illness, epidemiologically associated with the ingestion of water from a public water system which is deficient in treatment, as determined by a County Health Officer or the Department.
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Sections 116270, 116275, 116350, 116365, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550 and 116625, Health and Safety Code.
HISTORY

1. New section filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
§64651.93. Watershed.
Note     •     History

“Watershed” means the area contained in a drainage basin which is tributary to a water supply diversion point.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, and 4031, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
Article 2. Treatment Requirements, Watershed Protection Requirements, and Performance Standards
§64652. Treatment Requirements and Compliance Options.
Note     •     History

(a) Each supplier using an approved surface water shall provide multibarrier treatment that meets the requirements of this chapter and reliably ensures at least:
(1) A total of 99.9 percent reduction of Giardia lamblia cysts through filtration and disinfection; and
(2) A total of 99.99 percent reduction or viruses through filtration and disinfection.
(b) Suppliers meeting the requirements of section 64654 in combination with either section 64652.5 or 64653 shall be deemed to be in compliance with the minimum reduction requirements specified in section 64652(a).
(c) For treatment plants existing as of June 13, 1990, which do not consist of the approved technologies specified in section 64653(a), or are not in compliance with the design criteria specified in section 64658, the supplier shall submit a report demonstrating that the plant can be operated to reliably produce water meeting the performance requirements of sections 64653 and 64654. This demonstration shall be a presentation and analysis of the latest 12 months of operating data, and special studies conducted to test the performance of the plant under adverse water quality conditions or other means. The supplier shall submit the required report within 15 months of being notified by the Department pursuant to section 64650(b) that their plant does not consist of the approved technologies.
(d) In addition to complying with subsections (a) through (c), a supplier using an approved surface water and serving at least 10,000 people shall also comply with the requirements of Article 3.5, commencing with section 64657. 
(e) No variances from the requirements in this section are permitted.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of article heading, section heading, section and Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
3. Amendment of subsection (a)(1), new subsection (d), subsection relettering and amendment of Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64652.5. Criteria for Avoiding Filtration.
Note     •     History

(a) A supplier that uses an approved surface water shall meet all of the requirements of this section to avoid the necessity of providing filtration. A supplier that uses an approved surface water and serves at least 10,000 people shall also meet the requirements of section 64657.10 to avoid the necessity of providing filtration. Within 18 months of the failure of a supplier using an approved surface water to meet any one of the requirements of subsections (b) through (l) or section 64657.10, the supplier shall have installed filtration and meet the requirements for filtered systems specified in sections 64653, 64658, 64659, 64660, and 64661 and Article 3.5, commencing with section 64657.
(b) The approved surface water quality shall be monitored downstream of all surface water and groundwater under the influence of surface water contributions and upstream of the first or only point of disinfectant application, as follows:
(1) For fecal or total coliform density at the following minimum frequency each week:

	System size (persons served)	Samples/week

	<UN-> 500	1
	501-3,300	2*
	3,301-10,000	3*
	10,001-25,000	4*
	> 25,000	5*
*Shall be taken on separate days.
(2) For fecal or total coliform density, once every day the turbidity of the source water exceeds 1 NTU unless the Department determines that the system, for logistical reasons outside the system's control, is unable to have the sample analyzed within 30 hours of collection. If collected, these samples count toward the weekly coliform sampling requirement.
(3) For turbidity at a minimum frequency of once every four hours. A supplier may substitute continuous turbidity monitoring for grab sample monitoring if, at regular intervals, it validates the accuracy of the continuous measurement using a protocol approved by the Department.
(c) The approved surface water quality monitored pursuant to subsection (b) shall meet the following criteria:
(1) The fecal coliform concentration shall be equal to or less than 20/100 ml, or the total coliform concentration shall be equal to or less than 100/100 ml, in representative samples of the approved surface water in at least 90 percent of the measurements made for the six previous months that the system served unfiltered approved surface water to the public on an ongoing basis. If a system measures both fecal and total coliforms, the fecal coliform criterion, not the total coliform criterion, in this paragraph shall be met.
(2) The turbidity level shall not exceed 5 NTU in representative samples of the approved surface water unless:
(A) The Department determines that any such event was caused by circumstances that were unusual and unpredictable; and
(B) As a result of any such event, there have not been more than two events in the past 12 months the system served unfiltered approved surface water to the public, or more than five events in the past 120 months the system served unfiltered approved surface water to the public, in which the turbidity level exceeded 5 NTU. An “event” is one day or a series of consecutive days during which at least one turbidity measurement each day exceeds 5 NTU.
(d) Water quality information collected pursuant to subsection (a) shall be reported to the Department in conformance with the requirements of 40 CFR section 141.75(a)(1) (54 Fed. Reg. 27535, June 29, 1989).
(e) The supplier shall maintain a watershed control program which minimizes the potential for contamination by Giardia lamblia cysts and viruses in the source water. The adequacy of a program to limit potential contamination by Giardia lamblia cysts and viruses shall be determined by: the comprehensiveness of the watershed review; the effectiveness of the supplier's program to monitor and control detrimental activities occurring in the watershed; and the extent to which the water system has maximized land ownership and/or controlled land use within the watershed. At a minimum, the watershed control program shall:
(1) Characterize the watershed hydrology and land ownership;
(2) Identify watershed characteristics and activities which may have an adverse effect on water quality;
(3) Monitor the occurrence of activities which may have an adverse effect on water quality. The supplier shall demonstrate through ownership and/or written agreements with landowners within the watershed that it can control all human activities which may have an adverse impact on the microbiological quality of the water. The supplier shall submit an annual report to the Department that identifies any special concerns about the watershed and how they are being handled; describes activities in the watershed that affect water quality; and projects what adverse activities are expected to occur in the future and how the public water system expects to address them; and
(4) Monitor the presence of Giardia lamblia cysts in the approved surface water whenever agricultural grazing, water oriented recreation, or point source domestic wastewater discharges occur on the watershed. At a minimum the monitoring shall measure the Giardia lamblia cyst concentration monthly at a point immediately prior to the first or only point of disinfectant application. The monitoring results shall be included in an annual report to the Department. This monitoring requirement may be waived after one year for suppliers serving fewer than 500 persons when the monitoring results indicate a mean Giardia lamblia cyst concentration of 1 cyst per 100 litres or less.
(f) The water system shall be subject to an annual on-site inspection to assess the watershed control program and disinfection treatment process. Either the Department or a party approved by the Department shall conduct the on-site inspection. The inspection shall be conducted by competent individuals who have a sound understanding of public health principles and waterborne diseases, such as sanitary engineers, civil engineers, environmental health specialists, or technicians who have experience and knowledge about the operation and maintenance of a public water system. A report of the on-site inspection summarizing all findings shall be prepared every calendar year and submitted to the Department, if not conducted by the Department, by December 31 of that year. The on-site inspection shall be comprehensive to enable the Department to determine whether the watershed control program and disinfection treatment process are adequately designed and maintained. The on-site inspection shall include:
(1) A review of the effectiveness of the watershed control program;
(2) A review of the physical condition of the source intake and how well it is protected;
(3) A review of the supplier's equipment maintenance program to ensure there is low probability for failure of the disinfection process;
(4) An inspection of the disinfection equipment for physical deterioration;
(5) A review of operating procedures;
(6) A review of data records to ensure that all required tests are being conducted and recorded and disinfection is effectively practiced; and
(7) Identification of any improvements which are needed in the equipment, system maintenance and operation, or data collection.
(g) The water system shall not have been identified as a source of a waterborne microbial disease outbreak, or if it has been so identified, the system shall have been modified sufficiently to prevent another such occurrence, as determined by the Department.
(h) The water system shall comply with the total coliform maximum contaminant level (MCL) specified in 22 CCR section 64426.1 at least 11 of the 12 previous months that the system served water to the public on an ongoing basis, unless the Department determines that failure to meet this requirement was not caused by the unfiltered approved surface water.
(i) The water system shall comply with the requirements for total trihalomethanes, haloacetic acids (five), bromate, chlorite, chlorine, chloramines, and chlorine dioxide specified in 22 CCR chapter 15.5, commencing with section 64530.
(j) The supplier shall provide to the Department an annual report, by December 31st of each year, which summarizes its compliance with all the watershed control program requirements.
(k) The water system shall meet the following special disinfection requirements:
(1) The water system shall not fail to provide disinfection treatment sufficient to ensure at least a 99.9 percent inactivation of Giardia lamblia cysts and a 99.99 percent inactivation of viruses for more than one day in any month the water system served unfiltered approved surface water. The means used to demonstrate the required percent inactivation with disinfection shall be as identified in 40 CFR sections 141.72(a)(1), and 141.74(b)(3) and (b)(4). Disinfection information collected pursuant to this subsection shall be reported to the Department in conformance with the requirements of 40 CFR section 141.75(a)(2). The necessity to install filtration as a result of a failure to meet the requirements in subsection (c) will not apply if:
(A) Either the supplier meets the requirements of subsection (c) at least 11 of the 12 previous months that the system served unfiltered approved surface water to the public on an ongoing basis, or
(B) The system fails to meet the requirements of subsection (c) during 2 of the 12 previous months that the system served unfiltered approved surface water to the public, and
(C) The Department determines that failure to meet the requirements in subsection (c) for at least one of these months was caused by circumstances that were unusual and unpredictable.
(2) The disinfection system shall have either:
(A) Redundant components, including an auxiliary power supply with automatic start-up and alarm to ensure that disinfectant application is maintained continuously while water is being delivered to the distribution system; or
(B) Automatic shut-off of delivery of water to the distribution system whenever there is less than 0.2 mg/l of residual disinfectant concentration in the water.
(3) The water system shall meet the requirements of section 64654(b)(1) at all times the system serves unfiltered approved surface water to the public unless the Department determines that any such failure was caused by circumstances that were unusual and unpredictable.
(4) The water system shall meet the requirements of section 64654(b)(2) on an ongoing basis unless the Department determines that failure to meet these requirements was not caused by a deficiency in treatment of the unfiltered approved surface water.
(l) Whenever the monitoring of the quality of the approved surface water indicates the turbidity exceeds 5.0 NTU, or the fecal coliform level exceeds 20/100 mL or the total coliform concentration exceeds 100/100 mL in 10 percent or more of the samples collected in the previous six months during which the system served unfiltered approved surface water to the public on an ongoing basis, the source shall be removed from service. The source may be returned to service when monitoring subsequent to removing the source from service demonstrates that the turbidity is less than or equal to 5.0 NTU and the fecal coliform level is less than or equal to 20/100 mL or the total coliform level is less than or equal to 100/100 mL for two consecutive days, and Giardia lamblia monitoring results indicate 1 cyst per 100 liters or less. If a system measures both fecal and total coliforms, the fecal coliform criterion, not the total coliform criterion, in this subsection shall be met.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116350, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
2. Amendment of subsections (a), (c), (e), (e)(4), (i), (k)(1) and (l) and amendment of Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64653. Filtration.
Note     •     History

(a) All approved surface water utilized by a supplier shall be treated using one of the following filtration technologies unless an alternative process has been approved by the Department pursuant to subsections (f), (g) and (h):
(1) Conventional filtration treatment
(2) Direct filtration treatment
(3) Diatomaceous earth filtration
(4) Slow sand filtration
(b) Conventional filtration treatment shall be deemed to be capable of achieving at least 99.7 percent removal of Giardia lamblia cysts and 99 percent removal of viruses when in compliance with operation criteria specified in section 64660 and performance standards specified in subsection (c). Direct filtration treatment, diatomaceous earth filtration and slow sand filtration shall be deemed to be capable of achieving at least 99 percent removal of Giardia lamblia cysts and a 90 percent removal of viruses when in compliance with operation criteria specified in section 64660 and performance standards specified in subsections (c) and (d).
(c) Conventional filtration, direct filtration, or diatomaceous earth filtration shall comply with the following performance standards for each treatment plant:
(1) The turbidity level of the filtered water shall be equal to or less than 0.5 NTU in 95 percent of the measurements taken each month and shall not exceed 5.0 NTU at any time.
(2) For those suppliers using a grab sampling monitoring program the turbidity level of the filtered water shall not exceed 1.0 NTU in more than two samples taken consecutively while the plant is in operation. For those suppliers using a continuous monitoring program the turbidity level of the filtered water shall not exceed 1.0 NTU for more than eight consecutive hours while the plant is in operation.
(3) A supplier serving at least 10,000 people and using either conventional filtration or direct filtration shall meet the turbidity requirements specified in section 64657.30(a)(2) in lieu of subsections (c)(1) and (c)(2).
(d) Slow sand filtration shall comply with the following performance standards for each treatment plant:
(1) The turbidity level of the filtered water shall be less than or equal to 1.0 NTU in 95 percent of the measurements taken each month. However, filtered water from the treatment plant may exceed 1.0 NTU, provided the filter effluent prior to disinfection meets the maximum contaminant level for total coliforms as specified in 22 CCR section 64426.1.
(2) The turbidity level of the filtered water shall not exceed 5.0 NTU at any time.
(e) In order to obtain approval for a higher removal efficiency than that specified in subsection (b), a water supplier shall demonstrate to the Department that the higher removal efficiency can be reliably obtained.
(f) An alternative to the filtration technologies specified in subsection (a) may be used provided that the supplier demonstrates to the Department that the alternative technology provides a minimum of 99 percent Giardia lamblia cyst removal and 90 percent virus removal for suppliers serving more than 500 persons, or 90 percent Giardia lamblia cyst removal for suppliers serving 500 or fewer persons, and meets the turbidity performance standards established in subsection (d). A supplier serving at least 10,000 people shall also provide a minimum of 99 percent Cryptosporidium oocyst removal and meet the turbidity performance standards established in section 64657.30(a)(2). The demonstration shall be based on the results from a prior equivalency demonstration or a testing of a full scale installation that is treating a water with similar characteristics and is exposed to similar hazards as the water proposed for treatment. A pilot plant test of the water to be treated may also be used for this demonstration if conducted with the approval of the Department. The demonstration shall be presented in an engineering report prepared by a qualified engineer.
(g) Suppliers proposing to use an alternative filtration technology may request from the Department a waiver to comply with the requirements of subsection (f) to demonstrate 90 percent virus removal. The request shall be based on a watershed sanitary survey conducted in accordance with section 64665, within 12 months of the date of the request, that demonstrates a lack of virus hazard in the watershed.
(h) The Department's approval of alternative filtration technologies, including establishment of performance standards and monitoring requirements, shall be done in accordance with the permit process specified in sections 116525 through 116550 of the Health and Safety Code.
(i) Within 60 days following the first full year of operation of a new alternative filtration treatment process approved by the Department, the supplier shall submit an engineering report prepared by a qualified engineer describing the effectiveness of the plant operation. The report shall include results of all water quality tests performed and shall evaluate compliance with established performance standards under actual operating conditions. It shall also include an assessment of problems experienced, corrective actions needed, and a schedule for providing needed improvements.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of  subsections (a), (b), (d)(1) and (e)-(h) and amendment of Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
3. Amendment of subsection (b), new subsection (c)(3) and amendment of subsection (f) and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64653.5. Recycle Provisions.
Note     •     History

A supplier that uses conventional filtration or direct filtration and recycles spent filter backwash water, thickener supernatant, or liquids from dewatering processes shall:
(a) Provide the Department with the following information in writing:
(1) Plant schematic showing the origin of all recycle flows, the hydraulic conveyance used to transport each, and the point at which each is re-introduced into the treatment plant; and
(2) Typical recycle flow in gallons per minute (gpm), the highest observed plant flow experienced in the previous year (gpm), design flow for the treatment plant (gpm), and the approved operating capacity for the plant if the Department has specified one.
(b) Return all recycle flows to the headworks of the treatment plant or an alternative location approved by the Department.
(c) Collect and retain the following information and provide it to the Department upon request:
(1) A copy of the Department notification required pursuant to subsection (a);
(2) A list of all recycle flows and the frequency with which they are returned;
(3) Average and maximum backwash flow rates through the filters and the average and maximum durations of the filter backwash process in minutes;
(4) Typical filter run length and a written summary of how filter run length is determined;
(5) The type of treatment provided for the recycle flow; and
(6) Data on the physical dimensions of the equalization and/or treatment units, typical and maximum hydraulic loading rates, type of treatment chemicals used and average dose and frequency of use, and frequency at which solids are removed, if applicable.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64654. Disinfection.
Note     •     History

(a) All approved surface water utilized by a supplier shall be provided with continuous disinfection treatment sufficient to insure that the total treatment process provides inactivation of Giardia lamblia cysts and viruses, in conjunction with the removals obtained through filtration, to meet the reduction requirements specified in section 64652(a).
(b) Disinfection treatment shall comply with the following performance standards:
(1) Water delivered to the distribution system shall not contain a disinfectant residual of less than 0.2 mg/l for more than four hours in any 24 hour period.
(2) The residual disinfectant concentrations of samples collected from the distribution system shall be detectable in at least 95 percent of the samples taken each month that the system serves water to the public, except as provided in subsection (c). At any sample point in the distribution system, the presence of heterotrophic plate count (HPC) at concentrations less than or equal to 500 colony forming units per milliliter shall be considered equivalent to a detectable disinfectant residual.
(c) Paragraph (b)(2) shall not apply to suppliers serving fewer than 500 persons provided:
(1) The system is in compliance with 17 CCR sections 7583 through 7605, and with 22 CCR sections 64602, 64570(b), 64572, 64580;
(2) The supplier has no means for having a sample transported and analyzed for HPC by a certified laboratory under the appropriate time and temperature conditions; and 
(3) The supplier is providing adequate disinfection in the distribution system.
(d) No exemptions from the requirement in paragraph (b)(1) are permitted.
NOTE

Authority cited: Sections 100275, 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735, 116750 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Change without regulatory effect amending section filed 6-28-91, pursuant to section 100, title 1, California Code of Regulations; operative 6-28-91 (Register 91, No. 40).
3. Amendment of subsections (a) and (b)(2)-(c)(2), new subsection (d) and amendment of Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
4. Amendment of subsections (a), (b)(2) and (c)(1)-(3) and amendment of Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
5. Amendment of subsection (c)(1) and Note filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
6. Editorial correction removing duplicate article heading and amending History 5 (Register 2008, No. 7).
Article 3. Monitoring Requirements
§64655. Treatment Plant Process Monitoring.
Note     •     History

(a) Each supplier using an approved surface water source shall monitor the turbidity level of each raw water supply by the taking and analyzing of daily grab samples.
(b) Each supplier using an approved surface water source shall monitor the raw water supply for total coliform and either fecal coliform or E. coli bacteria using density analysis no less than once each month. Monitoring shall be conducted in accordance with the operations plan required by section 64661.
(c) Each supplier using conventional filtration shall monitor the turbidity of the settled water at least once each day in accordance with the operations plan required by section 64661.
(d) Each supplier recycling filter backwash water shall monitor the turbidity and determine the flow of the recycled water at least once each day or during each recycle event. Monitoring shall be representative of the water recycled and be conducted in accordance with the operations plan required by section 64661.
(e) To determine compliance with the performance standards specified in section 64653, each supplier shall determine the turbidity level of representative samples of the combined filter effluent, prior to clearwell storage, at least once every four hours that the system is in operation, except as provided in subsections (g) and (h). Monitoring shall be conducted in accordance with the operations plan required by section 64661.
(f) Continuous turbidity measurements may be substituted for grab sample monitoring provided the supplier validates the accuracy of the measurements on a weekly basis.
(g) Suppliers using slow sand filtration or serving 500 or fewer persons which are in compliance with performance standards specified in section 64653, may reduce turbidity monitoring to one grab sample per day.
(h) Each supplier using conventional filtration or direct filtration, and serving at least 10,000 people shall conduct turbidity monitoring pursuant to section 64657.40 in lieu of subsection (e).
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of subsection (b) and Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
3. Amendment of section heading, section and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64656. Disinfection.
Note     •     History

(a) To determine compliance with disinfection inactivation requirements specified in section 64654(a), each supplier shall develop and conduct a monitoring program to measure those parameters that affect the performance of the disinfection process. This shall include but not be limited to the temperature of the disinfected water, the pH(s) of the disinfected water if chlorine is used as a disinfectant, the disinfectant contact time(s) and the residual disinfectant concentration(s) before or at the first customer. The monitoring program shall be described in the operations plan required by section 64661.
(b) To determine compliance with the performance standard specified in section 64654(b)(1), the disinfectant residual concentration of the water being delivered to the distribution system shall be measured and recorded continuously except as provided in subsection (f).
(c) To determine compliance with section 64654(b)(2), the residual disinfectant concentration must be measured at least at the same points in the distribution system and at the same time as total coliforms are sampled in accordance with 22 CCR section 64421, and described in the operations plan required by section 64661, except as provided in subsection (d).
(d) For suppliers that use both an approved surface water and a groundwater, the Department shall approve a request to take disinfectant residual samples at points other than those specified in subsection (c) provided the supplier demonstrates that such sampling points are representative of the disinfected approved surface water in the distribution system.
(e) If there is a failure of continuous disinfectant residual monitoring equipment, grab sampling every four hours may be conducted in lieu of continuous monitoring, but for no more than five working days following the failure of the equipment.
(f) Suppliers serving 3,300 or fewer persons may collect and analyze grab samples of disinfectant residual each day as shown below in lieu of the continuous monitoring specified in subsection (b), provided that any time the residual disinfectant falls below 0.2 mg/l, the supplier shall take a grab sample every four hours until the residual concentration is equal to or greater than 0.2 mg/l:

	System size by population	Samples/day

		less than or equal to 500	1
		501	-	1,000	2
		1,001	-	2,500	3
		2,501	-	3,300	4
	
(g) Suppliers shall describe the location and frequency of sampling to comply with subsection (f) in the operations plan required by section 64661.
NOTE

Authority cited: Sections 100275 and 116375, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625 and 116735, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of section and Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
Article 3.5. Enhanced Filtration and Disinfection
§64657. General Requirements.
Note     •     History

(a) A supplier using an approved surface water and serving at least 10,000 people shall comply with the requirements in this Article.
(b) A supplier shall achieve at least 99 percent (2-log) removal of Cryptosporidium between a point where the raw water is not subject to recontamination by surface water runoff and a point downstream before or at the first customer for filtered water systems, or achieve Cryptosporidium control under the watershed control plan for unfiltered systems.
(c) A supplier is considered to be in compliance with the requirements of subsection (b) if:
(1) It meets the requirements for avoiding filtration in sections 64652.5 and 64657.10 and the requirements in sections 64654 and 64657.20; or 
(2) It meets the applicable filtration requirements in either section 64653 or section 64657.30 and the requirements in sections 64654 and 64657.20.
(d) A supplier shall not begin construction of an uncovered finished water storage facility. 
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New article 3.5 (sections 64657-64657.50) and section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50). 
2. Editorial correction adding inadvertently omitted article 3.5 heading and amending History 1 (Register 2009, No. 30). 
§64657.10. Criteria for Avoiding Filtration.
Note     •     History

(a) In addition to the requirements specified in section 64652.5, a supplier shall meet all of the requirements of this section to avoid the necessity of providing filtration. 
(b) To minimize the potential for contamination by Cryptosporidium oocysts in the source water, the watershed control program required in section 64652.5(e) shall:
(1) Identify watershed characteristics and activities that may have an adverse effect on source water quality; and
(2) Monitor the occurrence of activities that may have an adverse effect on source water quality. 
(c) The onsite inspection conducted pursuant to section 64652.5(f) shall also determine if the program will minimize the potential for contamination by Cryptosporidium based on an evaluation of the following:
(1) The comprehensiveness of the watershed review;
(2) The effectiveness of the supplier's program to monitor and control detrimental activities occurring in the watershed; and
(3) The extent to which the water system has maximized land ownership and/or controlled land use within the watershed.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116350, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64657.20. Disinfection Profiling and Benchmarking.
Note     •     History

A supplier that has developed a disinfection profile pursuant to 40 Code of Federal Regulations parts 141.172(a) and (b) (63 Fed. Reg. 69477 (December 16, 1998); amended Jan. 16, 2001, 66 Fed. Reg. 3769, which are incorporated by reference, shall:
(a) Retain disinfection profile data and make it available to the Department upon request; and
(b) Submit the following information to the Department when applying for an amended permit to change the point of disinfection, disinfectant(s) used in the treatment plant, or disinfection process:
(1) A description of the proposed change;
(2) The disinfection profile and benchmark conducted pursuant to 40 Code of Federal Regulations part 141.172(c) (63 Fed. Reg. 69477 (December 16, 1998)), which is incorporated by reference; and

	(3) An analysis of how the proposed change will affect the current levels of disinfection.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64657.30. Filtration.
Note     •     History

(a) Except as specified in subsection (b), a supplier that does not meet all of the criteria in sections 64652.5 and 64657.10 for avoiding filtration shall provide treatment consisting of both disinfection, as specified in section 64654, and filtration consisting of:
(1) Diatomaceous earth or slow sand filtration that meets the performance requirements specified for those technologies in sections 64653(c) and (d); or
(2) Conventional filtration or direct filtration that meets the following performance standards for each treatment plant:
(A) The turbidity level of the combined filter effluent shall be less than or equal to 0.3 NTU in at least 95 percent of the measurements taken each month and shall not exceed 1 NTU for more than 1 continuous hour, measured pursuant to section 64657.40;
(B) The turbidity level of the combined filter effluent at four-hour intervals shall never exceed 1 NTU; and
(C) The turbidity level of the combined filter effluent shall not exceed 1.0 NTU for more than 8 consecutive hours while the plant is operating.
(b) An alternative to the filtration technologies specified in subsection (a) may be used provided that the supplier complies with sections 64653(f), (g), (h), and (i).
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64657.40. Filtration Sampling.
Note     •     History

(a) In addition to monitoring required by sections 64655(a) through (d), and in lieu of the monitoring required by section 64655(e), a supplier that provides conventional filtration or direct filtration shall conduct continuous turbidity monitoring of each individual filter and the combined filter effluent. Monitoring shall be conducted pursuant to the operations plan required by section 64661 and monitoring of the combined filter effluent shall be conducted prior to clearwell storage. 
(b) For the purpose of determining compliance with the performance standards specified in section 64657.30(a)(2) and the operating criteria specified in section 64660(b)(7), the results of the continuous monitoring shall be recorded at least once every 15 minutes that the treatment plant is in operation.
(c) A supplier shall calibrate turbidimeters used to comply with the requirements of this section using the procedure specified by the manufacturer. 
(d) If there is a failure in the continuous turbidity monitoring system, or there are interruptions in continuous monitoring due to system maintenance, a supplier shall conduct grab sampling every four hours in lieu of continuous monitoring, but continuous monitoring shall be reinitiated within 48 hours of system failure or maintenance interruption for the combined effluent, and within five working days for individual filter effluents.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64657.50. Supplemental Reporting and Recordkeeping.
Note     •     History

(a) In lieu of the monthly reporting specified in section 64664(b), a supplier that provides conventional filtration or direct filtration shall include in the monthly report required by section 64664 the total number of combined filter effluent turbidity measurements taken during the month pursuant to section 64657.40 and either:
(1) The turbidity achieved 50, 90, 95, 98 and 99 percent of the time that the plant was producing water; and date, time, and value of any turbidity measurement taken during the month that exceed 1.0 NTU; or
(2) The results of turbidity measurements recorded at intervals no greater than every 4 hours; all results that exceed 0.3 NTU, recorded at intervals no greater than every 15 minutes; and the number and percent of turbidity measurements that are less than or equal to 0.3 NTU, based on all measurements recorded during the month at intervals no greater than every 15 minutes.
(b) A supplier that provides conventional filtration or direct filtration shall review the data reported according to subsection (a) to ensure that it is not compromised by system or instrument maintenance, hardware or software problems, signal transmission problems, or for other technical reasons.
(c) A supplier that provides conventional filtration or direct filtration shall include in the monthly report required by section 64664 the following information:
(1) That individual filter turbidity monitoring was conducted pursuant to section 64657.40; and
(2) The filter number, turbidity measurements, and date(s) and time(s) of the exceedance and either the obvious reason for the exceedance or, if the supplier is not able to identify an obvious reason for the abnormal filter performance, a filter profile produced within 7 days of the exceedance, if either of the following occurs:
(A) Any individual filter has a measured turbidity level of greater than 1.0 NTU in two consecutive measurements taken no more than 15 minutes apart; or
(B) After a backwash or being taken offline for some other reason, any individual filter has a measured turbidity level of greater than 0.3 NTU in two consecutive measurements taken no more than 15 minutes apart after the filter has been in continuous operation for 60 minutes or more.
(d) For any individual filter that has a measured turbidity level of greater than 1.0 NTU in two consecutive measurements taken no more than 15 minutes apart at any time in each of three consecutive months, a supplier that provides conventional filtration or direct filtration shall conduct a self-assessment of the filter within 14 days of the exceedance and report to the Department that the self-assessment was conducted. The self-assessment shall consist of at least the following components: assessment of filter performance; development of a filter profile; identification and prioritization of factors limiting filter performance; assessment of the applicability of corrections; and preparation of a filter self-assessment report. The filter self-assessment report shall be submitted to the Department within 28 days of the exceedance.
(e) For any individual filter that has a measured turbidity level of greater than 2.0 NTU in two consecutive measurements taken no more than 15 minutes apart at any time in each of two consecutive months, a supplier that provides conventional filtration or direct filtration shall arrange with the Department for the conduct of a comprehensive performance evaluation (CPE) no later than 30 days following the exceedance and have the evaluation completed and submitted to the Department no later than 90 days following the exceedance. The CPE shall be conducted pursuant to “Optimizing Water Treatment Plant Performance Using the Composite Correction Program”, EPA Handbook, Chapter 4, pg. 21-65, Office of Research and Development, USEPA, EPA/625/6-91/027 (revised August 1998) which is incorporated by reference. 
NOTE

Authority cited: Sections 100275, 116375, 116450 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
Article 4. Design Standards
§64658. New Treatment Plants.
Note     •     History

(a) Suppliers that propose to construct new filtration and disinfection treatment facilities or to modify or make additions to existing treatment facilities which require permit approval from the Department pursuant to Health and Safety Code sections 116525 through 116550 shall submit an engineering report to the Department describing how the proposed new treatment facilities will be designed to comply with the treatment, design, performance and reliability provisions required pursuant to this chapter. Modifications requiring permit approval include those that have a significant effect on plant performance, change the plant design rating or capacity, or change a major treatment process.
(b) All new filtration and disinfection facilities shall be designed and constructed to comply with the following criteria:
(1) Achieve an average daily effluent turbidity goal of 0.2 NTU when using conventional, direct, and diatomaceous earth filtration plants.
(2) Be free of structural and sanitary hazards.
(3) Protect against contamination by backflow.
(4) Meet the capacity and pressure requirements prescribed in 22 CCR sections 64554 and 64602.
(5) Provide flow measuring and recording equipment.
(6) Take into consideration the effects of events such as earthquakes, fires, floods, freezing, and sabotage that are reasonably foreseeable.
(7) Provide reasonable access for inspection, maintenance, and monitoring of all unit processes.
(8) Provide for filter-to-waste for each filter unit or addition of coagulant chemicals to the water used for backwashing.
(9) Provide backwash rates and surface or subsurface wash facilities using air, water or a combination thereof to clean the filter after use to its original condition.
(10) Provide solids removal treatment for filter backwash water if it is recycled into the treatment process. Recycled backwash water shall be returned to the headworks of the treatment plant.
(11) Provide for the future addition of pretreatment facilities in the design of direct filtration, slow sand, or diatomaceous earth filtration plants.
(12) Provide disinfection equipment sized for the full range of flow conditions expected and capable of feeding accurately at all flow rates.
(13) Provide for treatment plant operation without frequent shutdowns and startups or rapid changes in filtration rates.
(c) Whenever a coagulation process is used, the process selection shall be based on pilot plant or laboratory scale (jar test) or equivalent results that demonstrate effectiveness of the coagulant chemicals over the full range of water quality conditions expected.
NOTE

Authority cited: Sections 100275, 116350, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of subsection (a) and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
3. Amendment of subsection (b)(4) and Note filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64659. Reliability.
Note     •     History

(a) The following reliability features shall be included in the design and construction of all new and existing surface water treatment plants:
(1) Alarm devices to provide warning of coagulation, filtration, and disinfection failures. All devices shall warn a person designated by the supplier as responsible for taking corrective action, or have provisions to shut the plant down until corrective action can be taken.
(2) Standby replacement equipment available to assure continuous operation and control of unit processes for coagulation, filtration and disinfection.
(3) A continuous turbidity monitoring and recording unit on the combined filter effluent prior to clearwell storage.
(4) Multiple filter units which provide redundant capacity when filters are out of service for backwash or maintenance.
(b) Alternatives to the requirements specified in section 64659(a) shall be accepted provided the water supplier demonstrates to the satisfaction of the Department that the proposed alternative will assure an equal degree of reliability.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4023.1, 4023.3, 4024, 4025, 4026.4, 4031 and 4039, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
Article 5. Operation
§64660. Operating Criteria.
Note     •     History

(a) All treatment plants utilizing an approved surface water shall be operated by operators certified by the Department in accordance with Health and Safety Code section 106885.
(b) Filtration facilities shall be operated in accordance with the following requirements:
(1) Conventional and direct filtration plants shall be operated at flow rates not to exceed 3.0 gallons per minute per square foot (gpm/sq. ft.) for single media filters and 6.0 gpm/sq. ft. for deep bed, dual or mixed media filters under gravity flow conditions. For pressure filters, filtration rates shall not exceed 2.0 gpm/sq. ft. for single media filters and 3.0 gpm/sq. ft. for dual, mixed media, or deep bed filters.
(2) Slow sand filters shall be operated at filtration rates not to exceed 0.10 gallon per minute per square foot. The filter bed shall not be dewatered except for cleaning and maintenance purposes.
(3) Diatomaceous earth filters shall be operated at filtration rates not to exceed 1.0 gallon per minute per square foot.
(4) In order to obtain approval for filtration rates higher than, but not more than twice, those specified in section 64660(b)(1), (b)(2), and (b)(3), a water supplier shall demonstrate to the Department that the filters can comply with the performance requirements of section 64653.
(5) In order to obtain approval for filtration rates greater than twice those specified in paragraphs (b)(1), (b)(2), and (b)(3), a water supplier shall demonstrate to the Department that the filters do the following:
(A) Provide a minimum of 99 percent Giardia lamblia cyst removal and 90 percent virus removal;
(B) Meet the turbidity performance standards established in section 64653(c); and
(C) If a supplier serves at least 10,000 people, provide a minimum 99 percent Cryptosporidium oocyst removal and meet the turbidity performance standards established in section 64657.30. 
(6) Filtration rates shall be increased gradually when placing filters back into service following backwashing or any other interruption in the operation of the filter.
(7) When any individual filter in a conventional or direct filtration plant is placed back into service following backwashing or other interruption event, the filtered water turbidity of the effluent from that filter shall not exceed any of the following:
(A) 2.0 NTU at any time during the first four hours of filter operation following all interruption events.
(B) 1.0 NTU at any time during the first four hours of filter operation following at least 90 percent of the interruption events during any consecutive 12 month period.
(C) 0.5 NTU at the time that the filter has been in operation for 4 hours.
(8) Pressure filters shall be physically inspected and evaluated annually for such factors as media condition, mudball formation, and short circuiting. A written record of the inspection shall be maintained at the treatment plant.
(9) Coagulation and flocculation unit processes shall be in use at all times during which conventional and direct filtration treatment plants are in operation. The effectiveness of these processes shall be demonstrated by either at least an 80 percent reduction through the filters of the monthly average raw water turbidity or jar testing, pilot testing or other means to demonstrate that optimum coagulation is being achieved.
(10) The filtered water turbidity level from each filter unit shall be monitored with a continuous turbidity meter and recorder, or with a grab sampling program designed to identify compliance with the requiremeents of paragraph (b)(7) and approved by the Department. If this monitoring indicates that any filter unit in a conventional or direct filtration plant is not performing as required in paragraph (b)(7), the filter shall be taken out of service and inspected to determine the cause of its inadequate performance. The filter unit shall not be returned to service until deficiencies have been corrected and operations tests demonstrate that the filter unit is meeting the requirements of paragraph (b)(7).
(c) Disinfection facilities shall be operated in accordance with the following requirements:
(1) A supply of chemicals necessary to provide continuous operation of disinfection facilities shall be maintained as a reserve or demonstrated to be available.
(2) An emergency plan shall be developed prior to initiating operation of the disinfection facilities. The plan shall be implemented in the event of disinfection failure to prevent delivery to the distribution system of any undisinfected or inadequately disinfected water. The plan shall be posted in the treatment plant or other place readily accessible to the plant operator.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 106885, 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116460, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25). 
2. Amendment of section and Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
3. Amendment of subsections (b)(1) and (b)(5)(A)-(B), new subsection (b)(5)(C) and amendment of Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64661. Operations Plan.
Note     •     History

(a) A supplier shall operate each treatment plant in accordance with an operations plan that has been approved by the Department. With a permit application for a new treatment plant or modification to an existing treatment plant, the supplier shall submit for Department review and approval an operations plan for each treatment plant that treats an approved surface water. The Department shall review the operations plan to determine if it includes those items required in subsection (b). The operations plan shall be designed to produce the optimal water quality from the treatment process. The supplier shall operate its treatment plant in accordance with the approved plan.
(b) The operations plan shall consist of a description of the utility's treatment plant performance monitoring program, filter media inspection program, unit process equipment maintenance program, operating personnel, including numbers of staff, certification levels and responsibilities; how and when each unit process is operated; laboratory procedures; procedures used to determine chemical dose rates; records; response to plant and watershed emergencies; and reliability features.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116450, 116460, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of subsection (a) and Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
3. Amendment of section and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64662. Records.
Note     •     History

(a) The supplier shall maintain accurate and complete operation records for each treatment plant that treats an approved surface water. The records shall include but not be limited to the following:
(1) The results of all monitoring conducted in accordance with sections 64655, 64656, 64657.20, 64657.40, 64657.50, and 64660.
(2) Dates on which filter maintenance and inspections were performed and the results of any inspections including pressure filter evaluations required by section 64660(b)(7).
(3) Quantity of water produced, plant flow rates, filtration rates, hours of operation, and backwash rates.
(4) Dates and description of major equipment and process failures and corrective actions taken.
(b) Treatment plant records shall be retained for not less than three years, except where the Department has determined that longer retention times are necessary to complete legal actions taken under the provisions of Health and Safety Code sections 116625 through 116675 and sections 116725 through 116730.
NOTE

Authority cited: Sections 100275, 116375 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116450, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of subsections (a)(1) and (b) and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
Article 6. Reporting
§64663. Department Notification.
Note     •     History

The supplier shall notify the Department as soon as possible, but no later than by the end of the next business day, or within 24 hours, whichever is less, by telephone or other equally rapid means whenever:
(a) The turbidity of the combined filter effluent as monitored pursuant to section 64655 or 64657.40 exceeds 5.0 NTU at any time.
(b) More than two consecutive turbidity samples of the combined filter effluent taken every four hours pursuant to section 64655 exceed 1.0 NTU or samples collected pursuant to section 64657.40 exceed 1 NTU for more than 1 continuous hour, 1 NTU at 4-hour intervals, or 1.0 NTU for more than 8 consecutive hours.
(c) There is a failure to maintain a minimum disinfectant residual of 0.2 mg/l in the water being delivered to the distribution system. The supplier shall report whether or not the disinfectant residual was restored to at least 0.2 mg/l within four hours.
(d) An event occurs which may affect the ability of the treatment plant to produce a safe, potable water including but not limited to spills of hazardous materials in the watershed and unit treatment process failures.
(e) The turbidity immediately prior to the first or only point of disinfectant application exceeds 5 NTU for suppliers avoiding filtration.
(f) The supplier discovers the occurrence of an acute infectious illness that may be potentially attributable to the water system.
NOTE

Authority cited: Sections 100275, 116375, 116450 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116450, 116460, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735, 116750 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of first paragraph and subsection (c), new subsections (e) and (f), and amendment of Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
3. Amendment of subsections (a) and (b) and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
§64664. Monthly Report.
Note     •     History

(a) Each supplier with an approved surface water treatment facility shall submit a monthly report on the operation of each facility to the Department by the tenth day of the following month. The report shall be signed by the chief water treatment plant operator, plant superintendent or other person directly responsible for the operation of the water treatment plant.
(b) The report shall include the following results of turbidity monitoring of the combined filter effluent:
(1) All turbidity measurements taken during the month to determine compliance with section 64653.
(2) The number and percent of turbidity measurements taken during the month which are less than or equal to the performance standard specified for each filtration technology in section 64653, or as required for an alternative treatment process. The report shall also include the date and value of any turbidity measurements that exceed performance levels specified in section 64653.
(3) The average daily turbidity level.
(4) If the turbidity level of the filter effluent from a slow sand filter is greater than 1.0 NTU in five percent or more of the measurements taken that month, the supplier must also report the dates and results of total coliform sampling of the filter effluent prior to disinfection to demonstrate compliance with section 64653(d)(1).$
(c) The report shall include the following disinfection monitoring results taken to comply with section 64654:
(1) The date and duration of each instance when the disinfectant residual in water supplied to the distribution system is less than 0.2 mg/l and when the Department was notified of the occurrence.
(2) The following information on samples taken from the distribution system to comply with section 64654(b)(2):
(A) The number of samples where the disinfectant residual is measured.
(B) The number of samples where only the heterotrophic plate count (HPC) is measured.
(C) The number of measurements with no detectable disinfectant residual and no HPC is measured.
(D) The number of measurements with no detectable disinfectant residual and HPC is greater than 500 colony forming units per milliliter.
(E) The number of measurements where only HPC is measured and is greater than 500 colony forming units per milliliter.
(F) The value of V in the following formula:

View Graphic

Where V = the percent of distribution system samples with a detectable residual.
A = the value in paragraph (2)(A) of this subsection.
B = the value in paragraph (2)(B) of this subsection.
C = the value in paragraph (2)(C) of this subsection.
D = the value in paragraph (2)(D) of this subsection.
E = the value in paragraph (2)(E) of this subsection.
(3) For each day the lowest measurement of residual disinfectant concentration in mg/l in the water entering the distribution system.
(d) The report shall include the following raw water and process water data:
(1) All raw water turbidity measurements taken during the month pursuant to section 64655(a). If more than one sample is taken each day, the highest value of all samples taken that day may be reported in lieu of reporting all that day's values.
(2) All raw water coliform measurements taken during the month pursuant to section 64655(b).
(3) Daily settled water turbidity for each day of the month, measured pursuant to section 64655(c). If more than one sample is taken each day, the highest value of all samples taken that day may be reported in lieu of reporting all that day's values.
(4) Daily recycled water turbidity and flow for each day of the month that backwash water was recycled back into the treatment process, measured pursuant to section 64655(d). If more than one turbidity sample (or flow measurement) is taken each day, the highest value of all turbidity samples (or flow measurements) taken that day may be reported in lieu of reporting all that day's values.
(e) The report shall include a written explanation of the cause of any violation of performance standards specified in sections 64653, 64654, or 64657.30, and operating criteria specified in sections 64660(b)(7) and (9).
(f) The report shall include a summary of water quality complaints and reports of gastrointestinal illness received from consumers.
(g) If a supplier provides conventional filtration or direct filtration and serves at least 10,000 people, the report shall include the information required by sections 64657.50(a) and (c). 
NOTE

Authority cited: Sections 100275, 116375, 116450 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Amendment of subsection (c)(2)(F), new subsections (d)-(d)(4), subsection relettering, amendment of newly designated subsection (e), new subsection (g) and amendment of Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
Article 7. Watershed Sanitary Surveys
§64665. Watershed Requirements.
Note     •     History

(a) All suppliers shall have a sanitary survey of their watershed(s) completed at least every five years. The first survey shall be completed by January 1, 1996.
(b) A report of the survey shall be submitted to the Department not later than 60 days following completion of the survey.
(c) The survey and report shall include physical and hydrogeological description of the watershed, a summary of source water quality monitoring data, a description of activities and sources of contamination, a description of any significant changes that have occurred since the last survey which could affect the quality of the source water, a description of watershed control and management practices, an evaluation of the system's ability to meet requirements of this chapter, and recommendations for corrective actions.
NOTE

Authority cited: Sections 208 and 4023.3, Health and Safety Code. Reference: Sections 4010, 4010.1, 4011, 4012, 4013, 4014, 4016, 4017, 4023.1, 4023.3, 4024, 4025, 4026.4, 4031, and 4039, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
Article 8. Public Notification
§64666. Consumer Notification.
Note     •     History

(a) For water systems that filter approved surface water, the supplier shall notify persons served by the system whenever there is a failure to comply with any of the treatment requirements specified in sections 64652, 64653, 64653.5(b), and 64654(a) or performance standards specified in sections 64653(c)(1), (d), (h), 64654(b), and 64657.30(a)(2) and (b).
(b) For water systems that do not filter approved surface water, the supplier shall notify persons served by the system whenever:
(1) There is a failure to comply with sections 64652.5(b) through (k), sections 64652 and 64654(a), or section 64654(b);
(2) The turbidity level in a representative sample of the approved surface water immediately prior to the first or only point of disinfectant application exceeds 5 NTU; or
(3) The unfiltered approved surface water has been identified as a source of waterborne microbial disease outbreak.
(c) The notification required by either subsections (a) or (b) shall be given in accordance with sections 64463.1 or 64463.4, as required.
(d) For water systems that filter approved surface water, the supplier shall notify persons served by the system whenever there is a failure to comply with the monitoring requirements specified in sections 64655, 64656, or 64657.40. The notification shall be given in accordance with section 64463.7.
(e) For water systems that do not filter approved surface water, the supplier shall notify persons served by the system whenever there is a failure to comply with the monitoring requirements specified in sections 64652.5(b), (d), or (e), or 64656. The notification shall be given in accordance with section 64463.7.
(f) If a supplier is unable to remove a source from service pursuant to section 64652.5(l), the supplier shall notify the Department immediately, and notify persons served by the system pursuant to section 64463.1.
NOTE

Authority cited: Sections 100275, 116375, 116450 and 131200, Health and Safety Code. Reference: Sections 116270, 116275, 116365, 116375, 116385, 116390, 116400, 116450, 116460, 116525, 116530, 116535, 116540, 116550, 116555, 116625, 116735 and 131051, Health and Safety Code.
HISTORY

1. New section filed 5-6-91; operative 6-5-91 (Register 91, No. 25).
2. Repealer of subsection (a), subsection relettering, amendment of newly designated subsection (a), new subsections (b)-(b)(3), amendment of subsections (c) and (d), new subsections (e) and (f), and amendment of  Note filed 6-8-98; operative 7-8-98 (Register 98, No. 24).
3. Amendment of subsections (c)-(f) filed 8-2-2006; operative 9-1-2006 (Register 2006, No. 31).
4. Amendment of subsections (a), (c)-(d) and Note filed 12-13-2007; operative 1-12-2008 (Register 2007, No. 50).
Chapter 17.5. Lead and Copper
Article 1. General Requirements and Definitions
§64670. General Requirements.
Note     •     History

(a) Unless otherwise indicated, the requirements in this chapter apply to community water systems and nontransient-noncommunity water systems (hereinafter referred to as “water systems” or “systems”). 
(b) An action level exceedance shall not constitute a violation of this chapter. 
(c) Analyses for lead, copper, pH, conductivity, calcium, alkalinity, orthophosphate, silica, and temperature shall be conducted using the methods prescribed at 40 Code of Federal Regulations, Section 141.89 [Federal Register (FR) 56 (110), 26460-26564, June 7, 1991; amended July 15, 1991 (56 FR 32113), June 29, 1992 (57 FR 28786), June 30, 1994 (59 FR 33860), and January 12, 2000 (65 FR 1250)]. Field tests shall be performed by water treatment or distribution operators certified by the Department pursuant to Section 106875 of the Health and Safety Code or by personnel trained to perform these tests by the Department, a certified laboratory, or certified operator. 
(d) A new water system shall initiate compliance with this chapter within six months of distributing water to consumers. An existing system that changes size pursuant to the definitions in sections 64671.30, 64671.40 and 64671.70, shall initiate compliance with the requirements of this chapter applicable to the new size within six months. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New chapter 17.5, article 1 and section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer of chapter 17.5 (articles 1-9, sections 64670-64692), article 1 (sections 64670-64672.6) and section and new chapter 17.5 (articles 1-9, sections 64670-64690.80), article 1 (sections 64670-64671.85) and section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.05. Action Level.
Note     •     History

“Action level”, for the purpose of this chapter only, means the concentration of lead or copper in water that is used to determine the requirements of this chapter that a system shall meet. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.08. Action Level Exceedance.
Note     •     History

“Action level exceedance”, for the purpose of this chapter only, means that the level of lead or copper is greater than the respective action level, as determined pursuant to section 64678(d) through (g). 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.09. Corrosion Control Treatment or CCT.
Note     •     History

“Corrosion control treatment” or “CCT” means the corrosion control treatment that minimizes the lead and copper concentrations at users' taps without causing the water system to violate any primary drinking water standards. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.10. Corrosion Inhibitor.
Note     •     History

“Corrosion inhibitor” means a substance capable of reducing the corrosivity of water toward metal plumbing materials, especially lead and copper, by forming a protective film on the interior surface of those materials. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.15. Detection Limit for Purposes of Reporting or DLR.
Note     •     History

“Detection limit for purposes of reporting” or “DLR” means the designated minimum level at or above which any analytical finding of a contaminant in drinking water resulting from monitoring required under this chapter shall be reported to the Department. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.20. Effective Corrosion Inhibitor Residual.
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116300-116750, Health and Safety Code; and 40 Code of Federal Regulations 141.2.
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including amendment of Note, transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.25. First Draw Sample.
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116300-116750, Health and Safety Code; and 40 Code of Federal Regulations 141.2.
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Note (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.30. Large Water System.
Note     •     History

“Large water system”, for the purpose of this chapter only, means a water system that serves more than 50,000 persons. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Note (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.35. Lead Service Line.
Note     •     History

“Lead service line” means a service line made of lead that connects the water main to the building inlet and any lead pigtail, gooseneck or other fitting which is connected to such lead line. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Note (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.40. Medium-Size Water System.
Note     •     History

“Medium-size water system”, for the purpose of this chapter only, means a water system that serves greater than 3,300 and less than or equal to 50,000 persons. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Note (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.50. Optimal Corrosion Control Treatment.
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116300 through 116750, Health and Safety Code; and 40 Code of Federal Regulations 141.2.
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Note (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.55. Period.
Note     •     History

“Period”, for the purpose of this chapter only, means a six-month monitoring timeframe. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.60. Service Line Sample.
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116300 through 116750, Health and Safety Code; and 40 Code of Federal Regulations 141.2.
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Note (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.65. Single-Family Structure.
Note     •     History

“Single-family structure” means a building constructed as a single-family residence that is currently used as either a residence or a place of business. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Note (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.70. Small Water System.
Note     •     History

“Small water system”, for the purpose of this chapter only, means a water system that serves 3,300 persons or fewer. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Note (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.75. Tap Sampling.
Note     •     History

“Tap sampling” means sampling conducted pursuant to sections 64675 (General Requirements for Tap Sampling for Lead and Copper), 64675.5 (Tap Sampling Frequency), and 64677 (Sampling Collection Methods for Taps) at sites selected pursuant to section 64676 (Sampling Site Selection). 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.80. Water Quality Parameter or WQP.
Note     •     History

“Water quality parameter” or “WQP”, for the purposes of this chapter, means a characteristic or constitutent of water, or a water treatment chemical added to water to control corrosion. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64671.85. WQP Monitoring.
Note     •     History

“WQP monitoring” means sampling conducted pursuant to sections 64680 (General WQP Monitoring Requirements), 64681 (Initial WQP Monitoring), and 64682 (WQP Monitoring Requirements after CCT Installation). 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64672. Analytical Methods and Detection Limits.
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116300 through 116750, Health and Safety Code; and 40 Code of Federal Regulations 141.89.
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including new subsections (c)-(d), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64672.3. Determination of Compliance with Lead and Copper Action Levels.
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116300 through 116750, Health and Safety Code; and 40 Code of Federal Regulations 141.80(c).
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64672.6. Use of Information Developed Prior to December 1, 1995.
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116300 through 116750, Health and Safety Code; and 40 Code of Federal Regulations 141.81(d) and (e).
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including amendment of subsections (c)(2)-(3), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 2. Requirements According to System Size
§64673. Small and Medium-Size Water System Requirements.
Note     •     History

(a) The requirements in this section are applicable to all small and medium-size water systems. 
(b) Each small and medium-size system shall conduct standard tap sampling for lead and copper pursuant to section 64675 (General Requirements for Tap Sampling for Lead and Copper). Tap sampling frequency may be reduced pursuant to section 64675.5 (Tap Sampling Frequency). 
(c) A small or medium-size system with an action level exceedance shall take the following steps: 
(1) Monitor WQPs beginning with the first period after the exceedance, pursuant to section 64681 (Initial WQP Monitoring). 
(2) Proceed with subparagraphs (A) through (E) if a corrosion control study is required by the Department based on a review of the system's water quality, distribution system, water treatment, and system features. If such a study is required, the Department will notify the system in writing within 12 months of the action level exceedance. 
(A) Complete the study, pursuant to section 64683 (Corrosion Control Study Procedure), within eighteen months of being notified of the requirement; the system will be notified of the Department's designation within six months of the study's completion; 
(B) Begin installation of the CCT designated by the Department, pursuant to section 64684 (CCT Installation and Operation), within twelve months of being notified of the Department's designation; 
(C) Complete CCT installation and begin operation within 24 months of the designation; 
(D) Complete two periods of standard tap sampling pursuant to section 64675 (General Requirements for Tap Sampling for Lead and Copper) and two periods of WQP monitoring pursuant to section 64682 (WQP Monitoring After CCT Installation) within 36 months of the designation; and 
(E) Monitor WQPs and operate in compliance with the WQP levels specified by the Department pursuant to section 64684 (CCT Installation and Operation), beginning no later than within 42 months of the designation. 
(3) If the Department does not require a corrosion control study, the system shall submit to the Department, within six months of the action level exceedance, a written recommendation for CCT. The Department may require the system to conduct additional WQP monitoring to assist in the review of the CCT recommendation. The Department will designate CCT and notify the system in writing within the following timeframes; the system shall then comply with paragraphs (2)(B) through (E): 
(A) For medium-size systems, within 12 months of the exceedance, and 
(B) For small-size systems, within 18 months of the exceedance; 
(4) Monitor source waters, pursuant to article 6 (Source Water Requirements for Action Level Exceedances) of this chapter; 
(d) A small or medium-size system with an action level exceedance for lead shall: 
(1) Complete a lead public education program, pursuant to article 7 (Public Education Program for Lead Action Level Exceedances) of this chapter; and 
(2) Replace lead service lines, pursuant to article 8 (Lead Service Line Requirements for Action Level Exceedances) of this chapter. 
(e) A small or medium-size system that is required to comply with subsections (c) or (d) may cease completing the steps whenever the system does not have an action level exceedance during each of two consecutive periods. If any such system thereafter has an exceedance during any period, the system shall: 
(1) Resume completion of the applicable steps, beginning with the first step that was not previously completed. The Department may require a system to repeat steps previously completed if the Department determines that this is necessary to implement the requirements of this section, based on a review of the system's data and treatment status. 
(2) Resume standard tap sampling pursuant to 64675 (General Requirements for Tap Sampling for Lead and Copper). 
(3) Conduct WQP monitoring during the period in which the system exceeded the action level, pursuant to section 64682, (WQP Monitoring After CCT Installation) or 64684 (CCT Installation and Operation). 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New article 2 and section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of subsection (b)(2)(B) (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer of article 2 (sections 64673-64676), new article 2 (sections 64673-64674) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64674. Large Water System Requirements.
Note     •     History

(a) The requirements in this section are applicable to all large water systems. 
(b) Each large system shall conduct standard tap sampling pursuant to section 64675 (General Requirements for Tap Sampling for Lead and Copper), and monitor for WQPs pursuant to section 64681 (Initial WQP Monitoring). Tap sampling frequency may be reduced pursuant to section 64675.5 (Tap Sampling Frequency). 
(c) Each large system shall complete a corrosion control study, pursuant to section 64683 (Corrosion Control Study Procedure), unless it can meet one of the following criteria: 
(1) The system submits the following documentation to the Department and the Department determines in writing that the system has optimized corrosion control based on its review of the submittal: 
(A) The results of all test samples collected for each of the WQPs in section 64683(a)(3) (Corrosion Control Study Procedure); 
(B) A report explaining the test methods used by the water system to evaluate corrosion control treatment alternatives pursuant to section 64683 (Corrosion Control Study Procedure), the results of all tests conducted, and the basis for the system's selection of CCT; 
(C) A report explaining how CCT has been installed and is being operated pursuant to section 64684 (CCT Installation and Operation); and 
(D) The results of tap sampling for lead and copper for two consecutive periods after corrosion control has been installed; or 
(2) The system demonstrates for two consecutive periods that the difference between the 90th percentile tap sampling lead level and the highest source water monitoring result for each period is less than the reporting level for purposes of reporting (DLR), pursuant to subsections 64678 (a), (b) and (c) (Determination of Exceedances of Lead and Copper Action Levels), or that the source water lead levels are below the method detection level of 0.001 mg/L and the 90th percentile lead level is equal to or less than the DLR for each period. In either case, the system shall also not have a copper action level exceedance. If such a system ceases to meet this criteria, it shall conduct a corrosion control study, pursuant to section 64683 (Corrosion Control Study Procedure) within eighteen months of not meeting the criteria, and proceed thereafter pursuant to subsection (e). 
(d) Each large system that conducts a corrosion control study will be notified of the Department's designation for CCT within 6 months of the study's completion and shall comply with the following timeframes: 
(1) Begin CCT installation within 12 months of being notified of the Department's designation for CCT. 
(2) Complete CCT installation within 24 months of the Department's designation. 
(3) Complete two periods of WQP monitoring and tap sampling for lead and copper within 36 months of the Department's designation. 
(4) Operate in compliance with the WQP levels specified by the Department pursuant to section 64684 (CCT Installation and Operation), beginning no later than within 42 months of the Department's designation. WQP tap monitoring may be reduced as follows: 
(A) Pursuant to section 64682(c) (WQP Monitoring After CCT Installation), if the system has no action level exceedance; or 
(B) To once every three years at the reduced number of sites pursuant to table 64680-A, if the system has 90th percentile levels that do not exceed 0.005 mg/L for lead and 0.65 mg/L for copper for two consecutive periods. 
(5) If source water treatment has been installed, conduct source sampling for lead and copper pursuant to section 64685 (Source Water Monitoring and Treatment Designation). 
(e) A large system with an action level exceedance for lead shall: 
(1) Monitor source waters, pursuant to article 6 (Source Water Requirements) of this chapter; 
(2) Complete a lead public education program, pursuant to article 7 (Public Education Program for Action Level Exceedances) of this chapter; and 
(3) Replace lead service lines, pursuant to article 8 (Lead Service Line Requirements) of this chapter. 
(f) A large system with an action level exceedance for copper shall monitor source waters pursuant to article 6 (Source Water Requirements) of this chapter. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including amendment of subsections (a)(2) and (a)(4)-(6), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 3. Monitoring for Lead and Copper
§64675. General Requirements for Tap Sampling for Lead and Copper.
Note     •     History

(a) During each period, each system shall conduct standard tap sampling by collecting one sample from the number of sites based on the number of people served specified in table 64675-A under Standard Tap Sampling. 
(b) During each period, each system conducting reduced tap sampling shall collect at least one sample from the number of sites based on the number of people served specified in table 64675-A under Reduced Tap Sampling, as follows: 
(1) The sites shall be representative of the sites required for standard tap sampling. 
(2) The samples shall be collected during the months of June, July, August, or September, unless the Department approves an alternate set of four months based on a review of the system's operations and lead and copper data, in which case the system shall initiate sampling during the alternate set of four months when directed in writing to do so by the Department, as follows: 
(A) No later than 21 months after the previous period, if sampling annually, or 
(B) No later than 45 months after the previous period, if sampling triennially. 

Table 64675-A 
Lead and Copper Tap Sampling Sites 

View Graphic
(c) Sample sites shall be selected pursuant to section 64676 (Sample Site Selection). 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including amendment of subsection (a)(1), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer of article 3 (sections 64677-64678), new article 3 (sections 64675-64679) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64675.5. Tap Sampling Frequency.
Note     •     History

(a) A system shall conduct standard tap sampling for two consecutive periods; thereafter, tap sampling frequency may be reduced pursuant to section 64675 (General Requirements for Tap Sampling for Lead and Copper) as follows: 
(1) If a system has 90th percentile levels that do not exceed 0.005 mg/L for lead and 0.65 mg/L for copper for two consecutive periods, it may reduce the sampling to once every three years at the reduced number of sites; 
(2) For systems that do not meet the criteria in paragraph (1), after two consecutive periods with no action level exceedance, the frequency may be reduced to annually at the reduced number of sites, if the system receives written approval from the Department based on its review of the system's data. After sampling for three years (including the initial sampling year) with no action level exceedance, the frequency may be reduced to once every three years at the reduced number of sites, if the system receives written approval from the Department. 
(b) If a system demonstrates for two consecutive periods that the difference between the 90th percentile tap sampling lead level and the highest source water monitoring result for each period is less than the reporting level for purposes of reporting (DLR), pursuant to subsections 64678(a), (b), and (c) or that the source water lead levels are below the method detection level of 0.001 mg/L and the 90th percentile lead level is equal to or less than the DLR for each period, the system shall conduct tap sampling once every three years. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64676. Sample Site Selection.
Note     •     History

(a) Each system shall identify a pool of sampling sites that: 
(1) Is large enough to ensure that the water system can collect the number of lead and copper tap samples required in section 64675 (General Requirements for Tap Sampling for Lead and Copper); 
(2) Meets the criteria in subsections (c) or (d), as applicable; and 
(3) Does not include faucets that have point-of-use or point-of-entry treatment devices designed to remove inorganic contaminants. 
(b) Prior to identifying sampling sites, each system shall conduct an evaluation of its distribution system to determine the construction materials (lead, copper, and galvanized steel) exposed to the water. If necessary to ensure the sample site criteria is met, the system shall collect additional information during the course of its normal operations (e.g., checking service line materials when reading water meters, or performance maintenance activities) and from the following: 
(1) All plumbing codes, permits, and records in the files of the building department(s) that indicate the plumbing materials installed within publicly and privately owned structures connected to the distribution system; 
(2) All inspections and records of the distribution system that indicate the material composition of the service connections connecting a structure to the distribution system; and 
(3) All existing water quality information, which includes the results of prior analyses of the system or individual structures connected to the system, indicating locations that may be particularly susceptible to high lead or copper concentrations. 
(c) Each community water system shall: 
(1) Identify a sampling pool of “tier 1” sampling sites consisting of single-family structures except that, when multiple-family residences comprise at least 20 percent of the structures served by a water system, the system may include these types of structures as “tier 1” sites in its sampling pool. The “tier 1” sampling sites shall 
(A) Contain copper pipes with lead solder installed after 1982; or 
(B) Contain lead pipes; or 
(C) Be served by a lead service line. 
(2) If there is an insufficient number of “tier 1” sites, complete its sampling pool with “tier 2” sampling sites, consisting of buildings, including multiple-family residences that: 
(A) Contain copper pipes with lead solder installed after 1982; or 
(B) Contain lead pipes; or 
(C) Are served by a lead service line. 
(3) If there is an insufficient number of “tier 1” and “tier 2” sampling sites, complete its sampling pool with “tier 3” sampling sites, consisting of single-family structures that contain copper pipes with lead solder installed before 1983. A system with an insufficient number of tier 1, 2 and 3 sites shall complete its sampling pool with representative sites (i.e., plumbing materials commonly found at other sites) throughout the distribution system. 
(d) Each nontransient-noncommunity water system shall: 
(1) Identify a pool of “tier 1” sampling sites consisting of buildings that: 
(A) Contain copper pipes with lead solder installed after 1982; or 
(B) Contain lead pipes; or 
(C) Are served by a lead service line. 
(2) If there is an insufficient number of “tier 1” sites that meet the criteria in paragraph (1), complete its sampling pool with sites that contain copper pipes with lead solder installed before 1983. If additional sites are needed to complete the sampling pool, the system shall use representative sites (i.e., plumbing materials commonly found at other sites) throughout the distribution system. 
(e) Each system whose distribution system contains lead service lines shall draw 50 percent of the samples it collects during each period from sites that contain lead pipes, or copper pipes with lead solder, and 50 percent of the samples from sites served by a lead service line. A system that cannot identify a sufficient number of sites served by a lead service line shall collect first draw samples from all of the sites identified as being served by such lines. 
(f) A system that does not have enough taps that can provide first-draw samples shall submit written documentation to the Department identifying standing times and locations for enough non-first-draw samples to make up its sampling pool by the start of its next monitoring period. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64677. Sample Collection Methods for Taps.
Note     •     History

(a) All tap samples for lead and copper collected pursuant to this chapter, with the exception of lead service line samples collected under section 64689 (Lead Service Line Sampling) and samples collected under subsection (d), shall be first-draw samples, pursuant to subsection (b). 
(b) A first-draw sample shall be one liter in volume and have stood motionless in the plumbing system of each site for at least six hours, but not more than twelve. Samples from residential housing shall be collected from the cold-water kitchen tap or bathroom sink tap. Samples from a non-residential building shall be collected at an interior tap from which water is typically drawn for consumption. Samples may be collected by the system or the system may allow residents to collect tap samples after instructing the residents of the sampling procedures specified in this section. To avoid problems of residents handling nitric acid, acidification of samples may be done up to 14 days after collection. After acidification to resolubilize the metals, the sample shall stand in the original container for the time specified by the method used pursuant to section 64670(c) before it can be analyzed. If a system allows residents to perform sampling, the system may not challenge, based on alleged errors in sample collection, the accuracy of sampling results. 
(c) A system shall collect each tap sample from the same site from which it collected a sample during the previous period. If the system cannot gain entry to a site in order to collect a tap sample, it may collect the tap sample from another site in its sampling pool as long as the new site meets the same criteria, and is as close as possible to the original site. 
(d) A system that does not have enough taps to supply first-draw samples may apply to the Department in writing to substitute non-first-draw samples. Such systems shall collect as many first-draw samples as possible and identify sampling times and locations that would likely result in the longest standing time for the remaining sites. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New article 3 and section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including amendment of subsection (a), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer of article 3 (sections 64677-64678) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64677.5. Sample Invalidation.
Note     •     History

(a) A lead or copper sample may be invalidated by the Department if at least one of the following conditions is met and documented in writing: 
(1) The laboratory establishes that improper sample analysis caused erroneous results; 
(2) The Department determines that the sample was taken from a site that did not meet the site selection criteria in section 64676 (Sample Site Selection); 
(3) The sample container was damaged in transit; 
(4) The Department determines the sample does not meet the requirements in section 64677 (Sample Collection Methods for Taps); or 
(5) There is substantial reason to believe that the sample was subject to tampering. 
(b) To apply for invalidation of one or more samples, a system shall report the results of all samples for the period to the Department, including written documentation to support the system's belief that one or more samples should be invalidated. 
(c) A sample invalidated pursuant to subsection (a) shall not count toward determining lead or copper 90th percentile levels or toward meeting any monitoring requirements in this chapter. 
(d) The system shall collect replacement samples for any invalidated samples if, after the invalidation of one or more samples, the system has too few samples to meet the monitoring requirements of this chapter. Replacement samples taken after the end of the applicable period shall not be used to meet the monitoring requirements of a subsequent period. Replacement samples shall be collected as follows: 
(1) As soon as possible, but no later than 20 days after the system receives notification from the Department that it has invalidated the sample, or by the end of the applicable period, whichever occurs later; and 
(2) At the same locations as the invalidated samples or, if that is not possible, at locations other than those already used for sampling during the monitoring period. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64678. Determination of Exceedances of Lead and Copper Action Levels.
Note     •     History

(a) The detection limits for purposes of reporting (DLRs) for lead and copper are as follows: 

Table 64678-A. DLRs for Lead and Copper 

View Graphic
(b) For purposes of determining the difference in concentration between the source water and the 90th percentile tap results, the following shall apply: 
(1) Analytical results for lead greater than or equal to 0.001 mg/L and less than 0.005 mg/L shall be as measured or 0.0025 mg/L, whichever is greater. 
(2) Analytical results for copper greater than or equal to 0.001 mg/L and less than 0.050 mg/L shall be as measured or 0.025 mg/L, whichever is greater. 
(3) Analytical results below 0.001 mg/L for lead and copper shall be considered zero. 
(c) Analytical results below the DLRs for lead and copper specified shall be reported as zero. 
(d) The lead action level is exceeded if the concentration of lead in more than 10 percent of the tap water samples collected during any period is greater than 0.015 mg/L (i.e., if the “90th percentile” lead level is greater than 0.015 mg/L). 
(e) The copper action level is exceeded if the concentration of copper in more than 10 percent of the tap water samples collected during any period is greater than 1.3 mg/L (i.e., if the “90th percentile” copper level is greater than 1.3 mg/L). 
(f) The 90th percentile lead and copper levels shall be computed as follows: 
(1) The results of all lead or copper samples collected during a period shall be placed in ascending order from the sample with the lowest concentration to the sample with the highest concentration. Each sampling result shall be assigned a number, ascending by single integers beginning with the number 1 for the sample with the lowest contaminant level. The number assigned to the sample with the highest contaminant level shall be equal to the total number of samples taken. 
(2) The number of samples taken during the period shall be multiplied by 0.9. 
(3) The contaminant concentration in the numbered sample identified by the calculation in paragraph (f)(2) is the 90th percentile contaminant level. 
(4) For water systems serving less than or equal to 100 people that collect 5 samples per period, the 90th percentile is computed by taking the average of the highest and second highest concentrations. 
(g) The results of any monitoring conducted in addition to the minimum requirements of this section shall be considered by the system and submitted to the department for making any determinations. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64678.5. Monitoring Waivers for Small Systems.
Note     •     History

(a) A small water system may apply to the Department for a waiver to reduce the tap sampling frequency for lead and copper to once every nine years, and shall continue tap sampling as required by this chapter until it receives written notification from the Department that the waiver has been approved. 
(b) A system that meets the following materials and monitoring criteria for both lead and copper will be granted a full waiver, while a system that meets both sets of criteria for only one of the chemicals will be granted a partial waiver that covers only that chemical. 
(1) To meet the materials criteria, a system shall provide certification and documentation that its distribution system and service lines and all drinking water supply plumbing, including plumbing conveying drinking water within all residences and buildings connected to the system, satisfy the following: 
(A) For lead, the system shall be free of the following lead-containing materials: 
1. Plastic pipes that contain lead plasticizers, or plastic service lines that contain lead plasticizers; and 
2. Lead service lines, lead pipes, lead soldered pipe joints, and leaded brass or bronze alloy fittings and fixtures, unless the utility can demonstrate to the Department that such fittings and fixtures will not leach lead into the drinking water. 
(B) For copper, the system shall be free of copper pipes and copper service lines. 
(2) To meet the monitoring criteria, the system shall have completed at least one period of standard tap sampling and demonstrate that the 90th percentile levels for all periods of tap sampling conducted since the system became free of all lead-containing and/or copper-containing materials, as appropriate, do not exceed the following: 
(A) For lead, 0.005 mg/L. 
(B) For copper, 0.65 mg/L. 
(c) If granted a waiver, the system shall 
(1) Comply with any requirements that the Department includes as conditions of the waiver, such as limited monitoring, periodic outreach to customers to remind them to avoid installation of materials that might void the waiver; 
(2) Conduct tap sampling at the reduced number of sites for one period every nine years for the chemical(s) for which the waiver has been granted; 
(3) Provide the materials certification specified in paragraph (b)(1) for the chemical(s) for which the waiver has been granted, along with the monitoring results; and 
(4) If the waiver was granted for only one chemical, continue to monitor pursuant to this chapter for the other chemical. 
(d) If the system continues to satisfy the requirements of subsections (b) and (c), the waiver will be renewed automatically, unless the Department notifies the system in writing that the waiver has been revoked and why. A system whose waiver has been revoked may re-apply for a waiver at such time as it again meets the appropriate materials and monitoring criteria in subsection (b) and (c). 
(e) If a system with a waiver adds a new source of water or changes any water treatment, the Department may require the system to add or modify waiver conditions (e.g., require recertification that the system is free of lead-containing and/or copper-containing materials, require additional tap sampling periods), if it deems such modifications are necessary to address treatment or source water changes at the system. 
(f) If a system with a waiver becomes aware that it is no longer free of lead-containing or copper-containing materials, it shall notify the Department in writing no later than 60 days after becoming aware of such a change. 
(g) If a system with a waiver that has been collecting samples during the months of June, July, August and September receives Department approval for an alternate set of months pursuant to section 64675(b)(2) (General Requirements for Tap Sampling for Lead and Copper), it shall conduct its next tap sampling before the waiver expires. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64679. Supplemental Monitoring.
Note     •     History

A water system with a lead action level exceedance shall offer to sample the tap water of any customer who requests it. The system is not required to pay for collecting or analyzing the sample. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New article 4 and section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including amendment of subsections (d) and (f), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer of article 4 (section 64679) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 4. Water Quality Parameter (WQP) Monitoring
§64680. General WQP Monitoring Requirements.
Note     •     History

(a) WQP tap monitoring shall be: 
(1) Representative of water quality throughout the distribution system, by considering the number of persons served, the different sources of water and treatment methods employed, and seasonal variability; 
(2) Not restricted to sites targeted for lead and copper sampling; and 
(3) Include two samples for each applicable WQP during each period, from the standard number of sites, based on the number of persons served, specified in table 64680-A. 

Table 64680-A 
WQP Tap Monitoring Sites 

View Graphic
(b) Initial WQP monitoring at the entry point(s) to the distribution system shall be two samples for each applicable WQP at each entry point from locations representative of each source after treatment. After the installation of CCT, only one sample is required at each entry point. If a system draws water from more than one source and the sources are combined before distribution, the system shall sample at each entry point during normal operating conditions. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New article 5 and section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of subsection (a)(1)(D)2.A. (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order, including amendment of subsections (a)(1)(D)2.D., (a) (1)(D)3.A. and (b)(5), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer of former article 4 (section 64679), repealer of former article 5 (sections 64680-64681), new article 4 (sections 64680-64684) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64681. Initial WQP Monitoring.
Note     •     History

For initial WQP monitoring, each system shall monitor for the following WQPs, pursuant to section 64680 (General WQP Monitoring Requirements): 
(a) pH; 
(b) Alkalinity; 
(c) Orthophosphate, when an inhibitor containing a phosphate compound is used; 
(d) Silica, when an inhibitor containing a silicate compound is used; 
(e) Calcium; 
(f) Conductivity; and 
(g) Water temperature. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64682. WQP Monitoring After CCT Installation.
Note     •     History

(a) Each system that installs CCT shall monitor the following WQPs, pursuant to section 64680 (General WQP Monitoring Requirements), as applicable: 
(1) At taps: 
(A) pH; 
(B) Alkalinity; 
(C) Orthophosphate, when an inhibitor containing a phosphate compound is used; 
(D) Silica, when an inhibitor containing a silicate compound is used; 
(E) Calcium, when calcium carbonate stabilization is used as part of corrosion control. 
(2) At each entry point to the distribution system every two weeks as a minimum: 
(A) pH; 
(B) When alkalinity is adjusted as part of CCT, a reading of the dosage rate of the chemical used to adjust alkalinity, and the alkalinity concentration; and 
(C) When a corrosion inhibitor is used as part of CCT, a reading of the dosage rate of the inhibitor used, and the concentration of the active ingredient(s). 
(b) A ground water system may use entry points that are representative of water quality and treatment conditions throughout the system for the monitoring required in paragraph (a)(2) as follows: 
(1) If waters from untreated and treated groundwater sources mix, the system shall monitor entry points representative of each; 
(2) Prior to monitoring, the system shall submit written documentation to the Department identifying the sites and demonstrating that they are representative. 
(c) Subject to the Department's written approval, a system that has no action level exceedance and meets the Department-specified WQP values or ranges may reduce tap monitoring as follows: 
(1) After two consecutive periods during which it has met the WQP values or ranges, the system shall monitor each period at the reduced number of sites, pursuant to table 64680-A; 
(2) After three consecutive years (including the initial sampling year) during which it has met the WQP values or ranges, the system shall monitor annually at the reduced number of sites at evenly-spaced intervals throughout the year; and 
(3) After three consecutive years of annual monitoring during which the system meets the WQP values or ranges, the system shall monitor once every three years at the reduced number of sites at evenly-spaced intervals throughout the monitoring year. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New article 6 and section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of subsection (b) (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order, including amendment of subsection (i), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer of article 6 (sections 64682-64685) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 5. Corrosion Control
§64683. Corrosion Control Study Procedure.
Note     •     History

(a) Each system conducting a corrosion control study shall: 
(1) Evaluate the effectiveness of each of the following treatments, and, if appropriate, combinations of the following treatments to identify the CCT for that system: 
(A) Alkalinity and pH adjustment; 
(B) Calcium hardness adjustment; and 
(C) The addition of a corrosion inhibitor at a concentration sufficient to maintain an effective residual concentration throughout the distribution system. 
(2) Evaluate each of the corrosion control treatments using either pipe rig/loop tests, metal coupon tests, partial-system tests, or analyses based on documentation of such treatments from systems of similar size, water chemistry and distribution system configuration. 
(3) Measure the following WQPs in any tests conducted under this subsection before and after evaluating the corrosion control treatments listed above: 
(A) Lead; 
(B) Copper; 
(C) pH; 
(D) Alkalinity; 
(E) Calcium; 
(F) Conductivity; 
(G) Corrosion control inhibitor active ingredient (when an inhibitor is used); 
(H) Water temperature. 
(4) Identify all chemical or physical constraints that limit or prohibit the use of a particular corrosion control treatment and document such constraints with at least one of the following: 
(A) Data and documentation showing that a particular corrosion control treatment has adversely affected other water treatment processes when used by another water system with comparable water quality characteristics; and/or 
(B) Data and documentation demonstrating that the water system has previously attempted to evaluate a particular corrosion control treatment and has found that the treatment is ineffective or adversely affects other water quality treatment processes. 
(5) Evaluate the effect of the chemicals used for corrosion control treatment on other water treatment processes. 
(6) Recommend to the Department in writing the treatment option that the corrosion control studies indicate constitutes CCT for that system on the basis of an analysis of the data generated during each evaluation. The water system shall provide a rationale for its recommendation along with all supporting documentation specified in paragraphs (a)(1) through (5) of this section. 
(b) Based on the study conducted pursuant to subsection (a), and a system's recommended treatment alternative, the Department will either approve the corrosion control treatment option recommended by the system, or designate alternative corrosion control treatment(s) from among those listed in paragraph (a)(1) of this section, notify the system of its decision on CCT in writing and explain the basis for its determination. If the Department requests additional information to aid its review, the water system shall provide the information. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of subsections (c)(2) and (d) (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer of former article 5 (sections 64680-64681), new article 5 (sections 64683-64685) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64684. CCT Installation and Operation.
Note     •     History

(a) Each system shall install and operate throughout its distribution system the CCT designated by the Department in subsection 64683(b) (Corrosion Control Studies) or paragraph 64673(c)(3) (Small and Medium-size Water System Requirements) and monitor WQPs pursuant to section 64682 (WQP Monitoring After CCT Installation). When the system completes its installation of CCT, it shall submit a letter to the Department certifying that it has done so. 
(b) After the system installs CCT, the Department will review the treatment and pre- and post-treatment tap sampling and WQP monitoring data and specify WQPs in writing within 42 months of its CCT designation as follows: 
(1) A minimum value or a range of values for pH measured at each entry point to the distribution system; 
(2) A minimum pH value of 7.0 or greater, measured in all tap samples, unless the Department determines that meeting a pH level of 7.0 is not technologically feasible or is not necessary for the system to optimize corrosion control; 
(3) If a corrosion inhibitor is used, a minimum concentration or a range of concentrations for the inhibitor, measured at each entry point to the distribution system and in all tap samples, that the Department determines is necessary to maintain a passivating film on the interior walls of the pipes of the distribution system; 
(4) If alkalinity is adjusted as part of CCT, a minimum concentration or a range of concentrations for alkalinity, measured at each entry point to the distribution system and in all tap samples; 
(5) If calcium carbonate stabilization is used as part of corrosion control, a minimum concentration or a range of concentrations for calcium, measured in all tap samples; and 
(6) Values for additional WQPs determined by the Department to reflect CCT for the system. 
(c) After the Department specifies WQP values and ranges, each system shall monitor pursuant to section 64680 (General WQP Monitoring Requirements) and maintain WQPs as specified by the Department. 
(d) A system shall be out of compliance with the WQP values and ranges specified by the Department pursuant to subsection (b) for any period during which it has excursions for more than nine days. 
(1) An excursion occurs when a “daily value” at one or more sample sites for one or more WQPs in a day is below the minimum value or outside the range of Department-specified WQPs. 
(2) A “daily value” for a WQP at a site is determined as follows: 
(A) If sampling is more than once a day by continuous monitoring, grab sampling or both, the daily value shall be the average of all the day's results at the sampling site. 
(B) If sampling is once a day, the daily value shall be the day's result. 
(C) If sampling is less than once a day, the daily value shall apply to the day that the water supplier receives the result from the laboratory or the 30th day after the sample is collected, whichever comes first. 
(3) When an excursion occurs, within 48 hours of being notified of the results of the initial sample(s), the system shall investigate the cause and collect a followup sample at each affected site for each WQP that did not meet the Department-specified values. The criteria in paragraphs (d)(1) and (2) shall be applied to the followup sample results to determine if another excursion has occurred. 
(e) A system conducting reduced WQP tap monitoring that fails to meet the Department-specified WQPs shall resume standard WQP tap monitoring pursuant to section 64680 (General WQP Monitoring Requirements). 
(f) The results of any monitoring conducted in addition to the minimum requirements of this section shall be considered by the system and submitted to the Department for making any determinations (i.e., determining concentrations of WQPs). 
(g) Upon its own initiative or in response to a request by a system, the Department may modify in writing its designation of CCT or its specified WQP values and ranges if it determines that modification is necessary to ensure that the system continues to maintain CCT. Any request shall be in writing, explain the reason for the requested modification, and include supporting documentation. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of subsection (b)(2)(A) (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order, including amendment of subsection (a), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 6. Source Water Requirements for Action Level Exceedances
§64685. Source Water Monitoring and Treatment Designation.
Note     •     History

(a) Within six months of an action level exceedance, a system shall: 
(1) Collect one lead and copper source water sample from each entry point to the distribution system that is representative of the source or combined sources and is collected after any treatment, if treatment is applied before distribution; 
(2) In writing, either recommend to the Department the installation and operation of a source water treatment (ion exchange, reverse osmosis, lime softening, or coagulation/filtration) or demonstrate that source water treatment is not needed to minimize lead and copper levels at users' taps; and 
(3) Submit any additional information requested by the Department to aid in its determination of whether source water treatment is necessary to minimize lead and copper levels in water delivered to users' taps. 
(b) The Department will make a determination regarding source water treatment within six months after submission of monitoring results under subsection (a). 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including amendment of subsection (a)(1), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer of former article 6 (sections 64682-64685), new article 6 (sections 64685-64686) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64686. Requirements Subsequent to the Department's Designation.
Note     •     History

(a) If the Department determines that source water treatment is required pursuant to subsection 64685(b), the system shall comply with the following within the specified timeframes that begin with the Department's determination regarding source water treatment: 
(1) Install the treatment within 24 months and submit a letter to the Department certifying that installation has been completed; 
(2) Collect an additional source water sample from each entry point to the distribution system during two consecutive periods within 36 months; 
(3) Complete two consecutive periods of standard monitoring for lead and copper pursuant to section 64675 (General Requirements for Tap Sampling for Lead and Copper) within 36 months. 
(b) Within 6 months after the system installs source water treatment, based on its review of the data collected pursuant to subsection (a) and the contaminant removal capability of the installed treatment when properly operated, the Department will specify maximum permissible lead and copper levels for water entering the distribution system. The water system shall comply with these maximum permissible levels. 
(c) After the Department specifies maximum permissible levels or determines that source water treatment is not needed, the system shall conduct standard monitoring related to source water pursuant to table 64686-A, according to source water type. If approved by the Department based on a review of source water data, the system may reduce monitoring pursuant to table 64686-A. 

Table 64686-A. Standard and Reduced Monitoring Related 
to Source Water 

View Graphic
(d) If a system does not have an action level exceedance for lead and/or copper during three consecutive years for groundwater or one year for surface water with or without groundwater, the system is not required to conduct sampling related to source water for the specific chemical. 
(e) If the results of sampling indicate an exceedance of the maximum permissible levels specified pursuant to subsection (b), one additional sample may be collected at the same sampling point as soon as possible within 14 days of the initial sample to confirm the result. If a confirmation sample is collected, then the average of the initial and confirmation sample results shall be used to determine compliance with the maximum permissible levels. 
(f) A water system that begins using a new water source shall reinitiate standard monitoring pursuant to subsection (c) and conduct three rounds of monitoring with the new source online before reducing the monitoring frequency. 
(g) Upon its own initiative or in response to a request by a system, the Department may modify its determination of the source water treatment, or maximum permissible lead and copper concentrations for treated source water. Any request shall be in writing, explain the reason for the requested modification, and include supporting documentation. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 1-16-90; operative 2-15-90 (Register 90, No. 4).
2. Renumbering and amendment of Note of former section 64686 to section 64469 filed 5-27-92; operative 6-26-92 (Register 92, No. 22).
3. New article 7 and section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
4. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-11-95 order, including amendment of subsections (b)(1) and (c), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
6. Repealer of article 7 (sections 64686-64688) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 7. Public Education Program for Lead Action Level Exceedances
§64687. Lead Public Education Program Content and Delivery.
Note     •     History

(a) Each system with a lead action level exceedance shall conduct a lead public education program that includes delivery of the following public education materials pursuant to subsection (d). Within 10 days after the period during which the program was required, the system shall submit a letter to the Department demonstrating that it has delivered the public education materials as required and include a list of all the newspapers, radio stations, television stations, facilities and organizations to which the system delivered the materials during the previous year. 
(1) Except as provided in subsection (b), a community water system shall include the following text in all of the printed materials it distributes through its lead public education program: 
(A) Introduction. The California Department of Health Services (DHS), the U.S. Environmental Protection Agency, and [insert name of water supplier] are concerned about lead in your drinking water. Although most homes have very low levels of lead in their drinking water, some homes in the community have lead levels above the state and federal action level of 15 parts per billion (ppb), or 0.015 milligrams of lead per liter of water (mg/L). Under state and federal law we are required to have a program in place to minimize lead in your drinking water by [insert date when corrosion control will be completed for your system]. This program includes corrosion control treatment, source water treatment, and public education. We are also required to replace the portion of each lead service line that we own if the line contributes lead concentrations of 15 ppb or more after we have completed the comprehensive treatment program. If you have any questions about how we are carrying out the requirements of the lead regulation please give us a call at [insert water system's phone number]. This brochure explains the simple steps you can take to protect you and your family by reducing your exposure to lead in drinking water. 
(B) Health Effects of Lead. Lead is a common metal found throughout the environment in lead-based paint, air, soil, household dust, food, certain types of pottery porcelain and pewter, and water. Lead can pose a significant risk to your health if too much of it enters your body. Lead builds up in the body over many years and can cause damage to the brain, red blood cells and kidneys. The greatest risk is to young children and pregnant women. Amounts of lead that won't hurt adults can slow down normal mental and physical development of growing bodies. In addition, a child at play often comes into contact with sources of lead contamination -- like dirt and dust -- that rarely affect an adult. It is important to wash children's hands and toys often, and to try to make sure they only put food in their mouths. 
(C) Lead In Drinking Water 
1. Lead in drinking water, although rarely the sole cause of lead poisoning, can significantly increase a person's total lead exposure, particularly the exposure of infants who drink baby formulas and concentrated juices that are mixed with water. The U.S. Environmental Protection Agency estimates that drinking water can make up 20 percent or more of a person's total exposure to lead. 
2. Lead is unusual among drinking water contaminants in that it seldom occurs naturally in water supplies like rivers and lakes. Lead enters drinking water primarily as a result of the corrosion, or wearing away, of materials containing lead in the water distribution system and household plumbing. These materials include lead-based solder used to join copper pipe, brass and chrome plated brass faucets, and in some cases, pipes made of lead that connect your house to the water main (service lines). In 1986, Congress banned the use of lead solder containing greater than 0.2% lead, and restricted the lead content of faucets, pipes and other plumbing materials to 8.0%. In California, a similar law prohibiting the use of both lead solder and lead pipe was enacted in 1985. 
3. When water stands in lead pipes or plumbing systems containing lead for several hours or more, the lead may dissolve into your drinking water. This means the first water drawn from the tap in the morning, or later in the afternoon after returning from work or school, can contain fairly high levels of lead. 
(D) Steps You Can Take in the Home to Reduce Exposure to Lead in Drinking Water 
1. Despite our best efforts mentioned earlier to control water corrosivity and remove lead from the water supply, lead levels in some homes or buildings can be high. To find out whether you need to take action in your own home, have your drinking water tested to determine if it contains excessive concentrations of lead. Testing the water is essential because you cannot see, taste, or smell lead in drinking water. Some local laboratories that can provide this service are listed at the end of this booklet. For more information on having your water tested, please call [insert phone number of water system]. 
2. If a water test indicates that the drinking water drawn from a tap in your home contains lead above 15 ppb, then you should take the following precautions: 
A. Let the water run from the tap before using it for drinking or cooking any time the water in a faucet has gone unused for more than six hours. The longer water resides in your home's plumbing the more lead it may contain. Flushing the tap means running the cold water faucet until the water gets noticeably colder, usually about 15 to 30 seconds. If your house has a lead service line to the water main, you may have to flush the water for a longer time, perhaps one minute, before drinking. Although toilet flushing or showering flushes water through a portion of your home's plumbing system, you still need to flush the water in each faucet before using it for drinking or cooking. Flushing tap water is a simple and inexpensive measure you can take to protect your family's health. It usually uses less than one or two gallons of water and costs less than [insert a cost estimate based on flushing two times a day for 30 days] per month. To conserve water, fill a couple of bottles for drinking water after flushing the tap, and whenever possible use the first flush water to wash the dishes or water the plants. If you live in a high-rise building, letting the water flow before using it may not work to lessen your risk from lead. The plumbing systems have more, and sometimes larger pipes than smaller buildings. Ask your landlord for help in locating the source of the lead and for advice on reducing the lead level. 
B. Try not to cook with, or drink water from the hot water tap. Hot water can dissolve more lead more quickly than cold water. If you need hot water, draw water from the cold tap and heat it on the stove. 
C. Remove loose lead solder and debris from the plumbing materials installed in newly constructed homes, or homes in which the plumbing has recently been replaced, by removing the faucet strainers from all taps and running the water from 3 to 5 minutes. Thereafter, periodically remove the strainers and flush out any debris that has accumulated over time. 
D. If your copper pipes are joined with lead solder that has been installed illegally since it was banned in 1986, notify the plumber who did the work and request that he or she replace the lead solder with lead-free solder. Lead solder looks dull gray, and when scratched with a key looks shiny. In addition, notify the California Department of Health Services and your local environmental health department about the violation. 
E. Determine whether or not the service line that connects your home or apartment to the water main is made of lead. The best way to determine if your service line is made of lead is by either hiring a licensed plumber to inspect the line or by contacting the plumbing contractor who installed the line. You can identify the plumbing contractor by checking the record of building permits which should be maintained in the files of the [insert name of department that issues building permits]. A licensed plumber can at the same time check to see if your home's plumbing contains lead solder, lead pipes, or pipe fittings that contain lead. The public water system that delivers water to your home should also maintain records of the materials located in the distribution system. If the service line that connects your dwelling to the water main contributes more than 15 ppb to drinking water, after our comprehensive treatment program is in place, we are required to replace the portion of the line we own. If the line is only partially owned by the [insert name of the city, county, or water system that owns the line], we are required to provide the owner of the privately-owned portion of the service line with information on how to replace the privately-owned portion of the service line, and offer to replace that portion of the line at the owner's expense. If we replace only the portion of the line that we own, we also are required to notify you in advance and provide you with information on the steps you can take to minimize exposure to any temporary increase in lead levels that may result from the partial replacement, to take a follow-up sample at our expense from the line within 72 hours after the partial replacement, and to mail or otherwise provide you with the results of that sample within three business days of receiving the results. Acceptable replacement alternatives include copper, stainless steel, and plastic pipes. Partial replacement should avoid the creation of mixed piping systems and include the installation of approved dielectric couplings at all dissimilar metal interfaces. 
F. Have an electrician check your wiring. If grounding wires from the electrical system are attached to your pipes, corrosion may be greater. Check with a licensed electrician or your local electrical code to determine if your wiring can be grounded elsewhere. DO NOT attempt to change the wiring yourself because improper grounding can cause electrical shock and fire hazards. 
3. The steps described above will reduce the lead concentrations in your drinking water. However, if a water test indicates that the drinking water coming from your tap contains lead concentrations in excess of 15 ppb after flushing, or after we have completed our actions to minimize lead levels, then you may want to take the following additional measures: 
A. Purchase or lease a home treatment device. Home treatment devices are limited in that each unit treats only the water that flows from the faucet to which it is connected, and all of the devices require periodic maintenance and replacement. Devices such as reverse osmosis systems or distillers can effectively remove lead from your drinking water. Since these treatments remove dissolved minerals, water treated by these devices will have a greater tendency to leach lead from brass faucets or fittings which the water contacts after treatment. Some activated carbon filters may reduce lead levels at the tap, however all lead reduction claims should be investigated. Be sure to check the actual performance of a specific home treatment device before and after installing the unit. The California Department of Health Services certifies the effectiveness of home treatment devices. Only devices certified by the California Department of Health Services to remove lead should be used for this purpose. 
B. Purchase bottled water for drinking and cooking. 
4. You can consult a variety of sources for additional information. Your family doctor or pediatrician can perform a blood test for lead and provide you with information about the health effects of lead. State and local government agencies that can be contacted include: 
A. [insert the name of city or county department of public utilities] at [insert phone number] can provide you with information about your community's water supply, and a list of local laboratories that have been certified by the California Department of Health Services for testing water quality; 
B. [insert the name of city or county department that issues building permits] at [insert phone number] can provide you with information about building permit records that should contain the names of plumbing contractors that plumbed your home; and 
C. California Department of Health Services, Childhood Lead Poisoning Prevention Branch at [insert the phone number] or the [insert the name of the city or county health department] at [insert phone number] can provide you with information about the health effects of lead and how you can have your child's blood tested. 
5. The following is a list of some state approved laboratories in your area that you can call to have your water tested for lead. [Insert names and phone numbers of at least two laboratories]. 
(2) Except as provided in subsection (b), a nontransient-noncommunity water system shall include either the text in paragraph (a)(1) or the following text, in all of the printed materials it distributes through its lead public education program. 
(A) Introduction. The California Department of Health Services, the United States Environmental Protection Agency (EPA) and [insert name of water supplier] are concerned about lead in your drinking water. Some drinking water samples taken from this facility have lead levels above the EPA action level of 15 parts per billion (ppb), or 0.015 milligrams of lead per liter of water (mg/L). Under Federal law we are required to have a program in place to minimize lead in your drinking water by [insert date when corrosion control will be completed for your system]. This program includes corrosion control treatment, source water treatment, and public education. We are also required to replace the portion of each lead service line that we own if the line contributes lead concentrations of more than 15 ppb after we have completed the comprehensive treatment program. If you have any questions about how we are carrying out the requirements of the lead regulation please give us a call at [insert water system's phone number]. This brochure explains the simple steps you can take to protect yourself by reducing your exposure to lead in drinking water. 
(B) Health Effects of Lead. Lead is found throughout the environment in lead-based paint, air, soil, household dust, food, certain types of pottery porcelain and pewter, and water. Lead can pose a significant risk to your health if too much of it enters your body. Lead builds up in the body over many years and can cause damage to the brain, red blood cells and kidneys. The greatest risk is to young children and pregnant women. Amounts of lead that won't hurt adults can slow down normal mental and physical development of growing bodies. In addition, a child at play often comes into contact with sources of lead contamination -- like dirt and dust -- that rarely affect an adult. It is important to wash children's hands and toys often, and to try to make sure they only put food in their mouths. 
1. Lead in drinking water, although rarely the sole cause of lead poisoning, can significantly increase a person's total lead exposure, particularly the exposure of infants who drink baby formulas and concentrated juices that are mixed with water. The EPA estimates that drinking water can make up 20 percent or more of a person's total exposure to lead. 
2. Lead is unusual among drinking water contaminants in that it seldom occurs naturally in water supplies like rivers and lakes. Lead enters drinking water primarily as a result of the corrosion, or wearing away, of materials containing lead in the water distribution system and household plumbing. These materials include lead-based solder used to join copper pipe, brass and chrome-plated brass faucets, and in some cases, pipes made of lead that connect houses and buildings to water mains (service lines). In 1986, Congress banned the use of lead solder containing greater than 0.2% lead, and restricted the lead content of faucets, pipes and other plumbing materials to 8.0%. 
3. When water stands in lead pipes or plumbing systems containing lead for several hours or more, the lead may dissolve into your drinking water. This means the first water drawn from the tap in the morning, or later in the afternoon if the water has not been used all day, can contain fairly high levels of lead. 
(D) Steps You Can Take. Steps you can take to reduce exposure to lead in drinking water include: 
1. Let the water run from the tap before using it for drinking or cooking any time the water in a faucet has gone unused for more than six hours. The longer water resides in plumbing the more lead it may contain. Flushing the tap means running the cold water faucet for about 15-30 seconds. Although toilet flushing or showering flushes water through a portion of the plumbing system, you still need to flush the water in each faucet before using it for drinking or cooking. Flushing tap water is a simple and inexpensive measure you can take to protect your health. It usually uses less than one gallon of water. 
2. Do not cook with, or drink water from the hot water tap. Hot water can dissolve more lead more quickly than cold water. If you need hot water, draw water from the cold tap and then heat it. 
3. The steps described above will reduce the lead concentrations in your drinking water. However, if you are still concerned, you may wish to use bottled water for drinking and cooking. 
4. You can consult a variety of sources for additional information. Your family doctor or pediatrician can perform a blood test for lead and provide you with information about the health effects of lead. State and local government agencies that can be contacted include: 
A. [insert the name or title of facility official if appropriate] at [insert phone number] can provide you with information about your facility's water supply; and 
B. [insert the name or title of the State Department of Health Services] at [insert phone number] or the [insert the name of the city or county health department] at [insert phone number] can provide you with information about the health effects of lead. 
(b) Any additional information presented shall be consistent with the information in subsection (a) and be in plain language that can be understood by laypersons. A system may delete information pertaining to lead service lines, on approval by the Department, if the water system does not have any such lines. Building permit record availability and consumer access to these records may be modified, if approved by the Department. 
(c) The system shall include the following information in all public service announcements submitted under its lead public education program to television and radio stations for broadcasting: 
(1) Why should everyone want to know the facts about lead and drinking water? Because unhealthy amounts of lead can enter drinking water through the plumbing in your home. That's why I urge you to do what I did. I had my water tested for [insert free or cost per sample]. You can contact the [insert the name of the city or water system] for information on testing and on simple ways to reduce your exposure to lead in drinking water. 
(2) To have your water tested for lead, or to get more information about this public health concern, please call [insert the phone number of the city or water system]. 
(d) The system shall conduct the lead public education program as follows: 
(1) In communities where a significant proportion of the population speaks a language other than English, public education materials shall be communicated in the appropriate language(s). 
(2) Within 60 days after it has a lead action level exceedance, unless it is already conducting a lead public education program, a community water system shall: 
(A) Insert notices in each customer's water utility bill containing the information in paragraph (a)(1), along with the following alert on the water bill itself in large print: SOME HOMES IN THIS COMMUNITY HAVE ELEVATED LEAD LEVELS IN THEIR DRINKING WATER. LEAD CAN POSE A SIGNIFICANT RISK TO YOUR HEALTH. PLEASE READ THE ENCLOSED NOTICE FOR FURTHER INFORMATION. A community water system with a billing cycle that does not include a billing within 60 days of the exceedance, or that cannot insert information in the bill without making major changes to its billing system, may use a separate mailing as long as it is conducted within 60 days of the exceedance. 
(B) Submit the information in paragraph (a)(1) to the editorial departments of the major daily and weekly newspapers circulated throughout the community. 
(C) Deliver pamphlets and/or brochures that contain the public education materials in subparagraphs (a)(1)(B) and (D) to facilities and organizations, including the following: 
1. Public schools and/or local school boards; 
2. City or county health department; 
3. Women, Infants, and Children and/or Head Start Program(s) whenever available; 
4. Public and private hospitals and/or clinics; 
5. Pediatricians; 
6. Family planning clinics; and 
7. Local welfare agencies. 
(D) Submit the public service announcement in subsection (c) to at least five of the radio and television stations with the largest audiences that broadcast to the community served by the system. 
(3) A community system shall repeat the tasks in subparagraphs (d)(2)(A),(B) and (C) every 12 months, and the tasks in subparagraph (d)(2)(D) every 6 months for as long as the system has a lead action level exceedance. 
(4) Within 60 days after it has a lead action level exceedance, unless it is already conducting a lead public education program, a nontransient-noncommunity system shall deliver the public education materials in paragraphs (a)(1) or (a)(2) as follows: 
(A) Post informational posters on lead in drinking water in a public place or common area in each of the buildings served by the system; and 
(B) Distribute informational pamphlets and/or brochures on lead in drinking water to each person served by the system. The Department may allow the system to utilize electronic transmission in lieu of or combined with printed materials as long as it achieves at least the same coverage. 
(5) A nontransient-noncommunity system shall repeat the tasks in paragraph (4) at least once during each calendar year in which the system has a lead action level exceedance. 
(6) A system may discontinue the lead public education program if it does not have a lead action level exceedance during the most recent period. The system shall recommence the program pursuant to this section if it subsequently has a lead action level exceedance. 
(7) A community water system may apply to the Department, in writing, to use the text in paragraph (a)(2) in lieu of the text in paragraph (a)(1) and to perform the tasks listed in paragraphs (d)(4) and (c)(5) of this section in lieu of the tasks in paragraphs (d)(2) and (d)(3) of this section if: 
(A) The system is a facility, such as a prison or a hospital, where the population served is not capable of or is prevented from making improvements to plumbing or installing point of use treatment devices; and 
(B) The system provides water as part of the cost of services provided and does not separately charge for water consumption. 
(8) A community water system serving 3,300 or fewer people may omit the task contained in subparagraph (d)(2)(D). As long as it distributes notices containing the information contained in paragraph (a)(1) of this section to every household served by the system, such systems may further limit their public education programs as follows: 
(A) Systems serving 500 or fewer people may forego the task contained in subparagraph (d)(2)(B). Such a system may limit the distribution of the public education materials required under subparagraph (d)(2)(C) to facilities and organizations served by the system that are most likely to be visited regularly by pregnant women and children, unless notified by the Department in writing that it shall make a broader distribution. 
(B) If approved by the Department in writing, a system serving 501 to 3,300 people may omit the task in subparagraph (d)(2)(B) and/or limit the distribution of the public education materials required under subparagraph (d)(2)(C) to facilities and organizations served by the system that are most likely to be visited regularly by pregnant women and children. 
(9) A community water system serving 3,300 or fewer people that delivers the lead public education in accordance with paragraph (d)(8)(A) of this section shall repeat these requirements at least once during each calendar year in which the system exceeds the lead action level. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including amendment of subsection (a), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer of former article 7 (sections 64686-64688), new article 7 (section 64687) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 8. Lead Service Line Requirements for Action Level Exceedances
§64688. Lead Service Line Replacement.
Note     •     History

(a) A system shall replace lead service lines if: 
(1) It has a lead action level exceedance in tap samples after installing corrosion control and/or source water treatment (whichever sampling occurs later) and/or 
(2) It is in violation for failure to install source water treatment or CCT. 
(b) Within 6 months after it has a lead action level exceedance, the system shall demonstrate in writing that it has conducted a materials evaluation including that in section 64676 (Sample Site Selection) to identify the initial number of lead service lines in its distribution system, and shall submit both the demonstration and a schedule for complying with subsection (c) to the Department. 
(c) Except as provided in subsection (e), a system that is required to conduct lead service line replacement shall annually replace at least 7 percent of the initial number of lead service lines in its distribution system, pursuant to the following. 
(1) At the time the lead service line replacement begins, the system shall identify the initial number of lead service lines in its distribution system based on the evaluation in section 64676 (Sample Site Selection). 
(2) The first year of lead service line replacement shall begin on the date the system first had a lead action level exceedance subsequent to its installation of CCT and, if required pursuant to section 64686, source water treatment. 
(3) The system is not required to replace an individual lead service line if the lead concentration in each and every service line sample from that line, taken pursuant to the section 64687 (Lead Service Line Sampling), is less than or equal to 0.015 mg/L. 
(4) The system shall replace that portion of the lead service line that it owns and keep ownership documentation in its files and offer to replace the building owner's portion of the line with the cost being borne by the building owner. If the building owner does not accept the offer, the system shall: 
(A) At least 45 days prior to commencing the partial replacement, notify the resident(s) of all buildings served by the line that they may experience a temporary increase of lead levels in their drinking water, along with guidance on measures they may take to minimize their exposure. If the replacement is in conjunction with emergency repairs, the Department will allow a shorter notice, depending on the nature of the emergency and the timing involved. The notice shall be mailed unless an alternate method is approved by the Department, based on the feasibility of insuring that all consumers receive the notice; and 
(B) Inform the resident(s) that the system will collect a first flush tap water sample within 72 hours after the partial replacement of the service line has been completed if the resident(s) so desire. If the resident(s) accept the offer, the system shall collect the sample and report the results to the resident(s) and the owner within three business days of receiving the results and to the Department. 
(d) Within 12 months after the lead action level exceedance, and every 12 months thereafter, the system shall submit in writing to the Department the number of lead service lines scheduled to be replaced during the previous year of the system's replacement schedule, along with the following information to the Department: 
(1) The number and location of each lead service line replaced during the previous year of the system's replacement schedule to demonstrate that it has replaced at least 7 percent of the initial lead service lines within the previous 12 months, or a greater number of lines if required by the Department; or 
(2) Lead service line sampling results that demonstrate that the lead level from an individual line(s) is less than or equal to 0.015 mg/L, pursuant to section 64689 (Lead Service Line Sampling). The system shall submit the results of the lead service line sampling including the lead levels, location of each lead service line sampled, the sampling method, and the date of sampling. It shall also include the number and location of each lead service line replaced during the previous year. In such cases, the total number of lines replaced and/or that meet the criteria shall equal at least 7 percent of the initial number of lead lines identified or the percentage required by the Department. 
(e) A system shall replace lead service lines at a faster rate than that required by subsection (b), taking into account the number of lead service lines in the system, if the Department determines either that this is necessary based on elevated blood lead levels in the population served, or that it is feasible to complete the lead service line replacement program in a shorter time without increasing the water rates to the customers. 
(f) A system may cease replacing lead service lines when it has two consecutive periods without a lead action level exceedance. If the system has a lead action level exceedance during any subsequent period, it shall recommence replacing lead service lines. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including amendment of subsections (c)(1)-(2) and (c)(4), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer of former article 8 (sections 64689-64690), new article 8 (sections 64688-64689) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64689. Lead Service Line Sampling.
Note     •     History

(a) Each lead service line sample shall be one liter in volume and have stood motionless in the lead service line for at least six hours, but not more than twelve. 
(b) Lead service line samples shall be collected in one of the following three ways: 
(1) At the tap after flushing the volume of water between the tap and the lead service line. The volume of water to be flushed shall be calculated based on the interior diameter and length of the pipe between the tap and the lead service line; 
(2) Tapping directly into the lead service line; or 
(3) If the sampling site is a building constructed as a single-family residence, allowing the water to run until there is a change in temperature that would be indicative of water that has been standing in the lead service line. 
NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. New article 8 and section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order, including amendment of subsection (b), transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer of article 8 (sections 64689-64690) and repealer and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64690. Source Water Monitoring Frequency Requirements.
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365, 116375 and 116385, Health and Safety Code. Reference: Sections 116300 through 116750, Health and Safety Code; and 40 Code of Federal Regulations 141.88(b through e).
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of subsection (c)(1)(B) (Register 96, No. 38).
4. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
5. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Article 9. Reporting and Recordkeeping
§64690.10. Data Reporting.
Note     •     History

Each system shall report the following within the first 10 days after the end of each period during which such sampling or monitoring was conducted: 
(a) For lead and copper tap sampling: 
(1) The results of all tap samples including the location of each site and the associated tier criteria from section 64676 (Sample Site Selection); 
(2) The 90th percentile lead and copper concentrations calculated pursuant to section 64678 (Determination of Exceedances of Lead and Copper Action Levels); and 
(3) With the exception of the first period of tap sampling, an identification of any site that was not sampled during previous periods, along with an explanation of why the sampling site was changed; 
(b) For WQP monitoring, the results of all samples collected and analyzed pursuant to article 4 (WQP Monitoring) of this chapter; 
(c) For source water monitoring: 
(1) The results for all samples related to source water collected and analyzed under article 6 (Source Water Requirements for Action Level Exceedances) of this chapter; and 
(2) With the exception of the first round of sampling related to source water, an identification of any site that was not sampled during previous periods along with an explanation of why the sampling point was changed; and 
(d) The results for any samples collected and analyzed for lead and copper or WQPs in addition to those required by this chapter. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code. 
HISTORY

1. Repealer of former article 9 (sections 64691-64692), new article 9 (sections 64690.10-64690.80) and new section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64690.80. Recordkeeping.
Note     •     History

Any system subject to the requirements of this chapter shall retain on its premises original records of all sampling data and analyses, reports, surveys, letters, evaluations, schedules, Department determinations, and any other information required by this chapter. Each water system shall retain the records required by this section for no fewer than 12 years or two compliance cycles (as defined in Section 64400.20), whichever is longer. 
NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116325-116750, Health and Safety Code.
HISTORY

1. New section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64691. Reporting Requirements.
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116300 through 116750, Health and Safety Code; and 40 Code of Federal Regulations 141.90.
HISTORY

1. New article 9 and section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer of article 9 (sections 64691-64692) and repealer of section filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
§64692. Recordkeeping Requirements.
Note     •     History

NOTE

Authority cited: Sections 100275, 116350, 116365 and 116375, Health and Safety Code. Reference: Sections 116300 through 116750, Health and Safety Code; and 40 Code of Federal Regulations 141.91.
HISTORY

1. New section filed 12-11-95 as an emergency; operative 12-11-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-96 or emergency language will be repealed by operation of law on the following day.
2. Refiling of 12-11-95 order, including amendment of Note, filed 4-9-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-8-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-11-95 order transmitted to OAL 8-7-96 and filed 9-16-96 (Register 96, No. 38).
4. Repealer filed 9-11-2003; operative 10-11-2003 (Register 2003, No. 37).
Chapter 18. Drinking Water Additives
Article 1. Requirements
§64700. Direct Additives. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 4023.3, Health and Safety Code. Reference: Section 4021, Health and Safety Code.
HISTORY

1. New chapter 18, article 1 and section filed 4-22-93; operative 5-24-93 (Register 93, No. 17).
2. Repealer of former chapter 18, article 1 (sections 64700-64710) and renumbering of former section 64700 to new section 64590 filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
§64710. Exception. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 4023.3, Health and Safety Code. Reference: Section 4021, Health and Safety Code.
HISTORY

1. New section filed 4-22-93; operative 5-24-93 (Register 93, No. 17).
2. Renumbering of former section 64710 to new section 64593 filed 2-8-2008; operative 3-9-2008 (Register 2008, No. 6).
Chapter 19. Certification of Environmental Laboratories
Article 1. Definitions
§64801. Definitions.
Note     •     History

(a) “Alternate Test Procedure” means an analytical test method, or procedure that is different in technic from the method(s) cited in Section 64811(a), (b), or (c), but detects and quantifies to the same degree of precision, accuracy, and level of detection.
(b) “Auxiliary Laboratory Facility” means any stationary place which:
(1) is operated by the owner of a laboratory for the purpose of providing additional capacity, or to reduce or eliminate sample contamination; and
(2) performs analyses in one or more of the same Field(s) of Testing as the laboratory to which it is auxiliary; and
(3) is under the supervision of the same Laboratory Director as the laboratory to which it is auxiliary; and
(4) only receives samples from, and reports raw analytical data to, the laboratory to which it is auxiliary for its generation of the final report; and
(5) is located such that the transport of samples to the auxiliary laboratory does not affect the quality of the analytical results.
(c) “A Complete Application” means a verified application for certification containing all the information required in Section 64805(a) or (b), and utilizing ELAP form 001 (dated 1/1/93).
(d) “Contact Person” means an individual designated by the Laboratory Director to act as a contact between the laboratory and the Department for purposes of exchanging information between the Department and the laboratory.
(e) “Laboratory” shall have the same meaning as given in Health and Safety Code Section 1010(c)(2).
(f) “Laboratory Director” means the person who, for the laboratory and its auxiliary or mobile laboratories, if any, is in charge of all analytical and operational laboratory activities; supervises all personnel, including those designated as Principal Analysts; and is the person responsible for the quality of reported data.
(g) “Facility or Facilities” means fixed or portable building(s), which contain the analytical and ancillary operating equipment, supplies and space necessary to perform the analyses in the Field(s) of Testing for which a laboratory is certified, and includes storage areas.
(h) ”Mobile Laboratory” means a vehicle, vessel, aircraft, or trailer, which is certified under Field of Testing 23, and is operated by the same owner as a certified stationary laboratory, and which is designed and equipped for the purpose of transporting and using laboratory equipment to perform analyses in one of the Fields of Testing for which the stationary laboratory is certified.
(i) “Owner” means any person who is a sole proprietor of a laboratory, or any person who holds a partnership interest in a laboratory, or any person who is an officer, or 5% (five percent) or more shareholder in a corporation which owns a laboratory.
(j) “Owner's Agent” or “Agents of Owners” means those persons who have been designated by the Owner(s) of the laboratory to act in its behalf for purposes of complying with these regulations or the statutes under which these regulations are adopted.
(k) “Principal Analyst” means a person who either supervises the activities of others in, or conducts, the analyses of environmental samples using sophisticated laboratory instruments. For these purposes, “sophisticated laboratory instruments” means: gas chromatograph/mass spectrometers (GC/MS), inductively coupled plasma spectrometers (ICP), direct current plasma spectrometers (ICP-MS), liquid chromatograph/mass spectrometers (LC-MS), atomic absorption spectrophotometers (AA), gas chromatographs (GC), alpha particle or gamma ray spectrophotometer, electron microscopes (EM), polarized light microscope (PLM), or high pressure liquid chromatographs (HPLC).
(l) “Stationary Laboratory” means a laboratory that is permanent and nonmovable and may include fixed-in-place vehicles.
(m) “Trade Secret” means any information that meets the definition in Section 6254.7(d) of the Government Code.
(n) “Trailer” means a vehicle designed for carrying persons or property on its own structure and for being drawn by a motor vehicle and so constructed that no part of its weight rests upon any other vehicle. This definition is the same as the definition given in Section 630, Vehicle Code.
(o) “Utility-Owned” means laboratories owned and operated by federal, state, city, or county agencies.
(p) “Vehicle” means a device by which any person or property may be propelled, moved, or drawn upon a highway, excepting a device moved exclusively by human power or used exclusively upon stationary rails or track. This definition is the same as the definition as given in Section 670, Vehicle Code.
(q) “Verified Application” means that the truth and accuracy of the information in the application has been attested to by the signature of a laboratory Owner.
(r) “Vessel” includes ships of all kinds, steamboats, steamships, canal boats, barges, sailing vessels, and every structure adapted to be navigated from place to place for the transportation of merchandise or persons. This definition is the same as given in Section 21, Harbors and Navigation Code.
NOTE

Authority cited: Sections 208. 1011 and 1012, Health and Safety Code. Reference: Sections 1010, 1014 and 1017, Health and Safety Code; Section 6254.7(d), Government Code; Sections 630 and 670, Vehicle Code; Section 21, Harbors and Navigation Code.
HISTORY

1. New chapter 19, article 1 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 2. Certification and Amendment Process
§64803. Certification and Amendment.
Note     •     History

(a) A laboratory and its auxiliary or mobile laboratories shall be certified for a 24 month period in the Subgroups within each Field of Testing applied for when all the following have occurred:
(1) a complete application has been filed with the Department pursuant to Section 64805; and
(2) a site visit pursuant to Section 64807 has occurred and a response to any cited deficiencies has been received and accepted by the Department; and
(3) acceptable results for performance evaluation sample study sets have been received by the Department pursuant to Section 64809; and
(4) payment of the basic fee and per-Field-of-Testing fees published by the Department pursuant to Health and Safety Code, Section 113 and 1017(a) has been made to the Department.
(b) A laboratory desiring to add or remove one or more Subgroups within a Field(s) of Testing from its current certificate shall file a written request detailing the Field(s) of Testing or Subgroup(s) to be added or removed. Additions, which shall be effective for the remainder of the certification period, shall be made, and an amended certificate issued, when all of the following have occurred:
(1) a complete application has been filed with the Department pursuant to Section 64805; and
(2) a site visit pursuant to Section 64807 has occurred and a response to any cited deficiencies has been received and accepted by the Department; and
(3) acceptable results for performance evaluation samples have been received by the Department pursuant to Section 64809; and
(4) payment for a per-Field-of-Testing fee published by the Department pursuant to Health and Safety Code, Sections 113 and 1017(a) for each Field of Testing to be added to the certificate has been made to the Department.
(c) Whenever there is an amendment to a certificate, the certificate number and the expiration date on the amended certificate shall be the same as the original certificate.
(d) Laboratories seeking an amendment to add one or more Subgroups within a Field(s) of Testing shall not perform analyses in the additional Field(s) of Testing, or Subgroup(s) of Field(s) of Testing, until approved by the Department as evidenced by the issuance of an amended certificate.
(e) Laboratories seeking removal of one or more Subgroups within a Field(s) of Testing shall not perform analyses in the Field of Testing, or Subgroup, after the date of its written request for removal.
(f) A laboratory desiring interim certification under authority of Health and Safety Code, Section 1015(d) shall file a written request for interim certification with its application. An interim certificate shall be issued after payment of the basic and per-Field-of-Testing fee published by the Department pursuant to Health and Safety Code, Section 113 and 1017(a) for each Field of Testing applied for, completion of the requirements of either Section 64807 or 64809, and after the Department has determined that the laboratory has submitted a complete application. In cases where reciprocity agreements exist, compliance with Section 64807 shall be based on a site visit report issued by the other government agency and conducted within 6 months prior to the request for interim certification.
(g) The Department's estimated schedule for processing a complete application for certification from the receipt of the complete application to the final decision regarding issuance or denial of a certificate is as follows:
(1) The median time is 6 months;
(2) The minimum time is 3 months;
(3) The maximum time is 12 months.
NOTE

Authority cited: Sections 208, 1011 and 1012, Health and Safety Code; and Section 15376, Government Code. Reference: Section 15376, Government Code; and Sections 113, 1012, 1013, 1014 and 1015, Health and Safety Code.
HISTORY

1. New article 2 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 3. Application Process
§64805. Application.
Note     •     History

(a) All laboratories seeking certification in any Subgroup as identified in Section 64823 within Field(s) of Testing 1 through 22, as listed in Health and Safety Code, Section 1017, shall file a complete application utilizing ELAP form 001, dated January 1, 1993, and containing the following information:
(1) complete name of the laboratory; and
(2) if the laboratory is stationary, the location, by street address, or map directions (if no street address exists), city, state, zip code, and county of the laboratory and any auxiliary laboratories; and
(3) if the laboratory is owned by a holder of a waste discharge permit issued by a California Regional Water Quality Control Board, the name or number of the Regional Board issuing the permit; and
(4) mailing address, parcel or package delivery address of the laboratory and any auxiliary laboratories; and
(5) if the laboratory is a vehicle or trailer, the vehicle identification and license plate number, including state of issue, or if the laboratory is a vessel, the vessel identification number, vessel registration number, including state of issue, or if the laboratory is an aircraft, the aircraft identification number, aircraft registration number, including state of issue, of all mobile laboratories; and
(6) name, education, and experience for the person designated as the Laboratory Director; and
(7) name, education, and experience for each and every person designated as Principal Analyst; and
(8) name of a Contact Person; and
(9) phone numbers for the laboratory, fax devices, Laboratory Director, and Contact Person; and
(10) the name(s)  of the Owner(s) of the laboratory. If the laboratory is owned by a corporation, the name of the officers, and stockholders owning 5% or more of the shares. If the laboratory is owned by a partnership, the name of all partners; and
(11) whether the laboratory seeks exemption from fees as allowed by Health and Safety Code, Section 1017(e). If exemption is claimed, it shall include evidences showing the laboratory to be established under the authority of Health and Safety Code, Section 1000, or that the laboratory meets the definition of a government-owned reference laboratory as established in Health and Safety Code, Section 1017(g); and
(12) the Field(s) of Testing for which the laboratory desires certification; and
(13) a quality assurance document meeting the requirements of Section 64815; and
(14) date of completion of the application and signature by an Owner.
(b) Laboratories seeking certification of a mobile laboratory under Field of Testing 23, shall file a complete application, which shall include the following information:
(1) the Subgroup within the Field of Testing to be employed in the mobile laboratory; and
(2) the name of the Owner(s) of the stationary laboratory that operates the mobile laboratory; and
(3) name, education, and experience for the person designated as Laboratory Director for the stationary laboratory that operates the mobile laboratory; and
(4) name, education and experience for each and every person designated as Principal Analyst for the mobile laboratory; and
(5) a quality assurance program meeting the requirements of Section 64815 covering the test methods to be employed in the mobile laboratory; and
(6) the location, by street address, or map directions (if no street address exists), city, state, zip code, and county of the certified stationary laboratory under the same owner as the mobile laboratory and the Subgroups within each Field of Testing for which that stationary laboratory is certified.
(c) All applications filed with the Department shall be considered complete unless within 30 days of receipt, the Department mails to the laboratory's mailing address a notice that the application is not complete. Any noted deficiencies in a submitted application must be corrected and the corrected application returned to the Department within ninety days from the date of the Department's notice of deficiencies or the application shall be considered null and void.
(d) An application for renewal of a certificate shall be received by the Department no later than ninety days prior to the expiration date of the certificate or it shall expire by operation of law on the stated expiration date as specified in Health and Safety Code Section 1014(a).
NOTE

Authority cited: Sections 208 and 1011, Heath and Safety Code. Reference: Sections 1013, 1014 and 1017(e), Health and Safety Code.
HISTORY

1. New article 3 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
§64806. Certification Fees.
Note     •     History

(a) The following schedule of fees shall apply to every environmental laboratory applying for an initial, amendment, or renewal Environmental Laboratory Accreditation Program certification:
(1) A non-refundable base or administrative fee of $959 payable at the time of initial and renewal application for certification and annually thereafter, and
(2) An additional fee of $432 for each Field of Testing specified in Health and Safety Code Section 100860.1 which the laboratory has requested in its application, payable at the time of application for an initial, amended, or renewed ELAP certification, and annually thereafter.
(b) For a certificate issued between 01/01/02 and 12/31/02, the fee required at the time of the initial and renewal application shall be due and payable within the time period for which the certificate is valid and within 30 days notice by the Department.
NOTE

Authority cited: Sections 100830, 100835(a) and 100860.1, Health and Safety Code.  Reference: Section 100825, Health and Safety Code.
HISTORY

1. New section filed 10-31-2002 as an emergency; operative 10-31-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-28-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-31-2002 order transmitted to OAL 2-27-2003 and filed 4-3-2003 (Register 2003, No. 14).
Article 4. Site Visits
§64807. Site Visits.
Note     •     History

(a) Site visits shall be conducted by the Department to verify information contained in a laboratory's application for certification or when a laboratory requests the addition of one or more Subgroups within a Field of Testing. During the site visit, the Department shall verify the following:
(1) the laboratory uses only the analytical test methods identified in Section 64811 for each Subgroup within a Field of Testing for which the laboratory is seeking certification;
(2) the laboratory's instrumentation and equipment meet the requirements of Section 64813;
(3) the laboratory's quality assurance and quality control procedures meet the requirements of Section 64815; and
(4) the information contained in the application.
(b) Within 30 days of completion of a site visit, the Department shall notify a laboratory, in writing, of its deficiencies, if any, in complying with the requirements of (a)(1) through (a)(4) above. No laboratory shall be issued a certificate in any Subgroup within any Field of Testing applied for unless it has corrected all deficiencies noted, and has forwarded to the Department a statement, in writing, of all corrective actions taken. The statement of corrective actions shall be received by the Department within the time frame established in the Department's notice of deficiencies. If in a subsequent site visit the Department determines that the laboratory failed to take any of the corrective action(s) specified in the laboratory's statement, citation(s) as specified under the authority of Health and Safety Code, Section 1021, may be issued.
(c) A site visit shall be conducted within 6 months from the date of receipt by the Department of a laboratory's application. If a site visit is not conducted within this time period and the delay is not a result of Department error or procedure, certification shall be denied pursuant to Section 64803(a)(2).
NOTE

Authority cited: Sections 208, 1011  and 1012, Heath and Safety Code. Reference: Sections 1015, 1018 and 1021, Health and Safety Code.
HISTORY

1. New article 4 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 5. Performance Evaluation Testing Process
§64809. Performance Evaluation Testing.
Note     •     History

(a) No laboratory shall be certified to perform analyses in any Subgroup of any Field(s) of Testing as identified in Section 64823 unless the laboratory has submitted results for the analysis of performance evaluation sample study set(s) (where performance evaluation sample study set(s) exist) in each Subgroup within each Field of Testing for which certification is requested, and the results for the testing of the study set are in agreement with the criteria established below:
(1) within the 99% confidence limit of the mean computed by the Department for the collection of results received for the performance evaluation sample set for the following Subgroups: detection of total coliform or fecal coliform organisms in wastewater by Multiple Tube Fermentation technics; detection of total coliform or fecal coliform organisms in wastewater by Membrane Filter technics; Heterotrophic Plate Count technics; Fecal streptococci and Enterococci by Multiple Tube Fermentation technics; Fecal streptococci and Enterococci by Membrane Filter technics of Field of Testing 1; all Subgroups in Fields of Testing 6, 9, 10, 12, 13, 16, 17, 18, and 19;
(2) positive/negative, present/absent, above/below, or other similar discrete response when the only result possible from a test is a discrete response for the following Subgroups in Field of Testing 1: detection of total coliform, fecal coliform, or Escherichia coli (E. coli) organisms in drinking water by Multiple Tube Fermentation technics; detection of total coliform, fecal coliform, or Escherichia coli (E. coli) organisms in drinking water by Membrane Filter technics; detection of total coliform, fecal coliform, or Escherichia coli (E. coli) organisms in drinking water by use of Clark's Presence/Absence medium; detection of both total coliforms and Escherichia coli (E. coli) organisms in drinking water by the Minimal Medium ortho-nitrophenyl-beta-D-galactopyranoside - 4-methylumbelliferyl-beta-D-glucuronide (MMO-MUG) technics;
(3) for all Subgroups in Field of Testing 8: within the 99% confidence limit of the mean computed by the Department from the collection of results received for the performance evaluation sample set, or within the 95th percentile of a distribution of non-normal values. The choice determined by the Department through the application of standard tests that determine the normalcy of data; 
(4) within the 95% confidence limit of the mean computed by the Department from the collection of results received for the performance evaluation sample set for the following Subgroups: alkalinity, calcium, chloride, corrosivity, hardness, magnesium, MBAS, sodium, sulfate, total filterable residue and conductivity, iron (colorimetric methods only), manganese (colorimetric methods only), and ortho phosphate in Field of Testing 2; asbestos in Field of Testing 3;
(5) within a given percentage of a known or true value for the following Subgroups: cyanide, fluoride, nitrate and nitrite in Field of Testing 2; all Subgroups in Field of Testing 3, except asbestos; all Subgroups in Fields of Testing 4, 5, 20, 21, and 22.
(b) Each performance evaluation sample study set shall state the method of evaluation that shall be utilized to score results for that performance evaluation sample study set, and which requirements identified in (a) above, or (c) below must be met by the laboratory.
(c) If a performance evaluation sample study set contains one or more analytes that may be analyzed by a single test method that the Department recognizes and certifies as a Subgroup of a Field of Testing, the results shall meet one of the following:
(1) when 6 or fewer analytes are in the performance evaluation sample study set, all analytes are within the stated acceptance limits; or
(2) when more than 6 analytes are in the performance evaluation sample study set, eighty-five point zero percent (85.0%) of the analytes are within the stated acceptance limits.
(d) If a laboratory fails to submit results for the analysis of performance evaluation sample study sets, which meet the above requirements, the laboratory may, within 30 days, request that it be given a second, successive attempt to submit such results. Failure of a laboratory to submit results for the analysis of performance evaluation sample study sets meeting the requirements of (a) or (c) within 6 months from the date of receipt by the Department of the laboratory's application for certification, or of its request for the addition of one or more Subgroups within a Field(s) of Testing shall result in the denial of the application or request.
(e) With the exception of Field of Testing 6, a certified laboratory shall, within 12 months from the date of certification, participate in at least one performance evaluation sample study set (where performance evaluation sample study set(s) exist) for each Subgroup within each Field of Testing as identified in Section 64823 for which certification is held. If the results from the study do not meet the requirements of (a) or (c), the laboratory shall be provided a second, successive attempt to submit such results. Irrespective of whether a second, successive attempt is provided, results meeting the requirements of (a) or (c) must be submitted by a certified laboratory to the Department at least 90 days prior to the expiration of its certificate or the laboratory's certificate may be restricted under Health and Safety Code, Section 1015(c).
(f) Laboratories holding certification in any Subgroup within Field of Testing 6 shall participate in all available performance evaluation test samples provided through the Environmental Protection Agency's Environmental Monitoring and Support Laboratory, Las Vegas inter-comparison cross check and performance evaluation studies. The laboratory must successfully complete a minimum of two inter-comparison cross check studies and one performance evaluation study each annual period from the date of certification. Failure to do so may be used by the Department as grounds for restricting the laboratory's certificate under Health and Safety Code, Section 1015(c).
(g) Laboratories seeking or holding certification in any Subgroup within Field of Testing 11 are exempt from compliance with the requirements of Health and Safety Code, Section 1015(b)(1).
NOTE

Authority cited: Sections 208, 1011  and 1012, Heath and Safety Code. Reference: Sections 1015, 1017 and 1019, Health and Safety Code.
HISTORY

1. New article 5 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 6. Required Test Methods
§64811. Test Methods.
Note     •     History

(a) Laboratories certified for any Subgroup within Fields of Testing 1 through 6, as identified in Section 64823, shall employ those methods found in 40 Code of Federal Regulations Part 141 as amended July 17, 1992, 57 Federal Register 31776.
(b) Laboratories certified for any Subgroup within Fields of Testing 9 through 14, as identified in Section 64823, shall employ those methods found in Article 5, Section 66260.11, Title 22, California Code of Regulations.
(c) Laboratories certified for any Subgroup within Fields of Testing  8 or 16 through 19, as identified in Section 64823, shall employ those methods found in 40 Code of Federal Regulations Part 136, amended September 11, 1992, 57 Federal Register 41830, or methods stated in any permit issued by a California Regional Water Quality Control Board. If no method is stated in the permit and there is no method cited for the substance in Part 136, the laboratory is to seek approval for the use of the method from the Regional Board issuing the permit.
(d) Laboratories certified for any Subgroup within Fields of Testing 20, 21 or 22, as identified in Section 64823, shall develop and employ analytical confirmation procedures for the verification of pesticide identification and quantification.
(e) Laboratories certified in any Subgroup within Field of Testing 7, as identified in Section 64823, shall employ those methods found in either “Recommended Procedures for the Examination of Sea Water and Shellfish”, 4th edition, 1970, American Public Health Association (APHA); or “Official Methods of Analysis of the Association of Official Analytical Chemists”, 14th edition, 1984, AOAC, Arlington, Virginia. Laboratories certified in any Subgroup within Filed of Testing 15, as identified in Section 64823, shall employ methods which were submitted to the Department at time of application for certification, or at time of request to add a Subgroup within a Field of Testing and which have been approved by the Department for use in the laboratory.
(f) Laboratories may substitute alternate test methods for those allowed by (a) above. If such substitution is desired, the laboratory shall obtain written approval for the alternate test method to be utilized from the United States Environmental Protection Agency (EPA) through that agency's Alternate Test Procedure approval process, or shall obtain a waiver from the Environmental Laboratory Accreditation Program (ELAP), prior to implementing any substitution. ELAP may grant a waiver when a State Maximum Contaminant Level (MCL) is more stringent than a federal MCL or no State MCL exists and when ELAP determines that the test method the laboratory proposes to use is one for which that laboratory was previously ELAP certified. A waiver shall be valid until a new State MCL is adopted for the analyte being detected by the method.
(g) Laboratories may substitute alternate test methods for those allowed by (b) above. If such substitution is desired, the laboratory shall obtain written approval for the alternate test method to be utilized from the California Environmental Protection Agency, Hazardous Materials Laboratory, Berkeley, California prior to implementing any substitutions.
(h) Laboratories may substitute alternate test methods for those allowed by (c) above. If such substitution is desired, the laboratory shall obtain written approval for the alternate test method to be utilized from the United States Environmental Protection Agency (EPA) through that agency's Alternate Test Procedure approval process prior to implementing any substitution.
(i) Laboratories seeking certification for the subgroups consisting of fecal coliform or Escherichia coli (E. coli) organism technics, must also obtain, or hold, certification for the subgroups consisting of the same technic for total coliform organisms.
(j) To gain certification for individual radioactive elements or isotopes, except for uranium by fluorimetric technics, a laboratory shall obtain certification for gross alpha and beta radiation testing.
(k) A laboratory may seek certification, or hold certification for Field of Testing 11 without seeking or holding certification in Fields of Testing 10, 12, or 13. However, the laboratory shall submit all resulting preparations from the use of any of the subgroup members of Field of Testing 11 to a laboratory certified for Fields of Testing 10, 12, or 13.
NOTE

Authority cited: Sections 208, 1011  and 1012, Heath and Safety Code. Reference: Sections  1012, 1017 and 28503, Health and Safety Code; Section 12901, Title 22, California Code of Regulations; Appendices I, II and III of Article 5 (commencing with Section 66261.100), Title 22, California Code of Regulations.
HISTORY

1. New article 6 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 7. Laboratory and Equipment
§64813. Laboratory and Equipment.
Note     •     History

(a) A laboratory shall be arranged and operated so that:
(1) utilities are maintained to the degree necessary to allow the laboratory equipment to function and produce analyses in each Subgroup within each Field(s) of Testing for which the laboratory is certified;
(2) ventilation and environmental control are maintained in the laboratory so that analytical results are not adversely affected beyond establish quality control limits as specified in the approved test methods or in the laboratory's quality assurance manual;
(3) the design, arrangement, and operation of the laboratory minimizes the potential for sample contamination;
(4) the storage and handling of hazardous materials in accordance with the California Code of Regulations, Title 8, General Industry Safety Orders, Department of Industrial Relations; and
(5) the disposal of chemical wastes is in accordance with the California Code of Regulations, Title 22, Division 4.5, Environmental Health Standards for the Management of Hazardous Wastes, State of California, Department of Health Services.
(b) Each piece of laboratory equipment shall meet all operational, quality assurance, quality control, and design criteria established in the method(s) employed by the laboratory.
(c) Each piece of laboratory equipment shall be operated and maintained by the laboratory as required by the manufacturer's maintenance instructions for the equipment.
(d) Records shall be kept of all operational and maintenance activities associated with the operation of laboratory equipment.
NOTE

Authority cited: Sections 208, 1011  and 1012, Heath and Safety Code. Reference: Section 1012, Health and Safety Code; California Code of Regulations, Title 8; and Title 22, Division 4, Chapter 30, California Code of Regulations.
HISTORY

1. New article 7 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 8. Quality Assurance Documents
§64815. Quality Assurance.
Note     •     History

(a) Each laboratory shall develop and implement a quality assurance program to assure the reliability and validity of the analytical data produced by the laboratory. As evidence of such a program, the laboratory shall develop and maintain a quality assurance program manual.
(b) The quality assurance program manual shall address all quality assurance and quality control practices to be employed by the laboratory and shall, at least, include the quality assurance and quality control requirements specified in the test methods for which the laboratory holds, or seeks, certification. The manual shall include the following elements: laboratory organization and personnel responsibilities; quality assurance objectives for measurement data; sampling procedures (when the laboratory performs the sampling); custody, handling, and disposal of samples; calibration procedures and frequency; analytical procedures; acquisition and reduction, validation and reporting of data; internal quality control checks; performance and system audits; preventive maintenance; assessment of precision and accuracy; corrective action; and quality assurance reports.
(c) The Laboratory Director shall review, and amend if necessary, the quality assurance program and quality assurance program manual at least annually. The Laboratory Director shall also review and amend the quality assurance program and manual whenever there are changes in methods or laboratory equipment employed, in the laboratory structure or physical arrangements, or changes in the laboratory organization.
(d) A laboratory shall maintain records of the implementation of its quality assurance program, and provide those records upon request of the Department. Records shall be maintained for a minimum of three years.
NOTE

Authority cited: Sections 208 and 1011, Health and Safety Code. Reference: Section 1012, Health and Safety Code.
HISTORY

1. New article 8 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 9. Laboratory Personnel
§64817. Laboratory Personnel.
Note     •     History

(a) Each laboratory shall designate a Laboratory Director. Except as provided in (b) below, no person shall be designated as a Laboratory Director unless he or she meets the following educational and experience requirements.
(1) Possesses at least a baccalaureate degree in chemistry, biochemistry, biology, microbiology, environmental, sanitary or public health engineering, natural or physical science.
(2) Has at least three years experience in the analysis of water, wastewater, solid waste, hazardous waste or other environmental samples. The experience requirement shall be satisfied from relevant work experience prior to the person having obtained the position of Laboratory Director. A master's degree in chemistry, biochemistry, biology, microbiology, environmental, sanitary or public hearing engineering, natural or physical science may be substituted for one year of the required experience. A doctorate in chemistry, biochemistry, environmental, sanitary or public hearing engineering, biology, microbiology, natural or physical science may be substituted for two years of the required experience.
(b) Laboratory Directors of utility-owned water or wastewater treatment plant laboratories performing any of the analyses required under Section 4025 of the Health and Safety Code, or Section 13176 of the Water Code may fulfill the requirements for Laboratory Director by possession of a Laboratory Analyst/Water Quality Analyst Certificate from the California Water Pollution Control Association (CWPCA) or the California-Nevada Section of the American Water Works Association (CA-NV/AWWA). The minimum grade of the above certificate acceptable to the Department shall be based on the Fields of Testing for which the laboratory seeks certification as noted in the conversion table set out below:

	Minimum Certificate
Fields of Testing	Grade Required

1, 2* and 16**	I
1, 2, 8 and 16	II
3, 5, 17 and 19 plus those
  allowed for a grade II	III
4, 6, and 18 plus those
  allowed for a grade III	IV
* Limited to testing for: alkalinity, chloride, hardness, total filterable residue, and conductivity.
** Limited to testing for: acidity, alkalinity, biochemical oxygen demand, chemical oxygen demand, chlorine residual, hardness, dissolved oxygen, pH, total residue, filterable residue, nonfilterable residue, settleable residue, volatile residue, specific conductance, and turbidity.
(c) All Laboratory Directors of laboratories certified by the Department as of December 31, 1994 shall be exempt from meeting the requirements of (a) or (b) above.
(d) A Laboratory Director shall be responsible for:
(1) all analytical and operational activities of the laboratory, including those of any auxiliary or mobile laboratory facilities; and
(2) supervision of all personnel employed by the laboratory, including those assigned to work in any auxiliary or mobile laboratory facilities, and those persons designated as Principle Analysts; and
(3) the accuracy and quality of all data reported by the laboratory, including any auxiliary or mobile laboratory facilities.
(e) If, for any reason, a Laboratory Director leaves and is not replaced within 15 days by a person meeting the requirements specified in (a) or (b), whichever applies, a person or persons with lesser qualifications may serve as a temporary director for a period not to exceed ninety days, provided that the laboratory notifies the Department, pursuant to Section 1014(d) of the Health and Safety Code, describing the qualifications of the temporary director and receives written confirmation from the Department. An additional extension of no more than ninety days beyond the original 90-day period may be granted by the Department, provided the laboratory can document that its good-faith efforts to recruit a qualified director were unsuccessful for reason beyond its control.
(f) A Laboratory Director shall assume the position of, or shall designate another person as Principal Analyst whenever there is use of a sophisticated laboratory instrument as defined in Section 64801(k). No person shall be a Principal Analyst for a laboratory unless he or she is:
(1) the user of the sophisticated laboratory instrument; or
(2) the supervisor of the users of the sophisticated laboratory instrument.
(g) Except as provided in (h) below, no person shall be a Principal Analyst unless he or she meets the following educational and experience requirements.
(1) Possesses at least a baccalaureate degree in chemistry, biochemistry, biology, microbiology, environmental, sanitary or public health engineering, natural or physical science; or
(2) Possesses a certification of participation in, and completion of, a course taught by the manufacturer of the particular sophisticated laboratory instrument which is being used or supervised by the Principal Analyst; and
(3) Has at least six months experience in the operation of a sophisticated laboratory instrument in the analysis of water, wastewater, solid waste, hazardous waste or other environmental samples, or food. This experience requirement must be satisfied from experience gained prior to obtaining the position of Principal Analyst.
(h) Principal Analysts of utility-owned water or wastewater treatment plant laboratories performing any analyses under Section 4025 of the Health and Safety Code, or Section 13176 of the Water Code may fulfill the requirements for Principal Analyst by possession of a Laboratory Analyst/Water Quality Analyst Certificate from the California Water Pollution Control Association (CWPCA) or the California-Nevada Section of the American Water Works Association (CA-NV/AWWA). The minimum grade of the above certificate acceptable to the Department shall be based on the Fields of Testing for which the laboratory seeks certification as noted in the conversion table set out below:

	Minimum Certificate
Fields of Testing	Grade Required

1, 2 and 16	I
8 plus those allowed for
  a Grade I	II
3, 5, 17 and 19 plus those
  allowed for a grade II	III
4, 6, and 18 plus those
  allowed for a grade III	IV
(i) All Principal Analysts of laboratories certified by the Department as of December 31, 1994 shall be exempt from meeting the requirements of (g) or (h) above.
NOTE

Authority cited: Sections 208, 1011 and 1012, Health and Safety Code. Reference: Section 1012, Health and Safety Code.
HISTORY

1. New article 9 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 10. Notification and Reporting
§64819. Notification and Reporting.
Note     •     History

(a) Laboratories certified for Field of Testing 1, 2, 3, 4, 5, or 6 shall conform to the following reporting and notification requirements.
(1) Laboratories reporting bacterial quality results as required by Title 22, California Code of Regulations, Section 64423.1 shall submit a bacterial monitoring report including information required in Title 22, California Code of Regulations, Sections 64423.1(c)(2) and (c)(3) directly to the Department.
(2) The laboratory shall notify a water supplier's designated contact person as soon as possible, but within 24 hours, and record the method and time of notification or attempted notification, whenever any of the following occur:
(A) The presence of total coliforms, fecal coliforms, or Escherichia coli (E. coli) is confirmed.
(B) A bacterial sample is invalidated due to an interference as defined in Title 22, California Code of Regulations, Section 64425(b).
(C) A nitrate sample exceeds the MCL.
(3) If the laboratory is unable to make direct contact with the supplier's designated contact person within 24 hours, pursuant to subparagraphs (2)(A) or (C), the laboratory shall immediately notify the Department and provide a written record of the time and method of attempted contacts.
(4) All analytical results conducted pursuant to Title 22, California Code of Regulations, Chapter 15, Domestic Water Quality and Monitoring, shall be reported directly to the Department electronically using the Electronic Deliverable Format as defined in The Electronic Deliverable Format [EDF] Version 1.2i Guidelines & Restrictions dated April 2001 and Data Dictionary dated April 2001, by the 10th day of the month following the month in which the analyses were completed.
(5) Whenever a laboratory is requested by a water supplier, pursuant to Title 22, California Code of Regulations, Section 64425(a)(2), to submit evidence invalidating a sample due to laboratory error, the laboratory shall provide the supplier with information which shall include:
(A) A letter from the Laboratory Director to the water supplier agreeing to the invalidation request by reason of laboratory accident or error;
(B) complete sample identification, laboratory sample log number (if used), date and time of collection, date and time of receipt by the laboratory, date and time of analysis for the sample(s) in question;
(C) complete description of the error alleged to have invalidated the result(s);
(D) copies of all analytical, operating, and quality assurance records pertaining to the incident in question; and
(E) any observations noted by laboratory personnel when receiving and analyzing the sample(s) in question.
(b) Laboratories certified for Fields of Testing 20, 21, or 22 shall verify the identity and quantity of a pesticide residue before reporting the results. The confirmation procedures must conform to those in Section 64811(d) of this Chapter.
(c) In any arrangements between laboratories involving the transfer of samples, or portions of samples, the laboratory issuing the report of analyses shall include the original of any report(s) prepared by all other laboratories who are party to the agreement.
NOTE

Authority cited: Sections 100275, 100830, 100835 and 116375, Health and Safety Code. Reference: Sections 100825(b) and 100835, Health and Safety Code.
HISTORY

1. New article 10 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
2. Amendment of section and Note filed 5-15-2001; operative 6-14-2001 (Register 2001, No. 20).
3. Change without regulatory effect amending subsection (a)(4) filed 8-24-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 34).
Article 11. Reciprocity Agreements
§64821. Reciprocity Agreements.
Note     •     History

(a) Another State's, or a United States agency's environmental laboratory certification, accreditation, or licensing program shall be recognized for the purposes of reciprocity if the program requires:
(1) periodic analyses of performance evaluation samples by the participating laboratories with the frequency of submittal, the method of evaluation, and the established acceptance limits at least equal to those established in Section 64809 of this Chapter;
(2) on-site evaluation of participating laboratories during which the laboratory is reviewed under criteria at least equal to that established in Section 64807 of this Chapter;
(3) standards for quality assurance, laboratory facilities, test methods, laboratory equipment, and personnel for participating laboratories at least equal to those in Sections 64811, 64813, 64815, and 64817 of this Chapter.
(b) Where reciprocity exists, each laboratory seeking California certification shall submit:
(1) an application pursuant to Section 64805(a) of this Chapter;
(2) copies of the results evaluated, or scored, from the last performance evaluation sample testing conducted by the laboratory for the other program;
(3) copies of the last on-site evaluation report prepared by the other program and the laboratory's response to any deficiencies noted;
(4) all applicable fees pursuant to Health and Safety Code, Section 1017(a); and
(5) a copy of the certificate, license, permit, or authorization to operate as an environmental laboratory issued to the laboratory by the other agency.
(c) When a reciprocity agreement exists between the Department and another State, only those laboratories that reside within the boundaries of the other State shall be eligible for certification through reciprocity.
(d) If a reciprocity agreement with another State, or U.S. government agency is revoked, all certificates issued by the Department to all affected laboratories shall remain valid until the stated expiration date. 
(e) No fees are waived where reciprocity exists.
(f) A laboratory certified under reciprocity may be visited or issued performance evaluation samples by the Department for the purposes of addressing questions or concerns on quality of results raised by any California government agency who has received a report from the laboratory. Applicable performance evaluation sample costs, pursuant to Section 1017(f) or travel costs pursuant to Section 1017(b) of the Health and Safety Code shall be paid.
NOTE

Authority cited: Sections 208, 1011 and 1012, Health and Safety Code. Reference: Sections 1011 and 1017, Health and Safety Code.
HISTORY

1. New article 11 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 12. Subgroups for Fields of Testing
§64823. Fields of Testing.
Note     •     History

(a) Field of Testing 1 consists of those methods whose purpose is to detect the presence of microorganisms in the determination of drinking water or wastewater quality and encompasses the following Subgroups: detection of total coliform, fecal coliform, or Escherichia coli (E. coli) organisms by Multiple Tube Fermentation technics; detection of total coliform, fecal coliform, or Escherichia coli (E. coli) organisms by Membrane Filter technics; Heterotrophic Plate Count technics; detection of both total coliforms and Escherichia coli (E. coli) organisms by the Minimal Medium ortho-nitrophenyl-beta-D-galactopyranoside - 4-methylumbelliferyl-beta-D-glucuronide (MMO-MUG) technics; detection of total coliform, fecal coliform, or Escherichia coli (E. coli) organisms by use of Clark's Presence/Absence medium; Fecal streptococci and Enterococci by Multiple Tube Fermentation technics, Fecal streptococci and Enterococci by Membrane Filter technics; detection of total coliforms and fecal coliforms other than for drinking water or wastewater quality.
(b) Field of Testing 2 consists of those analytes or methods whose purpose is to detect the presence of inorganic substances in the determination of drinking water quality and whose methods require the use colorimetric, gravimetric, titrimetric, electrometric, or ion chromatographic technic; and encompasses the following Subgroups: alkalinity; calcium (titrimetric technics); chloride; corrosivity; fluoride; hardness (direct determination); magnesium (titrimetric technics); methylene blue active substances (MBAS); nitrate; nitrite; sodium (flame emission technics); sulfate; total filterable residue and conductivity; iron; manganese; orthophosphate; silica; cyanide; potassium (flame emission technics).
(c) Field of Testing 3 consists of those methods whose purpose is to detect the presence of trace metals, or asbestos in the determination of drinking water quality and whose methods require the use of an atomic absorption, inductively coupled plasma, inductively coupled plasma/mass spectrophotometer, or electron microscope device and encompasses the following Subgroups: arsenic; barium; cadmium; total chromium; copper; iron; lead; manganese; mercury; selenium; silver; zinc; aluminum; asbestos; antimony; beryllium; nickel; thallium; calcium; magnesium; sodium; potassium.
(d) Filed of Testing 4 consists of those methods whose purpose is to detect the presence of trace organics in the determination of drinking water quality, and require the use of a gas chromatographic/mass spectrophotometric device and encompasses the following Subgroups: EPA method 524.2 for volatile organics; EPA method 501.3 for trihalomethanes; EPA method 525 for acid and base/neutral compounds; EPA method 513 for dioxins; EPA method 1613 for dioxins.
(e) Field of Testing 5 consists of those methods whose purpose is to detect the presence of trace organics in the determination of drinking water quality and do not require the use of a gas chromatographic/mass spectrophotometric device and encompasses the following Subgroups: EPA method 501.1 for trihalomethanes; EPA method 501.2 for trihalomethanes; EPA method 510 for total trihalomethanes; EPA method 508 for chlorinated pesticides; EPA method 515.1 for chlorophenoxy herbicides; EPA method 502.1 for halogenated volatiles; EPA method 503.1 for aromatic volatiles; EPA method 502.2 for both halogenated and aromatic volatiles; EPA method 504 for EDB and DBCP; EPA method 505 for chlorinated pesticides and ploychlorinated biphenyls; EPA method 507 for the haloacids; EPA method 531.1 for carbamates; EPA method 547 for glyphosate; EPA method 506 for adipates and phthalates; EPA method 508A for total polychlorinated biphenyls; EPA method 548 for endothall; EPA method 549 for diquat and paraquat; EPA method 550 for polycyclic aromatic hydrocarbons; EPA method 550.1 for polycyclic aromatic hydrocarbons; EPA method 551 for chlorination disinfection byproducts; EPA method 552 for haloacetic acids.
(f) Field of Testing 6 consists of those methods whose purpose is to detect the presence of radioactive substances in drinking water, wastewater, or hazardous wastes; and encompasses the following Subgroups: gross alpha and beta radiation; total radium; radium 226; uranium; radon 222; radioactive cesium; iodine 131; radioactive strontium; tritium; gamma emitting isotopes; gross alpha by coprecipitation; radium 228; radioactive iodine; gross alpha and beta radiation in hazardous wastes; alpha emitting radium isotopes in hazardous wastes; radium 228 in hazardous wastes.
(g) Field of Testing 7 consists of those methods whose purpose is to detect the presence of microbial contamination or toxins in the determination of shellfish meat quality and encompasses the following Subgroups: shellfish meat microbiology; paralytic shellfish poison (PSP) and other marine biotoxins; microbiology of shellfish growing waters.
(h) Field of Testing 8 consists of those methods whose purpose is to detect the presence of toxins in the determination of wastewater quality, or in hazardous wastes and encompasses the following Subgroups: hazardous waste testing pursuant to Title 22, California Code of Regulations, Section 66261.24(a)(6); wastewater testing according to Kopperdahl (1976) using freshwater fish; wastewater testing according to EPA/600/4-85/013 using freshwater and/or marine organisms; wastewater testing by EPA method 1000.0; wastewater testing by EPA method 1002.0; wastewater testing by EPA method 1003.0; wastewater testing by EPA method 1006; wastewater testing by EPA method 1007; wastewater testing by EPA method 1009; wastewater testing according to Anderson, et al. (1990) using Giant Kelp (Macrocystis pyrifera); wastewater testing according to Anderson, et al. (1990) using red abalone (Haliotus rufescens); wastewater testing according to Dinnel and Stober (1987) using purple sea urchin (Strongylocentrotus purpuratus); wastewater testing according to Dinnel and Stober (1987) using red sea urchin (Strongylocentrotus franciscanus); wastewater testing according to Dinnel and Stober (1987) using sand dollar (Dendraster excentricus); wastewater testing according to procedure E 724-89 (ASTM, 1989) using Pacific oyster (Crassostrea gigas); wastewater testing according to procedure E 724-89 (ASTM, 1989) using California Bay Mussel (Mytilus edulis); wastewater testing according to procedure E 1218-90 (ASTM, 1990) using an alga (skeletonema costatum); wastewater testing according to EPA/600/4-90/027 using freshwater and/or marine organisms.
(i) Field of Testing 9 consists of those methods whose purpose is to detect physical properties of hazardous wastes for regulatory purposes and encompasses the following Subgroups: ignitability; corrosivity by pH determination; corrosivity by corrosivity towards steel; reactivity.
(j) Field of Testing 10 consists of those methods whose purpose is to detect the presence of inorganic substances in hazardous waste samples and encompasses the following Subgroups: antimony; arsenic; barium; beryllium; cadmium; chromium, total; cobalt; copper; lead; mercury; molybdenum; nickel; selenium; silver, thallium; vanadium; zinc; chromium (VI); cyanide; fluoride; sulfide; total organic lead.
(k) Field of Testing 11 consists of those methods whose purpose is to prepare samples of hazardous wastes for further testing and encompasses the following Subgroups: California waste extraction test (WET); extraction procedure toxicity (EP TOX); toxicity characteristic leaching procedure (TCLP), all phases; TCLP, extraction of inorganics only; TCLP, extraction of semivolatile organics only; TCLP, extraction of volatile organics only.
(l) Field of Testing 12 consists of those methods whose purpose is to detect the presence of trace organics in hazardous waste samples, and do not require the use of a gas chromatographic/mass spectrophotometric device and encompasses the following Subgroups: EPA method 8240 for volatile compounds; EPA method 8250 for semivolatile compounds; EPA method 8270 for semivolatile compounds; EPA method 8280 for dioxins, EPA method 8290, EPA method 8260.
(m) Field of Testing 13 consists of those methods whose purpose is to detect the presence of trace organics in hazardous waste samples, and do not require the use of a gas chromatographic/mass spectrophotometric device and encompasses the following Subgroups: EPA method 8010 for halogenated volatiles; EPA method 8015 for nonhalogenated volatiles; EPA method 8020 for aromatic volatiles; EPA method 8030 for acrolein, acrylonitrile, acetonitrile; EPA method 8040 for phenols; EPA method 8060 for phthalate esters; EPA method 8080 for organochlorine pesticides or polychlorinated biphenyls; EPA method 8090 for nitroaromatics and cyclic ketones; EPA method 8100 for polynuclear aromatic hydrocarbon; EPA method 8130 for polynuclear aromatic hydrocarbons; EPA method 8120 for chlorinated hydrocarbons; EPA method 8140 for organophosphorus pesticides; EPA method 8150 for chlorinated herbicides; EPA method 632 for carbamates; total petroleum hydrocarbons - gasoline (LUFT manual); total petroleum hydrocarbons - diesel (LUFT manual); EPA method 8011; EPA method 8021; EPA method 8070; EPA method 8110; EPA method 8141; EPA method 8330; EPA method 8080 for PCBs only; EPA method 8080 for chlorinated pesticides only.
(n) Field of Testing 14 consists of those methods whose purpose is to detect the presence of asbestos for purposes of complying with the provisions of Title 22, California Code of Regulations, Section 66261.24(a)92)(A) and encompasses the following Subgroups: asbestos by polarized light microsopy. 
(o) Field of Testing 15 shall be any method whose purpose is to detect the presence of any analyte found in the list of substances regulated by the California Safe Drinking Water and Toxic Enforcement Act in drinking water, wastewater, hazardous wastes, and contaminated soils or sediments, but which method is not within any subgroup of any other Field of Testing cited in this section.
(p) Field of Testing 16 consists of those methods whose purpose is to detect the presence of inorganic substances, nutrients, physical or chemical demands, or physical properties in the determination of wastewater quality, and whose methods require the use colorimetric, gravimetric, titrimetric, electrometric, or ion chromatographic technics and encompasses the following Subgroups: acidity; alkalinity (includes determination of bicarbonate, carbonate, & hydroxide); ammonia; biochemical oxygen demand (BOD); boron; bromide; calcium (titrimetric technics); carbonaceous biochemical oxygen demand (cBOD); chemical oxygen demand (COD); chloride; chlorine residual, total; cyanide; cyanide amenable to chlorination; fluoride; hardness (direct determination); kjeldahl nitrogen (includes determination of organic nitrogen); magnesium (titrimetric technics); nitrate; nitrite; oil and grease; organic carbon; oxygen, dissolved, pH; phenols; phosphate ortho; phosphorus, total; potassium (flame emission technics); residue, total; residue, filterable (total dissolved solids); residue, nonfilterable (total suspended solids); residue, settleable (settleable solids); residue, volatile; silica; sodium (flame emission technics); specific conductance; sulfate; sulfide (includes total and soluble); sulfite; surfactants (MBAs); tannin and lignin; turbidity; iron; manganese; total recoverable hydrocarbons by EPA method 418.1; total organic halides.
(q) Field of Testing 17 consists of those methods whose purpose is to detect the presence of trace metals, or asbestos in the determination of wastewater quality and whose methods require the use of an atomic absorption, inductively coupled plasma, inductively coupled plasma/mass spectrophotometer, or electron microscope device and encompasses the following Subgroups: aluminum; antimony; arsenic; barium; beryllium; cadmium; chromium (VI); chromium, total; cobalt; copper; gold; iridium; iron; lead; manganese; mercury; molybdenum; nickel, osmium; palladium; platinum; rhodium; ruthenium; selenium; silver; strontium; thallium; tin; titanium; vanadium; zinc; asbestos; calcium; magnesium; potassium; sodium.
(r) Field of Testing 18 consists of those methods whose purpose is to detect the presence of trace organics in the determination of wastewater quality, and require the use of a gas chromatographic/mass spectrophotometric device and encompasses the following Subgroups: EPA method 624 for volatile organics; EPA method 625 for acid and base/neutral compounds; EPA method 1613 for dioxins; EPA method 1625 for dioxins; EPA method 613.
(s) Field of Testing 19 consists of those methods whose purpose is to detect the presence of trace organics in the determination of wastewater quality, and do not require the use of a gas chromatographic/mass spectrophotometric device and encompasses the following Subgroups: EPA method 601 for halogenated volatiles; EPA method 602 for aromatic volatiles; EPA method 603 for acrolein, acrylonitrile, acetonitrile; EPA method 604 for phenols; EPA method 605 for benzidine; EPA method 606 for phthalate esters; EPA method 607 for nitrosoamines; EPA method 608 for organochlorine pesticides or polychlorinated biphenyls; EPA method 609 for nitroaromatics and cyclic ketones; EPA method 610 for polynuclear aromatics; EPA method 612 for haloethers; EPA method 632 for carbamates; EPA method 619; EPA method 608 for PCBs only; EPA method 608 for chlorinated pesticides only.
(t) Field of Testing 20 consists of those methods whose purpose is to detect the presence of inorganic pesticide residues in raw agricultural or bulk processed food and encompasses the following Subgroups: pesticide residues in processed foods detected by either atomic absorption, inductively coupled plasma, inductively coupled plasma/mass spectrophotometer, or colorimetric technics; pesticide residues in raw commodities detected by either atomic absorption, inductively coupled plasma, inductively coupled plasma/mass spectrophotometer, or colorimetric technics; pesticide residues in dairy products detected by either atomic absorption, inductively coupled plasma, inductively coupled plasma/mass spectrophotometer, or colorimetric technics; pesticide residues in feed products detected by either atomic absorption, inductively coupled plasma, inductively coupled plasma/mass spectrophotometer, or colorimetric technics.
(u) Field of Testing 21 consists of those methods whose purpose is to detect the presence of organic pesticide residues in raw agricultural or bulk processed food, and require the use of a gas chromatographic/mass spectrophotometric device and encompass the following Subgroups: chromatographic/mass spectrophotometric methods in either processed foods; raw commodities; dairy products; feed products.
(v) Field of Testing 22 consists of those methods whose purpose is to detect the presence of organic pesticide residues in raw agricultural or bulk processed food, and do not require the use of a gas chromatographic/mass spectrophotometric device and encompass the following Subgroups: halogenated compounds in processed foods detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; organophosphorous compounds in processed foods detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; carbamates in processed foods detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; halogenated compounds in raw commodities detected by either gas chromatograph, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; organophosphorous compounds in raw commodities detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; carbamates in raw commodities detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; halogenated compounds in dairy products detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; organophosphorous compounds in dairy products detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; carbamates in dairy products detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; halogenated compounds in feed products detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; organophosphorous compounds in feed products detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics; carbamates in feed products detected by either gas chromatography, high pressure liquid chromatography, or liquid chromatography/mass spectrophotometry technics.
(w) Field of Testing 23 consists of the subgroup members appropriate to the Field of Testing stated by the laboratory, pursuant to Section 64805(b)(1).
NOTE

Authority cited: Sections 208 and 1011, Health and Safety Code. Reference: Sections 1012, 1013, 1015, 1017 and 1019, Health and Safety Code.
HISTORY

1. New article 12 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 13. Trade Secrets
§64825. Trade Secrets.
Note     •     History

(a) If a laboratory identifies information provided to the Department as a trade secret, the Department shall not release such information unless:
(1) the release is authorized under state or federal law; and
(2) the Department has notified the laboratory of the impending release. Such notification shall be at least ten days prior to releasing any information identified as a trade secret, stating the name of the party requesting the information, the reason for the request, the authority to release this information, and the date the information will be released.
NOTE

Authority cited: Sections 208, 1011 and 1012, Health and Safety Code. Reference: Sections 1012 and 1013, Health and Safety Code; Section 6254.7(d), Government Code.
HISTORY

1. New article 13 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 14. Sale or Transfer of Ownership of a Laboratory
§64827. Sale or Transfer of Ownership.
Note     •     History

(a) A certificate shall be voided by operation of law if one or more of the following occurs.
(1) An original Owner fails to notify the Department, in writing, within 15 days after a change in ownership.
(2) A new Owner relocates the laboratory within 90 days of assuming ownership.
(3) If more than half the number of laboratory persons either quit or are terminated and replaced by a new Owner within 90 days of assuming ownership.
(4) If a new Owner submits an application to alter the laboratory's certificate as issued to the prior Owner by the addition of any Subgroup within any Field of Testing.
(b) A new Owner of a laboratory shall notify the Department, in writing, within 15 days after the sale or transfer of ownership and provide, at minimum, the following information.
(1) The name(s) of the new Owner(s).
(2) The date of sale or transfer of ownership.
(3) The name, education and laboratory related work experiences, as specified in Section 64817(a); or voluntary laboratory certificate grade as specified in Section 64817(b), of the person designated as the Laboratory Director.
(4) The names, education and laboratory related work experiences, as specified in Section 64817(g); or voluntary laboratory certificate grade as specified in Section 64817(h), of all persons who are designated as Principal Analysts.
(5) The names of all Principal Analysts who have quit, or were terminated and replaced; and the names of all Principal Analysts hired as replacements.
(6) A statement that there will be no changes in laboratory location, or in the certificate issued to the prior Owner(s) within 90 days of assuming ownership.
(7) A statement that all equipment, method, and quality assurance practices will not change within 90 days of assuming ownership.
(8) The notice shall be signed by one or more of the new Owner(s), or their Agents.
(c) New Owners that comply with the provisions of (b) above shall have use of the certificate issued to the prior Owner for a period of ninety days commencing with the date of the Department's notice of receipt of the information supplied by the new Owner.
(1) The certificate number and the laboratory name appearing on the certificate shall remain the same.
(2) The new Owner shall display, and provide a copy with all data reports, the Department's notice recognizing the sale or transfer of ownership.
(d) To obtain the use of the certificate to its original expiration date, the new Owner shall request such use in writing, and the laboratory shall be subjected to, and pass the following, within the 90 days use period granted by the Department.
(1) A site visit in accordance with Section 64807; and
(2) Performance evaluation samples in accordance with Section 64809.
NOTE

Authority cited: Sections 208, 1011 and 1012, Health and Safety Code. Reference: Section 1014, Health and Safety Code.
HISTORY

1. New article 14 and section filed 12-2-94; operative 12-2-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 48).
Article 16. National Environmental Laboratory Accreditation Program (NELAP)
§64860. NELAP Accreditation Fees.
Note     •     History

(a) The following schedule of fees shall apply to every environmental laboratory applying for an initial, amendment, or renewal of a National Environmental Laboratory Accreditation Program (NELAP) primary or secondary accreditation:
(1) A non-refundable application fee of $3,000 payable at the time of initial and renewal application for accreditation, and
(2) An additional non-refundable fee for each Field of Testing specified in Health and Safety Code Section 100862 which the laboratory has requested in its application, payable at the time of application for an initial, amended, or renewed NELAP accreditation, as follows:
(A) A fee of $750 for each low complexity Field of Testing, identified as Fields of Testing number N115, N120, and N121.
(B) A fee of $1000 for each medium complexity Field of Testing, identified as Field of Testing number N101, N102, N103, N106, N107, N108, N109, N112, N114, and N118.
(C) A fee of $1,800 for each high complexity Field of Testing, identified as Field of Testing number N104, N105, N110, N111, N113, N116, N117 and N119.
(b) No environmental laboratory shall be approved as a NELAP accredited laboratory until fees provided by this section have been paid.
NOTE

Authority cited: Sections 100830, 100835(a) and 100862, Health and Safety Code. Reference: Section 100825, Health and Safety Code.
HISTORY

1. New article 16 (section 64860) and section filed 11-13-2001 as an emergency; operative 11-13-2001 (Register 2001, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 16 (section 64860) and section refiled 3-6-2002 as an emergency; operative 3-14-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-12-2002 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 29). 
4. New article 16 (section 64860) and section filed 7-15-2002 as an emergency; operative 7-15-2002 (Register 2002, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-12-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 7-15-2002 order transmitted to OAL 11-7-2002 and filed 12-23-2002 (Register 2002, No. 52).
Chapter 20. Public Swimming Pools
Article 1. Definitions and Scope
§65501. Definitions.
Note     •     History

(a) “Swimming Pool” or “Pool” means an artificial basin, chamber or tank used, or intended to be used, for public swimming, diving, or recreative bathing, but does not include baths where the main purpose is the cleaning of the body, nor individual therapeutic tubs.
(b) “Wading Pool” means an artificial basin, chamber or tank used, or intended to be used, for wading by small children and having a maximum depth of not to exceed 46 centimeters (18 inches) at the deepest point nor more than 30 centimeters (12 inches) at the side walls.
(c) “Special Use Pools” means pools designed and used exclusively for a single purpose such as wading, instruction, diving, competition or medical treatment where a licensed professional in the healing arts is in attendance.
(d) “Enforcing Agent” means the Health Officer or Director of Environmental Health or their designated registered sanitarian representative.
(e) “Temporary Training Pool” means an artificial basin, chamber or tank intended to be used for instruction in swimming and so constructed as to be readily disassembled for storage or for transporting to and reassembling at a different location.
(f) “Spa Pool” means a pool, not used under medical supervision, that contains water of elevated temperature, and incorporates a water jet system, an aeration system or a combination of the two systems.
(g) “Department” means the State Department of Health Services.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24100 through 24109, Health and Safety Code.
HISTORY

1. New Chapter 20 (Articles 1-3, Sections 65501-65547, not consecutive) filed 10-16-80; designated effective 10-1-81 (Register 80, No. 42).
2. Editorial correction of effective date of History Note No. 1 (Register 80, No. 52).
3. Editorial change filed 9-4-81 redesignating effective date of 10-16-80 order from 10-1-81 to 12-30-81 (Register 81, No. 36).
§65503. Scope.
Note

(a) The provisions of this Chapter shall apply to all pools as defined in Section 65501, including but not limited to:
(1) Commercial pools.
(2) Real estate pools.
(3) Community pools.
(4) Hotel pools.
(5) Motel pools.
(6) Resort pools.
(7) Auto and trailer park pools.
(8) Auto court pools.
(9) Apartment house pools.
(10) Club pools.
(11) Public or private school pools.
(12) Gymnasium pools.
(13) Health establishment pools.
(14) Townhouse pools.
(15) Condominium pools.
(16) Mobile home park pools.
(17) Campground pools.
(18) Homeowner association pools.
(b) Only private pools maintained by an individual for the use of family and friends are exempt from the provisions of this Chapter.
(c) The provisions of this Chapter shall apply to all auxiliary structures and equipment provided and maintained in connection with pools, including but not limited to:
(1) Locker rooms.
(2) Shower rooms.
(3) Dressing rooms.
(4) Toilet facilities.
(5) Filtration equipment.
(6) Pumping equipment.
(7) Piping.
(8) Disinfecting equipment.
(9) Safety equipment.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Section 24100, Health and Safety Code.
Article 2. Plans, Construction and Inspection
§65505. Plans and Specifications.
Note

(a) A person proposing to construct, reconstruct or alter a swimming pool or auxiliary structure or equipment shall submit legible plans and specifications to the enforcing agent for review and written approval prior to commencing the work and in advance of the issuance of any building, plumbing or electrical permit.
(b) Plans submitted for approval pursuant to this section shall be drawn to a scale of 1 centimeter equals 0.48 meters (1/4 inch equals 1 foot), except that plans for spa pools shall be drawn to a scale of 1 centimeter equals 0.12 meters (1 inch equals 1 foot).
(c) The enforcing agent may require the submission of such additional information as may be required to determine the compliance of plans and specifications submitted for approval.
(d) Within 30 days of the receipt of plans and specifications, the enforcing agent shall notify the person submitting the plans and specifications of their approval or disapproval.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Section 24101.1, Health and Safety Code.
§65507. Records.
Note

(a) The enforcing agent shall retain one copy of the plans and specifications submitted for approval.
(b) At the request of the Department, the enforcing agent shall make available to the Department records pertaining to swimming pools which are within the enforcing agent's jurisdiction.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.1 and 24105, Health and Safety Code.
§65509. Construction.
Note

(a) Swimming pools shall be constructed, reconstructed or altered in compliance with plans approved pursuant to Section 65505, unless written approval of variance from such plans is obtained from the enforcing agent.
(b) Swimming pools shall conform to the requirements of Chapter 2-90, Title 24, Building Standards, California Administrative Code.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Section 24101.1, Health and Safety Code.
§65511. Inspection.
Note

(a) The swimming pool owner, or his designated agent, shall notify the enforcing agent at least two working days before guniting or constructing the pool shell to allow inspection and approval by the enforcing agent. Following pool construction, the enforcing agent shall again be notified at least two days in advance of placing the pool in operation to allow for final inspection and approval.
(b) No pool shall be placed in use without the written approval of the enforcing agent.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.1 and 24104, Health and Safety Code.
Article 3. Maintenance and Operation
§65521. Pool Supervision Responsibility.
Note

(a) Every pool shall be under the supervision of a person who is fully capable of, and shall assume responsibility for, compliance with all requirements relating to pool operation, maintenance and safety of bathers.
(b) No pools shall be used or available for use unless all of the requirements of subsection (a) and the following are complied with.
(1) Routine (e.g., daily and weekly) operating procedures shall be permanently posted in a location accessible to and frequented by the operator.
(2) Manufacturers' instructions for operation and maintenance of mechanical and electrical equipment shall be kept available for the operator.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24102.2 and 24101.3, Health and Safety Code.
§65523. Operation Records.
Note     •     History

(a) Except as provided in Health and Safety Code, Section 24101.5, the operator of each pool open for use shall keep a daily record of information regarding operation, including readings of disinfectant residual, pH and maintenance procedures such as cleaning of filters and quantity of chemicals used.
(b) If cyanuric acid by itself or in a combined form with the disinfectant is added to a pool, the cyanuric acid concentration shall be measured a minimum of once per month and records shall be kept of the results of such testing.
(c) Data collected pursuant to subsections (a) and (b) shall be maintained at least one year for inspection by the enforcing agent, or shall be submitted to the enforcing agent upon request.
NOTE

Authority cited: Sections 208, 24101.5 and 24102, Health and Safety Code. Reference: Sections 24101.2, 24101.3 and 24101.5, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 8-20-87; operative 9-19-87 (Register 87, No. 35).
§65525. Recirculation and Purification System Operation.
Note     •     History

The pumps, filters, disinfectant and chemical feeders, flow indicators, gauges and all related parts of the pool water purification system shall be kept in operation whenever the pool is available for use, and at such additional times and periods as may be necessary to maintain the water in the pool in a clear and disinfected condition. The variation in flow during a filtration cycle shall be such as to not reduce the flow below 65 percent of the rate required in Section 2-9032 of Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.3 and 24102, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 51).
§65527. Clarity of Water.
Note

The recirculation and purification system shall be operated and maintained so as to keep the pool water clean and clear. Under no circumstances shall the pool be used if the main drain is not clearly visible from the deck. Such a pool shall be closed and shall not be reopened until the water is clean and clear, and upon specific written approval of the enforcing agent. If the pool drain is still not visible 48 hours following inspection and closure by the enforcing agent, the enforcing agent may order the pool drained as a safety procedure.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.3, 24102 and 24103 and 24104, Health and Safety Code.
§65529. Disinfection, pH Control and Cyanuric Acid
Note     •     History

(a) Pools, when open or in use, shall be disinfected continuously by a chemical which imparts a residual effect and shall be maintained in an alkaline condition at a pH between 7.2 and 8.0. For pools using hypochlorite or gaseous chlorine without a stabilizer, a free chlorine residual of at least 1.0 ppm shall be maintained throughout the pool. If cyanuric acid or a chlorinated isocyanurate is used, a free chlorine residual of at least 1.5 ppm shall be maintained throughout the pool. The cyanuric acid concentration in any pool shall not exceed 100 ppm. Appropriate test kits for measuring the pH, concentration of the disinfectant, and, when used, concentration of cyanuric acid shall be provided at each pool. If halogens other than chlorine are used, residuals of equivalent strength shall be maintained. A test kit for measuring the concentration of the disinfectant accurate to within 0.1 ppm shall be available at each pool.
(b) When test kits for chlorine utilize comparative color standards, the standards shall be accurate to within plus or minus 0.1 ppm. There shall be at least four color standards as follows: 0.6, 1.0, 1.5 and 2.0. The test kit shall be capable of testing for free chlorine residual.
(c) The enforcing agent may accept other disinfecting materials or methods after they have been demonstrated to provide a readily measurable residual. Such materials or methods must not be dangerous to public health or create objectionable physiological effects.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.3, Health and Safety Code.
HISTORY

1. Editorial correction of printing error in subsection (a) (Register 92, No. 29).
§65531. Bacteriological and Chemical Quality of Pool Water.
Note     •     History

(a) Bacteriological quality of water in the pool shall be such that not more than two consecutive samples, taken when the pool is in use, shall:
(1) Contain more than 200 bacteria per milliliter, as determined by the standard (35°C.) plate count; or
(2) Contain a total coliform organism MPN (most probable number) count of 2.2 or greater per 100 milliliters of sample.
(b) Chemical quality of water in the pool shall not cause irritation of eyes or skin of the bathers, or have other objectionable physiological effects on bathers.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect of subsection (a) (1) (Register 86, No. 51).
§65533. Cleanliness of Pool.
Note

(a) Floating scum, sputum or debris shall not be allowed to accumulate in the pool. Skimmers, where provided, and water levels shall be maintained and operated to remove such material continuously. The bottom and sides of the pool shall be cleaned as often as necessary to be kept in a clean condition. The sides and bottom of pools, decks, and other surfaces shall be kept free of slime and algae.
(b) Animals shall not be permitted in the pool or pool area.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.3, Health and Safety Code.
§65535. Cleaning and Maintenance.
Note     •     History

(a) All parts of the pool and related pool facilities and equipment shall be maintained in good repair. Floors shall be kept free from cracks and other defects and in compliance with Section 2-9021, Title 24, California Administrative Code. Walls, ceilings, partitions, doors, lockers and similar surfaces and equipment shall be refinished in a manner acceptable to the enforcing agent as often as necessary to be kept in a state of good repair.
(b) Hoses shall be provided for regular flushing and cleaning. The whole pool area shall be kept clean, sanitary and free of litter and vermin.
(c) Toilets, urinals, showers, wash basins and other plumbing fixtures shall be maintained in a clean condition, and in good repair.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect of subsection (a) (Register 86, No. 51).
§65537. Bathing Suits, Caps and Towels.
Note

Bathing suits and towels furnished by the management shall be laundered and clean, and caps shall be sanitized after each usage.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.3, Health and Safety Code.
§65539. Lifesaving, First Aid and Control of Bathers.
Note

(a) Lifeguard services shall be provided in accordance with Sections 24100.1 and 24101.4 of the Health and Safety Code.
(b) Where lifeguard service is provided, the number of lifeguards shall be adequate to maintain continuous surveillance over the bathers.
(c) Where no lifeguard service is provided, a warning sign shall be placed in plain view and shall state “Warning--No Lifeguard on Duty” with clearly legible letters at least 10.2 centimeters (4 inches) high. In addition, the sign shall also state “Children Under the Age of 14 Should Not Use Pool Without an Adult in Attendance.”
(d) The enforcing agent may require posting of notices directing the bathers to make use of the toilets and showers before entering the pool. At all pools, diagrammatic illustrations of artificial respiration procedures shall be posted where clearly visible from the nearby deck. Such illustrations shall be protected against the elements. Also, the telephone number of the nearest ambulance, fire and police or sheriff's department shall be kept similarly posted along with instructions that, if needed, manual or mouth-to-mouth artificial respiration should be started immediately and continued until a physician arrives or mechanical resuscitators are applied.
(e) Every swimming pool shall be equipped for safety and rescue procedures with one or more rescue poles not less than 3.5 meters (12 feet) in length with body hooks, and one or more life rings having a minimum exterior diameter of 43 centimeters (17 inches) readily accessible for use. Such life rings shall have attached to them an 0.476 centimeter (3/16-inch) line long enough to span the maximum width of the pool. The line shall be stored when not in use in such a way as to prevent kinking or fouling. When rescue can be effected from the perimeter of a spa pool, such a pool may be exempt from the requirements of this paragraph if so approved by the enforcing agent.
(f) When, in the opinion of the enforcing agent, any pool is of such size that unaided swimmings by lifeguards may not offer sufficient protection to swimmers, one or more square-sterned boats equipped with oars, oarlocks and life rings, or paddle boats, as the enforcing agent shall order, shall be provided.
(g) A first aid kit shall be provided at all swimming pools when required by the enforcing agent.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.2, 24101.3 and 24102, Health and Safety Code.
§65541. Health of Employees and Patrons.
Note

(a) No person having a communicable disease shall be employed at a public swimming pool.
(b) All patrons known to be, or suspected by the enforcing agent or the management of being afflicted with an infectious disease, suffering from a cough, cold or sores, or wearing bands or bandages shall be excluded from all public bathing places unless at least one of the following conditions is met:
(1) The patron submits a current written statement, signed by a licensed physician, confirming that the patron does not present a health hazard to other pool users.
(2) Pool use by patron is approved by the enforcing agent.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.2, 24101.3 and 24102, Health and Safety Code.
§65543. Wading Pool--Water Clarity.
Note

The water of every wading pool shall be kept sufficiently clear so that the bottom of the wading pool will be visible at all times.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.3, Health and Safety Code.
§65545. Pool Closure.
Note

(a) If, in the opinion of the enforcing agent, a pool is maintained or operated in a manner which creates an unhealthful, unsafe, or unsanitary condition, the pool may be closed by the enforcing agent. Such a pool shall not be reopened until correction is made, and upon specific written approval of the enforcing agent.
(b) Unhealthful, unsafe or unsanitary conditions include, but are not limited to, the failure to meet clarity, disinfection, pH, safety or bacteriological standards.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.2, 24101.3 and 24104, Health and Safety Code.
§65547. Compressed Chlorine Gas.
Note

(a) When compressed chlorine gas is employed, the following requirements shall be met:
(1) A solution of commercial strength ammonia shall be kept available for use in testing for chlorine gas leaks.
(2) A gas mask designed for use in a chlorine atmosphere shall be provided unless a self-contained breathing apparatus meeting the requirements of paragraph (a) (3) is provided. Gas masks shall be of a type approved by the U.S. Bureau of Mines and/or the National Institute for Occupational Safety and Health. The following requirements for gas mask canisters shall be met:
(A) A replacement canister shall be provided and kept serviceable. Any canister which has been utilized during chlorine leakage shall be discarded and a replacement canister provided.
(B) The date of attaching a canister to the mask breathing tube shall be recorded on the canister. The canister shall be discarded one year from the date of attachment, or sooner if the canister is expended as shown by the indicator color change.
(C) Date stamped expired canisters shall be replaced with unexpired, unused canisters.
(3) A self-containing breathing apparatus may be used in place of a gas mask only if all pool attendants and lifeguards who may be responsible for the health and safety of pool users have received formal training in the use of the equipment. Following initial formal training, responsible pool attendants and lifeguards shall receive refresher training at least once every six months if working at pools which are open year-round. For pools open on a seasonal basis, all returning responsible personnel shall receive retraining on the use of the equipment before the pool is opened for the season. The self-contained breathing apparatus provided shall comply with the provisions of Section 5144 of Title 8, California Administrative Code, and the following:
(A) Only parts approved for the specific respiratory system shall be used for replacement.
(B) The respirator equipment shall be kept at a readily accessible point outside the room in which the chlorinator is maintained.
(4) All swimming pools with gas type automatic chlorinators shall post in a conspicuous location near the entrance to the pool an emergency pool evacuation procedure.
(A) Emergency exit doors or gates shall not be locked when the pool is open for use. Keys to such doors and gates shall be readily available to pool attendants and lifeguards.
(B) Pool attendants and lifeguards shall receive training in the application of effective pool emergency procedures. Such training shall be reviewed at least once every six months for pools open year-round. For pools open on a seasonal basis, training in emergency procedures shall be be conducted before the pool is opened for the season.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.2, 24101.3 and 24102, Health and Safety Code.
§65549. Replacement of Equipment or Appurtenances.
Note     •     History

When fixed or installed equipment or appurtenances are changed or replaced, the change or replacement units shall meet applicable requirements of this Chapter subject to the provisions of Section 24102 of the Health and Safety Code, and shall first be cleared with the enforcing agent before substitution if not an exact duplicate of the units being changed or replaced.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Sections 24101.1, 24101.3 and 24102, Health and Safety Code.
HISTORY

1. New section filed 1-14-81; designated effective 10-1-81 (Register 81, No. 3).
§65551. Shower, Toilet and Dressing Facilities.
Note     •     History

(a) For shower, toilet and dressing facilities, the walls, partitions, doors, lockers and similar surfaces which require periodic cleaning shall be maintained smooth and finished so as to facilitate cleaning.
(b) Showers shall be provided with soap in soap dispensers or containers.
(c) For toilet facilities, handwashing detergent or soap, sanitary towels or hot air blowers, and toilet tissues shall be provided in permanently installed dispensing devices.
NOTE

Authority cited: Sections 208 and 24102, Health and Safety Code. Reference: Section 24101.3, Health and Safety Code.
HISTORY

1. New section filed 1-14-81; designated effective 10-1-81 (Register 81, No. 3).
Chapter 21. Minimum Standards  for Permitting Medical  Waste Facilities
Article 1. Definitions and Scope
§65600. Onsite.
Note     •     History

(a) “Onsite” means a medical waste treatment facility on the same or adjacent property as the generator of the medical waste being treated.
(b) “Adjacent,” for purposes of subdivision (a), means real property within 400 yards from the property boundary of the existing onsite medical waste treatment facility.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25025.8, 25040.(d) and 25050.(d), Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including newly designated subsection (a), adoption of subsection (b) and amendment of Note transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65601. Offsite.
Note     •     History

“Offsite” means any location which is not onsite.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25025.5 and 25070, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order transmitted to OAL 6-2-92 and filed 7-14-02 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65602. Transfer Station.
Note     •     History

“Transfer station” means any offsite location where medical waste is loaded, unloaded, or stored during the normal course of transportation of the medical waste. “Transfer station” does not include common storage facilities, large quantity generators used for the purpose of consolidation, or onsite treatment facilities.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25020.8, 25027.5, 25062, 25070.2 and 25070.3, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of section transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65603. Applicant.
Note     •     History

“Applicant” means an owner, operator, or other person who applies to the enforcement agency for a permit pursuant to this chapter.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25030, 25030.1, 25030.4 and 25072, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of section transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65604. 
Note     •     History

“Enforcement agency” means the Department of Health Services or the local agency administering the Medical Waste Management Act.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Section 25021.2, 25034.8 and 25040, Health and Safety Code.
HISTORY

1. New section filed 7-14-92; operative 7-14-92 (Register 92, No. 29).
Article 2. General Provisions
§65610. Compliance with the California Environmental Quality Act (CEQA).
Note     •     History

(a) All medical waste treatment facility or transfer station permit applications, and applications for permit revisions, modifications, and amendments shall be accompanied by the following:
(1) Information necessary to enable the enforcement agency to comply with the requirements of the California Environmental Quality Act (Public Resources Code Sections 21000-21174). This information shall be either:
(A) A copy of any environmental impact report (EIR) or negative declaration prepared by a lead agency, evidence that a lead agency is preparing or will prepare environmental documentation, or other evidence deemed acceptable by the enforcement agency of showing compliance with the requirements of CEQA.
(B) Where the enforcement agency is required by law to be the lead agency, the applicant shall submit environmental information as set forth in the CEQA guidelines, Title 14, Division 6, Chapter 3, Sections 15000 through 15387 and Appendix H of the California Code of Regulations.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code; and Section 65940, Government Code. Reference: Sections 25071, 25072 and 25077, Health and Safety Code; Sections 21100.2 and 21151.5, Public Resources Code; and Section 65940, Government Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of section transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65611. Application Procedures.
Note     •     History

(a) Any person proposing to operate an offsite medical waste treatment facility or transfer station shall submit an application for a medical waste treatment facility or transfer station to the Department. Any person proposing to operate an onsite medical waste treatment facility shall submit an application for an onsite medical waste treatment facility permit to the enforcement agency. Submission of an application for an offsite medical waste treatment facility permit, or a modification or renewal thereof, shall be deemed to occur on the date the application is received by the Department. Submission of an application for an onsite medical waste treatment facility permit, or a modification or renewal thereof, shall be deemed to occur on the date the application is received by the enforcement agency.
(b) An application for a medical waste treatment facility or transfer station permit, or a modification or renewal thereof, is considered complete when the applicant has fully complied with the application requirements set forth in Sections 65610, 65621, and 65625 of this chapter.
NOTE

Authority cited: Section 15376, Government Code; and sections 208, 25017 and 25072, Health and Safety Code. Reference: Section 15376, Government Code; and sections 25070 and 25072, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of section and Note transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65612. Determination of Completeness and Notification.
Note     •     History

(a) Within 30 calendar days of receipt of an application for a medical waste treatment facility or transfer station permit, or a request for permit modification pursuant to Section 25078, Health and Safety Code, the enforcement agency shall inform the applicant in writing either that the application is complete and accepted for filing, or that it is deficient and identify the additional specific information necessary for the application to be complete.
(b) The date on which the application is determined complete for filing, or on which the application is determined deficient, shall be the date on which the enforcement agency's written notification to the applicant is postmarked.
NOTE

Authority cited: Section 15376, Government Code; and sections 208 and 25017, Health and Safety Code. Reference: Sections 15376, 65940 and 65943, Government Code; and section 25079, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of section transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65613. Notice of Decision on Application.
Note     •     History

(a) The notification of the enforcement agency's decision to grant or deny an application shall be mailed via certified mail to the applicant within 120 calendar days after the date on which the enforcement agency determines the application to be complete and accepted for filing.
(b) Within 20 days after the enforcement agency mails a notice of denial, the applicant may present a written petition for a hearing to the enforcement agency. Upon receipt of the petition, which shall clearly identify that it is an appeal, the petition shall be set for hearing.
(c) If the Department is the enforcement agency, the proceedings shall commence with the filing of a statement of issues and shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(d) If the Department is not the enforcement agency, the hearings shall be held in accordance with the ordinance or resolution adopting the medical waste management program.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code;  section 15376, Government Code; and section 21100.2, Public Resources Code. Reference: Section 15376, Government Code; sections 25077 and 25079, Health and Safety Code; and sections 21100.2 and 21151.5, Public Resources Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of subsections (c) and (d) transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65614. Application Time Periods for Processing a Permit Based on Actual Performance.
Note     •     History

(a) The Department's time periods for processing a medical waste facility permit, from receipt of the initial application to the final decision regarding the permit or registration, are as follows:
(1) The median time for processing is:
(A) 180 calendar days for a medical waste facility permit;
(2) The minimum time for processing is:
(A) 120 calendar days for a medical waste facility permit;
(3) The maximum time for processing is:
(A) 730 calendar days for a medical waste facility permit.
NOTE

Authority cited: Section 15376, Government Code; and sections 208 and 25017, Health and Safety Code. Reference: Section 15376, Government Code; and section 25077, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
Article 3. Medical Waste Treatment  Facility Permits
§65619. Requirements for Medical Waste Facility Permit.
Note     •     History

For a new medical waste facility, the permittee may not commence treatment or storage of medical waste; and for a facility being modified, the permittee may not treat or store medical waste in the modified portion of the facility until the permittee has submitted evidence of successful completion of a trial burn, if applicable.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25072 and 25078, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmittted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of section transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
§65620. Scope of Permit Requirement.
Note     •     History

(a) Permits are required for storage and treatment of medical waste. Owners and operators of medical waste treatment facilities or transfer stations shall have a valid permit to operate while the facility is in operation. The period of operation includes cleanup and removal of medical waste prior to closure of the facility. The permit shall be terminated by the enforcement agency upon closure.
(b) The following persons are not required to obtain a permit pursuant to this article:
(1) Generators who accumulate their own medical waste on site for up to 7 days above 0 degrees Centigrade, or up to 90 days at or below 0 degrees Centigrade.
(2) A person is not required to obtain a permit for those activities carried out immediately to contain or treat a spill of biohazardous or sharps waste.
(3) Registered small quantity generators providing onsite treatment for their own waste.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25040, 25040.5, 25062, 25070, 25081, 25084 and 25084.5, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of subsections (a), (b) and (b)(1) and Note transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65621. Application for a Permit.
Note     •     History

(a) Any person who is required to have a medical waste facility permit (including new applicants and permittees with expiring permits) shall complete, sign, and submit an original application with two copies to the enforcement agency. In order to continue operations after January 1, 1992, persons authorized to operate under an interim status infectious waste facility permit effective January 1, 1991, shall comply with the provisions of this article in submitting a medical waste treatment facility permit application. The application shall be completed by the applicant pursuant to Sections 65610 through 65612, 65622, and 65625 and must be approved by the enforcement agency prior to a permit being issued. Failure to provide the renewal information required in these sections prior to January 1, 1992, shall result in a final permit not being issued.
(b) For new onsite medical waste facilities, the application shall be filed with the enforcement agency, and written approval by the enforcement agency shall be provided before construction can commence. For all offsite medical waste facilities, the applications shall be filed with the Department and written approval by the Department shall be provided before construction can commence.
(c) Any ongoing medical waste treatment facility or transfer station with a valid permit which is about to expire shall submit a new permit application at least 90 days before the expiration date of the effective permit.
(d) When a facility is owned by one person but is operated by another person, it is the operator's duty to obtain a permit. Both the owner and operator shall sign the application.
(e) No medical waste shall be treated until the applicant has fully complied with the application requirements for that permit and the permit has been issued by the enforcement agency.
(f) Applicants shall keep records of all data used to complete the permit application, along with any supplemental information submitted, for the life of the permit.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25070, 25072, 25074, 25077 and 25097, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of subsections (a), (b), (c) and (e) transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65622. Signatories to Permit Applications and Reports.
Note     •     History

(a) All permit applications shall be signed by both the owner and operator of the medical waste facility as follows:
(1) For a corporation: By a responsible corporate officer authorized to make management decisions which govern the operation of the regulated facility.
(2) For a partnership or sole proprietorship: By a general partner or the proprietor, respectively; or
(3) For a municipality, state, federal or other public agency: By either a principal executive officer or ranking elected official.
(b) All reports required by permits and other information requested by the enforcement agency shall be signed by a person described in subsection (a) of this section, or by a duly authorized representative of that person. A person is a duly authorized representative only if:
(1) The authorization is made in writing by a person described in subsection (a) of this section;
(2) The authorization specifies either an individual or a position having responsibility for the overall operation of the regulated facility, such as the position of plant manager, superintendent or position of equivalent responsibility (a duly authorized person may be a named individual or any individual occupying a named position); and
(3) The written authorization is submitted to the enforcement agency.
(c) If an authorization under subsection (b) of this section is no longer accurate because a different individual or position has responsibility for the overall operation of the facility, a new authorization satisfying the requirements of subsection (b) of this section shall be submitted to the enforcement agency prior to or together with any reports, information or applications to be signed by an authorized representative.
(d) Any person signing a document under subsection (a) or (b) of this section shall make the following certification:
“I certify under penalty of perjury that this document and all attachments have been prepared under my direction and supervision in accordance with a system to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage the system, or those directly responsible for gathering the information, the information is to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment.

City:	

State:	

Date:	

Name:	
    (Please print)

Signature:	”
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25072, 25098 and 25099.1, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of subsections (a), (b), (b)(3), (c) and (d) transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65623. Requirements Applicable to All Permits.
Note     •     History

(a) The permittee shall comply with all requirements of this article and any specific conditions of the permit.
(b) No permittee shall continue an activity regulated by a medical waste facility permit after the expiration date of the permit. If the permittee fails to make a timely application for renewal, the medical waste permit shall expire on the expiration date.
(c) In an enforcement action, it shall not be a defense for a permittee to state or show that reducing or ceasing of the permitted activity would have been necessary in order to maintain compliance with the requirements of this article.
(d) The permittee shall take all reasonable steps to minimize or correct any adverse impact on the environment resulting from noncompliance with the conditions of the permit.
(e) The permittee shall at all times properly operate and maintain all facilities and systems of treatment and control (and related appurtenances) which are installed or used by the permittee to achieve compliance with the specific conditions of the permit and requirements of this article. Proper operation and maintenance shall include but not be limited to effective performance, adequate funding, adequate operator staffing and training, and adequate laboratory and process controls, including appropriate quality assurance procedures. Backup or auxiliary facilities or similar systems shall be operated only when necessary to achieve compliance with the requirements of this article.
(f) The permittee shall furnish to the enforcement agency any relevant information which the enforcement agency may request to determine whether cause exists for modifying, revoking and reissuing, or terminating the permit, or to determine compliance with the permit. The permittee shall also furnish to the enforcement agency upon request copies of records required to be kept by the permit. Such information shall be furnished within 30 days or as otherwise set by the enforcement agency if a longer duration is required.
(g) The permittee shall allow an authorized representative of the enforcement agency to:
(1) Enter, at reasonable times, the permittee's premises where a regulated facility or activity is located or conducted, or where records must be kept under the conditions of the permit;
(2) Have access to and copy, at reasonable times, any records that must be kept under the conditions of the permit;
(3) Inspect, at reasonable times, any facilities, equipment (including monitoring and control equipment), practices, or operations regulated or required under the permit; and
(4) Sample or monitor, at reasonable times, for the purposes of assuring permit compliance or as otherwise authorized by law, any substances or parameters at any location.
(h) The permittee shall establish and maintain a monitoring and sampling program.
(1) Samples and measurements taken for the purpose of monitoring shall be representative of the monitored activity.
(2) The permittee shall retain records of all monitoring information, including all calibration and maintenance records and all original strip chart recordings for continuous monitoring instrumentation, copies of all reports required by the permit, and records of all data used to complete the application for the permit, for a period of at least three years from the date of the sample, measurement, report, or application. This period may be extended by request of the enforcement agency at any time.
(3) Records of monitoring information shall include:
(A) The date, exact place, and time of sampling or measurements;
(B) The individual(s) who performed the sampling or measurements;
(C) The date(s) analyses were performed;
(D) The individual(s) who performed the analyses;
(E) The analytical techniques or methods used; and
(F) The results of such analyses.
(i) All applications, reports, or information submitted to the enforcement agency shall be signed and certified (see Section 65622).
(j) The permittee shall meet all reporting requirements as required below:
(1) The permittee shall give notice to the enforcement agency as soon as possible and at least 30 days in advance of any planned physical alterations or additions to the permitted facility.
(2) Reports of compliance or noncompliance with, or any progress reports on, interim and final conditions contained in any compliance schedule of the permittee's permit shall be submitted no later than 14 days following each scheduled date.
(3) The permittee shall report any noncompliance with the Medical Waste Management Act (Health and Safety Code, Sections 25015 et seq.) or this chapter which may endanger health, safety, or the environment. Any information shall be provided orally within 24 hours from the time the permittee becomes aware of the circumstances. A written report shall also be provided within five days of the time the permittee becomes aware of the circumstances. The written report shall contain a description of the noncompliance as specified above, and its cause; the period of noncompliance, including exact starting and ending dates and time frames, and, if the noncompliance has not been corrected, the anticipated time it is expected to continue; and steps taken or planned to reduce, eliminate, and prevent recurrence.
(4) The permittee shall report all instances of noncompliance with permit conditions not reported under subsections (1), (2), and (3) of this Section, at the time the monitoring reports are submitted. The reports shall contain the information listed in subsections (1) and (3) of this section.
(5) Where the permittee becomes aware that it failed to submit any relevant facts in a permit application, or submitted incorrect information in a permit application or in any report to the enforcement agency, it shall promptly submit the relevant facts or correct information.
(k) For a new medical waste facility, the permittee may not commence treatment or storage of medical waste; and for a facility being modified, the permittee may not treat or store medical waste in the modified portion of the facility until:
(1) The permittee has submitted to the enforcement agency, by certified mail or hand delivery, a letter signed by the permittee and a professional engineer, registered in California, stating that the facility has been constructed or modified in compliance with the permit; and
(2) The enforcement agency has inspected the modified or newly constructed facility and finds it is in compliance with the conditions of the permit;
(l) The following shall be included as information which shall be reported orally within 24 hours under subsection (j)(3) of this section:
(1) Information concerning release of any medical waste that may endanger the public health;
(2) Any information of a release or discharge of medical waste from or of a fire or explosion at a medical waste facility which could threaten the environment or human health outside the facility. The description of the occurrence and its cause shall include:
(A) Name, address, and telephone number of the owner or operator;
(B) Name, address, and telephone number of the facility;
(C) Date, time, and type of incident;
(D) Name and quantity of material(s) involved;
(E) The extent of injuries, if any;
(F) An assessment of actual or potential hazards to the environment and human health outside the facility, where this is applicable; and
(G) Estimated quantity and disposition of recovered material that resulted from the incident.
(m) The permittee shall attempt to reconcile any significant discrepancy in a tracking document. The permittee shall also report any medical waste received without a tracking document. In either case, the discrepancy with or without a tracking document shall be reported to the enforcement agency within 15 days.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25040.5, 25050, 25062, 25063, 25064, 25070, 25071, 25072, 25072.5, 25074 and 25075, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of section and Note transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65624. Duration of Permits.
Note     •     History

The term of a medical waste facility permit shall not exceed 5 years.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25049, 25050, 25059 and 25074, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
§65625. Contents of a Medical Waste Treatment Facility Permit Application.
Note     •     History

(a) The application shall include the following information:
(1) The name, business address, and telephone number of the owner and operator of the facility. Include ownership status as federal, state, local government or other public or private entity.
(2) The name, mailing address, and location of the facility for which the application is submitted.
(3) A description of the nature of the business and activities which require it to have a permit.
(4) An indication of whether the facility is new or existing and whether it is a first or revised application.
(5) A description of the process to be used for treating, storing, and disposing of medical waste (i.e. incinerator, autoclave, or other approved treatment technology as specified in Section 25090(d) Health and Safety Code).
(6) A description of the treatment and/or storage capacity of the facility, an estimate of the average monthly quantity of the waste to be treated and/or stored, and a general description of the process to be used for disposal of treated wastes.
(7) A scale drawing and general description of the facility showing location of all treatment and storage areas.
(8) A map extending one mile beyond the property boundary of the facility identifying access roads and the type of development in the area (i.e., residential, commercial, recreational, schools, etc.).
(9) A disclosure statement, as required in Section 25072 of the Health and Safety Code.
(10) A description of the security procedures required pursuant to Section 25086 of the Health and Safety Code.
(11) A copy of the general operation plan including a schedule for inspection and calibration of monitoring equipment, a description of disinfection procedures, location and type of safety and emergency equipment, location and type of security devices, and operating and structural equipment that are important in preventing or responding to medical-waste related environmental or human health hazards.
(12) A copy of the emergency action plan addressing equipment breakdowns, natural disasters, or other occurrences as required in Section 25092, Health and Safety Code.
(13) An outline of both the introductory and continuing training programs which will be provided by owners or operators to prepare employees to operate or maintain the medical waste treatment facility in a safe manner. A brief description of how training will be designed to meet actual job tasks.
(14) A copy of the closure plan including a written estimate of the cost of closing a facility. The estimate shall equal the cost of closure at the point in the facility's operating life when the extent and manner of its operation would make closure the most expensive, as indicated by its closure plan. The owner shall revise the closure cost estimate whenever a change in the closure plan increases the cost of closure.
(15) A description of the compliance history of the applicant under any local, state, or federal law or regulation governing the control of medical waste or pollution including, but not limited to, the Clean Air Act. Such description shall include all violations as specified in Section 25072.5 of the Health and Safety Code which have occurred at this or any other facility permitted and owned or operated by the applicant in the State for the three years prior to the date of this application.
(16) A schedule for the installation of monitoring equipment and a written statement of operating procedures covering the proper use, maintenance, and testing of such equipment.
(17) A monitoring schedule, including type of monitoring, intervals and frequency of monitoring sufficient to yield data which are representative of the monitored activity, including, when appropriate, continuous monitoring.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25071, 25072, 25072.5, 25073, 25090 and 25092, Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of subsections (a)(5), (11), (12), (13), (15) and (17) transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of subsection (a)(13) and History 2 (Register 95, No. 47).
Article 4. Fees
§65628. Application Fees.
Note     •     History

(a) Each person submitting an offsite treatment facility permit application will be charged a processing fee of one hundred dollars ($100) per hour up to a maximum of fifty thousand dollars ($50,000). The processing fee is to cover costs for technology evaluation, construction inspections, and review of records relative to monitoring procedures and operation. The fee will be billed as follows:
(1) An initial deposit of twenty-five thousand dollars ($25,000) with the application.
(2) When the costs for processing the application reach 75 percent of the initial deposit, a second deposit amounting to one-half of the initial deposit shall be paid, and if processing costs exceed 75 percent of the second deposit, the remaining twelve thousand, five hundred dollars ($12,500) shall be charged.
(3) For subsequent deposits, after the first deposit, the Department shall give 30 days notice by registered mail of the further amount of fee due. If this amount is not received by the Department within the stated 30-day period, the application shall be denied, and there shall be no refund to the applicant.
NOTE

Authority cited: Sections 208 and 25017, Health and Safety Code. Reference: Sections 25036, 25079, 25079.1, 25079.2 and 25079.3(b), Health and Safety Code.
HISTORY

1. New section filed 10-15-91 as an emergency; operative 10-15-91 (Register 92, No. 7). A Certificate of Compliance must be transmitted to OAL 2-12-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-23-92 as an emergency; operative 2-12-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 6-11-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 1-23-92 order including amendment of section transmitted to OAL 6-2-92 and filed 7-14-92 (Register 92, No. 29).
4. Editorial correction of History 2 (Register 95, No. 47).
Chapter 22. Safety Regulations for Playgrounds [Repealed]
Article 1. Definitions [Repealed]
§65700. Certified Playground Safety Inspector. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Section 115725, Health and Safety Code. 
HISTORY

1. New chapter 22 (articles 1-4, sections 65700-65755), article 1 (sections 65700-65700.12) and section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing chapter 22 (articles 1-4, sections 65700-65755), article 1 (sections 65700-65700.12) and section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65700.2. Children. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Section 115725, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65700.6. Operator. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115735, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65700.8. Playground. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115735, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65700.10. Playground Equipment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Section 115725, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65700.12. Supervisor. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115735, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
Article 2. General Standards [Repealed]
§65710. Operator Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115735, Health and Safety Code. 
HISTORY

1. New article 2 (sections 65710-65745) and section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing article 2 (sections 65710-65745) and section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65715. Initial Inspection. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725, 115730 and 115735, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65720. Design. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115735, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65725. Equipment and Materials. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115735, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65730. Assembly and Installation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115735, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65735. Maintenance. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115735, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65740. Training. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115735, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
§65745. Supervision. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115730, Health and Safety Code. 
HISTORY

1. New section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
Article 3. Certified Playground Safety Inspector Requirements [Repealed]
§65750. Certified Playground Safety Inspector. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Section 115725, Health and Safety Code. 
HISTORY

1. New article 3 (section 65750) and section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing article 3 (section 65750) and section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
Article 4. Provisions for Child Care Centers and Facilities Operated for the Developmentally Disabled [Repealed]
§65755. Child Care Center and Developmentally Disabled Facility Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115725, Health and Safety Code. Reference: Sections 115725 and 115740, Health and Safety Code. 
HISTORY

1. New article 4 (section 65755) and section filed 12-22-99; operative 1-1-2000 pursuant to Government Code section 11343.4(d) (Register 99, No. 52). 
2. Change without regulatory effect repealing article 4 (section 65755) and section filed 12-22-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
Chapter 23. Continuing Education for Registered Environmental Health Specialists
Article 1. Definitions
§65800. Accreditation Agency.
Note     •     History

“Accreditation Agency” means an organization approved by the Department pursuant to section 65806 to evaluate and grant approval to providers of continuing education in accordance with the requirements established at section 65807.
NOTE

Authority cited: Sections 106610, 106705 and 131200, Health and Safety Code. Reference: Sections 106705, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New chapter 23 (articles 1-2, sections 65800-65808), article 1 (sections 65800-65804) and section filed 11-24-2009; operative 11-24-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 48).
§65801. Approved Coursework.
Note     •     History

“Approved Coursework” means continuing education courses that have been approved by an Accreditation Agency. 
NOTE

Authority cited: Sections 106610, 106705 and 131200, Health and Safety Code. Reference: Sections 106705, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 11-24-2009; operative 11-24-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 48).
§65802. Contact Hour.
Note     •     History

“Contact Hour” means the actual time a REHS participates in approved coursework offered by a recognized provider, utilizing the following conversion standards:

(a) 50-60 minutes	= 1 contact hour.

(b) 0.1 continuing education unit (CEU) 	= 1 contact hour.

(c) 1 quarter unit	= 10 contact hours.

(d) 1 semester unit	= 15 contact hours.
NOTE

Authority cited: Sections 106610, 106705 and 131200, Health and Safety Code. Reference: Sections 106705, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 11-24-2009; operative 11-24-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 48).
§65803. Recognized Provider.
Note     •     History

“Recognized Provider” means a provider of approved coursework that meets the provisions of section 65807 and is approved by an Accreditation Agency.
NOTE

Authority cited: Sections 106610, 106705 and 131200, Health and Safety Code. Reference: Sections 106705, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 11-24-2009; operative 11-24-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 48).
§65804. REHS.
Note     •     History

“REHS” means a registered environmental health specialist as defined in section 106615(c) of the Health and Safety Code.
NOTE

Authority cited: Sections 106610, 106705 and 131200, Health and Safety Code. Reference: Sections 106705, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 11-24-2009; operative 11-24-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 48).
Article 2. Continuing Education Requirements
§65805. Continuing Education Requirements for Renewal of Environmental Health Specialist Registration.
Note     •     History

(a) At the time of biennial registration renewal each REHS shall submit written documentation that he or she has completed a minimum of 24 contact hours of approved coursework within the 24 months immediately preceding the date of expiration. The first 24 month period during which an REHS shall complete the contact hours shall begin on the first day that occurs: after this section initially becomes effective; and 24 months prior to the next expiration date of the certificate. 
(b) Each REHS shall retain certificates of completion issued by accreditation agencies or recognized providers for five years following completion of the approved coursework. 
(c) A REHS may apply in writing to the Department for an exemption from the continuing education requirements. Exemptions may be granted on the basis of serious illness or military duty. A person registered as an inactive retired REHS as specified in Health and Safety Code section 106695 shall be exempt from the continuing education requirement.
(d) During the 24 months prior to his or her biennial renewal an instructor may request continuing education credit only one time per approved coursework that the instructor teaches. 
NOTE

Authority cited: Sections 106610, 106705 and 131200, Health and Safety Code. Reference: Sections 106705, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New article 2 (sections 65805-65808) and section filed 11-24-2009; operative 11-24-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 48).
§65806. Accreditation Agencies.
Note     •     History

(a) An individual or organization seeking approval to operate as an Accreditation Agency shall submit a written request to the Department. The request shall include documentation of the following:
(1) The organization's name, address, telephone number, and owner name(s).
(2) A written plan demonstrating how the agency will meet the requirements of this section and enforce the requirements of section 65807 to include: procedures for monitoring course content, education methods and the recognized providers' compliance with the approved coursework requirements stated in section 65807.
(3) The person designated by the organization to be responsible for overseeing the administration and coordination of approved coursework and all recognized providers.
(4) A clearly defined process for responding to complaints about recognized providers and the ability to produce specific outcomes that assure that recognized providers comply with section 65807. 
(b) An approved Accreditation Agency shall have the following responsibilities:
(1) Maintain a list of the names and addresses of the persons designated as responsible for the recognized provider's continuing education program. The Accreditation Agency shall require that any change in the designated responsible person shall be reported to the Accreditation Agency within 15 days of the effective date of such change.
(2) Notify the Department of names, addresses and responsible party of each recognized provider.
(3) Re-evaluate the coursework in response to complaints concerning activities of any of its recognized providers or the approved coursework.
(4) Review a minimum sample of ten percent of all approved coursework offered by each recognized provider, but not less than one course per year, to determine compliance with this article. Report the findings of each review to the Department annually. 
(5) Assure that all approved coursework offered by its recognized providers meets the continuing education requirements as set forth in section 65807.
(6) Provide attendance records of REHS participants upon request of the Department. 
(c) Failure of an Accreditation Agency to enforce the requirements of this article shall constitute cause for revocation of approval by the Department. Departmental action shall be in accordance with the administrative adjudication provisions of Chapter 4.5 (commencing with Section 11400) and Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
NOTE

Authority cited: Sections 106610, 106705 and 131200, Health and Safety Code. Reference: Sections 106705, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 11-24-2009; operative 11-24-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 48).
§65807. Requirements for Recognized Providers.
Note     •     History

(a) An individual or organization seeking to provide continuing education courses as a recognized provider shall apply in writing to a Department-approved Accreditation Agency. The request shall include documentation of the following:
(1) The organization's name, address, telephone number, and owners' names.
(2) A course or teaching plan demonstrating that the course and providers meet the requirements of section 65807(c). 
(3) The person designated by the organization to be responsible for overseeing the administration and coordination of continuing education courses.
(b) Upon receipt of written approval from the Accreditation Agency, a continuing education provider shall represent itself as a recognized provider.
(c) The recognized provider is responsible for assuring the educational quality of its approved coursework and shall demonstrate the ability to meet the following requirements: 
(1) Topics and subject matter for approved coursework shall be pertinent to the scope of practice as described in section 106615 (e) of the Health and Safety Code for a REHS. Topics and subject matters for approved coursework shall include the following:
(A) Food protection.
(B) Solid waste management.
(C) Liquid waste management.
(D) Medical waste management.
(E) Water supply.
(F) Housing and institutions.
(G) Bathing places.
(H) Vector control.
(I) Hazardous materials management.
(J) Underground tanks.
(K) Air sanitation.
(L) Safety and accident prevention.
(M) Land development and use.
(N) Disaster sanitation.
(O) Electromagnetic radiation.
(P) Milk and dairy products.
(Q) Noise control.
(R) Occupational health.
(S) Rabies and animal disease control.
(T) Recreational health.
(U) Bioterrorism.
(V) Emergency preparedness.
(W) Lead poisoning.
(X) Cardiopulmonary resuscitation.
(Y) Epidemiology and communicable diseases.
(Z) Public health.
(AA) Environmental health administration and management.
(2) Approved coursework shall have written educational goals and specific learning objectives.
(3) Speakers and instructors shall have education, training, and/or experience in the topics and subject matter listed in subsection (c)(1).
(4) Approved coursework shall have a syllabus that provides a general outline of the course. The syllabus shall contain at a minimum, the instructional objectives for each course and a summary containing the main points for each topic.
(5) All approved coursework shall identify and document the functions of each speaker or instructor.
(6) Promotional materials and advertisements shall include sufficient information to determine:
(A) the educational goals and specific learning objectives of the approved coursework.
(B) the intended audience.
(C) the speakers, instructors and their credentials.
(D) the number of continuing education contact hours.
(E) the name of the Accreditation Agency and recognized provider. 
(d) Recognized providers shall evaluate the effectiveness of their approved coursework to determine whether the objectives required under section 65807(c) were met. This evaluation shall include a written evaluation by the participants, and/or pre- and post-examination(s). 
(e) The recognized provider shall be required to maintain attendance records of approved coursework for five years following completion of the coursework. 
(1) For live programs, acceptable documentation of participation includes attendance rosters, sign-in sheets, completed program evaluation forms, or signed verification forms.
(2) For home study, web based training and other mediated instructional approaches, acceptable documentation of participation includes the use of a post-testing procedure in which a pre-established proficiency level exists and certificates are awarded only upon attainment of the pre-specified minimum proficiency level.
(f) All recognized providers shall furnish certificates of completion to all successful participants. The certificate shall contain the name of the participant and name of the provider, title of the course, number of contact hours, date of completion, course expiration date, course number and the name of the Accreditation Agency. 
(g) All coursework shall be approved at least 15 days prior to the course being offered. The proposed course shall be submitted to the Accreditation Agency for a determination that the coursework meets the requirements set forth in this section. A recognized provider's approved coursework shall be valid and accepted for three years following the initial presentation.
(h) Failure of a recognized provider to meet one or more of the requirements set forth in this section shall constitute cause for revocation of approval by the Accreditation Agency. The Department shall have the final authority in cases of dispute regarding revocation. Departmental action shall be in accordance with the administrative adjudication provisions of Chapter 4.5 (commencing with Section 11400) and Chapter 5  (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
NOTE

Authority cited: Sections 106610, 106705 and 131200, Health and Safety Code. Reference: Sections 106705, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 11-24-2009; operative 11-24-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 48).
§65808. Provider Audit Requirements.
Note     •     History

(a) Upon request by the Department, the Accreditation Agency shall review selected approved coursework offerings. Within 15 days of receipt of written notification from the Accreditation Agency, the recognized provider shall submit all material requested by the Accreditation Agency to review the approved coursework. The materials shall include the name of the recognized provider, the course description and syllabus, educational goals and specific learning objectives, contact hours, evaluation method, promotional materials and advertisements, name and credentials of the speaker(s) or instructor(s), and past course evaluations and/or summary of pre and post examinations. The material shall be evaluated by the Accreditation Agency to determine whether the program meets the requirements in section 65807(c). 
NOTE

Authority cited: Sections 106610, 106705 and 131200, Health and Safety Code. Reference: Sections 106705, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 11-24-2009; operative 11-24-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 48).
Division 4.5. Environmental Health Standards for the Management of Hazardous Waste
Chapter 10. Hazardous Waste Management System: General
Article 1. General [Repealed]
HISTORY

1. Repealer of article 1 (sections 66001-66240) filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 1.5. Conflict-of-Interest Code
§66250. General Provisions.
Note     •     History

The Political Reform Act (Government Code Section 81000 et seq.) requires state and local government agencies to adopt and promulgate conflict-of-interest codes. The Fair Political Practices Commission has adopted a regulation (2 California Code of Regulations Section 18730) that contains the terms of a standard conflict-of-interest code, which can be incorporated by reference in an agency's code. After public notice and hearing, the standard code may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act. Therefore, the terms of 2 California Code of Regulations Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission are hereby incorporated by reference. This regulation and the attached Sections, designating positions and establishing disclosure categories, shall constitute the conflict-of-interest code of the Department of Toxic Substances Control (Department).
Individuals holding designated positions shall file their statements of economic interest with the Department, which will make the statements available for public inspection and reproduction. (Gov. Code Sec. 81008.) Upon receipt of the statements for the Director of the Department, the Department shall make and retain copies and forward the originals to the Fair Political Practices Commission. All other statements will be retained by the Department.
NOTE

Authority cited: Section 87300, Government Code. Reference: Sections 81008, 87300, 87302, 87306 and 87311, Government Code.
HISTORY

1. New article 1.5 (sections 66250-66250.2) and section filed 11-8-2001; operative 12-8-2001. Approved by Fair Political Practices Commission 10-2-2001 (Register 2001, No. 45).
2. Amendment of article heading, section and Note filed 3-22-2011; operative 4-21-2011. Approved by Fair Political Practices Commission 1-25-2011 (Register 2011, No. 12).
§66250.1. Disclosure Categories.
Note     •     History

Category 1
Designated positions in this category must disclose, pursuant to instructions and forms prescribed by the Fair Political Practices Commission, the following:
(a) All investments and sources of income, including gifts, loans and travel payments, from business or nonprofit entities that do business or receive income from any source within the State of California.
(b) All interests in real property in California.
(c) Any positions held in business entities that do business or receive income from any source within the State of California.
Category 2
Designated positions in this category must disclose, pursuant to instructions and forms prescribed by the Fair Political Practices Commission, the following:
(a) All investments in business entities whose activities are subject to regulation or oversight by the Department or that contract, or are the type that contract, with the Department to provide services, supplies, materials, machinery or equipment.
(b) All interests in real property in California.
(c) Any positions held in business entities whose activities are subject to regulation or oversight by the Department or that contract, or are of the type that contract, with the Department to provide services, supplies, materials, machinery or equipment and income, including gifts, loans, and travel payments, from those sources.
(d) All sources of income, including gifts, loans and travel payments, from business or nonprofit entities whose activities are subject to regulation or oversight by the Department or that contract, or are of the type that contract, with the Department to provide services, supplies, materials, machinery or equipment.
Category 3
Designated positions in this category must disclose, pursuant to instructions and forms prescribed by the Fair Political Practices Commission, the following:
(a) Any positions held in business entities that contract, or are of the type that contract, with the Department to provide services, supplies, materials, machinery or equipment.
(b) Any source of income, including gifts, loans and travel payments, and investment in business entities that contract, or are of the type that contract, with the Department to provide services, supplies, materials, machinery or equipment.
NOTE

Authority cited: Section 87300, Government Code. Reference: Sections 81008, 87300, 87302, 87306 and 87311, Government Code.
HISTORY

1. New section filed 11-8-2001; operative 12-8-2001. Approved by Fair Political Practices Commission 10-2-2001 (Register 2001, No. 45).
2. Amendment of section filed 6-10-2003; operative 6-10-2003. Approved by Fair Political Practices Commission 4-15-2003 (Register 2003, No. 24). 
3. Amendment filed 3-26-2004; operative 4-25-2004. Approved by Fair Political Practices Commission 2-9-2004 (Register 2004, No. 13). 
4. Amendment of Category 1, subsection (b) and Category 2, subsection (b) filed 1-31-2006; operative 3-2-2006. Approved by Fair Political Practices Commission 1-9-2006 (Register 2006, No. 5).
5. Amendment of section and Note filed 3-22-2011; operative 4-21-2011. Approved by Fair Political Practices Commission 1-25-2011 (Register 2011, No. 12).
§66250.2. Employee Designations.
Note     •     History

		Assigned Disclosure
	Designated Positions	Categories

Accounting Administrators (All Levels)	2
Assistant Chief Counsels	2
Associate Budget Analysts	2
Associate Governmental Program Analysts (except in Legislation)	3
Associate Governmental Program Analysts in the Office of Legislation	2
Associate Information Systems Analyst (Specialist)	3
Career Executive Assignments	2
Chemists (Staff and higher)	2
Chief, Hazardous Material Laboratory	2
Chief, Environmental Chemistry Laboratory	2
Criminal Investigators (All Levels)	2
Data Processing Managers (All Levels)	3
Division Chiefs, DTSC	2
Engineering Geologists (All Levels)	2
Environmental Biochemists	2
Environmental Planners (Associate and higher)	2
Exempt Appointments	1
Hazardous Substances Engineers (All Levels)	2
Hazardous Substances Scientists (All Levels)	2
Health Program Audit Managers	2
Industrial Hygienists (Associate and higher)	2
Information Officers (I and higher)	2
Management Auditors (All Levels)	2
Programmer Analysts (All Levels)	3
Public Participation Specialists	2
Public Participation Supervisors	2
Records Management Analysts	3
Research Program Specialists II	2
Research Scientists (I and higher)	2
Staff Counsels (All Levels)	2
Staff Information Systems Analyst (All Levels)	3
Staff Services Analysts in the Office of Legislation	2
Staff Services Managers (All Levels)	2
Toxicologists (All Levels)	2
Training Officers I	3
Consultants	*

____________
*With respect to consultants, the Director may determine in writing that a particular consultant, although in a “designated position,” is hired to perform a range of duties that is limited in scope and thus is not required to fully comply with the disclosure requirements. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The Director's determination is a public record and shall be retained for public inspection and reproduction in the same manner and location as this conflict-of-interest code. (Gov. Code Sec. 81008.)
NOTE

Authority cited: Section 87300, Government Code. Reference: Sections 81008, 87300, 87302, 87306 and 87311, Government Code.
HISTORY

1. New section filed 11-8-2001; operative 12-8-2001. Approved by Fair Political Practices Commission 10-2-2001 (Register 2001, No. 45).
2. Amendment of section filed 6-10-2003; operative 6-10-2003. Approved by Fair Political Practices Commission 4-15-2003 (Register 2003, No. 24). 
3. Amendment filed 3-26-2004; operative 4-25-2004. Approved by Fair Political Practices Commission 2-9-2004 (Register 2004, No. 13). 
4. Amendment filed 5-17-2005; operative 6-16-2005. Approved by Fair Political Practices Commission 3-17-2005 (Register 2005, No. 20). 
5. Amendment filed 1-31-2006; operative 3-2-2006. Approved by Fair Political Practices Commission 1-9-2006 (Register 2006, No. 5).
6. Amendment of section and Note filed 3-22-2011; operative 4-21-2011. Approved by Fair Political Practices Commission 1-25-2011 (Register 2011, No. 12).
Article 2. Definitions
§66260.1. Purpose, Scope, and Applicability.
Note     •     History

(a) This chapter provides definitions of terms, general standards, and overview information applicable to this division.
(b) In this chapter:
(1) Section 66260.2 sets forth the rules that the Department will use in making information it receives available to the public and sets forth the requirements that generators, transporters, or owners or operators of treatment, storage, or disposal facilities must follow to assert claims of business confidentiality with respect to information that is submitted to the Department under this division.
(2) Section 66260.3 establishes rules of grammatical construction for this division.
(3) Section 66260.4 establishes a rule restricting local enforcement actions relating to the management of hazardous waste.
(4) Section 66260.5 sets forth processing times for specified Departmental actions.
(5) Section 66260.10 defines terms which are used in this division.
(6) Section 66260.11 lists references used in this division and a source for these documents.
(7) Section 66260.12 lists acronyms and abbreviations used in this division.
(8) Section 66260.21 establishes requirements and procedures for obtaining waivers to use alternative test methods or analytical methods for classifying non-RCRA hazardous waste and for obtaining the Department's concurrence for using alternative methods allowed by the USEPA Administrator per 40 CFR Section 260.21 for the analysis of RCRA hazardous waste.
(9) Section 66260.200 establishes procedures for obtaining the Department's concurrence on classification of a waste as hazardous or nonhazardous.
(10) Section 66260.210 establishes procedures and requirements for obtaining waivers from regulation for non-RCRA hazardous waste and non-RCRA regulated activities.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Section 25159.5, Health and Safety Code and 40 CFR Section 260.1.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Relocation of article 2 heading from preceding section 66260.10 to precede section 66260.1 filed 3-26-2004; operative 4-25-2004. Approved by Fair Political Practices Commission 2-9-2004 (Register 2004, No. 13). 
§66260.2. Availability of Information; Confidentiality of Information.
Note     •     History

(a) Any information provided to the Department pursuant to this division will be made available to the public to the extent and in the manner authorized by section 3007(b) of RCRA and the California Public Records Act (Government Code section 6250 et seq.), and EPA regulations set forth in 40 CFR Part 2, as applicable.
(b) Any person who submits information to the Department in accordance with 40 CFR Parts 260 through Part 266 and Part 268 or chapters 10 through 16 and chapter 18 of this division may assert a claim of business confidentiality covering part or all of that information by following the procedures set forth in 40 CFR section 2.203(b). Information covered by such a claim will be disclosed by the USEPA or the Department only to the extent, and by means of the procedures, set forth in this division except that information required by 40 CFR section 262.53(a) and 40 CFR section 262.83 or section 66262.53(a) and section 66262.83 that is submitted in a notification of intent to export a hazardous waste will be provided to the U.S. Department of State and the appropriate authorities in the transit and receiving or importing countries regardless of any claims of confidentiality. However, if no such claim accompanies the information when it is received by the Department, it may be made available to the public without further notice to the person submitting it.
(c) Information covered by such a claim will be disclosed by the Department only to the extent, and by means of the procedures, set forth in Part 2, Subpart B, of 40 CFR except that information required by section 66262.53(a) which is submitted in notification of intent to export a hazardous waste pursuant to section 66262.53(a) will be provided to the U.S. Department of State and the appropriate authorities in a receiving country regardless of any claims of confidentiality.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Section 25159.5, Health and Safety Code and 40 CFR Section 260.2.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (b) filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
§66260.3. Use of Number.
Note     •     History

As used in this division:
(a) Words in the singular include the plural; and
(b) Words in the plural include the singular.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Section 25159.5, Health and Safety Code and 40 CFR Section 260.3.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66260.4. Local Agency Regulation of Hazardous Waste Facilities.
Note     •     History

No local agency shall enforce any requirement, other than those in this division, which would impede interstate or intrastate transportation or disposal of hazardous waste or which would impede use of facilities for regional multi-county management of hazardous waste.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66260.5. Processing Times Based on Actual Performance.
Note     •     History

The Department's time periods for processing applications for specific Departmental actions based on actual performance for the two years immediately preceding proposal of this regulation are as follows:
(a) Hazardous waste hauler registration (section 66263.11):
(1) Median time: 60 days
(2) Minimum time: l day
(3) Maximum time: 180 days
(b) waste classification concurrence (section 66260.200) and Special waste classification (section 66261.124):
(1) Median time: 11 months
(2) Minimum time: 2 days
(3) Maximum time: 39 months
(c) Variances (section 66260.210):
(1) Median time: 60 days
(2) Minimum time: l day
(3) Maximum time: 1200 days.
NOTE

Authority cited: Section 15376, Government Code; and Sections 208 and 25150, Health and Safety Code. Reference: Section 15376, Government Code; and Sections 25141, 25143 and 25163, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66260.10. Definitions.
Note     •     History

When used in this division, the following terms have the meanings given below:
“Aboveground tank” means a device meeting the definition of “tank” in section 66260.10 and that is situated in such a way that the entire surface area of the tank is completely above the plane of the adjacent surrounding surface and the entire surface area of the tank (including the tank bottom) is able to be visually inspected.
“Accidental occurrence” means an accident, including continuous or repeated exposure to conditions, which results in bodily injury, property damage or environmental degradation neither expected nor intended from the standpoint of the insured.
“Accumulated speculatively” means that a material is accumulated before being recycled. A material is not accumulated speculatively, however, if the person accumulating it can show that the material is potentially recyclable and has a feasible means of being recycled; and that, during the calendar year (commencing on January 1), the amount of material that is recycled, or transferred to a different site for recycling, equals at least 75 percent by weight or volume of the amount of that material accumulated at the beginning of the period. In calculating the percentage of turnover, the 75 percent requirement is to be applied to each material of the same type (e.g., slags from a single smelting process) that is recycled in the same way (i.e., from which the same material is recovered or that is used in the same way). Materials accumulating in units that would be exempt from regulation under section 66261.4(c) are not to be included in making the calculation. (Materials that are already defined as wastes also are not to be included in making the calculation.) Materials are no longer in this category once they are removed from accumulation for recycling, however.
“Active life” or “Operating life” of a facility means the period from the initial receipt of hazardous waste at the facility until the Department receives certification of final closure.
“Active portion” means that portion of a facility where transfer, treatment, storage or disposal operations are being or have been conducted after November 19, 1980 and which is not a closed portion.
“Activity” means any activity that is subject to regulation under this division.
“Acute aquatic 96-hour LC50” means the concentration of a substance or mixture of substances in water, in milligrams per liter, which produces death within 96 hours in half of a group of at least 10 test fish.
“Acute dermal LD50” means the dose of a substance or mixture of substances, in milligrams per kilogram of test animal body weight, which, when applied continuously to the bare skin for 24 hours, produces death within 14 days in half of a group of 10 or more rabbits.
“Acute inhalation LCLO” means the lowest concentration of a substance or mixture of substances in air, other than acute inhalation LD50 in parts per million by volume if the substance or mixture of substances is a gas or vapor, reported to have caused death in humans or animals.
“Acute inhalation LC50” means the concentration of a substance or mixture of substances in air, in parts per million by volume if the substance or mixture of substances is a gas or vapor, which when inhaled continuously for 8 hours by a group of 10 or more laboratory white rats, each weighing between 200 and 300 grams, produces death in half the group within 14 days.
“Acute LDLO” means the lowest dose, other than an acute LD50 of a substance or mixture of substances, in milligrams per kilogram body weight introduced orally or dermally over any given period of time in one or more divided portions and reported to have caused death in humans or animals.
“Acute oral LD50” means the dose of a substance or mixture of substances, in milligrams per kilogram of test animal body weight, which, when administered orally as a single dose, produces death within 14 days in half of a group of 10 or more laboratory white rats which have fasted for 24 hours immediately prior to administration of the dose, and which weigh between 200 and 300 grams each. 
“Acute toxicity” Means the ability of a substance or mixture of substances to cause injury, illness or damage to humans, animals or other living organisms by a single exposure of a duration measured in seconds, minutes, hours or days or, in the case of oral ingestion, by a single dose.
“Acute hazardous waste” see “Acutely hazardous waste.”
“Acutely hazardous waste” or “Acute hazardous waste” means any hazardous waste classified as an acutely hazardous waste in article 4 of chapter 11 of this division.
“Administrator” see “USEPA Administrator.”
“Affected medium” means any medium (e.g., ground water, surface water or the unsaturated zone) that has been affected by a release from a regulated unit.
For the purposes of chapters 14 and 15, “Air stripping operation” is a desorption operation employed to transfer one or more volatile components from a liquid mixture into a gas (air) either with or without the application of heat to the liquid. Packed towers, spray towers, and bubble-cap, sieve, or valve-type plate towers are among the process configurations used for contacting the air and a liquid.
“Ancillary equipment” means any device including, but not limited to, such devices as piping, fittings, flanges, valves and pumps, that is used to distribute, meter or control the flow of hazardous waste from its point of generation to a storage or treatment tank(s), between hazardous waste storage and treatment tanks to a point of disposal onsite, or to a point of shipment for disposal offsite.
“Applicant” means a person who applies to the Department or to the USEPA for a permit, registration, certification or permission to take specified action, pursuant to the provisions of this division.
“Application” means (a) the USEPA standard national forms for applying for a permit (Form EPA 8700-23, Revised 1/90) and the information required by the Department under sections 66270.14 through 66270.29 (contents of Part B of the application); or (b) the forms approved by the Department for applying for registration as a hazardous waste hauler. These forms are:
Form DTSC 187, revised 2/92: Hazardous Waste Hauler Application
Form DTSC 8025, revised 2/92: Application for Vehicle/container inspection
Form DTSC 8038, revised 2/93: Certificate of insurance
Form DHS 8430, revised 3/89: Disclosure Statement
“Aquifer” means a geologic formation, group of formations or part of a formation capable of yielding a significant amount of ground water to wells or springs.
“Assets” means all existing and all probable future economic benefits obtained or controlled by a particular entity.
“Authorized agency” means, in a jurisdiction where there is no CUPA, the agency authorized to continue its role, responsibilities and authority pursuant to section 25404.3 of the Health and Safety Code to implement and enforce the requirements identified in paragraph (1) of subdivision (c) of section 25404 of the Health and Safety Code. In those instances when the Department is the authorized agency, the Department is not limited from exercising any authority it otherwise has under the Health and Safety Code and Title 22 of the California Code of Regulations.
“Authorized representative” means the person responsible for the overall operation of a facility or an operational unit (i.e., part of a facility), e.g., the plant manager, superintendent or person of equivalent responsibility.
“Average volatile organic concentration” or “average VO concentration” means the mass-weighted average volatile organic concentration of a hazardous waste as determined in accordance with the requirements of section 66265.1084.
“Background monitoring point” means a well, device or location specified in the facility permit at which monitoring for background water, soil, air or soil-vapor quality is conducted.
“Bioaccumulative toxic substance” means a toxic substance that concentrates in living organisms through direct assimilation or food chain accumulation.
“Bodily Injury” means (a) any injury that causes physical pain, illness or any impairment of physical condition; or (b) for the purposes of chapter 13 of this division, “bodily injury” means injury to the body, sickness or disease to any person, including death resulting from any of these.
“Boiler” means an enclosed device using controlled flame combustion and having the following characteristics:
(a)(1) the unit must have physical provisions for recovering and exporting thermal energy in the form of steam, heated fluids or heated gases; and
(2) the unit's combustion chamber and primary energy recovery section(s) must be of integral design. To be of integral design, the combustion chamber and the primary energy recovery section(s) (such as waterfalls and superheaters) must be physically formed into one manufactured or assembled unit. A unit in which the combustion chamber and the primary energy recovery section(s) are joined only by ducts or connections carrying flue gas is not integrally designed; however, secondary energy recovery equipment (such as economizers or air preheaters) need not be physically formed into the same unit as the combustion chamber and the primary energy recovery section. The following units are not precluded from being boilers solely because they are not of integral design: process heaters (units that transfer energy directly to a process stream), and fluidized bed combustion units; and
(3) while in operation, the unit must maintain a thermal energy recovery efficiency of at least 60 percent, calculated in terms of the recovered energy compared with the thermal value of the fuel; and
(4) the unit must export and utilize at least 75 percent of the recovered energy, calculated on an annual basis. In this calculation, no credit shall be given for recovered heat used internally in the same unit. (Examples of internal use are the preheating of fuel or combustion air, and the driving of induced or forced draft fans or feedwater pumps); or
(b) the unit is one which the USEPA Regional Administrator has determined, on a case-by-case basis, to be a boiler, after considering the standards in 40 CFR section 260.32.
For the purposes of chapters 14 and 15, “Bottoms receiver” means a container or tank used to receive and collect the heavier bottoms fractions of the distillation feed stream that remain in the liquid phase.
“Buffer zone” means an area of land which surrounds a hazardous waste facility and on which certain land uses and activities are restricted to protect the public health and safety and the environment from existing or potential hazards caused by the migration of hazardous waste.
“Bulk container” means any container or container-like vehicle, other than a vessel or a barge, with a capacity greater than 119 gallons (450 liters), which is used to transport hazardous waste(s), hazardous material(s), hazardous substance(s), or recyclable material(s) in bulk by air, highway, rail, or water, including, but not limited to, cargo tanks, vacuum trucks, roll-off bins, rail tank cars, and intermodal containers.
“Bulking” means the process of consolidating various quantities of the same type of waste by placing them into a single, larger container.
“Business” means the conduct of an activity and is not limited to a commercial or proprietary activity.
“Business concern” means any sole proprietorship, corporation, association, firm, partnership, trust or other form of commercial organization.
“By-product” is a material that is not one of the primary products of a production process and is not solely or separately produced by the production process. Examples are process residues such as slags or distillation column bottoms. The term does not include a co-product that is produced for the general public's use and is ordinarily used in the form it is produced by the process.
“Carbon regeneration unit” means any enclosed thermal treatment device used to regenerate spent activated carbon.
“Cargo tank” means any tank permanently attached to, or a structural part of, a vehicle; or any bulk liquid or compressed gas packaging that is not permanently attached to a vehicle and by reason of its size, construction or method of attachment is filled or emptied without removal from the vehicle. The term does not include tanks that furnish fuel for propulsion of motor vehicle, or auxiliary equipment on which they are installed or any packaging fabricated to cylinder specifications.
“Cathode ray tube” or “CRT” means a vacuum tube or picture tube used to convert an electrical signal into a visual image. 
“Certification” means a statement of professional opinion based upon knowledge and belief.
“Certified Unified Program Agency (CUPA)” means the agency certified pursuant to the requirements of Chapter 6.11 and Title 27, CCR.
“Chemical toilet” means any portable or permanently installed sanitation apparatus or system which utilizes a tank for toilet waste retention and into which a chemical toilet additive is added.
“Chemical toilet additive” means any chemical substance, biological agent, other material or formulation thereof, which is employed for the primary purpose of controlling waste decomposition and odors in a chemical toilet holding tank or any tank in which chemical toilet wastes are held, collected or transported. The term “chemical toilet additive” includes, but is not limited to, a chemical substance, biological agent or other material which is a deodorant, bactericide, bacteriostat, microbiocide, chemical reactant, surfactant or enzymatic agent.
“Chemical toilet waste” means the waste in or from a chemical toilet.
“Chronic toxicity” means the ability of a substance or mixture of substances to cause injury, illness or damage to humans, animals or other living organisms by prolonged or repeated exposure or consumption over a period of days, weeks, months or years.
“Class I Violation” means:
(a) a deviation from the requirements specified in Chapter 6.5 of Division 20 of the Health and Safety Code, or regulations, permit or interim status document conditions, standards, or requirements adopted pursuant to that chapter, that represents a significant threat to human health or safety or the environment, because of (1) the volume of the waste; (2) the relative hazard of the waste; or (3) the proximity of the population at risk, or that is significant enough that it could result in a failure to accomplish the following:
(A) Assure that hazardous wastes are destined for and delivered to an authorized hazardous waste facility;
(B) Prevent releases of hazardous waste or constituents to the environment during the active or post closure period of facility operation;
(C) Assure early detection of such releases;
(D) Assure adequate financial resources in the case of releases; or
(E) Assure adequate financial resources to pay for facility closure;
(F) Perform emergency clean-up operation or other corrective action for releases; or
(b) The deviation is a Class II violation which is a chronic violation or committed by a recalcitrant violator.
“Class II Violation” means a deviation from the requirements specified in Chapter 6.5 of Division 20 of the Health and Safety Code, or regulations, permit or interim status document conditions standards, or requirements adopted pursuant to that chapter, that is not a Class I violation.
“Closed portion” means that portion of a facility which an owner or operator has closed in accordance with the approved facility closure plan and all applicable closure requirements and for which the Department has released the owner and operator from the financial assurance requirements for closure under section 66264.143(j) or section 66265.143(i).
For the purposes of chapters 14 and 15, “Closed-vent system” means a system that is not open to the atmosphere and that is composed of piping, connections, and, if necessary, flow-inducing devices that transport gas or vapor from a piece or pieces of equipment to a control device.
“Closure” means the act of closing a hazardous waste management facility or hazardous waste management unit to pursuant the requirements of chapters 14 and 15 of this division.
“Closure device” means a cap, hatch, lid, plug, seal, valve, or other type of fitting that blocks an opening in a cover such that when the device is secured in the closed position it prevents or reduces air pollutant emissions to the atmosphere. Closure devices include devices that are detachable from the cover (e.g., a sampling port cap), manually operated (e.g., a hinged access lid or hatch), or automatically operated (e.g., a spring-loaded pressure relief valve).
“Closure period” means the period during which a unit at a hazardous waste management facility is being closed according to an approved closure plan.
“Closure plan” means the plan for closure prepared in accordance with section 66264.112 or section 66265.112.
“Commence” means to receive the first delivery of waste.
“Component” means any constituent part of a unit or any group of constituent parts of a unit which are assembled to perform a specific function (e.g., a tank or ancillary equipment of a tank system, a pump seal, pump, kiln liner, kiln thermocouple).
“Concentration limit” means the value for a constituent specified in the water quality protection standard or environmental protection standard including, but not limited to, values for concentration, temperature, pH, conductivity and resistivity.
For the purposes of chapters 14 and 15, “Condenser” means a heat-transfer device that reduces a thermodynamic fluid from its vapor phase to its liquid phase.
“Confined aquifer” means an aquifer bounded above and below by impermeable beds or by beds of distinctly lower permeability than that of the aquifer itself; an aquifer containing confined ground water.
For the purposes of chapters 14 and 15, “Connector” means flanged, screwed, welded, or other joined fittings used to connect two pipelines or a pipeline and a piece of equipment. For the purposes of reporting and recordkeeping, connector means flanged fittings that are not covered by insulation or other materials that prevent location of the fittings.
“Consignee” means the ultimate treatment, storage or disposal facility in a receiving country to which the hazardous waste will be sent.
“Consignment state” or “Destination state” means the state to which the shipment is manifested. This definition takes effect on September 5, 2006. 
“Consolidated Manifest” means a hazardous waste manifest used by a milkrun or consolidated transporter to combine hazardous waste shipments from multiple generators on one consolidated manifest pursuant to the procedures in Health and Safety Code section 25160.2.
“Consolidated Transporter” means a hazardous waste transporter registered pursuant to Health and Safety Code section 25165 and the regulations adopted by the Department who has notified the Department pursuant to Health and Safety Code section 25165 of its intent to use the consolidated manifesting procedures set forth in Health and Safety Code section 25160.2.
“Constituents of concern” means any waste constituents, reaction products and hazardous constituents that are reasonably expected to be in or derived from waste contained in a regulated unit.
“Container” means any device that is open or closed, and portable in which a material can be stored, handled, treated, transported, recycled or disposed of.
“Containment building” means a hazardous waste management unit that is used to store or treat hazardous waste under the provisions of article 29 of chapters 14 or 15 of this division.
“Contingency plan” means a document setting out an organized, planned, and coordinated course of action to be followed in case of a fire, explosion, or release of hazardous waste or hazardous waste constituents which could threaten human health or the environment.
For the purposes of chapters 14 and 15, “Continuous recorder” means a data-recording device recording an instantaneous data value at least once every 15 minutes.
“Continuous seal” means a seal that forms a continuous closure that completely covers the space between the edge of the floating roof and the wall of a tank. A continuous seal may be a vapor-mounted seal, liquid-mounted seal, or metallic shoe seal. A continuous seal may be constructed of fastened segments so as to form a continuous seal.
“Control chart” means a graphical method for evaluating whether a process is or is not in a state of statistical control.
For the purposes of chapters 14 and 15, “Control device” means an enclosed combustion device, vapor recovery system, or flare. Any device the primary function of which is the recovery or capture of solvents or other organics for use, reuse, or sale (e.g., a primary condenser on a solvent recovery unit) is not a control device.
For the purposes of chapters 14 and 15, “Control device shutdown” means the cessation of operation of a control device for any purpose.
“Corrective action management unit” means an area within a facility that is designated by the Department under article 15.5 of chapter 14 of this division, for the purpose of implementing corrective action requirements under articles 6, 15.5, or 17 of chapter 14 of this division or article 18 of chapter 15 of this division, Health and Safety Code sections 25200.10 or 25187, or section 25358.9 where as provided for under the provisions of that section the Department has excluded the removal or remedial action at a site from the hazardous waste facilities permit required by Health and Safety Code section 25201, or federal RCRA section 3005 [Title 42, U.S.C., section 6925]. A corrective action management unit shall only be used for the management of remediation wastes pursuant to implementing such corrective action requirements at the facility.
“Corrosion expert” means a person who, by reason of that person's knowledge of the physical sciences and the principles of engineering and mathematics, acquired by a professional education and related practical experience, is qualified to engage in the practice of corrosion control on buried or submerged metal piping systems and metal tanks. Such a person must be certified as being qualified by the National Association of Corrosion Engineers (NACE) or be a registered professional engineer who has certification or licensing that includes education and experience in corrosion control on buried or submerged metal piping systems and metal tanks.
“Cover” means a device that provides a continuous barrier over the hazardous waste managed in a unit to prevent or reduce air pollutant emissions to the atmosphere. A cover may have openings (such as access hatches, sampling ports, gauge wells) that are necessary for operation, inspection, maintenance, and repair of the unit on which the cover is used. A cover may be a separate piece of equipment which can be detached and removed from the unit or a cover may be formed by structural features permanently integrated into the design of the unit.
“Covered container” means any container which is equipped with a cover or other device that will prevent the escape of a liquid or solid substance when closed.
“CRT” see “Cathode ray tube.”
“CRT device” means any electronic device that contains one or more CRTs including, but not limited to, computer monitors, televisions, cash registers and oscilloscopes.
“Current assets” means cash or other assets or resources commonly identified as those which are reasonably expected to be realized in cash or sold or consumed during the normal operating cycle of the business.
“Current closure cost estimate” means the most recent of the estimates prepared in accordance with section 66264.142 or section 66265.142.
“Current liabilities” means obligations for which liquidation is reasonably expected to require the use of existing resources properly classifiable as current assets or the creation of other current liabilities.
“Current plugging and abandonment cost estimate” means the most recent of estimates prepared in accordance with 40 CFR section 144.62(a), (b) and (c) incorporated by reference in section 66260.11 of this chapter.
“Current postclosure cost estimate” means the most recent of the estimates prepared in accordance with section 66264.144 or section 66265.144.
“Day” means a calendar day. Periods of time are calculated by excluding the first day and including the last. Except, if the last day is a Saturday, Sunday or other holiday specified in Government Code section 6700 it is also excluded.
“Debris” means solid material exceeding a 60 mm particle size that is intended for disposal and that is: A manufactured object; or plant or animal matter; or natural geologic material. However, the following materials are not debris: any material for which a specific treatment standard is provided in article 4 of chapter 18 of this division, namely lead acid batteries, cadmium batteries, and radioactive lead solids; process residuals such as smelter slag and residues from the treatment of waste, wastewater, sludges, or air emission residues; and intact containers of hazardous waste that are not ruptured and that retain at least 75% of their original volume. A mixture of debris that has not been treated to the standards provided  by section 66268.45 and other material is subject to regulation as debris if the mixture is comprised primarily of debris, by volume, based on visual inspection.
“Decontaminate” means to make free of wastes that are hazardous pursuant to the criteria in chapter 11 of this division.
“Department” means the Department of Toxic Substances Control.
“Designated facility” means a hazardous waste transfer, treatment, storage, or disposal facility which has received a permit (or a facility with interim status) in accordance with the requirements of chapters 20 and 21 of this division, a permit from a State authorized in accordance with part 271 of title 40 CFR, or that is regulated under chapter 16 of this division, or has received a permit, a grant of interim status, or a variance to operate without a permit or grant of interim status from the Department, or is otherwise authorized by law to receive specific hazardous wastes, and that has been designated on the manifest by the generator pursuant to section 66262.20. This definition is repealed as of September 5, 2006.
“Designated facility” means (1) a hazardous waste transfer, treatment, storage, or disposal facility which has received a permit (or a facility with interim status) in accordance with the requirements of chapters 20 and 21 of this division, or (2) has received a permit from a State authorized in accordance with part 271 of 40 Code of Federal Regulations, or (3) that is regulated under chapter 16 of this division, or (4) has received a permit, a grant of interim status, or a variance to operate without a permit or grant of interim status from the Department, or (5) is otherwise authorized by law to receive specific hazardous wastes, and (6) that has been designated on the manifest by the generator pursuant to section 66262.20. Designated facility also means a generator site designated on the manifest to receive its waste as a return shipment from a facility that has rejected the waste in accordance with sections 66264.72 subsection (f) or 66265.72 subsection (f). If a waste is destined to a facility in an authorized state which has not yet obtained authorization to regulate that particular waste as hazardous, then the designated facility shall be a facility allowed by the Receiving state to accept such waste. This definition takes effect on September 5, 2006. 
“Destination state” see “Consignment state”. This definition takes effect on September 5, 2006.
“Dike” means an embankment or ridge of either natural or man-made materials used to prevent the movement of liquids, sludges, solids or other materials.
“Director” means the State Department of Toxic Substances Control Director, or an authorized representative.
“Discharge” or “hazardous waste discharge” means the accidental or intentional spilling, leaking, pumping, pouring, emitting, emptying or dumping of hazardous waste into or on any land or water.
“Disclosure statement,” as defined by Health and Safety Code section 25112.5, means the following:
(a) a statement submitted to the Department by an applicant, signed by the applicant under penalty of perjury, which includes all of the following information:
(1) the full name, any previous name or names, business address, social security number and driver's license number of all of the following:
(A) the applicant;
(B) any officers, directors or partners, if the applicant is a business concern;
(C) all persons or any officers, partners, or any directors if there are no officers, of business concerns holding more than five percent of the equity in, or debt liability of the applicant, except that if the debt liability is held by a lending institution, the applicant shall only supply the name and address of the lending institution;
(2) Except as provided in subdivision (b), the following persons listed on the disclosure statement shall properly submit completed fingerprint images and related identification information:
(A) the sole proprietor; 
(B) the partners; 
(C) all persons listed in subparagraph (C) of paragraph (1) and any officers or directors of the applicant company as required by the Department;
(3) if fingerprint images and related identification information are submitted for purposes of paragraph (2), the fingerprint images and related identification information shall be submitted for any person required by paragraph (2) only once. If there is a change in the person serving in a position for which fingerprint images and related identification information are required to be submitted pursuant to paragraph (2), fingerprint images and related identification information shall be captured and submitted for that person. Fingerprint images and the related identification information may be obtained using the Department of Justice's electronic fingerprint network.
(4) the full name and business address of any business concern which generates, transports, treats, stores, recycles, disposes of or handles hazardous waste and hazardous materials in which the applicant holds at least a five percent debt liability or equity interest;
(5) a description of any local, state, or federal licenses, permits, or registrations for the generation, transportation, treatment, storage, recycling, disposal or handling of hazardous waste or hazardous materials applied for, or possessed by the applicant, or by the applicant under any previous name or names, in the five years preceding the filing of the statement, or, if the applicant is a business concern, by the officers, directors, or partners of the business concern, including the name and address or the issuing agency;
(6) a listing and explanation of any final administrative orders or license revocations or suspensions issued or initiated by any local, state or federal authority, in the five years immediately preceding the filing of the statement, or any civil or criminal prosecutions filed in the five years immediately preceding, or pending at the time of, the filing of the statement, with any remedial actions or resolutions if applicable, relating to the generation, transportation, treatment, storage, recycling, disposal or handling of hazardous waste or hazardous materials received by the applicant, or by the applicant under any previous name or names, or, if the applicant is a business concern, by any officer, director or partner of the business concern;
(7) a listing of any agencies outside of the state which regulate, or had regulated, the applicant's, or the applicant's under any previous name or names, generation, transportation, treatment, storage, recycling, disposal or handling of hazardous waste or hazardous materials in the five years preceding the filing of the disclosure statement;
(8) a listing and explanation of any federal or state conviction, judgment, or settlement, in the five years immediately preceding the filing of the statement, with any remedial actions or resolutions if applicable, relating to the generation, transportation, treatment, storage, recycling, disposal or handling of hazardous waste or hazardous materials by the applicant, or by the applicant under any previous name or names, or if the applicant is a business concern, by any officer, director or partner of the business concern;
(9) a listing of all owners, officers, directors, trustees and partners of the applicant who have owned, or been an officer, director, trustee or partner of, any company which generated, transported, treated, stored, recycled, disposed of, or handled hazardous wastes or hazardous materials and which was the subject of any of the actions described in paragraphs (6) and (8) for the five years preceding the filing of the statement.
(b) Notwithstanding paragraph (2) of subdivision (a), a corporation, the stock of which is listed on a national securities exchange and registered under the Securities Exchange Act of 1934 (15 U.S.C. Sec. 78a et seq.), or a subsidiary of such a corporation, is not subject to the fingerprint requirements of subdivision (a).
(c) In lieu of the statement specified in subdivision (a), a corporation, the stock of which is listed on a national securities exchange or on the National Market System of the NASDAQ Stock Market and registered under the Securities Exchange Act of 1934 (15 U.S.C. section 78a et seq.), or a subsidiary of such a corporation, may submit to the Department copies of all periodic reports, including, but not limited to, those reports required by Section 78m of title 15 of the United States Code and Part 229 (commencing with Section 229.10) of chapter II of title 17 of the Code of Federal Regulations that the corporation or subsidiary has filed with the Securities and Exchange Commission in the three years immediately preceding the submittal, if the corporation or subsidiary thereof has held a hazardous waste facility permit or operated a hazardous waste facility under interim status pursuant to Health and Safety Code section 25200 or 25200.5 since January 1, 1984.
“Disposal” means:
(a) the discharge, deposit, injection, dumping, spilling, leaking or placing of any waste or hazardous waste into or on any land or water so that such waste or hazardous waste or any constituent thereof may enter the environment or be emitted into the air or discharged into any waters, including ground waters;
(b) the abandonment of any waste.
“Disposal facility” means a facility or part of a facility at which hazardous waste is intentionally placed into or on any land or water, and at which waste will remain after closure. The term “disposal facility” does not include a corrective action management unit into which remediation wastes are placed.
“Disposal site” means the location where any final deposition of hazardous waste occurs.
For the purposes of chapters 14 and 15, “Distillate receiver” means a container or tank used to receive and collect liquid material (condensed) from the overhead condenser of a distillation unit and from which the condensed liquid is pumped to larger storage tanks or other process units.
For the purposes of chapters 14 and 15, “Distillation operation” means an operation, either batch or continuous, separating one or more feed stream(s) into two or more exit streams, each exit stream having component concentrations different from those in the feed stream(s). The separation is achieved by the redistribution of the components between the liquid and vapor phase as they approach equilibrium within the distillation unit.
For the purposes of chapters 14 and 15, “Double block and bleed system” means two block valves connected in series with a bleed valve or line that can vent the line between the two block valves.
“Draft permit” means a document prepared under section 66271.5 or 40 CFR section 124.6 indicating the Department's tentative decision to issue or deny, modify, revoke and reissue, terminate or reissue a permit. A notice of intent to terminate a permit, and a notice of intent to deny a permit, as discussed in section 66271.4, are types, of draft permits. A denial of a request for modification, revocation and reissuance, or termination, as discussed in section 66271.4 or 40 CFR section 124.5 is not a “draft permit.” A proposed permit is not a draft permit.
“Drip pad” means an engineered structure consisting of a curbed, free-draining base, constructed of non-earthen materials and designed to convey preservative kick-back or drippage from treated wood, precipitation, and surface water run-on to an associated collection system at wood preserving plants.
“Electronic device” means any electronic device that is identified as hazardous waste because it either exhibits the characteristic of toxicity as specified in article 3 of chapter 11 of this division, and/or is a listed hazardous waste as specified in article 4.1 of chapter 11 of this division. Examples of electronic devices include: computer monitors, televisions, cash registers and oscilloscopes (CRT devices), computers, computer peripherals, telephones, answering machines, radios, stereo equipment, tape players/recorders, phonographs, video cassette players/recorders, compact disc players/recorders, calculators, and some appliances. Electronic device does not mean a major appliance, as defined in Public Resources Code section 42166, or other devices which are comprised largely of metals, qualify as “scrap metal” as defined in this section, and are recycled. 
“Elementary neutralization unit” means a device which:
(a) is used for neutralizing wastes which are hazardous wastes only because they exhibit the corrosivity characteristic defined in section 66261.22, or are listed in article 4 of chapter 11 of this division only for this reason; and,
(b) meets the definition of tank, tank system, container, transport vehicle or vessel in this section.
“Emergency permit” means a permit issued in accordance with section 66270.61.
“Enclosure” means a structure that surrounds a tank or container, captures organic vapors emitted from the tank or container, and vents the captured vapors through a closed-vent system to a control device.
“End-user” means (a) any person who receives a hazardous waste from an unaffiliated third party and who intends to, or does, use or reuse that waste as:
(1) an ingredient in an industrial process to make a product, provided that distinct components of the material are not recovered as separate end products; or
(2) a substitute for a raw material in a process that uses raw materials as principal feedstocks; or
(3) a substitute for a commercial product in a particular function or application.
(b) “End-user” does not include:
(1) a person who receives a RCRA hazardous waste;
(2) a person who receives a hazardous waste from an unaffiliated third party and who intends to, or does, process that waste to recover usable products or regenerate that waste;
(3) a person managing a material that is not a waste pursuant to Health and Safety Code section 25143.2.
“EPA Acknowledgment of Consent” means the cable sent to the USEPA from the U.S. Embassy in a receiving country that acknowledges the written consent of the receiving country to accept the hazardous waste and describes the terms and conditions of the receiving country's consent to the shipment.
“EPA hazardous waste number” means the number assigned to each hazardous waste listed in article 4 of chapter 11 of this division and to each characteristic identified in article 3 of chapter 11 of this division as an EPA hazardous waste number.
For the purposes of chapters 14 and 15, “Equipment” means each valve, pump, compressor, pressure relief device, sampling connection system, open-ended valve or line, or flange or other connector, and any control devices or systems required by these regulations.
“Equivalent method” means any testing or analytical method approved by the USEPA Administrator under 40 CFR sections 260.20 and 260.21 or by the Department under section 66260.21 of this division.
“Existing component” see “Existing tank system.”
“Existing facility” see “Existing hazardous waste management facility.”
“Existing hazardous waste facility” see “Existing hazardous waste management facility.”
“Existing hazardous waste management (HWM) facility,” “Existing hazardous waste facility,” or “existing facility” means a facility which was in operation or for which construction commenced on or before November 19, 1980 and for which a Part A permit application has been submitted to the Department or the USEPA. A facility has commenced construction if:
(a) the owner or operator has obtained the Federal, State and local approvals or permits necessary to begin physical construction; and either
(b)(1) a continuous onsite, physical construction program has begun; or
(2) the owner or operator has entered into contractual obligations, which cannot be cancelled or modified without substantial loss, for physical construction of the facility to be completed within a reasonable time.
“Existing portion” means:
(a) that land surface area of an existing facility, included in the original RCRA Part A permit application, on which wastes have been placed prior to February 2, 1985;
(b) for facilities that were not required to submit a RCRA permit application, that land surface area of an existing facility on which wastes have been placed prior to February 2, 1985.
“Existing tank system” or “existing tank component” means a tank system or component that is used for the transfer, storage or treatment of hazardous waste and that is in operation, or for which installation has commenced on or prior to the dates indicated below:
(a) July 14, 1986, for tanks containing RCRA hazardous wastes, unless:
(1) the owner or operator is a conditionally exempt small quantity generator as defined in 40 CFR section 261.5, or a 100 to 1,000 kg per month generator as defined in 40 CFR section 265.201, or 
(2) the owner or operator is not subject to regulation in 40 CFR part 264 or part 265 pursuant to an exemption in 40 CFR section 264.1 or section 265.1;
(b) July 1, 1991 for:
(1) tanks containing only non-RCRA hazardous wastes, and 
(2) tanks containing RCRA hazardous wastes, if: 
(A) the owner or operator is a conditionally exempt small quantity generator as defined in 40 CFR section 261.5, or a 100 to 1,000 kg per month generator as defined in 40 CFR section 265.201, or
(B) the owner or operator is not subject to regulation in 40 CFR part 264 or part 265 pursuant to an exemption in 40 CFR section 264.1 or section 265.1, but the owner or operator is subject to the standards of article 10 of chapter 14 or article 10 of chapter 15 of this division.
Installation will be considered to have commenced if the owner or operator has obtained all Federal, State and local approvals or permits necessary to begin physical construction of the site or installation of the tank system and if either a continuous onsite physical construction or installation program has begun, or the owner or operator has entered into contractual obligations, which cannot be canceled or modified without substantial loss, for physical construction of the site or installation of the tank system to be completed within a reasonable time.
“External floating roof” means a pontoon-type or double-deck type cover that rests on the surface of the material managed in a tank with no fixed roof.
“Extremely hazardous material” means a substance or combination of substances which, if human exposure should occur, may likely result in death, disabling personal injury or serious illness caused by the substance or combination of substances because of its quantity, concentration or chemical characteristics.
“Extremely hazardous waste” means any hazardous waste or mixture of hazardous wastes which, if human exposure should occur, may likely result in death, disabling personal injury or serious illness caused by the hazardous waste or mixture of hazardous wastes because of its quantity, concentration or chemical characteristics.
“Facility” see “Hazardous waste facility.”
“Facility mailing list” means the mailing list for a facility maintained by the Department in accordance with section 66271.9(c)(1)(D).
“Facility personnel” see “Personnel.”
“Federal agency” means any department, agency or other instrumentality of the Federal Government, any independent agency or establishment of the Federal Government including any Government corporation, and the Government Printing Office.
“Federal, State and local approvals or permits necessary to begin physical construction” means permits and approvals required under Federal, State or local hazardous waste control statutes, regulations or ordinances.
“Final closure” means the closure of all hazardous waste management units at the facility in accordance with all applicable closure requirements so that hazardous waste management activities under chapters 14 and 15 of this division are no longer conducted at the facility unless subject to the provisions in section 66262.34.
“Fine powder” means a metal in dry, solid form having a particle size smaller than 100 micrometers (0.004 inches) in diameter.
For the purposes of chapters 14 and 15, “First attempt at repair” means to take rapid action to maintain compliance with Section 66265.31, for the purpose of stopping or reducing leakage of organic material to the atmosphere using best practices.
“Fixed roof” means a cover that is mounted on a unit in a stationary position and does not move with fluctuations in the level of the material managed in the unit.
“Fixed Treatment Unit” means any equipment which performs a treatment as defined in this section and which is permanently stationed, or which is periodically assembled for use, at a single facility for the purpose of performing treatment, regardless of the period or frequency of treatment.
For the purposes of chapters 14 and 15, “Flame zone” means the portion of the combustion chamber in a boiler occupied by the flame envelope.
For the purposes of chapters 14 and 15, “Flow indicator” means a device that indicates whether gas flow is present in a vent stream.
“Floating membrane cover” means a cover consisting of a synthetic flexible membrane material that rests upon and is supported by the hazardous waste being managed in a surface impoundment.
“Floating roof” means a cover consisting of a double deck, pontoon single deck, or internal floating cover which rests upon and is supported by the material being contained, and is equipped with a continuous seal.
“Food-chain crops” means tobacco, crops grown for human consumption and crops grown for feed for animals whose products are consumed by humans.
For the purposes of chapters 14 and 15, “Fractionation operation” means a distillation operation or method used to separate a mixture of several volatile components of different boiling points in successive stages, each stage removing from the mixture some proportion of one of the components.
“Free liquids” means liquids which readily separate from the solid portion of a waste under ambient temperature and pressure. Free liquids are determined by using the paint filter test (EPA Method No. 9095), as modified in section 66264.314(b) of this division.
“Freeboard” means the vertical distance between the top of a tank or surface impoundment dike, and the surface of the waste contained therein.
“Functionally equivalent component” means a component which performs the same function or measurement and which meets or exceeds the performance specifications of another component.
“Generator” or “Producer” means any person, by site, whose act or process produces hazardous waste identified or listed in chapter 11 of this division or whose act first causes a hazardous waste to become subject to regulation.
“Generator state” means the state where the waste is generated and from which the shipment originates. This definition takes effect on September 5, 2006. 
“Groundwater” means water below the land surface in a zone of saturation.
“Halogenated organic compounds” or “HOCs” means those compounds having a carbon-halogen bond which are listed under Appendix III or Appendix III-A to chapter 18 of this division.
“Handling” means the transporting or transferring from one place to another, or pumping, processing, storing or packaging of hazardous waste, but does not include the handling of any substance before it becomes a waste.
“Hard-piping” means pipe or tubing that is manufactured and properly installed in accordance with relevant standards and good engineering practices.
“Hauler” means a transporter.
“Hazardous Constituent” means:
(a) a constituent identified in Appendix VIII to chapter 11 of this division; or
(b) any other element, chemical compound, or mixture of compounds which is a component of a hazardous waste or leachate and which has a physical or chemical property that causes the waste or leachate to be identified as a hazardous waste.
“Hazardous debris” means debris that contains a hazardous waste listed in article 4 of chapter 11 of this division, or that exhibits a characteristic of hazardous waste identified in article 3 of chapter 11. Any deliberate mixing of prohibited hazardous waste with debris that changes its treatment classification (i.e., from waste to hazardous debris) is not allowed under the dilution prohibition in section 66268.3 of this division.
“Hazardous material” as defined in Health and Safety Code Section 25501 as applied in Chapter 6.95 of Division 20 of the Health and Safety Code.
“Hazardous waste” means a hazardous waste as defined in section 66261.3 of this division. “Hazardous waste” includes acutely hazardous waste, extremely hazardous waste, non-RCRA hazardous waste, RCRA hazardous waste, special waste and universal waste.
“Hazardous waste constituent” means a constituent that caused the USEPA Administrator to list the hazardous waste in 40 CFR Part 261, Subpart D, or a constituent listed in Table 1 of 40 CFR section 261.24.
“Hazardous waste discharge” see “discharge.”
“Hazardous waste facility,” “hazardous waste management facility,” “HW facility,” or “facility” means:
(a) all contiguous land and structures, other appurtenances, and improvements on the land used for the treatment, transfer, storage, resource recovery, disposal or recycling of hazardous waste. A hazardous waste facility may consist of one or more treatment, transfer, storage, resource recovery, disposal or recycling operational units or combinations of these units.
(b) For the purpose of implementing corrective action under articles 6, 15.5, or 17 of chapter 14 or article 18 of chapter 15 of this division, all contiguous property under the control of the owner or operator seeking a permit under Title 22, Division 4.5 of the California Code of Regulations. This definition applies to all contiguous property of an owner or operator implementing corrective action at a facility under Health and Safety Code sections 25200.10 or 25187, or federal RCRA section 3004(u) [Title 42, U.S.C., section 6924(u)] or federal RCRA section 3008(h) [Title 42, U.S.C., section 6928(h)]. This definition also applies to all contiguous property of an owner or operator implementing removal or remedial action at an extra-large, large, medium, or small site where hazardous substances have been released or threaten to be released under Health and Safety Code sections 25187 or 25358.9 where as provided for under the provisions of that section the Department has excluded the removal or remedial action at a site from the hazardous waste facilities permit required by Health and Safety Code section 25201.
“Hazardous waste facility permit” or “permit” means an authorization, license or equivalent control document issued by the USEPA or the Department to implement the requirements of RCRA and this division. “Permit” includes permit by rule pursuant to section 66270.60, and emergency permit pursuant to section 66270.61. “Permit” does not include interim status (article 7 of chapter 20), or any permit which has not yet been the subject of final USEPA or Department action, such as a draft permit or a proposed permit.
“Hazardous waste management” see “Management.”
“Hazardous waste management facility” see “Hazardous waste facility.”
“Hazardous waste management unit” is a contiguous area of land on or in which hazardous waste is placed, or the largest area in which there is significant likelihood of mixing hazardous waste constituents in the same area. Examples of hazardous waste management units include a surface impoundment, a waste pile, a land treatment area, a landfill cell, a waste transfer area, an incinerator, a tank and its associated piping and underlying containment system and a container storage area. A container alone does not constitute a unit; the unit includes containers and the land or pad upon which they are placed.
For the purposes of chapters 14 and 15, “Hazardous waste management unit shutdown” means a work practice or operational procedure that stops operation of a hazardous waste management unit or part of a hazardous waste management unit. An unscheduled work practice or operational procedure that stops operation of a hazardous waste management unit or part of a hazardous waste management unit for less than 24 hours is not a hazardous waste management unit shutdown. The use of spare equipment and technically feasible bypassing of equipment without stopping operation are not hazardous waste management unit shutdowns.
“Highway” means a way, or place, of whatever nature open to the use of the public for purposes of vehicular travel. Highway includes street.
“HOCs” see “Halogenated organic compound.”
For the purposes of chapters 14 and 15, “Hot well” means a container for collecting condensate as in a steam condenser serving a vacuum-jet or steam-jet ejector.
“Household” means a single detached residence or a single unit of a multiple residence unit and all appurtenant structures.
“Household hazardous waste” means any hazardous waste generated incidental to owning and/or maintaining a place of residence. Household hazardous waste does not include any waste generated in the course of operating a business at a residence.
“HWM facility” see “Hazardous waste facility.”
“ID Number” see “Identification number.”
“Identification Number” or “ID Number” means the number applied for by and and assigned to all handlers of hazardous waste. A State ID number will be issued to handlers of non-RCRA hazardous waste (HW) and/or under 100 KG per calendar month of a RCRA HW. The State ID number will have a prefix of three letters followed by nine numbers. A federal ID number (EPA ID number) will be issued to handlers of 100 KG or more per calendar month of a RCRA HW and/or more than 1 KG per calendar month of acute HW, and any amount of non-RCRA HW. The federal ID number will have a prefix of three letters followed by nine numbers. Federal facilities will have a prefix of two letters followed by ten numbers.
“Ignitable” means capable of being set afire, or of bursting into flame spontaneously or by interaction with another substance or material.
“Impoundment” see “Surface impoundment.”
For the purposes of chapters 14 and 15, “In gas/vapor service” means that the piece of equipment contains or contacts a hazardous waste stream that is in the gaseous state at the operating conditions.
For the purposes of chapters 14 and 15, “In heavy liquid service” means that the piece of equipment is not in either gas/vapor service or in light liquid service.
For the purposes of chapters 14 and 15, “In light liquid service” means that the piece of equipment contains or contacts a wastestream where the vapor pressure of one or more of the components in the stream is greater than 0.3 kilopascals (kPa) at 20 degrees C, the total concentration of the pure components having a vapor pressure greater than 0.3 kPa at 20 degrees C is equal to or greater than 20 percent by weight, and the fluid is a liquid at the operating conditions.
“In light liquid service” means that the piece of equipment contains or contacts a waste stream where the vapor pressure of one or more of the organic components in the stream is greater than 0.3 kilopascals (kPa) at 20 deg.C, the total concentration of the pure organic components having a vapor pressure greater than 0.3 kilopascals (kPa) at 20 deg.C is equal to or greater than 20 percent by weight, and the fluid is a liquid at operating conditions.
“In light material service” means the container is used to manage a material for which both of the following conditions apply: The vapor pressure of one or more of the organic constituents in the material is greater than 0.3 kilopascals (kPa) at 20 deg.C; and the total concentration of the pure organic constituents having a vapor pressure greater than 0.3 kPa at 20 deg.C is equal to or greater than 20 percent by weight.
“In situ sampling systems” means non-extractive samplers or in-line samplers.
“In operation” refers to a facility which is transferring, treating, storing or disposing of hazardous waste.
For the purposes of chapters 14 and 15, “In vacuum service” means that equipment is operating at an internal pressure that is at least 5 kPa below ambient pressure.
“Inactive portion” means that portion of a facility which is not operated after November 19, 1980.
“Incinerator” means any enclosed device that:
(1) Uses controlled flame combustion and neither meets the criteria for classification as a boiler, sludge dryer, or carbon regeneration unit, nor is listed as an industrial furnace; or
(2) Meets the definition of infrared incinerator or plasma arc incinerator.
“Incompatible waste” means a hazardous waste which is unsuitable for:
(a) placement in a particular device or facility because it may cause corrosion or decay of containment materials (e.g., container inner liners or tank walls); or
(b) commingling with another waste or material under uncontrolled conditions because the commingling might produce heat or pressure, fire or explosion, violent reaction, toxic dusts, mists, fumes, or gases or flammable fumes or gases. (See Appendix V to chapter 15 of this division for examples.)
“Independent sample” means an individual sample that has not been affected by previous sampling efforts.
“Independently audited” refers to an audit performed by an independent certified public accountant in accordance with generally accepted auditing standards.
“Individual generation site” means the contiguous site at or on which one or more hazardous wastes are generated. An individual generation site, such as a large manufacturing plant, may have one or more sources of hazardous waste but is considered a single or individual generation site if the site or property is contiguous.
“Industrial furnace” means any of the following enclosed devices that are integral components of manufacturing processes and that use thermal treatment to accomplish recovery of materials or energy:
(a) cement kilns;
(b) lime kilns;
(c) aggregate kilns;
(d) phosphate kilns;
(e) coke ovens;
(f) blast furnaces;
(g) smelting, melting and refining furnaces (including pyrometallurgical devices such as cupolas, reverberator furnaces, sintering machines, roasters and foundry furnaces);
(h) titanium dioxide chloride process oxidation reactors;
(i) methane reforming furnaces;
(j) pulping liquor recovery furnaces;
(k) combustion devices used in the recovery of sulfur values from spent sulfuric acid;
(l) Halogen acid furnaces (HAFs) for the production of acid from halogenated hazardous waste generated by chemical production facilities where the furnace is located on the site of a chemical production facility, the acid product has a halogen acid content of at least 3%, the acid product is used in a manufacturing process, and, except for hazardous waste burned as fuel, hazardous waste fed to the furnace has a minimum halogen content of 20% as-generated.
(m) such other devices as the USEPA Administrator may, after notice and comment, add to the list of “industrial furnaces” in 40 CFR section 260.10 on the basis of one or more of the following factors:
(1) the design and use of the device primarily to accomplish recovery of material products;
(2) the use of the device to burn or reduce raw materials to make a material product;
(3) the use of the device to burn or reduce secondary materials as effective substitutes for raw materials, in processes using raw materials as principal feedstocks;
(4) the use of the device to burn or reduce secondary materials as ingredients in an industrial process to make a material product;
(5) the use of the device in common industrial practice to produce a material product; and
(6) other factors, as appropriate.
“Infrared incinerator” means any enclosed device that uses electric powered resistance heaters as a source of radiant heat followed by an afterburner using controlled flame combustion and which is not listed as an industrial furnace.
“Injection well” means any bored, drilled, or driven shaft, dug pit, or hole in the ground whose depth is greater than its largest surface dimension and any associated subsurface appertances, including, but not limited to, the casing.
“Inner liner” means a continuous layer of material placed inside a tank or container which protects the construction materials of the tank or container from the contained waste or reagents used to treat the waste.
“Inorganic metal-bearing waste” is one for which the Department has established treatment standards for metal hazardous constituents, and which does not otherwise contain significant organic or cyanide content as described in section 66268.3(b)(1), and is specifically listed in appendix XI of chapter 18.
“Interim status” means the authorization granted by the Department or the USEPA which allows a facility to continue to operate pending review and decision of the facility's permit application.
“Internal floating roof” means a cover that rests or floats on the material surface (but not necessarily in complete contact with it) inside a tank that has a fixed roof.
“International shipment” means the transportation of hazardous waste into or out of the jurisdiction of the United States.
“Land disposal” means placement in or on the land, except in a corrective action management unit, and includes, but is not limited to, placement in a landfill, surface impoundment, waste pile, injection well, land treatment facility, salt dome formation, salt bed formation, underground mine or cave, or placement in a concrete vault or bunker intended for disposal purposes.
“Land disposal method” means:
(a) disposal of hazardous wastes on or into the land, including, but not limited to, landfill, surface impoundment, waste piles, deep-well injection, land spreading and co-burial with municipal garbage;
(b) treatment of hazardous wastes on or in the land, such as neutralization and evaporation ponds and land farming, where the treatment residues are hazardous wastes and are not removed for subsequent processing or disposal within one year;
(c) storage of hazardous wastes on or in the land, such as waste piles and surface impoundments, other than neutralization and evaporation ponds, for longer than one year.
“Landfill” means a disposal facility or part of a facility where hazardous waste is placed in or on land and which is not a pile, a land treatment facility, a surface impoundment, an underground injection well, a salt dome formation, a salt bed formation, an underground mine, a cave, or a corrective action management unit.
“Landfill cell” means a discrete volume of a hazardous waste landfill which uses a liner to provide isolation of wastes from adjacent cells or wastes. Examples of landfill cells are trenches and pits.
“Land treatment facility” means a facility or part of a facility at which hazardous waste is applied onto or incorporated into the soil surface so that hazardous constituents are degraded, transformed or immobilized within the treatment zone. Such facilities are disposal facilities if the waste will remain after closure.
“Leachate” means any liquid, including any suspended components in the liquid, that has percolated through or drained from hazardous waste.
“Leachate collection and removal system/leak detection system (LCRS/LDS)” means the liner system component that immediately underlies the uppermost liner of a waste management unit, and that serves both: (a)  as a leachate collection and removal system (LCRS), by collecting and conveying leachate to a sump for disposal; and (b) as a leak detection system (LDS), by enabling the discharger to determine when the uppermost liner is leaking, by virtue of the leachate flow rate through the uppermost liner's exceeding the action leakage rate.
“Leak-detection system” means a system capable of detecting the failure of either the primary or secondary containment structure or the presence of a release of hazardous waste or accumulated liquid in the secondary containment structure. Such a system must employ operational controls (e.g., daily visual inspections for releases into the secondary containment system of aboveground tanks) or consist of an interstitial monitoring device designed to detect continuously and automatically the failure of the primary or secondary containment structure or the presence of a release of hazardous waste into the secondary containment structure.
“Legal defense costs” means any expenses that an insurer incurs in defending against claims of third parties brought under the terms and conditions of an insurance policy.
“Liabilities” means probable future sacrifices of economic benefits arising from present obligations to transfer assets or provide services to other entities in the future as a result of past transactions or events.
“License” includes, but is not limited to any permit, registration or certification issued by any local, State, or Federal agency for the generation, transportation, treatment, storage, recycling, disposal or handling of hazardous waste.
“Liner” means a continuous layer of natural or man-made materials, beneath or on the sides of a surface impoundment, landfill or landfill cell, which restricts the downward or lateral escape of hazardous waste, hazardous waste constituents or leachate.
“Liquid-mounted seal” means a foam or liquid-filled primary seal mounted in contact with the hazardous waste between the tank wall and the floating roof continuously around the circumference of the tank.
“Load” means the amount of waste transported by one truck, one railroad car or one barge to a hazardous waste facility.
“Major facility” means any facility or activity classified as such by the USEPA Regional Administrator in conjunction with the Department.
For the purposes of chapters 14 and 15, “Malfunction” means any sudden failure of a control device or a hazardous waste management unit or failure of a hazardous waste management unit to operate in a normal or usual manner, so that organic emissions are increased.
“Malfunction” means any sudden, infrequent, and not reasonably preventable failure of air pollution control equipment, process equipment, or a process to operate in a normal or usual manner. Failures that are caused in part by poor maintenance or careless operation are not malfunctions.
“Management” or “hazardous waste management” means the handling, storage, transportation, processing, treatment, recovery, recycling, transfer and disposal of hazardous waste.
“Manifest” means the shipping document DHS 8022A, or the equivalent document required by the state to which the waste will be shipped, which is originated and signed by the generator in accordance with the instructions included in the appendix to chapter 12 of this division. This definition is repealed as of September 5, 2006. 
“Manifest” and “California Uniform Hazardous Waste Manifest” mean the shipping document, the Uniform Hazardous Waste Manifest, EPA Form 8700-22,  (including, if necessary, the Continuation Sheet, EPA Form 8700- 22A), originated and signed by the generator or offeror in accordance with the instructions in the Appendix to chapter 12 of this division and the applicable requirements of chapters 12 through 15 and in the appendix to 40 Code of Federal Regulations part 262 and the applicable requirements of 40 Code of Federal Regulations parts 262 through 265. This definition takes effect on September 5, 2006. 
“Manifest document number” means the unique number assigned to the manifest by the Department for recording and reporting purposes. This definition is repealed as of September 5, 2006.
“Manifest tracking number” means the alphanumeric identification number (i.e., a unique three letter suffix preceded by nine numerical digits), which is pre-printed in Item 4 of the Manifest by a registered source approved by U.S. EPA to print manifests under 40 Code of Federal Regulations section 262. 21(c) and (e). This definition takes effect on September 5, 2006. 
“Maximum credible earthquake” means the maximum earthquake which rationally appears capable of occurring under the presently known tectonic framework and all known geologic and seismologic facts. The following factors and standards shall be applied in determining the maximum credible earthquake:
(a) the seismic history of the vicinity and the geologic province;
(b) the length of the significant fault or faults which can affect the site within a radius of 100 kilometers;
(c) the type(s) of faults involved;
(d) the tectonic and/or structural history;
(e) the tectonic and/or structural pattern or regional setting (geologic framework);
(f) the time factor (known or expected frequency of occurrence) shall not be a parameter.
“Maximum organic vapor pressure” means the sum of the individual organic constituent partial pressures exerted by the material contained in a tank, at the maximum vapor pressure-causing conditions (i.e., temperature, agitation, pH effects of combining wastes, etc.) reasonably expected to occur in the tank. For the purpose of chapter 14, and 15, maximum organic vapor pressure is determined using the procedures specified in section 66265.1084(c).
“Mercury-containing motor vehicle light switch” means any light switch found in the hood or in the trunk lid of a motor vehicle, if the light switch contains mercury. 
“Metallic shoe seal” means a continuous seal that is constructed of metal sheets which are held vertically against the wall of the tank by springs, weighted levers, or other mechanisms and is connected to the floating roof by braces or other means. A flexible coated fabric (envelope) spans the annular space between the metal sheet and the floating roof.
“Mining overburden returned to the mine site” means any material overlying an economic mineral deposit which is removed to gain access to that deposit and is then used for reclamation of a surface mine.
“Miscellaneous unit” means a hazardous waste management unit where hazardous waste is transferred, treated, stored, or disposed of and that is not a container, tank, surface impoundment, pile, land treatment unit, landfill, incinerator, boiler, industrial furnace other than industrial furnaces which are conditionally exempted pursuant to subsections (c) or (f) of section 66266.100, underground injection well with appropriate technical standards under article 5.5 commencing with section 25159.10 of chapter 6.5 of division 20 of the Health and Safety Code, containment building, corrective action management unit, or unit eligible for a research, development and demonstration permit under section 66270.65.
“Monitoring parameter” means one of the set of parameters specified in the facility permit for which monitoring is conducted. Monitoring parameters shall include physical parameters, waste constituents, reaction products, and hazardous constituents, that provide a reliable indication of a release from a regulated unit.
“Monitoring point” means a well, device or location specified in the facility permit at which the water quality or environmental protection standard applies and at which monitoring is conducted.
“Movement” means that hazardous waste transported to a facility in an individual vehicle.
“National Pollutant Discharge Elimination System” means the national program for issuing, modifying, revoking and reissuing, terminating, monitoring and enforcing permits, and imposing and enforcing pretreatment requirements, under sections 307, 318, 402, and 405 of the Federal Water Pollution Control Act (33 U.S.C. sections 1317, 1328, 1342 and 1345). The term includes an approved program.
“Natural resources” includes, but is not limited to, disposal site capacity and substances which are hazardous waste, or which are in hazardous waste, the reuse of which is technologically and economically feasible.
“Net working capital” means current assets minus current liabilities.
“Net worth” means total assets minus total liabilities and is equivalent to owner's equity.
“New facility” see “New hazardous waste management facility.”
“New hazardous waste facility” see “New hazardous waste management facility.”
“New hazardous waste management facility,” “new hazardous waste facility,” or “new facility” means a facility which began operation, or for which construction commenced after November 19, 1980.
“New tank component” see “New tank system.”
“New tank system” or “new tank component” means a tank system or component that will be used for the transfer, storage or treatment of hazardous waste and for which installation (as defined under “Existing tank system” in this section) has commenced after the dates indicated below; except, however, for purposes of sections 66264.193(g) and 66265.193(g), a new tank system is one for which construction commences after the dates indicated below: (See also “Existing tank system.”)
(a) July 14, 1986, for tanks containing RCRA hazardous wastes, unless: 
(1) the owner or operator is a conditionally exempt small quantity generator as defined in 40 CFR section 261.5, or a 100 to 1,000 kg per month generator as defined in 40 CFR section 265.201, or
(2) the owner or operator is not subject to regulation in 40 CFR part 264 or part 265 pursuant to an exemption in 40 CFR section 264.1 or section 265.1;
(b) July 1, 1991 for:
(1) tanks containing only non-RCRA hazardous wastes, and
(2) tanks containing RCRA hazardous wastes, if: 
(A) the owner or operator is a conditionally exempt small quantity generator or a 100 to 1,000 kg per month generator, or
(B) the owner or operator is not subject to regulation in 40 CFR part 264 or part 265 pursuant to an exemption in 40 CFR section 264.1 or section 265.1, but the owner or operator is subject to the standards of article 10 of chapter 14 or article 10 of chapter 15 of this division.
“No detectable organic emissions” means no escape of organics to the atmosphere as determined using the procedure specified in section 66265.1084(d).
“Non-RCRA hazardous waste” means all hazardous waste regulated in the State, other than RCRA hazardous waste as defined in this section. A hazardous waste is presumed to be a RCRA hazardous waste, unless it is determined pursuant to section 66261.101 that the hazardous waste is a non-RCRA hazardous waste.
“Nonsudden accidental occurrence” means an unforeseen and unexpected accident which takes place over time, involves continuous or repeated exposure and results in bodily injury, property damage or environmental degradation.
“Nonwastewaters” means, for the purposes of chapter 18 of this division, wastes that do not meet the criteria for wastewaters found in the definition of “wastewaters” in this section.
“Offsite” means any site which is not onsite.
“Offsite facility” means a hazardous waste facility that is not an onsite facility.
“Onground tank” means a device meeting the definition of “tank” in this section that is situated in such a way that the bottom of the tank is on the same level as the adjacent surrounding surface so that the external tank bottom cannot be visually inspected.
“Onsite” means the same or geographically contiguous property which may be divided by public or private right-of-way, provided the entrance and exit between the properties is at a crossroads intersection, and access is by crossing as opposed to going along, the right-of-way. Noncontiguous properties owned by the same person but connected by a right-of-way which that person controls and to which the public does not have access, is also considered onsite property.
“Onsite facility” or “Onsite hazardous waste facility” means a facility:
(a) at which a hazardous waste is generated and which is owned by, leased to, or under the control of, the generator of the waste; and
(b) which is located on the same or geographically contiguous property, on which the waste is produced, which may be divided by public or private right-of-way, provided the entrance and exit between the properties is at a cross-roads intersection, and access is by crossing as opposed to going along, the right-of-way. Noncontiguous properties owned by the same person but connected by a right-of-way which the person controls and to which the public does not have access, is also considered an onsite facility.
“Onsite hazardous waste facility” see “Onsite facility.”
“Open burning” means the combustion of any material without the following characteristics:
(a) control of combustion air to maintain adequate temperature for efficient combustion;
(b) containment of the combustion-reaction in an enclosed device to provide sufficient residence time and mixing for complete combustion; and
(c) control of emission of the gaseous combustion products. (See also “incineration” and “thermal treatment.”)
For the purposes of chapters 14 and 15, “Open-ended valve or line” means any valve, except pressure relief valves, having one side of the valve seat in contact with hazardous waste and one side open to the atmosphere, either directly or through open piping.
“Operator” means the person responsible for the overall operation of a facility.
“Operating life” see “Active life.”
“Owner” means the person who owns a facility or part of a facility.
“Owner or operator” means the owner or operator of any facility or activity subject to regulation under chapter 6.5 commencing with section 25100, division 20, Health and Safety Code.
“P-value” means the smallest significance level for which the null hypothesis would be rejected based on the data that was actually observed.
“Parent corporation” means a corporation which directly owns at least 50 percent of the voting stock of the corporation which is the facility owner or operator; the latter corporation is deemed a “subsidiary” of the parent corporation.
“Part A of Permit Application” or “Part A” means an application to the Department or the USEPA for a permit to operate a hazardous waste facility. The application is described in section 66270.13.
“Part B of Permit Application” or “Part B” means the operation plan described in sections 66270.14 through 66270.23 for a hazardous waste facility.
“Partial closure” means the closure of a hazardous waste management unit in accordance with the applicable closure requirements of chapters 14 and 15 of this division at a facility that contains other active hazardous waste management units. For example, partial closure may include the closure of a tank (including its associated piping and underlying containment systems), landfill cell, surface impoundment, waste pile or other hazardous waste management unit, while other units of the same facility continue to operate or will be placed in operation in the future.
“PCBs” see “Polychlorinated biphenyls.”
“Permanent household hazardous waste collection facility” or “PHHWCF” means a facility operated by a public agency or its contractor which:
(a) is operated in accordance with section 67450.25; and
(b) is permanently sited at a location.
“Permit” see “Hazardous waste facility permit.”
“Permit-by-rule” means a provision of these regulations stating that a facility or activity is deemed to have a permit if it meets the requirements of the provision.
“Permitted facility” means a facility that has received a hazardous waste facility permit from the Department or the USEPA in accordance with section 25200 of the Health and Safety Code or RCRA.
“Persistent toxic substance” means a toxic substance that resists natural degradation or detoxification.
“Person” means an individual, trust, firm, joint stock company, business concern, corporation, including, but not limited to, a government corporation, partnership and association. “Person” also includes any city, county, district, commission, the State or any department, agency or political subdivision thereof, any interstate body, and the Federal Government or any department or agency thereof to the extent permitted by law.
“Personnel” or “facility personnel” means all persons who work, at, or oversee the operations of, a hazardous waste facility, and whose actions or failure to act may result in noncompliance with the requirements of this division.
“Physical parameter” means any measurable physical characteristic of a substance including, but not limited to, temperature, electrical conductivity, pH and specific gravity.
“Physical construction” means excavation, movement of earth, erection of forms or structures, or similar activity to prepare a facility to accept hazardous waste.
“Pile” or “waste pile” means any noncontainerized accumulation of solid, nonflowing hazardous waste that is used for treatment or storage and that is not a containment building.
“Plasma arc incinerator” means any enclosed device using a high intensity electrical discharge or arc as a source of heat followed by an afterburner using controlled flame combustion and which is not listed as an industrial furnace.
“Point of compliance” means a vertical surface located at the hydraulically downgradient limit, of a regulated unit, that extends through the uppermost aquifer.
“Point of waste origination” means as follows:
(1) When the facility owner or operator is the generator of the hazardous waste, the point of waste origination means the point where a solid waste produced by a system, process, or waste management unit is determined to be a hazardous waste as defined in this division. [NOTE: In this case, this term is being used in a manner similar to the use of the term “point of generation” in air standards established for waste management operations under authority of the Clean Air Act in 40 CFR parts 60, 61 and 63.]
(2) When the facility owner and operator are not the generator of the hazardous waste, point of waste origination means the point where the owner or operator accepts delivery or takes possession of the hazardous waste.
“Point of waste treatment” means the point where a hazardous waste to be treated in accordance with section 66265.1083(c)(2) exits the treatment process. Any waste determination shall be made before the waste is conveyed, handled, or otherwise managed in a manner that allows the waste to volatilize to the atmosphere.
“Point source” means any discernible, confined and discrete conveyance, including, but not limited to any pipe, ditch, channel, tunnel, conduit, well, discrete fissure, container, rolling stock, concentrated animal feeding operation or vessel or other floating craft, from which pollutants are or may be discharged. This term does not include return flows from irrigated agriculture.
“Polychlorinated biphenyls” or “PCBs” are halogenated organic compounds defined in accordance with 40 CFR 761.3.
“Postclosure plan” means the plan for postclosure care prepared in accordance with chapter 14 or chapter 15 of this division.
“POTW” see “Publicly owned treatment works.”
For the purposes of chapters 14 and 15, “Pressure release” means the emission of materials resulting from the system pressure being greater than the set pressure of the pressure relief device.
“Primary Exporter” means any person who is required to originate the manifest for a shipment of hazardous waste in accordance with article 2 of chapter 12 of this division, which specifies a treatment, storage or disposal facility in a receiving country as the facility to which the hazardous waste will be sent and any intermediary arranging for the export.
For the purposes of chapters 14 and 15, “Process heater” means a device that transfers heat liberated by burning fuel to fluids contained in tubes, including all fluids except water that are heated to produce steam.
For the purposes of chapters 14 and 15,  “Process vent” means any open-ended pipe or stack that is vented to the atmosphere either directly, through a vacuum-producing system, or through a tank (e.g., distillate receiver, condenser, bottoms receiver, surge control tank, separator tank, or hot well) associated with hazardous waste distillation, franctionation, thin-film evaporation, solvent extraction, or air or steam stripping operations.
“Processing” means treatment.
“Producer” see “Generator.”
“Property Damage” means (a) an injury to property which deprives its owner of the benefit of the property by taking, withholding, deteriorating or destroying it.
(b) For the purposes of chapter 13, “property damage” means damage to or loss of tangible property.
“Publicly owned treatment works” or “POTW” means any device or system used in the treatment (including recycling and reclamation) of municipal sewage or industrial wastes of a liquid nature which is owned by a “State” or “municipality” (as defined by 33 U.S.C. section 1362). This definition includes sewers, pipes or other conveyances only if they convey wastewater to a POTW providing treatment.
“R chart” (Range chart) means a control chart for evaluating the variability within a process in terms of the subgroup range R.
“RCRA Characteristic” means the characteristic of ignitability, corrosivity, reactivity, or toxicity identified in sections 66261.21, 66261.22(a)(1), 66261.22(a)(2), 66261.23, and 66261.24(a)(1) of this division.
“RCRA Characteristic Hazardous Waste” or “RCRA Characteristic Waste” means a hazardous waste that exhibits any of the RCRA characteristics.
“RCRA hazardous waste” means all waste identified as a hazardous waste in Part 261 (commencing with section 261.1) of subchapter I of chapter 1 of Title 40 of the Code of Federal Regulations and appendices thereto.
“RCRA Hazardous Waste Facility Permit” or “RCRA Permit” means any hazardous waste facility permit for a facility which would be required to have a permit under 42 U.S.C. section 6925, if California's hazardous waste program were not authorized pursuant to 42 U.S.C. section 6926.
“RCRA Permit” See “RCRA Hazardous Waste Facility Permit”
“Reactive” means having properties of explosivity or of chemical activity which can be a hazard to human health or the environment.
“Receiving country” means a foreign country to which a hazardous waste is sent for the purpose of treatment, storage or disposal (except short-term storage incidental to transportation).
“Reclaimed” means that a material is processed to recover a usable product, or that it is regenerated. Examples are recovery of lead values from spent batteries and regeneration of spent solvents.
“Recyclable material” means a hazardous waste that is capable of being recycled, including, but not limited to, any of the following:
(a) a residue;
(b) a spent material, including, but not limited to, a used or spent stripping or plating solution or etchant;
(c) a material that is contaminated to such an extent that it can no longer be used for the purpose for which it was originally purchased or manufactured;
(d) a byproduct listed in section 66261.31 or section 66261.32;
(e) any retrograde material that has not been used, distributed or reclaimed through treatment by the original manufacturer or owner by the later of the following dates:
(1) one year after the date when the material became a retrograde material;
(2) if the material has been returned to the original manufacturer, one year after the material is returned to the original manufacturer.
“Recycled material” means a material which is used or reused or reclaimed.
“Regional Administrator” or “USEPA Regional Administrator” means the Regional Administrator for the EPA Region in which the facility is located, or that person's designee.
“Registered hazardous waste transporter” means a transporter registered with the Department to transport hazardous wastes.
“Regulated Unit” means:
(a) a permitted hazardous waste facility, which operates or operated:
(1) any surface impoundment, waste pile, land treatment unit or landfill that receives or has received hazardous waste after July 26, 1982; or
(2) any surface impoundment, waste pile, land treatment unit, or landfill that ceased receiving hazardous waste by July 26, 1982 which is required to comply with the requirements of article 6 of chapter 14 of this division pursuant to section 66264.90(a);
(b) an interim status hazardous waste facility which operates or operated:
(1) any surface impoundment, waste pile, land treatment unit, or landfill that receives or has received hazardous waste after November 19, 1980; or
(2) any surface impoundment, waste pile, land treatment unit, or landfill that ceased receiving hazardous waste by November 19, 1980 which is required to comply with the requirements of article 6 of chapter 15 of this division pursuant to section 66265.90(a).
“Release” means:
(a) Any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping, leaching, dumping, or disposing into the environment.
(b) “Release” does not include any of the following:
(1) Any release which results in exposure to persons solely within a workplace, with respect to a claim such exposed persons may assert against their employer.
(2) Emissions from the engine exhaust of a motor vehicle, rolling stock, aircraft, vessel or pipeline pumping station engine.
(3) Release of source, byproduct, or special nuclear material from a nuclear incident, as those terms are defined in the Atomic Energy Act of 1954 (42 U.S.C. 2011, et seq.), if such release is subject to requirements with respect to financial protection established by the Nuclear Regulatory Commission under section 2210 of Title 42 of the United States Code or, for the purposes of section 104 of the federal act (42 U.S.C. 9604) or any other response action, any release of source byproduct, or special nuclear material from any processing site designated under section 7912(a)(1) or 7942(a) of Title 42 of the United States Code, which sections are a part of the Uranium Mill Tailings Radiation Control Act of 1978.
(d) The normal application of fertilizer, plant growth regulants and pesticides.
For the purposes of chapters 14 and 15, “Repaired” means that equipment is adjusted, or otherwise altered, to eliminate a leak.
“Remediation waste” means all solid and hazardous wastes, hazardous substances, and all media (including groundwater, surface water, soils, and sediments) and debris, that are managed for the purpose of implementing corrective action requirements under articles 6, 15.5, or 17 of chapter 14 or article 18 of chapter 15 of this division, Health and Safety Code sections 25200.10 or 25187, or section 25358.9 where as provided for under the provisions of that section the Department has excluded the removal or remedial action at a site from the hazardous waste facilities permit required by Health and Safety Code section 25201, or federal RCRA section 3005 [Title 42, U.S.C., section 6925]. For a given facility, remediation wastes may originate only from within the facility boundary, but may include waste managed in implementing Health and Safety Code Sections 25200.10 or 25187, or section 25358.9 where as provided for under the provisions of that section the Department has excluded the removal or remedial action at a site from the hazardous waste facilities permit required by Health and Safety Code section 25201, or federal RCRA section 3005 [Title 42, U.S.C., section 6925] or 3004(v) [Title 42, U.S.C., section 6924(v)] for releases beyond the facility boundary.
“Replacement unit” means a landfill, surface impoundment, or waste pile unit (1) from which all or substantially all of the waste is removed, and (2) that is subsequently reused to transfer, treat, store, or dispose of hazardous waste. “Replacement unit” does not apply to a unit from which waste is removed during closure, if the subsequent reuse solely involves the disposal of waste from that unit and other closing units or corrective action areas at the facility, in accordance with an approved closure plan or EPA or State approved corrective action.
“Representative sample” means a sample of a universe or whole (e.g., waste pile, lagoon, ground water) which can be expected to exhibit the average properties of the universe or whole.
“Residuals Repository” means a hazardous waste facility or part of a facility that is permitted to accept for land disposal only non-liquid, treated hazardous waste (as defined in Section 25179.3(1), Health and Safety Code). Non-liquid means non-liquid and containing less than 50 percent moisture by weight as determined in accordance with Section 66265.317 of this Division.
“Resource recovery facility” means an authorized offsite hazardous waste facility whose principal method of hazardous waste management is the recycling of recyclable material pursuant to Health and Safety Code section 25201(a).
“Restricted hazardous waste” means any hazardous waste which is subject to land disposal restriction pursuant to Health and Safety Code section 25179.6 or chapter 18 of this division.
“Retrograde material” means any hazardous material which is not to be used, sold or distributed for use in an originally intended or prescribed manner or for an originally intended or prescribed purpose and which meets any one or more of the following criteria:
(a)(1) has undergone chemical, biochemical, physical or other changes due to the passage of time or the environmental conditions under which it was stored;
(2) has exceeded a specified or recommended shelf life;
(3) is banned by law, regulation, ordinance or decree;
(4) cannot be used for reasons of economics, health or safety or environmental hazard.
(b) “Retrograde material” does not include material listed in section 66261.33 if either of the following conditions is met:
(1) the material is used in a manner constituting disposal and the material is not normally used in a manner constituting disposal;
(2) the material is burned for energy recovery and the material is not normally burned for energy recovery.
“Run-off” means any rainwater, leachate or other liquid that drains over land from any part of a facility.
“Run-on” means any rainwater, leachate or other liquid that drains over land onto any part of a facility.
“Safety device” means a closure device such as a pressure relief valve, frangible disc, fusible plug, or any other type of device which functions exclusively to prevent physical damage or permanent deformation to a unit or its air emission control equipment by venting gases or vapors directly to the atmosphere during unsafe conditions resulting from an unplanned, accidental, or emergency event. For the purpose of chapters 14 and 15, a safety device is not used for routine venting of gases or vapors from the vapor headspace underneath a cover such as during filling of the unit or to adjust the pressure in this vapor headspace in response to normal daily diurnal ambient temperature fluctuations. A safety device is designed to remain in a closed position during normal operations and open only when the internal pressure, or another relevant parameter, exceeds the device threshold setting applicable to the air emission control equipment as determined by the owner or operator based on manufacturer recommendations, applicable regulations, fire protection and prevention codes, standard engineering codes and practices, or other requirements for the safe handling of flammable, ignitable, explosive, reactive, or hazardous materials.
For the purposes of chapters 14 and 15, “Sampling connection system” means an assembly of equipment within a process or waste management unit used during periods of representative operation to take samples of the process or waste fluid. Equipment used to take non-routine grab samples is not considered a sampling connection system.
“Saturated zone” or “zone of saturation” means that part of the earth's crust in which all voids are filled with water.
“Schedule of compliance” means a schedule of remedial measures included in a permit or order, including an enforceable sequence of interim requirements (for example, actions, operations or milestone events) leading to compliance with applicable law.
“Scrap metal” means (a) any one or more of the following, except as provided in subsection (b) of this section:
(1) manufactured, solid metal objects and products;
(2) metal workings, including cuttings, trimmings, stampings, grindings, shavings and sandings; 
(3) solid metal residues of metal production; or
(4) printed circuit boards that are recycled [except for printed circuit boards referenced in subsec. (b)(7) of this section].
(b) “Scrap metal” excludes all of the following:
(1) lead-acid storage batteries, waste elemental mercury, and water-reactive metals such as sodium, potassium and lithium;
(2) magnesium borings, trimmings, grindings, shavings and sandings and any other forms capable of producing independent combustion;
(3) beryllium borings, trimmings, grindings, shavings, sandings and any other forms capable of producing adverse health effects or environmental harm in the opinion of the Department;
(4) any metal contaminated with a hazardous waste, such that the contaminated metal exhibits any characteristic of a hazardous waste under article 3 of chapter 11 of this division;
(5) any metal contaminated with an oil that is a hazardous waste and that is free-flowing;
(6) sludges, fine powders, semi-solids and liquid solutions that are hazardous wastes; and
(7) any printed circuit board that has been removed from a universal waste electronic device by a universal waste handler as a result of the handler's conduct of activities authorized by sections 66273.71, 66273.72, and/or 66273.73 of chapter 23 of this division and is subject to management as a hazardous waste pursuant to sections 66273.71, 66273.72 and/or 66273.73. 
“Semitrailer” means a vehicle designed for carrying persons, property or waste, used in conjunction with a motor vehicle, and so constructed that some part of its weight and that of its load rests upon, or is carried by, another vehicle.
For the purposes of chapters 14 and 15, “Sensor” means a device that measures a physical quantity or that change in a physical quantity, such as temperature, pressure, flow rate, pH, or liquid level.
For the purposes of chapters 14 and 15, “Separator tank” means a device used for separation of two immiscible liquids.
“Single-seal system” means a floating roof having one continuous seal. This seal may be vapor-mounted, liquid-mounted, or a metallic shoe seal.
“Site” means the land or water area where any facility or activity is physically located or conducted, including adjacent land used in connection with the facility or activity.
“Sludge” means any solid, semi-solid or liquid waste generated from a municipal, commercial or industrial wastewater treatment plant, water supply treatment plant or air pollution control facility exclusive of the treated effluent from a wastewater treatment plant.
“Sludge dryer” means any enclosed thermal treatment device that is used to dehydrate sludge and that has a maximum total thermal input, excluding the heating value of the sludge itself, of 2,500 Btu/lb of sludge treated on a wet-weight basis.
“Small quantity commercial source” means a business which generates less than 100 kilograms of household waste, as defined in paragraph (1) of subdivision (b) of Section 261.4 of Title 40 of the Code of Federal Regulations, or which meets the criteria for conditionally exempt small quantity generators specified in Section 261.5 of Title 40 of the Code of Federal Regulations, or, if the hazardous waste is perchlorethylene, a business which generates less than 50 kilograms of hazardous waste per month and meets the criteria set forth in Sections 261.4 or 261.5 of Title 40 of the Code of Federal Regulations.
“Small quantity generator” means a generator who generates less than 1,000 kg of hazardous waste in a calendar month.
“Soil” means unconsolidated earth material composing the superficial geologic strata (material overlying bedrock), consisting of clay, silt, sand, or gravel size particles as classified by the U.S. Natural Resources Conservation Service, or a mixture of such materials with liquids, sludges or solids which is inseparable by simple mechanical removal processes and is made up primarily of soil by volume based on visual inspection. Any deliberate mixing of prohibited hazardous waste with soil that changes its treatment classification (i.e., from waste to contaminated soil) is not allowed under the dilution prohibition in section 66268.3 of this division.
“Soil-pore liquid” means the liquid contained in openings between particles of soil in the unsaturated zone.
“Solid Waste Management Unit” means any unit at a hazardous waste facility from which hazardous constituents might migrate, irrespective of whether the units were intended for the management of wastes, including but not limited to: containers, tanks, surface impoundments, waste piles, land treatment units, landfills, incinerators and underground injection wells.
“Soluble threshold limit concentration” or “STLC” means the concentration of a solubilized and extractable bioaccumulative or persistent toxic substance which, if equaled or exceeded in a waste or waste extract determined pursuant to Appendix II of chapter 11 of this division renders the waste hazardous.
“Sorb” means to either adsorb or absorb, or both.
“Sorbent” means a material that is used to soak up free liquids by either adsorption or absorption, or both. See also “Sorb”.
“Special waste” means a waste which is a hazardous waste only because it contains an inorganic substance or substances which cause it to pose a chronic toxicity hazard to human health or the environment and which meets all of the criteria and requirements of section 66261.122 and has been classified a special waste pursuant to section 66261.124.
“Spent material” is any material that has been used and as a result of contamination can no longer serve the purpose for which it was produced without processing.
For the purposes of chapters 14 and 15, “Start-up” means the setting in operation of a hazardous waste management unit or control device for any purpose.
“State/EPA Agreement” means an agreement between the Regional Administrator and the Department which coordinates EPA and State activities, responsibilities and programs.
“Steam stripping operation” means a distillation operation in which vaporization of the volatile constituents of a liquid mixture takes place by the introduction of steam directly into the charge.
“STLC” see “Soluble threshold limiting concentration.”
“Storage” means the holding of hazardous waste for a temporary period, at the end of which the hazardous waste is treated, disposed of or stored elsewhere.
“Sudden accidental occurrence” means an unforeseen and unexpected accident which is not continuous or repeated in nature and results in bodily injury, property damage or environmental degradation.
“Substantial business relationship” means the extent of a business relationship necessary under applicable State law to make a guarantee contract issued incident to that relationship valid and enforceable. A “substantial business relationship” must arise from a pattern of recent or ongoing business transactions, in addition the guarantee itself, such that a currently existing business relationship between the guarantor and the owner or operator is demonstrated to the satisfaction of the Department.
“Sump” means any pit or reservoir that meets the definition of tank and those troughs/trenches connected to it that serve to collect hazardous waste for transport to hazardous waste storage, treatment, or disposal facilities; except that as used in the landfill, surface impoundment, and waste pile rules, “sump” means any lined pit or reservoir that serves to collect liquids drained from a leachate collection and removal system or leak detection system for subsequent removal from the system.
“Surface impoundment” or “impoundment” means a facility or part of a facility which is a natural topographic depression, man-made excavation or diked area formed primarily of earthen materials (although it may be lined with man-made materials), which is designed to hold an accumulation of liquid wastes or wastes containing free liquids, and which is not an injection well. Examples of surface impoundments are holding, storage, settling, and aeration pits, ponds and lagoons.
“Surge control tank” means a pipe or storage reservoir sufficient in capacity to contain the surging liquid discharge of the process tank to which it is connected.
“Surplus material” means an unused raw material or commercial product obtained by a person who intended to use or sell it, but who no longer needs it, and who transfers ownership of it to another person for use in a manner for which the material or product is commonly used. Surplus material is excess material. Surplus material is neither of the following:
(a) a retrograde material as defined in this section;
(b) a recyclable material as defined in this section.
“Tangible net worth” means the tangible assets that remain after deducting liabilities; such assets would not include intangibles such as goodwill and rights to patents or royalties.
“Tank” means a stationary device, designed to contain an accumulation of hazardous waste which is constructed primarily of nonearthen materials (e.g., wood, concrete, steel, plastic) which provide structural support.
“Tank system” means a hazardous waste transfer, storage or treatment tank and its associated ancillary equipment and containment system.
“Temporary household hazardous waste collection facility” or “THHWCF” means a facility operated by a public agency which:
(a) is operated in accordance with section 66270.1(c)(1)(F);
(b) is operated at the same location no more than 12 times per calendar year and no more than once in any calendar month at the same location; and
(c) terminates operation within two days of commencing each session.
“Terminate” means to accept the last delivery of waste.
“Thermal treatment” means the treatment of hazardous waste in a device which uses elevated temperatures as the primary means to change the chemical, physical, or biological character or composition of the hazardous waste. Examples of thermal treatment processes are incineration, molten salt, pyrolysis, calcination, wet air oxidation and microwave discharge. (See also “incinerator” and “open burning.”)
“The State” means the State of California.
“Thin-film evaporation operation” means a distillation operation that employs a heating surface consisting of a large diameter tube that may be either straight or tapered, horizontal or vertical. Liquid is spread on the tube wall by a rotating assembly of blades that maintain a close clearance from the wall or actually ride on the film of liquid on the wall.
“Total threshold limit concentration” or “TTLC” means the concentration of a solubilized, extractable and nonextractable bioaccumulative or persistent toxic substance which, if equaled or exceeded in a waste, renders the waste hazardous.
“Totally enclosed treatment facility” means a facility for the treatment of hazardous waste which is directly connected to an industrial production process and which is constructed and operated in a manner which prevents the release of any hazardous waste or any constituent thereof into the environment during treatment. An example is a pipe in which waste acid is neutralized.
“Toxic waste” means a hazardous waste designated as a toxic waste by the USEPA Administrator pursuant to 40 CFR section 261.11.
“Trailer” means a vehicle designed for carrying persons, property or waste on its own structure and for being drawn by a motor vehicle and so constructed that no part of its weight rests upon any other vehicle.
“Transfer” means the loading, unloading, pumping or packaging of hazardous waste. Transfer does not include loading, unloading, pumping or packaging of hazardous waste on the site where the hazardous waste was generated.
“Transfer facility” or “transfer station” means any transportation related facility including loading docks, parking areas, storage areas and other similar areas where shipments of hazardous waste are held and/or transferred during the normal course of transportation.
“Transfer station” see “Transfer facility.”
“Transit country” means any foreign country, other than a receiving country, through which a hazardous waste is transported.
“Transport vehicle” means a motor vehicle or rail car used for the transportation of cargo by any mode. Each cargo-carrying body (trailer, railroad freight car, etc.) is a separate transport vehicle.
“Transportable Treatment Unit” means any mobile equipment which performs a “treatment” as defined in this section and which is transported onto a facility to perform treatment and which is not permanently stationed at a single facility.
“Transportation” means the movement of hazardous waste by air, rail, highway or water.
“Transporter” means a person engaged in the offsite transportation of hazardous waste by air, rail, highway or water.
“Treatability study” means either of the following, but does not include the commercial treatment or disposal of hazardous waste:
(a) The application of a treatment process to a representative sample of hazardous waste to determine any of the following:
(1) Whether the hazardous waste can be effectively treated by the treatment process employed in the treatability study.
(2) What pretreatment, if any, is required.
(3) The optimal conditions and processing techniques required to achieve the desired treatment.
(4) The efficiency of a treatment process for a specific hazardous waste or wastes.
(5) The characteristics and volumes of residual from a particular treatment process.
(b) Liner compatibility, corrosion, or other material compatibility studies.
“Treatability study sample” means a small quantity of hazardous waste, of no more than 400 kilograms (kg), which will be subject to a treatability study.
“Treatment” means any method, technique, or process which changes or is designed to change the physical, chemical, or biological character or composition of any hazardous waste or any material contained therein, or removes or reduces its harmful properties or characteristics for any purpose including, but not limited to, energy recovery, material recovery or reduction in volume.
“Treatment zone” means a soil area of the unsaturated zone of a land treatment unit within which hazardous constituents and constituents of concern are degraded, transformed or immobilized. A treatment zone may not extend more than five feet below the initial surface and the base of the treatment zone shall be a minimum of five feet above the highest anticipated elevation of underlying groundwater.
“Truck” means a motor vehicle, excluding truck tractor, designed, used or maintained primarily for the transportation of property or waste.
“TTLC” see “Total threshold limiting concentration.”
“Underground injection” means the subsurface emplacement of fluids through a bored, drilled or driven well; or through a dug well, where the depth of the dug well is greater than the largest surface dimension. (See also “injection well.”)
“Underground source of drinking water” or “USDW” means an aquifer or its portion:
(a)(1) which supplies any public water system; or
(2) which contains a sufficient quantity of ground water to supply a public water system; and
(A) currently supplies drinking water for human consumption; or
(B) contains fewer than 10,000 mg/l total dissolved solids; and
(b) which is not an exempted aquifer.
“Underground tank” means a device meeting the definition of “tank” in this section which is substantially or totally beneath the surface of the ground.
“Underlying hazardous constituent” means any constituent listed in section 66268.48, Table UTS--Universal Treatment Standards, except fluoride, selenium, sulfides, vanadium, and zinc, which can reasonably be expected to be present at the point of generation of the hazardous waste at a concentration above the constituent-specific UTS treatment standards.
“Unfit-for-use tank system” means a tank system that has been determined through an integrity assessment or other inspection to be no longer capable of transferring, storing or treating hazardous waste without posing a threat of release of hazardous waste to the environment.
“Unit” means a tank, a container, or a combination of tanks or tank systems and/or containers located together that are used in sequence to treat or accumulate one or more compatible hazardous wastestreams. The devices are either plumbed together or otherwise linked so as to form one system. This definition only applies to Conditional Exemption, Conditional Authorization, and Permit By Rule operations.
“Universal waste” means any of the wastes that are listed in section 66261.9.
“Unsaturated zone,” “Vadose zone,” or “zone of aeration” means the zone between the land surface and the water table.
“United States” means the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa and the commonwealth of the Northern Mariana Islands.
“Uppermost aquifer” means the geologic formation nearest the natural ground surface that is an aquifer, as well as lower aquifers that are hydraulically interconnected with this aquifer.
“Used oil re-refining distillation bottoms” means the heavy fraction produced by vacuum distillation of filtered and dehydrated used oil. The composition of still bottoms varies with column operation and feedstock.
“Used or reused” means that a material is either:
(a) employed as an ingredient, including use as an intermediate, in an industrial process to make a product (for example, distillation bottoms from one process used as feedstock in another process). However, a material will not satisfy this condition if distinct components of the material are recovered as separate end products (as when metals are recovered from metal-containing secondary materials); or
(b) employed in a particular function or application as an effective substitute for a commercial product (for example, spent pickle liquor used as phosphorous precipitant and sludge conditioner in wastewater treatment).
“USEPA Administrator” or “Administrator” means the Administrator of the federal Environmental Protection Agency, or the Administrator's designee.
“USEPA Regional Administrator” see “Regional Administrator.”
“Vacuum tank” means a cargo tank which has the capability of being subjected to a vacuum or a pressure for purposes of loading and unloading its contents.
“Vadose zone” see “Unsaturated zone.”
“Vapor incinerator” means any enclosed combustion device that is used for destroying organic compounds and does not extract energy in the form of steam or process heat.
“Vapor-mounted seal” means a continuous seal that is mounted such that there is a vapor space between the hazardous waste in the unit and the bottom of the seal.
“Variance” means a deviation from a provision of this division and chapter 6.5 of the Health and Safety Code authorized pursuant to section 66260.210 or Health and Safety Code section 25143.
“Vehicle” means a device by which any person or property, including waste, may be propelled, moved or drawn, excepting a device moved exclusively by human power.  “Vehicle” also means a device by which any person or property, including waste, may be propelled, moved or drawn upon a highway, excepting a device moved exclusively by human power or used exclusively upon stationary rails or tracks.
“Vented” means discharged through an opening, typically an open-ended pipe or stack, allowing the passage of a stream of liquids, gases, or fumes into the atmosphere. The passage of liquids, gases, or fumes is caused by mechanical means such as compressors or vacuum-producing systems or by process-related means such as evaporation produced by heating and not caused by tank loading and unloading (working losses) or by natural means such as diurnal temperature changes.
“Vessel” includes every description of watercraft, used or capable of being used as a means of transportation on the water.
“Volatile organic compound” means a compound which is a volatile organic compound according to Method No. 8240 in the Environmental Protection Agency Document No. Sw 846 (1982) or any equivalent, alternative method acceptable to the Department.
“Volatile organic concentration” or “VO concentration” means the fraction by weight of the volatile organic compounds contained in a hazardous waste expressed in terms of parts per million (ppmw) as determined by direct measurement or by knowledge of the waste in accordance with the requirements of section 66265.1084. For the purpose of determining the VO concentration of a hazardous waste, organic compounds with a Henry's law constant value of at least 0.1 mole-fraction-in-the-gas-phase/mole-fraction-in the liquid-phase (0.1 Y/X) (which can also be expressed as 1.8 x 10-6 atmospheres/gram-mole/m3) at 25 degrees Celsius must be included. Appendix VI of chapter 15, article 30 presents a list of compounds known to have a Henry's law constant value less than the cutoff level.
“Waste” means waste as defined in section 66261.2.
“Waste constituent” means a constituent that is reasonably expected to be in or derived from waste contained in a regulated unit.
“Waste determination” means performing all applicable procedures in accordance with the requirements of section 66265.1084 to determine whether a hazardous waste meets standards +specified in chapters 14 and 15. Examples of a waste determination include performing the procedures in accordance with the requirements of section 66265.1084 to determine the average VO concentration of a hazardous waste at the point of waste origination; the average VO concentration of a hazardous waste at the point of waste treatment and comparing the results to the exit concentration limit specified for the process used to treat the hazardous waste; the organic reduction efficiency and the organic biodegradation efficiency for a biological process used to treat a hazardous waste and comparing the results to the applicable standards; or the maximum volatile organic vapor pressure for a hazardous waste in a tank and comparing the results to the applicable standards.
“Waste pile” see “Pile.”
“Waste stabilization process” means any physical or chemical process used to either reduce the mobility of hazardous constituents in a hazardous waste or eliminate free liquids as determined by Test Method 9095 (Paint Filter Liquids Test) in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication No. SW-846, Third Edition, September 1986, as amended by Update I, November 15, 1992 (incorporated by reference-refer to section 66260.11). A waste stabilization process includes mixing the hazardous waste with binders or other materials, and curing the resulting hazardous waste and binder mixture. Other synonymous terms used to refer to this process are “waste fixation” or “waste solidification.” This does not include the adding of absorbent materials to the surface of a waste, without mixing, agitation, or subsequent curing, to absorb free liquid.
“Wastewaters” means, for the purposes of chapter 18 of this division, wastes that contain less than one percent by weight total organic carbon (TOC) and less than one percent by weight total suspended solids (TSS).
“Wastewater treatment unit” means a device which:
(a) is part of a wastewater treatment facility which is subject to regulation under either section 402 (33 U.S.C. section 1317) or 307(b) (33 U.S.C. section 1342) of the Federal Clean Water Act; and
(b) receives and treats or stores an influent wastewater which is a hazardous waste as defined in chapter 11 of this division, or that generates and accumulates a wastewater treatment sludge which is a hazardous waste as defined in chapter 11 of this division, or treats or stores a wastewater treatment sludge which is a hazardous waste as defined in chapter 11 of this division; and
(c) meets the definition of tank or tank system in this section.
“Water (bulk shipment)” means the bulk transportation of hazardous waste which is loaded or carried on board a vessel without containers or labels.
“Water reactive” means having properties of, when contacted by water, reacting violently, generating extreme heat, burning, exploding or rapidly reacting to produce an ignitable, toxic or corrosive mist, vapor or gas.
“Well” means any shaft or pit dug or bored into the earth, generally of a cylindrical form, and often walled with bricks or tubing to prevent the earth from caving in.
“Well injection”: (See “underground injection.”)
“X-bar chart” means a control chart for evaluating the process level or subgroup differences in terms of the subgroup average.
“Zone of aeration” see “Unsaturated zone.”
“Zone of engineering control” means an area under the control of the owner or operator that, upon detection of a hazardous waste release, can be readily cleaned up prior to the release of hazardous waste or hazardous constituents to ground water or surface water.
“Zone of saturation” see “Saturated zone.”
NOTE

Authority cited: Sections 25141, 25150, 25158.1, 25158.4, 25159, 25159.5, 25187.7, 25200.10, 25204, 25214.9, 25218.3(d), 25316 and 58012, Health and Safety Code; Governor's Reorganizational Plan #1 of 1991; and  Section 42475, Public Resources Code. Reference: Sections 25110.02, 25110.1, 25110.5, 25111, 25112, 25112.5, 25113, 25114, 25115, 25117, 25117.1, 25117.8, 25117.9, 25117.11, 25118, 25119, 25120, 25121, 25121.5, 25122.7, 25123, 25123.3, 25123.5, 25123.6, 25141, 25150, 25158.2, 25159, 25159.5, 25187.7, 25200.10, 25201.6, 25204, 25214.9, 25218.1(f), 25218.3, 25316, 25354(b), 25355.5, 25355.6, 25358.1, 25358.9, 25359.8, 25361, 25501, 25529 and 58012, Health and Safety Code; and 40 CFR Sections 260.10, 261.1, 262.21, 264.551, 264.1031, 268.2, 270.2 and 273.6.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of section filed 8-12-91; operative 9-11-91 (Register 91,  No. 50).
3. New definitions “Fixed Treatment Unit” and “Release” and amendment of “Transportable Treatment Unit” filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
4. Amendment of “Hazardous material” filed 8-25-92; operative 8-25-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 35).
5. Addition of definitions and amendment of Note filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
6. Addition of definitions and amendment of Note filed 4-12-93; operative 4-12-93 (Register 93, No. 16).
7. Change without regulatory effect amending the definition of “Application” filed 6-1-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 23).
8. Amendment adding definitions of “Class I Violation” and “Class II Violation” and amendment of Note filed 6-21-93; operative 6-21-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 26). 
9. Amendment adding “Permanent household hazardous waste collection facility” filed 9-29-93 as an emergency; operative 9-29-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-94 or emergency language will be repealed by operation of law on the following day.
10. Adoption of “Corrective action management unit” and “Remediation waste” and amendment of “Disposal facility,” “Hazardous waste facility,” “Land disposal,” “Landfill” and “Miscellaneous unit” filed 12-23-93 as an emergency; operative 12-23-93 (Register 93, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-9-94 or emergency language will be repealed by operation of law on the following day.
11. Amendment adding “Permanent household hazardous waste collection facility” and amendment of Note refiled 1-19-94 as an emergency; operative 1-19-94 (Register 94, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-19-94 or emergency language will be repealed by operation of law on the following day.
12. Editorial correction adding History 11 (Register 94, No. 9).
13. Adoption of “Corrective action management unit” and “Remediation waste” and amendment of “Disposal facility,” “Hazardous waste facility,” “Land disposal,” “Landfill” and “Miscellaneous unit” refiled 4-25-94 as an emergency; operative 4-25-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-94 or emergency language will be repealed by operation of law on the following day.
14. Amendment adding “Permanent household hazardous waste collection facility” and amendment of Note refiled 5-23-94 with amendments as an emergency; operative 5-23-94 (Register 94, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-20-94 or emergency language will be repealed by operation of law on the following day.
15. Amendment adding “Treatability study” and “Treatability study sample” filed 5-27-94 as an emergency; operative 5-27-94 (Register 94, No. 21).  A Certificate of Compliance must be transmitted to OAL by 9-26-94 or emergency language will be repealed by operation of law on the following day.
16. Amendment adding “Drip pad” filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
17. Adoption of “Corrective action management unit” and “Remediation waste” and amendment of “Disposal facility,” “Hazardous waste facility,” “Land disposal,” “Landfill” and “Miscellaneous unit” refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
18. Amendment adding “Permanent household hazardous waste facility” and amendment of Note refiled 9-19-94 with amendments as an emergency; operative 9-19-94 (Register 94, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-95 or emergency language will be repealed by operation of law on the following day.
19. Amendment adding “Treatability study” and “Treatability study sample” refiled 9-19-94 as an emergency; operative 9-19-94 (Register 94, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-95 or emergency language will be repealed by operation of law on the following day.
20. New definitions “Containment building,” “Debris” and “Hazardous debris,” repealer of “Inorganic solid debris,” amendment of “Pile,” new “Underlying hazardous constituent,” and amendment of “Wastewaters” and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
21. Adoption of “Corrective action management Unit” and “Remediation waste” and amendment of “Disposal Facility”, “Hazardous waste Facility”, Land disposal”, “Landfill” and “Miscellaneous Unit” refiled 12-22-94 as an emergency; operative 12-22-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-21-95 or emergency language will be repealed by operation of law on the following day.
22. Amendment adding “Treatability study” and “Treatability study sample” refiled 1-13-95 as an emergency; operative 1-13-95 (Register 95, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-95 or emergency language will be repealed by operation of law on the following day.
23. New definitions “Containment building,” “Debris” and “Hazardous debris,” repealer of “Inorganic solid debris,” amendment of “Pile,” new “Underlying hazardous constituent,” and amendment of “Wastewaters” and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
24. “Permanent household hazardous waste collection facility” repealed by operation of Government Code section 11346.1(f) (Register 95, No. 10).
25. Amendment adding “Permanent household hazardous waste collection facility” filed 3-8-95; operative 3-8-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 10).
26. Certificate of Compliance as to 1-13-95 order transmitted to OAL 4-10-95 and filed 5-22-95 (Register 95, No. 21).
27. Editorial correction of Reference cite (Register 95, No. 25).
28. New definitions “Containment building,” “Debris” and “Hazardous debris,” repealer of “Inorganic solid debris,” amendment of “Pile,” new “Underlying hazardous constituent” and amendment of “Wastewaters” and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
29. Amendments of definitions “Existing tank system” and “New tank system” and Note filed 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
30. New definitions “Corrective action management unit” and “Remediation waste” and amendment of “Disposal facility,” “Hazardous waste facility,” “Land disposal,” “Landfill” and “Miscellaneous unit” refiled 6-29-95 as an emergency; operative 6-29-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-95 or emergency language will be repealed by operation of law on the following day.
31. New definitions “Replacement unit,” Sump” and “Leachate collection and removal system/leak detection system” filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
32. New definition “Sorbent” filed 8-8-95 as an emergency; operative 8-8-95 (Register 95, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-6-95 or emergency language will be repealed by operation of law on the following day.
33. Amendment of definition “Permanent household hazardous waste collection facility” and Note filed 8-30-95 as an emergency; operative 8-30-95 (Register 95, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-28-95 or emergency language will be repealed by operation of law on the following day.
34. Reinstatement of section as it existed prior to emergency amendment filed 9-15-95 by operation of Government Code section 11346.1(f) (Register 95, No. 37).
35. New definitions “Containment building,” “Debris” and “Hazardous debris,” repealer of  “Inorganic solid debris,” amendment of “Pile,” new “Underlying hazardous constituent,” and amendment of “Wastewaters” and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
36. Amendment of definitions “Existing tank system” and “New tank system” and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
37. New definitions “Corrective action management unit” and “Remediation waste,” amendment of “Disposal facility,” “Hazardous waste facility,” “Land disposal,” “Landfill” and “Miscellaneous unit,” and amendment of Note refiled 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
38. Amendment of definition “Permanent household hazardous waste collection facility” and Note refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
39. Change without regulatory effect amending “Fractionation operation” filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
40. Certificate of Compliance as to 10-26-95 order transmitted to OAL 11-30-95 and filed 1-16-96 (Register 96, No. 3).
41. Certificate of Compliance as to 10-24-94 order including amendment of definitions “underlying hazardous constituent” and “wastewaters” and amendment of Note transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
42. Amendment of definitions “Existing tank system” and “New tank system” and Note refiled 2-16-96 as an emergency; operative 2-16-96 (Register 96, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-15-96 or emergency language will be repealed by operation of law on the following day.
43. Amendment of definition “Permanent household hazardous waste collection facility” and Note refiled 4-25-96 as an emergency; operative 4-25-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-96 or emergency language will be repealed by operation of law on the following day.
44. Editorial correction of definition “Existing tank system” subsection (b) (Register 96, No. 25).
45. Amendment of definitions “Existing tank system” and “New tank system” and Note refiled 6-17-96 as an emergency; operative 6-17-96 (Register 96, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-15-96 or emergency language will be repealed by operation of law on the following day.
46. New definition “Carbon regeneration unit,” amendment of definitions of “Department,” “Director,” “Incinerator,” and “Industrial furnace,” new definitions “Infrared incinerator,” “Plasma arc incinerator,” and “Sludge dryer,” and amendment of Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
47. Amendment of definition “Permanent household hazardous waste collection facility” and Note refiled 8-23-96 as an emergency; operative 8-23-96 (Register 96, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-96 or emergency language will be repealed by operation of law on the following day.
48. Amendment of “Resource Recovery Facility” and repealer of “Series A Resource Recovery Facility Permit,” “Series B Resource Recovery Facility Permit,” and “Series C Resource Recovery Facility Permit” filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
49. Amendment of definitions “Existing tank system” and “New tank system” and amendment of Note refiled 10-15-96 as an emergency; operative 10-15-96 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-12-97 or emergency language will be repealed by operation of law on the following day.
50. Certificate of Compliance as to 8-23-96 order transmitted to OAL 9-27-96 and filed 11-7-96 (Register 96, No. 45).
51. Amendment of definition of “Miscellaneous unit” filed 12-17-96 as an emergency; operative 12-17-96 (Register 96, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-16-97 or emergency language will be repealed by operation of law on the following day.
52. Change without regulatory effect adding new definitions “RCRA Hazardous Waste Facility Permit” and “RCRA Permit” filed 12-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 51).
53. Amendment of definitions “Existing tank system” and “New tank system” and amendment of Note refiled 2-11-97 as an emergency, including additional amendment of Note; operative 2-11-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-11-97 or emergency language will be repealed by operation of law on the following day.
54. Reinstatement of section as it existed prior to 12-17-96 emergency amendment by operation of Government Code section 11346.1(f) (Register 97, No. 17).
55. Amendment of definition of “Miscellaneous unit” filed 4-23-97 as an emergency; operative 4-23-97 (Register 97, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-21-97 or emergency language will be repealed by operation of law on the following day.
56. Change without regulatory effect amending definitions of “Corrective action management unit,” “Hazardous waste facility” and “Remediation waste” filed 6-2-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 23).
57. Change without regulatory effect amending definition of “RCRA Hazardous Waste Facility Permit” filed 6-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
58. Certificate of Compliance as to 2-11-97 order transmitted to OAL 6-10-97; disapproved by OAL and order of repeal as to 2-11-97 filed on 7-24-97 (Register 97, No. 30).
59. Certificate of Compliance as to 2-11-97 order, including amendment of section, resubmitted to OAL and approved on 7-24-97 (Register 97, No. 30).
60. Change without regulatory effect amending definition of “Containment building” and “Wastewaters” filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
61. Reinstatement of section as it existed prior to 4-23-97 emergency amendment by operation of Government Code section 11346.1(f) (Register 97, No. 35).
62. Amendment of definition of “Miscellaneous unit” filed 8-26-97 as an emergency; operative 8-26-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-97 or emergency language will be repealed by operation of law on the following day.
63. Amendment of definition of “Miscellaneous unit” refiled 12-30-97 as an emergency, including amendment of Note; operative 12-30-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-29-98 or emergency language will be repealed by operation of law on the following day.
64. New definition of “Used oil re-refining distillation bottoms” and amendment of Note filed 2-3-98; operative 3-5-98 (Register 98, No. 6).
65. Certificate of Compliance as to 12-30-97 order, including further amendment of definition of “Miscellaneous unit,” transmitted to OAL 4-3-98 and filed 5-15-98 (Register 98, No. 20).
66. New definitions of “Sorb” and “Sorbent” filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
67. Change without regulatory effect amending definitions of “Container” and “Vehicle” filed 9-29-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 40).
68. Editorial correction implementing 9-29-98 order and adding History (Register 98, No. 44).
69. Amendment of definition of “Hazardous waste facility” and amendment of Note filed 11-19-98 as an emergency; operative 11-19-98 (Register 98, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-99 or emergency language will be repealed by operation of law on the following day.
70. New definitions of “Authorized agency,” “Certified Unified Program Agency” and “Unit” filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
71. Amendment of definition of “Hazardous waste facility” and amendment of Note refiled 3-19-99 as an emergency; operative 3-20-99 (Register 99, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-19-99 or emergency language will be repealed by operation of law on the following day.
72. New definitions of “Authorized agency,” “Certified Unified Program Agency” and “Unit” refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
73. Change without regulatory effect adding new definitions of “Ironganic metal-bearing waste” and “Soil” and repealing and adding new definition of “Underlying hazardous constituent” filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
74. Change without regulatory effect amending section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
75. New definitions of “Authorized agency,” “Certified Unified Program Agency” and “Unit” refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
76. New definitions of “Authorized agency,” “Certified Unified Program Agency” and “Unit” refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
77. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
78. Change without regulatory effect amending definitions of “Equipment” and “Open-ended valve or line” and adding definition of “Sampling connection system” filed 8-3-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 31).
79. Change without regulatory effect amending definitions of “Hazardous debris” and “Soil” and adding definitions of “RCRA characteristic” and “RCRA characteristic hazardous waste” filed 9-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 37).
80. New definition of “Bulk container” and amendment of Note filed 10-19-2000; operative 11-18-2000 (Register 2000, No. 42).
81. Change without regulatory effect adding new definitions of “Consolidated Manifest” and “Consolidated Transporter” filed 12-31-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 1).
82. Amendment of first paragraph and Note filed 2-8-2002; operative 2-8-2002 (Register 2002, No. 6).
83. New definition of “Mercury-containing motor vehicle light switch” filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
84. Change without regulatory effect amending definition of “Soil” filed 2-26-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 9).
85. Change without regulatory effect amending definition of “Disclosure statement” filed 3-22-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 13).
86. Amendment relocating article 2 heading to precede section 66260.1 filed 3-26-2004; operative 4-25-2004. Approved by Fair Political Practices Commission 2-9-2004 (Register 2004, No. 13). 
87. New definitions of “Cathode ray tube,” “Covered electronic device,” “Covered electronic waste” and “LCD with a mercury-containing lamp” and amendment of Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
88. Change without regulatory effect amending definition of “Remediation waste” and amending Note filed 7-19-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 30).
89. Editorial correction implementing reinstatement of section as it existed prior to 3-19-99 emergency amendment by operation of Government Code section 11346.1(f)  (Register 2005, No. 26).
90. New definitions of “Cathode ray tube,” “Covered electronic device,” “Covered electronic waste” and “LCD with a mercury-containing lamp” and amendment of Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
91. Change without regulatory effect adding definitions of “Consignment state,” “Destination state,” “Generator state,” “`Manifest' and `California Uniform Hazardous Waster Manifest'” and “Manifest tracking number,” amending definitions of “Bulk Container,”  “Designated facility,” “Manifest” and “Manifest document number,” adding version of definition of “Designated facility” to take effect 9-5-2006 and amending Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
92. New definitions of “Cathode ray tube,” “Covered electronic device,” “Covered electronic waste” and “LCD with a mercury-containing lamp” and amendment of Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
93. Certificate of Compliance as to 5-8-2008 order, including amendment of first paragraph and definition of “Hazardous waste,” “Mercury-containing motor vehicle light switch” and “Scrap metal,” new definitions of “CRT,” “CRT device,” “Electronic device” and “Universal waste,” repealer of definitions of “Covered electronic device,” “Covered electronic waste” and “LCD with a mercury-containing lamp” and amendment of Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
94. Editorial correction of History 93 (Register 2009, No. 10.)
95. Change without regulatory effect repealing definitions of “Border zone property” and ``Hazardous waste property” and amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§66260.11. References.
Note     •     History

(a) When used in this division, the following publications are incorporated by reference:
(1) “Analysis of Pesticides in Humans and Environmental Samples,” EPA-600/8-80-038, USEPA June 1980, available from the National Technical Information Service; United States Department of Commerce; Springfield, VA 22161, (703) 487-4650;
(2) API Publication 2517, Third Edition, February 1989, “Evaporative Loss from External Floating-Roof Tanks,” available from the American Petroleum Institute, 1220 L Street, N.W., Washington, D.C. 20005;
(3) API Publication 1604, Third Edition, March 1996, “Recommended Practice for the Closure of Underground Petroleum Storage Tanks,” available from the American Petroleum Institute, 1220 L Street, N.W., Washington, D.C., 20005; 
(4) API Publication 2015, May 1994, “Safe Entry and Cleaning of Petroleum Storage Tanks,” available from the American Petroleum Institute, 1220 L Street, N.W., Washington, D.C. 20005; 
(5) ASTM Standard D-3278-78, “ASTM Standard Test Methods for Flash Point of Liquids by Setaflash Closed Tester,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; 

(6) 	ASTM Standard D-420-87, “ASTM Standard Guide for Investigating and Sampling Soil and Rock,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; 

(7) 	ASTM Standard D-346-78, “ASTM Standard Method of Collection and Preparation of Coke Samples for Laboratory Analysis,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959;
(8) ASTM Standard D-2234-82, “ASTM Standard Method of Collection of a Gross Sample of Coal,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959;

(9) 	ASTM Standard D-1452-80, “ASTM Standard Practice for Soil Investigation and Sampling by Auger Boring,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959;
(10) ASTM Standard D-140-88, “ASTM Standard Practice for Sampling Bituminous Materials,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; 
(11) ASTM Standard D-93-79 or D-93-80, “ASTM Standard Test Methods for Flash Point by Pensky-Martens Closed Cup Tester,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; 
(12) ASTM Standard D-1946-82, “ASTM Standard Method for Analysis of Reformed Gas by Gas Chromatography,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959;
(13) ASTM Standard D-2382-83, “ASTM Standard Test for Heat of Combustion of Hydrocarbon Fuels by Bomb Calorimeter (High-Precision Method),” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; 
(14) ASTM Standard D-2879-92, “ASTM Standard Test Method for Vapor Pressure-Temperature Relationship and Initial Decomposition Temperature of Liquids by Isoteriscope,” available from American Society for Testing and Materials (ASTM), 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; 

(15) 	ASTM Standard E-169-87, “ASTM Standard Practice for General Techniques of Ultraviolet Visible Quantitative Analysis,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; 
(16) ASTM Standard E-168-88, “ASTM Standard Practices for General Techniques of Infrared Quantitative Analysis,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959;
(17) ASTM Standard E-260-85, “ASTM Standard Practices for Packed Column Gas Chromatography,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; 
(18) ASTM Standard E-2267-88, “ASTM Standard Test Method for Aromatics in Light Naphthas and Aviation Gasolines by Gas Chromatography,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959;
(19) ASTM Standard E-926-94, Test Method C-Bomb, Acid Digestion Method, “ASTM Standard Test Methods for Preparing Refuse-Derived Fuel (RDF) Samples for Analyses of Metals,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; 
(20) ASTM Standard G-21-90, “Standard Practice for Determining Resistance of Synthetic Polymer Materials to Fungi,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959;
(21) ASTM Standard G-22-76 (1984b), “Standard Practice for Determining Resistance of Plastics to Bacteria,” available from American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959;
(22) “Fire Protection Guide on Hazardous Materials” (1977), available from National Fire Protection Association, 1 Battery March Park, P.O. Box 9101, Quincy, MA 02669-9101, (800) 344-3555;
(23) “Fire Protection Guide on Hazardous Materials” (1984), available from National Fire Protection Association, 1 Battery March Park, P.O. Box 9101, Quincy, MA 02669-9101, (800) 344-3555;
(24) “Flammable and Combustible Liquids Code” (1981), available from the National Fire Protection Association, 1 Battery March Park, P.O. Box 9101, Quincy, MA 02269-9101, (800) 344-3555; 
(25) NFPA 327, 1993 Edition, “Standard Procedures for Cleaning or Safeguarding Small Tanks and Containers Without Entry”, available from the National Fire Protection Association, 1 Battery March Park, P.O. Box 9101, Quincy, MA 02269-9101, (800) 344-3555; 
(26) “Geotechnical Branch Training Manual Nos. 4, 5 and 6,” published by the United States Bureau of Reclamation, January 1986. These manuals are available from: Bureau of Reclamation Engineering and Research Center; Attention: D-7923.A; P.O. Box 25007; Denver, Colorado 80255;
(27) “Interim Method of the Determination of Asbestos in Bulk Insulation Samples,” 40 CFR, Part 763, Subpart F, Appendix A, published July 1, 1989. A bound version of 40 CFR is available from the Superintendent of Documents; United States Government Printing Office, Washington, D.C. 20402, (202) 783-3238;
(28) “Methods for Chemical Analysis of Water and Wastes,” EPA-600/4-79-020, U.S. Environmental Protection Agency, 1979. This reference is available from the Superintendent of Documents; United States Government Printing Office; Washington, D.C. 20402, (202) 783-3238;
(29) “Standard Methods for the Examination of Water and Wastewater,” 14th Edition, available from the American Public Health Association, 1015 Eighteenth Street NW, Washington, D.C. 20036.
(30) “Standard Methods for the Examination of Water and Wastewater,” 16th Edition, available from the American Public Health Association, 1015 Eighteenth Street NW, Washington, D.C. 20036.
(31) “Static Acute Bioassay Procedures for Hazardous Waste Samples,” California Department of Fish and Game, Water Pollution Control Laboratory, November 1988. This reference is available from the California Department of Fish and Game, Water Pollution Control Laboratory, 2005 Nimbus Road, Rancho Cordova, CA 95670;
(32) “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846 [Second Edition, 1982 as amended by Update I (April, 1984), and Update II (April, 1985)];
(33) “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846 [Third Edition (November, 1986), as amended by Updates I (July 1992), II (September, 1994), IIA (August, 1993), IIB (January, 1995), and III (December 1996)]. The Third Edition of SW-846 and Updates I, II, IIA, IIB, and III (document number 955-001-00000-1) are available from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402, (202) 512-1800. Copies of the SW-846, Third Edition and its updates are also available from the National Technical Information Service (NTIS), 5285 Port Royal Road, Springfield, VA 22161, (703) 487-4650. 
(34) The USEPA SW-846 documents may be ordered separately as follows:
A SW-846 (Third Edition): Order No. PB 88-239223;
B Update I: Order No. PB 94-170313;
C Update II and IIA: Order No. PB 95-187225;
D Update IIB: Order No. PB 95-234480;
E Update III: Order No. PB 97-156137;
F CD-ROM, single user: Order No. PB 95-503249;
G LAN, 2-5 users: Order No. PB 95-504171;
H Copies may be inspected at the USEPA Library, 1200 Pennsylvania Avenue, NW, Washington, D.C. 20460;
I A suffix of ``A'' in the SW-846 method number indicates revision one (the method has been revised once). A suffix of ``B'' in the method number indicates revision two (the method has been revised twice). A suffix of ``C'' in the method number indicates revision three (the method has been revised three times). A suffix of ``D'' in the method number indicates revision four (the method has been revised four times).
(35) SW-846 Method 0010, dated September 1986 and in the Basic Manual, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(36) SW-846 Method 0020, dated September 1986 and in the Basic Manual, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(37) SW-846 Method 0030, dated September 1986 and in the Basic Manual, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(38) SW-846 Method 1320, dated September 1986 and in the Basic Manual, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(39) SW-846 Method 1311, dated September 1992 and in Update I, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(40) SW-846 Method 1330A, dated September 1992 and in Update I, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(41) SW-846 Method 1312 dated September 1994 and in Update III, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(42) SW-846 Method 0011, dated December 1996 and in Update III, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(43) SW-846 Method 0023A, dated December 1996 and in Update III, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(44) SW-846 Method 0031, dated December 1996 and in Update III, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(45) SW-846 Method 0040, dated December 1996 and in Update III, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(46) SW-846 Method 0050, dated December 1996 and in Update III, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(47) SW-846 Method 0051, dated December 1996 and in Update III, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(48) SW-846 Method 0060, dated December 1996 and in Update III, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(49) SW-846 Method 0061, dated December 1996 and in Update III, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(50) SW-846 Method 9071B, dated April 1998 and in Update IIIA, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(51) SW-846 Method 1010A, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(52) SW-846 Method 1020B, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(53) SW-846 Method 1110A, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(54) SW-846 Method 1310B, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(55) SW-846 Method 9010C, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(56) SW-846 Method 9012B, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(57) SW-846 Method 9040C, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(58) SW-846 Method 9045D, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(59) SW-846 Method 9060A, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(60) SW-836 Method 9070A, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(61) SW-846 Method 9095B, dated November 2004 and in Update IIIB, available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;
(62) “Title 40, Code of Federal Regulations,” (40 CFR), revised as of July 1, 2010. A bound version of 40 CFR is available from the Superintendent of Documents; United States Government Printing Office, Washington, D.C., 20402, (202) 783-3238.
(63) “Uncontrolled Hazardous Waste Site Ranking System, A User's Manual” (1982), MTR-82W111, is available from the Mitre Corporation, 7525 Colshire Drive, McClean, VA 22102-3481, (703) 883-6000.
(64) USEPA Publication EPA-450/2- 81-005, December 1981, APTI Course 415: Control of Gaseous Emissions, available from National Technical Information Service, 5285 Port Royal Road, Springfield, VA 22161.
(65) USEPA Publication No. EPA-450/R-92-019, October 1992, “Screening Procedures for Estimating the Air Quality Impact of Stationary Sources, Revised,” available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C. 20460; 
(66) USEPA Publication EPA-450/2-81-005, December 1981, APTI Course 415: ''Control of Gaseous Emissions,'' available from the National Technical Information Service, 5285 Port Royal Road, Springfield, VA 22161; or from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402, (202) 512-1800;

(67) 	USEPA Publication No. EPA-450/R-92-019, October 1992, ''Screening Procedures for Estimating the Air Quality Impact of Stationary Sources, Revised'', available from USEPA, 1200 Pennsylvania Avenue, NW, Washington, D.C., 20460;

(68) 	OECD test 301B: (CO2 Evolution (Modified Strum Test)), available from the Organisation for Economic Co-operation and Development, Environment Direcorate, 2 rue Andre Pascal, 75775 Paris Cedex 16, France;

(69) 	OECD Green List of Wastes (revised May 1994), Amber List of Wastes and Red List of Wastes (both revised May 1993) as set forth in Appendix 3, Appendix 4 and Appendix 5, respectively, to the OECD Council Decision C(92)39/FINAL (Concerning the Control of Transfrontier Movements of Wastes Destined for Recovery Operations), available from the Organisation for Economic Co-operation and Development, Environment Direcorate, 2 rue Andre Pascal, 75775 Paris Cedex 16, France.
(70) Method 1664, Revision A, n-Hexane Extractable Material (HEM; Oil and Grease) and Silica Gel Treated n-Hexane Extractable Material (SGT-HEM; Non-polar Material) by Extraction and Gravimetry, PB99-121949, available from the National Technical Information Service, 5285 Port Royal Road, Springfield, VA 22161 or from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402, (202) 512-1800;
(b) The references listed in subsection (a) of this section are available for inspection at the California Environmental Protection Agency, Department of Toxic Substances Control, Technical Reference Library, 1001 I Street, 2nd Floor, Sacramento, CA 95812-0806.
NOTE

Authority cited: Sections 25141, 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25141, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 260.11.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. New subsections (a)(22)-(29) and amendment of Note filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
3. Editorial correction of printing error repositioning subsection (b) (Register 93, No. 26).
4. Amendment of subsection (a)(19) filed 1-31-96; operative 1-31-96 (Register 96, No. 5).
5. New subsection (a)(30) and amendment of Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
6. Amendment of subsection (a)(19) filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
7. Change without regulatory effect amending subsection (a)(19) filed 10-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 44).
8. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
9. New subsections (a)(31)-(33) filed 8-6-98; operative 8-6-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
10. New subsections (a)(36) and (a)(37) filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
11. New subsections (a)(34) and (a)(35) and amendment of Note filed 3-17-99; operative 4-16-99 (Register 99, No. 12).
12. Change without regulatory effect amending subsection (a)(1), adding subsection (a)(2), renumbering subsections, and amending newly designated subsections (a)(14), (a)(21), (a)(22), (a)(29), (a)(31) and subsection (b) filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
13. Change without regulatory effect amending subsections (a)(1)-(2), renumbering and amending subsections, adopting new subsections (a)(34)-(61) and (a)(66)-(71) and amending subsection (b) filed 11-21-2011 pursuant to Health and Safety Code section 25159.1 (Register 2011, No. 47).
§66260.12. Acronyms and Abbreviations.
Note     •     History

As used in this division, the following acronyms and abbreviations have the specified meaning:

“API”	means American Petroleum Institute;

“ASTM”	means American Society for Testing and Materials;

“C”	means RCRA hazard code for corrosive waste and the potential hazardous property of being corrosive;

“CCR”	means California Code of Regulations;

“CEQA”	means the California Environmental Quality Act (Division 13 (commencing with section 21000) of the Public Resources Code);

“CERCLA”	means Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as amended. (42 U.S.C. section 9610 et seq.);

“CFR”	means Code of Federal Regulations;

“CUPA”	means the “certified unified program agency” as defined in section 66260.10

“CWA”	means Clean Water Act of 1977, as amended (33 U.S.C. section 1251 et seq.);

“DOT”	means Department of Transportation, Federal;

“EP Toxicity”	means a toxicity characteristic determined pursuant to USEPA Method 1310 from SW-846, Test Methods for Evaluating Solid Waste, Physical/Chemical Methods, 2nd or 3rd Edition;

“FFDCA”	means the Federal Food, Drug, and Cosmetic Act (21 U.S.C. section 301-392).

“FIA”	means Federal Insurance Administration;

“FR”	means Federal Register;

“H”	means RCRA hazard code for Acute Hazardous Waste;

“HSC”	means Health and Safety Code;

“HWCA”	means Hazardous Waste Control Act (chapter 6.5 (commencing with section 25100) of division 20 of the Health and Safety Code);

“I”	means RCRA hazard code for ignitable waste and the potential hazardous property of being ignitable;

“Kg”	means the unit of measure, kilogram;

“NACE”	means National Association of Corrosion Engineers;

“NFPA“	means National Fire Protection Association;

“NPDES”	means National Pollutant Discharge Elimination System;

“POHC”	means Principal Organic Hazardous Constituent;

“POTW”	means Publicly Owned Treatment Works;

“R”	means RCRA hazard code for reactive waste and the potential hazardous property of being reactive;

“RCRA”	means Resource Conservation and Recovery Act of 1976, as amended (42 U.S.C. section 6901 et seq.);

“SAE”	means Society of Automotive Engineers;

“SAE steel”	means a grade or type of steel;

“SDWA”	means Safe Drinking Water Act of 1976, as amended (42 U.S.C. section 300 f et seq.);

“SIC”	means Standard Industrial Classification;

“SQG”	means Small Quantity Generator;

“STLC”	means Soluble Threshold Limit Concentration;

“SW-846”	means USEPA “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”;

“SWMU”	means Solid Waste Management Unit;

“T”	means RCRA hazard code for Toxic Waste with a constituent or constituents listed in Appendix VIII of chapter 11;

“TC”	means Toxicity Characteristic;

“TCLP”	means Toxicity Characteristics Leaching Procedure;

“TTLC”	means Total Threshold Limit Concentration;

“TTU”	means Transportable Treatment Unit;

“UIC”	means Underground Injection Control;

“U.S.C.”	means United States Code;

“USDW”	means Underground Source of Drinking Water;

“USEPA”	means United States Environmental Protection Agency;

“WET”	means Waste Extraction Test;

“X”	means the potential hazardous property of being toxic by any of the parameters in section 66261.24;
NOTE

Authority cited: Sections 25141, 25150, 25159, 25201.4 and 58012, Health and Safety Code. Reference: Sections 25141, 25159, 25201.4, 25404 and 25404.3, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment adding new definition of “CUPA” and amendment of Note filed 8-6-98; operative 8-6-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
3. Amendment of definition of “CUPA” filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
4. Amendment of definition of “CUPA”  refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
5. Amendment of definition of ``CUPA” refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of definition of ``CUPA” refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
7. Amendment adding new definition of ``FFDCA” and amendment of Note filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
9. Amendment adding new definition of ``FFDCA” and amendment of Note refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
10. Amendment adding new definition of ``FFDCA” and amendment of Note refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
11. Amendment adding new definition of ``FFDCA” and amendment of Note refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
12. Amendment adding new definition of ``FFDCA” and amendment of Note refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
13. Amendment adding new definition of ``FFDCA” and amendment of Note refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
14. Change without regulatory effect amending section filed 11-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 47).
Article 3. Variances
§66260.21. Petitions for Equivalent Testing or Analytical Methods.
Note     •     History

(a) The Department shall only grant a variance from the provisions of this chapter to allow use of a test method or analytical method alternative to that prescribed in chapter 11 of this division for use in classifying a specific non-RCRA hazardous waste or a RCRA hazardous waste if the proposed testing or analytical method has been added to 40 CFR Parts 261, 264, or 265 per 40 CFR section 260.21. For the variance to be granted, the applicant must show to the satisfaction of the Department that the proposed alternative test method or analytical method is equal or superior to the appropriate corresponding method in chapter 11 of this division, when applied to the specific waste with respect to accuracy, precision, sensitivity and stringency.
(b) An application for a variance pursuant to section 66260.21(a) shall include all of the following:
(1) the name and address of the generator of the waste and where the waste is located;
(2) a complete description of the waste, including its composition and source or process of generation;
(3) a complete description of the proposed alternative test method or analytical method, including all equipment and procedural steps used;
(4) a comparison of results obtained from a statistically significant number of replicate trials with the proposed alternative test method or analytical method with those results obtained from use of the appropriate corresponding method prescribed in chapter 11 of this division when both methods are applied simultaneously to the applicant's waste;
(5) an assessment of any factors which might interfere with or limit the applicability of the proposed test method or analytical method;
(6) a description of the quality control and quality assurance procedures to be followed to ensure the accuracy, precision, sensitivity and stringency of the proposed test method or analytical method.
(c) The Department shall, within 60 days after receipt of an application for a variance pursuant to section 66260.21(a), notify the applicant that the application is complete and accepted for processing by the Department or that the application is incomplete and what further information is required.
(d) The Department shall, within 180 days of receipt of a complete application for a variance pursuant to section 66260.21(a), notify the applicant that the request for a variance is granted or denied.
(e) If the variance requested pursuant to section 66260.21(a) is denied, the Department shall provide to the applicant in writing the reason for the denial.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code and Section 15376, Government Code. Reference: Sections 25141, 25143 and 25159.5, Health and Safety Code and Section 15376, Government Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66260.22. Petitions to Include Other Wastes Under Chapter 23.
Note     •     History

(a) Any person seeking to add a hazardous waste or a category of hazardous waste to the universal waste regulations contained in chapter 23 of this division shall petition for a regulatory amendment under this section and Government Code section 11340.6. 
(b) To be successful, the petitioner shall demonstrate to the satisfaction of the Director that regulation under the Universal Waste Rule contained in chapter 23 of this division: 
(1) is appropriate for the waste or category of waste; 
(2) will improve management practices for the waste or category of waste; and 
(3) will improve implementation of the hazardous waste program. 
(c) The petition shall include the information, in writing, required by Government Code section 11340.6. 
(d) The petition shall address as many of the factors listed in section 66260.23 as are appropriate for the waste or waste category addressed in the petition. 
(e) The Director will evaluate and grant or deny petitions using the factors listed in section 66260.23 and the petition review process specified in Government Code section 11340.7. The decision will be based on the weight of evidence showing that regulation under chapter 23 of this division is appropriate for the waste or category of waste, will improve management practices for the waste or category of waste, and will improve implementation of the hazardous waste program. 
NOTE

Authority cited: Sections 25159 and 58012, Health and Safety Code. Reference: Section 25159.5, Health and Safety Code; and 40 CFR Section 273.80. 
HISTORY

1. New section filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
2. Amendment of subsection (a) and amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
§66260.23. Factors for Petitions to Include Other Wastes Under Chapter 23.
Note     •     History

The Director will evaluate petitions submitted under section 66260.22 using the following factors: 
(a) The waste or category of waste, as generated by a wide variety of generators, is listed in article 4 of chapter 11 of this division, or if not listed, a proportion of the waste stream exhibits one or more characteristics of hazardous waste identified in article 3 of chapter 11 of this division. [When a characteristic waste is added to the universal waste regulations in chapter 23 by using a generic name to identify the waste category (e.g., batteries), the definition of universal waste in section 66273.9 of chapter 23 will be amended to include only hazardous waste portions of the waste category (e.g., hazardous waste batteries).] Thus, only the portion of the waste stream that exhibits one or more characteristics (i.e., is hazardous waste) is subject to the universal waste regulations of chapter 23; 
(b) The waste or category of waste is not exclusive to a specific industry or group of industries, is commonly generated by a wide variety of types of establishments (including for example, households, retail and commercial businesses, office complexes, conditionally exempt small quantity generators, small businesses, governmental organizations, as well as large industrial facilities); 
(c) The waste or category of waste is generated by a large number of generators and is frequently generated in relatively small quantities by each generator; 
(d) Systems to be used for collecting the waste or category of waste (including packaging, marking, and labeling practices) would ensure close stewardship of the waste; 
(e) The risk posed by the waste or category of waste during accumulation and transport is relatively low compared to other hazardous wastes, and specific management standards proposed or referenced by the petitioner (e.g., waste management requirements appropriate to be added to sections 66273.33, 66273.33.5, and 66273.52; and/or applicable Department of Transportation requirements) would be protective of human health and the environment during accumulation and transport; 
(f) Regulation of the waste or waste category under chapter 23 will increase the likelihood that the waste will be diverted from non-hazardous waste management systems (e.g., the municipal wastestream, non-hazardous industrial or commercial wastestream, municipal sewer or stormwater systems) to recycling, treatment or disposal in compliance with this division and division 20 of the California Health and Safety Code; 
(g) Regulation of the waste or category of waste under chapter 23 will improve implementation of and compliance with the hazardous waste regulatory program; and/or; 
(h) Such other factors as may be appropriate. 
NOTE

Authority cited: Sections 25159 and 58012, Health and Safety Code. Reference: Section 25159, Health and Safety Code; and 40 CFR Section 273.81. 
HISTORY

1. New section filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
2. Amendment filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66260.200. Classification of a Waste as Hazardous or Nonhazardous.
Note     •     History

(a) A waste shall be classified a hazardous waste if it meets the definition of a hazardous waste in section 66261.3.
(b) No person shall deviate from the provisions of this chapter in the management of a hazardous waste, except as provided for in section 66260.200(f) or section 66260.210.
(c) It shall be the generator's responsibility to determine if the waste is classified as a hazardous waste pursuant to section 66260.200(a). If the generator determines that the waste is hazardous, the waste shall be managed pursuant to the provisions of this division. If the generator determines that the waste is nonhazardous, the generator, except as provided for in section 66260.200(f), may either proceed to manage the waste as nonhazardous or apply to the Department for concurrence with the nonhazardous determination through the notification procedure set forth in section 66260.200(d) before managing the waste as nonhazardous. A generator who incorrectly determines that a hazardous waste is nonhazardous and fails to manage the waste pursuant to the provisions of this division is in violation of the requirements of this division and is subject to enforcement action.
(d) If a person chooses to obtain departmental concurrence with the nonhazardous waste determination, a notification shall be submitted to the Department which includes all information required by section 66260.200(m). Pending concurrence by the Department pursuant to section 66260.200(e), that person shall manage the waste as hazardous waste.
(e) The Department, within 30 days of receipt of a notification pursuant to section 66260.200(d), shall acknowledge in writing receipt of the notification. Within 60 days of receipt of a notification, the Department shall notify the sender of the notification in writing that concurrence with that person's classification of the waste as nonhazardous is approved, disapproved, or that the notification is incomplete or inadequate and what additional information is needed. Upon receipt of the additional information, the Department, within 60 days of receipt of the additional information, shall notify the sender of the notification in writing that concurrence of that person's classification of the waste as nonhazardous is approved or disapproved. The notification shall be considered disapproved if the sender of the notification fails to provide the additional information within 90 days from the date the information was requested. However, that person may request in writing an extension, up to 90 days, within which the information shall be submitted or the notification shall be considered disapproved.
(f) If a person wishes to classify and manage as nonhazardous a waste which would otherwise be a non-RCRA hazardous waste because it has mitigating physical or chemical characteristics which render it insignificant as a hazard to human health and safety, livestock and wildlife, that person shall apply to the Department for its approval to classify and manage the waste as nonhazardous. The application for approval shall include the information required by section 66260.200(m). The Department, within 30 days of receipt of the application, shall acknowledge in writing receipt of the application. Pending written approval by the Department, the applicant shall manage the waste as hazardous waste. Within 60 days of receipt of an application, the Department shall notify the applicant in writing that the application for classification and management of the waste as nonhazardous is approved, disapproved, or that the application is incomplete or inadequate and what additional information is needed. Upon receipt of the additional information, the Department, within 60 days of receipt of the additional information, shall notify the applicant in writing that the application for classification and management of the waste as nonhazardous is approved or disapproved. The application shall be considered disapproved if the applicant fails to provide the additional information in writing 90 days from the date the information was requested. However, the applicant may request, in writing, an extension up to 90 days, within which the information shall be submitted or the application shall be considered disapproved.
(g) The Department may find that the notification submitted by a person pursuant to section 66260.200(d) or the application submitted pursuant to section 66260.200(f) is incomplete or inadequate for reasons which may include any of the following:
(1) the application is not complete or there is insufficient information on which to classify the waste; or
(2) the methods used in testing or analyzing the waste are not those prescribed in chapter 11 of this division, or have not been approved by the Department pursuant to section 66260.21(a) as alternative methods; or
(3) sampling and sample management were not in accord with Appendix I of chapter 11 and Table 3 of Appendix III of chapter 11; or
(4) representative samples of the waste are required pursuant to section 66260.200(k) in order that the Department may independently assess the properties of the waste.
(h) If the Department disapproves of a person's determination that a waste is nonhazardous or a person's application to manage as nonhazardous a waste which would otherwise be a non-RCRA hazardous waste, the Department shall give in writing the reason for the disapproval.
(i) If the Department at any time finds that the information submitted or generated for a determination pursuant to section 66260.200(c), a concurrence pursuant to section 66260.200(d) or an approval pursuant to 66260.200(f) was erroneous for any of the following reasons, the Department may notify that person in writing of the deficiencies:
(1) the results given in the laboratory report or other submitted data demonstrate that the waste is hazardous pursuant to the criteria given in chapter 11 of this division; or
(2) fraudulently derived information is utilized or included; or
(3) analysis or testing of the waste performed by the Department or other agencies or information available to the Department demonstrates that the waste is hazardous according to the criteria given in chapter 11 of this division.
(j) A person, upon receipt of such notice under section 66260.200(i), shall immediately cease managing the subject waste as a nonhazardous waste and shall manage the waste as hazardous waste.
That person may submit to the Department an amended notification or application. Within 30 days of receipt of an amended notification or application, the Department shall acknowledge in writing receipt of the amended notification or application. Within 60 days of receipt of an amended notification or application, the Department shall notify the sender of the notification or the applicant in writing that the notification or application is approved, disapproved, or that the notification or application is incomplete or inadequate and what additional information is needed. Upon receipt of the additional information, the Department, within 60 days of receipt of the additional information, shall notify the sender of the notification or the applicant in writing that the notification or application is approved or disapproved. The notification or application shall be considered disapproved if the additional information is not provided within 90 days from the date the information was requested. However, the sender of the notification or the applicant may request in writing an extension, up to 90 days, within which the information shall be submitted or the notification or application shall be considered disapproved.
(k) Not later than 60 days after receipt of an adequate notification or application under section 66260.200(d) or (f), the Department may request representative samples of wastes. The sender of the notification or the applicant shall maintain representative samples for that period of time. The quantity of sample submitted shall be adequate to conduct verification tests. Samples shall be collected, packaged, transported and stored in accordance with the sample management procedures in “Test Methods for Evaluating Solid Waste, Physical and Chemical Methods” (SW-846), Third Edition, incorporated by reference in section 66260.11.
(l) If the waste changes so that the prior notification or application as nonhazardous no longer adequately assesses the waste by the criteria which may render it hazardous, the waste shall be managed as hazardous.
(m) A person seeking Department concurrence with a nonhazardous determination or approval to classify and manage as nonhazardous a waste which would otherwise be a non-RCRA hazardous waste shall supply the following information to the Department:
(1) name, mailing and billing address, location, contact person and phone number for the generating facility;
(2) A description of the waste including a physical description, quantities produced per unit time, a detailed description of the generating process and current waste disposal method;
(3) information on the sampling of the waste including the name and address of the firm sampling the waste, the name(s) of the person(s) sampling the waste, dates and locations of sample collection and a description of the sampling methodology and sample handling and preservation procedures;
(4) testing laboratory information including the name, address, and certification number of the testing laboratory, the test methods used and references for locating these methods, the name(s) and qualifications of the person(s) testing the waste, the method for preparation of laboratory samples from field samples and information needed to identify each sample;
(5) laboratory results including results from all tests required by chapter 11 of this division and a listing of the waste's constituents. Results shall include analyses from a minimum of four representative samples as specified in chapter 9 of “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd Edition, U.S. Environmental Protection Agency, 1986 (incorporated by reference in section 66260.11 of this chapter);
(6) certification of the veracity of the information submitted, signed and dated by a person who is the responsible manager of the facility.
(n) Notwithstanding the time frames specified above, the Department shall not notify the applicant of the Department's decision regarding a notification submitted pursuant to subsection (d) of this section or an application submitted pursuant to subsection (f) of this section until the California Board of Equalization receives the fee assessed pursuant to Health and Safety Code section 25205.8.
NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code and Section 15376, Government Code. Reference: Sections 25205.8, 25141 and 25143, Health and Safety Code and Section 15376, Government Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Editorial correction of printing error in subsection (j) (Register 92, No. 49).
§66260.201. Classification of an Electronic Device as a Covered Electronic Device.
Note     •     History

(a) Subsequent to the dates set forth in Health and Safety Code section 25214.10.1, subdivision (d)(1) or (2) as appropriate, an electronic device that is listed in subsection (e) of this section and in subsection (c) of appendix X to chapter 11 of this division is a “covered electronic device” pursuant to chapter 8.5 of part 3 of division 30 of the Public Resources Code section 42460 et seq. unless the manufacturer of the electronic device has obtained the Department's concurrence that the electronic device is nonhazardous pursuant to subsection (d) of this section. Upon issuance of the Department's concurrence, the electronic device shall cease to be a covered electronic device. Health and Safety Code section 25214.10.1, subdivision (e)(1), prescribes the date on which the electronic device is no longer subject to chapter 8.5 of part 3 of division 30 of the Public Resources Code.
(b)(1) Each manufacturer of electronic devices sold in the State shall determine if it produces any electronic device(s) of the types listed in subsection (c) of appendix X of chapter 11 of this division, and if so, shall send an annual notice to retailers and the Board of Equalization pursuant to Health and Safety Code section 25214.10.1, subdivisions (c)(1) and (c)(2). The notice shall include all covered electronic devices listed in subsection (e) of this section that are manufactured by the manufacturer and shall include the information specified in subsection (b)(3) of this section.
(2) A manufacturer who distributes any covered electronic device for which a notice was not provided as required in subsection (b)(1) of this section, shall provide the notice to the retailer(s) no later than the date the retailer(s) first receives the covered electronic device. A manufacturer who provides a notice pursuant to subsection (b)(2) of this section remains subject to penalties for any noncompliance with subsection (b)(1)  of this section.
(3) The notice shall include all of the following:
(A) The brand name(s) of each of the covered electronic devices.
(B) A general description of each of the covered electronic devices [e.g., cathode ray tube (CRT) television, laptop computer, liquid crystal display (LCD) monitor, etc.]. 
(C) The viewable screen size for each covered electronic device. As used in this section, viewable screen size means the diagonal measurement of the output surface, as viewed by the operator of the covered electronic device, excluding any plastic, wood, metal, or other bezel material that surrounds the video display surface.
(D) At least one of the following: the product group or family, model number or series, part number or series, or a similar descriptor for each covered electronic device that will enable the retailers to determine that the electronic device is a covered electronic device. For example, a notification could include a statement such as “All (brand name) XYZ series, 15-inch through 21-inch, LCD-desktop computer monitors and all bundled computer systems containing these monitors,” rather than delineating each XYZ monitor individually.
(c) A manufacturer who incorrectly determines that a product it produces is not a listed device or fails to make a notification pursuant to subsection (b) of this section is in violation of the requirements of this division. 
(d) A manufacturer may determine that it produces an electronic device which is listed in subsection (e) of this section but which is nonhazardous, and if so, may apply to the Department for concurrence with its nonhazardous determination through the procedure set forth in section 66260.200(d). 
(e) The following electronic devices are covered electronic devices pursuant to chapter 8.5 of part 3 of division 30 of the Public Resources Code section 42460 et seq., if they have a viewable screen size [as defined in subsec. (b)(3)(C) of this section] greater than four inches:
(1) CRT-containing devices (CRT devices);
(2) CRTs;
(3) CRT-containing computer monitors;
(4) LCD-containing laptop computers;
(5) LCD-containing desktop monitors;
(6) CRT-containing televisions;
(7) LCD-containing televisions (excluding LCD projection televisions);
(8) Plasma televisions (excluding plasma projection televisions); and
(9) Portable DVD players with LCDs.
NOTE

Authority cited: Sections 25140, 25141, 25214.9 and 25214.10.2, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25140, 25141, 25214.9 and 25214.10.1, Health and Safety Code; and Section 42463, Public Resources Code. 
HISTORY

1. New section filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsections (a) and (b)(1)-(2) and amendment of Note filed 12-27-2004 as an emergency; operative 12-27-2004 (Register 2004, No. 53). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 1-1-2007 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note filed 4-11-2005 as an emergency; operative 4-11-2005 (Register 2005, No. 15). Pursuant to Public Resources Code section 42475.2 and Health and Safety Code section 25214.10.2, a Certificate of Compliance must be transmitted to OAL by 4-11-2007 or emergency language will be repealed by operation of law on the following day.
4. New section, including subsequent emergency amendments, refiled 6-5-2006 as an emergency; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
5. Editorial correction of subsection (b)(3)(D) (Register 2006, No. 24).
6. New section, including subsequent emergency amendments, refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
7. Certificate of Compliance as to 5-8-2008 order, including further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
8. Editorial correction of History 7 (Register 2009, No. 10.)
§66260.202. Restrictions on the Use of Heavy Metals in Covered Electronic Devices.
Note     •     History

(a) On or after January 1, 2007, no person shall sell or offer for sale in California, a covered electronic device if the device is prohibited from being sold or offered for sale in the European Union on or after its date of manufacture due to the concentration of one or more heavy metals in the device exceeding its maximum concentration value, as specified in the Commission of European Communities' Decision of August 18, 2005, amending Directive 2002/95/EC (European Union document 2005/618/EC), or as specified in a subsequent amendment to the Directive.
(b) The prohibition in subsection (a) applies only to a covered electronic device that is manufactured on or after January 1, 2007.
(c) The prohibition in subsection (a) does not apply to a covered electronic device that is sold or offered for sale in California only for purposes of resale or offering for resale to persons outside of California.
(d) In determining the concentrations of metals for compliance with subsection (a), the Department shall not consider any cadmium, chromium, lead, or mercury, or any component containing any of those metals, which has been exempted by Directive 2002/95/EC, or by an amendment to the Directive.
(e) The prohibition established by subsection (a) of this section does not apply to a covered electronic device that would be prohibited from sale or being offered for sale in California based solely on metals used to meet consumer, health or safety requirements.
NOTE

Authority cited: Sections 25214.10 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Section 25214.10, Health and Safety Code; and Section 42465.2, Public Resources Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
2. Certificate of Compliance as to 12-29-2006 order, including further amendment of Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
3. Editorial correction of History 2 (Register 2009, No. 10.)
§66260.210. Variances.
Note     •     History

(a) The department may grant a variance from one or more of the requirements of this division and chapter 6.5 of division 20 of the Health and Safety Code pursuant to Health and Safety Code section 25143.
(b) The Department shall within 60 calendar days after receipt of an application for a variance inform the applicant in writing that the application is complete and accepted for filing, or that the application is incomplete and what specific information is required for the application to be submitted in a complete form. The Department shall, within 60 days of determining that an application is complete, inform the applicant in writing that variance is granted or denied.
(c) If the variance requested is denied, the Department shall provide to the applicant in writing the reason for the denial.
NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code and Section 15376, Government Code. Reference: Sections 25141 and 25143, Health and Safety Code and Section 15376, Government Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
Chapter 11. Identification and Listing of Hazardous Waste
Article 1. General
§66261.1. Purpose and Scope.
Note     •     History

(a) This chapter identifies those wastes which are subject to regulation as hazardous wastes under this division and which are subject to the notification requirements of Health and Safety Code section 25153.6. In this chapter:
(1) article 1 defines the terms “waste” and “hazardous waste,” identifies those wastes which are excluded from regulation under this division, and establishes special management requirements for hazardous waste which is recycled and establishes rules for classifying and managing contaminated containers;
(2) article 2 sets forth the criteria used by the Department to identify characteristics of hazardous waste;
(3) article 3 identifies characteristics of hazardous waste;
(4) article 4 lists particular hazardous wastes;
(5) article 4.1 lists other hazardous wastes; 
(6) article 5 identifies categories of hazardous waste including RCRA hazardous waste, non-RCRA hazardous waste, extremely hazardous waste, and special waste, and establishes criteria and management standards for special waste and extremely hazardous waste;
(b)(1) The definition of waste contained in this chapter applies only to wastes that also are hazardous pursuant to this division and chapter 6.5 of division 20 of the Health and Safety Code. It does not apply to materials (such as non-hazardous scrap, paper, textiles, or rubber) that are not otherwise hazardous wastes.
(2) This chapter identifies only some of the materials which are wastes and hazardous wastes for the purposes of Health and Safety Code sections 25185 and 25187.1. A material which is not defined as a waste or identified as a hazardous waste pursuant to this chapter, is still a waste and a hazardous waste for purposes of Health and Safety Code sections 25185 and 25187.1, if the Department has reason to believe that a material may be a waste within the meaning of Health and Safety Code section 25124 and a hazardous waste within the meaning of Health and Safety Code section 25117.
NOTE

Authority cited: Sections 25140, 25141, 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25117, 25124, 25140, 25141, 25159, 25159.5, 25185 and 25187.1, Health and Safety Code and 40 CFR Section 261.1.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. New subsection (a)(5), subsection renumbering and amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
§66261.2. Definition of Waste.
Note     •     History

(a) “Waste” means any discarded material of any form (for example, liquid, semi-solid, solid or gaseous) that is not excluded by section 66261.4(a) or section 66261.4(e) or that is not excluded by Health and Safety Code section 25143.2(b) or Health and Safety Code section 25143.2(d).
(b) A discarded material is any material which is any of the following:
(1) relinquished as explained in subsection (c) of this section; or
(2) recycled, as explained in subsection (d) of this section; or
(3) considered inherently waste-like, as explained in paragraph (e) of this section.
(c) A material is a waste if it is relinquished by being any of the following:
(1) disposed of;
(2) burned or incinerated;
(3) accumulated, stored or treated, but not recycled, before or in lieu of, being relinquished by being disposed of, burned or incinerated.
(d) A material is a waste if it is recycled, or accumulated, stored or treated before recycling, by being managed:
(1) through being used in a manner constituting disposal:
(A) materials noted with an “*” in column 1 of Table I are wastes when they are:
1. applied to or placed on the land in a manner that constitutes disposal; or
2. used to produce products that are applied to or placed on the land or are otherwise contained in products that are applied to or placed on the land (in which cases the product itself is a waste);
(B) however, commercial chemical materials listed in section 66261.33, which are discarded commercial chemical products, off-specification species, container residues, or spill residues thereof, and which are applied to the land and application to the land is their ordinary manner of use are non-RCRA hazardous wastes. Commercial chemical products which are “retrograde materials” as defined in section 66260.10 are not wastes until they become “recyclable materials” pursuant to subsection (e) of the definition of “recyclable materials” in section 66260.10;
(2) through being burned for energy recovery:
(A) materials noted with an “*” in column 2 of Table 1 are wastes when they are:
1. burned to recover energy;
2. used to produce a fuel or are otherwise contained in fuels (in which cases the fuel itself is a waste);
(B) however, commercial chemical materials listed in section 66261.33, which are discarded commercial chemical products, off-specification species, container residues, or spill residues thereof, and which are fuels are non-RCRA hazardous wastes. Commercial chemical products which are “retrograde materials” as defined in section 66260.10 are not wastes until they become “recyclable materials” pursuant to subsection (e) of the definition of “recyclable materials” in section 66260.10 
(3) through being reclaimed: materials noted with an “*” or “**” in column 3 of Table 1 are wastes when reclaimed;
(4) through being accumulated speculatively: materials noted with an “*” or “**” in column 4 of Table 1 are wastes when accumulated speculatively.

TABLE 1

		Use
		Constituting	Energy		Speculative
		Disposal	Recovery/Fuel	Reclamation	Accumulation
		66261.2(d)(1)	66261.2(d)(2)	66261.2(d)(3)	66261.2(d)(4)

	Column	(1)	(2)	(3)	(4) 

	Spent
	Materials	*	*	*	*
	
	Sludges (listed in
	section 66261.31
	or 66261.32)	*	*	*	*
	
	Sludges exhibiting
	a characteristic
	of  hazardous
	waste	*	*	**	*
	
	By-products
	(listed in
	section 66261.31
	or 66261.32)	*	*	*	*
	
	By-products
	exhibiting a
	characteristic
	of hazardous
	waste	*	*	**	*
	
	Commercial
	chemical products
	(listed in
	section 66261.33)	*	*	**	**

Note: The terms “spent materials,” “sludges,” and “by-products” are defined in section 66260.10.

*Except as provided in sections 66261.2(d)(1)(B) and 66261.2(d)(2)(B), a material designated by a single asterisk in Column (1), (2), (3), or (4) is a waste which is not eligible to be classified as a non-RCRA hazardous waste.

**Unless exempt pursuant to Health and Safety Code section 25143.2(d), a material designated with a double asterisk in Column (3) or (4) which is identified as a hazardous waste pursuant to section 66261.3 is a non-RCRA hazardous waste. Commercial chemical products which are “retrograde materials” as defined in section 66260.10 are not wastes until they become “recyclable materials” pursuant to subsection (e) of the definition of “recyclable materials” in section 66260.10.
(e) A material is a waste if it is inherently waste-like when it is recycled. The following materials are wastes when they are recycled: 
(1) Hazardous Waste Nos. F020, F021 (unless used as an ingredient to make a product at the site of generation), F022, F023, F026 and F028.
(2) Secondary materials fed to a halogen acid furnace that exhibit a characteristic of a hazardous waste or are listed as a hazardous waste as defined in articles 3 or 4 of this chapter, except for brominated material that meets the following criteria:
(A) The material must contain a bromine concentration of at least 45%; and
(B) The materials must contain less than a total of 1% of toxic organic compounds listed in appendix VIII; and
(C) The material is processed continually on-site in the halogen acid furnace via direct conveyance (hard piping).
(f) A material is a waste if it poses a threat to human health or the environment and meets either, or both, of the following:
(1) it is mislabeled or not adequately labeled, unless the material is correctly labeled or adequately labeled within 10 days after the material is discovered to be mislabeled or inadequately labeled;
(2) it is packaged in deteriorated or damaged containers, unless the material is contained in sound or undamaged containers within 96 hours after the containers are discovered to be deteriorated or damaged.
(g) Respondents in actions to enforce regulations implementing this division who claim that a certain material is not a waste or is conditionally exempt from regulation, must demonstrate that there is a known market or disposition for the material, and that they meet the terms of the exclusion or exemption. In doing so, they must provide appropriate documentation (such as contracts showing that a second person uses the material as an ingredient in a production process) to demonstrate that the material is not a waste, or is exempt from regulation. In addition, owners and operators of facilities claiming that they are recycling materials must show that they have the necessary equipment to do so.
NOTE

Authority cited: Sections 25141, 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25120.5, 25121, 25124, 25143.2, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 261.2.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (a) and NOTE filed 4-23-92 as an emergency; operative 4-23-92 (Register 92, No. 18).  A Certificate of Compliance must be transmitted to OAL 8-21-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a) refiled 6-22-92 as an emergency; operative 6-22-92 (Register 92, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-20-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) refiled 10-22-92 as an emergency; operative 10-19-92 (Register 92, No. 43). A Certificate of Compliance must be transmitted to OAL 2-22-93 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a) refiled 2-16-93 as an emergency; operative 2-16-93 (Register 93, No. 8). A Certificate of Compliance must be transmitted to OAL 6-16-93 or emergency language will be repealed by operative of law on the following day.
6. Amendment of subsection (a) refiled 6-14-93 as an emergency; operative 6-15-93 (Register 93, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-13-93 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (a) refiled 10-13-93 as an emergency; operative 10-13-93 (Register 93, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-10-94 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-13-93 order transmitted to OAL 12-3-93 and filed 1-14-94 (Register 94, No. 2).
9. Amendment of subsection (e), new subsection (e)(1) designator, new subsections (e)(2)-(e)(2)(C), and amendment of Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
10. New subsection (g) filed 2-3-98; operative 3-5-98 (Register 98, No. 6).
§66261.3. Definition of Hazardous Waste.
Note     •     History

(a) A waste, as defined in section 66261.2, is a hazardous waste if:
(1) it is not excluded from classification as a waste or a hazardous waste under Health and Safety Code section 25143.2(b) or 25143.2(d) or section 66261.4; and
(2) it meets any of the following criteria:
(A) it exhibits any of the characteristics of hazardous waste identified in article 3 of this chapter except that any mixture of a waste from the extraction, beneficiation, and processing of ores and minerals excluded under federal 40 CFR section 261.4(b)(7) and any other waste exhibiting a characteristic of hazardous waste under Article 3 of this chapter is a hazardous waste only if it exhibits a characteristic that would not have been exhibited by the excluded waste alone if such mixture had not occurred or if it continues to exhibit any of the characteristics exhibited by the non-excluded wastes prior to mixture. Further, for the purposes of applying the Toxicity Characteristic to such mixtures, the mixture is also a hazardous waste if it exceeds the maximum concentrations for any contaminant listed in table I to section 66261.24 that would not have been exceeded by the excluded waste alone if the mixture had not occurred or if it continues to exceed the maximum concentration for any contaminant exceeded by the nonexempt waste prior to mixture;
(B) it is listed in article 4 of this chapter and has not been excluded by the USEPA Administrator from 40 CFR Part 261 Subpart D pursuant to 40 CFR sections 260.20 and 260.22;
(C) it is listed in or contains a constituent listed in Appendix X to this chapter. However, the waste is not a hazardous waste if:
1. it is determined that the waste does not meet the criteria of subsection (a)(2)(B) of this section; and
2. it is determined that the waste does not meet the criteria of subsection (a)(2)(A) of this section by:
i. testing the waste according to the methods set forth in article 3 of this chapter, or according to an equivalent method approved by the Department pursuant to section 66260.21; or
ii. applying knowledge of the hazardous properties of the waste in light of the materials or the processes used and the characteristics set forth in article 3 of this chapter;
(D) it is listed in article 4.1 of this chapter; 
(E) it is a mixture of a hazardous waste that is listed in article 4 of this chapter other than a hazardous waste listed with hazard code (T) or (H), and another waste, unless the resultant mixture no longer exhibits any characteristic of hazardous waste identified in article 3 of this chapter. However, nonwastewater mixtures are still subject to the requirements of chapter 18 of this division, even if they no longer exhibit a characteristic at the point of land disposal;
(F) it is a mixture of a waste and one or more hazardous wastes listed in article 4 of this chapter which has not been excluded by the USEPA Administrator from 40 CFR Part 261 Subpart D pursuant to 40 CFR sections 260.20 and 260.22. However, the following mixtures of wastes and hazardous wastes listed in article 4 of this chapter are not hazardous wastes (except by application of subsection (a)(2)(A) or (a)(2)(B) of this section) if the generator can demonstrate that the mixture consists of wastewater, the discharge of which is subject to regulation under either section 402 or section 307(b) of the Clean Water Act (including wastewater at facilities which have eliminated the discharge of wastewater), and:
1. one or more of the following spent solvents listed in section 66261.31 -- carbon tetrachloride, tetrachloroethylene, trichoroethylene -- provided, that the maximum total weekly usage of these solvents (other than the amounts that can be demonstrated not to be discharged to wastewater) divided by the average weekly flow of wastewater into the headworks of the facility's wastewater treatment or pretreatment system does not exceed 1 part per million; or
2. one or more of the following spent solvents listed in section 66261.31 -- methylene chloride, 1,1,1-trichloroethane, chlorobenzene, o-dichlorobenzene, cresols, cresylic acid, nitrobenzene, toluene, methyl ethyl ketone, carbon disulfide, isobutanol, pyridine, spent chlorofluorocarbon solvents -- provided that the maximum total weekly usage of these solvents (other than the amounts that can be demonstrated not to be discharged to wastewater) divided by the average weekly flow of wastewater into the headworks of the facility's wastewater treatment or pretreatment system does not exceed 25 parts per million; or
3. heat exchanger bundle cleaning sludge from the petroleum refining industry (EPA Hazardous Waste No. K050); or
4. a discarded commercial chemical product, or chemical intermediate listed in section 66261.33 arising from “de minimis” losses of these materials from manufacturing operations in which these materials are used as raw materials or are produced in the manufacturing process. For purposes of this subsection, “de minimis” losses include those from normal material handling operations (e.g., spills from the unloading or transfer of materials from bins or other containers, leaks from pipes, valves or other devices used to transfer materials); minor leaks of process equipment, storage tanks or containers; leaks from well-maintained pump packings and seals; sample purgings; relief device discharges; discharges from safety showers and rinsing and cleaning of personal safety equipment; and rinsate from empty containers or from containers that are rendered empty by that rinsing; or
5. wastewater resulting from laboratory operations containing toxic (T) wastes listed in article 4 of this chapter, provided that the annualized average flow of laboratory wastewater does not exceed one percent of total wastewater flow into the headworks of the facility's wastewater treatment or pretreatment system, or provided the wastes, combined annualized average concentration does not exceed one part per million in the headworks of facility's wastewater treatment or pretreatment facility. Toxic (T) wastes used in laboratories that are demonstrated not to be discharged to wastewater are not to be included in this calculation; or
6. One or more of the following wastes listed in 40 CFR § 261.32-wastewaters from the production of carbamates and carbamoyl oximes (EPA Hazardous Waste No. K157)-Provided that the maximum weekly usage of formaldehyde, methyl chloride, methylene chloride, and triethylamine (including all amounts that can not be demonstrated to be reacted in the process, destroyed through treatment, or is recovered, i.e., what is discharged or volatilized) divided by the average weekly flow of process wastewater prior to any dilutions into the headworks of the facility's wastewater treatment system does not exceed a total of 5 parts per million by weight; or
7. Wastewaters derived from the treatment of one or more of the following wastes listed in 40 CFR § 261.32-organic waste (including heavy ends, still bottoms, light ends, spent solvents, filtrates, and decantates) from the production of carbamates and carbamoyl oximes (EPA Hazardous Waste No. K156).-Provided, that the maximum concentration of formaldehyde, methyl chloride, methylene chloride, and triethylamine prior to any dilutions into the headworks of the facility's wastewater treatment system does not exceed a total of 5 milligrams per liter.
(G) it is not classified as a hazardous waste by application of the criteria in subsections (a)(2)(A) through (a)(2)(F) of this section, but has been classified as a hazardous waste by the Department because it otherwise conforms to the definition of hazardous waste set forth in Health and Safety Code section 25117.
(b) A waste which is not excluded from classification as a waste or hazardous waste under the provisions of section 66261.4(b) or Health and Safety Code section 25143.2(b) or 25143.2(d) becomes a hazardous waste when any of the following events occur:
(1) In the case of a waste listed in article 4 of this chapter, when the waste first meets the listing description set forth in article 4 of this chapter;
(2) In the case of a waste listed in article 4.1 of this chapter, when the waste first meets the listing description set forth in article 4.1 of this chapter; 
(3) In the case of a mixture of waste and one or more hazardous wastes listed in article 4 of this chapter, when the hazardous waste listed in article 4 of this chapter is first added to the waste.
(4) In the case of any other waste (including a waste mixture), when the waste exhibits any of the characteristics identified in article 3 of this chapter.   
(c)(1) A hazardous waste will remain a hazardous waste unless and until it meets the criteria of subsection (d) of this section. Except as otherwise provided in subsections (c)(2), (c)(3), (c)(4), and (c)(5) of this section, any waste generated from the treatment, storage, or disposal of a hazardous waste, including any sludge, spill residue, ash, emission control dust or leachate including precipitation run-off is a hazardous waste. (However, materials that are reclaimed from wastes and that are used beneficially are not wastes and hence are not hazardous wastes under this provision unless the reclaimed material is burned for energy recovery or used in a manner constituting disposal.)
(2) Waste pickle liquor sludge generated by lime stabilization of spent pickle liquor from the iron and steel industry (SIC Codes 331 and 332) is not hazardous even though it is generated from the treatment, storage, or disposal of a hazardous waste, unless it exhibits one or more of the characteristics of hazardous waste.
(3)(A) Nonwastewater residues, such as slag, resulting from high temperature metals recovery (HTMR) processing of K061, K062 or F006 waste, in units identified as rotary kilns, flame reactors, electric furnaces, plasma arc furnaces, slag reactors, rotary hearth furnace/electric furnace combinations or industrial furnaces (as defined in section 66260.10, for “Industrial furnace”, (f), (g) and (l)), that are disposed in RCRA Subtitle D units, provided that these residues meet the generic exclusion levels identified below for all constituents, and exhibit no characteristics of hazardous waste, as identified in article 3 of Chapter 11 of division 4.5, Title 22, CCR. Testing requirements shall be incorporated in a facility's waste analysis plan; at a minimum, composite samples of residues shall be collected and analyzed quarterly and/or when the process or operation generating the waste changes. Persons claiming this exclusion in an enforcement action will have the burden of proving by clear and convincing evidence that the material meets all of the exclusion requirements.

Constituent	Maximum for any single
	composite sample - TCLP mg/L

Generic exclusion levels for K061 and K062
nonwastewater HTMR residues
Antimony	0.10
Arsenic	0.50
Barium	7.6
Beryllium	0.010
Cadmium	0.050
Chromium (total)	0.33
Lead	0.15

Mercury	0.009
Nickel	1.0
Selenium	0.16

Silver	0.30
Thallium	0.020

Zinc	70

Constituent	Maximum for any single
	composite sample - TCLP mg/L

Generic exclusion levels for F006
nonwastewater HTMR residues
Antimony	0.10
Arsenic	0.50
Barium	7.6
Beryllium	0.010
Cadmium	0.050
Chromium (total)	0.33

Constituent	Maximum for any single
	composite sample - TCLP mg/L

Generic exclusion levels for F006
nonwastewater HTMR residues
Cyanide (total)(mg/kg)	1.8
Lead	0.15
Mercury	0.009
Nickel	1.0

Selenium	0.16
Silver	0.30
Thallium	0.020
Zinc	70
(B) A one-time notification and certification shall be placed in the facility's files and sent to the Department for K061, K062 or F006 HTMR residues that meet the generic exclusion levels for all constituents and do not exhibit any characteristics in article 3 of chapter 11 that are sent to a RCRA subtitle D unit. The notification and certification that is placed in the generators or treaters files shall be updated if the process or operation generating the waste changes and/or if the 40 CFR subtitle D unit receiving the waste changes. However, the generator or treater need only notify the Department on an annual basis if such changes occur. Such notification and certification should be sent to the Department by the end of the calendar year, but no later than December 31.
The notification shall include the following information: (1) The name and address of the RCRA Subtitle D unit receiving the waste shipment; (2) the EPA hazardous waste number(s) and treatability group(s) at the initial point of generation; and (3) the  treatment standards applicable to the waste at the initial point of generation. The certification shall be signed by an authorized representative and shall state as follows: “I certify under penalty of law that the generic exclusion levels for all constituents have been met without impermissible dilution and that no characteristic of hazardous waste, as identified in article 3 of chapter 11 of division 4.5, Title 22, CCR, is exhibited. I am aware that there are significant penalties for submitting a false certification, including the possibility of fine and imprisonment.”
(4) Biological treatment sludge from the treatment of one of the following wastes listed in 40 CFR § 261.32 - organic waste (including heavy ends, still bottoms, light ends, spent solvents, filtrates, and decantates) from the production of carbamates and carbamoyl oximes (EPA Hazardous Waste No. K156), and wastewaters from the production of carbamates and carbamoyl oximes (EPA Hazardous Waste No. K157) - is not a hazardous waste even though it is generated from the treatment, storage, or disposal of a hazardous waste, unless it exhibits one or more of the characteristics of hazardous waste.
(5) Waste consisting of only material derived from the treatment or recycling of one or more hazardous wastes listed in article 4.1 of this chapter is not a hazardous waste, provided the material does not exhibit any of the characteristics identified in article 3 of this chapter, and does not meet any listing description in article 4.1 of this chapter. 
(d) Any waste described in subsection (c) of this section is not a hazardous waste if it meets all of the following criteria:
(1) the waste does not exhibit any of the characteristics of hazardous waste identified in article 3 of this chapter; (however, wastes that exhibit a characteristic at the point of generation may still be subject to the requirements of chapter 18, even if they no longer exhibit a characteristic at the point of land disposal,) 
(2) in the case of a waste which is a waste listed in article 4 of this chapter, contains a waste listed under article 4 of this chapter or is derived from a waste listed in article 4 of this chapter (but not including precipitation run off), the waste also has been excluded by the USEPA Administrator from the lists of hazardous wastes in 40 CFR Part 261 Subpart D pursuant to 40 CFR sections 260.20 and 260.22, and
(3) the waste is not listed in article 4.1.
(e) Notwithstanding subsections (a) through (d) of this section and provided the debris as defined in section 66260.10 of chapter 10 of this division does not exhibit a characteristic identified in article 3 of chapter 11, the following materials are not subject to regulation under chapters 10, 11 to 16, 18 or 20 of this division;
(1) Hazardous debris as defined in section 66260.10 of chapter 10 of this division that has been treated using one of the required extraction or destruction technologies specified in Table 1 of section 66268.45; persons claiming this exclusion in an enforcement action will have the burden of proving by clear and convincing evidence that the material meets all of the exclusion requirements; or 
(2) Debris as defined in 66260.10 of chapter 10 of this division that the Department considering the extent of contamination, has determined is no longer contaminated with hazardous waste.
NOTE

Authority cited: Sections 25141, 25150, 25159, 25159.5, 25179.6, 58004 and 58012,  Health and Safety Code. Reference: Sections 25117, 25141, 25143.1, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 261.3.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (a)(2)(D), new subsections (c)(3)(A)-(B), amendment of subsection (d)(1), new subsections (e)-(e)(2) and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a)(2)(D), new subsections (c)(3)(A)-(B), amendment of subsection (d)(1), new subsections (e)-(e)(2) and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(2)(D), new subsections (c)(3)(A)-(B), amendment of subsection (d)(1), new subsections (e)-(e)(2) and amendment  of  Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a)(2)(D), new subsections (c)(3)(A)-(B), amendment of subsection (d)(1), new subsections (e)-(e)(2) and amendment  of  Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day. 
6. Certificate of Compliance as to 10-24-94 order including amendment of subsections (c)(1)-(c)(3)(B) and (d)(1)-(e)(1) and amendment of Note transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Change without regulatory effect amending subsections (c)(3)(A), (c)(3)(B), (d) and (e) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
8. Amendment of subsections (a)(2)(A) and (a)(2)(E)5., new subsections (a)(2)(E)6., (a)(2)(E)7. and (c)(4), and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
9. Amendment filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
10. Change without regulatory effect amending subsection (a)(2)(A) filed 7-23-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 30).
§66261.4. Exclusions.
Note     •     History

(a) Materials which are not wastes. The following materials are not wastes for the purpose of this chapter:
(1) industrial wastewater discharges that are point source discharges subject to regulation under section 402 of the federal Clean Water Act, as amended (33 U.S.C. section 1342). This exclusion applies only to the actual point source discharge. It does not exclude industrial wastewaters while they are being collected, stored or treated before discharge, nor does it exclude sludges that are generated by industrial wastewater treatment;
(2) source, special nuclear or by-product material as defined by the federal Atomic Energy Act of 1954, as amended, (42 U.S.C. section 2011 et seq.);
(3) spent sulfuric acid used to produce virgin sulfuric acid, unless it is accumulated speculatively as defined in section 66260.10.
(4) pulping liquors (e.g., black liquor) that are reclaimed in a pulping liquor recovery furnace and then reused in the pulping process, unless accumulated speculatively as defined in 66260.10.
(5) secondary materials that are reclaimed and returned to the original process or processes in which they were generated where they are reused in the production process provided:
(A) only tank storage is involved, and the entire process through completion of reclamation is closed by being entirely connected with pipes or other comparable enclosed means of conveyance;
(B) reclamation does not involve controlled flame combustion (such as occurs in boilers, industrial furnaces, or incinerators);
(C) the materials are never accumulated in such tanks for over twelve months without being reclaimed; and
(D) the reclaimed material is not used to produce a fuel, or used to produce products that are used in a manner constituting disposal.
(b) Wastes which are not hazardous wastes. The following wastes are not hazardous wastes:
(1) infectious waste which consists solely of the carcasses of animals, which is not otherwise hazardous, and which is handled, stored and disposed of according to all applicable requirements established by the Department of Food and Agriculture pursuant to provisions of chapter 1, part 1, division 5 (commencing with section 9101) and of chapter 5, part 3, division 9 (commencing with section 19200) of the Food and Agricultural Code;
(2) materials which are exempted or excluded from classification as solid waste or hazardous waste pursuant to 40 CFR section 261.4 provided they are not listed in article 4.1 of this chapter, and do not exhibit a characteristic of a hazardous waste as set forth in article 3 of this chapter;
(3) used oil re-refining distillation bottoms that are used as feedstock to manufacture asphalt products;
(4) used chlorofluorocarbon refrigerants from totally enclosed heat transfer equipment, including mobile air conditioning systems, mobile refrigeration, and commercial and industrial air conditioning and refrigeration systems that use chlorofluorocarbons as the heat transfer fluid in a refrigeration cycle, provided the refrigerant is reclaimed for further use.
(5)(A) Wastes, which meet the criteria for classification as a RCRA hazardous waste set forth in section 66261.100(a)(1), (a)(2), or (a)(3), resulting from the extraction, beneficiation, and processing of ores and minerals (including coal, phosphate rock and overburden from the mining of uranium ore), except as provided by 40 CFR section 266.112 for facilities that burn or process hazardous waste, are not hazardous wastes and are not subject to the requirements of this division or of Chapter 6.5 of Division 20 of the Health and Safety Code. However, these wastes remain subject to Article 9.5 of Chapter 6.5 of the Health and Safety Code if the wastes would otherwise be classified as hazardous wastes pursuant to section 25117 of the Health and Safety Code or pursuant to this division. For purposes of this paragraph, beneficiation of ores and minerals is restricted to the following activities: Crushing; grinding; washing; dissolution; crystallization; filtration; sorting; sizing; drying; sintering; pelletizing; briquetting; calcining to remove water and/or carbon dioxide; roasting; autoclaving, and/or chlorination in preparation for leaching (except where the roasting (and/or autoclaving and/or chlorination)/leaching sequence produces a final or intermediate product that does not undergo further beneficiation or processing); gravity concentration; magnetic separation; electrostatic separation; flotation; ion exchange; solvent extraction; electrowinning; precipitation; amalgamation; and heap, dump, vat, tank, and in situ leaching. For the purpose of this paragraph, solid waste from the processing of ores and minerals includes only the following wastes:
1. Slag from primary copper processing;
2. Slag from primary lead processing;
3. Red and brown muds from bauxite refining;
4. Phosphogypsum from phosphoric acid production;
5. Slag from elemental phosphorus production;
6. Gasifier ash from coal gasification;
7. Process wastewater from coal gasification;
8. Calcium sulfate wastewater treatment plant sludge from primary copper processing;
9. Slag tailings from primary copper processing;
10. Fluorogypsum from hydrofluoric acid production;
11. Process wastewater from hydrofluoric acid production;
12. Air pollution control dust/sludge from iron blast furnaces;
13. Iron blast furnace slag;
14. Treated residue from roasting/leaching of chrome ore;
15. Process wastewater from primary magnesium processing by the anhydrous process;
16. Process wastewater from phosphoric acid production;
17. Basic oxygen furnace and open hearth furnace air pollution control dust/sludge from carbon steel production;
18. Basic oxygen furnace and open hearth furnace slag from carbon steel production;
19. Chloride process waste solids from titanium tetrachloride production;
20. Slag from primary zinc processing.
(B) Waste from the extraction, benefication, and processing of ores and minerals, as those terms are defined in Health and Safety Code section 25143.1, which would otherwise be classified as a non-RCRA hazardous waste pursuant to section 66261.101, is not subject to the requirements of this division or of Chapter 6.5 of the Health and Safety Code. However, these wastes remain subject to Article 9.5 of Chapter 6.5 of the Health and Safety Code if the wastes would otherwise be classified as hazardous wastes pursuant to section 25117 of the Health and Safety Code or to this division.
(C) A waste residue derived from co-processing of the mineral processing secondary materials as listed above under paragraph (b)(5)(A) of this section with normal beneficiation raw materials or with normal mineral processing raw materials shall remain excluded as a hazardous waste under paragraph (b) of this section and pursuant to section 25143.1 of the Health and Safety Code if the owner or operator does the following: 
1. Processes at least 50 percent by weight normal beneficiation raw materials or normal mineral processing raw materials; and, 
2. Legitimately reclaims the secondary mineral processing materials. 
(c) hazardous wastes which are exempted from certain regulations. A hazardous waste which is generated in a product or raw material storage tank, a product or raw material transport vehicle or vessel, a product or raw material pipeline, or in a manufacturing process unit or an associated non-waste-treatment-manufacturing unit, is not subject to regulation under this division or to the notification requirements of Health and Safety Code section 25153.6 until it exits the unit in which it was generated, unless the unit is a surface impoundment, or unless the hazardous waste remains in the unit more than 90 days after the unit ceases to be operated for manufacturing, or for storage or transportation of product or raw materials. The exemption in this subsection applies only to the hazardous waste generated in the above-named tanks, not to the tanks themselves. The tanks remain subject to the requirements of chapter 32 if the tank is a hazardous waste pursuant to article 3 of chapter 11 of this division.
(d) samples;
(1) except as provided in subsection (d)(2) of this section, a sample of  waste or a sample of water, soil, or air, which is collected for the sole purpose of testing to determine its characteristics or composition, is not subject to any requirements of this division or to the notification requirements of Health and Safety Code section 25153.6 when:
(A) the sample is being transported to a laboratory for the purpose of testing; or
(B) the sample is being transported back to the sample collector after testing; or
(C) the sample is being stored for less than 90 days by the sample collector before transport to a laboratory for testing; or
(D) the sample is being stored in a laboratory before testing; or
(E) the sample is being stored in a laboratory after testing but before it is returned to the sample collector; or
(F) the sample is being stored temporarily in the laboratory after testing for a specific purpose (for example, until conclusion of a court case or enforcement action where further testing of the sample may be necessary).
(2) In order to qualify for the exemption in subsections (d)(1)(A) and (d)(1)(B) of this section, a sample collector shipping samples to a laboratory and a laboratory returning samples to a sample collector shall:
(A) comply with California Highway Patrol (CHP), U.S. Department of Transportation (DOT), U.S. Postal Service (USPS), or any other applicable shipping requirements; or
(B) comply with the following requirements if the sample collector determines that CHP, DOT, USPS, or other shipping requirements do not apply to the shipment of the sample:
1. assure that the following information accompanies the sample:
a. the sample collector's name, mailing address, and telephone number;
b. the laboratory's name, mailing address, and telephone number;
c. the quantity of the sample;
d. the date of shipment; and
e. a description of the sample.
2. package the sample so that it does not leak, spill, or vaporize from its packaging.
(3) This exemption does not apply if the laboratory determines that the waste is hazardous but the laboratory is no longer meeting any of the conditions stated in subsection (d)(1) of this section.
(e) Treatability Study Samples.
(1) Except as provided in paragraph (e)(2) of this section, any person who generates a treatability study sample for the purpose of conducting a treatability study is not subject to Chapter 6.5 of Division 20 of the Health and Safety Code with respect to that sample, except for the requirements of subdivision (e) of Health and Safety Code section 25162, or this division, except for sections 66262.50, 66262.52, and 66262.53 when:
(A) the treatability study sample is being collected and prepared for transportation by the generator or the agent of the generator;
(B) the treatability study sample is being accumulated or stored by the generator or the agent of the generator prior to transportation to a laboratory or testing facility; or,
(C) the treatability study sample is being transported to the laboratory or testing facility for the purpose of conducting a treatability study.
(2) The exemption specified in paragraph (e)(1) of this section applies to samples of hazardous waste being collected and shipped for the purpose of conducting treatability studies only if all of the following conditions are met:
(A) the treatability study sample mass is not more than 400 kilograms (kg) of any hazardous waste that is not an extremely hazardous waste, 1kg of extremely hazardous waste, or 250 kg of soil, water, or debris contaminated with extremely hazardous waste, for each process being evaluated for each generated hazardous waste stream,
(B) the treatability study sample is retained at the site of generation for not longer than one year and not more than 10 days elapse between when the treatability study sample is shipped to the laboratory or testing facility and when it is received at the laboratory or testing facility,
(C) the generator or the agent of the generator retains responsibility for the recycling or disposal of the treatability study sample or its residues after the treatability study is completed;
(D) at all times during accumulation and storage, the treatability study samples are in containers that are marked clearly with the words “treatability study sample,” that are in a good, nonleaking condition and that are clearly labeled with all of the following information:
1. the composition and physical state of the material;
2. a statement that calls attention to the particular hazardous properties of the treatability study sample;
3. the name and address of the generator of the treatability study sample; and
4. the date the treatability study sample was first placed in the containers.
(3) each treatability study sample may be transported only if the treatability study sample complies with all of the following:
(A) the treatability study sample is packaged so that it will not leak, spill, or vaporize from its packaging during shipment, complies with all shipping requirements of the Department of Transportation, United States Postal Service, or any other applicable shipping requirements, and, at a minimum, is accompanied by all of the following information: 
1. the name, mailing address, telephone number, and Environmental Protection Agency identification number, if available, of the generator of the treatability study sample or the agent of the generator.
2. The name, address, telephone number, and EPA number, if available, of the facility that will perform the treatability study.
3. The quantity of the treatability study sample.
4. The date of shipment.
5. A description of the treatability study sample, including its California waste code.
(B) The treatability study sample is shipped to a laboratory or testing facility which has a hazardous waste facilities permit issued pursuant to Health and Safety Code section 25200, is exempt from state hazardous waste facilities permitting requirements pursuant to subsection (f) of section 66261.4 of this title or, if located in another state, is authorized by that state or the Environmental Protection Agency to conduct treatability studies or is exempted pursuant to subsection (f) of Section 261.4 of Title 40 of the Code of Federal Regulations.
(4) A generator or the agent of the generator exempt pursuant to this section shall maintain the following records for three years after completion of the treatability study and shall, if requested by the department before the end of three years, retain the records for up to an additional five years:
(A) Copies of shipping documents.
(B) A copy of the contract with the facility conducting the treatability study.
(C) Documentation showing the amount of waste shipped, the name and address of the laboratory or testing facility that received the waste, the date the shipment was made, and the final disposition of unused portions of samples and residues.
(5) The department may grant an application, on a case-by-case basis, following the submittal of information pursuant to subdivision (e)(6) for an exemption for treatability study samples that exceed the quantity limits specified in subdivision (e)(2)(A), for up to an additional 500 kg of hazardous waste that is not extremely hazardous waste, 1 kg of extremely hazardous waste, and 250 kg of soil, water, or debris contaminated with extremely hazardous waste, to conduct a further treatability study evaluation, if the department finds that the exemption is necessary based on any of the following:
(A) There has been an equipment or mechanical failure during the conduct of a treatability study rendering the treatability study sample unsuited for study.
(B) There is a need to repeat a portion of a previously conducted treatability study.
(C) There is a need to study and analyze alternative techniques within a treatability study and these multiple techniques required greater total sample size.
(D) The treatability study design cannot produce verifiable results without greater quantities of a sample.
(6) A generator applying for an exemption pursuant to subdivision (e)(5) shall submit all of the following information in writing to the department:
(A) The reason why the generator or agent of the generator requires an additional quantity of a treatability study sample for the treatability study.
(B) The quantity of the treatability study sample for which the exemption is requested.
(C) Documentation accounting for all samples of treatability study samples from the waste stream that have previously been sent for, or undergone, treatability studies, including the dates of each previous treatability study sample, the quantity of each previous treatability study sample, the laboratory or testing facility to which each treatability study sample was shipped, what treatability studies were conducted on each treatability study sample shipped, and the results of each treatability study.
(D) If the generator cites paragraph (C) of subdivision (e)(5) as the basis for the exemption, a description of the proposed technique or techniques to be evaluated.
(E) If the generator cites paragraph (A) of subdivision (e)(5) as the basis for the exemption, information regarding the reasons for the failure or breakdown and what procedures or improvements have been made to protect against further breakdowns.
(f) Samples Undergoing Treatability Studies at Laboratories and Testing Facilities;
(1) Except as provided in subdivision (f)(2), Chapter 6.5 of Division 20 of the Health and Safety Code, and division 4.5 of this title, do not apply to any treatability study sample undergroing a treatability study, and those activities of the laboratory or testing facility, including transportable treatment units, conducting a treatability study, that are activities exclusively devoted to, and in support of, the treatability study conducted on a treatability study sample, if all of the following conditions are met:
(A) If a group of two or more transportable treatment units are located at the same site, the requirements specified in subdivision (f)(1) apply to the entire group of transportable treatment units collectively as if the group were one unit.
(B) Not less than 45 days before conducting the treatability study, the facility notifies the department in writing, that it intends to conduct a treatability study pursuant to this subsection.
(C) The laboratory or testing facility conducting the treatability study has an Environmental Protection Agency identification number.
(D) Not more than a total of 250 kg of treatability study samples are subjected to initiation of treatment in all treatability studies in any single day.
(E) The quantity of treatability study samples stored at the facility for the purpose of evaluation in treatability studies does not exceed 400 kg, the total of which may include not more than 200 kg of soil, water, or debris contaminated with extremely hazardous waste or 1 kg of extremely hazardous waste.  This quantity limitation does not include either of the following:
1. Treatability study residues.
2. Treatment materials, including nonhazardous waste, added to treatability study samples as received hazardous waste.
(F) Not more than 90 days has elapsed since the treatability study for the treatability study sample was completed, or not more than one year have elapsed since the generator or treatability study sample collector shipped the treatability study sample to the laboratory or testing facility, whichever date first occurs.
(G) The treatability study does not involve the placement of hazardous waste on the land, incineration, or the open burning of hazardous waste.
(H) The facility maintains records for three years following completion of each study that show compliance with the treatment rate limits and the storage time and quantity limits.  All of the following specific information shall be included for each treatability study conducted:
1. The name, address, and Environmental Protection Agency identification number of the generator or agent of the generator of each treatability study sample.
2. The date the treatability study sample was received.
3. The quantity of treatability study sample accepted.
4. The quantity of treatability study samples in storage each day.
5. The date the treatability study was initiated and the amount of treatability study samples introduced to treatment each day.
6. The date the treatability study was concluded.
7. The date any unused treatability study sample or residues generated from the treatability study were returned to the generator or the agent of the generator or, if sent to a designated facility, the name of the facility and the Environmental Protection Agency identification number.
(I) The facility keeps, onsite, a copy of the treatability study contract and all shipping papers associated with the transport of treatability study samples to and from the facility for a period ending three years from the completion date of each treatability study.
(J) The facility prepares and submits a report to the department not later than March 15 of each year that estimates the number of studies and the amount of waste expected to be used in treatability studies during the current year, and includes all of the following information for the previous calendar year:
1. The name, address, and Environmental Protection Agency identification number of the facility conducting the treatability studies.
2. The numbers of, and types, by process, of treatability studies conducted.
3. The names and addresses of persons for whom studies have been conducted, including their Environmental Protection Agency identification numbers.
4.  The total quantity of hazardous waste in storage each day.
5. The quantity and types of hazardous waste subjected to treatability studies.
6. When each treatability study was conducted.
7. The final disposition of residues and unused treatability study samples from each treatability study.
(K) The facility determines whether any unused treatability study sample or residues generated by the treatability study are hazardous waste that are subject to Chapter 6.5 of Division 20 of the Health and Safety Code, and division 4.5 of this title, and, if so, the facility handles the unused treatability study sample or residues in accordance with Chapter 6.5 of Division 20 of the Health and Safety Code, and division 4.5 of this title, unless the residues and unused treatability study samples are returned to the treatability study sample originator, as specified in Health and Safety Code section 25158.2.
(L) The facility notifies the department by letter when the facility is no longer planning to conduct any treatability studies at the site.
(M) All treatability studies shall be initiated within 60 days of the receipt of each treatability study sample.
(2) The requirements of subdivision (e) of Health and Safety Code section 25162, and sections 66262.50, 66262.52, and 66262.53 of this title shall apply to a sample undergoing a treatability study, including those activities of the laboratory or testing facility conducting the treatability study.
(g) controlled substances;
(1) A  conditionally exempt controlled substance, as defined in  paragraph (2) of this subsection, which is managed in accordance with the requirements of paragraph (3) of this subsection, is not a waste for purposes of this division or Health and Safety Code, division 20, chapter 6.5.
(2) For the purposes of this division, a conditionally exempt controlled substance is a “controlled substance”, as defined in section 11007 of the Health and Safety Code, which meets all of the following conditions:
(A) the controlled substance is a discarded material (as defined in section 66261.2(b)) which is not excluded from the definition of a “waste” (as defined in section 66261.2(a)), except pursuant to the provisions of this subsection;
(B) the controlled substance is solely a non-RCRA hazardous waste, or the controlled substance or its management is exempt or conditionally exempt from, or is not otherwise regulated pursuant to, RCRA;
(C) the controlled substance was seized by a peace officer, as defined in section 830 of the Penal Code, or a person exercising the powers of a peace officer pursuant to section 830.8 of the Penal Code or otherwise authorized to exercise the powers of a peace officer pursuant to applicable federal laws; and
(D) the controlled substance was seized from a site other than a clandestine laboratory, or the controlled substance was seized from such a laboratory for use as evidence or as a sample for purposes of testing.
(3) A conditionally exempt controlled substance shall be managed in accordance with the following requirements:
(A) conditionally exempt controlled substances shall be held in containers which are managed in accordance with the requirements of sections 66265.171, 66265.172, 66265.173 and 66265.177;
(B) conditionally exempt controlled substances shall be stored in an area:
1. with ventilation approved by the local fire department, 
2. separate from controlled substances which are not conditionally exempt pursuant to this subsection and other chemicals seized from clandestine laboratories, and
3. under the control of employees of a federal, state or local law enforcement agency;
(C) transportation of conditionally exempt controlled substances shall be in accordance with the following requirements:
1. conditionally exempt controlled substances shall be transported by employees of a federal, state or local law enforcement agency;
2. during transportation, the conditionally exempt controlled substances shall be accompanied by a shipping paper which, at a minimum, shall provide the following information:
a. a list of the substances being transported;
b. the type and number of  containers being used to transport each type of substance;
c. the quantity, by weight or volume, of each type of substance being transported (if known);
d. the state(s) (e.g., solid, powder, liquid, semi-liquid, gas, etc.) of each type of substance being transported;
e. the final destination and interim destinations, if any, of the substances;
f. the name and telephone number of an emergency response contact, for use in the event of a spill or other release;
g. the name, address and telephone number of the law enforcement agency from which the shipment originates, the printed name and signature of the peace officer authorizing the shipment, and the date the shipment originates;
h. the name, address, telephone number and signature of the law enforcement agency employee(s) responsible for the custody and security of the substances during transportation; and
i. the name, address and telephone number of the facility which is the final destination of the substances; and
3. in the event of a spill or release of a conditionally exempt controlled substance during transportation, the law enforcement agency employee responsible for the substance during transportation shall take appropriate immediate action to protect human health and the environment (e.g., notify local law enforcement agencies and/or other local emergency response agencies, dike the spill area, etc.). The law enforcement agency employee responsible for the released substance during transportation shall clean up or provide for the clean up of the spilled or released substance, or take such other action as may be required or approved by Federal, State, or local officials to ensure that the release no longer presents a hazard to human health or the environment; 
(D) treatment of conditionally exempt controlled substances shall be limited to:
1. incineration in accordance with paragraphs (3)(E)  of this subsection; and
2. the addition of absorbent material to a conditionally exempt controlled substance in a container or the addition of a conditionally exempt controlled substance to absorbent material in a container, in conjunction with incineration pursuant to paragraphs (3)(E) of this subsection;
(E) incineration of conditionally exempt controlled substances pursuant to this subsection shall be subject to the following requirements and limitations:
1. conditionally exempt controlled substances shall be incinerated under the following operating conditions:
a. incineration shall be in an airtight combustion device operated under negative air pressure through the combustion zone;
b. a feed airlock or an equivalent mechanism shall be used to prevent fugitive emissions;
c. the temperature in the combustion zone shall be maintained at or above 1600 degrees Fahrenheit for a minimum residence time of one second;
d. when only controlled substances are being incinerated, the controlled substance feed rate shall be between 25 percent and 75 percent of the incinerator's thermal design capacity;
e. when controlled substances are being incinerated with other materials, the total feed rate shall be greater than 40 percent, and no more than 100 percent, of the incinerator's thermal design capacity; and
f. if the incineration facility is not equipped with emissions control devices (e.g., scrubbers), the controlled substances feed rate shall be limited to 40 pounds per hour; and
2. the incineration facility shall comply with all applicable Federal, State and local regulatory agency requirements;
(F) all law enforcement agency and incinerator facility personnel who handle conditionally exempt controlled substances shall complete health and safety training equivalent to the training required under Title 8, CCR, section 5194, within six months after the effective date of these regulations.  No personnel shall be newly assigned to handle conditionally exempt controlled substances after the effective date of these regulations until they have completed the required health and safety training.
(4) Except as provided in paragraph (3) of this subsection, conditionally exempt controlled substances shall be stored, transported, treated and disposed of as hazardous waste in accordance with the requirements of this division and Health and Safety Code, division 20, chapter 6.5.
(5) Any controlled substance, as defined in section 11007 of the Health and Safety Code, which is not a hazardous waste, pursuant to section 66262.11, is not subject to the requirements of this division.
(h) CRT panel glass that meets the criteria specified in section 66273.81 of chapter 23 of this division and is destined for disposal in a class II or class III landfill pursuant to section 66273.75 of chapter 23 is not a hazardous waste for purposes of disposal therein, and is allowed to be disposed therein, if managed prior to disposal in accordance with the management standards specified in sections 66273.73 and 66273.75 and article 8 of chapter 23.
NOTE

Authority cited: Sections 25140, 25141, 25141.5, 25150, 25158.4, 25159, 25159.5, 25214.9, 25214.10.2, 58004 and 58012, Health and Safety Code. Reference: Sections 25117, 25212, 25124, 25140, 25141, 25141.5, 25143, 25143.1, 25143.2, 25143.4(a), 25143.11, 25158.2, 25158.3, 25159, 25159.5 and 25214.9, Health and Safety Code; and 40 CFR Section 261.4.
HISTORY

1. New section with renumbering and amendment of former section 66300(g) to section 66261.4(b)(2) filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer of subsection (b)(2) and renumbering of following subsections and amendments filed 6-28-91 as an emergency; operative 6-28-91 (Register 91, No. 41). A Certificate of Compliance must be transmitted to OAL 10-28-91 or emergency language will be repealed by operation of law on the following day.
3. New subsection (e) filed 4-23-92 as an emergency; operative 4-23-92 (Register 92, No. 18).  A Certificate of Compliance must be transmitted to OAL 8-21-92 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new subsection (e) filed 6-22-92 as an emergency; operative 6-22-92 (Register 92, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-20-92 or emergency language will be repealed by operation of law on the following day.
5. Repealer of subsection (b)(2) filed 8-25-92; operative 8-25-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 35).
6. Editorial correction of HISTORY 2. (Register 92, No. 35).
7. Editorial correction of HISTORY 2. (Register 92, No. 42).
8. Repealer and new subsection (e) refiled 10-22-92 as an emergency; operative 10-19-92 (Register 92, No. 43). A Certificate of Compliance must be transmitted to OAL 2-22-93 or emergency language will be repealed by operation of law on the following day.
9. Editorial correction of printing error in subsection (d)(1) (Register 92, No. 49).
10. Repealer and new subsection (e) refiled 2-16-93 as an emergency; operative 2-16-93 (Register 93, No. 8). A Certificate of Compliance must be transmitted to OAL 6-16-93 or emergency language will be repealed by operation of law on the following day.
11. Repealer and new subsection (e) filed 6-14-93 as an emergency; operative 6-15-93 (Register 93, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-13-93 or emergency language will be repealed by operation of law on the following day.
12. Repealer and new subsection (e) refiled 10-13-93 as an emergency; operative 10-13-93 (Register 93, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-10-94 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 10-13-93 order with amendments transmitted to OAL 12-3-93 and filed 1-14-94 (Register 94, No. 2).
14. New subsections (e)-(f)(2) and subsection redesignation filed 5-27-94 as an emergency; operative 5-27-94 (Register 94, No. 21).  A Certificate of Compliance must be transmitted to OAL by 9-26-94 or emergency language will be repealed by operation of law on the following day.
15. New subsections (e)-(f)(2) and subsection redesignation refiled 9-19-94 as an emergency; operative 9-19-94 (Register 94, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-95 or emergency language will be repealed by operation of law on the following day.
16. Editorial correction of subsection (f)(1) (Register 95, No. 2).
17. New subsections (e)-(f)(2) and subsection redesignation refiled 1-13-95 as an emergency; operative 1-13-95 (Register 95, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-95 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 1-13-95 order transmitted to OAL 4-10-95 and filed 5-22-95 (Register 95, No. 21).
19. New subsections (a)(4)-(a)(4)(D) and (b)(3) and amendment of Note filed 2-3-98; operative 3-5-98 (Register 98, No. 6).
20. Amendment of subsection (c) filed 8-6-98; operative 8-6-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
21. New subsections (b)(4)-(b)(5)(B) and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
22. Editorial correction restoring inadvertently deleted subsection (e)(4) (Register 99, No. 12).
23. Amendment of subsections (b)(2)-(4) and Note filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
24. Change without regulatory effect amending subsection (b)(5)(A) and adopting subsection (b)(5)(C) filed 7-23-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 30).
25. New subsection (h) and amendment of Note filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
§66261.6. Requirements for Recyclable Materials.
Note     •     History

(a)(1) Recyclable materials are subject to the applicable requirements for generators, transporters and facilities of articles 1 and 2 of chapter 16 of this division, except as specified otherwise for the materials listed in subsections (a)(2), (a)(3), (a)(4), (a)(5), and (a)(6) of this section.
(2) The following recyclable materials are also regulated under the articles (of chapter 16 of this division) specified below, and all applicable provisions in chapters 20 and 21 of this division:
(A) [RESERVED];
(B) hazardous wastes burned for energy recovery in boilers and industrial furnaces that are not regulated under article 15 of chapter 14 or 15 of this division are regulated under article 8 of chapter 16 of this division.
(C) spent lead-acid storage batteries that are being reclaimed are regulated under article 7 of chapter 16 of this division;
(D) recyclable materials that are being used in agriculture are regulated under article 8.5 of chapter 16 of this division;
(E) waste elemental mercury that is being recycled is regulated under article 9 of chapter 16 of this division.
(3) The following are not subject to regulation under this division, and are not subject to the notification requirements of Health and Safety Code section 25153.6:
(A) materials that can be shown to be recycled by methods identified in subdivisions (b), (c) or (d) of Health and Safety Code section 25143.2; and
(B) scrap metal as defined in section 66260.10. However, scrap metal that meets the definition of a RCRA hazardous waste is not subject to regulation under this division and is not subject to the notification requirements of Health and Safety Code section 25153.6, only when the scrap metal is being recycled; and
(C) hazardous wastes that exhibit the characteristic of toxicity specified in section 66261.24(a)(1) and do not exhibit any other characteristic of a hazardous waste specified in article 3 of this chapter (commencing with section 66261.20), are not listed in article 4 of this chapter (commencing with section 66261.30), and that qualify as one of the materials specified in 40 CFR section 261.6(a)(3) (incorporated by reference in section 66260.11).
(4) The following are prohibited as specified:
(A) the use of material (e.g., waste, used oil or other material) which is contaminated with dioxin or any other hazardous waste (other than a waste identified solely on the basis of ignitability), for dust suppression or road treatment is prohibited;
(B) the use of used oil as a road oil, dust suppressant or weed control agent is prohibited, except as provided otherwise in Health and Safety Code section 25250.5.
(5) The following hazardous waste, when recycled, is exempt from the restrictions concerning the materials used in a manner constituting disposal or used to produce products that are applied to the land, as provided in Section 25143.2(e) of the Health and Safety Code.
(A) Spent catalyst generated from the Fluid Catalytic cracking (FCC) unit in a petroleum refinery when it is recycled at portland cement kilns as the substitute of alumina and silica in the kiln feed. The concentration of the extractable heavy metals in the FCC catalyst shall not exceed the values given in Table I-C CCWE, Section 66268.106(a) except for nickel and vanadium. The total concentration of nickel and vanadium in the FCC catalyst shall not exceed 3,000 mg/kg, combined.
(6) Hazardous wastes that meet all the following criteria are not subject to regulation under this division but, instead, are subject to regulation as specified in 40 CFR section 261.6(a)(2) (incorporated by reference in section 66260.11):
(A) the hazardous waste exhibits the characteristic of a hazardous waste specified in section 66261.24(a)(1);
(B) the hazardous waste does not exhibit any other characteristic of a hazardous waste specified in article 3 of this chapter (commencing with section 66261.20);
(C) the hazardous waste is not listed in article 4 of this chapter (commencing with section 66261.30); 
(D) the hazardous waste is not listed in article 4.1 of this chapter (commencing with section 66261.50); and 
(E) the hazardous waste qualifies for regulation pursuant to 40 CFR section 261.6(a)(2) (incorporated by reference in section 66260.11).
(7) Hazardous waste that is exported to or imported from designated member countries of the Organization for Economic Cooperation and Development (OECD) (as defined in 40 CFR section 262.58(a)(1) or section 66262.58(a)(1)) for purpose of recovery is subject to the requirements of 40 CFR Part 262, Subpart H or this article, if it is subject to either the Federal manifesting requirements of 40 CFR Part 262, or to the universal waste management standards of 40 CFR Part 273.
(b) Owners and operators of facilities that store recyclable materials before they are recycled are regulated under all applicable provisions of articles 1 through 12 , 27, 28, and 28.5 of chapters 14 and 15 and any applicable provisions of chapters 16, 18, and 20 and the notification requirements under section 3010 of RCRA, except as provided in subsection (a) of this section.
(c) Owners or operators of facilities subject to RCRA permitting requirements with hazardous waste management units that recycle hazardous wastes are subject to the requirements of articles 27 and 28 of chapters 14 or 15.
NOTE

Authority cited: Sections 25143.2(e), 25150, 25159, 25159.5, 25170, 25179.6, 25245, 25250.22 and 58012, Health and Safety Code. Reference: Sections 25143, 25143.2, 25150, 25159, 25159.5, 25163, 25170, 25179.6, 25250.5 and 25250.22, Health and Safety Code; and 40 CFR Sections 261.6 and 266.23.
HISTORY

1. New section with renumbering and amendment of former section 66826 to subsection (a)(5), filed 5-24-91; effective 7-1-91 (Register 91, No. 22). A Certificate of Compliance for 5-6-91 order must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
2. Emergency order of 5-6-91 adopting subsection (a)(5) refiled, including further amendments, 9-3-91 as an emergency; operative 9-3-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 1-2-92 or emergency language will be repealed by operation of law on the following day.
3. New subsection (a)(5) refiled 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-20-92 order including amendment of Note transmitted to OAL 8-11-92 and filed 9-23-92 (Register 92, No. 39).
5. Repealer of subsections (a)(2)(B)-(C) filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
6. Repealer of subsections  (a)(2)(B)-(C) refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
7. Repealer of subsections (a)(2)(B)-(C) refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (a)(2)(E) and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
9. Repealer of subsections (a)(2)(B)-(C) refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
10. Repealer of subsections (a)(2)(B)-(C) refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
12. Repealer of subsection (a)(2)(B)-(C) filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
13. Change without regulatory effect adding new subsection (a)(2)(B) filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
14. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
15. Amendment of subsection (a)(2)(C) and amendment of Note filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
16. Change without regulatory effect amending subsection (a)(7) and Note filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
17. Certificate of Compliance as to 7-22-97 order, including relettering of subsections (a)(2)(B)-(D), transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
18. Amendment of subsection (a)(6)(A) and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
19. Change without regulatory effect adding new subsections (b) and (c) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
20. Change without regulatory effect amending subsection (b) filed 6-11-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 24).
21. Change without regulatory effect amending subsection (a)(3)(B) and amending Note filed 4-11-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 15).
22. Amendment of subsection (a)(6)(C), new subsection (a)(6)(D) and subsection relettering filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
23. Change without regulatory effect amending subsection (a)(7) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66261.7. Contaminated Containers.
Note     •     History

(a) Except as provided in Section 66262.70 and subsections (g), (h), (i), (k), (l), (m), (n), and (o) of this section, any container (as defined in Section 66260.10 of this division), or inner liner removed from a container, which previously held a hazardous material, including but not limited to hazardous waste, and which is empty as defined in subsection (b) or (d) of this section shall be exempt from regulation under this division and Chapter 6.5 of Division 20 of the Health and Safety Code if it will be managed in accordance with subsection (e) of this section. Existing permits which contain specific conditions governing container cleaning operations which conflict with the provisions of these regulations may be amended to be consistent with this regulation by following the Class 2 permit modification procedures set forth in Section 66270.42(b).
(b) A container, or an inner liner removed from a container, which previously held a hazardous material, including hazardous waste, is empty if the container or the inner liner removed from a container has been emptied so that:
(1) If the hazardous material which the container or inner liner held is pourable, no hazardous material can be poured or drained from the container or inner liner when the container or inner liner is held in any orientation (e.g., tilted, inverted, etc.); and
(2) If the hazardous material which the container or inner liner held is not pourable, no hazardous material remains in or on the container or inner liner that can feasibly be removed by physical methods (excluding rinsing) which comply with applicable air pollution control laws and which are commonly employed to remove materials from that container or inner liner. Following material removal, the top, bottom and sidewalls of such a container shall not contain remaining adhered or crusted material resulting from buildup of successive layers of material or a mass of solidified material. A thin uniform layer or dried material or powder is considered acceptable. A person who treats a container or inner liner onsite by employing physical methods to satisfy the standard in this subsection is authorized to perform such treatment for purposes of Health and Safety Code Section 25201.
(c) A person who treats a container or an inner liner removed from a container of five gallons or less in capacity which has been emptied pursuant to subsection (b) of this section is authorized, for purposes of Health and Safety Code Section 25201, to perform such activities if any rinsate or other residue generated by these activities is completely captured and classified in accordance with the provisions of this division and any applicable waste discharge requirements.
(d) A container or an inner liner removed from a container that has held a material listed as an acute hazardous waste in Sections 261.31, 261.32, or 261.33 (e) Title 40 of the Federal Code of Regulations or a waste which is extremely hazardous pursuant to any of the criteria of Sections 66261.110, 66261.113, and Title 22, California Code of Regulations, Division 4.5, Chapter 11, Appendix X is empty if:
(1) The container or inner liner has been triple rinsed using a solvent capable of removing the waste and all pourable residues have been removed from the container or inner liner in accordance with subsection (b)(1) of this section. Triple rinsing activities shall require specific authorization from the Department unless subject to the provisions of Health and Safety Code Section 25143.2(c)(2); or
(2) The container or inner liner is cleaned by another method that has been shown in the scientific literature, or by tests conducted by the generator, to achieve equivalent removal. Alternative methods to rinsing require prior approval by the Department.
(e) In order to retain the exemption under this section, an empty container or an inner liner removed from a container must be managed by one of the following methods:
(1) Except as otherwise provided in Section 42170 of the Public Resources Code, for containers of five gallons or less in capacity, or inner liners removed from containers of five gallons or less in capacity, by disposing of the container or inner liner at an appropriate solid waste facility, provided that the container or inner liner is packaged and transported in accordance with applicable U.S. Department of Transportation regulations (49 CFR Part 173); or
(2) By reclaiming its scrap value onsite or shipping the container or inner liner to a person who reclaims its scrap value, provided that the container or inner liner is packaged and transported in accordance with applicable U.S. Department of Transportation regulations (49 CFR Part 173); or
(3) By reconditioning or remanufacturing the container or inner liner onsite pursuant to 49 CFR Section 173.28 (c) and (d) (revised at 55 FR 52402 - 52729) for subsequent reuse, or shipping the container or inner liner to a person who reconditions or remanufactures the container or inner liner pursuant to 49 CFR Section 173.28 (c) and (d) (revised at 55 FR 52402 - 52729); or
(4) By shipping the container or inner liner to a supplier  or to another intermediate collection location for accumulation prior to managing the container or inner liner pursuant to subsections (e)(1), (e)(2) or (e)(3) of this section, provided that the container or inner liner is packaged and transported in accordance with applicable U.S. Department of Transportation regulations.
(f) A container or an inner liner removed from a container larger than five gallons in capacity which is managed pursuant to subsection (e) of this section shall be marked with the date it has been emptied and shall be managed within one year of being emptied.
(g) Any person who generates an empty container or an inner liner larger than five gallons in capacity which previously held a hazardous material shall maintain, and provide upon request, to the Department, the Environmental Protection Agency, or any local agency or official authorized to bring an action as provided in Health and Safety Code Section 25180 the name, street address, mailing address and telephone number of the owner or operator of the facility where the empty container has been shipped. The above information shall be retained onsite for a period of three years.
(h) Uncontaminated containers, where an inner liner has prevented contact of the hazardous material with the inner surface of the container, are not hazardous waste subject to regulation under this division and Chapter 6.5 of Division 20 of the Health and Safety Code.
(i) Containers or inner liners which previously held a hazardous material which are sent back to the supplier for the purpose of being refilled are exempt from regulation under this division and Chapter 6.5 of Division 20 of the Health and Safety Code if all of the following requirements are met:
(1) The container or inner liner was last used to hold a hazardous material acquired from a supplier of hazardous materials;
(2) The container or inner liner is empty pursuant to the standards set forth in Section 261.7 of Title 40 of the Code of Federal Regulations;
(3) The container or inner liner is returned to a supplier of hazardous materials for the purpose of being refilled, provided that the supplier's reuse of the container or inner liner is in compliance with the requirements of Section 173.28 of Title 49 of the Code of Federal Regulations;
(4) The container or inner liner is not treated prior to being returned to the supplier of hazardous materials, except as authorized by this section;
(5) The container is not treated (except as authorized by this section) by the supplier of hazardous materials without obtaining specific authorization from the Department; and
(6) The container or inner liner is refilled by the supplier with hazardous material which is compatible with the hazardous material which the container or inner liner previously held unless the container has been adequately decontaminated.
(j) If the supplier, upon receiving a container or an inner liner pursuant to subsection (i) of this section, is unable to refill the container or inner liner, the supplier shall empty the container or inner liner pursuant to subsections (b) or (d) of this section and manage the container or inner liner pursuant to subsection (e) of this section.
(k) Emptied household hazardous material and pesticide container, or inner liners removed from containers, of five gallon or less in capacity, are exempt from regulation under this division and Chapter 6.5 of Division 20 of the Health and Safety Code if the container or inner liner is emptied by removing all of the contents that can be removed using practices commonly employed to remove materials from that type of container.
(l) A compressed gas cylinder is exempt from regulation under this division and Chapter 6.5 of Division 20 of the Health and Safety Code when the pressure in the container approaches atmospheric pressure.
(m)(1) Provided that they are not a RCRA regulated hazardous waste, as defined in Section 66260.10 of this division, aerosol containers are exempt from regulation under this division and Chapter 6.5 of Division 20 of the Health and Safety Code if the aerosol container was emptied of the contents and propellant to the maximum extent practical under normal use (i.e., the spray mechanism was not defective and thus allowed discharge of the contents and propellant).
(2) Unless otherwise exempt under other provisions of law, aerosol containers which held a material listed as an acute hazardous waste in Sections 261.31, 261.32, or a material identified as an acute hazardous waste in Section 261.33(e), Title 40 of the Code of Federal Regulations, or a waste which is extremely hazardous pursuant to any of the criteria of Sections 66261.110, 66261.113, and Title 22, California Code of Regulations, Division 4.5, Chapter 11, Appendix X are not exempt under this section and shall be managed as hazardous waste in accordance with this division and Chapter 6.5 of Division 20 of the Health and Safety Code (commencing with Section 25100).
(3) For purposes of this section, “aerosol container” means a pressurized, sealed container which contains a product and liquified or compressed gases, and which can dispense that product by the activation of a pressure-sensitive valve.
(n) Containers made of wood, paper, cardboard, fabric, or any other similarly absorptive material are not exempt from regulation under this division or Chapter 6.5 of Division 20 of the Health and Safety Code if the container was in direct contact with and has absorbed the hazardous waste or a hazardous material.
(o) The following items are not containers for purposes of this section and should continue to be managed as specified below:
(1) Used oil filters managed pursuant to Section 66266.130 of this division.
(2) PCB or PCB contaminated electrical equipment, including but not limited to, transformers and capacitors managed pursuant to 40 CFR Section 761.60, or Section 66268.29(b) of this division, so that the Soluble Threshold Limit Concentration (STLC) and the Total Threshold Limit Concentration (TTLC) values set forth in Section 66261.24(a)(2) of this division are not exceeded.
(3) Chemotherapy drug intravenous (IV) bags or tubing used for the delivery of chemotherapy agents managed pursuant to Chapter 6.1 of Division 20 of the Health and Safety Code.
(p) The residue remaining in a bulk container (as defined in section 66260.10) that has held hazardous waste is not a hazardous waste, except as provided in subsections (p)(2) and (p)(3), and a facility that receives the bulk container for cleaning or reuse, by such receipt is not receiving offsite waste, if the bulk container is empty as defined in subsection (p)(1) below.
(1) A bulk container that has held hazardous waste is empty if:
(A) for a residue that contains a material described in subsection (d) of this section, the bulk container is empty pursuant to subsection (d); or
(B) for a residue that does not contain a material described in subsection (d), the residue is no more than 0.3% by weight of the total capacity of the bulk container.
(2) The residue in a bulk container that is empty pursuant to subsection (p)(1)(B) of this section is subject to regulation under this division as a hazardous waste when:
(A) the bulk container ceases to be operated for hazardous waste or hazardous material transportation; or
(B) the residue is from hazardous waste that was hazardous by the characteristic of toxicity (as defined in section 66261.24), and, without prior removal of the residue, the bulk container is subsequently used to hold a product or recyclable material which would be reduced in quality, value, or usefulness, rendered non-recyclable, or which would potentially have an adverse effect on human health and/or the environment by commingling with the residue, or
(C) without prior removal of the residue, the bulk container is subsequently used to hold a material that is chemically incompatible with the residue, including, but not limited to, those incompatible materials listed in Appendix V of chapter 14 of this division.
(3) An offsite facility that receives a bulk container that held a hazardous waste is an offsite facility subject to the facility standards of chapters 14, 15, and 20 of this division if:
(A) the bulk container is not empty pursuant to subsection (p)(1); or
(B) the bulk container is empty pursuant to subsection (p)(2), and, without removal of the residue, the bulk container is subsequently used to hold a material that is chemically incompatible with that residue, including, but not limited to, those incompatible materials listed in Appendix V of chapter 14 of this division.
(q) Reserved.
(r) Any container, or inner liner removed from a container, which previously held a hazardous material, including but not limited to hazardous waste, and which is not empty as defined in subsections (b) or (d) of this section, or otherwise exempt from regulation as a hazardous waste under this division or Chapter 6.5 of Division 20 of the Health and Safety Code (commencing with Section 25100), shall be managed as a hazardous waste in accordance with this division and Chapter 6.5 of Division 20 of the Health and Safety Code (commencing with Section 25100).
(s) The generator and transporter shall comply with the provisions of the Sanitary Food Transportation Act of 1990 (Title 49 of the United States Code Section 5701 et seq.) and the National Economic Crossroads Transportation Efficiency Act of 1997 (Title 12 section 12002 et seq.) as applicable.
NOTE

Authority cited: Sections 208, 25141, 25143.2, 25150 and 58012, Health and Safety Code. References: Sections 208, 25141, 25143.2, 25150, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 261.7.
HISTORY

1. Renumbering and amendment of former section 66730 to section 66261.7(a)-(g) and new subsection (h) filed 5-24-91; operative 7-1-91 (Register 91, No. 22). A Certificate of Compliance must be transmitted to OAL by 6-28-91 or emergency language, subsections (a)-(g) will be repealed by operation of law on the following day.
2. New section refiled 6-28-91 as an emergency; operative 6-28-91 (Register 91, No. 41). A Certificate of Compliance must be transmitted to OAL by 10-28-91 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (d)-(f) and NOTE filed 10-28-91 as an emergency; operative 10-28-91 (Register 92, No. 13). A Certificate of Compliance must be transmitted to OAL 2-25-92 or emergency language will be repealed by operation of law on the following day.
4. New section with amendments to subsection (a), (c)(1) and (c)(2), new subsection (g), and subsection relettering  refiled 3-12-92 as an emergency; operative 3-12-92 (Register 92, No. 22). A Certificate of Compliance must be transmitted to OAL 7-10-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-12-92 order including amendment of section transmitted to OAL 4-18-92 and filed 5-29-92 (Register 92, No. 25).
6. Editorial correction of subsection (m)(2) (Register 95, No. 42).
7. Repealer of subsection (o)(4), new subsections (p)-(q), subsection relettering, new subsection (s) and amendment of Note filed 10-19-2000; operative 11-18-2000 (Register 2000, No. 42).
§66261.9. Requirements for Universal Waste.
Note     •     History

(a) The hazardous wastes listed in this section are exempt from the management requirements of chapter 6.5 of division 20 of the Health and Safety Code and its implementing regulations except as specified in chapter 23 and, therefore, are not fully regulated as hazardous wastes. The wastes listed in this section are subject to regulation pursuant to chapter 23 and shall be known as “universal wastes.”
(1) Batteries, as described in section 66273.2, subsection (a); 
(2) Electronic devices, as described in section 66273.3, subsection (a);
(3) Mercury-containing equipment, as described in section 66273.4, subsection (a); 
(4) Lamps, as described in section 66273.5, subsection (a) (including, but not limited to, M003 wastes);
(5) Cathode ray tubes, as described in section 66273.6, subsection (a); 
(6) Cathode ray tube glass, as described in section 66273.7, subsection (a); and
(7) Aerosol cans, as specified in Health and Safety Code section 25201.16.
(b) Unless specified otherwise in section 66273.60, universal wastes shall be managed as hazardous wastes pursuant to chapters 10 through 16, 18, and 20 through 22 of this division upon arrival at a destination facility. 
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25201, 25214.9, 25214.10.1, 25219.1 and 58012, Health and Safety Code; and Section 42475.2, Public Resources Code. Reference: Sections 25117.2, 25141, 25150, 25159.5, 25180-25196, 25214.5, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 261.9. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)(2)-(3) and new subsection (a)(4) filed 8-3-2001 as an emergency; operative 8-3-2001 (Register 2001, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-3-2001 or emergency language will be repealed by operation of law on the following day.
7. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (a)(2)-(3) and new subsection (a)(4) refiled 11-30-2001 as an emergency; operative 11-30-2001 (Register 2001, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-2-2002 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-2-2001 order, including further amendment of section, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
10. Amendment refiled 3-26-2002 as an emergency; operative 4-12-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-12-2002 or emergency language will be repealed by operation of law on the following day.
11. Amendment refiled 8-6-2002 as an emergency; operative 8-6-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-4-2002 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsection (a) and amendment of Note filed 9-23-2002 as an emergency; operative 9-23-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-21-2003 or emergency language will be repealed by operation of law on the following day.
13. Amendments in 8-6-2002 order refiled 11-25-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 11-25-2002 order, including amendment of section and Note, transmitted to OAL 12-24-2002 and filed 2-3-2003 (Register 2003, No. 6).
15. Amendment of section and Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
16. Amendment of subsection (a)(5) and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
17. Amendment of subsection (a)(5) and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
18. Amendment of subsection (a)(5) and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
19. Certificate of Compliance as to 5-8-2008 order, including further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
20. Editorial correction of History 19 (Register 2009, No. 10.)
§66261.9.5. Requirements for Treated Wood Waste.
Note     •     History

Treated wood waste as defined in section 67386.4 when managed as specified in chapter 34 is exempt from the management requirements of chapter 12 through 20. 
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Section 25150.7, Health and Safety Code. 
HISTORY

1. New section filed 12-27-2006 as an emergency; operative 1-1-2007 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2007 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2007, No. 17).
3. New section refiled 4-23-2007 as an emergency; operative 4-30-2007 (Register 2007, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section and amendment of Note filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
Article 2. Criteria for Identifying the Characteristics of Hazardous Waste
§66261.10. Criteria for Identifying the Characteristics of Hazardous Waste.
Note     •     History

(a) The Department shall identify and define a characteristic of hazardous waste in article 3 of this chapter only upon determining that:
(1) a waste that exhibits the characteristic may:
(A) cause, or significantly contribute to, an increase in mortality or an increase in serious irreversible, or incapacitating reversible, illness; or
(B) pose a substantial present or potential hazard to human health or the environment when it is improperly treated, stored, transported, disposed of or otherwise managed; and
(2) the characteristic can be:
(A) measured by an available standardized test method which is reasonably within the capability of generators of waste or private sector laboratories that are certified by the Department pursuant to Chapter 44 of this division and available to serve generators of waste; or
(B) reasonably detected by generators of waste through their knowledge of their waste.
NOTE

Authority cited: Sections 208, 25141 and 25159, Health and Safety Code. Reference: Sections 25117, 25141, 25159 and 25159.5, Health and Safety Code and 40 CFR Section 261.10.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
Article 3. Characteristics of Hazardous Waste
§66261.20. General.
Note     •     History

(a) A waste, as defined in section 66261.2, which is not excluded from regulation as a hazardous waste pursuant to section 66261.4(b), is a hazardous waste if it exhibits any of the characteristics identified in this article.
(b) A waste which is identified as a hazardous waste pursuant to one or more of the characteristics set forth in section 66261.21, 66261.22(a)(1), 66261.22(a)(2), 66261.23 or 66261.24(a)(1) is assigned the EPA Hazardous Waste Number set forth in this article for each characteristic that is applicable to that waste. These numbers shall be used in complying with the notification requirements of Health and Safety Code section 25153.6 and, where applicable, in the recordkeeping and reporting requirements under chapters 12 through 15, 18 and 20 of this division.
(c) Sampling and sample management of wastes and other materials for analysis and testing pursuant to this article shall be in accord with the sampling planning, methodology and equipment, and the sample processing, documentation and custody procedures specified in chapter nine of “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd edition, U.S. Environmental Protection Agency, 1986 (incorporated by reference, see section 66260.11 of this chapter). In addition to the sampling methods in chapter nine of SW-846, the Department will consider samples obtained using any of the other applicable sampling methods specified in Appendix I of this chapter to be representative samples.
NOTE

Authority cited: Sections 208, 25141 and 25159, Health and Safety Code. Reference: Sections 25141, 25159 and 25159.5, Health and Safety Code and 40 CFR Section 261.20.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66261.21. Characteristic of Ignitability.
Note     •     History

(a) A waste exhibits the characteristic of ignitability if representative samples of the waste have any of the following properties:
(1) it is a liquid, other than an aqueous solution containing less than 24 percent alcohol by volume, and has a flash point less than 60oC (140oF), as determined by a Pensky-Martens Closed Cup Tester, using the test method specified in ASTM Standard D-93-79 or D-93-80 (incorporated by reference, see section 66260.11), or a Setaflash Closed Cup Tester, using the test method specified in ASTM Standard D-3278-78 (incorporated by reference, see section 66260.11), or as determined by an equivalent test method approved by the Department pursuant to section 66260.21;
(2) it is not a liquid and is capable, under standard temperature and pressure, of causing fire through friction, absorption of moisture or spontaneous chemical changes and, when ignited, burns so vigorously and persistently that it creates a hazard;
(3) It is an ignitable compressed gas.
(A) The term “compressed gas” shall designate any material or mixture having in the container an absolute pressure exceeding 40 p.s.i. at 70 oF or, regardless of the pressure at 70 oF, having an absolute pressure exceeding 104 p.s.i. at 130 oF; or any liquid flammable material having a vapor pressure exceeding 40 p.s.i. absolute at 100 oF as determined by ASTM Test D-323. 
(B) A compressed gas shall be characterized as ignitable if any one of the following occurs: 
1. Either a mixture of 13 percent or less (by volume) with air forms a flammable mixture or the flammable range with air is wider than 12 percent regardless of the lower limit. These limits shall be determined at atmospheric temperature and pressure. The method of sampling and test procedure shall be acceptable to the Bureau of Explosives and approved by the director, Pipeline and Hazardous Materials Technology, U.S. Department of Transportation (see Note 2) or equivalent test methods approved by the Department pursuant to section 66260.21. 
2. Using the Bureau of Explosives' Flame Projection Apparatus (see Note 1), the flame projects more than 18 inches beyond the ignition source with valve opened fully. Or, the flame flashes back and burns at the valve with any degree of valve opening. 
3. Using the Bureau of Explosives' Open Drum Apparatus (see Note 1), there is any significant propagation of flame away from the ignition source. 
4. Using the Bureau of Explosives' Closed Drum Apparatus (see Note 1), there is any explosion of the vapor-air mixture in the drum. 
(4) It is an oxidizer. An oxidizer for the purpose of this subchapter is a substance such as a chlorate, permanganate, inorganic peroxide, or a nitrate, that yields oxygen readily to stimulate the combustion of organic matter (see Note 4). 
(A) An organic compound containing the bivalent -O-O- structure and which may be considered a derivative of hydrogen peroxide where one or more of the hydrogen atoms have been replaced by organic radicals must be classed as an organic peroxide unless: 
1. The material meets the definition of a Class A explosive or a Class B explosive, as defined in §66261.23(a)(8), in which case it must be classed as an explosive. 
2. The material is forbidden to be offered for transportation according to 49 CFR 172.101 and 49 CFR 173.21. 
3. It is determined that the predominant hazard of the material containing an organic peroxide is other than that of an organic peroxide, or
4. According to data on file with the Pipeline and Hazardous Materials Safety Administration in the U.S. Department of Transportation (see Note 3), it has been determined that the material does not present a hazard in transportation. 
(b) A hazardous waste that exhibits the characteristic of ignitability has the EPA Hazardous Waste Number of D001.

Note 1: A description of the Bureau of Explosives' Flame Projection Apparatus, Open Drum Apparatus, Closed Drum Apparatus, and method of tests may be procured from the Bureau of Explosives.

Note 2: As part of a U.S. Department of Transportation (DOT) reorganization, the Office of Hazardous Materials Technology (OHMT), which was the office listed in the 1980 publication of 49 CFR 173.300 for the purposes of approving sampling and test procedures for a flammable gas, ceased operations on February 20, 2005. OHMT programs have moved to the Pipeline and Hazardous Materials Safety Administration (PHMSA) in the DOT.

Note 3: As part of a U.S. Department of Transportation (DOT) reorganization, the Research and Special Programs Administration (RSPA), which was the office listed in the 1980 publication of 49 CFR 173.151a for the purposes of determining that a material does not present a hazard in transport, ceased operations on February 20, 2005. RSPA programs have moved to the Pipeline and Hazardous Materials Safety Administration (PHMSA) in the DOT.

Note 4: The DOT regulatory definition of an oxidizer was contained in §173.151 of 49 CFR, and the definition of an organic peroxide was contained in paragraph 173.151a. An organic peroxide is a type of oxidizer.
NOTE

Authority cited: Sections 208, 25141 and 25159, Health and Safety Code. Reference: Sections 25117, 25120.2, 25141, 25159 and 25159.5, Health and Safety Code and 40 CFR Section 261.21.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect repealing subsections (a)(3) and (a)(4), adopting new subsections (a)(3)-(a)(4)(A)4. and new Notes 1-4 and amending subsection (b) filed 2-21-2012 pursuant to Health and Safety Code section 25159.1, which stipulates that this revision shall be deemed a nonsubstantive change in accordance with the provisions of section 100, title 1, California Code of Regulations (Register 2012, No. 8).
§66261.22. Characteristic of Corrosivity.
Note     •     History

(a) A waste exhibits the characteristic of corrosivity if representative samples of the waste have any of the following properties:
(1) it is aqueous and has a pH less than or equal to 2 or greater than or equal to 12.5, as determined by a pH meter using either the EPA test method for pH or an equivalent test method approved by the Department pursuant to section 66260.21. The EPA test method for pH is specified as Method 9040 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd edition and updates (incorporated by reference, see section 66260.11);
(2) it is a liquid and corrodes steel (SAE 1020) at a rate greater than 6.35 mm (0.250 inch) per year at a test temperature of 55oC (130oF) as determined by the test method specified in NACE Standard TM-01-69 as standardized in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd edition and updates (incorporated by reference, see section 66260.11) or an equivalent test method approved by the Department pursuant to section 66260.21;
(3) it is not aqueous and, when mixed with an equivalent weight of water, produces a solution having a pH less than or equal to 2 or greater than or equal to 12.5, as determined by a pH meter using either Method 9040 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd edition and updates (incorporated by reference, see section 66260.11) or an equivalent test method approved by the Department pursuant to 66260.21;
(4) it is not a liquid and, when mixed with an equivalent weight of water, produces a liquid that corrodes steel (SAE 1020) at a rate greater than 6.35 mm (0.250 inch) per year at a test temperature of 55oC (130oF) as determined by the test method specified in NACE Standard TM-01-69 as standardized in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd edition and updates (incorporated by reference, see section 66260.11) or an equivalent test method approved by the Department pursuant to 66260.21.
(b) A waste that exhibits the characteristic of corrosivity specified in subsection (a)(1) or (a)(2) of this section has the EPA Hazardous Waste Number of D002.
NOTE

Authority cited: Sections 25141, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25117, 25120.2, 25141, 25159 and 25159.5, Health and Safety Code and 40 CFR Section 261.22.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a)(1)-(4) and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66261.23. Characteristic of Reactivity.
Note     •     History

(a) A waste exhibits the characteristic of reactivity if representative samples of the waste have any of the following properties:
(1) it is normally unstable and readily undergoes violent change without detonating;
(2) it reacts violently with water;
(3) it forms potentially explosive mixtures with water;
(4) when mixed with water, it generates toxic gases, vapors or fumes in a quantity sufficient to present a danger to human health or the environment;
(5) it is a cyanide or sulfide bearing waste which, when exposed to pH conditions between 2 and 12.5, can generate toxic gases, vapors or fumes in a quantity sufficient to present a danger to human health or the environment;
(6) it is capable of detonation or explosive reaction if it is subjected to a strong initiating source or if heated under confinement;
(7) it is readily capable of detonation or explosive decomposition or reaction at standard temperature and pressure;
(8) it is a forbidden explosive as defined in 49 CFR section 173.51 (as amended April 20, 1987), or a Class A explosive as defined in 49 CFR section 173.53 (as amended April 5, 1967) or a Class B explosive as defined in 49 CFR section 173.88 (as amended May 19, 1980).
(b) A waste that exhibits the characteristic of reactivity has the EPA Hazardous Waste Number of D003.
NOTE

Authority cited: Sections 208, 25141 and 25159, Health and Safety Code. Reference: Sections 25117, 25120.2, 25141, 25159 and 25159.5, Health and Safety Code and 40 CFR Section 261.23.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66261.24. Characteristic of Toxicity.
Note     •     History

(a) A waste exhibits the characteristic of toxicity if representative samples of the waste have any of the following properties:
(1) when using the Toxicity Characteristic Leaching Procedure (TCLP), test Method 1311 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846, third edition and Updates (incorporated by reference in section 66260.11 of this division), the extracts from representative samples of the waste contain any of the contaminants listed in Table I of this section at a concentration equal to or greater than the respective value given in that table unless the waste is excluded from classification as a solid waste or hazardous waste or is exempted from regulation pursuant to 40 CFR section 261.4. Where the waste contains less than 0.5 percent filterable solids, the waste itself, after filtering using the methodology outlined in Method 1311, is considered to be the extract for the purposes of this section;
(A) a waste that exhibits the characteristic of toxicity pursuant to subsection (a)(1) of this section has the EPA Hazardous Waste Number specified in Table I of this section which corresponds to the toxic contaminant causing it to be hazardous;
(B) Table I - Maximum Concentration of Contaminants for the Toxicity Characteristic:

EPA		Chemical
Hazardous		Abstracts	Regulatory
Waste		Service	Level
Number	 Contaminant	Number	Mg/l
D004	Arsenic	7440-38-2	5.0
D005	Barium	7440-39-3	100.0
D018	Benzene	71-43-2	0.5
D006	Cadmium	7440-43-9	1.0
D019	Carbon tetrachloride	56-23-5	0.5
D020	Chlordane	57-74-9	0.03
D021	Chlorobenzene	108-90-7	100.0
D022	Chloroform	67-66-3	6.0
D007	Chromium	7440-47-3	5.0
D023	o-Cresol	95-48-7	200.01
D024	m-Cresol	108-39-4	200.01
D025	p-Cresol	106-44-5	200.01
D026	Cresol		200.01
D016	2,4-D	94-75-7	10.0
D027	1,4-Dichlorobenzene	106-46-7	7.5
D028	1,2-Dichloroethane	107-06-2	0.5
D029	1,1-Dichloroethylene	75-35-4	0.7
D030	2,4-Dinitrotoluene	121-14-2	0.13
D012	Endrin	72-20-8	0.02
D031	Heptachlor (and its epoxide)	76-44-8	0.008
D032	Hexachlorobenzene	118-74-1	0.13
D033	Hexachlorobutadiene	87-68-3	0.5
D034	Hexachloroethane	67-72-1	3.0
D008	Lead	7439-92-1	5.0
D013	Lindane	58-89-9	0.4
D009	Mercury	7439-97-6	0.2
D014	Methoxychlor	72-43-5	10.0
D035	Methyl ethyl ketone	78-93-3	200.0
D036	Nitrobenzene	98-95-3	2.0
D037	Pentachlorophenol	87-86-5	100.0
D038	Pyridine	110-86-1	5.02
D010	Selenium	7782-49-2	1.0
D011	Silver	7440-22-4	5.0
D039	Tetrachloroethylene	127-18-4	0.7
D015	Toxaphene	8001-35-2	0.5
D040	Trichloroethylene	79-01-6	0.5
D041	2,4,5-Trichlorophenol	95-95-4	400.0
D042	2,4,6-Trichlorophenol	88-06-2	2.0
D017	2,4,5-TP (Silvex)	93-72-1	1.0
D043	Vinyl chloride	75-01-4	0.2

1 If o-, m- and p-Cresol concentrations cannot be differentiated, the total cresol (D026) concentration is used. The regulatory level of total cresol is 200 mg/l.
2 Quantitation limit is greater than the calculated regulatory level. The quantitation limit therefore becomes the regulatory level.
(2) it contains a substance listed in subsections (a)(2)(A) or (a)(2)(B) of this section at a concentration in milligrams per liter of waste extract, as determined using the Waste Extraction Test (WET) described in Appendix II of this chapter, which equals or exceeds its listed soluble threshold limit concentration or at a concentration in milligrams per kilogram in the waste which equals or exceeds its listed total threshold limit concentration;
(A) Table II - List of Inorganic Persistent and Bioaccumulative Toxic Substances and Their Soluble Threshold Limit Concentration:
(STLC) and Total Threshold Limit Concentration (TTLC) Values.

	STLC	TTLC
		Wet-Weight
  Substancea,b	mg/l	mg/kg

Antimony and/or antimony compounds	15	500
Arsenic and/or arsenic compounds	5.0	500
Asbestos		  1.0
		(as percent)
Barium and/or barium compounds (excluding barite)	100	10,000c
Beryllium and/or beryllium compounds	0.75	75
Cadmium and/or cadmium compounds	1.0	100
Chromium (VI) compounds	5	500
Chromium and/or chromium (III) compounds	5d	2,500
Cobalt and/or cobalt compounds	80	8,000
Copper and/or copper compounds	25	2,500
Fluoride salts	180	18,000
Lead and/or lead compounds	5.0	1,000
Mercury and/or mercury compounds	0.2	20
Molybdenum and/or molybdenum compounds	350	3,500e
Nickel and/or nickel compounds	20	2,000
Selenium and/or selenium compounds	1.0	100
Silver and/or silver compounds	5	500
Thallium and/or thallium compounds	7.0	700
Vanadium and/or vanadium compounds	24	2,400
Zinc and/or zinc compounds	250	5,000
aSTLC and TTLC values are calculated on the concentrations of the elements, not the compounds.
bIn the case of asbestos and elemental metals, the specified concentration limits apply only if the substances are in a friable, powdered or finely divided state. Asbestos includes chrysotile, amosite, crocidolite, tremolite, anthophyllite, and actinolite.
cExcluding barium sulfate.
dIf the soluble chromium, as determined by the TCLP set forth in Appendix I of chapter 18 of this division, is less than 5 mg/l, and the soluble chromium, as determined by the procedures set forth in Appendix II of chapter 11, equals or exceeds 560 mg/l and the waste is not otherwise identified as a RCRA hazardous waste pursuant to section 66261.100, then the waste is a non-RCRA hazardous waste.
eExcluding molybdenum disulfide.
(B) Table III - List of Organic Persistent and Bioaccumulative Toxic Substances and Their Soluble Threshold Limit Concentration (STLC) and Total Threshold Limit Concentration (TTLC) Values:

	STLC	TTLC
		Wet Weight
  Substance	mg/l	mg/kg

Aldrin	0.14	1.4
Chlordane	0.25	2.5
DDT, DDE, DDD	0.1	1.0
2,4-Dichlorophenoxyacetic acid	10	100
Dieldrin	0.8	8.0
Dioxin (2,3,7,8-TCDD)	0.001	0.01
Endrin	0.02	0.2
Heptachlor	0.47	4.7
Kepone	2.1	21
Lead compounds, organic	--	13
Lindane	0.4	4.0
Methoxychlor	10	100
Mirex	2.1	21
Pentachlorophenol	1.7	17
Polychlorinated biphenyls (PCBs)	5.0	50
Toxaphene	0.5	5
Trichloroethylene	204	2,040
2,4,5-Trichlorophenoxypropionic acid	1.0	10

(3) it has an acute oral LD50 less than 2,500 milligrams per kilogram;
(4) it has an acute dermal LD50 less than 4,300 milligrams per kilogram;
(5) it has an acute inhalation LC50 less than 10,000 parts per million as a gas or vapor;
(6) it has an acute aquatic 96-hour LC50 less than 500 milligrams per liter when measured in soft water (total hardness 40 to 48 milligrams per liter of calcium carbonate) with fathead minnows (Pimephales promelas), rainbow trout (Salmo gairdneri) or golden shiners (Notemigonus crysoleucas) according to procedures described in Part 800 of the “Standard Methods for the Examination of Water and Wastewater (16th Edition),” American Public Health Association, 1985 and “Static Acute Bioassay Procedures for Hazardous Waste Samples,” California Department of Fish and Game, Water Pollution Control Laboratory, revised November 1988 (incorporated by reference, see section 66260.11), or by other test methods or test fish approved by the Department, using test samples prepared or meeting the conditions for testing as prescribed in subdivisions (c) and (d) of Appendix II of this chapter, and solubilized, suspended, dispersed or emulsified by the cited procedures or by other methods approved by the Department;
(7) it contains any of the following substances at a single or combined concentration equal to or exceeding 0.001 percent by weight:
(A) 2-Acetylaminofluorene (2-AAF);
(B) Acrylonitrile;
(C) 4-Aminodiphenyl;
(D) Benzidine and its salts;
(E) bis (Chloromethyl) ether (BCME);
(F) Methyl chloromethyl ether;
(G) 1,2-Dibromo-3-chloropropane (DBCP);
(H) 3,3'-Dichlorobenzidine and its salts (DCB);
(I) 4-Dimethylaminoazobenzene (DAB);
(J) Ethyleneimine (EL);
(K) alpha-Naphthylamine (1-NA);
(L) beta-Naphthylamine (2-NA);
(M) 4-Nitrobiphenyl (4-NBP);
(N) N-Nitrosodimethylamine (DMN);
(0) beta-Propiolactone (BPL);
(P) Vinyl chloride (VCM);
(8) it has been shown through experience or testing to pose a hazard to human health or environment because of its carcinogenicity, acute toxicity, chronic toxicity, bioaccumulative properties or persistence in the environment.
(b) A waste containing one or more materials which exhibit the characteristic of toxicity because the materials have the property specified in subsection (a)(5) of this section may be classified as nonhazardous pursuant to section 66260.200 if the waste does not exhibit any other characteristic of this article and is not listed in article 4 of this chapter and its head space vapor contains no such toxic materials in concentrations exceeding their respective acute inhalation LC50 or their LCLO. The head space vapor of a waste shall be prepared, and two milliliters of it shall be sampled using a five milliliter gas-tight syringe, according to Method 5020 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 2nd edition, U.S. Environmental Protection Agency, 1982 (incorporated by reference, see section 66260.11). The quantity in milligrams of each material, which exhibits the characteristic of toxicity because it has the property specified in subsection (a)(5) of this section, in the sampling syringe shall be determined by comparison to liquid standard solutions according to the appropriate gas chromatographic procedures in Method 8010, 8015, 8020, 8030 or 8240 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd edition, U.S. Environmental Protection Agency, 1986 (incorporated by reference, see section 66260.11). The concentration of each material in the head space vapor shall be calculated using the following equation:

View Graphic

where C (in parts per million) is the concentration of material A in head space vapor, Q (in milligrams) is the quantity of material A in sampling syringe and MW (in milligrams per millimole) is the molecular weight of material A. Where an acute inhalation LC50 is not available, an LC50 measured for another time (t) may be converted to an eight-hour value with the following equation:
Eight-hour LC50  = (t/8) x (t-hour LC50).
(c) A waste containing one or more materials which exhibit the characteristic of toxicity because the materials have either of the properties specified in subsection (a)(3) or (a)(4) of this section may be classified as nonhazardous pursuant to section 66260.200 if the waste does not exhibit any other characteristic of this article and is not listed in article 4 of this chapter and the calculated oral LD50 of the waste mixture is greater than 2,500 milligrams per kilogram and the calculated dermal LD50 is greater than 4,300 milligrams per kilogram by the following equation:

View Graphic

where %Ax is the weight percent of each component in the waste mixture and TAX is the acute oral or dermal LD50 or the acute oral LDLO of each component.
NOTE

Authority cited: Sections 25141, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25117, 25120.2, 25141, 25159 and 25159.5, Health and Safety Code and 40 CFR Section 261.24.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of table II filed 1-31-94; operative 1-31-94 (Register 94, No. 5).
3. Editorial correction of equation (Register 95, No. 36).
4. Amendment of subsection (a)(1) and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
5. Change without regulatory effect amending subsections (a)(3) and (c) filed 6-3-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 23).
Article 4. Lists of RCRA Hazardous Wastes
§66261.30. General.
Note     •     History

(a) A waste is a RCRA hazardous waste if it is listed in this article, unless it has been excluded from this list pursuant to 40 CFR sections 260.20 and 260.22 or is categorized as a non-RCRA hazardous waste pursuant to section 66261.101. Wastes shall only be listed in this article if they are listed in 40 CFR Part 261 Subpart D.
(b) The Department will indicate the USEPA Administrator's basis for listing the classes or types of wastes listed in this article by employing one or more of the following Hazard Codes:

	Ignitable Waste	(I)
	Corrosive Waste	(C)
	Reactive Waste	(R)
	Acute Hazardous Waste	(H)
	Toxic Waste	(T)
	
Appendix VII of this chapter identifies the constituent which caused the USEPA Administrator to list the waste as a Toxic Waste (T) as included in sections 66261.31 and 66261.32.
(c) Each RCRA hazardous waste listed in this article is assigned an EPA Hazardous Waste Number which precedes the name of the waste. This number shall be used in complying with the notification requirements of Health and Safety Code section 25153.6 and certain recordkeeping and reporting requirements under chapters 12 through 15, 18, and 20 of this division.
NOTE

Authority cited: Sections 208, 25141 and 25159, Health and Safety Code. Reference: Sections 25117, 25120.2, 25141, 25159 and 25159.5, Health and Safety Code and 40 CFR Section 261.30.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66261.31. Hazardous Wastes from Non-Specific Sources.
Note     •     History

(a) The following wastes are listed hazardous wastes from non-specific sources unless they are excluded pursuant to 40 CFR sections 260.20 and 260.22:

			EPA Hazardous		Hazard Waste No.	Hazardous Waste	Code

F001	the following spent halogenated solvents used in	(T)
degreasing: Tetrachloroethylene, trichloroethylene, methylene chloride, 1,1,1-trichloroethane, carbon tetrachloride, and chlorinated fluorocarbons; all spent solvent mixtures/blends used in degreasing containing, before use, a total of ten percent or more (by volume) of one or more of the above halogenated solvents or those solvents listed in F002, F004, and F005; and still bottoms from the recovery of these spent solvents and spent solvent mixtures;

F002	the following spent halogenated solvents:	(T)
tetrachloroethylene, methylene chloride, trichloroethylene, 1,1,1-trichloroethane, chlorobenzene, 1,1,2-trichloro-1,2,2-trifluoroethane, ortho-dichlorobenzene, trichlorofluoromethane, and 1,1,2-trichloroethane; all spent solvent mixtures/blends containing, before use, a total of ten percent or more (by volume) of one or more of the above halogenated solvents or those listed in F001, F004, or F005; and still bottoms from the recovery of these spent solvents and spent solvent mixtures;

F003	the following spent non-halogenated solvents:	(I)*
xylene, acetone, ethyl acetate, ethyl benzene, ethyl ether, methyl isobutyl ketone, n-butyl alcohol, cyclohexanone, and methanol; all spent solvent mixtures/blends containing, before use, only the above spent non-halogenated solvents; and all spent solvent mixtures/blends containing, before use, one or more of the above non-halogenated solvents, and, a total of ten percent or more (by volume) of one or more of those solvents listed in F001, F002, F004, and F005; and still bottoms from the recovery of these spent solvents and spent solvent mixtures;

F004	the following spent non-halogenated solvents:	(T)
cresols and cresylic acid, and nitrobenzene; all spent solvent mixtures/blends containing, before use, a total of ten percent or more (by volume) of one or more of the above non-halogenated solvents or those solvents listed in F001, F002, and F005; and still bottoms from the recovery of these spent solvents and spent solvent mixtures;

F005	the following spent non-halogenated solvents:	(I,T)
toluene, methyl ethyl ketone, carbon disulfide, isobutanol, pyridine, benzene, 2-ethoxyethanol, and 2-nitropropane; all spent solvent mixtures/blends containing, before use, a total of ten percent or more (by volume) of one or more of the above non-halogenated solvents or those solvents listed in F001, F002, or F004; and still bottoms from the recovery of these spent solvents and spent solvent mixtures;

			EPA Hazardous		Hazard Waste No.	Hazardous Waste	Code

F006	wastewater treatment sludges from electroplating	(T)
operations except from the following processes: (1) sulfuric acid anodizing of aluminum; (2) tin plating on carbon steel; (3) zinc plating (segregated basis) on carbon steel; (4) aluminum or zinc-aluminum plating on carbon steel; (5) cleaning/stripping associated with tin, zinc and aluminum plating on carbon steel; and (6) chemical etching and milling of aluminum;

F007	spent cyanide plating bath solutions from	(R,T)
electroplating operations;

F008	plating bath residues from the bottom of plating	(R,T)
baths from electroplating operations where cyanides are used in the process;

F009	spent stripping and cleaning bath solutions from	(R,T)
electroplating operations where cyanides are used in the process;

F010	quenching bath residues from oil baths from metal	(R,T)
heat treating operations where cyanides are used in the process;

F011	spent cyanide solutions from salt bath pot	(R,T)
cleaning from metal heat treating operations;

F012	quenching waste water treatment sludges from	(T)
metal heat treating operations where cyanides are used in the process;

F019	wastewater treatment sludges from the chemical	(T)
conversion coating of aluminum except from zirconium phosphating in aluminum can washing when such phosphating is an exclusive conversion coating process;

F020	wastes (except wastewater and spent carbon from	(H)
hydrogen chloride purification) from the production or manufacturing use (as a reactant, chemical intermediate, or component in a formulating process) of tri- or tetrachlorophenol, or of intermediates used to produce their pesticide derivatives; (This listing does not include wastes from the production of Hexachlorophene from highly purified 2,4,5-trichlorophenol.)

F021	wastes (except wastewater and spent carbon from	(H)
hydrogen chloride purification) from the production or manufacturing use (as a reactant, chemical intermediate, or component in a formulating process) of pentachlorophenol, or of intermediates used to produce its derivatives;

F022	wastes (except wastewater and spent carbon from	(H)
hydrogen chloride purification) from the manufacturing use (as a reactant, chemical intermediate, or component in a formulating process) of tetra-, penta-, or hexachlorobenzenes under alkaline conditions;

F023	wastes (except wastewater and spent carbon from	(H)
hydrogen chloride purification) from the production of materials on equipment previously used for the production or manufacturing use (as a reactant, chemical intermediate, or component in a formulating process) of tri- and tetrachlorophenols; (This listing does not include wastes from equipment used only for the production or use of Hexachlorophene from highly purified 2,4,5-trichlorophenol.)

			EPA Hazardous		Hazard Waste No.	Hazardous Waste	Code

F024	process wastes, including but not limited to,	(T)
distillation, residues, heavy ends, tars, and reactor clean-out wastes, from the production of certain chlorinated aliphatic hydrocarbons by free radical catalyzed processes. These chlorinated aliphatic hydrocarbons are those having carbon chain lengths ranging from one to and including five, with varying amounts and positions of chlorine substitution; (This listing does not include wastewaters, wastewater treatment sludges, spent catalysts, and wastes listed in section 66261.31 or 66261.32.)

F025	condensed light ends, spent filters and filter aids,	(T)
and spent dessicant wastes from the production of certain chlorinated aliphatic hydrocarbons, by free radical catalyzed processes. These chlorinated aliphatic hydrocarbons are those having carbon chain lengths ranging from one to and including five, with varying amounts and positions of chlorine substitution; 

F026	wastes (except wastewater and spent carbon from	(H)
hydrogen chloride purification) from the production of materials on equipment previously used for the manufacturing use (as a reactant, chemical intermediate, or component in a formulating process) of tetra-, penta-, or hexachlorobenzene under alkaline conditions;

F027	discarded unused formulations containing tri-,	(H)
tetra-, or pentachlorophenol or discarded unused formulations containing compounds derived from these chlorophenols; (This listing does not include formulations containing Hexachlorophene synthesized from prepurified 2,4,5-trichlorophenol as the sole component.)

F028	residues resulting from the incineration or	(T)
thermal treatment of soil contaminated with EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, and F027;

F032	wastewaters (except those that have not come into	(T)
contact with process contaminants), process residuals, preservative drippage, and spent formulations from wood preserving processes generated at plants that currently use or have previously used chlorophenolic formulations (except potentially cross-contaminated wastes that have had the F032 waste code deleted in accordance with section 66261.35 of this chapter or potentially cross-contaminated wastes that are otherwise currently regulated as hazardous wastes (i.e., F034 or F035), and where the generator does not resume or initiate use of chorophenolic formulations). This listing does not include K001 bottom sediment sludge from the treatment of waste water from wood preserving processes that use creosote and/or pentachlorophenol;

			EPA Hazardous		Hazard Waste No.	Hazardous Waste	Code

F034	Wastewaters (except those that have not come into	(T)
contact with process contaminants), process residuals, preservative drippage, and spent formulations from wood preserving processes generated at plants that use creosote formulations. This listing does not include K001 bottom sediment sludge from the treatment of wastewater from wood preserving processes that use creosote and/or pentachlorophenol;

F035	Wastewaters (except those that have not come into	(T)
contact with process contaminants), process residuals, preservative drippage, and spent formulations from wood preserving processes generated at plants that use inorganic preservatives containing arsenic or chromium. This listing does not include K001 bottom sediment sludge from the treatment of wastewater from wood preserving processes that use creosote and/or pentachlorophenol.

F037	petroleum refinery primary oil/water/solids	(T)
separation sludge - any sludge generated from the gravitational separation of oil/water/solids during the storage or treatment of process wastewaters and oily cooling wastewaters from petroleum refineries. Such sludges include, but are not limited to, those generated in: oil/water/solids separators; tanks and impoundments; ditches and other conveyances; sumps; and stormwater units receiving dry weather flow. Sludges generated in stormwater units that do not receive dry weather flow, sludges generated from non-contact once-through cooling waters segregated for treatment from other process or oily cooling waters, sludges generated in aggressive biological treatment units as defined in section 66261.31(b)(2) (including sludges generated in one or more additional units after wastewaters have been treated in aggressive biological treatment units) and K051 wastes are not included in this listing.

F038	petroleum refinery secondary (emulsified)	(T)
oil/water/solids separation sludge - any sludge and/or float generated from the physical and/or chemical separation of oil/water/solids in process wastewaters and oily cooling wastewaters from petroleum refineries. Such wastes include, but are not limited to, all sludges and floats generated in: induced air flotation (IAF) units; tanks and impoundments; and all sludges generated in dissolved air flotation (DAF) units. Sludges generated in stormwater units that do not receive dry weather flow, sludges generated from non-contact once-through cooling waters segregated for treatment from other process or oily cooling waters, sludges and floats generated in aggressive biological treatment units as defined in section 66261.31(b)(2) (including sludges and floats generated in one or more additional units after wastewaters have been treated in aggressive biological treatment units) and F037, K048, and K051 wastes are not included in this listing.

F039	leachate (liquids that have percolated through	(T)
land disposed wastes) resulting from the disposal of more than one restricted waste classified as hazardous under article 4 of this chapter. (Leachate resulting from the disposal of one or more of the following EPA Hazardous Wastes and no other hazardous wastes retains its EPA hazardous waste number(s): F020, F021, F022, F026, F027, and/or F028.)

 *(I) specifies mixtures containing ignitable constituents.

 (I,T) specifies mixtures containing ignitable and toxic constituents.
(b) Listing Specific Definitions:
(1) For the purposes of the F037 and F038 listings, oil/water/solids is defined as oil and/or water and/or solids.
(2)(A) For the purposes of the F037 and F038 listings, aggressive biological treatment units are defined as units which employ one of the following four treatment methods: activated sludge; trickling filter; rotating biological contactor for the continuous accelerated biological oxidation of wastewaters; or high-rate aeration. High-rate aeration is a system of surface impoundments or tanks, in which intense mechanical aeration is used to completely mix the wastes, enhance biological activity, and:
1. The unit employs a minimum of six horsepower per million gallons of treatment volume; and
2. a. The hydraulic retention time of the unit is no longer than five days; or
b. The hydraulic retention time is no longer than 30 days and the unit does not generate a sludge that is a hazardous waste by the Toxicity Characteristic.
(B) Generators and treatment, storage and disposal facilities have the burden of proving that sludges generated or managed by the generator or facility are exempt from listing as F037 and F038 wastes under this definition. Generators and treatment, storage and disposal facilities shall maintain, in the facility operating or other onsite records, documents and data sufficient to prove that:
1. The unit is an aggressive biological treatment unit as defined in this subsection; and
2. The sludges sought to be exempted from the definitions of F037 and/or F038 wastes were actually generated in the aggressive biological treatment unit.
(3)(A) For the purposes of the F037 listing, sludges are considered to be generated at the moment of deposition in the unit, where deposition is defined as at least a temporary cessation of lateral particle movement.
(B) For the purposes of the F038 listing:
1. Sludges are considered to be generated at the moment of deposition in the unit, where deposition is defined as at least a temporary cessation of lateral particle movement; and
2. Floats are considered to be generated at the moment of formation in the top of the unit.
NOTE

Authority cited: Section 58012, Governor's Reorganizational Plan Number 1 of 1991; and sections 25140, 25141, 25150, 25159, 25159.5 and 25179.6, Health and Safety Code. Reference: Sections 25117, 25120.2, 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 261.31.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect correcting entry sequence filed 4-19-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 17).
3. Designation of subsection (a), new listings F037-F038 and subsections (b)-(b)(3)(B)2 and amendment of Note filed 7-7-94; operative 8-8-94 (Register 94, No. 27).
4. New subsection (a) listings F032, F034 and F035 and amendment of Note filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
5. Amendment of F039 and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of subsection (a) listing F032 (Register 94, No. 43).
7. Amendment of F039 and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
8. Amendment of F039 and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
9. Amendment of F039 and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
§66261.32. Hazardous Wastes from Specific Sources.
Note     •     History

The following wastes are listed hazardous wastes from specific sources unless they are excluded pursuant to 40 CFR sections 260.20 and 260.22:

			Industry and EPA
Hazardous		Hazard
Waste No.	Hazardous Waste	Code
			
Wood preservation:

K001	bottom sediment sludge from the treatment of	(T)
wastewaters from wood preserving processes that use creosote and/or pentachlorophenol; 
Inorganic pigments:

K002	wastewater treatment sludge from the production	(T)
of chrome yellow and orange pigments;

K003	wastewater treatment sludge from the production 	(T)
of molybdate orange pigments;

K004	wastewater treatment sludge from the production 	(T)
of zinc yellow pigments;

K005	wastewater treatment sludge from the production	(T)
of chrome green pigments;

K006	wastewater treatment sludge from the production	(T)
of chrome oxide green pigments (anhydrous and hydrated);

K007	wastewater treatment sludge from the production 	(T)
of iron blue pigments;

K008	oven residue from the production of chrome oxide	(T)
green pigments;
Organic chemicals:

K009	distillation bottoms from the production of	(T)
acetaldehyde from ethylene;

K010	distillation side cuts from the production of	(T)
acetaldehyde from ethylene;

K011	bottom stream from the wastewater stripper in the	(R,T)
production of acrylonitrile;

K013	bottom stream from the acetonitrile column in the	(R,T)
production of acrylonitrile;

K014	bottoms from the acetonitrile purification column	(T)
in the production of acrylonitrile;

K015	still bottoms from the distillation of benzyl	(T)
chloride;

K016	heavy ends or distillation residues from the	(T)
production of carbon tetrachloride;

K017	heavy ends (still bottoms) from the purification	(T)
column in the production of epichlorohydrin;

K018	heavy ends from the fractionation column in ethyl	(T)
chloride production;

K019	heavy ends from the distillation of ethylene	(T)
dichloride in ethylene dichloride production; 

K020	heavy ends from the distillation of vinyl chloride	(T)
in vinyl chloride monomer production;

K021	aqueous spent antimony catalyst waste from	(T)
fluoromethanes production;

K022	distillation bottom tars from the production of	(T)
phenol/acetone from cumene;

K023	distillation light ends from the production of	(T)
phthalic anhydride from naphthalene;

K024	distillation bottoms from the production of	(T)
phthalic anhydride from naphthalene;

K093	distillation light ends from the production of	(T)
phthalic anhydride from ortho-xylene;

K094	distillation bottoms from the production of	(T)
phthalic anhydride from ortho-xylene;

K025	distillation bottoms from the production of	(T)
nitrobenzene by the nitration of benzene;

K026	stripping still tails from the production of	(T)
methyl ethyl pyridines;

K027	centrifuge and distillation residues from toluene	(R,T)
diisocyanate production;

K028	spent catalyst from the hydrochlorinator reactor	(T)
in the production of 1,1,1-trichloroethane;

K029	waste from the product steam stripper in the	(T)
production of 1,1,1-trichloroethane;

K095	distillation bottoms from the production of	(T)
1,1,1-trichloroethane;

K096	heavy ends from the heavy ends column from the	(T)
production of 1,1,1-trichloroethane;

K030	column bottoms or heavy ends from the combined	(T)
production of trichloroethylene and perchloroethylene;

K083	distillation bottoms from aniline production;	(T)

K103	process residues from aniline extraction from	(T)
the production of aniline;

K104	combined wastewater streams generated from	(T)
nitrobenzene/aniline production;

K085	distillation or fractionation column bottoms from	(T)
the production of chlorobenzenes;

K105	separated aqueous stream from the reactor product	(T)
washing step in the production of chlorobenzenes;

K107	column bottoms from product separation	(C,T)
from the production of 1,1-dimethylhydrazine (UDMH) from carboxylic acid hydrazines;

K108	condensed column overheads from product	(I,T)
separation and condensed reactor vent gases from the production of 1,1-dimethylhydrazine (UDMH) from carboxylic acid hydrazides;

K109	spent filter cartridges from product	(T)
purification from the production of 1,1-dimethylhydrazine (UDMH) from carboxylic acid hydrazides;

K110	condensed column overheads from intermediate	(T)
separation from the production of 1,1-dimethylhydrazine (UDMH) from carboxylic acid hydrazides;

K111	product washwaters from the production of	(C,T)
dinitrotoluene via nitration of toluene;

K112	reaction by-product water from the drying column	(T)
in the production of toluenediamine via hydrogenation of dinitrotoluene;

K113	condensed liquid light ends from the purification	(T)
of toluenediamine in the production of toluenediamine via hydrogenation of dinitrotoluene;

K114	vicinals from the purification of toluenediamine	(T)
in the production of toluenediamine via hydrogenation of dinitrotoluene;

K115	heavy ends from the purification of toluenediamine	(T)
in the production of toluenediamine via hydrogenation of dinitrotoluene;

K116	organic condensate from the solvent recovery	(T)
column in the production of toluene diisocyanate via phosgenation of toluenediamine;

K117	wastewater from the reactor vent gas scrubber in	(T)
the production of ethylene dibromide via bromination of ethylene;

K118	spent absorbent solids from purification of	(T)
ethylene dibromide in the production of ethylene dibromide via bromination of ethylene;

K136	still bottoms from the purification of ethylene	(T)
dibromide in the production of ethylene dibromide via bromination of ethylene;

K149	Distillation bottoms from the production of 	(T)
alpha- (or methyl-) chlorinated toluenes,
ring-chlorinated toluenes, benzoyl chlorides,
and compounds with mixtures of these functional
groups. (This waste does not include still
bottoms from the distillation of benzyl chloride).

K150	Organic residuals, excluding spent carbon	(T)
adsorbent, from the spent chlorine gas and
hydrochloric acid recovery processes
associated with the production of alpha-
(or methyl-) chlorinated toluenes, ring-
chlorinated toluenes, benzoyl chlorides, and
compounds with mixtures of these functional
groups.

K151	Wastewater treatment sludges, excluding	(T)
neutralization and biological sludges,
generated during the treatment of wastewaters 
from the production of alpha- (or methyl-) 
chlorinated toluenes, ring-chlorinated toluenes,
benzoyl chlorides, and compounds with mixtures
of these functional groups.

K156	Organic waste (including heavy ends, still	(T)
bottoms, light ends, spent solvents, filtrates,
and decantates) from the production of
carbamates and carbamoyl oximes. (This listing
does not apply to wastes generated from the
manufacture of 3-iodo-2-propynyl n-butylcarbamate.)

K157	Wastewaters (including scrubber waters, 	(T)
condenser waters, washwaters, and separation waters) from the production of carbamates and carbamoyl oximes (This listing does not apply to wastes generated from the manufacture of 3-iodo-2-propynyl n-butylcarbamate.).

K158	Bag house dusts and filter/separation solids	(T)
from the production of carbamates and carbamoyl oximes. (This listing does not apply to wastes generated from the manufacture of 3-iodo-2-propynyl n-butylcarbamate.).

K159	Organics from the treatment of thiocarbamate	(T)
wastes.

K161	Purification solids (including filtration, 	(T)
evaporation, and centrifugation solids), bag house dust and floor sweepings from the production of dithiorcarbamate acids and their salts. (This listing does not include K125 or K126.)

K174	Wastewater treatment sludges from the 	(T)
production of ethylene dichloride or vinyl chloride monomer (including sludges that result from commingled ethylene dichloride or vinyl chloride monomer wastewater and other wastewater), unless the sludges meet the following conditions: (i) they are disposed of in a RCRA subtitle C or non-hazardous landfill licensed or permitted by the state or federal government; (ii) they are not otherwise placed on the land prior to final disposal; and (iii) the generator maintains documentation demonstrating that the waste was either disposed of in an on-site landfill or consigned to a transporter or disposal facility that provided a written commitment to dispose of the waste in an off-site landfill. Respondents in any action brought to enforce the requirements of this division must, upon a showing by the government that the respondent managed wastewater treatment sludges from the production of vinyl chloride monomer or ethylene dichloride, demonstrate that they meet the terms of the exclusion set forth above. In doing so, they must provide appropriate documentation (e.g., contracts between the generator and the landfill owner/operator, invoices documenting delivery of waste to landfill, etc.) that the terms of the exclusion were met.

K175	Wastewater treatment sludges from the 	T
production of vinyl chloride monomer using mercuric chloride catalyst in an acetylene-based process.
Inorganic chemicals:

K071	brine purification muds from the mercury cell	(T)
process in chlorine production, where separately prepurified brine is not used;

K073	chlorinated hydrocarbon waste from the	(T)
purification step of the diaphragm cell process using graphite anodes in chlorine production;

K106	wastewater treatment sludge from the mercury cell	(T)
process in chlorine production;
Pesticides:

K031	by-product salts generated in the production of	(T)
MSMA and cacodylic acid;

K032	wastewater treatment sludge from the production	(T)
of chlordane;

K033	wastewater and scrub water from the chlorination	(T)
of cyclopentadiene in the production of chlordane;

K034	filter solids from the filtration of	(T)
hexachlorocyclopentadiene in the production of chlordane;

K097	vacuum stripper discharge from the chlordane	(T)
chlorinator in the production of chlordane;

K035	wastewater treatment sludges generated in the	(T)
production of creosote;

K036	still bottoms from toluene reclamation	(T)
distillation in the production of disulfoton;

K037	wastewater treatment sludges from the production	(T)
of disulfoton;

K038	wastewater from the washing and stripping of	(T)
phorate production;

K039	filter cake from the filtration of	(T)
diethylphosphorodithioic acid in the production of phorate;

K040	wastewater treatment sludge from the production 	(T)
of phorate;

K041	wastewater treatment sludge from the production 	(T)
of toxaphene;

K098	untreated process wastewater from the production	(T)
of toxaphene;

K042	heavy ends or distillation residues from the	(T)
distillation of tetrachlorobenzene in the production of 2,4,5-T;

K043	2,6-Dichlorophenol waste from the production	(T)
of 2,4-D;

K099	untreated wastewater from the production	(T)
of 2,4-D;

K123	process wastewater (including supernates,	(T)
filtrates, and washwaters) from the production of ethylenebisdithiocarbamic acid and its salt;

K124	reactor vent scrubber water from the production	(C,T)
of ethylenebisdithiocarbamic acid and its salts;

K125	filtration, evaporation, and centrifugation	(T)
solids from the production of ethylenebisdithiocarbamic acid and its salts;

K126	baghouse dust and floor sweepings in milling and	(T)
packaging operations from the production or formulation of ethylenebisdithiocarbamic acid and its salts;

K131	wastewater from the reactor and spent sulfuric acid	(C,T)
from the acid dryer from the production of methyl bromide;

K132	spent absorbent and wastewater separator solids	(T)
from the production of methyl bromide;

Explosives:

K044	wastewater treatment sludges from the 	(R) manufacturing and processing of explosives;

K045	spent carbon from the treatment of wastewater	(R)
containing explosives;

K046	wastewater treatment sludges from the	(T)
manufacturing, formulation and loading of lead-based initiating compounds;

K047	pink/red water from TNT operations;	(R)

Petroleum refining:

K048	dissolved air flotation (DAF) float from the	(T)
petroleum refining industry;

K049	slop oil emulsion solids from the petroleum	(T)
refining industry;

K050	heat exchanger bundle cleaning sludge from the	(T)
petroleum refining industry;

K051	API separator sludge from the petroleum refining	(T)
industry;

K052	tank bottoms (leaded) from the petroleum refining	(T)
industry;

Iron and steel:

K061	emission control dust/sludge from the primary	(T)
production of steel in electric furnaces;

K062	spent pickle liquor generated by steel finishing	(C,T)
operations of facilities within the iron and steel industry (SIC Codes 331 and 332);

Primary aluminum:

K088	spent potliners from primary aluminum reduction;	(T)

Secondary lead:

K069	emission control dust/sludge from secondary lead	(T)
smelting; (Note, this listing has been stayed administratively for sludge generated from secondary acid scrubber systems. The stay will remain in effect until further administrative action is taken. Further administrative action will be taken after the U.S. EPA publishes a notice of action in the /Federal Register and the Department adopts regulations making this listing effective.)

K100	waste leaching solution from acid leaching of	(T)
emission control dust/sludge from secondary lead smelting;

Veterinary pharmaceuticals:

K084	wastewater treatment sludges generated during the	(T)
production of veterinary pharmaceuticals from arsenic or organo-arsenic compounds;

K101	distillation tar residues from the distillation	(T)
of aniline-based compounds in the production of veterinary pharmaceuticals from arsenic or organo-arsenic compounds;

K102	residue from the use of activated carbon for	(T)
decolorization in the production of veterinary pharmaceuticals from arsenic or organo-arsenic compounds;

Ink formulation:

K086	solvent washes and sludges, caustic washes and	(T)
sludges, or water washes and sludges from cleaning tubs and  equipment used in the formulation of ink from pigments, driers, soaps, and stabilizers containing chromium and lead;
Coking:

K060	ammonia still lime sludge from coking operations;	(T)

K087	decanter tank tar sludge from coking operations.	(T)

K141	process residues from the recovery of coat tar, 	(T) 
including, but not limited to, collecting sump residues from the production of coke from coal or the recovery of coke by-products produced from coal. This listing does not include K087 (decanter tank tar sludges from coking operations).

K142	tar storage tank residues from the production of 	(T)
coke from the coal or from the recovery of coke by-products produced from coal.

K143	process residues from the recovery of light oil,	(T)
including, but not limited to, those generated in stills, decanters, and wash oil recovery units from the recovery of coke by-products produced from coal.

K144	wastewater sump residues from light oil refining,	(T)
including, but not limited to, intercepting or contamination sump sludges from the recovery of coke by-products produced from coal.

K145	residues from naphthalene collection and recovery	(T)
operations from the recovery of coke by-products produced from coal.

K147	tar storage tank residues from coal tar refining.	(T)

K148	residues from coal tar distillation, including but	(T)
not limited to, still bottoms.
NOTE

Authority cited: Sections 25150, 25159, 25170, 25250.22, 58004 and 58012, Health and Safety Code. Reference: Sections 25117, 25120.2, 25150, 25159 and 25159.5, Health and Safety Code and 40 CFR Section 261.32.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of table and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
3. Amendment filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
4. Change without regulatory effect amending table heading and adding new listing K140 filed 5-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 21).
5. Change without regulatory effect removing listing K140, adding listings K174 and K175 and amending Note filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
6. Change without regulatory effect removing listings for Primary copper, Primary lead, Primary zinc and Ferroalloys and amending Note filed 6-12-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 24).
§66261.33. Discarded Commercial Chemical Products, Off-Specification Species, Container Residues, and Spill Residues Thereof.
Note     •     History

The following materials or items are hazardous wastes if and when they are discarded or intended to be discarded as described in section 66261.2(b):
(a) any commercial chemical product, or manufacturing chemical intermediate having the generic name listed in subsection (e) or (f) of this section. The phrase “commercial chemical product or manufacturing chemical intermediate having the generic name listed in . . .” refers to a chemical substance which is manufactured or formulated for commercial or manufacturing use which consists of the commercially pure grade of the chemical, any technical grades of the chemical that are produced or marketed, and all formulations in which the chemical is the sole active ingredient. It does not refer to a material, such as a manufacturing process waste, that contains any of the substances listed in subsection (e) or (f) of this section. Where a manufacturing process waste is deemed to be a hazardous waste because it contains a substance listed in subsection (e) or (f) of this section, such waste will be listed in either section 66261.31 or 66261.32 or will be identified as a hazardous waste by the characteristics set forth in article 3 of this chapter;
(b) any off-specification commercial chemical product or manufacturing chemical intermediate which, if it met specifications, would have the generic name listed in subsection (e) or (f) of this section;
(c) any residue remaining in a container or in an inner liner removed from a container that has held any commercial chemical product or manufacturing chemical intermediate having the generic name listed in subsections (e) or (f) of this section, unless the container is empty as defined in section 66261.7(b) of this chapter;
(d) any residue or contaminated soil, water or other debris resulting from the cleanup of a spill into or on any land or water of any commercial chemical product or manufacturing chemical intermediate having the generic name listed in subsection (e) or (f) of this section, or any residue or contaminated soil, water or other debris resulting from the cleanup of a spill, into or on any land or water, of any off-specification chemical product and manufacturing chemical intermediate which, if it met specifications, would have the generic name listed in subsection (e) or (f) of this section;
(e) the following commercial chemical products, manufacturing chemical intermediates or off-specification commercial chemical products or manufacturing chemical intermediates referred to in subsections (a) through (d) of this section, are Acute Hazardous Wastes (H). The primary hazardous properties of these materials have been indicated by the letters T (Toxicity), and R (Reactivity). Absence of a letter indicates that the compound only is listed for acute toxicity. These wastes and their corresponding EPA hazardous waste numbers are:

			EPA
Hazardous	Chemical
Waste No.	Abstracts No.	Substances

P023	107-20-0	Acetaldehyde, chloro-
P002	591-08-2	Acetamide, N-(aminothioxomethyl)-
P057	640-19-7	Acetamide, 2-fluoro-
P058	62-74-8	Acetic acid, fluoro-, sodium salt
P002	591-08-2	1-Acetyl-2-thiourea
P003	107-02-8	Acrolein
P070	116-06-3	Aldicarb
P023	1646-88-4	Aldicarb sulfone
P004	309-00-2	Aldrin
P005	107-18-6	Allyl alcohol
P006	20859-73-8	Aluminum phosphide (R,T)

P007	2763-96-4	5-(Aminomethyl)-3-isoxazolol
P008	504-24-5	4-Aminopyridine
P009	131-74-8	Ammonium picrate (R)
P119	7803-55-6	Ammonium vanadate
P099	506-61-6	Argentate (1-), bis (cyano-C)-, potassium
P010	7778-39-4	Arsenic acid H3AsO4
P012	1327-53-3	Arsenic oxide As203
P011	1303-28-2	Arsenic oxide As205
P011	1303-28-2	Arsenic pentoxide
P012	1327-53-3	Arsenic trioxide
P038	692-42-2	Arsine, diethyl
P036	696-28-6	Arsonous dichloride, phenyl-
P054	151-56-4	Aziridine
P067	75-55-8	Aziridine, 2-methyl-
P013	542-62-1	Barium cyanide
P024	106-47-8	Benzenamine, 4-chloro-
P077	100-01-6	Benzenamine, 4-nitro-
P028	100-44-7	Benzene, (chloromethyl)-
P042	51-43-4	1,2-Benzenediol, 4-[1-hydroxy-2-
		 (methylamino)ethyl]-, (R)-
P046	122-09-8	Benzeneethanamine, alpha,alpha-
		 dimethyl-
P014	108-98-5	Benzenethiol
P127	1563-66-2	7-Benzofuranol, 2,3-dihydro-2,2-
		 dimethyl-, methylcarbamate.
P188	57-64-7	Benzoic acid, 2-hydroxy-, compd.
		 with (3aS-cis)-1,2,3,3a,8, 
		 8a-hexahydro-1,3a,8-trimethyl- 
		 pyrrolo [2,3-b]indol-
		 5-yl methylcarbamate ester (1:1).
P001	181-81-2	2H-1-Benzopyran-2-one,4-hydroxy-3-
		 (3-oxo-1-phenylbutyl)-, and salts
		 when present at concentrations
		 greater than 0.3

P028	100-44-7	Benzyl chloride
P015	7440-41-7	Beryllium powder
P017	598-31-2	Bromoacetone
P018	357-57-3	Brucine

P045	39196-18-4	2-Butanone, 3,3-dimethyl-1-
		 (methylthio)-, o-[(methylamino)
		 carbonyl] oxime
P021	592-01-8	Calcium cyanide Ca(CN)

P189	55285-14-8	Carbamic acid, [(dibutylamino)-
		 thio]methyl-,2,3-dihydro-2,2-
		 dimethyl- 7-benzofuranyl ester
P191	644-64-4	Carbamic acid, dimethyl-,1-
		 [(dimethyl-amino)carbonyl]- 
		 5-methyl-1H-pyrazol-3-yl ester.
P192	119-38-0	Carbamic acid, dimethyl-, 3-methyl-1-
		 (1-methylethyl)-1H-pyrazol-5-yl ester.
P190	1129-41-5	Carbamic acid, methyl-, 3-methylphenyl 
		 ester.
P127	1536-66-2	Carbofuran
P022	75-15-0	Carbon disulfide
P095	75-44-5	Carbonic dichloride
P189	55285-14-8	Carbosulfan
P023	107-20-0	Chloroacetaldehyde
P024	106-47-8	p-Chloroaniline
P026	5344-82-1	1-(o-Chlorophenyl) thiourea
P027	542-76-7	3-Chloropropionitrile
P029	544-92-3	Copper cyanide Cu(CN)
P202	64-00-6	m-Cumenyl methylcarbamate.
P030		Cyanides (soluble cyanide salts), not
		 otherwise specified

P031	460-19-5	Cyanogen
P033	506-77-4	Cyanogen chloride (CN)Cl
P034	131-89-5	2-Cyclohexyl-4,6-dinitrophenol

P016	542-88-1	Dichloromethyl ether

P036	696-28-6	Dichlorophenylarsine
P037	60-57-1	Dieldrin
P038	692-42-2	Diethylarsine
P041	311-45-5	Diethyl-p-nitrophenyl phosphate
P040	297-97-2	O,O-Diethyl O-pyrazinyl phosphorothioate
P043	55-91-4	Diisopropyl fluorophosphate (DFP)
P004	309-00-2	1,4,5,8-Dimethanonaphthalene,1,2,3,4-,
		 10,10-hexachloro-1,4,4a,5,8,8a-
		 hexahydro-,(1alpha,4alpha,4abeta,
		 5alpha,8alpha,8abeta)-

P060	465-73-6	1,4,5,8-Dimethanonaphthalene,
		 1,2,3,4,10,10-hexachloro-1,4,4a,5,8,8a-
		 hexahydro-, (1alpha,4alpha,4abeta,
		 5beta,8beta,8abeta)-

P037	60-57-1	2,7:3,6-Dimethanonaphth[2,3-b]oxi--
		 rene,3,4,5,6,9,9-hexachloro-
		 la,2,2a,3,6,6a,7,7a-octahydro-,
		 (1aalpha,2beta,2aalpha,3beta,6beta,6a
		 alpha, 7beta,7aalpha)-
P051	172-20-8	2,7:3,6-Dimethanonaphth[2,3-b] oxirene,
		 3,4,5,6,9,9-hexachloro- 
		 1a,2,2a,3,6,6a,7,7a- octahydro-,
		 (1aalpha,2beta,2abeta,3alpha,6
		 alpha,6abeta,7beta,7aalpha)-, and
		 metabolites
P191	644-64-4	Dimetilan
P044	60-51-5	Dimethoate
P046	122-09-8	alpha, alpha-Dimethylphenethylamine
P047	1534-52-1	4,6-Dinitro-o-cresol and salts
P048	51-28-5	2,4-Dinitrophenol
P020	88-85-7	Dinoseb
P085	152-16-9	Diphosphoramide, octamethyl-
P111	107-49-3	Diphosphoric acid, tetraethyl ester
P039	298-04-4	Disulfoton
P049	541-53-7	Dithiobiuret
P185	26419-73-8	1,3-Dithiolane-2-carboxaldehyde, 2,4-
		 dimethyl-, O-[(methylamino)-
		 carbonyl]oxime.
P050	115-29-7	Endosulfan
P088	145-73-3	Endothall
P051	72-20-8	Endrin
P051	72-20-8	Endrin, and metabolites
P042	51-43-4	Epinephrine
P031	460-19-5	Ethanedinitrile
P066	16752-77-5	Ethanimidothioic acid, N-[(methylamino)
		 carbonyl] oxy]-, methyl ester
P194	23135-22-0	Ethanimidothioc acid, 2-(dimethylamino)-
		 N-[[(methylamino) carbonyl]oxy]-2-
		 oxo-, methyl ester.
P101	107-12-0	Ethyl cyanide
P054	151-56-4	Ethyleneimine

P097	52-85-7	Famphur
P056	7782-41-4	Fluorine
P057	640-19-7	Fluoroacetamide

P058	62-74-8	Fluoroacetic acid, sodium salt
P198	23422-53-9	Formetanate hydrochloride.
P197	17702-57-7	Formparanate
P065	628-86-4	Fulminic acid, mercury (2+) salt (R,T)
P059	76-44-8	Heptachlor
P062	757-58-4	Hexaethyl tetraphosphate
P116	79-19-6	Hydrazinecarbothioamide
P068	60-34-4	Hydrazine, methyl-
P063	74-90-8	Hydrocyanic acid
P063	74-90-8	Hydrogen cyanide
P096	7803-51-2	Hydrogen phosphide
P060	465-73-6	Isodrin
P192	119-38-0	Isolan
P202	64-00-6	3-Isopropylphenyl N-methylcarbamate.
P007	2763-96-4	3(2H)-Isoxazolone, 5-(aminomethyl)-
P196	15339-36-3	Manganese, bis(dimethylcarbamodithioato
		 -S,S')-,
P196	15339-36-3	Manganese dimethyldithiocarbamate.

P092	62-38-4	Mercury, (acetato-O)phenyl-
P065	628-86-4	Mercury fulminate (R,T)

P082	62-75-9	Methanamine, N-methyl-N-nitroso-
P064	624-83-9	Methane, isocyanato-
P016	542-88-1	Methane, oxybis[chloro-

P112	509-14-8	Methane, tetranitro- (R)
P118	75-70-7	Methanethiol, trichloro-
P198	23422-53-9	Methanimidamide, N,N-dimethyl-N'-
		 [3-[[(methylamino)-carbonyl]oxy]
		 phenyl]-, monohydrochloride.
P197	17702-57-7	Methanimidamide, N,N-dimethyl-N'-2[-
		 methyl-4-[[methylamino)carb onyl]oxy]
		 phenyl]-
P050	115-29-7	6,9-Methano-2,4,3-benzodioxathie--
		 pen,6,7,8,9,10,10--hexachloro- 
		 1,5,5a,6,9,9a-hexahydro-, 3-oxide
P059	76-44-8	4,7-Methano-1H-indene, 1,4,5,6,7,8,8- 
		 heptachloro- 3a,4,7,7a-tetrahydro-
P199	2032-65-7	Methiocarb

P066	16752-77-5	Methomyl
P068	60-34-4	Methyl hydrazine
P064	624-83-9	Methyl isocyanate
P069	75-86-5	2-Methyllactonitrile
P071	298-00-0	Methyl parathion
P190	1129-41-5	Metolcarb
P128	315-8-4	Mexacarbate
P072	86-88-4	alpha-Naphthylthiourea
P073	13463-39-3	Nickel carbonyl, Ni(CO)4, (T-4)-
P074	557-19-7	Nickel cyanide Ni(CN)2
P075	154-11-5	Nicotine and salts
P076	10102-43-9	Nitric oxide
P077	100-01-6	p-Nitroaniline
P078	10102-44-0	Nitrogen dioxide
P076	10102-43-9	Nitrogen oxide NO
P078	10102-44-0	Nitrogen oxide NO2
P081	55-63-0	Nitroglycerine (R)
P082	62-75-9	N-Nitrosodimethylamine
P084	4549-40-0	N-Nitrosomethylvinylamine
P085	152-16-9	Octamethylpyrophosphoramide
P087	20816-12-0	Osmium oxide OsO, (T-4)-
P087	20816-12-0	Osmium tetroxide
P088	145-73-3	7-Oxabicyclo[2.2.1]heptane-2,3- 
		 dicarboylic acid
P194	23135-22-0	Oxamyl
P089	56-38-2	Parathion
P034	131-89-5	Phenol, 2-cyclohexyl-4,6-dinitro-
P048	51-28-5	Phenol, 2,4-dinitro-

P047	1534-52-1	Phenol, 2-methy1-4,6-dinitro- and salts

P020	88-85-7	Phenol, 2-(1-methylpropyl)-4,6-dinitro-
P009	131-74-8	Phenol, 2,4,6-trinitro-, ammonium salt (R)
P128	315-18-4	Phenol, 4-(dimethylamino)-3,5-dimethyl-,
		 methylcarbamate (ester).
P199	2032-65-7	Phenol, (3,5-dimethyl-4-(methylthio)-,
		 methylcarbamate
P202	64-00-6	Phenol, 3-(1-methylethyl)-, methyl 
		 carbamate.
P201	2631-37-0	Phenol, 3-methyl-5-(1-methylethyl)-,
		 methyl carbamate
P092	62-38-4	Phenylmercury acetate
P093	103-85-5	Phenylthiourea

P094	298-02-2	Phorate
P095	75-44-5	Phosgene
P096	7803-51-2	Phosphine
P041	311-45-5	Phosphoric acid, diethyl 4-nitrophenylester

P039	298-04-4	Phosphorodithioic acid, O,O-diethyl
		 S-[2-(ethylthio)ethyl] ester
P094	298-02-2	Phosphorodithioic acid, O,O-diethyl
		 S- [(ethylthio)methyl] ester
P044	60-51-5	Phosphorodithioic acid, O,O-dimethyl
		 S-[2--(methylamino)-2-oxoethyl] ester
P043	55-91-4	Phosphorofluoridic acid, bis(1-
		 methylethyl) ester
P089	56-38-2	Phosphorothioic acid, O,O-diethyl 0-
		 (4-nitrophenyl) ester
P040	297-97-2	Phosphorothioic acid, O,O-diethyl
		 O-pyrazinyl ester
P097	52-85-7	Phosphorothioic acid, 0-[4- [(dimethylami--
		 no) sulfonyl]phenyl] O,O-dimethyl ester
P071	298-00-0	Phosphorothioic acid, O,O-dimethyl
		 0-(4-nitrophenyl) ester
P204	57-47-6	Physostigmine.
P188	57-64-7	Physostigmine salicylate.
P110	78-00-2	Plumbane, tetraethyl-
P098	151-50-8	Potassium cyanide K(CN)
P099	506-61-6	Potassium silver cyanide
P201	2631-37-0	Promecarb

P070	116-06-3	Propanal, 2-methyl-2-(methylthio)-,
		 0- [(methylamino)carbonyl]oxime
P203	1646-88-4	Propanal, 2-methyl-2-(methyl-sulfonyl)-,
		 O-[(methylamino)carbonyl] oxime.
P101	107-12-0	Propanenitrile
P027	542-76-7	Propanenitrile, 3-chloro-
P069	75-86-5	Propanenitrile, 2-hydroxy-2-methyl-
P081	55-63-0	1,2,3-Propanetriol, trinitrate (R)
P017	598-31-2	2-Propanone, 1-bromo-
P102	107-19-7	Propargyl alcohol
P003	107-02-8	2-Propenal
P005	107-18-6	2-Propen-1-ol

P067	75-55-8	1,2-Propylenimine

P102	107-19-7	2-Propyn-1-ol
P008	504-24-5	4-Pyridinamine
P075	54-11-5	Pyridine, 3-(1-methyl-2-
		 pyrrolidinyl)-, (S) and salts
P204	57-47-6	Pyrrolo[2,3-b]indol-5-ol, 1,2,3,3a,8,8a-
		 hexahydro-1,3a,8-trimethyl-,
		 methylcarbamate (ester), (3aS-cis)-.
P114	12039-52-0	Selenious acid, dithallium (1+) salt
P103	630-10-4	Selenourea
P104	506-64-9	Silver cyanide Ag(CN)

P105	26628-22-8	Sodium azide
P106	143-33-9	Sodium cyanide Na(CN)
P108	157-24-9	Strychnidin-10-one, and salts
P018	357-57-3	Strychnidin-10-one, 2,3-dimethoxy-
P108	157-24-9	Strychnine and salts
P115	7446-18-6	Sulfuric acid, dithallium (1+) salt
P109	3689-24-5	Tetraethyldithiopyrophosphate
P110	78-00-2	Tetraethyl lead
P111	107-49-3	Tetraethyl pyrophosphate
P112	509-14-8	Tetranitromethane (R)
P062	757-58-4	Tetraphosphoric acid, hexaethyl ester
P113	1314-32-5	Thallic oxide
P113	1314-32-5	Thallium oxide Tl2O3
P114	12039-52-0	Thallium (I) selenite
P115	7446-18-6	Thallium (I) sulfate
P109	3689-24-5	Thiodiphosphoric acid, tetraethyl ester
P045	39196-18-4	Thiofanox
P049	541-53-7	Thioimidodicarbonic diamide 
		 [(H2N)C(S)]2NH
P014	108-98-5	Thiophenol
P116	79-19-6	Thiosemicarbazide
P026	5344-82-1	Thiourea, (2-chlorophenyl)-
P072	86-88-4	Thiourea, 1-naphthalenyl-
P093	103-85-5	Thiourea, phenyl-
P185	26419-73-8	Tirpate
P123	8001-35-2	Toxaphene
P118	75-70-7	Trichloromethanethiol
P119	7803-55-6	Vanadic acid, ammonium salt
P120	1314-62-1	Vanadium oxide V2O5
P120	1314-62-1	Vanadium pentoxide

P084	4549-40-0	Vinylamine, N-methyl-N-nitroso-
P00l	181-81-2	Warfarin, and salts, when present at concen--
		 trations greater than 0.3%
P205	137-30-4	Zinc, bis(dimethylcarbamodithioato-
		 S,S')-,

P121	557-21-1	Zinc cyanide Zn(CN)2
P122	1314-84-7	Zinc phosphide Zn3P2 , when present at
		 concentrations greater than 10% (R,T)
P205	137-30-4	Ziram

----------
1CAS Number given for parent compound only.
(f) the following commercial chemical products, manufacturing chemical intermediates, or off-specification commercial chemical products referred to in subsections (a) through (d) of this section, are Toxic Wastes (T). The primary hazardous properties of these materials have been indicated by the letters T (Toxicity), R (Reactivity), I (Ignitability) and C (Corrosivity). Absence of a letter indicates that the compound is only listed for toxicity. These wastes and their corresponding EPA Hazardous Waste Numbers are:

			EPA
Hazardous	Chemical
Waste No.	Abstracts No.	Substances

U394	30558-43-1	A2213
U001	75-07-0	Acetaldehyde (I)
U034	75-87-6	Acetaldehyde, trichloro-
U187	62-44-2	Acetamide, N-(4-ethoxyphenyl)-
U005	53-96-3	Acetamide, N-9H-fluoren-2-yl
U240	194-75-7	Acetic acid, (2-4-dichlorophenoxy)-,
		 salts and esters
U112	141-78-6	Acetic acid, ethyl ester (I)
U144	301-04-2	Acetic acid, lead (2+) salt
U214	563-68-8	Acetic acid, thallium (1+) salt
See F027	93-76-5	Acetic acid, (2,4,5-trichlorophenoxy)-

U002	67-64-1	Acetone (I)
U003	75-05-8	Acetonitrile (I,T)
U004	98-86-2	Acetophenone
U005	53-96-3	2-Acetylaminofluorene
U006	75-36-5	Acetyl chloride (C,R,T)
U007	79-06-1	Acrylamide
U008	79-10-7	Acrylic acid (I)
U009	107-13-1	Acrylonitrile

U011	61-82-5	Amitrole
U012	62-53-3	Aniline (I,T)
U136	75-60-5	Arsinic acid, dimethyl-
U014	492-80-8	Auramine
U015	115-02-6	Azaserine

U010	50-07-7	Azirino(2',3':3,4)pyrrolo
		 [1,2-a]indole-4,7-dione,6- amino-
		 8-[((aminocarbonyl)oxy)methyl]-
		 1,1a,2,8,8a,8b-hexahydro-8a-
		 methoxy-5-methyl-[1aS-(1aalpha,
 		 8beta, 8aalpha,8balpha)]-
U280	101-27-9	Barban.
U278	22781-23-3	Bendiocarb.
U364	22961-82-6	Bendiocarb phenol.
U271	17804-35-2	Benomyl.
U157	56-49-5	Benz[j]aceanthrylene,
		 1,2-dihydro-3--methyl-
U016	225-51-4	Benz[c]acridine
U017	98-87-3	Benzal chloride
U192	23950-58-5	Benzamide, 3,5-dichloro-N-(1,1-dime--
		 thyl-2-propynyl)-
U018	56-55-3	Benz[a]anthracene
U094	57-97-6	Benz[a]anthracene, 7,12-dimethyl-
U012	62-53-3	Benzenamine (I,T)
U014	492-80-8	Benzenamine, 4,4'-carbonimidoylbis
		 [N,N-dimethyl]-
U049	3165-93-3	Benzenamine, 4-chloro-2-methyl-,
		 hydrochloride
U093	60-11-7	Benzenamine, N,N-dimethy1-4-
		 (phenylazo)-
U328	95--53-4	Benzenamine, 2-methyl-
U353	106-49-0	Benzenamine, 4-methyl-

U158	101-14-4	Benzenamine,
		 4,4'-methylenebis[2-chloro-
U222	636-21-5	Benzenamine, 2-methyl-, hydrochloride
U181	99-55-8	Benzenamine, 2-methyl-5-nitro-
U019	71-43-2	Benzene (I,T)

U038	510-15-6	Benzeneacetic acid, 4-chloro-alpha-
		 (4-chlorophenyl)- alpha-hydroxy, 
		 ethyl ester
U030	101-55-3	Benzene, 1-bromo-4-phenoxy-
U035	305-03-3	Benzenebutanoic acid,
		 4-[bis(2-chloroethyl)amino]-

U037	108-90-7	Benzene, chloro-
U221	25376-45-8	Benzenediamine, ar-methyl-
U028	117-81-7	1,2-Benzenedicarboxylic acid, bis
		 (2-ethylhexyl) ester
U069	84-74-2	1,2-Benzenedicarboxylic acid, dibutyl
		 ester
U088	84-66-2	1,2-Benzenedicarboxylic acid, diethyl
		 ester
U102	131-11-3	1,2-Benzenedicarboxylic acid, dimethyl
		 ester
U107	117-84-0	1,2-Benzenedicarboxylic acid, dioctyl
		 ester
U070	95-50-1	Benzene, 1,2-dichloro-
U071	541-73-1	Benzene, 1,3-dichloro-
U072	106-46-7	Benzene, 1,4-dichloro-
U060	72-54-8	Benzene, 1,
		 1'-(2,2-dichloroethylidene)bis
		 [4-chloro]-

U017	98-87-3	Benzene, (dichloromethyl)-
U223	26471-62-5	Benzene, 1,3-diisocyanatomethyl- (R,T)
U239	1330-20-7	Benzene, dimethyl- (I,T)
U201	108-46-3	1,3-Benzenediol
U127	118-74-1	Benzene, hexachloro-
U056	110-82-7	Benzene, hexahydro- (I)
U220	108-88-3	Benzene, methyl-
U105	121-14-2	Benzene, 1-methyl-2,4-dinitro-
U106	606-20-2	Benzene, 2-methyl-1,3-dinitro-
U055	98-82-8	Benzene, (1-methylethyl)- (I)
U169	98-95-3	Benzene, nitro-

U183	608-93-5	Benzene, pentachloro-
U185	82-68-8	Benzene, pentachloronitro-
U020	98-09-9	Benzenesulfonic acid chloride (C,R)
U020	98-09-9	Benzenesulfonyl chloride (C,R)
U207	95-94-3	Benzene, 1,2,4,5-tetrachloro-
U061	50-29-3	Benzene, 1,1'-(2,2,2-
		 trichloroethylidene)bis
		 [4-chloro]-
U247	72-43-5	Benzene, 1,1'-(2,2,2-trichloroethylidene)
		 bis [4-methoxy]-
U023	98-07-7	Benzene, (trichloromethyl)-
U234	99-35-4	Benzene, 1,3,5-trinitro-

U021	92-87-5	Benzidine
U202	181-07-2	1,2-Benzisothiazo1-3-(2H)-one, 1,1-
		 dioxide and salts

U203	94-59-7	1,3-Benzodioxole, 5-(2-propenyl)-
U141	120-58-1	1,3-Benzodioxole, 5-(1-propenyl)-

U090	94-58-6	1,3-Benzodioxole, 5-propyl-
U064	189-55-9	Benzo[rst]pentaphene
U248	181-81-2	2H-1-Benzopyran-2-one,
		 4-hydroxy-3-(3-oxo-
		 1-phenylbutyl)-, and salts, when
		 present at concentrations of 0.3% or
		 less
U022	50-32-8	Benzo[a]pyrene
U278	22781-23-3	1,3-Benzodioxol-4-ol, 2,2-dimethyl-,
		 methyl carbamate.
U364	22961-82-6	1,3-Benzodioxol-4-ol, 2,2-dimethyl-,
U367	1563-38-8	7-Benzofuranol, 2-3-dihydro-2,2-
		 dimethyl-
U197	106-51-4	p-Benzoquinone
U023	98-07-7	Benzotrichloride (C,R,T)
U085	1464-53-5	2,2'-Bioxirane
U021	92-87-5	[1,1'-Biphenyl]-4,4'-diamine
U073	91-94-1	[1,1'-Biphenyl]-4,4'-diamine,
		 3.3'-dichloro-
U091	119-90-4	[1,1'-Biphenyl]-4,4'-diamine,
		 3,3'-dimethoxy-
U095	119-93-7	[1,1'-Biphenyl]-4,4'-diamine, 
		 3,3'-dimethyl-

U225	75-25-2	Bromoform
U030	101-55-3	4-Bromophenyl phenyl ether
U128	87-68-3	1,3-Butadiene, 1,1,2,3,4,4-hexachloro-
U172	924-16-3	1-Butanamine, N-butyl-N-nitroso-
U031	71-36-3	1-Butanol (I)
U159	78-93-3	2-Butanone (I,T)

U160	1338-23-4	2-Butanone, peroxide (R,T)
U053	4170-30-3	2-Butenal
U074	764-41-0	2-Butene, 1,4-dichloro- (I,T)
U143	303-34-4	2-Butenoic acid, 2-methyl-,
		 7-[(2,3-dihydroxy-
		 2-(1-methoxyethyl)-3-methyl-1-
		 oxobutoxy) methyl]-2,3,5,7a-
		 tetrahydro-1H-pyrrolizin-1-yl
		 ester,[1S-[1alpha (Z),7(2S*, 3R*),
		 7aalpha]-

U031	71-36-3	n-Butyl alcohol (I)
U136	75-60-5	Cacodylic acid
U032	13765-19-0	Calcium chromate
U372	10605-21-7	Carbamic acid, 1H-benzimidazol-2-yl,
		 methyl ester.
U271	17804-35-2	Carbamic acid, [1-[(butylamino)carbonyl]-
		 1H-benzimidazol-2-yl]-, methyl ester.
U280	101-27-9	Carbamic acid, (3-chlorophenyl)-,
		 4-chloro-2-butynyl ester.
U238	51-79-6	Carbamic acid, ethyl ester
U178	615-53-2	Carbamic acid, methylnitroso-, ethyl
		 ester
U373	122-42-9	Carbamic acid, phenyl-, 1-methylethyl
		 ester.

U409	23564-05-8	Carbamic acid, [1,2-phenylenebis
		 (iminocarbonothioyl)]bis-, dimethyl 
		 ester.
U389	2303-17-5	Carbamothioic acid, bis(1-methylethyl)-,
		 S-(2,3,3-trichloro-2-propenyl) ester.
U387	52888-80-9	Carbamothioic acid, dipropyl-, S-
		 (phenylmethyl) ester.
U097	79-44-7	Carbamic chloride, dimethyl-
U114	1111-54-6	Carbamodithioic acid, 1,2-ethanediylbis-,
		 salts and esters

U062	2303-16-4	Carbamothioic acid, bis(1-methylethyl)-,
		 S-(2,3-dichloro-2-propenyl) ester
U279	63-25-2	Carbaryl.
U372	10605-21-7	Carbendazim.
U367	1563-38-8	Carbofuran phenol.
U215	6533-73-9	Carbonic acid, dithallium (1+) salt
U033	353-50-4	Carbonic difluoride
U156	79-22-1	Carbonochloridic acid, methyl ester (I,T)
U033	353-50-4	Carbon oxyfluoride (R,T)
U211	56-23-5	Carbon tetrachloride
U034	75-87-6	Chloral
U035	305-03-3	Chlorambucil
U036	57-74-9	Chlordane, alpha and gamma isomers
U026	494-03-1	Chlornaphazine
U037	108-90-7	Chlorobenzene
U038	510-15-6	Chlorobenzilate
U039	59-50-7	p-Chloro-m-cresol
U042	110-75-8	2-Chloroethyl vinyl ether
U044	67-66-3	Chloroform
U046	107-30-2	Chloromethyl methyl ether
U047	91-58-7	beta-Chloronaphthalene
U048	95-57-8	o-Chlorophenol
U049	3165-93-3	4-Chloro-o-toluidine, hydrochloride
U032	13765-19-0	Chromic acid HCr2O4, calcium salt
U050	218-01-9	Chrysene
U051		Creosote
U052	1319-77-3	Cresol (Cresylic acid)
U053	4170-30-3	Crotonaldehyde
U055	98-82-8	Cumene (I)
U246	506-68-3	Cyanogen bromide (CN)Br
U197	106-51-4	2,5-Cyclohexadiene-1, 4-dione
U056	110-82-7	Cyclohexane (I)

U129	58-89-9	Cyclohexane, 1,2,3,4,5,6-hexachloro-,
		 (1alpha, 2alpha, 3beta, 4alpha, 5alpha,
		 6beta)-
U057	108-94-1	Cyclohexanone (I)

U130	77-47-4	1,3-Cyclopentadiene, 1,2,3,4,5,5-
		 hexachloro-

U058	50-18-0	Cyclophosphamide
U240	194-75-7	2,4-D, salts and esters
U059	20830-81-3	Daunomycin
U060	72-54-8	DDD
U061	50-29-3	DDT
U062	2303-16-4	Diallate
U063	53-70-3	Dibenz[a,h]anthracene

U064	189-55-9	Dibenzo[a,i]pyrene
U066	96-12-8	1,2-Dibromo-3-chloropropane

U069	84-74-2	Dibutyl phthalate
U070	95-50-1	o-Dichlorobenzene
U071	541-73-1	m-Dichlorobenzene
U072	106-46-7	p-Dichlorobenzene
U073	91-94-1	3,3'-Dichlorobenzidine
U074	764-41-0	1,4-Dichloro-2-butene (I,T)
U075	75-71-8	Dichlorodifluoromethane
U078	75-35-4	1,1-Dichloroethylene
U079	156-60-5	1,2-Dichloroethylene
U025	111-44-4	Dichloroethyl ether
U027	108-60-1	Dichloroisopropyl ether
U024	111-91-1	Dichloromethoxy ethane
U081	120-83-2	2,4-Dichlorophenol
U082	87-65-0	2,6-Dichlorophenol
U084	542-75-6	1,3-Dichloropropene
U085	1464-53-5	1,2:3,4-Diepoxybutane (I,T)
U108	123-91-1	1,4-Diethyleneoxide
U395	5952-26-1	Diethylene glycol, dicarbamate.
U028	117-81-7	Diethylhexyl phthalate
U086	1615-80-1	N,N'-Diethylhydrazine
U087	3288-58-2	O,O-Diethyl-S-methyl dithiophosphate
U088	84-66-2	Diethyl phthalate
U089	56-53-1	Diethylstilbestrol
U090	94-58-6	Dihydrosafrole

U091	119-90-4	3,3'-Dimethoxybenzidine
U092	124-40-3	Dimethylamine (I)
U093	60-11-7	p-Dimethylaminoazobenzene
U094	57-97-6	7,12-Dimethylbenz[a]anthracene

U095	119-93-7	3,3'-Dimethylbenzidine
U096	80-15-9	alpha,alpha-Dimethylbenzylhydroperoxide
		 (R)
U097	79-44-7	Dimethylcarbamoyl chloride

U098	57-14-7	1,1-Dimethylhydrazine
U099	540-73-8	1,2-Dimethylhydrazine
U101	105-67-9	2,4-Dimethylphenol
U102	131-11-3	Dimethyl phthalate
U103	77-78-1	Dimethyl sulfate
U105	121-14-2	2,4-Dinitrotoluene
U106	606-20-2	2,6-Dinitrotoluene
U107	117-84-0	Di-n-octyl phthalate
U108	123-91-1	1,4-Dioxane
U109	122-66-7	1,2-Diphenylhydrazine
U110	142-84-7	Dipropylamine (I)
U111	621-64-7	Di-n-propylnitrosamine
U041	106-89-8	Epichlorohydrin
U001	75-07-0	Ethanal (I)
U174	55-18-5	Ethanamine, N-ethyl-N-nitroso-
U404	121-44-8	Ethanamine, N,N-diethyl-
U155	91-80-5	1,2-Ethanediamine, N,N-dimethyl-N'-
		 2-pyridinyl-N'-(2-thienylmethyl)-
U067	106-93-4	Ethane, 1,2-dibromo-
U076	75-34-3	Ethane, 1,1-dichloro-
U077	107-06-2	Ethane, 1,2-dichloro-
U131	67-72-1	Ethane, hexachloro-
U024	111-91-1	Ethane, 1,1'-[methylenebis(oxy)]bis
		 [2-chloro-
U117	60-29-7	Ethane, 1,1'-oxybis- (I)
U025	111-44-4	Ethane, 1,1'-oxybis[2-chloro-
U184	76-01-7	Ethane, pentachloro-
U208	630-20-6	Ethane, 1,1,1,2-tetrachloro-
U209	79-34-5	Ethane, 1,1,2,2-tetrachloro-
U218	62-55-5	Ethanethioamide
U226	71-55-6	Ethane, 1,1,1- trichloro-
U227	79-00-5	Ethane, 1,1,2-trichloro-
U410	59669-26-0	Ethanimidothioic acid, N,N'-[thiobis
		 [(methylimino)carbonyloxy]]bis-, 
		 dimethyl ester
U394	30558-43-1	Ethanimidothioic acid, 2-(dimethylamino)-
		 N-hydroxy-2-oxo-, methyl ester.

U359	110-80-5	Ethanol, 2-ethoxy
U173	1116-54-7	Ethanol, 2,2'-(nitrosoimino)bis-

U395	5952-26-1	Ethanol, 2,2'-oxybis-, dicarbamate.
U004	98-86-2	Ethanone, 1-phenyl-
U043	75-01-4	Ethene, chloro-
U042	110-75-8	Ethene, (2-chloroethoxy)-
U078	75-35-4	Ethene, 1,1-dichloro-

U079	156-60-5	Ethene, 1,2-dichloro-, (E)-
U210	127-18-4	Ethene, tetrachloro-
U228	79-01-6	Ethene, trichloro-

U112	141-78-6	Ethyl acetate (I)
U113	140-88-5	Ethyl acrylate (I)

U238	51-79-6	Ethyl carbamate (urethane)
U114	1111-54-6	Ethylenebisdithiocarbamic acid, salts
		 and esters
U067	106-93-4	Ethylene dibromide
U077	107-06-2	Ethylene dichloride
U359	110-80-5	Ethylene glycol monoethyl ether
U115	75-21-8	Ethylene oxide (I,T)
U116	96-45-7	Ethylene thiourea
U117	60-29-7	Ethyl ether (I)
U076	75-34-3	Ethylidene dichloride
U118	97-63-2	Ethyl methacrylate
U119	62-50-0	Ethyl methanesulfonate
U120	206-44-0	Fluoranthene
U122	50-00-0	Formaldehyde
U123	64-18-6	Formic acid (C,T)
U124	110-00-9	Furan (I)
U125	98-01-1	2-Furancarboxaldehyde (I)
U147	108-31-6	2,5-Furandione
U213	109-99-9	Furan, tetrahydro- (I)
U125	98-01-1	Furfural (I)
U124	110-00-9	Furfuran (I)
U206	18883-66-4	Glucopyranose, 2-deoxy-2(3-methyl-3-
		 nitrosoureido)-, D-

U206	18883-66-4	D-Glucose, 2-deoxy-2-
		 [c(methylnitrosoamino)-
		 carbonyl]amino]-
0126	765-34-4	Glycidylaldehyde
U163	70-25-7	Guanidine,
		 N-methyl-N'-nitro-N-nitroso-
U127	118-74-1	Hexachlorobenzene
U128	87-68-3	Hexachlorobutadiene

U130	77-47-4	Hexachlorocyclopentadiene
U131	67-72-1	Hexachloroethane

U132	70-30-4	Hexachlorophene
U243	1888-71-7	Hexachloropropene
U133	302-01-2	Hydrazine (R,T)
U086	1615-80-1	Hydrazine, 1,2-diethyl-
U098	57-14-7	Hydrazine, 1,1-dimethyl-
U099	540-73-8	Hydrazine, 1,2-dimethyl-
U109	122-66-7	Hydrazine, 1,2-diphenyl-
U134	7664-39-3	Hydrofluoric acid (C,T)
U134	7664-39-3	Hydrogen fluoride (C,T)
U135	7783-06-4	Hydrogen sulfide H2S
U096	80-15-9	Hydroperoxide,
		 1-methyl-1-phenylethyl-(R)
U116	96-45-7	2-Imidazolidinethione
U137	193-39-5	Indeno[1,2,3-cd]pyrene
U190	85-44-9	1,3-Isobenzofurandione
U140	78-83-1	Isobutyl alcohol (I,T)
U141	120-58-1	Isosafrole
U142	143-50-0	Kepone
U143	303-34-4	Lasiocarpine
U144	301-04-2	Lead acetate
U146	1335-32-6	Lead, bis(acetato-O)tetrahydroxytri-
U145	7446-27-7	Lead phosphate
U146	1335-32-6	Lead subacetate
U129	58-89-9	Lindane
U163	70-25-7	MNNG
U147	108-31-6	Maleic anhydride
U148	123-33-1	Maleic hydrazide
U149	109-77-3	Malononitrile
U150	148-82-3	Melphalan
U151	7439-97-6	Mercury
U152	126-98-7	Methacrylonitrile (I,T)
U092	124-40-3	Methanamine, N-methyl- (I)
U029	74-83-9	Methane, bromo-
U045	74-87-3	Methane, chloro- (I,T)
U046	107-30-2	Methane, chloromethoxy-
U068	74-95-3	Methane, dibromo-

U080	75-09-2	Methane, dichloro-
U075	75-71-8	Methane, dichlorodifluoro-
U138	74-88-4	Methane, iodo-
U119	62-50-0	Methanesulfonic acid, ethyl ester
U211	56-23-5	Methane, tetrachloro-
U153	74-93-1	Methanethiol (I,T)

U225	75-25-2	Methane, tribromo-
U044	67-66-3	Methane, trichloro-

U121	75-69-4	Methane, trichlorofluoro-
U036	57-74-9	4,7-Methano-1H-indene, 1,2,4,5,6,7,8,8-
		 octachloro-2,3,3a,4,7,7a-hexahydro-
U154	67-56-1	Methanol (I)
U155	91-80-5	Methapyrilene
U142	143-50-0	1,3,4-Metheno-2H-cyclobuta[cd]penta--
		 len-2-one,1,1a,3,3a,4,5,5,5a,5b,6-
		 decachlorooctahydro-
U247	72-43-5	Methoxychlor
U154	67-56-1	Methyl alcohol (I)
U029	74-83-9	Methyl bromide
U186	504-60-9	1-Methylbutadiene (I)
U045	74-87-3	Methyl chloride (I,T)
U156	79-22-1	Methyl chlorocarbonate (I,T)
U226	71-55-6	Methyl chloroform
U157	56-49-5	3-Methylcholanthrene
U158	101-14-4	4,4'-Methylenebis(2-chloroaniline)
U068	74-95-3	Methylene bromide
U080	75-09-2	Methylene chloride
U159	78-93-3	Methyl ethyl ketone (MEK) (I,T)
U160	1338-23-4	Methyl ethyl ketone peroxide (R,T)
U138	74-88-4	Methyl iodide
U161	108-10-1	Methyl isobutyl ketone (I)
U162	80-62-6	Methyl methacrylate (I,T)
U161	108-10-1	4-Methyl-2-pentanone (I)
U164	56-04-2	Methylthiouracil
U010	50-07-7	Mitomycin C

U059	20830-81-3	5,12-Naphthacenedione, 8-acetyl-10-
		 [(3-amino-2,3,6-trideoxy)-alpha-L-
		 lyxo-hexopyranosyl)oxy]-7,8,9,10-
		 tetrahydro-6,8,11-trihydroxy-1-me--
		 thoxy-, (8S-cis)-
U167	134-32-7	1-Naphthalenamine
U168	91-59-8	2-Naphthalenamine

U026	494-03-1	Naphthalenamine,
		 N,N'-bis(2-chloroethyl)-

U165	91-20-3	Naphthalene
U047	91-58-7	Naphthalene, 2-chloro-
U166	130-15-4	1,4-Naphthalenedione
U236	72-57-1	2,7-Naphthalenedisulfonic acid, 3,3'-
		 [(3,3'-dimethyl [1,1'-biphenyl]-4,4'-
		 diyl)]-bis(azo)bis(5-amino-4-
		 hydroxy)-, tetrasodium salt
U279	63-25-2	1-Naphthalenol, methylcarbamate.
U166	130-15-4	1,4-Naphthoquinone
U167	134-32-7	alpha-Naphthylamine
U168	91-59-8	beta-Naphthylamine
U217	10102-45-1	Nitric acid, thallium (1+) salt
U169	98-95-3	Nitrobenzene (I,T)
U170	100-02-7	p-Nitrophenol
U171	79-46-9	2-Nitropropane (I,T)
U172	924-16-3	N-Nitrosodi-n-butylamine
U173	1116-54-7	N-Nitrosodiethanolamine
U174	55-18-5	N-Nitrosodiethylamine
U176	759-73-9	N-Nitroso-N-ethylurea
U177	684-93-5	N-Nitroso-N-methylurea
U178	615-53-2	N-Nitroso-N-methylurethane
U179	100-75-4	N-Nitrosopiperidine
U180	930-55-2	N-Nitrosopyrrolidine
U181	99-55-8	5-Nitro-o-toluidine
U193	1120-71-4	1,2-Oxathiolane, 2,2-dioxide
U058	50-18-0	2H-1,3,2-Oxazaphosphorin-2-amine,
		 N,N-bis(2-chloroethyl)
		 tetrahydro-,2-oxide
U115	75-21-8	Oxirane (I,T)
U126	765-34-4	Oxiranecarboxyaldehyde
U041	106-89-8	Oxirane, (chloromethyl)-
U182	123-63-7	Paraldehyde
U183	608-93-5	Pentachlorobenzene
U184	76-01-7	Pentachloroethane
U185	82-68-8	Pentachloronitrobenzene (PCNB)

See F027	87-86-5	Pentachlorophenol
U161	108-10-1	Pentanol, 4-methyl-

U186	504-60-9	1,3-Pentadiene (I)
U187	62-44-2	Phenacetin
U188	108-95-2	Phenol
U048	95-57-8	Phenol, 2-chloro-
U039	59-50-7	Phenol, 4-chloro-3-methyl-
U081	120-83-2	Phenol, 2,4-dichloro-

U082	87-65-0	Phenol, 2,6-dichloro-
U089	56-53-1	Phenol, 4,4'-(1,2-diethyl-1,2-ethenediyl)
		 bis-, (E)-
U101	105-67-9	Phenol, 2,4-dimethyl-
U052	1319-77-3	Phenol, methyl-
U411	114-26-1	Phenol, 2-(1-methylethoxy)-, 
		 methylcarbamate.
U132	70-30-4	Phenol, 2,2'-methylenebis[3,4,6-
		 trichloro-
U170	100-02-7	Phenol, 4-nitro-
See F027	87-86-5	Phenol, pentachloro-
See F027	58-90-2	Phenol, 2,3,4,6-tetrachloro-
See F027	95-95-4	Phenol, 2,4,5-trichloro-
See F027	88-06-2	Phenol, 2,4,6-trichloro-
U150	148-82-3	L-Phenylalanine, 4-[bis(2-
		 chloroethyl)amino]-
U145	7446-27-7	Phosphoric acid, lead (2+) salt (2:3)
U087	3288-58-2	Phosphorodithioic acid, O,O-diethyl
		 S-methyl ester
U189	1314-80-3	Phosphorous sulfide (R)
U190	85-44-9	Phthalic anhydride
U191	109-06-8	2-Picoline
U179	100-75-4	Piperidine, 1-nitroso-
U192	23950-58-5	Pronamide
U194	107-10-8	1-Propanamine (I,T)
U111	621-64-7	1-Propanamine, N-nitroso-N-propyl-
U110	142-84-7	1-Propanamine, N-propyl- (I)
U066	96-12-8	Propane, 1,2-dibromo-3-chloro-
U083	78-87-5	Propane, 1,2-dichloro-

U149	109-77-3	Propanedinitrile
U171	79-46-9	Propane, 2-nitro- (I,T)
U027	108-60-1	Propane, 2,2'-oxybis[1-chloro-
U193	1120-71-4	1,3-Propane sultone
See F027	93-72-1	Propanoic acid, 2-(2,4,5-
		 trichlorophenoxy)-

U235	126-72-7	1-Propanol, 2,3-dibromo-, phosphate (3:1)
U140	78-83-1	1-Propanol, 2-methyl- (I,T)
U002	67-64-1	2-Propanone (I)
U007	79-06-1	2-Propenamide
U084	542-75-6	1-Propene, 1,3-dichloro

U243	1888-71-7	1-Propene, 1,1,2,3,3,3-hexachloro-
U009	107-13-1	2-Propenenitrile
U152	126-98-7	2-Propenenitrile, 2-methyl- (I,T)
U008	79-10-7	2-Propenoic acid (I)
U113	140-88-5	2-Propenoic acid, ethyl ester (I)
U118	97-63-2	2-Propenoic acid, 2-methyl-, ethyl ester
U162	80-62-6	2-Propenoic acid, 2-methyl-, methyl ester
		 (I,T)
U373	122-42-9	Propham.
U411	114-26-1	Propoxur.
U194	107-10-8	n-Propylamine (I,T)
U083	78-87-5	Propylene dichloride
U387	52888-80-9	Prosulfocarb.
U148	123-33-1	3,6-Pyridazinedione, 1,2-dihydro-
U196	110-86-1	Pyridine
U191	109-06-8	Pyridine, 2-methyl-
U237	66-75-1	2,4-(1H,3H)-Pyrimidinedione, 5-[bis(2-
		 chloroethyl)amino]-
U164	56-04-2	4-(1H)-Pyrimidinone,
		 2,3-dihydro-6-methyl-2-thioxo-
U180	930-55-2	Pyrrolidine, 1-nitroso-
U200	50-55-5	Reserpine
U201	108-46-3	Resorcinol
U203	94-59-7	Safrole
U204	7783-00-8	Selenious acid
U204	7783-00-8	Selenium dioxide
U205	7488-56-4	Selenium sulfide SeS2 (R,T)
U015	115-02-6	L-Serine, diazoacetate (ester)
See F027	93-72-1	Silvex
U206	18883-66-4	Streptozotocin

U103	77-78-1	Sulfuric acid, dimethyl ester
U189	1314-80-3	Sulfur phosphide (R)
See F027	93-76-5	2,4,5-T
U207	95-94-3	1,2,4,5-Tetrachlorobenzene
U208	630-20-6	1,1,1,2-Tetrachloroethane
U209	79-34-5	1,1,2,2-Tetrachloroethane
U210	127-18-4	Tetrachloroethylene
See F027	58-90-2	2,3,4,6-Tetrachlorophenol

U213	109-99-9	Tetrahydrofuran (I)
U214	563-68-8	Thallium (I) acetate
U215	6533-73-9	Thallium (I) carbonate
U216	7791-12-0	Thallium (I) chloride
U216	7791-12-0	Thallium chloride TlCl
U217	10102-45-1	Thallium (I) nitrate

U218	62-55-5	Thioacetamide
U410	59669-26-0	Thiodicarb.
U153	74-93-1	Thiomethanol (I,T)
U244	137-26-8	Thioperoxydicarbonic diamide
		 [(H2N)C(S)]2S2, tetramethyl-
U409	23564-05-8	Thiophanate-methyl.
U219	62-56-6	Thiourea
U244	137-26-8	Thiram
U220	108-88-3	Toluene (I,T)
U221	25376-45-8	Toluenediamine
U223	26471-62-5	Toluene diisocyanate (R,T)
U328	95-53-4	o-Toluidine
U353	106-49-0	p-Toluidine
U222	636-21-5	o-Toluidine hydrochloride
U011	61-82-5	1H-1,2,4-Triazol-3-amine
U389	2303-17-5	Triallate.
U227	79-00-5	1,1,2-Trichloroethane
U228	79-01-6	Trichloroethylene
U121	75-69-4	Trichloromonofluoromethane
See F027	95-95-4	2,4,5-Trichlorophenol
See F027	88-06-2	2,4,6-Trichlorophenol
U404	121-44-8	Triethylamine.
U234	99-35-4	1,3,5-Trinitrobenzene (R,T)

U182	123-63-7	1,3,5-Trioxane, 2,4,6-trimethyl-
U235	126-72-7	Tris (2,3-dibromopropyl) phosphate
U236	72-57-1	Trypan blue
U237	66-75-1	Uracil mustard
U176	759-73-9	Urea, N-ethyl-N-nitroso-
U177	684-93-5	Urea, N-methyl-N-nitroso-

U043	75-01-4	Vinyl chloride
U248	181-81-2	Warfarin, and salts, when present at
		 concentrations of 0.3% or less
U239	1330-20-7	Xylene (I)
U200	50-55-5	Yohimban-16-carboxylic acid, 11,17-di				 methoxy- 18-[(3,4,5-trimethoxyben--
		 zoyl)oxy]-, methyl ester,(3 beta, 16 beta, 		 17 alpha, 18 beta, 20 alpha)-
U249	1314-84-7	Zinc phosphide Zn3P2 , when present at
		 concentrations of 10% or less

----------

1CAS Number given for parent compound only.
NOTE

Authority cited: Sections 25159 and 58012, Health and Safety Code. Reference: Sections 25117, 25120.2, 25159 and 25159.5, Health and Safety Code and 40 CFR Section 261.33.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (c) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
3. Amendment of section and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
4. Change without regulatory effect adding new listing U408 filed 5-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 21).
5. Change without regulatory effect removing listing U408 (2,4,6-Tribomophenol) and amending Note filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
6. Change without regulatory effect amending subsection (f) to remove listing U202 (Saccharin and salts) filed 2-8-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 6).
§66261.35. Deletion of Certain Hazardous Waste Codes Following Equipment Cleaning and Replacement.
Note     •     History

(a) Wastes from wood preserving processes at plants that do not resume or initiate use of chlorophenolic preservatives will not meet the listing definition of F032 once the generator has met all of the requirements of subsections (b) and (c) of this section. These wastes may, however, continue to meet another hazardous waste listing description or may exhibit one or more of the hazardous waste characteristics.
(b) Generators shall either clean or replace all process equipment that may have come into contact with chlorophenolic formulations or constituents thereof, including, but not limited to, treatment cylinders, sumps, tanks, piping systems, drip pads, fork lifts, and trams, in a manner that minimizes or eliminates the escape of hazardous waste or constituents, leachate, contaminated drippage, or hazardous waste decomposition products to the groundwater, surface waters, or atmosphere.
(1) generators shall do one of the following:
(A) prepare and follow an equipment cleaning plan and clean equipment in accordance with this section;
(B) prepare and follow an equipment replacement plan and replace equipment in accordance with this section; or
(C) document cleaning and replacement in accordance with this section, carried out after termination of use of chlorophenolic preservations.
(2) cleaning requirements.
(A) preserve and sign a written equipment cleaning plan that describes:
1. the equipment to be cleaned;
2. how the equipment will be cleaned;
3. the solvent to be used in cleaning;
4. how solvent rinses will be tested; and
5. how cleaning residues will be disposed.
(B) equipment shall be cleaned as follows:
1. remove all visible residues from process equipment;
2. rinse process equipment with an appropriate solvent until dioxins and dibenzofurans are not detected in the final solvent rinse.
(C) analytical requirements.
1. rinses shall be tested in accordance with SW-846, Method 8290.
2. “not detected” means at or below the lower method calibration limit (MCL) in Method 8290, Table 1.
(D) The generator shall manage all residues from the cleaning process as F032 waste.
(3) replacement requirements.
(A) prepare and sign a written equipment replacement plan that describes:
1. the equipment to be replaced;
2. how the equipment will be replaced; and
3. how the equipment will be disposed.
(B) the generator shall manage the discarded equipment as F032 waste.
(4) documentation requirements.
(A) document that previous equipment cleaning and/or replacement was performed in accordance with this section and occurred after cessation of use of chlorophenolic preservatives.
(c) The generator shall maintain the following records documenting the cleaning and replacement as part of the facility's operating record:
(1) the name and address of the facility;
(2) formulations previously used and the date on which their use ceased in each process at the plant;
(3) formulations currently used in each process at the plant;
(4) the equipment cleaning or replacement plan;
(5) the name and address of any persons who conducted the cleaning and replacement;
(6) the dates on which cleaning and replacement were accomplished;
(7) the dates of sampling and testing;
(8) a description of the sample handling and preparation techniques, including techniques used for extraction, containerization, preservation, and chain-of-custody of the samples;
(9) a description of the tests performed, the date the tests were performed, and the results of the tests;
(10) the name and model numbers of the instrument(s) used in performing the tests;
(11) QA/QC documentation; and
(12) the following statement signed and dated by the generator or his authorized representative:
I certify under penalty of perjury under the laws of the state of California that all process equipment required to be cleaned or replaced under Title 22, CCR, section 66261.35 was cleaned or replaced as represented in the equipment cleaning and replacement plan and accompanying documentation. I am aware that there are significant penalties for providing false information, including the possibility of fine or imprisonment.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 261.35.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
Article 4.1. Additional Lists of Hazardous Wastes
§66261.50. Mercury-Containing Products That Are Hazardous Wastes When Discarded.
Note     •     History

The following mercury-containing products are listed hazardous wastes when discarded: 

California 
Hazardous 
Waste 
Number 	Hazardous Waste 

M001 	Mercury-containing motor vehicle light switches, as defined in section 66273.9, and any motor vehicle or portion of a motor vehicle that contains such switches, when any person decides to crush, bale, shred, or shear the vehicle. Motor vehicles and portions of motor vehicles from which all mercury-containing light switches have been removed are not included in this category. A light switch that cannot be removed from a vehicle due to accidental damage to the vehicle is not included. 

M002	Non-automotive mercury switches and any product that contains such switches. Includes any mercury switch that does not meet the listing description for M001, including but not limited to, mercury switches from household appliances and household appliances from which mercury switches have not been removed; relays; silent wall switches; and float switches. Also includes mercury-containing flame sensors and household appliances from which all mercury flame sensors have not been removed. Appliances and other products from which all mercury switches and flame sensors have been removed are not included in this category. 

M003	Lamps that contain intentionally-added mercury and products (or devices) with lamps that contain intentionally-added mercury. A lamp is defined as the bulb or tube portion of an electric lighting device. A lamp is specifically designed to produce radiant energy, most often in the ultraviolet, visible, and infrared regions of the electromagnetic spectrum. Products from which all mercury-containing lamps have been removed are not included in this category. This listing does not apply to vehicles that contain mercury-added lamps. 

M004	Mercury-added novelties, as defined in section 66273.9 (other than novelties with mercury switches, which meet the listing description for M002, and novelties with mercury-containing lamps, which meet the listing description for M003). Includes, but is not limited to, novelties painted with mercury-containing paints. 
NOTE

Authority cited: Sections 25140, 25214.10.1 and 58012, Health and Safety Code. Reference: Sections 25140 and 25212, Health and Safety Code. 
HISTORY

1. New article 4.1 (section 66261.50) and section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Amendment of section and Note filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
Article 5. Categories of Hazardous Waste
§66261.100. RCRA Hazardous Waste.
Note     •     History

(a) A hazardous waste is a RCRA hazardous waste if it meets any of the following criteria:
(1) it exhibits any of the characteristics of ignitability, corrosivity, reactivity, or toxicity identified in sections 66261.21, 66261.22(a)(1), 66261.22(a)(2), 66261.23, and 66261.24(a)(1);
(2) it is listed as a hazardous waste in article 4 of this chapter and has not been excluded by the USEPA Administrator from 40 CFR Part 261, Subpart D pursuant to 40 CFR sections 260.20 and 260.22. Wastes excluded by the USEPA Administrator pursuant to 40 CFR sections 260.20 and 260.22 are listed in 40 CFR Part 261, Appendix IX;
(3) it is identified as a hazardous waste pursuant to section 66261.3(a)(2)(B), section 66261.3(a)(2)(D), section 66261.3(a)(2)(E), or section 66261.3(c)(2).
(b) A hazardous waste is presumed to be a RCRA hazardous waste unless or until the generator determines that the waste is non-RCRA hazardous waste pursuant to section 66261.101.
NOTE

Authority cited: Sections 208, 25141 and 25159, Health and Safety Code. Reference: Sections 25117, 25120.2, 25141 and 25159, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66261.101. Non-RCRA Hazardous Waste.
Note     •     History

(a) A hazardous waste is a non-RCRA hazardous waste if it meets all of the following criteria:
(1) it does not exhibit any of the characteristics of ignitability, corrosivity, reactivity or toxicity as identified in sections 66261.21, 66261.22(a)(1), 66261.22(a)(2), 66261.23 and 66261.24(a)(1);
(2) it exhibits any of the characteristics of corrosivity and toxicity identified in sections 66261.22(a)(3), 66261.22(a)(4) and 66261.24 (a)(2) through (a)(8) or otherwise meets the definition of a hazardous waste in section 66261.3(a)(2)(C) or 66261.3(a)(2)(F);
(3) it is not listed as a hazardous waste in article 4 of this chapter or is listed and has been excluded by the USEPA Administrator pursuant to 40 CFR sections 260.20 and 260.22;
(4) it is listed in article 4.1 and is not identified as a RCRA hazardous waste in section 66261.100. 
(b) A hazardous waste is a non-RCRA hazardous waste if it exhibits any characteristic set forth in article 3 of this chapter and meets any of the following criteria:
(1) it is identified as a potential non-RCRA hazardous waste in section 66261.2(d)(1)(B) or section 66261.2(d)(2)(B), or is identified as a potential non-RCRA hazardous waste in Table 1 of section 66261.2;
(2) it is excluded from classification as a solid waste or a hazardous waste in 40 CFR section 261.4.
(c) A container, or an inner liner from a container, which is empty pursuant to 40 CFR section 261.7, but is required to be managed as a hazardous waste pursuant to section 66261.7 is a non-RCRA hazardous waste.
(d) A waste which is not classified as a non-RCRA hazardous waste pursuant to the criteria in subsections (a) through (c) of this section may be classified as a non-RCRA hazardous waste if the generator can otherwise determine that the waste would not be regulated as a hazardous waste pursuant to subtitle C of RCRA or implementing regulations.
(e) The Department or the USEPA may request the following items from a person claiming that the hazardous waste generated or managed by that person is a non-RCRA hazardous waste:
(1) documentation demonstrating that the waste meets the applicable criteria in subsection (a), (b), (c) or (d) of this section;
(2) analytical information, from a laboratory certified by the Department pursuant to chapter 44 of this division, demonstrating that the extracts from representative samples of the waste, developed using the Toxicity Characteristic Leaching Procedure in Appendix I of chapter 18 of this division, contain none of the substances in section 66261.24(a)(1)(B) at a concentration which equals or exceeds the value for that substance in that section;
(3) representative samples of that waste.
NOTE

Authority cited: Sections 25141, 25159 and 58012, Health and Safety Code. Reference: Sections 25117, 25117.9, 25141 and 25159, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (a)(3), new subsection (a)(4) and amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
§66261.107. Applicability of Extremely Hazardous Waste Criteria.
Note     •     History

Any waste which is extremely hazardous pursuant to any of the criteria of section 66261.110 or 66261.113 is an extremely hazardous waste and shall be managed in accordance with the specific provisions of this division pertaining to extremely hazardous waste.
NOTE

Authority cited: Sections 208 and 25141, Health and Safety Code. Reference: Sections 25115, 25117 and 25141, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66261.110. Extremely Hazardous Waste Criteria.
Note     •     History

(a) A waste, or a material, is extremely hazardous if it:
(1) has an acute oral LD50 less than or equal to 50 milligrams per kilogram; or
(2) has an acute dermal LD50 less than or equal to 43 milligrams per kilogram; or
(3) has an acute inhalation LC50 less than or equal to 100 parts per million as a gas or vapor; or
(4) contains any of the substances listed in section 66261.24(a)(7) at a single or combined concentration equal to or exceeding 0.1 percent by weight; or
(5) has been shown through experience or testing that human exposure to the waste or material may likely result in death, disabling personal injury or serious illness because of the carcinogenicity, high acute or chronic toxicity, bioaccumulative properties, or persistence in the environment of the waste or material; or
(6) is water-reactive.
(b) A waste containing one or more materials which are extremely hazardous according to any criterion of subsection (a)(1) or (a)(2) of this section is not extremely hazardous if the generator determines that neither the calculated acute oral toxicity nor the calculated acute dermal toxicity of the waste using the equation in section 66261.24(c) is numerically equal to or less than the toxicity limits prescribed in subsection (a)(1) or (a)(2) of this section and the waste is not extremely hazardous by any other criterion of this section.
NOTE

Authority cited: Sections 208 and 25141, Health and Safety Code. Reference: Sections 25115, 25117 and 25141, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66261.111. Hazardous Waste of Concern Criteria.
Note     •     History

(a) A hazardous waste of concern is a hazardous waste that originated from a material with a label placed by the manufacturer with one of the following hazard class divisions, or a hazardous waste that is identified on the Uniform Hazardous Waste Manifest with one of the following hazard divisions within the U.S. DOT description, or otherwise known as: 
(1) An explosive material, hazard division 1.1, 1.2, or 1.3, as defined under 49 Code of Federal Regulations section 173.50 (as revised October 1, 2002); or 
(2) A poisonous material, hazard division 6.1, packing group I or II, as defined under 49 Code of Federal Regulations section 173.132 (as revised October 1, 2002); or 
(3) A poisonous gas, hazard division 2.3, as defined under 49 Code of Federal Regulations section 173.115 (as revised October 1, 2002). 
(b) “Missing hazardous waste of concern” is a hazardous waste of concern that has been lost, stolen, is unaccounted for, or a difference in type has been identified when it is received at the designated facility. It does not include the unintentional release of a hazardous waste of concern within the meaning of 49 Code of Federal Regulations section 171.16 (as revised October 1, 2002). 
(c) Specified reporting requirements for missing hazardous wastes of concern apply in instances where the missing waste represents a reportable quantity or a reportable difference in type. 
(1) Reportable quantities of missing hazardous waste of concern are: 
(A) for bulk waste, variations greater than 3 percent in weight or volume; and 
(B) for containerized waste, any variation in piece count, such as a discrepancy of one drum in a truckload. 
(2) Reportable differences in type of a hazardous waste of concern are obvious differences that can be discovered by observation of the physical properties of the waste through inspection or waste analysis (e.g., mineral spirits substituted for waste carbon tetrachloride, or waste that contains hazardous constituents not reported on the manifest that would change the shipping name or waste code). 
NOTE

Authority cited: Sections 25150, 25169.6, 25169.8 and 58012, Health and Safety Code. Reference: Sections 25169.5, 25169.6, 25169.7 and 25169.8, Health and Safety Code.
HISTORY

1. New section filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
2. Amendment of subsections (a), (b) and (c)(2) and amendment of Note filed 12-27-2005; operative 1-26-2006 (Register 2005, No. 52).
§66261.113. Total Threshold Limit Concentration Values of Persistent and Bioaccumulative Toxic Substances in Extremely Hazardous Wastes.
Note     •     History

(a) Any waste containing a substance listed in subsection (b) of this section at a concentration equal to or exceeding its listed total threshold limit concentration is an extremely hazardous waste.
(b) List of Persistent and Bioaccumulative Toxic Substances and Their Total Threshold Limit Concentration (TTLC) Values:

	TTLC (Wet-Weight
Substance	in mg/kg)

Aldrin	140
Arsenic and/or arsenic compounds	50,000 (as As)
Beryllium and/or beryllium compounds*	7,500 (as Be)
Cadmium and/or cadmium compounds*	10,000 (as Cd)
Chlordane	250
2,4-Dichlorophenoxyacetic acid	10,000
Dieldrin	800
Dioxin (2,3,7,8-TCDD)	1
Endrin	20
Heptachlor	470
Kepone	2,100
Lead compounds, organic	1,300 (dry
	weight basis; as Pb)
Lindane	400
Mercury and/or mercury compounds	2,000 (as Hg)
Mirex	2,100
Polychlorinated biphenyls (PCBs)	5,000
Selenium and/or selenium compounds*	10,000 (as Se)
Thallium and/or thallium compounds*	70,000 (as Tl)
Toxaphene	500
2,4,5-Trichlorophenoxypropionic acid	1,000

 *	In the case of elemental metals, the specified concentration limits apply only if the metals are in a friable, powdered or finely divided state.
NOTE

Authority cited: Sections 208 and 25141, Health and Safety Code. Reference: Sections 25115, 25117 and 25141, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66261.120. List of Special Wastes.
Note     •     History

(a) The following is a noninclusive list of wastes which may be classified as special wastes pursuant to section 66261.122:
(1) ash from burning of fossil fuels, biomass and other combustible materials;
(2) auto shredder waste;
(3) baghouse and scrubber wastes from air pollution control;
(4) catalyst from petroleum refining and chemical plant processes;
(5) cement kiln dust;
(6) dewatered sludge from treatment of industrial process water;
(7) dewatered tannery sludge;
(8) drilling mud from drilling of gas and oil wells;
(9) refractory from industrial furnaces, kilns and ovens;
(10) sand from sandblasting;
(11) sand from foundry casting;
(12) slag from coal gasification;
(13) sulfur dioxide scrubber waste from flue gas emission control in combustion of fossil fuels;
(14) tailings from the extraction, beneficiation and processing of ores and minerals;
NOTE

Authority cited: Sections 208 and 25140, Health and Safety Code. Reference: Sections 25117 and 25140, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66261.122. Criteria and Requirements of a Special Waste.
Note     •     History

(a) A hazardous waste which meets all of the following criteria and requirements shall be classified as a special waste upon application pursuant to section 66261.124:
(1) it is a solid, a water-based sludge or a water-based slurry of which the solid constituents are substantially insoluble in water;
(2) it is a hazardous waste only because:
(A) it contains a persistent or bioaccumulative substance listed in section 66261.24(a)(2)(A) at a solubilized and extractable concentration exceeding its Soluble Threshold Limit Concentration (STLC), or at a total concentration exceeding its Total Threshold Limit Concentration (TTLC), as said STLC and TTLC values are set forth in section 66261.24(a)(2)(A) and determined as prescribed in Appendix II of this chapter; except that:
1. it shall contain no persistent or bioaccumulative substance listed in section 66261.24(a)(2)(A) at a solubilized and extractable concentration in milligrams per kilogram of waste exceeding the TTLC value for the substance as set forth in section 66261.24(a)(2)(A) and determined as prescribed in Appendix II of this chapter; and
2. it shall contain no persistent or bioaccumulative inorganic substance listed in section 66261.113(b) at a concentration equal to or exceeding the TTLC value of the substance as set forth in section 66261.113(b).
(b) Special wastes do not include wastes which meet any of the following criteria:
(1) wastes which are hazardous wastes pursuant to or because of:
(A) any characteristic of a hazardous waste or other provision set forth in sections 66261.21, section 66261.22, section 66261.23 or section 66261.24(a)(3) through (a)(7); or
(B) any criterion of an extremely hazardous waste or other provision set forth in section 66261.110 or section 66261.113; or
(C) any constituent, except for a substance or material listed in section 66261.24(a)(2)(A), which experience or testing has shown to pose a threat to human health or the environment because of its carcinogenicity, chronic toxicity, bioaccumulative properties or persistence in the environment; or
(D) the characteristic of toxicity, as this characteristic is set forth in section 66261.24(a)(1); or
(E) the lists in article 4 of this chapter, unless a waste is excluded by the USEPA Administrator from 40 CFR Part 261, Subpart D pursuant to 40 CFR sections 260.20 and 260.22. Wastes excluded by the USEPA Administrator pursuant to 40 CFR sections 260.20 and 260.22 are listed in 40 CFR 261 Part 261, Appendix IX;
(2) wastes which contain any of the following:
(A) more than 1.0 percent by weight of any organic substance or mixture of organic substance which is toxic pursuant to section 66261.24(a)(3), section 66261.24(a)(4), or section 66261.24(a)(5); or
(B) more than 0.1 percent by weight of any organic substance or mixture of organic substance which is extremely hazardous pursuant to Appendix X of this chapter or section 66261.110(a)(1), section 66261.110(a)(2), section 66261.110(a)(3), or section 66261.110(a)(4); or
(C) any organic substance listed in section 66261.24(a)(2)(B) at a total concentration exceeding the STLC value given for that substance; or
(D) any inorganic or organic material which is extraneous to the waste as it is normally produced by the producer of the waste, excepting material which are incidental to, or necessary for, the handling of the waste;
(3) hazardous wastes for which there are land disposal restrictions set forth in section 66268.32 and are defined in Health and Safety Code section 25122.7.
NOTE

Authority cited: Sections 208 and 25141, Health and Safety Code. Reference: Sections 25117 and 25141, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66261.124. Classification of a Waste as a Special Waste.
Note     •     History

(a) A person who wishes to classify and manage a hazardous waste as a special waste shall obtain prior written approval from the Department for such classification and management. A person seeking approval to classify and manage a hazardous waste as a special waste shall submit an application to the Department which includes all the following information:
(1) the name and address of the applicant and, if different, a billing address for receipt of the fee assessment required by Health and Safety Code section 25205.8;
(2) the address where the waste is generated and located;
(3) a description of the waste which shall include its source, physical state, quantity and rate of generation;
(4) chemical analysis data showing that the waste meets the requisites of a special waste pursuant to section 66261.122(a)(2);
(5) chemical analysis data, chemical and physical test data, and bioassay data, or factual information on the origin of the waste, which establish that it meets the criteria and requirements of special wastes in section 66261.122(a)(1) and section 66261.122(b). Data shall include analyses from a minimum of four representative samples as specified in chapter nine of “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd Edition, U.S. Environmental Protection Agency, 1986 (incorporated by reference, see section 66260.11 of this chapter).
(b) The Department, within 30 days of receipt of an application for approval to classify and manage a waste as special waste pursuant to subsection (a) of this section, shall acknowledge in writing receipt of the application. Pending written approval from the Department, the applicant shall manage the waste in accordance with all provisions of this division.
(c) The Department, within 60 days of receipt of an application for approval to classify and manage a waste as special waste pursuant to subsection (a) of this section, shall notify the applicant in writing that classification of the waste as special waste is approved or disapproved or that the application is incomplete or inadequate and what additional information is needed.
(d) If the application is incomplete or inadequate, the Department, within 60 days of receipt of adequate additional information, shall notify the applicant in writing that classification of the waste as special waste is approved or disapproved.
(e) When the Department has notified the applicant in writing that the application is incomplete or inadequate and what additional information is needed, the application will be considered disapproved if the applicant fails to provide the additional information within 90 days from the date the information was requested.
(f) If the applicant cannot submit the additional information within the time frame specified in subsection (e) of this section, the applicant shall notify the Department in writing the reason for the delay and shall specify an additional time frame, up to 90 days, within which the information shall be submitted.
(g) The application will be considered disapproved if the applicant fails to provide the additional information by the end of the additional time frame specified in subsection (f) of this section.
(h) If the Department disapproves the application, the Department shall specify in writing the reason(s) for the disapproval.
(i) Notwithstanding the time frames specified above, the Department shall not notify the applicant of the approval or disapproval of an application until after the applicant submits payment of the fee assessed by the Board of Equalization pursuant to Health and Safety Code section 25205.8.
(j) Upon receipt of written approval from the Department, the applicant may classify and manage the waste as special waste pursuant to section 66261.126.
(k) For wastes which are continuously or repetitively generated at the same facility, from the same process, utilizing the same kinds of materials (with respect to origin, composition and properties), the requirements of this section can be met by the submission of the required information either for each separately generated quantity of the waste or for a representative sample of the continuously or repetitively generated waste.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code and Section 15367, Government Code. Reference: Sections 25205.8 and 25150, Health and Safety Code and Section 15367, Government Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66261.126. Management of Special Wastes.
Note     •     History

(a) A special waste may be disposed of at a landfill disposal facility which is not operated under a hazardous waste facility permit or an interim status document provided:
(1) the facility is operated under waste discharge requirements allowing disposal of the special waste which were issued by the Regional Water Quality Control Board with jurisdiction over the facility; and
(2) the owner or operator of the facility has been granted a variance pursuant to section 66260.210 of this division which allows the special waste to be disposed of at the facility.
(b) Except as provided in subsection (c) of this section, the owner and operator of a landfill disposal facility which is not operated under a hazardous waste facility permit and where a special waste is disposed of are subject to all requirements of this division which are not specifically waived by a variance granted pursuant to section 66260.210 of this division, including, but not limited to, enforcement, inspection, manifest, special measures, incompatible waste, reporting, and payment of land disposal fee requirements.
(c) The owner and operator of a landfill disposal facility authorized to dispose of a special waste pursuant to subsection (a) of this section shall be exempt from requirements implementing Health and Safety Code sections 25245 and 25246 relative to closure and postclosure plans and financial assurances so long as the facility does not handle, treat, store or dispose of any hazardous waste not specifically authorized by a variance issued by the Department or by Health and Safety Code section 25143.7.
(d) The generator of a special waste shall be subject to all generator requirements of this division.
(e) The transporter of a special waste shall be subject to all transporter requirements of this division.
(f) The owner or operator of a facility for the recycling, storage or treatment of a special waste shall have a hazardous waste facility permit for the recycling, treatment or storage of the waste at the facility.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25117, 25143 and 25150, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).

Appendix I

Representative Sampling Methods
The methods and equipment used for sampling waste materials will vary with the form and consistency of the waste materials to be sampled. In addition to the sampling methods described in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd edition, 1986 (incorporated by reference, see Section 66260.11), samples collected using the sampling protocols listed below, for sampling waste with properties similar to the indicated materials, will be considered by the Department to be representative of the waste:
Standard Practice for Sampling Bituminous Materials, (e.g., extremely viscous liquid), ASTM Standard D140-88;
Standard Method of Collection and Preparation of Coke Samples for Laboratory Analysis, (e.g., crushed or powdered material), ASTM Standard D346-78;
Standard Guide for Investigating and Sampling Soil and Rock, (e.g., soil or rock-like material), ASTM Standard D420-87;
Standard Practice for Soil Investigation and Sampling by Auger Borings, (e.g., soil-like material), ASTM Standard D1452-80;
Standard Methods for Collection of a Gross Sample of Coal, (e.g., fly Ash-like material), ASTM Standard D2234-82.
[ASTM Standards are available from ASTM, 1916 Race St., Philadelphia, PA 19103] (incorporated by reference, see Section 66260.11).
NOTE

Authority cited: Sections 208, 25141 and 25159, Health and Safety Code. Reference: Section 25141, Health and Safety Code and 40 CFR Part 261 Appendix I.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).

Appendix II

Waste Extraction Test (WET) Procedures
(a) The Waste Extraction Test (WET) described in this appendix shall be used to determine the amount of extractable substance in a waste or other material as set forth in section 66261.24(a)(2).
(b) Except as provided in subdivision (d) of this appendix, the WET shall be carried out if the total concentration in the waste, or other material, of any substance listed in section 66261.24(a)(2) equals or exceeds the STLC value, but does not exceed the TTLC value, given for that substance. The total concentrations of substances listed in section 66261.24(a)(2) shall be determined by analysis of samples of wastes, or other materials, which have been prepared, or meet the conditions, for analysis as set forth in subdivisions (c) and (d) of this appendix. Methods used for analysis for total concentrations of substances listed in section 66261.24(a)(2) shall be those given in the following documents or alternate methods that have been approved by the Department pursuant to section 66260.21:
(1) for metal elements and their compounds, the waste shall be digested according to the indicated methods described in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 2nd edition, U.S. Environmental Protection Agency, 1982 (incorporated by reference, see section 66260.11):
(A) all listed metal elements and their compounds, except hexavalent chromium: Method 3050;
(B) hexavalent chromium: Method 3060;
(2) for all substances listed in section 66261.24(a)(2), except organic lead compounds, the methods and references in which the methods can be found are listed in Appendix III, Table 4 of this chapter;
(3) the method used for analysis of organic lead compounds is given in Appendix XI of this chapter.
(c) Samples shall be prepared for analysis for total and extractable content of substances listed in section 66261.24(a)(2)(A) and for extractable content of substances listed in section 66261.24(a)(2)(B) as follows:
(1) Type i: if the waste or other material is a millable solid, the sample shall be passed directly, or shall be milled to pass, through a No. 10 (two millimeter) standard sieve before it is analyzed. If the sample contains non-friable solid particles which do not pass directly through a No. 10 sieve and which are extraneous and irrelevant as hazardous constituents to the waste or other material, they shall be removed to the extent feasible by mechanical means and discarded. Solids which remain in the waste or other material after removal of the aforesaid extraneous particles shall be milled to pass through a No. 10 sieve and shall then be combined and mixed well with the solids which passed through the sieve without milling. The reconstituted sample shall then be analyzed as prescribed in this appendix;
(2) Type ii: if the waste or other material is a filterable mixture of liquid and solids in which the solids constitute five-tenths (0.5) percent by weight or greater of the sample, the liquid and solids shall be separated by filtration through a 0.45 micron membrane filter. The filtrate so obtained is to be designated as Initial Filtrate. Its volume is determined, and it is retained. The separated solids shall be sieved in a No. 10 sieve and any nonfriable extraneous particles of the kinds described in subdivision (c)(1) of this appendix which do not pass through the sieve shall be removed to the extent feasible by mechanical means and discarded. The solids which remain after removal of the extraneous particles shall be milled to pass through a No. 10 sieve and shall be recombined with solids which passed through the sieve without milling. This recombined solid material shall be extracted following the procedure in subdivision (g) of this appendix. A ratio of 10 milliliters of extraction solution per gram of solid shall be utilized with appropriate modifications for extraction vessel size. After completion of solids extraction, the filtered extractant is combined with Initial Filtrate, mixed thoroughly and analyzed as described in subdivision (g)(3) of this appendix;
(3) Type iii: if the waste or other material is a nonfilterable and nonmillable sludge, slurry, or oily, tarry or resinous material, it shall be analyzed as received unless it contains non-friable extraneous and irrelevant solid particles of the kinds described in subdivision (c)(l) of this appendix. If it contains such solid particles and they are of such size as not to pass through a No. 10 sieve, they shall be removed to the extent feasible by mechanical means and discarded. The remainder of the sample shall be analyzed as prescribed in this appendix;
(4) if it is necessary to dry a solid sample or the solids fraction of a sample before sieving, milling or removal of extraneous solids, or if a sample is dried prior to analysis, all weight losses due to drying shall be determined, and these losses and the conditions of drying shall be reported.
(d) Samples shall be prepared for analysis for total content of substances listed in section 66261.24(a)(2)(B) as follows:
(1) type i: if the waste or other material is a millable solid, the sample shall be passed directly, or shall be milled to pass, through a one-millimeter standard sieve before it is analyzed. If the sample contains non-friable solid particles which do not pass directly through a one-millimeter sieve and which are extraneous and irrelevant as hazardous constituents to the waste or other material, they shall be removed to the extent feasible by mechanical means and discarded. Solids which remain in the waste or other material after removal of the aforesaid extraneous particles shall be milled to pass through a one-millimeter sieve and shall then be combined and mixed well with the solids which passed through the sieve without milling. The reconstituted sample shall then be analyzed as prescribed in this appendix;
(2) type ii: if the waste or other material is a filterable mixture of liquid and solids in which the solids constitute five-tenths (0.5) percent by weight or greater of the sample, the liquid and solids shall be separated by filtration through a 0.45 micron membrane filter. The filtrate so obtained is to be designated as Initial Filtrate. Its volume is determined, and it is retained. The separated solids shall be sieved in a one-millimeter sieve and any nonfriable extraneous particles of the kinds described in subdivision (d)(1) of this appendix which do not pass through the sieve shall be removed to the extent feasible by mechanical means and discarded. The solids which remain after removal of the extraneous particles shall be milled to pass through a one-millimeter sieve and shall be recombined with solids which passed through the sieve without milling. This recombined solid material shall be extracted following the procedure in subdivision (g) of this appendix. A ratio of 10 milliliters of extraction solution per gram of solid shall be utilized with appropriate modifications for extraction vessel size. After completion of solids extraction, the filtered extractant is combined with Initial Filtrate, mixed thoroughly and analyzed as described in subdivision (9)(3) of this appendix;
(3) type iii: if the waste or other material is a nonfilterable and nonmillable sludge, slurry, or oily, tarry or resinous material, it shall be analyzed as received unless it contains non-friable extraneous and irrelevant solid particles of the kinds described in subdivision (d)(1) of this appendix. If it contains such solid particles and they are of such size as not to pass through a one-millimeter sieve, they shall be removed to the extent feasible by mechanical means and discarded. The remainder of the sample shall be analyzed as prescribed in this appendix;
(4) if it is necessary to dry a solid sample or the solids fraction of a sample before sieving, milling or removal of extraneous solids, or if a sample is dried prior to analysis, all weight losses due to drying shall be determined, and these losses and the conditions of drying shall be reported.
(e) If the waste or other material is a liquid containing less than five-tenths (0.5) percent by weight of undissolved solids, it shall not be subject to the WET procedure, but shall be analyzed directly for the substances listed in section 66261.24(a)(2). The waste shall be classified as a hazardous waste if the total concentration in the waste of any substances listed in section 66261.24(a)(2) exceeds the TTLC value given for that substance. If, however, the total concentration is less than the TTLC but exceeds the STLC when expressed on a milligrams per liter basis, the waste or other material shall be filtered through a 0.45 micron membrane filter, the solids discarded and the filtrate shall be analyzed directly for the substances listed in section 66261.24(a)(2). The waste shall be classified as a hazardous waste if the concentration in the filtrate of any of the substances listed in section 66261.24 (a)(2) exceeds the STLC value given for that substance.
(f) The WET extraction solution shall consist of 0.2 M sodium citrate at pH 5.0 + 0.1, which is prepared by titrating an appropriate amount of analytical grade citric acid in deionized water with 4.0 N NaOH, except that the extraction solution for the determination of chromium (VI) shall consist of deionized water.
(g) The extraction procedure shall be as follows:
(1) fifty grams of sample, or less if it is a type ii sample prepared pursuant to subdivision (c)(2) or (d)(2) of this appendix, obtained pursuant to subdivision (c), (d), or (e) of this appendix shall be placed in a clean polyethylene or glass container designated the Treatment, capable of physically withstanding the extraction procedure and which was rinsed previously with, in succession, an aqueous 1:1 ratio by volume nitric acid solution and deionized water. If the extract will be analyzed for any of the organic substances listed in section 66261.24(a)(2), a glass container shall be used. Furthermore, a container of the same size, shape and material shall be used for an extraction designated as the Blank, which shall be carried through the same procedure as the Treatment, but without addition of the sample;
(2) five hundred milliliters of extraction solution, or less if the waste sample is a type ii sample prepared pursuant to subdivision (c)(2) or (d)(2) of this appendix, shall be added to the Treatment and Blank containers, which shall be then fitted with covered air scrubbers extended well into the extraction solutions and flushed vigorously with nitrogen gas for 15 minutes so as to remove and exclude atmospheric oxygen from the extraction medium. If the sample is to be analyzed for any volatile substance, such as trichloroethylene, the sample shall be added after deaeration with nitrogen to avoid volatilization loss. After deaeration the containers shall be quickly sealed with tightly fitting caps and agitated, using a table shaker, an overhead stirrer or a rotary extractor, operated at a speed which shall maintain the sample in a state of vigorously agitated suspension. Required equipment is described in test method 1310 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd edition, U.S. Environmental Protection Agency, 1986 (incorporated by reference, see section 66260.11). The temperature during the extraction shall be maintained between 20 and 40 degrees centigrade. After 48 hours of extracting, the contents of the Treatment and Blank containers shall be either filtered directly or centrifuged and then filtered. Filtering shall be through a medium porosity prefilter and then through a 0.45 micron membrane filter, using a clean, thick-walled suction flask. For coarser solids, prefiltration shall not be necessary. Pressure filtration shall be an optional alternative to vacuum filtration. If the extracts are first centrifuged, glass or polyethylene bottles shall be used as prescribed for extraction. For very fine solids, centrifuging at as high as 10,000 X G may be necessary. After centrifugation, the liquids shall be decanted, prefiltered if necessary, and then passed through a 0.45 micron membrane filter. All filters shall be of low and identified extractable heavy metals, fluoride and organic chemicals content;
(3) if the filtered extracts are to be analyzed only for the metal elements listed in section 66261.24(a)(2)(A), the filtered extracts from the Treatment and Blank shall be transferred to clean polyethylene bottles and acidified with nitric acid to five percent by volume acid content soon after each extract is filtered. For those wastes or waste materials classified under subdivision (c)(2) or (d)(2) of this appendix, the Treatment shall be the Initial Filtrate combined with the extract generated by the WET extraction of the initially separated solids. Similarly the Blank in this instance shall be the filtrate generated by the WET Blank accompanying the initially separated solids, to which is subsequently added a volume of deionized water equivalent to that of the Initial Filtrate. These procedures shall be followed prior to acidification of Treatment and Blank solutions with nitric acid to five percent (by volume) acid content. The bottle shall then be stored at room temperature or frozen. If the extracts are also to be analyzed for the organic substances listed in section 66261.24(a)(2)(B), or for the organic substances only, the filtered extracts shall be transferred to clean glass bottles. If the extracts are to be analyzed for fluoride, they shall be transferred to clean polyethylene bottles. These extracts, containing organic substances or flouride, shall not be acidified, but shall be frozen soon after each extract is obtained and held frozen until the day of analysis, unless the extracts are analyzed within 24 hours.
(h) Sample analysis and data treatment shall be as follows:
(1) each of the filtered extracts from the Treatment and Blank extractions shall have been acidified to five percent by volume nitric acid, and stored at room temperature or frozen in polyethylene bottles or kept frozen without addition of acid in glass bottles until the day of analysis, as prescribed. Each of the extracts shall be thoroughly mixed just prior to being individually analyzed for the substances listed in section 66261.24(a)(2) in order to determine whether the extractable concentration (EC) in the waste or other material exceeds the STLC for any of the substances listed. The extracts shall be analyzed according to the procedures identified in subdivisions (b)(2) and (b)(3) of this appendix;
(2) the net EC of a substance in the Treatment sample which is listed in section 66261.24(a)(2) shall be calculated and reported as milligrams per liter of sample (mg/l). This value is derived after subtracting the concentration of the substance in the appropriate Blank extract from that concentration determined in the Treatment extract.
NOTE

Authority cited: Sections 208 and 25141, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).

Appendix III

Chemical Analysis Test Methods

Note: Appropriate analytical procedures to determine whether a sample contains a given toxic constituent are specified in Chapter Two, “Choosing the Correct Procedure” found in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846, Third Edition and Updates (incorporated by reference in section 66260.11 of this chapter). Prior to final sampling and analysis method selection, the individual should consult the specific section or method described in SW-846 for additional guidance on which of the approved methods should be employed for a specific sample analysis situation.
NOTE

Authority cited: Sections 25141, 25159 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159, Health and Safety Code and 40 CFR Part 261 Appendix III.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment adding Benzo(k)fluoranthene to Table 1 and amendment of Note filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
3. Editorial correction of Table 2 (Register 95, No. 21).
4. Repealer and new appendix III and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
5. Change without regulatory effect amending appendix filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).

Appendix VII

Basis for Listing Hazardous Waste

		EPA
Hazardous
Waste No.	Hazardous constituents for which listed

F001	Tetrachloroethylene, methylene chloride,
	trichloroethylene, 1,1,1-trichloroethane, carbon
	tetrachloride, chlorinated fluorocarbons.

F002	Tetrachloroethylene, methylene chloride,
	trichloroethylene, 1,1,1-trichloroethane, 1,1,2-
	trichloroethane, chlorobenzene, 1,1,2-trichloro-1,2,2-
	trifluoroethane, ortho-dichlorobenzene, trichloro--
	fluoromethane.
F003	N.A.
F004	Cresols and cresylic acid, nitrobenzene.

F005	Toluene, methyl ethyl ketone, carbon disulfide,
	isobutanol, pyridine, 2-ethoxyethanol, benzene,
	2-nitropropane.
F006	Cadmium, hexavalent chromium, nickel, cyanide
	(complexed).
F007	Cyanide (salts).
F008	Cyanide (salts).
F009	Cyanide (salts).
F010	Cyanide (salts).
F011	Cyanide (salts).
F012	Cyanide (complexed).
F019	Hexavalent chromium, cyanide (complexed).
F020	Tetra- and pentachlorodibenzo-p-dioxins; tetra and
	pentachlorodi-benzofurans; tri- and tetrachlorophenols
	and their chlorophenoxy derivative acids, esters, ethers,
	amine and other salts.

F021	Penta- and hexachlorodibenzo-p-dioxins; penta- and
	hexachlorodibenzofurans; pentachlorophenol and its
	derivatives.
F022	Tetra-, penta-, and hexachlorodibenzo-p-dioxins; tetra-,
	penta-, and hexachlorodibenzofurans.
F023	Tetra-, and pentachlorodibenzo-p-dioxins; tetra- and
	pentachlorodibenzofurans; tri- and tetrachlorophenols
	and their chlorophenoxy derivative acids, esters, ethers,
	amine and other salts.
F024	Chloromethane, dichloromethane, trichloromethane,
	carbon tetrachloride, chloroethylene, 1,1-dichloroethane,
	1,2-dichloroethane, trans-1-,2-dichloroethylene,
	1,1-dichloroethylene,1,1,1-trichloroethane, 1,1,2-
	trichloroethane, trichloroethylene, 1,1,1,2-
	tetrachloroethane, 1,1,2,2-tetrachloroethane, tetrachlo--
	roethylene, pentachloroethane, hexachloroethane, allyl 
	chloride (3-chloropropene), dichloropropane,
	dichloropropene, 2-chloro-1,3-butadiene,
	hexachloro-1,3-butadiene, hexachlorocyclopentadiene,
	hexachlorocycloexane, benzene, chlorobenzene,
	dichlorobenzenes, 1,2,4-trichlorobenzene,

	tetrachlorobenzene, pentachlorobenzene,
	hexachlorobenzene, toluene, naphthalene.

F025	Chloromethane, dichloromethane, trichloromethane,
	carbon tetrachloride, chlorethylene,1,1-dichloroethane,
	1,2-dichloroethane, trans-1,2-dichlorethylene,
	1,1-dichloroethylene, 1,1,1-trichlorethane, 1,1,2-
	trichlorethane, trichlorethylene, 1,1,1,2-tetrachloroethane,
	1,1,2,2-techrachloroethane, tetrachloroethylene,
	pentachloroethane, hexachloroethane, allyl chloride
	(3-chloropropene), dichloropropane, dichloropropene,
	2-chloro-1,3-butadiene, hexachloro- 1,3-butadiene,
	hexachlorocyclopentadiene, benzene, chlorobenzene,
	dichlorobenzene, 1,2,4-trichlorobenzene,
	tetrachlorobenzene, pentachlorobenzene,
	hexachlorobenzene, toluene, naphthalene.

F026	Tetra-, penta-, and hexachlorodibenzo-p-dioxins; tetra,
	penta-, and hexachlorodibenzofurans.
F027	Tetra-, penta-, and hexachlorodibenzo-p-dioxins; tetra-,
	penta-, and hexachlorodibenzofurans; tri-, tetra-, and 
	pentachlorophenols and their chlorophenoxy derivative
	acids, esters, ethers, amine and other salts.

F028	Tetra-, penta-, and hexachlorodibenzo-p-dioxins; tetra-,
	penta-, and hexachlorodibenzofurans; tri-, tetra-, and
	pentachlorophenols and their chlorophenoxy derivative
	acids, esters, ethers, amine and other salts.

F032	Benz(a)anthracene, benzo(a)pyrene, dibenz(a,h)anth-
	racene, indeno(1,2,3-cd)pyrene, pentachlorophenol,
	arsenic, chromium, tetra-, penta-, hexa-, heptachlo-
	rodibenzo-p-dioxins, tetra-, penta-, hexa-, heptachloro-
	dibenzofurans.

F034	Benz(a)anthracene, benzo(k)fluoranthene, benzo(a)py-
	rene, dibenz(a,h)anthracene, indeno(1,2,3-cd)pyrene,
	napthalene, arsenic, chromium.
F035	Arsenic, chromium, lead.

F037	Benzene, benzo(a)pyrene, chrysene, lead, chromium.
F038	Benzene, benzo(a)pyrene, chrysene, lead, chromium.
F039	All constituents which treatments standards are specified
	for multi-source leachate (wastewaters and nonwaste--
	waters) under Section 66268.43(a), Table CCW.
K001	Pentachlorophenol, phenol, 2-chlorophenol, p-chloro-
	m-cresol, 2,4-dimethylphenyl, 2,4-dinitrophenol,
	trichlorophenols, tetrachlorophenols, 2,4-dinitrophenol,
	creosote, chrysene, naphthalene, fluoranthene,
	benzo(b)fluoranthene, benzo(a) pyrene,
	indeno(1,2,3-cd)pyrene, benz(a)anthracene, dibenz(a)
	anthracene, acenaphthalene.
K002	Hexavalent chromium, lead.
K003	Hexavalent chromium, lead.
K004	Hexavalent chromium.
K005	Hexavalent chromium, lead.
K006	Hexavalent chromium.

K007	Cyanide (complexed), hexavalent chromium.
K008	Hexavalent chromium.
K009	Chloroform, formaldehyde, methylene chloride, methyl
	chloride, paraldehyde, formic acid.
K010	Chloroform, formaldehyde, methylene chloride, methyl
	chloride, paraldehyde, formic acid, chloroacetaldehyde.
K011	Acrylonitrile, acetonitrile, hydrocyanic acid.
K013	Hydrocyanic acid, acrylonitrile, acetonitrile.
K014	Acetonitrile, acrylamide.
K015	Benzyl chloride, chlorobenzene, toluene, benzotrichloride.
K016	Hexachlorobenzene, hexachlorobutadiene, carbon
	tetrachloride, hexachloroethane, perchloroethylene.
K017	Epichlorohydrin, chloroethers [bis(chloromethyl) ether
	and bis (2-chloroethyl) ethers], trichloropropane,
	dichloropropanols.
K018	1,2-dichloroethane, trichloroethylene, hexachlorobu--
	tadiene, hexachlorobenzene.

K019	Ethylene dichloride, 1,1,1-trichloroethane, 1,1,2- 
	trichloroethane, tetrachloroethanes (1,1,2,2-tetrachloro--
	ethane and 1,1,1,2-tetrachloroethane), trichloroethylene,
	tetrachloroethylene, carbon tetrachloride, chloroform,
	vinyl chloride, vinylidene chloride.
K020	Ethylene dichloride, 1,1,1-trichloroethane, 1,1,2-
	trichloroethane, tetrachloroethanes (1,1,2,2-tetrachloro--
	ethane and 1,1,1,2-tetrachloroethane), trichloroethylene,
	tetrachloroethylene, carbon tetrachloride, chloroform,
	vinyl chloride, vinylidene chloride.
K021	Antimony, carbon tetrachloride, chloroform.
K022	Phenol, tars (polycyclic aromatic hydrocarbons).
K023	Phthalic anhydride, maleic anhydride.
K024	Phthalic anhydride, 1,4-naphthoquinone.
K025	Meta-dinitrobenzene, 2,4-dinitrotoluene.
K026	Paraldehyde, pyridines, 2-picoline.
K027	Toluene diisocyanate, 2,4-toluenediamine.

K028	1,1,1-trichloroethane, vinyl chloride.
K029	1,2-dichloroethane, 1,1,1-trichloroethane, vinyl chloride,
	vinylidene chloride, chloroform.
K030	Hexachlorobenzene, hexachlorobutadiene,
	hexachloroethane, 1,1,1,2-tetrachloroethane, 1,1,2,2-
	tetrachloroethane, ethylene dichloride.
K031	Arsenic.
K032	Hexachlorocyclopentadiene.
K033	Hexachlorocyclopentadiene.
K034	Hexachlorocyclopentadiene.

K035	Creosote, chrysene, naphthalene, fluoranthene, benzo(b)
	fluoranthene, benzo(a)pyrene, indeno(1,2,3-cd) pyrene,
	benzo(a)anthracene, dibenzo(a)anthracene,
	acenaphthalene.

K036	Toluene, phosphorodithioic and phosphorothioic acid
	esters.

K037	Toluene, phosphorodithioic and phosphorothioic acid
	esters.

K038	Phorate, formaldehyde, phosphorodithioic and
	phosphorothioic acid esters.
K039	Phosphorodithioic and phosphorothioic acid esters.

K040	Phorate, formaldehyde, phosphorodithioic and
	phosphorothioic acid esters.
K041	Toxaphene.
K042	Hexachlorobenzene, ortho-dichlorobenzene.
K043	2,4-dichlorophenol, 2,6-dichlorophenol, 2,4,6-
	trichlorophenol.
K044	N.A.
K045	N.A.
K046	Lead.
K047	N.A.
K048	Hexavalent chromium, lead.
K049	Hexavalent chromium, lead.
K050	Hexavalent chromium.
K051	Hexavalent chromium, lead.
K052	Lead.
K060	Cyanide, napthalene, phenolic compounds, arsenic.

K061	Hexavalent chromium, lead, cadmium.
K062	Hexavalent chromium, lead.
K069	Hexavalent chromium, lead, cadmium.
K071	Mercury.
K073	Chloroform, carbon tetrachloride, hexachloroethane,
	trichloroethane, tetrachloroethylene, dichloroethylene,
	1,1,2,2-tetrachloroethane.
K083	Aniline, diphenylamine, nitrobenzene, phenylenediamine.
K084	Arsenic.
K085	Benzene, dichlorobenzenes, trichlorobenzenes,
	tetrachlorobenzenes, pentachlorobenzene,
	hexachlorobenzene, benzyl chloride.
K086	Lead, hexavalent chromium.

K087	Phenol, naphthalene.
K088	Cyanide (complexes).
K093	Phthalic anhydride, maleic anhydride.
K094	Phthalic anhydride.
K095	1,1,2-trichloroethane, 1,1,1,2-tetrachloroethane,
	1,1,2,2-tetrachloroethane.
K096	1,2-dichloroethane, 1,1,1-trichloroethane, 1,1,2-
	trichloroethane.
K097	Chlordane, heptachlor.
K098	Toxaphene.
K099	2,4-dichlorophenol, 2,4,6-trichlorophenol.
K100	Hexavalent chromium, lead, cadmium.
K101	Arsenic.
K102	Arsenic.
K103	Aniline, nitrobenzene, phenylenediamine.

K104	Aniline, benzene, diphenylamine, nitrobenzene,
	phenylenediamin
K105	Benzene, monochlorobenzene, dichlorobenzenes, 2,4,6- 
	trichlorophenol.
K106	Mercury.
K107	1,1-Dimethylhydrazine (UDMH).
K108	1,1-Dimethylhydrazine (UDMH).
K109	1,1-Dimethylhydrazine (UDMH).
K110	1,1-Dimethylhydrazine (UDMH).

K111	2,4-Dinitrotoluene.
K112	2,4-Toluenediamine, o-toluidine, p-toluidine, aniline.
K113	2,4-Toluenediamine, o-toluidine, p-toluidine, aniline.

K114	2,4-Toluenediamine, o-toluidine, p-toluidine.
K115	2,4-Toluenediamine.
K116	Carbon tetrachloride, tetrachloroethylene, chloroform,
	phosgene.

K117	Ethylene dibromide.
K118	Ethylene dibromide.
K123	Ethylene thiourea.

K124	Ethylene thiourea.
K125	Ethylene thiourea.
K126	Ethylene thiourea.
K131	Dimethyl sulfate, methyl bromide.

K132	Methyl bromide.
K136	Ethylene dibromide.

K141	Benzene, benz(a)anthracene, benzo(a)pyrene, 
	benzo(b)fluoranthene, benzo(k)fluoranthene, 
	dibenz(a,h)anthracene, indeno(1,2,3-cd)pyrene.

K142	Benzene, benz(a)anthracene, benzo(a)pyrene, 
	benzo(b)fluoranthene, benzo(k)fluoranthene, 
	dibenz(a,h)anthracene, indeno(1,2,3-cd)pyrene.

K143	Benzene, benz(a)anthracene, benzo(b)fluoranthene, 
	benzo(k)fluoranthene.

K144	Benzene, benz(a)anthracene, benzo(a)pyrene,
	benzo(b)fluoranthene, benzo(k)fluoranthene,
	dibenz(a,h)anthracene.

K145	Benzene, benz(a)anthracene, benzo(a)pyrene,
	dibenz(a,h)anthracene, naphthalene.

K147	Benzene, benz(a)anthracene, benzo(a)pyrene,
	benzo(b)fluoranthene, benzo(k)fluoranthene,
	dibenz(a,h)anthracene, indeno(1,2,3-cd)pyrene.

K148	Benz(a)anthracene, benzo(a)pyrene,
	benzo(b)fluoranthene, benzo(k)fluoranthene,
	dibenz(a,h)anthracene, indeno(1,2,3-cd)pyrene.

K149	Benzotrichloride, benzyl chloride, chloroform, 
	chloromethane, chlorobenzene, 1,4-dichlorobenzene, 
	hexachlorobenzene, pentachlorobenzene, 
	1,2,4,5-tetrachlorobenzene, toluene.

K150	Carbon tetrachloride, chloroform, chloromethane,
	1,4-dichlorobenzene, hexachlorobenzene, 
	pentachlorobenzene, 1,2,4,5-tetrachlorobenzene,
	1,1,2,2-tetrachloroethane, tetrachloroethylene,
	1,2,4-trichlorobenzene.

K151	Bebzene, carbon tetrachloride, chloroform, 
	hexachlorobenzene, pentachlorobenzene, toluene,
	1,2,4,5-tetrachlorobenzene, tetrachloroethylene.

K156	Benomyl, carbaryl, carbendazim, carbofuran, 
	carbosulfan, formaldehyde, methylene chloride, 
	triethylamine.

K157	Carbon tetrachloride, formaldehyde, methyl chloride, 
	methylene chloride, pyridine, triethylamine.

K158	Benomyl, carbendazim, carbofuran, carbosulfan,
	chloroform, methylene chloride.

K159	Benzene, butylate, eptc, molinate, pebulate, vernolate.

K161	Antimony, arsenic, metam-sodium, ziram.

K174	1,2,3,4,6,7,8-Heptachlorodibenzo-p-dioxin (1,2,3,4,6,7,8-HpCDD), 
1,2,3,4,6,7,8-Heptachlorodibenzofuran (1,2,3,4,6,7,8-HpCDF), 
1,2,3,4,7,8,9-Heptachlorodibenzofuran (1,2,3,4,7,8,9-HpCDF), HxCDDs (All Hexachlorodibenzo-p-dioxins, HxCDFs (All Hexachlorodibenzofurans), PeCDDs (All Pentachlorodibenzo-p-dioxins), OCDD (1,2,3,4,6,7,8,9-Octachlorodibenzo-p-dioxin), OCDF (1,2,3,4,6,7,8,9-Octachlorodibenzofuran), PeCDFs (All Pentachlorodibenzofurans), TCDDS (All tetrachlorodi-benzo-p-dioxins), TCDFs (All tetrachlorodibenzofurans).

K175	Mercury

----------
N.A.--Waste is hazardous because it exhibits the characteristic of ignitability, corrosivity or reactivity.
Note: Authority cited: Sections 25140, 25141, 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159, Health and Safety Code; and 40 CFR Part 261 Appendix VII.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. New listings F037 and F038 and amendment of Note filed 7-7-94; operative 8-8-94 (Register 94, No. 27).
3. New listings F032, F034 and F035 and amendment of Note filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
4. Change without regulatory effect amending F032 entry filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
5. Amendment  and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
6. New listings K156-K161 and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
7. Change without regulatory effect adding new listing K140 and amending Note filed 5-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 21).
8. Change without regulatory effect removing listing K140 and adding listings K174 and K175 filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
9. Change without regulatory effect removing listings for K064, K065, K066, K090 and K091 filed 6-12-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 24).

Appendix VIII

Hazardous Constituents

								EPA
		Chemical	Haz.
		Abstracts	Waste
Common Name	Chemical Abstracts Name	No.	No.

A2213	Ethanimidothioic acid,	30558-43-1	U394
	2- (dimethylamino)
	-N-hydroxy-2-oxo-,
	methyl ester
Acetonitrile	Same	75-05-8	U003
Acetophenone	Ethanone, 1-phenyl-	98-86-2	U004
2-Acetylaminefluarone	Acetamide, N-9H-fluoren-	53-96-3	U005
	 2-yl-
Acetyl chloride	Same	75-36-5	U006
1-Acety1-2-thiourea	Acetamide, N-(aminothioxo	591-08-2	P002
	 methyl)-
Acrolein	2-Propenal	107-02-8	P003
Acrylamide	2-Propenamide	79-06-1	U007
Acrylonitrile	2-Propenenitrile	107-13-1	U009
Aflatoxins	Same	1402-68-2
Aldicarb	Propanal, 2-methyl-2-	116-06-3	P070
	 (methylthio)-,O-[(methyl-
	 amino)carbonyl]oxime
Aldicarb sulfone	Propanal, 2-methyl-2-	1646-88-4	P203
	(methylsulfonyl)-,
	O-[(methylamino) carbonyl]
	oxime
Aldrin	1,4,5,8-Dimethanonaphtha-	309-00-2	P004
	 lene, 1,2,3,4,10,10-hexa
	 chloro-1,4,4a,5,8,8a-hexa
	 hydro-,(1alpha,4alpha,
	 4abeta,5alpha,8alpha,
	 8abeta)-
Allyl alcohol	2-Propen-1-ol	107-18-6	P005
Allyl chloride	1-Propene, 3-chloro	107-05-1
Aluminum phosphide	Same	20859-73-8	P006
4-Aminobiphenyl	[1,1'-Biphenyl]-4-amine	92-67-1
5-(Aminomethyl)-3-	3(2H)-Isoxazolone, 5-	2763-96-4	P007
 isoxazolol	 (aminomethyl)-
4-Aminopyridine	4-Pyridinamine	504-24-5	P008

Amitrole	1H-1,2,4-Triazol-3-amine	61-82-5	U011
Ammonium vanadate	Vanadic acid, ammonium salt	7803-55-6	P119
Aniline	Benzenamine	62-53-3	U012
Antimony	Same	7440-36-0
Antimony compounds	N.O.S.1

Aramite	Sulfurous acid, 2-chloro	140-57-8
	 ethyl 2-[4-(1,1-dimethyl
	 ethyl)phenoxy]-1-methyl-
	 ethyl ester

Arsenic	Same	7440-38-2
Arsenic compounds,	N.O.S.1
Arsenic acid	Arsenic acid H3AsO4	7778-39-4	P010

Arsenic pentoxide	Arsenic oxide As205	1303-28-2	P011
Arsenic trioxide	Arsenic oxide As2O3	1327-53-3	P012
Auramine	Benzenamine, 4,4'-	492-80-8	U014
	 carbonimidoylbis[N,N-
	 dimethyl
Azaserine	L-Serine, diazoacetate	115-02-6	U015
	 (ester)
Barban	Carbamic acid,	101-27-9	U280
	 (3-chlorophenyl)-,4-chloro-
	2-butynyl ester

Barium	Same	7440-39-3
Barium compounds	N.O.S.1
Barium cyanide	Same	542-62-1	P013
Bendiocarb	1,3-Benzodioxol-4-ol,	22781-23-3	U278
	 2,2-dimetyl-, methyl
	 carbamate

Bendiocarb phenol	1,3-Benzodioxol-4-ol,	22961-82-6	U364
	2,2-dimethyl-,
Benomyl	Carbamic acid, [1-	17804-35-2	U271
	 [(butylamino) carbonyl]-
	 1H-benzimidazol-2-yl]-,
	 methyl ester
Benz[c]acridine	Same	225-51-4	U016
Benz[a]anthracene	Same	56-55-3	U018

Benzal chloride	Benzene, (dichloromethyl)-	98-87-3	U017
Benzene	Same	71-43-2	U019
Benzenearsonic acid	Arsonic acid, phenyl-	98-05-5
Benzidine	[1,1'-Biphenyl]-4,4'-	92-87-5	U021
	 diamine
Benzo[b]fluoranthene	Benz[e]acephenanthrylene	205-99-2
Benzo[j]fluoranthene	sSame	205-82-3

Benzo[a]pyrene	Same	50-32-8	U022
p-Benzoquinone	2,5-Cyclohexadiene-1,4-	106-51-4	U197
	 dione
Benzo(k)fluoranthene	Same	207-08-09
Benzotrichloride	Benzene, (trichloromethyl)-	98-07-7	U023
Benzyl chloride	Benzene, (chloromethyl)-	100-44-7	P028
Beryllium compounds	N.O.S.1
Beryllium Powder	Same	7440-41-7	P015
Bis(pentamethylene)-	Piperidine,	120-54-7	none
thiuram tetrasulfide	1,1'-(tetrathiodicarbonothioyl)-
	 bis-
Bromoacetone	2-Propanone, 1-bromo-	598-31-2	P017

Bromoform	Methane, tribromo-	75-25-2	U225
4-Bromophenyl	Benzene, 1-bromo-4-	101-55-3	U030
 phenyl ether	 phenoxy
Brucine	Strychnidin-10-one, 2,3-	357-57-3	P018
	 dimethoxy
Butyl benzyl	1,2-Benzenedicarboxylic	85-68-7
 phthalate	 acid, butyl phenylmethyl
	 ester
Butylate	Carbamothioic acid,	2008-41-5	none
	 bis(2-methylpropyl)-,
	 S-ethyl ester
Cacodylic acid	Arsinic acid, dimethyl-	75-60-5	U136
Cadmium	Same		7440-43-9
Cadmium compounds	N.O.S.1
Calcium chromate	Chromic acid, H2CrO4,	13765-19-0	U032
	 calcium salt
Calcium cyanide	Calcium cyanide Ca(CN)2	592-01-8	P021
Carbaryl	1-Naphthalenol,	63-25-2	U279
	 methylcarbamate
Carbendazim	Carbamic acid,	10605-21-7	U372
	 1H-benzimidazol-2-yl,
	 methyl ester
Carbofuran	7-Benzofuranol,	1563-66-2	P127
	2,3-dihydro-2,2-dimethyl-,
	methylcarbamate

Carbofuran phenol	7-Benzofuranol,	1563-38-8	U367
	2,3-dihydro-2,2-dimethyl-
Carbon disulfide	Same		75-15-0	P022
Carbon oxyfluoride	Carbonic difluoride	353-50-4	U033
Carbon tetrachloride	Methane, tetrachloro-	56-23-5	U211

Carbosulfan	Carbamic acid,	55285-14-8	P189
	 [(dibutylamino) thio]
	 methyl-,2,3-dihydro-2,2-
	 dimethyl-7-benzofuranyl ester
Chloral	Acetaldehyde, trichloro-	75-87-6	U034
Chlorambucil	Benzenebutanoic acid, 4-	305-03-3	U035
	 [bis(2-chloroethyl)amino]-
Chlordane	4,7-Methano-1H-indene,1,2,	57-74-9	U036
	 4,5,6,7,8,8-octachloro-2,
	 3,3a,4,7,7a-hexahydro-
Chlordane (alpha and			U036
 gamma isomers)
Chlorinated benzenes	N.O.S.1
Chlorinated ethane	N.O.S.1
Chlorinated	
 fluorocarbons	N.O.S.1
Chlorinated naphtha-	
 lene	N.O.S.1
Chlorinated phenol	N.O.S.1
Chlornaphazine	Naphthalenamine, N,N'-bis	494-03-1	U026
	 (2-chloroethyl)-
Chloroacetaldehyde	Acetaldehyde, chloro-	107-20-0	P023
Chloroalkyl ethers	N.O.S.1

p-Chloroaniline	Benzenamine, 4-chloro	106-47-8	P024
Chlorobenzene	Benzene, chloro-	108-90-7	U037
Chlorobenzilate	Benzeneacetic acid, 4-	510-15-6	U038
	 chloro-alpha-(4-chloro-
	 phenyl)-alpha-hydroxy-,
	 ethyl ester
p-Chloro-m-cresol	Phenol, 4-chloro-3-methyl-	59-50-7	U039

2-Chloroethyl vinyl	Ethene, (2-chloroethoxy)-	110-75-8	U042
	 ether
Chloroform	Methane, trichloro-	67-66-3	U044

Chloromethyl methyl	Methane, chloromethoxy-	107-30-2	U046
	 ether
beta-Chloro-	Napthalene, 2-chloro-	91-58-7	U047 
	 naphthalene
o-Chlorophenol	Phenol, 2-chloro-	95-57-8	U048 

1-(o-Chlorophenyl)	Thiourea, (2-chlorophenyl)-	5344-82-1	P026
	 thiourea

Chloroprene	1,3-Butadiene, 2-chloro-	126-99-8
3-Chloropropio-	Propanenitrile, 3-chloro-	542-76-7	P027
	 nitrile
Chromium	Same	7440-47-3
Chromium compounds	N.O.S.1
Chrysene	Same	218-01-9	U050

Citrus red No. 2	2-Naphthalenol, 1-[(2,5-	6358-53-8
	 dimethoxyphenyl)azo]-
Coal tar creosote	Same	8007-45-2
Copper cyanide	Copper cyanide CuCN	544-92-3	P029
Copper	Copper,	137-29-1	none
dimethyldithiocarbamate	bis(dimethylcarbamodithioato-
	S,S')-,
Creosote	Same		U051
Cresol (Cresylic acid)	Phenol, methyl-	1319-77-3	U052
Crotonaldehyde	2-Butenal	4170-30-3	U053
m-Cumenyl	Phenol, 3-(methylethyl)-,	64-00-6	P202
methylcarbamate	methyl carbamate
Cyanides (soluble salts			P030
 and complexes)	N.O.S.1
Cyanogen	Ethanedinitrile	460-19-5	P031
Cyanogen bromide	Cyanogen bromide (CN)Br	506-68-3	U246
Cyanogen chloride	Cyanogen chloride (CN)Cl	506-77-4	P033
Cycasin	beta-D-Glucopyranoside,	14901-08-7
	 (methyl-ONN-azoxy)methyl
Cycloate	Carbamothioic acid,	1134-23-2	none
	 cyclohexylethyl-, S-ethyl ester
2-Cyclohexyl-4,6-	Phenol, 2-cyclohexyl-4,	131-89-5	P034
 dinitrophenol	 6-dinitro-
Cyclophosphamide	2H-1,3,2-0xazaphosphorin-	50-18-0	U058
	 2-amine, N,N-bis(2-chloro-
	 ethyl)tetrahydro-, 2-oxide

2,4-D	Acetic acid, (2,4-dichloro-	94-75-7	U240
	 phenoxy)-

2,4-D, salts and esters			U240
Daunomycin	5,12-Naphthacenedione, 8-	20830-81-3	U059
	 acetyl-10-[(3-amino-2,3,
	 6-trideoxy-alpha-L-lyxo-
	 hexopyranosyl)oxy]-7,8,9,10-
	 tetrahydro-6,8,11-trihy-
	 droxy-1-methoxy-, (8S-cis)-
Dazomet	2H-1,3,5-thiadiazine-2-	533-74-4	none
	 thione, tetrahydro-3,5-dimethyl
DDD	Benzene, 1,1'-(2,2-dichlo-	72-54-8	U060
	 roethylidene)bis[4-chloro-
DDE	Benzene, 1,1'-(dichloro-	72-55-9
	 ethenylidene)bis[4-chloro-
DDT	Benzene, 1,1'-(2,2,2-tri-	50-29-3	U061
	 chloroethylidene)bis[4-
	 chloro-
Diallate	Carbamothioic acid, bis	2303-16-4	U062
	 (1-methylethyl)-, S-(2,3-
	 dichloro-2-propenyl) ester 
Dibenz[a,h]acridine	Same	226-36-8 
Dibenz[a,j]acridine	Same	224-42-0 
Dibenz[a,h]anthracene	Same	53-70-3	U063 7H--Dibenzo[c,g]	Same	194-59-2
 carbazole
Dibenzo[a,e]pyrene	Naphtho[1,2,3,4-def]	192-65-4
	 chrysene

Dibenzo[a,h]pyrene	Dibenzo[b,def]chrysene	189-64-0
Dibenzo[a,i]pyrene	Dibenzo[rst]pentaphene	189-55-9	U064
1,2-Dibromo-3-	Propane, 1,2-dibromo-3-	96-12-8	U066
 chloropropane	 chloro-
Dibutyl phthalate	1,2-Benzenedicarboxylic	84-74-2	U069
	 acid, dibutylester
o-Dichlorobenzene	Benzene, 1,2-dichloro-	95-50-1	U070
m-Dichlorobenzene	Benzene, 1,3-dichloro-	541-73-1	U071
p-Dichlorobenzene	Benzene, 1,4-dichloro-	106-46-7	U072

Dichlorobenzene,	Benzene, dichloro-	25321-22-6
 N.O.S.1
3,3'-Dichloro	[1,1'-Biphenyl]-4,4'-	91-94-1	U073
 benzidine	 diamine, 3,3'-dichloro-
1,4-Dichloro-2-	2-Butene, 1,4-dichloro-	764-41-0	U074
 butene
Dichlorodifluoro-	Methane, dichlorodifluoro-	75-71-8	U075
 methane
Dichloroethylene,	Dichloroethylene	25323-30-2
 N.O.S.1
1,1-Dichloro-	Ethene, 1,1-dichloro-	75-35-4	U078
 ethylene

1,2-Dichloro-	Ethene, 1,2-dichloro-,	156-60-5	U079
 ethylene	 (E)-
Dichloroethyl	Ethane, 1,1'oxybis	111-44-4	U025
 ether	 [2-chloro-

Dichloroisopropyl	Propane, 2,2'-oxybis	108-60-1	U027
 ether	 [1-chloro-
Dichloromethoxy	Ethane, 1,1'-[methylenebis	111-91-1	U024
 ethane	 (oxy)]bis[2-chloro-
Dichloromethyl	Methane, oxybis[chloro-	542-88-1	P016
 ether
2,4-Dichlorophenol	Phenol, 2,4-dichloro-	120-83-2	U081
2,6-Dichlorophenol	Phenol, 2,6-dichloro-	87-65-0	U082
Dichlorophenyl-	Arsonous dichloride,	696-28-6	P036
 arsine	 phenyl-

Dichloropropane,	Propane, dichloro-	26638-19-7
 N.O.S.1
Dichloropropanol,	Propanol, dichloro-	26545-73-3
 N.O.S.1
Dichloropropene,	1-Propene, dichloro-	26952-23-8
 N.O.S.1
1,3-Dichloropropene	1-Propene, 1,3-dichloro-	542-75-6	U084
Dieldrin	2,7:3,6-Dimethanonaphth	60-57-1	P037
	 [2,3-b]oxirene, 3,4,5,6,
	 9,9-hexachloro-1a,2,2a,3,
	 6,6a,7,7a-octahydro-,
	 (1aalpha,2beta,2aalpha,
	 3beta,6beta,6aalpha,
	 7beta,7aalpha)-
1,2:3,4-Diepoxy	2,2'-Bioxirane	1464-53-5	U085
 butane

Diethylarsine	Arsine, diethyl-	692-42-2	P038
1,4-Diethyleneoxide	1,4-Dioxane	123-91-1	U108
Diethylene glycol,	Ethanol, 2,2'-oxybis-,	5952-26-1	U395
dicarbamate	discarbamate

Diethylhexyl	1,2-Benzenedicarboxylic	117-81-7	U028
 phthalate	 acid, bis(2-ethylhexyl)
	 ester
N,N'-Diethylhydrazine	Hydrazine, 1,2-diethyl	1615-80-1	U086
O,O-Diethyl S-methyl	Phosphorodithioic acid,	3288-58-2	U087
 dithiophosphate	 O,O-diethyl S-methyl ester
Diethyl-p-nitrophenyl	Phosphoric acid, diethyl	311-45-5	P041
 phosphate	 4-nitrophenyl ester
Diethyl phthalate	1,2-Benzenedicarboxylic	84-66-2	U088
	 acid, diethyl ester
O,O-Diethyl O-pyra-	Phosphorothioic acid,	297-97-2	P040
 zinyl phosphoro-	 O,O-diethyl O-pyrazinyl
 thioate	 ester
Diethylstilbestrol	Phenol, 4,4'-(1,2-diethyl-	56-53-1	U089
	 1,2-ethenediyl)bis-, (E)-
Dihydrosafrole	1,3-Benzodioxole, 5-propyl-	94-58-6	U090
Diisopropyl-	Phosphorofluoridic acid,	55-91-4	P043
 fluorophosphate	 bis(1-methylethyl) ester
 (DFP)
Dimethoate	Phosphorodithioic acid,	60-51-5	P044
	 O,O-dimethyl S-[2-
	 (methylamino)-2-
	 oxoethyl] ester
3,3'-Dimethoxy	[1,1'-Biphenyl]-4,4'-	119-90-4	U091
 Benzidine	 diamine, 3,3'-dimethoxy-

p-Dimethylaminoazo-	Benzenamine, N,N-dimethyl-	60-11-7	U093
 benzene	 4-(phenylazo)-
7,12-Dimethylbenz[a]	Benz[a]anthracene,	57-97-6	U094
 anthracene	 7,12-dimethyl-
3,3'-Dimethylbenzidine	[1,1'-Biphenyl]-4,	119-93-7	U095
	 4'-diamine, 3,3'-dimethyl-
Dimethylcarbamoyl	Carbamic chloride,	79-44-7	U097
 chloride	 dimethyl-
1,1-Dimethylhydrazine	Hydrazine, 1,1-dimethyl-	57-14-7	U098

1,2-Dimethylhydrazine	Hydrazine, 1,2-dimethyl-	540-73-8	U099
alpha, alpha-Dimethyl-	Benzeneethanamine, alpha,	122-09-8	P046
 phenethylamine	 alpha-dimethyl-

2,4-Dimethylphenol	Phenol, 2,4-dimethyl-	105-67-9	U101
Dimethyl phthalate	1,2-Benzenedicarboxylic	131-11-3	U102
	 acid, dimethyl ester
Dimethyl sulfate	Sulfuric acid, dimethyl	77-78-1	U103
	 ester
Dimetilan	Carbamic acid,	644-64-4	P191
	 dimethyl-, 1- [(dimethylamino)
	 carbonyl]-5-methyl-1H-
	 pyrazol-3-yl ester
Dinitrobenzene,	Benzene, dinitro-	25154-54-5
 N.O.S.1
4,6-Dinitro-o-cresol	Phenol, 2-methy1-4,6-	534-52-1	P047
	 dinitro-
4,6-Dinitro-o-cresol			P047
 salts

2,4-Dinitrophenol	Phenol, 2,4-dinitro-	51-28-5	P048
2,4-Dinitrotoluene	Benzene, 1-methyl-2,4-	121-14-2	U105
	 dinitro-

2,6-Dinitrotoluene	Benzene, 2-methyl-1,3-	606-20-2	U106
	 dinitro-
Dinoseb	Phenol, 2-(1-methylpropyl)-	88-85-7	P020
	 4,6-dinitro-
Di-n-octyl phthalate	1,2-Benzenedicarboxylic	117-84-0	U017
	 acid, dioctyl ester
Diphenylamine	Benzenamine, N-phenyl-	122-39-4
1,2-Diphenylhydrazine	Hydrazine, 1,2-diphenyl-	122-66-7	U109 Di-n-propylnitros-	1-Propanamine, N-nitroso-	621-64-7	U111
 amine	 N-propyl-
Disulfiram	Thioperoxydicarbonic,	97-77-8	none
	 diamide, tetraethyl

Disulfoton	Phosphorodithioic acid,	298-04-4	P039
	 O,O-diethyl S-[2-(ethyl-
	 thio)ethyl] ester
Dithiobiuret	Thioimidodicarbonic diamide	541-53-7	P049
	 [(H2N)C(S)]2NH

Endosulfan	6,9-Methano-2,4,3-	115-29-7	P050
	 benzodioxathiepin, 6,7,8,
	 9,10,10-hexachloro-1,5,5a,
	 6,9,9a- hexahydro-, 3-
	 oxide 
Endothall	7-Oxabicyclo[2.2.1]heptane-	145-73-3	P088
	 2,3-dicarboxylic acid
Endrin	2,7:3,6-Dimethanonaphth	72-20-8	P051
	 [2,3-b]oxirene, 3,4,5,6,
	 9,9-hexachloro-1a,2,2a,3,
	 6,6a,7,7a-octahydro-,
	 (laalpha,2beta,2abeta,
	 3alpha,6alpha,6abeta,
	 7beta, 7aalpha)-

Endrin metabolites			P051
Epichlorohydrin	Oxirane, (chloromethyl)-	106-89-8	U041
Epinephrine	1,2-Benzenediol, 4-	51-43-4	P042
	 [1-hydroxy-2-(methyl-- 
	 amino) ethyl]-,(R)-
EPTC	Carbamothioic acid,	759-94-4	none
	dipropyl-, S-ethyl ester
Ethyl carbamate	Carbamic acid, ethyl ester	51-79-6	U238
 (urethane)
Ethyl cyanide	Propanenitrile	107-12-0	P101
Ethyl Ziram	Zinc,	14324-55-1	none
	 bis(diethylcarbamodithioato-
	 S,S')-
Ethylenebisdithiocar-	Carbamodithioic acid, 1,2-	111-54-6	U114
 bamic acid	 ethanediylbis-

Ethylenebisdithiocar-			U114
 bamic acid, salts
 and esters
Ethylene dibromide	Ethane, 1,2-dibromo-	106-93-4	U067
Ethylene dichloride	Ethane, 1,2-dichloro-	107-06-2	U077
Ethylene glycol	Ethanol, 2-ethoxy-	110-80-5	U359
 monoethyl ether
Ethyleneimine	Aziridine	151-56-4	P054
Ethylene oxide	Oxirane	75-21-8	U115
Ethylenethiourea	2-Imidazolidinethione	96-45-7	U116
Ethylidene	Ethane, 1,1-dichloro-	75-34-3	U076
 dichloride

Ethyl methacrylate	2-Propenoic acid, 2-	97-63-2	U118
	 methyl-, ethyl ester

Ethyl methanesul-	Methanesulfonic acid,	62-50-0	U119
 fonate	 ethyl ester
Famphur	Phosphorothioic acid, 0-[4-	52-85-7	P097
	 [(dimethylamino) sulfonyl]
	 phenyl] O,O-dimethyl ester
Ferbam	Iron,	14484-64-1	none
	 tris(dimethylcarbamodithioato-
	 S,S')-,
Fluoranthene	Same	206-44-0	U120
Fluorine	Same	7782-41-4	P056
Fluoroacetamide	Acetamide, 2-fluoro-	640-19-7	P057
Fluoroacetic acid,	Acetic acid, fluoro-,	62-74-8	P058
 sodium salt	 sodium salt
Formaldehyde	Same	50-00-0	U122
Formetanate	Methanimidamide,	23422-53-9	P198
hydrochloride	N,N-dimethyl-N'-[3-
	 [[(methylamino) carbonyl]oxy]
	 phenyl]-,monohydrochloride
Formic acid	Same	64-18-6	U123
Formparanate	Methanimidamide,	17702-57-7	P197
	 N,N-dimethyl-N'-[2-
	 methyl-4-[[(methylamino)
	 carbonyl]oxy]phenyl]-.
Glycidylaldehyde	Oxiranecarboxyaldehyde	765-34-4	U126
Halomethanes, N.O.S.1
Heptachlor	4,7-Methano-1H-indene, 1,4,	76-44-8	P059
	 5,6,7,8,8-heptachloro-3a,
	 4,7,7a-tetrahydro-
Heptachlorodibenzo-
 furans
Heptachlorodibenzo-p-
 dioxins

Heptachlor epoxide	2,5-Methano-2H-indeno	1024-57-3
	 [1,2-b]oxirene,2,3,4,5,6,
	 7,7-heptachloro-1a,1b,5,5a,
	 6,6a-hexahydro-(1aalpha,
	 1bbeta,2alpha,5alpha,
	 5abeta,6beta,6aalpha)-

Heptachlor epoxide	
 (alpha, beta, and
 gamma isomers)
Hexachlorobenzene	Benzene, hexachloro-	118-74-1	U127
Hexachlorobutadiene	1,3-Butadiene, 1,1,2,3,4,	87-68-3	U128
	 4-hexachloro-
Hexachlorocyclopen-	1,3-Cyclopentadiene, 1,2,	77-47-4	U130
 tadiene	 3,4,5,5-hexachloro-
Hexachlorodibenzo-p-
 dioxins
Hexachlorodibenzo-
 furans
Hexachloroethane	Ethane, hexachloro-	67-72-1	U131

Hexachlorophene	Phenol, 2,2'-methylenebis	70-30-4	U132
	 [3,4,6-trichloro-
Hexachloropropene	1-Propene, 1,1,2,3,3,3,-	1888-71-7	U243
	 hexachloro-
Hexaethyl tetraphos-	Tetraphosphoric acid,	757-58-4	P062
 phate	 hexaethyl ester
Hydrazine	Same	302-01-2	U133
Hydrogen cyanide	Hydrocyanic acid	74-90-8	P063
Hydrogen fluoride	Hydrofluoric acid	7664-39-3	U134
Hydrogen sulfide	Hydrogen sulfide H2S	7783-06-4	U135
Indeno[1,2,3-cd]-	Same	193-39-5	U137
 pyrene
3-Iodo-2-propynyl	Carbamic acid, butyl-, .	55406-53-6	none

n-butylcarbamate	3-iodo-2-propynyl ester
Isobutyl alcohol	1-Propanol, 2-methyl-	78-83-1	U140

Isodrin	1,4,5,8-Dimethanonaphtha-	465-73-6	P060
	 lene,1,2,3,4,10,10-hexa-
	 chloro-1,4,4a,5,8,8a-
	 hexa-hydro-,(1alpha,
	 4alpha,4abeta,5beta,8beta,
	 8abeta)-
Isolan	Carbamic acid,	119-38-0	P192
	 dimethyl-,3-methyl-1-
	 (1-methylethyl)-
	 1H-pyrazol-5-yl ester

Isosafrole	1,3-Benzodioxole, 5-	120-58-1	U141
	 (1-propenyl)-

Kepone	1,3,4-Metheno-2H-cyclobuta	143-50-0	U142
	 [cd]pentalen-2-one,1,1a,
	 3,3a,4,5,5,5a,5b,6-deca-
	 chlorooctahydro-
Lasiocarpine	2-Butenoic acid, 2-methyl-,	303-34-4	U143
	 7-[[2,3-dihydroxy-2-
	 (1-methoxyethyl)-3-methyl-
	 1-oxobutoxy]methyl]-2,3,5, 
	 7a-tetrahydro-1H-pyrroli-
	 zin-1-yl ester,[1S-[1alpha
	 (Z),7(2S*,3R*),7aalpha]]-
Lead	Same	7439-92-1
Lead compounds,
 N.O.S.1
Lead acetate	Acetic acid, lead (2+) salt	301-04-2	U144
Lead phosphate	Phosphoric acid, lead (2+)	7446-27-7	U145
	 salt (2:3)
Lead subacetate	Lead, bis(acetato-O)	1335-32-6	U146
	 tetrahydroxytri-
Lindane	Cyclohexane, 1,2,3,4,5,6-	58-89-9	U129
	 hexachloro-, (1alpha,
	 2alpha,3beta,4alpha,
	 5alpha,6beta)
Maleic anhydride	2,5-Furandione	108-31-6	U147
Maleic hydrazide	3,6-Pyridazinedione, 1,2-	123-33-1	U148
	 dihydro-
Malononitrile	Propanedinitrile	109-77-3	U149
Manganese	Manganese,	15339-36-3	P196
dimethyldithiocarbamate	 bis(dimethylcarbamodithioato-
	 S,S')-,
Melphalan	L-Phenylalanine, 4-[bis(2-	148-82-3	U150
	 chloroethyl)aminol]-

Mercury	Same	7439-97-6	U151
Mercury compounds,
 N.O.S.1

Mercury fulminate	Fulminic acid, mercury (2+)	628-86-4	P065
	 salt
Metam Sodium	Carbamodithioic acid,	137-42-8	none
	 methyl-, monosodium salt
Methacrylonitrile	2-Propenenitrile,	126-98-7	U152
	 2-methyl-

Methapyrilene	1,2-Ethanediamine, N,N-	91-80-5	U155
	 dimethyl-N'-2-pyridinyl-
	 N'-(2-thienylmethyl)-
Methiocarb	Phenol, (3,5-dimethyl-	2032-65-7	P199
	 4-(methylthio)-, 
	 methylcarbamate
Methomyl	Ethanimidothioic acid, N-	16752-77-5	P066
	 [[(methylamino)carbonyl]
	 oxy]-, methyl ester
Methoxychlor	Benzene, 1,1'-(2,2,2-tri-	72-43-5	U247
	 chloroethylidene)bis
	 [4-methoxy-

Methyl bromide	Methane, bromo-	74-83-9	U029
Methyl chloride	Methane, chloro-	74-87-3	U045
Methyl	Carbonochloridic acid,	79-22-1	U156
 chlorocarbonate	 methyl ester
Methyl chloroform	Ethane, 1,1,1-trichloro-	71-55-6	U226
3-Methylcholanthrene	Benz[j]aceanthrylene, 1,2-	56-49-5	U157
	 dihydro-3-methyl-
4,4'-Methylenebis	Benzenamine, 4,4'-methyl-	101-14-4	U158
 (2-chloroaniline)	 enebis[2-chloro-
Methylene bromide	Methane, dibromo-	74-95-3	U068
Methylene chloride	Methane, dichloro-	75-09-2	U080
Methyl ethyl ketone	2-Butanone	78-93-3	U159
 (MEK)
Methyl ethyl ketone	2-Butanone, peroxide	1338-23-4	U160
 peroxide
Methyl hydrazine	Hydrazine, methyl-	60-34-4	P068
Methyl iodide	Methane, iodo-	74-88-4	U138
Methyl isocyanate	Methane, isocyanato-	624-83-9	P064
2-Methyllactonitrile	Propanenitrile, 2-hydroxy-	75-86-5	P069
	 2-methyl-
Methyl methacrylate	2-Propenoic acid, 2-	80-62-6	U162
	 methyl-, methyl ester
Methyl methanesul-	Methanesulfonic acid,	66-27-3
 fonate	 methyl ester

Methyl parathion	Phosphorothioic acid, 0,0-	298-00-0	P071
	 dimethyl 0-(4-nitrophenyl)
	 ester
Methylthiouracil	4(1H)-Pyrimidinone, 2,3-	56-04-2	U164
	 dihydro-6-methy1-2-
	 thioxo-
Metolcarb	Carbamic acid, methyl-,	1129-41-5	P190
	 3-methylphenyl ester
Mexacarbate	Phenol,	315-18-4	P128
	 4-(dimethylamino)-3,5-
	 dimethyl-,methylcarbamate 
	 (ester)
Mitomycin C	Azirino[2,3':3,4]pyrrolo	50-07-7	U010
	 [1,2-a]indole-4,7-dione,
	 6-amino-8-[[(aminocarbonyl)
	 oxy]methyl]-	
	1,1a,2,8,8a,
	 8b-hexahydro-8a-methoxy-
	 5-methyl-, [1aS-(1aalpha,
	 8beta,8aalpha,8balpha)]-
MNNG	Guanidine, N-methyl-N'-	70-25-7	U163
	 nitro-N-nitroso-
Molinate	1H-Azepine-1-carbothioic	2212-67-1	none
	 acid, hexahydro-, S-ethyl 
	 ester
Mustard gas	Ethane, 1,1'-thiobis[2-	505-60-2
	 chloro-
Naphthalene	Same	91-20-3	U165
1,4-Naphthoquinone	1,4-Naphthalenedione	130-15-4	U166
alpha-Naphthylamine	1-Naphthalenamine	134-32-7	U167
beta-Naphthylamine	2-Naphthalenamine	91-59-8	U168
alpha-Naphthylthiourea	Thiourea, 1-naphthalenyl-	86-88-4	P072
Nickel	Same	7440-02-0

Nickel compounds,
 N.O.S.1
Nickel carbonyl	Nickel carbonyl Ni(CO)4,	13463-39-3	P073
	 (T-4)-
Nickel cyanide	Nickel cyanide Ni(CN)2	557-19-7	P074
Nicotine	Pyridine, 3-(1-methyl-2-	54-11-5	P075
	 pyrrolidinyl)-, (S)-
Nicotine salts			P075
Nitric oxide	Nitrogen oxide NO	10102-43-9	P076
p-Nitroaniline	Benzenamine, 4-nitro-	100-01-6	P077
Nitrobenzene	Benzene, nitro-	98-95-3	U169
Nitrogen dioxide	Nitrogen oxide NO2	10102-44-0	P078
Nitrogen mustard	Ethanamine, 2-chloro-N-	51-75-2
	 (2-chloroethyl)-N-methyl-
Nitrogen mustard,
 hydrochloride salt
Nitrogen mustard	Ethanamine, 2-chloro-N-	126-85-2
 N-oxide	 (2-chloroethyl)-N-methyl-,
	 N-oxide
Nitrogen mustard, 
 N-oxide,
 hydrochloride salt

Nitroglycerin	1,2,3-Propanetriol,	55-63-0	P081
	 trinitrate
p-Nitrophenol	Phenol, 4-nitro-	100-02-7	U170
2-Nitropropane	Propane, 2-nitro-	79-46-9	U171
Nitrosamines, N.O.S.1		35576-91-1
N-Nitrosodi-n-	1-Butanamine, N-butyl-N-	924-16-3	U172
 butylamine	 nitroso-
N-Nitrosodiethanol-	Ethanol, 2,2'-(nitroso-	1116-54-7	U173
 amine	 imino)bis-

N-Nitrosodiethylamine	Ethanamine, N-ethyl-N-	55-18-5	U174
	 nitroso-
N-Nitrosodimethyl-	Methanamine, N-methyl-N-	62-75-9	P082
 amine	 nitroso-
N-Nitroso-N-ethylurea	Urea, N-ethyl-N-nitroso-	759-73-9	U176
N-Nitrosomethylethyl-	Ethanamine, N-methyl-N-	10595-95-6
 amine	 nitroso-
N-Nitroso-N-methyl-	Urea, N-methyl-N-	684-93-5	U177
 urea	 nitroso
N-Nitroso-N-methyl-	Carbamic acid,	615-53-2	U178
 urethane	 methylnitroso-, ethyl
	 ester
N-Nitrosomethylvinyl-	Vinylamine, N-methyl-N-	4549-40-0	P084
 amine	 nitroso-

N-Nitrosomorpholine	Morpholine, 4-nitroso-	59-89-2
N-Nitrosonornicotine	Pyridine, 3-(1-nitroso-2-	16543-55-8
	 pyrrolidinyl)-, (S)-
N-Nitrosopiperidine	Piperidine, 1-nitroso-	100-75-4	U179
N-Nitrosopyrrolidine	Pyrrolidine, 1-nitroso-	930-55-2	U180
N-Nitrososarcosine	Glycine, N-methyl-N-	13256-22-9
	 nitroso-
5-Nitro-o-toluidine	Benzenamine, 2-methy1-5-	99-55-8	U181
	 nitro-
Octachlorodibenzo-p-	1,2,3,4,6,7,8,9-	3268-87-9	None
 dioxin (OCDD)	Octachlorodibenzo-p-dioxin
Octachlorodibenzofuran	1,2,3,4,6,7,8,9-	39001-02-0	None
 (OCDF)	Octachlorodibenofuran
Octamethylpyrophos-	Diphosphoramide, octam-	152-16-9	P085
 phoramide	 ethyl-

Osmium tetroxide	Osmium oxide OsO4, (T-4)-	20816-12-0	P087
Oxamyl	Ethanimidothioc acid,	23135-22-0	P194
	 2-(dimethylamino)-N-
	 [[(methylamino)carbonyl]oxy]-
	 2-oxo-, methyl ester
Paraldehyde	1,3,5-Trioxane, 2,4,6-	123-63-7	U182
	 trimethyl-
Parathion	Phosphorothioic acid, 0,0-	56-38-2	P089
	 diethyl 0-(4-nitrophenyl)
	 ester
Pebulate	Carbamothioic acid,	1114-71-2	none
	 butylethyl-, S-propyl ester
Pentachlorobenzene	Benzene, pentachloro-	608-93-5	U183
Pentachlorodibenzo-p-
 dioxins
Pentachlorodibenzo-
 furans
Pentachloroethane	Ethane, pentachloro-	76-01-7	U184

Pentachloronitro-	Benzene, pentachloronitro-	82-68-8	U185
 benzene (PCNB)
Pentachlorophenol	Phenol, pentachloro-	87-86-5	See
			 F027
Phenacetin	Acetamide, N-(4-ethoxy-	62-44-2	U187
	 phenyl)-

Phenol	Same	108-95-2	U188
Phenylenediamine	Benzenediamine	25265-76-3
Phenylmercury acetate	Mercury, (acetato-O) phenyl 	62-38-4	P092
Phenylthiourea	Thiourea, phenyl-	103-85-5	P093
Phosgene	Carbonic dichloride	75-44-5	P095
Phosphine	Same	7803-51-2	P096
Phorate	Phosphorodithioic acid,	298-02-2	P094
	 O,O-diethyl S-[(ethylthio)
	 methyl] ester
Phthalic acid esters,
 N.O.S.1
Phthalic anhydride	1,3-Isobenzofurandione	85-44-9	U190
2-Picoline	Pyridine, 2-methyl-	109-06-8	U191
Physostigmine	Pyrrolo[2,3-b]indol-	57-47-6	P204
	 5-01,1,2,3,3a,8,8a-
	 hexahydro-1,3a,8-
	 trimethyl-, methylcarbamate
	 (ester), (3aS-cis)-
Physostigmine	Benzoic acid,	57-64-7	P188
Salicylate	 2-hydroxy-, compd. with
	 (3aS-cis)--1,2,3,3a,8,8a-
	 hexahydro-1,3a,8-trimethylpyrrolo
	 [2,3-b]indol-5-yl
	 methylcarbamate ester (1:1).
Polychlorinated
 biphenyls, N.O.S.1
Potassium cyanide	Potassium cyanide K(CN)	151-50-8	P098
Potassium	Carbamodithioic acid,	128-03-0	none
dimethyldithiocarbamate	 dimethyl, potassium salt
Potassium 	Carbamodithioic acid,	51026-28-9	none

n-hydroxymethyl	 (hydroxyymethyl)methyl-,
- n-methyl-	 monopotassium salt
dithiocarbamate
Potassium 	Carbamodithioic acid,	137-41-7	none
n-methyldithiocarbamate	 methyl-monopotassium 
	 salt
Potassium	Pentachlorophenol,	7778736	none
pentachlorophenate	 potassium salt
Potassium silver	Argentate(l-), bis	506-61-6	P099
 cyanide	 (cyano-C)-, potassium

Promecarb	Phenol,	2631-37-0	P201
	 3-methyl-5-(1-methylethyl)-,
	 methyl carbamate
Pronamide	Benzamide, 3,5-dichloro-N-	23950-58-5 	U192
 (1,1-dimethyl-2-pro--
 pynyl)-1,3-Propane
 sultone	1,2-Oxathiolane, 2,2-	1120-71-4	U193
	 dioxide
n-Propylamine	1-Propanamine	107-10-8	U194
Propargyl alcohol	2-Propyn-1-ol	107-19-7	P102
Propham	Carbamic acid, phenyl-,	122-42-9	U373
	 1-methylethyl ester
Propoxur	Phenol,	114-26-1	U411
	 2-(1-methylethoxy)-,
	 methylcarbamate
Propylene dichloride	Propane, 1,2-dichloro-	78-87-5	U083
1,2-Propylenimine	Aziridine, 2-methyl-	75-55-8	P067

Propylthiouracil	4(1H)-Pyrimidinone, 2,3-	51-52-5
	 dihydro-6-propyl-2-thioxo-
Prosulfocarb	Carbamothioic acid,		52888-80-9	U387
	 dipropyl-,S-(phenylmethyl)
	 ester
Pyridine	Same		110-86-1	U196
Reserpine	Yohimban-16-carboxylic	50-55-5	U200
	 acid, 11,17-dimethoxy-18-
	 [(3,4,5-trimethoxybenzoyl)
	 oxy]-methyl ester,
	 (3beta,16beta,17alpha,
	 18beta,20alpha)-
Resorcinol	1,3-Benzenediol		108-46-3	U201

Safrole	1,3-Benzodioxole, 5-	94-59-7	U203
	 (2-propenyl)-
Selenium	Same	7782-49-2
Selenium compounds,
 N.O.S.1
Selenium dioxide	Selenious acid	7783-00-8	U204

Selenium sulfide	Selenium sulfide SeS2	7488-56-4	U205
Selenium, tetrakis	Carbamodithioic acid,	144-34-3	none
(dimethyl-	 dimethyl-, tetraanhydrosulfide
dithiocarbamate)	 with orthothioselenious acid
Selenourea	Same	630-10-4	P103
Silver	Same	7440-22-4

Silver compounds,
 N.O.S.1
Silver cyanide	Silver cyanide Ag(CN)	506-64-9	P104
Silvex (2,4,5-TP)	Propanoic acid, 2-(2,4,5-	93-72-1	See 
	 trichlorophenoxy)-		 F027
Sodium cyanide	Sodium cyanide Na(CN)	143-33-9	P106
Sodium dibutyldithio-	Carbamodithioic acid,	136-30-1	none
carbamate	 dibutyl, sodium salt
Sodium diethyldithio-	Carbamodithioic acid,	148-18-5	none
carbamate	 diethyl-, sodium salt
Sodium dimethyldithio-	Carbamodithioic acid,	128-04-1	none
carbamate	 dimethyl-, sodium salt
Sodium	Pentachlorophenol,	131522	none
pentachlorophenate	 sodium salt
Streptozotocin	D-Glucose, 2-deoxy-2-	18883-66-4	U206
	 [[(methylnitrosoamino)
	 carbonyl]amino]-
Strychnine	Strychnidin-10-one	57-24-9	P108
Strychnine salts			P108
Sulfallate	Carbamodithioic acid,	95-06-7	none
	 diethyl-, 2-chloro-2-
	 propenyl ester

TCDD	Dibenzo[b,e][1,4]dioxin,	1746-01-6
	 2,3,7,8-tetrachloro-

Tetrabutylthiuram 	Thioperoxydicarbonic	1634-02-2	none
disulfide	 diamide, tetrabutyl
1,2,4,5-Tetrachloro-	Benzene, 1,2,4,5-tetra-	95-94-3	U207
 benzene	 chloro
Tetrachlorodibenzo-p-
 dioxins
Tetrachlorodibenzo-
 furans
Tetrachloroethane,	Ethane, tetrachloro-,	25322-20-7
 N.O.S.1	 N.O.S.

1,1,1,2-Tetrachloro-	Ethane, 1,1,1,2-tetra-	630-20-6	U208
 ethane	 chloro
1,1,2,2-Tetrachloro-	Ethane, 1,1,2,2-tetra-	79-34-5	U209
 ethane	 chloro
Tetrachloroethylene	Ethene, tetrachloro-	127-18-4	U210
2,3,4,6-Tetrachloro-	Phenol, 2,3,4,6-tetra-	58-90-2	See
 phenol	 chloro-		 F027
2,3,4,6-tetrachlorophenol, same	53535276	none
potassium salt
2,3,4,6-tetrachlorophenol, same	25567559	none
sodium salt
Tetraethyldithiopyro-	Thiodophosphoric acid,	3689-24-5	P109
 pyrophosphate	 tetraethyl ester
Tetramethylthiuram	Bis(dimethylthiocarbamoyl)	97-74-5	none
monosulfide	 sulfide
Tetranitromethane	Methane, tetranitro-	509-14-8	P112
Thallium	Same	7440-28-0
Thallium compounds,
 N.O.S.1
Thallic oxide	Thallium oxide Tl2O3	1314-32-5	P113
Thallium (I) acetate	Acetic acid, thallium (1+)	563-68-8	U214
	 salt
Thallium (I) carbonate	Carbonic acid, dithallium	6533-73-9	U215
	 (1+) salt
Thallium (I) chloride	Thallium chloride TlCl	7791-12-0	U216
Thallium (I) nitrate	Nitric acid, thallium (1+)	10102-45-1	U217
	 salt
Thallium selenite	Selenious acid, dithallium	12039-52-0	P114
	 (1+) salt
Thallium (I) sulfate	Sulfuric acid, dithallium	7446-18-6	P115
	 (1+) salt
Thioacetamide	Ethanethioamide	62-55-5	U218

Thiodicarb	Ethanimidothioic acid,	59669-26-0	U410
	 N,N'-[thiobis
	 [(methylimino) carbonyloxy]]
	 bis-, dimethyl ester.
Thiofanox	2-Butanone, 3,3-dimethyl-	39196-18-4	P045
	 1-(methylthio)-,O-[(methyl-
	 amino)carbonyl]oxime
Thiomethanol	Methanethiol	74-93-1	U153

Thiophanate-methyl	Carbamic acid,	23564-05-8	U409
	 [1,2-phyenylenebis
	 (iminocarbonothioyl)] bis-,
	 dimethyl ester
Thiophenol	Benzenethiol	108-98-5	P014
Thiosemicarbazide	Hydrazinecarbothioamide	79-19-6	P116
Thiourea	Same	62-56-6	U219

Thiram	Thioperoxydicarbonic	137-26-8	U244
	 diamide [(H2N)C(S)]2S2,
	 tetramethyl-
Tirpate	1,3-Dithiolane-2-	26419-73-8	P185
	 carboxaldehyde, 2,4,-dimethyl-,
	 O-[(methylamino)
	 carbonyl] oxime.
Toluene	Benzene, methyl-	108-88-3	U220
Toluenediamine	Benzenediamine, ar-	25376-45-8	U221
	 methyl-
Toluene-2,4-diamine	1,3-Benzenediamine, 4-	95-80-7
	 methyl
Toluene-2,6-diamine	1,3-Benzenediamine, 2-	823-40-5
	 methyl
Toluene-3,4-diamine	1,2-Benzenediamine, 4-	496-72-0
	 methyl

Toluene diisocyanate	Benzene, 1,3-diisocyanato-	26471-62-5	U223
	 methyl-
o-Toluidine	Benzenamine, 2-methyl-	95-53-4	U328
o-Toluidine	Benzenamine, 2-methyl-,	636-21-5	U222
 hydrochloride	 hydrochloride
p-Toluidine	Benzenamine, 4-methyl	106-49-0	U353

Toxaphene	Same	8001-35-2	P123
Triallate	Carbamothioic acid,	2303-17-5	U389
	 bis(1-methylethyl)-,
	 S-(2,3,3-trichloro-2-
	 propenyl) ester
1,2,4-Trichlorobenzene	Benzene, 1,2,4-trichloro	120-82-1
1,1,2-Trichloroethane	Ethane, 1,1,2-trichloro	79-00-5	U227
Trichloroethylene	Ethene, trichloro	79-01-6	U228
Trichloromethanethiol	Methanethiol, trichloro-	75-70-7	P118

Trichloromonofluoro-	Methane, trichlorofluoro-	75-69-4	U121
 methane
2,4,5-Trichlorophenol	Phenol, 2,4,5-trichloro-	95-95-4	See
			 F027
2,4,6-Trichlorophenol	Phenol, 2,4,6-trichloro-	88-06-2	See
			 F027
2,4,5-T	Acetic acid, (2,4,5-	93-76-5	See
	 trichlorophenoxy)-		 F027
Trichloropropane,		25735-29-9
 N.O.S.1
1,2,3-Trichloropropane	Propane, 1,2,3-trichloro-	96-18-4

O,O,O-Triethyl phos-	Phosphorothioic acid, 0,0,	126-68-1
 phorothioate	 O-triethyl ester
Triethylamine	Ethanamine, N,N-diethyl-	121-44-8	U404
1,3,5-Trinitrobenzene	Benzene, 1,3,5,-trinitro	99-35-4	U234
Tris(1-aziridinyl)	Aziridine, 1,1',1'-phos-	52-24-4
 phosphine sulfide	 phinothioylidynetris-
Tris(2,3-dibromo-	1-Propanol, 2,3-dibromo-,	126-72-7	U235
 propyl) phosphate	 phosphate (3:1)
Trypan blue	2,7-Naphthalenedisulfonic	72-57-1	U236
	 acid, 3,3'-[(3,3'-
	 dimethyl[1,1'-biphenyl]-
	 4,4'-diyl)bis(azo)]bis
	 [5-amino-4-hydroxy-,
	 tetrasodium salt]
Uracil mustard	2,4-(1H,3H)-Pyrimidine-	66-75-1	U237
	 dione,5-[bis(2-chloroethyl)
	 amino]-
Vanadium pentoxide	Vanadium oxide V2O5	1314-62-1	P120
Vernolate	Carbamothioic acid,	1929-77-7	none
	 dipropyl-, S-propyl ester
Vinyl chloride	Ethene, chloro-	75-01-4	U043

Warfarin	2H-1-Benzopyran-2-one, 4-	81-81-2	U248
	 hydroxy-3-(3-oxo-1-
	 phenylbutyl)-, when
	 present at concentrations
	 of 0.3 or less

Warfarin	2H-1-Benzopyran-2-one, 4-	81-81-2	P001
	 hydroxy-3-(3-oxo-1-
	 phenylbutyl)-, when
	 present at concentrations
	 greater than 0.3

Warfarin salts when			U248
 present at concen-
 trations of 0.3% or less
Warfarin salts when			P001
 present at concen-
 trations greater
 than 0.3

Zinc cyanide	Zinc cyanide Zn(CN)2	557-21-1	P121

Zinc phosphide	Zinc phosphide Zn3P2,	1314-84-7	P122
	 when present at concentra-
	 tions greater than 10

Zinc phosphide	Zinc phosphide Zn3P2	1314-84-7	U249
	 when present at concentra-
	 tions of 10% or less
Ziram	Zinc,	137-30-4	P205
	 bis(dimethylcarbamodithioato-
	 S,S')-, (T-4)-

----------
1The abbreviation N.O.S. (not otherwise specified) signifies those members of the general class not specifically listed by name in this appendix.
Note: Authority cited: Sections 25140, 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25140, 25150 and 25159, Health and Safety Code; and 40 CFR Part 261 Appendix VIII.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment adding Benzo(k)fluoranthene, Heptachlorodibenzofurans and Heptachlorodibenzo-p-dioxins and amendment of Note filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
3. Change without regulatory effect amending Benzo(k)fluoranthene entry filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
4. Amendment of appendix VIII and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
5. Change without regulatory effect adding new listing U408 filed 5-17-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 21).
6. Change without regulatory effect removing listing U408 (2,4,6-Tribromophenol), adding listings for Octachlorodibenzo-p-dioxin and Octachlorodibenzofuran and amending Note filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
7. Change without regulatory effect removing listing U202 (Saccharin and Saccharin salts) filed 2-8-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 6).

Appendix X

List of Chemical Names and Common Names for Hazardous Wastes and Hazardous Materials

	(a) This subdivision sets forth a list of chemicals which create a presumption that a waste is a hazardous waste.	If a waste consists of or contains a chemical listed in this subdivision, the waste is presumed to be a hazardous waste unless it is determined that the waste is not a hazardous waste pursuant to the procedures set forth in section 66262.11. The hazardous characteristics which serve as a basis for listing the chemicals are indicated in the list as follows:	(X) toxic, (C) corrosive, (I) ignitable and (R) reactive. A chemical denoted with an asterisk is presumed to be an extremely hazardous waste unless it does not exhibit any of the criteria set forth in section 66261.110 and section 66261.113. Trademark chemical names are indicated by all capital letters.

1.		Acetaldehyde (X,I)
2.		Acetic acid (X,C,I)
3. 		Acetone, Propanone (I)
4.		Acetone cyanohydrin (X)
5.		Acetonitrile (X,I)
6.	*	2-Acetylaminofluorene, 2-AAF (X)
7.		Acetyl benzoyl peroxide (X,I,R)
8. 	*	Acetyl chloride (X,C,R)
9.		Acetyl peroxide (X,I,R)
10.		Acridine (X)
11. 	*	Acrolein, Aqualin (X,I)
12. 	*	Acrylonitrile (X,I)
13. 	*	Adiponitrile (X)
14. 	*	Aldrin; 1,2,3,4,10,10-Hexachloro-1,4,4a,5,8,8a-hexahydro-
		 1,4,5,8-endo-exodimethanonaphthalene (X)
15. 	*	Alkyl aluminum chloride (C,I,R)
16. 	*	Alkyl aluminum compounds (C,I,R)
17.		Allyl alcohol, 2-Propen-1-ol (X,I)
18.		Allyl bromide, 3-Bromopropene (X,I)
19.		Allyl chloride, 3-Chloropropene (X,I)
20.		Allyl chlorocarbonate, Allyl chloroformate (X,I) 
21. 	*	Allyl trichlorosilane (X,C,I,R)
22.		Aluminum (powder) (I)
23A. 		Aluminum chloride (X,C)
23B. 	*	Aluminum chloride (anhydrous) (X,C,R) 
24.		Aluminum fluoride (X,C)
25.		Aluminum nitrate (X,I)
26. 	*	Aluminum phosphide, PHOSTOXIN (X,I,R)
27. 	*	4-Aminodiphenyl, 4-ADP (X)
28. 	*	2-Aminopyridine (X)
29. 	*	Ammonium arsenate (X)
30. 	*	Ammonium bifluoride (X,C)
31.		Ammonium chromate (X,I)
32.		Ammonium dichromate, Ammonium bichromate (X,C,I)
33.		Ammonium fluoride (X,C)
34.		Ammonium hydroxide (X,C)
35.		Ammonium molybdate (X)
36.		Ammonium nitrate (I,R)
37.		Ammonium perchlorate (I,R)
38.		Ammonium permanganate (X,I,R)
39.		Ammonium persulfate (I,R)
40.		Ammonium picrate (I,R)
41.		Ammonium sulfide (X,C,I,R)
42.		n-Amyl acetate, 1-Acetoxypentane (and isomers) (X,I)
43.		n-Amylamine, 1-Aminopentane (and isomers) (X,I)
44.		n-Amyl chloride, 1-Chloropentane (and isomers) (X,I)
45.		n-Amylene, 1-Pentene (and isomers) (X,I)
46.		n-Amyl mercaptan, 1-Pentanethiol (and isomers) (X,I)
47.		n-Amyl nitrite, n-Pentyl nitrite (and isomers) (X,I) 
48. 	*	Amyl trichlorosilane (and isomers) (X,C,R) 
49.		Aniline, Aminobenzene (X)
50.		Anisoyl chloride (X,C)
51.		Anthracene (X)
52.		Antimony (X)
53.		Antimony compounds (X)
54. 	*	Antimony pentachloride (X,C,R)
55. 	*	Antimony pentafluoride (X,C,R)
56.		Antimony pentasulfide (X,I)
57.		Antimony potassium tartrate (X)
58.		Antimony sulfate, Antimony trisulfate (X,I)
59.		Antimony trichloride, Antimony chloride (X,C)
60.		Antimony trifluoride, Antimony fluoride (X,C)
61.		Antimony trioxide, Antimony oxide (X)
62.		Antimony trisulfide, Antimony sulfide (X,I,R) 
63. 	*	Arsenic (X)
64.	*	Arsenic acid and salts (X)
65. 	*	Arsenic compounds (X)
66. 	*	Arsenic pentaselenide (X)
67. 	*	Arsenic pentoxide, Arsenic oxide (X)
68. 	*	Arsenic sulfide, Arsenic disulfide (X) 
69.	*	Arsenic tribromide, Arsenic bromide (X) 
70. 	*	Arsenic trichloride, Arsenic chloride (X) 
71.	*	Arsenic triiodide, Arsenic iodide (X)
72. 	*	Arsenic trioxide, Arsenious oxide (X)
73. 	*	Arsenious acid and salts (X)
74. 	*	Arsines (X)
75.		Asbestos (including chrysotile, amosite, crocidolite, tremolite,
		 anthophyllite, and actinolite) (X)
76. 	*	AZODRIN, 3-Hydroxy-N-cis-crotonamide (X) 
77.		Barium (X,I)
78.		Barium azide (I,R)
79.		Barium bromide (X)
80.		Barium carbonate (X)
81.		Barium chlorate (X,C,I,R)
82.		Barium chloride (X)
83.		Barium chromate (X)
84.		Barium citrate (X)
85.		Barium compounds (soluble) (X)
86. 	*	Barium cyanide (X)
87.		Barium fluoride (X)
88.		Barium fluosilicate (X)
89.		Barium hydroxide (X)
90.		Barium iodide (X)
91.		Barium manganate (X)
92.		Barium nitrate (X,I)
93.		Barium oxide, Barium monoxide (X)
94.		Barium perchlorate (X,I,R)
95.		Barium permanganate (X,I,R)
96.		Barium peroxide (X,I,R)
97.		Barium phosphate (X)
98.		Barium stearate (X)
99.		Barium sulfide (X)
100.		Barium sulfite (X)
101.		Benzene (X,I)
102. 	*	Benzene hexachloride, BHC; 1,2,3,4,5,6-Hexachloro--
		 cyclohexane (X)
103. 	*	Benzenephosphorous dichloride (I,R)
104.		Benzenesulfonic acid (X)
105. 	*	Benzidine and salts (X)
106. 	*	Benzotrifluoride, Trifluoromethylbenzene (X,I) 
107. 	*	Benzoyl chloride (X,C,R)
108.		Benzoyl peroxide, Dibenzoyl peroxide (X,I,R)
109.		Benzyl bromide, alpha-Bromotoluene (X,C)
110.		Benzyl chloride, alpha-Chlorotoluene (X) 
111. 	*	Benzyl chlorocarbonate, Benzyl chloroformate (X,C,R) 
112. 	*	Beryllium (X,I)
113. 	*	Beryllium chloride (X)
114. 	*	Beryllium compounds (X)
115. 	*	Beryllium copper (X)
116. 	*	Beryllium fluoride (X)
117.	*	Beryllium hydride (X,C,I,R)
118. 	*	Beryllium hydroxide (X)
119. 	*	Beryllium oxide (X)

120. 	*	BIDRIN, Dicrotophos, 3-(Dimethylamino)-1-
		 methyl-3-oxo-1-propenyldimethyl phosphate (X)

121. 	*	bis (Chloromethyl) ether, Dichloromethylether, BCME (X) 
122.		Bismuth (X,I)
123. 	*	bis (Methylmercuric) sulfate, CEREWET, Ceresan liquid (X) 124.		Bismuth chromate (X)
125. 	*	BOMYL, Dimethyl 3-hydroxyglutaconate dimethyl
		 phosphate (X)
126. 	*	Boranes (X,I,R)
127. 	*	Bordeaux arsenites (X)
128. 	*	Boron trichloride, Trichloroborane (X,C,R) 
129. 	*	Boron trifluoride (X,C,R)
130.		Bromic acid (X)
131. 	*	Bromine (X,C,I)
132. 	*	Bromine pentafluoride (X,C,I,R)
133. 	*	Bromine trifluoride (X,C,I,R)
134. 	*	Brucine, Dimethoxystrychnine (X)
135.		1,2,4-Butanetriol trinitrate (R)
136.		n-Butyl acetate, 1-Acetoxybutane (and isomers) (X)
137.		n-Butyl alcohol, 1-Butanol (and isomers) (X)
138.		n-Butyl amine, 1-Aminobutane (and isomers) (X)
139.		n-Butyl formate (and isomers) (X)
140.		tert-Butyl hydroperoxide (and isomers) (X,I) 
141. 	*	n-Butyllithium (and isomers) (X,C,I,R) 
142.		n-Butyl mercaptan, 1-Butanethiol (and isomers) (X,I) 
143.		tert-Butyl peroxyacetate, tert-Butyl peracetate (I,R) 
144.		tert-Butyl peroxybenzoate, tert-Butyl perbenzoate (I,R) 
145.		tert-Butyl peroxypivalate (I,R)
146. 	*	n-Butyltrichlorosilane (C,I,R)
147.		para-tert-Butyl toluene (X)
148.		n-Butyraldehyde, n-Butanal (and isomers) (X,I) 
149. 	*	Cacodylic acid, Dimethylarsinic acid (X) 
150. 	*	Cadmium (powder) (X,I)
151.		Cadmium chloride (X)
152. 	*	Cadmium compounds (X)
153. 	*	Cadmium cyanide (X)
154.		Cadmium fluoride (X)
155.		Cadmium nitrate (X,I,R)

156.		Cadmium oxide (X)
157.		Cadmium phosphate (X)
158.		Cadmium sulfate (X)
159. 	*	Calcium (I,R)
160. 	*	Calcium arsenate, PENSAL (X)
161. 	*	Calcium arsenite (X)
162. 	*	Calcium carbide (C,I,R)
163.		Calcium chlorate (I,R)
164.		Calcium chlorite (I)
165.		Calcium fluoride (X)
166. 	*	Calcium hydride (C,I,R)
167.		Calcium hydroxide, Hydrated lime (C)
168. 	*	Calcium hypochlorite, Calcium oxychloride (dry) (X,C,I,R) 
169.		Calcium molybdate (X)
170.		Calcium nitrate, Lime nitrate, Nitrocalcite (I,R)
171.		Calcium oxide, Lime (C)
172.		Calcium permanganate (X,I)
173.		Calcium peroxide, Calcium dioxide (C,I) 
174. 	*	Calcium phosphide (X,I,R)
175.		Calcium resinate (I)
176.		Caprylyl peroxide, Octyl peroxide (I)
177. 	*	Carbanolate, BANOL, 2-Chloro-4,5-dimethylphenyl
		 methylcarbamate (X)
178.		Carbon disulfide, Carbon bisulfide (X,I)
179.		Carbon tetrachloride, Tetrachloromethane (X)
180. 	*	Carbophenothion, TRITHION, S[[(4-Chlorophenyl)
		 thio]methyl] 0,0-diethyl phosphorodithioate (X)
181.		Chloral hydrate, Trichloroacetaldehyde (hydrated) (X)
182. 	*	Chlordane; 1,2,4,5,6,7,8,8-Octachloro-4,7-methano-
		 3a,4,7,7a-tetra- hydro- indane; (X)
183. 	*	Chlorfenvinphos, Compound 4072, 2-Chloro-1-(2,4-
		 dichlorophenyl) vinyl diethyl phosphate (X)
184. 	*	Chlorine (X,C,I,R)
185. 	*	Chlorine dioxide (X,C,I,R)
186. 	*	Chlorine pentafluoride (X,C,I,R)
187. 	*	Chlorine trifluoride (X,C,I,R)
188. 	*	Chloroacetaldehyde (X,C)
189. 	*	alpha-Chloroacetophenone, Phenyl chloromethyl ketone (X) 190. 	*	Chloroacetyl chloride (X,C,R)
191.		Chlorobenzene (X,I)
192.		para-Chlorobenzoyl peroxide (I,R)
193. 	*	ortho-Chlorobenzylidene malonitrile, OCMB (X) 
194.		Chloroform, Trichloromethane (X)
195.	*	Chloropicrin, Chlorpicrin, Trichloronitromethane (X) 
196. 	*	Chlorosulfonic acid (X,C,I,R)
197.		Chloro-ortho-toluidine, 2-Amino-4-chlorotoluene (X)
198.		Chromic acid, Chromium trioxide, Chromic anhydride (X,C,I)
199.		Chromic chloride, Chromium trichloride (X)
200.		Chromic fluoride, Chromium trifluoride (X)
201.		Chromic hydroxide, Chromium hydroxide (X)
202.		Chromic oxide, Chromium oxide (X)
203.		Chromic sulfate, Chromium sulfate (X)
204.		Chromium compounds (X,C,I)
205. 	*	Chromyl chloride, Chlorochromic anhydride (X,C,I,R)
206.		Cobalt (powder) (X,I)
207.		Cobalt compounds (X)
208.		Cobaltous bromide, Cobalt bromide (X)
209.		Cobaltous chloride, Cobalt chloride (X)
210.		Cobaltous nitrate, Cobalt nitrate (X,I)
211.		Cobaltous resinate, Cobalt resinate (X,I)
212.		Cobaltous sulfate, Cobalt sulfate (X)
213.		Cocculus, Fishberry, Picrotoxin (X)
215. 	*	Copper acetoarsenite, Paris green (X)
216.		Copper acetylide (I,R)
217. 	*	Copper arsenate, Cupric arsenate (X)
218. 	*	Copper arsenite, Cupric arsenite (X)
219.		Copper chloride, Cupric chloride (X)
220.		Copper chlorotetrazole (I,R)
221.		Copper compounds (X)
222. 	*	Copper cyanide, Cupric cyanide (X)
223.		Copper nitrate, Cupric nitrate (X,I,R)
224.		Copper sulfate, Cupric sulfate, Blue vitriol (X)
225. 	*	Coroxon; ortho,ortho-Diethyl-ortho-(3-chloro-4-
		 methylcoumarin-7-yl) phosphate (X)
226. 	*	Coumafuryl, FUMARIN, 3-[1-(2-Furanyl)-3-oxobutyl]
		 1-4-hydroxy-2H-1-benzopyran-2-one (X)
227. 	*	Coumatetralyl, BAYER 25634, RACUMIN 57,
		 4-Hydroxy-3-(1,2,3,4-tetrahydro-1-naphthalenyl)-
		 2H-1-benzopyran-2-one (X)
228. 	*	Crimidine, CASTRIX, 2-Chloro-4-dimethylamino-6-
		 methyl-pyrimidine (X)
229. 	*	Crotonaldehyde, 2-Butenal (X)
230. 		Cumene, Isopropyl benzene (X,I)
231.		Cumene hydroperoxide; alpha,alpha-Dimethylbenzyl 
		 hydro-peroxide (X,I)
232.		Cupriethylene diamine (X)
233. 	*	Cyanide salts (X)
234.		Cyanoacetic acid, Malonic nitrile (X)
235. 	*	Cyanogen (X,I,R)
236.		Cyanogen bromide, Bromine cyanide (X)
237.		Cyanuric triazide (I,R)
238.		Cycloheptane (X,I)
239.		Cyclohexane (X,I)
240.		Cyclohexanone peroxide (I)
241. 	*	Cyclohexenyltrichlorosilane (X,C,R)
242. 	*	Cycloheximide, ACTIDIONE (X)
243. 	*	Cyclohexyltrichlorosilane (X,C,R)
244.		Cyclopentane (X,I)
245.		Cyclopentanol (I)
246.		Cyclopentene (X,I)
247.		DDT; 1,1,1-Trichloro-2,2-bis(chlorophenyl) ethane (X)
248. 	*	DDVP, Dichlorvos, VAPONA, Dimethyl dichlorovinyl
		 phosphate (X)
249. 	*	Decaborane (X,I,R)
250.		DECALIN, Decahydronaphthalene (X)
251. 	*	Demeton, SYSTOX (X)
252. 	*	Demeton-S-methyl sulfone,
		 METAISOSYSTOX-SULFON, S-[2-(ethyl-sulfonyl)
		 ethyl] O,O-dimethyl phosphorothioate (X)
253.		Diazodinitrophenol, DDNP, 2-Diazo-4,6-dinitrobenzene-1-
		 oxide (I,R)
254. 	*	Diborane, Diboron hexahydride (I,R)
255. 	*	1,2-Dibromo-3-chloropropane, DBCP, Fumazone,
		 nemagon (X) 
256.		n-Dibutyl ether, Butyl ether (and isomers) (X,I) 
257.		Dichlorobenzene (ortho, meta, para) (X) 
258. 	*	3,3-Dichlorobenzidine and salts, DCB (X) 
259.		1,2-Dichloroethylene; 1,2-Dichloroethene (X,I)
260.		Dichloroethyl ether, Dichloroether (X,I)
261.		Dichloroisocyanuric acid, Dichloro-S-triazine-2,4,6-tri-
		 one (X,I)
262.		Dichloromethane, Methylene chloride (X) 
263. 	*	2,4-Dichlorophenoxyacetic acid; 2,4-D (X) 
264.		1,2-Dichloropropane, Propylene dichloride (X,I) 
265.		1,3-Dichloropropylene; 1,3-Dichloropropene (X,I) 
266.		Dicumyl peroxide (I,X)
267. 	*	Dieldrin; 1,2,3,4,10,10-Hexachloro-6,7-epoxy-1,4,4a,5,6,7,
		 8,8a-octahydro-1,4-endo, exo-5,8-dimethanonaphthalene
		 (X)
268. 	*	Diethylaluminum chloride, Aluminum diethyl monochloride,
		 DEAC (I,R)
269.		Diethylamine (X,I)
270. 	*	Diethyl chlorovinyl phosphate, Compound 1836 (X) 
271. 	*	Diethyldichlorosilane (X,C,I,R)
272.		Diethylene glycol dinitrate (I,R)
273.		Diethylene triamine (X)
274. 	*	O,O-Diethyl-S-(isopropylthiomethyl) phosphorodithioate
		 (X) 
275.	*	Diethylzinc, Zinc ethyl (C,I,R)
276. 	*	Difluorophosphoric acid (X,C,R)
277. 	*	Diglycidyl ether, bis(2,3-Epoxypropyl) ether (X) 
278.		Diisopropylbenzene hydroperoxide (X,I)
279.		Diisopropyl peroxydicarbonate, Isopropyl percarbonate
		 (X,C,I,R)

280. 	*	Dimefox, Hanane, Pextox 14, Tetramethylphosphorodiamidic
		 fluoride (X)
281.		Dimethylamine, DMA (X,I)
282. 	*	Dimethylaminoazobenzene, Methyl yellow (X) 
283. 	*	Dimethyldichlorosilane, Dichlorodimethylsilane (X,C,I,R) 
284.		2,5-Dimethylhexane-2,5-Dihydroperoxide (I) 
285. 	*	1,1-Dimethylhydrazine, UDMH (X,I)
286. 	*	Dimethyl sulfate, Methyl sulfate (X)
287.	*	Dimethyl sulfide, Methyl sulfide (X,I,R) 
288.		2,4-Dinitroaniline (X)
289. 	*	Dinitrobenzene (ortho, meta, para) (I,R) 
290.		Dinitrochlorobenzene, 1-Chloro-2,4-dinitrobenzene (I,R) 
291. 	*	4,6-Dinitro-ortho-cresol, DNPC, SINOX, E
292. 	*	Dinitrophenol(2,3-;2,4-;2,6-isomers) (I,R) 
293.		2,4-Dinitrophenylhydrazine (X,I,R)
294.		Dinitrotoluene (2,4-;3,4-;3,5-isomers) (X,I,R) 
295. 	*	DINOSEB; 2,4-Dinitro-6-sec-butylphenol (X) 
296.		1,4-Dioxane; 1,4-Diethylene dioxide (X,I,R)
297. 	*	Dioxathion, DELNAV; S,S-1,4-dioxane-2,3-diyl bis(O,O-
		 diethyl phosphorodithioate) (X)
298.		Dipentaerythritol hexanitrate (R)
299. 	*	Diphenyl, Biphenyl, Phenylbenzene (X)
300.		Diphenylamine, DPA, N-Phenylaniline (X) 
301. 	*	Diphenylamine chloroarsine, Phenarsazine chloride (X) 
302. 	*	Diphenyldichlorosilane (X,C,R)
303.		Dipicrylamine, Hexanitrodiphenyl amine (I,R)
304.		Dipropyl ether (X,I)
305. 	*	Disulfoton, DI-SYSTON; O,O-Diethyl S-[2-(ethylthio)
		 ethyl] phosphorodithioate (X)
306. 	*	Dodecyltrichlorosilane (X,C,R)
307. 	*	DOWCO-139, ZECTRAM, Mexacarbate, 
		 4-(Dimethylamino)-3,5-dimethylphenyl methylcarbamate
		 (X)
309. 	*	DYFONATE, Fonofos, O-Ethyl-S-phenylethyl 
		 phosphonodithioate (X)
310. 	*	Endosulfan, THIODAN; 6,7,8,9,10,10-Hexachlor-1,5,5a,6,9,
		 9a-hexa-hydro-6,9-methano-2,4,3-benzo-dioxathiepin-
		 3-oxide (X)
311. 	*	Endothal, 7-Oxabicyclo[2.2.1]heptane-2,3-dicarboxylic acid
		 (X)
312. 	*	Endothion, EXOTHION,
		 S-[(5-Methoxy-4-oxo-4H-pyran-2-yl)-
		 methyl] O,O-dimethyl phosphorothioate (X)
313. 	*	Endrin; 1,2,3,4,10,10-Hexachloro-6,7-epoxy-1,4,4,4a,5,6,7,
		 8,8a-octahydro-1,4-endo-endo-5,8-dimethanonaph--
		 thalene (X)
314.		Epichlorohydrin, Chloropropylene oxide (X,I) 
315. 	*	EPN; O-Ethyl O-para-nitrophenyl phenylphosphonothioate
		 (X)
316. 	*	Ethion, NIALATE; O,O,O',O'-Tetraethyl-S,S-
		 methylenediphos-phorodithioate (X)
317.		Ethyl acetate (X,I)
318.		Ethyl alcohol, Ethanol (X,I)
319.		Ethylamine, Aminoethane (X,I)
320.		Ethylbenzene, Phenylethane (X,I)
321.		Ethyl butyrate, Ethyl butanoate (I)
322.		Ethyl chloride, Chloroethane (X,I)
323.	*	Ethyl chloroformate, Ethyl chlorocarbonate (X,C,I,R) 
324. 	*	Ethyldichloroarsine, Dichloroethylarsine (I,R) 
325. 	*	Ethyldichlorosilane (X,C,I,R)
326. 	*	Ethylene cyanohydrin, beta-Hydroxypropionitrile (I,R) 
327.		Ethylene diamine (X)
328.		Ethylene dibromide; 1,2-Dibromoethane (X)
329.		Ethylene dichloride; 1,2-Dichloroethane (X,I) 
330. 	*	Ethyleneimine, Aziridine, EI (X,I,R)
331.		Ethylene oxide, Epoxyethane (X,I,R)
332.		Ethyl ether, Diethyl ether (I,R)
333.		Ethyl formate (X,I)
334. 	*	Ethyl mercaptan, Ethanethiol (X,I,R)
335.		Ethyl nitrate (I,R)
336.		Ethyl nitrite (I,R)
337. 	*	Ethylphenyldichlorosilane (X,C,R)
338.		Ethyl propionate (I)
339. 	*	Ethyltrichlorosilane (I,R)
340. 	*	Fensulfothion, BAYER 25141, DASANIT, 
		 O,O-Diethyl-0-[4-(methyl--sulfinyl)phenyl]
		 phosphorothioate (X)
341. 	*	Ferric arsenate (X)
342.		Ferric chloride, Iron (III) chloride (X,C) 
343. 	*	Ferrous arsenate, Iron arsenate (X)
344. 	*	Fluoboric acid, Fluoroboric acid (X,C)
345.		Fluoride salts (X)
346. 	*	Fluorine (X,C,R)
347. 	*	Fluoroacetanilide, AFL 1082 (X)
348. 	*	Fluoroacetic acid and salts, Compound 1080 (X) 
349. 	*	Fluorosulfonic acid, Fluosulfonic acid (X,C,R) 
350.		Formaldehyde, Methanal (X,I)
351.		Formic acid, Methanoic acid (X,C)
352.		Fulminate of mercury, Mercuric cyanate (I,R)
353. 	*	FURADAN, NIA 10,242, Carbofuran; 2,3-Dihydro-2,2-
		 dimethyl-7-benzofuranylmethylcarbamate (X)
354.		Furan, Furfuran (X,I,R)
355.		Gasoline (I)
356. 	*	GB, O-Isopropyl methyl phosphoryl fluoride (X) 
357.		Glutaraldehyde (X)
358.		Glycerolmonolactate trinitrate (R)
359.		Glycol dinitrate, Ethylene glycol dinitrate (R)
360.		Gold fulminate, Gold cyanate (R)
361.		Guanidine nitrate (I,R)
362.		Guanyl nitrosaminoguanylidene hydrazine (R)
363. 	*	Guthion; O,O-Dimethyl-S-4-oxo-1,2,3-
		 benzotriazin-3(4H)-ylmethyl phosphorodithioate (X)
364.		Hafnium (I,X,R)
365. 	*	Heptachlor; 1,4,5,6,7,8,8-Heptachloro-3a,4,7,7a-tetra-
		 hydro-4,7-methanoindene (X)
366.		n-Heptane (and isomers) (X,I)
367.		1-Heptene (and isomers) (X,I)
368. 	*	Hexadecyltrichlorosilane (X,C,R)
369.		Hexaethyl tetraphosphate, HETP (X)
370.		Hexafluorophosphoric acid (X,C)
371.		Hexamethylenediamine; 1,6-Diaminohexane (X)
372.		n-Hexane (and isomers) (X,I)
373.		1-Hexene (and isomers) (X,I)
374.		n-Hexylamine, 1-Aminohexane (and isomers) (X,I) 
375. 	*	Hexyltrichlorosilane (X,C,R)
376.	*	Hydrazine, Diamine (X,I)
377.		Hydrazine azide (I,R)
378.		Hydrazoic acid, Hydrogen azide (I,R)
379. 	*	Hydriodic acid, Hydrogen iodide (X,C,R) 
380. 	*	Hydrobromic acid, Hydrogen bromide (X,C,R) 
381. 	*	Hydrochloric acid, Hydrogen chloride, Muriatic Acid (X,C,R) 382. 	*	Hydrocyanic acid, Hydrogen cyanide (X,I,R) 
383. 	*	Hydrofluoric acid, Hydrogen fluoride (X,C,R) 
384.		Hydrofluosilicic acid, Fluosilicic acid (X,C) 
385.		Hydrogen peroxide (X,C,I,R)
386. 	*	Hydrogen selenide (X,I)
387. 	*	Hydrogen sulfide (X,I)
388. 	*	Hypochlorite compounds (X,C,I,R)
389.		Indium (X)
390.		Indium compounds (X)
391.		Iodine monochloride (X,C,R)
392.		Isooctane; 2,2,4-Trimethylpentane (X,I)
393.		Isooctene (mixture of isomers) (I)
394.		Isopentane, 2-Methylbutane (I)
395.		Isoprene, 2-Methyl-1,3-butadiene (X,I,R)
396.		Isopropanol, Isopropyl alcohol, 2-Propanol (X,I)
397.		Isopropyl acetate (X,I)
399.		Isopropylamine, 2-Aminopropane (X,I)
400.		Isopropyl chloride, 2-Chloropropane (I)
401.		Isopropyl ether, Diisopropyl ether (I,R)
402.		Isopropyl mercaptan, 2-Propanethiol (X,I) 
404. 	*	meta-Isopropylphenyl-N-methylcarbamate, Ac 5,727 (X)
405A. 	*	Kepone; 1,1a,3,3a,4,5,5,5a,5b,6-Decachloro--
		 octahydro-1,2,4-metheno-2H-cyclobuta (cd)
		 pentalen-2-one, Chlorecone (X)
405B.		Lauroyl peroxide, Di-n-dodecyl peroxide (X,C,I,R) 
406.		Lead compounds (X)
407.		Lead acetate (X)
408. 	*	Lead arsenate, Lead orthoarsenate (X)
409. 	*	Lead arsenite (X)
410.		Lead azide (I,R)
411.		Lead carbonate (X)
412.		Lead chlorite (I,R)
413. 	*	Lead cyanide (X)
414.		Lead 2,4-dinitroresorcinate (I,R)
415.		Lead mononitroresorcinate (I,R)
416.		Lead nitrate (X,I)
417.		Lead oxide (X)
418.		Lead styphnate, Lead trinitroresorcinate (I,R) 
419. 	*	Lewisite, beta-Chlorovinyldichloroarsine (X) 
420. 	*	Lithium (C,I,R)
421. 	*	Lithium aluminum hydride, LAH (C,I,R)
422. 	*	Lithium amide (C,I,R)
423. 	*	Lithium ferrosilicon (I,R)
424.	*	Lithium hydride (C,I,R)
425. 	*	Lithium hypochlorite (X,C,I,R)
426.		Lithium peroxide (C,I,R)
427.		Lithium silicon (I,R)
428. 	*	London purple, Mixture of arsenic trioxide, aniline, lime,
		 and ferrous oxide (X)
429. 	*	Magnesium (I,R)
430. 	*	Magnesium arsenate (X)
431. 	*	Magnesium arsenite (X)
432.		Magnesium chlorate (I,R)
433.		Magnesium nitrate (I,R)
434.		Magnesium perchlorate (X,I,R)
435.		Magnesium peroxide, Magnesium dioxide (I) 
436. 	*	Maleic anhydride (X)
437.		Manganese (powder) (I)
438.		Manganese acetate (X)
439. 	*	Manganese arsenate, Manganous arsenate (X) 
440.		Manganese bromide, Manganous bromide (X) 
441.		Manganese chloride, Manganous chloride (X) 
442.		Manganese methylcyclopentadienyl tricarbonyl (X) 
443.		Manganese nitrate, Manganous nitrate (X,I) 
444.		Mannitol hexanitrate, Nitromannite (R)
445. 	*MECARBAM; O,O-Diethyl S-(N-ethoxycarbonyl 
		 N-methylcarba-moyl-methyl) phosphorodithioate (X)
446. 	*	Medinoterb acetate, 2-tert-Butyl-5-methyl-4,6-dinitro-
		 phenyl acetate (X)
447.		para-Menthane hydroperoxide, Paramenthane hydroperoxide
		 (I)
448.		Mercuric acetate, Mercury acetate (X)
449.		Mercuric ammonium chloride, Mercury ammonium chloride
		 (X)
450.		Mercuric benzoate, Mercury benzoate (X)
451.		Mercuric bromide, Mercury bromide (X)
452. 	*	Mercuric chloride, Mercury chloride (X) 
453. 	*	Mercuric cyanide, Mercury cyanide (X)
454.		Mercuric iodide, Mercury iodide (X)
455.		Mercuric nitrate, Mercury nitrate (X,I)
456.		Mercuric oleate, Mercury oleate (X)
457.		Mercuric oxide (red and yellow) (X,I)
458.		Mercuric oxycyanide (I,R)
459.		Mercuric-potassium iodide, Mayer's reagent (X)
460.		Mercuric salicylate, Salicylated mercury (X)
461.		Mercuric subsulfate, Mercuric dioxysulfate (X)
462.		Mercuric sulfate, Mercury sulfate (X)
463.		Mercuric thiocyanide, Mercury thiocyanate (X)
464.		Mercurol, Mercury nucleate (X)
465.		Mercurous bromide (X)
466.		Mercurous gluconate (X)
467.		Mercurous iodide (X)
468.		Mercurous nitrate (I,R)
469.		Mercurous oxide (X)
470.		Mercurous sulfate, Mercury bisulfate (X) 
472. 	*	Mercury (X)
473. 	*	Mercury compounds (X)
474.		Metal carbonyls (X)
475. 	*	Metal hydrides (I,R)
476.		Metal powders (X,I)
477A. 	*	Methomyl, LANNATE, S-Methyl-N-((methyl-carbamoyl)
		 oxy) thioacetimidate (X)

477B. 	*	Methoxychlor; 1,1,1-Trichloro-2, -bis(p-methoxyphenyl)
		 ethane, CHEMFLORM, MARLATE (X)
478. 	*	Methoxyethylmercuric chloride, AGALLOL, ARETAN (X) 
479.		Methyl acetate (X,I)
480.		Methyl acetone (Mixture of acetone, methyl acetate, and
		 methyl alcohol) (X,I)
481.		Methyl alcohol, Methanol (X,I)
482. 	*	Methylaluminum sesquibromide (I,R)
483. 	*	Methylaluminum sesquichloride (I,R)
484.		Methylamine, Aminomethane (X,I)
485.		n-Methylaniline (X)
486. 	*	Methyl bromide, Bromomethane (X)
487.		2-Methyl-1-butene (I)
488.		3-Methyl-1-butene (I)
489.		Methyl butyl ether (and isomers) (X,I)
490.		Methyl butyrate (and isomers) (X,I)
491.		Methyl chloride, Chloromethane (X,I)
492. 	*	Methyl chloroformate, Methyl chlorocarbonate (X,I,R) 
493. 	*	Methyl chloromethyl ether, CMME (X,I)
494.		Methylcyclohexane (X,I)
495. 	*	Methyldichloroarsine (X)
496. 	*	Methyldichlorosilane (X,I,R)
497.	*	4,4-Methylene bis(2-chloroaniline), MOCA (X) 
498.		Methyl ethyl ether (X,I)
499.		Methyl ethyl ketone, 2-Butanone (X,I)
500.		Methyl ethyl ketone peroxide (X,I)
501.		Methyl formate (X,I)
502. 	*	Methyl hydrazine, Monomethyl hydrazine, MMH (X,I) 
503. 	*	Methyl isocyanate (X,I)
504.		Methyl isopropenyl ketone, 3-Methyl-3-butene-2-one (X,I) 505. 	*	Methylmagnesium bromide (C,I,R)
506. 	*	Methylmagnesium chloride (C,I,R)
507.	*	Methylmagnesium iodide (C,I,R)
508.		Methyl mercaptan, Methanethiol (X,I)
509.		Methyl methacrylate (monomer) (X,I)
510. 	*	Methyl parathion; O,O-Dimethyl-O-para-nitrophenyl--
		 phosphorothioate (X)
511.		Methyl propionate (I)
512. 	*	Methyltrichlorosilane (X,C,I,R)
513.		Methyl valerate, Methyl pentanoate (and isomers) (I)
514.		Methyl vinyl ketone, 3-Butene-2-one (X,I)
515A. 	*	Mevinphos, PHOSDRIN, 2-Carbomethoxy-1-methylvinyl
		 dimethylphosphate (X)
515B. 	*	Mirex; 1,1a,2,2,3,3a,4,5,5,5a,5b,6-Dodecachlorooctahydro-
		 1,3,4-metheno-1H-cyclobuta (cd) pentalene,
		 Dechlorane (X)
516. 	*	MOCAP, O-Ethyl-S,S-dipropyl phosphorodithioate (X) 
517.		Molybdenum (powder) (I)
518.		Molybdenum trioxide, Molybdenum anhydride (X)
519.		Molybdic acid and salts (X)
520.		Monochloroacetic acid, Chloracetic acid, MCA (X,C)
521.		Monochloroacetone, Chloroacetone, 1-Chloro-2-propanone
		 (X)
522.		Monofluorophosphoric acid (X,C)
523.		Naphtha (of petroleum or coal tar origin), Petroleum ether,
		 Petroleum naphtha (X,I)
524.		Naphthalene (X)
525. 	*	alpha-Naphthylamine, 1-NA (X)
526. 	*	beta-Naphthylamine, 2-NA (X)
527.		Neohexane; 2,2-Dimethylbutane (X,I)
528.		Nickel (powder) (X,I)
529.		Nickel acetate (X)
530.		Nickel antimonide (X)
531. 	*	Nickel arsenate, Nickelous arsenate (X) 
532. 	*	Nickel carbonyl, Nickel tetracarbonyl (X) 
533.		Nickel chloride, Nickelous chloride (X) 
534. 	*	Nickel cyanide (X)
535.		Nickel nitrate, Nickelous nitrate (X,I,R)
536.		Nickel selenide (X)
537.		Nickel sulfate (X)
538.		Nicotine, beta-pyridyl-alpha-N-methyl pyrrolidine (X)
539.		Nicotine salts (X)
540.		Nitric acid (X,C,I)
541.		Nitroaniline, Nitraniline (ortho, meta, para) (I,R) 
542. 	*	Nitrobenzol, Nitrobenzene (X)
543.	*	4-Nitrobiphenyl, 4-NBP (X)
544.		Nitro carbo nitrate (I,R)
545.		Nitrocellulose, Cellulose nitrate, Guncotton, Pyroxylin,
		 Collodion, Pyroxylin (nitrocellulose) in ether and alcohol
		 (I,R)
546.		Nitrochlorobenzene, Chloronitrobenzene (ortho,meta,para)
		 (X)

547.		Nitrogen mustard (X,C)
548.		Nitrogen tetroxide, Nitrogen dioxide (X,I)
549.		Nitroglycerin, Trinitroglycerin (X,I,R)
550.		Nitrohydrochloric acid, Aqua regia (X,C,I) 
551. 	*	Nitrophenol (ortho, meta, para) (X)
552. 	*	N-Nitrosodimethylamine, Dimethyl nitrosoamine (X) 
553.		Nitrosoguanidine (R)
554.		Nitrostarch, Starch nitrate (I,R)
555.		Nitroxylol, Nitroxylene, Dimethylnitrobenzene
		 (2,4-;3,4-; 2,5-isomers) (X)
556.		1-Nonene, 1-Nonylene (and isomers) (X,I) 
557. 	*	Nonyltrichlorosilane (I,R)
558. 	*	Octadecyltrichlorosilane (I,R)
559.		n-Octane (and isomers) (X,I)
560.		1-Octene, 1-Caprylene (X,I)
561. 	*	Octyltrichlorosilane (I,R)
563. 	*	Oleum, Fuming sulfuric acid (X,C,R)
565.		Osmium compounds (X)
566.		Oxalic acid (X)
567. 	*	Oxygen difluoride (X,C,R)
568. 	*	Para-oxon, MINTACOL; O,O-Diethyl-O-para-nitrophenyl
		 phosphate (X)
569. 	*	Parathion; O,O-Diethyl-O-para-nitrophenyl 
		 phosphorothioate (X)
570A.	*	Pentaborane (X,I,R)
570B.		Pentachlorophenol, PCP, DOWICIDE 7 (X)
571.		Pentaerythrite tetranitrate, Pentaerythritol tetranitrate (R)
572.		n-Pentane (and isomers) (X,I)
573.		2-Pentanone, Methyl propyl ketone (and isomers) (X,I)
574.		Peracetic acid, Peroxyacetic acid (X,C,I,R)
575.		Perchloric acid (X,C,I,R)
576.		Perchloroethylene, Tetrachloroethylene (X)
577. 	*	Perchloromethyl mercaptan, Trichloromethylsulfenyl
		 chloride (X)
578.		Perchloryl fluoride (X,C,I)
580.		Phenol, Carbolic acid (X,C)
581. 	*	Phenyldichloroarsine (X)
582.		Phenylenediamine, Diaminobenzene (ortho,meta,para) (X)
583.		Phenylhydrazine hydrochloride (X)
584. 	*	Phenylphenol, Orthozenol, DOWICIDE I (X)
585. 	*	Phenyltrichorosilane (I,R)
586. 	*	Phorate, THIMET; O,O-Diethyl-S-[(Ethylthio)methyl]
		 phosphorodithioate (X)
587. 	*	Phosfolan, CYOLAN, 2-(Diethoxyphosphinylimino)-1,3-
		 dithio-lane (X)
588. 	*	Phosgene, Carbonyl chloride (I,R)
589. 	*	Phosphamidon, DIMECRON, 2-Chloro-2-diethyl--
		 carbamoyl-1-methylvinyl dimethyl phosphate (X)
590. 	*	Phosphine, Hydrogen phosphide (X,I)
591.		Phosphoric acid (C)
592.		Phosphoric anhydride, Phosphorus pentoxide (C,I)
593.		Phosphorus (amorphous, red) (X,I,R)
594. 	*	Phosphorus (white or yellow) (X,I,R)
595. 	*	Phosphorus oxybromide, Phosphoryl bromide (X,C,R) 
596. 	*	Phosphorus oxychloride, Phosphoryl chloride (X,C,R) 
597.	*	Phosphorus pentachloride, Phosphoric chloride (X,C,I,R) 
598. 	*	Phosphorus pentasulfide, Phosphoric sulfide (X,C,I,R)
599. 	*	Phosphorus sesquisulfide, tetraphosphorus trisulfide
		 (X,C,I,R)
600. 	*	Phosphorus tribromide (X,C,R)
601. 	*	Phosphorus trichloride (X,C,R)
602.		Picramide, Trinitroaniline (I,R)
603.		Picric acid, Trinitrophenol (I,R)
604.		Picryl chloride, 2-Chloro-1,3,5-trinitrobenzene (I,R) 
605. 	*	Platinum compounds (X)
606. 	*	Polychlorinated biphenyls, PCB, Askarel, aroclor,
		 chlorextol, inerteen, pyranol (X)
607.		Polyvinyl nitrate (I,R)
608.		Potasan; O,O-Diethyl-0-(4-methylumbelliferone)
		 phosphoro-thioate (X)
609. 	*	Potassium (C,I,R)
610. 	*	Potassium arsenate (X)
611. 	*	Potassium arsenite (X)
612. 	*	Potassium bifluoride, Potassium acid fluoride (X,C) 
613.		Potassium binoxalate, Potassium acid oxalate (X) 
614.		Potassium bromate (X,I)
615. 	*	Potassium cyanide (X)
616.		Potassium dichloroisocyanurate (X,I)
617.		Potassium dichromate, Potassium bichromate (X,C,I)
619.		Potassium fluoride (X)
620. 	*	Potassium hydride (C,I,R)
621.		Potassium hydroxide, Caustic potash (X,C)
622.		Potassium nitrate, Saltpeter (I,R)
623.		Potassium nitrite (I,R)
624.		Potassium oxalate (X)
625.		Potassium perchlorate (X,I,R)
626.		Potassium permanganate (X,C,I)
627.		Potassium peroxide (C,I,R)
628.		Potassium sulfide (X,I)
629. 	*	Propargyl bromide, 3-Bromo-1-propyne (X,I) 
630. 	*	beta-Propiolactone, BPL (X)
631.		Propionaldehyde, Propanal (X,I)
632.		Propionic acid, Propanoic acid (X,C,I)
633.		n-Propyl acetate (X,I)
634.		n-Propyl alcohol, 1-Propanol (X,I)
635.		n-Propylamine (and isomers) (X,I)
636. 	*	Propyleneimine, 2-Methylaziridine (X,I) 
637.		Propylene oxide (X,I)
638.		n-Propyl formate (X,I)
639.		n-Propyl mercaptan, 1-Propanethiol (X,I) 
640. 	*	n-Propyltrichlorosilane (X,C,I,R)
641.	*	Prothoate, FOSTION, FAC; O,O-Diethyl-S-carboethoxy--
		 ethyl phosphorodithioate (X)
642.		Pyridine (X,I)
643. 	*	Pyrosulfuryl chloride, Disulfuryl chloride (X,C,R) 
644.	*	Quinone; 1,4-Benzoquinone (X)
645.		Raney nickel (I)
646. 	*	Schradan, Octamethyl pyrophosphoramide, OMPA (X) 
647A. 	*	Selenium (X)
647B. 	*	Selenium compounds (X)
648. 	*	Selenium fluoride (X)
649. 	*	Selenous acid, Selenious acid and salts (X) 
650. 	*	Silicon tetrachloride, Silicon chloride (X,C,R) 
651. 	*	Silver acetylide (I,R)
652.		Silver azide (I,R)
653.		Silver compounds (X)
654.		Silver nitrate (X)
655.		Silver styphnate, Silver trinitroresorcinate (I,R)
656.		Silver tetrazene (I,R)
657. 	*	Sodium (C,I,R)
658.		Sodium aluminate (C)
659. 	*	Sodium aluminum hydride (C,I,R)
660. 	*	Sodium amide, Sodamide (C,I,R)
661. 	*	Sodium arsenate (X)
662. 	*	Sodium arsenite (X)
663.		Sodium azide (I,R)
664.	*	Sodium bifluoride, Sodium acid fluoride (X,C)
665.		Sodium bromate (X,I)
666. 	*	Sodium cacodylate, Sodium dimethylarsenate (X) 
667.		Sodium carbonate peroxide (I)
668.		Sodium chlorate (X,I)
669.		Sodium chlorite (X,I)
670.		Sodium chromate (X,C)
671.	*	Sodium cyanide (X)
672.		Sodium dichloroisocyanurate (I)
673.		Sodium dichromate, Sodium bichromate (X,C,I)
674.		Sodium fluoride (X)
675. 	*	Sodium hydride (X,C,I,R)
676.		Sodium hydrosulfite, Sodium hyposulfite (I)
677.		Sodium hydroxide, Caustic soda, Lye (X,C) 
678. 	*	Sodium hypochlorite (X,I,R)
679. 	*	Sodium methylate, Sodium methoxide (C,I,R) 
680.		Sodium molybdate (X)
681.		Sodium nitrate, Soda niter (X,I,R)
682.		Sodium nitrite (X,I,R)
683.		Sodium oxide, Sodium monoxide (X,C)
684.		Sodium perchlorate (X,I,R)
685.		Sodium permanganate (X,I)
686. 	*	Sodium peroxide (X,I,R)
687.		Sodium picramate (X,I,R)
688. 	*	Sodium potassium alloy, NaK, Nack (C,I,R) 
689.	*	Sodium selenate (X)
690.		Sodium sulfide, Sodium hydrosulfide (X,I)
691.		Sodium thiocyanate, Sodium sulfocyanate (X)
692.		Stannic chloride, Tin tetrachloride (X,C)
693. 	*	Strontium arsenate (X)
694.		Strontium nitrate (X,I,R)
695.		Strontium peroxide, Strontium dioxide (I,R) 
696. 	*	Strychnine and salts (X)
697.		Styrene, Vinylbenzene (X,I)
698.		Succinic acid peroxide (X,I)
699.		Sulfide salts (soluble) (X)
700. 	*	Sulfotepp, DITHIONE, BLACAFUM, Tetraethyldithio--
		 pyrophosphate, TEDP (X)
701. 	*	Sulfur chloride, Sulfur monochloride (X,C,R) 
702. 	*	Sulfur mustard (X,C,R)
703. 	*	Sulfur pentafluoride (X,C)
704.		Sulfur trioxide, Sulfuric anhydride (X,C,I)
705.		Sulfuric acid, Oil of vitriol, Battery acid (X,C)
706.		Sulfurous acid (X,C)
707.	*	Sulfuryl chloride, Sulfonyl chloride (X,C,R) 
708. 	*	Sulfuryl fluoride, Sulfonyl fluoride (X,C,R)
709. 	*	SUPRACIDE, ULTRACIDE,
		 S-[(5-Methoxy-2-oxo-1,3,4-thia-diazo13(2H)-yl)
		 methyl] -O,O-dimethyl phosphorodithioate (X)
710. 	*	SURECIDE, Cyanophenphos, O-para-Cyanophenyl-
		 O-ethyl phenyl phosphonothioate (X)
711. 	*	Tellurium hexafluoride (X,C)
712. 	*	TELODRIN, Isobenzan; 1,3,4,5,6,7,8,8-Octachloro-1,3,3a,4,
		 7,7a-hexahydro-4,7-methanoisobenzofuran (X)
713. 	*	TEMIK, Aldicarb, 2-Methyl-2(methylthio)
		 propionaldehyde-O-(methylcarbamoyl) oxime (X)
714. 	*	2,3,7,8-Tetrachlorodibenzo-para-dioxin, TCDD, Dioxin (X) 715.		sym-Tetrachloroethane (X)
717. 	*	Tetraethyl lead, TEL (and other organic lead) (X,I) 
718. 	*	Tetraethyl pyrophosphate, TEPP (X)
719A.		Tetrahydrofuran, THF (X,I)
719B.		Tetrahydrophthalic anhydride, Memtetrahydrophthalic an-
		 hydride (X)
720.		TETRALIN, Tetrahydronaphthalene (X)
721.		Tetramethyl lead, TML (X,I)
722. 	*	Tetramethyl succinonitrile (X)
723. 	*	Tetranitromethane (X,I,R)
724. 	*	Tetrasul, ANIMERT V-101, S-para-Chlorophenyl-2,4,5-
		 trichlorophenyl sulfide (X)
725.		Tetrazene, 4-Amidino-1-(nitrosamino-amidino)-1-
		 tetra-zene (I,R)
726. 	*	Thallium (X)
727. 	*	Thallium compounds (X)
728. 	*	Thallous sulfate, Thallium sulfate, RATOX (X) 
729. 	*	Thiocarbonylchloride, Thiophosgene (X,C,R)
730. 	*	Thionazin, ZINOPHOS; O,O-Tetramethylthiuram
		 monosulfide (X)
731. 	*	Thionyl chloride, Sulfur oxychloride (X,C,R) 
732. 	*	Thiophosphoryl chloride (X,C,R)
733.		Thorium (powder) (I)
734.		Tin compounds (organic) (X)
735.		Titanium (powder) (I)
736.		Titanium sulfate (X)
737. 	*	Titanium tetrachloride, Titanic chloride (X,C,R) 
738.		Toluene, Methylbenzene (X,I)
739. 	*	Toluene-2,4-diisocyanate, TDI (I,R)
740A.		Toluidine, Aminotoluene (ortho,meta,para) (X) 
740B. 	*	Toxaphene, Polychlorocamphene (X)
741. 	*	TRANID, exo-3-Chloro-endo-6-cyano-2-
		 norbornanone-O- (methylcarbamoyl) oxime (X)
743.		1,1,2-Trichloroethane (X)
744.		Trichloroethylene; Trichlorethene (X)
745.		Trichloroisocyanuric acid (X,I)
746. 	*	2,4,5-Trichlorophenoxyacetic acid; 2,4,5-T (X) 
747. 	*	Trichlorosilane, Silicochloroform (X,C,I,R) 
748.		Trimethylamine, TMA (X,I)
749.		Trinitroanisole; 2,4,6-Trinitrophenyl methyl ether (I,R)
750.		1,3,5-Trinitrobenzene, TNB (I,R)
751.		2,4,6-Trinitrobenzoic acid (I,R)
752.		Trinitronaphthalene, Naphtite (I,R)
753.		2,4,6-Trinitroresorcinol, Styphnic acid (I,R)
754.		2,4,6-Trinitrotoluene, TNT (X,I,R)
755. 	*	tris(1-Aziridinyl) phosphine oxide, Triethylenephospho-
		 ramide, TEPA (X)
756.		Tungstic acid and salts (X)
757.		Turpentine (X,I)
758.		Uranyl nitrate, Uranium nitrate (X,I,R)
759.		Urea nitrate (X,I,R)
760.		n-Valeraldehyde, n-Pentanal (and isomers) (X,I)
761.		Vanadic acid salts (X)
762.		Vanadium oxytrichloride (X,C)
763. 	*	Vanadium pentoxide, Vanadic acid anhydride (X) 
764.		Vanadium tetrachloride (X,C)
765.		Vanadium tetraoxide (X)
766.		Vanadium trioxide, Vanadium sesquioxide (X)
767.		Vanadyl sulfate, Vanadium sulfate (X)
768.		Vinyl acetate (I,X)
769. 	*	Vinyl chloride (X,I)
770.		Vinyl ethyl ether (I)
771.		Vinylidene chloride, VC (X,I)
772.		Vinyl isopropyl ether (I)
773. 	*	Vinyltrichlorosilane (X,C,I,R)
774.		VX, O-Ethyl methyl phosphoryl N,N-diisopropyl
		 thiocholine (X)
775. 	*	WEPSYN 155, WP 155, Triamiphos, para-(5-Amino-3-
		 phenyl-1H-1,2,4-triazol-1-yl)-N,N,N',N'-tetramethyl
		 phosphonic diamide (X)
776.		Xylene, Dimethylbenzene (ortho,meta,para) (X,I)
777.		Zinc (powder) (I)
778.		Zinc ammonium nitrate (X,I)
779. 	*	Zinc arsenate (X)
780. 	*	Zinc arsenite (X)
781.		Zinc chloride (X,C)
782.		Zinc compounds (X)
783. 	*	Zinc cyanide (X)
784.		Zinc nitrate (X,I,R)
785.		Zinc permanganate (X,I)
786.		Zinc peroxide, Zinc dioxide (X,I,R)
787. 	*	Zinc phosphide (X,I,R)
788.		Zinc sulfate (X)
789.		Zirconium (powder) (I)
790. 	*	Zirconium chloride, Zirconium tetrachloride (X,C,R) 
791.		Zirconium picramate (I)
(b) This subdivision sets forth a list of common names of wastes which are presumed to be hazardous wastes unless it is determined that the waste is not a hazardous waste pursuant to the procedures set forth in section 66262.11. The hazardous characteristics which serve as a basis for listing the common names of wastes are indicated in the list as follows:

(X) toxic, (C) corrosive, (I) ignitable and (R) reactive.
Acetylene sludge (C) 
Acid and water (C) 
Acid sludge (C) 
AFU Floc (X) 
Alkaline caustic liquids (C) 
Alkaline cleaner (C) 
Alkaline corrosive battery fluid (C) 
Alkaline corrosive liquids (C) 
Asbestos waste (X) 
Ashes (X,C) 
Bag house wastes (X) 
Battery acid (C) 
Beryllium waste (X) 
Bilge water (X) 
Boiler cleaning waste (X,C) 
Bunker Oil (X,I) 
Catalyst (X,I,C) 
Caustic sludge (C) 
Caustic wastewater (C) 
Cleaning solvents (I) 
Corrosion inhibitor (X,C) 
Data processing fluid (I) 
Drilling fluids (X,C) 
Drilling mud (X) 
Dyes (X) 
Etching acid liquid or solvent (C,I) 
Fly ash (X,C) 
Fuel waste (X,I) 
Insecticides (X) 
Laboratory waste (X,C,R,I) 
Lime and sulfur sludge (C) 
Lime and water (C) 
Lime sludge (C) 
Lime wastewater (C) 
Liquid cement (I) 
Mine tailings (X,R) 
Obsolete explosives (R) 
Oil and water (X) 
Oil Ash (X,C) 
Paint (or varnish) remover or stripper (I) 
Paint thinner (X,I) 
Paint waste (or slops) (X,I) 
Pickling liquor (C) 
Pigments (X) 
Plating waste (X,C) 
Printing Ink (X) 
Retrograde explosives (R) 
Sludge acid (C) 
Soda ash (C) 
Solvents (I) 
Spent acid (C) 
Spent caustic (C) 
Spent (or waste) cyanide solutions (X,C) 
Spent mixed acid (C) 
Spent plating solution (X,C) 
Spent sulfuric acid (C) 
Stripping solution (X,I) 
Sulfonation oil (I) 
Tank bottom sediment (X) 
Tanning sludges (X) 
Toxic chemical toilet wastes (X) 
Unrinsed pesticide containers (X) 
Unwanted or waste pesticides --an unusable portion of active ingredient or undiluted formulation (X) 
Waste epoxides (X,I) 
Waste (or slop) oil (X) 
Weed Killer (X) 
(c) This subsection sets forth a list of electronic wastes that are presumed to be hazardous wastes and that are “covered electronic device[s]” pursuant to chapter 8.5 of part 3 of division 30 of the Public Resources Code section 42460 et seq., if they have a viewable screen size [as defined in sec. 66260.201, subsec. (b)(3)(C)] greater than four inches, unless it is determined that the electronic waste is not a hazardous waste pursuant to the procedures set forth in section 66262.11. The hazardous characteristic that serves as a basis for listing the common names of electronic wastes is toxicity.
(1) Cathode ray tube (CRT)-containing devices (CRT devices);
(2) CRTs; 
(3) CRT-containing computer monitors;
(4) Liquid crystal display (LCD)-containing laptop computers; 
(5) LCD-containing desktop monitors;
(6) CRT-containing televisions;
(7) LCD-containing televisions (excluding LCD projection televisions);
(8) Plasma televisions (excluding plasma projection televisions); 
(9) Portable DVD players with LCDs.

Note: Authority cited: Sections 25140, 25141, 25214.9 and 25214.10.1, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25117, 25140, 25141, 25214.9, 25214.10 and 25214.10.1, Health and Safety Code; and Section 42463, Public Resources Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. New subsection (c) and amendment of Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (c) and amendment of Note filed 12-27-2004 as an emergency; operative 12-27-2004 (Register 2004, No. 53). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 1-1-2007 or emergency language will be repealed by operation of law on the following day.
4. New subsection (c) and Note, including subsequent emergency amendments, refiled 6-5-2006 as an emergency; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
5. Amendment of subsection (c) and Note filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
6. New subsection (c) and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
7. Certificate of Compliance as to 5-8-2008 order, including further amendment of subsection (c), new subsections (c)(1)-(9) and amendment of Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
8. Editorial correction of History 7 (Register 2009, No. 10.)

Appendix XI

Organic Lead Test Method
1.0 Scope and Application.
1.1 This method is used to determine the sum of organic lead compounds (“organolead”) in liquids, solids or sludges. The method detection limit for a 50 g sample is 0.5 mg/g (as lead); the method detection limit for 200 ml water samples is 0.1 mg/l (as lead).
2.0 Summary of Method.
2.1 Organolead is separated from the sample matrix by extraction with xylene. The organolead in the extract is reacted with Aliquat 336 and iodine and the solution is made up to volume with MIBK. Lead contained in this mixture is determined by flame atomic absorption spectrometry (FAAS). If the original sample is completely soluble in xylene, the extraction step is omitted.
3.0 Safety.
3.1 Some organic lead compounds are volatile and toxic. Therefore, samples must be processed in a well-ventilated hood. Antiknock lead compounds are particularly poisonous and must not be inhaled or ingested or come into contact with the skin. Antiknock lead compounds should never be exposed to elevated temperatures (above 50oC) or to acids and oxidizing agents. Whenever organic lead compounds are handled outside of a well-ventilated hood, protective respiratory equipment, protective clothing and rubber gloves must be worn. The material safety data sheets (MSDS) for organolead standards must be read.
3.2 The solvents used in this method are flammable. Proper precautions must be taken to prevent contact with sparks or open flames (other than the AAS flame).
4.0 Interferences.
4.1 To reduce loss of organic lead compounds which are very volatile and sensitive to oxygen, samples must not be exposed to elevated temperatures or to air for extended periods of time. Such losses shall be minimized by adhering to the sample collection, preservation and handling procedures in subdivisions 7.2 - 7.4 and 8.1.1 of this appendix.
4.2 If the samples are moist, there may be poor wettability with xylene.
5.0 Apparatus and Materials.
5.1 flame atomic absorption spectrometer (FAA spectrometer) with background corrector and recorder or integrator;
5.2 lead hollow cathode lamp or electrodeless discharge lamp;
5.3 nebulizer with impact bead; the standard rubber gasket in the nebulizer must be replaced with a cork gasket because the organic solvents used in this method attack rubber;
5.4 air, acetylene and appropriate AAS burner head;
5.5 erlenmeyer flasks, 250 ml and 100 ml, with ground glass stoppers;
5.6 mechanical shaker;
5.7 glass filter funnel and filter paper (Whatman #40, #42 or equivalent);
5.8 separatory funnels, 250 ml capacity;
5.9 volumetric flasks, 250 ml, 100 ml, and 50 ml.
6.0 Reagents.
All solvents and reagents must be at least analytical reagent grade, if available.
6.1 xylene (use p-xylene if available);
6.2 methyl isobutyl ketone (MIBK, 4-methyl-2-pentanone);
6.3 iodine solution: dissolve 3.0 g of elemental iodine in toluene and make up to 100 ml with the same solvent. Store in a brown bottle in a refrigerator;
6.4 Aliquat 336 (Tri-capryl methyl ammonium chloride), available from Aldrich, Milwaukee, WI, or from McKesson Co., Minneapolis, MN. Aliquat is a registered trademark of Henkel Corporation. Prepare two solutions, one containing 10 percent weight to volume ratio (w/v) and one containing 1 percent (w/v) in MIBK. Store in a refrigerator;
6.5 anhydrous sodium sulfate, granular;
6.6 lead chloride, crystals. Dry at 105oC for 3 hours before use.
6.6.1 Prepare a stock solution containing 1000 mg/l of lead (Pb) by dissolving 0.3356 g of lead chloride in 10 percent Aliquat 336 in MIBK and dilute to 250 ml. Store in a brown bottle in a refrigerator.
6.6.2 Prepare an intermediate Pb standard by pipetting 10 ml of the stock standard into a volumetric flask and diluting to 100 ml with a 40 percent volume to volume ratio (v/v) solution of xylene in MIBK. Store in a brown bottle in a refrigerator;
6.7 sodium chloride (NaCl).
7.0 Sample Collection, Preservation, and Handling.
7.1 For safety precautions, see subdivision 3.0 of this appendix.
7.2 Liquid samples must be collected in amber glass bottles (preferably 500 ml size) with Teflon-lined caps without leaving any headspace. During sampling, contact of the sample with air must be minimized.
7.3 Solid samples must be collected in glass jars (preferably 250 ml size) with airtight, Teflon-lined lids. The jars must be filled to capacity.
7.4 All samples must be transported and stored at refrigerator temperature (approximately 5oC.).
8.0 Procedure.The order of addition of the reagents must be followed explicitly. Aliquat 336 must not be added before the addition of iodine because it retards the formation of the alkyl lead iodide-Aliquat 336 complex, giving erroneous results.
8.1 Extraction of Solid and Sludge Samples.
8.1.1 Weigh out (to the nearest 0.1 g) about 50 g of homogenized sample into an Erlenmeyer flask, add 100 ml of xylene, stopper the flask and shake on a mechanical shaker for 30 minutes (min). The extraction efficiency may vary depending on the moisture content of the sample. Stirring of the sample with a mechanical or magnetic stirrer must not be substituted for shaking since it can result in loss of organolead due to oxidation by air oxygen. For the same reason, extraction times of more than 30 min must be avoided.
8.1.2 After extraction, filter the xylene phase through filter paper holding about 10 g of anhydrous sodium sulfate.
8.1.3 Pipet 20 ml of MIBK and 20 ml of the filtered extract into a 50 ml volumetric flask and mix.
8.1.4 To the same flask, add 0.1 ml of iodine solution and mix again. Let react for approximately 1 min.
8.1.5 To the same flask, add 5 ml of 1 percent Aliquat 336 in MIBK, dilute to volume with MIBK and mix.
8.2 Extraction of Liquid Samples.
8.2.1 Place 200 ml of the sample and 50 ml of xylene into a separatory funnel, close the funnel and shake for 1 - 2 min. Allow 5 - 10 min for phase separation. If less than 200 ml of sample is available, the miscibility with xylene may be tested with a smaller aliquot.
8.2.2 If a single liquid phase is obtained (i.e., if the sample is completely soluble in xylene), discard the sample/xylene mixture and pipet 20 ml of neat sample into a 50 ml volumetric flask, add 20 ml of MIBK, mix, and continue as described in subdivision 8.1.4 above.
8.2.3 If an emulsion is obtained which requires more time for phase separation, add about 5 g of NaCl to the separatory funnel, shake briefly, and let the mixture settle for 20 min.
8.2.4 After separation of the xylene phase from the sample solvent phase (e.g., water), drain off the lower phase into a second separatory funnel and collect the xylene extract in a 100 ml flask with ground glass stopper.
8.2.5 Add 25 ml of xylene to the sample solvent phase, shake for 1-2 min and allow 5 - 10 min for phase separation.
8.2.6 Repeat subdivision 8.2.4, adding the xylene phase to the first extract. Then repeat sudivisions 8.2.5 and 8.2.4 with another 25 ml of xylene.
8.2.7 Filter the combined extract through filter paper holding about 10 g of anhydrous sodium sulfate.
8.2.8 Pipet 20 ml of MIBK and 20 ml of the filtered extract into a 50 ml volumetric flask and mix. Continue as described in subdivision 8.1.4 above.
8.3 Standard and Blank Preparation.
Prepare a blank and a minimum of three appropriate working standards from the intermediate organolead standard containing 100 mg/l as Pb.
8.3.1 Place 40 ml of xylene into a 100 ml volumetric flask and add the correct amount of the 100 mg/l standard to prepare the desired concentration.
8.3.2 Immediately add 0.2 ml of iodine solution and mix well.
8.3.3 Add 10 ml of 1 percent Aliquat 336 solution, dilute to volume with MIBK and mix well.
8.3.4 The blank is prepared in the same way as the calibration standards (subdivisions 8.3.1 - 8.3.3 of this appendix), except that no organolead intermediate standard is added.
8.4 Flame Atomic Absorption Measurements.
Since certain organolead compounds are very volatile, their vapors may remain in the nebulizer or drain tube for considerable periods of time and affect subsequent readings. Therefore, sufficient time must be allowed between readings for all vapors to clear the system. Analyzing a blank between samples can check on the system.
8.4.1 The FAA spectrometer is set up according to the manufacturer's instructions. The nebulizer is equipped with the impact bead and a cork gasket is installed. Ensure that the drain tube to the waste container drains properly. Tygon tubing is affected by the organic solvents used in this method and drainage properties will be different from those observed with aqueous samples. If desired, a waste container dedicated to receive organolead waste may be connected.
8.4.2 While aspirating water into the flame, adjust the acetylene flow to 8.5 l/min and the air flow to 25 l/min.
8.4.3 Aspirate MIBK containing 40 percent xylene into the flame, reduce the acetylene flow to approximately 4.8 l/min and fine adjust to produce an even flame with no yellow luminescence.
8.4.4 Measure the absorbance of the method blank, working standards, and samples.
8.4.5 If sample readings fall outside the calibrated range, the solutions to be aspirated into the nebulizer must be diluted with a 40 percent (v/v) solution of xylene in MIBK and analyzed again.
9.0 Calculations.
Depending on the type of sample analyzed and the method of sample preparation, one of the following three formulas is used to calculate the concentration of organolead in the sample:
9.1 solid and sludge samples:

View Graphic
10.0 Quality Control.
10.1 Analyze a method blank along with each batch of ten samples (or less). If the blank indicates a significant contamination (more than twice the method detection limit), repeat all procedures with samples and blank.
10.2 Analyze a duplicate sample with each batch of ten samples or less.
10.3 Analyze a spiked sample with each batch of ten samples or less. The level of spiking must be about twenty times the method detection limit. If the sample contains measurable organic lead, the spike level must be at least four times the measured level.
10.4 Leaded gasoline with known concentration of organolead must be used as spiking solution for all sample types.
11.0 Method Performance.
11.1 The analysis of four replicates of water samples spiked with leaded gasoline gave a mean result of 3.23 mg/l, a standard deviation of 0.032 mg/l, and a relative standard deviation (RSD) of 0.99%. The mean recovery was 3.23 mg/l for a recovery of 67.7%.
11.2 The instrument detection limit (IDL) was determined by the analysis of eleven replicates, blanks and standards. The IDL was based on three times the standard deviation which was 0.09 mg/l.
11.3 The analysis of six replicates of soil samples spiked with gasoline gave a mean result of 3.16 mg/kg, a standard deviation of 0.025 mg/kg, and a RSD of 0.80%. The mean recovery was 3.16 mg/kg for a 66.2% recovery.
NOTE

Authority cited: Sections 208 and 25141, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).

Appendix XII

California Hazardous Waste Codes
(a) Subdivisions (b) and (c) of this appendix establish the California Hazardous Waste Code Numbers assigned to wastes which have been identified as hazardous wastes pursuant to the characteristics of hazardous waste as set forth in article 3 of this chapter or pursuant to the lists of hazardous wastes in article 4 of this chapter. These Waste Code Numbers shall be used in complying with the notification requirements of Health and Safety Code section 25153.6 and, where applicable, in the recordkeeping and reporting requirements under chapters 12 through 15, 18, and 20 of this division.
(1) In cases where hazardous wastes may have both an EPA Hazardous Waste Number and a California Hazardous Waste Code Number, both numbers shall be used in complying with the notification requirements of Health and Safety Code section 25153.6 and the recordkeeping and reporting requirements under chapters 12 through 15, 18, and 20 of this division.
(2) If both a California Hazardous Waste Code from the “California Restricted Wastes” category and a code from another category of California Hazardous Waste Codes apply to a specific hazardous waste, the code from the “California Restricted Wastes” category shall be used.
(b) List of California Hazardous Waste Codes arranged in numerical order:

Waste
Code
Number	Waste Description
		
 (1) Inorganics:
121  Alkaline solution (pH £ 12.5) with metals (antimony, arsenic, barium, beryllium, cadmium, chromium, cobalt, copper, lead, mercury, molybdenum, nickel, selenium, silver, thallium, vanadium, and zinc)
122  Alkaline solution without metals (pH > 12.5)
123  Unspecified alkaline solution
131  Aqueous solution (2 <  pH < 12.5) containing reactive anions (azide, bromate, chlorate, cyanide, fluoride, hypochlorite, nitrite, perchlorate, and sulfide anions)
132  Aqueous solution with metals (restricted levels and see  waste code 121 for a list of metals)
133  Aqueous solution with 10% or more total organic residues
134  Aqueous solution with less than 10% total organic residues
135  Unspecified aqueous solution
141  Off-specification, aged, or surplus inorganics
151  Asbestos-containing waste
161  Fluid-cracking catalyst (FCC) waste
162  Other spent catalyst
171  Metal sludge (see 121)
172  Metal dust (see 121) and machining waste
181  Other inorganic solid waste
 (2) Organics:
211  Halogenated solvents (chloroform, methyl chloride, perchloroethylene, etc.)
212  Oxygenated solvents (acetone, butanol, ethyl acetate, etc.)
213  Hydrocarbon solvents (benzene, hexane, Stoddard, etc.)
214  Unspecified solvent mixture
221  Waste oil and mixed oil
222  Oil/water separation sludge
223  Unspecified oil-containing waste
231  Pesticide rinse water
232  Pesticides and other waste associated with pesticide production
241  Tank bottom waste
251  Still bottoms with halogenated organics
252  Other still bottom waste
261  Polychlorinated biphenyls and material containing PCB's
271  Organic monomer waste (includes unreacted resins)
272  Polymeric resin waste
281  Adhesives
291  Latex waste
311  Pharmaceutical waste
321  Sewage sludge
322  Biological waste other than sewage sludge
331  Off-specification, aged, or surplus organics
341  Organic liquids (nonsolvents) with halogens
342  Organic liquids with metals (see 121)
343  Unspecified organic liquid mixture
351  Organic solids with halogens
352  Other organic solids
 (3) Sludges:
411  Alum and gypsum sludge
421  Lime sludge
431  Phosphate sludge
441  Sulfur sludge
451  Degreasing sludge
461  Paint sludge
471  Paper sludge/pulp
481  Tetraethyl lead sludge
491  Unspecified sludge waste
 (4) Miscellaneous:
511  Empty pesticide containers 30 gallons or more
512  Other empty containers 30 gallons or more
513  Empty containers less than 30 gallons
521  Drilling mud
531  Chemical toilet waste
541  Photochemicals/photoprocessing waste
551  Laboratory waste chemicals
561  Detergent and soap
571  Fly ash, bottom ash, and retort ash
581  Gas scrubber waste
591  Baghouse waste
611  Contaminated soil from site clean-ups
612  Household waste
613  Auto shredder waste
614  Treated wood waste
 (5) California Restricted Wastes:
711  Liquids with cyanides > 1000 mg/l
721  Liquids with arsenic > 500 mg/l
722  Liquids with cadmium > 100 mg/l
723  Liquids with chromium (VI) > 500 mg/l
724  Liquids with lead > 500 mg/l
725  Liquids with mercury > 20 mg/l
726  Liquids with nickel > 134 mg/l
727  Liquids with selenium > 100 mg/l
728  Liquids with thallium > 130 mg/l
731  Liquids with polychlorinated biphenyls > 50 mg/l
741  Liquids with halogenated organic compounds > 1000 mg/l
751  Solids or sludges with halogenated organic compounds > 1000mg/kg
791  Liquids with pH £ 2
792  Liquids with pH £ 2 with metals
801  Waste potentially containing dioxins
 (c) List of California Hazardous Waste Codes arranged alphabetically within each numbered category in this subdivision:

Waste
Code
Number	Waste Description
		
 (1) Inorganics:
121 Alkaline solution (pH > 12.5) with metals (antimony, arsenic,  barium, beryllium, cadmium, chromium, cobalt, copper, lead, mercury, molybdenum, nickel, selenium, silver, thallium, vanadium, and zinc)
122 Alkaline solution without metals (pH > 12.5)
131 Aqueous solution (2 <  pH < 12.5) containing reactive anions (azide, bromate, chlorate, cyanide, fluoride, hypochlorite, nitrite, perchlorate, and sulfide anions)
133 Aqueous solution with 10% or more total organic residues
134 Aqueous solution with less than 10% total organic residues
132 Aqueous solution with metals (restricted levels and see waste code 121 for a list of metals)
151 Asbestos-containing waste
161 Fluid-cracking catalyst (FCC) waste
172 Metal dust (see 121) and machining waste
171 Metal sludge (see 121)
141 Off-specification, aged, or surplus inorganics
181 Other inorganic solid waste
162 Other spent catalyst
123 Unspecified alkaline solution
135 Unspecified aqueous solution
 (2) Organics:
281 Adhesives
322 Biological waste other than sewage sludge
211 Halogenated solvents (chloroform, methyl chloride, perchloroethylene, etc.)
213 Hydrocarbon solvents (benzene, hexane, Stoddard, etc.)
291 Latex waste
331 Off-specification, aged, or surplus organics
222 Oil/water separation sludge
341 Organic liquids (nonsolvents) with halogens
342 Organic liquids with metals (see 121)
271 Organic monomer waste (includes unreacted resins)
351 Organic solids with halogens
352 Other organic solids
252 Other still bottom waste
212 Oxygenated solvents (acetone, butanol, ethyl acetate, etc.)
231 Pesticide rinse water
232 Pesticides and other waste associated with pesticide production
311 Pharmaceutical waste
261 Polychlorianted biphenyls and material containing PCBs
272 Polymeric resin waste
321 Sewage sludge
251 Still bottoms with halogenated organics
241 Tank bottom waste
223 Unspecified oil-containing waste
343 Unspecified organic liquid mixture
214 Unspecified solvent mixture
221 Waste oil and mixed oil
 (3) Sludges:
411 Alum and gypsum sludge
451 Degreasing sludge
421 Lime sludge
461 Paint sludge
471 Paper sludge/pulp
431 Phosphate sludge
441 Sulfur sludge
481 Tetraethyl lead sludge
491 Unspecified sludge waste
 (4) Miscellaneous:
613 Auto shredder waste
591 Baghouse waste
531 Chemical toilet waste
611 Contaminated soil from site clean-ups
561 Detergent and soap
521 Drilling mud
513 Empty containers less than 30 gallons
511 Empty pesticide containers 30 gallons or more
571 Fly ash, bottom ash, ad retort ash
581 Gas scrubber waste
612 Household waste
551 Laboratory waste chemicals
512 Other empty containers 30 gallons or more
541 Photochemical/photoprocessing waste
614  Treated wood waste
 (5) California Restricted Wastes:
721 Liquids with arsenic > 500 mg/l
722 Liquids with cadmium > 100 mg/l
723 Liquids with chromium (VI) > 500 mg/l)
711 Liquids with cyanides > 1000 mg/l
741 Liquids with halogenated organic compounds > 1000 mg/l
724 Liquids with lead > 500 mg/l
725 Liquids with mercury > 20 mg/l
726 Liquids with nickel > 134 mg/l
791 Liquids with pH £ 2
792 Liquids with pH £ 2 with metals
731 Liquids with polychlorinated biphenyls > 50 mg/l
727 Liquids with selenium > 100 mg/l
728 Liquids with thallium > 130 mg/l
751 Solids or sludges with halogenated organic compounds > 1000 mg/l
801 Waste potentially containing dioxins
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25117.9, 25122.7 and 25150, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (b)(4) and (c)(4) and Note filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
Chapter 12. Standards Applicable to Generators of Hazardous Waste
Article 1. Applicability
§66262.10. Purpose, Scope, and Applicability.
Note     •     History

(a) This chapter establishes standards for generators of hazardous waste located in California.
(b) A generator who treats, stores, or disposes of hazardous waste on-site shall comply with the following sections of this chapter with respect to that waste: section 66262.11 for determining whether or not the generator has a hazardous waste, section 66262.12 for obtaining an identification number, section 66262.34 for accumulation of hazardous waste, section 66262.40(c) and (d) for recordkeeping, section 66262.43 for additional reporting, section 66262.44 for hazardous waste of concern reporting, and if applicable, section 66262.70 for farmers.
(c) Any person who imports hazardous waste into the State to a designated facility within the State from outside the United States shall comply with the standards applicable to generators established in this chapter.
(d) Any person who exports or imports hazardous waste subject to the Federal manifesting requirements of 40 CFR Part 262, or to the universal waste management standards of 40 CFR Part 273, to or from the countries listed in 40 CFR section 262.58(a)(1) or section 66262.58(a)(1) for recovery of hazardous waste, shall comply with 40 CFR Part 262, Subpart H or this article.
(e) A farmer who generates waste pesticides which are hazardous waste and who complies with all of the requirements of section 66262.70 is not required to comply with other standards in this chapter or chapters 2014, 15, or 18 of this division with respect to such pesticides.
(f) A person who generates a hazardous waste as defined by chapter 11 of this division is subject to the compliance requirements and penalties prescribed in chapter 6.5 of division 20 of the Health and Safety Code (commencing with section 25100) if the generator does not comply with the requirements of this chapter.
(g) An owner or operator who initiates a shipment of hazardous waste from a treatment, storage, or disposal facility shall comply with the generator standards established in this chapter. The provisions of section 66262.34 shall be applicable to the on-site accumulation of hazardous waste by generators. Therefore, the provisions of section 66262.34 shall apply only to owners or operators who are shipping hazardous waste which they generated at that facility.
(h) A generator who treats, stores, or disposes of hazardous waste on-site shall comply with the applicable standards and permit requirements set forth in chapters 14, 15, 16, 18 and 20 of this division.
(i) This article does not apply to generators handling only hazardous waste produced incidental to owning and maintaining their own place of residence.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25169.7 and 58012, Health and Safety Code; and 40 Code of Federal Regulations section 262.10.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (g) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (g) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (g) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (g) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Change without regulatory effect adding new subsection (d) and relettering subsections filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
8. Amendment of subsections (b), (e) and (g) and amendment of Note filed 12-27-2005; operative 1-26-2006 (Register 2005, No. 52).
§66262.11. Hazardous Waste Determination.
Note     •     History

A person who generates a waste, as defined in section 66261.2, shall determine if that waste is a hazardous waste using the following method:
(a) the generator shall first determine if the waste is excluded from regulation under section 66261.4 or section 25143.2 of the Health and Safety Code;
(b) the generator shall then determine if the waste is listed as a hazardous waste in articles 4 or 4.1 of chapter 11 or in Appendix X of chapter 11 of this division. If the waste is listed in Appendix X and is not listed in articles 4 or 4.1 of chapter 11, the generator may determine that the waste from his particular facility or operation is not a hazardous waste by either:
(1) testing the waste according to the methods set forth in article 3 of chapter 11 of this division, or according to an equivalent method approved by the Department pursuant to section 66260.21; or
(2) applying knowledge of the hazard characteristic of the waste in light of the materials or the processes used and the characteristics set forth in article 3 of chapter 11 of this division.
(c) For purposes of compliance with chapter 18 of this division (commencing with section 66268.1), or if the waste is not listed as a hazardous waste in article 4 (commencing with section 66261.30), in article 4.1 (commencing with section 66261.50), or in Appendix X of chapter 11 of this division, the generator shall determine whether the waste exhibits any of the characteristics set forth in article 3 of chapter 11 of this division by either:
(1) testing the waste according to the methods set forth in article 3 (commencing with section 66261.20) of chapter 11 of this division, or according to an equivalent method approved by the Department under section 66260.21; or
(2) applying knowledge of the hazard characteristic of the waste in light of the materials or the processes used.
(d) If the waste is determined to be hazardous, the generator shall refer to chapters 14, 15, 18, and 23 of this division for possible exclusions or restrictions pertaining to management of the specific waste.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25115, 25117, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 262.11.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (d) and Note filed 2-8-2002; operative 2-8-2002 (Register 2002, No. 6).
3. Amendment of subsections (b) and (c) filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
§66262.12. Identification Numbers for the Generator.
Note     •     History

(a) Except as specified in (d), a generator shall not treat, store, dispose of, transport or offer for transportation, hazardous waste without having received an Identification Number.
(b) A generator who has not received an Identification Number may obtain one by applying to the Administrator or to the Department using EPA form 8700-12 (Revised 12/99). Following receipt of the request, the generator will be assigned an identification number.
(c) A generator shall not offer the hazardous waste to transporters or to transfer, treatment, storage or disposal facilities that have not received an Identification Number.
(d) Generators who generate no more than 100 kilograms of waste per month that is hazardous solely due to the presence of silver in the waste pursuant to Health and Safety Code section 25143.13 are not required to obtain an Identification Number.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25143.13, 25159, 25159.5 and 25160.2, Health and Safety Code; and 40 CFR Sections 261.5 and 262.12.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (a) and adding subsections (d)-(d)(2) filed 1-5-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 2).
3. Change without regulatory effect amending subsection (b), repealing subsections (d)-(d)(2), adopting new subsection (d) and amending Note filed 12-31-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 1).
Article 2. The Manifest
§66262.20. General Requirements.
Note     •     History

(a) For shipments initiated before September 5, 2006, a generator, except those generators identified in subsection (a)(1), who transports, or offers for transportation, hazardous waste for off-site transfer, treatment, storage, or disposal shall prepare a Manifest, DTSC Form 8022A (4/97), and if necessary, the EPA continuation Form 8700-22A, according to the instructions included in the Appendix to chapter 12 of this division before the waste is transported off-site. Before September 5, 2006, all manifest requests should be submitted to the following agency:

LEGISLATIVE BILL ROOM 
STATE CAPITOL ROOM B-32 
SACRAMENTO, CA 95814 
For further information with regard to manifest ordering and associated fees, contact (916) 445-5357.
For shipments initiated on and after September 5, 2006, a generator, except those generators identified in subsection (a)(1), who transports, or offers for transport a hazardous waste for off-site transfer, treatment, storage, or disposal, or a treatment, storage, and disposal facility who offers for transport a rejected hazardous waste load, shall prepare a Uniform Hazardous Waste Manifest (OMB Control number 2050-0039) on EPA Form 8700-22, and, if necessary, a Continuation Sheet on EPA Form 8700- 22A, according to the instructions included in the Appendix to chapter 12 of this division before the waste is transported off-site. 
Compliance with the revisions to the Manifest form and procedures announced in the regulations published by EPA on March 4, 2005 as modified by regulations adopted on June 16, 2005 and these regulations adopted by the department on August 24, 2006, shall not be required until on and after September 5, 2006. 
(1) A generator who qualifies as a contributing school, as defined in section 67450.41(a)(3) of chapter 45, is not subject to the provisions of this article for transportation of hazardous wastes to a K-12 schools hazardous waste collection, consolidation, and accumulation facility (SHWCCAF) in accordance with article 5 of chapter 45 as long as the generator also maintains compliance with the provisions of article 5 of chapter 45 (commencing with section 67450.40) that are applicable to contributing schools.
(b) A generator shall designate on the manifest one facility which is permitted to handle the waste described on the manifest.
(c) A generator may also designate on the manifest one alternate facility which is permitted to handle the waste in the event an emergency prevents delivery of the waste to the primary designated facility.
(d) If the transporter is unable to deliver the hazardous waste to the designated facility or the alternate facility, the generator shall either designate another facility or instruct the transporter to return the waste.
NOTE

Authority cited: Sections 208, 25150, 25150.6, 25159 and 25161, Health and Safety Code. Reference: Sections 25150.6, 25159, 25159.5, 25160 and 25200, Health and Safety Code; 40 Code of Federal Regulations Sections 262.20 and 262.60.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (a) filed 8-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 35).
3. Amendment of subsection (a), new subsection (a)(1) and amendment of Note filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
4. Change without regulatory effect amending section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66262.21. Acquisition and Submission of Manifests.
Note     •     History

(a) If the state to which the shipment is manifested (consignment state) supplies the manifest and requires its use, then the generator shall use that manifest. This subsection is repealed on September 5, 2006.
(b) If the consignment state does not supply the manifest, the generator shall use the California Uniform Hazardous Waste manifest, EPA 8700-22/DTSC 8022A (4/97). This subsection is repealed on September 5, 2006.
(c) For shipments initiated on and after September 5, 2006, a generator shall use the Uniform Hazardous Waste Manifest, EPA Form 8700-22, and, if necessary, a Continuation Sheet, EPA Form 8700-22A, printed by a registrant in accordance with 40 Code of Federal Regulations section 262.21. No previous manifest form versions may be used for shipments initiated on and after September 5, 2006. A registrant may not print, or have printed, the manifest for use or distribution unless it has received approval from the U.S. EPA Director of the Office of Solid Waste pursuant to 40 Code of Federal Regulations section 262.21 (c) and (e). 
(d) Each copy of the manifest and continuation sheet shall indicate how the copy shall be distributed, as follows: 
Page 1 (top copy): “Designated facility to destination State (if required)”. 
Page 2: “Designated facility to generator State (if required)”. 
Page 3: “Designated facility to generator”. 
Page 4:  “Designated facility's copy”.
Page 5:  “Transporter's copy”. 
Page 6 (bottom copy): “Generator's initial copy”. 
(e)(1) A generator may use manifests printed by any source so long as the source of the printed form has received approval from U.S. EPA to print the manifest under 40 Code of Federal Regulations section 262.21 (c) and (e). A registered source may be a: 
(A) State agency; 
(B) Commercial printer; 
(C) Hazardous waste generator, transporter or TSDF; or 
(D) Hazardous waste broker or other preparer who prepares or arranges shipments of hazardous waste for transportation. 
(2) A generator shall determine whether the generator state or the consignment state for a shipment regulates any additional wastes (beyond those regulated federally) as hazardous wastes under these states' authorized programs. 
(3) Generators also shall determine whether the consignment state or generator state requires the generator to submit any copies of the manifest to these states. In cases where the generator shall supply copies to either the generator's state or the consignment state, the generator is responsible for supplying legible photocopies of the manifest to these states. 
(f) Manifests shall be submitted to the department by any generator when the waste is generated in California or is transported to a designated facility located in California. The generator manifest copy shall be submitted to the department for every shipment on a manifest when California is either the generator state or the destination or consignment state. The generator manifest copy shall be mailed to: 

DTSC GENERATOR MANIFESTS 
P.O. BOX 400 
SACRAMENTO, CA 95812-0400 
NOTE

Authority cited: Sections 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25160, Health and Safety Code; 40 Code of Federal Regulations Section 262.21.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (b) filed 8-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 35).
3. Change without regulatory effect amending section heading, section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66262.22. Number of Copies.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25160, Health and Safety Code; 40 CFR Section 262.22.
HISTORY

1. New section filed 5-28-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect repealing section filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66262.23. Use of the Manifest.
Note     •     History

(a) The generator of any hazardous or extremely hazardous waste to be transported off-site or into California  shall:
(1) complete the generator and waste section and sign the manifest certification according to the instructions in the Appendix to this chapter; and
(2) obtain the handwritten signature of the initial transporter and date of acceptance on the manifest; and
(3) retain one copy, in accordance with section 66262.40(a); and
(4) within 30 days of each shipment of hazardous waste submit to the Department a legible copy of each manifest used; and
(5) on or after September 5, 2006, for hazardous waste that is not regulated as a hazardous waste by the U.S. EPA (non-RCRA waste), describe these wastes in Item 9b of the manifest or Item 27b of the continuation sheet as follows: 
(A) describe non-RCRA hazardous wastes which do not have a U.S. DOT description indicating a generic name of the waste and the phrase “Non-RCRA Hazardous Waste, Solid” or “Non-RCRA Hazardous Waste, Liquid” for solid or liquid wastes, respectively. When possible, the generic name shall be obtained from chapter 11, Appendix X, subsection (b) of this division. If not listed in chapter 11, Appendix X, subsection (b) of this division, the commonly recognized industrial name of the waste shall be used. 
(B) describe non-RCRA hazardous wastes which have a U.S. DOT description by the U.S. DOT description, and 
(6) The EPA hazardous waste number, if applicable, can be found in chapter 11, articles 3 and 4 and the California Hazardous Waste Code Number can be found in chapter 11, Appendix XII. 
(b) The generator shall give the transporter the remaining copies of the manifest.
(c) For shipments of hazardous waste within the United States solely by water (bulk shipments only), the generator shall send three copies of the manifest dated and signed in accordance with this section to the owner or operator of the designated facility or the last water (bulk shipment) transporter to handle the waste in the United States if exported by water. Copies of the manifest are not required for each transporter.
(d) For rail shipments of hazardous waste within the United States which originate at the site of generation, the generator shall send at least three copies of the manifest dated and signed in accordance with this section to:
(1) the next non-rail transporter, if any; or
(2) the designated facility if transported solely by rail; or
(3) the last rail transporter to handle the waste in the United States if exported by rail.
(e) For shipments of hazardous waste to a designated facility in an authorized State which has not yet obtained authorization to regulate that particular waste as hazardous, the generator shall assure that the designated facility agrees to sign and return the manifest to the generator, and that any out-of-state transporter signs and forwards the manifest to the designated facility.
NOTE

Authority cited: Sections 25150, 25159, 25161 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25160, Health and Safety Code; 40 Code of Federal Regulations Section 262.23.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding new subsection (e) and amending Note filed pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 18).
3. Change without regulatory effect amending subsections (a) and (a)(3), adding subsections (a)(5)-(6) and amending subsection (e) and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66262.27. Waste Minimization Certification.
Note     •     History

A generator who initiates a shipment of hazardous waste shall certify to one of the following statements in Item 15 of the uniform hazardous waste manifest: 
(a) “I am a large quantity generator. I have a program in place to reduce the volume and toxicity of waste generated to the degree I have determined to be economically practicable and I have selected the practicable method of treatment, storage, or disposal currently available to me which minimizes the present and future threat to human health and the environment;” or 
(b) “I am a small quantity generator. I have made a good faith effort to minimize my waste generation and select the best waste management method that is available to me and that I can afford.”
(c) This section is effective on and after September 5, 2006. 
NOTE

Authority cited: Sections 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25160, Health and Safety Code; and 40 Code of Federal Regulations Section 262.27. 
HISTORY

1. Change without regulatory effect adding section filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
Article 3. Pre-Transport Requirements
§66262.30. Packaging.
Note     •     History

Before transporting hazardous waste or offering hazardous waste for transportation off-site, a generator shall package the waste in accordance with the applicable Department of Transportation regulations on packaging under Title 49 CFR Parts 173, 178, and 179.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25160, Health and Safety Code; 40 CFR Section 262.30.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66262.31. Labeling.
Note     •     History

Before transporting or offering hazardous waste for transportation off-site, a generator shall label each package in accordance with the applicable Department of Transportation regulations on hazardous materials under Title 49 CFR Part 172.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25160, Health and Safety Code; 40 CFR Section 262.31.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66262.32. Marking.
Note     •     History

(a) Before transporting or offering hazardous waste for transportation off-site, a generator shall mark each package of hazardous waste in accordance with the applicable Department of Transportation regulations on hazardous materials under Title 49 Code of Federal Regulations Part 172;
(b)(1) Before September 5, 2006, and before transporting hazardous waste or offering hazardous waste for transportation off-site, a generator shall mark each container of 110 gallons or less used in such transportation with the following words and information displayed in accordance with the requirements of Title 49 Code of Federal Regulations section 172.304:
HAZARDOUS WASTE-State and Federal Law Prohibit Improper Disposal. If found, contact the nearest police or public safety authority, the U.S. Environmental Protection Agency or the California Department of Toxic Substances Control.
Generator's Name and Address_____________________________.
Manifest Document Number_______________________________________________.
(2) On and after September 5, 2006, before transporting hazardous waste or offering hazardous waste for transportation off-site, a generator shall mark each container of 119 gallons or less used in such transportation with the following words and information displayed in accordance with the requirements of 49 Code of Federal Regulations section 172.304: 
HAZARDOUS WASTE-State and Federal Law Prohibit Improper Disposal. If found, contact the nearest police or public safety authority, the U.S. Environmental Protection Agency or the California Department of Toxic Substances Control. 

Generator's Name and Address 	. 

Generator's EPA Identification Number 	. 

Manifest Tracking Number	. 
NOTE

Authority cited: Sections 25150, 25159, 25161 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25160, Health and Safety Code; 40 Code of Federal Regulations Section 262.32; 49 Code of Federal Regulations section 172.304; and 49 Code of Federal Regulations Part 172. 
HISTORY

1. New section filed 5-28-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (b) and Note filed 12-9-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 50).
3. Change without regulatory effect amending subsection (b) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
4. Change without regulatory effect amending section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66262.33. Placarding.
Note     •     History

Before transporting hazardous waste or offering hazardous waste for transportation off-site, a generator shall placard or offer the initial trasportor the appropriate placards according to Department of Transportation regulations for hazardous materials under 49 Code of Federal Regulations Part 172, Subpart F.
NOTE

Authority cited: Sections 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25160, Health and Safety Code; 40 Code of Federal Regulations Section 262.33.; 49 Code of Federal Regulations Section 171.3; and 49 Code of Federal Regulations Part 172, Subpart F.  
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66262.34. Accumulation Time.
Note     •     History

(a) Except as provided in subsections (c) and  (d) of this section and section 66262.35, a generator may accumulate hazardous waste on-site for 90 days or less without a permit or grant of interim status, provided that:
(1)(A) the waste is placed in containers and the generator complies with the applicable requirements of articles 9, 27, 28 and 28.5 of chapter 15 of this division, or the waste is placed in tanks and the generator complies with articles 10, 27, 28, and 28.5 of chapter 15 of this division, except sections 66265.197(c) and 66265.200. In addition, such a generator is exempt from all the requirements in articles 7 and 8 of chapter 15 of this division, except for sections 66265.111 and 66265.114; or
(B) the waste is placed on drip pads and the generator complies with the applicable requirements of articles 17.5, 27, 28 and 28.5 of chapter 15 and maintains the following records at the facility:
1. a description of procedures that will be followed to ensure that all wastes are removed from the drip pad and associated collection system at least once every 90 days; and
2. documentation of each waste removal, including the quantity of waste removed from the drip pad and the sump or collection system and the date and time of removal; and/or
(C) the waste is placed in containment buildings and the generator complies with article 29 of Chapter 15 of this division, has placed its professional engineer (PE) certification that the building complies with the design standards specified in 66265.1101 in the facility's operating record no later than 60 days after the date of initial operation of the unit. After February 18, 1993, PE certification will be required prior to operation of the unit. The owner or operator shall maintain the following records at the facility:
1. a written description of procedures to ensure that each waste volume remains in the unit for no more than 90 days, a written description of the waste generation and management practices for the facility showing that they are consistent with respecting the 90 day limit, and documentation that the procedures are complied with; or
2. documentation that the unit is emptied at least once every 90 days; and
(2) the date upon which each period of accumulation begins is clearly marked and visible for inspection on each container; and
(3) the generator complies with the requirements of subsection (f) of this section; and
(4) the generator complies with the requirements for owners or operators in articles 3 and 4 of chapter 15 of this division and with section 66265.16, and with section 66268.7(a)(5).
(b) The beginning of the 90 day period specified in subsections (a) and (c) of this section is determined as follows:
(1) if the generator does not generate more than 100 kilograms of hazardous waste or one kilogram of acutely hazardous waste (listed in section 66261.33(e)) or one kilogram of extremely hazardous waste during any calendar month, the 90 day period begins on the date the generator has accumulated 100 kilograms of hazardous waste or one kilogram of acutely hazardous waste or one kilogram of extremely hazardous waste;
(2) if the generator generates more than 100 kilograms of hazardous waste or one kilogram of acutely hazardous waste or one kilogram of extremely hazardous waste during any calendar month, the 90-day period begins on the first date on which any amount of hazardous waste begins to accumulate during that month.
(c) A generator who accumulates hazardous waste for more than 90 days is an operator of a storage facility and is subject to the requirements of chapters 14 and 15 of this division and the permit requirements of chapter 20 of this division, unless the generator has been granted an extension to the 90-day period or meets the requirements of subsection (d) or (e) of this section. An extension may be granted pursuant to section 66262.35 if non-RCRA or RCRA exempt hazardous wastes must remain on-site for longer than 90 days. An extension may be granted by the Department if RCRA hazardous wastes must remain onsite for longer than 90 days due to unforeseeable, temporary, and uncontrollable circumstances. An extension of up to 30 days for RCRA hazardous waste may be granted at the discretion of the Department on a case-by-case basis.
(d) Notwithstanding subsections (a) and (c) of this section and section 66262.35, a generator of less than 1,000 kilograms of hazardous waste in any calendar month who accumulates hazardous waste onsite for 180 days or less, or 270 days or less if the generator transports the generator's own waste, or offers the generator's waste for transportation, over a distance of 200 miles or more, for offsite treatment, storage, or disposal, is not a storage facility if all of the following apply:
(1) The quantity of hazardous waste accumulated onsite never exceeds 6,000 kilograms.
(2) The generator complies with the requirements of 40 Code of Federal Regulations section 262.34(d), (e) and (f). 
(3) The generator does not hold acutely hazardous waste or extremely hazardous waste in an amount greater than one kilogram for more than 90 days.
(e)(1) A generator may accumulate as much as 55 gallons of hazardous waste, one quart of acutely hazardous waste (listed in section 66261.33(e)) or one quart of extremely hazardous waste at or near any point of generation, without a permit or grant of interim status, without complying with subsections (a), (b) and (c) of this section, if all of the following requirements are met with respect to this waste:
(A) the waste is accumulated in containers, other than tanks, at the initial accumulation point which is at or near the area where the waste is generated and which is under the control of the operator of the process generating the waste;
(B) the generator does not hold the waste onsite for more than one year from the initial date of accumulation, or for longer than the applicable accumulation period specified in subdivision (a) or (d), whichever occurs first. For purposes of this subdivision, the applicable accumulation period specified in subdivision (a) or (d) shall start on the date the quantity limitation specified in paragraph 1 of subsection (e) of this section is reached:
(C) the initial date of waste accumulation is clearly marked and visible for inspection on each container used for accumulation of hazardous waste;
(D) the generator complies with sections 66265.171, 66265.172, and 66265.173(a) of this division; and
(E) the generator complies with subsections (e)(2), (e)(3) and (f)(3) of this section.
(2) Except as provided in subsections (e)(2)(A) and (e)(2)(B) of this section, a process or group of processes meeting the requirements of subsection (e)(1) of this section, shall be subject to a single 55 gallon or one quart accumulation limit for that process or group of processes.
(A) If not all of the wastestreams generated by a single process or group of processes located within the same physical area are compatible, a separate 55 gallon or one quart limit shall apply to each group of wastestreams that are compatible.
(B) If the generator determines that using only one 55-gallon or one-quart container to initially accumulate specific compatible wastestreams is not practical (e.g., prevents recycling or requires unreasonable accumulation procedures) or safe from an environmental or worker/public health and safety standpoint, the generator may use a separate 55-gallon or one-quart container for those specific compatible wastestreams. The generator's determination shall be subject to review and approval by the Department at any time.
(3) A generator who has accumulated an amount of hazardous waste, acutely hazardous waste or extremely hazardous waste equal to any applicable quantity limitation listed in subsection (e)(1) of this section at or near any point of generation shall, with respect to that waste, comply within three days with subsection (a) of this section and other applicable provisions of this division. During the three day period the generator shall continue to comply with subsection (e)(1) of this section. Within the three day period, the generator shall mark the container holding the hazardous waste with the date the applicable quantity limitation was reached.
(f) Generators who accumulate hazardous waste on site without a permit or grant of interim status shall comply with the following requirements:
(1) the date upon which each period of accumulation begins shall be clearly marked and visible for inspection on each container and portable tank;
(2) the date the applicable accumulation period specified in subsection (a) or (d) of this section begins, for purposes of subsections (a) and (b) of this section, shall be clearly marked and visible for inspection on each container and tank; and
(3) each container and tank used for onsite accumulation of hazardous waste shall be labeled or marked clearly with the words, “Hazardous Waste.” Additionally, all containers and portable tanks shall be labeled with the following information:
(A) composition and physical state of the wastes;
(B) statement or statements which call attention to the particular hazardous properties of the waste (e.g., flammable, reactive, etc.);
(C) name and address of the person producing the waste.
(g) This subsection takes effect on September 5, 2006. Except as provided in Health and Safety Code section 25160.6, subdivision (e), a generator who sends a shipment of hazardous waste to a designated facility with the understanding that the designated facility can accept and manage the waste and later receives that shipment back as a rejected load or residue in accordance with the manifest discrepancy provisions of sections 66264.72 or 66265.72 may accumulate the returned waste onsite for 90 days or less, in accordance with the requirements of paragraph (1) of subsection (a) of this section. Upon receipt of the returned shipment, the generator shall: 
(1) sign Item 18c of the manifest, if the transporter returned the shipment using the original manifest; or 
(2) sign Item 20 of the manifest, if the transporter returned the shipment using a new manifest; 
(3) submit a copy of the signed manifest to the department within 30 days of receipt. Mail the legible manifest copy, specifically the Designated Facility-to- Destination State manifest copy (Page 1 of the manifest as provided in section 66262.21, subsection (d)) to: 

DTSC FACILITY MANIFESTS 
P.O. BOX 3000, SACRAMENTO, CA 
95812-3000 
(h) The generator of the rejected hazardous waste shall label or mark the hazardous waste in a manner that indicates that it is rejected hazardous waste and shall include the date it was received by the generator. If the generator of the rejected hazardous waste commingles it with other hazardous wastes, the shorter of any applicable accumulation time limits shall apply to the commingled hazardous waste. 
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25160.6, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25123.3, 25150, 25159, 25159.5, 25160.6 and 58012, Health and Safety Code; and 40 Code of Federal Regulations Section 262.34.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Designation and amendment of subsection (a)(1)(A), new subsections (a)(1)(B)-(C) and amendment of Note filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
3. Amendment of subsection (a)(1)(B)2, new subsections (a)(1)(C)-(C)ii, subsection redesignation and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(1)(B)2., new subsections (a)(1)(C)-(C)ii, subsection redesignation and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction adding History 4 (Register 95, No. 10).
6. Amendment of  subsection (a)(1)(B)2., new subsections (a)(1)(C)-(C)(ii), subsection relettering and amendment of Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
7. Amendment of  subsection (a)(1)(B)2., new subsections (a)(1)(C)-(C)(ii), subsection relettering and amendment of Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
8. Change without regulatory effect amending subsection (a)(1)(B) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
9. Certificate of Compliance as to 10-24-94 order including amendment of subsection (a)(1)(C) and new designation of subsections (a)(1)(C)(i)-(ii) to (a)(1) (C)1.-2., transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
10. Change without regulatory effect amending subsections (a) and (c), repealing subsections (d)-(d)(2) and adding new sections (d)-(d)(3), and amending subsections (e)(1)(B) and (f)(2) filed 4-3-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 14).
11. Change without regulatory effect amending subsection (a)(1)(C) filed 2-3-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 6).
12. Change without regulatory effect redesignating former subsections (a)(1)(D), (a)(2) and (a)(3) as subsections (a)(2), (a)(3), and (a)(4), respectively, amending newly designated subsection (a)(4), and repealing former subsection (a)(4) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
13. Change without regulatory effect amending subsection (a)(4) filed 10-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 44).
14. Amendment of subsections (a), (c) and (d) filed 10-1-98; operative 10-31-98 (Register 98, No. 40).
15. Change without regulatory effect amending subsections (a)(1)(A)-(B) filed 8-3-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 31).
16. Change without regulatory effect amending subsection (a)(4) filed 9-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 37).
17. Change without regulatory effect amending subsections (a)(1)(A) and (c) filed 1-13-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 2).
18. Change without regulatory effect amending subsection (d)(2), adding subsections (g)-(h) and amending Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66262.35. Extension(s) to Accumulation Time.
Note     •     History

(a) A generator may accumulate non-RCRA or RCRA exempt hazardous waste for longer than the time periods specified in Section 66262.34(a) or (d) under the following conditions:
(1) if hazardous wastes must remain onsite for longer than the applicable time specified in section 66262.34(a) or (d) due to unforeseeable, temporary, and uncontrollable circumstances, a one-time extension of up to 90 days is automatically granted if all of the following conditions are met.
(A) The generator submits a letter, by certified mail with return receipt requested, to the Certified Unified Program Agency (CUPA) notifying the CUPA of the extension. If the generator is located in a jurisdiction with no CUPA, then the notification letter shall be submitted to the officer or agency authorized pursuant to subdivision (f) of Health and Safety Code Section 25404.3 to implement and enforce the requirements of Health and Safety Code Section 25404(c)(1). The letter shall be received by the CUPA or authorized officer or agency prior to the generator exceeding the applicable time specified in section 66262.34(a) or (d). In the letter the generator shall provide all of the following information:
1. A certification signed by the generator certifying that:
a. the eligibility requirements and the conditions for the extension are met; and
b. hazardous waste is not accumulated in waste piles; and
c. where hazardous waste is accumulated in tank systems, the generator complies with Title 22, CCR, chapter 15, article 10, sections 66265.190 through 66265.200, except 66265.197(c); and
d. where hazardous waste is accumulated in containers, the generator complies with Title 22, CCR, chapter 15, article 9, sections 66265.170 through 66265.177; and
e. where hazardous waste is accumulated on drip pads, the generator complies with Title 22, CCR, chapter 15, article 17.5 sections 66265.440 through 66265.445; and
f. where hazardous waste is accumulated in containment buildings, the generator complies with Title 22, CCR, chapter 15, article 29, sections 66265.1100 through 66265.1102; and
g. hazardous waste will be managed in accordance with all requirements of chapters 14 and 15 of this Division applicable to generators, except those specifically excluded elsewhere in this section.
2. Name, mailing address, and telephone number of the generator or the facility owner or operator.
3. Generator or the facility owner/operator name and address or legal description of the site location, and EPA ID number.
4. A detailed explanation of why the extension is needed. This shall include at a minimum: a description of the hazardous wastestream(s) for which the extension is being requested, the maximum quantity to be stored over the applicable time limits specified in Section 66262.34(a) or (d), an explanation of how the wastestream is generated, and the start and end dates of the 90 day extension period.
(B) All generators authorized by the Department with a permit, Standardized Permit, or grant of Interim Status shall simultaneously submit to the Department a copy of the letter submitted to the CUPA, or, if there is no CUPA, to the agency authorized pursuant to subdivision (f) of HSC Section 25404.3. The letter shall certify that the eligibility requirements and the conditions for the extension are met and that the hazardous waste will be managed in accordance with the applicable requirements of Title 22.
(C) Upon request by a CUPA, or the authorized officer or agency, the generator shall provide all documents, operating logs, reports, or any other information that supports the claim of necessity for the extension or relates to the management of the hazardous waste for which the extension is requested.
(2) One or more 90-day extension(s) may be granted at the discretion of the CUPA, or if no CUPA then at the discretion of the authorized officer or agency in that jurisdiction, on a case-by-case basis if all of the following conditions are met:
(A) The generator submits a letter, by certified mail with return receipt requested, to the CUPA, or if no CUPA then to the authorized officer or agency in that jurisdiction, requesting the extension. The letter shall be received by the CUPA or authorized officer or agency prior to the generator exceeding the accumulation time specified in Section 66262.34(a) or (d). In the letter the generator shall provide the information and certification listed in (a)(1)(A).
(B) The hazardous waste is not accumulated in waste piles.
(C) The generator meets one of the following circumstances:
1. There is a lack of offsite treatment capacity, offsite disposal capacity, or a treatment process for the generator's hazardous waste. The generator must submit documentation to the CUPA, or if no CUPA then to the authorized officer or agency in that jurisdiction, verifying attempts to locate an appropriate offsite treatment or disposal facility for the hazardous waste and list the names, addresses, and phone numbers of all the disposal and or treatment facilities that have been contacted.
2. Longer accumulation time is needed by the generator to treat its hazardous waste onsite. The speculative accumulation of hazardous waste is not sufficient reason for an extension.
3. An extension is needed because the onsite cleanup activity requires longer accumulation time (e.g., delays in clean up due to weather conditions).
4. An extension is needed because there was an emergency (e.g., mechanical failure, fire, etc.) at the business.
5. Generators that have already qualified for one 90-day extension beyond the applicable time specified in Section 66262.34(a) or (d) under section (a)(1)(A) above, but still require more time due to unforeseeable, temporary, and uncontrollable circumstances.
6. Other good cause as determined by the CUPA, or if no CUPA then by the authorized officer or agency in that jurisdiction.
(D) Upon request by a CUPA, or if no CUPA then by the authorized officer or agency in that jurisdiction, the generator shall provide all documents, operating logs, reports, or any other information that supports the claim of necessity for the extension or relates to the management of the hazardous waste for which the extension is requested.
(3) In the event of a disaster, the Department may grant an emergency waiver allowing a 90-day extension to the generators within the geographic location of the disaster if the following conditions are met:
(A) The hazardous waste must be accumulated in tank systems that comply with the technical standards of Title 22, CCR, chapter 15, article 10, or containers that comply with the technical standards of Title 22, CCR, chapter 15, article 9, or placed on drip pads and the generator complies with Title 22, CCR, chapter 15, article 17.5, or placed in containment buildings and the generator complies with article 29 of chapter 15 of Title 22, CCR. Hazardous waste accumulated in waste piles shall not be eligible for this extension.
(B) The emergency waiver shall only be activated when there has been a proclamation of a state of emergency by the federal, state, or local government for the geographic location (e.g., city or county).
(C) The Department shall issue a press release specifying which particular geographic location (e.g., city, county) will be granted an emergency waiver.
(D) The Department may further extend the effective period of the emergency waiver, as necessary, to assist the recovery process from the disaster. This extension shall also be announced through a press release.
(E) Upon request by the Department, a CUPA, or if no CUPA then by the authorized officer or agency in that jurisdiction, the generator shall provide all documents, operating logs, reports, or any other information that supports the claim of necessity for the extension or relates to the management of the hazardous waste for which the extension is requested.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code. Reference: Sections 25123.3, 25150, 25159, 25159.5 and 58012, Health and Safety Code.
HISTORY

1. New section filed 10-1-98; operative 10-31-98 (Register 98, No. 40).
Article 4. Recordkeeping and Reporting
§66262.40. Recordkeeping.
Note     •     History

(a) A generator shall keep a copy of each manifest signed in accordance with section 66262.23(a) for three years or until the generator receives a signed copy from the designated facility which received the waste. This signed copy shall be retained as a record for at least three years from the date the waste was accepted by the initial transporter.
(b) A generator shall keep a copy of each Biennial Report and Exception Report for a period of at least three years from the due date of the report.
(c) A generator shall keep records of any test results, waste analyses, or other determinations made in accordance with section 66262.11 for at least three years from the date that the waste was last sent to on-site or off-site treatment, storage, or disposal.
(d) The periods or retention referred to in this section are extended automatically during the course of any unresolved enforcement action regarding the regulated activity or as requested by the USEPA Administrator or the Department.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25160, Health and Safety Code; 40 CFR Section 262.40.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66262.41. Biennial Report.
Note     •     History

(a) For the Biennial report on 1995 activities, only generators that are required under Title 40 of the Code of Federal Regulations (CFR), section 262.41 to prepare and submit this report are subject to this section. This report, due on March 1, 1996 is to be submitted on U.S. EPA form 8700-13A/B (5-80) (8-95) provided by the Department. Generators required to submit this report for activities conducted during 1995 are generators which meet any of the following criteria:
(1) The site generated in any single month 1,000 kg (2,200 lbs) or more of RCRA hazardous waste; or
(2) The site generated in any single month, or accumulated at any time, 1 kg (2.2 lbs) of RCRA acute hazardous waste; or
(3) The site generated or accumulated at any time more than 100 kg (220 lbs) of spill cleanup materials contaminated with RCRA acute hazardous waste; or
(4) The site treated, stored, or disposed of RCRA hazardous waste on site in units subject to RCRA permitting requirements during 1995.
(b) A generator who ships any hazardous waste offsite to a transfer, treatment, storage or disposal facility within the United States shall prepare and submit a single copy of a Biennial Report, EPA Form 8700-13A/B, 5-80, (Revised 11-89) to the Department by March 1 of each even-numbered year. The Biennial Report shall be submitted on forms provided by the Department and shall cover generator activities during the previous calendar year, and shall include the following information:
(1) the identification number, name and address of the generator;
(2) the calendar year covered by the report;
(3) the identification number, name and address for each off-site transfer, treatment, storage or disposal facility in the United States to which waste was shipped during the year;
(4) the name and Identification Number of each transporter used during the reporting year for shipments to a transfer, treatment, storage or disposal facility within the United States;
(5) a description, EPA hazardous waste number (from chapter 11, articles 3 or 4 of this division), California Hazardous Waste Category Number, from chapter 11, Appendix XII, DOT hazard class, and quantity of each hazardous waste shipped offsite to a transfer, treatment, storage or disposal facility within the United States. This information shall be listed by identification number of each such offsite facility to which waste was shipped. Wastes that are classified as non-RCRA hazardous wastes can be properly described by indicating a generic name of the waste and the phrase “Non-RCRA Hazardous Waste, Solid” or “Non-RCRA Hazardous Waste, Liquid” for solid or liquid wastes, respectively. When possible, the generic name shall be obtained from chapter 11, Appendix X, subdivision (e) of this division. If not listed, the commonly recognized industrial name of the waste shall be used;
(6) a description of the efforts undertaken during the year to reduce the volume and toxicity of waste generated;
(7) a description of the changes in volume and toxicity of waste actually achieved during the year in comparison to previous years to the extent such information is available for years prior to 1984;
(8) the certification signed by the generator or authorized representative.
(c) Any generator who treats, stores or disposes of hazardous waste onsite shall submit an annual report covering those wastes in accordance with the provisions of chapters 20, 14, 15 and 16 of this division. Reporting for exports of hazardous waste is not required on the Biennial Report form. A separate annual report requirement is set forth in section 66262.56.
(d) Additional information concerning the quantities and disposition of wastes identified or listed in chapter 11 shall be required as needed by the Department or USEPA Administrator.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25159, 25159.5, 25160 and 25244.4, Health and Safety Code; 40 CFR Section 262.41.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Editorial correction of printing error in subsection (a)(5) (Register 92, No. 49).
3. New subsections (a)-(a)(4) and subsection relettering filed 3-5-97; operative 4-4-97 (Register 97, No. 10).
4. Change without regulatory effect amending subsection (a) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66262.42. Exception Reporting.
Note     •     History

(a) A generator who does not receive a copy of the manifest with the handwritten signature of the owner or operator of the designated facility within 35 days of the date the waste was accepted by the initial transporter shall contact the transporter and/or the owner or operator of the designated facility to determine the status of the hazardous waste.
(b) A generator shall submit an Exception Report to the Department if the generator has not received a copy of the manifest with the handwritten signature of the owner or operator of the designated facility within 45 days of the date the waste was accepted by the initial transporter. The Exception Report shall include:
(1) a legible copy of the manifest for which the generator does not have confirmation of delivery;
(2) a cover letter signed by the generator or the generator's authorized representative explaining the efforts taken to locate the hazardous waste and the results of those efforts.
(c) A generator meeting the requirements of paragraph (1) of Health and Safety Code section 25123.3, subdivision (h) who does not receive a copy of the manifest with the handwritten signature of the owner or operator of the facility to which the generator's waste is submitted, within 60 days from the date that the hazardous waste was accepted by the initial transporter, shall submit to the department a legible copy of the manifest, with some indication that the generator has not received confirmation of delivery. 
(d) Generators shall submit the exception report or information to the department at: 

DTSC REPORT REPOSITORY 
GENERATOR INFORMATION SERVICES SECTION 
P.O. BOX 806 
SACRAMENTO, CA 95812-0806 
NOTE

Authority cited: Sections 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25123.3(h), 25159, 25159.5 and 25160, Health and Safety Code; and 40 Code of Federal Regulations Section 262.42.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding subsections (c)-(d) and amending Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66262.43. Additional Reporting.
Note     •     History

The Department may require generators to furnish additional reports concerning the quantities and disposition of wastes identified or listed in chapter 11 of this division.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 262.43.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66262.44. Reporting Hazardous Wastes of Concern Discovered by the Generator to be Missing.
Note     •     History

(a) Generators, including those operating under a Permit by Rule, Conditional Authorization, or Conditional Exemption, shall comply with reporting requirements set forth in this section, in the event that a hazardous waste of concern, as defined in section 66261.111(a), is discovered to be missing during storage including generator accumulation areas within the facility, and the waste at issue represents a reportable quantity or a reportable difference in type, as specified in section 66261.111(b) and (c).
(b) Upon discovering that a hazardous waste of concern is missing, and the waste at issue represents a reportable quantity or a reportable difference in type, the generator shall immediately attempt to reconcile the reportable quantity or difference (e.g., by reviewing facility records). If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, the owner or operator shall immediately notify the Department by calling 1-800-69-TOXIC (1-800-698-6942) and provide the following information:
(1) Generator name and identification number;
(2) Waste information (information that is typically provided on the manifest or as detailed on a material safety data sheet), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (as listed in Table I of the Appendix to Chapter 12), quantity or volume of waste at issue, weight or volume units, and waste codes; and
(3) Potential locations or transportation routes where the hazardous waste of concern may have become missing (e.g., areas at the facility where the waste was handled, stored or transported within the facility).
(c) If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, in addition to complying with subsection (b), within 5 days after the reportable quantity or difference was discovered, the generator shall submit to the Department a letter describing the reportable quantity or difference and attempts to reconcile it, and a copy of the manifest.
(1) If the hazardous waste generator is located in the counties of Los Angeles, Ventura, Santa Barbara, San Bernardino, Orange, Riverside, San Diego, or Imperial, submit the letter to: 

COMPLAINT COORDINATOR
DEPARTMENT OF TOXIC SUBSTANCES CONTROL
ENFORCEMENT AND EMERGENCY RESPONSE PROGRAM
9211 OAKDALE AVENUE
CHATSWORTH, CA 91311-6505
(2) If the hazardous waste generator is located in any other county, submit the letter to the Complaint Coordinator, Department of Toxic Substances Control, Statewide Compliance Division, Northern California Branch, 8800 Cal Center Drive, Sacramento, California 95826-3200.
(d) Generators that handle hazardous wastes of concern will identify themselves as such when complying with Health and Safety Code section 25205.16.
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25150, 25169.7 and 58012, Health and Safety Code.
HISTORY

1. New section filed 12-27-2005; operative 1-26-2006 (Register 2005, No. 52).
2. Change without regulatory effect amending subsection (c)(1) filed 5-25-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 22).
§66262.45. Certification Requirements for the Generator.
Note     •     History

(a) A generator who operates or authorizes the operation of a transportable treatment unit (TTU) to treat hazardous waste on-site as specified in section 67450.3(a)(8)(A) shall sign a certification stating:
(1) The generator of the waste has established a program to reduce the volume, quantity and toxicity of the hazardous waste to the degree, determined by the generator, to be economically practicable; and
(2) The proposed method of treatment is that practicable method currently available to the generator which minimizes the present and future threat to human health and the environment.
(b) A generator who operates a TTU to treat waste on-site shall include the certification with each notification required by section 67450.3(a)(3). A generator who authorizes an independent TTU owner or operator to treat waste on-site shall provide the certification to the TTU owner or operator.
(c) A generator who operates a fixed treatment (FTU) to treat hazardous waste on-site as specified in section 67450.3 shall sign, and provide with each notification required in sections 67450.2(b)(3)(H) and 67450.3(c), a certification stating:
(1) The generator of the waste has established a program to reduce the volume and quantity and toxicity of the hazardous waste to the degree, determined by the generator, to be economically practicable; and
(2) The proposed method of treatment is that practicable method currently available to the generator which minimizes the present and future threat to human health and the environment.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150 and 25202.9, Health and Safety Code.
HISTORY

1. New section filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
§66262.47. Operating Limits for Generators Using Transportable Treatment Units Operating Pursuant to a Permit by Rule.
Note     •     History

A generator who treats or authorizes the treatment of hazardous waste with a transportable treatment unit (TTU) pursuant to section 67450.3(a)(8)(A) shall not allow any TTU or combination of TTUs to be operated on-site for more than one year, unless DTSC authorizes an extension to the TTU company pursuant to section 67450.3(a)(8)(A).
NOTE

Authority cited: Sections 25150, 58004 and 58012, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
2. Change without regulatory effect amending section and Note filed 3-26-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 13).
Article 5. Exports of Hazardous Waste
§66262.50. Applicability.
Note     •     History

This article establishes requirements applicable to exports of hazardous waste to a foreign country from the State. Except to the extent 40 CFR section 262.58 provides otherwise, a primary exporter of hazardous waste shall comply with the requirements of this article and a transporter transporting hazardous waste for export shall comply with applicable requirements of chapter 13 of this division.
NOTE

Authority cited: Sections 208, 25150.2 and 25159, Health and Safety Code. Reference: Sections 25150.2, 25159, 25159.5 and 25162, Health and Safety Code, 40 CFR Section 262.50.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66262.52. General Requirements.
Note     •     History

Exports of hazardous waste to a foreign country from the State are prohibited except in compliance with the applicable requirements of this article and of chapter 13 of this division. Exports of hazardous waste are prohibited unless:
(a) notification in accordance with section 66262.53 has been provided;
(b) for RCRA hazardous waste, the receiving country has consented to accept the hazardous waste;
(c) for RCRA hazardous waste, a copy of the EPA Acknowledgment of Consent to the shipment accompanies the hazardous waste shipment and, unless exported by rail, is attached to the manifest (or shipping paper for exports by water (bulk shipment));
(d) for RCRA hazardous waste, the hazardous waste shipment conforms to the terms of the receiving country's written consent as reflected in the EPA Acknowledgment of Consent.
NOTE

Authority cited: Sections 208, 25150.2 and 25159, Health and Safety Code. Reference: Sections 25150.2, 25159, 25159.5 and 25162, Health and Safety Code, 40 CFR Section 262.52.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66262.53. Notification of Intent to Export.
Note     •     History

(a) A primary exporter of RCRA hazardous waste shall concurrently notify U.S. EPA and send a copy of that notification to the Department of an intended export before such waste is scheduled to leave the United States. A complete notification shall be submitted sixty (60) days before the initial shipment is intended to be shipped off site. This notification shall cover export activities extending over a twelve (12) month or lesser period. The notification shall be in writing, signed by the primary exporter, and include the following information:
(1) name, mailing address, telephone number and ID number of the primary exporter;
(2) by consignee, for each hazardous waste type:
(A) a description of the hazardous waste and the EPA hazardous waste number, if applicable, (from chapter 11, articles 3 and 4), California Hazardous Waste Code Number (from chapter 11, Appendix XII), U.S. DOT proper shipping name, hazard class and ID number (UN/NA) for each hazardous waste as identified in 49 Code of Federal Regulations Parts 171 through 177;
(B) the estimated frequency or rate at which such waste is to be exported and the period of time over which such waste is to be exported;
(C) the estimated total quantity of the hazardous waste in units as specified in the instructions to the Uniform Hazardous Waste Manifest Form in the appendix to chapter 12;
(D) all points of entry to and departure from each foreign country through which the hazardous waste will pass;
(E) a description of the means by which each shipment of the hazardous waste will be transported (e.g., mode of transportation vehicle (air, highway, rail, water, etc.), type(s) of container (drums, boxes, tanks, etc.));
(F) a description of the manner in which the hazardous waste will be treated, stored or disposed of in the receiving country (e.g., land or ocean incineration, other land disposal, ocean dumping, recycling);
(G) the name and site address of the consignee and any alternate consignee; and
(H) the name of any transit countries through which the hazardous waste will be sent and a description of the approximate length of time the hazardous waste will remain in such country and the nature of its handling while there.
(b) A primary exporter of non-RCRA hazardous waste shall notify the Department of an intended export before such waste is scheduled to leave the United States. A complete notification shall be submitted four weeks before the initial shipment is intended to be shipped off site. This notification shall cover export activities extending over a twelve (12) month or lesser period. The notification shall be in writing, signed by the primary exporter, and include all the information required by subsections 66262.53(a)(1) and (2).
(c) Notifications submitted by mail for RCRA hazardous waste exports shall be sent to the following mailing address: Office of Enforcement and Compliance Assurance, Enforcement Planning, Targeting, and Data Division (2222A), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW, Washington, DC 20460. Hand delivered notifications should be sent to: Office of Enforcement and Compliance Assurance, Enforcement Planning, Targeting, and Data Division (2222A), Environmental Protection Agency, Ariel Rios Bldg., 1200 Pennsylvania Ave., NW, Pennsylvania Avenue, NW, Washington, DC 20460. In both cases the following shall be prominently displayed on the front of the envelope: “Attention: Notification for Intent to Export.” In addition, a copy of the notification shall be sent to the Import/Export Coordinator, Department of Toxic Substances Control, Hazardous Waste Management Program, Statewide Compliance Division, Chatsworth Regional Office, 9211 Oakdale Avenue, Chatsworth, CA 91311-6505. Notwithstanding any other provision of law or regulation, notifications for non-RCRA hazardous waste exports shall only be sent to the Department.
(d) When the conditions specified on the original notification change (including any exceedance of the estimate of the quantity of hazardous waste specified in the original notification), the primary exporter shall provide EPA and the Department with a written renotification of the change, except for changes to the telephone number in subsection (a)(1) of this section, changes to subsection (a)(2)(E) of this section and decreases in the quantity indicated pursuant to subsection (a)(2)(C) of this section. The shipment cannot take place until consent of the receiving country to the changes (except for changes to subsection (a)(2)(H) of this section and in the ports of entry to and departure from transit countries  pursuant to subsection (a)(2)(D) of this section) has been obtained and the primary exporter receives an EPA Acknowledgment of Consent reflecting the receiving country's consent to the changes.
(e) Upon request by EPA, a primary exporter shall furnish to EPA any additional information which a receiving country requests in order to respond to a notification.
(f) In conjunction with the Department of State, EPA will provide a complete notification to the receiving country and any transit countries. A notification is complete when EPA receives a notification which EPA determines satisfies the requirements of section 66262.53(a). Where a claim of confidentiality is asserted with respect to any notification information required by section 66262.53(a), EPA may find the notification not complete until any such claim is resolved in accordance with section 66260.2.
(g) Where the receiving country consents to the receipt of the hazardous waste, EPA will forward an EPA Acknowledgment of Consent to the primary exporter for purposes of section 66262.54(h). Where the receiving country objects to receipt of the hazardous waste or withdraws a prior consent, EPA will notify the primary exporter in writing. EPA will also notify the primary exporter of any responses from transit countries.
NOTE

Authority cited: Sections 25150.2 and 25159, Health and Safety Code. Reference: Sections 25150.2, 25159, 25159.5 and 25162, Health and Safety Code; and 40 Code of Federal Regulations Section 262.53.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Editorial correction of printing error in subsection (c) (Register 92, No. 49).
3. Change without regulatory effect amending subsection (c) filed 3-12-93; operative 3-12-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 11).
4. Change without regulatory effect amending subsection (c) filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
5. Change without regulatory effect amending subsection (a) (2)(C) filed 8-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 35).
6. Change without regulatory effect amending subsection (b) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
7. Change without regulatory effect amending subsections (a), (a)(2)(A), (a)(2)(C) and (c) and amending Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
8. Change without regulatory effect amending subsection (c) filed 11-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 47).
§66262.54. Special Manifest Requirements.
Note     •     History

A primary exporter shall comply with the manifest requirements of sections 66262.20 through 66262.23 except that:
(a) in lieu of the name, site address and ID number of the designated permitted facility, the primary exporter shall enter the name and site address of the consignee;
(b) in lieu of the name, site address and ID number of a permitted alternate facility, the primary exporter may enter the name and site address of any alternate consignee;
(c) for shipments initiated before September 5, 2006, in Special Handling Instructions and Additional Information, the primary exporter shall identify the point of departure from the United States.
For shipments initiated on and after September 5, 2006, in the International Shipments block, the primary exporter shall check the export box and enter the point of exit (city and State) from the United States. 
(d) for shipments initiated before September 5, 2006, for RCRA hazardous waste, the following statement shall be added to the end of the first sentence of the certification set forth in Item 16 of the Uniform Hazardous Waste Manifest Form: “and conforms to the terms of the attached EPA Acknowledgment of Consent”.
For shipments initiated on and after September 5, 2006, this statement will be entered in Item 15; 
(e) for shipments initiated before September 5, 2006, in lieu of the requirements of section 66262.21, the primary exporter shall obtain the manifest form from the Department.
For shipments initiated on and after September 5, 2006, the primary exporter may obtain the manifest from any source that is registered with the U.S. EPA as a supplier of manifests (e.g., states, waste handlers, and/or commercial forms printers). 
(f) the primary exporter shall require the consignee to confirm in writing the delivery of the hazardous waste to that facility and to describe any significant discrepancies (as defined in section 66264.72(a)) between the manifest and the shipment. A copy of the manifest signed by such facility may be used to confirm delivery of the hazardous waste;
(g) in lieu of the requirements of section 66262.20(d), where a shipment cannot be delivered for any reason to the designated or alternate consignee, the primary exporter shall:
(1) renotify US EPA for RCRA hazardous waste and the Department for both RCRA hazardous waste and non-RCRA hazardous waste of a change in the conditions of the original notification to allow shipment to a new consignee in accordance with section 66262.53(c) or
(2) instruct the transporter to return the waste to the primary exporter in the United States or designate another facility within the United States; and
(3) instruct the transporter to revise the manifest in accordance with the primary exporter's instructions;
(h) for RCRA hazardous waste, the primary exporter shall attach a copy of the EPA Acknowledgment of Consent to the shipment to the manifest which shall accompany the hazardous waste shipment. For exports by rail or water (bulk shipment), the primary exporter shall provide the transporter with an EPA Acknowledgment of Consent which shall accompany the hazardous waste but which need not be attached to the manifest except that for exports by water (bulk shipment) the primary exporter shall attach the copy of the EPA Acknowledgment of Consent to the shipping paper;
(i) for RCRA hazardous waste, the primary exporter shall provide the transporter with an additional copy of the manifest for delivery to the U.S. Customs official at the point the hazardous waste leaves the United States in accordance with section 66263.20(j)(4).
NOTE

Authority cited: Sections 25150.2, 25159 and 58012, Health and Safety Code. Reference: Sections 25150.2, 25159, 25159.5 and 25162, Health and Safety Code; and 40 Code of Federal Regulations Section 262.54.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (f) filed 4-4-2002 as an emergency; operative 4-4-2002 (Register 2002, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (f) refiled 8-1-2002 as an emergency; operative 8-1-2002 (Register 2002, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-2-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (f) refiled 12-2-2002 as an emergency; operative 12-3-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (f) refiled 4-1-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
6. Repealer of 4-1-2003 order and amendment of Note filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
7. Change without regulatory effect amending subsections (c)-(e) and amending Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66262.55. Exception Reports for Exportors.
Note     •     History

(a) In lieu of the requirements of section 66262.42, a primary exporter shall file an exception report with the U.S. EPA Administrator and the Department for RCRA hazardous waste, or with the Department for non-RCRA hazardous waste, if:
(1) the primary exporter has not received a copy of the manifest signed by the transporter stating the date and place of departure from the United States within forty-five (45) days from the date it was accepted by the initial transporter;
(2) within ninety (90) days from the date the waste was accepted by the initial transporter, the primary exporter has not received written confirmation from the consignee that the hazardous waste was received;
(3) the waste is returned to the United States.
(b) For exports by water to foreign countries, if the generator has not received a copy of the manifest signed by all transporters and the facility operator 60 days after the initial shipment, the generator shall contact the owner or operator of the designated facility to determine the status of the hazardous waste and to request that the owner or operator immediately provide a signed copy of the manifest to the generator. 
(c) The primary exporter shall submit the exception report to the department at: 

DTSC REPORT REPOSITORY 
GENERATOR INFORMATION SERVICES SECTION 
P.O. BOX 806 
SACRAMENTO, CA 95812-0806 
NOTE

Authority cited: Sections 25150.2 and 25159, Health and Safety Code. Reference: Sections 25150.2, 25159, 25159.5, 25160 and 25162, Health and Safety Code; and 40 Code of Federal Regulations Section 262.55.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending section heading, section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66262.56. Annual Export Reports.
Note     •     History

(a) Primary exporters of hazardous waste shall file with the U.S. EPA Administrator and the Department no later than March 1 of each year, a report summarizing the types, quantities, frequency, and ultimate destination of all hazardous waste exported to a foreign country from the State during the previous calendar year. Such reports shall include the following:
(1) the Identification Number, name, and mailing and site address of the exporter;
(2) the calendar year covered by the report;
(3) the name and site address of each consignee;
(4) by consignee, for each hazardous waste exported, a description of the hazardous waste, the EPA hazardous waste number, if applicable (from chapter 11, articles 3 and 4), the California Hazardous Waste Code Number (from chapter 11, Appendix XII), DOT hazard class, the name and ID Number (where applicable) for each transporter used, the total amount of waste shipped and number of shipments pursuant to each notification;
(5) unless provided pursuant to section 66262.41, in even numbered years:
(A) a description of the efforts undertaken during the year to reduce the volume and toxicity of waste generated; and
(B) a description of the changes in volume and toxicity of waste actually achieved during the year in comparison to previous years to the extent such information is available for years prior to 1984;
(6) a certification signed by the primary exporter which states:
I certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information including the possibility of fine and imprisonment.
(b) Annual reports submitted by mail shall be sent to the following mailing address: Office of Enforcement and Compliance Assurance, Enforcement Planning, Targeting, and Data Division (2222A), U.S. Environmental Protection Agency, 1200 Pennsylvania Avenue, NW, Washington, D.C. 20460. Hand delivered notifications should be sent to: Office of Enforcement and Compliance Assurance, Enforcement Planning, Targeting, and Data Division (2222A), U.S. Environmental Protection Agency, Ariel Rios Bldg., 1200 Pennsylvania Avenue, NW, Washington, DC 20460. A copy of each report shall be sent to the Department at the following address: Import/Export Coordinator, Department of Toxic Substances Control, Hazardous Waste Management Program, Statewide Compliance Division, Chatsworth Regional Office, 9211 Oakdale Avenue, Chatsworth, CA 91311-6505.
NOTE

Authority cited: Sections 25150.2 and 25159, Health and Safety Code. Reference: Sections 25150.2, 25159, 25159.5 and 25162, Health and Safety Code; and 40 Code of Federal Regulations Section 262.56.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (b)  filed 4-19-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 17).
3. Change without regulatory effect amending subsection (b) filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
4. Change without regulatory effect amending section heading, subsections (a), (a)(4) and (b) and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
5. Change without regulatory effect amending subsection (b) filed 11-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 47).
§66262.57. Recordkeeping.
Note     •     History

(a) For all hazardous waste exports to a foreign country from the State a primary exporter shall:
(1) keep a copy of each notification of intent to export for both RCRA hazardous waste and non-RCRA hazardous waste for a period of at least three years from the date the hazardous waste was accepted by the initial transporter;
(2) for RCRA hazardous waste, keep a copy of each EPA Acknowledgment of Consent for a period of at least three years from the date the hazardous waste was accepted by the initial transporter;
(3) keep a copy of each confirmation of delivery of the hazardous waste from the consignee for at least three years from the date the hazardous waste was accepted by the initial transporter; and
(4) keep a copy of each annual report for a period of at least three years from the due date of the report.
(b) The periods of retention referred to in this section are extended automatically during the course of any unresolved enforcement action regarding the regulated activity or as requested by the USEPA Administrator or the Department.
NOTE

Authority cited: Sections 208, 25150.2 and 25159, Health and Safety Code. Reference: Sections 25150.2, 25159, 25159.5 and 25162, Health and Safety Code, 40 CFR Section 262.57.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66262.58. International Agreements.
Note     •     History

(a) Any person who exports or imports hazardous waste subject to the Federal manifesting requirements of 40 CFR Part 262, or subject to universal waste management standards of 40 CFR Part 273, to or from designated member countries of the Organization for Economic Cooperation and Development (OECD) as defined in 40 CFR section 262.58(a)(1) or subsection (a)(1) of this section for purposes of recovery of hazardous waste is subject to the requirements of 40 CFR Part 262, Subpart H or this article. The requirements of 40 CFR Part 262, Subparts E and F or articles 5 and 6 of this chapter do not apply.
(1) For the purposes of 40 CFR Part 262, Subpart H or this article, the designated OECD countries consist of Australia, Austria, Belgium, Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg, Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, United Kingdom, and the United States.
(2) For the purposes of 40 CFR Part 262, Subpart H or this article, Canada and Mexico are considered OECD member countries only for the purposes of transit.
(b) Any person who exports hazardous waste to or imports hazardous waste from: a designated OECD member country for purposes other than recovery (e.g., incineration, disposal), Mexico (for any purpose), or Canada (for any purpose) remains subject to the requirements of 40 CFR Part 262, Subparts E and F or articles 4 and 5 of this chapter.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 262.58.
HISTORY

1. Change without regulatory effect adding new section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
2. Change without regulatory effect amending subsection (a) and Note filed 11-30-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
Article 6. Imports of Hazardous Waste
§66262.60. Imports of Hazardous Waste.
Note     •     History

(a) Any person who imports hazardous waste from a foreign country to a designated facility within the State shall comply with the requirements of this chapter and the special requirements of this article.
(b) When importing hazardous waste, a person shall meet all the requirements of section 66262.20(a) for the manifest except that:
(1) in place of the generator's name, address and Identification Number, the name and address of the foreign generator and the importer's name, address and Identification Number shall be used;
(2) in place of the generator's signature on the certification statement, the U.S. importer or the importer's agent shall sign and date the certification and obtain the signature of the initial transporter;
(3) for shipments initiated before September 5, 2006, a person importing hazardous waste into California for shipment to a facility outside of the State shall use:
(A) for persons importing RCRA hazardous waste or material regulated as hazardous waste in the receiving state, the Uniform Hazardous Waste Manifest required by the receiving state; or
(B) for non-RCRA hazardous waste not regulated as hazardous waste by the receiving state, the California Uniform Hazardous Waste Manifest (DTSC 8022A, revised 4/97).
(c) For shipments initiated before September 5, 2006, a person who imports hazardous waste shall obtain the manifest form from the Department.
For shipments initiated on and after September 5, 2006, a person who imports hazardous waste may obtain the manifest form from any source that is registered with the U.S. EPA as a supplier of manifests (e.g., states, waste handlers, and/or commercial forms printers). 
(d) For shipments initiated on and after September 5, 2006, in the International Shipments block, the importer shall check the import box and enter the point of entry (city and State) into the United States. 
(e) The importer shall provide the transporter with an additional copy of the manifest to be submitted by the receiving facility to U.S. EPA in accordance with sections 66264.71 subsection (a)(3) and 66265.71 subsection (a)(3) of this division and 40 Code of Federal Regulations sections 264.71(a)(3) and 265.71(a)(3). 
NOTE

Authority cited: Sections 25150.2 and 25159, Health and Safety Code. Reference: Sections 25150.2, 25159, and 25159.5, Health and Safety Code; and 40 Code of Federal Regulations Section 262.60.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (b)(3)(B) filed 8-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 35).
3. Change without regulatory effect amending subsections (b)(3) and (c), adding subsections (d)-(e) and amending Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
Article 7. Farmers
§66262.70. Farmers.
Note     •     History

(a) Waste pesticide, which meets the definition of hazardous waste, including rinsate generated pursuant to subsection (b) of this section, generated as part of a commercial farming operation is not required to be managed in compliance with the standards in this chapter or chapters 14, 15, 18 or 20 of this division, provided the waste pesticide is applied as part of a commercial farming operation in a manner consistent with the use instructions on the pesticide label.
(b) Pesticide containers, or inner liners from pesticide containers, generated by a commercial farming operation shall not be regulated as hazardous waste if the container or inner liner is emptied by removing all of the contents that can be removed by draining, pouring, pumping or aspirating, and the container or inner liner is triple rinsed with a liquid capable of dissolving the pesticide which the container held; and
(1) the container or inner liner is punctured, shredded, crushed or otherwise similarly changed so as to prevent subsequent use or reuse, and is disposed of; or
(2) the container is punctured, shredded, crushed or otherwise similarly changed so as to prevent subsequent use or reuse, and is recycled by reclaiming its scrap value; or
(3) the container is reused in accordance with the provision of Health and Safety Code section 25143.2(d)(6).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code, 40 CFR section 262.70 and 40 CFR section 261.7.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect relocating appendix to end of chapter filed 4-21-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 16).
Article 8. Transfrontier Shipments of Hazardous Waste for Recovery Within the OECD
§66262.80. Applicability.
Note     •     History

(a) The requirements of 40 CFR Part 262, Subpart H or this article apply to imports and exports of wastes that are considered hazardous under U.S. national procedures and are destined for recovery operations in the countries listed in 40 CFR section 262.58(a)(1) or section 66262.58(a)(1). A waste is considered hazardous under U.S. national procedures if it meets the federal definition of hazardous waste in 40 CFR section 261.3 and it is subject to either the Federal manifesting requirements of 40 CFR Part 262, or to the universal waste management standards of 40 CFR Part 273. 
(b) Any person (notifier, consignee, or recovery facility operator) who mixes two or more wastes (including hazardous and non-hazardous wastes) or otherwise subjects two or more wastes (including hazardous and non-hazardous wastes) to physical or chemical transformation operations, and thereby creates a new hazardous waste, becomes a generator and assumes all subsequent generator duties under RCRA and any notifier duties, if applicable, under 40 CFR Part 262, Subpart H or this article.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 262.80.
HISTORY

1. Change without regulatory effect adding new article 8 (sections 66262.80-66262.89) and section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
§66262.81. Definitions.
Note     •     History

The following definitions apply to 40 CFR Part 262, Subpart H or this article.
(a) “Competent authorities” means the regulatory authorities of concerned countries having jurisdiction over transfrontier movements of wastes destined for recovery operations.
(b) “Concerned countries” means the exporting and importing OECD member countries and any OECD member countries of transit.
(c) “Consignee” means the person to whom possession or other form of legal control of the waste is assigned at the time the waste is received in the importing country.
(d) “Country of transit” means any designated OECD country in 40 CFR sections 262.58(a)(1) and (a)(2) or sections 66262.58(a)(1) and (a)(2) other than the exporting or importing country across which a transfrontier movement of wastes is planned or takes place.
(e) “Exporting country” means any designated OECD member country in 40 CFR section 262.58(a)(1) or section 66262.58(a)(1) from which a transfrontier movement of wastes is planned or has commenced.
(f) “Importing country” means any designated OECD country in 40 CFR section 262.58(a)(1) or 66262.58(a)(1) to which a transfrontier movement of wastes is planned or takes place for the purpose of submitting the wastes to recovery operations therein.
(g) “Notifier” means the person under the jurisdiction of the exporting country who has, or will have at the time the planned transfrontier movement commences, possession or legal control of the wastes and who proposes their transfrontier movement for the ultimate purpose of submitting them to recovery operations. When the United States (U.S.) is the exporting country, notifier is interpreted to mean a person domiciled in the U.S.
(h) “OECD area” means all land or marine areas under the national jurisdiction of any designated OECD member country in 40 CFR section 262.58 or section 66262.58. When the regulations refer to shipments to or from an OECD country, this means OECD area.
(i) “Recognized trader” means a person who, with appropriate authorization of concerned countries, acts in the role of principal to purchase and subsequently sell wastes; this person has legal control of such wastes from time of purchase to time of sale; such a person shall act to arrange and facilitate transfrontier movements of wastes destined for recovery operations.
(j) “Recovery facility” means an entity which, under applicable domestic law, is operating or is authorized to operate in the importing country to receive wastes and to perform recovery operations on them.
(k) “Recovery operations” means activities leading to resource recovery, recycling, reclamation, direct re-use or alternative uses as listed in Table 2.B of the Annex of OECD Council Decision C(88)90(Final) of May 27, 1988, (available from the Environmental Protection Agency, RCRA Information Center (RIC), 1235 Jefferson-Davis Highway, first floor, Arlington, VA 22203 (Docket # F-94-IEHF-FFFFF) and the Organization for Economic Co-operation and Development, Environment Directorate, 2 rue Andre Pascal, 75775 Paris Cedex 16, France) which include:
R1 Use as a fuel (other than in direct incineration) or other means to generate energy;
R2 Solvent reclamation/regeneration;
R3 Recycling/reclamation of organic substances which are not used as solvents;
R4 Recycling/reclamation of metals and metal compounds;
R5 Recycling/reclamation of other inorganic materials;
R6 Regeneration of acids or bases;
R7 Recovery of components used for pollution control;
R8 Recovery of components from catalysts;
R9 Used oil re-refining or other reuses of previously used oil;
R10 Land treatment resulting in benefit to agriculture or ecological improvement;
R11 Uses of residual materials obtained from any of the operations numbered R1-R10;
R12 Exchange of wastes for submission to any of the operations numbered R1-R11;
R13 Accumulation of material intended for any operation in Table 2.B;
(l) “Transfrontier movement” means any shipment of wastes destined for recovery operations from an area under the national jurisdiction of one OECD member country to an area under the national jurisdiction of another OECD member country.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 262.81.
HISTORY

1. Change without regulatory effect adding new section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
§66262.82. General Conditions.
Note     •     History

(a) Scope. The level of control for exports and imports of waste is indicated by assignment of the waste to a green-, amber-, or red-list and by U.S. national procedures as defined in 40 CFR section 262.80(a) or section 66262.80(a). The green- , amber-, and red-lists are incorporated by reference in 40 CFR section 262.89(e) or section 66262.89(e).
(1) Wastes on the green-list are subject to existing controls normally applied to commercial transactions, except as provided below:
(A) Green-list wastes that are considered hazardous under U.S. national procedures are subject to amber-list controls.
(B) Green-list wastes that are sufficiently contaminated or mixed with amber-list wastes, such that the waste or waste mixture is considered hazardous under U.S. national procedures, are subject to amber-list controls.
(C) Green-list wastes that are sufficiently contaminated or mixed with other wastes subject to red-list controls such that the waste or waste mixture is considered hazardous under U.S. national procedures shall be handled in accordance with the red-list controls.
(2) Wastes on the amber-list that are considered hazardous under U.S. national procedures as defined in 40 CFR section 262.80(a) or section 66262.80(a) are subject to the amber-list controls of 40 CFR Part 262, Subpart H or this article.
(A) If amber-list wastes are sufficiently contaminated or mixed with other wastes subject to red-list controls such that the waste or waste mixture is considered hazardous under U.S. national procedures, the wastes shall be handled in accordance with the red-list controls.
(B) [Reserved].
(3) Wastes on the red-list that are considered hazardous under U.S. national procedures as defined in 40 CFR section 262.80(a) or section 66262.80(a) are subject to the red-list controls of 40 CFR Part 262, Subpart H or this article. Some wastes on the amber- or red-lists are not listed or otherwise identified as hazardous under RCRA (e.g., polychlorinated biphenyls) and therefore are not subject to the amber- or red-list controls of 40 CFR Part 262, Subpart H or this article. Regardless of the status of the waste under RCRA, however, other federal environmental statutes (e.g., the federal Toxic Substances Control Act) shall restrict certain waste imports or exports. Such restrictions continue to apply without regard to 40 CFR Part 262, Subpart H or this article.
(4) Wastes not yet assigned to a list are eligible for transfrontier movements, as follows:
(A) If such wastes are considered hazardous under U.S. national procedures as defined in 40 CFR section 262.80(a) or section 66262.80(a), these wastes are subject to the red-list controls; or
(B) If such wastes are not considered hazardous under U.S. national procedures as defined in 40 CFR section 262.80(a) or section 66262.80(a), such wastes shall move as though they appeared on the green-list.
(b) General conditions applicable to transfrontier movements of hazardous waste.
(1) The waste shall be destined for recovery operations at a facility that, under applicable domestic law, is operating or is authorized to operate in the importing country;
(2) The transfrontier movement shall be in compliance with applicable international transport agreements. These international agreements include, but are not limited to, the Chicago Convention (1944), ADR (1957), ADNR (1970), MARPOL Convention (1973/1978), SOLAS Convention (1974), IMDG Code (1985), COTIF (1985), and RID (1985).
(3) Any transit of waste through a non-OECD member country shall be conducted in compliance with all applicable international and national laws and regulations.
(c) Provisions relating to re-export for recovery to a third country.
(1) Re-export of wastes subject to the amber-list control system from the U.S., as the importing country, to a third country listed in 40 CFR section 262.58(a)(1) or section 66262.58(a)(1) shall occur only after a notifier in the U.S. provides notification to and obtains consent of the competent authorities in the third country, the original exporting country, and new transit countries. The notification shall comply with the notice and consent procedures in 40 CFR section 262.83 or section 66262.83 for all concerned countries and the original exporting country. The competent authorities of the original exporting country as well as the competent authorities of all other concerned countries have 30 days to object to the proposed movement.
(A) The 30-day period begins once the competent authorities of both the initial exporting country and new importing country issue Acknowledgements of Receipt of the notification.
(B) The transfrontier movement shall commence if no objection has been lodged after the 30-day period has passed or immediately after written consent is received from all relevant OECD importing and transit countries.
(2) Re-export of waste subject to the red-list control system from the original importing country to a third country listed in 40 CFR section 262.58(a)(1) or section 66262.58(a)(1) shall occur only following notification of the competent authorities of the third country, the original exporting country, and new transit countries by a notifier in the original importing country in accordance with 40 CFR section 262.83 or section 66262.83. The transfrontier movement shall not proceed until receipt by the original importing country of written consent from the competent authorities of the third country, the original exporting country, and new transit countries.
(3) In the case of re-export of amber- or red-list wastes to a country other than those in 40 CFR section 262.58(a)(1) or section 66262.58(a)(1), notification to and consent of the competent authorities of the original OECD member country of export and any OECD member countries of transit is required as specified in 40 CFR sections 262.82(c)(1) and (c)(2) or subsections (c)(1) and (c)(2) of this section in addition to compliance with all international agreements and arrangements to which the first importing OECD member country is a party and all applicable regulatory requirements for exports from the first importing country.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 262.82.
HISTORY

1. Change without regulatory effect adding new section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
§66262.83. Notification and Consent.
Note     •     History

(a) Applicability. Consent shall be obtained from the competent authorities of the relevant OECD importing and transit countries prior to exporting hazardous waste destined for recovery operations subject to 40 CFR Part 262, Subpart H or this article. Hazardous wastes subject to amber-list controls are subject to the requirements of 40 CFR section 262.83(b) or subsection (b) of this section; hazardous wastes subject to red-list controls are subject to the requirements of 40 CFR section 262.83(c) or subsection (c) of this section; and wastes not identified on any list are subject to the requirements of 40 CFR section 262.83(d) or subsection (d) of this section.
(b) Amber-list wastes. The export from the U.S. of hazardous wastes as described in 40 CFR section 262.80(a) or section 66262.80(a) that appear on the amber-list is prohibited unless the notification and consent requirements of 40 CFR section 262.83(b)(1) or section 262.83(b)(2) or subsection (b)(1) or subsection (b)(2) of this section are met.
(1) Transactions requiring specific consent:
(A) Notification. At least forty-five (45) days prior to commencement of the transfrontier movement, the notifier shall provide written notification in English of the proposed transfrontier movement to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M Street, SW, Washington, DC 20460, with the words “Attention: OECD Export Notification” prominently displayed on the envelope. This notification shall include all of the information identified in 40 CFR section 262.83(e) or subsection (e) of this section. In cases where wastes having similar physical and chemical characteristics, the same United Nations classification, and the same RCRA waste codes are to be sent periodically to the same recovery facility by the same notifier, the notifier shall submit one notification of intent to export these wastes in multiple shipments during a period of up to one year.
(B) Tacit consent. If no objection has been lodged by any concerned country (i.e., exporting, importing, or transit countries) to a notification provided pursuant to 40 CFR section 262.83(b)(1)(i) or subsection (b)(1)(A) of this section within 30 days after the date of issuance of the Acknowledgment of Receipt of notification by the competent authority of the importing country, the transfrontier movement shall commence. Tacit consent expires one calendar year after the close of the 30-day period; renotification and renewal of all consents is required for exports after that date.
(C) Written consent. If the competent authorities of all the relevant OECD importing and transit countries provide written consent in a period less than 30 days, the transfrontier movement shall commence immediately after all necessary consents are received. Written consent expires for each relevant OECD importing and transit country one calendar year after the date of that country's consent unless otherwise specified; renotification and renewal of each expired consent is required for exports after that date.
(2) Shipments to facilities pre-approved by the competent authorities of the importing countries to accept specific wastes for recovery:
(A) The notifier shall provide USEPA the information identified in 40 CFR section 262.83(e) or subsection (e) of this section in English, at least 10 days in advance of commencing shipment to a pre-approved facility. The notification should indicate that the recovery facility is pre-approved, and shall apply to a single specific shipment or to multiple shipments as described in 40 CFR section 262.83(b)(1)(i) or subsection (b)(1)(A) of this section. This information shall be sent to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M Street, SW, Washington, DC 20460, with the words “OECD Export Notification -- Pre-approved Facility” prominently displayed on the envelope.
(B) Shipments shall commence after the notification required in 40 CFR section 262.83(b)(1)(i) or subsection (b)(1)(A) of this section has been received by the competent authorities of all concerned countries, unless the notifier has received information indicating that the competent authorities of one or more concerned countries objects to the shipment.
(c) Red-list wastes. The export from the U.S. of hazardous wastes as described in 40 CFR section 262.80(a) or section 66262.80(a) that appear on the red-list is prohibited unless notice is given pursuant to 40 CFR section 262.83(b)(1)(i) or subsection (b)(1)(A) of this section and the notifier receives written consent from the importing country and any transit countries prior to commencement of the transfrontier movement.
(d) Unlisted wastes. Wastes not assigned to the green-, amber-, or red-list that are considered hazardous under U.S. national procedures as defined in 40 CFR section 262.80(a) or section 66262.80(a) are subject to the notification and consent requirements established for red-list wastes in accordance with 40 CFR section 262.83(c) or subsection (c) of this section. Unlisted wastes that are not considered hazardous under U.S. national procedures as defined in 40 CFR section 262.80(a) or section 66262.80(a) are not subject to amber or red controls when exported or imported.
(e) Notification information. Notifications submitted under 40 CFR section 262.83 or this section shall include:
(1) Serial number or other accepted identifier of the notification form;
(2) Notifier name and USEPA identification number (if applicable), address, and telephone and telefax numbers;
(3) Importing recovery facility name, address, telephone and telefax numbers, and technologies employed;
(4) Consignee name (if not the owner or operator of the recovery facility) address, and telephone and telefax numbers; whether the consignee will engage in waste exchange or storage prior to delivering the waste to the final recovery facility and identification of recovery operations to be employed at the final recovery facility;
(5) Intended transporters or their agents;
(6) Country of export and relevant competent authority, and point of departure;
(7) Countries of transit and relevant competent authorities and points of entry and departure;
(8) Country of import and relevant competent authority, and point of entry;
(9) Statement of whether the notification is a single notification or a general notification. If general, include period of validity requested;
(10) Date foreseen for commencement of transfrontier movement;
(11) Designation of waste type(s) from the appropriate list (amber or red and waste list code), descriptions of each waste type, estimated total quantity of each, RCRA waste code, and United Nations number for each waste type; and
(12) Certification/Declaration signed by the notifier that states:
I certify that the above information is complete and correct to the best of my knowledge. I also certify that legally- enforceable written contractual obligations have been entered into, and that any applicable insurance or other financial guarantees are or shall be in force covering the transfrontier movement.
Name:___________________________________________________________________
Signature:______________________________________________________________
Date:___________________________________________________________________
The U.S. does not currently require financial assurance; however, U.S. exporters may be asked by other governments to provide and certify to such assurance as a condition of obtaining consent to a proposed movement.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 262.83.
HISTORY

1. Change without regulatory effect adding new section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
§66262.84. Tracking Document.
Note     •     History

(a) All U.S. parties subject to the contract provisions of 40 CFR section 262.85 or section 66262.85 shall ensure that a tracking document meeting the conditions of 40 CFR section 262.84(b) or section 66262.84(b) accompanies each transfrontier shipment of wastes subject to amber-list or red-list controls from the initiation of the shipment until it reaches the final recovery facility, including cases in which the waste is stored and/or exchanged by the consignee prior to shipment to the final recovery facility, except as provided in 40 CFR sections 262.84(a)(1) and (2) or subsections (a)(1) and (a)(2) of this section.
(1) For shipments of hazardous waste within the U.S. solely by water (bulk shipments only) the generator shall forward the tracking document with the manifest to the last water (bulk shipment) transporter to handle the waste in the U.S. if exported by water, (in accordance with the manifest routing procedures of 40 CFR section 262.23(c) or section 66262.23(c)).
(2) For rail shipments of hazardous waste within the U.S. which originate at the site of generation, the generator shall forward the tracking document with the manifest (in accordance with the routing procedures for the manifest in 40 CFR section 262.23(d) or section 66262.23(d)) to the next non-rail transporter, if any, or the last rail transporter to handle the waste in the U.S. if exported by rail.
(b) The tracking document shall include all information required under 40 CFR section 262.83 or section 66262.83 (for notification), and the following:
(1) Date shipment commenced.
(2) Name (if not notifier), address, and telephone and telefax numbers of primary exporter.
(3) Company name and USEPA identification number of all transporters.
(4) Identification (license, registered name or registration number) of means of transport, including types of packaging.
(5) Any special precautions to be taken by transporters.
(6) Certification/declaration signed by notifier that no objection to the shipment has been lodged as follows:
I certify that the above information is complete and correct to the best of my knowledge. I also certify that legally- enforceable written contractual obligations have been entered into, that any applicable insurance or other financial guarantees are or shall be in force covering the transfrontier movement, and that:
1. All necessary consents have been received; OR
2. The shipment is directed at a recovery facility within the OECD area and no objection has been received from any of the concerned countries within the 30 day tacit consent period; OR
3. The shipment is directed at a recovery facility pre-authorized for that type of waste within the OECD area; such an authorization has not been revoked, and no objection has been received from any of the concerned countries.
Name:________________________________________________________________
Signature:___________________________________________________________
Date:________________________________________________________________
(7) Appropriate signatures for each custody transfer (e.g., transporter, consignee, and owner or operator of the recovery facility).
(c) Notifiers also shall comply with the special manifest requirements of 40 CFR section 262.54(a), (b), (c), (e), and (i) or sections 66262.54(a), (b), (c), (e), and (i) and consignees shall comply with the import requirements of 40 CFR Part 262, Subpart F or section 66262.60.
(d) Each U.S. person that has physical custody of the waste from the time the movement commences until it arrives at the recovery facility shall sign the tracking document (e.g., transporter, consignee, and owner or operator of the recovery facility).
(e) Within three (3) working days of the receipt of imports subject to 40 CFR Part 262, Subpart H or this article, the owner or operator of the U.S. recovery facility shall send signed copies of the tracking document to the notifier, to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M Street, SW, Washington, DC 20460, and to the competent authorities of the exporting and transit countries.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 262.84.
HISTORY

1. Change without regulatory effect adding new section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
§66262.85. Contracts.
Note     •     History

(a) Transfrontier movements of hazardous wastes subject to amber or red control procedures are prohibited unless they occur under the terms of a valid written contract, chain of contracts, or equivalent arrangements (when the movement occurs between parties controlled by the same corporate or legal entity). Such contracts or equivalent arrangements shall be executed by the notifier and the owner or operator of the recovery facility, and shall specify responsibilities for each. Contracts or equivalent arrangements are valid for the purposes of 40 CFR section 262.85 or this section only if persons assuming obligations under the contracts or equivalent arrangements have appropriate legal status to conduct the operations specified in the contract or equivalent arrangement.
(b) Contracts or equivalent arrangements shall specify the name and USEPA ID number, where available, of:
(1) The generator of each type of waste;
(2) Each person who will have physical custody of the wastes;
(3) Each person who will have legal control of the wastes;
(4) The recovery facility.
(c) Contracts or equivalent arrangements shall specify which party to the contract will assume responsibility for alternate management of the wastes if its disposition cannot be carried out as described in the notification of intent to export. In such cases, contracts shall specify that:
(1) The person having actual possession or physical control over the wastes will immediately inform the notifier and the competent authorities of the exporting and importing countries and, if the wastes are located in a country of transit, the competent authorities of that country; and
(2) The person specified in the contract will assume responsibility for the adequate management of the wastes in compliance with applicable laws and regulations including, if necessary, arranging their return to the original country of export.
(d) Contracts shall specify that the consignee will provide the notification required in 40 CFR section 262.82(c) or section 66262.82(c) prior to re-export of controlled wastes to a third country.
(e) Contracts or equivalent arrangements shall include provisions for financial guarantees, if required by the competent authorities of any concerned country, in accordance with applicable national or international law requirements. Financial guarantees so required are intended to provide for alternate recycling, disposal or other means of sound management of the wastes in cases where arrangements for the shipment and the recovery operations cannot be carried out as foreseen. The U.S. does not require such financial guarantees at this time; however, some OECD countries do. It is the responsibility of the notifier to ascertain and comply with such requirements; in some cases, transporters or consignees may refuse to enter into the necessary contracts absent specific references or certifications to financial guarantees.
(f) Contracts or equivalent arrangements shall contain provisions requiring each contracting party to comply with all applicable requirements of 40 CFR Part 262, Subpart H or this article.
(g) Upon request by USEPA, U.S. notifiers, consignees, or recovery facilities shall submit to USEPA copies of contracts, chain of contracts, or equivalent arrangements (when the movement occurs between parties controlled by the same corporate or legal entity). Information contained in the contracts or equivalent arrangements for which a claim of confidentiality is asserted accordance with 40 CFR section 2.203(b) will be treated as confidential and will be disclosed by USEPA only as provided in 40 CFR section 260.2. Although the U.S. does not require routine submission of contracts at this time, OECD Council Decision C(92)39/FINAL allows members to impose such requirements. When other OECD countries require submission of partial or complete copies of the contract as a condition to granting consent to proposed movements, USEPA will request the required information; absent submission of such information, some OECD countries may deny consent for the proposed movement.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 262.85.
HISTORY

1. Change without regulatory effect adding new section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
§66262.86. Provisions Relating to Recognized Traders.
Note     •     History

(a) A recognized trader who takes physical custody of a waste and conducts recovery operations (including storage prior to recovery) is acting as the owner or operator of a recovery facility and shall be so authorized in accordance with all applicable federal laws.
(b) A recognized trader acting as a notifier or consignee for transfrontier shipments of waste shall comply with all the requirements of 40 CFR Part 262, Subpart H or this article associated with being a notifier or consignee.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 262.86.
HISTORY

1. Change without regulatory effect adding new section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
§66262.87. Reporting and Recordkeeping.
Note     •     History

(a) Annual reports. For all waste movements subject to 40 CFR Part 262, Subpart H or this article, persons (e.g., notifiers, recognized traders) who meet the definition of primary exporter in 40 CFR section 262.51 shall file an annual report with the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M Street, SW, Washington, DC 20460, no later than March 1 of each year summarizing the types, quantities, frequency, and ultimate destination of all such hazardous waste exported during the previous calendar year. (If the primary exporter is required to file an annual report for waste exports that are not covered under 40 CFR Part 262, Subpart H or this article, the primary exporter may include all export information in one report provided the following information on exports of waste destined for recovery within the designated OECD member countries is contained in a separate section). Such reports shall include the following:
(1) The USEPA identification number, name, and mailing and site address of the notifier filing the report;
(2) The calendar year covered by the report;
(3) The name and site address of each final recovery facility;
(4) By final recovery facility, for each hazardous waste exported, a description of the hazardous waste, the USEPA hazardous waste number (from 40 CFR Part 261, Subpart C or D), designation of waste type(s) from OECD waste list and applicable waste code from the OECD lists, Department of Transportation (DOT) hazard class, the name and USEPA identification number (where applicable) for each transporter used, the total amount of hazardous waste shipped pursuant to 40 CFR Part 262, Subpart H or this article, and number of shipments pursuant to each notification;
(5) In even numbered years, for each hazardous waste exported, except for hazardous waste produced by exporters of greater than 100 kilograms (kg) but less than 1000 kg in a calendar month, and except for hazardous waste for which information was already provided pursuant to 40 CFR section 262.41:
(A) A description of the efforts undertaken during the year to reduce the volume and toxicity of waste generated; and
(B) A description of the changes in volume and toxicity of the waste actually achieved during the year in comparison to previous years to the extent such information is available for years prior to 1984; and
(6) A certification signed by the person acting as primary exporter that states:
I certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information including the possibility of fine and imprisonment.
(b) Exception reports. Any person who meets the definition of primary exporter in 40 CFR section 262.51 shall file an exception report in lieu of the requirements of 40 CFR section 262.42 with the USEPA Administrator if any of the following occurs:
(1) The primary exporter has not received a copy of the tracking documentation signed by the transporter stating point of departure of the waste from the United States, within forty-five (45) days from the date it was accepted by the initial transporter;
(2) Within ninety (90) days from the date the waste was accepted by the initial transporter, the notifier has not received written confirmation from the recovery facility that the hazardous waste was received;
(3) The waste is returned to the United States.
(c) Recordkeeping.
(1) Persons who meet the definition of primary exporter in 40 CFR section 262.51 shall keep the following records:
(A) A copy of each notification of intent to export and all written consents obtained from the competent authorities of concerned countries for a period of at least three years from the date the hazardous waste was accepted by the initial transporter;
(B) A copy of each annual report for a period of at least three years from the due date of the report; and
(C) A copy of any exception reports and a copy of each confirmation of delivery (i.e., tracking documentation) sent by the recovery facility to the notifier for at least three years from the date the hazardous waste was accepted by the initial transporter or received by the recovery facility, whichever is applicable.
(2) The periods of retention referred to in 40 CFR section 262.87 or this section are extended automatically during the course of any unresolved enforcement action regarding the regulated activity or as requested by the USEPA Administrator.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 262.87.
HISTORY

1. Change without regulatory effect adding new section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
§66262.88. Pre-approval for U.S. Recovery Facilities.

[Reserved.] 
§66262.89. OECD Waste Lists.
Note     •     History

(a) General. For the purposes of 40 CFR Part 262, Subpart H or this article, a waste is considered hazardous under U.S. national procedures, and hence subject to 40 CFR Part 262, Subpart H or this article, if the waste:
(1) Meets the Federal definition of hazardous waste in 40 CFR section 261.3; and
(2) Is subject to either the Federal manifesting requirements of 40 CFR Part 262, subpart B, or to the universal waste management standards of 40 CFR Part 273.
(b) If a waste is hazardous under 40 CFR section 262.89(a) or subsection (a) of this section and it appears on the amber- or red-list, it is subject to amber- or red-list requirements respectively;
(c) If a waste is hazardous under 40 CFR 262.89(a) or subsection (a) of this section and it does not appear on either amber- or red-lists, it is subject to red-list requirements.
(d) The appropriate control procedures for hazardous wastes and hazardous waste mixtures are addressed in 40 CFR section 262.82 or section 66262.82.
(e) The OECD Green-List of Wastes (revised May 1994), Amber- List of Wastes, and Red-List of Wastes (both revised May 1993) as set forth in Appendix 3, Appendix 4 and Appendix 5, respectively, to the OECD Council Decision C(92)39/FINAL (Concerning the Control of Transfrontier Movements of Wastes Destined for Recovery Operations) are incorporated by reference. These incorporations by reference in federal regulations were approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51, on July 11, 1996. These materials are incorporated as they exist on the date of the approval and a notice of any change in these materials will be published in the Federal Register. The materials are available for inspection at: the Office of the Federal Register, 800 North Capitol Street, NW, Suite 700, Washington, DC; Environmental Protection Agency, RCRA Information Center (RIC), 1235 Jefferson-Davis Highway, first floor, Arlington, VA 22203 (Docket #F-94-IEHF-FFFFF) and may be obtained from the Organization for Economic Co-operation and Development, Environment Directorate, 2 rue Andre Pascal, 75775 Paris Cedex 16, France.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 262.89. 
HISTORY

1. Change without regulatory effect adding new section filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).

Appendix Uniform Hazardous Waste Manifest,  Continuation Sheet and Instructions (EPA Forms 8700-22 and 8700-22A and Their Instructions)

U.S. EPA Form 8700-22
Read all instructions before completing this form. 
1. This form has been designed for use on a 12-pitch (elite) typewriter which is also compatible with standard computer printers; a firm point pen may also be used -- press down hard. 
2. Federal regulations require generators and transporters of hazardous waste and owners or operators of hazardous waste treatment, storage, and disposal facilities to complete this form (FORM 8700-22) and, if necessary, the continuation sheet (FORM 8700-22A) for both inter- and intrastate transportation of hazardous waste. 

MANIFEST 8700-22
The following statement must be included with each Uniform Hazardous Waste Manifest, either on the form, in the instructions to the form, or accompanying the form: 
Public reporting burden for this collection of information is estimated to average: 30 minutes for generators, 10 minutes for transporters, and 25 minutes for owners or operators of treatment, storage, and disposal facilities. This includes time for reviewing instructions, gathering data, completing, reviewing and transmitting the form. Any correspondence regarding the PDA burden statement for the manifest must be sent to the Director of the Collection Strategies Division in EPA's Office of Information Collection at the following address: U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW., Washington, D.C. 20460. 

I. INSTRUCTIONS FOR GENERATORS 

Item 1. Generator's U.S. EPA Identification Number 
Enter the generator's U.S. EPA twelve digit identification number, or the State generator identification number if the generator site does not have an EPA identification number. 

Item 2. Page 1 of _____ 
Enter the total number of pages used to complete this Manifest (i.e., the first page (EPA Form 8700-22) plus the number of Continuation Sheets (EPA Form 8700-22A), if any). 

Item 3. Emergency Response Phone Number 
Enter a phone number for which emergency response information can be obtained in the event of an incident during transportation. The emergency response phone number must: 
1. Be the number of the generator or the number of an agency or organization who is capable of and accepts responsibility for providing detailed information about the shipment; 
2. Reach a phone that is monitored 24 hours a day at all times the waste is in transportation (including transportation related storage); and 
3. Reach someone who is either knowledgeable of the hazardous waste being shipped and has comprehensive emergency response and spill cleanup/incident mitigation information for the material being shipped or has immediate access to a person who has that knowledge and information about the shipment. 
Note: Emergency Response phone number information should only be entered in Item 3 when there is one phone number that applies to all the waste materials described in Item 9b. If a situation (e.g., consolidated shipments) arises where more than one Emergency Response phone number applies to the various wastes listed on the manifest, the phone numbers associated with each specific material should be entered after its description in Item 9b. 

Item 4. Manifest Tracking Number 
This unique tracking number must be pre-printed on the manifest by the forms printer. 

Item 5. Generator's Mailing Address, Phone Number 
and Site Address 
Enter the name of the generator, the mailing address to which the completed manifest signed by the designated facility should be mailed, and the generator's telephone number. Note, the telephone number (including area code) should be the normal business number for the generator, or the number where the generator or his authorized agent may be reached to provide instructions in the event the designated and/or alternate (if any) facility rejects some or all of the shipment. Also enter the physical site address from which the shipment originates only if this address is different than the mailing address. 

Item 6. Transporter 1 Company Name, and U.S. EPA ID Number 
Enter the company name and U.S. EPA ID number of the first transporter who will transport the waste. Vehicle or driver information may not be entered here.

Item 7. Transporter 2 Company Name and U.S. EPA ID Number 
If applicable, enter the company name and U.S. EPA ID number of the second transporter who will transport the waste. Vehicle or driver information may not be entered here. If more than two transporters are needed, use a Continuation Sheet(s) (EPA Form 8700-22A). 

Item 8. Designated Facility Name, Site Address, 
and U.S. EPA ID Number 
Enter the company name and site address of the facility designated to receive the waste listed on this manifest. Also enter the facility's phone number and the U.S. EPA twelve digit identification number of the facility. 

Item 9. U.S. DOT Description (Including Proper Shipping Name, Hazard Class or Division, Identification Number, and Packing Group) 
Item 9a. If the wastes identified in Item 9b consist of both hazardous and nonhazardous materials, then identify the hazardous materials by entering an “X” in this Item next to the corresponding hazardous material identified in Item 9b. 
If applicable, enter the name of the person accepting the waste on behalf of the second transporter. That person must acknowledge acceptance of the waste described on the manifest by signing and entering the date of receipt.
Note: Transporters carrying imports, who are acting as importers, may have responsibilities to enter information in the International Shipments Block. Transporters carrying exports may also have responsibilities to enter information in the International Shipments Block. See above instructions for Item 16.
Item 9b. Enter the U.S. DOT Proper Shipping Name, Hazard Class or Division, Identification Number (UN/NA) and Packing Group for each waste as identified in 49 CFR 172. Include technical name(s) and reportable quantity references, if applicable. 
Note: If additional space is needed for waste descriptions, enter these additional descriptions in Item 27 on the Continuation Sheet (EPA Form 8700-22A). Also, if more than one Emergency Response phone number applies to the various wastes described in either Item 9b or Item 27, enter applicable Emergency Response phone numbers immediately following the shipping descriptions for those Items. 

Item 10. Containers (Number and Type) 
Enter the number of containers for each waste and the appropriate abbreviation from Table I (below) for the type of container. 

TABLE I. TYPES OF CONTAINERS 

BA = Burlap, cloth, paper, or plastic bags 

CF = Fiber or plastic boxes, cartons, cases 

CM = Metal boxes, cartons, cases (including roll-offs) 

CW = Wooden boxes, cartons, cases 

CY = Cylinders 

DF = Fiberboard or plastic drums, barrels, kegs 

DM = Metal drums, barrels, kegs 

DT = Dump truck 

DW = Wooden drums, barrels, kegs 

HG = Hopper or gondola cars 

TC = Tank cars 

TP = Portable tanks 

TT = Cargo tanks (tank trucks) 

Item 11. Total Quantity 
Enter, in designated boxes, the total quantity of waste. Round partial units to the nearest whole unit, and do not enter decimals or fractions. To the extent practical, report quantities using appropriate units of measure that will allow you to report quantities with precision. Waste quantities entered should be based on actual measurements or reasonably accurate estimates of actual quantities shipped. Container capacities are generally not acceptable as estimates. 

Item 12. Units of Measure (Weight/Volume) 
Enter, in designated boxes, the appropriate abbreviation from Table II (below) for the unit of measure. 

TABLE II. UNITS OF MEASURE 

G = Gallons (liquids only) 

K = Kilograms 

L = Liters (liquids only) 

M = Metric Tons (1000 kilograms)

N = Cubic Meters

P = Pounds 

T = Tons (2000 pounds) 

Y = Cubic Yards
Note: Tons, Metric Tons, Cubic Meters, and Cubic Yards should only be reported in connection with very large bulk shipments, such as rail cars, tank trucks, or barges. 

Item 13. Waste Codes 
Enter up to six federal and state waste codes to describe each waste stream identified in Item 9b. State waste codes that are not redundant with federal codes must be entered here, in addition to the federal waste codes which are most representative of the properties of the waste. 

Item 14. Special Handling Instructions and Additional Information. 
1. Generators may enter any special handling or shipment-specific information necessary for the proper management or tracking of the materials under the generator's or other handler's business processes, such as waste profile numbers, container codes, bar codes, or response guide numbers. Generators also may use this space to enter additional descriptive information about their shipped materials, such as chemical names, constituent percentages, physical state, or specific gravity of wastes identified with volume units in Item 12. 
2. This space may be used to record limited types of federally required information for which there is no specific space provided on the manifest, including any alternate facility designations; the manifest tracking number of the original manifest for rejected wastes and residues that are re-shipped under a second manifest; and the specification of PCB waste descriptions and PCB out-of-service dates required under 40 CFR 761.207. Generators, however, cannot be required to enter information in this space to meet state regulatory requirements. 

Item 15. Generator's/Offeror's Certifications 
1. The generator must read, sign, and date the waste minimization certification statement. In signing the waste minimization certification statement, those generators who have not been exempted by statute or regulation from the duty to make a waste minimization certification under section 3002(b) of RCRA are also certifying that they have complied with the waste minimization requirements. The Generator's Certification also contains the required attestation that the shipment has been properly prepared and is in proper condition for transportation (the shipper's certification). The content of the shipper's certification statement is as follows: “I hereby declare that the contents of this consignment are fully and accurately described above by the proper shipping name, and are classified, packaged, marked, and labeled/placarded, and are in all respects in proper condition for transport by highway according to applicable international and national governmental regulations. If export shipment and I am the Primary Exporter, I certify that the contents of this consignment conform to the terms of the attached EPA Acknowledgment of Consent.” When a party other than the generator prepares the shipment for transportation, this party may also sign the shipper's certification statement as the offeror of the shipment. 
2. Generator or Offeror personnel may preprint the words, “On behalf of” in the signature block or may hand write this statement in the signature block prior to signing the generator/offeror certification, to indicate that the individual signs as the employee or agent of the named principal. 
Note: All of the above information except the handwritten signature required in Item 15 may be pre-printed. 

II. INSTRUCTIONS FOR INTERNATIONAL SHIPMENT BLOCK 

Item 16. International Shipments 
For export shipments, the primary exporter must check the export box, and enter the point of exit (city and state) from the United States. For import shipments, the importer must check the import box and enter the point of entry (city and state) into the United States. For exports, the transporter must sign and date the manifest to indicate the day the shipment left the United States. Transporters of hazardous waste shipments must deliver a copy of the manifest to the U.S. EPA when importing or exporting the waste across U.S. borders. 

III. INSTRUCTIONS FOR TRANSPORTERS 

Item 17. Transporters' Acknowledgments of Receipt 
Enter the name of the person accepting the waste on behalf of the first transporter. That person must acknowledge acceptance of the waste described on the manifest by signing and entering the date of receipt. Only one signature per transportation company is required. 
Signatures are not required to track the movement of wastes in and out of transfer facilities, unless there is a change of custody between transporters. 
If applicable, enter the name of the person accepting the waste on behalf of the second transporter. That person must acknowledge acceptance of the waste described on the manifest by signing and entering the date of receipt. 
Note: Transporters carrying imports or exports of hazardous waste may also have responsibilities to enter information in the International Shipments Block. See above instructions for Item 16. 

IV. INSTRUCTIONS FOR OWNERS AND OPERATORS OF TREATMENT, STORAGE, AND DISPOSAL FACILITIES 

Item 18 Discrepancy 

Item 18a. Discrepancy Indication Space 
1. The authorized representative of the designated (or alternate) facility's owner or operator must note in this space any discrepancies between the waste described on the Manifest and the waste actually received at the facility. Manifest discrepancies are: significant differences (as defined by §§ 264.72(b) and 265.72(b)) between the quantity or type of hazardous waste designated on the manifest or shipping paper, and the quantity and type of hazardous waste a facility actually receives, rejected wastes, which may be a full or partial shipment of hazardous waste that the TSDF cannot accept, or container residues, which are residues that exceed the quantity limits for “empty” containers set forth in 40 CFR 261.7(b). 
2. For rejected loads and residues (40 CFR 264.72(d), (e), and (f), or 40 CFR 265.72(d), (e), or (f)), check the appropriate box if the shipment is a rejected load (i.e., rejected by the designated and/or alternate facility and is sent to an alternate facility or returned to the generator) or a regulated residue that cannot be removed from a container. Enter the reason for the rejection or the inability to remove the residue and a description of the waste. Also, reference the manifest tracking number for any additional manifests being used to track the rejected waste or residue shipment on the original manifest. Indicate the original manifest tracking number in Item 14, the Special Handling Block and Additional Information Block of the additional manifests. 
3. Owners or operators of facilities located in unauthorized States (i.e., states in which the U.S. EPA administers the hazardous waste management program) who cannot resolve significant differences in quantity or type within 15 days of receiving the waste must submit to their Regional Administrator a letter with a copy of the Manifest at issue describing the discrepancy and attempts to reconcile it (40 CFR 264.72(c) and 265.72(c)). 
4. Owners or operators of facilities located in authorized States (i.e., those States that have received authorization from the U.S. EPA to administer the hazardous waste management program) should contact their State agency for information on where to report discrepancies involving “significant differences” to state officials. 

Item 18b. Alternate Facility (or Generator) for Receipt of
Full Load Rejections 
Enter the name, address, phone number, and EPA Identification Number of the Alternate Facility which the rejecting TSDF has designated, after consulting with the generator, to receive a fully rejected waste shipment. In the event that a fully rejected shipment is being returned to the generator, the rejecting TSDF may enter the generator's site information in this space. This field is not to be used to forward partially rejected loads or residue waste shipments. 

Item 18c. Alternate Facility (or Generator) Signature. 
The authorized representative of the alternate facility (or the generator in the event of a returned shipment) must sign and date this field of the form to acknowledge receipt of the fully rejected wastes or residues identified by the initial TSDF. 

Item 19. Hazardous Waste Report Management Method Codes 
Enter the most appropriate Hazardous Waste Report Management Method code for each waste listed in Item 9. The Hazardous Waste Report Management Method code is to be entered by the first treatment, storage, or disposal facility (TSDF) that receives the waste and is the code that best describes the way in which the waste is to be managed when received by the TSDF. 

Item 20. Designated Facility Owner or Operator Certification of 
Receipt (Except As Noted in Item 18a) 
Enter the name of the person receiving the waste on behalf of the owner or operator of the facility. That person must acknowledge receipt or rejection of the waste described on the Manifest by signing and entering the date of receipt or rejection where indicated. Since the Facility Certification acknowledges receipt of the waste except as noted in the Discrepancy Space in Item 18a, the certification should be signed for both waste receipt and waste rejection, with the rejection being noted and described in the space provided in Item 18a. Fully rejected wastes may be forwarded or returned using Item 18b after consultation with the generator. Enter the name of the person accepting the waste on behalf of the owner or operator of the alternate facility or the original generator. That person must acknowledge receipt or rejection of the waste described on the Manifest by signing and entering the date they received or rejected the waste in Item 18c. Partially rejected wastes and residues must be re-shipped under a new manifest, to be initiated and signed by the rejecting TSDF as offeror of the shipment. 

Illustration # 115: Refer to EPA Form # 8700-22,  Uniform Hazardous Waste Manifest 

View Graphic

Manifest Continuation Sheet 
Instructions--Continuation Sheet, U.S. EPA Form 8700-22A 
Read all instructions before completing this form. This form has been designed for use on a 12-pitch (elite) typewriter; a firm point pen may also be used--press down hard. 
This form must be used as a continuation sheet to U.S. EPA Form 8700-22 if: 
S More than two transporters are to be used to transport the waste; or 
S More space is required for the U.S. DOT descriptions and related information in Item 9 of U.S. EPA Form 8700-22. 
Federal regulations require generators and transporters of hazardous waste and owners or operators of hazardous waste treatment, storage, or disposal facilities to use the uniform hazardous waste manifest (EPA Form 8700-22) and, if necessary, this continuation sheet (EPA Form 8700-22A) for both interstate and intrastate transportation. 

Item 21. Generator's ID Number 
Enter the generator's U.S. EPA twelve digit identification number or, the State generator identification number if the generator site does not have an EPA identification number. 

Item 22. Page  --
Enter the page number of this Continuation Sheet. 

Item 23. Manifest Tracking Number 
Enter the Manifest Tracking number from Item 4 of the Manifest form to which this continuation sheet is attached. 

Item 24. Generator's Name-- 
Enter the generator's name as it appears in Item 5 on the first page of the Manifest. 

Item 25. Transporter--Company Name 
If additional transporters are used to transport the waste described on this Manifest, enter the company name of each additional transporter in the order in which they will transport the waste. Enter after the word “Transporter” the order of the transporter. For example, Transporter 3 Company Name. Also enter the U.S. EPA twelve digit identification number of the transporter described in Item 25. 

Item 26. Transporter--Company Name 
If additional transporters are used to transport the waste described on this Manifest, enter the company name of each additional transporter in the order in which they will transport the waste. Enter after the word “Transporter” the order of the transporter. For example, Transporter 4 Company Name. Each Continuation Sheet can record the names of two additional transporters. Also enter the U.S. EPA twelve digit identification number of the transporter named in Item 26. 

Item 27. U.S. D.O.T. Description Including Proper Shipping Name, Hazardous Class, and ID Number (UN/NA) 
For each row enter a sequential number under Item 27b that corresponds to the order of waste codes from one continuation sheet to the next, to reflect the total number of wastes being shipped. Refer to instructions for Item 9 of the manifest for the information to be entered. 

Item 28. Containers (No. And Type) 
Refer to the instructions for Item 10 of the manifest for information to be entered. 

Item 29. Total Quantity 
Refer to the instructions for Item 11 of the manifest form. 

Item 30. Units of Measure (Weight/Volume) 
Refer to the instructions for Item 12 of the manifest form. 

Item 31. Waste Codes 
Refer to the instructions for Item 13 of the manifest form. 

Item 32. Special Handling Instructions and Additional Information 
Refer to the instructions for Item 14 of the manifest form. 

TRANSPORTERS 

Item 33. Transporter--Acknowledgment of Receipt of Materials 
Enter the same number of the Transporter as identified in Item 25. Enter also the name of the person accepting the waste on behalf of the Transporter (Company Name) identified in Item 25. That person must acknowledge acceptance of the waste described on the Manifest by signing and entering the date of receipt. 

Item 34. Transporter--Acknowledgment of Receipt of Materials 
Enter the same number of the Transporter as identified in Item 26. Enter also the name of the person accepting the waste on behalf of the Transporter (Company Name) identified in Item 26. That person must acknowledge acceptance of the waste described on the Manifest by signing and entering the date of receipt. 

OWNER AND OPERATORS OF TREATMENT, STORAGE, OR DISPOSAL FACILITIES 

Item 35. Discrepancy Indication Space 
Refer to Item 18. This space may be used to more fully describe information on discrepancies identified in Item 18a of the manifest form. 

Item 36. Hazardous Waste Report Management Method Codes 
For each field here, enter the sequential number that corresponds to the waste materials described under Item 27, and enter the appropriate process code that describes how the materials will be processed when received. If additional continuation sheets are attached, continue numbering the waste materials and process code fields sequentially, and enter on each sheet the process codes corresponding to the waste materials identified on that sheet. 

Note: Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. References: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 Code of Federal Regulations 262 Appendix; and Hazardous Waste Report, Instructions and Forms (EPA Form 8700-13A/B); and 70 Fed. Reg. 10776 (Mar. 4, 2005), p. 10786-10787. 
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending form DHS 8022A filed 8-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 35).
3. Change without regulatory effect amending appendix filed 9-29-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 40).
4. Amendment of appendix filed 4-4-2002 as an emergency; operative 4-4-2002 (Register 2002, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2002 or emergency language will be repealed by operation of law on the following day.
5. Amendment of appendix refiled 8-1-2002 as an emergency; operative 8-1-2002 (Register 2002, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-2-2002 or emergency language will be repealed by operation of law on the following day.
6. Amendment of appendix refiled 12-2-2002 as an emergency; operative 12-3-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment of appendix refiled 4-1-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
8. Repealer of 4-1-2003 order and amendment appendix and Note filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
9. Change without regulatory effect amending appendix filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
10. Change without regulatory effect relocating appendix from following section 66262.70 to end of chapter filed 4-21-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 16).
11. Change without regulatory effect repealing and adopting new appendix filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).

Illustration # 116: EPA Form Number 8700-22A Manifest Continuation Form 

View Graphic
Chapter 13. Standards Applicable to Transporters of Hazardous Waste
Article 1. General
§66263.10. Applicability.
Note     •     History

(a) These regulations establish standards which apply to persons transporting hazardous waste within, into, out of or through the State if the transportation requires a manifest under section 25160 of the Health and Safety Code.
(b) These regulations do not apply to on-site transportation of hazardous waste by generators or by owners or operators of permitted hazardous waste management facilities.
(c) A transporter of hazardous waste shall also comply with standards applicable to generators of hazardous waste under chapter 12 of this division if the transporter:
(1) transports hazardous waste to a designated facility within the State from outside the United States; or
(2) mixes hazardous wastes of different Federal Department of Transportation (DOT) shipping descriptions by placing them into a single container.
(d) A transporter of hazardous waste subject to the Federal manifesting requirements of 40 CFR Part 262, or subject to the universal waste management standards of 40 CFR Part 273, that is being imported from or exported to any of the countries listed in 40 CFR section 262.58(a)(1) or section 66262.58(a)(1) for purposes of recovery is subject to 40 CFR Part 262, Subpart H or this article and to all other relevant requirements of 40 CFR Part 262, Subpart H or this article, including, but not limited to, 40 CFR section 262.84 or section 66262.84 for tracking documents.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25160, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code, 40 CFR Section 263.10.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding new subsection (d) filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
§66263.11. Application for Registration As a Hazardous Waste Transporter.
Note     •     History

(a) A person desiring registration as a hazardous waste transporter shall apply to the Department by submitting each of the following:
(1) a completed and signed Hazardous Waste Hauler Application form (Form DTSC 187, Rev. 2/92), provided by the Department, which contains a statement certifying that the applicant understands and will comply with the applicable requirements of this chapter;
(2) proof of ability to provide adequate response in damages resulting from the operation of the person's business. For the purpose of this section, adequate response means protection against liability for the payment of damages equivalent to protection required by section 34630, et seq., of the California Vehicle Code. Both of the following are required:
(A) a copy of the insurance policy, if insured, for the required coverage shall be maintained at the transporter's principal place of business within California; and
(B) a Certificate of Insurance, a bond of a California licensed surety company, or evidence of qualification as a self-insurer, shall be provided to the Department which indicates that the minimum coverage has been obtained;
(b) If previously registered, the applicant shall submit an application to the Department at least 45 days prior to the expiration date of the current registration.
(c) The Department shall review applications under section 66263.11 for completeness and shall inform the applicant in writing either that the application is complete and accepted for filing, or that the application is deficient and what specific information, documentation or fees, if any, shall be required to complete the application. The Department shall inform the applicant within fourteen calendar days of receipt of an application for hazardous waste transporter registration. Registration shall be denied unless a complete application is submitted.
(d) The Department shall notify the applicant, in writing, of the Department's decision regarding the completeness of an application. The notification shall be within fourteen calendar days after the date on which the Department determines the application to be complete and accepted for filing pursuant to subsection (c) of this section for hazardous waste transporter registration applications.
NOTE

Authority cited: Sections 208, 25150, 25168.1, 25186 and 58012, Health and Safety Code; Section 15376, Government Code. Reference: Section 15376, Government Code; Sections 25112.5, 25115.5, 25159, 25163, 25165, 25165.1, 25166, 25166.5, 25167, 25168, 25169 and 58012, Health and Safety Code; Section 2560, Vehicle Code; and 49 CFR section 396.17
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (a)(1) and (a)(2) filed 6-1-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 23).
3. Change without regulatory effect repealing subsections (a)(2) and (a)(4)-(a)(6), renumbering subsections, amending newly designated subsection (a)(2) and amending Note filed 9-29-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 40).
§66263.12. Term of Registration.
Note     •     History

Registration as a Hazardous Waste Transporter shall expire one year from the date of issuance.
NOTE

Authority cited: Sections 208, 25150 and 25168.1, Health and Safety Code. Reference: Sections 25159, 25163, 25165, 25166 and 25167, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66263.13. Inspection of Transporter.
Note     •     History

(a) Any person who transports or proposes to transport hazardous waste on a highway shall do all of the following in order to ensure compliance with this chapter:
(1) allow the Department of California Highway Patrol to randomly inspect the person's trucks, trailers, semitrailers, vacuum tanks, cargo tanks and containers;
(2) make vehicles and containers available for inspection at a safe work location when a random inspection is conducted onsite by the Department of California Highway Patrol;
(3) allow the Department to inspect manifests, reports, permits, licenses, billing records and other documents related to the handling or transporting of hazardous wastes;
(4) make available to the Department and the Department of California Highway Patrol, when requested, all records of inspection required by section 1163(e), Title 13, California Code of Regulations.
(b) Hazardous waste transporters, their trucks, trailers, semitrailers, vacuum tanks, cargo tanks and containers shall at all times comply with the Vehicle Code; with regulations adopted by the Department of California Highway Patrol, Subchapter 2, commencing with section 620, Subchapter 4, commencing with section 930, Subchapter 6, commencing with section 1150, and Subchapter 6.5, commencing with section 1200, chapter 2, Title 13, California Code of Regulations; and with this chapter. Notwithstanding the provisions of section 1200, chapter 2, Title 13, California Code of Regulations, all vehicles used for transporting hazardous waste on a highway shall be subject to the provisions of Subchapter 6.5, commencing with section 1200, chapter 2, Title 13, California Code of Regulations.
(c) The Department of California Highway Patrol or the Department may require testing, under prescribed conditions, of trucks, trailers, semitrailers, vacuum tanks, cargo tanks or containers used to transport hazardous wastes, in order to ensure compliance with this chapter.
(d) When so requested by the Department of California Highway Patrol or the Department, a hazardous waste transporter shall, within a reasonable period of time, perform any or all of the following actions:
(1) remove hazardous wastes or materials from the tank's containers, pipes, hoses or other appurtenances of a truck, trailer, semitrailer, vacuum tank, cargo tank or container in order to make it safe to inspect;
(2) remove covers and take other steps necessary to allow inspection;
(3) present the manifest for the waste last held in each truck, trailer, semitrailer, vacuum tank, cargo tank or container to be inspected.
(e) All vehicles and containers and any attached equipment used for the transportation of hazardous waste must be in sound condition and containers must be designed or maintained to contain hazardous waste.
NOTE

Authority cited: Sections 208, 25150, 25168.1 and 58012, Health and Safety Code. Reference: Sections 25159, 25168, 25169.1, 25185, 25186 and 58012, Health and Safety Code; and Sections 34001 to 34102, Vehicle Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (a)(1) and (a)(2), repealing subsection (e), relettering subsections, amending newly designated subsection (e) and amending Note filed 9-29-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 40).
§66263.14. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25168.1, Health and Safety Code. Reference: Sections 25159, 25168, 25168.3 and 25169.1, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect repealing section filed 9-29-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 40).
§66263.15. Transporter Registration Reporting Requirements.
Note     •     History

(a) A registered hazardous waste transporter shall notify the Department in writing within 30 days of the following occurrences:
(1) the transporter changes majority ownership, name or location;
(2) ownership or control of a vehicle or container certified by the Department is changed;
(3) a truck, trailer, semitrailer, vacuum tank, cargo tank, or container certified by the Department is involved in any spill, or in an accident which renders or may have rendered the vehicle or container in noncompliance with the requirements of this chapter.
(b) A registered hazardous waste transporter shall notify the Department in writing immediately upon notice of loss of the liability coverage specified in section 66263.11. A transporter shall cease to transport hazardous waste upon loss of liability coverage.
NOTE

Authority cited: Sections 208, 25150 and 25168.1, Health and Safety Code. Reference: Sections 25159, 25163, 25169 and 25186, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66263.16. Hazardous Waste Containers.
Note     •     History

(a) Each truck, trailer, semitrailer, vacuum tank, cargo tank or container used for shipping hazardous waste shall be so designed and constructed, and its contents so limited, that under conditions normally incident to transportation, there shall be no release of hazardous waste to the environment.
(b) Any truck, trailer, semitrailer, vacuum tank, cargo tank or container used for shipping hazardous waste shall be free from leaks and all discharge openings shall be securely closed during transportation.
NOTE

Authority cited: Sections 208, 25150 and 25168.1, Health and Safety Code. Reference: Sections 25163 and 25168.1, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66263.17. Identification Number for Transporters.
Note     •     History

(a) A transporter shall not transport hazardous wastes without first receiving an Identification Number and a registration certificate from the Department.
(b) A transporter who has not received an Identification Number may obtain one by applying to the USEPA Administrator or to the Department using EPA Form 8700-12 (Rev. 11/85). Upon receiving the request, the Department or the USEPA Administrator will assign an Identification Number to the transporter.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5, 25165 and 25168.1, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25165, Health and Safety Code, 40 CFR Section 263.11.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66263.18. Exempt Transfer Facility.
Note     •     History

(a) A transfer facility, as defined in section 25123.3(a)(3) of the Health and Safety Code, shall not be subject to the requirements of chapters 14, 15, 18 and 20 regarding a permit for waste storage when, during the normal course of transportation, hazardous waste is held as specified in subsection (b), and:
(1) all manifested shipments of packaged or containerized hazardous wastes meeting the packaging requirements of section 66262.30 shall only be transferred from one vehicle to another; and
(2) all packages or containers used in this transfer shall be the same packages or containers used for transporting the hazardous wastes and no additional handling shall take place.
(b) Hazardous waste is held at a transfer facility pursuant to any one of the following conditions: 
(1) if located in an area zoned by the local planning authority for industrial or agricultural land use, and hazardous wastes is held for 10 days or less, unless subject to subsection (b)(2). 
(2) if located in an area zoned agricultural by the local planning authority that commenced initial operations before January 1, 2005 and is located within 500 feet of a structure identified in Health and Safety Code, section 25232, subdivision (b), paragraph (1), subparagraphs (A) to (E), and hazardous waste is held for six days or less. 
(3) if located on land zoned by the local planning authority for other land use, unless subject to paragraph (1) and (2) of subsection (b) or not prohibited by subsection (c) of this section, and hazardous waste is held for six days or less. 
(c) The transfer facility exemption of this section does not apply and is prohibited as follows: 
(1) if located on property zoned residential by the local planning authority; or 
(2) if located at a transfer facility that commenced initial operations on and after January 1, 2005 and is located within 500 feet of a structure identified in Health and Safety Code section 25232, subdivision (b), paragraph (1), subparagraphs (A) to (E). 
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25168.1, Health and Safety Code. Reference: Sections 25123.3, 25159, 25159.5 and 25232, Health and Safety Code; and 40 Code of Federal Regulations Section 263.12.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending first paragraph filed 4-3-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 14).
3. Change without regulatory effect amending section heading, section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
4. Change without regulatory effect amending section filed 7-12-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 28).
Article 2. Compliance with the Manifest System and Recordkeeping
§66263.20. Manifest Procedures for the Transporter.
Note     •     History

(a) A transporter shall not accept hazardous waste from a generator unless it is accompanied by a manifest completed and signed in accordance with the provisions of article 2, chapter 12 of this division. In the case of RCRA hazardous waste exports other than those subject to Subpart H of 40 Code of Federal Regulations Part 262 or this article, a transporter shall not accept such waste from a primary exporter or other person (1) if the transporter knows the shipment does not conform to the U.S. EPA Acknowledgment of Consent; and (2) unless, in addition to a manifest signed in accordance with the provisions of article 2, chapter 12 of this division, such waste is also accompanied by an U.S. EPA Acknowledgment of Consent which, except for shipment by rail, is attached to the manifest (or shipping paper for exports by water (bulk shipment)). For exports of hazardous waste subject to the requirements of Subpart H of 40 Code of Federal Regulations Part 262, or this article, a transporter shall not accept hazardous waste without a tracking document that includes all information required by 40 Code of Federal Regulations section 262.84 or section 66262.84 of this division.
(b) Before transporting the hazardous waste, the transporter shall complete, sign and date the Transporter of Waste section of the manifest acknowledging acceptance of the hazardous waste from the generator. The transporter shall return a signed copy to the generator prior to removal of the waste from the generator's facility.
(c) The transporter shall ensure that the manifest accompanies the hazardous waste. In the case of RCRA hazardous waste exports, the transporter shall ensure that a copy of the U.S. EPA Acknowledgment of Consent also accompanies the hazardous waste.
(d) The transporter shall have a manifest in the transporter's possession while transporting the hazardous waste and shall release the manifest to another transporter or to the owner or operator of the designated hazardous waste facility accepting the waste.
(e) A transporter transporting hazardous wastes into or out of the State shall have in their possession a manifest with the Generator of Waste and Transporter of Waste sections completed.
(f) The transporter shall submit to the Department a legible copy of the manifest completed by the generator, transporter and hazardous waste facility owner or operator for each load of hazardous waste transported out of the State, within 15 days of the date that the load is accepted by the designated facility on the manifest. The manifest shall state the name and complete address of the hazardous waste facility to which the waste is transported. The transporter shall submit this copy to the Department at: 

DTSC FACILITY MANIFESTS (TRANSPORTER COPY) 
P.O. BOX 3000 
SACRAMENTO, CA 95812-3000 
(g) A transporter who delivers a hazardous waste to another transporter or to the designated facility shall:
(1) obtain the date of delivery and the handwritten signature of that transporter or of the owner or operator of the designated facility on the manifest; and
(2) retain one copy of the manifest in accordance with section 66263.22; and
(3) give the remaining copies of the manifest to the accepting transporter or designated facility.
(h) The requirements of subsections (c), (g) and (i) of this section do not apply to water (bulk shipment) transporters if:
(1) the hazardous waste is delivered by water (bulk shipment) to the designated facility; and
(2) a shipping paper containing all the information required on the manifest (excluding the Identification Numbers, generator certification, and signatures) and, for RCRA hazardous waste exports, an U.S. EPA Acknowledgment of Consent accompanies the hazardous waste; and
(3) the delivering transporter obtains the date of delivery and handwritten signature of the owner or operator of the designated facility on either the manifest or the shipping paper; and
(4) the person delivering the hazardous waste to the initial water (bulk shipment) transporter obtains the date of delivery and signature of the water (bulk shipment) transporter on the manifest and forwards it to the designated facility; and
(5) a copy of the shipping paper or manifest is retained by each water (bulk shipment) transporter in accordance with section 66263.22.
(i) For shipments involving rail transportation, the requirements of subsections (c), (e), (g) and (h) do not apply and the following requirements do apply:
(1) when accepting hazardous waste from a non-rail transporter, the initial rail transporter shall:
(A) sign and date the manifest acknowledging acceptance of the hazardous waste;
(B) return a signed copy of the manifest to the non-rail transporter;
(C) forward at least three copies of the manifest to:
1. the next non-rail transporter, if any; or,
2. the designated facility, if the shipment is delivered to that facility by rail; or
3. the last rail transporter designated to handle the waste in the United States;
(D) retain one copy of the manifest and rail shipping paper in accordance with section 66263.22.
(2) Rail transporters shall ensure that a shipping paper containing all the information required on the manifest (excluding the Identification Numbers, generator certification, and signatures) and, for exports of RCRA hazardous waste an U.S. EPA Acknowledgment of Consent accompanies the hazardous waste at all times. Intermediate rail transporters are not required to sign either the manifest or shipping paper.
(3) When delivering hazardous waste to the designated facility, a rail transporter shall:
(A) obtain the date of delivery and handwritten signature of the owner or operator of the designated facility on the manifest or the shipping paper (if the manifest has not been received by the facility); and
(B) retain a copy of the manifest or signed shipping paper in accordance with section 66263.22.
(4) When delivering hazardous waste to a non-rail transporter a rail transporter shall:
(A) obtain the date of delivery and the handwritten signature of the next non-rail transporter on the manifest; and
(B) retain a copy of the manifest in accordance with section 66263.22.
(5) Before accepting hazardous waste from a rail transporter, a non-rail transporter shall sign and date the manifest and provide a copy to the rail transporter.
(j) Transporters who transport hazardous waste out of the United States shall:
(1) for shipments initiated before September 5, 2006, indicate on the manifest the date the hazardous waste left the United States from the State.
For shipments initiated on and after September 5, 2006, sign and date the manifest in the International Shipments block (Item 16) to indicate the date that the shipment left the United States; and 
(2) for shipments initiated before September 5, 2006, sign the manifest and retain one copy in accordance with section 66263.22(c).
For shipments initiated on and after September 5, 2006, retain one copy in accordance with section 66263.22, subsection (d); and 
(3) return a signed copy of the manifest to the generator; and
(4) for RCRA-regulated hazardous waste, give a copy of the manifest to a U.S. Customs official at the point of departure from the United States.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25160, 25161 and 25162, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25160 and 25162, Health and Safety Code; and 40 Code of Federal Regulations Section 263.20.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22). 
2. Change without regulatory effect amending subsection (a) filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
3. Change without regulatory effect amending section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66263.21. Transporter Compliance with the Manifest.
Note     •     History

(a) The transporter shall deliver the entire quantity of hazardous waste which that transporter has accepted from a generator or a transporter to:
(1) the designated facility listed on the manifest; or
(2) the alternate designated facility, if the hazardous waste cannot be delivered to the designated facility because an emergency prevents delivery; or
(3) the next designated transporter; or
(4) the place outside the United States designated by the generator.
(b) For shipments initiated before September 5, 2006, if the hazardous waste cannot be delivered in accordance with paragraph (a) of this section, the transporter shall contact the generator for further directions and shall revise the manifest according to the generator's instructions.
(1) For shipments initiated on and after September 5, 2006, if the hazardous waste cannot be delivered in accordance with paragraph (a) of this section because of an emergency condition other than rejection of the waste by the designated facility, then the transporter shall contact the generator for further directions and shall revise the manifest according to the generator's instructions. 
(2) If hazardous waste is rejected by the designated facility while the transporter is on the facility's premises, then the transporter shall obtain the following: 
(A) For a partial load rejection or for regulated quantities of container residues, a copy of the original manifest that includes the facility's date and signature, and the Manifest Tracking Number of the new manifest that will accompany the shipment, and a description of the partial rejection or container residue in the discrepancy block of the original manifest. The transporter shall retain a copy of this manifest in accordance with 66263.22, and give the remaining copies of the original manifest to the rejecting designated facility. If the transporter is forwarding the rejected part of the shipment or a regulated container residue to an alternate facility or returning it to the generator, the transporter shall obtain a new manifest from the facility to accompany the shipment, and the new manifest shall include all of the information required in sections 66264.72 subsections (e)(1)-(6) or (f)(1)-(6) or 66265.72 subsections (e)(1)-(6) or (f)(1)-(6). 
(B) For a full load rejection that will be taken back by the transporter, a copy of the original manifest that includes the rejecting facility's signature and date attesting to the rejection, the description of the rejection in the discrepancy block of the manifest, and the name, address, phone number, and Identification Number for the alternate facility or generator to whom the shipment shall be delivered. The transporter shall retain a copy of the manifest in accordance with section 66263.22, and give a copy of the manifest containing this information to the rejecting designated facility. If the original manifest is not used, then the transporter shall obtain a new manifest from the facility for the shipment and comply with sections 66264.72 subsections (e)(1)-(6) or 66265.72 subsections (e)(1)-(6). 
(c) Whenever hazardous waste is received by a facility from a transporter in a vehicle or bulk container that will be removed from the facility after emptying, the transporter shall determine by inspection whether the vehicle or bulk container is empty pursuant to section 66261.7 prior to the removal of the container from the facility.
(d) If the vehicle or bulk container cannot be rendered empty pursuant to section 66261.7 by equipment and methods available at the facility, the transporter shall contact the generator pursuant to subsection (b), prior to removing the vehicle or bulk container from the facility. If the vehicle or bulk container is not empty, the transporter shall not move the vehicle or bulk container without a new manifest prepared pursuant to sections 66264.72 or 66265.72 or, if the facility is out of state, 40 Code of Federal Regulations sections 264.72 or 265.72. 
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25160 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25160 and 25162, Health and Safety Code; and 40 Code of Federal Regulations Section 263.21.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. New subsections (c)-(d) and amendment of Note filed 10-19-2000; operative 11-18-2000 (Register 2000, No. 42).
3. Change without regulatory effect amending subsection (b), adding subsections (b)(1)-(b)(2)(B) and amending subsection (d) and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66263.22. Recordkeeping Requirements for the Transporter.
Note     •     History

(a) A transporter of hazardous waste shall sign and keep a copy of the manifest signed by the generator and the next designated transporter or the owner or operator of the designated facility for a period of three years from the date the hazardous waste was accepted by the initial transporter.
(b) For shipments delivered to the designated facility by water (bulk shipment), each water (bulk shipment) transporter must retain a copy of the shipping paper containing all the information required in section 66263.20(g)(2) for a period of three years from the date the hazardous waste was accepted by the initial transporter.
(c) For shipments of hazardous waste by rail within, into, out of or through the State:
(1) the initial rail transporter within the State shall keep a copy of the manifest and shipping paper with all the information required in section 66263.20(h)(2) for a period of three years from the date the hazardous waste was accepted by the initial transporter; and
(2) the final rail transporter within the State shall keep a copy of the signed manifest (or the shipping paper if signed by the designated facility in lieu of the manifest) for a period of three years from the date the hazardous waste was accepted by the initial transporter. Intermediate rail transporters are not required to keep records pursuant to these regulations.
(d) A transporter who transports hazardous waste out of the United States from the State of California shall keep a copy of the manifest indicating that the hazardous waste left the United States for a period of three years from the date the hazardous waste was accepted by the initial transporter.
(e) The periods of retention referred to in this section are extended automatically during the course of any unresolved enforcement action regarding the regulated activity or as requested by the Department.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5, 25160 and 25161, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25160, Health and Safety Code, 40 CFR Section 263.22.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66263.23. Operation Requirements for the Transporter.
Note     •     History

(a) The transporter of a hazardous waste shall comply with requirements of this division and with applicable provisions of hazardous materials regulations adopted by the Department of California Highway Patrol, article 3, commencing with section 1160, subchapter 6, chapter 2, title 13, California Code of Regulations, pursuant to sections 34500 and 34501, Vehicle Code, governing containers, packing, labels, marking, vehicle placards, shipping papers, loading, shipping certificates and incident reporting.
(b) No transporter shall deliver hazardous waste to other than a hazardous waste facility which has an appropriate and valid Hazardous Waste Facility Permit or which is otherwise authorized by the Department to receive the waste.
(c) The transporter shall use a covered container to transport hazardous wastes that are subject to volatilization or dispersal by wind.
(d) Every vehicle used by a transporter to transport hazardous waste shall have the name or trademark of the firm on each side of the vehicle or container. The lettering shall be a color contrasting with the background so as to be readily legible during daylight from a distance of 50 feet.
NOTE

Authority cited: Sections 208, 25150, 25168.1 and 58012, Health and Safety Code. Reference: Sections 25162, 25163, 25168, 25169.1, 25186 and 58012, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect repealing subsection (d), relettering subsections and amending Note filed 9-29-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 40).
§66263.24. Load Rejection and Consolidated Manifesting.
Note     •     History

(a) This section applies to registered transporters operating pursuant to Health and Safety Code section 25160.2 and that are authorized by the department to operate as a consolidated transporter. 
(b) When a consolidated shipment is rejected by an offsite hazardous waste facility, the consolidated transporter may hold that shipment on the transport vehicle at the transporter's facility for no more than 10 days from the date the shipment is rejected, consistent with paragraph (3) of subdivision (b) of section 25123.3 of the Health and Safety Code. The transporter may not commingle the consolidated shipment with any other waste. 
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25160 and 58012, Health and Safety Code. Reference: Sections 25123.3, 25160.2, 25160.6(e) and 25162, Health and Safety Code; and 40 Code of Federal Regulations Section 263.21. 
HISTORY

1. Change without regulatory effect adding section filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
Article 3. Hazardous Waste Discharges
§66263.30. Immediate Action by the Transporter in the Case of a Hazardous Waste Discharge.
Note     •     History

(a) In the event of a discharge of hazardous waste during transportation, the transporter shall take appropriate immediate action to protect human health and the environment (e.g., notify local authorities, dike the discharge area).
(b) If a discharge of hazardous waste occurs during transportation and a representative of the Department, any local health officer or any local public officer as designated by the Department, or any federal agency official, acting within the scope of that person's official responsibilities determines that immediate removal of the waste is necessary to protect human health or the environment, that official may authorize the removal of the waste by transporters who do not have Identification Numbers, are not registered, and without the preparation of a manifest.
(c) An air, rail, highway, or water transporter who has discharged hazardous waste shall:
(1) give notice, if required by Title 49 CFR section 171.15, (as amended October 1, 1987,) to the National Response Center (800-424-8802 or 202-426-2675); and
(2) report in writing as required by Title 49 CFR section 171.16 (as amended April 1, 1984) to the Director, Office of Hazardous Materials Regulations, Materials Transportation Bureau, Department of Transportation, Washington, DC 20590, and the Department as required by section 66263.15(a)(3).
(d) A water (bulk shipment) transporter who has discharged hazardous waste shall give the same notice as required by Title 33 CFR section 153.203 (as amended July 1, 1988) for oil and hazardous substances.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5, 25160 and 25161, Health and Safety Code. Reference: Sections 25159, 25159.5, and 25180, Health and Safety Code, 40 CFR Section 263.30.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66263.31. Discharge Clean Up.
Note     •     History

A transporter shall clean up any hazardous waste discharge that occurs during transportation or take such action as may be required or approved by Federal, State, or local officials so that the hazardous waste discharge no longer presents a hazard to human health or the environment.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25168.1, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25169, Health and Safety Code; 40 CFR Section 263.31.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66263.32. Transporter Reporting Requirements for Missing Hazardous Waste of Concern.
Note     •     History

(a) The provisions of this section apply to the transporter of a hazardous waste of concern, as defined in section 66261.111(a). 
(b) Upon discovering that a hazardous waste of concern is missing during transportation of that waste, and the waste at issue represents a reportable quantity or a reportable difference in type, as specified in section 66261.111(b) and (c), the transporter shall immediately attempt to reconcile the reportable quantity or difference with the generator (e.g., with telephone conversations). If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, the transporter shall immediately notify the Department by calling 1-800-69-TOXIC (1-800-698-6942) and provide the following information: 
(1) Generator name and identification number; 
(2) Transporter(s) name(s), identification number(s), and, if available, transporter(s) registration number(s); 
(3) Destination facility name and identification number; 
(4) Manifest number; 
(5) Waste information (lines 11, 12, 13, and 14 of the manifest), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (as listed in Table I of the Appendix to Chapter 12, Article 7), quantity or volume of waste at issue, weight or volume units, and waste codes.
For shipments initiated on and after September 5, 2006, waste information (Items 9b, 10, 11, 12, and 13 of the manifest), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (found in the manifest Instructions in the Appendix to chapter 12, article 8), quantity or volume of waste at issue, weight or volume units, and waste codes; and 
(6) Potential locations or transportation routes where the hazardous waste of concern may have become missing (e.g., on highway or roads, rail line, transfer station, truck stop, etc.). 
(c) If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, in addition to complying with subsection (b), within 5 days after the reportable quantity or difference was discovered, the transporter shall submit to the Department a letter describing the reportable quantity or difference and attempts to reconcile it, and a copy of the manifest. 
(1) If the hazardous waste generator where the shipment originated is located in the counties of Los Angeles, Ventura, Santa Barbara, San Bernardino, Orange, Riverside, San Diego, or Imperial, the transporter shall submit the letter to the Complaint Coordinator, Department of Toxic Substances Control, Statewide Compliance Division, Chatsworth Regional Office, 9211 Oakdale Avenue, Chatsworth, CA 91311-6505.
(2) If the hazardous waste generator where the shipment originated is located in any other county, or outside California, the transporter shall submit the letter to the Complaint Coordinator, Department of Toxic Substances Control, Statewide Compliance Division, Northern California Branch, 8800 Cal Center Drive, Sacramento, California 95826-3200. 
(d) This section shall not be interpreted or applied to require that any written report required to be made pursuant to 49 Code of Federal Regulations section 171.16 (as revised October 1, 2002) also be made, copied, or delivered by the transporter to the Department. 
NOTE

Authority cited: Sections 25169.6, 25169.7 and 25169.8, Health and Safety Code. Reference: Sections 25169.5, 25169.6, 25169.7 and 25169.8, Health and Safety Code.
HISTORY

1. New section filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
2. Change without regulatory effect amending subsection (b)(5) filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
3. Change without regulatory effect amending subsection (c)(1) filed 11-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 47).
Article 4. Regulatory Exemptions for Certain Transportation Operations
§66263.40. Applicability.
Note     •     History

(a) This article establishes four special categories of variances for generators and transporters, and procedures for applying those variances. Each variance category corresponds to a type of hazardous waste transportation operation which, if conducted in accordance with the provisions of this article, poses an insignificant risk to human health or to the environment. These transportation operations, and the variance categories which apply to them, are defined in succeeding sections of this article as Emergency Response Incident (section 66263.43), PCB Waste (section 66263.44), Consolidation (section 66263.45) and Small Load (section 66263.46). Each specific variance category section has a specific applicability and set of requirements. The following general requirements shall apply to all sections, except where specifically exempted.
(b) RCRA hazardous waste shall not be transported under the provisions of this article, except as specifically provided.
(c) Except as provided in section 66263.44 for polychlorinated biphenyl (PCB) waste, extremely hazardous waste shall not be transported under the provisions of this article.
NOTE

Authority cited: Sections 208, 25143, 25150, 25161 and 25205.7, Health and Safety Code. Reference: Sections 25143, 25160, 25168, 25169 and 25169.1, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (a) and (c) filed 12-31-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 1).
§66263.41. General Requirements.
Note     •     History

(a) A transporter shall not transport hazardous waste under the provisions of this article without being registered with the Department.
(b) A transporter who is granted a variance under the provisions of this article is exempt from the requirements of Health and Safety Code, sections 25160, 25168.1 and 25169 regarding the use of the manifest, certification of vehicles and containers, and transporter insurance and from the requirements of this division adopted pursuant to those sections. In lieu of those requirements, the requirements of this article shall apply.
(c) The hazardous waste shall be transported in accordance with the regulations of the Department of California Highway Patrol (title 13, California Code of Regulations, article 3, commencing with section 1160, subchapter 6, chapter 2), the federal rules of the U. S. Department of Transportation (DOT) (Code of Federal Regulations, 49 CFR, Part 172, commencing with section 172.1, and 49 CFR, Part 173, commencing with section 173.1), and the federal rules of the U.S. EPA (40 CFR, Part 263, commencing with section 263.10). This paragraph shall not be construed to exempt the transporter from any other regulation unless expressly stated.
(d) A transporter who intends to operate under a variance category defined by this article shall apply to the Department by submitting a Transporter Regulatory Exemption Application/Variance form (DTSC Form 1294, Rev. 04/12), provided by the Department, before initiating the operation and at each renewal of their Hazardous Waste Transporter Registration. The application shall be signed by the transporter and shall include the following information:
(1) name, mailing address, telephone number, U.S. EPA or State ID number and the Hazardous Waste Transporter Registration Number;
(2) the type or types, physical characteristics and chemical composition of hazardous wastes to be transported under each variance;
(3) the specific section of this article corresponding to the variance category that best describes the transporter's intended operation(s) during the subsequent year;
(4) the estimated quantities of hazardous wastes listed pursuant to subparagraph (2) of this subsection.
(e) The Department shall review the application/variance form for completeness and for applicability of the provisions of this article to the intended transportation operation. A variance granted pursuant to this article shall be effective upon completion of the application/variance form by the Department and issuance to the transporter, in accordance with Health and Safety Code section 25143 and California Code of Regulations, Title 22, section 66260.210.
(f) Any transporter applying for and receiving a variance under this article shall have an exemption from the variance fee prescribed in Health and Safety Code, section 25205.7, subdivision (g), provided such exemption is specifically requested in the application and specifically authorized by the Department.
(g) The transporter shall send a copy of the variance to the generator prior to operating under the variance to show evidence of authority for such operation.
(h) An accident report regarding any hazardous waste transported pursuant to this article shall be submitted to the Department by the transporter within 10 days of an incident which results in a spill or release to the environment.
(i) Failure to comply with any applicable term of this article shall automatically nullify the exemption.
NOTE

Authority cited: Sections 25143, 25159 and 25205.7, Health and Safety Code. Reference: Section 25143, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending section and Note filed 7-13-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 28).
§66263.42. Specific Requirements for Milkrun Operations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25161, Health and Safety Code. Reference: Sections 25117.9, 25143, 25160, 25168, 25169 and 25169.1, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (d) filed 8-27-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 35).
3. Change without regulatory effect repealing section filed 12-31-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 1).
§66263.43. Specific Requirements for Emergency Response Incident Operations.
Note     •     History

(a) A transporter operating in accordance with this section shall be a state, local or county governmental agency emergency response incident unit.
(b) There shall be no restriction on the types of hazardous waste transported by the transporter specified in subsection (a).
(c) The total quantity shall not exceed five 85-gallon drums of hazardous waste from any incident site transported to the transporter's central collection facility.
(d) The transporter is exempt from the requirements of section 66263.13 regarding the vehicles and containers used to transport the hazardous wastes pursuant to this section.
(e) The transporter is exempt from the requirements of sections 66263.20 and 66263.21 regarding the use of the manifest. In lieu of the manifest, the transporter shall use a shipping paper which contains all the information required pursuant to 49 CFR, Part 172, Subpart C. The shipping paper must accompany the hazardous waste when transported from the incident site to the transporter's central collection facility.
(f) Transportation of the hazardous waste from the transporter's central collection facility to a hazardous waste facility shall be performed by a registered hazardous waste transporter using certified vehicles and/or containers. The hazardous waste shall be delivered to a permitted facility or to a facility which has been granted interim status, or to a facility which has been otherwise authorized to receive hazardous waste pursuant to Health and Safety Code, division 20, chapter 6.5, and their implementing regulations. The hazardous waste shall be properly manifested in accordance with the requirements of this chapter on the use of the Uniform Hazardous Waste Manifest.
(g) In addition to the information required in the application submitted pursuant to section 66263.41(d), the transporter shall provide the location of the central collection facility.
(h) Hazardous waste at the transporter's central collection facility shall be stored for no longer than 90 days and managed in accordance with section 66262.34.
(i) The transporter shall keep records of the types and quantities of hazardous wastes handled under this section at the central collection facility on an annual basis. These records shall be retained for a period of three years from the date the record was completed.
(j) The period of retention referred to in this section is extended automatically during the course of any unresolved enforcement action regarding the regulated activity or as requested by the Department.
NOTE

Authority cited: Sections 25143, 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25143, 25160, 25168.1 and 25169, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (d)-(g) and Note filed 7-13-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 28).
§66263.44. Specific Requirements for PCB Waste Operations.
Note     •     History

(a) A transporter operating in accordance with this section shall be any governmental agency or public utility that transports polychlorinated biphenyl (PCB) wastes generated within the transporter's service area. The transporter shall also be the generator of the PCB wastes.
(b) The transporter is exempt from the requirements of section 66263.13 regarding the vehicles and containers used to transport the PCB wastes pursuant to this section.
(c) In addition to the information required in the application submitted pursuant to section 66263.41(d), the transporter shall provide the location of the central collection facility.
(d) The transporter is exempt from the requirements of sections 66263.20 and 66263.21 regarding the use of the manifest. In lieu of the manifest, the transporter shall use a shipping paper which contains all the information required pursuant to 49 CFR, Part 172, Subpart C. The shipping paper must accompany the PCB wastes when transported from the transporter's service area to the transporter's central collection facility.
(e) Transportation of the PCB wastes from the transporter's central collection facility to a hazardous waste facility shall be performed by a registered hazardous waste transporter using certified vehicles and/or containers. The PCB wastes shall be delivered to a permitted facility or to a facility which has been granted interim status, or to a facility which has been otherwise authorized to receive hazardous waste pursuant to Health and Safety Code, division 20, chapter 6.5, and their implementing regulations. The PCB wastes shall be properly manifested in accordance with the requirements of this chapter on the use of the Uniform Hazardous Waste Manifest.
(f) Handling practices and storage time of the PCB wastes shall be allowed the same exemptions described in section 66263.18 of this chapter, when applied to handling and storage at transfer facilities.
(g) The transporter shall keep records of the total quantities of PCB wastes handled at the central collection facility on an annual basis. These records shall be retained for a period of three years from the date the record was completed.
(h) The period of retention referred to in this section is extended automatically during the course of any unresolved enforcement action regarding the regulated activity or as requested by the Department.
NOTE

Authority cited: Sections 25143, 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25143, 25160, 25168.1 and 25169, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (b)-(e) and Note filed 7-13-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 28).
§66263.45. Specific Requirements for Consolidation Operations.
Note     •     History

(a) A transporter operating in accordance with this section shall be any person that transports hazardous waste to a nonpermitted, temporary, hazardous waste storage facility in accordance with section 66263.18 for the purpose of consolidation of waste loads. The transporter shall also be the generator of the hazardous waste.
(b) The transporter is exempt from the requirement of section 66263.13 regarding the vehicles and containers used to transport the hazardous waste pursuant to this section.
(c) In addition to the information required in the application submitted pursuant to section 66263.41(d), the transporter shall provide the location of the temporary hazardous waste storage facility.
(d) The transporter is exempt from the requirements of sections 66263.20 and 66263.21 regarding the use of the manifest. In lieu of the manifest, the transporter shall use a shipping paper which contains all the information required pursuant to 49 CFR, Part 172, Subpart C. The shipping paper must accompany the hazardous wastes when transported from the place of generation to the transporter's temporary storage facility.
(e) This section applies only to hazardous wastes that are either:
(1) collected from generators who meet the requirements of 40 CFR, sections 261.5(a) and 261.5(g), as of July 1, 1988; or
(2) collected from generators of non-RCRA hazardous wastes totaling less than 100 kilograms per calendar month.
(f) The total quantity of each load of hazardous waste transported from the original generation location(s) to the temporary storage facility shall not exceed 100 kilograms.
(g) Transportation of the hazardous wastes from the temporary storage facility to a hazardous waste facility shall be performed by a registered hazardous waste transporter using a certified vehicle and/or containers. The hazardous waste shall be delivered to a permitted facility or to a facility which has been granted interim status, or to a facility which has been otherwise authorized to receive hazardous wastes pursuant to Health and Safety Code, division 20, chapter 6.5, and their implementing regulations. The hazardous waste shall be properly manifested in accordance with the requirements of this chapter on the use of the Uniform Hazardous Waste Manifest.
(h) Handling practices and storage time of the hazardous wastes shall be allowed the same exemptions described in section 66263.18 of this chapter, when applied to handling and storage at transfer facilities.
NOTE

Authority cited: Sections 25143, 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25143, 25160, 25168.1 and 25169, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (b)-(e) and (g) and amending Note filed 7-13-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 28).
§66263.46. Specific Requirements for Small Load Operations.
Note     •     History

(a) A transporter operating in accordance with this section shall only transport hazardous wastes in amounts no greater than 100 kilograms per load and no greater than 1,000 kilograms per calendar month, which is the total quantity of hazardous waste which shall be hauled by the transporter.
(b) This section applies only to hazardous wastes that are either:
(1) subject to reclamation agreements with generators of greater than 100 kilograms per month but less than 1,000 kilograms per month pursuant to the requirements of 40 CFR, sections 262.20(e) and 263.20(h), as of July 1, 1988; or
(2) collected from generators who meet the requirements of 40 CFR, sections 261.5(a) and 261.5(g), as of July 1, 1988; or
(3) collected from generators of non-RCRA hazardous wastes totaling less than 100 kilograms per calendar month.
(c) The transporter is exempt from the requirement to provide proof of ability to provide adequate response to damages pursuant to section 66263.11(a)(2).
(d) The transporter is exempt from the requirements of section 66263.13 regarding the vehicles and containers used to transport the hazardous wastes pursuant to this section.
(e) The transporter shall only deliver the hazardous waste to a permitted facility or to a facility which has been granted interim status, or to a facility which has been otherwise authorized to receive hazardous wastes pursuant to Health and Safety Code, division 20, chapter 6.5, and their implementing regulations.
(f) The transporter is exempt from the requirements of sections 66263.20 and 66263.21 regarding the use of the manifest. In lieu of the manifest, the transporter shall use a shipping paper which contains all the information required pursuant to 49 CFR, Part 172, Subpart C. The shipping paper must accompany the hazardous wastes when transported from the place of generation to the facility designated pursuant to subsection (e). In addition, the transporter shall include the name, address and U.S. EPA Identification Number of the designated facility on the shipping paper.
NOTE

Authority cited: Sections 25143, 25150, 25159 and 25161, Health and Safety Code. Reference: Sections 25143, 25160, 25168.1 and 25169, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (b)(1)-(2) and (d)-(f) and amending Note filed 7-13-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 28).
Article 5. Railroad Accident  Prevention and Immediate Deployment (RAPID) Force
§66263.50. Fee Requirements.
Note     •     History

(a) The fees collected pursuant to this section shall be deposited in the Hazardous Spill Prevention Account in the Railroad Accident Prevention and Response Fund.
(b) Surface transporters, for purposes of this section, means any railroad as defined under Section 229 of the Public Utilities Code which is subject to regulation under Section 421 of the Public Utilities Code and which transports hazardous materials; any motor carrier as defined in Section 508 of the Vehicle Code which is licensed or required to be licensed to transport hazardous materials pursuant to Section 32000.5 of the Vehicle Code; and, any motor carriers registered or required to be registered pursuant to Section 25163 of the Health and Safety Code.
(c) Hazardous material means any of the following:
(1) A hazardous material as defined in Section 172 of Title 49 of the Code of Federal Regulations.
(2) A hazardous material as defined in Section 25501 of the Health and Safety Code, including but not limited to, “hazardous materials” as defined in Section 1160.3 of Title 13 of the California Code of Regulations and “hazardous materials” as defined in Section 2402.7 of the Vehicle Code.
(d) Fees due under this section shall be paid each fiscal year by surface transporters who transport on California highways pursuant to Section (h) or by railroad lines pursuant to Section (k). The fees are due and payable to the Board of Equalization on December 31 of the State fiscal year beginning with 1992/93, or on such later date as notified by the Board of Equalization. The fees imposed by this regulation shall be paid in accordance with Part 22 (commencing with Section 43001) of Division 2 of the Revenue and Taxation Code.
(e) The total fees to be collected each fiscal year, under this section, shall be the amount appropriated by the Legislature for expenditure, plus an amount sufficient to maintain a two month reserve, less the fund balance carried over from the prior fiscal year. The reserve shall equal one-sixth of the total appropriation.
(f) The Department shall allocate the total amount to be collected each year equally between types of surface transporters, except that, to the extent practicable, any amounts which are attributable solely to one mode shall be allocated only to that mode.
(g) The Department shall determine the fee for each motor carrier by dividing the motor carriers' allocation of the total fees to be collected pursuant to subsection (f) by the number of motor carrier companies subject to the fee pursuant to subsection (h).
(h) A motor carrier is liable for the fees to be collected under these regulations if on July 1 of the fiscal year in which the fee is due, it possessed or was required to possess a hazardous materials transportation license or a hazardous waste registration.
(i) The total fees paid by all ICC Class I railroads which transport hazardous materials shall be 99.4 percent of the amount allocated to all railroads in subsection (f).
(j) The fee for each ICC Class I railroad shall be determined by applying the percentage rate applicable to each ICC Class I railroad in the most recent fee structure set for railroads by the PUC under Section 421 of the Public Utilities Code, to the total amount of fees to be collected from all ICC Class I railroads as determined in subsection (i).
(k) A railroad is liable for the fees due under these regulations if on July 1 of the fiscal year in which the fee is due it was regulated by the PUC and has transported a hazardous material during the preceding twelve months.
(1) Individual Interstate Commerce Commission (ICC) Class I railroads which transport hazardous materials within California may develop a schedule for allocating the fees to be collected from ICC Class I railroads among all ICC Class I railroads which transport hazardous materials and submit that schedule to the Department by June 30 of each year. The Department may grant an extension of the June 30 submission date if a written request is provided giving justification for the extension.
The schedule must clearly allocate the total amount to be collected from all ICC Class I railroads which transport hazardous materials to each railroad by assigning a percentage of the total to each railroad. The Department will adopt the schedule developed by the ICC Class I railroads and waive the schedule for ICC Class I railroads developed by the PUC under Section 421 of the Public Utilities Code, provided that all ICC Class I railroads agree to the proposed schedule and certify their agreement to the Department in writing through a letter which has been signed by representatives of all ICC Class I railroads.
(m) The fee for each ICC Class II and ICC Class III railroad which transports hazardous materials shall be the greater of .115 percent of gross revenues generated in California or $250. Each railroad's gross revenues shall be from their most recent fiscal year which ended prior to July 1 of the State's fiscal year (July 1 through June 30) in which the fees are due.
(n) Class II and Class III railroads may also develop a schedule of rates using the same procedure described in subsection (1).
(o) Acceptance of materials or services from individual railroads and motor carriers in lieu of paying part or all of the fees assessed shall be based upon the Department's judgement of its budget needs and the market value of the materials or services offered. The Department will inform the Board of Equalization of the amount, if any, to be credited against any railroad or motor carrier's account.
(p) Federal, state, county, city, city and county agencies, and other political subdivisions of the State, including but not limited to, school, irrigation and fire protection districts are exempt from the fees set forth in this section.
NOTE

Authority cited: Sections 7713 and 7714.5, Public Utilities Code. Reference: Sections 25163 and 25501, Health and Safety Code, Section 229 and 421, Public Utilities Code; Section 2402.7 and 32000.5, Vehicle Code; Section 1160.3, Title 13 CCR; 49 CFR Section 171.8, 49.
HISTORY

1. New article heading and section filed 11-20-92 as an emergency; operative 11-20-92 (Register 92, No. 47).  No Certificate of Compliance is required.  Pursuant to the provisions of Public Utilities Code section 7713, this emergency regulation shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed by the Secretary of the California Environmental Protection Agency.
2. Change without regulatory effect amending subsection (m) filed 1-11-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 3).
3. New section refiled 3-30-93 as an emergency (Register 93, No. 14).  No Certificate of Compliance is required,  pursuant to the provisions of Public Utilities Code section 7713.
4. New section refiled 7-26-93 as an emergency; operative 7-26-93 (Register 93, No. 31). No Certificate of Compliance is required,  pursuant to the provisions of Public Utilities Code section 7713.
5. Editorial correction amending History 1, 3 and 4 (Register 93, No. 48).
Chapter 14. Standards for Owners and Operators of Hazardous Waste Transfer, Treatment, Storage, and Disposal Facilities
Article 1. General
§66264.1. Purpose, Scope and Applicability.
Note     •     History

(a) The purpose of this chapter is to establish minimum standards which define the acceptable management of hazardous waste.
(b) The standards in this chapter apply to owners and operators of all facilities which transfer, treat, store, or dispose of hazardous waste, except as specifically provided otherwise in this chapter or chapters 11, 12 or 13 of this division.
(c) The requirements of this chapter apply to a person disposing of hazardous waste by means of ocean disposal subject to a permit issued under the Federal Marine Protection, Research, and Sanctuaries Act (33 U.S.C. section 1401, et seq.) only to the extent they are included in a permit by rule granted to such a person under chapter 20 of this division. Such person shall comply with the requirements of chapter 14 of this division when transferring, treating or storing hazardous waste before it is loaded onto an ocean vessel for incineration or disposal at sea.
(d) The standards in this chapter apply to owners and operators of all destination facilities, as defined in section 66273.9, that transfer, treat, store, or dispose of universal waste listed in section 66261.9, except as specifically provided otherwise in section 66273.60, subsections (b) and (c).
(e) The requirements of this chapter apply to the owner or operator of a POTW which transfers, treats, stores, or disposes of hazardous waste only to the extent they are included in a permit by rule granted to such a person under chapter 20 of this division.
(f) (Reserved)
(g) The requirements of this chapter do not apply to:
(1) (reserved);
(2) the owner or operator of a facility managing recyclable materials described in section 66261.6(a)(2)(B) of this division (except to the extent they are referred to in article 8 of chapter 16 of this division);
(3) a generator accumulating waste on-site in compliance with section 66262.34 of this division;
(4) a farmer disposing of waste pesticides from the farmer's own use in compliance with section 66262.70 of this division;
(5) (reserved);
(6) (reserved);
(7) (reserved);
(8)(A) except as provided in subsection (g)(8)(B) of this section, a person engaged in treatment or containment activities during immediate response to any of the following situations:
1. a discharge of a hazardous waste;
2. an imminent and substantial threat of a discharge of hazardous waste;
3. a discharge of a material which, when discharged, becomes a hazardous waste;
(B) an owner or operator of a facility otherwise regulated by this chapter shall comply with all applicable requirements of articles 3 and 4 of this chapter;
(C) any person who is covered by subsection (g)(8)(A) of this section and who continues or initiates hazardous waste treatment or containment activities after the immediate response is over is subject to all applicable requirements of this chapter and chapter 21 of this division for those activities;
(D) In the case of emergencies involving military munitions, the responding military emergency response specialist's organizational unit shall retain records for three years identifying the dates of the response, the responsible persons responding, the type and description of material addressed, and its disposition. For the purposes of this subsection, the term “military munitions” is as defined in 40 Code of Federal Regulations section 260.10. The requirements of this subsection apply only to military munitions that are regulated under the federal act, as defined in Health and Safety Code section 25115.1;
(9) a transporter storing manifested shipments of hazardous waste in containers at a transfer facility, or a transfer facility storing manifested shipments of hazardous waste in containers, for six days or less, or 10 days or less for transfer facilities in areas zoned industrial by the local planning authority, and meeting the requirements of sections 66262.30 and 66263.18;
(10) the addition of absorbent material to waste in a container (as defined in section 66260.10 of this division) or the addition of waste to absorbent material in a container, provided that these actions occur at the time waste is first placed in the container; and sections 66264.17(b), 66264.171, and 66264.172 are complied with;
(11) persons managing hazardous waste in a hazardous waste management unit not subject to 40 Code of Federal Regulations Part 264 (incorporated by reference in section 66260.11 of this division) pursuant to an exemption in 40 Code of Federal Regulations Section 264.1(g), if the waste managed in that unit is identified as a hazardous waste solely because it exhibits the characteristic of toxicity set forth in section 66261.24(a)(1) of this division.
(12) universal waste handlers and universal waste transporters, as defined in chapter 23 of this division, who manage universal waste as listed in section 66261.9. These universal waste handlers and universal waste transporters are subject to regulation under chapter 23 when managing universal wastes listed in section 66261.9 of this division.
(h) The requirements of this chapter apply to owners or operators of all facilities that transfer, treat, store, or dispose of hazardous wastes referred to in chapter 18 of this division.
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25159, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25115.1, 25118, 25141, 25159, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; and 40 Code of Federal Regulations Sections 260.10 and 264.1.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (b) and  (g)(9) filed 4-3-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 14).
3. Change without regulatory effect adding new subsection (g)(2) filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
4. New subsections (g)(12)-(g)(12)(C) and amendment of Note filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
5. New subsections (g)(12)-(g)(12)(C) and amendment of Note refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
6. New subsections (g)(12)-(g)(12)(C) and amendment of Note refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
7. New subsections (g)(12)-(g)(12)(C) and amendment of Note refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
8. New subsections (g)(12)-(g)(12)(C) and amendment of Note refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
9. New subsections (g)(12)-(g)(12)(C) and amendment of Note refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 11-2-2001 order, including further amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
11. Amendment of subsection (g)(12), repealer of subsections (g)(12)(A)-(C) and amendment of subsection (h) filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
12. Amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
13. Change without regulatory effect adding subsection (g)(8)(D) and amending subsection (g)(11) and Note filed 4-13-2007 pursuant to Health and Safety Code section 25159.1 (Register 2007, No. 15).
14. New subsection (d) and amendment of subsection (g)(12) filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66264.2. Compliance Schedule for Permit Modifications.
Note     •     History

The owner or operator of a hazardous waste facility who has received a hazardous waste facility permit on or before the effective date of this division and who is required to comply with the provisions of this chapter, shall submit a permit modification request pursuant to chapter 20, article 4 of this division to the Department within 180 days of July 1, 1991. The modification request shall describe the exact change(s) to be made to the facility to comply with the provisions of this chapter. The owner or operator of such a facility shall implement the approved modification(s) according to a schedule of compliance established by the Department.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25200, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.3. Relationship to Interim Status Standards.
Note     •     History

A facility owner or operator who has fully complied with the requirements for interim status, as defined in Health and Safety Code section 25200.5 and regulations under section 66270.70, shall comply with the regulations specified in chapter 15 of this division in lieu of the regulations in this chapter, until final administrative disposition of the facility's permit application is made, except as provided under article 15.5 of this chapter.
NOTE

Authority cited: Sections 58012 of the Governor's Reorganizational Plan # 1 of 1991, 25150,  25159, 25187, 25200.10, 25358.9, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25187, 25200, 25200.10, 25355.5, 25356.9, 25358.3 and 25358.9, Health and Safety Code; 40 CFR Section 264.3.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of section and Note filed 12-23-93 as an emergency; operative 12-23-93 (Register 93, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-9-94 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 4-25-94 as an emergency; operative 4-25-94 (Register 94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-94 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section refiled 12-22-94 as an emergency; operative 12-22-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-21-95 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section refiled 6-29-95 as an emergency; operative 6-29-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-95 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-26-95 order transmitted to OAL 11-30-95 and filed 1-16-96 (Register 96, No. 3).
§66264.4. Enforcement Actions.
Note     •     History

In addition to bringing an enforcement action pursuant to chapter 6.5 of division 20 commencing with section 25100 of the Health and Safety Code, the Department may take or secure actions pursuant to Health and Safety Code section 25358.3.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159, 25159.5, 25180.5 through 25196.6 and 25358.3, Health and Safety Code; 40 CFR Section 264.4.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
Article 2. General Facility Standards
§66264.10. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of all hazardous waste facilities, except as provided in section 66264.1.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.10.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.11. Identification Number.
Note     •     History

Every facility owner or operator shall apply to the Department for an Identification Number in accordance with the following notification procedure:
(a) For facilities required to obtain an identification number pursuant to 40 CFR Parts 250 to 270 (incorporated by reference in section 66260.11 of this division), by notifying the USEPA pursuant to 40 CFR Section 264.11; or
(b) For any other facility which treats, stores, transfers, or disposes of hazardous waste, by notifying the Department pursuant to Health and Safety Code section 25158.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.11.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.12. Required Notices.
Note     •     History

(a)(1) The owner or operator of a facility that has arranged to receive hazardous waste from a foreign source shall notify the Department in writing at least four weeks in advance of the date the waste is expected to arrive at the facility. Notice of subsequent shipments of the same waste from the same foreign source is not required. The notification shall be sent to the Import /Export Coordinator, Department of Toxic Substances Control, Hazardous Waste Management Program, Statewide Compliance Division, Chatsworth Regional Office, 9211 Oakdale Avenue, Chatsworth, CA 91311-6505.
(2) The owner or operator of a recovery facility that has arranged to receive hazardous waste subject to 40 CFR Part 262, Subpart H or this article shall provide a copy of the tracking document bearing all required signatures to the notifier, to the Office of Enforcement and Compliance Assurance, Enforcement Planning, Targeting and Data Division (2222A), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW, Washington, DC 20460; and to the competent authorities of all other concerned countries within three working days of receipt of the shipment. The original of the signed tracking document shall be maintained at the facility for at least three years.
(b) The owner or operator of a facility that receives hazardous waste from an off-site source (except where the owner or operator is also the generator) shall inform the generator in writing that the owner or operator has the appropriate permit(s) for, and will accept, the waste the generator is shipping. The owner or operator shall keep a copy of this written notice as part of the operating record.
(c) Before transferring ownership or operation of a facility during its operating life, or of a disposal facility during the post-closure care period, the owner or operator shall notify the new owner or operator in writing of the requirements of this chapter and chapter 20 of this division. An owner's or operator's failure to notify the new owner or operator of the requirements of this chapter shall not relieve the new owner or operator of the obligation to comply with all applicable requirements.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 Code of Federal Regulations Section 264.12.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect redesignating subsection (a) as new subsection (a)(1) and adding new subsection (a)(2) filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
3. Change without regulatory effect amending subsection (a)(1) and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
4. Change without regulatory effect amending subsections (a)(1)-(2) filed 11-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 47).
§66264.13. General Waste Analysis.
Note     •     History

(a)(1) Before an owner or operator transfers, treats, stores, or disposes of any hazardous waste, or non-hazardous waste if applicable under section 66264.113(d), the owner or operator shall obtain a detailed chemical and physical analysis of a representative sample of the waste. At a minimum, this analysis shall contain all the information which must be known to transfer, treat, store, or dispose of the waste in accordance with the requirements of this chapter and chapter 18 of this division and with the conditions of a permit issued under chapter 20 and chapter 21 of this division.
(2) The analysis may include data developed under chapter 11 of this division, and existing published or documented data on the hazardous waste or on hazardous waste generated from similar processes.
(A) The facility's records of analyses performed on the waste before the effective date of these regulations, or studies conducted on hazardous waste generated from processes similar to that which generated the waste to be managed at the facility, may be included in the data base required to comply with subsection (a)(1) of this section.
(B) The owner or operator of an off-site facility may arrange for the generator of the hazardous waste to supply part of the information required by subsection (a)(1) of this section, except as otherwise specified in section 66268.7(b) and (c).
(3) If the generator does not supply the information as specified in subsection (a)(2)(B) of this section, and the owner or operator chooses to accept a hazardous waste, the owner or operator shall obtain the information required to comply with this section.
(4) The analysis shall be repeated as necessary to ensure that it is accurate and up to date. At a minimum, the analysis shall be repeated:
(A) when the owner or operator is notified, or has reason to believe, that the process or operation generating the hazardous waste, or non-hazardous waste if applicable under section 66264.113(d), has changed; and
(B) for off-site facilities, when the results of the inspection required in subsection (a)(5) of this section indicate that the hazardous waste received at the facility does not match the waste designated on the accompanying manifest or shipping paper.
(5) The owner or operator of an off-site facility shall inspect and, if necessary, analyze each hazardous waste movement received at the facility to determine whether it matches the identity of the waste specified on the accompanying manifest or shipping paper.
(b) The owner or operator shall develop and follow a written waste analysis plan which describes the procedures which the owner or operator will carry out to comply with subsection (a) of this section. The owner or operator shall keep this plan at the facility. At a minimum, the plan shall specify:
(1) the parameters for which each hazardous waste, or non-hazardous waste if applicable under section 66264.113(d), will be analyzed and the rationale for the selection of these parameters (i.e., how analysis for these parameters will provide sufficient information on the waste's properties to comply with subsection (a) of this section);
(2) the test methods which will be used to test for these parameters;
(3) the sampling and sampling management methods which will be used to obtain a representative sample of the waste to be analyzed. The sampling, planning, methodology, equipment, sample processing, documentation and custody procedures shall be in accordance with either:
(A) one of the sampling methods described in Appendix I of chapter 11 of this division; or
(B) an equivalent sampling method;
(4) the frequency with which the initial analysis of the waste will be reviewed or repeated to ensure that the analysis is accurate and up to date; and
(5) for off-site facilities, the waste analyses that hazardous waste generators have agreed to supply;
(6) where applicable, the methods which will be used to meet the additional waste analysis requirements for specific waste management methods as specified in sections 66264.17, 66264.314, 66264.341, 66264.1034(d), 66264.1063(d), 66264.1083 and 66268.7 of this division.
(7) for owners and operators seeking an exemption to the air emission standards of article 28.5 in accordance with section 66264.1082:
(A) if direct measurement is used for the waste determination, the procedures and schedules for waste sampling and analysis, and the results of the analysis of test data to verify the exemption.
(B) if knowledge of the waste is used for the waste determination, any information prepared by the facility owner or operator or by generator of the hazardous waste, if the waste is received from offsite, that is used as the basis for knowledge of the waste.
(c) For off site facilities, the waste analysis plan required in subsection (b) of this section shall also specify the procedures which will be used to inspect and, if necessary, analyze each movement of hazardous waste received at the facility to ensure that it matches the identity of the waste designated on the accompanying manifest or shipping paper. At a minimum, the plan shall describe:
(1) the procedures which will be used to determine the identity of each movement of waste managed at the facility; and
(2) the sampling method which will be used to obtain a representative sample of the waste to be identified, if the identification method includes sampling.
(3) The procedures that the owner or operator of an off-site landfill receiving containerized hazardous waste will use to determine whether a hazardous waste generator or treater has added a biodegradable sorbent to the waste in the container.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.13.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b)(6) filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
3. New subsection (c)(3) and amendment of Note filed 8-8-95 as an emergency; operative 8-8-95 (Register 95, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-6-95 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to emergency amendment filed 9-15-95 by operation of Government Code section 11346.1(f) (Register 95, No. 37).
5. Amendment of subsection (a)(2)(B) filed 1-31-96; operative 1-31-96 (Register 96, No. 5).
6. Amendment of subsections (a)(1), (a)(4)(A) and (b)(1) and Note filed 6-20-96; operative 7-20-96 (Register 96, No. 25).
7. Change without regulatory effect amending subsection (a)(1) filed 10-22-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 43).
8. New subsection (c)(3) and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
9. Change without regulatory effect amending subsection (b)(6) and adding subsections (b)(7)-(b)(7)(B) filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.14. Security.
Note     •     History

(a) The owner or operator shall prevent the unknowing entry, and minimize the possibility for the unauthorized entry, of persons or livestock onto the active portion of the facility, unless the owner or operator can demonstrate to the Department as required in section 66270.14(b)(4) of chapter 20 that:
(1) physical contact with the waste, structures, or equipment within the active portion of the facility will not injure unknowing or unauthorized persons or livestock which may enter the active portion of a facility; and
(2) disturbance of the waste or equipment, by the unknowing or unauthorized entry of persons or livestock onto the active portion of a facility, will not cause a violation of the requirements of this chapter.
(b) Unless the owner or operator has made a successful demonstration under subsections (a)(1) and (2) of this section, a facility shall have:
(1) a 24-hour surveillance system (e.g., television monitoring or surveillance by guards or facility personnel) which continuously monitors and controls entry onto the active portion of the facility; or
(2)(A) an artificial or natural barrier (e.g., a fence in good repair or a fence combined with a cliff), which completely surrounds the active portion of the facility; and
(B) a means to control entry, at all times, through the gates or other entrances to the active portion of the facility (e.g., an attendant, television monitors, locked entrance, or controlled roadway access to the facility);
(3) the requirements of subsection (b) of this section shall be satisfied if the facility or plant within which the active portion is located itself has a surveillance system, or a barrier and a means to control entry, which complies with the requirements of subsection (b)(1) or (2) of this section.
(c) Unless the owner or operator has made a successful demonstration under subsections (a)(1) and (2) of this section, a sign with the legend, “Danger Hazardous Waste Area--Unauthorized Personnel Keep Out,” shall be posted at each entrance to the active portion of a facility, and at other locations, in sufficient numbers to be seen from any approach to this active portion. The legend shall be written in English, Spanish and in any other language predominant in the area surrounding the facility, and shall be legible from a distance of at least 25 feet. Existing signs with a legend other than “Danger Hazardous Waste Area--Unauthorized Personnel Keep Out” may be used if the legend on the sign indicates that only authorized personnel are allowed to enter the active portion, and that entry onto the active portion can be dangerous.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.14.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.15. General Inspection Requirements.
Note     •     History

(a) The owner or operator shall inspect the facility for malfunctions and deterioration, operator errors, and discharges which may be causing or may lead to: (1) release of hazardous waste constituents to the environment; or (2) a threat to human health. The owner or operator shall conduct these inspections often enough to identify problems in time to correct them before they harm human health or the environment.
(b)(1) The owner or operator shall develop and follow a written schedule for inspecting monitoring equipment, safety and emergency equipment, security devices, and operating and structural equipment (such as dikes and sump pumps) that are important to preventing, detecting, or responding to environmental or human health hazards.
(2) The owner or operator shall keep this schedule at the facility.
(3) The schedule shall identify the types of problems (e.g., malfunctions or deterioration) which are to be looked for during the inspection (e.g., inoperative sump pump, leaking fitting, eroding dike, etc.).
(4) The frequency of inspection may vary for the items on the schedule. However, it should be based on the rate of  deterioration of the equipment and the probability of an environmental or human health incident if the deterioration, malfunction or any operator error goes undetected between inspections. Areas subject to spills, such as loading and unloading areas, shall be inspected daily when in use. At a minimum, the inspection schedule shall include the items and frequencies called for in sections 66264.174, 66264.193, 66264.195, 66264.226, 66264.254, 66264.278, 66264.303, 66264.347, 66264.602, 66264.1033, 66264.1052, 66264.1053, 66264.1058, and 66264.1083 through 66264.1089, where applicable.
(5) In accordance with chapter 20 of this division, the inspection schedule shall be submitted with Part B of the permit application. The Department will evaluate the schedule along with the rest of the application to ensure that it adequately protects human health and the environment. As part of this review, the Department may modify or amend the schedule as may be necessary.
(c) The owner or operator shall remedy any deterioration or malfunction of equipment or structures which the inspection reveals on a schedule which ensures that the problem does not lead to an environmental or human health hazard. Where a hazard is imminent or has already occurred, remedial action shall be taken immediately.
(d) The owner or operator shall record inspections in an inspection log or summary. The owner or operator shall keep these records for at least three years from the date of inspection. At a minimum, these records shall include the date and time of the inspection, the name of the inspector, a notation of the observations made, and the date and nature of any repairs or other remedial actions.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.15.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b)(4) and Note filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
3. Amendment of subsection (b)(4) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
4. Change without regulatory effect amending subsection (b)(4) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.16. Personnel Training.
Note     •     History

(a)(1) Facility personnel shall successfully complete a program of classroom instruction or on-the-job training that teaches them to perform their duties in a way that ensures the facility's compliance with the requirements of this chapter. The owner or operator shall ensure that this program includes all the elements described in the document required under subsection (d)(3) of this section.
(2) This program shall be directed by a person trained in hazardous waste management procedures, and shall include instruction which teaches facility personnel hazardous waste management procedures (including contingency plan implementation) relevant to the positions in which they are employed.
(3) At a minimum, the training program shall be designed to ensure that facility personnel are able to respond effectively to emergencies by familiarizing them with emergency procedures, emergency equipment, and emergency systems, including, where applicable:
(A) procedures for using, inspecting, repairing, and replacing facility emergency and monitoring equipment;
(B) key parameters for automatic waste feed cut-off systems;
(C) communications or alarm systems;
(D) response to fires or explosions;
(E) response to groundwater contamination incidents; and
(F) shutdown of operations.
(b) Facility personnel shall successfully complete the program required in subsection (a) of this section within six months after the date of their employment or assignment to a facility, or to a new position at a facility. Employees hired after the effective date of these regulations shall not work in unsupervised positions until they have completed the training requirements of subsection (a) of this section.
(c) Facility personnel shall take part in an annual review of the initial training required in subsection (a) of this section.
(d) The owner or operator shall maintain the following documents and records at the facility:
(1) the job title for each position at the facility related to hazardous waste management, and the name of the employee filling each job;
(2) a written job description for each position listed under subsection (d)(1) of this section. This description may be consistent in its degree of specificity with descriptions for other similar positions in the same company location or bargaining unit, but shall include the requisite skill, education, or other qualifications, and duties of employees assigned to each position;
(3) a written description of the type and amount of both introductory and continuing training that will be given to each person filling a position listed under paragraph (d)(1) of this section;
(4) records that document that the training or job experience required under subsections (a), (b), and (c) of this section has been given to, and completed by, facility personnel.
(e) Training records on current personnel shall be kept until closure of the facility; training records on former employees shall be kept for at least three years from the date the employee last worked at the facility. Personnel training records may accompany personnel transferred within the same company.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.16.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.17. General Requirements for Ignitable, Reactive, or Incompatible Wastes.
Note     •     History

(a) The owner or operator shall take precautions to prevent accidental ignition or reaction of ignitable or reactive waste. This waste shall be separated and protected from sources of ignition or reaction including but not limited to: open flames, smoking, cutting and welding, hot surfaces, frictional heat, sparks (static, electrical, or mechanical), spontaneous ignition (e.g., from heat-producing chemical reactions), and radiant heat. While ignitable or reactive waste is being handled, the owner or operator shall confine smoking and open flame to specially designated locations. “No Smoking” signs shall be conspicuously placed wherever there is a hazard from ignitable or reactive waste.
(b) Where specifically required by other sections of this chapter, the owner or operator of a facility that transfers, treats, stores or disposes ignitable or reactive waste, or mixes incompatible waste or incompatible wastes and other materials, shall take precautions to prevent reactions which:
(1) generate extreme heat or pressure, fire or explosions, or violent reactions;
(2) produce uncontrolled toxic mists, fumes, dusts, or gases in sufficient quantities to threaten human health or the environment;
(3) produce uncontrolled flammable fumes or gases in sufficient quantities to pose a risk of fire or explosions;
(4) damage the structural integrity of the device or facility;
(5) through other like means threaten human health or the environment.
(c) When required to comply with subsection (a) or (b) of this section, the owner or operator shall document that compliance. This documentation may be based on references to published scientific or engineering literature, data from trial tests (e.g., bench scale or pilot scale tests), waste analyses (as specified in section 66264.13), or the results of the treatment of similar wastes by similar treatment processes and under similar operating conditions.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.17.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22). 
§66264.18. Location Standards.
Note     •     History

(a) Seismic considerations. (1) Portions of new facilities or facilities undergoing substantial modification where transfer, treatment, storage or disposal of hazardous waste will be conducted shall not be located within 61 meters (200 feet) of a fault which has had displacement in Holocene time.
(2) As used in subsection (a)(1) of this section:
(A) “fault” means a fracture along which rocks on one side have been displaced with respect to those on the other side;
(B) “displacement” means the relative movement of any two sides of a fault measured in any direction;
(C) “holocene” means the most recent epoch of the Quarternary period, extending from the end of the Pleistocene to the present.
(b) Floodplains.
(1) A facility located in a 100-year floodplain or within the maximum high tide shall be designed, constructed, operated, and maintained to prevent washout of any hazardous waste by a 100-year flood or maximum high tide, unless the owner or operator can demonstrate to the Department's satisfaction that procedures are in effect which will cause the waste to be removed safely, before flood or tide waters can reach the facility, to a location where the wastes will not be vulnerable to flood waters. If wastes are moved to a location within California, that location shall be a facility which is either permitted by the Department under chapter 20 of this division or in interim status under chapters 20 and 15 of this division.
(2) As used in subsection (b)(1) of this section:
(A) “100-year floodplain” means any land area which is subject to a one percent or greater chance of flooding in any given year from any source;
(B) “washout” means the movement of hazardous waste from the active portion of the facility as a result of flooding;
(C) “100-year flood” means a flood that has a one percent chance of being equalled or exceeded in any given year.
(c) Salt dome formations, salt bed formations, underground mines and caves.
The placement of any noncontainerized or bulk liquid hazardous waste in any salt dome formation, salt bed formation, underground mine or cave is prohibited.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.18.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.19. Construction Quality Assurance Program.
Note     •     History

(a) Construction Quality Assurance Program (CQA):
(1) A CQA program is required for all surface impoundment, waste pile, and landfill units that are required to comply with sections 66264.221(c) and (f), 66264.251(c) and (l), and 66264.301(c) and (d). The program shall ensure that the constructed unit meets or exceeds all design criteria and specifications in the permit. The program shall be developed and implemented under the direction of a CQA officer who is a California State registered professional Civil engineer.
(2) The CQA program shall address the following physical components, where applicable:
(A) Foundations;
(B) Dikes;
(C) Low-permeability soil liners;
(D) Geomembranes (flexible membrane liners);
(E) Leachate collection and removal systems and leak detection systems; and
(F) Final cover systems.
(b) Written CQA plan. The owner or operator of units subject to the CQA program under subsection (a) of this section shall develop and implement a written CQA plan. The plan shall identify steps that will be used to monitor and document the quality of materials and the condition and manner of their installation. The CQA plan shall include:
(1) Identification of applicable units, and a description of how they will be constructed.
(2) Identification of key personnel in the development and implementation of the CQA plan, and CQA officer qualifications.
(3) A description of inspection and sampling activities for all unit components identified in subsection (a)(2) of this section, including observations and tests that will be used before, during, and after construction to ensure that the construction materials and the installed unit components meet the design specifications. The description shall cover: Sampling size and locations; frequency of testing; data evaluation procedures; acceptance and rejection criteria for construction materials; plans for implementing corrective measures; and data or other information to be recorded and retained in the operating record under section 66264.73.
(c) Contents of program. (1) The CQA program shall include observations, inspections, tests, and measurements sufficient to ensure:
(A) Structural stability and integrity of all components of the unit identified in subsection (a)(2) of this section;
(B) Proper construction of all components of the liners, leachate collection and removal system, leak detection system, and final cover system, according to permit specifications and good engineering practices, and proper installation of all components (e.g., pipes) according to design specifications;
(C) Conformity of all materials used with design and other material specifications under sections 66264.221, 66264.251, and 66264.301.
(2) The CQA program shall include test fills for compacted soil liners, using the same compaction methods as in the full-scale unit, to ensure that the liners are constructed to meet the hydraulic conductivity requirements of sections 66264.221(c)(1)(A)2., 66264.251(c)(1)(A)2., and 66264.301(c)(1)(A)2. in the field. Compliance with the hydraulic conductivity requirements shall be verified by using in-situ testing on the constructed test fill. The Department may accept an alternative demonstration, in lieu of a test fill, where data are sufficient to show that a constructed soil liner will meet the hydraulic conductivity requirements of sections 66264.221(c)(1)(A)2., 66264.251(c)(1)(A)2., and 66264.301(c)(1)(A)2. in the field.
(d) Certification. Waste shall not be received in a unit subject to section 66264.19 until the owner or operator has submitted to the Department by certified mail or hand delivery a certification signed by the CQA officer that the approved CQA plan has been successfully carried out and that the unit meets the requirements of sections 66264.221(c) or (f), 66264.251(c) or (l), or 66264.301(c) or (d); and the procedure in section 66270.30(l)(2)(B) of this chapter has been completed. Documentation supporting the CQA officer's certification shall be furnished to the Department upon request.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.19.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
2. Change without regulatory effect amending subsections (a)(1) and (d) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66264.25. Seismic and Precipitation Design Standards.
Note     •     History

(a) Except as provided by sections 66264.175 and 66264.192, facilities subject to this chapter and all cover systems and drainage control systems required by this chapter shall be designed to function without failure when subjected to capacity, hydrostatic and hydrodynamic loads resulting from a 24-hour probable maximum precipitation storm.
(b) The following shall be designed, constructed and maintained to withstand the maximum credible earthquake without the level of public health and environmental protection afforded by the original design being decreased:
(1) all surface impoundments, waste piles, landfills and land treatment facilities subject to this chapter; and
(2) all covers and cover systems required by this chapter and all containment and control features which will remain after closure at permanent hazardous waste disposal areas.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
Article 3. Preparedness and Prevention
§66264.30. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of all hazardous waste facilities, except as section 66264.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150, and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.30.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.31. Design and Operation of Facility.
Note     •     History

Facilities shall be located, designed, constructed, maintained, and operated to minimize the possibility of a fire, explosion, or any unplanned sudden or non-sudden release of hazardous waste or hazardous waste constituents to air, soil, or surface water which could threaten human health or the environment.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.31.41
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.32. Required Equipment.
Note     •     History

All facilities shall be equipped with the following, unless it can be demonstrated to the Department that none of the hazards posed by waste handled at the facility could require a particular kind of equipment specified below:
(a) an internal communications or alarm system capable of providing immediate emergency instruction (voice or signal) to facility personnel;
(b) a device, such as a telephone (immediately available at the scene of operations) or a hand-held two-way radio, capable of summoning emergency assistance from local police departments, fire departments, or State or local emergency response teams;
(c) portable fire extinguishers, fire control equipment (including special extinguishing equipment, such as that using foam, inert gas, or dry chemicals), spill control equipment, and decontamination equipment; and
(d) water at adequate volume and pressure to supply water hose streams, or foam producing equipment, or automatic sprinklers, or water spray systems.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.32.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.33. Testing and Maintenance of Equipment.
Note     •     History

All facility communications or alarm systems, fire protection equipment, spill control equipment, and decontamination equipment, where required, shall be tested and maintained as necessary to assure its proper operation in time of emergency.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.33.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.34. Access to Communications or Alarm System.
Note     •     History

(a) Whenever hazardous waste is being poured, mixed, spread, or otherwise handled, all personnel involved in the operation shall have immediate access to an internal alarm or emergency communication device, either directly or through visual or voice contact with another employee, unless the Department has ruled that such a device is not required under section 66264.32.
(b) If there is ever just one employee on the premises while the facility is operating, the employee shall have immediate access to a device, such as a telephone (immediately available at the scene of operation) or a hand-held two-way radio, capable of summoning external emergency assistance, unless the Department has ruled that such a device is not required under section 66264.32.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.34.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.35. Required Aisle Space.
Note     •     History

The owner or operator shall maintain aisle space to allow the unobstructed movement of personnel, fire protection equipment, spill control equipment, and decontamination equipment to any area of facility operation in an emergency, unless it is demonstrated pursuant to section 66270.14(b)(6) to the Department that aisle space is not needed for any of these purposes.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.35.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.37. Arrangements with Local Authorities.
Note     •     History

(a) The owner or operator shall attempt to make the following arrangements, as appropriate, for the type of waste handled at the facility and the potential need for the services of these organizations:
(1) arrangements to familiarize police, fire departments, emergency response teams and the local Office of Emergency Services with the layout of the facility, properties of hazardous waste handled at the facility and associated hazards, places where facility personnel would normally be working, entrances to and roads inside the facility, and possible evacuation routes;
(2) where more than one police and fire department might respond to an emergency, agreements designating primary emergency authority to a specific police and a specific fire department, and agreements with any others to provide support to the primary emergency authority;
(3) agreements with State emergency response teams, emergency response contractors, and equipment suppliers; and
(4) arrangements to familiarize local hospitals with the properties of hazardous waste handled at the facility and the types of injuries or illnesses which could result from fires, explosions, or releases at the facility.
(b) Where State or local authorities decline to enter into such arrangements, the owner or operator shall document the refusal in the operating record.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.37.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
Article 4. Contingency Plan and Emergency Procedures
§66264.50. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of all hazardous waste facilities, except as section 66264.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.50.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.51. Purpose and Implementation of Contingency Plan.
Note     •     History

(a) Each owner or operator shall have a contingency plan for the facility. The contingency plan shall be designed to minimize hazards to human health or the environment from fires, explosions, or any unplanned sudden or non-sudden release of hazardous waste or hazardous waste constituents to air, soil, or surface water.
(b) The provisions of the plan shall be carried out immediately whenever there is a fire, explosion, or release of hazardous waste or hazardous waste constituents which could threaten human health or the environment.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.51.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.52. Content of Contingency Plan.
Note     •     History

(a) The contingency plan shall describe the actions facility personnel shall take to comply with sections 66264.51 and 66264.56 in response to fires, explosions, or any unplanned sudden or non-sudden release of hazardous waste or hazardous waste constituents to air, soil, or surface water at the facility.
(b) If the owner or operator has already prepared a Spill Prevention, Control, and Countermeasures (SPCC) Plan in accordance with Title 40 CFR Part 112, or Part 1510, or some other emergency or contingency plan, the owner or operator need only amend that plan to incorporate hazardous waste management provisions that are sufficient to comply with the requirements of this chapter.
(c) The plan shall describe arrangements agreed to by local police departments, fire departments, hospitals, contractors, and State and local emergency response teams to coordinate emergency services, pursuant to section 66264.37.
(d) The plan shall list names, addresses, and phone numbers (office and home) of all persons qualified to act as emergency coordinator (see section 66264.55), and this list shall be kept up to date. Where more than one person is listed, one shall be named as primary emergency coordinator and others shall be listed in the order in which they will assume responsibility as alternates. For new facilities, this information shall be supplied to the Department at the time of certification (see section 66270.14), rather than at the time of permit application.
(e) The plan shall include a list of all emergency equipment at the facility (such as fire extinguishing systems, spill control equipment, communications and alarm systems (internal and external), and decontamination equipment), where this equipment is required. This list shall be kept up to date. In addition, the plan shall include the location and a physical description of each item on the list, and a brief outline of its capabilities.
(f) The plan shall include an evacuation plan for facility personnel where there is a possibility that evacuation could be necessary. This plan shall describe signal(s) to be used to begin evacuation, evacuation routes, and alternate evacuation routes (in cases where the primary routes could be blocked by releases of hazardous waste or fires).
(g) The plan shall include the current telephone number of the State Office of Emergency Services.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.52.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.53. Copies of Contingency Plan.
Note     •     History

(a) A copy of the contingency plan and all revisions to the plan shall be:
(1) maintained at the facility; and
(2) submitted to all local police departments, fire departments, hospitals, and State and local emergency response teams that may be called upon to provide emergency services.
(b) The contingency plan shall be submitted to the Department with Part B of the permit application under chapter 20, of this division and, after modification or approval, will become a condition of any permit issued.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.53.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.54. Amendment of Contingency Plan.
Note     •     History

The contingency plan shall be reviewed, and immediately amended, if necessary, whenever:
(a) the facility permit is revised;
(b) the plan fails in an emergency;
(c) the facility changes in its design, construction, operation, maintenance, or other circumstances in a way that materially increases the potential for fires, explosions, or releases of hazardous waste or hazardous waste constituents, or changes the response necessary in an emergency;
(d) the list of emergency coordinators changes; or
(e) the list of emergency equipment changes.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.54.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.55. Emergency Coordinator.
Note     •     History

At all times, there shall be at least one employee either on the facility premises or on call (i.e., available to respond to an emergency by reaching the facility within a short period of time) with the responsibility for coordinating all emergency response measures. This emergency coordinator shall be thoroughly familiar with all aspects of the facility's contingency plan, all operations and activities at the facility, the location and characteristics of waste handled, the location of all records within the facility, and the facility layout. In addition, this person shall have the authority to commit the resources needed to carry out the contingency plan.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.55.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.56. Emergency Procedures.
Note     •     History

(a) Whenever there is an imminent or actual emergency situation, the emergency coordinator (or the emergency coordinator's designee when the emergency coordinator is on call) shall immediately:
(1) activate internal facility alarms or communication systems, where applicable, to notify all facility personnel; and
(2) notify appropriate State or local agencies with designated response roles if their help is needed.
(b) Whenever there is a release, fire, or explosion, the emergency coordinator shall immediately identify the character, exact source, amount, and areal extent of any released materials. The emergency coordinator may do this by observation or review of facility records or manifests, and, if necessary, by chemical analysis.
(c) Concurrently, the emergency coordinator shall assess possible hazards to human health or the environment that may result from the release, fire, or explosion. This assessment shall consider both direct and indirect effects of the release, fire, or explosion (e.g., the effects of any toxic, irritating, or asphyxiating gases that are generated, or the effects of any hazardous surface water run-off from water or chemical agents used to control fire and heat-induced explosions).
(d) If the emergency coordinator determines that the facility has had a release, fire, or explosion which could threaten human health, or the environment, outside the facility, the emergency coordinator shall report the findings as follows:
(1) if the emergency coordinator's assessment indicates that evacuation of local areas may be advisable, the emergency coordinator shall immediately notify appropriate local authorities. The emergency coordinator shall be available to help appropriate officials decide whether local areas should be evacuated; and
(2) the emergency coordinator shall, in every situation, immediately notify the State Office of Emergency Services. The report shall include:
(A) name and telephone number of reporter;
(B) name and address of facility;
(C) time and type of incident (e.g., release, fire);
(D) name and quantity of material(s) involved, to the extent known;
(E) the extent of injuries, if any; and
(F) the possible hazards to human health, or the environment, outside the facility.
(e) During an emergency, the emergency coordinator shall take all reasonable measures necessary to ensure that fires, explosions, and releases do not occur, recur, or spread to other hazardous waste at the facility. These measures shall include, where applicable, stopping processes and operations, collecting and containing release waste, and removing or isolating containers.
(f) If the facility stops operations in response to a fire, explosion, or release, the emergency coordinator shall monitor for leaks, pressure buildup, gas generation, or ruptures in valves, pipes, or other equipment, wherever this is appropriate.
(9) Immediately after an emergency, the emergency coordinator shall provide for treating, storing, or disposing of recovered waste, contaminated soil or surface water, or any other material that results from a release, fire, or explosion at the facility. Unless the owner or operator can demonstrate, in accordance with section 66261.3(c) or (d) of this division, that the recovered material is not a hazardous waste, the owner or operator becomes a generator of hazardous waste and shall manage it in accordance with all applicable requirements of chapters 12, 13, and 14 of this division.
(h) The emergency coordinator shall ensure that, in the affected area(s) of the facility:
(1) no waste that may be incompatible with the released material is transferred, treated, stored, or disposed of until cleanup procedures are completed; and
(2) all emergency equipment listed in the contingency plan is cleaned and fit for its intended use before operations are resumed.
(i) The owner or operator shall notify the Department, and appropriate State and local authorities, that the facility is in compliance with subsection (h) of this section before operations are resumed in the affected area(s) of the facility.
(j) The owner or operator shall note in the operating record the time, date, and details of any incident that requires implementing the contingency plan. Within 15 days after the incident, the owner or operator shall submit a written report on the incident to the Department. The report shall include:
(1) name, address, and telephone number of the owner or operator;
(2) name, address, and telephone number of the facility;
(3) date, time, and type of incident (e.g., fire, explosion);
(4) name and quantity of material(s) involved;
(5) the extent of injuries, if any;
(6) an assessment of actual or potential hazards to human health or the environment, where this is applicable; and
(7) estimated quantity and disposition of recovered material that resulted from the incident.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.56.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
Article 5. Manifest System, Recordkeeping, and Reporting
§66264.70. Applicability.
Note     •     History

(a) The regulations in this article apply to owners and operators of both on-site and off-site facilities, except as section 66264.1 provides otherwise. Sections 66264.71, 66264.72, and 66264.76 do not apply to owners and operators of on-site facilities that do not receive any hazardous waste from off-site sources.
(b) Compliance with the revisions to the Manifest form and procedures announced in the regulation published by U.S. EPA on March 4, 2005 and by the department on August 24, 2006, shall not be required until on and after September 5, 2006. 
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 Code of Federal Regulations Section 264.70.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect designating existing section as subsection (a), adding subsection (b) and amending Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66264.71. Use of Manifest System.
Note     •     History

(a)(1) If a facility receives hazardous waste accompanied by a manifest, the owner or operator, or the facility's agent, shall sign and date each copy of the manifest as indicated in paragraph (a)(2) of this section to certify that the hazardous waste covered by the manifest was received, that the hazardous waste was received except as noted in the discrepancy space of the manifest, or that the hazardous waste was rejected as noted in the manifest discrepancy space. 
(2) If a facility receives a hazardous waste shipment accompanied by a manifest, including a facility located out of state, the owner, operator or the facility's agent shall: 
(A) sign and date, by hand, each copy of the manifest; 
(B) note any significant discrepancies in the manifest (as defined in section 66264.72 subsection (a)) on each copy of the manifest, and enter the most appropriate Hazardous Waste Report Management Method codes for each waste listed on the manifest from the list published in the most recent Hazardous Waste Report, Instructions and Forms (EPA Form 8700-13A/B) and shown in Appendix II of chapter 14. 
(C) immediately give the transporter at least one copy of the signed manifest;
(D) within 30 days after the delivery, send a copy of the manifest to the generator;
(E) retain at the facility a copy of each manifest for at least three years from the date of delivery; 
(F) within 30 days of each receipt of hazardous waste submit to the Department a legible copy of each manifest used. The facility manifest copy shall be submitted to the department for every shipment on a manifest when California is either the generator state or the destination state. The facility manifest copy shall be mailed to: 

DTSC FACILITY MANIFESTS 
P.O. BOX 3000 
SACRAMENTO, CA 95812-3000; 
and 
(G) a facility shall determine whether the consignment state for a shipment regulates any additional wastes (beyond those regulated federally) as hazardous wastes under its state hazardous waste program. Facilities shall also determine whether the consignment state or generator state requires the facility to submit any copies of the manifest to these states. 
(b) If a facility receives, from a rail or water (bulk shipment) transporter, hazardous waste which is accompanied by a shipping paper containing all the information required on the manifest (excluding the Identification Numbers, generator's certification, and signatures), the owner or operator, or the facility's agent, shall:
(1) sign and date each copy of the manifest or shipping paper (if the manifest has not been received) to certify that the hazardous waste covered by the manifest or shipping paper was received;
(2) note any significant discrepancies as defined in section 66264.72(a) in the manifest or shipping paper (if the manifest has not been received) on each copy of the manifest or shipping paper;
(3) immediately give the rail or water (bulk shipment) transporter at least one copy of the manifest or shipping paper (if the manifest has not been received);
(4) within 30 days after the delivery, send a copy of the signed and dated manifest or a signed and dated copy of the shipping paper (if the manifest has not been received within 30 days after delivery) to the generator;
(5) within 30 days of each receipt of hazardous waste submit to the Department a legible copy of each manifest or shipping paper (if the manifest has not been received) used; and
(6) retain at the facility a copy of the manifest and shipping paper (if signed in lieu of the manifest at the time of delivery) for at least three years from the date of delivery.
(c) Whenever a shipment of hazardous waste is initiated from a facility, the owner or operator of that facility shall comply with the requirements of chapter 12 of this division.
(d) In addition to submitting a copy of the manifest to the department, if a facility receives federally regulated hazardous waste imported from a foreign source, the receiving facility shall mail a copy of the manifest to the following address within 30 days of delivery: International Compliance Assurance Division, OFA/OECA (2254A), U.S. Environmental Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue, NW., Washington, DC 20460. 
(e) Within three working days of the receipt of a shipment subject to the requirements of 40 Code of Federal Regulations Part 262, Subpart H or this article, the owner or operator of the facility shall provide a copy of the tracking document bearing all required signatures to the notifier, to the Office of Enforcement and Compliance Assurance, Enforcement Planning, Targeting and Data Division (2222A), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460; and to competent authorities of all other concerned countries. The original copy of the tracking document shall be maintained at the facility for at least three years from the date of signature.
(f) Whenever hazardous waste is received by a facility from a transporter in a vehicle or bulk container that will be removed from the facility after emptying, the transporter shall determine by inspection whether the vehicle or bulk container is empty pursuant to section 66261.7 prior to the removal of the vehicle or bulk container from the facility.
(g) If a vehicle or bulk container cannot be rendered empty pursuant to section 66261.7 by equipment and methods available at the facility, the transporter shall follow the procedure in subsection (b) of section 66263.21. If the vehicle or bulk container is not empty, the transporter shall not move the vehicle or bulk container without the designated facility preparing a new manifest pursuant to section 66264.72 or 40 Code of Federal Regulations section 264.72 if located out of state. 
(h) The provisions of section 66262.34 are applicable to the on-site accumulation of hazardous wastes by generators. Therefore, the provisions of section 66262.34 only apply to owners or operators who are shipping hazardous waste which they generated at that facility.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 Code of Federal Regulations Section 264.71; Hazardous Waste Report, Instructions and Forms (EPA Form 8700-13A/B); and 70 Fed. Reg. 10776 (Mar. 4, 2005), p. 10786-10787.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding new subsection (d) filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
3. New subsections (e)-(g) and amendment of Note filed 10-19-2000; operative 11-18-2000 (Register 2000, No. 42).
4. Amendment of subsections (a)(2) and (b)(2) and amendment of Note filed 4-4-2002 as an emergency; operative 4-4-2002 (Register 2002, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2002 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(2) and (b)(2) and amendment of Note refiled 8-1-2002 as an emergency; operative 8-1-2002 (Register 2002, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-2-2002 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)(2) and (b)(2) and amendment of Note refiled 12-2-2002 as an emergency; operative 12-3-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (a)(2) and (b)(2) and amendment of Note refiled 4-1-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
8. Repealer of 4-1-2003 order and amendment of Note filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
9. Change without regulatory effect amending section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
10. Change without regulatory effect amending subsection (e) filed 11-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 47).
§66264.72. Manifest Discrepancies.
Note     •     History

(a) Manifest discrepancies are: 
(1) Significant differences (as defined by paragraph (b) of this section) between the quantity or type of hazardous waste designated on the manifest or shipping paper, and the quantity or type of hazardous waste a facility actually receives. 
(2) Rejected wastes, which may be a full or partial shipment of hazardous waste that the TSDF cannot accept; or 
(3) Container residues, which are residues that exceed the quantity limits for “empty” containers set forth in 40 Code of Federal Regulations section 261.7(b) or section 66261.7 of this division. 
(b) Significant discrepancies in quantity are: For bulk waste, variations greater than 10 percent in weight; for batch waste, any variation in piece count, such as a discrepancy of one drum in a truckload. Significant discrepancies in type are obvious differences which can be discovered by inspection or waste analysis, such as waste solvent substituted for waste acid or toxic constituents not reported on the manifest or shipping paper. 
(c) Upon discovering a significant discrepancy in quantity or type, the owner or operator shall attempt to reconcile the discrepancy with the waste generator or transporter (e.g., with telephone conversations). If the discrepancy is not resolved within 15 days after receiving the waste, the owner or operator shall immediately submit to the Department a letter describing the discrepancy and attempts to reconcile it, and a copy of the manifest or shipping paper at issue. Significant Discrepancy Reports should be mailed to: 

DTSC REPORT REPOSITORY 
GENERATOR INFORMATION SERVICES SECTION 
P.O. BOX 806 
SACRAMENTO, CA 95812-0806 
(d)(1) Upon rejecting waste or identifying a container residue that exceeds the quantity limits for “empty” containers set forth in 40 Code of Federal Regulations section 261.7(b) or section 66261.7 of this division, the facility shall consult with the generator prior to forwarding the waste to another facility that can manage the waste. If it is impossible to locate an alternative facility that can receive the waste, the facility may return the rejected waste or residue to the generator. The facility shall send the waste to the alternative facility or to the generator within the time frame specified in the permit or 60 days, whichever is shorter, of the rejection or the container residue identification. The waste shall be managed consistent with any applicable permit conditions. The waste shall be handled consistent with the requirements of section 25200.19 of the Health and Safety Code. 
(2) While the facility is making arrangements for forwarding rejected wastes or residues to another facility under this section, it shall ensure that either the delivering transporter retains custody of the waste, or, the facility shall provide for secure, temporary custody of the waste, pending delivery of the waste to the first transporter designated on the manifest prepared under paragraph (e) or (f) of this section. 
(e) Except as provided in paragraph (e)(7) of this section, for full or partial load rejections and residues that are to be sent off-site to an alternate facility, the facility is required to prepare a new manifest in accordance with section 66262.20, subsection (a) of this division or 40 Code of Federal Regulations section 262.20(a), if located out of state, and the following instructions: 
(1) Write the generator's EPA ID number in Item 1 of the new manifest. Write the generator's name and mailing address in Item 5 of the new manifest. If the mailing address is different from the generator's site address, then write the generator's site address in the designated space for Item 5. 
(2) Write the name of the alternate designated facility and the facility's EPA ID number in the designated facility block (Item 8) of the new manifest. 
(3) Copy the manifest tracking number found in Item 4 of the old manifest to the Special Handling and Additional Information Block of the new manifest, and indicate that the shipment is a residue or rejected waste from the previous shipment. 
(4) Copy the manifest tracking number found in Item 4 of the new manifest to the manifest reference number line in the Discrepancy Block of the old manifest (Item 18a). 
(5) Write the U.S. Department of Transportation description for the rejected load or the residue in Item 9 (U.S. DOT Description) of the new manifest and write the container types, quantity, and volume(s) of waste. 
(6) Sign the Generator's/Offeror's Certification to certify, as the offeror of the shipment, that the waste has been properly packaged, marked and labeled and is in proper condition for transportation. 
(7) For full load rejections that are made while the transporter remains present at the facility, the facility may forward the rejected shipment to the alternate facility by completing Item 18b of the original manifest and supplying the information on the next destination facility in the Alternate Facility space. The facility shall retain a copy of this manifest for its records, and then give the remaining copies of the manifest to the transporter to accompany the shipment. If the original manifest is not used, then the facility shall use a new manifest and comply with paragraphs (e)(1), (2), (3), (4), (5), and (6) of this section. 
(f) Except as provided in paragraph (f)(7) of this section, for rejected wastes and residues that shall be sent back to the generator, the facility is required to prepare a new manifest in accordance with section 66262.20, subsection (a) of this division or 40 Code of Federal Regulations section 262.20(a), if located out of state, and the following instructions: 
(1) Write the facility's EPA ID number in Item 1 of the new manifest. Write the generator's name and mailing address in Item 5 of the new manifest. If the mailing address is different from the generator's site address, then write the generator's site address in the designated space for Item 5. 
(2) Write the name of the initial generator and the generator's U.S. EPA ID number in the designated facility block (Item 8) of the new manifest. 
(3) Copy the manifest tracking number found in Item 4 of the old manifest to the Special Handling and Additional Information Block of the new manifest, and indicate that the shipment is a residue or rejected waste from the previous shipment. 
(4) Copy the manifest tracking number found in Item 4 of the new manifest to the manifest reference number line in the Discrepancy Block of the old manifest (Item 18a). 
(5) Write the U.S. DOT description for the rejected load or the residue in Item 9 (U.S. DOT Description) of the new manifest and write the container types, quantity, and volume(s) of waste. 
(6) Sign the Generator's/Offeror's Certification to certify, as offeror of the shipment, that the waste has been properly packaged, marked and labeled, and is in proper condition for transportation. 
(7) For full load rejections that are made while the transporter remains at the facility, the facility may return the shipment to the generator with the original manifest by completing Item 18a and 18b of the manifest and supplying the generator's information in the Alternate Facility space. The facility shall retain a copy for its records and then give the remaining copies of the manifest to the transporter to accompany the shipment. If the original manifest is not used, then the facility shall use a new manifest and comply with paragraphs (f)(1), (2), (3), (4), (5), and (6) of this section. 
(g) If a facility rejects a waste or identifies a container residue that exceeds the quantity limits for “empty” containers set forth in 40 Code of Federal Regulations section 261.7(b) or section 66261.7 of this division, after it has signed, dated, and returned a copy of the manifest to the delivering transporter or to the generator, the facility shall amend its copy of the manifest to indicate the rejected wastes or residues in the discrepancy space of the amended manifest. The facility shall also copy the manifest tracking number from Item 4 of the new manifest to the Discrepancy space of the amended manifest, and shall re-sign and date the manifest to certify to the information as amended. The facility shall retain the amended manifest for at least three years from the date of amendment, and shall within 30 days, send a copy of the amended manifest to the transporter and generator that received copies prior to their being amended. The facility shall submit a copy of the amended manifest within 30 days to the department at the address provided in section 66264.71, subsection (a)(2)(F). 
(h) Upon discovering a discrepancy involving a hazardous waste of concern, as defined in section 66261.111(a), and the waste at issue represents a reportable quantity or a reportable difference in type, as specified in section 66261.111(b) and (c), the owner or operator shall attempt to reconcile the reportable quantity or difference with the waste generator or transporter. If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, the owner or operator shall immediately notify the Department by calling 1-800-69-TOXIC (1-800-698-6942) and providing the following information: 
(1) Facility name and identification number; 
(2) Generator name and identification number; 
(3) Transporter(s) name(s), identification number(s), and, if available, transporter(s) registration number(s); 
(4) Manifest number; 
(5) Waste information (lines 11, 12, 13, and 14 of the manifest), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (as listed in Table I of the Appendix to Chapter 12, Article 7), quantity or volume of waste at issue, weight or volume units, and waste codes. 
For shipments initiated on and after September 5, 2006, waste information (Items 9b, 10, 11, 12, and 13 of the manifest), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (found in the manifest instructions in the Appendix to chapter 12, article 8), quantity or volume of waste at issue, weight or volume units, and waste codes; and 
(6) Potential locations or transportation routes where the hazardous waste of concern may have become missing (e.g., on highway or roads, rail line, transfer station, truck stop, etc.). 
(i) If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, in addition to complying with subsection (h), within 5 days after discovering the reportable quantity or difference, the owner or operator shall submit to the Department a letter describing the reportable quantity or difference and attempts to reconcile it, and a copy of the manifest at issue. 
(1) Owners or operators of facilities located in the counties of Los Angeles, Ventura, Santa Barbara, San Bernardino, Orange, Riverside, San Diego, or Imperial shall submit the letter to the Complaint Coordinator, Department of Toxic Substances Control, Statewide Compliance Division Chatsworth Regional Office, 9211 Oakdale Avenue, Chatsworth, CA 91311-6505.
(2) Owners or operators of facilities located in any other county, or out of state, shall submit the letter to the Complaint Coordinator, Department of Toxic Substances Control, Statewide Compliance Division, Northern California Branch, 8800 Cal Center Drive, Sacramento, California 95826-3200. 
NOTE

Authority cited: Sections 25150, 25159, 25169.6, 25169.7 and 25169.8, Health and Safety Code. Reference: Sections 25159, 25159.5, 25160.6, 25169.5, 25169.6, 25169.7 and 25200.19, Health and Safety Code; 40 Code of Federal Regulations Section 264.72; 2005 Hazardous Waste Report, Instructions and Forms (EPA Form 8700-13A/B); and 70 Fed. Reg. 10776 (Mar. 4, 2005), p. 10786-10787.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of section and Note filed 4-4-2002 as an emergency; operative 4-4-2002 (Register 2002, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 8-1-2002 as an emergency; operative 8-1-2002 (Register 2002, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-2-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 12-2-2002 as an emergency; operative 12-3-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 4-1-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
6. Repealer of 4-1-2003 order, new subsections (c)-(d)(2) and amendment of Note filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
7. Change without regulatory effect amending section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
8. Change without regulatory effect amending subsection (i)(1) filed 11-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 47).
§66264.73. Operating Record.
Note     •     History

(a) The owner or operator shall keep a written operating record at the facility.
(b) The following information shall be recorded, as it becomes available, and maintained in the operating record until closure of the facility:
(1) a description and the quantity of each hazardous waste received, and the method(s) and date(s) of its transfer, treatment, storage, or disposal at the facility as required by Appendix I, of this chapter;
(2) the location of each hazardous waste within the facility and the quantity at each location. For disposal facilities, the location and quantity of each hazardous waste shall be recorded on a map or diagram of each cell or disposal area. For all facilities, this information shall include cross-references to specific manifest document numbers, if the waste was accompanied by a manifest;
(3) records and results of waste analyses and waste determinations performed as specified in sections 66264.13, 66264.17, 66264.314, 66264.341, 66264.1034, 66264.1063, 66264.1083, and 66268.7 of this division;
(4) summary reports and details of all incidents that require implementing the contingency plan as specified in section 66264.56(j);
(5) records and results of inspections as required by section 66264.15(d) (except these data need be kept only three years);
(6) monitoring, testing, or analytical data and corrective action where required by article 6 and sections 66264.19, 66264.191, 66264.193, 66264.195, 66264.222, 66264.223, 66264.226, 66264.252, 66264.253, 66264.254, 66264.276, 66264.278, 66264.280, 66264.302, 66264.303, 66264.304, 66264.309, 66264.347, 66264.602, 66264.1034(c) through 66264.1034(f), 66264.1035, 66264.1063(d) through 66264.1063(i), 66264.1064, and 66264.1082 through 66264.1090;
(7) for off-site facilities, notices to generators as specified in section 66264.12(b); and
(8) all closure cost estimates under section 66264.142, and, for disposal facilities, all post-closure cost estimates under section 66264.144;
(9) a certification by the permittee no less often than annually, that the permittee has a program in place to reduce the volume and toxicity of hazardous waste that the permittee generates to the degree determined by the permittee to be economically practicable; and the proposed method of transfer, treatment, storage or disposal is that practicable method currently available to the permittee which minimizes the present and future threat to human health and the environment;
(10) records of the quantities (and date of placement) for each shipment of hazardous waste placed in land disposal units under an extension to the effective date of any land disposal restriction granted pursuant to section  66268.5 and the applicable notice required by a generator under section 66268.7(a);
(11) for an off-site treatment facility, a copy of the notice, and the certification if applicable, required by the generator or the owner or operator under section 66268.7;
(12) for an on-site treatment facility, the information contained in the notice (except the manifest number), and the certification if applicable, required by the generator or the owner or operator under section 66268.7;
(13) for an off-site land disposal facility, a copy of the notice, and the certification if applicable, required by the generator or the owner or operator of a treatment facility under section 66268.7; and
(14) for an on-site land disposal facility, the information contained in the notice required by the generator or owner or operator of a treatment facility under section 66268.7, except for the manifest number, and the certification if applicable;
(15) for an off-site storage facility, a copy of the notice, and the certification if applicable, required by the generator or the owner or operator under section 66268.7; and
(16) for an on-site storage facility, the information contained in the notice (except the manifest number), and the certification if applicable, required by the generator or the owner or operator under section 66268.7.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25208.4(c), Health and Safety Code; and 40 CFR Section 264.73.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (b)(3) and (b)(6) and Note filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
3. Amendment of subsection (b)(6) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
4. Amendment of subsections (b)(3) and (b)(10)-(16) filed 1-31-96; operative 1-31-96 (Register 96, No. 5).
5. Change without regulatory effect amending subsections (b)(3) and (b)(6) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
6. Change without regulatory effect amending subsection (a)(10) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
7. Change without regulatory effect amending subsection (b)(10) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66264.74. Availability, Retention, and Disposition of Records.
Note     •     History

(a) All records, including plans, required under this chapter shall be furnished upon request, and made available at all reasonable times for inspection, by any officer, employee, or representative of EPA who is duly designated by the USEPA Administrator, the Department, the State Water Resources Control Board, or a regional water quality control board.
(b) The retention period for all records required under this chapter is extended automatically during the course of any unresolved enforcement action regarding the facility or as requested by the Department or the USEPA Administrator.
(c) A copy of records of waste disposal locations and quantities under section 66264.73(b)(2) shall be submitted to the Department, the appropriate regional water quality control board, and local land authority upon closure of the facility.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.74.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.75. Annual Report.
Note     •     History

For the Annual report on activities for 1995, only facilities that are required under Title 40 of the Code of Federal of Regulations (CFR), section 264.75 to prepare and submit this report are subject to this section for the report. This Report, due on March 1, 1996 is to be submitted on U.S. EPA form 8700-13A/B (5-80) (8-95) provided by the Department. Facilities required to submit this report for activities conducted during 1995 are facilities which treated, stored, or disposed of RCRA hazardous waste on site in units subject to RCRA permitting requirements during 1995.
The owner or operator shall prepare and submit single copies of an annual report to the Department and the appropriate regional water quality control board by March 1 of each year. The annual report shall be submitted on forms provided by the Department, EPA Form 8700-13A/B, 5-80, (Revised 11-89). The report shall cover facility activities during the previous calendar year and shall include:
(a) the Identification Number, name, and address of the facility;
(b) the calendar year covered by the report;
(c) for off-site facilities, the Identification Number of each hazardous waste generator from which the facility received a hazardous waste during the year; for imported shipments, the report shall give the name and address of the foreign generator;
(d) a description, including any applicable EPA hazardous waste number from chapter 11, articles 3 or 4 of this division, California Hazardous Waste Number from chapter 11, Appendix XII of this division, and DOT hazard class, and the quantity of each hazardous waste the facility received during the year. Wastes that are classified as non-RCRA wastes shall be described by indicating a generic name of the waste and the phrase “Non-RCRA Hazardous Waste.” When possible, the generic name shall be obtained from chapter 11, Appendix X, subdivision (e) of this division. If the generic name is not listed in chapter 11, Appendix X, subdivision (e) the commonly recognized industrial name of the waste shall be used. For off-site facilities, this information shall be listed by Identification Number of each generator;
(e) the method of transfer, treatment, storage, or disposal for each hazardous waste;
(f) reserved;
(g) the most recent closure cost estimate under section 66264.142, and, for disposal facilities, the most recent post-closure cost estimate under section 66264.144; and
(h) for generators who transfer, treat, store, or dispose of hazardous waste on-site, a description of the efforts undertaken during the year to reduce the volume and toxicity of waste generated;
(i) for generators who transfer, treat, store, or dispose of hazardous waste on-site, a description of the changes in volume and toxicity of waste actually achieved during the year in comparison to previous years to the extent such information is available for the years prior to 1984;
(j) the certification signed by the owner or operator of the facility or the facility's authorized representative;
(k) the environmental monitoring data specified in section 66264.73;
(l) the owner or operator shall certify the following in writing for waste shipped offsite after January 1, 1990. The certification shall be attached to the Annual Report and include the following:
(1) whether the hazardous waste shipped offsite has a heating value of 3,000 British Thermal Units per pound of waste or less, and a volatile organic compound (VOC) content of one percent or less by weight; and
(2) if the waste had a heating value or VOC content greater than that specified in subsection (l)(1), that:
(A) the waste was incinerated or treated by any method that has been authorized by the Department as part of a hazardous waste facility permit issued pursuant to Health and Safety Code section 25200; or
(B) the waste is exempted from the requirements of chapter 18, article 12; or
(C) the waste was recycled; or
(D) the waste was shipped out of California for incineration, treatment, disposal or recycling.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25155.5, 25159, 25159.5 and 25202.9, Health and Safety Code; 40 CFR Section 264.75.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. New first paragraph filed 3-5-97; operative 4-4-97 (Register 97, No. 10).
3. Change without regulatory effect amending subsection (a)(10) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66264.76. Unmanifested Waste Report.
Note     •     History

(a) If a facility accepts for transfer, treatment, storage, or disposal any hazardous waste from an off-site source without an accompanying manifest, or without an accompanying shipping paper as described in section 66263.20(e)(2) of this division, and if the waste is not excluded from the manifest requirement of this chapter, then the owner or operator shall prepare and submit a single copy of a report to the Department within fifteen days after receiving the waste. The unmanifested waste report shall be submitted in the form of a letter to the Department at: 

DTSC REPORT REPOSITORY 
GENERATOR INFORMATION SERVICES SECTION 
P.O. BOX 806 
SACRAMENTO, CA 95812-0806 
Such report shall be designated `Unmanifested Waste Report' and include the following information:
(1) the Identification Number, name, and address of the facility;
(2) the date the facility received the waste;
(3) the Identification Number, name, and address of the generator and the transporter, if available;
(4) a description and the quantity of each unmanifested hazardous waste the facility received;
(5) the method of transfer, treatment, storage, or disposal for each hazardous waste;
(6) the certification signed by the owner or operator of the facility or the facility's authorized representative; and
(7) a brief explanation of why the waste was unmanifested, if known.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 Code of Federal Regulations Section 264.76.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66264.77. Additional Reports.
Note     •     History

In addition to submitting the annual reports and unmanifested waste reports described in sections 66264.75 and 66264.76, the owner or operator shall also report to the Department:
(a) releases, fires, and explosions as specified in section 66264.56(j);
(b) facility closures specified in section 66264.115; and
(c) as otherwise required by chapter 14, articles 6, 7 through 14, 27, 28 and 28.5 of this division.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.77.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (c)  and Note filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
3. Change without regulatory effect amending subsection (c) filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.78. Reporting Hazardous Wastes of Concern Discovered To Be Missing While in Storage.
Note     •     History

(a) The owner or operator of a hazardous waste facility, except a facility operating under a Permit by Rule, Conditional Authorization, or Conditional Exemption, shall comply with reporting requirements set forth in this section, in the event that a hazardous waste of concern, as defined in section 66261.111(a), is discovered to be missing during storage at the facility, and the waste at issue represents a reportable quantity or a reportable difference in type, as specified in section 66261.111(b) and (c). 
(b) Upon discovering that a hazardous waste of concern is missing, and the waste at issue represents a reportable quantity or a reportable difference in type, the owner or operator shall immediately attempt to reconcile the reportable quantity or difference (e.g., by reviewing facility records). If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, the owner or operator shall immediately notify the Department by calling 1-800-69-TOXIC (1-800-698-6942) and providing the following information: 
(1) Facility name and identification number; 
(2) Generator name and identification number, if available; 
(3) Transporter name, identification number, and transporter registration number, if available; 
(4) Manifest number, if available; 
(5) Waste information (lines 11, 12, 13, and 14 of the manifest), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (as listed in Table I of the Appendix to Chapter 12, Article 7), quantity or volume of waste at issue, weight or volume units, and waste codes.
For shipments initiated on and after September 5, 2006, waste information (Items 9b, 10, 11, 12, and 13 of the manifest), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (found in the manifest instructions in the Appendix to chapter 12, article 8), quantity or volume of waste at issue, weight or volume units, and waste codes; and 
(6) Potential locations or transportation routes where the hazardous waste of concern may have become missing (e.g., areas at the facility the waste was handled or stored or during transportation to the facility on highway or roads, by rail line, transfer station, truck stop, etc.). 
(c) If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, in addition to complying with subsection (b), within 5 days after discovering the reportable quantity or difference, the owner or operator shall submit to the Department a letter describing the reportable quantity or difference and attempts to reconcile it. The owner or operator shall mail the letter to the appropriate address for the county in which the facility is located, as specified in section 66264.72(i). 
NOTE

Authority cited: Sections 25169.6, 25169.7 and 25169.8, Health and Safety Code. Reference: Sections 25169.5, 25169.6 and 25169.7, Health and Safety Code; and 40 Code of Federal Regulations 262 Appendix.
HISTORY

1. New section filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
2. Change without regulatory effect amending subsection (b)(5) and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).

Appendix II -- Hazardous Waste Report Management Method Codes

The following Hazardous Waste Report Management Codes established by U.S. EPA are to be used by Designated Facilities in completing Item 19 on the manifest and Item 36 on the manifest continuation sheet on and after September 5, 2006. 

Hazardous Waste Report Management Method Codes 
and Code Groups

Codes 	Description 

Reclamation and Recovery 

	H010	Metals recovery including retorting, smelting, chemicals, etc. 

	H020	Solvents recovery 

	H039	Other recovery of reclamation for reuse including acid regeneration, organics recovery, etc. 

	H050	Energy recovery at this site -- use as fuel (includes on-site fuel blending) 

	H061	Fuel blending prior to energy recovery at another site 

Destruction or Treatment Prior to Disposal at Another Site 

	H040	Incineration--thermal destruction other than use as a fuel 

	H071	Chemical reduction with or without precipitation 

	H073	Cyanide destruction with or without precipitation 

	H075	Chemical oxidation 

	H076	Wet air oxidation 

	H077	Other chemical precipitation with or without pre-treatment 

	H081	Biological treatment with or without precipitation 

	H082	Adsorption 

	H083	Air or steam stripping 

	H101	Sludge treatment and/or dewatering 

	H103	Absorption 

	H111	Stabilization or chemical fixation prior to disposal at another site 

	H112	Macro-encapsulation prior to disposal at another site 

	H121	Neutralization only 

	H122	Evaporation 

	H123	Settling or clarification 

	H124	Phase separation 

	H129	Other treatment 

Disposal 

	H131	Land treatment or application (to include on-site treatment and/or stabilization) 

	H132	Landfill or surface impoundment that will be closed as landfill (to include onsite treatment and/or stabilization) 

	H134	Deepwell or underground injection (with or without treatment) 

	H135	Discharge to sewer/POTW or NPDES (with prior storage--with or without treatment) 

Storage and Transfer 

	H141	Storage, bulking, and/or transfer off site--no treatment/recovery (H010-H129), fuel blending (H061), or disposal (H131-H135) at this site 
NOTE

Note: Authority cited: Sections 25150, 25159, 25159.5 and 25168.1, Health and Safety Code. Reference: Sections 25123.3, 25159 and 25159.5, Health and Safety Code; 2005 Hazardous Waste Report, Instructions and Forms (EPA Form 8700-13A/B); and 70 Fed. Reg. 10776 (Mar. 4, 2005), p. 10786-10787. 
HISTORY

1. Change without regulatory effect adding Appendix II filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
Article 6. Water Quality Monitoring and Response Programs for Permitted Facilities
§66264.90. Applicability.
Note     •     History

(a) The regulations in this article apply to owners or operators of permitted hazardous waste facilities. A surface impoundment, waste pile, land treatment unit or landfill that receives or has received hazardous waste after July 26, 1982 shall comply with the requirements of this article for purposes of detecting, characterizing, and responding to releases to groundwater, surface water or the unsaturated zone. The Department shall require an owner or operator of a surface impoundment, waste pile, land treatment unit or landfill that ceased receiving hazardous waste by July 26, 1982 to comply with the requirements of this article if the Department determines that constituents in or derived from waste placed in the surface impoundment, waste pile, land treatment unit or landfill may pose a threat to human health or the environment. A surface impoundment, waste pile, land treatment unit or landfill required to comply with the provisions of this article is hereinafter referred to as a “regulated unit.”
(b) The facility permit shall contain assurances of financial responsibility for completing corrective action for all releases from any regulated unit at the facility.
(c) The regulations under this article apply during the active life of the regulated unit (including the closure period). After closure of the regulated unit, the regulations in this article apply during the postclosure care period under section 66264.117 of article 7 of this chapter and during any compliance period under section 66264.96 unless:
(1) the regulated unit has been in compliance with the water quality protection standard for a period of three consecutive years; and
(2) all waste, waste residues, contaminated containment system components, contaminated subsoils and all other contaminated geologic materials are removed or decontaminated at closure.
(d) Regulations in this article apply to miscellaneous units when necessary to comply with sections 66264.601 through 66264.603 of article 16 of this chapter.
(e) The Department may replace all or part of the requirements of sections 66264.91 through 66264.100 applying to a regulated unit with alternative requirements for a water quality monitoring and response program set out in the permit where the Department determines that:
(1) The regulated unit is situated among solid waste management units (or areas of concern), a release has occurred, and both the regulated unit and one or more solid waste management unit(s) (or areas of concern) are likely to have contributed to the release; and
(2) It is not necessary to apply the water quality monitoring and response program requirements of sections 66264.91 through 66264.100 because alternative requirements will protect human health and the environment. 
(f) In order to apply section 66264.90(e), the owner or operator must submit a report to the Department that demonstrates that each proposed alternative to the requirements of sections 66264.91 through 66264.100 shall provide adequate protection of human health and the environment. The demonstration report shall include the rationale and all supporting data for each proposed alternative requirement. The owner or operator is not relieved of any requirement of sections 66264.91 through 66264.100 until the Department evaluates the submitted report and issues or modifies the permit. 
(g) If the owner or operator determines that any alternative requirement specified through section 66264.90(f) may not adequately protect human health and the environment, the owner or operator shall, within 90 days, submit an application for a permit modification to make any appropriate changes to the water quality monitoring and response program.
(h) In the event that the Department determines that any alternative requirement specified through section 66264.90(f) may not adequately protect human health and the environment, the Department shall send written notification of such determination to the owner or operator by certified mail, return receipt requested. As part of the determination, the Department may require that certain requirements of sections 66264.91 through 66264.100 be reinstated in whole or part. The owner or operator shall, within 90 days after receipt of such notification by the Department, submit an application for a permit modification to make any appropriate changes to the water quality monitoring and response program. 
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.90.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Repealer of subsection (e) and new subsections (e)-(h) and amendment of Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66264.91. Required Programs.
Note     •     History

(a) An owner or operator subject to this article shall conduct a monitoring and response program for each regulated unit at the facility as follows:
(1) the owner or operator shall institute a detection monitoring program under section 66264.98 except as required under subsections (a)(2), (a)(3) and (a)(4) of this section;
(2) the owner or operator shall institute an evaluation monitoring program under section 66264.99 whenever there is statistically significant evidence of a release, pursuant to section 66264.98(g) or (i), from the regulated unit during a detection monitoring program;
(3) the owner or operator shall institute an evaluation monitoring program under section 66264.99 whenever there is significant physical evi-- dence of a release from the regulated unit. Significant physical evidence of a release includes unexplained volumetric changes in surface impoundments, unexplained stress in biological communities, unexplained changes in soil coloration, visible signs of leachate migration, unexplained water table mounding beneath or adjacent to the regulated unit, and any other change to the environment that could reasonably be expected to be the result of a release from the regulated unit; and
(4) the owner or operator shall institute a corrective action program under section 66264.100 when the Department determines pursuant to section 66264.99 that the assessment of the nature and extent of the release and the design of the corrective action program have been satisfactorily completed and the Department approves the application for a permit modification for corrective action submitted by the owner or operator during an evaluation monitoring program pursuant to section 66264.99(d) or section 66265.99(d).
(b) The Department shall specify in the facility permit the specific elements of each monitoring and response program. For each regulated unit, the Department shall include one or more of the programs identified in subsection (a) of this section in the facility permit as may be necessary to protect human health or the environment and shall specify the circumstances under which each of the programs will be required. In deciding whether to require the owner or operator to be prepared to institute a particular program, the Department shall consider the potential adverse effects on human health or the environment that might occur before final administrative action on a permit modification application to incorporate such a program could be taken.
(c) In conjunction with an evaluation monitoring program or a corrective action program, the owner or operator shall continue to conduct a detection monitoring program under section 66264.98 as necessary to provide the best assurance of the detection of subsequent releases from the regulated unit.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.91.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.92. Water Quality Protection Standard.
Note     •     History

(a) For each regulated unit, the Department shall establish a water quality protection standard in the facility permit. This water quality protection standard shall consist of the list of constituents of concern under section 66264.93, the concentration limits under section 66264.94, and the point of compliance and all monitoring points under section 66264.95. This water quality protection standard shall apply during the active life of the regulated unit, the post-closure care period under section 66264.117 of article 7 of this chapter, and any compliance period under section 66264.96.
(b) If an owner or operator is conducting a detection monitoring program in conjunction with an evaluation monitoring program or a corrective action program for a regulated unit pursuant to section 66264.91(c), the Department may establish separate water quality protection standards for each program.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.92.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.93. Constituents of Concern.
Note     •     History

For each regulated unit, the Department shall specify in the facility permit the constituents of concern to which the water quality protection standard of section 66264.92 applies. Constituents of concern are the waste constituents, reaction products, and hazardous constituents that are reasonably expected to be in or derived from waste contained in the regulated unit.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.93.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.94. Concentration Limits.
Note     •     History

(a) For each constituent of concern specified pursuant to section 66264.93, the owner or operator shall propose one of the following for each medium (groundwater, surface water and the unsaturated zone) monitored pursuant to section 66264.97:
(1) a concentration limit not to exceed the background value of that constituent as determined under section 66264.97(e)(11)(A);
(2) that the permit include a statement that, at any given time, the concentration limit for that constituent will be equal to the background value of that constituent, as determined pursuant to section 66264.97(e)(11)(B); or
(3) a concentration limit greater than background established pursuant to this section for a corrective action program.
(b) The Department shall review the proposed concentration limits and statements and shall approve, modify or disapprove each proposed limit and each proposed statement. Upon final approval by the Department, each concentration limit and each statement shall be specified in the facility permit. The Department shall only approve different concentration limits for different monitoring points in the same medium where necessary:
(1) to describe background conditions in multiple surface water bodies, multiple aquifers or geochemically dissimilar zones in the same aquifer;
(2) because the statistical method approved for a constituent uses intrawell comparisons procedures; or
(3) because concentration limits greater than background have been established for a corrective action program at the monitoring points in the zone affected by a release from the regulated unit.
(c) For a corrective action program, the Department shall establish a concentration limit for a constituent of concern that is greater than the background value of that constituent only if the owner or operator demonstrates and the Department finds that it is technologically or economically infeasible to achieve the background value for that constituent and that the constituent will not pose a substantial present or potential hazard to human health or the environment as long as the concentration limit greater than background is not exceeded. In making this finding, the Department shall consider the factors specified in subsection (d) of this section, the results of the engineering feasibility study submitted pursuant to section 66264.99(c), data submitted by the owner or operator pursuant to section 66264.99(d)(2) to support the proposed concentration limit greater than background, public testimony on the proposal and any additional data obtained during the evaluation monitoring program.
(d) In establishing a concentration limit greater than background for a constituent of concern, the Department shall consider the following factors:
(1) potential adverse effects on groundwater quality, considering:
(A) the physical and chemical characteristics of the waste in the regulated unit;
(B) the hydrogeologic characteristics of the facility and surrounding land;
(C) the quantity of groundwater and the direction of groundwater flow;
(D) the proximity and withdrawal rates of groundwater users;
(E) the current and potential future uses of groundwater in the area;
(F) the existing quality of groundwater, including other sources of contamination and their cumulative impact on the groundwater quality;
(G) the potential for health risks caused by human exposure to waste constituents;
(H) the potential damage to wildlife, crops, vegetation and physical structures caused by exposure to waste constituents; and
(I) the persistence and permanence of the potential adverse effects; and
(2) potential adverse effects on surface water quality, considering:
(A) the volume and physical and chemical characteristics of the waste in the regulated unit;
(B) the hydrogeologic characteristics of the facility and surrounding land;
(C) the quantity and quality of groundwater, and the direction of groundwater flow;
(D) the patterns of precipitation in the region;
(E) the proximity of the regulated unit to surface waters;
(F) the current and potential future uses of surface waters in the area;
(G) the existing quality of surface water, including other sources of contamination and the cumulative impact on surface water quality;
(H) the potential for health risks caused by human exposure to waste constituents;
(I) the potential damage to wildlife, crops, vegetation and physical structures caused by exposure to waste constituents; and
(J) the persistence and permanence of the potential adverse effects.
(3) In making any determination under subsection (d) of this section about the use of groundwater in the area around the facility the Department shall consider any identification of underground sources of drinking water made under 40 CFR chapter 1 section 144.7.
(4) For groundwater, in evaluating risk pursuant to subsection (d) of this section to any biological receptor, the risk shall be evaluated as if exposure would occur at the point of compliance.
(e) In no event shall a concentration limit greater than background established under this section for a constituent of concern exceed any of the following:
(1) other applicable statutes or regulations (e.g., a maximum contaminant level (MCL) for that constituent promulgated under section 141.2 of the Safe Drinking Water Act (40 CFR Part 141 Subpart B) [P.L. 93-523, codified as Subchapter XII of the Public Health Service Act at 42 U.S.C. 300f; regulations establishing MCLs are located in 40 CFR Part 141, Subpart B]);
(2) the lowest concentration that the owner or operator demonstrates and the Department finds is technologically and economically achievable.
(f) Proposals for concentration limits greater than background shall include a demonstration that the aggregate of hazardous constituents in the environment will not result in excessive exposure to a sensitive biological receptor. In the absence of scientifically valid data to the contrary, theoretical risks from chemicals associated with the release from the regulated unit shall be considered additive across all media of exposure, and shall be considered additive for all chemicals having similar toxicological effects or having carcinogenic effects.
(g) A concentration limit greater than background may only be applied during corrective action, or during detection monitoring following corrective action, at monitoring points at which statistically significant evidence of the release has been determined.
(h) When an owner or operator is conducting a detection monitoring program after a corrective action program has been terminated, each concentration limit greater than background shall be re-evaluated during each permit review. If the Department, upon re-evaluation, determines that the concentration of a constituent of concern in groundwater, surface water or the unsaturated zone is lower than its associated concentration limit by a statistically significant amount, the concentration limit for that constituent shall be lowered to reflect current water quality.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.94.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b)(1) and Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66264.95. Monitoring Points and the Point of Compliance.
Note     •     History

(a) For each regulated unit, the Department shall specify in the facility permit the point of compliance at which the water quality protection standard of section 66264.92 applies. The point of compliance is a vertical surface, located at the hydraulically downgradient limit of the waste management area that extends through the uppermost aquifer underlying the regulated unit. For each regulated unit, the Department shall specify monitoring points at the point of compliance and additional monitoring points at locations determined pursuant to section 66264.97 at which the water quality protection standard under section 66264.92 applies and at which monitoring shall be conducted.
(b) The waste management area is the limit projected in the horizontal plane of the area on which waste will be placed during the active life of the regulated unit.
(1) The waste management area includes horizontal space taken up by any liner, dike or other barrier designed to contain waste in the regulated unit.
(2) If the facility contains contiguous regulated units and monitoring along a shared boundary would impair the integrity of a containment or structural feature of any of the units, the waste management area may be described by an imaginary line along the outer boundary of the contiguous regulated units. This provision only applies to contiguous regulated units that have operated or have received all permits necessary for construction and operation before the July 1, 1991.
NOTE

Authority cited: Section 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.95.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22). 
§66264.96. Compliance Period.
Note     •     History

(a) The Department shall specify in the facility permit the compliance period for each regulated unit. The compliance period is the number of years equal to the active life of the regulated unit (including any waste management activity prior to permitting, and the closure period) and constitutes the minimum period of time during which the owner or operator shall conduct a water quality monitoring program subsequent to a release from the regulated unit.
(b) The compliance period begins each time the owner or operator initiates an evaluation monitoring program meeting the requirements of section 66264.99.
(c) If the owner or operator is engaged in a corrective action program at the scheduled end of the compliance period specified under subsection (a) of this section, the compliance period is extended until the owner or operator can demonstrate that the regulated unit has been in compliance with the water quality protection standard of section 66264.92 for a period of three consecutive years.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.96.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.97. General Water Quality Monitoring and System Requirements.
Note     •     History

(a) The owner or operator shall comply with the requirements of this section for any water quality monitoring program developed to satisfy sections 66264.98, 66264.99 or 66264.100.
(b) Groundwater Monitoring System.
(1) Except as provided under subsection (e)(3) of this section, the owner or operator shall establish a groundwater monitoring system for each regulated unit. This groundwater monitoring system shall include:
(A) a sufficient number of background monitoring points installed at appropriate locations and depths to yield groundwater samples from the uppermost aquifer that represent the quality of groundwater that has not been affected by a release from the regulated unit;
(B) for a detection monitoring program under section 66264.98:
1. a sufficient number of monitoring points installed at appropriate locations and depths to yield groundwater samples from the uppermost aquifer that represent the quality of groundwater passing the point of compliance and to allow for the detection of a release from the regulated unit;
2. a sufficient number of monitoring points installed at additional locations and depths to yield groundwater samples from the uppermost aquifer as necessary to provide the best assurance of the earliest possible detection of a release from the regulated unit; and
3. a sufficient number of monitoring points and background monitoring points installed at appropriate locations and depths to yield groundwater samples from other aquifers, low-yielding saturated zones and from zones of perched water as necessary to provide the best assurance of the earliest possible detection of a release from the regulated unit;
(C) for an evaluation monitoring program under section 66264.99:
1. a sufficient number of monitoring points installed at appropriate locations and depths to yield groundwater samples from the uppermost aquifer that represent the quality of groundwater passing the point of compliance, and at other locations in the uppermost aquifer as necessary, to provide the data needed to evaluate changes in water quality due to the release from the regulated unit; and
2. a sufficient number of monitoring points and background monitoring points installed at appropriate locations and depths to yield groundwater samples from other aquifers, low-yielding saturated zones and zones of perched water as necessary to provide the data needed to evaluate changes in water quality due to the release from the regulated unit;
(D) for a corrective action program under section 66264.100 of this article:
1. a sufficient number of monitoring points installed at appropriate locations and depths to yield groundwater samples from the uppermost aquifer that represent the quality of groundwater passing the point of compliance, and at other locations in the uppermost aquifer as necessary, to provide the data needed to evaluate compliance with the water quality protection standard and to evaluate the effectiveness of the corrective action program; and
2. a sufficient number of monitoring points and background monitoring points installed at appropriate locations and depths to yield groundwater samples from other aquifers, low-yielding saturated zones and zones of perched water as necessary to provide the data needed to evaluate compliance with the water quality protection standard and to evaluate the effectiveness of the corrective action program.
(2) The groundwater monitoring system may include background monitoring points that are not hydraulically upgradient of the regulated unit if the owner or operator demonstrates to the satisfaction of the Department that sampling at other monitoring points will provide samples that are representative of the background quality of groundwater or are more representative than those provided by the upgradient monitoring points.
(3) A copy of each well report, as required by Water Code section 13751, shall be submitted to the Department within 60 days of the construction, alteration, or destruction of the well. 
(4) All monitoring wells shall be cased and constructed in a manner that maintains the integrity of the monitoring well bore hole and prevents the bore hole from acting as a conduit for contaminant transport.
(5) The sampling interval of each monitoring well shall be appropriately screened and fitted with an appropriate filter pack to enable collection of representative groundwater samples.
(6) For each monitoring well the annular space (i.e., the space between the bore hole and well casing) above and below the sampling interval shall be appropriately sealed to prevent entry of contaminants from the surface, entry of contaminants from the unsaturated zone, cross contamination of saturated zones and contamination of samples.
(7) All monitoring wells shall be adequately developed to enable collection of representative groundwater samples.
(8) All wells shall be adequately destroyed (decommissioned) if the wells will no longer provide useful information. Decommissioning may only proceed after approval by the Department or as directed by the Department. 
(c) Surface Water Monitoring System.
(1) The owner or operator shall establish a surface water monitoring system to monitor each surface water body that could be affected by a release from the regulated unit.
(2) Each surface water monitoring system shall include:
(A) a sufficient number of background monitoring points established at appropriate locations and depths to yield samples from each surface water body to represent the quality of the surface water that has not been affected by a release from the regulated unit;
(B) for a detection monitoring program under section 66264.98, a sufficient number of monitoring points established at appropriate locations and depths to yield samples from each surface water body to that provide the best assurance of the earliest possible detection of a release from the regulated unit;
(C) for an evaluation monitoring program under section 66264.99, a sufficient number of monitoring points established at appropriate locations and depths to yield samples from each surface water body that provide the data necessary to evaluate changes in water quality due to the release from the regulated unit; and
(D) for a corrective action program under section 66264.100, a sufficient number of monitoring points established at appropriate locations and depths to yield samples that provide the data necessary to evaluate compliance with the water quality protection standard and to evaluate the effectiveness of the corrective action program.
(3) The owner or operator may modify or exclude certain chapter 14, article 6 requirements pertaining to surface water monitoring if it is impracticable or technically inappropriate to comply with surface water monitoring requirements listed in this article. The owner or operator shall make an appropriate demonstration for alternative surface water monitoring requirements. The owner or operator is not relieved of any surface water monitoring requirements until the Department evaluates the proposal and issues or modifies the permit. 
(d) Unsaturated Zone Monitoring System.
(1) Except as otherwise provided in subsections (d)(5) and (d)(7) of this section, the owner or operator shall establish an unsaturated zone monitoring system for each regulated unit.
(2) The unsaturated zone monitoring system shall include:
(A) a sufficient number of background monitoring points established at appropriate locations and depths to yield soil-pore liquid samples or soil-pore liquid measurements that represent the quality of soil-pore liquid that has not been affected by a release from the regulated unit;
(B) for a detection monitoring program under section 66264.98, a sufficient number of monitoring points established at appropriate locations and depths to yield soil-pore liquid samples or soil-pore liquid measurements that provide the best assurance of the earliest possible detection of a release from the regulated unit;
(C) for an evaluation monitoring program under section 66264.99, a sufficient number of monitoring points established at appropriate locations and depths to yield soil-pore liquid samples or soil-pore liquid measurements as necessary to provide the data needed to evaluate changes in water quality due to the release from the regulated unit; and
(D) for a corrective action program under section 66264.100, a sufficient number of monitoring points established at appropriate locations and depths to yield soil-pore liquid samples or soil-pore liquid measurements as necessary to provide the data needed to evaluate compliance with the water quality protection standard and to evaluate the effectiveness of the corrective action program.
(3) Background monitoring points shall be installed at a background plot having soil characteristics similar to those of the soil underlying the regulated unit.
(4) Liquid recovery types of unsaturated zone monitoring (e.g., the use of lysimeters) are required unless the owner or operator demonstrates to the satisfaction of the Department that such methods of unsaturated zone monitoring cannot provide useful information regarding a release from the regulated unit. The Department shall require complementary or alternative (non-liquid recovery) types of unsaturated zone monitoring as necessary to adequately monitor a release from the regulated unit.
(5) Unsaturated zone monitoring is required at all new regulated units unless the owner or operator demonstrates to the satisfaction of the Department that no method for unsaturated zone monitoring can provide any indication of a release from that regulated unit. 
(6) The owner or operator of a land treatment unit shall comply with the unsaturated zone monitoring and response requirements for that unit in article 13 of this chapter, in addition to the unsaturated zone monitoring requirements of this article.
(7) The owner or operator may modify or exclude certain chapter 14, article 6 requirements pertaining to unsaturated zone monitoring if it is impracticable (e.g., insufficient liquid volume for analyses) or technically inappropriate to conduct unsaturated zone monitoring at the regulated unit. The owner or operator shall make an appropriate demonstration for alternative unsaturated zone monitoring requirements. The owner or operator is not relieved of any unsaturated zone monitoring requirements until the Department evaluates the proposal and issues or modifies the permit. 
(e) General Monitoring Requirements.
(1) All monitoring systems shall be designed and certified by a registered geologist or a registered civil engineer.
(2) All monitoring wells and all other borings drilled to satisfy the requirements of this article shall be logged during drilling under the direct supervision of a registered geologist. These logs shall be submitted to the Department upon completion of drilling.
(A) Soil shall be described in the geologic log according to the Unified Soil Classification System as presented in Geotechnical Branch Training Manuals nos. 4, 5 and 6, published by the United States Bureau of Reclamation, January 1986 incorporated by reference in section 66260.11 of this division.
(B) Rock shall be described in the geologic log in a manner appropriate for the purpose of the investigation.
(C) Where possible, the depth and thickness of saturated zones shall be recorded in the geologic log.
(3) If a facility contains contiguous regulated units, separate groundwater monitoring systems are not required for each such unit if the owner or operator demonstrates to the satisfaction of the Department that the water quality monitoring program for each unit will enable the earliest possible detection and measurement of a release from that unit.
(4) The water quality monitoring program shall include and implement consistent sampling and analytical procedures that are designed to ensure that monitoring results provide a reliable indication of water quality at all monitoring points and background monitoring points. At a minimum the program shall include a detailed description of the procedures and techniques for:
(A) sample collection (e.g., purging techniques, sampling equipment and decontamination of sampling equipment);
(B) sample preservation and shipment;
(C) analytical procedures; and
(D) chain of custody control.
(5) The water quality monitoring program shall include appropriate sampling and analytical methods for groundwater, surface water and the unsaturated zone that accurately measure the concentration of each constituent of concern and the concentration or value of each monitoring parameter.
(6) For each regulated unit, the owner or operator shall collect all data necessary for selecting the appropriate statistical method pursuant to subsections (e)(7), (e)(8) and (e)(9) of this section and for establishing the background values pursuant to subsection (e)(11) of this section. At a minimum, this data shall include analytical data obtained during quarterly sampling of all background monitoring points for a period of one year, including the times of expected highest and lowest annual elevations of the groundwater surface. The Department may approve sampling at times other than the expected highest and lowest annual elevations, if appropriate, however quarterly sampling is still required for a period of at least one year. For a new regulated unit, this data shall be collected before wastes are discharged at the unit and background soil pore liquid data shall be collected from beneath the unit before the unit is constructed.
(7) Based on data collected pursuant to subsection (e)(6) of this section, the owner or operator shall propose one of the statistical methods specified in subsection (e)(8) of this section for each constituent of concern and for each monitoring parameter. These methods, upon approval by the Department, shall be specified in the facility permit and shall be used in evaluating water quality monitoring data. The specifications for each statistical method shall include a detailed description of the criteria to be used for determining statistically significant evidence of any release from the regulated unit and for determining compliance with the water quality protection standard. Each statistical test specified for a particular constituent of concern or monitoring parameter shall be conducted separately for that constituent of concern or monitoring parameter at each monitoring point. Where practical quantitation limits are used in any of the following statistical methods to comply with subsection (e)(9)(E) of this section, the practical quantitation limit shall be proposed by the owner or operator for approval by the Department. The owner or operator shall demonstrate that use of the proposed statistical methods will be protective of human health and the environment and will comply with the performance standards outlined in subsection (e)(9) of this section.
(8) The owner or operator shall propose one of the following statistical methods:
(A) a parametric analysis of variance (ANOVA) followed in all instances by a multiple comparisons procedure to identify statistically significant evidence of a release from the regulated unit. The method shall include estimation and testing of the contrasts between each monitoring point's mean and the background mean value for each constituent of concern or monitoring parameter;
(B) an ANOVA based on ranks followed in all instances by a multiple comparisons procedure to identify statistically significant evidence of a release from the regulated unit. The method shall include estimation and testing of the contrasts between each monitoring point's median and the background median values for each constituent of concern or monitoring parameter;
(C) a tolerance or prediction interval procedure in which an interval for each constituent of concern or monitoring parameter is established from the distribution of the background data, and the value for each constituent of concern or monitoring parameter at each monitoring point is compared to the upper tolerance or prediction limit;
(D) a control chart approach that gives control limits for each constituent of concern or monitoring parameter; or
(E) another statistical test method submitted by the owner or operator for approval by the Department including, but not limited to, any statistical method which includes a procedure to verify that there is statistically significant evidence of a release from the regulated unit. If the statistical test method includes a verification procedure, this procedure shall consist of either a single composite retest (i.e., a statistical analysis of the original data combined with newly-acquired data from the monitoring point at which evidence of a release has been indicated) or shall consist of at least two discrete retests (i.e., statistical analyses which analyze only newly-acquired data from the monitoring point at which evidence of a release has been indicated). The verification procedure shall comply with the following requirements in addition to the statistical performance standards under subsection (e)(9) of this section.
1. If the verification procedure consists of discrete retests, rejection of the null hypothesis for any one of the retests shall be considered confirmation of significant evidence of a release.
2. The number of additional samples collected and analyzed for use in the verification procedure shall be appropriate for the form of statistical test specified in the facility permit for that constituent of concern or monitoring parameter pursuant to subsection (e)(7) of this section. This number shall be greater than or equal to the number of samples specified in the facility permit for that constituent of concern or monitoring parameter pursuant to subsection (e)(12)(A) of this section.
3. If resampling at the interval identified for use in the initial statistical test pursuant to subsection (e)(12)(B) of this section would cause the entire resampling effort to take longer than 30 days, the sampling interval for use in the verification procedure shall be reduced to ensure that all samples are collected and submitted for laboratory analysis within 30 calendar days from the time that the owner or operator determines statistically significant evidence of a release pursuant to subsection 66264.98(g) or (i). Resampling may occur within a different time frame provided the owner or operator receives written approval from the Department. 
4. For a verification procedure consisting of a composite retest, the statistical verification procedure shall be based on all data obtained from the initial sampling event combined with all data obtained during the resampling event. For a verification procedure containing discrete retests, each retest shall analyze data obtained during its respective resampling event(s) and no data shall be shared between retests.
5. For a verification procedure consisting of a composite retest, the statistical test method used in the verification procedure shall be the same as the method used in the initial statistical comparison, except that the statistical test used in the verification procedure shall be conducted at a Type I error level of no less than 0.05 for both the experiment-wise analysis (if any) and the individual monitoring point comparisons; therefore, if a control chart approach is used to evaluate water quality monitoring data, the upper limit on an X-Bar or R-Chart must be set at no more than 1.645 standard deviations of the statistic plotted for a one-sided statistical comparison or at no more than 1.96 standard deviations of the statistic plotted for a two-sided statistical comparison.
6. For a verification procedure consisting of discrete retests, the statistical method used shall be the same as the method used in the initial statistical comparison. Notwithstanding any provision of subsection (e)(9) of this section, the critical value for the tests shall be chosen so that the Type I error rate for all individual monitoring point comparisons is the same, whether for an initial test or for a retest, and is equal-to-or-greater-than either

	(1-0.951s(mws))0.5 x (1/r)0.5
		 or
1-(.99)1s6
whichever is larger, where: m = the number of monitoring parameters; w = the number of monitoring points at the waste management units; s = the number of times that suites of monitoring data from the waste management unit are subjected to initial statistical analysis within a period of six months (i.e., s > 1); and r = the number of discrete retests that are to be conducted at a monitoring point whose initial statistical analysis for a given constituent of concern or monitoring parameter has indicated the presence of a release (i.e., r > 2).
7. The owner or operator shall report to the Department by certified mail the results of both the initial statistical test and the results of the verification procedure as well as all concentration data collected for use in these tests within seven days of the last laboratory analysis of the samples collected for the verification procedure.
8. The verification procedure shall only be performed for the constituent(s) which has shown statistically significant evidence of a release, and shall only be performed for that (those) monitoring point at which a release has been indicated.
(9) Each statistical method chosen under subsection (e)(7) of this section for specification in the facility permit shall comply with the following performance standards for each six-month period.
(A) The statistical method used to evaluate water quality monitoring data shall be appropriate for the distribution of the constituent of concern or monitoring parameter to which it is applied and shall be the least likely of the appropriate methods to fail to identify a release from the regulated unit. If the distribution of a constituent of concern or monitoring parameter is shown by the owner or operator to be inappropriate for a normal theory test, then the data shall be either transformed so that the distribution of the transformed data is appropriate for a normal theory test or a distribution-free theory test shall be used. If the distributions for the constituents of concern or monitoring parameters differ, more than one statistical method may be needed.
(B) If an individual monitoring point comparison procedure is used to compare an individual monitoring point constituent concentration or monitoring parameter value with a concentration limit in the water quality protection standard or with a background monitoring parameter value, the test shall be done at a Type I error level no less than 0.01. If a multiple comparisons procedure is used, the Type I experiment-wise error rate shall be no less than 0.05; however, the Type I error of no less than 0.01 for individual monitoring point comparison shall be maintained. This performance standard does not apply to tolerance intervals, prediction intervals or control charts.
(C) If a control chart approach is used to evaluate water quality monitoring data, the specific type of control chart and its associated statistical parameter values (e.g., the upper control limit) shall be proposed by the owner or operator and approved by the Department if the Department finds it to be protective of human health and the environment. Any control charting procedure must have a false-positive rate of no less than one percent for each monitoring point charted (e.g., upper control limits on X-bar or R-charts, used only once every six months, must be set at no more than 2.327 standard deviations of the statistic plotted for a one-sided statistical comparison or at no more than 2.576 standard deviations of the statistic plotted for a two-sided statistical comparison).
(D) If a tolerance interval or a prediction interval is used to evaluate water quality monitoring data, the levels of confidence and, for tolerance intervals, the percentage of the population that the interval must contain shall be proposed by the owner or operator and approved by the Department if the Department finds these statistical parameters to be protective of human health and the environment. These statistical parameters shall be determined after considering the number of samples in the background data base, the data distribution, and the range of the concentrations or values for each constituent of concern or monitoring parameter. The coverage of any tolerance interval used must be no more than 95 percent and the confidence coefficient must be no more than 95 percent for a six-month period. Prediction intervals shall be constructed with an experimentwise error rate of no less than five percent and an individual monitoring point error rate of no less than one percent.
(E) The statistical method shall account for data below the practical quantitation limit with one or more statistical procedures that are protective of human health and the environment. Any practical quantitation limit approved by the Department pursuant to subsection (e)(7) of this section that is used in the statistical method shall be the lowest concentration (or value) that can be reliably achieved within limits of precision and accuracy specified in the facility permit for routine laboratory operating conditions that are available to the facility. 
(F) If necessary, the statistical methods shall include procedures to control or correct for seasonal and spatial variability as well as temporal correlation in the data.
(G) Any quality control procedure that is approved by the Department for application to water quality data from downgradient monitoring points for a monitored medium shall also be applied to all newly-acquired background data from that medium. Any newly-acquired background monitoring datum that is rejected by an approved quality control procedure shall be maintained in the facility record but shall be excluded from use in statistical comparisons with downgradient water quality data.
(10) Based on the data collected pursuant to subsection (e)(6) of this section and the statistical methods proposed under subsection (e)(7) of this section, the owner or operator shall propose and justify the use of a procedure for determining a background value for each constituent of concern and for each monitoring parameter specified in the facility permit. These procedures shall be proposed for groundwater, surface water and the unsaturated zone. The owner or operator shall propose one of the following for approval by the Department:
(A) a procedure for determining the background value for each constituent or parameter that does not display appreciable natural variation; or
(B) a procedure for establishing and updating the background value for a constituent or parameter to reflect changes in the background water quality if the use of contemporaneous or pooled data provides the greatest power to the statistical method for that constituent or paramenter.
(11) Upon approval of the procedures for determining background values proposed pursuant to subsection (e)(10) of this section, the Department shall specify in the facility permit one of the following for each constituent of concern and for each monitoring parameter:
(A) the background value established by the owner or operator using the procedure proposed pursuant to subsection (e)(10)(A) of this section; or
(B) a detailed description of the procedure to be used by the owner or operator for establishing and updating the background value as proposed pursuant to subsection (e)(10)(B) of this section.
(12) For each constituent of concern and monitoring parameter listed in the facility permit, the owner or operator shall propose, for approval by the Department, the sampling methods to be used to establish background values and the sampling methods to be used for monitoring pursuant to this article. Upon final approval by the Department, sampling methods consistent with the following shall be specified in the facility permit.
(A) The number and kinds of samples collected shall be appropriate for the form of statistical test employed, following generally accepted statistical principles. The sample size shall be as large as necessary to ensure with reasonable confidence that:
1. for a detection monitoring program, a release from the regulated unit will be detected;
2. for an evaluation monitoring program, changes in water quality due to a release from the regulated unit will be recognized; and
3. for a corrective action program, compliance with the water quality protection standard and effectiveness of the corrective action program will be determined.
(B) The sampling method (including the sampling frequency and the interval of time between successive samples) shall be appropriate for the medium from which samples are taken (i.e., groundwater, surface water and soil-pore liquid). The sampling method shall include one of the following:
1. the collection of not less than one sample quarterly from each monitoring point and background monitoring point and statistical analysis performed at least quarterly; or
2. a sequence of at least four samples collected at least semi-annually from each monitoring point and each background monitoring point and statistical analysis performed at least semi-annually. Samples shall be taken at an interval that assures, to the greatest extent possible, that an independent sample is obtained. The Department shall require more frequent sampling and statistical analysis when necessary to protect human health and the environment. For groundwater, the sampling frequency and the interval between successive sampling events shall be based upon the rate of groundwater flow, and upon any variation in groundwater flow rate and direction. The rate of groundwater movement shall be calculated by reference to the aquifer's effective porosity, hydraulic conductivity and hydraulic gradient; or 
3. an alternate sampling method. Alternate collection and analysis frequencies may be proposed by the owner or operator for approval by the Department. 
(13) The groundwater portion of the monitoring program shall include an accurate determination of the groundwater surface elevation and field parameters (temperature, electrical conductivity, turbidity and pH) at each well each time groundwater is sampled. Field parameter determinations may be modified or waived, after receiving written approval by the Department, if the owner or operator can demonstrate that representative samples are obtained. Any modifications to field parameter determinations shall be specified in the monitoring and response program. 
(14) The owner or operator shall graph all analytical data from each monitoring point and background monitoring point and shall submit these graphs to the Department at least annually, except graphs are not required for constituents for which no new data have been collected since the previous graph submittal. Each graph shall represent data for one constituent of concern or monitoring parameter and shall be at a scale appropriate to show trends or variations in water quality. Unless the owner or operator receives written approval from the Department to use an alternate procedure, each graph shall include data from related monitoring and background points as long as the depicted data effectively illustrates trends or variations in the data.
(15) In addition to the water quality sampling conducted pursuant to the requirements of this article, the owner or operator shall measure the water level in each well and determine groundwater flow rate and direction in the uppermost aquifer and in any zones of perched water and in any additional aquifers monitored pursuant to subsection (b)(1) of this section at least quarterly, including the times of expected highest and lowest elevations of the water levels in the wells. However, based on site-specific conditions, the Department may approve an alternate frequency of at least annually. The owner or operator using an approved alternative sampling frequency shall, based on available groundwater data, determine, at least annually, whether the requirements of section 66264.97(b)(1) are satisfied. If the evaluation shows that the requirements of section 66264.97(b)(1) are not satisfied, the owner or operator shall submit to the Department an application for a permit modification to make the appropriate changes to modify the number, location or depth of the groundwater monitoring wells as necessary to bring the groundwater monitoring system into compliance with the requirements of this article. 
(16) Water quality monitoring data collected in accordance with this article, including actual values of constituents and parameters, shall be maintained in the facility operating record. The Department shall specify in the permit when the data shall be submitted for review.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.97.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Editorial correction of printing errors in subsections (c)(2)(A) and (d)(4) (Register 92, No. 49).
3. Editorial correction restoring inadvertently omitted subsection (e)(8) (Register 97, No. 34).
4. Amendment of subsection (b)(3), new subsections (b)(8) and (c)(3), amendment of subsections (d)(1) and (d)(4)-(5), new subsection (d)(7), amendment of subsections (e)(4), (e)(6), (e)(8)(E)3., (e)(8)(E)6., (e)(9)(E) and (e)(12)(B)-(e)(15) and amendment of Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66264.98. Detection Monitoring Program.
Note     •     History

(a) An owner or operator required, pursuant to section 66264.91, to establish a detection monitoring program for a regulated unit shall, at a minimum, comply with the requirements of this section for that unit.
(b) The owner or operator shall install water quality monitoring systems that are appropriate for detection monitoring and that comply with the provisions of section 66264.97.
(c) The owner or operator shall establish a background value pursuant to section 66264.97(e)(11) for each monitoring parameter specified under subsection (e) of this section and for each constituent of concern specified under section 66264.93.
(d) The Department shall specify the water quality protection standard under section 66264.92 in the facility permit.
(e) The owner or operator shall propose for approval by the Department a list of monitoring parameters for each medium (groundwater, surface water, and the unsaturated zone) to be monitored pursuant to section 66264.97. The list for each medium shall include those physical parameters, hazardous constituents, waste constituents and reaction products that provide a reliable indication of a release from the regulated unit to that medium. The Department shall specify each list of monitoring parameters in the facility permit after considering the following factors:
(1) the types, quantities and concentrations of constituents in wastes managed at the regulated unit;
(2) the expected or demonstrated correlation between the proposed monitoring parameters and the constituents of concern specified for the unit under section 66264.93;
(3) the mobility, stability and persistence of waste constituents or their reaction products;
(4) the detectability of physical parameters, waste constituents and reaction products; and
(5) the background values and the coefficients of variation of proposed monitoring parameters in groundwater, surface water and the unsaturated zone.
(f) The owner or operator shall conduct sampling and analyses for the monitoring parameters listed in the facility permit pursuant to subsection (e) of this section. The Department shall specify the frequencies for collecting samples and conducting statistical analyses pursuant to section 66264.97(e)(12). For groundwater, sampling shall be scheduled to include the times of expected highest and lowest annual elevations of the groundwater surface unless the owner or operator can demonstrate to the satisfaction of the Department that alternative sampling times are appropriate.
(g) In addition to monitoring for the monitoring parameters specified under subsection (e) of this section, the owner or operator shall periodically monitor for all constituents of concern specified in the facility permit and determine whether there is statistically significant evidence of a release for any constituent of concern using the statistical procedure specified pursuant to section 66264.97(e)(7). The Department shall specify in the facility permit the frequencies and locations for monitoring pursuant to this subsection after considering the degree of certainty associated with the expected or demonstrated correlation between values for monitoring parameters and values for the constituents of concern. Monitoring pursuant to this subsection shall be conducted at least every five years.
(h) The owner or operator shall maintain a record of water quality analytical data as measured and in a form necessary for the determination of statistical significance under subsections (g) and (i) of this section.
(i) For each monitoring point, the owner or operator shall determine whether there is statistically significant evidence of a release from the regulated unit for any monitoring parameter specified in the permit pursuant to subsection (e) of this section at a frequency specified pursuant to subsection (f) of this section.
(1) In determining whether statistically significant evidence of a release from the regulated unit exists, the owner or operator shall use the method(s) specified in the permit under section 66264.97(e)(7). This method(s) shall be used to compare data collected at the monitoring point(s) with the background water quality data.
(2) The owner or operator shall determine whether there is statistically significant evidence of a release from the regulated unit at each monitoring point within a reasonable period of time after completion of sampling. The Department shall specify in the facility permit what period of time is reasonable, after considering the complexity of the statistical test and the availability of laboratory facilities to perform the analysis of samples.
(3) The provisions of this section shall not preclude the Department from making an independent finding that there is statistically significant evidence of a release from the regulated unit. If the Department makes such a finding, the owner or operator shall comply with the provisions of this section that are required in response to statistically significant evidence of a release from the regulated unit.
(j) If the owner or operator determines pursuant to subsection (g) or (i) of this section that there is statistically significant evidence of a release from the regulated unit for any monitoring parameter or constituent of concern at any monitoring point, the owner or operator:
(1) shall notify the Department of the finding by certified mail within seven days of such determination. The notification shall identify for each affected monitoring point the monitoring parameters and constituents of concern that have indicated statistically significant evidence of a release from the regulated unit; and
(2) may immediately initiate a procedure to verify that there is statistically significant evidence of a release from the regulated unit for a parameter or constituent which has indicated a release at a monitoring point if that verification procedure has been specified for that constituent or parameter in the facility permit pursuant to section 66264.97(e)(8)(E).
(k) If the resampling pursuant to subsection (j)(2) of this section confirms that there is statistically significant evidence of a release from the regulated unit or if the owner or operator does not resample pursuant to subsection (j)(2) of this section, then the owner or operator shall do the following.
(1) For that regulated unit, immediately sample all monitoring points affected by a release from the regulated unit and determine the concentration of all constituents of concern. The owner or operator may modify the number of monitoring points and constituents of concern after receiving written approval from the Department.
(2) For that regulated unit, immediately sample all monitoring points affected by a release from the regulated unit and determine whether constituents in the list of Appendix IX to chapter 14 are present, and if so, in what concentration(s). The owner or operator may modify the number of specific Appendix IX analytes based on site-specific conditions and previous Appendix IX sampling results after receiving written approval from the Department. 
(3) For any Appendix IX constituents found in the analysis pursuant to subsection (k)(2) of this section that are not specified in the list of constituents of concern for that unit, the owner or operator may resample within one month and repeat the analysis for those constituents. Resampling may occur within a different time frame provided the owner or operator receives written approval from the Department. Each constituent detected in both analyses shall be added to the list of constituents of concern specified in the facility permit for evaluation monitoring unless the owner or operator demonstrates to the satisfaction of the Department that the constituent is not reasonably expected to be in or derived from waste in the regulated unit. If the owner or operator does not resample for the constituents found pursuant to subsection (k)(2) of this section, the constituents found during this initial Appendix IX analysis will be added to the list of constituents of concern specified in the facility permit for evaluation monitoring unless the owner or operator demonstrates to the satisfaction of the Department that the constituent is not reasonably expected to be in or derived from waste in the regulated unit.
(4) For each Appendix IX constituent added to the list of constituents of concern pursuant to subsection (k)(3) of this section, the owner or operator shall:
(A) collect all data necessary for establishing the background concentration for that constituent and for selecting an appropriate statistical procedure pursuant to section 66264.97(e)(6);
(B) propose an appropriate statistical procedure pursuant to section 66264.97(e)(7);
(C) propose a procedure to establish the background concentration for that constituent pursuant to section 66264.97(e)(10); and
(D) establish the background concentration pursuant to section 66264.97(e)(11).
(5) Within 90 days of determining statistically significant evidence of a release, the owner or operator shall submit to the Department an application for a permit modification to establish an evaluation monitoring program meeting the provisions of section 66264.99. The application shall include the following information:
(A) an identification of the concentration of each constituent of concern at each monitoring point as determined during the most recent sampling events, and an identification of the concentration of each Appendix IX constituent at each monitoring point affected by a release from the regulated unit;
(B) any proposed changes to the water quality monitoring systems at the facility necessary to meet the requirements of section 66264.99;
(C) any proposed additions or changes to the monitoring frequency, sampling and analytical procedures or methods or statistical methods used at the facility necessary to meet the requirements of section 66264.99;
(D) a detailed description of the measures to be taken by the owner or operator to assess the nature and extent of the release from the regulated unit.
(6) Within 180 days of determining statistically significant evidence of a release, the owner or operator shall submit to the Department an engineering feasibility study for a corrective action program necessary to meet the requirements of section 66264.100. At a minimum, the feasibility study shall contain a detailed description of the corrective action measures that could be taken to achieve background concentrations for all constituents of concern.
(7) If the owner or operator determines, pursuant to subsection (g) or (i) of this section, that there is statistically significant evidence of a release from the regulated unit at any monitoring point, the owner or operator may demonstrate that a source other than the regulated unit caused the evidence of a release or that the evidence is an artifact caused by an error in sampling, analysis or statistical evaluation, or by natural variation in the groundwater, surface water or the unsaturated zone. The owner or operator may make a demonstration pursuant to this subsection in addition to, or in lieu of, submitting both a permit modification application pursuant to subsection (k)(5) of this section and an engineering feasibility study pursuant to subsection (k)(6) of this section; however, the owner or operator is not relieved of the requirements specified in subsections (k)(5) and (k)(6) of this section unless the demonstration made under this subsection successfully shows that a source other than the regulated unit caused the evidence of a release or that the evidence resulted from error in sampling, analysis or evaluation or from natural variation in groundwater, surface water or the unsaturated zone. In making a demonstration pursuant to this subsection, the owner or operator shall:
(A) within seven days of determining statistically significant evidence of a release, notify the Department by certified mail that the owner or operator intends to make a demonstration pursuant to this subsection;
(B) within 90 days of determining statistically significant evidence of a release, submit a report to the Department that demonstrates that a source other than the regulated unit caused the evidence, or that the evidence resulted from error in sampling, analysis or evaluation or from natural variation in groundwater, surface water or the unsaturated zone;
(C) within 90 days of determining statistically significant evidence of a release, submit to the Department an application for a permit modification to make any appropriate changes to the detection monitoring program; and
(D) continue to monitor in accordance with the detection monitoring program established under this section.
(l) If the owner or operator determines that there is significant physical evidence of a release as described in section 66264.91(a)(3) or that the detection monitoring program does not satisfy the requirements of this section, the owner or operator shall:
(1) notify the Department by certified mail within seven days of such determination; and
(2) within 90 days of such determination, submit an application for a permit modification to make any appropriate changes to the program.
(m) Any time the Department determines that the detection monitoring program does not satisfy the requirements of this section, the Department shall send written notification of such determination to the owner or operator by certified mail, return receipt requested. The owner or operator shall, within 90 days after receipt of such notification by the Department, submit an application for a permit modification to make any appropriate changes to the program.
(n) For any regulated unit for which a detection monitoring program is established after the successful completion of a corrective action program pursuant to section 66264.100(g):
(1) the Department shall include in the list of monitoring parameters for each medium (groundwater, surface water and the unsaturated zone) all hazardous constituents that have been detected in that medium due to a release from that regulated unit;
(2) the owner or operator shall analyze samples from all groundwater monitoring points at the point of compliance for that regulated unit and determine the concentration of each constituent contained in Appendix IX to chapter 14 at least annually during any remaining years of the compliance period. The owner or operator may propose to modify the number of monitoring points and specific Appendix IX analytes for analysis based on site-specific conditions and previous Appendix IX sampling results. If the Department approves the proposal, it shall be incorporated into the monitoring and response program. If the owner or operator finds either an Appendix IX constituent at a concentration above the concentration limit established in the permit for that constituent or one that is not already identified in the permit as a monitoring parameter, the owner or operator may resample within one month of the original sample and repeat the analysis for those constituents. Resampling may occur within a different time frame provided the owner or operator receives written approval from the Department. If the owner or operator does not resample, or if the resampling confirms that the concentration limit for a constituent has been exceeded or that a new constituent is present:
(A) the owner or operator shall report the concentration of each such constituent to the Department within seven days of the latest analysis;
(B) the Department shall add each such constituent to the list of monitoring parameters specified in the facility permit for groundwater unless the owner or operator demonstrates to the satisfaction of the Department that the constituent is not reasonably expected to be in or derived from waste in the regulated unit; and
(C) if a constituent is added to the list of monitoring parameters pursuant to subsection (n)(2)(B) of this section, the owner or operator shall immediately collect samples and conduct statistical tests for each monitoring parameter to determine whether there is statistically significant evidence of a release from the regulated unit.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.98.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (f), (k)(1)-(3), (k)(5)(A), (k)(7)(A) and (n)(2) and amendment of Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66264.99. Evaluation Monitoring Program.
Note     •     History

(a) An owner or operator required pursuant to section 66264.91 to establish an evaluation monitoring program for a regulated unit shall, at a minimum, comply with the requirements of this section for that unit. The evaluation monitoring program shall be used to assess the nature and extent of the release from the regulated unit and to design a corrective action program meeting the requirements of section 66264.100.
(b) The owner or operator shall collect and analyze all data necessary to assess the nature and extent of the release from the regulated unit. This assessment shall include a determination of the spatial distribution and concentration of each constituent of concern throughout the zone affected by the release. The owner or operator shall complete and submit this assessment to the Department within 90 days of establishing an evaluation monitoring program.
(c) Based on the data collected pursuant to subsections (b) and (e) of this section, the owner or operator shall update the engineering feasibility study required under section 66264.98(k)(6). The owner or operator shall submit this engineering feasibility study to the Department within 90 days of establishing an evaluation monitoring program.
(d) Based on the data collected pursuant to subsections (b) and (e) of this section and on the engineering feasibility study submitted pursuant to subsection (c) of this section, the owner or operator shall submit an application for a permit modification to establish a corrective action program meeting the requirements of section 66264.100. The owner or operator shall submit this application for a permit modification to the Department within 90 days of establishing an evaluation monitoring program. The application shall at a minimum include the following information:
(1) a detailed assessment of the nature and extent of the release from the regulated unit;
(2) a proposed water quality protection standard, including any proposed concentration limits greater than background under section 66264.94, and all data necessary to justify each such limit;
(3) a detailed description of proposed corrective action measures that will be taken to achieve compliance with the water quality protection standard proposed for a corrective action program; and
(4) a plan for a water quality monitoring program that will demonstrate the effectiveness of the proposed corrective action.
(e) In conjunction with the assessment conducted pursuant to subsection (b) of this section, and while awaiting final approval of the application for a permit modification submitted pursuant to subsection (d) of this section, the owner or operator shall monitor groundwater, surface water and the unsaturated zone to evaluate changes in water quality resulting from the release from the regulated unit. In conducting this monitoring, the owner or operator shall comply with the following requirements:
(1) the owner or operator shall install water quality monitoring systems that are appropriate for evaluation monitoring and that comply with the provisions of section 66264.97. These water quality monitoring systems may include all or part of existing monitoring systems;
(2) the owner or operator shall propose for approval by the Department a list of monitoring parameters for each medium (groundwater, surface water and the unsaturated zone) to be monitored pursuant to section 66264.97. The list for each medium shall include all hazardous constituents that have been detected in that medium and shall include those physical parameters, waste constituents and reaction products that provide a reliable indication of changes in water quality resulting from the release from the regulated unit to that medium. The Department shall specify each list of monitoring parameters in the facility permit after considering the following factors:
(A) the types, quantities and concentrations of constituents in wastes managed at the regulated unit;
(B) information that demonstrates, to the satisfaction of the Department, a sufficient correlation between the proposed monitoring parameters and the constituents of concern specified for the unit;
(C) the mobility, stability and persistence of waste constituents or their reaction products;
(D) the detectability of physical parameters, waste constituents and reaction products; and
(E) the background values and the coefficients of variation of proposed monitoring parameters in groundwater, surface water and the unsaturated zone;
(3) the owner or operator shall conduct sampling and analyses for the monitoring parameters listed in the facility permit pursuant to subsection (e)(2) of this section. The Department shall specify in the facility permit the frequencies for collecting samples and for conducting statistical analyses pursuant to section 66264.97(e)(12) to evaluate changes in water quality due to the release from the regulated unit. For groundwater, sampling shall be scheduled to include the times of expected highest and lowest annual elevations of the groundwater surface unless the owner or operator can demonstrate to the satisfaction of the Department that alternative sampling times are appropriate;
(4) in addition to monitoring for the monitoring parameters specified pursuant to subsection (e)(2) of this section, the owner or operator shall periodically monitor for all constituents of concern specified in the facility permit and evaluate changes in water quality due to the release from the regulated unit. The Department shall specify the frequencies for monitoring pursuant to this subsection after considering the degree of certainty associated with the demonstrated correlation between values for monitoring parameters and values for the constituents of concern;
(5) the owner or operator shall conduct water quality monitoring for each monitoring parameter and each constituent of concern in accordance with section 66264.97(e)(12). The owner or operator shall maintain a record of water quality analytical data as measured and in a form necessary for the evaluation of changes in water quality due to the release from the regulated unit;
(6) the owner or operator shall analyze samples from all monitoring points affected by a release from the regulated unit for all constituents contained in Appendix IX to chapter 14 at least annually to determine whether additional hazardous constituents are present and, if so, at what concentration(s). The owner or operator may propose to modify the number of monitoring points and specific Appendix IX analytes based on site-specific conditions and previous Appendix IX sampling results. If the Department approves the proposal, it shall be incorporated into the monitoring and response program. If the owner or operator finds Appendix IX constituents in the groundwater, surface water or the unsaturated zone that are not already identified in the permit as constituents of concern, the owner or operator may resample within one month and repeat the analysis for those constituents. Resampling may occur within a different time frame provided the owner or operator receives written approval from the Department. If the second analysis confirms the presence of new constituents, the owner or operator shall report the concentration of these additional constituents to the Department by certified mail within seven days after the completion of the second analysis and the Department shall add them to the list of constituents of concern specified in the facility permit unless the owner or operator demonstrates to the satisfaction of the Department that the constituent is not reasonably expected to be in or derived from waste in the regulated unit. If the owner or operator does not resample, then the owner or operator shall report the concentrations of these additional constituents to the Department by certified mail within seven days after completion of the initial analysis and the Department shall add them to the list of constituents of concern specified in the facility permit unless the owner or operator demonstrates to the satisfaction of the Department that the constituent is not reasonably expected to be in or derived from waste in the regulated unit; and
(7) while awaiting final approval of the application for a permit modification to establish a corrective action program, the owner or operator shall evaluate all water quality data obtained pursuant to subsection (e) of this section with respect to the design criteria for the corrective action program. If the evaluation indicates that the plan for corrective action is insufficient, the owner or operator shall:
(A) notify the Department by certified mail within seven days of such determination; and
(B) within 90 days of such determination, submit for approval by the Department any appropriate changes to the application for a permit modification.
(f) If the owner or operator demonstrates to the satisfaction of the Department that a source other than the regulated unit caused the evidence of a release or that the evidence is an artifact caused by an error in sampling, analysis or statistical evaluation, or by natural variation in groundwater, surface water or the unsaturated zone, the owner or operator shall submit an application for a permit modification to reinstitute a detection monitoring program meeting the requirements of section 66264.98. This application shall include specifications for all appropriate changes to the monitoring program. In making a demonstration under this subsection, the owner or operator shall:
(1) notify the Department by certified mail that the owner or operator intends to make a demonstration pursuant to this subsection;
(2) submit a report to the Department that demonstrates that a source other than the regulated unit caused the evidence of a release or that the evidence resulted from error in sampling, analysis or evaluation, or from natural variation in groundwater, surface water or the unsaturated zone; and
(3) continue to monitor in accordance with the evaluation monitoring program established pursuant to this section until the permit is modified.
(g) The Department shall require interim corrective action measures where necessary to protect human health or the environment.
(h) If the owner or operator determines that the evaluation monitoring program does not satisfy the requirements of this section, the owner or operator shall, within 90 days, submit an application for a permit modification to make any appropriate changes to the program.
(i) Any time the Department determines that the evaluation monitoring program does not satisfy the requirements of this section, the Department shall send written notification of such determination to the owner or operator by certified mail, return receipt requested. The owner or operator shall, within 90 days of such notification by the Department, submit an application for a permit modification to make appropriate changes to the program.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, and 25159.5, Health and Safety Code; and 40 CFR Section 264.99.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (e)(3) and (e)(6) and amendment of Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66264.100. Corrective Action Program.
Note     •     History

(a) An owner or operator required pursuant to section 66264.91 to establish a corrective action program for a regulated unit shall, at a minimum, comply with the requirements of this section for that unit.
(b) The owner or operator shall take corrective action to remediate releases from the regulated unit and to ensure that the regulated unit achieves compliance with the water quality protection standard under section 66264.92. The Department shall specify the water quality protection standard for corrective action in the facility permit.
(c) The owner or operator shall implement corrective action measures that ensure that constituents of concern achieve their respective concentration limits at all monitoring points and throughout the zone affected by the release, including any portions of the affected zone that extend beyond the facility boundary, by removing the waste constituents or treating them in place. The owner or operator shall take other action specified by the Department to prevent noncompliance with those limits due to a continued or subsequent release from the regulated unit including, but not limited to, source control. The permit shall specify the specific measures that will be taken.
(d) In conjunction with the corrective action measures, the owner or operator shall establish and implement a water quality monitoring program to demonstrate the effectiveness of the corrective action program. Such a monitoring program may be based on the requirements for an evaluation monitoring program under section 66264.99, and shall be effective in determining compliance with the water quality protection standard under section 66264.92 and in determining the success of the corrective action measures under subsection (c) of this section.
(e) Corrective action measures taken pursuant to this section shall be initiated and completed by the owner or operator within a period of time specified by the Department in the facility permit.
(f) Corrective action measures taken pursuant to this section may be terminated when the owner or operator demonstrates to the satisfaction of the Department that the concentrations of all constituents of concern are reduced to levels below their respective concentration limits.
(g) After terminating the corrective action measures pursuant to subsection (f) of this section, the owner or operator shall remain in the corrective action program until:
(1) the owner or operator demonstrates to the satisfaction of the Department that the regulated unit is in compliance with the water quality protection standard. This demonstration shall be based on the results of sampling and analysis for all constituents of concern for a period of one year; and
(2) the owner or operator submits and the Department approves an application for a permit modification to establish a detection monitoring program meeting the requirements of section 66264.98.
(h) The owner or operator shall report, in writing, to the Department on the effectiveness of the corrective action program. The owner or operator shall submit these reports at least annually. More frequent reporting shall be required by the Department as necessary to ensure the protection of human health or the environment.
(i) If the owner or operator determines that the corrective action program does not satisfy the requirements of this section, the owner or operator shall, within 90 days of making the determination, submit an application for a permit modification to make any appropriate changes to the program.
(j) Any time the Department determines that the corrective action program does not satisfy the requirements of this section, the owner or operator shall, within 90 days of notification of such determination by the Department, submit an application for a permit modification to make any appropriate changes to the program.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, and 25159.5, Health and Safety Code; and 40 CFR Section 264.100.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (h) and Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66264.101. Corrective Action for Waste Management Units.
Note     •     History

(a) The owner or operator of a facility seeking a permit for the transfer, treatment, storage, or disposal of hazardous waste shall institute corrective action as necessary to protect human health and the environment for all releases of hazardous waste or constituents from any solid or hazardous waste management unit at the facility, regardless of the time at which waste was placed in such unit.
(b) Corrective action will be specified in the permit or order in accordance with this article, article 15.5, or article 17, and Health and Safety Code sections 25200.10, 25187, or 25200.14, or section 25358.9 where as provided for under the provisions of that section the Department has excluded the removal or remedial action at a site from the hazardous waste facilities permit required by Health and Safety Code section 25201. The permit or order will contain schedules of compliance for such corrective action (where such corrective action cannot be completed prior to issuance of the permit) and assurances of financial responsibility for completing such corrective action.
(c) The owner or operator shall implement corrective actions beyond the facility boundary, where necessary to protect human health or the environment, unless the owner or operator demonstrates to the satisfaction of the Department, that despite the owner or operator's best efforts, the owner or operator was unable to obtain the necessary permission to undertake such actions. The owner or operator is not relieved of all responsibility to cleanup a release that has migrated beyond the facility boundary where off-site access is denied. On-site measures to address such release will be determined on a case-by-case basis. Assurance of financial responsibility for such corrective action shall be provided.
NOTE

Authority cited: Sections 25150, 25159, 25187, 25200.10, 25355.5, 25356.9, 25358.3, 25358.9, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159.5, 25187, 25200, 25200.10, 25355.5, 25356.9, 25358.3 and 25358.9, Health and Safety Code; 40 CFR Section 264.101.
HISTORY

1. New section filed 12-23-93 as an emergency; operative 12-23-93 (Register 93, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-9-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-94 as an emergency; operative 4-25-94 (Register  94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-94  or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 12-22-94 as an emergency, including amendment of subsection (b) and (c) and Note; operative 12-22-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-21-95 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-29-95 as an emergency; operative 6-29-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-95 or emergency language will be repealed by operation of law on the following day.
6. New section, including amendment of Note, refiled 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-26-95 order transmitted to OAL 11-30-95 and filed 1-16-96 (Register 96, No. 3).
8. Amendment of subsections (a) and (b), repealer of subsection (c) and amendment of Note filed 11-19-98 as an emergency; operative 11-19-98 (Register 98, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-99 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of subsections (a)-(c) and Note as they existed prior to 11-19-98 emergency amendment by operation of Government Code section 11346.1(f) (Register 99, No. 12).
Article 7. Closure and Post-Closure
§66264.110. Applicability.
Note     •     History

Except as section 66264.1 provides otherwise:
(a) sections 66264.111 through 66264.115 (which concern closure) apply to the owners and operators of all hazardous waste management facilities; and
(b) sections 66264.116 through 66264.120 (which concern post-closure care) apply to the owners and operators of:
(1) all hazardous waste disposal facilities;
(2) waste piles and surface impoundments from which the owner or operator intends to remove the wastes at closure to the extent that these sections are made applicable to such facilities in sections 66264.228 or 66264.258;
(3) tank systems that are required under section 66264.197 to meet the requirements for landfills; and
(4) containment buildings that are required under section 66264.1102 to meet the requirement for landfills.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 25245 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245, 25246 and 58012, Health and Safety Code; 40 CFR Section 264.110.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b)(3), new subsection (b)(4) and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b)(3), new subsection (b)(4) and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of  subsections (b)(2)-(3), new subsection (b)(4) and amendment of Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of  subsections (b)(2)-(3), new subsection (b)(4) and amendment of Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
§66264.111. Closure Performance Standard.
Note     •     History

The owner or operator shall close the facility in a manner that:
(a) minimizes the need for further maintenance; and
(b) controls, minimizes or eliminates, to the extent necessary to protect human health and the environment, post-closure escape of hazardous waste, hazardous constituents, leachate, contaminated rainfall or run-off, or waste decomposition products to the ground or surface waters or to the atmosphere; and
(c) complies with the closure requirements of this chapter including, but not limited to, the requirements of sections 66264.178, 66264.197, 66264.228, 66264.258, 66264.280, 66264.310, 66264.351, 66264.601 through 66264.603, and 66264.1102.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 25245 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 58012, Health and Safety Code; 40 CFR Section 264.111.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (c) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (c) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (c) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (c) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
§66264.112. Closure Plan; Amendment of Plan.
Note     •     History

(a) Written plan.
(1) The owner or operator of a hazardous waste management facility shall have a written closure plan. In addition, certain surface impoundments and waste piles from which the owner or operator intends to re--

move or decontaminate the hazardous waste at partial or final closure are required by sections 66264.228(c)(1)(A) and 66264.258(c)(1)(A) to have contingent closure plans. The plan shall be submitted with the permit application, in accordance with section 66270.14(b)(13) of this division, or when otherwise requested by the Department. The plan shall be approved by the Department as part of the permit issuance procedures un--der chapter 21 of this division. In accordance with section 66270.32 of this division, the approved closure plan will become a condition of any permit.
(2) The Department's approval of the plan shall ensure that the approved closure plan is consistent with sections 66264.111 through 66264.115 and the applicable requirements of article 6 of this chapter and sections 66264.178, 66264.197, 66264.228, 66264.258, 66264.280, 66264.310, 66264.351, 66264.601 and 66264.1102. Until final closure is completed and certified in accordance with section 66264.115, a copy of the approved plan and all approved revisions shall be kept at the facility and furnished to the Department upon request, including request by mail.
(b) Content of plan. The plan shall identify steps necessary to perform partial or final closure of the facility at any point during its active life and to perform final closure of the facility at the end of its active life. The closure plan shall include, at least:
(1) a description of how and when each hazardous waste management unit at the facility will be closed in accordance with section 66264.111;
(2) a description of how and when final closure of the facility will be conducted in accordance with section 66264.111. The description shall identify the maximum extent of the operations which will be unclosed during the active life of the facility;
(3) an estimate of the maximum inventory of hazardous wastes ever on-site over the active life of the facility and a detailed description of the methods to be used during partial closures and final closure, including, but not limited to, methods for removing, transporting, treating, storing, or disposing of all hazardous wastes, and identification of the type(s) of the off-site hazardous waste management units to be used, if applicable;
(4) a detailed description of the steps needed to remove or decontaminate all hazardous waste residues and contaminated containment system components, equipment, structures, and soils during partial and final closure, including, but not limited to, procedures for cleaning equipment and removing contaminated soils, methods for sampling and testing surrounding soils, and criteria for determining the extent of decontamination required to satisfy the closure performance standard;
(5) a detailed description of other activities necessary during the closure period to ensure that all partial closures and final closure satisfy the closure performance standards, including, but not limited to, ground-water monitoring, leachate collection, and run-on and run-off control;
(6) a schedule for closure of each hazardous waste management unit and for final closure of the facility. The schedule shall include, at a minimum, the total time required to close each hazardous waste management unit and the time required for intervening closure activities which will allow tracking of the progress of partial and final closure. (For example, in the case of a landfill unit, estimates of the time required to treat or dispose of all hazardous waste inventory and of the time required to place a final cover shall be included);
(7) an estimate of the expected year of final closure.
(c) Amendment of plan. The owner or operator shall submit a written notification of or request for a permit modification to authorize a change in the approved closure plan in accordance with the applicable procedures in chapters 20 and 21 of this division. The written notification request shall include a copy of the amended closure plan for review or approval by the Department.
(1) The owner or operator may submit a written notification or request to the Department for a permit modification to amend the closure plan at any time prior to the notification of partial or final closure of the facility.
(2) The owner or operator shall submit a written notification or request for a permit modification to authorize a change in the approved closure plan whenever:
(A) changes in operating plans or facility design affect the closure plan, or
(B) there is a change in the expected year of closure, or
(C) in conducting partial or final closure activities, unexpected events require a modification of the approved closure plan.
(3) The owner or operator shall submit a written request for a permit modification including a copy of the amended closure plan for approval at least 60 days prior to the proposed change in facility design or operation, or no later than 60 days after an unexpected event has occurred which has affected the closure plan. If an unexpected event occurs during the partial or final closure period, the owner or operator shall request a permit modification no later than 30 days after the unexpected event. The Department will approve, disapprove, or modify this amended plan in accordance with the procedures in chapters 20 and 21 of this division. In accordance with section 66270.32 of this division, the approved closure plan will become a condition of any permit issued.
(4) The Department may request modifications to the plan under the conditions described in section 66264.112(c)(2). The owner or operator shall submit the modified plan within 60 days of the Department's request, or within 30 days if the change in facility conditions occurs during partial or final closure. Any modifications requested by the Department will be approved in accordance with the procedures in chapters 20 and 21 of this division.
(d) Notification of partial closure and final closure.
(1) The owner or operator shall notify the Department in writing at least 60 days prior to the date on which the owner or operator expects to begin closure of a surface impoundment, waste pile, land treatment or landfill unit, or final closure of a facility with such a unit. The owner or operator shall notify the Department in writing at least 45 days prior to the date on which the owner or operator expects to begin final closure of a facility with only tanks or containers used for transfer, treatment or storage, or incinerator units to be closed. The owner or operator shall notify the Department in writing at least 45 days prior to the date on which the owner or operator expects to begin partial or final closure of a boiler or industrial furnace, whichever is earlier. The Department may require a longer notice period of up to 180 days for any facility or unit by giving written notice of the longer period if the Department determines that additional time would be required to review and make necessary amendments to the closure plan prior to the initiation of closure. Within 90 days after receiving a notification, the Department may review the closure plan to determine whether any factor has significantly changed since a prior review was undertaken, or determine whether the plan is otherwise adequate or inadequate, and may prescribe additional requirements or request modifications to the plan.
(2) The date when the owner or operator “expects to begin closure” shall be either no later than the date on which any hazardous waste management unit receives the known final volume of hazardous wastes or, if there is a reasonable possibility that the hazardous waste management unit will receive additional hazardous wastes, no later than one year after the date on which the unit received the most recent volume of hazardous waste. The Department may approve an extension to this one-year limit if the owner or operator of a hazardous waste management unit demonstrates to the satisfaction of the Department that the hazardous waste management unit or facility has the capacity to receive additional hazardous wastes,the owner or operator has taken, and will continue to take, all steps necessary to comply with all applicable permit requirements, and the extension will not pose a threat to human health and the environment.
(3) For units meeting the requirements of section 66264.113(d), the date when the owner or operator “expects to begin closure” shall be no later than the date on which the hazardous waste management unit receives the known final volume of non-hazardous wastes, or if there is a reasonable possibility that the hazardous waste management unit will receive additional non-hazardous wastes, no later than one year after the date on which the unit received the most recent volume of non-hazardous wastes. If the owner or operator can demonstrate to the Department that the hazardous waste management unit has the capacity to receive additional non-hazardous wastes and the owner or operator has taken, and will continue to take, all steps to prevent threats to human health and threats to the environment, including compliance with all applicable permit requirements, the Department may approve an extension to this one-year limit. A facility operating under the requirements of section 66264.113(d) shall be subject to the facility fee specified in Health and Safety Code, Division 20, section 25205.2(d), until the facility has complied with the requirements of section 66264.113(a). Health and Safety Code, Division 20, section 25205.2(d)(4) shall not apply to a facility operating pursuant to section 66264.113(d).
(4) If the facility's permit is terminated, or if the facility is otherwise ordered, by judicial decree or final order under Health and Safety Code section 25358.3 or article 8 of chapter 6.5 of division 20 of the Health and Safety Code, to cease receiving hazardous wastes or to close, then the requirements of this section do not apply. However, the owner or operator shall close the facility in accordance with the deadlines established in section 66264.113.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 25205.2, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 264.112.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (a)(2) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a)(2) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(2) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a)(2) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. New subsection (d)(3), subsection renumbering, and amendment of newly designated subsection (d)(4) and Note filed 6-20-96; operative 7-20-96 (Register 96, No. 25).
8. Amendment  of subsection (d)(1) and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
9. Change without regulatory effect amending subsection (d)(2) filed 10-22-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 43).
10. Change without regulatory effect amending subsection (d)(3) filed 12-23-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 52).
11. Change without regulatory effect amending subsection (d)(3) filed 1-7-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 2).
12. Change without regulatory effect amending subsection (a)(2) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66264.113. Closure; Time Allowed for Closure.
Note     •     History

(a) Within 90 days after receiving the final volume of hazardous wastes, or the final volume of non-hazardous wastes if the owner or operator complies with all applicable requirements in subsections (d) and (e) of this section, at a hazardous waste management unit or facility, the owner or operator shall treat, remove from the unit or facility, or dispose of on-site, all hazardous wastes in accordance with the approved closure plan. The Department may approve a longer period if the owner or operator complies with all applicable requirements for requesting a modification to the permit and demonstrates to the satisfaction of the Department that:
(1)(A) the activities required to comply with this subsection will, of necessity, take longer than 90 days to complete; or
(B) 1. the hazardous waste management unit or facility has the capacity to receive additional hazardous wastes, or has the capacity to receive non-hazardous wastes if the owner or operator complies with subsections (d) and (e) of this section; and
2. there is a reasonable likelihood that a person other than the owner or operator will recommence operation of the hazardous waste management unit or the facility within one year; and
3. closure of the hazardous waste management unit or facility would be incompatible with continued operation of the site; and
(2) the owner or operator has taken and will continue to take all steps to comply with all applicable permit requirements and the longer period will not pose a threat to human health and the environment.
(b) The owner or operator shall complete partial and final closure activities in accordance with the approved closure plan and within 180 days after receiving the final volume of hazardous wastes, or the final volume of non-hazardous wastes if the owner or operator complies with all applicable requirements in subsections (d) and (e) of this section, at the hazardous waste management unit or facility. The Department may approve an extension to the closure period if the owner or operator complies with all applicable requirements for requesting a modification to the permit and demonstrates that:
(1)(A) the partial or final closure activities will, of necessity, take longer than 180 days to complete; or
(B) 1. the hazardous waste management unit or facility has the capacity to receive additional hazardous wastes, or has the capacity to receive non-hazardous wastes if the owner or operator complies with subsections (d) and (e) of this section; and
2. there is reasonable likelihood that a person other than the owner or operator will recommence operation of the hazardous waste management unit or the facility within one year; and
3. closure of the hazardous waste management unit or facility would be incompatible with continued operation of the site; and
(2) the owner or operator has taken and will continue to take all steps to prevent threats to human health and the environment from the unclosed, but not operating, hazardous waste management unit or facility, including compliance with all applicable permit requirements.
(c) The demonstrations referred to in subsections (a) and (b) of this section shall be made as follows: 
(1) The demonstrations in subsection (a) of this section shall be made at least 30 days prior to the expiration of the 90-day period in subsection (a); and
(2) the demonstration in subsection (b) shall be made at least 30 days prior to the expiration of the 180-day period in subsection (b) of this section, unless the owner or operator is otherwise subject to the deadlines in subsection (d) of this section.
(d) The Department may allow an owner or operator to receive only non-hazardous wastes in a landfill, land treatment, or surface impoundment unit after the final receipt of hazardous wastes at that unit, if:
(1) The owner or operator requests a permit modification in compliance with all applicable requirements in chapters 20 and 21 of this division and in the permit modification request demonstrates to the Department that:
(A) the unit has the existing design capacity as indicated on the Part A application to receive non-hazardous wastes; and
(B) there is a reasonable likelihood that the owner or operator or another person will receive non-hazardous wastes in the unit within one year after the final receipt of hazardous wastes; and
(C) the non-hazardous wastes will not be incompatible with any remaining wastes in the unit, or with the facility design and operating requirements of the unit or facility under this chapter; and
(D) closure of the hazardous waste management unit would be incompatible with continued operation of the unit or facility; and
(E) the owner or operator is operating and will continue to operate in compliance with all applicable permit requirements of this chapter and with all applicable regulations promulgated by other state agencies governing discharges of hazardous or non-hazardous wastes to land and water, including, but not limited to, regulations promulgated by the California Integrated Waste Management Board and the State Water Resources Control Board; and
(2) The request to modify the permit includes an amended waste analysis plan, monitoring and response program for groundwater, air, soil, and soil-pore gas required under articles 6 and 17 of this chapter, human exposure assessment required under Title 42, U.S.C., Section 6939a, and closure and post-closure plans, and updated cost estimates and demonstrations of financial assurance for closure and post-closure care as necessary and appropriate, to reflect any changes due to the presence of hazardous constituents in the non-hazardous wastes, and changes in closure activities, including the expected year of closure, if applicable, under Title 22, CCR, section 66264.112(b)(7), as a result of the receipt of non-hazardous wastes following the final receipt of hazardous wastes; and
(3) The request to modify the permit includes revisions, as necessary and appropriate, to affected conditions of the permit to account for the receipt of non-hazardous wastes following receipt of the final volume of hazardous wastes; and
(4) The request to modify the permit and the demonstrations referred to in subsections (d)(1) and (d)(2) of this section are submitted to the Department no later than 180 days prior to the date on which the owner or operator of a facility receives the known final volume of hazardous wastes at the unit, or no later than 90 days after the effective date of this rule, whichever is later.
(e) In addition to the requirements in subsection (d) of this section, an owner or operator of a hazardous waste surface impoundment that is not in compliance with the liner and leachate collection system requirements pursuant to Title 22, CCR, Division 4.5, Chapter 14, Article 11 shall:
(1) Submit with the request to modify the permit:
(A) a contingent corrective measures plan, unless a corrective action program has already been submitted under sections 66264.99, 66264.100 and 66264.708; and
(B) a plan for removing hazardous wastes in compliance with subsection (e)(2) of this section; and
(2) Remove all hazardous wastes from the unit by removing all hazardous liquids, and by removing all hazardous sludges to the extent practicable without impairing the integrity of the liner(s), if any.
(3) Removal of hazardous wastes shall be completed no later than 90 days after the final receipt of hazardous wastes. The Department may approve an extension to this deadline if the owner or operator demonstrates that the removal of hazardous wastes will, of necessity, take longer than the allotted period to complete and that an extension will not pose a threat to human health or the environment.
(4) If a release that is a statistically significant increase (or decrease in the case of pH) over background values for detection monitoring parameters or constituents specified in the permit or that exceeds the facility's protection standards for groundwater, air, soil, or soil-pore gas at the points of compliance, if applicable, is detected in accordance with the requirements in articles 6, 15.5, or 17 of this chapter, the owner or operator of the unit:
(A) shall implement corrective measures in accordance with the approved contingent corrective measures plan required by subsection (e)(1) of this section no later than one year after detection of the release, or approval of the contingent corrective measures plan, whichever is later;
(B) may continue to receive wastes at the unit following detection of the release only if the approved corrective measures plan includes a demonstration that continued receipt of wastes will not impede corrective action; and
(C) may be required by the Department to implement corrective measures in less than one year or to cease receipt of wastes until corrective measures have been implemented if necessary to protect human health or the environment.
(5) During the period of corrective action, the owner or operator shall provide semi-annual reports to the Department that describe the progress of the corrective action program, compile all monitoring data for groundwater, air, soil, and soil-pore gas, and evaluate the effect of the continued receipt of non-hazardous wastes on the effectiveness of the corrective action.
(6) The Department may require the owner or operator to commence closure of the unit if the owner or operator fails to implement corrective action measures in accordance with the approved contingent corrective measures plan within one year as required in subsection (e)(4) of this section, or fails to make substantial progress in implementing corrective action and achieving the facility's protection standards for groundwater, air, soil, or soil-pore gas, or background levels if the facility has not yet established a protection standard for groundwater, air, soil or soil-pore gas.
(7) If the owner or operator fails to implement corrective measures as required in subsection (e)(4) of this section, or if the Department determines that substantial progress has not been made pursuant to subsection (e)(6) of this section, the Department shall:
(A) notify the owner or operator in writing that the owner or operator shall begin closure in accordance with the deadlines in subsections (a) and (b) of this section and provide a detailed statement of reasons for this determination, and
(B) provide the owner or operator and the public, through a newspaper notice, the opportunity to submit written comments on the decision no later than 20 days after the date of the notice.
(C) If the Department receives no written comments, the decision will become final five days after the close of the comment period. The Department shall notify the owner or operator that the decision is final, and that a revised closure plan, if necessary, shall be submitted within 15 days of the final notice and that closure shall begin in accordance with the deadlines in subsections (a) and (b) of this section.
(D) If the Department receives written comments on the decision, the Department shall make a final decision within 30 days after the end of the comment period, and shall provide the owner or operator in writing, and the public through a newspaper notice, a detailed statement of reasons for the final decision. If the Department determines that substantial progress has not been made, closure shall be initiated in accordance with the deadlines in subsections (a) and (b) of this section.
(E) The final determinations made by the Department under subsections (e)(7)(C)-(D) of this section are not subject to administrative appeal.
NOTE

Authority cited: Sections 25150, 25159, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25200.10, 25245 and 25246, Health and Safety Code; 40 CFR Section 264.113.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a), (a)(1)(B)1., (b), (b)(1)(B)1. and (c)(1)-(2), new subsections (d)-(e)(7)(E), and amendment of Note filed 6-20-96; operative 7-20-96 (Register 96, No. 25).
3. Change without regulatory effect amending subsections (a), (b), (e)(1)(A) and (e)(5) filed 10-22-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 43).
4. Change without regulatory effect amending subsections (d)(2) and (e)(1)(A) filed 12-23-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 52).
5. Change without regulatory effect amending subsection (e)(3) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66264.114. Disposal or Decontamination of Equipment, Structures and Soils.
Note     •     History

During the partial and final closure periods, all contaminated equipment, structures and soils shall be properly disposed of or decontaminated by removing all hazardous waste and residues, unless otherwise specified in sections 66264.197, 66264.228, 66264.258, 66264.280, or 66264.310. By removing all hazardous wastes and residues or hazardous constituents during partial and final closure, the owner or operator may become a generator of hazardous waste and shall handle that waste in accordance with all applicable requirements of chapter 12 of this division.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 264.114.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.115. Certification of Closure.
Note     •     History

Within 60 days of completion of partial closure, and within 60 days of the completion of final closure, the owner or operator shall submit to the Department, by registered mail, a certification that the hazardous waste management unit or facility, as applicable, has been closed in accordance with the specifications in the approved closure plan. The certification shall be signed by the owner or operator and by an independent qualified professional engineer, registered in California. Documentation supporting the independent qualified registered professional engineer's certification shall be furnished to the Department upon request until the Department releases the owner or operator from the financial assurance requirements for closure under section 66264.143, subsection (j).
NOTE

Authority cited: Sections 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 264.115.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending section and Note filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
§66264.116. Survey Plat.
Note     •     History

No later than the submission of the certification of closure of each hazardous waste disposal unit, the owner or operator shall submit to the local zoning authority, or the authority with jurisdiction over local land use, and to the Department, a survey plat indicating the location and dimensions of landfill cells or other hazardous waste disposal units with respect to permanently surveyed vertical and horizontal benchmarks. This plat shall be prepared and certified by a professional land surveyor licensed in California. The plat filed with the local zoning authority, or the authority with jurisdiction over local land use, shall contain a note, prominently displayed, which states the owner's or operator's obligation to restrict disturbance of the hazardous waste disposal unit in accordance with the applicable regulations of this article.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25259, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 264.116.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.117. Post-Closure Care and Use of Property.
Note     •     History

(a) This section pertains to facilities at which all hazardous wastes, waste residues, contaminated materials and contaminated soils will not be removed during closure. Additional requirements for such facilities are cited in title 23 of the California Code of Regulations.
(b)(1) Post-closure care for each hazardous waste management unit subject to the requirements of sections 66264.117 through 66264.120 shall begin after completion of closure of the unit and, except as provided in subsections (b)(2)(A) and (b)(2)(B), continue for 30 years after that date and shall consist of at least the following:
(A) monitoring and reporting in accordance with the requirements of articles 6, 11, 12, 13, 14, and 16 of this chapter; and
(B) maintenance and monitoring of waste containment systems in accordance with the requirements of articles 6, 11, 12, 13, 14, and 16 of this chapter.
(2) Any time preceding partial closure of a hazardous waste management unit subject to post-closure care requirements or final closure, or any time during the post-closure period for a particular unit, the Department shall, in accordance with the permit modification procedures in chapters 20 and 21 of this division:
(A) shorten the post-closure care period applicable to the hazardous waste management unit, or facility, if all disposal units have been closed, if the owner or operator demonstrates to the satisfaction of the Department and the Department finds that the reduced period is sufficient to protect human health and the environment (e.g., leachate or ground-water monitoring results, characteristics of the hazardous wastes, application of advanced technology, or alternative disposal, treatment, or re-use techniques indicate that the hazardous waste management unit or facility is secure); or
(B) extend the post-closure care period applicable to the hazardous waste management unit or facility if the Department finds that the extended period is necessary to protect human health and the environment (e.g., leachate or ground-water monitoring results indicate a potential for migration of hazardous wastes at levels which may be harmful to human health and the environment).
(c) The Department shall require, at partial and final closure, continuation of any of the security requirements of section 66264.14 during part or all of the post-closure period when:
(1) hazardous wastes may remain exposed after completion of partial or final closure; or
(2) access by the public or domestic livestock may pose a hazard to human health.
(d) Post-closure use of property on or in which hazardous wastes remain after partial or final closure shall never be allowed to disturb the integrity of the final cover, liner(s), or any other components of the containment system, or the function of the facility's monitoring systems, unless the Department finds that the disturbance:
(1) is necessary to the proposed use of the property, and will not increase the potential hazard to human health or the environment; or
(2) is necessary to reduce a threat to human health or the environment.
(e) All post-closure care activities shall be in accordance with the provisions of the approved post-closure plan as specified in section 66264.118.
(f) Upon closure of a hazardous waste facility wherein hazardous wastes remain on-site, no construction, filling, grading, excavating or mining shall occur without the issuance of a variance by the Department. No variance may be granted which is inconsistent with subsection (d) of this section.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 264.117.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.118. Post-Closure Plan; Amendment of Plan.
Note     •     History

(a) Written Plan. The owner or operator of a hazardous waste disposal unit shall have a written post-closure plan. In addition, certain surface impoundments and waste piles from which the owner or operator intends to remove or decontaminate the hazardous wastes at partial or final closure are required by sections 66264.228(c)(1)(B) and 66264.258(c)(1)(B) to have contingent post-closure plans. The plan shall be submitted with the permit application, in accordance with section 66270.14(b)(13) of this division, or when otherwise requested by the Department. The plan shall be approved by the Department as part of the permit issuance procedures under chapter 21 of this division. In accordance with section 66270.32 of this division, the approved post-closure plan will become a condition of any permit issued.
(b) For each hazardous waste management unit subject to the requirements of this section, the post-closure plan shall identify the activities that will be carried on after closure of each disposal unit and the frequency of these activities, and include at least:
(1) a description of the planned monitoring activities and frequencies at which they will be performed to comply with articles 6, 11, 12, 13, 14, and 16 of this chapter during the post-closure care period; and
(2) a description of the planned maintenance activities, and frequencies at which they will be performed, to ensure:
(A) the integrity of the cap and final cover and other containment systems in accordance with the requirements of articles 11, 12, 13, 14, and 16 of this chapter; and
(B) the function of the monitoring equipment in accordance with the requirements of articles 6, 11, 12, 13, 14, and 16 of this chapter; and
(3) the name, address, and phone number of the person or office to contact about the hazardous waste disposal unit or facility during the post-closure care period.
(c) Until final closure of the facility, a copy of the approved post-closure plan and all revisions shall be kept at the facility and furnished to the Department upon request, including request by mail. After final closure, the person or office specified in section 66264.118(b)(3) shall keep an updated and approved post-closure plan during the remainder of the post-closure period.
(d) Amendment of plan. The owner or operator shall submit a written notification of or request for a permit modification to authorize a change in the approved post-closure plan in accordance with the applicable requirements of chapters 20 and 21 of this division. The written notification or request shall include a copy of the amended post-closure plan for review or approval by the Department.
(1) The owner or operator may submit a written notification or request to the Department for a permit modification to amend the post-closure plan at any time during the active life of the facility or during the post-closure care period.
(2) The owner or operator shall submit a written notification of or request for a permit modification to authorize a change in the approved post-closure plan whenever:
(A) changes in operating plans or facility design affect the approved post-closure plan, or
(B) there is a change in the expected year of final closure, if applicable, or
(C) events which occur during the active life of the facility or the post-closure care period, including partial and final closures, affect the approved post-closure plan.
(3) The owner or operator shall submit a written request for a permit modification at least 60 days prior to the proposed change in facility design or operation, or no later than 60 days after an unexpected event has occurred which has affected the post-closure plan. The Department will approve, disapprove or modify this amended plan in accordance with the procedures in chapters 20 and 21 of this division. In accordance with section 66270.32 of this division, the approved post-closure plan will become a permit condition.
(4) The Department shall modify or request modifications to the plan under the conditions described in section 66264.118(d)(2) or for other causes if deemed necessary to prevent threats to human health and the environment. The owner or operator shall submit the modified plan no later than 60 days after the Department's request. Any modifications requested by the Department will be approved, disapproved, or modified in accordance with the procedures in chapters 20 and 21 of this division.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 264.118.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.119. Post-Closure Notices.
Note     •     History

(a) No later than 60 days after certification of closure of each hazardous waste disposal unit, the owner or operator shall submit to the local zoning authority, or the authority with jurisdiction over local land use, and to the Department a record of the type, location, and quantity of hazardous wastes disposed of within each cell or area (not limited to only hazardous waste disposal unit) of the facility. For hazardous wastes disposed of before January 12, 1981, the owner or operator shall identify the type, location, and quantity of the hazardous wastes to the best of the owner's or operator's knowledge and in accordance with any records the owner or operator has kept. Any changes in the type, location or quantity of hazardous wastes disposed of within each cell or area of the facility that occur after the survey plat and record of wastes have been filed shall be reported to the local zoning authority or the authority with jurisdiction over local land use and to the Department.
(b) Within 60 days of certification of closure of the first hazardous waste disposal unit and within 60 days of certification of closure of the last hazardous waste disposal unit, the owner or operator shall:
(1) record, in accordance with State law, a notation on the deed to the facility property, or on some other instrument which is normally examined during title search, that will in perpetuity notify any potential purchaser of the property that:
(A) the land has been used to manage hazardous wastes; and
(B) its use is restricted under article 7 of this chapter; and
(C) the survey plat and record of the type, location, and quantity of hazardous wastes disposed of within each cell or area (not limited to only hazardous waste disposal unit) of the facility required by sections 66264.116 and 66264.119(a) have been filed with the local zoning authority or the authority with jurisdiction over local land use and with the Department; and
(2) submit, to the Department, a certification, signed by the owner, that the notation specified in subsection (b)(1) of this section has been recorded, including a copy of the document in which the notation has been placed.
(c) If at any time the owner or operator or any subsequent owner or operator of the land upon which a hazardous waste disposal unit is located wishes to remove hazardous wastes and hazardous waste residues, the liner, if any, or contaminated underlying and surrounding soils, the owner or operator shall request a modification to the post-closure permit in accordance with the applicable requirements in chapters 20 and 21 of this division. The owner or operator shall demonstrate that the removal of hazardous wastes will satisfy the criteria of section 66264.117(d). By removing hazardous waste, the owner or operator may become a generator of hazardous waste and shall manage it in accordance with all applicable requirements of this chapter. If the Department grants a permit modification or otherwise grants approval to conduct such removal activities, and the removal activities are completed to the satisfaction of the Department the owner or operator may request that the Department approve either:
(1) the removal of the notation on the deed to the facility property or other instrument normally examined during title search; or
(2) the addition of a notation to the deed or instrument indicating the removal of the hazardous waste.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 264.119.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66264.120. Certification of Completion of Post-Closure Care.
Note     •     History

No later than 60 days after completion of the established post-closure care period for each hazardous waste disposal unit, the owner or operator shall submit to the Department, by registered mail, a certification that the post-closure care period for the hazardous waste disposal unit was performed in accordance with the specifications in the approved post-closure plan. The certification shall be signed by the owner or operator and an independent qualified professional engineer, registered in California. Documentation supporting the independent qualified registered professional engineer's certification shall be furnished to the Department upon request until the Department releases the owner or operator from the financial assurance requirements for post-closure care under section 66264.145, subsection (j).
NOTE

Authority cited: Sections 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 264.120.
HISTORY

1. New section filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending section and Note filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
Article 8. Financial Requirements
§66264.140. Applicability.
Note     •     History

(a) The requirements of sections 66264.142, 66264.143 and 66264.147 apply to owners and operators of all hazardous waste facilities, as defined in section 66260.10, except as provided otherwise in this article.
(b) The requirements of sections 66264.144 and 66264.145 apply only to owners and operators of:
(1) hazardous waste facilities, which are disposal facilities, as defined in section 66260.10;
(2) for purposes of this article, a facility which utilizes a temporary waste pile, as defined in section 66260.10, and surface impoundments as defined in section 66260.10, shall be considered as a disposal site until the owner or operator has demonstrated to the satisfaction of the Department that all wastes have been removed from the site;
(3) tank systems that are required under section 66264.197 to meet the requirements for landfills; and
(4) Containment buildings that are required under section 66264.1102 to meet the requirements for landfills.
(c) States and the Federal government are exempt from the requirements of this article.
(d) For purposes of this article, state government shall not include municipal, local, city, county, city-county special district government or any subdivisions thereof.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 25245 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 58012, Health and Safety Code; 40 CFR Section 264.140.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b)(3), new subsection (b)(4) and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b)(3), new subsection (b)(4) and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b)(3), new subsection (b)(4) and amendment of  Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b)(3), new subsection (b)(4) and amendment of  Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order including amendment of subsection (b)(3), transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Change without regulatory effect amending subsection (b)(1) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
8. Editorial correction of History 7 (Register 98, No. 42).
9. Change without regulatory effect redesignating subsection (c)(1) as subsection (d) filed 11-6-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
§66264.141. Definition of Terms As Used in This Article.
Note     •     History

(a) The following terms, as defined in section 66260.10 are used in the specifications for the financial tests for closure, post-closure care, and liability coverage. The definitions are intended to assist in the understanding of these regulations and are not intended to limit the meanings of terms in a way that conflicts with generally accepted accounting practices.

“Assets” 

“Current assets” 

“Current liabilities” 

“Current plugging and abandonment cost estimate” 

“Independently audited” 

“Liabilities” 

“Net working capital” 

“Net worth” 

“Substantial business relationship” 

“Tangible net worth”
(b) In the liability coverage requirements the terms “bodily injury” and “property damage” as defined in section 66260.10 shall have the meanings given these terms by applicable State law. However, these terms do not include those liabilities which, consistent with standard industry practices, are excluded from coverage in liability policies for bodily injury and property damage. The Department intends the meanings of other terms used in the liability insurance requirements to be consistent with their common meanings within the insurance industry. The definitions given below and defined in section 66260.10 are intended to assist in the understanding of these regulations and are not intended to limit their meanings in a way that conflicts with general insurance industry usage.

“Accidental occurrence” 

“Legal defense costs” 

“Nonsudden accidental occurrence” 

“Sudden accidental occurrence”
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; 40 CFR Section 264.141.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.142. Cost Estimate for Closure.
Note     •     History

(a) The owner or operator shall prepare and submit to the Department a detailed written estimate, in current dollars, of the cost of closing the facility in accordance with the requirements in sections 66264.111 through 66264.115 and applicable closure requirements in sections 66264.178, 66264.197, 66264.228, 66264.258, 66264.280, 66264.310, 66264.351, 66264.601 through 66264.603, and 66264.1102.
(1) The estimate shall be submitted in accordance with sections 66270.10 and 66270.14. The estimate shall equal the cost of final closure at the point in the facility's active life when the extent and manner of its operation would make closure the most expensive, as indicated by its closure plan (see section 66264.112(b)).
(2) The closure cost estimate shall be based on the costs to the owner or operator of hiring a third party to close the facility. A third party is a party who is neither a parent nor a subsidiary of the owner or operator. (See definition of parent corporation in section 66260.10.) The owner or operator may use costs for on-site disposal if it can be demonstrated that on-site disposal capacity will exist at all times over the life of the facility.
(3) The closure cost estimate shall not incorporate any salvage value that may be realized with the sale of hazardous wastes, or non-hazardous wastes if applicable under section 66264.113(d), facility structures or equipment, land, or other assets associated with the facility at the time of partial or final closure.
(4) The owner or operator shall not incorporate a zero cost for hazardous wastes, or non-hazardous wastes if applicable under section 66264.113(d), that might have economic value.
(b) During the active life of the facility, the owner or operator shall adjust the closure cost estimate for inflation within 60 days prior to the anniversary date of the establishment of the financial instrument(s) used to comply with section 66264.143. For owners and operators using the financial test or corporate guarantee, the closure cost estimate shall be updated for inflation within 30 days after the close of the firm's fiscal year and before submission of updated information to the Department as specified in section 66264.143(f)(3). The adjustment shall be made by recalculating the maximum costs of closure in current dollars, or by using an inflation factor derived from the most recent Implicit Price Deflator for Gross National Product published by the U.S. Department of Commerce in its Survey of Current Business, as specified in subsections (b)(1) and (2) of this section. The inflation factor is the result of dividing the latest published annual Deflator by the Deflator for the previous year.
(1) The first adjustment is made by multiplying the closure cost estimate by the inflation factor. The result is the adjusted closure cost estimate.
(2) Subsequent adjustments are made by multiplying the latest adjusted closure cost estimate by the latest inflation factor.
(c) During the active life of the facility, the owner or operator shall revise the closure cost estimate no later than 30 days after the Department has approved the request to modify the closure plan, if the change in the closure plan increases the cost of closure. The revised closure cost estimate shall be adjusted for inflation as specified in subsection (b) of this section.
(d) The owner or operator shall keep the following at the facility during the operating life of the facility: the latest closure cost estimate prepared in accordance with subsections (a) and (c) of this section and, when this estimate has been adjusted in accordance with subsection (b) of this section, the latest adjusted closure cost estimate.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code; 40 CFR Section 264.142.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (a) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Amendment of subsections (a)(3)-(4) and Note filed 6-20-96; operative 7-20-96 (Register 96, No. 25).
§66264.143. Financial Assurance for Closure.
Note     •     History

An owner or operator of each facility shall establish and demonstrate to the Department financial assurance for closure of the facility. The owner or operator shall choose from the options as specified in subsections (a) through (f) and (i) of this section or section 66264.146 of this article.
(a) Closure trust fund.
(1) An owner or operator may satisfy the requirements of this section by establishing a closure trust fund which conforms to the requirements of this subsection and submitting an originally signed duplicate of the trust agreement to the Department. An owner or operator of a new facility shall submit the originally signed duplicate of the trust agreement to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal. The trustee shall be an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.
(2) The wording of the trust agreement shall be identical to the wording specified in section 66264.151, subsection (a)(1), shall contain original signatures and shall be accompanied by a formal certification of acknowledgment (for example, see section 66264.151, subsection (a)(2)).  Schedule A of the trust agreement shall be updated within 60 days after a change in the amount of the current closure cost estimate covered by the trust agreement.
(3) Payments into the trust fund shall be made annually by the owner or operator over the term of the initial RCRA permit, or ten (10) years beginning with the establishment of the trust fund or over the remaining operating life of the facility as estimated in the closure plan, whichever period is shorter; this period is hereafter referred to as the “pay-in period.” The payments into the closure trust fund shall be made as follows:
(A) For existing facilities, the first payment shall be made at the time the trust fund is established; a receipt from the trustee for this payment shall be submitted by the owner or operator to the Department. The first payment shall be at least equal to the current closure cost estimate, except as provided in subsection (g) of this section, divided by the number of years in the pay-in period. Subsequent payments shall be made no later than 30 days after each anniversary date of the first payment. The amount of each subsequent payment shall be determined by this formula:

View Graphic

where CE is the current closure cost estimate, CV is the current value of the trust fund and Y is the number of years remaining in the pay-in period.
(B) For a new facility, the first payment shall be made before the initial receipt of hazardous waste for transfer, treatment, storage or disposal. A receipt from the trustee for this payment shall be submitted by the owner or operator to the Department before this initial receipt of hazardous waste. The first payment shall be at least equal to the current closure cost estimate, except as provided in subsection (g) of this section, divided by the number of years in the pay-in period. Subsequent payments shall be made no later than 30 days after each anniversary date of the first payment. The amount of each subsequent payment shall be determined by this formula:

View Graphic

where CE is the current closure cost estimate, CV is the current value of the trust fund, and Y is the number of years remaining in the pay-in period.
(C) If an owner or operator establishes a trust fund as specified in section 66265.143(a) of this division, and the value of that trust fund is less than the current closure cost estimate when a permit is awarded for the facility, the amount of the current closure cost estimate still to be paid into the trust fund shall be paid in over the pay-in period as defined in subsection (a)(3) of this section. Payments shall continue to be made no later than 30 days after each anniversary date of the first payment made pursuant to chapter 15 of this division. The amount of each payment must be determined by this formula:

View Graphic

where CE is the current closure cost estimate, CV is the current value of the trust fund, and Y is the number of years remaining in the pay-in period.
(4) The owner or operator may accelerate payments into the trust fund or the full amount of the current closure cost estimate may be deposited at the time the fund is established. However, the value of the fund shall be maintained at no less than the value that the fund would have if annual payments were made as specified in subsection (a)(3) of this section.
(5) If the owner or operator establishes a closure trust fund after having used one or more alternate mechanisms specified in this section or in section 66265.143 of this division, the first payment shall be in at least the amount that the fund would contain if the trust fund were established initially and annual payments made according to specifications of this subsection and section 66265.143, subsection (a) of this division, as applicable.
(6) After the pay-in period is completed, whenever the current closure cost estimate changes, the owner or operator shall compare the new estimate with the trustee's most recent annual valuation of the trust fund. If the value of the fund is less than the amount of the new estimate, the owner or operator, within 60 days after the change in the cost estimate, shall either deposit an amount into the fund so that its value after this deposit at least equals the amount of the current closure cost estimate, or obtain other financial assurance as specified in this section to cover the difference.
(7) If the value of the trust fund is greater than the total amount of the current closure cost estimate, the owner or operator may submit a written request to the Department for release of the amount in excess of the current closure cost estimate.
(8) If an owner or operator substitutes other financial assurance as specified in this section for all or part of the trust fund, a written request may be submitted to the Department for release of the amount in excess of the current closure cost estimate covered by the trust fund.
(9) Within 60 days after receiving a request from the owner or operator for release of funds as specified in subsections (a)(7) or (8) of this section, the Department will instruct the trustee to release to the owner or operator such funds as the Department specifies in writing.
(10) Before beginning final closure, the value of the trust fund shall equal the amount of the current closure cost estimate. If the value of the fund is less than the amount of the current estimate, the owner or operator shall either deposit an amount into the fund so that its value after this deposit at least equals the amount of the current closure cost estimate, or obtain other financial assurance, as specified in this section, to cover the difference.
(11) After beginning partial or final closure, an owner or operator or another person authorized to conduct partial or final closure may request reimbursements for partial or final closure expenditures by submitting itemized bills to the Department. The owner or operator may request reimbursements for partial closure only if sufficient funds are remaining in the trust fund to cover the maximum costs of closing the facility over its remaining operating life. Within 60 days after receiving bills for partial or final closure activities, the Department shall instruct the trustee to make reimbursements in those amounts as the Department specifies in writing, if the Department determines that the partial or final closure expenditures are in accordance with the approved closure plan, or otherwise justified. If the Department has reason to believe that the maximum cost of closure over the remaining life of the facility will be significantly greater than the value of the trust fund, reimbursements of such amounts may be withheld until the Department determines, in accordance with subsection (j) of this section that the owner or operator is no longer required to maintain financial assurance for final closure of the facility. If the Department does not instruct the trustee to make such reimbursements, the Department shall provide the owner or operator with a detailed written statement of reasons.
(12) The Department shall agree to termination of the trust when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements in accordance with subsection (j) of this section.
(b) Surety bond guaranteeing payment into a closure trust fund.
(1) An owner or operator may satisfy the requirements of this section by obtaining a surety bond which conforms to the requirements of this subsection and submitting the bond to the Department. An owner or operator of a new facility shall submit the bond to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal. The bond shall be effective before this initial receipt of hazardous waste. The surety company issuing the bond must, at a minimum, be among those listed as acceptable sureties on Federal bonds in Circular 570 of the U.S. Department of the Treasury.
(2) The wording of the surety bond shall be identical to the wording specified in section 66264.151, subsection (b). The surety bond shall contain original signatures and shall be accompanied by the documents specified in this subsection.
(3) The owner or operator who uses a surety bond to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the bond, all payments made thereunder shall be deposited by the surety directly into the standby trust fund in accordance with instructions from the Department. This standby trust fund shall meet the requirements specified in subsection (a) of this section, except that:
(A) an originally signed duplicate of the standby trust agreement shall be submitted to the Department with the surety bond; and
(B) until the standby trust fund is funded pursuant to the requirements of this section, the following are not required by these regulations:
1. payments into the trust fund as specified in subsection (a) of this section;
2. updating of Schedule A of the trust agreement (see section 66264.151, subsection (a)) to show current closure cost estimates as required by subsection (a)(2) of this section;
3. annual valuations as required by the trust agreement; and
4. notices of nonpayment as required by the trust agreement.
(4) The bond shall guarantee that the owner or operator shall:
(A) fund the standby trust fund in an amount equal to the penal sum of the bond before the beginning of final closure of the facility; or
(B) fund the standby trust fund in an amount equal to the penal sum within 15 days after an administrative order to begin final closure issued by the Department becomes final, or within 15 days after an order to begin final closure is issued by a U.S. district court or other court of competent jurisdiction; or
(C) provide alternate financial assurance as specified in this section, and obtain the Department's written approval of the assurance provided, within 90 days after receipt by both the owner or operator and the Department of a notice of cancellation of the bond from the surety.
(5) Under the terms of the bond, the surety shall become liable on the bond obligation when the owner or operator fails to perform as guaranteed by the bond.
(6) The penal sum of the bond shall be in an amount at least equal to the current closure cost estimate, except as provided in subsection (g) of this section.
(7) Whenever the current closure cost estimate increases to an amount greater than the penal sum, the owner or operator, within 60 days after the increase, shall either cause the penal sum to be increased to an amount at least equal to the current closure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current closure cost estimate decreases, the penal sum may be reduced to the amount of the current closure cost estimate following written approval by the Department.
(8) Under the terms of the bond, the surety may cancel the bond by sending notice of cancellation by certified mail to the owner or operator and to the Department. Cancellation shall not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Department, as evidenced by the return receipt.
(9) The owner or operator may cancel the bond with prior written consent from the Department based on receipt of evidence of alternate financial assurance as specified in this section.
(c) Surety bond guaranteeing performance of closure.
(1) An owner or operator of a permitted facility, as defined in section 66260.10, may satisfy the requirements of this section by obtaining a surety bond which conforms to the requirements of this subsection and submitting the bond to the Department. An owner or operator of a new facility shall submit the bond to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal. The bond shall be effective before this initial receipt of hazardous waste. The surety company issuing the bond shall, at a minimum, be among those listed as acceptable sureties on Federal bonds in Circular 570 of the U.S. Department of the Treasury.
(2) The wording of the surety bond shall be identical to the wording specified in section 66264.151, subsection (c). The surety bond shall contain original signatures and shall be accompanied by the documents specified in this subsection.
(3) The owner or operator who uses a surety bond to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the bond, all payments made thereunder shall be deposited by the surety directly into the standby trust fund in accordance with instructions from the Department. This standby trust must meet the requirements specified in subsection (a) of this section, except that:
(A) an originally signed duplicate of the standby trust agreement shall be submitted to the Department with the surety bond; and
(B) unless the standby trust fund is funded pursuant to the requirements of this section, the following are not required by these regulations:
1. payments into the trust fund as specified in subsection (a) of this section;
2. updating of Schedule A of the trust agreement to show current closure cost estimates as required by subsection (a)(2) of this section;
3. annual valuations as required by the trust agreement; and
4. notices of nonpayment as required by the trust agreement.
(4) The bond shall guarantee that the owner or operator will:
(A) perform final closure in accordance with the closure plan and other requirements of the permit for the facility whenever required to do so; or
(B) provide alternate financial assurance as specified in this section, and obtain the Department's written approval of the assurance provided, within 90 days after receipt by both the owner or operator and the Department of a notice of cancellation of the bond from the surety.
(5) Under the terms of the bond, the surety shall become liable on the bond obligation when the owner or operator fails to perform as guaranteed by the bond. Following a determination by the Department that the owner or operator has failed to perform final closure in accordance with the approved closure plan and other permit requirements when required to do so, under the terms of the bond the surety shall perform final closure as guaranteed by the bond or shall deposit the amount of the penal sum into the standby trust fund. For facilities that require a RCRA permit, the determination shall be made pursuant to Health and Safety Code Section 25187.
(6) The penal sum of the bond shall be in an amount at least equal to the current closure cost estimate.
(7) Whenever the current closure cost estimate increases to an amount greater than the penal sum, the owner or operator, within 60 days after the increase, shall either cause the penal sum to be increased to an amount at least equal to the current closure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section. Whenever the current closure cost estimate decreases, the penal sum may be reduced to the amount of the current closure cost estimate following written approval from the Department.
(8) Under the terms of the bond, the surety may cancel the bond by sending notice of cancellation by certified mail to the owner or operator and to the Department. Cancellation shall not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Department, as evidenced by the return receipts.
(9) The owner or operator may cancel the bond if the Department has given prior written consent. The Department will provide such written consent when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements of this section in accordance with subsection (j) of this section.
(10) The surety shall not be liable for deficiencies in the performance of closure by the owner or operator after the Department releases the owner or operator from the requirements of this section in accordance with subsection (j) of this section.
(d) Closure letter of credit.
(1) An owner or operator may satisfy the requirements of this section by obtaining an irrevocable standby letter of credit which conforms to the requirements of this subsection and submitting the letter to the Department. An owner or operator of a new facility shall submit the letter of credit to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal. The letter of credit shall be effective before this initial receipt of hazardous waste. The issuing institution shall be an entity which has the authority to issue letters of credit and whose letter of credit operations are regulated and examined by a Federal or State agency.
(2) The wording of the letter of credit shall be identical to the wording specified in section 66264.151, subsection (d). The letter of credit shall contain original signatures and shall be accompanied by the documents specified in (3) and (4) of this subsection.
(3) An owner or operator who uses a letter of credit to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the letter of credit, all amounts paid pursuant to a draft by the Department shall be deposited by the issuing institution directly into the standby trust fund in accordance with instructions from the Department. This standby trust fund shall meet the requirements of the trust fund specified in subsection (a) of this section, except that:
(A) an originally signed duplicate of the standby trust agreement  shall be submitted to the Department with the letter of credit; and
(B) unless the standby trust fund is funded pursuant to the requirements of this section, the following are not required by these regulations:
1. payments into the trust fund as specified in subsection (a) of this section;
2. updating of Schedule A of the trust agreement (see section 66264.151, subsection (a)) to show current closure cost estimates;
3. annual valuations as required by the trust agreement; and
4. notices of nonpayment as required by the trust agreement.
(4) The letter of credit shall be accompanied by a letter from the owner or operator referring to the letter of credit by number, issuing institution, and date and providing the following information: the hazardous waste facility Identification Number, name, and address of the facility, and the amount of funds assured for closure of the facility by the letter of credit.
(5) The letter of credit shall be irrevocable and issued for a period of at least one (1) year. The letter of credit shall provide that the expiration date will be automatically extended for a period of at least one (1) year unless, at least 120 days before the current expiration date, the issuing institution notifies both the owner or operator and the Department by certified mail of a decision not to extend the expiration date. Under the terms of the letter of credit, the 120 days shall begin on the date when both the owner or operator and the Department have received the notice, as evidenced by the return receipts.
(6) The letter of credit shall be issued in an amount at least equal to the current closure cost estimate, except as provided in subsection (g) of this section.
(7) Whenever the current closure cost estimate increases to an amount greater than the amount of the letter of credit, the owner or operator, within 60 days after the increase, shall either cause the amount of the letter of credit to be increased so that it at least equals the current closure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current closure cost estimate decreases, the amount of the letter of credit may be reduced to the amount of the current closure cost estimate following written approval from the Department.
(8) Following a determination by the Department that the owner or operator has failed to perform final closure in accordance with the closure plan and other permit requirements when required to do so, the Department may draw on the letter of credit. For facilities that require a RCRA permit, the determination shall be made pursuant to Health and Safety Code Section 25187.
(9) If the owner or operator does not establish alternate financial assurance as specified in this section, and obtain written approval of such alternate assurance from the Department within 90 days after receipt by both the owner or operator and the Department of a notice from the issuing institution that it has decided not to extend the letter of credit beyond the current expiration date, the Department shall draw on the letter of credit. The Department shall delay drawing on the letter of credit in accordance with the provisions of this paragraph, if the issuing institution grants an extension of the term of the credit. During the last 30 days of any such extension the Department shall draw on the letter of credit if the owner or operator has failed to provide alternate financial assurance as specified in this section and obtain written approval of such assurance from the Department.
(10) The Department shall return the letter of credit to the issuing institution for termination when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements of this section in accordance with subsection (j) of this section.
(e) Closure insurance.
(1) An owner or operator may satisfy the requirements of this section by obtaining closure insurance which conforms to the requirements of this section and submitting a certificate of such insurance to the Department. An owner or operator of a new facility shall submit the certificate of insurance to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal. The insurance shall be effective before this initial receipt of hazardous waste. At a minimum, the insurer shall be licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more States.
(2) The wording of the certificate of insurance shall be identical to the wording specified in section 66264.151, subsection (e). The certificate of insurance shall contain original signatures.
(3) The closure insurance policy shall be issued for a face amount at least equal to the current closure cost estimate, except as provided in subsection (g) of this section. The term “face amount” means the total amount the insurer is obligated to pay under the policy. Actual payments by the insurer shall not change the face amount, although the insurer's future liability shall be lowered by the amount of the payments.
(4) The closure insurance policy shall guarantee that funds shall be available to close the facility whenever final closure occurs. The policy shall also guarantee that once final closure begins, the insurer shall be responsible for paying out funds, up to an amount equal to the face amount of the policy, upon direction from the Department, to such party or parties as the Department specifies.
(5) After beginning partial or final closure, an owner or operator or any other person authorized to conduct closure may request reimbursements for closure expenditures by submitting itemized bills to the Department. The owner or operator may request reimbursements for partial closure only if the remaining value of the policy is sufficient to cover the maximum costs of closing the facility over its remaining operating life. Within 60 days after receiving bills for closure activities, the Department shall instruct the insurer to make reimbursements in such amounts as the Department specifies in writing, if the Department determines that the partial or final closure expenditures are in accordance with the approved closure plan or are otherwise justified. If the Department has reason to believe that the maximum cost of closure over the remaining life of the facility will be significantly greater than the face amount of the policy, the Department may withhold reimbursements of such amounts as it deems prudent until it is determined, in accordance with subsection (j) of this section, that the owner or operator is no longer required to maintain financial assurance for final closure of the facility. If the Department does not instruct the insurer to make such reimbursements, the owner or operator will be provided a detailed written statement of reasons.
(6) The owner or operator shall maintain the policy in full force and effect until the Department consents to termination of the policy by the owner or operator as specified in subsection (e)(10) of this section. Failure to pay the premium, without substitution of alternate financial assurance as specified in this section, shall constitute a significant violation of these regulations, warranting such remedy as the Department deems necessary. Such violation will be deemed to begin upon receipt by the Department of a notice of future cancellation, termination, or failure to renew due to nonpayment of the premium, rather than upon the date of expiration.
(7) Each policy shall contain a provision allowing assignment of the policy to a successor owner or operator. Such assignment may be conditional upon consent of the insurer, provided such consent is not unreasonably refused.
(8) The policy shall provide that the insurer may not cancel, terminate or fail to renew the policy except for failure to pay the premium. The automatic renewal of the policy shall, at a minimum, provide the insured with the option of renewal at the face amount of the expiring policy. If there is a failure to pay the premium, the insurer may elect to cancel, terminate, or fail to renew the policy by sending notice by certified mail to the owner or operator and the Department. Cancellation, termination or failure to renew may not occur, however, during the 120 days beginning with the date of receipt of the notice by both the Department and the owner or operator, as evidenced by the return receipts. Cancellation, termination or failure to renew shall not occur and the policy shall remain in full force and effect in the event that on or before the date of expiration:
(A) the Department deems the facility abandoned; or
(B) the permit is denied, terminated or revoked or a new permit is denied; or
(C) closure is ordered by the Department or any other State or Federal agency, U.S. district court or other court of competent jurisdiction; or
(D) the owner or operator is named as debtor in a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code; or
(E) the premium due is paid.
(9) Whenever the current closure cost estimate increases to an amount greater than the face amount of the policy, the owner or operator, within 60 days after the increase, shall either cause the face amount to be increased to an amount at least equal to the current closure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current closure cost estimate decreases, the face amount may be reduced to the amount of the current closure cost estimate following written approval by the Department.
(10) The Department shall give written consent to the owner or operator to terminate the insurance policy when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements of this section in accordance with subsection (j) of this section.
(f) Financial test and guarantee for closure.
(1) An owner or operator may satisfy the requirements of this section by demonstrating that he or she passes a financial test as specified in this subsection. To pass this test the owner or operator shall meet the criteria of either subsection (f)(1)(A) or (B) of this section.
(A) The owner or operator shall have:
1. two of the following three ratios: a ratio of total liabilities to net worth less than 2.0; a ratio of the sum of net income plus depreciation, depletion and amortization to total liabilities greater than 0.1; and a ratio of current assets to current liabilities greater than 1.5; and
2. net working capital and tangible net worth each at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates; and
3. tangible net worth of at least $10 million; and
4. assets located in the United States amounting to at least 90 percent of total assets or at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates.
(B) The owner or operator shall have:
1. a current rating for his or her most recent bond issuance of AAA, AA, A or BBB as issued by Standard and Poor's or Aaa, Aa, A or Baa as issued by Moody's; and
2. tangible net worth at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates; and
3. tangible net worth of at least $10 million; and
4. assets located in the United States amounting to at least 90 percent of total assets or at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates.
(2) The phrase “current closure and postclosure cost estimates” as used in subsection (f)(1) of this section refers to the cost estimates required to be shown in paragraphs 1 through 4 of the letter from the owner's or operator's chief financial officer. The phrase “current plugging and abandonment cost estimates” as used in subsection (f)(1) of this section refers to the cost estimates required to be shown in paragraphs 1 through 4 of the letter from the owner's or operator's chief financial officer.
(3) To demonstrate that this test has been met, the owner or operator shall submit the following items to the Department:
(A) a letter signed by the owner's or operator's chief financial officer. The letter shall be on the owner or operator's official letterhead stationery, shall contain an original signature and shall be completed as specified in section 66264.151, subsection (f); and
(B) a copy of the independent certified public accountant's report on examination of the owner's or operator's financial statements for the latest completed fiscal year; and
(C) a special report from the owner's or operator's independent certified public accountant to the owner or operator stating that:
1. the independent certified public accountant has compared the data which the letter from the chief financial officer specifies as having been derived from the independently audited, year-end financial statements for the latest fiscal year with the amounts in such financial statements; and
2. in connection with that procedure, no matters came to the independent certified public accountant's attention which caused that accountant to believe that the specified data should be adjusted.
(4) An owner or operator of a new facility shall submit the items specified in subsection (f)(3) of this section to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal.
(5) After the initial submission of items specified in subsection (f)(3) of this section, the owner or operator shall send updated information to the Department within 90 days after the close of each succeeding fiscal year. This information shall consist of all three items specified in subsection (f)(3) of this section.
(6) If the owner or operator no longer meets the requirements of subsection (f)(1) of this section, the owner or operator shall send notice to the Department of intent to establish alternate financial assurance as specified in this section. The notice shall be sent by certified mail within 90 days after any occurrence that prevents the owner or operator from meeting the requirements. The owner or operator shall provide the alternate financial assurance within 120 days after the end of the company's latest completed fiscal year.
(7) The Department may, based on a reasonable belief that the owner or operator may no longer meet the requirements of subsection (f)(1) of this section, require reports of financial condition at any time from the owner or operator in addition to those specified in subsection (f)(3) of this section. If the Department finds, on the basis of such reports or other information, that the owner or operator no longer meets the requirements of subsection (f)(1) of this section, the owner or operator shall provide alternate financial assurance as specified in this section within 30 days after notification of such a finding.
(8) The Department may disallow use of this test on the basis of qualifications in the opinion expressed by the independent certified public accountant in his or her report on examination of the owner's or operator's financial statements (see subsection (f)(3)(B) of this section). An adverse opinion or a disclaimer of opinion shall be cause for disallowance. The Department shall evaluate other qualifications on an individual basis. The owner or operator shall provide alternate financial assurance as specified in this section within 30 days after notification of the disallowance.
(9) The owner or operator is no longer required to submit the items specified in subsection (f)(3) of this section when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements in accordance with subsection (j) of this section.
(10) An owner or operator may meet the requirements of this section by obtaining a written guarantee. The guarantor shall be the direct or higher-tier parent corporation as defined in section 66260.10 of the owner or operator, a firm whose parent corporations is also the parent corporation of the owner or operator, or a firm with a “substantial business relationship” with the owner or operator. The guarantor shall meet and comply with the requirements for owners or operators in subsections (f)(1) through (f)(8) of this section and shall comply with the terms of the guarantee. The guarantee shall be on the official letterhead stationery of the parent corporation. The guarantee shall contain an original signature which shall be formally witnessed or notarized, and the wording shall be identical to the wording specified in section 66264.151, subsection (h). A certified copy of the guarantee shall accompany the items sent to the Department as specified in subsection (f)(3) of this section. One of these items must be the letter from the guarantor's chief financial officer. If the guarantor's parent corporation is also the parent corporation of the owner or operator, the letter must describe the value received in consideration of the guarantee. If the guarantor is a firm with a “substantial business relationship” with the owner or operator, this letter must describe this “substantial business relationship” and the value received in consideration of the guarantee. The terms of the guarantee shall provide that:
(A) if the owner or operator fails to perform final closure of a facility covered by the guarantee in accordance with the closure plan and other permit requirements whenever required to do so, the guarantor shall do so or establish a trust fund as specified in subsection (a) of this section in the name of the owner or operator;
(B) the guarantee shall remain in force unless the guarantor sends notice of cancellation by certified mail to the owner or operator and to the Department. Cancellation shall not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Department, as evidenced by the return receipts;
(C) if the owner or operator fails to provide alternate financial assurance as specified in this section and obtain the written approval of such alternate assurance from the Department within 90 days after receipt by both the owner or operator and the Department of a notice of cancellation of the guarantee from the guarantor, the guarantor shall provide such alternative financial assurance in the name of the owner or operator.
(g) Use of multiple financial mechanisms. An owner or operator may satisfy the requirements of this section by establishing more than one financial mechanism per facility. The mechanisms shall be as specified in subsections (a), (b), (d), (e), and (i) of this section, except that it is the combination of mechanisms, rather than the single mechanism, which shall provide financial assurance for an amount at least equal to the current closure cost estimate. If an owner or operator uses a trust fund in combination with a surety bond or a letter of credit, the trust fund may be used as the standby trust fund for the other mechanisms. A single standby trust fund may be established for two or more mechanisms. If the owner or operator demonstrates the required coverage through the use of a combination of financial assurances under this subsection, the owner or operator shall specify at least one such assurance as “primary” coverage and shall specify the other as “excess” coverage. The Department may use any or all of the mechanisms to provide for closure of the facility.
(h) Use of a financial mechanism for multiple facilities.
An owner or operator may use one or more of the financial assurance mechanisms specified in this section to meet the requirements of this section for more than one facility. Evidence of financial assurance submitted to the Department shall include a list showing, for each facility, the Hazardous Waste Facility Identification Number, name, address and the amount of funds for closure assured by the mechanism. The amount of funds available through the mechanism shall be no less than the sum of funds that would be available if a separate mechanism had been established and maintained for each facility. In directing funds available through the mechanism for closure of any of the facilities covered by the mechanism, the Department may direct only the amount of funds designated for that facility, unless the owner or operator agrees to the use of additional funds available under the mechanism.
(i) Alternative Financial Mechanism for Closure Costs. 
(1) An owner or operator of facilities which manage solely non-RCRA hazardous waste may establish financial assurance for closure by means of a financial mechanism other than as specified in subsections (a) through (f) of this section, provided that prior to its use the mechanism has been submitted to and approved by the Department. The mechanism shall be at least equivalent to the financial mechanisms specified in subsections (a) through (f) of this section. The Department shall evaluate the equivalency of a mechanism principally in terms of: 
(A) Certainty of the availability of funds for the required closure activities; and 
(B) The amount of funds that will be made available. The Department may also consider other factors deemed to be appropriate, and may require the owner or operator to submit additional information as is deemed necessary to make the determination. 
(2) The owner or operator shall submit to the Department the proposed mechanism together with a letter requesting that the proposed mechanism be considered acceptable for meeting the requirements of section 66264.143. The submission shall include the following information: 
(A) name, address and telephone number of issuing institution; and 
(B) hazardous waste facility identification number, name, address and closure cost estimate for each facility; and 
(C) the amount of funds for closure to be assured for each facility by the proposed mechanism; and 
(D) the terms of the proposed mechanism (period covered, renewal/extension, cancellation). 
(3) The Department shall notify the owner or operator in writing of the determination made regarding the proposed mechanism's acceptability in lieu of the financial mechanisms specified in subsections (a) through (f) of this section. 
(4) If a proposed mechanism is found acceptable, the owner or operator shall submit a fully executed document to the Department. The document shall contain original signatures and shall be accompanied by a formal certification of acknowledgment. 
(5) If a proposed mechanism is found acceptable except for the amount of funds, the owner or operator shall either increase the amount of the mechanism or obtain other financial assurance as specified in subsections (a) through (f) of this section. The amount of funds available through the combination of mechanisms shall at least equal the current closure cost estimate. 
(j) Release of the owner or operator from the requirements of this section.
(1) Within 60 days after receiving certifications from the owner or operator and an independent professional engineer, registered in California, that final closure has been completed in accordance with the approved closure plan, the Department shall notify the owner or operator in writing that they are no longer required by this section to maintain financial assurance for final closure of the facility, unless the Department has reason to believe that final closure has not been in accordance with the approved closure plan. The Department shall provide the owner or operator a detailed written statement of any such reason to believe that closure has not been in accordance with the approved closure plan.
(2) When transfer of ownership or operational control of a facility occurs, and the new owner or operator has demonstrated to the satisfaction of the Department that they are complying with the financial requirements of this section, the Department shall notify the previous owner or operator in writing that they are no longer required to maintain financial assurance for closure of that particular facility.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; 40 CFR Section 264.143.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (a)(2), (b)(2), (b)(3)(A), (c)(2), (c)(3)(A), (d)(2), (d)(3)(A), (e)(2), (f), (f)(3)(A), and (f)(10)-(f)(10)(C) filed 8-17-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 33).
3. Change without regulatory effect amending subsections (a)(1)-(3), (b)(2), (b)(3)(A), (c)(2), (c)(3)(A), (c)(5), (d)(1)-(2), (d)(3)(A), (d)(8), (e)(2), (e)(8)(C), (f)(2), (f)(3)(A) and (f)(10) filed 11-6-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
4. Change without regulatory effect amending subsection (e)(2) filed 10-22-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 43).
5. Change without regulatory effect amending section and Note filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
§66264.144. Cost Estimate for Postclosure Care.
Note     •     History

(a) The owner or operator of a disposal surface impoundment, disposal miscellaneous unit, land treatment unit, or landfill unit, or of a surface impoundment or waste pile required under section 66264.228 and section 66264.258 to prepare a contingent closure and postclosure plan, shall prepare and submit to the Department a detailed written estimate, in current dollars, of the annual cost of postclosure monitoring and maintenance of the facility in accordance with the applicable postclosure regulations in sections 66264.117 through 66264.120, 66264.228, 66264.258, 66264.280, 66264.310 and 66264.603.
(1) The postclosure cost estimate shall be based on the costs to the owner or operator of hiring a third party to conduct postclosure care activities. A third party is a party who is neither a parent nor a subsidiary of the owner or operator. (See definition of parent corporation in section 66260.10).
(2) The postclosure cost estimate is calculated by multiplying the annual postclosure cost estimate by the number of years of postclosure care required under section 66264.117.
(b) During the active life of the facility, the owner or operator shall adjust the postclosure cost estimate for inflation within 60 days prior to the anniversary date of the establishment of the financial instrument(s) used to comply with section 66264.145. For owners or operators using the financial test or corporate guarantee, the postclosure cost estimate shall be updated for inflation within 30 days after the close of the firm's fiscal year and before the submission of updated information to the Department as specified in section 66264.145(f)(5). The adjustment shall be made by recalculating the postclosure cost estimate in current dollars or by using an inflation factor derived from the most recent Implicit Price Deflator for Gross National Product published by the U.S. Department of Commerce in its Survey of Current Business as specified in subsections (b)(1) and (b)(2) of this section. The inflation factor is the result of dividing the latest published annual Deflator by the Deflator for the previous year.
(1) The first adjustment is made by multiplying the postclosure cost estimate by the inflation factor. The result is the adjusted postclosure cost estimate.
(2) Subsequent adjustments are made by multiplying the latest adjusted postclosure cost estimate by the latest inflation factor.
(c) During the active life of the facility, the owner or operator shall revise the postclosure cost estimate within 30 days after the Department has approved the request to modify the postclosure plan, if the change in the postclosure plan increases the cost of postclosure care. The revised postclosure cost estimate shall be adjusted for inflation as specified in section 66264.144(b).
(d) The owner or operator shall keep the following at the facility during the operating life of the facility: the latest postclosure cost estimate prepared in accordance with section 66264.144(a) and (c) and, when this estimate has been adjusted in accordance with section 66264.144(b), the latest adjusted postclosure cost estimate.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; 40 CFR Section 264.144.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.145. Financial Assurance for Postclosure Care.
Note     •     History

The owner or operator of a hazardous waste management unit subject to the requirements of section 66264.144 shall establish and demonstrate to the Department financial assurance for postclosure care in accordance with the approved postclosure plan for the facility 60 days prior to the initial receipt of hazardous waste or the effective date of the regulation, whichever is later. The owner or operator shall choose from the following options as specified in subsections (a) through (f) and (i) of this section.
(a) Postclosure trust fund.
(1) An owner or operator may satisfy the requirements of this section by establishing a postclosure trust fund which conforms to the requirements of this subsection and submitting an originally signed duplicate of the trust agreement to the Department. An owner or operator of a new facility shall submit the originally signed duplicate of the trust agreement to the Department at least 60 days before the date on which hazardous waste is first received for disposal. The trustee shall be an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.
(2) The wording of the trust agreement shall be identical to the wording specified in section 66264.151, subsection (a)(1). The trust agreement shall contain original signatures and shall be accompanied by a formal certification of acknowledgment (for example, see section 66264.151, subsection (a)(2)). Schedule A of the trust agreement shall be updated within 60 days after a change in the amount of the current postclosure cost estimate covered by the agreement.
(3) Payments into the trust fund shall be made annually by the owner or operator over the ten (10) years beginning with the establishment of the trust fund, or the term of the initial RCRA permit or over the remaining operating life of the facility as estimated in the closure plan, whichever period is shorter; this period is hereafter referred to as the “pay-in period.” The payments into the postclosure trust fund shall be made as follows.
(A) for an existing facility, the first payment shall be made at the time the trust fund is established; a receipt from the trustee for this payment shall be submitted by the owner or operator to the Department. The first payment shall be at least equal to the current postclosure cost estimate, except as provided in subsection (g) of this section, divided by the number of years in the pay-in period. Subsequent payments shall be made no later than 30 days after each anniversary date of the first payment. The amount of each subsequent payment shall be determined by this formula:

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where CE is the current postclosure cost estimate, CV is the current value of the trust fund and Y is the number of years remaining in the pay-in period.
(B) for a new facility, the first payment shall be made before the initial receipt of hazardous waste for disposal. A receipt from the trustee for this payment shall be submitted by the owner or operator to the Department before this initial receipt of hazardous waste. The first payment shall be at least equal to the current postclosure cost estimate, except as provided in subsection (g) of this section, divided by the number of years in the pay-in period. Subsequent payments shall be made no later than 30 days after each anniversary date of the first payment. The amount of each subsequent payment shall be determined by this formula:

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where CE is the current postclosure cost estimate, CV is the current value of the trust fund, and Y is the number of years remaining in the pay-in period.
(C) if an owner or operator establishes a trust fund as specified in section 66265.145, subsection (a) of this division, and the value of that trust fund is less than the current postclosure cost estimate when a permit is awarded for the facility, the amount of the current postclosure cost estimate still to be paid into the fund shall be paid in over the pay-in period as defined in subsection (a)(3) of this section. Payments shall continue to be made no later than 30 days after each anniversary date of the first payment made pursuant to chapter 15 of this division. The amount of each payment shall be determined by this formula:

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where CE is the current postclosure cost estimate, CV is the current value of the trust fund, and Y is the number of years remaining in the pay-in period.
(4) The owner or operator may accelerate payments into the trust fund or deposit the full amount of the current postclosure cost estimate at the time the fund is established. However, the value of the fund shall be maintained at no less than the value that the fund would have if annual payments were made as specified in subsection (a)(3) of this section.
(5) If the owner or operator establishes a postclosure trust fund after having used one or more alternate mechanisms specified in this section or in section 66265.145 of this division, the first payment shall be in at least the amount that the fund would contain if the trust fund were established initially and annual payments made according to specifications of this subsection as applicable.
(6) After the pay-in period is completed, whenever the current postclosure cost estimate changes during the operating life of the facility, the owner or operator shall compare the new estimate with the trustee's most recent annual valuation of the trust fund. If the value of the fund is less than the amount of the new estimate, the owner or operator, within 60 days after the change in the cost estimate, shall either deposit an amount into the fund so that its value after this deposit at least equals the amount of the current postclosure cost estimate, or obtain other financial assurance as specified in this section to cover the difference.
(7) During the operating life of the facility, if the value of the trust fund is greater than the total amount of the current postclosure cost estimate, the owner or operator may submit a written request to the Department for release of the amount in excess of the current postclosure cost estimate.
(8) If an owner or operator substitutes other financial assurance as specified in this section for all or part of the trust fund, the owner or operator may submit a written request to the Department for release of the amount in excess of the current postclosure cost estimate covered by the trust fund.
(9) Within 60 days after receiving a request from the owner or operator for release of funds as specified in subsection (a)(7) or (a)(8) of this section, the Department will instruct the trustee to release to the owner or operator such funds as the Department specifies in writing.
(10) Before final postclosure occurs, the value of the trust fund shall equal the amount of the current postclosure cost estimate. If the value of the fund is less than the amount of the current estimate, the owner or operator shall either deposit an amount into the fund so that its value after this deposit at least equals the amount of the current postclosure cost estimate, or obtain other financial assurance, as specified in this section, to cover the difference.
(11) During the period of postclosure care, the Department shall approve a release of funds if the owner or operator demonstrates to the satisfaction of the Department that the value of the trust fund exceeds the remaining cost of postclosure care.
(12) An owner or operator or any other person authorized to conduct postclosure care may request reimbursements for postclosure care expenditures by submitting itemized bills to the Department. Within 60 days after receiving bills for postclosure care activities, the Department shall instruct the trustee to make reimbursements in those amounts as the Department specifies in writing, if the Department determines that the postclosure care expenditures are in accordance with the approved postclosure plan or otherwise justified. If the Department does not instruct the trustee to make such reimbursements, the owner or operator shall be provided with a detailed written statement of reasons.
(13) The Department shall agree to termination of the trust when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements in accordance with subsection (j) of this section.
(b) Surety bond guaranteeing payment into a postclosure trust fund.
(1) An owner or operator may satisfy the requirements of this section by obtaining a surety bond which conforms to the requirements of this subsection and submitting the bond to the Department. An owner or operator of a new facility shall submit the bond to the Department at least 60 days before the date on which hazardous waste is first received for disposal. The bond shall be effective before this initial receipt of hazardous waste. The surety company issuing the bond shall, at a minimum, be among those listed as acceptable sureties on Federal bonds in Circular 570 of the U.S. Department of the Treasury.
(2) The wording of the surety bond shall be identical to the wording specified in section 66264.151, subsection (b). The surety bond shall contain original signatures and shall be accompanied by the documents specified in this subsection.
(3) The owner or operator who uses a surety bond to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the bond, all payments made thereunder shall be deposited by the surety directly into the standby trust fund in accordance with instructions from the Department. This standby trust fund shall meet the requirements specified in subsection (a) of this section, except that:
(A) an originally signed duplicate of the standby trust agreement shall be submitted to the Department with the surety bond; and
(B) until the standby trust fund is funded pursuant to the requirements of this section, the following are not required by these regulations:
1. payments into the trust fund as specified in subsection (a) of this section;
2. updating of Schedule A of the trust agreement (see section 66264.151, subsection (a)) to show current postclosure cost estimates;
3. annual valuations as required by the trust agreement; and
4. notices of nonpayment as required by the trust agreement.
(4) The bond shall guarantee that the owner or operator will:
(A) fund the standby trust fund in an amount equal to the penal sum of the bond before the beginning of final closure of the facility; or
(B) fund the standby trust fund in an amount equal to the penal sum within 15 days after an administrative order to begin final closure issued by the Department becomes final, or within 15 days after an order to begin final closure is issued by a U.S. district court or other court of competent jurisdiction; or
(C) provide alternate financial assurance as specified in this section to the Department for written approval within 90 days after receipt by both the owner or operator and the Department of a notice of cancellation of the bond from the surety.
(5) Under the terms of the bond, the surety shall become liable on the bond obligation when the owner or operator fails to perform as guaranteed by the bond.
(6) The penal sum of the bond shall be in an amount at least equal to the current postclosure cost estimate, except as provided in subsection (g) of this section.
(7) Whenever the current postclosure cost estimate increases to an amount greater than the penal sum, the owner or operator, within 60 days after the increase, shall either cause the penal sum to be increased to an amount at least equal to the current postclosure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current postclosure cost estimate decreases, the Department shall approve, in writing, a reduction of the penal sum to the amount of the current postclosure cost estimate if the owner or operator demonstrates to the satisfaction of the Department that the penal sum exceeds the current postclosure cost estimate.
(8) Under the terms of the bond, the surety may cancel the bond by sending notice of cancellation by certified mail to the owner or operator and to the Department. Cancellation shall not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Department, as evidenced by the return receipts.
(9) The owner or operator may cancel the bond if the Department has given prior written consent based on receipt of evidence of alternate financial assurance as specified in this section.
(c) Surety bond guaranteeing performance of postclosure care.
(1) An owner or operator of a permitted facility, as defined in section 66260.10, may satisfy the requirements of this section by obtaining a surety bond which conforms to the requirements of this subsection and submitting the bond to the Department. An owner or operator of a new facility shall submit the bond to the Department at least 60 days before the date on which hazardous waste is first received for disposal. The bond shall be effective before this initial receipt of hazardous waste. The surety company issuing the bond shall, at a minimum, be among those listed as acceptable sureties on Federal bonds in Circular 570 of the U.S. Department of the Treasury.
(2) The wording of the surety bond shall be identical to the wording specified in section 66264.151, subsection (c). The surety bond shall contain original signatures and shall be accompanied by the documents specified in this subsection .
(3) The owner or operator who uses a surety bond to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the bond, all payments made thereunder shall be deposited by the surety directly into the standby trust fund in accordance with instructions from the Department. This standby trust fund shall meet the requirements specified in subsection (a) of this section, except that:
(A) an originally signed duplicate of the standby trust agreement shall be submitted to the Department with the surety bond; and
(B) unless the standby trust fund is funded pursuant to the requirements of this section, the following are not required by these regulations:
1. payments into the trust fund as specified in subsection (a) of this section;
2. updating of Schedule A of the trust agreement (see section 66264.151, subsection (a)) to show current postclosure cost estimates;
3. annual valuations as required by the trust agreement; and
4. notices of nonpayment as required by the trust agreement.
(4) The bond shall guarantee that the owner or operator will:
(A) perform postclosure care in accordance with the postclosure plan and other requirements of the permit for the facility; or
(B) provide alternate financial assurance as specified in this section to the Department for written approval within 90 days of receipt by both the owner or operator and the Department of a notice of cancellation of the bond from the surety.
(5) Under the terms of the bond, the surety shall become liable on the bond obligation when the owner or operator fails to perform as guaranteed by the bond. Following a determination by the Department that the owner or operator has failed to perform postclosure care in accordance with the approved postclosure plan and other permit requirements, under the terms of the bond the surety shall perform postclosure care in accordance with the postclosure plan and other permit requirements or shall deposit the amount of the penal sum into the standby trust fund.
(6) The penal sum of the bond shall be in an amount at least equal to the current postclosure cost estimate.
(7) Whenever the current postclosure cost estimate increases to an amount greater than the penal sum during the operating life of the facility, the owner or operator, within 60 days after the increase, shall either cause the penal sum to be increased to an amount at least equal to the current postclosure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section. Whenever the current postclosure cost estimate decreases during the operating life of the facility, the Department shall approve, in writing, a reduction of the penal sum to the amount of the current postclosure cost estimate if the owner or operator demonstrates to the satisfaction of the Department that the amount exceeds the current postclosure estimate.
(8) During the period of postclosure care, the Department may approve a decrease in the penal sum if the owner or operator demonstrates to the satisfaction of the Department that the amount exceeds the remaining cost of postclosure care.
(9) Under the terms of the bond, the surety may cancel the bond by sending notice of cancellation by certified mail to the owner or operator and to the Department. Cancellation shall not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Department, as evidenced by the return receipts.
(10) The owner or operator may cancel the bond if the Department has given prior written consent. The Department shall provide such written consent when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements of this section in accordance with subsection (j) of this section.
(11) The surety shall not be liable for deficiencies in the performance of postclosure care by the owner or operator after the Department releases the owner or operator from the requirements in accordance with subsection (j) of this section.
(d) Postclosure letter of credit.
(1) An owner or operator may satisfy the requirements of this section by obtaining an irrevocable standby letter of credit which conforms to the requirements of this subsection and submitting the letter to the Department. An owner or operator of a new facility shall submit the letter of credit to the Department at least 60 days before the date on which hazardous waste is first received for disposal. The letter of credit shall be effective before this initial receipt of hazardous waste. The issuing institution shall be an entity which has the authority to issue letters of credit and whose letter of credit operations are regulated and examined by a Federal or State agency.
(2) The wording of the letter of credit shall be identical to the wording specified in section 66264.151, subsection (d). The letter of credit shall contain original signatures and shall be accompanied by the documents specified in this subsection.
(3) An owner or operator who uses a letter of credit to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the letter of credit, all amounts paid pursuant to a draft by the Department shall be deposited by the issuing institution directly into the standby trust fund in accordance with instructions from the Department. This standby trust fund shall meet the requirements of the trust fund specified in subsection (a) of this section, except that:
(A) an originally signed duplicate of the trust agreement shall be submitted to the Department with the letter of credit; and
(B) unless the standby trust fund is funded pursuant to the requirements of this section, the following are not required by these regulations:
1. payments into the trust fund as specified in subsection (a) of this section;
2. updating of Schedule A of the trust agreement (see section 66264.151, subsection (a)) to show current postclosure cost estimates;
3. annual valuations as required by the trust agreement; and
4. notices of nonpayment as required by the trust agreement.
(4) The letter of credit shall be accompanied by a letter from the owner or operator referring to the letter of credit by number, issuing institution, and date and providing the following information: the Hazardous Waste Facility Identification Number, name, and address of the facility and the amount of funds assured for postclosure care of the facility by the letter of credit.
(5) The letter of credit shall be irrevocable and issued for a period of at least one (1) year. The letter of credit shall provide that the expiration date will be automatically extended for a period of at least one (1) year unless, at least 120 days before the current expiration date, the issuing institution notifies both the owner or operator and the Department by certified mail of a decision not to extend the expiration date. Under the terms of the letter of credit, the 120 days shall begin on the date when both the owner or operator and the Department have received the notice, as evidenced by the return receipts.
(6) The letter of credit shall be issued in an amount at least equal to the current postclosure cost estimate, except as provided in subsection (g) of this section.
(7) Whenever the current postclosure cost estimate increases to an amount greater than the amount of the letter of credit during the operating life of the facility, the owner or operator, within 60 days after the increase, shall either cause the amount of the letter of credit to be increased so that it at least equals the current postclosure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current postclosure cost estimate decreases during the operating life of the facility, the amount of the letter of credit may be reduced to the amount of the current postclosure cost estimate following written approval from the Department.
(8) During the period of postclosure care, the Department shall approve a decrease in the amount of the letter of credit if the owner or operator demonstrates to the Department that the amount exceeds the remaining cost of postclosure care.
(9) Following a determination by the Department that the owner or operator has failed to perform postclosure care in accordance with the approved postclosure plan and other permit requirements, the Department may draw on the letter of credit.
(10) If the owner or operator does not establish alternate financial assurance as specified in this section and obtain written approval of such alternate assurance from the Department within 90 days after receipt by both the owner or operator and the Department of a notice from the issuing institution that it has decided not to extend the letter of credit beyond the current expiration date, the Department shall draw on the letter of credit. The Department shall delay drawing on the letter of credit in accordance with the provisions of this paragraph, if the issuing institution grants an extension of the term of the credit. During the last 30 days of any such extension the Department shall draw on the letter of credit if the owner or operator has failed to provide alternate financial assurance as specified in this section and obtain written approval of such assurance from the Department.
(11) The Department shall return the letter of credit to the issuing institution for termination when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements of this section in accordance with subsection (j) of this section.
(e) Postclosure insurance.
(1) An owner or operator may satisfy the requirements of this section by obtaining postclosure insurance which conforms to the requirements of this subsection and submitting a certificate of such insurance to the Department. An owner or operator of a new facility shall submit the certificate of insurance to the Department at least 60 days before the date on which hazardous waste is first received for disposal. The insurance shall be effective before this initial receipt of hazardous waste. At a minimum, the insurer shall be licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more States.
(2) The wording of the certificate of insurance shall be identical to the wording specified in section 66264.151, subsection (e). The certificate of insurance shall contain original signatures.
(3) The postclosure insurance policy shall be issued for a face amount at least equal to the current postclosure cost estimate, except as provided in subsection (g) of this section. The term “face amount” means the total amount the insurer is obligated to pay under the policy. Actual payments by the insurer shall not change the face amount, although the insurer's future liability shall be lowered by the amount of the payments.
(4) The postclosure insurance policy shall guarantee that funds shall be available to provide postclosure care of the facility whenever the postclosure period begins. The policy shall also guarantee that once postclosure care begins, the insurer shall be responsible for paying out funds, up to an amount equal to the face amount of the policy, upon the direction of the Department, to such party or parties as the Department specifies.
(5) An owner or operator or any other person authorized to conduct postclosure care may request reimbursements for postclosure care expenditures by submitting itemized bills to the Department. Within 60 days after receiving bills for postclosure care activities, the Department shall instruct the insurer to make reimbursements in those amounts as the Department specifies in writing, if the Department determines that the postclosure care expenditures are in accordance with the approved postclosure plan or otherwise justified. If the Department does not instruct the insurer to make such reimbursements, a detailed written statement of reasons will be provided to the owner or operator.
(6) The owner or operator shall maintain the policy in full force and effect until the Department consents to termination of the policy by the owner or operator as specified in subsection (e)(11) of this section. Failure to pay the premium, without substitution of alternate financial assurance as specified in this section, shall constitute a significant violation of these regulations, warranting such remedy as the Department deems necessary. Such violation shall be deemed to begin upon receipt by the Department of a notice of future cancellation, termination or failure to renew due to nonpayment of the premium, rather than upon the date of expiration.
(7) Each policy shall contain a provision allowing assignment of the policy to a successor owner or operator. Such assignment may be conditional upon consent of the insurer, provided such consent is not unreasonably refused.
(8) The policy shall provide that the insurer may not cancel, terminate or fail to renew the policy except for failure to pay the premium. The automatic renewal of the policy shall, at a minimum, provide the insured with the option of renewal at the face amount of the expiring policy. If there is a failure to pay the premium, the insurer may elect to cancel, terminate or fail to renew the policy by sending notice by certified mail to the owner or operator and the Department. Cancellation, termination or failure to renew shall not occur, however, during the 120 days beginning with the date of receipt of the notice by both the Department and the owner or operator, as evidenced by the return receipts. Cancellation, termination, or failure to renew shall not occur and the policy shall remain in full force and effect in the event that on or before the date of expiration:
(A) the Department deems the facility abandoned; or
(B) the permit is denied, terminated or revoked or a new permit is denied; or
(C) closure is ordered by the Department or by any other state or federal agency, U.S. district court or other court of competent jurisdiction; or
(D) the owner or operator is named as debtor in a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code; or
(E) the premium due is paid.
(9) Whenever the current postclosure cost estimate increases to an amount greater than the face amount of the policy during the operating life of the facility, the owner or operator, within 60 days after the increase, shall either cause the face amount to be increased to an amount at least equal to the current postclosure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current postclosure cost estimate decreases during the operating life of the facility, the face amount may be reduced to the amount of the current postclosure cost estimate following written approval by the Department.
(10) Commencing on the date that liability to make payments pursuant to the policy accrues, the insurer shall thereafter annually increase the face amount of the policy. Such increase shall be equivalent to the face amount of the policy, less any payments made, multiplied by an amount equivalent to 85 percent of the most recent investment rate or of the equivalent coupon-issue yield announced by the U.S. Treasury for 26-week Treasury securities.
(11) The Department shall give written consent to the owner or operator that the insurance policy may be terminated when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements in accordance with subsection (j) of this section.
(f) Financial test and guarantee for postclosure care.
(1) An owner or operator may satisfy the requirements of this section by demonstrating that he or she passes a financial test as specified in this section. To pass this test the owner or operator shall meet the criteria of either subsections (f)(1)(A) or (f)(1)(B) of this section.
(A) the owner or operator shall have:
1. two of the following three ratios: a ratio of total liabilities to net worth less than 2.0; a ratio of the sum of net income plus depreciation, depletion and amortization to total liabilities greater than 0.1; and a ratio of current assets to current liabilities greater than 1.5; and
2. net working capital and tangible net worth each at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates; and
3. tangible net worth of at least $10 million; and
4. assets in the United States amounting to at least 90 percent of total assets or at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates.
(B) the owner or operator shall have:
1. a current rating for his or her most recent bond issuance of AAA, AA, A or BBB as issued by Standard and Poor's or Aaa, Aa, A or Baa as issued by Moody's; and
2. tangible net worth at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates; and
3. tangible net worth of at least $10 million; and
4. assets located in the United States amounting to at least 90 percent of total assets or at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates.
(2) The phrase “current closure and postclosure cost estimates” as used in subsection (f)(1) of this section refers to the cost estimates required to be shown in paragraphs 1 through 4 of the letter from the owner's or operator's chief financial officer (section 66265.151, subsection (f)). The phrase “current plugging and abandonment cost estimates” as used in subsection (f)(1) of this section refers to the cost estimates required to be shown in paragraphs 1 through 4 of the letter from the owner's or operator's chief financial officer.
(3) To demonstrate that this test has been met, the owner or operator shall submit the following items to the Department:
(A) a letter signed by the owner's or operator's chief financial officer and worded as specified in section 66264.151, subsection (f). The letter shall be on the owner or operator's official letterhead stationery, and shall contain an original signature; and
(B) a copy of the independent certified public accountant's report on examination of the owner's or operator's financial statements for the latest completed fiscal year; and
(C) a special report from the owner's or operator's independent certified public accountant to the owner or operator stating that:
1. the independent certified public accountant has compared the data which the letter from the chief financial officer specified as having been derived from the independently audited, year-end financial statements for the latest fiscal year with the amounts in such financial statements; and
2. in connection with that procedure, no matters came to the independent certified public accountant's attention which caused a belief that the specified data should be adjusted.
(4) An owner or operator of a new facility shall submit the items specified in subsection (f)(3) of this section to the Department at least 60 days before the date on which hazardous waste is first received for disposal.
(5) After the initial submission of items specified in subsection (f)(3) of this section, the owner or operator shall send updated information to the Department within 90 days after the close of each succeeding fiscal year. This information shall consist of all three items specified in subsection (f)(3) of this section.
(6) If the owner or operator no longer meets the requirements of subsection (f)(1) of this section, the owner or operator shall send notice to the Department of the intent to establish alternate financial assurance as specified in this section. The notice shall be sent by certified mail within 90 days after any occurrence that prevents the owner or operator from meeting the requirements. The owner or operator shall provide the alternate financial assurance within 120 days after such occurrence.
(7) The Department may, based on a reasonable belief that the owner or operator may no longer meet the requirements of subsection (f)(1) of this section, require reports of financial condition at any time from the owner or operator in addition to those specified in subsection (f)(3) of this section. If the Department finds, on the basis of such reports or other information, that the owner or operator no longer meets the requirements of subsection (f)(1) of this section, the owner or operator shall provide alternate financial assurance as specified in this section within 30 days after notification of such a finding.
(8) The Department may disallow use of this test on the basis of qualifications in the opinion expressed by the independent certified public accountant in his or her report on examination of the owner's or operator's financial statements (see subsection (f)(3)(B) of this section). An adverse opinion or a disclaimer of opinion shall be cause for disallowance. The Department shall evaluate other qualifications on an individual basis. The owner or operator shall provide alternate financial assurance as specified in this section within 30 days after notification of the disallowance.
(9) During the period of postclosure care, the Department shall approve a decrease in the current postclosure cost estimate for which this test demonstrates financial assurance if the owner or operator demonstrates to the Department that the amount of the cost estimate exceeds the remaining cost of postclosure care.
(10) The owner or operator is no longer required to submit the items specified in subsection (f)(3) of this section when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements of this section in accordance with subsection (j) of this section.
(11) An owner or operator may meet the requirements for this section by obtaining a written guarantee. The guarantor shall be the direct or higher-tier parent corporation as defined in section 66260.10, of the owner or operator, a firm whose parent corporation is also the parent corporation of the owner of operator, or a firm with a “substantial business relationship” with the owner or operator. The guarantor shall meet the requirements for owners or operators in subsections (f)(1) through (f)(9) of this section and shall comply with the terms of the guarantee. The guarantee shall contain an original signature which shall be formally witnessed or notarized and the wording of the guarantee shall be identical to the wording specified in section 66264.151, subsection (h). A certified copy of the guarantee shall accompany the items sent to the Department as specified in subsection (f)(3) of this section. One of these items must be the letter from the guarantor's chief financial officer. If the guarantor's parent corporation is also the parent corporation of the owner or operator, the letter must describe the value received in consideration of the guarantee. If the guarantor is a firm with a “substantial business relationship” with the owner or operator, this letter must describe this “substantial business relationship” and the value received in consideration of the guarantee. The terms of the guarantee shall provide that:
(A) if the owner or operator fails to perform postclosure care of a facility covered by the guarantee in accordance with the postclosure plan and other permit requirements whenever required to do so, the guarantor shall do so or establish a trust fund as specified in subsection (a) of this section in the name of the owner or operator;
(B) the guarantee shall remain in force unless the guarantor sends notice of cancellation by certified mail to the owner or operator and to the Department. Cancellation shall not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Department, as evidenced by the return receipts;
(C) if the owner or operator fails to provide alternate financial assurance as specified in this section and obtain the written approval of such alternate assurance from the Department within 90 days after receipt by both the owner or operator and the Department of a notice of cancellation of the guarantee from the guarantor, the guarantor shall provide such alternate financial assurance in the name of the owner or operator.
(g) Use of multiple financial mechanisms. An owner or operator may satisfy the requirements of this section by establishing more than one financial mechanism per facility. The mechanisms shall be as specified in subsections (a), (b), (d), (e), and (i) of this section, except that it is the combination of mechanisms, rather than the single mechanism, which shall provide financial assurance for an amount at least equal to the current postclosure cost estimate. If an owner or operator uses a trust fund in combination with a surety bond or a letter of credit, he or she may use the trust fund as the standby trust fund for the other mechanisms. A single standby trust fund may be established for two or more mechanisms. If the owner or operator demonstrates the required coverage through the use of a combination of financial assurances under this subsection, the owner or operator shall specify at least one such assurance as “primary” coverage and shall specify the other as “excess” coverage. The Department may use any or all of the mechanisms to provide for postclosure care of the facility.
(h) Use of a financial mechanism for multiple facilities for postclosure care. An owner or operator may use one or more of the financial assurance mechanisms specified in this section to meet the requirements of this section for more than one facility. Evidence of financial assurance submitted to the Department shall include a list showing, for each facility, the Hazardous Waste Facility Identification Number, name, address and the amount of funds for postclosure care assured by the mechanism. The amount of funds available through the mechanism shall be no less than the sum of funds that would be available if a separate mechanism had been established and maintained for each facility. In directing funds available through the mechanism for postclosure care of any of the facilities covered by the mechanism, the Department may direct only the amount of funds designated for that facility, unless the owner or operator agrees to the use of additional funds available under the mechanism.
(i) Alternative Financial Mechanism for Postclosure Care. 
(1) The owner or operator of facilities which solely manage non-RCRA hazardous waste may establish financial assurance for postclosure care by means of a financial mechanism other than as specified in subsections (a) through (f) of this section, provided that prior to its use the mechanism has been submitted to and approved by the Department. The mechanism shall be at least equivalent to the financial mechanisms specified in subsections (a) through (f) of this section. The Department shall evaluate the equivalency of a mechanism principally in terms of: 
(A) certainty of the availability of funds for the required postclosure care activities; and 
(B) the amount of funds that will be made available; 
(C) the Department may also consider other factors deemed to be appropriate, and may require the owner or operator to submit additional information as is deemed necessary to make the determination. 
(2) The owner or operator shall submit to the Department the proposed mechanism together with a letter requesting that the proposed mechanism be considered acceptable for meeting the requirements of section 66264.145. The submission shall include the following information: 
(A) name, address and phone number of the issuing institution; and 
(B) hazardous waste facility identification number, name, address and postclosure cost estimate for each facility; and 
(C) the amount of funds for postclosure care to be assured for each facility by the proposed mechanism; and 
(D) the terms of the proposed mechanism (period covered, renewal/extension, cancellation). 
(3) The Department shall notify the owner or operator in writing of the determination made regarding the proposed mechanism's acceptability in lieu of the financial assurance mechanisms specified in subsections (a) through (f) of this section. 
(4) If a proposed mechanism is found acceptable, the owner or operator shall submit a fully executed document to the Department. The document shall contain original signatures and shall be accompanied by a formal certification of acknowledgment. 
(5) If a proposed mechanism is found acceptable except for the amount of funds, the owner or operator shall either increase the amount of the mechanism or obtain other financial assurance as specified in subsections (a) through (f) of this section. The amount of funds available through the combination of mechanisms shall at least equal the current postclosure cost estimate. 
(j) Release of the owner or operator from financial assurance requirements for postclosure care.
(1) Within 60 days after receiving certifications from the owner or operator and an independent registered professional engineer that all postclosure care requirements have been completed for a hazardous waste disposal unit in accordance with the approved postclosure plan, the Department, at the request of the owner or operator, shall notify the owner or operator in writing that maintenance of financial assurance is no longer required for postclosure care of that unit, unless the Department has reason to believe that postclosure care has not been in accordance with the approved postclosure plan. The Department shall provide the owner or operator with a detailed written statement of any such reason to believe that postclosure care has not been in accordance with the approved postclosure plan.
(2) When transfer of ownership or operational control of a facility occurs, and the new owner or operator has demonstrated to the satisfaction of the Department that the owner or operator is complying with the financial requirements of this section, the Department shall notify the previous owner or operator in writing that they are no longer required to maintain financial assurance for postclosure care of that particular facility.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; 40 CFR Section 264.145.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (a)(2), (b)(2), (b)(3)(A), (c)(2), (c)(3)(A), (d)(2), (d)(3)(A), (e)(2), (f), (f)(3)(A), and (f)(11)-(f)(11)(C) filed 8-17-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 33).
3. Change without regulatory effect amending subsections (a)(2), (b)(2), (b)(3)(A), (c)(2), (c)(3)(A), (d)(2), (d)(3)(A), (e)(2),  (f)(1), (f)(2), (f)(3)(A) and (f)(11) filed 11-6-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
4. Change without regulatory effect amending subsection (e)(2) filed 10-22-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 43).
5. Change without regulatory effect amending subsection (f)(11) filed 1-13-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 2).
6. Change without regulatory effect amending section and Note filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
§66264.146. Use of a Mechanism for Financial Assurance of Both Closure and Post-Closure Care.
Note     •     History

An owner or operator may satisfy the requirements for financial assurance for both closure and post-closure care for one or more facilities by using a trust fund, surety bond, letter of credit, insurance, financial test, corporate guarantee, or alternative mechanism, that meets the specifications for the mechanism in both section 66264.143 and section 66264.145. The amount of funds available through the mechanism shall be no less than the sum of funds that would be available if a separate mechanism had been established and maintained for financial assurance of closure and of post-closure care.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25425, Health and Safety Code; 40 CFR Section 264.146.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.147. Liability Requirements.
Note     •     History

(a) Coverage for sudden accidental occurrences. An owner or operator of a hazardous waste transfer, treatment, storage or disposal facility or a group of such facilities, shall demonstrate to the Department financial responsibility for bodily injury and property damage to third parties caused by sudden accidental occurrences arising from operations of the facility or group of facilities. The owner or operator shall have and maintain liability coverage for sudden accidental occurrences in the amount of at least $1 million per occurrence with an annual aggregate of at least $2 million, exclusive of legal defense costs. This liability coverage may be demonstrated as specified in subsections (a)(1) through (7) of this section.
(1) An owner or operator may demonstrate the required liability coverage by having liability insurance as specified in this subsection.
(A) At a minimum, the insurer shall be licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more states. 
(B) Each insurance policy shall be amended by attachment of the Hazardous Waste Facility Liability Endorsement or evidenced by a Certificate of Liability Insurance. If requested by the Department, the owner or operator shall provide a copy of the insurance policy; the copy of the insurance policy shall contain original signatures. 
(C) The wording of the liability endorsement shall be identical to the wording specified in section 66264.151, subsection (i). The liability endorsement shall contain original signatures and shall be submitted to the Department. 
(D) The wording of the certificate of insurance shall be identical to the wording specified in section 66264.151, subsection (j). The certificate of insurance shall contain original signatures and shall be submitted to the Department. 
(E) An owner or operator of a new facility shall submit the liability endorsement or certificate of insurance to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal. The insurance shall be effective before this initial receipt of hazardous waste. 
(2) An owner or operator may meet the requirements of this section by passing a financial test or using the guarantee for liability coverage as specified in subsections (f) and (g) of this section.
(3) An owner or operator may meet the requirements of this section by obtaining a letter of credit for liability coverage as specified in subsection (h) of this section.
(4) An owner or operator may meet the requirements of this section by obtaining a surety bond for liability coverage as specified in subsection (i) of this section.
(5) An owner or operator may meet the requirements of this section by obtaining a trust fund for liability coverage as specified in subsection (j) of this section.
(6) An owner or operator may demonstrate the required liability coverage through use of combinations of insurance, financial test, guarantee, letter of credit, payment bond and trust fund, except that the owner or operator may not combine a financial test covering part of the liability coverage requirement with a guarantee unless the financial statement of the owner or operator is not consolidated with the financial statement of the guarantor. The amounts of coverage demonstrated shall total at least the minimum amounts required by this section. If the owner or operator demonstrates the required coverage through the use of a combination of financial assurances under this subsection, the owner or operator shall specify at least one such assurance as “primary” coverage and shall specify the other assurance as “excess” coverage. 
(7) An owner or operator may meet the requirements of this section by obtaining an alternative financial mechanism, as described in subsection (k) of this section; or 
(8) An owner or operator shall notify the Department in writing within 30 days whenever:
(A) a claim results in a reduction in the amount of financial assurance for liability provided by a financial instrument authorized by subsections (a)(1) through (a)(7) of this section, or 
(B) a Certification of Valid Claim for bodily injury or property damages caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous waste transfer, treatment, storage or disposal facility is entered between the owner or operator and third-party claimant for liability coverage under subsections (a)(1) through (a)(7) of this section; or 
(C) a final court order establishing a judgment for bodily injury or property damage caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous waste treatment, storage, or disposal facility is issued against the owner or operator or an instrument that is providing financial assurance for liability coverage under subsection (a)(1) through (a)(7) of this section.
(b) Coverage for nonsudden accidental occurrences. An owner or operator of a surface impoundment, as defined in section 66260.10, landfill, as defined in section 66260.10, land treatment facility, as defined in section 66260.10 or disposal miscellaneous unit which is used to manage hazardous waste, or a group of such facilities, shall demonstrate to the Department financial responsibility for bodily injury and property damage to third parties caused by nonsudden accidental occurrences arising from operations of the facility or group of facilities. The owner or operator shall have and maintain liability coverage for nonsudden accidental occurrences in the amount of at least $3 million per occurrence, as defined in section 66260.10, with an annual aggregate of at least $6 million, exclusive of legal defense costs. An owner or operator who must meet the requirements of this section may combine the required per-occurrence coverage levels for sudden and nonsudden accidental occurrences into a single per-occurrence level, and combine the required annual aggregate coverage levels for sudden and nonsudden accidental occurrences into a single annual aggregate level. Owners or operators who combine coverage levels for sudden and nonsudden accidental occurrences must maintain liability coverage in the amount of at least $4 million per occurrence and $8 million annual aggregate. This liability coverage may be demonstrated, as specified in subsections (b)(1) through (b)(7) of this section.
(1) An owner or operator may demonstrate the required liability coverage by obtaining liability insurance as specified in this subsection.
(A) At a minimum, the insurer shall be licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more states. 
(B) Each insurance policy shall be amended by attachment of the Hazardous Waste Facility Liability Endorsement or evidenced by a Certificate of Liability Insurance. If requested by the Department, the owner or operator shall provide a copy of the insurance policy; the copy of the insurance policy shall contain original signatures. 
(C) The wording of the liability endorsement shall be identical to the wording specified in section 66264.151, subsection (i). The liability endorsement shall contain original signatures and shall be submitted to the Department. 
(D) The wording of the certificate of insurance shall be identical to the wording specified in section 66264.151, subsection (j). The certificate of insurance shall contain original signatures and shall be submitted to the Department. 
(E) An owner or operator of a new facility shall submit the liability endorsement or certificate of insurance to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal. The insurance shall be effective before this initial receipt of hazardous waste. 
(2) An owner or operator may meet the requirements of this section by passing a financial test or using the guarantee for liability coverage as specified in subsections (f) and (g) of this section.
(3) An owner or operator may meet the requirements of this section by obtaining a letter of credit for liability coverage as specified in subsection (h) of this section.
(4) An owner or operator may meet the requirements of this section by obtaining a payment bond for liability coverage as specified in subsection (i) of this section.
(5) An owner or operator may meet the requirements of this section by obtaining a trust fund for liability coverage as specified in subsection (j) of this section.
(6) An owner or operator may demonstrate the required liability coverage through the use of combinations of insurance, financial test, guarantee, letter of credit, payment bond and trust fund, except that the owner or operator may not combine a financial test covering part of the liability coverage requirement with a guarantee unless the financial statement of the owner or operator is not consolidated with the financial statement of the guarantor. The amounts of coverage demonstrated shall total at least the minimum amount required by this section. If the owner or operator demonstrates the required coverage through the use of a combination of financial assurances under this subsection, the owner or operator shall specify at least one such assurance as “primary” coverage and shall specify another assurance as “excess” coverage. 
(7) An owner or operator may meet the requirements of this section by obtaining an alternative financial mechanism, as described in subsection (k) of this section. 
(8) An owner or operator shall notify the Department in writing within 30 days whenever:
(A) a claim results in a reduction in the amount of financial assurance for liability coverage provided by a financial instrument authorized by subsections (b)(1) through (b)(7) of this section, or 
(B) a Certification of Valid Claim for bodily injury or property damages caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous waste transfer, treatment, storage or disposal facility is entered between the owner or operator and third-party claimant for liability coverage under subsections (b)(1) through (b)(7) of this section; or 
(C) a final court order establishing a judgment for bodily injury or property damage caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous waste treatment, storage, or disposal facility is issued against the owner or operator or an instrument that is providing financial assurance for liability coverage under subsections (b)(1) through (b)(7) of this section.
(c) Request for variance. If an owner or operator can demonstrate to the satisfaction of the Department that the levels of financial responsibility required by subsection (a) or (b) of this section are not consistent with the degree and duration of risk associated with transfer, treatment, storage or disposal at the facility or group of facilities, the owner or operator may obtain a variance from the Department. The request for a variance shall be submitted to the Department as part of the application under section 66270.14 of this division for a facility that does not have a permit, or pursuant to the procedures for permit modification under section 66271.4 of this division for a facility that has a permit. If granted, the variance shall take the form of an adjusted level of required liability coverage, such level to be based on the Department's assessment of the degree and duration of risk associated with the ownership or operation of the facility or group of facilities. The Department may require an owner or operator who requests a variance to provide such technical and engineering information as is deemed necessary by the Department to determine a level of financial responsibility other than that required by subsection (a) or (b) of this section. Any request for a variance for a permitted facility will be treated as a request for a permit modification under section 66270.41, subsection (a)(5) and section 66271.4.
(d) Adjustments by the Department. If the Department determines that the levels of financial responsibility required by subsection (a) or (b) of this section are not consistent with the degree and duration of risk associated with transfer, treatment, storage or disposal at the facility or group of facilities, the Department may adjust the level of financial responsibility required under subsection (a) or (b) of this section as may be necessary to protect human health and the environment. This adjusted level shall be based on the Department's assessment of the degree and duration of risk associated with the ownership or operation of the facility or group of facilities. In addition, if the Department determines that there is a significant risk to human health and the environment from nonsudden accidental occurrences resulting from the operations of a facility that is not a surface impoundment, landfill or land treatment facility, the Department shall require that an owner or operator of the facility comply with subsection (b) of this section. An owner or operator shall furnish to the Department, within a reasonable time, any information which the Department requests to determine whether cause exists for such adjustments of level or type of coverage. Any adjustment of the level or type of coverage for a facility that has a permit will be treated as a permit modification under section 66270.41, subsection (a)(5) and section 66271.4.
(e) Period of coverage. Within 60 days after receiving certifications from the owner or operator and an independent registered professional engineer that final closure has been completed in accordance with the approved closure plan, the Department shall notify the owner or operator in writing that he or she is no longer required by this section to maintain liability coverage for that facility, unless the Department has reason to believe that closure has not been in accordance with the approved closure plan.
(f) Financial test for liability coverage.
(1) An owner or operator may satisfy the requirements of this section by demonstrating that he or she passes a financial test as specified in this subsection. To pass this test the owner or operator shall meet the criteria of subsection (f)(1)(A) or (B).
(A) The owner or operator shall have:
1. net working capital and tangible net worth each at least six times the amount of liability coverage to be demonstrated by this test; and
2. tangible net worth of at least $10 million; and
3. assets in the United States amounting to either:
a. at least 90 percent of total assets; or 
b. at least six times the amount of liability coverage to be demonstrated by this test. 
(B) The owner or operator shall have:
1. a current rating for the most recent bond issuance of AAA, AA, A or BBB as issued by Standard and Poor's, or Aaa, Aa, A or Baa as issued by Moody's; and
2. tangible net worth of at least $10 million; and
3. tangible net worth at least six times the amount of liability coverage to be demonstrated by this test; and
4. assets in the United States amounting to either:
a. at least 90 percent of total assets; or 
b. at least six times the amount of liability coverage to be demonstrated by this test. 
(2) The phrase “amount of liability coverage” as used in subsection (f)(1) of this section refers to the annual aggregate amounts for which coverage is required under subsections (a) and (b) of this section.
(3) To demonstrate that this test can be met, the owner or operator shall submit the following items to the Department:
(A) a letter signed by the owner's or operator's chief financial officer and worded as specified in section 66264.151, subsection (g). The letter shall be on the official letterhead stationary of the owner or operator, and shall contain an original signature. An owner or operator may use the financial test to demonstrate both assurance for closure or postclosure care, as specified by sections 66264.143, subsection (f), 66264.145, subsection (f), 66265.143, subsection (e) and 66265.145, subsection (e), and liability coverage as specified in subsections (a) and (b) of this section. If an owner or operator is using the financial test to cover both forms of financial responsibility, a separate letter is not required;
(B) a copy of the independent certified public accountant's report on examination of the owner's or operator's financial statements for the latest completed fiscal year;
(C) a special report from the owner's or operator's independent certified public accountant to the owner or operator stating that:
1. the independent certified public accountant has compared the data which the letter from the chief financial officer specifies as having been derived from the independently audited, year-end financial statements for the latest fiscal year with the amounts in such financial statements; and
2. in connection with that procedure, no matters came to the independent certified public accountant's attention which caused him or her to believe that the specified data should be adjusted.
(4) An owner or operator of a new facility shall submit the items specified in subsection (f)(3) of this section to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal.
(5) After the initial submission of items specified in subsection (f)(3) of this section, the owner or operator shall send updated information to the Department within 90 days after the close of each succeeding fiscal year. This information shall consist of all items specified in subsection (f)(3) of this section.
(6) If the owner or operator no longer meets the requirements of subsection (f)(1) of this section, liability coverage shall be obtained for the entire amount of coverage as described in this section by use of the financial mechanisms described in this section. Notice shall be sent to the Department of the owner's or operator's intent to obtain the required coverage; notice shall be sent by either registered mail or by certified mail within 90 days after any occurence that prevents the owner or operator from meeting the test requirements. Evidence of liability coverage shall be submitted to the Department within 90 days after any occurrence that prevents the owner or operator from meeting the requirements.
(7) The Department may, based on a reasonable belief that the owner or operator no longer meets the requirements of subsection (f)(1) of this section, require reports of financial condition at any time from the owner or operator in addition to those specified in subsection (f)(3) of this section. If the Department finds, on the basis of such reports or other information, that the owner or operator no longer meets the requirements of subsection (f)(1) of this section, the owner or operator shall provide alternate financial assurance for closure and postclosure care and evidence of the required liability coverage as specified in this section within 30 days after notification of such a finding.
(8) The Department may disallow use of this test on the basis of qualifications in the opinion expressed by the independent certified public accountant in his or her report on examination of the owner's or operator's financial statements (see subsection (f)(3)(B) of this section). An adverse opinion or a disclaimer of opinion will be cause for disallowance. The Department will evaluate other qualifications on an individual basis. The owner or operator shall provide evidence of liability coverage for the amount required as specified in this section within 30 days after notification of disallowance.
(9) The owner or operator is no longer required to submit the items specified in subsection (f)(3) of this section when:
(A) an owner or operator substitutes alternate financial assurance for closure and postclosure care and evidence of liability insurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements of this section in accordance with sections 66264.143, subsection (j), 66264.145, subsection (j) and 66264.147, subsection (e).
(g) Guarantee for liability coverage.
(1) Subject to subsection (g)(2) of this section, an owner or operator may meet the requirements of this section by obtaining a written guarantee, hereafter referred to as “guarantee.” The guarantor shall be the direct or higher-tier parent corporation of the owner or operator, or a firm whose parent corporation is also the parent corporation of the owner or operator, or a firm with a “substantial business relationship” with the owner or operator. The guarantor shall meet the requirements for owners or operators in subsections (f)(1) through (f)(6) of this section. The wording of the guarantee shall be identical to the wording specified in section 66264.151, subsection (h)(2) and shall have original signatures. A certified copy of the guarantee shall accompany the items sent to the Department as specified in subsection (f)(3) of this section. One of these items must be the letter from the guarantor's chief financial officer. If the guarantor's parent corporation is also the parent corporation of the owner or operator, this letter shall describe the value received in consideration of the guarantee. If the guarantor is a firm with a “substantial business relationship” with the owner or operator, this letter shall describe this “substantial business relationship” and the value received in consideration of the guarantee. The terms of the guarantee shall provide that:
(A) if the owner or operator fails to satisfy a judgment based on a determination of liability for bodily injury or property damage to third parties caused by sudden or nonsudden accidental occurrences (or both as the case may be), arising from the operation of facilities covered by this guarantee, or fails to pay an amount agreed to in settlement of claims arising from or alleged to arise from such injury or damage, the guarantor shall do so up to the limits of coverage;
(B) the guarantee shall remain in force unless the guarantor sends notice of cancellation by certified mail to the owner or operator and to the Department. This guarantee shall not be terminated unless and until the Department approve(s) alternate liability coverage complying with section 66264.147 and/or section 66265.147.
(2)(A) In the case of corporations incorporated in states other than California, a guarantee may be used to satisfy the requirements of this section only if the Attorney General or Insurance Commissioner of;
1. the State in which the guarantor is incorporated, and 
2. each state in which a facility covered by the guarantee is located have submitted a written statement to the Department that a guarantee executed as described in this section is a legally valid and enforceable obligation in that State. 
(B) In the case of corporations incorporated outside the United States, a guarantee may be used to satisfy the requirements of this section only if; 
1. the non-U.S. corporation has identified a registered agent for service of process in the State in which a facility covered by the guarantee is located and in the State in which it has its principal place of business, and 
2. the Attorney General or Insurance Commissioner of the State in which a facility covered by the guarantee is located and the State in which the guarantor corporation has its principal place of business, has submitted a written statement to the Department that a guarantee executed as described in this section is a legally valid and enforceable obligation in this State. 
(h) Letter of credit for liability coverage.
(1) An owner or operator may satisfy the requirements of this section by obtaining an irrevocable standby letter of credit that conforms to the requirements of this subsection and submitting a copy of the letter of credit to the Department.
(2) The financial institution issuing the letter of credit must be an entity that has the authority to issue letters of credit and whose letter of credit operations are regulated and examined by a Federal or State agency.
(3) The wording of the letter of credit shall be identical to the wording specified in section 66264.151, subsection (k) of this article. The letter of credit shall contain original signatures and shall be accompanied by a letter from the owner or operator referring to the letter of credit by number, issuing institution, effective date, and providing the following information; the hazardous waste facility identification number, name and address of the facility, and the amount of funds assured for valid third party liability claims of the facility by the letter of credit.
(4) An owner or operator who uses a letter of credit to satisfy the requirements of this section may also establish a standby trust fund. Under the terms of the letter of credit, all amounts paid pursuant to a draft by the trustee of the standby trust shall be deposited by the issuing institution directly into the standby trust fund in accordance with instructions from the trustee. The trustee of the standby trust fund shall be an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency. This standby trust fund shall meet all of the requirements of the trust fund specified in subsection (j) of this section.
(5) The wording of the standby trust fund shall be identical to the wording specified in section 66264.151, subsection (n). 
(6) The letter of credit shall be irrevocable and issued for a period of at least one (1) year. The letter of credit shall provide that the expiration date will be automatically extended for a period of at least one (1) year, unless, at least 120 days before the current expiration date, the issuing institution notifies both the owner or operator and the Department by certified mail of a decision not to extend the expiration date. Under the terms of the letter of credit, the 120 days shall begin on the date when both the owner or operator and the Department have received the notice, as evidenced by the return receipts.
(7) The letter of credit shall be issued in an amount at least equal to the required per occurrence and annual aggregate amount for sudden, or nonsudden, or sudden and nonsudden liability coverage, except as provided in subsection (b)(7) of this section.
(i) Payment bond for liability coverage.
(1) An owner or operator may satisfy the requirements of this section by obtaining a payment bond that conforms to the requirements of this subsection and submitting a copy of the bond to the Department.
(2) The surety company issuing the bond shall be among those listed as acceptable sureties on Federal bonds in the most recent Circular 570 of the U.S. Department of the Treasury.
(3) The wording of the payment bond shall be identical to the wording specified in section 66264.151, subsection (l). The payment bond shall contain original signatures.
(4) A payment bond may be used to satisfy the requirements of this section only if the Attorney General or Insurance Commissioner of
(A) the State in which the surety is incorporated, and 
(B) each State in which a facility covered by the payment bond is located have submitted a written statement to the Department that a payment bond executed as described in this section is a legally valid and enforceable obligation in that State. 
(j) Trust fund for liability coverage.
(1) An owner or operator may satisfy the requirements of this section by establishing a trust fund that conforms to the requirements of this subsection by submitting an originally signed duplicate of the trust agreement and a formal certification of acknowledgment to the Department.
(2) The trustee shall be an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.
(3) The trust fund for liability coverage shall be funded for the full amount of the liability coverage to be provided by the trust fund before it may be relied upon to satisfy the requirements of this section. If at any time after the trust fund is created the amount of funds in the trust fund is reduced below the full amount of the liability coverage to be provided, the owner or operator, by the anniversary date of the establishment of the fund, shall either add sufficient funds to the trust fund to cause its value to equal the full amount of liability coverage to be provided, or obtain other financial assurance as specified in this section to cover the difference. For purposes of this subsection, “the full amount of the liability coverage to be provided” means the amount of coverage for sudden and/or nonsudden occurrences required to be provided by the owner or operator by this section, less the amount of financial assurance for liability coverage that is being provided by other financial assurance mechanisms being used to demonstrate financial assurance by the owner or operator.
(4) The wording of the trust agreement shall be identical to the wording specified in section 66264.151, subsection (m).
(k) Liability Coverage--Alternative Mechanism.
(1) An owner or operator of facilities which manage solely non-RCRA hazardous waste may demonstrate the required liability coverage by means of a mechanism other than as specified provided that prior to its use the proposed mechanism has been submitted to and approved by the Department. The mechanism shall be at least equivalent to the mechanisms specified in subsections (a), (b), (f) through (j) of this section. The Department shall evaluate the equivalency of a mechanism principally in terms of:
(A) certainty of the availability of funds for the required liability coverage; and
(B) the amount of funds that will be made available; and
(C) the Department may also consider other factors deemed to be appropriate, and may require the owner or operator to submit additional information as is deemed necessary to make the determination.
(2) The owner or operator shall submit to the Department the proposed mechanism together with a letter requesting that the alternate mechanism be considered acceptable for meeting the requirements of subsections (a) and (b) of this section. The submission shall include the following information:
(A) the name, address and phone number of the issuing institution; and
(B) hazardous waste facility identification number, name, address and the amount of liability coverage to be provided for each facility; and
(C) the terms of the proposed mechanism (period of coverage, renewal/extension, cancellation).
(3) The Department shall notify the owner or operator in writing of the determination made regarding the proposed mechanism's acceptability in lieu of the other mechanisms specified in subsections (a), (b), (f) through (j) of this section.
(4) If a proposed mechanism is found acceptable, the owner or operator shall submit a fully executed document to the Department. The document shall contain original signatures and shall be accompanied by a formal certification of acknowledgment.
(5) If a proposed mechanism is found acceptable except for the amount of coverage, the owner or operator shall either increase the coverage or obtain other liability coverage as specified in subsections (a) and (b) of this section. The amount of coverage available through the combination of mechanisms shall at least equal the amounts required by subsections (a) and (b) of this section.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25200.1 and 25245, Health and Safety Code; 40 CFR Section 264.147.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending section filed 8-17-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 33).
3. Amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
4. Amendment of subsections (a) and (b) and amendment of Note filed 10-19-98; operative 11-18-98 (Register 98, No. 43).
5. Change without regulatory effect amending subsections (b)(3), (f)(3)-(f)(3)(B), (g)(3)(A), (g)(8), (g)(10)(B), (h)(1), (h)(2)(A)-(B), (i)(2)-(3), (i)(4)(A), (i)(5), (j)(3)-(4), (k)(4), (l)(1), (l)(1)(B) and (l)(3) filed 11-6-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
6. Change without regulatory effect amending subsection (b)(3) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
7. Change without regulatory effect amending section filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
8. Change without regulatory effect amending subsection (g)(1) filed 3-20-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§66264.148. Incapacity of Owners or Operators, Guarantors, or Financial Institutions.
Note     •     History

(a) An owner or operator shall notify the Department by certified mail of the commencement of a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code, naming the owner or operator as debtor, within 10 days after commencement of the proceeding. A guarantor of a corporate guarantee as specified in section 66264.143(f) and section 66264.145(f) shall make such a notification if named as debtor, as required under the terms of the corporate guarantee (section 66264.151(h)).
(b) An owner or operator who fulfills the financial assurance or liability coverage requirements by obtaining a trust fund, surety bond, letter of credit, or insurance policy shall be deemed to be without the required financial assurance or liability coverage in the event of bankruptcy of the trustee or issuing institution, or a suspension or revocation of the authority of the trustee institution to act as trustee or of the institution issuing the surety bond, letter of credit, or insurance policy to issue such instruments. The owner or operator shall establish other financial assurance or liability coverage within 60 days after such an event.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; 40 CFR Section 264.148.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.151. Wording of the Instruments.
Note     •     History

(a)(1) A trust agreement for a trust fund, as specified in section 66264.143, subsection (a) or section 66264.145, subsection (a) or section 66265.143, subsection (a) or section 66265.145, subsection (a) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

TRUST AGREEMENT 
Trust Agreement, the “Agreement,” entered into as of [date] by and between [name of the owner or operator], a [name of State] [insert “corporation,” “partnership,” “association,” or “proprietorship”], the “Grantor,” and [name of corporate trustee], [insert “incorporated in the State of [name of State]” or “a national bank”], the “Trustee.” 
WHEREAS, the Department of Toxic Substances Control (DTSC), a department of the State of California, has established certain regulations applicable to the Grantor, requiring that an owner or operator of a hazardous waste management facility/transportable treatment unit (TTU) shall provide assurance that funds will be available when needed for closure and/or postclosure care of the facility/TTU, 
WHEREAS, the Grantor has elected to establish a trust to provide all or part of such financial assurance for the facilities/TTUs identified herein, 
WHEREAS, the Grantor, acting through its duly authorized officers, has selected the Trustee to be the trustee under this agreement, and the Trustee is willing to act as trustee, 
NOW, THEREFORE, the Grantor and the Trustee agree as follows: 
Section 1. Definitions. As used in this Agreement: 
(a) The term “Grantor” means the owner or operator who enters into this Agreement and any successor or assigns of the Grantor. 
(b) The term “Trustee” means the Trustee who enters into this Agreement and any successor Trustee. 
(c) The term “Beneficiary” means the State of California, Department of Toxic Substances Control. 
Section 2. Identification of Facilities/TTUs and Cost Estimates. This Agreement pertains to the facilities/TTUs and cost estimates identified on attached Schedule A. [on Schedule A for each facility/TTU list the hazardous waste facility/TTU EPA Identification Number, name, address, and the current closure and/or postclosure cost estimates (Indicate the closure and postclosure amounts separately), or portions thereof, for which financial assurance is demonstrated by this Agreement.] 
Section 3. Establishment of Fund. The Grantor and the Trustee hereby establish a trust fund, the “Fund” for the benefit of the Beneficiary. The Grantor and the Trustee intend that no third party has access to the Fund except as herein provided. The Fund is established initially as consisting of the property, which is acceptable to the Trustee, described in Schedule B attached hereto. Such property and any other property subsequently transferred to the Trustee is referred to as the Fund, together with all earnings and profits thereon, less any payments or distributions made by the Trustee pursuant to this Agreement. The Fund shall be held by the Trustee, IN TRUST, as hereinafter provided. The Trustee shall not be responsible nor shall it undertake any responsibility for the amount or adequacy of, nor any duty to collect from the Grantor, any payments necessary to discharge any liabilities of the Grantor established by the Beneficiary. 
Section 4. Payment for Closure and Postclosure Care. The Trustee shall make payments from the Fund as the Beneficiary shall direct, in writing, to provide for the payment of the costs of closure and/or postclosure care of the facilities/TTUs covered by this Agreement. The Trustee shall reimburse the Grantor or other persons as specified by the Beneficiary from the Fund for closure and postclosure expenditures in such amounts as the Beneficiary shall direct in writing. In addition, the Trustee shall refund to the Grantor such amounts as the Beneficiary specifies in writing. Upon refund, such funds shall not constitute part of the Fund as defined herein. 
Section 5. Payments Comprising the Fund. Payments made to the Trustee for the Fund shall consist of cash or securities acceptable to the Trustee. 
Section 6. Trustee Management. The Trustee shall invest and reinvest the principal and income of the Fund and keep the Fund invested as a single fund, without distinction between principal and income, in accordance with general investment policies and guidelines which the Grantor may communicate in writing to the Trustee from time to time, subject, however, to the provisions of this section. In investing, reinvesting, exchanging, selling, and managing the Fund, the Trustee shall discharge his or her duties with respect to the trust fund solely in the interest of the Beneficiary and with the care, skill, prudence, and diligence under the circumstances then prevailing which persons of prudence, acting in a like capacity and familiar with such matters, would use in the conduct of an enterprise of a like character and with like aims; except that: 
(i) Securities or other obligations of the Grantor, or any other owner or operator of the facilities/TTUs, or any of their affiliates as defined in the Investment Company Act of 1940, as amended, 15 United States Code section 80a-2(a), shall not be acquired or held, unless they are securities or other obligations of the Federal or State government; 
(ii) The Trustee is authorized to invest the Fund in time or demand deposits of the Trustee, to the extent insured by an agency of the Federal or State government; and 
(iii) The Trustee is authorized to hold cash awaiting investment or distribution uninvested for a reasonable time and without liability for the payment of interest thereon. 
Section 7. Commingling and Investment. The Trustee is expressly authorized in its discretion: 
(a) To transfer from time to time any or all of the assets of the Fund to any common, commingled or collective trust fund created by the Trustee in which the Fund is eligible to participate, subject to all of the provisions thereof, to be commingled with the assets of other trusts participating therein; and 
(b) To purchase shares in any investment company registered under the Investment Company Act of 1940, 15 United States Code section 80a-1 et seq., including one which may be created, managed, underwritten or to which investment advice is rendered or the shares of which are sold by the Trustee. The Trustee may vote such shares in its discretion. 
Section 8. Express Powers of Trustee. Without in any way limiting the powers and discretion conferred upon the Trustee by the other provisions of this Agreement or by law, the Trustee is expressly authorized and empowered: 
(a) To sell, exchange, convey, transfer or otherwise dispose of any property held by it, by public or private sale. No person dealing with the Trustee shall be bound to see to the application of the purchase money or to inquire into the validity or expediency of any such sale or other disposition; 
(b) To make, execute, acknowledge and deliver any and all documents of transfer and conveyance and any and all other instruments that may be necessary or appropriate to carry out the powers herein granted; 
(c) To register any securities held in the Fund in its own name or in the name of a nominee and to hold any security in bearer form or in book entry, or to combine certificates representing such securities with certificates of the same issue held by the Trustee in other fiduciary capacities, or to deposit or arrange for the deposit of such securities in a qualified central depositary even though, when so deposited, such securities may be merged and held in bulk in the name of the nominee of such depositary with other securities deposited therein by another person, or to deposit or arrange for the deposit of any securities issued by the United States Government, or any agency or instrumentality thereof, with a Federal Reserve bank, but the books and records of the Trustee shall at all times show that all such securities are part of the Fund; 
(d) To deposit any cash in the Fund in interest-bearing accounts maintained or savings certificates issued by the Trustee, in its separate corporate capacity, or in any other banking institution affiliated with the Trustee, to the extent insured by an agency of the Federal or State government; and 
(e) To compromise or otherwise adjust all claims in favor of or against the Fund. 
Section 9. Taxes and Expenses. All taxes of any kind that may be assessed or levied against or in respect of the Fund and all brokerage commissions incurred by the Fund shall be paid from the Fund. All other expenses incurred by the Trustee in connection with the administration of this Trust, including fees for legal services rendered to the Trustee, the compensation of the Trustee to the extent not paid directly by the Grantor, and all other proper charges and disbursements of the Trustee shall be paid from the Fund. 
Section 10. Annual Valuation. The Trustee shall annually, at least 30 days prior to the anniversary date of establishment of the Fund, furnish to the Grantor and to the Beneficiary a statement confirming the value of the Trust. Any securities in the Fund shall be valued at market value as of no more than 60 days prior to the anniversary date of establishment of the Fund. The failure of the Grantor to object in writing to the Trustee within 90 days after the statement has been furnished to the Grantor and Beneficiary shall constitute a conclusively binding assent by the Grantor, barring the Grantor from asserting any claim or liability against the Trustee with respect to matters disclosed in the statement. 
Section 11. Advice of Counsel. The Trustee may from time to time consult with counsel, who may be counsel to the Grantor, with respect to any question arising as to the construction of this Agreement or any action to be taken hereunder. The Trustee shall be fully protected, to the extent permitted by law, in acting upon the advice of counsel. 
Section 12. Trustee Compensation. The Trustee shall be entitled to reasonable compensation for its services as agreed upon in writing from time to time with the Grantor. 
Section 13. Successor Trustee. The Trustee may resign or the Grantor may replace the Trustee, but such resignation or replacement shall not be effective until the Grantor has appointed a successor trustee and this successor accepts the appointment. The successor trustee shall have the same powers and duties as those conferred upon the Trustee hereunder. Upon the successor trustee's acceptance of the appointment, the Trustee shall assign, transfer and pay over to the successor trustee the funds and properties then constituting the Fund. If, for any reason, the Grantor cannot or does not act in the event of the resignation of the Trustee, the Trustee may apply to a court of competent jurisdiction for the appointment of a successor trustee or for instructions. The successor trustee shall specify the date on which it assumes administration of the trust in a writing sent to the Grantor, Beneficiary, and the present Trustee by certified mail 10 days before such change becomes effective. Any expenses incurred by the Trustee as a result of any of the acts contemplated by this Section shall be paid as provided in Section 9. 
Section 14. Instructions to the Trustee. All orders, requests and instructions by the Grantor to the Trustee shall be in writing, signed by such persons as are designated in the attached Exhibit A or such other designees as the Grantor may designate by amendment to Exhibit A. The Trustee shall be fully protected in acting without inquiry in accordance with the Grantor's orders, requests and instructions. All orders, requests and instructions by the Beneficiary to the Trustee shall be in writing, signed by the Beneficiary designees, and the Trustee shall act and shall be fully protected in acting in accordance with such orders, requests and instructions. The Trustee shall have the right to assume, in the absence of written notice to the contrary, that no event constituting a change or a termination of the authority of any person to act on behalf of the Grantor or the Beneficiary hereunder has occurred. The Trustee shall have no duty to act in the absence of such orders, requests and instructions from the Grantor and/or Beneficiary, except as provided for herein. 
Section 15. Notice of Nonpayment. The Trustee shall notify the Grantor and the Beneficiary, by certified mail within 10 days following the expiration for the 30-day period after the anniversary of the establishment of the Trust, if no payment is received from the Grantor during that period. After the pay-in period is completed, the Trustee shall not be required to send a notice of nonpayment. 
Section 16. Amendment of Agreement. This agreement may be amended by an instrument in writing executed by the Grantor, the Trustee and the Beneficiary, or by the Trustee and the Beneficiary, if the Grantor ceases to exist. 
Section 17. Irrevocability and Termination. Subject to the right of the parties to amend this Agreement as provided in Section 16, this Trust shall be irrevocable and shall continue until terminated at the written agreement of the Grantor, the Trustee, and the Beneficiary, or by the Trustee and the Beneficiary, if the Grantor ceases to exist. Upon termination of the Trust, all remaining trust property, less final trust administration expenses, shall be delivered to the Grantor. 
Section 18. Immunity and Indemnification. The Trustee shall not incur personal liability of any nature in connection with any act or omission, made in good faith, in the administration of this Trust, or in carrying out any directions by the Grantor or the Beneficiary issued in accordance with this Agreement. The Trustee shall be indemnified and saved harmless by the Grantor or from the Trust Fund, or both, from and against any personal liability to which the Trustee may be subjected by reason of any act or conduct in its official capacity, including all expenses reasonably incurred in its defense in the event the Grantor fails to provide such defense. 
Section 19. Choice of Law. This Agreement shall be administered, construed and enforced according to the laws of the State of California. 
Section 20. Interpretation. As used in this Agreement, words in the singular include the plural and words in the plural include the singular. The descriptive headings for each Section of this Agreement shall not affect the interpretation or the legal efficacy of this Agreement. 
IN WITNESS WHEREOF the parties have caused this Agreement to be executed by their respective officers duly authorized and their corporate seals to be hereunto affixed and attested as of the date first above written: The parties below certify that the wording of this Agreement is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (a)(1) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.140 through 66264.148 and sections 66265.140 through 66265.148. 
[Signature of Grantor] 
[Title] 

Attest: 
[Title] 
[Seal] 
[Signature of Trustee] 

Attest: 
[Title] 
[Seal] 
(2) The following is an example of the certification of acknowledgment which shall accompany the trust agreement for a trust fund as specified in section 66264.143, subsection (a) and section 66264.145, subsection (a) or section 66265.143, subsection (a) or section 66265.145, subsection (a) of this division. State requirements may differ on the proper content of this acknowledgment. 
State of 
County of 
On this [date], before me personally came [owner or operator] to me known, who, being by me duly sworn, did depose and say that she/he resides at [address], that she/he is [title] of [corporation], the corporation described in and which executed the above instrument; that she/he knows the seal of said corporation; that the seal affixed to such instrument is such corporate seal; that it was so affixed by order of the Board of Directors of said corporation, and that she/he signed her/his name thereto by like order. 
[Signature of Notary Public] 
(b) A surety bond guaranteeing payment into a trust fund, as specified in section 66264.143, subsection (b) or section 66264.145, subsection (b) or section 66265.143, subsection (b) or section 66265.145, subsection (b) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

FINANCIAL GUARANTEE BOND 

Date bond executed: 

Effective date: 

Principal: [legal name and business address of owner or operator] 

Type of Organization: [insert “individual,” “joint venture,” “partnership,” or “corporation”] 

State of incorporation: 

Surety(ies): [name(s) and business address(es)] 
EPA Identification Number, name, address and closure and/or postclosure amount(s) for each facility/transportable treatment unit (TTU) guaranteed by this bond [indicate closure and postclosure amounts separately]: 

Total penal sum of bond: $ 

Surety's bond number: 
KNOW ALL PERSONS BY THESE PRESENTS, THAT WE, the Principal and Surety(ies) hereto are firmly bound to the Department of Toxic Substances Control, of the State of California (hereinafter called DTSC) in the above penal sum for the payment of which we bind ourselves, our heirs, executors, administrators, successors, and assigns jointly and severally; provided that, where the Surety(ies) are corporations acting as co-sureties, we, the Sureties, bind ourselves in such sum “jointly and severally” only for the purpose of allowing a joint action or actions against any or all of us, and for all other purposes each Surety binds itself, jointly and severally with the Principal, for the payment of such sum only as is set forth opposite the name of such Surety, but if no limit of liability is indicated, the limit of liability shall be the full amount of the penal sum. 
WHEREAS said Principal is required, under state regulations, to have a permit or interim status in order to own or operate each hazardous waste management facility/TTU identified above, and 
WHEREAS said Principal is required to provide financial assurance for closure, or closure and postclosure care, as a condition of the permit or interim status, and 
WHEREAS said Principal shall establish a standby trust fund as is required when a surety bond is used to provide such financial assurance; 
NOW, THEREFORE, the conditions of the obligation are such that if the Principal shall faithfully, before the beginning of final closure of each facility/TTU identified above, fund the standby trust fund in the amount(s) identified above for the facility/TTU, 
OR, if the Principal shall fund the standby trust fund in such amount(s) within 15 days after a final order to begin closure is issued by DTSC or a U. S. District Court or other court of competent jurisdiction, 
OR, if the Principal shall provide alternate financial assurance, as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, as applicable, and obtain written approval from DTSC of such assurance, within 90 days after the date notice of cancellation is received by both the Principal and the Director of DTSC, or designee, from the Surety(ies), then this obligation shall be null and void, otherwise it is to remain in full force and effect. 
The Surety(ies) shall become liable on this bond obligation only when the Principal has failed to fulfill the conditions described above. Upon notification by DTSC that the Principal has failed to perform as guaranteed by this bond, the Surety(ies) shall place funds in the amount guaranteed for the facility(ies)/TTU(s) into the standby trust fund as directed by DTSC. 
The liability of the Surety(ies) shall not be discharged by any payment of or succession of payments hereunder, unless and until such payment or payments shall amount in the aggregate to the penal sum of the bond, but in no event shall the obligation of the Surety(ies) hereunder exceed the amount of said penal sum. 
The Surety(ies) may cancel the bond by sending notice of cancellation by certified mail to the Principal and to DTSC, provided, however, that cancellation shall not occur during the 120 days beginning on the date of receipt of the notice of cancellation by both the Principal and DTSC, as evidenced by the return receipts. 
The Principal may terminate this bond by sending written notice to the Surety(ies), provided, however, that no such notice shall become effective until the Surety(ies) receive(s) written authorization for termination of the bond from DTSC. 
[The following paragraph is an optional rider that may be included, but is not required.] 
Principal and Surety(ies) hereby agree to adjust the penal sum of the bond yearly so that it guarantees a new closure and/or postclosure amount, provided that the penal sum does not increase by more than 20 percent in any one year, and no decrease in the penal sum takes place without the written permission of DTSC. 
IN WITNESS WHEREOF, the Principal and Surety(ies) have executed this Financial Guarantee Bond and have affixed their seals on the date set forth above. 
The persons whose signatures appear below hereby certify that they are authorized to execute this surety bond on behalf of the Principal and Surety(ies), that the wording of this surety bond is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (b), and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 

Principal 
[Signature(s)] 
[Name(s)] 
[Title(s)] 
[Corporate seal] 

Corporate Surety(ies) 
[Name and address] 
State of incorporation: 
Liability limit: $ 
[Signature(s)] 
[Name(s) and title(s)] 
[Corporate seal] 
[For every co-surety, provide signature(s), corporate seal, and other information in the same manner as for Surety above.] 
Bond premium: $ 
(c) A surety bond guaranteeing performance of closure and/or postclosure care, as specified in section 66264.143, subsection (c) or section 66264.145, subsection (c), shall be worded as follows, except that the instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

PERFORMANCE BOND 

Date bond executed: 

Effective date: 

Principal: [legal name and business address of owner or operator] 

Type of organization: [insert “individual,” “joint venture,” “partnership,” or “corporation”] 

State of incorporation: 

Surety(ies): [name(s) and business address(es)] 
EPA Identification Number, name, address, and closure and/or postclosure amount(s) for each facility/transportable treatment unit (TTU) guaranteed by this bond [indicate closure and postclosure amounts separately]: 

Total penal sum of bond: $ 

Surety's bond number: 
KNOW ALL PERSONS BY THESE PRESENTS, THAT WE, the Principal and Surety(ies) hereto are firmly bound to the Department of Toxic Substances Control of the State of California (hereinafter called DTSC), in the above penal sum for the payment of which we bind ourselves, our heirs, executors, administrators, successors, and assigns jointly and severally; provided that, where the Surety(ies) are corporations acting as co-sureties, we, the Sureties, bind ourselves in such sum “jointly and severally” only for the purpose of allowing a joint action or actions against any or all of us, and for all other purposes each Surety binds itself, jointly and severally with the Principal, for the payment of such sum only as is set forth opposite the name of such Surety, but if no limit of liability is indicated, the limit of liability shall be the full amount of the penal sum. 
WHEREAS said Principal is required, under state regulations, to have a permit in order to own or operate each hazardous waste management facility/TTU identified above, and 
WHEREAS said Principal is required to provide financial assurance for closure, or closure and postclosure care, as a condition of the permit, and 
WHEREAS said Principal shall establish a standby trust fund as is required when a surety bond is used to provide such financial assurance; 
NOW, THEREFORE the conditions of this obligation are such that if the Principal shall faithfully perform closure, whenever required to do so, of each facility/TTU for which this bond guarantees closure, in accordance with the closure plan and other requirements of the permit as such plan and permit may be amended, pursuant to all applicable laws, statutes, rules, and regulations, as such laws, statutes, rules, and regulations may be amended, 
AND, if the Principal shall faithfully perform postclosure care of each facility/TTU for which this bond guarantees postclosure care, in accordance with the postclosure plan and other requirements of the permit, as such plan and permit may be amended, pursuant to all applicable laws, statutes, rules, and regulations, as such laws, statutes, rules, and regulations may be amended, 
OR, if the Principal shall provide alternate financial assurance as specified in California Code of Regulations, title 22, division 4.5, chapter 14, article 8, and obtain written approval from DTSC of such assurance, within 90 days after the date notice of cancellation is received by both the Principal and the Director of DTSC, or designee, from the Surety(ies), then this obligation shall be null and void, otherwise it is to remain in full force and effect. 
The surety(ies) shall become liable on this bond obligation only when the Principal has failed to fulfill the conditions described above. 
Upon notification by DTSC that the Principal has been found in violation of applicable closure requirements, as specified in California Code of Regulations, title 22, division 4.5, chapter 14, article 8, for a facility/TTU for which this bond guarantees performances of closure, the Surety(ies) shall either perform closure in accordance with the closure plan and other permit requirements or place the closure amount guaranteed for the facility/TTU into the standby trust fund as directed by DTSC. 
Upon notification by DTSC that the Principal has been found in violation of the postclosure requirements, as specified in California Code of Regulations, title 22, division 4.5, chapter 14, article 8, for a facility/TTU for which this bond guarantees performance of postclosure care, the Surety(ies) shall either perform postclosure care in accordance with the postclosure plan and other permit requirements or place the postclosure amount guaranteed for the facility/TTU into the standby trust fund as directed by DTSC. 
Upon notification by DTSC that the Principal has failed to provide alternate financial assurance as specified in California Code of Regulations, title 22, division 4.5, chapter 14, article 8, and obtain written approval of such assurance from DTSC during the 90 days following receipt by both the Principal and DTSC of a notice of cancellation of the bond, the Surety(ies) shall place funds in the amount guaranteed for the facility(ies)/TTU(s) into the standby trust fund as directed by DTSC. 
The Surety(ies) hereby waive(s) notification of amendments to closure plans, permits, applicable laws, statutes, rules, and regulations and agrees that no such amendment shall in any way alleviate its (their) obligation on this bond. 
The liability of the Surety(ies) shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall amount in the aggregate to the penal sum of the bond, but in no event shall the obligation of the Surety(ies) hereunder exceed the amount of said penal sum. 
The Surety(ies) may cancel the bond by sending notice of cancellation by certified mail to the owner or operator and to DTSC provided, however, that cancellation shall not occur during the 120 days beginning on the date of receipt of the notice of cancellation by both the Principal and DTSC, as evidenced by the return receipts. 
The Principal may terminate this bond by sending written notice to the Surety(ies), provided, however, that no such notice shall become effective until the Surety(ies) receive(s) written authorization for termination of the bond by DTSC. 
[The following paragraph is an optional rider that may be included, but is not required.] 
Principal and Surety(ies) hereby agree to adjust the penal sum of the bond yearly so that it guarantees a new closure and/or postclosure amount, provided that the penal sum does not increase by more than 20 percent in any one year, and no decrease in the penal sum takes place without the written permission from DTSC. 
IN WITNESS WHEREOF, the Principal and Surety(ies) have executed this Performance Bond and have affixed their seals on the date set forth above. 
The persons whose signatures appear below hereby certify that they are authorized to execute this surety bond on behalf of the Principal and Surety(ies), that the wording of this surety bond is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (c) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14, article 8, sections 66264.143 and 66264.145. 

Principal 
[Signature(s)] 
[Name(s)] 
[Title(s)] 
[Corporate seal] 

Corporate Surety(ies) 
[Name and address] 
State of incorporation: 
Liability limit: $ 
[Signature(s)] 
[Name(s) and title(s)] 
[Corporate seal] 
[For every co-surety, provide signature(s), corporate seal, and other information in the same manner as for Surety above.] 
Bond premium: $ 
(d) A letter of credit, as specified in section 66264.143, subsection (d) or section 66264.145, subsection (d) or section 66265.143, subsection (c) or section 66265.145, subsection (c) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

IRREVOCABLE STANDBY LETTER OF CREDIT 

Date: 

Irrevocable Standby Letter of Credit No.: 
Department of Toxic Substances Control 
Financial Responsibility Section 
8800 Cal Center Drive 
Sacramento, California 95826 

Dear Sir or Madam: 
We hereby establish our Irrevocable Standby Letter of Credit No. [insert number] in your favor at the request and for the account of [insert owner's or operator's name and address] up to the aggregate amount of [amount in words] U.S. dollars $ [insert dollar amount], available upon presentation of: 
1. your sight draft bearing reference to this letter of credit No. [insert number], and 
2. your signed statement reading as follows: 
“I certify that the amount of the draft is payable pursuant to regulations issued under authority of the California Hazardous Waste Control Law.” 
An owner or operator who uses a letter of credit to satisfy the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, shall also establish a standby trust agreement. 
Each draft shall be marked “Drawn under [insert name of issuing institution] letter of credit No. [insert number] dated [insert date]”. 
Each draft shall also be accompanied by the original of this letter of credit upon which we may endorse our payment. 
This letter of credit is effective as of [insert date] and shall expire on [insert date at least one year from effective date], but such expiration date shall be automatically extended for a period of at least [insert at least one year] on [insert date] and on each successive expiration date, unless at least 120 days before the current expiration date, we notify both you and [insert owner's or operator's name] by certified mail that we have decided not to extend this letter of credit beyond the current expiration date. In the event you are so notified, any unused portion of the credit shall be available upon presentation of your sight draft for 120 days after the date of receipt by both you and [insert owner's or operator's name], as shown on the signed return receipts. 
Whenever this letter of credit is drawn on under and in compliance with the terms of this credit, we shall duly honor such draft upon presentation to us, and we shall deposit the amount of the draft directly into the standby trust fund of [insert owner's or operator's name] or in accordance with your instructions. 
We certify that the wording of this letter of credit is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (d) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8 on the date shown below. 

	[Signature(s) of official(s) of issuing institution] 
	[Title(s) of official(s) of issuing institution] 
	[Address of official(s) of issuing institution] 
	[Date official(s) of issuing institution sign] 
This credit is subject to [insert “the most recent edition of the Uniform Customs and Practice for Documentary Credits, published and copyrighted by the International Chamber of Commerce” or “the Uniform Commercial Code”]. 
(e) A certificate of insurance, as specified in section 66264.143, subsection (e) or section 66264.145, subsection (e) or section 66265.143, subsection (d) or section 66265.145, subsection (d) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

CERTIFICATE OF INSURANCE FOR CLOSURE OR 
POSTCLOSURE CARE 

Name and Address of Insurer (herein called the “Insurer”): 
Name and Address of Insured (herein called the “Insured”): 
Facilities Covered: [List for each facility/transportable treatment unit (TTU): The EPA Identification Number, name, address, and the amount of insurance for closure and/or the amount for postclosure care (these amounts for all facilities covered shall total the face amount shown below).] 
Face Amount: 
Policy Number: 
Effective Date: 
The Insurer hereby certifies that it has issued to the Insured the policy of insurance identified above to provide financial assurance for [insert “closure” or “closure and postclosure care” or “postclosure care”] for the facilities/TTU(s) identified above. The Insurer further warrants that such policy conforms in all respects with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, section 66264.143, subsection (e), section 66264.145, subsection (e), section 66265.143, subsection (d) and section 66265.145, subsection (d) as applicable and as such regulations were constituted on the date shown below. It is agreed that any provision of the policy inconsistent with such regulations is hereby amended to eliminate such inconsistency. 
The Insurer certifies that it will not cancel, terminate, or fail to renew this policy except for failure to pay the premium, and that the automatic renewal of the policy provides the insured with the option of renewal at the face amount of the expiring policy. If there is a failure to pay the premium and the Insurer elects to cancel, terminate, or not renew the policy, the Insurer will send notice by either registered or certified mail to the owner or operator and the Department of Toxic Substances Control (DTSC). Cancellation, termination, or failure to renew may not occur, however, during the one hundred twenty (120) days beginning with the date of receipt of the notice by the owner or operator and the DTSC as evidence by the return receipt. Cancellation, termination or failure to renew will not occur and the policy will remain in full force and effect in the event that on or before the date of expiration: 
(1) The DTSC deems the facility/TTU abandoned; or 
(2) The permit is terminated or revoked or a new permit is denied by the DTSC; or 
(3) Closure is ordered by the DTSC; or any other State or Federal agency, or a court of competent jurisdiction; or 
(4) The owner or operator is named as a debtor in a voluntary or involuntary proceeding under Title 11 (Bankruptcy) U. S. Code; or 
(5) The premium due is paid. 
Whenever requested by the Department of Toxic Substances Control (DTSC) of the State of California, the Insurer agrees to furnish to DTSC a duplicate original of the original policy listed above, including all endorsements thereon. 
In the event this policy is used in combination with another mechanism, this policy shall be considered [insert “primary” or “excess”] coverage. 
The parties below certify that the wording of this certificate is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (e) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapters 14 and 15, article 8. 

	[Authorized signature for Insurer] 
	[Name of person signing] 
	[Title of person signing] 
	Signature of witness or notary: 
	[Date] 
(f) A letter from the chief financial officer, as specified in section 66264.143, subsection (f) or section 66264.145, subsection (f), or section 66265.143, subsection (e) or section 66265.145, subsection (e) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

LETTER FROM CHIEF FINANCIAL OFFICER 

Department of Toxic Substances Control 
Financial Responsibility Section 
8800 Cal Center Drive 
Sacramento, California 95826 
I am the chief financial officer of [insert name and address of firm]. This letter is in support of this firm's use of the financial test to demonstrate financial assurance for closure and/or postclosure costs, as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 
[Fill out the following paragraphs regarding facilities/transportable treatment units (TTU) and associated cost estimates. If your firm has no facilities/TTUs that belong in a particular paragraph, write “None” in the space indicated. For each facility/TTU, include its EPA Identification Number, name, address and current closure and/or postclosure cost estimates. Identify each cost estimate separately as to whether it is for closure or postclosure care.] 
1. This firm is the owner or operator of the following facilities/TTUs for which financial assurance for closure or postclosure care is demonstrated through the financial test specified in section 66264.143, subsection (f), section 66264.145, subsection (f), section 66265.143, subsection (e), and section 66265.145, subsection (e) of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. The current closure and/or postclosure cost estimates covered by the test are shown for each facility/TTU:__________. 
2. This firm guarantees, through the guarantee specified in section 66264.143, subsection (f), section 66264.145, subsection (f), section 66265.143, subsection (e), and section 66265.145, subsection (e) of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, the closure and/or postclosure care of the following facilities/TTUs owned or operated by the guaranteed party. The current cost estimates for the closure or postclosure care so guaranteed are shown for each facility/TTU:___________. 
The firm identified above is [insert one or more: (1) The direct or higher-tier parent corporation of the owner or operator; (2) owned by the same parent corporation as the parent corporation of the owner or operator, and receiving the following value in consideration of this guarantee [insert dollars]; or (3) engaged in the following substantial business relationship with the owner or operator [insert business relationship], and receiving the following value in consideration of the guarantee [insert dollars]]. [Attach a written description of the business relationship or a copy of the contract establishing such relationship to this letter.] 
3. In states where the U.S. Environmental Protection Agency is not administering the financial requirements of subpart H of 40 CFR parts 264 and 265, this firm, as owner or operator or guarantor, is demonstrating financial assurance for the closure or postclosure care of the following facilities/TTUs through the use of a test equivalent or substantially equivalent to the financial test specified in subpart H of 40 CFR parts 264 and 265 or California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. The current closure and/or postclosure cost estimates covered by such a test are shown for each facility/TTU:__________. 
4. This firm is the owner or operator of the following hazardous waste management facilities/TTUs for which financial assurance for closure or, if a disposal facility, postclosure care, is not demonstrated either to U.S. Environmental Protection Agency or a State through the financial test or any other financial assurance mechanism specified in subpart H of 40 CFR parts 264 and 265, California Code of Regulations, title 22, division 4.5, chapter 14 or 15, article 8 or equivalent or substantially equivalent State mechanisms. The current closure and/or postclosure cost estimates not covered by such financial assurance are shown for each facility/TTU:__________. 
5. This firm is the owner or operator of the following Underground Injection Control facilities for which financial assurance for plugging and abandonment is required under 40 CFR part 144. The current closure cost estimates as required by 40 CFR 144.62 are shown for each facility:__________. 
This firm [insert “is” or “is not”] required to file a Form 10K with the Securities and Exchange Commission (SEC) for the latest fiscal year. 
The fiscal year of this firm ends on [insert month, day]. The figures for the following items marked with an asterisk are derived from this firm's independently audited, year-end financial statements for the latest completed fiscal year, ended [insert date]. 
This firm is using [insert “Alternative I” or “Alternative II”]. 
[Fill in Alternative I if the criteria of paragraph (f)(1)(A) of sections 66264.143 and 66264.145, or of paragraph (e)(1)(A) of sections 66265.143 and 66265.145 of this division are used. Fill in Alternative II of the criteria of paragraph (f)(1)(B) of sections 66264.143 and 66265.145, or of paragraph (e)(1)(B) of sections 66265.143 and 66265.145 of this division are used.] 

ALTERNATIVE I 

1. Sum of current closure and postclosure cost estimate (total of all cost estimates shown in the five paragraphs above)	$	 

*2. Total liabilities (if any portion of the closure or postclosure cost estimates is included in total liabilities, you may deduct the amount of that portion from this line and add that amount to lines 3
 and 4) 	$	 

*3. Tangible net worth	$	

*4. Net worth 	$	

*5. Current assets 	$ 	

*6. Current liabilities 	$	

7. Net working capital (line 5 minus line 6) 	$	

*8. The sum of net income plus depreciation, depletion, and 
amortization 	$	

*9. Total assets in U.S. (required only if less than 90% of firm's 
assets are located in the U.S.) 	$	

10. Is line 3 at least $10 million?	[Yes/No]

11. Is line 3 at least 6 times line 1?	[Yes/No] 

12. Is line 7 at least 6 times line 1? 	[Yes/No] 

*13. Are at least 90% of firm's assets located in the U.S.? 
If not, complete line 14 	[Yes/No] 

14. Is line 9 at least 6 times line 1? 	[Yes/No] 

15. Is line 2 divided by line 4 less than 2.0? 	[Yes/No] 

16. Is line 8 divided by line 2 greater than 0.1? 	[Yes/No] 

17. Is line 5 divided by line 6 greater than 1.5? 	[Yes/No] 

ALTERNATIVE II 

1. Sum of current closure and postclosure cost estimates [total of all cost estimates shown in the five paragraphs above] 	$	

2. Current bond rating of most recent issuance of this firm and name of rating service 		

3. Date of issuance of bond 		

4. Date of maturity of bond  		

*5.Tangible net worth [if any portion of the closure and postclosure cost estimates is included in “total liabilities” on your firm's financial statements, you may add the amount of that portion to this line] 	$ 	

*6.Total assets in U.S. (required only if less than 90% of 
firm's assets are located in the U.S.) 	$	

7. Is line 5 at least $10 million? 	[Yes/No] 

8. Is line 5 at least 6 times line 1? 	[Yes/No] 

*9. Are at least 90% of firm's assets located in the U.S.? 
If not, complete line 10 	[Yes/No] 

10. Is line 6 at least 6 times line 1? 	[Yes/No] 
I hereby certify that the wording of this letter is identical to the wording as specified in California Code of Regulations, title 22, section 66264.151, subsection (f) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 

	[Signature] 
	[Name] 
	[Title] 
	[Date] 
(g) A letter from the chief financial officer, as specified in section 66264.147, subsection (f) or section 66265.147, subsection (f) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted. 

LETTER FROM CHIEF FINANCIAL OFFICER 

Department of Toxic Substances Control 
Financial Responsibility Section 
8800 Cal Center Drive 
Sacramento, California 95826 
I am the chief financial officer of [insert firm's name and address]. This letter is in support of the use of the financial test to demonstrate financial responsibility for liability coverage [insert “and closure and/or postclosure care” if applicable] as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 
[Fill out the following paragraphs regarding facility(ies)/transportable treatment unit (TTU) and liability coverage. If there are no facility(ies)/TTU(s) that belong in a particular paragraph, write “None” in the space indicated. For each facility/TTU, include the hazardous waste facility/TTU EPA Identification Number, name, and address, and current liability coverage (indicate sudden and nonsudden coverage amounts separately)]. 
The firm identified above is the owner or operator of the following facility(ies)/TTU(s) for which liability coverage for [insert “sudden” or “nonsudden” or “both sudden and nonsudden”] accidental occurrences is being demonstrated through the financial test specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147: 
The firm identified above guarantees, through the guarantee specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147, liability coverage for [insert “sudden” or “nonsudden” or both “sudden and nonsudden”] accidental occurrences at the following facility(ies)/TTU(s) owned or operated by the following: 
The firm identified above is [insert one or more: (1) the direct or higher tier parent corporation of the owner or operator; (2) owned by the same parent corporation as the parent corporation of the owner or operator, and receiving the following value in consideration of the guarantee [insert dollars]; or (3) engaged in the following substantial business relationship with the owner or operator [insert business relationship], and receiving the following value in consideration of the guarantee [insert dollars]]. [Attach a written description of the business relationship or a copy of the contract establishing such relationship to this letter.] 
[If you are using the financial test to demonstrate coverage of both liability and financial assurance for closure and/or postclosure care, fill in the following five paragraphs regarding facilities and associated closure and postclosure cost estimates. If there are no facilities that belong in a particular paragraph, write “None” in the space indicated. For each facility/TTU, include its hazardous waste facility/TTU EPA Identification Number, name, address and current closure and/or postclosure cost estimates. Identify each cost estimate separately as to whether it is for closure or postclosure care.] 
1. The firm identified above is the owner or operator of the following facilities/TTUs for which financial assurance for closure and/or postclosure or liability coverage is demonstrated through the financial test as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, section 66264.143, subsection (f), section 66264.145, subsection (f), section 66265.143, subsection (e), and section 66265.145, subsection (e). The current closure and/or postclosure cost estimates covered by the test are shown for each facility/TTU: 
2. The firm identified above guarantees, through the guarantee as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, section 66264.143, subsection (f), section 66264.145, subsection (f), section 66265.143, subsection (e), and section 66265.145, subsection (e), the closure and/or postclosure care or liability coverage of the following facilities/TTUs owned or operated by the guaranteed party. The current cost estimates for the closure or postclosure care so guaranteed are shown for each facility/TTU: 
3. In States where the U.S. Environmental Protection Agency is not administering the financial requirements of subpart H of 40 CFR parts 264 and 265, this firm as owner, operator or guarantor is demonstrating financial assurance for the closure or postclosure care of the following facilities/TTUs through the use of a financial test equivalent or substantially equivalent to the financial test specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, section 66264.143, subsection (f), section 66264.145, subsection (f), section 66265.143, subsection (e), and section 66265.145, subsection (e). The current closure and/or postclosure cost estimates covered by such a test are shown for each facility/TTU: 
4. The firm identified above is the owner or operator of the following facilities/TTUs for which financial assurance for closure or, if a disposal facility, postclosure care, is not demonstrated either to U.S. Environmental Protection Agency or a State through the financial test or any other financial assurance mechanism as specified in California Code of Regulations, title 22, division 4.5, chapters 14 and 15, article 8 or equivalent or substantially equivalent State mechanisms. The current closure and/or postclosure cost estimates not covered by such financial assurance are shown for each facility/TTU: 
5. The firm is the owner or operator or guarantor of the following Underground Injection Control facilities for which financial assurance for plugging and abandonment is required under 40 CFR part 144 and is assured through a financial test. The current closure cost estimates as specified in 40 CFR144.62 are shown for each facility: 
This firm [insert “is required” or “is not required”] to file a Form 10K with the Securities and Exchange Commission (SEC) for the latest fiscal year. 
The fiscal year of this firm ends on [insert date]. The figures for the following items marked with an asterisk are derived from this firm's independently audited, year-end financial statements for the latest completed fiscal year, ended [insert date]. 
This firm is using [insert “Alternative I” or “Alternative II”] for Part A [and [if this financial test includes closure and/or postclosure care, insert “Alternative I” or “Alternative II”] for Part B]. 

Part A. Liability Coverage for Accidental Occurrences 
[Fill in Alternative I if the criteria of paragraph (f)(1)(A) of section 66264.147 or section 66265.147 are used. Fill in Alternative II if the criteria of paragraph (f)(1)(B) of section 66264.147 or section 66265.147 are used.] 

ALTERNATIVE I 

1. Amount of annual aggregate liability coverage to be 
demonstrated 	$	

*2. Current assets 	$	

*3. Current liabilities 	$ 	

4. Net working capital [line 2 minus line 3] 	$	

*5. Tangible net worth 	$	

*6. If less than 90 percent of assets are located in the 
United States, give total United States assets 	$	

7. Is line 5 at least $10 million? 	[Yes/No] 

8. Is line 4 at least 6 times line 1? 	[Yes/No] 

9. Is line 5 at least 6 times line 1? 	[Yes/No] 

10. Are at least 90 percent of assets located in the United 
States? If not, complete line 11. 	[Yes/No] 

11. Is line 6 at least 6 times line 1? 	[Yes/No]

ALTERNATIVE II 

1. Amount of annual aggregate liability coverage to be 
demonstrated 	$	

2. Current bond rating of most recent issuance 
and name of rating service 	$	

3. Date of issuance of bond 	$	

4. Date of maturity of bond 	$	

*5. Tangible net worth 	$	

*6. Total assets in the United States [required only if less 
than 90 percent of assets are located in the United 
States] 	$	

7. Is line 5 at least $10 million? 	[Yes/No] 

8. Is line 5 at least 6 times line 1? 	[Yes/No] 

*9. Are at least 90 percent of assets located in the United 
States? 	[Yes/No] 

10. Is line 9 at least 6 times line 1? 	[Yes/No] 
[Fill in Part B if you are using the financial test to demonstrate assurance of both liability coverage and closure or postclosure care.] 

Part B. Closure or Postclosure Care and Liability Coverage 
[Fill in Alternative I if the criteria of paragraphs (f)(1)(A) of 66264.143 or 66264.145 and/or (f)(1)(A) of 66264.147 are used or if the criteria of paragraphs (e)(1)(A) of 66265.143 or 66265.145 and/or (f)(1)(A) of 66265.147 are used. Fill in Alternative II if the criteria of paragraphs (f)(1)(B) of 66264.143 or 66264.145 and/or (f)(1)(B) of 66264.147 are used or if the criteria of paragraphs (e)(1)(B) of 66265.143 or 66265.145 and (f)(1)(B) of 66265.147 are used.] 

ALTERNATIVE I 

1. Sum of current closure and postclosure cost estimates (Total 
of all cost estimates shown in the paragraphs of the letter 
to the Director of the Department of Toxic Substances 
Control) 	$	

2. Amount of annual aggregate liability coverage to be 
demonstrated 	$	

3. Sum of lines 1 and 2 	$	

*4. Total liabilities (if any portion of your closure or 
postclosure cost estimate is included in your total 
liabilities, you may deduct that portion from this line 
and add that amount to lines 5 and 6) 	$	

*5. Tangible net worth 	$	

*6. Net worth 	$	

*7. Current assets 	$	

*8. Current liabilities 	$	

9. Net working capital (line 7 minus line 8) 	$	

10. The sum of net income plus depreciation, depletion, 
and amortization 	$	

*11. Total assets in the United States (required only if less 
than 90 percent of firm's assets are located in the 
United States) 	$	

12. Is line 5 at least $10 million?	[Yes/No] 

13. Is line 5 at least 6 times line 3? 	[Yes/No] 

14. Is line 9 at least 6 times line 3? 	[Yes/No] 

*15. Are at least 90 percent of the firm's assets located 
in the United States? If not, complete line 16 	[Yes/No] 

16. Is line 11 at least 6 times line 3? 	[Yes/No] 

17. Is line 4 divided by line 6 less than 2.0? 	[Yes/No] 

18. Is line 10 divided by line 4 greater than 0.1?	[Yes/No] 

19. Is line 7 divided by line 8 greater than 1.5? 	[Yes/No] 

ALTERNATIVE II 

1. Sum of current closure and postclosure cost estimates (Total 
of all cost estimates shown in the paragraphs of the letter 
to the Director of the Department of Toxic Substances 
Control 	$	

2. Amount of annual aggregate liability coverage to be 
demonstrated 	$	

3. Sum of lines 1 and 2 	$	

4. Current bond rating of most recent issuance and name 
of rating service: 		

5. Date of issuance of bond: 		

6. Date of maturity of bond:  		

*7. Tangible net worth (if any portion of the closure and 
post closure cost estimates is included in “total liabilities” 
on your firm's financial statements, you may add the 
amount of that portion to this line.) 		

*8. Total assets in the United States (required only if 
less than 90 percent of firm's assets are located in the 
United States) 	$_____ 

9. Is line 7 at least $10 million? 	[Yes/No] 

10. Is line 7 at least 6 times line 3? 	[Yes/No] 

*11. Are at least 90 percent of the firm's assets located 
in the United States? If not, complete line 12.	[Yes/No] 

12. Is line 8 at least 6 times line 3? 	[Yes/No] 
I hereby certify that the wording of this letter is identical to the wording as specified in California Code of Regulations, title 22, section 66264.151, subsection (g) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 
[Signature] 
[Name] 
[Title] 
[Date] 
(h)(1) A corporate guarantee, as specified in section 66264.143, subsection (f) or section 66264.145, subsection (f), or section 66265.143, subsection (e) or section 66265.145, subsection (e) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

CORPORATE GUARANTEE FOR CLOSURE OR 
POSTCLOSURE CARE 

Department of Toxic Substances Control 
Financial Responsibility Section 
8800 Cal Center Drive 
Sacramento, California 95826 
Guarantee made this [insert date] by [insert name of guaranteeing entity], a business corporation organized under the laws of the State of [insert name of State], herein referred to as guarantor, to the Department of Toxic Substances Control (DTSC), obligee, on behalf of our subsidiary [insert owner or operator name and business address]. 
This guarantee is made on behalf of the [insert owner or operator name], which is [one of the following: “our subsidiary”; “a subsidiary of (name and address of common parent corporation) of which guarantor is a subsidiary”; or “an entity with which the guarantor has a substantial business relationship, as defined in California Code of Regulations, title 22, division 4.5, chapter 10, article 2, section 66260.10”] to the DTSC. 

RECITALS 
1. Guarantor meets or exceeds the financial test criteria and agrees to comply with the reporting requirements for guarantors as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, section 66264.143, subsection (f), section 66264.145, subsection (f), section 66265.143, subsection (e), and section 66265.145, subsection (e). 
2. [Insert owner or operator's name] owns at least 50 percent of the voting stock of and/or operates the following hazardous waste management facility(ies)/transportable treatment unit(s) (TTU) covered by this guarantee: [List for each facility/TTU: EPA Identification Number, name, and address. Indicate for each whether guarantee is for closure, postclosure care, or both. Include closure and postclosure amounts, shown separately.] 
3. “Closure plans” and “postclosure plans” as used below refer to the plans maintained as required by California Code of Regulations, title 22, division 4.5, chapters 14 and 15, article 7, for the closure and postclosure care of facilities/TTU(s) as identified above. 
4. For value received from [insert owner or operator name], guarantor guarantees to DTSC that in the event that [insert owner or operator name] fails to perform [insert “closure”, “postclosure care” or “closure and postclosure care”] of the above facility(ies)/TTU(s) in accordance with the closure or postclosure plans and other permit or interim status requirements whenever required to do so, the guarantor shall do so or establish a trust fund as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, as applicable, in the name of [insert owner or operator name] in the amount of the current closure or postclosure cost estimates as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 
5. Guarantor agrees that if, at any time during or at the end of any fiscal year before the termination of this guarantee, the guarantor fails to meet the financial test criteria, guarantor shall send within 90 days, by certified mail, notice to DTSC and to [insert owner or operator name] that he or she intends to provide alternate financial assurance as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8 as applicable, in the name of [insert owner or operator name]. Within 120 days after the end of such fiscal year or other occurrence, the guarantor shall establish such alternate financial assurance unless [insert owner or operator name] has done so. 
6. The guarantor agrees to notify DTSC by certified mail of a voluntary or involuntary proceeding under Title 11 (Bankruptcy), United States Code, naming guarantor as debtor within ten (10) days after commencement of the proceeding. 
7. Guarantor agrees that within 30 days after being notified by DTSC of a determination that guarantor no longer meets the financial test criteria or that he or she is disallowed from continuing as a guarantor of closure or postclosure care, he or she shall establish alternate financial assurance as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, as applicable, in the name of [insert owner or operator name] unless [insert owner or operator name] has done so. 
8. Guarantor agrees to remain bound under this guarantee notwithstanding any or all of the following: amendment or modification of the closure or postclosure plan, amendment or modification of the permit, the extension or reduction of the time of performance of closure or postclosure, or any other modification or alteration of an obligation of the owner or operator pursuant to California Code of Regulations, title 22, division 4.5. 
9. Guarantor agrees to remain bound under this guarantee for as long as [insert owner or operator name] shall comply with the applicable financial assurance requirements of California Code of Regulations, title 22, division 4.5 for the above listed facilities/TTUs, except as provided in paragraph 10 of this agreement. 
10. [Insert the following language if the guarantor is (a) a direct or higher-tier corporate parent, or (b) a firm whose parent corporation is also the parent corporation of the owner or operator]: 
Guarantor may terminate this guarantee by sending notice by certified mail to DTSC and to [insert owner or operator name], provided that this guarantee may not be terminated unless and until the [insert owner or operator name] obtains, and DTSC approve(s), alternate closure and/or postclosure care coverage complying with California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 
[Insert the following language if the guarantor is a firm qualifying as a guarantor due to its “substantial business relationship” with its owner or operator.] 
Guarantor may terminate this guarantee 120 days following the receipt of notification, through either registered or certified mail, by DTSC and by [insert owner or operator name]. 
11. Guarantor agrees that if [insert owner or operator name] fails to provide alternate financial assurance as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, as applicable, and obtain written approval of such assurance from DTSC within 90 days after a notice of cancellation by the guarantor is received by DTSC from guarantor, guarantor shall provide such alternate financial assurance in the name of [insert owner or operator name]. 
12. Guarantor expressly waives notice of acceptance of this guarantee by DTSC or by [insert owner or operator name]. Guarantor also expressly waives notice of amendments or modifications of the closure and/or postclosure plan and of amendments or modifications of the facility/TTU permit(s). 
The parties hereby certify that the wording of this guarantee is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (h)(1) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 
Effective date: 
[Name of guarantor] 
[Authorized signature for guarantor] 
[Name of person signing] 
[Title of person signing] 
Signature of witness or notary: 
(2) A guarantee, as specified in section 66264.147, subsection (f) or section 66265.147, subsection (f) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

GUARANTEE FOR LIABILITY COVERAGE 

Department of Toxic Substances Control 
Financial Responsibility Section 
8800 Cal Center Drive 
Sacramento, California 95826 
Guarantee made by this [insert date] by [insert name of guaranteeing entity] a business corporation organized under the laws of [if incorporated within the United States, insert “the State of [insert name of State]”; if incorporated outside the United States, insert the name of the country in which incorporated, the principal place of business within the United States, and the name and address of the registered agent in the State of the principal place of business], herein referred to as guarantor. This guarantee is made on behalf of [insert owner or operator name] of [insert business address] which is one of the following: [insert “our subsidiary”; “a subsidiary of [insert name and address of common parent corporation] of which guarantor is a subsidiary”; or “an entity with which guarantor has a substantial business relationship, as defined in California Code of Regulations, title 22, division 4.5, chapter 10, article 2, section 66260.10”], to any and all third parties who have sustained or may sustain bodily injury or property damage caused by [insert “sudden” and/or “nonsudden”] accidental occurrences arising from operation of the facility(ies)/transportable treatment unit(s) (TTU) covered by this guarantee. 

RECITALS 
1. Guarantor meets or exceeds the financial test criteria and agrees to comply with the reporting requirements for guarantors as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147. 
2. [Insert owner or operator name] owns or operates the following hazardous waste management facility(ies)/TTU(s) covered by this guarantee: [List for each facility/TTU: EPA Identification Number, name, and address; and if guarantor is incorporated outside the United States, list the name and address of the guarantor's registered agent in each State.]. This corporate guarantee satisfies California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, third-party liability requirements for [insert “sudden”, “nonsudden” or “both sudden and nonsudden”] accidental occurrences in the above-named owner or operator facility(ies)/TTU(s) for coverage in the amount of $ [insert dollar amount] per facility/TTU per occurrence and $ [insert dollar amount] annual aggregate. 
3. For value received from [insert owner or operator name], guarantor guarantees to any and all third parties who have sustained or may sustain bodily injury or property damage caused by [insert “sudden” and/or “nonsudden”] accidental occurrences arising from operations of the facility(ies)/TTU(s) covered by this guarantee that in the event that [insert owner or operator name] fails to satisfy a judgment or award based on a determination of liability for bodily injury or property damage to third parties caused by [insert “sudden” and/or “nonsudden”] accidental occurrences, arising from the operation of the above-named facility(ies)/TTU(s), or fails to pay an amount agreed to in settlement of a claim arising from or alleged to arise from such injury or damage, the guarantor will satisfy such judgment(s), award(s), or settlement agreement(s) up to the limits of coverage identified above. 
4. Such obligation does not apply to the following: 
(a) Bodily injury or property damage for which [insert owner or operator name] is obligated to pay damages by reason of the assumption of liability in a contract or agreement. This exclusion does not apply to liability for damages that [insert owner or operator name] would be obligated to pay in the absence of the contract or agreement. 
(b) Any obligation of [insert owner or operator name] under a workers' compensation, disability benefits, or unemployment compensation law or any similar laws. 
(c) Bodily injury to: 
(1) An employee of [insert owner or operator name] arising from, and in the course of, employment by [insert owner or operator name]; or 
(2) The spouse, child, parent, brother, or sister of that employee as a consequence of, or arising from, and in the course of employment by [insert owner or operator name]. This exclusion applies: 
(A) Whether [insert owner or operator name] may be liable as an employer or in any other capacity; and 
(B) To any obligation to share damages with or repay another person who shall pay damages because of the injury to persons identified in paragraphs (A) and (B). 
(d) Bodily injury or property, damages arising out of the ownership, maintenance, use, or entrustment to others of any aircraft, motor vehicle, or watercraft. 
(e) Property damage to: 
(1) Any property owned, rented, or occupied by [insert owner or operator name]; 
(2) Premises that are sold, given away, or abandoned by [insert owner or operator name] if the property damage arises out of any part of those premises; 
(3) Property loaned to [insert owner or operator name]; 
(4) Personal property in the care, custody, or control of [insert owner or operator name]; 
(5) That particular part of real property on which the [insert owner or operator name] or any contractor or subcontractors working directly or indirectly on behalf of the [insert owner or operator name] are performing operations, if the property damage arises out of these operations. 
5. Guarantor agrees that if, at any time during or at the end of any fiscal year before termination of this guarantee, the guarantor fails to meet the financial test criteria, guarantor shall send within ninety (90) days, by certified mail, notice to the Department of Toxic Substances Control (DTSC) and to [insert owner or operator name] that he or she intends to provide alternate liability coverage as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147, as applicable, in the name of [insert owner or operator name]. Within 90 days after the end of such fiscal year, the guarantor shall establish such liability coverage unless [insert owner or operator name] has done so. 
6. The guarantor agrees to notify the DTSC by certified mail of a voluntary or involuntary proceeding under Title 11 (Bankruptcy), United States Code, naming guarantor as debtor, within ten (10) days after commencement of the proceedings. 
7. Guarantor agrees that within thirty (30) days after being notified by the DTSC of a determination that the guarantor no longer meets the financial test criteria or that he or she is disallowed from continuing as a guarantor, he or she shall establish alternate liability coverage as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147 in the name of [insert owner/operator name], unless the [insert owner or operator name name] has done so. 
8. Guarantor reserves the right to modify this agreement to take into account amendment or modification of the liability requirements set by California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147, provided that such modification shall become effective only if DTSC does not disapprove the modification within thirty (30) days of receipt of notification of the modification. 
9. Guarantor agrees to remain bound under this guarantee for so long as [insert owner/operator name] shall comply with the applicable requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147 for the above-listed facility(ies)/TTU(s), except as provided in paragraph 10 of this agreement. 
10. [Insert the following language if the guarantor is (a) a direct or higher-tier corporate parent, or (b) a firm whose parent corporation is also the parent corporation of the owner or operator name]: 
Guarantor may terminate this guarantee by sending notice by certified mail to DTSC, and to [insert owner or operator name], provided that this guarantee may not be terminated unless and until the [insert owner or operator name] obtains, and DTSC approves alternate liability coverage complying with California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147. 
[Insert the following language if the guarantor is a firm qualifying as a guarantor due to its “substantial business relationship” with the owner or operator]. 
Guarantor may terminate this guarantee 120 days following receipt of notification, through certified mail, by DTSC and by [insert owner or operator name]. 
11. Guarantor hereby expressly waives notice of acceptance of this guarantee by any party. 
12. Guarantor agrees that this guarantee is in addition to and does not affect any other responsibility or liability of the guarantor with respect to the covered facility(ies)/TTU(s). 
13. The guarantor shall satisfy a third-party liability claim only on receipt of one of the following documents: 
(a) Certification from the Principal and the third-party liability claimant(s) that the liability claim should be paid. The certification shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

CERTIFICATION OF VALID CLAIM 
The undersigned, as parties [insert principal name] and [insert name and address of third-party claimant(s)], hereby certify that the claim of bodily injury and/or property damage caused by a [insert “sudden” and/or “nonsudden”] accidental occurrence arising from operating [insert Principal's name and facility type(s) hazardous waste “treatment”, “storage” or disposal” facility/transportable treatment unit (TTU)] should be paid in the amount of $ [insert dollars]. 
[Signatures] 
Principal 
(Notary) Date 
[Signatures] 
Claimant(s) 
(Notary) Date 
(b) A valid final court order establishing a judgment against the Principal for bodily injury or property damage caused by sudden or nonsudden accidental occurrences arising from the operation of the Principal's facility/TTU or group of facility(ies)/TTU(s). 
14. In the event of combination of this guarantee with another mechanism to meet liability requirements, this guarantee will be considered [insert “primary” or “excess”] coverage. 
I hereby certify that the wording of this guarantee is identical to the wording as specified in California Code of Regulations, title 22, section 66264.151, subsection (h)(2) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 
Effective date: 
[Name of guarantor] 
[Authorized signature for guarantor] 
[Name of person signing] 
[Title of person signing] 
Signature of witness of notary: 
(i) A hazardous waste facility liability endorsement as required in section 66264.147 or section 66265.147 shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

HAZARDOUS WASTE FACILITY LIABILITY ENDORSEMENT 
1. This endorsement certifies that the Insurer has issued liability insurance covering bodily injury and property damage to [name of insured], [address of insured] in connection with the insured's obligation to demonstrate financial responsibility under California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147. The coverage applies at [list EPA Identification Number, name, and address for each facility/transportable treatment unit (TTU)] for [insert “sudden accidental occurrences,” “nonsudden accidental occurrences,” or “sudden and nonsudden accidental occurrences”; if coverage is for multiple facilities and the coverage is different for different facilities, indicate which facilities are insured for sudden accidental occurrences, which are insured for nonsudden accidental occurrences, and which are insured for both]. The limits of liability are [insert the dollar amount of the “each occurrence” and “annual aggregate” limits of the Insurer's liability], exclusive of legal defense costs. The coverage provided by the above policy is [insert “primary” or “excess”]. If excess coverage, the primary coverage mechanism shall also be demonstrated. 
2. The insurance afforded with respect to such occurrences is subject to all of the terms and conditions of the policy; provided, however, that any provisions of the policy inconsistent with subsections (a) through (e) of this Paragraph 1 are hereby amended to conform with subsections (a) through (e). The Insurer certifies the following with respect to the insurance described above: 
(a) Bankruptcy or insolvency of the insured shall not relieve the Insurer of its obligations under the policy. 
(b) The Insurer is liable for the payment of amounts within any deductible applicable to the policy, with a right of reimbursement by the insured for any such payment made by the Insurer. This provision does not apply with respect to that amount of any deductible for which coverage is demonstrated as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147. 
(c) Whenever requested by the Department of Toxic Substances Control (DTSC), the Insurer agrees to furnish to DTSC a signed duplicate original of the policy and all endorsements. 
(d) Cancellation of the insurance, whether by the Insurer, the insured, a parent corporation providing insurance coverage for its subsidiary, or by a firm having an insurable interest in and obtaining liability insurance on behalf of the owner or operator of the hazardous waste management facility/TTU, will be effective only upon written notice and only after the expiration of 60 days after a copy of such written notice is received by DTSC as evidenced by the return receipt. 
(e) Any other termination of the insurance will be effective only upon written notice and only after the expiration of thirty (30) days after a copy of such written notice is received by DTSC as evidenced by the return receipt. 
Attached to and forming part of policy No. [insert policy number] issued by [insert name of Insurer], herein called the Insurer, of [insert address of Insurer] to [insert name of insured] of [insert address of insured] this [insert day] day of [insert month] , [insert year] . The effective date of said policy is [insert day] day of [insert month]. 
I hereby certify that the wording of this endorsement is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (i), is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, and that the Insurer is licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more states. 
[Signature of Authorized Representative of Insurer] 
[Type name] 
[Title], Authorized Representative of [name of Insurer] 
[Address of Representative] 
(j) A certificate of liability insurance as required in section 66264.147 or section 66265.147 shall be worded as follows, except that the instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

HAZARDOUS WASTE FACILITY CERTIFICATE OF LIABILITY INSURANCE 
1. [Insert name of Insurer], (the “Insurer”), of [insert address of Insurer] hereby certifies that it has issued liability insurance covering bodily injury and property damage to [insert name of insured], (the “insured”), of [insert address of insured] in connection with the insured's obligation to demonstrate financial responsibility under California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, sections 66264.147 and 66265.147. The coverage applies at the facilities/transportable treatment units (TTU) [list EPA Identification Number, name, and address for each facility/TTU] for [insert “sudden accidental occurrences,” “nonsudden accidental occurrences,” or “sudden and nonsudden accidental occurrences”; if coverage is for multiple facilities and the coverage is different for different facilities, indicate which facilities are insured for sudden accidental occurrences, which are insured for nonsudden accidental occurrences, and which are insured for both]. The limits of liability are [insert the dollar amount of the “each occurrence” and “annual aggregate” limits of the Insurer's liability], exclusive of legal defense costs. The coverage is provided under policy number [insert policy number], issued on [insert date]. The effective date of said policy is [insert date]. The coverage provided by the above policy is [insert “primary” or “excess”]. If excess coverage, the primary coverage mechanism shall also be demonstrated. 
2. The Insurer further certifies the following with respect to the insurance described above: 
(a) Bankruptcy or insolvency of the insured shall not relieve the Insurer of its obligations under the policy. 
(b) The Insurer is liable for the payment of amounts within any deductible applicable to the policy, with a right of reimbursement by the insured for any such payment made by the Insurer. This provision does not apply with respect to that amount of any deductible for which coverage is demonstrated as specified in California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, section 66264.147 and 66265.147. 
(c) Whenever requested by the Department of Toxic Substances Control (DTSC), the Insurer agrees to furnish to DTSC a signed duplicate of the original of the policy and all endorsements. 
(d) Cancellation of the insurance, whether by the Insurer, the insured, a parent corporation providing insurance coverage for its subsidiary, or by a firm having an insurable interest in and obtaining liability insurance on behalf of the owner or operator of the hazardous waste management facility/TTU will be effective only upon written notice and only after the expiration of 60 days after a copy of such written notice is received by DTSC as evidenced by the return receipt. 
(e) Any other termination of the insurance will be effective only upon written notice and only after the expiration of thirty (30) days after a copy of such written notice is received by the DTSC as evidenced by the return receipt. 
I hereby certify that the wording of this instrument is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (j), is being executed in accordance with California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, and that the Insurer is licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more states. 
[Signature of authorized representative of Insurer] 
[Type name] 
[Title], Authorized Representative of [name of Insurer] 
[Address of Representative] 
(k) A letter of credit, as specified in section 66264.147, subsection (h) or section 66265.147, subsection (h) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

IRREVOCABLE STANDBY LETTER OF CREDIT 
Date: 
Irrevocable Standby Letter of Credit No.: 
Department of Toxic Substances Control 
Financial Responsibility Section 
8800 Cal Center Drive 
Sacramento, California 95826 
Dear Sir or Madam: 
We hereby establish our Irrevocable Standby Letter of Credit No. [insert number] in favor of [“any and all third-party liability claimants” or insert name of trustee of the standby trust fund], at the request and for the account of [insert owner or operator's name and address] for third-party liability awards or settlements up to [in words] U.S. dollars $ [insert dollar amount] per occurrence, and the annual aggregate amount of [in words] U.S dollars $ [insert dollar amount] for sudden accidental occurrences and/or for third-party liability awards or settlements up to the amount of [in words] U.S. dollars $ [insert dollar amount] per occurrence, and the annual aggregate amount of [in words] U.S dollars $ [insert dollar amount] for nonsudden accidental occurrences available upon presentation of a sight draft bearing reference to this letter of credit No. [insert letter of credit number], and 
[insert the following language if the letter of credit is being used without a standby trust fund:] “(1) A signed certificate reading as follows: 

CERTIFICATE OF VALID CLAIM 
The undersigned, as parties [insert principal name] and [insert name and address of third-party claimant(s)], hereby certify that the claim of bodily injury [insert and/or] property damage caused by a [insert “sudden” or “nonsudden”] accidental occurrence arising from operations of [insert principal name] hazardous waste transfer, treatment, storage, or disposal facility should be paid in the amount of $ [insert dollar amount]. We hereby certify that the claim does not apply to any of the following: 
(a) Bodily injury or property damage for which [insert principal name] is obligated to pay damages by reason of assumption of liability in a contract or agreement. This exclusion does not apply to liability for damages that [insert principal name] would be obligated to pay in the absence of the contract or agreement. 
(b) Any obligation of [insert principal name] under a workers' compensation, disability benefits, or unemployment compensation law or any similar law. 
(c) Bodily injury to: 
(1) An employee of [insert principal name] arising from, and in the course of, employment by [insert principal name]; or 
(2) The spouse, child, parent, brother or sister of that employee as a consequence of, or arising from, and in the course of employment by [insert principal name]. This exclusion applies: 
(A) Whether [insert principal name] may be liable as an employer or in any other capacity; and 
(B) To any obligation to share damages with or repay another person who shall pay damages because of the injury to persons identified in paragraphs (1) and (2). 
(d) Bodily injury or property damage arising out of the ownership, maintenance, use, or entrustment to others of any aircraft, motor vehicle or watercraft. 
(e) Property damage to: 
(1) Any property owned, rented or occupied by [insert principal name]; 
(2) Premises that are sold, given away, or abandoned by [insert principal name] if the property damage arises out of any part of those premises; 
(3) Property loaned to [insert principal name]; 
(4) Personal property in the care, custody or control of [insert principal name]; 
(5) That particular part of real property on which [insert principal name] or any contractors or subcontractors working directly or indirectly on behalf of [insert principal name] are performing operations, if the property damage arises out of these operations. 
[Signatures] 
Grantor 
[Signatures] 
Claimant(s) 
or (2) A valid final court order establishing a judgment against the Grantor for bodily injury or property damage caused by sudden or nonsudden accidental occurrences arising from operation of the Grantor's facility/transportable treatment unit (TTU) or group of facilities/TTUs. 
This letter of credit is effective as of [insert date] and shall expire on [insert date at least one year from effective date], but such expiration date shall be automatically extended for a period of [at least one year] on [insert date] and on each successive expiration date, unless, at least 120 days before the current expiration date, we notify both you, the Director of the Department of Toxic Substances Control, and [insert owner or operator name] by certified mail that we have decided not to extend this letter of credit beyond the current expiration date. 
Whenever this letter of credit is drawn on under and in compliance with the terms of this credit, we shall duly honor such draft upon presentation to us. 
[Include the following language if a standby trust fund is not being used: “In the event that this letter of credit is used in combination with another mechanism for liability coverage, this letter of credit shall be considered [insert “primary” or “excess” coverage].”] 
We certify that the wording of this letter of credit is identical to the wording as specified in California Code of Regulations, title 22, section 66264.151, subsection (k) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8 on the date shown below. 
[Signature[s] of official[s] of issuing institution] 
[Title[s] of official[s] of issuing institution] 
[Address of official[s] of issuing institution] 
[Date official[s] of issuing institution sign] 
This credit is subject to [insert “the most recent edition of the Uniform Customs and Practice for Documentary Credits, published and copyrighted by the International Chamber of Commerce,” or “the Uniform Commercial Code”]. 
(l) A surety bond, as specified in section 66264.147, subsection (i) or section 66265.147, subsection (i) of this division, shall be worded as follows: except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

PAYMENT BOND 
Surety Bond No. [insert number] 
Parties [insert name and address of owner or operator], Principal, incorporated in [insert State of incorporation] of [insert city and State of principal place of business] and [insert name and address of surety company(ies)], Surety Company(ies), of [insert surety(ies) place of business]. 
EPA Identification Number, name, and address for each facility/transportable treatment unit (TTU) guaranteed by this bond: [insert EPA Identification Number, name, and address for each facility/transportable treatment unit] 

	Sudden accidental 	Nonsudden accidental 
	occurrences	occurrences

Penal Sum Per	[insert dollar amount]	[insert dollar amount] 
Occurrence

Annual Aggregate	[insert dollar amount]	[insert dollar amount] 
			
Purpose: This is an agreement between the Surety(ies) and the Principal under which the Surety(ies), its (their) successors and assignees, agree to be responsible for the payment of claims against the Principal for bodily injury and/or property damage to third parties caused by [“sudden” and/or “nonsudden”] accidental occurrences (as identified above) arising from the operations of the facility/TTU or group of facilities/TTUs in the sums prescribed herein; subject to the governing provisions and the following conditions. 
Governing Provisions: 
(1) Section 25205 of the California Health and Safety Code. 
(2) Rules and regulations of the Department of Toxic Substances Control (DTSC), California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8, particularly sections 66264.147 or 66265.147. 
Conditions: 
(1) The Principal is subject to the applicable governing provisions that require the Principal to have and maintain liability coverage for bodily injury and property damage to third parties caused by [“sudden” and/or “nonsudden”] accidental occurrences (as identified above) arising from operations of the facility/TTU or group of facilities/TTUs. Such obligation does not apply to any of the following: 
(a) Bodily injury or property damage for which [insert principal name] is obligated to pay damages by reason of the assumption of liability in a contract or agreement. This exclusion does not apply to liability for damages that [insert principal name] would be obligated to pay in the absence of the contract or agreement. 
(b) Any obligation of [insert principal name] under a workers' compensation, disability benefits, or unemployment compensation law or similar law. 
(c) Bodily injury to: 
1. An employee of [insert principal name] arising from, and in the course of, employment by [insert principal name]; or 
2. The spouse, child, parent, brother or sister of that employee as a consequence of, or arising from, and in the course of employment by [insert principal name]. This exclusion applies: 
A. Whether [insert principal name] may be liable as an employer or in any other capacity; and 
B. To any obligation to share damages with or repay another person who shall pay damages because of the injury to persons identified in paragraphs (1) and (2). 
(d) Bodily injury or property damage arising out of the ownership, maintenance, use, or entrustment to others of any aircraft, motor vehicle or watercraft. 
(e) Property damage to: 
1. Any property owned, rented, or occupied by [insert principal name]; 
2. Premises that are sold, given away or abandoned by [insert principal name] if the property damage arises out of any part of those premises; 
3. Property loaned to [insert principal name]; 
4. Personal property in the care, custody or control of [insert principal name]; 
5. That particular part of real property on which [insert principal name] or any contractors or subcontractors working directly or indirectly on behalf of [insert principal name] are performing operations, if the property damage arises out of these operations. 
(2) This bond assures that the Principal will satisfy valid third-party liability claims, as described in condition 1. 
(3) If the Principal fails to satisfy a valid third-party liability claim, as described above, the Surety(ies) becomes liable on this bond obligation. 
(4) The Surety(ies) shall satisfy a third-party liability claim only upon the receipt of one of the following documents: 
(a) Certification from the Principal and the third party claimant(s) that the liability claim should be paid. The certification shall be worded as follows, except that instructions in brackets to be replaced with the relevant information and the brackets deleted: 

CERTIFICATION OF VALID CLAIM 
The undersigned, as parties [insert name of principal] and [insert name and address of third party claimant(s)], hereby certify that the claim of bodily injury and/or property damage caused by a [“sudden” or “nonsudden”] accidental occurrence arising from operating [principal's] hazardous waste transfer, treatment, storage, or disposal facility/TTU should be paid in the amount of $ [insert dollar amount]. 
[Signature] 
Principal 
[Notary]:      Date: 
[Signature] 
Claimant(s): 
[Notary]:      Date: 
or (b) A valid final court order establishing a judgment against the Principal for bodily injury or property damage caused by sudden or nonsudden accidental occurrences arising from the operation of the Principal's facility/TTU or group of facilities/TTUs. 
(5) In the event of combination of this bond with another mechanism for liability coverage, this bond will be considered [insert “primary” or “excess”] coverage. 
(6) The liability of the Surety(ies) shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall amount in the aggregate to the penal sum of the bond. In no event shall the obligation of the Surety(ies) hereunder exceed the amount of said annual aggregate penal sum, provided that the Surety(ies) furnish(es) notice to DTSC forthwith of all claims filed and payments made by the Surety(ies) under this bond. 
(7) The Surety(ies) may cancel the bond by sending notice of cancellation by certified mail to the Principal and the DTSC, provided, however, that cancellation shall not occur during the 120 days beginning on the date of receipt of the notice of cancellation by the Principal and the DTSC, as evidenced by the return receipt. 
(8) The Principal may terminate this bond by sending written notice to the Surety(ies) and to the DTSC. 
(9) The Surety(ies) hereby waive(s) notification of amendments to applicable laws, statutes, rules, and regulations and agree(s) that no such amendment shall in any way alleviate its (their) obligation on this bond. 
(10) This bond is effective from [insert date] (12:01 a.m., standard time, at the address of the Principal as stated herein) and shall continue until terminated as described above. 
In Witness Whereof, the Principal and Surety(ies) have executed this Bond and have affixed their seals on the date set forth above. 
The persons whose signatures appear below hereby certify that they are authorized to execute this surety bond on behalf of the Principal and Surety(ies), that the wording of this surety bond is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (l), and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapters 14 and 15, article 8. 

PRINCIPAL 
[Signature(s)]:
[Name(s)]: 
[Title(s)]: 
[Corporate Seal]: 

CORPORATE SURETY(IES) 
[Name and address]: 
State of Incorporation: 
Liability Limit: 
[Signature(s)]: 
[Name(s) and title(s)]: 
[Corporate Seal]: 
[For every co-surety, provide signature(s), corporate seal, and other information in the same manner as for Surety above.] 
Bond premium: $ 
(m)(1) A trust agreement, as specified in section 66264.147, subsection (j) or section 66265.147, subsection (j) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

TRUST AGREEMENT 
Trust Agreement, the “Agreement,” entered into as of [date] by and between [name of the owner or operator], a [name of State] [insert “corporation,” “partnership,” “association,” or “proprietorship”], the “Grantor,” and [name of corporate trustee], [insert “incorporated in the State of [name of State]” or “a national bank”], the “Trustee.” 
WHEREAS, the Department of Toxic Substances Control (DTSC), a department of the State of California, has established certain regulations applicable to the Grantor, requiring that an owner or operator of a hazardous waste management facility/transportable treatment unit (TTU) or group of facilities/TTUs shall demonstrate financial responsibility for bodily injury and property damage to third parties caused by sudden accidental and/or nonsudden accidental occurrences arising from the operations of the facility/TTU or group of facilities/TTUs. 
WHEREAS, the Grantor has elected to establish a trust to assure all or part of such financial responsibility for the facilities/TTUs identified herein. 
WHEREAS, the Grantor, acting through its duly authorized officers, has selected the Trustee to be the trustee under this agreement, and the Trustee is willing to act as trustee. 
NOW, THEREFORE, the Grantor and the Trustee agree as follows: 
Section 1. Definitions. As used in this Agreement: 
(a) The term “Grantor” means the owner or operator who enters into this Agreement and any successor or assigns of the Grantor. 
(b) The term “Trustee” means the Trustee who enters into this Agreement and any successor Trustee. 
(c) The term “Beneficiary” means the State of California, Department of Toxic Substances Control. 
Section 2. Identification of Facilities/TTUs. This agreement pertains to the facilities/TTUs identified on the attached Schedule A [on Schedule A for each facility/TTU, list the EPA Identification Number, name, and address of the facility(ies)/TTU(s) and the amount of liability coverage, or portions thereof, if more than one instrument affords combined coverage as demonstrated by this Agreement]. 
Section 3. Establishment of Fund. The Grantor and Trustee hereby establish a trust fund, hereinafter the “Fund,” for the benefit of any and all third parties injured or damaged by [“sudden” and/or “nonsudden”] accidental occurrences arising from operation of the facility(ies)/TTU(s) covered by this Guarantee, in the amounts of [up to one million dollars] per occurrence _________ and [up to two million dollars] annual aggregate for sudden accidental occurrences and ___________ [up to three million dollars] per occurrence and ___________ [up to six million dollars] annual aggregate for non sudden occurrences, except that the Fund is not established for the benefit of third parties for the following: 
(a) Bodily injury or property damage for which [insert grantor] is obligated to pay damages by reason of the assumption of liability in a contract or agreement. This exclusion does not apply to liability for damages that [insert grantor] would be obligated to pay in the absence of the contract or agreement. 
(b) Any obligation of [insert grantor] under a workers' compensation, disability benefit, or unemployment compensation law or any similar law. 
(c) Bodily injury to: 
(1) An employee of [insert grantor] arising from, and in the course of, employment by [insert grantor]; or 
(2) The spouse, child, parent, brother, or sister of that employee as a consequence of, or arising from, and in the course of employment by [insert grantor]. 
This exclusion applies: 
(A) Whether [insert grantor] may be liable as an employer or in any other capacity; and 
(B) To any obligation to share damages with or repay another person who shall pay damages because of the injury to persons identified in paragraphs (1) and (2). 
(d) Bodily injury or property damage arising out of the ownership, maintenance, use or entrustment to others of any aircraft, motor vehicle or watercraft. 
(e) Property damage to: 
(1) Any property owned, rented, or occupied by [insert grantor]; 
(2) Premises that are sold, given away or abandoned by [insert grantor] if the property damage arises out of any part of those premises; 
(3) Property loaned to [insert grantor]; 
(4) Personal property in the care, custody or control of [insert grantor]; 
(5) That particular part of real property on which [insert grantor] or any contractors or subcontractors working directly or indirectly on behalf of [insert grantor] are performing operations, if the property damage arises out of these operations. 
In the event of combination with another mechanism for liability coverage, the fund shall be considered [insert “primary” or “excess”] coverage. 
The Fund is established initially as consisting of the property, which is acceptable to the Trustee, described in Schedule B attached hereto. Such property and any other property subsequently transferred to the Trustee is referred to as the Fund, together with all earnings and profits thereon, less any payments or distributions made by the Trustee pursuant to this Agreement. The Fund shall be held by the Trustee, IN TRUST, as hereinafter provided. The Trustee shall not be responsible nor shall it undertake any responsibility for the amount or adequacy of, nor any duty to collect from the Grantor, any payments necessary to discharge any liabilities of the Grantor established by the Beneficiary. 
Section 4. Payment for Bodily Injury or Property Damage. The Trustee shall satisfy a third party liability claim by making payments from the Fund only upon receipt of one of the following documents: 
(a) Certification from the Grantor and the third party claimants(s) that the liability claim should be paid. The certification shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted. 

CERTIFICATION OF VALID LIABILITY CLAIM 
The undersigned, as parties [insert name of grantor] and [insert name and address of third party claimant(s)], hereby certify that the claim of bodily injury and/or property damage caused by [“sudden” or “nonsudden”] accidental occurrence arising from operating hazardous waste transfer, treatment, storage, or disposal facility/TTU should be paid in the amount of $ [insert dollar amount]. 
[Signature] 
[Grantor] 
[Signature] 
[Claimant(s)] 
(b) A valid final court order establishing a judgment against the Grantor for bodily injury or property damage caused by sudden or nonsudden accidental occurrences arising from the operation of the Grantor's facility/TTU or group of facilities/TTUs. 
Section 5. Payments Comprising the Fund. Payments made to the Trustee for the Fund shall consist of cash or securities acceptable to the Trustee. 
Section 6. Trustee Management. The Trustee shall invest and reinvest the principal and income of the Fund and keep the Fund invested as a single fund, without distinction between principal and income, in accordance with general investment policies and guidelines which the Grantor may communicate in writing to the Trustee from time to time, subject, however, to the provisions of this section. In investing, reinvesting, exchanging, selling, and managing the Fund, the Trustee shall discharge his or her duties with respect to the trust fund solely in the interest of the Beneficiary and with the care, skill, prudence, and diligence under the circumstances then prevailing which persons of prudence, acting in a like capacity and familiar with such matters, would use in the conduct of an enterprise of a like character and with like aims; except that: 
(i) Securities or other obligations of the Grantor, or any other owner or operator of the facilities/TTUs, or any of their affiliates as defined in the Investment Company Act of 1940, as amended, 15 United States Code section 80a-2(a), shall not be acquired or held, unless they are securities or other obligations of the Federal or State government; 
(ii) The Trustee is authorized to invest the Fund in time or demand deposits of the Trustee, to the extent insured by an agency of the Federal or State government; and 
(iii) The Trustee is authorized to hold cash awaiting investment or distribution uninvested for a reasonable time and without liability for the payment of interest thereon. 
Section 7. Commingling and Investment. The Trustee is expressly authorized in its discretion: 
(a) To transfer from time to time any or all of the assets of the Fund to any common, commingled or collective trust fund created by the Trustee in which the Fund is eligible to participate, subject to all of the provisions thereof, to be commingled with the assets of other trusts participating therein; and 
(b) To purchase shares in any investment company registered under the Investment Company Act of 1940, 15 United States Code section 80a-1 et seq., including one which may be created, managed, underwritten or to which investment advice is rendered or the shares of which are sold by the Trustee. The Trustee may vote such shares in its discretion. 
Section 8. Express Powers of Trustee. Without in any way limiting the powers and discretion conferred upon the Trustee by the other provisions of this Agreement or by law, the Trustee is expressly authorized and empowered: 
(a) To sell, exchange, convey, transfer or otherwise dispose of any property held by it, by public or private sale. No person dealing with the Trustee shall be bound to see to the application of the purchase money or to inquire into the validity or expediency of any such sale or other disposition; 
(b) To make, execute, acknowledge and deliver any and all documents of transfer and conveyance and any and all other instruments that may be necessary or appropriate to carry out the powers herein granted; 
(c) To register any securities held in the Fund in its own name or in the name of a nominee and to hold any security in bearer form or in book entry, or to combine certificates representing such securities with certificates of the same issue held by the Trustee in other fiduciary capacities, or to deposit or arrange for the deposit of such securities in a qualified central depositary even though, when so deposited, such securities may be merged and held in bulk in the name of the nominee of such depositary with other securities deposited therein by another person, or to deposit or arrange for the deposit of any securities issued by the United States Government, or any agency or instrumentality thereof, with a Federal Reserve bank, but the books and records of the Trustee shall at all times show that all such securities are part of the Fund; 
(d) To deposit any cash in the Fund in interest-bearing accounts maintained or savings certificates issued by the Trustee, in its separate corporate capacity, or in any other banking institution affiliated with the Trustee, to the extent insured by an agency of the Federal or State government; and 
(e) To compromise or otherwise adjust all claims in favor of or against the Fund. 
Section 9. Taxes and Expenses. All taxes of any kind that may be assessed or levied against or in respect of the Fund and all brokerage commissions incurred by the Fund shall be paid from the Fund. All other expenses incurred by the Trustee in connection with the administration of this Trust, including fees for legal services rendered to the Trustee, the compensation of the Trustee to the extent not paid directly by the Grantor, and all other proper charges and disbursements of the Trustee shall be paid from the Fund. 
Section 10. Annual Valuation. The Trustee shall annually, at least 30 days prior to the anniversary date of establishment of the Fund, furnish to the Grantor and to the Beneficiary a statement confirming the value of the Trust. Any securities in the Fund shall be valued at market value as of no more than 60 days prior to the anniversary date of establishment of the Fund. The failure of the Grantor to object in writing to the Trustee within 90 days after the statement has been furnished to the Grantor and Beneficiary shall constitute a conclusively binding assent by the Grantor, barring the Grantor from asserting any claim or liability against the Trustee with respect to matters disclosed in the statement. 
Section 11. Advice of Counsel. The Trustee may from time to time consult with counsel, who may be counsel to the Grantor, with respect to any question arising as to the construction of this Agreement or any action to be taken hereunder. The Trustee shall be fully protected, to the extent permitted by law, in acting upon the advice of counsel. 
Section 12. Trustee Compensation. The Trustee shall be entitled to reasonable compensation for its services as agreed upon in writing from time to time with the Grantor. 
Section 13. Successor Trustee. The Trustee may resign or the Grantor may replace the Trustee, but such resignation or replacement shall not be effective until the Grantor has appointed a successor trustee and this successor accepts the appointment. The successor trustee shall have the same powers and duties as those conferred upon the Trustee hereunder. Upon the successor trustee's acceptance of the appointment, the Trustee shall assign, transfer, and pay over to the successor trustee the funds and properties then constituting the Fund. If, for any reason, the Grantor cannot or does not act in the event of the resignation of the Trustee, the Trustee may apply to a court of competent jurisdiction for the appointment of a successor trustee or for instructions. The successor trustee shall specify the date on which it assumes administration of the trust in a writing sent to the Grantor, Beneficiary, and the present Trustee by certified mail 10 days before such change becomes effective. Any expenses incurred by the Trustee as a result of any of the acts contemplated by this Section shall be paid as provided in Section 9. 
Section 14. Instructions to the Trustee. All orders, requests, and instructions by the Grantor to the Trustee shall be in writing, signed by such persons as are designated in the attached Exhibit A or such other designees as the Grantor may designate by amendment to Exhibit A. The Trustee shall be fully protected in acting without inquiry in accordance with the Grantor's orders, requests and instructions. All orders, requests, and instructions by the Beneficiary to the Trustee shall be in writing, signed by the Beneficiary designees, and the Trustee shall act and shall be fully protected in acting in accordance with such orders, requests, and instructions. The Trustee shall have the right to assume, in the absence of written notice to the contrary, that no event constituting a change or a termination of the authority of any person to act on behalf of the Grantor or the Beneficiary hereunder has occurred. The Trustee shall have no duty to act in the absence of such orders, requests, and instructions from the Grantor and/or Beneficiary, except as provided for herein. 
Section 15. Notice of Nonpayment. If a payment for bodily injury or property damage is made under Section 4 of this Trust, the Trustee shall notify the Grantor of such payment and the amount(s) thereof within five (5) working days. The Grantor shall, on or before the anniversary date of the establishment of the Fund following such notice, either make payments to the Trustee in amounts sufficient to cause the Trust to return to its value immediately prior to the payment of claims under Section 4, or shall provide written proof to the Trustee that other financial assurance for liability coverage has been obtained equaling the amount necessary to return the Trust to its value prior to the payment of claims. If the Grantor does not either make payments to the Trustee or provide the Trustee with such proof, the Trustee shall within 10 working days after the anniversary date of the establishment of the Fund provide a written notice of nonpayment to the Beneficiary. 
Section 16. Amendment of Agreement. This agreement may be amended by an instrument in writing executed by the Grantor, the Trustee, and the Beneficiary, or by the Trustee and the Beneficiary, if the Grantor ceases to exist. 
Section 17. Irrevocability and Termination. Subject to the right of the parties to amend this Agreement as provided in Section 16, this Trust shall be irrevocable and shall continue until terminated at the written agreement of the Grantor, the Trustee, and the Beneficiary, or by the Trustee and the Beneficiary, if the Grantor ceases to exist. Upon termination of the Trust, all remaining trust property, less final trust administration expenses, shall be delivered to the Grantor. 
The Beneficiary will agree to termination of the Trust when the owner or operator substitutes alternate financial assurance as specified in this section. 
Section 18. Immunity and Indemnification. The Trustee shall not incur personal liability of any nature in connection with any act or omission, made in good faith, in the administration of this Trust, or in carrying out any directions by the Grantor or the Beneficiary issued in accordance with this Agreement. The Trustee shall be indemnified and saved harmless by the Grantor or from the Trust Fund, or both, from and against any personal liability to which the Trustee may be subjected by reason of any act or conduct in its official capacity, including all expenses reasonably incurred in its defense in the event the Grantor fails to provide such defense. 
Section 19. Choice of Law. This Agreement shall be administered, construed and enforced according to the laws of the State of California. 
Section 20. Interpretation. As used in this Agreement, words in the singular include the plural and words in the plural include the singular. The descriptive headings for each Section of this Agreement shall not affect the interpretation or the legal efficacy of this Agreement. 
Section 21. Primary or Excess Coverage. In the event of combination with another mechanism for liability coverage, the fund shall be considered [insert “primary” or “excess”] coverage. 
IN WITNESS WHEREOF the parties have caused this Agreement to be executed by their respective officers duly authorized and their corporate seals to be hereunto affixed and attested as of the date first above written. The parties below certify that the wording of this Agreement is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (m) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 
[Signature of Grantor] 
[Title] 
Attest: 
[Title] 
[Seal] 
[Signature of Trustee] 
Attest: 
[Title] 
[Seal] 
(2) The following is an example of the certification of acknowledgement which shall accompany the trust agreement for a trust fund as specified in section 66264.147, subsection (j) or section 66265.147, subsection (j) of this division. State requirements may differ on the proper content of this acknowledgement. 
State of 
County of 
On this [date], before me personally came [owner or operator] to me known, who, being by me duly sworn, did depose and say that she/he resides at [address], that she/he is [title] of [corporation], the corporation described in and which executed the above instrument; that she/he knows the seal of said corporation; that the seal affixed to such instrument is such corporate seal; that it was so affixed by order of the Board of Directors of said corporation, and that she/he signed her/his name thereto by like order. 
[Signature of Notary Public] 
(n)(1) A standby trust agreement, as specified in section 66264.147, subsection (h) or section 66265.147, subsection (h) of this division, shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted: 

STANDBY TRUST AGREEMENT 
Trust Agreement, the “Agreement,” entered into as of [date] by and between [name of the owner or operator] a [name of a state] [insert “corporation,” “partnership,” “association,” or “proprietorship”], the “Grantor,” and [name of corporate trustee], [insert, “incorporated in the State of [name of State]” or “a national bank”], the “Trustee.” 
WHEREAS, the Department of Toxic Substances Control (DTSC), a department of the State of California, has established certain regulations applicable to the Grantor, requiring that an owner or operator of a hazardous waste management facility/transportable treatment unit (TTU) or group of facilities/TTUs shall demonstrate financial responsibility for bodily injury and property damage to third parties caused by sudden accidental and/or nonsudden accidental occurrences arising from the operations of the facility/TTU or group of facilities/TTUs. 
WHEREAS, the Grantor has elected to establish a standby trust into which the proceeds from a letter of credit may be deposited to assure all or part of such financial responsibility for the facilities/TTUs identified herein. 
WHEREAS, the Grantor, acting through its duly authorized officers, has selected the Trustee to be the trustee under this agreement, and the Trustee is willing to act as trustee. 
NOW, THEREFORE, the Grantor and the Trustee agree as follows: 
Section 1. Definitions. As used in this Agreement: 
(a) The term “Grantor” means the owner or operator who enters into this Agreement and any successor or assigns of the Grantor. 
(b) The term “Trustee” means the Trustee who enters into this Agreement and any successor Trustee. 
(c) The term “Beneficiary” means the State of California, Department of Toxic Substances Control. 
Section 2. Identification of Facilities/TTUs. This agreement pertains to the facilities/TTUs identified on the attached Schedule A [on Schedule A for each facility/TTU, list the EPA Identification Number, name, and address of the facility(ies)/TTU(s) and the amount of liability coverage, or portions thereof, if more than one instrument affords combined coverage as demonstrated by this Agreement] 
Section 3. Establishment of Fund. The Grantor and Trustee hereby establish a standby trust fund, hereinafter the “Fund,” for the benefit of any and all third parties injured or damaged by [“sudden” and/or “nonsudden”] accidental occurrences arising from operation of the facility(ies)/TTU(s) covered by this Guarantee, in the amounts of [up to one million dollars] per occurrence and ________ [up to two million dollars] annual aggregate for sudden accidental occurrences and _______ [up to three million dollars] per occurrence and _________ [up to six million dollars] annual aggregate for non sudden occurrences, except that the Fund is not established for the benefit of third parties for the following: 
(a) Bodily injury or property damage for which [insert grantor] is obligated to pay damages by reason of the assumption of liability in a contract or agreement. This exclusion does not apply to liability for damages that [insert grantor] would be obligated to pay in the absence of the contract or agreement. 
(b) Any obligation of [insert grantor] under a workers' compensation, disability benefit, or unemployment compensation law or any similar law. 
(c) Bodily injury to: 
(1) An employee of [insert grantor] arising from, and in the course of, employment by [insert grantor]; or 
(2) The spouse, child, parent, brother, or sister of that employee as a consequence of, or arising from, and in the course of employment by [insert grantor]. 
This exclusion applies: 
(A) Whether [insert grantor] may be liable as an employer or in any other capacity; and 
(B) To any obligation to share damages with or repay another person who shall pay damages because of the injury to persons identified in paragraphs (1) and (2). 
(d) Bodily injury or property damage arising out of the ownership, maintenance, use or entrustment to others of any aircraft, motor vehicle or watercraft. 
(e) Property damage to: 
(1) Any property owned, rented, or occupied by [insert grantor]; 
(2) Premises that are sold, given away or abandoned by [insert grantor] if the property damage arises out of any part of those premises; 
(3) Property loaned to [insert grantor]; 
(4) Personal property in the care, custody or control of [insert grantor]; 
(5) That particular part of real property on which [insert grantor] or any contractors or subcontractors working directly or indirectly on behalf of [insert grantor] are performing operations, if the property damage arises out of these operations. 
In the event of combination with another mechanism for liability coverage, the fund shall be considered [insert “primary” or “excess”] coverage. 
The Fund is established initially as consisting of the proceeds of the letter of credit deposited into the Fund. Such property and any other property subsequently transferred to the Trustee is referred to as the Fund, together with all earnings and profits thereon, less any payments or distributions made by the Trustee pursuant to this Agreement. The Fund shall be held by the Trustee, IN TRUST, as hereinafter provided. The Trustee shall not be responsible nor shall it undertake any responsibility for the amount or adequacy of, nor any duty to collect from the Grantor, any payments necessary to discharge any liabilities for of the Grantor established by the Beneficiary. 
Section 4. Payment for Bodily Injury or Property Damage. The Trustee shall satisfy a third party liability claim by drawing on the letter of credit described in Schedule B and by making payments from the Fund only upon receipt of one of the following documents: 
(a) Certification from the Grantor and the third party claimant(s) that the liability claim should be paid. The certification shall be worded as follows, except that instructions in brackets are to be replaced with the relevant information and the brackets deleted. 

CERTIFICATION OF VALID LIABILITY CLAIM 
The undersigned, as parties [insert name of grantor] and [insert name and address of third party claimant(s)], hereby certify that the claim of bodily injury and/or property damage caused by [“sudden” or “nonsudden”] accidental occurrence arising from operating [insert name of grantor]'s hazardous waste treatment, storage, or disposal facility/TTU should be paid in the amount of $[insert dollar amount]. 
[Signature] 
Grantor 
[Signature] 
Claimant(s) 
(b) A valid final court order establishing a judgment against the Grantor for bodily injury or property damage caused by sudden or nonsudden accidental occurrences arising from the operation of the Grantor's facility/TTU or group of facilities/TTUs. 
Section 5. Payments Comprising the Fund. Payments made to the Trustee for the Fund shall consist of the proceeds from the letter of credit drawn upon by the Trustee in accordance with the requirements of title 22, California Code of Regulations, section 66264.151, subsection (k) and Section 4 of this Agreement. 
Section 6. Trustee Management. The Trustee shall invest and reinvest the principal and income of the Fund and keep the Fund invested as a single fund, without distinction between principal and income, in accordance with general investment policies and guidelines which the Grantor may communicate in writing to the Trustee from time to time, subject, however, to the provisions of this section. In investing, reinvesting, exchanging, selling, and managing the Fund, the Trustee shall discharge his or her duties with respect to the trust fund solely in the interest of the Beneficiary and with the care, skill, prudence, and diligence under the circumstances then prevailing which persons of prudence, acting in a like capacity and familiar with such matters, would use in the conduct of an enterprise of a like character and with like aims; except that: 
(i) Securities or other obligations of the Grantor, or any other owner or operator of the facilities/TTUs, or any of their affiliates as defined in the Investment Company Act of 1940, as amended, 15 United States Code section 80a-2(a), shall not be acquired or held, unless they are securities or other obligations of the Federal or State government; 
(ii) The Trustee is authorized to invest the Fund in time or demand deposits of the Trustee, to the extent insured by an agency of the Federal or State government; and 
(iii) The Trustee is authorized to hold cash awaiting investment or distribution uninvested for a reasonable time and without liability for the payment of interest thereon. 
Section 7. Commingling and Investment. The Trustee is expressly authorized in its discretion: 
(a) To transfer from time to time any or all of the assets of the Fund to any common, commingled or collective trust fund created by the Trustee in which the Fund is eligible to participate, subject to all of the provisions thereof, to be commingled with the assets of other trusts participating therein; and 
(b) To purchase shares in any investment company registered under the Investment Company Act of 1940, 15 United States Code section 80a-1 et seq., including one which may be created, managed, underwritten or to which investment advice is rendered or the shares of which are sold by the Trustee. The Trustee may vote such shares in its discretion. 
Section 8. Express Powers of Trustee. Without in any way limiting the powers and discretion conferred upon the Trustee by the other provisions of this Agreement or by law, the Trustee is expressly authorized and empowered: 
(a) To sell, exchange, convey, transfer or otherwise dispose of any property held by it, by public or private sale. No person dealing with the Trustee shall be bound to see to the application of the purchase money or to inquire into the validity or expediency of any such sale or other disposition; 
(b) To make, execute, acknowledge and deliver any and all documents of transfer and conveyance and any and all other instruments that may be necessary or appropriate to carry out the powers herein granted; 
(c) To register any securities held in the Fund in its own name or in the name of a nominee and to hold any security in bearer form or in book entry, or to combine certificates representing such securities with certificates of the same issue held by the Trustee in other fiduciary capacities, or to deposit or arrange for the deposit of such securities in a qualified central depositary even though, when so deposited, such securities may be merged and held in bulk in the name of the nominee of such depositary with other securities deposited therein by another person, or to deposit or arrange for the deposit of any securities issued by the United States Government, or any agency or instrumentality thereof, with a Federal Reserve bank, but the books and records of the Trustee shall at all times show that all such securities are part of the Fund; 
(d) To deposit any cash in the Fund in interest-bearing accounts maintained or savings certificates issued by the Trustee, in its separate corporate capacity, or in any other banking institution affiliated with the Trustee, to the extent insured by an agency of the Federal or State government; and 
(e) To compromise or otherwise adjust all claims in favor of or against the Fund. 
Section 9. Taxes and Expenses. All taxes of any kind that may be assessed or levied against or in respect of the Fund and all brokerage commissions incurred by the Fund shall be paid from the Fund. All other expenses incurred by the Trustee in connection with the administration of this Trust, including fees for legal services rendered to the Trustee, the compensation of the Trustee to the extent not paid directly by the Grantor, and all other proper charges and disbursements to the Trustee shall be paid from the Fund. 
Section 10. Advice of Counsel. The Trustee may from time to time consult with counsel, who may be counsel to the Grantor, with respect to any question arising as to the construction of this Agreement or any action to be taken hereunder. The Trustee shall be fully protected, to the extent permitted by law, in acting upon the advice of counsel. 
Section 11. Trustee Compensation. The Trustee shall be entitled to reasonable compensation for its services as agreed upon in writing from time to time with the Grantor. 
Section 12. Successor Trustee. The Trustee may resign or the Grantor may replace the Trustee, but such resignation or replacement shall not be effective until the Grantor has appointed a successor trustee and this successor accepts the appointment. The successor trustee shall have the same powers and duties as those conferred upon the Trustee hereunder. Upon the successor trustee's acceptance of the appointment; the Trustee shall assign, transfer and pay over to the successor trustee the funds and properties then constituting the Fund. If, for any reason, the Grantor cannot or does not act in the event of the resignation of the Trustee; the Trustee may apply to a court of competent jurisdiction for the appointment of a successor trustee or for instructions. The successor trustee shall specify the date on which it assumes administration of the trust in a writing sent to the Grantor, Beneficiary, and the present Trustee by certified mail ten days before such change becomes effective. Any expenses incurred by the Trustee as a result of any of the acts contemplated by this Section shall be paid as provided in Section 9. 
Section 13. Instructions to the Trustee. All orders, requests, certifications of valid claims and instructions by the Grantor to the Trustee shall be in writing, signed by such persons as are designated in the attached Exhibit A or such other designees as the Grantor may designate by amendment to Exhibit A. The Trustee shall be fully protected in acting without inquiry in accordance with the Grantor's orders, requests and instructions. All orders, requests and instructions by the Beneficiary to the Trustee shall be in writing, signed by the Beneficiary designees, and the Trustee shall act and shall be fully protected in acting in accordance with such orders, requests and instructions. The Trustee shall have the right to assume, in the absence of written notice to the contrary, that no event constituting a change or a termination of the authority of any person to act on behalf of the Grantor or the Beneficiary hereunder has occurred. The Trustee shall have no duty to act in the absence of such orders, requests and instructions from the Grantor and/or Beneficiary, except as provided for herein. 
Section 14. Amendment of Agreement. This agreement may be amended by an instrument in writing executed by the Grantor, the Trustee and the Beneficiary, or by the Trustee and the Beneficiary, if the Grantor ceases to exist. 
Section 15. Irrevocability and Termination. Subject to the right of the parties to amend this Agreement as provided in Section 14, this Trust shall be irrevocable and shall continue until terminated at the written agreement of the Grantor, the Trustee, and the Beneficiary, or by the Trustee and the Beneficiary, if the Grantor ceases to exist. Upon termination of the Trust, all remaining trust property, less final trust administration expenses, shall be delivered to the Grantor. 
Section 16. Immunity and Indemnification. The Trustee shall not incur personal liability of any nature in connection with any act or omission, made in good faith, in the administration of this Trust, or in carrying out any directions by the Grantor or the Beneficiary issued in accordance with this Agreement. The Trustee shall be indemnified and saved harmless by the Grantor or from the Trust Fund, or both, from and against any personal liability to which the Trustee may be subjected by reason of any act or conduct in its official capacity, including all expenses reasonably incurred in its defense in the event the Grantor fails to provide such defense. 
Section 17. Choice of Law. This Agreement shall be administered, construed and enforced according to the laws of the State of California. 
Section 18. Interpretation. As used in this Agreement, words in the singular include the plural and words in the plural include the singular. The descriptive headings for each Section of this Agreement shall not affect the interpretation or the legal efficacy of this Agreement. 
Section 19. Primary or Excess Coverage. In the event of combination with another mechanism for liability coverage, the fund shall be considered [insert “primary” or “excess”] coverage. 
IN WITNESS WHEREOF the parties have caused this Agreement to be executed by their respective officers duly authorized and their corporate seals to be hereunto affixed and attested as of the date first above written. The parties below certify that the wording of this Agreement is identical to the wording specified in California Code of Regulations, title 22, section 66264.151, subsection (n) and is being executed in accordance with the requirements of California Code of Regulations, title 22, division 4.5, chapter 14 and 15, article 8. 
[Signature of Grantor] 
[Title] 
Attest: 
[Title] 
[Seal] 
[Signature of Trustee] 
Attest: 
[Title] 
[Seal] 
(2) The following is an example of the certification of acknowledgement which shall accompany the trust agreement for a standby trust fund as specified in section 66264.147, subsection (h) or section 66265.147, subsection (h) of this division. State requirements may differ on the proper content of this acknowledgement. 
State of 
County of 
On this [date], before me personally came [owner or operator] to me known, who, being by me duly sworn, did depose and say that she/he resides at [address], that she/he is [title] of [corporation], the corporation described in and which executed the above instrument; that she/he knows the seal of said corporation; that the seal affixed to such instrument is such corporate seal; that it was so affixed by order of the Board of Directors of said corporation, and that she/he signed her/his name thereto by like order. 
[Signature of Notary Public] 
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; and 40 CFR Section 264.151. 
HISTORY

1. Change without regulatory effect adopting section filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
2. Change without regulatory effect amending subsection (c) filed 3-20-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
Article 9. Use and Management of Containers
§66264.170. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of all hazardous waste facilities that transfer or store containers of hazardous waste, except as section 66264.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.170.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.171. Use and Management of Containers.
Note     •     History

If a container holding hazardous waste is not in good condition (e.g., severe rusting, apparent structural defects) or if it begins to leak, the owner or operator shall transfer the hazardous waste from this container to a container that is in good condition or manage the waste in some other way that complies with the requirements of this chapter.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.171.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.172. Compatibility of Waste with Containers.
Note     •     History

The owner or operator shall use a container made of or lined with materials which will not react with, and are otherwise compatible with, the hazardous waste to be transferred or stored, so that the ability of the container to contain the waste is not impaired.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.172.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.173. Management of Containers.
Note     •     History

(a) A container holding hazardous waste shall always be closed during transfer and storage, except when it is necessary to add or remove waste.
(b) A container holding hazardous waste shall not be opened, handled, transferred or stored in a manner which may rupture the container or cause it to leak. Reuse of containers for transportation shall comply with the requirements of the U.S. Department of Transportation regulations including those set forth in 49 CFR section 173.28.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.173.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.174. Inspections.
Note     •     History

At least weekly, the owner or operator shall inspect areas used for container storage or transfer, looking for leaking containers and for deterioration of containers and the containment system caused by corrosion or other factors.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25195.5, Health and Safety Code; 40 CFR Section 264.174.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.175. Containment.
Note     •     History

(a) Container transfer and storage areas shall have a containment system that is designed and operated in accordance with subsection (b) of this section.
(b) A containment system shall be designed and operated as follows:
(1) a base shall underlie the containers which is free of cracks or gaps and is sufficiently impervious to contain leaks, spills, and accumulated precipitation until the collected material is detected and removed;
(2) the base shall be sloped or the containment system shall be otherwise designed and operated to drain and remove liquids resulting from leaks, spills, or precipitation, unless the containers are elevated or are otherwise protected from contact with accumulated liquids;
(3) the containment system shall have sufficient capacity to contain precipitation from at least a 24-hour, 25-year storm plus 10 % of the aggregate volume of all containers or the volume of the largest container, whichever is greater. Containers that do not contain free liquids need not be considered in this determination;
(4) run-on into the containment system shall be prevented unless the collection system has sufficient excess capacity in addition to that required in subsection (b)(3) of this section to contain any run-on which might enter the system; and
(5) spilled or leaked waste and accumulated precipitation shall be removed from the sump or collection area in as timely a manner as is necessary to prevent overflow of the collection system. If the collected material is a hazardous waste under chapter 11 of this division, it shall be managed as a hazardous waste in accordance with all applicable requirements of chapters 12 through 16 of this division. If the collected material is discharged through a point source to waters of the United States, it is subject to the requirements of section 402 of the Federal Clean Water Act, as amended (33 U.S.C. section 1342).
(c) The owner or operator shall submit to the Department with the application for a hazardous waste facility permit a written statement signed by an independent, qualified professional engineer, registered in California, that indicates that the containment system is suitably designed to achieve the requirements of this section.
(d) Storage areas that store containers holding only hazardous wastes that do not contain free liquids need not have a containment system as specified by subsection (b) of this section, except as provided by subsection (e) of this section or provided that:
(1) The storage area is sloped or is otherwise designed and operated to collect and remove liquid resulting from precipitation, or
(2) The containers are elevated or are otherwise protected from contact with accumulated liquid.
(e) Storage areas that store containers holding the following wastes listed that do not contain free liquids must have a containment system as specified by subsection (b) of this section: F020, F021, F022, F023, F026, and F027.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25150(a), 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.175.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New subsections (d)-(e) and amendment of Note filed 7-24-97; operative 7-24-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 30).
§66264.176. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

Containers holding ignitable or reactive waste shall be located at least 15 meters (50 feet) from the facility's property line.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.176.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.177. Special Requirements for Incompatible Wastes.
Note     •     History

(a) Incompatible wastes, or incompatible wastes and materials (see Appendix V for examples), shall not be placed in the same container, unless section 66264.17(b) is complied with.
(b) Hazardous waste shall not be placed in an unwashed container that previously held an incompatible waste or material.
(c) A container holding a hazardous waste that is incompatible with any waste or other materials transferred or stored nearby in other containers, piles, open tanks, or surface impoundments shall be separated from the other materials or protected from them by means of a dike, berm, wall, or other device.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.177.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.178. Closure.
Note     •     History

At closure, all hazardous waste and hazardous waste residues shall be removed from the containment system. Remaining containers, liners, bases, and soil containing or contaminated with hazardous waste or hazardous waste residues shall be decontaminated or removed. At closure, as throughout the operating period, unless the owner or operator can demonstrate in accordance with section 66261.3(e) of this division that the solid waste removed from the containment system is not a hazardous waste, the owner or operator becomes a generator of hazardous waste and shall manage it in accordance with all applicable requirements of chapters 12 through 16 of this division.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code; 40 CFR Section 264.178.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.179. Air Emission Standards.
Note     •     History

The owner or operator shall manage all hazardous waste placed in a container in accordance with the applicable requirements of Articles 27, 28, and 28.5 of this Chapter.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 264.179.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
Article 10. Tank Systems
§66264.190. Applicability.
Note     •     History

The requirements of this article apply to owners and operators of facilities that use tank systems for transferring, storing or treating hazardous waste except as otherwise provided in subsections (a), (b) and (c) of this section or in section 66264.1 of this chapter.
(a) Tank systems that are used to transfer, store or treat hazardous waste which contains no free liquids and are situated inside a building with an impermeable floor are exempted from the requirements in section 66264.193. To demonstrate the absence or presence of free liquids in the transferred/stored/treated waste, EPA Method 9095 (Paint Filter Liquids Test) as described in “Test Methods for Evaluating Solid Wastes, Physical/Chemical Methods” (EPA Publication No. SW-846 Third Edition and Updates, (incorporated by reference in section 66260.11 of this chapter) shall be used.
(b) Tank systems, including sumps, as defined in section 66260.10, that serve as part of a secondary containment system to collect or contain releases of hazardous wastes are exempted from the requirements in section 66264.193(a) of this article.
(c) Tanks, sumps, and other such collection devices or systems used in conjunction with drip pads, as defined in 66260.10 of this chapter and regulated under Chapter 14, Article 15.7, shall meet the requirements of this article.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.190.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of first paragraph, new subsection (c) and amendment of Note filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
3. Amendment of subsection (c) and Note filed 7-24-97; operative 7-24-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 30).
4. Amendment of subsection (a) and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66264.191. Assessment of Existing Tank System's Integrity.
Note     •     History

(a) Tanks shall have sufficient shell strength and, for closed tanks, pressure controls (e.g., vents) to assure that they do not collapse or rupture. The Department will review the design of the tanks, including the foundation, structural support, seams and pressure controls and seismic considerations. The Department shall require that a minimum shell thickness be maintained at all times to ensure sufficient shell strength. Factors to be considered in establishing minimum thickness include the width, height and materials of construction of the tank, and the specific gravity of the waste which will be placed in the tank. In reviewing the design of the tank and approving a minimum thickness, the Department shall rely upon appropriate industrial design standards and other available information.
(b) For each existing tank system that does not have secondary containment meeting the requirements of section 66264.193, the owner or operator shall determine that the tank system is not leaking or is unfit for use. Except as provided in subsections (d) and (g) of this section, and in addition to the requirements of subsection (f) of this section, the owner or operator shall obtain and keep on file at the facility a written assessment reviewed and certified by an independent, qualified professional engineer, registered in California, in accordance with section 66270.11(d), that attests to the tank system's integrity.
(c) This assessment shall determine that the tank system is adequately designed and has sufficient structural strength and compatibility with the waste(s) to be transferred, stored or treated, to ensure that it will not collapse, rupture, or fail. At a minimum, this assessment shall consider the following:
(1) design standard(s), if available, according to which the tank and ancillary equipment were constructed;
(2) hazardous characteristics of the waste(s) that have been and will be handled;
(3) existing corrosion protection measures;
(4) documented age of the tank system, if available (otherwise, an estimate of the age);
(5) results of a leak test, internal inspection, or other tank integrity examination such that:
(A) for non-enterable underground tanks, the assessment shall include a leak test that is capable of taking into account the effects of temperature variations, tank end deflection, vapor pockets, and high water table effects, and
(B) for other than non-enterable underground tanks and for ancillary equipment, this assessment shall include either a leak test, as described above, or other integrity examination, that is certified by an independent, qualified, professional engineer, registered in California, in accordance with section 66270.11(d), that addresses cracks, leaks, corrosion, and erosion; and
(6) those design requirements and factors listed in subsection (a) of this section.
(d) For tank systems that transfer, store or treat materials that become hazardous wastes this assessment shall be conducted within 12 months after the date that the waste becomes a hazardous waste, except as provided in subsection (g) of this section.
(e) If, as a result of the assessment conducted in accordance with subsection (b) or (g) of this section, a tank system is found to be leaking or unfit for use, the owner or operator shall comply with the requirements of section 66264.196.
(f) Owners or operators of all existing tank systems shall submit to the Department with Part B of the application for a hazardous waste facility permit, a written statement, signed by an independent, qualified professional engineer, registered in California, in accordance with section 66270.11(d), attesting that the tanks and containment system are suitably designed to achieve the requirements of this article.
(g)(1) Notwithstanding subsections (b) through (d) of this section, for each existing tank system that does not have secondary containment meeting the requirements of section 66264.193 and which meets the criteria specified in subsection (g)(2) of this section, the assessment specified in subsection (i) of this section shall be conducted by January 24, 1998. This assessment shall be reviewed and certified by an independent, qualified, professional engineer, registered in California, in accordance with section 66270.11(d), that attests to the tank system's integrity. The assessment shall be kept on file at the facility until closure of the facility and shall be valid for a period of one year from the date the assessment was certified.
(2) The provisions of subsection (g)(1) of this section apply only to:
(A) onground or aboveground tank systems containing only non-RCRA hazardous wastes generated onsite, and tank systems authorized under Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, and Conditional Exemption pursuant to HSC 25201.5, and
(B) onground or aboveground tank systems containing RCRA hazardous wastes generated onsite, if:
1. the owner or operator is a conditionally exempt small quantity generator as defined in 40 CFR section 261.5, or a small quantity generator of more than 100 kg but less than 1000 kg per month as defined in 40 CFR section 265.201, or
2. the owner or operator is not subject to regulation in 40 CFR part 264 pursuant to an exemption in 40 CFR section 264.1, but the owner or operator is subject to the standards of this article.
(h) A generator or owner or operator authorized pursuant to Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, or Conditional Exemption pursuant to HSC 25201.5, operating a non-RCRA underground tank system or an underground tank system otherwise exempt from permitting requirements pursuant to the federal act, shall comply with the applicable standards of Title 23 of the California Code of Regulations relating to underground tank systems.
(i) The tank system assessment shall include all of the following information:
(1) tank configuration (i.e., horizontal, vertical), and gross capacity (in gallons);
(2) design standard(s), if available, according to which the tank and ancillary equipment were constructed, and all of the following information:
(A) material of construction;
(B) material thickness and the method used to determine the thickness;
(C) description of tank system piping (material, diameter);
(D) description of any internal and external pumps; and
(E) sketch or drawing of tank including dimensions.
(3) documented age of the tank system, if available, otherwise, an estimate of the age based on owner or operator knowledge;
(4) description and evaluation of the adequacy of any leak detection equipment;
(5) description and evaluation of any corrosion protection equipment;
(6) description and evaluation of any spill prevention or overfill equipment;
(7) hazardous characteristics of the waste(s) that have been or will be handled;
(8) description of any structural damage or inadequate construction or installation such as cracks, punctures, or damaged fittings. All discrepancies shall be documented in the assessment and remedied before the tank system is certified for use.
(9) results of a leak test, internal inspection, or other tank system integrity examination including the type of integrity examination performed (i.e., ultrasonic, internal examination, volumetric tank test, pipeline pressure test). Tank system integrity or leak test requirements must be in compliance with all local requirements. Prior to conducting a tank system integrity test or leak test, contact local agency staff for local requirements.
(10) estimated remaining service life of the tank system based on findings of subsection (i)(1) through (i)(9).
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.191.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section and Note filed 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Complaince must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 2-16-96 as an emergency; operative 2-16-96 (Register 96, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-15-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 6-17-96 as an emergency; operative 6-17-96 (Register 96, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-15-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 10-15-96 as an emergency; operative 10-15-96 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-12-97 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 2-11-97 as an emergency, including additional amendment of Note; operative 2-11-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-11-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-11-97 order transmitted to OAL 6-10-97; disapproved by OAL and order of repeal as to 2-11-97 filed on 7-24-97 (Register 97, No. 30).
9. Certificate of Compliance as to 2-11-97 order, including amendment of section and Note, resubmitted to OAL and approved on 7-24-97 (Register 97, No. 30).
10. Amendment of subsection (b), repealer of subsections (b)(1)-(b)(2)(B)2., amendment of subsection (d), repealer of subsections (d)(1)-(d)(2)(B)2. and amendment of Note filed 9-8-2006; operative 10-8-2006 (Register 2006, No. 36).
§66264.192. Design and Installation of New Tank Systems or Components.
Note     •     History

(a) Tanks shall have sufficient shell strength and, for closed tanks, pressure controls (e.g., vents) to assure that they do not collapse or rupture. The Department will review the design of the tanks, including the foundation, structural support, seams and pressure controls and seismic considerations. The Department shall require that a minimum shell thickness be maintained at all times to ensure sufficient shell strength. Factors to be considered in establishing minimum thickness include the width, height and materials of construction of the tank, and the specific gravity of the waste which will be placed in the tank. In reviewing the design of the tank and approving a minimum thickness, the Department shall rely upon appropriate industrial design standards and other available information.
(b) Owners or operators of new tank systems or components shall obtain and submit to the Department, at time of submittal of Part B information, a written assessment, reviewed and certified by an independent, qualified professional engineer, registered in California, in accordance with section 66270.11(d), attesting that the tank system has sufficient structural integrity and is acceptable for the transferring, storing and treating of hazardous waste and that the tanks and containment system are suitably designed to achieve the requirements in this article. The assessment shall show that the foundation, structural support, seams, connections, and pressure controls (if applicable) are adequately designed and that the tank system has sufficient structural strength, compatibility with the waste(s) to be transferred, stored or treated, and corrosion protection to ensure that it will not collapse, rupture, or fail. This assessment, which will be used by the Department to review and approve or disapprove the acceptability of the tank system design, shall also include, at a minimum, the following information:
(1) design standard(s) according to which tank(s) and/or the ancillary equipment are constructed;
(2) hazardous characteristics of the waste(s) to be handled;
(3) for new tank systems or components in which the external shell of a metal tank or any external metal component of the tank system will be in contact with the soil or with water, a determination by a corrosion expert of:
(A) factors affecting the potential for corrosion, including but not limited to:
1. soil moisture content;
2. soil pH;
3. soil sulfides level;
4. soil resistivity;
5. structure to soil potential;
6. influence of nearby underground metal structures (e.g., piping);
7. existence of stray electric current;
8. existing corrosion-protection measures (e.g., coating, cathodic protection), and
(B) the type and degree of external corrosion protection that are needed to ensure the integrity of the tank system during the use of the tank system or component, consisting of one or more of the following:
1. corrosion-resistant materials of construction such as special alloys, fiberglass reinforced plastic, etc.;
2. corrosion-resistant coating (such as epoxy, fiberglass, etc.) with cathodic protection (e.g., impressed current or sacrificial anodes); and
3. electrical isolation devices such as insulating joints, flanges, etc.;
(4) for underground tank system components that are likely to be adversely affected by vehicular traffic, a determination of design or operational measures that will protect the tank system against potential damage;
(5) design considerations to ensure that:
(A) tank foundations will maintain the load of a full tank;
(B) tank systems will be anchored to prevent flotation or dislodgment where the tank system is placed in a saturated zone, or is located within a seismic fault zone subject to the standards of section 66264.18(a); and
(C) tank systems will withstand the effects of frost heave; and
(6) those design requirements and factors listed in subsection (a) of this section.
(c) The owner or operator of a new tank system shall ensure that proper handling procedures are adhered to in order to prevent damage to the system during installation. Prior to covering, enclosing, or placing a new tank system or component in use, an independent, qualified installation inspector or an independent, qualified, professional engineer, registered in California, either of whom is trained and experienced in the proper installation of tank systems or components, shall inspect the system for the presence of any of the following items:
(1) weld breaks;
(2) punctures;
(3) scrapes of protective coatings;
(4) cracks;
(5) corrosion;
(6) other structural damage or inadequate construction/installation.
All discrepancies shall be remedied before the tank system is covered, enclosed, or placed in use.
(d) New tank systems or components that are placed underground and that are back filled shall be provided with a backfill material that is a noncorrosive, porous, homogeneous substance and that is installed so that the backfill is placed completely around the tank and compacted to ensure that the tank and piping are fully and uniformly supported.
(e) All new tanks and ancillary equipment shall be tested for tightness prior to being covered, enclosed, or placed in use. If a tank system is found not to be tight, all repairs necessary to remedy the leak(s) in the system shall be performed prior to the tank system being covered, enclosed, or placed into use.
(f) Ancillary equipment shall be supported and protected against physical damage and excessive stress due to settlement, vibration, expansion, or contraction.
(g) The owner or operator shall provide the type and degree of corrosion protection recommended by an independent corrosion expert, based on the information provided under subsection (b)(3) of this section, or other corrosion protection if the Department believes other corrosion protection is necessary to ensure the integrity of the tank system during use of the tank system. The installation of a corrosion protection system that is field fabricated shall be supervised by an independent corrosion expert to ensure proper installation.
(h) The owner or operator shall obtain and keep on file at the facility written statements by those persons required to certify the design of the tank system and supervise the installation of the tank system in accordance with the requirements of subsections (c) through (g) of this section, that attest that the tank system was properly designed and installed and that repairs, pursuant to subsections (c) and (e) of this section, were performed. These written statements shall also include the certification statement as required in section 66270.11(d) of this division.
(i)(1) Notwithstanding subsections (b) through (h) of this section, design and installation of new tank systems or components used to manage hazardous waste, and which meet the criteria specified in subsection (i)(2) of this section, are not subject to the requirements of subsections (i) through (n) of this section until January 24, 1998. The assessment specified in subsection (l) of this section shall be obtained prior to placing  a new tank system in service and shall be kept on file at the facility. This assessment shall be reviewed and certified by an independent, qualified, professional engineer, registered in California, in accordance with section 66270.11(d), attesting that the tank system has sufficient structural integrity and is acceptable for the transferring, storing and treating of hazardous waste. The assessment shall be valid for a maximum period of five (5) years or the remaining service life of the tank system, as stated in the engineer's assessment, whichever is less. New tank systems that have been assessed pursuant to subsections (b) through (h) of this section prior to June 1, 1995 are not required to be reassessed pursuant to subsection (l) for a period of five years from the date of the assessment or June 1, 2000, whichever is the earlier date. If changes have been made to the tank system or new components have been added to the tank system subsequent to an assessment conducted prior to June 1, 1995, the tank system shall be reassessed pursuant to subsection (l).
(2) The provisions of subsection (i)(1) of this section apply only to:
(A) onground or aboveground tank systems containing only non-RCRA hazardous waste generated onsite, and tank systems authorized under Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, and Conditional Exemption pursuant to HSC 25201.5, and
(B) onground or aboveground tank systems containing RCRA hazardous waste generated onsite, if:
1. the owner or operator is a conditionally exempt small quantity generator as defined in 40 CFR section 261.5, or a small quantity generator of more than 100 kg but less than 1000 kg per month as defined in 40 CFR section 265.201, or
2. the owner or operator is not subject to regulation in 40 CFR part 264 pursuant to an exemption in 40 CFR section 264.1, but the owner or operator is subject to the standards of this article.
(j) A generator or owner or operator authorized pursuant to Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, or Conditional Exemption pursuant to HSC 25201.5, operating a non-RCRA underground tank system or an underground tank system otherwise exempt from permitting requirements pursuant to the federal act, shall comply with the applicable standards of Title 23 of the California Code of Regulations relating to underground tank systems.
(k) New, onground or aboveground non-RCRA tank systems or tank systems otherwise exempt from permitting requirements pursuant to the federal act, with secondary containment, whose design and installation have been approved by a local agency or agencies, may, at the discretion of the CUPA, be exempt from the engineering assessment specified in subsection (l) of this section, provided minimum criteria specified in subsections (k)(1) through (k)(3) of this section are met. If the CUPA determines to exempt a new tank system from the assessment required pursuant to this subsection, the exemption shall be for a period of not more than three (3) years from the date the exemption was granted. The tank system owner or operator shall submit documentation of local agency approval to the applicable CUPA for review and possible acceptance in lieu

of the assessment specified in subsection (l) of this section. If there is no CUPA or the CUPA requests that the Department make a determination, the documentation shall be submitted to the Department.
(1) tank system must have secondary containment capable of containing 100 percent of the contents of the tank and ancillary piping volume; and
(2) if the tank system is exposed to precipitation, the secondary containment system must have sufficient capacity, in addition to that required in subsection (k)(1) of this section, to contain run-on and infiltration from a 25-year, 24-hour rainfall event;
(3) tank system secondary containment shall be provided with a leak detection system that is designed and operated so that it will detect either the failure of the primary and secondary containment structure or any release of hazardous waste or accumulated liquid in the secondary containment system within 24 hours, or at the earliest practicable time if the existing detection technology or site conditions will not allow detection of a release within 24 hours.
(l) The tank system assessment shall include all of the following information:
(1) tank configuration (i.e., horizontal, vertical), and gross capacity (in gallons);
(2) design standard(s), if available, according to which the tank and ancillary equipment were constructed, and all of the following information;
(A) material of construction;
(B) material thickness and the method used to determine the thickness;
(C) description of tank system piping (material, diameter);
(D) description of any internal and external pumps; and
(E) sketch or drawing of tank including dimensions.
(3) documented age of the tank system (if tank was previously used), if available, (otherwise, an estimate of the age);
(4) description and evaluation of any leak detection equipment;
(5) description and evaluation of any corrosion protection equipment, devices, or material;
(6) description and evaluation of any spill prevention or overfill equipment;
(7) description and evaluation of secondary containment for the tank system (secondary containment must meet minimum standards as specified in subsections (k)(1) through (k)(3) of this section) including applicable secondary containment for ancillary equipment as required in subsection 66265.193(f);
(8) hazardous characteristics of the waste(s) that have been or will be handled;
(9) prior to placing a new tank system or component in use, an independent, qualified installation inspector or an independent, qualified, professional engineer, registered in California, either of whom is trained and experienced in the proper installation of tank systems, shall inspect the system or component for the presence of any of the following items and document in writing the results of the inspection:
(A) weld cracks or breaks;
(B) scrapes of protective coatings;
(C) corrosion;
(D) any structural damage or inadequate construction or installation such as cracks, punctures, damaged fittings. All discrepancies shall be documented in the assessment and remedied before the tank system is placed in use.
(10) all new tanks and ancillary equipment shall be tested for tightness prior to being placed in use. The results of the test(s) shall be documented in this assessment. Tank system integrity or leak test requirements must be in compliance with all local requirements. Prior to conducting a tank system integrity test or leak test, contact local agency staff for local requirements.
(11) estimated remaining service life of the tank system based on findings of subsections (l)(1) through (l)(10).
(m) The assessment specified in subsection (l) of this section is not required for the replacement of the following identical or functionally equivalent tank system parts or components:
(1) pumps (same type and capacity);
(2) plumbing or piping components such as unions, elbows, tees and gaskets;
(3) valves and check valves;
(4) piping and valve hangers and supports;
(n) Replacement of identical or functionally equivalent tank system parts or components not listed in subsection (m) of this section shall be approved by the CUPA prior to replacement or changeout. If the tank system part or component is determined to be identical or functionally equivalent by the CUPA, the assessment specified in subsection (l) of this section is not required. The owner or operator shall provide the CUPA, or the Department if there is no CUPA or the CUPA requests that the Department make a determination, with the following information in writing so that a determination can be made:
(1) name, address, and EPA identification number of the facility;
(2) date of planned replacement;
(3) description part or component to be replaced;
(4) description of the tank system and type of waste(s) handled;
(5) description of how the part or component is identical or functionally equivalent to the part or component to be replaced.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.192.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
2. New subsections (i)(1)-(i)(2)(B)2. filed 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
3. New subsections (i)(1)-(i)(2)(B)2.  refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
4. New subsections (i)(1)-(i)(2)(B)2  refiled 2-16-96 as an emergency; operative 2-16-96 (Register 96, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-15-96 or emergency language will be repealed by operation of law on the following day.
5. New subsections (i)(1)-(i)(2)(B)2 refiled 6-17-96 as an emergency; operative 6-17-96 (Register 96, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-15-96 or emergency language will be repealed by operation of law on the following day.
6. New subsections (i)(1)-(i)(2)(B)2. refiled 10-15-96 as an emergency; operative 10-15-96 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-12-97 or emergency language will be repealed by operation of law on the following day.
7. New subsections (i)(1)-(i)(2)(B)2. refiled 2-11-97 as an emergency, including amendment of Note; operative 2-11-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-11-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-11-97 order transmitted to OAL 6-10-97; disapproved by OAL and order of repeal as to 2-11-97 filed on 7-24-97 (Register 97, No. 30).
9. Certificate of Compliance as to 2-11-97 order, including amendment of section and Note, resubmitted to OAL and approved on 7-24-97 (Register 97, No. 30).
10. Change without regulatory effect amending subsections (i)(1), (l)(10) and (n) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66264.193. Containment and Detection of Releases.
Note     •     History

(a) In order to prevent the release of hazardous waste or hazardous constituents to the environment, secondary containment that meets the requirements of this section shall be provided (except as provided in subsections (f) and (g) of this section):
(1) for all new tank systems or components, prior to the tank system or component being put into service.
(2) for all existing tank systems.
(3) for tank systems that transfer, store or treat materials that subsequently become hazardous wastes within two years after the materials become hazardous waste unless the owner or operator complies with section 40 CFR 265.201 and is one of the following:
(A) the owner or operator is a conditionally exempt small quantity generator or a 100 to 1,000 kg per month generator, or
(B) the owner or operator is not subject to regulation in 40 CFR part 264 pursuant to an exemption in 40 CFR section 264.1, but the owner or operator is subject to the standards of this article.
(b) Secondary containment systems shall be:
(1) designed, installed, and operated to prevent any migration of wastes or accumulated liquid out of the system to the soil, groundwater or surface water at any time during the use of the tank system; and
(2) capable of detecting and collecting releases and accumulated liquids until the collected material is removed.
(c) To meet the requirements of subsection (b) of this section, secondary containment systems shall be at a minimum:
(1) constructed of or lined with materials that are compatible with the wastes(s) to be placed in the tank system and shall have sufficient strength and thickness to prevent failure owing to pressure gradients (including static head and external hydrological forces), physical contact with the waste to which it is exposed, climatic conditions and the stress of daily operation (including stresses from nearby vehicular traffic);
(2) provided with a foundation or base underlying the tanks capable of providing support to the secondary containment system, resistance to pressure gradients above and below the system and capable of preventing failure due to settlement, compression or uplift. This base shall be free of cracks or gaps and sufficiently impervious to contain leaks, spills and accumulated precipitation until the collected material is detected and removed;
(3) provided with a leak-detection system that is designed and operated so that it will detect the failure of either the primary or secondary containment structure or the presence of any release of hazardous waste or accumulated liquid in the secondary containment system within 24 hours, or at the earliest practicable time if the owner or operator can demonstrate to the Department that existing detection technologies or site conditions will not allow detection of a release within 24 hours; and
(4) sloped or otherwise designed or operated to drain and remove liquids resulting from leaks, spills or precipitation. Spilled or leaked waste and accumulated precipitation shall be removed from the secondary containment system within as timely a manner as is necessary to prevent overflow of the containment system, but within no more than 24 hours, or in as timely a manner as possible to prevent harm to human health and the environment, if the owner or operator can demonstrate to the Department that removal of the released waste or accumulated precipitation cannot be accomplished within 24 hours and that overflow of the containment system will not occur.
(A) If the collected material is a hazardous waste under chapter 11 of this division, it shall be managed as a hazardous waste in accordance with all applicable requirements of chapters 12 through 15 of this division.
(B) If the collected material is discharged through a point source to waters of the United States, the owner or operator shall comply with the requirements of sections 301, 304, and 402 of the Federal Clean Water Act, as amended (33 U.S.C. sections 1311, 1314 and 1342, respectively).
(C) If the collected material is discharged to a Publicly Owned Treatment Works (POTW), the owner or operator shall comply with the requirements of section 307 of the Federal Clean Water Act, as amended (33 U.S.C. section 1317).
(D) If the collected material is released to the environment, the owner or operator shall comply with the applicable reporting requirements of Title 40 CFR Part 302.
(d) Secondary containment for tanks shall include one or more of the following devices:
(1) a liner (external to the tank);
(2) a vault;
(3) a double-walled tank; or
(4) an equivalent device as approved by the Department.
(e) In addition to the requirements of subsections (b), (c) and (d) of this section, secondary containment systems shall satisfy the following requirements.
(1) External liner systems shall be:
(A) designed or operated to contain precipitation from a 24-hour, 25-year storm event plus the greater of 10 percent of the aggregate volume of all tanks or 100 percent of the capacity of the largest tank within its boundary, whichever is greater;
(B) designed or operated to prevent run-on and infiltration of precipitation into the secondary containment system unless the collection system has sufficient excess capacity, in addition to that required in subsection (e)(1)(A) of this section, to contain run-on and infiltration from a 25-year, 24-hour rainfall event;
(C) free of cracks or gaps; and
(D) designed and installed to surround the tank completely and to cover all surrounding earth likely to come into contact with the waste if the waste is released from the tank(s) (i.e., capable of preventing lateral as well as vertical migration of the waste).
(2) Vault systems shall be:
(A) designed or operated to contain precipitation from a 24-hour, 25-year storm event plus the greater of 10 percent of the aggregate volume of all tanks or 100 percent of the capacity of the largest tank within its boundary, whichever is greater;
(B) designed or operated to prevent run-on and infiltration of precipitation into the secondary containment system unless the collection system has sufficient excess capacity, in addition to that required in subsection (e)(2)(A) of this section, to contain run-on and infiltration from a 25-year, 24-hour rainfall event;
(C) constructed with chemical-resistant water stops in place at all joints (if any);
(D) provided with an impermeable interior coating or lining that is compatible with the waste being transferred, stored or treated and that will prevent migration of waste into the concrete;
(E) provided with a means to protect against the formation of and ignition of vapors within the vault, if the waste being transferred, stored or treated:
1. meets the definition of ignitable waste under section 66261.21 of this division; or
2. meets the definition of reactive waste under section 66261.23 of this division, and may form an ignitable or explosive vapor; and
(F) provided with an exterior moisture barrier or be otherwise designed or operated to prevent migration of moisture into the vault if the vault is subject to hydraulic pressure.
(3) Double-walled tanks shall be:
(A) designed as an integral structure (i.e., an inner tank completely enveloped within an outer shell) so that any release from the inner tank is contained by the outer shell;
(B) protected, if constructed of metal, from both corrosion of the primary tank interior and of the external surface of the outer shell; and
(C) provided with a built-in continuous leak detection system capable of detecting a release within 24 hours, or at the earliest practicable time, if the owner or operator can demonstrate to the Department, and the Department concludes, that the existing detection technology or site conditions would not allow detection of a release within 24 hours.
(f) Ancillary equipment shall be provided with secondary containment (e.g., trench, jacketing, double-walled piping) that meets the requirements of subsections (b) and (c) of this section except for:
(1) aboveground piping (exclusive of flanges, joints, valves and other connections) that are visually inspected for leaks on a daily basis;
(2) welded flanges, welded joints and welded connections, that are visually inspected for leaks on a daily basis;
(3) sealless or magnetic coupling pumps and sealless valves, that are visually inspected for leaks on a daily basis; and
(4) pressurized aboveground piping systems with automatic shut-off devices (e.g., excess flow check valves, flow metering shutdown devices, loss of pressure actuated shut-off devices) that are visually inspected for leaks on a daily basis.
(g) The owner or operator may obtain a variance from the requirements of this section for existing above-ground tanks in place, if the Department finds, as a result of a demonstration by the owner or operator that alternative design and operating practices, together with location characteristics, will prevent the migration of any hazardous waste or hazardous constituents into the groundwater or surface water at least as effectively as secondary containment during the active life of the tank system, or that in the event of a release that does migrate to groundwater or surface water, no substantial present or potential hazard will be posed to human health or the environment. 
(1) In deciding whether to grant a variance based on a demonstration of equivalent protection of groundwater and surface water, the Department will consider:
(A) the nature and quantity of the wastes;
(B) the proposed alternate design and operation;
(C) the hydrogeologic setting of the facility, including the thickness of soils present between the tank system and groundwater, and
(D) all other factors that would influence the quality and mobility of the hazardous constituents and the potential for the constituents to migrate to groundwater or surface water.
(2) In deciding whether to grant a variance based on a demonstration of no substantial present or potential hazard, the Department will consider:
(A) the potential adverse effects on groundwater, surface water and land quality taking into account:
1. the physical and chemical characteristics of the waste in the tank system, including its potential for migration;
2. the hydrogeological characteristics of the facility and surrounding land;
3. the potential for health risks caused by human exposure to waste constituents;
4. the potential for damage to wildlife, crops, vegetation and physical structures caused by exposure to waste constituents; and
5. the persistence and permanence of the potential adverse effects;
(B) the potential adverse effects of a release on groundwater quality, taking into account:
1. the quantity and quality of groundwater and the direction of groundwater flow;
2. the proximity and withdrawal rates of groundwater users;
3. the current and future uses of groundwater in the area; and
4. the existing quality of groundwater, including other sources of contamination and their cumulative impact on the groundwater quality;
(C) the potential adverse effects of a release on surface water quality, taking into account:
1. the quantity and quality of groundwater and the direction of groundwater flow;
2. the patterns of rainfall in the region;
3. the proximity of the tank system to surface waters;
4. the current and future uses of surface waters in the area and any water quality standards established for those surface waters; and
5. the existing quality of surface water, including other sources of contamination and the cumulative impact on surface water quality; and
(D) the potential adverse effects of a release on the land surrounding the tank system, taking into account:
1. the patterns of rainfall in the region; and
2. the current and future uses of the surrounding land.
(3) The owner or operator of a tank system, for which a variance from secondary containment has been granted in accordance with the requirements of subsection (g)(1) of this section, at which a release of hazardous waste has occurred from the primary tank system but has not migrated beyond the zone of engineering control (as established in the variance), shall:
(A) comply with the requirements of section 66264.196, except subsection (b)(5); and
(B) decontaminate or remove contaminated soil to the extent necessary to:
1. enable the tank system for which the variance was granted to resume operation with the capability for the detection of releases at least equivalent to the capability it had prior to the release; and
2. prevent the migration of hazardous waste or hazardous constituents to groundwater or surface water; and
(C) if contaminated soil cannot be removed or decontaminated in accordance with subsection (g)(3)(B) of this section, comply with the requirements of section 66264.197(b).
(4) The owner or operator of a tank system, for which a variance from secondary containment has been granted in accordance with the requirements of subsection (g)(1) of this section, at which a release of hazardous waste has occurred from the primary tank system and has migrated beyond the zone of engineering control (as established in the variance), shall:
(A) comply with the requirements of section 66264.196(b); and
(B) prevent the migration of hazardous waste or hazardous constituents to groundwater or surface water, if possible, and decontaminate or remove contaminated soil. If contaminated soil cannot be decontaminated or removed or if groundwater has been contaminated, the owner or operator shall comply with the requirements of section 66264.197(b); and
(C) if repairing, replacing or reinstalling the tank system, provide secondary containment in accordance with the requirements of subsections (a) through (f) of this section or reapply for a variance from secondary containment and meet the requirements for new tank systems in section 66264.192 if the tank system is replaced. The owner or operator shall comply with these requirements even if contaminated soil can be decontaminated or removed and groundwater or surface water has not been contaminated.
(h) The following procedures shall be followed in order to request a variance from secondary containment.
(1) The Department shall be notified in writing by the owner or operator that the facility intends to conduct and submit a demonstration for a variance from secondary containment as allowed in subsection (g) of this section at least 24 months prior to the date that secondary containment is required to be provided in accordance with subsection (a) of this section; or, if a variance is sought from the requirements of section 66264.193(i)(1), the demonstration shall be submitted to the Department with Part B of the permit application.
(2) As part of the notification, the owner or operator shall also submit to the Department a description of the steps necessary to conduct the demonstration and a timetable for completing each of the steps. The demonstration shall address each of the factors listed in subsection (g)(1) or subsection (g)(2) of this section.
(3) The demonstration for a variance shall be completed within 180 days after notifying the Department of an intent to conduct the demonstration.
(4) If a variance is granted under this subsection, the Department will require the permittee to construct and operate the tank system in the manner that was demonstrated to meet the requirements for the variance.
(i) All tank systems, until such time as secondary containment that meets the requirements of this section is provided, shall comply with the following:
(1) subsections (c)(2), (c)(4), (e)(1)(A) or (e)(2)(A) (except for tanks that do not contain free liquids), and (e)(1)(B) or (e)(2)(B);
(2) for nonenterable underground tanks, a leak test that meets the requirements of section 66264.191(c)(5) or other tank integrity method, as approved or required by the Department, shall be conducted at least annually;
(3) for other than nonenterable underground tanks, the owner or operator shall either conduct a leak test as in subsection (i)(2) of this section or develop a schedule and procedure for an assessment of the overall condition of the tank system by an independent, qualified professional engineer, registered in California, in accordance with section 66270.11(d). The schedule and procedure shall be adequate to detect obvious cracks, leaks, and corrosion or erosion that may lead to cracks and leaks. The owner or operator shall remove the stored waste from the tank, if necessary, to allow the condition of all internal tank surfaces to be assessed. The frequency of these assessments shall be based on the material of construction of the tank and its ancillary equipment, the age of the system, the type of corrosion or erosion protection used, the rate of corrosion or erosion observed during the previous inspection and the characteristics of the waste being stored or treated;
(4) for ancillary equipment, a leak test or other integrity assessment as approved by the Department shall be conducted at least annually;
(5) the owner or operator shall maintain on file at the facility a record of the results of the assessments conducted in accordance with subsections (i)(2) through (i)(4) of this section;
(6) if a tank system or component is found to be leaking or unfit for use as a result of the leak test or assessment in subsections (i)(2) through (i)(4) of this section, the owner or operator shall comply with the requirements of section 66264.196.
(j)(1) Notwithstanding subsection (a) through (c) of this section, secondary containment that meets the requirements of  subsections (l) and (m) shall be provided for tank systems used to manage hazardous wastes generated onsite, and which meet the criteria specified in subsection (j)(2) of this section:
(A) prior to the tank system or component being placed in service for new tank systems or components; or
(B) by January 24, 1998 for existing tank systems.
(2) The provisions of subsection (j)(1) of this section apply only to:
(A) onground or aboveground tank systems containing only non-RCRA hazardous wastes generated onsite, and tank systems authorized under Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, and Conditional Exemption pursuant to HSC 25201.5, and
(B) onground or aboveground tank systems containing RCRA hazardous wastes generated onsite, if:
1. the owner or operator is a conditionally exempt small quantity generator as defined in 40 CFR section 261.5, or a small quantity generator of more than 100 kg but less than 1000 kg per month as defined in 40 CFR section 265.201, or
2. the owner or operator is not subject to regulation in 40 CFR part 264 pursuant to an exemption in 40 CFR section 264.1, but the owner or operator is subject to the standards of this article.
(k) A generator or owner or operator authorized pursuant to Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, or Conditional Exemption pursuant to HSC 25201.5, operating a non-RCRA underground tank system or an underground tank system otherwise exempt from permitting requirements pursuant to the federal act, shall comply with the applicable standards of Title 23 of the California Code of Regulations relating to underground tank systems.
(l) Secondary containment for onground or aboveground generator and onsite tier (Permit-by-Rule, Conditional Authorization, and Conditional Exemption), non-RCRA tank systems or tank systems otherwise exempt from permitting requirements pursuant to the federal act, shall consist of any of the devices listed in subsection (d) and satisfy the requirements of (e) of this section or any device or combination of devices as approved by the CUPA, or the Department if there is no CUPA or the CUPA requests that the Department makes a determination, which would satisfy the following minimum requirements:
(1) designed, installed, and operated to prevent any migration of wastes or accumulated liquid out of the system to the soil, ground water, surface water, or air at any time during the use of the tank system; and
(2) capable of detecting and collecting releases and accumulated liquids until the collected material is removed.
(m) Ancillary equipment shall be provided with secondary containment as specified in subsection (f) of this section or an alternative device or devices as approved in writing by the CUPA, or the Department if there is no CUPA or if the CUPA requests that the Department make a determination, which would prevent and/or detect any release of wastes out of the tank system before such wastes could migrate to the soil, ground water, or surface water at any time during the use of the tank system. The following are examples of tank system and ancillary equipment secondary containment alternatives or options that may be proposed for review and approval by the CUPA:
(1) traditional containment of entire system within a bermed containment area with visual and/or electronic leak detection monitoring;
(2) troughs or pipe runs with impermeable liners that incorporate the following:
(A) visual monitoring during hours of operation or;
(B) continuous electronic leak detection monitoring for releases; or
(C) sumps located at low elevations with leak detection monitors.
(3) double-walled piping with continuous interstitial monitoring or monitoring intervals located at low elevation points along pipeline;
(4) Double-walled piping with translucent or transparent sections located at low points or low endpoints so that visual monitoring is possible.
(n) A generator or owner or operator authorized pursuant to Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, and Conditional Exemption pursuant to HSC 25201.5, operating an onground or aboveground, non-RCRA tank system or a tank system otherwise exempt from permitting requirements pursuant to the federal act, that has 18 months or less remaining in service prior to planned closure of the tank system, may propose alternatives to retrofitting the tank system with secondary containment. Local agency requirements must be considered when proposing alternatives to secondary containment. The owner or operator shall provide the following information in writing to the CUPA, or the Department if there is no CUPA or the CUPA requests that the Department make a determination, so that a determination can be made whether the proposed alternative would be acceptable:
(1) name, address, and EPA identification number of the facility;
(2) date of planned closure;
(3) description of tank system to be closed and form of current authorization for the tank system;
(4) description of how the proposed alternative would provide adequate environmental protection such that the design, installation, and operation will be capable of detecting a release and preventing any migration of wastes or accumulated liquid out of the system to the soil, ground water, surface water, or air at any time during the remaining life of the tank system.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25143, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.193.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section and Note filed 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 2-16-96 as an emergency; operative 2-16-96 (Register 96, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-15-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 6-17-96 as an emergency; operative 6-17-96 (Register 96, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-15-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 10-15-96 as an emergency; operative 10-15-96 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-12-97 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 2-11-97 as an emergency, including additional amendment of Note; operative 2-11-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-11-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-11-97 order transmitted to OAL 6-10-97; disapproved by OAL and order of repeal as to 2-11-97 filed on 7-24-97 (Register 97, No. 30).
9. Certificate of Compliance as to 2-11-97 order, including amendment of section, resubmitted to OAL and approved on 7-24-97 (Register 97, No. 30).
10. Change without regulatory effect amending subsection (m)(3) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
11. Amendment of subsections (a)(1)-(2), repealer of subsections (a)(2)(A)-(a)(5)(B)2.b. and (a)(6)(A)-(a)(6)(B)2., renumbering and amendment of former subsection (a)(6) to subsection (a)(3), redesignation of former subsections (a)(6)(B)2.a.-b. to subsections (a)(3)(A)-(B) and amendment of Note filed 9-8-2006; operative 10-8-2006 (Register 2006, No. 36).
§66264.194. General Operating Requirements.
Note     •     History

(a) Hazardous wastes or other materials (e.g., treatment reagents) shall not be placed in a tank system if they could cause the tank, its ancillary equipment or the containment system to rupture, leak, corrode, or otherwise fail.
(b) The owner or operator shall use appropriate controls and practices to prevent spills and overflows from tank or containment systems. These include at a minimum:
(1) spill prevention controls (e.g., check valves, dry disconnect couplings);
(2) overfill prevention controls (e.g., level sensing devices, high level alarms, automatic feed cutoff, or bypass to a standby tank); and
(3) maintenance of sufficient freeboard in uncovered tanks to prevent overtopping by wave or wind action or by precipitation from at least a 24-hour, 25-year storm.
(c) The owner or operator shall comply with the requirements of section 66264.196 if a leak or spill occurs in the tank system.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.194.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.195. Inspections.
Note     •     History

(a) The owner or operator shall develop and follow a schedule and procedure for inspecting overfill controls and shall inspect the overfill controls at least once each operating day to ensure that they are in good working order.
(b) The owner or operator shall inspect at least once each operating day:
(1) aboveground portions of the tank system, if any, to detect corrosion or releases of waste;
(2) data gathered from monitoring and leak detection equipment (e.g., pressure or temperature gauges, monitoring wells) to ensure that the tank system is being operated according to its design; and
(3) the construction materials and the area immediately surrounding the externally accessible portion of the tank system, including the secondary containment system (e.g., dikes) to detect corrosion, erosion or signs of releases of hazardous waste (e.g., wet spots, dead vegetation);
(4) for uncovered tanks, the level of waste in the tank, to ensure compliance with section 66264.194(b)(3).
(c) The owner or operator shall inspect cathodic protection systems, if present, according to, at a minimum, the following schedule to ensure that they are functioning properly.
(1) The proper operation of the cathodic protection system shall be confirmed within six months after initial installation and annually thereafter.
(2) All sources of impressed current shall be inspected and/or tested, as appropriate, at least bimonthly (i.e., every other month).
(d) The owner or operator shall document in the operating record of the facility an inspection of those items in subsections (a) through (c) of this section.
(e) As part of the inspection schedule required in section 66264.15(b), and in addition to the specific requirements of subsection (a) of this section, the owner or operator shall develop a schedule and procedure for assessing the condition of the tank. The schedule and procedure shall be adequate to detect cracks, leaks, corrosion or erosion which may lead to cracks or leaks, or wall thinning to less than the thickness required under section 66264.191(a). Procedures for emptying a tank to allow entry and inspection of the interior shall be established, when necessary, to detect corrosion or erosion of the tank sides and bottom. The frequency of these assessments shall be based on the material of construction of the tank, type of corrosion or erosion observed during previous inspections and the characteristics of the waste being transferred, treated or stored.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.195.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.196. Response to Leaks or Spills and Disposition of Leaking or Unfit-for-Use Tank Systems.
Note     •     History

(a) As part of the contingency plan required under this chapter, the owner or operator shall specify the procedures the facility intends to use to respond to tank spills or leakage, including procedures and timing for expeditious removal of leaked or spilled waste and repair of the tank.
(b) A tank system or secondary containment system from which there has been a leak or spill, or which is unfit for use, shall be removed from service immediately, and the owner or operator shall satisfy the following requirements.
(1) General emergency procedures. The owner or operator shall comply with applicable requirements of section 66264.56 of this division.
(2) Cessation of use; prevention of flow or addition of wastes. The owner or operator shall immediately stop the flow of hazardous waste into the tank system or secondary containment system and inspect the system to determine the cause of the release.
(3) Removal of waste from tank system or secondary containment system.
(A) If the release was from the tank system, the owner/operator shall, within 24 hours after detection of the leak or, if the owner/operator demonstrates that it is not possible, at the earliest practicable time, remove as much of the waste as is necessary to prevent further release of hazardous waste to the environment and to allow inspection and repair of the tank system to be performed.
(B) If the material released was to a secondary containment system, all released materials shall be removed within as timely a manner as is necessary to prevent overflow of the containment system, but within no more than 24 hours, or in as timely a manner as is possible to prevent harm to human health and the environment if the owner or operator provides the demonstration required by section 66264.193(c)(4).
(4) Containment of visible releases to the environment. The owner/operator shall immediately conduct a visual inspection of the release and, based upon that inspection:
(A) prevent further migration of the leak or spill to soils or surface water; and
(B) remove, and properly dispose of, any visible contamination of the soil or surface water.
(5) Notifications, reports.
(A) Any release to the environment, except as provided in subsection (b)(5)(B) of this section, shall be reported to the Department within 24 hours of its detection.
(B) A leak or spill of hazardous waste is exempted from the requirements of subsection (b)(5) of this section, but is not exempt from the requirements of section 66264.56, if it is:
1. less than or equal to a quantity of one (1) pound, and
2. immediately contained and cleaned up.
(C) Within 30 days of detection of a release to the environment, a report containing the following information shall be submitted to the Department:
1. likely route of migration of the release;
2. characteristics of the surrounding soil (soil composition, geology, hydrogeology, climate);
3. results of any monitoring or sampling conducted in connection with the release (if available). If sampling or monitoring data relating to the release are not available within 30 days, these data shall be submitted to the Department as soon as they become available;
4. proximity to downgradient drinking water, surface water, and populated areas; and
5. description of response actions taken or planned.
(6) Provision of secondary containment, repair, or closure.
(A) Unless the owner/operator satisfies the requirements of subsections (b)(6)(B) through (D) of this section, the tank system shall be closed in accordance with section 66264.197.
(B) If the cause of the release was a spill that has not damaged the integrity of the system, the owner/operator may return the system to service as soon as the released waste is removed and repairs, if necessary, are made.
(C) If the cause of the release was a leak from the primary tank system into the secondary containment system, the system shall be repaired prior to returning the tank system to service.
(D) If the source of the release was a leak to the environment from a component of a tank system without secondary containment, the owner/operator shall provide the component of the system from which the leak occurred with secondary containment that satisfies the requirements of section 66264.193 before it can be returned to service, unless the source of the leak is an aboveground portion of a tank system that can be inspected visually. If the source is an aboveground component that can be inspected visually, the component shall be repaired and may be returned to service without secondary containment as long as the requirements of subsection (b)(7) of this section are satisfied. If a component is replaced to comply with the requirements of this subsection, that component shall satisfy the requirements for new tank systems or components in sections 66264.192 and 66264.193. Additionally, if a leak has occurred in any portion of a tank system component that is not readily accessible for visual inspection (e.g., the bottom of an inground or onground tank), the entire component shall be provided with secondary containment in accordance with section 66264.193 prior to being returned to use.
(7) Certification of major repairs. If the owner/operator has repaired a tank system in accordance with subsection (b)(6) of this section, and the repair has been extensive (e.g., installation of an internal liner; repair of a ruptured primary containment or secondary containment vessel), the tank system shall not be returned to service unless the owner/operator has obtained a certification by an independent, qualified, professional engineer, registered in California, in accordance with section 66270.11(d), that the repaired system is capable of handling hazardous wastes without release for the intended life of the system. This certification shall be submitted to the Department within seven days after returning the tank system to use.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.196.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.197. Closure and Post-Closure Care.
Note     •     History

(a) At closure of a tank system, the owner or operator shall remove or decontaminate all waste residues, contaminated containment system components (liners, etc.), contaminated soils, and structures and equipment contaminated with waste, and manage them as hazardous waste, unless section 66261.3(e) of this division applies. The closure plan, closure activities, cost estimates for closure, and financial responsibility for tank systems shall meet all of the requirements specified in articles 7 and 8 of this chapter.
(b) If the owner or operator demonstrates that not all contaminated soils can be practicably removed or decontaminated as required in subsection (a) of this section, then the owner or operator shall close the tank system and perform post-closure care in accordance with the closure and post-closure care requirements that apply to landfills section 66264.310. In addition, for the purposes of closure, post-closure, and financial responsibility, such a tank system is then considered to be a landfill, and the owner or operator shall meet all of the requirements for landfills specified in articles 7 and 8 of this chapter.
(c) If an owner or operator has a tank system that does not have secondary containment that meets the requirements of section 66264.193(b) through (f) and has not been granted a variance from the secondary containment requirements in accordance with section 66264.193(g), then:
(1) the closure plan for the tank system shall include both a plan for complying with subsection (a) of this section and a contingent plan for complying with subsection (b) of this section;
(2) a contingent post-closure plan for complying with subsection (b) of this section shall be prepared and submitted as part of the permit application;
(3) the cost estimates calculated for closure and post-closure care shall reflect the costs of complying with the contingent closure plan and the contingent post-closure plan, if those costs are greater than the costs of complying with the closure plan prepared for the expected closure under subsection (a) of this section;
(4) financial assurance shall be based on the cost estimates in subsection (c)(3) of this section;
(5) for the purposes of the contingent closure and post-closure plans, such a tank system is considered to be a landfill, and the contingent plans shall meet all of the closure, post-closure, and financial responsibility requirements for landfills under articles 7 and 8 of this chapter.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.197.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.198. Special Requirements for Ignitable or Reactive Wastes.
Note     •     History

(a) Ignitable or reactive waste shall not be placed in tank systems, unless:
(1) the waste is treated, rendered, or mixed before or immediately after placement in the tank system so that:
(A) the resulting waste, mixture, or dissolved material no longer meets the definition of ignitable or reactive waste under sections 66261.21 or 66261.23 of this division, and
(B) section 66264.17(b) is complied with; or
(2) the waste is transferred, stored or treated in such a way that it is protected from any material or conditions that may cause the waste to ignite or react; or
(3) the tank system is used solely for emergencies.
(b) The owner or operator of a facility where ignitable or reactive waste is transferred, stored or treated in a tank shall comply with the requirements for the maintenance of protective distances between the waste management area and any public ways, streets, alleys, or an adjoining property line that can be built upon as required in Tables 2-1 through 2-6 of the National Fire Protection Association's “Flammable and Combustible Liquids Code,” (1981), (incorporated by reference, see section 66260.11).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Code; 40 CFR Section 264.198.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.199. Special Requirements for Incompatible Wastes.
Note     •     History

(a) Incompatible wastes, or incompatible wastes and materials, shall not be placed in the same tank system, unless section 66264.17(b) is complied with.
(b) Hazardous waste shall not be placed in a tank system that has not been decontaminated and that previously held an incompatible waste or material, unless section 66264.17(b) is complied with.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.199.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.200. Air Emission Standards.
Note     •     History

The owner or operator shall manage all hazardous waste placed in a tank in accordance with the applicable requirements of Articles 27, 28 and 28.5 of this Chapter.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 264.200.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
Article 11. Surface Impoundments
§66264.220. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of facilities that use surface impoundments to treat, store, or dispose of hazardous waste except as section 66264.1 of this chapter provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.220.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.221. Design and Operating Requirements.
Note     •     History

(a) Any surface impoundment that is not covered by subsection (c) of this section or section 66265.221 shall have a liner for all portions of the impoundment (except for existing portions of such impoundments). The liner shall be designed, constructed, and installed to prevent any migration of wastes out of the impoundment to the adjacent subsurface soil or ground water or surface water at any time during the active life (including the closure period) of the impoundment. The liner may be constructed of materials that may allow wastes to migrate into the liner (but not into the adjacent subsurface soil or ground water or surface water) during the active life of the facility, provided that the impoundment is closed in accordance with section 66264.228(a)(1). For impoundments that will be closed in accordance with section 66264.228(a)(2), the liner shall be constructed of materials that can prevent wastes from migrating into the liner during the active life of the facility. The liner shall be:
(1) constructed of materials that have appropriate chemical properties and sufficient strength and thickness to prevent failure due to pressure gradients (including static head and external hydrogeologic forces), physical contact with the waste or leachate to which they are exposed, climatic conditions, the stress of installation, and the stress of daily operation;
(2) placed upon a foundation or base capable of providing support to the liner and resistance to pressure gradients above and below the liner to prevent failure of the liner due to settlement, compression, or uplift; and
(3) installed to cover all surrounding earth likely to be in contact with the waste or leachate.
(b) The owner or operator will be exempted from the requirements of subsection (a) of this section if the Department finds, based on a demonstration by the owner or operator, that alternate design and operating practices, together with location characteristics, will prevent the migration of any hazardous constituents into soil outside the impoundment or into the ground water or surface water at any future time. In deciding whether to grant an exemption, the Department will consider:
(1) the nature and quantity of the wastes;
(2) the proposed alternate design and operation;
(3) the hydrogeologic setting of the facility, including the alternative capacity and thickness of the liners and soils present between the impoundment and ground water or surface water; and
(4) all other factors which would influence the quality and mobility of the leachate produced and the potential for it to migrate to ground water or surface water;
(5) the potential for lateral migration of hazardous constituents which could present a threat to public health or the environment;
(6) recommendations of the State Water Resources Control Board or the appropriate Regional Water Quality Control Board.
(c) The owner or operator of each new surface impoundment unit on which construction commences after January 29, 1992, each lateral expansion of a surface impoundment unit on which construction commences after July 29, 1992 and each replacement of an existing surface impoundment unit that is to commence reuse after July 29, 1992 shall install two or more liners and a leachate collection and removal system between such liners. “Construction commences” is as defined in section 66260.10 of this chapter under “existing facility”. When an existing surface impoundment is expanded after  January 29, 1992, the entire surface impoundment will be treated as a surface impoundment constructed after January 29, 1992. The requirements of this subsection shall not apply to surface impoundment units receiving only non-RCRA hazardous waste until February 18, 1996.
(1)(A) The liner system shall include:
1. A top liner designed and constructed of materials (e.g., a geomembrane) to prevent the migration of hazardous constituents into such liner during the active life and post-closure care period; and
2. A composite bottom liner, consisting of at least two components. The upper component shall be designed and constructed of materials (e.g., a geomembrane) to prevent the migration of hazardous constituents into this component during the active life and post-closure care period. The lower component shall be designed and constructed of materials to minimize the migration of hazardous constituents if a breach in the upper component were to occur. The lower component shall be constructed of at least 3 feet (91 cm) of compacted soil material with a hydraulic conductivity of no more than 1x10-7 cm/sec.
(B) The liners shall comply with subsections (a)(1), (2), and (3) of this section.
(2) The leachate collection and removal system between the liners, and immediately above the bottom composite liner in the case of multiple leachate collection and removal systems, is also a leak detection system. This leak detection system shall be capable of detecting, collecting, and removing leaks of hazardous constituents at the earliest practicable time through all areas of the top liner likely to be exposed to waste or leachate during the active life and post-closure care period. The requirements for a leak detection system in this subsection are satisfied by installation of a system that is, at a minimum:
(A) Constructed with a bottom slope of one percent or more;
(B) Constructed of granular drainage materials with a hydraulic conductivity of 1x10-1 cm/sec or more and a thickness of 1 foot (30.5 cm) or more; or constructed of synthetic or geonet drainage materials with a transmissivity of 3x10-4 m2/sec or more. In cases where the leak detection system is composed of coarse granular material, there shall be a suitable interface (e.g., geotextile) between the leak detection system and any flexible membrane liner, as needed to prevent the coarse grains from causing a puncture in the flexible membrane liner under the high stress conditions caused by the overlying waste;
(C) Constructed of materials that are chemically resistant to the waste managed in the surface impoundment and the leachate expected to be generated, and of sufficient strength and thickness to prevent collapse under the pressures exerted by overlying wastes and any waste cover materials or equipment used at the surface impoundment;
(D) Designed and operated to minimize clogging during the active life and post-closure care period; and
(E) Constructed with sumps and liquid removal methods (e.g., pumps) of sufficient size to collect and remove liquids from the sump and prevent liquids from backing up into the drainage layer. Each unit shall have its own sump(s). The design of each sump and removal system shall provide a method for measuring and recording the volume of liquids present in the sump and of liquids removed.
(3) The owner or operator shall collect and remove pumpable liquids in the sumps to minimize the head on the bottom liner.
(4) The liner system shall be designed, constructed and operated to ensure that leak detection system shall be a minimum of 5 feet above the highest anticipated elevation of groundwater.
(d) The liners shall be designed and constructed to contain the waste and leachate fluids when subjected to the maximum anticipated hydraulic head which will be imposed during disposal operations and the post-closure maintenance period.
(e) The leachate collection and removal system shall:
(1) be designed, constructed, maintained and operated to collect leachate from the area, and to ensure that there is no buildup of hydraulic head on the liner. The depth of fluid in the collection sump shall be kept at a minimum needed to ensure sufficient pump operation;
(f) The Department may approve alternative design or operating practices to those specified in subsection (c) of this section if the owner or operator demonstrates to the Department that such design and operating practices, together with location characteristics:
(1) Will prevent the migration of any hazardous constituent into the groundwater or surface water at least as effectively as the liners and leachate collection and removal system specified in subsection (c) of this section; and
(2) Will allow detection of leaks of hazardous constituents through the top liner at least as effectively.
(g) The double liner requirement set forth in subsection (c) of this section shall be waived by the Department for any monofill, if:
(1) the monofill contains only hazardous wastes from foundry furnace emission controls or metal casting molding sand, and such wastes do not contain constituents which would render the wastes hazardous for reasons other than exceeding the soluble threshold limit concentration as described in section 66261.24; and
(2)(A) 1. the monofill has at least one liner for which there is no evidence that such liner is leaking. For the purposes of this subsection, the term “liner” means a liner designed, constructed, installed, and operated to prevent hazardous waste from passing into the liner at any time during the active life of the facility, or a liner designed, constructed, installed, and operated to prevent hazardous waste from migrating beyond the liner to adjacent subsurface soil, ground water, or surface water at any time during the active life of the facility. In the case of any surface impoundment which has been exempted from the requirements of subsection (c) of this section on the basis of a liner designed, constructed, installed, and operated to prevent hazardous waste from passing beyond the liner, at the closure of such impoundment, the owner or operator shall remove or decontaminate all waste residues, all contaminated liner material, and contaminated soil to the extent practicable. If all contaminated soil is not removed or decontaminated, the owner or operator of such impoundment will comply with appropriate post-closure requirements, including but not limited to groundwater monitoring and corrective action;
2. the monofill is located more than one-quarter mile from an underground source of drinking water as defined in section 66260.10 of this chapter; and
3. the monofill is in compliance with generally applicable groundwater monitoring requirements for facilities with permits; or the owner or operator demonstrates that the monofill is located, designed and operated so as to assure that there will be no migration of any hazardous constituent into ground water or surface water at any future time.
(h) A surface impoundment shall be designed, constructed, maintained, and operated to prevent overtopping resulting from normal or abnormal operations; overfilling; wind and wave action; rainfall; run-on; malfunctions of level controllers, alarms, and other equipment; and human error.
(i) A surface impoundment shall have dikes that are designed, constructed, and maintained with sufficient structural integrity to prevent massive failure of the dikes. In ensuring structural integrity, it must not be presumed that the liner system will function without leakage during the active life of the unit.
(j) The Department will specify in the permit all design and operating practices that are necessary to ensure that the requirements of this section are satisfied.
(k) The owner or operator of any replacement surface impoundment unit is exempt from subsection (c) of this section if:
(1) The existing unit was constructed in compliance with the design standards of 42 USC section 6924(o)(1)(A)(i) and 42 USC section 6924(o)(5); and
(2) There is reason to believe that the liner is functioning as designed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR 40 section 264.221.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect amending subsections (c), (f)(1) and (k)(1) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
4. Change without regulatory effect amending subsections (c) and (c)(4) filed 10-21-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 43).
§66264.222. Action Leakage Rate.
Note     •     History

(a) The Department shall approve an action leakage rate for surface impoundment units subject to section 66264.221 (c) or (f). The action leakage rate is the maximum design flow rate that the leak detection system (LDS) can remove without the fluid pressure head on the bottom liner exceeding 1 foot (30.5 cm) at any given portion of the liner. The action leakage rate shall include an adequate safety margin to allow for uncertainties in the design (e.g., slope, hydraulic conductivity, thickness of drainage material), construction, operation, and location of the LDS, waste and leachate characteristics, likelihood and amounts of other sources of liquids in the LDS, and proposed response actions (e.g., the action leakage rate shall consider decreases in the flow capacity of the system over time resulting from siltation and clogging, rib layover and creep of synthetic components of the system, overburden pressures, etc.). 
(b) To determine if the action leakage rate has been exceeded, the owner or operator shall convert the weekly or monthly flow rate from the monitoring data obtained under section 66264.226(d) to an average daily flow rate (gallons per acre per day) for each sump. Unless the Department approves a different calculation, the average daily flow rate for each sump shall be calculated weekly during the active life and closure period, and if the unit is closed in accordance with section 66264.228(b), monthly during the post-closure care period when monthly monitoring is required under section 66264.226(d).
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.222.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
2. Change without regulatory effect amending subsection (a) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66264.223. Response Actions.
Note     •     History

(a) The owner or operator of surface impoundment units subject to section 66264.221(c) or (f) shall have an approved response action plan before receipt of waste. The response action plan shall set forth the actions to be taken if the action leakage rate has been exceeded. At a minimum, the response action plan shall describe the actions specified in subsection (b) of this section.
(b) If the flow rate into the leak detection system exceeds the action leakage rate for any sump, the owner or operator shall:
(1) Notify the Department in writing of the exceedence within 7 days of the determination;
(2) Submit a preliminary written assessment to the Department within 14 days of the determination, as to the amount of liquids, likely sources of liquids, possible location, size, and cause of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location size, and cause of any leak;
(4) Determine whether waste receipt should cease or be curtailed, whether any waste should be removed from the unit for inspection, repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage rate has been exceeded, submit to the Department the results of the analyses specified in subsections (b)(3), (4) and (5) of this section, the results of actions taken, and actions planned. Monthly thereafter, as long as the flow rate in the leak detection system exceeds the action leakage rate, the owner or operator shall submit to the Department a report summarizing the results of any remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in subsections (b)(3), (4) and (5) of this section, the owner or operator shall:
(1)(A) Assess the source of liquids and amounts of liquids by source,
(B) Conduct a fingerprint, hazardous constituent, or other analyses of the liquids in the leak detection system to identify the source of liquids and possible location of any leaks, and the hazard and mobility of the liquid; and
(C) Assess the seriousness of any leaks in terms of potential for escaping into the environment; or
(2) Document why such assessments are not needed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.223.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66264.226. Monitoring and Inspection.
Note     •     History

(a) During construction and installation, liners (except in the case of existing portions of surface impoundments exempt from section 66264.221(a)) and cover systems (e.g., membranes, sheets, or coatings) shall be inspected for uniformity, damage, and imperfections (e.g., holes, cracks, thin spots, or foreign materials). Immediately after construction or installation:
(1) synthetic liners and covers shall be inspected to ensure tight seams and joints and the absence of tears, punctures, or blisters; and
(2) soil-based and admixed liners and covers shall be inspected for imperfections including lenses, cracks, channels, root holes, or other structural non-uniformities that may cause an increase in the permeability of the liner or cover.
(b) While a surface impoundment is in operation, it shall be inspected weekly and after storms to detect evidence of any of the following:
(1) deterioration, malfunctions, or improper operation of overtopping control systems;
(2) sudden drops in the level of the impoundment's contents; and
(3) the presence of liquids in leak detection systems;
(4) severe erosion or other signs of deterioration in dikes or other containment devices.
(c) Prior to the issuance of a permit, and after any extended period of time (at least six months) during which the impoundment was not in service, the owner or operator shall obtain a certification from a qualified engineer, registered in California, that the impoundment's dike, including that portion of any dike which provides freeboard, has structural integrity. The certification must establish, in particular, that the dike:
(1) will withstand the stress of the pressure exerted by the types and amounts of wastes to be placed in the impoundment;
(2) will not fail due to scouring or piping, without dependence on any liner system included in the surface impoundment construction;
(3) will not fail due to external or internal forces from a maximum credible earthquake or landslide.
(d)(1) An owner or operator required to have a leak detection system under section 66264.221(c) or (f) shall record the amount of liquids removed from each leak detection system sump at least once each week during the active life and closure period.
(2) After the final cover is installed, the amount of liquids removed from each leak detection system sump shall be recorded at least monthly. If the liquid level in the sump stays below the pump operating level for two consecutive months, the amount of liquids in the sumps shall be recorded at least quarterly. If the liquid level in the sump stays below the pump operating level for two consecutive quarters, the amount of liquids in the sumps shall be recorded at least semi-annually. If at any time during the post-closure care period the pump operating level is exceeded at units on quarterly or semi-annual recording schedules, the owner or operator shall return to monthly recording of amounts of liquids removed from each sump until the liquid level again stays below the pump operating level for two consecutive months.
(3) “Pump operating level” is a liquid level proposed by the owner or operator and approved by the Department based on pump activation level, sump dimensions, and level that avoids backup into drainage layer and minimizes head in the sump.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.226.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New subsections (d)(1)-(3) and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66264.227. Emergency Repairs; Contingency Plans.
Note     •     History

(a) A surface impoundment shall be removed from service in accordance with subsection (b) of this section when:
(1) the level of liquids in the impoundment suddenly drops and the drop is not known to be caused by changes in the flows into or out of the impoundment; or
(2) the dike leaks.
(b) When a surface impoundment must be removed from service as required by subsection (a) of this section, the owner or operator shall:
(1) immediately shut off the flow or stop the addition of wastes into the impoundment;
(2) immediately contain any surface leakage which has occurred or is occurring;
(3) immediately stop the leak;
(4) take any other necessary steps to stop or prevent catastrophic failure;
(5) if a leak cannot be stopped by any other means, empty the impoundment; and
(6) notify the Department of the problem in writing within seven days after detecting the problem.
(c) As part of the contingency plan required in article 4 of this chapter, the owner or operator shall specify a procedure for complying with the requirements of subsection (b) of this section.
(d) No surface impoundment that has been removed from service in accordance with the requirements of this section may be restored to service unless the portion of the impoundment which was failing is repaired and the following steps are taken.
(1) If the impoundment was removed from service as the result of actual or imminent dike failure, the dike's structural integrity must be recertified in accordance with section 66264.226(c).
(2) If the impoundment was removed from service as the result of a sudden drop in the liquid level, then:
(A) for any existing portion of the impoundment, a liner shall be installed in compliance with section 66264.221(a); and
(B) for any other portion of the impoundment, the repaired liner system shall be certified by a qualified engineer, registered in California, as meeting the design specifications approved in the permit.
(e) A surface impoundment that has been removed from service in accordance with the requirements of this section and that is not being repaired shall be closed in accordance with the provisions of section 66264.228.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.227.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.228. Closure and Postclosure Care.
Note     •     History

(a) At closure, the owner or operator shall:
(1) remove or decontaminate all waste residues, contaminated containment system components (liners, etc.), contaminated subsoils, and structures and equipment contaminated with waste and leachate, and manage them as hazardous waste unless section 66261.3(d) applies; or
(2)(A) eliminate free liquids by removing liquid wastes or solidifying the remaining wastes and waste residues;
(B) stabilize remaining wastes to a bearing capacity sufficient to support final cover; and
(C) cover the surface impoundment with a final cover designed and constructed to:
1. prevent the downward entry of water into the closed impoundment throughout a period of at least 100 years;
2. function with minimum maintenance;
3. promote drainage and minimize erosion or abrasion of the final cover;
4. accommodate settling and subsidence so that the cover's integrity is maintained; and
5. have a permeability less than or equal to the permeability of any bottom liner system or natural subsoils present;
6. accommodate lateral and vertical shear forces generated by the maximum credible earthquake so that the integrity of the cover is maintained;
7. preclude ponding of rainfall and surface run-on over the closed area.
(b) If some waste residues, contaminated materials or contaminated soils are left in place at final closure, the owner or operator shall comply with all postclosure requirements contained in sections 66264.117 through 66264.120, including maintenance and monitoring throughout the postclosure care period (specified in the permit under section 66264.117). The owner or operator shall:
(1) close the facility in a manner that will minimize any chance of postclosure release of hazardous waste or discarded hazardous material; facilitate postclosure maintenance, monitoring and emergency response; and require minimum maintenance of containment structures, leachate collection systems and surface drainage collection or diversion systems;
(2) maintain the integrity and effectiveness of the final cover, including making repairs to the cap as necessary to correct the effects of settling, subsidence, erosion or other events;
(3) maintain and monitor the leachate collection and removal system which also serves as a leak detection system;
(4) maintain and monitor the groundwater monitoring system and comply with all other applicable requirements of article 6 of this chapter;
(5) prevent run-on and run-off from eroding or otherwise damaging the final cover, and
(6) Maintain and monitor the leak detection system in accordance with sections 66264.221(c)(2)(D) and (c)(3) and 66264.226(d), and comply with all other applicable leak detection system requirements of this chapter;
(c)(1) If an owner or operator plans to close a surface impoundment in accordance with subsection (a)(1) of this section, then:
(A) the closure plan for the impoundment under section 66264.112 shall include both a plan for complying with subsection (a)(1) of this section and a contingent plan for complying with subsection (a)(2) of this section in case not all contaminated subsoils can be practicably removed at closure; and
(B) the owner or operator shall prepare a contingent postclosure plan under section 66264.118 for complying with subsection (b) of this section in case not all contaminated subsoils can be practicably removed at closure.
(2) The cost estimates calculated under sections 66264.142 and 66264.144 for closure and postclosure care of an impoundment subject to this paragraph shall include the cost of complying with the contingent closure plan and the contingent postclosure plan.
(d) During the postclosure care period, if liquids leak into a leak detection system, the owner or operator shall notify the Department of the leak in writing within seven (7) days after detecting the leak.
(e) If waste is to remain in a unit after closure, the owner or operator shall comply with, and plan for compliance with the following:
(1) The unit shall be compacted before any portion of the final cover is installed.
(2) (reserved).
(3) (reserved).
(4) A foundation layer shall be provided for the compacted barrier layer of the final cover. If needed, the foundation layer shall contain herbicide sufficient to prevent vegetative growth, and shall be free of decomposable organic matter. The layer shall be compacted at a moisture content sufficient to achieve the density required to provide adequate support for the nonearthen membrane.
(5) A compacted barrier layer of clean earth shall be provided above the foundation layer, and shall be provided around the unit to a depth as low as the level at which the owner or operator has deposited waste, to prevent lateral migration of waste and gas and vapor from the waste. The layer of earth shall be wholly below the average depth of frost penetration, and shall be compacted at a moisture content sufficient to achieve a percent compaction that has been demonstrated, with the specific cover material to be used, to prevent the downward entry of water into the foundation layer for a period of at least 100 years.
(6) The earthen material shall contain herbicide sufficient to prevent growth of vegetation. The slope of the final top surface of the compacted barrier layer shall be sloped after allowance for settling and subsidence to prevent the build up of hydraulic head.
(7) the owner or operator may use nonearthen materials for the barrier layer provided it is demonstrated to the satisfaction of the Department that a barrier layer of alternative composition will equally impede movement of fluid and be as durable as a compacted earthen barrier.
(8) If hazardous waste is underlain by a liner containing a synthetic membrane, then a synthetic membrane shall be provided in the final cover above the compacted barrier layer. The membrane shall be made of material chemically resistant to the waste at the facility, whether or not contact between the membrane and the waste is anticipated, and shall have thickness and strength sufficient to withstand the stresses to which it shall be including shear forces, puncture from rocks or penetration from roots.
(9) If a synthetic membrane is used in the final cover system, the owner or operator shall provide a layer of material above the synthetic membrane of the final cover, and a layer of material below this synthetic membrane, to protect the membrane from damage.
(10) The owner or operator shall provide a water drainage layer, blanket or channel above the compacted barrier layer of the final cover to provide a path for water to exit rapidly.
(11) The owner or operator shall provide a filter layer above the water drainage layer to prevent soils from clogging the drainage layer.
(12) The owner or operator shall provide a layer of top soil of thickness sufficient to support vegetation for erosion controlled deep enough to prevent root penetration into the filter layer. The top soil shall have characteristics to protect the compacted layer against drying that would lead to cracking, to resist erosion and to support vegetation growth.
(13) Permanent disposal areas shall be graded at closure so that with allowance for settling and subsidence, the slope of the land surface above all portions of the cover, shall be sufficient to prevent ponding of water. Such areas shall be graded to drain precipitation away from the disposal area. Portions of the land surface above the cover unavoidably slopes great enough to invite erosion which cannot be readily controlled by vegetation shall be protected by gunite, riprap or other material sufficient to provide erosion control.
(14) Unless vegetation on the cover would pose a significant fire hazard unacceptable to the fire prevention authority or would interfere with a planned postclosure use of the site that is acceptable to the Department, the owner or operator shall provide conditions favorable for hearty growth of vegetation that will provide erosion control without forming roots that would penetrate the compacted earth cover, and shall estimate the cost of providing such conditions and vegetation as part of the cost of closure. Vegetation for closed disposal areas shall be selected to require minimum watering and maintenance. Plantings shall not impair the integrity of containment structures or the final cover.
(15) At and after closure, permanent disposal areas shall have drainage systems capable of transporting water from the water drainage layer away from the closed facility and capable of diverting surface runoff away from or around disposal areas, containment structures, leachate collection systems and monitoring facilities. Drainage systems shall be capable of preventing erosion of containment structures. Drainage system components themselves shall be lined or otherwise protected against erosion.
(16)(A) When closing a permanent disposal site, the owner or which the horizontal location and elevation of the cover and other containment features, monitoring facilities and drainage features can be determined throughout the entire postclosure care period. All survey work shall conform to accepted survey practices and be performed and certified by a licensed land surveyor or registered professional engineer licensed to practice surveying.
(B) The owner or operator shall submit a copy of the surveyor's notes used to establish the benchmarks described in this subsection in accordance with section 66264.116.
(17) The owner or operator shall provide in the closure plan predictions of the magnitude of the drops in elevation that will occur at various portions of the top surface of the final cover as a result of settling and subsidence. The prediction shall account for compression of material underlying the liner (or underlying the waste if there is no liner) and compression of the liner, waste, fill and cover. The prediction of the drop in elevation due to compression shall account for immediate settlement, primary consolidation, secondary consolidation and creep, liquefaction and dynamic consolidation due to earthquake loads.
(18) If the following information has not already been submitted to the Department and if dikes and hazardous waste will remain at the site after closure, the owner or operator shall provide in the closure plan proof that the dikes have sufficient structural integrity to withstand forces to which they can be exposed during and after closure, including the following:
(A) descriptions of topography and site conditions as required by section 66270.14(b)(18);
(B) depiction of the design layout, sections and details of the impoundment and its components, including cover, dike, liner, drainage and leak detection system;
(C) a description of, and the results of, stability analyses for the following conditions:
1. foundation soil bearing failure;
2. failure in the dike slopes; and
3. build-up of hydrostatic pressure due to failure of drainage system and cover, considering the potential for piping and erosion;
(D) strength and compressibility test results pertaining to the dike material;
(E) descriptions of dike construction and postclosure maintenance procedures with schedules and specifications;
(F) descriptions of subsurface soil conditions, groundwater levels, bedrock conditions and seismic setting of the site;
(G) discussion of the occurrence or nonoccurrence of the following factors and the significance of those factors to the integrity of the dikes:
1. frost, freezing, wind, rain, temperature variations, effects of vegetation and animals and activities of humans;
2. adversely oriented joints, slickensides or fissured material, faults, seams of soft materials and weak layers;
3. potential for liquefaction during earthquakes coincident with existence of saturated conditions due to failure of drainage system and cover;
(H) a certification by a professional engineer registered in California that the dikes have sufficient structural integrity to withstand forces to which they can be exposed during and after closure, based on analyses, tests and inspections that include the following:
1. a review of all the geologic, geotechnical, geohydrologic and other pertinent design, construction and service data;
2. a review of all climatic data, and special geologic events, such as earthquakes, which occurred during the entire period the impoundment was in service;
3. a field inspection to detect signs of settlement, subsidence, cracks, scouring, erosion, slides, holes, piping, seepage, sloughing, condition of vegetation, etc.; and
4. a determination if the original design was adequate and a review of possible changes in parameters used in the original design.
(19) The owner or operator shall include in the closure plan an explanation of how the cover, construction procedures and planned postclosure care are designed to accommodate or avoid the effects of differential settlement and consolidation without loss of integrity of the cover.
(f) Before installing the compacted barrier layer of the final cover the owner or operator shall accurately establish the correlation between the desired permeability and the density at which that permeability is achieved. To accomplish this the owner or operator shall:
(1) provide a representative foundation area for a test compacted barrier layer having drainage conditions representative of the closed facility under the compacted barrier layer;
(2) install a compacted barrier layer over that test area that has the depth and materials of construction that the compacted barrier layer for the entire landfill is planned to have, and that is compacted in the manner planned for the compacted barrier layer for the entire landfill;
(3) undertake permeability tests in the test area saturated conditions that represent the maximum hydraulic could be exerted on the compacted barrier layer of the final cover. A sufficient number of tests shall be run to verify the results. A permeability test shall commence after the test apparatus has run for a time long enough to allow the required daily rate of replenishment water to maintain constant head or to follow an asymptotic or constant trend. The rate of evaporation from the test equipment used to determine permeability shall be established;
(4) undertake a sufficient number of tests in the test area to determine the average density at which permeability complying with subsection (e)(5) of this section is obtained.
(g) The owner or operator shall comply with the following when installing the compacted barrier layer of the final cover.
(1) In each day in which final cover material is compacted, the owner or operator shall establish a grid on the upper surface of each layer compacted that day and randomly conduct density tests. A sufficient number of tests shall be conducted to confirm the effectiveness and uniformity of the compaction.
(2) If the Department indicates areas where compaction tests will be needed, the owner or operator shall undertake such tests in those areas.
(3) If the average of the values of compaction from the tests is lower than the average density pursuant to subsection (f)(4) of this section, the entire layer installed on the day represented by the tests shall be removed and replaced with another layer compacted so that compaction tests taken indicate a density higher than the average density determined pursuant to subsection (f)(4) of this section.
(4) An independent, qualified person registered in California as a professional engineer or certified in California as an engineering geologist shall supervise the undertaking of all tests for permeability and percent compaction, shall supervise the construction of the final cover and shall prepare a report to be submitted to the Department which bears his or her signature and the date of the signature, and describes the results of all tests and indicates whether or not the cover, as installed, complies with the requirements of this chapter.
(5) Before starting compaction of earthen material to form the compacted barrier layer of the cover, the owner or operator shall submit to the Department the results of the following determinations, on material to be used for the compacted barrier layer of the final cover:
(A) percent fines;
(B) plastic limit, liquid limit, plasticity index and shrinkage factors;
(C) soil classification;
(D) carbon content;
(E) concentration of soluble salts in soil pore water.
(h) All slopes shall be designed and constructed to minimize the potential for failure. Any slope failure occurring within the site shall be promptly stabilized and the Department and the appropriate regional board shall be notified immediately by the owner or operator of such failure and the methods taken for stabilization.
(i) Adequate facilities shall be provided to ensure for a 100 year period that no leachate shall be discharged to surface waters or groundwater, except as authorized by the hazardous waste facility permit.
(j) Hazardous waste and discarded hazardous material contained in the closed facility shall be protected from washout and erosion as the result of tides or floods having a predicted frequency of once in 100 years.
(k) An inspection and monitoring program shall be established at every closed disposal area wherein an independent, qualified engineer registered in California shall annually evaluate and document the condition of all surface improvements, drainage facilities, erosion control facilities, vegetative cover, gas control facilities and monitoring facilities. This program shall also document the presence of any water or leachate flowing from the disposal area. The engineer shall evaluate the following and the effects of the following:
(1) condition of access control (fences and gates),
(2) condition of vegetation,
(3) erosion,
(4) cracking,
(5) disturbance by cold weather,
(6) seepage,
(7) slope stability,
(8) subsidence,
(9) settlement,
(10) monitoring the leak detection system, if there is one,
(11) operation of the leachate collection and removal system,
(12) monitoring the groundwater monitoring system,
(13) condition of run-on and run-off control systems, and
(14) condition of surveyed benchmarks.
The program shall be continued by the owner or operator of the disposal area throughout the postclosure care period. A copy of the annual report containing the above-cited observations shall be filed in a timely manner with the Department and the appropriate regional board.
(l) [Reserved]
(m) All constructed features which will remain at permanent disposal areas containing hazardous waste material shall be able to withstand the maximum credible earthquake without significant damage to foundations, structures, waste containment features and features which control leachate, surface drainage, erosion and gas.
(n) (Reserved)
(o) If monitoring equipment or other features which are required to be operable after closure of the facility pursuant to this chapter are rendered inoperable, the owner or operator shall render it operable or replace it with operable equipment or other features.
(p) Postclosure care which the owner or operator shall provide for shall include the conducting of surveys by a licensed land surveyor, to determine the horizontal location and elevation of the cover and other containment features, monitoring facilities and drainage features, and markers installed at the site pursuant to subsection (e)(16) of this section. Such surveys shall be taken annually.
(q) The owner or operator shall reconstruct the closed facility to restore slopes and other conditions to conform to the requirements of this chapter when movement at the site has caused them not to comply with such requirements.
(r) The owner or operator shall submit annual reports to the Department describing measures undertaken at the site during the postclosure maintenance period.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.228.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (b)(4)-(5), new subsection (b)(6)  and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66264.229. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

Ignitable or reactive waste shall not be placed in a surface impoundment unless the waste and impoundment satisfy all applicable requirements of chapter 18 of this division, and:
(a) the waste is treated, rendered, or mixed before or immediately after placement in the impoundment so that:
(1) the resulting waste, mixture, or dissolution of material no longer meets the definition of ignitable or reactive waste under sections 66261.21 or 66261.23 of this chapter; and
(2) section 66264.17(b) is complied with; or
(b) the waste is managed in such a way that it is protected from any material or conditions which may cause it to ignite or react; or
(c) the surface impoundment is used solely for emergencies.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.229.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.230. Special Requirements for Incompatible Wastes.
Note     •     History

Incompatible wastes, or incompatible wastes and materials, (see Appendix V of this chapter for examples) shall not be placed in the same surface impoundment, unless section 66264.17(b) is complied with.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.230.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.231. Special Requirements for Hazardous Wastes F020, F021, F022, F023, F026, and F027.
Note     •     History

(a) Hazardous Wastes F020, F021, F022, F023, F026, and F027 shall not be placed in a surface impoundment unless the owner or operator operates the surface impoundment in accordance with a management plan for these wastes that is approved by the Department pursuant to the standards set out in this subsection, and in accord with all other applicable requirements of this chapter. The factors to be considered are:
(1) the volume, physical, and chemical characteristics of the wastes, including their potential to migrate through soil or to volatilize or escape into the atmosphere;
(2) the attenuative properties of underlying and surrounding soils or other materials;
(3) the mobilizing properties of other materials co-disposed with these wastes; and
(4) the effectiveness of additional treatment, design, or monitoring techniques.
(b) The Department shall impose additional design, operating, and monitoring requirements for surface impoundments managing hazardous wastes F020, F021, F022, F023, F026, and F027 if necessary to reduce the possibility of migration of these wastes to ground water, surface water, or air so as to protect human health and the environment.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.231.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.232. Air Emission Standards.
Note     •     History

The owner or operator shall manage all hazardous waste placed in a surface impoundment in accordance with the applicable requirements of Articles 28 and 28.5 this Chapter.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 264.232.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
Article 12. Waste Piles
§66264.250. Applicability.
Note     •     History

(a) The regulations in this article apply to owners and operators of facilities that store or treat hazardous waste in piles, except as section 66264.1 provides otherwise.
(b) The regulations in this article do not apply to owners or operators of waste piles that are part of a permitted facility and are closed with wastes left in place. Such waste piles are subject to regulation under article 14 of this chapter (Landfills).
(c) The owner or operator of any waste pile that is inside or under a structure that provides protection from precipitation so that neither run-off nor leachate is generated is not subject to regulation under section 66264.251 or under article 6 of this chapter, provided that:
(1) liquids or materials containing free liquids are not placed in the pile;
(2) the pile is protected from surface water run-on by the structure or in some other manner;
(3) the pile is designed and operated to control dispersal of the waste by wind, where necessary, by means other than wetting; and
(4) the pile will not generate leachate through decomposition or other reactions.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.250.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.251. Design and Operating Requirements.
Note     •     History

(a) A waste pile (except for an existing portion of a waste pile) shall have:
(1) a liner that is designed, constructed, and installed to prevent any migration of wastes out of the pile into the adjacent subsurface soil or ground water or surface water at any time during the active life (including the closure period) of the waste pile. The liner may be constructed of materials that may allow waste to migrate into the liner itself (but not into the adjacent subsurface soil or ground water or surface water) during the active life of the facility. The liner shall be:
(A) constructed of materials that have appropriate chemical properties and sufficient strength and thickness to prevent failure due to pressure gradients (including static head and external hydrogeologic forces), physical contact with the waste or leachate to which they are exposed, climatic conditions, the stress of installation, and the stress of daily operation;
(B) placed upon a foundation or base capable of providing support to the liner and resistance to pressure gradients above and below the liner to prevent failure of the liner due to settlement, compression, or uplift; and
(C) installed to cover all surrounding earth likely to be in contact with the waste or leachate; and
(2) a leachate collection and removal system immediately above the liner that is designed, constructed, maintained, and operated to collect and remove leachate from the pile. The Department shall specify design and operating conditions in the permit to ensure that the leachate depth over the liner does not exceed 30 cm (one foot). The leachate collection and removal system shall be:
(A) constructed of materials that are:
1. chemically resistant to the waste managed in the pile and the leachate expected to be generated; and
2. of sufficient strength and thickness to prevent collapse under the pressures exerted by overlaying wastes, waste cover materials, and by any equipment used at the pile; and
(B) designed and operated to function without clogging through the scheduled closure of the waste pile.
(b) If the liner is constructed of material that allows waste to migrate into the liner, it shall be designed and constructed in accordance with provisions of section 66264.221(d).
(c) The owner or operator of each new waste pile unit on which construction commences after January 29, 1992, each lateral expansion of a waste pile unit on which construction commences after July 29, 1992, and each replacement of an existing waste pile unit that is to commence reuse after July 29, 1992 shall install two or more liners and a leachate collection and removal system above and between such liners. The requirements of this subsection shall not apply to waste pile units receiving only non-RCRA hazardous waste until February 18, 1996. “Construction commences” is as defined in section 66260.10 under “existing facility”.
(1)(A) The liner system shall include:
1. A top liner designed and constructed of materials (e.g., a geomembrane) to prevent the migration of hazardous constituents into such liner during the active life and post-closure care period; and
2. A composite bottom liner, consisting of at least two components. The upper component shall be designed and constructed of materials (e.g., a geomembrane) to prevent the migration of hazardous constituents into this component during the active life and post-closure care period. The lower component shall be designed and constructed of materials to minimize the migration of hazardous constituents if a breach in the upper component were to occur. The lower component shall be constructed of at least 3 feet (91 cm) of compacted soil material with a hydraulic conductivity of no more than 1x10-7 cm/sec.
(B) The liners shall comply with subsections (a)(1)(A), (B), and (C) of this section.
(2) The leachate collection and removal system immediately above the top liner shall be designed, constructed, operated, and maintained to collect and remove leachate from the waste pile during the active life and post-closure care period. The Department will specify design and operating conditions in the permit to ensure that the leachate depth over the liner does not exceed 1 foot (30 cm). The leachate collection and removal system shall comply with subsections (c)(3)(C) and (D) of this section.
(3) The leachate collection and removal system between the liners, and immediately above the bottom composite liner in the case of multiple leachate collection and removal systems, is also a leak detection system. This leak detection system shall be capable of detecting, collecting, and removing leaks of hazardous constituents at the earliest practicable time through all areas of the top liner likely to be exposed to waste or leachate during the active life and post-closure care period. The requirements for a leak detection system in this subsection are satisfied by installation of a system that is, at a minimum:
(A) Constructed with a bottom  slope of one percent or more;
(B) Constructed of granular drainage materials with a hydraulic conductivity of 1x10-2 cm/sec or more and a thickness of 1 foot (30.5 cm) or more; or constructed of synthetic or geonet drainage materials with a transmissivity of 3x10-5 m2 /sec or more. In cases where the leak detection system is composed of coarse granular material, there shall be a suitable interface (e.g., geotextile) between the leak detection system and any flexible membrane liner, as needed to prevent the coarse grains from causing a puncture in the flexible membrane liner under the high stress conditions caused by the overlying waste;
(C) Constructed of materials that are chemically resistant to the waste managed in the waste pile and the leachate expected to be generated, and of sufficient strength and thickness to prevent collapse under the pressures exerted by overlying wastes, waste cover materials, and equipment used at the waste pile;
(D) Designed and operated to minimize clogging during the active life and post-closure care period; and
(E) Constructed with sumps and liquid removal methods (e.g., pumps) of sufficient size to collect and remove liquids from the sump and prevent liquids from backing up into the drainage layer. Each unit shall have its own sump(s). The design of each sump and removal system shall provide a method for measuring and recording the volume of liquids present in the sump and of liquids removed.
(4) The owner or operator shall collect and remove pumpable liquids in the leak detection system sumps to minimize the head on the bottom liner.
(5) The liner system shall be designed, constructed and operated to ensure that leak detection system shall be a minimum of 5 feet above the highest anticipated elevation of groundwater.
(d) The collection and removal system shall conform to section 66264.221(e).
(e) The owner or operator will be exempted from the requirements of subsection (a) of this section, if the Department finds, based on a demonstration by the owner or operator, that alternate design and operating practices, together with location characteristics, will prevent the migration of any hazardous constituents into the ground water or surface water at any future time. In deciding whether to grant an exemption, the Department will consider:
(1) the nature and quantity of the wastes;
(2) the proposed alternate design and operation;
(3) the hydrogeologic setting of the facility, including alternative capacity and thickness of the liners and soils present between the pile and ground water or surface water;
(4) all other factors which would influence the quality and mobility of the leachate produced and the potential for it to migrate to ground water or surface water; and
(5) the potential for lateral migration of hazardous constituents which could present a threat to public health or the environment.
(f) The owner or operator shall design, construct, operate, and maintain a run-on control system capable of preventing flow onto the portion of the pile during peak discharge from at least a 25-year storm.
(g) The owner or operator shall design, construct, operate, and maintain a run-off management system to collect and control at least the water volume resulting from a 24-hour, 25-year storm.
(h) Collection and holding facilities (e.g., tanks or basins) associated with run-on and run-off control systems shall be emptied or otherwise managed expeditiously after storms to maintain design capacity of the system.
(i) If the pile contains any particulate matter which may be subject to wind dispersal, the owner or operator shall cover or otherwise manage the pile to control wind dispersal.
(j) The Department will specify in the permit all design and operating practices that are necessary to ensure that the requirements of this section are satisfied.
(k) If the Department determines that monitoring in the normally unsaturated zone as required pursuant to article 6 of this chapter is impracticable, the Department shall require the following when a waste pile is established:
(1) the pile shall be underlain by two liners which are designed and constructed in a manner that prevents the migration of liquids into or out of the space between the liners. Both liners shall meet all the specifications of subsection (a)(1) of this section;
(2) a leak detection system shall be designed, constructed, maintained and operated between the liners to detect any migration of liquids into the space between the liners;
(3) the pile shall have a leachate collection and removal system above the top liner that is designed, constructed, maintained and operated in accordance with subsection (a)(2) of this section.
(l) The Department may approve alternative design or operating practices to those specified in subsection (c) of this section if the owner or operator demonstrates to the Department that such design and operating practices, together with location characteristics:
(1) Will prevent the migration of any hazardous constituent into the ground water or surface water at least as effectively as the liners and leachate collection and removal systems specified in subsection (c) of this section; and
(2) Will allow detection of leaks of hazardous constituents through the top liner at least as effectively.
(m) Subsection (c) of this section does not apply to monofills that are granted a waiver by the Department in accordance with section 66264.221(g).
(n) The owner or operator of any replacement waste pile unit is exempt from subsection (c) of this section if:
(1) The existing unit was constructed in compliance with the design standards of 42 USC section 6924(o)(1)(A)(i) and 42 USC section 6924(o)(5); and
(2) There is reason to believe that the liner is functioning as designed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.251.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer of subsections (c) and (l)-(l)(2), new subsections (c)-(c)(5) and (l)-(n)(2)  and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect amending subsections (c), (c)(2), (d) and (n)(1) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
4. Change without regulatory effect amending subsections (c) and (c)(5) filed 10-21-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 43).
§66264.252. Action Leakage Rate.
Note     •     History

(a) The Department shall approve an action leakage rate for waste pile units subject to section 66264.251(c) or (l). The action leakage rate is the maximum design flow rate that the leak detection system (LDS) can remove without the fluid pressure head on the bottom liner exceeding 1 foot (30.5 cm) at any given portion of the liner. The action leakage rate shall include an adequate safety margin to allow for uncertainties in the design (e.g., slope, hydraulic conductivity, thickness of drainage material), construction, operation, and location of the LDS, waste and leachate characteristics, likelihood and amounts of other sources of liquids in the LDS, and proposed response actions (e.g., the action leakage rate shall consider decreases in the flow capacity of the system over time resulting from siltation and clogging, rib layover and creep of synthetic components of the system, overburden pressures, etc.). 
(b) To determine if the action leakage rate has been exceeded, the owner or operator shall convert the weekly flow rate from the monitoring data obtained under section 66264.254(c), to an average daily flow rate (gallons per acre per day) for each sump. Unless the Department approves a different calculation, the average daily flow rate for each sump shall be calculated weekly during the active life and closure period.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.252.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
2. Change without regulatory effect amending subsection (a) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66264.253. Response Actions.
Note     •     History

(a) The owner or operator of waste pile units subject to section 66264.251(c) or (l) shall have an approved response action plan before receipt of waste. The response action plan shall set forth the actions to be taken if the action leakage rate has been exceeded. At a minimum, the response action plan shall describe the actions specified in subsection (b) of this section.
(b) If the flow rate into the leak detection system exceeds the action leakage rate for any sump, the owner or operator shall:
(1) Notify the Department in writing of the exceedance within 7 days of the determination;
(2) Submit a preliminary written assessment to the Department within 14 days of the determination, as to the amount of liquids, likely sources of liquids, possible location, size, and cause of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause of any leak;
(4) Determine whether waste receipt should cease or be curtailed, whether any waste should be removed from the unit for inspection, repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage rate has been exceeded, submit to the Department the results of the analyses specified in subsections (b)(3), (4), and (5) of this section, the results of actions taken, and actions planned. Monthly thereafter, as long as the flow rate in the leak detection system exceeds the action leakage rate, the owner or operator shall submit to the Department a report summarizing the results of any remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in subsections (b)(3), (4), and (5) of this section, the owner or operator shall:
(1)(A) Assess the source of liquids and amounts of liquids by source,
(B) Conduct a fingerprint, hazardous constituent, or other analyses of the liquids in the leak detection system to identify the source of liquids and possible location of any leaks, and the hazard and mobility of the liquid; and
(C) Assess the seriousness of any leaks in terms of potential for escaping into the environment; or
(2) Document why such assessments are not needed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.253.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
2. Change without regulatory effect amending subsection (a) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66264.254. Monitoring and Inspection.
Note     •     History

(a) During construction or installation, liners (except as exempted from section 66264.251(a)) and cover systems (e.g., membranes, sheets, or coatings) shall be inspected for uniformity, damage, and imperfections (e.g., holes, cracks, thin spots, or foreign materials). Immediately after construction or installation:
(1) synthetic liners and covers shall be inspected to ensure tight seams and joints and the absence of tears, punctures, or blisters; and
(2) soil-based and admixed liners and covers shall be inspected for imperfections including lenses, cracks, channels, root holes, or other structural non-uniformities that may cause an increase in the permeability of the liner or cover.
(b) While a waste pile is in operation, it shall be inspected weekly and after storms to detect evidence of any of the following:
(1) deterioration, malfunctions, or improper operation of run-on and run-off control systems;
(2) proper functioning of wind dispersal control systems, where present; and
(3) the presence of liquids in leak detection systems, where installed to comply with section 66264.251(k);
(4) the presence of leachate in and proper functioning of leachate collection and removal systems, where present.
(c) An owner or operator required to have a leak detection system under section 66264.251(c) shall record the amount of liquids removed from each leak detection system sump at least once each week during the active life and closure period.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
2. New subsection (c) and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66264.256. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

Ignitable or reactive waste shall not be placed in a waste pile unless: the waste and waste pile satisfy all applicable requirements of chapter 18 of this division, and:
(a) the waste is treated, rendered, or mixed before or immediately after placement in the pile so that:
(1) the resulting waste, mixture, or dissolution of material no longer meets the definition of ignitable or reactive waste under sections 66261.21 or 66261.23 of this chapter; and
(2) section 66264.17(b) is complied with; or
(b) the waste is managed in such a way that it is protected from any material or conditions which may cause it to ignite or react.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.256.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.257. Special Requirements for Incompatible Wastes.
Note     •     History

(a) Incompatible wastes, or incompatible wastes and materials, (see Appendix V of this part for examples) shall not be placed in the same pile, unless section 66264.17(b) is complied with.
(b) A pile of hazardous waste that is incompatible with any waste or other material stored nearby in containers, other piles, open tanks, or surface impoundments shall be separated from the other materials, or protected from them by means of a dike, berm, wall, or other device.
(c) Hazardous waste shall not be piled on the same base where incompatible wastes or materials were previously piled, unless the base has been decontaminated sufficiently to ensure compliance with section 66264.17(b).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.257.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.258. Closure and Post-Closure Care.
Note     •     History

(a) At closure, the owner or operator shall remove or decontaminate all waste residues, contaminated containment system components (liners, etc.), contaminated subsoils, and structures and equipment contaminated with waste and leachate, and manage them as hazardous waste unless section 66261.3(d) applies.
(b) If, after removing or decontaminating all residues and making all reasonable efforts to effect removal or decontamination of contaminated components, subsoils, structures, and equipment as required in subsection (a) of this section, the owner or operator finds that not all contaminated subsoils can be practicably removed or decontaminated, the owner or operator shall close the facility and perform post-closure care in accordance with the closure and post-closure care requirements that apply to landfills (section 66264.310).
(c)(1) The owner or operator of a waste pile shall:
(A) include in the closure plan for the pile under section 66264.112 both a plan for complying with subsection (a) of this section and a contingent plan for complying with subsection (b) of this section in case not all contaminated subsoils can be practicably removed at closure; and
(B) prepare a contingent post-closure plan under section 66264.118 for complying with subsection (b) of this section in case not all contaminated subsoils can be practicably removed at closure.
(2) The cost estimates calculated under sections 66264.142 and 66264.144 for closure and post-closure care of a pile subject to this subsection shall include the cost of complying with the contingent closure plan and the contingent post-closure plan.
NOTE

Authority cited: Sections 208, 25150, 25159, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; 40 CFR Section 264.258.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.259. Special Requirements for Hazardous Wastes F020, F021, F022, F023, F026, and F027.
Note     •     History

(a) Hazardous Wastes F020, F021, F022, F023, F026, and F027 shall not be placed in waste piles unless the owner or operator operates the waste pile in accordance with a management plan for these wastes that is approved by the Department pursuant to the standards set out in this subsection, and in accord with all other applicable requirements of this chapter. The factors to be considered are:
(1) the volume, physical, and chemical characteristics of the wastes, including their potential to migrate through soil or to volatilize or escape into the atmosphere;
(2) the attenuative properties of underlying and surrounding soils or other materials;
(3) the mobilizing properties of other materials co-disposed with these wastes; and
(4) the effectiveness of additional treatment, design, or monitoring techniques.
(b) The Department shall impose additional design, operating, and monitoring requirements for piles managing hazardous wastes F020, F021, F022, F023, F026, and, F027 if necessary to reduce the possibility of migration of these wastes to ground water, surface water, or air so as to protect human health and the environment.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.259.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 13. Land Treatment
§66264.270. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of facilities that treat or dispose of hazardous waste in land treatment units, except as section 66264.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.270.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.271. Treatment Program.
Note     •     History

(a) An owner or operator of a facility subject to this article shall establish a land treatment program that is designed to ensure that hazardous constituents placed in or on the treatment zone are degraded, transformed, or immobilized within the treatment zone. The Department will specify in the facility permit the elements of the treatment program, including:
(1) the wastes that are capable of being treated at the unit based on a demonstration under section 66264.272;
(2) design measures and operating practices necessary to maximize the success of degradation, transformation, and immobilization processes in the treatment zone in accordance with section 66264.273(a); and
(3) vadose zone monitoring provisions meeting the requirements of section 66264.278.
(b) The Department will specify in the facility permit the constituents of concern that shall be degraded, transformed, or immobilized under this article.
(c) The Department will specify the vertical and horizontal dimensions of the treatment zone in the facility permit. The treatment zone is the portion of the vadose zone below and including the land surface in which the owner or operator intends to maintain the conditions necessary for effective degradation, transformation, or immobilization of hazardous constituents. The maximum depth of the treatment zone shall be:
(1) no more than 1.5 meters (5 feet) from the initial soil surface; and
(2) more than 1.5 meters (5 feet) above the highest anticipated elevation of the water table.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25209.1, Health and Safety Code; 40 CFR Section 264.271.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.272. Treatment Demonstration.
Note     •     History

(a) For each waste that will be applied to the treatment zone, the owner or operator shall demonstrate, prior to application of the waste, that constituents of concern in the waste can be completely degraded, transformed, or immobilized in the treatment zone.
(b) In making this demonstration, the owner or operator may use field tests, laboratory analyses, available data, or, in the case of existing units, operating data. If the owner or operator intends to conduct field tests or laboratory analyses in order to make the demonstration required under subsection (a) of this section, the owner or operator shall obtain a treatment or disposal permit under section 66270.63. The Department shall specify in this permit the testing, analytical, design, and operating requirements (including the duration of the tests and analyses, and, in the case of field tests, the horizontal and vertical dimensions of the treatment zone, monitoring procedures, closure and clean-up activities) necessary to meet the requirements in subsection (c) of this section.
(c) Any field test or laboratory analysis conducted in order to make a demonstration under subsection (a) of this section shall:
(1) accurately simulate the characteristics and operating conditions for the proposed land treatment unit including:
(A) the characteristics of the waste (including the presence of constituents listed in Appendix VIII of chapter 11);
(B) the climate in the area;
(C) the topography of the surrounding area;
(D) the characteristics of the soil in the treatment zone (including depth); and
(E) the operating practices to be used at the unit;
(2) be likely to show that constituents of concern in the waste to be tested will be completely degraded, transformed, or immobilized in the treatment zone of the proposed land treatment unit; and
(3) be conducted in a manner that protects human health and the environment considering:
(A) the characteristics of the waste to be tested;
(B) the operating and monitoring measures taken during the course of the test;
(C) the duration of the test;
(D) the volume of waste used in the test;
(E) in the case of field tests, the potential for migration of constituents of concern to ground water or surface water.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.272.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.273. Design and Operating Requirements.
Note     •     History

The Department will specify in the facility permit how the owner or operator will design, construct, operate and maintain the land treatment unit in compliance with this section.
(a) The owner or operator shall design, construct, operate and maintain the unit to maximize the degradation, transformation and immobilization of constituents of concern in the treatment zone. The owner or operator shall design, construct, operate and maintain the unit in accord with all design and operating conditions that were used in the treatment demonstration under section 66264.272. At a minimum, the Department will specify the following in the facility permit:
(1) the rate and method of waste application to the treatment zone;
(2) measures to control soil pH;
(3) measures to enhance microbial or chemical reactions (e.g., fertilization, tilling); and
(4) measures to control the moisture content of the treatment zone.
(b) The owner or operator shall design, construct, operate and maintain the treatment zone to prevent run-off of constituents of concern during the active life of the land treatment unit.
(c) The owner or operator shall design, construct, operate and maintain a run-on control system capable of preventing flow onto the treatment zone during peak discharge from at least a 25-year storm.
(d) The owner or operator shall design, construct, operate and maintain a run-off management system to collect, control and properly manage at least the water volume resulting from a 24-hour, 25-year storm.
(e) Collection and holding facilities (e.g., tanks or basins) associated with run-on and run-off control systems shall be emptied or otherwise managed expeditiously after storms to maintain the design capacity of the system.
(f) If the treatment zone contains particulate matter which may be subject to wind dispersal, the owner or operator shall manage the unit to control wind dispersal.
(g) The owner or operator shall inspect the unit weekly and after storms to detect evidence of:
(1) deterioration, malfunctions or improper operation of run-on and run-off control systems; and
(2) improper functioning of wind dispersal control measures.
(h) The growth of food-chain crops in or on the treatment zone is prohibited.
(i) The owner or operator shall manage the unit to keep the release of airborne contaminants below nuisance levels or other levels necessary to protect human health or the environment.
(j)(1) Unless granted a variance pursuant to subsection (j)(2) of this section, or exempted pursuant to subsection (l) of this section, every new land treatment unit at a new or existing facility, every land treatment unit which replaces an existing land treatment unit, and every laterally expanded portion of an existing land treatment unit is required to be equipped with two or more liners and a leachate collection system meeting the requirements established in section 66264.301(c) for new landfills.
(2) The Department shall grant a variance from the requirements of subsection (j)(1) or subsection (k) of this section if the owner or operator demonstrates to the Department and the Department finds all of the following:
(A) the land treatment unit was an existing land treatment unit as of January 1, 1988, and no hazardous constituents identified in Appendix VIII to chapter 11 of this division have migrated from the treatment zone of the land treatment unit into the vadose zone or into the waters of the State, and no other hazardous constituents have migrated from the land treatment unit into the vadose zone or into the waters of the State in concentrations which pollute or threaten to pollute the vadose zone or the waters of the State. In making this demonstration the owner or operator shall take a sufficient number of core samples in, beneath and surrounding the treatment zone of the land treatment unit to characterize the chemical constituents in the.treatment zone, in the immediate area of the vadose zone surrounding the treatment zone, and in the area of the vadose zone beneath the treatment zone and shall submit groundwater monitoring data sufficient in scope to demonstrate that there has been no migration of hazardous constituents in the vadose zone or into the waters of the State in concentrations which pollute or threaten to pollute the waters of the State. The owner or operator, as an alternative to taking these core samples, may use the data obtained from any land treatment demonstration required by the department pursuant to section 66264.272 if the data were obtained not more than two years prior to the application for the variance and were sufficient in scope to demonstrate that there has been no migration of hazardous constituents into the vadose zone or into the waters of the State in concentrations which pollute or threaten to pollute the vadose zone or waters of the State.
(B) Notwithstanding the date that the land treatment unit commenced operations, the design and operating practices will prevent the migration of hazardous constituents identified in Appendix VIII to chapter 11 of this division from the treatment zone of the land treatment unit into the vadose zone or into the waters of the State, and no other hazardous constituents have migrated from the land treatment unit into the vadose zone or into the waters of the State in concentrations which pollute or threaten to pollute the vadose zone or the waters of the State.
(C) Notwithstanding the date that the land treatment unit commenced operations, the design and operating practices provide for rapid detection and removal or remediation of any hazardous consistuents that migrate from the treatment zone of the land treatment unit into the vadose zone or the waters of the State in concentrations that pollute or threaten to pollute the vadose zone or the waters of the State.
(3)(A) The Department shall renew a variance only in those cases where an owner or operator demonstrates to the Department and the Department finds, both of the following:
1. no hazardous constituents have migrated from the treatment zone of the land treatment unit into the vadose zone or into the waters of the State concentrations which pollute or threaten to pollute the vadose zone or the waters of the State;
2. continuing the operation of the land treatment unit does not pose a significant threat of hazardous constituents migrating from the land treatment unit into the vadose zone or into the waters of the State in concentrations which pollute or threaten to pollute the vadose zone or the waters of the State.
(B) In making the demonstration for the renewal of a variance pursuant to this subsection, the owner or operator may use field tests, laboratory analysis or operating data.
(4) A variance or a renewal of a variance may be issued for a period not to exceed three years.
(5) Neither the requirements of this section nor the variance provisions of subsection (j)(2) shall relieve the owner or operator from responsibility to comply with all other existing laws and regulations pertinent to land treatment units.
(k) Unless granted a variance pursuant to subsection (j)(2) or exempted under subsection (l) of this section, after January 1, 1990, no person shall discharge hazardous waste into a land treatment unit which has not been equipped with liners and a leachate collection and removal system which satisfy the requirements of subsection (j)(1) of this section.
(l) Land treatment of soil contaminated only with non-RCRA hazardous waste which has been excavated as part of a removal or remedial action at any hazardous substance release site is exempt from the requirements of subsection (j) of this section if all of the following apply:
(1) the Department determines that the land treatment does not pose a threat to public health or safety or the environment;
(2) the land treatment is conducted pursuant to a plan approved by the Department or a cleanup and abatement order issued by a regional water quality control board;
(3) the land treatment is not conducted at an offsite commercial facility;
(4) the land treatment is used only for purposes of removal or remedial action and, upon completion of the land treatment portion of the removal or remedial action, the land treatment unit is closed.
(m) For purposes of this section, the terms “removal,” “remedial action,” “hazardous substance” and “release” shall be defined in accordance with article 2 (commencing with section 25310) of chapter 6.8 division 20 of the Health and Safety Code.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25209.2, 25209.3 and 25209.5, Health and Safety Code; 40 CFR Section 264.273.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.278. Vadose Zone Monitoring and Response.
Note     •     History

In addition to the water quality monitoring and response requirements of article 6 and the environmental monitoring requirements of article 17 of this chapter, an owner or operator subject to this article shall establish a vadose zone monitoring program to discharge the following responsibilities.
(a) The owner or operator shall monitor the soil and soil-pore liquid to determine whether constituents of concern migrate out of the treatment zone.
(1) The Department will specify the constituents of concern to be monitored in the facility permit. The constituents of concern to be monitored are those specified under section 66264.271(b).
(2) The Department may require monitoring for principal constituents of concern in lieu of the constituents specified under section 66264.271(b). Principal constituents of concern are the constituents contained in the wastes to be applied at the unit that are the most difficult to treat, considering the combined effects of degradation, transformation, and immobilization. The Department may establish principal constituents of concern if it finds, based on waste analyses, treatment demonstrations, or other data, that effective degradation, transformation, or immobilization of the constituent will assure treatment at at least equivalent levels for the other constituents of concern in the wastes.
(b) The owner or operator shall install a vadose zone monitoring system that includes soil monitoring using soil cores and soil-pore liquid monitoring using devices such as lysimeters. The vadose zone monitoring system shall consist of a sufficient number of sampling points at appropriate locations and depths to yield samples that:
(1) represent the quality of background soil-pore liquid quality and the chemical make-up of soil that has not been affected by leakage from the treatment zone; and
(2) indicate the quality of soil-pore liquid and the chemical make-up of the soil below the treatment zone.
(c) The owner or operator shall establish a background concentration for each constituent of concern to be monitored under subsection (a) of this section. The permit will specify the background concentrations for each constituent or specify the procedures to be used to calculate the background concentrations.
(1) Background soil concentrations may be based on a one-time sampling at a background plot having characteristics similar to those of the treatment zone.
(2) Background soil-pore liquid concentrations shall be based on at least quarterly sampling for one year at a background plot having characteristics similar to those of the treatment zone.
(3) The owner or operator shall express all background concentrations in a form necessary for the determination of statistically significant increases under subsection (f) of this section.
(4) In taking samples used in the determination of all background concentrations, the owner. or operator shall use a vadose zone monitoring system that complies with subsection (b)(1) of this section.
(d) The owner or operator shall conduct soil monitoring and soil-pore liquid monitoring immediately below the treatment zone. The Department will specify the frequency and timing of soil and soil-pore liquid monitoring in the facility permit after considering the water quality monitoring requirements of article 6 of this chapter, the frequency, timing, and rate of waste application, and the soil permeability. The owner or operator shall express the results of soil and soil-pore liquid monitoring in a form necessary for the determination of statistically significant increases under subsection (f) of this section.
(e) The owner or operator shall use consistent sampling and analysis procedures that are designed to ensure sampling results that provide a reliable indication of soil-pore liquid quality and the chemical make-up of the soil below the treatment zone. At a minimum, the owner or operator must implement procedures and techniques for:
(1) sample collection;
(2) sample preservation and shipment;
(3) analytical procedures; and
(4) chain of custody control.
(f) The owner or operator shall determine whether there is a statistically significant change over background values concentrations for each constituent of concern to be monitored under subsection (a) of this section below the treatment zone each time the owner or operator conducts soil monitoring and soil-pore liquid monitoring under subsection (d) of this section.
(1) In determining whether a statistically significant increase has occurred, the owner or operator shall compare the value concentration of each constituent, as determined under subsection (d) of this section, to the background concentration for that constituent according to the statistical procedure specified in the facility permit under this subsection.
(2) The owner or operator shall determine whether there has been a statistically significant increase below the treatment zone within a reasonable time period after completion of sampling. The Department will specify that time period in the facility permit after considering the complexity of the statistical test and the availability of laboratory facilities to perform the analysis of soil and soil-pore liquid samples.
(3) The owner or operator shall determine whether there is a statistically significant increase below the treatment zone using a statistical procedure that provides reasonable confidence that migration from the treatment zone will be identified. The Department will specify a statistical procedure in the facility permit that it finds:
(A) is appropriate for the distribution of the data used to establish background concentrations; and
(B) provides a reasonable balance between the probability of falsely identifying migration from the treatment zone and the probability of failing to identify real migration from the treatment zone.
(g) Except as provided in section 66264.273(1), no person shall place or dispose of hazardous waste in a land treatment unit if any of the following conditions exist:
(1) hazardous constituents have migrated from the land treatment unit into the vadose zone beneath or surrounding the treatment zone or into the waters beneath or surrounding the treatment zone;
(2) there is evidence that a hazardous constituent in the waste discharged to the land treatment unit has not been or will not be completely degraded, transformed or immobilized in the treatment zone;
(3) there is a significant potential for hazardous constituents to migrate from the land treatment unit into a potential source of drinking water.
(h) The owner or operator shall periodically, at the request of the Department, and at least annually, submit information required by the Department to assure that the conditions set forth in subsections (g)(1) and (g)(2) of this section are not present. The information shall include, but is not limited to the results of soil and soil-pore liquid monitoring conducted under subsection (d) of this section.
(i) If the owner or operator determines pursuant to subsection (f) of this section, that there has been a statistically significant increase in the concentration of a hazardous constituent below the treatment zone, or that either of the conditions set forth in subsections (g)(1) or (g)(2) of this section are detected and confirmed, or that conditions exist that render the owner or operator unable to continue to satisfy the variance requirements of section 66264.273(j)(2), the owner or operator shall, within 72 hours, report to the Department describing the full extent of the owner's or operator's findings, including the identification of all constituents which have shown a statistically significant increase.
(j) Upon receiving notice pursuant to subsection (i) of this section, or upon independent confirmation by the Department, the Department shall order the owner or operator to cease operating the land treatment unit. The owner or operator shall not resume operating the land treatment unit and shall close the land treatment unit unless one of the following actions is taken:
(1) the owner or operator completes appropriate removal or remedial actions to the satisfaction of the Department, and the owner or operator submits to the Department, and the Department approves, an application for a permit or a variance modification to modify the operating practices at the facility to maximize the success of degradation, immobilization, or transformation processes in the treatment zone; or
(2) the owner or operator completes appropriate removal or remedial actions, submits to the Department, and the Department approves, an application for a permit or a variance modification to modify the operating practices at the facility to maximize the success of degradation, immobilization, or transformation processes in the treatment zone, and equips the land treatment unit with liners and a leachate collection and removal system that satisfy the requirements of section 66264.273(j)(1).
(k) All actions taken by an owner or operator pursuant to subsections (j)(1) or (j)(2) of this section shall be completed within a time period specified by the Department, which shall not exceed 18 months after the Department receives notice pursuant to subsection (i) of this section. If the actions are not completed within this time period, the land treatment unit shall be closed, unless granted an extension by the Department due to exceptional circumstances beyond the control of the owner and operator.
(l) If the owner or operator determines, pursuant to subsection (f) of this section, that there is a statistically significant increase of hazardous constituents below the treatment zone, the owner or operator may demonstrate that a source other than the land treatment unit caused the increase or that the increase resulted from an error in sampling, analysis, or evaluation. While the owner or operator may make a demonstration under this subsection in addition to, or in lieu of the requirements under subsections (j)(1) or (j)(2) of this section, the owner or operator is not relieved of the requirements of subsections (j) and (k) of this section unless the demonstration made under this subsection successfully shows that a source other than the land treatment unit caused the increase or that the increase resulted from an error in sampling, analysis, or evaluation. In making a demonstration under this subsection, the owner or operator shall:
(1) notify the Department in writing within seven days of determining a statistically significant increase below the treatment zone that the owner or operator intends to make a determination under this subsection;
(2) within 90 days, submit a report to the Department demonstrating that a source other than the regulated units caused the increase or that the increase resulted from error in sampling, analysis, or evaluation;
(3) within 90 days, submit to the Department an application for a permit modification to make any appropriate changes to the vadose zone monitoring program at the facility; and
(4) continue to monitor in accordance with the vadose zone monitoring program established under this section.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25209.4, Health and Safety Code; 40 CFR Section 264.278.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.279. Recordkeeping.
Note     •     History

The owner or operator shall include hazardous waste application dates and rates in the operating record required under section 66264.73.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.279.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.280. Closure and Post-Closure Care.
Note     •     History

(a) During the closure period the owner or operator shall:
(1) continue all operations (including pH control) necessary to maximize degradation, transformation, or immobilization of constituents of concern within the treatment zone as required under section 66264.273(a), except to the extent such measures are inconsistent with subsection (a)(7) of this section;
(2) continue all operations in the treatment zone to prevent run-off of constituents of concern as required under section 66264.273(b);
(3) maintain the run-on control system required under section 66264.273(c);
(4) maintain the run-off management system required under section 66264.273(d);
(5) control wind dispersal of hazardous waste if required under section 264.273(f);
(6) continue vadose zone monitoring in compliance with section 66264.278, except that soil-pore liquid monitoring may be terminated after the waste added to the treatment zone has been shown to the satisfaction of the Department to have been completely degraded, immobilized or transformed, but in no event can monitoring be discontinued in less than 90 the last application of waste to the treatment zone; and
(7) control of the release of airborne contaminants to below hazardous or nuisance levels or other levels as necessary to protect human health or the environment;
(8) establish a vegetative cover on the portion of the facility being closed at such time that the cover will not substantially impede degradation, transformation, or immobilization of constituents of concern in the treatment zone. The vegetative cover shall be capable of maintaining growth without extensive maintenance.
(b) For the purpose of complying with section 66264.115, when closure is completed the owner or operator may submit to the Department certification by an independent qualified soil scientist or an independent, California Certified Engineering Geologist in lieu of an independent California registered professional engineer, that the facility has been closed in accordance with the specifications in the approved closure plan.
(c) During the post-closure care period the owner or operator shall:
(1) continue all operations (including pH control) necessary to enhance degradation and transformation and sustain immobilization of constituents of concern in the treatment zone to the extent that such measures are consistent with other post-closure care activities;
(2) maintain a vegetative cover over closed portions of the facility;
(3) maintain run-on control system required under section 66264.273(c);
(4) maintain the run-off management system required under section 66264.273(d);
(5) control wind dispersal of hazardous waste if required under section 66264.273(f);
(6) continue vadose zone monitoring in compliance with section 66264.278 and section 66264.280(a)(6); and
(7) control of the release of airborne contaminants to below hazardous or nuisance levels or other levels as necessary to protect human health or the environment.
(d) The owner or operator is not subject to regulation under subsections (a)(7) and (c) of this section if the Department finds that the level of constituents of concern in the treatment zone soil does not exceed the background value of those constituents by an amount that is statistically significant when using the test specified in subsection (d)(3) of this section and that the waste in the treatment zone has been shown to the satisfaction of the Department to have been completely degraded, transformed or immobilized. The owner or operator may submit such a demonstration to the Department at any time during the closure or post-closure care periods. For the purposes of this subsection:
(1) the owner or operator shall establish background soil values and determine whether there is a statistically significant increase over those values for all constituents of concern specified in the facility permit under section 66264.271(b);
(A) background soil concentrations may be based on a one-time sampling of a background plot having characteristics similar to those of the treatment zone where soil has not been contacted by constituents of waste;
(B) the owner or operator shall express background values and values for constituents of concern in the treatment zone in a form necessary for the determination of statistically significant increases under subsection (d)(3) of this section;
(2) in taking samples used in the determination of background and treatment zone concentrations, the owner or operator shall take samples at a sufficient number of sampling points and at appropriate locations and depths to yield samples that represent the chemical make-up of soil that has not been affected by leakage from the treatment zone and the soil within the treatment zone, respectively;
(3) in determining whether a statistically significant increase has occurred, the owner or operator shall compare the concentration of each constituent in the treatment zone to the background concentration for that constituent using a statistical procedure that provides reasonable confidence that constituent presence in the treatment zone will be identified. The owner or operator shall use a statistical procedure that:
(A) is appropriate for the distribution of the data used to establish background concentrations; and
(B) provides a reasonable balance between the probability of falsely identifying a statistically significant increase for a constituent of concern in the treatment zone and the probability of failing to identify a statistically significant increase in the treatment zone.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; 40 CFR Section 264.280.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.281. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

The owner or operator shall not apply ignitable or reactive waste to the treatment zone unless the waste and the treatment zone meet all applicable requirements of chapter 18 of this division, and:
(a) the waste is immediately incorporated into the soil so that:
(1) the resulting waste, mixture, or dissolution of material no longer meets the definition of ignitable or reactive waste under sections 66261.21 or 66261.23 of this chapter; and
(2) section 66264.17(b) is complied with; or
(b) the waste is managed in such a way that it is protected from any material or conditions which may cause it to ignite or react.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.281.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.282. Special Requirements for Incompatible Wastes.
Note     •     History

The owner or operator shall not place incompatible wastes, or incompatible wastes and materials (see Appendix V of this part for examples), in or on the same treatment zone, unless section 66264.17(b) is complied with.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.282.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.283. Special Requirements Hazardous Wastes F020, F021, F022, F023, F026, and F027.
Note     •     History

(a) Hazardous Wastes F020, F021, F022, F023, F026 and, F027 shall not be placed in a land treatment unit unless the owner or operator operates the facility in accordance with a management plan for these wastes that is approved by the Department pursuant to the standards set out in this subsection, and in accord with all other applicable requirements of this chapter. The factors to be considered are:
(1) the volume, physical, and chemical characteristics of the wastes, including their potential to migrate through soil or to volatilize or escape into the atmosphere;
(2) the attenuative properties of underlying and surrounding soils or other materials;
(3) the mobilizing properties of other materials co-disposed with these wastes; and
(4) the effectiveness of additional treatment, design, or monitoring techniques.
(b) The Department shall impose additional design, operating, and monitoring requirements for land treatment facilities managing hazardous wastes F020, F021, F022, F023, F026, and F027 if necessary to reduce the possibility of migration of these wastes to ground water, surface outside of the treatment zone, or air so as to protect human health and the environment.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.283.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 14. Landfills
§66264.300. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of facilities that dispose of hazardous waste in landfills, except as section 66264.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.300.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.301. Design and Operating Requirements.
Note     •     History

(a) Any landfill that is not covered by subsection (c) of this section or 66265.301(a) of this chapter shall have a liner system for all portions of the landfill (except for existing portions). The liner system shall have:
(1) a liner that is designed, constructed, and installed to prevent any migration of wastes out of the landfill to the adjacent subsurface soil or ground water or surface water at anytime during the active life (including the closure period) and during post-closure care period of the landfill. The liner shall be constructed of materials that prevent wastes from passing into the liner during the active life of the facility. The liner shall be:
(A) constructed of materials that have appropriate chemical properties and sufficient strength and thickness to prevent failure due to pressure gradients (including static head and external hydrogeologic forces), physical contact with the waste or leachate to which they are exposed, climatic conditions, the stress of installation, and the stress of daily operation;
(B) placed upon a foundation or base capable of providing support to the liner and resistance to pressure gradients above and below the liner to prevent failure of the liner due to settlement, compression, or uplift; and
(C) installed to cover all surrounding earth likely to be in contact with the waste or leachate; and
(2) a leachate collection and removal system immediately above the liner that is designed, constructed, maintained, and operated to collect and remove leachate from the landfill. The Department will specify design and operating conditions in the permit to ensure that the leachate depth over the liner does not exceed 30 cm (one foot). The leachate collection and removal system shall be:
(A) constructed of materials that are:
1. chemically resistant to the waste managed in the landfill and the leachate expected to be generated; and
2. of sufficient strength and thickness to prevent collapse under the pressures exerted by overlying wastes, waste cover materials, and by any equipment used at the landfill; and
(B) designed and operated to function without clogging through the scheduled closure and post-closure period of the landfill.
(b) The owner or operator shall be exempted from the requirements of paragraph (a) of this section if the Department finds, based on a demonstration by the owner or operator, that alternative design and operating practices, together with location characteristics, will prevent the migration of any hazardous constituents of concern (see section 66264.93) into the ground water or surface water at any future time. In deciding whether to grant an exemption, the Department will consider:
(1) the nature and quantity of the wastes;
(2) the proposed alternative design and operation;
(3) the hydrogeologic setting of the facility, including the attenuative capacity and thickness of the liners and soils present between the landfill and ground water or surface water;
(4) all other factors which would influence the quality and mobility of the leachate produced and the potential for it to migrate to ground water or surface water; and
(5) the potential for lateral migration of hazardous constituents which could present a threat to public health or the environment;
(c) The owner or operator of each new landfill unit on which construction commences after January 29, 1992, each lateral expansion of a landfill unit on which construction commences after July 29, 1992, and each replacement of an existing landfill unit that is to commence reuse after July 29, 1992 shall install, two or more liners and a leachate collection and removal system above and between such liners. The requirements of this subsection shall not apply to landfill units receiving only non-RCRA hazardous waste until February 18, 1996. “Construction commences” is as defined in section 66260.10 of this chapter under “existing facility”.
(1)(A) The liner system shall include:
1. A top liner designed and constructed of materials (e.g., a geomembrane) to prevent the migration of hazardous constituents into such liner during the active life and post-closure care period; and
2. A composite bottom liner, consisting of at least two components. The upper component shall be designed and constructed of materials (e.g., a geomembrane) to prevent the migration of hazardous constituents into this component during the active life and post-closure care period. The lower component shall be designed and constructed of materials to minimize the migration of hazardous constituents if a breach in the upper component were to occur. The lower component shall be constructed of at least 3 feet (91 cm) of compacted soil material with a hydraulic conductivity of no more than 1x10-7 cm/sec.
(B) The liners shall comply with subsections (a)(1)(A), (B), and (C) of this section.
(2) The leachate collection and removal system immediately above the top liner shall be designed, constructed, operated, and maintained to collect and remove leachate from the landfill during the active life and post-closure care period. The Department will specify design and operating conditions in the permit to ensure that the leachate depth over the liner does not exceed 1 foot (30 cm). The leachate collection and removal system shall comply with subsections (c)(3)(C) and (D) of this section.
(3) The leachate collection and removal system between the liners, and immediately above the bottom composite liner in the case of multiple leachate collection and removal systems, is also a leak detection system. This leak detection system shall be capable of detecting, collecting, and removing leaks of hazardous constituents at the earliest practicable time through all areas of the top liner likely to be exposed to waste or leachate during the active life and post-closure care period. The requirements for a leak detection system in this subsection are satisfied by installation of a system that is, at a minimum:
(A) Constructed with a bottom  slope of one percent or more;
(B) Constructed of granular drainage materials with a hydraulic conductivity of 1x10-2 cm/sec or more and a thickness of 1 foot (30.5 cm) or more; or constructed of synthetic or geonet drainage materials with a transmissivity of 3x10-5 m2 /sec or more. In cases where the leak detection system is composed of coarse granular material, there shall be a suitable interface (e.g., geotextile) between the leak detection system and any flexible membrane liner, as needed to prevent the coarse grains from causing a puncture in the flexible membrane liner under the high stress conditions caused by the overlying waste;
(C) Constructed of materials that are chemically resistant to the waste managed in the landfill and the leachate expected to be generated, and of sufficient strength and thickness to prevent collapse under the pressures exerted by overlying wastes, waste cover materials, and equipment used at the landfill;
(D) Designed and operated to minimize clogging during the active life and post-closure care period; and
(E) Constructed with sumps and liquid removal methods (e.g., pumps) of sufficient size to collect and remove liquids from the sump and prevent liquids from backing up into the drainage layer. Each unit shall have its own sump(s). The design of each sump and removal system shall provide a method for measuring and recording the volume of liquids present in the sump and of liquids removed.
(4) The owner or operator shall collect and remove pumpable liquids in the leak detection system sumps to minimize the head on the bottom liner.
(5) The liner system shall be designed, constructed and operated to ensure that leak detection system shall be a minimum of 5 feet above the highest anticipated elevation of groundwater.
(d) The Department may approve alternative design or operating practices to those specified in paragraph (c) of this section if the owner or operator demonstrates to the Department that such design and operating practices, together with location characteristics:
(1) Will prevent the migration of any hazardous constituent into the ground water at least as effectively as the liners and leachate collection and removal systems specified in paragraph (c) of this section; and
(2) Will allow detection of leaks of hazardous constituents through the top liner at least as effectively.
(e) The double liner requirement set forth in subsection (c) of this section shall be waived by the Department for any monofill, if:
(1) the monofill contains only hazardous wastes from foundry furnace emission controls or metal casting molding sand, and such wastes do not contain constituents which would render the wastes hazardous for reasons other than exceeding the soluble threshold limit concentration as described in section 66261.24(a)(2) for non-RCRA hazardous wastes or the characteristic of toxicity as set forth in section 66261.24(a)(1) for wastes with hazardous wastes numbers D004 through D017 for RCRA hazardous wastes; and
(2)(A) 1. The monofill has at least one liner for which there is no evidence that such liner is leaking;
2. the monofill is located more than one-quarter mile from an underground source of drinking water as that term is defined in section 66260.10; and
3. the monofill is in compliance with generally applicable groundwater monitoring requirements for facilities with hazardous waste facility permits; or
(B) the owner or operator demonstrates to the satisfaction of the Department, that the monofill is located, designed and operated so as to assure that there will be no migration of any hazardous constituent into ground water, surface water, or surrounding soils at any future time.
(f) The owner or operator shall design, construct, operate, and maintain a run-on control system capable of preventing flow onto the active portion of the landfill during peak discharge from at least a 25-year storm.
(g) The owner or operator shall design, construct, operate, and maintain a run-off management system to collect and control at least the water volume resulting from a 24-hour, 25-year storm.
(h) Collection and holding facilities (e.g., tanks or basins) associated with run-on and run-off control systems shall be emptied or otherwise managed expeditiously after storms to maintain design capacity of the system.
(i) If the landfill contains any particulate matter which may be subject to wind dispersal, the owner or operator shall cover or otherwise manage the landfill to control wind dispersal.
(j) The Department shall specify in the permit all design and operating practices that are necessary to ensure that the requirements of this section are satisfied.
(k) The landfill shall be designed, constructed, operated and maintained to enable the facility to meet the closure and post-closure requirements of section 66264.310.
(l) The owner or operator of any replacement landfill unit is exempt from subsection (c) of this section if:
(1) The existing unit was constructed in compliance with the design standards of 42 USC section 6924(o)(1)(A)(i) and 42 USC section 6924(o)(5); and
(2) There is reason to believe that the liner is functioning as designed.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.301.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (b)-(c) and (d), new subsections (c)(1)(A)-(c)(5), (d)(6) and (l)-(l)(2), and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect repealing subsection (b), adopting new subsections (b)-(b)(5), amending subsections (c) and (c)(2), repealing subsections (d)-(d)(6), adopting new subsections (d)-(d)(2) and amending subsection (l)(1) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
4. Change without regulatory effect amending subsections (c) and (c)(5) filed 10-21-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 43).
5. Amendment of subsection (e)(1) and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
6. Change without regulatory effect amending subsection (c) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66264.302. Action Leakage Rate.
Note     •     History

(a) The Department shall approve an action leakage rate for landfill units subject to section 66264.301(c) or (d). The action leakage rate is the maximum design flow rate that the leak detection system (LDS) can remove without the fluid pressure head on the bottom liner exceeding 1 foot (30.5 cm) at any given portion of the liner. The action leakage rate shall include an adequate safety margin to allow for uncertainties in the design (e.g., slope, hydraulic conductivity, thickness of drainage material), construction, operation, and location of the LDS, waste and leachate characteristics, likelihood and amounts of other sources of liquids in the LDS, and proposed response actions (e.g., the action leakage rate shall consider decreases in the flow capacity of the system over time resulting from siltation and clogging, rib layover and creep of synthetic components of the system, overburden pressures, etc.). 
(b) To determine if the action leakage rate has been exceeded, the owner or operator shall convert the weekly or monthly flow rate from the monitoring data obtained under section 66264.303(c) to an average daily flow rate (gallons per acre per day) for each sump. Unless the Department approves a different calculation, the average daily flow rate for each sump shall be calculated weekly during the active life and closure period, and monthly during the post-closure care period when monthly monitoring is required under section 66264.303(c).
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.302.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
2. Change without regulatory effect amending subsection (a) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66264.303. Monitoring and Inspection.
Note     •     History

(a) During construction or installation, liners (except in the case of existing portions of landfills exempt from 66264.301(a)) and cover systems (e.g., membranes, sheets, or coatings) shall be inspected for uniformity, damage, and imperfections (e.g., holes, cracks, thin spots, or foreign materials). Immediately after construction or installation:
(1) synthetic liners and covers shall be inspected to ensure tight seams and joints and the absence of tears, punctures, or blisters; and
(2) soil-based and admixed liners and covers shall be inspected for imperfections including lenses, cracks, channels, root holes, or other structural non-uniformities that may cause an increase in the permeability of the liner or cover.
(b) While a landfill is in operation, it shall be inspected weekly and after storms to detect evidence of any of the following:
(1) deterioration, malfunctions, or improper operation of run-on and run-off control systems;
(2) proper functioning of wind dispersal control systems, where present;
(3) the presence of liquids in leak detection systems; and
(4) the presence of leachate in and proper functioning of collection and removal systems, where present.
(c)(1) An owner or operator required to have a leak detection system under section 66264.301(c) or (d) shall record the amount of liquids removed from each leak detection system sump at least once each week during the active life and closure period.
(2) After the final cover is installed, the amount of liquids removed from each leak detection system sump shall be recorded at least monthly. If the liquid level in the sump stays below the pump operating level for two consecutive months, the amount of liquids in the sumps shall be recorded at least quarterly. If the liquid level in the sump stays below the pump operating level for two consecutive quarters, the amount of liquids in the sumps shall be recorded at least semi-annually. If at any time during the post-closure care period the pump operating level is exceeded at units on quarterly or semi-annual recording schedules, the owner or operator shall return to monthly recording of amounts of liquids removed from each sump until the liquid level again stays below the pump operating level for two consecutive months.
(3) “Pump operating level” is a liquid level proposed by the owner or operator and approved by the Department based on pump activation level, sump dimensions, and level that avoids backup into the drainage layer and minimizes head in the sump.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.303.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New subsections (c)(1)-(3) and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66264.304. Response Actions.
Note     •     History

(a) The owner or operator of landfill units subject to section 66264.301(c) or (d) shall have an approved response action plan before receipt of waste. The response action plan shall set forth the actions to be taken if the action leakage rate has been exceeded. At a minimum, the response action plan shall describe the actions specified in subsection (b) of this section.
(b) If the flow rate into the leak detection system exceeds the action leakage rate for any sump, the owner or operator shall:
(1) Notify the Department in writing of the exceedence within 7 days of the determination;
(2) Submit a preliminary written assessment to the Department within 14 days of the determination, as to the amount of liquids, likely sources of liquids, possible location, size, and cause of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause of any leak;
(4) Determine whether waste receipt should cease or be curtailed, whether any waste should be removed from the unit for inspection, repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage rate has been exceeded, submit to the Department the results of the analyses specified in subsections (b)(3), (4), and (5) of this section, the results of actions taken, and actions planned. Monthly thereafter, as long as the flow rate in the leak detection system exceeds the action leakage rate, the owner or operator shall submit to the Department a report summarizing the results of any remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in subsections (b)(3), (4), and (5) of this section, the owner or operator shall:
(1)(A) Assess the source of liquids and amounts of liquids by source,
(B) Conduct a fingerprint, hazardous constituent, or other analyses of the liquids in the leak detection system to identify the source of liquids and possible location of any leaks, and the hazard and mobility of the liquid; and
(C) Assess the seriousness of any leaks in terms of potential for escaping into the environment; or
(2) Document why such assessments are not needed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.304.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66264.309. Surveying and Recordkeeping.
Note     •     History

The owner or operator of a landfill shall maintain the following items in the operating record required under section 66264.73:
(a) on a map, the exact location and dimensions, including depth, of each cell with respect to permanently surveyed benchmarks with horizontal and vertical controls; and
(b) the contents of each cell and the approximate location of each hazardous waste type within each cell.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.309.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.310. Closure and Post-Closure Care.
Note     •     History

(a) At final closure of the landfill or upon closure of any cell, the owner or operator shall cover the landfill or cell with a final cover designed and constructed to:
(1) prevent the downward entry of water into the closed landfill throughout a period of at least 100 years;
(2) function with minimum maintenance;
(3) promote drainage and minimize erosion or abrasion of the cover;
(4) accommodate settling and subsidence so that the cover's integrity is maintained;
(5) accommodate lateral and vertical shear forces generated by the maximum credible earthquake so that the integrity of the cover is maintained;
(6) have a permeability less than or equal to the permeability of any bottom liner system or natural subsoils present; and
(7) conform to the provisions of subsections (e) through (r) of section 66264.228, except that the Department shall grant a variance from any requirement of subsections (e) through (r) which the owner or operator demonstrates to the satisfaction of the Department is not necessary to protect public health, water quality or other environmental quality.
(b) After final closure, the owner or operator must comply with all post-closure requirements contained in sections 66264.117 through 66264.120, including maintenance and monitoring throughout the post-closure care period specified in the permit under section 66264.117. The owner or operator must:
(1) maintain the integrity and effectiveness of the final cover, including making repairs to the cap as necessary to correct the effects of settling, subsidence, erosion, or other events;
(2) continue to operate the leachate collection and removal system until leachate is no longer detected;
(3) maintain and monitor the groundwater monitoring system and comply with all other applicable requirements of article 6 of this chapter;
(4) prevent run-on and run-off from eroding or otherwise damaging the final cover; 
(5) protect and maintain surveyed benchmarks used in complying with section 66264.309, and
(6) maintain and monitor the leak detection system in accordance with Sections 66264.301(c)(3)(D) and (c)(4) and 66264.303(c), and comply with all other applicable leak detection system requirements of this part;
(c) Unless the owner or operator can demonstrate to the satisfaction of the Department that significant amounts of toxic or flammable gas or vapor will not be emitted by waste and that no gas will be emitted that is capable of disrupting the cover or causing other property damage, the owner or operator shall provide a control system designed to prevent migration of gas. The control system shall be designed to collect gases that are emitted from the buried waste and convey gas or vapor to a flare, incinerator or treatment device that will render the gas or vapor harmless to public health or safety, or to a collection system that allows gas to be exported for use or treatment elsewhere. Any gas collection system used shall be designed to withstand pressures that may result from overburden weight of structures that may overlie the cover, and traffic that may occur.
(d) If gas or vapor that can be expected to be emitted from buried waste after closure would be flammable or toxic, the owner shall describe in the closure plan measures to render such gases or vapors harmless, or export gas from the site, for as many years as they would be emitted from the waste, and shall estimate the cost of such measures as part of the cost of closure and post-closure care of the facility. In that case, the closure plan shall provide a map showing:
(1) the number, spacing and locations of wells to be used for gas extraction;
(2) the location and spacing of piping. Also in that case, the closure plan shall describe the equipment and capability of equipment, to be provided to render gases or vapor harmless or export gas for use or treatment elsewhere. If pumping would be needed to assure that such gas is withdrawn at a rate sufficient to avoid hazardous accumulation of gas or vapor or uncontrolled migration of such gas or vapor or uncontrolled migration of such gas or vapor from the facility, the owner or operator shall describe measures to provide such pumping for as many years as such gas or vapor will be emitted from the waste, and shall estimate the cost of such measures as part of the cost of closure and post-closure care of the facility. The closure plan shall in that case describe the type of pump, volume of gas the pump can move per unit time, and the estimated distances from the pump from which gas can be extracted from the landfill. The owner or operator shall provide such measures as needed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code; and 40 CFR Section 264.310.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  subsections (b)(4)-(5) , new subsection (b)(6) and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66264.312. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

(a) Except as provided in section 66264.316, ignitable or reactive waste shall not be placed in a landfill, unless the waste and landfill meet all applicable requirements of chapter 18 of this division, and the waste is treated, rendered, or mixed before or immediately after placement in a landfill so that:
(1) the resulting waste, mixture, or dissolution of material no longer meets the definition of ignitable or reactive waste under 66261.21 or 66261.23 of this chapter; and
(2) section 66264.17(b) is complied with.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.312.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.313. Special Requirements for Incompatible Wastes.
Note     •     History

Incompatible wastes, or incompatible wastes and materials, (see Appendix V of this chapter for examples) shall not be placed in the same landfill cell, unless subsection 66264.17(b) is complied with.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.313.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.314. Special Requirements for Bulk and Containerized Liquids.
Note     •     History

(a) Effective February 2, 1985, the placement of bulk or non-containerized liquid hazardous waste or hazardous waste containing free liquids (whether or not sorbents have been added) in any landfill is prohibited.
(b) To demonstrate the absence or presence of free liquids in either a containerized or a bulk waste, the facility shall use Method 9095 (as described in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods--EPA publication SW-846, Third Edition, as incorporated by reference in section 66260.11).
(c) Containers holding free liquids shall not be placed in a landfill unless:
(1) all free-standing liquid: (A) has been removed by decanting or other methods; (B) has been mixed with absorbent or solidified so that free-standing liquid is no longer observed; or (C) has been otherwise eliminated; or
(2) the container is very small, such as an ampule; or
(3) the container is designed to hold free liquids for use other than storage, such as a battery or capacitor; or
(4) the container is a lab pack as defined in section 66264.316 and is disposed of in accordance with section 66264.316.
(d) Sorbents used to treat free liquids to be disposed of in landfills shall be nonbiodegradable. Nonbiodegradable sorbents are: materials listed or described in subsection (d)(1) of this section; materials that pass one of the tests in subsection (d)(2) of this section; or materials that are determined by USEPA to be nonbiodegradable through the 40 CFR part 260 petition process.
(1) Nonbiodegradable sorbents.
(A) Inorganic minerals, other inorganic materials, and elemental carbon (e.g., aluminosilicates, clays, smectites, Fuller's earth, bentonite, calcium bentonite, montmorillonite, calcined montmorillonite, kaolinite, micas (illite), vermiculites, zeolites; calcium carbonate (organic free limestone); oxides/hydroxides, alumina, lime, silica (sand), diatomaceous earth; perlite (volcanic glass); expanded volcanic rock; volcanic ash; cement kiln dust; fly ash; rice hull ash; activated charcoal/activated carbon); or
(B) High molecular weight synthetic polymers (e.g., polyethylene, high density polyethylene (HDPE), polypropylene, polystyrene, polyurethane, polyacrylate, polynorborene, polyisobutylene, ground synthetic rubber, cross-linked allylstyrene and tertiary butyl copolymers). This does not include polymers derived from biological material or polymers specifically designed to be degradable; or
(C) Mixtures of these nonbiodegradable materials.
(2) Tests for nonbiodegradable sorbents.
(A) The sorbent material is determined to be nonbiodegradable under ASTM Method G21-90-Standard Practice for Determining Resistance of Synthetic Polymer Materials to Fungi; or
(B) The sorbent material is determined to be nonbiodegradable under ASTM Method G22-76 (1984b)-Standard Practice for Determining Resistance of Plastics to Bacteria; or
(C) The sorbent material is determined to be non-biodegradable under OECD test 301B: (CO2 Evolution (Modified Strum Test))
(e) Effective November 8, 1985 the placement of any liquid which is not a hazardous waste in a landfill is prohibited unless the owner or operator of such landfill demonstrates to the Department, or the Department determines, that:
(1) the only reasonably available alternative to the placement in such landfill is placement in a landfill or unlined surface impoundment, whether or not permitted or operating under interim status, which contains, or may reasonably be anticipated to contain, hazardous waste; and
(2) placement in such owner or operator's landfill will not present a risk of contamination of any underground source of drinking water (as that term is defined in section 66260.10).
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.5, Health and Safety Code; 40 CFR Section 264.314.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a) and (c)(1), new subsections (d)-(d)(2)(B), subsection relettering and amendment of Note filed  8-8-95 as an emergency; operative 8-8-95 (Register 95, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-6-95 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed 9-15-95 by operation of Government Code section 11346.1(f) (Register 95, No. 37).
4. Amendment of subsections (a) and (b), new subsections (d)-(d)(2)(C), subsection relettering, and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
5. New subsection (d)(2)(A) and amendment of Note filed 3-17-99; operative 4-16-99 (Register 99, No. 12).
§66264.315. Special Requirements for Containers.
Note     •     History

Unless they are very small, such as an ampule, containers shall be either:
(a) at least 90 percent full when placed in the landfill; or
(b) crushed, shredded, or similarly reduced in volume to the maximum practical extent before burial in the landfill.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.315.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.316. Disposal of Small Containers of Hazardous Waste in Overpacked Drums (Lab Packs).
Note     •     History

Small containers of hazardous waste in overpacked drums (lab packs) may be placed in a landfill if the following requirements are met.
(a) hazardous waste shall be packaged in non-leaking inside containers. The inside containers shall be of a design and constructed of a material that will not react dangerously with, be decomposed by, or be ignited by the contained waste. Inside containers shall be tightly and securely sealed. The inside containers shall be of the size and type specified in the Department of Transportation (DOT) hazardous materials regulations (49 CFR Parts 173, 178, and 179), if those regulations specify a particular inside container for the waste.
(b) The inside containers must be overpacked in an open head DOT-specification metal shipping container (49 CFR Parts 178 and 179) of no more than 416-liter (110 gallon) capacity and surrounded by, at a minimum, a sufficient quantity of sorbent material, determined to be nonbiodegradable in accordance with section 66264.314(d), to completely sorb all of the liquid contents of the inside containers. The metal outer container shall be full after it has been packed with inside containers and sorbent material.
(c) The sorbent material used shall not be capable of reacting dangerously with, being decomposed by, or being ignited by the contents of the inside containers, in accordance with section 66264.17(b).
(d) Incompatible wastes, as defined in article 1 of this chapter, shall not be placed in the same outside container.
(e) Reactive wastes, other than cyanide- or sulfide-bearing waste as defined in section 66261.23(a)(5) of this chapter, shall be treated or rendered non-reactive prior to packaging in accordance with subsections (a) through (d) of this section. Cyanide and sulfide-bearing reactive waste may be packed in accordance with subsections (a) through (d) of this section without first being treated or rendered non-reactive provided that the cyanide concentration is less than 1000 mg/l.
(f) Such disposal is in compliance with the requirements of chapter 18 of the division. Persons who incinerate lab packs according to the requirements of section 66268.42(c)(1) may use fiber drums in place of metal outer containers. Such fiber drums shall meet DOT specifications in 49 CFR 173.12 and be overpacked according to the requirements of subsection (b) of this section.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.316.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (b)-(c) and Note filed 8-8-95 as an emergency; operative 8-8-95 (Register 95, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-6-95 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed 9-15-95 by operation of Government Code section 11346.1(f) (Register 95, No. 37).
4. Amendment of section heading and subsection (f) filed 1-31-96; operative 1-31-96 (Register 96, No. 5).
5. Amendment of subsections (b) and (c) and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66264.317. Special Requirements for Hazardous Wastes F020, F021, F022, F023, F026, and F027.
Note     •     History

(a) Hazardous Wastes F020, F021, F022, F023, F026, and F027 shall not be placed in a landfill unless the owner or operator operates the landfill in accord with a management plan for these wastes that is approved by the Department pursuant to the standards set out in this paragraph, and in accord with all other applicable requirements of this chapter. The factors to be considered are:
(1) the volume, physical, and chemical characteristics of the wastes, including their potential to migrate through the soil or to volatilize or escape into the atmosphere;
(2) the attenuative properties of underlying and surrounding soils or other materials;
(3) the mobilizing properties of other materials co-disposed with these wastes; and
(4) the effectiveness of additional treatment, design, or monitoring requirements.
(b) The Department shall impose additional design, operating, and monitoring requirements for landfills managing hazardous wastes F020, F021, F022, F023, F026, and F027 if necessary to reduce the possibility of migration of these wastes to ground water, surface water, or air so as to protect human health and the environment.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.317.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.318. Special Requirements for Nonliquid Waste.
Note     •     History

(a)(1) Effective January 1, 1995 or the effective date of the applicable treatment standard found in chapter 18 of division 4.5 of Titles 22 and 26 of California Code of Regulations, whichever is later, all nonliquid hazardous waste, bulk or containerized, shall contain less than 50 percent moisture by weight prior to disposal in a hazardous waste a landfill.
(2) The requirements in (a)(1) cannot be met by adding material that acts solely as a sorbent, unless determined to be nonbiodegradable in accordance with section 66264.314(d) and waste is disposed in a container,  or diluting agent.
The moisture content shall be determined by pulverizing the entire sample coarsely on a clean surface by hand, using rubber gloves. Twenty-five to 50 grams shall be placed in a prepared evaporating dish and weighed. The sample shall then be placed in an oven at 103 to 105 degrees centigrade for 1 hour. The dish shall be cooled in a desiccator to 20 degrees centigrade for 1 hour and then reweighed. The cycle of drying, cooling, and weighing shall be repeated until a constant weight is obtained or until the weight loss is less than 4 percent of the previous weight.
(b) The calculation in subsection (a) shall be in accordance with the following formula:
Percent Moisture = [(A-B)/(A-C)] x 100
Where:
A = Weight of evaporating dish and original sample, grams
B = Weight of evaporating dish and oven dried sample, grams
C = Weight of evaporating dish, grams.
(c)(1) Lab Packs as defined in section 66264.316 are exempt from section 66264.318(a).
(2) Asbestos-containing waste is exempt from section 66264.318(a) if the waste is disposed according to the requirements of the regional water quality control board in (1) a class I landfill, or (2) segregated areas within a nonclass I landfill.
NOTE

Authority cited: Sections 25150, 25179.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25143.7, 25159, 25159.5, 25179.5(b) and 25179.9, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a) and (c) filed 10-10-91 as an emergency; operative 10-10-91 (Register 91, No. 52). A Certificate of Compliance must be transmitted to OAL 2-7-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a) and (c) refiled 2-7-92 as an emergency; operative 2-7-92 (Register 92, No. 12). A Certificate of Compliance must by transmitted to OAL 6-8-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a) and (c) refiled 5-12-92 as an emergency; operative 6-5-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-9-92 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (c) refiled 9-14-92 as an emergency; operative 10-2-92 (Register 92, No. 38). A Certificate of Compliance must be transmitted to OAL 2-1-92 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-14-92 order including amendment of subsection (c)(2) and Note transmitted to OAL 12-23-92 and filed 2-8-93; (Register 93, No. 7).
7. Amendment of subsection (a)(1) filed 5-5-94 as an emergency; operative 5-5-94 (Register 94, No. 18).  A Certificate of Compliance must be transmitted to OAL by 9-2-94 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (a)(1) refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (a)(1) refiled 12-22-94 as an emergency, including amendment of subsection (c)(1); operative 12-20-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-19-95 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsections (a)(1) and (c)(1) refiled 4-17-95 as an emergency; operative 4-17-95 (Register 95, No. 16). A Certificate of Compliance must be transmitted to OAL 8-15-95 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsections (a)(1)-(2), (c)(1) and Note refiled 8-8-95 as an emergency; operative 8-8-95 (Register 95, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-6-95 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 8-8-95 order transmitted to OAL 8-3-95 and filed 9-15-95 (Register 95, No. 37).
13. Reinstatement of subsection (a)(2) as it existed prior to emergency amendment filed 9-15-95 by operation of Government Code section 11346.1(f) (Register 95, No. 37).
14. Amendment of subsection (a)(2) and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
Article 14.5. Residuals Repositories
§66264.320. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of facilities that dispose of hazardous waste in residuals repositories at permitted facilities except as Section 66264.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25204, Health and Safety Code. Reference: Section 25204, Health and Safety Code.
HISTORY

1. New section filed 8-12-91; operative 9-11-91 (Register 91, No. 50).
§66264.321. General Requirements for Residuals Repositories at Permitted Facilities.
Note     •     History

(a) Acceptable Wastes. Waste disposed in a residuals repository must be:
(1) Treated hazardous waste as defined in Health and Safety Code Section 25179.3(1); and,
(2) Non-liquid and containing less than 50 percent moisture by weight as determined in accordance with Section 66265.317 of this Division.
(b) Standards for siting, design, construction, operation, monitoring, maintenance, closure and post-closure maintenance. A residuals repository is subject to the requirements for land disposal of hazardous waste in landfills including the standards contained in:
(1) Articles 1 through 7 and 14 of Chapter 14, Chapter 20 and 21 of  this Division;
(2) Articles 1, 3 through 5, 8, and 9 of Chapter 15, Division 3, Title 23, California Code of Regulations; and,
(3) Subparts B through G, and N of Part 264, Subchapter I, Chapter 1, Title 40, Code of Federal Regulations.
NOTE

Authority cited: Sections 208, 25150 and 25204, Health and Safety Code. Reference: Section 25204, Health and Safety Code.
HISTORY

1. New section filed 8-12-91; operative 9-11-91 (Register 91, No. 50).
Article 15. Incinerators
§66264.340. Applicability.
Note     •     History

(a) The regulations in this article apply to owners or operators of facilities that incinerate hazardous waste, except as 66264.1 provides otherwise. The following facility owners or operators are considered to incinerate hazardous waste:
(1) owners or operators of hazardous waste incinerators (as defined in section 66260.10).
(b) After consideration of the waste analysis included with Part B of the permit application, the Department, in establishing the permit conditions, shall exempt the applicant from all requirements of this article except sections 66264.341 (Waste analysis) and 66264.351 (Closure):
(1) if the Department finds that the waste to be burned is:
(A) listed as a hazardous waste in article 4 of chapter 11 of this division solely because it is ignitable (Hazard Code I), corrosive (Hazard Code C), or both; or
(B) listed as a hazardous waste in article 4 of chapter 11 of this division solely because it is reactive (Hazard Code R) for characteristics other than those listed in section 66261.33(a)(4) and (a)(5), and will not be burned when other hazardous wastes are present in the combustion zone; or
(C) a hazardous waste solely because it possesses the characteristic of ignitability, corrosivity, or both, as determined by the test for characteristics of hazardous wastes under article 3 of chapter 11 of this division; or
(D) a hazardous waste solely because it possesses any of the reactivity characteristics described by section 66261.23 (a)(1), (a)(2), (a)(3), (a)(6), (a)(7), and (a)(8), and will not be burned when other hazardous wastes are present in the combustion zone; and
(2) if the waste analysis shows that the waste contains none of the hazardous constituents listed in Appendix VIII of chapter 11 of this division, which would reasonably be expected to be in the waste.
(c) If the waste to be burned is one which is described by subsections (b)(1)(A), (b)(1)(B), (b)(1)(C), or (b)(1)(D) of this section and contains insignificant concentrations of the hazardous constituents listed in Appendix VIII to chapter 11 of this division, then the Department shall, in establishing permit conditions, exempt the applicant from all requirements of this article, except sections 66264.341 (Waste analysis) and 66264.351 (Closure), after consideration of the waste analysis included with Part B of the permit application, unless the Department finds that the waste will pose a threat to human health and the environment when burned in an incinerator.
(d) The owner or operator of an incinerator may conduct trial burns subject only to the requirements of section 66270.62 (Short term and incinerator permits).
NOTE

Authority cited: Sections 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 264.340.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment  of subsection (a)(1), repealer of subsection (a)(2), and amendment of Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
§66264.341. Waste Analysis.
Note     •     History

(a) As a portion of the trial burn plan required by section 66270.62, or with Part B of the permit application, the owner or operator shall have included an analysis of the waste feed sufficient to provide all information required by section 66270.62(b) or 66270.19. Owners or operators of new hazardous waste incinerators shall provide the information required by section 66270.62(c) or section 66270.19 to the greatest extent possible.
(b) Throughout normal operation, the owner or operator shall conduct sufficient waste analysis to verify that waste feed to the incinerator is within the physical and chemical composition limits specified in that owner or operator's permit (under section 66264.345(b)).
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 264.341.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.342. Principal Organic Hazardous Constituents (POHCs).
Note     •     History

(a) Principal Organic Hazardous Constituents (POHCs) in the waste feed shall be treated to the extent required by the performance standard of section 66264.343.
(b)(1) One or more POHCs will be specified in the facility's permit, from among those constituents listed in Appendix VIII and Appendix X to chapter 11 of this division, for each waste feed to be burned. This specification will be based on the degree of difficulty of incineration of the organic constituents in the waste and on their concentration or mass in the waste feed, considering the results of waste analyses and trial burns or alternative data submitted with Part B of the facility's permit application. Organic constituents which represent the greatest degree of difficulty of incineration will be those most likely to be designated as POHCs. Constituents are more likely to be designated as POHCs if they are present in large quantities or concentrations in the waste.
(2) Trial POHCs will be designated for performance of trial burns in accordance with the procedure specified in section 66270.62 for obtaining trial burn permits.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 264.341.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.343. Performance Standards.
Note     •     History

An incinerator burning hazardous waste shall be designed, constructed, and maintained so that, when operated in accordance with operating requirements specified under section 66264.345, it will meet the following performance standards.
(a)(1) Except as provided in subsection (a)(2) of this section, an incinerator burning hazardous waste shall achieve a destruction and removal efficiency (DRE) of 99.99% for each principal organic hazardous constituent (POHC) designated (under section 66264.342) in its permit for each waste feed. DRE is determined for each POHC from the following equation:

View Graphic
Where: W in = mass feed rate of one principal organic hazardous constituent (POHC) in the waste stream feeding the incinerator and W out = mass emission rate of the same POHC present in exhaust emissions prior to release to the atmosphere.
(2) An incinerator burning hazardous wastes F020, F021, F022, F023, F026, or F027 shall achieve a destruction and removal efficiency (DRE) of 99.9999% for each principal organic hazardous constituent (POHC) designated under section 66264.342 in its permit. This performance shall be demonstrated on POHCs that are more difficult to incinerate than tetra-, penta-, and hexachlorodibenzo-p-dioxins and dibenzofurans. DRE is determined for each POHC from the equation in section 66264.343(a)(1). In addition, the owner or operator of the incinerator shall notify the Department of that owner or operator's intent to incinerate hazardous wastes F020, F021, F022, F023, F026, or F027.
(b) An incinerator burning hazardous waste and producing stack emissions of more than 1.8 kilograms per hour (4 pounds per hour) of hydrogen chloride (HCl) shall control HCl emissions such that the rate of emission is no greater than the larger of either 1.8 kilograms per hour or 1% of the HCl in the stack gas prior to entering any pollution control equipment.
(c) An incinerator burning hazardous waste shall not emit particulate matter in excess of 180 milligrams per dry standard cubic meter (0.08 grains per dry standard cubic foot) when corrected for the amount of oxygen in the stack gas according to the formula:

View Graphic
Where Pc is the corrected concentration of particulate matter, Pm is the measured concentration of particulate matter, and Y is the measured concentration of oxygen in the stack gas, using the Orsat method for oxygen analysis of dry flue gas, presented in Part 60, Appendix A (Method 3), of 40 CFR. This correction procedure is to be used by all hazardous waste incinerators except those operating under conditions of oxygen enrichment. For these facilities, the Department will select an appropriate correction procedure, to be specified in the facility permit.
(d) For purposes of permit enforcement, compliance with the operating requirements specified in the permit (under section 66264.345) will be regarded as compliance with this section. However, evidence that compliance with those permit conditions is insufficient to ensure compliance with the performance requirements of this section may be “information” justifying modification, revocation, or reissuance of a permit under section 66270.41.
NOTE

Authority cited: Sections 208 and 25159.5, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 264.343.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.344. Hazardous Waste Incinerator Permits.
Note     •     History

(a) The owner or operator of a hazardous waste incinerator may burn only wastes specified in the owner or operator's permit and only under operating conditions specified for those wastes under section 66264.345, except:
(1) in approved trial burns under section 66270.62; or
(2) under exemptions created by section 66264.340.
(b) Other hazardous wastes may be burned only after operating conditions have been specified in a new permit or a permit modification as applicable. Operating requirements for new wastes may be based on either trial burn results or alternative data included with Part B of a permit application under section 66270.19.
(c) The permit for a new hazardous waste incinerator shall establish appropriate conditions for each of the applicable requirements of this article, including but not limited to allowable waste feeds and operating conditions necessary to meet the requirements of section 66264.345, sufficient to comply with the following standards.
(1) For the period beginning with initial introduction of hazardous waste to the incinerator and ending with initiation of the trial burn, and only for the minimum time required to establish operating conditions required in subsection (c)(2) of this section, not to exceed a duration of 720 hours operating time for treatment of hazardous waste, the operating requirements shall be those most likely to ensure compliance with the performance standards of section 66264.343, based on the Department's engineering judgment. The Department may extend the duration of this period once for up to 720 additional hours when good cause for the extension is demonstrated by the applicant.
(2) For the duration of the trial burn, the operating requirements shall be sufficient to demonstrate compliance with the performance standards of section 66264.343 and shall be in accordance with the approved trial burn plan.
(3) For the period immediately following completion of the trial burn, and only for the minimum period sufficient to allow sample analysis, data computation, and submission of the trial burn results by the applicant, and review of the trial burn results and modification of the facility permit by the Department, the operating requirements shall be those most likely to ensure compliance with the performance standards of section 66264.343, based on the Department's engineering judgment.
(4) For the remaining duration of the permit, the operating requirements shall be those demonstrated, in a trial burn or by alternative data specified in section 66270.19(c), as sufficient to ensure compliance with the performance standards of section 66264.343.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 264.344.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.345. Operating Requirements.
Note     •     History

(a) An incinerator shall be operated in accordance with operating requirements specified in the permit. These will be specified on a case-by-case basis as those demonstrated (in a trial burn or in alternative data as specified in section 66264.344(b) and included with Part B of a facility's permit application) to be sufficient to comply with the performance standards of section 66264.343.
(b) Each set of operating requirements will specify the composition of the waste feed (including acceptable variations in the physical or chemical properties of the waste feed which will not affect compliance with the performance requirement of section 66264.343) to which the operating requirements applynt of section 66264.343) to which the operating requirements apply. For each such waste feed, the permit will specify acceptable operating limits including the following conditions:
(1) carbon monoxide (CO) level in the stack exhaust gas;
(2) waste feed rate;
(3) combustion temperature;
(4) an appropriate indicator of combustion gas velocity;
(5) allowable variations in incinerator system design or operating procedures; and
(6) such other operating requirements as are necessary to ensure the performance standards of section 66264.343 are met.
(c) During start-up and shut-down of an incinerator, hazardous waste (except wastes exempted in accordance with section 66264.340) shall not be fed into the incinerator unless the incinerator is operating within the conditions of operation (temperature, air feed rate, etc.) specified in the permit.
(d) Fugitive emissions from the combustion zone shall be controlled by:
(1) keeping the combustion zone totally sealed against fugitive emissions; or
(2) maintaining a combustion zone pressure lower than atmospheric pressure; or
(3) an alternate means of control demonstrated (with Part B of the permit application) to provide fugitive emissions control equivalent to maintenance of combustion zone pressure lower than atmospheric pressure.
(e) An incinerator shall be operated with a functioning system to automatically cut off waste feed to the incinerator when operating conditions deviate from limits established under subsection (a) of this section.
(f) An incinerator shall cease operation when changes in waste feed, incinerator design, or operating conditions exceed limits designated in its permit.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 264.345.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.347. Monitoring and Inspections.
Note     •     History

(a) The owner or operator shall conduct, as a minimum, the following monitoring while incinerating hazardous waste.
(1) Combustion temperature, waste feed rate, and the indicator of combustion gas velocity specified in the facility permit shall be monitored on a continuous basis.
(2) CO shall be monitored on a continuous basis at a point in the incinerator downstream of the combustion zone and prior to release to the atmosphere.
(3) Upon request by the Department, sampling and analysis of the waste and exhaust emissions shall be conducted to verify that the operating requirements established in the permit achieve the performance standards of section 66264.343.
(b) The incinerator and associated equipment (pumps, valves, conveyors, pipes, etc.) shall be subjected to thorough visual inspection, at least daily, for leaks, spills, fugitive emissions, and signs of tampering.
(c) The emergency waste feed cutoff system and associated alarms shall be tested at least weekly to verify operability, unless the applicant demonstrates to the Department that weekly inspections will unduly restrict or upset operations and that less frequent inspection will be adequate. At a minimum, operational testing shall be conducted at least monthly.
(d) This monitoring and inspection data shall be recorded and the records shall be placed in the operating log required by section 66264.73.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 264.347.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.351. Closure.
Note     •     History

(a) At closure the owner or operator shall remove all hazardous waste and hazardous waste residues (including, but not limited to, ash, scrubber waters, and scrubber sludges) from the incinerator site.
(b) At closure, as throughout the operating period, unless the owner or operator can demonstrate, in accordance with section 66261.3(d), that the residue removed from the incinerator is not a hazardous waste, the owner or operator becomes a generator of hazardous waste and shall manage it in accordance with applicable requirements of this division.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 264.351.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 15.5. Corrective Action for Waste Management Units
§66264.500. [Reserved].
History

HISTORY

1. New article 15.5 filed 12-23-93 as an emergency; operative 12-23-93 (Register 93, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-9-94 or emergency language will be repealed by operation of law on the following day.
2. New article 15.5  refiled 4-25-94 as an emergency; operative 4-25-94 (Register  94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-94  or emergency language will be repealed by operation of law on the following day.
3. New article 15.5 refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
4. New article 15.5 refiled 6-29-95 as an emergency; operative 6-29-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-95 or emergency language will be repealed by operation of law on the following day.
5. New article 15.5 refiled 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-26-95 order transmitted to OAL 11-30-95 and filed 1-16-96 (Register 96, No. 3).
§66264.550. Applicability of Corrective Action Management Unit (CAMU) Regulations.
Note     •     History

(a) Except as provided in subsection (b) of this section, corrective action management units for RCRA hazardous waste, or for management of both RCRA and non-RCRA hazardous wastes in the same unit are subject to the requirements of section 66264.552. Corrective action management units for hazardous waste that is solely non-RCRA are subject to the requirements of section 66264.552.5. 
(b) Corrective action management units for RCRA hazardous wastes that were approved before April 22, 2002, or for which substantially complete applications (or equivalents) were submitted to the Department on or before November 20, 2000, are subject to the requirements in section 66264.551 for grandfathered corrective action management units; corrective action management unit waste, activities, and design will not be subject to the standards in section 66264.552, so long as the waste, activities, and design remain within the general scope of the corrective action management unit as approved. 
NOTE

Authority cited: Sections 25150, 25159, 25187, 25200.10, 25358.9 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25187, 25200, 25200.10, 25200.14, 25316, 25355.5, 25358.3 and 25358.9, Health and Safety Code; and 40 CFR Section 264.550. 
HISTORY

1. Change without regulatory effect adding section filed 7-19-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 30).
2. Change without regulatory effect amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§66264.551. Grandfathered Corrective Action Management Units (CAMUs).
Note     •     History

(a) For the purpose of implementing corrective action under this article, Health and Safety Code sections 25200.10, 25187, or 25200.14, or section 25358.9 where as provided for under the provisions of that section the Department has excluded the removal or remedial action at a site from the hazardous waste facilities permit required by Health and Safety Code section 25201, or federal RCRA section 3005 [Title 42, U.S.C., section 6925], the Department may designate an area at the facility as a corrective action management unit under the requirements in this section. Corrective action management unit means an area within a facility that is used only for managing remediation wastes for implementing corrective action or cleanup at the facility. A corrective action management unit shall be located within the contiguous property under the control of the owner or operator where the wastes to be managed in the corrective action management unit originated. One or more corrective action management units may be designated at a facility. 
(1) Placement of remediation wastes into or within a corrective action management unit does not constitute land disposal of hazardous wastes. 
(2) Consolidation or placement of remediation wastes into or within a corrective action management unit does not constitute creation of a unit subject to minimum technology requirements. 
(b)(1) The Department may designate a regulated unit [as defined in section 66264.90(a)] as a corrective action management unit, or may incorporate a regulated unit into a corrective action management unit, if: 
(A) The regulated unit is closed or closing, meaning it has begun the closure process under section 66264.113 of chapter 14 or section 66265.113 of chapter 15 of this division; and 
(B) Inclusion of the regulated unit will enhance implementation of effective, protective and reliable corrective actions for the facility. 
(2) The article 6, 7, 8, and 17 requirements of this chapter or article 6, 7, 8, and 18 requirements of chapter 15 and the unit-specific requirements of chapters 14 or 15 that applied to that regulated unit will continue to apply to that portion of the corrective action management unit after incorporation into the corrective action management unit. 
(c) The Department shall designate a corrective action management unit in accordance with the following: 
(1) The corrective action management unit shall facilitate the implementation of reliable, effective, protective, and cost-effective corrective action measures; 
(2) Waste management activities associated with the corrective action management unit shall not create unacceptable risks to humans or to the environment resulting from exposure to RCRA hazardous wastes, hazardous substances, or hazardous constituents; 
(3) The corrective action management unit shall include uncontaminated areas of the facility, only if including such areas for the purpose of managing remediation waste is more protective than management of such wastes at contaminated areas of the facility; 
(4) Areas within the corrective action management unit, where wastes remain in place after closure of the corrective action management unit, shall be managed and contained so as to minimize future releases, to the extent practicable; 
(5) The corrective action management unit shall expedite the timing of corrective action activity implementation, when appropriate and practicable; 
(6) The corrective action management unit shall enable the use, when appropriate, of treatment technologies (including innovative technologies) to enhance the long-term effectiveness of corrective actions by reducing the toxicity, mobility, or volume of wastes that will remain in place after closure of the corrective action management unit; and 
(7) The corrective action management unit shall, to the extent practicable, minimize the land area of the facility upon which wastes will remain in place after closure of the corrective action management unit. 
(d) The owner or operator shall provide sufficient information to enable the Department to designate a corrective action management unit in accordance with the criteria in this section. 
(e) The Department shall specify, in the permit or order, requirements for corrective action management units to include the following: 
(1) The areal configuration of the corrective action management unit. 
(2) Requirements for remediation waste management to include the specification of applicable design, operation and closure requirements. 
(3) Requirements for ground water monitoring that are sufficient to: 
(A) Continue to detect and to characterize the nature, extent, concentration, direction, and movement of existing releases of hazardous constituents in ground water from sources located within the corrective action management unit; and 
(B) Detect and subsequently characterize releases of hazardous constituents to ground water that may occur from areas of the corrective action management unit in which wastes will remain in place after closure of the corrective action management unit. 
(4) Closure and post-closure requirements. 
(A) Closure of corrective action management units shall: 
1. Minimize the need for further maintenance; and 
2. Control, minimize, or eliminate, to the extent necessary to protect human health and the environment, for areas where wastes remain in place, post-closure escape of RCRA hazardous waste, hazardous constituents, leachate, contaminated runoff, or RCRA hazardous waste decomposition products to the ground, to surface waters, or to the atmosphere. 
(B) Requirements for closure of corrective action management units shall include the following, as appropriate and as deemed necessary by the Department for a given corrective action management unit: 
1. Requirements for excavation, removal, treatment or containment of wastes; 
2. For areas in which wastes will remain after closure of the corrective action management unit, requirements for capping of such areas; and 
3. Requirements for removal and decontamination of equipment, devices, and structures used in remediation waste management activities within the corrective action management unit. 
(C) In establishing specific closure requirements for corrective action management units under this subsection, the Department shall consider the following factors: 
1. Corrective action management unit characteristics; 
2. Volume of wastes which remain in place after closure; 
3. Potential for releases from the corrective action management unit; 
4. Physical and chemical characteristics of the waste; 
5. Hydrogeological and other relevant environmental conditions at the facility which may influence the migration of any potential or actual releases; and 
6. Potential for exposure of humans and environmental receptors if releases were to occur from the corrective action management unit. 
(D) Post-closure requirements as necessary to protect human health and the environment, to include, for areas where wastes will remain in place, monitoring and maintenance activities, and the frequency with which such activities shall be performed to ensure the integrity of any cap, final cover, or other containment system. 
(f) The Department shall document the rationale for designating corrective action management units and shall make such documentation available to the public. 
(g) Incorporation of a corrective action management unit into an existing permit shall be approved by the Department according to the procedures for Department-initiated permit modifications under section 66270.41 of chapter 20 of this division, or according to the permit modification procedures of section 66270.42 of chapter 20 of this division. 
(h) The designation of a corrective action management unit does not change the Department's existing authority to address clean-up levels, media-specific points of compliance to be applied to corrective action at a facility, or other corrective action selection decisions. 
NOTE

Authority cited: Sections 25150, 25159, 25187, 25200.10, 25358.9 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25187, 25200, 25200.10, 25200.14, 25316, 25355.5, 25358.3 and 25358.9, Health and Safety Code; and 40 CFR Section 264.551. 
HISTORY

1. Change without regulatory effect adding section filed 7-19-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 30).
2. Change without regulatory effect amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§66264.552. Corrective Action Management Units (CAMU) for RCRA Hazardous Waste.
Note     •     History

(a) For the purpose of implementing corrective action under this article, Health and Safety Code sections 25200.10, 25187, or 25200.14, or section 25358.9 where as provided for under the provisions of that section the Department has excluded the removal or corrective action at a site from the hazardous waste facilities permit required by Health and Safety Code section 25201, or federal RCRA section 3005 [Title 42, U.S.C., section 6925], the Department may designate an area at the facility as a corrective action management unit under the requirements in this section. Corrective action management unit means an area within a facility that is used only for managing CAMU-eligible wastes for implementing corrective action or cleanup at the facility. A corrective action management unit shall be located within the contiguous property under the control of the owner or operator where the wastes to be managed in the corrective action management unit originated. One or more corrective action management units may be designated at a facility. 
(1) CAMU-eligible waste means: 
(A) All solid and RCRA hazardous wastes, and all media (including ground water, surface water, soils, and sediments) and debris, that are managed for implementing cleanup. As-generated wastes (either RCRA hazardous, non-RCRA hazardous or non-hazardous) from ongoing industrial operations at a site are not CAMU-eligible wastes. 
(B) Wastes that would otherwise meet the description in subsection (a)(1)(A) of this section are not “CAMU-Eligible Wastes” where: 
1. The wastes are RCRA hazardous wastes found during cleanup in intact or substantially intact containers, tanks, or other non-land-based units found above ground, unless the wastes are first placed in the tanks, containers or non-land-based units as part of cleanup, or the containers or tanks are excavated during the course of cleanup; or 
2. The Department exercises the discretion in subsection (a)(2) of this section to prohibit the wastes from management in a corrective action management unit. 
(C) Notwithstanding subsection (a)(1)(A) of this section, where appropriate, as-generated either non-RCRA hazardous or non-hazardous waste may be placed in a corrective action management unit where such waste is being used to facilitate treatment or the performance of the corrective action management unit. 
(2) The Department may prohibit, where appropriate, the placement of waste in a corrective action management unit where the Department has or receives information that such wastes have not been managed in compliance with applicable land disposal treatment standards of California Code of Regulations, title 22, division 4.5, chapter 18, or applicable unit design requirements of California Code of Regulations, title 22, division 4.5, chapter 14, or applicable unit design requirements of California Code of Regulations, title 22, division 4.5, chapter 18, or that non-compliance with other applicable requirements of California Code of Regulations, title 22 likely contributed to the release of the waste. 
(3) Prohibition against placing liquids in corrective action management units. 
(A) The placement of bulk or noncontainerized liquid RCRA hazardous waste or free liquids contained in RCRA hazardous waste (whether or not sorbents have been added) in any corrective action management unit is prohibited except where placement of such wastes facilitates the remedy selected for the waste. 
(B) The placement of containers holding free liquids in a corrective action management unit shall comply with the requirements in 40 Code of Federal Regulations part 264.314(d) for placement in landfills except where placement facilitates the remedy selected for the waste. 
(C) The placement of any liquid which is not a RCRA hazardous waste in a corrective action management unit is prohibited unless such placement facilitates the remedy selected for the waste or a demonstration described in 40 Code of Federal Regulations part 264.314(f) is made. The administrative agency as used in part 264.314(f) includes the Department. 
(D) The absence or presence of free liquids in either a containerized or a bulk waste shall be determined in accordance with 40 Code of Federal Regulations part 264.314(c). Sorbents used to treat free liquids in corrective action management units shall meet the requirements of 40 Code of Federal Regulations part 264.314(e). 
(4) Placement of CAMU-eligible wastes into or within a corrective action management unit does not constitute land disposal of RCRA and/or non-RCRA hazardous wastes. 
(5) Consolidation or placement of CAMU-eligible wastes into or within a corrective action management unit does not constitute creation of a unit subject to minimum technology requirements. 
(b)(1) The Department may designate a regulated unit (as defined in 40 Code of Federal Regulations part 264.90(a)(2)) as a corrective action management unit, or may incorporate a regulated unit into a corrective action management unit, if: 
(A) The regulated unit is closed or closing, meaning it has begun the closure process under section 66264.113 of chapter 14 or section 66265.113 of chapter 15 of this division; and 
(B) Inclusion of the regulated unit will enhance implementation of effective, protective and reliable corrective actions for the facility. 
(2) The article 6, 7, 8, and 17 requirements of this chapter or article 6, 7, 8, and 18 requirements of chapter 15 and the unit-specific requirements of chapter 14 or 15 that applied to the regulated unit will continue to apply to that portion of the corrective action management unit after incorporation into the corrective action management unit. 
(c) The Department shall designate a corrective action management unit that will be used for storage and/or treatment only in accordance with subsection (f) of this section. The Department shall designate all other corrective action management units in accordance with the following: 
(1) The corrective action management unit shall facilitate the implementation of reliable, effective, protective, and cost-effective remedies; 
(2) Waste management activities associated with the corrective action management unit shall not create unacceptable risks to humans or to the environment resulting from exposure to RCRA or non-RCRA hazardous wastes or hazardous constituents; 
(3) The corrective action management unit shall include uncontaminated areas of the facility, only if including such areas for the purpose of managing CAMU-eligible waste is more protective than management of such wastes at contaminated areas of the facility; 
(4) Areas within the corrective action management unit, where wastes remain in place after closure of the corrective action management unit, shall be managed and contained so as to minimize future releases, to the extent practicable; 
(5) The corrective action management unit shall expedite the timing of corrective action activity implementation, when appropriate and practicable; 
(6) The corrective action management unit shall enable the use, when appropriate, of treatment technologies (including innovative technologies) to enhance the long-term effectiveness of corrective actions by reducing the toxicity, mobility, or volume of wastes that will remain in place after closure of the corrective action management unit; and 
(7) The corrective action management unit shall, to the extent practicable, minimize the land area of the facility upon which wastes will remain in place after closure of the corrective action management unit. 
(d) The owner or operator shall provide sufficient information to enable the Department to designate a corrective action management unit in accordance with the criteria in this section. This shall include, unless not reasonably available, information on: 
(1) The origin of the waste and how it was subsequently managed (including a description of the timing and circumstances surrounding the disposal and/or release); 
(2) Whether the waste was listed or identified as RCRA hazardous at the time of disposal and/or release; and 
(3) Whether the disposal and/or release of the waste occurred before or after the land disposal requirements of 40 Code of Federal Regulations part 268 were in effect for the waste listing or characteristic. 
(e) The Department shall specify, in the permit or order, requirements for corrective action management units to include the following: 
(1) The areal configuration of the corrective action management unit. 
(2) Except as provided in subsection (g) of this section, requirements for CAMU-eligible waste management to include the specification of applicable design, operation, treatment and closure requirements. 
(3) Minimum design requirements. Corrective action management units, except as provided in subsection (f) of this section, into which wastes are placed shall be designed in accordance with the following: 
(A) Unless the Department approves alternate requirements under subsection (e)(3)(B) of this section, corrective action management units that consist of new, replacement, or laterally expanded units shall include a composite liner and a leachate collection system that is designed and constructed to maintain less than a 30-cm depth of leachate over the liner. For purposes of this section, composite liner means a system consisting of two components; the upper component shall consist of a minimum 30-mil flexible membrane liner (FML), and the lower component shall consist of at least a two-foot layer of compacted soil with a hydraulic conductivity of no more than 1x10-7 cm/sec. FML components consisting of high density polyethylene (HDPE) shall be at least 60 mil thick. The FML component shall be installed in direct and uniform contact with the compacted soil component; 
(B) Alternate requirements. The Department may approve alternate requirements if: 
1. The Department finds that alternate design and operating practices, together with location characteristics, will prevent the migration of any hazardous constituents into the ground water or surface water at least as effectively as the liner and leachate collection systems in subsection (e)(3)(A) of this section; or 
2. The corrective action management unit is to be established in an area with existing significant levels of contamination, and the Department finds that an alternative design, including a design that does not include a liner, would prevent migration from the unit that would exceed long-term corrective action goals. 
(4) Minimum treatment requirements: Unless the wastes will be placed in a corrective action management unit for storage and/or treatment only in accordance with subsection (f) of this section, CAMU-eligible wastes that, absent this section, would be subject to the treatment requirements of 40 Code of Federal Regulations part 268, and that the Department determines contain principal hazardous constituents, shall be treated to the standards specified in subsection (e)(4)(C) of this section. 
(A) Principal hazardous constituents are those constituents that the Department determines pose a risk to human health and the environment substantially higher than the cleanup levels or goals at the site. 
1. In general, the Department will designate as principal hazardous constituents: 
a. Carcinogens that pose a potential direct risk from ingestion or inhalation at the site at or above 10-3; and 
b. Non-carcinogens that pose a potential direct risk from ingestion or inhalation at the site an order of magnitude or greater over their reference dose. 
2. The Department will also designate constituents as principal hazardous constituents, where appropriate, when risks to human health and the environment posed by the potential migration of constituents in wastes to ground water are substantially higher than cleanup levels or goals at the site; when making such a designation, the Department may consider such factors as constituent concentrations, and fate and transport characteristics under site conditions. 
3. The Department may also designate other constituents as principal hazardous constituents that the Department determines pose a risk to human health and the environment substantially higher than the cleanup levels or goals at the site. 
(B) In determining which constituents are “principal hazardous constituents,” the Department shall consider all constituents which, absent this section, would be subject to the treatment requirements in 40 Code of Federal Regulations part 268. 
(C) Waste that the Department determines contains principal hazardous constituents shall meet treatment standards determined in accordance with subsection (e)(4)(D) or (e)(4)(E) of this section: 
(D) Treatment standards for wastes placed in corrective action management units. 
1. For non-metals, treatment shall achieve 90 percent reduction in total principal hazardous constituent concentrations, except as provided by subsection (e)(4)(D) 3 of this section. 
2. For metals, treatment shall achieve 90 percent reduction in principal hazardous constituent concentrations as measured in leachate from the treated waste or media (tested according to the TCLP incorporated by reference in section 66264.24, subsection (a) of this division) or 90 percent reduction in total constituent concentrations (when a metal removal treatment technology is used), except as provided by subsection (e)(4)(D) 3 of this section. 
3. When treatment of any principal hazardous constituent to a 90 percent reduction standard would result in a concentration less than 10 times the Universal Treatment Standard for that constituent, treatment to achieve constituent concentrations less than 10 times the Universal Treatment Standard is not required. Universal Treatment Standards are identified in 40 Code of Federal Regulations part 268.48 Table UTS. 
4. For waste exhibiting the RCRA hazardous characteristic of ignitability, corrosivity or reactivity, the waste shall also be treated to eliminate these characteristics. 
5. For debris, the debris shall be treated in accordance with California Code of Regulations, title 22, section 66268.45, or by methods or to levels established under subsections (e)(4)(D) 1 through 4, or subsection (e)(4)(E) of this section, whichever the Department determines is appropriate. 
6. Alternatives to TCLP. For metal bearing wastes for which metals removal treatment is not used, the Department may specify a leaching test other than the TCLP (SW846 Method 1311, 40 C.F.R. § 260.11 (11)) to measure treatment effectiveness, provided the Department determines that an alternative leach testing protocol is appropriate for use, and that the alternative more accurately reflects conditions at the site that affect leaching. 
(E) Adjusted standards. The Department may adjust the treatment level or method in subsection (e)(4)(D) of this section to a higher or lower level, based on one or more of the following factors, as appropriate. The adjusted level or method shall be protective of human health and the environment: 
1. The technical impracticability of treatment to the levels or by the methods in subsection (e)(4)(D) of this section; 
2. The levels or methods in subsection (e)(4)(D) of this section would result in concentrations of principal hazardous constituents (PHCs) that are significantly above or below cleanup standards applicable to the site (established either site-specifically, or promulgated under state or federal law); 
3. The views of the affected local community on the treatment levels or methods in subsection (e)(4)(D) of this section as applied at the site, and, for treatment levels, the treatment methods necessary to achieve these levels; 
4. The short-term risks presented by the on-site treatment method necessary to achieve the levels or treatment methods in subsection (e)(4)(D) of this section; 
5. The long-term protection offered by the engineering design of the corrective action management unit and related engineering controls: 
a. Where the treatment standards in subsection (e)(4)(D) of this section are substantially met and the principal hazardous constituents in the waste or residuals are of very low mobility; or 
b. Where cost-effective treatment has been used and the corrective action management unit meets the RCRA subtitle C liner and leachate collection requirements for new land disposal units at 40 Code of Federal Regulations parts 264.301(c) and (d); or 
c. Where, after review of appropriate treatment technologies, the Department determines that cost-effective treatment is not reasonably available, and the corrective action management unit meets the RCRA subtitle C liner and leachate collection requirements for new land disposal units at 40 Code of Federal Regulations parts 264.301(c) and (d); or 
d. Where cost-effective treatment has been used and the principal hazardous constituents in the treated wastes are of very low mobility; or 
e. Where, after review of appropriate treatment technologies, the Department determines that cost-effective treatment is not reasonably available, the principal hazardous constituents in the wastes are of very low mobility, and either the corrective action management unit meets or exceeds the liner standards for new, replacement, or laterally expanded corrective action management units in subsections (e)(3)(A) and (B) of this section, or the corrective action management unit provides substantially equivalent or greater protection. 
(F) The treatment required by the treatment standards shall be completed prior to, or within a reasonable time after, placement in the corrective action management unit. 
(G) For the purpose of determining whether wastes placed in corrective action management units have met site-specific treatment standards, the Department may, as appropriate, specify a subset of the principal hazardous constituents in the waste as analytical surrogates for determining whether treatment standards have been met for other principal hazardous constituents. This specification will be based on the degree of difficulty of treatment and analysis of constituents with similar treatment properties. 
(5) Except as provided in subsection (f) of this section, requirements for ground water monitoring and corrective action that are sufficient to: 
(A) Continue to detect and to characterize the nature, extent, concentration, direction, and movement of existing releases of hazardous constituents in ground water from sources located within the corrective action management unit; and 
(B) Detect and subsequently characterize releases of hazardous constituents to ground water that may occur from areas of the corrective action management unit in which wastes will remain in place after closure of the corrective action management unit; and 
(C) Require notification to the Department and corrective action as necessary to protect human health and the environment for releases to ground water from the corrective action management unit. 
(6) Except as provided in subsection (f) of this section, closure and post-closure requirements: 
(A) Closure of corrective action management units shall: 
1. Minimize the need for further maintenance; and 
2. Control, minimize, or eliminate, to the extent necessary to protect human health and the environment, for areas where wastes remain in place, post-closure escape of RCRA hazardous wastes, hazardous constituents, leachate, contaminated runoff, or RCRA hazardous waste decomposition products to the ground, to surface waters, or to the atmosphere. 
(B) Requirements for closure of corrective action management units shall include the following, as appropriate and as deemed necessary by the Department for a given corrective action management unit: 
1. Requirements for excavation, removal, treatment or containment of wastes; and 
2. Requirements for removal and decontamination of equipment, devices, and structures used in CAMU-eligible waste management activities within the corrective action management unit. 
(C) In establishing specific closure requirements for corrective action management units under subsection (e) of this section, the Department shall consider the following factors: 
1. Corrective action management unit characteristics; 
2. Volume of wastes which remain in place after closure; 
3. Potential for releases from the corrective action management unit; 
4. Physical and chemical characteristics of the waste; 
5. Hydrological and other relevant environmental conditions at the facility which may influence the migration of any potential or actual releases; and 
6. Potential for exposure of humans and environmental receptors if releases were to occur from the corrective action management unit. 
(D) Cap requirements: 
1. At final closure of the corrective action management unit, for areas in which wastes will remain after closure of the corrective action management unit, with constituent concentrations at or above corrective action levels or goals applicable to the site, the owner or operator shall cover the corrective action management unit with a final cover designed and constructed to meet the following performance criteria, except as provided in subsection (e)(6)(D) 2 of this section: 
a. Provide long-term minimization of migration of liquids through the closed unit; 
b. Function with minimum maintenance; 
c. Promote drainage and minimize erosion or abrasion of the cover; 
d. Accommodate settling and subsidence so that the cover's integrity is maintained; and 
e. Have a permeability less than or equal to the permeability of any bottom liner system or natural subsoils present. 
2. The Department may determine that modifications to subsection (e)(6)(D) 1 of this section are needed to facilitate treatment or the performance of the corrective action management unit (e.g., to promote biodegradation). 
(E) Post-closure requirements as necessary to protect human health and the environment, to include, for areas where wastes will remain in place, monitoring and maintenance activities, and the frequency with which such activities shall be performed to ensure the integrity of any cap, final cover, or other containment system. 
(f) Corrective action management units used for storage and/or treatment only are corrective action management units in which wastes will not remain after closure. Such corrective action management units shall be designated in accordance with all of the requirements of this section, except as follows. 
(1) Corrective action management units that are used for storage and/or treatment only and that operate in accordance with the time limits established in the staging pile regulations at 40 Code of Federal Regulations parts 264.554(d)(1)(iii), (h), and (i) are subject to the requirements for staging piles at 40 Code of Federal Regulations parts 264.554(d)(1)(i) and (ii), part 264.554(d)(2), parts 264.554(e) and (f), and parts 264.554(j) and (k) in lieu of the performance standards and requirements for corrective action management units in this section at subsections (c) and (e)(3) through (6). 
(2) Corrective action management units that are used for storage and/or treatment only and that do not operate in accordance with the time limits established in the staging pile regulations at 40 Code of Federal Regulations parts 264.554(d)(1)(iii), (h), and (i): 
(A) Shall operate in accordance with a time limit, established by the Department, that is no longer than necessary to achieve a timely remedy selected for the waste, and 
(B) Are subject to the requirements for staging piles at 40 Code of Federal Regulations parts 264.554(d)(1)(i) and (ii), part 264.554(d)(2), parts 264.554(e) and (f), and parts 264.554(j) and (k) in lieu of the performance standards and requirements for corrective action management units in this section at subsections (c) and (e)(4) and (6). 
(g) Corrective action management units into which wastes are placed where all wastes have constituent levels at or below corrective action levels or goals applicable to the site do not have to comply with the requirements for liners at subsection (e)(3)(A) of this section, caps at subsection (e)(6)(D) of this section, ground water monitoring requirements at subsection (e)(5) of this section or, for treatment and/or storage-only corrective action management units, the design standards at subsection (f) of this section. 
(h) The Department shall provide public notice and a reasonable opportunity for public comment before designating a corrective action management unit. Such notice shall include the rationale for any proposed adjustments under subsection (e)(4)(E) of this section to the treatment standards in subsection (e)(4)(D) of this section. 
(i) Notwithstanding any other provision of this section, the Department may impose additional requirements as necessary to protect human health and the environment. 
(j) Incorporation of a corrective action management unit into an existing permit shall be approved by the Department according to the procedures for Department-initiated permit modifications under section 66270.41 of chapter 20 of this division, or according to the permit modification procedures of section 66270.42 of chapter 20 of this division. 
(k) The designation of a corrective action management unit does not change the Department's existing authority to address clean-up levels, media-specific points of compliance to be applied to corrective action at a facility, or other remedy selection decisions. 
NOTE

Authority cited: Sections 25150, 25159, 25187, 25200.10, 25358.9 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25187, 25200, 25200.10, 25200.14, 25316, 25355.5, 25358.3 and 25358.9, Health and Safety Code; and 40 CFR Section 264.552. 
HISTORY

1. New section filed 12-23-93 as an emergency; operative 12-23-93 (Register 93, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-9-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-94 as an emergency; operative 4-25-94 (Register  94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-94 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 12-22-94 as an emergency; operative 12-22-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-21-95 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-29-95 as an emergency; operative 6-29-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-95 or emergency language will be repealed by operation of law on the following day.
6. New section, including amendment of Note, refiled 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-26-95 order transmitted to OAL 11-30-95 and filed 1-16-96 (Register 96, No. 3).
8. Change without regulatory effect amending subsection (e)(4)(D) filed 6-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 25).
9. Change without regulatory effect amending subsection (a) filed 6-2-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 23).
10. Change without regulatory effect renumbering former section 66264.552 to new section 66264.552.5 and adding new section 66264.552 filed 7-19-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 30).
11. Change without regulatory effect amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§66264.552.5. Corrective Action Management Units for Non-RCRA Hazardous Waste.
Note     •     History

(a) For the purpose of implementing corrective actions under this article, Health and Safety Code sections 25200.10, 25187, or 25200.14, or section 25358.9 where as provided for under the provisions of that section the Department has excluded the removal or remedial action at a site from the hazardous waste facilities permit required by Health and Safety Code section 25201, or federal RCRA Section 3005 [Title 42, U.S.C., section 6925], the Department may designate an area at the facility as a corrective action management unit, as defined in section 66260.10, in accordance with the requirements of this section. One or more corrective action management units may be designated at a facility.
(1) Placement of remediation wastes into or within a corrective action management unit does not constitute land disposal of hazardous wastes.
(2) Consolidation or placement of remediation wastes into or within a corrective action management unit does not constitute creation of a unit subject to minimum technology requirements.
(b)(1) The Department may designate a regulated unit [as defined in section 66264.90(a)] as a corrective action management unit, or may incorporate a regulated unit into a corrective action management unit, if:
(A) the regulated unit is closed or closing, meaning it has begun the closure process under section 66264.113 of chapter 14 or section 66265.113 of chapter 15 of this division; and
(B) inclusion of the regulated unit will enhance implementation of effective, protective and reliable corrective actions for the facility.
(2) The article 6, 7, 8, and 17 requirements of this chapter or article 6, 7, 8, and 18 requirements of chapter 15 and the unit-specific requirements of chapters 14 or 15 that applied to that regulated unit will continue to apply to that portion of the corrective action management unit after incorporation into the corrective action management unit.
(c) The Department shall designate a corrective action management unit in accordance with the following:
(1) The corrective action management unit shall facilitate the implementation of reliable, effective, protective, and cost-effective corrective action measures;
(2) Waste management activities associated with the corrective action management unit shall not create unacceptable risks to humans or to the environment resulting from exposure to hazardous wastes, hazardous substances, or hazardous constituents;
(3) The corrective action management unit shall include uncontaminated areas of the facility, only if including such areas for the purpose of managing remediation waste is more protective than management of such wastes at contaminated areas of the facility;
(4) Areas within the corrective action management unit, where wastes remain in place after closure of the corrective action management unit, shall be managed and contained so as to minimize future releases, to the extent practicable;
(5) The corrective action management unit shall expedite the timing of corrective action activity implementation, when appropriate and practicable;
(6) The corrective action management unit shall enable the use, when appropriate, of treatment technologies (including innovative technologies) to enhance the long-term effectiveness of corrective actions by reducing the toxicity, mobility, or volume of wastes that will remain in place after closure of the corrective action management unit; and
(7) The corrective action management unit shall, to the extent practicable, minimize the land area of the facility upon which wastes will remain in place after closure of the corrective action management unit.
(d) The owner or operator shall provide sufficient information to enable the Department to designate a corrective action management unit in accordance with the criteria in this section.
(e) The Department shall specify, in the permit or order, requirements for corrective action management units to include the following:
(1) The areal configuration of the corrective action management unit.
(2) Requirements for remediation waste management to include the specification of applicable design, operation and closure requirements.
(3) Requirements for ground water monitoring that are sufficient to:
(A) continue to detect and to characterize the nature, extent, concentration, direction, and movement of existing releases of hazardous constituents in ground water from sources located within the corrective action management unit; and
(B) detect and subsequently characterize releases of hazardous constituents to ground water that may occur from areas of the corrective action management unit in which wastes will remain in place after closure of the corrective action management unit.
(4) Closure and post-closure requirements.
(A) closure of corrective action management units shall:
1. minimize the need for further maintenance; and
2. control, minimize, or eliminate, to the extent necessary to protect human health and the environment, for areas where wastes remain in place, post-closure escape of hazardous waste, hazardous constituents, leachate, contaminated runoff, or hazardous waste decomposition products to the ground, to surface waters, or to the atmosphere.
(B) requirements for closure of corrective action management units shall include the following, as appropriate and as deemed necessary by the Department for a given corrective action management unit:
1. requirements for excavation, removal, treatment or containment of wastes;
2. for areas in which wastes will remain after closure of the corrective action management unit, requirements for capping of such areas; and
3. requirements for removal and decontamination of equipment, devices, and structures used in remediation waste management activities within the corrective action management unit.
(C) in establishing specific closure requirements for corrective action management units under this subsection, the Department shall consider the following factors:
1. corrective action management unit characteristics;
2. volume of wastes which remain in place after closure;
3. potential for releases from the corrective action management unit;
4. physical and chemical characteristics of the waste;
5. hydrogeological and other relevant environmental conditions at the facility which may influence the migration of any potential or actual releases; and
6. potential for exposure of humans and environmental receptors if releases were to occur from the corrective action management unit.
(D) Post-closure requirements as necessary to protect human health and the environment, to include, for areas where wastes will remain in place, monitoring and maintenance activities, and the frequency with hich such activities shall be performed to ensure the integrity of any cap, final cover, or other containment system.
(f) The Department shall document the rationale for designating corrective action management units and shall make such documentation available to the public.
(g) Incorporation of a corrective action management unit into an existing permit shall be approved by the Department according to the procedures for Department-initiated permit modifications under section 66270.41 of chapter 20 of this division, or according to the permit modification procedures of section 66270.42 of chapter 20 of this division.
(h) The designation of a corrective action management unit does not change the Department's existing authority to address clean-up levels, media-specific points of compliance to be applied to corrective action at a facility, or other corrective action selection decisions.
NOTE

Authority cited: Sections 58102 of the Governor's Reorganizational Plan # 1 of 1991; and Sections 25150, 25159, 25187, 25200.10, 25358.9, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25187, 25200, 25200.10, 25200.14, 25316, 25355.5, 25358.3 and 25358.9, Health and Safety Code; 40 CFR Section 264.552.
HISTORY

1. Change without regulatory effect renumbering former section 66264.552 to new section 66264.552.5, including amendment of section heading and Note, filed 7-19-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 30).
2. Change without regulatory effect amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§66264.553. Temporary Units.
Note     •     History

(a) For temporary tanks and container storage areas used for treatment or storage of hazardous remediation wastes, during corrective action activities required under this article, Health and Safety Code sections 25200.10, 25187, or 25200.14, or section 25358.9 where as provided for under the provisions of that section the Department has excluded the removal or remedial action at a site from the hazardous waste facilities permit required by Health and Safety Code section 25201, or federal RCRA section 3005 [Title 42, U.S.C., section 6925], the Department may determine that a design, operating, or closure standard applicable to such units may be replaced by alternative requirements which are protective of human health or the environment.
(b) Any temporary unit to which alternative requirements are applied in accordance with subsection (a) of this section shall be:
(1) Located within the facility boundary; and
(2) Used only for treatment or storage of remediation wastes.
(c) In establishing standards to be applied to a temporary unit, the Department shall consider the following factors:
(1) Length of time such unit will be in operation;
(2) Type of unit;
(3) Volumes of wastes to be managed;
(4) Physical and chemical characteristics of the wastes to be managed in the unit;
(5) Potential for releases from the unit;
(6) Hydrogeological and other relevant environmental conditions at the facility which may influence the migration of any potential releases; and
(7) Potential for exposure of humans and environmental receptors if releases were to occur from the unit.
(d) The Department shall specify in the permit or order the length of time a temporary unit will be allowed to operate, to be no longer than a period of one year. The Department shall also specify the design, operating, and closure requirements for the unit.
(e) The Department may extend the operational period of a temporary unit once for no longer than a period of one year beyond that originally specified in the permit or order, if the Department determines that:
(1) Continued operation of the unit will not pose a threat to human health or the environment; and
(2) Continued operation of the unit is necessary to ensure timely and efficient implementation of corrective actions at the facility.
(f) Incorporation of a temporary unit or a time extension for a temporary unit into an existing permit shall be:
(1) Approved in accordance with the procedures for Department-initiated permit modifications under section 66270.41 of chapter 20 of this division; or
(2) Requested by the owner or operator as a Class II modification according to the procedures under section 66270.42 of chapter 20 of this division.
(g) The Department shall document the rationale for designating a temporary unit and for granting time extensions for temporary units and shall make such documentation available to the public.
NOTE

Authority cited: Section 58102 of the Governor's Reorganizational Plan # 1 of 1991; and Sections 25150, 25159, 25187, 25200.10, 25358.9, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25187, 25200, 25200.10, 25316, 25355.5, 25358.3 and 25358.9, Health and Safety Code; 40 CFR Section 264.553.
HISTORY

1. New section filed 12-23-93 as an emergency; operative 12-23-93 (Register 93, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-9-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-25-94 as an emergency; operative 4-25-94 (Register  94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-94 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 12-22-94 as an emergency; operative 12-22-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-21-95 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-29-95 as an emergency; operative 6-29-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-95 or emergency language will be repealed by operation of law on the following day.
6. New section, including amendment of Note, refiled 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-26-95 order transmitted to OAL 11-30-95 and filed 1-16-96 (Register 96, No. 3).
8. Change without regulatory effect amending subsection (c)(7) filed 6-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 25).
9. Change without regulatory effect amending subsection (a) filed 6-2-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 23).
10. Change without regulatory effect amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
Article 15.7. Drip Pads
§66264.570. Applicability.
Note     •     History

(a) The requirements of this article apply to owners and operators of facilities that use new or existing drip pads to convey treated wood drippage, precipitation, and/or surface water run-off to an associated collection system. Existing drip pads are those constructed before December 6, 1990 and those for which the owner or operator has a design and has entered into binding financial or other agreements for construction prior to December 6, 1990. All other drip pads are new drip pads. The requirement at section 66264.573(b)(3) to install a leak collection system applies only to those drip pads that are constructed after December 24, 1992 except for those constructed after December 24, 1992 for which the owner or operator has a design and has entered into binding financial or other agreements for construction prior to December 24, 1992.
(b) The owner or operator of any drip pad that is inside or under a structure that provides protection from precipitation so that neither run-off nor run-on is generated is not subject to regulation under sections 66264.573(e) or 66264.573(f), as appropriate.
(c) The requirements of this article are not applicable to the management of infrequent and incidental drippage in storage yards provided that:
(1) the owner or operator maintains and complies with a written contingency plan that describes how the owner or operator will respond immediately to the discharge of such infrequent and incidental drippage. At a minimum, the contingency plan shall describe how the owner or operator will do the following:
(A) cleanup the drippage;
(B) document the cleanup of the drippage;
(C) retain documents regarding cleanup for three years; and
(D) manage the contaminated media in a manner consistent with Department regulations.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.570.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
2. Change without regulatory effect adding new article heading filed 9-13-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 37).
§66264.571. Assessment of Existing Drip Pad Integrity.
Note     •     History

(a) For each existing drip pad as defined in section 66264.570, the owner or operator shall evaluate the drip pad and determine that it meets all of the requirements of this article, except the requirements for liners and leak detection systems of section 66264.573(b). No later than the effective date of this rule, the owner or operator shall obtain and keep on file at the facility, a written assessment of the drip pad, reviewed and certified by an independent, qualified professional engineer registered in California that attests to the results of the evaluation. The assessment shall be reviewed, updated, and re-certified annually until all upgrades, repairs, or modifications necessary to achieve compliance with all of the standards of section 66264.573 are complete. The evaluation shall document the extent to which the drip pad meets each of the design and operating standards of section 66264.573, except the standards for liners and leak detection systems, specified in section 66264.573(b).
(b) The owner or operator shall develop a written plan for upgrading, repairing, and modifying the drip pad to meet the requirements of section 66264.573(b), and submit the plan to the Department no later than two years before the date that all repairs, upgrades, and modifications are complete. This written plan shall describe all changes to be made to the drip pad in sufficient detail to document compliance with all the requirements of section 66264.573. The plan shall be reviewed and certified by an independent qualified registered professional engineer.
(c) Upon completion of all upgrades, repairs, and modifications, the owner or operator shall submit to the Department, the as-built drawings for the drip pad together with a certification by an independent, qualified professional engineer registered in California attesting that the drip pad conforms to the drawings.
(d) If the drip pad is found to be leaking or unfit for use, the owner or operator shall comply with the provisions of section 66264.573(m) or close the drip pad in accordance with section 66264.575.
NOTE

Authority cited: Sections 25150 and 25159,  Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.571.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
§66264.572. Design and Installation of New Drip Pads.
Note     •     History

Owners and operators of new drip pads shall ensure that the pads are designed, installed, and operated in accordance with one of the following:
(a) All of the requirements of sections 66264.573 (except 66264.573(b), 66264.574 and 66264.575, or
(b) All of the requirements of sections 66264.573 (except section 66264.573(a)(4)(A) and (B)), 66264.574 and 66264.575.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.572.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
§66264.573. Design and Operating Requirements.
Note     •     History

(a) Drip pads shall:
(1) be constructed of non-earthen materials, excluding wood and non-structurally supported asphalt;
(2) be sloped to free-drain treated wood drippage, rain and other waters, or solutions of drippage and water or other wastes to the associated collection system;
(3) have a curb or berm around the perimeter;
(4)(A) have a hydraulic conductivity of less than or equal to 1x10-7 centimeters per second, e.g., existing concrete drip pads shall be sealed, coated, or covered with a surface material with a hydraulic conductivity of less than or equal to 1x10-7 centimeters per second such that the entire surface where drippage occurs or may run across is capable of containing such drippage and mixtures of drippage and precipitation, material, or other wastes while being routed to an associated collection system. This surface material shall be maintained free of cracks and gaps that could adversely affect its hydraulic conductivity, and the materials shall be chemically compatible with the preservatives that contact the drip pad. The requirements of this provision apply only to existing drip pads and those drip pads for which the owner or operator elects to comply with section 66264.572(a) instead of Section 66264.572(b).
(4)(B) the owner or operator shall obtain and keep on file at the facility a written assessment of the drip pad, reviewed and certified by an independent, qualified registered professional engineer registered in California that attests to the results of the evaluation. The assessment shall be reviewed, updated and recertified annually. The evaluation shall document the extent to which the drip pad meets the design and operating standards of this section, except for paragraph (b) of this section.
(5) be of sufficient structural strength and thickness to prevent failure due to physical contact, climatic conditions, the stress of daily operations, e.g., variable and moving loads such as vehicle traffic, movement of wood, etc.
(b) If an owner or operator elects to comply with section 66264.572(b) instead of section 66264.572(a), the drip pad shall have:
(1) a synthetic liner installed below the drip pad that is designed, constructed, and installed to prevent leakage from the drip pad into the adjacent subsurface soil or groundwater or surface water at any time during the active life (including the closure period) of the drip pad. The liner shall be constructed of materials that will prevent waste from being absorbed into the liner and to prevent releases into the adjacent subsurface soil or groundwater or surface water during the active life of the facility. The liner shall be:
(A) constructed of materials that have appropriate chemical properties and sufficient strength and thickness to prevent failure due to pressure gradients (including static head and external hydrogeologic forces), physical contact with the waste or drip pad leakage to which they are exposed, climatic conditions, the stress of installation, and the stress of daily operation (including stresses from vehicular traffic on the drip pad);
(B) placed upon a foundation or base capable of providing support to the liner and resistance to pressure gradients above and below the liner to prevent failure of the liner due to settlement, compression or uplift; and
(C) installed to cover all surrounding earth that could come in contact with the waste or leakage; and
(2) a leakage detection system immediately above the liner that is designed, constructed, maintained, and operated to detect leakage from the drip pad. The leakage detection system shall be:
(A) constructed of materials that are:
1. chemically resistant to the waste managed in the drip pad and the leakage that might be generated; and
2. of sufficient strength and thickness to prevent collapse under the pressures exerted by overlaying materials and by any equipment used at the drip pad;
(B) designed and operated to function without clogging through the scheduled closure of the drip pad; and
(C) designed so that it will detect the failure of the drip pad or the presence of a release of hazardous waste or accumulated liquid at the earliest practicable time.
(3) a leakage collection system immediately above the liner that is designed, constructed, maintained and operated to collect leakage from the drip pad such that it can be removed from below the drip pad. The date, time, and quantity of any leakage collected in this system and removed shall be documented in the operating log.
(c) Drip pads shall be maintained such that they remain free of cracks, gaps, corrosion, or other deterioration that could cause hazardous waste to be released from the drip pad.
(d) The drip pad and associated collection system shall be designed and operated to convey, drain, and collect liquid resulting from drippage or precipitation in order to prevent run-off.
(e) Unless protected by a structure, as described in section 66264.570(b), the owner or operator shall design, construct, operate, and maintain a run-on control system capable of preventing flow onto the drip pad during peak discharge from at least a 24-hour, 25-year storm, unless the system has sufficient excess capacity to contain any run-off that might enter the system.
(f) Unless protected by a structure or cover, as described in section 66264.570(b), the owner or operator shall design, construct, operate, and maintain a run-off management system to collect and control at least the water volume resulting from a 24-hour, 25-year storm.
(g) The drip pad shall be evaluated to determine that it meets the requirements of subsections (a) through (f) of this section and the owner or operator shall obtain a statement from an independent, qualified pro--fessional engineer registered in California certifying that the drip pad design meets the requirements of this section.
(h) Drippage and accumulated precipitation shall be removed from the associated collection system as necessary to prevent overflow onto the drip pad.
(i) The drip pad surface shall be cleaned thoroughly in a manner and frequency such that accumulated residues of hazardous waste or other materials are removed, with residues being properly managed as hazardous waste, so as to allow weekly inspections of the entire drip pad surface without interference or hindrance from accumulated residues of hazardous waste or other materials on the drip pad. The owner or operator shall document the date and time of each cleaning and the cleaning procedure used in the facility's operating log. The owner or operator shall determine if the residues are hazardous as per section 66262.11 and, if so, shall manage them under chapters 11 through 18 and 20.
(j) Drip pads shall be operated and maintained in a manner to minimize tracking of hazardous waste or hazardous waste constituents off the drip pad as result of activities by personnel or equipment.
(k) After being removed from the treatment vessel, treated wood from pressure and non-pressure processes shall be held on the drip pad until drippage has ceased. The owner or operator shall maintain records sufficient to document that all treated wood is held on the pad following treatment in accordance with this requirement.
(l) Collection and holding units associated with run-on and run-off control systems shall be emptied or otherwise managed as soon as possible after storms to maintain design capacity of the system.
(m) Throughout the active life of the drip pad and as specified in the permit, if the owner or operator detects a condition that may have caused or has caused a release of hazardous waste, the condition shall be repaired within a reasonably prompt period of time following discovery, in accordance with the following procedures:
(1) upon detection of a condition that may have caused or has caused a release of hazardous waste (e.g., upon detection of leakage in the leak detection system), the owner or operator shall:
(A) enter a record of the discovery in the facility operating log;
(B) immediately remove the portion of the drip pad affected by the condition from service;
(C) determine what steps shall be taken to repair the drip pad and clean up any leakage from below the drip pad, and establish a schedule for accomplishing the repairs;
(D) within 24 hours after discovery of the condition, notify the Department of the condition and, within ten working days, provide written notice to the Department with a description of the steps that will be taken to repair the drip pad and clean up any leakage, and the schedule for accomplishing this work;
(2) the Department will review the information submitted, make a determination regarding whether the pad shall be removed from service completely or partially until repairs and clean up are complete, and notify the owner or operator of the determination and the underlying rationale in writing;
(3) upon completing all repairs and clean up, the owner or operator shall notify the Department in writing and provide a certification signed by an independent, qualified professional engineer registered in California, that the repairs and clean up have been completed according to the written plan submitted in accordance with subsection (m)(1)(D) of this section.
(n) Should a permit be necessary, the Department will specify in the permit all design and operating practices that are necessary to ensure that the requirements of this section are satisfied.
(o) The owner or operator shall maintain, as part of the facility operating log, documentation of past operating and waste handling practices. This shall include identification of preservative formulations used in the past, a description of drippage management practices, and a description of treated wood storage and handling practices.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.573.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
2. Change without regulatory effect amending subsection (i) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
§66264.574. Inspections.
Note     •     History

(a) During preconstruction, construction, and operating phases, liners and cover systems (e.g., membranes, sheets, or coatings) shall be inspected for uniformity, damage, and imperfections (e.g., holes, cracks, thin spots, or foreign materials). Immediately after construction or installation, liners shall be inspected and certified as meeting the requirements of section 66264.573 by an independent, qualified professional engineer registered in California. The certification shall be maintained at the facility as part of the facility operating record. After installation, liners and covers shall be inspected to ensure tight seams and joints and the absence of tears, punctures, or blisters.
(b) While a drip pad is in operation, it shall be inspected weekly and after storms to detect evidence of any of the following:
(1) deterioration, malfunctions or improper operation of run-on and run-off control systems;
(2) the presence of leakage in and proper functioning of leak detection system; or
(3) deterioration or cracking of the drip pad surface.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150 and 25245, Health and Safety Code; and 40 CFR Section 264.574.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
§66264.575. Closure.
Note     •     History

(a) At closure, the owner or operator shall remove or decontaminate all waste residues, contaminated containment system components (pad, liners, etc.), contaminated subsoils, and structures and equipment contaminated with waste and leakage, and manage them as hazardous waste.
(b) If, after removing or decontaminating all residues and making all reasonable efforts to effect removal or decontamination of contaminated components, subsoils, structures, and equipment as required in subsection (a) of this section, the owner or operator finds that not all contaminated subsoils can be practically removed or decontaminated, the owner or operator shall close the facility and perform post-closure care in accordance with closure and post-closure care requirements that apply to landfills (section 66264.310). For permitted units, the requirement to have a permit continues throughout the post-closure period. In addition, for the purposes of closure, post-closure, and financial responsibility, such a drip pad is then considered to be a landfill, and the owner or operator shall meet all of the requirements for landfills specified in articles 7 and 8 of this chapter.
(c)(1) The owner or operator of an existing drip pad, as defined in section 66264.570, that does not comply with the liner requirements of section 66264.573(b)(1) shall:
(A) include in the closure plan for the drip pad under section 66264.112 both a plan for complying with subsection (a) of this section and a contingent plan for complying with subsection (b) of this section in case not all contaminated subsoils can be practicably removed at closure; and
(B) prepare a contingent post-closure plan under section 66264.118 for complying with subsection (b) of this section in case not all contaminated subsoils can be practicably removed at closure;
(2) the cost estimates calculated under sections 66264.112 and 66264.144 for closure and post-closure care of a drip pad subject to this chapter shall include the cost of complying with the contingent closure plan and the contingent post-closure plan, but are not required to include the cost of expected closure under subsection (a) of this section.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code;  and 40 CFR Section 264.575.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
Article 16. Miscellaneous Units
§66264.600. Applicability.
Note     •     History

The requirements in this article apply to owners and operators of facilities that transfer, treat, store, or dispose of hazardous waste in miscellaneous units, except as section 66264.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.600.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.601. Environmental Performance Standards.
Note     •     History

A miscellaneous unit shall be located, designed, constructed, operated, maintained, and closed in a manner that will ensure protection of human health and the environment. Permits for miscellaneous units shall contain such terms and provisions as necessary to protect human health and the environment, including, but not limited to, as appropriate, design and operating requirements, detection and monitoring requirements, and requirements for responses to releases of hazardous waste or hazardous waste constituents from the unit. Permit terms and provisions shall include those requirements of articles 9 through 15 and articles 27, 28 and 28.5 of this chapter, chapter 20, 40 CFR Part 146, and article 5.5 of chapter 6.5 of division 20 of the Health and Safety Code (commencing with section 25100) that are appropriate for the miscellaneous unit being permitted. Protection of human health and the environment includes, but is not limited to:
(a) prevention of any releases that may have adverse effects on human health or the environment due to migration of waste constituents, hazardous constituents, or reaction products, in the ground water or subsurface environment, considering:
(1) the volume and physical and chemical characteristics of the waste in the unit, including its potential for migration through soil, liners, or other containing structures;
(2) the hydrologic and geologic characteristics of the unit and the surrounding area;
(3) the existing quality of ground water and soil-pore liquid and gas, including other sources of pollution and contamination and their cumulative impact on the ground water and the normally unsaturated zone;
(4) the quantity and direction of groundwater flow;
(5) the proximity to and withdrawal rate of current and potential groundwater users;
(6) the patterns of land use in the region;
(7) the potential for deposition or migration of waste constituents, hazardous constituents, or reaction products, into subsurface physical structures, and into the root zone of food-chain crops and other vegetation;
(8) the potential for health risks caused by human exposure to constituents of concern; and
(9) the potential for damage to domestic animals, wildlife, crops, vegetation, and physical structures caused by exposure to constituents of concern;
(b) prevention of any releases that may have adverse effects on human health or the environment due to migration of waste constituents, hazardous constituents, or reaction products, in surface water, or wetlands or on the soil surface considering:
(1) the volume and physical and chemical characteristics of the waste in the unit;
(2) the effectiveness and reliability of containing, confining, and collecting systems and structures in preventing migration;
(3) the hydrologic characteristics of the unit and the surrounding area, including the topography of the land around the unit;
(4) the patterns of precipitation in the region;
(5) the quantity, quality, and direction of ground-water flow;
(6) the proximity of the unit to surface waters;
(7) the current and potential uses of nearby surface waters and any water quality standards established for those surface waters;
(8) the existing quality of surface waters and surface soils, including other sources of pollution and contamination and their cumulative impact on surface waters and surface soils;
(9) the patterns of land use in the region;
(10) the potential for health risks caused by human exposure to constituents of concern; and
(11) the potential for damage to domestic animals, wildlife, crops, vegetation, and physical structures caused by exposure to constituents of concern;
(c) prevention of any release that may have adverse effects on human health or the environment due to migration of waste constituents, hazardous constituents, or reaction products, in the air, considering:
(1) the volume and physical and chemical characteristics of the waste in the unit, including its potential for the emission and dispersal of gases, aerosols, and particulates;
(2) the effectiveness and reliability of systems and structures to reduce or prevent emissions of hazardous constituents to the air;
(3) the operating characteristics of the unit; 
(4) the atmospheric, meteorologic, and topographical characteristics of the unit and the surrounding area;
(5) the existing quality of the air, including other sources of pollution and contamination and their cumulative impact on the air;
(6) the potential for health risks caused by human exposure to constituents of concern; and
(7) the potential for damage to domestic animals, wildlife, crops, vegetation, and physical structures caused by exposure to constituents of concern.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.601.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending first paragraph and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.602. Monitoring, Analysis, Inspection, Response, Reporting, and Corrective Action.
Note     •     History

Monitoring, testing, analytical data, inspections, response, and reporting procedures and frequency shall ensure compliance with sections 66264.15, 66264.33, 66264.75, 66264.76, 66264.77, 66264.601 and 66264.801 as well as meet any additional requirements needed to protect human health and the environment as specified in the permit.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.602.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.603. Post-Closure Care.
Note     •     History

A miscellaneous unit that is a disposal unit shall be maintained in a manner that complies with section 66264.601 during the post-closure care period. In addition, if a transfer, treatment, or storage unit has contaminated soils or ground water that cannot be completely removed or decontaminated during closure, then that unit shall also meet the requirements of section 66264.601 during post-closure care. The post-closure plan under section 66264.118 shall specify the procedures that will be used to satisfy this requirement.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 264.603.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 17. Environmental Monitoring and Response Programs for Air, Soil, and Soil-Pore Gas for Permitted Facilities
§66264.700. Applicability to Permitted Facilities.
Note     •     History

(a) The regulations in this article apply to owners and operators of permitted facilities that treat, store, recycle or dispose of hazardous waste. The owner or operator shall satisfy the requirements of this article for all wastes (or constituents thereof) contained in any regulated unit that receives hazardous waste after February 2, 1985. Any waste or waste constituent migrating beyond the regulated unit, as determined by monitoring at any monitoring point for air or soil-pore gas established in accordance with section 66264.705, is assumed to originate from a regulated unit unless the owner or operator demonstrates to the satisfaction of the Department that such waste or waste constituent originated from another source.
(b) The owner or operator is not subject to regulation under this article if the Department finds, pursuant to section 66264.280(d), that the treatment zone of a land treatment unit does not contain levels of hazardous constituents that are above background levels of those constituents by an amount that is statistically significant, and if an unsaturated zone monitoring program meeting the requirements of section 66264.278 has not shown a statistically significant increase in hazardous constituents below the treatment zone during the active life of the unit. An exemption under this subsection can only relieve an owner or operator of responsibility to meet the requirements of this article during the post-closure care period.
(c) The owner or operator is not subject to regulation under this article if the owner or operator demonstrates to the satisfaction of the Department that hazardous waste will not migrate from a regulated unit during the active life of the unit (including the closure period) and the post-closure care period specified under section 66264.117. The demonstration that liquid will not migrate shall be certified by an independent certified engineering geologist or civil engineer registered in California. The demonstration that gas or airborne solids will not migrate shall be certified by a scientist, or engineer registered in California, qualified to make such a demonstration. In order to provide an adequate margin of safety in the prediction of potential migration of liquid, the owner or operator shall base any predictions made under this subsection on assumptions that maximize the rate of liquid migration.
(d) The regulations under this article apply during the active life of the regulated unit (including the closure period). After closure of the regulated unit, the regulations in this article:
(1) do not apply if all waste, waste residues, contaminated containment system components and contaminated subsoils are removed or decontaminated at closure; or
(2) apply during the post closure care period under section 66264.117 of article 7 of this chapter and during any compliance period under section 66264.96 of article 6 of this chapter.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.701. Required Programs.
Note     •     History

(a) Owners and operators subject to this article shall conduct a monitoring and response program as follows.
(1) Whenever there is a statistically significant increase under section 66264.707(b) for any hazardous constituents under section 66264.703 from a regulated unit at any monitoring point under section 66264.705, or at another location at which environmental monitoring is undertaken pursuant to state requirements, the owner or operator shall institute a compliance monitoring program under section 66264.708. 
(2) Whenever the environmental protection standard under section 66264.702 is exceeded, or when a concentration specified for soil-pore gas or open-air downwind from the hazardous waste facility, is exceeded, the owner or operator shall institute a corrective action program under section 66264.708.
(3) In all other cases, the owner or operator shall institute a detection monitoring program under section 66264.706.
(b) The Department will specify in the facility permit the specific elements of the monitoring and response program. The Department shall include one or more of the programs identified in subsection (a) of this section in the facility permit as may be necessary to protect human health or the environment and will specify the circumstances under which each of the programs will be required. In deciding whether to require the owner or operator to be prepared to institute a particular program, the Department will consider the potential adverse effects on human health or the environment that might occur before final administrative action could be taken on a permit modification application to incorporate such a program.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.702. Environmental Protection Standard.
Note     •     History

(a) The owner or operator shall comply with conditions specified in the facility permit that are designed to ensure that hazardous constituents, under section 66264.703 entering soil or air from a regulated unit, do not exceed the concentration limits under section 66264.704 cited by the Department as maximum acceptable concentrations in soil, soil-pore gas, air, or on the land surface.
(b) The owner or operator shall not cause the concentration of a hazardous constituent in soil, soil-pore gas or air outside the unit to exceed a concentration limit under section 66264.704 specified in the facility permit as maximum acceptable concentrations in soil, soil-pore gas, air, or on the land surface.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.703. Hazardous Constituents.
Note     •     History

(a) The Department will specify in the facility permit the hazardous constituents to which the environmental protection standard of section 66264.702 applies. Constituents specified in the permit will be limited to constituents reasonably expected to be in or derived from waste contained in a regulated unit.
(b) The Department shall not specify in the facility permit constituents the Department considers not capable of posing a substantial present or potential hazard to human health or the environment and that are not useful as an indicator of migration of hazardous waste. In deciding which constituents to cite in the facility permit, the Department will consider the following:
(1) potential effects on human health or the environment that can result from migration of waste constituents from a regulated unit considering:
(A) the volume, physical and chemical characteristics of the waste in the regulated unit, including its potential for migration;
(B) the hydrogeological characteristics of the facility and surrounding land;
(C) the current and estimated future uses of the area;
(D) any existing contamination or pollution, including other sources and their cumulative impact;
(E) the potential for health risks caused by human exposure to waste constituents;
(F) the potential damage to wildlife, crops, vegetation and physical structures caused by exposure to waste constituents; and
(G) the persistence and permanence of the potential adverse effects;
(2) potential adverse effects on surface and groundwater quality; and
(3) capability of the substance to act as an indicator of the possible presence of a hazardous constituent of hazardous waste.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.704. Concentration Limits.
Note     •     History

(a) The facility permit shall specify concentration limits for soil, soil-pore gas, and open-air downwind from the regulated unit, for hazardous constituents established under section 66264.703.
(b) The concentration limit for a hazardous constituent in soil outside the regulated unit shall not exceed the background concentration of that constituent in the soil unless an alternate concentration limit that is higher than background concentration for soil is established by the Department under subsection (e) of this section.
(c) The concentration limit for a hazardous constituent in open-air immediately downwind from the regulated unit:
(1) shall not exceed an ambient air quality standard established by the California Air Resources Board; and
(2) shall not exceed a concentration limit for a hazardous constituent established by the Department to protect human health or the environment.
(d) The concentration limit for a hazardous constituent in soil-pore gas outside the regulated unit shall not exceed the background concentration in soil-pore gas unless a concentration limit greater than background is established for soil-pore gas by the Department under subsection (e) of this section.
(e) The Department shall establish an alternate concentration limit for a hazardous constituent if it is found that the constituent will not pose a substantial present or potential hazard to human health or the environment as long as the alternate concentration limit is not exceeded. In establishing alternate concentration limits, the Department will consider any or all of the factors listed under section 66264.703(b).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.705. Monitoring Points.
Note     •     History

The Department will specify in the facility permit the monitoring points at which monitoring must be conducted by the owner or operator and at which the environmental protection standard of section 66264.702 applies. Monitoring points shall be suitable for sampling any substance that may have migrated from the regulated unit, and shall be located close enough to the regulated unit to provide an early indication of contaminant migration.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.706. Detection Monitoring Program.
Note     •     History

An owner or operator required to establish a detection monitoring program under this article shall, at a minimum, discharge the responsibilities specified in subsections (a) through (f) of this section concerning monitoring of air and soil-pore gas.
(a) The owner or operator shall assure that monitoring and corrective action measures necessary to achieve compliance with the environmental protection standard under section 66264.702 are taken as specified in the permit or in an order issued by the Department.
(b) The owner or operator of a regulated unit that contains hazardous waste or discarded hazardous material that contains a volatile toxic substance or a hazardous material that can become airborne, or that can decompose or react to form a volatile toxic substance or toxic gas, shall follow methods prescribed by the Department to provide for representative sampling and analysis of air upwind and at the disposal area, and of soil-pore gas at monitoring points under section 66264.705, established by the owner or operator to the satisfaction of the Department. Vapor and gas monitoring wells shall be covered with collection chambers approved by the Department. The owner or operator shall provide, inside the collection chambers, probes or equivalent methodologies that actively sense the concentration of substances specified by the Department. If specified by the Department, the owner or operator shall provide instrumentation that provides continuous recording of concentrations of substances in open air and in the atmosphere of vapor wells.
(c) Samples will be analyzed for those substances specified in the permit. Unless the Department specifies in the permit parameters and constituents for which samples described in subsection (b) of this section shall be analyzed, the owner or operator shall analyze the samples to determine the concentration of all constituents that cause waste at the regulated unit to be hazardous waste. The Department will specify for the regulated unit the location and frequency of monitoring and the type of statistical analysis that will be used. The owner or operator shall submit a report to the Department that indicates the results of the analysis and the concentrations of constituents in the air and soil-pore gas sampled. The report shall be submitted to the Department within 30 days of the date analyses are completed.
(d) If the owner or operator determines that there is an increase of hazardous constituents at any monitoring point under section 66264.705, the owner or operator shall:
(1) notify the Department of this finding in writing within seven days of the date such determination is made. The notification shall indicate what constituents have shown statistically significant increases;
(2) within 90 days of the determination, submit to the Department an application for a permit modification to modify the facility or operating practices at the facility.
(e) If the owner or operator determines that there is an increase of hazardous constituents at any monitoring point under section 66264.705, the owner or operator may demonstrate that a source other than the regulated unit caused the increase or that the increase resulted from an error in sampling, analysis or evaluation. While the owner or operator may make a demonstration under this subsection in addition to, or in lieu of, submitting a permit modification application under subsection (d)(2) of this section, the owner or operator is not relieved of the requirement to submit a permit modification application within the time specified in subsection (d)(2) of this section unless the demonstration made under this subsection shows to the satisfaction of the Department that a source other than the regulated unit caused the increase or that the increase resulted from an error in sampling, analysis or evaluation. In making a demonstration under this subsection, the owner or operator shall:
(1) notify the Department in writing within seven days of determining an increase at any monitoring point that the owner or operator intends to make a determination under this subsection;
(2) within 90 days of determining the increase, submit a report to the Department demonstrating that a source other than the regulated unit caused the increase or that the increase resulted from error in sampling, analysis or evaluation;
(3) within 90 days of determining the increase, submit to the Department an application for a permit modification to make any appropriate changes to the monitoring program at the facility; and
(4) continue to monitor in accordance with the monitoring program established under this section.
(f) If the owner or operator determines that the detection monitoring program under this article does not satisfy the requirements of this section, the owner or operator shall, within 90 days of determining the increase, submit an application for a permit modification to make any appropriate changes to the program.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.707. Compliance Monitoring Program.
Note     •     History

An owner or operator required to establish a compliance monitoring program under this article shall, at a minimum, discharge the following responsibilities.
(a) The owner or operator shall perform monitoring the Department specifies to determine whether regulated units are in compliance with the environmental protection standard under section 66264.702, or to determine the vertical and horizontal extent to which a constituent of hazardous waste has migrated from a regulated unit. The Department will specify the environmental protection standard in the facility permit, including:
(1) a list of the hazardous constituents identified under section 66264.703;
(2) concentration limits under section 66264.704 for each of those hazardous constituents; and
(3) the monitoring points under section 66264.705.
(b) If stipulated by the Department, the owner or operator shall determine the concentration of hazardous constituents in the unsaturated zone or in the air. The owner or operator shall express the concentration at each sampling station in a form necessary for the determination of increases. The owner or operator shall submit data obtained from monitoring to the Department within 30 days after it is obtained.
(c) If the owner or operator determines that the environmental protection standard is being exceeded at any monitoring point established under section 66264.705 or any other type and location of sampling station, the owner or operator shall:
(1) notify the Department of this finding in writing within seven days of the determination. The notification shall indicate what concentration limits have been exceeded;
(2) submit to the Department an application for a permit modification to establish a corrective action program meeting the requirements of section 66264.708 within 180 days of the determination, or within 90 days if an engineering feasibility study has been previously submitted to the Department. The application shall, at a minimum, include the following information:
(A) a detailed description of corrective actions that will achieve compliance with the environmental protection standard specified in the permit under subsection (a) of this section;
(B) a plan for an environmental monitoring program that will demonstrate the effectiveness of the corrective action to the satisfaction of the Department. Such a monitoring program may be based on a compliance monitoring program developed to meet the requirements of this section.
(d) If the owner or operator determines that the environmental protection standard is being exceeded at any monitoring point established under section 66264.705, the owner or operator may demonstrate that a source other than a regulated unit caused the increase or that the increase resulted from error in sampling, analysis or evaluation. While the owner or operator may make a demonstration under this subsection in addition to, or in lieu of, submitting a permit modification application under subsection (c)(2) of this section, the owner or operator is not relieved of the requirement to submit a permit modification application within the time specified in subsection (c)(2) of this section unless the demonstration made under this subsection shows to the satisfaction of the Department that a source other than a regulated unit caused the increase or that the increase resulted from error in sampling, analysis or evaluation. In making a demonstration under this subsection, the owner or operator shall:
(1) notify the Department in writing within seven days of the determination that the owner or operator intends to make a demonstration under this subsection;
(2) within 90 days of the determination, submit a report to the Department which demonstrates that a source other than a regulated unit caused the standard to be exceeded or that the apparent noncompliance with the standard resulted from error in sampling, analysis or evaluation;
(3) within 90 days of the determination, submit to the Department an application for a permit modification to make any appropriate changes to the compliance monitoring program at the facility;
(4) continue to monitor in accord with the compliance monitoring program established under this section.
(e) If the owner or operator determines that the compliance monitoring program does not satisfy the requirements of this section, the owner or operator shall, within 90 days of the determination, submit an application for a permit modification to make any appropriate changes to the program.
(f) The owner or operator shall assure the Department that monitoring and corrective action measures are taken as necessary to achieve compliance with the environmental protection standard under section 66264.702 as specified in the permit or in an order issued by the Department.
(g) When the Department has determined that a constituent of hazardous waste has migrated from a regulated unit, the Department shall require the owner or operator to obtain samples of soil from specified depths and locations, and to chemically analyze such samples as necessary to determine the distances and depths through which constituents of hazardous waste have migrated from the regulated unit.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66264.708. Corrective Action Program.
Note     •     History

An owner or operator required to establish a corrective action program under this article shall, at a minimum, discharge the following responsibilities.
(a) The owner or operator shall take corrective action to ensure that regulated units are in compliance with the environmental protection standard under section 66264.702. The Department will specify the environmental protection standard in the facility permit, including:
(1) a list of the hazardous constituents identified under section 66264.703;
(2) concentration limits under section 66264.704 for each of those hazardous constituents; and
(3) the monitoring points under section 66264.705.
(b) The owner or operator shall implement a corrective action program that prevents hazardous constituents from exceeding their respective concentration limits at the monitoring points established under section 66264.705 by removing the hazardous waste constituents or treating them in place or providing other effective measures. The permit will specify the specific measures that will be taken.
(c) The owner or operator shall begin corrective action within a reasonable time period after the environmental protection standard is exceeded. The Department will specify that time period in the facility permit. If a facility permit includes a corrective action program under this section in addition to a compliance monitoring program under section 66264.707, the permit will specify when the corrective action will begin, and such a requirement will operate in lieu of section 66264.707(c)(2).
(d) In conjunction with a corrective action program established under this section, the owner or operator shall establish and implement an environmental monitoring program to demonstrate the effectiveness of the corrective action program. Such a monitoring program may be based on the requirements for a compliance monitoring program under section 66264.707 and shall be as effective as that program in determining compliance with the environmental protection standard under section 66264.702 and in determining the success of a corrective action program under subsection (e) of this section.
(e) In addition to the other requirements of this section, the owner or operator shall conduct a corrective action program to remove or treat in place any hazardous constituents under section 66264.703 of this article that have caused, or could cause, the environmental protection standard to be exceeded, or take other action specified by the Department to reduce the concentration of hazardous constituents under section 66264.703 to levels below their respective concentration limits specified pursuant to this chapter, and to prevent subsequent exceedance of those levels by hazardous waste remaining at the regulated unit. The permit will specify the measures to be taken.
(1) Corrective action measures under this subsection shall be initiated and completed within a reasonable period of time considering the extent of contamination.
(2) Corrective action measures under this subsection may be terminated once the concentration of hazardous constituents under section 66264.703 is reduced to levels below their respective concentration limits under section 66264.704, and it is not likely that hazardous waste remaining at the regulated unit will cause a concentration limit under section 66264.704 to be exceeded.
(f) The owner or operator shall continue corrective action measures as necessary to ensure that the environmental protection standard is not exceeded. If the owner or operator is conducting corrective action under this section at the end of the post-closure care period or at the end of any compliance period established under section 66264.96 of article 6, the owner or operator shall continue that corrective action for as long as necessary to achieve compliance with the environmental protection standard under section 66264.702. The owner or operator may terminate corrective action measures under this section taken beyond the end of the post-closure care period or any compliance period established under section 66264.96 of article 6 if the owner or operator demonstrates, to the satisfaction of the Department, based on data from the environmental monitoring program under subsection (d) of this section, that the environmental protection standard of section 66264.702 has not been exceeded during the last three consecutive years.
(g) The owner or operator shall report in writing to the Department on the effectiveness of the corrective action program established under this section. The owner or operator shall submit these reports semiannually.
(h) If the owner or operator determines that the corrective action program does not satisfy the requirements of this section, the owner or operator shall, within 90 days of making such determination, submit an application for a permit modification to make any appropriate changes to the program.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 19. Corrective Action for Solid Waste Mangaement Units
§66264.800. Applicability.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer of article 19 and section filed 12-23-93 as an emergency; operative 12-23-93 (Register 93, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-9-94 or emergency language will be repealed by operation of law on the following day.
3. Repealer of article 19 and section  refiled 4-25-94 as an emergency; operative 4-25-94 (Register  94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer of article 19 and section refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
5. Repealer of  article 19 and  section refiled 12-22-94 as an emergency; operative 12-22-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-21-95 or emergency language will be repealed by operation of law on the following day.
6. Repealer of article 19 and section  refiled 6-29-95 as an emergency; operative 6-29-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-95 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction inserting inadvertently deleted article 19 heading (Register 95, No. 43).
8. Repealer of article 19 and section refiled 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 10-26-95 order transmitted to OAL 11-30-95 and filed 1-16-96 (Register 96, No. 3).
§66264.801. Corrective Action.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22)
2. Repealer filed 12-23-93 as an emergency; operative 12-23-93 (Register 93, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-9-94 or emergency language will be repealed by operation of law on the following day.
3. Repealer  refiled 4-25-94 as an emergency; operative 4-25-94 (Register  94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
5. Repealer of section refiled 12-22-94 as an emergency; operative 12-22-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-21-95 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 6-29-95 as an emergency; operative 6-29-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-95 or emergency language will be repealed by operation of law on the following day.
7. Repealer refiled 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-26-95 order transmitted to OAL 11-30-95 and filed 1-16-96 (Register 96, No. 3).

Appendix I

Recordkeeping Instructions
The recordkeeping provisions of section 66264.73 specify that an owner or operator shall keep a written operating record at the facility. This appendix provides additional instructions for keeping portions of the operating record. See section 66264.73(b) for additional recordkeeping requirements.
The following information shall be recorded, as it becomes available, and maintained in the operating record until closure of the facility in the following manner: records of each hazardous waste received, transferred, treated, stored, or disposed of at the facility which include the following:
(1) a description by its common name and any applicable EPA Hazardous Waste Number or California Hazardous Waste Number from chapter 11 of this division which apply to the waste. The waste description also shall include the waste's physical form, i.e., liquid, sludge, solid, or contained gas. If the waste is not listed in chapter 11, article 4 or Appendix XII of this division, the description also shall include the process that produced it (for example, solid filter cake from production of ---, EPA Hazardous Waste Number W051).
Each hazardous waste listed in chapter 11, article 4, of this division, and each hazardous waste characteristic defined in chapter 11, article 3, of this division, has a four-digit EPA Hazardous Waste Number and/or a three-digit California Hazardous Waste Number assigned to it. This number shall be used for recordkeeping and reporting purposes. Where a hazardous waste contains more than one listed hazardous waste, or where more than one hazardous waste characteristic applies to the waste, the waste description shall include all applicable EPA and California Hazardous Waste Numbers;
(2) the estimated or manifest-reported weight, or volume and density, where applicable, in one of the units of measure specified in Table 1:

Table 1

			Unit of  Measurement		Code1

Gallons		G
Gallons per Hour		E
Gallons per Day		U
Liters		L
Liters per Hour		H
Liters per Day		V
Short Tons per Hour		D
Metric Tons per Hour		W
Short Tons per Day		N
Metric Tons per Day		S
Pounds per Hour		J
Kilograms per Hour		R
Cubic Yards		Y
Cubic Meters		C
Acres		B
Acre-feet		A
Hectares		Q
Hectare-meter		F
Btu's per Hour		I
			
 1Single digit symbols are used here for data processing purposes.
(3) the method(s) (by handling code(s) as specified in Table 2) and date(s) of treatment, storage, or disposal.

Table 2
Handling Codes for Treatment, Storage, and Disposal Methods

	Enter the handling code(s) listed below that most closely represents the technique(s) used at the facility to treat, store, or dispose of each quantity of hazardous waste received.

 (a) Storage.
S01 	Container (barrel, drum, etc.)
S02 	Tank
S03 	Waste pile
S04 	Surface impoundment
S05 	Drip Pad
S06	Containment Building (Storage)
S99	Other Storage (specify)

 (b) Treatment.
 (1) Thermal Treatment.
T06 	Liquid injection incinerator
T07 	Rotary kiln incinerator
T08	Fluidized bed incinerator
T09 	Multiple hearth incinerator
T10	Infrared furnace incinerator
T11	Molten salt destructor
T12 	Pyrolysis
T13 	Wet Air oxidation
T14 	Calcination
T15 	Microwave discharge
T18 	Other (specify)

 (2) Chemical Treatment.
T19 	Absorption mound
T20 	Absorption field
T21 	Chemical fixation
T22 	Chemical oxidation
T23 	Chemical precipitation
T24 	Chemical reduction
T25 	Chlorination
T26 	Chlorinolysis
T27 	Cyanide destruction
T28 	Degradation
T29 	Detoxification
T30 	Ion exchange
T31 	Neutralization
T32 	Ozonation
T33 	Photolysis
T34 	Other (specify)

 (3) Physical Treatment.
 (A) Separation of components.
T35 	Centrifugation
T36 	Clarification
T37 	Coagulation
T38 	Decanting
T39 	Encapsulation
T40 	Filtration
T41 	Flocculation
T42 	Flotation
T43 	Foaming
T44 	Sedimentation
T45 	Thickening
T46 	Ultrafiltration
T47 	Other (specify)

 (B) Removal of Specific Components.
T48 	Absorption-molecular sieve
T49 	Activated carbon
T50 	Blending
T51 	Catalysis
T52 	Crystallization
T53 	Dialysis
T54 	Distillation
T55 	Electrodialysis
T56 	Electrolysis
T57	Evaporation
T58 	High gradient magnetic separation
T59 	Leaching
T60 	Liquid ion exchange
T61 	Liquid-liquid extraction
T62 	Reverse osmosis
T63 	Solvent recovery
T64 	Stripping
T65 	Sand filter
T66 	Other (specify)

 (4) Biological Treatment 
T67	Activated sludge

T68 	Aerobic lagoon
T69 	Aerobic tank
T70 	Anaerobic tank
T71	Composting
T72 	Septic tank
T73 	Spray irrigation
T74	Thickening filter
T75 	Trickling filter
T76 	Waste stabilization pond
T77 	Other (specify)
T78 	[Reserved]
T79 	[Reserved]

 (5) Boiler and Industrial Furnaces
T80	Boiler
T81	Cement Kiln
T82	Lime Kiln
T83	Aggregate Kiln
T84	Phosphate Kiln
T85	Coke Oven
T86	Blast Furnace
T87	Smelting, Melting, or Refining Furnace
T88	Titanium Dioxide Chloride Process Oxidation Reactor
T89	Methane Reforming Furnace
T90	Pulping Liquor Recovery Furnace
T91	Combustion Device Used in the Recovery of Sulfur Values
	from Spent Sulfuric Acid
T92	Halogen Acid Furnace
T93	Other Industrial Furnaces Listed in 40 CFR 260.10 (specify)

 (6) Other Treatment
T94	Containment Building (Treatment)

 (c) Disposal.
D79	Underground injection
D80 	Landfill
D81	Land treatment
D82 	Ocean disposal
D83 	Surface impoundment (to be closed as a landfill)
D99 	Other Disposal (specify)

 (d) Miscellaneous (Article 16)
X01	Open Burning/Open Detonation
X02	Mechanical Processing
X03	Thermal Unit
X04	Geologic Repository
X99	Other (Article 16) (specify)
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Part 264, Appendix I.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment  of tables 1 and 2 and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
3. Editorial correction restoring inadvertently omitted text (Register 97, No. 24).
4. Change without regulatory effect amending table 2 filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).

Appendix V

Examples of Potentially Incompatible Waste
Many hazardous wastes, when mixed with other waste or materials at a hazardous waste facility, can produce effects which are harmful to human health and the environment, such as (1) heat or pressure, (2) fire or explosion, (3) violent reaction, (4) toxic dusts, mists, fumes, or gases, or (5) flammable fumes or gases.
Below are examples of potentially incompatible wastes, waste components, and materials, along with the harmful consequences which result from mixing materials in one group with materials in another group. The list is intended as a guide to owners or operators of transfer, treatment, storage, and disposal facilities, and to enforcement and permit granting officials, to indicate the need for special precautions when managing these potentially incompatible waste materials or components.
This list is not intended to be exhaustive. An owner or operator shall, as the regulations require, adequately analyze all wastes so as to avoid creating uncontrolled substances or reactions of the type listed below, whether they are listed below or not.
It is possible for potentially incompatible wastes to be mixed in a way that precludes a reaction (e.g., adding acid to water rather than water to acid) or that neutralizes them (e.g., a strong acid mixed with a strong base), or that controls substances produced (e.g., by generating flammable gases in a closed tank equipped so that ignition cannot occur, and burning the gases in an incinerator).
In the lists below, the mixing of a Group A material with a Group B material may have the potential consequence as noted.

					Group 1-A	Group 1-B

Acetylene sludge	Acid sludge
Alkaline caustic liquids	Acid and water
Alkaline cleaner	Battery acid
Alkaline corrosive liquids	Chemical cleaners
Alkaline corrosive battery fluid	Electrolyte, acid
Caustic wastewater	Etching acid liquid or solvent
Lime sludge and other corrosive alkalies	
Lime wastewater	Pickling liquor and
	 other corrosive acids
Lime and water	Spent acid
Spent caustic	Spent mixed acid
	Spent sulfuric acid
		
Potential consequences: Heat generation; violent reaction.

					Group 2-A	Group 2-B

Aluminum	Any waste in Group
	 1-A or 1-B
Beryllium
Calcium
Lithium
Magnesium
Potassium
Sodium
Zinc powder
Other reactive metals and metal hydrides
		
Potential consequences: Fire or explosion; generation of flammable hydrogen gas.

					Group 3-A	Group 3-B

Alcohols	Any concentrated waste
	 in Groups 1-A or 1-B

Water	Calcium
	Lithium
	Metal hydrides
	Potassium
	SO2Cl2, SOCl2, PCl3,
	 CH3SiCl3
	Other water-reactive waste
		
Potential consequences: Fire, explosion, or heat generation; generation of flammable or toxic gases.

					Group 4-A	Group 4-B

Alcohols	Concentrated Group
	 1-A or 1-B wastes
Aldehydes	Group 2-A wastes
Halogenated hydrocarbons
Nitrated hydrocarbons
Unsaturated hydrocarbons
Other reactive organic compounds and solvents
		
Potential consequences: Fire, explosion, or violent reaction.

					Group 5-A	Group 5-B

Spent cyanide and sulfide solutions	Group 1-B wastes
		
Potential consequences: Generation of toxic hydrogen cyanide or hydrogen sulfide gas.

					Group 6-A	Group 6-B

Chlorates	Acetic acid and
	 other organic acids
Chlorine	Concentrated mineral acids
Chlorites	Group 2-A wastes
Chromic acid	Group 4-A wastes
Hypochlorites	Other flammable and
	 combustible wastes
Nitrates	
Nitric acid, fuming	
Perchlorates	
Permanganates	
Peroxides	
Other strong oxidizers
		
Potential consequences: Fire, explosion, or violent reaction. 
Source: “Law, Regulations, and Guidelines for Handling of Hazardous Waste.” California Department of Health, February 1975.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 208, 25159 and 25159.5, Health and Safety Code; 40 CFR Part 264, Appendix V.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).

Appendix IX--Ground Water Monitoring List 1

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1The regulatory requirements pertain only to the list of substances; the right hand columns (Methods and PQL) are given for informational purposes only. See also footnotes 5 and 6.
2Common names are those widely used in government regulations, scientific publications, and commerce; synonyms exist for many chemicals.
3Chemical Abstracts Service registry number. Where “Total” is entered, all species in the ground water that contain this element are included.
4CAS index names are those used in the 9th Cumulative Index.
5Suggested Methods refer to analytical procedure numbers used in EPA Report SW-846 “Test Methods for Evaluating Solid Waste”, third edition and updates, as incorporated by reference in section 66260.11. Analytical details can be found in SW-846 and in documentation on file at the agency. The packed column gas chromatography methods 8010, 8020, 8030, 8040, 8060, 8080, 8090, 8110, 8120, 8140, 8150, 8240, and 8250 were promulgated methods through Update IIB of SW-846 and, as of Update III, the Agency has replaced these methods with “capillary column GC methods”, as the suggested methods.
6Practical Quantitation Limits (PQLs) are the lowest concentrations of analytes in ground waters that can be reliably determined within specified limits of precision and accuracy by the indicated methods under routine laboratory operating conditions. The PQLs listed are generally stated to one significant figure. CAUTION: The PQL values in many cases are based only on a general estimate for the method and not on a determination for individual compounds; PQLs are not a part of the regulation.
7Polychlorinated biphenyls (CAS RN 1336-36-3); this category contains congener chemicals, including constituents of Aroclor-1016 (CAS RN 12674-11-2); Aroclor-1221 (CAS RN 11104-28-2), Aroclor-1232 (CAS RN 11141-16-5), Aroclor-1242 (CAS RN 53469-21-9), Aroclor-1248 (CAS RN 12672-29-6), Aroclor-1254 (CAS RN 11097-69-1), and Aroclor-1260 (CAS RN 11096-82-5). The PQL shown is an average value for PCB congeners.
8This category contains congener chemicals, including tetrachlorodibenzo-p-dioxins (see also 2,3,7,8-TCDD), pentachlorodibenzo-p-dioxins, and hexachlorodibenzo-p-dioxins. The PQL shown is an average value for PCDD congeners.

	9This category contains congener chemicals, including tetrachlorodibenzofurans, pentachlorodibenzofurans, and hexachlorodi-benzonfurans. The PQL shown is an average value for PCDF congeners.
	
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Part 264, Appendix IX.
HISTORY

1. Amendment of footnote 5 and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
Article 27. Air Emission Standards for Process Vents
§66264.1030. Applicability.
Note     •     History

(a) The regulations in this article apply to owners and operators of facilities that treat, store, or dispose of RCRA hazardous wastes (except as provided in Section 66264.1).
(b) Except for section 66264.1034, subsections (d) and (e), this article applies to process vents associated with distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operations that manage RCRA hazardous wastes with organic concentrations of at least 10 ppmw, if these operations are conducted in one of the following:
(1) a unit that is subject to the permitting requirements of chapter 20, or
(2) a unit (including a hazardous waste recycling unit) that is not exempt from permitting under the provisions of section 66262.34(a) (i.e., a hazardous waste recycling unit that is not a 90-day tank or container) and that is located at a hazardous waste management facility otherwise subject to the permitting requirements of chapter 20, or
(3) A unit that is exempt from permitting under the provisions of section 66262.34(a) (i.e., a “90-day” tank or container) and is not a recycling unit under the provisions of section 66261.6.
(c) If the owner and operator of a facility subject to this article received a final permit under RCRA section 3005 prior to December 6, 1996, the requirements of this article shall be incorporated into the permit when the permit is reissued in accordance with the requirements of 40 CFR 124.15 or reviewed in accordance with the requirements of section 66270.50(d). Until such date when the owner and operator receives a final permit incorporating the requirements of this article, the owner and operator is subject to the requirements of article 27.
(d) The requirements of this article do not apply to the process vents at a facility where the facility owner or operator certifies that all of the process vents that would otherwise be subject to this article are equipped with and operating air emission controls in accordance with the process vent requirements of an applicable Clean Air Act regulation codified under 40 CFR part 60, part 61, or part 63. The documentation of compliance under regulations at 40 CFR part 60, part 61, or part 63 shall be kept with, or made readily available with, the facility operating record.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 264.1030.
HISTORY

1. New article 27 (sections 66264.1030-66264.1036) filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect repealing former subsections (b)-(c) and adding new subsections (b)-(d) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
3. Change without regulatory effect repealing first subsections (b)-(b)(2) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66264.1032. Standards: Process Vents.
Note     •     History

(a) The owner or operator of a facility with process vents associated with distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operations managing hazardous wastes organic concentrations of at least 10 ppmw shall either:
(1) reduce total organic emissions from all affected process vents at the facility below 1.4 kg/h (3 lb/h) and 2.8 Mg/yr (3.1 tons/yr); or
(2) reduce, by use of a control device, total organic emissions from all affected process vents at the facility by 95 weight percent.
(b) If the owner or operator installs a closed-vent system and control device to comply with the provisions of subsection (a) of this section the closed-vent system and control device shall meet the requirements of Section 66264.1033.
(c) Determinations of vent emissions and emission reduction or total organic compound concentrations achieved by add-on control devices shall be based on engineering calculations or performance tests. If performance tests are used to determine vent emissions, emission reductions, or total organic compound concentrations achieved by add-on control devices, the performance tests shall conform with the requirements of Section 66264.1034(c).
(d) When an owner or operator and the Department do not agree on determinations of vent emissions and/or emission reductions or total organic compound concentrations achieved by add-on control devices based on engineering calculations, the procedures in Section 66264.1034(c) shall be used to resolve the disagreement.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR section 264.1032.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66264.1033. Standards: Closed-Vent Systems and Control Devices.
Note     •     History

(a)(1) Owners or operators of closed-vent systems and  control devices used to comply with provisions of this chapter shall comply with the provisions of this section.
(2)(A) The owner or operator of an existing facility who cannot install a closed-vent system and control device to comply with the provisions of this article on the effective date that the facility becomes subject to the provisions of this article must prepare an implementation schedule that includes dates by which the closed-vent system and control device will be installed and in operation. The controls must be installed as soon as possible, but the implementation schedule may allow up to 30 months after the effective date that the facility becomes subject to this article for installation and startup.
(B) Any unit that begins operation after December 21, 1990, and is subject to the provisions of this article when operation begins, shall comply with the rules immediately (i.e., shall have control devices installed and operating on startup of the affected unit); the 30-month implementation schedule does not apply.
(C) The owner or operator of any facility in existence on the effective date of a statutory or Department regulatory amendment that renders the facility subject to this article shall comply with all requirements of this article as soon as practicable but no later than 30 months after the amendment's effective date. When control equipment required by this article cannot be installed and begin operation by the effective date of the amendment, the facility owner or operator shall prepare an implementation schedule that includes the following information: Specific calendar dates for award of contracts or issuance of purchase orders for the control equipment, initiation of on-site installation of the control equipment, completion of the control equipment installation, and performance of any testing to demonstrate that the installed equipment meets the applicable standards of this article. The owner or operator shall enter the implementation schedule in the operating record or in a permanent, readily available file located at the facility.
(D) Owners and operators of facilities and units that become newly subject to the requirements of this article after December 8, 1997, due to an action other than those described in article (a)(2)(C) of this section must comply with all applicable requirements immediately (i.e., must have control devices installed and operating on the date the facility or unit becomes subject to this article; the 30-month implementation schedule does not apply).
(b) A control device involving vapor recovery (e.g., a condenser or absorber) shall be  designed and operated to recover the organic vapors vented to it with an efficiency of 95 weight percent or greater unless the total organic emission limits of Section 66264.1032(a)(1) for all affected process vents can be attained at an efficiency less than 95 weight percent.
(c) An enclosed combustion device (e.g., a vapor incinerator, boiler, or process heater) shall be designed and operated to reduce the organic emissions vented by it by 95 weight percent or greater; to achieve a total organic compound concentration of 20 ppmv, expressed as the sum of the actual compounds, not carbon equivalents, on a dry basis corrected to 3 percent oxygen; or to provide a minimum residence time of 0.50 seconds at a minimum temperature of 760 degrees C. If a boiler or process heater is used as the control device, then the vent stream shall be introduced into the flame zone of the boiler or process heater.
(d)(1) A flare shall be designed for and operated with no visible emissions as determined by the methods specified in subsection (e)(1) of this section, except for periods not to exceed a total of five minutes during any two consecutive hours.
(2) A flare shall be operated with a flame present at all times, as determined by the methods specified in subsection (f)(2)(C) of this section.
(3) A flare shall be used only if the net heating value of the gas being combusted is 11.2 MJ/scm (300 Btu/scf) or greater if the flare is steam-assisted or air-assisted; or if the net heating value of the gas being combusted is 7.45 MJ/scm (200 Btu/scf) or greater if the flare is non-assisted. The net heating value of the gas being combusted shall be determined by the methods specified in subsection (e)(2) of this section.
(4)(A) A steam-assisted or non-assisted flare shall be designed for and operated with an exit velocity, as determined by the methods specified in subsection (e)(3) of this section, less than 18.3 m/s (60 ft/s), except as provided in subsections (B) and (C) of this section.
(B) A steam-assisted or non-assisted flare designed for and operated with an exit velocity, as determined by the method specified in subsection (e)(3) of this section, equal to or greater than 18.3 m/s (60 ft/s) but less than 122 m/s (400 ft/s) is allowed if the net heating value of the gas being combusted is greater than 37.3 MJ/scm (1,000 Btu/scf).
(C) A steam-assisted or non-assisted flare designed for and operated with an exit velocity, as determined by the methods specified in subsection (e)(3) of this section, less than the velocity, Vmax as determined by the method specified in subsection (e)(4) of this section and less than 122 m/s (400 ft/s) is allowed.
(5) An air-assisted flare shall be designed and operated with an exit velocity less than the velocity, Vmax, as determined by the method specific in subsection (e)(5) of this section.
(6) A flare used to comply with this section shall be steam-assisted, air-assisted, or non-assisted.
(e)(1) Reference Method 22 in 40 CFR, Part 60, incorporated by reference in Section 66260.11 of this chapter, shall be used to determine the compliance of a flare with the visible emission provisions of this article. The observation period is two hours and shall be used according to Method 22.
(2) The net heating value of the gas being combusted in a flare shall be calculated using the following equation:
n
Ht  =K[ S Ci Hi  ]
i=1

where:

Ht =	Net heating value of the sample, MJ/scm; where the net enthalpy per mole of off gas is based on combustion at 25 degrees C and 760 mm Hg, but the standard temperature for determining the volume corresponding to 1 mol is 20 degress C;

K = 	Constant, 1.74 x 10 -7 (1/ppm) (g mol/scm) (MJ/kcal) where standard temperature for (g mol/scm) is 20 degrees C;

Ci = 	Concentration of sample component i in ppm on a wet basis, as measured for organics by Reference Method 18 in 40 CFR, Part 60 and measured for hydrogen and carbon monoxide by ASTM D 1946-82 (incorporated by reference as specified in Section 66260.11); and

Hi = 	Net heat combustion of sample component i, kcal/g mol at 25 degrees C and 760 mm Hg. The heats of combustion may be determined using ASTM D 2382-83 (incorporated by reference as specified in Section 66260.11) if published values are not available or cannot be calculated.
(3) The actual exit velocity of a flare shall be determined by dividing the volumetric flow rate (in units of standard temperature and pressure), as determined by Reference Methods 2, 2A, 2C, or 2D in 40 CFR, Part 60 as appropriate, by the unobstructed (free) cross-sectional area of the flare tip.
(4) The maximum allowed velocity in m/s, Vmax, for a flare complying with subsection (d)(4)(C) of this section shall be determined by the following equation:
Log10 (Vmax ) = (HT +28.8)/31.7

where:

28.8 = 	Constant,

31.7 = 	Constant,

HT = 	The net heating value as determined in subsection (e)(2) of this section.
(5) The maximum allowed velocity in m/s, V MAX, for an air-assisted flare shall be determined by the following equation:

Vmax = 8.706 + 0.7084 (HT)

where:

8.076 = 	Constant,

0.7084 = 	Constant,

HT = 	The net heating value as determined in subsection (e)(2) of this section.
(f) The owner or operator shall monitor and inspect each control device required to comply with this section to ensure proper operation and maintenance of the control device by implementing the following requirements:
(1) install, calibrate, maintain, and operate according to the manufacturer's specifications a flow indicator that provides a record of vent stream flow from each affected process vent to the control device at least once every hour. The flow indicator sensor shall be installed in the vent stream at the nearest feasible point to the control device inlet but before the point at which the vent streams are combined; and
(2) install, calibrate, maintain, and operate according to the manufacturer's specifications a device to continuously monitor control device operation as specified below:
(A) for a thermal vapor incinerator, a temperature monitoring device equipped with a continuous recorder. The device shall have an accuracy of +/- 1 percent of the temperature being monitored in degrees C or +/- 0.5 degrees C, whichever is greater. The temperature sensor shall be installed at a location in the combustion chamber downstream of the combustion zone;
(B) for a catalytic vapor incinerator, a temperature monitoring device equipped with a continuous recorder. The device shall be capable of monitoring temperature at two locations and have an accuracy of +/- 1 percent of the temperature being monitored in degrees C or +/- 0.5 degrees C, whichever is greater. One temperature sensor shall be installed in the vent stream at the nearest feasible point to the catalyst bed inlet and a second temperature sensor shall be installed in the vent stream at the nearest feasible point to the catalyst bed outlet;
(C) for a flare, a heat sensing monitoring device equipped with a continuous recorder that indicates the continuous ignition of the pilot flame;
(D) for a boiler or process heater having a design heat input capacity less than 44 MW, a temperature monitoring device equipped with a continuous recorder. The device shall have an accuracy of +/- 1 percent of the temperature being monitored in degrees C or +/- 0.5 degrees C, whichever is greater. The temperature sensor shall be installed at a location in the furnace downstream of the combustion zone; 
(E)  for a boiler or process heater having a design heat input capacity greater than or equal to 44 MW, a monitoring device equipped with a continuous recorder to measure a parameter(s) that indicates good combustion operating practices are being used; and
(F) for a condenser, either:
1. a monitoring device equipped with a continuous recorder to measure the concentration level of the organic compounds in the exhaust vent system from the condenser; or
2. a temperature monitoring device equipped with a continuous recorder. The device shall be capable of monitoring temperature with an accuracy of +1 percent of the temperature being monitored in degrees Celsius (oC) or +0.5oC, whichever is greater. The temperature sensor shall be installed at a location in the exhaust vent stream from the condenser exit (i.e., product side);
(G) for a carbon adsorption system that regenerates the carbon bed directly in the control device such as a fixed-bed carbon adsorber, either:
1. a monitoring device equipped with a continuous recorder to measure the concentration level of the organic compounds in the exhaust vent system from the carbon bed; or
2. a monitoring device equipped with a continuous recorder to measure a parameter that indicates the carbon bed is regenerated on a regular, predetermined time cycle; and
(3) inspect the readings from each monitoring device required by subsection (f)(1) and (2) of this section at least once each operating day to check control device operation and, if necessary, immediately implement the corrective measures necessary to ensure the control device operates in compliance with the requirements of this section.
(g) An owner or operator using a carbon adsorption system such as a fixed-bed carbon adsorber that regenerates the carbon bed directly on-site in the control device shall replace the existing carbon in the control device with fresh carbon at a regular, pre-determined time interval that is no longer than the carbon service life established as a requirement of Section 66264.1035(b)(4)(C)6.
(h) An owner or operator using a carbon adsorption system such as a carbon canister that does not regenerate the carbon bed directly on-site in the control device shall replace the existing carbon in the control device with fresh carbon on a regular basis by using one of the following procedures:
(1) monitor the concentration level of the organic compounds in the exhaust vent stream from the carbon adsorption system on a regular schedule, and replace the existing carbon with fresh carbon immediately when carbon breakthrough is indicated. The monitoring frequency shall be daily or at an interval no greater than 20 percent of the time required to consume the total carbon working capacity established as a requirement of Section 66264.1035(b)(4)(C)7, whichever is longer; or
(2) replace the existing carbon with fresh carbon at a regular, predetermined time interval that is less than the design carbon replacement interval established as a requirement of Section 66264.1035(b)(4)(C)7.
(i) An alternative operational or process parameter may be monitored if it can be demonstrated that another parameter will ensure that the control device is operated in conformance with these standards and the control device's design specifications.
(j) An owner or operator of an affected facility seeking to comply with the provisions of this chapter by using a control device other than a thermal vapor incinerator, catalytic vapor incinerator, flare, boiler, process heater, condenser, or carbon adsorption system is required to develop documentation including sufficient information to describe the control device operation and identify the process parameter or parameters that indicate proper operation and maintenance of the control device.
(k) A closed-vent system shall meet either of the following design requirements:
(1) a closed-vent system shall be designed to operate with no detectable emissions, as indicated by an instrument reading of less than 500 ppmv above background as determined by the procedure in section 66264.1034(b) and by visual inspections; or
(2) a closed-vent system shall be designed to operate at a pressure below atmospheric pressure. The system shall be equipped with at least one pressure gauge or other pressure measurement device that can be read from a readily accessible location to verify that negative pressure is being maintained in the closed-vent system when the control device is operating.
(l) The owner or operator shall monitor and inspect each closed-vent system required to comply with this section to ensure proper operation and maintenance of the closed-vent system by implementing the following requirements:
(1) each closed-vent system that is used to comply with subsection (k)(1) of this section shall be inspected and monitored in accordance with the following requirements:
(A) an initial leak detection monitoring of the closed-vent system shall be conducted by the owner or operator on or before the date that the system becomes subject to this section. The owner or operator shall monitor the closed-vent system components and connections using the procedures specified in section 66264.1034(b) of this article to demonstrate that the closed-vent system operates with no detectable emissions, as indicated by an instrument reading of less than 500 ppmv above background.
(B) after the initial leak detection monitoring required in subsection (l)(1)(A) of this section, the owner or operator shall inspect and monitor the closed-vent system as follows:
1. closed-vent system joints, seams, or other connections that are permanently or semi-permanently sealed (e.g., a welded joint between two sections of hard piping or a bolted and gasketed ducting flange) shall be visually inspected at least once per year to check for defects that could result in air pollutant emissions. The owner or operator shall monitor a component or connection using the procedures specified in section 66264.1034(b) to demonstrate that it operates with no detectable emissions following any time the component is repaired or replaced (e.g., a section of damaged hard piping is replaced with new hard piping) or the connection is unsealed (e.g., a flange is unbolted).
2. closed-vent system components or connections other than those specified in subsection (l)(1)(B)1. of this section shall be monitored annually and at other times as requested by the Department, except as provided for in subsection (o) of this section, using the procedures specified in section 66264.1034(b) to demonstrate that the components or connections operate with no detectable emissions.
(C) in the event that a defect or leak is detected, the owner or operator shall repair the defect or leak in accordance with the requirements of subsection (l)(3) of this section.
(D) the owner or operator shall maintain a record of the inspection and monitoring in accordance with the requirements specified in section 66264.1035.
(2) each closed-vent system that is used to comply with subsection (k)(2) of this section shall be inspected and monitored in accordance with the following requirements:
(A) the closed-vent system shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to, visible cracks, holes, or gaps in ductwork or piping or loose connections.
(B) the owner or operator shall perform an initial inspection of the closed-vent system on or before the date that the system becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year.
(C) in the event that a defect or leak is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (l)(3) of this section.
(D) the owner or operator shall maintain a record of the inspection and monitoring in accordance with the requirements specified in section 66264.1035.
(3) the owner or operator shall repair all detected defects as follows:
(A) detectable emissions, as indicated by visual inspection, or by an instrument reading greater than 500 ppmv above background, shall be controlled as soon as practicable, but not later than 15 calendar days after the emission is detected, except as provided for in subsection (l)(3)(C) of this section.
(B) a first attempt at repair shall be made no later than 5 calendar days after the emission is detected.
(C) delay of repair of a closed-vent system for which leaks have been detected is allowed if the repair is technically infeasible without a process unit shutdown, or if the owner or operator determines that emissions resulting from immediate repair would be greater than the fugitive emissions likely to result from delay of repair. Repair of such equipment shall be completed by the end of the next process unit shutdown.
(D) the owner or operator shall maintain a record of the defect repair in accordance with the requirements specified in section 66264.1035.
(m) Closed-vent systems and control devices used to comply with provisions of this article shall be operated at all times when emissions may be vented to them.
(n) The owner or operator using a carbon adsorption system to control air pollutant emissions shall document that all carbon that is a hazardous waste and that is removed from the control device is managed in one of the following manners, regardless of the average volatile organic concentration of the carbon:
(1) regenerated or reactivated in a thermal treatment unit that meets one of the following:
(A) the owner or operator of the unit has been issued a final permit under chapter 20 which implements the requirements of article 16; or
(B) the unit is equipped with and operating air emission controls in accordance with the applicable requirements of articles 27 and 28.5 of either this chapter or chapter 15; or
(C) the unit is equipped with and operating air emission controls in accordance with a national emission standard for hazardous air pollutants under 40 CFR part 61 or 40 CFR part 63.
(2) incinerated in a hazardous waste incinerator for which the owner or operator either:
(A) has been issued a final permit under chapter 20 which implements the requirements of chapter 14, article 15; or
(B) has designed and operates the incinerator in accordance with the interim status requirements of chapter 15, article 15.
(3) burned in a boiler or industrial furnace for which the owner or operator either:
(A) has been issued a final permit under chapter 20 which implements the requirements of chapter 16, article 8; or
(B) has designed and operates the boiler or industrial furnace in accordance with the interim status requirements of chapter 16, article 8.
(o) Any components of a closed-vent system that are designated, as described in section 66264.1035(c)(9), as unsafe to monitor are exempt from the requirements of subsection (l)(1)(B)2. of this section if:
(1) the owner or operator of the closed-vent system determines that the components of the closed-vent system are unsafe to monitor because monitoring personnel would be exposed to an immediate danger as a consequence of complying with subsection (l)(1)(B)2. of this section; and
(2) the owner or operator of the closed-vent system adheres to a written plan that requires monitoring the closed-vent system components using the procedure specified in subsection (l)(1)(B)2. of this section as frequently as practicable during safe-to-monitor times.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 264.1033.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsections (c), (e)(2) and (k)(4) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
3. Change without regulatory effect amending section and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1034. Test Methods and Procedures.
Note     •     History

(a) Each owner or operator subject to the provisions of this article shall comply with the test methods, procedures and requirements provided in this section.
(b) When a closed-vent system is tested for compliance with no detectable emissions, as required in Section 66264.1033(l), the test shall comply with the following requirements:
(1) monitoring shall comply with Reference Method 21 in 40 CFR, part 60;
(2) the detection instrument shall meet the performance criteria of Reference Method 21 in 40 CFR, part 60;
(3) the instrument shall be calibrated before use on each day of its use by the procedures specified in Reference Method 21 in 40 CFR, part 60; and
(4) calibration gases shall be:
(A) zero air (less than 10 ppm of hydrocarbon in air); and
(B) a mixture of methane or n-hexane and air at a concentration of approximately, but less than, 10,000 ppm methane or n-hexane; and
(5)  the background level shall be determined as set forth in Reference Method 21 in 40 CFR, part 60;
(6) the instrument probe shall be traversed around all potential leak interfaces as close to the interface as possible as described in Reference Method 21 in 40 CFR, part 60; and
(7) the arithmetic difference between the maximum concentration indicated by the instrument and the background level is compared with 500 ppm for determining compliance.
(c) Performance tests to determine compliance with Section 66264.1032(a) and with the total organic compound concentration limit of Section 66264.1033(c) shall comply with the following:
(1) performance tests to determine total organic compound concentrations and mass flow rates entering and exiting control devices shall be conducted and data reduced in accordance with the following reference methods and calculation procedures:
(A) method 2 in 40 CFR, Part 60 for velocity and volumetric flow rate;
(B) method 18 in 40 CFR, Part 60 for organic content;
(C) each performance test shall consist of three separate runs; each run conducted for at least one hour under the conditions that exist when the hazardous waste management unit is operating at the highest load or capacity level reasonably expected to occur. For the purpose of determining total organic compound concentrations and mass flow rates, the average of results of all runs shall apply. The average shall be computed on a time-weighted basis;
(D) total organic mass flow rates shall be determined by the following equation:
n

Eh = Qsd { S Ci MWi } [0.0416] [10-6 ]
i=1
where:

Eh = 	Total organic mass flow rate, kg/h;

Qsd = 	Volumetric flow rate of gases entering or exiting control device, as determined by Method 2, dry standard m3 /h;

n = 	Number of organic compounds in the vent gas;

Ci = 	Organic concentration in ppm, dry basis, of compound i in the vent gas, as determined by Method 18;

MWi = 	Molecular weight of organic compound i in the vent gas,
kg/kg-mol;

0.0416= 	Conversion factor for molar volume, kg-mol/m3 (at 293 K and 760 mm Hg);

10-6 = 	Conversion from ppm, ppm-1 .
(E) the annual total organic emission rate shall be determined by the following equation:
EA = (Eh) (H)
where:

EA = 	Total organic mass emission rate, kg/y;

Eh = 	Total organic mass flow rate for the process vent, kg/h;

H = 	Total annual hours of operations for the affected unit, h.
(F) total organic emissions from all affected process vents at the facility shall be determined by summing the hourly total organic mass emission rates (Eh as determined in subsection (c)(1)(D) of this section) and by summing the annual total organic mass emission rates (EA, as determined in subsection (c)(1)(E) of this section) for all affected process vents at the facility. 
(2) The owner or operator shall record such process information as may be necessary to determine the conditions of the performance tests. Operators during periods of start-up, shutdown, and malfunction shall not constitute representative conditions for the purpose of a performance test.
(3) The owner or operator of an affected facility shall provide, or cause to be provided, performance testing facilities as follows:
(A) sampling ports adequate for the test methods specified in subsection (c)(1) of this section;
(B) safe sampling plateform(s);
(C) safe access to sampling plateform(s); and
(D) utilities for sampling and testing equipment.
(4) For the purpose of making compliance determinations, the time-weighted average of the results of the three runs shall apply. In the event that a sample is accidentally lost or conditions occur in which one of the three runs must be discontinued because of forced shutdown, failure of an irreplaceable portion of the sample train, extreme meteorological conditions, or other circumstances beyond the owner's or operator's control, compliance may, upon the Department's written approval, be determined using the average of the results of the two other runs.
(d) To show that a process vent associated with a hazardous waste distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operation is not subject to the requirements of this article, the owner or operator shall make an initial determination that the time-weighted,  annual average total organic concentration of the waste managed by the waste management unit is less than 10 ppmw using one of the following two methods:
(1) direct measurement of the organic concentration of the waste using the following procedures:
(A) the owner or operator shall take a minimum of four grab samples of waste for each waste stream managed in the affected unit under process conditions expected to cause the maximum waste organic concentration;
(B) for waste generated on-site, the grab samples shall be collected at a point before the waste is exposed to the atmosphere such as in an enclosed pipe or other closed system that is used to transfer the waste after generation to the first affected distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operation. For  waste generated off-site, the grab samples shall be collected at the inlet to the first waste management unit that receives the waste provided the waste has been transferred to the facility in a closed system such as a truck and the waste is not diluted or mixed with other waste;
(C) each sample shall be analyzed and the total organic concentration of the sample shall be computed using Method 9060 or 8260 of SW-846 third edition and updates, as incorporated by reference under Section 66260.11;
(D) the arithmetic mean of the results of the analyses of the four samples shall apply for each waste stream managed in the unit in determining the time-weighted, annual average total organic concentration of the waste. The time-weighted average shall be calculated using the annual quantity of each waste stream processed and the mean organic concentration of each waste stream managed in the unit;
(2) Using knowledge of the waste to determine that its total organic concentration is less than 10 ppmw. Documentation of the waste determination is required. Examples of documentation that shall be used to support a determination under this provision include production process information documenting that no organic compounds are used, information that the waste is generated by a process that is identical to a process at the same or another facility that has previously been demonstrated by direct measurement to generate a waste stream having a total organic content less than 10 ppmw, or prior specification analysis results on the same waste stream where it can also be documented that no process changes have occurred since that analysis that could affect  the waste total organic concentration.
(e) The determination that distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operations manage hazardous wastes with time-weighted, annual average total organic concentrations less than 10 ppmw shall be made as follows:
(1) by the effective date that the facility becomes subject to the provisions of this article or by the date when the waste is first managed in a waste management unit, whichever is later; and
(A) for continuously generated waste, annually, or
(B) whenever there is a change in the waste being managed or a change in the process that generates or treats the waste.
(f) When an owner or operator and the Department do not agree on whether a distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operation manage a hazardous waste with organic concentrations of at least 10 ppmw based on knowledge of the waste, the procedures in Method 8260 of SW-846 third edition and updates, (as incorporated by reference in Section 66260.11 of this division), shall be used to resolve the dispute.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.1034.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (c)(1)(E)  filed 4-19-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 17).
3. Change without regulatory effect amending subsection (d)(2) filed 12-28-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 53).
4. Editorial correction of subsection (b) (Register 93, No. 53).
5. Editorial correction of subsections (d)(1)(B) and (d)(2) (Register 95, No. 50).
6. Change without regulatory effect amending subsection (c)(1)(D) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
7. Change without regulatory effect amending subsection (b)(4)(B) filed 3-28-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
8. Amendment of subsections (d)(1)(C) and (f) and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
9. Change without regulatory effect amending subsection (b) filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1035. Recordkeeping Requirements.
Note     •     History

(a)(1) Each owner or operator subject to the provisions of this article shall comply with the recordkeeping requirements of this section.
(2) An owner or operator of more than one hazardous waste management unit subject to the provisions of this article may comply with the recordkeeping requirements for these hazardous waste management units in one recordkeeping system if the system identifies each record by each hazardous waste management unit.
(b) Owners and operators shall record or include the following information in the facility operating record:
(1) for facilities that comply with the provisions of Section 66264.1033(a)(2), an implementation schedule that includes dates by which the closed-vent system and control device will be installed and in operation. The schedule shall also include a rationale of why the installation cannot be completed at an earlier date. The implementation schedule shall be in the facility operating record by the effective date that the facility becomes subject to the provisions of this article;
(2) up-to-date documentation of compliance with the process vent standards in Section 66264.1032, including:
(A) information and data identifying all affected process vents, annual throughout and operating hours of each affected unit, estimated emission rates for each affected vent and for the overall facility (i.e., the total emissions for all affected vents at the facility), and the approximate location within the facility of each affected unit (e.g., identify the hazardous waste management units on a facility plot plan); and
(B) information and data supporting determinations of vent emissions and emission reductions achieved by add-on control devices based on engineering calculations or source tests. For the purpose of determining compliance, determinations of vent emissions and emission reductions shall be made using operating parameter values (e.g., temperatures, flow rates, or vent stream organic compounds and concentrations) that represent the conditions that result in maximum organic emissions, such as when the waste management unit is operating at the highest load or capacity level reasonably expected to occur. If the owner or operator takes any action (e.g., managing a waste of different composition or increasing operating hours of affected waste management units) that would result in an increase in total organic emissions from affected process vents at the facility, then a new determination is  required.
(3) Where an owner or operator chooses to use test data to determine the organic removal efficiency or total organic compound concentration achieved by the control device, a performance test plan. The test plan shall include:
(A) a description of how it is determined that the planned test is going to be conducted when the hazardous waste management unit is operating at the highest load or capacity level reasonably expected to occur. This shall include the  estimated or design flow rate and organic content of each vent stream and  define the acceptable operating range of key process and control device parameters during the test program;
(B) a detailed engineering description of the closed-vent system and control device including:
1. manufacturer's name and model number of control device;
2. type of control device;
3. dimensions of the control device;
4. capacity; and
5. construction materials; and
(C) a detailed description of sampling and monitoring procedures including sampling and monitoring locations in the system, the equipment to be used, sampling and monitoring frequency, and planned analytical procedures for sample analysis.
(4) Documentation of compliance with Section 66264.1033, documentation shall include the following information:
(A) a list of all information references and sources used in preparing the documentation; and
(B) records, including the dates, of each compliance test required by Section 66264.1033(k);
(C) If engineering calculations are used, a design analysis, specifications, drawings, schematics, and piping and instrumentation diagrams based on the appropriate sections of “APTI Course 415: Control of Gaseous Emissions” (incorporated by reference as specified in Section 66260.11) or other engineering texts acceptable to the Department that present basic control device design information. Documentation provided by the control device manufacturer or vendor that describes the control device design in accordance with subsection (b)(4)(C)1 through (b)(4)(C)7 of this section shall be required to be submitted to the Department to comply with this requirement. The design analysis shall address the vent system characteristics and control device operation parameters as specified below.
1. For a thermal vapor incinerator, the design analysis shall consider the vent stream composition, constituent concentrations, and flow rate. The design analysis shall also establish the design minimum and average temperature in the combustion zone and the combustion zone residence time.
2. For a catalytic vapor incinerator, the design analysis shall consider the vent stream composition, constituent concentrations, and flow rate. The design analysis shall also establish the design minimum and average temperatures across the catalyst bed inlet and outlet.
3. For a boiler or process heater, the design analysis shall consider the vent stream composition, constituent concentrations, and flow rate. The design analysis shall also establish the design minimum and average flame zone temperatures, combustion zone residence time, and description of method and location where the vent stream is introduced into the combustion zone.
4. For a flare, the design analysis shall consider the vent stream composition, constituent concentrations, and flow rate. The design analysis shall also consider the requirements specified in Section 66264.1033(d).
5. For a condenser, the design analysis shall consider the vent stream composition, constituent concentrations, flow rate, relative humidity, and temperature. The design analysis shall also establish the design organic compound concentration level, design average temperature of the condenser exhaust vent system, and design average temperatures of the coolant fluid at the condenser inlet and outlet.
6. For a carbon adsorption system such as a fixed-bed adsorber that regenerates the carbon bed directly on-site in the control device, the design analysis shall consider the vent stream composition, constituent concentrations, flow rate, relative humidity, and temperature. The design analysis shall also establish the design exhaust vent stream organic compound concentration level, number, and capacity of carbon beds, type and working capacity of activated carbon used for carbon beds, design total steam flow over the period of each complete carbon bed regeneration cycle, duration of the carbon bed steaming and cooling/drying cycles, design carbon bed temperature after  regeneration, design carbon bed regeneration time, and design service life of carbon.
7. For a carbon adsorption system such as a carbon canister that does not regenerate the carbon bed directly on-site in the control device, the design analysis shall consider the vent stream composition, constituent concentrations, flow rate, relative humidity, and temperature. The design analysis shall also establish the design outlet organic concentration level, capacity of carbon bed, type and working capacity of activated carbon used  for carbon bed, and design carbon replacement interval based on the total carbon working capacity of the control device and source operating schedule.
(D) A statement signed and dated by the owner or operator certifying that the operating parameters used in the design analysis reasonably represent the conditions that exist when the hazardous waste management unit is  or would be operating at the highest load or capacity level reasonably expected to occur.
(E)  A statement signed and dated by the owner or operator certifying that the control device is designed to operate at an efficiency of 95 percent or greater unless the total organic concentration limit of Section 66264.1032(a) is achieved at an efficiency less than 95 weight percent or the total organic emission limits of Section 66264.1032(a) for affected process vents at the facility can be attained by a control device involving vapor recovery at an efficiency less than 95 weight percent. A statement signed and dated by the control device manufacturer or vendor certifying that the control equipment meets the design specifications may be used to comply with this requirement.
(F) If performance tests are used to demonstrate compliance, all test results.
(c) Design documentation and monitoring, operating, and inspection information for each closed-vent system and control device required to comply with the provisions of this chapter shall be recorded and kept up-to-date in the facility operating record. The information shall include:
(1) description and date of each modification that is made to the closed-vent system or control device design;
(2)  identification of operating parameter, description of monitoring device, and diagram of monitoring sensor location or locations used to comply with Section 66264.1033(f)(1) and (f)(2);
(3) monitoring, operating, and inspection information required by subsections (f) through (k) of Section 66264.1033;
(4) date, time, and duration of each period of control device operation, when any monitored parameter exceeds the value established in the control device design analysis as specified below:
(A) for a thermal vapor incinerator designed to operate with a minimum residence time of 0.50 second at a minimum temperature of 760 degrees C, period when the combustion temperature is below 760  degrees C;
(B) for a thermal vapor incinerator designed to operate with an organic emission reduction efficiency of 95 weight percent or greater, period when the combustion zone temperature is more than 28 degrees C below the design average combustion zone temperature established as a requirement of subsection (b)(4)(C)1 of this section;
(C) for a catalytic vapor incinerator, period when:
1.  temperature of the vent stream at the catalyst bed inlet is more than 28 degrees C below the average temperature of the inlet vent stream established as a requirement of subsection (b)(4)(C)2 of this section; or
2. temperature difference across the catalyst bed is less than 80 percent of the design average temperature difference established as a requirement of subsection (b)(4)(C)2 of this section; and
(D) for a boiler or process heater, period when:
1. flame zone temperature is more than 28 degrees C below the design average flame zone temperature established as a requirement of subsection (b)(4)(C)3 of this section; or
2. position changes where the vent stream is introduced to the combustion zone from the location established as a requirement of paragraph (b)(4)(C)3 of this section; and
(E) for a flare, period when the pilot flame is not ignited;
(F) for a condenser that complies with Section 66264.1033(f)(2)(F)1, period when the organic compound concentration level or readings of organic compounds in the exhaust vent stream from the condenser are more than 20 percent greater than the design outlet organic compound concentration level established as a requirement of paragraph (b)(4)(C)5 of this section;
(G) for a condenser that complies with Section 66264.1033(f)(2)(F)2, period when:
1. temperature of the exhaust vent system stream from the condenser is more than 6 degrees C above the design average exhaust vent system stream  temperature established as a requirement of subsection (b)(4)(C)5 of this section; or 
2. temperature of the coolant fluid exiting the condenser is more than 6 degrees C above the design average coolant fluid temperature at the condenser outlet established as a requirement of subsection (b)(4)(C)5 of this section; and
(H) for a carbon adsorption system such as a fixed-bed carbon adsorber that regenerates the carbon bed directly on-site in the control device and complies with Section 66264.1033(f)(2)(G)1, period when the organic compound concentration level or readings of organic compounds in the exhaust vent system from the carbon bed are more than 20 percent greater than the design exhaust vent stream organic compound concentration level established as a  requirement of subsection (b)(4)(C)6 of this section;
(I) for a carbon adsorption system such as a fixed-bed carbon adsorber that regenerates the carbon bed directly on-site in the control device and complies with Section 66264.1033(f)(2)(G)(2), period when the vent stream continues to flow through the control device beyond the pre-determined carbon bed regeneration time established as a requirement of subsection (b)(4)(C)6 of this section;
(5) explanation for each period recorded under subsection (c)(4) of this section the cause for control device operating parameter exceeding the design value and the measure implemented to correct the control device operation;
(6) for a carbon adsorption system operated subject to requirements specified in Section 66264.1033(g) or Section 66264.1033(h)(2), date when existing carbon in the control device is  replaced with fresh carbon;
(7) for a carbon adsorption system operated subject to requirements specified in Section 66264.1033(h)(1), a log that records:
(A) date and time when control device is monitored for carbon breakthrough and the monitoring device reading;
(B) date when existing carbon in the control device is replaced with fresh carbon; and
(8) date of each control device start-up and shutdown.
(9) an owner or operator designating any components of a closed-vent system as unsafe to monitor pursuant to Section 66264.1033(o) shall record in a log that is kept in the facility operating record the identification of closed-vent system components that are designated as unsafe to monitor in accordance with the requirements of Section 66264.1033(o), an explanation for each closed-vent system component stating why the closed-vent system component is unsafe to monitor, and the plan for monitoring each closed-vent system component.
(10) when each leak is detected as specified in Section 66264.1033(l), the following information shall be recorded:
(A) the instrument identification number, the closed-vent system component identification number, and the operator name, initials, or identification number.
(B) the date the leak was detected and the date of first attempt to repair the leak.
(C) the date of successful repair of the leak.
(D) maximum instrument reading measured by Method 21 of 40 CFR part 60, appendix A after it is successfully repaired or determined to be nonrepairable.
(E) “Repair delayed” and the reason for the delay if a leak is not repaired within 15 calendar days after discovery of the leak.
1. the owner or operator may develop a written procedure that identifies the conditions that justify a delay of repair. In such cases, reasons for delay of repair may be documented by citing the relevant sections of the written procedure.
2. if delay of repair was caused by depletion of stocked parts, there must be documentation that the spare parts were sufficiently stocked on-site before depletion and the reason for depletion.
(d) Records of the monitoring, operating, and inspection information required by subsections (c)(3) through (c)(10) of this section shall be maintained by the owner or operator for at least 3 years following the date of each occurrence, measurement, maintenance, corrective action, or record.
(e) For a control device other than a thermal vapor incinerator, catalytic vapor incinerator, flare, boiler, process heater, condenser, or carbon adsorption system, the Department will specify the appropriate recordkeeping requirements.
(f) Up-to-date information and data used to determine whether or not a process vent is subject to the requirements in Section 66264.1032, including supporting documentation as required by Section 66264.1034(d)(2), when application of the knowledge of the nature of the hazardous waste stream or the  process by which it was produced is used, shall be recorded in a log that is kept in the  facility operating record.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 264.1035.25150, 
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (b)(4)(B) filed 12-28-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 53).
3. Change without regulatory effect adding subsections (c)-(9)-(c)(10)(E)2. and amending subsection (d) and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
4. Change without regulatory effect repealing second subsection (d) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66264.1036. Reporting Requirements.
Note     •     History

(a) A semiannual report shall be submitted to the Department by owners and operators subject to the requirements of this article. The report shall be submitted by first week of February and August of each year. The report shall include the following information:
(1) the identification number, name, and address of the facility; and
(2) for each month during the semiannual reporting period:
(A) dates when any control device exceeded or operated outside of the design specifications, as defined in Section 66264.1035(c)(4) and as indicated by the control device monitoring required by Section 66264.1033(f) for more than 24 hours;
(B) dates when any flares operated with visible emissions as defined in Section 66264.1033(d) and as determined by Method 22 monitoring;
(C) the duration and cause of each exceedance or visible emissions; and
(D) any corrective measures taken.
(b) If, during the semiannual reporting period, the control device does not exceed or operate outside of the design specifications as defined in Section 66264.1035(c)(4) for more than 24 hours or a flare does not operate with visible emissions as defined in Section 66264.1033(d), a report to the Department is not required.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR section 264.1036.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
Article 28. Air Emission Standards for Equipment Leaks
§66264.1050. Applicability.
Note     •     History

(a) The regulations in this article apply to owners and operators of facilities that treat, store, or dispose of RCRA hazardous wastes (except as provided in Section 66264.1).
(b) Except as provided in section 264.1064(k), this article applies to equipment that contains or contacts hazardous wastes with organic concentrations of at least 10 percent by weight that are managed in one of the following:
(1) A unit that is subject to the permitting requirements of chapter 20, or
(2) A unit (including a hazardous waste recycling unit) that is not exempt from permitting under the provisions of section 66262.34(a) (i.e., a hazardous waste recycling unit that is not a “90-day” tank or container) and that is located at a hazardous waste management facility otherwise subject to the permitting requirements of chapter 20, or
(3) A unit that is exempt from permitting under the provisions of 66262.34(a) (i.e., a “90-day” tank or container) and is not a recycling unit under the provisions of section 66261.6.
(c) For the owner or operator of a facility subject to this article and who received a final permit under RCRA section 3005 prior to December 6, 1996, the requirements of this article shall be incorporated into the permit when the permit is reissued in accordance with the requirements of 40 CFR 124.15 or reviewed in accordance with the requirements of section 66270.50(d). Until such date when the owner or operator receives a final permit incorporating the requirements of this article, the owner or operator is subject to the requirements of chapter 15 article 28.
(d) Each piece of equipment to which this article applies shall be marked in such a manner that it can be distinguished readily from other pieces of equipment.
(e) Equipment that is in vacuum service is exempt from the requirements of Section 66264.1052 through Section 66264.1060 if it is identified as required in Section 66264.1064(g)(5).
(f) Equipment that contains or contacts hazardous waste with an organic concentration of at least 10 percent by weight for less than 300 hours per calendar year is excluded from the requirements of Sections 66264.1052 through 66264.1060 if it is identified, as required in Section 66264.1064(g)(6).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 264.1050.
HISTORY

1. New article 28 (sections 66264.1050-66264.1065) filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Editorial correction of subsection (b)(2) (Register 95, No. 50).
3. Change without regulatory effect amending section and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1052. Standards: Pumps in Light Liquid Service.
Note     •     History

(a)(1) Each pump in light liquid service shall be monitored monthly to detect leaks by the methods specified in Section 66264.1063(b), except as provided in subsections (d), (e), and (f) of this section.
(2) Each pump in light liquid service shall be checked by visual inspection each calendar week for indications of liquids dripping from the pump seal.
(b)(1) If an instrument reading of 10,000 ppm or greater is measured, a leak is detected.
(2) If there are indications of liquids dripping from the pump seal, a leak is detected.
(c)(1) When a leak is detected, it shall be repaired as soon as practicable, but not later than 15 calendar days after it is detected, except as provided in Section 66264.1059.
(2) A first attempt at repair (e.g., tightening the packing gland) shall be made no later than one day (24 hours) after each  leak is detected.
(d) Each pump equipped with a dual mechanical seal system that includes a barrier fluid system is exempt from the requirements of  subsection (a) of this section, provided the following requirements are met:
(1) each dual mechanical seal system shall be:
(A) operated with the barrier fluid at a pressure that is at all times greater than the pump stuffing box pressure;
(B) equipped with a barrier fluid degassing reservoir that is connected by a closed-vent system to a control device that complies with the requirements of Section 66264.1060; or
(C) equipped with a system that purges the barrier fluid into a  hazardous waste stream with no detectable emissions to the  atmosphere.
(2) The barrier fluid system shall not be a hazardous waste with organic concentrations 10 percent or greater by weight.
(3) Each barrier fluid system shall be equipped with a sensor that will detect failure of the seal system, the barrier fluid system, or both.
(4) Each pump shall be checked by visual inspection, each calendar week, for indications of liquids dripping from the pump seals.
(5)(A) Each sensor as described in subsections (d)(3) of this  section shall be checked daily or be equipped with an audible alarm that shall be checked monthly to ensure that it is functioning properly.
(B) The owner or operator shall determine, based on design considerations and operating experience, a criterion that indicates failure of the seal system, the barrier fluid system, or both.
(6)(A) If there are indications of liquids dripping from the pump seal or the sensor indicates failure of the seal system, the barrier fluid system, or both based on the criterion determined in subsection (d)(5)(B) of this section, a leak is detected.
(B) When a leak is detected, it shall be repaired as soon as practicable, but not later than 15 calendar days after it is detected, except as provided in Section 66264.1059.
(C) A first attempt at repair (e.g., relapping the seal) shall be as soon as possible, to minimize escape of hazardous constituents to the environment, but not later than 24 hours after each leak is  detected.
(e) Any pump that is designated, as described  in Section 66264.1064(g)(2), for no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, is exempt from the requirements of subsections (a), (c), and (d) of this section if the pump meets the following requirements:
(1) the pump shall have no externally actuated shaft that shall penetrate the pump housing;
(2) the pump shall operate with no detectable emissions as indicated by an instrument reading of less than 500 ppm above background as measured by the methods specified in Section 66264.1063(c); and
(3) the pump must be tested for compliance with subsection (e)(2) of this section initially upon designation, annually, and at other times as required by the Department.
(f) If any pump is equipped with a closed-vent system capable of capturing and transporting any leakage from the seal or seals to a control device that complies with the requirements of Section 66264.1060, it is exempt from the requirements of subsections (a) through (e) of this section.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR section 264.1052.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (f) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
§66264.1053. Standards: Compressors.
Note     •     History

(a) Each compressor shall be equipped with a seal system that includes a barrier fluid system and that prevents leakage of total organic emissions to the atmosphere, except as provided in subsections (h) and (i) of this section.
(b) Each  compressor seal system as required in subsection (a) of this section shall be:
(1) operated with the barrier fluid at a pressure that is at all times greater than the compressor stuffing box pressure; or
(2) equipped with a barrier fluid system that is connected by a closed-vent system to a control device that complies with the requirements of Section 66264.1060; or
(3) equipped with a system that purges the barrier fluid into a hazardous waste stream with no  detectable emissions to the atmosphere.
(c) The barrier fluid shall not be a hazardous waste with organic concentrations ten percent or greater by weight.
(d) Each barrier fluid system as described in subsections (a) through (c) of this section shall be  equipped with a sensor that will detect failure of the seal system, barrier fluid system or both.
(e)(1) Each sensor as required in subsection (d) of this section shall be checked daily or shall be equipped with an audible alarm that shall be checked monthly to ensure that it is functioning properly unless the compressor is located within the boundary of an unstaffed plant site, in which case the sensor shall be checked daily.
(2) The owner or operator shall determine, based on design considerations and operating experience, a criterion that indicates failure of the seal system, the barrier fluid system, or both.
(f) If the sensor indicates failure of the seal system, the barrier fluid system, or both based on the criterion determined under subsection (e)(2) of this section, a leak is detected.
(g)(1) When a leak is detected, it shall be repaired as soon as practicable, but not later than 15 calendar days after it is detected, except as provided in Section 66264.1059.
(2) A first attempt at repair (e.g., tightening the packing gland) shall be made as soon as possible, to minimize escape of  hazardous constituents to the environment, but no later than 24 hours after each leak is detected.
(h) A compressor is exempt from the requirements of subsections (a) and (b) of this section if it is equipped with a closed-vent system capable of  capturing and transporting any leakage from the seal to a control device that complies with the requirements of  Section 66264.1060, except as provided in subsection (i) of this section.
(i) Any compressor that is designated, as described in Section 66264.1064(g)(2), for no detectable emissions as indicated by an instrument reading of less than 500 ppm above background, is exempt from the requirements of subsections (a) through (h) of this  section if the compressor:
(1) is determined to be operating with no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, as measured by the method specified in Section 66264.1063(c); and
(2) is tested for compliance with subsection (i)(1) of this section initially upon designation, annually, and at any other time required by the Department upon a determination by the Department that testing for compliance is necessary to protect human health or the environment.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR section 264.1053.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (i)(2) filed 12-28-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 53).
§66264.1054. Standards: Pressure Relief Devices in Gas/Vapor Service.
Note     •     History

(a) Except during pressure releases, each pressure relief device in gas/vapor service shall be operated with no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, as measured by the method specified in Section 66264.1063(c).
(b)(1) After each pressure release, the pressure relief device shall be returned to a condition of no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, as soon as practicable, but no later than 24 hours  after each pressure release, except as provided in Section 66264.1059.
(2) No later than 24 hours after the pressure release, the pressure relief device shall be monitored to confirm the condition of no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, as measured by the method specified in Section 66264.1063(c).
(c) Any pressure relief device that is equipped with a closed-vent system capable of capturing and transporting leakage from the  pressure relief device to a control device as described in Section 66264.1060 is exempt from the requirements of subsections (a) and (b) of this section.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR section 264.1054.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66264.1055. Standards: Sampling Connecting Systems.
Note     •     History

(a) Each sampling connection system shall be equipped with a closed-purge, closed-loop, or closed-vent system. This system shall collect the sample purge for return to the process or for routing to the appropriate treatment system. Gases displaced during filling of the sample container are not required to be collected or captured.
(b) Each closed-purge, closed-loop, or closed-vent system as required in subsection (a) of this section shall meet one of the following requirements:
(1) return the purged process fluid directly to the process line;
(2) collect and recycle the purged process fluid; or
(3) be designed and operated to capture and transport all the purged process fluid to a waste management unit that complies with the applicable requirements of sections 66264.1084 through 66264.1086 or a control device that complies with the requirements of section 66264.1060.
(c) In-situ sampling systems and sampling systems without purges are exempt from the requirements of subsections (a) and (b) of this section.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 264.1055.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect repealing section and adding new section and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1056. Standards: Open-ended Valves or Lines.
Note     •     History

(a)(1)  Each open-ended valve or line shall be equipped with a cap, blind flange, plug, or a second valve.
(2) The cap, blind flange, plug, or second valve shall seal the open end at all times except during operations requiring hazardous waste stream flow through open-ended valve or line.
(b) Each open-ended valve or line equipped with a second valve shall  be operated in a manner such that the valve on the hazardous waste stream end is closed before the second valve is closed. 
(c) When a double block and bleed system is being used, the bleed valve or line may remain open during operations that require venting the line between the block valves but shall comply with subsection (a) of this section at all other times.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR section 264.1056.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66264.1057. Standards: Valves in Gas/Vapor Service or in Light Liquid Service.
Note     •     History

(a) Each valve in gas/vapor or light liquid service shall be monitored monthly to detect leaks by the methods specified in Section 66264.1063(b) and shall comply with subsections (c) and shall comply with (d) and (e) of this section, except as provided in subsections (f), (g), and (h) of this section, and Sections 66264.1061 and 66264.1062.
(b) If an instrument reading of 10,000 ppm or greater is measured, a leak is detected.
(c)(1) Any valve for which a leak is not detected for two successive months shall be monitored the first month of every succeeding quarter, beginning with the next quarter, until a leak is detected.
(2) If a leak is detected, the valve shall be monitored monthly until a leak is not detected for two successive months.
(d)(1) When a leak is detected, it shall be repaired as soon as practicable, but no later than 15 calendar days after the leak is  detected, except as provided in Section 66264.1059.
(2) A first attempt at repair shall be made as soon as possible to minimize escape of hazardous constituents to the environment but no later than 24 hours after each leak is detected.
(e) First attempts at repair include, but are not limited to, the following best practices where practicable:
(1) tightening of bonnet bolts;
(2) replacement of bonnet bolts;
(3) tightening of packing gland nuts; and
(4) injection of lubricant into lubricated packing.
(f) Any valve that is designated, as described in Section 66264.1064(g)(2), for no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, is exempt from the requirements of subsection (a) of this section if the valve:
(1) has no external actuating mechanism in contact with the hazardous waste stream;
(2) is operated with emissions less than 500 ppm above background as determined by the method specified in Section 66264.1063(c); and
(3) is tested for compliance with paragraph (f)(2) of this section initially upon designation, annually, and at other times as required by the Department.
(g) Any valve that is designated, as described in Section 66264.1064(h)(1), as an unsafe-to-monitor valve is exempt from the requirements of subsection (a) of this section if:
(1) the owner or operator of the valve determines (written explanation in the operating record) that the valve is unsafe to monitor because monitoring personnel would be exposed to an immediate danger as a consequence of complying with paragraph (a) of this section; and
(2) the owner or operator of the valve adheres to a written plan that requires monitoring of the valve as frequently as practicable.
(h) Any valve that is designated, as described in Section 66264.1064(h)(2), as a difficult-to-monitor valve is exempt from the requirements of subsection (a) of this section if:
(1) the owner or operator of the valve determines that the valve cannot be monitored without elevating the monitoring personnel more than two meters above a support surface; and
(2) the hazardous waste management unit within which the valve is located was in operation before June 21, 1990, for units that transfer, treat, store, or dispose of RCRA hazardous wastes, unless the owner/operator of the unit is exempt from regulation under 40 CFR, Section 264.1.
(3) the owner or operator of the valve follows a written plan that requires monitoring of the valve at least once per calendar year.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 264.1057.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending section heading filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
§66264.1058. Standards: Pumps and Valves in Heavy Liquid Service, Pressure Relief Devices in Light Liquid or Heavy Liquid Service, and Flanges and Other Connectors.
Note     •     History

(a) Pumps and valves in heavy liquid service, pressure relief devices in light liquid or heavy liquid service, and flanges and other connectors shall be monitored within five days by the method specified in Section 66264.1063(b) if evidence of a potential leak is found by visual, audible, olfactory, or any other detection method.
(b) If an instrument reading of 10,000 ppm or greater is measured, a leak is detected.
(c)(1) When a leak is detected, it shall be repaired as soon as practicable, but not later than 15 calendar days after it is detected, except as provided in Section 66264.1059.
(2) The first attempt at repair shall be made no later than 24 hours after each leak is detected.
(d) First attempts at repair include, but are not limited to, the best practices described under Section 66264.1057(e).
(e) Any connector that is inaccessible or is ceramic or ceramic-lined (e.g., porcelain, glass, or glass-lined) is exempt from the monitoring requirements of subsection (a) of this section and from the recordkeeping requirements of Section 66264.1064.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.1058.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect adding new subsection (e) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1059. Standards: Delay of Repair.
Note     •     History

(a) Delay of repair of equipment for which leaks have been detected will be allowed if the repair is technically infeasible without a hazardous waste management unit shutdown. In such a case, repair of this equipment shall occur before the end of the next hazardous waste management unit shutdown.
(b) Delay of repair of equipment for which leaks have been detected will be allowed for equipment that is isolated from the hazardous waste management unit and that does not continue to contain or contact hazardous waste with organic concentrations at least ten percent by weight.
(c) Delay of repair for valves will be allowed if:
(1) the owner of operator determines that emissions of purged material resulting from immediate repair are greater than the emissions likely to result from delay of repair; and
(2) when repair procedures are effected, the purged material is collected and destroyed or recovered in a control device complying with Section 66264.1060.
(d) Delay of repair for pumps will be allowed if:
(1) repair requires the use of a dual mechanical seal system that includes a barrier fluid system; and
(2) repair is completed as soon as practicable, but not later than six months after the leak was detected.
(e) Delay of repair beyond a hazardous waste management unit shutdown will be allowed for a valve if valve assembly replacement is necessary during the hazardous waste management unit shutdown, valve assembly supplies have been depleted, and valve assembly supplies had been sufficiently stocked before the supplies were depleted. Delay of repair beyond the next hazardous waste management unit shutdown will not be allowed unless the next hazardous waste management unit shutdown occurs sooner than six months after the first hazardous waste management unit shutdown.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 264.1059.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66264.1060. Standards: Closed-Vent Systems and Control Devices.
Note     •     History

(a) The owners or operators of closed-vent systems and control devices shall comply with the provisions of Section 66264.1033.
(b)(1) The owner or operator of an existing facility who cannot install a closed-vent system and control device to comply with the provisions of this article on the effective date that the facility becomes subject to the provisions of this article must prepare an implementation schedule that includes dates by which the closed-vent system and control device will be installed and in operation. The controls must be installed as soon as possible, but the implementation schedule may allow up to 30 months after the effective date that the facility becomes subject to this article for installation and startup.
(2) Any unit that begins operation after December 21, 1990, and is subject to the provisions of this article when operation begins, must comply with the rules immediately (i.e., must have control devices installed and operating on startup of the affected unit); the 30-month implementation schedule does not apply.
(3) The owner or operator of any facility in existence on the effective date of a statutory or Department regulatory amendment that renders the facility subject to this article shall comply with all requirements of this article as soon as practicable but no later than 30 months after the amendment's effective date. When control equipment required by this article can not be installed and begin operation by the effective date of the amendment, the facility owner or operator shall prepare an implementation schedule that includes the following information: Specific calendar dates for award or contracts or issuance of purchase orders for the control equipment, initiation of on-site installation of the control equipment, completion of the control equipment installation, and performance of any testing to demonstrate that the installed equipment meets the applicable standards of this article. The owner or operator shall enter the implementation schedule in the operating record or in a permanent, readily available file located at the facility.
(4) Owners and operators of facilities and units that become newly subject to the requirements of this article after December 8, 1997, due to an action other than those described in subsection (b)(3) of this section must comply with all applicable requirements immediately (i.e., must have control devices installed and operating on the date the facility or unit becomes subject to this article; the 30-month implementation schedule does not apply).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 264.1060.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect designating section as subsection (a), adding subsections (b)-(b)(4) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1061. Alternative Standards for Valves in Gas/Vapor Service or in Light Liquid Service: Percentage of Valves Allowed to Leak.
Note     •     History

(a) An owner or operator subject to the requirements of Section 66264.1057 may elect to have all valves within a hazardous waste management unit comply with an alternative standard that allows no greater than two percent of the valves to leak.
(b) The following requirements shall be met if an owner or operator decides to comply with an alternative standard which allows two percent of the valves to leak:
(1) an owner or operator shall notify the Department that the owner or operator has elected to comply with the requirements of this section;
(2) a performance test as specified in paragraph (c) of this section shall be conducted initially upon designation, annually, and at any other time required by the Department upon a determination by the Department that a performance test is necessary to protect human health or to the environment; and
(3) if a valve leak is detected, it shall be repaired in accordance with Sections 66264.1057(d) and (e).
(c) For the purpose of determining when the alternative standard should be allowed under subsection (a), performance tests shall be conducted in the following manner:
(1) all valves subject to the requirements in Section 66264. 1057 within the hazardous waste management unit shall be monitored within one week period by the methods specified in Section 66264.1063(b);
(2) if an instrument reading of 10,000 ppm or greater is measured, a leak is detected; and
(3) the leak percentage shall be determined by dividing the number of valves subject to the requirements in Section 66264.1057 for which leaks are detected by the total number of valves subject to the requirements in Section 66264.1057 within the hazardous waste management unit.
(d) If an owner or operator decides to no longer comply with this section, the owner or operator shall notify the Department in writing that the work practice standard described in Section 66264.1057(a) through (e) will be followed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 264.1061.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (c) filed 12-28-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 53).
§66264.1062. Alternative Standards for Valves in Gas/Vapor Service or in Light Liquid Service: Skip Period Leak Detection and Repair.
Note     •     History

(a)(1) An owner or operator subject to the requirements of Section 66264.1057 shall elect for all valves within a hazardous waste management unit to comply with one of the alternative work practices specified in subsections (b)(2) and (3) of this section.
(2) An owner or operator shall notify the Department before implementing one of the alternative work practices.
(b)(1) An owner or operator shall comply with the requirements for valves, as described in Section 66264.1057, except as described in subsections (b)(2) and (b)(3) of this section.
(2) After two consecutive quarterly leak detection periods with the percentage of valves leaking equal to or less than two percent, an owner or operator may begin to skip one of the quarterly leak detection periods (i.e., monitor for leaks once every six months) for the valves subject to the requirements in Section 66264.1057.
(3) After five consecutive quarterly leak detection periods with the percentage of valves leaking equal to or less than two percent, an owner or operator may begin to skip three of the quarterly leak detection periods (i.e., monitor for leaks once every year) for the valves subject to the requirements in Section 66264.1057.
(4) If the percentage of valves leaking is greater than two percent, the owner or operator shall monitor monthly in compliance with the requirements in Section 66264.1057, but may again elect to use this section after meeting the requirements of Section 66264.1057(c)(1).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 264.1062.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsections (b)(2)-(3) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1063. Test Methods and Procedures.
Note     •     History

(a) Each owner or operator subject to the provisions of this article shall comply with the test methods and procedures requirements provided in this section.
(b) Leak detection monitoring, as required in Sections 66264.1052 through 66264.1062, shall comply with the following requirements:
(1) monitoring shall comply with Reference Method 21 in 40 CFR, part 60;
(2) the detection instrument shall meet the performance criteria of Reference Method 21 in CFR, part 60.
(3) the instrument shall be calibrated before use on each day of its use by the procedures specified in Reference Method 21 in 40 CFR, part 60;
(4) Calibration gases shall be:
(A) zero air (less than 10 ppm of hydrocarbon in air); and
(B) a mixture of methane or n-hexane and air at a concentration of approximately, but less than, 10,000 ppm methane or n-hexane;
(5) the instrument probe shall be traversed around all potential leak interfaces as close to the interface as possible as described in Reference Method 21 in 40 CFR, part 60.
(c) When equipment is tested for compliance with no detectable emissions, as required in Sections 66264.1052(e), 66264.1053(i), 66264.1054, and 66264.1057(f), the test shall comply with the following requirements:
(1) the requirements of subsections (b)(1) through (4) of this section shall apply;
(2) the background level shall be determined as set forth in Reference Method 21 in CFR, part 60;
(3) the instrument probe shall be traversed around all potential leak interfaces as close to the interface as possible as described in Reference Method 21 in 40 CFR, part 60; and
(4) the arithmetic difference between the maximum concentration indicated by the instrument and the background level shall be compared with 500 ppm for determining compliance.
(d) In accordance with the waste analysis plan required by Section 66264.13(b), an owner or operator of a facility shall determine, for each piece of equipment, whether the equipment contains or contacts a hazardous waste with organic concentration that equals or exceeds ten percent by weight using the following:
(1) methods described in ASTM Methods D 2267-88, E 169-87, E 168-88, E 260-85 (incorporated by reference under Section 66260.11);
(2) method 9060 or 8260 of SW-846, third edition and updates, (as incorporated by reference under Section 66260.11); or
(3) application of the knowledge of the nature of the hazardous waste stream or the process by which it was produced. Documentation of a waste determination by knowledge is required. Examples of documentation that shall be used to support a determination under this provision include production process information documenting that no organic compounds are used, information that the waste is generated by a process that is identical to a process at the same or another facility that has previously been demonstrated by direct measurement to have a total organic content less than ten percent, or prior speciation analysis results on the same waste stream where it can also be documented that no process changes have occurred since that analysis that could affect the total organic concentration of the waste.
(e) If an owner or operator determines that a piece of equipment contains or contacts a hazardous waste with organic concentrations at least ten percent by weight, the determination can be revised only after following the procedures in subsection (d)(1) or (d)(2) of this section.
(f) When an owner or operator and the Department do not agree on whether a piece of equipment contains or contacts a hazardous waste with organic concentrations at least ten percent by weight, the procedures in paragraph (d)(1) or (d)(2) of this section shall be used to resolve the dispute.
(g) Samples used in determining the percent organic content shall be representative of the highest total organic content hazardous waste that is expected to be contained in or contact the equipment.
(h) To determine if pumps or valves are in light liquid service, the vapor pressures of constituents may be obtained from standard reference texts or may be determined by ASTM  D-2879-86 (incorporated by reference under Section 66260.11).
(i) Performance tests to determine if a control device achieves 95 weight percent organic emission reduction shall comply with the procedures of Section 66264.1034(c)(1) through (c)(4).
NOTE

Authority cited: Sections 25141, 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 264.1063.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsections (d)(1) and (d)(3) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
3. Amendment of subsection (d)(2) and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66264.1064. Recordkeeping Requirements.
Note     •     History

(a)(1) Each owner or operator subject to the provisions of this article shall comply with the recordkeeping requirements of this section.
(2) An owner or operator of more than one hazardous waste management unit subject to the provisions of this article may comply with the recordkeeping requirements for these hazardous waste management units in one recordkeeping system if the system identifies each record by each hazardous waste management unit.
(b) Owners and operators shall record the following information in the facility operating record:
(1) for each piece of equipment to which this article applies:
(A) equipment identification number and hazardous waste management unit identification;
(B) approximate locations within the facility (e.g., identify the hazardous waste management unit on a facility plot plan);
(C) type of equipment (e.g., a pump or pipeline valve);
(D) percent-by-weight total organics in the hazardous waste stream at the equipment;
(E) hazardous waste state at the equipment (e.g., gas/vapor or liquid);
(F) method of compliance with the standard (e.g., “monthly leak detection and repair” or “equipped with dual mechanical seals”);
(2) for facilities that comply with the provisions of Section 66264.1033(a)(2), an implementation schedule as specified in Section 66264.1033(a)(2);
(3) an owner or operator who chooses to use test data to demonstrate the organic removal efficiency or total organic compound concentration achieved by the control device, shall record a performance test plan as specified in Section 66264.1035(b)(3); and
(4) documentation of compliance with Section 66264.1060; including the detailed design documentation or performance test results specified in Section 66264.1034(b)(4).
(c) When each leak is detected as specified in Sections 66264.1052, 66264.1053, 66264.1057, and 66264.1058, the following requirements apply:
(1) a weatherproof and readily visible identification, marked with the equipment identification number, the date evidence of a potential leak was found in accordance with Section 66264.1058(a), and the date the leak was detected, shall be attached to the leaking equipment;
(2) the identification on equipment, except on a valve, may be removed after it has been repaired; and
(3) the identification on a valve may be removed after it has been monitored for two successive months as specified in Sections 66264.1057(c) and no leak has been detected during those two months.
(d) When each leak is detected as specified in Sections 66264.1052, 66264.1053, 66264.1057, and 66264.1058, the following information shall be recorded in an inspection log and shall be kept in the facility operating record:
(1) the instrument and operator identification numbers and the equipment identification number;
(2) the date evidence of a potential leak was found in accordance with Section 66264.1058(a);
(3) the date the leak was detected and the dates of each attempt to repair the leak;
(4) repair methods applied in each attempt to repair the leak;
(5) “above 10,000” if the maximum instrument reading measured by the methods specified in Section 6626.1063(b) after each repair attempt is equal to or greater than 10,000 ppm;
(6) “repair delayed” and the reason for the delay if a leak is not repaired within 15 calendar days after discovery of the leak;
(7) source of documentation supporting the delay of repair of a valve in compliance with Section 66264.1059(c);
(8) name and the signature of the owner or operator (or designate) whose decision it was that repair could not be effected without a hazardous waste management unit shutdown;
(9) the expected date of successful repair of the leak if a leak is not repaired within 15 calendar days; and
(10) the date of successful repair of the leak.
(e) Design documentation and monitoring, operating, and inspection information for each closed-vent system and control device required to comply with the provisions of Section 66264.1060 shall be recorded and kept up-to-date in the facility operating record as specified in Section 66264.1035(c). Design documentation is specified in Section 66264.1035(c)(1) and (c)(2), and monitoring, operating, and inspection information is specified in 66264.1035(c)(3) through (c)(8).
(f) For a control device other than a thermal vapor incinerator, catalytic vapor incinerator, flare, boiler, process heater, condenser, or carbon adsorption system, the Department will specify the appropriate recordkeeping requirements.
(g) The following information pertaining to all equipment subject to the requirements in Sections 66264.1052 through 66264.1060 shall be recorded in a log that is kept in the facility operating record:
(1) a list of identification numbers for equipment (except welded fittings) subject to the requirements of this article;
(2)(A) a list of identification numbers for equipment that the owner or operator elects to designate for no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, under the provisions of Sections 66264.1052(e), 66264.1053(i), and 66264.1057(f);
(B) the designation of this equipment as subject to the requirements of Sections 66264.1052(e), 66264.1053(i), or 66264.1057(f), and 66264.1057(f) shall be signed by the owner or operator;
(3) a list of equipment identification numbers for pressure relief devices required to comply with Section 66264.1054(a).
(4)(A) the dates of each compliance test required in Sections 66264.1052(e), 66264.1053(i), 66264.1054, and 66264.1057(f);
(B) the background level measured during each compliance test;
(C) the maximum instrument reading measured at the equipment during each compliance test; and
(5) a list of identification numbers for equipment in vacuum service.
(6) Identification, either by list or location (area or group) of equipment that contains or contacts hazardous waste with an organic concentration of at least 10 percent by weight for less than 300 hours per calendar year.
(h) The following information pertaining to all valves subject to the requirements of Section 66264.1057(g) and (h) shall be recorded in a log that is kept in the facility operating record:
(1) a list of identification numbers for valves that are designated as unsafe to monitor, an explanation for each valve stating why the valve is unsafe to monitor, and the plan for monitoring each valve;
(2) a list of identification numbers for valves that are designated as difficult to monitor, an explanation for each valve stating why the valve is difficult to monitor, and the planned schedule for monitoring each valve.
(i) The following information shall be recorded in the facility operating record for valves complying with Section 66264.1062:
(1) a schedule of monitoring; and
(2) the percent of valves found leaking during each monitoring period.
(j) The following information shall be recorded in a log that is kept in the facility operating record:
(1) criteria required in Section 66264.1052(d)(5)(B) and Section 66264.1053(e)(2) and an explanation of the design criteria; and
(2) any changes to these criteria and the reasons for the changes;
(k) The following information shall be recorded in a log that is kept in the facility operating record for use in determining exemptions as provided in the applicability section of this article and other specific articles:
(1) an analysis determining the design capacity of the hazardous waste management unit;
(2) a statement listing the hazardous waste influent to and effluent from each hazardous waste management unit subject to the requirements in Sections 66264.1052 through 66264.1060 and an analysis determining whether these hazardous wastes are heavy liquids; and
(3) an up-to-date analysis and the supporting information and data used to determine whether or not equipment is subject to the requirements in Sections 66264.1052 through 66264.1060. The record shall include supporting documentation as required by Section 66264.1063(d)(3) when application of the knowledge of the nature of the hazardous waste stream or the process by which it was produced is used. If the owner or operator takes any action (e.g., changing the process that produced the waste) that could result in an increase in the total organic content of the waste contained in or contacted by equipment determined not to be subject to the requirements in Sections 66264.1052 through 66264.1060, then a new determination is required.
(l) Records of the equipment leak information required by paragraph (d) of this section and the operating information required by paragraph (e) of this section shall be kept only three years.
(m) The owner or operator of a facility with equipment that is subject to this article and to regulations at 40 CFR part 60, part 61, or part 63 may elect to determine compliance with this article either by documentation pursuant to section 66264.1064, or by documentation of compliance with the regulations at 40 CFR part 60, part 61, or part 63 pursuant to the relevant provisions of the regulations at 40 part 60, part 61, or part 63. The documentation of compliance under regulations at 40 CFR part 60, part 61, or part 63 shall be kept with or made readily available with the facility operating record.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 264.1064.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (j)(1) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
3. Change without regulatory effect adding subsection (g)(6) and amending subsection (m) and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1065. Reporting Requirements.
Note     •     History

(a) A semiannual report shall be submitted by owners and operators subject to the requirements of this article to the Department by first week of February and August of each year. The report shall include the following information:
(1) the identification number, name, and address of the facility;
(2) for each month during the semiannual reporting period:
(A) the equipment identification number of each valve for which leak was not repaired as required in Section 66264.1057(d);
(B) the equipment identification number of each pump for which a leak was not repaired as required in Section 66264.1052(c) and (d)(6); and
(C) the equipment identification number of each compressor for which a leak was not repaired as required in Section 66264.1053(g);
(3) dates of hazardous waste management unit shutdowns that occurred within the semiannual reporting period; and
(4) for each month during the semiannual reporting period:
(A) dates when the control device, installed as required by Section 66264.1052, 66264.1053, 66264.1054, or 66264.1055, exceeded or operated outside of the design specifications as defined in Section 66264.1064(e) and as indicated by the control device monitoring required by Section 66264.1060 for more than 24 hours;
(B) the duration and cause of each excess emissions; and
(C) any corrective measures taken.
(b) If, during the semiannual reporting period, leaks from valves, pumps, and compressors are repaired as required in Sections 66264.1057(d), 66264.1052(c) and (d)(6), and 66264.1053(g), respectively, and the control device does not exceed or operate outside of the design specifications as defined in Section 66264.1064(e) for more than 24 hours, a report to the Department is not required.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 264.1065.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
Article 28.5. Air Emission Standards for Tanks, Surface Impoundments, and Containers
§66264.1080. Applicability.
Note     •     History

(a) The requirements of this article apply to owners and operators of all facilities that treat, store, or dispose of RCRA hazardous waste in tanks, surface impoundments, or containers subject to either articles 9, 10, or 11 except as section 66264.1 and subsection (b) of this section provide otherwise.
(b) The requirements of this article do not apply to the following waste management units at the facility:
(1) A waste management unit that holds hazardous waste placed in the unit before December 6, 1996, and in which no hazardous waste is added to the unit on or after December 6, 1996.
(2) A container that has a design capacity less than or equal to 0.1 m3.
(3) A tank in which an owner or operator has stopped adding hazardous waste and the owner or operator has begun implementing or completed closure pursuant to an approved closure plan.
(4) A surface impoundment in which an owner or operator has stopped adding hazardous waste (except to implement an approved closure plan) and the owner or operator has begun implementing or completed closure pursuant to an approved closure plan.
(5) A waste management unit that is used solely for on-site treatment or storage of hazardous waste that is placed in the unit as a result of implementing remedial activities required under the corrective action authorities of RCRA sections 3004(u), 3004(v), or 3008(h); CERCLA authorities, or similar Federal or State authorities.
(6) A waste management unit that is used solely for the management of radioactive mixed waste in accordance with all applicable regulations under the authority of the Atomic Energy Act and the Nuclear Waste Policy Act.
(7) A hazardous waste management unit that the owner or operator certifies is equipped with and operating air emission controls in accordance with the requirements of an applicable Clean Air Act regulation codified under 40 CFR part 60, part 61, or part 63. For the purpose of complying with this subsection, a tank for which the air emission control includes an enclosure, as opposed to a cover, must be in compliance with the enclosure and control device requirements of section 66264.1084(i), except as provided in section 66264.1082(c)(5).
(8) A tank that has a process vent as defined in section 66260.10.
(c) For the owner and operator of a facility subject to this article who received a final permit under RCRA section 3005 prior to December 6, 1996, the requirements of this article shall be incorporated into the permit when the permit is reissued in accordance with the requirements of 40 CFR 124.15 or reviewed in accordance with the requirements of section 66270.50(d) of this division. Until such date when the permit is reissued in accordance with the requirements of 40 CFR 124.15 or reviewed in accordance with the requirements of section 66270.50(d), the owner and operator is subject to the requirements of chapter 15, article 28.5.
(d) The requirements of this article, except for the recordkeeping requirements specified in section 66264.1089(i) are administratively stayed for a tank or a container used for the management of hazardous waste generated by organic peroxide manufacturing and its associated laboratory operations when the owner or operator of the unit meets all of the following conditions:
(1) The owner or operator identifies that the tank or container receives hazardous waste generated by an organic peroxide manufacturing process producing more than one functional family of organic peroxides or multiple organic peroxides within one functional family, that one or more of these organic peroxides could potentially undergo self-accelerating thermal decomposition at or below ambient temperatures, and that organic peroxides are the predominant products manufactured by the process. For the purpose of meeting the conditions of this subsection, “organic peroxide” means an organic compound that contains the bivalent -O-O-structure and which may be considered to be a structural derivative of hydrogen peroxide where one or both of the hydrogen atoms has been replaced by an organic radical.
(2) The owner or operator prepares documentation, in accordance with the requirements of section 66264.1089(i) of this article, explaining why an undue safety hazard would be created if air emission controls specified in sections 66264.1084 through 66264.1087 are installed and operated on the tanks and containers used at the facility to manage the hazardous waste generated by the organic peroxide manufacturing process or processes meeting the conditions of subsection (d)(1) of this section.
(3) The owner or operator notifies the Department in writing that hazardous waste generated by an organic peroxide manufacturing process or processes meeting the conditions of subsection (d)(1) of this section are managed at the facility in tanks or containers meeting the conditions of subsection (d)(2) of this section. The notification shall state the name and address of the facility, and be signed and dated by an authorized representative of the facility owner or operator.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.1080.
HISTORY

1. Change without regulatory effect adding new article 28.5 (sections 66264.1080-66264.1090) and section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Change without regulatory effect amending subsection (b)(5) filed 8-3-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 31).
3. Change without regulatory effect amending subsection (a) filed 12-21-2004 pursuant to Health and Safety Code section 25159.1 (Register 2004, No. 52).
§66264.1082. Standards: General.
Note     •     History

(a) This section applies to the management of hazardous waste in tanks, surface impoundments, and containers subject to this article.
(b) The owner or operator shall control air pollutant emissions from each waste management unit in accordance with standards specified in sections 66264.1084 through 66264.1087, as applicable to the hazardous waste management unit, except as provided for in subsection (c) of this section.
(c) A tank, surface impoundment, or container is exempt from standards specified in sections 66264.1084 through 66264.1087 as applicable, provided that the waste management unit is one of the following:
(1) A tank, surface impoundment, or container for which all hazardous waste entering the unit has an average VO concentration at the point of waste origination of less than 500 parts per million by weight (ppmw). The average VO concentration shall be determined using the procedures specified in section 66264.1083(a). The owner or operator shall review and update, as necessary, this determination at least once every 12 months following the date of the initial determination for the hazardous waste streams entering the unit.
(2) A tank, surface impoundment, or container for which the organic content of all the hazardous waste entering the waste management unit has been reduced by an organic destruction or removal process that achieves any one of the following conditions:
(A) A process that removes or destroys the organics contained in the hazardous waste to a level such that the average VO concentration of the hazardous waste at the point of waste treatment is less than the exit concentration limit (Ct) established for the process. The average VO concentration of the hazardous waste at the point of waste treatment and the exit concentration limit for the process shall be determined using the procedures specified in section 66264.1083(b).
(B) A process that removes or destroys the organics contained in the hazardous waste to a level such that the organic reduction efficiency (R) for the process is equal to or greater than 95 percent, and the average VO concentration of the hazardous waste at the point of waste treatment is less than 100 ppmw. The organic reduction efficiency for the process and the average VO concentration of the hazardous waste at the point of waste treatment shall be determined using the procedures specified in section 66264.1083(b).
(C) A process that removes or destroys the organics contained in the hazardous waste to a level such that the actual organic mass removal rate (MR) for the process is equal to or greater than the required organic mass removal rate (RMR) established for the process. The required organic mass removal rate and the actual organic mass removal rate for the process shall be determined using the procedures specified in section 66264.1083(b).
(D) A biological process that destroys or degrades the organics contained in the hazardous waste, such that either of the following conditions is met:
1. The organic reduction efficiency (R) for the process is equal to or greater than 95 percent, and the organic biodegradation efficiency (Rbio) for the process is equal to or greater than 95 percent. The organic reduction efficiency and the organic biodegradation efficiency for the process shall be determined using the procedures specified in section 66264.1083(b).
2. The total actual organic mass biodegradation rate (MRbio) for all hazardous waste treated by the process is equal to or greater than the required organic mass removal rate (RMR). The required organic mass removal rate and the actual organic mass biodegradation rate for the process shall be determined using the procedures specified in section 66264.1083(b).
(E) A process that removes or destroys the organics contained in the hazardous waste and meets all of the following conditions:
1. From the point of waste origination through the point where the hazardous waste enters the treatment process, the hazardous waste is managed continuously in waste management units which use air emission controls in accordance with the standards specified in sections 66264.1084 through 66264.1087, as applicable to the waste management unit.
2. From the point of waste origination through the point where the hazardous waste enters the treatment process, any transfer of the hazardous waste is accomplished through continuous hard-piping or other closed system transfer that does not allow exposure of the waste to the atmosphere. The EPA considers a drain system that meets the requirements of 40 CFR part 63, subpart RR--National Emission Standards for Individual Drain Systems to be a closed system.
3. The average VO concentration of the hazardous waste at the point of waste treatment is less than the lowest average VO concentration at the point of waste origination determined for each of the individual waste streams entering the process or 500 ppmw, whichever value is lower. The average VO concentration of each individual waste stream at the point of waste origination shall be determined using the procedures specified in section 66264.1083(a). The average VO concentration of the hazardous waste at the point of waste treatment shall be determined using the procedures specified in section 66264.1083(b).
(F) A process that removes or destroys the organics contained in the hazardous waste to a level such that the organic reduction efficiency (R) for the process is equal to or greater than 95 percent and the owner or operator certifies that the average VO concentration at the point of waste origination for each of the individual waste streams entering the process is less than 10,000 ppmw. The organic reduction efficiency for the process and the average VO concentration of the hazardous waste at the point of waste origination shall be determined using the procedures specified in sections 66264.1083(b) and 66264.1083(a), respectively.
(G) A hazardous waste incinerator for which the owner or operator has either:
1. Been issued a final permit under chapter 20 which implements the requirements of article 15 of this chapter; or
2. Has designed and operates the incinerator in accordance with the interim status requirements of chapter 15, article 15 of this division.
(H) A boiler or industrial furnace for which the owner or operator has either:
1. Been issued a final permit under chapter 20 which implements the requirements of chapter 16, article 8, or
2. Has designed and operates the boiler or industrial furnace in accordance with the interim status requirements of chapter 16, article 8 of this division.
(I) For the purpose of determining the performance of an organic destruction or removal process in accordance with the conditions in each of subsections (c)(2)(A) through (c)(2)(F) of this section, the owner or operator shall account for VO concentrations determined to be below the limit of detection of the analytical method by using the following VO concentration:
1. If Method 25D in 40 CFR part 60, appendix A is used for the analysis, one-half the blank value determined in the method at section 4.4 of Method 25D in 40 CFR part 60, appendix A, or a value of 25 ppmw, whichever is less.
2. If any other analytical method is used, one-half the sum of the limits of detection established for each organic constituent in the waste that has a Henry's law constant value at least 0.1 mole-fraction-in-the-gas-phase/mole-fraction-in-the-liquid-phase (0.1 Y/X) [which can also be expressed as 1.8 x 10-6 atmospheres/gram-mole/m3] at 25 degrees Celsius.
(3) A tank or surface impoundment used for biological treatment of hazardous waste in accordance with the requirements of subsection (c)(2)(D) of this section.
(4) A tank, surface impoundment, or container for which all hazardous waste placed in the unit either:
(A) Meets the numerical concentration limits for organic hazardous constituents, applicable to the hazardous waste, as specified in chapter 18--Land Disposal Restrictions under Table “Treatment Standards for Hazardous Waste” in section 66268.40; or
(B) The organic hazardous constituents in the waste have been treated by the treatment technology established by the Department for the waste in section 66268.42(a), or have been removed or destroyed by an equivalent method of treatment approved by the Department pursuant to section 66268.42(b).
(5) A tank used for bulk feed of hazardous waste to a waste incinerator and all of the following conditions are met:
(A) The tank is located inside an enclosure vented to a control device that is designed and operated in accordance with all applicable requirements specified under 40 CFR part 61, subpart FF--National Emission Standards for Benzene Waste Operations for a facility at which the total annual benzene quantity from the facility waste is equal to or greater than 10 megagrams per year;
(B) The enclosure and control device serving the tank were installed and began operation prior to November 25, 1996 and
(C) The enclosure is designed and operated in accordance with the criteria for a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, appendix B. The enclosure may have permanent or temporary openings to allow worker access; passage of material into or out of the enclosure by conveyor, vehicles, or other mechanical or electrical equipment; or to direct air flow into the enclosure. The owner or operator shall perform the verification procedure for the enclosure as specified in Section 5.0 to “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” annually.
(d) The Department may at any time perform or request that the owner or operator perform a waste determination for a hazardous waste managed in a tank, surface impoundment, or container exempted from using air emission controls under the provisions of this section as follows:
(1) The waste determination for average VO concentration of a hazardous waste at the point of waste origination shall be performed using direct measurement in accordance with the applicable requirements of section 66264.1083(a). The waste determination for a hazardous waste at the point of waste treatment shall be performed in accordance with the applicable requirements of section 66264.1083(b).
(2) In performing a waste determination pursuant to subsection (d)(1) of this section, the sample preparation and analysis shall be conducted as follows:
(A) In accordance with the method used by the owner or operator to perform the waste analysis, except in the case specified in subsection (d)(2)(B) of this section.
(B) If the Department determines that the method used by the owner or operator was not appropriate for the hazardous waste managed in the tank, surface impoundment, or container, then the Department may choose an appropriate method.
(3) In a case when the owner or operator is requested to perform the waste determination, the Department may elect to have an authorized representative observe the collection of the hazardous waste samples used for the analysis.
(4) In a case when the results of the waste determination performed or requested by the Department do not agree with the results of a waste determination performed by the owner or operator using knowledge of the waste, then the results of the waste determination performed in accordance with the requirements of subsection (d)(1) of this section shall be used to establish compliance with the requirements of this article.
(5) In a case when the owner or operator has used an averaging period greater than 1 hour for determining the average VO concentration of a hazardous waste at the point of waste origination, the Department may elect to establish compliance with this article by performing or requesting that the owner or operator perform a waste determination using direct measurement based on waste samples collected within a 1-hour period as follows:
(A) The average VO concentration of the hazardous waste at the point of waste origination shall be determined by direct measurement in accordance with the requirements of section 66264.1083(a).
(B) Results of the waste determination performed or requested by the Department showing that the average VO concentration of the hazardous waste at the point of waste origination is equal to or greater than 500 ppmw shall constitute noncompliance with this article except in a case as provided for in subsection (d)(5)(C) of this section.
(C) For the case when the average VO concentration of the hazardous waste at the point of waste origination previously has been determined by the owner or operator using an averaging period greater than 1 hour to be less than 500 ppmw but because of normal operating process variations the VO concentration of the hazardous waste determined by direct measurement for any given 1-hour period may be equal to or greater than 500 ppmw, information that was used by the owner or operator to determine the average VO concentration of the hazardous waste (e.g., test results, measurements, calculations, and other documentation) and recorded in the facility records in accordance with the requirements of Sections 66264.1083(a) and 66264.1089 shall be considered by the Department together with the results of the waste determination performed or requested by the Department in establishing compliance with this article.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR  Section 264.1082.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1083. Waste Determination Procedures.
Note     •     History

(a) Waste determination procedure to determine average volatile organic (VO) concentration of a hazardous waste at the point of waste origination.
(1) An owner or operator shall determine the average VO concentration at the point of waste origination for each hazardous waste placed in a waste management unit exempted under the provisions of Section 66264.1082(c)(1) from using air emission controls in accordance with standards specified in Sections 66264.1084 through 66264.1087, as applicable to the waste management unit.
(A) An initial determination of the average VO concentration of the waste stream shall be made before the first time any portion of the material in the hazardous waste stream is placed in a waste management unit exempted under the provisions of section 66264.1082(c)(1) from using air emission controls, and thereafter an initial determination of the average VO concentration of the waste stream shall be made for each averaging period that a hazardous waste is managed in the unit; and
(B) Perform a new waste determination whenever changes to the source generating the waste stream are reasonably likely to cause the average VO concentration of the hazardous waste to increase to a level that is equal to or greater than the applicable VO concentration limits specified in section 66264.1082.
(2) For a waste determination that is required by subsection (a)(1) of this section, the average VO concentration of a hazardous waste at the point of waste origination shall be determined in accordance with the procedures specified in Section 66265.1084(a)(2) through (a)(4).
(b) Waste determination procedures for treated hazardous waste.
(1) An owner or operator shall perform the applicable waste determinations for each treated hazardous waste placed in waste management units exempted under the provisions of Sections 66264.1082(c)(2)(A) through (c)(2)(F) from using air emission controls in accordance with standards specified in Sections 66264.1084 through 66264.1087, as applicable to the waste management unit.
(A) An initial determination of the average VO concentration of the waste stream shall be made before the first time any portion of the material in the treated waste stream is placed in the exempt waste management unit, and thereafter update the information used for the waste determination at least once every 12 months following the date of the initial waste determination; and
(B) Perform a new waste determination whenever changes to the process generating or treating the waste stream are reasonably likely to cause the average VO concentration of the hazardous waste to increase to a level such that the applicable treatment conditions specified in section 66264.1082(c)(2) are not achieved.
(2) The waste determination for a treated hazardous waste shall be performed in accordance with the procedures specified in subsections 66265.1084(b)(2) through (b)(9), as applicable to the treated hazardous waste.
(c) Procedure to determine the maximum organic vapor pressure of a hazardous waste in a tank.
(1) An owner or operator shall determine the maximum organic vapor pressure for each hazardous waste placed in a tank using Tank Level 1 controls in accordance with standards specified in Section 66264.1084(c).
(2) The maximum organic vapor pressure of the hazardous waste may be determined in accordance with the procedures specified in subsections 66265.1084(c)(2) through (c)(4).
(d) The procedure for determining no detectable organic emissions for the purpose of complying with this article shall be conducted in accordance with the procedures specified in Section 66265.1084(d).
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.1083.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Change without regulatory effect adding subsections (a)(1)(A)-(B) and (b)(1)(A)-(B) filed 8-3-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 31).
§66264.1084. Standards: Tanks.
Note     •     History

(a) The provisions of this section apply to the control of air pollutant emissions from tanks for which section 66264.1082(b) references the use of this section for such air emission control.
(b) The owner or operator shall control air pollutant emissions from each tank subject to this section in accordance with the following requirements as applicable:
(1) For a tank that manages hazardous waste that meets all of the conditions specified in subsections (b)(1)(A) through (b)(1)(C) of this section, the owner or operator shall control air pollutant emissions from the tank in accordance with the Tank Level 1 controls specified in subsection (c) of this section or the Tank Level 2 controls specified in subsection (d) of this section.
(A) The hazardous waste in the tank has a maximum organic vapor pressure which is less than the maximum organic vapor pressure limit for the tank's design capacity category as follows:
1. For a tank design capacity equal to or greater than 151 m3, the maximum organic vapor pressure limit for the tank is 5.2 kPa.
2. For a tank design capacity equal to or greater than 75 m3 but less than 151 m3, the maximum organic vapor pressure limit for the tank is 27.6 kPa.
3. For a tank design capacity less than 75 m3, the maximum organic vapor pressure limit for the tank is 76.6 kPa.
(B) The hazardous waste in the tank is not heated by the owner or operator to a temperature that is greater than the temperature at which the maximum organic vapor pressure of the hazardous waste is determined for the purpose of complying with subsection (b)(1)(A) of this section.
(C) The hazardous waste in the tank is not treated by the owner or operator using a waste stabilization process, as defined in section 66260.10.
(2) For a tank that manages hazardous waste that does not meet all of the conditions specified in subsections (b)(1)(A) through (b)(1)(C) of this section, the owner or operator shall control air pollutant emissions from the tank by using Tank Level 2 controls in accordance with the requirements of subsection (d) of this section. Examples of tanks required to use Tank Level 2 controls include: A tank used for a waste stabilization process; and a tank for which the hazardous waste in the tank has a maximum organic vapor pressure that is equal to or greater than the maximum organic vapor pressure limit for the tank's design capacity category as specified in subsection (b)(1)(A) of this section.
(c) Owners and operators controlling air pollutant emissions from a tank using Tank Level 1 controls shall meet the requirements specified in subsections (c)(1) through (c)(4) of this section:
(1) The owner or operator shall determine the maximum organic vapor pressure for a hazardous waste to be managed in the tank using Tank Level 1 controls before the first time the hazardous waste is placed in the tank. The maximum organic vapor pressure shall be determined using the procedures specified in section 66264.1083(c) of this article. Thereafter, the owner or operator shall perform a new determination whenever changes to the hazardous waste managed in the tank could potentially cause the maximum organic vapor pressure to increase to a level that is equal to or greater than the maximum organic vapor pressure limit for the tank design capacity category specified in subsection (b)(1)(A) of this section, as applicable to the tank.
(2) The tank shall be equipped with a fixed roof designed to meet the following specifications:
(A) The fixed roof and its closure devices shall be designed to form a continuous barrier over the entire surface area of the hazardous waste in the tank. The fixed roof may be a separate cover installed on the tank (e.g., a removable cover mounted on an open-top tank) or may be an integral part of the tank structural design (e.g., a horizontal cylindrical tank equipped with a hatch).
(B) The fixed roof shall be installed in a manner such that there are no visible cracks, holes, gaps, or other open spaces between roof section joints or between the interface of the roof edge and the tank wall.
(C) Each opening in the fixed roof, and any manifold system associated with the fixed roof, shall be either:
1. Equipped with a closure device designed to operate such that when the closure device is secured in the closed position there are no visible cracks, holes, gaps, or other open spaces in the closure device or between the perimeter of the opening and the closure device; or
2. Connected by a closed-vent system that is vented to a control device. The control device shall remove or destroy organics in the vent stream, and shall be operating whenever hazardous waste is managed in the tank, except as provided for in subsections (c)(2)(C)2.a. and 2.b. of this section.
a. During periods when it is necessary to provide access to the tank for performing the activities of subsection (c)(2)(C)2 of this section, venting of the vapor headspace underneath the fixed roof to the control device is not required, opening of closure devices is allowed, and removal of the fixed roof is allowed. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable, and resume operation of the control device.
b. During periods of routine inspection, maintenance, or other activities needed for normal operations, and for removal of accumulated sludge or other residues from the bottom of the tank.
(D) The fixed roof and its closure devices shall be made of suitable materials that will minimize exposure of the hazardous waste to the atmosphere, to the extent practical, and will maintain the integrity of the fixed roof and closure devices throughout their intended service life. Factors to be considered when selecting the materials for and designing the fixed roof and closure devices shall include: Organic vapor permeability, the effects of any contact with the hazardous waste or its vapors managed in the tank; the effects of outdoor exposure to wind, moisture, and sunlight; and the operating practices used for the tank on which the fixed roof is installed.
(3) Whenever a hazardous waste is in the tank, the fixed roof shall be installed with each closure device secured in the closed position except as follows:
(A) Opening of closure devices or removal of the fixed roof is allowed at the following times:
1. To provide access to the tank for performing routine inspection, maintenance, or other activities needed for normal operations. Examples of such activities include those times when a worker needs to open a port to sample the liquid in the tank, or when a worker needs to open a hatch to maintain or repair equipment. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable, to the tank.
2. To remove accumulated sludge or other residues from the bottom of tank.
(B) Opening of a spring-loaded pressure-vacuum relief valve, conservation vent, or similar type of pressure relief device which vents to the atmosphere is allowed during normal operations for the purpose of maintaining the tank internal pressure in accordance with the tank design specifications. The device shall be designed to operate with no detectable organic emissions when the device is secured in the closed position. The settings at which the device opens shall be established such that the device remains in the closed position whenever the tank internal pressure is within the internal pressure operating range determined by the owner or operator based on the tank manufacturer recommendations, applicable regulations, fire protection and prevention codes, standard engineering codes and practices, or other requirements for the safe handling of flammable, ignitable, explosive, reactive, or hazardous materials. Examples of normal operating conditions that may require these devices to open are during those times when the tank internal pressure exceeds the internal pressure operating range for the tank as a result of loading operations or diurnal ambient temperature fluctuations.
(C) Opening of a safety device, as defined in section 66265.1081, is allowed at any time conditions require doing so to avoid an unsafe condition.
(4) The owner or operator shall inspect the air emission control equipment in accordance with the following requirements.
(A) The fixed roof and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to, visible cracks, holes, or gaps in the roof sections or between the roof and the tank wall; broken, cracked, or otherwise damaged seals or gaskets on closure devices; and broken or missing hatches, access covers, caps, or other closure devices.
(B) The owner or operator shall perform an initial inspection of the fixed roof and its closure devices on or before the date that the tank becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year except under the special conditions provided for in subsection (l) of this section.
(C) In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (k) of this section.
(D) The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66264.1089(b).
(d) Owners and operators controlling air pollutant emissions from a tank using Tank Level 2 controls shall use one of the following tanks:
(1) A fixed-roof tank equipped with an internal floating roof in accordance with the requirements specified in subsection (e) of this section;
(2) A tank equipped with an external floating roof in accordance with the requirements specified in subsection (f) of this section;
(3) A tank vented through a closed-vent system to a control device in accordance with the requirements specified in subsection (g) of this section;
(4) A pressure tank designed and operated in accordance with the requirements specified in subsection (h) of this section; or
(5) A tank located inside an enclosure that is vented through a closed-vent system to an enclosed combustion control device in accordance with the requirements specified in subsection (i) of this section.
(e) The owner or operator who controls air pollutant emissions from a tank using a fixed roof with an internal floating roof shall meet the requirements specified in subsections (e)(1) through (e)(3) of this section.
(1) The tank shall be equipped with a fixed roof and an internal floating roof in accordance with the following requirements:
(A) The internal floating roof shall be designed to float on the liquid surface except when the floating roof must be supported by the leg supports.
(B) The internal floating roof shall be equipped with a continuous seal between the wall of the tank and the floating roof edge that meets either of the following requirements:
1. A single continuous seal that is either a liquid-mounted seal or a metallic shoe seal, as defined in section 66260.10; or
2. Two continuous seals mounted one above the other. The lower seal may be a vapor-mounted seal.
(C) The internal floating roof shall meet the following specifications:
1. Each opening in a noncontact internal floating roof except for automatic bleeder vents (vacuum breaker vents) and the rim space vents is to provide a projection below the liquid surface.
2. Each opening in the internal floating roof shall be equipped with a gasketed cover or a gasketed lid except for leg sleeves, automatic bleeder vents, rim space vents, column wells, ladder wells, sample wells, and stub drains.
3. Each penetration of the internal floating roof for the purpose of sampling shall have a slit fabric cover that covers at least 90 percent of the opening.
4. Each automatic bleeder vent and rim space vent shall be gasketed.
5. Each penetration of the internal floating roof that allows for passage of a ladder shall have a gasketed sliding cover.
6. Each penetration of the internal floating roof that allows for passage of a column supporting the fixed roof shall have a flexible fabric sleeve seal or a gasketed sliding cover.
(2) The owner or operator shall operate the tank in accordance with the following requirements:
(A) When the floating roof is resting on the leg supports, the process of filling, emptying, or refilling shall be continuous and shall be completed as soon as practical.
(B) Automatic bleeder vents are to be set closed at all times when the roof is floating, except when the roof is being floated off or is being landed on the leg supports.
(C) Prior to filling the tank, each cover, access hatch, gauge float well or lid on any opening in the internal floating roof shall be bolted or fastened closed (i.e., no visible gaps). Rim space vents are to be set to open only when the internal floating roof is not floating or when the pressure beneath the rim exceeds the manufacturer's recommended setting.
(3) The owner or operator shall inspect the internal floating roof in accordance with the procedures specified as follows:
(A) The floating roof and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to: The internal floating roof is not floating on the surface of the liquid inside the tank; liquid has accumulated on top of the internal floating roof; any portion of the roof seals have detached from the roof rim; holes, tears, or other openings are visible in the seal fabric; the gaskets no longer close off the hazardous waste surface from the atmosphere; or the slotted membrane has more than 10 percent open area.
(B) The owner or operator shall inspect the internal floating roof components as follows except as provided in subsection (e)(3)(C) of this section:
1. Visually inspect the internal floating roof components through openings on the fixed-roof (e.g., manholes and roof hatches) at least once every 12 months after initial fill, and
2. Visually inspect the internal floating roof, primary seal, secondary seal (if one is in service), gaskets, slotted membranes, and sleeve seals (if any) each time the tank is emptied and degassed and at least every 10 years.
(C) As an alternative to performing the inspections specified in subsection (e)(3)(B) of this section for an internal floating roof equipped with two continuous seals mounted one above the other, the owner or operator may visually inspect the internal floating roof, primary and secondary seals, gaskets, slotted membranes, and sleeve seals (if any) each time the tank is emptied and degassed and at least every 5 years.
(D) Prior to each inspection required by subsection (e)(3)(B) or (e)(3)(C) of this section, the owner or operator shall notify the Department in advance of each inspection to provide the Department with the opportunity to have an observer present during the inspection. The owner or operator shall notify the Department of the date and location of the inspection as follows:
1. Prior to each visual inspection of an internal floating roof in a tank that has been emptied and degassed, written notification shall be prepared and sent by the owner or operator so that it is received by the Department at least 30 calendar days before refilling the tank except when an inspection is not planned as provided for in subsection (e)(3)(D)2. of this section.
2. When a visual inspection is not planned and the owner or operator could not have known about the inspection 30 calendar days before refilling the tank, the owner or operator shall notify the Department as soon as possible, but no later than 7 calendar days before refilling of the tank. This notification may be made by telephone and immediately followed by a written explanation for why the inspection is unplanned. Alternatively, written notification, including the explanation for the unplanned inspection, may be sent so that it is received by the Department at least 7 calendar days before refilling the tank.
(E) In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (k) of this section.
(F) The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66264.1089(b).
(4) Safety devices, as defined in section 66260.10, may be installed and operated as necessary on any tank complying with the requirements of subsection (e) of this section.
(f) The owner or operator who controls air pollutant emissions from a tank using an external floating roof shall meet the requirements specified in subsections (f)(1) through (f)(3) of this section.
(1) The owner or operator shall design the external floating roof in accordance with the following requirements:
(A) The external floating roof shall be designed to float on the liquid surface except when the floating roof must be supported by the leg supports.
(B) The floating roof shall be equipped with two continuous seals, one above the other, between the wall of the tank and the roof edge. The lower seal is referred to as the primary seal, and the upper seal is referred to as the secondary seal.
1. The primary seal shall be a liquid-mounted seal or a metallic shoe seal, as defined in section 66260.10. The total area of the gaps between the tank wall and the primary seal shall not exceed 212 square centimeters (cm2) per meter of tank diameter, and the width of any portion of these gaps shall not exceed 3.8 centimeters (cm). If a metallic shoe seal is used for the primary seal, the metallic shoe seal shall be designed so that one end extends into the liquid in the tank and the other end extends a vertical distance of at least 61 centimeters above the liquid surface.
2. The secondary seal shall be mounted above the primary seal and cover the annular space between the floating roof and the wall of the tank. The total area of the gaps between the tank wall and the secondary seal shall not exceed 21.2 square centimeters (cm2) per meter of tank diameter, and the width of any portion of these gaps shall not exceed 1.3 centimeters (cm).
(C) The external floating roof shall meet the following specifications:
1. Except for automatic bleeder vents (vacuum breaker vents) and rim space vents, each opening in a noncontact external floating roof shall provide a projection below the liquid surface.
2. Except for automatic bleeder vents, rim space vents, roof drains, and leg sleeves, each opening in the roof shall be equipped with a gasketed cover, seal, or lid.
3. Each access hatch and each gauge float well shall be equipped with a cover designed to be bolted or fastened when the cover is secured in the closed position.
4. Each automatic bleeder vent and each rim space vent shall be equipped with a gasket.
5. Each roof drain that empties into the liquid managed in the tank shall be equipped with a slotted membrane fabric cover that covers at least 90 percent of the area of the opening.
6. Each unslotted and slotted guide pole well shall be equipped with a gasketed sliding cover or a flexible fabric sleeve seal.
7. Each unslotted guide pole shall be equipped with a gasketed cap on the end of the pole.
8. Each slotted guide pole shall be equipped with a gasketed float or other device which closes off the liquid surface from the atmosphere.
9. Each gauge hatch and each sample well shall be equipped with a gasketed cover.
(2) The owner or operator shall operate the tank in accordance with the following requirements:
(A) When the floating roof is resting on the leg supports, the process of filling, emptying, or refilling shall be continuous and shall be completed as soon as practical.
(B) Except for automatic bleeder vents, rim space vents, roof drains, and leg sleeves, each opening in the roof shall be secured and maintained in a closed position at all times except when the closure device must be open for access.
(C) Covers on each access hatch and each gauge float well shall be bolted or fastened when secured in the closed position.
(D) Automatic bleeder vents shall be set closed at all times when the roof is floating, except when the roof is being floated off or is being landed on the leg supports.
(E) Rim space vents shall be set to open only at those times that the roof is being floated off the roof leg supports or when the pressure beneath the rim seal exceeds the manufacturer's recommended setting.
(F) The cap on the end of each unslotted guide pole shall be secured in the closed position at all times except when measuring the level or collecting samples of the liquid in the tank.
(G) The cover on each gauge hatch or sample well shall be secured in the closed position at all times except when the hatch or well must be opened for access.
(H) Both the primary seal and the secondary seal shall completely cover the annular space between the external floating roof and the wall of the tank in a continuous fashion except during inspections.
(3) The owner or operator shall inspect the external floating roof in accordance with the procedures specified as follows:
(A) The owner or operator shall measure the external floating roof seal gaps in accordance with the following requirements:
1. The owner or operator shall perform measurements of gaps between the tank wall and the primary seal within 60 calendar days after initial operation of the tank following installation of the floating roof and, thereafter, at least once every 5 years.
2. The owner or operator shall perform measurements of gaps between the tank wall and the secondary seal within 60 calendar days after initial operation of the tank following installation of the floating roof and, thereafter, at least once every year.
3. If a tank ceases to hold hazardous waste for a period of 1 year or more, subsequent introduction of hazardous waste into the tank shall be considered an initial operation for the purposes of subsections (f)(3)(A)1. and (f)(3)(A)2. of this section.
4. The owner or operator shall determine the total surface area of gaps in the primary seal and in the secondary seal individually using the following procedure:
a. The seal gap measurements shall be performed at one or more floating roof levels when the roof is floating off the roof supports.
b. Seal gaps, if any, shall be measured around the entire perimeter of the floating roof in each place where a 0.32-centimeter (cm) diameter uniform probe passes freely (without forcing or binding against the seal) between the seal and the wall of the tank and measure the circumferential distance of each such location.
c. For a seal gap measured under subsection (f)(3) of this section, the gap surface area shall be determined by using probes of various widths to measure accurately the actual distance from the tank wall to the seal and multiplying each such width by its respective circumferential distance.
d. The total gap area shall be calculated by adding the gap surface areas determined for each identified gap location for the primary seal and the secondary seal individually, and then dividing the sum for each seal type by the nominal diameter of the tank. These total gap areas for the primary seal and secondary seal are then compared to the respective standards for the seal type as specified in subsection (f)(1)(B) of this section.
5. In the event that the seal gap measurements do not conform to the specifications in subsection (f)(1)(B) of this section, the owner or operator shall repair the defect in accordance with the requirements of subsection (k) of this section.
6. The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66264.1089(b).
(B) The owner or operator shall visually inspect the external floating roof in accordance with the following requirements:
1. The floating roof and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to: Holes, tears, or other openings in the rim seal or seal fabric of the floating roof; a rim seal detached from the floating roof; all or a portion of the floating roof deck being submerged below the surface of the liquid in the tank; broken, cracked, or otherwise damaged seals or gaskets on closure devices; and broken or missing hatches, access covers, caps, or other closure devices.
2. The owner or operator shall perform an initial inspection of the external floating roof and its closure devices on or before the date that the tank becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year except for the special conditions provided for in subsection (l) of this section.
3. In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (k) of this section.
4. The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 264.1089(b).
(C) Prior to each inspection required by subsection (f)(3)(A) or (f)(3)(B) of this section, the owner or operator shall notify the Department in advance of each inspection to provide the Department with the opportunity to have an observer present during the inspection. The owner or operator shall notify the Department of the date and location of the inspection as follows:
1. Prior to each inspection to measure external floating roof seal gaps as required under subsection (f)(3)(A) of this section, written notification shall be prepared and sent by the owner or operator so that it is received by the Department at least 30 calendar days before the date the measurements are scheduled to be performed.
2. Prior to each visual inspection of an external floating roof in a tank that has been emptied and degassed, written notification shall be prepared and sent by the owner or operator so that it is received by the Department at least 30 calendar days before refilling the tank except when an inspection is not planned as provided for in subsection (f)(3)(C)3. of this section.
3. When a visual inspection is not planned and the owner or operator could not have known about the inspection 30 calendar days before refilling the tank, the owner or operator shall notify the Department as soon as possible, but no later than 7 calendar days before refilling of the tank. This notification may be made by telephone and immediately followed by a written explanation for why the inspection is unplanned. Alternatively, written notification, including the explanation for the unplanned inspection, may be sent so that it is received by the Department at least 7 calendar days before refilling the tank.
(4) Safety devices, as defined in section 66260.10, may be installed and operated as necessary on any tank complying with the requirements of subsection (f) of this section.
(g) The owner or operator who controls air pollutant emissions from a tank by venting the tank to a control device shall meet the requirements specified in subsections (g)(1) through (g)(3) of this section.
(1) The tank shall be covered by a fixed roof and vented directly through a closed-vent system to a control device in accordance with the following requirements:
(A) The fixed roof and its closure devices shall be designed to form a continuous barrier over the entire surface area of the liquid in the tank.
(B) Each opening in the fixed roof not vented to the control device shall be equipped with a closure device. If the pressure in the vapor headspace underneath the fixed roof is less than atmospheric pressure when the control device is operating, the closure devices shall be designed to operate such that when the closure device is secured in the closed position there are no visible cracks, holes, gaps, or other open spaces in the closure device or between the perimeter of the cover opening and the closure device. If the pressure in the vapor headspace underneath the fixed roof is equal to or greater than atmospheric pressure when the control device is operating, the closure device shall be designed to operate with no detectable organic emissions.
(C) The fixed roof and its closure devices shall be made of suitable materials that will minimize exposure of the hazardous waste to the atmosphere, to the extent practical, and will maintain the integrity of the fixed roof and closure devices throughout their intended service life. Factors to be considered when selecting the materials for and designing the fixed roof and closure devices shall include: Organic vapor permeability, the effects of any contact with the liquid and its vapor managed in the tank; the effects of outdoor exposure to wind, moisture, and sunlight; and the operating practices used for the tank on which the fixed roof is installed.
(D) The closed-vent system and control device shall be designed and operated in accordance with the requirements of section 66264.1087.
(2) Whenever a hazardous waste is in the tank, the fixed roof shall be installed with each closure device secured in the closed position and the vapor headspace underneath the fixed roof vented to the control device except as follows:
(A) Venting to the control device is not required, and opening of closure devices or removal of the fixed roof is allowed at the following times:
1. To provide access to the tank for performing routine inspection, maintenance, or other activities needed for normal operations. Examples of such activities include those times when a worker needs to open a port to sample liquid in the tank, or when a worker needs to open a hatch to maintain or repair equipment. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable, to the tank.
2. To remove accumulated sludge or other residues from the bottom of a tank.
(B) Opening of a safety device, as defined in section 66260.10, is allowed at any time conditions require doing so to avoid an unsafe condition.
(3) The owner or operator shall inspect and monitor the air emission control equipment in accordance with the following procedures:
(A) The fixed roof and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to, visible cracks, holes, or gaps in the roof sections or between the roof and the tank wall; broken, cracked, or otherwise damaged seals or gaskets on closure devices; and broken or missing hatches, access covers, caps, or other closure devices.
(B) The closed-vent system and control device shall be inspected and monitored by the owner or operator in accordance with the procedures specified in section 66264.1087.
(C) The owner or operator shall perform an initial inspection of the air emission control equipment on or before the date that the tank becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year except for the special conditions provided for in subsection (l) of this section.
(D) In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (k) of this section.
(E) The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66264.1089(b).
(h) The owner or operator who controls air pollutant emissions by using a pressure tank shall meet the following requirements.
(1) The tank shall be designed not to vent to the atmosphere as a result of compression of the vapor headspace in the tank during filling of the tank to its design capacity.
(2) All tank openings shall be equipped with closure devices designed to operate with no detectable organic emissions as determined using the procedure specified in section 66264.1083(d).
(3) Whenever a hazardous waste is in the tank, the tank shall be operated as a closed system that does not vent to the atmosphere except under either of the following conditions as specified in paragraph (h)(3)(A) or (h)(3)(B) of this section.
(A) At those times when opening of a safety device, as defined in section 66260.10, is required to avoid an unsafe condition.
(B) At those times when purging of inerts from the tank is required and the purge stream is routed to a closed-vent system and control device designed and operated in accordance with the requirements of section 66264.1087.
(i) The owner or operator who controls air pollutant emissions by using an enclosure vented through a closed-vent system to an enclosed combustion control device shall meet the requirements specified in subsections (i)(1) through (i)(4) of this section.
(1) The tank shall be located inside an enclosure. The enclosure shall be designed and operated in accordance with the criteria for a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, appendix B. The enclosure may have permanent or temporary openings to allow worker access; passage of material into or out of the enclosure by conveyor, vehicles, or other mechanical means; entry of permanent mechanical or electrical equipment; or direct airflow into the enclosure. The owner or operator shall perform the verification procedure for the enclosure as specified in Section 5.0 to “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” initially when the enclosure is first installed and, thereafter, annually.
(2) The enclosure shall be vented through a closed-vent system to an enclosed combustion control device that is designed and operated in accordance with the standards for either a vapor incinerator, boiler, or process heater specified in section 66264.1087.
(3) Safety devices, as defined in section 66260.10, may be installed and operated as necessary on any enclosure, closed-vent system, or control device used to comply with the requirements of subsections (i)(1) and (i)(2) of this section.
(4) The owner or operator shall inspect and monitor the closed-vent system and control device as specified in section 66264.1087.
(j) The owner or operator shall transfer hazardous waste to a tank subject to this section in accordance with the following requirements:
(1) Transfer of hazardous waste, except as provided in subsection (j)(2) of this section, to the tank from another tank subject to this section or from a surface impoundment subject to section 66264.1085 shall be conducted using continuous hard-piping or another closed system that does not allow exposure of the hazardous waste to the atmosphere. For the purpose of complying with this provision, an individual drain system is considered to be a closed system when it meets the requirements of 40 CFR part 63, subpart RR--National Emission Standards for Individual Drain Systems.
(2) The requirements of subsection (j)(1) of this section do not apply when transferring a hazardous waste to the tank under any of the following conditions:
(A) The hazardous waste meets the average VO concentration conditions specified in section 66264.1082(c)(1) at the point of waste origination.
(B) The hazardous waste has been treated by an organic destruction or removal process to meet the requirements in 66264.1082(c)(2).
(C) The hazardous waste meets the requirements of section 66264.1082(c)(4).
(k) The owner or operator shall repair each defect detected during an inspection performed in accordance with the requirements of subsection (c)(4), (e)(3), (f)(3), or (g)(3) of this section as follows:
(1) The owner or operator shall make first efforts at repair of the defect no later than 5 calendar days after detection, and repair shall be completed as soon as possible but no later than 45 calendar days after detection except as provided in subsection (k)(2) of this section.
(2) Repair of a defect may be delayed beyond 45 calendar days if the owner or operator determines that repair of the defect requires emptying or temporary removal from service of the tank and no alternative tank capacity is available at the site to accept the hazardous waste normally managed in the tank. In this case, the owner or operator shall repair the defect the next time the process or unit that is generating the hazardous waste managed in the tank stops operation. Repair of the defect shall be completed before the process or unit resumes operation.
(l) Following the initial inspection and monitoring of the cover as required by the applicable provisions of this article, subsequent inspection and monitoring may be performed at intervals longer than 1 year under the following special conditions:
(1) In the case when inspecting or monitoring the cover would expose a worker to dangerous, hazardous, or other unsafe conditions, then the owner or operator may designate a cover as an “unsafe to inspect and monitor cover” and comply with all of the following requirements:
(A) Prepare a written explanation for the cover stating the reasons why the cover is unsafe to visually inspect or to monitor, if required.
(B) Develop and implement a written plan and schedule to inspect and monitor the cover, using the procedures specified in the applicable section of this article, as frequently as practicable during those times when a worker can safely access the cover.
(2) In the case when a tank is buried partially or entirely underground, an owner or operator is required to inspect and monitor, as required by the applicable provisions of this section, only those portions of the tank cover and those connections to the tank (e.g., fill ports, access hatches, gauge wells, etc.) that are located on or above the ground surface.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.1084.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Change without regulatory effect amending subsections (h)(3) and adding subsections (h)(3)(A)-(B) filed 8-3-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 31).
§66264.1085. Standards: Surface Impoundments.
Note     •     History

(a) The provisions of this section apply to the control of air pollutant emissions from surface impoundments for which section 66264.1082(b) references the use of this section for such air emission control.
(b) The owner or operator shall control air pollutant emissions from the surface impoundment by installing and operating either of the following:
(1) A floating membrane cover in accordance with the provisions specified in subsection (c) of this section; or
(2) A cover that is vented through a closed-vent system to a control device in accordance with the provisions specified in subsection (d) of this section.
(c) The owner or operator who controls air pollutant emissions from a surface impoundment using a floating membrane cover shall meet the requirements specified in subsections (c)(1) through (c)(3) of this section.
(1) The surface impoundment shall be equipped with a floating membrane cover designed to meet the following specifications:
(A) The floating membrane cover shall be designed to float on the liquid surface during normal operations and form a continuous barrier over the entire surface area of the liquid.
(B) The cover shall be fabricated from a synthetic membrane material that is either:
1. High density polyethylene (HDPE) with a thickness no less than 2.5 millimeters (mm); or
2. A material or a composite of different materials determined to have both organic permeability properties that are equivalent to those of the material listed in subsection (c)(1)(B)1. of this section and chemical and physical properties that maintain the material integrity for the intended service life of the material.
(C) The cover shall be installed in a manner such that there are no visible cracks, holes, gaps, or other open spaces between cover section seams or between the interface of the cover edge and its foundation mountings.
(D) Except as provided for in subsection (c)(1)(E) of this section, each opening in the floating membrane cover shall be equipped with a closure device designed to operate such that when the closure device is secured in the closed position there are no visible cracks, holes, gaps, or other open spaces in the closure device or between the perimeter of the cover opening and the closure device.
(E) The floating membrane cover may be equipped with one or more emergency cover drains for removal of stormwater. Each emergency cover drain shall be equipped with a slotted membrane fabric cover that covers at least 90 percent of the area of the opening or a flexible fabric sleeve seal.
(F) The closure devices shall be made of suitable materials that will minimize exposure of the hazardous waste to the atmosphere, to the extent practical, and will maintain the integrity of the closure devices throughout their intended service life. Factors to be considered when selecting the materials of construction and designing the cover and closure devices shall include: Organic vapor permeability; the effects of any contact with the liquid and its vapor managed in the surface impoundment; the effects of outdoor exposure to wind, moisture, and sunlight; and the operating practices used for the surface impoundment on which the floating membrane cover is installed.
(2) Whenever a hazardous waste is in the surface impoundment, the floating membrane cover shall float on the liquid and each closure device shall be secured in the closed position except as follows:
(A) Opening of closure devices or removal of the cover is allowed at the following times:
1. To provide access to the surface impoundment for performing routine inspection, maintenance, or other activities needed for normal operations. Examples of such activities include those times when a worker needs to open a port to sample the liquid in the surface impoundment, or when a worker needs to open a hatch to maintain or repair equipment. Following completion of the activity, the owner or operator shall promptly replace the cover and secure the closure device in the closed position, as applicable.
2. To remove accumulated sludge or other residues from the bottom of surface impoundment.
(B) Opening of a safety device, as defined in section 66260.10, is allowed at any time conditions require doing so to avoid an unsafe condition.
(3) The owner or operator shall inspect the floating membrane cover in accordance with the following procedures:
(A) The floating membrane cover and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to, visible cracks, holes, or gaps in the cover section seams or between the interface of the cover edge and its foundation mountings; broken, cracked, or otherwise damaged seals or gaskets on closure devices; and broken or missing hatches, access covers, caps, or other closure devices.
(B) The owner or operator shall perform an initial inspection of the floating membrane cover and its closure devices on or before the date that the surface impoundment becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year except for the special conditions provided for in subsection (g) of this section.
(C) In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (f) of this section.
(D) The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66264.1089(c).
(d) The owner or operator who controls air pollutant emissions from a surface impoundment using a cover vented to a control device shall meet the requirements specified in subsections (d)(1) through (d)(3) of this section.
(1) The surface impoundment shall be covered by a cover and vented directly through a closed-vent system to a control device in accordance with the following requirements:
(A) The cover and its closure devices shall be designed to form a continuous barrier over the entire surface area of the liquid in the surface impoundment.
(B) Each opening in the cover not vented to the control device shall be equipped with a closure device. If the pressure in the vapor headspace underneath the cover is less than atmospheric pressure when the control device is operating, the closure devices shall be designed to operate such that when the closure device is secured in the closed position there are no visible cracks, holes, gaps, or other open spaces in the closure device or between the perimeter of the cover opening and the closure device. If the pressure in the vapor headspace underneath the cover is equal to or greater than atmospheric pressure when the control device is operating, the closure device shall be designed to operate with no detectable organic emissions using the procedure specified in section 66264.1083(d).
(C) The cover and its closure devices shall be made of suitable materials that will minimize exposure of the hazardous waste to the atmosphere, to the extent practical, and will maintain the integrity of the cover and closure devices throughout their intended service life. Factors to be considered when selecting the materials of construction and designing the cover and closure devices shall include: Organic vapor permeability; the effects of any contact with the liquid or its vapors managed in the surface impoundment; the effects of outdoor exposure to wind, moisture, and sunlight; and the operating practices used for the surface impoundment on which the cover is installed.
(D) The closed-vent system and control device shall be designed and operated in accordance with the requirements of section 66264.1087.
(2) Whenever a hazardous waste is in the surface impoundment, the cover shall be installed with each closure device secured in the closed position and the vapor headspace underneath the cover vented to the control device except as follows:
(A) Venting to the control device is not required, and opening of closure devices or removal of the cover is allowed at the following times:
1. To provide access to the surface impoundment for performing routine inspection, maintenance, or other activities needed for normal operations. Examples of such activities include those times when a worker needs to open a port to sample liquid in the surface impoundment, or when a worker needs to open a hatch to maintain or repair equipment. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable, to the surface impoundment.
2. To remove accumulated sludge or other residues from the bottom of the surface impoundment.
(B) Opening of a safety device, as defined in section 66260.10, is allowed at any time conditions require doing so to avoid an unsafe condition.
(3) The owner or operator shall inspect and monitor the air emission control equipment in accordance with the following procedures:
(A) The surface impoundment cover and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to, visible cracks, holes, or gaps in the cover section seams or between the interface of the cover edge and its foundation mountings; broken, cracked, or otherwise damaged seals or gaskets on closure devices; and broken or missing hatches, access covers, caps, or other closure devices.
(B) The closed-vent system and control device shall be inspected and monitored by the owner or operator in accordance with the procedures specified in section 66264.1087.
(C) The owner or operator shall perform an initial inspection of the air emission control equipment on or before the date that the surface impoundment becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year except for the special conditions provided for in subsection (g) of this section.
(D) In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (f) of this section.
(E) The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66264.1089(c).
(e) The owner or operator shall transfer hazardous waste to a surface impoundment subject to this section in accordance with the following requirements:
(1) Transfer of hazardous waste, except as provided in subsection (e)(2) of this section, to the surface impoundment from another surface impoundment subject to this section or from a tank subject to section 66264.1084 shall be conducted using continuous hard-piping or another closed system that does not allow exposure of the waste to the atmosphere. For the purpose of complying with this provision, an individual drain system is considered to be a closed system when it meets the requirements of 40 CFR part 63, subpart RR--National Emission Standards for Individual Drain Systems.
(2) The requirements of subsection (e)(1) of this section do not apply when transferring a hazardous waste to the surface impoundment under either of the following conditions:
(A) The hazardous waste meets the average VO concentration conditions specified in section 66264.1082(c)(1) at the point of waste origination.
(B) The hazardous waste has been treated by an organic destruction or removal process to meet the requirements in section 66264.1082(c)(2).
(C) The hazardous waste meets the requirements of Section 66264.1082(c)(4).
(f) The owner or operator shall repair each defect detected during an inspection performed in accordance with the requirements of subsection (c)(3) or (d)(3) of this section as follows:
(1) The owner or operator shall make first efforts at repair of the defect no later than 5 calendar days after detection and repair shall be completed as soon as possible but no later than 45 calendar days after detection except as provided in subsection (f)(2) of this section.
(2) Repair of a defect may be delayed beyond 45 calendar days if the owner or operator determines that repair of the defect requires emptying or temporary removal from service of the surface impoundment and no alternative capacity is available at the site to accept the hazardous waste normally managed in the surface impoundment. In this case, the owner or operator shall repair the defect the next time the process or unit that is generating the hazardous waste managed in the surface impoundment stops operation. Repair of the defect shall be completed before the process or unit resumes operation.
(g) Following the initial inspection and monitoring of the cover as required by the applicable provisions of this article, subsequent inspection and monitoring may be performed at intervals longer than 1 year in the case when inspecting or monitoring the cover would expose a worker to dangerous, hazardous, or other unsafe conditions. In this case, the owner or operator may designate the cover as an “unsafe to inspect and monitor cover” and comply with all of the following requirements:
(1) Prepare a written explanation for the cover stating the reasons why the cover is unsafe to visually inspect or to monitor, if required.
(2) Develop and implement a written plan and schedule to inspect and monitor the cover using the procedures specified in the applicable section of this article as frequently as practicable during those times when a worker can safely access the cover.
NOTE

Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.1085.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1086. Standards: Containers.
Note     •     History

(a) The provisions of this section apply to the control of air pollutant emissions from containers for which section 66264.1082(b) references the use of this section for such air emission control.
(b) General requirements.
(1) The owner or operator shall control air pollutant emissions from each container subject to this section in accordance with the following requirements, as applicable to the container, except when the special provisions for waste stabilization processes specified in subsection (b)(2) of this section apply to the container.
(A) For a container having a design capacity greater than 0.1 m3 and less than or equal to 0.46 m3, the owner or operator shall control air pollutant emissions from the container in accordance with the Container Level 1 standards specified in subsection (c) of this section.
(B) For a container having a design capacity greater than 0.46 m3 that is not in light material service, the owner or operator shall control air pollutant emissions from the container in accordance with the Container Level 1 standards specified in subsection (c) of this section.
(C) For a container having a design capacity greater than 0.46 m3 that is in light material service, the owner or operator shall control air pollutant emissions from the container in accordance with the Container Level 2 standards specified in subsection (d) of this section.
(2) When a container having a design capacity greater than 0.1 m3 is used for treatment of a hazardous waste by a waste stabilization process, the owner or operator shall control air pollutant emissions from the container in accordance with the Container Level 3 standards specified in subsection (e) of this section at those times during the waste stabilization process when the hazardous waste in the container is exposed to the atmosphere.
(c) Container Level 1 standards.
(1) A container using Container Level 1 controls is one of the following:
(A) A container that meets the applicable U.S. Department of Transportation (DOT) regulations on packaging hazardous materials for transportation as specified in subsection (f) of this section.
(B) A container equipped with a cover and closure devices that form a continuous barrier over the container openings such that when the cover and closure devices are secured in the closed position there are no visible holes, gaps, or other open spaces into the interior of the container. The cover may be a separate cover installed on the container (e.g., a lid on a drum or a suitably secured tarp on a roll-off box) or may be an integral part of the container structural design (e.g., a “portable tank” or bulk cargo container equipped with a screw-type cap).
(C) An open-top container in which an organic-vapor suppressing barrier is placed on or over the hazardous waste in the container such that no hazardous waste is exposed to the atmosphere. One example of such a barrier is application of a suitable organic-vapor suppressing foam.
(2) A container used to meet the requirements of subsection (c)(1)(B) or (c)(1)(C) shall be equipped with covers and closure devices, as applicable to the container, that are composed of suitable materials to minimize exposure of the hazardous waste to the atmosphere and to maintain the equipment integrity, for as long as the container is in service. Factors to be considered in selecting the materials of construction and designing the cover and closure devices shall include: Organic vapor permeability; the effects of contact with the hazardous waste or its vapor managed in the container; the effects of outdoor exposure of the closure device or cover material to wind, moisture, and sunlight; and the operating practices for which the container is intended to be used.
(3) Whenever a hazardous waste is in a container using Container Level 1 controls, the owner or operator shall install all covers and closure devices for the container, as applicable to the container, and secure and maintain each closure device in the closed position except as follows:
(A) Opening of a closure device or cover is allowed for the purpose of adding hazardous waste or other material to the container as follows:
1. In the case when the container is filled to the intended final level in one continuous operation, the owner or operator shall promptly secure the closure devices in the closed position and install the covers, as applicable to the container, upon conclusion of the filling operation.
2. In the case when discrete quantities or batches of material intermittently are added to the container over a period of time, the owner or operator shall promptly secure the closure devices in the closed position and install covers, as applicable to the container, upon either the container being filled to the intended final level; the completion of a batch loading after which no additional material will be added to the container within 15 minutes; the person performing the loading operation leaving the immediate vicinity of the container; or the shutdown of the process generating the material being added to the container, whichever condition occurs first.
(B) Opening of a closure device or cover is allowed for the purpose of removing hazardous waste from the container as follows:
1. For the purpose of meeting the requirements of this section, an empty container as defined in section 66261.7(b) may be open to the atmosphere at any time (i.e., covers and closure devices are not required to be secured in the closed position on an empty container).
2. In the case when discrete quantities or batches of material are removed from the container but the container does not meet the conditions to be an empty container as defined in section 66261.7(b), the owner or operator shall promptly secure the closure devices in the closed position and install covers, as applicable to the container, upon the completion of a batch removal after which no additional material will be removed from the container within 15 minutes or the person performing the unloading operation leaves the immediate vicinity of the container, whichever condition occurs first.
(C) Opening of a closure device or cover is allowed when access inside the container is needed to perform routine activities other than transfer of hazardous waste. Examples of such activities include those times when a worker needs to open a port to measure the depth of or sample the material in the container, or when a worker needs to open a manhole hatch to access equipment inside the container. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable to the container.
(D) Opening of a spring-loaded pressure-vacuum relief valve, conservation vent, or similar type of pressure relief device which vents to the atmosphere is allowed during normal operations for the purpose of maintaining the internal pressure of the container in accordance with the container design specifications. The device shall be designed to operate with no detectable organic emissions when the device is secured in the closed position. The settings at which the device opens shall be established such that the device remains in the closed position whenever the internal pressure of the container is within the internal pressure operating range determined by the owner or operator based on container manufacturer recommendations, applicable regulations, fire protection and prevention codes, standard engineering codes and practices, or other requirements for the safe handling of flammable, ignitable, explosive, reactive, or hazardous materials. Examples of normal operating conditions that may require these devices to open are during those times when the internal pressure of the container exceeds the internal pressure operating range for the container as a result of loading operations or diurnal ambient temperature fluctuations.
(E) Opening of a safety device, as defined in section 66260.10, is allowed at any time conditions require doing so to avoid an unsafe condition.
(4) The owner or operator of containers using Container Level 1 controls shall inspect the containers and their covers and closure devices as follows:
(A) In the case when a hazardous waste already is in the container at the time the owner or operator first accepts possession of the container at the facility and the container is not emptied within 24 hours after the container is accepted at the facility (i.e., does not meet the conditions for an empty container as specified in 66261.7(b)), the owner or operator shall visually inspect the container and its cover and closure devices to check for visible cracks, holes, gaps, or other open spaces into the interior of the container when the cover and closure devices are secured in the closed position. The container visual inspection shall be conducted on or before the date that the container is accepted at the facility (i.e., the date the container becomes subject to the chapter 30 container standards). For purposes of this requirement, the date of acceptance is the date of signature that the facility owner or operator enters on Item 20 of the Uniform Hazardous Waste Manifest in the appendix to chapter 12 (EPA Forms 8700-22 and 8700-22A), as required under section 66264.71. If a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (c)(4)(C) of this section.
(B) In the case when a container used for managing hazardous waste remains at the facility for a period of 1 year or more, the owner or operator shall visually inspect the container and its cover and closure devices initially and thereafter, at least once every 12 months, to check for visible cracks, holes, gaps, or other open spaces into the interior of the container when the cover and closure devices are secured in the closed position. If a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (c)(4)(C) of this section.
(C) When a defect is detected for the container, cover, or closure devices, the owner or operator shall make first efforts at repair of the defect no later than 24 hours after detection and repair shall be completed as soon as possible but no later than 5 calendar days after detection. If repair of a defect cannot be completed within 5 calendar days, then the hazardous waste shall be removed from the container and the container shall not be used to manage hazardous waste until the defect is repaired.
(5) The owner or operator shall maintain at the facility a copy of the procedure used to determine that containers with capacity of 0.46 m3 or greater, which do not meet applicable DOT regulations as specified in subsection (f) of this section, are not managing hazardous waste in light material service.
(d) Container Level 2 standards.
(1) A container using Container Level 2 controls is one of the following:
(A) A container that meets the applicable U.S. Department of Transportation (DOT) regulations on packaging hazardous materials for transportation as specified in subsection (f) of this section.
(B) A container that operates with no detectable organic emissions as defined in section 66260.10 and determined in accordance with the procedure specified in subsection (g) of this section.
(C) A container that has been demonstrated within the preceding 12 months to be vapor-tight by using 40 CFR part 60, appendix A, Method 27 in accordance with the procedure specified in subsection (h) of this section.
(2) Transfer of hazardous waste in or out of a container using Container Level 2 controls shall be conducted in such a manner as to minimize exposure of the hazardous waste to the atmosphere, to the extent practical, considering the physical properties of the hazardous waste and good engineering and safety practices for handling flammable, ignitable, explosive, reactive, or other hazardous materials. Examples of container loading procedures that the Department considers to meet the requirements of this subsection include using any one of the following: A submerged-fill pipe or other submerged-fill method to load liquids into the container; a vapor-balancing system or a vapor-recovery system to collect and control the vapors displaced from the container during filling operations; or a fitted opening in the top of a container through which the hazardous waste is filled and subsequently purging the transfer line before removing it from the container opening.
(3) Whenever a hazardous waste is in a container using Container Level 2 controls, the owner or operator shall install all covers and closure devices for the container, and secure and maintain each closure device in the closed position except as follows:
(A) Opening of a closure device or cover is allowed for the purpose of adding hazardous waste or other material to the container as follows:
1. In the case when the container is filled to the intended final level in one continuous operation, the owner or operator shall promptly secure the closure devices in the closed position and install the covers, as applicable to the container, upon conclusion of the filling operation.
2. In the case when discrete quantities or batches of material intermittently are added to the container over a period of time, the owner or operator shall promptly secure the closure devices in the closed position and install covers, as applicable to the container, upon either the container being filled to the intended final level; the completion of a batch loading after which no additional material will be added to the container within 15 minutes; the person performing the loading operation leaving the immediate vicinity of the container; or the shutdown of the process generating the material being added to the container, whichever condition occurs first.
(B) Opening of a closure device or cover is allowed for the purpose of removing hazardous waste from the container as follows:
1. For the purpose of meeting the requirements of this section, an empty container as defined in section 66261.7(b) may be open to the atmosphere at any time (i.e., covers and closure devices are not required to be secured in the closed position on an empty container).
2. In the case when discrete quantities or batches of material are removed from the container but the container does not meet the conditions to be an empty container as defined in section 66261.7(b), the owner or operator shall promptly secure the closure devices in the closed position and install covers, as applicable to the container, upon the completion of a batch removal after which no additional material will be removed from the container within 15 minutes or the person performing the unloading operation leaves the immediate vicinity of the container, whichever condition occurs first.
(C) Opening of a closure device or cover is allowed when access inside the container is needed to perform routine activities other than transfer of hazardous waste. Examples of such activities include those times when a worker needs to open a port to measure the depth of or sample the material in the container, or when a worker needs to open a manhole hatch to access equipment inside the container. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable to the container.
(D) Opening of a spring-loaded, pressure-vacuum relief valve, conservation vent, or similar type of pressure relief device which vents to the atmosphere is allowed during normal operations for the purpose of maintaining the internal pressure of the container in accordance with the container design specifications. The device shall be designed to operate with no detectable organic emission when the device is secured in the closed position. The settings at which the device opens shall be established such that the device remains in the closed position whenever the internal pressure of the container is within the internal pressure operating range determined by the owner or operator based on container manufacturer recommendations, applicable regulations, fire protection and prevention codes, standard engineering codes and practices, or other requirements for the safe handling of flammable, ignitable, explosive, reactive, or hazardous materials. Examples of normal operating conditions that may require these devices to open are during those times when the internal pressure of the container exceeds the internal pressure operating range for the container as a result of loading operations or diurnal ambient temperature fluctuations.
(E) Opening of a safety device, as defined in section 66260.10, is allowed at any time conditions require doing so to avoid an unsafe condition.
(4) The owner or operator of containers using Container Level 2 controls shall inspect the containers and their covers and closure devices as follows:
(A) In the case when a hazardous waste already is in the container at the time the owner or operator first accepts possession of the container at the facility and the container is not emptied within 24 hours after the container is accepted at the facility (i.e., does not meet the conditions for an empty container as specified in section 66261.7(b)), the owner or operator shall visually inspect the container and its cover and closure devices to check for visible cracks, holes, gaps, or other open spaces into the interior of the container when the cover and closure devices are secured in the closed position. The container visual inspection shall be conducted on or before the date that the container is accepted at the facility (i.e., the date the container becomes subject to the chapter 30 container standards). For purposes of this requirement, the date of acceptance is the date of signature that the facility owner or operator enters on Item 20 of the Uniform Hazardous Waste Manifest in the appendix to chapter 12 (EPA Forms 8700-22 and 8700-22A), as required under section 66264.71. If a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (d)(4)(C) of this section.
(B) In the case when a container used for managing hazardous waste remains at the facility for a period of 1 year or more, the owner or operator shall visually inspect the container and its cover and closure devices initially and thereafter, at least once every 12 months, to check for visible cracks, holes, gaps, or other open spaces into the interior of the container when the cover and closure devices are secured in the closed position. If a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (d)(4)(C) of this section.
(C) When a defect is detected for the container, cover, or closure devices, the owner or operator shall make first efforts at repair of the defect no later than 24 hours after detection, and repair shall be completed as soon as possible but no later than 5 calendar days after detection. If repair of a defect cannot be completed within 5 calendar days, then the hazardous waste shall be removed from the container and the container shall not be used to manage hazardous waste until the defect is repaired.
(e) Container Level 3 standards.
(1) A container using Container Level 3 controls is one of the following:
(A) A container that is vented directly through a closed-vent system to a control device in accordance with the requirements of subsection (e)(2)(B) of this section.
(B) A container that is vented inside an enclosure which is exhausted through a closed-vent system to a control device in accordance with the requirements of subsections (e)(2)(A) and (e)(2)(B) of this section.
(2) The owner or operator shall meet the following requirements, as applicable to the type of air emission control equipment selected by the owner or operator:
(A) The container enclosure shall be designed and operated in accordance with the criteria for a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, appendix B. The enclosure may have permanent or temporary openings to allow worker access; passage of containers through the enclosure by conveyor or other mechanical means; entry of permanent mechanical or electrical equipment; or direct airflow into the enclosure. The owner or operator shall perform the verification procedure for the enclosure as specified in Section 5.0 to “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” initially when the enclosure is first installed and, thereafter, annually.
(B) The closed-vent system and control device shall be designed and operated in accordance with the requirements of section 66264.1087.
(3) Safety devices, as defined in section 66260.10, may be installed and operated as necessary on any container, enclosure, closed-vent system, or control device used to comply with the requirements of subsection (e)(1) of this section.
(4) Owners and operators using Container Level 3 controls in accordance with the provisions of this article shall inspect and monitor the closed-vent systems and control devices as specified in section 66264.1087.
(5) Owners and operators that use Container Level 3 controls in accordance with the provisions of this article shall prepare and maintain the records specified in section 66264.1089(d).
(6) Transfer of hazardous waste in or out of a container using Container Level 3 controls shall be conducted in such a manner as to minimize exposure of the hazardous waste to the atmosphere, to the extent practical, considering the physical properties of the hazardous waste and good engineering and safety practices for handling flammable, ignitable, explosive, reactive, or other hazardous materials. Examples of container loading procedures that the EPA considers to meet the requirements of this paragraph include using any one of the following: A submerged-fill pipe or other submerged-fill method to load liquids into the container; a vapor-balancing system or a vapor-recovery system to collect and control the vapors displaced from the container during filling operations; or a fitted opening in the top of a container through which the hazardous waste is filled and subsequently purging the transfer line before removing it from the container opening.
(f) For the purpose of compliance with subsection (c)(1)(A) or (d)(1)(A) of this section, containers shall be used that meet the applicable U.S. Department of Transportation (DOT) regulations on packaging hazardous materials for transportation as follows:
(1) The container meets the applicable requirements specified in 49 CFR part 178--Specifications for Packaging or 49 CFR part 179--Specifications for Tank Cars.
(2) Hazardous waste is managed in the container in accordance with the applicable requirements specified in 49 CFR part 107, subpart B--Exemptions; 49 CFR part 172--Hazardous Materials Table, Special Provisions, Hazardous Materials Communications, Emergency Response Information, and Training Requirements; 49 CFR part 173--Shippers--General Requirements for Shipments and Packages; and 49 CFR part 180--Continuing Qualification and Maintenance of Packagings.
(3) For the purpose of complying with this article, no exceptions to the 49 CFR part 178 or part 179 regulations are allowed except as provided for in subsection (f)(4) of this section.
(4) For a lab pack that is managed in accordance with the requirements of 49 CFR part 178 for the purpose of complying with this article, an owner or operator may comply with the exceptions for combination packagings specified in 49 CFR 173.12(b).
(g) To determine compliance with the no detectable organic emissions requirement of subsection (d)(1)(B) of this section, the procedure specified in section 66264.1083(d) of this article shall be used.
(1) Each potential leak interface (i.e., a location where organic vapor leakage could occur) on the container, its cover, and associated closure devices, as applicable to the container, shall be checked. Potential leak interfaces that are associated with containers include, but are not limited to: The interface of the cover rim and the container wall; the periphery of any opening on the container or container cover and its associated closure device; and the sealing seat interface on a spring-loaded pressure-relief valve.
(2) The test shall be performed when the container is filled with a material having a volatile organic concentration representative of the range of volatile organic concentrations for the hazardous wastes expected to be managed in this type of container. During the test, the container cover and closure devices shall be secured in the closed position.
(h) Procedure for determining a container to be vapor-tight using Method 27 of 40 CFR part 60, appendix A for the purpose of complying with subsection (d)(1)(C) of this section.
(1) The test shall be performed in accordance with Method 27 of 40 CFR part 60, appendix A of this chapter.
(2) A pressure measurement device shall be used that has a precision of +2.5 mm water and that is capable of measuring above the pressure at which the container is to be tested for vapor tightness.
(3) If the test results determined by Method 27 indicate that the container sustains a pressure change less than or equal to 750 Pascals within 5 minutes after it is pressurized to a minimum of 4,500 Pascals, then the container is determined to be vapor-tight.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.1085.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Change without regulatory effect adding subsection (e)(6) filed 8-3-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 31).
§66264.1087. Standards: Closed-vent Systems and Control Devices.
Note     •     History

(a) This section applies to each closed-vent system and control device installed and operated by the owner or operator to control air emissions in accordance with standards of this article.
(b) The closed-vent system shall meet the following requirements:
(1) The closed-vent system shall route the gases, vapors, and fumes emitted from the hazardous waste in the waste management unit to a control device that meets the requirements specified in subsection (c) of this section.
(2) The closed-vent system shall be designed and operated in accordance with the requirements specified in section 66264.1033(k).
(3) In the case when the closed-vent system includes bypass devices that could be used to divert the gas or vapor stream to the atmosphere before entering the control device, each bypass device shall be equipped with either a flow indicator as specified in subsection (b)(3)(A) of this section or a seal or locking device as specified in subsection (b)(3)(B) of this section. For the purpose of complying with this subsection, low leg drains, high point bleeds, analyzer vents, open-ended valves or lines, spring loaded pressure relief valves, and other fittings used for safety purposes are not considered to be bypass devices.
(A) If a flow indicator is used to comply with subsection (b)(3) of this section, the indicator shall be installed at the inlet to the bypass line used to divert gases and vapors from the closed-vent system to the atmosphere at a point upstream of the control device inlet. For this subsection, a flow indicator means a device which indicates the presence of either gas or vapor flow in the bypass line.
(B) If a seal or locking device is used to comply with subsection (b)(3) of this section, the device shall be placed on the mechanism by which the bypass device position is controlled (e.g., valve handle, damper lever) when the bypass device is in the closed position such that the bypass device cannot be opened without breaking the seal or removing the lock. Examples of such devices include, but are not limited to, a car-seal or a lock-and-key configuration valve. The owner or operator shall visually inspect the seal or closure mechanism at least once every month to verify that the bypass mechanism is maintained in the closed position.
(4) The closed-vent system shall be inspected and monitored by the owner or operator in accordance with the procedure specified in section 66264.1033(l).
(c) The control device shall meet the following requirements:
(1) The control device shall be one of the following devices:
(A) A control device designed and operated to reduce the total organic content of the inlet vapor stream vented to the control device by at least 95 percent by weight;
(B) An enclosed combustion device designed and operated in accordance with the requirements of section 66264.1033(c); or
(C) A flare designed and operated in accordance with the requirements of section 66264.1033(d).
(2) The owner or operator who elects to use a closed-vent system and control device to comply with the requirements of this section shall comply with the requirements specified in subsections (c)(2)(A) through (c)(2)(F) of this section.
(A) Periods of planned routine maintenance of the control device, during which the control device does not meet the specifications of subsections (c)(1)(A), (c)(1)(B), or (c)(1)(C) of this section, as applicable, shall not exceed 240 hours per year.
(B) The specifications and requirements in subsections (c)(1)(A), (c)(1)(B), and (c)(1)(C) of this section for control devices do not apply during periods of planned routine maintenance.
(C) The specifications and requirements in subsections (c)(1)(A), (c)(1)(B), and (c)(1)(C) of this section for control devices do not apply during a control device system malfunction.
(D) The owner or operator shall demonstrate compliance with the requirements of subsection (c)(2)(A) of this section (i.e., planned routine maintenance of a control device, during which the control device does not meet the specifications of subsections (c)(1)(A), (c)(1)(B), or (c)(1)(C) of this section, as applicable, shall not exceed 240 hours per year) by recording the information specified in section 66264.1089(e)(1)(E).
(E) The owner or operator shall correct control device system malfunctions as soon as practicable after their occurrence in order to minimize excess emissions of air pollutants.
(F) The owner or operator shall operate the closed-vent system such that gases, vapors, or fumes are not actively vented to the control device during periods of planned maintenance or control device system malfunction (i.e., periods when the control device is not operating or not operating normally) except in cases when it is necessary to vent the gases, vapors, and/or fumes to avoid an unsafe condition or to implement malfunction corrective actions or planned maintenance actions.
(3) The owner or operator using a carbon adsorption system to comply with subsection (c)(1) of this section shall operate and maintain the control device in accordance with the following requirements:
(A) Following the initial startup of the control device, all activated carbon in the control device shall be replaced with fresh carbon on a regular basis in accordance with the requirements of section 66264.1033(g) or section 66264.1033(h).
(B) All carbon that is a hazardous waste and that is removed from the control device shall be managed in accordance with the requirements of section 66264.1033(n), regardless of the average volatile organic concentration of the carbon.
(4) An owner or operator using a control device other than a thermal vapor incinerator, flare, boiler, process heater, condenser, or carbon adsorption system to comply with subsection (c)(1) of this section shall operate and maintain the control device in accordance with the requirements of section 66264.1033(j) of this chapter.
(5) The owner or operator shall demonstrate that a control device achieves the performance requirements of subsection (c)(1) of this section as follows:
(A) An owner or operator shall demonstrate using either a performance test as specified in subsection (c)(5)(C) of this section or a design analysis as specified in subsection (c)(5)(D) of this section the performance of each control device except for the following:
1. A flare;
2. A boiler or process heater with a design heat input capacity of 44 megawatts or greater;
3. A boiler or process heater into which the vent stream is introduced with the primary fuel;
4. A boiler or industrial furnace burning hazardous waste for which the owner or operator has been issued a final permit under chapter 20 and has designed and operates the unit in accordance with the requirements of chapter 16, article 8 of this division; or
5. A boiler or industrial furnace burning hazardous waste for which the owner or operator has designed and operates in accordance with the interim status requirements of chapter 16, article 8 of this division.
(B) An owner or operator shall demonstrate the performance of each flare in accordance with the requirements specified in section 66264.1033(e).
(C) For a performance test conducted to meet the requirements of subsection (c)(5)(A) of this section, the owner or operator shall use the test methods and procedures specified in section 66264.1034(c)(1) through (c)(4).
(D) For a design analysis conducted to meet the requirements of subsection (c)(5)(A) of this section, the design analysis shall meet the requirements specified in section 66264.1035(b)(4)(C).
(E) The owner or operator shall demonstrate that a carbon adsorption system achieves the performance requirements of subsection (c)(1) of this section based on the total quantity of organics vented to the atmosphere from all carbon adsorption system equipment that is used for organic adsorption, organic desorption or carbon regeneration, organic recovery, and carbon disposal.
(6) If the owner or operator and the Department do not agree on a demonstration of control device performance using a design analysis then the disagreement shall be resolved using the results of a performance test performed by the owner or operator in accordance with the requirements of subsection (c)(5)(C) of this section. The Department may choose to have an authorized representative observe the performance test.
(7) The closed-vent system and control device shall be inspected and monitored by the owner or operator in accordance with the procedures specified in sections 66264.1033(f)(2) and 66264.1033(l). The readings from each monitoring device required by section 66264.1033(f)(2) shall be inspected at least once each operating day to check control device operation. Any necessary corrective measures shall be immediately implemented to ensure the control device is operated in compliance with the requirements of this section.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.1087.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1088. Inspection and Monitoring Requirements.
Note     •     History

(a) The owner or operator shall inspect and monitor air emission control equipment used to comply with this article in accordance with the applicable requirements specified in sections 66264.1084 through 66264.1087.
(b) The owner or operator shall develop and implement a written plan and schedule to perform the inspections and monitoring required by subsection (a) of this section. The owner or operator shall incorporate this plan and schedule into the facility inspection plan required under section 66264.15.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.1088.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1089. Recordkeeping Requirements.
Note     •     History

(a) Each owner or operator of a facility subject to requirements of this article shall record and maintain the information specified in subsections (b) through (j) of this section, as applicable to the facility. Except for air emission control equipment design documentation and information required by subsections (i) and (j) of this section, records required by this section shall be maintained in the operating record for a minimum of 3 years. Air emission control equipment design documentation shall be maintained in the operating record until the air emission control equipment is replaced or otherwise no longer in service. Information required by subsections (i) and (j) of this section shall be maintained in the operating record for as long as the waste management unit is not using air emission controls specified in sections 66264.1084 through 66264.1087 in accordance with the conditions specified in section 66264.1080(d) or section 66264.1080(b)(7) of this article, respectively.
(b) The owner or operator of a tank using air emission controls in accordance with the requirements of section 66264.1084 shall prepare and maintain records for the tank that include the following information:
(1) For each tank using air emission controls in accordance with the requirements of section 66264.1084, the owner or operator shall record:
(A) A tank identification number (or other unique identification description as selected by the owner or operator).
(B) A record for each inspection required by section 66264.1084 that includes the following information:
1. Date inspection was conducted.
2. For each defect detected during the inspection: The location of the defect, a description of the defect, the date of detection, and corrective action taken to repair the defect. In the event that repair of the defect is delayed in accordance with the requirements of section 66264.1084, the owner or operator shall also record the reason for the delay and the date that completion of repair of the defect is expected.
(2) In addition to the information required by subsection (b)(1) of this section, the owner or operator shall record the following information, as applicable to the tank:
(A) The owner or operator using a fixed roof to comply with the Tank Level 1 control requirements specified in section 66264.1084(c) shall prepare and maintain records for each determination for the maximum organic vapor pressure of the hazardous waste in the tank performed in accordance with the requirements of section 66264.1084(c). The records shall include the date and time the samples were collected, the analysis method used, and the analysis results.
(B) The owner or operator using an internal floating roof to comply with the Tank Level 2 control requirements specified in section 66264.1084(e) shall prepare and maintain documentation describing the floating roof design.
(C) Owners and operators using an external floating roof to comply with the Tank Level 2 control requirements specified in section 66264.1084(f) shall prepare and maintain the following records:
1. Documentation describing the floating roof design and the dimensions of the tank.
2. Records for each seal gap inspection required by section 66264.1084(f)(3) describing the results of the seal gap measurements. The records shall include the date that the measurements were performed, the raw data obtained for the measurements, and the calculations of the total gap surface area. In the event that the seal gap measurements do not conform to the specifications in section 66264.1084(f)(1), the records shall include a description of the repairs that were made, the date the repairs were made, and the date the tank was emptied, if necessary.
(D) Each owner or operator using an enclosure to comply with the Tank Level 2 control requirements specified in section 66264.1084(i) shall prepare and maintain the following records:
1. Records for the most recent set of calculations and measurements performed by the owner or operator to verify that the enclosure meets the criteria of a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, appendix B.
2. Records required for the closed-vent system and control device in accordance with the requirements of subsection (e) of this section.
(c) The owner or operator of a surface impoundment using air emission controls in accordance with the requirements of section 66264.1085 shall prepare and maintain records for the surface impoundment that include the following information:
(1) A surface impoundment identification number (or other unique identification description as selected by the owner or operator).
(2) Documentation describing the floating membrane cover or cover design, as applicable to the surface impoundment, that includes information prepared by the owner or operator or provided by the cover manufacturer or vendor describing the cover design, and certification by the owner or operator that the cover meets the specifications listed in section 66264.1085(c).
(3) A record for each inspection required by section 66264.1085 that includes the following information:
(A) Date inspection was conducted.
(B) For each defect detected during the inspection the following information: The location of the defect, a description of the defect, the date of detection, and corrective action taken to repair the defect. In the event that repair of the defect is delayed in accordance with the provisions of section 66264.1085(f), the owner or operator shall also record the reason for the delay and the date that completion of repair of the defect is expected.
(4) For a surface impoundment equipped with a cover and vented through a closed-vent system to a control device, the owner or operator shall prepare and maintain the records specified in subsection (e) of this section.
(d) The owner or operator of containers using Container Level 3 air emission controls in accordance with the requirements of section 66264.1086 of this subsection shall prepare and maintain records that include the following information:
(1) Records for the most recent set of calculations and measurements performed by the owner or operator to verify that the enclosure meets the criteria of a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, appendix B.
(2) Records required for the closed-vent system and control device in accordance with the requirements of subsection (e) of this section.
(e) The owner or operator using a closed-vent system and control device in accordance with the requirements of section 66264.1087 shall prepare and maintain records that include the following information:
(1) Documentation for the closed-vent system and control device that includes:
(A) Certification that is signed and dated by the owner or operator stating that the control device is designed to operate at the performance level documented by a design analysis as specified in subsection (e)(1)(B) of this section or by performance tests as specified in subsection (e)(1)(C) of this section when the tank, surface impoundment, or container is or would be operating at capacity or the highest level reasonably expected to occur.
(B) If a design analysis is used, then design documentation as specified in section 66264.1035(b)(4). The documentation shall include information prepared by the owner or operator or provided by the control device manufacturer or vendor that describes the control device design in accordance with section 66264.1035(b)(4)(C) and certification by the owner or operator that the control equipment meets the applicable specifications.
(C) If performance tests are used, then a performance test plan as specified in section 66264.1035(b)(3) and all test results.
(D) Information as required by sections 66264.1035(c)(1) and 66264.1035(c)(2), as applicable.
(E) An owner or operator shall record, on a semiannual basis, the information specified in subsections (e)(1)(E)1. and (e)(1)(E)2. of this section for those planned routine maintenance operations that would require the control device not to meet the requirements of section 66264.1087(c)(1)(A), (c)(1)(B), or (c)(1)(C), as applicable.
1. A description of the planned routine maintenance that is anticipated to be performed for the control device during the next 6-month period. This description shall include the type of maintenance necessary, planned frequency of maintenance, and lengths of maintenance periods.
2. A description of the planned routine maintenance that was performed for the control device during the previous 6-month period. This description shall include the type of maintenance performed and the total number of hours during those 6 months that the control device did not meet the requirements of section 66264.1087 (c)(1)(A), (c)(1)(B), or (c)(1)(C), as applicable, due to planned routine maintenance.
(F) An owner or operator shall record the information specified in subsections (e)(1)(F)1. through (e)(1)(F)3. of this section for those unexpected control device system malfunctions that would require the control device not to meet the requirements of section 66264.1087 (c)(1)(A), (c)(1)(B), or (c)(1)(C), as applicable.
1. The occurrence and duration of each malfunction of the control device system.
2. The duration of each period during a malfunction when gases, vapors, or fumes are vented from the waste management unit through the closed-vent system to the control device while the control device is not properly functioning.
3. Actions taken during periods of malfunction to restore a malfunctioning control device to its normal or usual manner of operation.
(G) Records of the management of carbon removed from a carbon adsorption system conducted in accordance with section 66264.1087(c)(3)(B).
(f) The owner or operator of a tank, surface impoundment, or container exempted from standards in accordance with the provisions of section 66264.1082(c) shall prepare and maintain the following records, as applicable:
(1) For tanks, surface impoundments, and containers exempted under the hazardous waste organic concentration conditions specified in section 66264.1082(c)(1) or sections 66264.1082(c)(2)(A) through (c)(2)(F), the owner or operator shall record the information used for each waste determination (e.g., test results, measurements, calculations, and other documentation) in the facility operating log. If analysis results for waste samples are used for the waste determination, then the owner or operator shall record the date, time, and location that each waste sample is collected in accordance with applicable requirements of section 66264.1083.
(2) For tanks, surface impoundments, or containers exempted under the provisions of section 264.1082(c)(2)(G) or section 66264.1082(c)(2)(H), the owner or operator shall record the identification number for the incinerator, boiler, or industrial furnace in which the hazardous waste is treated.
(g) An owner or operator designating a cover as “unsafe to inspect and monitor” pursuant to section 66264.1084(l) or section 66264.1085(g) shall record in a log that is kept in the facility operating record the following information: The identification numbers for waste management units with covers that are designated as “unsafe to inspect and monitor,” the explanation for each cover stating why the cover is unsafe to inspect and monitor, and the plan and schedule for inspecting and monitoring each cover.
(h) The owner or operator of a facility that is subject to this article and to the control device standards in 40 CFR part 60, subpart VV, or 40 CFR part 61, subpart V, may elect to demonstrate compliance with the applicable sections of this article by documentation either pursuant to this article, or pursuant to the provisions of 40 CFR part 60, subpart VV or 40 CFR part 61, subpart V, to the extent that the documentation required by 40 CFR parts 60 or 61 duplicates the documentation required by this section.
(i) For each tank or container not using air emission controls specified in sections 66264.1084 through 66264.1087 in accordance with the conditions specified in section 66264.1080(d), the owner or operator shall record and maintain the following information:
(1) A list of the individual organic peroxide compounds manufactured at the facility that meet the conditions specified in section 66264.1080(d)(1).
(2) A description of how the hazardous waste containing the organic peroxide compounds identified in subsection (i)(1) of this section are managed at the facility in tanks and containers. This description shall include:
(A) For the tanks used at the facility to manage this hazardous waste, sufficient information shall be provided to describe for each tank: A facility identification number for the tank; the purpose and placement of this tank in the management train of this hazardous waste; and the procedures used to ultimately dispose of the hazardous waste managed in the tanks.
(B) For containers used at the facility to manage these hazardous wastes, sufficient information shall be provided to describe: A facility identification number for the container or group of containers; the purpose and placement of this container, or group of containers, in the management train of this hazardous waste; and the procedures used to ultimately dispose of the hazardous waste handled in the containers.
(3) An explanation of why managing the hazardous waste containing the organic peroxide compounds identified in subsection (i)(1) of this section in the tanks and containers as described in subsection (i)(2) of this section would create an undue safety hazard if the air emission controls, as required under sections 66264.1084 through 66264.1087, are installed and operated on these waste management units. This explanation shall include the following information:
(A) For tanks used at the facility to manage these hazardous wastes, sufficient information shall be provided to explain: How use of the required air emission controls on the tanks would affect the tank design features and facility operating procedures currently used to prevent an undue safety hazard during the management of this hazardous waste in the tanks; and why installation of safety devices on the required air emission controls, as allowed under this article, will not address those situations in which evacuation of tanks equipped with these air emission controls is necessary and consistent with good engineering and safety practices for handling organic peroxides.
(B) For containers used at the facility to manage these hazardous wastes, sufficient information shall be provided to explain: How use of the required air emission controls on the containers would affect the container design features and handling procedures currently used to prevent an undue safety hazard during the management of this hazardous waste in the containers; and why installation of safety devices on the required air emission controls, as allowed under this article, will not address those situations in which evacuation of containers equipped with these air emission controls is necessary and consistent with good engineering and safety practices for handling organic peroxides.
(j) For each hazardous waste management unit not using air emission controls specified in sections 66264.1084 through 66264.1087 in accordance with the requirements of section 66264.1080(b)(7), the owner and operator shall record and maintain the following information:
(1) Certification that the waste management unit is equipped with and operating air emission controls in accordance with the requirements of an applicable Clean Air Act regulation codified under 40 CFR part 60, part 61, or part 63.
(2) Identification of the specific requirements codified under 40 CFR part 60, part 61, or part 63 with which the waste management unit is in compliance.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.1089.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66264.1090. Reporting Requirements.
Note     •     History

(a) Each owner or operator managing hazardous waste in a tank, surface impoundment, or container exempted from using air emission controls under the provisions of section 66264.1082(c) shall report to the Department each occurrence when hazardous waste is placed in the waste management unit in noncompliance with the conditions specified in section 66264.1082 (c)(1) or (c)(2), as applicable. Examples of such occurrences include placing in the waste management unit a hazardous waste having an average VO concentration equal to or greater than 500 ppmw at the point of waste origination; or placing in the waste management unit a treated hazardous waste of which the organic content has been reduced by an organic destruction or removal process that fails to achieve the applicable conditions specified in section 66264.1082(c)(2)(A) through (c)(2)(F). The owner or operator shall submit a written report within 15 calendar days of the time that the owner or operator becomes aware of the occurrence. The written report shall contain the EPA identification number, facility name and address, a description of the noncompliance event and the cause, the dates of the noncompliance, and the actions taken to correct the noncompliance and prevent recurrence of the noncompliance. The report shall be signed and dated by an authorized representative of the owner or operator.
(b) Each owner or operator using air emission controls on a tank in accordance with the requirements section 66264.1084(c) shall report to the Department each occurrence when hazardous waste is managed in the tank in noncompliance with the conditions specified in section 66264.1084(b). The owner or operator shall submit a written report within 15 calendar days of the time that the owner or operator becomes aware of the occurrence. The written report shall contain the EPA identification number, facility name and address, a description of the noncompliance event and the cause, the dates of the noncompliance, and the actions taken to correct the noncompliance and prevent recurrence of the noncompliance. The report shall be signed and dated by an authorized representative of the owner or operator.
(c) Each owner or operator using a control device in accordance with the requirements of section 66264.1087 shall submit a semiannual written report to the Department excepted as provided for in subsection (d) of this section. The report shall describe each occurrence during the previous 6-month period when either:
(1) A control device is operated continuously for 24 hours or longer in noncompliance with the applicable operating values defined in section 66264.1035(c)(4); or
(2) A flare is operated with visible emissions for 5 minutes or longer in a two-hour period, as defined in section 66264.1033(d). The report shall describe each occurrence during the previous 6-month period when a control device is operated continuously for 24 hours or longer in noncompliance with the applicable operating values defined in section 66264.1035(c)(4) or when a flare is operated with visible emissions as defined in section 66264.1033(d). The written report shall include the EPA identification number, facility name and address, and an explanation why the control device could not be returned to compliance within 24 hours, and actions taken to correct the noncompliance. The report shall be signed and dated by an authorized representative of the owner or operator.
(d) A report to the Department in accordance with the requirements of subsection (c) of this section is not required for a 6-month period during which all control devices subject to this article are operated by the owner or operator such that:
(1) During no period of 24 hours or longer did a control device operate continuously in noncompliance with the applicable operating values defined in section 66264.1035(c)(4); and
(2) No flare was operated with visible emissions for 5 minutes or longer in a two-hour period, as defined in section 66264.1033(d).
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 264.1090.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
Article 29. Containment Buildings
§66264.1100. Applicability.
Note     •     History

The requirements of this article apply to owners or operators who store or treat hazardous waste in units designed and operated under section 66264.1101. These provisions will become effective on February 18, 1993, although an owner or operator may notify the Department of the owner's or operator's intent to be bound by this article at an earlier time. The owner or operator is not subject to the definition of land disposal in section 66260.10 provided that the unit:
(a) Is a completely enclosed, self-supporting structure that is designed and constructed of manmade materials of sufficient strength and thickness to support themselves, the waste contents, and any personnel and heavy equipment that operate within the unit, and to prevent failure due to pressure gradients, settlement, compression, or uplift, physical contact with the hazardous wastes to which they are exposed; climatic conditions; and the stresses of daily operation, including the movement of heavy equipment within the unit and contact of such equipment with containment walls;
(b) Has a primary barrier that is designed to be sufficiently durable to withstand the movement of personnel, wastes, and handling equipment within the unit;
(c) If the unit is used to manage liquids, has: 
(1) A primary barrier designed and constructed of materials to prevent migration of hazardous constituents into the barrier;
(2) A liquid collection system designed and constructed of materials to minimize the accumulation of liquid on the primary barrier; and 
(3) A secondary containment system designed and constructed of materials to prevent migration of hazardous constituents into the barrier, with a leak detection and liquid collection system capable of detecting, collecting, and removing leaks of hazardous constituents at the earliest practicable time, unless the unit has been granted a variance from the secondary containment system requirements under section 66264.1101(b)(4);
(d) Has controls sufficient to prevent fugitive dust emissions to meet the no visible emission standard in section 66264.1101(c)(1)(D); and
(e) Is designed and operated to ensure containment and prevent the tracking of materials from the unit by personnel or equipment.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 264.1100.
HISTORY

1. New article 29 and section filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New article 29 and section refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New article 29 and section refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New article 29 and section refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order including amendment of first paragraph and subsections (c)(3) and (d) transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
6. Change without regulatory effect amending subsections (a) and (d) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66264.1101. Design and Operating Standards.
Note     •     History

(a) All containment buildings shall comply with the following design standards:
(1) The containment buildings shall be completely enclosed with a floor, walls, and a roof to prevent exposure to the elements, (e.g., precipitation, wind, runon), and to assure containment of managed wastes.
(2) The floor and containment walls of the unit, including the secondary containment system, if required under subsection (b) of this section, shall be designed and constructed of materials of sufficient strength and thickness to support themselves, the waste contents, and any personnel and heavy equipment that operate within the unit, and to prevent failure due to pressure gradients, settlement, compression, or uplift, physical contact with the hazardous wastes to which they are exposed; climatic conditions; and the stresses of daily operation, including the movement of heavy equipment within the unit and contact of such equipment with containment walls. The unit shall be designed so that it has sufficient structural strength to prevent collapse or other failure. All surfaces to be in contact with hazardous wastes shall be chemically compatible with those wastes. The Department will consider standards established by professional organizations generally recognized by the industry, such as the American Concrete Institute (ACI) and the American Society of Testing Materials (ASTM), in judging the structural integrity requirements of this subsection. If appropriate to the nature of the waste management operation to take place in the unit, an exception to the structural strength requirement may be made for light-weight doors and windows that meet the following criteria:
(A) They provide an effective barrier against fugitive dust emissions under subsection (c)(1)(D); and
(B) The unit is designed and operated in a fashion that assures that wastes will not actually come in contact with these openings.
(3) Incompatible hazardous wastes or treatment reagents shall not be placed in the unit or its secondary containment system if they could cause the unit or secondary containment system to leak, corrode, or otherwise fail.
(4) A containment building shall have a primary barrier designed to withstand the movement of personnel, waste, and handling equipment in the unit during  the operating life of the unit and appropriate for the physical and chemical characteristics of the waste to be managed.
(b) For a containment building used to manage hazardous wastes containing free liquids or treated with free liquids (the presence of which is determined by the paint filter test, a visual examination, or other appropriate means), the owner or operator shall include:
(1) A primary barrier designed and constructed of materials to prevent the migration of hazardous constituents into the barrier (e.g. a geomembrane covered by a concrete wear surface).
(2) A liquid collection and removal system to minimize the accumulation of liquid on the primary barrier of the containment building;
(A) The primary barrier shall be sloped to drain liquids to the associated collection system;
(B) Liquids and waste shall be collected and removed to minimize hydraulic head on the containment system at the earliest practicable time.
(3) A secondary containment system including a secondary barrier designed and constructed to prevent migration of hazardous constituents into the barrier, and a leak detection system that is capable of detecting failure of the primary barrier and collecting accumulated hazardous wastes and liquids at the earliest practicable time.
(A) The requirements of the leak detection component of the secondary containment system are satisfied by installation of a system that is, at a minimum:
1. Constructed with a bottom slope of 1 percent or more; and
2. Constructed of a granular drainage material with a hydraulic conductivity of 1X10-2 cm/sec or more and a thickness of 12 inches (30.5 cm) or more, or constructed of synthetic or geonet drainage materials with a transmissivity of 3X10-5 m2/sec or more.
(B) If treatment is to be conducted in the building, an area in which such treatment will be conducted shall be designed to prevent the release of liquids, wet materials, or liquid aerosols to other portions of the building.
(C) The secondary containment system shall be constructed of materials that are chemically resistant to the waste and liquids managed in the containment building and of sufficient strength and thickness to prevent collapse under the pressure exerted by overlaying materials and by any equipment used in the containment building. (Containment buildings can serve as secondary containment systems for tanks placed within the building under certain conditions. A containment building can serve as an external liner system for a tank, provided it meets the requirements of section 66264.193(d)(1). In addition, the containment building shall meet the requirements of section 66264.193(b) and sections 66264.193(c)(1) and (2) to be considered an acceptable secondary containment system for a tank.)
(c) Owners or operators of all containment buildings shall:
(1) Use controls and practices to ensure containment of the hazardous waste within the unit; and, at a minimum:
(A) Maintain the primary barrier to be free of significant cracks, gaps, corrosion, or other deterioration that could cause hazardous waste to be released from the primary barrier;
(B) Maintain the level of the stored/treated hazardous waste within the containment walls of the unit so that the height of any containment wall is not exceeded;
(C) Take measures to prevent the tracking of hazardous waste out of the unit by personnel or by equipment used in handling the waste. An area shall be designated to decontaminate equipment and any rinsate shall be collected and properly managed; and
(D) Take measures to control fugitive dust emissions such that any openings (doors, windows, vents, cracks, etc.) exhibit no visible emissions (see 40 CFR part 60, appendix A, Method 22--Visual Determination of Fugitive Emissions from Material Sources and Smoke Emissions from Flares). In addition, all associated particulate collection devices (e.g., fabric filter, electrostatic precipitator) shall be operated and maintained with sound air pollution control practices (see 40 CFR part 60 subpart 292 for guidance). This state of no visible emissions shall be maintained effectively at all times during routine operating and maintenance conditions, including when vehicles and personnel are entering and exiting the unit;
(2) Obtain certification by a qualified  registered professional engineer that the containment building design meets the requirements of paragraphs (a) through (c) of this section. For units placed into operation prior to February 18, 1993, this certification shall be placed in the facility's operating record (on-site files for generators who are not formally required to have operating records) no later than 60 days after the date of initial operation of the unit. After February 18, 1993, PE certification will be required prior to operation of the unit.
(3) Throughout the active life of the containment building, if the owner or operator detects a condition that could lead to or has caused a release of hazardous waste, the owner or operator shall repair the condition promptly, in accordance with the following procedures.
(A) Upon detection of a condition that has lead to a release of hazardous waste (e.g., upon detection of leakage from the primary barrier) the owner or operator shall:
1. Enter a record of the discovery in the facility operating record;
2. Immediately remove the portion of the containment building affected by the condition from service;
3. Determine what steps shall be taken to repair the containment building, remove any leakage from the secondary collection system, and establish a schedule for accomplishing the cleanup and repairs; and
4. Within 7 days after the discovery of the condition, notify the Department of the condition, and within 14 working days, provide a written notice to the Department with a description of the steps taken to repair the containment building, and the schedule for accomplishing the work.
(B) The Department will review the information submitted, make a determination regarding whether the containment building shall be removed from service completely or partially until repairs and cleanup are complete, and notify the owner or operator of the determination and the underlying rationale in writing;
(C) Upon completing all repairs and cleanup the owner or operator shall notify the Department in writing and provide a verification signed by a qualified, registered professional engineer, that the repairs and cleanup have been completed according to the written plan submitted in accordance with subsection (c)(3)(A)4;
(4) Inspect and record in the facility's operating record, at least once every seven days, data gathered from monitoring equipment and leak detection equipment as well as the containment building and the area immediately surrounding the containment building to detect signs of releases of hazardous waste.
(d) For containment buildings that contain areas both with and without secondary containment, the owner or operator shall:
(1) Design and operate each area in accordance with the requirements enumerated in paragraphs (a) through (c) of this subsection;
(2) Take measures to prevent the release of liquids or wet materials into areas without secondary containment; and
(3) Maintain in the facility's operating log a written description of the operating procedures used to maintain the integrity of areas without secondary containment.
(e) Notwithstanding any other provision of this article, the Department may waive requirements for secondary containment for a permitted containment building where the owner/operator demonstrates that the only free liquids in the unit are limited amounts of dust suppression liquids required to meet occupational health and safety requirements, and where containment of managed wastes and liquids can be assured without a secondary containment system.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 264.1101.
HISTORY

1. New section filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order including amendment of section transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
6. Editorial correction of section heading (Register 96, No. 25).
7. Change without regulatory effect amending subsection (c)(1)(C) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66264.1102. Closure and Post-Closure Care.
Note     •     History

(a) At closure of a containment building, the owner or operator shall remove or decontaminate all waste residues, contaminated containment system components (liners, etc.,) contaminated subsoils, and structures and equipment contaminated with waste and leachate, and manage them as hazardous waste unless section 66261.3(d) applies. The closure plan, closure activities, cost estimates for closure, and financial responsibility for containment buildings shall meet all of the requirements specified in articles 7 and 8 of this chapter.
(b) If, after removing or decontaminating all residues and making all reasonable efforts to effect removal or decontamination of contaminated components, subsoils, structures, and equipment as required in paragraph (a) of this subsection, the owner or operator finds that not all contaminated subsoils can be practicably removed or decontaminated, the owner or operator shall close the facility and perform post-closure care in accordance with the closure and post-closure requirements that apply to landfills (section 66264.310). In addition, for the purposes of closure, post-closure, and financial responsibility, such a containment building is then considered to be a landfill, and the owner or operator shall meet all of the requirements for landfills specified in articles 7 and 8 of this chapter.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 264.1102.
HISTORY

1. New section filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order including amendments to subsections (a) and (b) transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
6. Editorial correction of section heading (Register 96, No. 25).
§66264.1103 - 66264.1110. [Reserved].

NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code: 40 CFR Sections 264.1102 and 264.1103-1110.
Chapter 15. Interim Status Standards for Owners and Operators of Hazardous Waste Transfer, Treatment, Storage, and Disposal Facilities
Article 1. General
§66265.1. Purpose, Scope, and Applicability.
Note     •     History

(a) The purpose of this chapter is to establish minimum standards that define the acceptable management of hazardous waste during the period of interim status and until certification of final closure or, if the facility is subject to post-closure requirements, until post-closure responsibilities are fulfilled.
(b) Except as provided in section 66265.1080(b), the standards of this chapter, and of article 15.5 of chapter 14 of this division, apply to owners and operators of facilities that transfer, treat, store or dispose of hazardous waste who have fully complied with the requirements for interim status under Health and Safety Code section 25200.5 and section 66270.10 of this division until either a permit is issued under Health and Safety Code section 25200 or until applicable closure and post-closure responsibilities specified in this chapter are fulfilled, and those owners and operators of facilities in existence on November 19, 1980 who have failed to provide timely notification as required by 42 U.S.C. section 6930(a) and/or failed to file Part A of the permit application as required by section 66270.10(e) and (g). These standards apply to all transfer, treatment, storage and disposal of hazardous waste at these facilities, except as specifically provided otherwise in this chapter or chapters 11, 12 or 13 of this division.
(c) Notwithstanding subsection (b), no facility shall operate under interim status if the owner or operator has failed to file Part A of the permit application as required by section 66270.10(e) and (g). A facility operating under interim status shall not:
(1) manage hazardous wastes which are not specified in Part A of the permit application;
(2) employ processes not described in Part A of the permit application; or
(3) exceed the design capacities specified in Part A of the permit application.
(d) The standards in this chapter apply to owners and operators of all destination facilities, as defined in section 66273.9, that transfer, treat, store, or dispose of universal waste listed in section 66261.9, except as specifically provided otherwise in section 66273.60, subsections (b) and (c).
(e) The requirements of this chapter do not apply to:
(1) a person disposing of hazardous waste by means of ocean disposal subject to a permit issued under the Federal Marine Protection, Research, and Sanctuaries Act (33 U.S.C. section 1401, et. seq). Such person shall comply with the requirements of this chapter when transferring, treating or storing hazardous waste before it is loaded onto an ocean vessel for incineration or disposal at sea, as provided in subsection (b) of this section;
(2) [reserved];
(3) the owner or operator of a POTW which transfers, treats, stores, or disposes of hazardous waste;
(4) [reserved];
(5) [reserved];
(6) the owner or operator of a facility managing recyclable materials described in section 66261.6(a)(2)(B) of this division (except to the extent they are referred to in article 8 of chapter 16 of this division);
(7) a generator accumulating waste on-site in compliance with section 66262.34 of this division, except to the extent the requirements are included in section 66262.34 of this division;
(8) a farmer disposing of waste pesticides from the farmer's own use in compliance with section 66262.70 of this division;
(9) [reserved];
(10) [reserved];
(11)(A) except as provided in subsection (d)(11)(B) of this section, a person engaged in treatment or containment activities during immediate response to any of the following situations:
1. a discharge of a hazardous waste;
2. an imminent and substantial threat of a discharge of a hazardous waste;
3. a discharge of a material which, when discharged, becomes a hazardous waste;
(B) an owner or operator of a facility otherwise regulated by this chapter shall comply with all applicable requirements of articles 3 and 4 of this chapter;
(C) any person who is covered by subsection (d)(11)(A) of this section and who continues or initiates hazardous waste treatment or containment activities after the immediate response is over is subject to all applicable requirements of this chapter and chapter 21 of this division for those activities.
(D) In the case of emergencies involving military munitions, the responding military emergency response specialist's organizational unit shall retain records for three years identifying the dates of the response, the responsible persons responding, the type and description of material addressed, and its disposition. For the purposes of this subsection, the term “military munitions” is as defined in 40 Code of Federal Regulations section 260.10. The requirements of this subsection apply only to military munitions that are regulated under the federal act, as defined in Health and Safety Code section 25115.1;
(12) a transporter storing manifested shipments of hazardous waste in containers at a transfer facility, or a transfer facility storing manifested shipments of hazardous waste in containers, for six days or less, or 10 days or less for transfer facilities in areas zoned industrial by the local planning authority, and meeting the requirements of sections 66262.30 and 66263.18;
(13) the addition of absorbent material to waste in a container (as defined in section 66260.10 of this division) or the addition of waste to the absorbent material in a container provided that these actions occur at the time waste is first placed in the containers; and sections 66265.17(b), 66265.171, and 66265.172 are complied with;
(14) persons managing hazardous waste in a hazardous waste management unit not subject to 40 Code of Federal Regulations Part 265 (incorporated by reference in section 66260.11 of this division) pursuant to an exemption in 40 Code of Federal Regulations section 265.1(c), if the waste managed in that unit is identified as a hazardous waste solely because it exhibits the characteristic of toxicity set forth in section 66261.24(a)(1) of this division.
(15) universal waste handlers and universal waste transporters, as defined in chapter 23 of this division, who manage universal waste as listed in section 66261.9. These universal waste handlers and universal waste transporters are subject to regulation under chapter 23 when managing universal wastes listed in section 66261.9 of this division.
(f) The owner or operator of a facility under subsections (d)(1) through (3) of this section shall be subject to the requirements of chapter 14 of this division to the extent they are included in a permit granted to such a person under 40 Code of Federal Regulations Part 122 or under Subchapter H (commencing with Part 220) of chapter I of 40 Code of Federal Regulations.
(g) The following hazardous wastes shall not be managed at facilities subject to regulation under this chapter:
(1) EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, or F027 unless:
(A) the wastewater treatment sludge is generated in a surface impoundment as part of the plant's wastewater treatment system;
(B) the waste is stored in tanks or containers;
(C) the waste is stored or treated in waste piles that meet the requirements of section 66264.250(c) as well as all other applicable requirements of article 12 of this chapter;
(D) the waste is burned in incinerators that are certified pursuant to the standards and procedures in section 66265.352; or
(E) the waste is burned in facilities that thermally treat the waste in a device other than an incinerator and that are certified pursuant to the standards and procedures in section 66265.383.
(h) The requirements of this chapter apply to owners or operators of all facilities which transfer, treat, store or dispose of hazardous waste referred to in chapter 18 of this division, and the chapter 18 standards are considered material conditions or requirements of the chapter 15 interim status standards.
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25159, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25115.1, 25118, 25141, 25150, 25159, 25159.5, 25200.5, 25219, 25219.1 and 25219.2, Health and Safety Code; and 40 Code of Federal Regulations Sections 260.10 and 265.1.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b) and Note filed 12-23-93 as an emergency; operative 12-23-93 (Register 93, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-9-94 or emergency language will be repealed by operation of law on the following day. 
3. Amendment of subsection (b) and Note  refiled 4-25-94 as an emergency; operative 4-25-94 (Register  94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-94 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b) and Note refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b) refiled 12-22-94 as an emergency; operative 12-22-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-21-95 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b) refiled 6-29-95 as an emergency; operative 6-29-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-95 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (b) and Note refiled 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-26-95 order transmitted to OAL 11-30-95 and filed 1-16-96 (Register 96, No. 3).
9. Amendment of subsection (g) and Note filed 1-31-96; operative 1-31-96 (Register 96, No. 5).
10. Change without regulatory effect amending subsections (b) and (d)(12 filed 4-3-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 14).
11. Change without regulatory effect adding new subsection (d)(6) filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
12. Amendment of subsection (b) and amendment of Note filed 11-19-98 as an emergency; operative 11-19-98 (Register 98, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-99 or emergency language will be repealed by operation of law on the following day.
13. Reinstatement of subsection (b) and Note as they existed prior to 11-19-98 emergency amendment by operation of Government Code section 11346.1(f) (Register 99, No. 12).
14. Change without regulatory effect amending subsection (b) and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
15. New subsections (d)(15)-(d)(15)(C) and amendment of Note filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
16. New subsections (d)(15)-(d)(15)(C) and amendment of Note refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
17. New subsections (d)(15)-(d)(15)(C) and amendment of Note refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
18. New subsections (d)(15)-(d)(15)(C) and amendment of Note refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
19. New subsections (d)(15)-(d)(15)(C) and amendment of Note refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
20. New subsections (d)(15)-(d)(15)(C) and amendment of Note refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 11-2-2001 order, including further amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
22. Amendment of subsection (d)(15) and repealer of subsections (d)(15)(A)-(C) filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
23. Amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
24. Change without regulatory effect adding subsection (d)(11)(D), amending subsections (d)(14) and (e) and amending Note filed 4-13-2007 pursuant to Health and Safety Code section 25159.1 (Register 2007, No. 15).
25. New subsection (d), subsection relettering and amendment of newly designated subsection (g)(15) filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66265.2. Compliance Schedule for Changes During Interim Status.
Note     •     History

The owner or operator of a hazardous waste facility who has operated pursuant to a grant of interim status on or before the effective date of this division and is required to comply with the provisions of this chapter, shall submit a request for change(s) in the facility pursuant to chapter 20, article 7 of this division to the Department within 180 days of the effective date of this division. The request shall describe the exact change(s) to be made to the facility to comply with the provisions of this chapter. The owner or operator of such a facility shall implement the approved change(s) according to a schedule of compliance established by the Department.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25200.5, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.4. Enforcement Actions.
Note     •     History

In addition to bringing an enforcement action pursuant to chapter 6.5 of division 20 commencing with section 25100 of the Health and Safety Code, the Department may take or secure actions pursuant to Health and Safety Code section 25358.3.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159, 25159.5, 25180.5 through 25196.6 and 25358.3, Health and Safety Code; 40 CFR Section 265.4.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 2. General Facility Standards
§66265.10. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of all hazardous waste facilities, except as section 66265.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.10.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.11. Identification Number.
Note     •     History

Every facility owner or operator shall apply to the Department for an Identification Number in accordance with the Department's notification procedures.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.11.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.12. Required Notices.
Note     •     History

(a)(1) The owner or operator of a facility that has arranged to receive hazardous waste from a foreign source shall notify the Department in writing at least four weeks in advance of the date the waste is expected to arrive at the facility. The notification shall be sent to the Import /Export Coordinator, Department of Toxic Substances Control, Hazardous Waste Management Program, Statewide Compliance Division, Chatsworth Regional Office, 9211 Oakdale Avenue, Chatsworth, CA 91311-6505. Notice of subsequent shipments of the same waste from the same foreign source is not required.
(2) The owner or operator of a recovery facility that has arranged to receive hazardous waste subject to the requirements of 40 CFR Part 262, Subpart H or this article shall provide a copy of the tracking document bearing all required signatures to the notifier, to the Office of Enforcement and Compliance Assurance, Office of Compliance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 401 M Street, SW, Washington, DC 20460 and to the competent authorities of all other concerned countries within three working days of receipt of the shipment. The original of the signed tracking document shall be maintained at the facility for at least three years.
(b) The owner or operator of a facility that receives hazardous waste from an off-site source (except where the owner or operator is also the generator) shall inform the generator in writing that the owner or operator has the appropriate interim status for, and will accept, the waste the generator is shipping. The owner or operator shall keep a copy of this written notice as part of the operating record.
(c)(1) Before transferring ownership or operation of a facility during its operating life, or of a disposal facility during the post-closure care period, the owner or operator shall notify the new owner or operator in writing of the requirements of this chapter and chapter 20 of this division. (Also see section 66270.72 of this division.)
(2) An owner's or operator's failure to notify the new owner or operator of the requirements of this chapter shall not relieve the new owner or operator of the obligation to comply with all applicable requirements.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 Code of Federal Regulations Section 265.12.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect redesignating subsection (a) as new subsection (a)(1) and adding new subsection (a)(2) filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
3. Change without regulatory effect amending subsection (a)(2) and repealing subsection (d) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
4. Change without regulatory effect amending subsection (a)(1) and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
5. Change without regulatory effect amending subsection (a)(1) filed 11-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 47).
§66265.13. General Waste Analysis.
Note     •     History

(a)(1) Before an owner or operator transfers, treats, stores, or disposes of any hazardous waste, or non-hazardous waste if applicable under section 66265.113(d), the owner or operator shall obtain a detailed chemical and physical analysis of a representative sample of the waste. At a minimum, this analysis shall contain all the information which must be known to transfer, treat, store, or dispose of the waste in accordance with the requirements of this chapter and chapter 18 of this division.
(2) The analysis may include data developed under chapter 11 of this division, and existing published or documented data on the hazardous waste or on hazardous waste generated from similar processes.
(A) The facility's record of analyses performed on the waste before the effective date of these regulations, or studies conducted on hazardous waste generated from processes similar to that which generated the waste to be managed at the facility, may be included in the data base required to comply with subsection (a)(1) of this section.
(B) The owner or operator of an off-site facility may arrange for the generator of the hazardous waste to supply part or all of the information required by subsection (a)(1) of this section, except as otherwise specified in section 66268.7(b) and (c).
(3) If the generator does not supply the information as specified in subsection (a)(2)(B) of this section, and the owner or operator chooses to accept a hazardous waste, the owner or operator shall obtain the information required to comply with this section.
(4) The analysis shall be repeated as necessary to ensure that it is accurate and up to date. At a minimum, the analysis shall be repeated:
(A) when the owner or operator is notified, or has reason to believe, that the process or operation generating the hazardous waste, or non-hazardous waste, if applicable under section 66265.113(d), has changed; and
(B) for off-site facilities, when the results of the inspection required in subsection (a)(5) of this section indicate that the hazardous waste received at the facility does not match the waste designated on the accompanying manifest or shipping paper.
(5) The owner or operator of an off-site facility shall inspect and, if necessary, analyze each hazardous waste movement received at the facility to determine whether it matches the identity of the waste specified on the accompanying manifest or shipping paper.
(b) The owner or operator shall develop and follow a written waste analysis plan which describes the procedures which the owner or operator will carry out to comply with subsection (a) of this section. The owner or operator shall keep this plan at the facility. At a minimum, the plan shall specify:
(1) the parameters for which each hazardous waste, or non-hazardous waste if applicable under section 66265.113(d), will be analyzed and the rationale for the selection of these parameters (i.e., how analysis for these parameters will provide sufficient information on the waste's properties to comply with subsection (a) of this section);
(2) the test methods which will be used to test for these parameters;
(3) the sampling and sampling management methods which will be used to obtain a representative sample of the waste to be analyzed. The sampling, planning methodology, equipment, sample processing, documentation and custody procedures shall be in accordance with either:
(A) one of the sampling methods described in Appendix I of chapter 11 of this division; or
(B) an equivalent sampling method.
(4) The frequency with which the initial analysis of the waste will be reviewed or repeated to ensure that the analysis is accurate and up to date;
(5) For off-site facilities, the waste analyses that hazardous waste generators have agreed to supply; and
(6) where applicable, the methods which will be used to meet the additional waste analysis requirements for specific waste management methods as specified in sections 66265.193, 66265.200, 66265.225, 66265.252, 66265.273, 66265.314, 66265.341, 66265.375, 66265.402, 66265.1034(d), 66265.1063(d), 66265.1084 and 66268.7 of this division.
(7) For owners and operators seeking an exemption to the air emission standards of article 30 in accordance with section 66265.1083:
(A) If direct measurement is used for the waste determination, the procedures and schedules for waste sampling and analysis, and the results of the analysis of test data to verify the exemption.
(B) If knowledge of the waste is used for the waste determination, any information prepared by the facility owner or operator or by the generator of the hazardous waste, if the waste is received from off-site, that is used as the basis for knowledge of the waste.
(c) For off-site facilities, the waste analysis plan required in subsection (b) of this section shall also specify the procedures which will be used to inspect and, if necessary, analyze each movement of hazardous waste received at the facility to ensure that it matches the identity of the waste designated on the accompanying manifest or shipping paper. At a minimum, the plan shall describe:
(1) the procedures which will be used to determine the identity of each movement of waste managed at the facility; and
(2) the sampling method which will be used to obtain a representative sample of the waste to be identified, if the identification method includes sampling.
(3) The procedures that the owner or operator of an off-site landfill receiving containerized hazardous waste will use to determine whether a hazardous waste generator or treater has added a biodegradable sorbent to the waste in the container.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.13.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b)(6) and  Note filed 12-23-92; operative 1-22-93 (Register 93, No. 1).
3. New subsection (c)(3) and amendment of Note filed 8-8-95; operative 8-8-95 (Register 95, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-6-95 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction inserting inadvertently omitted History 3 (Register 95, No. 37).
5. Reinstatement of section as it existed prior to emergency amendment filed 9-15-95 by operation of Government Code section 11346.1(f) (Register 95, No. 37).
6. Amendment of subsection (a)(2)(B) filed 1-31-96; operative 1-31-96 (Register 96, No. 5).
7. Amendment of subsections (a)(1), (a)(4)(A) and (b)(1) and Note filed 6-20-96; operative 7-20-96 (Register 96, No. 25).
8. Editorial correction restoring inadvertently omitted subsections (b)(3)(B)-(b)(5) (Register 97, No. 10).
9. New subsection (c)(3) filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
10. Change without regulatory effect amending subsection (b)(6), adding subsections (b)(7)-(b)(7)(B) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
11. Change without regulatory effect amending subsection (c) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66265.14. Security.
Note     •     History

(a) The owner or operator shall prevent the unknowing entry, and minimize the possibility for the unauthorized entry, of persons or livestock onto the active portion of the facility, unless the owner or operator can demonstrate to the Department that:
(1) physical contact with the waste, structures, or equipment within the active portion of the facility will not injure unknowing or unauthorized persons or livestock which may enter the active portion of a facility, and
(2) disturbance of the waste or equipment, by the unknowing or unauthorized entry of persons or livestock onto the active portion of a facility, will not cause a violation of the requirements of this chapter.
(b) Unless the owner or operator has made a successful demonstration under subsection (a)(1) and (2) of this section, a facility shall have:
(1) a 24-hour surveillance system (e.g., television monitoring or surveillance by guards or facility personnel) which continuously monitors and controls entry onto the active portion of the facility; or
(2)(A) an artificial or natural barrier (e.g., a fence in good repair or a fence combined with a cliff), which completely surrounds the active portion of the facility; and
(B) a means to control entry, at all times, through the gates or other entrances to the active portion of the facility (e.g., an attendant, television monitors, locked entrance, or controlled roadway access to the facility).
(3) The requirements of subsection (b)(1) or (2) of this section shall be satisfied if the facility or plant within which the active portion is located itself has a surveillance system, or a barrier and a means to control entry, which complies with the requirements of subsection (b)(1) or (2) of this section.
(c) Unless the owner or operator has made a successful demonstration under subsections (a)(1) and (a)(2) of this section, a sign with the legend, “Danger Hazardous Waste Area--Unauthorized Personnel Keep Out,” shall be posted at each entrance to the active portion of a facility, and at other locations, in sufficient numbers to be seen from any approach to this active portion. The legend shall be written in English, Spanish and in any other language predominant in the area surrounding the facility, and shall be legible from a distance of at least 25 feet. Existing signs with a legend other than “Danger Hazardous Waste Area--Unauthorized Personnel Keep Out” may be used if the legend on the sign indicates that only authorized personnel are allowed to enter the active portion, and that entry onto the active portion can be dangerous.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.14.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
§66265.15. General Inspection Requirements.
Note     •     History

(a) The owner or operator shall inspect the facility for malfunctions and deterioration, operator errors, and discharges which may be causing or may lead to: (1) release of hazardous waste constituents to the environment; or (2) a threat to human health. The owner or operator shall conduct these inspections often enough to identify problems in time to correct them before they harm human health or the environment.
(b)(1) The owner or operator shall develop and follow a written schedule for inspecting all monitoring equipment, safety and emergency equipment, security devices, and operating and structural equipment (such as dikes and sump pumps) that are important to preventing, detecting, or responding to environmental or human health hazards.
(2) The owner or operator shall keep this schedule at the facility.
(3) The schedule shall identify the types of problems (e.g., malfunctions or deterioration) which are to be looked for during the inspection (e.g., inoperative sump pump, leaking fitting, eroding dike, etc.).
(4) The frequency of inspection may vary for the items on the schedule. However, it should be based on the rate of possible deterioration of the equipment and the probability of an environmental or human health incident if the deterioration, or malfunction, or any operator error goes undetected between inspections. Areas subject to spills, such as loading and unloading areas, shall be inspected daily when in use. At a minimum, the inspection schedule shall include the items and frequencies called for in sections 66265.174, 66265.193, 66265.195, 66265.226, 66265.260, 66265.278, 66265.304, 66265.347, 66265.377, 66265.403, 66265.1033, 66265.1052, 66265.1053, 66265.1058, 66265.1084 through 66265.1090 of this chapter, where applicable.
(c) The owner or operator shall remedy any deterioration or malfunction of equipment or structures which the inspection reveals on a schedule which ensures that the problem does not lead to an environmental or human health hazard. Where a hazard is imminent or has already occurred, remedial action shall be taken immediately.
(d) The owner or operator shall record inspections in an inspection log or summary. The owner or operator shall keep these records for at least three years from the date of inspection. At a minimum, these records shall include the date and time of the inspection, the name of the inspector, a notation of the observations made, and the date and nature of any repairs or other remedial actions.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.15.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b)(4) and  Note filed 12-23-92; operative 1-22-93 (Register 93, No. 1).
3. Amendment of  subsection (b)(4) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
4. Change without regulatory effect amending subsection (b)(4) and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.16. Personnel Training.
Note     •     History

(a)(1) Facility personnel shall successfully complete a program of classroom instruction or on-the-job training that teaches them to perform their duties in a way that ensures the facility's compliance with the requirements of this chapter. The owner or operator shall ensure that this program includes all the elements described in the document required under subsection (d)(3) of this section.
(2) This program shall be directed by a person trained in hazardous waste management procedures, and shall include instruction which teaches facility personnel hazardous waste management procedures (including contingency plan implementation) relevant to the positions in which they are employed.
(3) At a minimum, the training program shall be designed to ensure that facility personnel are able to respond effectively to emergencies by familiarizing them with emergency procedures, emergency equipment, and emergency systems, including where applicable:
(A) procedures for using, inspecting, repairing, and replacing facility emergency and monitoring equipment;
(B) key parameters for automatic waste feed cut-off systems;
(C) communications or alarm systems;
(D) response to fires or explosions;
(E) response to ground-water contamination incidents; and
(F) shutdown of operations.
(b) Facility personnel shall successfully complete the program required in subsection (a) of this section within six months after the date of their employment or assignment to a facility, or to a new position at a facility. Employees hired after the effective date of these regulations shall not work in unsupervised positions until they have completed the training requirements of subsection (a) of this section.
(c) Facility personnel shall take part in an annual review of the initial training required in subsection (a) of this section.
(d) The owner or operator shall maintain the following documents and records at the facility:
(1) the job title for each position at the facility related to hazardous waste management, and the name of the employee filling each job;
(2) a written job description for each position listed under subsection (d)(1) of this section. This description may be consistent in its degree of specificity with descriptions for other similar positions in the same company location or bargaining unit, but shall include the requisite skill, education, or other qualifications, and duties of facility personnel assigned to each position;
(3) a written description of the type and amount of both introductory and continuing training that will be given to each person filling a position listed under subsection (d)(1) of this section;
(4) records that document that the training or job experience required under subsections (a), (b), and (c) of this section has been given to, and completed by, facility personnel.
(e) Training records on current personnel shall be kept until closure of the facility. Training records on former employees shall be kept for at least three years from the date the employee last worked at the facility. Personnel training records may accompany personnel transferred within the same company.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.16.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.17. General Requirements for Ignitable, Reactive, or Incompatible Wastes.
Note     •     History

(a) The owner or operator shall take precautions to prevent accidental ignition or reaction of ignitable or reactive waste. This waste shall be separated and protected from sources of ignition or reaction including but not limited to: Open flames, smoking, cutting and welding, hot surfaces, frictional heat, sparks (static, electrical, or mechanical), spontaneous ignition (e.g., from heat-producing chemical reactions), and radiant heat. While ignitable or reactive waste is being handled, the owner or operator shall confine smoking and open flame to specially designated locations. “No Smoking” signs shall be conspicuously placed wherever there is a hazard from ignitable or reactive waste.
(b) Where specifically required by other sections of this chapter, the transfer, treatment, storage, or disposal of ignitable or reactive waste, and the mixture or commingling of incompatible wastes, or incompatible wastes and materials, shall be conducted so that it does not:
(1) generate extreme heat or pressure, fire or explosion, or violent reaction;
(2) produce uncontrolled toxic mists, fumes, dusts, or gases in sufficient quantities to threaten human health or the environment;
(3) produce uncontrolled flammable fumes or gases in sufficient quantities to pose a risk of fire or explosions;
(4) damage the structural integrity of the device or facility containing the waste; or
(5) through other like means threaten human health or the environment.
(c) When required to comply with subsection (a) or (b) of this section, the owner or operator shall document that compliance. This documentation may be based on references to published scientific or engineering literature, data from trial tests (e.g., bench scale or pilot scale tests), waste analyses (as specified in section 66265.13) or the results of the treatment of similar wastes by similar treatment processes and under similar operating conditions.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.17.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.18. Location Standards.
Note     •     History

(a) The placement of any hazardous waste in a salt dome, salt bed formation, underground mine or cave is prohibited.
(b) A facility located in a 100-year floodplain or within the maximum high tide shall be designed, constructed, operated and maintained to prevent washout of any hazardous waste by a 100-year flood or maximum high tide, unless the owner or operator can demonstrate to the Department's satisfaction that procedures are in effect which will cause the waste to be removed safely, before flood waters can reach the facility, to a location where the wastes will not be vulnerable to flood or tide waters.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.18.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
§66265.19. Construction Quality Assurance Program.
Note     •     History

(a) CQA program. (1) A construction quality assurance (CQA) program is required for all surface impoundment, waste pile, and landfill units that are required to comply with sections 66265.221(a), 66265.254, and 66265.301(a). The program shall ensure that the constructed unit meets or exceeds all design criteria and specifications in the permit. The program shall be developed and implemented under the direction of a CQA officer who is a California state registered professional Civil engineer.
(2) The CQA program shall address the following physical components, where applicable:
(A) Foundations;
(B) Dikes;
(C) Low-permeability soil liners;
(D) Geomembrane (flexible membrane liners);
(E) Leachate collection and removal systems and leak detection systems; and
(F) Final cover systems.
(b) Written CQA plan. Before construction begins on a unit subject to the CQA program under subsection (a) of this section, the owner or operator shall develop a written CQA plan. The plan shall identify steps that will be used to monitor and document the quality of materials and the condition and manner of their installation. The CQA plan shall include:
(1) Identification of applicable units, and a description of how they will be constructed.
(2) Identification of key personnel in the development and implementation of the CQA plan, and CQA officer qualifications.
(3) A description of inspection and sampling activities for all unit components identified in subsection (a)(2) of this section, including observations and tests that will be used before, during, and after construction to ensure that the construction materials and the installed unit components meet the design specifications. The description shall cover: Sampling size and locations; frequency of testing; data evaluation procedures; acceptance and rejection criteria for construction materials; plans for implementing corrective measures; and data or other information to be recorded and retained in the operating record under section 66265.73.
(c) Contents of program. (1) The CQA program shall include observations, inspections, tests, and measurements sufficient to ensure:
(A) Structural stability and integrity of all components of the unit identified in subsection (a)(2) of this section;
(B) Proper construction of all components of the liners, leachate collection and removal system, leak detection system, and final cover system, according to permit specifications and good engineering practices, and proper installation of all components (e.g., pipes) according to design specifications; 
(C) Conformity of all materials used with design and other material specifications under sections 66264.221, 66264.251, and 66264.301 of this chapter.
(2) The CQA program shall include test fills for compacted soil liners, using the same compaction methods as in the full-scale unit, to ensure that the liners are constructed to meet the hydraulic conductivity requirements of sections 66264.221(c)(1), 66264.251(c)(1), and 66264.301(c)(1) of this chapter in the field. Compliance with the hydraulic conductivity requirements shall be verified by using in-situ testing on the constructed test fill. The test fill requirement is waived where data are sufficient to show that a constructed soil liner meets the hydraulic conductivity requirements of sections 66264.221(c)(1), 66264.251(c)(1), and 66264.301(c)(1) of this chapter in the field.
(d) Certification. The owner or operator of units subject to section 66265.19 shall submit to the Department by certified mail or hand delivery, at least 30 days prior to receiving waste, a certification signed by the CQA officer that the CQA plan has been successfully carried out and that the unit meets the requirements of sections 66265.221(a), 66265.254, or 66265.301(a). The owner or operator may receive waste in the unit after 30 days from the Department's receipt of the CQA certification unless the Department determines in writing that the construction is not acceptable, or extends the review period for a maximum of 30 more days, or seeks additional information from the owner or operator during this period. Documentation supporting the CQA officer's certification shall be furnished to the Department upon request.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.19.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
2. Change without regulatory effect amending subsections (c)(2) and (d) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66265.25. Seismic and Precipitation Design Standards.
Note     •     History

(a) Except as provided by section 66265.192, facilities subject to this chapter and all cover systems and drainage control systems required by this chapter shall be designed to function without failure when subjected to capacity, hydrostatic and hydrodynamic loads resulting from a 24-hour probable maximum precipitation storm.
(b) The following shall be designed, constructed and maintained to withstand the maximum credible earthquake without the level of public health and environmental protection afforded by the original design being decreased:
(1) all surface impoundments, waste piles, landfills and land treatment facilities subject to this chapter; and
(2) all covers and cover systems required by this chapter and all containment and control features which will remain after closure at permanent hazardous waste disposal areas.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 3. Preparedness and Prevention
§66265.30. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of all hazardous waste facilities, except as section 66265.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.30.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.31. Maintenance and Operation of Facility.
Note     •     History

Facilities shall be maintained and operated to minimize the possibility of a fire, explosion, or any unplanned sudden or non-sudden release of hazardous waste or hazardous waste constituents to air, soil, or surface water which could threaten human health or the environment.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.31.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.32. Required Equipment.
Note     •     History

All facilities shall be equipped with the following, unless it can be demonstrated to the Department that none of the hazards posed by waste handled at the facility could require a particular kind of equipment specified below:
(a) an internal communications or alarm system capable of providing immediate emergency instruction (voice or signal) to facility personnel;
(b) a device, such as a telephone (immediately available at the scene of operations) or a hand-held two-way radio, capable of summoning emergency assistance from local police departments, fire departments, or State or local emergency response teams;
(c) portable fire extinguishers, fire control equipment (including special extinguishing equipment, such as that using foam, inert gas, or dry chemicals), spill control equipment, and decontamination equipment; and
(d) water at adequate volume and pressure to supply water hose streams, or foam producing equipment, or automatic sprinklers, or water spray systems.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.32.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.33. Testing and Maintenance of Equipment.
Note     •     History

All facility communications or alarm systems, fire protection equipment, spill control equipment, and decontamination equipment, where required, shall be tested and maintained as necessary to assure its proper operation in time of emergency.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.33.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.34. Access to Communications or Alarm System.
Note     •     History

(a) Whenever hazardous waste is being poured, mixed, spread, or otherwise handled, all personnel involved in the operation shall have immediate access to an internal alarm or emergency communication device, either directly or through visual or voice contact with another employee, unless the Department has ruled that such a device is not required under section 66265.32.
(b) If there is ever just one employee on the premises while the facility is operating, the employee shall have immediate access to a device, such as a telephone (immediately available at the scene of operation) or a hand-held two-way radio, capable of summoning external emergency assistance, unless the Department has ruled that such a device is not required under section 66265.32.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 256.34.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.35. Required Aisle Space.
Note     •     History

The owner or operator shall maintain aisle space to allow the unobstructed movement of personnel, fire protection equipment, spill control equipment, and decontamination equipment to any area of facility operation in an emergency, unless it can be demonstrated to the Department that aisle space is not needed for any of these purposes.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.35.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.37. Arrangements with Local Authorities.
Note     •     History

(a) The owner or operator shall attempt to make the following arrangements, as appropriate, for the type of waste handled at the facility and the potential need for the services of these organizations:
(1) arrangements to familiarize police, fire departments, emergency response teams, and the local Office of Emergency Services with the layout of the facility, properties of hazardous waste handled at the facility and associated hazards, places where facility personnel would normally be working, entrances to roads inside the facility, and possible evacuation routes;
(2) where more than one police and fire department might respond to an emergency, agreements designating primary emergency authority to a specific police and a specific fire department, and agreements with any others to provide support to the primary emergency authority;
(3) agreements with State emergency response teams, emergency response contractors, and equipment suppliers; and
(4) arrangements to familiarize local hospitals with the properties of hazardous waste handled at the facility and the types of injuries or illnesses which could result from fires, explosions, or releases at the facility.
(b) Where State or local authorities decline to enter into such arrangements, the owner or operator shall document the refusal in the operating record.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.37.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 4. Contingency Plan and Emergency Procedures
§66265.50. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of all hazardous waste facilities, except as section 66265.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.50.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.51. Purpose and Implementation of Contingency Plan.
Note     •     History

(a) Each owner or operator shall have a contingency plan for the facility. The contingency plan shall be designed to minimize hazards to human health or the environment from fires, explosions, or any unplanned sudden or non-sudden release of hazardous waste or hazardous waste constituents to air, soil, or surface water.
(b) The provisions of the plan shall be carried out immediately whenever there is a fire, explosion, or release of hazardous waste or hazardous waste constituents which could threaten human health or the environment.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.51.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.52. Content of Contingency Plan.
Note     •     History

(a) The contingency plan shall describe the actions facility personnel shall take to comply with sections 66265.51 and 66265.56 in response to fires, explosions, or any unplanned sudden or non-sudden release of hazardous waste or hazardous waste constituents to air, soil, or surface water at the facility.
(b) If the owner or operator has already prepared a Spill Prevention, Control, and Countermeasures (SPCC) Plan in accordance with 40 CFR Part 112, or 40 CFR Part 1510, or some other emergency or contingency plan, the owner or operator need only amend that plan to incorporate hazardous waste management provisions that are sufficient to comply with the requirements of this chapter.
(c) The plan shall describe arrangements agreed to by local police departments, fire departments, hospitals, contractors, and State and local emergency response teams to coordinate emergency services, pursuant to section 66265.37.
(d) The plan shall list names, addresses, and phone numbers (office and home) of all persons qualified to act as emergency coordinator (see section 66265.55), and this list shall be kept up to date. Where more than one person is listed, one shall be named as primary emergency coordinator and others shall be listed in the order in which they will assume responsibility as alternates.
(e) The plan shall include a list of all emergency equipment at the facility (such as fire extinguishing systems, spill control equipment, communications and alarm systems (internal and external), and decontamination equipment), where this equipment is required. This list shall be kept up to date. In addition, the plan shall include the location and a physical description of each item on the list, and a brief outline of its capabilities.
(f) The plan shall include an evacuation plan for facility personnel where there is a possibility that evacuation could be necessary. This plan shall describe signal(s) to be used to begin evacuation, evacuation routes, and alternate evacuation routes (in cases where the primary routes could be blocked by releases of hazardous waste or fires).
(g) The plan shall include the current telephone number of the State Office of Emergency Services.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.52.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.53. Copies of Contingency Plan.
Note     •     History

A copy of the contingency plan and all revisions to the plan shall be:
(a) maintained at the facility; and
(b) submitted to all local police departments, fire departments, hospitals, and State and local emergency response teams that may be called upon to provide emergency services.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.53.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.54. Amendment of Contingency Plan.
Note     •     History

The contingency plan shall be reviewed, and immediately amended, if necessary, whenever:
(a) applicable regulations are revised;
(b) the plan fails in an emergency;
(c) the facility changes in its design, construction, operation, maintenance, or other circumstances in a way that materially increases the potential for fires, explosions, or releases of hazardous waste or hazardous waste constituents, or changes the response necessary in an emergency;
(d) the list of emergency coordinators changes; or
(e) the list of emergency equipment changes.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.54.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.55. Emergency Coordinator.
Note     •     History

At all times, there shall be at least one employee either on the facility premises or on call (i.e., available to respond to an emergency by reaching the facility within a short period of time) with the responsibility for coordinating all emergency response measures. This emergency coordinator shall be thoroughly familiar with all aspects of the facility's contingency plan, all operations and activities at the facility, the location and characteristics of waste handled, the location of all records within the facility, and the facility layout. In addition, this person shall have the authority to commit the resources needed to carry out the contingency plan.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.55.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.56. Emergency Procedures.
Note     •     History

(a) Whenever there is an imminent or actual emergency situation, the emergency coordinator (or the emergency coordinator's designee when the emergency coordinator is on call) shall immediately:
(1) activate internal facility alarms or communication systems, where applicable, to notify all facility personnel; and
(2) notify appropriate State or local agencies with designated response roles if their help is needed.
(b) Whenever there is a release, fire, or explosion, the emergency coordinator shall immediately identify the character, exact source, amount, and areal extent of any released materials. The emergency coordinator may do this by observation or review of facility records or manifests and, if necessary, by chemical analysis.
(c) Concurrently, the emergency coordinator shall assess possible hazards to human health or the environment that may result from the release, fire, or explosion. This assessment shall consider both direct and indirect effects of the release, fire, or explosion (e.g., the effects of any toxic, irritating, or asphyxiating gases that are generated, or the effects of any hazardous surface water run-offs from water or chemical agents used to control fire and heat-induced explosions).
(d) If the emergency coordinator determines that the facility has had a release, fire, or explosion which could threaten human health, or the environment, outside the facility, the emergency coordinator shall report the findings as follows.
(1) If the emergency coordinator's assessment indicates that evacuation of local areas may be advisable, the emergency coordinator shall immediately notify appropriate local authorities. The emergency coordinator shall be available to help appropriate officials decide whether local areas should be evacuated; and
(2) The emergency coordinator shall, in every situation, immediately notify the State Office of Emergency Services. The report shall include:
(A) name and telephone number of reporter;
(B) name and address of facility;
(C) time and type of incident (e.g., release, fire);
(D) name and quantity of material(s) involved, to the extent known;
(E) the extent of injuries, if any; and
(F) the possible hazards to human health, or the environment, outside the facility.
(e) During an emergency, the emergency coordinator shall take all reasonable measures necessary to ensure that fires, explosions, and releases do not occur, recur, or spread to other hazardous waste at the facility. These measures shall include, where applicable, stopping processes and operations, collecting and containing released waste, and removing or isolating containers.
(f) If the facility stops operations in response to a fire, explosion or release, the emergency coordinator shall monitor for leaks, pressure buildup, gas generation, or ruptures in valves, pipes, or other equipment, wherever this is appropriate.
(g) Immediately after an emergency, the emergency coordinator shall provide for treating, storing, or disposing of recovered waste, contaminated soil or surface water, or any other material that results from a release, fire, or explosion at the facility. Unless the owner or operator can demonstrate, in accordance with section 66261.3(c) or (d) of this division, that the recovered material is not a hazardous waste, the owner or operator becomes a generator of hazardous waste and shall manage it in accordance with all applicable requirements of chapters 12, 13, and 15 of this division.
(h) The emergency coordinator shall ensure that, in the affected area(s) of the facility:
(1) no waste that may be incompatible with the released material is transferred, treated, stored, or disposed of until cleanup procedures are completed; and
(2) all emergency equipment listed in the contingency plan is cleaned and fit for its intended use before operations are resumed.
(i) The owner or operator shall notify the Department, and appropriate State and local authorities, that the facility is in compliance with subsection (h) of this section before operations are resumed in the affected area(s) of the facility.
(j) The owner or operator shall note in the operating record the time, date, and details of any incident that requires implementing the contingency plan. Within 15 days after the incident, the owner or operator shall submit a written report on the incident to the Department. The report shall include:
(1) name, address, and telephone number of the owner or operator;
(2) name, address, and telephone number of the facility;
(3) date, time, and type of incident (e.g., fire, explosion);
(4) name and quantity of material(s) involved;
(5) the extent of injuries, if any;
(6) an assessment of actual or potential hazards to human health or the environment, where this is applicable; and
(7) estimated quantity and disposition of recovered material that resulted from the incident.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.56.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 5. Manifest System, Recordkeeping, and Reporting
§66265.70. Applicability.
Note     •     History

(a) The regulations in this article apply to owners and operators of both on-site and off-site facilities, except as section 66265.1 provides otherwise. Sections 66265.71, 66265.72, and 66265.76 do not apply to owners and operators of on-site facilities that do not receive any hazardous waste from off-site sources.
(b) Compliance with the revisions to the Manifest form and procedures announced in the regulation published by U.S.EPA on March 4, 2005 and by the department on August 24, 2006, shall not be required until on and after September 5, 2006. 
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 Code of Federal Regulations Section 265.70.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect designating existing section as subsection (a), adding subsection (b) and amending Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66265.71. Use of Manifest System.
Note     •     History

(a)(1) If a facility receives hazardous waste accompanied by a manifest, the owner or operator, or the facility's agent, shall sign and date each copy of the manifest as indicated in paragraph (a)(2) of this section to certify that the hazardous waste covered by the manifest was received, that the hazardous waste was received except as noted in the discrepancy space of the manifest, or that the hazardous waste was rejected as noted in the manifest discrepancy space. 
(2) If a facility receives a hazardous waste shipment accompanied by a manifest, including a facility located out of state, the owner, operator or the facility's agent shall: 
(A) sign and date, by hand, each copy of the manifest; 
(B) note any significant discrepancies in the manifest (as defined in section 66265.72, subsection (a)) on each copy of the manifest, and enter the most appropriate Hazardous Waste Report Management Method codes for each waste listed on the manifest from the list published in the most recent Hazardous Waste Report, Instructions and Forms (EPA Form 8700-13A/B) and shown in Appendix II of chapter 14. 
(C) immediately give the transporter at least one copy of the signed manifest;
(D) within 30 days after the delivery, send a copy of the manifest to the generator;
(E) retain at the facility a copy of each manifest for at least three years from the date of delivery; 
(F) within 30 days of each receipt of hazardous waste submit to the Department a legible copy of each manifest used. The facility manifest copy shall be submitted to the department for every shipment on a manifest when California is either the generator state or the destination state. The facility manifest copy shall be mailed to: 

DTSC FACILITY MANIFESTS 
P.O. BOX 3000 
SACRAMENTO, CA 95812-3000; 

and 
(G) a facility shall determine whether the consignment state for a shipment regulates any additional wastes (beyond those regulated federally) as hazardous wastes under its state hazardous waste program. Facilities shall also determine whether the consignment state or generator state requires the facility to submit any copies of the manifest to these states. 
(b) If a facility receives, from a rail or water (bulk shipment) transporter, hazardous waste which is accompanied by a shipping paper containing all the information required on the manifest (excluding the Identification Numbers, generator's certification, and signatures), the owner or operator, or the facility's agent, shall:
(1) sign and date each copy of the manifest or shipping paper (if the manifest has not been received) to certify that the hazardous waste covered by the manifest or shipping paper was received;
(2) note any significant discrepancies as defined in section 66265.72(a) in the manifest or shipping paper (if the manifest has not been received) on each copy of the manifest or shipping paper;
(3) immediately give the rail or water (bulk shipment) transporter at least one copy of the manifest or shipping paper (if the manifest has not been received);
(4) within 30 days after the delivery, send a copy of the signed and dated manifest or a signed and dated copy of the shipping paper (if the manifest has not been received within 30 days after delivery) to the generator; 
(5) within 30 days of each receipt of hazardous waste submit to the Department a legible copy of each manifest or shipping paper (if the manifest has not been received) used; and
(6) retain at the facility a copy of the manifest and shipping paper (if signed in lieu of the manifest at the time of delivery) for at least three years from the date of delivery.
(c) Whenever a shipment of hazardous waste is initiated from a facility, the owner or operator of that facility shall comply with the requirements of chapter 12 of this division.
(d) In addition to submitting a copy of the manifest to the department, if a facility receives federally regulated hazardous waste imported from a foreign source, the receiving facility shall mail a copy of the manifest to the following address within 30 days of delivery: International Compliance Assurance Division, OFA/OECA (2254A), U.S. Environmental Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue, NW., Washington, DC 20460. 
(e) Within three working days of the receipt of a shipment subject to the requirements of 40 Code of Federal Regulations Part 262, Subpart H or this article, the owner or operator of facility shall provide a copy of the tracking document bearing all required signatures to the notifier, to the Office of Enforcement and Compliance Assurance, Enforcement Planning, Targeting and Data Division (2222A), Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460, and to competent authorities of all other concerned countries. The original copy of the tracking document shall be maintained at the facility for at least three years from the date of signature.
(f) Whenever hazardous waste is received by a facility from a transporter in a vehicle or bulk container that will be removed from the facility after emptying, the transporter shall determine by inspection whether the vehicle or bulk container is empty pursuant to section 66261.7 prior to the removal of the vehicle or bulk container from the facility.
(g) If a vehicle or bulk container cannot be rendered empty pursuant to section 66261.7 by equipment and methods available at the facility, the transporter shall follow the procedure in subsection (b) of section 66263.21. If the vehicle or bulk container is not empty, the transporter shall not move the vehicle or bulk container without the designated facility preparing a new manifest for container residues pursuant to section 66265.72 or 40 Code of Federal Regulations section 265.72, if located out of state. 
(h) The provisions of section 66262.34 are applicable to the on-site accumulation of hazardous wastes by generators. Therefore, the provisions of section 66262.34 only apply to owners or operators who are shipping hazardous waste which they generated at that facility.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 Code of Federal Regulations Section 265.71; Hazardous Waste Report, Instructions and Forms (EPA Form 8700-13A/B); and 70 Fed. Reg. 10776 (Mar. 4, 2005), p. 10786-10787.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding new subsection (d) filed 8-20-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
3. New subsections (e)-(g) and amendment of Note filed 10-19-2000; operative 11-18-2000 (Register 2000, No. 42).
4. Amendment of subsections (a)(2) and (b)(2) and amendment of Note filed 4-4-2002 as an emergency; operative 4-4-2002 (Register 2002, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2002 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(2) and (b)(2) and amendment of Note refiled 8-1-2002 as an emergency; operative 8-1-2002 (Register 2002, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-2-2002 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)(2) and (b)(2) and amendment of Note refiled 12-2-2002 as an emergency; operative 12-3-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (a)(2) and (b)(2) and amendment of Note refiled 4-1-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
8. Repealer of 4-1-2003 order and amendment of Note filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
9. Change without regulatory effect amending subsection (b)(6) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
10. Change without regulatory effect amending section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
11. Change without regulatory effect amending subsection (e) filed 11-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 47).
§66265.72. Manifest Discrepancies.
Note     •     History

(a) Manifest discrepancies are: 
(1) Significant differences (as defined by paragraph (b) of this section) between the quantity or type of hazardous waste designated on the manifest or shipping paper, and the quantity or type of hazardous waste a facility actually receives. 
(2) Rejected wastes, which may be a full or partial shipment of hazardous waste that the TSDF cannot accept; or 
(3) Container residues, which are residues that exceed the quantity limits for “empty” containers set forth in 40 Code of Federal Regulations section 261.7(b) or section 66261.7 of this division. 
(b) Significant discrepancies in quantity are: For bulk waste, variations greater than 10 percent in weight; for batch waste, any variation in piece count, such as a discrepancy of one drum in a truckload. Significant discrepancies in type are obvious differences which can be discovered by inspection or waste analysis, such as waste solvent substituted for waste acid or toxic constituents not reported on the manifest or shipping paper.
(c) Upon discovering a significant discrepancy in quantity or type, the owner or operator shall attempt to reconcile the discrepancy with the waste generator or transporter (e.g., with telephone conversations). If the discrepancy is not resolved within 15 days after receiving the waste, the owner or operator shall immediately submit to the Department a letter describing the discrepancy and attempts to reconcile it, and a copy of the manifest or shipping paper at issue. Significant Discrepancy Reports should be mailed to: 

DTSC REPORT REPOSITORY 
GENERATOR INFORMATION SERVICES SECTION 
P.O. BOX 806 
SACRAMENTO, CA 95812-0806 
(d)(1) Upon rejecting waste or identifying a container residue that exceeds the quantity limits for “empty” containers set forth in 40 Code of Federal Regulations section 261.7(b) or section 66261.7 of this division, the facility shall consult with the generator prior to forwarding the waste to another facility that can manage the waste. If it is impossible to locate an alternative facility that can receive the waste, the facility may return the rejected waste or residue to the generator. The facility shall send the waste to the alternative facility or to the generator within the time frame specified in the permit or 60 days, whichever is shorter, of the rejection or the container residue identification. The waste shall be managed consistent with any applicable permit conditions. The waste shall be handled consistent with the requirements of section 25200.19 of the Health and Safety Code.
(2) While the facility is making arrangements for forwarding rejected wastes or residues to another facility under this section, it shall ensure that either the delivering transporter retains custody of the waste, or, the facility shall provide for secure, temporary custody of the waste, pending delivery of the waste to the first transporter designated on the manifest prepared under paragraph (e) or (f) of this section. 
(e) Except as provided in paragraph (e)(7) of this section, for full or partial load rejections and residues that are to be sent off-site to an alternate facility, the facility is required to prepare a new manifest in accordance with section 66262.20, subsection (a) of this division or 40 Code of Federal Regulations section 262.20(a), if located out of state, and the following instructions: 
(1) Write the generator's EPA ID number in Item 1 of the new manifest. Write the generator's name and mailing address in Item 5 of the new manifest. If the mailing address is different from the generator's site address, then write the generator's site address in the designated space for Item 5. 
(2) Write the name of the alternate designated facility and the facility's EPA ID number in the designated facility block (Item 8) of the new manifest. 
(3) Copy the manifest tracking number found in Item 4 of the old manifest to the Special Handling and Additional Information Block of the new manifest, and indicate that the shipment is a residue or rejected waste from the previous shipment. 
(4) Copy the manifest tracking number found in Item 4 of the new manifest to the manifest reference number line in the Discrepancy Block of the old manifest (Item 18a). 
(5) Write the U.S. Department of Transportation description for the rejected load or the residue in Item 9 (U.S. DOT Description) of the new manifest and write the container types, quantity, and volume(s) of waste. 
(6) Sign the Generator's/Offeror's Certification to certify, as the offeror of the shipment, that the waste has been properly packaged, marked and labeled and is in proper condition for transportation. 
(7) For full load rejections that are made while the transporter remains present at the facility, the facility may forward the rejected shipment to the alternate facility by completing Item 18b of the original manifest and supplying the information on the next destination facility in the Alternate Facility space. The facility shall retain a copy of this manifest for its records, and then give the remaining copies of the manifest to the transporter to accompany the shipment. If the original manifest is not used, then the facility shall use a new manifest and comply with paragraphs (e)(1), (2), (3), (4), (5), and (6) of this section. 
(f) Except as provided in paragraph (f)(7) of this section, for rejected wastes and residues that shall be sent back to the generator, the facility is required to prepare a new manifest in accordance with section 66262.20, subsection (a) of this division or 40 Code of Federal Regulations section 262.20(a), if located out of state, and the following instructions: 
(1) Write the facility's EPA ID number in Item 1 of the new manifest. Write the generator's name and mailing address in Item 5 of the new manifest. If the mailing address is different from the generator's site address, then write the generator's site address in the designated space for Item 5. 
(2) Write the name of the initial generator and the generator's U.S. EPA ID number in the designated facility block (Item 8) of the new manifest. 
(3) Copy the manifest tracking number found in Item 4 of the old manifest to the Special Handling and Additional Information Block of the new manifest, and indicate that the shipment is a residue or rejected waste from the previous shipment. 
(4) Copy the manifest tracking number found in Item 4 of the new manifest to the manifest reference number line in the Discrepancy Block of the old manifest (Item 18a). 
(5) Write the U.S. DOT description for the rejected load or the residue in Item 9 (U.S. DOT Description) of the new manifest and write the container types, quantity, and volume(s) of waste. 
(6) Sign the Generator's/Offeror's Certification to certify, as offeror of the shipment, that the waste has been properly packaged, marked and labeled, and is in proper condition for transportation. 
(7) For full load rejections that are made while the transporter remains at the facility, the facility may return the shipment to the generator with the original manifest by completing Item 18a and 18b of the manifest and supplying the generator's information in the Alternate Facility space. The facility shall retain a copy for its records and then give the remaining copies of the manifest to the transporter to accompany the shipment. If the original manifest is not used, then the facility shall use a new manifest and comply with paragraphs (f)(1), (2), (3), (4), (5), and (6) of this section. 
(g) If a facility rejects a waste or identifies a container residue that exceeds the quantity limits for “empty” containers set forth in 40 Code of Federal Regulations section 261.7(b) or section 66261.7 of this division, after it has signed, dated, and returned a copy of the manifest to the delivering transporter or to the generator, the facility shall amend its copy of the manifest to indicate the rejected wastes or residues in the discrepancy space of the amended manifest. The facility shall also copy the manifest tracking number from Item 4 of the new manifest to the Discrepancy space of the amended manifest, and shall re-sign and date the manifest to certify to the information as amended. The facility shall retain the amended manifest for at least three years from the date of amendment, and shall within 30 days, send a copy of the amended manifest to the transporter and generator that received copies prior to their being amended. The facility shall submit a copy of the amended manifest within 30 days to the department at the address provided in section 66265.71, subsection (a)(2)(F). 
(h) Upon discovering a discrepancy involving a hazardous waste of concern, as defined in section 66261.111(a), and the waste at issue represents a reportable quantity or a reportable difference in type, as specified in section 66261.111(b) and (c), the owner or operator shall attempt to reconcile the reportable quantity or difference with the waste generator or transporter. If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, the owner or operator shall immediately notify the Department by calling 1-800-69-TOXIC (1-800-698-6942) and providing the following information: 
(1) Facility name and identification number; 
(2) Generator name and identification number; 
(3) Transporter(s) name(s), identification number(s), and, if available, transporter(s) registration number(s); 
(4) Manifest number; 
(5) Waste information (lines 11, 12, 13, and 14 of the manifest), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (as listed in Table I of the Appendix to Chapter 12, Article 7), quantity or volume of waste at issue, weight or volume units, and waste codes.
For shipments initiated on and after September 5, 2006, waste information (Items 9b, 10, 11, 12, and 13 of the manifest), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (found in the manifest instructions in the Appendix to chapter 12, article 8), quantity or volume of waste at issue, weight or volume units, and waste codes; and 
(6) Potential locations or transportation routes where the hazardous waste of concern may have become missing (e.g., on highway or roads, rail line, transfer station, truck stop, etc.). 
(i) If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, in addition to complying with subsection (h), within 5 days after discovering the reportable quantity or difference, the owner or operator shall submit to the Department a letter describing the reportable quantity or difference and attempts to reconcile it, and a copy of the manifest at issue. 
(1) Owners or operators of facilities located in the counties of Los Angeles, Ventura, Santa Barbara, San Bernardino, Orange, Riverside, San Diego, or Imperial shall submit the letter to the Complaint Coordinator, Department of Toxic Substances Control, Statewide Compliance Division, Chatsworth Regional Office, 9211 Oakdale Avenue, Chatsworth, CA 91311-6505.
(2) Owners or operators of facilities located in any other county, or out of state, shall submit the letter to the Complaint Coordinator, Department of Toxic Substances Control, Statewide Compliance Division, Northern California Branch, 8800 Cal Center Drive, Sacramento, California 95826-3200. 
NOTE

Authority cited: Sections 25150, 25159, 25169.6, 25169.7 and 25169.8, Health and Safety Code. Reference: Sections 25159, 25159.5, 25160.6, 25169.5, 25169.6, 25169.7 and 25200.19, Health and Safety Code; 40 Code of Federal Regulations Section 265.72; Hazardous Waste Report, Instructions and Forms (EPA Form 8700-13A/B); and 70 Fed. Reg. 10776 (Mar. 4, 2005), p. 10786-10787. 
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section and Note filed 4-4-2002 as an emergency; operative 4-4-2002 (Register 2002, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 8-1-2002 as an emergency; operative 8-1-2002 (Register 2002, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-2-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 12-2-2002 as an emergency; operative 12-3-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 4-1-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
6. Repealer of 4-1-2003 order, new subsections (c)-(d)(2) and amendment of Note filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
7. Change without regulatory effect amending section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
8. Change without regulatory effect amending subsection (i)(1) filed 11-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 47).
§66265.73. Operating Record.
Note     •     History

(a) The owner or operator shall keep a written operating record at the facility.
(b) The following information shall be recorded, as it becomes available, and maintained in the operating record until closure of the facility:
(1) a description and the quantity of each hazardous waste received, and the method(s) and date(s) of its transfer, treatment, storage, or disposal at the facility as required by Appendix I, of this chapter;
(2) the location of each hazardous waste within the facility and the quantity at each location. For disposal facilities, the location and quantity of each hazardous waste shall be recorded on a map or diagram of each cell or disposal area. For all facilities, this information shall include cross-references to specific manifest document numbers, if the waste was accompanied by a manifest;
(3) records and results of waste analysis, waste determinations, and trial tests performed as specified in sections 66265.13, 66265.200, 66265.225, 66265.252, 66265.273, 66265.314, 66265.341, 66265.375, 66265.402, 66265.1034, 66265.1063, 66265.1084, 66268.4(a), and 66268.7 of this division;
(4) summary reports and details of all incidents that require implementing the contingency plan as specified in section 66265.56(j);
(5) records and results of inspections as required by section 66265.15 (d) (except these data need be kept only three years);
(6) monitoring, testing, or analytical data, and corrective action when required by article 6 and sections 66265.19, 66265.90, 66265.94, 66265.191, 66265.193, 66265.195, 66265.222, 66265.223, 66265.226, 66265.255, 66265.259, 66265.260, 66265.276, 66265.278, 66265.280(d)(1), 66265.302 through 66265.304, 66265.347, 66265.377, 66265.1034(c) through 66265.1034(f), 66265.1035, 66265.1063(d) through 66265.1063(i),  66265.1064, and 66265.1083 through 66265.1090.
(7) all closure cost estimates under section 66265.142 and, for disposal facilities, all post-closure cost estimates under section 66265.144;
(8) records of the quantities (and date of placement) for each shipment of hazardous waste placed in land disposal units under an extension to the effective date of any land disposal restriction granted pursuant to section 66268.5, and the applicable notice required by a generator under section 66268.7(a);
(9) for an off-site treatment facility, a copy of the notice, and the certification and demonstration if applicable, required by the generator or the owner or operator under section 66268.7;
(10) for an on-site treatment facility, the information contained in the notice (except the manifest number), and the certification and demonstration if applicable, required by the generator or the owner or operator under section 66268.7;
(11) for an off-site land disposal facility, a copy of the notice, and the certification and demonstration if applicable, required by the generator or the owner or operator of a treatment facility under section 66268.7;
(12) for an on-site land disposal facility, the information contained in the notice (except the manifest number), and the certification and demonstration if applicable, required by the generator or the owner or operator of a treatment facility under section 66268.7;
(13) for an off-site storage facility, a copy of the notice, and the certification and demonstration if applicable, required by the generator or the owner or operator under section 66268.7;
(14) for an on-site storage facility, the information contained in the notice (except the manifest number), and the certification and demonstration if applicable, required by the generator or the owner or operator of a treatment facility under section 66268.7;
(15) for off-site facilities, notices to generators as specified in section 66265.12(b).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25208.4(c), Health and Safety Code; and 40 CFR Section 265.73.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (b)(3) and (b)(6) and  Note filed 12-23-92; operative 1-22-93 (Register 93, No. 1).
3. Change without regulatory effect amending subsection (b)(3) filed 12-28-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 53).
4. Amendment of  subsection  (b)(6) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
5. Amendment of subsections (b)(3) and (b)(8)-(14) and Note filed 1-31-96; operative 1-31-96 (Register 96, No. 5).
6. Change without regulatory effect amending subsection (b)(6) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
7. Change without regulatory effect amending subsections (b)(3) and (b)(6) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
8. Change without regulatory effect amending Note filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66265.74. Availability, Retention, and Disposition of Records.
Note     •     History

(a) All records, including plans, required under this chapter shall be furnished upon request, and made available at all reasonable times for inspection, by any officer, employee, or representative of USEPA who is duly designated by the Administrator, the Department, the State Water Resources Control Board, or a regional water quality control board.
(b) The retention period for all records required under this chapter is extended automatically during the course of any unresolved enforcement action regarding the facility or as requested by the Department or USEPA Administrator.
(c) A copy of records of waste disposal locations and quantities under section 66265.73(b)(2) shall be submitted to the Department, the appropriate regional water quality control board, and local land authority upon closure of the facility (see section 66265.119).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.74.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.75. Annual Report.
Note     •     History

For the Annual report on activities for 1995, only facilities that are required under Title 40 of the Code of Federal of Regulations (CFR), section 265.75 to prepare and submit this report are subject to this section for the report. This Report, due on March 1, 1996 is to be submitted on U.S. EPA form 8700-13A/B (5-80) (8-95) provided by the Department. Facilities required to submit this report for activities conducted during 1995 are facilities which treated, stored, or disposed of RCRA hazardous waste on site in units subject to RCRA permitting requirements during 1995.
The owner or operator shall prepare and submit single copies of an annual report to the Department and the appropriate regional water quality control board by March 1 of each year. The annual report shall be submitted on forms provided by the Department EPA Form 8700-13A/B, 5-80, (Revised 11-89). The report shall cover facility activities during the previous calendar year and shall include the following information:
(a) the Identification Number, name, and address of the facility;
(b) the calendar year covered by the report;
(c) for off-site facilities, the Identification Number of each hazardous waste generator from which the facility received a hazardous waste during the year; for imported shipments, the report shall give the name and address of the foreign generator:
(d) a description, including any applicable EPA hazardous waste number from chapter 11, article 3 or 4 of this division, California Hazardous Waste Number from chapter 11, Appendix XII of this division, and DOT Hazardous class, and the quantity of each hazardous waste the facility received during the year. Wastes that are classified as non-RCRA wastes shall be described by indicating a generic name of the waste and the phrase “Non-RCRA Hazardous Waste.” When possible, the generic name shall be obtained from chapter 11, Appendix X, subdivision (e) of this division. If the generic name is not listed in chapter 11, Appendix X, subdivision (e), the commonly recognized industrial name of the waste shall be used. For off-site facilities, this information shall be listed by Identification Number of each generator;
(e) the method of transfer, treatment, storage, or disposal for each hazardous waste;
(f) monitoring data under article 6 of this chapter where required;
(g) the most recent closure cost estimate under section 66265.142, and, for disposal facilities, the most recent post-closure cost estimate under section 66265.144; and
(h) for generators who transfer, treat, store, or dispose of hazardous waste on-site, a description of the efforts undertaken during the year to reduce the volume and toxicity of waste generated;
(i) for generators who transfer, treat, store, or dispose of hazardous waste on-site, a description of the changes in volume and toxicity of waste actually achieved during the year in comparison to previous years to the extent such information is available for the years prior to 1984;
(j) the certification signed by the owner or operator of the facility or the facility's authorized representative;
(k) the environmental monitoring data specified in section 66265.73;
(l) the owner or operator shall certify the following in writing for waste shipped offsite after January 1, 1990. The certification shall be attached to the Annual Report, and include the following:
(1) whether the hazardous waste shipped offsite has a heating value of 3,000 British Thermal Units per pound of waste or less, and a volatile organic compound (VOC) content of one percent or less by weight; and
(2) if the waste had a heating value or VOC content greater than that specified in subsection (l)(B)(1), that:
(A) the waste was incinerated or treated by any method that has been authorized by the Department as part of a hazardous waste facility permit issued pursuant to Health and Safety Code section 25200; or
(B) the waste is exempted from the requirements of chapter 18, article 12; or
(C) the waste was recycled; or
(D) the waste was shipped out of California for incineration, treatment, disposal or recycling.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25155.5, 25159, 25159.5 and 25244.4, Health and Safety Code; 40 CFR Section 265.75.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New first paragraph filed 3-5-97; operative 4-4-97 (Register 97, No. 10).
3. Change without regulatory effect amending first paragraph filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66265.76. Unmanifested Waste Report.
Note     •     History

(a) If a facility accepts for transfer, treatment, storage, or disposal any hazardous waste from an off-site source without an accompanying manifest, or without an accompanying shipping paper as described in section 66263.20(e)(2) of this division, and if the waste is not excluded from the manifest requirement of this chapter, then the owner or operator shall prepare and submit a single copy of a report to the Department within fifteen days after receiving the waste. The unmanifested waste report shall be submitted in the form of a letter to the Department at: 

DTSC REPORT REPOSITORY 
GENERATOR INFORMATION SERVICES SECTION 
P.O. BOX 806 
SACRAMENTO, CA 95812-0806 
Such report shall be designated `Unmanifested Waste Report' and include the following information:
(1) the Identification Number, name, and address of the facility;
(2) the date the facility received the waste;
(3) the Identification Number, name, and address of the generator and the transporter, if available;
(4) a description and the quantity of each unmanifested hazardous waste the facility received;
(5) the method of transfer, treatment, storage, or disposal for each hazardous waste;
(6) the certification signed by the owner or operator of the facility or the facility's authorized representative; and
(7) a brief explanation of why the waste was unmanifested, if known.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 Code of Federal Regulations Section 265.76.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending section and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
§66265.77. Additional Reports.
Note     •     History

In addition to submitting the annual report and unmanifested waste reports described in sections 66265.75 and 66265.76, the owner or operator shall also report to the Department:
(a) releases, fires, and explosions as specified in section 66265.56(j);
(b) ground-water contamination and monitoring data as specified in sections 66265.93 and 66265.94;
(c) facility closure as specified in section 66265.115; and
(d) as otherwise required by chapter 15, articles 6 through 17, and Articles 27, 28 and 28.5 of this division.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25208.4(c), Health and Safety Code; and 40 CFR Section 265.77.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (d)  and  Note filed 12-23-92; operative 1-22-93 (Register 93, No. 1).
3. Change without regulatory effect amending subsection (d) and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.78. Reporting Hazardous Wastes of Concern Discovered To Be Missing While in Storage.
Note     •     History

(a) The owner or operator of a hazardous waste facility, except a facility operating under a Permit by Rule, Conditional Authorization, or Conditional Exemption, shall comply with reporting requirements set forth in this section, in the event that a hazardous waste of concern, as defined in section 66261.111(a), is discovered to be missing during storage at the facility, and the waste at issue represents a reportable quantity or a reportable difference in type, as specified in section 66261.111(b) and (c). 
(b) Upon discovering that a hazardous waste of concern is missing, and the waste at issue represents a reportable quantity or a reportable difference in type, the owner or operator shall immediately attempt to reconcile the reportable quantity or difference (e.g., by reviewing facility records). If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, the owner or operator shall immediately notify the Department by calling 1-800-69-TOXIC (1-800-698-6942) and providing the following information: 
(1) Facility name and identification number; 
(2) Generator name and identification number, if available; 
(3) Transporter name, identification number, and transporter registration number, if available; 
(4) Manifest number, if available; 
(5) Waste information (lines 11, 12, 13, and 14 of the manifest), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (as listed in Table I of the Appendix to Chapter 12, Article 7), quantity or volume of waste at issue, weight or volume units, and waste codes.
For shipments initiated on and after September 5, 2006, waste information (Items 9b, 10, 11, 12, and 13 of the manifest), including proper shipping name, hazard class or division, identification number, packing group, number of containers, container type (found in the manifest instructions in the Appendix to chapter 12, article 8), quantity or volume of waste at issue, weight or volume units, and waste codes; and 
(6) Potential locations or transportation routes where the hazardous waste of concern may have become missing (e.g., areas at the facility the waste was handled or stored or during transportation to the facility on highway or roads, by rail line, transfer station, truck stop, etc.). 
(c) If the reportable quantity or difference is not reconciled within 24 hours after it was discovered, in addition to complying with subsection (b), within 5 days after discovering the reportable quantity or difference, the owner or operator shall submit to the Department a letter describing the reportable quantity or difference and attempts to reconcile it. The owner or operator shall mail the letter to the appropriate address for the county in which the facility is located, as specified in section 66265.72(i). 
NOTE

Authority cited: Sections 25169.6, 25169.7 and 25169.8, Health and Safety Code. Reference: Sections 25169.5, 25169.6 and 25169.7, Health and Safety Code; and 40 Code of Federal Regulations 262 Appendix. 
HISTORY

1. New section filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
2. Change without regulatory effect amending subsection (b)(5) and Note filed 8-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 34).
Article 6. Water Quality Monitoring and Response Programs for Interim Status Facilities
§66265.90. Applicability.
Note     •     History

(a) The regulations in this article apply to owners or operators of facilities specified in section 66265.1(b). A surface impoundment, waste pile, land treatment unit or landfill that receives or has received hazardous waste after November 19, 1980 shall comply with the requirements of this article for purposes of detecting, characterizing and responding to releases to groundwater, surface water or the unsaturated zone. The Department shall require an owner or operator of a surface impoundment, waste pile, land treatment unit or landfill that ceased receiving hazardous waste by November 19, 1980 to comply with the requirements of this article if the Department determines that constituents in or derived from waste placed in the surface impoundment, waste pile, land treatment unit or landfill may pose a threat to human health or the environment. A surface impoundment, waste pile, land treatment unit or landfill required to comply with the provisions of this article is hereinafter referred to as a “regulated unit.”
(b) The Department may replace all or part of the requirements of sections 66265.91 through 66265.99 applying to a regulated unit with alternative requirements for a water quality monitoring and response program set out in an approved closure or post-closure plan where the Department determines that:
(1) The regulated unit is situated among solid waste management units (or areas of concern), a release has occurred, and both the regulated unit and one or more solid waste management unit(s) (or areas of concern) are likely to have contributed to the release; and
(2) It is not necessary to apply the water quality monitoring and response program requirements of sections 66265.91 through 66265.99 because alternative requirements will protect human health and the environment. The alternative standards for the regulated unit must meet the requirements of section 66264.101(a). 
(c) In order to apply section 66265.90(b), the owner or operator must submit a report to the Department that demonstrates that each proposed alternative to the requirements of sections 66265.91 through 66265.99 shall provide adequate protection of human health and the environment. The demonstration report shall include the rationale and all supporting data for each proposed alternative requirement. The owner or operator is not relieved of any requirement of sections 66265.91 through 66265.99 until the Department provides written approval of the submitted report. 
(d) If the owner or operator determines that any alternative requirement specified through section 66265.90(c) may not adequately protect human health and the environment, the owner or operator shall, within 90 days, submit an amended water quality sampling and analysis plan to make any appropriate changes to the water quality monitoring and response program.
(e) In the event that the Department determines that any alternative requirement specified through section 66265.90(c) may not adequately protect human health and the environment, the Department shall send written notification of such determination to the owner or operator by certified mail, return receipt requested. As part of the determination, the Department may require that certain requirements of sections 66265.91 through 66265.99 be reinstated in whole or part. The owner or operator shall, within 90 days after receipt of such notification by the Department, submit an amended water quality sampling and analysis plan to make any appropriate changes to the water quality monitoring and response program. 
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25150.5 and 25159, Health and Safety Code; and 40 CFR Section 265.90.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New subsections (b)-(e) and amendment of Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66265.91. Required Programs and the Water Quality Sampling and Analysis Plan.
Note     •     History

(a) An owner or operator subject to this article shall conduct a monitoring and response program for each regulated unit at the facility as follows:
(1) the owner or operator shall institute a detection monitoring program under section 66265.98 except as required under subsections (a)(2) and (a)(3) of this section;
(2) the owner or operator shall institute an evaluation monitoring program under section 66265.99 whenever there is statistically significant evidence of a release, pursuant to section 66265.98(g) or (i) from the regulated unit during a detection monitoring program; and
(3) the owner or operator shall institute an evaluation monitoring program under section 66265.99 whenever there is significant physical evidence of a release from the regulated unit. Significant physical evidence of a release includes unexplained volumetric changes in surface impoundments, unexplained stress in biological communities, unexplained changes in soil coloration, visible signs of leachate migration, unexplained water table mounding beneath or adjacent to the regulated unit and any other change to the environment that could reasonably be expected to be the result of a release from the regulated unit.
(b) The owner or operator shall develop and follow a water quality sampling and analysis plan that satisfies the requirements of this article. The owner or operator shall submit this plan to the Department and institute a water quality monitoring program required by subsection (a) of this section. The owner or operator shall submit all modifications to the water quality sampling and analysis plan to the Department and shall maintain a current version of the water quality sampling and analysis plan in the operating record at the facility. The Department shall require the owner or operator to modify the water quality sampling and analysis plan as necessary to protect human health or the environment.
(c) The owner or operator shall specify in the water quality sampling and analysis plan the specific elements of each monitoring and response program. For each regulated unit, the owner or operator shall include in the water quality sampling and analysis plan one or more of the programs identified in subsection (a) of this section as may be necessary to protect human health or the environment and shall specify the circumstances under which each of the programs will be required.
(d) In conjunction with an evaluation monitoring program the owner or operator shall continue to conduct a detection monitoring program under section 66265.98 as necessary to provide the best assurance of the detection of subsequent releases from the regulated unit.
NOTE

Authority cited: Sections 25150, 25259 and 58012, Health and Safety Code. Reference: Sections 25150, 25150.5 and 25159, Health and Safety Code; and 40 CFR Section 265.91.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
2. Amendment of subsection (b) and Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66265.92. Water Quality Protection Standard.
Note     •     History

(a) For each regulated unit, the owner or operator shall establish a water quality protection standard in the water quality sampling and analysis plan. This water quality protection standard shall consist of the list of constituents of concern under section 66265.93, the concentration limits under section 66265.94 and the point of compliance and all monitoring points under section 66265.95. This water quality protection standard shall apply during the active life of the regulated unit and during any compliance period under section 66265.96.
(b) If an owner or operator is conducting a detection monitoring program in conjunction with an evaluation monitoring program for a regulated unit pursuant to section 66265.91(d), the owner or operator may establish separate water quality protection standards for each program.
NOTE

Authority cited: Sections 208. 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25150.5 and 25159, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.93. Constituents of Concern.
Note     •     History

For each regulated unit, the owner or operator shall specify in the water quality sampling and analysis plan the constituents of concern to which the water quality protection standard of section 66265.92 applies. Constituents of concern are the waste constituents, reaction products, and hazardous constituents that are reasonably expected to be in or derived from waste contained in the regulated unit.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25150.5 and 25159, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.94. Concentration Limits.
Note     •     History

(a) For each constituent of concern specified pursuant to section 66265.93, the owner or operator shall specify in the water quality sampling and analysis plan one of the following for each medium (groundwater, surface water and the unsaturated zone) monitored pursuant to section 66265.97:
(1) a concentration limit not to exceed the background value of that constituent as determined under section 66265.97(e)(11)(A); or
(2) that, at any given time, the concentration limit for that constituent will be equal to the background value of that constituent, as determined pursuant to section 66265.97(e)(11)(B).
(b) The owner or operator shall only specify different concentration limits for different monitoring points in the same medium where necessary:
(1) to describe background conditions in multiple surface water bodies, multiple aquifers or geochemically dissimilar zones in the same aquifer; or
(2) because the statistical method selected for a constituent uses intra-well comparison procedures.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25150.5 and 25159, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.95. Monitoring Points and the Point of Compliance.
Note     •     History

(a) For each regulated unit, the owner or operator shall specify in the water quality sampling and analysis plan the point of compliance at which the water quality protection standard of section 66265.92 applies and at which monitoring shall be conducted. The point of compliance is a vertical surface, located at the hydraulically downgradient limit of the waste management area, that extends through the uppermost aquifer underlying the regulated unit. For each regulated unit, the owner or operator shall specify monitoring points at the point of compliance and additional monitoring points at locations determined pursuant to section 66265.97 of this article at which the water quality protection standard under section 66265.92 of this article applies and at which monitoring shall be conducted.
(b) The waste management area is the limit projected in the horizontal plane of the area on which waste will be placed during the active life of the regulated unit.
(1) The waste management area includes horizontal space taken up by any liner, dike or other barrier designed to contain waste in the regulated unit.
(2) If the facility contains contiguous regulated units and monitoring along a shared boundary would impair the integrity of a containment or structural feature of any of the units, the waste management area may be described by an imaginary line along the outer boundary of the contiguous regulated units if the water quality monitoring program for each unit will enable the earliest possible detection of a release from that regulated unit. This provision only applies to contiguous regulated units that were operating before July 1, 1991.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25150.5 and 25159, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.96. Compliance Period.
Note     •     History

(a) The owner or operator shall specify in the water quality sampling and analysis plan the compliance period for each regulated unit. The compliance period is the number of years equal to the active life of the regulated unit (including the closure period) and constitutes the minimum period of time during which the owner or operator shall conduct a water quality monitoring program subsequent to a release from the regulated unit.
(b) The compliance period begins each time the owner or operator initiates an evaluation monitoring program meeting the requirements of section 66265.99.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25150.5 and 25159, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.97. General Water Quality Monitoring and System Requirements.
Note     •     History

(a) The owner or operator shall comply with the requirements of this section for any water quality monitoring program developed to satisfy sections 66265.98 or 66265.99.
(b) Groundwater Monitoring System.
(1) Except as provided under subsection (e)(3) of this section, the owner or operator shall establish a groundwater monitoring system for each regulated unit. The design of the groundwater monitoring system shall be based upon the information obtained from hydrogeologic investigations of the facility area, including the identification of the uppermost aquifer and aquifers hydraulically interconnected and a determination of groundwater flow rate and direction in each such aquifer. This groundwater monitoring system shall be fully operational within 180 days of July 1, 1991. Until such groundwater monitoring system is fully operational, the owner or operator shall continue to comply with 40 CFR Part 265, Subpart F. This groundwater monitoring system shall include:
(A) a sufficient number of background monitoring points (at least one) installed at appropriate locations and depths to yield groundwater samples from the uppermost aquifer that represent the quality of groundwater that has not been affected by a release from the regulated unit;
(B) for a detection monitoring program under section 66265.98:
1. a sufficient number of monitoring points (at least three) installed at appropriate locations and depths to yield groundwater samples from the uppermost aquifer that represent the quality of groundwater passing the point of compliance and to allow for the detection of a release from the regulated unit;
2. a sufficient number of monitoring points installed at additional locations and depths to yield groundwater samples from the uppermost aquifer as necessary to provide the best assurance of the earliest possible detection of a release from the regulated unit; and
3. a sufficient number of monitoring points and background monitoring points installed at appropriate locations and depths to yield groundwater samples from other aquifers, low-yielding saturated zones and from zones of perched water as necessary to provide the best assurance of the earliest possible detection of a release from the regulated unit; and
(C) for an evaluation monitoring program under section 66265.99:
1. a sufficient number of monitoring points (at least three) installed at appropriate locations and depths to yield groundwater samples from the uppermost aquifer that represent the quality of groundwater passing the point of compliance, and at other locations in the uppermost aquifer as necessary, to provide the data needed to evaluate changes in water quality due to the release from the regulated unit; and
2. a sufficient number of monitoring points and background monitoring points installed at appropriate locations and depths to yield groundwater samples from other aquifers, low-yielding saturated zones and zones of perched water as necessary to provide the data needed to evaluate changes in water quality due to the release from the regulated unit.
(2) The groundwater monitoring system may include background monitoring points that are not hydraulically upgradient of the regulated unit if documentation is maintained in the facility operating record that demonstrates that sampling at other monitoring points will provide samples that are representative of the background quality of groundwater or are more representative than those provided by the upgradient monitoring points.
(3) A copy of each well report, as required by Water Code section 13751, shall be submitted to the Department within 60 days of the construction, alteration, or destruction of the well.
(4) All monitoring wells shall be cased and constructed in a manner that maintains the integrity of the monitoring well bore hole and prevents the bore hole from acting as a conduit for contaminant transport.
(5) The sampling interval of each monitoring well shall be appropriately screened and fitted with an appropriate filter pack to enable collection of representative groundwater samples.
(6) For each monitoring well the annular space (i.e., the space between the bore hole and well casing) above and below the sampling interval shall be appropriately sealed to prevent entry of contaminants from the surface, entry of contaminants from the unsaturated zone, cross contamination of saturated zones and contamination of samples.
(7) All monitoring wells shall be adequately developed to enable collection of representative groundwater samples.
(8) All wells shall be adequately destroyed (decommissioned) if the wells no longer provide useful information. Decommissioning may only proceed after approval by the Department or as directed by the Department. 
(c) Surface Water Monitoring System.
(1) The owner or operator shall establish a surface water monitoring system to monitor each surface water body that could be affected by a release from the regulated unit.
(2) Each surface water monitoring system shall include:
(A) a sufficient number of background monitoring points established at appropriate locations and depths to yield samples from each surface water body that represent the quality of the surface water that has not been affected by a release from the regulated units;
(B) for a detection monitoring program under section 66265.98, a sufficient number of monitoring points established at appropriate locations and depths to yield samples from each surface water body that provide the best assurance of the earliest possible detection of a release from the regulated unit; and
(C) for an evaluation monitoring program under section 66265.99, a sufficient number of monitoring points established at appropriate locations and depths to yield samples from each surface water body that provide the data necessary to evaluate changes in water quality due to the release from the regulated unit.
(3) The owner or operator may modify or exclude certain chapter 15, article 6 requirements pertaining to surface water monitoring if it is impracticable or technically inappropriate to comply with surface water monitoring requirements listed in this article. The owner or operator shall make an appropriate demonstration for alternative surface water monitoring requirements and obtain written approval from the Department before incorporating any changes into the water quality sampling and analysis plan. 
(d) Unsaturated Zone Monitoring System.
(1) Except as otherwise provided in subsection (d)(5) of this section, the owner or operator shall establish an unsaturated zone monitoring system for each regulated unit.
(2) The unsaturated zone monitoring system shall include:
(A) a sufficient number of background monitoring points established at appropriate locations and depths to yield soil-pore liquid samples or soil-pore liquid measurements that represent the quality of soil-pore liquid that has not been affected by a release from the regulated unit;
(B) for a detection monitoring program under section 66265.98, a sufficient number of monitoring points established at appropriate locations and depths to yield soil-pore liquid samples or soil-pore liquid measurements that provide the best assurance of the earliest possible detection of a release from the regulated unit; and
(C) for an evaluation monitoring program under section 66265.99, a sufficient number of monitoring points established at appropriate locations and depths to yield soil-pore liquid samples or soil-pore liquid measurements as necessary to provide the data needed to evaluate changes in water quality due to the release from the regulated unit.
(3) Background monitoring points shall be installed at a background plot having soil characteristics similar to those of the soil underlying the regulated unit.
(4) The owner or operator shall install liquid recovery types of unsaturated zone monitoring (e.g., the use of lysimeters) unless the owner or operator submits to the Department, and maintains in the facility operating record, evidence that such methods of unsaturated zone monitoring cannot provide useful information regarding a release from the regulated unit. The owner or operator shall install complementary or alternative (nonliquid recovery) types of unsaturated zone monitoring as necessary to adequately monitor a release from the regulated unit.
(5) The owner or operator may modify or exclude certain chapter 15, article 6 requirements pertaining to unsaturated zone monitoring if it is impracticable (e.g., insufficient liquid volume for analyses) or technically inappropriate to conduct unsaturated zone monitoring at the regulated unit. The owner or operator shall make an appropriate demonstration for alternative unsaturated zone monitoring requirements and obtain written approval from the Department before incorporating any changes into the water quality sampling and analysis plan. 
(6) The owner or operator of a land treatment unit shall comply with the unsaturated zone monitoring and response requirements for that unit in article 13 of this chapter, in addition to the unsaturated zone monitoring requirements of this article.
(e) General Monitoring Requirements.
(1) All monitoring systems shall be designed and certified by a registered geologist or a registered civil engineer.
(2) All monitoring wells and all other borings drilled to satisfy the requirements of this article shall be logged during drilling under the direct supervision of a registered geologist. These logs shall be submitted to the Department upon completion of drilling.
(A) Soil shall be described in the geologic log according to the Unified Soil Classification System as presented in Geotechnical Branch Training Manuals Nos. 4, 5 and 6, published by the United States Bureau of Reclamation, January 1986, incorporated by reference in section 66260.11 of this division.
(B) Rock shall be described in the geologic log in a manner appropriate for the purpose of the investigation.
(C) Where possible, the depth and thickness of saturated zones shall be recorded in the geologic log.
(3) If a facility contains contiguous regulated units, separate groundwater monitoring systems are not required for each such unit if the water quality monitoring program for each unit will enable the earliest possible detection and measurement of a release from that unit.
(4) The water quality monitoring program shall include consistent sampling and analytical procedures that are designed to ensure that monitoring results provide a reliable indication of water quality at all monitoring points and background monitoring points. At a minimum the program shall include a detailed description of the procedures and techniques for:
(A) sample collection (e.g., purging techniques, sampling equipment and decontamination of sampling equipment);
(B) sample preservation and shipment;
(C) analytical procedures; and
(D) chain of custody control.
(5) The water quality monitoring program shall include appropriate sampling and analytical methods for groundwater, surface water and the unsaturated zone that accurately measure the concentration of each constituent of concern and the concentration or value of each monitoring parameter.
(6) For each regulated unit, the owner or operator shall collect all data necessary for selecting the appropriate statistical methods pursuant to subsections (e)(7), (e)(8) and (e)(9) of this section and for establishing the background values pursuant to subsection (e)(11) of this section. At a minimum, this data shall include analytical data obtained during quarterly sampling of all background monitoring points for a period of one year, including the times of expected highest and lowest annual elevations of the groundwater surface. The Department may approve sampling at times other than the expected highest and lowest annual elevations, if appropriate, however quarterly sampling is still required for a period of at least one year. For a new regulated unit, this data shall be collected before wastes are discharged at the unit and background soil pore liquid data shall be collected from beneath the unit before the unit is constructed.
(7) Based on data collected pursuant to subsection (e)(6) of this section the owner or operator shall select one of the statistical methods specified in subsection (e)(8) of this section for each constituent of concern and for each monitoring parameter. These methods shall be specified in the water quality sampling and analysis plan and shall be used in evaluating water quality monitoring data. The specifications for each statistical method shall include a detailed description of the criteria to be used for determining statistically significant evidence of any release from the regulated unit and for determining compliance with the water quality protection standard. Each statistical test specified for a particular constituent of concern or monitoring parameter shall be conducted separately for that constituent of concern or monitoring parameter at each monitoring point. The owner or operator shall maintain sufficient documentation in the facility operating record to demonstrate that use of the selected statistical methods will be protective of human health and the environment and will comply with the performance standards outlined in subsection (e)(9) of this section.
(8) The owner or operator shall specify one of the following statistical methods in the water quality sampling and analysis plan:
(A) a parametric analysis of variance (ANOVA) followed in all instances by a multiple comparisons procedure to identify statistically significant evidence of a release from the regulated unit. The method shall include estimation and testing of the contrasts between each monitoring point's mean and the background mean value for each constituent of concern or monitoring parameter;
(B) an analysis of variance (ANOVA) based on ranks followed in all instances by a multiple comparisons procedure to identify statistically significant evidence of a release from the regulated unit. The method shall include estimation and testing of the contrasts between each monitoring point's median and the background median values for each constituent of concern or monitoring parameter;
(C) a tolerance or prediction interval procedure in which an interval for each constituent of concern or monitoring parameter is established from the distribution of the background data, and the value for each constituent of concern or monitoring parameter at each monitoring point is compared to the upper tolerance or prediction limit;
(D) a control chart approach that gives control limits for each constituent of concern or monitoring parameter; or
(E) another statistical test method if sufficient documentation to support selection of the method is submitted to the Department and is maintained in the facility operating record. If the statistical test method includes a procedure to verify that there is statistically significant evidence of a release from the regulated unit, this procedure shall consist of either a single composite retest (i.e., a statistical analysis of the original data combined with newly-acquired data from the monitoring point at which evidence of a release has been indicated) or shall consist of at least two discrete retests (i.e., statistical analyses which analyze only newly-acquired data from the monitoring point at which evidence of a release has been indicated). The verification procedure shall comply with the following requirements in addition to the statistical performance standards under subsection (e)(9) of this section.
1. If the verification procedure consists of discrete retests, rejection of the null hypothesis for any one of the retests shall be considered confirmation of significant evidence of a release.
2. The number of additional samples collected and analyzed for use in the verification procedure shall be appropriate for the form of statistical test specified in the water quality sampling and analysis plan for that constituent of concern or monitoring parameter pursuant to subsection (e)(7) of this section. This number shall be greater than or equal to the number of samples specified in the water quality sampling and analysis plan for that constituent of concern or monitoring parameter pursuant to subsection (e)(12)(A) of this section.
3. If resampling at the interval identified for use in the initial statistical test pursuant to subsection (e)(12)(B) of this section would cause the entire resampling effort to take longer than 30 days, the sampling interval for use in the verification procedures shall be reduced to ensure that all samples are collected and submitted for laboratory analysis within 30 calendar days from the time that the owner or operator determines statistically significant evidence of a release pursuant to subsection 66265.98(g) or (i). Resampling may occur within a different time frame provided the owner or operator receives written approval from the Department. 
4. For a verification procedure consisting of a composite retest, the statistical verification procedure shall be based on all data obtained from the initial sampling event combined with all data obtained during the resampling event. For a verification procedure consisting of discrete retests, each shall analyze data obtained during its respective resampling event and no data shall be shared between retests.
5. For a verification procedure consisting of a composite retest, the statistical test method used in the verification procedure shall be the same as the method used in the initial statistical comparison, except that the statistical test used in the verification procedure shall be conducted at a Type 1 error level of no less than 0.05 for both the experimentwise analysis (if any) and the individual monitoring point comparisons; therefore, if a control chart approach is used to evaluate water quality monitoring data, the upper limit on an X-Bar or R-Chart must be set at no more than 1.645 standard deviations of the statistic plotted for a one-sided statistical comparison or at no more than 1.96 standard deviations of the statistic plotted for a two-sided statistical comparison.
6. For a verification procedure consisting of discrete retests, the statistical method used shall be the same as the method used in the initial statistical comparison. Notwithstanding any provision of subsection (e)(9) of this section, the critical value for the tests shall be chosen so that the Type I error rate for all individual monitoring point comparisons is the same, whether for an initial test or for a retest, and is equal-to-or-greater than either

	(1-0.951s(mws))0.5 x (1/r)0.5
		 or
1-(.99)1s6
whichever is larger, where: m = the number of monitoring parameters; w = the number of monitoring points at the waste management units; s = the number of times that suites of monitoring data from the waste management unit are subjected to initial statistical analysis within a period of six months (i.e., s > 1); and r = the number of discrete retests that are to be conducted at a monitoring point whose initial statistical analysis for a given constituent of concern or monitoring paramenter has indicated the presence of a release (i.e., r > 2).
7. The owner or operator shall report to the Department by certified mail the results of both the initial statistical test and the results of the verification procedure as well as all concentration data collected for use in these tests within seven days of the last laboratory analysis of the samples collected for the verification procedure.
8. The verification procedure shall only be performed for the constituent(s) which has shown statistically significant evidence of a release, and shall only be performed for that (those) monitoring point at which a release has been indicated.
(9) Each statistical method chosen under subsection (e)(7) of this section shall comply with the following performance standards for each six-month period.
(A) The statistical method used to evaluate water quality monitoring data shall be appropriate for the distribution of the constituent of concern or monitoring parameter to which it is applied and shall be the least likely of the appropriate methods to fail to identify a release from the regulated unit. If the distribution of a constituent of concern or monitoring parameter is inappropriate for a normal theory test, then the data shall be either transformed so that the distribution of the transformed data is appropriate for a normal theory test or a distribution-free theory test shall be used. If the distributions for the constituents of concern or monitoring parameters differ, more than one statistical method may be needed.
(B) If an individual monitoring point comparison procedure is used to compare an individual monitoring point constituent concentration or monitoring parameter value with a background parameter value or with a concentration limit in the water quality protection standard or with a background monitoring parameter value, the test shall be done at a Type I error level no less than 0.01. If a multiple comparisons procedure is used, the Type I experimentwise error rate shall be no less than 0.05; however, the Type I error of no less than 0.01 for each individual monitoring point comparison shall be maintained. This performance standard does not apply to tolerance intervals, prediction intervals or control charts.
(C) If a control chart approach is used to evaluate water quality, monitoring data, the specific type of control chart and its associated statistical parameter values (e.g., the upper control limit), shall be protective of human health and the environment. Any control charting procedure must have a false-positive rate of no less than 1 percent for each monitoring point charted (e.g., upper control limits on X-bar or R-charts used only once every six months must be set at no more than 2.327 standard deviations of the statistic plotted for a one-sided statistical comparison or at no more than 2.576 standard deviations of the statistic plotted for a two-sided statistical comparison).
(D) If a tolerance interval or a prediction interval is used to evaluate water quality monitoring data, the levels of confidence and, for tolerance intervals, the percentage of the population that the interval must contain shall be protective of human health and the environment. These statistical parameters shall be determined after considering the number of samples in the background data base, the data distribution, and the range of the concentrations or values for each constituent of concern or monitoring parameter. The coverage of any tolerance interval used must be no more than 95 percent and the confidence coefficient must be no more than 95 percent for a six-month period. Prediction intervals shall be constructed with an experimentwise error rate of no less than 5 percent and an individual monitoring point error rate of no less than 1 percent.
(E) The statistical method shall account for data below the practical quantification quantitation limit with one or more statistical procedures that are protective of human health and the environment. Any practical quantitation limit that is used in the statistical method shall be the lowest concentration (or value) that can be reliably achieved within limits of precision and accuracy specified in the water quality sampling and analysis plan for routine laboratory operating conditions that are available to the facility. 
(F) If necessary, the statistical methods shall include procedures to control or correct for seasonal and spatial variability as well as temporal correlation in the data.
(G) Any quality control procedure that is approved by the Department for application to water quality data from downgradient monitoring points for a monitored medium shall also be applied to all newly-acquired background data from that medium. Any newly-acquired background monitoring datum that is rejected by an approved quality control procedure shall be maintained in the facility record but shall be excluded from use in statistical comparisons with downgradient water quality data.
(10) Based on the data collected pursuant to subsection (e)(6) of this section and the statistical methods specified pursuant to subsection (e)(7) of this section, the owner or operator shall select and justify the use of a procedure for determining a background value for each constituent of concern and for each monitoring parameter specified in the water quality sampling and analysis plan. One of the following procedures shall be selected for groundwater, surface water and the unsaturated zone:
(A) a procedure for determining the background value for each constituent or parameter that does not display appreciable natural variation; or
(B) a procedure for establishing and updating the background value for a constituent or parameter to reflect changes in the background water quality if the use of contemporaneous or pooled data provides the greatest power to the statistical method for that constituent or parameter.
(11) Using the procedures for determining background values proposed pursuant to subsection (e)(10) of this section, the owner or operator shall specify in the water quality sampling and analysis plan one of the following for each constituent of concern and for each monitoring parameter:
(A) the background value established by the owner or operator using the procedure selected pursuant to subsection (e)(10)(A) of this section; or
(B) a detailed description of the procedure, selected pursuant to subsection (e)(10)(B) of this section, to be used by the owner or operator for establishing and updating the background value.
(12) For each constituent of concern and monitoring parameter listed in the water quality sampling and analysis plan, the owner or operator shall specify in the water quality sampling and analysis plan the sampling methods to be used to establish background values and the sampling methods to be used for monitoring pursuant to this article.
(A) The number and kinds of samples collected shall be appropriate for the form of statistical test employed, following generally accepted statistical principles. The sample size shall be as large as necessary to ensure with reasonable confidence that:
1. for a detection monitoring program, a release from the regulated unit will be detected; and
2. for an evaluation monitoring program, changes in water quality due to a release from the regulated unit will be recognized.
(B) The sampling method (including sampling frequency and the interval of time between successive samples) shall be appropriate for the medium from which samples are taken (e.g., groundwater, surface water and soil-pore liquid). The sampling method shall include either:
1. a sequence of at least four samples from each monitoring point, taken at an interval that assures, to the greatest extent technically feasible, that an independent sample is obtained. For groundwater, this interval shall be based upon the rate of groundwater movement in the aquifer and upon the fate and transport characteristics of the potential contaminants or pollutants. The rate of groundwater movement shall be calculated by reference to the aquifer's effective porosity, hydraulic conductivity and hydraulic gradient; or
2. an alternate sampling method if sufficient documentation is submitted to the Department and is maintained in the facility operating record to support selection of the method.
(13) The groundwater portion of the monitoring program shall include an accurate determination of the groundwater surface elevation and field parameters (temperature, electrical conductivity, turbidity and pH) at each well each time groundwater is sampled. Field parameter determinations may be modified or waived, after receiving written approval by the Department, if the owner or operator can demonstrate that representative samples are obtained. Any modifications to field parameter determinations shall be specified in the water quality sampling and analysis plan. 
(14) The owner or operator shall graph all analytical data from each monitoring point and background monitoring point and shall submit these graphs to the Department at least annually, except graphs are not required for constituents for which no new data have been collected since the previous graph submittal. Each graph shall represent data for one constituent of concern or monitoring parameter and shall be at a scale appropriate to show trends or variations in water quality. Unless the owner or operator receives written approval from the Department to use an alternate procedure, each graph shall include data from related monitoring and background points as long as the depicted data effectively illustrates trends or variations in the data.
(15) In addition to the water quality sampling conducted pursuant to the requirements of this article, the owner or operator shall measure the water level in each well and determine groundwater flow rate and direction in the uppermost aquifer and in any zones of perched water and in any additional aquifers monitored pursuant to subsection (b)(1) of this section at least quarterly, including the times of expected highest and lowest annual elevations of the water levels in the wells. The Department may approve collection of water level measurements at times other than the expected highest and lowest water level elevations, if appropriate, however quarterly measurements are still required. The owner or operator shall use this data to determine, at least annually, whether the requirements of section 66265.97(b)(1) are satisfied. If the evaluation shows that the requirements of section 66265.97(b)(1) are not satisfied the owner or operator shall, as soon as technically feasible, modify the number, location or depth of the groundwater monitoring wells as necessary to bring the groundwater monitoring system into compliance with the requirements of this article.
(16) Except as provided below, for all background monitoring points in groundwater, the owner or operator must, within 12 months of July 1, 1991, establish background concentrations or values for all constituents listed in Table 1 by sampling quarterly for one year. Results of this sampling shall be submitted to the Department within 15 days after completing each quarterly analysis. If an owner or operator has previously established background for these parameters pursuant to 40 C.F.R. Part 265 by quarterly sampling for at least one year, the owner or operator shall maintain a record of that sampling and analysis in the facility operating record and shall not repeat the sampling and analysis.

Table 1
Background Water Quality Parameters

	Arsenic	Barium
	Cadmium	Chloride
	Chromium	Coliform Bacteria
	Endrin	Fluoride
	Gross Alpha	Gross Beta
	Iron	Lead
	Lindane	Manganese
	Mercury	Methoxychlor
	Nitrate (as N)	pH
	Phenols	Radium
	Selenium	Silver
	Sodium	Specific Conductance
	Sulfate	Toxaphene
	2,4-D	2,4,5.TP Silver
	Total Organic Carbon	Total Organic Halogen
	Turbidity
(17) Water quality monitoring data collected in accordance with this article, including actual concentrations or values of all constituents and parameters, all background water quality data, all statistical evaluations, all water level elevation data and all data used to derive the groundwater flow rate and direction shall be maintained in the facility operating record throughout the active life of the facility and throughout the postclosure care period. The owner or operator shall submit this data to the Department at least annually. This information shall be submitted no later than March 1 following each calendar year. The Department shall require more frequent reporting where necessary to protect human health or the environment.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b)(3), new subsections (b)(8) and (c)(3), amendment of subsections (d)(4)-(5), (e)(6), (e)(8)(E)3., (e)(9)(E) and (e)(13)-(15) and amendment of Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66265.98. Detection Monitoring Program.
Note     •     History

(a) An owner or operator required, pursuant to section 66265.91 of this article, to establish a detection monitoring program for a regulated unit shall, at a minimum, comply with the requirements of this section for that unit.
(b) The owner or operator shall install water quality monitoring systems that are appropriate for detection monitoring and that comply with the provisions of section 66265.97 of this article.
(c) The owner or operator shall establish a background value pursuant to section 66265.97(e)(11) for each monitoring parameter specified under subsection (e) of this section and for each constituent of concern specified under section 66265.97(e)(11) of this article 66265.93.
(d) The owner or operator shall specify the water quality protection standard under section 66265.92 in the water quality sampling and analysis plan.
(e) The owner or operator shall specify in the water quality sampling plan a list of monitoring parameters for each medium (groundwater, surface water and the unsaturated zone) to be monitored pursuant to section 66265.97. The list for each medium shall include those physical parameters, hazardous constituents, waste constituents and reaction products that provide a reliable indication of a release from the regulated unit to that medium. The owner or operator shall specify each list of monitoring parameters in the water quality sampling and analysis plan after considering the following factors:
(1) the types, quantities and concentrations of constituents in wastes managed at the regulated unit;
(2) the expected or demonstrated correlation between the proposed monitoring parameters and the constituents of concern specified for the unit under section 66265.93;
(3) the mobility, stability and persistence of waste constituents or their reaction products;
(4) the detectability of physical parameters, waste constituents and reaction products;
(5) the background values and the coefficients of variation of proposed monitoring parameters in groundwater, surface water and the unsaturated zone; and
(6) the list of suggested detection monitoring analytes presented in Appendix VI of this chapter.
(f) Except as provided below, the owner or operator shall include in the list of monitoring parameters specified for groundwater pursuant to subsection (e) of this section each parameter listed in Table 1. The owner or operator may substitute a more appropriate parameter for a parameter listed in Table 1 if the owner or operator receives written approval for the substitution from the Department and documents in the facility operating record that the parameter is not appropriate for use as a monitoring parameter and that monitoring for the substitute parameter is more likely to provide early detection of a release from the regulated unit.

Table 1
Groundwater Monitoring Parameters

			Chloride	Iron
	Manganese	pH
	Phenols	Sodium
	Specific conductance	Sulfate
	Total organic carbon	Total organic halogen
			
(g) The owner or operator shall conduct sampling and analyses for the monitoring parameters listed in the water quality sampling and analysis plan. The owner or operator shall specify the frequencies for collecting samples and conducting statistical analyses to determine whether there is statistically significant evidence of a release from the regulated unit for any monitoring parameter specified in the water quality sampling and analysis plan pursuant to subsection (e) of this section. For groundwater, samples from each monitoring point and each background monitoring point shall be collected at least quarterly during detection monitoring, including the times of expected highest and lowest annual elevations of the groundwater surface. The Department may approve sampling at times other than the expected highest and lowest annual elevations, if appropriate, however quarterly sampling is still required. The owner or operator shall conduct more frequent sampling and statistical analyses where necessary to protect human health or the environment. When specifying the frequencies for collecting samples and conducting statistical analyses for groundwater, the owner or operator shall consider the groundwater flow rate and any variation in groundwater flow rate and direction.
(h) ln addition to monitoring for the monitoring parameters specified under subsection (e) of this section, the owner or operator shall periodically monitor for all constituents of concern specified in the water quality sampling and analysis plan and determine whether the regulated unit is in compliance with the water quality protection standard there is statistically significant evidence of a release for any constituent of concern using the statistical procedure specified pursuant to section 66265.97(e)(7) of this article. Whenever the regulated unit is not in compliance with the water quality protection standard, it shall be considered statistically significant evidence of a release from the regulated unit. The owner or operator shall specify in the water quality sampling and analysis plan the frequencies and locations for monitoring pursuant to this subsection after considering the degree of certainty associated with the expected or demonstrated correlation between values for monitoring parameters and values for the constituents of concern. Monitoring pursuant to this subsection shall be conducted at least every five years.
(i) The owner or operator shall conduct water quality monitoring for each monitoring parameter and each constituent of concern in accordance with section 66265.97(e)(12) of this article. The owner or operator shall maintain a record of water quality analytical data as measured and in a form necessary for the determination of statistical significance under subsections (h) and (j) of this section.
(j) For each monitoring point, the owner or operator shall determine whether there is statistically significant evidence of a release from the regulated unit for any monitoring parameter specified in the water quality sampling and analysis plan pursuant to subsection (e) of this section at a frequency specified pursuant subsection (g) of this section.
(1) In determining whether statistically significant evidence of a release from the regulated unit exists, the owner or operator shall use the method(s) specified in the water quality sampling and analysis plan under section 66265.97(e)(7). This method(s) shall be used to compare data collected at the monitoring point(s) with the background water quality data.
(2) The owner or operator shall determine whether there is statistically significant evidence of a release from the regulated unit at each monitoring point within a reasonable period of time after completion of sampling. The owner or operator shall specify in the water quality sampling and analysis plan what period of time is reasonable, after considering the complexity of the statistical test and the availability of laboratory facilities to perform the analysis of samples.
(3) The provisions of this section shall not preclude the Department from making an independent finding that there is statistically significant evidence of a release from the regulated unit. If the Department makes such a finding, the owner or operator shall comply with the provisions of this section that are required in response to statistically significant evidence of a release from the regulated unit.
(k) If the owner or operator determines pursuant to subsection (h) or (j) of this section that there is statistically significant evidence of a release from the regulated unit for any monitoring parameter or constituent of concern at any monitoring point, the owner or operator:
(1) shall notify the Department of the finding by certified mail within seven days of such determination. The notification shall identify for each affected monitoring point the monitoring parameters and constituents of concern that have indicated statistically significant evidence of a release from the regulated unit; and
(2) may immediately initiate a procedure to verify that there is statistically significant evidence of a release from the regulated unit for a parameter or constituent which has indicated a release at a monitoring point if that verification procedure has been specified for that constituent or parameter in the water quality sampling and analysis plan pursuant to section 66265.97(e)(8)(E).
(l) If the resampling pursuant to subsection (k)(2) of this section confirms that there is statistically significant evidence of a release from the regulated unit or if the owner or operator does not resample pursuant to subsection (k)(2) of this section, then the owner or operator shall:
(1) for that regulated unit, immediately sample all monitoring points affected by a release from the regulated unit and determine the concentration of all constituents of concern. The owner or operator may modify the number of monitoring points and constituents of concern after receiving written approval from the Department;
(2) for that regulated unit, immediately sample all monitoring points affected by a release from the regulated unit and determine whether constituents in the list of Appendix IX to chapter 14 are present, and if so, in what concentration(s). The owner or operator may modify the number of monitoring points and specific Appendix IX analytes after receiving written approval from the Department;
(3) for any Appendix IX constituents found in the analysis pursuant to subsection (l)(2) of this section that are not specified in the list of constituents of concern for that unit, the owner or operator may resample within one month and repeat the analysis for those constituents. Resampling may occur within a different time frame provided the owner or operator receives written approval from the Department. Each constituent detected in both analyses shall be added to the list of constituents of concern specified in the water quality protection standard for evaluation monitoring unless the owner or operator demonstrates to the satisfaction of the Department that the constituent is not reasonably expected to be in or derived from waste in the regulated unit. If the owner or operator does not resample for the constituents found pursuant to subsection (l)(2) of this section, the constituents found during this initial Appendix IX analysis will be added to the list of constituents of concern specified in the water quality protection standard for evaluation monitoring unless the owner or operator demonstrates to the satisfaction of the Department that the constituent is not reasonably expected to be in or derived from waste in the regulated unit;
(4) for each Appendix IX constituent added to the list of constituents of concern pursuant to subsection (k)(3) of this section, the owner or operator shall:
(A) collect all data necessary for establishing the background concentration for that constituent and for selecting an appropriate statistical procedure pursuant to section 66265.97(e)(6);
(B) select an appropriate statistical procedure pursuant to section 66265.97(e)(7);
(C) select a procedure to establish the background concentration for that constituent pursuant to section 66265.97(e)(10); and
(D) establish the background concentration pursuant to section 66265.97(e)(11);
(5) within 90 days of determining statistically significant evidence of a release, submit to the Department an amended water quality sampling and analysis plan to establish an evaluation monitoring program meeting the provisions of section 66265.99. The amended plan shall include the following information:
(A) an identification of the concentration of each constituent of concern at each monitoring point as determined during the most recent sampling events, and an identification of the concentration of each Appendix IX constituent at each monitoring point affected by a release from the regulated unit;
(B) any proposed changes to the water quality monitoring systems at the facility necessary to meet the requirements of section 66265.99;
(C) any proposed additions or changes to the monitoring frequency, sampling and analytical procedures or methods or statistical methods used at the facility necessary to meet the requirements of section 66265.99.
(D) a detailed description of the measures to be taken by the owner or operator to assess the nature and extent of the release from the regulated unit; and
(E) a schedule of implementation.
(6) within 180 days of determining statistically significant evidence of a release, submit to the Department an engineering feasibility study for a corrective action program necessary to meet the requirements of section 66264.100 of article 6 of chapter 14. At a minimum, the feasibility study shall contain a detailed description of the corrective action measures that could be taken to achieve background concentrations for all constituents of concern; and
(7) if the owner or operator determines, pursuant to subsection (g) or (i) of this section, that there is statistically significant evidence of a release from the regulated unit at any monitoring point, the owner or operator may demonstrate that a source other than the regulated unit caused the evidence of a release or that the evidence is an artifact caused by an error in sampling, analysis or statistical evaluation, or by natural variation in the groundwater, surface water or the unsaturated zone. The owner or operator may make a demonstration pursuant to this subsection in addition to, or in lieu of, submitting both an amended water quality sampling and analysis plan pursuant to subsection (k)(5) of this section and an engineering feasibility study pursuant to subsection (k)(6) of this section; however, the owner or operator is not relieved of the requirements specified in subsections (k)(5) and (k)(6) of this section unless the demonstration made under this subsection shows to the satisfaction of the Department that a source other than the regulated unit caused the evidence of a release or that the indication evidence resulted from error in sampling, analysis or evaluation or from natural variation in groundwater, surface water or the unsaturated zone. In making a demonstration pursuant to this subsection, the owner or operator shall:
(A) within seven days of determining statistically significant evidence of a release, notify the Department by certified mail that the owner or operator intends to make a demonstration under this subsection;
(B) within 90 days of determining statistically significant evidence of a release, submit a report to the Department that demonstrates that a source other than the regulated unit caused the evidence, or that the evidence resulted from error in sampling, analysis or evaluation, or from natural variation in groundwater. surface water, or the unsaturated zone;
(C) within 90 days of determining statistically significant evidence of a release, submit to the Department an amended water quality sampling and analysis plan to make any appropriate changes to the detection monitoring program; and
(D) continue to monitor in accordance with the detection monitoring program established under this section.
(m) If the owner or operator determines that there is significant physical evidence of a release as described in section 66265.91(a)(3) or that the detection monitoring program does not satisfy the requirements of this section, the owner or operator shall:
(1) notify the Department by certified mail within 7 days of such determination; and
(2) within 90 days of such determination, submit an amended water quality sampling and analysis plan to make any appropriate changes to the program.
(n) Any time the Department determines that the detection monitoring program does not satisfy the requirements of this section, the Department shall send written notification of such determination to the owner or operator by certified mail, return receipt requested. The owner or operator shall, within 90 days after receipt of such notification by the Department, submit an amended water quality sampling and analysis plan to make any appropriate changes to the program.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (g), (l)(1)-(3) and (l)(5)(A) and amendment of Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66265.99. Evaluation Monitoring Program.
Note     •     History

(a) An owner or operator required pursuant to section 66265.91 to establish an evaluation monitoring program for a regulated unit shall, at a minimum, comply with the requirements of this section for that unit. The evaluation monitoring program shall be used to assess the nature and extent of the release from the regulated unit and to design a corrective action program meeting the requirements of section 66264.100 of article 6 of chapter 14.
(b) The owner or operator shall collect and analyze all data necessary to assess the nature and extent of the release from the regulated unit. This assessment shall include a determination of the rate of migration of hazardous constituents and the spatial distribution and concentration of each constituent of concern throughout the zone affected by the release. The owner or operator shall complete this assessment as soon as technically feasible and, with 15 days of completion, shall submit to the Department a written report containing an assessment of environmental quality.
(c) Based on the data collected pursuant to subsections (b) and (e) of this section, the owner or operator shall update the engineering feasibility study required under section 66265.98(l)(6). The owner or operator shall submit this engineering feasibility study to the Department as soon as technically feasible.
(d) The owner or operator of any facility required to obtain a permit shall use the data collected pursuant to subsection (b) of this section and the engineering feasibility study submitted pursuant to subsection (c) of this section, to prepare Part B of the permit application under section 66270.14 of chapter 20 or to update Part B of the permit application if Part B has been previously submitted. At a minimum, the application shall include the following information:
(1) a detailed assessment of the nature and extent of the release from the regulated unit;
(2) a proposed water quality protection standard including any proposed concentration limits greater than background under section 66264.94(c), and all data necessary to justify each such limit;
(3) a detailed description of proposed corrective action measures that will be taken to achieve compliance with the water quality protection standard proposed for a corrective action program; and
(4) a plan for a water quality monitoring program that will demonstrate the effectiveness of the proposed corrective action.
(e) In addition to the requirements set forth in subsections (b), (c), and (d) of this section, the owner or operator shall continue to monitor groundwater, surface water and the unsaturated zone to evaluate changes in water quality resulting from the release from the regulated unit. In conducting this monitoring, the owner or operator shall comply with the following requirements:
(1) The owner or operator shall install water quality monitoring systems that are appropriate for evaluation monitoring and that comply with the provisions of section 66265.97. These water quality monitoring systems may include all or part of existing monitoring systems.
(2) The owner or operator shall select a list of monitoring parameters for each medium (groundwater, surface water, and the unsaturated zone) to be monitored pursuant to section 66265.97. The list for each medium shall include all hazardous constituents that have been detected in that medium and shall include those physical parameters, waste constituents and reaction products that provide a reliable indication of changes in water quality resulting from the release from the regulated unit to that medium. The owner or operator shall specify each list of monitoring parameters in the water quality sampling and analysis plan after considering the following factors:
(A) the types, quantities and concentrations of constituents in wastes managed at the regulated unit;
(B) information that demonstrates a sufficient correlation between the proposed monitoring parameters and the constituents of concern specified for the unit;
(C) the mobility, stability and persistence of waste constituents or their reaction products;
(D) the detectability of physical parameters, waste constituents and reaction products; and
(E) the background values and the coefficients of variation of proposed monitoring parameters in groundwater, surface water and the unsaturated zone.
(3) The owner or operator shall conduct sampling and analyses for the monitoring parameters listed in the water quality sampling and analysis plan. The owner or operator shall specify in the water quality sampling and analysis plan the frequencies for collecting samples and for conducting statistical analyses to evaluate changes in water quality due to the release from the regulated unit. For groundwater, samples from each monitoring point and each background monitoring point shall be collected at least quarterly during the compliance period of the regulated unit, including the times of expected highest and lowest annual elevations of the groundwater surface. The Department may approve sampling at times other than the expected highest and lowest annual elevations, if appropriate, however quarterly sampling is still required. The owner or operator shall conduct more frequent sampling where necessary to protect human health or the environment. When specifying the frequencies for collecting samples and conducting statistical analyses for groundwater, the owner or operator shall consider the groundwater flow rate and any variation in ground water flow rate and direction.
(4) In addition to monitoring for the monitoring parameters specified pursuant to subsection (e)(2) of this section, the owner or operator shall periodically monitor for all constituents of concern specified in the water quality sampling and analysis plan and evaluate changes in water quality due to the release from the regulated unit. The owner or operator shall specify the frequencies for monitoring pursuant to this subsection after considering the degree of certainty associated with the demonstrated correlation between values for monitoring parameters and values for the constituents of concern. Monitoring pursuant to this subsection shall be conducted at least every five years;
(5) The owner or operator shall conduct water quality monitoring for each monitoring parameter and each constituent of concern in accordance with section 66265.97(e)(12). The owner or operator shall maintain a record of water quality analytical data as measured and in a form necessary for the evaluation of changes in water quality due to the release from the regulated unit.
(6) The owner or operator shall analyze samples from all monitoring points affected by a release from the regulated unit for all constituents contained in Appendix IX to chapter 14 at least annually to determine whether additional hazardous constituents are present and, if so, at what concentration(s). The owner or operator may propose to modify the number of monitoring points and specific Appendix IX analytes based on site-specific conditions and previous Appendix IX sampling results. If the Department approves the proposal, it shall be incorporated into the water quality sampling and analysis plan. If the owner or operator finds Appendix IX constituents in the groundwater, surface water or the unsaturated zone that are not already identified in the water quality sampling and analysis plan as constituents of concern, the owner or operator may resample within one month and repeat the analysis for those constituents. Resampling may occur within a different time frame provided the owner or operator receives written approval from the Department. If the second analysis confirms the presence of new constituents, the owner or operator shall report the concentration of these additional constituents to the Department by certified mail within seven days after the completion of the second analysis and the owner or operator shall add them to the list of constituents of concern specified in the water quality sampling and analysis plan unless documentation is maintained in the facility operating record that demonstrates that the constituent is not reasonably expected to be in or derived from waste in the regulated unit. If the owner or operator does not resample, then the owner or operator shall report the concentrations of these additional constituents to the Department by certified mail within seven days after completion of the initial analysis and the owner or operator shall add them to the list of constituents of concern specified in the water quality sampling and analysis plan unless documentation is maintained in the facility operating record that demonstrates that the constituent is not reasonably expected to be in or derived from waste in the regulated unit.
(7) The owner or operator shall evaluate all water quality data obtained pursuant to subsection (e) of this section and all water level data obtained pursuant to section 66264.97(e)(15) on a quarterly basis to determine the rate and extent of migration of hazardous constituents and to describe the nature of changes in the geometry and geochemistry of the volume affected by the release. This information shall be reviewed with respect to the design criteria for the corrective action program. If the evaluation indicates that the plan for corrective action is insufficient, the owner or operator shall:
(A) notify the Department by certified mail within seven days of such determination; and
(B) within 90 days of such determination, submit, for approval by the Department any appropriate changes to the application for a permit; and
(8) the owner or operator shall submit to the Department by March 1, following each calendar year, a report on the results of the evaluation monitoring program including, but not limited to, the calculated rate of migration of hazardous constituents in groundwater.
(f) The owner or operator may demonstrate that a source other than the regulated unit caused the evidence of a release or that the evidence is an artifact caused by an error in sampling, analysis or statistical evaluation or by natural variation in groundwater, surface water or the unsaturated zone. Upon a successful demonstration, the Department shall specify that the owner or operator shall reinstitute a detection monitoring program meeting the requirements of section 66265.98. In making a demonstration under this subsection, the owner or operator shall:
(1) notify the Department by certified mail in writing that the owner or operator intends to make a demonstration pursuant to this subsection;
(2) submit a report to the Department that demonstrates that a source other than the regulated unit caused the evidence of a release or that the apparent noncompliance with the standard evidence resulted from error in sampling, analysis, or evaluation or from natural variation in groundwater, surface water or the unsaturated zone;
(3) submit to the Department an amended water quality sampling and analysis plan to reinstitute a detection monitoring program for the unit. This amended plan shall include all appropriate changes to the monitoring program; and
(4) continue to monitor in accordance with the evaluation monitoring program established pursuant to this section.
(g) The Department shall require interim corrective action measures where necessary to protect human health or the environment.
(h) If the owner or operator determines that the evaluation monitoring program does not satisfy the requirements of this section, the owner or operator shall, within 90 days, submit an amended water quality sampling and analysis plan to make any appropriate changes to the program.
(i) Any time the Department determines that the evaluation monitoring program does not satisfy the requirements of this section, the Department shall send written notification of such determination to the owner or operator by certified mail, return receipt requested. The owner or operator shall, within 90 days of such notification by the Department, submit an amended water quality sampling and analysis plan to make appropriate changes to the program.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (e), (e)(3) and (e)(6) and amendment of Note filed 4-12-2011; operative 5-12-2011 (Register 2011, No. 15).
§66265.101. Corrective Action for Interim Status Waste Management Units. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25187, 25200.10, 25200.14, 58009 and 58010, Health and Safety Code.
HISTORY

1. New section filed 11-19-98 as an emergency; operative 11-19-98 (Register 98, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-99 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 99, No. 12).
Article 7. Closure and Post-Closure
§66265.110. Applicability.
Note     •     History

Except as section 66265.1 provides otherwise:
(a) sections 66265.111 through 66265.115 (which concern closure) apply to the owners and operators of all hazardous waste management facilities; and
(b) sections 66265.116 through 66265.120 (which concern post-closure care) apply to the owners and operators of:
(1) all hazardous waste disposal facilities;
(2) waste piles and surface impoundments for which the owner or operator intends to remove the waste at closure to the extent that these sections are made applicable to such facilities in section 66265.228 or section 66265.258;
(3) tank systems that are required under section 66265.197 to meet requirements for landfills; and
(4) containment buildings that are required under section 66265.1102 to meet the requirement for landfills.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 25245 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245, 25246 and 58012, Health and Safety Code; 40 CFR Section 265.110.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (b)(1)-(3), new subsection (b)(4) and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (b)(1)-(3), new subsection (b)(4) and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b)(1)-(3), new subsection (b)(4) and amendment of Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (b)(1)-(3), new subsection (b)(4) and amendment of Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
§66265.111. Closure Performance Standard.
Note     •     History

The owner or operator shall close the facility in a manner that:
(a) minimizes the need for further maintenance, and
(b) controls, minimizes or eliminates, to the extent necessary to protect human health and the environment, post-closure escape of hazardous waste, hazardous constituents, leachate, contaminated rainfall or run-off, or waste decomposition products to the ground or surface waters or to the atmosphere, and
(c) complies with the closure requirements of this chapter including, but not limited to, the requirements of sections 66265.197, 66265.228, 66265.258, 66265.280, 66265.310, 66265.351, 66265.381, 66265.404,  and 66265.1102.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 25245 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 58012, Health and Safety Code; 40 CFR Section 265.111.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (c) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (c) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (c) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (c) and Note refiled  10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of History 5 (Register 96, No. 5).
7. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-95 (Register 96, No. 5).
§66265.112. Closure Plan; Amendment of Plan.
Note     •     History

(a) Written plan. By six months after the effective date of the rule that first subjects a facility to provisions of this section, the owner or operator of a hazardous waste management facility shall have a written closure plan. Until final closure is completed and certified in accordance with section 66265.115, a copy of the most current plan shall be kept at the facility and furnished to the Department upon request, including request by mail. In addition, for facilities without approved plans, it shall also be provided during site inspections, on the day of inspection, to any officer, employee or representative of the Department who is duly designated by the Director.
(b) Content of plan. The plan shall identify steps necessary to perform partial or final closure of the facility at any point during its active life and to perform final closure of the facility at the end of its active life. The closure plan shall include, at least:
(1) a description of how and when each hazardous waste management unit at the facility will be closed in accordance with section 66265.111; and
(2) a description of how and when final closure of the facility will be conducted in accordance with section 66265.111. The description shall identify the maximum extent of the operation which will be unclosed during the active life of the facility; and
(3) an estimate of the maximum inventory of hazardous wastes ever on-site over the active life of the facility and a detailed description of the methods to be used during partial and final closure, including, but not limited to methods for removing, transporting, treating, storing or disposing of all hazardous waste, identification of and the type(s) of off-site hazardous waste management unit(s) to be used, if applicable; and
(4) a detailed description of the steps needed to remove or decontaminate all hazardous waste residues and contaminated containment system components, equipment, structures, and soils during partial and final closure including, but not limited to, procedures for cleaning equipment and removing contaminated soils, methods for sampling and testing surrounding soils, and criteria for determining the extent of decontamination necessary to satisfy the closure performance standard; and
(5) a detailed description of other activities necessary during the partial and final closure period to ensure that all partial closures and final closure satisfy the closure performance standards, including, but not limited to, groundwater monitoring, leachate collection, and run-on and run-off control; and
(6) a schedule for closure of each hazardous waste management unit and for final closure of the facility. The schedule shall include, at a minimum, the total time required to close each hazardous waste management unit and the time required for intervening closure activities which will allow tracking of the progress of partial and final closure. (For example, in the case of a landfill unit, estimates of the time required to treat or dispose of all hazardous waste inventory and of the time required to place a final cover shall be included); and
(7) an estimate of the expected year of final closure.
(8) all information necessary to enable the Department to prepare an Initial Study for the closure plan, which meets the requirements of Title 14, CCR section 15063, unless the Department has determined that the closure plan is exempt from the requirements of the California Environmental Quality Act pursuant to Title 14, CCR section 15061.
(c) Amendment of plan. The owner or operator may amend the closure plan at any time prior to the notification of partial or final closure of the facility. An owner or operator with an approved closure plan shall submit a written request to the Department to authorize a change to the approved closure plan. The written request shall include a copy of the amended closure plan for approval by the Department.
(1) The owner or operator shall amend the closure plan whenever:
(A) changes in operating plans or facility design affect the closure plan, or
(B) there is a change in the expected year of closure, or
(C) in conducting partial or final closure activities, unexpected events require a modification of the closure plan.
(2) The owner or operator shall amend the closure plan at least 60 days prior to the proposed change in facility design or operation, or no later than 60 days after an unexpected event has occurred which has affected the closure plan. If an unexpected event occurs during the partial or final closure period, the owner or operator shall amend the closure plan no later than 30 days after the unexpected event. These provisions also apply to owners or operators of surface impoundments and waste piles who intended to remove all hazardous wastes at closure, but are required to close as landfills in accordance with section 66265.310.
(3) An owner or operator with an approved closure plan shall submit the modified plan to the Department at least 60 days prior to the proposed change in facility design or operation, or no later than 60 days after an unexpected event has occurred which has affected the closure plan. If an unexpected event occurs during the partial or final closure period, the owner or operator shall submit the modified plan no later than 30 days after the unexpected event. These provisions also apply to owners or operators of surface impoundments and waste piles who intended to remove all hazardous wastes at closure but are required to close as landfills in accordance with section 66265.310. If the amendment to the plan is a Class 2 or 3 modification according to the criteria in section 66270.42, the modification to the plan will be approved according to the procedures in section 66265.112(d)(4).
(4) The Department may request modifications to the plan under the conditions described in subsection (c)(1) of this section. An owner or operator with an approved closure plan shall submit the modified plan within 60 days of the request from the Department, or within 30 days if the unexpected event occurs during partial or final closure. If the amendment is considered a Class 2 or 3 modification according to the criteria in section 66270.42, the modification to the plan will be approved in accordance with the procedures in section 66265.112(d)(4).
(d) Notification of partial closure and final closure.
(1) The owner or operator shall submit the closure plan to the Department at least 180 days prior to the date on which the owner or operator expects to begin closure of the first surface impoundment, waste pile, land treatment, or landfill unit, or final closure if it involves such a unit, whichever is earlier. The owner or operator shall submit the closure plan to the Department at least 180 days prior to the date on which the owner or operator expects to begin partial or final closure of a boiler or industrial furnace. The owner or operator shall submit the closure plan to the Department at least 180 days prior to the date on which the owner or operator expects to begin final closure of a facility with only tanks or containers used for transfer, treatment or storage, or incinerator units. An owner or operator with an approved closure plan shall notify the Department in writing at least 60 days prior to the date on which the owner or operator expects to begin closure of a surface impoundment, waste pile, landfill, or land treatment unit, or final closure of a facility involving such a unit. Owners or operators with approved closure plans shall notify the Department in writing at least 45 days prior to the date on which the owner or operator expects to begin partial or final closure of a boiler or industrial furnace. An owner or operator with an approved closure plan shall notify the Department in writing at least 45 days prior to the date on which the owner or operator expects to begin final closure of a facility with only tanks or containers used for transfer, treatment or storage, or incinerator units.
(2) The date when the owner or operator “expects to begin closure” shall be either no later than the date on which any hazardous waste management unit receives the known final volume of hazardous wastes or, if there is a reasonable possibility that the hazardous waste management unit will receive additional hazardous wastes, no later than one year after the date on which the unit received the most recent volume of hazardous waste. The Department may approve an extension to this one-year limit if the owner or operator of a hazardous waste management unit demonstrates to the satisfaction of the Department that the hazardous waste management unit or facility has the capacity to receive additional hazardous wastes, the owner or operator has taken, and will continue to take, all steps necessary to comply with all interim status requirements, and the extension will not pose a threat to human health and the environment.
(3) For units meeting the requirements of section 66265.113(d), the date when the owner or operator “expects to begin closure” shall be no later than the date on which the hazardous waste management unit receives the known final volume of non-hazardous wastes, or if there is a reasonable possibility that the hazardous waste management unit will receive additional non-hazardous wastes, no later than one year after the date on which the unit received the most recent volume of non-hazardous wastes. If the owner or operator can demonstrate to the Department that the hazardous waste management unit has the capacity to receive additional non-hazardous wastes and the owner or operator has taken, and will continue to take, all steps to prevent threats to human health and threats to the environment, including compliance with all applicable interim status requirements, the Department may approve an extension to this one-year limit. A facility operating under the requirements of section 66265.113(d) shall continue to be subject to the facility fee specified in Health and Safety Code, Division 20, section 25205.2(d), until the facility has complied with the requirements of section 66265.113(a). Health and Safety Code, Division 20, section 25205.2(d)(4) shall not apply to a facility operating pursuant to section 66265.113(d).
(4) The owner or operator shall submit the closure plan to the Department no later than 15 days after:
(A) termination of interim status except when a permit is issued simultaneously with termination of interim status; or
(B) issuance of a judicial decree or final order under Health and Safety Code section 25358.3 or article 8 of chapter 6.5 of division 20 of the Health and Safety Code to cease receiving hazardous wastes or close.
(5) The Department will provide the owner or operator and the public, through a newspaper notice, the opportunity to submit written comments on the plan and request modifications to the plan no later than 30 days from the date of the notice. The Department will also, in response to a request or at the Department's own discretion, hold a public hearing whenever such a hearing might clarify one or more issues concerning a closure plan. The Department will give public notice of the hearing at least 30 days before it occurs. Public notice of the hearing may be given at the same time as notice of the opportunity for the public to submit written comments, and the two notices may be combined. The Department will approve, modify, or disapprove the plan within 90 days of its receipt. If the Department does not approve the plan the Department shall provide the owner or operator with a detailed written statement of reasons for the refusal and the owner or operator shall modify the plan or submit a new plan for approval within 30 days after receiving such written statement. The Department will approve or modify this plan in writing within 60 days. If the Department modifies the plan, this modified plan becomes the approved closure plan. The Department shall assure that the approved plan is consistent with sections 66265.111 through 66265.115 and the applicable requirements of article 6 of this chapter and sections 66265.197, 66265.228, 66265.258, 66265.280, 66265.310, 66265.351, 66265.381, 66265.404, and 66265.1102. A copy of the modified plan with a detailed statement of reasons for the modifications shall be mailed to the owner or operator.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 265.112; Sections 21080(c), 21080.1, 21080.3, 21082.1, 21100 and 21151, Public Resources Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (d)(4) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (d)(4) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (d)(4) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (d)(4) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-95 (Register 96, No. 5).
7. New subsection (d)(3), subsection renumbering, and amendment of newly designated subsection (d)(5) and Note filed 6-20-96; operative 7-20-96 (Register 96, No. 25).
8. Amendment  of subsections (a) and (d)(1) and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
9. Change without regulatory effect amending subsection (d)(2) filed 10-22-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 43).
10. Change without regulatory effect amending subsection (d)(3) filed 12-23-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 52).
11. Change without regulatory effect amending subsection (d)(3) filed 1-7-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 2).
12. Change without regulatory effect amending subsection (d)(5) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66265.113. Closure; Time Allowed for Closure.
Note     •     History

(a) Within 90 days after receiving the final volume of hazardous wastes, or the final volume of non-hazardous wastes if the owner or operator complies with all applicable requirements in subsections (d) and (e) of this section, at a hazardous waste management unit or facility, or within 90 days after approval of the closure plan, whichever is later, the owner or operator shall treat, remove from the unit or facility, or dispose of on-site, all hazardous wastes in accordance with the approved closure plan. The Department may approve a longer period if the owner or operator demonstrates to the satisfaction of the Department that:
(1)(A) the activities required to comply with this subsection will, of necessity, take longer than 90 days to complete; or
(B) 1. the hazardous waste management unit or facility has the capacity to receive additional hazardous wastes, or has the capacity to receive non-hazardous wastes if the facility owner or operator complies with subsections (d) and (e) of this section; and
2. there is a reasonable likelihood that a person other than the owner or operator will recommence operation of the hazardous waste management unit or the facility within one year; and
3. closure of the hazardous waste management unit or facility would be incompatible with continued operation of the site; and
(2) the owner or operator has taken and will continue to take all steps to comply with all applicable interim status requirements and the longer period will not pose a threat to human health and the environment.
(b) The owner or operator shall complete partial and final closure activities in accordance with the approved closure plan and within 180 days after receiving the final volume of hazardous wastes, or the final volume of non-hazardous wastes if the owner or operator complies with all applicable requirements in subsections (d) and (e) of this section, at the hazardous waste management unit or facility, or 180 days after approval of the closure plan, if that is later. The Department may approve an extension to the closure period if the owner or operator demonstrates that:
(1)(A) the partial or final closure activities will, of necessity, take longer than 180 days to complete; or
(B) 1. the hazardous waste management unit or facility has the capacity to receive additional hazardous wastes, or has the capacity to receive non-hazardous wastes if the facility owner or operator complies with subsections (d) and (e) of this section; and
2. there is reasonable likelihood that a person other than the owner or operator will recommence operation of the hazardous waste management unit or the facility within one year; and
3. closure of the hazardous waste management unit or facility would be incompatible with continued operation of the site; and
(2) the owner or operator has taken and will continue to take all steps to prevent threats to human health and the environment from the unclosed, but not operating, hazardous waste management unit or facility, including compliance with all applicable interim status requirements.
(c) The demonstrations referred to in subsections (a) and (b) of this section shall be made as follows:
(1) the demonstrations in subsection (a) of this section shall be made at least 30 days prior to the expiration of the 90-day period in subsection (a); and
(2) the demonstrations in subsection (b) shall be made at least 30 days prior to the expiration of the 180-day period in subsection (b), unless the owner or operator is otherwise subject to the deadlines in subsection (d) of this section.
(d) The Department may allow an owner or operator to receive non-hazardous wastes in a landfill, land treatment, or surface impoundment unit after the final receipt of hazardous wastes at that unit, if:
(1) The owner or operator submits an amended Part B application, or a Part B application, if not previously required, and demonstrates to the Department that:
(A) the unit has the existing design capacity as indicated on the Part A application to receive non-hazardous wastes; and
(B) there is a reasonable likelihood that either the owner or operator or another person will receive non-hazardous wastes in the unit within one year after the final receipt of hazardous wastes; and
(C) the non-hazardous wastes will not be incompatible with any remaining hazardous wastes in the unit, or with the facility design and operating requirements of the unit or facility under this chapter; and
(D) closure of the hazardous waste management unit would be incompatible with continued operation of the unit or facility; and
(E) the owner or operator is operating and will continue to operate in compliance with all applicable interim status requirements of this chapter and with all applicable regulations promulgated by other state agencies governing discharges of hazardous or non-hazardous wastes to land and water, including, but not limited to, regulations promulgated by the California Integrated Waste Management Board and the State Water Resources Control Board; and
(2) The Part B application includes an amended waste analysis plan, monitoring and response program for groundwater, air and soil-pore gas required under articles 6 and 18 of this chapter, human exposure assessment required under Title 42, U.S.C. section 6939a, and closure and post-closure plans, and updated cost estimates and demonstrations of financial assurance for closure and post-closure care as necessary and appropriate, to reflect any changes due to the presence of hazardous constituents in the non-hazardous wastes and changes in closure activities, including the expected year of closure, if applicable under section 66265.112(b)(7), as a result of the receipt of non-hazardous wastes following the final receipt of hazardous wastes; and
(3) The Part B application is amended, as necessary and appropriate, to account for the receipt of non-hazardous wastes following receipt of the final volume of hazardous wastes; and
(4) The Part B application and the demonstrations referred to in subsection (d)(1) and (d)(2) of this section are submitted to the Department no later than 180 days prior to the date on which the owner or operator receives the known final volume of hazardous wastes, or no later than 90 days after the effective date of this rule, whichever is later.
(e) In addition to the requirements in subsection (d) of this section, an owner or operator of a hazardous waste surface impoundment that is not in compliance with the liner and leachate collection system requirements pursuant to Title 22, CCR, Division 4.5, Chapter 15, Article 11 shall:
(1) Submit with the Part B application:
(A) a contingent corrective measures plan, and
(B) a plan for removing hazardous wastes in compliance with subsection (e)(2) of this section; and
(2) Remove all hazardous wastes from the unit by removing all hazardous liquids and by removing all hazardous sludges to the extent practicable without impairing the integrity of the liner(s), if any.
(3) Removal of hazardous wastes shall be completed no later than 90 days after the final receipt of hazardous wastes. The Department may approve an extension to this deadline if the owner or operator demonstrates that the removal of hazardous wastes will, of necessity, take longer than the allotted period to complete and that an extension will not pose a threat to human health or the environment.
(4) If a release of hazardous waste that is a statistically significant increase (or decrease in the case of pH) in hazardous constituents over background levels or that exceeds the facility's protection standards for groundwater, air, or soil-pore gas at the points of compliance, if applicable, is detected in accordance with the requirements in articles 6 or 18 of this chapter, the owner or operator of the unit:
(A) shall implement corrective measures in accordance with the approved contingent corrective measures plan required by subsection (e)(1) of this section no later than one year after detection of the release of hazardous waste, or approval of the contingent corrective measures plan, whichever is later;
(B) may continue to receive wastes at the unit following detection of any release only if the approved corrective measures plan includes a demonstration that continued receipt of wastes will not impede corrective action; and
(C) may be required by the Department to implement corrective measures in less than one year, or to cease receipt of wastes until corrective measures have been implemented if necessary to protect human health or the environment.
(5) During the period of corrective action, the owner or operator shall provide semi-annual reports to the Department that describe the progress of the corrective action program, compile all monitoring data for groundwater, air, and soil-pore gas, and evaluate the effect of the continued receipt of non-hazardous wastes on the effectiveness of the corrective action.
(6) The Department may require the owner or operator to commence closure of the unit if the owner or operator fails to implement corrective action measures in accordance with the approved contingent corrective measures plan within one year as required in subsection (e)(4) of this section, or fails to make substantial progress in implementing corrective action and achieving the facility's protection standards for groundwater, air, or soil-pore gas, or background levels if the facility has not yet established a protection standard for groundwater, air, or soil-pore gas.
(7) If the owner or operator fails to implement corrective measures as required in subsection (e)(4) of this section, or if the Department determines that substantial progress has not been made pursuant to subsection (e)(6) of this section, the Department shall do the following:
(A) notify the owner or operator in writing that the owner or operator shall begin closure in accordance with the deadlines in subsections (a) and (b) of this section and provide a detailed statement of reasons for this determination.
(B) provide the owner or operator and the public, through a newspaper notice, the opportunity to submit written comments on the decision no later than 20 days after the date of the notice.
(C) If the Department receives no written comments, the decision will become final five days after the close of the comment period. The Department shall notify the owner or operator that the decision is final, and that a revised closure plan, if necessary, shall be submitted within 15 days of the final notice and that closure shall begin in accordance with the deadlines in subsections (a) and (b) of this section.
(D) If the Department receives written comments on the decision, the Department shall make a final decision within 30 days after the end of the comment period, and shall provide the owner or operator in writing and the public through a newspaper notice, a detailed statement of reasons for the final decision. If the Department determines that substantial progress has not been made, closure shall be initiated in accordance with the deadlines in subsections (a) and (b) of this section.
(E) The final determinations made by the Department under subsections (e)(7)(C)-(D) of this section are not subject to administrative appeal.
NOTE

Authority cited: Sections 25150, 25159, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25200.10, 25245 and 25246, Health and Safety Code; 40 CFR Section 265.113.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a), (a)(1)(B)1., (b), (b)(1)(B)1., (b)(2) and (c)(1)-(2), new subsections (d)-(e)(7)(E) and amendment of Note filed 6-20-96; operative 7-20-96 (Register 96, No. 25).
3. Change without regulatory effect amending subsections (a), (b) and (e)(5) filed 10-22-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 43).
4. Change without regulatory effect amending subsection (d)(2) filed 12-23-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 52).
5. Change without regulatory effect amending subsection (e)(3) and Note filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66265.114. Disposal or Decontamination of Equipment, Structures and Soils.
Note     •     History

During the partial and final closure periods, all contaminated equipment, structures and soil shall be properly disposed of, or decontaminated by removing all hazardous waste and residues, unless specified otherwise in sections 66265.197, 66265.228, 66265.258, 66265.280, or 66265.310. By removing all hazardous wastes and residues or hazardous constituents during partial and final closure, the owner or operator may become a generator of hazardous waste and shall handle that hazardous waste in accordance with all applicable requirements of chapter 12 of this division.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 265.114.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.115. Certification of Closure.
Note     •     History

Within 60 days of completion of closure of each hazardous waste surface impoundment, waste pile, land treatment, and landfill unit, and within 60 days of completion of final closure, the owner or operator shall submit to the Department, by registered mail, a certification that the hazardous waste management unit or facility, as applicable, has been closed in accordance with the specifications in the approved closure plan. The certification shall be signed by the owner or operator and by an independent qualified professional engineer, registered in California. Documentation supporting the independent registered professional engineer's certification shall be furnished to the Department upon request until the Department releases the owner or operator from the financial assurance requirements for closure under section 66265.143, subsection (i).
NOTE

Authority cited: Sections 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 265.115.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending section and Note filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
§66265.116. Survey Plat.
Note     •     History

No later than the submission of the certification of closure of each hazardous waste disposal unit, an owner or operator shall submit to the local zoning authority, or the authority with jurisdiction over local land use, and to the Department, a survey plat indicating the location and dimensions of landfill cells or other hazardous waste disposal units with respect to permanently surveyed vertical and horizontal benchmarks. This plat shall be prepared and certified by a professional land surveyor, licensed in California. The plat filed with the local zoning authority, or the authority with jurisdiction over local land use shall contain a note, prominently displayed, which states the owner's or operator's obligation to restrict disturbance of the hazardous waste disposal unit in accordance with the applicable regulations of this article.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 265.116.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.117. Post-Closure Care and Use of Property.
Note     •     History

(a) This section pertains to facilities at which all hazardous wastes, waste residues, contaminated materials and contaminated soils will not be removed during closure. Additional requirements for such facilities are cited in Title 23 of the California Code of Regulations.
(b)(1) Post-closure care for each hazardous waste management unit subject to the requirements of sections 66265.117 through 66265.120 shall begin after completion of closure of the unit and continue for 30 years after that date. It shall consist of at least the following:
(A) monitoring and reporting in accordance with the requirements of articles 6, 11, 12, 13, and 14 of this chapter; and
(B) maintenance and monitoring of waste containment systems in accordance with the requirements of articles 6, 11, 12, 13, and 14 of this chapter.
(2) Any time preceding closure of a hazardous waste management unit subject to post-closure care requirements or final closure, or any time during the post-closure period for a particular hazardous waste disposal unit, the Department shall:
(A) shorten the post-closure care period applicable to the hazardous waste management unit, or facility, if all disposal units have been closed, if the Department finds that the reduced period is sufficient to protect human health and the environment (e.g., leachate or ground-water monitoring results, characteristics of the hazardous waste, application of advanced technology, or alternative disposal, treatment, or re-use techniques indicate that the hazardous waste management unit or facility is secure); or
(B) extend the post-closure care period applicable to the hazardous waste management unit or facility, if the Department finds that the extended period is necessary to protect human health and the environment (e.g., leachate or groundwater monitoring results indicate a potential for migration of hazardous wastes at levels which may be harmful to human health and the environment).
(c)(1) The Department shall require, at partial and final closure, continuation of any of the security requirements of section 66265.14 during part or all of the post-closure period when:
(A) hazardous wastes may remain exposed after completion of partial or final closure; or
(B) access by the public or domestic livestock may pose a hazard to human health.
(2) To extend any of these requirements during post closure period, the Department will use the procedures of sections 66265.118(d) and (f).
(d) Post-closure use of property on or in which hazardous wastes remain after partial or final closure shall never be allowed to disturb the integrity of the final cover, liner(s), or any other components of the containment system, or the function of the facility's monitoring systems, unless the Department finds that the disturbance:
(1) is necessary to the proposed use of the property, and will not increase the potential hazard to human health or the environment; or
(2) is necessary to reduce a threat to human health or the environment.
(e) All post-closure care activities shall be in accordance with the provisions of the approved post-closure plan as specified in section 66265.118.
(f) Upon closure of a hazardous waste facility wherein hazardous wastes remain on-site no construction, filling, grading, excavating or mining shall occur without the issuance of a variance by the Department. No variance may be granted which is inconsistent with subsection (d) of this section.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 265.117.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.118. Post-Closure Plan; Amendment of Plan.
Note     •     History

(a) Written plan. The owner or operator of a hazardous waste disposal unit shall have a written post-closure plan. An owner or operator of a surface impoundment or waste pile that intends to remove all hazardous wastes at closure shall prepare a post-closure plan and submit it to the Department within 90 days of the date that the owner or operator or Department determines that the hazardous waste management unit or facility shall be closed as a landfill, subject to the requirements of sections 66265.117 through 66265.120.
(b) Until final closure of the facility, a copy of the most current post-closure plan shall be kept at the facility and furnished to the Department upon request, including request by mail. In addition, for facilities without approved post-closure plans, it shall also be provided during site inspections, on the day of inspection, to any officer, employee or representative of the Department who is duly designated by the Director. After final closure, the person or office specified in section 66265.118(c)(3) shall keep an updated and approved post-closure plan during the post-closure period,
(c) For each hazardous waste management unit subject to the requirements of this section, the post-closure plan shall identify the activities that will be carried on after closure of each disposal unit and the frequency of these activities, and include at least:
(1) a description of the planned monitoring activities and frequencies at which they will be performed to comply with articles 6, 11, 12, 13, and 14 of this chapter during the post-closure care period; and
(2) a description of the planned maintenance activities, and frequencies at which they will be performed, to ensure:
(A) the integrity of the cap and final cover and other containment systems in accordance with the requirements of articles 11, 12, 13, and 14 of this chapter; and
(B) the function of the monitoring equipment in accordance with the requirements of articles 6, 11, 12, 13, and 14 of this chapter; and
(3) the name, address, and phone number of the person or office to contact about the hazardous waste disposal unit or facility during the post-closure care period.
(4) all information necessary to enable the Department to prepare an Initial Study for the post-closure plan, which meets the requirements of Title 14, California Code of Regulations section 15063, unless the Department has determined that the post-closure plan is exempt from the requirements of the California Environmental Quality Act pursuant to Title 14, CCR section 15061.
(d) Amendment of plan. The owner or operator may amend the post-closure plan any time during the active life of the facility or during the post-closure care period. An owner or operator with an approved post-closure plan shall submit a written request to the Department to authorize a change to the approved plan. The written request shall include a copy of the amended post-closure plan for approval by the Department.
(1) The owner or operator shall amend the post-closure plan whenever:
(A) changes in operating plans or facility design affect the post-closure plan, or
(B) events which occur during the active life of the facility or the post-closure care period, including partial and final closures, affect the post-closure plan.
(2) The owner or operator shall amend the post-closure plan at least 60 days prior to the proposed change in facility design or operation, or no later than 60 days after an unexpected event has occurred which has affected the post-closure plan.
(3) An owner or operator with an approved post-closure plan shall submit the modified plan to the Department at least 60 days prior to the proposed change in facility design or operation, or no more than 60 days after an unexpected event has occurred which has affected the post-closure plan. If an owner or operator of a surface impoundment or a waste pile, who intended to remove all hazardous wastes at closure in accordance with section 66265.228(a) or 66265.258(a) is required to close as a landfill in accordance with section 66265.310, the owner or operator shall submit a post-closure plan within 90 days of the determination by the owner or operator or the Department that the unit shall be closed as a landfill. If the amendment to the post-closure plan is a Class 2 or 3 modification according to the criteria in section 66270.42, the modification to the plan will be approved according to the procedures in section 66265.118(f).
(4) The Department shall request modifications to the plan under the conditions described in subsection (d)(1) of this section. An owner or operator with an approved post-closure plan shall submit the modified plan no later than 60 days after the request from the Department. If the amendment to the plan is considered a Class 2 or 3 modification according to the criteria in section 66270.42, the modifications to the post-closure plan will be approved in accordance with the procedures in section 66265.118(f). If the Department determines that an owner or operator of a surface impoundment or waste pile who intended to remove all hazardous wastes at closure shall close the facility as a landfill, the owner or operator shall submit a post-closure plan for approval to the Department within 90 days of the determination.
(e) The owner or operator of a facility with hazardous waste management units subject to these requirements shall submit the post-closure plan to the Department at least 180 days before the date the owner or operator expects to begin partial or final closure of the first hazardous waste disposal unit. The date the owner or operator “expects to begin closure” of the first hazardous waste disposal unit shall be either no later than the date on which the hazardous waste management unit receives the known final volume of hazardous waste or, if there is a reasonable possibility that the hazardous waste management unit will receive additional hazardous wastes, no later than one year after the date on which the unit received the most recent volume of hazardous wastes. The owner or operator shall submit the post-closure plan to the Department no later than 15 days after:
(1) termination of interim status (except when a permit is issued to the facility simultaneously with termination of interim status); or
(2) issuance of a judicial decree or final order under Health and Safety Code section 25358.3 or article 8 of chapter 6.5 of division 20 of the Health and Safety Code to cease receiving wastes or close.
(f) The Department will provide the owner or operator and the public, through a newspaper notice, the opportunity to submit written comments on the post-closure plan and request modifications to the plan no later than 30 days from the date of the notice. The Department will also, in response to a request or at the Department's own discretion, hold a public hearing whenever such a hearing might clarify one or more issues concerning a post-closure plan. The Department will give public notice of the hearing at least 30 days before it occurs. Public notice of the hearing may be given at the same time as notice of the opportunity for the public to submit written comments, and the two notices may be combined. The Department will approve, modify, or disapprove the plan within 90 days of its receipt. If the Department disapproves the plan, the Department shall provide the owner or operator with a detailed written statement of reasons for the refusal and the owner or operator shall modify the plan or submit a new plan for approval within 30 days after receiving such written statement. The Department will approve or modify this plan in writing within 60 days. If the Department modifies the plan, this modified plan becomes the approved post-closure plan. The Department shall ensure that the approved post-closure plan is consistent with sections 66265.117 through 66265.120. A copy of the modified plan with a detailed statement of reasons for the modifications shall be mailed to the owner or operator.
(g) The post-closure plan and length of the post-closure care period may be modified any time prior to the end or at the end of the post-closure care period in either of the following two ways.
(1) The owner or operator or any member of the public may petition the Department to extend or reduce the post-closure care period applicable to a hazardous waste management unit or facility based on cause, or alter the requirements of the post-closure care period based on cause.
(A) The petition shall include evidence demonstrating that:
1. the secure nature of the hazardous waste management unit or facility makes the post-closure care requirement(s) unnecessary or supports reduction of the post-closure care period specified in the current post-closure plan (e.g., leachate or groundwater monitoring results, characteristics of the wastes, application of advanced technology, or alternative disposal, treatment, or re-use techniques indicate that the facility is secure), or
2. the requested extension in the post-closure care period or alteration of post-closure care requirements is necessary to prevent threats to human health and the environment (e.g., leachate or groundwater monitoring results indicate a potential for migration of hazardous wastes at levels which may be harmful to human health and the environment).
(B) These petitions will be considered by the Department only when they present new and relevant information not previously considered by the Department. Whenever the Department is considering a petition, the Department will provide the owner or operator and the public, through a newspaper notice, the opportunity to submit written comments within 30 days of the date of the notice. The Department will also, in response to a request or at the Department's own discretion, hold a public hearing whenever a hearing might clarify one or more issues concerning the post-closure plan. The Department will give the public notice of the hearing at least 30 days before it occurs. Public notice of the hearing may be given at the same time as notice of the opportunity for written public comments, and the two notices may be combined). After considering the comments, the Department will issue a final determination, based upon the criteria set forth in subsection (9)(1)(A) of this section.
(C) If the Department denies the petition, the Department will send the petitioner a brief written response giving a reason for the denial.
(2) The Department may tentatively decide to modify the post-closure plan if the Department deems it necessary to prevent threats to human health and the environment. The Department may propose to extend or reduce the post-closure care period applicable to a hazardous waste management unit or facility based on cause, or alter the requirements of the post-closure care period based on cause.
(A) The Department will provide the owner or operator and the affected public, through a newspaper notice, the opportunity to submit written comments within 30 days of the date of the notice and the opportunity for a public hearing as in subsection (g)(1)(B) of this section. After considering the comments, the Department will issue a final determination.
(B) The Department will base the final determination upon the same criteria as required for petitions under subsection (g)(1)(A) of this section. A modification of the post-closure plan may include, where appropriate, the temporary suspension rather than permanent deletion of one or more post-closure care requirements. At the end of the specified period of suspension, the Department would then determine whether the requirement(s) should be permanently discontinued or reinstated to prevent threats to human health and the environment.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25246, Health and Safety Code; 40 CFR Section 265.118; Sections 21080(c), 21080.1, 21080.3, 21082.1, 21100 and 21151, Public Resources Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.119. Post-Closure Notices.
Note     •     History

(a) No later than 60 days after certification of closure of each hazardous waste disposal unit, the owner or operator shall submit to the local zoning authority, or the authority with jurisdiction over local land use, and to the Department, a record of the type, location, and quantity of hazardous wastes disposed of within each cell or area (not limited to only hazardous waste disposal unit) of the facility. For hazardous wastes disposed of before January 12, 1981, the owner or operator shall identify the type, location and quantity of the hazardous wastes to the best of the owner's or operator's knowledge and in accordance with any records the owner or operator has kept. Any changes in the type, location or quantity of hazardous wastes disposed of within each cell or area of the facility that occur after the survey plat and record of wastes have been filed pursuant to section 66265.116 shall be reported to the local zoning authority or the authority with jurisdiction over local land use and to the Department.
(b) Within 60 days of certification of closure of the first hazardous waste disposal unit and within 60 days of certification of closure of the last hazardous waste disposal unit, the owner or operator shall:
(1) record, in accordance with State law, a notation on the deed to the facility property, or on some other instrument which is normally examined during title search, that will in perpetuity notify any potential purchaser of the property that:
(A) the land has been used to manage hazardous wastes; and
(B) its use is restricted under article 7 of this chapter; and
(C) the survey plat and record of the type, location, and quantity of hazardous wastes disposed of within each cell or area (not limited to only hazardous waste disposal unit) of the facility required by sections 66265.116 and 66265.119(a) have been filed with the local zoning authority or the authority with jurisdiction over local land use and with the Department; and
(2) submit, to the Department, a certification signed by the owner or operator that the notation specified in subsection (b)(1) of this section has been recorded and a copy of the document in which the notation has been placed.
(c) If at any time the owner or operator or any subsequent owner of the land upon which a hazardous waste disposal unit was located wishes to remove hazardous wastes and hazardous waste residues, the liner, if any, and all contaminated structures, equipment, and underlying and surrounding soils, the owner or operator shall request a modification to the approved post-closure plan in accordance with the requirements of section 66265.118(g). The owner or operator shall demonstrate that the removal of hazardous wastes will satisfy the criteria of section 66265.117(d). By removing hazardous waste, the owner or operator may become a generator of hazardous waste and shall manage it in accordance with all applicable requirements of this division. If the owner or operator is granted approval to conduct the removal activities, and the removal activities are completed to the satisfaction of the Department, the owner or operator may request that the Department approve either:
(1) the removal of the notation on the deed to the facility property or other instrument normally examined during title search, or
(2) the addition of a notation to the deed or instrument indicating the removal of the hazardous waste.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 265.119.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.120. Certification of Completion of Post-Closure Care.
Note     •     History

No later than 60 days after the completion of the established post-closure care period for each hazardous waste disposal unit, the owner or operator shall submit to the Department, by registered mail, a certification that the post-closure care period for the hazardous waste disposal unit was performed in accordance with the specifications in the approved post-closure plan. The certification shall be signed by the owner or operator and an independent qualified professional engineer, registered in California. Documentation supporting the independent registered, qualified professional engineer's certification shall be furnished to the Department upon request until the Department releases the owner or operator from the financial assurance requirements for post-closure care under section 66265.145, subsection (i).
NOTE

Authority cited: Sections 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code; 40 CFR Section 265.120.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending section and Note filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
Article 8. Financial Requirements
§66265.140. Applicability.
Note     •     History

(a) The requirements of sections 66265.142, 66265.143, and 66265.147 through 66265.148 apply to owners or operators of all hazardous waste facilities, as defined in section 66260.10, except as provided otherwise in this article.
(b) The requirements of sections 66265.144 and 66265.146 apply only to owners and operators of hazardous waste facilities which are:
(1) disposal facilities; 
(2) tank systems that are required under section 66265.197 to meet the requirements for landfills; and
(3) containment buildings that are required under section 66265.1102 to meet the requirements for landfills.
(c) States and the Federal government are exempt from the requirements of this article.
(d) For purposes of this article, state government shall not include municipal, local, city, county, city-county special district government or any subdivisions thereof.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 25245 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 58012, Health and Safety Code; 40 CFR Section 265.140.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b), designation and amendment of subsections (b)(1)-(2), new subsection (b)(3) and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b), designation and amendment of subsections (b)(1)-(2), new subsection (b)(3) and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b), designation and amendemnt of subsections (b)(1)-(2), new subsection (b)(3) and amendment of  Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b), designation and amendment of subsections (b)(1)-(2), new subsection (b)(3) and amendment of  Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order including amendment of subsection (b)(2) transmitted to OAL 12-15-95 and filed 1-31-95 (Register 96, No. 5).
7. Change without regulatory effect amending subsection (b)(1) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
8. Change without regulatory effect amending subsection (c) filed 11-6-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
§66265.141. Definitions As Used in This Article.
Note     •     History

(a) The following terms, as defined in section 66260.10, are used in the specifications for the financial tests for closure, post-closure care, and liability coverage. The definitions are intended to assist in the understanding of these regulations and are not intended to limit the meanings of terms in a way that conflicts with generally accepted accounting practices.
“Assets”
“Current assets”
“Current liabilities”
“Current plugging and abandonment cost estimate”
“Independently audited”
“Liabilities”
“Net working capital”
“Net worth”
“Substantial business relationship”
“Tangible net worth”
(b) In the liability coverage requirements the terms “bodily injury” and “property damage” as defined in section 66260.10 shall have the meanings given these terms by applicable State law. However, these terms do not include those liabilities which, consistent with standard industry practice, are excluded from coverage in liability policies for bodily injury and property damage. The Department intends the meanings of other terms used in the liability insurance requirements to be consistent with their common meanings within the insurance industry. The definitions given below and defined in section 66260.10 are intended to assist in the understanding of these regulations and are not intended to limit their meanings in a way that conflicts with general insurance industry usage.
“Accidental occurrence”
“Legal defense costs”
“Nonsudden accidental occurrence”
“Sudden accidental occurrence”
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; 40 CFR Section 265.141.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.142. Cost Estimate for Closure.
Note     •     History

(a) The owner or operator shall prepare and submit to the Department a detailed written estimate, in current dollars, of the cost of closing the facility in accordance with the requirements in sections 66265.111 through 66265.115 and applicable closure requirements in sections 66265.178, 66265.197, 66265.228, 66265.258, 66265.280, 66265.310, 66265.351, 66265.381, 66265.404, and 66265.1102.
(1) The estimate shall be submitted in accordance with sections 66270.10 and 66270.14. The estimate shall equal the cost of final closure at the point in the facility's active life when the extent and manner of its operation would make closure the most expensive, as indicated by its closure plan (see section 66265.112(b)).
(2) The closure cost estimate shall be based on the costs to the owner or operator of hiring a third party to close the facility. A third party is a party who is neither a parent nor a subsidiary of the owner or operator. (See definition of parent corporation in section 66260.10.) The owner or operator may use costs for on-site disposal if it can be demonstrated that on-site disposal capacity will exist at all times over the life of the facility.
(3) The closure cost estimate shall not incorporate any salvage value that may be realized by the sale of hazardous wastes, or non-hazardous wastes if applicable under section 66265.113(d), facility structures or equipment, land or other facility assets associated with the facility at the time of the partial or final closure.
(4) The owner or operator shall not incorporate a zero cost for hazardous wastes, or non-hazardous wastes if applicable under section 66265.113(d), that might have economic value.
(b) During the active life of the facility, the owner or operator shall adjust the closure cost estimate for inflation within 60 days prior to the anniversary date of the establishment of the financial instrument(s) used to comply with section 66265.143. For owners and operators using the financial test or corporate guarantee, the closure cost estimate shall be updated for inflation within 30 days after the close of the firm's fiscal year and before submission of updated information to the Department as specified in section 66265.143(e)(3). The adjustment shall be made by recalculating the closure cost estimate in current dollars, or by using an inflation factor derived from the most recent Implicit Price Deflator for Gross National Product published by the U.S. Department of Commerce in its Survey of Current Business, as specified in subsections (b)(1) and (2) of this section. The inflation factor is the result of dividing the latest published annual Deflator by the Deflator for the previous year.
(1) The first adjustment is made by multiplying the closure cost estimate by the inflation factor. The result is the adjusted closure cost estimate.
(2) Subsequent adjustments are made by multiplying the latest adjusted closure cost estimate by the latest inflation factor.
(c) During the active life of the facility, the owner or operator shall revise the closure cost estimate no later than 30 days after a revision has been made to the closure plan which increases the cost of closure. If the owner or operator has an approved closure plan, the closure cost estimate shall be revised no later than 30 days after the Department has approved the request to modify the closure plan, if the change in the closure plan increases the cost of closure. The revised closure cost estimate shall be adjusted for inflation as specified in subsection (b) of this section.
(d) The owner or operator shall keep the following at the facility during the operating life of the facility: The latest closure cost estimate prepared in accordance with subsections (a) and (c) of this section and, when this estimate has been adjusted in accordance with subsection (b) of this section, the latest adjusted closure cost estimate.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code; 40 CFR Section 265.142.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (a) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order including amendment of subsection (a) transmitted to OAL 12-15-95 and filed 1-31-95 (Register 96, No. 5).
7. Amendment of subsections (a)(3)-(4) and Note filed 6-20-96; operative 7-20-96 (Register 96, No. 25).
§66265.143. Financial Assurance for Closure.
Note     •     History

An owner or operator of each facility shall establish and demonstrate to the Department financial assurance for closure of the facility. The owner or operator shall choose from the options as specified in subsections (a) through (e) and (h) of this section.
(a) Closure trust fund.
(1) An owner or operator may satisfy the requirements of this section by establishing a closure trust fund which conforms to the requirements of this subsection and submitting an originally signed duplicate of the trust agreement to the Department. The trustee shall be an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.
(2) The wording of the trust agreement shall be identical to the wording specified in section 66264.151, subsection (a)(1), shall contain original signatures and shall be accompanied by a formal certification of acknowledgement (for example, see section 66264.151, subsection (a)(2)). Schedule A of the trust agreement shall be updated within 60 days after a change in the amount of the current closure cost estimate covered by the trust agreement.
(3) Payments into the trust fund shall be made annually by the owner or operator over the ten (10) years beginning with the establishment of the trust fund or over the remaining operating life of the facility as estimated in the closure plan, whichever period is shorter; this period is hereafter referred to as the “pay-in period.” The payments into the closure trust fund shall be made as follows.
(A) The first payment shall be at least equal to the current closure cost estimate, except as provided in subsection (f), of this section divided by the number of years in the pay-in period.
(B) Subsequent payments shall be made no later than 30 days after each anniversary date of the first payment. The amount of each subsequent payment must be determined by this formula:

View Graphic

where CE is the current closure cost estimate, CV is the current value of the trust fund, and Y is the number of years remaining in the pay-in period.
(4) The owner or operator may accelerate payments into the trust fund or deposit the full amount of the current closure cost estimate at the time the fund is established. However, the value of the fund shall be maintained at no less than the value that the fund would have if annual payments were made as specified in subsection (a)(3) of this section.
(5) If the owner or operator establishes a closure trust fund after having used one or more alternate mechanisms specified in this section, the first payment shall be in at least the amount that the fund would contain if the  trust fund were established initially and annual payments made as specified in subsection (a)(3) of this section. 
(6) After the pay-in period is completed, whenever the current closure cost estimate changes, the owner or operator shall compare the new estimate with the trustee's most recent annual valuation of the trust fund. If the value of the fund is less than the amount of the new estimate, the owner or operator, within 60 days after the change in the cost estimate, shall either deposit an amount into the fund so that its value after this deposit at least equals the amount of the current closure cost estimate, or obtain other financial assurance as specified in this article to cover the difference.
(7) If the value of the trust fund is greater than the total amount of the current closure cost estimate, the owner or operator may submit a written request to the Department for release of the amount in excess of the current closure cost estimate.
(8) If an owner or operator substitutes other financial assurance as specified in this section for all or part of the trust fund, a written request may be submitted to the Department for release of the amount in excess of the current closure cost estimate covered by the trust fund.
(9) Within 60 days after receiving a request from the owner or operator for release of funds as specified in subsections (a)(7) or (8) of this section, the Department will instruct the trustee to release to the owner or operator such funds as the Department specifies in writing.
(10) Before final closure occurs, the value of the trust fund shall equal the amount of the current closure cost estimate. If the value of the fund is less than the amount of the current estimate, the owner or operator shall either deposit an amount into the fund so that its value after this deposit at least equals the amount of the current closure cost estimate, or obtain other financial assurance, as specified in this section, to cover the difference.
(11) After beginning partial or final closure, an owner or operator or another person authorized to conduct partial or final closure may request reimbursements for partial or final closure expenditures by submitting itemized bills to the Department. The owner or operator may request reimbursements for partial closure only if sufficient funds are remaining in the trust fund to cover the maximum costs of closing the facility over its remaining operating life. No later than 60 days after receiving bills for partial or final closure activities, the Department shall instruct the trustee to make reimbursements in those amounts as the Department specifies in writing, if the Department determines that the partial or final closure expenditures are in accordance with the approved closure plan, or otherwise justified. If the Department has reason to believe that the maximum cost of closure over the remaining life of the facility will be significantly greater than the value of the trust fund, the Department may withhold reimbursements of such amounts as deemed prudent until a determination is made, in accordance with subsection (i) of this section, that the owner or operator is no longer required to maintain financial assurance for final closure of the facility. If the Department does not instruct the trustee to make such reimbursements, a detailed written statement of reasons will be provided to the owner or operator. 
(12) The Department will agree to termination of the trust when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements in accordance with subsection (i) of this section.
(b) Surety bond guaranteeing payment into a closure trust fund.
(1) An owner or operator may satisfy the requirements of this section by obtaining a surety bond which conforms to the requirements of this subsection and submitting the bond to the Department. The surety company issuing the bond shall, at a minimum, be among those listed as acceptable sureties on Federal bonds in Circular 570 of the U.S. Department of the Treasury.
(2) The wording of the surety bond shall be identical to the wording specified in section 66264.151, subsection (b). The surety bond shall contain original signatures and shall be accompanied by the documents specified in this subsection.
(3) The owner or operator who uses a surety bond to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the bond, all payments made thereunder shall be deposited by the surety directly into the standby trust fund in accordance with instructions from the Department. This standby trust fund shall meet the requirements specified in subsection (a) of this section, except that:
(A) an originally signed duplicate of the standby trust agreement shall be submitted to the Department with the surety bond; and
(B) until the standby trust fund is funded pursuant to the requirements of this section, the following are not required by these regulations:
1. payments into the trust fund as specified in subsection (a) of this section;
2. updating of Schedule A of the trust agreement (see section 66264.151, subsection (a)) to show current closure cost estimates;
3. annual valuations as required by the trust agreement; and
4. notices of nonpayment as required by the trust agreement.
(4) The bond shall guarantee that the owner or operator shall:
(A) fund the standby trust fund in an amount equal to the penal sum of the bond before the beginning of final closure of the facility; or
(B) fund the standby trust fund in an amount equal to the penal sum within 15 days after an administrative order to begin final closure issued by the Department becomes final, or within 15 days after an order to begin final closure is issued by a U.S. district court or other court of competent jurisdiction; or
(C) provide alternate financial assurance as specified in this section, and obtain the Department's written approval of the assurance provided, within 90 days after receipt by both the owner or operator and the Department of a notice of cancellation of the bond from the surety.
(5) Under the terms of the bond, the surety shall become liable on the bond obligation when the owner or operator fails to perform as guaranteed by the bond. For facilities that require a RCRA permit, the determination will be made pursuant to Health and Safety Code Section 25187.
(6) The penal sum of the bond shall be in an amount at least equal to the current closure cost estimate, except as provided in subsection (f) of this section.
(7) Whenever the current closure cost estimate increases to an amount greater than the penal sum, the owner or operator, within 60 days after the increase, shall either cause the penal sum to be increased to an amount at least equal to the current closure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current closure cost estimate decreases, the penal sum may be reduced to the amount of the current closure cost estimate following written approval by the Department.
(8) Under the terms of the bond, the surety may cancel the bond by sending notice of cancellation by certified mail to the owner or operator and to the Department. Cancellation shall not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Department, as evidenced by the return receipt.
(9) The owner or operator may cancel the bond if the Department has given prior written consent based on receipt of evidence of alternate financial assurance as specified in this section.
(c) Closure letter of credit.
(1) An owner or operator may satisfy the requirements of this section by obtaining an irrevocable standby letter of credit which conforms to the requirements of this subsection and submitting the letter to the Department. The issuing institution shall be an entity which has the authority to issue letters of credit and whose letter of credit operations are regulated and examined by a Federal or State agency.
(2) The wording of the letter of credit shall be identical to the wording specified in section 66264.151, subsection (d). The letter of credit shall contain original signatures and shall be accompanied by the documents specified in this subsection.
(3) An owner or operator who uses a letter of credit to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the letter of credit, all amounts paid pursuant to a draft by the Department shall be deposited by the issuing institution directly into the standby trust fund in accordance with instructions from the Department. This standby trust fund shall meet the requirements of the trust fund specified in subsection (a) of this section, except that:
(A) an originally signed duplicate of the standby trust agreement shall be submitted to the Department with the letter of credit; and
(B) unless the standby trust fund is funded pursuant to the requirements of this section, the following are not required by these regulations:
1. payments into the trust fund as specified in subsection (a) of this section;
2. updating of Schedule A of the trust agreement (see section 66264.151, subsection (a)) to show current closure cost estimates;
3. annual valuations as required by the trust agreement; and
4. notices of nonpayment as required by the trust agreement.
(4) The letter of credit shall be accompanied by a letter from the owner or operator referring to the letter of credit by number, issuing institution, and date, and providing the following information: the Hazardous Waste Facility Identification Number, name and address of the facility, and the amount of funds assured for closure of the facility by the letter of credit.
(5) The letter of credit shall be irrevocable and issued for a period of at least one (1) year. The letter of credit shall provide that the expiration date will be automatically extended for a period of at least 1 year unless, at least 120 days before the current expiration date, the issuing institution notifies both the owner or operator and the Department by certified mail of a decision not to extend the expiration date. Under the terms of the letter of credit, the 120 days shall begin on the date when both the owner or operator and the Department have received the notice, as evidenced by the return receipts.
(6) The letter of credit shall be issued in an amount at least equal to the current closure cost estimate, except as provided in subsection (f) of this section.
(7) Whenever the current closure cost estimate increases to an amount greater than the amount of the letter of credit, the owner or operator, within 60 days after the increase, shall either cause the amount of the letter of credit to be increased so that it at least equals the current closure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current closure cost estimate decreases, the amount of the letter of credit may be reduced to the amount of the current closure cost estimate following written approval by the Department.
(8) Following a determination by the Department that the owner or operator has failed to perform final closure in accordance with the approved closure plan when required to do so, the Department may draw on the letter of credit. For facilities that require a RCRA permit, that determination shall be made pursuant to Section 25187 of the Health and Safety Code.
(9) If the owner or operator does not establish alternate financial assurance as specified in this section and obtain written approval of such alternate assurance from the Department within 90 days after receipt by both the owner or operator and the Department of a notice from the issuing institution that it has decided not to extend the letter of credit beyond the current expiration date, the Department shall draw on the letter of credit. The Department shall delay drawing on the letter of credit in accordance with the provisions of this paragraph if the issuing institution grants an extension of the term of the credit. During the last 30 days of any such extension the Department shall draw on the letter of credit if the owner or operator has failed to provide alternate financial assurance as specified in this section and obtain written approval of such assurance from the Department.
(10) The Department shall return the letter of credit to the issuing institution for termination when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements in accordance with subsection (i) of this section.
(d) Closure insurance.
(1) An owner or operator may satisfy the requirements of this section by obtaining closure insurance which conforms to the requirements of this section and submitting a certificate of such insurance to the Department. The owner or operator shall submit to the Department a letter from an insurer stating that the insurer is considering issuance of closure insurance conforming to the requirements of this subsection to the owner or operator. The owner or operator shall submit the certificate of insurance to the Department or establish other financial assurance as specified in this section. At a minimum, the insurer shall be licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more states.
(2) The wording of the certificate of insurance shall be identical to the wording specified in section 66264.151, subsection (e). The certificate of insurance shall contain original signatures.
(3) The closure insurance policy shall be issued for a face amount at least equal to the current closure cost estimate, except as provided in subsection (f) of this section. The term “face amount” means the total amount the insurer is obligated to pay under the policy. Actual payments by the insurer shall not change the face amount, although the insurer's future liability shall be lowered by the amount of the payments.
(4) The closure insurance policy shall guarantee that funds shall be available to close the facility whenever final closure occurs. The policy shall also guarantee that once final closure begins, the insurer shall be responsible for paying out funds, up to an amount equal to the face amount of the policy, upon direction from the Department, to such party or parties as the Department specifies.
(5) After beginning partial or final closure, an owner or operator or any other person authorized to conduct closure may request reimbursements for closure expenditures by submitting itemized bills to the Department. The owner or operator may request reimbursements for partial closure only if the remaining value of the policy is sufficient to cover the maximum costs of closing the facility over its remaining operating life. Within 60 days after receiving bills for closure activities, the Department shall instruct the insurer to make reimbursements in such amounts as the Department specifies in writing if the Department determines that the partial or final closure expenditures are in accordance with the approved closure plan or otherwise justified. If the Department has reason to believe that the maximum cost of closure over the remaining life of the facility will be significantly greater than the face amount of the policy, a reimbursement of such amounts may be withheld as deemed prudent until a determination, in accordance with subsection (i) of this section, that the owner or operator is no longer required to maintain financial assurance for final closure of the particular facility is made. If the Department does not instruct the insurer to make such reimbursements, the owner or operator shall be provided a detailed written statement of reasons.
(6) The owner or operator shall maintain the policy in full force and effect until the Department consents to termination of the policy by the owner or operator as specified in subsection (d)(10) of this section. Failure to pay the premium, without substitution of alternate financial assurance as specified in this section, shall constitute a significant violation of these regulations, warranting such remedy as the Department deems necessary. Such violation will be deemed to begin upon receipt by the Department of a notice of future cancellation, termination or failure to renew due to nonpayment of the premium, rather than upon the date of expiration.
(7) Each policy shall contain a provision allowing assignment of the policy to a successor owner or operator. Such assignment may be conditional upon consent of the insurer, provided such consent is not unreasonably refused.
(8) The policy shall provide that the insurer may not cancel, terminate or fail to renew the policy except for failure to pay the premium. The automatic renewal of the policy shall, at a minimum, provide the insured with the option of renewal at the face amount of the expiring policy. If there is a failure to pay the premium, the insurer may elect to cancel, terminate or fail to renew the policy by sending notice by certified mail to the owner or operator and the Department. Cancellation, termination or failure to renew shall not occur, however, during the 120 days beginning with the date of receipt of the notice by both the Department and the owner or operator, as evidenced by the return receipts. Cancellation, termination or failure to renew shall not occur and the policy shall remain in full force and effect in the event that on or before the date of expiration:
(A) the Department deems the facility abandoned; or
(B) interim status is terminated or revoked; or
(C) closure is ordered by the Department or any other State or Federal agency or a U.S. district court or other court of competent jurisdiction; or
(D) the owner or operator is named as debtor in a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code; or
(E) the premium due is paid.
(9) Whenever the current closure cost estimate increases to an amount greater than the face amount of the policy, the owner or operator, within 60 days after the increase, shall either cause the face amount to be increased to an amount at least equal to the current closure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current closure cost estimate decreases, the face amount may be reduced to the amount of the current closure cost estimate following written approval by the Department.
(10) The Department shall give written consent to the owner or operator that the insurance policy may be terminated when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements in accordance with subsection (i) of this section.
(e) Financial test and guarantee for closure.
(1) An owner or operator may satisfy the requirements of this section by demonstrating that he or she passes a financial test as specified in this subsection. To pass this test the owner or operator shall meet the criteria of either subsection (e)(1)(A) or (B) of this section:
(A) the owner or operator shall have:
1. two of the following three ratios: a ratio of total liabilities to net worth less than 2.0; a ratio of the sum of net income plus depreciation, depletion and amortization to total liabilities greater than 0.1; and a ratio of current assets to current liabilities greater than 1.5; and
2. net working capital and tangible net worth each at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates; and
3. tangible net worth of at least $10 million; and
4. assets located in the United States amounting to at least 90 percent of total assets or at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates.
(B) The owner or operator shall have:
1. a current rating for his or her most recent bond issuance of AAA, AA, A or BBB as issued by Standard and Poor's or Aaa, Aa, A or Baa as issued by Moody's; and
2. tangible net worth at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates; and
3. tangible net worth of at least $10 million; and
4. assets located in the United States amounting to at least 90 percent of total assets or at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates.
(2) The phrase “current closure and postclosure cost estimates” as used in subsection (e)(1) of this section refers to the cost estimates required to be shown in paragraphs 1-4 of the letter from the owner's or operator's chief financial officer. The phrase “current plugging and abandonment cost estimates” as used in subsection (e)(1) of this section refers to the cost estimates required to be shown in paragraphs 1-4 of the letter from the owner's or operator's chief financial officer.
(3) To demonstrate that this test has been met, the owner or operator shall submit the following items to the Department:
(A) a letter signed by the owner's or operator's chief financial officer. The letter shall be on the owner's or operator's official letterhead stationery, shall contain an original signature and shall be worded as specified in section 66264.151, subsection (f); and
(B) a copy of the independent certified public accountant's report on examination of the owner's or operator's financial statements for the latest completed fiscal year; and
(C) A special report from the owner's or operator's independent certified public accountant to the owner or operator stating that:
1. the independent certified public accountant has compared the data which the letter from the chief financial officer specifies as having been derived from the independently audited, year-end financial statements for the latest fiscal year with the amounts in such financial statements; and
2. in connection with that procedure, no matters came to the independent certified public accountant's attention which caused the accountant to believe that the specified data should be adjusted.
(4) After the initial submission of items specified in subsection (e)(3) of this section, the owner or operator shall send updated information to the Department within 90 days after the close of each succeeding fiscal year. This information shall consist of all items specified in subsection (e)(3) of this section.
(5) If the owner or operator no longer meets the requirements of subsection (e)(1) of this section, the owner or operator shall send notice to the Department of intent to establish alternate financial assurance as specified in this section. The notice shall be sent by certified mail within 90 days after any occurrence that prevents the owner or operator from meeting the requirements. The owner or operator shall provide the alternate financial assurance within 120 days after such occurrence.
(6) The Department may, based on a reasonable belief that the owner or operator may no longer meet the requirements of subsection (e)(1) of this section, require reports of financial condition at any time from the owner or operator in addition to those specified in subsection (e)(3) of this section. If the Department finds, on the basis of such reports or other information, that the owner or operator no longer meets the requirements of subsection (e)(1) of this section, the owner or operator shall provide alternate financial assurance as specified in this section within 30 days after notification of such a finding.
(7) The Department may disallow use of this test on the basis of qualifications in the opinion expressed by the independent certified public accountant in his or her report on examination of the owner's or operator's financial statements (see subsection (e)(3)(B) of this section). An adverse opinion or a disclaimer of opinion shall be cause for disallowance. The Department shall evaluate other qualifications on an individual basis. The owner or operator shall provide alternate financial assurance as specified in this section within 30 days after notification of the disallowance.
(8) The owner or operator is no longer required to submit the items specified in subsection (e)(3) of this section when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements of this section in accordance with subsection (i) of this section.
(9) An owner or operator may meet the requirements of this section by obtaining a written guarantee. The guarantor shall be the direct or higher-tier parent corporation of the owner or operator as defined in section 66260.10, a firm whose parent corporation is also the parent corporation of the owner or operator, or a firm with a “substantial business relationship” with the owner or operator. The guarantor shall meet and comply with the requirements for owners or operators in subsections (e)(1) through (e)(8) of this section and shall comply with the terms of the guarantee. The wording of the guarantee shall be identical to the wording specified in section 66264.151, subsection (h). The guarantee shall be on the official letterhead stationery of the parent corporation, shall contain an original signature and the signature shall be formally witnessed or notarized. A certified copy of the guarantee shall accompany the items sent to the Department as specified in subsection (e)(3) of this section. One of these items must be the letter from the guarantor's chief financial officer. If the guarantor's parent corporation is also the parent corporation of the owner or operator, the letter must describe the value received in consideration of the guarantee. If the guarantor is a firm with a “substantial business relationship” with the owner or operator, this letter must describe this “substantial business relationship” and the value received in consideration of the guarantee. The terms of the guarantee shall provide that:
(A) if the owner or operator fails to perform final closure of a facility covered by the guarantee in accordance with the closure plan and other interim status requirements whenever required to do so, the guarantor shall do so or shall establish a trust fund as specified in subsection (a) of this section in the name of the owner or operator;
(B) the guarantee shall remain in force unless the guarantor sends notice of cancellation by certified mail to the owner or operator and to the Department. Cancellation shall not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Department, as evidenced by the return receipts;
(C) if the owner or operator fails to provide alternate financial assurance as specified in this section and obtain the written approval of such alternate assurance from the Department within 90 days after receipt by both the owner or operator and the Department of a notice of cancellation of the guarantee from the guarantor, the guarantor shall provide such alternate financial assurance in the name of the owner or operator.
(f) Use of multiple financial mechanisms. An owner or operator may satisfy the requirements of this section by establishing more than one financial mechanism per facility. The mechanisms shall be as specified in subsections (a) through (d) and (h) of this section, except that it is the combination of mechanisms, rather than the single mechanism, which shall provide financial assurance for an amount at least equal to the current closure cost estimate. If an owner or operator uses a trust fund in combination with a surety bond or a letter of credit, the trust fund may be used as the standby trust fund for the other mechanisms. A single standby trust fund may be established for two or more mechanisms. If the owner or operator demonstrates the required coverage through the use of a combination of financial assurances under this subsection, the owner or operator shall specify at least one such assurance as “primary” coverage and shall specify the other as “excess” coverage. The Department may use any or all of the mechanisms to provide for closure of the facility.
(g) Use of a financial mechanism for multiple facilities. An owner or operator may use one or more of the financial assurance mechanisms specified in section 66265.143, subsections (a) through (e) and (h) to meet the requirements of section 66265.143 for more than one facility. Evidence of financial assurance submitted to the Department shall include a list showing, for each facility, the Hazardous Waste Facility Identification Number, name, address and the amount of funds for closure assured by the mechanism. The amount of funds available through the mechanism shall be no less than the sum of funds that would be available if a separate mechanism had been established and maintained for each facility. In directing funds available through the mechanism for closure of any of the facilities covered by the mechanism, the Department may direct only the amount of funds designated for that facility, unless the owner or operator agrees to the use of additional funds available under the mechanism.
(h) Alternative Financial Mechanism for Closure Costs. 
(1) An owner or operator of a facility or facilities where solely non-RCRA hazardous waste is managed may establish financial assurance for closure by means of a financial mechanism other than those specified in subsections (a) through (e) of this section, provided that, prior to its use, the mechanism has been submitted to and approved by the Department. The mechanism shall be at least equivalent to the financial mechanisms specified in subsections (a) through (e) of this section. The Department shall evaluate the equivalency of a mechanism principally in terms of: 
(A) Certainty of the availability of funds for the required closure activities; and 
(B) The amount of funds that will be made available. 
The Department shall also consider other factors deemed to be appropriate, and shall require the owner or operator to submit additional information as is deemed necessary to make the determination. 
(2) The owner or operator shall submit to the Department the proposed mechanism together with a letter requesting that the proposed mechanism be considered acceptable for meeting the requirements of section 66265.143. The submission shall include the following information: 
(A) Name, address and telephone number of issuing institution; and 
(B) Hazardous waste facility identification number, name, address and closure cost estimate for each facility intended to be covered by the proposed mechanism; and 
(C) The amount of funds for closure to be assured for each facility by the proposed mechanism; and 
(D) The terms of the proposed mechanism (period covered, renewal/extension, cancellation). 
(3) The Department shall notify the owner or operator in writing of the determination made regarding the proposed mechanism's acceptability in lieu of the financial mechanisms specified in subsections (a) through (e) of this section. 
(4) If a proposed mechanism is found acceptable, the owner or operator shall submit a fully executed document to the Department. The document shall contain original signatures and shall be accompanied by a formal certification of acknowledgment. 
(5) If a proposed mechanism is found acceptable except for the amount of funds, the owner or operator shall either increase the amount of the mechanism or obtain other financial assurance as specified in subsections (a) through (e) of this section. The amount of funds available through the combination of mechanisms shall at least equal the current closure cost estimate. 
(i) Release of the owner or operator from the requirements of this section.
(1) Within 60 days after receiving certifications from the owner or operator and an independent professional engineer, registered in California that final closure has been completed in accordance with the approved closure plan, the Department shall notify the owner or operator in writing that he or she is no longer required by this section to maintain financial assurance for final closure of the facility, unless the Department has reason to believe that final closure has not been in accordance with the approved closure plan. The Department shall provide the owner or operator a detailed written statement of any such reason to believe that closure has not been in accordance with the approved closure plan.
(2) When transfer of ownership or operational control of a facility occurs, and the new owner or operator has demonstrated to the satisfaction of the Department that he or she is complying with the financial requirements of this section, the Department shall notify the previous owner or operator in writing that they are no longer required to maintain financial assurance for closure of that particular facility.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Sections 25245 and 25245.4, Health and Safety Code; 40 CFR Section 264.143.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
2. Amendment of subsections (f)(1) and (f)(2) filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
3. Editorial correction redesignating subsection (f)(9) to subsection (g) and amending subsection (i)(1) (Register 92, No. 29).
4. Change without regulatory effect amending subsections (a)(2), (b)(2), (b)(3)(A), (c)(2), (c)(3)(A), (d)(2), (e), (e)(3)(A), and (e)(9)-(e)(9)(C) filed 8-17-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 33).
5. Amendment of subsections (f)(1), (f)(2) and (f)(2)(B)-(C) filed 2-13-96 as an emergency; operative 2-13-96 (Register 96, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-12-96 or emergency language will be repealed by operation of law on the following day.
6. Reinstatement of subsections (f)(1), (f)(2) and (f)(2)(B)-(C) as they existed prior to emergency amendment filed 2-13-96 by operation of Government Code section 11346.1(f) (Register 96, No. 25).
7. Amendment of subsections (f)(1), (f)(2) and (f)(2)(B)-(C) filed 6-17-96 as an emergency; operative 6-17-96 (Register 96, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-15-96 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (f)(1), (f)(2) and (f)(2)(B)-(C) refiled 10-15-96 as an emergency; operative 10-15-96 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-97 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section as it existed prior to 10-15-96 emergency amendment by operation of Government Code section 11346.1(f) (Register 97, No. 9).
10. Editorial correction of History 8 (Register 97, No. 9).
11. Amendment of subsections (f)(1), (f)(2) and (f)(2)(B)-(C) filed 2-24-97 as an emergency; operative 2-24-97 (Register 97, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 2-24-97 order, including amendments to subsection (f)(1)(B) and Note, transmitted to OAL 6-24-97 and filed 8-6-97 (Register 97, No. 32).
13. Change without regulatory effect amending subsections (a)(1)-(2), (b)(2), (b)(3)(A), (b)(5), (c)(1)-(2), (c)(3)(A), (c)(8), (d)(2), (d)(8)(C), (e)(3)(A) and (e)(9) filed 11-6-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
14. Change without regulatory effect amending subsection (d)(2) filed 10-22-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 43).
15. Change without regulatory effect amending section and Note filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
§66265.144. Cost Estimate for Post-Closure Care.
Note     •     History

(a) The owner or operator of a hazardous waste disposal unit shall prepare and submit to the Department a detailed written estimate, in current dollars, of the annual cost of postclosure monitoring and maintenance of the facility in accordance with the applicable postclosure regulations in sections 66265.117 through 66265.120, 66265.228, 66265.258, 66265.280 and 66265.310.
(1) The postclosure cost estimate must be based on the costs to the owner or operator of hiring a third party to conduct postclosure care activities. A third party is a party who is neither a parent nor subsidiary of the owner or operator. (See definition of parent corporation in section 66260.10).
(2) The postclosure cost estimate is calculated by multiplying the annual postclosure cost estimate by the number of years of postclosure care required under section 66265.117.
(b) During the active life of the facility, the owner or operator shall adjust the postclosure cost estimate for inflation within 60 days prior to the anniversary date of the establishment of the financial instrument(s) used to comply with section 66265.145. For owners or operators using the financial test or corporate guarantee, the postclosure care cost estimate shall be updated for inflation no later than 30 days after the close of the firm's fiscal year and before submission of updated information to the Department as specified in section 66265.145(d)(5). The adjustment shall be made by recalculating the postclosure cost estimate in current dollars or by using an inflation factor derived from the most recent Implicit Price Deflator for Gross National Product published by the U.S. Department of Commerce in its Survey of Current Business as specified in subsections (b)(1) and (b)(2) of this section. The inflation factor is the result of dividing the latest published annual Deflator by the Deflator for the previous year.
(1) The first adjustment is made by multiplying the postclosure cost estimate by the inflation factor. The result is the adjusted postclosure cost estimate.
(2) Subsequent adjustments are made by multiplying the latest adjusted postclosure cost estimate by the latest inflation factor.
(c) During the active life of the facility, the owner or operator shall revise the postclosure cost estimate no later than 30 days after a revision to the postclosure plan which increases the cost of postclosure care. If the owner or operator has an approved postclosure plan, the postclosure cost estimate shall be revised no later than 30 days after the Department has approved the request to modify the plan, if the change in the postclosure plan increases the cost of postclosure care. The revised postclosure cost estimate shall be adjusted for inflation as specified in subsection (b) of this section.
(d) The owner or operator shall keep the following at the facility during the operating life of the facility: the latest postclosure cost estimate prepared in accordance with subsections (a) and (c) of this section and, when this estimate has been adjusted in accordance with subsection (b) of this section, the latest adjusted postclosure cost estimate.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; 40 CFR Section 265.144.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.145. Financial Assurance for Postclosure Care.
Note     •     History

An owner or operator of a facility with a hazardous waste disposal unit shall establish and demonstrate to the Department financial assurance for postclosure care of the disposal unit(s). The owner or operator shall choose from the options as specified in subsections (a) through (e) and (h) of this section.
(a) Postclosure trust fund.
(1) An owner or operator may satisfy the requirements of this section by establishing a postclosure trust fund which conforms to the requirements of this subsection and submitting an originally signed duplicate of the trust agreement to the Department. The trustee shall be an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency.
(2) The wording of the trust agreement shall be identical to the wording specified in section 66264.151, subsection (a)(1). The trust agreement shall contain original signatures and shall be accompanied by a formal certification of acknowledgment (for example, see section 66264.151, subsection (a)(2)). Schedule A of the trust agreement shall be updated within 60 days after a change in the amount of the current postclosure cost estimate covered by the agreement.
(3) Payments into the trust fund shall be made annually by the owner or operator over the ten (10) years beginning with the establishment of the trust fund or over the remaining operating life of the facility as estimated in the closure plan, whichever period is shorter; this period is hereafter referred to as the “pay-in period.” The payments into the postclosure trust fund shall be made as follows:
(A) The first payment shall be at least equal to the current postclosure cost estimate, except as provided in subsection (f) of this section, divided by the number of years in the pay-in period.
(B) Subsequent payments shall be made no later than 30 days after each anniversary date of the first payment. The amount of each subsequent payment shall be determined by this formula:

View Graphic

where CE is the current postclosure cost estimate, CV is the current value of the trust fund, and Y is the number of years remaining in the pay-in period.
(4) The owner or operator may accelerate payments into the trust fund or deposit the full amount of the current postclosure cost estimate at the time the fund is established. However, the value of the fund shall be maintained at no less than the value that the fund would have if annual payments were made as specified in subsection (a)(3) of this section.
(5) If the owner or operator establishes a postclosure trust fund after having used one or more alternate mechanisms specified in this section, the first payment shall be in at least the amount that the fund would contain if the trust fund were established initially and annual payments made as specified in subsection (a)(3) of this section.
(6) After the pay-in period is completed, whenever the current postclosure cost estimate changes during the operating life of the facility, the owner or operator shall compare the new estimate with the trustee's most recent annual valuation of the trust fund. If the value of the fund is less than the amount of the new estimate, the owner or operator, within 60 days after the change in the cost estimate, shall either deposit an amount into the fund so that its value after this deposit at least equals the amount of the current postclosure cost estimate, or obtain other financial assurance as specified in this section to cover the difference.
(7) During the operating life of the facility, if the value of the trust fund is greater than the total amount of the current postclosure cost estimate, the owner or operator may submit a written request to the Department for release of the amount in excess of the current postclosure cost estimate.
(8) If an owner or operator substitutes other financial assurance as specified in this section for all or part of the trust fund, the owner or operator may submit a written request to the Department for release of the amount in excess of the current postclosure cost estimate covered by the trust fund.
(9) Within 60 days after receiving a request from the owner or operator for release of funds as specified in subsection (a)(7) or (8) of this section, the Department will instruct the trustee to release to the owner or operator such funds as the Department specifies in writing.
(10) Before final postclosure occurs, the value of the trust fund shall equal the amount of the current postclosure cost estimate. If the value of the fund is less than the amount of the current estimate, the owner or operator shall either deposit an amount into the fund so that its value after this deposit at least equals the amount of the current postclosure cost estimate, or obtain other financial assurance, as specified in this section, to cover the difference.
(11) During the period of postclosure care, the Department shall approve a release of funds if the owner or operator demonstrates to the satisfaction of the Department that the value of the trust fund exceeds the remaining cost of postclosure care.
(12) An owner or operator or any other person authorized to conduct postclosure care may request reimbursements for postclosure expenditures by submitting itemized bills to the Department. Within 60 days after receiving bills for postclosure care activities, the Department will instruct the trustee to make reimbursements in those amounts as the Department specifies in writing, if the Department determines that the postclosure expenditures are in accordance with the approved postclosure plan or otherwise justified. If the Department does not instruct the trustee to make such reimbursements, the owner or operator shall be provided a detailed written statement of reasons.
(13) The Department will agree to termination of the trust when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements in accordance with subsection (i) of this section.
(b) Surety bond guaranteeing payment into a postclosure trust fund.
(1) An owner or operator may satisfy the requirements of this section by obtaining a surety bond which conforms to the requirements of this subsection and submitting the bond to the Department. The surety company issuing the bond shall, at a minimum, be among those listed as acceptable sureties on Federal bonds in Circular 570 of the U.S. Department of the Treasury.
(2) The wording of the surety bond shall be identical to the wording specified in section 66264.151, subsection (b). The surety bond shall contain original signatures and shall be accompanied by the documents specified in this subsection.
(3) The owner or operator who uses a surety bond to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the bond, all payments made thereunder shall be deposited by the surety directly into the standby trust fund in accordance with instructions from the Department. This standby trust fund must meet the requirements specified in subsection (a) of this section, except that:
(A) an originally signed duplicate of the standby trust agreement shall be submitted to the Department with the surety bond; and
(B) until the standby trust fund is funded pursuant to the requirements of this section, the following are not required by these regulations:
1. payments into the trust fund as specified in subsection (a) of this section;
2. updating of Schedule A of the trust agreement (see section 66264.151, subsection (a)) to show current postclosure cost estimates;
3. annual valuations as required by the trust agreement; and
4. notices of nonpayment as required by the trust agreement.
(4) The bond shall guarantee that the owner or operator shall:
(A) fund the standby trust fund in an amount equal to the penal sum of the bond before the beginning of final closure of the facility; or
(B) fund the standby trust fund in an amount equal to the penal sum within 15 days after an administrative order to begin final closure issued by the Department becomes final, or within 15 days after an order to begin final closure is issued by a U.S. district court or other court of competent jurisdiction; or
(C) provide alternate financial assurance as specified in this section, and obtain the Department's written approval of the assurance provided, within 90 days after receipt by both the owner or operator and the Department of a notice of cancellation of the bond from the surety.
(5) Under the terms of the bond, the surety shall become liable on the bond obligation when the owner or operator fails to perform as guaranteed by the bond.
(6) The penal sum of the bond shall be in an amount at least equal to the current postclosure cost estimate, except as provided in subsection (f) of this section.
(7) Whenever the current postclosure cost estimate increases to an amount greater than the penal sum, the owner or operator, within 60 days after the increase, shall either cause the penal sum to be increased to an amount at least equal to the current postclosure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current postclosure cost estimate decreases, the penal sum may be reduced to the amount of the current postclosure cost estimate following written approval by the Department.
(8) Under the terms of the bond, the surety may cancel the bond by sending notice of cancellation by certified mail to the owner or operator and to the Department. Cancellation shall not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Department, as evidenced by the return receipt.
(9) The owner or operator may cancel the bond if the Department has given prior written consent based on receipt of evidence of alternate financial assurance as specified in this section.
(c) Postclosure letter of credit.
(1) An owner or operator may satisfy the requirements of this section by obtaining and submitting to the Department, an irrevocable standby letter of credit which conforms to the requirements of this subsection. The issuing institution shall be an entity which has the authority to issue letters of credit and whose letter of credit operations are regulated and examined by a Federal or State agency.
(2) The wording of the letter of credit shall be identical to the wording specified in section 66264.151, subsection (d). The letter of credit shall contain original signatures and shall be accompanied by the documents specified in this subsection.
(3) An owner or operator who uses a letter of credit to satisfy the requirements of this section shall also establish a standby trust fund. Under the terms of the letter of credit, all amounts paid pursuant to a draft by the Department shall be deposited by the issuing institution directly into the standby trust fund in accordance with instructions from the Department. This standby trust fund must meet the requirements of the trust fund specified in subsection (a) of this section, except that:
(A) an originally signed duplicate of the standby trust agreement shall be submitted to the Department with the letter of credit; and
(B) unless the standby trust fund is funded pursuant to the requirements of this section, the following are not required by these regulations:
1. payments into the trust fund as specified in subsection (a) of this section;
2. updating of Schedule A of the trust agreement (see section 66264.151, subsection (a)) to show current postclosure cost estimates;
3. annual valuations as required by the trust agreement; and
4. notices of nonpayment as required by the trust agreement.
(4) The letter of credit shall be accompanied by a letter from the owner or operator referring to the letter of credit by number, issuing institution and date, and providing the following information: the Hazardous Waste Facility Identification Number, name and address of the facility and the amount of funds assured for postclosure care of the facility by the letter of credit.
(5) The letter of credit shall be irrevocable and issued for a period of at least one (1) year. The letter of credit shall provide that the expiration date will be automatically extended for a period of at least one (1) year unless, at least 120 days before the current expiration date, the issuing institution notifies both the owner or operator and the Department by certified mail of a decision not to extend the expiration date. Under the terms of the letter of credit, the 120 days shall begin on the date when both the owner or operator and the Department have received the notice, as evidenced by the return receipt.
(6) The letter of credit shall be issued in an amount at least equal to the current postclosure cost estimate, except as provided in subsection (f) of this section.
(7) Whenever the current postclosure cost estimate increases to an amount greater than the amount of the letter of credit during the operating life of the facility, the owner or operator, within 60 days after the increase, shall either cause the amount of the letter of credit to be increased so that it at least equals the current postclosure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current postclosure cost estimate decreases during the operating life of the facility, the amount of the letter of credit may be reduced to the amount of the current postclosure cost estimate following written approval from the Department.
(8) During the period of postclosure care, the Department may approve a decrease in the amount of the letter of credit if the owner or operator demonstrates to the Department that the amount exceeds the remaining cost of postclosure care.
(9) Following a determination by the Department that the owner or operator has failed to perform postclosure care in accordance with the approved postclosure plan and other permit requirements, the Department may draw on the letter of credit.
(10) If the owner or operator does not establish alternate financial assurance as specified in this section and obtain written approval of such alternate assurance from the Department within 90 days after receipt by both the owner or operator and the Department of a notice from the issuing institution that it has decided not to extend the letter of credit beyond the current expiration date, the Department shall draw on the letter of credit. The Department shall delay drawing on the letter of credit in accordance with the provisions of this paragraph, if the issuing institution grants an extension of the term of the credit. During the last 30 days of any such extension the Department shall draw on the letter of credit if the owner or operator has failed to provide alternate financial assurance as specified in this section and obtain written approval of such assurance from the Department.
(11) The Department shall return the letter of credit to the issuing institution for termination when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) The Department releases the owner or operator from the requirements in accordance with subsection (i) of this section.
(d) Postclosure insurance.
(1) An owner or operator may satisfy the requirements of this section by obtaining postclosure insurance which conforms to the requirements of this subsection and submitting a certificate of such insurance to the Department. The owner or operator shall submit to the Department a letter from an insurer stating that the insurer is considering issuance of postclosure insurance conforming to the requirements of this section to the owner or operator. The owner or operator shall submit the certificate of insurance to the Department or establish other financial assurance as specified in this section. At a minimum, the insurer shall be licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more states.
(2) The wording of the certificate of insurance shall be identical to the wording specified in section 66264.151, subsection (e). The certificate of insurance shall contain original signatures.
(3) The postclosure insurance policy shall be issued for a face amount at least equal to the current postclosure cost estimate, except as provided in subsection (f) of this section. The term “face amount” means the total amount the insurer is obligated to pay under the policy. Actual payments by the insurer shall not change the face amount, although the insurer's future liability shall be lowered by the amount of the payments.
(4) The postclosure insurance policy shall guarantee that funds shall be available to provide postclosure care of the facility whenever the postclosure period begins. The policy shall also guarantee that once postclosure care begins the insurer shall be responsible for paying out funds, up to an amount equal to the face amount of the policy, upon the direction of the Department, to such party or parties as the Department specifies.
(5) An owner or operator or any other person authorized to perform postclosure care may request reimbursement for postclosure care expenditures by submitting itemized bills to the Department. Within 60 days after receiving bills for postclosure care activities, the Department will instruct the insurer to make reimbursements in those amounts as the Department specifies in writing, if the Department determines that the postclosure expenditures are in accordance with the approved postclosure plan or otherwise justified. If the Department does not instruct the insurer to make such reimbursements, a detailed written statement of reasons will be provided to the owner or operator.
(6) The owner or operator shall maintain the policy in full force and effect until the Department consents to termination of the policy by the owner or operator as specified in subsection (d)(11) of this section. Failure to pay the premium, without substitution of alternate financial assurance as specified in the section, shall constitute a significant violation of these regulations, warranting such remedy as the Department deems necessary. Such violation shall be deemed to begin upon receipt by the Department of a notice of future cancellation, termination or failure to renew due to nonpayment of the premium, rather than upon the date of expiration.
(7) Each policy shall contain a provision allowing assignment of the policy to a successor owner or operator. Such assignment may be conditional upon consent of the insurer, provided such consent is not unreasonably refused.
(8) The policy shall provide that the insurer may not cancel, terminate or fail to renew the policy except for failure to pay the premium. The automatic renewal of the policy shall, at a minimum, provide the insured with the option of renewal at the face amount of the expiring policy. If there is a failure to pay the premium, the insurer may elect to cancel, terminate or fail to renew the policy by sending notice by certified mail to the owner or operator and the Department. Cancellation, termination or failure to renew shall not occur, however, during the 120 days beginning with the date of receipt of the notice by both the Department and the owner or operator, as evidenced by the return receipts. Cancellation, termination or failure to renew shall not occur and the policy shall remain in full force and effect in the event that on or before the date of expiration:
(A) the Department deems the facility abandoned; or
(B) interim status is terminated or revoked; or
(C) closure is ordered by the Department or any other State or Federal agency or a U.S. District Court or other court of competent jurisdiction; or
(D) the owner or operator is named as debtor in a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code; or
(E) the premium due is paid.
(9) Whenever the current postclosure cost estimate increases to an amount greater than the face amount of the policy during the operating life of the facility, the owner or operator, within 60 days after the increase, shall either cause the face amount to be increased to an amount at least equal to the current postclosure cost estimate and submit evidence of such increase to the Department, or obtain other financial assurance as specified in this section to cover the increase. Whenever the current postclosure cost estimate decreases during the operating life of the facility, the face amount may be reduced to the amount of the current postclosure cost estimate following written approval by the Department.
(10) Commencing on the date that liability to make payments pursuant to the policy accrues, the insurer shall thereafter annually increase the face amount of the policy. Such increase shall be equivalent to the face amounts of the policy, less any payments made, multiplied by an amount equivalent to 85 percent of the most recent investment rate or of the equivalent coupon-issue yield announced by the U.S. Treasury for 26-week Treasury securities.
(11) The Department will give written consent to the owner or operator that the insurance policy may be terminated when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements of this section in accordance with subsection (i) of this section.
(e) Financial test and guarantee for postclosure care.
(1) An owner or operator may satisfy the requirements of this section by demonstrating that he or she passes a financial test as specified in this section. To pass this test the owner or operator shall meet the criteria either of subsection (e)(1)(A) or (B) of this section.
(A) the owner or operator shall have:
1. two of the following three ratios: a ratio of total liabilities to net worth less than 2.0; a ratio of the sum of net income plus depreciation, depletion and amortization to total liabilities greater than 0.1; and a ratio of current assets to current liabilities greater than 1.5; and
2. net working capital and tangible net worth each at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates; and
3. tangible net worth of at least $10 million; and
4. assets in the United States amounting to at least 90 percent of total assets or at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates.
(B) the owner or operator shall have:
1. a current rating for his or her most recent bond issuance of AAA, AA, A or BBB as issued by Standard and Poor's or Aaa, Aa, A or Baa as issued by Moody's; and
2. tangible net worth at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates; and
3. tangible net worth of at least $10 million; and
4. assets located in the United States amounting to at least 90 percent of total assets or at least six times the sum of the current closure and postclosure cost estimates and the current plugging and abandonment cost estimates.
(2) The phrase “current closure and postclosure cost estimates” as used in subsection (e)(1) of this section refers to the cost estimates required to be shown in paragraphs 1 through 4 of the letter from the owner's or operator's chief financial officer. The phrase “current plugging and abandonment cost estimates” as used in subsection (e)(1) of this section refers to the cost estimates required to be shown in paragraphs 1 through 4 of the letter from the owner's or operator's chief financial officer.
(3) To demonstrate that this test can be met, the owner or operator shall submit the following items to the Department:
(A) a letter signed by the owner's or operator's chief financial officer and worded as specified in section 66264.151, subsection (f). The letter shall be on the owner's or operator's official letterhead stationery, and shall contain an original signature, and
(B) a copy of the independent certified public accountant's report on examination of the owner's or operator's financial statements for the latest completed fiscal year; and
(C) a special report from the owner's or operator's independent certified public accountant to the owner or operator stating that:
1. the independent certified public accountant has compared the data which the letter from the chief financial officer specifies as having been derived from the independently audited, year-end financial statements for the latest fiscal year with the amounts in such financial statements; and
2. in connection with that procedure, no matters came to the independent certified public accountant's attention which caused him or her to believe that the specified data should be adjusted.
(4) After the initial submission of items specified in subsection (e)(3) of this section, the owner or operator shall send updated information to the Department within 90 days after the close of each succeeding fiscal year. This information shall consist of all three items specified in subsection (e)(3) of this section.
(5) If the owner or operator no longer meets the requirements of subsection (e)(1) of this section, the owner or operator must send notice to the Department of intent to establish alternate financial assurance as specified in this section. The notice shall be sent by certified mail within 90 days after any occurrence that prevents the owner or operator from meeting the requirements. The owner or operator shall provide the alternate financial assurance within 120 days after any such occurrence.
(6) The Department may, based on a reasonable belief that the owner or operator may no longer meet the requirements of subsection (e)(1) of this section, require reports of financial condition at any time from the owner or operator in addition to those specified in subsection (e)(3) of this section. If the Department finds, on the basis of such reports or other information, that the owner or operator no longer meets the requirements of subsection (e)(1) of this section, the owner or operator shall provide alternate financial assurance as specified in this section within 30 days after notification of such a finding.
(7) The Department may disallow use of this test on the basis of qualifications in the opinion expressed by the independent certified public accountant in his or her report on examination of the owner's or operator's financial statements (see subsection (e)(3)(B) of this section). An adverse opinion or a disclaimer of opinion shall be cause for disallowance. The Department will evaluate other qualifications on an individual basis. The owner or operator shall provide alternate financial assurance as specified in this section within 30 days after notification of the disallowance.
(8) During the period of postclosure care, the Department may approve a decrease in the current postclosure cost estimate for which this test demonstrates financial assurance if the owner or operator demonstrates to the Department that the amount of the cost estimate exceeds the remaining cost of postclosure care.
(9) The owner or operator is no longer required to submit the items specified in subsection (e)(3) of this section when:
(A) an owner or operator substitutes alternate financial assurance as specified in this section; or
(B) the Department releases the owner or operator from the requirements in accordance with subsection (i) of this section.
(10) An owner or operator may meet the requirements for this section by obtaining a written guarantee. The guarantor shall be the direct or higher-tier parent corporation as defined in section 66260.10 of the owner or operator, a firm whose parent corporation is also the parent corporation of the owner or operator, or a firm with a “substantial business relationship” with the owner or operator. The guarantor shall meet the requirements for owners or operators in subsections (e)(1) through (9) of this section and shall comply with the terms of the guarantee. The wording of the guarantee shall be identical to the wording specified in section 66264.151, subsection (h). A certified copy of the guarantee shall accompany the items sent to the Department as specified in subsections (e)(3) of this section. One of these items must be the letter from the guarantor's chief financial officer. If the guarantor's parent corporation is also the parent corporation of the owner or operator, the letter must describe the value received in consideration of the guarantee. If the guarantor is a firm with a “substantial business relationship” with the owner or operator, this letter must describe this “substantial business relationship” and the value received in consideration of the guarantee. The terms of the guarantee shall provide that:
(A) if the owner or operator fails to perform postclosure care of a facility covered by the guarantee in accordance with the postclosure plan and other interim status requirements whenever required to do so, the guarantor shall do so or establish a trust fund as specified in subsection (a) of this section in the name of the owner or operator;
(B) the guarantee shall remain in force unless the guarantor sends notice of cancellation by certified mail to the owner or operator and to the Department. Cancellation shall not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by both the owner or operator and the Department as evidenced by the return receipt;
(C) if the owner or operator fails to provide alternate financial assurance as specified in this section and obtain the written approval of such alternate assurance from the Department within 90 days after receipt by both the owner or operator and the Department of a notice of cancellation of the guarantee from the guarantor, the guarantor shall provide such alternate financial assurance in the name of the owner or operator.
(f) Use of multiple financial mechanisms. An owner or operator may satisfy the requirements of this section by establishing more than one financial mechanism per facility. The mechanisms shall be as specified in subsections (a) through (d) and (h) of this section, except that it is the combination of mechanisms, rather than the single mechanism, which shall provide financial assurance for an amount at least equal to the current postclosure cost estimate. If an owner or operator uses a trust fund in combination with a surety bond or a letter of credit, he or she may use the trust fund as the standby trust fund for the other mechanisms. A single standby trust fund may be established for two or more mechanisms. If the owner or operator demonstrates the required coverage through the use of a combination of financial assurances under this subsection, the owner or operator shall specify at least one such assurance as “primary” coverage and shall specify the other as “excess” coverage. The Department may use any or all of the mechanisms to provide for postclosure care of the facility.
(g) Use of a financial mechanism for multiple facilities for postclosure care. An owner or operator may use one or more of the financial assurance mechanisms specified in subsections (a) through (e) and (h) of this section and section 66265.146 to meet the requirements of this section for more than one facility. Evidence of financial assurance submitted to the Department shall include a list showing, for each facility, the Hazardous Waste Facility Identification Number, name, address and the amount of funds for postclosure care assured by the mechanism. The amount of funds available through the mechanism shall be no less than the sum of funds that would be available if a separate mechanism had been established and maintained for each facility. In directing funds available through the mechanism for postclosure care of any of the facilities covered by the mechanism, the Department may direct only the amount of funds designated for that facility, unless the owner or operator agrees to the use of additional funds available under the mechanism.
(h) Alternative Financial Mechanism for Postclosure Care. 
(1) The owner or operator may establish financial assurance for postclosure care for facilities which manage solely non-RCRA hazardous waste by means of a financial mechanism other than as specified in subsections (a) through (e) of this section, provided that prior to its use the mechanism has been submitted to and approved by the Department. The mechanism shall be at least equivalent to the financial mechanisms specified in subsections (a) through (e) of this section and section 66265.146. The Department shall evaluate the equivalency of a mechanism principally in terms of: 
(A) certainty of the availability of funds for the required postclosure care activities; and 
(B) the amount of funds that will be made available; 
(C) the Department may also consider other factors deemed to be appropriate, and may require the owner or operator to submit additional information as is deemed necessary to make the determination. 
(2) The owner or operator shall submit to the Department the proposed mechanism together with a letter requesting that the proposed mechanism be considered acceptable for meeting the requirements of this section. The submission shall include the following information: 
(A) name, address and phone number of the issuing institution; and 
(B) hazardous waste facility identification number, name, address and postclosure cost estimate for each facility; and 
(C) the amount of funds for postclosure care to be assured for each facility by the proposed mechanism; and 
(D) the terms of the proposed mechanism (period covered, renewal/extension, cancellation). 
(3) The Department shall notify the owner or operator in writing of the determination made regarding the proposed mechanism's acceptability in lieu of the financial assurance mechanisms specified in subsections (a) through (e) of this section. 
(4) If a proposed mechanism is found acceptable, the owner or operator shall submit a fully executed document to the Department. The document shall contain original signatures and shall be accompanied by a formal certification of acknowledgment. 
(5) If a proposed mechanism is found acceptable except for the amount of funds, the owner or operator shall either increase the amount of the mechanism or obtain other financial assurance as specified in subsections (a) through (e) of this section. The amount of funds available through the combination of mechanisms shall at least equal the current postclosure cost estimate. 
(i) Release of the owner or operator from Financial Assurance requirements for postclosure care.
(1) Within 60 days after receiving certifications from the owner or operator and an independent registered professional engineer that all postclosure care requirements have been completed in accordance with the approved postclosure plan, the Department, at the request of the owner or operator, will notify the owner or operator in writing that he or she is no longer required by this section to maintain financial assurance for postclosure care of that unit, unless the Department has reason to believe that postclosure care has not been in accordance with the approved postclosure plan. The Department shall provide the owner or operator a detailed written statement of any such reason to believe that postclosure care has not been in accordance with the approved postclosure plan.
(2) When transfer of ownership or operational control of a facility occurs, and the new owner or operator has demonstrated to the satisfaction of the Department that the owner or operator is complying with the financial requirements of this section, the Department shall notify the previous owner or operator in writing that they are no longer required to maintain financial assurance for postclosure care of that particular facility.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; 40 CFR Section 265.145.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsections (a)(2), (b)(2), (b)(3)(A), (c)(2), (c)(3)(A), (d)(2), (e), (e)(3)(A), and (e)(10)-(e)(10)(C) and renumbering subsections filed 8-17-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 33).
3. Editorial correction of subsection numbering (Register 95, No. 35).
4. Change without regulatory effect amending subsections (a)(1)-(3), (b)(2), (b)(3)(A), (c)(1)-(2), (c)(3)(A), (d)(2), (d)(8)(C), (e)(3)(A), (e)(5) and (e)(10) filed 11-6-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
5. Change without regulatory effect amending subsection (d)(2) filed 10-22-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 43).
6. Change without regulatory effect amending section and Note filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
§66265.146. Use of a Mechanism for Financial Assurance of Both Closure and Post-Closure Care.
Note     •     History

An owner or operator may satisfy the requirements for financial assurance for both closure and post-closure care for one or more facilities by using a trust fund, surety bond, letter of credit, insurance, financial test, or corporate guarantee or alternative mechanism, that meets the specifications for the mechanism in both sections 66265.143 and 66265.145. The amount of funds available through the mechanism shall be no less than the sum of funds that would be available if a separate mechanism had been established and maintained for financial assurance of closure and of post-closure care.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; 40 CFR Section 265.146.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.147. Liability Requirements.
Note     •     History

(a) Coverage for sudden accidental occurrences. An owner or operator of a hazardous waste transfer, treatment, storage or disposal facility or a group of such facilities, shall demonstrate to the Department financial responsibility for bodily injury and property damage to third parties caused by sudden accidental occurrences arising from operations of the facility or group of facilities. Except as specified in Section 67450.16, the owner or operator shall have and maintain liability coverage for sudden accidental occurrences in the amount of at least $1 million per occurrence with an annual aggregate of at least $2 million, exclusive of legal defense costs. This liability coverage may be demonstrated, as specified in subsections (a)(1), (2), (3), (4), (5), (6) or (8) of this section, and for an operator which is a public agency proposing to operate a household hazardous waste collection facility, subsection (7).
(1) An owner or operator may demonstrate the required liability coverage by having liability insurance as specified in this subsection.
(A) At a minimum, the insurer shall be licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more states. 
(B) Each insurance policy shall be amended by attachment of the Hazardous Waste Facility Liability Endorsement or evidenced by a Certificate of Liability Insurance. If requested by the Department, the owner or operator shall provide a copy of the insurance policy; the copy of the insurance policy shall contain original signatures. 
(C) The wording of the liability endorsement shall be identical to the wording specified in section 66264.151, subsection (i). The liability endorsement shall contain original signatures and shall be submitted to the Department. 
(D) The wording of the certificate of insurance shall be identical to the wording specified in section 66264.151, subsection (j). The certificate of insurance shall contain original signatures and shall be submitted to the Department. 
(E) An owner or operator of a new facility shall submit the liability endorsement or certificate of insurance to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal. The insurance shall be effective before this initial receipt of hazardous waste. 
(2) An owner or operator may meet the requirements of this section by passing a financial test or using the guarantee for liability coverage as specified in subsections (f) and (g) of this section.
(3) An owner or operator may meet the requirements of this section by obtaining a letter of credit for liability coverage as specified in subsection (h) of this section.
(4) An owner or operator may meet the requirements of this section by obtaining a payment bond for liability coverage as specified in subsection (i) of this section.
(5) An owner or operator may meet the requirements of this section by obtaining a trust fund for liability coverage as specified in subsection (j) of this section.
(6) An owner or operator may demonstrate the required liability coverage through use of combinations of insurance, financial test, guarantee, letter of credit, payment bond and trust fund, except that the owner or operator may not combine a financial test covering part of the liability coverage requirement with a guarantee unless the financial statement of the owner or operator is not consolidated with the financial statement of the guarantor. The amounts of coverage demonstrated shall total at least the minimum amounts required by this section. If the owner or operator demonstrates the required coverage through the use of a combination of financial assurances under this subsection, the owner or operator shall specify at least one such assurance as “primary” coverage and shall specify the other assurance as “excess” coverage. 
(7) An operator which is a public agency which is proposing to operate a household hazardous waste collection facility may meet the requirements of this section by obtaining self-insurance as specified in subsection (k) of this section. 
(8) An owner or operator may meet the requirements of this section by obtaining an alternative financial mechanism, as described in subsection (l) of this section. 
(9) An owner or operator shall notify the Department in writing within 30 days whenever:
(A) a claim results in a reduction in the amount of financial assurance for liability coverage under this section provided by a financial instrument authorized by subsections (a)(1) through (a)(5), (a)(7) and (a)(8) of this section; or 
(B) a Certification of Valid Claim for bodily injury or property damages caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous waste transfer, treatment, storage, or disposal facility is entered between the owner or operator and third-party claimant for liability coverage under subsections (a)(1) through (a)(5), (a)(7) and (a)(8) of this section; or 
(C) a final court order establishing a judgment for bodily injury or property damage caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous waste treatment, storage, or disposal facility is issued against the owner or operator or an instrument that is providing financial assurance for liability coverage under subsection (a)(1) through (a)(5), (a)(7) and (a)(8) of this section
(b) Coverage for non-sudden accidental occurrences. An owner or operator of a surface impoundment as defined in section 66260.10, landfill as defined in section 66260.10, or land treatment facility as defined in section 66260.10 which is used to manage hazardous waste, or a group of such facilities, shall demonstrate to the Department financial responsibility for bodily injury and property damage to third parties caused by non-sudden accidental occurrences arising from operations of the facility or group of facilities. The owner or operator shall have and maintain liability coverage for non-sudden accidental occurrences in the amount of at least $3 million per occurrence, as defined in section 66260.10 with an annual aggregate of at least $6  million, exclusive of legal defense costs. An owner or operator who must meet the requirements of this section may combine the required per-occurrence coverage levels for sudden and non-sudden accidental occurrences into a single per-occurrence level, and combine the required annual aggregate coverage levels for sudden and nonsudden accidental occurrences into a single annual aggregate level. Owners or operators who combine coverage levels for sudden and non-sudden accidental occurrences shall maintain liability coverage in the amount of at least $4 million per occurrence and $8  million annual aggregate. This liability coverage may be demonstrated as specified in subsections (b)(1) through (7) of this section.
(1) An owner or operator may demonstrate the required liability coverage by having liability insurance as specified in this subsection.
(A) At a minimum, the insurer shall be licensed to transact the business of insurance, or eligible to provide insurance as an excess or surplus lines insurer, in one or more states. 
(B) Each insurance policy shall be amended by attachment of the Hazardous Waste Facility Liability Endorsement or evidenced by a Certificate of Liability Insurance. If requested by the Department, the owner or operator shall provide a copy of the insurance policy; the copy of the insurance policy shall contain original signatures. 
(C) The wording of the liability endorsement shall be identical to the wording specified in section 66264.151, subsection (i). The liability endorsement shall contain original signatures and shall be submitted to the Department. 
(D) The wording of the certificate of insurance shall be identical to the wording specified in section 66264.151, subsection (j). The certificate of insurance shall contain original signatures and shall be submitted to the Department. 
(E) An owner or operator of a new facility shall submit the liability endorsement or certificate of insurance to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal. The insurance shall be effective before this initial receipt of hazardous waste. 
(2) An owner or operator may meet the requirements of this section by passing a financial test or using the guarantee for liability coverage as specified in sections (f) and (g) of this section.
(3) An owner or operator may meet the requirements of this section by obtaining a letter of credit for liability coverage as specified in subsection (h) of this section.
(4) An owner or operator may meet the requirements of this section by obtaining a payment bond for liability coverage as specified in subsection (i) of this section.
(5) An owner or operator may meet the requirements of this section by obtaining a trust fund for liability coverage as specified in subsection (j) of this section.
(6) An owner or operator may demonstrate the required liability coverage through use of combinations of insurance, financial test, guarantee, letter of credit, payment bond and trust fund, except that the owner or operator may not combine a financial test covering part of the liability coverage requirements with a guarantee unless the financial statement of the owner or operator is not consolidated with the financial statement of the guarantor. The amounts of coverage demonstrated shall total at least the minimum amounts required by this section. If the owner or operator demonstrates the required coverage through the use of a combination of financial assurances under this subsection, the owner or operator shall specify at least one such assurance as “primary” coverage and shall specify the other assurance as “excess” coverage. 
(7) An owner or operator may meet the requirements of this section by obtaining an alternative financial mechanism, as described in subsection (l) of this section. 
(8) An owner or operator shall notify the Department in writing within 30 days whenever:
(A) a claim results in a reduction in the amount of financial assurance for liability coverage under this section provided by a financial instrument authorized by subsections (b)(1) through (b)(7) of this section; or 
(B) a Certification of Valid Claim for bodily injury or property damages caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous waste transfer, treatment, storage, or disposal facility is entered between the owner or operator and third-party claimant for liability coverage under subsections (b)(1) through (b)(7) of this section; or 
(C) a final court order establishing a judgement for bodily injury or property damage caused by a sudden or non-sudden accidental occurrence arising from the operation of a hazardous waste treatment, storage, or disposal facility is issued against the owner or operator or an instrument that is providing financial assurance for liability coverage under subsections (b)(1) through (b)(7) of this section. 
(c) Request for variance. If an owner or operator can demonstrate to the satisfaction of the Department that the levels of financial responsibility required by subsection (a) or (b) of this section or section 67450.5 are not consistent with the degree and duration of risk associated with transfer, treatment, storage, or disposal at the facility or group of facilities, the owner or operator may obtain a variance from the Department. The request for a variance shall be submitted in writing to the Department. If granted, the variance shall take the form of an adjusted level of required liability coverage, such level to be based on the Department's assessment of the degree and duration of risk associated with the ownership or operation of the facility or group of facilities. The Department may require an owner or operator who requests a variance to provide such technical and engineering information as is deemed necessary by the Department to determine a level of financial responsibility other than that required by subsection (a) or (b) of this section or section 67450.5. The Department will process a variance request as if it were a permit modification request under section 66270.41, subsection (a)(5) of this division and subject to the procedures of section 66271.4 of this division. Notwithstanding any other provision, the Department may hold a public hearing at its discretion or whenever it finds, on the basis of requests for a public hearing, a significant degree of public interest is expressed in a tentative decision to grant a variance.
(d) Adjustments by the Department. If the Department determines that the levels of financial responsibility required by subsections (a) or (b) of this section or section 67450.5 are not consistent with the degree and duration of risk associated with transfer, treatment, storage or disposal at the facility or group of facilities, the Department may adjust the level of financial responsibility required under subsections (a) or (b) of this section or section 67450.5 as may be necessary to protect human health and the environment. This adjusted level shall be based on the Department's assessment of the degree and duration of risk associated with the ownership or operation of the facility or group of facilities. In addition, if the Department determines that there is a significant risk to human health and the environment from non-sudden accidental occurrences resulting from the operations of a facility that is not a surface impoundment, landfill or land treatment facility, the Department shall require that an owner or operator of the facility comply with subsection (b) of this section. An owner or operator shall furnish to the Department, within a reasonable time, any information which the Department requests to determine whether cause exists for such adjustments of level or type of coverage. The Department shall process an adjustment of the level of required coverage as if it were a permit modification under section 66270.41, subsection (a)(5) of this division and subject to the procedures of 66271.4 of this division. Notwithstanding any other provision, the Department may hold a public hearing at its discretion or whenever, on the basis of requests for a public hearing, a significant degree of public interest is expressed in a tentative decision to adjust the level or type of required coverage.
(e) Period of coverage. Within 60 days after receiving certifications from the owner or operator and an independent registered professional engineer that final closure has been completed in accordance with the approved closure plan, the Department shall notify the owner or operator in writing that he or she is no longer required by this section to maintain liability coverage for that facility, unless the Department has reason to believe that closure has not been in accordance with the approved closure plan.
(f) Financial test for liability coverage.
(1) An owner or operator may satisfy the requirements of this section by demonstrating that he or she passes a financial test as specified in this subsection. To pass this test the owner or operator shall meet the criteria of subsection (f)(1)(A) or (B) of this section.
(A) the owner or operator shall have:
1. net working capital and tangible net worth each at least six times the amount of liability coverage to be demonstrated by this test; and
2. tangible net worth of at least $10 million; and
3. assets in the United States amounting to either:
a. at least 90 percent of total assets; or 
b. at least six times the amount of liability coverage to be demonstrated by this test. 
(B) the owner or operator shall have:
1. a current rating for his or her most recent bond issuance of AAA, AA, A or BBB as issued by Standard and Poor's, or Aaa, Aa, A or Baa as issued by Moody's; and
2. tangible net worth of at least $10 million; and
3. tangible net worth at least six times the amount of liability coverage to be demonstrated by this test; and
4. assets in the United States amounting to either: 
a. at least 90 percent of total assets; or 
b. at least six times the amount of liability coverage to be demonstrated by this test. 
(2) The phrase “amount of liability coverage” as used in subsection (f)(1) of this section refers to the annual aggregate amounts for which coverage is required under subsections (a) and (b) of this section and sections 67450.14 and 67450.15.
(3) To demonstrate that this test can be met, the owner or operator shall submit the following items to the Department:
(A) a letter signed by the owner's or operator's chief financial officer and worded as specified in section 66264.151, subsection (g). The letter shall be on the official letterhead stationery of the owner or operator, and shall contain an original signature. An owner or operator may use the financial test to demonstrate both assurance for closure or postclosure care, as specified in section 66264.143, subsection (f), section 66264.145, subsection (f), section 66265.143, subsection (e), section 66265.145, subsection (e) and section 67450.13, and liability coverage as specified in section 66264.147, subsection (a), section 66264.147, subsection (b), section 66265.147, subsection (a), section 66265.147, subsection (b), sections 67450.14 and 67450.15. If an owner or operator is using the financial test to cover both forms of financial responsibility, a separate letter is not required.
(B) a copy of the independent certified public accountant's report on examination of the owner's or operator's financial statements for the latest completed fiscal year.
(C) a special report from the owner's or operator's independent certified public accountant to the owner or operator stating that:
1. the independent certified public accountant has compared the data which the letter from the chief financial officer specifies as having been derived from the independently audited, year-end financial statements for the latest fiscal year with the amounts in such financial statements; and
2. in connection with that procedure, no matters came to the independent certified public accountant's attention which caused him or her to believe that the specified data should be adjusted.
(4) An owner or operator of a new facility shall submit the items specified in subsection (f)(3) of this section to the Department at least 60 days before the date on which hazardous waste is first received for transfer, treatment, storage or disposal.
(5) After the initial submission of items specified in subsection (f)(3) of this section, the owner or operator shall send updated information to the Department within 90 days after the close of each succeeding fiscal year. This information shall consist of all three items specified in subsection (f)(3) of this section.
(6) If the owner or operator no longer meets the requirements of subsection (f)(1) of this section, liability coverage shall be obtained for the entire amount of coverage as described in this section by use of the financial mechanisms described in this section. Notice shall be sent to the Department of the owner's or operator's intent to obtain the required coverage; notice shall be sent by either registered mail or by certified mail within 90 days after any occurrence that prevents the owner or operator from meeting the test requirements. Evidence of liability coverage shall be submitted to the Department within 90 days after any occurrence that prevents the owner or operator from meeting the requirements.
(7) The Department may, based on a reasonable belief that the owner or operator no longer meets the requirements of subsection (f)(1) of this section, require reports of financial condition at any time from the owner or operator in addition to those specified in subsection (f)(3) of this section. If the Department finds, on the basis of such reports or other information, that the owner or operator no longer meets the requirements of subsection (f)(1) of this section, the owner or operator shall provide alternate financial assurance for closure and postclosure care and evidence of the required liability coverage as specified in this section within 30 days after notification of such a finding.
(8) The Department may disallow use of this test on the basis of qualifications in the opinion expressed by the independent certified public accountant in his or her report on examination of the owner's or operator's financial statements (see subsection (f)(3)(B) of this section). An adverse opinion or a disclaimer of opinion will be cause for disallowance. The Department will evaluate other qualifications on an individual basis. The owner or operator shall provide evidence of liability coverage for the entire amount required as specified in this section within 30 days after notification of disallowance.
(9) The owner or operator is no longer required to submit the items specified in subsection (f)(3) of this section when:
(A) an owner or operator substitutes alternate financial assurance for closure and postclosure care and evidence of liability coverage as specified in this section; or
(B) the Department releases the owner or operator from the requirements of this section in accordance with sections 66265.143, subsection (i), 66265.145, subsection (i) and 66265.147, subsection (e).
(g) Guarantee for liability coverage.
(1) Subject to subsection (g)(2) of this section, an owner or operator may meet the requirements of this section by obtaining a written guarantee, hereinafter referred to as “guarantee.” The guarantor shall be the direct or higher-tier parent corporation of the owner or operator, a firm whose parent corporation is also the parent corporation of the owner or operator, or a firm with a “substantial business relationship” with the owner or operator. The guarantor shall meet the requirements for owners or operators in subsections (f)(1) through (f)(6) of this section. The wording of the guarantee shall be identical to the wording specified in  section 66264.151, subsection (h)(2), and shall have original signatures. A certified copy of the guarantee shall accompany the items sent to the Department as specified in subsection (f)(3) of this section. One of these items must be the letter from the guarantor's chief financial officer. If the guarantor's parent corporation is also the parent corporation of the owner or operator, this letter shall describe the value received in consideration of the guarantee. If the guarantor is a firm with a “substantial business relationship” with the owner or operator, this letter shall describe this “substantial business relationship” and the value received in consideration of the guarantee. The term of the guarantee shall provide as follows:
(A) if the owner or operator fails to satisfy a judgment based on a determination of liability for bodily injury or property damage to third parties caused by sudden or non-sudden accidental occurrences (or both as the case may be), arising from the operation of facilities covered by this guarantee, or fails to pay an amount agreed to in settlement of claims arising from or alleged to arise from such injury or damage, the guarantor shall do so up to the limits of coverage.
(B) the guarantee shall remain in force unless the guarantor sends notice of cancellation by certified mail to the owner or operator and to the Department. This guarantee shall not be terminated unless and until the Department approves alternate liability coverage complying with section 66264.147 and/or section 66265.147.
(2)(A) In the case of corporations incorporated in states other than California, a guarantee may be used to satisfy the requirements of this section only if the Attorney General or Insurance Commissioner of; 
1. the State in which the guarantor is incorporated, and 
2. each state in which a facility covered by the guarantee is located have submitted a written statement to the Department that a guarantee executed as described in this section is a legally valid and enforceable obligation in that State. 
(B) In the case of corporations incorporated outside the United States, a guarantee may be used to satisfy the requirements of this section only if; 
1. the non-U.S. corporation has identified a registered agent for service of process in each State in which a facility covered by the guarantee is located and in the State in which it has its principal place of business; and if 
2. the Attorney General or Insurance Commissioner of each State in which a facility covered by the guarantee is located and the State in which the guarantor corporation has its principal place of business, has submitted a written statement to the Department that a guarantee executed as described in this section is a legally valid and enforceable obligation in that State. 
(h) Letter of credit for liability coverage:
(1) An owner or operator may satisfy the requirements of this section by obtaining an irrevocable standby letter of credit that conforms to the requirements of this subsection and submitting a copy of the letter of credit to the Department.
(2) The financial institution issuing the letter of credit must be an entity that has the authority to issue letters of credit and whose letter of credit operations are regulated and examined by a Federal or State agency.
(3) The wording of the letter of credit shall be identical to the wording specified in section 66264.151, subsection (k) of this division. The letter of credit shall contain original signatures and shall be accompanied by a letter from the owner or operator referring to the letter of credit by number, issuing institution, effective date, and providing the following information; the hazardous waste facility identification number, name and address of the facility, and the amount of funds assured for valid third party liability claims of the facility by the letter of credit.
(4) An owner or operator who uses a letter of credit to satisfy the requirement of this section may also establish a standby trust fund. Under the terms of the letter of credit, all amounts paid pursuant to a draft

by the trustee of the standby trust shall be deposited by the issuing institution directly into the standby trust fund in accordance with instructions from the trustee. The trustee of the standby trust fund shall be an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or State agency. This standby trust fund shall meet all of the requirements of the trust fund specified in subsection (j) of this section.
(5) The wording of the standby trust fund shall be identical to the wording specified in section 66264.151, subsection (n). 
(6) The letter of credit shall be irrevocable and issued for a period of at least one (1) year. The letter of credit shall provide that the expiration date will be automatically extended for a period of at least one (1) year unless, at least 120 days before the current expiration date, the issuing institution notifies both the owner or operator and the Department by certified mail of a decision not to extend the expiration date. Under the terms of the letter of credit, the 120 days shall begin on the date when both the owner or operator and the Department have received the notice, as evidenced by the return receipts.
(7) The letter of credit shall be issued in an amount at least equal to the required per occurrence and annual aggregate amount for sudden, or nonsudden, or sudden and nonsudden liability coverage, except as provided in subsection (b)(6) of this section.
(i) Payment bond for liability coverage.
(1) An owner or operator may satisfy the requirements of this section by obtaining a payment bond that conforms to the requirements of this subsection and submitting a copy of the bond to the Department.
(2) The surety company issuing the bond shall be among those listed as acceptable sureties on Federal bonds in the most recent Circular 570 of the U.S. Department of the Treasury.
(3) The wording of the payment bond shall be identical to the wording specified in section 66264.151, subsection (l). The payment bond shall contain original signatures.
(4) A payment bond may be used to satisfy the requirements of this section only if the Attorney General or Insurance Commissioner of
(A) the State in which the surety is incorporated, and 
(B) each State in which a facility/TTU covered by the payment bond is located have submitted a written statement to the Department that a payment bond executed as described in this section and is a legally valid and enforceable obligation in that State. 
(j) Trust fund for liability coverage.
(1) An owner or operator may satisfy the requirements of this section by establishing a trust fund that conforms to the requirements of this subsection by submitting an originally signed duplicate of the trust agreement and a formal certification of acknowledgment.
(2) The trustee shall be an entity which has the authority to act as a trustee and whose trust operations are regulated and examined by a Federal or state agency.
(3) The trust fund for liability coverage shall be funded for the full amount of the liability coverage to be provided by the trust fund before it may be relied upon to satisfy the requirements of this section. If at any time after the trust fund is created the amount of funds in the trust fund is reduced below the full amount of the liability coverage to be provided, the owner or operator, by the anniversary date of the establishment of the fund, shall either add sufficient funds to the trust fund to cause its value to equal the full amount of liability coverage to be provided, or obtain other financial assurance as specified in this section to cover the difference. For purposes of this subsection, “the full amount of the liability coverage to be provided” means the amount of coverage for sudden and/or nonsudden occurrences required to be provided by the owner or operator by this section, less the amount of financial assurance for liability coverage that is being provided by other financial assurance mechanisms being used to demonstrate financial assurance by the owner or operator.
(4) The wording of the trust agreement shall be identical to the wording specified in section 66264.151, subsection (m).
(k)  Self-Insurance for Public Agencies.
(1) A public agency operating a household hazardous waste collection facility may demonstrate the required liability coverage by self-insuring as specified in this section, and by submitting evidence of such insurance to the Department.
(2) The public agency shall have:
(A) self-insurance;
(B) an active safety and loss prevention program that seeks to minimize the frequency and magnitude of third party damages caused by accidental occurrences and other self-insured losses; and
(C) procedures for and a recent history of timely investigation and resolution of any claims for third party damages caused by accidental occurrences and other self-insured losses.
(3) To demonstrate that self-insurance can be used, the public agency shall submit the following items to the Department at least 45 days before the date on which hazardous waste is first received. The insurance shall be effective before the initial receipt of hazardous waste:
(A) a Certificate of Self-Insurance shall be completed by utilizing only form DTSC 1165 (12/00), (Certificate of Self-Insurance), without making any changes to the form, which shall be provided by the Department; and
(B) a letter from the Chief Administrative Officer of the public agency which contains an original signature, stating that self-insurance is the chosen mechanism for liability coverage.
(4) If the public agency no longer meets the requirements of subsection (k)(2) of this section, notice shall be sent by either registered mail or certified mail within 30 days after any occurrence that prevents the public agency from meeting the self-insurance requirements. Alternative liability coverage shall be obtained for the entire amount of coverage as described in Section 67450.4, subsection (b) by using one of the other financial mechanisms described in this section. Evidence of the alternative liability coverage shall be submitted to the Department within 90 days after any occurrence that prevents the public agency from meeting the self-insurance requirements.
(5) The Department may, based on the reasonable belief that the public agency no longer meets the requirements of subsection (k)(2) of this section, require reports of financial condition and insurance policies at any time from the public agency in addition to those specified in subsection (k)(3) of this section. If the Department finds, on the basis of such reports or other information, that the public agency no longer meets the requirements of subsection (k)(2) of this section, the public agency shall provide alternate financial assurance for liability coverage as specified in this section within 30 days after notification of such a finding.
(l) Liability Coverage--Alternative Mechanism. 
(1) An owner or operator of a facility or facilities where solely non-RCRA hazardous waste is managed, a Transportable Treatment Unit (TTU) operated pursuant to section 67450.2(a) and/or a Fixed Treatment Unit (FTU) operated pursuant to section 67450.2(b), may demonstrate the required liability coverage by means of a mechanism other than those specified in subsections (a) and (b) of this section, provided that, prior to its use, the proposed mechanism has been submitted to and approved by the Department. The mechanism shall be at least equivalent to the mechanisms specified in subsections (a) and (b) of this section. The Department shall evaluate the equivalency of a mechanism principally in terms of:
(A) certainty of the availability of funds for the required liability coverage; and
(B) the amount of funds that will be made available;
(C) the Department shall also consider other factors deemed to be appropriate, and shall require the owner or operator to submit additional information as is deemed necessary to make the determination.
(2) The owner or operator shall submit to the Department the proposed mechanism together with a letter requesting that the alternate mechanism be considered acceptable for meeting the requirements of subsections (a) and (b) of this section and sections 67450.14 and 67450.15. The submission shall include the following information:
(A) the name, address and phone number of the issuing institution; and
(B) hazardous waste facility identification number, name, address and the amount of liability, TTU or FTU coverage to be provided for each facility; and
(C) the terms of the proposed mechanism (period of coverage, renewal/extension, cancellation).
(3) The Department shall notify the owner or operator in writing of the determination made regarding the proposed mechanism's acceptability in lieu of the other mechanisms specified in subsections (a) and (b) of this section and sections 67450.14 and 67450.15.
(4) If a proposed mechanism is found acceptable, the owner or operator shall submit a fully executed document to the Department. The document shall contain original signatures and shall be accompanied by a formal certification of acknowledgment.
(5) If a proposed mechanism is found acceptable except for the amount of coverage, the owner or operator shall either increase the coverage or obtain other liability coverage as specified in subsections (a) and (b) of this section and sections 67450.14 and 67450.15. The amount of coverage available through the combination of mechanisms shall at least equal the amounts required by subsections (a) and (b) of this section and sections 67450.14 and 67450.15.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25200.1 and 25245, Health and Safety Code; 40 CFR Section 265.147.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (g) and (l) filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
3. Amendment of section and Note filed 4-12-93; operative 4-12-93 (Register 93, No. 16).
4. Change without regulatory effect amending section filed 8-17-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 33).
5. Amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
6. Amendment of subsections (a) and (b) and amendment of Note filed 10-19-98; operative 11-18-98 (Register 98, No. 43).
7. Change without regulatory effect amending subsections (b), (b)(8)(B)-(C), (f)(3)-(f)(3)(B) and (g)(3)(A)-(C), new (g)(4), subsection renumbering and amendment of subsections (h)(1)-(h)(2)(B), (i)(3), (i)(4)(A), (i)(5), (j)(3)-(4), (k)(4) and (l)(3)(A) filed 11-6-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
8. Change without regulatory effect amending section filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
9. Change without regulatory effect amending subsection (g)(1) filed 3-20-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§66265.148. Incapacity of Owners or Operators, Guarantors, or Financial Institutions.
Note     •     History

(a) An owner or operator shall notify the Department by certified mail of the commencement of a voluntary or involuntary proceeding under Title 11 (Bankruptcy), U.S. Code, naming the owner or operator as debtor, within 10 days after commencement of the proceeding. A guarantor of a guarantee as specified in section 66265.143(e) and 66265.145(e) shall make such a notification if named as debtor, as required under the terms of the guarantee.
(b) An owner or operator who fulfills the financial assurance or liability coverage requirements by obtaining a trust fund, surety bond, letter of credit, or insurance policy shall be deemed to be without the required financial assurance or liability coverage in the event of bankruptcy of the trustee or issuing institution, or a suspension or revocation of the authority of the trustee institution to act as trustee or of the institution issuing the surety bond, letter of credit, or insurance policy to issue such instruments. The owner or operator shall establish other financial assurance or liability coverage within 60 days after such an event.
NOTE

Authority cited: Sections 208, 25150, 25159, 25159.5 and 25245, Health and Safety Code. Reference: Section 25245, Health and Safety Code; 40 CFR Section 265.148.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 9. Use and Management of Containers
§66265.170. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of all hazardous waste facilities that transfer or store containers of hazardous waste, except as section 66265.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.170.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.171. Condition of Containers.
Note     •     History

If a container holding hazardous waste is not in good condition (e.g., severe rusting, apparent structural defects), or if it begins to leak, the owner or operator shall transfer the hazardous waste from this container to a container that is in good condition, or manage the waste in some other way that complies with the requirements of this chapter.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.171.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.172. Compatibility of Waste with Containers.
Note     •     History

The owner or operator shall use a container made of or lined with materials which will not react with, and are otherwise compatible with, the hazardous waste to be transferred or stored, so that the ability of the container to contain the waste is not impaired.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.172.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.173. Management of Containers.
Note     •     History

(a) A container holding hazardous waste shall always be closed during transfer and storage, except when it is necessary to add or remove waste.
(b) A container holding hazardous waste shall not be opened, handled, transferred or stored in a manner which may rupture the container or cause it to leak. Re-use of containers for transportation shall comply with the requirements of the U.S. Department of Transportation regulations, including those set forth in 49 CFR section 173.28.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.173.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.174. Inspections.
Note     •     History

The owner or operator shall inspect areas used for container storage or transfer, at least weekly, looking for leaking containers and for deterioration of containers and the containment system caused by corrosion or other factors.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.174.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.176. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

Containers holding ignitable or reactive waste shall be located at least 15 meters (50 feet) from the facility's property line.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.176.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.177. Special Requirements for Incompatible Wastes.
Note     •     History

(a) Incompatible wastes, or incompatible wastes and materials (see Appendix V for examples) shall not be placed in the same container, unless section 66265.17(b) is complied with.
(b) Hazardous waste shall not be placed in an unwashed container that previously held an incompatible waste or material (see Appendix V for examples).
(c) A container holding a hazardous waste that is incompatible with any waste or other materials transferred or stored nearby in other containers, piles, open tanks, or surface impoundments shall be separated from the other materials or protected from them by means of a dike, berm, wall, or other device.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.177.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.178. Air Emission Standards.
Note     •     History

The owner or operator shall manage all hazardous waste placed in a container in accordance with the applicable requirements of articles 27, 28 and 28.5 of this chapter. 
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159,and 25159.5, Health and Safety Code; and 40 CFR Section 265.178.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Editorial correction of Note (Register 2004, No. 27).
Article 10. Tank Systems
§66265.190. Applicability.
Note     •     History

The regulations of this article apply to owners and operators of facilities that use tank systems for transferring, storing or treating hazardous waste, except as otherwise provided in subsections (a) and (b) of this section or in section 66265.1 of this chapter.
(a) Tank systems that are used to transfer, store or treat hazardous waste containing no free liquids and that are situated inside a building with an impermeable floor are exempted from the requirements of section 66265.193 of this article. To demonstrate the absence or presence of free liquids in the stored/treated waste, the following test must be used: Method 9095 (Paint Filter Liquids Test) as described in “Test Methods for Evaluating Solid Wastes, Physical/Chemical Methods”, (EPA Publication No. SW-846, 3d edition and Updates (incorporated by reference in section 66260.11 of this chapter)) shall be used.
(b) Tank systems, including sumps, as defined in section 66260.10, that serve as part of a secondary containment system to collect or contain releases of hazardous wastes are exempted from the requirements in section 66265.193(a).
(c) Tanks, sumps, and other collection devices used in conjunction with drip pads, as defined in section 66260.10 and regulated under Chapter 15, Article 17.5, shall meet the requirements of this article.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code;  and 40 CFR Section 265.190.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New subsection (c) and amendment of Note filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
3. Certificate of Compliance as to 2-11-97 order transmitted to OAL 6-10-97; disapproved by OAL and order of repeal as to 2-11-97 filed on 7-24-97 (Register 97, No. 30).
4. Certificate of Compliance as to 2-11-97 order, including amendment of section and Note, resubmitted to OAL and approved on 7-24-97 (Register 97, No. 30).
5. Amendment of subsection (a) and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66265.191. Assessment of Existing Tank System's Integrity.
Note     •     History

(a) For each existing tank system that does not have secondary containment meeting the requirements of section 66265.193, the owner or operator shall determine that the tank system is not leaking or is unfit for use. Except as provided in subsections (c) and (e) of this section, the owner or operator shall obtain and keep on file at the facility a written assessment reviewed and certified by an independent, qualified, professional engineer, registered in California, in accordance with section 66270.11(d), that attests to the tank system's integrity.
(b) This assessment shall determine that the tank system is adequately designed and has sufficient structural strength and compatibility with the waste(s) to be transferred, stored or treated to ensure that it will not collapse, rupture, or fail. At a minimum, this assessment shall consider the following:
(1) design standard(s), if available, according to which the tank and ancillary equipment were constructed;
(2) hazardous characteristics of the waste(s) that have been or will be handled;
(3) existing corrosion protection measures;
(4) documented age of the tank system, if available, (otherwise, an estimate of the age); and
(5) results of a leak test, internal inspection, or other tank integrity examination such that:
(A) for non-enterable underground tanks, this assessment shall consist of a leak test that is capable of taking into account the effects of temperature variations, tank end deflection, vapor pockets, and high water table effects,
(B) for other than non-enterable underground tanks and for ancillary equipment, this assessment shall be either a leak test, as described above, or an internal inspection and/or other tank integrity examination certified by an independent, qualified, professional engineer, registered in California, in accordance with section 66270.11(d) that addresses cracks, leaks, corrosion, and erosion.
(c) For tank systems that transfer, store or treat materials that become hazardous wastes this assessment shall be conducted within 12 months after the date that the waste becomes a hazardous waste, except as provided in subsection (g) of this section.
(d) If, as a result of the assessment conducted in accordance with subsection (a) or (e) of this section, a tank system is found to be leaking or unfit for use, the owner or operator shall comply with the requirements of section 66265.196.
(e)(1) Notwithstanding subsections (a) through (c) of this section, for each existing tank system that does not have secondary containment meeting the requirements of section 66265.193 and which meets the criteria specified in subsection (e)(2) of this section, the assessment specified in subsection (g) of this section shall be conducted by January 24, 1998. This assessment shall be reviewed and certified by an independent, qualified, professional engineer, registered in California, in accordance with section 66270.11(d), that attests to the tank system's integrity. The assessment shall be kept on file at the facility until closure of the facility and shall be valid for a period of one year from the date the assessment was certified.
(2) The provisions of subsection (e)(1) of this section apply only to:
(A) onground or aboveground tank systems containing only non-RCRA hazardous wastes generated onsite, and tank systems authorized under Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, and Conditional Exemption pursuant to HSC 25201.5, and
(B) onground or aboveground tank systems containing RCRA hazardous wastes generated onsite, if:
1. the owner or operator is a conditionally exempt small quantity generator as defined in 40 CFR section 261.5, or a small quantity generator of more than 100 kg but less than 1000 kg per month as defined in 40 CFR section 265.201, or
2. the owner or operator is not subject to regulation in 40 CFR part 265 pursuant to an exemption in 40 CFR section 265.1, but the owner or operator is subject to the standards of this article.
(f) A generator or owner or operator authorized pursuant to Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, or Conditional Exemption pursuant to HSC 25201.5, operating a non-RCRA underground tank system or an underground tank system otherwise exempt from permitting requirements pursuant to the federal act, shall comply with the applicable standards of Title 23 of the California Code of Regulations relating to underground tank systems.
(g) The tank system assessment shall include all of the following information:
(1) tank configuration (i.e., horizontal, vertical), and gross capacity (in gallons);
(2) design standard(s), if available, according to which the tank and ancillary equipment were constructed and all of the following information;
(A) material of construction;
(B) material thickness and the method used to determine the thickness;
(C) description of tank system piping (material, diameter);
(D) description of any internal and external pumps; and
(E) sketch or drawing of tank including dimensions.
(3) documented age of the tank system, if available, otherwise, an estimate of the age based on owner or operator knowledge;
(4) description and evaluation of the adequacy of any leak detection equipment;
(5) description and evaluation of any corrosion protection equipment;
(6) description and evaluation of any spill prevention or overfill equipment;
(7) hazardous characteristics of the waste(s) that have been or will be handled;
(8) description of any structural damage or inadequate construction or installation such as cracks, punctures, or damaged fittings. All discrepancies shall be documented in the assessment and remedied before the tank system is certified for use.
(9) results of a leak test, internal inspection, or other tank system integrity examination including the type of integrity examination performed (i.e., ultrasonic, internal examination, volumetric tank test, pipeline pressure test). Tank system integrity or leak test requirements must be in compliance with all local requirements. Prior to conducting a tank system integrity test or leak test, contact local agency staff for local requirements.
(10) estimated remaining service life of the tank system based on findings of subsections (g)(1) through (g)(9).
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.191.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment filed 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Complaince must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment  refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment  refiled 2-16-96 as an emergency; operative 2-16-96 (Register 96, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-15-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 6-17-96 as an emergency; operative 6-17-96 (Register 96, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-15-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment refiled 10-15-96 as an emergency; operative 10-15-96 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-12-97 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 2-11-97 as an emergency, including amendment of Note; operative 2-11-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-11-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-11-97 order transmitted to OAL 6-10-97; disapproved by OAL and order of repeal as to 2-11-97 filed on 7-24-97 (Register 97, No. 30).
9. Certificate of Compliance as to 2-11-97 order, including amendment of section and Note, resubmitted to OAL and approved on 7-24-97 (Register 97, No. 30).
10. Change without regulatory effect amending subsection (g)(3) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
11. Amendment of subsection (a), repealer of subsections (a)(1)-(a)(2)(B)2., amendment of subsection (c), repealer of subsections (c)(1)-(c)(2)(B)2. and amendment of Note filed 9-8-2006; operative 10-8-2006 (Register 2006, No. 36).
§66265.192. Design and Installation of New Tank Systems or Components.
Note     •     History

(a) Owners or operators of new tank systems or components shall ensure that the foundation, structural support, seams, connections, and pressure controls (if applicable) are adequately designed and that the tank system has sufficient structural strength, compatibility with the waste(s) to be transferred, stored or treated, and corrosion protection so that it will not collapse, rupture, or fail. The owner or operator shall obtain a written assessment reviewed and certified by an independent, qualified, professional engineer, registered in California in accordance with section 66270.11(d) attesting that the system has sufficient structural integrity, is acceptable for the transferring, storing and treating of hazardous waste, and that the tanks and containment system are suitably designed to achieve the requirements of this article. This assessment shall be obtained prior to placing the tank system in service, and shall be kept on file at the facility. This assessment shall also include, at a minimum, the following information:
(1) design standard(s) according to which the tank(s) and ancillary equipment are or will be constructed;
(2) hazardous characteristics of the waste(s) to be handled;
(3) for new tank systems or components in which the external shell of a metal tank or any external metal component of the tank system is or will be in contact with the soil or with water, a determination by a corrosion expert of:
(A) factors affecting the potential for corrosion, including but not limited to:
1. soil moisture content;
2. soil pH;
3. soil sulfides level;
4. soil resistivity;
5. structure to soil potential;
6. influence of nearby underground metal structures (e.g., piping);
7. stray electric current; and,
8. existing corrosion-protection measures (e.g., coating, cathodic protection), and
(B) the type and degree of external corrosion protection that are needed to ensure the integrity of the tank system during the use of the tank system or component, consisting of one or more of the following:
1. corrosion-resistant materials of construction such as special alloys or fiberglass-reinforced plastic;
2. corrosion-resistant coating (such as epoxy or fiberglass) with cathodic protection (e.g., impressed current or sacrificial anodes); and
3. electrical isolation devices such as insulating joints and flanges;
(4) for underground tank system components that are likely to be affected by vehicular traffic, a determination of design or operational measures that will protect the tank system against potential damage; and
(5) design considerations to ensure that:
(A) tank foundations will maintain the load of a full tank;
(B) tank systems will be anchored to prevent flotation or dislodgement where the tank system is placed in a saturated zone, or is located within a seismic fault zone; and
(C) tank systems will withstand the effects of frost heave.
(b) The owner or operator of a new tank system shall ensure that proper handling procedures are adhered to in order to prevent damage to the system during installation. Prior to covering, enclosing, or placing a new tank system or component in use, an independent, qualified installation inspector or an independent, qualified, professional engineer, registered in California, either of whom is trained and experienced in the proper installation of tank systems, shall inspect the system or component for the presence of any of the following items:
(1) weld breaks;
(2) punctures;
(3) scrapes of protective coatings;
(4) cracks;
(5) corrosion;
(6) other structural damage or inadequate construction or installation. All discrepancies shall be remedied before the tank system is covered, enclosed, or placed in use.
(c) New tank systems or components and piping that are placed underground and that are backfilled shall be provided with a backfill material that is a noncorrosive, porous, homogeneous substance and that is carefully installed so that the backfill is placed completely around the tank and compacted to ensure that the tank and piping are fully and uniformly supported.
(d) All new tanks and ancillary equipment shall be tested for tightness prior to being covered, enclosed or placed in use. If a tank system is found not to be tight, all repairs necessary to remedy the leak(s) in the system shall be performed prior to the tank system being covered, enclosed, or placed in use.
(e) Ancillary equipment shall be supported and protected against physical damage and excessive stress due to settlement, vibration, expansion or contraction.
(f) The owner or operator shall provide the type and degree of corrosion protection necessary, based on the information provided under subsection (a)(3) of this section, to ensure the integrity of the tank system during use of the tank system. The installation of a corrosion protection system that is field fabricated shall be supervised by an independent corrosion expert to ensure proper installation.
(g) The owner or operator shall obtain and keep on file at the facility written statements by those persons required to certify the design of the tank system and supervise the installation of the tank system in accordance with the requirements of subsections (b) through (f) of this section to attest that the tank system was properly designed and installed and that repairs, pursuant to subsection (b) and (d) of this section were performed. These written statements shall also include the certification statement as required in section 66270.11(d) of this division.
(h)(1) Notwithstanding subsections (a) through (g) of this section, design and installation of new tank systems or components used to manage hazardous waste, and which meet the criteria specified in subsection (h)(2) of this section, are not subject to the requirements of subsections (h) through (m) of this section until January 24, 1998. The assessment specified in subsection (k) of this section shall be obtained prior to placing a new tank system in service and shall be kept on file at the facility. This assessment shall be reviewed and certified by an independent, qualified, professional engineer, registered in California, in accordance with section 66270.11(d), attesting that the tank system has sufficient structural integrity and is acceptable for the transferring, storing and treating of hazardous waste. The assessment shall be valid for a maximum period of five (5) years or the remaining service life of the tank system, as stated in the engineer's assessment, whichever is less. New tank systems that have been assessed pursuant to subsections (a) through (g) of this section prior to June 1, 1995 are not required to be reassessed pursuant to subsection (k) for a period of five years from the date of the assessment or June 1, 2000, whichever is the earlier date. If changes have been made to the tank system or new components have been added to the tank system subsequent to an assessment conducted prior to June 1, 1995, the tank system shall be reassessed pursuant to subsection (k).
(2) The provisions of subsection (h)(1) of this section apply only to:
(A) onground or aboveground tank systems containing only non-RCRA hazardous waste generated onsite, and tank systems authorized under Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, and Conditional Exemption pursuant to HSC 25201.5, and
(B) onground or aboveground tank systems containing RCRA hazardous waste generated onsite, if:
1. the owner or operator is a conditionally exempt small quantity generator as defined in 40 CFR section 261.5, or a small quantity generator of more than 100 kg but less than 1000 kg per month as defined in 40 CFR section 265.201, or
2. the owner or operator is not subject to regulation in 40 CFR part 265 pursuant to an exemption in 40 CFR section 265.1, but the owner or operator is subject to the standards of this article.
(i) A generator or owner or operator authorized pursuant to Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, or Conditional Exemption pursuant to HSC 25201.5, operating a non-RCRA underground tank system or an underground tank system otherwise exempt from permitting requirements pursuant to the federal act, shall comply with the applicable standards of Title 23 of the California Code of Regulations relating to underground tank systems.
(j) New, onground or aboveground non-RCRA tank systems or tank systems otherwise exempt from permitting requirements pursuant to the federal act, with secondary containment, whose design and installation have been approved by a local agency or agencies, may, at the discretion of the CUPA, be exempt from the engineering assessment specified in subsection (k) of this section, provided minimum criteria specified in subsections (j)(1) through (j)(3) of this section are met. If the CUPA determines to exempt a new tank system from the assessment required pursuant to this subsection, the exemption shall be for a period of not more than three (3) years from the date the exemption was granted. The tank system owner or operator shall submit documentation of local agency approval to the applicable CUPA for review and possible acceptance in lieu of the assessment specified in subsection (k) of this section. If there is no CUPA, or the CUPA requests that the Department make a determination, the documentation shall be submitted to the Department.
(1) tank system must have secondary containment capable of containing 100 percent of the contents of the tank and ancillary piping volume; and
(2) if the tank system is exposed to precipitation, the secondary containment system must have sufficient capacity, in addition to that required in subsection (j)(1) of this section, to contain run-on and infiltration from a 25-year, 24-hour rainfall event;
(3) tank system secondary containment shall be provided with a leak detection system that is designed and operated so that it will detect either the failure of the primary and secondary containment structure or any release of hazardous waste or accumulated liquid in the secondary containment system within 24 hours, or at the earliest practicable time if the existing detection technology or site conditions will not allow detection of a release within 24 hours.
(k) The tank system assessment shall include all of the following information:
(1) tank configuration (i.e., horizontal, vertical), material of construction, and gross capacity (in gallons);
(2) design standard(s), if available, according to which the tank and ancillary equipment were or will be constructed and all of the following information:
(A) material of construction;
(B) material thickness and the method used to determine the thickness;
(C) description of tank system piping (material, diameter);
(D) description of any internal and external pumps; and
(E) sketch or drawing of tank including dimensions.
(3) documented age of the tank system (if tank was previously used), if available, (otherwise, an estimate of the age);
(4) description and evaluation of any leak detection equipment;
(5) description and evaluation of any corrosion protection equipment, devices, or material;
(6) description and evaluation of any spill prevention or overfill equipment;
(7) description and evaluation of secondary containment for the tank system (secondary containment must meet minimum standards as specified in subsections (j)(1) through (j)(3) of this section) including applicable secondary containment for ancillary equipment as required in subsection 66265.193(f);
(8) hazardous characteristics of the waste(s) that have been or will be handled;
(9) prior to placing a new tank system or component in use, an independent, qualified installation inspector or an independent, qualified, professional engineer, registered in California, either of whom is trained and experienced in the proper installation of tank systems, shall inspect the system or component for the presence of any of the following items and document in writing the results of the inspection:
(A) weld cracks or breaks;
(B) scrapes of protective coatings;
(C) corrosion;
(D) any structural damage or inadequate construction or installation such as cracks, punctures, damaged fittings. All discrepancies shall be documented in the assessment and remedied before the tank system is placed in use.
(10) all new tanks and ancillary equipment shall be tested for tightness prior to being placed in use. The results of the test(s) shall be documented in this assessment. Tank system integrity or leak test requirements must be in compliance with all local requirements. Prior to conducting a tank system integrity test or leak test, contact local agency staff for local requirements.
(11) estimated remaining service life of the tank system based on findings of subsections (k)(1) through (k)(10).
(l) The assessment specified in subsection (k) of this section is not required for the replacement of the following identical or functionally equivalent tank system parts or components:
(1) pumps (same type and capacity);
(2) plumbing or piping components such as unions, elbows, tees and gaskets;
(3) valves and check valves;
(4) piping and valve hangers and supports;
(m) Replacement of identical or functionally equivalent tank system parts or components not listed in subsection (l) of this section shall be approved by the CUPA prior to replacement or changeout. If the tank system part or component is determined to be identical or functionally equivalent by the CUPA, the assessment specified in subsection (k) of this section is not required. The owner or operator shall provide the CUPA, or the Department if there is no CUPA or the CUPA requests that the Department make a determination, with the following information in writing so that a determination can be made:
(1) name, address, and EPA identification number of the facility;
(2) date of planned replacement;
(3) description part or component to be replaced;
(4) description of the tank system and type of waste(s) handled;
(5) description of how the part or component is identical or functionally equivalent to the part or component to be replaced.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.192.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New subsections (h)(1)-(h)(2)(B)2. filed 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
3. New subsections (h)(1)-(h)(2)(B)2. refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
4. New subsections (h)(1)-(h)(1)(B)2. refiled  2-16-96 as an emergency; operative 2-16-96 (Register 96, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-15-96 or emergency language will be repealed by operation of law on the following day.
5. New subsections (h)(1)-(h)(1)(B)2. refiled  6-17-96 as an emergency; operative 6-17-96 (Register 96, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-15-96 or emergency language will be repealed by operation of law on the following day.
6. New subsections (h)(1)-(h)(2)(B)2. refiled 10-15-96 as an emergency; operative 10-15-96 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-12-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction removing duplicative subsection (g) (Register 97, No. 7).
8. New subsections (h)(1)-(h)(2)(B)2. refiled 2-11-97 as an emergency, including amendment of Note; operative 2-11-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-11-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-11-97 order transmitted to OAL 6-10-97; disapproved by OAL and order of repeal as to 2-11-97 filed on 7-24-97 (Register 97, No. 30).
10. Certificate of Compliance as to 2-11-97 order, including amendment of section, resubmitted to OAL and approved on 7-24-97 (Register 97, No. 30).
11. Change without regulatory effect amending subsection (k)(10) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66265.193. Containment and Detection of Releases.
Note     •     History

(a) In order to prevent the release of hazardous waste or hazardous constituents to the environment, secondary containment that meets the requirements of this section shall be provided (except as provided in subsections (f) and (g) of this section):
(1) for all new tank systems or components, prior to the tank system or component being put into service;
(2) for all existing tank systems, unless:
(A) the owner or operator is a conditionally exempt small quantity generator as defined in 40 CFR section 261.5, or a 100 to 1000 kg per month generator as defined in 40 CFR section 265.201, or
(B) the owner or operator is not subject to regulation in 40 CFR part 265 pursuant to an exemption in 40 CFR section 265.1.
(3) for tank systems that transfer, store or treat materials that subsequently become hazardous wastes within two years after the materials become hazardous waste unless the owner or operator complies with section 40 CFR 265.201 and is one of the following:
(A) the owner or operator is a conditionally exempt small quantity generator or a 100 to 1000 kg per month generator, or
(B) the owner or operator is not subject to regulation in 40 CFR part 265 pursuant to an exemption in 40 CFR section 265.1, but the owner or operator is subject to the standards of this article.
(b) Secondary containment systems shall be:
(1) designed, installed, and operated to prevent any migration of wastes or accumulated liquid out of the system to the soil, ground water, or surface water at any time during the use of the tank system; and
(2) capable of detecting and collecting releases and accumulated liquids until the collected material is removed.
(c) To meet the requirements of subsection (b) of this section, secondary containment systems shall be at a minimum:
(1) constructed of or lined with materials that are compatible with the waste(s) to be placed in the tank system and shall have sufficient strength and thickness to prevent failure due to pressure gradients (including static head and external hydrological forces), physical contact with the waste to which they are exposed, climatic conditions, the stress of installation, and the stress of daily operation (including stresses from nearby vehicular traffic);
(2) placed on a foundation or base capable of providing support to the secondary containment system and resistance to pressure gradients above and below the system and capable of preventing failure due to settlement, compression, or uplift;
(3) provided with a leak detection system that is designed and operated so that it will detect the failure of either the primary and secondary containment structure or any release of hazardous waste or accumulated liquid in the secondary containment system within 24 hours, or at the earliest practicable time if the existing detection technology or site conditions will not allow detection of a release within 24 hours;
(4) sloped or otherwise designed or operated to drain and remove liquids resulting from leaks, spills, or precipitation. Spilled or leaked waste and accumulated precipitation shall be removed from the secondary containment system within 24 hours, or in as timely a manner as is possible to prevent harm to human health or the environment, if removal of the released waste or accumulated precipitation cannot be accomplished within 24 hours.
(A) If the collected material is a hazardous waste under chapter 11 of this division, it shall be managed as a hazardous waste in accordance with all applicable requirements of chapters 2 through 15 of this division.
(B) If the collected material is discharged through a point source to waters of the United States, the owner or operator shall comply with the requirements of sections 301, 304, and 402 of the Federal Clean Water Act (33 U.S.C. sections 1311, 1314 and 1342, respectively), as amended.
(C) If the collected material is discharged to Publicly Owned Treatment Works (POTWs), the owner or operator shall comply with the requirements of section 307 of the Federal Clean Water Act, as
amended (33 U.S.C. section 1317).
(D) If the collected material is released to the environment, the owner or operator shall comply with the applicable reporting requirements of 40 CFR Part 302.
(d) Secondary containment for tanks shall include one or more of the following devices:
(1) a liner (external to the tank);
(2) a vault;
(3) a double-walled tank; or
(4) an equivalent device as approved by the Department.
(e) In addition to the requirements of subsections (b), (c), and (d) of this section, secondary containment systems shall satisfy the following requirements:
(1) external liner systems shall be:
(A) designed or operated to contain 100 percent of the capacity of the largest tank within its boundary;
(B) designed or operated to prevent run-on and infiltration of precipitation into the secondary containment system unless the collection system has sufficient excess capacity, in addition to that required in subsection (e)(1)(A) of this section,  to contain run-on and infiltration. Such additional capacity shall be sufficient to contain run-on and infiltration of precipitation from a 25-year, 24-hour rainfall event;
(C) free of cracks or gaps; and
(D) designed and installed to completely surround the tank and to cover all surrounding earth likely to come into contact with the waste if released from the tank(s) (i.e., capable of preventing lateral as well as vertical migration of the waste).
(2) Vault systems shall be:
(A) designed or operated to contain 100 percent of the capacity of the largest tank within its boundary;
(B) designed or operated to prevent run-on and infiltration of precipitation into the secondary containment system unless the collection system has sufficient excess capacity, in addition to that required in subsection (e)(2)(A) of this section, to contain run-on and infiltration. Such additional capacity shall be sufficient to contain run-on and infiltration of precipitation from a 25-year, 24-hour rainfall event;
(C) constructed with chemical-resistant water stops in place at all joints (if any);
(D) provided with an impermeable interior coating or lining that is compatible with the waste being transferred, stored or treated and that will prevent migration of waste into the concrete;
(E) provided with a means to protect against the formation of and ignition of vapors within the vault, if the waste being transferred, stored or treated:
1. meets the definition of ignitable waste under section 66262.21 of this division, or
2. meets the definition of reactive waste under section 66261.23 of this division and may form an ignitable or explosive vapor; and
(F) provided with an exterior moisture barrier or be otherwise designed or operated to prevent migration of moisture into the vault if the vault is subject to hydraulic pressure.
(3) Double-walled tanks shall be:
(A) designed as an integral structure (i.e., an inner tank within an outer shell) so that any release from the inner tank is contained by the outer shell;
(B) protected, if constructed of metal, from both corrosion of the primary tank interior and the external surface of the outer shell; and
(C) provided with a built-in, continuous leak detection system capable of detecting a release within 24 hours or at the earliest practicable time, if the owner or operator can demonstrate to the Department, and the Department concurs, that the existing leak detection technology or site conditions will not allow detection of a release within 24 hours.
(f) Ancillary equipment shall be provided with full secondary containment (e.g., trench, jacketing, double-walled piping) that meets the requirements of subsections (b) and (c) of this section except for:
(1) aboveground piping (exclusive of flanges, joints, valves, and connections) that are visually inspected for leaks on a daily basis;
(2) welded flanges, welded joints, and welded connections that are visually inspected for leaks on a daily basis;
(3) sealless or magnetic coupling pumps and sealless valves, that are visually inspected for leaks on a daily basis; and
(4) pressurized aboveground piping systems with automatic shut-off devices (e.g., excess flow check valves, flow metering shutdown devices, loss of pressure actuated shut-off devices) that are visually inspected for leaks on a daily basis.
(g) The owner or operator may obtain a variance from the requirements of this section for existing above-ground tanks in place, if the Department finds, as a result of a demonstration by the owner or operator, either that alternative design and operating practices, together with location characteristics, will prevent the migration of hazardous waste or hazardous constituents into the ground water or surface water at least as effectively as secondary containment during the active life of the tank system, or that in the event of a release that does migrate to ground water or surface water, no substantial present or potential hazard will be posed to human health or the environment. 
(1) In deciding whether to grant a variance based on a demonstration of equivalent protection of ground water and surface water, the Department will consider:
(A) the nature and quantity of the waste;
(B) the proposed alternate design and operation;
(C) the hydrogeologic setting of the facility, including the thickness of soils between the tank system and ground water; and
(D) all other factors that would influence the quality and mobility of the hazardous constituents and the potential for the constituents to migrate to ground water or surface water.
(2) In deciding whether to grant a variance, based on a demonstration of no substantial present or potential hazard, the Department will consider:
(A) the potential adverse effects on ground water, surface water, and land quality taking into account:
1. the physical and chemical characteristics of the waste in the tank system, including its potential for migration,
2. the hydrogeological characteristics of the facility and surrounding land,
3. the potential for health risks caused by human exposure to waste constituents,
4. the potential for damage to wildlife, crops, vegetation, and physical structures caused by exposure to waste constituents, and
5. the persistence and permanence of the potential adverse effects;
(B) the potential adverse effects of a release on ground-water quality, taking into account:
1. the quantity and quality of ground water and the direction of ground-water flow,
2. the proximity and withdrawal rates of water in the area,
3. the current and future uses of ground water in the area, and
4. the existing quality of ground water, including other sources of contamination and their cumulative impact on the ground-water quality;
(C) the potential adverse effects of a release on surface water quality, taking into account:
1. the quantity and quality of ground water and the direction of ground-water flow,
2. the patterns of rainfall in the region,
3. the proximity of the tank system to surface waters,
4. the current and future uses of surface waters in the area and any water quality standards established for those surface waters, and
5. the existing quality of surface water, including other sources of contamination and the cumulative impact on surface-water quality; and
(D) the potential adverse effects of a release on the land surrounding the tank system, taking into account:
1. the patterns of rainfall in the region, and
2. the current and future uses of the surrounding land.
(3) The owner or operator of a tank system, for which a variance from secondary containment has been granted in accordance with the requirements of subsection (g)(1) of this section, at which a release of hazardous waste has occurred from the primary tank system but has not migrated beyond the zone of engineering control (as established in the variance), shall:
(A) comply with the requirements of section 66265.196, except subsection (e); and
(B) decontaminate or remove contaminated soil to the extent necessary to:
1. enable the tank system, for which the variance was granted, to resume operation with the capability for the detection of and response to releases at least equivalent to the capability it had prior to the release, and
2. prevent the migration of hazardous waste or hazardous constituents to ground water or surface water; and
(C) if contaminated soil cannot be removed or decontaminated in accordance with subsection (g)(3)(B) of this section, comply with the requirements of section 66265.197(b);
(4) The owner or operator of a tank system, for which a variance from secondary containment has been granted in accordance with the requirements of subsection (g)(1) of this section, at which a release of hazardous waste has occurred from the primary tank system and has migrated beyond the zone of engineering control (as established in the variance), shall:
(A) comply with the requirements of section 66265.196(a), (b), (c), (d) and (e); and
(B) prevent the migration of hazardous waste or hazardous constituents to ground water or surface water, if possible, and decontaminate or remove contaminated soil. If contaminated soil cannot be decontaminated or removed, or if ground water has been contaminated, the owner or operator shall comply with the requirements of section 66265.197(b);
(C) if repairing, replacing, or reinstalling the tank system, provide secondary containment in accordance with the requirements of subsections (a) through (f) of this section or reapply for a variance from secondary containment and meet the requirements for new tank systems in section 66265.192 if the tank system is replaced. The owner or operator shall comply with these requirements even if contaminated soil can be decontaminated or removed, and ground water or surface water has not been contaminated.
(h) The following procedures shall be followed in order to request a variance from secondary containment:
(1) The Department shall be notified in writing by the owner or operator that the facility intends to conduct and submit a demonstration for a variance from secondary containment as allowed in subsection (g) of this section at least 24 months prior to the date that secondary containment is required to be provided in accordance with subsection (a) of this section.
(2) As part of the notification, the owner or operator shall also submit to the Department a description of the steps necessary to conduct the demonstration and a timetable for completing each of the steps. The demonstration shall address each of the factors listed in subsection (g)(1) or subsection (g)(2) of this section.
(3) The demonstration for a variance shall be completed and submitted to the Department within 180 days after notifying the Department of intent to conduct the demonstration.
(4) The Department will inform the public, through a newspaper notice, of the availability of the demonstration for a variance. The notice shall be placed in a daily or weekly major local newspaper of general circulation and shall provide at least 30 days from the date of the notice for the public to review and comment on the demonstration for a variance. The Department also will hold a public hearing, in response to a request or at the Department's own discretion, whenever such a hearing might clarify one or more issues concerning the demonstration for a variance. Public notice of the hearing will be given at least 30 days prior to the date of the hearing and may be given at the same time as notice of the opportunity for the public to review and comment on the demonstration. These two notices may be combined.
(5) The Department will approve or disapprove the request for a variance within 90 days of receipt of the demonstration from the owner or operator and will notify in writing the owner or operator and each person who submitted written comments or requested notice of the variance decision. If the demonstration for a variance is incomplete or does not include sufficient information, the 90-day time period will begin when the Department receives a complete demonstration, including all information necessary to make a final determination. If the public comment period in subsection (h)(4) of this section is extended, the 90-day time period will be similarly extended.
(i) All tank systems, until such time as secondary containment meeting the requirements of this section is provided, shall comply with the following:
(1) for non-enterable underground tanks, a leak test that meets the requirements of section 66265.191(b)(5) shall be conducted at least annually;
(2) for other than non-enterable underground tanks and for all ancillary equipment, an annual leak test, as described in paragraph (i)(1) of this section, or an internal inspection or other tank integrity examination by an independent, qualified, professional engineer, registered in California, that addresses cracks, leaks, corrosion, and erosion shall be conducted at least annually. The owner or operator shall remove the stored waste from the tank, if necessary, to allow the condition of all internal tank surfaces to be assessed.
(3) The owner or operator shall maintain on file at the facility a record of the results of the assessments conducted in accordance with subsections (i)(1) and (i)(2) of this section.
(4) If a tank system or component is found to be leaking or unfit for use as a result of the leak test or assessment in subsections (i)(1) and (i)(2)

of this section, the owner or operator shall comply with the requirements of section 66265.196.
(j)(1) Notwithstanding subsections (a) through (c) of this section, secondary containment that meets the requirements of subsection (l) shall be provided for tank systems used to manage hazardous wastes generated onsite, and which meet the criteria specified in subsection (j)(2) of this section:
(A) prior to the tank system or component being placed in service for new tank systems or components; or
(B) by January 24, 1998 for existing tank systems.
(2) The provisions of subsection (j)(1) of this section apply only to:
(A) onground or aboveground tank systems containing only non-RCRA hazardous wastes generated onsite, and tank systems authorized under Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, and Conditional Exemption pursuant to HSC 25201.5, and
(B) onground or aboveground tank systems containing RCRA hazardous wastes generated onsite, if:
1. the owner or operator is a conditionally exempt small quantity generator as defined in 40 CFR section 261.5, or a small quantity generator of more than 100 kg but less than 1000 kg per month as defined in 40 CFR section 265.201, or
2. the owner or operator is not subject to regulation in 40 CFR part 265 pursuant to an exemption in 40 CFR section 265.1, but the owner or operator is subject to the standards of this article.
(k) A generator or owner or operator authorized pursuant to Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, or Conditional Exemption pursuant to HSC 25201.5, operating a non-RCRA underground tank system or an underground tank system otherwise exempt from permitting requirements pursuant to the federal act, shall comply with the applicable standards of Title 23 of the California Code of Regulations relating to underground tank systems.
(l) Secondary containment for onground or aboveground generator and onsite tier (Permit-by-Rule Conditional Authorization, and Conditional Exemption), non-RCRA tank systems or tank systems otherwise exempt from permitting requirements pursuant to the federal act, shall consist of any of the devices listed in subsection (d) and satisfy the requirements of (e) of this section or consist of any device or combination of devices as approved in writing by the CUPA, or the Department if there is no CUPA or the CUPA requests that the Department make a determination, which would satisfy the following minimum requirements:
(1) designed, installed, and operated to prevent any migration of wastes or accumulated liquid out of the system to the soil, ground water, surface water, or air at any time during the use of the tank system; and
(2) capable of detecting and collecting releases and accumulated liquids until the collected material is removed.
(m) Ancillary equipment shall be provided with secondary containment as specified in subsection (f) of this section or an alternative device or devices as approved in writing by the CUPA, or Department if there is no CUPA or the Department if the CUPA requests that the Department make a determination, which would prevent and/or detect any release of wastes out of the tank system before such wastes could migrate to the soil, ground water, or surface water at any time during the use of the tank system. The following are examples of tank system and ancillary equipment secondary containment alternatives or options that may be proposed for review and approval by the CUPA:
(1) traditional containment of entire system within a bermed containment area with visual and/or electronic leak detection monitoring;
(2) troughs or pipe runs with impermeable liners that incorporate the following:
(A) visual monitoring during hours of operation or;
(B) continuous electronic leak detection monitoring for releases or;
(C) sumps located at low elevations with leak detection monitors.
(3) double-walled piping with continuous interstitial monitoring or monitoring intervals located at low elevation points along pipeline;
(4) Double-walled piping with translucent or transparent sections located at low points or low endpoints so that visual monitoring is possible.
(n) A generator or owner or operator authorized pursuant to Permit-by-Rule pursuant to Chapter 45 of this division, Conditional Authorization pursuant to HSC 25200.3, and Conditional Exemption pursuant to HSC 25201.5, operating an onground or aboveground, non-RCRA tank system or a tank system otherwise exempt from permitting requirements pursuant to the federal act, that has 18 months or less remaining in service prior to planned closure of the tank system, may propose alternatives to retrofitting the tank system with secondary containment. Local agency requirements must be considered when proposing alternatives to secondary containment. The owner or operator shall provide the following information in writing to the CUPA, or the Department if there is no CUPA or the CUPA requests that the Department make a determination, so that a determination can be made whether the proposed alternative would be acceptable:
(1) name, address, and EPA identification number of the facility;
(2) date of planned closure;
(3) description of tank system to be closed and form of current authorization for the tank system;
(4) description of how the proposed alternative would provide adequate environmental protection such that the design, installation, and operation will be capable of detecting a release and preventing any migration of wastes or accumulated liquid out of the system to the soil, ground water, surface water, or air at any time during the remaining life of the tank system.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25143, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.193.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section and Note filed 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 2-16-96 as an emergency; operative 2-16-96 (Register 96, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-15-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 6-17-96 as an emergency; operative 6-17-96 (Register 96, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-15-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 10-15-96 as an emergency; operative 10-15-96 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-12-97 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 2-11-97 as an emergency, including additional amendment of Note; operative 2-11-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-11-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-11-97 order transmitted to OAL 6-10-97; disapproved by OAL and order of repeal as to 2-11-97 filed on 7-24-97 (Register 97, No. 30).
9. Certificate of Compliance as to 2-11-97 order, including amendment of section, resubmitted to OAL and approved on 7-24-97 (Register 97, No. 30).
10. Change without regulatory effect amending subsection (l) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
11. Amendment of subsection (a)(2), repealer of subsections (a)(2)(A), (a)(2)(B)-(a)(5)(B)2.b. and (a)(6)(A)-(a)(6)(B)2., redesignation of subsections (a)(2)(A)1.-2. to (a)(2)(A)-(B), renumbering and amendment of former subsection (a)(6) to subsection (a)(3), redesignation of former subsections (a)(6)(B)2.a.-b. to subsections (a)(3)(A)-(B) and amendment of Note filed 9-8-2006; operative 10-8-2006 (Register 2006, No. 36).
§66265.194. General Operating Requirements.
Note     •     History

(a) Hazardous wastes or treatment reagents shall not be placed in a tank system if they could cause the tank, its ancillary equipment, or the secondary containment system to rupture, leak, corrode, or otherwise fail.
(b) The owner or operator shall use appropriate controls and practices to prevent spills and overflows from tank or secondary containment systems. These include at a minimum:
(1) spill prevention controls (e.g., check valves, dry discount couplings);
(2) overfill prevention controls (e.g., level sensing devices, high level alarms, automatic feed cutoff, or bypass to a standby tank); and
(3) maintenance of sufficient freeboard in uncovered tanks to prevent overtopping by wave or wind action or by precipitation. Uncovered tanks shall be operated to ensure at least 60 centimeters (2 feet) of freeboard, unless the tank is equipped with a containment structure (e.g., dike or trench), a drainage control system or a diversion structure (e.g., standby tank) with a capacity that equals or exceeds the volume of the top 60 centimeters (2 feet) of the tank.
(c) The owner or operator shall comply with the requirements of section 66265.196 if a leak or spill occurs in the tank system.
(d) Transfer, treatment or storage of hazardous waste in tanks shall comply with section 66265.17(b).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.194.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.195. Inspections.
Note     •     History

(a) The owner or operator shall inspect, where present, at least once each operating day:
(1) overfill/spill control equipment (e.g., waste-feed cutoff systems, bypass systems, and drainage systems) to ensure that it is in good working order;
(2) the aboveground portions of the tank system, if any, to detect corrosion or releases of waste;
(3) data gathered from monitoring equipment and leak-detection equipment, (e.g., pressure and temperature gauges, monitoring wells) to ensure that the tank system is being operated according to its design;
(4) the construction materials and the area immediately surrounding the externally accessible portion of the tank system including secondary containment structures (e.g., dikes) to detect erosion or signs of releases of hazardous waste (e.g., wet spots, dead vegetation); and
(5) for uncovered tanks, the level of waste in the tank, to ensure compliance with section 66265.194(b)(3).
(b) The owner or operator shall inspect cathodic protection systems, if present, according to, at a minimum, the following schedule to ensure that they are functioning properly:
(1) the proper operation of the cathodic protection system shall be confirmed within six months after initial installation, and annually thereafter; and
(2) all sources of impressed current shall be inspected and/or tested, as appropriate, at least bimonthly (i.e., every other month).
(c) The owner or operator shall document in the operating record of the facility an inspection of those items in subsections (a) and (b) of this section.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.195.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.196. Response to Leaks or Spills and Disposition of Leaking or Unfit-for-Use Tank Systems.
Note     •     History

A tank system or secondary containment system from which there has been a leak or spill, or which is unfit for use, shall be removed from service immediately, and the owner or operator shall satisfy the following requirements.
(a) General emergency procedures. The owner or operator shall comply with applicable requirements of section 66265.56.
(b) Cessation of use; prevention of flow or addition of wastes. The owner or operator shall immediately stop the flow of hazardous waste into the tank system or secondary containment system and inspect the system to determine the cause of the release.
(c) Removal of waste from tank system or secondary containment system.
(1) If the release was from the tank system, the owner or operator shall, within 24 hours after detection of the leak or, if the owner or operator demonstrates that that is not possible, at the earliest practicable time remove as much of the waste as is necessary to prevent further release of hazardous waste to the environment and to allow inspection and repair of the tank system to be performed.
(2) If the release was to a secondary containment system, all released materials shall be removed within 24 hours or in as timely a manner as is possible to prevent harm to human health and the environment.
(d) Containment of visible releases to the environment. The owner or operator shall immediately conduct a visual inspection of the release and, based upon that inspection:
(1) prevent further migration of the leak or spill to soils or surface water; and
(2) remove, and properly dispose of, any visible contamination of the soil or surface water.
(e) Notifications, reports.
(1) Any release to the environment, except as provided in subsection (e)(2) of this section, shall be reported to the Department within 24 hours of detection.
(2) A leak or spill of hazardous waste is exempted from the requirements of subsection (e) of this section, but is not exempted from the requirements of section 66265.56, if it is:
(A) less than or equal to a quantity of one (1) pound, and
(B) immediately contained and cleaned-up.
(3) Within 30 days of detection of a release to the environment, a report containing the following information shall be submitted to the Department:
(A) likely route of migration of the release;
(B) characteristics of the surrounding soil (soil composition, geology, hydrogeology, climate);
(C) results of any monitoring or sampling conducted in connection with the release, (if available). If sampling or monitoring data relating to the release are not available within 30 days, these data shall be submitted to the Department as soon as they become available;
(D) proximity to downgradient drinking water, surface water, and population areas; and
(E) description of response actions taken or planned.
(f) Provision of secondary containment, repair, or closure.
(1) Unless the owner or operator satisfies the requirements of subsections (f)(2) through (4) of this section, the tank system shall be closed in accordance with section 66265.197.
(2) If the cause of the release was a spill that has not damaged the integrity of the system, the owner/operator may return the system to service as soon as the released waste is removed and repairs, if necessary, are made.
(3) If the cause of the release was a leak from the primary tank system into the secondary containment system, the system shall be repaired prior to returning the tank system to service.
(4) If the source of the release was a leak to the environment from a component of a tank system without secondary containment, the owner/operator shall provide the component of the system from which the leak occurred with secondary containment that satisfies the requirements of section 66265.193 before it can be returned to service, unless the source of the leak is an aboveground portion of a tank system. If the source is an aboveground component that can be inspected visually, the component shall be repaired and may be returned to service without secondary containment as long as the requirements of subsection (g) of this section are satisfied. If a component is replaced to comply with the requirements of this subsection, that component shall satisfy the requirements for new tank systems or components in sections 66265.192 and 66265.193. Additionally, if a leak has occurred in any portion of a tank system component that is not readily accessible for visual inspection (e.g., the bottom of an inground or onground tank), the entire component shall be provided with secondary containment in accordance with section 66265.193 prior to being returned to use.
(g) Certification of major repairs. If the owner or operator has repaired a tank system in accordance with subsection (f) of this section, and the repair has been extensive (e.g., installation of an internal liner; repair of a ruptured primary containment or secondary containment vessel), the tank system shall not be returned to service unless the owner/operator has obtained a certification by an independent, qualified, professional engineer, registered in California, in accordance with section 66270.11(d), that the repaired system is capable of handling hazardous wastes without release for the intended life of the system. This certification shall be submitted to the Department within seven days after returning the tank system to use.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.196.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.197. Closure and Post-Closure Care.
Note     •     History

(a) At closure of a tank system, the owner or operator shall remove or decontaminate all waste residues, contaminated containment system components (liners, etc.), contaminated soils, and structures and equipment contaminated with waste, and manage them as hazardous waste, unless section 66261.3(d) of this division applies. The closure plan, closure activities, cost estimates for closure, and financial responsibility for tank systems shall meet all of the requirements specified in articles 7 and 8 of this chapter.
(b) If the owner or operator demonstrates that not all contaminated soils can be practicably removed or decontaminated as required in subsection (a) of this section, then the owner or operator shall close the tank system and perform post-closure care in accordance with the closure and post-closure care requirements that apply to landfills (section 66265.310). In addition, for the purposes of closure, post-closure, and financial responsibility, such a tank system is then considered to be a landfill, and the owner or operator shall meet all of the requirements for landfills specified in articles 7 and 8 of this chapter.
(c) If an owner or operator has a tank system which does not have secondary containment that meets the requirements of section 66265.193(b) through (f) and which has not been granted a variance from the secondary containment requirements in accordance with section 66265.193(g), then:
(1) the closure plan for the tank system shall include both a plan for complying with subsection (a) of this section and a contingent plan for complying with subsection (b) of this section;
(2) a contingent post-closure plan for complying with subsection (b) of this section shall be prepared and submitted as part of the permit application;
(3) the cost estimates calculated for closure and post-closure care shall reflect the costs of complying with the contingent closure plan and the contingent post-closure plan, if these costs are greater than the costs of complying with the closure plan prepared for the expected closure under subsection (a) of this section;
(4) financial assurance shall be based on the cost estimates in subsection (c)(3) of this section;
(5) for the purposes of the contingent closure and post-closure plans, such a tank system is considered to be a landfill, and the contingent plans shall meet all of the closure, post-closure, and financial responsibility requirements for landfills under articles 7 and 8 of this chapter.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.197.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.198. Special Requirements for Ignitable or Reactive Wastes.
Note     •     History

(a) Ignitable or reactive waste shall not be placed in a tank system, unless:
(1) the waste is treated, rendered, or mixed before or immediately after placement in the tank system so that:
(A) the resulting waste, mixture, or dissolved material no longer meets the definition of ignitable or reactive waste under sections 66261.21 or 66261.23; and
(B) section 66265.17(b) is complied with; or
(2) the waste is transferred, stored or treated in such a way that it is protected from any material or conditions that may cause the waste to ignite or react; or
(3) the tank system is used solely for emergencies.
(b) The owner or operator of a facility where ignitable or reactive waste is transferred, stored or treated in tanks shall comply with the requirements for the maintenance of protective distances between the waste management area and any public ways, streets, alleys, or an adjoining property line that can be built upon as required in Tables 2-1 through 2-6 of the National Fire Protection Association's “Flammable and Combustible Liquids Code,” (1981), (incorporated by reference, see section 66260.11).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.198.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
§66265.199. Special Requirements for Incompatible Wastes.
Note     •     History

(a) Incompatible wastes, or incompatible waste and materials, shall not be placed in the same tank system, unless section 66265.17(b) is complied with.
(b) Hazardous waste shall not be placed in a tank system that has not been decontaminated and that previously held an incompatible waste or material, unless section 66265.17(b) is complied with.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.199.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.200. Waste Analysis and Trial Tests.
Note     •     History

In addition to performing the waste analysis required by section 66265.13, the owner or operator shall, whenever a tank system is to be used to treat chemically or to store a hazardous waste that is substantially different from waste previously treated or stored in that tank system; or to treat chemically a hazardous waste with a substantially different process than any previously used in that tank system:
(a) conduct waste analyses and trial treatment or storage tests (e.g., bench-scale or pilot-plant scale tests); or
(b) obtain written, documented information on similar waste under similar operating conditions to show that the proposed treatment or storage will meet the requirements of sections 66265.194(a) and (d).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.200.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.202. Air Emission Standards.
Note     •     History

The owner or operator shall manage all hazardous waste placed in a tank in accordance with the applicable requirements of articles 27, 28, and 28.5 of this chapter.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159,and 25159.5, Health and Safety Code; and 40 CFR Section 265.202.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
Article 11. Surface Impoundments
§66265.220. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of facilities that use surface impoundments to treat, store, or dispose of hazardous waste, except as section 66265.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.220.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
§66265.221. Design Requirements.
Note     •     History

(a) The owner or operator of each new surface impoundment unit on which construction commences after January 29, 1992, each lateral expansion of a surface impoundment unit on which construction commences after July 29, 1992, and each replacement of an existing surface impoundment unit that is to commence reuse after July 29, 1992 shall install two or more liners and a leachate collection and removal system between such liners, and operate the leachate collection and removal system, in accordance with section 66264.221(c), unless exempted under section 66264.221(f) or (g) of this chapter. The requirements of this subsection shall not apply to surface impoundment units receiving only non-RCRA hazardous until February 18, 1996. “Construction commences” is as defined in section 66260.10 of this chapter under “existing facility.”
(b) The owner or operator of each unit referred to in subsection (a) of this section shall notify the Department at least sixty (60) days prior to receiving waste. The owner or operator of each facility submitting notice shall file a Part B application within six months of the receipt of such notice.
(c) The owner or operator of any replacement surface impoundment unit is exempt from subsection (a) of this section if:
(1) The existing unit was constructed in compliance with the design standards of 42 USC section 6924(o)(1)(A)(i) and 42 USC section 6924(o)(5); and
(2) There is evidence to believe that the liner is functioning as designed.
(d) The double liner requirement set forth in subsection (a) of this section may be waived by the Department for any monofill, if:
(1) the monofill contains only hazardous wastes from foundry furnace emission controls or metal casting molding sand, and such wastes do not contain constituents which would render the wastes hazardous for reasons other than exceeding the soluble threshold limit concentration as described in section 66261.24; and
(2)(A) 1. the monofill has at least one liner for which there is no evidence that such liner is leaking. For the purposes of this paragraph the term “liner” means a liner designed, constructed, installed and operated to prevent hazardous waste from passing into the liner at any time during the active life of the facility, or a liner designed, constructed, installed and operated to prevent hazardous waste from migrating beyond the liner to adjacent subsurface soil, groundwater or surface water at any time during the active life of the facility. In the case of any surface impoundment which has been exempted from the requirements of subsection (a) of this section on the basis of a liner designed, constructed, installed and operated to prevent hazardous waste from passing beyond the liner, at the closure of such impoundment the owner or operator must remove or decontaminate all waste residues, all contaminated liner material, and contaminated soil to the extent practicable. If all contaminated soil is not removed or decontaminated, the owner of operator of such impoundment must comply with appropriate postclosure requirements, including but not limited to ground-water monitoring and corrective action;
2. the monofill is located more than one-quarter mile from an underground source of drinking water as defined in section 66260.10; and
3. the monofill is in compliance with generally applicable groundwater monitoring requirements for facilities with permits; or
(B) the owner or operator demonstrates that the monofill is located, designed and operated so as to assure that there will be no migration of any hazardous constituent into groundwater or surface water at any future time.
(e) In the case of any unit in which the liner and leachate collection system has been installed pursuant to the requirements of subsection (a) of this section and in good faith compliance with subsection (a) of this section no liner or leachate collection system which is different from that which was so installed pursuant to subsection (a) of this section will be required for such unit by the Department when issuing the first permit to such facility, except that the Department will not be precluded from requiring installation of a new liner when the Department has reason to believe that any liner installed pursuant to the requirements of subsection (a) of this section is leaking.
(f) A surface impoundment shall maintain enough freeboard to prevent any overtopping of the dike by overfilling, wave action, or a storm. Except as provided in subsection (b) of this section, there shall be at least 2 feet (60 cm) of freeboard.
(g) A freeboard level of less than 2 feet (60 cm) may be maintained if the owner or operator obtains certification by a qualified engineer, registered in California, that alternative design features or operating plans will, to the best of the engineer's knowledge and opinion, prevent overtopping of the dike. The certification along with a written identification of alternate design features or operating plans preventing overtopping, shall be maintained at the facility.
(h) Surface impoundments that are newly subject to RCRA section 3005(j)(1) (42 U.S.C. section 6925(j)(1)) due to the promulgation of additional listings or characteristics for the identification of hazardous waste shall be in compliance with subsections (a), (c) and (d) of this section not later than 48 months after the promulgation of the additional listing or characteristic. This compliance period shall be consistent with health and safety code, division 20, article 9.5 and shall not be cut short as the result of the promulgation of land disposal prohibitions under Chapter 18 or the granting of an extension to the effective date of a prohibition pursuant to section 66268.5, within this 48-month period.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code.  Reference: Sections 25159, 25159.5 and 25208.5, Health and Safety Code; and 40 CFR Section 265.221.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  section heading and subsections (a) and (c), new subsections (c)(1)-(2), (f), and (g), and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Amendment of section heading, repealer of subsections (f) and (g), new subsection (h) and amendment of Note filed 1-31-96; operative 1-31-96 (Register 96, No. 5).
4. Change without regulatory effect amending subsections (a) and (c)(1) and adopting new subsections (f) and (g) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
5. Change without regulatory effect amending subsection (h) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
6. Change without regulatory effect amending subsection (a) filed 10-21-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 43).
§66265.222. Action Leakage Rate.
Note     •     History

(a) The owner or operator of surface impoundment units subject to section 66265.221(a) shall submit a proposed action leakage rate to the Department when submitting the notice required under section 66265.221(b). The Department will establish an action leakage rate, either as proposed by the owner or operator or modified using the criteria in this section.
(b) The Department shall approve an action leakage rate for surface impoundment units subject to section 66265.221(a). The action leakage rate is the maximum design flow rate that the leak detection system (LDS) can remove without the fluid pressure head on the bottom liner exceeding 1 foot (30.5 cm) at any given portion of the liner. The action leakage rate shall include an adequate safety margin to allow for uncertainties in the design (e.g., slope, hydraulic conductivity, thickness of drainage material), construction, operation, and location of the LDS, waste and leachate characteristics, likelihood and amounts of other sources of liquids in the LDS, and proposed response actions (e.g., the action leakage rate shall consider decreases in the flow capacity of the system over time resulting from siltation and clogging, rib layover and creep of synthetic components of the system, overburden pressures, etc.). 
(c) To determine if the action leakage rate has been exceeded, the owner or operator shall convert the weekly or monthly flow rate from the monitoring data obtained under section 66265.226(b), to an average daily flow rate (gallons per acre per day) for each sump. Unless the Department approves a different calculation, the average daily flow rate for each sump shall be calculated weekly during the active life and closure period, and if the unit closes in accordance with section 66265.228(a)(2), monthly during the post-closure care period when monthly monitoring is required under section 66265.226(b).
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.222.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer and new section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect amending subsection (b) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
4. Change without regulatory effect amending Note filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66265.223. Containment System.
Note     •     History

All earthen dikes shall have a protective cover, such as grass, shale, or rock to minimize wind and water erosion and to preserve their structural integrity.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.223.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Renumbering and amendment of former section 66265.223 to new section 66265.224 filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. New section and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66265.224. Response Actions.
Note     •     History

(a) The owner or operator of surface impoundment units subject to section 66265.221(a) shall submit a response action plan to the Department when submitting the proposed action leakage rate under section 66265.222. The response action plan shall set forth the actions to be taken if the action leakage rate has been exceeded. At a minimum, the response action plan shall describe the actions specified in subsection (b) of this section.
(b) If the flow rate into the leak detection system exceeds the action leakage rate for any sump, the owner or operator shall:
(1) Notify the Department in writing of the exceedence within 7 days of the determination;
(2) Submit a preliminary written assessment to the Department within 14 days of the determination, as to the amount of liquids, likely sources of liquids, possible location, size, and cause of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause of any leak;
(4) Determine whether waste receipt should cease or be curtailed, whether any waste should be removed from the unit for inspection, repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage rate has been exceeded, submit to the Department the results of the analyses specified in subsections (b)(3), (4), and (5) of this section, the results of actions taken, and actions planned. Monthly thereafter, as long as the flow rate in the leak detection system exceeds the action leakage rate, the owner or operator shall submit to the Department a report summarizing the results of any remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in subsections (b)(3), (4), and (5) of this section, the owner or operator shall:
(1)(A) Assess the source of liquids and amounts of liquids by source,
(B) Conduct a fingerprint, hazardous constituent, or other analyses of the liquids in the leak detection system to identify the source of liquids and possible locations of any leaks, and the hazard and mobility of the liquid; and
(C) Assess the seriousness of any leaks in terms of potential for escaping into the environment; or
(2) Document why such assessments are not needed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.224.
HISTORY

1. Renumbering of former section 66265.223 to new section 66265.224, repealer and new section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66265.225. Waste Analysis and Trial Tests.
Note     •     History

(a) In addition to the waste analyses required by section 66265.13, whenever a surface impoundment is to be used to:
(1) chemically treat a hazardous waste which is substantially different from waste previously treated in that impoundment; or
(2) chemically treat hazardous waste with a substantially different process than any previously used in that impoundment; the owner or operator shall, before treating the different waste or using the different process:
(A) conduct waste analyses and trial treatment tests (e.g., bench scale or pilot plant scale tests); or
(B) obtain written, documented information on similar treatment of similar waste under similar operating conditions; to show that this treatment will comply with section 66265.17(b).
(b) As required by section 66265.13, the waste analysis plan shall include analyses needed to comply with sections 66265.229 and 66265.230. As required by section 66265.73, the owner or operator must place the results from each waste analysis and trial test, or the documented information, in the operating record of the facility.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.225.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.226. Monitoring and Inspection.
Note     •     History

(a) The owner or operator shall inspect:
(1) the freeboard level at least once each operating day to ensure compliance with section 66265.222, and
(2) the surface impoundment, including dikes and vegetation surrounding the dike, at least once a week to detect any leaks, deterioration, or failures in the impoundment.
(b)(1) An owner or operator required to have a leak detection system under section 66265.221(a) shall record the amount of liquids removed from each leak detection system sump at least once each week during the active life and closure period.
(2) After the final cover is installed, the amount of liquids removed from each leak detection system sump shall be recorded at least monthly. If the liquid level in the sump stays below the pump operating level for two consecutive months, the amount of liquids in the sumps shall be recorded at least quarterly. If the liquid level in the sump stays below the pump operating level for two consecutive quarters, the amount of liquids in the sumps shall be recorded at least semi-annually. If at any time during the post-closure care period the pump operating level is exceeded at units on quarterly or semi-annual recording schedules, the owner or operator shall return to monthly recording of amounts of liquids removed from each sump until the liquid level again stays below the pump operating level for two consecutive months.
(3) “Pump operating level” is a liquid level proposed by the owner or operator and approved by the Department based on pump activation level, sump dimensions, and level that avoids backup into drainage layer and minimizes head in the sump. The timing for submission and approval of the proposed “pump operating level” will be in accordance with section 66265.222(a).
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.226.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  section heading, new subsections (b)(1)-(3)  and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66265.228. Closure and Postclosure Care.
Note     •     History

(a) At closure, the owner or operator shall:
(1) remove or decontaminate all waste residues, contaminated containment system components (liners, etc.), contaminated subsoils, and structures and equipment contaminated with waste and leachate, and manage them as hazardous waste unless section 66261.3(d) applies; or
(2) close the impoundment and provide postclosure care for a landfill under article 7 and section 66265.310 of this chapter, including the following:
(A) eliminate free liquids by removing liquid wastes or solidifying the remaining wastes and waste residues;
(B) stabilize remaining wastes to a bearing capacity sufficient to support the final cover; and
(C) cover the surface impoundment with a final cover designed and constructed to:
1. minimize the downward entry of water into the closed impoundment throughout a period of at least 100 years;
2. function with minimum maintenance;
3. promote drainage and minimize erosion or abrasion of the cover;
4. accommodate settling and subsidence so that the cover's integrity is maintained;
5. have a permeability less than or equal to the permeability of any bottom liner system or natural subsoils present;
6. accommodate lateral and vertical shear forces generated by the maximum credible earthquake so that the integrity of the cover is maintained;
7. preclude ponding of rainfall and surface run-on over the closed area; and
8. conform to the provisions of subsection (e) through (r) of section 66264.228, except that the Department shall grant a variance from any requirement which the owner or operator demonstrates to the satisfaction of the Department is not necessary to protect public health, water quality or other environmental quality.
(b) In addition to the requirements of article 7 and section 66265.310 of this chapter, during the postclosure care period, the owner or operator of a surface impoundment in which wastes, waste residues or contaminated materials remain after closure in accordance with the provisions of subsection (a)(2) of this section shall:
(1) maintain the integrity and effectiveness of the final cover, including making repairs to the cover as necessary to correct the effects of settling, subsidence, erosion or other events;
(2) maintain and monitor the groundwater monitoring system and comply with all other applicable requirements of article 6 of chapter 14;
(3) prevent run-on and run-off from eroding or otherwise damaging the final cover, and
(4) maintain and monitor the leak detection system in accordance with sections 66265.221(c)(2)(D) and (c)(3) of this chapter and 66265.226(b) and comply with all other applicable and leak detection system requirements of this part.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.228.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  subsections (b)(2)-(3), new subsection (b)(4)  and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect amending subsection (b)(4) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66265.229. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

Ignitable or reactive waste shall not be placed in a surface impoundment unless the waste and the impoundment satisfy all applicable requirements of chapter 18 of this division, and:
(a) the waste is treated, rendered, or mixed before or immediately after placement in the impoundment so that:
(1) the resulting waste, mixture, or dissolution of material no longer meets the definition of ignitable or reactive waste under sections 66261.21 or 66261.23 of this chapter; and
(2) section 66265.17(b) is complied with; or
(b)(1) the waste is managed in such a way that it is protected from any material or conditions which may cause it to ignite or react; and
(2) the owner or operator obtains a certification from a qualified chemist or engineer, registered in California that to the best of the chemist's or engineer's knowledge and opinion, the design features or operating plans of the facility will prevent ignition or reaction; and
(3) the certification and the basis for it are maintained at the facility; or
(c) the surface impoundment is used solely for emergencies.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.229.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.230. Special Requirements for Incompatible Wastes.
Note     •     History

Incompatible wastes, or incompatible wastes and materials, (see Appendix V for examples) shall not be placed in the same surface impoundment, unless section 66265.17(b) is complied with.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.230.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.231. Air Emission Standards.
Note     •     History

The owner or operator shall manage all hazardous waste placed in a surface impoundment in accordance with the applicable requirements of articles 28 and 28.5 of this chapter.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.231.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
Article 12. Waste Piles
§66265.250. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of facilities that treat or store hazardous waste in piles, except as section 66265.1 provides otherwise. Alternatively, a pile of hazardous waste may be managed as a landfill under article 14.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.250.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.251. Protection from Wind.
Note     •     History

The owner or operator of a pile containing hazardous waste which could be subject to dispersal by wind shall cover or otherwise manage the pile so that wind dispersal is controlled.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.251.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.252. Waste Analysis.
Note     •     History

(a) In addition to the waste analyses required by section 66265.13, the owner or operator shall analyze a representative sample of waste from each incoming movement before adding the waste to any existing pile, unless (1) The only wastes the facility receives which are amenable to piling are compatible with each other, or (2) the waste received is compatible with the waste in the pile to which it is to be added. The analysis conducted shall be capable of differentiating between the types of hazardous waste the owner or operator places in piles, so that mixing of incompatible waste does not inadvertently occur. The analysis shall include a visual comparison of color and texture.
(b) As required by section 66265.13 of this chapter, the waste analysis plan shall include analyses needed to comply with sections 66265.256 and 66265.257. As required by section 66265.73, the owner or operator shall place the results of this analysis in the operating record of the facility.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.252.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.253. Containment.
Note     •     History

If leachate or run-off from a pile is a hazardous waste, then either:
(a)(1) the pile shall be placed on an impermeable base that is compatible with the waste under the conditions of treatment or storage;
(2) the owner or operator shall design, construct, operate, and maintain a run-on control system capable of preventing flow onto the active portion of the pile during peak discharge from at least a 25-year storm;
(3) the owner or operator shall design, construct, operate, and maintain a run-off management system to collect and control at least the water volume resulting from a 24-hour, 25-year storm; and
(4) collection and holding facilities (e.g., tanks or basins) associated with run-on and run-off control systems shall be emptied or otherwise managed expeditiously to maintain design capacity of the system; or
(b)(1) the pile shall be protected from precipitation and run-on by some other means; and
(2) no liquids or wastes containing free liquids shall be placed in the pile.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.253.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.254. Design and Operating Requirements.
Note     •     History

(a) The owner or operator of each new waste pile handling RCRA hazardous waste on which construction commences after January 29, 1992, each lateral expansion of a waste pile unit on which construction commences after July 29, 1992, and each such replacement of an existing waste pile unit that is to commence reuse after July 29, 1992 shall install two or more liners and a leachate collection and removal system above and between such liners, and operate the leachate collection and removal systems, in accordance with section 66264.251(c), unless exempted under section 66264.251(l), (m), or (n), of this chapter; and shall comply with the procedures of section 66265.221(b). “Construction commences” is as defined in section 66260.10 of this chapter under “existing facility”.
(b) The owner or operator of each new waste pile handling only non-RCRA hazardous waste on which construction commences after February 18, 1996, each lateral expansion of a waste pile unit on which construction commences after February 18, 1996, and each such replacement of an existing waste pile unit that is to commence reuse after February 18, 1996 shall install two or more liners and a leachate collection and removal system above and between such liners, and operate the leachate collection and removal systems, in accordance with section 66264.251(c), unless exempted under section 66264.251(l), (m) or (n) of this chapter; and shall comply with the procedures of section 66265.221(b). “Construction commences” is as defined in section 66260.10 of this chapter under “existing facility”.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.254.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  section heading, designation and amendment of  subsection (a), new subsection (b) and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect amending section filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66265.255. Action Leakage Rates.
Note     •     History

(a) The owner or operator of waste pile units subject to section 66265.254 shall submit a proposed action leakage rate to the Department when submitting the notice required under section 66265.254. The Department will establish an action leakage rate, either as proposed by the owner or operator or modified using the criteria in this section.
(b) The Department shall approve an action leakage rate for waste pile units subject to section 66265.254. The action leakage rate is the maximum design flow rate that the leak detection system (LDS) can remove without the fluid pressure head on the bottom liner exceeding 1 foot (30.5 cm) at any govern portion of the liner. The action leakage rate shall include an adequate safety margin to allow for uncertainties in the design (e.g., slope, construction, operation, and location of the LDS, waste and leachate characteristics, likelihood and amounts of other sources of liquids in the LDS, and proposed response actions (e.g., the action leakage rate shall consider decreases in the flow capacity of the system over time resulting from siltation and clogging, rib layover and creep of synthetic components of the system, overburden pressures, etc.). 
(c) To determine if the action leakage rate has been exceeded, the owner or operator shall convert the weekly flow rate from the monitoring data obtained under section 66265.260, to an average daily flow rate (gallons per acre per day) for each sump. Unless the Department approves a different calculation, the average daily flow rate for each sump shall be calculated weekly during the active life and closure period.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.255.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
2. Change without regulatory effect amending subsection (b) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66265.256. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

(a) Ignitable or reactive wastes shall not be placed in a pile, unless the waste and pile satisfy all applicable requirements of chapter 18 of this division, and:
(1) addition of the waste to an existing pile (A) results in the waste or mixture no longer meeting the definition of ignitable or reactive waste under sections 66261.21 or 66261.23 of this chapter, and (B) complies with section 66265.17(b); or
(2) the waste is managed in such a way that it is protected from any material or conditions which may cause it to ignite or react.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.256.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.257. Special Requirements for Incompatible Wastes.
Note     •     History

(a) Incompatible wastes, or incompatible wastes and materials, (see Appendix V for examples) shall not be placed in the same pile, unless section 66265.17(b) is complied with.
(b) A pile of hazardous waste that is incompatible with any waste or other material stored nearby in other containers, piles, open tanks, or surface impoundments shall be separated from the other materials, or protected from them by means of a dike, berm, wall, or other device.
(c) Hazardous waste shall not be piled on the same area where incompatible wastes or materials were previously piled, unless that area has been decontaminated sufficiently to ensure compliance with section 66265.17(b).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.257.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.258. Closure and Post-Closure Care.
Note     •     History

(a) At closure, the owner or operator shall remove or decontaminate all waste residues, contaminated containment system components (liners, etc.), contaminated subsoils, and structures and equipment contaminated with waste and leachate, and manage them as hazardous waste unless 66261.3(d) of this chapter applies; or
(b) if, after removing or decontaminating all residues and making all reasonable efforts to effect removal or decontamination of contaminated components, subsoils, structures, and equipment as required in subsection (a) of this section, the owner or operator finds that not all contaminated subsoils can be practicably removed or decontaminated, the owner or operator shall close the facility and perform post-closure care in accordance with the closure and post-closure requirements that apply to landfills (section 66265.310).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.258.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.259. Response Actions.
Note     •     History

(a) The owner or operator of waste pile units subject to section 66265.254 shall submit a response action plan to the Department when submitting the proposed action leakage rate under section 66265.255. The response action plan shall set forth the actions to be taken if the action leakage rate has been exceeded. At a minimum, the response action plan shall describe the actions specified in subsection (b) of this section.
(b) If the flow rate into the leak determination system exceeds the action leakage rate for any sump, the owner or operator shall:
(1) Notify the Department in writing of the exceedence within 7 days of the determination;
(2) Submit a preliminary written assessment to the Department within 14 days of the determination, as to the amount of liquids, likely sources of liquids, possible location, size, and cause of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause of any leak;
(4) Determine whether waste receipts should cease or be curtailed, whether any waste should be removed from the unit for inspection, repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage rate has been exceeded, submit to the Department the results of the analyses specified in subsections (b)(3), (4) and (5) of this section, the results of actions taken, and actions planned. Monthly thereafter, as long as the flow rate in the leak detection system exceeds the action leakage rate, the owner or operator shall submit to the Department a report summarizing the results of any remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in subsections (b)(3), (4) and (5) of this section, the owner or operator shall:
(1)(A) Assess the source of liquids and amounts of liquids by source,
(B) Conduct a fingerprint, hazardous constituent, or other analyses of the liquids in the leak detection system to identify the source of liquids and possible location of any leaks, and the hazard and mobility of the liquid; and
(C) Assess the seriousness of any leaks in terms of potential for escaping into the environment; or
(2) Document why such assessments are not needed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.259.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66265.260. Monitoring and Inspection.
Note     •     History

An owner or operator required to have a leak detection system under section 66265.254 shall record the amount of liquids removed from each leak detection system sump at least once each week during the active life and closure period.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.260.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
Article 13. Land Treatment
§66265.270. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of hazardous waste land treatment facilities, except as section 66265.1 provides otherwise.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.270.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
§66265.272. General Operating Requirements.
Note     •     History

(a) Hazardous waste shall not be placed in or on a land treatment facility unless the waste can be made less hazardous or nonhazardous by degradation, transformation, or immobilization processes occurring in or on the soil.
(b) The owner or operator shall design, construct, operate, and maintain a run-on control system capable of preventing flow onto the active portions of the facility during peak discharge from at least a 25-year storm.
(c) The owner or operator shall design, construct, operate, and maintain a run-off management system capable of collecting, controlling and managing a water volume at least equivalent to a 24-hour, 25-year storm.
(d) Collection and holding facilities (e.g., tanks or basins) associated with run-on and run-off control systems shall be emptied or otherwise managed expeditiously after storms to maintain design capacity of the system.
(e) If the treatment zone contains particulate matter which may be subject to wind dispersal, the owner or operator shall manage the unit to control wind dispersal.
(f)(1) Unless granted a variance pursuant to subsection (f)(2) of this section, or exempted pursuant to subsection (h) of this section, every new land treatment unit at a new or existing facility, every land treatment unit which replaces an existing land treatment unit, and every laterally expanded portion of an existing land treatment unit is required to be equipped with two or more liners and a leachate collection system meeting the requirements established in section 66264.301(c) for new landfills.
(2) The Department shall grant a variance from the requirements of subsection (f)(1) or subsection (9) of this section if the owner or operator demonstrates to the Department and the Department finds all of the following:
(A) the land treatment unit was an existing land treatment unit as of January 1, 1988, and no hazardous constituents identified in Appendix VIII to chapter 11 of this division have migrated from the treatment zone of the land treatment unit into the vadose zone or into the waters of the State, and no other hazardous constituents have migrated from the land treatment unit into the vadose zone or into the waters of the State in concentrations which pollute or threaten to pollute the vadose zone or the waters of the State. In making this demonstration the owner or operator shall take a sufficient number of core samples in, beneath and surrounding the treatment zone of the land treatment unit to characterize the chemical constituents in the treatment zone, in the immediate area of the vadose zone surrounding the treatment zone, and in the area of the vadose zone beneath the treatment zone and shall submit ground water monitoring data sufficient in scope to demonstrate that there has been no migration of hazardous constituents in the vadose zone or into the waters of the State. The owner or operator, as an alternative to taking these core samples, may use the data obtained from any land treatment demonstration required by the department pursuant to section 66264.272 if the data were obtained not more than two years prior to the application for the variance and were sufficient in scope to demonstrate that there has been no migration of hazardous constituents into the vadose zone or into the waters of the state;
(B) notwithstanding the date that the land treatment unit commenced operations, the design and operating practices will prevent the migration of hazardous constituents identified in Appendix VIII to chapter 11 of this division from the treatment zone of the land treatment unit into the vadose zone or into the waters of the state and no other hazardous constituents have migrated from the land treatment unit into the vadose zone or into the waters of the state in concentrations which pollute or threaten to pollute the vadose zone or the waters of the state;
(C) notwithstanding the date that the land treatment unit commenced operations, the design and operating practices provide for rapid detection and removal or remediation of any hazardous constituents that migrate from the treatment zone of the land treatment unit into the vadose zone or the waters of the state in concentrations that pollute or threaten to pollute the vadose zone or the waters of the state.
(3)(A) The Department shall renew a variance only in those cases where an owner or operator demonstrates to the Department and the Department finds, both of the following:
1. no hazardous constituents have migrated from the treatment zone of the land treatment unit into the vadose zone or into the waters of the state in concentrations which pollute or threaten to pollute the vadose zone or the waters of the state;
2. continuing the operation of the land treatment unit does not pose a significant threat of hazardous constituents migrating from the land treatment unit into the vadose zone or into the waters of the state in concentrations which pollute or threaten to pollute the vadose zone or the waters of the state.
(B) In making the demonstration for the renewal of a variance pursuant to this subsection, the owner or operator may use field tests, laboratory analysis, or operating data.
(4) A variance or a renewal of a variance may be issued for a period not to exceed three years.
(5) Neither the requirements of this section nor the variance provisions of subsection (f)(2) shall relieve the owner or operator from responsibility to comply with all other existing laws and regulations pertinent to land treatment units.
(g) Unless granted a variance pursuant to subsection (f)(2) or exempted under subsection (h) of this section, after January 1, 1990, no person shall discharge hazardous waste into a land treatment unit which has not been equipped with liners and a leachate collection and removal system which satisfy the requirements of subsection (f)(1) of this section.
(h) Land treatment of soil contaminated only with non-RCRA hazardous waste which has been excavated as part of a removal or remedial action at any hazardous substance release site is exempt from the requirements of subsection (f) of this section if all of the following apply:
(1) the Department determines that the land treatment does not pose a threat to public health or safety or the environment;
(2) the land treatment is conducted pursuant to a plan approved by the Department or a cleanup and abatement order issued by a regional water quality control board;
(3) the land treatment is not conducted at an offsite commercial facility;
(4) the land treatment is used only for purposes of removal or remedial action and, upon completion of the land treatment portion of the removal or remedial action, the land treatment unit is closed.
(i) For purposes of this section, the terms “removal,” “remedial action,” “hazardous substance” and “release” shall be defined in accordance with article 2 (commencing with section 25310) of chapter 6.8 division 20 of the Health and Safety Code.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25209.2, 25209.3 and 25209.5, Health and Safety Code; 40 CFR Section 265.272.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.273. Waste Analysis.
Note     •     History

(a) In addition to the waste analyses required by section 66265.13, before placing a hazardous waste in or on a land treatment facility, the owner or operator shall:
(1) determine the concentrations in the waste of any substances which equal or exceed the maximum concentrations contained in section 66261.24, that cause a waste to exhibit the toxicity characteristic; and
(2) for any waste listed in article 4 of chapter 11 of this division, determine the concentrations of any substances which caused the waste to be listed as a hazardous waste.
(B) Chapter 11 of this division specifies the substances for which a waste is listed as a hazardous waste. As required by section 66265.13, the waste analysis plan shall include analyses needed to comply with sections 66265.281 and 66265.282. As required by section 66265.73, the owner or operator shall place the results from each waste analysis, or the documented information, in the operating record of the facility.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.273.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.276. Food Chain Crops.
Note     •     History

(a) An owner or operator of a hazardous waste land treatment facility on which food chain crops are being grown, or have been grown and will be grown in the future, shall notify the Department within 60 days after July 1, 1991.
(b)(1) Food chain crops shall not be grown on the treated area of a hazardous waste land treatment facility unless the owner or operator can demonstrate, based on field testing, that any arsenic, lead, mercury or other constituents identified under section 66265.273(b):
(A) will not be transferred to the food portion of the crop by plant uptake or direct contact, and will not otherwise be ingested by food chain animals (e.g., by grazing); or
(B) will not occur in greater concentrations in the crops grown on the land treatment facility than in the same crops grown on untreated soils under similar conditions in the same region.
(2) The information necessary to make the demonstration required by subsection (b)(1) of this section must be kept at the facility and must, at a minimum:
(A) be based on tests for the specific waste and application rates being used at the facility; and
(B) include descriptions of crop and soil characteristics, sample selection criteria, sample size determination, analytical methods and statistical procedures.
(c) Food chain crops shall not be grown on a land treatment facility receiving waste that contains cadmium unless all requirements of subsections (c)(1)(A) through (C) of this section or all requirements of subsections (c)(2)(A) through (D) of this section are met.
(1)(A) The pH of the waste and soil mixture is 6.5 or greater at the time of each waste application, except for waste containing cadmium at concentrations of 2 mg/kg (dry weight) or less.
(B) The annual application of cadmium from waste does not exceed 0.5 kilograms per hectare (kg/ha) on land used for production of tobacco, leafy vegetables or root crops grown for human consumption. For other food chain crops, the annual cadmium application rate does not exceed:

		Annual Cd
	Time Period	Application
		Rate (kg/ha)

	Present to June 30, 1984		2.0
	July 1, 1984 to December 31, 1986		1.25
	Beginning January 1, 1987		0.5

	(C) The cumulative application of cadmium from waste does not exceed the levels in either paragraph (c)(1)(C) 1. or 2. of this section.
1.

	Maximum Cumulative
	Application (kg/ha)

	Soil Caption Exchange Capacity
	(meq/100g)	Back-	Back-
		ground Soil	ground Soil
		pH Less	pH Greater
		Than 6.5	Than 6.5

	Less than 5	 5	5
	5 to 15.	 5	10
	Greater than 15 	 5	20

2. For soils with a background pH of less than 6.5, the cumulative cadmium application rate does not exceed the levels below; provided, that the pH of the waste and soil mixture is adjusted to and maintained at 6.5 or greater whenever food chain crops are grown.

		Maximum
	 Soil Caption Exchange Capacity (meq/100g)	Cumulative
		Application
		(kg/ha)

	Less than 5		5
	5 to 15		10
	Greater than 15		20

(2)(A) The only food chain crop produced is animal feed.
(B) The pH of the waste and soil mixture is 6.5 or greater at the time of waste application or at the time the crop is planted, whichever occurs later and this pH level is maintained whenever food chain crops are grown.
(C) There is a facility operating plan which demonstrates how the animal feed will be distributed to preclude ingestion by humans. The facility operating plan describes the measures to be taken to safeguard against possible health hazards from cadmium entering the food chain, which may result from alternative land uses.
(D) Future property owners are notified by a stipulation in the land record or property deed which states that the property has received waste at high cadmium application rates and that food chain crops must not be grown except in compliance with paragraph (c)(2) of this section.
(d) As required by section 66265.73, if an owner or operator grows food chain crops on his land treatment facility, he shall place the information developed in this section in the operating record of the facility.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.276.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.278. Vadose Zone (Zone of Aeration) Monitoring.
Note     •     History

(a) The owner or operator shall have in writing, and shall implement, a vadose zone monitoring plan which is designed to:
(1) detect the vertical migration of hazardous waste and hazardous waste constituents under the active portion of the land treatment facility, and
(2) provide information on the background concentrations of the hazardous waste and hazardous waste constituents in similar but untreated soils nearby; this background monitoring shall be conducted before or in conjunction with the monitoring required under subsection (a)(1) of this section.
(b) The vadose zone monitoring plan shall include, at a minimum:
(1) soil monitoring using soil cores, and
(2) soil-pore water monitoring using devices such as lysimeters.
(c) To comply with subsection (a)(1) of this section, the owner or operator shall demonstrate in the vadose zone monitoring plan that:
(1) the depth at which soil and soil-pore water samples are to be taken is below the depth to which the waste is incorporated into the soil:
(2) the number of soil and soil-pore water samples to be taken is based on the variability of:
(A) the hazardous waste constituents (as identified in sections 66265.273(a) and (b) in the waste and in the soil; and
(B) the soil type(s); and
(3) the frequency and timing of soil and soil-pore water sampling is based on the frequency, time, and rate of waste application, proximity to ground water, and soil permeability.
(d) The owner or operator shall keep at the facility his vadose zone monitoring plan, and the rationale used in developing this plan.
(e) The owner or operator shall analyze the soil and soil-pore water samples for the hazardous waste constituents that were found in the waste during the waste analysis under sections 66265.273(a) and (b).
(f) As required by section 66265.73, all data and information developed by the owner or operator under this section shall be placed in the operating record of the facility.
(g) Except as provided in section 66265.272(h) no person shall place or dispose of hazardous waste in a land treatment unit if any of the following conditions exist:
(1) hazardous constituents have migrated from the land treatment unit into the vadose zone beneath or surrounding the treatment zone or into the waters beneath or surrounding the treatment zone;
(2) there is evidence that a hazardous constituent in the waste discharged to the land treatment unit has not been or will not be completely degraded, transformed or immobilized in the treatment zone;
(3) there is a significant potential for hazardous constituents to migrate from the land treatment unit into a potential source of drinking water.
(h) The owner or operator shall periodically, at the request of the Department, and at least annually, submit information required by the Department to assure that the conditions set forth in subsections (g)(1) and (g)(2) of this section are not present. The information to be submitted to the Department to demonstrate compliance with subsection (g) of this section shall include, but is not limited to, a sufficient number of soil core samples in, beneath, and surrounding the treatment zone of the land treatment unit to detect any constituents of concern.
(i) If the owner or operator determines pursuant to subsection (a) of this section, that there has been a statistically significant increase in the concentration of a hazardous constituent below the treatment zone, or that either of the conditions set forth in subsections (g)(1) or (g)(2) of this section are detected and confirmed, or that conditions exist that render the owner or operator unable to continue to satisfy the variance requirements of section 66265.272(f)(2), the owner or operator shall, within 72 hours, report to the Department describing the full extent of the owner's or operator's findings, including the identification of all constituents which have shown a statistically significant increase.
(j) Upon receiving notice pursuant to subsection (i) of this section, or upon independent confirmation by the Department, the Department shall order the owner or operator to cease operating the land treatment unit. The owner or operator shall not resume operating the land treatment unit and shall close the land treatment unit unless one of the following actions is taken:
(1) the owner or operator completes appropriate removal or remedial actions to the satisfaction of the Department, and the owner or operator submits to the Department, and the Department approves, an application for a permit or a variance modification to modify the operating practices at the facility to maximize the success of degradation, immobilization, or transformation processes in the treatment zone; or
(2) the owner or operator completes appropriate removal or remedial actions, submits to the Department, and the Department approves, an application for a permit or a variance modification to modify the operating practices at the facility to maximize the success of degradation, immobilization, or transformation processes in the treatment zone, and equips the land treatment unit with liners, and a leachate collection and removal system that satisfy the requirements of section 66265.272(f)(1).
(k) All actions taken by an owner or operator pursuant to subsections (j)(1) or (j)(2) of this section shall be completed within a time period specified by the Department, which shall not exceed 18 months after the Department receives notice pursuant to subsection (i) of this section. If the actions are not completed within this time period, the land treatment unit shall be closed, unless granted an extension by the Department due to exceptional circumstances beyond the control of the owner and operator.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25209.4, Health and Safety Code; 40 CFR Section 265.278.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.279. Recordkeeping.
Note     •     History

The owner or operator shall include hazardous waste application dates and rates in the operating record required under section 66265.73.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.279.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
§66265.280. Closure and Post-Closure.
Note     •     History

(a) In the closure plan under section 66265.112 and the post-closure plan under section 66265.118, the owner or operator shall address the following objectives and indicate how they will be achieved:
(1) prevention of the migration of hazardous waste and hazardous waste constituents from the treated area into the ground water;
(2) prevention of the release of contaminated run-off from the facility into surface water;
(3) prevention of the release of airborne particulate contaminants caused by wind erosion; and
(4) compliance with section 66265.276 concerning the growth of food-chain crops.
(b) The owner or operator shall consider at least the following factors in addressing the closure and post-closure care objectives of subsection (a) of this section:
(1) type and amount of hazardous waste and hazardous waste constituents applied to the land treatment facility;
(2) the mobility and the expected rate of migration of the hazardous waste and hazardous waste constituents;
(3) site location, topography, and surrounding land use, with respect to the potential effects of pollutant migration (e.g., proximity to ground water, surface water and drinking water sources);
(4) climate, including amount, frequency, and pH of precipitation;
(5) geological and soil profiles and surface and subsurface hydrology of the site, and soil characteristics, including cation exchange capacity, total organic carbon, and pH;
(6) vadose zone monitoring information obtained under section 66265.278; and
(7) type, concentration, and depth of migration of hazardous waste constituents in the soil as compared to their background concentrations.
(c) The owner or operator shall consider at least the following methods in addressing the closure and post-closure care objectives of subsection (a) of this section:
(1) removal of contaminated soils;
(2) placement of a final cover, considering:
(A) functions of the cover (e.g., infiltration control, erosion and run-off control, and wind erosion control); and
(B) characteristics of the cover, including material, final surface contours, thickness, porosity and permeability, slope, length of run of slope, and type of vegetation on the cover; and
(3) monitoring of ground water.
(d) In addition to the requirements of article 7 of this chapter, during the closure period the owner or operator of a land treatment facility shall:
(1) continue vadose zone monitoring in a manner and frequency specified in the closure plan, except that soil pore liquid monitoring may be terminated 90 days after the last application of waste to the treatment zone;
(2) maintain the run-on control system required under section 66265.272(b);
(3) maintain the run-off management system required under section 66265.272(c); and
(4) control wind dispersal of particulate matter which may be subject to wind dispersal.
(e) For the purpose of complying with section 66265.115, when closure is completed the owner or operator may submit to the Department certification both by the owner or operator and by an independent qualified soil scientist, or an independent California Certified Engineering Geologist, in lieu of an independent California registered professional engineer, that the facility has been closed in accordance with the specifications in the approved closure plan.
(f) In addition to the requirements of section 66265.117, during the post-closure care period the owner or operator of a land treatment unit shall:
(1) continue soil-core monitoring by collecting and analyzing samples in a manner and frequency specified in the post-closure plan;
(2) restrict access to the unit as appropriate for its post-closure use;
(3) control wind dispersal of hazardous waste.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.280.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.281. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

The owner or operator shall not apply ignitable or reactive waste to the treatment zone unless the waste and treatment zone meet all applicable requirements of chapter 18 of this division, and:
(a) the waste is immediately incorporated into the soil so that:
(1) the resulting waste, mixture, or dissolution of material no longer meets the definition of ignitable or reactive waste under sections 66261.21 or 66261.23 of this chapter; and
(2) section 66264.17(b) is complied with; or
(b) the waste is managed in such a way that it is protected from any material or conditions which may cause it to ignite or react.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.281.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.282. Special Requirements for Incompatible Wastes.
Note     •     History

Incompatible wastes, or incompatible wastes and materials (see Appendix V for examples), shall not be placed in the same land treatment area, unless section 66265.17(b) is complied with.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.282.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 14. Landfills
§66265.300. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of facilities that dispose of hazardous waste in landfills, except as section 66265.1 provides otherwise. A waste pile used as a disposal facility is a landfill and is governed by this article.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.300.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.301. Design and Operating Requirements.
Note     •     History

(a) The owner or operator of each new landfill unit on which construction commences after January 29, 1992, each lateral expansion of a landfill unit on which construction commences after July 29, 1992, and each replacement of an existing landfill unit that is to commence reuse after July 29, 1992 shall install two or more liners and a leachate collection and removal system above and between such liners, and operate the leachate collection and removal systems, in accordance with section 66264.301(d) or (e), of this chapter. The requirements of this subsection shall not apply to landfill units receiving only non-RCRA hazardous waste until February 18, 1996. “Construction commences” is as defined in section 66260.10 of this chapter under “existing facility”.
(b) The owner or operator of each unit referred to in subsection (a) of this section shall notify the Department at least sixty days prior to receiving waste. The owner or operator of each facility submitting notice shall file a Part B application within six months of the receipt of such notice.
(c) The owner or operator of any replacement landfill unit is exempt from subsection (a) of this section if:
(1) The existing unit was constructed in compliance with the design standards of 42 USC section 6924(o)(1)(A)(i) and 42 USC section 6924(o)(5); and
(2) There is evidence to believe that the liner is functioning as designed.
(d) The double liner requirement set forth in subsection (a) of this section may be waived by the Department for any monofill, if:
(1) The monofill contains only hazardous wastes from foundry furnace emission controls or metal casting molding sand, and such wastes do not contain constituents which would render the wastes hazardous for reasons other than exceeding the soluble threshold limit concentration as described in section 66261.24(a)(2) for non-RCRA hazardous wastes or the characteristic of toxicity as set forth in section 66261.24(a)(1) for wastes with hazardous wastes numbers D004 through D017 for RCRA hazardous wastes; and
(2)(A) 1. . . . the monofill has at least one liner for which there is no evidence that such liner is leaking;
2. the monofill is located more than one-quarter mile from an underground source of drinking water as defined in section 66260.10; and
3. the monofill is in compliance with generally applicable groundwater monitoring requirements for facilities with hazardous waste facility permits; or
(B) the owner or operator demonstrates to the satisfaction of the Department that the monofill is located, designed and operated so as to assure that there will be no migration of any hazardous constituent into ground water or surface water at any future time.
(e) In the case of any unit in which the liner and leachate collection system has been installed pursuant to the requirements of subsection (a) of this section, and in good faith compliance with subsection (a) of this section no liner or leachate collection system which is different from that which was so installed pursuant to subsection (a) of this section will be required for such unit by the Department when issuing the first permit to such facility, except that the Department will not be precluded from requiring installation of a new liner when the Department has reason to believe that any liner installed pursuant to the requirements of subsection (a) of this section is leaking.
(f) The owner or operator shall design, construct, operate, and maintain a run-on control system capable of preventing flow onto the active portion of the landfill during peak discharge from at least a 25-year storm.
(g) The owner or operator shall design, construct, operate and maintain a run-off management system to collect and control at least the water volume resulting from a 24-hour, 25-year storm.
(h) Collection and holding facilities (e.g., tanks or basins) associated with run-on and run-off control systems shall be emptied or otherwise managed expeditiously after storms to maintain design capacity of the system.
(i) The owner or operator of a landfill containing hazardous waste which is subject to dispersal by wind shall cover or otherwise manage the landfill so that wind dispersal of the hazardous waste is controlled.
(j) As required by section 66265.13, the waste analysis plan must include analyses to comply with sections 66265.312, 66265.313 and 6265.314. As required by section 66265.73, the owner or operator shall place the results of these analyses in the operating record of the facility.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.301.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  section heading, subsections (a) and (c), new subsections (c)(1)-(2) and (f)-(j)  and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect amending subsections (a) and (c)(1) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
4. Change without regulatory effect amending subsection (a) filed 10-21-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 43).
5. Amendment of subsections (d) and (d)(1) and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66265.302. Action Leakage Rate.
Note     •     History

(a) The owner or operator of landfill units subject to section 66265.301(a) shall submit a proposed action leakage rate to the Department when submitting the notice required under section 66265.301(b). The Department will establish an action leakage rate, either as proposed by the owner or operator or modified using the criteria in this section.
(b) The Department shall approve an action leakage rate for landfill units subject to section 66265.301(a). The action leakage rate is the maximum design flow rate that the leak detection system (LDS) can remove without the fluid pressure head on the bottom liner exceeding 1 foot (30.5 cm) at any given portion of the liner. The action leakage rate shall include an adequate safety margin to allow for uncertainties in the design (e.g., slope, hydraulic conductivity, thickness of drainage material), construction, operation, and location of the LDS, waste and leachate characteristics, likelihood and amounts of other sources of liquids in the LDS, and proposed response actions (e.g., the action leakage rate shall consider decreases in the flow capacity of the system over time resulting from siltation and clogging, rib layover and creep of synthetic components of the system, overburden pressures, etc.). 
(c) To determine if the action leakage rate has been exceeded, the owner or operator shall convert the weekly or monthly flow rate from the monitoring data obtained under section 66265.304 to an average daily flow rate (gallons per acre per day) for each sump. Unless the Department approves a different calculation, the average daily flow rate for each sump shall be calculated weekly during the active life and closure period, and monthly during the post-closure care period when monthly monitoring is required under section 66265.304(b).
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor' s Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.302.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  section heading and subsections (a)-(c), repealer of subsections (d)-(e) and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect amending subsection (b) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66265.303. Response Actions.
Note     •     History

(a) The owner or operator of landfill units subject to section 66265.301(a) shall submit a response action plan to the Department when submitting the proposed action leakage rate under section 66265.302. The response action plan shall set forth the actions to be taken if the action leakage rate has been exceeded. At a minimum, the response action plan shall describe the actions specified in subsection (b) of this section.
(b) If the flow rate into the leak detection system exceeds the action leakage rate for any sump, the owner or operator shall:
(1) Notify the Department in writing of the exceedence within 7 days of the determination;
(2) Submit a preliminary written assessment to the Department within 14 days of the determination, as to the amount of liquids, likely sources of liquids, possible location, size, and cause of any leaks, and short-term actions taken and planned;
(3) Determine to the extent practicable the location, size, and cause of any leak;
(4) Determine whether waste receipt should cease or be curtailed, whether any waste should be removed from the unit for inspection, repairs, or controls, and whether or not the unit should be closed;
(5) Determine any other short-term and longer-term actions to be taken to mitigate or stop any leaks; and
(6) Within 30 days after the notification that the action leakage rate has been exceeded, submit to the Department the results of the analyses specified in subsections (b)(3), (4) and (5) of this section, the results of actions taken, and actions planned. Monthly thereafter, as long as the flow rate in the leak detection system exceeds the action leakage rate, the owner or operator shall submit to the Department a report summarizing the results of any remedial actions taken and actions planned.
(c) To make the leak and/or remediation determinations in subsections (b)(3), (4) and (5) of this section, the owner or operator shall:
(1)(A) Assess the source of liquids and amounts of liquids by source,
(B) Conduct a fingerprint, hazardous constituent, or other analyses of the liquids in the leak detection system to identify the source of liquids and possible location of any leaks, and the hazard and mobility of the liquid; and
(C) Assess the seriousness of any leaks in terms of potential for escaping into the environment; or
(2) Document why such assessments are not needed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor' s Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.303.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66265.304. Monitoring and Inspection.
Note     •     History

(a) An owner or operator required to have a leak detection system under section 66265.301(a) shall record the amount of liquids removed from each leak detection system sump at least once each week during the active life and closure period.
(b) After the final cover is installed, the amount of liquids removed from each leak detection system sump shall be recorded at least monthly. If the liquid level in the sump stays below the pump operating level for two consecutive months, the amount of liquids in the sumps shall be recorded at least quarterly. If the liquid level in the sump stays below the pump operating level for two consecutive quarters, the amount of liquids in the sumps shall be recorded at least semi-annually. If at any time during the post-closure care period the pump operating level is exceeded at units on quarterly or semi-annual recording schedules, the owner or operator shall return to monthly recording of amounts of liquids removed from each sump until the liquid level again stays below the pump operating level for two consecutive months.
(c) “Pump operating level” is a liquid level proposed by the owner or operator and approved by the Department based on pump activation level, sump dimensions, and level that avoids backup into the drainage layer and minimizes head in the sump. The timing for submission and approval of the proposed “pump operating level” will be in accordance with Section 66265.302(a).
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor' s Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.304.
HISTORY

1. New section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66265.309. Surveying and Recordkeeping.
Note     •     History

The owner or operator of a landfill shall maintain the following items in the operating record required in section 66265.73:
(a) on a map, the exact location and dimensions, including depth, of each cell with respect to permanently surveyed benchmarks with horizontal and vertical controls; and
(b) the contents of each cell and the approximate location of each hazardous waste type within each cell.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.309.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.310. Closure and Postclosure Care.
Note     •     History

(a) At final closure of the landfill or upon closure of any cell, the owner or operator shall cover the landfill or cell with a final cover designed and constructed to:
(1) prevent the downward entry of water into the closed landfill throughout a period of at least 100 years;
(2) function with minimum maintenance;
(3) promote drainage and minimize erosion or abrasion of the cover;
(4) accommodate settling and subsidence so that the cover's integrity is maintained;
(5) have a permeability less than the permeability of any bottom liner system or natural subsoils present;
(6) accommodate lateral and vertical shear forces generated by the maximum credible earthquake so that the integrity of the cover is maintained;
(7) preclude ponding of rainfall, surface run-off or run-on over the closed area;
(8) conform to the provisions of subsections (e) through (r) of section 66264.228, except that the Department shall grant a variance from any requirement of subsections (e) through (r) which the owner or operator demonstrates to the satisfaction of the Department is not necessary to protect public health, water quality or other environmental quality.
(b) After final closure, the owner or operator shall comply with all postclosure requirements contained in sections 66265.117 through 66265.120 including maintenance and monitoring throughout the postclosure care period. The owner or operator shall:
(1) close the facility in a manner that will minimize any chance of postclosure release of hazardous waste or discarded hazardous material; facilitate postclosure maintenance, monitoring and emergency response; and require minimum maintenance of containment structures, leachate collection systems and surface drainage collection or diversion systems;
(2) maintain the integrity and effectiveness of the final cover, including making repairs to the cover as necessary to correct the effects of settling, subsidence, erosion or other events;
(3) maintain and monitor the groundwater monitoring system and comply with all other applicable requirements of article 6 of chapter 14;
(4) prevent run-on and run-off from eroding or otherwise damaging the final cover; 
(5) protect and maintain surveyed benchmarks used in complying with section 66265.309; and
(6) maintain and monitor the leak detection system in accordance with Sections 66264.301(c)(3)(D) and (c)(4) of this chapter and 66265.304(b), and comply with all other applicable leak detection system requirements of this part;
(c) If liquid has been disposed of at the site in containers, in bulk or in a moist semisolid that will drain when the weight of overburden is applied, the owner or operator shall do one of the following before closing the facility:
(1) demonstrate to the satisfaction of the department that incompatible wastes do not commingle and that nongaseous constituents of waste cannot migrate from the site; or
(2) provide measures to prevent incompatible waste from mixing after closure and to prevent migration of nongaseous waste constituents from the site after closure.
(d) The owner or operator shall consider at least the following factors in addressing the closure and postclosure care objectives of subsection (a) of this section:
(1) type and amount of hazardous waste and hazardous waste constituents in the landfill;
(2) the mobility and the expected rate of migration of the hazardous waste and hazardous waste constituents;
(3) site location, topography and surrounding land use, with respect to the potential effects of pollutant migration (e.g., proximity to groundwater, surface water and drinking water sources);
(4) climate, including amount, frequency and pH of precipitation;
(5) characteristics of the cover, including material, final surface contours, thickness, porosity and permeability, slope, length of run of slope and type of vegetation on the cover; and
(6) geological and soil profiles and surface and subsurface hydrology of the site.
(e) In addition to the requirements of section 66265.117, during the postclosure care period, the owner or operator of a hazardous waste landfill shall:
(1) maintain the function and integrity of the final cover as specified in the approved closure plan;
(2) maintain and monitor the leachate collection, removal and treatment system (if there is one present in the landfill) to prevent excess accumulation of leachate in the system;
(3) maintain and monitor the gas collection and control system (if there is one present in the landfill) to control the vertical and horizontal escape of gases;
(4) protect and maintain surveyed benchmarks; and
(5) restrict access to the landfill as appropriate for its postclosure use.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.310.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  subsections (b)(4)-(5), new subsection (b)(6) and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66265.312. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

(a) Except as provided in subsection (b) of this section, and in section 66265.316, ignitable or reactive waste shall not be placed in a landfill, unless the waste and landfill meets all applicable requirements of chapter 18 of this division, and the waste is treated, rendered, or mixed before or immediately after placement in a landfill so that:
(1) the resulting waste, mixture, or dissolution or material no longer meets the definition of ignitable or reactive waste under sections 66261.21 or 66261.23; and
(2) section 66265.17(b) is complied with.
(b) Except for prohibited wastes which remain subject to treatment standards in article 4 of chapter 18 of this division, ignitable wastes in containers may be landfilled without meeting the requirements of subsection (a) of this section provided that the wastes are disposed in such a way that they are protected from any material or conditions which may cause them to ignite. At a minimum, ignitable wastes shall be disposed in non-leaking containers which are carefully handled and placed so as to avoid heat, sparks, rupture, or any other condition that might cause ignition of the wastes; shall be covered daily with soil or other non-combustible material to minimize the potential for ignition of the wastes; and shall not be disposed in cells that contain or will contain other wastes which may generate heat sufficient to cause ignition of the waste.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.312.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (b) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66265.313. Special Requirements for Incompatible Wastes.
Note     •     History

Incompatible wastes, or incompatible wastes and materials, (see Appendix V for examples) shall not be placed in the same landfill cell, unless section 66265.17(b) is complied with.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.313.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.314. Special Requirements for Bulk and Containerized Liquids.
Note     •     History

(a) Effective February 2, 1985, the placement of bulk or non-containerized liquid hazardous waste or hazardous waste containing free liquids (whether or not sorbents have been added) in any landfill is prohibited.
(b) Containers holding free liquids shall not be placed in a landfill unless:
(1) all freestanding liquid: 
(A) has been removed by decanting, or other methods; 
(B) has been mixed with sorbent or solidified so that freestanding liquid is no longer observed; or 
(C) has been otherwise eliminated; or
(2) the container is very small, such as an ampule; or
(3) the container is designed to hold free liquids for use other than storage, such as a battery or capacitor; or
(4) the container is a lab pack as defined in section 66265.316 and is disposed of in accordance with section 66265.316.
(c) To demonstrate the absence or presence of free liquids in either a containerized or a bulk waste, the facility shall use Method 9095 (as described in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods” - EPA Publication SW-846 Third Edition and updates, as incorporated by reference in section 66260.11).
(d) Sorbents used to treat free liquids to be disposed of in landfills shall be nonbiodegradable. Nonbiodegradable sorbents are: materials listed or described in subsection (d)(1) of this section; materials that pass one of the tests in subsection (d)(2) of this section; or materials that are determined by USEPA to be nonbiodegradable through the 40 CFR Part 260 petition process.
(1) Nonbiodegradable sorbents.
(A) Inorganic minerals, other inorganic materials, and elemental carbon (e.g., aluminosilicates, clays, smectites, Fuller's earth, bentonite, calcium bentonite, montmorillonite, calcined montmorillonite, kaolinite, micas (illite), vermiculites, zeolites; calcium carbonate (organic free limestone); oxides/hydroxides, alumina, lime, silica (sand), diatomaceous earth; perlite (volcanic glass); expanded volcanic rock; volcanic ash; cement kiln dust; fly ash; rice hull ash; activated charcoal/activated carbon); or
(B) High molecular weight synthetic polymers (e.g., polyethylene, high density polyethylene (HDPE), polypropylene, polystyrene, polyurethane, polyacrylate, polynorborene, polyisobutylene, ground synthetic rubber, cross-linked allylstyrene and tertiary butyl copolymers). This does not include polymers derived from biological material or polymers specifically designed to be degradable; or
(C) Mixtures of these nonbiodegradable materials.
(2) Tests for nonbiodegradable sorbents.
(A) The sorbent material is determined to be nonbiodegradable under ASTM Method G21-90-Standard Practice for Determining Resistance of Synthetic Polymer Materials to Fungi; or
(B) The sorbent material is determined to be nonbiodegradable under ASTM Method G22-76 (1984b)-Standard Practice for Determining Resistance of Plastics to Bacteria; or
(C) The sorbent material is determined to be non-biodegradable under OECD test 301B; (CO2 Evolution (Modified Strum Test)).
(e) Effective November 8, 1985, the placement of any liquid which is not a hazardous waste in a landfill is prohibited unless the owner or operator of such landfill demonstrates to the Department, or the Department determines, that:
(1) the only reasonably available alternative to the placement in such landfill is placement in a landfill or unlined surface impoundment, whether or not permitted or operating under interim status, which contains, or may reasonably be anticipated to contain, hazardous waste; and
(2) placement in such owner or operator's landfill will not present a risk of contamination of any underground source of drinking water (as that term is defined in section 66260.10).
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.5, Health and Safety Code; 40 CFR Section 265.314.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a) and (b)(1), repealer of subsection (b)(2), subsection renumbering, new subsections (d)-(d)(2)(B), subsection relettering and amendment of Note filed 8-8-95 as an emergency; operative 8-8-95 (Register 95, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-6-95 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to emergency amendment filed 9-15-95 by operation of Government Code section 11346.1(f) (Register 95, No. 37).
4. Amendment of subsections (a) and (b)(1)(B), repealer of subsections (b)(2)-(b)(2)(C), subsection renumbering, amendment of subsection (c), new subsections (d)-(d)(2)(C), subsection relettering, and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
5. New subsection (d)(2)(A) and amendment of Note filed 3-17-99; operative 4-16-99 (Register 99, No. 12).
§66265.315. Special Requirements for Containers.
Note     •     History

Unless they are very small, such as an ampule, containers shall be either:
(a) at least 90 percent full when placed in the landfill; or
(b) crushed, shredded, or similarly reduced in volume to the maximum practical extent before burial in the landfill.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.315.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.316. Disposal of Small Containers of Hazardous Waste in Overpacked Drums (Lab Packs).
Note     •     History

Small containers of hazardous waste in overpacked drums (lab packs) may be placed in a landfill if the following requirements are met.
(a) Hazardous waste shall be packaged in non-leaking inside containers. The inside containers shall be of a design and constructed of a material that will not react dangerously with, be decomposed by, or be ignited by the waste held therein. Inside containers shall be tightly and securely sealed. The inside containers shall be of the size and type specified in the Department of Transportation (DOT) hazardous materials regulations (49 CFR Parts 173, 178 and 179), if those regulations specify a particular inside container for the waste.
(b) The inside containers shall be overpacked in an open head DOT-specification metal shipping container (49 CFR Parts 178 and 179) of no more than 416-liter (110 gallon) capacity and surrounded by, at a minimum, a sufficient quantity of sorbent material, determined to be nonbiodegradable in accordance with 66265.314(d), to completely sorb all of the liquid contents of the inside containers. The metal outer container shall be full after it has been packed with inside containers and sorbent material.
(c) The sorbent material used shall not be capable of reacting dangerously with, being decomposed by, or being ignited by the contents of the inside containers, in accordance with section 66265.17(b).
(d) Incompatible wastes, as defined in section 66260.10, shall not be placed in the same outside container.
(e) Reactive waste, other than cyanide- or sulfide-bearing waste as defined in section 66261.23 (a)(5), shall be treated or rendered non-reactive prior to packaging in accordance with subsections (a) through (d) of this section. Cyanide- and sulfide-bearing reactive waste may be packaged in accordance with subsections (a) through (d) of this section without first being treated or rendered non-reactive provided that the cyanide concentration is less than 1000 mg/l.
(f) Such disposal is in compliance with the requirements of chapter 18 of this division. Persons who incinerate lab packs according to the requirements of section 66268.42(c)(1) may use fiber drums in place of metal outer containers. Such fiber drums shall meet the DOT specifications in 49 CFR 173.12 and be overpacked according to the requirements in Subsection (b) of this section.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.316.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Reinstatement of section as it existed prior to emergency amendment filed 9-15-95 by operation of Government Code section 11346.1(f) (Register 95, No. 37).
3. Amendment of section heading and subsection (f) filed 1-31-96; operative 1-31-96 (Register 96, No. 5).
4. Amendment of subsections (b) and (c) and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66265.317. Special Requirements for Nonliquid Waste.
Note     •     History

(a)(1) Effective January 1, 1995 or the effective date of the applicable treatment standard found in chapter 18 of division 4.5 of Titles 22 and 26 of California Code of Regulations, whichever is later, all nonliquid hazardous waste, bulk or containerized, shall contain less than 50 percent moisture by weight prior to disposal in a hazardous waste landfill.
(2) The requirements in (a)(1) cannot be met by adding material that acts solely as a sorbent, unless determined to be nonbiodegradable in accordance with section 66265.314(d) and waste is disposed in a container, or diluting agent. The moisture content shall be determined by pulverizing the entire sample coarsely on a clean surface by hand, using rubber gloves. Twenty-five to 50 grams shall be placed in a prepared evaporating dish and weighed. The sample shall then be placed in an oven at 103 to 105 degrees centigrade for 1 hour. The dish shall be cooled in a desiccator to 20 degrees centigrade for 1 hour and then reweighed. The cycle of drying, cooling, and weighing shall be repeated until a constant weight is obtained or until the weight loss is less than 4 percent of the previous weight.
(b) The calculation in subsection (a) shall be in accordance with the following formula:
Percent Moisture = [(A-B)/(A-C)] x 100
Where:
A = Weight of evaporating dish and original sample, grams
B = Weight of evaporating dish and oven dried sample, grams
C = Weight of evaporating dish, grams.
(c)(1) Lab Packs as defined in section 66265.316 are exempt from section 66265.317(a).
(2) Asbestos-containing waste is exempt from section 66265.317(a) if the waste is disposed according to the requirements of the regional water quality control board in (1) a class I landfill, or (2) segregated areas within a nonclass I landfill.
NOTE

Authority cited: Sections 25150, 25179.5 and 58012, Health and Safety Code. Reference: Sections 25143.7, 25159, 25159.5, 25179.5(b) and 25179.9, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a) and (c) filed 10-10-91 as an emergency; operative 10-10-91 (Register 91, No. 52). A Certificate of Compliance must be transmitted to OAL 2-7-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a) and (c) refiled 2-7-92 as an emergency; operative 2-7-92 (Register 92, No. 12). A Certificate of Compliance must by transmitted to OAL 6-8-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a) and (c) refiled 5-12-92 as an emergency; operative 6-5-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-9-92 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (c) refiled 9-14-92 as an emergency; operative 10-2-92 (Register 92, No. 38). A Certificate of Compliance must be transmitted to OAL 2-1-92 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-14-92 order including amendment of subsection (c)(2) and Note transmitted to OAL 12-23-92 and filed 2-8-93; (Register 93, No. 7).
7. Amendment of subsection (a)(1) filed 5-5-94 as an emergency; operative 5-5-94 (Register 94, No. 18).  A Certificate of Compliance must be transmitted to OAL by 9-2-94 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (a)(1) refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-94 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (a)(1) refiled 12-22-94 as an emergency, including amendment of subsection (c)(1); operative 12-20-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-19-95 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsections (a)(1) and (c)(1) refiled 4-17-95 as an emergency; operative 4-17-95 (Register 95, No. 16). A Certificate of Compliance must be transmitted to OAL 8-15-95 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsections (a)(1)-(2), (c)(1) and Note refiled 8-8-95 as an emergency; operative 8-8-95 (Register 95, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-6-95 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 8-8-95 order transmitted to OAL 8-3-95 and filed 9-15-95 (Register 95, No. 37).
13. Reinstatement of subsection (a)(2) as it existed prior to emergency amendment filed 9-15-95 by operation of Government Code section 11346.1(f) (Register 95, No. 37).
14. Amendment of subsection (a)(2) and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
Article 15. Incinerators
§66265.340. Applicability.
Note     •     History

(a) The regulations in this article apply to owners or operators of facilities that incinerate hazardous waste, except as section 66264.1 provides otherwise. The following facility owners or operators are considered to incinerate hazardous waste:
(1) owners or operators of hazardous waste incinerators (as defined in section 66260.10).
(b) Owners and operators of incinerators burning hazardous waste are exempt from all of the requirements of this article except section 66265.351 (Closure), provided that the owner or operator has documented, in writing, that the waste would not reasonably be expected to contain any of the hazardous constituents listed in, Appendix VIII to chapter 11 of this division, and such documentation is retained at the facility, if the waste to be burned is:
(1) listed as a hazardous waste in article 4 of chapter 11 of this division solely because it is ignitable (Hazard Code I), corrosive (Hazard Code C), or both; or
(2) listed as a hazardous waste in article 4 of chapter 11 of this division solely because it is reactive (Hazard Code R) for characteristics other than those listed in section 66261.23(a)(4) and (a)(5), and will not be burned when other hazardous wastes are present in the combustion zone; or
(3) a hazardous waste solely because it possesses the characteristic of ignitability, corrosivity, or both, as determined by the tests for characteristics of hazardous wastes; or
(4) a hazardous waste solely because it possesses the reactivity characteristics described by section 66261.23(a)(1), (a)(2), (a)(3), (a)(6), (a)(7), (a)(8), and will not be burned when other hazardous wastes are present in the combustion zone.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.340.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment  of subsection (a)(1), repealer of subsection (a)(2), and amendment of Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
§66265.341. Waste Analysis.
Note     •     History

(a) In addition to the waste analyses required by section 66265.13, the owner or operator shall sufficiently analyze any waste which that owner or operator has not previously burned in that owner or operator's incinerator to enable him that owner or operator to establish steady state (normal) operating conditions (including waste and auxiliary fuel feed and air flow) and to determine the type of pollutants which might be emitted. At a minimum, the analysis shall determine:
(1) heating value of the waste;
(2) halogen content and sulfur content in the waste; and
(3) concentrations in the waste of lead and mercury, unless the owner or operator has written, documented data that show that the element is not present.
(b) As required by section 66265.73, the owner or operator must place the results from each waste analysis, or the documented information, in the operating record of the facility.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference cited:Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.341.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.347. Monitoring and Inspections.
Note     •     History

(a) The owner or operator shall conduct, as a minimum, the following monitoring and inspections when incinerating hazardous waste.
(1) Existing instruments which relate to combustion and emission control shall be monitored at least every 15 minutes. Appropriate corrections to maintain steady state combustion conditions shall be made immediately either automatically or by the operator. Instruments which relate to combustion and emission control would normally include those measuring waste feed, auxiliary fuel feed, air flow, incinerator temperature, scrubber flow, scrubber pH, and relevant level controls.
(2) The complete incinerator and associated equipment (pumps, valves, conveyors, pipes, etc.) shall be inspected at least daily for leaks, spills, and fugitive emissions, and all emergency shutdown controls and system alarms must be checked to assure proper operation.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.347.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.351. Closure.
Note     •     History

(a) At closure, the owner or operator shall remove all hazardous waste and hazardous waste residues (including but not limited to ash, scrubber waters, and scrubber sludges) from the incinerator site.
(b) At closure, as throughout the operating period, unless the owner or operator can demonstrate, in accordance with section 66261.3(d) of this division, that the residue removed from that owner or operator's incinerator is not a hazardous waste, the owner or operator becomes a generator of hazardous waste and shall manage it in accordance with all applicable requirements of this division.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference cited: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 264.351.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.352. Interim Status Incinerators Burning Particular Hazardous Wastes.
Note     •     History

(a) Owners or operators of incinerators subject to this article may burn EPA Hazardous Wastes F020, F021, F022, F023, F026, or F027 if they receive a certification from the USEPA Assistant Administrator for Solid Waste and Emergency Response that they can meet the performance standards of article 15 of chapter 14 of this division when they burn these wastes.
(b) The following standards and procedures will be used in determining whether to certify an incinerator.
(1) The owner or operator will submit an application to the USEPA Assistant Administrator for Solid Waste and Emergency Response containing applicable information in sections 66270.19 and 66270.62 demonstrating that the incinerator can meet the performance standards in article 15 of chapter 14 of this division when they burn these wastes.
(2) The USEPA Assistant Administrator for Solid Waste and Emergency Response will issue a tentative decision as to whether the incinerator can meet the performance standards in article 15 of chapter 14 of this division. Notification of this tentative decision will be provided by newspaper advertisement and radio broadcast in the jurisdiction where the incinerator is located. The USEPA Assistant Administrator for Solid Waste and Emergency Response will accept comment on the tentative decision for 60 days. The USEPA Assistant Administrator for Solid Waste and Emergency Response also may hold a public hearing upon request or at the Assistant Administrator's discretion.
(3) After the close of the public comment period, the USEPA Assistant Administrator for Solid Waste and Emergency Response will issue a decision whether or not to certify the incinerator.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.352.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 16. Thermal Treatment
§66265.370. Other Thermal Treatment.
Note     •     History

The regulations in this article apply to owners or operators of facilities that thermally treat hazardous waste in devices other than enclosed devices using controlled flame combustion, except as section 66265.1 provides otherwise. Thermal treatment in enclosed devices using controlled flame combustion is subject to the requirements of article 15 of this chapter if the unit is an incinerator, and article 8 of chapter 16, if the unit is a boiler or an industrial furnace as defined in section 66260.10.
NOTE

Authority cited: Sections 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference cited: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.370.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment  of section and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
§66265.373. General Operating Requirements.
Note     •     History

Before adding hazardous waste, the owner or operator shall bring his thermal treatment process to steady state (normal) conditions of operation-including steady state operating temperature using auxiliary fuel or other means, unless the process is a noncontinuous (batch) thermal treatment process which requires a complete thermal cycle to treat a discrete quantity of hazardous waste.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.373.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.375. Waste Analysis.
Note     •     History

(a) In addition to the waste analyses required by section 66265.13, the owner or operator must sufficiently analyze any waste which he has not previously treated in that owner's or operator's thermal process to enable that owner or operator to establish steady state (normal) or other appropriate (for a non-continuous process) operating conditions (including waste and auxiliary fuel feed) and to determine the type of pollutants which might be emitted. At a minimum, the analysis must determine:
(1) heating value of the waste;
(2) halogen content and sulfur content in the waste; and
(3) concentrations in the waste of lead and mercury, unless the owner or operator has written, documented data that show that the element is not present.
(b) As required by section 66265.73, the owner or operator must place the results from each waste analysis, or the documented information, in the operating record of the facility.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.375.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.377. Monitoring and Inspections.
Note     •     History

(a) The owner or operator shall conduct, as a minimum, the following monitoring and inspections when thermally treating hazardous waste.
(1) Existing instruments which relate to temperature and emission control (if an emission control device is present) shall be monitored at least every 15 minutes. Appropriate corrections to maintain steady state or other appropriate thermal treatment conditions shall be made immediately either automatically or by the operator. Instruments which relate to temperature and emission control would normally include those measuring waste feed, auxiliary fuel feed, treatment process temperature, and relevant process flow and level controls.
(2) The stack plume (emissions), where present, shall be observed visually at least hourly for normal appearance (color and opacity). The operator shall immediately make any indicated operating corrections necessary to return any visible emissions to their normal appearance.
(3) The complete thermal treatment process and associated equipment (pumps, valves, conveyors, pipes, etc.) shall be inspected at least daily for leaks, spills, and fugitive emissions, and all emergency shutdown controls and system alarms must be checked to assure proper operation.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.377.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.381. Closure.
Note     •     History

At closure, the owner or operator shall remove all hazardous waste and hazardous waste residues (including, but not limited to, ash) from the thermal treatment process or equipment. At closure, as throughout the operating period, unless the owner or operator can demonstrate, in accordance with section 66261.3(c) or (d), that any waste removed from that owner or operator's thermal treatment process or equipment is not a hazardous waste, the owner or operator becomes a generator of hazardous waste and shall manage it in accordance with all applicable requirements of this division.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference cited: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.381.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.382. Open Burning; Waste Explosives.
Note     •     History

Open burning of hazardous waste is prohibited except for the open burning and detonation of waste explosives. Waste explosives include waste which has the potential to detonate and bulk military propellants which cannot safely be disposed of through other modes of treatment. Detonation is an explosion in which chemical transformation passes through the material faster than the speed of sound (0.33 kilometers/second at sea level). Owners or operators choosing to open burn or detonate waste explosives shall do so in accordance with the following table and in a manner that does not threaten human health or the environment.

		Minimum Distance from Open
	Pounds of Waste	Burning or Detonation to the
	Explosives or Propellants	Property of Others

	0 to 100	204 meters (670 feet)
	101 to 1,000	380 meters (1,250 feet)
	1,001 to 10,000	530 meters (1,730 feet)
	10,001 to 30,000	690 meters (2,260 feet)
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.382.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.383. Interim Status Thermal Treatment Devices Burning Particular Hazardous Waste.
Note     •     History

(a) Owners or operators of thermal treatment devices subject to this subpart may burn EPA Hazardous Wastes F020, F021, F022, F023, F026, or F027 if they receive a certification from the USEPA Assistant Administrator for Solid Waste and Emergency Response that they can meet the performance standards of article 15 of chapter 14 of this division when they burn these wastes.
(b) The following standards and procedures will be used in determining whether to certify a thermal treatment unit.
(1) The owner or operator will submit an application to the USEPA Assistant Administrator for Solid Waste and Emergency Response containing the applicable information in sections 66270.19 and 66270.62 demonstrating that the thermal treatment unit can meet the performance standard in article 15 of chapter 14 of this division when they burn these wastes.
(2) The USEPA Assistant Administrator for Solid Waste and Emergency Response will issue a tentative decision as to whether the thermal treatment unit can meet the performance standards in article 15 of chapter 14 of this division. Notification of this tentative decision will be provided by newspaper advertisement and radio broadcast in the jurisdiction where the thermal treatment device is located. The USEPA Assistant Administrator for Solid Waste and Emergency Response will accept comment on the tentative decision for 60 days. The USEPA Assistant Administrator for Solid Waste and Emergency Response also may hold a public hearing upon request or at the Assistant Administrator's discretion.
(3) After the close of the public comment period, the USEPA Assistant Administrator for Solid Waste and Emergency Response will issue a decision whether or not to certify the thermal treatment unit.
NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 265.383.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 17. Chemical, Physical, and Biological Treatment
§66265.400. Applicability.
Note     •     History

The regulations in this article apply to owners and operators of facilities which treat hazardous wastes by chemical, physical, or biological methods in other than tanks, surface impoundments, and land treatment facilities, except as section 66265.1 provides otherwise. Chemical, physical, and biological treatment of hazardous waste in tanks, surface impoundments, and land treatment facilities shall be conducted in accordance with articles 10, 11, and 13, respectively.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.400.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.401. General Operating Requirements.
Note     •     History

(a) Chemical, physical, or biological treatment of hazardous waste shall comply with section 66265.17(b).
(b) Hazardous wastes or treatment reagents shall not be placed in the treatment process or equipment if they could cause the treatment process or equipment to rupture, leak, corrode, or otherwise fail before the end of its intended life.
(c) Where hazardous waste is continuously fed into a treatment process or equipment, the process or equipment shall be equipped with a means to stop this inflow (e.g., a waste feed cut-off system or by-pass system to a standby containment device).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.401.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.402. Waste Analysis and Trial Tests.
Note     •     History

(a) In addition to the waste analysis required by section 66265.13, the owner or operator shall comply with subsection (b) of this section, whenever:
(1) a hazardous waste which is substantially different from waste previously treated in a treatment process or equipment at the facility is to be treated in that process or equipment, or
(2) a substantially different process than any previously used at the facility is to be used to chemically treat hazardous waste.
(b) The owner or operator shall, before treating the different waste or using the different process or equipment:
(1) conduct waste analyses and trial treatment tests (e.g., bench scale or pilot plant scale tests); or
(2) obtain written, documented information on similar treatment of similar waste under similar operating conditions to show that this proposed treatment will meet all applicable requirements of sections 66265.401(a) and (b).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. References: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.402.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.403. Inspections.
Note     •     History

(a) The owner or operator of a treatment facility shall inspect, where present:
(1) discharge control and safety equipment (e.g., waste feed cut-off systems, by-pass systems, drainage systems, and pressure relief systems) at least once each operating day, to ensure that it is in good working order;
(2) data gathered from monitoring equipment (e.g., pressure and temperature gauges), at least once each operating day, to ensure that the treatment process or equipment is being operated according to its design;
(3) the construction materials of the treatment process or equipment, at least weekly, to detect corrosion or leaking of fixtures or seams; and
(4) the construction materials of, and the area immediately surrounding, discharge confinement structures (e.g., dikes), at least weekly, to detect erosion or obvious signs of leakage (e.g., wet spots or dead vegetation).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.403.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.404. Closure.
Note     •     History

At closure, all hazardous waste and hazardous waste residues shall be removed from treatment processes or equipment, discharge control equipment, and discharge confinement structures. In addition, owners and operators of incinerators shall comply with the requirements of section 66265.351. At closure, as throughout the operating period, unless the owner or operator can demonstrate, in accordance with section 66261.3(d) or (e) of this division, that any waste removed from the treatment process or equipment is not a hazardous waste, the owner or operator becomes a generator of hazardous waste and shall manage it in accordance with all applicable requirements of chapters 12, 13, and 15 of this division.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.404.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.405. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

Ignitable or reactive waste shall not be placed in a treatment process or equipment unless:
(a) the waste is treated, rendered, or mixed before or immediately after placement in the treatment process or equipment so that (1) the resulting waste, mixture, or dissolution of material no longer meets the definition of ignitable or reactive waste under section 66261.21 or 66261.23 of this division, and (2) section 66265.17(b) is complied with; or
(b) the waste is treated in such a way that it is protected from any material or conditions which may cause the waste to ignite or react.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.405.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.406. Special Requirements for Incompatible Wastes.
Note     •     History

(a) Incompatible wastes, or incompatible wastes and materials, (see Appendix V for examples) shall not be placed in the same treatment process or equipment, unless section 66265.17(b) is complied with.
(b) Hazardous waste shall not be placed in unwashed treatment equipment which previously held an incompatible waste or material, unless section 66265.17(b) is complied with.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 265.406.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 17.5. Drip Pads
§66265.440. Applicability.
Note     •     History

(a) The requirements of this article apply to owners and operators of facilities that use new or existing drip pads to convey treated wood drippage, precipitation, and/or surface water run-off to an associated collection system. Existing drip pads are those constructed before December 6, 1990, and those for which the owner or operator has a design and has entered into binding financial or other agreements for construction prior to December 6, 1990. All other drip pads are new drip pads. The requirement at section 66265.443(b)(3) to install a leak collection system applies only to those drip pads that are constructed after December 24, 1992 except for those constructed after December 24, 1992 for which the owner or operator has a design and has entered into binding financial or other agreements for construction prior to December 24, 1992. 
(b) The owner or operator of any drip pad that is inside or under a structure that provides protection from precipitation so that neither run-off nor run-on is generated is not subject to regulation under sections 66265.443(e) or 66265.443(f), as appropriate.
(c) The requirements of this article are not applicable to the management of infrequent and incidental drippage in storage yards provided that:
(1) the owner or operator maintains and complies with a written contingency plan that describes how the owner or operator will respond immediately to the discharge of such infrequent and incidental drippage. At a minimum, contingency plan shall describe how the facility will do the following:
(A) cleanup the drippage;
(B) document the cleanup of the drippage;
(C) retain documents regarding cleanup for three years; and
(D) manage the contaminated media in a manner consistent with Department regulations.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.440.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
2. Change without regulatory effect adding new article heading filed 9-13-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 37).
§66265.441. Assessment of existing drip pad integrity.
Note     •     History

(a) For each existing drip pad as defined in section 66265.440 of this article, the owner or operator shall evaluate the drip pad and determine that it meets all of the requirement of this article, except the requirements for liners and leak detection systems of section 66265.443(b). No later than the effective date of this rule, the owner or operator shall obtain and keep on file at the facility a written assessment of the drip pad, reviewed and certified by an independent, qualified professional engineer registered in California that attests to the results of the evaluation. The assessment shall be reviewed, updated, and re-certified annually until all upgrades, repairs, or modifications necessary to achieve compliance with all of the standards of section 66265.443 are complete. The evaluation shall document the extent to which the drip pad meets each of the design and operating standards of section 66265.443, except the standards for liners and leak detection systems, specific in section 66265.443(b).
(b) The owner or operator shall develop a written plan for upgrading, repairing, and modifying the drip pad to meet the requirements of section 66265.443(b), and submit the plan to the Department no later than two years before the date that all repairs, upgrades, and modifications are complete. This written plan shall describe all changes to be made to the drip pad in sufficient detail to document compliance with all the requirements of section 66265.443. The plan shall be reviewed and certified by an independent, qualified professional engineer registered in California.
(c) Upon completion of all, repairs, and modifications, the owner or operator shall submit to the Department, the as-built drawings for the drip pad together with a certification by an independent, qualified professional engineer registered in California attesting that the drip pad conforms to the drawings.
(d) If the drip pad is found to be leaking or unfit for use, the owner or operator shall comply with the provisions of section 66265.443(m) or close the drip pad in accordance with section 66265.445.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.441.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
§66265.442. Design and installation of new drip pads.
Note     •     History

Owners and operators of new drip pads shall ensure that the pads are designed, installed, and operated in accordance with one of the following:
(a) All of the applicable requirements of sections 66265.443 (except section 66265.443(b)), 66265.444 and 66265.445, or
(b) All of the applicable requirements of sections 66265.443 (except section 66265.443(a)(4)(A) and (B)), 66265.444 and 66265.445.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.442.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
§66265.443. Design and operating requirements.
Note     •     History

(a) Drip pads shall:
(1) be constructed of non-earthen materials, excluding wood and non-structurally supported asphalt;
(2) be sloped to free-drain treated wood drippage, rain, and other waters, or solutions of drippage and water or other wastes to the associated collection system;
(3) have a curb or berm around the perimeter;
(4)(A) have a hydraulic conductivity of less than or equal to 1x10-7 centimeters per second, e.g., existing concrete drip pads shall be sealed, coated, or covered with a surface material with a hydraulic conductivity of less than or equal to 1x10-7 centimeters per second such that the entire surface where drippage occurs or may run across is capable of containing such drippage and mixtures of drippage and precipitation, materials, or other wastes while being routed to an associated collection system. This surface material shall be maintained free of cracks and gaps that could adversely affect its hydraulic conductivity, and the materials shall be chemically compatible with the preservatives that contact the drip pad. The requirements of this provision apply only to existing drip pads and those drip pads for which the owner or operator elects to comply with section 66265.442(a) instead of section 66265.442(b).
(B) the owner or operator shall obtain and keep on file at the facility a written assessment of the drip pad, reviewed and certified by an independent, qualified registered professional engineer registered in California that attests to the results of the evaluation. The assessment shall be reviewed, updated and recertified annually. The evaluation shall document the extent to which the drip pad meets the design and operating standards of this section, except for subsection (b).
(5) be of sufficient structural strength and thickness to prevent failure due to physical contact, climatic conditions, the stress of installation, and the stress of daily operations, e.g., variable and moving loads such as vehicle traffic, movement of wood, etc.
(b) If an owner or operator elects to comply with section 66264.442(b) instead of section 66265.442(a), the drip pad shall have:
(1) a synthetic liner installed below the drip pad that is designed, constructed, and installed to prevent leakage from the drip pad into the adjacent subsurface soil or groundwater or surface water at any time during the active life (including the closure period) of the drip pad. The liner shall be constructed of materials that will prevent waste from being absorbed into the liner and prevent releases into the adjacent subsurface soil or ground water or surface water during the active life of the facility. The liner shall be:
(A) constructed of materials that have appropriate chemical properties and sufficient strength and thickness to prevent failure due to pressure gradients (including static head and external hydrogeologic forces), physical contact with the waste or drip pad leakage to which they are exposed, climatic conditions, the stress of installation, and the stress of daily operation (including stresses from vehicular traffic on the drip pad);
(B) placed upon a foundation or base capable of providing support to the liner and resistance to pressure gradients above and below the liner to prevent failure of the liner due to settlement, compression or uplift; and
(C) installed to cover all surrounding earth that could come in contact with the waste or leakage; and
(2) a leakage detection system, immediately above the liner that is designed, constructed, maintained, and operated to detect leakage from the drip pad. The leakage detection system shall be:
(A) constructed of materials that are:
1. chemically resistant to the waste managed in the drip pad and the leakage that might be generated; and
2. of sufficient strength and thickness to prevent collapse under the pressures exerted by overlaying materials and by any equipment used at the drip pad; and
(B) designed and operated to function without clogging through the scheduled closure of the drip pad;
(C) designed so that it will detect the failure of the drip pad or the presence of a release of hazardous waste or accumulated liquid at the earliest practicable time.
(3) a leakage collection system immediately above the liner that is designed, constructed, maintained and operated to collect leakage from the drip pad such that it can be removed from below the drip pad. The date, time, and quantity of any leakage collected in this system and removed shall be documented in the operating log.
(c) Drip pads shall be maintained such that they remain free of cracks, gaps, corrosion, or other deterioration that could cause hazardous waste to be released from the drip pad.
(d) The drip pad and associated collection system shall be designed and operated to convey, drain, and collect liquid resulting from drippage or precipitation in order to prevent run-off.
(e) Unless protected by a structure, as described in section 66265.440(b), the owner or operator shall design, construct, operate, and maintain a run-on control system capable of preventing flow onto the drip pad during peak discharge from at least  a 24-hour, 25-year storm unless the system has sufficient excess capacity to contain any run-on that might enter the system, or the drip pad is protected by a structure or cover, as described in section 66265.440(b).
(f) Unless protected by a structure or cover, as described in section 66265.440(b), the owner or operator shall design, construct, operate, and maintain a run-off management system to collect and control at least the water volume resulting from a 24-hour, 25-year storm.
(g) The drip pad shall be evaluated to determine that it meets the requirements of subsections (a) through (f) of this section and the owner or operator shall obtain a statement from an independent, qualified, professional engineer registered in California, certifying that the drip pad design meets the requirements of this section.
(h) Drippage and accumulated precipitation shall be removed from the associated collection system as necessary to prevent overflow onto the drip pad.
(i) The drip pad surface shall be cleaned thoroughly in a manner and frequency such that accumulated residues of hazardous waste or other materials are removed, with residues being properly managed as hazardous waste, so as to allow weekly inspections of the entire drip pad surface without interference or hindrance form accumulated residues of hazardous waste or other materials on the drip pad. The owner or operator shall document the date and time of each cleaning and the cleaning procedure used in the facility's operating log.
(j) Drip pads shall be operated and maintained in a manner to minimize tracking of hazardous waste or hazardous waste constituents off the drip pad as a result of activities by personnel or equipment.
(k) After being removed from the treatment vessel, treated wood from pressure and non-pressure processes shall be held on the drip pad until drippage has ceased. The owner or operator shall maintain records sufficient to document that all treated wood is held on the pad following treatment in accordance with this requirement.
(l) Collection and holding units associated with run-on and run-off control systems shall be emptied or otherwise managed as soon as possible after storms to maintain design capacity of the system.
(m) Throughout the active life of the drip pad, if the owner or operator detects a condition that may have caused or has caused a release of hazardous waste, the condition shall be repaired within a reasonably prompt period of time following discovery, in accordance with the following procedures:
(1) upon detection of a condition that may have caused or has caused a release of hazardous waste (e.g., upon detection of leakage by the leak detection system), the owner or operator shall:
(A) enter a record of the discovery in the facility operating log;
(B) immediately remove the portion of the drip pad affected by the condition from service;
(C) determine what steps shall be taken to repair the drip pad, remove any leakage from below the drip pad, and establish a schedule for accomplishing the clean up and repairs;
(D) within 24 hours after discovery of the condition, notify the Department of the condition and, within ten working days, provide a written notice to the Department with a description of the steps that will be taken to repair the drip pad, and clean up any leakage, and the schedule for accomplishing this work;
(2) the Department will review the information submitted, make a determination regarding whether the pad shall be removed from service completely or partially until repairs and cleanup are complete, and notify the owner or operator of the determination and the underlying rationale in writing; and
(3) upon competing all repairs and clean up, the owner or operator shall notify the Department in writing and provide a certification, signed by an independent, qualified professional engineer registered in California, that the repairs and clean up have been completed according to the written plan submitted in accordance with subsection (m)(1)(D) of this section.
(n) The owner or operator shall maintain, as part of the facility operating log, documentation of past operating and waste handling practices. This shall include identification of preservative formulations used in the past, a description of drippage management practices, and a description of treated wood storage and handling practices.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.443.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
2. Change without regulatory effect amending subsections (b)(2)(C), (k) and (m)(2) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
§66265.444. Inspection.
Note     •     History

(a) During preconstruction, construction, and operating phases, liners and cover systems (e.g., membranes, sheets, or coatings) shall be inspected for uniformity, damage, and imperfection (e.g., holes cracks,  thin spots, or foreign materials). Immediately after construction or installation, liners shall be inspected and certified as meeting the requirements of section 66265.443 by an independent, qualified professional engineer registered in California. The certification shall be maintained at the facility as part of the facility operating record. After installation liners and covers shall be inspected to ensure tight seams and joints and the absence of tears, punctures, or blisters.
(b) While a drip pad is in operation, it shall be inspected weekly and after storms to detect evidence of any of the following:
(1) deterioration, malfunctions, or improper operation of run-on and run-off control systems;
(2) the presence of leakage in and proper functioning of leakage detection system; or
(3) deterioration or cracking if the drip pad surface.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150 and 25245, Health and Safety Code; and 40 CFR Section 265.444.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
§66265.445. Closure.
Note     •     History

(a) At closure, the owner or operator shall remove or decontaminate all waste residues, contaminated containment system components (pad, liners, etc.), contaminated subsoils, and structures and equipment contaminated with waste and leakage, and manage them as hazardous waste.
(b) If, after removing or decontaminating all residues and making reasonable efforts to effect removal or decontamination of contaminated components, subsoils, structures, and equipment a required in subsection (a) of this section, the owner or operator finds that not all contaminated subsoils can be practically removed or decontaminated, the owner or operator shall close the facility and perform post-closure care in accordance with closure and post-closure care requirements that apply to landfills (section 66265.310). For permitted units, the requirement to have a permit continues throughout the post-closure period.
(c)(1) The owner or operator of an existing drip pad, as defined in section 66265.440, that does not comply with the liner requirements of section 66265.443(b)(1) shall: 
(A) include in the closure plan for the drip pad under section 66265.112 both a plan for complying with subsection (a) of this section and a contingent plan for complying with subsection (b) of this section in case not all contaminated subsoils can be practicably removed at closure; and
(B) prepare a contingent post-closure plan under section 66265.118 for complying with subsection (b) of this section in case not all contaminated subsoils can be practicably removed at closure;
(2) the cost estimates calculated under sections 66265.112 and 66265.144 for closure and post-closure care of a drip pad subject to this subsection shall include the cost of complying with the contingent closure plan and the contingent post-closure plan, but are not required to include the cost of expected closure under subsection (a) of this section.
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.445.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
2. Change without regulatory effect amending subsections (b), (c)(1)(A) and (c)(2) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
Article 18. Environmental Monitoring of Air and Soil-Pore Gas for Interim Status Facilities
§66265.710. Applicability to Interim Status Facilities.
Note     •     History

(a) Sections 66265.710 through 66265.714 of this chapter apply to owners or operators of interim status facilities that treat, store, recycle or dispose of hazardous waste in a surface impoundment, waste pile, land treatment unit or landfill (hereinafter referred to as a regulated unit), except as section 66265.1 and subsection (b) of this section provide otherwise. The owner or operator of a regulated unit that receives hazardous waste after February 2, 1985 shall install, operate and maintain an environmental monitoring system which meets the requirements of section 66265.711 and shall comply with sections 66265.712 through 66265.714. This environmental monitoring program shall be carried out during the active life of the regulated unit, and for units where hazardous waste will remain after closure, during the post-closure care period as well.
(b) All or part of the environmental monitoring requirements of this article shall be waived if the owner or operator demonstrates to the satisfaction of the Department that hazardous waste will not migrate from the regulated unit during the active life of the unit (including the closure period) and the post-closure care period and that any waste remaining in the unit does not pose a threat to human health and the environment. These demonstrations shall be in writing, and shall be kept at the facility. The demonstration that gas, vapor or airborne solids will not migrate shall be certified by an independent, qualified chemical engineer. The demonstration that liquid will not migrate shall be certified by an independent, certified engineering geologist or professional civil engineer registered in California and shall establish the following:
(1) the potential for migration of hazardous waste or hazardous waste constituents from the regulated unit via transport through soil, water or air;
(2) the potential for migration of hazardous waste or hazardous waste constituents from the regulated unit to ground water, by an evaluation of:
(A) a water balance of precipitation, evapotranspiration, runoff and infiltration;
(B) unsaturated zone characteristics (i.e., geologic materials, physical properties and depth to ground water).
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.711. Environmental Monitoring System for Interim Status Facilities.
Note     •     History

The owner or operator of a regulated unit that contains hazardous waste, or discarded hazardous material, that contains a volatile toxic substance, or a hazardous material that can become airborne, or that can decompose or react to form a volatile toxic substance or toxic gas, shall provide for representative sampling and analysis of air upwind and at the disposal area and of air in the vapor space at vapor and gas monitoring wells, established by the owner or operator to the satisfaction of the Department. Such monitoring shall be conducted throughout the active life and the post-closure care period of the facility. Vapor and gas monitoring wells shall be covered with collection chambers. The owner or operator shall provide inside the collection chambers probes or equivalent methodologies that actively sense the concentration of substances specified pursuant to section 66265.712(b). If necessary to protect human health or the environment, the owner or operator shall provide instrumentation that provides continuous recording of concentrations of substances in open air and in atmosphere at vapor wells.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.712. Sampling and Analysis for Interim Status Facilities.
Note     •     History

(a) The owner or operator shall develop and follow an environmental sampling and analysis plan that satisfies the requirements of this articlenalysis plan that satisfies the requirements of this article. The owner or operator shall submit this plan to the Department within 90 days of July 1, 1991. The owner or operator shall submit all modifications to the environmental sampling and analysis plan to the Department and shall maintain an updated version of the environmental sampling and analysis plan in the operating record at the facility. The Department shall require the owner or operator to modify the environmental sampling and analysis plan as necessary to protect human health or the environment.
(b) Samples will be analyzed for those substances specified in the environmental sampling and analysis plan. Unless the Department approves an alternate list of monitoring parameters, the owner or operator shall analyze the samples to determine the concentration of all constituents that cause waste at the regulated unit to be hazardous waste. The owner or operator shall specify for the regulated unit the location and frequency of monitoring and the type of statistical test that will be used. The owner or operator shall submit a report to the Department that indicates the results of the analysis and the concentrations of constituents in the air and soil-pore gas sampled. The report shall be submitted to the Department within 30 days of the date and time analyses are completed.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.713. Preparation, Evaluation and Response for Interim Status Facilities.
Note     •     History

(a) Within one year after July 1, 1991, the owner or operator shall prepare a comprehensive environmental monitoring program capable of determining:
(1) whether hazardous waste or hazardous waste constituents have migrated from the facility in air or in soil-pore gas;
(2) the rate and extent of migration of hazardous waste or hazardous waste constituents in air and in soil-pore gas;
(3) the concentrations of hazardous waste or hazardous waste constituents in air and in soil-pore gas.
(b) If the owner or operator determines through the environmental monitoring pursuant to section 66265.712, or the comprehensive environmental monitoring pursuant to subsection (a) of this section, that hazardous waste or hazardous waste constituents have migrated from the regulated unit through air or soil-pore gas, the owner or operator shall, within 15 days of such determination, develop and submit to the Department a specific plan, certified by a qualified certified engineering geologist or qualified geologist or geotechnical engineer or civil engineer registered in California, for an environmental quality assessment program at the facility.
(c) The plan to be submitted under subsection (b) of this section shall specify:
(1) the number, location and depth of sampling stations;
(2) sampling and analytical methods for those hazardous wastes or hazardous waste constituents in the regulated unit;
(3) evaluation procedures, including any use of previously gathered information on the chemical characteristics of soil, soil-pore gas, and air;
(4) a schedule of implementation.
(d) The owner or operator shall implement the environmental quality assessment plan which satisfies the requirements of subsection (c) of this section and, at a minimum, determine:
(1) the rate and extent of migration of the hazardous waste or hazardous waste constituents in air or in soil-pore gas;
(2) the concentrations of the hazardous waste or hazardous waste constituents in air and in soil-pore gas.
(e) The owner or operator shall make the first determination under subsection (d) of this section as soon as technically feasible and, within 15 days after that determination, submit to the Department a written report containing an assessment of the environmental quality.
(f) If the owner or operator determines to the satisfaction of the Department, based on the results of the first determination under subsection (d) of this section, that no hazardous waste or hazardous waste constituents have migrated from the regulated unit, then the owner or operator may reinstate the indicator evaluation program described in section 66265.712. If the owner or operator reinstates the indicator evaluation program, the owner or operator shall so notify the Department in the report submitted under subsection (e) of this section.
(g) If the owner or operator determines, based on the first determination under subsection (d) of this section, that hazardous waste or hazardous waste constituents have migrated from the facility, then the owner or operator:
(1) shall continue to make the determinations required under subsection (d) of this section on a quarterly basis until final closure of the facility, if the environmental quality assessment plan was implemented prior to final closure of the facility; or
(2) may cease to make the determinations required under subsection (d) of this section, if the environmental quality assessment plan was implemented during the post-closure care period.
(h) Notwithstanding any other provision of this article, any environmental quality assessment to satisfy the requirements of section 66265.713(d) which is initiated prior to final closure of the facility shall be completed and reported in accordance with section 66265.713(e).
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66265.714. Recordkeeping and Reporting at Interim Status Facilities.
Note     •     History

(a) Unless the owner or operator provides monitoring that satisfies the requirements of section 66265.713(d), the owner or operator shall report monitoring information to the Department at least annually, including the concentrations or values of the parameters in accordance with section 66265.712 for each sampling station.
(b) If the owner or operator provides monitoring that satisfies the requirements of section 66265.713(d), the owner or operator shall:
(1) keep records of the analyses and evaluations specified in the plan, which satisfies the requirements of section 66265.713(c), throughout the active life of the facility and, for disposal facilities, throughout the post-closure care period as well;
(2) annually, until final closure of the facility, submit to the Department a report containing the results of the environmental quality assess-- ment program which includes, but is not limited to, the calculated (or measured) rate of migration of hazardous waste or hazardous waste constituents in soil, soil-pore gas, and in air during the reporting period. This report shall be submitted as part of the annual report required under section 66265.75.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).

Appendix I

Recordkeeping Instructions
The recordkeeping provisions of section 66265.73 specify that an owner or operator shall keep a written operating record at the facility. This appendix provides additional instructions for keeping portions of the operating record. See section 66265.73(b) for additional recordkeeping requirements.
The following information shall be recorded, as it becomes available, and maintained in the operating record until closure of the facility in the following manner:
(a) records of each hazardous waste received, transferred, treated, stored, or disposed of at the facility which include the following:
(1) a description by its common name and any applicable EPA Hazardous Waste Number or California Hazardous Waste Number from chapter 11 of this division which apply to the waste. The waste description also shall include the waste's physical form, i.e., liquid, sludge, solid, or contained gas. If the waste is not listed in chapter 11, article 4 or Appendix XII of this division, the description also shall include the process that produced it (for example, solid filter cake from production of ---, EPA Hazardous Waste Number W051).
Each hazardous waste listed in chapter 11, article 4, of this division, and each hazardous waste characteristic defined in chapter 11, article 3, of this division, has a four-digit EPA Hazardous Waste Number and/or a three-digit California Hazardous Waste Number assigned to it. This number shall be used for recordkeeping and reporting purposes. Where a hazardous waste contains more than one listed hazardous waste, or where more than one hazardous waste characteristic applies to the waste, the waste description shall include all applicable EPA and California Hazardous Waste Numbers;
(2) the estimated or manifest-reported weight, or volume and density, where applicable, in one of the units of measure specified in Table 1; and

Table 1

  Unit of Measurement	Code1	

Gallons		G
Gallons per Hour		E
Gallons per Day		U
Liters		L
Liters per Hour		H
Liters per Day		V
Short Tons per Hour		D
Metric Tons per Hour		W
Short Tons per Day		N
Metric Tons per Day		S
Pounds per Hour		J
Kilograms per Hour		R
Cubic Yards		Y
Cubic Meters		C
Acres		B
Acre-feet		A
Hectares		Q
Hectare-meter		F
Btu's per Hour		I
1Single digit symbols are used here for data processing purposes.
(3) the method(s) (by handling code(s) as specified in Table 2) and date(s) of treatment, storage, or disposal:

Table 2
Handling Codes for Treatment, Storage,
and Disposal Methods
Enter the handling code(s) listed below that most closely represents the technique(s) used at the facility to treat, store, or dispose of each quantity of hazardous waste received.

 1. STORAGE

S01	Container (barrel, drum, etc.)
S02	Tank
S03	Waste pile
S04	Surface impoundment
S05	Drip Pad
S06	Containment Building (Storage)
S99	Other Storage (specify)

2. TREATMENT

 (a) Thermal Treatment
T06	Liquid injection incinerator
T07	Rotary kiln incinerator
T08	Fluidized bed incinerator
T09	Multiple hearth incinerator
T10	Infrared furnace incinerator
T11	Molten salt destructor
T12	Pyrolysis
T13	Wet air oxidation
T14	Calcination
T15	Microwave discharge
T18	Other (specify)

 (b) Chemical Treatment
T19	Absorption mound
T20	Absorption field
T21	Chemical fixation
T22	Chemical oxidation
T23	Chemical precipitation
T24	Chemical reduction
T25	Chlorination
T26	Chlorinolysis
T27	Cyanide destruction
T28	Degradation
T29	Detoxification
T30	Ion exchange
T31	Neutralization
T32	Ozonation
T33	Photolysis
T34	Other (specify)

 (c) Physical Treatment:
 (1) Separation of components
T35	Centrifugation
T36	Clarification
T37	Coagulation
T38	Decanting
T39	Encapsulation
T40	Filtration
T41	Flocculation
T42	Flotation
T43	Foaming
T44	Sedimentation
T45	Thickening
T46	Ultrafiltration
T47	Other (specify)

 (2) Removal of Specific Components
T48	Absorption-molecular sieve
T49	Activated carbon
T50	Blending
T51	Catalysis
T52	Crystallization
T53	Dialysis
T54	Distillation
T55	Electrodialysis
T56	Electrolysis
T57	Evaporation
T58	High gradient magnetic separation
T59	Leaching
T60	Liquid ion exchange
T61	Liquid-liquid extraction
T62	Reverse osmosis
T63	Solvent recovery
T64	Stripping
T65	Sand filter
T66	Other (specify)

 (d) Biological Treatment
T67	Activated sludge
T68	Aerobic lagoon
T69	Aerobic tank
T70	Anaerobic tank
T71	Composting
T72	Septic tank
T73	Spray irrigation
T74	Thickening filter
T75	Trickling filter
T76	Waste stabilization pond
T77	Other (specify)
T78	[Reserved]
T79	[Reserved]

 (e) Boiler and Industrial Furnaces
T80	Boiler
T81	Cement Kiln
T82	Lime Kiln
T83	Aggregate Kiln
T84	Phosphate Kiln
T85	Coke Oven
T86	Blast Furnace
T87	Smelting, Melting, or Refining Furnace
T88	Titanium Dioxide Chloride Process Oxidation Reactor
T89	Methane Reforming Furnace
T90	Pulping Liquor Recovery Furnace
T91	Combustion Device Used in the Recovery of Sulfur Values
	from Spent Sulfuric Acid
T92	Halogen Acid Furnace
T93	Other Industrial Furnaces Listed in 40 CFR 260.10 (specify)

 (f) Other Treatment

T94	Containment Building (Treatment)

 3. DISPOSAL

D79	Underground injection
D80 	Landfill
D81 	Land treatment
D82 	Ocean disposal
D83 	Surface impoundment (to be closed as a landfill)
D99 	Other Disposal (specify)

4. MISCELLANEOUS 

X01	Open Burning/Open Detonation
X02	Mechanical Processing
X03	Thermal Unit
X04	Geologic Repository
X99	Other (specify)

NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Part 265, Appendix I.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment  of tables 1 and 2 and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
3. Change without regulatory effect amending table 2 filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).

Appendix V

Examples of Potentially Incompatible Waste
Many hazardous wastes, when mixed with other waste or materials at a hazardous waste facility, can produce effects which are harmful to human health and the environment, such as (1) heat or pressure, (2) fire or explosion, (3) violent reaction, (4) toxic dusts, mists, fumes, or gases, or (5) flammable fumes or gases.
Below are examples of potentially incompatible wastes, waste components, and materials, along with the harmful consequences which result from mixing materials in one group with materials in another group. The list is intended as a guide to owners or operators of transfer, treatment, storage, and disposal facilities, and to enforcement and permit granting officials, to indicate the need for special precautions when managing these potentially incompatible waste materials or components.
This list is not intended to be exhaustive. An owner or operator shall, as the regulations require, adequately analyze his wastes so that he can avoid creating uncontrolled substances or reactions of the type listed below, whether they are listed below or not.
It is possible for potentially incompatible wastes to be mixed in a way that precludes a reaction (e.g., adding acid to water rather than water to acid) or that neutralizes them (e.g., a strong acid mixed with a strong base), or that controls substances produced (e.g., by generating flammable gases in a closed tank equipped so that ignition cannot occur, and burning the gases in an incinerator).
In the lists below, the mixing of a Group A material with a Group B material may have the potential consequence as noted.

	Group 1-A	Group 1-B

Acetylene sludge	Acid sludge
Akaline caustic liquids	Acid and water
Alkaline cleaner	Battery acid
Alkaline corrosive liquids	Chemical cleaners
Alkaline corrosive battery fluid	Electrolyte, acid
Caustic wastewater	Etching acid liquid
 or solvent	Pickling liquor and
Lime sludge and other	 other corrosive acids
 corrosive alkalies	Spent acid
Lime wastewater	Spent mixed acid
Lime and water	Spent sulfuric acid
Spent caustic	
		
 Potential consequences: Heat generation; violent reaction.

			
	Group 2-A	Group 2-B

Aluminum	Any waste in Group 1-A or 1-B
Beryllium
Calcium
Lithium
Magnesium
Potassium
Sodium
Zinc powder
Other reactive metals and metal hydrides
		
 Potential consequences: Fire or explosion; generation of flammable hydrogen gas.

			
	Group 3-A	Group 3-B

Alcohols	Any concentrated waste
	 in Groups 1-A or 1-B
Water	Calcium
	Lithium
	Potassium
	PCl3, CH3SiCl3
	Metal hydrides
	SO2Cl2, SOCl2,
	Other water-
	 reactive waste
		
 Potential consequences: Fire, explosion, or heat generation; generation of flammable or toxic gases.

			
	Group 4-A	Group 4-B

Alcohols	Concentrated Group
	 1-A or 1-B wastes
Aldehydes	Group 2-A wastes
Halogenated hydrocarbons
Nitrated hydrocarbons
Unsaturated hydrocarbons
Other reactive organic compounds
 and solvents
		
 Potential consequences: Fire, explosion, or violent reaction.

			
	Group 5-A	Group 5-B

Spent cyanide and sulfide solutions	Group 1-B wastes
		
 Potential consequences: Generation of toxic hydrogen cyanide or hydrogen sulfide gas.

			
	Group 6-A	Group 6-B

Chlorates	Acetic acid and
Chlorine	 other organic
Chlorites	 acids
Chromic acid	Concentrated
Hyphochlorites	 mineral acides
Nitrates	Group 2-A wastes
Nitric acid, fuming	Group 4-A wastes
Perchlorates	Other flammable and
Permanganates	 combustible wastes
Peroxides
Other strong oxidizers
		
 Potential consequences: Fire, explosion, or violent reaction.
Source: “Law, Regulations, and Guidelines for Handling of Hazardous Waste.” California Department of Health, February 1975.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 208, 25159 and 25159.5, Health and Safety Code; 40 CFR Part 265, Appendix V.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).

Appendix VI

Suggested Detection Monitoring Analytes
This list is intended as a guide to owners or operators of treatment, storage and disposal facilities, and to enforcement and permit granting officials, to assist in the selection of appropriate monitoring parameters for specification in the water quality sampling and analysis plan. The Department is not requiring that all facilities use this list, but the Department believes that these are the best leak indicators for the majority of units, especially if the unit contains a variety of wastes. This list is called Leak Detection Analytes and is made up of volatile organics, hazardous metals and pH (hydrogen ion).
Investigations by USEPA's Environmental Monitoring Systems Laboratory in Las Vegas, Nevada, and others, have shown that most (as high as 70 percent) of the compounds leaking from RCRA sites are volatile organics. This preponderance of volatiles is not surprising since these compounds would be more likely to move quickly and easily through the environment given their volatility. Therefore, it is logical to conclude that volatile organics would be among the best indicators for early detection of a release.
The rest of the Leak Detection Analytes list is made up of those metals that are amenable to the basic inductively coupled plasma (icp) scan and pH. The metals were chosen because they make up the second most common group of substances that leak from hazardous waste land disposal units, and therefore, are also expected to be excellent leak indicators. pH was chosen because of its all around utility in environmental monitoring and data interpretation. pH was also chosen because of its ability to indicate leaks that otherwise might not be indicated because no single substance has exceeded a detectable level.

Leak Detection Analytes

	Volatile Organics	Metals

Acetone	Antimony
Acrolein	Barium
Acrylonitrile	Beryllium
Allyl chloride	Cadmium
Benzene	Chromium 
Bromodichloromethane	Cobalt
Bromoform	Copper
Carbon disulfide	Lead
Carbon tetracholoride	Nickel
Chlorobenzene	Selenium
Chloroethane	Thallium
Chloroform	Vanadium
Chloroprene	Zinc 
Dibromochloromethane
1,2-Dibromo-3-chloropropane
 pH
1,2-Dibromoethane
trans-1,4-Dichloro-2-butene
Dichlorodifluoromethane
1,1-Dichloroethane
1,2-Dichloroethane
trans-1,2-Dichloroethylene
1,2-Dichloropropane
trans-1,3-Dichloropropene
cis-1,3-Dichloropropene

Ethyl methacrylate
2-Hexanone
Methacrylonitrile
Methyl bromide
Methyl chloride
Methylene bromide
Methylene chloride
Methyl ethyl ketone
Methyl iodide
Methyl methacrylate
4-Methyl-2-pentanone
Pentachloroethane
2-Picoline
Propionitrile
Pyridine
Styrene
1,1,1,2-Tetrachloroethane
1,1,2,2-Tetrachloroethane
Tetrachloroethylene
Toluene
1,1,1-Trichloroethane
1,1,2-Trichloroethane
Trichloroethylene
Trichlorofluoromethane
1,2,3-Trichloropropane
Vinyl acetate
Vinyl chloride
Xylene
		
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Part 264, Appendix IX.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 27. Air Emission Standards for Process Vents
§66265.1030. Applicability.
Note     •     History

(a) The requirements of this article apply to owners and operators of facilities that treat, store, or dispose of RCRA hazardous wastes (except as provided in Section 66265.1).
(b) Except for Section 66265.1034(d) and (e), this article applies to process vents associated with distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operations that manage RCRA hazardous wastes with organic concentrations of at least 10 ppmw, if these operations are conducted in:
(1) units that are subject to the permitting requirements of chapter 20; or
(2) hazardous waste recycling units that are located on hazardous waste management facilities otherwise subject to the federal RCRA TSDF permitting requirements of chapter 20; or
(3) a unit that is exempt from permitting under the provisions of 66262.34(a) (i.e., a “90-day” tank or container) and is not a recycling unit under the requirements of 66261.6. [NOTE: The requirements of sections 66265.1032 through 66265.1036 apply to process vents on hazardous waste recycling units previously exempt under section 66261.6(c)(1). Other exemptions under sections 66261.4 and 66265.1(c) are not affected by these requirements.]
(c) The requirements of this article do not apply to the process vents at a facility where the facility owner or operator certifies that all of the process vents that would otherwise be subject to this article are equipped with and operating air emission controls in accordance with the process vent requirements of an applicable Clean Air Act regulation codified under regulations at 40 CFR parts 60, 61, or 63 shall be kept with, or made readily available with, the facility operating record.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 265.1030.
HISTORY

1. New article 27 (sections 66265.1030-66265.1035) filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (b)(2) and adding subsections (b)(3) and (c) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1032. Standards: Process Vents.
Note     •     History

(a) The owner or operator of a facility with process vents associated with distillation, fractionation, thin-film evaporation, solvent extraction or air or steam stripping operations managing hazardous wastes with organic concentrations at least 10 ppmw shall either:
(1) reduce total organic emissions from all affected process vents at the facility below 1.4 kg/h (3 1b/h) and 2.8 Mg/yr (3.1 tons/yr); or
(2) reduce, by use of a control device, total organic emissions from all affected process vents at the facility by 95 weight percent.
(b) If the owner or operator installs a closed-vent system and control device to comply with the provisions of Subsection (a) of this section, the closed-vent system and control device shall meet the requirements of Section 66265.1033.
(c) Determinations of vent emissions and emission reductions or total organic compound concentrations achieved by add-on control devices may be based on engineering calculations or performance tests. If performance tests are used to determine vent emissions, emission reductions, or total organic compound concentrations achieved by add-on control devices, the performance tests shall conform with the requirements of Section 66265.1034(c).
(d) When an owner or operator and the Department do not agree on determinations of vent emissions and/or emission reductions or total organic compound concentrations achieved by add-on control devices based on engineering calculations, the test methods in Section 66265.1034(c) shall be used to resolve the disagreement.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 66265.1032.
HISTORY

1. New section  filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66265.1033. Standards: Closed-Vent Systems and Control Devices.
Note     •     History

(a)(1) Owners or operators of closed-vent systems and control devices used to comply with provisions of this chapter shall comply with the provisions of this section.
(2)(A) The owner or operator of an existing facility who cannot install a closed-vent system and control device to comply with the provisions of this article on the effective date that the facility becomes subject to the requirements of this article must prepare an implementation schedule that includes dates by which the closed-vent system and control device will be installed and in operation. The controls must be installed as soon as possible, but the implementation schedule may allow up to 30 months after the effective date that the facility becomes subject to this article for installation and startup.
(B) Any unit that begins operation after December 21, 1990, and is subject to the requirements of this article when operation begins, shall comply with the rules immediately (i.e., must have control devices installed and operating on startup of the affected unit); the 30-month implementation schedule does not apply.
(C) The owner or operator of any facility in existence on the effective date of a statutory or Department regulatory amendment that renders the facility subject to this article shall comply with all requirements of this article as soon as practicable but no later than 30 months after the amendment's effective date. When control equipment required by this article cannot be installed and begin operation by the effective date of the amendment, the facility owner or operator shall prepare an implementation schedule that includes the following information: Specific calendar dates for award of contracts or issuance of purchase orders for the control equipment, initiation of on-site installation of the control equipment, completion of the control equipment installation, and performance of any testing to demonstrate that the installed equipment meets the applicable standards of this article. The owner or operator shall enter the implementation schedule in the operating record or in a permanent, readily available file located at the facility.
(D) Owners and operators of facilities and units that become newly subject to the requirements of this article after December 8, 1997, due to an action other than those described in subsection (a)(2)(C) of this section must comply with all applicable requirements immediately (i.e., must have control devices installed and operating on the date the facility or unit becomes subject to this article; the 30-month implementation schedule does not apply).
(b) A control device involving vapor recovery (e.g., a condenser or adsorber) shall be designed and operated to recover the organic vapors vented to it with an efficiency of 95 weight percent or greater unless the total organic emission limits of Section 66265.1032(a)(1) for all affected process vents can be attained at an efficiency less than 95 weight percent.
(c) An enclosed combustion device (e.g., a vapor incinerator, boiler, or process heater) shall be designed and operated to reduce the organic emissions vented to it by 95 weight percent or greater; to achieve a total organic compound concentration of 20 ppmv, expressed as the sum of the actual compounds, not carbon equivalents, on a dry basis corrected to three percent oxygen; or to provide a minimum residence time of 0.50 seconds at a minimum temperature of 760 degrees C. If a boiler or process heater is used as the control device, then the vent stream shall be introduced into the flame combustion zone of the boiler or process heater.
(d)(1) A flare shall be designed for and operated with no visible emissions as determined by the methods specified in subsection (3)(1) of this section, except for periods not to exceed a total of five minutes during any two consecutive hours.
(2) A flare shall be operated with a flame present at all times, as determined by the methods specified in subsection (f)(2)(C) of this section.
(3) a flare shall be used only if the net heating value of the gas being combusted is 11.2 MJ/scm (300 Btu/scf) or greater, if the flare is steam-assisted or air-assisted; or if the net heating value of the gas being combusted is 7.45 MJ/scm (200 Btu/scf) or greater if the flare is non-assisted. The net heating value of the gas being combusted shall be determined by the methods specified in subsection (e)(2) of this section.
(4)(A) A steam-assisted or non-assisted flare shall be designed for and operated with an exit velocity, as determined by the methods specified in subsection (e)(3) of this section, of less than 18.3 m/s (60 ft/s), except as provided in subsections (d)(4)(B) and (C) of this section.
(B) A steam-assisted or non-assisted flare designed for and operated with an exit velocity, as determined by the methods specified in subsection (e)(3) of this section, equal to or greater than 18.3 m/s (60 ft/s) but less than 122 m/s (400 ft/s) is allowed if the net heating value of the gas being combusted is greater than 37.3 MJ/scm (1,000 Btu/scf).
(C) a steam-assisted or non-assisted flare designed for and operated with an exit velocity, as determined by the methods specified in subsection (e)(3) of this section, less than the velocity, V MAX, as determined by the method specified in subsection (e)(4) of this section, and less than 122 m/s (400 ft/s) is allowed.
(5) An air-assisted flare shall be designed and operated with an exit velocity less than the velocity, V MAX, as determined by the method specified in subsection (e)(5) of this section.
(6) A flare used to comply with this section shall be steam- assisted, air-assisted, or non-assisted.
(e)(1) Reference Method 22 in 40 CFR, Part 60 shall be used to determine the compliance of a flare with the visible emission provisions of this article. The observation period is two hours and shall be used according to Method 22.
(2) The net heating value of the gas being combusted in a flare shall be calculated using the following equation:

n

Ht= K [ R CiHi ]

i=1

where:

Ht =	Net heating value of the sample, MJ/scm; where the net enthalpy per mole of off-gas is based on combustion at 25 degrees C and 760 mm Hg, but the standard temperature for determining the volume corresponding to 1 mol is 20 degrees C;

K =	Constant, 1.74 X 10 -7 (1/ppm) (g mol/scm) (MJ/kcal) where standard temperature for (g mol/scm) is 20 degrees C;

Ci =	Concentration of sample component i in ppm on a wet basis, as measured for organics by Reference Method 18 in 40 CFR, Part 60 and measured for hydrogen and carbon monoxide by ASTM D 1946-82 (incorporated by reference as specified in Section 66260.11); and

Hi =	Net heat of combustion of sample component i, kcal/g mol at 25 degrees C and 760 mm Hg. The heats of combustion may be determined using ASTM D 2382-83 (incorporated by reference as specified in Section 66260.11) if published values are not available or cannot be calculated.
(3) The actual exit velocity of a flare shall be determined by dividing the volumetric flow rate (in units of standard temperature and pressure), as determined by Reference Methods 2, 2A, 2C, or 2D in 40 CFR, Part 60 as appropriate, by the unobstructed (free) cross-sectional area of the flare tip.
(4) The maximum allowed velocity in m/s, Vmax , for a flare complying with subsection (d)(4)(C) of this section shall be determined by the following equation:

Log10 (Vmax ) = (Ht + 28.8)/31.7

where:

Ht =	The net heating value as determined in subsection (e)(2) of this section.

28.8 =	Constant.

31.7 =	Constant.
(5) The maximum allowed velocity in m/s, Vmax , for an air- assisted flare shall be determined by the following equation:

Vmax =	8.706 + 0.7084 (Ht)

where:

8.706 =	Constant.

0.7084 =	Constant.

Ht =	The net heating value as determined in subsection (e)(2) of this section.
(f) The owner or operator shall monitor and inspect each control device required to comply with this section to ensure proper operation and maintenance of the control device by implementing the following requirements:
(1) install, calibrate, maintain, and operate according to the manufacturer's specifications a flow indicator that provides a record of vent stream flow from each affected process vent to the control device at least once every hour. The flow indicator sensor shall be installed in the vent stream at the nearest feasible point to the control device inlet, but before being combined with other vent streams;
(2) install, calibrate, maintain, and operate according to the manufacturer's specifications a device to continuously monitor control device operation as specified below:
(A) for a thermal vapor incinerator, a temperature monitoring device equipped with a continuous recorder. The device shall have an accuracy of +/- 1 percent of the temperature being monitored in degrees C or +/- 0.5 degrees C, whichever is greater. The temperature sensor shall be installed at a location in the combustion chamber downstream of the combustion zone;
(B) for a catalytic vapor incinerator, a temperature monitoring device equipped with a continuous recorder. The device shall be capable of monitoring temperature at two locations and have an accuracy of +/- 1 percent of the temperature being monitored in degrees C or +/- 0.5 degrees C, whichever is greater. One temperature sensor shall be installed in the vent stream at the nearest feasible point to the catalyst bed inlet and a second temperature sensor shall be installed in the vent stream at the nearest feasible point to the catalyst bed outlet;
(C) for a flare, a heat sensing monitoring device equipped with a continuous recorder that indicates the continuous ignition of the pilot flame;
(D) for a boiler or process heater having a design heat input capacity less than 44 MW, a temperature monitoring device equipped with a continuous recorder. The device shall have an accuracy of +/- 1 percent of the temperature being monitored in degrees C or +/- 0.5 degrees C, whichever is greater. The temperature sensor shall be installed at a location in the furnace downstream of the combustion zone;
(E) for a boiler or process heater having a design heat input capacity greater than or equal to 44 MW, a monitoring device equipped with a continuous recorder to measure a parameter(s) that indicates good combustion operating practices are being used;
(F) for a condenser, either:
1. a monitoring device equipped with a continuous recorder to measure the concentration level of the organic compounds in the exhaust vent stream from the condenser; or
2. a temperature monitoring device equipped with a continuous recorder. The device shall be capable of monitoring temperature with an accuracy of +1 percent of the temperature being monitored in degrees Celsius (oC) or + 0.5 oC, whichever is greater. The temperature sensor shall be installed at a location in the exhaust vent stream from the condenser exit (i.e., product side).
(G) for a  carbon adsorption system such as a fixed-bed carbon adsorber that regenerates the carbon bed directly in the control device, either:
1. a monitoring device equipped with a continuous recorder to measure the concentration level of the organic compounds in the exhaust vent stream from the carbon bed; or
2. a monitoring device equipped with a continuous recorder to measure a parameter that indicates the carbon bed is regenerated on a regular, predetermined time cycle;
(3) inspect the readings from each monitoring device required by subsections (f)(1) and (2) of this section at least once each operating day to check control device operation and, if necessary, immediately implement the corrective measures necessary to ensure the control device operates in compliance with the requirements of this section.
(g) An owner or operator using a carbon adsorption system such as a fixed-bed carbon adsorber that regenerates the carbon bed directly on-site in the control device, shall replace the existing carbon in the control device with fresh carbon at a regular, pre-determined time interval that is no longer than the carbon service life established as a requirement of Section 66265.1035(b)(4)(C)6.
(h) An owner or operator using a carbon adsorption system such as a carbon canister that does not regenerate the carbon bed directly on-site in the control device shall replace the existing carbon in the carbon device with fresh carbon on a regular basis by using one of the following procedures:
(1) monitor the concentration level of the organic compounds in the exhaust vent system from the carbon adsorption system on a regular schedule and replace the existing carbon with fresh carbon immediately when carbon breakthrough is indicated. The monitoring frequency shall be daily or at an interval no greater than twenty (20) percent of the time required to consume the total carbon working capacity established as a requirement of Section 66265.1035(b)(4)(C)7, whichever is longer; and
(2) replace the existing carbon with fresh carbon at a regular, pre-determined time interval that is less than the design carbon replacement interval established as a requirement of Section 66265.1035(b)(4)(C)7.
(i) An owner or operator of an affected facility seeking to comply with the provisions of this part by using a control device other than a thermal vapor incinerator, catalytic vapor incinerator, flare, boiler, process heater, condenser, or carbon adsorption system shall develop documentation including sufficient information to describe the control device operation and identify the process parameter or parameters that indicate proper operation and maintenance of the control device.
(j) A closed-vent system shall meet either of the following design requirements:
(1) A closed-vent system shall be designed to operate with no detectable emissions, as indicated by an instrument reading of less than 500 ppmv above background as determined by the procedure in section 66265.1034(b), and by visual inspections; or
(2) A closed-vent system shall be designed to operate at a pressure below atmospheric pressure. The system shall be equipped with at least one pressure gauge or other pressure measurement device that can be read from a readily accessible location to verify that negative pressure is being maintained in the closed-vent system when the control device is operating.
(k) The owner or operator shall monitor and inspect each closed-vent system required to comply with this section to ensure proper operation and maintenance of the closed-vent system by implementing the following requirements:
(1) Each closed-vent system that is used to comply with subsection (j)(1) of this section shall be inspected and monitored in accordance with the following requirements:
(A) An initial leak detection monitoring of the closed-vent system shall be conducted by the owner or operator on or before the date that the system becomes subject to this section. The owner or operator shall monitor the closed-vent system components and connections using the procedures specified in section 66265.1034(b) to demonstrate that the closed-vent system operates with no detectable emissions, as indicated by an instrument reading of less than 500 ppmv above background.
(B) After initial leak detection monitoring required in subsection (k)(1)(A) of this section, the owner or operator shall inspect and monitor the closed-vent system as follows:
1. Closed-vent system joints, seams, or other connections that are permanently or semi-permanently sealed (e.g., a welded joint between two sections of hard piping or a bolted and gasketed ducting flange) shall be visually inspected at least once per year to check for defects that could result in air pollutant emissions. The owner or operator shall monitor a component or connection using the procedures specified in section 66265.1034(b) to demonstrate that it operates with no detectable emissions following any time the component is repaired or replaced (e.g., a section of damaged hard piping is replaced with new hard piping) or the connection is unsealed (e.g., a flange is unbolted).
2. Closed-vent system components or connections other than those specified in subsection (k)(1)(B)1. of this section shall be monitored annually and at other times as requested by the Department, except as provided for in subsection (n) of this section, using the procedures specified in section 265.1034(b) of this article to demonstrate that the components or connections operate with no detectable emissions.
(C) In the event that a defect or leak is detected, the owner or operator shall repair the defect or leak in accordance with the requirements of subsection (k)(3) of this section.
(D) The owner or operator shall maintain a record of the inspection and monitoring in accordance with the requirements specified in section 66265.1035.
(2) Each closed-vent system that is used to comply with subsection (j)(2) of this section shall be inspected and monitored in accordance with the following requirements:
(A) The closed-vent system shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to, visible cracks, holes, or gaps in ductwork or piping or loose connections.
(B) The owner or operator shall perform an initial inspection of the closed-vent system on or before the date that the system becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year.
(C) In the event that a defect or leak is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (k)(3) of this section.
(D) The owner or operator shall maintain a record of the inspection and monitoring in accordance with the requirements specified in section 66265.1035.
(3) The owner or operator shall repair all detected defects as follows:
(A) Detectable emissions, as indicated by visual inspection, or by an instrument reading greater than 500 ppmv above background, shall be controlled as soon as practicable, but not later than 15 calendar days after the emission is detected, except as provided for in subsection (k)(3)(C) of this section.
(B) A first attempt at repair shall be made no later than 5 calendar days after the emission is detected.
(C) Delay of repair of a closed-vent system for which leaks have been detected is allowed if the repair is technically infeasible without a process unit shutdown, or if the owner or operator determines that emissions resulting from immediate repair would be greater than the fugitive emissions likely to result from delay of repair. Repair of such equipment shall be completed by the end of the next process unit shutdown.
(D) The owner or operator shall maintain a record of the defect repair in accordance with the requirements specified in section 66265.1035.
(l) Closed-vent systems and control devices used to comply with provisions of this article shall be operated at all times when emissions may be vented to them.
(m) The owner or operator using a carbon adsorption system to control air pollutant emissions shall document that all carbon that is a hazardous waste and that is removed from the control device is managed in one of the following manners, regardless of the average volatile organic concentration of the carbon:
(1) Regenerated or reactivated in a thermal treatment unit that meets one of the following:
(A) The owner or operator of the unit has been issued a final permit under chapter 20 which implements the requirements of chapter 14, article 16; or
(B) The unit is equipped with and operating air emission controls in accordance with the applicable requirements of articles 27 and 30 of either this article or of chapter 14; or
(C) The unit is equipped with and operating air emission controls in accordance with a national emission standard for hazardous air pollutants under 40 CFR part 61 or 40 CFR part 63.
(2) Incinerated in a hazardous waste incinerator for which the owner or operator either:
(A) Has been issued a final permit under chapter 20 which implements the requirements of chapter 14, article 15; or
(B) Has designed and operates the incinerator in accordance with the interim status requirements of article 15 of this chapter.
(3) Burned in a boiler or industrial furnace for which the owner or operator either:
(A) Has been issued a final permit under chapter 20 which implements the requirements of chapter 16, article 8; or
(B) Has designed and operates the boiler or industrial furnace in accordance with the interim status requirements of chapter 16, article 8.
(n) Any components of a closed-vent system that are designated, as described in section 66265.1035(c)(9), as unsafe to monitor are exempt from the requirements of subsection (k)(1)(B)2. of this section if:
(1) The owner or operator of the closed-vent system determines that the components of the closed-vent system are unsafe to monitor because monitoring personnel would be exposed to an immediate danger as a consequence of complying with subsection (k)(1)(B)2. of this section; and
(2) The owner or operator of the closed-vent system adheres to a written plan that requires monitoring the closed-vent system components using the procedure specified in subsection (k)(1)(B)2. of this section as frequently as practicable during safe-to-monitor times.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.1033.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Editorial correction of subsections (f)(2)(A)-(B) (Register 95, No. 50).
3. Change without regulatory effect amending subsection (f)(2)(F)2. filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
4. Change without regulatory effect amending section and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1034. Test Methods and Procedures.
Note     •     History

(a) Each owner or operator subject to the provisions of this article shall comply with the test methods and procedures requirements provided in this section.
(b) When a closed-vent system is tested for compliance with the “no detectable emissions”, requirements in Section 66265.1033(k), the test shall comply with the following requirements:
(1) monitoring shall comply with Reference Method 21 in 40 CFR, part 60;
(2) the detection instrument shall meet the performance criteria of Reference Method 21;
(3) the instrument shall be calibrated before use on each day of its use by the procedures specified in Reference Method 21;
(4) calibration gases shall be:
(A) zero air (less than 10 ppm of hydrocarbon in air);
(B) a mixture of methane or n-hexane and air at a concentration of approximately, but less than, 10,000 ppm methane or n-hexane;
(5) the background level shall be determined as set forth in Reference Method 21;
(6) the instrument probe shall be traversed around all potential leak interfaces as close to the interface as possible as described in Reference Method 21; and
(7) the arithmetic difference between the maximum concentration indicated by the instrument and the background level is compared with 500 ppm for determining compliance.
(c) Performance tests to determine compliance with Section 66265.1032(a) and with the total organic compound concentration limit of Section 66265.1033(c) shall comply with the following:
(1) performance tests to determine total organic compound concentrations and mass flow rates entering and exiting control devices shall be conducted and data reduced in accordance with the following reference methods and calculation procedures:
(A) method 2 in 40 CFR, Part 60, incorporated by reference in Section 66260.11 of this chapter, for velocity and volumetric flow rate;
(B) method 18 in 40 CFR, Part 60, incorporated by reference in Section 66260.11 of this division, for organic content;
(C) each performance test shall consist of three separate runs; each run conducted for at least one hour under the conditions that exist when the hazardous waste management unit is operating at the highest load or capacity level reasonably expected to occur. For the purpose of determining total organic compound concentrations and mass flow rates, the average of results of all runs shall apply. The average shall be computed on a time-weighted basis;
(D) total organic mass flow rates shall be determined by the following equation:

n

Eh= Qsd  [ R CiMWi ] [0.0416] [10-6]

i=1

where:

Eh =	Total organic mass flow rate, kg/h;

Qsd =	Volumetric flow rate of gases entering or exiting control device, as determined by Method 2, dry standard m3 /hour;

n=	Number of organic compounds in the vent gas;

Ci =	Organic concentration in ppm, dry basis, of compound i in the vent gas, as determined by Method 18;

MWi =	Molecular weight of organic compound in the vent gas, kg/kg- mol;

0.0416=	Conversion factor for molar volume, kg-mol/m3 (at 293 K and 760 mm Hg);

10-6 =	Conversion from ppm, ppm-1.
(E) the annual total organic emission rate shall be determined by the following equation:

EA =	(Eh) (H)

where:

EA=	Total organic mass emission rate, kg/y;

Eh =	As determined in paragraph (c)(1)(D) of this section;

H=	Total annual hours of operations for the affected unit, h.
(F) total organic emissions from all affected process vents at the facility shall be determined by summing the hourly total organic mass flow rates (Eh, as determined in subsection (c)(1)(D) of this section) and by summing the annual total organic mass emission rates (EA, as determined in paragraph (c)(1)(E) of this section for all affected process vents at the facility; and
(2) the owner or operator shall record such process information as may be necessary to determine the conditions of the performance tests. Operations during periods of startup, shutdown, and malfunction shall not constitute representative conditions for the purpose of a performance test;
(3) the owner or operator of an affected facility shall provide, or cause to be provided, performance testing facilities as follows:
(A) sampling ports adequate for the test methods specified in subsection (c)(1) of this section.
(B) safe sampling platform(s);
(C) safe access to sampling platform(s); and
(D) utilities for sampling and testing equipment; and
(4) for the purpose of making compliance determinations, the time-weighted average of the results of the three runs shall apply. In the event that a sample is accidentally lost or conditions occur in which one of the three runs must be discontinued because of forced shutdown, failure of an irreplaceable portion of the same train, extreme meteorological conditions, or other circumstances beyond the owner's or operator's control, compliance may, upon the Department's written approval, be determined using the average of the results of the two other runs.
(d) To show that a process vent associated with a hazardous waste distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operation is not subject to the requirements of this article, the owner or operator shall make an initial determination that the time-weighted, annual average total organic concentration of the waste managed by the waste management unit is less than 10 ppmw using one of the following two methods:
(1) direct measurement of the organic concentration of the waste using the following procedures:
(A) the owner or operator shall take a minimum of four grab samples of waste for each waste stream managed in the affected unit under process conditions expected to cause the maximum waste organic concentration;
(B) for waste generated on-site, the grab samples shall be collected at a point before the waste is exposed to the atmosphere such as in an enclosed pipe or other closed system that is used to transfer the waste after generation to the first affected distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operation. For waste generated offsite, the grab samples shall be collected at the inlet to the first waste management unit that receives the waste, provided the waste has been transferred to the facility in a closed system such as a tank truck and the waste is not diluted or mixed with other waste;
(C) each sample shall be analyzed and the total organic concentration of the sample shall be computed using Method 9060 or 8260 of SW-846 (incorporated by reference under Section 66260.11); and
(D) the arithmetic mean of the results of the analyses of the four samples shall apply for each waste stream managed in the unit in determining the time-weighted, annual average total organic concentration of the waste. The time-weighted average shall be calculated using the annual quantity of each waste stream processed and the mean organic concentration of each waste stream managed in the unit;
(2) use of knowledge of the waste to determine that its total organic concentration is less than 10 ppmw. Documentation of the waste determination is required. Examples of documentation that shall be used to support a determination under this provision include production process information documenting that no organic compounds are used, information that the waste is generated by a process that is identical to a process at the same or another facility that has previously been demonstrated by direct measurement to generate a waste stream having a total organic content less than 10 ppmw, or prior speciation analysis results on the same waste stream where it can also be documented that no process changes have occurred since that analysis that could affect the waste total organic concentration.
(e) The determination that distillation, fractionation, thin- film evaporation, solvent extraction, or air or steam stripping operations manage hazardous wastes with time-weighted annual average total organic concentrations less than 10 ppmw shall be made as follows:
(1) by the effective date that the facility becomes subject to the provisions of this article or by the date when the waste is first managed in a waste management unit, whichever is later; and
(A) for continuously generated waste, annually; or
(B) whenever there is a change in the waste being managed or a change in the process that generates or treats the waste.
(f) When an owner or operator and the Department do not agree on whether a distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operation manages a hazardous waste with organic concentrations of at least 10 ppmw based on knowledge of the waste, the procedures in Method 8260 of SW-846 (incorporated by reference under section 66260.11) shall be used to resolve the dispute.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 265.1034.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (c)(1)(F) filed 12-28-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 53).
3. Change without regulatory effect amending subsection (c)(1)(F) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
4. Change without regulatory effect amending subsection (b)(4)(B) filed 3-28-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
5. Amendment of subsections (d)(1)(C) and (f) and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
6. Change without regulatory effect amending subsections (a), (b) and (d)(1)(C) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1035. Recordkeeping Requirements.
Note     •     History

(a)(1) Each owner or operator subject to the provisions of this article shall comply with the recordkeeping requirements of this section.
(2) An owner or operator of more than one hazardous waste management unit subject to the provisions of this article may comply with the recordkeeping requirements for these hazardous waste management units in one recordkeeping system if the system identifies each record by each hazardous waste management unit.
(b) Owners and operators shall record or include the following information in the facility operating record:
(1) for facilities that comply with the provisions of Section 66265.1033(a)(2), an implementation schedule that includes dates by which the closed-vent system and control device will be installed and in operation. The schedule shall also include a rationale of why the installation cannot be completed at an earlier date. The implementation schedule shall be in the facility operating record by the effective date that the facility becomes subject to the provisions of this article;
(2) up-to-date documentation of compliance with the process vent standards in Section 66265.1032. including:
(A) information and data identifying all affected process vents, annual throughput and operating hours of each affected unit, estimated emission rates for each affected vent and for the overall facility (i.e., the total emissions for all affected vents at the facility), and the approximate location within the facility of each affected unit (e.g., identify the hazardous waste management units on a facility plot plan); and
(B) information and data supporting determinations of vent emissions and emission reductions achieved by add-on control devices based on engineering calculations or source tests. For the purpose of determining compliance, determinations of vent emissions and emission reductions shall be made using operating parameter values (e.g., temperatures, flow rates or vent stream organic compounds and concentrations) that represent the conditions that result in maximum organic emissions, such as when the waste management unit is operating at the highest load or capacity level reasonably expected to occur. If the owner or operator takes any action (e.g., managing a waste of different composition or increasing operating hours of affected waste management units) that would result in an increase in total organic emissions from affected process vents at the facility, then a new determination is required.
(3) Where an owner or operator chooses to use test data to determine the organic removal efficiency or total organic compound concentration achieved by the control device, a performance test plan. The test plan shall include:
(A) a description of how it is determined that the planned test is going to be conducted when the hazardous waste management unit is operating at the highest load or capacity level reasonably expected to occur. This shall include the estimated or design acceptable operating ranges of key process and control device parameters during the test program;
(B) a detailed engineering description of the closed-vent system and control device including:
1. manufacturer's name and model number of control device;
2. type of control device;
3. dimensions of the control device;
4. capacity;
5. construction materials; and
(C) a detailed description of sampling and monitoring procedures, including sampling and monitoring locations in the system, the equipment to be used, sampling and monitoring frequency, and planned analytical procedures for sample analysis.
(4) Documentation of compliance with Section 66265.1033. Documentation shall include the following information:
(A) a list of all information references and sources used in preparing the documentation;
(B) records, including the dates of each compliance test required by Section 66265.1033(j);
(C) if engineering calculations are used, a design analysis, specifications, drawings, schematics, and piping and instrumentation diagrams based on the appropriate sections of “APTI Course 415: Control of Gaseous Emissions” (incorporated by reference as specified in Section 66260.11) or other engineering texts acceptable to the Department that present basic control device design information. Documentation provided by the control device manufacturer or vendor that describes the control device design in accordance with subsections (b)(4)(C)1 through (b)(4)(C)7 of this section shall be required to be submitted to the Department to comply with this requirement. The design analysis shall address the vent stream characteristics and control device operation parameters as specified below:
1. for a thermal vapor incinerator, the design analysis shall consider the vent stream composition, constituent concentrations, and flow rate. The design analysis shall also establish the design minimum and average temperature in the combustion zone and the combustion zone residence time;
2. for a catalytic vapor incinerator, the design analysis shall consider the vent stream composition, constituent concentrations and flow rate. The design analysis shall also establish the design minimum and average temperatures across the catalyst bed inlet and outlet;
3. for a boiler or process heater, the design analysis shall consider the vent stream composition, constituent concentrations, and flow rate. The design analysis shall also establish the design minimum and average flame zone temperatures, combustion zone residence time, and description of method and location where the vent stream is introduced into the combustion zone;
4. for a flare, the design analysis shall consider the vent stream composition, constituent concentrations, and flow rate. The design analysis shall also consider the requirements specified in Section 66265.1033(d).
5. for a condenser, the design analysis shall consider the vent stream composition, constituent concentrations, flow rate, relative humidity, and temperature. The design analysis shall also establish the design outlet organic compound concentration level, design average temperature of the condenser exhaust vent stream, and design average temperatures of the coolant fluid at the condenser inlet and outlet;
6. for a carbon adsorption system such as a fixed-bed adsorber that regenerates the carbon bed directly on-site in the control device, the design analysis shall consider the vent stream composition, constituent concentrations, flow rate, relative humidity, and temperature. The design analysis shall also establish the design exhaust vent stream organic compound concentration level, number and capacity of carbon beds, type and working capacity of activated carbon used for carbon beds, design total steam flow over the period of each complete carbon bed regeneration cycle, duration of the carbon bed steaming and cooling/drying cycles, design carbon bed temperature after regeneration, design carbon bed regeneration time, and design service life of carbon; and
7. for a carbon adsorption system such as a carbon canister that does not regenerate the carbon bed directly on-site in the control device, the design analysis shall consider the vent stream composition, constituent concentrations, flow rate, relative humidity, and temperature. The design analysis shall also establish the design outlet organic concentration level, capacity of carbon bed, type and working capacity of activated carbon used for carbon bed, and design carbon replacement interval based on the total carbon working capacity of the control device and source operating schedule; and
(D) a statement signed and dated by the owner or operator certifying that the operating parameters used in the design analysis reasonably represent the conditions that exist when the hazardous waste management unit is or would be operating at the highest load or capacity level reasonably expected to occur;
(E) a statement signed and dated by the owner or operator certifying that the control device is designed to operate at an efficiency of 95 percent or greater unless the total organic concentration limit of Section 66265.1032(a) is achieved at an efficiency less than 95 weight percent or the total organic emission limits of Section 66265.1032(a) for affected process vents at the facility can be attained by a control device involving vapor recovery at an efficiency less than 95 weight percent. A statement signed and dated by the control device manufacturer or vendor certifying that the control equipment meets the design specifications may be used to comply with this requirement; and
(F) if performance tests are used to demonstrate compliance, all test results.
(c) Design documentation and monitoring, operating, and inspection information for each closed-vent system and control device required to comply with the provisions of this chapter shall be recorded and kept up-to-date in the facility operating record. The information shall include:
(1) description and date of each modification that is made to the closed-vent system or control device design;
(2) identification of operating parameter, description of monitoring device, and diagram of monitoring sensor location or locations used to comply with Section 66265.1033(f)(1) and (f)(2);
(3) monitoring, operating and inspection information required by subsections (f) through (k) of Section 66265.1033;
(4) date, time, and duration of each period of control device operation when any monitored parameter exceeds the value established in the control device design analysis as specified below:
(A) for a thermal vapor incinerator designed to operate with a minimum residence time of 0.50 seconds at a minimum temperature of 760 degrees C, period when the combustion temperature is below 760 degrees C;
(B) for a thermal vapor incinerator designed to operate with an organic emission reduction efficiency of 95 percent or greater, period when the combustion zone temperature is more than 28 degrees C below the design average combustion zone temperature established as a requirement of subsection (b)(4)(C)1 of this section;
(C) for a catalytic vapor incinerator, period when:
1. temperature of the vent stream at the catalyst bed inlet is more than 28 degrees C below the average temperature of the inlet vent stream established as a requirement of subsection (b)(4)(C)2 of this section; or
2. temperature difference across the catalyst bed is less than eighty (80) percent of the design average temperature difference established as a requirement of subsection (b)(4)(C)2 of this section; and
(D) for a boiler or process heater, period when:
1. flame zone temperature is more than 28 degrees C below the design average flame zone temperature established as a requirement of subsection (b)(4)(C)3 of this section; or
2. position changes where the vent stream is introduced to the combustion zone from the location established as a requirement of subsection (b)(4)(C)3 of this section;
(E) for a flare, period when the pilot flame is not ignited;
(F) for a condenser that complies with Section 66265.1033(f)(2)(F)1, period when the organic compound concentration level or readings of organic compounds in the exhaust vent stream from the condenser are more than twenty (20) percent greater than the design outlet organic compound concentration level established as a requirement of subsection (b)(4)(C)5 of this section;
(G) for a condenser that complies with Section 66265.1033(f)(2)(F)2, period when:
1. temperature of the exhaust vent stream from the condenser is more than 6 degrees C above the design average exhaust vent stream temperature established as a requirement of subsection (b)(4)(C)5 of this section; or
2. temperature of the coolant fluid exiting the condenser is more than 6 degrees C above the design average coolant fluid temperature at the condenser outlet established as a requirement of subsection (b)(4)(C)5 of this section;
(H) for a carbon adsorption system such as a fixed-bed carbon adsorber that regenerates the carbon bed directly on-site in the control device and complies with Section 66265.1033(f)(2)(G)1, period when the organic compound concentration level or readings of organic compounds in the exhaust vent stream from the carbon exhaust vent stream organic compound concentration level established as a requirement of subsection (b)(4)(C)6 of this section;
(I) for a carbon adsorption system such as a fixed-bed carbon adsorber that regenerates the carbon bed directly on-site in the control device and complies with Section 66265.1033(f)(2)(G)2, period when the vent stream continues to flow through the control device beyond the predetermined carbon bed regeneration time established as a requirement of subsection (b)(4)(C)6 of this section;
(5) explanation for each period recorded under subsection (c)(4) of this section of the cause for control device operating parameter exceeding the design value and the measures implemented to correct the control device operation;
(6) for carbon adsorption systems operated subject to requirements specified in Section 66265.1033(g) or Section 66265.1033(h)(2), date when existing carbon in the control device is replaced with fresh carbon;
(7) for carbon adsorption systems operated subject to requirements specified in Section 66265.1033(h)(1), a log that records:
(A) date and time when control device is monitored for carbon breakthrough and the monitoring device reading;
(B) date when existing carbon in the control device is replaced with fresh carbon; 
(8) date of each control device startup and shutdown;
(9) An owner or operator designating any components of a closed-vent system as unsafe to monitor pursuant to section 66265.1033(n) shall record in a log that is kept in the facility operating record the identification of closed-vent system components that are designated as unsafe to monitor in accordance with the requirements of section 66265.1033(n), an explanation for each closed-vent system component stating why the closed-vent system component is unsafe to monitor, and the plan for monitoring each closed-vent system component.
(10) when each leak is detected as specified in section 66265.1033(k), the following information shall be recorded:
(A) the instrument identification number, the closed-vent system component identification number, and the operator name, initials, or identification number;
(B) the date the leak was detected and the date of first attempt to repair the leak;
(C) the date of successful repair of the leak.
(D) maximum instrument reading measured by Method 21 of 40 CFR part 60, appendix A after it is successfully repaired or determined to be nonrepairable.
(E) “Repair delayed” and the reason for the delay if a leak is not repaired within 15 calendar days after discovery of the leak.
1. the owner or operator may develop a written procedure that identifies the conditions that justify a delay of repair. In such cases, reasons for delay of repair may be documented by citing the relevant sections of the written procedure.
2. if delay of repair was caused by depletion of stocked parts, there must be documentation that the spare parts were sufficiently stocked on-site before depletion and the reason for depletion.
(d) Records of the monitoring, operating, and inspection information required by subsections (c)(3) through (c)(10) of this section shall be maintained by the owner or operator for at least 3 years following the date of each occurrence, measurement, maintenance, corrective action, or record.
(e) For a control device other than a thermal vapor incinerator, catalytic vapor incinerator, flare, boiler, process heater, condenser, or carbon adsorption system, monitoring and inspection information indicating proper operation and maintenance of the control device must be recorded in the facility operating record.
(f) Up-to-date information and data used to determine whether or not a process vent is subject to the requirements in Section 66265.1032, including supporting documentation as required by Section 66265.1034(d)(2) when application of the knowledge of the nature of the hazardous waste stream or the process by which it was produced is used, shall be recorded in a log that is kept in the facility operating record.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 265.1035.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (c)(5) filed 12-28-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 53).
3. Change without regulatory effect amending subsection (b)(2) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
4. Change without regulatory effect amending subsections (c)(3) and (c)(7)(B)-(c)(8), adding subsections (c)(9)-(c)(10)(E)2., amending subsection (d) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
Article 28. Air Emissions Standards  for Equipment Leaks
§66265.1050. Applicability.
Note     •     History

(a) The regulations in this article apply to owners and operators of facilities that treat, store, or dispose of RCRA hazardous wastes (except as provided in Section 66265.1).
(b) Except as provided in Section 66265.1064(k), this article applies to equipment that contains or contacts RCRA hazardous wastes with organic concentrations of at least ten percent by weight that are managed in:
(1) a unit that is subject to the permitting requirements of chapter 20, or
(2) a unit (including a hazardous waste recycling unit) that is not exempt from permitting under the provisions of section 66262.34(a) (i.e., a hazardous waste recycling unit that is not a “90-day” tank or container) and that is located at a hazardous waste management facility otherwise subject to the permitting requirements of chapter 20, or
(3) a unit that is exempt from permitting under the provisions of 66262.34(a) (i.e., a “90-day” tank or container) and is not a recycling unit under the provisions of section 66261.6.
(c) Each piece of equipment to which this article applies shall be marked in such a manner that it can be distinguished readily from other pieces of equipment.
(d) Equipment that is in vacuum service is excluded from the requirements of Section 66265.1052 through Section 66265.1060 if it is identified as required in Section 66265.1064(g)(5).
(e) Equipment that contains or contacts hazardous waste with an organic concentration of at least 10 percent by weight for less than 300 hours per calendar year is excluded from the requirements of sections 66265.1052 through 66265.1060 if it is identified, as required in section 66265.1064(g)(6).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 265.1050.
HISTORY

1. New article 28 (sections 66265.1050-66265.1064) filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect repealing subsections (b)(1)-(2), adding new subsections (b)(1)-(3) and (e) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
3. Change without regulatory effect amending subsection (b) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66265.1052. Standards: Pumps in Light Liquid Service.
Note     •     History

(a)(1) Each pump in light liquid service shall be monitored monthly to detect leaks by the methods specified in Section 66265.1063(b), except as provided in subsections (d), (e), and (f) of this section.
(2) Each pump in light liquid service shall be checked by visual inspection each calendar week for indications of liquids dripping from the pump seal.
(b)(1) If an instrument reading of 10,000 or greater is measured, a leak is detected.
(2) If there are indications of liquids dripping from the pump seal, a leak is detected.
(c)(1) When a leak is detected, it shall be repaired as soon as practicable, but not later than fifteen (15) calendar days after it is detected, except as provided in Section 66265.1059.
(2) A first attempt at repair (e.g., tightening the packing gland) shall be made no later than 24 hours after each leak is detected.
(d) Each pump equipped with a dual mechanical seal system that includes a barrier fluid system is exempt from the requirements of subsection (a), provided the following requirements are met:
(1) each dual mechanical seal system shall be:
(A) operated with the barrier fluid at a pressure that is at all times greater than the pump stuffing box pressure; or
(B) equipped with a barrier fluid degassing reservoir that is connected by a closed-vent system to a control device that complies with the requirements of Section 66265.1060; or
(C) equipped with a system that purges the barrier fluid into a hazardous waste stream with no detectable emissions to the atmosphere.
(2) The barrier fluid system shall not be a hazardous waste with organic concentrations ten percent or greater by weight.
(3) Each barrier fluid system shall be equipped with a sensor that will detect failure of the seal system, the barrier fluid system or both.
(4) Each pump shall be checked by visual inspection, each calendar week, for indications of liquids dripping from the pump seals.
(5)(A) Each sensor as described in subsection (d)(3) of this section shall be checked daily or be equipped with an audible alarm that shall be checked monthly to ensure that it is functioning properly.
(B) The owner or operator shall determine, based on design considerations and operating experience, a criterion that indicates failure of the seal system, the barrier fluid system, or both.
(6)(A) If there are indications of liquids dripping from the pump seal or the sensor indicates failure of the seal system, the barrier fluid system, or both based on the criterion determined in subsection (d)(5)(B) of this section, a leak is detected.
(B) When a leak is detected, it shall be repaired as soon as practicable, but not later than fifteen (15) calendar days after it is detected, except as provided in Section 66265.1059.
(C) A first attempt at repair (e.g., relapping the seal) shall be made no later than 24 hours after each leak is detected.
(e) Any pump that is designated, as described in Section 66265.1064(g)(2), for no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, is exempt from the requirements of subsections (a), (c), and (d) of this section if the pump meets the following requirements:
(1) the pump shall have no externally actuated shaft penetrating the pump housing;
(2) the pump shall operate with no detectable emissions as indicated by an instrument reading of less than 500 ppm above background as measured by the methods specified in Section 66265.1063(c);
(3) the pump shall be tested for compliance with subsection (e)(2) of this section initially upon designation, annually, and at other times as required by the Department.
(f) if any pump is equipped with a closed-vent system capable of capturing and transporting any leakage from the seal or seals to a control device that complies with the requirements of Section 66265.1060, it is exempt from the requirements of subsections (a) through (e) of this section.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 66265.1052.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66265.1053. Standards: Compressors.
Note     •     History

(a) Each compressor shall be equipped with a seal system that includes a barrier fluid system and that prevents leakage of total organic emissions to the atmosphere, except as provided in subsections (h) and (i) of this section.
(b) Each compressor seal system as required in subsection (a) of this section shall be:
(1) operated with the barrier fluid at a pressure that is at all times greater than the compressor stuffing box pressure; or
(2) equipped with a barrier fluid system that is connected by a closed-vent system to a control device that complies with the requirements of Section 66265.1060; or
(3) equipped with a system that purges the barrier fluid into a hazardous waste stream with no detectable emissions to the atmosphere.
(c) The barrier fluid shall not be a hazardous waste with organic concentrations ten percent or greater by weight.
(d) Each barrier fluid system as described in subsections (a) through (c) of this section shall be equipped with a sensor that will detect failure of the seal system, barrier fluid system, or both.
(e)(1) Each sensor as required in subsection (d) of this section shall be checked daily or shall be equipped with an audible alarm that shall be checked monthly to ensure that it is functioning properly unless the compressor is located within the boundary of an unstaffed plant site, in which case the sensor shall be checked daily.
(2) The owner or operator shall determine, based on design considerations and operating experience, a criterion that indicates failure of the seal system, the barrier fluid system or both.
(f) If the sensor indicates failure of the seal system, the barrier fluid system, or both based on the criterion determined under subsection (e)(2) of this section, a leak is detected.
(g)(1) When a leak is detected, it shall be repaired as soon as practicable, but not later than fifteen (15) calendar days after it is detected, except as provided in Section 66265.1059.
(2) A first attempt at repair (e.g., tightening the packing gland) shall be made as soon as possible, to minimize escape of hazardous constituents to the environment, but no later than 24 hours after each leak is detected.
(h) A compressor is exempt from the requirements of subsections (a) and (b) of this section if it is equipped with a closed-vent system capable of capturing and transporting any leakage from the seal to a control device that complies with the requirements of Section 66265.1060, except as provided in subsection (i) of this section.
(i) Any compressor that is designated, as described in Section 66265.1064(g)(2), for no detectable emission as indicated by an instrument reading of less than 500 ppm above background, is exempt from the requirements of subsections (a) through (h) of this section if the compressor:
(1) is determined to be operating with no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, as measured by the method specified in Section 66265.1063(c); and
(2) is tested for compliance with subsection (i)(1) of this section initially upon designation, annually, and at any other time as requested by the Department upon a determination by the Department that testing for compliance is necessary to protect human health or the environment.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 66265.1053.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66265.1054. Standards: Pressure Relief Devices in Gas/Vapor Service.
Note     •     History

(a) Except during pressure releases, each pressure relief device in gas/vapor service shall be operated with no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, as measured by the method specified in Section 66265.1063(c).
(b)(1) After each pressure release, the pressure relief device shall be returned to a condition of no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, as soon as practicable, but no later than 24 hours after each pressure release, except as provided in Section 66265.1059.
(2) No later than 24 hours after the pressure release, the pressure relief device shall be monitored to confirm the condition of no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, as measured by the method specified in Section 66265.1063(c).
(c) Any pressure relief device that is equipped with a closed-vent system capable of capturing and transporting leakage from the pressure relief device to a control device as described in Section 66265.1060 is exempt from the requirements of subsections (a) and (b) of this section.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 66265.1054.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66265.1055. Standards: Sampling Connecting Systems.
Note     •     History

(a) Each sampling connection system shall be equipped with a closed-purge, closed-loop, or closed-vent system. This system shall collect the sample purge for return to the process or for routing to the appropriate treatment system. Gases displaced during filling of the sample container are not required to be collected or captured.
(b) Each closed-purge, closed-loop, or closed-vent system as required in subsection (a) of this section shall:
(1) Return the purged process fluid directly to the process line; or
(2) Collect and recycle the purged process fluid; or
(3) Be designed and operated to capture and transport all the purged process fluid to a waste management unit that complies with the applicable requirements of sections 66265.1085 through 66265.1087 or a control device that complies with the requirements of section 66265.1060.
(c) In-situ sampling systems and sampling systems without purges are exempt from the requirements of subsections (a) and (b) of this section.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.1055.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect repealing section, adding new section and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1056. Standards: Open-ended Valves or Lines.
Note     •     History

(a)(1) Each open-ended valve or line shall be equipped with a cap, blind flange, plug, or a second valve.
(2) The cap, blind flange, plug, or second valve shall seal the open end at all times except during operations requiring hazardous waste stream flow through the open-ended valve or line.
(b) Each open-ended valve or line equipped with a second valve shall be operated in a manner such that the valve on the hazardous waste stream end is closed before the second valve is closed.
(c) When a double block and bleed system is being used, the bleed valve or line may remain open during operations that require venting the line between the block valves but shall comply with subsection (a) of this section at all other times.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 66265.1056.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66265.1057. Standards: Valves in Gas/Vapor Service or in Light Liquid Service.
Note     •     History

(a) Each valve in gas/vapor or light liquid service shall be monitored monthly to detect leaks by the methods specified in Section 66265.1063(b) except when in compliance with subsections (c) and shall comply with (d) and (e) of this section, except as provided in subsections (f), (g), and (h) of this section and Sections 66265.1061 and 66265.1062.
(b) If an instrument reading of 10,000 ppm or greater is measured, a leak is detected.
(c)(1) Any valve for which a leak is not detected for two successive months shall be monitored the first month of every succeeding quarter, beginning with the next quarter, until a leak is detected.
(2) If a leak is detected, the valve shall be monitored monthly until a leak is not detected for two successive months.
(d)(1) When a leak is detected, the valve shall be repaired as soon as practicable, but no later than fifteen (15) calendar days after the leak is detected, except as provided in Section 66265.1059.
(2) A first attempt at repair shall be made as soon as possible, to minimize escape of hazardous constituents to the environment, but no later than 24 hours after each leak is detected.
(e) First attempts at repair include, but are not limited to, the following best practices where practicable:
(1) tightening of bonnet bolts;
(2) replacements of bonnet bolts;
(3) tightening of packing gland nuts; and
(4) inspection of lubricant into lubricated packing.
(f) Any valve that is designated, as described in Section 66265.1064(g)(2), for no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, is exempt from the requirements of subsection (a) of this section if the valve:
(1) has no external actuating mechanism in contact with the hazardous waste stream;
(2) is operated with emissions less than 500 ppm above background as determined by the method specified in Section 66265.1063(c); and
(3) is tested for compliance with subsection (f)(2) of this section initially upon designation, annually, and at other times as requested by the Department.
(g) Any valve that is designated, as described in Section 66265.1064(h)(1), as an unsafe-to-monitor valve is exempt from the requirements of subsection (a) of this section if:
(1) the owner or operator of the valve determines (written explanation in the operating record) that the valve is unsafe to monitor because monitoring personnel would be exposed to an immediate danger as a consequence of complying with subsection (a) of this section; and
(2) the owner or operator of the valve adheres to a written plan that requires monitoring of the valve as frequently as practicable.
(h) Any valve that is designated, as described in Section 66265.1064(h)(2), as a difficult-to-monitor valve is exempt from the requirements of subsection (a) of this section if:
(1) the owner or operator of the valve determines that the valve cannot be monitored without elevating the monitoring personnel more than two meters above a support surface; and
(2) the hazardous waste management unit within which the valve is located was in operation before effective date of this regulation; and
(3) the owner or operator of the valve follows a written plan that requires monitoring of the valve at least once per calendar year.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 66265.1057.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66265.1058. Standards: Pumps and Valves in Heavy Liquid Service, Pressure Relief Devices in Light Liquid or Heavy Liquid Service, and Flanges and Other Connectors.
Note     •     History

(a) Pumps and valves in heavy liquid service, pressure relief devices in light liquid or heavy liquid service, and flanges and other connectors shall be monitored within five days by the method specified in Section 66265.1063(b) if evidence of a potential leak is found by visual, audible, olfactory, or any other detection method.
(b) If an instrument reading of 10,000 ppm or greater is measured, a leak is detected.
(c)(1) When a leak is detected, it shall be repaired as soon as practicable, but not later than fifteen (15) calendar days after it is detected, except as provided in Section 66265.1059.
(2) The first attempt at repair shall be made as soon as possible, to minimize escape of hazardous constituents to the environment, but no later than 24 hours after each leak is detected.
(d) First attempts at repair include, but are not limited to, the best practices described under Section 66265.1057(e).
(e) Any connector that is inaccessible or is ceramic or ceramic-lined (e.g., porcelain, glass, or glass-lined) is exempt from the monitoring requirements of subsection (a) of this section and from the recordkeeping requirements of section 66265.1064.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.1058.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect adding new subsection (e) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1059. Standards: Delay of Repair.
Note     •     History

(a) Delay of repair of equipment for which leaks have been detected will be allowed if the repair is technically infeasible without a hazardous waste management unit shutdown. In such a case, repair of this equipment shall occur before the end of the next hazardous waste management unit shutdown.
(b) Delay of repair of equipment for which leaks have been detected will be allowed for equipment that is isolated from the hazardous waste management unit and that does not continue to contain or contact hazardous waste with organic concentrations at least ten percent by weight.
(c) Delay of repair for valves will be allowed if:
(1) The owner or operator determines that emissions of purged material resulting from immediate repair are greater than the emissions likely to result from delay of repair; and
(2) When repair procedures are effected, the purged material is collected and destroyed or recovered in a control device complying with Section 66265.1060.
(d) Delay or repair for pumps will be allowed if:
(1) Repair requires the use of a dual mechanical seal system that includes a barrier fluid system; and
(2) Repair is completed as soon as practicable, but not later than six months after the leak was detected.
(e) Delay of repair beyond a hazardous waste management unit shutdown will be allowed for a valve if valve assembly replacement is necessary during the hazardous waste management unit shutdown, valve assembly supplies have been depleted, and valve assembly supplies had been sufficiently stocked before the supplies were depleted. Delay of repair beyond the next hazardous waste management unit shutdown will not be allowed unless the next hazardous waste management unit shutdown occurs sooner than six months after the first hazardous waste management unit shutdown.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 66265.1059.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66265.1060. Standards: Closed-Vent Systems and Control Devices.
Note     •     History

(a) Owners and operators of closed-vent systems and control devices subject to this article shall comply with the provisions of section 66265.1033.
(b)(1) The owner or operator of an existing facility who cannot install a closed-vent system and control device to comply with the provisions of this article on the effective date that the facility becomes subject to the provisions of this article must prepare an implementation schedule that includes dates by which the closed-vent system and control device will be installed and in operation. The controls must be installed as soon as possible, but the implementation schedule may allow up to 30 months after the effective date that the facility becomes subject to this article for installation and startup.
(2) Any units that begin operation after December 21, 1990, and are subject to the provisions of this article when operation begins, must comply with the rules immediately (i.e., must have control devices installed and operating on startup of the affected unit); the 30-month implementation schedule does not apply.
(3) The owner or operator of any facility in existence on the effective date of a statutory or Department regulatory amendment that renders the facility subject to this article shall comply with all requirements of this article as soon as practicable but no later than 30 months after the amendment's effective date. When control equipment required by this article cannot be installed and begin operation by the effective date of the amendment, the facility owner or operator shall prepare an implementation schedule that includes the following information: Specific calendar dates for award of contracts or issuance of purchase orders for the control equipment, initiation of on-site installation of the control equipment, completion of the control equipment installation, and performance of any testing to demonstrate that the installed equipment meets the applicable standards of this article. The owner or operator shall enter the implementation schedule in the operating record or in a permanent, readily available file located at the facility.
(4) Owners and operators of facilities and units that become newly subject to the requirements of this article after December 8, 1997 due to an action other than those described in subsection (b)(3) of this section must comply with all applicable requirements immediately (i.e., must have control devices installed and operating on the date the facility or unit becomes subject to this article; the 30-month implementation schedule does not apply).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 265.1060.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect repealing section, adding new section and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1061. Alternative Standards for Valves in Gas/Vapor Service or in Light Liquid Service: Percentage of Valves Allowed to Leak.
Note     •     History

(a)  An owner or operator subject to the requirements of Section 66265.1057 may elect to have all valves within a hazardous waste management unit comply with an alternative standard which allows no greater than two percent of the valves to leak.
(b) The following requirements shall be met if an owner or operator decides to comply with an alternative standard which allows two percent of the valves to leak:
(1) the owner or operator shall notify the Department that the owner or operator has elected to comply with the requirements of this section;
(2) a performance test as specified in subsection (c) of this section shall be conducted initially upon designation, annually, and at any other time required by the Department upon a determination by the Department that a performance test is necessary to protect human health or the environment; and
(3) if a valve leak is detected, it shall be repaired in accordance with Sections 66265.1057(d) and (e).
(c) Performance tests shall be conducted in the following manner:
(1) all valves subject to the requirements in Section 66265.1057 within the hazardous waste management unit shall be monitored within a one week period by the methods specified in Section 66265.1063(b);
(2) if an instrument reading of 10,000 ppm or greater is measured, a leak is detected; and
(3) the leak percentage shall be determined by dividing the number of valves subject to the requirements in Section 66265.1057 for which leaks are detected by the total number of valves subject to the requirements in Section 66265.1057 within the hazardous waste management unit.
(d) If an owner or operator decides no longer to comply with this section, the owner or operator shall notify the Department in writing that the work practice standard described in Section 66265.1057(a) through (e) will be followed.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 66265.1061.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
§66265.1062. Alternative Standards for Valves in Gas/Vapor Service or in Light Liquid Service: Skip Period Leak Detection and Repair.
Note     •     History

(a)(1) An owner or operator subject to the requirements of Section 66265.1057 shall elect for all valves within a hazardous waste management unit to comply with one of the alternative work practices specified in subsection (b)(2) and (3) of this section.
(2) An owner or operator shall notify the Department before implementing one of the alternative work practices.
(b)(1) An owner or operator shall comply with the requirements for valves, as described in Section 66265.1057, except as described in subsections (b)(2) and (b)(3) of this section.
(2) After two consecutive quarterly leak detection periods with the percentage of valves leaking equal to or less than 2 percent, an owner or operator may begin to skip one of the quarterly leak detection periods (i.e., monitor for leaks once every six months) for the valves subject to the requirements in Section 66265.1057.
(3) After five consecutive quarterly leak detection periods with the percentage of valves leaking equal to or less than 2 percent, an owner or operator may begin to skip three of the quarterly leak detection periods (i.e., monitor for leaks once every every year) for the valves subject to the requirements in Section 66265.1057.
(4) If the percentage of valves leaking is greater than 2 percent, the owner or operator shall monitor all valves monthly in compliance with the requirements in Section 66265.1057, but may again elect to use this section after meeting the requirements of Section 66265.1057(c)(1).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 265.1062.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsections (b)(2)-(3) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1063. Test Methods and Procedures.
Note     •     History

(a) Each owner or operator subject to the provisions of this article shall comply with the test methods and procedures requirements provided in this section.
(b) Leak detection monitoring, as required in Sections 66265.1052 through 66265.1062, shall comply with the following requirements:
(1) monitoring shall comply with Reference Method 21 in 40 CFR, part 60, incorporated by reference in Section 66260.11 of this chapter.
(2) the detection instrument shall meet the performance criteria of Reference Method 21.
(3) the instrument shall be calibrated before use on each day of its use by the procedures specified in Reference Method 21;
(4) Calibration gases shall be:
(A) zero air (less than 10 ppm of hydrocarbon in air);
(B) a mixture of methane or n-hexane and air at a concentration of approximately, but less than, 10,000 ppm methane or n-hexane.
(5) the instrument probe shall be traversed around all potential leak interfaces as close to the interface as possible as described in Reference Method 21.
(c) When equipment is tested for compliance with no detectable emissions, as required in Sections 66265.1052(e), 66265.1053(i), 66265.1054, and 66265.1057(f), the test shall comply with the following requirements:
(1) the requirements of subsections (b)(1) through (4) of this section shall apply;
(2) the background level shall be determined, as set forth in Reference Method 21;
(3) the instrument probe shall be traversed around all potential leak interfaces as close to the interface as possible as described in Reference Method 21; and
(4) the arithmetic difference between the maximum concentration indicated by the instrument and the background level shall be compared with 500 ppm for determining compliance.
(d) In accordance with the waste analysis plan required by Section 66265.13(b), an owner or operator of a facility shall determine, for each piece of equipment, whether the equipment contains or contacts a hazardous waste with organic concentration that equals or exceeds 10 percent by weight using the following:
(1) methods described in ASTM Methods D 2267-88, E 169-87, E 168-88, E 260-85 (incorporated by reference under Section 260.11);
(2) method 9060 or 8260 of SW-846 (incorporated by reference under Section 66260.11); or
(3) application of the knowledge of the nature of the hazardous waste stream or the process by which it was produced. Documentation of a waste determination by knowledge is required. Examples of documentation that shall be used to support a determination under this provision include production process information documenting that no organic compounds are used, information that the waste is generated by a process that is identical to a process at the same or another facility that has previously been demonstrated by direct measurement to have a total organic content less than 10 percent, or prior speciation analysis results on the same waste stream where it can also be documented that no process changes have occurred since that analysis that could affect the total organic concentration of the  waste.
(e) If an owner or operator determines that a piece of equipment contains or contacts a hazardous waste with organic concentration at least 10 percent by weight, the determination can be revised only after following the procedures in subsection (d)(1) or (d)(2) of this section.
(f) When an owner or operator and the Department do not agree on whether a piece of equipment contains or contacts a hazardous waste with organic concentrations at least 10 percent by weight, the procedures in subsection (d)(1) or (d)(2) of this section shall be used to resolve the dispute.
(g) Samples used in determining the percent organic content shall be representative of the highest total organic content hazardous waste that is expected to be contained in or contact the equipment.
(h) To determine if pumps or valves are in light liquid service, the vapor pressures of constituents may be obtained from standard reference texts or may be determined by ASTM  D-2879-86 (incorporated by reference under Section 260.11).
(i) Performance tests to determine if a control device achieves 95 weight percent organic emission reduction shall comply with the procedures of Section 66265.1034(c)(1) through (c)(4).
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR, Section 66265.1063.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Amendment of subsection (d)(2) and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66265.1064. Recordkeeping Requirements.
Note     •     History

(a)(1) Each owner or operator subject to the provisions of this article shall comply with the recordkeeping requirements of this section.
(2) An owner or operator of more than one hazardous waste management unit subject to the provisions of this article may comply with the recordkeeping requirements for these hazardous waste management units in one recordkeeping system if the system identifies each record by each hazardous waste management unit.
(b) Owners and operators shall record the following information in the facility operating record:
(1) for each piece of equipment to which this article applies:
(A) equipment identification number and hazardous waste management unit identification;
(B) approximate locations within the facility (e.g., identify the hazardous waste management unit on a facility plot plan);
(C) type of equipment (e.g., a pump or pipeline valve);
(D) percent-by-weight total organics in the hazardous waste stream at the equipment;
(E) hazardous waste state at the equipment (e.g., gas/vapor or liquid);
(F) method of compliance with the standard (e.g., “monthly leak detection and repair” or “equipped with dual mechanical seals”);
(2) for facilities that comply with the provisions of Section 66265.1033(a)(2), an implementation schedule as specified in Section 66265.1033(a)(2);
(3) an owner or operator who chooses to use test data to demonstrate the organic removal efficiency or total organic compound concentration achieved by the control device, shall record a performance test plan as specified in Section 66265.1035(b)(3); and
(4) Documentation of compliance with Section 66265.1060, including the detailed design documentation or performance test results specified in Section 66265.1035(b)(4).
(c) When each leak is detected as specified in Sections 66265.1052, 66265.1053, 66265.1057, and 66265.1058, the following requirements apply:
(1) a weatherproof and readily visible identification, marked with the equipment identification number, the date evidence of a potential leak was found in accordance with Section 66265.1058(a), and the date the leak was detected, shall be attached to the leaking equipment;
(2) the identification on equipment, except on a valve, may be removed after it has been repaired; and
(3) the identification on a valve may be removed after it has been monitored for 2 successive months as specified in Section 66265.1057(c) and no leak has been detected during those 2 months.
(d) When each leak is detected as specified in Sections 66265.1052, 66265.1053, 66265.1057, and 66265.1058, the following information shall be recorded in an inspection log and shall be kept in the facility operating record:
(1) the instrument and operator identification number and the equipment identification number;
(2) the date evidence of a potential leak was found in accordance with Section 66265.1058(a);
(3) the date the leak was detected and the date of each attempt to repair the leak;
(4) repair methods applied in each attempt to repair the leak;
(5) “above 10,000” if the maximum instrument reading measured by the methods specified in Section 66265.1063(b) after each repair attempt is equal to or greater than 10,000 ppm;
(6) “repair delayed” and the reason for the delay if a leak is not repaired within 15 calendar days after discovery of the leak;
(7) source of documentation supporting the delay of repair of a valve in compliance with Section 66265.1059(c);
(8) name and the signature of the owner or operator (or designee) whose decision it was that repair could not be effected without a hazardous waste management unit shutdown;
(9) the expected date of successful repair of the leak if a leak is not repaired within 15 calendar days; and
(10) the date of successful repair of the leak.
(e) Design documentation and monitoring, operating, and inspection information for each closed-vent system and control device required to comply with the provisions of Section 66265.1060 shall be recorded and kept up-to-date in the facility operating record as specified in Section 66265.1035(c). Design documentation is specified in Section 66265.1035(c)(1) and (c)(2) and monitoring, operating, and inspection information is specified in Section 66265.1035(c)(3)-(c)(8).
(f) For a control device other than a thermal vapor incinerator, catalytic vapor incinerator, flare, boiler, process heater, condenser, or carbon adsorption system, monitoring and  inspection information indicating proper operation and  maintenance of the control device must be recorded in the facility operating record.
(g) The following information pertaining to all equipment subject to the requirements in Sections 66265.1052 through 66265.1060 shall be recorded in a log that is kept in the facility operating record:
(1) a list of identification numbers for equipment (except welded fittings) subject to the requirements of this article;
(2)(A) a list of identification numbers for equipment that the owner or operator elects to designate for no detectable emissions, as indicated by an instrument reading of less than 500 ppm above background, under the provisions of Sections 66265.1052(e), 66265.1053(i), and 66265.1057(f);
(B) the designation of this equipment as subject to the requirements of Sections 66265.1052(e), 66265.1053(i), or 66265.1057(f) shall be signed by the owner or operator;
(3) a list of equipment identification numbers for pressure relief devices required to comply with Section 66265.1054(a);
(4)(A) the dates of each compliance test required in Sections 66265.1052(e), 66265.1053(i), 66265.1054, and 66265.1057(f);
(B) the background level measured during each compliance test;
(C) the maximum instrument reading measured at the equipment during each compliance test; 
(5) a list of identification numbers for equipment in vacuum service; and
(6) identification, either by list or location (area or group) of equipment that contains or contacts hazardous waste with an organic concentration of at least 10 percent by weight for less than 300 hours per calendar year.
(h) The following information pertaining to all valves subject to the requirements of Section 66265.1057(g) and (h) shall be recorded in a log that is kept in the facility operating record:
(1) a list of identification numbers for valves that are designated as unsafe to monitor, an explanation for each valve stating why the valve is unsafe to monitor, and the plan for monitoring each valve; and
(2) a list of identification numbers for valves that are designated as difficult to monitor, an explanation for each valve stating why the valve is difficult to monitor, and the planned schedule for monitoring each valve.
(i) The following information shall be recorded in the facility operating record for valves complying with Section 66265.1062:
(1) a schedule of monitoring; and
(2) the percent of valves found leaking during each monitoring period.
(j) The following information shall be recorded in a log that is kept in the facility operating record:
(1) criteria required in Sections 66265.1052(d)(5)(A) and 66265.1053(e)(2) and an explanation of the criteria; and
(2) any changes to these criteria and the reasons for the changes.
(k) The following information shall be recorded in  a log that is kept in the facility operating record for use in determining exemptions as provided in the applicability section of this article and other specific articles:
(1) an analysis determining the design capacity of the hazardous waste management unit;
(2) a statement listing the hazardous waste influent to and effluent from each hazardous waste management unit subject to the requirements in Sections 66265.1052 through 66265.1060 and an analysis determining whether these hazardous wastes are heavy liquids; and
(3) an up-to-date analysis and the supporting information and data used to determine whether or not equipment is subject to the requirements in Sections 66265.1052 through 66265.1060. The record shall include supporting documentation as required by Section 66265.1063(d)(3) when application of the knowledge of the nature of the hazardous waste stream or the process by which it was produced is used. If the owner or operator takes any action (e.g., changing the process that produced the waste) that could result in an increase in the total organic content of the waste contained in or contacted by equipment determined not to be subject to the requirements in Sections 66265.1052 through 66265.1060, then a new determination is required.
(l) Records of the equipment leak information required by subsection (d) of this section and the operating information required by subsection (e) of this section shall be kept 3 years.
(m) The owner or operator of any facility with equipment that is subject to this article and to leak detection, monitoring, and repair requirements under regulations at 40 CFR part 60, part 61, or part 63 may elect to determine compliance with this article either by documentation pursuant to section 66265.1064, or by documentation of compliance with the regulations at 40 CFR part 60, part 61, or part 63 pursuant to the relevant provisions of the regulations at 40 part 60, part 61, or part 63. The documentation of compliance under regulation at 40 CFR part 60, part 61, or part 63 shall be kept with or made readily available with the facility operating record.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR, Section 265.1064.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsections (g)(4)(C)-(g)(5), adding subsection (g)(6) and amending subsection (m) and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
Article 28.5. Air Emission Standards for Tanks, Surface Impoundments, and Containers
§66265.1080. Applicability.
Note     •     History

(a) The requirements of this article apply to owners and operators of all facilities that treat, store, or dispose of RCRA hazardous waste in tanks, surface impoundments, or containers subject to either articles 9, 10, or 11 except as section 66265.1 and subsection (b) of this section provide otherwise.
(b) The requirements of this article do not apply to the following waste management units at the facility:
(1) A waste management unit that holds hazardous waste placed in the unit before December 6, 1996, and in which no hazardous waste is added to the unit on or after December 6, 1996.
(2) A container that has a design capacity less than or equal to 0.1 m3.
(3) A tank in which an owner or operator has stopped adding hazardous waste and the owner or operator has begun implementing or completed closure pursuant to an approved closure plan.
(4) A surface impoundment in which an owner or operator has stopped adding hazardous waste (except to implement an approved closure plan) and the owner or operator has begun implementing or completed closure pursuant to an approved closure plan.
(5) A waste management unit that is used solely for on-site treatment or storage of hazardous waste that is placed in the unit as a result of implementing remedial activities required under the corrective action authorities of RCRA sections 3004(u), 3004(v), or 3008(h); CERCLA authorities; or similar Federal or State authorities.
(6) A waste management unit that is used solely for the management of radioactive mixed waste in accordance with all applicable regulations under the authority of the Atomic Energy Act and the Nuclear Waste Policy Act.
(7) A hazardous waste management unit that the owner or operator certifies is equipped with and operating air emission controls in accordance with the requirements of an applicable Clean Air Act regulation codified under 40 CFR part 60, part 61, or part 63. For the purpose of complying with this subsection, a tank for which the air emission control includes an enclosure, as opposed to a cover, must be in compliance with the enclosure and control device requirements of section 66265.1085(i), except as provided in section 66265.1083(c)(5).
(8) A tank that has a process vent as defined in section 66260.10.
(c) For the owner and operator of a facility subject to this article who has received a final permit under RCRA section 3005 prior to December 6, 1996, the following requirements apply:
(1) The requirements of chapter 14, article 30 shall be incorporated into the permit when the permit is reissued in accordance with the requirements of 40 CFR 124.15 or reviewed in accordance with the requirements of section 66270.50(d).
(2) Until the date when the permit is reissued in accordance with the requirements of 40 CFR 124.15 or reviewed in accordance with the requirements of section 66270.50(d), the owner and operator is subject to the requirements of this article.
(d) The requirements of this article, except for the recordkeeping requirements specified in section 265.1090(i) of this article, are administratively stayed for a tank or a container used for the management of hazardous waste generated by organic peroxide manufacturing and its associated laboratory operations when the owner or operator of the unit meets all of the following conditions:
(1) The owner or operator identifies that the tank or container receives hazardous waste generated by an organic peroxide manufacturing process producing more than one functional family of organic peroxides or multiple organic peroxides within one functional family, that one or more of these organic peroxides could potentially undergo self-accelerating thermal decomposition at or below ambient temperatures, and that organic peroxides are the predominant products manufactured by the process. For the purpose of meeting the conditions of this subsection, “organic peroxide” means an organic compound that contains the bivalent -O-O- structure and which may be considered to be a structural derivative of hydrogen peroxide where one or both of the hydrogen atoms has been replaced by an organic radical.
(2) The owner or operator prepares documentation, in accordance with the requirements of section 66265.1090(i) explaining why an undue safety hazard would be created if air emission controls specified in sections 66265.1085 through 66265.1088 are installed and operated on the tanks and containers used at the facility to manage the hazardous waste generated by the organic peroxide manufacturing process or processes meeting the conditions of subsection (d)(1) of this section.
(3) The owner or operator notifies the Department in writing that hazardous waste generated by an organic peroxide manufacturing process or processes meeting the conditions of subsection (d)(1) of this section are managed at the facility in tanks or containers meeting the conditions of subsection (d)(2) of this section. The notification shall state the name and address of the facility, and be signed and dated by an authorized representative of the facility owner or operator.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code, Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.1080.
HISTORY

1. Change without regulatory effect adding new article 28.5 (sections 66265.1080-66265.1090) and section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Change without regulatory effect amending subsection (b)(5) filed 8-3-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 31).
3. Change without regulatory effect amending subsection (a) filed 12-21-2004 pursuant to Health and Safety Code section 25159.1 (Register 2004, No. 52).
§66265.1082. Schedule for Implementation of Air Emission Standards.
Note     •     History

(a) Owners or operators of facilities existing on December 6, 1996 and subject to articles 9, 10, and 11 shall meet the following requirements:
(1) Install and begin operation of all control equipment or waste management units required to comply with this article and complete modifications of production or treatment processes to satisfy exemption criteria in accordance with section 66265.1083(c) by December 6, 1996, except as provided for in subsection (a)(2) of this section.
(2) When control equipment or waste management units required to comply with this article cannot be installed and in operation or modifications of production or treatment processes to satisfy exemption criteria in accordance with section 66265.1083(c) cannot be completed by December 6, 1996, the owner or operator shall:
(A) Install and begin operation of the control equipment and waste management units, and complete modifications of production or treatment processes as soon as possible but no later than December 8, 1997.
(B) Prepare an implementation schedule that includes the following information: specific calendar dates for award of contracts or issuance of purchase orders for control equipment, waste management units, and production or treatment process modifications; initiation of on-site installation of control equipment or waste management units, and modifications of production or treatment processes; completion of control equipment or waste management unit installation, and production or treatment process modifications; and performance of testing to demonstrate that the installed equipment or waste management units, and modified production or treatment processes meet the applicable standards of this article.
(C) For facilities subject to the recordkeeping requirements of section 66265.73, the owner or operator shall enter the implementation schedule specified in subsection (a)(2)(B) of this section in the operating record no later than December 6, 1996.
(D) For facilities not subject to section 66265.73, the owner or operator shall enter the implementation schedule specified in subsection (a)(2)(B) of this section in a permanent, readily available file located at the facility no later than December 6, 1996.
(b) Owners or operators of facilities and units in existence on the effective date of a statutory or regulatory amendment that renders the facility subject to articles 9, 10, or 11 shall meet the following requirements:
(1) Install and begin operation of control equipment or waste management units required to comply with this article, and complete modifications of production or treatment processes to satisfy exemption criteria of section 66265.1083(c) by the effective date of the amendment, except as provided for in subsection (b)(2) of this section.
(2) When control equipment or waste management units required to comply with this article cannot be installed and begin operation, or when modifications of production or treatment processes to satisfy exemption criteria of section 66265.1083(c) cannot be completed by the effective date of the amendment, the owner or operator shall:
(A) Install and begin operation of the control equipment or waste management unit, and complete modification of production or treatment processes as soon as possible but no later than 30 months after the effective date of the amendment.
(B) For facilities subject to the recordkeeping requirements of section 66265.73, enter and maintain the implementation schedule specified in subsection (a)(2)(B) of this section in the operating record no later than the effective date of the amendment, or
(C) For facilities not subject to section 66265.73, the owner or operator shall enter and maintain the implementation schedule specified in subsection (a)(2)(B) of this section in a permanent, readily available file located at the facility site no later than the effective date of the amendment.
(c) Owners and operators of facilities and units that become newly subject to the requirements of this article after December 8, 1997 due to an action other than those described in subsection (b) of this section must comply with all applicable requirements immediately (i.e., must have control devices installed and operating on the date the facility or unit becomes subject to this article; the 30-month implementation schedule does not apply).
(d) The Department may elect to extend the implementation date for control equipment at a facility, on a case by case basis, to a date later than December 8, 1997, when special circumstances that are beyond the facility owner's or operator's control delay installation or operation of control equipment, and the owner or operator has made all reasonable and prudent attempts to comply with the requirements of this article.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.1082.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Change without regulatory effect amending subsection (b)(2)(B) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66265.1083. Standards: General.
Note     •     History

(a) This section applies to the management of hazardous waste in tanks, surface impoundments, and containers subject to this article.
(b) The owner or operator shall control air pollutant emissions from each hazardous waste management unit in accordance with standards specified in sections 66265.1085 through 66265.1088 as applicable to the hazardous waste management unit, except as provided for in subsection (c) of this section.
(c) A tank, surface impoundment, or container is exempt from standards specified in sections 66265.1085 through 66265.1088 as applicable, provided that the waste management unit is one of the following:
(1) A tank, surface impoundment, or container for which all hazardous waste entering the unit has an average VO concentration at the point of waste origination of less than 500 parts per million by weight (ppmw). The average VO concentration shall be determined using the procedures specified in section 66265.1084(a) of this article. The owner or operator shall review and update, as necessary, this determination at least once every 12 months following the date of the initial determination for the hazardous waste streams entering the unit.
(2) A tank, surface impoundment, or container for which the organic content of all the hazardous waste entering the waste management unit has been reduced by an organic destruction or removal process that achieves any one of the following conditions:
(A) A process that removes or destroys the organics contained in the hazardous waste to a level such that the average VO concentration of the hazardous waste at the point of waste treatment is less than the exit concentration limit (Ct) established for the process. The average VO concentration of the hazardous waste at the point of waste treatment and the exit concentration limit for the process shall be determined using the procedures specified in section 66265.1084(b).
(B) A process that removes or destroys the organics contained in the hazardous waste to a level such that the organic reduction efficiency (R) for the process is equal to or greater than 95 percent, and the average VO concentration of the hazardous waste at the point of waste treatment is less than 100 ppmw. The organic reduction efficiency for the process and the average VO concentration of the hazardous waste at the point of waste treatment shall be determined using the procedures specified in section 66265.1084(b).
(C) A process that removes or destroys the organics contained in the hazardous waste to a level such that the actual organic mass removal rate (MR) for the process is equal to or greater than the required organic mass removal rate (RMR) established for the process. The required organic mass removal rate and the actual organic mass removal rate for the process shall be determined using the procedures specified in section 66265.1084(b).
(D) A biological process that destroys or degrades the organics contained in the hazardous waste, such that either of the following conditions is met:
1. The organic reduction efficiency (R) for the process is equal to or greater than 95 percent, and the organic biodegradation efficiency (Rbio) for the process is equal to or greater than 95 percent. The organic reduction efficiency and the organic biodegradation efficiency for the process shall be determined using the procedures specified in section 66265.1084(b).
2. The total actual organic mass biodegradation rate (MRbio) for all hazardous waste treated by the process is equal to or greater than the required organic mass removal rate (RMR). The required organic mass removal rate and the actual organic mass biodegradation rate for the process shall be determined using the procedures specified in section 66265.1084(b).
(E) A process that removes or destroys the organics contained in the hazardous waste and meets all of the following conditions:
1. From the point of waste origination through the point where the hazardous waste enters the treatment process, the hazardous waste is managed continuously in waste management units which use air emission controls in accordance with the standards specified in sections 66265.1085 through 66265.1088 as applicable to the waste management unit.
2. From the point of waste origination through the point where the hazardous waste enters the treatment process, any transfer of the hazardous waste is accomplished through continuous hard-piping or other closed system transfer that does not allow exposure of the waste to the atmosphere. The EPA considers a drain system that meets the requirements of 40 CFR part 63, subpart RR--National Emission Standards for Individual Drain Systems to be a closed system.
3. The average VO concentration of the hazardous waste at the point of waste treatment is less than the lowest average VO concentration at the point of waste origination determined for each of the individual waste streams entering the process or 500 ppmw, whichever value is lower. The average VO concentration of each individual waste stream at the point of waste origination shall be determined using the procedures specified in section 66265.1084(a). The average VO concentration of the hazardous waste at the point of waste treatment shall be determined using the procedures specified in section 66265.1084(b).
(F) A process that removes or destroys the organics contained in the hazardous waste to a level such that the organic reduction efficiency (R) for the process is equal to or greater than 95 percent and the owner or operator certifies that the average VO concentration at the point of waste origination for each of the individual waste streams entering the process is less than 10,000 ppmw. The organic reduction efficiency for the process and the average VO concentration of the hazardous waste at the point of waste origination shall be determined using the procedures specified in sections 66265.1084(b) and 66265.1084(a), respectively.
(G) A hazardous waste incinerator for which the owner or operator has either:
1. Been issued a final permit under chapter 20 which implements the requirements of chapter 14, article 15; or
2. Has designed and operates the incinerator in accordance with the interim status requirements of chapter 15, article 15 of this division.
(H) A boiler or industrial furnace for which the owner or operator has either:
1. Been issued a final permit under chapter 20 which implements the requirements of chapter 16, article 8, or
2. Has designed and operates the boiler or industrial furnace in accordance with the interim status requirements of chapter 16, article 8 of this division.
(I) For the purpose of determining the performance of an organic destruction or removal process in accordance with the conditions in each of subsections (c)(2)(A) through (c)(2)(F) of this section, the owner or operator shall account for VO concentrations determined to be below the limit of detection of the analytical method by using the following VO concentration:
1. If Method 25D in 40 CFR part 60, appendix A is used for the analysis, one-half the blank value determined in the method at section 4.4 of Method 25D in 40 CFR part 60, appendix A, or a value of 25 ppmw, whichever is less.
2. If any other analytical method is used, one-half the sum of the limits of detection established for each organic constituent in the waste that has a Henry's law constant value at least 0.1 mole-fraction-in-the-gas-phase/mole-fraction-in-the-liquid-phase (0.1 Y/X) [which can also be expressed as 1.8 x 10-6 atmospheres/gram-mole/m3] at 25 degrees Celsius.
(3) A tank or surface impoundment used for biological treatment of hazardous waste in accordance with the requirements of subsection (c)(2)(D) of this section.
(4) A tank, surface impoundment, or container for which all hazardous waste placed in the unit either:
(A) Meets the numerical concentration limits for organic hazardous constituents, applicable to the hazardous waste, as specified in chapter 18--Land Disposal Restrictions under Table “Treatment Standards for Hazardous Waste” in section 66268.40; or
(B) The organic hazardous constituents in the waste have been treated by the treatment technology established by the Department for the waste in section 66268.42(a), or have been removed or destroyed by an equivalent method of treatment approved by the Department pursuant to section 66268.42(b).
(5) A tank used for bulk feed of hazardous waste to a waste incinerator and all of the following conditions are met:
(A) The tank is located inside an enclosure vented to a control device that is designed and operated in accordance with all applicable requirements specified under 40 CFR part 61, subpart FF--National Emission Standards for Benzene Waste Operations for a facility at which the total annual benzene quantity from the facility waste is equal to or greater than 10 megagrams per year;
(B) The enclosure and control device serving the tank were installed and began operation prior to November 25, 1996; and
(C) The enclosure is designed and operated in accordance with the criteria for a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, Appendix B. The enclosure may have permanent or temporary openings to allow worker access; passage of material into or out of the enclosure by conveyor, vehicles, or other mechanical or electrical equipment; or to direct air flow into the enclosure. The owner or operator shall perform the verification procedure for the enclosure as specified in Section 5.0 to “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” annually.
(d) The Department may at any time perform or request that the owner or operator perform a waste determination for a hazardous waste managed in a tank, surface impoundment, or container exempted from using air emission controls under the provisions of this section as follows:
(1) The waste determination for average VO concentration of a hazardous waste at the point of waste origination shall be performed using direct measurement in accordance with the applicable requirements of section 66265.1084(a). The waste determination for a hazardous waste at the point of waste treatment shall be performed in accordance with the applicable requirements of section 66265.1084(b).
(2) In performing a waste determination pursuant to subsection (d)(1) of this section, the sample preparation and analysis shall be conducted as follows:
(A) In accordance with the method used by the owner or operator to perform the waste analysis, except in the case specified in subsection (d)(2)(B) of this section.
(B) If the Department determines that the method used by the owner or operator was not appropriate for the hazardous waste managed in the tank, surface impoundment, or container, then the Department may choose an appropriate method.
(3) In a case when the owner or operator is requested to perform the waste determination, the Department may elect to have an authorized representative observe the collection of the hazardous waste samples used for the analysis.
(4) In a case when the results of the waste determination performed or requested by the Department do not agree with the results of a waste determination performed by the owner or operator using knowledge of the waste, then the results of the waste determination performed in accordance with the requirements of subsection (d)(1) of this section shall be used to establish compliance with the requirements of this article.
(5) In a case when the owner or operator has used an averaging period greater than 1 hour for determining the average VO concentration of a hazardous waste at the point of waste origination, the Department may elect to establish compliance with this article by performing or requesting that the owner or operator perform a waste determination using direct measurement based on waste samples collected within a 1-hour period as follows:
(A) The average VO concentration of the hazardous waste at the point of waste origination shall be determined by direct measurement in accordance with the requirements of section 66265.1084(a).
(B) Results of the waste determination performed or requested by the Department showing that the average VO concentration of the hazardous waste at the point of waste origination is equal to or greater than 500 ppmw shall constitute noncompliance with this article except in a case as provided for in subsection (d)(5)(C) of this section.
(C) For the case when the average VO concentration of the hazardous waste at the point of waste origination previously has been determined by the owner or operator using an averaging period greater than 1 hour to be less than 500 ppmw but because of normal operating process variations the VO concentration of the hazardous waste determined by direct measurement for any given 1-hour period may be equal to or greater than 500 ppmw, information that was used by the owner or operator to determine the average VO concentration of the hazardous waste (e.g., test results, measurements, calculations, and other documentation) and recorded in the facility records in accordance with the requirements of section 66265.1084(a) and section 66265.1090 shall be considered by the Department together with the results of the waste determination performed or requested by the Department in establishing compliance with this article.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.1083.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1084. Waste Determination Procedures.
Note     •     History

(a) Waste determination procedure to determine average volatile organic (VO) concentration of a hazardous waste at the point of waste origination.
(1) An owner or operator shall determine the average VO concentration at the point of waste origination for each hazardous waste placed in a waste management unit exempted under the provisions of section 66265.1083(c)(1) from using air emission controls in accordance with standards specified in sections 66265.1085 through 66265.1088, as applicable to the waste management unit.
(A) An initial determination of the average VO concentration of the waste stream shall be made before the first time any portion of the material in the hazardous waste stream is placed in a waste management unit exempted under the provisions of section 66265.1083(c)(1) from using air emission controls, and thereafter an initial determination of the average VO concentration of the waste stream shall be made for each averaging period that a hazardous waste is managed in the unit; and
(B) Perform a new waste determination whenever changes to the source generating the waste stream are reasonably likely to cause the average VO concentration of the hazardous waste to increase to a level that is equal to or greater than the VO concentration limit specified in section 66265.1083(c)(1).
(2) For a waste determination that is required by subsection (a)(1) of this section, the average VO concentration of a hazardous waste at the point of waste origination shall be determined using either direct measurement as specified in subsection (a)(3) of this section or by knowledge as specified in subsection (a)(4) of this section.
(3) Direct measurement to determine average VO concentration of a hazardous waste at the point of waste origination.
(A) Identification. The owner or operator shall identify and record the point of waste origination for the hazardous waste.
(B) Sampling. Samples of the hazardous waste stream shall be collected at the point of waste origination in a manner such that volatilization of organics contained in the waste and in the subsequent sample is minimized and an adequately representative sample is collected and maintained for analysis by the selected method.
1. The averaging period to be used for determining the average VO concentration for the hazardous waste stream on a mass-weighted average basis shall be designated and recorded. The averaging period can represent any time interval that the owner or operator determines is appropriate for the hazardous waste stream but shall not exceed 1 year.
2. A sufficient number of samples, but no less than four samples, shall be collected and analyzed for a hazardous waste determination. All of the samples for a given waste determination shall be collected within a one-hour period. The average of the four or more sample results constitutes a waste etermination for the waste stream. One or more waste determinations may be required to represent the complete range of waste compositions and quantities that occur during the entire averaging period due to normal variations in the operating conditions for the source or process generating the hazardous waste stream. Examples of such normal variations are seasonal variations in waste quantity or fluctuations in ambient temperature.
3. All samples shall be collected and handled in accordance with written procedures prepared by the owner or operator and documented in a site sampling plan. This plan shall describe the procedure by which representative samples of the hazardous waste stream are collected such that a minimum loss of organics occurs throughout the sample collection and handling process, and by which sample integrity is maintained. A copy of the written sampling plan shall be maintained on-site in the facility operating records. An example of an acceptable sampling plan includes a plan incorporating sample collection and handling procedures in accordance with the requirements specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846, (incorporated by reference--refer to section 66260.11(a) of this division), or in Method 25D in 40 CFR part 60, appendix A.
4. Sufficient information, as specified in the “site sampling plan” required under paragraph (a)(3)(B)3. of this section, shall be prepared and recorded to document the waste quantity represented by the samples and, as applicable, the operating conditions for the source or process generating the hazardous waste represented by the samples.
(C) Analysis. Each collected sample shall be prepared and analyzed in accordance with one or more of the methods listed in subsections (a)(3)(C)1. through (a)(3)(C)9. of this section, including appropriate quality assurance and quality control (QA/QC) checks and use of target compounds for calibration. If Method 25D in 40 CFR part 60, appendix A is not used, then one or more methods should be chosen that are appropriate to ensure that the waste determination accounts for and reflects all organic compounds in the waste with Henry's law constant values at least 0.1 mole-fraction-in-the-gas-phase/mole-fraction-in-the-liquid-phase (0.1 Y/X) [which can also be expressed as 1.8 x 10-6 atmospheres/gram-mole/m3] at 25 degrees Celsius. Each of the analytical methods listed in subsections (a)(3)(C)2. through (a)(3)(C)7. of this section has an associated list of approved chemical compounds, for which EPA considers the method appropriate for measurement. If an owner or operator uses EPA Method 624, 625, 1624, or 1625 in 40 CFR part 136, appendix A to analyze one or more compounds that are not on that method's published list, the Alternative Test Procedure contained in 40 CFR 136.4 and 136.5 must be followed. If an owner or operator uses EPA Method 8260 or 8270 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846, (incorporated by reference--refer to section 66260.11(a) of this chapter) to analyze one or more compounds that are not on that method's published list, the procedures in subsection (a)(3)(C)8. of this section must be followed. At the owner or operator's discretion, the owner or operator may adjust test data measured by a method other than Method 25D to the corresponding average VO concentration value which would have been obtained had the waste samples been analyzed using Method 25D in 40 CFR part 60, appendix A. To adjust these data, the measured concentration of each individual chemical constituent contained in the waste is multiplied by the appropriate constituent-specific adjustment factor (fm25D). If the owner or operator elects to adjust test data, the adjustment must be made to all individual chemical constituents with a Henry's law constant value greater than or equal to 0.1 Y/X at 25 degrees Celsius contained the waste. Constituent-specific adjustment factors (fm25D) can be obtained by contacting the Waste and Chemical Processes Group, Office of Air Quality Planning and Standards, Research Triangle Park, NC 27711.
1. Method 25D in 40 CFR part 60, appendix A.
2. Method 624 in 40 CFR part 136, appendix A.
3. Method 625 in 40 CFR part 136, appendix A. Perform corrections to the compounds for which the analysis is being conducted based on the “accuracy as recovery” using the factors in Table 7 of the method.
4. Method 1624 in 40 CFR part 136, appendix A.
5. Method 1625 in 40 CFR part 136, appendix A.
6. Method 8260 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846 (incorporated by reference--refer to section 66260.11(a) of this division). Maintain a formal quality assurance program consistent with the requirements of Method 8260. The quality assurance program shall include the following elements:
a. Documentation of site-specific procedures to minimize the loss of compounds due to volatilization, biodegradation, reaction, or sorption during the sample collection, storage, preparation, introduction, and analysis steps.
b. Measurement of the overall accuracy and precision of the specific procedures.
7. Method 8270 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846 (incorporated by reference--refer to section 66260.11(a) of this division). Maintain a formal quality assurance program consistent with the requirements of Method 8270. The quality assurance program shall include the following elements:
a. Documentation of site-specific procedures to minimize the loss of compounds due to volatilization, biodegradation, reaction, or sorption during the sample collection, storage, preparation, introduction, and analysis steps.
b. Measurement of the overall accuracy and precision of the specific procedures.
8. Any other EPA standard method that has been validated in accordance with “Alternative Validation Procedure for EPA Waste and Wastewater Methods”, 40 CFR part 63, appendix D. As an alternative, other EPA standard methods may be validated by the procedure specified in subsection (a)(3)(C)9. of this section.
9. Any other analysis method that has been validated in accordance with the procedures specified in Section 5.1 or Section 5.3, and the corresponding calculations in Section 6.1 or Section 6.3, of Method 301 in 40 CFR part 63, appendix A. The data are acceptable if they meet the criteria specified in Section 6.1.5 or Section 6.3.3 of Method 301. If correction is required under section 6.3.3 of Method 301, the data are acceptable if the correction factor is within the range 0.7 to 1.30. Other sections of Method 301 are not required.
(D) Calculations.
1. The average VO concentration (c) on a mass-weighted basis shall be calculated by using the results for all waste determinations conducted in accordance with subsections (a)(3)(B) and (C) of this section and the following equation:

View Graphic
where: 
c = Average VO concentration of the hazardous waste at the point of waste origination on a mass-weighted basis, ppmw.
i = Individual waste determination “i” of the hazardous waste.
n = Total number of waste determinations of the hazardous waste conducted for the averaging period (not to exceed 1 year).
Qi = Mass quantity of hazardous waste stream represented by Ci, kg/hr.
QT = Total mass quantity of hazardous waste during the averaging period, kg/hr.
Ci = Measured VO concentration of waste determination “i” as determined in accordance with the requirements of subsection (a)(3)(C) of this section (i.e., the average of the four or more samples specified in subsection (a)(3)(B)2. of this section), ppmw.
2. For the purpose of determining Ci, for individual waste samples analyzed in accordance with subsection (a)(3)(C) of this section, the owner or operator shall account for VO concentrations determined to be below the limit of detection of the analytical method by using the following VO concentration:
a. If Method 25D in 40 CFR part 60, Appendix A is used for the analysis, one-half the blank value determined in the method at section 4.4 of Method 25D in 40 CFR part 60, appendix A.
b. If any other analytical method is used, one-half the sum of the limits of detection established for each organic constituent in the waste that has a Henry's law constant values at least 0.1 mole-fraction-in-the-gas-phase/mole-fraction-in-the-liquid-phase (0.1 Y/X) [which can also be expressed as 1.8 x 10-6 atmospheres/gram-mole/m3] at 25 degrees Celsius.
(E) Provided that the test method is appropriate for the waste as required under subsection (a)(3)(C) of this section, the EPA will determine compliance based on the test method used by the owner or operator as recorded pursuant to section 66265.1090(f)(1).
(4) Use of owner or operator knowledge to determine average VO concentration of a hazardous waste at the point of waste origination.
(A) Documentation shall be prepared that presents the information used as the basis for the owner's or operator's knowledge of the hazardous waste stream's average VO concentration. Examples of information that may be used as the basis for knowledge include: Material balances for the source or process generating the hazardous waste stream; constituent-specific chemical test data for the hazardous waste stream from previous testing that are still applicable to the current waste stream; previous test data for other locations managing the same type of waste stream; or other knowledge based on information included in manifests, shipping papers, or waste certification notices.
(B) If test data are used as the basis for knowledge, then the owner or operator shall document the test method, sampling protocol, and the means by which sampling variability and analytical variability are accounted for in the determination of the average VO concentration. For example, an owner or operator may use organic concentration test data for the hazardous waste stream that are validated in accordance with Method 301 in 40 CFR part 63, appendix A as the basis for knowledge of the waste.
(C) An owner or operator using chemical constituent-specific concentration test data as the basis for knowledge of the hazardous waste may adjust the test data to the corresponding average VO concentration value which would have been obtained had the waste samples been analyzed using Method 25D in 40 CFR part 60, appendix A. To adjust these data, the measured concentration for each individual chemical constituent contained in the waste is multiplied by the appropriate constituent-specific adjustment factor (fm25D).
(D) In the event that the Department and the owner or operator disagree on a determination of the average VO concentration for a hazardous waste stream using knowledge, then the results from a determination of average VO concentration using direct measurement as specified in subsection (a)(3) of this section shall be used to establish compliance with the applicable requirements of this article. The Department may perform or request that the owner or operator perform this determination using direct measurement. The owner or operator may choose one or more appropriate methods to analyze each collected sample in accordance with the requirements of subsection (a)(3)(C) of this section.
(b) Waste determination procedures for treated hazardous waste.
(1) An owner or operator shall perform the applicable waste determination for each treated hazardous waste placed in a waste management unit exempted under the provisions of sections 66265.1083(c)(2)(A) through (c)(2)(F) from using air emission controls in accordance with standards specified in sections 66265.1085 through 66265.1088, as applicable to the waste management unit.
(A) An initial determination of the average VO concentration of the waste stream shall be made before the first time any portion of the material in the treated waste stream is placed in a waste management unit exempted under the provisions of sections 66265.1083(c)(2), 66265.1083(c)(3), or 66265.1083(c)(4) from using air emission controls, and thereafter update the information used for the waste determination at least once every 12 months following the date of the initial waste determination; and
(B) Perform a new waste determination whenever changes to the process generating or treating the waste stream are reasonably likely to cause the average VO concentration of the hazardous waste to increase to a level such that the applicable treatment conditions specified in sections 66265.1083(c)(2), 66265.1083(c)(3), or 66265.1083(c)(4) are not achieved.
(2) The owner or operator shall designate and record the specific provision in section 66265.1083(c)(2) under which the waste determination is being performed. The waste determination for the treated hazardous waste shall be performed using the applicable procedures specified in subsections (b)(3) through (b)(9) of this section.
(3) Procedure to determine the average VO concentration of a hazardous waste at the point of waste treatment.
(A) Identification. The owner or operator shall identify and record the point of waste treatment for the hazardous waste.
(B) Sampling. Samples of the hazardous waste stream shall be collected at the point of waste treatment in a manner such that volatilization of organics contained in the waste and in the subsequent sample is minimized and an adequately representative sample is collected and maintained for analysis by the selected method.
1. The averaging period to be used for determining the average VO concentration for the hazardous waste stream on a mass-weighted average basis shall be designated and recorded. The averaging period can represent any time interval that the owner or operator determines is appropriate for the hazardous waste stream but shall not exceed 1 year.
2. A sufficient number of samples, but no less than four samples, shall be collected and analyzed for a hazardous waste determination. All of the samples for a given waste determination shall be collected within a one-hour period. The average of the four or more sample results constitutes a waste determination for the waste stream. One or more waste determinations may be required to represent the complete range of waste compositions and quantities that occur during the entire averaging period due to normal variations in the operating conditions for the process generating or treating the hazardous waste stream. Examples of such normal variations are seasonal variations in waste quantity or fluctuations in ambient temperature.
3. All samples shall be collected and handled in accordance with written procedures prepared by the owner or operator and documented in a site sampling plan. This plan shall describe the procedure by which representative samples of the hazardous waste stream are collected such that a minimum loss of organics occurs throughout the sample collection and handling process, and by which sample integrity is maintained. A copy of the written sampling plan shall be maintained on-site in the facility operating records. An example of an acceptable sampling plan includes a plan incorporating sample collection and handling procedures in accordance with the requirements specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication No. SW-846 (incorporated by reference--refer to section 66260.11(a)), or in Method 25D in 40 CFR part 60, appendix A.
4. Sufficient information, as specified in the “site sampling plan” required under paragraph (C) of (b)(3)(B) of this section, section 66265.1084(b)(3)(B), shall be prepared and recorded to document the waste quantity represented by the samples and, as applicable, the operating conditions for the process treating the hazardous waste represented by the samples.
(C) Analysis. Each collected sample shall be prepared and analyzed in accordance with one or more of the methods listed in subsections (b)(3)(C)1. through (b)(3)(C)9. of this section, including appropriate quality assurance and quality control (QA/QC) checks and use of target compounds for calibration. When the owner or operator is making a waste determination for a treated hazardous waste that is to be compared to an average VO concentration at the point of waste origination or the point of waste entry to the treatment system, to determine if the conditions of section 66264.1082(c)(2)(A) through (c)(2)(F) or section 66265.1083(c)(2)(A) through (c)(2)(F) are met, then the waste samples shall be prepared and analyzed using the same method or methods as were used in making the initial waste determinations at the point of waste origination or at the point of entry to the treatment system. If Method 25D in 40 CFR part 60, appendix A is not used, then one or more methods should be chosen that are appropriate to ensure that the waste determination accounts for and reflects all organic compounds in the waste with Henry's law constant values at least 0.1 mole-fraction-in-the-gas-phase/mole-fraction-in-the-liquid-phase (0.1 Y/X) [which can also be expressed as 1.8 x 10-6 atmospheres/gram-mole/m3] at 25 degrees Celsius. Each of the analytical methods listed in subsections (b)(3)(C)2. through (b)(3)(C)7. of this section has an associated list of approved chemical compounds, for which EPA considers the method appropriate for measurement. If an owner or operator uses EPA Method 624, 625, 1624, or 1625 in 40 CFR part 136, appendix A to analyze one or more compounds that are not on that method's published list, the Alternative Test Procedure contained in 40 CFR 136.4 and 136.5 must be followed. If an owner or operator uses EPA Method 8260 or 8270 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846, (incorporated by reference--refer to section 66260.11(a) of this chapter) to analyze one or more compounds that are not on that method's published list, the procedures in subsection (b)(3)(C)8. of this section must be followed. At the owner or operator's discretion, the owner or operator may adjust test data measured by a method other than Method 25D to the corresponding average VO concentration value which would have been obtained had the waste samples been analyzed using Method 25D in 40 CFR part 60, appendix A. To adjust these data, the measured concentration of each individual chemical constituent contained in the waste is multiplied by the appropriate constituent-specific adjustment factor (fm25D). If the owner or operator elects to adjust test data, the adjustment must be made to all individual chemical constituents with a Henry's law constant equal to or greater than  0.1 Y/X at 25 degrees Celsius contained the waste. Constituent-specific adjustment factors (fm25D) can be obtained by contacting the Waste and Chemical Processes Group, Office of Air Quality Planning and Standards, Research Triangle Park, NC 27711.
1. Method 25D in 40 CFR part 60, appendix A.
2. Method 624 in 40 CFR part 136, appendix A.
3. Method 625 in 40 CFR part 136, appendix A. Perform corrections to the compounds for which the analysis is being conducted based on the “accuracy as recovery” using the factors in Table 7 of the method.
4. Method 1624 in 40 CFR part 136, appendix A.
5. Method 1625 in 40 CFR part 136, appendix A.
6. Method 8260 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846 (incorporated by reference--refer to section 66260.11(a) of this division). Maintain a formal quality assurance program consistent with the requirements of Method 8260. The quality assurance program shall include the following elements:
a. Documentation of site-specific procedures to minimize the loss of compounds due to volatilization, biodegradation, reaction, or sorption during the sample collection, storage, preparation, introduction, and analysis steps.
b. Measurement of the overall accuracy and precision of the specific procedures.
7. Method 8270 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846 (incorporated by reference--refer to section 66260.11(a) of this division). Maintain a formal quality assurance program consistent with the requirements of Method 8270. The quality assurance program shall include the following elements:
a. Documentation of site-specific procedures to minimize the loss of compounds due to volatilization, biodegradation, reaction, or sorption during the sample collection, storage, preparation, introduction, and analysis steps.
b. Measurement of the overall accuracy and precision of the specific procedures.
8. Any other EPA standard method that has been validated in accordance with “Alternative Validation Procedure for EPA Waste and Wastewater Methods”, 40 CFR part 63, appendix D. As an alternative, other EPA standard methods may be validated by the procedure specified in subsection (b)(3)(C)9. of this section.
9. Any other analysis method that has been validated in accordance with the procedures specified in Section 5.1 or Section 5.3, and the corresponding calculations in Section 6.1 or Section 6.3, of Method 301 in 40 CFR part 63, appendix A. The data are acceptable if they meet the criteria specified in Section 6.1.5 or Section 6.3.3 of Method 301. If correction is required under section 6.3.3 of Method 301, the data are acceptable if the correction factor is within the range 0.7 to 1.30. Other sections of Method 301 are not required.
(D) Calculations. The average VO concentration (c) on a mass-weighted basis shall be calculated by using the results for all waste determinations conducted in accordance with subsection (b)(3)(B) and (C) of this section and the following equation:

View Graphic
Where: 
c = Average VO concentration of the hazardous waste at the point of waste treatment on a mass-weighted basis, ppmw.
i = Individual waste determination “i” of the hazardous waste.
n = Total number of waste determinations of the hazardous waste conducted for the averaging period (not to exceed 1 year)
Qi = Mass quantity of hazardous waste stream represented by Ci, kg/hr.
QT = Total mass quantity of hazardous waste during the averaging period, kg/hr.
Ci = Measured VO concentration of waste determination “i” as determined in accordance with the requirements of subsection (b)(3)(C) of this section (i.e., the average of the four or more samples specified in subsection (b)(3)(B)2. of this section), ppmw.
(E) Provided that the test method is appropriate for the waste as required under subsection (b)(3)(C) of this section, the Department will determine compliance based on the test method used by the owner or operator as recorded pursuant to section 66265.1090(f)(1).
(4) Procedure to determine the exit concentration limit (Ct) for a treated hazardous waste.
(A) The point of waste origination for each hazardous waste treated by the process at the same time shall be identified.
(B) If a single hazardous waste stream is identified in subsection (b)(4)(A) of this section, then the exit concentration limit (Ct) shall be 500 ppmw.
(C) If more than one hazardous waste stream is identified in subsection (b)(4)(A) of this section, then the average VO concentration of each hazardous waste stream at the point of waste origination shall be determined in accordance with the requirements of subsection (a) of this section. The exit concentration limit (Ct) shall be calculated by using the results determined for each individual hazardous waste stream and the following equation:

View Graphic
Where: 
Ct = Exit concentration limit for treated hazardous waste, ppmw.
x = Individual hazardous waste stream “x” that has an average VO concentration less than 500 ppmw at the point of waste origination as determined in accordance with the requirements of section 66265.1084(a).
y = Individual hazardous waste stream “y” that has an average VO concentration equal to or greater than 500 ppmw at the point of waste origination as determined in accordance with the requirements of section 66265.1084(a).
m = Total number of “x” hazardous waste streams treated by process.
n = Total number of “y” hazardous waste streams treated by process.
Qx = Annual mass quantity of hazardous waste stream “x,” kg/yr. 
Qy= Annual mass quantity of hazardous waste stream “y,” kg/yr.
cx = Average VO concentration of hazardous waste stream “x” at the point of waste origination as determined in accordance with the requirements of section 66265.1084(a), ppmw.
(5) Procedure to determine the organic reduction efficiency (R) for a treated hazardous waste.
(A) The organic reduction efficiency (R) for a treatment process shall be determined based on results for a minimum of three consecutive runs.
(B) All hazardous waste streams entering the treatment process and all hazardous waste streams exiting the treatment process shall be identified. The owner or operator shall prepare a sampling plan for measuring these streams that accurately reflects the retention time of the hazardous waste in the process.
(C) For each run, information shall be determined for each hazardous waste stream identified in subsection (b)(5)(B) of this section using the following procedures:
1. The mass quantity of each hazardous waste stream entering the process (Qb) and the mass quantity of each hazardous waste stream exiting the process (Qa) shall be determined.
2. The average VO concentration at the point of waste origination of each hazardous waste stream entering the process (cb) during the run shall be determined in accordance with the requirements of subsection (a)(3) of this section. The average VO concentration at the point of waste treatment of each waste stream exiting the process (ca) during the run shall be determined in accordance with the requirements of subsection (b)(3) of this section.
(D) The waste volatile organic mass flow entering the process (Eb) and the waste volatile organic mass flow exiting the process (Ea) shall be calculated by using the results determined in accordance with subsection (b)(5)(C) of this section and the following equations:

View Graphic
Where:
Ea = Waste volatile organic mass flow exiting process, kg/hr.
Eb = Waste volatile organic mass flow entering process, kg/hr.
m = Total number of runs (at least 3)
j = Individual run “j”
Qb = Mass quantity of hazardous waste entering process during run “j,” kg/hr.
Qa = Average mass quantity of hazardous waste exiting process during run “j,” kg/hr.
ca = Average VO concentration of hazardous waste exiting process during run “j” as determined in accordance with the requirements of section 66265.1084(b)(3), ppmw.
cb = Average VO concentration of hazardous waste entering process during run “j” as determined in accordance with the requirements of section 66265.1084(a)(3), ppmw.
(E) The organic reduction efficiency of the process shall be calculated by using the results determined in accordance with subsection (b)(5)(D) of this section and the following equation:

View Graphic
Where:
R = Organic reduction efficiency, percent.
Eb = Waste volatile organic mass flow entering process as determined in accordance with the requirements of subsection (b)(5)(D) of this section, kg/hr.
Ea = Waste volatile organic mass flow exiting process as determined in accordance with the requirements of subsection (b)(5)(D) of this section, kg/hr.
(6) Procedure to determine the organic biodegradation efficiency (Rbio) for a treated hazardous waste.
(A) The fraction of organics biodegraded (Fbio) shall be determined using the procedure specified in 40 CFR part 63, appendix C.
(B) The Rbio shall be calculated by using the following equation:

View Graphic
Where:
Rbio = Organic biodegradation efficiency, percent.
Fbio = Fraction of organic biodegraded as determined in accordance with the requirements of subsection (b)(6)(A) of this section.
(7) Procedure to determine the required organic mass removal rate (RMR) for a treated hazardous waste.
(A) All of the hazardous waste streams entering the treatment process shall be identified.
(B) The average VO concentration of each hazardous waste stream at the point of waste origination shall be determined in accordance with the requirements of subsection (a) of this section.
(C) For each individual hazardous waste stream that has an average VO concentration equal to or greater than 500 ppmw at the point of waste origination, the average volumetric flow rate and the density of the hazardous waste stream at the point of waste origination shall be determined.
(D) The RMR shall be calculated by using the average VO concentration, average volumetric flow rate, and density determined for each individual hazardous waste stream, and the following equation:

View Graphic
Where:
RMR = Required organic mass removal rate, kg/hr.
y = Individual hazardous waste stream “y” that has an average VO concentration equal to or greater than 500 ppmw at the point of waste origination as determined in accordance with the requirements of section 66265.1084(a).
n = Total number of “y” hazardous waste streams treated by process.
Vy = Average volumetric flow rate of hazardous waste stream “y” at the point of waste origination, m3/hr.
ky = Density of hazardous waste stream “y,” kg/m3
cy = Average VO concentration of hazardous waste stream “y” at the point of waste origination as determined in accordance with the requirements of section 66265.1084(a), ppmw.
(8) Procedure to determine the actual organic mass removal rate (MR) for a treated hazardous waste.
(A) The MR shall be determined based on results for a minimum of three consecutive runs. The sampling time for each run shall be 1 hour.
(B) The waste volatile organic mass flow entering the process (Eb) and the waste volatile organic mass flow exiting the process (Ea) shall be determined in accordance with the requirements of subsection (b)(5)(D) of this section.
(C) The MR shall be calculated by using the mass flow rate determined in accordance with the requirements of subsection (b)(8)(B) of this section and the following equation:
Where:
MR = Eb-Ea
MR = Actual organic mass removal rate, kg/hr.
Eb = Waste volatile organic mass flow entering process as determined in accordance with the requirements of subsection (b)(5)(D) of this section, kg/hr.
Ea = Waste volatile organic mass flow exiting process as determined in accordance with the requirements of subsection (b)(5)(D) of this section, kg/hr.
(9) Procedure to determine the actual organic mass biodegradation rate (MRbio) for a treated hazardous waste.
(A) The MRbio shall be determined based on results for a minimum of three consecutive runs. The sampling time for each run shall be 1 hour.
(B) The waste organic mass flow entering the process (Eb) shall be determined in accordance with the requirements of subsection (b)(5)(D) of this section.
(C) The fraction of organic biodegraded (Fbio) shall be determined using the procedure specified in 40 CFR part 63, appendix C.
(D) The MRbio shall be calculated by using the mass flow rates and fraction of organic biodegraded determined in accordance with the requirements of subsections (b)(9)(B) and (b)(9)(C), respectively, of this section and the following equation:
Where:
MRbio = Eb x Fbio 
MRbio = Actual organic mass biodegradation rate, kg/hr.
Eb = Waste organic mass flow entering process as determined in accordance with the requirements of subsection (b)(5)(D) of this section, kg/hr.
Fbio = Fraction of organic biodegraded as determined in accordance with the requirements of subsection (b)(9)(C) of this section.
(c) Procedure to determine the maximum organic vapor pressure of a hazardous waste in a tank.
(1) An owner or operator shall determine the maximum organic vapor pressure for each hazardous waste placed in a tank using Tank Level 1 controls in accordance with the standards specified in section 66265.1085(c).
(2) An owner or operator shall use either direct measurement as specified in subsection (c)(3) of this section or knowledge of the waste as specified by subsection (c)(4) of this section to determine the maximum organic vapor pressure which is representative of the hazardous waste composition stored or treated in the tank.
(3) Direct measurement to determine the maximum organic vapor pressure of a hazardous waste.
(A) Sampling. A sufficient number of samples shall be collected to be representative of the waste contained in the tank. All samples shall be collected and handled in accordance with written procedures prepared by the owner or operator and documented in a site sampling plan. This plan shall describe the procedure by which representative samples of the hazardous waste are collected such that a minimum loss of organics occurs throughout the sample collection and handling process and by which sample integrity is maintained. A copy of the written sampling plan shall be maintained on-site in the facility operating records. An example of an acceptable sampling plan includes a plan incorporating sample collection and handling procedures in accordance with the requirements specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication No. SW-846, (incorporated by reference--refer to section 66260.11(a)) or in Method 25D in 40 CFR part 60, appendix A.
(B) Analysis. Any appropriate one of the following methods may be used to analyze the samples and compute the maximum organic vapor pressure of the hazardous waste:
1. Method 25E in 40 CFR part 60 appendix A;
2. Methods described in American Petroleum Institute Publication 2517, Third Edition, February 1989, “Evaporative Loss from External Floating-Roof Tanks,” (incorporated by reference--refer to section 66260.11);
3. Methods obtained from standard reference texts;
4. ASTM Method 2879-92 (incorporated by reference--refer to section 66260.11); and
5. Any other method approved by the Department.
(4) Use of knowledge to determine the maximum organic vapor pressure of the hazardous waste. Documentation shall be prepared and recorded that presents the information used as the basis for the owner's or operator's knowledge that the maximum organic vapor pressure of the hazardous waste is less than the maximum vapor pressure limit listed in section 66265.1085(b)(1)(A) for the applicable tank design capacity category. An example of information that may be used is documentation that the hazardous waste is generated by a process for which at other locations it previously has been determined by direct measurement that the waste maximum organic vapor pressure is less than the maximum vapor pressure limit for the appropriate tank design capacity category.
(d) Procedure for determining no detectable organic emissions for the purpose of complying with this article:
(1) The test shall be conducted in accordance with the procedures specified in Method 21 of 40 CFR part 60, appendix A. Each potential leak interface (i.e., a location where organic vapor leakage could occur) on the cover and associated closure devices shall be checked. Potential leak interfaces that are associated with covers and closure devices include, but are not limited to: The interface of the cover and its foundation mounting; the periphery of any opening on the cover and its associated closure device; and the sealing seat interface on a spring-loaded pressure relief valve.
(2) The test shall be performed when the unit contains a hazardous waste having an organic concentration representative of the range of concentrations for the hazardous waste expected to be managed in the unit. During the test, the cover and closure devices shall be secured in the closed position.
(3) The detection instrument shall meet the performance criteria of Method 21 of 40 CFR part 60, appendix A, except the instrument response factor criteria in section 3.1.2(a) of Method 21 shall be for the average composition of the organic constituents in the hazardous waste placed in the waste management unit, not for each individual organic constituent.
(4) The detection instrument shall be calibrated before use on each day of its use by the procedures specified in Method 21 of 40 CFR part 60, appendix A.
(5) Calibration gases shall be as follows:
(A) Zero air (less than 10 ppmv hydrocarbon in air), and
(B) A mixture of methane or n-hexane and air at a concentration of approximately, but less than, 10,000 ppmv methane or n-hexane.
(6) The background level shall be determined according to the procedures in Method 21 of 40 CFR part 60, appendix A.
(7) Each potential leak interface shall be checked by traversing the instrument probe around the potential leak interface as close to the interface as possible, as described in Method 21 of 40 CFR part 60, appendix A. In the case when the configuration of the cover or closure device prevents a complete traverse of the interface, all accessible portions of the interface shall be sampled. In the case when the configuration of the closure device prevents any sampling at the interface and the device is equipped with an enclosed extension or horn (e.g., some pressure relief devices), the instrument probe inlet shall be placed at approximately the center of the exhaust area to the atmosphere.
(8) The arithmetic difference between the maximum organic concentration indicated by the instrument and the background level shall be compared with the value of 500 ppmv except when monitoring a seal around a rotating shaft that passes through a cover opening, in which case the comparison shall be as specified in subsection (d)(9) of this section. If the difference is less than 500 ppmv, then the potential leak interface is determined to operate with no detectable organic emissions.
(9) For the seals around a rotating shaft that passes through a cover opening, the arithmetic difference between the maximum organic concentration indicated by the instrument and the background level shall be compared with the value of 10,000 ppmw. If the difference is less than 10,000 ppmw, then the potential leak interface is determined to operate with no detectable organic emissions.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 265.1084.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Change without regulatory effect amending section filed 8-3-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 31).
§66265.1085. Standards: Tanks.
Note     •     History

(a) The provisions of this section apply to the control of air pollutant emissions from tanks for which section 66265.1083(b) references the use of this section for such air emission control.
(b) The owner or operator shall control air pollutant emissions from each tank subject to this section in accordance with the following requirements, as applicable:
(1) For a tank that manages hazardous waste that meets all of the conditions specified in subsections (b)(1)(A) through (b)(1)(C) of this section, the owner or operator shall control air pollutant emissions from the tank in accordance with the Tank Level 1 controls specified in subsection (c) of this section or the Tank Level 2 controls specified in subsection (d) of this section.
(A) The hazardous waste in the tank has a maximum organic vapor pressure which is less than the maximum organic vapor pressure limit for the tank's design capacity category as follows:
1. For a tank design capacity equal to or greater than 151 m3, the maximum organic vapor pressure limit for the tank is 5.2 kPa.
2. For a tank design capacity equal to or greater than 75 m3 but less than 151 m3, the maximum organic vapor pressure limit for the tank is 27.6 kPa.
3. For a tank design capacity less than 75 m3, the maximum organic vapor pressure limit for the tank is 76.6 kPa.
(B) The hazardous waste in the tank is not heated by the owner or operator to a temperature that is greater than the temperature at which the maximum organic vapor pressure of the hazardous waste is determined for the purpose of complying with subsection (b)(1)(A) of this section.
(C) The hazardous waste in the tank is not treated by the owner or operator using a waste stabilization process, as defined in section 66265.1081.
(2) For a tank that manages hazardous waste that does not meet all of the conditions specified in subsections (b)(1)(A) through (b)(1)(C) of this section, the owner or operator shall control air pollutant emissions from the tank by using Tank Level 2 controls in accordance with the requirements of subsection (d) of this section. Examples of tanks required to use Tank Level 2 controls include: A tank used for a waste stabilization process; and a tank for which the hazardous waste in the tank has a maximum organic vapor pressure that is equal to or greater than the maximum organic vapor pressure limit for the tank's design capacity category as specified in subsection (b)(1)(A) of this section.
(c) Owners and operators controlling air pollutant emissions from a tank using Tank Level 1 controls shall meet the requirements specified in subsections (c)(1) through (c)(4) of this section:
(1) The owner or operator shall determine the maximum organic vapor pressure for a hazardous waste to be managed in the tank using Tank Level 1 controls before the first time the hazardous waste is placed in the tank. The maximum organic vapor pressure shall be determined using the procedures specified in section 66265.1084(c). Thereafter, the owner or operator shall perform a new determination whenever changes to the hazardous waste managed in the tank could potentially cause the maximum organic vapor pressure to increase to a level that is equal to or greater than the maximum organic vapor pressure limit for the tank design capacity category specified in subsection (b)(1)(A) of this section, as applicable to the tank.
(2) The tank shall be equipped with a fixed roof designed to meet the following specifications:
(A) The fixed roof and its closure devices shall be designed to form a continuous barrier over the entire surface area of the hazardous waste in the tank. The fixed roof may be a separate cover installed on the tank (e.g., a removable cover mounted on an open-top tank) or may be an integral part of the tank structural design (e.g., a horizontal cylindrical tank equipped with a hatch).
(B) The fixed roof shall be installed in a manner such that there are no visible cracks, holes, gaps, or other open spaces between roof section joints or between the interface of the roof edge and the tank wall.
(C) Each opening in the fixed roof, and any manifold system associated with the fixed roof, shall be either:
1. Equipped with a closure device designed to operate such that when the closure device is secured in the closed position there are no visible cracks, holes, gaps, or other open spaces in the closure device or between the perimeter of the opening and the closure device; or
2. Connected by a closed-vent system that is vented to a control device. The control device shall remove or destroy organics in the vent stream, and shall be operating whenever hazardous waste is managed in the tank, except as provided for in subsections (c)(2)(C)2.a and (c)(2)(C)2.b of this section.
a. During periods it is necessary to provide access to the tank for performing the activities of subsection (c)(2)(C)2.b of this section, venting of the vapor headspace underneath the fixed roof to the control device is not required, opening of closure devices is allowed, and removal of the fixed roof is allowed. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable, and resume operation of the control device.
b. During periods of routine inspection, maintenance, or other activities needed for normal operations, and for the removal of accumulated sludge or other residues from the bottom of the tank.
(D) The fixed roof and its closure devices shall be made of suitable materials that will minimize exposure of the hazardous waste to the atmosphere, to the extent practical, and will maintain the integrity of the fixed roof and closure devices throughout their intended service life. Factors to be considered when selecting the materials for and designing the fixed roof and closure devices shall include: Organic vapor permeability, the effects of any contact with the hazardous waste or its vapors managed in the tank; the effects of outdoor exposure to wind, moisture, and sunlight; and the operating practices used for the tank on which the fixed roof is installed.
(3) Whenever a hazardous waste is in the tank, the fixed roof shall be installed with each closure device secured in the closed position except as follows:
(A) Opening of closure devices or removal of the fixed roof is allowed at the following times:
1. To provide access to the tank for performing routine inspection, maintenance, or other activities needed for normal operations. Examples of such activities include those times when a worker needs to open a port to sample the liquid in the tank, or when a worker needs to open a hatch to maintain or repair equipment. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable, to the tank.
2. To remove accumulated sludge or other residues from the bottom of tank.
(B) Opening of a spring-loaded pressure-vacuum relief valve, conservation vent, or similar type of pressure relief device which vents to the atmosphere is allowed during normal operations for the purpose of maintaining the tank internal pressure in accordance with the tank design specifications. The device shall be designed to operate with no detectable organic emissions when the device is secured in the closed position. The settings at which the device opens shall be established such that the device remains in the closed position whenever the tank internal pressure is within the internal pressure operating range determined by the owner or operator based on the tank manufacturer recommendations, applicable regulations, fire protection and prevention codes, standard engineering codes and practices, or other requirements for the safe handling of flammable, ignitable, explosive, reactive, or hazardous materials. Examples of normal operating conditions that may require these devices to open are during those times when the tank internal pressure exceeds the internal pressure operating range for the tank as a result of loading operations or diurnal ambient temperature fluctuations.
(C) Opening of a safety device, as defined in section 66265.1081, is allowed at any time conditions require doing so to avoid an unsafe condition.
(4) The owner or operator shall inspect the air emission control equipment in accordance with the following requirements.
(A) The fixed roof and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to, visible cracks, holes, or gaps in the roof sections or between the roof and the tank wall; broken, cracked, or otherwise damaged seals or gaskets on closure devices; and broken or missing hatches, access covers, caps, or other closure devices.
(B) The owner or operator shall perform an initial inspection of the fixed roof and its closure devices on or before the date that the tank becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year except under the special conditions provided for in subsection (l) of this section.
(C) In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (k) of this section.
(D) The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66265.1090(b).
(d) Owners and operators controlling air pollutant emissions from a tank using Tank Level 2 controls shall use one of the following tanks:
(1) A fixed-roof tank equipped with an internal floating roof in accordance with the requirements specified in subsection (e) of this section;
(2) A tank equipped with an external floating roof in accordance with the requirements specified in subsection (f) of this section;
(3) A tank vented through a closed-vent system to a control device in accordance with the requirements specified in subsection (g) of this section;
(4) A pressure tank designed and operated in accordance with the requirements specified in subsection (h) of this section; or
(5) A tank located inside an enclosure that is vented through a closed-vent system to an enclosed combustion control device in accordance with the requirements specified in subsection (i) of this section.
(e) The owner or operator who controls air pollutant emissions from a tank using a fixed-roof with an internal floating roof shall meet the requirements specified in subsections (e)(1) through (e)(3) of this section.
(1) The tank shall be equipped with a fixed roof and an internal floating roof in accordance with the following requirements:
(A) The internal floating roof shall be designed to float on the liquid surface except when the floating roof must be supported by the leg supports.
(B) The internal floating roof shall be equipped with a continuous seal between the wall of the tank and the floating roof edge that meets either of the following requirements:
1. A single continuous seal that is either a liquid-mounted seal or a metallic shoe seal, as defined in section 66265.1081; or
2. Two continuous seals mounted one above the other. The lower seal may be a vapor-mounted seal.
(C) The internal floating roof shall meet the following specifications:
1. Each opening in a noncontact internal floating roof except for automatic bleeder vents (vacuum breaker vents) and the rim space vents is to provide a projection below the liquid surface.
2. Each opening in the internal floating roof shall be equipped with a gasketed cover or a gasketed lid except for leg sleeves, automatic bleeder vents, rim space vents, column wells, ladder wells, sample wells, and stub drains.
3. Each penetration of the internal floating roof for the purpose of sampling shall have a slit fabric cover that covers at least 90 percent of the opening.
4. Each automatic bleeder vent and rim space vent shall be gasketed.
5. Each penetration of the internal floating roof that allows for passage of a ladder shall have a gasketed sliding cover.
6. Each penetration of the internal floating roof that allows for passage of a column supporting the fixed roof shall have a flexible fabric sleeve seal or a gasketed sliding cover.
(2) The owner or operator shall operate the tank in accordance with the following requirements:
(A) When the floating roof is resting on the leg supports, the process of filling, emptying, or refilling shall be continuous and shall be completed as soon as practical.
(B) Automatic bleeder vents are to be set closed at all times when the roof is floating, except when the roof is being floated off or is being landed on the leg supports.
(C) Prior to filling the tank, each cover, access hatch, gauge float well or lid on any opening in the internal floating roof shall be bolted or fastened closed (i.e., no visible gaps). Rim space vents are to be set to open only when the internal floating roof is not floating or when the pressure beneath the rim exceeds the manufacturer's recommended setting.
(3) The owner or operator shall inspect the internal floating roof in accordance with the procedures specified as follows:
(A) The floating roof and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to: The internal floating roof is not floating on the surface of the liquid inside the tank; liquid has accumulated on top of the internal floating roof; any portion of the roof seals have detached from the roof rim; holes, tears, or other openings are visible in the seal fabric; the gaskets no longer close off the hazardous waste surface from the atmosphere; or the slotted membrane has more than 10 percent open area.
(B) The owner or operator shall inspect the internal floating roof components as follows except as provided in subsection (e)(3)(C) of this section:
1. Visually inspect the internal floating roof components through openings on the fixed-roof (e.g., manholes and roof hatches) at least once every 12 months after initial fill, and
2. Visually inspect the internal floating roof, primary seal, secondary seal (if one is in service), gaskets, slotted membranes, and sleeve seals (if any) each time the tank is emptied and degassed and at least every 10 years.
(C) As an alternative to performing the inspections specified in subsection (e)(3)(B) of this section for an internal floating roof equipped with two continuous seals mounted one above the other, the owner or operator may visually inspect the internal floating roof, primary and secondary seals, gaskets, slotted membranes, and sleeve seals (if any) each time the tank is emptied and degassed and at least every 5 years.
(D) Prior to each inspection required by subsection (e)(3)(B) or (e)(3)(C) of this section, the owner or operator shall notify the Department in advance of each inspection to provide the Department with the opportunity to have an observer present during the inspection. The owner or operator shall notify the Department of the date and location of the inspection as follows:
1. Prior to each visual inspection of an internal floating roof in a tank that has been emptied and degassed, written notification shall be prepared and sent by the owner or operator so that it is received by the Department at least 30 calendar days before refilling the tank except when an inspection is not planned as provided for in subsection (e)(3)(D)2. of this section.
2. When a visual inspection is not planned and the owner or operator could not have known about the inspection 30 calendar days before refilling the tank, the owner or operator shall notify the Department as soon as possible, but no later than 7 calendar days before refilling of the tank. This notification may be made by telephone and immediately followed by a written explanation for why the inspection is unplanned. Alternatively, written notification, including the explanation for the unplanned inspection, may be sent so that it is received by the Department at least 7 calendar days before refilling the tank.
(E) In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (k) of this section.
(F) The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66265.1090(b).
(4) Safety devices, as defined in section 66265.1081 may be installed and operated as necessary on any tank complying with the requirements of subsection (e) of this section.
(f) The owner or operator who controls air pollutant emissions from a tank using an external floating roof shall meet the requirements specified in subsections (f)(1) through (f)(3) of this section.
(1) The owner or operator shall design the external floating roof in accordance with the following requirements:
(A) The external floating roof shall be designed to float on the liquid surface except when the floating roof must be supported by the leg supports.
(B) The floating roof shall be equipped with two continuous seals, one above the other, between the wall of the tank and the roof edge. The lower seal is referred to as the primary seal, and the upper seal is referred to as the secondary seal.
1. The primary seal shall be a liquid-mounted seal or a metallic shoe seal, as defined in section 66265.1081. The total area of the gaps between the tank wall and the primary seal shall not exceed 212 square centimeters (cm2) per meter of tank diameter, and the width of any portion of these gaps shall not exceed 3.8 centimeters (cm). If a metallic shoe seal is used for the primary seal, the metallic shoe seal shall be designed so that one end extends into the liquid in the tank and the other end extends a vertical distance of at least 61 centimeters above the liquid surface.
2. The secondary seal shall be mounted above the primary seal and cover the annular space between the floating roof and the wall of the tank. The total area of the gaps between the tank wall and the secondary seal shall not exceed 21.2 square centimeters (cm2) per meter of tank diameter, and the width of any portion of these gaps shall not exceed 1.3 centimeters (cm).
(C) The external floating roof shall meet the following specifications:
1. Except for automatic bleeder vents (vacuum breaker vents) and rim space vents, each opening in a noncontact external floating roof shall provide a projection below the liquid surface.
2. Except for automatic bleeder vents, rim space vents, roof drains, and leg sleeves, each opening in the roof shall be equipped with a gasketed cover, seal, or lid.
3. Each access hatch and each gauge float well shall be equipped with a cover designed to be bolted or fastened when the cover is secured in the closed position.
4. Each automatic bleeder vent and each rim space vent shall be equipped with a gasket.
5. Each roof drain that empties into the liquid managed in the tank shall be equipped with a slotted membrane fabric cover that covers at least 90 percent of the area of the opening.
6. Each unslotted and slotted guide pole well shall be equipped with a gasketed sliding cover or a flexible fabric sleeve seal.
7. Each unslotted guide pole shall be equipped with a gasketed cap on the end of the pole.
8. Each slotted guide pole shall be equipped with a gasketed float or other device which closes off the liquid surface from the atmosphere.
9. Each gauge hatch and each sample well shall be equipped with a gasketed cover.
(2) The owner or operator shall operate the tank in accordance with the following requirements:
(A) When the floating roof is resting on the leg supports, the process of filling, emptying, or refilling shall be continuous and shall be completed as soon as practical.
(B) Except for automatic bleeder vents, rim space vents, roof drains, and leg sleeves, each opening in the roof shall be secured and maintained in a closed position at all times except when the closure device must be open for access.
(C) Covers on each access hatch and each gauge float well shall be bolted or fastened when secured in the closed position.
(D) Automatic bleeder vents shall be set closed at all times when the roof is floating, except when the roof is being floated off or is being landed on the leg supports.
(E) Rim space vents shall be set to open only at those times that the roof is being floated off the roof leg supports or when the pressure beneath the rim seal exceeds the manufacturer's recommended setting.
(F) The cap on the end of each unslotted guide pole shall be secured in the closed position at all times except when measuring the level or collecting samples of the liquid in the tank.
(G) The cover on each gauge hatch or sample well shall be secured in the closed position at all times except when the hatch or well must be opened for access.
(H) Both the primary seal and the secondary seal shall completely cover the annular space between the external floating roof and the wall of the tank in a continuous fashion except during inspections.
(3) The owner or operator shall inspect the external floating roof in accordance with the procedures specified as follows:
(A) The owner or operator shall measure the external floating roof seal gaps in accordance with the following requirements:
1. The owner or operator shall perform measurements of gaps between the tank wall and the primary seal within 60 calendar days after initial operation of the tank following installation of the floating roof and, thereafter, at least once every 5 years.
2. The owner or operator shall perform measurements of gaps between the tank wall and the secondary seal within 60 calendar days after initial operation of the tank following installation of the floating roof and, thereafter, at least once every year.
3. If a tank ceases to hold hazardous waste for a period of 1 year or more, subsequent introduction of hazardous waste into the tank shall be considered an initial operation for the purposes of subsections (f)(3)(A)1. and (f)(3)(A)2. of this section.
4. The owner or operator shall determine the total surface area of gaps in the primary seal and in the secondary seal individually using the following procedure:
a. The seal gap measurements shall be performed at one or more floating roof levels when the roof is floating off the roof supports.
b. Seal gaps, if any, shall be measured around the entire perimeter of the floating roof in each place where a 0.32-centimeter (cm) diameter uniform probe passes freely (without forcing or binding against the seal) between the seal and the wall of the tank and measure the circumferential distance of each such location.
c. For a seal gap measured under subsection (f)(3) of this section, the gap surface area shall be determined by using probes of various widths to measure accurately the actual distance from the tank wall to the seal and multiplying each such width by its respective circumferential distance.
d. The total gap area shall be calculated by adding the gap surface areas determined for each identified gap location for the primary seal and the secondary seal individually, and then dividing the sum for each seal type by the nominal diameter of the tank. These total gap areas for the primary seal and secondary seal are then compared to the respective standards for the seal type as specified in subsection (f)(1)(B) of this section.
5. In the event that the seal gap measurements do not conform to the specifications in subsection (f)(1)(B) of this section, the owner or operator shall repair the defect in accordance with the requirements of subsection (k) of this section.
6. The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66265.1090(b).
(B) The owner or operator shall visually inspect the external floating roof in accordance with the following requirements:
1. The floating roof and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to: Holes, tears, or other openings in the rim seal or seal fabric of the floating roof; a rim seal detached from the floating roof; all or a portion of the floating roof deck being submerged below the surface of the liquid in the tank; broken, cracked, or otherwise damaged seals or gaskets on closure devices; and broken or missing hatches, access covers, caps, or other closure devices.
2. The owner or operator shall perform an initial inspection of the external floating roof and its closure devices on or before the date that the tank becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year except for the special conditions provided for in subsection (l) of this section.
3. In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (k) of this section.
4. The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66265.1090(b).
(C) Prior to each inspection required by subsection (f)(3)(A) or (f)(3)(B) of this section, the owner or operator shall notify the Department in advance of each inspection to provide the Department with the opportunity to have an observer present during the inspection. The owner or operator shall notify the Department of the date and location of the inspection as follows:
1. Prior to each inspection to measure external floating roof seal gaps as required under subsection (f)(3)(A) of this section, written notification shall be prepared and sent by the owner or operator so that it is received by the Department at least 30 calendar days before the date the measurements are scheduled to be performed.
2. Prior to each visual inspection of an external floating roof in a tank that has been emptied and degassed, written notification shall be prepared and sent by the owner or operator so that it is received by the Department at least 30 calendar days before refilling the tank except when an inspection is not planned as provided for in subsection (f)(3)(C)3. of this section.
3. When a visual inspection is not planned and the owner or operator could not have known about the inspection 30 calendar days before refilling the tank, the owner or operator shall notify the Department as soon as possible, but no later than 7 calendar days before refilling of the tank. This notification may be made by telephone and immediately followed by a written explanation for why the inspection is unplanned. Alternatively, written notification, including the explanation for the unplanned inspection, may be sent so that it is received by the Department at least 7 calendar days before refilling the tank.
(4) Safety devices, as defined in section 66260.10, may be installed and operated as necessary on any tank complying with the requirements of subsection (f) of this section.
(g) The owner or operator who controls air pollutant emissions from a tank by venting the tank to a control device shall meet the requirements specified in subsections (g)(1) through (g)(3) of this section.
(1) The tank shall be covered by a fixed roof and vented directly through a closed-vent system to a control device in accordance with the following requirements:
(A) The fixed roof and its closure devices shall be designed to form a continuous barrier over the entire surface area of the liquid in the tank.
(B) Each opening in the fixed roof not vented to the control device shall be equipped with a closure device. If the pressure in the vapor headspace underneath the fixed roof is less than atmospheric pressure when the control device is operating, the closure devices shall be designed to operate such that when the closure device is secured in the closed position there are no visible cracks, holes, gaps, or other open spaces in the closure device or between the perimeter of the cover opening and the closure device. If the pressure in the vapor headspace underneath the fixed roof is equal to or greater than atmospheric pressure when the control device is operating, the closure device shall be designed to operate with no detectable organic emissions.
(C) The fixed roof and its closure devices shall be made of suitable materials that will minimize exposure of the hazardous waste to the atmosphere, to the extent practical, and will maintain the integrity of the fixed roof and closure devices throughout their intended service life. Factors to be considered when selecting the materials for and designing the fixed roof and closure devices shall include: Organic vapor permeability, the effects of any contact with the liquid and its vapor managed in the tank; the effects of outdoor exposure to wind, moisture, and sunlight; and the operating practices used for the tank on which the fixed roof is installed.
(D) The closed-vent system and control device shall be designed and operated in accordance with the requirements of section 66265.1088.
(2) Whenever a hazardous waste is in the tank, the fixed roof shall be installed with each closure device secured in the closed position and the vapor headspace underneath the fixed roof vented to the control device except as follows:
(A) Venting to the control device is not required, and opening of closure devices or removal of the fixed roof is allowed at the following times:
1. To provide access to the tank for performing routine inspection, maintenance, or other activities needed for normal operations. Examples of such activities include those times when a worker needs to open a port to sample liquid in the tank, or when a worker needs to open a hatch to maintain or repair equipment. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable, to the tank.
2. To remove accumulated sludge or other residues from the bottom of a tank.
(B) Opening of a safety device, as defined in section 66260.10, is allowed at any time conditions require doing so to avoid an unsafe condition.
(3) The owner or operator shall inspect and monitor the air emission control equipment in accordance with the following procedures:
(A) The fixed roof and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to, visible cracks, holes, or gaps in the roof sections or between the roof and the tank wall; broken, cracked, or otherwise damaged seals or gaskets on closure devices; and broken or missing hatches, access covers, caps, or other closure devices.
(B) The closed-vent system and control device shall be inspected and monitored by the owner or operator in accordance with the procedures specified in section 66265.1088.
(C) The owner or operator shall perform an initial inspection of the air emission control equipment on or before the date that the tank becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year except for the special conditions provided for in subsection (l) of this section.
(D) In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (k) of this section.
(E) The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66265.1090(b).
(h) The owner or operator who controls air pollutant emissions by using a pressure tank shall meet the following requirements.
(1) The tank shall be designed not to vent to the atmosphere as a result of compression of the vapor headspace in the tank during filling of the tank to its design capacity.
(2) All tank openings shall be equipped with closure devices designed to operate with no detectable organic emissions as determined using the procedure specified in section 66265.1084(d).
(3) Whenever a hazardous waste is in the tank, the tank shall be operated as a closed system that does not vent to the atmosphere except under either of the following conditions as specified in paragraph (h)(3)(A) or (h)(3)(B) of this section.
(A) At those times when opening of a safety device, as defined in section 66260.10, is required to avoid an unsafe condition.
(B) At those times when purging of inerts from the tank is required and the purge stream is routed to a closed-vent system and control device designed and operated in accordance with the requirements of section 66265.1088.
(i) The owner or operator who controls air pollutant emissions by using an enclosure vented through a closed-vent system to an enclosed combustion control device shall meet the requirements specified in subsections (i)(1) through (i)(4) of this section.
(1) The tank shall be located inside an enclosure. The enclosure shall be designed and operated in accordance with the criteria for a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, Appendix B. The enclosure may have permanent or temporary openings to allow worker access; passage of material into or out of the enclosure by conveyor, vehicles, or other mechanical means; entry of permanent mechanical or electrical equipment; or direct airflow into the enclosure. The owner or operator shall perform the verification procedure for the enclosure as specified in Section 5.0 to “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” initially when the enclosure is first installed and, thereafter, annually.
(2) The enclosure shall be vented through a closed-vent system to an enclosed combustion control device that is designed and operated in accordance with the standards for either a vapor incinerator, boiler, or process heater specified in section 66265.1088.
(3) Safety devices, as defined in section 66260.10 may be installed and operated as necessary on any enclosure, closed-vent system, or control device used to comply with the requirements of subsections (i)(1) and (i)(2) of this section.
(4) The owner or operator shall inspect and monitor the closed-vent system and control device as specified in section 66265.1088.
(j) The owner or operator shall transfer hazardous waste to a tank subject to this section in accordance with the following requirements:
(1) Transfer of hazardous waste, except as provided in subsection (j)(2) of this section, to the tank from another tank subject to this section or from a surface impoundment subject to section 66265.1086 shall be conducted using continuous hard-piping or another closed system that does not allow exposure of the hazardous waste to the atmosphere. For the purpose of complying with this provision, an individual drain system is considered to be a closed system when it meets the requirements of 40 CFR part 63, subpart RR--National Emission Standards for Individual Drain Systems.
(2) The requirements of subsection (j)(1) of this section do not apply when transferring a hazardous waste to the tank under any of the following conditions:
(A) The hazardous waste meets the average VO concentration conditions specified in section 66265.1083(c)(1) at the point of waste origination.
(B) The hazardous waste has been treated by an organic destruction or removal process to meet the requirements in section 66265.1083(c)(2).
(C) The hazardous waste meets the requirements of section 66265.1083(c)(4).
(k) The owner or operator shall repair each defect detected during an inspection performed in accordance with the requirements of subsections (c)(4), (e)(3), (f)(3), or (g)(3) of this section as follows:
(1) The owner or operator shall make first efforts at repair of the defect no later than 5 calendar days after detection, and repair shall be completed as soon as possible but no later than 45 calendar days after detection except as provided in subsection (k)(2) of this section.
(2) Repair of a defect may be delayed beyond 45 calendar days if the owner or operator determines that repair of the defect requires emptying or temporary removal from service of the tank and no alternative tank capacity is available at the site to accept the hazardous waste normally managed in the tank. In this case, the owner or operator shall repair the defect the next time the process or unit that is generating the hazardous waste managed in the tank stops operation. Repair of the defect shall be completed before the process or unit resumes operation.
(l) Following the initial inspection and monitoring of the cover as required by the applicable provisions of this article, subsequent inspection and monitoring may be performed at intervals longer than 1 year under the following special conditions:
(1) In the case when inspecting or monitoring the cover would expose a worker to dangerous, hazardous, or other unsafe conditions, then the owner or operator may designate a cover as an “unsafe to inspect and monitor cover” and comply with all of the following requirements:
(A) Prepare a written explanation for the cover stating the reasons why the cover is unsafe to visually inspect or to monitor, if required.
(B) Develop and implement a written plan and schedule to inspect and monitor the cover, using the procedures specified in the applicable section of this article, as frequently as practicable during those times when a worker can safely access the cover.
(2) In the case when a tank is buried partially or entirely underground, an owner or operator is required to inspect and monitor, as required by the applicable provisions of this section, only those portions of the tank cover and those connections to the tank (e.g., fill ports, access hatches, gauge wells, etc.) that are located on or above the ground surface.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 265.1085.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Change without regulatory effect amending subsection (h)(3) and adding subsections (h)(3)(A)-(B) filed 8-3-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 31).
§66265.1086. Standards: Surface Impoundments.
Note     •     History

(a) The provisions of this section apply to the control of air pollutant emissions from surface impoundments for which section 66265.1083(b) references the use of this section for such air emission control.
(b) The owner or operator shall control air pollutant emissions from the surface impoundment by installing and operating either of the following:
(1) A floating membrane cover in accordance with the provisions specified in subsection (c) of this section; or
(2) A cover that is vented through a closed-vent system to a control device in accordance with the requirements specified in subsection (d) of this section.
(c) The owner or operator who controls air pollutant emissions from a surface impoundment using a floating membrane cover shall meet the requirements specified in subsections (c)(1) through (c)(3) of this section.
(1) The surface impoundment shall be equipped with a floating membrane cover designed to meet the following specifications:
(A) The floating membrane cover shall be designed to float on the liquid surface during normal operations and form a continuous barrier over the entire surface area of the liquid.
(B) The cover shall be fabricated from a synthetic membrane material that is either:
1. High density polyethylene (HDPE) with a thickness no less than 2.5 millimeters (mm); or
2. A material or a composite of different materials determined to have both organic permeability properties that are equivalent to those of the material listed in subsection (c)(1)(B)1. of this section and chemical and physical properties that maintain the material integrity for the intended service life of the material.
(C) The cover shall be installed in a manner such that there are no visible cracks, holes, gaps, or other open spaces between cover section seams or between the interface of the cover edge and its foundation mountings.
(D) Except as provided for in subsection (c)(1)(E) of this section, each opening in the floating membrane cover shall be equipped with a closure device designed to operate such that when the closure device is secured in the closed position there are no visible cracks, holes, gaps, or other open spaces in the closure device or between the perimeter of the cover opening and the closure device.
(E) The floating membrane cover may be equipped with one or more emergency cover drains for removal of stormwater. Each emergency cover drain shall be equipped with a slotted membrane fabric cover that covers at least 90 percent of the area of the opening or a flexible fabric sleeve seal.
(F) The closure devices shall be made of suitable materials that will minimize exposure of the hazardous waste to the atmosphere, to the extent practical, and will maintain the integrity of the closure devices throughout their intended service life. Factors to be considered when selecting the materials of construction and designing the cover and closure devices shall include: Organic vapor permeability; the effects of any contact with the liquid and its vapor managed in the surface impoundment; the effects of outdoor exposure to wind, moisture, and sunlight; and the operating practices used for the surface impoundment on which the floating membrane cover is installed.
(2) Whenever a hazardous waste is in the surface impoundment, the floating membrane cover shall float on the liquid and each closure device shall be secured in the closed position except as follows:
(A) Opening of closure devices or removal of the cover is allowed at the following times:
1. To provide access to the surface impoundment for performing routine inspection, maintenance, or other activities needed for normal operations. Examples of such activities include those times when a worker needs to open a port to sample the liquid in the surface impoundment, or when a worker needs to open a hatch to maintain or repair equipment. Following completion of the activity, the owner or operator shall promptly replace the cover and secure the closure device in the closed position, as applicable.
2. To remove accumulated sludge or other residues from the bottom of surface impoundment.
(B) Opening of a safety device, as defined in section 66260.10 is allowed at any time conditions require doing so to avoid an unsafe condition.
(3) The owner or operator shall inspect the floating membrane cover in accordance with the following procedures:
(A) The floating membrane cover and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to, visible cracks, holes, or gaps in the cover section seams or between the interface of the cover edge and its foundation mountings; broken, cracked, or otherwise damaged seals or gaskets on closure devices; and broken or missing hatches, access covers, caps, or other closure devices.
(B) The owner or operator shall perform an initial inspection of the floating membrane cover and its closure devices on or before the date that the surface impoundment becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year except for the special conditions provided for in subsection (g) of this section.
(C) In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (f) of this section.
(D) The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66265.1090(c).
(d) The owner or operator who controls air pollutant emissions from a surface impoundment using a cover vented to a control device shall meet the requirements specified in subsections (d)(1) through (d)(3) of this section.
(1) The surface impoundment shall be covered by a cover and vented directly through a closed-vent system to a control device in accordance with the following requirements:
(A) The cover and its closure devices shall be designed to form a continuous barrier over the entire surface area of the liquid in the surface impoundment.
(B) Each opening in the cover not vented to the control device shall be equipped with a closure device. If the pressure in the vapor headspace underneath the cover is less than atmospheric pressure when the control device is operating, the closure devices shall be designed to operate such that when the closure device is secured in the closed position there are no visible cracks, holes, gaps, or other open spaces in the closure device or between the perimeter of the cover opening and the closure device. If the pressure in the vapor headspace underneath the cover is equal to or greater than atmospheric pressure when the control device is operating, the closure device shall be designed to operate with no detectable organic emissions using the procedure specified in section 66265.1084(d).
(C) The cover and its closure devices shall be made of suitable materials that will minimize exposure of the hazardous waste to the atmosphere, to the extent practical, and will maintain the integrity of the cover and closure devices throughout their intended service life. Factors to be considered when selecting the materials of construction and designing the cover and closure devices shall include: Organic vapor permeability; the effects of any contact with the liquid or its vapors managed in the surface impoundment; the effects of outdoor exposure to wind, moisture, and sunlight; and the operating practices used for the surface impoundment on which the cover is installed.
(D) The closed-vent system and control device shall be designed and operated in accordance with the requirements of section 66265.1088.
(2) Whenever a hazardous waste is in the surface impoundment, the cover shall be installed with each closure device secured in the closed position and the vapor headspace underneath the cover vented to the control device except as follows:
(A) Venting to the control device is not required, and opening of closure devices or removal of the cover is allowed at the following times:
1. To provide access to the surface impoundment for performing routine inspection, maintenance, or other activities needed for normal operations. Examples of such activities include those times when a worker needs to open a port to sample liquid in the surface impoundment, or when a worker needs to open a hatch to maintain or repair equipment. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable, to the surface impoundment.
2. To remove accumulated sludge or other residues from the bottom of the surface impoundment.
(B) Opening of a safety device, as defined in section 66260.10, is allowed at any time conditions require doing so to avoid an unsafe condition.
(3) The owner or operator shall inspect and monitor the air emission control equipment in accordance with the following procedures:
(A) The surface impoundment cover and its closure devices shall be visually inspected by the owner or operator to check for defects that could result in air pollutant emissions. Defects include, but are not limited to, visible cracks, holes, or gaps in the cover section seams or between the interface of the cover edge and its foundation mountings; broken, cracked, or otherwise damaged seals or gaskets on closure devices; and broken or missing hatches, access covers, caps, or other closure devices.
(B) The closed-vent system and control device shall be inspected and monitored by the owner or operator in accordance with the procedures specified in section 66265.1088.
(C) The owner or operator shall perform an initial inspection of the air emission control equipment on or before the date that the surface impoundment becomes subject to this section. Thereafter, the owner or operator shall perform the inspections at least once every year except for the special conditions provided for in subsection (g) of this section.
(D) In the event that a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (f) of this section.
(E) The owner or operator shall maintain a record of the inspection in accordance with the requirements specified in section 66265.1090(c).
(e) The owner or operator shall transfer hazardous waste to a surface impoundment subject to this section in accordance with the following requirements:
(1) Transfer of hazardous waste, except as provided in subsection (e)(2) of this section, to the surface impoundment from another surface impoundment subject to this section or from a tank subject to section 66265.1085 shall be conducted using continuous hard-piping or another closed system that does not allow exposure of the waste to the atmosphere. For the purpose of complying with this provision, an individual drain system is considered to be a closed system when it meets the requirements of 40 CFR part 63, subpart RR--National Emission Standards for Individual Drain Systems.
(2) The requirements of subsection (e)(1) of this section do not apply when transferring a hazardous waste to the surface impoundment under either of the following conditions:
(A) The hazardous waste meets the average VO concentration conditions specified in section 66265.1083(c)(1) at the point of waste origination.
(B) The hazardous waste has been treated by an organic destruction or removal process to meet the requirements in section 66265.1083(c)(2).
(C) The hazardous waste meets the requirements of section 66265.1083(c)(4).
(f) The owner or operator shall repair each defect detected during an inspection performed in accordance with the requirements of subsection (c)(3) or (d)(3) of this section as follows:
(1) The owner or operator shall make first efforts at repair of the defect no later than 5 calendar days after detection, and repair shall be completed as soon as possible but no later than 45 calendar days after detection except as provided in subsection (f)(2) of this section.
(2) Repair of a defect may be delayed beyond 45 calendar days if the owner or operator determines that repair of the defect requires emptying or temporary removal from service of the surface impoundment and no alternative capacity is available at the site to accept the hazardous waste normally managed in the surface impoundment. In this case, the owner or operator shall repair the defect the next time the process or unit that is generating the hazardous waste managed in the tank stops operation. Repair of the defect shall be completed before the process or unit resumes operation.
(g) Following the initial inspection and monitoring of the cover as required by the applicable provisions of this article, subsequent inspection and monitoring may be performed at intervals longer than 1 year in the case when inspecting or monitoring the cover would expose a worker to dangerous, hazardous, or other unsafe conditions. In this case, the owner or operator may designate the cover as an “unsafe to inspect and monitor cover” and comply with all of the following requirements:
(1) Prepare a written explanation for the cover stating the reasons why the cover is unsafe to visually inspect or to monitor, if required.
(2) Develop and implement a written plan and schedule to inspect and monitor the cover using the procedures specified in the applicable section of this article as frequently as practicable during those times when a worker can safely access the cover.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 265.1086.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1087. Standards: Containers.
Note     •     History

(a) The provisions of this section apply to the control of air pollutant emissions from containers for which section 66265.1083(b) references the use of this section for such air emission control.
(b) General requirements.
(1) The owner or operator shall control air pollutant emissions from each container subject to this section in accordance with the following requirements, as applicable to the container, except when the special provisions for waste stabilization processes specified in subsection (b)(2) of this section apply to the container.
(A) For a container having a design capacity greater than 0.1 m3 and less than or equal to 0.46 m3, the owner or operator shall control air pollutant emissions from the container in accordance with the Container Level 1 standards specified in subsection (c) of this section.
(B) For a container having a design capacity greater than 0.46 m3 that is not in light material service, the owner or operator shall control air pollutant emissions from the container in accordance with the Container Level 1 standards specified in subsection (c) of this section.
(C) For a container having a design capacity greater than 0.46 m3 that is in light material service, the owner or operator shall control air pollutant emissions from the container in accordance with the Container Level 2 standards specified in subsection (d) of this section.
(2) When a container having a design capacity greater than 0.1 m3 is used for treatment of a hazardous waste by a waste stabilization process, the owner or operator shall control air pollutant emissions from the container in accordance with the Container Level 3 standards specified in subsection (e) of this section at those times during the waste stabilization process when the hazardous waste in the container is exposed to the atmosphere.
(c) Container Level 1 standards.
(1) A container using Container Level 1 controls is one of the following:
(A) A container that meets the applicable U.S. Department of Transportation (DOT) regulations on packaging hazardous materials for transportation as specified in subsection (f) of this section.
(B) A container equipped with a cover and closure devices that form a continuous barrier over the container openings such that when the cover and closure devices are secured in the closed position there are no visible holes, gaps, or other open spaces into the interior of the container. The cover may be a separate cover installed on the container (e.g., a lid on a drum or a suitably secured tarp on a roll-off box) or may be an integral part of the container structural design (e.g., a “portable tank” or bulk cargo container equipped with a screw-type cap).
(C) An open-top container in which an organic-vapor suppressing barrier is placed on or over the hazardous waste in the container such that no hazardous waste is exposed to the atmosphere. One example of such a barrier is application of a suitable organic-vapor suppressing foam.
(2) A container used to meet the requirements of subsection (c)(1)(B) or (c)(1)(C) of this section shall be equipped with covers and closure devices, as applicable to the container, that are composed of suitable materials to minimize exposure of the hazardous waste to the atmosphere and to maintain the equipment integrity for as long as it is in service. Factors to be considered in selecting the materials of construction and designing the cover and closure devices shall include: Organic vapor permeability, the effects of contact with the hazardous waste or its vapor managed in the container; the effects of outdoor exposure of the closure device or cover material to wind, moisture, and sunlight; and the operating practices for which the container is intended to be used.
(3) Whenever a hazardous waste is in a container using Container Level 1 controls, the owner or operator shall install all covers and closure devices for the container, as applicable to the container, and secure and maintain each closure device in the closed position except as follows:
(A) Opening of a closure device or cover is allowed for the purpose of adding hazardous waste or other material to the container as follows:
1. In the case when the container is filled to the intended final level in one continuous operation, the owner or operator shall promptly secure the closure devices in the closed position and install the covers, as applicable to the container, upon conclusion of the filling operation.
2. In the case when discrete quantities or batches of material intermittently are added to the container over a period of time, the owner or operator shall promptly secure the closure devices in the closed position and install covers, as applicable to the container, upon either the container being filled to the intended final level; the completion of a batch loading after which no additional material will be added to the container within 15 minutes; the person performing the loading operation leaving the immediate vicinity of the container; or the shutdown of the process generating the material being added to the container, whichever condition occurs first.
(B) Opening of a closure device or cover is allowed for the purpose of removing hazardous waste from the container as follows:
1. For the purpose of meeting the requirements of this section, an empty container as defined in section 66261.7(b) may be open to the atmosphere at any time (i.e., covers and closure devices are not required to be secured in the closed position on an empty container).
2. In the case when discrete quantities or batches of material are removed from the container but the container does not meet the conditions to be an empty container as defined in section 66261.7(b), the owner or operator shall promptly secure the closure devices in the closed position and install covers, as applicable to the container, upon the completion of a batch removal after which no additional material will be removed from the container within 15 minutes or the person performing the unloading operation leaves the immediate vicinity of the container, whichever condition occurs first.
(C) Opening of a closure device or cover is allowed when access inside the container is needed to perform routine activities other than transfer of hazardous waste. Examples of such activities include those times when a worker needs to open a port to measure the depth of or sample the material in the container, or when a worker needs to open a manhole hatch to access equipment inside the container. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable to the container.
(D) Opening of a spring-loaded, pressure-vacuum relief valve, conservation vent, or similar type of pressure relief device which vents to the atmosphere is allowed during normal operations for the purpose of maintaining the container internal pressure in accordance with the design specifications of the container. The device shall be designed to operate with no detectable organic emissions when the device is secured in the closed position. The settings at which the device opens shall be established such that the device remains in the closed position whenever the internal pressure of the container is within the internal pressure operating range determined by the owner or operator based on container manufacturer recommendations, applicable regulations, fire protection and prevention codes, standard engineering codes and practices, or other requirements for the safe handling of flammable, ignitable, explosive, reactive, or hazardous materials. Examples of normal operating conditions that may require these devices to open are during those times when the internal pressure of the container exceeds the internal pressure operating range for the container as a result of loading operations or diurnal ambient temperature fluctuations.
(E) Opening of a safety device, as defined in section 66260.10 is allowed at any time conditions require doing so to avoid an unsafe condition.
(4) The owner or operator of containers using Container Level 1 controls shall inspect the containers and their covers and closure devices as follows:
(A) In the case when a hazardous waste already is in the container at the time the owner or operator first accepts possession of the container at the facility and the container is not emptied within 24 hours after the container is accepted at the facility (i.e., does not meet the conditions for an empty container as specified in section 66261.7(b)), the owner or operator shall visually inspect the container and its cover and closure devices to check for visible cracks, holes, gaps, or other open spaces into the interior of the container when the cover and closure devices are secured in the closed position. The container visual inspection shall be conducted on or before the date that the container is accepted at the facility (i.e., the date the container becomes subject to the chapter 30 container standards). For purposes of this requirement, the date of acceptance is the date of signature that the facility owner or operator enters on Item 20 of the Uniform Hazardous Waste Manifest in the appendix to chapter 12 (EPA Forms 8700-22 and 8700-22A), as required under section 66265.71. If a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (c)(4)(C) of this section.
(B) In the case when a container used for managing hazardous waste remains at the facility for a period of 1 year or more, the owner or operator shall visually inspect the container and its cover and closure devices initially and thereafter, at least once every 12 months, to check for visible cracks, holes, gaps, or other open spaces into the interior of the container when the cover and closure devices are secured in the closed position. If a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (c)(4)(C) of this section.
(C) When a defect is detected for the container, cover, or closure devices, the owner or operator shall make first efforts at repair of the defect no later than 24 hours after detection, and repair shall be completed as soon as possible but no later than 5 calendar days after detection. If repair of a defect cannot be completed within 5 calendar days, then the hazardous waste shall be removed from the container and the container shall not be used to manage hazardous waste until the defect is repaired.
(5) The owner or operator shall maintain at the facility a copy of the procedure used to determine that containers with capacity of 0.46 m3 or greater, which do not meet applicable DOT regulations as specified in subsection (f) of this section, are not managing hazardous waste in light material service.
(d) Container Level 2 standards.
(1) A container using Container Level 2 controls is one of the following:
(A) A container that meets the applicable U.S. Department of Transportation (DOT) regulations on packaging hazardous materials for transportation as specified in subsection (f) of this section.
(B) A container that operates with no detectable organic emissions as defined in section 66260.10 and determined in accordance with the procedure specified in subsection (g) of this section.
(C) A container that has been demonstrated within the preceding 12 months to be vapor-tight by using 40 CFR part 60, appendix A, Method 27 in accordance with the procedure specified in subsection (h) of this section.
(2) Transfer of hazardous waste in or out of a container using Container Level 2 controls shall be conducted in such a manner as to minimize exposure of the hazardous waste to the atmosphere, to the extent practical, considering the physical properties of the hazardous waste and good engineering and safety practices for handling flammable, ignitable, explosive, reactive or other hazardous materials. Examples of container loading procedures that the EPA considers to meet the requirements of this subsection include using any one of the following: A submerged-fill pipe or other submerged-fill method to load liquids into the container; a vapor-balancing system or a vapor-recovery system to collect and control the vapors displaced from the container during filling operations; or a fitted opening in the top of a container through which the hazardous waste is filled and subsequently purging the transfer line before removing it from the container opening.
(3) Whenever a hazardous waste is in a container using Container Level 2 controls, the owner or operator shall install all covers and closure devices for the container, and secure and maintain each closure device in the closed position except as follows:
(A) Opening of a closure device or cover is allowed for the purpose of adding hazardous waste or other material to the container as follows:
1. In the case when the container is filled to the intended final level in one continuous operation, the owner or operator shall promptly secure the closure devices in the closed position and install the covers, as applicable to the container, upon conclusion of the filling operation.
2. In the case when discrete quantities or batches of material intermittently are added to the container over a period of time, the owner or operator shall promptly secure the closure devices in the closed position and install covers, as applicable to the container, upon either the container being filled to the intended final level; the completion of a batch loading after which no additional material will be added to the container within 15 minutes; the person performing the loading operation leaving the immediate vicinity of the container; or the shutdown of the process generating the material being added to the container, whichever condition occurs first.
(B) Opening of a closure device or cover is allowed for the purpose of removing hazardous waste from the container as follows:
1. For the purpose of meeting the requirements of this section, an empty container as defined in section 66261.7(b) may be open to the atmosphere at any time (i.e., covers and closure devices are not required to be secured in the closed position on an empty container).
2. In the case when discrete quantities or batches of material are removed from the container but the container does not meet the conditions to be an empty container as defined in section 66261.7(b), the owner or operator shall promptly secure the closure devices in the closed position and install covers, as applicable to the container, upon the completion of a batch removal after which no additional material will be removed from the container within 15 minutes or the person performing the unloading operation leaves the immediate vicinity of the container, whichever condition occurs first.
(C) Opening of a closure device or cover is allowed when access inside the container is needed to perform routine activities other than transfer of hazardous waste. Examples of such activities include those times when a worker needs to open a port to measure the depth of or sample the material in the container, or when a worker needs to open a manhole hatch to access equipment inside the container. Following completion of the activity, the owner or operator shall promptly secure the closure device in the closed position or reinstall the cover, as applicable to the container.
(D) Opening of a spring-loaded, pressure-vacuum relief valve, conservation vent, or similar type of pressure relief device which vents to the atmosphere is allowed during normal operations for the purpose of maintaining the internal pressure of the container in accordance with the container design specifications. The device shall be designed to operate with no detectable organic emission when the device is secured in the closed position. The settings at which the device opens shall be established such that the device remains in the closed position whenever the internal pressure of the container is within the internal pressure operating range determined by the owner or operator based on container manufacturer recommendations, applicable regulations, fire protection and prevention codes, standard engineering codes and practices, or other requirements for the safe handling of flammable, ignitable, explosive, reactive, or hazardous materials. Examples of normal operating conditions that may require these devices to open are during those times when the internal pressure of the container exceeds the internal pressure operating range for the container as a result of loading operations or diurnal ambient temperature fluctuations.
(E) Opening of a safety device, as defined in section 66260.10 is allowed at any time conditions require doing so to avoid an unsafe condition.
(4) The owner or operator of containers using Container Level 2 controls shall inspect the containers and their covers and closure devices as follows:
(A) In the case when a hazardous waste already is in the container at the time the owner or operator first accepts possession of the container at the facility and the container is not emptied within 24 hours after the container is accepted at the facility (i.e., does not meet the conditions for an empty container as specified in section 66261.7(b)), the owner or operator shall visually inspect the container and its cover and closure devices to check for visible cracks, holes, gaps, or other open spaces into the interior of the container when the cover and closure devices are secured in the closed position. The container visual inspection shall be conducted on or before the date that the container is accepted at the facility (i.e., the date the container becomes subject to the chapter 30 container standards). For purposes of this requirement, the date of acceptance is the date of signature that the facility owner or operator enters on Item 20 of the Uniform Hazardous Waste Manifest in the appendix to chapter 12 (EPA Forms 8700-22 and 8700-22A), as required under section 66265.71. If a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (d)(4)(C) of this section.
(B) In the case when a container used for managing hazardous waste remains at the facility for a period of 1 year or more, the owner or operator shall visually inspect the container and its cover and closure devices initially and thereafter, at least once every 12 months, to check for visible cracks, holes, gaps, or other open spaces into the interior of the container when the cover and closure devices are secured in the closed position. If a defect is detected, the owner or operator shall repair the defect in accordance with the requirements of subsection (d)(4)(C) of this section.
(C) When a defect is detected for the container, cover, or closure devices, the owner or operator shall make first efforts at repair of the defect no later than 24 hours after detection, and repair shall be completed as soon as possible but no later than 5 calendar days after detection. If repair of a defect cannot be completed within 5 calendar days, then the hazardous waste shall be removed from the container and the container shall not be used to manage hazardous waste until the defect is repaired.
(e) Container Level 3 standards.
(1) A container using Container Level 3 controls is one of the following:
(A) A container that is vented directly through a closed-vent system to a control device in accordance with the requirements of subsection (e)(2)(B) of this section.
(B) A container that is vented inside an enclosure which is exhausted through a closed-vent system to a control device in accordance with the requirements of subsections (e)(2)(A) and (e)(2)(B) of this section.
(2) The owner or operator shall meet the following requirements, as applicable to the type of air emission control equipment selected by the owner or operator:
(A) The container enclosure shall be designed and operated in accordance with the criteria for a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, appendix B. The enclosure may have permanent or temporary openings to allow worker access; passage of containers through the enclosure by conveyor or other mechanical means; entry of permanent mechanical or electrical equipment; or direct airflow into the enclosure. The owner or operator shall perform the verification procedure for the enclosure as specified in Section 5.0 to “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” initially when the enclosure is first installed and, thereafter, annually.
(B) The closed-vent system and control device shall be designed and operated in accordance with the requirements of section 66265.1088.
(3) Safety devices, as defined in section 66260.10 may be installed and operated as necessary on any container, enclosure, closed-vent system, or control device used to comply with the requirements of subsection (e)(1) of this section.
(4) Owners and operators using Container Level 3 controls in accordance with the provisions of this article shall inspect and monitor the closed-vent systems and control devices as specified in section 66265.1088.
(5) Owners and operators that use Container Level 3 controls in accordance with the provisions of this article shall prepare and maintain the records specified in section 66265.1090(d).
(6) Transfer of hazardous waste in or out of a container using Container Level 3 controls shall be conducted in such a manner as to minimize exposure of the hazardous waste to the atmosphere, to the extent practical, considering the physical properties of the hazardous waste and good engineering and safety practices for handling flammable, ignitable, explosive, reactive, or other hazardous materials. Examples of container loading procedures that the EPA considers to meet the requirements of this paragraph include using any one of the following: A submerged-fill pipe or other submerged-fill method to load liquids into the container; a vapor-balancing system or a vapor-recovery system to collect and control the vapors displaced for the container during filling operations; or a fitted opening in the top of a container through which the hazardous waste is filled and subsequently purging the transfer line before removing it from the container opening.
(f) For the purpose of compliance with subsection (c)(1)(A) or (d)(1)(A) of this section, containers shall be used that meet the applicable U.S. Department of Transportation (DOT) regulations on packaging hazardous materials for transportation as follows:
(1) The container meets the applicable requirements specified in 49 CFR part 178--Specifications for Packaging or 49 CFR part 179--Specifications for Tank Cars.
(2) Hazardous waste is managed in the container in accordance with the applicable requirements specified in 49 CFR part 107, subpart B--Exemptions; 49 CFR part 172--Hazardous Materials Table, Special Provisions, Hazardous Materials Communications, Emergency Response Information, and Training Requirements; 49 CFR part 173--Shippers--General Requirements for Shipments and Packages; and 49 CFR part 180--Continuing Qualification and Maintenance of Packagings.
(3) For the purpose of complying with this article, no exceptions to the 49 CFR part 178 or part 179 regulations are allowed except as provided for in subsection (f)(4) of this section.
(4) For a lab pack that is managed in accordance with the requirements of 49 CFR part 178 for the purpose of complying with this article, an owner or operator may comply with the exceptions for combination packagings specified in 49 CFR 173.12(b).
(g) To determine compliance with the no detectable organic emissions requirements of subsection (d)(1)(B) of this section, the procedure specified in section 66265.1084(d) shall be used.
(1) Each potential leak interface (i.e., a location where organic vapor leakage could occur) on the container, its cover, and associated closure devices, as applicable to the container, shall be checked. Potential leak interfaces that are associated with containers include, but are not limited to: The interface of the cover rim and the container wall; the periphery of any opening on the container or container cover and its associated closure device; and the sealing seat interface on a spring-loaded pressure-relief valve.
(2) The test shall be performed when the container is filled with a material having a volatile organic concentration representative of the range of volatile organic concentrations for the hazardous wastes expected to be managed in this type of container. During the test, the container cover and closure devices shall be secured in the closed position.
(h) Procedure for determining a container to be vapor-tight using Method 27 of 40 CFR part 60, appendix A for the purpose of complying with subsection (d)(1)(C) of this section.
(1) The test shall be performed in accordance with Method 27 of 40 CFR part 60, appendix A of this chapter.
(2) A pressure measurement device shall be used that has a precision of +2.5 mm water and that is capable of measuring above the pressure at which the container is to be tested for vapor tightness.
(3) If the test results determined by Method 27 indicate that the container sustains a pressure change less than or equal to 750 Pascals within 5 minutes after it is pressurized to a minimum of 4,500 Pascals, then the container is determined to be vapor-tight.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 265.1087.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Change without regulatory effect adding subsection (e)(6) filed 8-3-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 31).
§66265.1088. Standards: Closed-Vent Systems and Control Devices.
Note     •     History

(a) This section applies to each closed-vent system and control device installed and operated by the owner or operator to control air emissions in accordance with standards of this article.
(b) The closed-vent system shall meet the following requirements:
(1) The closed-vent system shall route the gases, vapors, and fumes emitted from the hazardous waste in the waste management unit to a control device that meets the requirements specified in subsection (c) of this section.
(2) The closed-vent system shall be designed and operated in accordance with the requirements specified in section 66265.1033(j).
(3) In the case when the closed-vent system includes bypass devices that could be used to divert the gas or vapor stream to the atmosphere before entering the control device, each bypass device shall be equipped with either a flow indicator as specified in subsection (b)(3)(A) of this section or a seal or locking device as specified in subsection (b)(3)(B) of this section. For the purpose of complying with this subsection, low leg drains, high point bleeds, analyzer vents, open-ended valves or lines, spring-loaded pressure relief valves, and other fittings used for safety purposes are not considered to be bypass devices.
(A) If a flow indicator is used to comply with subsection (b)(3) of this section, the indicator shall be installed at the inlet to the bypass line used to divert gases and vapors from the closed-vent system to the atmosphere at a point upstream of the control device inlet. For this subsection, a flow indicator means a device which indicates the presence of either gas or vapor flow in the bypass line.
(B) If a seal or locking device is used to comply with subsection (b)(3) of this section, the device shall be placed on the mechanism by which the bypass device position is controlled (e.g., valve handle, damper lever) when the bypass device is in the closed position such that the bypass device cannot be opened without breaking the seal or removing the lock. Examples of such devices include, but are not limited to, a car-seal or a lock-and-key configuration valve. The owner or operator shall visually inspect the seal or closure mechanism at least once every month to verify that the bypass mechanism is maintained in the closed position.
(4) The closed-vent system shall be inspected and monitored by the owner or operator in accordance with the procedure specified in section 66265.1033(k).
(c) The control device shall meet the following requirements:
(1) The control device shall be one of the following devices:
(A) A control device designed and operated to reduce the total organic content of the inlet vapor stream vented to the control device by at least 95 percent by weight;
(B) An enclosed combustion device designed and operated in accordance with the requirements of section 66265.1033(c); or
(C) A flare designed and operated in accordance with the requirements of section 66265.1033(d).
(2) The owner or operator who elects to use a closed-vent system and control device to comply with the requirements of this section shall comply with the requirements specified in subsections (c)(2)(A) through (c)(2)(F) of this section.
(A) Periods of planned routine maintenance of the control device, during which the control device does not meet the specifications of subsections (c)(1)(A), (c)(1)(B), or (c)(1)(C) of this section, as applicable, shall not exceed 240 hours per year.
(B) The specifications and requirements in subsections (c)(1)(A), (c)(1)(B), and (c)(1)(C) of this section for control devices do not apply during periods of planned routine maintenance.
(C) The specifications and requirements in subsections (c)(1)(A), (c)(1)(B), and (c)(1)(C) of this section for control devices do not apply during a control device system malfunction.
(D) The owner or operator shall demonstrate compliance with the requirements of subsection (c)(2)(A) of this section (i.e., planned routine maintenance of a control device, during which the control device does not meet the specifications of subsections (c)(1)(A), (c)(1)(B), or (c)(1)(C) of this section, as applicable, shall not exceed 240 hours per year) by recording the information specified in section 66265.1090(e)(1)(E).
(E) The owner or operator shall correct control device system malfunctions as soon as practicable after their occurrence in order to minimize excess emissions of air pollutants.
(F) The owner or operator shall operate the closed-vent system such that gases, vapors, and/or fumes are not actively vented to the control device during periods of planned maintenance or control device system malfunction (i.e., periods when the control device is not operating or not operating normally) except in cases when it is necessary to vent the gases, vapors, or fumes to avoid an unsafe condition or to implement malfunction corrective actions or planned maintenance actions.
(3) The owner or operator using a carbon adsorption system to comply with subsection (c)(1) of this section shall operate and maintain the control device in accordance with the following requirements:
(A) Following the initial startup of the control device, all activated carbon in the control device shall be replaced with fresh carbon on a regular basis in accordance with the requirements of section 66265.1033(g) or section 66265.1033(h).
(B) All carbon that is a hazardous waste and that is removed from the control device shall be managed in accordance with the requirements of section 66265.1033(m), regardless of the average volatile organic concentration of the carbon.
(4) An owner or operator using a control device other than a thermal vapor incinerator, flare, boiler, process heater, condenser, or carbon adsorption system to comply with subsection (c)(1) of this section shall operate and maintain the control device in accordance with the requirements of section 66265.1033(i).
(5) The owner or operator shall demonstrate that a control device achieves the performance requirements of subsection (c)(1) of this section as follows:
(A) An owner or operator shall demonstrate using either a performance test as specified in subsection (c)(5)(C) of this section or a design analysis as specified in subsection (c)(5)(D) of this section the performance of each control device except for the following:
1. A flare;
2. A boiler or process heater with a design heat input capacity of 44 megawatts or greater;
3. A boiler or process heater into which the vent stream is introduced with the primary fuel;
4. A boiler or industrial furnace burning hazardous waste for which the owner or operator has been issued a final permit under chapter 20 and has designed and operates the unit in accordance with the requirements of chapter 16, article 8; or
5. A boiler or industrial furnace burning hazardous waste for which the owner or operator has designed and operates in accordance with the interim status requirements of chapter 16, article 8.
(B) An owner or operator shall demonstrate the performance of each flare in accordance with the requirements specified in section 66265.1033(e).
(C) For a performance test conducted to meet the requirements of subsection (c)(5)(A) of this section, the owner or operator shall use the test methods and procedures specified in section 66265.1034(c)(1) through (c)(4).
(D) For a design analysis conducted to meet the requirements of subsection (c)(5)(A) of this section, the design analysis shall meet the requirements specified in section 66265.1035(b)(4)(C).
(E) The owner or operator shall demonstrate that a carbon adsorption system achieves the performance requirements of subsection (c)(1) of this section based on the total quantity of organics vented to the atmosphere from all carbon adsorption system equipment that is used for organic adsorption, organic desorption or carbon regeneration, organic recovery, and carbon disposal.
(6) If the owner or operator and the Department do not agree on a demonstration of control device performance using a design analysis then the disagreement shall be resolved using the results of a performance test performed by the owner or operator in accordance with the requirements of subsection (c)(5)(C) of this section. The Department may choose to have an authorized representative observe the performance test.
(7) The closed-vent system and control device shall be inspected and monitored by the owner or operator in accordance with the procedures specified in sections 66265.1033(f)(2) and 66265.1033(k). The readings from each monitoring device required by section 66265.1033(f)(2) shall be inspected at least once each operating day to check control device operation. Any necessary corrective measures shall be immediately implemented to ensure the control device is operated in compliance with the requirements of this section.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 265.1088.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1089. Inspection and Monitoring Requirements.
Note     •     History

(a) The owner or operator shall inspect and monitor air emission control equipment used to comply with this article in accordance with the applicable requirements specified in sections 66265.1085 through 66265.1088.
(b) The owner or operator shall develop and implement a written plan and schedule to perform the inspections and monitoring required by subsection (a) of this section. The owner or operator shall incorporate this plan and schedule into the facility inspection plan required under section 66265.15.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 265.1089.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66265.1090. Recordkeeping Requirements.
Note     •     History

(a) Each owner or operator of a facility subject to requirements in this article shall record and maintain the information specified in subsections (b) through (j) of this section, as applicable to the facility. Except for air emission control equipment design documentation and information required by subsections (i) and (j) of this section, records required by this section shall be maintained in the operating record for a minimum of 3 years. Air emission control equipment design documentation shall be maintained in the operating record until the air emission control equipment is replaced or otherwise no longer in service. Information required by subsections (i) and (j) of this section shall be maintained in the operating record for as long as the waste management unit is not using air emission controls specified in sections 66265.1085 through 66265.1088 in accordance with the conditions specified in section 66265.1080(d) or section 66265.1080(b)(7) of this article, respectively.
(b) The owner or operator of a tank using air emission controls in accordance with the requirements of section 66265.1085 shall prepare and maintain records for the tank that include the following information:
(1) For each tank using air emission controls in accordance with the requirements of section 66265.1085, the owner or operator shall record:
(A) A tank identification number (or other unique identification description as selected by the owner or operator).
(B) A record for each inspection required by section 66265.1085 that includes the following information:
1. Date inspection was conducted.
2. For each defect detected during the inspection: The location of the defect, a description of the defect, the date of detection, and corrective action taken to repair the defect. In the event that repair of the defect is delayed in accordance with the provisions of section 66265.1085 the owner or operator shall also record the reason for the delay and the date that completion of repair of the defect is expected.
(2) In addition to the information required by subsection (b)(1) of this section, the owner or operator shall record the following information, as applicable to the tank:
(A) The owner or operator using a fixed roof to comply with the Tank Level 1 control requirements specified in section 66265.1085(c) shall prepare and maintain records for each determination for the maximum organic vapor pressure of the hazardous waste in the tank performed in accordance with the requirements of section 66265.1085(c). The records shall include the date and time the samples were collected, the analysis method used, and the analysis results.
(B) The owner or operator using an internal floating roof to comply with the Tank Level 2 control requirements specified in section 66265.1085(e) shall prepare and maintain documentation describing the floating roof design.
(C) Owners and operators using an external floating roof to comply with the Tank Level 2 control requirements specified in section 66265.1085(f) shall prepare and maintain the following records:
1. Documentation describing the floating roof design and the dimensions of the tank.
2. Records for each seal gap inspection required by section 66265.1085(f)(3) describing the results of the seal gap measurements. The records shall include the date that the measurements were performed, the raw data obtained for the measurements, and the calculations of the total gap surface area. In the event that the seal gap measurements do not conform to the specifications in section 66265.1085(f)(1), the records shall include a description of the repairs that were made, the date the repairs were made, and the date the tank was emptied, if necessary.
(D) Each owner or operator using an enclosure to comply with the Tank Level 2 control requirements specified in section 66265.1085(i) shall prepare and maintain the following records:
1. Records for the most recent set of calculations and measurements performed by the owner or operator to verify that the enclosure meets the criteria of a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, appendix B.
2. Records required for the closed-vent system and control device in accordance with the requirements of subsection (e) of this section.
(c) The owner or operator of a surface impoundment using air emission controls in accordance with the requirements of section 66265.1086 shall prepare and maintain records for the surface impoundment that include the following information:
(1) A surface impoundment identification number (or other unique identification description as selected by the owner or operator).
(2) Documentation describing the floating membrane cover or cover design, as applicable to the surface impoundment, that includes information prepared by the owner or operator or provided by the cover manufacturer or vendor describing the cover design, and certification by the owner or operator that the cover meets the specifications listed in section 66265.1086(c).
(3) A record for each inspection required by section 66265.1086 that includes the following information:
(A) Date inspection was conducted.
(B) For each defect detected during the inspection the following information: The location of the defect, a description of the defect, the date of detection, and corrective action taken to repair the defect. In the event that repair of the defect is delayed in accordance with the provisions of section 66265.1086(f), the owner or operator shall also record the reason for the delay and the date that completion of repair of the defect is expected.
(4) For a surface impoundment equipped with a cover and vented through a closed-vent system to a control device, the owner or operator shall prepare and maintain the records specified in subsection (e) of this section.
(d) The owner or operator of containers using Container Level 3 air emission controls in accordance with the requirements of section 66265.1087 shall prepare and maintain records that include the following information:
(1) Records for the most recent set of calculations and measurements performed by the owner or operator to verify that the enclosure meets the criteria of a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, appendix B.
(2) Records required for the closed-vent system and control device in accordance with the requirements of subsection (e) of this section.
(e) The owner or operator using a closed-vent system and control device in accordance with the requirements of section 66265.1088 shall prepare and maintain records that include the following information:
(1) Documentation for the closed-vent system and control device that includes:
(A) Certification that is signed and dated by the owner or operator stating that the control device is designed to operate at the performance level documented by a design analysis as specified in subsection (e)(1)(B) of this section or by performance tests as specified in subsection (e)(1)(C) of this section when the tank, surface impoundment, or container is or would be operating at capacity or the highest level reasonably expected to occur.
(B) If a design analysis is used, then design documentation as specified in section 66265.1035(b)(4). The documentation shall include information prepared by the owner or operator or provided by the control device manufacturer or vendor that describes the control device design in accordance with section 66265.1035(b)(4)(C) and certification by the owner or operator that the control equipment meets the applicable specifications.
(C) If performance tests are used, then a performance test plan as specified in section 66265.1035(b)(3) and all test results.
(D) Information as required by sections 66265.1035(c)(1) and 66265.1035(c)(2), as applicable.
(E) An owner or operator shall record, on a semiannual basis, the information specified in subsections (e)(1)(E)1. and (e)(1)(E)2. of this section for those planned routine maintenance operations that would require the control device not to meet the requirements of section 66265.1088 (c)(1)(A), (c)(1)(B), or (c)(1)(C), as applicable.
1. A description of the planned routine maintenance that is anticipated to be performed for the control device during the next 6-month period. This description shall include the type of maintenance necessary, planned frequency of maintenance, and lengths of maintenance periods.
2. A description of the planned routine maintenance that was performed for the control device during the previous 6-month period. This description shall include the type of maintenance performed and the total number of hours during those 6 months that the control device did not meet the requirements of section 66265.1088 (c)(1)(A), (c)(1)(B), or (c)(1)(C), as applicable, due to planned routine maintenance.
(F) An owner or operator shall record the information specified in subsections (e)(1)(F)1. through (e)(1)(F)3. of this section for those unexpected control device system malfunctions that would require the control device not to meet the requirements of section 66265.1088 (c)(1)(A), (c)(1)(B), or (c)(1)(C), as applicable.
1. The occurrence and duration of each malfunction of the control device system.
2. The duration of each period during a malfunction when gases, vapors, or fumes are vented from the waste management unit through the closed-vent system to the control device while the control device is not properly functioning.
3. Actions taken during periods of malfunction to restore a malfunctioning control device to its normal or usual manner of operation.
(G) Records of the management of carbon removed from a carbon adsorption system conducted in accordance with section 66265.1088(c)(3)(B).
(f) The owner or operator of a tank, surface impoundment, or container exempted from standards in accordance with the provisions of section 66265.1083(c) shall prepare and maintain the following records, as applicable:
(1) For tanks, surface impoundments, or containers exempted under the hazardous waste organic concentration conditions specified in section 66265.1083(c)(1) or sections 66265.1084(c)(2)(A) through (c)(2)(F) the owner or operator shall record the information used for each waste determination (e.g., test results, measurements, calculations, and other documentation) in the facility operating log. If analysis results for waste samples are used for the waste determination, then the owner or operator shall record the date, time, and location that each waste sample is collected in accordance with applicable requirements of section 66265.1084.
(2) For tanks, surface impoundments, or containers exempted under the provisions of sections 66265.1083(c)(2)(G) or 66265.1083(c)(2)(H), the owner or operator shall record the identification number for the incinerator, boiler, or industrial furnace in which the hazardous waste is treated.
(g) An owner or operator designating a cover as “unsafe to inspect and monitor” pursuant to sections 66265.1085(l) or 66265.1086(g) shall record in a log that is kept in the facility operating record the following information: The identification numbers for waste management units with covers that are designated as “unsafe to inspect and monitor,” the explanation for each cover stating why the cover is unsafe to inspect and monitor, and the plan and schedule for inspecting and monitoring each cover.
(h) The owner or operator of a facility that is subject to this article and to the control device standards in 40 CFR part 60, subpart VV, or 40 CFR part 61, subpart V, may elect to demonstrate compliance with the applicable sections of this article by documentation either pursuant to this article, or pursuant to the provisions of 40 CFR part 60, subpart VV or 40 CFR part 61, subpart V, to the extent that the documentation required by 40 CFR parts 60 or 61 duplicates the documentation required by this section.
(i) For each tank or container not using air emission controls specified in sections 66265.1085 through 66265.1088 in accordance with the conditions specified in section 66265.1080(d), the owner or operator shall record and maintain the following information:
(1) A list of the individual organic peroxide compounds manufactured at the facility that meet the conditions specified in section 66265.1080(d)(1).
(2) A description of how the hazardous waste containing the organic peroxide compounds identified in subsection (i)(1) of this section are managed at the facility in tanks and containers. This description shall include the following information:
(A) For the tanks used at the facility to manage this hazardous waste, sufficient information shall be provided to describe for each tank: A facility identification number for the tank; the purpose and placement of this tank in the management train of this hazardous waste; and the procedures used to ultimately dispose of the hazardous waste managed in the tanks.
(B) For containers used at the facility to manage these hazardous wastes, sufficient information shall be provided to describe: A facility identification number for the container or group of containers; the purpose and placement of this container, or group of containers, in the management train of this hazardous waste; and the procedures used to ultimately dispose of the hazardous waste handled in the containers.
(3) An explanation of why managing the hazardous waste containing the organic peroxide compounds identified in subsection (i)(1) of this section in the tanks and containers as described in subsection (i)(2) of this section would create an undue safety hazard if the air emission controls, as required under sections 66265.1085 through 66265.1088, are installed and operated on these waste management units. This explanation shall include the following information:
(A) For tanks used at the facility to manage these hazardous wastes, sufficient information shall be provided to explain: How use of the required air emission controls on the tanks would affect the tank design features and facility operating procedures currently used to prevent an undue safety hazard during the management of this hazardous waste in the tanks; and why installation of safety devices on the required air emission controls, as allowed under this article, will not address those situations in which evacuation of tanks equipped with these air emission controls is necessary and consistent with good engineering and safety practices for handling organic peroxides.
(B) For containers used at the facility to manage these hazardous wastes, sufficient information shall be provided to explain: How use of the required air emission controls on the containers would affect the container design features and handling procedures currently used to prevent an undue safety hazard during the management of this hazardous waste in the containers; and why installation of safety devices on the required air emission controls, as allowed under this article, will not address those situations in which evacuation of containers equipped with these air emission controls is necessary and consistent with good engineering and safety practices for handling organic peroxides.
(j) For each hazardous waste management unit not using air emission controls specified in sections 66265.1085 through 66265.1088 in accordance with the provisions of sections 66265.1080(b)(7) the owner and operator shall record and maintain the following information:
(1) Certification that the waste management unit is equipped with and operating air emission controls in accordance with the requirements of an applicable Clean Air Act regulation codified under 40 CFR part 60, part 61, or part 63.
(2) Identification of the specific requirements codified under 40 CFR part 60, part 61, or part 63 with which the waste management unit is in compliance.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 265.1090.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).

Appendix I to Chapter 15, Article 28.5--Compounds with Henry's Law Constant Less Than 0.1 Y/X

CAS No.		Compound name,

Acetaldol		107-89-1 
Acetamide		 60-35-5 
2-Acetylaminofluorene		53-96-3 
3-Acetyl-5-hydroxypiperidine
3-Acetylpiperidine		618-42-8 
1-Acetyl-2-thiourea		591-08-2 
Acrylamide		79-06-1 
Acrylic acid		79-10-7 

Adenine		73-24-5 
Adipic acid		124-04-9 
Adiponitrile.		111-69-3 
Alachlor		15972-60-8 
Aldicarb		116-06-3 
Ametryn		834-12-8 
4-Aminobiphenyl		92-67-1 

4-Aminopyridine		504-24-5 
Aniline		62-53-3 
o-Anisidine		90-04-0 
Anthraquinone		84-65-1 
Atrazine		1912-24-9 
Benzenearsonic acid		98-05-5 
Benzenesulfonic acid		98-11-3 

Benzidine		92-87-5 
Benzo(a)anthracene		56-55-3 
Benzo(k)fluoranthene		207-08-9 
Benzoic acid		65-85-0 

Benzo(g,h,i)perylene		191-24-2 
Benzo(a)pyrene		50-32-8 
Benzyl alcohol		100-51-6 

gamma-BHC		58-89-9 
Bis(2-ethylhexyl)phthalate		117-81-7 
Bromochloromethyl acetate	

Bromoxynil		1689-84-5 
Butyric acid		107-92-6 
Caprolactam (hexahydro-2H-azepin-2-one)		105-60-2 
Catechol (o-dihydroxybenzene)		120-80-9 
Cellulose		9004-34-6 
Cell wall	
Chlorhydrin (3-Chloro-1,2-propanediol)		96-24-2 
Chloroacetic acid		79-11-8 

2-Chloroacetophenone		93-76-5 
p-Chloroaniline		106-47-8 
p-Chlorobenzophenone		134-85-0 
Chlorobenzilate		510-15-6 
p-Chloro-m-cresol (6-chloro-m-cresol)		59-50-7
3-Chloro-2,5-diketopyrrolidine	
Chloro-1,2-ethane diol	
4-Chlorophenol		106-48-9 
Chlorophenol polymers (2-chlorophenol 
 & 4-chlorophenol) 		95-57-8 &
		 106-48-9

1-(o-Chlorophenyl)thiourea		5344-82-1 
Chrysene		218-01-9 
Citric acid		77-92-9 
Creosote		8001-58-9 
m-Cresol		108-39-4 
o-Cresol		95-48-7 

p-Cresol		106-44-5 
Cresol (mixed isomers)		1319-77-3 
4-Cumylphenol		27576-86 
Cyanide		57-12-5 

4-Cyanomethyl benzoate	 
Diazinon		333-41-5 
Dibenzo(a,h)anthracene		53-70-3 
Dibutylphthalate		84-74-2 

2,5-Dichloroaniline (N,N'-dichloroaniline)		95-82-9
2,6-Dichlorobenzonitrile11		1194-65-6 
2,6-Dichloro-4-nitroaniline		99-30-9

2,5-Dichlorophenol		333-41-5 
3,4-Dichlorotetrahydrofuran		3511-19 
Dichlorvos (DDVP)		62737 

Diethanolamine		111-42-2 
N,N-Diethylaniline		91-66-7 
Diethylene glycol		111-46-6 
Diethylene glycol dimethyl ether 
 (dimethyl Carbitol)		111-96-6 

Diethylene glycol monobutyl ether 
 (butyl Carbitol)		112-34-5
Diethylene glycol monoethyl ether acetate 
 (Carbitol acetate) 		112-15-2
Diethylene glycol monoethyl ether 
 (Carbitol Cellosolve)		111-90-0 

Diethylene glycol monomethyl ether 
 (methyl Carbitol)		111-77-3
N,N'-Diethylhydrazine		1615-80-1 

Diethyl (4-methylumbelliferyl) 
 thionophosphate		299-45-6 
Diethyl phosphorothioate		126-75-0
N,N'-Diethylpropionamide		15299-99-7 
Dimethoate		60-51-5 
2,3-Dimethoxystrychnidin-10-one		357-57-3 

4-Dimethylaminoazobenzene		60-11-7 
7,12-Dimethylbenz(a)anthracene		57-97-6 
3,3-Dimethylbenzidine		119-93-7 
Dimethylcarbamoyl chloride		79-44-7 

Dimethyldisulfide		624-92-0 
Dimethylformamide		68-12-2 
1,1-Dimethylhydrazine		57-14-7 
Dimethylphthalate		131-11-3 

Dimethylsulfone		67-71-0 
Dimethylsulfoxide		67-68-5 
4,6-Dinitro-o-cresol		534-52-1 
1,2-Diphenylhydrazine		122-66-7 
Dipropylene glycol (1,1'-oxydi-2-propanol)		110-98-5 
Endrin		72-20-8 

Epinephrine		51-43-4 
mono-Ethanolamine		141-43-5 
Ethyl carbamate (urethane)		5-17-96 
Ethylene glycol		107-21-1 

Ethylene glycol monobutyl ether (butyl 
 Cellosolve)		111-76-2 

Ethylene glycol monoethyl ether (Cellosolve)		110-80-5 
Ethylene glycol monoethyl ether acetate 
 (Cellosolve acetate)		111-15-9 

Ethylene glycol monomethyl ether (methyl 
 Cellosolve)		109-86-4 
Ethylene glycol monophenyl ether (phenyl 
 Cellosolve)		122-99-6 
Ethylene glycol monopropyl ether (propyl 
 Cellosolve)		2807-30-9 

Ethylene thiourea (2-imidazolidinethione)		9-64-57 
4-Ethylmorpholine		100-74-3 
3-Ethylphenol		620-17-7 
Fluoroacetic acid, sodium salt		62-74-8 
Formaldehyde		50-00-0 

Formamide		75-12-7 
Formic acid		64-18-6 
Fumaric acid		110-17-8 
Glutaric acid		110-94-1 

Glycerin (Glycerol)		56-81-5 
Glycidol		556-52-5 

Glycinamide		598-41-4 
Glyphosate		1071-83-6 
Guthion		86-50-0 
Hexamethylene-1,6-diisocyanate 
 (1,6-diisocyanatohexane)		822-06-0 
Hexamethyl phosphoramide		680-31-9 

Hexanoic acid		142-62-1 
Hydrazine		302-01-2 
Hydrocyanic acid		74-90-8 

Hydroquinone		123-31-9 
Hydroxy-2-propionitrile (hydracrylonitrile)		109-78-4 
Indeno (1,2,3-cd) pyrene		193-39-5 
Lead acetate		301-04-2 

Lead subacetate (lead acetate, monobasic)		1335-32-6 
Leucine		61-90-5 
Malathion		121-75-5 
Maleic acid		110-16-7 
Maleic anhydride		108-31-6 
Mesityl oxide		141-79-7 

Methane sulfonic acid		75-75-2 
Methomyl		16752-77-5 
p-Methoxyphenol		150-76-5 

Methyl acrylate		96-33-3 
4,4'-Methylene-bis-(2-chloroaniline)		101-14-4 
4,4'-Methylenediphenyl diisocyanate 
 (diphenyl methane diisocyanate)		101-68-8 

4,4'-Methylenedianiline		101-77-9 
Methylene diphenylamine (MDA)	
5-Methylfurfural		620-02-0 
Methylhydrazine		60-34-4 

Methyliminoacetic acid	
Methyl methane sulfonate		66-27-3 
1-Methyl-2-methoxyaziridine	
Methylparathion		298-00-0 

Methyl sulfuric acid (sulfuric acid, dimethyl 
 ester)		77-78-1 
4-Methylthiophenol		106-45-6 
Monomethylformamide (N-methylformamide)		123-39-7 

Nabam		142-59-6 
alpha-Naphthol		90-15-3 
beta-Naphthol		135-19-3 
alpha-Naphthylamine		134-32-7 
beta-Naphthylamine		91-59-8 
Neopentyl glycol (dimethylolpropane)		126-30-7 
Niacinamide		98-92-0 
o-Nitroaniline		88-74-4 

Nitroglycerin		55-63-0 
2-Nitrophenol		88-75-5 
4-Nitrophenol		100-02-7 
N-Nitrosodimethylamine		62-75-9 
Nitrosoguanidine		674-81-7 

N-Nitroso-n-methylurea		684-93-5 
N-Nitrosomorpholine (4-nitrosomorpholine)		59-89-2 
Oxalic acid		144-62-7 
Parathion		56-38-2 

Pentaerythritol		115-77-5 
Phenacetin		62-44-2 
Phenol		108-95-2 

Phenylacetic acid		103-82-2 
m-Phenylene diamine		108-45-2 
o-Phenylene diamine		95-54-5 

p-Phenylene diamine		106-50-3 
Phenyl mercuric acetate		62-38-4 
Phorate		298-02-2 
Phthalic anhydride		85-44-9 

alpha-Picoline (2-methyl pyridine)		109-06-8 
1,3-Propane sulfone		1120-71-4 
beta-Propiolactone		57-57-8 

Proporur (Baygon)	 
Propylene glycol		57-55-6 
Pyrene		129-00-0 

Pyridinium bromide		39416-48-3 
Quinoline		91-22-5 

Quinone (p-benzoquinone)		106-51-4 
Resorcinol		108-46-3 
Simazine		122-34-9 

Sodium acetate		127-09-3 
Sodium formate		141-53-7 
Strychnine		57-24-9 

Succinic acid		110-15-6 
Succinimide		123-56-8 
Sulfanilic acid		121-47-1 

Terephthalic acid		100-21-0 
Tetraethyldithiopyrophosphate		3689-24-5 
Tetraethylenepentamine		112-57-2 

Thiofanox		39196-18-4 
Thiosemicarbazide		79-19-6 
2,4-Toluenediamine		95-80-7 

2,6-Toluenediamine		823-40-5 
3,4-Toluenediamine		496-72-0 

2,4-Toluene diisocyanate		584-84-9 
p-Toluic acid		99-94-5 
m-Toluidine		108-44-1 

1,1,2-Trichloro-1,2,2-trifluoroethane		76-13-1 
Triethanolamine		102-71-6 
Triethylene glycol dimethyl ether	 

Tripropylene glycol		24800-44-0 
Warfarin		81-81-2 
3,4-Xylenol(3,4-dimethylphenol) 		95-65-8
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Appendix VI, Part 265.
HISTORY

1. Change without regulatory effect adding new Appendix I filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
2. Change without regulatory effect amending Appendix heading filed 6-11-99 pursuant to Health and Safety Code section 25159.1 and section 100, title 1, California Code of Regulations (Register 99, No. 24).
Article 29. Containment Buildings
§66265.1100. Applicability.
Note     •     History

The requirements of this article apply to owners or operators who store or treat hazardous waste in units designed and operated under section 66265.1101. These provisions will become effective on February 18, 1993, although the owner or operator may notify the Department of the owner or operator's intent to be bound by this article at an earlier time. The owner or operator is not subject to the definition of land disposal in section 66260.10 provided that the unit:
(a) Is a completely enclosed, self-supporting structure that is designed and constructed of manmade materials of sufficient strength and thickness to support themselves, the waste contents, and any personnel and heavy equipment that operate within the unit, and to prevent failure due to pressure gradients, settlement, compression, or uplift, physical contact with the hazardous wastes to which they are exposed; climatic conditions; and the stresses of daily operation, including the movement of heavy equipment within the unit and contact of such equipment with containment walls;
(b) Has a primary barrier that is designed to be sufficiently durable to withstand the movement of personnel, wastes, and handling equipment within the unit;
(c) If the unit is used to manage liquids, has: 
(1) A primary barrier designed and constructed of materials to prevent migration of hazardous constituents into the barrier;
(2) A liquid collection system designed and constructed of materials to minimize the accumulation of liquid on the primary barrier; and 
(3) A secondary containment system designed and constructed of materials to prevent migration of hazardous constituents into the barrier, with a leak detection and liquid collection system capable of detecting, collecting, and removing leaks of hazardous constituents at the earliest possible time, unless the unit has been granted a variance from the secondary containment system requirements of section 66265.1101(b)(4);
(d) Has controls sufficient to prevent fugitive dust emissions to meet the no visible emission standard in section 66265.1101(c)(1)(D); and
(e) Is designed and operated to ensure containment and prevent the tracking of materials from the unit by personnel or equipment.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 265.1100.
HISTORY

1. New article 29 and section filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New article 29 and section refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New article 29 and section refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New article 29 and section refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order including amendment of first paragraph and subsection (c)(3) transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
6. Change without regulatory effect amending subsection (d) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66265.1101. Design and Operating Standards.
Note     •     History

(a) All containment buildings shall comply with the following design standards:
(1) The containment buildings shall be completely enclosed with a floor, walls, and a roof to prevent exposure to the elements, (e.g., precipitation, wind, runon), and to assure containment of managed wastes.
(2) The floor and containment walls of the unit, including the secondary containment system, if required under subsection (b) of this section, shall be designed and constructed of materials of sufficient strength and thickness to support themselves, the waste contents, and any personnel and heavy equipment that operate within the unit, and to prevent failure due to pressure gradients, settlement, compression, or uplift, physical contact with the hazardous wastes to which they are exposed; climatic conditions; and the stresses of daily operation, including the movement of heavy equipment within the unit and contact of such equipment with containment walls. The unit shall be designed so that it has sufficient structural strength to prevent collapse or other failure. All surfaces to be in contact with hazardous wastes shall be chemically compatible with those wastes. The Department will consider standards established by professional organizations generally recognized by the industry such as the American Concrete Institute (ACI) and the American Society of Testing Materials (ASTM) in judging the structural integrity requirements of this subsection. If appropriate to the nature of the waste management operation to take place in the unit, an exception to the structural strength requirement may be made for light-weight doors and windows that meet these criteria:
(A) They provide an effective barrier against fugitive dust emissions under subsection (c)(1)(D); and
(B) The unit is designed and operated in a fashion that assures that wastes will not actually come in contact with these openings.
(3) Incompatible hazardous wastes or treatment reagents shall not be placed in the unit or its secondary containment system if they could cause the unit or secondary containment system to leak, corrode, or otherwise fail.
(4) A containment building shall have a primary barrier designed to withstand the movement of personnel, waste, and handling equipment in the unit during  the operating life of the unit and appropriate for the physical and chemical characteristics of the waste to be managed.
(b) For a containment building used to manage hazardous wastes containing free liquids or treated with free liquids (the presence of which is determined by the paint filter test, a visual examination, or other appropriate means), the owner or operator shall include:
(1) A primary barrier designed and constructed of materials to prevent the migration of hazardous constituents into the barrier (e.g. a geomembrane covered by a concrete wear surface);
(2) A liquid collection and removal system to prevent the accumulation of liquid on the primary barrier of the containment building:
(A) The primary barrier shall be sloped to drain liquids to the associated collection system; and
(B) Liquids and waste shall be collected and removed to minimize hydraulic head on the containment system at the earliest practicable time that protects human health and the environment;
(3) A secondary containment system including a secondary barrier designed and constructed to prevent migration of hazardous constituents into the barrier, and a leak detection system that is capable of detecting failure of the primary barrier and collecting accumulated hazardous wastes and liquids at the earliest practicable time.
(A) The requirements of the leak detection component of the secondary containment system are satisfied by installation of a system that is, at a minimum:
1. Constructed with a bottom slope of 1 percent or more; and
2. Constructed of a granular drainage material with a hydraulic conductivity of 1X10-2 cm/sec or more and a thickness of 12 inches (30.5 cm) or more, or constructed of synthetic or geonet drainage materials with a transmissivity of 3X10-5 m2/sec or more.
(B) If treatment is to be conducted in the building, an area in which such treatment will be conducted shall be designed to prevent the release of liquids, wet materials, or liquid aerosols to other portions of the building.
(C) The secondary containment system shall be constructed of materials that are chemically resistant to the waste and liquids managed in the containment building and of sufficient strength and thickness to prevent collapse under the pressure exerted by overlaying materials and by any equipment used in the containment building. (Containment buildings can serve as secondary containment systems for tanks placed within the building under certain conditions. A containment building can serve as an external liner system for a tank, provided it meets the requirements of section 66265.193(d)(1). In addition, the containment building shall meet the requirements of section 66265.193(b) and (c) to be considered an acceptable secondary containment system for a tank.)
(c) Owners or operators of all containment buildings shall:
(1) Use controls and practices to ensure containment of the hazardous waste within the unit; and, at a minimum,
(A) Maintain the primary barrier to be free of significant cracks, gaps, corrosion, or other deterioration that could cause hazardous waste to be released from the primary barrier;
(B) Maintain the level of the stored/treated hazardous waste within the containment walls of the unit so that the height of any containment wall is not exceeded;
(C) Take measures to prevent the tracking of hazardous waste out of the unit by personnel or by equipment used in handling the waste. An area shall be designated to decontaminate equipment and any rinsate shall be collected and properly managed; and
(D) Take measures to control fugitive dust emissions such that any openings (doors, windows, vents, cracks, etc.) exhibit no visible emissions  In addition, all associated particulate collection devices (e.g., fabric filter, electrostatic precipitator) shall be operated and maintained with sound air pollution control practices (see 40 CFR part 60 subpart 292 for guidance). This state of no visible emissions shall be maintained effectively at all times during normal operating conditions, including when vehicles and personnel are entering and exiting the unit;
(2) Obtain certification by a qualified  registered professional engineer that the containment building design meets the requirements of paragraphs (a) through (c) of this section. For units placed into operation prior to February 18, 1993, this certification shall be placed in the facility's operating record (on-site files for generators who are not formally required to have operating records) no later than 60 days after the date of initial operation of the unit. After February 18, 1993, PE certification will be required prior to operation of the unit;
(3) Throughout the active life of the containment building, if the owner or operator detects a condition that could lead to or has caused a release of hazardous waste, shall repair the condition promptly, in accordance with the following procedures.
(A) Upon detection of a condition that has lead to a release of hazardous waste (e.g., upon detection of leakage from the primary barrier) the owner or operator shall:
1. Enter a record of the discovery in the facility operating record;
2. Immediately remove the portion of the containment building affected by the condition from service;
3. Determine what steps shall be taken to repair the containment building, remove any leakage from the secondary collection system, and establish a schedule for accomplishing the cleanup and repairs; and
4. Within 7 days after the discovery of the condition, notify the Department of the condition, and within 14 working days, provide a written notice to the Department with a description of the steps taken to repair the containment building, and the schedule for accomplishing the work,
(B) The Department will review the information submitted, make a determination regarding whether the containment building shall be removed from service completely or partially until repairs and cleanup are complete, and notify the owner or operator of the determination and the underlying rationale in writing.
(C) Upon completing all repairs and cleanup the owner or operator shall notify the Department in writing and provide a verification signed by a qualified, registered professional engineer, that the repairs and cleanup have been completed according to the written plan submitted in accordance with subsection (c)(3)(A)4; and
(4) Inspect and record in the facility's operating record, at least once every seven days, data gathered from monitoring equipment and leak detection equipment as well as the containment building and the area immediately surrounding the containment building to detect signs of releases of hazardous waste.
(d) For containment buildings that contain areas both with and without secondary containment, the owner or operator shall:
(1) Design and operate each area in accordance with the requirements enumerated in paragraphs (a) through (c) of this section;
(2) Take measures to prevent the release of liquids or wet materials into areas without secondary containment; and
(3) Maintain in the facility's operating log a written description of the operating procedures used to maintain the integrity of areas without secondary containment.
(e) Notwithstanding any other provision of this article, the Department may waive requirements for secondary containment for a permitted containment building where the owner or operator demonstrates that the only free liquids in the unit are limited amounts of dust suppression liquids required to meet occupational health and safety requirements, and where containment of managed wastes and liquids can be assured without a secondary containment system.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 265.1101.
HISTORY

1. New section filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New section  refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New section  refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order including amendment of section transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
6. Change without regulatory effect amending subsections (b)(3)(C) and (e) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
7. Change without regulatory effect amending subsections (a)(3) and (c)(1) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66265.1102. Closure and Post-Closure Care.
Note     •     History

(a) At closure of a containment building, the owner or operator shall remove or decontaminate all waste residues, contaminated containment system components (liners, etc.,) contaminated subsoils, and structures and equipment contaminated with waste and leachate, and manage them as hazardous waste unless section 66261.3(d) applies. The closure plan, closure activities, cost estimates for closure, and financial responsibility for containment buildings shall meet all of the requirements specified in articles 7 and 8 of this chapter.
(b) If, after removing or decontaminating all residues and making all reasonable efforts to effect removal or decontamination of contaminated components, subsoils, structures, and equipment as required in subsection (a) of this section, the owner or operator finds that not all contaminated subsoils can be practicably removed or decontaminated, the owner or operator shall close the facility and perform post-closure care in accordance with the closure and post-closure requirements that apply to landfills (section 66265.310). In addition, for the purposes of closure, post-closure, and financial responsibility, such a containment building is then considered to be a landfill, and the owner or operator shall meet all of the requirements for landfills specified in articles 7 and 8 of this chapter.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 265.1102.
HISTORY

1. New section filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New section  refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order including amendments transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5)
§66265.1103 - 66265.1110. [Reserved].

NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code and 40 CFR Sections 265.1102 and 265.1103-265.1110.
Chapter 16. Recyclable Materials (Recyclable Hazardous Wastes)
Article 1. General
§66266.1. Justification Statement for Disposal of a Recyclable Hazardous Waste.
Note     •     History

(a) Within 365 days of the disposal of a recyclable hazardous waste listed in section 66266.2, the Department may request the generator of such hazardous waste to provide the Department with a written statement justifying having not recycled the recyclable hazardous waste. A generator requested to provide such a statement shall comply within 30 days of the Department's written request.
(b) The Department's request for a statement from the generator pursuant to subdivision (a) above shall cite a special property or component of the hazardous waste and a possible use or method of recycling the hazardous waste that the Department considers economically and technologically feasible.
(c) The statement from the generator pursuant to subdivision (a) above that justifies having not recycled a recyclable hazardous waste shall include, at a minimum, the following information:
(1) the general description, source, chemical composition, physical state, and amount of the recyclable hazardous waste;
(2) the amount of similar hazardous waste discarded or recycled during the 365-day period preceding the disposal in question;
(3) an estimate of the amount of similar hazardous waste to be generated by the generator in the 365-day period succeeding the disposal in question;
(4) a summary of efforts made to find a use for the recyclable hazardous waste such as the following:
(A) use without processing;
(B) use after processing to remove or modify undesired impurities;
(C) use as a source of energy by the generator or by another person;
(5) the technologic, economic and other reasons for not recycling the recyclable hazardous waste, taking into account relevant factors, which may include any of the following:
(A) the available amount and the storability of the recyclable hazardous waste;
(B) chemical, physical, toxicological or other properties of the recyclable hazardous waste which might affect its recyclability;
(C) the concentration or recoverability of the chemical component, chemical reactivity, fuel value or other attribute cited by the Department pursuant to subdivision (b) above which may determine the feasibility of recycling the hazardous waste;
(D) the processing required in recycling the recyclable hazardous waste and the availability and cost of suitable processing technology and facilities;
(E) the marketability of the recyclable hazardous waste or its reclaimed components in terms of the distance from the recyclable hazardous waste source to the point of use or reclamation, the costs of handling and transport, and the current market prices for the individual waste components as pure or technical grade materials;
(F) copies of the diligent investigation or environmental audit of the facility or facilities that could have potentially recycled the recyclable hazardous waste; and/or
(G) any other information pertaining to the facility or facilities that could have potentially recycled the recyclable hazardous waste that influenced or formed the basis of the generator's decision to dispose of the recyclable hazardous waste.
(d) The justification statement shall identify all information contained therein that the generator believes is a trade secret as defined in Health and Safety Code sections 25173 and 25358.2. It is the obligation of the generator claiming the trade secret to substantiate the claim. The Department shall notify the generator when the Department has made its determination regarding the generator's claim that certain information contained in the statement submitted to the Department pursuant to this section is a trade secret.
(e) The Department shall notify the generator, in writing within ninety (90) days, of its findings after it has reviewed the generator's justification statement.
(f) A generator who disposes of a recyclable hazardous waste (at least 30 days after the generator receives a notice of the Department's finding that the hazardous waste is economically and technologically feasible to recycle) is subject to five times the disposal fee that would otherwise apply to the disposal of that hazardous waste.
NOTE

Authority cited: Sections 25150 and 25175, Health and Safety Code. Reference: Sections 25159.5 and 25175, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section heading, section and Note filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
§66266.2. List of Recyclable Hazardous Wastes.
Note     •     History

(a) Wastes on the list of Recyclable Hazardous Wastes in subdivision (b) are wastes which the Department finds to be both economically and technologically feasible to recycle.
(b) List of Recyclable Hazardous Wastes
acetone
benzene
butanol
carbon tetrachloride
chloroform
ethanol
ethyl acetate
ethylene glycol (used antifreeze)
Freons
hexanes
lead-acid batteries
methanol
methylene dichloride
methyl ethyl ketone
mixed hydrocarbon solvents
paint thinner
perchloroethylene
trichloroethane
toluene
xylenes
used oil
NOTE

Authority cited: Sections 25150 and 25175, Health and Safety Code. Reference: Sections 25159.5 and 25175, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section heading, section and Note filed 6-12-2003; operative 7-12-2003 (Register 2003, No. 24).
Article 2. Generator, Transporter and Facility Operator Requirements
§66266.3. Requirements for Generator of Recyclable Material.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25143.2, 25153, 25154, 25159.5 and 25170, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
§66266.4. Requirements for Transporter of Recyclable Material.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25143.2, 25154, 25159.5 and 25170, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
§66266.5. Requirements for Operator of a Resource Recovery Facility.
Note     •     History

NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25143.2, 25154, 25170, 25200 and 25201, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Editorial correction of printing error in subsection (a) (Register 92, No. 49).
3. Amendment  of subsection (a)(5) and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
4. Repealer filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
§66266.6. Exclusions.
Note     •     History

(a) The following materials are not regulated under this division:
(1) a product for use in agriculture that was processed from a non-RCRA hazardous waste at a facility which is authorized by the Department pursuant to this division and which is licensed by the California Department of Food and Agriculture pursuant to Food and Agricultural Code sections 14551 or 15051, and that meets the requirements of that Department for such use;
(2) surplus material as defined in section 66260.10.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 14551 and 15051, Food and Agricultural Code; and Section 25170, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66266.7. Series A Resource Recovery Facility Permit.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25159.5, 25170, 25200 and 25201, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
§66266.8. Series B Resource Recovery Facility Permit.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25159.5, 25170, 25200 and 25201, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
§66266.9. Series C Resource Recovery Facility Permit.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25159.5, 25170, 25200 and 25201, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
§66266.10. Criteria for Compliance.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25159.5, 25170, 25200 and 25201, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
§66266.11. General Provisions for Resource Recovery Facilities.
Note     •     History

(a) No person shall create, manufacture, or produce from a hazardous waste, a product which poses a hazard to health, safety or the environment under the circumstances of its intended use.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25159.5, 25170, 25200 and 25201, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer of subsection (a) and subsection relettering filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
§66266.12. Requirements for Persons Who Store and/or Recycle Recyclable Materials.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 261.6.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Repealer filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
Article 3. Requirements for Management of Recyclable Materials Used in a Manner That Constitutes Disposal

[Reserved]
§66266.20. Applicability.
Note     •     History

This article applies to recyclable materials that, in the course of being recycled, are placed on the land, either without mixing with other materials or after mixing with other materials. These recyclable materials are considered to be: “used in a manner constituting disposal” pursuant to subdivisions (e)(1) and (e)(2) of section 25143.2 of the Health and Safety Code.
NOTE

Authority cited: Sections 25143.2(e)(2) and 25150(e), Health and Safety Code. Reference: Sections 25143.2(f), 25150(e), 25170(i) and 25244.1, Health and Safety Code.
HISTORY

1. Amendment of article heading, new article 3 (sections 66266.20-66266.21) and section filed 6-9-97; operative 1-1-98 (Register 97, No. 24).
§66266.21. Requirements.
Note     •     History

(a) Recyclable materials that are placed on the land are regulated as hazardous wastes according to this division and Chapter 6.5, Division 20 of the Health and Safety Code, unless the requirements of subdivision (b) of this section are met.
(b) Recyclable materials that are placed on the land and which meet all applicable requirements for exclusion from classification as a waste or for an exemption set forth in section 25143.2 of the Health and Safety Code (HSC), except for the requirement set forth in HSC section 25143.2(e)(2), shall not be regulated pursuant to HSC section 25143.2(e)(2) if the following requirements are met.
(1) The recyclable material shall be a non-RCRA hazardous waste.
(2) The recyclable material shall not be used as an ingredient in an industrial furnace, as defined in section 66260.10, to produce a product that is placed on the land, unless either of the following criteria are met:
(A) the industrial furnace is operating pursuant to the requirements of Article 8 of Chapter 16, “Hazardous Wastes Burned in Boilers or Industrial Furnaces,” with regard to the hazardous constituents in the recyclable material (the owner or operator of the industrial furnace must also comply with all requirements of the local air quality management district or air pollution control district); or
(B) the owner or operator of the industrial furnace has a permit from the local air quality management district or air pollution control district addressing the hazardous constituents in the recyclable material (in this case, the local air quality management district or air pollution control district would have sole jurisdiction over air emissions from hazardous constituents in the recyclable material).
(3) The recyclable material, either in its existing state or in processed products, shall not be used in agriculture as a fertilizer, soil amendment, agricultural mineral, auxiliary soil and plant substance, or animal feed.
(4) The recyclable material shall not meet the criteria for a hazardous waste set forth in this division because of:
(A) the characteristics of acute toxicity set forth in paragraphs (a)(3) through (a)(5) of section 66261.24; or
(B) constituents listed in paragraph (a)(7) of section 66261.24; or
(C) any criterion of an extremely hazardous waste as set forth in sections 66261.110 and 66261.113; or
(D) asbestos content exceeding one (1) percent by weight, as specified in section 66261.24(a)(2)(A) of this chapter.
(5) Where the recyclable material is used as an ingredient in the manufacture of a product that is placed on the land, hazardous constituents in the recyclable material whose concentrations are greater than or equal to the Soluble Threshold Limit Concentrations (STLCs) set forth in section 66261.24(a)(2)(A) shall have chemically reacted or become physically bound so as not to leach from the product containing the recyclable material. Specifically, the hazardous constituents shall not leach out of the product in concentrations that would exceed the applicable STLC, once the effect of dilution by other ingredients (as explained below) has been taken into account.
In order to demonstrate that the hazardous constituents in the recyclable material are bound in the product so that they would not exceed the applicable STLC, even when eliminating the effect of dilution by other ingredients, the following procedures must be used.
(A) Sampling of the recyclable material and the product shall be conducted according to the sampling methods described in Test Methods for Evaluating Solid Waste, Physical/Chemical Methods, SW-846, 3rd edition, U.S. Environmental Protection Agency, 1986, or one of the sampling methods listed in Appendix I, Chapter 11 of this division.
(B) Analysis of the recyclable material and the product shall be conducted according to the Waste Extraction Test (WET), Appendix II, Chapter 11 of this division or an alternative test method approved pursuant to 22 CCR section 66260.21.
(C) The concentration of the hazardous constituents in the final product must be multiplied by the dilution factor inherent in combining the recyclable material with other materials. The dilution factor is calculated by dividing the weight of the final product made with the recyclable material by the weight of the recyclable material used in the product, or

View Graphic
The final calculation of the hazardous constituents present in the product, as determined by taking into account the effects of dilution, must be less than the applicable STLC.
[The following is an example of how these calculations can be done.
A ton of spent sandblast grit, which is hazardous due to a mean soluble lead concentration of 12 mg/L, is combined with nineteen tons of other aggregate and asphalt to produce twenty tons of asphaltic concrete. The dilution factor is calculated by dividing the twenty tons of final product, including the recyclable material, by the original one ton of recyclable material. This gives us a dilution factor of 20. The asphaltic concrete is then subjected to the WET and yields mean results for lead of 0.23 mg/L. This number is then multiplied by the dilution factor, 20, for a result of 4.60 mg/L. This final result, 4.60 mg/L, does not exceed the STLC for lead of 5 mg/L and therefore meets the criterion.
Note: This is only an example of how to implement this requirement and does not provide guidelines for hazardous waste sampling and analysis. Furthermore this example is not binding on the regulated community.]
(6) Where the recyclable material is used as a substitute for a commercial product or as an ingredient in the manufacture of a product, the final product shall not contain constituents at concentrations that cause the product to exhibit hazardous characteristics pursuant to Chapter 11 of this division, other than those constituents that are also found in the same or greater concentrations in a comparable commercial product. The only exception to this requirement is if, prior to using the recyclable material, the person claiming an exclusion obtains the department's written concurrence that:
(A) the concentrations of hazardous constituents greater than those present in a comparable commercial product improve the quality of the product made from the recyclable material and do not increase the hazards to public health or the environment of that product; or
(B) if no comparable commercial product exists, the hazardous constituents in the recyclable material that cause the product to exhibit a characteristic of a hazardous waste are beneficial to the product and do not cause the product to pose a threat to public health or the environment.
(7) Prior to use of the recyclable material, any person wishing to manage the recyclable material under the claim to an exclusion or exemption pursuant to this article must obtain a written certification from a qualified independent engineer or engineering geologist, registered in the state of California, that the recyclable material and the product containing that material meet the applicable standards or specifications for the intended use of the recyclable material and product of the American Society for Testing and Materials (ASTM), the American Association of State Highway and Transportation Officials (AASHTO), the American National Standards Institute (ANSI), the Uniform Building Code (UBC), or the standards of a government agency having jurisdiction over the applications of that recyclable material or product. Where the certification is not appropriate for an engineer or engineering geologist, but can be provided by another qualified professional, or where standards other than those listed are appropriate, or where there are no applicable standards for a particular use of a recyclable material, the person wishing to claim an exclusion or exemption may meet this requirement by obtaining prior written approval from the department. The person requesting the department's determination shall submit documentation to the department supporting the alternative certification or standards, or absence of standards.
NOTE

Authority cited: Sections 25143.2(e)(2) and 25150(e), Health and Safety Code. Reference: Sections 25143.2(f), 25150(e), 25170(i) and 25244.1, Health and Safety Code.
HISTORY

1. New section filed 6-9-97; operative 1-1-98 (Register 97, No. 24).
2. Change without regulatory effect amending subsection (b)(5)(A) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
Article 4. Hazardous Wastes and Certain Used Oils Regulated as Hazardous Waste Fuels
§66266.30. Applicability.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25124, 25143.2, 25159.5, 25250, 25250.1, 25250.4, 25250.5 and 25250.7, Health and Safety Code; 40 CFR Sections 266.30 and 266.40.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to emergency repealer filed 10-20-95 by operation of Government Code section 11346.1(f) (Register 96, No. 38).
5. Repealer refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction adding new History 4 and renumbering Histories (Register 96, No. 38).
8. Repealer refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
10. Repealer filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
12. Repealer of article 4 (sections 66266.30-66266.35) and section filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
§66266.31. Prohibitions.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Section 25159, Health and Safety Code; 40 CFR Section 266.31.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to emergency repealer filed 10-20-95 by operation of Government Code section 11346.1(f) (Register 96, No. 38).
5. Repealer refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction adding new History 4 and renumbering Histories (Register 96, No. 38).
8. Repealer refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
10. Repealer filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
12. Repealer filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
§66266.32. Standards Applicable to Generators of Hazardous Waste Fuel.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Section 25159, Health and Safety Code; 40 CFR Section 266.32.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to emergency repealer filed 10-20-95 by operation of Government Code section 11346.1(f) (Register 96, No. 38).
5. Repealer refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction adding new History 4 and renumbering Histories (Register 96, No. 38).
8. Repealer refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
10. Repealer filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
12. Repealer filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
§66266.33. Standards Applicable to Transporters of Hazardous Waste Fuel.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Section 25159, Health and Safety Code; 40 CFR Section 266.33.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to emergency repealer filed 10-20-95 by operation of Government Code section 11346.1(f) (Register 96, No. 38).
5. Repealer refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction adding new History 4 and renumbering Histories (Register 96, No. 38).
8. Repealer refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
10. Repealer filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
12. Repealer filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
§66266.34. Standards Applicable to Marketers of Hazardous Waste Fuel.
Note     •     History

NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 266.34.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to emergency repealer filed 10-20-95 by operation of Government Code section 11346.1(f) (Register 96, No. 38).
5. Repealer refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction adding new History 4 and renumbering Histories (Register 96, No. 38).
8. Repealer refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
10. Repealer filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
12. Repealer filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
§66266.35. Standards Applicable to Burners of Hazardous Waste Fuel.
Note     •     History

NOTE

Authority cited: Sections 208 and 25159, Health and Safety Code. Reference: Section 25159, Health and Safety Code; 40 CFR Section 266.35.41.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
Article 5. [Reserved]
Article 6. Requirements for Management of Used Oil
§66266.50. Requirements for Used Oil and Fuel Derived from Used Oil, that are Burned for Energy Recovery.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25250.22, Health and Safety Code. Reference: Sections 25159, 25159.5, 25250.1, 25250.7 and 25250.8, Health and Safety Code; 40 CFR Section 266.40.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to emergency repealer filed 10-20-95 by operation of Government Code section 11346.1(f) (Register 96, No. 38).
5. Repealer refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction adding new History 4 and renumbering Histories (Register 96, No. 38).
8. Repealer refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
10. Repealer filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
12. Repealer of article 6 (section 66266.50) and section filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
Article 7. Requirements for Management of Spent Lead-Acid Storage Batteries
§66266.80. Applicability.
Note     •     History

(a) A person who manages spent lead-acid storage batteries or their components shall comply with all of the requirements of this division pertaining to the management of a hazardous waste, unless the person is specifically exempted in the provisions of this article.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150, 25159.5 and 25170, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66266.81. Requirements.
Note     •     History

(a) Except as provided in subsection (a)(1) of this section, a person who manages spent lead-acid storage batteries which are equivalent in type and equivalent to, or smaller in size than, spent lead-acid storage batteries removed from motor vehicles as defined in Vehicle Code sections 415 and 670 shall comply with the applicable requirements of subsections (a)(2) through (d) of this section.
(1) A person (e.g., automobile owner, service station operator, retail store operator) who generates in one year, stores at one time, or transports at one time in one vehicle ten or fewer spent lead-acid storage batteries which either have been removed from motor vehicles as defined in Vehicle Code sections 415 and 670, or are equivalent in type and equivalent to, or smaller in size than, such batteries, shall be exempt from the requirements of this division pertaining to the generation, storage, and transportation of a hazardous waste with respect to the management of such batteries, provided that the person intends to or does transfer the batteries to a person who stores the batteries or who recycles, uses, reuses or reclaims the batteries.
(2) A person who transfers spent lead-acid storage batteries to a person described in subsection (a)(3) of this section shall be exempt from the requirements of this division pertaining to the generation, storage, and transportation of a hazardous waste with respect to the management of such batteries.
(3) Except as provided in subsection (a)(4) of this section, a person who accepts spent lead-acid storage batteries in exchange or partial exchange for operable lead-acid storage batteries shall be exempt from the requirements of this division pertaining to the generation and storage of a hazardous waste with respect to the management of such batteries, unless:
(A) The person stores more than one ton of such batteries at any one location for more than 180 days; or
(B) The person stores one ton or less of such batteries at any one location for more than one year; or
(C) The person removes the electrolyte.
(4) Except as provided otherwise in subsections (a)(2) and (a)(3) of this section, a person who generates spent lead-acid storage batteries shall be exempt from the requirements of this division pertaining to the generation and storage of a hazardous waste with respect to the management of such batteries, except as follows:
(A) The generator shall use either the manifest or a bill of lading which fulfills the requirements of Title 13 CCR section 1161, to record the shipment of spent lead-acid storage batteries to a person who stores the batteries or who uses, reuses, recycles or reclaims the batteries or their components.
(B) The generator shall retain, at the generator's place of business for at least three years, a legible copy of each manifest or bill of lading which identifies spent lead-acid storage batteries shipped to a person who stores the batteries or who uses, reuses, recycles or reclaims the batteries or their components.
(C) If the generator ships spent lead-acid storage batteries to a facility where the batteries will be disposed, the generator shall comply with all of the requirements of this division pertaining to the management of a hazardous waste.
(5) A person who transports spent lead-acid storage batteries shall be exempt from the requirements of this division pertaining to the transportation of a hazardous waste with respect to the management of such batteries except as follows:
(A) The transporter shall use either the manifest or a bill of lading which fulfills the requirements of Title 13 CCR section 1161, to record the transportation of spent lead-acid storage batteries to a person who stores the batteries or who uses, reuses, recycles or reclaims the batteries or their components.
(B) The transporter shall retain at the transporter's place of business for at least three years a legible copy of each manifest or bill of lading which identifies spent lead-acid storage batteries hauled to a person who stores the batteries or who uses, reuses, recycles or reclaims the batteries or their components.
(C) The transporter shall submit to the Department by March 1 of each calendar year beginning March 1, 1986, an annual report summarizing for the preceding calendar year information including, but not limited to, the identities of the generator and the recipient of the batteries, on a form approved by the Department.
(D) If the transporter hauls spent lead-acid storage batteries to a facility where the batteries will be disposed, the transporter shall comply with all of the requirements of this division pertaining to the management of a hazardous waste.
(6) A person who owns or operates a facility which stores either more than one ton of spent lead-acid storage batteries at any one location for 180 days or less or one ton or less of such batteries at any one location for one year or less and who transfers the batteries off-site for use, reuse, recycling or reclamation, shall be exempt from the requirements of this division as they pertain to the owner
or operator of a hazardous waste storage facility with respect to the management of such batteries, except as follows:
(A) The owner or operator shall accept either the manifest or a bill of lading which fulfills the requirements of Title 13 CCR section 1161, in lieu of the manifest to record the acceptance of spent lead-acid storage batteries for storage.
(B) The owner or operator shall retain at the owner's or operator's place of business for at least three years, a legible copy of each manifest or bill of lading which identifies spent lead-acid storage batteries accepted for storage.
(C) The owner or operator shall submit to the Department by March 1 of each calendar year beginning March 1, 1986, an annual report summarizing for the previous calendar year information including, but not limited to, the identities of the generator and the transporter of the batteries, on a form approved by the Department.
(D) The owner or operator shall store spent lead-acid storage batteries in accordance with the packaging requirements of Title 49 CFR section 173.260 and shall label the packaged batteries with the date they were received. The labeling shall be written in ink, paint, or other weather-resistant material such that the date is legible and conspicuous.
(7) A person who owns or operates a facility which stores either more than one ton of spent lead-acid storage batteries at any one location for more than 180 days, or one ton or less of such batteries at any one location for more than one year, or which removes electrolyte from such batteries for purposes of recycling either the batteries or their components (e.g., the lead, the cases or other components) shall comply with all of the requirements of this division pertaining to the owner or operator of a hazardous waste facility, except as follows:
(A) The owner or operator shall accept either the manifest or a bill of lading which fulfills the requirements of Title 13 CCR section 1161, to record the receipt of spent lead-acid storage batteries for storage or for recycling.
(B) The owner or operator shall retain at the owner's or operator's place of business for at least three years, a legible copy of each manifest or bill of lading which identifies spent lead-acid storage batteries accepted for storage or for recycling.
(C) The owner or operator shall submit to the Department by March 1 of each calendar year beginning March 1, 1986 an annual report summarizing for the previous calendar year information including, but not limited to, the identities of the generator and the transporter of the batteries, on a form approved by the Department.
(D) The owner or operator shall store spent lead-acid storage batteries in accordance with the packaging requirements of Title 49 CFR section 173.260 and shall label the packaged batteries with the date they were received. The labeling shall be written in ink, paint, or other weather resistant material such that the date is legible and conspicuous.
(8) A person who treats spent or damaged lead-acid storage batteries is subject to all requirements of this division.
(b) A damaged battery shall be managed so as to minimize the release of acid and lead and to protect the handlers and the environment, including at a minimum:
(1) A damaged battery shall be stored and transported in a nonreactive, structurally secure, closed container capable of preventing the release of acid and lead.
(2) A container holding one or more damaged batteries shall be labeled with the date that the first battery in the container was placed there, i.e., the initial date of accumulation.
(3) All container labels shall be written in ink, paint or other weather-resistant material so that the date is legible and conspicuous.
(4) A container holding one or more damaged batteries shall be packed for transportation in a manner that prevents the container from tipping, spilling or breaking during the transporting.
(c) A damaged battery packaged and labeled as specified in subsection (b) of this section shall be transported as provided in subsections (a)(4) and (a)(5) of this section and may be transported with intact batteries, subject in all instances to U.S. Department of Transportation regulations.
(d) “Damaged battery” means, for purposes of this article, any cracked or otherwise damaged lead-acid storage battery that may leak acid, including but not limited to:
(1) A battery damaged at any time before the lead plates are removed, and
(2) A battery that is missing one or more caps.
NOTE

Authority cited: Sections 208, 25150 and 25159.5, Health and Safety Code. Reference: Sections 25159.5, 25160, 25163, 25170 and 25201, Health and Safety Code; 49 CFR Section 173.260.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Editorial correction amending subsection designator from (a)(4)(8) to (a)(4)(B), and amending History 2 (Register 98, No. 42).
Article 8. Hazardous Waste Burned in Boilers and Industrial Furnaces
§66266.100. Applicability.
Note     •     History

	(a) The regulations of this article apply to hazardous waste burned or processed in a boiler or industrial furnace (as defined in section 66260.10 of chapter 10) irrespective of the purpose of burning or processing except as provided by subsections (b), (c), (d), and (f) of this section. In this article, the term “burn” means burning for energy recovery or destruction, or processing for materials recovery or as an ingredient. The emissions standards of sections 66266.104, 66266.105, 66266.106, and 66266.107 apply to facilities operating under interim status or under a permit as specified in sections 66266.102 and 66266.103. This article applies to used oil except as provided in (b)(1).
(b) The following hazardous wastes and facilities are not subject to regulation under this article:
(1) Used oil that meets the requirements of Health and Safety Code section 25250.1(b);
(2) Gas recovered from hazardous or solid waste landfills when such gas is burned for energy recovery;
(3) Hazardous wastes that are exempt from regulation ion under section 66261.4.
(c) Owners and operators of smelting, melting, and refining furnaces (including pyrometallurgical devices such as cupolas, sintering machines, roasters, and foundry furnaces, but not including cement kilns, aggregate kilns, or halogen acid furnaces burning hazardous waste) that process hazardous waste solely for metal recovery are conditionally exempt from regulation under this article, except for sections 66266.101 and 66266.112. Additionally, industrial furnaces exempted by this subsection are subject to regulation as miscellaneous units.
(1) To be exempt from sections 66266.102 through 66266.111, an owner or operator of a metal recovery furnace or mercury recovery furnace, shall comply with the following requirements, except that an owner or operator of a lead or a nickel-chromium recovery furnace, or a metal recovery furnace that burns baghouse bags used to capture metallic dusts emitted by steel manufacturing, shall comply with the requirements of subsection (c)(3) of this section.
(A) Provide a one-time written notice to the Director indicating the following:
1. The owner or operator claims exemption under this subsection;
2. The hazardous waste is burned sole]y for metal recovery consistent with the provisions of subsection (c)(2) of this section;
3. The hazardous waste contains recoverable levels of metals; and
4. The owner or operator will comply with the sampling and analysis and recordkeeping requirements of this subsection;
(B) Sample and analyze the hazardous waste and other feedstocks as necessary to comply with the requirements of this subsection under procedures specified by Test Methods for Evaluating Solid Waste, Physical/Chemical Methods, SW-846, incorporated by reference in section 66260.11 of chapter 10 or alternative methods that meet or exceed the SW-846 method performance capabilities. If SW-846 does not prescribe a method for a particular determination, the owner or operator shall use the best available method; and
(C) Maintain at the facility for at least three years records to document compliance with the provisions of this subsection including limits on levels of toxic organic constituents and Btu value of the waste, and levels of recoverable metals in the hazardous waste compared to normal nonhazardous waste feedstocks.
(2) A hazardous waste meeting either of the following criteria is not processed solely for metal recovery:
(A) The hazardous waste has a total concentration of organic compounds listed appendix VIII, of chapter 11 exceeding 500 ppm by weight, as-fired, and so is considered to be burned for destruction. The concentration of organic compounds in a waste as-generated may be reduced to the 500 ppm limit by bona fide treatment that removes or destroys organic constituents. Blending for dilution to meet the 500 ppm limit is prohibited and documentation that the waste has not been impermissibly diluted shall be retained in the records required by subsection (c)(1)(C) of this section; or
(B) The hazardous waste has a heating value of 5,000 Btu/lb or more, as-fired and so is considered to be burned as fuel. The heating value of a waste as-generated may be reduced to below the 5,000 Btu/lb limit by bona fide treatment that removes or destroys organic constituents. Blending for dilution to meet the 5,000 Btu/lb limit is prohibited and documentation that the waste has not been impermissibly diluted shall be retained in the records required by subsection (c)(1)(C) of this section.
(3) To be exempt from sections 66266.102 through 66266.111, an owner or operator of a lead or nickel-chromium or mercury recovery furnace, or a metal recovery furnace that burns baghouse bags used to capture metallic dusts emitted by steel manufacturing, shall provide a one-time written notice to the Director identifying each hazardous waste burned and specifying whether the owner or operator claims an exemption for each waste under this subsection or subsection (c)(1) of this section. The owner or operator shall comply with the requirements of sub-

section (c)(1) of this section for those wastes claimed to be exempt under that subsection and shall comply with the requirements below for those wastes claimed to be exempt under this subsection (c)(3).
(A) The hazardous wastes listed in appendices XI, XII, and XIII, Chapter 16 and baghouse bags used to capture metallic dusts emitted by steel manufacturing are exempt from the requirements of subsection (c)(1) of this section, provided that:
1. A waste listed in appendix XI of this chapter shall contain recoverable levels of lead, a waste listed in appendix XII of this chapter shall contain recoverable levels of nickel or chromium, a waste listed in appendix XIII of this chapter must contain recoverable levels of mercury and less than 500 ppm of Chapter 11, Appendix VIII organic constituents, and baghouse bags used to capture metallic dusts emitted by steel manufacturing shall contain recoverable levels of metal; and
2. The waste does not exhibit the Toxicity Characteristic of section 66261.24 of chapter 11 for an organic constituent; and
3. The waste is not a hazardous waste listed in Article 4 of chapter 11 because it is listed for an organic constituent as identified in appendix VII of chapter 11; and
4. The owner or operator certifies in the one-time notice that hazardous waste is burned under the provisions of subsection (c)(3) of this section and that sampling and analysis will be conducted or other information will be obtained as necessary to ensure continued compliance with these requirements. Sampling and analysis shall be conducted according to subsection (c)(1)(B) of this section and records to document compliance with subsection (c)(3) of this section shall be kept for at least three years.
(B) The Director may decide on a case-by-case basis that the toxic organic constituents in a material listed in appendix XI, XII or XIII of this chapter that contains a total concentration of more than 500 ppm toxic organic compounds listed in appendix VIII, of chapter 11, may pose a hazard to human health and the environment when burned in a metal recovery furnace exempt from the requirements of this article. In that situation, after adequate notice and opportunity for comment, the metal recovery furnace will become subject to the requirements of this article when burning that material. In making the hazard determination, the Director will consider the following factors:
1. The concentration and toxicity of organic constituents in the material; and
2. The level of destruction of toxic organic constituents provided by the furnace; and
3. Whether the acceptable ambient levels established in appendices IV or V of this chapter may be exceeded for any toxic organic compound that may be emitted based on dispersion modeling to predict the maximum annual average off-site ground level concentration.
(d) The standards for direct transfer operations under section 66266.111 apply only to facilities subject to the permit standards of section 66266.102 or the interim status standards of section 66266.103.
(e) The management standards for residues under section 66266.112 apply to any boiler or industrial furnace burning hazardous waste.
(f) Owners and operators of smelting, melting, and refining furnaces (including pyrometallurgical devices such as cupolas, sintering machines, roasters, and foundry furnaces) that process hazardous waste for recovery of economically significant amounts of the precious metals gold, silver, platinum, paladium, irridium, osmium, rhodium, or ruthenium, or any combination of these are conditionally exempt from regulation under this article, except for section 66266.112. Additionally, industrial furnaces exempted by this subsection are subject to regulation as miscellaneous units. To be exempt from sections 66266.101 through 66266.111, an owner or operator shall:
(1) Provide a one-time written notice to the Director indicating the following:
(A) The owner or operator claims exemption under this subsection;
(B) The hazardous waste is burned for legitimate recovery of precious metal; and
(C) The owner or operator will comply with the sampling and analysis and recordkeeping requirements of this subsection; and

(2) Sample and analyze the hazardous waste as necessary to document that the waste is burned for recovery of economically significant amounts of precious metal using procedures specified by Test Methods for Evaluating Solid Waste, Physical/Chemical Methods, SW-846, incorporated by reference in section 66260.11 of chapter 11 or alternative methods that meet or exceed the SW-846 method performance capabilities. If SW-846 does not prescribe a method for a particular determination, the owner or operator shall use the best available method; and
(3) Maintain at the facility for at least three years records to document that all hazardous wastes burned are burned for recovery of economically significant amounts of precious metal.
(g) The requirements for one-time notifications only apply to facilities that had not previously notified US EPA pursuant to 40 CFR 266.100 before January 1, 1996.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25200 and 25201, Health and Safety Code; and 40 CFR Section 266.100. 
HISTORY

1. Renumbering of former article 8 to new article 8.5 and new article 8 (sections 66266.100-66266.112) and section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Editorial correction of subsections (c)(1)(A)3., (c)(1)(B), (c)(3)(B), (f) and (g) (Register 96, No. 51).
3. Amendment of subsections (c), (c)(3)(A)1. and (f) filed 12-17-96 as an emergency; operative 12-17-96 (Register 96, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-16-97 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 97, No. 17).
5. Reinstatement of section as it existed prior to 12-17-96 emergency amendment by operation of Government Code section 11346.1(f) (Register 97, No. 17).
6. Amendment of subsections (c), (c)(3)(A)1. and (f) filed 4-23-97 as an emergency; operative 4-23-97 (Register 97, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-21-97 or emergency language will be repealed by operation of law on the following day.
7. Change without regulatory effect amending subsections (a), (c)(3) and (c)(3)(A)1. filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
8. Reinstatement of section as it existed prior to 4-23-97 emergency amendment by operation of Government Code section 11346.1(f) (Register 97, No. 35).
9. Amendment of subsections (c), (c)(3)(A)1. and (f) filed 8-26-97 as an emergency; operative 8-26-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-97 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsections (c), (c)(3)(A)1. and (f) refiled 12-30-97 as an emergency, including amendment of Note; operative 12-30-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-29-98 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 12-30-97 order, including further amendment of subsections (c) and (f), transmitted to OAL 4-3-98 and filed 5-15-98 (Register 98, No. 20).
12. Change without regulatory effect amending subsection (c)(3) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66266.101. Management Prior to Burning.
Note     •     History

(a) Generators. Generators of hazardous waste that is burned in a boiler or industrial furnace are subject to the applicable provisions of chapter 12, of this division.
(b) Transporters. Transporters of hazardous waste that is burned in a boiler or industrial furnace are subject to the applicable provisions of chapter 13, of this division.
(c) Storage Facilities. (1) Owners and operators of facilities that store hazardous waste that is burned in a boiler or industrial furnace are subject to the applicable provisions of chapters 14, 15 and 20, of this division, except as provided by subsection (c)(2) of this section. These standards apply to storage by the burner as well as to storage facilities operated by intermediaries (processors, blenders, distributors, etc.) between the generator and the burner.
(2) Owners and operators of facilities that are exempt under the provisions of section 66266.108 and that store mixtures of hazardous waste and a primary fuel in tanks that feed the hazardous waste/fuel mixture directly to the burner, are exempt (with respect to the aforementioned hazardous waste/fuel mixture) from the storage provisions of chapters 14, 15 and 20, of this division. Storage of hazardous waste prior to mixing with a primary fuel is subject to the regulation as prescribed in subsection (c)(1) of this section.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 266.101.
HISTORY

1. New section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
§66266.102. Permit Standards for Burners.
Note     •     History

(a) Applicability-(1) General. Owners and operators of boilers and industrial furnaces burning hazardous waste and not operating under interim status shall comply with the requirements of this section and sections 66270.22 and 66270.66 of this division, unless exempt under the small quantity burner exemption of section 66266.108.
(2) Applicability of Chapter 14 standards. Owners and operators of boilers and industrial furnaces that burn hazardous waste are subject to the following provisions of Chapter 14, except as provided otherwise by this article:
(A) In article 1 (General), section 66264.4;
(B) In article 2 (General facility standards), sections 66264.11-66264.18;
(C) In article 3 (Preparedness and prevention), sections 66264.31-66264.37;
(D) In article 4 (Contingency plan and emergency procedures), sections 66264.51-66264.56;
(E) In article 5 (Manifest system, recordkeeping, and reporting), the applicable provisions of sections 66264.71-66264.77.
(F) In article 6 (Corrective Action), sections 66264.90 and 66264.101;
(G) In article 7 (Closure and post-closure), sections 66264.111- 66264.115;
(H) In article 8 (Financial requirements), sections 66264.141, 66264.142, 66264.143, and 66264.147-66264.148, except that States and the Federal government are exempt from the requirements of article 8; and
(I) Article 28 (Air emission standards for equipment leaks), except sections 66264.1050(a).
(b) Hazardous waste analysis. (1) The owner or operator shall provide an analysis of the hazardous waste that quantifies the concentration of any constituent identified in appendix VIII of chapter 11 of this division that may reasonably be expected to be in the waste. Such constituents shall be identified and quantified if present, at levels detectable by analytical procedures prescribed by Test Methods for Evaluating Solid Waste, Physical/Chemical Methods (incorporated by reference, see section 66260.11 of this division). Alternate methods that meet or exceed the method performance capabilities of SW-846 methods may be used. If SW-846 does not prescribe a method for a particular determination, the owner or operator shall use the best available method. The appendix VIII, chapter 11, division 4.5 constituents excluded from this analysis shall be identified and the basis for their exclusion explained. This analysis will be used to provide all information required by this article and section 66270.22 and section 66270.66 of this division and to enable the permit writer to prescribe such permit conditions as necessary to protect human health and the environment. Such analysis shall be included as a portion of the part B permit application, or, for facilities operating under the interim status standards of this article, as a portion of the trial burn plan that may be submitted before the part B application under provisions of section 66270.66(g) of chapter 20 as well as any other analysis required by the permit authority in preparing the permit. Owners and operators of boilers and industrial furnaces not operating under the interim status standards shall provide the information required by sections 66270.22 or 66270.66(c) of this division in the part B application to the greatest extent possible.
(2) Throughout normal operation, the owner or operator shall conduct sampling and analysis as necessary to ensure that the hazardous waste, other fuels, and industrial furnace feedstocks fired into the boiler or industrial furnace are within the physical and chemical composition limits specified in the permit.
(c) Emissions standards. Owners and operators shall comply with emissions standards provided by sections 66266.104 through 66266.107.
(d) Permits. (1) The owner or operator may burn only hazardous wastes specified in the facility permit and only under the operating conditions specified under subsection (e) of this section, except in approved trial burns under the conditions specified in section 66270.66 of this division.
(2) Hazardous wastes not specified in the permit may not be burned until operating conditions have been specified under a new permit or permit modification, as applicable. Operating requirements for new wastes may be based on either trial burn results or alternative data included with part B of a permit application under section 66270.22 of this division.
(3) Boilers and industrial furnaces operating under the interim status standards of section 66266.103 are permitted under procedures provided by section 66270.66(g) of this division.
(4) A permit for a new boiler or industrial furnace (those boilers and industrial furnaces not operating under the interim status standards) shall establish appropriate conditions for each of the applicable requirements of this section, including but not limited to allowable hazardous waste firing rates and operating conditions necessary to meet the requirements of subsection (e) of this section, in order to comply with the following standards:
(A) For the period beginning with initial introduction of hazardous waste and ending with initiation of the trial burn, and only for the minimum time required to bring the device to a point of operational readiness to conduct a trial burn, not to exceed a duration of 720 hours operating time when burning hazardous waste, the operating requirements shall be those most likely to ensure compliance with the emission standards of sections 66266.104 through 66266.107, based on the Director's engineering judgment. If the applicant is seeking a waiver from a trial burn to demonstrate conformance with a particular emission standard, the operating requirements during this initial period of operation shall include those specified by the applicable provisions of section 66266.104, section 66266.105, section 66266.106, or section 66266.107. The Director may extend the duration of this period for up to 720 additional hours when good cause for the extension is demonstrated by the applicant.
(B) For the duration of the trial burn, the operating requirements shall be sufficient to demonstrate compliance with the emissions standards of sections 66266.104 through 66266.107 and shall be in accordance with the approved trial burn plan;
(C) For the period immediately following completion of the trial burn, and only for the minimum period sufficient to allow sample analysis, data computation, submission of the trial burn results by the applicant, review of the trial burn results and modification of the facility permit by the Director to reflect the trial burn results, the operating requirements shall be those most likely to ensure compliance with the emission standards sections 66266.104 through 66266.107 based on the Director's engineering judgment.
(D) For the remaining duration of the permit, the operating requirements shall be those demonstrated in a trial burn or by alternative data specified in section 66270.22 of chapter 20, as sufficient to ensure compliance with the emissions standards of sections 66266.104 through 66266.107.
(e) Operating requirements-(1) General. A boiler or industrial furnace burning hazardous waste shall be operated in accordance with the operating requirements specified in the permit at all times where there is hazardous waste in the unit.
(2) Requirements to ensure compliance with the organic emissions standards- (A) DRE standard. Operating conditions will be specified either on a case-by-case basis for each hazardous waste burned as those demonstrated (in a trial burn or by alternative data as specified in section 66270.22) to be sufficient to comply with the destruction and removal efficiency (DRE) performance standard of section 66266.104(a) or as those special operating requirements provided by section 66266.104(a)(4) for the waiver of the DRE trial burn. When the DRE trial burn is not waived under section 66266.104(a)(4), each set of operating requirements shall specify the composition of the hazardous waste (including acceptable variations in the physical and chemical properties of the hazardous waste which will not affect compliance with the DRE performance standard) to which the operating requirements apply. For each such hazardous waste, the permit shall specify acceptable operating limits including, but not limited to, the following conditions as appropriate:
1. Feed rate of hazardous waste and other fuels measured and specified as prescribed in subsection (e)(6) of this section;
2. Minimum and maximum device production rate when producing normal product expressed in appropriate units, measured and specified as prescribed in subsection (e)(6) of this section;
3. Appropriate controls of the hazardous waste firing system;
4. Allowable variation in boiler and industrial furnace system design or operating procedures;
5. Minimum combustion gas temperature measured at a location indicative of combustion chamber temperature, measured and specified as prescribed in subsection (e)(6) of this section;
6. An appropriate indicator of combustion gas velocity, measured and specified as prescribed in subsection (e)(6) of this section, unless documentation is provided under section 66270.66 of chapter 20 demonstrating adequate combustion gas residence time; and
7. Such other operating requirements as are necessary to ensure that the DRE performance standard of section 66266.104(a) is met.
(B) Carbon monoxide and hydrocarbon standards. The permit shall incorporate a carbon monoxide (CO) limit and, as appropriate, a hydrocarbon (HC) limit as provided by subsections (b), (c), (d), (e) and (f) of section 66266.104. The permit limits will be specified as follows:
1. When complying with the CO standard of section 66266.104(b)(1), the permit limit is 100 ppmv;
2. When complying with the alternative CO standard under section 66266.104(c), the permit limit for CO is based on the trial burn and is established as the average over all valid runs of the highest hourly rolling average CO level of each run, and the permit limit for HC is 20 ppmv (as defined in section 66266.104(c)(1)), except as provided in section 66266.104(f).
3. When complying with the alternative HC limit for industrial furnaces under section 66266.104(f), the permit limit for HC and CO is the baseline level when hazardous waste is not burned as specified by that subsection.
(C) Start-up and shut-down. During start-up and shut-down of the boiler or industrial furnace, hazardous waste (except waste fed solely as an ingredient under the Tier I (or adjusted Tier I) feed rate screening limits for metals and chloride/chlorine, and except low risk waste exempt from the trial burn requirements under sections 66266.104(a)(5), 66266.105, 66266.106, and 66266.107) shall not be fed into the device unless the device is operating within the conditions of operation specified in the permit.
(3) Requirements to ensure conformance with the particulate standard. (A) Except as provided in subsections (e)(3)(B) and (C) of this section, the permit shall specify the following operating requirements to ensure conformance with the particulate standard specified in section 66266.105:
1. Total ash feed rate to the device from hazardous waste, other fuels, and industrial furnace feedstocks, measured and specified as prescribed in subsection (e)(6) of this section;
2. Maximum device production rate when producing normal product expressed in appropriate units, and measured and specified as prescribed in subsection (e)(6) of this section;
3. Appropriate controls on operation and maintenance of the hazardous waste firing system and any air pollution control system;
4. Allowable variation in boiler and industrial furnace system design including any air pollution control system or operating procedures; and
5. Such other operating requirements as are necessary to ensure that the particulate standard in section 66266.105(b) is met. 
(B) Permit conditions to ensure conformance with the particulate matter standard shall not be provided for facilities exempt from the particulate matter standard under section 66266.105(b);
(C) For cement kilns and light-weight aggregate kilns, permit conditions to ensure compliance with the particulate standard shall not limit the ash content of hazardous waste or other feed materials.
(4) Requirements to ensure conformance with the metals emissions standard. (A) For conformance with the Tier I (or adjusted Tier I) metals feed rate screening limits of subsections (b) or (e) of section 66266.106, the permit shall specify the following operating requirements:
1. Total feed rate of each metal in hazardous waste, other fuels, and industrial furnace feedstocks measured and specified under provisions of subsection (e)(6) of this section;
2. Total feed rate of hazardous waste measured and specified as prescribed in subsection (e)(6) of this section;
3. A sampling and metals analysis program for the hazardous waste, other fuels, and industrial furnace feedstocks;
(B) For conformance with the Tier II metals emission rate screening limits under section 66266.106(c) and the Tier III metals controls under section 66266.106(d), the permit shall specify the following operating requirements:
1. Maximum emission rate for each metal specified as the average emission rate during the trial burn;
2. Feed rate of total hazardous waste and pumpable hazardous waste, each measured and specified as prescribed in subsection (e)(6)(A) of this section;
3. Feed rate of each metal in the following feedstreams, measured and specified as prescribed in subsection (e)(6) of this section:
a. Total feed streams;
b. Total hazardous waste feed; and
c. Total pumpable hazardous waste feed;
4. Total feed rate of chlorine and chloride in total feed streams measured and specified as prescribed in subsection (e)(6) of this section;
5. Maximum combustion gas temperature measured at a location indicative of combustion chamber temperature, and measured and specified as prescribed in subsection (e)(6) of this section;
6. Maximum flue gas temperature at the inlet to the particulate matter air pollution control system measured and specified as prescribed in subsection (e)(6) of this section;
7. Maximum device production rate when producing normal product expressed in appropriate units and measured and specified as prescribed in subsection (e)(6) of this section;
8. Appropriate controls on operation and maintenance of the hazardous waste firing system and any air pollution control system;
9. Allowable variation in boiler and industrial furnace system design including any air pollution control system or operating procedures; and
10. Such other operating requirements as are necessary to ensure that the metals standards under sections 66266.106(c) or 66266.106(d) are met.
(C) For conformance with an alternative implementation approach approved by the Director under section 66266.106(f), the permit will specify the following operating requirements:
1. Maximum emission rate for each metal specified as the average emission rate during the trial burn;
2. Feed rate of total hazardous waste and pumpable hazardous waste, each measured and specified as prescribed in subsection (e)(6)(A) of this section;
3. Feed rate of each metal in the following feedstreams, measured and specified as prescribed in subsection (e)(6) of this section:
a. Total hazardous waste feed; and
b. Total pumpable hazardous waste feed;
4. Total feed rate of chlorine and chloride in total feed streams measured and specified as prescribed in subsection (e)(6) of this section;
5. Maximum combustion gas temperature measured at a location indicative of combustion chamber temperature, and measured and specified as prescribed in subsection (e)(6) of this section;
6. Maximum flue gas temperature at the inlet to the particulate matter air pollution control system measured and specified as prescribed in subsection (e)(6) of this section;
7. Maximum device production rate when producing normal product expressed in appropriate units and measured and specified as prescribed in subsection (e)(6) of this section;
8. Appropriate controls on operation and maintenance of the hazardous waste firing system and any air pollution control system;
9. Allowable variation in boiler and industrial furnace system design including any air pollution control system or operating procedures; and
10. Such other operating requirements as are necessary to ensure that the metals standards under sections 66266.106(c) or 66266.106(d) are met.
(5) Requirements to ensure conformance with the hydrogen chloride and chlorine gas standards. (A) For conformance with the Tier I total chloride and chlorine feed rate screening limits of section 66266.107(b)(1), the permit will specify the following operating requirements:
1. Feed rate of total chloride and chlorine in hazardous waste, other fuels, and industrial furnace feedstocks measured and specified as prescribed in subsection (e)(6) of this section;
2. Feed rate of total hazardous waste measured and specified as prescribed in subsection (e)(6) of this section;
3. A sampling and analysis program for total chloride and chlorine for the hazardous waste, other fuels, and industrial furnace feedstocks;
(B) For conformance with the Tier II HCl and Cl2 emission rate screening limits under section 66266.107(b)(2) and the Tier III HCl and Cl2 controls under section 66266.107(c), the permit shall specify the following operating requirements:
1. Maximum emission rate for HCl and for Cl2 specified as the average emission rate during the trial burn;
2. Feed rate of total hazardous waste measured and specified as prescribed in subsection (e)(6) of this section;
3. Total feed rate of chlorine and chloride in total feed streams, measured and specified as prescribed in subsection (e)(6) of this section;
4. Maximum device production rate when producing normal product expressed in appropriate units, measured and specified as prescribed in subsection (e)(6) of this section;
5. Appropriate controls on operation and maintenance of the hazardous waste firing system and any air pollution control system;
6. Allowable variation in boiler and industrial furnace system design including any air pollution system or operating procedures; and
7. Such other operating requirements as are necessary to ensure that the HCl and Cl2 standards under section 66266.107(b)(2) or (c) are met.
(6) Measuring parameters and establishing limits based on trial burn data-(A) General requirements. As specified in subsections (e)(2) through (e)(5) of this section, each operating parameter shall be measured, and permit limits on the parameter shall be established, according to either of the following procedures:
1. Instantaneous limits. A parameter may be measured and recorded on an instantaneous basis (i.e., the value that occurs at any time) and the permit limit specified as the time-weighted average during all valid runs of the trial burn; or
2. Hourly rolling average. a. The limit for a parameter may be established and continuously monitored on an hourly rolling average basis defined as follows:
(A) A continuous monitor is one which continuously samples the regulated parameter without interruption, and evaluates the detector response at least once each 15 seconds, and computes and records the average value at least every 60 seconds.
(B) An hourly rolling average is the arithmetic mean of the 60 most recent 1-minute average values recorded by the continuous monitoring system.
b. The permit limit for the parameter shall be established on trial burn data as the average over all valid test runs of the highest hourly rolling average value for each run.
(B) Rolling average limits for carcinogenic metals and lead. Feed rate limits for the carcinogenic metals (i.e., arsenic, beryllium, cadmium and chromium) and lead may be established either on an hourly rolling average basis as prescribed by subsection (e)(6)(A) of this section or on (up to) a 24 hour rolling average basis. If the owner or operator elects to use an average period from 2 to 24 hours:
1. The feed rate of each metal shall be limited at any time to ten times the feed rate that would be allowed on an hourly rolling average basis;
2. The continuous monitor shall meet the following specifications:
a. A continuous monitor is one which continuously samples the regulated parameter without interruption, and evaluates the detector response at least once each 15 seconds, and computes and records the average value at least every 60 seconds.
b. The rolling average for the selected averaging period is defined as the arithmetic mean of one hour block averages for the averaging period. A one hour block average is the arithmetic mean of the one minute averages recorded during the 60-minute period beginning at one minute after the beginning of preceding clock hour; and
3. The permit limit for the feed rate of each metal shall be established based on trial burn data as the average over all valid test runs of the highest hourly rolling average feed rate for each run.
(C) Feed rate limits for metals, total chloride and chlorine, and ash. Feed rate limits for metals, total chlorine and chloride, and ash are established and monitored by knowing the concentration of the substance (i.e., metals, chloride/chlorine, and ash) in each feedstream and the flow rate of the feedstream. To monitor the feed rate of these substances, the flow rate of each feedstream shall be monitored under the continuous monitoring requirements of subsections (e)(6)(A) and (B) of this section.
(D) Conduct of trial burn testing. 1. If compliance with all applicable emissions standards of sections 66266.104 through 66266.107 is not demonstrated simultaneously during a set of test runs, the operating conditions of additional test runs required to demonstrate compliance with remaining emissions standards shall be as close as possible to the original operating conditions.
2. Prior to obtaining test data for purposes of demonstrating compliance with the emissions standards of sections 66266.104 through 66266.107 or establishing limits on operating parameters under this section, the facility shall operate under trial burn conditions for a sufficient period to reach steady-state operations. The Director may determine however, that industrial furnaces that recycle collected particulate matter back into the furnace and that comply with an alternative implementation approach for metals under section 66266.106(f) need not reach steady state conditions with respect to the flow of metals in the system prior to beginning compliance testing for metals emissions.
3. Trial burn data on the level of an operating parameter for which a limit shall be established in the permit shall be obtained during emissions sampling for the pollutant(s) (i.e., metals, PM, HCl/Cl2, organic compounds) for which the parameter shall be established as specified by subsection (e) of this section.
(7) General requirements-(A) Fugitive emissions. Fugitive emissions shall be controlled by:
1. Keeping the combustion zone totally sealed against fugitive emissions; or
2. Maintaining the combustion zone pressure lower than atmospheric pressure; or
3. An alternate means of control demonstrated (with part B of the permit application) to provide fugitive emissions control equivalent to maintenance of combustion zone pressure lower than atmospheric pressure.
(B) Automatic waste feed cutoff. A boiler or industrial furnace shall be operated with a functioning system that automatically cuts off the hazardous waste feed when operating conditions deviate from those established under this section. The Director may limit the number of cutoffs per an operating period on a case-by-case basis. In addition:
1. The permit limit for (the indicator of) minimum combustion chamber temperature shall be maintained while hazardous waste or hazardous waste residues remain in the combustion chamber.
2. Exhaust gases shall be ducted to the air pollution control system operated in accordance with the permit requirements while hazardous waste or hazardous waste residues remain in the combustion chamber; and
3. Operating parameters for which permit limits are established shall continue to be monitored during the cutoff, and the hazardous waste feed shall not be restarted until the levels of those parameters comply with the permit limits. For parameters that may be monitored on an instantaneous basis, the Director will establish a minimum period of time after a waste feed cutoff during which the parameter shall not exceed the permit limit before the hazardous waste feed may be restarted.
(C) Changes. A boiler or industrial furnace shall cease burning hazardous waste when changes in combustion properties, or feed rates of the hazardous waste, other fuels, or industrial furnace feedstocks, or changes in the boiler or industrial furnace design or operating conditions deviate from the limits as specified in the permit.
(8) Monitoring and Inspections. (A) The owner or operator shall monitor and record the following, at a minimum, while burning hazardous waste:
1. If specified by the permit, feed rates and composition of hazardous waste, other fuels, and industrial furnace feedstocks, and feed rates of ash, metals, and total chloride and chlorine;
2. If specified by the permit, carbon monoxide (CO), hydrocarbons (HC), and oxygen on a continuous basis at a common point in the boiler or industrial furnace downstream of the combustion zone and prior to release of stack gases to the atmosphere in accordance with operating requirements specified in subsection (e)(2)(B) of this section. CO, HC, and oxygen monitors shall be installed, operated, and maintained in accordance with methods specified in appendix IX of this chapter.
3. Upon the request of the Director, sampling and analysis of the hazardous waste (and other fuels and industrial furnace feedstocks as appropriate), residues, and exhaust emissions shall be conducted to verify that the operating requirements established in the permit achieve the applicable standards of sections 66266.104, 66266.105, 66266.106, and 66266.107.
(B) All monitors shall record data in units corresponding to the permit limit unless otherwise specified in the permit.
(C) The boiler or industrial furnace and associated equipment (pumps, valves, pipes, fuel storage tanks, etc.) shall be subjected to thorough visual inspection when it contains hazardous waste, at least daily for leaks, spills, fugitive emissions, and signs of tampering.
(D) The automatic hazardous waste feed cutoff system and associated alarms shall be tested at least once every 7 days when hazardous waste is burned to verify operability, unless the applicant demonstrates to the Director that weekly inspections will unduly restrict or upset operations and that less frequent inspections will be adequate. At a minimum, operational testing shall be conducted at least once every 30 days.
(E) These monitoring and inspection data shall be recorded and the records shall be placed in the operating record required by section 66264.73 of chapter 14.
(9) Direct transfer to the burner. If hazardous waste is directly transferred from a transport vehicle to a boiler or industrial furnace without the use of a storage unit, the owner and operator shall comply with section 66266.111.
(10) Recordkeeping. The owner or operator shall keep in the operating record of the facility all information and data required by this section until closure of the facility.
(11) Closure. At closure, the owner or operator shall remove all hazardous waste and hazardous waste residues (including, but not limited to, ash, scrubber waters, and scrubber sludges) from the boiler or industrial furnace.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 266.102. 
HISTORY

1. New section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Change without regulatory effect amending subsections (e)(3)(A)5. and (e)(4)(C)4. filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
3. Change without regulatory effect amending subsections (b), (e)(4) and (e)(8)(C) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§66266.103. Interim Status Standards for Burners.
Note     •     History

(a) Purpose, scope, applicability. (1) General. (A) The purpose of this section is to establish minimum state standards for owners and operators of “existing” boilers and industrial furnaces that burn hazardous waste where such standards define the acceptable management of hazardous waste during the period of interim status.  The standards of this section apply to owners and operators of existing facilities until either a permit is issued under section 66266.102(d) or until closure responsibilities identified in this section are fulfilled.
(B) “Existing” or “in existence” means a boiler or industrial furnace that on or before August 21, 1991 is either in operation burning or processing hazardous waste or for which construction (including the ancillary facilities to burn or to process the hazardous waste) has commenced.  A facility has commenced construction if the owner or operator has obtained the Federal, State, and local approvals or permits necessary to begin physical construction; and either
1. A continuous on-site, physical construction program has begun; or
2. The owner or operator has entered into contractual obligations--which cannot be canceled or modified without substantial loss--for physical construction of the facility to be completed within a reasonable time. 
(C) If a boiler or industrial furnace is located at a facility that already has a permit or interim status, then the facility shall comply with the applicable regulations dealing with permit modifications in section 66270.42 or changes in interim status in section 66270.72 of this division.
(2) Exemptions.  The requirements of this section do not apply to hazardous waste and facilities exempt under sections 66266.100(b), or 66266.108.
(3) Prohibition on burning dioxin-listed wastes.  The following hazardous waste listed for dioxin and hazardous waste derived from any of these wastes may not be burned in a boiler or industrial furnace operating under interim status: F020, F021, F022, F023, F026, and F027.
(4) Applicability of Chapter 15, division 4.5 standards.  Owners and operators of boilers and industrial furnaces that burn hazardous waste and are operating under interim status are subject to the following provisions of chapter 15 of this division except as provided otherwise by this section:
(A) In article 1 (General), section 66265.4;
(B) In article 2 (General facility standards), sections 66265.11-66265.17;
(C) In article 3 (Preparedness and prevention), sections 66265.31-66265.37;
(D) In article 4 (Contingency plan and emergency procedures), sections 66265.51-66265.56;
(E) In article 5 (Manifest system, recordkeeping, and reporting), sections 66265.71-66265.77, except that sections 66265.71, 66265.72, and 66265.76 do not apply to owners and operators of on-site facilities that do not receive any hazardous waste from off-site sources;
(F) In article 7 (Closure and post-closure), sections 66265.111-66265.115;
(G) In article 8 (Financial requirements), sections 66265.141, 66265.142, 66265.143 and 66265.147-66265.148, except that States and the Federal government are exempt from the requirements of article 8; and
(H) Article 28 (Air emission standards for equipment leaks), except section 66265.1050(a).
(5) Special requirements for furnaces.  The following controls apply during interim status to industrial furnaces (e.g., kilns, cupolas) that feed hazardous waste for a purpose other than solely as an ingredient (see subsection (a)(5)(B) of this section) at any location other than the hot end where the products are normally discharged or where fuels are normally fired:
(A) Controls. 1. The hazardous waste shall be fed at a location where combustion gas temperatures are at least 1800o F;
2. The owner or operator shall determine that adequate oxygen is present in combustion gases to combust organic constituents in the waste and retain documentation of such determination in the facility record;
3. For cement kiln systems, the hazardous waste shall be fed into the kiln; and
4. The hydrocarbon controls of section 66266.104(c) or subsection (c)(5) of this section apply upon certification of compliance under subsection (c) of this section irrespective of the CO level achieved during the compliance test.
(B) Burning hazardous waste solely as an ingredient.  A hazardous waste is burned for a purpose other than solely as an ingredient if it meets either of these criteria:
1. The hazardous waste has a total concentration of nonmetal compounds listed in appendix VIII of chapter 11 of this division exceeding 500 ppm by weight, as-fired, and so is considered to be burned for destruction.  The concentration of nonmetal compounds in a waste as-generated may be reduced to the 500 ppm limit by bona fide treatment that removes or destroys nonmetal constituents.  Blending for dilution to meet the 500 ppm limit is prohibited and documentation that the waste has not been impermissibly diluted shall be retained in the facility record; or 
2. The hazardous waste has a heating value of 5,000 Btu/lb or more, as-fired, and so is considered to be burned as fuel.  The heating value of a waste as-generated may be reduced to below the 5,000 Btu/lb limit by bona fide treatment that removes or destroys organic constituents.  Blending to augment the heating value to meet the 5,000 Btu/lb limit is prohibited and documentation that the waste has not been impermissibly blended shall be retained in the facility record.
(6) Restrictions on burning hazardous waste that is not a fuel.  Prior to certification of compliance under subsection (c) of this section, owners and operators shall not feed hazardous waste that has a heating value less than 5,000 Btu/lb, as-generated, (except that the heating value of a waste as-generated may be increased to above the 5,000 Btu/lb limit by bona fide treatment; however, blending to augment the heating value to meet the 5,000 Btu/lb limit is prohibited and records shall be kept to document that impermissible blending has not occurred) in a boiler or industrial furnace, except that:
(A) Hazardous waste may be burned solely as an ingredient; or
(B) Hazardous waste may be burned for purposes of compliance testing (or testing prior to compliance testing) for a total period of time not to exceed 720 hours; or
(C) Such waste may be burned if the Director has documentation to show that, prior to August 21, 1991:
1. The boiler or industrial furnace is operating under the interim status standards for incinerators provided by article 15 of chapter 15 of this division, or the interim status standards for thermal treatment units provided by article 16 of chapter 15 of this division; and
2. The boiler or industrial furnace met the interim status eligibility requirements under section 66270.70 of chapter 20 for article 15 or article 16 of chapter 15 of this division; and
3. Hazardous waste with a heating value less than 5,000 Btu/lb was burned prior to that date; or
(D) Such waste may be burned in a halogen acid furnace if the waste was burned as an excluded ingredient under section 66261.2(e) of chapter 11 of this division prior to February 21, 1991 and documentation is kept on file supporting this claim.
(7) Direct transfer to the burner.  If hazardous waste is directly transferred from a transport vehicle to a boiler or industrial furnace without the use of a storage unit, the owner and operator shall comply with section 66266.111.
(b) Certification of precompliance-(1) General. The owner or operator shall provide complete and accurate information specified in subsection (b)(2) of this section to the Director on or before August 21, 1991, and shall establish limits for the operating parameters specified in subsection (b)(3) of this section.  Such information is termed a “certification of precompliance” and constitutes a certification that the owner or operator has determined that, when the facility is operated within the limits specified in subsection (b)(3) of this section, the owner or operator believes that, using best engineering judgement, emissions of particulate matter, metals, and HCl and Cl2 are not likely to exceed the limits provided by sections 66266.105, 66266.106, and 66266.107.  The facility may burn hazardous waste only under the operating conditions that the owner or operator establishes under subsection (b)(3) of this section until the owner or operator submits a revised certification of precompliance under subsection (b)(8) of this section or a certification of compliance under subsection (c) of this section, or until a permit is issued.
(2) Information required.  The following information shall be submitted with the certification of precompliance to support the determination that the limits established for the operating parameters identified in subsection (b)(3) of this section are not likely to result in an exceedance of the allowable emission rates for particulate matter, metals, and HCl and Cl2:
(A) General facility information:
1. US EPA facility ID number;
2. Facility name, contact person, telephone number, and address;
3. Description of boilers and industrial furnaces burning hazardous waste, including type and capacity of device; 
4. A scaled plot plan showing the entire facility and location of the boilers and industrial furnaces burning hazardous waste; and
5. A description of the air pollution control system on each device burning hazardous waste, including the temperature of the flue gas at the inlet to the particulate matter control system.
(B) Except for facilities complying with the Tier I or Adjusted Tier I feed rate screening limits for metals or total chlorine and chloride provided by sections 66266.106 (b) or (e) and 66266.107 (b)(1) or (e), respectively, the estimated uncontrolled (at the inlet to the air pollution control system) emissions of particulate matter, each metal controlled by section 66266.106, and hydrogen chloride and chlorine, and the following information to support such determinations:
1. The feed rate (lb/hr) of ash, chlorine, antimony, arsenic, barium, beryllium, cadmium, chromium, lead, mercury, silver, and thallium in each feedstream (hazardous waste, other fuels, industrial furnace feedstocks);
2. The estimated partitioning factor to the combustion gas for the materials identified in subsection (b)(2)(B)1. of this section and the basis for the estimate and an estimate of the partitioning to HCl and Cl2 of total chloride and chlorine in feed materials.  To estimate the partitioning factor, the owner or operator shall use either best engineering judgement or the procedures specified in appendix IX of this chapter.
3. For industrial furnaces that recycle collected particulate matter (PM) back into the furnace and that will certify compliance with the metals emissions standards under subsection (c)(3)(B)1., the estimated enrichment factor for each metal.  To estimate the enrichment factor, the owner or operator shall use either best engineering judgement or the procedures specified in “Alternative Methodology for Implementing Metals Controls” in appendix IX of this chapter.
4. If best engineering judgement is used to estimate partitioning factors or enrichment factors under subsections (b)(2)(B)2. or (b)(2)(B)3. respectively, the basis for the judgement.  When best engineering judgement is used to develop or evaluate data or information and make determinations under this section, the determinations shall be made by a qualified, registered professional engineer and a certification of his/her determinations in accordance with section 66270.11(d) of chapter 20 of this division shall be provided in certification of precompliance.
(C) For facilities complying with the Tier I or Adjusted Tier I feed rate screening limits for metals or total chlorine and chloride provided by sections 66266.106 (b) or (e) and 66266.107 (b)(1) or (e), the feed rate (lb/hr) of total chloride and chlorine, antimony, arsenic, barium, beryllium, cadmium, chromium, lead, mercury, silver, and thallium in each feedstream (hazardous waste, other fuels, industrial furnace feedstocks).
(D) For facilities complying with the Tier II or Tier III emission limits for metals or HCl and Cl2 (under sections 66266.106 (c) or (d) or 66266.107(b)(2) or (c)), the estimated controlled (outlet of the air pollution control system) emissions rates of particulate matter, each metal controlled by section 66266.106, and HCl and Cl2 and the following information to support such determinations:
1. The estimated air pollution control system (APCS) removal efficiency for particulate matter, HCl, Cl2, antimony, arsenic, barium, beryllium, cadmium, chromium, lead, mercury, silver, and thallium.
2. To estimate APCS removal efficiency, the owner or operator shall use either best engineering judgement or the procedures prescribed in appendix IX of this chapter.
3. If best engineering judgement is used to estimate APCS removal efficiency, the basis for the judgement.  Use of best engineering judgement shall be in comformance with provisions of subsection (b)(2)(B)4. of this section.
(E) Determination of allowable emissions rates for HCl, Cl2, antimony, arsenic, barium, beryllium, cadmium, chromium, lead, mercury, silver, and thallium, and the following information to support such determinations:
1. For all facilities;
a. Physical stack height;
b. Good engineering practice stack height as defined by 40 CFR 51.100(ii);
c. Maximum flue gas flow rate;
d. Maximum flue gas temperature;
e. Attach a US Geological Service topographic map (or equivalent) showing the facility location and surrounding land within 5 km of the facility;
f. Identify terrain type: complex or noncomplex; and
g. Identify land use: urban or rural.
2. For owners and operators using Tier III site specific dispersion modeling to determine allowable levels under section 66266.106(d) or section 66266.107(c), or adjusted Tier I feed rate screening limits under sections 66266.106(e) or 66266.107(e):
a. Dispersion model and version used;
b. Source of meteorological data;
c. The dilution factor in micrograms per cubic meter per gram per second of emissions for the maximum annual average off-site (unless on-site is required) ground level concentration (MEI location); and
d. Indicate the MEI location on the map required under subsection (b)(2)(E)1.e.;
(F) For facilities complying with Tier II or III emissions rate controls for metals or HCl and Cl2, a comparison of the estimated controlled emissions rates determined under subsection (b)(2)(D) with the allowable emission rates determined under subsection (b)(2)(E);
(G) For facilities complying with the Tier I (or adjusted Tier I) feed rate screening limits for metals or total chloride and chlorine, a comparison of actual feed rates of each metal and total chlorine and chloride determined under subsection (b)(2)(C) of this section to the Tier I allowable feed rates; and
(H) For industrial furnaces that feed hazardous waste for any purpose other than solely as an ingredient (as defined by subsection (a)(5)(B) of this section) at any location other than the product discharge end of the device, documentation of compliance with the requirements of subsections (a)(5)(A) 1., 2., and 3. of this section.
(I) For industrial furnaces that recycle collected particulate matter (PM) back into the furnace and that will certify compliance with the metals emissions standards under subsection (c)(3)(B)1. of this section:
1. The applicable particulate matter standard in lb/hr; and
2. The precompliance limit on the concentration of each metal in collected PM.
(3) Limits on operating conditions.  The owner and operator shall establish limits on the following parameters consistent with the determinations made under subsection (b)(2) of this section and certify (under provisions of subsection (b)(9) of this section) to the Director that the facility will operate within the limits during interim status when there is a hazardous waste in the unit until revised certification of precompliance under subsection (b)(8) of this section or certification of compliance under subsection (c) of this section:
(A) Feed rate of total hazardous waste and (unless complying with the Tier I or adjusted Tier I metals feed rate screening limits under section 66266.106(b) or (e)) pumpable hazardous waste;
(B) Feed rate of each metal in the following feed streams:
1. Total feed streams, except that industrial furnaces that comply with the alternative metals implementation approach under subsection (b)(4) of this section shall specify limits on the concentration of each metal in collected particulate matter in lieu of feed rate limits for total feedstreams;
2. Total hazardous waste feed, unless complying with the Tier I or Adjusted Tier I metals feed rate screening limits under section 66266.106 (b) or (e); and 
3. Total pumpable hazardous waste feed, unless complying with the Tier I or adjusted Tier I metals feed rate screening limits under section 66266.106 (b) or (e);
(C) Total feed rate of chlorine and chloride in total feed streams;
(D) Total feed rate of ash in total feed streams, except that the ash feed rate for cement kilns and light-weight aggregate kilns is not limited; and
(E) Maximum production rate of the device in appropriate units when producing normal product, unless complying with the Tier I or Adjusted Tier I feed rate screening limits for chlorine under section 66266.107 (b)(1) or (e) and for all metals under section 66266.106 (b) or (e), and the uncontrolled particulate emissions do not exceed the standard under section 66266.105.
(4) Operating requirements for furnaces that recycle PM.  Owners and operators of furnaces that recycle collected particulate matter (PM) back into the furnace and that will certify compliance with the metals emissions controls under subsection (c)(3)(B)1. of this section shall comply with the special operating requirements provided in “Alternative Methodology for Implementing Metal Controls” in appendix IX of this chapter.
(5) Measurement of feed rates and production rate. (A) General requirements.  Limits on each of the parameters specified in subsection (b)(3) of this section (except for limits on metal concentrations in collected particulate matter (PM) for industrial furnaces that recycle collected PM) shall be established and continuously monitored under either of the following methods:
1. Instantaneous limits.  A limit for a parameter may be established and continuously monitored and recorded on an instantaneous basis (i.e., the value that occurs at any time) not to be exceeded at any time; or
2. Hourly rolling average limits.  A limit for a parameter may be established and continuously monitored on an hourly rolling average basis defined as follows:
a. A continuous monitor is one which continuously samples the regulated parameter without interruption, and evaluates the detector response at least once each 15 seconds, and computes and records the average value at least every 60 seconds.
b. An hourly rolling average is the arithmetic mean of the 60 most recent 1-minute average values recorded by the continuous monitoring system.
(B) Rolling average limits for carcinogenic metals and lead.  Feed rate limits for the carcinogenic metals (arsenic, beryllium, cadmium, and chromium) and lead may be established either on an hourly rolling average basis as prescribed by subsection (b)(5)(A)2. or on (up to) a 24 hour rolling average basis.  If the owner or operator elects to use an averaging period from 2 to 24 hours:
1. The feed rate of each metal shall be limited at any time to ten times the feed rate that would be allowed on an hourly rolling average basis;
2. The continuous monitor shall meet the following specifications:
a. A continuous monitor is one which continuously samples the regulated parameter without interruption, and evaluates the detector response at least once each 15 seconds, and computes and records the average value at least every 60 seconds. 
b. The rolling average for the selected averaging period is defined as the arithmetic mean of one block averages for the averaging period.  A one hour block average is the arithmetic mean of the one minute averages recorded during the 60-minute period beginning at one minute after the beginning of preceding clock hour.
(C) Feed rate limits for metals, total chloride and chlorine, and ash.  Feed rate limits for metals, total chlorine and chloride, and ash are established and monitored by knowing the concentration of the substance (i.e., metals, chloride/chlorine, and ash) in each feedstream and the flow rate of the feedstream.  To monitor the feed rate of these substances, the flow rate of each feedstream shall be monitored under the continuous monitoring requirements of subsections (b)(5) (A) and (B) of this section.
(6) Public notice requirements at precompliance.  On or before August 21, 1991 the owner or operator shall submit a notice with the following information for publication in a major local newspaper of general circulation and send a copy of the notice to the appropriate units of State and local government.  The owner and operator shall provide to the Director with the certification of precompliance evidence of submitting the notice for publication.  The notice, which shall be entitled “Notice of Certification of Precompliance with Hazardous Waste Burning Requirements of Title 22, CCR, 66266.103(b)”, shall include:
(A) Name and address of the owner and operator of the facility as well as the location of the device burning hazardous waste;
(B) Date that the certification of precompliance is submitted to the Director;
(C) Brief description of the regulatory process required to comply with the interim status requirements of this section including required emissions testing to demonstrate conformance with emissions standards for organic compounds, particulate matter, metals, and HCl and Cl2;
(D) Type and quantities of hazardous waste burned including, but not limited to, source, whether solids or liquids, as well as an appropriate description of the waste;
(E) Type of device(s) in which the hazardous waste is burned including a physical description and maximum production rate of each device;
(F) Types and quantities of other fuels and industrial furnace feedstocks fed to each unit;
(G) Brief description of the basis for this certification of precompliance as specified in subsection (b)(2) of this section;
(H) Locations where the record for the facility can be viewed and copied by interested parties.  These records and locations shall at a minimum include:
1. The administrative record kept by the Department office where the supporting documentation was submitted or another location designated by the Director; and
2. The BIF correspondence file kept at the facility site where the device is located.  The correspondence file shall include all correspondence between the facility and the Department, other state and local regulatory officials, including copies of all certifications and notifications, such as precompliance certification, precompliance public notice, notice of compliance testing, compliance test report, compliance certification, time extension requests and approvals or denials, enforcement notifications of violations, and copies of US EPA and State site visit reports submitted to the owner or operator.
(I) Notification of the establishment of a facility mailing list whereby interested parties shall notify the Department that they wish to be placed on the mailing list to receive future information and notices about this facility; and
(J) Location (mailing address) of the applicable Department's Office, where further information can be obtained on state regulation of hazardous waste burning.
(7) Monitoring other operating parameters.  When the monitoring systems for the operating parameters listed in subsections (c)(1)(E through M) of this section are installed and operating in conformance with vendor specifications or (for CO, HC, and oxygen) specifications provided by appendix IX of this chapter, as appropriate, the parameters shall be continuously monitored and records shall be maintained in the operating record.
(8) Revised certification of precompliance.  The owner or operator may revise at any time the information and operating conditions documented under subsections (b)(2) and (b)(3) of this section in the certification of precompliance by submitting a revised certification of precompliance under procedures provided by those subsections.
(A) The public notice requirements of subsection (b)(6) of this section do not apply to recertifications.
(B) The owner and operator shall operate the facility within the limits established for the operating parameters under subsection (b)(3) of this section until a revised certification is submitted under this subsection or a certification of compliance is submitted under subsection (c) of this section.
(9) Certification of precompliance statement.  The owner or operator shall include the following signed statement with the certification of precompliance submitted to the Director:
“I certify under penalty of law that this information was prepared under my direction or supervision in accordance with a system designed to ensure that qualified personnel properly gathered and evaluated the information and supporting documentation. Copies of all emissions tests, dispersion modeling results and other information used to determine conformance with the requirements of section 66266.103(b) are available at the facility and can be obtained from the facility contact person listed above. Based on my inquiry of the person or persons who manages the facility, or those persons directly responsible for gathering the information, the information submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations.
I also acknowledge that the operating limits established in this certification pursuant to section 66266.103(b) (3) and (4) are enforceable limits at which the facility can legally operate during interim status until: (1) A revised certification of precompliance is submitted, (2) a certification of compliance is submitted, or (3) a hazardous waste facility permit is issued.”
(c) Certification of compliance. The owner or operator shall conduct emissions testing to document compliance with the emissions standards of sections 66266.104 (b) through (e), 66266.105, 66266.106, 66266.107, and subsection (a)(5)(A)4. of this section, under the procedures prescribed by this subsection, except under extensions of time provided by subsection (c)(7). Based on the compliance test, the owner or operator shall submit to the Director on or before August 21, 1992 a complete and accurate “certification of compliance” (under subsection (c)(4) of this section) with those emission standards establishing limits on the operating parameters specified in subsection (c)(1).
(1) Limits on operating conditions. The owner or operator shall establish limits on the following parameters based on operations during the compliance test (under procedures prescribed in subsection (c)(4)(D) of

this section) or as otherwise specified and include these limits with the certification of compliance. The boiler or industrial furnace shall be operated in accordance with these operating limits and the applicable emissions standards of sections 66266.104(b) through (e), 66266.105, 66266.106, 66266.107, and 66266.103(a)(5)(A)4. at all times when there is hazardous waste in the unit.
(A) Feed rate of total hazardous waste and (unless complying with the Tier I or adjusted Tier I metals feed rate screening limits under section 66266.106(b) or (e)) and the total chlorine and chloride feed rate screening limits under 66266.107(b) or (e), pumpable hazardous waste;
(B) Feed rate of each metal in the following feedstreams: 
1. Total feedstreams, except that:
a. Facilities that comply with Tier I or Adjusted Tier I metals feed rate screening limits may set their operating limits at the metals feed rate screening limits determined under section 66266.106(b) or (e); and
b. Industrial furnaces that shall comply with the alternative metals implementation approach under subsection (c)(3)(B) of this section shall specify limits on the concentration of each metal in the collected particulate matter in lieu of feed rate limits for total feedstreams;
2. Total hazardous waste feed (unless complying with the Tier I or Adjusted Tier I metals feed rate screening limits under section 66266.106(b) or (e)); and
3. Total pumpable hazardous waste feed (unless complying with the Tier I or Adjusted Tier I metals feed rate screening limits under section 66266.106(b) or (e));
(C) Total feed rate of chlorine and chloride in total feed streams, except that facilities that comply with Tier I or Adjusted Tier I feed rate screening limits may set their operating limits at the total chlorine and chloride feed rate screening limits determined under section 66266.107(b)(1) or (e);
(D) Total feed rate of ash in total feed streams, except that the ash feed rate for cement kilns and light-weight aggregate kilns is not limited;
(E) Carbon monoxide concentration, and where required, hydrocarbon concentration in stack gas. When complying with the CO controls of section 66266.104(b), the CO limit is 100 ppmv, and when complying with the HC controls of section 66266.104(c), the HC limit is 20 ppmv. When complying with the CO controls of section 66266.104(c), the CO limit is established based on the compliance test;
(F) Maximum production rate of the device in appropriate units when producing normal product, unless complying with the Tier I or Adjusted Tier I feed rate screening limits for chlorine under section 66266.107(b)(1) or (e) and for all metals under section 66266.106(b) or (e), and the uncontrolled particulate emissions do not exceed the standard under section 66266.105;
(G) Maximum combustion chamber temperature where the temperature measurement is as close to the combustion zone as possible and is upstream of any quench water injection (unless complying with the Tier I or Adjusted Tier I metals feed rate screening limits under section 66266.106(b) or (e));
(H) Maximum flue gas temperature entering a particulate matter control device (unless complying with Tier I or Adjusted Tier I metals feed rate screening limits under section 66266.106(b) or (e) and the total chlorine and chloride feed rate screening limits under section 66266.107(b) or (e));
(I) For systems using wet scrubbers, including wet ionizing scrubbers (unless complying with Tier I or Adjusted Tier I metals feed rate screening limits under section 66266.106(b)(1) or (e)):
1. Minimum liquid to flue gas ration;
2. Minimum scrubber blowdown from the system or maximum suspended solids content of scrubber water; and
3. Minimum pH level of the scrubber water;
(J) For systems using venturi scrubbers, the minimum differential gas pressure across the venturi (unless complying with the Tier I or Adjusted Tier I metals feed rate screening limits under section 66266.106(b) or (e) and the total chlorine and chloride feed rate screening limits under section 66266.107(b)(1) or (e));
(K) For systems using dry scrubbers (unless complying with the Tier I or Adjusted Tier I metals feed rate screening limits under section 66266.106(b) or (e) and the total chlorine and chloride feed rate screening limits under section 66266.107(b)(1) or (e)):
1. Minimum caustic feed rate; and
2. Maximum flue gas flow rate;
(L) For systems using wet ionizing scrubbers or electrostatic precipitators (unless complying with the Tier I or Adjusted Tier I metals feed rate screening limits under section 66266.106(b) or (e) and the total chlorine and chloride feed rate screening limits under section 66266.107(b)(1) or (e)):
1. Minimum electrical power in kilovolt amperes (kVA) to the precipitator plates; and
2. Maximum flue gas flow rate;
(M) For systems using fabric filters (baghouses), the minimum pressure drop (unless complying with the Tier I or Adjusted Tier I metal feed rate screening limits under section 66266.106(b) or (e) and the total chlorine and chloride feed rate screening limits under section 66266.107(b)(1) or (e)).
(2) Prior notice of compliance testing. At least 30 days prior to the compliance testing required by subsection (c)(3) of this section, the owner or operator shall notify the Director and submit the following information:
(A) General facility information including:
1. US EPA facility ID number;
2. Facility name, contact person, telephone number, and address;
3. Person responsible for conducting compliance test, including company name, address, and telephone number, and a statement of qualifications;
4. Planned date of the compliance test;
(B) Specific information on each device to be tested including:
1. Description of boiler or industrial furnace;
2. A scaled plot plan showing the entire facility and location of the boiler or industrial furnace;
3. A description of the air pollution control system;
4. Identification of the continuous emission monitors that are installed, including:
a. Carbon monoxide monitor;
b. Oxygen monitor;
c. Hydrocarbon monitor, specifying the minimum temperature of the system and, if the temperature is less than 150 oC, an explanation of why a heated system is not used (see subsection (c)(5) of this section) and a brief description of the sample gas conditioning system;
5. Indication of whether the stack is shared with another device that will be in operation during the compliance test;
6. Other information useful to an understanding of the system design or operation.
(C) Information on the testing planned, including a complete copy of the test protocol and Quality Assurance/Quality Control (QA/QC) plan, and a summary description for each test providing the following information at a minimum:
1. Purpose of the test (e.g., demonstrate compliance with emissions of particulate matter); and
2. Planned operating conditions, including levels for each pertinent parameter specified in subsection (c)(1) of this section.
(3) Compliance testing. (A) General. Compliance testing shall be conducted under conditions for which the owner or operator has submitted a certification of precompliance under subsection (b) of this section and under conditions established in the notification of compliance testing required by subsection (c)(2) of this section. The owner or operator may seek approval on a case-by-case basis to use compliance test data from one unit in lieu of testing a similar on-site unit. To support the request,

the owner or operator shall provide a comparison of the hazardous waste burned and other feedstreams, and the design, operation, and maintenance of both the tested unit and the similar unit. The Director shall provide a written approval to use compliance test data in lieu of testing a similar unit if he finds that the hazardous wastes, the devices, and the operating conditions are sufficiently similar, and the data from the other compliance test is adequate to meet the requirements of section 66266.103(c).
(B) Special requirements for industrial furnaces that recycle collected PM. Owners and operators of industrial furnaces that recycle back into the furnace particulate matter (PM) from the air pollution control system shall comply with one of the following procedures for testing to determine compliance with the metals standards of section 66266.106(c) or (d):
1. The special testing requirements prescribed in “Alternative Method for Implementing Metals Controls” in appendix IX of this chapter; or
2. Stack emissions testing for a minimum of 6 hours each day while hazardous waste is burned during interim status. The testing shall be conducted when burning normal hazardous waste for that day at normal feed rates for that day and when the air pollution control system is operated under normal conditions. During interim status, hazardous waste analysis for metals content shall be sufficient for the owner or operator to determine if changes in metals content may affect the ability of the facility to meet the metals emissions standards established under section 66266.106(c) or (d). Under this option, operating limits (under subsection (c)(1) of this section) shall be established during compliance testing under subsection (c)(3) of this section only on the following parameters;
a. Feed rate of total hazardous waste;
b. Total feed rate of chlorine and chloride in total feed streams;
c. Total feed rate of ash in total feed streams, except that the ash feed rate for cement kilns and light-weight aggregate kilns is not limited;
d. Carbon monoxide concentration, and where required, hydrocarbon concentration in stack gas;
e. Maximum production rate of the device in appropriate units when producing normal product; or
3. Conduct compliance testing to determine compliance with the metals standards to establish limits on the operating parameters of subsection (c)(1) of this section only after the kiln system has been conditioned to enable it to reach equilibrium with respect to metals fed into the system and metals emissions. During conditioning, hazardous waste and raw materials having the same metals content as will be fed during the compliance test shall be fed at the feed rates that will be fed during the compliance test.
(C) Conduct of compliance testing. 1. If compliance with all applicable emissions standards of sections 66266.104 through 66266.107 is not demonstrated simultaneously during a set of test runs, the operating conditions of additional test runs required to demonstrate compliance with remaining emissions standards shall be as close as possible to the original operating conditions.
2. Prior to obtaining test data for purposes of demonstrating compliance with the applicable emissions standards of sections 66266.104 through 66266.107 or establishing limits on operating parameters under this section, the facility shall operate under compliance test conditions for a sufficient period to reach steady-state operations. Industrial furnaces that recycle collected particulate matter back into the furnace and that comply with subsections (c)(3)(B)1. or 2. of this section, however, need not reach steady state conditions with respect to the flow of metals in the system prior to beginning compliance testing for metals.
3. Compliance test data on the level of an operating parameter for which a limit shall be established in the certification of compliance shall be obtained during emissions sampling for the pollutant(s) (i.e., metals, PM, HCl/Cl2, organic compounds) for which the parameter shall be established as specified by subsection (c)(1) of this section.
(4) Certification of compliance. Within 90 days of completing compliance testing, the owner or operator shall certify to the Director compliance with the emissions standards of sections 66266.104(b), (c), and (e), 66266.105, 66266.106, 66266.107, and subsection (a)(5)(A)4. of this section. The certification of compliance shall include the following information:
(A) General facility and testing information including:
1. US EPA facility ID number;
2. Facility name, contact person, telephone number, and address;
3. Person responsible for conducting compliance testing, including company name, address, and telephone number, and a statement of qualifications;
4. Date(s) of each compliance test;
5. Description of boiler or industrial furnace tested;
6. Person responsible for quality assurance/quality control (QA/QC), title, and telephone number, and statement that procedures prescribed in the QA/QC plan submitted under section 66266.103(c)(2)(C) have been followed, or a description of any changes and an explanation of why changes were necessary.
7. Description of any changes in the unit configuration prior to or during testing that would alter any of the information submitted in the prior notice of compliance testing under subsection (c)(2) of this section, and an explanation of why the changes were necessary;
8. Description of any changes in the planned test conditions prior to or during the testing that alter any of the information submitted in the prior notice of compliance testing under subsection (c)(2) of this section, and an explanation of why the changes were necessary; and
9. The complete report on results of emissions testing.
(B) Specific information on each test including:
1. Purpose(s) of test (e.g., demonstrate conformance with the emissions limits for particulate matter, metals, HCl, Cl2, and CO)
2. Summary of test results for each run and for each test including the following information:
a. Date of run;
b. Duration of run;
c. Time-weighted average and highest hourly rolling average CO level for each run and for the test;
d. Highest hourly rolling average HC level, if HC monitoring is required for each run and for the test;
e. If dioxin and furan testing is required under section 66266.104(e), time-weighted average emissions for each run and for the test of chlorinated dioxin and furan emissions, and the predicted maximum annual average ground level concentration of the toxicity equivalency factor;
f. Time-weighted average particulate matter emissions for each run and for the test;
g. Time-weighted average HCl and Cl2 emissions for each run and for the test;
h. Time-weighted average emissions for the metals subject to regulation under section 66266.106 for each run and for the test; and
i. QA/QC results.
(C) Comparison of the actual emissions during each test with the emissions limits prescribed by sections 66266.104 (b), (c), and (e), 66266.105, 66266.106, and 66266.107 and established for the facility in the certification of precompliance under subsection (b) of this section.
(D) Determination of operating limits based on all valid runs of the compliance test for each applicable parameter listed in subsection (c)(1) of this section using either of the following procedures:
1. Instantaneous limits. A parameter may be measured and recorded on an instantaneous basis (i.e., the value that occurs at any time) and the operating limit specified as the time-weighted average during all runs of the compliance test; or
2. Hourly rolling average basis. a. The limit for a parameter may be established and continuously monitored on an hourly rolling average basis defined as follows:
(A) A continuous monitor is one which continuously samples the regulated parameter without interruption, and evaluates the detector response

at least once each 15 seconds, and computes and records the average value at least every 60 seconds.
(B) An hourly rolling average is the arithmetic mean of the 60 most recent 1-minute average values recorded by the continuous monitoring system.
b. The operating limit for the parameter shall be established based on compliance test data as the average over all test runs of the highest hourly rolling average value for each run.
3. Rolling average limits for carcinogenic metals and lead. Feed rate limits for the carcinogenic metals (i.e., arsenic, beryllium, cadmium and chromium) and lead may be established either on an hourly rolling average basis as prescribed by subsection (c)(4)(D)2. of this section or on (up to) a 24 hour rolling average basis. If the owner or operator elects to use an averaging period from 2 to 24 hours:
a. The feed rate of each metal shall be limited at any time to ten times the feed rate that would be allowed on a hourly rolling average basis;
b. The continuous monitor shall meet the following specifications:
(A) A continuous monitor is one which continuously samples the regulated parameter without interruption, and evaluates the detector response at least once each 15 seconds, and computes and records the average value at least every 60 seconds.
(B) The rolling average for the selected averaging period is defined as arithmetic mean of one hour block averages for the averaging period. A one hour block average is the arithmetic mean of the one minute averages recorded during the 60-minute period beginning at one minute after the beginning of preceding clock hour; and
c. The operating limit for the feed rate of each metal shall be established based on compliance test data as the average over all test runs of the highest hourly rolling average feed rate for each run.
4. Feed rate limits for metals, total chloride and chlorine, and ash. Feed rate limits for metals, total chlorine and chloride, and ash are established and monitored by knowing the concentration of the substance (i.e., metals, chloride/chlorine, and ash) in each feedstream and the flow rate of the feedstream. To monitor the feed rate of these substances, the flow rate of each feedstream shall be monitored under the continuous requirements of subsections (c)(4)(D) 1. through 3. of this section.
(E) Certification of compliance statement. The following statement shall accompany the certification of compliance:
“I certify under penalty of law that this information was prepared under my direction or supervision in accordance with a system designed to ensure that qualified personnel properly gathered and evaluated the information and supporting documentation. Copies of all emissions tests, dispersion modeling results and other information used to determine conformance with the requirements of section 66266.103(c) are available at the facility and can be obtained from the facility contact person listed above. Based on my inquiry of the person or persons who manages the facility, or those persons directly responsible for gathering the information, the information submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations.
I also acknowledge that the operating conditions established in this certification pursuant to section 66266.103(c)(4)(D) are enforceable limits at which the facility can legally operate during interim status until a revised certification of compliance is submitted.”
(5) Special requirements for HC monitoring systems. When an owner or operator is required to comply with the hydrocarbon (HC) controls provided by section 66266.104(c) or subsection (a)(5)(A) 4. of this section, a conditioned gas monitoring system may be used in conformance with specifications provided in appendix IX of this chapter provided that the owner or operator submits a certification of compliance without using extensions of time provided by subsection (c)(7) of this section.
(6) Special operating requirements for industrial furnaces that recycle collected PM. Owners and operators of industrial furnaces that recycle back into the furnace particulate matter (PM) from the air pollution control system shall:
(A) When complying, with the requirements of subsection (c)(3)(B) 1. of this section, comply with the operating requirements prescribed in “Alternative Method to Implement the Metals Controls” in appendix IX of this chapter; and
(B) When complying with the requirements of subsection (c)(3)(B) 2. of this section, comply with the operating requirements prescribed by that subsection.
(7) Extensions of time. (A) If the owner or operator does not submit a complete certification of compliance for all of the applicable emissions standards of sections 66266.104, 66266.105, 66266.106, and 66266.107 by August 21, 1992, the owner or operator shall either:
1. Stop burning hazardous waste and begin closure activities under subsection (1) of this section for the hazardous waste portion of the facility; or
2. Limit hazardous waste burning only for purposes of compliance testing (and pretesting to prepare for compliance testing) a total period of 720 hours for the period of time beginning August 21, 1992, submit a notification to the Director by August 21, 1992 stating that the facility is operating under restricted interim status and intends to resume burning hazardous waste, and submit a complete certification of compliance by August 23, 1993; or
3. Obtain a case-by-case extension of time under subsection (c)(7)(B) of this section.
(B) The owner or operator may request a case-by-case extension of time to extend any time limit provided by subsection (c) of this section if compliance with the time limit is not practicable for reasons beyond the control of the owner or operator.
1. In granting an extension, the Director may apply conditions as the facts warrant to ensure timely compliance with the requirements of this section and that the facility operates in a manner that does not pose a hazard to human health and the environment;
2. When an owner or operator requests an extension of time to enable the facility to comply with the alternative hydrocarbon provisions of section 66266.104(f) and obtain a hazardous waste facility permit because the facility cannot meet the HC limit of section 66266.104(c) of this chapter:
a. The Director shall, in considering whether to grant the extension:
(A) Determine whether the owner and operator have submitted in a timely manner a complete part B permit application that includes information required under section 66270.22(b) of this chapter 20; and
(B) Consider whether the owner and operator have made a good faith effort to certify compliance with all other emission controls, including the controls on dioxins and furans of section 66266.104(e) and the controls on PM, metals, and HCl/Cl2.
b. If an extension is granted, the Director shall, as a condition of the extension, require the facility to operate under flue gas concentration limits on CO and HC that, based on available information, including information in the part B permit application, are baseline CO and HC levels as defined by section 66266.104(f)(1).
(8) Revised certification of compliance. The owner or operator may submit at any time a revised certification of compliance (recertification of compliance) under the following procedures:
(A) Prior to submittal of a revised certification of compliance, hazardous waste may not be burned for more than a total of 720 hours under operating conditions that exceed those established under a current certification of compliance, and such burning may be conducted only for purposes of determining whether the facility can operate under revised conditions and continue to meet the applicable emissions standards of sections 66266.104, 66266.105, 66266.106, and 66266.107;
(B) At least 30 days prior to first burning hazardous waste under operating conditions that exceed those established under a current certifica

tion of compliance, the owner or operator shall notify the Director and submit the following information:
1. US EPA facility ID number and facility name, contact person, telephone number, and address;
2. Operating conditions that the owner or operator is seeking to revise and description of the changes in facility design or operation that prompted the need to seek to revise the operating conditions;
3. A determination that when operating under the revised operating conditions, the applicable emissions standards of sections 66266.104, 66266.105, 66266.106, and 66266.107 are not likely to be exceeded. To document this determination, the owner or operator shall submit the applicable information required under subsection (b)(2) of this section; and
4. Complete emissions testing protocol for any pretesting and for a new compliance test to determine compliance with the applicable emissions standards of sections 66266.104, 66266.105, 66266.106, and 66266.107 when operating under revised operating conditions. The protocol shall include a schedule of pre-testing and compliance testing. If the owner or operator revises the scheduled date for the compliance test, he/she shall notify the Director in writing at least 30 days prior to the revised date of the compliance test;
(C) Conduct a compliance test under the revised operating conditions and the protocol submitted to the Director to determine compliance with the applicable emissions standards of sections 66266.104, 66266.105, 66266.106, and 66266.107; and
(D) Submit a revised certification of compliance under subsection (c)(4) of this section.
(d) Periodic Recertifications. The owner or operator shall conduct compliance testing and submit to the Director a recertification of compliance under provisions of subsection (c) of this section within three years from submitting the previous certification or recertification. If the owner or operator seeks to recertify compliance under new operating conditions, the owner or operator shall comply with the requirements of subsection (c)(8) of this section.
(e) Noncompliance with certification schedule. If the owner or operator does not comply with the interim status compliance schedule provided by subsections (b), (c), and (d) of this section, hazardous waste burning shall terminate on the date that the deadline is missed, closure activities shall begin under subsection (l) of this section, and hazardous waste burning may not resume except under an operating permit issued under section 66270.66 of chapter 20. For purposes of compliance with the closure provisions of subsection (l) of this section and sections 66265.112(d)(2) and 66265.113 of chapter 15 the boiler or industrial furnace has received “the known final volume of hazardous waste” on the date that the deadline is missed.
(f) Start-up and shut-down. Hazardous waste (except waste fed solely as an ingredient under the Tier I (or adjusted Tier I) feed rate screening limits for metals and chloride/chlorine) shall not be fed into the device during start-up and shut-down of the boiler or industrial furnace, unless the device is operating within the conditions of operation specified in the certification of compliance.
(g) Automatic waste feed cutoff. During the compliance test required by subsection (c)(3) of this section, and upon certification of compliance under subsection (c) of this section, a boiler or industrial furnace shall be operated with a functioning system that automatically cuts off the hazardous waste feed when the applicable operating conditions specified in subsections (c)(1)(A) and ((E)-(M)) of this section deviate from those established in the certification of compliance. In addition:
(1) To minimize emissions of organic compounds, the minimum combustion chamber temperature (or the indicator of combustion chamber temperature) that occurred during the compliance test shall be maintained while hazardous waste or hazardous waste residues remain in the combustion chamber, with the minimum temperature during the compliance test defined as either:
(A) If compliance with the combustion chamber temperature limit is based on a hourly rolling average, the minimum temperature during the compliance test is considered to be the average over all runs of the lowest hourly rolling average for each run; or
(B) If compliance with the combustion chamber temperature limit is based on an instantaneous temperature measurement, the minimum temperature during the compliance test is considered to be the time-weighted average temperature during all runs of the test; and
(2) Operating parameters limited by the certification of compliance shall continue to be monitored during the cutoff, and the hazardous waste feed shall not be restarted until the levels of those parameters comply with the limits established in the certification of compliance.
(h) Fugitive emissions. Fugitive emissions shall be controlled by:
(1) Keeping the combustion zone totally sealed against fugitive emissions; or
(2) Maintaining the combustion zone pressure lower than atmospheric pressure; or
(3) An alternate means of control that the owner or operator can demonstrate provide fugitive emissions control equivalent to maintenance of combustion zone pressure lower than atmospheric pressure. Support for such demonstration shall be included in the operating record.
(i) Changes. A boiler or industrial furnace shall cease burning hazardous waste when changes in combustion properties, or feed rates of the hazardous waste, other fuels, or industrial furnace feedstocks, or changes in the boiler or industrial furnace design or operating conditions deviate from the limits specified in the certification of compliance.
(j) Monitoring and Inspections. (1) The owner or operator shall monitor and record the following, at a minimum, while burning hazardous waste:
(A) Feed rates and composition of hazardous waste, other fuels, and industrial furnace feed stocks, and feed rates of ash, metals, and total chloride and chlorine as necessary to ensure conformance with the certification of precompliance or certification of compliance;
(B) Carbon monoxide (CO), oxygen, and if applicable, hydrocarbons (HC), on a continuous basis at a common point in the boiler or industrial furnace downstream of the combustion zone and prior to release of stack gases to the atmosphere in accordance with the operating limits specified in the certification of compliance. CO, HC, and oxygen monitors shall be installed, operated, and maintained in accordance with methods specified in appendix IX of this chapter.
(C) Upon the request of the Director, sampling and analysis of the hazardous waste (and other fuels and industrial furnace feed stocks as appropriate) and the stack gas emissions shall be conducted to verify that the operating conditions established in the certification of precompliance or certification of compliance achieve the applicable standards of sections 66266.104, 66266.105, 66266.106, and 66266.107.
(2) The boiler or industrial furnace and associated equipment (pumps, valves, pipes, fuel storage tanks, etc.) shall be subjected to thorough visual inspection when they contain hazardous waste, at least daily for leaks, spills, fugitive emissions, and signs of tampering.
(3) The automatic hazardous waste feed cutoff system and associated alarms shall be tested at least once every 7 days when hazardous waste is burned to verify operability, unless the owner or operator can demonstrate that weekly inspections will unduly restrict or upset operations and that less frequent inspections will be adequate. Support for such demonstration shall be included in the operating record. At a minimum, operational testing shall be conducted at least once every 30 days.
(4) These monitoring and inspection data shall be recorded and the records shall be placed in the operating log.
(k) Recordkeeping. The owner or operator shall keep in the operating record of the facility all information and data required by this section until closure of the boiler or industrial furnace unit.
(l) Closure. At closure, the owner or operator shall remove all hazardous waste residues (including, but not limited to, ash, scrubber waters,

and scrubber sludges) from the boiler or industrial furnace and shall comply with sections 66265.111-66265.115 of chapter 15 of this division.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 266.103.
HISTORY

1. New section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Change without regulatory effect amending subsection (g) filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
3. Change without regulatory effect amending subsections (a)(6), (b)(6)(I), (c)(1)(M) and (c)(4) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
4. Change without regulatory effect amending subsections (b)(2)(B)2., (b)(3), (b)(3)(A), (b)(3)(C) and (b)(6) filed 1-13-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 2).
§66266.104. Standards to Control Organic Emissions.
Note     •     History

(a) DRE standard-(1) General. Except as provided in subsection (a)(3) of this section, a boiler or industrial furnace burning hazardous waste shall achieve a destruction and removal efficiency (DRE) of 99.99% for all organic hazardous constituents in the waste feed. To demonstrate conformance with this requirement, 99.99% DRE shall be demonstrated during a trial burn for each principal organic hazardous constituent (POHC) designated (under subsection (a)(2) of this section) in its permit for each waste feed. DRE is determined for each POHC from the following equation:

View Graphic
where:
Win = Mass feed rate of one principal organic hazardous constituent (POHC) in the hazardous waste fired to the boiler or industrial furnace; and 
Wout = Mass emission rate of the same POHC present in stack gas prior to release to the atmosphere. 
(2) Designation of POHCs. Principal organic hazardous constituents (POHCs) are those compounds for which compliance with the DRE requirements of this section shall be demonstrated in a trial burn in conformance with procedures prescribed in section 66270.66 of chapter 20 of this division. One or more POHCs shall be designated by the Director for each waste feed to be burned. POHCs shall be designated based on the degree of difficulty of destruction of the organic constituents in the waste and on their concentrations or mass in the waste feed considering the results of waste analyses submitted with part B of the permit application. POHCs are most likely to be selected from among those compounds listed in appendix VIII of chapter 11 of this division that are also present in the normal waste feed. However, if the applicant demonstrates to the Department's satisfaction that a compound not listed in appendix VIII or not present in the normal waste feed is a suitable indicator of compliance with the DRE requirements of this section, that compound may be designated as a POHC. Such POHCs need not be toxic or organic compounds
(3) Dioxin-listed waste. A boiler or industrial furnace burning hazardous waste containing (or derived from) US EPA Hazardous Wastes Nos. F020, F021, F022, F023, F026, or F027 shall achieve a destruction and removal efficiency (DRE) of 99.9999% for each POHC designated (under subsection (a)(2) of this section) in its permit. This performance shall be demonstrated on POHCs that are more difficult to burn than tetra-, penta-, and hexachlorodibenzo-p-dioxins and dibenzofurans. DRE is determined for each POHC from the equation in subsection (a)(1) of this section. In addition, the owner or operator of the boiler or industrial furnace shall notify the Director of intent to burn US EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, or F027. 
(4) Automatic waiver of DRE trial burn. Owners and operators of boilers operated under the special operating requirements provided by section 66266.110 are considered to be in compliance with the DRE standard of subsection (a)(1) of this section and are exempt from the DRE trial burn. 
(5) Low risk waste. Owners and operators of boilers or industrial furnaces that burn hazardous waste in compliance with the requirements of section 66266.109(a) are considered to be in compliance with the DRE standard of subsection (a)(1) of this section and are exempt from the DRE trial burn. 
(b) Carbon monoxide standard. (1) Except as provided in subsection (c) of this section, the stack gas concentration of carbon monoxide (CO) from a boiler or industrial furnace burning hazardous waste cannot exceed 100 ppmv on an hourly rolling average basis (i.e., over any 60 minute period), continuously corrected to 7 percent oxygen, dry gas basis. 
(2) CO and oxygen shall be continuously monitored in conformance with “Performance Specifications for Continuous Emission Monitoring of Carbon Monoxide and Oxygen for Incinerators, Boilers, and Industrial Furnaces Burning Hazardous Waste” in appendix IX of this chapter. 
(3) Compliance with the 100 ppmv CO limit shall be demonstrated during the trial burn (for new facilities or an interim status facility applying for a permit) or the compliance test (for interim status facilities). To demonstrate compliance, the highest hourly rolling average CO level during any valid run of the trial burn or compliance test shall not exceed 100 ppmv. 
(c) Alternative carbon monoxide standard. (1) The stack gas concentration of carbon monoxide (CO) from a boiler or industrial furnace burning hazardous waste may exceed the 100 ppmv limit provided that stack gas concentrations of hydrocarbons (HC) do not exceed 20 ppmv, except as provided by subsection (f) of this section for certain industrial furnaces. 
(2) HC limits shall be established under this section on an hourly rolling average basis (i.e., over any 60 minute period), reported as propane, and continuously corrected to 7 percent oxygen, dry gas basis. 
(3) HC shall be continuously monitored in conformance with “Performance Specifications for Continuous Emission Monitoring of Hydrocarbons for Incinerators, Boilers, and Industrial Furnaces Burning Hazardous Waste” in appendix IX of this chapter. CO and oxygen shall be continuously monitored in conformance with subsection (b)(2) of this section. 
(4) The alternative CO standard is established based on CO data during the trial burn (for a new facility) and the compliance test (for an interim status facility). The alternative CO standard is the average over all valid runs of the highest hourly average CO level for each run. The CO limit is implemented on an hourly rolling average basis, and continuously corrected to 7 percent oxygen, dry gas basis. 
(d) Special requirements for furnaces. Owners and operators of industrial furnaces (e.g., kilns, cupolas) that feed hazardous waste for a purpose other than solely as an ingredient (see section 66266.103(a)(5)(B)) at any location other than the end where products are normally discharged and where fuels are normally fired shall comply with the hydrocarbon limits provided by subsections (c) or (f) of this section irrespective of whether stack gas CO concentrations meet the 100 ppmv limit of subsection (b) of this section. 
(e) Controls for dioxins and furans. Owners and operators of boilers and industrial furnaces that are equipped with a dry particulate matter control device that operates within the temperature range of 450-750 oF, and industrial furnaces operating under an alternative hydrocarbon limit established under subsection (f) of this section shall conduct a site-specific risk assessment as follows to demonstrate that emissions of chlorinated dibenzo-p-dioxins and dibenzofurans do not result in an increased lifetime cancer risk to the hypothetical maximum exposed individual (MEI) exceeding 1 in 100,000: 
(1) During the trial burn (for new facilities or an interim status facility applying for a permit) or compliance test (for interim status facilities), determine emission rates of the tetra-octa congeners of chlorinated dibenzo-p-dioxins and dibenzofurans (CDDs/CDFs) using Method 0023A, Sampling Method for Polychlorinated Dibenzo-p-Dioxins and Polychlorinated Dibenzofurans Emissions from Stationary Sources, found in U.S. EPA Publication SW-846, as incorporated by reference in Section 66260.11 of this Division.
(2) Estimate the 2,3,7,8-TCDD toxicity equivalence of the tetra-octa CDDs/CDFs congeners using “Procedures for Estimating the Toxicity Equivalence of Chlorinated Dibenzo-p-Dioxin and Dibenzofuran Congeners” in appendix IX of this chapter. Multiply the emission rates of CDD/CDF congeners with a toxicity equivalence greater than zero (see the procedure) by the calculated toxicity equivalence factor to estimate the equivalent emission rate of 2,3,7,8-TCDD; 
(3) Conduct dispersion modeling using methods recommended in appendix W of part 51 of 40 CFR (“Guideline on Air Quality Models (Revised)” (1986) and its supplements), the “Hazardous Waste Combustion Air Quality Screening Procedure”, provided in appendix IX of this chapter, or in Screening Procedures for Estimating the Air Quality Impact of Stationary Sources, Revised (incorporated by reference in section 66260.11) to predict the maximum annual average off-site ground level concentration of 2,3,7,8-TCDD equivalents determined under subsection (e)(2) of this section. The maximum annual average concentration shall be used when a person resides on-site; and 
(4) The ratio of the predicted maximum annual average ground level concentration of 2,3,7,8-TCDD equivalents to the risk-specific dose for 2,3,7,8-TCDD provided in appendix V of this chapter (2.2 X 10-7) shall not exceed 1.0. 
(f) Monitoring CO and HC in the by-pass duct of a cement kiln. Cement kilns may comply with the carbon monoxide and hydrocarbon limits provided by subsections (b), (c), and (d) of this section by monitoring in the by-pass duct provided that: 
(1) Hazardous waste is fired only into the kiln and not at any location downstream from the kiln exit relative to the direction of gas flow; and
(2) The by-pass duct diverts a minimum of 10% of kiln off-gas into the duct. 
(g) Use of emissions test data to demonstrate compliance and establish operating limits. Compliance with the requirements of this section shall be demonstrated simultaneously by emissions testing or during separate runs under identical operating conditions. Further, data to demonstrate compliance with the CO and HC limits of this section or to establish alternative CO or HC limits under this section shall be obtained during the time that DRE testing, and where applicable, CDD/CDF testing under subsection (e) of this section and comprehensive organic emissions testing under subsection (f) is conducted.
(h) Enforcement. For the purposes of permit enforcement, compliance with the operating requirements specified in the permit (under section 66266.102) will be regarded as compliance with this section. However, evidence that compliance with those permit conditions is insufficient to ensure compliance with the requirements of this section may be “information” justifying modification or revocation and re-issuance of a permit under section 66270.41 of chapter 20 of this division. 
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 266.104.
HISTORY

1. New section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Amendment of subsection (e)(1) filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
3. Change without regulatory effect amending subsection (e)(2) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66266.105. Standards to Control Particulate Matter.
Note     •     History

(a) A boiler or industrial furnace burning hazardous waste may not emit particulate matter in excess of 180 milligrams per dry standard cubic meter (0.08 grains per dry standard cubic foot) after correction to a stack gas concentration of 7% oxygen, using procedures prescribed in 40 CFR part 60, appendix A, methods 1 through 5, and appendix IX of this chapter.
(b) An owner or operator meeting the requirements of section 66266.109(b) for the low risk waste is exempt from the particulate matter standard.
(c) For the purposes of permit enforcement, compliance with the operating requirements specified in the permit (under section 66266.102) will be regarded as compliance with this section. However, evidence that compliance with those permit conditions is insufficient to ensure compliance with the requirements of this section may be “information” justifying modification or revocation and re-issuance of a permit under section 66270.41 of chapter 20 of this division.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 266.105.
HISTORY

1. New section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
§66266.106. Standards to Control Metals Emissions.
Note     •     History

(a) General. The owner or operator shall comply with the metals standards provided by subsections (b), (c), (d), (e), or (f) of this section for each metal listed in subsection (b) of this section that is present in the hazardous waste at detectable levels using analytical procedures specified in Test Methods for Evaluating Solid Waste, Physical/Chemical Methods (SW-846), incorporated by reference in section 66260.11 of chapter 10 of this division.
(b) Tier I feed rate screening limits. Feed rate screening limits for metals are specified in appendix I of this chapter as a function of terrain-adjusted effective stack height and terrain and land use in the vicinity of the facility. Criteria for facilities that are not eligible to comply with the screening limits are provided in subsection (b)(7) of this section.
(1) Noncarcinogenic metals. The feed rates of antimony, barium, lead, mercury, thallium, and silver in all feed streams, including hazardous waste, fuels, and industrial furnace feed stocks shall not exceed the screening limits specified in appendix I of this chapter.
(A) The feed rate screening limits for antimony, barium, mercury, thallium, and silver are based on either:
1. An hourly rolling average as defined in section 66266.102(e)(6)(A)2.; or
2. An instantaneous limit not to be exceeded at any time.
(B) The feed rate screening limit for lead is based on one of the following:
1. An hourly rolling average as defined in section 66266.102(e)(6)(A)2.;
2. An averaging period of 2 to 24 hours as defined in section 66266.102(e)(6)(B) with an instantaneous feed rate limit not to exceed 10 times the feed rate that would be allowed on an hourly rolling average basis; or
3. An instantaneous limit not to be exceeded at any time.
(2) Carcinogenic metals. (A) The feed rates of arsenic, cadmium, beryllium, and chromium in all feed streams, including hazardous waste, fuels, and industrial furnace feed stocks shall not exceed values derived from the screening limits specified in appendix I of this chapter. The feed rate of each of these metals is limited to a level such that the sum of the ratios of the actual feed rate to the feed rate screening limit specified in appendix I shall not exceed 1.0, as provided by the following equation:

View Graphic
where:
n=number of carcinogenic metals
AFR=actual feed rate to the device for metal “i”
FRSL=feed rate screening limit provided by appendix I of this chapter for metal “i”.
(B) The feed rate screening limits for the carcinogenic metals are based on either:
1. An hourly rolling average; or
2. An averaging period of 2 to 24 hours as defined in section 66266.102(e)(6)(B) with an instantaneous feed rate limit not to exceed 10 times the feed rate that would be allowed on an hourly rolling average basis.
(3) TESH.
(A) The terrain-adjusted effective stack height is determined according to the following equation:
TESH=Ha+H1-Tr
where:
Ha=Actual physical stack height.
H1=Plume rise as determined from appendix VI of this chapter as a function of stack flow rate and stack gas exhaust temperature.
Tr=Terrain rise within five kilometers of the stack.
(B) The stack height (Ha) may not exceed good engineering practice as specified in 40 CFR 51.100(ii).
(C) If the TESH for a particular facility is not listed in the table in the appendices, the nearest lower TESH listed in the table shall be used. If the TESH is four meters or less, a value of four meters shall be used.
(4) Terrain type. The screening limits are a function of whether the facility is located in noncomplex or complex terrain. A device located where any part of the surrounding terrain within 5 kilometers of the stack equals or exceeds the elevation of the physical stack height (Ha) is considered to be in complex terrain and the screening limits for complex terrain apply. Terrain measurements are to be made from U.S. Geological Survey 7.5-minute topographic maps of the area surrounding the facility.
(5) Land use. The screening limits are a function of whether the facility is located in an area where the land use is urban or rural. To determine whether land use in the vicinity of the facility is urban or rural, procedures provided in appendices IX or X of this chapter shall be used.
(6) Multiple stacks. Owners and operators of facilities with more than one on-site stack from a boiler, industrial furnace, incinerator, or other thermal treatment unit subject to controls of metals emissions under a hazardous waste facility permit or interim status controls shall comply with the screening limits for all such units assuming all hazardous waste is fed into the device with the worst-case stack based on dispersion characteristics. The worst-case stack is determined from the following equation as applied to each stack:
K=HVT
Where:
K = a parameter accounting for relative influence of stack height and plume rise;
H = physical stack height (meters);
V = stack gas flow rate (m3/second); and
T = exhaust temperature (oK).
The stack with the lowest value of K is the worst-case stack.
(7) Criteria for facilities not eligible for screening limits. If any criteria below are met, the Tier I and Tier II screening limits do not apply. Owners and operators of such facilities shall comply with either the Tier III standards provided by subsection (d) of this section or with the adjusted Tier I feed rate screening limits provided by subsection (e) of this section.
(A) The device is located in a narrow valley less than one kilometer wide;
(B) The device has a stack taller than 20 meters and is located such that the terrain rises to the physical height within one kilometer of the facility;
(C) The device has a stack taller than 20 meters and is located within five kilometers of shoreline of a large body of water such as an ocean or a large lake;
(D) The physical stack height of any stack is less than 2.5 times the height of any building within five building heights or five projected building widths of the stack and the distance from the stack to the closest boundary is within five building heights or five projected building widths of the associated building; or
(E) The Director determines that standards based on site-specific dispersion modeling are required.
(8) Implementation. The feed rate of metals in each feedstream shall be monitored to ensure that the feed rate screening limits are not exceeded.
(c) Tier II emission rate screening limits. Emission rate screening limits are specified in appendix I as a function of terrain-adjusted effective stack height and terrain and land use in the vicinity of the facility. Criteria for facilities that are not eligible to comply with the screening limits are provided in subsection (b)(7) of this section.
(1) Noncarcinogenic metals. The emission rates of antimony, barium, lead, mercury, thallium, and silver shall not exceed the screening limits specified in appendix I of this chapter.
(2) Carcinogenic metals. The emission rates of arsenic, cadmium, beryllium, and chromium shall not exceed values derived from the screening limits specified in appendix I of this chapter. The emission rate of each of these metals is limited to a level such that the sum of the ratios of the actual emission rate to the emission rate screening limit specified in appendix I shall not exceed 1.0, as provided by the following equation:

View Graphic
where:
n=number of carcinogenic metals
AER=actual emission rate for metal “i”
ERSL=emission rate screening limit provided by appendix I of this chapter for metal “i”.
(3) Implementation. The emission rate limits shall be implemented by limiting feed rates of the individual metals to levels during the trial burn (for new facilities or an interim status facility applying for a permit) or the compliance test (for interim status facilities). The feed rate averaging periods are the same as provided by subsections (b)(1)(A) and (B) and (b)(2)(B) of this section. The feed rate of metals in each feedstream shall be monitored to ensure that the feed rate limits for the feedstreams specified under sections 66266.102 or 66266.103 are not exceeded.
(4) Definitions and limitations. The definitions and limitations provided by subsection (b) of this section for the following terms also apply to the Tier II emission rate screening limits provided by subsection (c) of this section: terrain-adjusted effective stack height, good engineering practice stack height, terrain type, land use, and criteria for facilities not eligible to use the screening limits.
(5) Multiple stacks.
(A) Owners and operators of facilities with more than one onsite stack from a boiler, industrial furnace, incinerator, or other thermal treatment unit subject to controls on metals emissions under a hazardous waste facility permit or interim status controls shall comply with the emissions screening limits for any such stacks assuming all hazardous waste is fed into the device with the worst-case stack based on dispersion characteristics.
(B) The worst-case stack is determined by procedures provided in subsection (b)(6) of this section.
(C) For each metal, the total emissions of the metal from those stacks shall not exceed the screening limit for the worst-case stack.
(d) Tier III and Adjusted Tier I site-specific risk assessment. The requirements of this subsection apply to facilities complying with either the Tier III or Adjusted Tier I controls except where specified otherwise.
(1) General. Conformance with the Tier III metals controls shall be demonstrated by emissions testing to determine the emission rate for each metal. In addition, conformance with either the Tier III or Adjusted Tier I metals controls shall be demonstrated by air dispersion modeling to predict the maximum annual average off-site ground level concentration for each dispersion modeling to predict the maximum annual average off-site ground level concentration for each metal, and a demonstration that acceptable ambient levels are not exceeded.
(2) Acceptable ambient levels. Appendices IV and V of this chapter list the acceptable ambient levels for purposes of this rule. Reference air concentrations (RACs) are listed for the noncarcinogenic metals and 10-5 risk-specific doses (RSDs) are listed for the carcinogenic metals. The RSD for a metal is the acceptable ambient level for that metal provided that only one of the four carcinogenic metals is emitted. If more than one carcinogenic metal is emitted, the acceptable ambient level for the carcinogenic metals is a fraction of the RSD as described in subsection (d)(3) of this section.
(3) Carcinogenic metals. For the carcinogenic metals, arsenic, cadmium, beryllium, and chromium, the sum of the ratios of the predicted maximum annual average off-site ground level concentrations (except that on-site concentrations shall be considered if a person resides on site) to the risk-specific dose (RSD) for all carcinogenic metals emitted shall not exceed 1.0 as determined by the following equation:

View Graphic
where: n=number of carcinogenic metals
(4) Noncarcinogenic metals. For the noncarcinogenic metals, the predicted maximum annual average off-site ground level concentration for each metal shall not exceed the reference air concentration (RAC).
(5) Multiple stacks. Owners and operators of facilities with more than one on-site stack from a boiler, industrial furnace, incinerator, or other thermal treatment unit subject to controls on metals emissions under a hazardous waste facility permit or interim status controls shall conduct emissions testing (except that facilities complying with Adjusted Tier I controls need not conduct emissions testing) and dispersion modeling to demonstrate that the aggregate emissions from all such on-site stacks do not result in an exceedance of the acceptable ambient levels.
(6) Implementation. Under Tier III, the metals controls shall be implemented by limiting feed rates of the individual metals to levels during the trial burn (for new facilities or an interim status facility applying for a permit) or the compliance test (for interim status facilities). The feed rate averaging periods are the same as provided by subsections (b)(1) (A) and (B) and (b)(2)(B) of this section. The feed rate of metals in each feedstream shall be monitored to ensure that the feed rate limits for the feedstreams specified under sections 66266.102 or 66266.103 are not exceeded.
(e) Adjusted Tier I feed rate screening limits. The owner or operator may adjust the feed rate screening limits provided by appendix I of this chapter to account for site-specific dispersion modeling. Under this approach, the adjusted feed rate screening limit for a metal is determined by back-calculating from the acceptable ambient levels provided by appendices IV and V of this chapter using dispersion modeling to determine the maximum allowable emission rate. This emission rate becomes the adjusted Tier I feed rate screening limit. The feed rate screening limits for carcinogenic metals are implemented as prescribed in subsection (b)(2) of this section.
(f) Alternative implementation approaches. (1) The Director may approve on a case-by-case basis approaches to implement the Tier II or Tier III metals emission limits provided by subsections (c) or (d) of this section alternative to monitoring the feed rate of metals in each feedstream.
(2) The emission limits provided by subsection (d) of this section shall be determined as follows:
(A) For each noncarcinogenic metal, by back-calculating from the RAC provided in appendix IV of this chapter to determine the allowable emission rate for each metal using the dilution factor for the maximum annual average ground level concentration predicted by dispersion modeling in conformance with subsection (h) of this section; and
(B) For each carcinogenic metal by:
1. Back-calculating from the RSD provided in appendix V of this chapter to determine the allowable emission rate for each metal if that metal were the only carcinogenic metal emitted using the dilution factor for the maximum annual average ground level concentration predicted by dispersion modeling in conformance with subsection (h) of this section; and
2. If more than one carcinogenic metal is emitted, selecting an emission limit for each carcinogenic metal not to exceed the emission rate determined by subsection (f)(2)(B)1. of this section such that the sum for all carcinogenic metals of the ratios of the selected emission limit to the emission rate determined by that subsection does not exceed 1.0.
(g) Emission testing-(1) General. Emission testing for metals shall be conducted using Method 0060, Determinations of Metals in Stack Emissions, U.S. EPA Publication SW-846, third edition and Updates, as incorporated by reference in Section 66260.11 of this Division.
(2) Hexavalent chromium. Emissions of chromium are assumed to be hexavalent chromium unless the owner or operator conducts emissions testing to determine hexavalent chromium emissions using procedures prescribed in Method 0061, Determination of Hexavalent Chromium Emissions from Stationary Sources, U.S. EPA Publication SW-846, Third Edition and Updates, as incorporated by reference in Section 66260.11 of this Division.
(h) Dispersion modeling. Dispersion modeling required under this section shall be conducted according to methods recommended in appendix W of part 51 of 40 CFR (“Guideline on Air Quality Models (revised)” (1986) and its supplements), the “Hazardous Waste Combustion Air Quality Screening Procedure”, provided in appendix IX of this chapter, or in Screening Procedures for Estimating Air Quality Impact of Stationary Sources, Revised (incorporated by reference in section 66260.11) to predict the maximum annual average off-site ground level concentration. However, on-site concentrations shall be considered when a person resides on-site.
(i) Enforcement. For the purposes of permit enforcement, compliance with the operating requirements specified in the permit (under section 66266.102) will be regarded as compliance with this section. However, evidence that compliance with those permit conditions is insufficient to ensure compliance with the requirements of this section may be “information” justifying modification or revocation and re-issuance of a permit under section 66270.41 of this division.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 266.106.
HISTORY

1. New section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Amendment of subsections (g) and (g)(2) filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
3. Change without regulatory effect amending subsections (b)(1)(A) and (b)(2) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66266.107. Standards to Control Hydrogen Chloride (HCl) and Chlorine Gas (Cl 2 ) Emissions.
Note     •     History

(a) General. The owner or operator shall comply with the hydrogen chloride (HCl) and chlorine (Cl2) controls provided by subsection (b), (c), or (e) of this section.
(b) Screening limits-(1) Tier I feed rate screening limits. Feed rate screening limits are specified for total chlorine in appendix II of this chapter as a function of terrain-adjusted effective stack height and terrain and land use in the vicinity of the facility. The feed rate of total chlorine and chloride, both organic and inorganic, in all feed streams, including hazardous waste, fuels, and industrial furnace feed stocks shall not exceed the levels specified.
(2) Tier II emission rate screening limits. Emission rate screening limits for HCl and Cl2 are specified in appendix III of this chapter as a function of terrain-adjusted effective stack height and terrain and land use in the vicinity of the facility. The stack emission rates of HCl and Cl2 shall not exceed the levels specified.
(3) Definitions and limitations. The definitions and limitations provided by section 66266.106(b) for the following terms also apply to the screening limits provided by this subsection: terrain-adjusted effective stack height, good engineering practice stack height, terrain type, land use, and criteria for facilities not eligible to use the screening limits.
(4) Multiple stacks. Owners and operators of facilities with more than one on-site stack from a boiler, industrial furnace, incinerator, or other thermal treatment unit subject to controls on HCl or Cl2 emissions under a hazardous waste facility permit or interim status controls shall comply with the Tier I and Tier II screening limits for those stacks assuming all hazardous waste is fed into the device with the worst-case stack based on dispersion characteristics.
(A) The worst-case stack is determined by procedures provided in section 66266.106(b)(6).
(B) Under Tier I, the total feed rate of chlorine and chloride to all subject devices shall not exceed the screening limit for the worst-case stack.
(C) Under Tier II, the total emissions of HCl and Cl2 from all subject stacks shall not exceed the screening limit for the worst-case stack.
(c) Tier III site-specific risk assessments-(1) General. Conformance with the Tier III controls shall be demonstrated by emissions testing to determine the emission rate for HCl and Cl2 air dispersion modeling to predict the maximum annual average off-site ground level concentration for each compound, and a demonstration that acceptable ambient levels are not exceeded.
(2) Acceptable ambient levels. Appendix IV of this chapter lists the reference air concentrations (RACs) for HCl (7 micrograms per cubic meter) and Cl2 (0.4 micrograms per cubic meter).
(3) Multiple stacks. Owners and operators of facilities with more than one on-site stack from a boiler, industrial furnace, incinerator, or other thermal treatment unit subject to controls on HCl or Cl2 emissions under a hazardous waste facility permit or interim status controls shall conduct emissions testing and dispersion modeling to demonstrate that the aggregate emissions from all such on-site stacks do not result in an exceedance of the acceptable ambient levels for HCl and Cl2.
(d) Averaging periods. The HCl and Cl2 controls are implemented by limiting the feed rate of total chlorine and chloride in all feedstreams, including hazardous waste, fuels, and industrial furnace feed stocks. Under Tier I, the feed rate of total chloride and chlorine is limited to the Tier I Screening Limits. Under Tier II and Tier III, the feed rate of total chloride and chlorine is limited to the feed rates during the trial burn (for new facilities or an interim status facility applying for a permit) or the compliance test (for interim status facilities). The feed rate limits are based on either:
(1) An hourly rolling average as defined in section 66266.102(e)(6); or
(2) An instantaneous basis not to be exceeded at any time.
(e) Adjusted Tier I feed rate screening limits. The owner or operator may adjust the feed rate screening limit provided by appendix II of this chapter to account for site-specific dispersion modeling. Under this approach, the adjusted feed rate screening limit is determined by back-calculating from the acceptable ambient level for Cl2 provided by appendix IV of this chapter using dispersion modeling to determine the maximum allowable emission rate. This emission rate becomes the adjusted Tier I feed rate screening limit.
(f) Emissions testing. Emissions testing for HCl and Cl2 shall be conducted using the procedures described in Methods 0050 or 0051, U.S. EPA Publication SW-846, Third Edition and Updates, as incorporated by reference in Section 66260.11 of this Division.
(g) Dispersion modeling. Dispersion modeling shall be conducted according to the provisions of section 66266.106(h).
(h) Enforcement. For the purposes of permit enforcement, compliance with the operating requirements specified in the permit (under section 66266.102) will be regarded as compliance with this section. However, evidence that compliance with those permit conditions is insufficient to ensure compliance with the requirements of this section may be “information” justifying modification or revocation and re-issuance of a permit under section 66270.41 of this division.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 266.107.
HISTORY

1. New section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Amendment of subsection (f) filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66266.108. Small Quantity On-Site Burner Exemption.
Note     •     History

(a) Exempt quantities. Owners and operators of facilities that burn hazardous waste in an on-site boiler or industrial furnace are exempt from the requirements of this article provided that:
(1) The quantity of hazardous waste burned in a device for a calendar month does not exceed the limits provided in the following table based on the terrain-adjusted effective stack height as defined in section 66266.106(b)(3):

Exempt Quantities for Small Quantity Burner Exemption

View Graphic
(2) The maximum hazardous waste firing rate does not exceed at any time 1 percent of the total fuel requirements for the device (hazardous waste plus other fuel) on a total heat input or mass input basis, whichever results in the lower mass feed rate of hazardous waste.
(3) The hazardous waste has a minimum heating value of 5,000 Btu/lb, as generated; and
(4) The hazardous waste fuel does not contain (and is not derived from) US EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, or F027.
(b) Mixing with nonhazardous fuels. If hazardous waste fuel is mixed with a nonhazardous fuel, the quantity of hazardous waste before such mixing is used to comply with subsection (a).
(c) Multiple Stacks. If an owner or operator burns hazardous waste in more than one on-site boiler or industrial furnace exempt under this section, the quantity limits provided by subsection (a)(1) of this section are implemented according to the following equation:

View Graphic

where:
n means the number of stacks;
Actual Quantity Burned means the waste quantity burned per month in device “i”;
Allowable Quantity Burned means the maximum allowable exempt quantity for stack “i” from the table in (a)(1) above.
(d) Notification requirements. The owner or operator of facilities qualifying for the small quantity burner exemption under this section shall provide a one-time signed, written notice to the Department indicating the following:
(1) The combustion unit is operating as a small quantity burner of hazardous waste;
(2) The owner and operator are in compliance with the requirements of this section; and
(3) The maximum quantity of hazardous waste that the facility may burn per month as provided by section 66266.108(a)(1).
(e) Recordkeeping requirements. The owner or operator shall maintain at the facility for at least three years sufficient records documenting compliance with the hazardous waste quantity, firing rate, and heating value limits of this section. At a minimum, these records shall indicate the quantity of hazardous waste and other fuel burned in each unit per calendar month, and the heating value of the hazardous waste.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 266.108.
HISTORY

1. New section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
§66266.109. Low Risk Waste Exemption.
Note     •     History

(a) Waiver of DRE standard. The DRE standard of section 66266.104(a) does not apply if the boiler or industrial furnace is operated in conformance with (a)(1) of this section and the owner or operator demonstrates by procedures prescribed in (a)(2) of this section that the burning will not result in unacceptable adverse health effects.
(1) The device shall be operated as follows:
(A) A minimum of 50 percent of fuel fired to the device shall be fossil fuel, fuels derived from fossil fuel, tall oil, or, if approved by the Director on a case-by-case basis, other nonhazardous fuel with combustion characteristics comparable to fossil fuel. Such fuels are termed “primary fuel” for purposes of this section. (Tall oil is a fuel derived from vegetable and rosin fatty acids.) The 50 percent primary fuel firing rate shall be determined on a total heat or mass input basis, whichever results in the greater mass feed rate of primary fuel fired;
(B) Primary fuels and hazardous waste fuels shall have a minimum as-fired heating value of 8,000 Btu/lb;
(C) The hazardous waste is fired directly into the primary fuel flame zone of the combustion chamber; and
(D) The device operates in conformance with the carbon monoxide controls provided by section 66266.104(b)(1). Devices subject to the exemption provided by this section are not eligible for the alternative carbon monoxide controls provided by section 66266.104(c).
(2) Procedures to demonstrate that the hazardous waste burning will not pose unacceptable adverse public health effects are as follows:
(A) Identify and quantify those nonmetal compounds listed in appendix VIII of chapter 11 of this division that could reasonably be expected to be present in the hazardous waste. The constituents excluded from analysis shall be identified and the basis for their exclusion explained;
(B) Calculate reasonable, worst-case emission rates for each constituent identified in subsection (a)(2)(A) of this section by assuming the device achieves 99.9 percent destruction and removal efficiency. That is, assume that 0.1 percent of the mass weight of each constituent fed to the device is emitted.
(C) For each constituent identified in subsection (a)(2)(A) of this section, use emissions dispersion modeling to predict the maximum annual average ground level concentration of the constituent.
1. Dispersion modeling shall be conducted using methods specified in section 66266.106(h).
2. Owners and operators of facilities with more than one on-site stack from a boiler or industrial furnace that is exempt under this section shall conduct dispersion modeling of emissions from all stacks exempt under this section to predict ambient levels prescribed by this subsection.
(D) Ground level concentrations of constituents predicted under subsection (a)(2)(C) of this section shall not exceed the following levels:
1. For the noncarcinogenic compounds listed in appendix IV of this chapter, the levels established in appendix IV;
2. For the carcinogenic compounds listed in appendix V of this chapter, the sum for all constituents of the ratios of the actual ground level concentration to the level established in appendix V cannot exceed 1.0; and
3. For constituents not listed in appendix IV or V, 0.1 micrograms per cubic meter.
(b) Waiver of particulate matter standard. The particulate matter standard of section 66266.105 does not apply if:
(1) The DRE standard is waived under subsection (a) of this section; and
(2) The owner or operator complies with the Tier I or adjusted Tier I metals feed rate screening limits provided by section 66266.106 (b) or (e).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 266.109.
HISTORY

1. New section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Change without regulatory effect amending subsection (a)(2)(C) filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
§66266.110. Waiver of DRE Trial Burn for Boilers.
Note     •     History

Boilers that operate under the special requirements of this section, and that do not burn hazardous waste containing, (or derived from) US EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, or F027, are considered to be in conformance with the DRE standard of section 66266.104(a), and a trial burn to demonstrate DRE is waived. When burning hazardous waste:
(a) A minimum of 50 percent of fuel fired to the device shall be fossil fuel, fuels derived from fossil fuel, tall oil, or, if approved by the Director on a case-by-case basis, other nonhazardous fuel with combustion characteristics comparable to fossil fuel. Such fuels are termed “primary fuel” for purposes of this section. (Tall oil is a fuel derived from vegetable and rosin fatty acids.) The 50 percent primary fuel firing rate shall be determined on a total heat or mass input basis, whichever results in the greater mass feed rate of primary fuel fired:
(b) Boiler load shall not be less than 40 percent. Boiler load is the ratio at any time of the total heat input to the maximum design heat input;
(c) Primary fuels and hazardous waste fuels shall have a minimum as-fired heating value of 8,000 Btu/lb, and each material fired in a burner where hazardous waste is fired shall have a heating value of at least 8,000 Btu/lb, as-fired;
(d) The device shall operate in conformance with the carbon monoxide standard provided by section 66266.104(b)(1). Boilers subject to the waiver of the DRE trial burn provided by this section are not eligible for the alternative carbon monoxide standard provided by section 66266.104(c);
(e) The boiler shall be a watertube type boiler that does not feed fuel using a stoker or stoker type mechanism; and
(f) The hazardous waste shall be fired directly into the primary fuel flame zone of the combustion chamber with an air or steam atomization firing system, mechanical atomization system, or a rotary cup atomization system under the following conditions:
(1) Viscosity. The viscosity of the hazardous waste fuel as-fired shall not exceed 300 SSU;
(2) Particle size. When a high pressure air or steam atomizer, low pressure atomizer, or mechanical atomizer is used, 70% of the hazardous waste fuel shall pass through a 200 mesh (74 micron) screen, and when a rotary cup atomizer is used, 70% of the hazardous waste shall pass through a 100 mesh (150 micron) screen;
(3) Mechanical atomization systems. Fuel pressure within a mechanical atomization system and fuel flow rate shall be maintained within the design range taking into account the viscosity and volatility of the fuel;
(4) Rotary cup atomization systems. Fuel flow rate through a rotary cup atomization system shall be maintained within the design range taking into account the viscosity and volatility of the fuel.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 266.110.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Renumbering of former article 8 to new article 8.5, renumbering of former section 66266.110 to new section 66266.115 and new section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
§66266.111. Standards for Direct Transfer.
Note     •     History

(a) Applicability. The regulations in this section apply to owners and operators of boilers and industrial furnaces subject to sections 66266.102 or 66266.103 if hazardous waste is directly transferred from a transport vehicle to a boiler or industrial furnace without the use of a storage unit.
(b) Definitions. (1) When used in this section, the following terms have the meanings given below:
Direct transfer equipment means any device (including but not limited to, such devices as piping, fittings, flanges, valves, and pumps) that is used to distribute, meter, or control the flow of hazardous waste between a container (i.e., transport vehicle) and a boiler or industrial furnace.
Container means any portable device in which hazardous waste is transported, stored, treated, or otherwise handled, and includes transport vehicles that are containers themselves (e.g., tank trucks, tanker-trailers, and rail tank cars), and containers placed on or in a transport vehicle.
(2) This section references several requirements provided in articles 9 and 10 of chapters 14 and 15. For purposes of this section, the term “tank systems” in those referenced requirements means direct transfer equipment as defined in subsection (b)(1) of this section.
(c) General operating requirements. (1) No direct transfer of a pumpable hazardous waste shall be conducted from an open-top container to a boiler or industrial furnace.
(2) Direct transfer equipment used for pumpable hazardous waste shall always be closed, except when necessary to add or remove the waste, and shall not be opened, handled, or stored in a manner that may cause any rupture or leak.
(3) The direct transfer of hazardous waste to a boiler or industrial furnace shall be conducted so that it does not:
(A) Generate extreme heat or pressure, fire, explosion, or violent reaction;
(B) Produce uncontrolled toxic mists, fumes, dusts, or gases in sufficient quantities to threaten human health;
(C) Produce uncontrolled flammable fumes or gases in sufficient quantities to pose a risk of fire or explosions;
(D) Damage the structural integrity of the container or direct transfer equipment containing the waste;
(E) Adversely affect the capability of the boiler or industrial furnace to meet the standards provided by sections 66266.104 through 66266.107; or
(F) Threaten human health or the environment.
(4) Hazardous waste shall not be placed in direct transfer equipment, if it could cause the equipment or its secondary containment system to rupture, leak, corrode, or otherwise fail.
(5) The owner or operator of the facility shall appropriate controls and practices to prevent spills and overflows from the direct transfer equipment or its secondary containment systems. These include at a minimum:
(A) Spill prevention controls (e.g., check valve, dry discount couplings); and
(B) Automatic waste feed cutoff to use if a leak or spill occurs from the direct transfer equipment.
(d) Areas where direct transfer vehicles (containers) are located. Applying the definition of container under this section, owners and operators shall comply with the following requirements:
(1) The containment requirements of section 66264.175 of this division;
(2) The use and management requirements of article 9, chapter 15, except for sections 66265.170 and 66265.174, and except that in lieu of the special requirements of section 66265.176 for ignitable or reactive waste, the owner or operator may comply with the requirements for the maintenance of protective distances between the waste management area and any public ways, streets, alleys, or an adjacent property line that can be built upon as required in Tables 2-1 through 2-6 of the National Fire Protection Association's (NFPA) “Flammable and Combustible Liquids Code,” (1977 or 1981), (incorporated by reference, see section 66260.11). The owner or operator shall obtain and keep on file at the facility a written certification by the local Fire Marshal that the installation meets the subject NFPA codes; and
(3) The closure requirements of section 66264.178 of this division.
(e) Direct transfer equipment. Direct transfer equipment shall meet the following requirements:
(1) Secondary containment. Owners and operators shall comply with the secondary containment requirements of section 66265.193 of this division, except for subsections 66265.193 (a), (d), (e), and (i) as follows:
(A) For all new direct transfer equipment, prior to their being put into service; and
(B) For existing direct transfer equipment within 2 years after August 21, 1991.
(2) Requirements prior to meeting secondary containment requirements. (A) For existing direct transfer equipment that does not have secondary containment, the owner or operator shall determine whether the equipment is leaking or is unfit for use. The owner or operator shall obtain and keep on file at the facility a written assessment reviewed and certified by a qualified, registered professional engineer in accordance with section 66270.11(d) of this division that attests to the equipment's integrity by August 21, 1992.
(B) This assessment shall determine whether the direct transfer equipment is adequately designed and has sufficient structural strength and compatibility with the waste(s) to be transferred to ensure that it will not collapse, rupture, or fail. At a minimum, this assessment shall consider the following:
1. Design standard(s), if available, according to which the direct transfer equipment was constructed;
2. Hazardous characteristics of the waste(s) that have been or will be handled;
3. Existing corrosion protection measures;
4. Documented age of the equipment, if available, (otherwise, an estimate of the age); and
5. Results of a leak test or other integrity examination such that the effects of temperature variations, vapor pockets, cracks, leaks, corrosion, and erosion are accounted for.
(C) If, as a result of the assessment specified above, the direct transfer equipment is found to be leaking or unfit for use, the owner or operator shall comply with the requirements of sections 66265.196 (a) and (b) of this division.
(3) Inspections and recordkeeping. (A) The owner or operator shall inspect at least once each operating hour when hazardous waste is being transferred from the transport vehicle (container) to the boiler or industrial furnace:
1. Overfill/spill control equipment (e.g., waste-feed cutoff systems, bypass systems, and drainage systems) to ensure that it is in good working order;
2. The above ground portions of the direct transfer equipment to detect corrosion, erosion, or releases of waste (e.g., wet spots, dead vegetation); and
3. Data gathered from monitoring equipment and leak-detection equipment, (e.g., pressure and temperature gauges) to ensure that the direct transfer equipment is being operated according to its design.
(B) The owner or operator shall inspect cathodic protection systems, if used, to ensure that they are functioning properly according to the schedule provided by section 66265.195(b) of this division.
(C) Records of inspections made under this subsection shall be maintained in the operating record at the facility, and available for inspection for at least 3 years from the date of the inspection.
(4) Design and installation of new ancillary equipment. Owners and operators shall comply with the requirements of section 66265.192 of this division.
(5) Response to leaks or spills. Owners and operators shall comply with the requirements of section 66265.196 of this division.
(6) Closure. Owners and operators shall comply with the requirements of section 66265.197 of this division, except for section 66265.197(c)(2) through (c)(4).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 2515912 and 25159.5, Health and Safety Code; and 40 CFR Section 266.111.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Renumbering of former section 66266.111 to new section 66266.116 and new section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
§66266.112. Regulation of Residues.
Note     •     History

A residue derived from the burning or processing of hazardous waste in a boiler or industrial furnace is not excluded from the definition of hazardous waste under Health and Safety Code Section 25143.1(b) unless the device and the owner or operator meet the following requirements:
(a) The device meets the following criteria:
(1) Boilers. Boilers shall burn at least 50% coal on a total heat input or mass input basis, whichever results in the greater mass feed rate of coal;
(2) Ore or mineral furnaces. Industrial furnaces burning wastes which are exempt from regulation pursuant to Health and Safety Code, section 25143.1 shall process at least 50% by weight normal, nonhazardous raw materials;
(3) Cement kilns. Cement kilns shall process at least 50% by weight normal cement-production raw materials;
(b) The owner or operator demonstrates that the hazardous waste does not significantly affect the residue by demonstrating conformance with either of the following criteria:
(1) Comparison of waste-derived residue with normal residue. The waste-derived residue shall not contain appendix VIII, chapter 11 constituents (toxic constituents) that could reasonably be attributable to the hazardous waste at concentrations significantly higher than in residue generated without burning or processing of hazardous waste, using the following procedure. Toxic compounds that could reasonably be attributable to burning or processing the hazardous waste (constituents of concern) include toxic constituents in the hazardous waste, and the organic compounds listed in appendix VIII of this chapter that may be generated as products of incomplete combustion. Sampling and analyses shall be in conformance with procedures prescribed in Test Methods for Evaluating Solid Waste, Physical/Chemical Methods, incorporated by reference in section 66260.11(a) of this division.
(A) Normal residue. Concentrations of toxic constituents of concern in normal residue shall be determined based on analyses of a minimum of 10 samples representing a minimum of 10 days of operation. Composite samples may be used to develop a sample for analysis provided that the compositing period does not exceed 24 hours. The upper tolerance limit (at 95% confidence with a 95% proportion of the sample distribution) of the concentration in the normal residue shall be considered the statistically-derived concentration in the normal residue. If changes in raw materials or fuels reduce the statistically-derived concentrations of the toxic constituents of concern in the normal residue, the statistically-derived concentrations shall be revised or statistically-derived concentrations of toxic constituents in normal residue shall be established for a new mode of operation with the new raw material or fuel. To determine the upper tolerance limit in the normal residue, the owner or operator shall use statistical procedures prescribed in “Statistical Methodology for Bevill Residue Determinations” in appendix IX of this chapter.
(B) Waste-derived residue. Waste-derived residue shall be sampled and analyzed as often as necessary to determine whether the residue generated during each 24-hour period has concentrations of toxic constituents that are higher than the concentrations established for the normal residue under subsection (b)(1)(A) of this section. If so, hazardous waste burning has significantly affected the residue and the residue shall not be excluded from the definition of a hazardous waste. Concentrations of toxic constituents of concern in the waste-derived residue shall be determined based on analysis of one or more samples obtained over a 24-hour period. Multiple samples may be analyzed, and multiple samples may be taken to form a composite sample for analysis provided that the sampling period does not exceed 24 hours. If in more than one sample is analyzed to characterize waste-derived residues generated over a 24-hour period, the concentration of each toxic constituent shall be the arithmetic mean of the concentrations in the samples. No results may be disregarded; or
(2) Comparison of waste-derived residue concentrations with health- based limits-(A) Nonmetal constituents. The concentration of each nonmetal toxic constituent of concern (specified in subsection (b)(1) of this section) in the waste-derived residue shall not exceed the health-based level specified in appendix VII of this chapter, or the level of detection (using analytical procedures prescribed in SW-846), whichever is higher. If a health-based limit for a constituent of concern is not listed in appendix VII of this chapter, then a limit of 0.002 micrograms per kilogram or the level of detection (using analytical procedures prescribed in SW-846), whichever is higher, shall be used. The levels specified in appendix VII of this chapter (and the default level of 0.002 micrograms per kilogram or the level of detection for constituents as identified in Note 1 of appendix VII of this chapter) are administratively stayed under the condition, for those constituents specified in subsection (b)(1) of this section, that the owner or operator complies with alternative levels defined as the land disposal restriction limits specified in section 66268.43 of this division for F039 nonwastewaters. In complying with those alternative levels, if an owner or operator is unable to detect a constituent despite documenting use of best good-faith efforts as defined by applicable Department guidance or standards, the owner or operator is deemed to be in compliance for that constituent. Until new guidance or standards are developed, the owner or operator may demonstrate such good-faith efforts by achieving a detection limit for the constituent that does not exceed an order of magnitude above the level provided by section 66268.43 for F039 nonwastewaters; and
(B) Metal constituents. The concentration of metals in an extract obtained using the Toxicity Characteristic Leaching Procedure of section 66261.24 of chapter 11 of this division shall not exceed the levels specified in appendix VII of this chapter; and
(C) Sampling and analysis. Waste-derived residue shall be sampled and analyzed as often as necessary to determine whether the residue generated during each 24-hour period has concentrations of toxic constituents that are higher than the health-based levels. Concentrations of toxic constituents of concern in the waste-derived residue shall be determined based on analysis of one or more samples obtained over a 24-hour period. Multiple samples may be analyzed and multiple samples may be taken to form a composite sample for analysis provided that the sampling period does not exceed 24 hours. If more than one sample is analyzed to characterize waste-derived residues generated over a 24-hour period, the concentration of each toxic constituent shall be the arithmetic mean of the concentrations in the samples. No results may be disregarded; and
(c) Records sufficient to document compliance with the provisions of this section shall be retained until closure of the boiler or industrial furnace unit. At a minimum, the following shall be recorded.
(1) Levels of constituents in appendix VIII, chapter 11, that are present in waste-derived residues;
(2) If the waste-derived residue is compared with normal residue under subsection (b)(1) of this section:
(A) The levels of constituents in appendix VIII, chapter 11, that are present in normal residues; and
(B) Data and information, including analyses of samples as necessary, obtained to determine if changes in raw materials or fuels would reduce the concentration of toxic constituents of concern in the normal residue.
NOTE

Authority cited: Sections 25150, 25159, 25159.5. 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 266.112. 
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Renumbering of former section 66266.112 to new section 66266.117 and new section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
Article 8.5. Requirements for Management of Recyclable Materials Used in Agriculture
§66266.115. Generator Requirements.
Note     •     History

(a) Except as provided otherwise in subsection (c)(4) of this section, a person who generates a recyclable material which is to be used in its existing state in agriculture as defined in subsection (e) of this section, shall comply with the following.
(1) If the recyclable material is to be transferred to another person for such agricultural use, the generator shall comply with all of the requirements of this division applicable to a generator of a hazardous waste with respect to the management of such a material, and shall comply with the following additional requirements.
(A) The generator shall submit to the Department for approval the following information at least 60 days before the generator intends to transfer ownership of a recyclable material:
1. a description of the sources, general composition and physical state of the recyclable material;
2. an assessment, consistent with the sources of the recyclable material, of representative material from each of its sources showing the following:
a. its hazardous characteristics pursuant to the criteria of chapter 11 of this division;
b. the concentrations of all substances listed in sections 66261.24 (a)(2) and (a)(7) and of all other substances which, by the criteria of chapter 11 of this division, are present at hazardous waste concentrations;
c. the total concentration of boron in boron-containing compounds, and the total concentrations of nitrate, phosphate and sulfate.
(B) If the recyclable material is to be applied to soil or other growing medium, the generator shall submit to the Department for approval, at the same time as the generator submits the information required in subsection (a)(1)(A) of this section, a letter from an agronomist certified by the American Society of Agronomy stating for the recyclable material and each source thereof:
1. that application of the recyclable material to soil or other growing medium will enhance the agricultural productivity of the soil or other medium;
2. that major and minor constituents in the recyclable material will not prove to be detrimental to agricultural use of the soil or other medium;
3. that conditions and/or restrictions, if any, should be placed on the use of the recyclable material with respect to rates and frequencies of application, concentrations and compatibilities when mixed with other materials in formulated fertilizers or soil amendments or when applied in conjunction with other such materials, types and chemical compositions of soils on which it is used and kinds of crops for which it should be used or not used.
(C) If the recyclable material is to be used as food for domestic livestock or wildlife, the generator shall submit to the Department for approval at the same time as the generator submits the information required in subsection (a)(1)(A) of this section, a statement under penalty of perjury that the recyclable material meets the requirements for commercial feeds containing drugs, food additives, or harmful substances established by the California Department of Food and Agriculture in articles 2 (commencing with section 2676) and 9 (commencing with section 2733) of group 2 of subchapter 2 of chapter 4 of title 3 of the California Code of Regulations.
(2) If the generator intends to utilize the recyclable material for such agricultural use without transferring ownership of the material to another person, the generator shall submit to the Department for approval the information required in subsections (a)(1)(A) and (a)(1)(B) or (a)(1)(C) of this section at least 60 days before the intended use of the recyclable material.
(3) After receiving approval from the Department pursuant to subsection (c) of this section, the generator described in subsections (a)(1)(B) or (a)(1)(C) of this section shall transfer ownership of the recyclable material to another person only after the generator has received written confirmation that the recipient has received a copy of the information provided to the Department under subsection (a)(1) of this section and a copy of the Department's letter of approval obtained pursuant to subsection (c) of this section.
(b) A person who generates a recyclable material which is to be processed prior to use in agriculture, shall comply with all of the applicable requirements of this division (other than the requirements of subsection (a) of this section, unless the processed product is hazardous under chapter 11 of this division and the processor is not licensed by the California Department of Food and Agriculture) applicable to a generator of a hazardous waste with respect to the management of such a material.
(c) Upon receipt of the information required under subsection (a)(1)(A) and either (a)(1)(B) or (a)(1)(C) of this section, the Department shall determine whether the application of the recyclable material or its processed product (if the product is hazardous under chapter 11 of this division and the processor is not licensed by the California Department of Food and Agriculture) to land or its use as a food for animals would cause a potential hazard to health, safety or the environment. The Department shall act on the information submitted pursuant to subsection (a)(1)(A) and either (a)(1)(B) or (a)(1)(C) of this section as provided in section 66260.210(d).
(1) If the Department determines that the application of the recyclable material to land or its use as a food for animals would pose no such hazard, the Department shall send to the generator or processor a letter of approval to use the material in agriculture.
(2) The Department's approval shall be effective until the earliest of the following dates:
(A) an expiration date specified in the Department's letter of approval;
(B) the date that any of the information submitted to the Department by the generator or the processor pursuant to subsection (a)(1) of this section or section 66266.117(b)(1), respectively, changes significantly;
(C) the date five years after the date of the Department's letter of approval; or
(D) the date that the Department suspends or revokes the letter of approval for cause.
(3) If the Department determines that the application of the recyclable material to land or its use as a food for animals would pose such a hazard, the Department shall send to the generator or processor written denial of approval to use the material in agriculture and the reason for that denial.
(4) The Department shall deny the use of any of the following materials in agriculture without prior processing to eliminate the constituents or characteristics that qualify the material as one of the following:
(A) a material which is an extremely hazardous waste under chapter 11 of this division;
(B) a material which is a restricted hazardous waste under chapter 18 of this division;
(C) a material which is a RCRA hazardous waste.
(d) No person shall use a recyclable material in agriculture or transfer such a material to another person for use in agriculture, without obtaining a letter of approval from the Department pursuant to subsection (c) of this section prior to such use or transfer, unless the material is to be transferred to the operator of a facility where it will be processed for such agricultural use pursuant to a valid license issued by the California Department of Food and Agriculture.
(e) As used in this chapter, “use in agriculture” means that a recyclable material (either in its existing state or in processed products) is applied to the land as a fertilizer, soil amendment, agricultural mineral, or an auxiliary soil and plant substance, or is used to produce a food for domestic livestock or wildlife.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25170, 58004 and 58012, Health and Safety Code. Reference: Sections 25143.2(a), 25154, 25155, 25159.5 and 25170, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Renumbering of former article 8 to new article 8.5, renumbering of former section 66266.110 to new section 66266.115, and amendment of subsection (c)(2)(B) and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
3. Amendment of subsections (a)(1) and (b) and Note filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
§66266.116. Transporter Requirements.
Note     •     History

(a) A person who transports a recyclable material to a facility where the material is to be used in its existing state or processed for use, in agriculture, shall comply with all of the requirements of this division applicable to a transporter of a hazardous waste with respect to the management of such a material.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25160, 25163 and 25170, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Renumbering of former section 66266.111 to new section 66266.116 and amendment of Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
§66266.117. Operator Requirements.
Note     •     History

(a) A person who operates a facility which meets either of the criteria in subsection (a)(1) or (a)(2) of this section shall comply with the requirements in subsection (b) of this section.
(1) At the facility, a recyclable material is to be used in its existing state in agriculture.
(2) At the facility, a product processed from a recyclable material at a facility which is not licensed by the California Department of Food and Agriculture is to be used in agriculture and the processed product is hazardous under chapter 11 of this division.
(b) A person who operates a facility described in subsection (a) of this section shall comply with the following:
(1) all of the requirements of this division applicable to an operator of a hazardous waste facility with respect to the management of such a material;
(2) the additional requirements listed below.
(A) An operator shall use a recyclable material in agriculture only after receipt of the documents required under section 66266.115(a)(3).
(B) An operator shall use a recyclable material in agriculture only in compliance with the information in the documents provided pursuant to section 66266.115(a)(3).
(c) A person who operates a facility where a recyclable material used in agriculture is to be processed for such use, shall comply with all of the requirements of this division applicable to the operator of a hazardous waste facility with respect to the handling and management of such a material and shall comply with the additional requirements listed below.
(1) If the facility is not licensed by the California Department of Food and Agriculture and the product processed from the recyclable material is hazardous under chapter 11 of this division, the operator shall comply with the requirements of this division as if the operator were the generator of a hazardous waste under section 66266.115(a)(1).
(2) If the facility is licensed by the California Department of Food and Agriculture and the product processed from the recyclable material is hazardous under chapter 11 of this division, the operator shall be exempt from the requirements of this division as they pertain to a generator of a hazardous waste under section 66266.115(a)(1).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 14551 and 15051, Food and Agricultural Code; Sections 25159.5, 25170 and 25201, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Renumbering of former section 66266.112 to new section 66266.117 and amendment of subsections (b)(3)(A)-(B) and (c)(1)-(2) and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
3. Amendment of subsection (b)(1), repealer of subsection (b)(2) and subsection renumbering, and amendment of subsection (c) filed 9-20-96; operative 10-20-96 (Register 96, No. 38).
Article 9. Requirements for Management of Waste Elemental Mercury
§66266.120. Requirements.
Note     •     History

(a) A person who handles waste elemental mercury which is a non-RCRA hazardous waste shall comply with the following provisions with respect to that mercury.
(1) A person who stores in a container ten pounds or less of waste elemental mercury at the site of generation shall be exempt from the permit requirements of this division.
(2) A person who transports in a container ten pounds or less of waste elemental mercury to a resource recovery facility where mercury will be recovered from that waste shall be exempt from the requirements for registration with the Department as a hazardous waste hauler and for the use of a manifest even if the transporter is not the generator of the waste.
(3) The operator of a facility which receives waste elemental mercury for the purpose of recovering mercury from that waste shall comply with all requirements of this chapter applicable to the operator of a hazardous waste facility except that the operator may accept ten pounds or less of mercury from a hauler who is not registered with the Department as a hazardous waste hauler and that the operator does not have to complete a manifest upon receipt of such quantity of mercury.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25117.9, 25159.5, 25160, 25163, 25170 and 25201, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 10. Requirements for Management of Certain Oily Wastes
§66266.130. Management of Used Oil Filters.
Note     •     History

(a) Used oil filters are to be managed as hazardous waste unless the conditions of one of the following paragraphs are met:
(1) The filters are characterized as being nonhazardous using procedures identified in this division and applicable waste characterization procedures found in federal regulations or;
(2) The conditions of subsection (b) of this section are met and the filters are managed in compliance with the requirements of subsection (c) of this section or;
(3) The filters are generated by persons maintaining their own place of residence (i.e., household waste) and such filters are taken to a collection location (such as a service station, parts retailer, household waste collection location, etc.) or picked-up by a curbside collection system and transferred for purposes of recycling. The filters must be contained after their initial acceptance or collection so as to capture used oil that may separate from them. Upon reaching a location where proper drainage is practical, the filters shall be managed in accordance with subsection (c) of this section.
(b) For the purposes of subsection (c) of this section, “used oil filters” are defined as filters which contain a residue of used oil (as defined in Health and Safety Code Section 25250.1(a)) and which are exempt from regulation as a hazardous waste under the scrap metal provision found in federal law (40 CFR Section 261.6(a)(3)(iv)).
(c) In accordance with subsection (a) of this section, used oil filters that meet the conditions of subsection (b) of this section and are managed and recycled in compliance with the following requirements shall not be regulated as hazardous waste.
(1) The filters are drained of free-flowing used oil. For the purposes of this subsection, free--flowing is defined as a continuous stream of oil exiting the filter when the filter is inverted. Oil exiting drop by drop is not considered to be free-flowing. However, if the filter is equipped with a device (such as a rubber flap located just inside the filter opening) which impedes the drainage of used oil from the filter, that device shall be manipulated to allow the oil to exit the filter freely, or the filter punctured, crushed, opened, drained, or otherwise handled in a manner that will allow the used oil to exit the filter.
(2) The drained used oil filters are transported for purposes of metal reclamation to any of the following:
(A) A smelter or other scrap metal processor where they are recycled or;
(B) A storage facility or consolidation facility that subsequently transfers the filters to a facility described in paragraph (A) or (C) of this subsection or;
(C) A municipal solid waste incinerator for energy recovery, if the residual casings are subsequently transferred to a facility described in paragraph (A) of this subsection, or to a storage or consolidation facility that subsequently transfers the residual casings to a facility described in paragraph (A) of this subsection.
(3) The drained used oil filters are accumulated, stored, and transferred in a closed, rainproof container that is capable of containing any used oil that may separate from the filters placed inside. Drums of used oil filters shall be sealed during transfer so that used oil will not spill out when they are laid upon their sides. Drums shall be secured as a load to prevent movement or tipping during transfer. Containers shall be labelled as “drained used oil filters” (not as hazardous waste) and show initial date of accumulation or receipt on each container of filters.
(4) Storage of less than one ton of used oil filters shall be limited to one year. Storage of one ton or more of used oil filters is limited to 180 days.
(5) Persons generating, transporting, or receiving used oil filters shall use a bill of lading to record the transfer of used oil filters. Bills of lading must indicate generator, transporter, and receiving company names, addresses, telephone numbers, the quantity and size of used oil filter containers transferred, and the date of transfer. A copy of each bill of lading must be kept on the premises of the generator, transporter, and receiving facility where the used oil filters were handled. Copies of bills of lading shall be kept for a period of three years.
(6) Used oil which incidentally accumulates in a container used to store and/or transfer used oil filters shall not be subject to the requirements of Article 13, Chapter 6.5, Division 20, Health and Safety Code (HSC) until after the filters have been removed from the container so long as applicable requirements of this section are met. Used oil that is separated from the used oil filters during draining procedures, as required in paragraph (1) of subsection (c) of this section, shall be managed in accordance with Article 13 (HSC).
(d) A person who treats a used oil filter which has been drained of free-flowing oil in accordance with paragraph (1) of subsection (c) of this section is authorized, for the purposes of Health and Safety Code section 25201, to perform such activities if any used oil or other residue generated in the course of conducting those activities is managed in accordance with the requirements of this division.
NOTE

Authority cited: Sections 25150, 25200, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159.5, 25175 and 25201, Health and Safety Code.
HISTORY

1. New section filed 3-27-91 as an emergency; operative 3-29-91 (Register 91, No. 16). A Certificate of Compliance must be transmitted to OAL by 7-29-91 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of operative date and Certificate of Compliance transmittal date in HISTORY 1. (Register 91, No. 24).
3. Amendment and renumbering of former section 66828 to section 66266.130 filed 6-25-91 as an emergency; operative 7-1-91 (Register 91, No. 42). A Certificate of Compliance must be transmitted to OAL by 10-29-91 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-25-91 as an emergency; operative 10-25-91 (Register 92, No. 5). A Certificate of Compliance must be transmitted to OAL 2-24-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-25-91 order including amendment of section transmitted to OAL 2-18-92 and filed 3-31-92 (Register 92, No. 14).
6. Amendment of subsection (c)(2), new subsections (c)(2)(A)-(C), new subsection (d) and amendment of Note filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (c)(2), new subsections (c)(2)(A)-(C), new subsection (d) and amendment of Note refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
8. Reinstatement of section as it existed prior to emergency filed 10-20-95 by operation of Government Code section 11346.1(f) (Register 96, No. 38).
9. Amendment of subsection (c)(2), new subsections (c)(2)(A)-(C) and (d), and amendment of Note refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsection (c)(2), new subsections (c)(2)(A)-(C) and (d) and amendment of Note refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction adding new History 8, and renumbering Histories (Register 96, No. 38).
12. Amendment of subsection (c)(2), new subsections (c)(2)(A)-(C) and (d) and amendment of Note refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
14. Amendment of subsection (c)(2), new subsections (c)(2)(A)-(C) and (d) and amendment of Note filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
16. Amendment of subsection (c)(2), new subsections (c)(2)(A)-(C) and (d) and amendment of Note filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
18. Editorial correction deleting superfluous History 10 and renumbering Histories (Register 99, No. 10).

Appendix I--Tier I and Tier II Feed Rate and Emissions Screening Limits for Metals

Table I-A--Tier I and Tier II Feed Rate and Emissions Screening Limits for Noncarcinogenic Metals 
for Facilities in Noncomplex Terrain
(Values for urban areas)

Terrain	Antimony (g/hr)	Barium (g/hr)	Lead (g/hr)	Mercury (g/hr)	Silver (g/hr)	Thallium (g/hr)
adjusted eff. stack. ht. (m)						

4 	6.0E+01 	1.0E+04	1.8E+01	6.0E+01 	6.0E+02	6.0E-01
6 	6.8E+01 	1.1E+04	2.0E-01 	6.8E+01	6.8E+02	6.8E+01
8 	7.6E+01	1.3E+04	2.3E+01	7.6E+01	7.6E+02	7.6E+01
10	8.6E+01	1.4E+04	2.6E+01	8.6E+01	8.6E+02	8.6E+01
12	9.6E+01	1.7E+04	3.0E+01	9.6E+01	9.6E+02	9.6E+01
14	1.1E+02	1.8E+04	3.4E+01	1.1E+02	1.1E+03	1.1E+02
16	1.3E+02	2.1E+04	3.6E+01	1.3E+02	1.3E+03	1.3E+02
18	1.4E+02	2.4E+04	4.3E+01	1.4E+02	1.4E+03	1.4E+02
20	1.6E+02	2.7E+04	4.6E+01	1.6E+02	1.6E+03	1.6E+02
22	1.8E+02	3.0E+04	5.4E+01	1.8E+02	1.8E+03	1.8E+02
24	2.0E+02	3.4E+04	6.0E+01	2.0E+02	2.0E+03	2.0E+02
26	2.3E+02	3.9E+04	6.8E+01	2.3E+02	2.3E+03	2.3E+02
28	2.6E+02	4.3E+04	7.8E+01	2.6E+02	2.6E+03	2.6E+02
30	3.0E+02	5.0E+04	9.0E+01	3.0E+02	3.0E+03	3.0E+02
35	4.0E+02	6.6E+04	1.1E+02	4.0E+02	4.0E+03	4.0E+02
40	4.6E+02	7.8E+04	1.4E+02	4.6E+02	4.6E+03	4.6E+02
45	6.0E+02	1.0E+05	1.8E+02	6.0E+02	6.0E+03	6.0E+02
50	7.8E+02	1.3E+05	2.3E+02	7.8E+02	7.8E+03	7.8E+02
55	9.6E+02	1.7E+05	3.0E+02	9.6E+02	9.6E+03	9.6E+02
60	1.2E+03	2.0E+05	3.6E+02	1.2E+03	1.2E+04	1.2E+03
65	1.5E+03	2.5E+05	4.3E+02	1.5E+03	1.5E+04	1.5E+03
70	1.7E+03	2.8E+05	5.0E+02	1.7E+03	1.7E+04	1.7E+03
75	1.9E+03	3.2E+05	5.8E+02	1.9E+03	1.9E+04	1.9E+03
80	2.2E+03	3.6E+05	6.4E+02	2.2E+03	2.2E+04	2.2E+03
85	2.5E+03	4.0E+05	7.6E+02	2.5E+03	2.5E+04	2.5E+03
90	2.8E+03	4.6E+05	8.2E+02	2.8E+03	2.8E+04	2.8E+03
95	3.2E+03	5.4E+05	9.6E+02	3.2E+03	3.2E+04	3.2E+03
100	3.6E+03	6.0E+05	1.1E+03	3.6E+03	3.6E+04	3.6E+03
105	4.0E+03	6.8E+05	1.2E+03	4.0E+03	4.0E+04	4.0E+03
110	4.6E+03	7.8E+05	1.4E+03	4.6E+03	4.6E+04	4.6E+03
115	5.4E+03	8.6E+05	1.6E+03	5.4E+03	5.4E+04	5.4E+03
120	6.0E+03	1.0E+06	1.8E+03	6.0E+03	6.0E+04	6.0E+03

Table I-B--Tier I and Tier II Feed Rate and Emissions Screening Limits for Noncarcinogenic Metals 
for Facilities in Noncomplex Terrain
(Values for rural areas)

Terrain	Antimony (g/hr)	Barium (g/hr)	Lead (g/hr)	Mercury (g/hr)	Silver (g/hr)	Thallium (g/hr)
adjusted						
eff. stack. ht. (m)

4 	3.1E+01 	5.2E+03 	9.4E+00	3.1E+01 	3.1E+02 	3.1E-01 
6 	3.6E+01 	6.0E+03    	1.1E-01 	3.6E+01	3.6E+02  	3.6E+01   
8       	4.0E+01	6.8E+03	1.2E+01	4.0E+01	4.0E+02	4.0E+01
10	4.6E+01	7.8E+03	1.4E+01	4.6E+01	4.6E+02	4.6E+01
12	5.8E+01	9.6E+03	1.7E+01	5.8E+01	5.8E+02	5.8E+01
14	6.8E+01	1.1E+04	2.1E+01	6.8E+01	6.8E+02	6.8E+01
16	8.6E+01	1.4E+04	2.6E+01	8.6E+01	8.6E+02	8.6E+01
18	1.1E+02	1.8E+04	3.2E+01	1.1E+02	1.1E+03	1.1E+02
20	1.3E+02	2.2E+04	4.0E+01	1.3E+02	1.3E+03	1.3E+02
22	1.7E+02	2.8E+04	5.0E+01	1.7E+02	1.7E+03	1.7E+02
24	2.2E+02	3.6E+04	6.4E+01	2.2E+02	2.2E+03	2.2E+02
26	2.8E+02	4.6E+04	8.2E+01	2.8E+02	2.8E+03	2.8E+02
28	3.5E+02	5.8E+04	1.0E+02	3.5E+02	3.5E+03	3.5E+02
30	4.3E+02	7.6E+04	1.3E+02	4.3E+02	4.3E+03	4.3E+02
35	7.2E+02	1.2E+05	2.1E+02	7.2E+02	7.2E+03	7.2E+02
40	1.1E+03	1.8E+05	3.2E+02	1.1E+03	1.1E+04	1.1E+03
45	1.5E+03	2.5E+05	4.6E+02	1.5E+03	1.5E+04	1.5E+03
50	2.0E+03	3.3E+05	6.0E+02	2.0E+03	2.0E+04	2.0E+03
55	2.6E+03	4.4E+05	7.8E+02	2.6E+03	2.6E+04	2.6E+03
60	3.4E+03	5.8E+05	1.0E+02	3.4E+03	3.4E+04	3.4E+03
65	4.6E+03	7.6E+05	1.4E+02	4.6E+03	4.6E+04	4.6E+03
70	5.4E+03	9.0E+05	1.6E+03	5.4E+03	5.4E+04	5.4E+03
75	6.4E+03	1.1E+06	1.9E+03	6.4E+03	6.4E+04	6.4E+03
80	7.6E+03	1.3E+06	2.3E+03	7.6E+03	7.6E+04	7.6E+03
85	9.4E+03	1.5E+06	2.8E+03	9.4E+03	9.4E+04	9.4E+03
90	1.1E+04	1.8E+06	3.3E+03	1.1E+04	1.1E+05	1.1E+04
95	1.3E+04	2.2E+06	3.9E+03	1.3E+04	1.3E+05	1.3E+04
100	1.5E+04	2.6E+06	4.6E+03	1.5E+04	1.5E+05	1.5E+04
105	1.8E+04	3.0E+06	5.4E+03	1.8E+04	1.8E+05	1.8E+04
110	2.2E+04	3.6E+06	6.6E+03	2.2E+04	2.2E+05	2.2E+04
115	2.6E+04	4.4E+06	7.8E+03	2.6E+04	2.6E+05	2.6E+04
120	3.1E+04	5.0E+06	9.2E+03	3.1E+04	3.1E+05	3.1E+04

Table I-C--Tier I and Tier II Feed Rate and Emissions Screening Limits for Noncarcinogenic Metals 
for Facilities in Noncomplex Terrain
Values for urban and rural areas

Terrain	Antimony (g/hr)	Barium (g/hr)	Lead (g/hr)	Mercury (g/hr)	Silver (g/hr)	Thallium (g/hr)
adjusted						
eff. stack. ht. (m)

4 	1.4E+01 	2.4E+03	4.3E+00	1.4E+01 	1.4E+02 	1.4E-01 
6 	2.1E+01 	3.5E+03  	6.2E+00 	2.1E+01	2.1E+02  	2.1E+01   
8       	3.0E+01	5.0E+03	9.2E+00	3.0E+01	3.0E+02	3.0E+01
10	4.3E+01	7.6E+03	1.3E+01	4.3E+01	4.3E+02	4.3E+01
12	5.4E+01	9.0E+03	1.7E+01	5.4E+01	5.4E+02	5.4E+01
14	6.8E+01	1.1E+04	2.0E+01	6.8E+01	6.8E+02	6.8E+01
16	7.8E+01	1.3E+04	2.4E+01	7.8E+01	7.8E+02	7.8E+01
18	8.6E+01	1.4E+04	2.6E+01	8.6E+01	8.6E+02	8.6E+01
20	9.6E+01	1.6E+04	2.9E+01	9.6E+01	9.6E+02	9.6E+01
22	1.0E+02	1.8E+04	3.2E+01	1.0E+02	1.0E+03	1.0E+02
24	1.2E+02	1.9E+04	3.5E+01	1.2E+02	1.2E+03	1.2E+02
26	1.3E+02	2.2E+04	3.6E+01	1.3E+02	1.3E+03	1.3E+02
28	1.4E+02	2.4E+04	4.3E+01	1.4E+02	1.4E+03	1.4E+02
30	1.6E+02	2.7E+04	4.6E+01	1.6E+02	1.6E+03	1.6E+02
35	2.0E+02	3.3E+04	5.8E+01	2.0E+02	2.0E+03	2.0E+02
40	2.4E+02	4.0E+04	7.2E+01	2.4E+02	2.4E+03	2.4E+02
45	3.0E+02	5.0E+04	9.0E+01	3.0E+02	3.0E+03	3.0E+02
50	3.6E+02	6.0E+04	1.1E+02	3.6E+02	3.6E+03	3.6E+02
55	4.6E+02	7.6E+05	1.4E+02	4.6E+02	4.6E+03	4.6E+02
60	5.8E+02	9.4E+04	1.7E+02	5.8E+02	5.8E+03	5.8E+02
65	6.8E+02	1.1E+05	2.1E+02	6.8E+02	6.8E+03	6.8E+02
70	7.8E+02	1.3E+05	2.4E+02	7.8E+02	7.8E+03	7.8E+02
75	8.6E+02	1.4E+05	2.6E+02	8.6E+02	8.6E+03	8.6E+02
80	9.6E+02	1.6E+05	2.9E+02	9.6E+02	9.6E+03	9.6E+02
85	1.1E+03	1.8E+05	3.3E+02	1.1E+03	1.1E+04	1.1E+03
90	1.2E+03	2.0E+05	3.6E+02	1.2E+03	1.2E+04	1.2E+03
95	1.4E+03	2.3E+05	4.0E+02	1.4E+03	1.4E+04	1.4E+03
100	1.5E+03	2.6E+05	4.6E+02	1.5E+03	1.5E+04	1.5E+03
105	1.7E+03	2.8E+05	5.0E+02	1.7E+03	1.7E+04	1.7E+03
110	1.9E+03	3.2E+05	5.8E+02	1.9E+03	1.9E+04	1.9E+03
115	2.1E+03	3.6E+05	6.4E+02	2.1E+03	2.1E+04	2.1E+03
120	2.4E+03	4.0E+05	7.2E+02	2.4E+03	2.4E+04	2.4E+03

Table I-D--Tier I and Tier II Feed Rate and Emissions Screening Limits for Noncarcinogenic Metals 
for Facilities in Noncomplex Terrain

Values for use in  urban areas	Values for use in rural areas

Terrain	Arsenic 	Cadmium 	Chromium 	Beryllium	Arsenic 	Cadmium	Chromium 	Beryllium
adjusted	(g/hr)	(g/hr)	(g/hr)	(g/hr)	(g/hr)	(g/hr)	(g/hr)	(g/hr)
eff. stack.
ht. (m)

4 	4.6E-01 	1.1E+00 	1.7E-01	8.2E-01 	2.4E-01 	5.8E-01	8.6E-02	4.3E-01 
6 	5.4E-01 	1.3E+00    	1.9E-01 	9.4E-01	2.8E-01  	6.6E-01 	1.0E-01	5.0E-01  
8       	6.0E-01	1.4E+00	2.2E-01	1.1E+00	3.2E-01	7.6E-01	1.1E-01	5.6E-01
10	6.8E-01	1.6E+00	2.4E-01	1.2E+00	3.6E-01	8.6E-01	1.3E-01	6.4E-01
12	7.6E-01	1.8E+00	2.7E-01	1.4E+00	4.3E-01	1.1E+00	1.6E-01	7.8E-01
14	8.6E-01	2.1E+00	3.1E-01	1.5E+00	5.4E-01	1.3E+00	2.0E-01	9.6E-01
16	9.6E-01	2.3E+00	3.5E-01	1.7E+00	6.8E-01	1.6E+00	2.4E-01	1.2E+00
18	1.1E+00	2.6E+00	4.0E-01	2.0E+00	8.2E-01	2.0E+00	3.0E-01	1.5E+00
20	1.2E+00	3.0E+00	4.4E-01	2.2E+00	1.0E+00	2.5E+00	3.7E-01	1.9E+00
22	1.4E+00	3.4E+00	5.0E-01	2.5E+00	1.3E+00	3.2E+00	4.8E-01	2.4E+00
24	1.6E+00	3.9E+00	5.8E-01	2.8E+00	1.7E+00	4.0E+00	6.0E-01	3.0E+00
26	1.8E+00	4.3E+00	6.4E-01	3.2E+00	2.1E+00	5.0E+00	7.6E-01	3.9E+00
28	2.0E+00	4.8E+00	7.2E-01	3.6E+00	2.7E+00	6.4E+00	9.8E-01	5.0E+00
30	2.3E+00	5.4E+00	8.2E-01	4.0E+00	3.5E+00	8.2E+00	1.2E+00	6.2E+00
35	3.0E+00	6.8E+00	1.0E+00	5.4E+00	5.4E+00	1.3E+01	1.9E+00	9.6E+00
40	3.6E+00	9.0E+00	1.3E+00	6.8E+00	8.2E+00	2.0E+01	3.0E+00	1.5E+01
45	4.6E+00	1.1E+01	1.7E+00	8.6E+00	1.1E+01	2.8E+01	4.2E+00	2.1E+01
50	6.0E+00	1.4E+01	2.2E+00	1.1E+01	1.5E+01	3.7E+01	5.4E+00	2.8E+01
55	7.6E+00	1.8E+01	2.7E+00	1.4E+01	2.0E+01	5.0E+01	7.2E+00	3.6E+01
60	9.4E+00	2.2E+01	3.4E+00	1.7E+01	2.7E+01	6.4E+01	9.6E+00	4.8E+01
65	1.1E+01	2.8E+01	4.2E+00	2.1E+01	3.6E+01	8.6E+01	1.3E+01	6.4E+01
70	1.3E+01	3.1E+01	4.6E+00	2.4E+01	4.3E+01	1.0E+02	1.5E+01	7.6E+01
75	1.5E+01	3.6E+01	5.4E+00	2.7E+01	5.0E+01	1.2E+02	1.8E+01	9.0E+01
80	1.7E+01	4.0E+01	6.0E+00	3.0E+01	6.0E+01	1.4E+02	2.2E+01	1.1E+02
85	1.9E+01	4.6E+01	6.8E+00	3.4E+01	7.2E+01	1.7E+02	2.6E+01	1.3E+02
90	2.2E+01	5.0E+01	7.8E+00	3.9E+01	8.6E+01	2.0E+02	3.0E+01	1.5E+02
95	2.5E+01	5.8E+01	9.0E+00	4.4E+01	1.0E+02	2.4E+02	3.6E+01	1.8E+02
100	2.8E+01	6.8E+01	1.0E+01	5.0E+01	1.2E+02	2.9E+02	4.3E+01	2.2E+02
105	3.2E+01	7.6E+01	1.1E+01	5.6E+01	1.4E+02	3.4E+02	5.0E+01	2.6E+02
110	3.6E+01	8.6E+01	1.3E+01	6.4E+01	1.7E+02	4.0E+02	6.0E+01	3.0E+02
115	4.0E+01	9.6E+01	1.5E+01	7.2E+01	2.0E+02	4.8E+02	7.2E+01	3.6E+02
120	4.6E+01	1.1E+02	1.7E+01	8.2E+01	2.4E+02	5.8E+02	8.6E+01	4.3E+02

Table I-E--Tier I and Tier II Feed Rate and Emissions Screening Limits for Carcinogenic Metals 
for Facilities in Complex Terrain
Values for use in urban and rural areas

Terrain	Arsenic (g/hr)	Cadmium (g/hr)	Chromium  (g/hr)	Beryllium  (g/hr)
adjusted						eff. stack. ht. (m)

4 	1.1E-01 	2.6E-01	4.0E-02	2.0E-01 	
6 	1.6E-01 	3.9E-01    	5.8E-02 	2.9E-01
8       	2.4E-01	5.8E-01	8.6E-02	4.3E-01
10	3.5E-01	8.2E-01	1.3E-01	6.2E-01
12	4.3E-01	1.0E+00	1.5E-01	7.6E-01
14	5.0E-01	1.3E+00	1.9E-01	9.4E-01
16	6.0E-01	1.4E+00	2.2E-01	1.1E+00
18	6.8E-01	1.6E+00	2.4E-01	1.2E+00
20	7.6E-01	1.8E+00	2.7E-01	1.3E+00	
22	8.2E-01	1.9E+00	3.0E-01	1.5E+00
24	9.0E-01	2.1E+00	3.3E-01	1.6E+00
26	1.0E+00	2.4E+00	3.6E-01	1.8E+00	
28	1.1E+00	2.7E+00	4.0E-01	2.0E+00
30	1.2E+00	3.0E+00	4.4E-01	2.2E+00	
35	1.5E+00	3.7E+00	5.4E-01	2.7E+00	
40	1.9E+00	4.6E+00	6.8E-01	3.4E+00	
45	2.4E+00	5.4E+00	8.4E-01	4.2E+00	
50	2.9E+00	6.8E+00	1.0E+00	5.0E+00
55	3.5E+00	8.4E+00	1.3E+00	6.4E+00	
60	4.3E+00	1.0E+01	1.5E+00	7.8E+00
65	5.4E+00	1.3E+01	1.9E+00	9.6E+00	
70	6.0E+00	1.4E+01	2.2E+00	1.1E+01	
75	6.8E+00	1.6E+01	2.4E+00	1.2E+01	
80	7.6E+00	1.8E+01	2.7E+00	1.3E+01	
85	8.2E+00	2.0E+01	3.0E+00	1.5E+01	
90	9.4E+00	2.3E+01	3.4E+00	1.7E+01	
95	1.0E+01	2.5E+01	4.0E+00	1.9E+01	
100	1.2E+01	2.8E+01	4.3E+00	2.1E+01
105	1.3E+01	3.2E+01	4.8E+00	2.4E+01
110	1.5E+01	3.5E+01	5.4E+00	2.7E+01
115	1.7E+01	4.0E+01	6.0E+00	3.0E+01
120	1.9E+01	4.4E+01	6.4E+00	3.3E+01

NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix I. 
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).

Appendix II--Tier I Feed Rate Screening Limits for Total Chlorine

	Noncomplex Terrain		Complex Terrain

Terrain	Urban (g/hr)	Rural (g/hr)	 (g/hr)
adjusted			
eff. stack. ht. (m)

4 	8.2E + 01	4.2E + 01	1.9E + 01
6 	9.1E + 01	4.8E + 01	2.8E + 01
8 	1.0E + 02	5.3E + 01	4.1E + 01
10	1.2E + 02	6.2E + 01	5.8E + 01
12	1.3E + 02	7.7E + 01	7.2E + 01
14	1.5E + 02	9.1E + 01	9.1E + 01
16	1.7E + 02	1.2E + 02	1.1E + 02
18	1.9E + 02	1.4E + 02	1.2E + 02
20	2.1E + 02	1.8E + 02	1.3E + 02
22	2.4E + 02	2.3E + 02	1.4E + 02
24	2.7E + 02	2.9E + 02	1.6E + 02
26	3.1E + 02	3.7E + 02	1.7E + 02
28	3.5E + 02	4.7E + 02	1.9E + 02
30	3.9E + 02	5.8E + 02	2.1E + 02
35	5.3E + 02	9.6E + 02	2.6E + 02
40	6.2E + 02	1.4E + 03	3.3E + 02
45	8.2E + 02	2.0E + 03	4.0E + 02
50	1.1E + 03	2.6E + 03	4.8E + 02
55	1.3E + 03	3.5E + 03	6.2E + 02
60	1.6E + 03	4.6E + 03	7.7E + 02
65	2.0E + 03	6.2E + 03	9.1E + 02
70	2.3E + 03	7.2E + 03	1.1E + 03
75	2.5E + 03	8.6E + 03	1.2E + 03
80	2.9E + 03	1.0E + 04	1.3E + 03
85	3.3E + 03	1.2E + 04	1.4E + 03
90	3.7E + 03	1.4E + 04	1.6E + 03
95	4.2E + 03	1.7E + 04	1.8E + 03
100	4.8E + 03	2.1E + 04	2.0E + 03
105	5.3E + 03	2.4E + 04	2.3E + 03
110	6.2E + 03	2.9E + 04	2.5E + 03
115	7.2E + 03	3.5E + 04	2.8E + 03
120	8.2E + 03	4.1E + 04	3.2E + 03

NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix II. 
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).

Appendix III--Tier II Emission Rate Screening Limits for Free Chlorine and Hydrogen Chloride

View Graphic
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix III. 
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).

Appendix IV--Reference Air Concentrations*

			
Constituent	CAS No.	RAC (ug/m3)

Acetaldehyde	75-07-0	10
Acetonitrile	75-05-8	10
Acetophenone	98-86-2	100
Acrolein	107-02-8	20
Aldicarb	116-06-3	1
Aluminum Phosphide	20859-73-8	0.3
Allyl Alcohol	107-18-6	5
Antimony	7440-36-0	0.3
Barium	7440-39-3	50
Barium Cyanide	542-62-1	50
Bromomethane	74-83-9	0.8
Calcium Cyanide	592-01-8	30
Carbon Disulfide	75-15-0	200
Chloral	75-87-6	2
Chlorine (free)		0.4
2-Chloro-1,3-butadiene	126-99-8	3
Chromium III	16065-83-1	1000
Copper Cyanide	544-92-3	5
Cresols	1319-77-3	50
Cumene	98-82-8	1
Cyanide (free)	57-12-15	20
Cyanogen	460-19-5	30
Cyanogen Bromide	506-68-3	80
Di-n-butyl Phthalate	84-74-2	100
o-Dichlorobenzene	95-50-1	10
p-Dichlorobenzene	106-46-7	10
Dichlorodifluoromethane	75-71-8	200
2,4-Dichlorophenol	120-83-2	3
Diethyl Phthalate	84-66-2	800
Dimethoate	60-51-5	0.8
2,4-Dinitrophenol	51-28-5	2
Dinoseb	88-85-7	0.9
Diphenylamine	122-39-4	20
Endosulfan	115-29-1	0.05
Endrin	72-20-8	0.3
Fluorine	7782-41-4	50
Formic Acid	64-18-6	2000
Glycidyaldehyde	765-34-4	0.3
Hexachlorocyclopentadiene	77-47-4	5
Hexachlorophene	70-30-4	0.3
Hydrocyanic Acid	74-90-3	20
Hydrogen Chloride	7647-01-1	7
Hydrogen Sulfide	7783-06-4	3
Isobutyl Alcohol	78-83-1	300
Lead	7439-92-1	0.09
Maleic Anyhdride	108-31-6	100
Mercury	7439-97-6	0.3
Methacrylonitrile	126-98-7	0.1
Methomyl	16752-77-5	20
Methoxychlor	72-43-5	50
Methyl Chlorocarbonate	79-22-1	1000
Methyl Ethyl Ketone	78-93-3	80
Methyl Parathion	298-00-0	0.3
Nickel Cyanide	557-19-7	20
Nitric Oxide	10102-43-9	100
Nitrobenzene	98-95-3	0.8
Pentachlorobenzene	608-93-5	0.8
Pentachlorophenol	87-86-5	30
Phenol	108-95-2	30
M-Phenylenediamine	108-45-2	5
Phenylmercuric Acetate	62-38-4	0.075
Phosphine	7803-51-2	0.3
Phthalic Anhydride	85-44-9	2000
Potassium Cyanide	151-50-8	50
Potassium Silver Cyanide	506-61-6	200
Pyridine	110-86-1	1
Selenious Acid	7783-60-8	3
Selenourea	630-10-4	5
Silver	7440-22-4	3
Silver Cyanide	506-64-9	100
Sodium Cyanide	143-33-9	30
Strychnine	57-24-9	0.3
1,2,4,5-Tetrachlorobenzene	95-94-3	0.3
2,3,4,6-Tetrachlorophenol	58-90-2	30
Tetraethyl Lead	78-00-2	0.0001
Tetrahydrofuran	109-99-9	10
Thallic Oxide	1314-32-5	0.3
Thallium	7440-28-0	0.5
Thallium (I) Acetate	563-68-8	0.5
Thallium (I) Carbonate	6533-73-9	0.3
Thallium (I) Chloride	7791-12-0	0.3
Thallium (I) Nitrate	10102-45-1	0.5
Thallium Selenite	12039-52-0	0.5
Thallium (I) Sulfate	7446-18-6	0.075
Thiram	137-26-8	5
Toluene	108-88-3	300
1,2,4-Trichlorobenzene	120-82-1	20
Trichloromonofluoromethane	75-69-4	300
2,4,5-Trichlorophenol	95-95-4	100
Vanadium Pentoxide	1314-62-1	20
Warfarin	81-81-2	0.3
Xylenes	1330-20-7	80
Zinc Cyanide	557-21-1	50
Zinc Phosphide	1314-84-7	0.3
_______________________________________________________________

FOOTNOTE: *The RAC for other appendix VIII chapter 11 constituents not listed herein or in appendix V of this chapter is 0.1 ug/m3.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix IV. 
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).

Appendix V--Risk Specific Doses (10 -5 )

		Unit
Constituent	CAS No.	risk (m3/ug)	RsD (ug/m3)	

Acrylamide	79-06-1	1.3E-03	7.7E-03
Acrylonitrile	107-13-1	6.8E-05	1.5E-01
Aldrin	309-00-2	4.9E-03	2.0E-03
Aniline	62-53-3	7.4E-06	1.4E+00
Arsenic	7440-38-2	4.3E-03	2.3E-03
Benz(a)anthracene	56-55-3	8.9E-04	1.1E-02
Benxene	71-43-2	8.3E-06	1.2E+00
Benzidine	92-87-5	6.7E-02	1.5E-04
Benz(a)pyrene	50-32-8	3.3E-03	3.0E-03
Beryllium	7440-41-7	2.4E-03	4.2E-03
Bis(2-chloroethyl)ether	111-44-4	3.3E-04	3.0E-02
Bis(chloromethyl)ether	542-88-1	6.2E-02	1.6E-04
Bis(2-ethylhexyl)-phthalate	117-81-7	2.4E-07	4.2E+01
1,3-Butadiene	106-99-0	2.8E-04	3.6E-02
Cadmium	7440-43-9	1.8E-03	5.6E-03
Carbon Tetrachloride	56-23-5	1.5E-05	6.7E-01
Chlordane	57-74-9	3.7E-04	2.7E-02
Chloroform	67-66-3	2.3E-05	4.3E-01
Chloromethane	74-87-3	3.6E-06	2.8E+00
Chromium VI	7440-47-3	1.2E-02	8.3E-04
DDT	50-29-3	9.7E-05	1.0E-01
Dibenz(a,h)anthracene	53-70-3	1.4E-02	7.1E-04
1,2-Dibromo-3-chloropropane	96-12-8	6.3E-03	1.6E-03
1,2-Dibromoethane	106-93-4	2.2E-04	4.5E-02
1,1-Dichloroethane	75-34-3	2.6E-05	3.8E-01
1,2-Dichloroethane	107-06-2	2.6E-05	3.8E-01
1,1-Dichloroethylene	75-35-4	5.0E-05	2.0E-01
1,3-Dichloropropene	542-75-6	3.5E-01	2.9E-05
Dieldrin	60-57-1 	4.6E-03	2.2E-03
Diethylstilbestrol	56-33-1	1.4E-01	7.1E-05
Dimethylnitrosamine	62-75-9	1.4E-02	7.1E-04
2,4-Dinitrotoluene	121-14-2	8.8E-05	1.1E-01
1,2-Diphenylhydrazine	122-66-7	2.2E-04	4.5E-02
1,4-Dioxane	123-91-1	1.4E-06	7.1E+00
Epichlorohydrin	106-89-8	1.2E-06	8.3E+00
Ethylene Oxide	75-21-8	1.0E-04	1.0E-01
Ethylene Dibromide	106-93-4	2.2E-04	4.5E-02

Formaldehyde	50-00-0	1.3E-05	7.7E-01
Heptachlor	76-44-8	1.3E-03	7.7E-03
Heptachlor Epoxide	1024-57-3	2.6E-03	3.8E-03
Hexachlorobenzene	118-74-1	4.9E-04	2.0E-02
Hexachlorobutadiene	87-68-3	2.0E-05	5.0E-01
Alpha-hexachloro-cyclohexane	319-84-6	1.8E-03	5.6E-03

Beta-hexachloro-cyclohexane	319-85-7	5.3E-04	1.9E-02
Gamma-hexachloro-cyclohexane	58-89-9	3.8E-04	2.6E-02
Hexachlorocyclohexane, 
 Technical 		5.1E-04	2.0E-02
Hexachlorodibenxo-p-dioxin(1,2		1.3E+0	7.7E-06
Mixture)
Hexachloroethane	67-72-1	4.0E-06	2.5E+00
Hydrazine	302-01-2	2.9E-03	3.4E-03
Hydrazine Sulfate	302-01-2	2.9E-03	3.4E-03
3-Methycholanthrene	56-49-5	2.7E-03	3.7E-03
Methyl Hydrazine	60-34-4	3.1E-04	3.2E-02
Methylene Chloride	75-09-2	4.1E-06	2.4E+00
4,4'-Methylene-bis-2-
 chloroaniline	101-14-4	4.7E-05	2.1E-01
Nickel	7440-02-0	2.4E-04	4.2E-02
Nickel Refinery Dust	7440-02-0	2.4E-04	4.2E-02
Nickel Subsulfide	12035-72-2	4.8E-04	2.1E-02
2-Nitropropane	79-46-9	2.7E-02	3.7E-04
N-Nitroso-n-butylamine	924-16-3	1.6E-03	6.3E-03
N-Nitroso-n-methylurea	684-93-5	8.6E-02	1.2E-04
N-Nitrosodiethylamine	55-18-5	4.3E-02	2.3E-04
N-Nitrosopyrrolidine	930-55-2	6.1E-04	1.6E-02
Pentachloronitrobenzene	82-68-8	7.3E-05	1.4E-01
PCBs	1336-36-3	1.2E-03	8.3E-03
Pronamide	23950-58-5	4.6E-06	2.2E+00
Reserpine	50-55-5	3.0E-03	3.3E-03
2,3,7,8-Tetrachloro-dibenzo-
 p-dioxin	1746-01-6	4.5E+01	2.2E-07
1,1,2,2-Tetrachloroethane	79-34-5	5.8E-05	1.7E-01
Tetrachloroethylene	127-18-4	4.8E-07	2.1E-+01
Thiourea	62-56-6	5.5E-04	1.8E-02
1,1,2-Trichloroethane	79-00-5	1.6E-05	6.3E-01
Trichloroethylene	79-01-6	1.3E-06	7.7E-+00
2,4,6-Trichlorophenol	88-06-2	5.7E-06	1.8E+00
Toxaphene	8001-35-2	3.2E-04	3.1E-02
Vinyl Chloride	75-01-4	7.1E-06	1.4E+00

NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix V. 
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).

Appendix VI--Stack Plume Rise

[Estimated Plume Rise (in Meters) Based on Stack Exit Flow and Gas Temperature]

View Graphic
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix VI. 
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).

Appendix VII--Health-Based Limits for Exclusion of   Waste-Derived Residues*

Metals-TCLP Extract Concentration Limits

		Concentration
Constituent	CAS No.	Limits (mg/L)
			
Antimony	7440-36-0	1xE+00
Arsenic	7440-38-2	5xE+00
Barium	7440-39-3	1xE+02
Beryllium	7440-41-7	7xE-03
Cadmium	7440-43-9	1xE+00
Chromium	7440-47-3	5xE+00
Lead	7439-92-1	5xE+00
Mercury	7439-97-6	2xE-01
Nickel	7440-02-0	7xE+01
Selenium	7782-49-2	1xE+00
Silver	7440-22-4	5xE+00
Thallium	7440-28-0	7xE+00

Nonmetals-Residue Concentration Limits

		Concentration
Constituent	CAS No.	Limits for
		residues (mg/kg)
			
Acetonitrile	75-05-8	2xE-01
Acetophenone	98-86-2	4xE+00
Acrolein	107-02-8	5xE-01
Acrylamide	79-06-1	2xE-04
Acrylonitrile	107-13-1	7xE-04
Aldrin	309-00-2	2xE-05
Allyl alcohol	107-18-6	2xE-01
Aluminum phosphide	20859-73-8	1xE-02
Aniline	62-53-3	6xE-02
Barium cyanide	542-62-1	1xE+00
Benz(a)anthracene	56-55-3	1xE-04
Benzene	71-43-2	5xE-03
Benzidine	92-87-5	1xE-06
Bis(2-chloroethyl) ether	111-44-4	3xE-04
Bis(chloromethyl) ether	542-88-1	2xE-06
Bis(2-ethylhexyl) phthalate	117-81-7	3xE+01
Bromoform	75-25-2	7xE-01
Calcium cyanide	592-01-8	1xE-06
Carbon disulfide	75-15-0	4xE+00
Carbon tetrachloride	56-23-5	5xE-03
Chlordane	57-74-9	3xE-04
Chlorobenzene	108-90-7	1xE+00
Chloroform	67-66-3	6xE-02
Copper cyanide	544-92-3	2xE-01
Cresols (Cresylic acid)	1319-77-3	2xE+00
Cyanogen	460-19-5	1xE+00
DDT	50-29-3	1xE-03
Dibenz(a,h)-anthracene	53-70-3	7xE-06
1,2-Dibromo-3-chloropropane	96-12-8	2xE-05
p-Dichlorobenzene	106-46-7	7.5xE-02
Dichlorodifluoromethane	75-71-8	7xE+00
1,1-Dichloroethylene	75-35-4	5xE-03
2,4-Dichlorophenol	120-83-2	1xE-01
1,3-Dichloropropene	542-75-6	1xE-03
Dieldrin	60-57-1	2xE-05
Diethyl phthalate	84-66-2	3xE+01
Diethylstilbesterol	56-53-1	7xE-07
Dimethoate	60-51-5	3xE-02
2,4-Dinitrotoluene	121-14-2	5xE-04
Diphenylamine	122-39-4	9xE-01
1,2-Diphenylhydrazine	122-66-7	5xE-04
Endosulfan	115-29-7	2xE-03
Endrin	72-20-8	2xE-04
Epichlorohydrin	106-89-8	4xE-02
Ethylene dibromide	106-93-4	4xE-07
Ethylene oxide	75-21-8	3xE-04
Fluorine	7782-41-4	4xE+00
Formic acid	64-18-6	7xE+01
Heptachlor	76-44-8	8xE-05
Heptachlor epoxide	1024-57-3	4xE-05
Hexachlorobenzene	118-74-1	2xE-04
Hexachlorobutadiene	87-68-3	5xE-03
Hexachlorocyclopentadiene	77-47-4	2xE-01
Hexachlorodibenzo-p-dioxins	19408-74-3	6xE-08
Hexachloroethane	67-72-1	3xE-02
Hydrazine	302-01-1	1xE-04
Hydrogen cyanide	74-90-8	7xE-05
Hydrogen sulfide	7783-06-4	1xE-06
Isobutyl alcohol	78-83-1	1xE+01
Methomyl	16752-77-5	1xE+00
Methoxychlor	72-43-5	1xE-01
3-Methylcholanthrene	56-49-5	4xE-05
4,4'-Methylenebis (2-chloroaniline)	101-14-4	2xE-03
Methylene chloride	75-09-2	5xE-02
Methyl ethyl ketone (MEK)	78-93-3	2xE+00
Methyl hydrazine	60-34-4	3xE-04
Methyl parathion	298-00-0	2xE-02
Naphthalene	91-20-3	1xE+01
Nickel cyanide	557-19-7	7xE-01
Nitric oxide	10102-43-9	4xE+00
Nitrobenzene	98-95-3	2xE-02
N-Nitrosodi-n-butylamine	924-16-3	6xE-05
N-Nitrosodiethylamine	55-18-5	2xE-06
N-Nitroso-N-methylurea	684-93-5	1xE-07
N-Nitrosopyrrolidine	930-55-2	2xE-04
Pentachlorobenzene	608-93-5	3xE-02
Pentachloronitrobenzene (PCNB)	82-68-8	1xE-01
Pentachlorophenol	87-86-5	1xE+00
Phenol	108-95-2	1xE+00
Phenylmercury acetate	62-38-4	3xE-03
Phosphine	7803-51-2	1xE-02
Polychlorinated biphenyls, N.O.S.	1336-36-3	5xE-05
Potassium cyanide	151-50-8	2xE+00
Potassium silver cyanide	506-61-6	7xE+00
Pronamide	23950-58-5	3xE+00
Pyridine	110-86-1	4xE-02
Reserpine	50-55-5	3xE-05
Selenourea	630-10-4	2xE-01
Silver cyanide	506-64-9	4xE+00
Sodium cyanide	143-33-9	1xE+00
Strychnine	57-24-9	1xE-02
1,2,4,5-Tetrachlorobenzene	95-94-3	1xE-02
1,1,2,2-tetrachloroethane	79-34-5	2xE-03
Tetrachloroethylene	127-18-4	7xE-01
2,3,4,6-Tetrachlorophenol	58-90-2	1xE-02
Tetraethyl lead	78-00-2	4xE-06
Thiourea	62-56-6	2xE-04
Toluene	108-88-3	1xE+01
Toxaphene	8001-35-2	5xE-03
1,1,2-Trichloroethane	79-00-5	6xE-03
Trichloroethylene	79-01-6	5xE-03
Trichloromonofluoromethane	75-69-4	1xE+01
2,4,5-Trichlorophenol	95-95-4	4xE+00
2,4,6-Trichlorophenol	88-06-2	4xE+00
Vanadium pentoxide	1314-62-1	7xE-01
Vinyl chloride	75-01-4	2xE-03
			
Note 1: The health-based concentration limits for Appendix VIII chapter 11 constituents for which a health-based concentration is not provided below is 2xE-06 mg/kg.
Note 2: The levels specified in this appendix and the default level of 0.002 micrograms per kilogram or the level of detection for constituents as identified in Note  1 of this appendix are administratively stayed under the condition, for those constituents specified in section 66266.112(b)(1), that the owner or operator complies with alternative levels defined as the disposal restriction limits specified in section 66268.43 of chapter 18 of the California Code of Regulations for F039 nonwastewaters. See section 66266.112(b)(2)(A).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix VII. 
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).

Appendix VIII--Potential PICs for Determination of Exclusion of Waste-Derived Residues

PICs Found in Stack Effluents

Volatiles	Semivolatiles
		
Benzene	Bis(2-ethylhexyl)phthalate
Toluene	Napthalene
Carbon tetrachloride	Phenol
Chloroform	Diethyl phthalate
Methylene chloride	Butyl benzyl phthalate
Trichloroethylene	2,4-Dimethylphenol
Tetrachloroethylene	o-Dichlorobenzene
1,1,1-Trichloroethane	m-Dichlorobenzene
Chlorobenzene	p-Dichlorobenzene
cis-1,4-Dichloro-2-butene	Hexachlorobenzene
Bromochloromethane	2,4,6-Trichlorophenol
Bromodichloromethane	Fluoranthene
Bromoform	o-Nitrophenol
Bromomethane	1,2,4-Trichlorobenzene
Methylene bromide	o-Chlorophenol
Methyl ethyl ketone	Pentachlorophenol
	Pyrene
	Dimethyl phthalate
	Mononitrobenzene
	2,6-Toluene diisocyanate

NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix VIII. 
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).

Appendix IX--Methods Manual for Compliance With the BIF Regulations Burning Hazardous Waste in Boilers and Industrial Furnaces

TABLE OF CONTENTS

1.0 Introduction

2.0 Performance Specifications for Continuous Emission Monitoring Systems

2.1 Performance Specifications for Continuous Emission Monitoring of Carbon Monoxide and Oxygen for Incinerators, Boilers, and Industrial Furnaces Burning Hazardous Waste

2.2 Performance Specifications for Continuous Emission Monitoring of Hydrocarbons for Incinerators, Boilers, and Industrial Furnaces

3.0 Sampling and Analytical Methods

4.0 Procedure for Estimating Toxicity Equipment or Chlorinated Dibenzo-P-Dioxin and Dibenzofuran Congeners

5.0 Hazardous Waste Combustion Air Quality Screening Procedure

6.0 Simplified Land Use Classification Procedure for Compliance With Tier I and Tier II Limits

7.0 Statistical Methodology for Bevill Residue Determinations

8.0 Procedures for Determining Default Values for Air Pollution Control System Removal Efficiencies

8.1 APCS RE Default Values for Metals

8.2 APCS RE Default Values for HCl and Cl2

8.3 APCS RE Default Values for Ash

8.4 References

9.0 Procedures for Determining Default Values for Partitioning of Metals, Ash, and Total Chloride/Chlorine

9.1 Partitioning Default Value for Metals

9.2 Special Procedures for Chlorine, HCl, and Cl

9.3 Special Procedures for Ash

9.4 Use of Engineering Judgement to Estimate Partitioning and APCS RE Values 

9.5 Restrictions on Use of Test Data

10.0 Alternate Methodology for Implementing Metals Controls

10.1 Applicability

10.2 Introduction

10.3 Basis

10.4 Overview

10.5 Implementation Procedures

10.6 Precompliance Procedures

Appendix A-Statistics

SECTION 1.0 INTRODUCTION
This document presents required methods for demonstrating compliance with the State of California, Department of Toxic Substances Control regulations governing boilers and industrial furnaces (BIFs) burning hazardous waste (see Title 22, Chapter 16, article 8).  Included in this document are:
1. Performance Specifications for Continuous Emission Monitoring (CEM) of Carbon Monoxide, Oxygen, and Hydrocarbons in Stack Gases.
2. Sampling and Analytical (S&A) Methods for Multiple Metals, Hexavalent Chromium, HCl and Chlorine, Polychlorinated Dibenzo-p-dioxins and Dibenzofurans, and Aldehydes and Ketones.
3. Procedures for Estimating the Toxicity Equivalency of Chlorinated Dibenzo-p-dioxin and Dibenzofuran Congeners.
4. Hazardous Waste Combustion Air Quality Screening Procedures (HWCAQSP).
5. Simplified Land Use Classification Procedure for Compliance with Tier I and Tier II Limits.
6. Statistical Methodology for Bevill Residue Determinations.
7. Procedures for Determining Default Values for Air Pollution Control System Removal Efficiencies.
8. Procedures for Determining Default Values for Partitioning of Metals, Ash, and Total Chloride/Chlorine. 
9. Alternate Methodology for Implementing Metals Controls.
Additional methods referenced in article 8 of chapter 16 but not included in this document can be found in 40 CFR parts 60 and 61, and “Test Methods for Evaluating Solid Wastes, Physical/Chemical Methods” (SW-846).
The CEM performance specifications of section 2.0, the S&A methods of section 3.0 and the toxicity equivalency procedure for dioxins and furans of section 4.0 are required procedures for determining compliance with BIF regulations.  The CEM performance specifications and the S&A methods are interim.  The finalized CEM performance specifications and methods will be published in SW-846 or 40 CFR parts 60 and 61.

SECTION 2.0 PERFORMANCE SPECIFICATIONS FOR CONTINUOUS EMISSION MONITORING SYSTEMS

2.1 Performance Specifications for Continuous Emission Monitoring of Carbon Monoxide and Oxygen for Incinerators, Boilers, and Industrial Furnaces Burning Hazardous Waste

2.1.1 Applicability and Principle
2.1.1.1 Applicability.  These performance specifications apply to carbon monoxide (CO) and oxygen (O2) continuous emission monitoring systems (CEMSs) installed on incinerators, boilers, and industrial furnaces burning hazardous waste.  The specifications include procedures which are intended to be used to evaluate the acceptability of the CEMS at the time of its installation or whenever specified in regulations or permits.  The procedures are not designed to evaluate CEMS performance over an extended period of time.  The source owner or operator is responsible for the proper calibration, maintenance, and operation of the CEMS at all times.
2.1.1.2 Principle.  Installation and measurement location specifications, performance and equipment specifications, test and data reduction procedures, and brief quality assurance guidelines are included in the specifications.  Calibration drift, relative accuracy, calibration error, and response time tests are conducted to determine conformance of the CEMS with the specifications.

2.1.2 Definitions
2.1.2.1 Continuous Emission Monitoring System (CEMS).  A continuous monitor is one in which the sample to be analyzed passes the measurement section of the analyzer without interruption, and which evaluates the detector response to the sample at least once each 15 seconds and computes and records the results at least every 60 seconds.  A CEMS consists of all the equipment used to acquire data and includes the sample extraction and transport hardware, the analyzer(s), and the data recording/processing hardware and software.
2.1.2.2 Monitoring System Types.  The specification require CEMSs capable of accepting calibration gases.  Alternative system designs may be used if approved by the Director.  There are two basic types of monitoring systems: extractive and in-situ.
2.1.2.2.1 Extractive.  Systems that use a pump or other mechanical, pneumatic, or hydraulic means to draw a sample of the stack or flue gas and convey it to a remotely located analyzer.
2.1.2.2.2 In-situ.  Systems that perform an analysis without removing a sample from the stack.  Point in-situ analyzers place the sensing or detecting element directly in the flue gas stream.  Cross-stack in-situ analyzers measure the parameter of interest by placing a source beam on one side of the stack and the detector (in single-pass instruments) or a retroreflector (in double-pass instruments) on the other side, and measuring the parameter of interest (e.g., CO) by the attenuation of the beam by the gas in its path.
2.1.2.3 Instrument Measurement Range.  The difference between the minimum and the maximum concentration that can be measured by a specific instrument.  The minimum is often stated or assumed to be zero and the range expressed only as the maximum.
2.1.2.4 Span or Span Value.  Full scale instrument measurement range.
2.1.2.5 Calibration Drift (CD).  The difference in the CEMS output readings from the established reference value after a stated period of operation during which no unscheduled maintenance, repair, or adjustment takes place.  A CD test is performed to demonstrate the stability of the CEMS calibration over time. 
2.1.2.6 Response Time.  The time interval between the start of a step change in the system input (e.g., change of calibration gas) and the time when the data recorder displays 95 percent of the final value.
2.1.2.7 Accuracy.  A measure of agreement between a measured value and an accepted or true value, expressed as the percentage difference between the true and measured values relative to the true value.  For these performance specifications, accuracy is checked by conducting a calibration error (CE) test and a relative accuracy (RA) test.  Certain facilities, such as those using solid waste or batch-fed processes, may observe long periods of almost no CO emissions with brief, high-level CO emission spikes.  These facilities, as well as facilities whose CO emissions never exceed 5-10 ppm, may need to be exempted from the RA requirement because the RA test procedure cannot ensure acquisition of meaningful test results under these conditions.  An alternative procedure for accuracy determination is described in section 2.1.9.
2.1.2.8 Calibration Error (CE).  The difference between the concentration indicated by the CEMS and the known concentration of the cylinder gas.  A CE test procedure is performed to document the accuracy and linearity of the monitoring equipment over the entire measurement range.
2.1.2.9 Relative Accuracy (RA).  A comparison of the CEMS response to a value measured by a performance test method (PTM).  The PA test is used to validate the calibration technique and verify the ability of the CEMS to provide representative and accurate measurements.
2.1.2.10 Performance Test Method (PTM). The sampling and analysis procedure used to obtain reference measurements for comparison to CEMS measurements.  The applicable test methods are Method 10, 10A, or 10B (for the determination of CO) and Method 3 or 3A (for the determination of O2).  These methods are found in 40 CFR part 60, appendix A.
2.1.2.11 Performance Specification Test (PST) Period.  The period during which CD, CE, response time, and RA tests are conducted.
2.1.2.12  Centroidal Area.  A concentric area that is geometrically similar to the stack or duct cross section and is no greater than 1 percent of the stack or duct cross-sectional area.

2.1.3 Installation and Measurement Location Specifications
2.1.3.1 CEMS Installation and Measurement Locations.  The CEMS shall be installed in a location in which measurements representative of the source's emissions can be obtained.  The optimum location of the sample interface for the CEMS is determined by a number of factors, including ease of access for calibration and maintenance, the degree to 

which sample conditioning will be required, the degree to which it represents total emissions, and the degree to which it represents the combustion situation in the firebox.  The location should be as free from in-leakage influences as possible and reasonably free from severe flow disturbances.  The sample location should be at least two equivalent duct diameters downstream from the nearest control device, point of pollutant generation, or other point at which a change in the pollutant concentration or emission rate occurs and at least 0.5 diameter upstream from the exhaust or control device.  The equivalent duct diameter is calculated as per 40 CFR part 60, appendix A, method 1, section 2.1.  If these criteria are not achievable or if the location is otherwise less than optimum, the possibility of stratification should be checked as described in Section 2.1.3.3 to determine whether the location would cause failure of the relative accuracy test.
2.1.3.1.1 For extractive or point in-situ CEMSs, the measurement point should be within or centrally located over the centroidal area of the stack or duct cross section.
2.1.3.1.2 For cross-stack CEMSs, the effective measurement path should (1) have at least 70 percent of the path within the inner 50 percent of the stack or duct cross-sectional area or (2) be centrally located over any part of the centroidal area.
2.1.3.1.3 Both the CO and O2 monitors should be installed at the same general location.  If this is not possible, they may be installed at different locations if the effluent gases at both sample locations are not stratified and there is no in-leakage of air between sampling locations.
2.1.3.2 Performance Test Method (PTM) Measurement Location and Traverse Points.
2.1.3.2.1 Select an accessible PTM measurement point at least two equivalent diameters downstream from the nearest control device, the point of CO generation, or other point at which a change in the CO concentration may occur, and at least a half equivalent diameter upstream from the effluent exhaust or control device.  When pollutant concentration changes are due solely to diluent leakage (e.g., air heater leakages) and CO and O2 are simultaneously measured at the same location, one half diameter may be used in place of two equivalent diameters.  The CEMS and PTM locations need not be the same.
2.1.3.2.2 Select traverse points that ensure acquisition of representative samples over the stack or duct cross section.  At a minimum, establish a measurement line that passes through the centroidal area in the direction of any expected stratification.  If this line interferes with the CEMS measurements, displace the line up to 30 cm (or 5 percent of the equivalent diameter of the cross section, whichever is less) from the centroidal area.  Locate three traverse points at 17, 50, and 83 percent of the measurement line.  If the measurement line is no longer than 2.4 meters and pollutant stratification is not expected, the tester may choose to locate the three traverse points on the line at 0.4, 1.2, and 2.0 meters from the stack or duct wall.  This option must not be used at a site located within eight equivalent diameters downstream of a flow disturbance.  The tester may select other traverse points, provided that they can be shown to the satisfaction of the Director to provide a representative sample over the stack or duct cross-section.  Conduct all necessary PTM tests within 3 cm of the selected traverse points.  Sampling must not be performed within 3 cm of the duct or stack inner wall.
2.1.3.3 Stratification Test Procedure.  Stratification is defined as a difference in excess of 10 percent between the average concentration in the duct or stack and the concentration at any point more than 1.0 meter from the duct or stack wall.  To determine whether effluent stratification exists, a dual probe system should be used to determine the average effluent concentration while measurements at each traverse point are being made.  One probe, located at the stack or duct centroid, is used as a stationary reference point to indicate the change in effluent concentration over time.  The second probe is used for sampling the traverse points specified in method 1, appendix A, 40 CFR part 60.  The monitoring system samples sequentially at the reference and traverse points throughout the testing period for five minutes at each point.

2.1.4 CEMS Performance and Equipment Specifications
Table 2.1-1 summarizes the performance specifications for the CEMSs.  Two sets of standards for CO are given; one for low-range and another for high-range measurements.  The high-range specifications relate to measurement and quantification of short duration high concentration peaks, while the low-range specifications relate to the overall average operating condition of the burning device.  The dual-range specifications can be met by using (1) one analyzer for each range, (2) a dual range unit, or (3) a single measurement range instrument capable of meeting both specifications with a single unit.  Adjustments cannot be made to the analyzer between determinations of low- and high-level accuracy within the single measurement range.  In the second case, when the concentration exceeds the span of the lower range, the data acquisition system recorder shall switch to the high range automatically.
2.1.4.1 CEMS Span Value.  In order to measure high and low concentrations with the same or similar degree of accuracy, the maximum ranges (span values) are specified for low and high range analyzers.  The span values are listed in Table 2.1-2.  Tier I and Tier II format definitions are established in Title 22, Chapter 16, Article 8.

Table 2.1-1--Performance Specifications of CO and O2 Monitors

	CO monitors
Parameter	Low range	High range	O2 monitors
				
Calibration drift 24 hours.	<6 ppm1	<90 ppm	<0.5% O2
Calibration error.	<10 ppm1	<150 ppm	<0.5% O2
Response time.	<2 min	<2 min	<2 min
Relative accuracy2.	(3)	(3)	(incorporated in
			CO RA 
			calculation)
				
FOOTNOTE: 1For Tier II, CD and CE are <3% and <5% of twice the permit limit, respectively.
FOOTNOTE: 2Expressed as the sum of the mean absolute value plus the 95% confidence interval of a series of measurements.
FOOTNOTE: 3The greater of 10% of PTM or 10 ppm.

Table 2.1-2--CEMS Span Values for CO and O2 Monitors

	CO monitors
	Low range (ppm)	High range (ppm)	O2 monitors 
			(percent)
				
Tier I rolling 	200	3,000	25
average format.
Tier II rolling 	2 X permit limit.	3,000	25
average format.
				
2.1.4.2 Daily Calibration Gas Values.  The owner or operator must choose calibration gas concentrations (or calibration filters for in-situ systems) that include zero and high-level calibration values for the daily calibration checks.  For a single measurement range monitor, three CO calibration gas concentrations (or calibration filters for in-situ systems) shall be used, i.e., the zero and high-level concentrations of the low-range CO analyzer and the high-level concentration of the high-range CO analyzer.
2.1.4.2.1 The zero level for the CO or O2 analyzer may be between zero and 20 percent of the span value, e.g., 0-40 ppm for low-range CO analyzer, 0-600 ppm for the high-range CO analyzer, and 0-5 percent for the O2 analyzer (for Tier I).
2.1.4.2.2 The high-level concentration for the CO or O2 analyzer shall be between 50 and 90 percent of the span value, i.e., 100-180 ppm for the low-range CO analyzer, 1500-2700 ppm for the high-range CO analyzer, and 12.5-22.5 percent O2 for the O2 analyzer.
2.1.4.3 Data Recorder Scale.  The strip chart recorder, computer, or digital recorder must be capable of recording all readings within the CEMS's measurement range and shall have a resolution of 0.5 percent of span value, i.e., 1 ppm CO for low-range CO analyzer, 15 ppm CO for high-range CO analyzer, and 0.1 percent O2 for the O2 analyzer.
2.1.4.4 Response Time.  The response time for the CO or O2 monitor shall not exceed 2 minutes to achieve 95 percent of the final stable value.
2.1.4.5 Calibration Drift.  The CEMS must allow the determination of CD at the zero and high-level values.  The CD must be determined separately for CO and O2 monitors in terms of concentration.  The CO CEMS calibration response must not drift or deviate from the reference value of the calibration gas (or calibration filters for in-situ systems) by more than 3 percent of the span value after each 24-hour period of the 7-day test, i.e., 6 ppm CO for the low-range analyzer (Tier I) and 90 ppm for the high-range analyzer, at both zero and high levels.  The O2 monitor calibration response must not drift or deviate from the reference value by more than 0.5 percent O2 at both zero and high levels.
2.1.4.6 Relative Accuracy.  The result of the PA test of the CO CEMS (which incorporates the O2 monitor) must be no greater than 10 percent of the mean value of the PTM results or must be within 10 ppm CO of the PTM results, whichever is less restrictive.  The ppm CO concentration shall be corrected to 7 percent O2 before calculating the RA.
2.1.4.7 Calibration Error.  The mean difference between the CEMS and reference values at all three test points (see Table 2.1-3) must be no greater than 5 percent of span value for CO monitors (i.e., 10 ppm CO for low-range Tier I CO analyzers and 150 ppm CO for high-range CO analyzers) and 0.5 percent for O2 analyzers.
2.1.4.8 Measurement and Recording Frequency.  The sample to be analyzed shall pass through the measurement section of the analyzer without interruption.  The detector shall measure the sample concentration at least once every 15 seconds.  An average emission rate shall be computed and recorded at least once every 60 seconds.
2.1.4.9 Hourly Rolling Average Calculation.  The CEMS shall calculate every minute an hourly rolling average, which is the arithmetic mean of the 60 most recent 1-minute average values.
2.1.4.10 Retest.  If the CEMS produces results within the specified criteria, the test is successful.  If the CEMS does not meet one or more of the criteria, the necessary corrections must be made and the performance tests repeated.

2.1.5 Test Periods
2.1.5.1 Pretest Preparation Period.  Install the CEMS, prepare the PTM test site according to the specifications in section 2.1.3, and prepare the CEMS for operation and calibration according to the manufacturer's written instructions.  A pretest conditioning period similar to that of the 7-day CD test is recommended to verify the operational status of the CEMS.
2.1.5.2 Calibration Drift Test Period.  While the facility is operating under normal conditions, determine the CD at 24-hour intervals for seven consecutive days according to the procedure given in section 2.1.6.1.  All CD determinations must be made following a 24-hour period during which no unscheduled maintenance, repair, or adjustment takes place.  If the combustion unit is taken out of service during the test period, record the onset and the duration of the downtime and continue the calibration drift test when the unit resumes operation.
2.1.5.3 Relative Accuracy Test Period.  Conduct the RA test according to the procedure in section 2.1.6.4 while the facility is operating under normal conditions.  RA testing for CO and O2 shall be conducted simultaneously so that the results can be calculated for CO corrected to 7 percent O2.  The RA test shall be conducted during the CD test period.  It is emphasized that during the CD test period, no adjustments or repairs may be made to the CEMS other than routine calibration adjustments performed immediately following the daily CD determination.
2.1.5.4 Calibration Error Test and Response Time Test Periods.  Conduct the CE and response time tests during the CD test period.

2.1.6 Performance Specification Test Procedures
2.1.6.1 Calibration Drift Test.
2.1.6.1.1 Sampling Strategy.  Conduct the CD test for all monitors at 24-hour intervals for seven consecutive days using calibration gases at the two (or three, if applicable) concentration levels specified in section 2.1.4.2.  Introduce the calibration gases into the sampling system as close to the sampling probe outlet as practical.  The gas shall pass through all filters, scrubbers, conditioners, and other CEMS components used during normal sampling.  If periodic automatic or manual adjustments are made to the CEMS zero and calibration settings, conduct the CD test immediately before these adjustments, or conduct it in such a way that the CD can be determined.  Record the CEMS response and subtract this value from the reference (calibration gas) value.  To meet the specification, none of the differences shall exceed the limits specified in Table 2.1-1.
2.1.6.1.2 Calculations.  Summarize the results on a data sheet.  An example is shown in Figure 2.1-1.  Calculate the differences between the CEMS responses and the reference values.
2.1.6.2 Response Time.  Check the entire CEMS including sample extraction and transport, sample conditioning, gas analyses, and the data recording.
2.1.6.2.1 Introduce zero gas into the system.  For extractive systems, introduce the calibration gases at the probe as near to the sample location as possible.  For in-situ system, introduce the zero gas at a point such that all components active in the analysis are tested.  When the system output has stabilized (no change greater than 1 percent of full scale for 30 seconds), switch to monitor stack effluent and wait for a stable value.  Record the time (upscale response time) required to reach 95 percent of the final stable value.
2.1.6.2.2 Next, introduce a high-level calibration gas and repeat the above procedure.  Repeat the entire procedure three times and determine the mean upscale and downscale response times.  The longer of the two means is the system response time.
2.1.6.3 Calibration Error Test Procedure.
2.1.6.3.1 Sampling Strategy.  Challenge each monitor (both low- and high-range CO and O2) with zero gas and US EPA Protocol 1 cylinder gases at three measurement points within the ranges specified in Table 2.1-3.

Table 2.1-3--Calibration Error Concentration Ranges for Tier I

	GAS Concentration Ranges
	CO, ppm
Measurement point	Low range1	High range	O2  percent
				
1	0-40	0-600	0-2
2	60-80	900-1200	8-10
3	140-160	2100-2400	14-16
				
FOOTNOTE: 1For Tier II, the CE specifications for the low-range CO CEMS are 0-20%, 30-40%, and 70-80% of twice the permit limit.

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Figure 2.1-1 Calibration Drift determination
2.1.6.3.1.1 If a single measurement range is used, the calibration gases used in the daily CD checks (if they are Protocol 1 cylinder gases and meet the criteria in section 2.1.6.3.1) may be used for determining CE.
2.1.6.3.1.2 Operate each monitor in its normal sampling mode as nearly as possible.  The calibration gas shall be injected into the sample system as close to the sampling probe outlet as practical and should pass through all CEMS components used during normal sampling.  Challenge the CEMS three non-consecutive times at each measurement point and record the responses.  The duration of each gas injection should be sufficient to ensure that the CEMS surfaces are conditioned.
2.1.6.3.2 Calculations.  Summarize the results on a data sheet.  An example data sheet is shown in Figure 2.1-2.  Average the differences between the instrument response and the certified cylinder gas value for each gas.  Calculate three CE results (five CE results for a single-range CO CEMS) according to Equation 5 (section 2.1.7.5).  No confidence coefficient is used in CE calculations.
2.1.6.4 Relative Accuracy Test Procedure.
2.1.6.4.1 Sampling Strategy for PTM tests.  Conduct the PTM tests in such a way that they will yield measurements representative of the emissions from the source and can be correlated to the CEMS data.  Although it is preferable to conduct the CO, diluent, and moisture (if needed) simultaneously, moisture measurements that are taken within a 60-minute period which includes the simultaneous CO and O2 measurements may be used to calculate the dry CO concentration.
Note: At times, CEMS RA tests may be conducted during incinerator performance tests.  In these cases, PTM results obtained during CEMS RA tests may be used to determine compliance with incinerator emissions limits as long as the source and test conditions are consistent with the applicable regulations.

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Figure 2.1-1 Calibration Error Determination
2.1.6.4.2 Performance Test Methods.
2.1.6.4.2.1 Unless otherwise specified in the regulations, method 3 or 3A and method 10, 10A, or 10B (40 CFR part 60, appendix A) are the test methods for O2 and CO, respectively.  Make a sample traverse of at least 21 minutes, sampling for 7 minutes at each of three traverse points (see section 3.2).
2.1.6.4.2.2 When the installed CEMS uses a nondispersive infrared (NDIR) analyzer, method 10 shall use the alternative interference trap specified in section 10.1 of the method.  An option, which may be approved by the Director in certain cases, would allow the test to be conducted using method 10 without the interference trap.  Under this option, a laboratory interference test is performed for the analyzer prior to the field test.  The laboratory interference test includes the analysis of SO2, NO, and CO2 calibration gases over the range of expected effluent concentrations.  Acceptable performance is indicated if the CO analyzer response to each of the gases is less than 1 percent of the applicable measurement range of the analyzer.
2.1.6.4.3 Number of PTM Tests.  Conduct a minimum of nine sets of all necessary PTM tests.  If more than nine sets are conducted, a maximum of three sets may be rejected at the tester's discretion.  The total number of sets used to determine the RA must be greater than or equal to nine.  All data, including the rejected data, must be reported.
2.1.6.4.4 Correlation of PTM and CEMS Data.  The time and duration of each PTM test run and the CEMS response time should be considered in correlating the data.  Use the CEMS final output (the one used for reporting) to determine an integrated average CO concentration for each PTM test run.  Confirm that the pair of results are on a consistent moisture and O2 concentration basis.  Each integrated CEMS value should then be compared against the corresponding average PTM value.  If the CO concentration measured by the CEMS is normalized to a specified diluent concentration, the PTM results shall be normalized to the same value. 
2.1.6.4.5 Calculations.  Summarize the results on a data sheet.  Calculate the mean of the PTM values and calculate the arithmetic differences between the PTM and the CEMS data sets.  The mean of the differences, standard deviation, confidence coefficient, and CEMS RA should be calculated using Equations 1 through 4.

2.1.7 Equations
2.1.7.1 Arithmetic Mean (d).  Calculate d of the difference of a data set using Equation 1.

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where: n=Number of data points.

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When the mean of the differences of pairs of data is calculated, correct the data for moisture, if applicable.
2.1.7.2 Standard Deviation (Sd).  Calculate Sd using Equation 2.

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2.1.7.3 Confidence Coefficient (CC).  Calculate the 2.5 percent error CC (one-tailed) using Equation 3.

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where:

t0.975=t-value (see Table 2.1-4)

Table 2.1-4--t Values

na	t0.975	na	t0.975	na	t0.975
					
2	12.706	7	2.447	12	2.201
3	4.303	8	2.365	13	2.179
4	3.182	9	2.306	14	2.160
5	2.776	10	2.662	15	2.145
6	2.571	11	2.228	16	2.131
					
FOOTNOTE: aThe values in this table are already corrected for n-1 degrees of freedom.
Use n equal to the number of individual values.
2.1.7.4 Relative Accuracy.  Calculate the RA of a set of data using Equation 4.

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where:

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CC = Absolute value of the confidence coefficient (Equation 3).

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View Graphic
where:

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2.1.8 Reporting
At a minimum, summarize in tabular form the results of the CD, RA, response time, and CE test, as appropriate.  Include all data sheets, calculations, CEMS data records, and cylinder gas or reference material certifications.

2.1.9 Alternative Procedure
2.1.9.1 Alternative RA Procedure Rationale.  Under some operating conditions, it may not be possible to obtain meaningful results using the RA test procedure.  This includes conditions where consistent, very low CO emissions or low CO emissions interrupted periodically by short duration, high level spikes are observed.  It may be appropriate in these circumstances to waive the PTM RA test and substitute the following procedure.
2.1.9.2 Alternative RA Procedure.  Conduct a complete CEMS status check following the manufacturer's written instructions.  The check should include operation of the light source, signal receiver, timing mechanism functions, data acquisition and data reduction functions, data recorders, mechanically operated functions (mirror movements, calibration gas valve operations, etc.), sample filters, sample line heaters, moisture traps, and other related functions of the CEMS, as applicable.  All parts of the CEMS must be functioning properly before the RA requirement can be waived.  The instruments must also have successfully passed the CE and CD requirements of the performance specifications.  Substitution of the alternative procedure requires approval of the Director.

2.1.10 Quality Assurance (QA)
Proper calibration, maintenance, and operation of the CEMS is the responsibility of the owner or operator.  The owner or operator must establish a QA program to evaluate and monitor CEMS performance.  As a minimum, the QA program must include:
2.1.10.1 A daily calibration check for each monitor.  The calibration must be adjusted if the check indicates the instrument's CD exceeds the specification established in section 2.1.4.5.  The gases shall be injected as close to the probe as possible to provide a check of the entire sampling system.  If an alternative calibration procedure is desired (e.g., direct injections or gas cells), subject to Director's approval, the adequacy of this alternative procedure may be demonstrated during the initial 7-day CD test.  Periodic comparisons of the two procedures are suggested. 
2.1.10.2 A daily system audit.  The audit must include a review of the calibration check data, an inspection of the recording system, an inspection of the control panel warning lights, and an inspection of the sample transport and interface system (e.g., flowmeters, filters), as appropriate.
2.1.10.3 A quarterly calibration error (CE) test.  Quarterly RA tests may be substituted for the CE test when approved by the Director on a case-by-case basis.
2.1.10.4 An annual performance specification test.

2.1.11 References
1. Jahnke, James A. and G.J. Aldina, “Handbook: Continuous Air Pollution Source Monitoring Systems,” U.S. Environmental Protection Agency Technology Transfer, Cincinnati, Ohio 45268, EPA-625/6-79-005, June 1979.
2. “Gaseous Continuous Emissions Monitoring Systems--Performance Specification Guidelines for SO2, NOx, CO2, O2, and TRS.” U.S. Environmental Protection Agency OAQPS, ESED, Research Triangle Park, North Carolina 27711, EPA-450/3-82-026, October 1982.
3. “Quality Assurance Handbook for Air Pollution Measurement Systems: Volume I. Principles.” U.S. Environmental Protection Agency ORD/EMSL, Research Triangle Park, North Carolina, 27711, EPA-600/9-76-006, December 1984.
4. Michie, Raymond, M. Jr., et al., “Performance Test Results and Comparative Data for Designated Reference Methods for Carbon Monoxide,” U.S. Environmental Protection Agency ORD/EMSL, Research Triangle Park, North Carolina, 27711, EPA-600/S4-83-013, September 1982.
5. Ferguson, B.B., R.E. Lester, and W.J. Mitchell, “Field Evaluation of Carbon Monoxide and Hydrogen Sulfide Continuous Emission Monitors at an Oil Refinery,” U.S. Environmental Protection Agency, Research Triangle Park, North Carolina, 27711, EPA-600/4-82-054, August 1982.

2.2 Performance Specifications for Continuous Emission Monitoring of Hydrocarbons for Incinerators, Boilers, and Industrial Furnaces Burning Hazardous Waste

2.2.1 Applicability and Principle
2.2.1.1 Applicability.  These performance specifications apply to hydrocarbon (HC) continuous emission monitoring systems (CEMSs) installed on incinerators, boilers, and industrial furnaces burning hazardous waste.  The specifications include procedures which are intended to be used to evaluate the acceptability of the CEMS at the time of its installation or whenever specified in regulations or permits.  The procedures are not designed to evaluate CEMS performance over an extended period of time.  The source owner or operator is responsible for the proper calibration, maintenance, and operation of the CEMS at all times.
2.2.1.2 Principle.  A gas sample is extracted from the source through a heated sample line and heated filter (except as provided by section 2.2.10) to a flame ionization detector (FID).  Results are reported as volume concentration equivalents of propane.  Installation and measurement location specifications, performance and equipment specifications, test and data reduction procedures, and brief quality assurance guidelines are

included in the specifications.  Calibration drift, calibration error, and response time tests are conducted to determine conformance of the CEMS with the specifications.

2.2.2 Definitions
2.2.2.1 Continuous Emission Monitoring System (CEMS).  The total equipment used to acquire data, which includes sample extraction and transport hardware, analyzer, data recording and processing hardware, and software.  The system consists of the following major subsystems:
2.2.2.1.1 Sample Interface.  That portion of the system that is used for one or more of the following: Sample acquisition, sample transportation, sample conditioning, or protection of the analyzer from the effects of the stack effluent.
2.2.2.1.2 Organic Analyzer.  That portion of the system that senses organic concentration and generates an output proportional to the gas concentration.
2.2.2.1.3 Data Recorder.  That portion of the system that records a permanent record of the measurement values.  The data recorder may include automatic data reduction capabilities.
2.2.2.2 Instrument Measurement Range.  The difference between the minimum and the maximum concentration that can be measured by a specific instrument.  The minimum is often stated or assumed to be zero and the range expressed only as the maximum.
2.2.2.3 Span or Span Value.  Full scale instrument measurement range.
2.2.2.4 Calibration Gas.  A known concentration of a gas in an appropriate diluent gas.
2.2.2.5 Calibration Drift (CD).  The difference in the CEMS output readings from the established reference value after a stated period of operation during which no unscheduled maintenance, repair, or adjustment takes place.  A CD test is performed to demonstrate the stability of the CEMS calibration over time.
2.2.2.6 Response Time.  The time interval between the start of a step change in the system input (e.g., change of calibration gas) and the time when the data recorder displays 95 percent of the final value.
2.2.2.7 Accuracy.  A measurement of agreement between a measured value and an accepted or true value, expressed as the percentage difference between the true and measured values relative to the true value.  For these performance specifications, accuracy is checked by conducting a calibration error (CE) test.
2.2.2.8 Calibration Error (CE).  The difference between the concentration indicated by the CEMS and the known concentration of the cylinder gas.  A CE test procedure is performed to document the accuracy and linearity of the monitoring equipment over the entire measurement range.
2.2.2.9 Performance Specification Test (PST) Period.  The period during which the CD, CE,  and response time tests are conducted.
2.2.2.10 Centroidal Area.  A concentric area that is geometrically similar to the stack or duct cross section and is no greater than 1 percent of the stack or duct cross-sectional area.

2.2.3 Installation and Measurement Location Specifications
2.2.3.1 CEMS Installation and Measurement Locations.  The CEMS shall be installed in a location in which measurements representative of the source's emissions can be obtained.  The optimum location of the sample interface for the CEMS is determined by a number of factors, including ease of access for calibration and maintenance, the degree to which sample conditioning will be required, the degree to which it represents total emissions, and the degree to which it represents the combustion situation in the firebox.  The location should be as free from in-leakage influences as possible and reasonably free from severe flow disturbances.  The sample location should be at least two equivalent duct diameters downstream from the nearest control device, point of pollutant generation, or other point at which a change in the pollutant concentration or emission rate occurs and at least 0.5 diameter upstream from the exhaust or control device.  The equivalent duct diameter is calculated as per 40 CFR part 60, appendix A, method 1, section 2.1.  If these criteria are not achievable or if the location is otherwise less than optimum, the possibility of stratification should be investigated as described in section 2.2.3.2.  The measurement point shall be within the centroidal area of the stack or duct cross section.
2.2.3.2 Stratification Test Procedure.  Stratification is defined as a difference in excess of 10 percent between the average concentration in the duct or stack and the concentration at any point more than 1.0 meter from the duct or stack wall.  To determine whether effluent stratification exists, a dual probe system should be used to determine the average effluent concentration while measurements at each traverse point are being made.  One probe, located at the stack or duct centroid, is used as a stationary reference point to indicate the change in effluent concentration over time.  The second probe is used for sampling at the traverse points specified in 40 CFR part 60 appendix A, method 1.  The monitoring system samples sequentially at the reference and traverse points throughout the testing period for five minutes at each point. 

2.2.4 CEMS Performance and Equipment Specifications
If this method is applied in highly explosive areas, caution and care shall be exercised in choice of equipment and installation.
2.2.4.1 Flame Ionization Detector (FID) Analyzer.  A heated FID analyzer capable of meeting or exceeding the requirements of these specifications.  Heated systems shall maintain the temperature of the sample gas between 150 oC (300 oF) and 175 oC (350 oF) throughout the system.  This requires all system components such as the probe, calibration valve, filter, sample lines, pump, and the FID to be kept heated at all times such that no moisture is condensed out of the system.

Note: As specified in the regulations, unheated HC CEMs may be considered an acceptable interim alternative monitoring technique.  For additional notes, see section 2.2.10.  The essential components of the measurement system are described below:
2.2.4.1.1 Sample Probe.  Stainless steel, or equivalent, to collect a gas sample from the centroidal area of the stack cross-section.
2.2.4.1.2 Sample Line.  Stainless steel or Teflon tubing to transport the sample to the analyzer.

Note: Mention of trade names or specific products does not constitute endorsement by the Department.
2.2.4.1.3 Calibration Valve Assembly.  A heated three-way valve assembly to direct the zero and calibration gases to the analyzer is recommended.  Other methods, such as quick-connect lines, to route calibration gas to the analyzers are applicable.
2.2.4.1.4 Particulate Filter.  An in-stack or out-of-stack sintered stainless steel filter is recommended if exhaust gas particulate loading is significant.  An out-of-stack filter must be heated.
2.2.4.1.5 Fuel.  The fuel specified by the manufacturer (e.g., 40 percent hydrogen/60 percent helium, 40 percent hydrogen/60 percent nitrogen gas mixtures, or pure hydrogen) should be used.
2.2.4.1.6 Zero Gas.  High purity air with less than 0.1 parts per million by volume (ppm) HC as methane or carbon equivalent or less than 0.1 percent of the span value, whichever is greater.
2.2.4.1.7 Calibration Gases.  Appropriate concentrations of propane gas (in air or nitrogen).  Preparation of the calibration gases should be done according to the procedures in US EPA Protocol 1.  In addition, the manufacturer of the cylinder gas should provide a recommended shelf life for each calibration gas cylinder over which the concentration does not change by more than + 2 percent from the certified value.
2.2.4.2 CEMS Span Value.  100 ppm propane.
2.2.4.3 Daily Calibration Gas Values.  The owner or operator must choose calibration gas concentrations that include zero and high-level calibration values.
2.2.4.3.1 The zero level may be between 0 and 20 ppm (zero and 20 percent of the span value).
2.2.4.3.2 The high-level concentration shall be between 50 and 90 ppm (50 and 90 percent of the span value).
2.2.4.4 Data Recorder Scale.  The strip chart recorder, computer, or digital recorder must be capable of recording all readings within the CEMS's measurement range and shall have a resolution of 0.5 ppm (0.5 percent of span value).
2.2.4.5 Response Time.  The response time for the CEMS must not exceed 2 minutes to achieve 95 percent of the final stable value.
2.2.4.6 Calibration Drift.  The CEMS must allow the determination of CD at the zero and high-level values.  The CEMS calibration response must not differ by more than + 3 ppm (+ 3 percent of the span value) after each 24-hour period of the 7-day test at both zero and high levels.
2.2.4.7 Calibration Error.  The mean difference between the CEMS and reference values at all three test points listed below shall be no greater than 5 ppm (+ 5 percent of the span value).
2.2.4.7.1 Zero Level.  Zero to 20 ppm (0 to 20 percent of span value).
2.2.4.7.2 Mid-Level.  30 to 40 ppm (30 to 40 percent of span value).
2.2.4.7.3 High-Level.  70 to 80 ppm (70 to 80 percent of span value).
2.2.4.8 Measurement and Recording Frequency.  The sample to be analyzed shall pass through the measurement section of the analyzer without interruption.  The detector shall measure the sample concentration at least once every 15 seconds.  An average emission rate shall be computed and recorded at least once every 60 seconds.
2.2.4.9 Hourly Rolling Average Calculation.  The CEMS shall calculate every minute an hourly rolling average, which is the arithmetic mean of the 60 most recent 1-minute average values.
2.2.4.10 Retest.  If the CEMS produces results within the specified criteria, the test is successful.  If the CEMS does not meet one or more of the criteria, necessary corrections must be made and the performance tests repeated.

2.2.5 Performance Specification Test (PST) Periods
2.2.5.1 Pretest Preparation Period.  Install the CEMS, prepare the PTM test site according to the specifications in section 2.2.3, and prepare the CEMS for operation and calibration according to the manufacturer's written instructions.  A pretest conditioning period similar to that of the 7-day CD test is recommended to verify the operational status of the CEMS.
2.2.5.2 Calibration Drift Test Period.  While the facility is operating under normal conditions, determine the magnitude of the CD at 24-hour intervals for seven consecutive days according to the procedure given in section 2.2.6.1.  All CD determinations must be made following a 24-hour period during which no unscheduled maintenance, repair, or adjustment takes place.  If the combustion unit is taken out of service during the test period, record the onset and duration of the downtime and continue the CD test when the unit resumes operation.
2.2.5.3 Calibration Error Test and Response Time Test Periods.  Conduct the CE and response time tests during the CD test period.

2.2.6 Performance Specification Test Procedures
2.2.6.1 Calibration Drift Test.
2.2.6.1.1 Sampling Strategy.  Conduct the CD test at 24-hour intervals for seven consecutive days using calibration gases at the two daily concentration levels specified in section 2.2.4.3.  Introduce the two calibration gases into the sampling system as close to the sampling probe outlet as practical.  The gas shall pass through all CEM components used during normal sampling.  If periodic automatic or manual adjustments are made to the CEMS zero and calibration settings, conduct the CD test immediately before these adjustments, or conduct it in such a way that the CD can be determined.  Record the CEMS response and subtract this value from the reference (calibration gas) value.  To meet the specification, none of the differences shall exceed 3 ppm.
2.2.6.1.2 Calculations.  Summarize the results on a data sheet.  An example is shown in Figure 2.2-1.  Calculate the differences between the CEMS responses and the reference values.
2.2.6.2 Response Time.  The entire system including sample extraction and transport, sample conditioning, gas analyses, and the data recording is checked with this procedure.
2.2.6.2.1 Introduce the calibration gases at the probe as near to the sample location as possible.  Introduce the zero gas into the system.  When the system output has stabilized (no change greater than 1 percent of full scale for 30 sec), switch to monitor stack effluent and wait for a stable value.  Record the time (upscale response time) required to reach 95 percent of the final stable value.
2.2.6.2.2 Next, introduce a high-level calibration gas and repeat the above procedure.  Repeat the entire procedure three times and determine the mean upscale and downscale response times.  The longer of the two means is the system response time.
2.2.6.3 Calibration Error Test Procedure.
2.2.6.3.1 Sampling Strategy.  Challenge the CEMS with zero gas and US EPA Protocol 1 cylinder gases at measurement points within the ranges specified in section 2.2.4.7.
2.2.6.3.1.1. The daily calibration gases, if Protocol 1, may be used for this test.
2.2.6.3.1.2 Operate the CEMS as nearly as possible in its normal sampling mode.  The calibration gas should be injected into the sampling system as close to the sampling probe outlet as practical and shall pass through all filters, scrubbers, conditioners, and other monitor components used during normal sampling.  Challenge the CEMS three non-consecutive times at each measurement point and record the responses.  The duration of each gas injection should be for a sufficient period of time to ensure that the CEMS surfaces are conditioned.
2.2.6.3.2 Calculations.  Summarize the results on a data sheet.  An example data sheet is shown in Figure 2.2-2.  Average the differences between the instrument response and the certified cylinder gas value for each gas.  Calculate three CE results according to Equation 1.  No confidence coefficient is used in CE calculations.

2.2.7 Equations
2.2.7.1 Calibration Error.  Calculate CE using Equation 1.

View Graphic

2.2.8 Reporting 
At a minimum, summarize in tabular form the results of the CD, response time, and CE test, as appropriate.  Include all data sheets, calculations, CEMS data records, and cylinder gas or reference material certifications.

View Graphic

View Graphic

2.2.9 Quality Assurance (QA) 
Proper calibration, maintenance, and operation of the CEMS is the responsibility of the owner or operator.  The owner or operator must establish a QA program to evaluate and monitor CEMS performance.  As a minimum, the QA program must include:
2.2.9.1 A daily calibration check for each monitor.  The calibration must be adjusted if the check indicates the instrument's CD exceeds 3 ppm.  The gases shall be injected as close to the probe as possible to provide a check of the entire sampling system.  If an alternative calibration procedure is desired (e.g., direct injections or gas cells), subject to Director's approval, the adequacy of this alternative procedure may be demonstrated during the initial 7-day CD test.  Periodic comparisons of the two procedures are suggested.
2.2.9.2 A daily system audit.  The audit must include a review of the calibration check data, an inspection of the recording system, an inspection of the control panel warning lights, and an inspection of the sample transport and interface system (e.g., flowmeters, filters), as appropriate.
2.2.9.3 A quarterly CE test.  Quarterly RA tests may be substituted for the CE test when approved by the Director on a case-by-case basis.
2.2.9.4 An annual performance specification test.

2.2.10 Alternative Measurement Technique
The regulations allow gas conditioning systems to be used in conjunction with unheated HC CEMs during an interim period.  This gas conditioning may include cooling to not less than 40 oF and the use of condensate traps to reduce the moisture content of sample gas entering the FID to less than 2 percent. The gas conditioning system, however, must not allow the sample gas to bubble through the condensate as this would remove water soluble organic compounds.  All components upstream of the conditioning system should be heated as described in section 2.2.4 to minimize operating and maintenance problems.

2.2.11 References
1. Measurement of Volatile Organic Compounds-Guideline Series. U.S. Environmental Protection Agency, Research Triangle Park, North Carolina, 27711, EPA-450/2-78-041, June 1978.
2. Traceability Protocol for Establishing True Concentrations of Gases Used for Calibration and Audits of Continuous Source Emission Monitors (Protocol No. 1). U.S. Environmental Protection Agency ORD/EMSL, Research Triangle Park, North Carolina, 27711, June 1978.
3. Gasoline Vapor Emission Laboratory Evaluation-Part 2. U.S. Environmental Protection Agency, OAQPS, Research Triangle Park, North Carolina, 27711, EMB Report No. 76-GAS-6, August 1975.

SECTION 3.0 SAMPLING AND ANALYTICAL METHODS

Note: The sampling and analytical methods to the BIF manual are published in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” U.S. EPA Publication SW-846, third edition and updates, as incorporated by reference in Section 66260.11 of this Division.

SECTION 4.0 PROCEDURE FOR ESTIMATING THE TOXICITY EQUIVALENCY OF CHLORINATED DIBENZO-P-DIOXIN AND DIBENZOFURAN CONGENERS
PCDDs and PCDFs must be determined using the method given in section 3.4 of this document. In this method, individual congeners or homologues1 are measured and then summed to yield a total PCDD/PCDF value. No toxicity factors are specified in the method to compute risks from such emissions.
FOOTNOTE: 1The term “congener” refers to any one particular member of the same chemical family; e.g., there are 75 congeners of chlorinated dibenzo-p-dioxins. The term “homologue” refers to a group of structurally related chemicals that have the same degree of chlorination. For example, there are eight homologues of CDs, monochlorinated through octachlorinated. Dibenzo-p-dioxins

and dibenzofurans that are chlorinated at the 2,3,7 and 8 positions are denoted as “2378” congeners, except when 2, 3, 7, 8-TCDD is uniquely referred to: e.g., 1, 2, 3, 7, 8-PeCDF and 2, 3, 4, 7, 8- PeCDF are both referred to as “2378-PeCDFs.”
For the purpose of estimating risks posed by emissions from boilers and industrial furnaces, however, specific congeners and homologues must be measured using the specified method and then multiplied by the assigned toxicity equivalence factors (TEFs), using procedures described in “Interim Procedures for Estimating Risks Associated with Exposures to Mixtures of Chlorinated Dibenzo-p-Dioxins and Dibenzofurans (CDDs and CDFs) and 1989 Update,” EPA/625/3-89/016, March 1989. The resulting 2, 3, 7, 8-TCDD equivalents value is used in the subsequent risk calculations and modeling efforts as discussed in the BIF final rule.
The procedure for calculating the 2, 3, 7, 8-TCDD equivalent is as follows:
1. Using method 23, determine the concentrations of 2, 7, 3,8-congeners of various PCDDs and PCDFs in the sample.
2. Multiply the congener concentrations in the sample by the TEF listed in Table 4.0-1 to express the congener concentrations in terms of 2, 3, 7, 8-TCDD equivalent. Note that congeners not chlorinated at 2, 3, 7, and 8 positions have a zero toxicity factor in this table.
3. Add the products obtained in step 2, to obtain the total 2, 3, 7, 8-TCDD equivalent in the sample.
Sampling calculations are provided in US EPA document No. EPA/625/3-89/016, March 1989, which can be obtained from the  US EPA, ORD Publications Office, Cincinnati, Ohio (Phone no. 513-569-7562).

Table 4.0-1.--2,3,7,8-TCDD Toxicity Equivalence 
Factors (TEFs)1

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Reference: Adapted from NATO/CCMS, 1988a.
FOOTNOTE: 1Interim Procedures for Estimating Risks Associated with Exposures to Mixtures of Chlorinated Dibenzo-p-Dioxins and Dibenzofurans (CDDs and CDFs) 1989 Update EPA/625/3-89/016, March 1989.

SECTION 5.0 HAZARDOUS WASTE COMBUSTION AIR QUALITY SCREENING PROCEDURE
The HWCAQSP is a combined calculation/reference table approach for conservatively estimating short-term and annual average facility impacts for stack emissions. The procedure is based on extensive short-term modeling of 11 generic source types and on a set of adjustment factors for estimating annual average concentrations from short-term concentrations. Facility impacts may be determined based on the selected worst-case stack or on multiple stacks, in which the impacts from each stack are estimated separately and then added to produce the total facility impact.
This procedure is most useful for facilities with multiple stacks, large source-to-property boundary distances, and complex terrain between 1 and 5 km from the facility. To ensure a sufficient degree of conservatism, the HWCAQSP may not be used if any of the five screening procedure limitations listed below are true:
· The facility is located in a narrow valley less than 1 km wide;
· The facility has a stack taller than 20 m and is located such that the terrain rises to the stack height within 1 km of the facility;
· The facility has a stack taller than 20 m and is located within 5 km of the shoreline of a large body of water;
· The facility property line is within 200 m of the stack and the physical stack height is less than 10 m; or
· On-site receptors are of concern, and stack height is less than 10 m.
If any of these criteria are met or the Director determines that this procedure is not appropriate, then detailed site-specific modeling or modeling using the “Screening Procedures for Estimating the Air Quality Impact of Stationary Sources,” EPA-450/4-88-010, Office of Air Quality Planning and Standards, August 1988, is required. Detailed site-specific dispersion modeling must conform to the US EPA “Guidance on Air Quality Models (Revised)”, EPA 450/2-78-027R, Office of Air Quality Planning and Standards, Research Triangle Park, North Carolina, July 1986. This document provides guidance on both the proper selection and regulatory application of air quality models.

Introduction
The Hazardous Waste Combustion Air Quality Screening Procedure (HWCAQSP) (also referred to hereafter as “the screening procedure” or “the procedure”) provides a quick, easy method for estimating maximum (hourly) and annual average ambient air impacts associated with the combustion of hazardous waste. The methodology is conservative in nature and estimates dispersion coefficients1 based on facility-specific information.
FOOTNOTE: 1The term dispersion coefficient refers to the change in ambient air concentration (mg/m3) resulting from a source with an emission rate of 1 g/sec.
The screening procedure can be used to determine emissions limits at sites where the nearest meteorological (STAR) station is not representative of the meteorology at the site. If the screen shows that emissions from the site are adequately protective, then the need to collect site-specific meteorologic data can be eliminated.
The screening procedure is generally most helpful for facilities meeting one or more of the following conditions:
· Multiple stacks with substantially different release specifications (e.g., stack heights differ by >50 percent, exit temperatures differ by >50 oK, or the exit flow rates differ by more than a factor of 2),
· Terrain located between 1 km and 5 km from the site increases in elevation by more than the physical height of the shortest stack (i.e., the facility is located in complex terrain), or
· Significant distance between the facility's stacks and the site boundary [guidance on determining whether a distance is “significant” is provided in Step 6(B) of the procedure].
Step 1 through 9 of the screening procedure present a simplified method for determining emissions based on the use of the “worst- case” stack. If the simplified method shows that desired feed rates result in emissions that exceed allowable limits for one or more pollutants, a refined analysis to examine the emissions from each stack can be conducted. This multiple-stack method is presented in Step 10.
The steps involved in screening methodology are as follows:
Step 1. Define Source Characteristics
Step 2. Determine the Applicability of the Screening Procedure
Step 3. Select the Worst-Case Stack
Step 4. Verify Good Engineering Practice (GEP) Criteria
Step 5. Determine the Effective Stack Height and Terrain-Adjusted Effective Stack Height
Step 6. Classify the Site as Urban or Rural
Step 7. Determine Maximum Dispersion Coefficients
Step 8. Estimate Maximum Ambient Air Concentrations
Step 9. Determine Compliance With Regulatory Limits
Step 10. Multiple Stack Method
Step 1. Define Source Characteristics
Provide the following source data:2
FOOTNOTE: 2Worksheet space is provided for three stacks. If the facility has additional stacks, copy the form and revise stack identification numbers for 4, 5, etc.

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Nearby Building Dimensions
Consider all buildings within five building heights or five maximum projected widths of the stack(s). For the building with the greatest height, fill in the spaces below.
Building Height (m)
Maximum projected building width (m)
Nearby Terrain Data
Determine maximum terrain rise for the following three distance ranges from the facility (not required if the highest stack is less than 10 m in height):

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Distance from facility to nearest shoreline (km)
Valley width (km)
Step 2. Determine the Applicability of the Screening Procedure
Fill in the following data:

Is the Facility in a valley < kmin width? 	Yes__	 No__

Is the terrain rise within 1 km of the facility greater 
than the physical stack height? (Only app;ies to staacks 
<20 meters in height)		  __	  __

Is the distance to the nearest shoreline < 5 km? 
(Only applies to facilities with stacks < 20 meters 
in height)		  __	  __

For the building listed in Step 1, is the closest 
property boundary < 5 times the building height 
or < 5 times the maximum projected building width? 
(Only applies to facilities with a stack height 
< 2.5 times the building height)		  __	  __
If the answer is “no” to all the preceding questions, then the HWCAQSP is acceptable. If the answer to any question is “yes”, the procedure is not acceptable.
Step 3: Select the Worst-Case Stack
If the facility has several stacks, a worst-case stack must be chosen to conservatively represent release conditions at the facility. Follow the steps below to identify the worst-case stack.
Apply the following equation to each stack:
K = HVT
where: 
K = an arbitrary parameter accounting for the relative influence of the stack height and plume rise.
H = Physical stack height (m)
V = Flow rate (m3/sec)
T = Exhaust temperature (oK)
Complete the following table to compute the “K” value for each stack:

	Stack No. 	Stack 	X 	Flow rate 	X 	Exit temp 	= 	K
		height (m)	 	(m3/sec) 		(oK)

1 			X 		X 			=
2 			X 		X 			=
3 			X 		X 			=
										
Select the stack with the lowest “K” value. This is the worst-case stack that will be used for Steps 4 through 9.
Worst-Case Stack is identified as Stack No. ___
Step 4. Verify Good Engineering Practice (GEP) Criteria
Confirm that the selected worst-case stack meets Good Engineering Practice (GEP) criteria. The stack height to be used in the subsequent steps of this procedure must not be greater than the maximum GEP. Maximum and minimum GEP stack heights are defined as follows:
CEP (minimum) = H + (1.5 X L)
GEP (maximum) = greater of 65 m or     H + (1.5 X L)
where:
H = height of the building selected in Step 1 measured from ground level elevation at the base of the stack
L = the lesser dimension of the height or projected width of the building selected in Step 1
Record the following data for the worse-case stack:
Stack height (m) =
H(m) =
L(m) = 
Then compute the following:
GEP (minimum) (m) =
GEP (maximum) (m) =
· If the physical height of the worst-case stack exceeds the maximum GEP, then use the maximum GEP stack height for the subsequent steps of this analysis;
· If the physical height of the worst-case stack is less than the minimum GEP, then use generic source number 11 as the selected source for further analysis and proceed directly to Step 6; 
· If the physical height of the worst-case stack is between the minimum and maximum GEP, then use the actual physical stack height for the subsequent steps of this analysis.
Step 5. Determine the Effective Stack Height and Terrain-Adjusted Effective Stack Height (TAESH)
The effective stack height is an important factor in dispersion modeling. The effective stack height is the physical height of the stack plus plume rise. As specified in Step 4, the stack height used to estimate the effective stack height must not exceed GEP requirements. Plume rise is a function of the stack exit gas temperature and flow rate.
In this analysis, the effective stack height is used to select the generic source that represents the dispersion characteristics of the facility. For facilities located in flat terrain and for all facilities with worst-case stacks less than or equal to 10 meters in height, generic source numbers are selected strictly on the basis of effective stack height. In all other cases, the effective stack height is further adjusted to take into account the terrain rise near the facility. This “terrain-adjusted effective stack height” (TAESH) is then used to select the generic source number that represents the dispersion characteristics of the facility. Follow the steps below to identify the effective stack height, the TAESH (where applicable), and the corresponding generic source number.
(A) Go to Table 5.0-1 and find the plume rise value corresponding to the stack temperature and exit flow rate for the worst-case stack determined in Step 3.
Plume rise =       _____ (m)
(B) Add the plume rise to the GEP stack height of the worst-case stack determined in Steps 3 and 4.

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(C) Go the first column of Table 5.0-2 and identify the range of effective stack heights that includes the effective stack height estimated in Step 5(B). Record the generic source number that corresponds to this range.
Generic source number =
(D) If the source is located in flat terrain3, or if the generic source number identified in Step 5(C) above is 1 or 11 (regardless of terrain classification), use the generic source number determined in Step 5(C) and proceed directly to Step 6. Otherwise, continue to Step 5(E).
FOOTNOTE: 3The terrain is considered flat and terrain adjustment factors are not used if the maximum terrain rise within 5 km of the facility (see Step 1) is less than 10 percent of the physical stack height of the worst-case stack.
(E) For those situations where the conditions in Step 5(D) do not apply, the effective stack height must be adjusted for terrain. The TAESH for each distance range is computed by subtracting the terrain rise within the distance range from the effective stack height4.
FOOTNOTE: 4Refer to Step 1 for terrain adjustment data. Note that the distance from the source to the outer radii of each range is used. For example, for the range >0.5-2.5 km, the maximum terrain rise in the range 0.0-2.5 km is used.
Table 5.0-1.--Estimated Plume Rise (in Meters) Based on Stack Exit Flow Rate and Gas Temeprature

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Table 5.0-2--Selection of Generic Source Number

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Table 5.0-3--Classification of Land Use Types

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If the terrain rise for any of the distance ranges is greater than the effective stack height, set the TAESH equal to zero and use generic source number 1 for that distance range.
Record the generic source numbers from Table 5.0-2 based on each of the TAESH values.

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Step 6. Classify the Site as Urban or Rural
(A) Classify the land use near the facility as either urban or rural by determining the percentage of urban land use types (as defined in Table 3; for further guidance see the footnoted references) that fall within 3 km of the facility5.
FOOTNOTE: 5The delineation of urban and rural areas, can be difficult for the residential-type areas listed in Table 5.0-3. The degree of resolution in Table 5.0-3 for residential areas often cannot be identified without conducting site area inspections. This process can require extensive analysis, which, for many applications, can be greatly streamlined without sacrificing confidence in selecting the appropriate urban or rural classification. The fundamental simplifying assumption is based on the premise that many applications will have clear-cut urban/rural designations, i.e., most will be in rural settings that can be definitively characterized through a review of aerial photographs, zoning maps, or U.S. Geological Survey topographical maps.

Method Used to 	Visual 	Planimeter
Estimate Percent
Urban Land Use:

				
Estimated 	Urban 	Rural
Percentages 				

If the urban land use percentage is less than or equal to 30 percent based on a visual estimate, or 50 percent based on a planimeter, the local land use is considered rural. Otherwise, the local land use is considered urban.

Classification (check 	Urban 	Rural
applicable space.)	______	_______

(B) Based on the TAESH and the urban/rural classification of surrounding land use, use the following table to determine the threshold distance between any stack and the nearest facility boundary.

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Record the following information:
Threshold distance from the table (m):
Minimum distance from any stack to property boundary (m):
If the minimum distance between any stack and the nearest facility boundary is greater than the threshold distance, the surrounding buffer distance is considered significant and the facility is likely to benefit from use of the HWCAQSP relative to the Tier I and II limits (see discussion of benefits from using HWCAQSP in Introduction section).
Step 7. Determine Maximum Dispersion Coefficients 
(A) Determine maximum average hourly dispersion coefficients. Based on the results of Step 6(A), select either Table 5.0-4 (urban) or Table 5.0-5 (rural) to determine the maximum average hourly dispersion coefficient6. For flat terrain [defined in Step 5(D)] and for all sites with generic source numbers 1 or 11, use Step 7(A)(1). For rolling or complex terrain (excluding generic sources numbers 1 and 11), use Step 7(A)(2).
FOOTNOTE: 6For the distance range 6 to 20 kilometers, generic source number 1 is used to conservatively represent the maximum dispersion coefficient.
(1) Search down the appropriate generic source number column [based on Step 5(C)], beginning at the minimum fenceline distance listed in Step 6(B)7. Record the maximum average hourly dispersion coefficient encountered.
FOOTNOTE: 7Exclude all distances that are closer to the facility than the property boundary. For example, if the actual distance to the nearest property boundary is 265 meters, begin at the 300 meter distance in Tables 5.0-4 and 5.0-5.
Maximum Average Hourly Dispersion
Coefficient = (m/m3/g/sec)
(2) For each of the three distance-based generic source numbers listed in Step 5(E), search down the appropriate generic source number columns, beginning at the minimum fenceline distance listed in Step 6(B). Note that different columns may be used for each of the three distance ranges if there is a need for terrain adjustment. Record the maximum dispersion coefficient for each generic source number.

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Table 5.0-4—ISCST Predicted Maximum Concentrations (mg/m3)a for Hazardous Waste Combustors 
Using Urban Conditions

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Table 5.0-5.—ISCST Predicted Maximum Concentrations (mg/m3)a for Hazardous Waste Combustors Using Rural Conditions

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(B) Determine annual/hourly ratio for rural analysis. The maximum average annual dispersion coefficient is approximated by multiplying the maximum hourly dispersion coefficient (identified in Step 7(A) by the appropriate ratio selection from Table 5.0-6. The generic source number(s) [from Steps 5(C) or 5(E)], urban/rural designation (from Step 6), and the terrain type are used to select the appropriate scaling factor. Use the noncomplex terrain designation for all sources located in flat terrain, for all sources where the physical stack height of the worst-case stack is less than or equal to 10 m, for all sources where the worst-case stack is less than the minimum GEP, and for those sources where all of the TAESH values in Step 5(E) are greater than zero. Use the complex terrain designation in all other situations.
(C) Determine maximum average annual dispersion coefficient. The maximum average annual dispersion coefficient is determined by multiplying the maximum hourly dispersion coefficient (Step 7(A)) by its corresponding annual/hourly ratio (Step 7(B)).

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Step 8: Estimate Maximum Ambient Air Concentrations--see procedures prescribed in article 8 of chapter 16.
Step 9: Determine Compliance with Regulatory Limits--see procedures prescribed in article 8 of chapter 16.
Step 10: Multiple Stack Method (Optional)
This option is a special case procedure that may be helpful when (1) the facility exceeded the regulatory limits for one or more pollutants, as detailed in Step 9, and (2) the facility has multiple stacks with substantially different emission rates and effective release heights. Only those pollutants that fail the Step 9 screening limits need to be addressed in this exercise.
This procedure assesses the environmental impacts from each stack and then sums the results to estimate total impacts. This option is conceptually the same as the basic approach (Steps 1 through 9) and does not involve complex calculations. However, it is more time-consuming and is recommended only if the basic approach fails to meet the risk criteria. The procedure is outlined below.
(A) Compute effective stack heights for each stack.8
FOOTNOTE: 8Follow the procedure outlined in Step 4 of the basic screening procedure to determine the GEP for each stack. If a stack's physical height exceeds the maximum GEP, use the maximum GEP values.  If a stack's physical height  is less than the minimum GEP, use generic source number 11 in the subsequent steps of this analysis. Follow the procedure in Steps 5(A) and 5(B) to determine the effective height of each stack.

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(B) Determine if this multiple-stack screening procedure will likely produce less conservative results than the procedure in Steps 1 through 9. To do this, compute the ratio of maximum-to-minimum effective stack height:

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If the above ratio is greater than 1.25, proceed with the remaining steps. Otherwise, this option is less likely to significantly reduce the degree of conservatism in the screening method.
(C) Determine if terrain adjustment is needed and select generic source numbers. Select the shortest stack height and maximum terrain rise out to 5 km from Step 1 and determine if the facility is in flat terrain.
Shortest stack height (m) =
Maximum terrain rise in meters out to 5 km =

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If the value above is greater than 10 percent, the terrain is considered nonflat; proceed to Step 10(D). If the ratio is less than or equal to 10 percent, the terrain is considered flat. Identify the generic source numbers based on effective stack heights computed in Step 10(A). Refer to Table 5.0-2 provided earlier to identify generic source numbers. Record the generic source numbers identified and proceed to Step 10(F).

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(D) Compute the TAESH and select generic source numbers (four sources located in nonflat terrain).
1. Compute the TAESH for all remaining stacks using the following equation:
HE - TR = TAESH 
where:
HE = effective stack height (m)
TR = maximum terrain rise for each distance range (m)
TAESH = terrain-adjusted effective stack height (m)

Use the Table Below To Calculate the TAESH for Each Stack9.

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FOOTNOTE: 9Refer to Step 1 for terrain adjustment data. Note that the distance from the source to the outer radii of each range is used. For example, for the range >0.5-2.5 km, the maximum terrain rise in the range 0.0-2.5 km is used.
For those stacks where the terrain rise within a distance range is greater than the effective stack height (i.e., HE-TR is less than zero), the TAESH for that distance range is set equal to zero, and generic source number 1 should be used for that distance range for all subsequent distance ranges. Additionally, for all stacks with a physical stack height of less than or equal to 10 meters, use generic source number 1 for all distance ranges10. For the remaining stacks, proceed to Step 10(D)(2).
FOOTNOTE: 10This applies to all stacks less than or equal to 10 meters regardless of the terrain classification.
2. For the remaining stacks, refer to Table 5.0-2 and, for each distance range, identify the generic source number that includes the TAESH. Use the values obtained from Steps 10(D)(1) and 10(D)(2) to complete the following summary worksheet;

Generic Source Number After Terrain Adjusted 
(if Necessary)

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(E) Identify maximum average hourly dispersion coefficients. Based on the land use classification of the site (e.g., urban or rural), use either Table 5.0-4 or Table 5.0-5 to determine the appropriate dispersion coefficient for each distance range for each stack. Begin at the minimum fenceline distance indicated in Step 7(B) and record on Worksheet 5.0-1 the dispersion coefficient for each stack/distance range. For stacks located in facilities in flat terrain, the generic source numbers were computed in Step 10(C). For stacks located in facilities in rolling and complex terrain, the generic source numbers were computed in Step 10(D). For flat terrain applications and for stacks with a physical height of less than or equal to 10 meters, only one generic source number is used per stack for all distance ranges. For other situations up to three generic source numbers may be needed per stack (i.e., a unique generic source number per distance range). In Tables 5.0-4 and 5.0- 5, the dispersion coefficients for distances of 6 km to 20 km are the same for all generic source numbers in order to conservatively represent terrain beyond 5 km (past the limits of the terrain analysis).

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(F) Estimate maximum hourly ambient air concentrations. In this step, pollutant-specific emission rates are multiplied by appropriate dispersion coefficients to estimate ambient air concentrations. For each stack, emissions are multiplied by the dispersion coefficient selected in Step 10(E) and summed across all stacks to estimate ambient air concentrations at various distances from the facility. From these summed concentrations, the maximum hourly ambient air concentration is selected. First, select the maximum emission rate of the pollutant11. Record these data in the spaces provided below12.
FOOTNOTE: 11Recall that it is recommended that this analysis be performed for only one or two pollutants. The pollutants chosen for this analysis should be those that show the most significant exceedances of the risk threshold.
FOOTNOTE: 12Refer to Step 8 of the basic screening procedure. At this point in the screening procedure, annual emissions are used to represent hourly average emission rates. These values will be adjusted by the annual/hourly ratio to estimate annual average concentrations.

Maximum Annual Emission Rates (G/Sec)

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Complete a separate copy of Worksheet 5.0-2 for each pollutant and select the highest hourly concentration from the summation column at the far right of the worksheet. Record the maximum hourly air concentration for each pollutant analyzed (add additional lines if needed):

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Worksheet 5.0-2 Maximum Hourly Ambient Air Concentration

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(G) Determine the complex/noncomplex designation for each stack. For each stack, subtract the maximum terrain rise within 5 km of the site from the physical stack height and designate the stack as either complex or noncomplex. If the stack height minus the maximum terrain rise (within 5 km) is greater than zero or if the stack is less than 10 meters in physical height, then assign the stack a noncomplex designation. If the stack height minus the maximum terrain rise (within 5 km) is less than or equal to zero, then assign the stack a complex designation.
Perform the following computation for each stack and record the information in the spaces provided. Check in the spaces provided whether the stack designation is complex or noncomplex.

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(H) Identify annual/hourly ratios. Extract the annual/hourly ratios for each stack by referring to Table 5.0-6. Generic source numbers (from Steps 10(C) or 10(D), urban/rural designation (from Step 6)), and complex or noncomplex terrain designations (from Step 10(G)) are used to select the appropriate scaling factor needed to convert hourly maximum concentrations to estimates of annual average concentrations.
Complete the following table13.
FOOTNOTE: 13If any stack (excluding generic stack number 1 and 11) in Step 10(D) shows a negative terrain adjusted stack height, use the complex terrain annual/hourly ratios.

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(I) Select the highest annual/hourly ratio among all of the stacks14, and then estimate the maximum annual average ambient air concentrations for each pollutant by completing the following table, where:
FOOTNOTE: 14As an option, the user can identify the stack with the highest ratio for each distance range (rather than the absolute highest). In this case, extra sheets would be needed to show estimated annual average concentrations from each stack by multiplying emission rate times maximum hourly dispersion coefficient times maximum annual/hourly ratio for applicable distance range. Then sum across all stacks for each downwind distance.
C = Maximum total hourly ambient air concentration (mg/m3) for pollutant “N” from Step 10(F).
Ca = Maximum annual average air concentration for pollutant “N” (mg/m3),
R = Annual/hourly ratio.

Table 5.0-6.—95th Percentile of Annual/Hourly Ratios

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(J) Use the maximum annual average concentrations from Step 10(I) to determine compliance with regulatory requirements.

SECTION 6.0-SIMPLIFIED LAND USE CLASSIFICATION PROCEDURE FOR COMPLIANCE WITH TIER I AND AND TIER II LIMITS

6.1 Introduction
This section provides a simplified procedure to classify areas in the vicinity of boilers and industrial furnace sites as urban or rural in order to set risk-based emission limits under article 8 of chapter 16. Urban/rural classification is needed because dispersion rates differ between urban and rural areas and thus, the risk per unit emission rate differs accordingly. The combination of greater surface roughness (more buildings/structures to generate turbulent mixing) and the greater amount of heat released from the surface in an urban area (generates buoyancy-induced mixing) produces greater rates of dispersion. The emission limit tables in the regulation, therefore, distinguish between urban and rural areas.
US EPA guidance (EPA 1986)1 provides two alternative procedures to determine whether the character of an area is predominantly urban or rural. One procedure is based on land use typing and the other is based on population density. Both procedures require consideration of characteristics within a 3-km radius from a source, in this case the facility stack(s). The land use typing method is preferred because it more directly relates to the surface characteristics that affect dispersion rates. The remainder of this discussion is, therefore, focused on the land use method.
While the land use method is more direct, it can also be labor-intensive to apply. For this discussion, the land use method has been simplified so that it is consistent with US EPA guidance (EPA 1986; Auer 1978), while streamlining the process for the majority of applications so that a clear-cut decision can be made without the need for detailed analysis. Table 6.0-1 summarizes the simplified approach for classifying areas as urban or rural. As shown, the applicant always has the option of applying standard (i.e, more detailed) analyses to more accurately distinguish between urban and rural areas. However, the procedure presented here allows for simplified determinations, where appropriate, to expedite the permitting process.

Table 6.0-1.—Classification of Land Use Types

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FOOTNOTE: 1US EPA, Guideline on Air Quality Models (Revised), EPA- 450/2-78-027R, Office of Air Quality Planning and Standards, Research Triangle Park, North Carolina, July, 1986.
FOOTNOTE: 2Auer, August H. Jr., “Correlation of Land Use and Cover with Meteorological Anomalies,” Journal of Applied Meteorology, pp. 636-643, 1978.

6.2 Simplified Land Use Process
The land use approach considers four primary land use types: industrial (I), commercial (C), residential (R), and agricultural (A). Within These primary classes, subclasses are identified, as shown in table 6.0-1. The goal is to estimate the percentage of the area within a 3-km radius that is urban type and the percentage that is rural type. Industrial and commercial areas are classified as urban; agricultural areas are classified as rural.
The delineation of urban and rural areas, however, can be more difficult for the residential type areas shown in table 6.0-1. The degree of resolution shown in table 6.0-1 for residential areas often cannot be identified without conducting site area inspections and/or referring to zoning maps. This process can require extensive analysis, which, for many applications, can be greatly streamlined without sacrificing confidence in selecting the appropriate urban or rural classification.
The fundamental simplifying assumption is based on the premise that many applications will have clear-cut urban/rural designations, i.e., most will be in rural settings that can be definitively characterized through a brief review of topographical maps. The color coding on USGS topographical maps provides the most effective means of simplifying the typing scheme. The suggested typing designations for the color codes found on topographic maps are as follows:
Green Wooded areas (rural).
White White areas generally will be treated as rural. This code applies to areas that are unwooded and do not have densely packed structures which would require the pink code (house omission tint). Parks, industrial areas, and unforested rural land will appear as white on the topographical maps. Of these categories, only the industrial areas could potentially be classified as urban based on EPA 1986 or Auer 1978. Industrial areas can be easily identified in most cases by the characteristics shown in Figure 6.0-1. For this simplified procedure, white areas that have an industrial classification will be treated as urban areas.
Figure 6.0-1 Supplementary Publication Symbols

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SECTION 7.0 STATISTICAL METHODOLOGY FOR BEVILL RESIDUE DETERMINATIONS
This section describes the statistical comparison of waste-derived residue to normal residue for use in determining eligibility for the Bevill exemption under section 662666.112.

7.1 Comparison of Waste-derived Residue with Normal Residue
To be eligible for the Bevill exclusion from the definition of hazardous waste under section 66266.112(b)(1), waste-derived residue must not contain Appendix VIII, Chapter 11, constituents that could reasonably be attributable to the hazardous waste (toxic constituents) at concentrations significantly higher than in residue generated without burning or processing hazardous waste (normal residue). Concentrations of toxic constituents in normal residue are determined based on analysis of a minimum of 10 samples representing a minimum of 10 days of operation. The statistically- derived concentrations in normal residue are determined as the upper tolerance limit (95% confidence with a 95% proportion of the sample distribution) of the normal residue concentrations. The upper tolerance limit is to be determined as described in Section 7.2 below. If changes in raw materials or fuels could lower the statistically-derived concentrations of toxic constituents of concern, the statistically-derived baseline must be re-established for any such mode of operation with the new raw material or fuel.
Concentrations of toxic constituents in waste-derived residue are determined based on the analysis of one or more samples collected over a compositing period of not more than 24 hours. Multiple samples of the waste-derived residue may be analyzed or subsamples may be composited for analysis, provided that the sampling period does not exceed 24 hours. If more than one sample is analyzed to characterize the waste-derived residue generated over a 24-hour period, the arithmetic mean of the concentrations must be used as the waste-derived concentration for each constituent.
The concentration of a toxic constituent in the waste-derived residue is not considered to be significantly higher than in the normal residue (i.e., the residue passes the Bevill test for that constituent) if the concentration in the waste-derived residue does not exceed the statistically-derived concentration.

7.2 Calculation of the Upper Tolerance Limit
The 95% confidence with 95% proportion of the sample distribution (upper tolerance limit) is calculated for a set of values assuming that the values are normally distributed. The upper tolerance limit is a one-sided calculation and is an appropriate statistical test for cases in which a single value (the waste-derived residue concentration) is compared to the distribution of range of values (the minimum of 10 measurements of normal residue concentrations). The upper tolerance limit value is determined as follows:
UTL = X + (K)(S)
where
X = mean of the normal residue concentration, X = Xi/n,
K = coefficient for sample size n, 95% confidence and 95% proportion,
S = standard deviation of the normal residue concentrations,
S = S(Xi-X)2/(n-1))0.5, and
n = sample size.
The values of K at the 95% confidence and 95% proportion, and sample size n are given in Table 7.0-1.
For example, a normal residue test results in 10 samples with the following analytical results for toxic constituent A:

View Graphic
The mean and standard deviation of these measurements, calculated using equations above, are 11.5 and 2.9 respectively. Assuming that the values are normally distributed, the upper tolerance limit (UTL) is given by:
UTL = 11.5 + (2.911)(2.9) = 19.9 ppm

Table 7.0-1,.--K Values for 95% Confidence and 95% Proportion

View Graphic
Thus, if the concentration of constituent A in the waste-derived residue is below 19.9 ppm, then the waste-derived residue is eligible for the Bevill exclusion for constituent A.

7.3 Normal Distribution Assumption
As noted in section 7.2 above, this statistical approach (use of the upper tolerance limit) for calculation of the concentration in normal residue is based on the assumption that the concentration data are distributed normally. The Department is aware that concentration data of this type may not be distributed normally, particularly when concentrations are near the detection limits. There are a number of procedures that can be used to test the distribution of a data set. For example, the Shapiro-Wilk test, examination of a histogram or plot of the data on normal probability paper, and examination of the coefficient of skewness are methods that may be applicable, depending on the nature of the data (Reference 1 and 2).
If the concentration data are not adequately represented by a normal distribution, the data may be transformed to attain a near normal distribution. The Department has found that concentration data, especially when near detection levels, often exhibit a lognormal distribution. The assumption of a lognormal distribution has been used in various programs at US EPA, such as in the Office of Solid Waste Land Disposal Restrictions program for determination of BDAT treatment standards. The transformed data may be tested for normality using the procedures identified above. If the transformed data are better represented by a normal distribu-

tion than the untransformed data, the transformed data should be used in determining the upper tolerance limit using the procedures in section 7.2 above.
In all cases where the applicant for the Bevill exemption wishes to use other than an assumption of normally distributed data, or believes that use of an alternate statistical approach is appropriate to the specific data set, the applicant must provide supporting rationale and demonstrate to the Director or permitting authority that the data treatment is based upon sound statistical practice.

7.4 Nondetect Values
The US EPA is developing guidance regarding the treatment of nondetect values (data where the concentration of the constituent being measured is below the lowest concentration for which the analytical method is valid) in carrying out the statistical determinations described above. Until the guidance information is available, facilities may present their own approach to the handling of nondetect data points, but must provide supporting rationale in the operating record for consideration by the Director or permitting authority.

7.5 References
1. Shapiro, S.S. and Wilk, M.B. (1965), “An Analysis of Variance Test for Normality (complete samples),” Biometrika, 591-611.
2. Bhattacharyya, G.K. and R.A. Johnson (1977), Statistical Concepts and Methods, John Wiley and Sons, New York.

SECTION 8.0 PROCEDURES FOR DETERMINING DEFAULT VALUES FOR AIR POLLUTION CONTROL SYSTEM REMOVAL EFFICIENCIES
During interim status, owners or operators of boilers and industrial furnaces burning hazardous waste must submit documentation to Department that certifies that emissions of HCl, Cl2, metals, and particulate matter (PM) are not likely to exceed allowable emission rates. See certification of precompliance under section 66266.103(b).103(b). This documentation also establishes interim status feed rate and operating limits for the facility. For the initial certification, estimates of emissions and system removal efficiencies (SREs) can be made to establish the operating limits. Subsequently, owners or operators must use emissions testing to demonstrate that emissions do not exceed allowable levels, and to establish operating limits. See section 66266.103(c). However, initial estimates of emissions for certification of precompliance can be based on estimated or established SREs.
The SRE combines the effect of partitioning of the chlorine, metals, or PM and the air pollution control system removal efficiency (APCS RE) for these pollutants. The SRE is defined as:
SRE = (species input-species emitted) / species input
The SRE can be calculated from the partitioning factor (PF) and APCS RE by the following formula:
SRE = 1-[(PF/100) X (1-APCS RE/100)]
where:
PF = percentage of the pollutant partitioned to the combustion gas
Estimates of the PF and/or the APCS RE can be based on either US EPA's default values or engineering judgement. US EPA's `default values for the APCS RE for metals, HCl, Cl2, and PM are described in this section. US EPA's default values for partitioning of these pollutants are described in section 9.0.
Guidelines for the use of engineering judgement to estimate APCS REs or PFs are described in section 9.4.

8.1 APCS RE Default Values for Metals
US EPA's default assumptions for APCS RE for metals are shown in Table 8.1-1. The default values in the table are conservative estimates of the removal efficiencies for metals in BIFs, depending on the volatility of the metal and the type of APCS.
The volatility of a metal depends on the temperature, the thermal input, the chlorine content of the waste, and the identity and concentration of the metal. Metals that do not vaporize at combustion zone temperatures are classified as “nonvolatile”. Such metals typically enter the APCS in the form of large particles that are removed relatively easily. Metals that vaporize in the combustion zone and condense before entering the APCS are classified as “volatile”. Such metals typically enter the APCS in the form of very fine, submicron particles that are rather inefficiently removed in many APCSs. Metals that vaporize in the combustion zone and do not condense before entering the APCS are classified as “very volatile”. Such metals enter the APCS in the form of a vapor that is very inefficiently removed in many APCSs.
Typically, BIFs have combustion zone temperatures high enough to vaporize any hazardous metal at concentrations sufficient to exceed risk-based emission limits. For this reason, the default assumption is that there are no nonvolatile metals. Tables 8.1-2 and 8.1-3 are used to determine whether metals are classified as “volatile” or “very volatile” depending on the temperature entering the APCS, the thermal input, and whether the waste is chlorinated or nonchlorinated.

Table 8.1-1.--Air Pollution Control Systems (APCS) and Their 
Conservatively Estomated Efficiencies for 
Controlling Toxic Metals (%)

View Graphic
WS = Wet Scrubber including: Sieve Tray Tower, Packed Tower, Bubble Cap Tower
VS-20 = Venturi Scrubber, ca. 20-30 in W.G. Dp
VS.60 = Venturi Scrubber, ca. > 60 in W.G. Dp
ESP-1 = Electrostatic Precipitator; 1 stage
ESP-2 = Electrostatic Precipitator; 2 stage
ESP-4 = Electrostatic Precipitator; 4 stage
IWS = Ionizing Wet Scrubber
DS - Dry Scrubber
FF = Fabric Filter (Baghouse)
SD = Spray Dryer (Wet/Dry Scrubber)
WESP = Wet Electrostatic Precipitator

Table 8.1-2.--Temperature (F) Entering APCS Above Which Metals are Classified as Very 
Volatile in Combustion of Nonchlorinated Wastes

View Graphic
FOOTNOTE: 1Interpolation of thermal input is not allowed. If a BIF fires between two ranges, the APCS temperature under the higher thermal input must be used.
Example: For a BIF firing 10-100 MMBtu/hr, Mercury is considered very volatile at APCS temperatures above 260 F and volatile at APCS temperatures of 260 F and below.

Table 8.1-3.--Temperature (F) Entering APCS Above Which Metals are Classified 
as Very Volatile in Combustion of Chlorinated Wastes

View Graphic
FOOTNOTE: 1Interpolation of thermal input is not allowed. If a BIF fires between two ranges, the APCS temperature under the higher thermal input must be used.
Example: For a BIF firing 10-100 MMBtu/hr, Mercury is considered very volatile at APCS temperatures above 260 F and volatile at APCS temperatures of 260 F and below.
A waste is considered chlorinated if chlorine is present in concentrations greater than 0.1 percent by weight. In the US EPA guidance document “Guidance for Metals and Hydrogen Chloride Controls for Hazardous Waste Incinerators, Volume IV of the Hazardous Waste Incineration Guidance Series,”(1) one percent is used for the chlorinated/nonchlorinated cutoff. However, best engineering judgement, based on examination of pilot-scale data reported by Carroll et al. (2) on the effects of waste chlorine content on metals emissions, suggests that the 1 percent cutoff may not be sufficiently conservative.
Tables 8.1-2 and 8.1-3 were compiled based on equilibrium calculations. Metals are classified as very volatile at all temperatures above the temperature at which the vapor pressure of the metal is greater than 10 percent of the vapor pressure that results in emissions exceeding the most conservative risk-based emission limits.

8.2 APCS RE Default Values for HCl and Cl2.
Default assumptions for APCS RE for HCl in BIFs are shown in Table 8.2-1. This table is identical to the column for other BIFs except that cement kilns have a minimum HCl removal efficiency of 83 percent. Because of the alkaline nature of the raw materials in cement kilns, most of the chlorine is converted to chloride salts. Thus, the minimum APCS RE for HCl for cement kilns is independent of the APCS train.
Removal efficiency of Cl2 for most types of APCS is generally minimal. Therefore, the default assumption for APCS RE for Cl2 for all APCSs is 0 percent. This is applicable to all BIFs, including cement kilns.

8.3 APCS RE Default Values for Ash
Default assumptions for APCS RE for PM are also shown in Table 8.1- 4. These figures are conservative estimates of PM removal efficiencies for different types of APCSs. They are identical to the figures in the Nonvolatile APCS RE column for hazardous metals presented in Table 8.1-1 because the same collection mechanisms and collection efficiencies that apply to nonvolatile metals also apply to PM.

Table 8.2-1--Pollution Control Systems (APCS) and Their Conservatively Estimated Efficiencies for Removing Hydrogen Chloride 
(HCL) and Particulate Matter (PM) (%)

View Graphic
WS = Wet Scrubber including: Sieve Tray Tower, Packed Tower, Bubble Cap Tower 
PS = Proprietary Wet Scrubber Design (A number of proprietary wet scrubbers have come on the market in recent years that are highly efficient on both particulates and corrosive gases. Two such units are offered by Calvert Environmental Equipment Co. and by Hydro-Sonic Systems, Inc.).
VS-20 = Venturi Scrubber, ca. 20-30 in W.G. Dp
VS-60 = Venturi Scrubber, ca. > 60 in W.G. Dp
ESP-1 = Electrostatic Precipitator; 1 stage
ESP-2 = Electrostatic Precipitator; 2 stage
ESP-4 = Electrostatic Precipitator; 4 stage
IWS = Ionizing Wet Scrubber
DS - Dry Scrubber
FF = Fabric Filter (Baghouse)
SD = Spray Dryer (Wet/Dry Scrubber)

8.4 References
1. U.S. Environmental Protection Agency. “Guidance on Metals and Hydrogen Chloride Controls for Hazardous Waste Incinerators,” Office of Solid Waste, Washington, D.C., August 1989.
2. Carroll, G.J., R.C. Thurnau, R.E. Maurnighan, L.R. Waterland, J.W. Lee, and D.J. Fournier. The Partitioning of Metals in Rotary Kiln Incineration. Proceedings of the Third International Conference on New Frontiers for Hazardous Waste Management. NTIS Document No. EPA/600/9-89/072, p. 555 (1989).

SECTION 9.0--PROCEDURES FOR DETERMINING DEFAULT VALUES FOR PARTITIONING OF METALS, ASH, AND TOTAL CHLORIDE/CHLORINE
Pollutant partitioning factor estimates can come from two sources: default assumptions or engineering judgement. The default assumptions are discussed below for metals, HCl, Cl2, and PM. The default assumptions are used to conservatively predict the partitioning factor for several types of BIFs. Engineering judgement-based partitioning factor estimates are discussed in section 9.4.

9.1 Partitioning Default Value for Metals
To be conservative, owners/operators may assume that 100 percent of each metal in each feed stream is partitioned to the combustion gas. Owners/operators may use this default value or a supportable, site-specific value developed following the general guidelines provided in section 9.4.

9.2 Special Procedures for Chlorine, HCl, and Cl2
The Department has established the special procedures presented below for chlorine because the emission limits are based on the pollutants HCl and Cl2 formed from chlorine fed to the combustor. Therefore, the owner/operator must estimate the controlled emission rate of both HCl and Cl2 and show that they do not exceed allowable levels.
1. The default partitioning value for the fraction of chlorine in the total feed streams that is partitioned to combustion gas is 100 percent. Owners/operators may use this default value or a supportable, site-specific value developed following the general guidelines provided in section 9.4.
2. To determine the partitioning of chlorine in the combustion gas to HCl versus Cl2, either use the default values below or use supportable site-specific values developed following the general guidelines provided in section 9.4.
· For BIFs excluding halogen acid furnaces (HAFs), with a total feed stream chlorine/hydrogen ration £ 0.95, the default partitioning factor is 20 percent Cl2, 80 percent HCl.
· For HAFs and for BIFs with a total feed stream chlorine/hydrogen ratio > 0.95, the default partitioning factor is 100 percent Cl2.
3. To determine the uncontrolled (i.e., prior to acid gas APCS) emission rate of HCl and Cl2, multiply the feed rate of chlorine times the partitioning factor for each pollutant. Then, for HCl, convert the chlorine emission rate to HCl by multiplying it by the ratio of the molecular weight of HCl to the molecular weight of Cl (i.e., 36.5/35.5). No conversion is needed for Cl2.

9.3 Special Procedures for Ash
This section: (1) Explains why ash feed rate limits are not applicable to cement and light-weight aggregate kilns; (2) presents the default partitioning values for ash; and (3) explains how to convert the 0.08 gr/dscf, corrected to 7% O2, PM emission limit to a PM emission rate.
Waiver for Cement and Light-Weight Aggregate Kilns. For cement kilns and light-weight aggregate kilns, raw material feed streams contain the vast majority of the ash input, and a significant amount of the ash in the feed stream is entrained into the kiln exhaust gas. For these devices, the ash content of the hazardous waste stream is expected to have a negligible effect on total ash emissions. For this reason, there is no ash feed rate compliance limit for cement kilns or light-weight aggregate kilns. Nonetheless, cement kilns and light-weight aggregate kilns are required to initially certify that PM emissions are not likely to exceed the PM limit, and subsequently, certify through compliance testing that the PM limit is not exceeded.
Default Partitioning Value for Ash. The default assumption for partitioning of ash depends on the feed stream firing system. There are two methods by which materials may be fired into BIFs: Suspension-firing and bed-firing.
The suspension category includes atomized and lanced pumpable liquids and suspension-fired pulverized solids. The default partitioning assumption for materials fired by these systems is that 100 percent of the ash partitions to the combustion gas.
The bed-fired category consists principally of stoker boilers and raw materials (and in some cases containerized hazardous waste) fed into cement and light-weight aggregate kilns. The default partitioning assumption for materials fired on a bed is that 5 percent of the ash partitions to the combustion gas.
Converting the PM Concentration-Based Standard to a PM Mass Emission Rate. The emission limit for BIFs is 0.08 gr/dscf, corrected to

7% O2, unless a more stringent standard applies [e.g., a New Source Performance Standard (NSPS) or a State standard implemented under the State Implementation Plan (SIP)]. To convert the 0.08 gr/dscf standard to a PM mass emission rate:
1. Determine the flue gas O2 concentration (percent by volume, dry) and flue gas flow rate (dry standard cubic feet per minute); and
2. Calculate the allowable PM mass emission rate by multiplying the concentration-based PM emission standard times the flue gas flow rate times a dilution correction factor equal to [(21-O2 concentration from step 1)/(21-7)].

9.4 Use of Engineering Judgement To Estimate Partitioning and APCS RE Values
Engineering judgement may be used in place of US EPA's conservative default assumptions to estimate partitioning and APCS RE values provided that the engineering judgement is defensible and properly documented. To properly document engineering judgement, the owner/operator must keep a written record of all assumptions and calculations necessary to justify the APCS RE used. The owner/operator must provide this record to the Director upon request and must be prepared to defend the assumptions and calculations used.
If the engineering judgement is based on emissions testing, the testing will often document the emission rate of a pollutant relative to the feed rate of that pollutant rather than the partitioning factor or APCS RE.
Examples of situations where the use of engineering judgement may be supportable to estimate a partitioning factor, APCS RE, or SRE include:
· Using emissions testing data from the facility to support an SRE, even though the testing may not meet full QA/QC procedures (e.g., triplicate test runs). The closer the test results conform with full QA/QC procedures and the closer the operating conditions during the test conform with the established operating conditions for the facility, the more supportable the engineering judgement will be.
· Applying emissions testing data documenting an SRE for one metal, including nonhazardous surrogate metals to another less volatile metal.
· Applying emissions testing data documenting an SRE from one facility to a similar facility.
· Using APCS vendor guarantees of removal efficiency.

9.5 Restrictions on Use of Test Data
The measurement of an SRE or an APCS RE may be limited by the detection limits of the measurement technique. If the emission of a pollutant is undetectable, then the calculation of SRE or APCS RE should be based on the lower limit of detectability. An SRE or APCS RE of 100 percent is not acceptable.
Further, mass balance data of facility inputs, emissions, and products/residues may not be used to support a partitioning factor, given the inherent uncertainties of such procedures. Partitioning factors other than the default values may be supported based on engineering judgement, considering, for example, process chemistry. Emissions test data may be used to support an engineering judgement-based SRE, which includes both partitioning and APCS RE.

9.5 References
1. Barton, R.G., W.D. Clark, and W.R. Seeker. (1990) “Fate of Metals in Waste Combustion Systems”. Combustion Science and Technology. 74, 1-6, p. 327.

SECTION 10.0 ALTERNATIVE METHODOLOGY FOR IMPLEMENTING METALS CONTROLS

10.1 Applicability
This method for controlling metals emissions applies to cement kilns and other industrial furnaces operating under interim status that recycle emission control residue back into the furnace.

10.2 Introduction
Under this method, cement kilns and other industrial furnaces that recycle emission control residue back into the furnace must comply with a kiln dust concentration limit (i.e., a collected particulate matter (PM) limit) for each metal, as well as limits on the maximum feedrates of each of the metals in: (1) pumpable hazardous waste; and (2) all hazardous waste.
The following subsections describe how this method for controlling metals emissions is to be implemented:
· Subsection 10.3 discusses the basis of the method and the assumptions upon which it is founded;
· Subsection 10.4 provides an overview of the implementation of the method;
· Subsection 10.5 is a step-by-step procedure for implementation of the method;
· Subsection 10.6 describes the compliance procedures for this method; and
· Appendix A describes the statistical calculations and tests to be used in the method.

10.3 Basis
The viability of this method depends on three fundamental assumptions:
(1) Variations in the ratio of the metal concentration in the emitted particulate to the metal concentration in the collected kiln dust (referred to as the enrichment factor or EF) for any given metal at any given facility will fall within a normal distribution that can be experimentally determined.
(2) The metal concentrations in the collected kiln dust can be accurately and representatively measured (using procedures specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods” (SW-846), incorporated by reference in section 66260.11 of chapter 11.
(3) The facility will remain in compliance with the applicable particulate matter (PM) emission standard.
Given these assumptions, metal emissions can be related to the measured concentrations in the collected kiln dust by the following equation:

View Graphic
Where:
ME is the metal emitted; PME is the particulate matter emitted; DMC is the metal concentration in the collected kiln dust; and EF is the enrichment factor, which is the ratio of the metal concentration in the emitted particulate matter to the metal concentration in the collected kiln dust.
This equation can be rearranged to calculate a maximum allowable dust metal concentration limit (DMCL) by assuming worst-case conditions that: metal emissions are at the Tier III (or Tier II) limit (see section 66266.106), and that particulate emissions are at the particulate matter limit (PML):

View Graphic
The enrichment factor used in the above equation must be determined experimentally from a minimum of 10 tests in which metal concentrations are measured in kiln dust and stack samples taken simultaneously. This approach provides a range of enrichment factors that can be inserted into a statistical distribution (t- distribution) to determine EF95%; and EF99%;. EF95%; is the value at which there is a 95% confidence level that the enrichment factor is below this value at any given time. Similarly, EF99%; is the value at which there is a 99% confidence level that the enrichment factor is below this value at any given time. EF95%; is used to calculate the “violation” dust metal concentration limit (DMCLv):

View Graphic
If the kiln dust metal concentration is just above this “violation” limit, and the PM emissions are at the PM emissions limit, there is a 5% chance that the metal emissions are above the Tier III limit. In such a case, the facility would be in violation of the metals standard.
To provide a margin of safety, a second, more conservative kiln dust metal concentration limit is also used. This “conservative” dust metal concentration limit (DMCLc) is calculated using a “safe” enrichment factor (SEF). If EF99%; is greater than two times the value of EF95%;, the “safe” enrichment factor can be calculated using Equation 4a:
SEF > 2 EF95%; (4a) QO2
If EF99%; is not greater than two times the value of EF95%;, the “safe” enrichment factor can be calculated using Equation 4b:
SEF > EF99%; (4b)
In cases where the enrichment factor cannot be determined because the kiln dust metal concentration is nondetectable, the “safe” enrichment factor is as follows:
SEF = 100 (4c)
For all cases, the “conservative” dust metal concentration limit is calculated using the following equation:

View Graphic
If the kiln dust metal concentration at a facility is just above the “conservative” limit based on that “safe” enrichment factor provided in Equation 4a, and the PM emissions are at the PM emissions limit, there is a 5% chance that the metal emissions are above one-half the Tier III limit. If the kiln dust metal concentration at the facility is just above the “conservative” limit based on the “safe” enrichment factor provided in Equation 4b, and the PM emissions are at the PM emissions limit, there is a 1% chance that the metal emissions are above the Tier III limit. In either case, the facility would be unacceptably close to a violation. If this situation occurs more than 5% of the time, the facility would be required to rerun the series of 10 tests to determine the enrichment factor. To avoid this expense, the facility would be advised to reduce its metals feedrates or to take other appropriate measures to maintain its kiln dust metal concentrations in compliance with the “conservative” dust metal concentration limits.
In cases where the enrichment factor cannot be determined because the kiln dust metal concentration is nondetectable, and thus no EF95%; exists, the “violation” dust metal concentration limit is set at ten times the “conservative” limit:
DMCLv = 10 X DMCLc (6)

10.4 Overview
The flowchart for implementing the method is shown in Figure 10.4- 1. The general procedure is as follows:
· Follow the certification of precompliance procedures described in subsection 10.6 (to comply with section 66266.103(b)).
· For each metal of concern, perform a series of tests to establish the relationship (enrichment factor) between the concentration of emitted metal and the metal concentration in the collected kiln dust.
· Use the demonstrated enrichment factor, in combination with the Tier III (or Tier II) metal emission limit and the most stringent applicable particulate emission limit, to calculate the “violation” and “conservative” dust metal concentration limits. Include this information with the certification of compliance under section 66266.103(c).

View Graphic
· Perform daily and/or weekly monitoring of the cement kiln dust metal concentration to ensure (with appropriate QA/QC) that the metal concentration does not exceed either limit.
— If the cement kiln dust metal concentration exceeds the “conservative” limit more than 5% of the time (i.e., more than three failures in last 60 tests), the series of tests to determine the enrichment factor must be repeated.
— If the cement kiln dust metal concentration exceeds the “violation” limit, a violation has occurred.
· Perform quarterly tests to verify that the enrichment factor has not increased significantly. If the enrichment factor has increased, the series of tests to determine the enrichment factor must be repeated.

10.5 Implementation Procedures
A step-by-step description for implementing the method is provided below:
(1) Prepare initial limits and test plans.
· Determine the Tier III metal emission limit. The Tier II metal emission limit may also be used (see section 66266.106).
· Determine the applicable PM emission standard. This standard is the most stringent particulate emission standard that applies to the facility. A facility may elect to restrict itself to an even more stringent self-imposed PM emission standard, particularly if the facility finds that it is easier to control particulate emissions than to reduce the kiln dust concentration of a certain metal (i.e., lead).
· Determine which metals need to be monitored (i.e., all hazardous metals for which Tier III emission limits are lower than PM emission limits-assuming PM is pure metal).
· Follow the compliance procedures described in Subsection 10.6.
· Follow the guidelines described in SW-846 for preparing test plans and waste analysis plans for the following tests:
— Compliance tests to determine limits on metal feedrates in pumpable hazardous wastes and in all hazardous wastes (as well as to determine other compliance parameters);
— Initial tests to determine enrichment factors;
— Quarterly tests to verify enrichment factors;
— Analysis of hazardous waste feedstreams; and
— Daily and/or weekly monitoring of kiln dust for continuing compliance.
(2) Conduct tests to determine the enrichment factor.
· These tests must be conducted within a 14-day period. No more than two tests may be conducted in any single day. If the tests are not completed within a 14-day period, they must be repeated.
· Simultaneous stack samples and kiln dust samples must be taken.
— Stack sampling must be conducted with the multiple metals train according to procedures provided in section 10.3 of this Methods Manual.
— Kiln dust sampling must be conducted as follows:
— Follow the sampling and analytical procedures described in SW-846 and the waste analysis plan as they pertain to the condition and accessibility of the dust.
— Samples should be representative of the last ESP or Fabric Filter in the APCS series.
· The feedrates of hazardous metals in all pumpable hazardous waste streams and in all waste streams must be monitored during these tests. It is recommended (but not required) that the feedrates of hazardous metals in all feedstreams also be monitored.
· At least ten single (noncomposited) runs are required during the tests.
— The facility must follow a normal schedule of kiln dust recharging for all of the tests.
— Three of the first five tests must be compliance tests in conformance with section 66266.103(c); i.e., they must be used to determine maximum allowable feedrates of metals in pumpable hazardous wastes, and in all hazardous wastes, as well as to determine other compliance limits (see section 66266.103(c)(1)).
— The remainder of the tests need not be conducted under full compliance test conditions; however, the facility must operate at its compliance test production rate, and it must burn hazardous waste during these tests such that the feedrate of each metal for pumpable and total hazardous wastes is at least 25% of the feedrate during compliance testing. If these criteria, and those discussed below, are not met for any parameter during a test, then either the test is not valid for determining enrichment factors under this method, or the compliance limits for that parameter must be established based on these test conditions rather than on the compliance test conditions. 
· Verify that compliance emission limits are not exceeded.
— Metal emissions must not exceed Tier III (or Tier II) limits.
— PM emissions must not exceed the most stringent of applicable PM standards (or an optional self-imposed particulate standard).
· The facility must generate normal, marketable product using normal raw materials and fuels under normal operating conditions (for parameters other than those specified under this method) when these tests are conducted.
· Chromium must be treated as a special case:
— The enrichment factor for total chromium is calculated in the same way as the enrichment factor for other metals (i.e., the enrichment factor is the ratio of the concentration of total chromium in the emitted particulate matter to the concentration of total chromium in the collected kiln dust).
— The enrichment factor for hexavalent chromium (if measured) is defined as the ratio of the concentration of hexavalent chromium in the emitted particulate matter to the concentration of total chromium in the collected kiln dust.
(3) Use the enrichment factors measured in Step 2 to determine EF95%;, EF99%;, and SEF.
· Calculate EF95%; and EF99%; according to the t-distribution as described in Appendix A
· Calculate SEF by
— Equation 4a if EF95%; is determinable and if EF99%; is greater than two times EF95%;.
— Equation 4b if EF95%; is determinable and if EF99%; is not greater than two times EF95%;.
— Equation 4c if EF95%; is not determinable.
The facility may choose to set an even more conservative SEF to give itself a larger margin of safety between the point where corrective action is necessary and the point where a violation occurs.
(4) Prepare certification of compliance.
· Calculate the “conservative” dust metal concentration limit (DMCLc) using Equation 5.
— Chromium is treated as a special case. The “conservative” kiln dust chromium concentration limit is set for total chromium, not for hexavalent chromium. The limit for total chromium must be calculated using the Tier III (or Tier II) metal limit for hexavalent chromium.
— If the stack samples described in Step 2 were analyzed for hexavalent chromium, the SEF based on the hexavalent chromium enrichment factors (as defined in Step 2) must be used in this calculation.
— If the stack samples were not analyzed for hexavalent chromium, then the SEF based on the total chromium enrichment factor must be used in this calculation.
· Calculate the “violation” dust metal concentration limit (DMCLv) using Equation 3 if EF95%; is determinable, or using Equation 6 if EF95%; is not determinable.
— Chromium is treated as a special case. The “violation” kiln dust chromium concentration limit is set for total chromium, not for hexavalent chromium. The limit for total chromium must be calculated using the Tier III (or Tier II) metal limit for hexavalent chromium.
— If the stack samples taken in Step 2 were analyzed for hexavalent chromium, the EF95%; based on the hexavalent chromium enrichment factor (as defined in Step 2) should be used in this calculation.
— If the stack samples were not analyzed for hexavalent chromium, the EF95%; based on the total chromium enrichment factor must be used in this calculation.
· Submit certification of compliance.
· Steps 2-4 must be repeated for recertification, which is required once every 3 years (see section 66266.103(d)).
(5) Monitor metal concentrations in kiln dust for continuing compliance, and maintain compliance with all compliance limits for the duration of interim status.
· Metals to be monitored during compliance testing are classified as either “critical” or “noncritical” metals.
— All metals must initially be classified as “critical” metals and be monitored on a daily basis.
— A “critical” metal may be reclassified as a “noncritical” metal if its concentration in the kiln dust remains below 10% of its “conservative” kiln dust metal concentration limit for 30 consecutive daily samples. “Noncritical” metals must be monitored on a weekly basis.
— A “noncritical” metal must be reclassified as a “critical” metal if its concentration in the kiln dust is above 10% of its “conservative” kiln dust metal concentration limit for any single daily or weekly sample.
· Noncompliance with the sampling and analysis schedule prescribed by this method is a violation of the metals controls under section 66266.103.
· Follow the sampling, compositing, and analytical procedures described in this method and in SW-846 as they pertain to the condition and accessibility of the kiln dust.
· Follow the same procedures and sample at the same locations as were used for kiln dust samples collected to determine the enrichment factors (as discussed in Step 2).
· Samples must be collected at least once every 8 hours, and a daily composite must be prepared according to SW-846 procedures.
— At least one composite sample is required. This sample is referred to as the “required” sample.
— For QA/QC purposes, a facility may elect to collect two or more additional samples. These samples are referred to as the “spare” samples. These additional samples must be collected over the same time period and according to the same procedures as those used for the “required” sample.
— Samples for “critical” metals must be daily composites.
— Samples for “noncritical” metals must be weekly composites. These samples can be composites of the original 8-hour samples, or they can be composites of daily composite samples.
· Analyze the “required” sample to determine the concentration of each metal.
— This analysis must be completed within 48 hours of the close of the sampling period. Failure to meet this schedule is a violation of the metals standards of section 66266.103.
· If the “conservative” kiln dust metal concentration limit is exceeded for any metal, refer to Step 8.
· If the “conservative” kiln dust metal concentration limit is not exceeded, continue with the daily or weekly monitoring (Step 5) for the duration of interim status.
· Conduct quarterly enrichment factor verification tests, as described in Step 6.
(6) Conduct quarterly enrichment factor verification tests.
· After certification of compliance with the metals standards, a facility must conduct quarterly enrichment factor verification tests every three months for the duration of interim status. The first quarterly test must be completed within three months of certification (or recertification). Each subsequent quarterly test must be completed within three months of the preceding quarterly test. Failure to meet this schedule is a violation.
· Simultaneous stack samples and kiln dust samples must be collected.
· Follow the same procedures and sample at the same locations as were used for kiln dust samples and stack samples collected to determine the enrichment factors (as discussed in Step 2).
· At least three single (noncomposite) runs are required. These tests need not be conducted under the operating conditions of the initial compliance test; however, the facility must operate under the following conditions:
— It must operate at compliance test production rate.
— It must burn hazardous waste during the test, and for the 2-day period immediately preceding the test, such that the feedrate of each metal for pumpable and total hazardous wastes consist of at least 25% of the operating limits established during the compliance test.
— It must remain in compliance with all compliance parameters (see section 66266.103(c)(1).
— It must follow a normal schedule of kiln dust recharging.
— It must generate normal marketable product from normal raw materials during the tests.
(7) Conduct a statistical test to determine if the enrichment factors measured in the quarterly verification tests have increased significantly from the enrichment factors determined in the tests conducted in Step 2. The enrichment factors have increased significantly if all three of the following criteria are met:
· By applying the t-test described in appendix A, it is determined that the enrichment factors measured in the quarterly tests are not taken from the same population as the enrichment factors measured in the Step 2 tests;
· The EF95%; calculated for the combined data sets (i.e., the quarterly test data and the original Step 2 test data) according to the t-distribution (described in appendix A) is more than 10% higher than the EF95%; based on the enrichment factors previously measured in Step 2; and
· The highest measured kiln dust metal concentration recorded in the previous quarter is more than 10% of the “violation” kiln dust concentration limit that would be calculated from the combined EF95%;.
If the enrichment factors have increased significantly, the tests to determine the enrichment factors must be repeated (refer to Step 11). If the enrichment factors have not increased significantly, continue to use the kiln dust metal concentration limits based on the enrichment factors previously measured in Step 2, and continue with the daily and/or weekly monitoring described in Step 5.
(8) If the “conservative” kiln dust metal concentration limit was exceeded for any metal in any single analysis of the “required” kiln dust sample, the “spare” samples corresponding to the same period may be analyzed to determine if the exceedance was due to a sampling or analysis error.
· If no “spare” samples were taken, refer to Step 9.
· If the average of all the samples for a given day (or week, as applicable) (including the “required” sample and the “spare” samples) does not exceed the “conservative” kiln dust metal concentration limit, no corrective measures are necessary; continue with the daily and/or weekly monitoring as described in Step 5.
· If the average of all samples for a given day (or week, as applicable) exceeds the “conservative” kiln dust metal concentration limit, but the average of the “spare” samples is below the “conservative” kiln dust metal concentration limit, apply the Q-test, described in appendix A, to determine whether the “required” sample concentration can be judged as an outlier.
— If the “required” sample concentration is judged an outlier, no corrective measures are necessary; continue with the daily and/or weekly monitoring described in Step 5.
— If the “required” sample concentration is not judged an outlier, refer to Step 9.
(9) Determine if the “violation” kiln dust metal concentration has been exceeded based on either the average of all the samples collected during the 24-hour period in question, or if discarding an outlier can be statistically justified by the Q-test described in appendix A, on the average of the remaining samples.
· If the “violation” kiln dust metal concentration limit has been exceeded, a violation of the metals controls under section 66266.103(c) has occurred. Notify the Director that a violation has occurred. Hazardous waste may be burned for testing purposes for up to 720 operating hours to support a revised certification of compliance. Note that the Director may grant an extension of the hours of hazardous waste burning under section 66266.103(c)(7) if additional burning time is needed to support a revised certification for reasons beyond the control of the owner or operator. Until a revised certification of compliance is submitted to the Director, the feedrate of the metals in violation in total and pumpable hazardous waste feeds is limited to 50% of the previous compliance test limits.
· If the “violation” kiln dust metal concentration has not been exceeded:
— If the exceedance occurred in a daily composite sample, refer to Step 10.
— If the exceedance occurred in a weekly composite sample, refer to Step 11.
(10) Determine if the “conservative” kiln dust metal concentration limit has been exceeded more than three times in the last 60 days.
· If not, log this exceedance and continue with the daily and/or weekly monitoring (Step 5).
· If so, the tests to determine the enrichment factors must be repeated (refer to Step 11).
· This determination is made separately for each metal; For example,
— Three exceedances for each of the ten hazardous metals are allowed within any 60-day period.
— Four exceedances of any single metal in any 60-day period is not allowed.
· This determination should be made daily, beginning on the first day of daily monitoring. For example, if four exceedances of any single metal occur in the first four days of daily monitoring, do not wait until the end of the 60-day period; refer immediately to Step 11.
(11) The tests to determine the enrichment factor must be repeated if: (1) More than three exceedances of the “conservative” kiln dust metal concentration limit occur within any 60 consecutive daily samples; (2) an excursion of the “conservative” kiln dust metal concentration limit occurs in any weekly sample; or (3) a quarterly test indicates that the enrichment factors have increased significantly.
· The facility must notify the Director if these tests must be repeated.
· The facility has up to 720 hazardous-waste burning hours to redetermine the enrichment factors for the metal or metals in question and to recertify (beginning with a return to Step 2). During this period, the facility must reduce the feed rate of the metal in violation by 50%. If the facility has not completed the recertification process within this period, it must stop burning or obtain an extension. Hazardous waste burning may resume only when the recertification process (ending with Step 4) has been completed.
· Meanwhile, the facility must continue with daily kiln dust metals monitoring (Step 5) and must remain in compliance with the “violation” kiln dust metal concentration limits (Step 9).

10.6 Precompliance Procedures
Cement kilns and other industrial furnaces that recycle emission control residue back into the furnace must comply with the same certification schedules and procedures (with the few exceptions described below) that apply to other boilers and industrial furnaces. These schedules and procedures, as set forth in section 66266.103, require no later than the effective date of the rule, each facility submit a certification which establishes precompliance limits for a number of compliance parameters (see section 66266.103(b)(3)), and that each facility immediately begin to operate under these limits.
These precompliance limits must ensure that interim status emissions limits for hazardous metals, particulate matter, HCl, and Cl2 are not likely to be exceeded. Determination of the values of precompliance limits must be made based on either (1) conservative default assumptions in this Methods Manual, or (2) engineering judgement.
The flowchart for implementing the precompliance procedures is shown in Figure 10.6-1. The step-by-step precompliance implementation procedure is described below. The precompliance implementation procedures and numbering scheme are similar to those used for the compliance procedures described in Subsection 10.5.
(1) Prepare initial limits and test plans.
· Determine the Tier III metal emission limit. The Tier II metal emission limit may also be used (see section 66266.106).
· Determine the applicable PM emission standard. This standard is the most stringent particulate emission standard that applies to the facility. A facility may elect to restrict itself to an even more stringent self-imposed PM emission standard, particularly if the facility finds that it is easier to control particulate emissions than to reduce the kiln dust concentration of a certain metal (i.e., lead).
· Determine which metals need to be monitored (i.e., all hazardous metals for which Tier III emission limits are lower than PM emission limits, assuming PM is pure metal).
· Follow the procedures described in SW-846 for preparing waste analysis plans for the following tasks:
— Analysis of hazardous waste feedstreams.
— Daily and/or weekly monitoring of kiln dust concentrations for continuing compliance.
(2) Determine the “safe” enrichment factor for precompliance. In this context, the “safe” enrichment factor is a conservatively high estimate of the enrichment factor (the ratio of the emitted metal concentration to the metal concentration in the collected kiln dust). The “safe” enrichment factor must be calculated from either conservative default values, or engineering judgement.

View Graphic
· Conservative default values for the “safe” enrichment factor are as follows:
— SEF = 10 for all hazardous metals except mercury. SEF = 10 for antimony, arsenic, barium, beryllium, cadmium, chromium, lead, silver, and thallium.
— SEF = 100 for mercury.
· Engineering judgement may be used in place of conservative default assumptions provided that the engineering judgement is defensible and properly documented. The facility must keep a written record of all assumptions and calculations necessary to justify the SEF. The facility must provide this record to Department upon request and must be prepared to defend these assumptions and calculations.
Examples of situations where the use of engineering judgement is appropriate include:
— Use of data from precompliance tests;
— Use of data from previous compliance tests; and
— Use of data from similar facilities.
(3) This step does not apply to precompliance procedures.
(4) Prepare certification of precompliance.
· Calculate the “conservative” dust metal concentration limit (DMCLc) using Equation 5.
· Submit certification of precompliance. This certification must include precompliance limits for all compliance parameters that apply to other boilers and industrial furnaces (i.e., those that do not recycle emission control residue back into the furnace) as listed in section 66266.103(b)(3), except that it is not necessary to set precompliance limits on maximum feedrate of each hazardous metal in all combined feedstreams.
· Furnaces that recycle collected PM back into the furnace (and that elect to comply with this method (see section 66266.103(c)(3)(ii)) are subject to a special precompliance parameter, however. They must establish precompliance limits on the maximum concentration of each hazardous metal in collected kiln dust. (which must be set according to the procedures described above).
(5) Monitor metal concentration in kiln dust for continuing compliance, and maintain compliance with all precompliance limits until certification of compliance has been submitted.
· Metals to be monitored during precompliance testing are classified as either “critical” or “noncritical” metals.
— All metals must initially be classified as “critical” metals and be monitored on a daily basis.
— A “critical” metal may be reclassified as a “noncritical” metal if its concentration in the kiln dust remains below 10% of its “conservative” kiln dust metal concentration limit for 30 consecutive daily samples. “Noncritical” metals must be monitored on a weekly basis, at a minimum.
— A “noncritical” metal must be reclassified as a “critical” metal if its concentration in the kiln dust is above 10% of its “conservative” kiln dust metal concentration limit for any single daily or weekly sample.
· It is a violation if the facility fails to analyze the kiln dust for any “critical” metal on any single day or for any “noncritical” metal during any single week, when hazardous waste is burned.
· Follow the sampling, compositing, and analytical procedures described in this method and in SW-846 as they pertain to the condition and accessibility of the kiln dust.
· Samples must be collected at least once very 8 hours, and a daily composite prepared according to SW-846 procedures.
— At least one composite sample is required. This sample is referred to as the “required” sample.
— For QA/QC purposes, a facility may elect to collect two or more additional samples. These samples are referred to as the “spare” samples. These additional samples must be collected over the same time period and according to the same procedures as those used for the “required” sample.
— Samples for “critical” metals must be daily composites.
— Samples for “noncritical” metals must be weekly composites, at a minimum. These samples can be composites of the original 8-hour samples, or they can be composites of daily composite samples.
· Analyze the “required” sample to determine the concentration of each metal.
— This analysis must be completed within 48 hours of the close of the sampling period. Failure to meet this schedule is a violation.
· If the “conservative” kiln dust metal concentration limit is exceeded for any metal, refer to Step 8.
· If the “conservative” kiln dust metal concentration limit is not exceeded, continue with the daily and/or weekly monitoring (Step 5) for the duration of interim status.
(6) This step does not apply to precompliance procedures.
(7) This step does not apply to precompliance procedures.
(8) If the “conservative” kiln dust metal concentration limit was exceeded for any metal in any single analysis of the “required” kiln dust sample, the “spare” samples corresponding to the same period may be analyzed to determine if the exceedance is due to a sampling or analysis error.
· If no “spare” samples were taken, refer to Step 9.
· If the average of all the samples for a given day (or week, as applicable) (including the “required” sample and the “spare” samples) does not exceed the “conservative” kiln dust metal concentration limit, no corrective measures are necessary; continue with the daily and/or weekly monitoring as described in Step 5.
· If the average of all the samples for a given day (or week, as applicable) exceeds the “conservative” kiln dust metal concentration limit. but the average of the “spare” samples is below the “conservative” kiln dust metal concentration limit, apply the Q-test, described in appendix A, to determine whether the “required” sample concentration can be judged as an outlier.
— If the “required” sample concentration is judged an outlier, no corrective measures are necessary; continue with the daily and/or weekly monitoring described in Step 5.
— If the “required” sample concentration is not judged an outlier, refer to Step 10.
(9) This step does not apply to precompliance procedures.
(10) Determine if the “conservative” kiln dust metal concentration limit has been exceeded more than three times in the last 60 days.
· If not, log this exceedance and continue with the daily and/or weekly monitoring (Step 5).
· If so, the tests to determine the enrichment factors must be repeated (refer to Step 11).
· This determination is made separately for each metal; for example
— Three exceedances for each of the ten hazardous metals are allowed within any 60-day period.
— Four exceedances of any single metal is any 60-day period is not allowed.
· This determination should not be made daily, beginning on the first day of daily monitoring. For example, if four exceedances of any single metal occur in the first four days of daily monitoring, do not wait until the end of the 60-day period; refer immediately to Step 11.
(11) A revised certification of compliance must be submitted to the Director (or certification of compliance must be submitted) if: (1) More than three exceedances of the “conservative” kiln dust metal concentration limit occur within any 60 consecutive daily samples; or (2) an exceedance of the “conservative” kiln dust metal concentration limit occurs in any weekly sample.
· The facility must notify the Director if a revised certification of precompliance must be submitted.
· The facility has up to 720 waste-burning hours to submit a certification of compliance or a revised certification of precompliance. During this period, the feed rate of the metal in violation must be reduced by 50%. In the case of a revised certification of precompliance, engineering judgement must be used to ensure that the “conservative” kiln dust metal concentration will not be exceeded. Examples of how this goal might be accomplished include:
— Changing equipment or operating procedures to reduce the kiln dust metal concentration;
— Changing equipment or operating procedures, or using more detailed engineering judgement, to decrease the estimated SEF and thus increase the “conservative” kiln dust metal concentration limit;
— Increasing the “conservative” kiln dust metal concentration limit by imposing a stricter PM emissions standard; or
— Increasing the “conservative” kiln dust metal concentration limit by performing a more detailed risk assessment to increase the metal emission limits.
· Meanwhile, the facility must continue with daily kiln dust metals monitoring (Step 5).

Appendix A to Appendix IX—Statistics

A.1 Determination of Enrichment Factor
After at least 10 initial emissions tests are performed, an enrichment factor for each metal must be determined. At the 95% confidence level, the enrichment factor, EF95%;s, is based on the test results and is statistically determined so there is only a 5% chance that the enrichment factor at any given time will be larger than EF95%;. Similarly, at the 99% confidence level, the enrichment factor, EF99%;, is statistically determined so there is only a 1% chance that the enrichment factor at any given time will be larger than EF99%;.
For a large number of samples (n > 30), EF95%; is based on a normal distribution, and is equal to:
EF95%; = EF + zcs (1)
where:

View Graphic
For a 95% confidence level, zc is equal to 1.645.
For a small number of samples (n < 30), EF95%; is based on the t - distribution and is equal to:
EF95%; = EF + tc S (4)
where the standard deviation, S, is defined as:

View Graphic
tc is a function of the number of samples and the confidence level that is desired. It increases in value as the sample size decreases and the confidence level increases. The 95% confidence level is used in this method to calculate the “violation” kiln dust metal concentration limit; and the 99% confidence level is sometimes used to calculate the “conservative” kiln dust metal concentration limit. Values of tc are shown in table A-1 for various degrees of freedom (degrees of freedom = sample size-1) at the 95% and 99% confidence levels. As the sample size approaches infinity, the normal distribution is approached.

A.2 Comparison of Enrichment Factor Groups
To determine if the enrichment factors measured in the quarterly tests are significantly different from the enrichment factors determined in the initial Step 2 tests, the t-test is used. In this test, the value tmeas:

View Graphic
Table A-1.—T-Distribution

View Graphic

is compared to tcrit at the desired confidence level. The 95% confidence level is used in this method. Values of tcrit are shown in table A-1 for various degrees of freedom (degrees of freedom n1 + n2 - 2) at the 95% and 99% confidence levels. If tmeas is greater then tcrit, it can be concluded with 95% confidence that the two groups are not from the same population.

A.3 Rejection of Data
If the concentration of any hazardous metal in the “required” kiln dust sample exceeds the kiln dust metal concentration limit, the “spare” samples are analyzed. If the average of the combined “required” and “spare” values is still above the limit, a statistical test is used to decide if the upper value can be rejected.
The “Q-test” is used to determine if a data point can be rejected. The difference between the questionable result and its neighbor is divided by the spread of the entire data set. The resulting ratio, Qmeas, is then compared with rejection values that are critical for a particular degree of confidence, where Qmeas is:

View Graphic
The 90% confidence level for data rejection is used in this method. Table A-2 provides the values of Qcrit at the 90% confidence level. If Qmeas is larger than Qcrit, the data point can be discarded. Only one data point from a sample group can be rejected using this method.

Table A-2.--Critical Values for Use in 
the  Q-Test

View Graphic
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix IX.
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Change without regulatory effect amending appendix IX filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
3. Repealer and new section 3.0 and repealer of sections 3.1-3.6.9.4 filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
4. Change without regulatory effect amending appendix filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
5. Change without regulatory effect amending appendix filed 1-13-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 2).

Appendix X—[Reserved]
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix X.
HISTORY

1. Change without regulatory effect amending Note filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).

Appendix XI—Lead-Bearing Materials That May Be Processed in Exempt Lead Smelters
A. Exempt Lead-Bearing Materials When Generated or Originally Produced By Lead-Associated Industries1
Acid dump/fill solids
Sump mud
Materials from laboratory analyses
Acid filters
Baghouse bags
Clothing (e.g., coveralls, aprons, shoes, hats, gloves)
Sweepings
Air filter bags and cartridges
Respiratory cartridge filters
Shop abrasives
Stacking boards
Waste shipping containers (e.g., cartons, bags, drums, cardboard)
Paper hand towels
Wiping rags and sponges
Contaminated pallets
Water treatment sludges, filter cakes, residues, and solids
Emission control dusts, sludges, filter cakes, residues, and solids from lead-associated industries (e.g., K069 and D008 wastes)
Spent grids, posts, and separators
Spent batteries
Lead oxide and lead oxide residues
Lead plates and groups
Spent battery cases, covers, and vents
Pasting belts
Water filter media
Cheesecloth from pasting rollers
Pasting additive bags
Asphalt paving materials
B. Exempt Lead-Bearing Materials When Generated or Originally Produced By Any Industry
Charging jumpers and clips
Platen abrasive
Fluff from lead wire and cable casings
Lead-based pigments and compounding pigment dust
FOOTNOTE: 1Lead-associated industries are lead smelters, lead-acid battery manufacturing, and lead chemical manufacturing (e.g., manufacturing of lead oxide or other lead compounds).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix XI.
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).

Appendix XII—Nickel or Chromium-Bearing Materials That May Be Processed in Exempt Nickel-Chromium Recovery Furnaces
A. Exempt Nickel or Chromium-Bearing Materials when Generated by Manufacturers or Users of Nickel, Chromium, or Iron
Baghouse bags
Raney nickel catalyst
Floor sweepings
Air filters
Electroplating bath filters
Wastewater filter media
Wood pallets
Disposable clothing (coveralls, aprons, hats, and gloves)
Laboratory samples and spent chemicals
Shipping containers and plastic liners from containers or vehicles used to transport nickel or chromium-containing wastes
Respirator cartridge filters
Paper hand towels
B. Exempt Nickel or Chromium-Bearing Materials when Generated by Any Industry
Electroplating wastewater treatment sludges (F006)
Nickel and/or chromium-containing solutions
Nickel, chromium, and iron catalysts
Nickel-cadmium and nickel-iron batteries
Filter cake from wet scrubber system water treatment plants in the specialty steel industry1
Filter cake from nickel-chromium alloy pickling operations1
FOOTNOTE: 1If a hazardous waste under an authorized State program.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix XII.
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Change without regulatory effect amending appendix filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).

Appendix XIII--Mercury Bearing Wastes That May Be Processed in Exempt Mercury Recovery Units
These are exempt mercury-bearing materials with less than 500 ppm of Chapter 11, appendix VIII organic constituents when generated by manufacturers or users of mercury or mercury products.
Activated carbon
Decomposer graphite
Wood
Paper
Protective clothing
Sweepings
Respiratory cartridge filters
Cleanup articles
Plastic bags and other contaminated containers
Laboratory and process control samples
K106 and other wastewater treatment plant sludge and filter cake
Mercury cell sump and tank sludge
Mercury cell process solids
Recoverable levels or mercury contained in soil
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR part 266, Appendix XIII.
HISTORY

1. New appendix filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Change without regulatory effect amending appendix filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
Chapter 17. Military Munitions
§66267.10. Definition of Waste.
Note     •     History

For purposes of sections 25200.10 and 25187 of the Health and Safety Code, a used or fired military munition is a waste, and, therefore, is potentially subject to corrective action authorities under sections 25200.10 and 25187 of the Health and Safety Code if the munition lands off-range and is not promptly rendered safe and/or retrieved. Any imminent and substantial threats associated with any remaining material shall be addressed. If a remedial action is infeasible, the operator of the range shall maintain a record of the event for as long as any threat remains. The record shall include the type of munition and its location (to the extent the location is known). For the purposes of this section, the term “military munitions” is as defined in 40 Code of Federal Regulations section 260.10. The requirements of this section apply only to military munitions that are regulated under the federal act, as defined in Health and Safety Code section 25115.1.
NOTE

Authority cited: Sections 25150, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Section 25115.1, Health and Safety Code; and 40 Code of Federal Regulations Sections 260.10 and 266.02.
HISTORY

1. Change without regulatory effect adding Chapter 17 (section 66267.10) and section filed 4-13-2007 pursuant to Health and Safety Code section 25159.1 (Register 2007, No. 15).
Chapter 18. Land Disposal Restrictions
Article 1. General
§66268.1. Purpose, Scope and Applicability.
Note     •     History

(a) This chapter identifies hazardous wastes that are restricted from land disposal and defines those limited circumstances under which an otherwise prohibited waste may continue to be land disposed.
(b) Except as specifically provided otherwise in this chapter or chapter 11 of this division, the requirements of this chapter apply to persons who generate or transport hazardous waste and owners and operators of hazardous waste treatment, storage, and disposal facilities.
(c) Restricted wastes may continue to be land disposed as follows:
(1) where persons have been granted an extension to the effective date of a prohibition under article 3 of this chapter or pursuant to section 66268.5, with respect to those wastes covered by the extension;
(2) Where persons have been granted an exemption from a prohibition pursuant to a petition under section 66268.6, with respect to those wastes and units covered by the petition;
(3) RCRA hazardous wastes that are hazardous only because they exhibit a hazardous characteristic, and which are otherwise prohibited under this chapter, are not prohibited if the wastes:
(A) Are disposed into a nonhazardous or hazardous injection well; and
(B) Do not exhibit any prohibited characteristic of hazardous waste identified in sections 66261.21, 66261.22(a)(1), 66261.22(a)(2), 66261.23, and 66261.24(a)(1) at the point of injection.
(4) RCRA hazardous wastes that are hazardous only because they exhibit a hazardous characteristic, and which are otherwise prohibited under this chapter, are not prohibited if the wastes meet any of the following criteria, unless the wastes are subject to a specified method of treatment other than DEACT in section 66268.40, or are D003 reactive cyanide:
(A) The wastes are managed in a treatment system which subsequently discharges to waters of the U.S. pursuant to a permit issued under section 402 of the Clean Water Act; or
(B) The wastes are treated for purposes of the pretreatment requirements of section 307 of the Clean Water Act; or
(C) The wastes are managed in a zero discharge system engaged in Clean Water Act-equivalent treatment as defined in section 66268.37; and
(D) The wastes no longer exhibit a prohibited characteristic in sections 66261.21, 66261.22(a)(1), 66261.22(a)(2), 66261.23, and 66261.24(a)(1) at the point of land disposal (i.e., placement in a surface impoundment).
(5) where persons who own or operate a land treatment facility have been granted by the Department an exemption allowing the disposal of restricted hazardous waste in the land treatment facility pursuant to Health and Safety Code section 25179.12;
(6) where persons who own or operate a surface impoundment have been granted by the Department an exemption allowing the treatment of restricted waste in the surface impoundment in accordance with Health and Safety Code section 25179.11;
(7) where restricted hazardous waste in lab packs has not been restricted or prohibited by the USEPA pursuant to RCRA section 3004 (42 U.S.C. section 6924), as amended.
(d) The requirements of this chapter shall not affect the availability of a waiver under section 121(d)(4) of CERCLA (42 U.S.C. section 9621).
(e) The following hazardous wastes are not subject to any provision of chapter 18:
(1) RCRA hazardous waste generated by small quantity generators of less than 100 kilograms of non-acute hazardous waste or less than 1 kilogram of acute hazardous waste per month, as defined in 40 CFR section 261.5;
(2) waste pesticides that a farmer disposes of pursuant to section 66262.70;
(3) solid hazardous wastes generated in the clean up or decontamination of any site contaminated only by hazardous wastes which have not been restricted or prohibited by the USEPA pursuant to section 3004 of the RCRA (42 U.S.C. section 6924), as amended, and which have complied with California Health and Safety Code section 25179.5(a)(4).
(4) Wastes identified or listed as RCRA hazardous waste after November 8, 1984 for which the Department has not promulgated land disposal prohibitions or treatment standards;
(5) De minimis losses to wastewater treatment systems of the following wastes: commercial chemical product or chemical intermediates that are ignitable (D001); corrosive (D002); or are organic constituents that exhibit the characteristic of toxicity (D012-D043); and that contain underlying hazardous constituents as defined in section 66260.10, are not considered to be prohibited wastes. De minimis losses are defined as losses from normal material handling operations: (e.g. spills from the unloading or transfer of materials from bins or other containers, leaks from pipes, valves or other devices used to transfer materials); minor leaks of process equipment; storage tanks or containers; leaks from well-maintained pump packings and seals; sample purgings; and relief device discharges; discharges from safety showers and rinsing and cleaning of personal safety equipment; and rinsate from empty containers or from containers that are rendered empty by that rinsing.
(f) Effective May 8, 1990, all hazardous wastes are prohibited from land disposal unless the wastes have been exempted, granted a variance or granted an extension under this chapter or pursuant to California Health and Safety Code sections 25179.8, 25179.9, 25179.10, 25179.11 and 25179.12, unless the wastes meet the applicable treatment standards specified under article 4 and article 11 of this chapter, or 40 CFR part 268 or unless the wastes have a treatment standard that has been repealed pursuant to Health and Safety Code section 25179.6.
(g) Persons who manage universal waste are exempt from sections 66268.7 and 66268.50. These persons are subject to regulation under chapter 23 when managing universal wastes listed in section 66261.9 of this division.
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25159, 25179.6, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25118, 25141, 25150, 25159, 25159.5, 25179.3, 25179.6, 25179.7, 25179.8, 25179.9, 25179.10, 25179.11, 25179.12, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 268.1.
HISTORY

1. New section with renumbering and amendment of former section 66826 to subsections (g), (h) and (i) filed 5-24-91; operative 7-1-91 (Register 91, No. 22). A Certificate of Compliance for 5-6-91 order must be transmitted to OAL by 9-3-91 or the emergency language will be repealed by operation of law on the following day.
2. Emergency order of 5-6-91 adopting subsections (g)-(i) refiled 9-3-91 as an emergency; operative 9-3-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 1-2-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (g)-(i) refiled, including further amendments and new subsection (j) filed 12-26-91 as an emergency; operative 12-26-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 4-24-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (g), (h), (i) and (j) refiled 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
5. Repealer of emergency amendments and reinstatement of prior text filed 11-2-92 by operation of Government Code section 11346.1(f) (Register 92, No. 45).
6. Amendment of section and Note filed 3-1-93; operative 3-1-93 (Register 93, No. 10).
7. Amendment of subsection (c)(1) and new subsections (e)(3) and (e)(4) filed 1-31-96; operative 1-31-96 (Register 96, No. 5). 
8. Amendment of subsections (e)(2) and (g)-(i) filed 7-23-97; operative 8-22-97 (Register 97, No. 30).
9. Change without regulatory effect repealing subsection (h) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
10. Change without regulatory effect amending section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
11. New subsections (g)-(g)(3) and amendment of Note filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
12. New subsections (g)-(g)(3) and amendment of Note refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
13. New subsections (g)-(g)(3) and amendment of Note refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
14. New subsections (g)-(g)(3) and amendment of Note refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
15. New subsections (g)-(g)(3) and amendment of Note refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
16. New subsections (g)-(g)(3) and amendment of Note refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
18. Amendment of subsection (g), repealer of subsections (g)(1)-(3) and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
19. Amendment of subsection (g) and Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
20. Change without regulatory effect amending subsection (f) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
21. Change without regulatory effect amending subsection (e)(5) filed 7-23-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 30).
§66268.2. Definitions Applicable in This Chapter.
Note     •     History

Definitions of terms applicable in this chapter are provided under section 66260.10.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 268.2.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66268.3. Dilution Prohibited As a Substitute for Treatment.
Note     •     History

(a) No generator, transporter, handler, or owner or operator of a treatment, storage, or disposal facility shall in any way dilute a restricted waste or the residual from treatment of a restricted waste as a substitute for adequate treatment to achieve compliance with article 4 or article 11 of this chapter, to circumvent the effective date of a prohibition in article 3 or article 10 of this chapter, to otherwise avoid a prohibition in article 3 or article 10 of this chapter, or to circumvent a land disposal prohibition imposed by RCRA section 3004 (42 U.S.C. section 6924).
(b) Combustion of the hazardous waste codes listed in Appendix XI of this chapter is prohibited, unless the waste, at the point of generation, or after any bona fide treatment such as cyanide destruction prior to combustion, can be demonstrated to comply with one or more of the following criteria (unless otherwise specifically prohibited from combustion):
(1) The waste contains hazardous organic constituents or cyanide at levels exceeding the constituent-specific treatment standard found in section 66268.48;
(2) The waste consists of organic, debris-like materials (e.g., wood paper, plastic, or cloth) contaminated with an inorganic metal-bearing hazardous waste;
(3) The waste, at point of generation, has reasonable heating value such as greater than or equal to 5000 BTU per pound;
(4) The waste is co-generated with wastes for which combustion is a required method of treatment;
(5) The waste is subject to Federal and/or State requirements necessitating reduction of organics (including biological agents); or
(6) The waste contains greater than 1% Total Organic Carbon (TOC).
(c) It is a form of impermissible dilution, and therefore prohibited, to add iron filings or other metallic forms of iron to lead-containing hazardous wastes in order to achieve any land disposal restriction treatment standard for lead. Lead-containing wastes include D008 wastes (wastes exhibiting a characteristic due to the presence of lead), all characteristic wastes containing lead as an underlying hazardous constituent, listed wastes containing lead as a regulated constituent, and hazardous media containing any of the aforementioned lead-containing wastes.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 268.3.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect redesignating and amending first paragraph as subsection (a) and adding new subsections (b)-(c) filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
§66268.5. Procedures for Case-By-Case Extensions to an Effective Date.
Note     •     History

(a) Any person who generates, treats, stores, or disposes of a hazardous waste may submit an application to the Department, for non-RCRA hazardous wastes, or the U.S. EPA Administrator, for RCRA hazardous wastes, for an extension to the effective date of any applicable restriction established under article 3 of this chapter.
(b) For hazardous waste subject to RCRA land disposal restrictions set forth in article 4 of this chapter, the applicant shall petition the U.S. EPA Administrator for a case-by-case extension pursuant to 40 CFR section 268.5. Within 30 days after the applicant has received from the U.S. EPA Administrator an approved petition for a case-by-case extension, the applicant shall submit to the Department a copy of the approved case-by-case extension.
(c) For hazardous waste listed in section 66268.29 of this chapter subject to non-RCRA land disposal restrictions set forth in article 11 of this chapter, the applicant shall petition the Department for a case-by-case extension pursuant to this section. Each applicant for an extension shall demonstrate that all of the following conditions apply to the waste.
(1) The hazardous waste cannot be recycled, reused, or treated to meet the standards adopted by the Department pursuant to section 25179.6, California Health and Safety Code, at a commercial off-site hazardous waste facility in the state.
(2) Recycling or treatment alternatives cannot be provided at the site of generation.
(3) Measures have been, or will be, taken to reduce the generation of the hazardous waste.
(4) Land disposal of the hazardous waste is in compliance with all existing statutes and regulations.
(5) Circumstances beyond the control of the applicant, such as delays in the issuance of a permit, have prevented the development of the needed capacity by the date established under this chapter.
(d) An extension will apply only to the waste generated at the individual facility covered by the application and will not apply to restricted waste from any other facility.
(e) On the basis of the information referred to in subsections (a), (b), and (c) of this section, the Department may grant an extension of up to 1 year from the effective date. The Department may renew this extension for up to 1 additional year upon the request of the applicant if the demonstration required in subsections (a), (b), and (c) of this section can still be made. In no event will an extension extend beyond 24 months from the applicable effective date specified in article 3 of chapter 18. The length of any extension authorized will be determined by the Department based on the time required to construct or obtain the type of capacity needed by the applicant. 
(f) Any person granted an extension under this section shall immediately notify the Department as soon as the person has knowledge of any change in the conditions certified to in the application.
(g) Any person granted an extension under this section shall submit written progress reports to the Department at intervals designated by the Department. Such reports shall describe the overall progress made toward constructing or otherwise providing alternative treatment, recovery or disposal capacity, shall identify any event which may cause or has caused a delay in the development of the capacity, and shall summarize the steps taken to mitigate the delay. The Department can revoke the extension at any time if the applicant does not demonstrate a good-faith effort to meet the schedule for completion, if the Department denies or revokes any required permit, if conditions certified in the application change, or for any violation of this division.
(h) Whenever the Department establishes an extension to an effective date under this section, during the period for which such extension is in effect:
(1) the storage restrictions under section 66268.50(a) do not apply; and
(2) such hazardous waste may be disposed in a landfill or surface impoundment only if such unit is in compliance with the technical requirements of the following provisions regardless of whether such unit is existing, new or a replacement or lateral expansion:
(A) the landfill, if in interim status, is in compliance with the requirements of article 6 of chapter 15 and section 66265.301(a), (c), and (d) of this division; or,
(B) the landfill, if permitted, is in compliance with the requirements of article 6 of chapter 14 and section 66264.301(c), (d) and (e) of this division;
(C) the surface impoundment, if in interim status, is in compliance with the requirements of article 6 of chapter 15, section 66265.221(a), (c), and (d) of this division, and RCRA section 3005(j)(1); or
(D) the surface impoundment, if permitted, is in compliance with the requirements of article 6 of chapter 14 and section 66264.221(c), (d) and (e) of this division and California Health and Safety Code, division 20, chapter 6.5 article 9.5;
(E) as consistent with state law, the surface impoundment, if newly subject to RCRA section 3005(j)(1) (42 U.S.C. section 6925(j)(1)) due to the promulgation of additional listings or characteristics for the identification of hazardous waste, is in compliance with the requirements of article 6 of chapter 15 within 12 months after the promulgation of additional listings or characteristics of hazardous waste, and the requirements of section 66265.221(a), (c) and (d) of this division within 48 months after the promulgation of additional listings or characteristics of hazardous waste. If a national capacity variance is granted, during the period the variance is in effect, the surface impoundment, if newly subject to RCRA section 3005(j)(1) (42 U.S.C. section 6925(j)(1)) due to the promulgation of additional listings or characteristics of hazardous waste, is in compliance with the requirements of article 6 of chapter 15 within 12 months after the promulgation of additional listings or characteristics of hazardous waste, and with the requirements of section 66265.221 (a), (c) and (d) of this division within 48 months after the promulgation of additional listings or characteristics of hazardous waste; or
(F) the landfill, if disposing of containerized liquid hazardous wastes containing PCBs at concentrations greater than or equal to 50 ppm but less than 500 ppm, is also in compliance with the requirements of 40 CFR section 761.75 and chapters 14 and 15 of this division.
(i) Pending a decision on the application, the applicant is required to comply with all restrictions on land disposal under this chapter once the effective date for the waste has been reached.
(j) After receiving an application for an extension, the Department may request any additional information which it deems necessary to evaluate the application. Within 45 days of the receipt of the application, the Department shall inform the applicant, in writing, that the application is complete and accepted for filing, or that the application is deficient and what specific information is required.
(k) The Department shall make a decision on an application for an extension within 120 days of the filing of a completed application.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.8, Health and Safety Code; 40 CFR Section 268.5; Section 15376, Government Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Editorial correction amending subsection designator from (f)(9) to (g) (Register 92, No. 49).
3. New subsection (h)(2)(E) and subsection lettering filed 1-31-96; operative 1-31-96 (Register 96, No. 5).
4. Amendment of subsections (a)-(c) and (e)-(g) filed 7-23-97; operative 8-22-97 (Register 97, No. 30).
§66268.6. Petitions to Allow Land Disposal of a Waste Prohibited Under Article 3 of Chapter 18.
History

For hazardous waste subject to RCRA land disposal restrictions set forth in article 3 of this chapter, the applicant shall petition the U.S. EPA Administration for an exemption from a prohibition pursuant to 40 CFR section 268.6. Within 30 days after the applicant has received from the U.S. EPA Administrator an approved petition, the applicant shall submit to the Department a copy of the approved petition.
HISTORY

1. Change without regulatory effect adding new section filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66268.7. Testing, Tracking, and Recordkeeping Requirements for Generators, Treaters, and Disposal Facilities.
Note     •     History

(a) Requirements for generators:
(1) A generator of hazardous waste shall determine if the waste has to be treated before it can be land disposed. This is done by determining if the hazardous waste meets the treatment standards in article 4 or article 11 of this chapter. This determination can be made concurrently with the hazardous waste determination required in section 66262.11 of this division, in either of two ways: testing the waste or using knowledge of the waste. If the generator tests the waste, testing would normally determine the total concentration of hazardous constituents, or the concentration of hazardous constituents in an extract of the waste obtained using test method 1311 in “Test Methods of Evaluating Solid Waste, Physical/Chemical Methods,” “USEPA Publication SW-846, as referenced in section 66260.11 of this division, depending on whether the treatment standard for the waste is expressed as a total concentration or concentration of hazardous constituent in the waste's extract. Alternatively, the generator may send the waste directly to a hazardous waste treatment facility, where the hazardous waste treatment facility shall comply with all requirements of section 66264.13 of this division and paragraph (b) of this section. In addition, some hazardous wastes shall be treated by particular treatment methods before they can be land disposed and some soils are contaminated by such hazardous wastes. These treatment standards are also found in section 66268.40, and are described in detail in section 66268.42, Table 1. These wastes, and soils contaminated with such wastes, do not need to be tested (however, if they are in a waste mixture, other wastes with concentration level treatment standards would have to be tested). If a generator determines they are managing a waste or soil contaminated with a waste, that displays a hazardous characteristic of ignitability, corrosivity, reactivity, or toxicity, they shall comply with the special requirements of section 66268.9 of this chapter in addition to any applicable requirements in this section.
(2) Except as provided in subsection (B), if the waste or contaminated soil does not meet the treatment standard or if the generator chooses not to make the determination of how its waste shall be treated, with the initial shipment of waste to each treatment or storage facility, the generator shall send a one-time written notice to each treatment or storage facility receiving the waste, and place a copy in the file. The notice shall include the information in column “66268.7(a)(2)” of the Generator Paperwork Requirements Table in section 66268.7(a)(4). Alternatively, if the generator chooses not to make the determination of whether the waste shall be treated, the notification shall include the EPA Hazardous Waste Numbers and Manifest Number of the first shipment and shall state “This hazardous waste may or may not be subject to the LDR treatment standards. The treatment facility shall then make the appropriate determination.” No further notification is necessary until such time that the waste or facility change, in which case a new notification shall be sent and a copy placed in the generator's file.
(A) For contaminated soil, the following certification statement should be included, signed by an authorized representative:
I certify under penalty of law that I personally have examined this contaminated soil and it [does/does not] contain listed hazardous waste and [does/does not] exhibit a characteristic of hazardous waste and requires treatment to meet the soil treatment standards as provided by section 66268.49(c).
(B) If a generator determines that the generator is managing a restricted waste under section 66268.29 or prohibited waste under section 66268.32 and the waste does not meet the applicable treatment standards set forth in article 11 of this chapter, with each shipment of waste the generator shall notify the receiving facility in writing only if the receiving facility is a land disposal facility operating within California. The notice shall include the following information:
1. Non-RCRA hazardous waste Category listed in section 66268.29, if applicable;
2. the manifest number associated with the shipment of waste; and
3. waste analysis data, where available.
(3) If the waste or contaminated soil meets the treatment standard at the original point of generation:
(A) With the initial shipment of waste to each treatment, storage, or disposal facility, the generator shall send a one-time written notice to each treatment, storage, or disposal facility receiving the waste, and place a copy in the file. The notice shall include the information indicated in column “66268.7(a)(3)” of the Generator Paperwork Requirements Table in section 66268.7(a)(4) and the following certification statement, signed by an authorized representative:
I certify under penalty of law that I personally have examined and am familiar with the waste through analysis and testing or through knowledge of the waste to support this certification that the waste complies with the treatment standards specified in CCR, Title 22, division 4.5, chapter 18, article 4. I believe that the information I submitted is true, accurate, and complete. I am aware that there are significant penalties for submitting a false certification, including the possibility of a fine and imprisonment.
(B) For contaminated soil, with the initial shipment of wastes to each treatment, storage, or disposal facility, the generator shall send a one-time written notice to each facility receiving the waste and place a copy in the file. The notice shall include the information in “66268.7(a)(3)” of the Generator Paperwork Requirements Table in section 66268.7(a)(4).
(C) If the waste changes, the generator shall send a new notice and certification to the receiving facility, and place a copy in their files. Generators of hazardous debris excluded from the definition of hazardous waste under section 66261.3(e) are not subject to these requirements.
(D) If a generator determines that the generator is managing a restricted waste under section 66268.29 and subject to applicable treatment standards set forth in article 11 of this chapter or prohibited under section 66268.32 and determines that the waste can be land disposed without further treatment, with each shipment of waste the generator shall submit to the receiving facility a notice and a certification stating that the waste meets the applicable treatment standards set forth in article 11 of this chapter or the applicable prohibitions set forth in section 66268.32, only if the receiving facility is a land disposal facility operating within California. The notice shall include the following information:
1. Non-RCRA hazardous waste Category listed in section 66268.29, if applicable;
2. the manifest number associated with the shipment of waste; and
3. waste analysis data, where available.
The certification shall state:
I certify under penalty of law that I personally have examined and am familiar with the waste through analysis and testing or through knowledge of the waste to support this certification that the waste complies with the treatment standards specified in CCR, Title 22, division 4.5, chapter 18, article 11 [or all applicable prohibitions in section 66268.32]. I believe that the information I submitted is true, accurate, and complete. I am aware that there are significant penalties for submitting a false certification, including the possibility of a fine and imprisonment.
(4) For reporting, tracking, and recordkeeping when exceptions allow certain wastes or contaminated soil that do not meet the treatment standards to be land disposed: There are certain exemptions from the requirement that hazardous wastes or contaminated soil meet treatment standards before they can be land disposed. These include, but are not limited to case-by-case extensions under section 66268.5, disposal in a no-migration  unit under section 66268.6, or a national capacity variance or case-by-case capacity variance under article 3 of this chapter. If a generator's waste is so exempt, then with the initial shipment of waste, the generator shall send a one-time written notice to each land disposal facility receiving the waste. The notice shall include the information indicated in column “66268.7(a)(4)” of the Generator Paperwork Requirements Table in this subsection. If the waste changes, the generator shall send a new notice to the receiving facility, and place a copy in their files.

Generator Paperwork Requirements Table

View Graphic
(5) If a generator is managing and treating prohibited waste or contaminated soil in tanks, containers, or containment buildings regulated under 40 CFR 262.34 to meet applicable LDR treatment standards found at section 66268.40, the generator shall develop and follow a written waste analysis plan which describes the procedures they will carry out to comply with the treatment standards. (Generators treating hazardous debris under the alternative treatment standards of Table 1, section 66268.45, however, are not subject to these waste analysis requirements.) The plan shall be kept on site in the generator's records, and the following requirements shall be met:
(A) The waste analysis plan shall be based on a detailed chemical and physical analysis of a representative sample of the prohibited waste(s) being treated, and contain all information necessary to treat the waste(s) in accordance with the requirements of this chapter, including the selected testing frequency.
(B) Such plan shall be kept in the facility's on-site files and made available to inspectors.
(C) Wastes shipped off-site pursuant to this subsection shall comply with the notification requirements of section 66268.7(a)(3).
(6) If a generator determines that the waste or contaminated soil is restricted based solely on the generator's knowledge of the waste, all supporting data used to make this determination shall be retained on-site in the generator's files. If a generator determines that the waste is restricted based on testing this waste or an extract developed using the test method 1311 in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” USEPA Publication SW-846, as referenced in section 66260.11 of this division, and all waste analysis data shall be retained on-site in the generator's files.
(7) If a generator determines that the generator is managing a prohibited waste that is excluded from the definition of hazardous waste or waste or is exempted from hazardous waste regulation under CCR, Title 22, Chapter 11, section 66261.2 through 66261.6 or under the Health and Safety Code subsequent to the point of generation (including deactivated characteristic hazardous wastes managed in wastewater treatment systems subject to the federal Clean Water Act (CWA) as specified at CCR, Title 22, section 66261.4(a)(1) or that are federal CWA-equivalent, or are managed in an underground injection well regulated by the federal SDWA), the generator shall place a one-time notice describing such generation, subsequent exclusion from the definition of hazardous waste or waste or exemption from hazardous waste regulation, and the disposition of the waste, in the facility's on-site files.
(8) Generators shall retain on-site a copy of all notices, certifications, waste analysis data, and other documentation produced pursuant to this section for at least three years from the date that the waste that is the subject of such documentation was last sent to on-site or off-site treatment, storage, or disposal. The three year record retention period is automatically extended during the course of any unresolved enforcement action regarding the regulated activity or as requested by the Department. The requirements of this subsection apply to wastes even when the hazardous characteristic is removed prior to disposal, or when the waste is excluded from the definition of hazardous waste or waste under CCR, Title 22, sections 66261.2 through 66261.6 or under Health and Safety Code, or exempted from hazardous waste regulation, subsequent to the point of generation.
(9) If a generator is managing a lab pack containing hazardous wastes and wishes to use the alternative treatment standard for lab packs found at section 66268.42(c):
(A) With the initial shipment of waste to a treatment facility, the generator shall submit a notice that provides the information in column “66268.7(a)(9)” in the Generator Paperwork Requirements Table of subsection (a)(4) of this section, and the following certification. The certification, which shall be signed by an authorized representative and shall be placed in the generator's files, shall say the following:
I certify under penalty of law that I personally have examined and am familiar with the waste and that the lab pack contains only wastes that have not been excluded under appendix IV to CCR, Title 22, division 4.5, chapter 18 and that this lab pack will be sent to a combustion facility in compliance with the alternative treatment standards for lab packs under CCR, Title 22, division 4.5, chapter 18, section 66268.42(c). I am aware that there are significant penalties for submitting a false certification, including the possibility of fine or imprisonment.
(B) No further notification is necessary until such time that the wastes in the lab pack change, or the receiving facility changes, in which case a new notice and certification shall be sent and a copy placed in the generator's file.
(C) If the lab pack contains characteristic hazardous wastes (D001-D043), underlying hazardous constituents (as defined in section 66260.10) need not be determined.
(D) The generator shall also comply with the requirements in subsections (a)(6) and (a)(7) of this section.
(10) Small quantity generators of RCRA hazardous wastes with reclamation agreements established pursuant to the requirements of title 40 of the Code of Federal Regulations, section 262.20(e) and 263.20(h), as of those sections read on July 1, 2001, shall comply with the applicable notification and certification requirements of subsection (a) of this section for the initial shipment of the waste subject to the agreement. Such generators must retain on-site a copy of the notification and certification, together with the reclamation agreement, for at least three years after termination or expiration of the agreement. The three-year retention period is automatically extended during the course of any unresolved enforcement action regarding the regulated activity or as requested by the Department.
(11) If a generator determines that restricted asbestos-containing waste is being managed and that the waste can be land disposed without further treatment, with each shipment of waste, the generator shall submit to the receiving facility, a notice and a certification stating that the waste meets the applicable treatment standards set forth in section 66268.114, only if the receiving facility is a land disposal facility operating within California. Such generators shall retain a copy of the notification and certification at their principal place of business in California for at least three years. The three year period is automatically extended during the course of any unresolved enforcement action regarding the regulated activity or as requested by the Department. Generators who have been assigned by the Department the EPA identification number for residentials for asbestos-containing waste or a 90-day one time provisional EPA identification number for asbestos-containing waste are exempted from subsections (A) and (B) below.
(A) The notice shall include the following information:
1. The California Waste Code for asbestos-containing waste;
2. The corresponding treatment standard;
3. The manifest number associated with the shipment of waste;
(B) The certification shall be signed by an authorized representative and shall state the following:
“I warrant that I am an authorized representative of the generator. I certify under penalty of law that the waste complies with the treatment standards specified in CCR, Title 22, Division 4.5, Chapter 18, section 66268.114. I believe that the information I submitted is true, accurate, and complete. I am aware that there are significant penalties for submitting a false certification, including the possibility of a fine and imprisonment.”
And including the following information:
1. Generator's Name;
2. Generator's Address;
3. Authorized Representative Printed Name;
4. Authorized Representative Signature and;
5. Date.
(b) Treatment facilities shall test their wastes according to the frequency specified in their waste analysis plans as required by section 66264.13 (for permitted TSDs) or section 66265.13 (for interim status facilities). Such testing shall be performed as provided in subsections (b)(1), (b)(2) and (b)(3) of this section.
(1) For wastes or contaminated soil with treatment standards expressed in the waste extract (TCLP), the owner or operator of the treatment facility shall test an extract of the treatment residues, using test method 1311 (the Toxicity Characteristic Leaching Procedure, described in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” USEPA Publication SW-846 as incorporated by reference in section 66260.11 of this division) or the test method specified in section 66268.106 to assure that the treatment residues extract meet the applicable treatment standards.
(2) For wastes or contaminated soil with treatment standards expressed as concentrations in the waste, the owner or operator of the treatment facility shall test the treatment residues (not an extract of such residues) to assure that they meet the applicable treatment standards.
(3) A one-time notice shall be sent with the initial shipment of waste or contaminated soil to the land disposal facility. A copy of the notice shall be placed in the treatment facility's file.
(A) No further notification is necessary until such time that the waste or receiving facility change, in which case a new notice shall be sent and a copy placed in the treatment facility's file.
(B) The one-time notice shall include these requirements:

Treatment Facility Paperwork Requirements Table

View Graphic
(4) The treatment facility shall submit a one-time certification signed by an authorized representative with the initial shipment of waste or treatment residue of a restricted waste to the land disposal facility. The certification shall state:
I certify under penalty of law that I have personally examined and am familiar with the treatment technology and operation of the treatment process used to support this certification. Based on my inquiry of those individuals immediately responsible for obtaining this information, I believe that the treatment process has been operated and maintained properly so as to comply with treatment standards specified in CCR, Title 22, division 4.5, section 66268.40 without impermissible dilution of the prohibited waste. I am aware there are significant penalties for submitting a false certification, including the possibility of fine and imprisonment.
A certification is also necessary for contaminated soil and it shall state:
I certify under penalty of law that I have personally examined and am familiar with the treatment technology and operation of the treatment process used to support this certification and believe that it has been maintained and operated properly so as to comply with treatment standards specified in CCR, Title 22, division 4.5, section 66268.49 without impermissible dilution of the prohibited wastes. I am aware there are significant penalties for submitting a false certification, including the possibility of fine and imprisonment.
(A) A copy of the certification shall be placed in the treatment facility's on-site files. If the waste or treatment residue changes, or the receiving facility changes, a new certification shall be sent to the receiving facility, and a copy placed in the file.
(B) Debris excluded from the definition of hazardous waste under section 66261.3(e) of this division (i.e., debris treated by an extraction or destruction technology provided by Table 1, section 66268.45, and debris that the Department has determined does not contain hazardous waste), however, is subject to the notification and certification requirements of subsection (d) of this section rather than the certification requirements of this subsection.
(C) For wastes with organic constituents having treatment standards expressed as concentration levels, if compliance with the treatment standards is based in whole or in part on the analytical detection limit alternative specified in section 66268.40(d), the certification, signed by an authorized representative, shall state the following:
I certify under penalty of law that I have personally examined and am familiar with the treatment technology and operation of the treatment process used to support this certification. Based on my inquiry of those individuals immediately responsible for obtaining this information, I believe that the nonwastewater organic constituents have been treated by combustion units as specified in section 66268.42, Table 1. I have been unable to detect the nonwastewater organic constituents, despite having used best good-faith efforts to analyze for such constituents. I am aware there are significant penalties for submitting a false certification, including the possibility of fine and imprisonment.
(D) For RCRA characteristic wastes that are subject to the treatment standards in section 66268.40 (other than those expressed as a method of treatment), or section 66268.49 and, that contain underlying hazardous constituents as defined in section 66260.10; if these wastes are treated on-site to remove the hazardous characteristic; and are then sent off-site for treatment of underlying hazardous constituents, the certification shall state the following:
I certify under penalty of law that the waste has been treated in accordance with the requirements of CCR, Title 22, division 4.5, section 66268.40 or 66268.49 to remove the hazardous characteristic. This decharacterized waste contains underlying hazardous constituents that require further treatment to meet treatment standards. I am aware that there are significant penalties for submitting a false certification, including the possibility of fine and imprisonment.
(E) For RCRA characteristic wastes that contain underlying hazardous constituents as defined in section 66260.10 that are treated on-site to remove the hazardous characteristic to treat underlying hazardous constituents to levels in section 66268.48 Universal Treatment Standards, the certification shall state the following:
I certify under penalty of law that the waste has been treated in accordance with the requirements of CCR, Title 22, division 4.5, section 66268.40 to remove the hazardous characteristic and that underlying hazardous constituents, as defined in section 66260.10 have been treated on-site to meet the section 66268.48 Universal Treatment Standards. I am aware that there are significant penalties for submitting a false certification, including the possibility of fine and imprisonment.
(5) If the waste or treatment residue will be further managed at a different treatment, storage, or disposal facility, the treatment, storage, or disposal facility sending the waste or treatment residue off-site shall comply with the notice and certification requirements applicable to generators under this section.
(6) For wastes that are prohibited under section 66268.32 of this chapter but not subject to any treatment standards under article 4 or article 11 of this chapter, the owner or operator of the treatment facility shall test the treatment residues according to the generator testing requirements specified in section 66268.32 to assure that the treatment residues comply with the applicable prohibitions.
(7) For restricted waste under section 66268.29 subject to applicable treatment standards set forth in article 11 of this chapter or wastes that are prohibited under section 66268.32 in which the treatment facility determines that the waste can be land disposed without further treatment, with each shipment of waste the treatment facility shall submit to the receiving facility a notice and certification, only if the receiving facility is a land disposal facility operating within California. The notice shall include the following information:
(A) Non-RCRA hazardous waste category listed in section 66268.29, if applicable;
(B) the manifest number associated with the shipment of waste;
(C) waste analysis data, where available.
The certification shall be signed by an authorized representative and shall state the following:
I certify under penalty of law that I have personally examined and am familiar with the treatment technology and operation of the treatment process used to support this certification. Based on my inquiry of those individuals immediately responsible for obtaining this information, I believe that the treatment process has been operated and maintained properly so as to comply with treatment standards specified in CCR, Title 22, division 4.5, chapter 18, article 11 [or all applicable prohibitions in section 66268.32] without impermissible dilution of the prohibited waste. I am aware there are significant penalties for submitting a false certification, including the possibility of fine and imprisonment.
(c) The owner or operator of any land disposal facility disposing any waste subject to restrictions under this chapter shall:
(1) have copies of the notice and certifications specified in subsection (a) or (b) of this section;
(2) Test the waste, or an extract of the waste or treatment residue developed using test method 1311 (the Toxicity Characteristic Leaching Procedure), described in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” USEPA Publication SW-846 as incorporated by reference in section 66260.11 of this division) or section 66268.106 of this chapter or using any methods required under section 66268.32 of this chapter, to assure that the wastes or treatment residues are in compliance with the applicable treatment standards set forth in article 4 and article 11 of this chapter or the prohibition levels in section 66268.32. Such testing shall be performed according to the frequency specified in the facility's waste analysis plan as required by section 66264.13 or section 66265.13 of this division.
(d) Generators or treaters who first claim that hazardous debris is excluded from the definition of hazardous waste under section 66261.3(e) (i.e. debris treated by an extraction or destruction technology provided by Table 1, Section 66268.45, and debris that the Department has determined does not contain hazardous waste are subject to the following notification and certification requirements:
(1) A one-time notification, including the following information, shall be submitted to the Department:
(A) The name and address of the RCRA Subtitle D facility receiving the treated debris;
(B) A description of the hazardous debris as initially generated, including the applicable EPA Hazardous Waste Number(s); and
(C) For debris excluded under 66261.3(e)(1), the technology from Table 1, Section 66268.45, used to treat the debris.
(2) The notification shall be updated if the debris is shipped to a different facility, and, for debris excluded under section 66261.3(e)(1), if a different type of debris is treated or a different type of technology is used to treat the debris.
(3) For debris excluded under section 66261.3(e)(1), the owner or operator of the treatment facility shall document and certify compliance with the treatment standards of Table 1, section 66268.45, as follows:
(A) Records shall be kept of all inspections, evaluations, and analyses of treated debris that are made to determine compliance with the treatment standards;
(B) Records shall be kept of any data or information the treater obtains during treatment of the debris that identifies key operating parameters of the treatment unit; and
(C) For each shipment of treated debris, a certification of compliance with the treatment standards shall be signed by an authorized representative and placed in the facility's files. The certification shall state the following: “I certify under penalty of law that the debris has been treated in accordance with the requirements of CCR Title 22, division 4.5, chapter 18, section 66268.45. I am aware that there are significant penalties for making a false certification, including the possibility of fine and imprisonment.”
(e) Generators and treaters who first receive from the Department a determination that a given contaminated soil subject to LDRs as provided in section 66268.49(a) no longer contains a listed hazardous waste and generators and treaters who first determine that a contaminated soil subject to LDRs as provided in section 66268.49(a) no longer exhibits a characteristic of hazardous waste shall:
(1) Prepare a one-time only documentation of these determinations including all supporting information; and
(2) Maintain that information in the facility files and other records for a minimum of three years.
(f) Notwithstanding other provisions in this Division, in the event USEPA changes the notification or certification requirements specified in 40 CFR section 268.7 applicable to a particular waste, the new federal notification and certification component(s) may be used to fulfill the notification and certification required by this section for the same waste until the Department adopts the new requirement(s).
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25160.2 and 25179.7, Health and Safety Code; and 40 CFR Sections 262.20(e), 263.20(h) and 268.7.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Editorial correction of History 1. and emergency order of 5-6-91 refiled 9-3-91 as an emergency; operative 9-3-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 1-2-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled, including further amendments, 12-26-91 as an emergency; operative 12-26-92 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 4-24-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
5. Repealer of emergency amendments and reinstatement of prior text filed 11-2-92 by operation of Government Code section 11346.1(f) (Register 92, No. 45).
6. Amendment of section and Note filed 3-1-93; operative 3-1-93 (Register 93, No. 10).
7. Amendment of section and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
10. Amendment of section and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 10-24-94 order, including amendment  of  section, transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
12. Amendment filed 7-23-97; operative 8-22-97 (Register 97, No. 30).
13. Change without regulatory effect amending section filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
14. Change without regulatory effect repealing subsections (a)(4)-(a)(4)(B)5. and adding new subsections (a)(4)-(a)(4)(iii) and (a)(12)-(a)(12)(B)5. filed 10-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 44).
15. Change without regulatory effect amending section heading and section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
16. Change without regulatory effect amending subsections (a)(4), (b)(3)(B) and (b)(4)(D) filed 9-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 37).
17. Change without regulatory effect amending subsection (a)(10) and amending Note filed 12-31-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 1).
18. Change without regulatory effect adopting new subsection (a)(1)(C) and relettering subsections filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
19. Change without regulatory effect amending subsection (b)(4)(E) and Note filed 2-26-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 9).
20. Change without regulatory effect amending subsection (b)(6) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
21. Change without regulatory effect amending subsection (a)(3)(D)3. filed 1-13-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 2).
22. Change without regulatory effect amending subsections (a)(1)-(2) and (b)(3)(B)3. filed 7-23-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 30).
§66268.9. Special Rules Regarding Wastes That Exhibit a RCRA Characteristic.
Note     •     History

(a) The initial generator of a waste shall determine each EPA Hazardous Waste Number (waste code) applicable to the waste in order to determine the applicable treatment standards under article 4 of this chapter. This determination may be made concurrently with the hazardous waste determination required in section 66262.11 of this division. For purposes of chapter 18, the RCRA hazardous waste will carry the waste code for any applicable listed waste (chapter 11, article 4). In addition, where the RCRA hazardous waste exhibits a characteristic, the RCRA hazardous waste will carry one or more of the characteristic waste codes (chapter 11, article 3), except when the treatment standard for the listed waste operates in lieu of the treatment standard for the characteristic waste, as specified in subsection (b) of this section. If the generator determines that their RCRA hazardous waste displays a hazardous characteristic (and is not D001 nonwastewaters treated by CMBST, RORGS, OR POLYM of section 66268.42, Table 1), the generator shall determine the underlying hazardous constituents (as defined in section 66260.10 of this division) in the RCRA characteristic waste.
(b) Where a prohibited waste is both listed under article 4, chapter 11 and exhibits a RCRA characteristic under article 3 of chapter 11, the treatment standard for the waste code listed in article 4 of chapter 11 will operate in lieu of the standard for the waste code under article 3 of chapter 11, provided that the treatment standard for the listed waste includes a treatment standard for the constituent that causes the waste to exhibit the characteristic. Otherwise, the RCRA waste shall meet the treatment standards for all applicable listed and RCRA characteristic waste codes. 
(c) In addition to any applicable standards determined from the initial point of generation, no prohibited waste which exhibits a RCRA characteristic under article 3 of chapter 11 may be land disposed unless the waste complies with the treatment standards under article 4 of chapter 18.
(d) The RCRA hazardous wastes that exhibit a RCRA characteristic as defined in section 66260.10 of this division, are also subject to section 66268.7 requirements, except that once the waste no longer exhibits the RCRA characteristic(s), a one-time notification and certification shall be placed in the generator's or treater's on-site files. The notification and certification placed in the generator's or treater's files shall be updated if the process or operation generating the waste changes and/or if the facility receiving the waste changes. 
(1) The notification shall include the following information:
(A) name and address of the facility receiving the waste shipment; and
(B) a description of the waste as initially generated, including the applicable EPA hazardous waste code(s), treatability group(s), and underlying hazardous constituents (as defined in section 66260.10), unless the waste will be treated and monitored for all underlying hazardous constituents. If all underlying hazardous constituents will be treated and monitored, there is no requirement to list any of the underlying hazardous constituents on the notice.
(2) The certification shall be signed by an authorized representative and shall state the language found in section 66268.7(b)(4).
(A) If treatment removes the RCRA characteristic but does not meet standards applicable to underlying hazardous constituents, then the certification found in section 66268.7(b)(4)(D) applies.
(B) [reserved]
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6, and 58012, Health and Safety Code; 40 CFR Section 268.9.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a), (d), (d)(1)(A)-(B), repealer of subsection (d)(1)(C), new subsections (d)(2)(A)-(B) and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a), (d), (d)(1)(A)-(B), repealer of subsection (d)(1)(C), new subsections (d)(2)(A)-(B) and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a), (d), and (d)(1)(A)-(B), repealer of subsection (d)(1)(C), new subsections (d)(2)(A)-(B) and amendment of Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a), (d), and (d)(1)(A)-(B), repealer of subsection (d)(1)(C), new subsections (d)(2)(A)-(B) and amendment of Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order including amendment of subsections (a), (d)(1) and (d)(1)(B) transmitted to OAL 12-15-95 and filed  1-31-96 (Register 96, No. 5).
7. Amendment of subsection (b) filed 7-23-97; operative 8-22-97 (Register 97, No. 30).
8. Change without regulatory effect amending section filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
9. Change without regulatory effect amending section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
10. Change without regulatory effect amending subsections (d) and (d)(2)-(d)(2)(A) filed 9-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 37).
11. Change without regulatory effect amending section heading and subsections (b)-(d), (d)(1)(A) and (d)(2)(A) filed 2-26-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 9).
12. Change without regulatory effect amending subsections (a) and (d) filed 7-23-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 30).
Article 2. Schedule for Land Disposal Prohibition and Establishment of Treatment Standards
§66268.10. Identification of Wastes to Be Evaluated by August 8, 1988.
Note     •     History

(a) USEPA will take action under section 3004(g)(5) and 3004(m) of the Resource Conservation and Recovery Act (42 U.S.C. section 6924(g)(5) and 6924(m)), by August 8, 1988 for the wastes listed in this subsection (for ease of understanding, the wastes have been listed by the subsection of section 66261 under which they were listed). If USEPA fails to take action for any of these wastes by August 8, 1988, the provisions of section 3004(g)(6)(A) of the Resource Conservation and Recovery Act (42 U.S.C. section 6924(g)(6)(A)) will apply to those wastes for which USEPA has failed to take action. If USEPA fails to take action for any of these wastes by May 8, 1990, the provisions of section 3004(g)(6)(C) of the Resource Conservation and Recovery Act (42 U.S.C. section 6924(g)(6)(C)) will apply to those wastes for which USEPA has failed to take action.
(b) The following wastes are subject to the requirements of subsection (a) of this section:
(1) section 66261.31 wastes:
F006--wastewater treatment sludges from electroplating operations except from the following processes: (A) sulfuric acid anodizing of aluminum; (B) tin plating on carbon steel; (C) zinc plating (segregated basis) on carbon steel; (D) aluminum or zinc-aluminum plating on carbon steel; (E) cleaning/stripping associated with tin, zinc and aluminum plating on carbon steel; and (F) chemical etching and milling of aluminum;
F007--spent cyanide plating bath solutions from electroplating operations;
F008--plating bath sludges from the bottom of plating baths from electroplating operations where cyanides are used in the process;
F009--spent stripping and cleaning bath solutions from electroplating operations where cyanides are used in the process;
F019--wastewater treatment sludges from the chemical conversion coating of aluminum;
(2) section 66261.32 Wastes:
K001--bottom sediment sludge from the treatment of wastewaters from wood preserving processes that use creosote and/or pentachlorophenol;
K004--wastewater treatment sludge from the production of zinc yellow pigments;
K008--over residue from the production of chrome oxide green pigments;
K011--bottom stream from the wastewater stripper in the production of acrylonitrile;
K013--bottom stream from the acetonitrile column in the production of acrylonitrile;
K014--bottoms from the acetonitrile purification column in the production of acrylonitrile;
K015--still bottoms from the distillation of benzyl chloride;
K016--heavy ends or distillation residues from the production of carbon tetrachloride;
K017--heavy ends (still bottoms) from the purification column in the production of epichlorohydrin;
K018--heavy ends from the fractionation column in ethyl chloride production;
K020--heavy ends from the distillation of vinyl chloride in vinyl chloride monomer production;
K021--aqueous spent antimony catalyst waste from fluoromethanes production;
K022--distillation bottom tars from the production of phenol/acetone from cumane;
K024--distillation bottoms from the production of phthalic anhydride from naphthalene;
K030--column bottom or heavy ends from the combined production of trichloroethylene and perchloroethylene;
K031--by-products salts generated in the production of MSMA and cacodylic acid;
K035--wastewater treatment sludges generated in the production of creosote;
K036--still bottoms from toluene reclamation distillation in the production of disulfoton;
K037--wastewater treatment sludge from the production of
disulfoton;
K044--wastewater treatment sludges from the manufacturing and processing of explosives;
K045--spent carbon from the treatment of wastewater containing explosives;
K046--wastewater treatment sludges from the manufacturing, formulation and loading of lead-based initiating compounds;
K047--pink/red water from TNT operations;
K060--ammonia still lime sludge from coking operations;
K061--emission control dust/sludge from the primary production of steel in electric furnaces;
K062--spent pickle liquor from steel finishing operations of facilities within the iron and steel industry (SIC Codes 331 and 332);
K069--emission control dust/sludge from secondary lead smelting;
K071--brine purification muds from the mercury cells process in chlorine production, where separately prepurified brine is not used;
K073--chlorinated hydrocarbon waste from the purification step of the diaphragm cell process using graphite anodes;
K083--distillation bottoms from aniline production;
K084--wastewater treatment sludges generated during the production of veterinary pharmaceuticals from arsenic or organo-arsenic compounds;
K085--distillation of fractionation column bottoms from the production of chlorobenzenes;
K086--solvent washes and sludges; caustic washes and sludges, or water washes and sludges from cleaning tubs and equipment used in the formulation of ink from pigments, driers, soaps, and stabilizers containing chromium and lead;
K087--decanter tank tar sludge from coking operations;
K099--untreated wastewater from the production of 2,4-D;
K101--distillation tar residues from the distillation of aniline-based compounds in the production of veterinary pharmaceuticals from arsenic or organo-arsenic compounds;
K102--residue from the use of activated carbon for decolorization in the production of veterinary pharmaceuticals from arsenic or organo-arsenic compounds;
K103--process residues from aniline extraction from the production of aniline;
K104--combined wastewater streams generated from nitrobenzene/aniline production;
K106--wastewater treatment sludge from the mercury cell process in chlorine production;
(3) section 66261.33(e) wastes:
P001--warfarin, when present at concentration greater than 0.3
P004--Aldrin  
P005--Allyl alcohol 
P010--Arsenic acid 
P011--Arsenic (V) oxide 
P012--Arsenic (III) oxide 
P015--Beryllium dust 
P016--Bis-(chloromethyl) ether 
P018--Brucine 
P020--Dinoseb 
P030--Soluble cyanide salts not elsewhere specified 
P036--Dichlorophenylarsine 
P037--Dieldrin 
P039--Disulfoton 
P041--Diethyl-p-nitrophenyl phosphate 
P048--2,4-Dinitrophenol 
P050--Endosulfan 
P058--Fluoracetic acid, sodium salt 
P059--Heptachlor 
P063--Hydrogen cyanide 
P068--Methyl hydrazine  
P069--2-Methyllactonitrile 
P070--Aldicarb
P071--Methyl parathion
P081--Nitroglycerine
P082--N-Nitrosodimethylamine
P084--N-Nitrosomethylvinylamine
P087--Osmium tetraoxide
P089--Parathion
P092--Phenylmercuric acetate
P094--Phorate
P097--Famphur
P102--Propargyl alcohol
P105--Sodium azide
P108--Strychnine and salts
P110--Tetraethyl lead
P115--Thallium (I) sulfate
P120--Vanadium pentoxide
P122--Zinc phosphide, when present at concentrations greater than 10
P123--Toxaphene
(4) section 66261.33(f) wastes:
U007--Acrylamide
U009--Acrylonitrile
U010--Mitomycin C
U012--Aniline
U016--Benz(c)acridine
U018--Benz(a)anthracene
U019--Benzene
U022--Benzo(a)pyrene
U029--Methyl bromide
U031--n-Butanol
U036--Chlordane, technical
U037--Chlorobenzene
U041--n-Chloro-2,3-epoxypropane
U043--Vinyl chloride
U044--Chloroform
U046--Chloromethyl methyl ether
U050--Chrysene
U051--Creosote
U053--Crotonaldehyde
U061--DDTU063--Dibenzo(a, h)anthracene
U064--1,2:7,8 Dibenzopyrene
U066--Dibromo-3-chloropropane 1,2-
U067--Ethylene dibromide
U074--1,4-Dichloro-2-butene
U077--Ethane, 1,2-dichloro-
U078--Dichloroethylene, 1,1-
U086--N,N Diethylhydrazine
U089--Diethylstilbestrol
U103--Dimethyl sulfate
U105--2,4-Dinitrotoluene
U108--Dioxane, 1,4-
U115--Ethylene oxide
U122--Formaldehyde
U124--Furan
U129--Lindane
U130--Hexachlorocyclopentadiene
U133--Hydrazine
U134--Hydrofluoric acid
U137--Indeno(1,2,3-cd)pyrene
U151--Mercury
U154--Methanol
U155--Methapyrilene
U157--3-Methylcholanthrene
U158--4,4-Methylene-bis-(2-chloroaniline)
U159--Methyl ethyl ketone
U171--Nitropropane, 2-
U177--N-Nitroso-N-methylurea
U180--N-Nitrosopyrrolidine 
U185--Pentachloronitrobenzene
U188--Phenol
U192--Pronamide
U200--Reserpine
U209--Tetrachloroethane, 1,1,2,2-
U210--Tetrachloroethylene
U211--Carbon tetrachloride
U219--Thiourea
U220--Toluene
U221--Toluenediamine
U223--Toluene diisocyanate
U226--Methylchloroform
U227--Trichloroethane, 1,1,2-
U228--Trichloroethylene
U237--Uracil mustard
U238--Ethyl carbamate
U248--Warfarin, when present at concentrations of 0.3% or less
U249--Zinc phosphide, when present at concentrations of 10% or less
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268.10.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer of subsection (b)(2) K048-K052 and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of subsection (b)(2) K048-K052 and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Repealer of subsection (b)(2)K048-K052 and amendment of Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Repealer of subsection (b)(2)K048-K052 and amendment of Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
§66268.11. Identification of Wastes to Be Evaluated by June 8, 1989.
Note     •     History

(a) USEPA will take action under section 3004(g)(5) and 3004(m) of the Resource Conservation and Recovery Act (42 U.S.C. section 6924(g)(5) and 6924(m)), by June 8, 1989 for the wastes listed in this subsection (for ease of understanding, the wastes have been listed by the subsection of section 66261 under which they were listed). If USEPA fails to take action for any of these wastes by June 8, 1989, the provisions of section 3004(g)(6)(B) of the Resource Conservation and Recovery Act (42 U.S.C. section 6924(g)(6)(B)) will apply to those wastes for which USEPA has failed to take action. If USEPA fails to take action for any of these wastes by May 8, 1990, the provisions of section 3004(g)(6)(C) of the Resource Conservation and Recovery Act (42 U.S.C. section 6924(g)(6)(C)) will apply to those wastes for which USEPA has failed to take action.
(b) The following wastes are subject to the requirements of subsection (a) of this section.
(1) section 66261.31 wastes:
F010--Quenching bath sludge from oil baths from metal heat treating operations where cyanides are used in the process;
F011--Spent cyanide solutions from salt bath pot cleaning from metal heat treating operations;
F012--Quenching wastewater treatment sludges from metal heat operations where cyanides are used in the process;
F024--Wastes including but not limited to, distillation residues, heavy ends, tars and reactor clean-out wastes from the production of chlorinated aliphatic hydrocarbons, having carbon content from one to five, utilizing free radical catalyzed processes; [This listing does not include light ends, spent filters and filter aids, spent desiccants, wastewater, wastewater treatment sludges, spent catalysts, and wastes listed in section 66261.32];
(2) section 66261.32 wastes:
K009--Distillation bottoms from the production of acetaldehyde from ethylene;
K010--Distillation side cuts from the productions of acetaldehyde from ethylene;
K019--Heavy ends from the distillation of ethylene dichloride in ethylene dichloride production;
K025--Distillation bottoms from the production of nitrobenzene by the nitration of benzene; 
K027--Centrifuge and distillation residues from toluene diisocyanate production;
K028--Spent catalyst from the hydrochlorinator reactor in the production of 1,1,1-trichloroethane;
K029--Waste from the product steam stripper in the production of 1,1,1-trichloroethane;
K038--Wastewater from the washing and stripping of phorate production;
K039--Filter cake from the filtration of diethylphosphorodithioic acid in the production of phorate;
K040--Wastewater treatment sludge from the production of phorate;
K041--Wastewater treatment sludge from the production of toxaphene;
K042--Heavy ends or distillation residues from the distillation of tetrachlorobenzene in the production of 2,4,5-T;
K043--2,6-Dichlorophenol waste from the production of 2,4-D;
K095--Distillation bottoms from the production of 1,1,1-trichloroethane;
K096--Heavy ends from the heavy ends column from the production of 1,1,1-trichloroethane;
K097--Vacuum stripper discharge from the chlordane chlorinator in the production of chlordane;
K098--Untreated process wastewater from the production of toxaphene;
K105--Separated aqueous stream from the reactor product washing step in the production of chlorobenzenes;
(3) section 66261.33(e) wastes:
P002--1-Acetyl-2-thiourea
P003--Acrolein
P007--5-(Aminoethyl)-3-isoxazolol
P008--4-Aminopyridine
P014--Thiophenol
P026--1-(o-Chlorophenyl)thiourea
P027--Propanenitrile, 3-chloro
P029--Copper cyanides
P040--0,0-Diethyl o-pyrazinyl phosphorothioate
P043--Diisopropyl fluorophosphate
P044--Dimethoate
P049--2,4-Dithiobiuret
P054--Aziridine
P057--Fluoracetamide
P060--Isodrin
P062--Hexaethyltetraphosphate
P066--Methomyl
P067--2-Methylaziridine
P072--Alpha-naphthylthiourea (ANTU)
P074--Nickel cyanide
P085--Octamethylpyrophosphoramide
P098--Potassium cyanide
P104--Silver cyanide
P106--Sodium cyanide
P107--Strontium sulfide
P111--Tetraethylpyrophosphate
P112--Tetranitromethane
P113--Thallic oxide
P114--Thallium (I) selenite
(4) section 66261.33(f) wastes:
U002--Acetone
U003--Acetonitrile
U005--o-Acetylaminofluorene
U008--Acrylic acid
U011--Amitrole
U014--Auramine
U015--Azaserine
U020--Benzenesulfonyl chloride
U021--Benzidine
U023--Benzotrichloride
U025--Dichloroethyl ether
U026--Chlornaphazine
U028--Bis-(2-ethylhexyl)phthalate
U032--Calcium chromate
U035--Chlorambucil 
U047--Beta-chloronaphthalene
U049--4-Chloro-o-toluidine, hydrochloride
U057--Cyclohexanone
U058--Cyclophosphamide
U059--Daunomycin
U060--DDD
U062--Diallate
U070--o-Dichlorobenzene
U073--Dichlorobenzidene, 3,3'-
U080--Methylene chloride
U083--Dichloropropane, 1,2-
U092--Dimethylamine
U093--Dimethylaminoazobenzene
U094--Dimethylbenz(a)anthracene,7,12-
U095--Dimethylbenzidine,3,3'-
U097--Dimethylcarbamoyl chloride
U098--Dimethylhydrazine, 1,1-
U099--Dimethylhydrazine, 1,2-
U101--Dimethylphenol, 2,4-
U106--Dinitrotoluene, 2,6-
U107--Di-n-octyl phthalate
U109--1,2,-Diphenylhydrazine
U110--Dipropylamine
U111--Di-N-Propylnitrosamine
U114--Ethylenebis-(dithiocarbamic acid)
U116--Ethylene thiourea
U119--Ethyl methanesulfonate
U127--Hexachlorobenzene
U128--Hexachlorobutadiene
U131--Hexachloroethane
U135--Hydrogen sulfide
U138--Methyl iodide
U140--Isobutyl alcohol
U142--Kepone
U143--Lasiocarpine
U144--Lead acetate
U146--Lead subacetate
U147--Maleic anhydride
U149--Malononitrile
U150--Melphalan
U161--Methyl isobutyl ketone
U162--Methyl methacrylate
U163--N-Methyl-N-nitro-N-nitrosoguanidine
U164--Methylthiouracil
U165--Naphthalene
U168--Napthylamine, 2-
U169--Nitrobenzene
U170--p-Nitrophenol
U172--N-Nitroso-di-n-butylamine
U173--N-Nitroso-diethanolamine
U174--N-Nitroso-diethylamine
U176--N-Nitroso-N-ethylurea
U178--N-Nitroso-N-methylurethane
U179--N-Nitrosopiperidine
U189--Phosphorus sulfide
U193--1,3-Propane sultone
U196--Pyridine
U203--Safrole
U205--Selenium disulfide
U206--Streptozotocin
U208--Terachloroethane, 1,1,1,2-
U213--Tetrahydrofuran
U214--Thallium (I) acetate
U215--Thallium (I) carbonate
U216--Thallium (I) chloride
U217--Thallium (I) nitrate
U218--Thioacetamide
U235--Tris (2,3-Dibromopropyl) phosphate
U239--Xylene
U244--Thiram
NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.6, Health and Safety Code; 40 CFR Section 268.11.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66268.12. Identification of Wastes to Be Evaluated by May 8, 1990.
Note     •     History

U.S. EPA will take action under section 3004(g)(5) and 3004(m) of the Resource Conservation and Recovery Act (42 U.S.C. section 6924(g)(5) and 6924(m)), by May 8, 1990 for the wastes listed in this subsection (for ease of understanding, the wastes have been listed by the subsection of section 66261 under which they were listed). If USEPA fails to take action for any of these wastes by May 8, 1990, the provisions of section 3004(g)(6)(C) of the Resource Conservation and Recovery Act (42 U.S.C. section 6924(g)(6)(C)) will apply to those wastes for which USEPA has failed to take action.
(a) Wastes listed below by the section of chapter 11 of this division under which they were listed.
(1) section 66261.32 wastes:
K002--Wastewater treatment sludge from the production of chrome yellow and orange pigments;
K003--Wastewater treatment sludge from the production of molybdate orange pigments;
K005--Wastewater treatment sludge from the production of chrome green pigments;
K006--Wastewater treatment sludge from the production of chrome oxide green pigments (anhydrous and hydrated);
K007--Wastewater treatment sludge from the production of iron blue pigments;
K023--Distillation light ends from the production of phthalic anhydride from naphthalene;
K026--Stripping still tails from the production of methyl ethyl pyridines;
K032--Wastewater treatment sludge from the production of chlordane;
K033--Wastewater and scrub water from the chlorination of cyclopentadiene in the production of chlordane;
K034--Filter solids from the hexachlorocyclopentadiene in the production of chlordane;
K048--dissolved air  flotation (DAF) float from the petroleum refining industry;
K049--slop oil emulsion solids from the petroleum refining industry;
K050--heat exchange bundle cleaning sludge from the petroleum refining industry;
K051--API separator sludge from the petroleum refining industry;
K052--tank bottoms (leaded) from the petroleum refining industry;
K093--Distillation light ends from the production of phthalic anhydride from ortho-xylene;
K094--Distillation bottoms from the production of phthalic anhydride from ortho-xylene;
K100--Waste leaching solution from acid leaching of emission control dust/sludge from secondary lead smelting;
(2) section 66261.33(e) wastes:
P006--Aluminum phosphide
P009--Ammonium picrate
P013--Barium cyanide
P017--Bromoacetone
P021--Calcium cyanide
P022--Carbon disulfide
P023--Chloroacetaldehyde
P024--p-Chloroaniline
P028--Benzyl chloride
P031--Cyanogen
P033--Cyanogen chloride
P034--4,6-Dinitro-o-cyclohexylphenol
P038--Diethylarsine
P042--Epinephrine
P045--Thiofanox
P046--Alpha, alpha-Dimethylphenethylamine
P047--4,6-Dinitro-o-cresol and salts
P051--Endrin
P056--Fluorine
P064--Methyl isocyanate
P065--Mercury fulminate 
P073--Nickel carbonyl
P075--Nicotine and salts
P076--Nitric oxide
P077--p-Nitroaniline
P078--Nitrogen dioxide
P088--Endothall
P093--N-Phenylthiourea
P095--Phosgene
P096--Phosphine
P099--Potassium silver cyanide
P101--Propanenitrile
P103--Selenourea
P109--Tetraethyldithiopyrophosphate
P116--Thiosemicarbazide
P118--Trichloromethanethiol
P119--Ammonium vanadate
P121--Zinc cyanide
(3) section 66261.33(f) wastes:
U001--Acetaldehyde
U004--Acetophenone
U006--Acetyl chloride
U017--Benzal chloride
U024--Bis(2-chloroethoxy)methane
U027--Bis(2-chloroisopropyl)ether
U030--Benzene, 1-bromo-4-phenoxy
U033--Carbonyl fluoride
U034--Chloral
U038--Ethyl-4-4' dichlorobenzilate
U039--4-Chloro-m-cresol
U042--Vinyl ether, 2-chloroethyl
U045--Methyl chloride
U048--o-Chlorophenol
U052--Cresols
U055--Cumene
U056--Cyclohexane
U068--Methane, dibromo
U069--Dibutyl phthalate
U071--m-Dichlorobenzene
U072--p-Dichlorobenzene
U075--Dichlorodifluoromethane
U076--Ethane, 1,1-dichloro-
U079--1,2-Dichlorethylene
U081--2,4-Dichlorophenol
U082--2,6-Dichlorophenol
U084--1,3-Dichloropropene
U085--2,2'Bioxirane
U087--0,0,-Diethyl-S-methyl-dithiophosphate
U088--Diethyl phthalate
U090--Dihydrosafrole
U091--3,3' Dimethoxybenzidine
U096--alpha,alpha-Dimethylbenzylhydroxyperoxide
U102--Dimethyl phthalate
U112--Ethyl acetate
U113--Ethyl acrylate
U117--Ethyl ether
U118--Ethylmethacrylate
U120--Fluoranthene
U121--Trichloromonofluoromethane
U123--Formic acid
U125--Furfural
U126--Glycidylaldehyde
U132--Hexachlorophene
U136--Cacodylic acid
U139--Iron dextran
U141--Isosafrole
U145--Lead phosphate
U148--Maleic hydrazide
U152--Methacrylonitrile
U153--Methanethiol 
U156--Methyl chlorocarbonate
U160--Methyl ethyl ketone peroxide
U166--1,4-Naphthaquinone
U167--1-Naphthylamine
U181--5-Nitro-o-toluidine
U182--Paraldehyde
U183--Pentachlorobenzene
U184--Pentachloroethane
U186--1,3-Pentadiene
U187--Phenacetin
U190--Phthalic anhydride
U191--2-Picoline
U194--1-Propanamine
U197--p-Benzoquinone
U201--Resorcinol
U202--Saccharin and salts
U204--Selenious acid
U207--1,2,4,5-tetrachlorobenzene
U222--o-Toluidine hydrochloride
U225--Bromoform
U234--Sym-Trinitrobenzene
U236--Trypan blue
U240--2,4-D, salts and esters
U243--Hexachloropropene
U246--Cyanogen bromide
U247--Methoxychlor
(4) Wastes identified as hazardous based on a characteristic alone (i.e., corrosivity, reactivity, ignitability and EP toxicity).
(b) Wastewater residues (less than 1 percent total organic carbon and less than 1 percent suspended solids) resulting from the following well-designed and well-operated treatment methods for wastes listed in section 66268.10 and section 66268.11 for which USEPA has not promulgated wastewater treatment standards: metals recovery, metals precipitation, cyanide destruction, carbon adsorption, chemical oxidation, steam stripping, biodegradation, and incineration or other direct thermal destruction.
(c) Hazardous wastes listed in sections 66268.10 and 66268.11 which are mixed hazardous/radioactive wastes.
(d) Multi-source leachate that is derived from disposal of any listed waste, except from Hazardous Wastes F020, F021, F022, F023, F026, F027, or F028.
(e) Nonwastewater forms of wastes listed in section 66268.10 that were originally disposed before August 17, 1988 and for which U.S. EPA has promulgated “no land disposal” as the treatment standard (section 66268.43, Table CCW, No Land Disposal Subtable). This provision does not apply to waste codes K044, K045, K047, and K061 (high zinc subcategory).
(f) Nonwastewater forms of wastes listed in section 66268.10 for which U.S. EPA has promulgated “no land disposal” as the treatment standard (section 66268.43, Table CCW, No Land Disposal Subtable) that are generated in the course of treating wastewater forms of the wastes. This provision does not apply to waste codes K044, K045, K047 and K061 (high zinc subcategory).
(g) Nonwastewater forms of waste codes K015 and K083.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268.12.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New subsections (a)(1) K048-K052 and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. New subsections (a)(1) K048-K052 and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. New subsections (a)(1)K048-K052 and amendment of Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. New subsections (a)(1)K048-K052 and amendment of Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Editorial correction of section heading (Register 97, No. 23).
§66268.13. Schedule for Wastes Identified or Listed After November 8, 1984.
Note     •     History

In the case of any hazardous waste identified or listed under section 3001 of the Resource Conservation and Recovery Act (42 U.S.C. section 6921) after November 8, 1984, the U.S. EPA Administrator shall make a land disposal prohibition determination within 6 months after the date of identification or listing.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.6, Health and Safety Code; 40 CFR Section 268.13.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66268.29. List of Restricted Non-RCRA Hazardous Wastes.
Note     •     History

The following non-RCRA hazardous wastes are subject to land disposal restrictions specified in this article.
(a) metal-containing aqueous waste that contains any metals or metal compounds identified in section 66261.24(a)(2)(A). For the purpose of this article, an aqueous waste is defined as a waste containing water, and less than or equal to one weight percent of suspended solids;
(b) auto shredder waste. For the purpose of this article, auto shredder waste is defined as the hazardous waste generated from the shredding of metallic materials including, but not limited to automobiles and appliances;
(c) hazardous waste foundry sand. For the purpose of this article, hazardous waste foundry sand is defined as waste sand or waste sand residue, generated by foundries using a sand molding process, that is considered hazardous according to the provisions of Chapter 11;
(d) fly ash, bottom ash, retort ash or baghouse waste from sources other than foundries that contains any of the metals or metal compounds identified in section 66261.24(a)(2). For the purposes of this article: “fly ash” means ash that is entrained in exhaust gases leaving the combustion equipment and which is captured in air pollution control equipment; “bottom ash” means ash remaining in the combustion equipment after incineration and includes boiler slag and oversized aggregated material; “retort ash” means ash from retorting such as from oil shale, zinc ore or coal carbonization; “baghouse waste from sources other than foundries” means dust that is collected in the baghouse or other dry air pollution control devices of facilities that are not foundries;
(e) baghouse waste from foundries that contains any of the metals or metal compounds identified in section 66261.24(a)(2). For the purposes of this article: “Baghouse waste from foundries” means dust that is collected in the baghouse or other dry air pollution control devices at ferrous and nonferrous foundries;
(f) Asbestos-Containing Waste. For the purpose of this article, asbestos-containing waste is defined as hazardous waste which exhibits the hazardous characteristics for asbestos as established in chapter 11.
NOTE

Authority cited: Sections 25150, 25159, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. Amendment and renumbering of former section 67702 to section 66268.29 filed 5-24-91; operative 7-1-91 (Register 91, No. 22). A Certificate of Compliance for 5-6-91 order must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
2. Emergency order of 5-6-91 adopting subsections (g), (j) and (k) refiled 9-3-91 as an emergency; operative 9-3-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 1-2-92 or emergency language will be repealed by operation of law on the following day.
3. Adoption of subsections (g), (j) and (k) refiled, including further amendments, and amendments to subsections (c), (d), (e), (f), (h) and (i) filed 12-26-91 as an emergency; operative 12-26-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 4-24-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (g), (j) and (k) and amendments refiled 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
5. Certificates of Compliance as to 4-20-92 order including amendment of subsections (g), (j) and (k) and Note transmitted to OAL 8-11-92 and filed 9-23-92 (Register 92, No. 39).
6. Editorial correction adding new subsections (c)-(f), (h) and (i) filed 2-23-93 (Register 93, No. 7).
7. Amendment of section and Note filed 3-1-93; operative 3-1-93 (Register 93, No. 10).
8. Repealer of subsections (b), (d), (f), (g), (j) and (k), and subsection relettering filed 7-23-97; operative 8-22-97 (Register 97, No. 30).
Article 3. Prohibitions on Land Disposal
§66268.30. Waste Specific Prohibitions--Wood Preserving Wastes.
Note     •     History

(a) Effective August 11, 1997, the following wastes are prohibited from land disposal: the wastes specified in CCR, Title 22, chapter 11 as EPA Hazardous Waste numbers F032, F034, and F035.
(b) Effective May 12, 1999, the following wastes are prohibited from land disposal: soil and debris contaminated with F032, F034, F035; and radioactive wastes mixed with EPA Hazardous waste numbers F032, F034, and F035.
(c) Between May 12, 1997 and May 12, 1999, soil and debris contaminated with F032, F034, F035; and radioactive waste mixed with F032, F034, and F035 may be disposed in a landfill or surface impoundment only if such unit is in compliance with the requirements specified in section 66268.5(h)(2) of this chapter.
(d) The requirements of subsections (a) and (b) of this section do not apply if:
(1) The wastes meet the applicable treatment standards specified in article 4 of this chapter;
(2) Persons have been granted an exemption from a prohibition pursuant to a petition under section 66268.6, with respect to those wastes and units covered by the petition;
(3) The wastes meet the applicable alternate treatment standards established pursuant to a petition granted under section 66268.44; or
(4) Persons have been granted an extension to the effective date of a prohibition pursuant to section 66268.5, with respect to those wastes covered by the extension.
(e) To determine whether a hazardous waste identified in this section exceeds the applicable treatment standards specified in section 66268.40, the initial generator shall test a sample of the waste extract or the entire waste, depending on whether the treatment standards are expressed as concentrations in the waste extract or the waste, or the generator may use knowledge of the waste. If the waste contains constituents in excess of the applicable Universal Treatment Standard levels of section 66268.48 of this chapter, the waste is prohibited from land disposal, and all requirements of chapter 18 are applicable, except as otherwise specified.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.6, Health and Safety Code; 40 CFR Section 268.30.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding new subsection (d)(2) and subsection renumbering filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
3. Change without regulatory effect amending section heading and repealing and adopting new section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
§66268.31. Waste Specific Prohibitions--Dioxin-  Containing Wastes.
Note     •     History

(a) Effective November 8, 1988, the dioxin-containing wastes specified in section 66261.31 of chapter 11 as EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, F027 and F028, are prohibited from land disposal unless the following condition applies: the F020-F023 and F026-F028 dioxin-containing waste is contaminated soil and debris resulting from a response action taken under section 104 or 106 of CERCLA or a corrective action taken under Subtitle C of RCRA.
(b) Effective November 8, 1990, the F020-F023 and F026-F028 dioxin-containing wastes listed in subsection (a) of this section are prohibited from land disposal.
(c) Between November 8, 1988 and November 8, 1990, wastes included in subsection (a) of this section may be disposed in a landfill or surface impoundment only if such unit is in compliance with the requirements specified in section 66268.5(h)(2) and all other applicable requirements of chapters 14 and 15 of this division.
(d) The requirements of subsections (a) and (b) of this section do not apply if:
(1) the wastes meet the standards of article 4 of this chapter; or
(2) persons have been granted an exemption from a prohibition pursuant to a petition under section 66268.6, with respect to those wastes and units covered by the petition; or
(3) persons have been granted an extension to the effective date of a prohibition pursuant to section 66268.5, with respect to those wastes covered by the extension.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.6, Health and Safety Code; 40 CFR Section 268.31.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding new subsection (d)(2) and subsection renumbering filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66268.31.5. Waste Specific Prohibitions -- Soils Exhibiting the Toxicity Characteristic for Metals and Containing PCBs.
Note     •     History

(a) Effective December 26, 2000, the following wastes are prohibited from land disposal: any volumes of soil exhibiting the toxicity characteristic solely because of the presence of metals (D004-D011) and containing PCBs.
(b) The requirements of paragraph (a) of this section do not apply if:
(1)(A) The wastes contain halogenated organic compounds in total concentration less than 1,000 mg/kg; and
(B) The wastes meet the treatment standards specified in article 4 of this chapter for EPA hazardous waste numbers D004-D011, as applicable; or
(2)(A) The wastes contain halogenated organic compounds in total concentration less than 1,000 mg/kg; and
(B) The wastes meet the alternative treatment standards specified in section 66268.49 for contaminated soil; or
(3) Persons have been granted an exemption from a prohibition pursuant to a petition under section 66268.6, with respect to those wastes and units covered by the petition; or
(4) The wastes meet applicable alternative treatment standards established pursuant to a petition granted under section 66268.44.
NOTE

Authority cited: Sections 25150, 25159, 25179.6 and 58102, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.6, Health and Safety Code; and 40 CFR Section 268.32.
HISTORY

1. Change without regulatory effect adopting new section filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
§66268.32. Waste Specific Prohibitions--California List Wastes.
Note     •     History

(a) The following hazardous wastes are prohibited from land disposal effective on the specified date:
(1) effective January 1, 1984, liquid hazardous wastes containing polychlorinated biphenyls (PCBs) at concentrations greater than or equal to 50 ppm;
(2) effective June 1, 1983, liquid hazardous wastes, including free liquids associated with any solid or sludge, containing free cyanides at concentrations greater than or equal to 1000 mg/l.
(b)-(d) [Reserved]
(e) The following hazardous wastes are prohibited from land disposal effective on the specified date:
(1) effective January 1, 1985, liquid hazardous wastes that contain HOCs listed in Appendix III and Appendix III-A of this chapter, in total concentration greater than or equal to 1,000 mg/l; and
(2)  [Reserved]
(f) The requirements of paragraphs (a), (d) and (e) of this section do not apply if:
(1) persons have been granted an exemption from a prohibition pursuant to a petition under section 66268.6, with respect to those wastes and units covered by the petition; or
(2) persons have been granted an extension to the effective date of a prohibition pursuant to section 66268.5 with respect to those wastes covered by the extension; or
(3) the wastes meet the applicable standards specified in article 4 of this chapter, or, where treatment standards are not specified, the wastes are in compliance with the applicable prohibitions set forth in this section.
(g) The prohibitions and effective dates specified in subsections (a)(3), (d) and (e) of this section do not apply where the waste is subject to a chapter 18, article 3 prohibition and effective date for a specified HOC (such as a hazardous waste chlorinated solvent).
(h) To determine whether or not a waste is a liquid under paragraphs (a) and (e) of this section, the following test shall be used: Method 9095 (Paint Filter Liquids Test) as described in “Test Methods for Evaluating Solid Wastes, Physical/Chemical Methods,” USEPA Publication No. SW-846, Third Edition. (Incorporated by reference, in section 66260.11(a) of this division.)
(i) Except as otherwise provided in this subsection, the waste analysis and recordkeeping requirements of section 66268.7 are applicable to wastes prohibited under this chapter.
(1) The initial generator of either a liquid hazardous waste containing polychlorinated biphenyls (PCBs) or a liquid or nonliquid hazardous waste containing halogenated organic compounds (HOCs), shall test the waste (not an extract or filtrate), or use knowledge of the waste, to determine whether the concentration levels in the waste equal or exceed the prohibition levels specified in this section. If the concentration of PCBs or HOCs in the waste is greater than or equal to the prohibition levels specified in this section, the waste is restricted from land disposal and all requirements of chapter 18 are applicable, except as otherwise specified in this section.
(2) The initial generator of liquid hazardous wastes containing free cyanides shall test the extract or filtrate to determine whether the concentration levels in the waste equal or exceed the prohibition levels specified in this section. If the concentration of free cyanides is greater than or equal to the prohibition levels specified in this section, the waste is restricted from land disposal and all requirements of chapter 18 are applicable, except as otherwise specified in this section.
(j) Effective July 8, 1992, nonliquid non-RCRA hazardous wastes containing halogenated organic compounds (HOCs) listed in Appendix III and Appendix III-A of this chapter in total concentration greater or equal to 1,000 mg/kg HOC are prohibited from land disposal. Non-RCRA hazardous waste is defined in section 66261.101 of chapter 11.
(1) The prohibitions and effective dates specified in subsections (k) & (l) of this section do not apply when a waste is restricted pursuant to section 66268.29 of Chapter 18.
(l) Lab packs containing restricted hazardous wastes identified under article 3 of this chapter, other than that hazardous waste identified in subsection (l) of this section, may be placed in a landfill, and:
(1) the restricted hazardous wastes in the lab pack are not subject to land disposal restrictions imposed by the USEPA Administrator pursuant to 40 CFR Part 268; or
(2) the restricted hazardous wastes in the lab pack are removed before disposal; or
(3) the restricted hazardous wastes in the lab pack have been treated in accordance with the applicable treatment standards specified in article 4 of this chapter.
(m) The following wastes, if they are non-RCRA hazardous wastes, are exempt from land disposal restrictions contained in this section:
(1) drilling fluids, produced waters and other fluids or materials which are brought to the surface in conjunction with the exploration, development or production of crude oil or natural gas, and which are reinjected;
(2) mining overburden as defined by the Surface Mining and Reclamation Act, Public Resources Code, section 2732 deposited within the mining permit area pursuant to a Surface Mining and Reclamation Act permit;
(3) contaminated soil from cleanup of any hazardous waste site pursuant to approval by the Department, unless the Department determines that a recycling or treatment process is technically and economically feasible to render the contaminated soil no longer a listed restricted hazardous waste.
(n) Hazardous wastes or land disposal methods that are exempt from the land disposal restrictions of this section remain subject to all of the other provisions of this chapter.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code and Governor's Reorganization Plan Number 1 of 1991, Section 58012. Reference: Sections 25105, 25159, 25159.5 and 25179.6, Health and Safety Code; and 40 CFR Section 268.32.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New subsection (k)(1) and amendment of Note filed 7-9-92 as an emergency; operative 7-8-92 (Register 92, No. 28). A Certificate of Compliance must be transmitted to OAL 11-5-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-9-92 order transmitted to OAL 10-26-92 and filed 12-2-92 (Register 92, No. 49).
4. Change without regulatory effect adding new subsection (g)(1) and subsection renumbering filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
5. Change without regulatory effect amending section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
§66268.33. Waste-Specific Prohibitions--Chlorinated Aliphatic  Wastes.
Note     •     History

(a) Effective May 8, 2001, the wastes specified in section 66261.32 as EPA Hazardous Wastes Numbers K174 and K175,  soils and debris contaminated with these wastes, radioactive wastes mixed with these wastes, and soils and debris contaminated with radioactive wastes mixed with these wastes are prohibited from land disposal.
(b) The requirements of subsection (a) of this section do not apply if:
(1) The wastes meet the applicable treatment standards specified in article 4 of this chapter;
(2) Persons have been granted an exemption from a prohibition pursuant to a petition under section 66268.6, with respect to those wastes and units covered by the petition;
(3) The wastes meet the applicable treatment standards established pursuant to a petition granted under section 66268.44;
(4) Hazardous debris that has met treatment standards in section 66268.40 or the alternative treatment standards in section 66268.45; or
(5) Persons have been granted an extension to the effective date of a prohibition pursuant to section 66268.5, with respect to these wastes covered by the extension.
(c) To determine whether a hazardous waste identified in this section exceeds the applicable treatment standards specified in section 66268.40, the initial generator must test a sample of the waste extract or the entire waste, depending on whether the treatment standards are expressed as concentrations in the waste extract or the waste, or the generator may use knowledge of the waste. If the waste contains regulated constituents in excess of the applicable treatment standards specified in article 4 of this chapter, the waste is prohibited from land disposal, and all requirements of this chapter are applicable, except as otherwise specified.
(d) Disposal of K175 wastes that have complied with all applicable treatment standards specified in section 66268.40 must also be macroencapsulated in accordance with section 66268.45, Table 1, unless the waste is placed in:
(1) A RCRA Subtitle C monofill containing only K175 wastes that meet all applicable section 66268.40 treatment standards; or
(2) A dedicated RCRA Subtitle C landfill cell in which all other wastes being co-disposed are at pH36.0.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268.33.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Change without regulatory effect adding new subsection (e)(2) and subsection renumbering filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
8. Change without regulatory effect amending section heading and repealing and adopting new section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
9. Change without regulatory effect amending section heading and repealing and adopting new section filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
§66268.34. Waste Specific Prohibitions--Toxicity Characteristic Metal Wastes.
Note     •     History

(a) Effective August 24, 1998, the following wastes are prohibited from land disposal: the wastes specified in CCR, Title 22, division 4.5, chapter 11 as EPA Hazardous Waste numbers D004-D011 that are newly identified (i.e., wastes, soil, or debris identified as hazardous by the Toxic Characteristic Leaching Procedure but not the Extraction Procedure), and waste, soil, or debris from mineral processing operations that is identified as hazardous by the specification at CCR, Title 22, division 4.5, chapter 11.
(b) Effective November 26, 1998, the following waste is prohibited from land disposal: slag from secondary lead smelting which exhibits the Toxicity Characteristic due to the presence of one or more metals pursuant to section 66261.24(a)(1) of this division.
(c) Effective May 26, 2000, the following wastes are prohibited from land disposal: newly identified characteristic wastes from elemental phosphorus processing; radioactive wastes mixed with EPA Hazardous wastes D004-D011 that are newly identified (i.e., wastes, soil, or debris identified as hazardous by the Toxic Characteristic Leaching Procedure but not the Extraction Procedure); or mixed with newly identified characteristic mineral processing wastes, soil, or debris.
(d) Between May 26, 1998 and May 26, 2000, newly identified characteristic wastes from elemental phosphorus processing, radioactive waste mixed with D004-D011 wastes that are newly identified (i.e., wastes, soil, or debris identified as hazardous by the Toxic Characteristic Leaching Procedure but not the Extraction Procedure), or mixed with newly identified characteristic mineral processing wastes, soil, or debris may be disposed in a landfill or surface impoundment only if such unit is in compliance with the requirements specified in section 66268.5(h)(2) of this chapter.
(e) The requirements of subsections (a) and (b) of this section do not apply if:
(1) The wastes meet the applicable treatment standards specified in article 4 of this chapter;
(2) Persons have been granted an exemption from a prohibition pursuant to a petition under section 66268.6, with respect to those wastes and units covered by the petition;
(3) The wastes meet the applicable alternate treatment standards established pursuant to a petition granted under section 66268.44; or
(4) Persons have been granted an extension to the effective date of a prohibition pursuant to section 66268.5, with respect to these wastes covered by the extension.
(f) To determine whether a hazardous waste identified in this section exceeds the applicable treatment standards specified in section 66268.40, the initial generator shall test a sample of the waste extract or the entire waste, depending on whether the treatment standards are expressed as concentration in the waste extract or the waste, or the generator may use knowledge of the waste. If the waste contains constituents (including underlying hazardous constituents in characteristic wastes) in excess of the applicable Universal Treatment Standard levels of section 66268.48 of this chapter, the waste is prohibited from land disposal, and all requirements of chapter 18 are applicable, except as otherwise specified.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268.34.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (f)(1) and adding new subsection (f)(2) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
3. Change without regulatory effect amending section heading and repealing and adopting new section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
4. Change without regulatory effect adding subsection (b), relettering subsections and amending Note filed 9-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 37).
5. Change without regulatory effect amending subsection (b) filed 1-13-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 2).
§66268.35. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268.35.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a), (c), (d), amendment and redesignation of subsection (e) to subsections (e)-(e)(5)(B)8, new subsection (k) and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a), (c), (d), amendment and redesignation of subsection (e) to subsections (e)-(e)(5)(B)8., new subsection (k) and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a),  (c), (d), amendment and redesignation of subsection (e) to subsections (e)-(e)(5)(B)8., new subsection (k)  and amendment of Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a),  (c), (d), amendment and redesignation of subsection (e) to subsections (e)-(e)(5)(B)8., new subsection (k)  and amendment of Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order including amendment of subsections (a), (c), (d) and (e)(5)(B)8, repealer of subsection (i)(2) and subsection renumbering transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Change without regulatory effect amending subsection (e)(3) and (i)(1), adding new subsection (i)(2), renumbering subsections, and amending newly designated subsection (i)(3) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
8. Editorial correction of History 7 (Register 98, No. 42).
9. Change without regulatory effect repealing section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
§66268.36. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 268.36.
HISTORY

1. New section filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order including relettering and amendment of subsection (h)(3)(A) to (i) transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
6. Change without regulatory effect amending subsection (h)(1), adding new subsection (h)(2), renumbering subsections, and amending newly designated subsections (h)(3) and (h)(4) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
7. Change without regulatory effect repealing section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
§66268.37. Waste Specific Prohibitions-Ignitable and Corrosive Characteristic Wastes Whose Treatment Standards Were Vacated.
Note     •     History

Effective August 9, 1993, the wastes specified in section 66261.21 as D001 (and is not in the High TOC Ignitable Liquids Subcategory), and specified in section 66261.22 as D002, that are managed in systems other than those whose discharge is regulated under the Clean Water Act (CWA) or that are zero dischargers that engage in CWA-equivalent treatment before ultimate land disposal, are prohibited from land disposal. CWA-equivalent treatment means biological treatment for organics, alkaline chlorination or ferrous sulfate precipitation for cyanide, precipitation/sedimentation for metals, reduction of hexavalent chromium, or other treatment technology that can be demonstrated to perform equally or greater than these technologies.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 268.37.
HISTORY

1. New section filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order including amendment of subsection (a) transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
6. Change without regulatory effect repealing subsection (a) designator filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66268.38. Waste Specific Prohibitions-Newly Identified Organic Toxicity Characteristic Wastes and Newly Listed Coke By-Product and Chlorotoluene Production Wastes.
Note     •     History

(a) Effective December 19, 1994, the wastes specified in section 66261.32 as EPA Hazardous Waste numbers K141, K142, K143, K144, K145, K147, K148, K149, K150, and K151 are prohibited from land disposal. In addition, debris contaminated with EPA Hazardous Waste numbers F037, F038, K107 - K112, K117, K118, K123- K126, K131, K132, K136, U328, U353, U359, and soil and debris contaminated with D012-D043, K141-K145, and K147-K151 are prohibited from land disposal. The following wastes that are specified in section 66261.24, Table 1 as EPA Hazardous Waste numbers: D012, D013, D014, D015, D016, D017, D018, D019, D020, D021, D022, D023, D024, D025, D026, D027, D028, D029, D030, D031, D032, D033, D034, D035, D036, D037, D038, D039, D040, D041, D042, D043 that are not radioactive, or that are managed in systems other than those whose discharge is regulated under the Clean Water Act (CWA), or that are zero dischargers that do not engage in CWA-equivalent treatment before ultimate land disposal, are prohibited from land disposal. CWA-equivalent treatment means biological treatment for organics, alkaline chlorination or ferrous sulfate precipitation for cyanide, precipitation/sedimentation for metals, reduction of hexavalent chromium, or other treatment technology that can be demonstrated to perform equally or better than these technologies.
(b) On September 19, 1996, radioactive wastes that are mixed with D018-D043 that are managed in systems other than those whose discharge is regulated under the Clean Water Act (CWA), or that are zero dischargers that engage in CWA-equivalent treatment before ultimate land disposal are prohibited from land disposal. CWA-equivalent treatment means biological treatment for organics, alkaline chlorination or ferrous sulfate precipitation for cyanide, precipitation/sedimentation for metals, reduction of hexavalent chromium, or other treatment technology that can be demonstrated to perform equally or greater than these technologies. Radioactive wastes mixed with K141-K145, and K147-K151 are also prohibited from land disposal. In addition, soil and debris contaminated with these radioactive mixed wastes are prohibited from land disposal.
(c) Between December 19, 1994, and September 19, 1996, the wastes included in subsection (b) of this section may be disposed in a landfill or surface impoundment, only if such unit is in compliance with the requirements specified in section 66268.5(h)(2) of this chapter.
(d) The requirements of subsections (a), (b), and (c) of this section do not apply if:
(1) the wastes meet the applicable treatment standards specified in article 4 of this chapter;
(2) persons have been granted an exemption from a prohibition pursuant to a petition under section 66268.6, with respect to those wastes and units covered by the petition; or
(3) the wastes meet the applicable alternate treatment standards established pursuant to a petition granted under section 66268.44 of this chapter; or
(4) persons have been granted an extension to the effective date of a prohibition pursuant to section 66268.5, with respect to these wastes covered by the extension.
(e) To determine whether a hazardous waste identified in this section exceeds the applicable treatment standards specified in section 66268.40, the initial generator shall test a sample of the waste extract or the entire waste, depending on whether the treatment standards are expressed as concentrations in the waste extract or the waste, or the generator may use knowledge of the waste. If the waste contains constituents in excess of the applicable article 4 levels, the waste is prohibited from land disposal, and all requirements of chapter 18 of this division are applicable, except as otherwise specified.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 268.38.
HISTORY

1. New section filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order including amendment of subsections (a), (b), and (e)  transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
6. Change without regulatory effect amending subsection (d)(1), adding new subsection (d)(2), renumbering subsections, and amending newly designated subsections (d)(3) and (d)(4) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66268.39. Waste Specific Prohibitions--Spent Aluminum Potliners; Reactive; and Carbamate Wastes
Note     •     History

(a) On July 8, 1996, the wastes specified in section 66261.32 as EPA Hazardous Waste numbers K156-K159 and K161; and in section 66261.33 as EPA Hazardous Waste numbers P127, P128, P185, P188-P192, P194, P196-P199, P201-P205, U271, U278-U280, U364, U367, U372, U373, U387, U389, U394, U395, U404, and U409-U411 are prohibited from land disposal. In addition, soil and debris contaminated with these wastes are prohibited from land disposal.
(b) On July 8, 1996, the waste identified in Section 66261.23 as D003 that are managed in systems other than those whose discharge is regulated under the federal Clean Water Act (CWA), or that inject in Class I deep wells regulated under the federal Safe Drinking Water Act (SDWA) or that are zero dischargers that engage in federal CWA-equivalent treatment before ultimate land disposal, are prohibited from land disposal. This prohibition does not apply to unexploded ordnance and other explosive devices which have been the subject of an emergency response. (Such D003 wastes are prohibited unless they meet the treatment standard of DEACT before land disposal (see section 66268.40)).
(c) On September 21, 1998, the wastes specified in section 66261.32 as EPA Hazardous Waste number K088 are prohibited from land disposal. In addition, soil and debris contaminated with these wastes are prohibited from land disposal.
(d) On April 8, 1998, radioactive wastes mixed with K088, K156-K159, K161, P127, P128, P185, P188-P192, P194, P196-P199, P201-P205, U271, U278-U280, U364, U367, U372, U373, U387, U389, U394, U395, U404, and U409-U411 are prohibited from land disposal. In addition, soil and debris contaminated with these radioactive mixed wastes are prohibited from land disposal.
(e) Between July 8, 1996, and April 8, 1998, the wastes included in subsections (a), (c), and (d) of this section may be disposed in a landfill or surface impoundment, only if such unit is in compliance with the requirements specified in section 66268.5(h)(2).
(f) The requirements of subsections (a), (b), (c), and (d) of this section do not apply if:
(1) The wastes meet the applicable treatment standards specified in article 4 of this chapter;
(2) Persons have been granted an exemption from a prohibition pursuant to a petition under section 66268.6, with respect to those wastes and units covered by the petition;
(3) The wastes meet the applicable alternate treatment standards established pursuant to a petition granted under section 66268.44; 
(4) Persons have been granted an extension to the effective date of a prohibition pursuant to section 66268.5, with respect to these wastes covered by the extension.
(g) To determine whether a hazardous waste identified in this section exceeds the applicable treatment standards specified in section 66268.40, the initial generator shall test a sample of the waste extract or the entire waste, depending on whether the treatment standards are expressed as concentrations in the waste extract or the waste, or the generator may use knowledge of the waste. If the waste contains constituents in excess of the applicable article 4 levels, the waste is prohibited from land disposal, and all requirements of this chapter are applicable, except as otherwise specified.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 268.39.
HISTORY

1. Change without regulatory effect adding new section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
2. Change without regulatory effect amending subsection (c) filed 9-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 37).
§66268.39.5. Waste Specific Prohibitions--Newly Listed and Identified Wastes.
Note     •     History

(a) Effective August 24, 1998, all newly identified D004-D011 wastes and characteristic mineral processing wastes, except those identified in subsection (b) of this section, are prohibited from underground injection.
(b) Effective May 26, 2000, RCRA characteristic wastes from titanium dioxide mineral processing, and radioactive wastes mixed with newly identified D004-D011 or mixed with newly identified characteristic mineral processing wastes, are prohibited from underground injection.
(c) Effective August 11, 1997, the wastes specified in section 66261.32 as EPA Hazardous Waste Numbers F032, F034, and F035 are prohibited from underground injection.
(d) Effective May 12, 1999, the wastes specified in section 66261.32 as EPA Hazardous Waste Numbers F032, F034, and F035 that are mixed with radioactive wastes are prohibited from underground injection.
(e) On July 8, 1996, the wastes specified in section 66261.32 as EPA  Hazardous Waste Numbers K156-K161, P127, P128, P185, P188-P192, P194, P196-P199, P201-P205, U271, U277-U280, U364-U367, U372, U373, U375-U379, U381-U387, U389-U396, U400-U404, U407, and U409-U411 are prohibited from underground injection.
(f) On January 8, 1997, the wastes specified in section 66261.32 as EPA Hazardous Waste Number K088 is prohibited from underground injection.
(g) On April 8, 1998, the waste specified in section 66261.32 as EPA Hazardous Waste Numbers D018-D043, and Mixed TC/Radioactive wastes, are prohibited from underground injection.
(h) [Reserved]
(i) Effective February 8, 1999, the wastes specified in section 66261.32 as EPA Hazardous Waste Numbers K169, K170, K171, and K172 are prohibited from underground injection.
(j) Effective May 8, 2001, the wastes specified in section 66261.32 as EPA Hazardous Waste Numbers K174 and K175 are prohibited from underground injection.
(k) The requirements of subsections (a) through (j) of this section do not apply if:
(1) The wastes meet the applicable treatment standards specified in article 4 of this chapter;
(2) Persons have been granted an exemption from a prohibition pursuant to a petition under section 66268.6, with respect to those wastes and units covered by the petition; or
(3) Persons have been granted an extension to the effective date of a prohibition pursuant to section 66268.5, with respect to those wastes covered by the extension.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 148.18.
HISTORY

1. Change without regulatory effect adding new section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
2. Change without regulatory effect amending section heading and repealing and adopting new section filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
Article 4. Treatment Standards
§66268.40. Applicability of Treatment Standards.
Note     •     History

Note: The treatment standards that heretofore appeared in tables in sections 66268.41, 66268.42, and 66268.43 of this chapter have been consolidated into the table “Treatment Standards for Hazardous Wastes” in this section.
(a) A prohibited waste identified in the table “Treatment Standards for Hazardous Wastes” may be land disposed only if it meets the requirements found in the table. For each waste, the table identifies one of three types of treatment standard requirements:
(1) All hazardous constituents in the waste or in the treatment residue shall be at or below the values found in the table for that waste (“total waste standards”); or,
(2) The hazardous constituents in the extract of the waste or in the extract of the treatment residue shall be at or below the values found in the table (“waste extract standards”); or,
(3) The waste shall be treated using the technology specified in the table (“technology standard”), which are described in detail in section 66268.42 Table 1 - Technology Codes and Description of Technology-Based Standards.
(b) For wastewaters, compliance with concentration level standards is based on maximums for any one day, except for D004 through D011 wastes for which the previously promulgated treatment standards based on grab samples remain in effect. For all nonwastewaters, compliance with concentration level standards is based on grab sampling. For wastes covered by the waste extract standards, the test Method 1311, the Toxicity Characteristic Leaching Procedure found in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods.” EPA Publication SW-846, as incorporated by reference in section 66260.11 (a)(19), shall be used to measure compliance. An exception is made for D004 and D008, for which either of two test methods may be used: Method 1311, or Method 1310, the Extraction Procedure Toxicity Test. For wastes covered by a technology standard, the wastes may be land disposed after being treated using that specified technology or an equivalent treatment technology approved by the Department under the procedures set forth in section 66268.42(b). 
(c) When wastes with differing treatment standards for a constituent of concern are combined for purposes of treatment, the treatment residue shall meet the lowest treatment standard for the constituent of concern.
(d) Notwithstanding the prohibitions specified in subsection (a) of this section, treatment and disposal facilities may demonstrate (and certify pursuant to section 66268.7(b)(5)) compliance with the treatment standards for organic constituents specified by a footnote in the table “Treatment Standards for Hazardous Wastes” in this section, provided the following conditions are satisfied:
(1) The treatment standards for the organic constituents were established based on incineration in units operated in accordance with the technical requirements of article 15 of chapter 14 or based on combustion in fuel substitution units operating in accordance with applicable technical requirements;
(2) The treatment or disposal facility has used the methods referenced in subsection (d)(1) of this section to treat the organic constituents; and
(3) The treatment or disposal facility may demonstrate compliance with organic constituents if good-faith analytical efforts achieve detection limits for the regulated organic constituents that do not exceed the treatment standards specified in this section by an order of magnitude.
(e) For characteristic wastes (D001-D043) that are subject to treatment standards in the following table “Treatment Standards for Hazardous Wastes,” and are not managed in a wastewater treatment system that is regulated under the federal Clean Water Act (CWA), that is federal CWA-equivalent, or that is injected into a Class I nonhazardous deep injection well, all underlying hazardous constituents (as defined in section 66260.10) shall meet Universal Treatment Standards, found in section 66268.48, Table Universal Treatment Standards, prior to land disposal as defined in section 66260.10 of this division.
(f) The treatment standards for F001--F005 nonwastewater constituents carbon disulfide, cyclohexanone, and/or methanol apply to wastes which contain only one, two, or three of these constituents. Compliance is measured for these constituents in the waste extract from test Method 1311, the Toxicity Characteristic Leaching Procedure found in “Test Method for Evaluating Solid Waste,  Physical/Chemical Methods.” EPA Publication SW-846, as incorporated by reference in section 66260.11 (a)(19). If the waste contains any of these three constituents along with any of the other 25 constituents found in F001--F005, then compliance with treatment standards for carbon disulfide, cyclohexanone, and/or methanol are not required.
(g) Between August 26, 1996 and March 4, 1999 the treatment standards for the wastes specified in section 66261.32 as EPA Hazardous Waste numbers K156-K159, and K161; and in section 66261.33 as EPA Hazardous Waste numbers P127, P128, P185, P188-P192, P194, P196-P199, P201-P205, U271, U278-U280, U364, U367, U372, U373, U387, U389, U394, U395, U404, and U409-U411; and soil contaminated with these wastes; may be satisfied by either meeting the constituent concentrations presented in the table “Treatment Standards for Hazardous Wastes” in this section, or by treating the waste by the following technologies: combustion, as defined by the technology code CMBST in section 66268.42 Table 1, for nonwastewaters; and, biodegradation as defined by the technology code BIODG, carbon adsorption as defined by the technology code CARBN, chemical oxidation as defined by the technology code CHOXD, or combustion as defined as technology code CMBST at section 66268.42 Table 1, for wastewaters.
(h) Prohibited D004-D011 mixed radioactive wastes and mixed radioactive listed wastes containing metal constituents, that were previously treated by stabilization to the treatment standards in effect at that time and then put into storage, do not have to be re-treated to meet treatment standards in this section prior to land disposal.
(i) Zinc micronutrient fertilizers that are produced for the general public's use and that are produced from or contain recycled characteristic hazardous wastes (D004-D011) are subject to the applicable treatment standards in section 268.41 contained in the 40 CFR, parts 260 to 299, edition revised as of July 1, 1990.
(j) Effective September 4, 1998, the treatment standards for the wastes specified in section 66261.33 as EPA Hazardous Waste numbers P185, P191, P192, P197, U364, U394, and U395 may be satisfied by either meeting the constituent concentrations presented in the table “Treatment Standards for Hazardous Wastes” in this section, or by treating the waste by the following technologies: combustion, as defined by the technology code CMBST at section 66268.42 Table 1 of this chapter, for nonwastewaters; and, biodegradation as defined by the technology code BIODG, carbon adsorption as defined by the technology code CARBN, chemical oxidation as defined by the technology code CHOXD, or combustion as defined as technology code CMBST at section 66268.42 Table 1 of this chapter, for wastewaters.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268.40.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer and new text, amendment of Note, and new Table filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new text, amendment of Note, and new Table refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new text, amendment of Note, and new Table  refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Repealer and new text, amendment of Note, and new Table refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order including amendment of subsections (a)(1)-(c), (e) and (f) and table transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Change without regulatory effect amending subsections (d) and (e) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
8. Amendment of listing P015 in Table filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
9. Change without regulatory effect amending subsection (a), repealing and adopting new subsection (e), adding new subsections (g)-(h), and repealing and adopting new table filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
10. Change without regulatory effect amending subsection (g), adding subsections (i)-(j) and amending Table ``Treatment Standards for Hazardous Wastes” filed 9-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 37).
11. Change without regulatory effect amending subsection (j) and amending Table, ``Treatment Standards for Hazardous Wastes” filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
12. Change without regulatory effect amending Table, “Treatment Standards for Hazardous Wastes” to remove listing U202 (Saccharin and salts) filed 2-8-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 6).
13. Change without regulatory effect amending Table, “Treatment Standards for Hazardous Wastes,” listings K156, et seq., P127, et seq. and U271, et seq. filed 7-12-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 28).

Treatment Standards for Hazardous Wastes
Note: NA means not applicable

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(1)  The waste descriptions provided in this table do not replace waste descriptions in Title 22, CCR, chapter 11.  Descriptions  of Treatment/Regulatory Subcategories are provided, as needed, to distinguish between applicability of different standards.
(2)  CAS means Chemical Abstract Services.  When the waste code and/or regulated constituents are described as a combination of a  chemical with its salts and/or esters, the CAS number is given for the parent compound only.
(3) Concentration standards for wastewaters are expressed in mg/l are based on analysis of composite samples.
(4)  All treatment standards expressed as a Technology Code or combination of Technology Codes are explained in detail in section  66268.42 Table 1 -- Technology Codes and Descriptions of Technology-Based Standards.
(5)  Except for Metals (EP or TCLP) and Cyanides (Total and Amenable) the nonwastewater treatment standards expressed as a  concentration were established, in part, based upon incineration in units operated in accordance with the technical requirements  of Title 22, CCR, chapter 14, article 15 or chapter 15, article 15, or based upon combustion in fuel substitution units operating  in accordance with applicable technical requirements.  A facility may comply with these treatment standards according to  provisions in section 66268.40(d).  All concentration standards for nonwastewaters are based on analysis of grab samples.
(6)  Where an alternate treatment standard or set of alternate standards has been indicated, a facility may comply with this  alternate standard, but only for the Treatment/Regulatory Subcategory or physical form (i.e., wastewater and/or nonwastewater)  specified for that alternate standard.
(7)  Both Cyanides (Total) and Cyanides (Amenable) for nonwastewaters are to be analyzed using Method 9010 or 9012, found in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” USEPA Publication SW-846, as incorporated by reference in section 66260.11, with a  sample size of 10 grams and a distillation time of one hour and 15 minutes.
(8) These wastes, when rendered nonhazardous and then subsequently managed in federal CWA, or federal CWA-equivalent systems, are not subject to treatment standards. (See section 66268.1(c)(3) and (4)).
(9) These wastes, when rendered nonhazardous and then subsequently injected in a Class I federal Safe Drinking Water Act (SDWA) well, are not subject to treatment standards.
(10) The treatment standard for this waste may be satisfied by either meeting the constituent concentrations in this table or by treating the waste by the specified technologies: combustion, as defined by the technology code CMBST in section 66268.42 Table 1 of this chapter, for nonwastewaters; and, biodegradation as defined by the technology code BIODG, carbon adsorption as defined by the technology code CARBN, chemical oxidation as defined by the technology code CHOXD, or combustion as defined as technology code CMBST in section 66268.42 Table 1 of this chapter, for wastewaters.
(11) For these wastes, the definition of CMBST is limited to: (1) combustion units operating under CCR, Title 22, chapter 16, (2) combustion units permitted under CCR, Title 22, chapter 14, article 15, or (3) combustion units operating under CCR, Title 22, chapter 15, article 15, which have obtained a determination of equivalent treatment under section 66268.42(b).
(12) Disposal of K175 wastes that have complied with all applicable section 66268.40 treatment standards must also be macroencapsulated in accordance with 66268.45 Table 1 unless the waste is placed in:
(1) A RCRA Subtitle C monofill containing only K175 wastes that meet all applicable section 66268.40 treatment standards; or
(2) A dedicated RCRA Subtitle C landfill cell in which all other wastes being co-disposed are at pH36.0.
NOTE:     NA means not applicable.
§66268.41. Treatment Standards Expressed As Concentrations in Waste Extract.
Note     •     History

For the requirements previously found in this section and for treatment standards in Table CCWE--Constituent Concentrations in Waste Extracts, refer to section 66268.40 of this chapter.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268.41.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Editorial correction of History 1. and  amendment of subsection (a) refiled, including further amendments, new section refiled 9-3-91 as an emergency; operative 9-3-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 1-2-92 or emergency language will be repealed by operation of law on the following day.
3. Emergency order of 5-6-91 amending subsection (a) filed 12-26-91 as an emergency; operative 12-26-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 4-24-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
5. Repealer of emergency amendments and reinstatement of prior text filed 11-2-92 by operation of Government Code section 11346.1(f) (Register 92, No. 45).
6. Repealer and new text, amendment of Note, and repealer of Table CCWE filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
7. Repealer and new text, amendment of Note, and repealer of Table CCWE refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
8. Repealer and new text, amendment of  Note and repealer of Table CCWE refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
9. Repealer and new text, amendment of  Note and repealer of Table CCWE refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
11. Change without regulatory effect repealing subsection (a) designator filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
§66268.42. Treatment Standards Expressed As Specified Technologies.
Note     •     History

NOTE: For the requirements previously found in this section in Table 2 -- TECHNOLOGY-BASED STANDARDS BY RCRA WASTE CODE, and Table 3 -- TECHNOLOGY-BASED STANDARDS FOR SPECIFIC RADIOACTIVE HAZARDOUS MIXED WASTE, refer to section 66268.40 of this chapter.
(a) The following wastes in the table in section 66268.40 “Treatment Standards for Hazardous Wastes,” for which standards are expressed as a treatment method rather than a concentration level, shall be treated using the technology or technologies specified in the table entitled “Technology Codes and Description of Technology-Based Standards” in this section. 
(1) Liquid hazardous wastes containing polychlorinated biphenyls (PCBs) at concentrations greater than or equal to 50 ppm but less than 500 ppm shall be incinerated in accordance with the technical requirements of 40 CFR 761.70 or burned in high efficiency boilers in accordance with the technical requirements of 40 CFR 761.60. Liquid hazardous wastes containing polychlorinated biphenyls (PCBs) at concentrations greater than or equal to 500 ppm shall be incinerated in accordance with the technical requirements of 40 CFR 761.70. Thermal treatment under this section shall also be in compliance with applicable regulations in chapters 14, 15, and 16.
(2) Nonliquid hazardous wastes containing halogenated organic compounds (HOCs) in total concentration greater than or equal to 1,000 mg/kg and liquid HOC-containing wastes that are prohibited under section 66268.32(e)(1) of this chapter shall be incinerated in accordance with the requirements of chapter 14, article 15 or chapter 15, article 15. These treatment standards do not apply where the waste is subject to a chapter 18, article 4 treatment standard for a specific HOC (such as a hazardous waste chlorinated solvent for which a treatment standard is established under section 66268.41(a)).
(b) Any person may submit an application to the Department demonstrating that an alternative treatment method will result in a level of performance substantially equivalent or greater than that achievable using the method or methods specified in paragraphs (a), (c) and (d) of this section for wastes or hazardous debris specified in Table 1 of section 66268.45. The applicant shall demonstrate that the USEPA Administrator has approved the use of the alternative treatment method pursuant to 40 CFR 268.42(b). The approval shall demonstrate to the satisfaction of the Department that the method is in compliance with all federal, state and local requirements and is protective of human health and the environment. On the basis of such information and any other available information, the Department may approve the use of the alternative treatment method if the Department finds that the alternative treatment method will result in a level of performance substantially equivalent or greater than that achievable using the methods specified in subsections (a), (c) and (d) of this section for wastes or hazardous debris specified in Table 1 of section 66268.45. Any approval shall be stated in writing and may contain such provisions and conditions as the Department deems appropriate. The person to whom such approval is issued shall comply with all limitations contained in such a determination.
(c) As an alternative to the otherwise applicable article 4 treatment standards, lab packs are eligible for land disposal provided the following requirements are met:
(1) the lab packs comply with the applicable provisions of section 66264.316 and section 66265.316;
(2) the lab pack does not contain any of the wastes listed in Appendix IV to chapter 18;
(3) the lab packs are incinerated in accordance with the requirements of article 15, chapter 14 or article 15, chapter 15 and;
(4) any incinerator residues from lab packs containing D004, D005, D006, D007, D008, D010, and D011 are treated in compliance with the applicable treatment standards specified for such wastes in article 4, chapter 18.
(d) Radioactive hazardous mixed wastes are subject to the treatment standards in section 66268.40. Where treatment standards are specified for radioactive mixed wastes in the Table of Treatment Standards, those treatment standards will govern. Where there is no specific treatment standard for radioactive mixed waste, the treatment standard for the hazardous waste (as designated by EPA waste code) applies. Hazardous debris containing radioactive waste is subject to the treatment standards specified in section 66268.45.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268.42.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section, Note and Table 1 and repealer of Tables 2 and 3 filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section, Note and Table 1 and repealer of Tables 2 and 3 refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section, Note and Table 1 and repealer of Tables 2 and 3 refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section, Note and Table 1 and repealer of Tables 2 and 3 refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order including new subsection (a)(3) and amendment of subsection (b) and Table 1 transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Change without regulatory effect repealing and adopting new subsection (a), repealing subsection (a)(3), and amending table filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
8. Change without regulatory effect amending Table 1 filed 2-26-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 9).

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§66268.43. Treatment Standards Expressed As Waste Concentrations.
Note     •     History

For the requirements previously found in this section and for treatment standards in Table CCW -- Constituent Concentrations in Wastes, refer to section 66268.40.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268.43.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer and new text, amendment of Note and repealer of tables filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new text, amendment of Note and repealer of tables refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new text, amendment of Note and repealer of tables refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Repealer and new text, amendment of Note and repealer of Tables refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
§66268.44. Variance from a Treatment Standard.
Note     •     History

(a) Based on a petition filed by a generator or treater of RCRA hazardous waste, the USEPA Administrator may approve a variance from an applicable treatment standard if:

	(1) It is not physically possible to treat the waste to the level specified in the treatment standard, or by the method specified as the treatment standard. To show that this is the case, the petitioner shall demonstrate that because the physical or chemical properties of the waste differ significantly from waste analyzed in developing the treatment standard, the waste cannot be treated to the specified level or by the specified method; or

	(2) It is inappropriate to require the waste to be treated to the level specified in the treatment standard or by the method specified as the treatment standard, even though such treatment is technically possible. To show that this is the case, the petitioner shall either demonstrate that:

	(A) Treatment to the specified level or by the specified method is technically inappropriate (for example, resulting in combustion of large amounts of mildly contaminated environmental media); or

	(B) For remediation waste only, treatment to the specified level or by the specified method is environmentally inappropriate because it would likely discourage aggressive remediation.
(b) For hazardous waste subject to RCRA land disposal restrictions set forth in article 4 of this chapter, the applicant shall petition the U.S. EPA Administrator for a variance from a treatment standard pursuant to 40 CFR section 268.44. Within 30 days after the applicant has received from the U.S. EPA Administrator an approved variance from a treatment standard, the applicant shall submit to the Department a copy of the approved variance.
(c) For hazardous waste listed in section 66268.29 of this chapter subject to non-RCRA land disposal restrictions set forth in article 11 of this chapter, the applicant shall petition the Department for a variance from a treatment standard pursuant to this section and section 25179.8, Health and Safety Code. Each petitioner shall demonstrate that all the following conditions apply to the waste.
(1) The hazardous waste cannot be recycled, reused, or treated to meet the standards adopted by the department pursuant to section 25179.6 California Health and Safety Code at a commercial offsite hazardous waste facility in the state.
(2) Recycling or treatment alternatives cannot be provided at the site of generation.
(3) Measures have been, or will be, taken to reduce the generation of the hazardous waste.
(4) Land disposal of the hazardous waste is in compliance with all existing statutes and regulations.
(d) A generator, treatment facility, or disposal facility that is managing a waste covered by a variance from the treatment standards shall comply with the waste analysis requirements for restricted wastes found under section 66268.7.
(e) During the petition review process, the applicant is required to comply with all restrictions on land disposal under this chapter once the effective date for the waste has been reached.
(f) Based on a petition filed by a generator or treater of RCRA hazardous waste, the Department may approve a site-specific variance from an applicable treatment standard pursuant to this section and Health and Safety Code section 25179.8 if:

	(1) It is not physically possible to treat the waste to the level specified in the treatment standard, or by the method specified as the treatment standard. To show that this is the case, the petitioner shall demonstrate that because the physical or chemical properties of the waste differ significantly from waste analyzed in developing the treatment standard, the waste cannot be treated to the specified level or by the specified method; or

	(2) It is inappropriate to require the waste to be treated to the level specified in the treatment standard or by the method specified as the treatment standard, even though such treatment is technically possible. To show that this is the case, the petitioner shall either demonstrate that:

	(A) Treatment to the specified level or by the specified method is technically inappropriate (for example, resulting in combustion of large amounts of mildly contaminated environmental media where the treatment standard is not based on combustion of such media); or

	(B) For remediation waste only, treatment to the specified level or by the specified method is environmentally inappropriate because it would likely discourage aggressive remediation.

	(3) For contaminated soil only, treatment to the level or by the method specified in the soil treatment standards would result in concentrations of hazardous constituents that are below (i.e., lower than) the concentrations necessary to minimize short- and long-term threats to human health and the environment. Treatment variances approved under this subsection shall:

	(A) At a minimum, impose alternative land disposal restriction treatment standards that, using a reasonable maximum exposure scenario:
1. for carcinogens, achieve constituent concentrations that result in the total excess risk to an individual exposed over a lifetime generally falling within a range from 10-4 to 10-6; and
2. for constituents with non-carcinogenic effects, achieve constituent concentrations that an individual could be exposed to on a daily basis without appreciable risk of deleterious effect during a lifetime.
(B) not consider post-land-disposal controls.

	(4) For contaminated soil only, treatment to the level or by the method specified in the soil treatment standards would result in concentrations of hazardous constituents that are below (i.e., lower than) natural background concentrations at the site where the contaminated soil will land disposed.
(5) Public notice and a reasonable opportunity for public comment shall be provided before granting or denying a petition.
(g) Each petition shall be submitted to the Department and shall include:
(1) The petitioner's name and address;
(2) A statement of the petitioner's interest in the proposed action;

	(3) A description of the proposed action, including (where appropriate) suggested regulatory language; and

	(4) A statement of the need and justification for the proposed action, including any supporting tests, studies, or other information.
(h) For hazardous waste listed in section 66268.29 of this chapter subject to non-RCRA land disposal restrictions set forth in article 11 of this chapter, the applicant shall petition the Department for a site-specific variance from a treatment standard pursuant to this section and section 25179.8, Health and Safety Code. Each petitioner for a site-specific variance shall demonstrate that all the following conditions apply to the waste.
(1) The hazardous waste cannot be recycled, reused, or treated to meet the standards adopted by the department pursuant to section 25179.6 California Health and Safety Code at a commercial offsite hazardous waste facility in the state.
(2) Recycling or treatment alternatives cannot be provided at the site of generation.
(3) Measures have been, or will be, taken to reduce the generation of the hazardous waste.
(4) Land disposal of the hazardous waste is in compliance with all existing statutes and regulations.
(i) A generator, treatment facility, or disposal facility that is managing a waste covered by a site-specific variance from a treatment standard shall comply with the waste analysis requirements for restricted wastes found under section 66268.7.
(j) During the application review process, the applicant for a site-specific variance shall comply with all restrictions on land disposal under this chapter once the effective date for the waste has been reached.
(k) After receiving a petition pursuant to subsections (c), (f), and (h) for variance from a treatment standard, the Department may request any additional information or samples which the Department may require to evaluate the petition. Additional copies of the petition may be requested as needed. Within 45 days of the receipt of the petition, the Department shall inform the petitioner, in writing, that the petition is complete and accepted for filing, or that the petition is deficient and what specific information is required.
(l) The Department shall make a decision on a petition pursuant to subsections (c), (f), and (h) for variance from a treatment standard within 120 days of the filing of a completed petition.

	(m) For all variances, the petitioner shall also demonstrate that compliance with any given treatment variance is sufficient to minimize threats to human health and the environment posed by land disposal of the waste. In evaluating this demonstration, the Department may take into account whether a treatment variance should be approved if the subject waste is to be used in a manner constituting disposal.
NOTE

Authority cited: Sections 25150, 25159, 25179.5, 25179.6 and 58012, Health and Safety Code and Section 15376, Government Code. Reference: Sections 25150, 25159, 25159.5 and 25179.8, Health and Safety Code; Section 15376, Government Code; 40 CFR Section 268.44.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a)-(c) and (f)-(h) filed 7-23-97; operative 8-22-97 (Register 97, No. 30).
3. Change without regulatory effect amending section and Note filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
§66268.45. Treatment Standards for Hazardous Debris.
Note     •     History

(a) Treatment standards. Hazardous debris shall be treated prior to land disposal as follows unless the Department determines under section 66261.3(e)(2) of this division that the debris is no longer contaminated with hazardous waste or the debris is treated to the waste-specific treatment standard provided in this article for the waste contaminating the debris;
(1) General. Hazardous debris shall be treated for each “contaminant subject to treatment” defined by paragraph (b) of this section using the technology or technologies identified in Table 1 of this section.
(2) Characteristic debris. Hazardous debris that exhibits the characteristic of ignitability, corrosivity, or reactivity identified under sections 66261.21, 66261.22, and 66261.23, respectively, shall be deactivated by treatment using one of the technologies identified in Table 1 of this section.
(3) Mixtures of debris types. The treatment standards of Table 1 in this section shall be achieved for each type of debris contained in a mixture of debris types. If an immobilization technology is used in a treatment train, it shall be the last treatment technology used.
(4) Mixtures of contaminant types. Debris that is contaminated with two or more contaminants subject to treatment identified under paragraph (b) of this section shall be treated for each contaminant using one or more treatment technologies identified in Table 1 of this section. If an immobilization technology is used in a treatment train, it shall be the last treatment technology used.
(5) Waste PCBs. Hazardous debris that is also a waste PCB under 40 CFR part 761 is subject to the requirements of either 40 CFR part 761 or the requirements of this section, whichever are more stringent.
(b) Contaminants subject to treatment. Hazardous debris shall be treated for each “contaminant subject to treatment.” The contaminants subject to treatment shall be determined as follows: 
(1) Toxicity characteristic debris. The contaminants subject to treatment for debris that exhibits the Toxicity Characteristic (TC) by section 66261.24(a)(1) are those EP constituents for which the debris exhibits the TC toxicity characteristic.
(2) Debris contaminated with listed waste. The contaminants subject to treatment for debris that is contaminated with a prohibited listed hazardous waste are those constituents or wastes for which treatment standards are established for the waste under section 66268.40.
(3) Cyanide reactive debris. Hazardous debris that is reactive because of cyanide shall be treated for cyanide.
(c) Conditioned exclusion of treated debris. Hazardous debris that has been treated using one of the specified extraction or destruction technologies in Table 1 of this section and that does not exhibit a characteristic of hazardous waste as identified in article 3 of chapter 11 of this division after treatment is not a hazardous waste and need not be managed in a hazardous waste facility. Hazardous debris contaminated with a listed waste that is treated by an immobilization technology specified in Table 1 is a hazardous waste and shall be managed in a hazardous waste facility.
(d) Treatment residuals - (1) General Requirements. Except as provided by paragraphs (d)(2) and (d)(4) of this section:
(A) Residue from the treatment of hazardous debris shall be separated from the treated debris using simple physical or mechanical means; and
(B) Residue from the treatment of hazardous debris is subject to the waste-specific treatment standards provided by article 4 of this chapter for the waste contaminating the debris.
(2) Nontoxic debris. Residue from the deactivation of ignitable, corrosive, or reactive characteristic hazardous debris (other than cyanide-reactive) that is not contaminated with a contaminant subject to treatment defined by subsection (b) of this section, shall be deactivated prior to land disposal and is not subject to the waste-specific treatment standards of article 4 of this chapter.
(3) Cyanide-reactive debris. Residue from the treatment of debris that is reactive because of cyanide shall meet the treatment standards for D003 in “Treatment Standards for Hazardous Wastes” under section 66268.40.
(4) Ignitable nonwastewater residue. Ignitable nonwastewater residue containing equal to or greater than 10% total organic carbon is subject to the technology specified in the treatment standard for D001: Ignitable Liquids.
(5) Residue from spalling. Layers of debris removed by spalling are hazardous debris that remain subject to the treatment standards of this section.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 268.45.
HISTORY

1. New section and Table 1 filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section and Table 1 refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New section and Table 1 refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New section and Table 1 refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order including amendment of subsections (a)-(b)(1), (b)(3), (c), (d)(1), (d)(1)(A) and (d)(2)-(3) and amendment of Table 1 transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
6. Change without regulatory effect amending subsections (a), (c), (d)(1)(B) and (d)(2) and footnote 8 of Table 1 filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
7. Change without regulatory effect amending subsections (a), (b)(1), (d)(3) and (d)(4) filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
8. Change without regulatory effect amending subsection (c)(4) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).

View Graphic

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§66268.46. Alternative Treatment Standards Based on HTMR.
Note     •     History

For the treatment standards previously found in this section, refer to section 66268.40.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 268.46.
HISTORY

1. New section filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
§66268.48. Universal Treatment Standards.
Note     •     History

(a) Table UTS identifies the hazardous constituents, along with the nonwastewater and wastewater treatment standard levels, that are used to regulate most prohibited hazardous wastes with numerical limits. For determining compliance with treatment standards for underlying hazardous constituents as defined in section 66260.10, these treatment standards may not be exceeded. Compliance with these treatment standards is measured by an analysis of grab samples, unless otherwise noted in the following Table UTS.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 268.48.
HISTORY

1. New section and Table filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section and Table refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
3. New section and Table  refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
4. New section and Table refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
6. Change without regulatory effect repealing and adopting new table filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
7. Change without regulatory effect amending Table ``Universal Treatment Standards” filed 9-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 37).
8. Change without regulatory effect amending Table, ``Universal Treatment Standards” filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
9. Change without regulatory effect amending Table “Universal Treatment Standards” filed 7-12-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 28).

UNIVERSAL TREATMENT STANDARDS   NOTE: NA means not applicable

				Wastewater Standard	Nonwastewater Standard
		
		REGULATED CONSTITUENT 		Concentration	Concentration in mg/kg3
		Common Name	CAS1 Number	in mg/12	unless noted as “mg/1 TCLP”

	Organic Constituents
	Acenaphthylene	208-96-8	0.059	3.4	
	Acenaphthene	83-32-9	0.059	3.4	
	Acetone	67-64-1	0.28	160	
	Acetonitrile	75-05-8	5.6	38	
	Acetophenone	96-86-2	0.010	9.7	
	2-Acetylaminofluorene	53-96-3	0.059	140	
	Acrolein	107-02-8	0.29	NA	
	Acrylamide	79-06-1	19	23	
	Acrylonitrile	107-13-1	0.24	84	
	Aldrin	309-00-2	0.021	0.066	
	4-Aminobiphenyl	92-67-1	0.13	NA	
	Aniline	62-53-3	0.81	14	
	Anthracene	120-12-7	0.059	3.4	
	Aramite	140-57-8	0.36	NA	
	alpha-BHC	319-84-6	0.00014	0.066	
	beta-BHC	319-85-7	0.00014	0.066	
	delta-BHC	319-86-8	0.023	0.066	
	gamma-BHC	58-89-9	0.0017	0.066	

	Benzene	71-43-2	0.14	10	
	Benz(a)anthracene	56-55-3	0.059	3.4	
	Benzal chloride	98-87-3	0.055	6.0	
	Benzo(b)fluoranthene (difficult to distinguish from	205-99-2	0.11	6.8	 benzo(k)fluoranthene)				
	Benzo(k)fluoranthene (difficult to distinguish from 	207-08-9	0.11	6.8	
	benzo(b)fluoranthene)				
	Benzo(g,h,i)perylene	191-24-2	0.0055	1.8	
	Benzo(a)pyrene	50-32-8	0.061	3.4	
	Bromodichloromethane	75-27-4	0.35	15	
	Bromomethane/Methyl bromide 	74-83-9	0.11	15	
	4-Bromophenyl phenyl ether	101-55-3	0.055	15	
	n-Butyl alcohol	71-36-3	5.6	2.6	
	Butyl benzyl phthalate	85-68-7	0.017	28	
	2-sec-Butyl-4,6-dinitrophenol-Dinoseb	88-85-7	0.066	2.5	
	Carbon disulfide	75-15-0	3.8	4.8 mg/l TCLP	
	Carbon tetrachloride	56-23-5	0.057	6.0	
	Chlordane (alpha and gamma isomers)	57-74-9	0.0033	0.26	
	p-Chloroaniline	106-47-8	0.46	16	
	Chlorobenzene	108-90-7	0.057	6.0	
	Chlorobenzilate	510-15-6	0.10	NA	
	2-Chloro-1,3-butadiene	126-99-8	0.057	0.28	
	Chlorodibromomethane	124-48-1	0.057	15	
	Chloroethane	75-00-3	0.27	6.0	
	bis (2-Chloroethoxy) methane	111-91-1	0.036	7.2	
	bis (2-Chloroethyl) ether	111-44-4	0.033	6.0	
	Chloroform	67-66-3	0.046	6.0	
	bis (2-Chloroisopropyl) ether	39638-32-9	0.055	7.2	
	p-Chloro-m-cresol	59-50-7	0.018	14	
	2-Chloroethyl vinyl ether	110-75-8	0.062	NA	
	Chloromethane/Methyl chloride	74-87-3	0.19	30	
	2-Chloronaphthalene	91-58-7	0.055	5.6	
	2-Chlorophenol	95-57-8	0.044	5.7	
	3-Chloropropylene	107-05-1	0.036	30	
	Chrysene	218-01-9	0.059	3.4	
	o-Cresol	95-48-7	0.11	5.6	
	m-Cresol (difficult to distinguish from p-cresol)	108-39-4	0.77	5.6	
	p-Cresol (difficult to distinguish from m-cresol)	106-44-5	0.77	5.6	
	Cyclohexanone	108-94-1	0.36	0.75 mg/l TCLP	
	o,p'-DDD	53-19-0	0.023	0.087	
	p,p'-DDD	72-54-8	0.023	0.087	
	o,p'-DDE	3424-82-6	0.031	0.087	
	p,p'-DDE	72-55-9	0.031	0.087	
	o,p'-DDT	789-02-6	0.0039	0.087	
	p,p'-DDT	50-29-3	0.0039	0.087	

	Dibenz (a,h) anthracene	53-70-3	0.055	8.2	
	Dibenz (a,e) pyrene	192-65-4	0.061	NA	
	1,2-Dibromo-3-chloropropane	96-12-8	0.11	15	
	1,2-Dibromoethane/Ethylene dibromide	106-93-4	0.028	15	
	Dibromomethane	74-95-3	0.11	15	
	m-Dichlorobenzene	541-73-1	0.036	6.0	
	o-Dichlorobenzene	95-50-1	0.088	6.0	
	p-Dichlorobenzene	106-46-7	0.090	6.0	
	Dichlorodifluoromethane	75-71-8	0.23	7.2	

	1,1-Dichloroethane	75-34-3	0.059	6.0	
	1,2-Dichloroethane	107-06-2	0.21	6.0	
	1,1-Dichloroethylene	75-35-4	0.025	6.0	

				Wastewater Standard	Nonwastewater Standard
		
		REGULATED CONSTITUENT 		Concentration	Concentration in mg/kg3
		Common Name	CAS1 Number	in mg/12	unless noted as “mg/1 TCLP”

	trans-1,2-Dichloroethylene	156-60-5	0.054	30	
	2,4-Dichlorophenol	120-83-2	0.044	14	
	2,6-Dichlorophenol	87-65-0	0.044	14	
	2,4-Dichlorophenoxyacetic acid/2,4-D	94-75-7	0.72	10	
	1,2-Dichloropropane	78-87-5	0.85	18	
	cis-1,3-Dichloropropylene	10061-01-5	0.036	18	
	trans-1,3-Dichloropropylene	10061-02-6	0.036	18	
	Dieldrin	60-57-1	0.017	0.13	
	Diethyl phthalate	84-66-2	0.20	28	
	p-Dimethylaminoazobenzene	60-11-7	0.13	NA

	2-4-Dimethyl phenol	105-67-9	0.036	14	
	Dimethyl phthalate	131-11-3	0.047	28	

	Di-n-butyl phthalate	84-74-2	0.057	28	
	1,4-Dinitrobenzene	100-25-4	0.32	2.3	
	4,6-Dinitro-o-cresol	534-52-1	0.28	160	
	2,4-Dinitrophenol	51-28-5	0.12	160	
	2,4-Dinitrotoluene	121-14-2	0.32	140	
	2,6-Dinitrotoluene	606-20-2	0.55	28	
	Di-n-octyl phthalate	117-84-0	0.017	28	
	Di-n-propylnitrosamine	621-64-7	0.40	14	
	1,4-Dioxane	123-91-1	12.0	170	
	Diphenylamine (difficult to distinguish from 	122-39-4	0.92	13	
	diphenylnitrosamine)				
	Diphenylnitrosamine (difficult to distinguish 	86-30-6	0.92	13	
	from diphenylamine)				
	1,2-Diphenylhydrazine	122-66-7	0.087	NA	
	Disulfoton	298-04-4	0.017	6.2	

	Endosulfan I	959-98-8	0.023	0.066	
	Endosulfan II	33213-65-9	0.029	0.13	
	Endosulfan sulfate	1031-07-8	0.029	0.13	
	Endrin	72-20-8	0.0028	0.13	
	Endrin aldehyde	7421-93-4	0.025	0.13	

	Ethyl acetate	141-78-6	0.34	33	
	Ethyl benzene	100-41-4	0.057	10

	Ethyl cyanide/Propanenitrile	107-12-0	0.24	360	
	Ethyl ether	60-29-7	0.12	160	
	bis (2-Ethylhexyl) phthalate	117-81-7	0.28	28	
	Ethyl methacrylate	97-63-2	0.14	160	
	Ethylene oxide	75-21-8	0.12	NA	
	Famphur	52-85-7	0.017	15	
	Fluoranthene	206-44-0	0.068	3.4	

	Fluorene	86-73-7	0.059	3.4	

	Heptachlor	76-44-8	0.0012	0.066	
	1,2,3,4,6,7,8-Heptachlorodibenzo-p-dioxin	35822-46-9	0.000035	0.0025
	(1,2,3,4,6,7,8-HpCDD)	
	1,2,3,4,6,7,8-Heptachlorodibenzofuran	67562-39-4	0.000035	0.0025
	(1,2,3,4,6,7,8-HpCDF)	
	1,2,3,4,7,8,9-Heptachlorodibenzofuran	55673-89-7	0.000035	0.0025
	(1,2,3,4,7,8,9-HpCDF)
	Heptachlor epoxide	1024-57-3	0.016	0.066	
	Hexachlorobenzene	118-74-1	0.055	10	
	Hexachlorobutadiene	87-68-3	0.055	5.6	
	Hexachlorocyclopentadiene	77-47-4	0.057	2.4	
	HxCDDs (All Hexachlorodibenzo-p-dioxins)	NA	0.000063	0.001	
	HxCDFs (All Hexachlorodibenzofurans)	NA	0.000063	0.001	
	Hexachloroethane	67-72-1	0.055	30	
	Hexachloropropylene	1888-71-7	0.035	30	
	Indeno (1,2,3-c,d) pyrene	193-39-5	0.0055	3.4	
	Iodomethane	74-88-4	0.19	65	
	Isobutyl alcohol	78-83-1	5.6	170	
	Isodrin	465-73-6	0.021	0.066	

	Isosafrole	120-58-1	0.081	2.6	
	Kepone	143-50-0	0.0011	0.13	
	Methacrylonitrile	126-98-7	0.24	84	
	Methanol	67-56-1	5.6	0.75 mg/l TCLP	
	Methapyrilene	91-80-5	0.081	1.5	

	Methoxychlor	72-43-5	0.25	0.18	
	3-Methylcholanthrene	56-49-5	0.0055	15	
	4,4-Methylene bis(2-chloroaniline)	101-14-4	0.50	30	
	Methylene chloride	75-09-2	0.089	30	

	Methyl ethyl ketone	78-93-3	0.28	36	
	Methyl isobutyl ketone	108-10-1	0.14	33	
	Methyl methacrylate	80-62-6	0.14	160	
	Methyl methansulfonate	66-27-3	0.018	NA	

	Methyl parathion	298-00-0	0.014	4.6	

	Naphthalene	91-20-3	0.059	5.6	
	2-Naphthylamine	91-59-8	0.52	NA	
	o-Nitroaniline	88-74-4	0.27	14	
	p-Nitroaniline	100-01-6	0.028	28	

				Wastewater Standard	Nonwastewater Standard
		
		REGULATED CONSTITUENT 		Concentration	Concentration in mg/kg3
		Common Name	CAS1 Number	in mg/12	unless noted as “mg/1 TCLP”

	Nitrobenzene	98-95-3	0.068	14	
	5-Nitro-o-toluidine	99-55-8	0.32	28	
	o-Nitrophenol	88-75-5	0.028	13	
	p-Nitrophenol	100-02-7	0.12	29	
	N-Nitrosodiethylamine	55-18-5	0.40	28	
	N-Nitrosodimethylamine	62-75-9	0.40	2.3	
	N-Nitroso-di-n-butylamine	924-16-3	0.40	17	
	N-Nitrosomethylethylamine	10595-95-6	0.40	2.3	
	N-Nitrosomorpholine	59-89-2	0.40	2.3	
	N-Nitrosopiperidine	100-75-4	0.013	35	
	N-Nitrosopyrrolidine	930-55-2	0.013	35	
	1,2,3,4,6,7,8,9-	3268-87-9	0.000063	0.005
	Octachlorodibenzo-p-dioxin
	(OCDD)
	1,2,3,4,6,7,8,9-	39001-02-0	0.000063	0.005
	Octachlorodibenzofuran
	(OCDF)

	Parathion	56-38-2	0.014	4.6	
	Total PCBs (sum of all PCB isomers, or all Aroclors)	1336-36-3	0.10	10	

	Pentachlorobenzene	608-93-5	0.055	10	
	PeCDDs (All Pentachlorodibenzo-p-dioxins)	NA	0.000063	0.001	
	PeCDFs (All Pentachlorodibenzofurans)	NA	0.000035	0.001	
	Pentachloroethane	76-01-7	0.055	6.0	
	Pentachloronitrobenzene	82-68-8	0.055	4.8	
	Pentachlorophenol	87-86-5	0.089	7.4	
	Phenacetin	62-44-2	0.081	16	
	Phenanthrene	85-01-8	0.059	5.6	
	Phenol	108-95-2	0.039	6.2	

	Phorate	298-02-2	0.021	4.6	
	Phthalic acid	100-21-0	0.055	28	
	Phthalic anhydride	85-44-9	0.055	28	

	Pronamide	23950-58-5	0.093	1.5	
	Pyrene	129-00-0	0.067	8.2	
	Pyridine	110-86-1	0.014	16	
	Safrole	94-59-7	0.081	22	
	Silvex/2,4,5-TP	93-72-1	0.72	7.9	
	1,2,4,5-Tetrachlorobenzene	95-94-3	0.055	14	
	TCDDs (All Tetrachlorodibenzo-p-dioxins)	NA	0.000063	0.001	
	TCDFs (All Tetrachlorodibenzofurans)	NA	0.000063	0.001	
	1,1,1,2-Tetrachloroethane	630-20-6	0.057	6.0	
	1,1,2,2-Tetrachloroethane	79-34-5	0.057	6.0	
	Tetrachloroethylene	127-18-4	0.056	6.0	
	2,3,4,6-Tetrachlorophenol	58-90-2	0.030	7.4	

	Toluene	108-88-3	0.080	10	
	Toxaphene	8001-35-2	0.0095	2.6	

	Tribromomethane/Bromoform	75-25-2	0.63	15	
	1,2,4-Trichlorobenzene	120-82-1	0.055	19	
	1,1,1-Trichloroethane	71-55-6	0.054	6.0	
	1,1,2-Trichloroethane	79-00-5	0.054	6.0	

	Trichloroethylene	79-01-6	0.054	6.0	
	Trichloromonofluoromethane	75-69-4	0.020	30	
	2,4,5-Trichlorophenol	95-95-4	0.18	7.4	
	2,4,6-Trichlorophenol	88-06-2	0.035	7.4	
	2,4,5-Trichlorophenoxyacetic acid/2,4,5-T	93-76-5	0.72	7.9	
	1,2,3-Trichloropropane	96-18-4	0.85	30	
	1,1,2-Trichloro-1,2,2-trifluoroethane	76-13-1	0.057	30	
	tris- (2,3-Dibromopropyl) phosphate	126-72-7	0.11	0.10	
	Vinyl chloride	75-01-4	0.27	6.0	
	Xylenes-mixed isomers (sum of o-, m-, 	1330-20-7	0.32	30	
	and p-xylene concentrations)				

	Inorganic Constituents
	Antimony	7440-36-0	1.9	1.5 mg/l TCLP	
	Arsenic	7440-38-2	1.4	5.0 mg/l TCLP	
	Barium	7440-39-3	1.2	21 mg/l TCLP	
	Beryllium	7440-41-7	0.82	1.22 mg/l TCLP	
	Cadmium	7440-43-9	0.69	0.11 mg/l TCLP	
	Chromium (Total)	7440-47-3	2.77	0.60 mg/l TCLP	
	Cyanides (Total)4	57-12-5	1.2	590	
	Cyanides (Amenable)4	57-12-5	0.86	30	
	Fluoride5	16984-48-8	35	NA

	Lead	7439-92-1	0.69	0.75 mg/l TCLP	
	Mercury - Nonwastewater from Retort	7439-97-6	NA	0.20 mg/l TCLP	
	Mercury - All Others	7439-97-6	0.15	0.025 mg/1 TCLP	
	Nickel	7440-02-0	3.98	11 mg/l TCLP	
	Selenium7	7782-49-2	0.82	5.7 mg/l TCLP	
	Silver	7440-22-4	0.43	0.14 mg/l TCLP	
	Sulfide5	18496-25-8	14	NA	
	Thallium	7440-28-0	1.4	0.078 mg/l TCLP	
	Vanadium5	7440-62-2	4.3	1.6 mg/l TCLP	
	Zinc5	7440-66-6	2.61	4.3 mg/l TCLP	
(1) CAS means Chemical Abstract Services.  When the waste code and/or regulated constituents are described as a combination of a chemical with it's salts and/or esters, the CAS number is given for the parent compound only.

(2) Concentration standards for wastewaters are expressed in mg/l are based on analysis of composite samples.

(3) Except for Metals (EP or TCLP) and Cyanides (Total and Amenable) the nonwastewater treatment standards expressed as a concentration were established, in part, based upon incineration in units operated in accordance with the technical requirements of Title 22, CCR, chapter 14, article 15 or chapter 15, article 15, or based upon combustion in fuel substitution units operating in accordance with applicable technical requirements.  A facility may comply with these treatment standards according to provisions in section 66268.40(d).  All concentration standards for nonwastewaters are based on analysis of grab samples.

(4) Both Cyanides (Total) and Cyanides (Amenable) for nonwastewaters are to be analyzed using Method 9010 or 9012, found in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” USEPA Publication SW-846, as incorporated by reference in section 66260.11, with a sample size of 10 grams and a distillation time of one hour and 15 minutes.

(5) These constituents are not “underlying hazardous constituents” in characteristic wastes, according to the definition in section 66260.10.

(7) This constituent is not an underlying hazardous constituent as defined in section 66260.10 of this division because its UTS level is greater than its TC level, thus a treated selenium waste would always be characteristically hazardous, unless it is treated to below its characteristic level.

(8) This standard is temporarily deferred for soil exhibiting a hazardous characteristic due to D004-D011 only.

NOTE:     NA means not applicable.        
§66268.49. Alternative LDR Treatment Standards for Contaminated Soil.
Note     •     History

(a) Applicability. You shall comply with LDRs prior to placing soil that exhibits a characteristic of hazardous waste, or exhibited a characteristic of hazardous waste at the time it was generated, into a land disposal unit. The following chart describes whether you shall comply with LDRs prior to placing soil contaminated by listed hazardous waste into a land disposal unit:

If LDRs. . .	And If LDRs. . .	And If . . .	Then You . . .

applied to the listed waste	apply to the		shall comply 
when it contaminated the	listed waste		with LDRs 
soil*	now
				
didn't apply to the listed	apply to the	the soil is determined to	shall comply 
waste when it contaminated	listed waste	contain the listed waste	with LDRs 
the soil*	now	when the soil is first
		generated

didn't apply to the listed	apply to the	the soil is determined not	needn't comply 
waste when it contaminated	listed waste	to contain the listed	with LDRs 
the soil*	now	waste when the soil is  
		first generated

didn't apply to the listed	don't apply to		needn't comply
waste when it contaminated	the listed waste		with LDRs
the soil*	now

*For dates of LDR applicability, see CCR, Title 22, chapter 18, appendix VII. To determine the date any given listed hazardous waste contaminated any given volume of soil, use the last date any given listed hazardous waste was placed into any given land disposal unit or, in the case of an accidental spill, the date of the spill.
		
(b) Prior to land disposal, contaminated soil identified by subsection (a) of this section as needing to comply with LDRs shall be treated according to the applicable treatment standards specified in subsection (c) of this section or according to the Universal Treatment Standards specified in section 66268.48 applicable to the contaminating listed hazardous waste and/or the applicable characteristic of hazardous waste if the soil is characteristic. The treatment standards specified in subsection (c) of this section and the Universal Treatment Standards may be modified through a treatment variance approved in accordance with section 66268.44.

	(c) Treatment standards for contaminated soils. Prior to land disposal, contaminated soil identified by subsection (a) of this section as needing to comply with LDRs shall be treated according to all the standards specified in this subsection or according to the Universal Treatment Standards specified in section 66268.48.
(1) All soils. Prior to land disposal, all constituents subject to treatment shall be treated as follows:
(A) For non-metals except carbon disulfide, cyclohexanone, and methanol, treatment shall achieve 90 percent reduction in total constituent concentrations, except as provided by subsection (c)(1)(C) of this section.
(B) For metals and carbon disulfide, cyclohexanone, and methanol, treatment shall achieve 90 percent reduction in constituent concentrations as measured in leachate from the treated media (tested according to the TCLP) or 90 percent reduction in total constituent concentrations (when a metal removal treatment technology is used), except as provided by subsection (c)(1)(C)of this section.

	(C) When treatment of any constituent subject to treatment to a 90 percent reduction standard would result in a concentration less than 10 times the Universal Treatment Standard for that constituent, treatment to achieve constituent concentrations less than 10 times the universal treatment standard is not required. Universal Treatment Standards are identified in section 66268.48 Table UTS.
(2) Soils that exhibit the characteristic of ignitability, corrosivity or reactivity. In addition to the treatment required by subsection (c)(1) of this section, prior to land disposal, soils that exhibit the characteristic of ignitability, corrosivity, or reactivity shall be treated to eliminate these characteristics.
(3) Soils that contain nonanalyzable constituents. In addition to the treatment requirements of subsections (c)(1) and (2) of this section, prior to land disposal, the following treatment is required for soils that contain nonanalyzable constituents:
(A) For soil that contains only analyzable and nonanalyzable organic constituents, treatment of the analyzable organic constituents to the levels specified in subsections (c)(1) and (2) of this section; or,
(B) For soil that contains only nonanalyzable constituents, treatment by the method(s) specified in section 66268.42 for the waste contained in the soil.
(d) Constituents subject to treatment. When applying the soil treatment standards in subsection (c) of this section, constituents subject to treatment are any constituents listed in section 66268.48 Table UTS--Universal Treatment Standards that are reasonably expected to be present in any given volume of contaminated soil, except fluoride, selenium, sulfides, vanadium, zinc, and that are present at concentrations greater than ten times the universal treatment standard. PCBs are not constituents subject to treatment in any given volume of soil which exhibits the toxicity characteristic solely because of the presence of metals.
(e) Management of treatment residuals. Treatment residuals from treating contaminated soil identified by subsection (a) of this section as needing to comply with LDRs shall be managed as follows:

	(1) Soil residuals are subject to the treatment standards of this section;
(2) Non-soil residuals are subject to:
(A) For soils contaminated by listed hazardous waste, the hazardous waste standards applicable to the listed hazardous waste; and
(B) For soils that exhibit a characteristic of hazardous waste, if the non-soil residual also exhibits a characteristic of hazardous waste, the treatment standards applicable to the characteristic hazardous waste.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.5 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; and 40 CFR Section 268.49.
HISTORY

1. Change without regulatory effect adding new section filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
2. Change without regulatory effect amending subsections (c)(3)(A)-(B) filed 9-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 37).
3. Change without regulatory effect amending subsections (c)(1)(A)-(B) and (d) filed 7-3-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 27).
4. Editorial correction of subsection (a) --Table (Register 2012, No. 33).
Article 5. Prohibitions on Storage
§66268.50. Prohibitions on Storage of Restricted Wastes.
Note     •     History

(a) Except as provided in this section, the storage of hazardous wastes restricted from land disposal under article 3 of this chapter or RCRA section 3004 (42 U.S.C. section 6924) is prohibited, unless the following conditions are met.
(1) A generator stores such wastes in tanks, containers, or containment buildings on site solely for the purpose of the accumulation of such quantities of hazardous waste as necessary to facilitate proper recovery, treatment, or disposal and the generator complies with the requirements in section 66262.34 and Chapters 14 and 15 of this division. (A generator who is in existence on July 1, 1991 and who must store hazardous wastes for longer than the applicable accumulation period specified in subsection (a) or (d) of section 66262.34 of this chapter, due to the regulations under this chapter becomes an owner/operator of a storage facility and shall obtain a Hazardous Waste Facility Permit. Such a facility may qualify for interim status upon compliance with the regulations governing interim status under section 66270.70 of chapter 20).
(2) An owner/operator of a hazardous waste treatment, storage, or disposal facility stores such wastes in tanks, containers, or containment buildings solely for the purpose of the accumulation of such quantities of hazardous waste as necessary to facilitate proper recovery, treatment, or disposal and:
(A) each container is clearly marked to identify its contents and the date each period of accumulation begins;
(B) each tank is clearly marked with a description of its contents, the quantity of each hazardous waste received, and the date each period of accumulation begins, or such information for each tank is recorded and maintained in the operating record at that facility. Regardless of whether the tank itself is marked, an owner/operator shall comply with the operating record requirements specified in section 66264.73 or section 66265.73.
(3) A transporter stores manifested shipments of such wastes at a transfer facility for six days or less, or 10 days or less for transfer facilities in areas zoned industrial by the local planning authority.
(b) An owner/operator of a treatment, storage or disposal facility may store such wastes for up to one year unless the Department can demonstrate that such storage was not solely for the purpose of accumulation of such quantities of hazardous waste as are necessary to facilitate proper recovery, treatment, or disposal.
(c) An owner/operator of a treatment, storage or disposal facility may store such wastes beyond one year; however, the owner/operator bears the burden of proving that such storage was solely for the purpose of accumulation of such quantities of hazardous waste as are necessary to facilitate proper recovery, treatment, or disposal.
(d) If a generator's waste is exempt from a prohibition on the type of land disposal utilized for the waste (for example, because of an approved case-by-case extension under section 66268.5, or a nationwide capacity variance under article 3), the prohibition in paragraph (a) of this section does not apply during the period of such exemption.
(e) The prohibition in subsection (a) of this section does not apply to hazardous wastes that meet the treatment standards specified under section 66268.40 or the treatment standards specified under the variance in section 66268.44, or, where treatment standards have not been specified, is in compliance with the applicable prohibitions specified in section 66268.32 or RCRA section 3004 (42 U.S.C. section 6924) or where the waste is a non-RCRA hazardous waste.
(f) Liquid hazardous wastes containing polychlorinated biphenyls (PCBs) at concentrations greater than or equal to 50 ppm shall be stored at a facility that meets the requirements of 40 CFR section 761.65(b) and shall be removed from storage and treated or disposed as required by this part within one year of the date when such wastes are first placed into storage. The provisions of subsection (c) of this section do not apply to such PCB wastes prohibited under section 66268.32 of this chapter.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 268.50.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a)(1)-(2) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a)(1)-(2) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(1)-(2) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(1)-(2) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order including amendment of subsection (a)(1) transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Change without regulatory effect amending subsection (a)(1) filed 4-3-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 14).
8. Change without regulatory effect amending subsection (a)(3) filed 4-3-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 14).
9. Change without regulatory effect amending subsection (e) filed 9-11-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 37).
Article 10. Land Disposal Prohibitions--Non- RCRA  Wastes
§66268.100. Waste Specific Prohibitions.
Note     •     History

(a) The following non-RCRA hazardous wastes are subject to prohibition under this section.
(1) Non-RCRA metal-containing aqueous wastes identified in section 66268.29(a) are prohibited from land disposal.
(2) Auto shredder waste identified in section 66268.29(b) is prohibited from land disposal effective on May 8, 1991.
(3) Hazardous waste foundry sand identified in section 66268.29(c) is prohibited from land disposal after January 1, 1991.
(4) Non-RCRA metal-containing fly ash, bottom ash, retort ash or baghouse waste from sources other than foundries identified in section 66268.29(d) is prohibited from land disposal after January 1, 1991.
(5) Non-RCRA metal-containing baghouse waste from foundries identified in section 66268.29(e) is prohibited from land disposal after January 1, 1991.
(6) Asbestos-containing waste as defined in section 66268.29(f) is prohibited from land disposal effective March 1, 1993 and thereafter.
(b) The requirements of subsection (a) of this section do not apply if:
(1) the waste meets the treatment standards of article 11 of this chapter; or
(2) persons have been granted an extension to the effective date of a prohibition pursuant to section 66268.5, with respect to those wastes covered by the extension.
NOTE

Authority cited: Sections 25150, 25159, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. Amendment and renumbering of former section 67715 to section 66268.100 filed 5-24-91; operative 7-1-91 (Register 91, No. 22). A Certificate of Compliance for 5-6-91 order must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
2. Emergency order of 5-6-91 amending subsection (a) refiled 9-3-91 as an emergency; operative 9-3-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 1-2-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a) refiled, including further amendments, filed 12-26-91 as an emergency; operative 12-26-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 4-24-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (a)(7), (a)(10) and (a)(11) and amendments refiled 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
5. Certificates of Compliance as to 4-20-92 order including amendment of subsection (a)(7) and Note transmitted to OAL 8-11-92 and filed 9-23-92 (Register 92, No. 39).
6. Editorial correction adding new subsections (a)(3)-(6), (a)(8) and (a)(9), and amending subsection (a)(11) filed 2-23-93 (Register 93, No. 7).
7. Amendment of section and Note filed 3-1-93; operative 3-1-93 (Register 93, No. 10).
8. Repealer of subsections (a)(2), (a)(4), (a)(6)-(7), (a)(10)-(12),  subsection renumbering, and amendment of newly designated subsections (a)(2) and (a)(4)-(6) filed 7-23-97; operative 8-22-97 (Register 97, No. 30).
Article 11. Treatment Standards--  Non- RCRA  Waste Categories
§66268.105. Applicability of Treatment Standards.
Note     •     History

(a) A restricted waste identified in section 66268.106 may be land disposed without further treatment only if an extract of the waste or of the treatment residue of the waste developed using the test method in Appendix II chapter 11, CCR, does not exceed the value shown in Table I-CCWE of section 66268.106 for any hazardous constituent listed in Table I-CCWE for that waste.
(b) A restricted waste identified in section 66268.107 may be land disposed only if the constituent concentrations in the waste or treatment residue of the waste do not exceed the value shown in section 66268.107 for any hazardous constituent listed for that waste.
NOTE

Authority cited: Sections 25150, 25159 and 25179.6, Health and Safety Code; and Section 58012 of the Governor's Re-organization Plan #1 of 1991. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. Amendment and renumbering of former section 67750 to section 66268.105 filed 5-24-91; operative 7-1-91 (Register 91, No. 22). A Certificate of Compliance for 5-6-91 order must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
2. Emergency order of 5-6-91 amending subsections (d) and (e) refiled 9-3-91 as an emergency; operative 9-3-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 1-2-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (d) and (e) refiled 12-26-91 as an emergency; operative 12-26-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 4-24-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (d) and (e) refiled 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
5. Certificates of Compliance as to 4-20-92 order including new subsections (f)-(f)(1) and amendment of Note transmitted to OAL 8-11-92 and filed 9-23-92 (Register 92, No. 39).
6. Repealer of subsections (c)-(f)(1) filed 7-23-97; operative 8-22-97 (Register 97, No. 30).
§66268.106. Treatment Standards Expressed As Concentrations in Waste Extract.
Note     •     History

(a) The CCWE tables (below) identify the restricted wastes and the concentrations of their associated hazardous constituents which may not be exceeded by the extract of a waste or waste treatment residual developed using the test method in Appendix II, chapter 11, CCR, for the allowable land disposal of such waste.
(1) Table I-A CCWE identifies the non-RCRA auto shredder wastes and the concentrations of their associated hazardous constituents which may not be exceeded by the extract of the waste or treatment residual for the allowable land disposal of such waste or residual.

TABLE I-A CCWE

	Auto Shredder Wastes	Concentration (mg/l)

	Cadmium		1.0
	Chromium (VI) Compounds		5.0
	Chromium (total)		560.0
	Copper		25.0
	Lead		50.0
	Mercury		0.2
	Nickel		20.0
	Zinc		250.0
				
(2) Table I-B CCWE identifies the concentrations of hazardous constituents of hazardous waste foundry sand which may not be exceeded by the waste or treatment residual for the allowable land disposal of such waste or residual.
(A) Hazardous waste foundry sand containing hazardous constituents other than those listed in Table I-B CCWE or exhibiting other hazardous characteristics shall be subject to the appropriate generic treatment standard(s) for those hazardous constituents or hazardous characteristics.

TABLE I-B CCWE

Hazardous Waste Foundry Sand	Concentration (mg/l)

	Cadmium	1.0
	Copper	200.0
	Lead	30.0
	Nickel	20.0
	Zinc	250.0
	
(3) Table I-D CCWE identifies the non-RCRA metal-containing fly ash, bottom ash, retort ash and baghouse waste from sources other than foundries, and the concentrations of their associated hazardous constituents which may not be exceeded by the extract of the waste or treatment residual for the allowable land disposal of such waste or residual. The specified concentrations shall not be exceeded by an average value of WET results for four representative samples, or a single representative sample. Non-RCRA fly ash, bottom ash, retort ash and baghouse waste from sources other than foundries containing hazardous constituents other than those listed in Table I-D CCWE shall be subject to the appropriate generic treatment standard(s) for those hazardous constituents or hazardous characteristics.

Table I-D CCWE

Non-RCRA Waste Category
Fly ash, Bottom Ash, Retort
Ash, and Baghouse waste from
Sources other than Foundries

	Concentration	 (mg/l)

	Arsenic		15.0
	Cadmium		1.0
	Copper		40.0
	Lead		20.0
	Nickel		20.0
	Selenium		1.0
	Vanadium		24.0
	Zinc		250.0
				
(4) Table I-E CCWE identifies the non-RCRA metal-containing baghouse waste from foundries, and the concentrations of their associated hazardous constituents which may not be exceeded by the extract of the waste or treatment residual for the allowable land disposal of such waste or residual. The specified concentrations shall not be exceeded by an average value of WET results for four representative samples, or a representative sample. Non-RCRA baghouse waste from foundries containing hazardous constituents other than those listed in Table I-E CCWE shall be subject to the appropriate generic treatment standard(s) for those hazardous constituents or hazardous characteristics.

TABLE I-E CCWE

Non-RCRA Waste Category
Baghouse Waste from Foundries	Concentration (mg/l)

	Arsenic	15.0
	Cadmium	1.0
	Copper	350.0
	Lead	70.0
	Nickel	20.0
	Selenium	1.0
	Vanadium	24.0
	Zinc	250.0
				
(b) When wastes with differing treatment standards for a constituent of concern are combined for purposes of treatment, the treatment residue shall meet the lowest treatment standard for the constituent of concern.
NOTE

Authority cited: Sections 25150, 25159 and 25179.6, Health and Safety Code; and Section 58012 of the Governor's Re-organization Plan #1 of 1991. Reference: Sections 25150, 25159, 25159.5, 25170, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. Amendment and renumbering of former section 67755 to section 66268.106 filed 5-24-91; operative 7-1-91 (Register 91, No. 22). A Certificate of Compliance for 5-6-91 order must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
2. Emergency order of 5-6-91 amending subsections (a) and (a)(3) refiled 9-3-91 as an emergency; operative 9-3-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 1-2-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment to subsections (a)-(a)(3) refiled, including further amendments, filed 12-26-91 as an emergency; operative 12-26-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 4-24-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)-(a)(3) refiled 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-20-92 order including amendment of subsection (a)(3) and Note transmitted to OAL 8-11-92 and filed 9-23-92 (Register 92, No. 39).
6. Editorial correction amending subsection (a), adding new subsections (a)(1) and (a)(2), and amending of subsections (a)(3) and (a)(3)(A) filed 2-23-93 (Register 93, No. 7).
7. Editorial correction inserting mistakenly omitted Table I-E CCWE filed as part of 12-4-90 order (Register 97, No. 30).
8. Repealer of subsection (a)(3), Table I-C CCWE and subsection (a)(3)(A), subsection renumbering, and repealer of former subsection (a)(6) filed 7-23-97; operative 8-22-97 (Register 97, No. 30).
§66268.107. Treatment Standards Expressed As Waste Concentrations.
Note     •     History

(a) Table II-CCW identifies the non-RCRA metal-containing aqueous wastes and the concentrations of their associated hazardous constituents which may not be exceeded by the waste or treatment residual for the allowable land disposal of such waste or residual.

Table II--Constituent Concentrations in Wastes

						Concentration
Non-RCRA Waste Category		In Liquid
Metal-Containing Aqueous Waste		Residual (mg/l)

Antimony		15.0
Arsenic		5.0
Barium		100.0
Beryllium		0.75
Cadmium		1.0
Chromium (VI)		5.0
Chromium (III)		560.0
Cobalt		80.0
Copper		25.0
Lead		5.0
Mercury		0.2
Molybdenum		350.0
Nickel		20.0
Selenium		1.0
Silver		5.0
Thallium		7.0
Vanadium		24.0
Zinc		250.0
			
(A) The concentrations listed in subsection (a) shall be determined using the WET procedure specified in Appendix II, chapter 11, CCR.
(c)(1) When RCRA wastes with differing treatment standards for a constituent of concern are combined for purposes of treatment, the treatment residue must meet the lowest treatment standard for the constituent of concern. When non-RCRA wastes with differing treatment standards for a constituent of concern are combined for purposes of treatment, the treatment residue must meet the lowest treatment standard for the constituent of concern.
(c)(2) When RCRA and Non-RCRA wastes are combined for purposes of treatment, the treatment residue must meet both the lowest treatment standard established for the RCRA wastes and the lowest treatment standard established for the non-RCRA wastes.
NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Repealer of subsection (b), Table III, and subsections (b)(1)-(3) filed 7-23-97; operative 8-22-97 (Register 97, No. 30).
§66268.108. Treatment Standard Expressed as Specific Technologies.

[Reserved]
§66268.110. Treatment Standard for PCB Wastes. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect repealing section filed 3-29-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
§66268.112. Treatment Standards for Aqueous and Liquid Organic Wastes. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25150, 25159 and 25179.6, Health and Safety Code; and Section 58012 of the Governor's Reorganization Plan #1 of 1991. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. Amendment and renumbering of former section 67785 to section 66268.112 filed 5-24-91; operative 7-1-91 (Register 91, No. 22). A Certificate of Compliance for 5-6-91 order must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
2. Emergency order of 5-6-91 adopting section refiled 9-3-91 as an emergency; operative 9-3-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 1-2-92 or emergency language will be repealed by operation of law on the following day.
3. Adoption of section refiled 12-26-91 as an emergency; operative 12-26-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 4-24-92 or emergency language will be repealed by operation of law on the following day.
4. Adoption of section refiled 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-20-92 order including amendment of section and Note transmitted to OAL 8-11-92 and filed 9-23-92 (Register 92, No. 39).
6. Change without regulatory effect repealing section filed 3-29-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
§66268.113. Treatment Standards for Solid Hazardous Waste Containing Organics. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25150, 25159 and 25179.6, Health and Safety Code; and Section 58012 of the Governor's Re-organization Plan #1 of 1991. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. Amendment and renumbering of former section 67786 to section 66268.113 filed 5-24-91; operative 7-1-91 (Register 91, No. 22). A Certificate of Compliance for 5-6-91 order must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
2. Emergency order of 5-6-91 adopting section refiled 9-3-91 as an emergency; operative 9-3-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 1-2-92 or emergency language will be repealed by operation of law on the following day.
3. Adoption of section refiled, including amendments, refiled 12-26-91 as an emergency; operative 12-26-91 (Register 92, No. 17). A Certificate of Compliance must be transmitted to OAL 4-24-92 or emergency language will be repealed by operation of law on the following day.
4. Adoption of section refiled 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-20-92 order including amendment of section and Note transmitted to OAL 8-11-92 and filed 9-23-92 (Register 92, No. 39).
6. Change without regulatory effect repealing section filed 3-29-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
§66268.114. Treatment Standard for Asbestos-Containing Waste.
Note     •     History

(a) Asbestos-containing waste shall be treated using one of the methods of (a)(1) through (a)(3).
(1) Asbestos-containing waste is managed as follows:
(A) Mix control device asbestos-containing waste to form a slurry; adequately wet other asbestos-containing waste; and
(B) Discharge no visible emissions to the outside air from collection, mixing, wetting and handling operations; and
(C) After wetting, seal all asbestos-containing waste in leak tight containers while wet; or, for waste that will not fit into containers without additional breaking, put waste into leak tight wrapping; and discharge no visible emissions during disposal operations.
(2) Process asbestos-containing waste into nonfriable form.
(3) Use an alternative waste treatment method pursuant to Health and Safety Code 25179.6(b)(2).
(b) When used in subsection (a), the following terms have the meanings given below:
(1) “Adequately wet” means sufficiently mixed or penetrated with liquid to prevent the release of finely divided particles of asbestos or waste containing asbestos. If visible emissions are observed coming from asbestos-containing waste, then that waste has not been adequately wetted. However, absence of visible emissions is not sufficient evidence of being adequately wetted.
(2) “Visible emissions” means any emissions which are visually detectable without the aid of instrument, coming from asbestos-containing waste. This does not include condensed, uncombined water.
(3) “Leak tight” means that solids or liquids cannot escape or spill out. It also means dust tight.
NOTE

Authority cited: Sections 25150, 25159, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 3-1-93; operative 3-1-93 (Register 93, No. 10).
Article 12. Incineration Requirements of Certain Hazardous Waste
§66268.120. Hazardous Waste with Heating Values Greater than 3,000 British Thermal Units per Pound of Waste. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25155.5, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect repealing section filed 3-29-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
§66268.121. Hazardous Waste Contain More than One Percent of Volatile Organic Compounds. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25123.6 and 25155.5, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect repealing section filed 3-29-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
§66268.122. Treatment Capacity Exemption.
Note     •     History

If the Department determines that adequate incineration or other authorized treatment capacity does not exist within the state, a person disposing of hazardous waste subject to sections 66268.120 and 66268.121 of this chapter is exempt from the treatment requirements of these sections, until the Department determines that adequate incinerator or other treatment is available. This section shall not exempt a hazardous waste specified in sections 66268.120 and 66268.121 from any treatment, handling or disposal standard established by any other provision of law or regulation.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25155.5, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66268.124. Emergency Variance from Sections 66268.120 and 66268.121.
Note     •     History

(a) A hazardous waste producer may request in writing, an emergency variance from the Department pursuant to Health and Safety Code section 25155.7. A producer of a hazardous waste subject to Land Disposal Restrictions established pursuant to section 6924(m) of Title 42 of the United States Code is not eligible for an emergency variance, unless the waste has been granted a variance, extension, or exemption by the EPA Administrator.
(b) After receiving an application for an emergency variance, the Department may request any additional information which it deems necessary to evaluate the application. Within 45 days of receipt of the application, the Department shall inform the applicant, in writing, that the application is complete and accepted for filing, or that the application is deficient and what specific information is required.
(c) On the basis of the information referred to in subsection (b) of this section, the Department may grant an emergency variance of up to 1 year upon the request of the applicant if the demonstration required pursuant to Health and Safety Code section 25155.7, can still be made. In no event will an emergency variance extend beyond 24 months from the date the Department determines the application is complete and accepted for filing. The length of any emergency variance will be determined by the Department based on the time required for the applicant to secure other treatment pursuant to sections 66268.120 and 66268.121. The Department shall make a decision on an application for an emergency variance within 120 days of the filing of a completed application.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25155.7, Health and Safety Code; Section 15376, Government Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Editorial correction of printing error in Appendix III-A (Register 92, No. 49).
3. Amendment of Appendices II and IV, repealer of Appendix V, amendment of Appendix VII, new Appendices VIII and IX, and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of Appendices II and IV, repealer of Appendix V, amendment of Appendix VII, new Appendices VIII and IX, and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of Appendices II and IV, repealer of Appendix V, amendment of Appendix VII, new Appendices VIII and IX and amendment of Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
6. Amendment of Appendices II and IV, repealer of Appendix V, amendment of Appendix VII, new Appendices VIII and IX and amendment of Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-24-94 order including repealer of Appendix I, amendment of Appendix II heading, and amendment of Appendices III, IV, VII, VIII asnd IX transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
8. Change without regulatory effect repealing appendix II and amending appendices III, IIIA and IX filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
9. Change without regulatory effect replacing first paragraph of Appendix VI, repealing and adopting new Appendix VII (Tables 1 and 2), repealing former Appendix IX, renumbering former Appendix VIII to new Appendix IX and adopting new Appendix VIII, Appendix X (reserved) and Appendix XI filed 6-4-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 23).
10. Change without regulatory effect amending heading for appendix VIII filed 1-13-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 2).
11. Change without regulatory effect amending Appendices I, III, VI, VII (Table 2) and VIII filed 7-23-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 30).

Appendix I

Toxicity Characteristic Leaching Procedure (TCLP)
Note: The TCLP (Method 1311) is published in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” U.S. EPA Publication SW-846, as incorporated by reference in section 66260.11(a)(19).
NOTE

Note: Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.6, Health and Safety Code.

Appendix II, Chapter 18   (reserved)

Appendix III

List of Halogenated Organic Compounds Regulated
Under 66268.32 EPA Listed Compounds:

View Graphic

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View Graphic
NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.6, Health and Safety Code.

Appendix III-A

List of Halogenated Organic Compounds Regulated
Under 66268.32: California Listed Compounds

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Appendix IV to Chapter 18  Wastes Excluded From Lab Packs Under the  Alternative Treatment Standards of Section 66268.42(c)

Hazardous waste with the following EPA Hazardous Waste Codes may not be placed in lab packs under alternative lab pack treatment standards of section 66268.42(c), D009, F019, K003, K004, K005, K006, K062, K071, K100, K106, P010, P011, P012, P076, P078, U134, U151.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference:  Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268, Appendix IV.

Appendix V
[reserved]
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference:  Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code; 40 CFR Section 268, Appendix V.

Appendix VI

Recommended Technologies to Achieve Deactivation of
Characteristics in Section 66268.42

The treatment standard for many characteristic wastes is stated in the section 66268.40 Table of Treatment Standards as “Deactivation and meet UTS.” USEPA has determined that many technologies, when used alone or in combination, can achieve the deactivation portion of the treatment standard. Characteristic wastes that are not managed in a facility regulated by the federal Clean Water Act (CWA) or in a federal CWA-equivalent facility, and that also contain underlying hazardous constituents (see section 66260.10) shall be treated not only by a “deactivating” technology to remove the characteristic, but also to achieve the universal treatment standards (UTS) for underlying hazardous constituents. The following appendix presents a partial list of technologies, utilizing the five letter technology codes established in section 66268.42 Table 1, that may be useful in meeting the treatment standard. Use of these specific technologies is not mandatory and does not preclude direct reuse, recovery, and/or the use of other pretreatment technologies, provided deactivation is achieved and underlying hazardous constituents are treated to achieve the UTS.

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Appendix VII--Table 1. Effective Dates of Surface Disposed Wastes (Non-Soil and Debris) Regulated in the LDRs   [Comprehensive List]

Waste code	Waste category	Effective date

California List	Liquid hazardous wastes, including 	July 8, 1987.
	free liquids associated with solid or sludge, 
	containing free cyanides at concentrations 
	greater than or equal to 1,000 mg/l or 
	certain metals or compounds of	
	these metals greater than or equal to the	
	prohibition levels	
California List	Liquid (aqueous) hazardous wastes 	July 8, 1987
	having a pH less than or equal to 2	
California List	Dilute HOC wastewaters, defined 	July 8, 1987.
	as HOC-waste mixtures that are primarily 	
	water and that contain greater than or 	
	equal to 1,000 mg/l but less than	
	10,000 mg/1	
California List	Liquid hazardous waste containing 	July 8, 1987.
	PCBs greater than or equal to 50 ppm	
California List	Other liquid and non-liquid hazardous	Nov. 8, 1988. 
	wastes containing HOCs in total 	
	concentration greater than or equal to	
	1,000 mg	
D001c	All (except High TOC Ignitable Liquids)	Aug. 9, 1993.
D001	High TOC Ignitable Liquids	Aug. 8, 1990.
D002c	All	Aug. 9, 1993.
D003e	All others	July 8, 1996.
D003	Newly identified surface-disposed
	elemental phosphorus processing wastes	May 26, 200
D004	Nonwastewater	May 8, 1992.
D004	Wastewater	Aug. 8, 1992.
D004	Newly identified D004 and mineral 	Aug. 24, 1998
	processing wastes	
D004	Mixed radioactive/newly identified D004	May 26, 2000
	or mineral processing wastes
D005	All others	Aug. 8, 1990
D005	Newly identified D005 and mineral 	Aug. 24, 1998
	processing wastes
D005	Mixed radioactive/newly identified D005	May 26, 2000
	or mineral processing wastes
D006	All others	Aug. 8, 1990.
D006	Newly identified D006 and mineral 	Aug. 24, 1998
	processing waste
D006	Mixed radioactive/newly identified D006	May 26, 2000.
	or mineral processing wastes
D007	All others	Aug. 8, 1990.
D007	Newly identified D007 and mineral 	Aug. 24, 1998
	processing wastes
D007	Mixed radioactive/newly identified D007	May 26, 2000
	or mineral processing wastes
D008	Lead materials before 	May 8, 1992.
	secondary smelting	
D008	Newly identified D008 and mineral 	Aug. 24, 1998
	processing waste
D008	Mixed radioactive/newly identified D008	May 26, 2000
	or mineral processing wastes
D008	All others	Aug. 8, 1990.
D009	Nonwastewater	May 8, 1992.
D009	Newly identified D009 and mineral 	Aug. 24, 1998
	processing waste
D009	Mixed radioactive/newly identified D009	May 26, 2000
	or mineral processing wastes
D009	All others	Aug. 8, 1990.

D010	All others	Aug. 8, 1990.
D010	Newly identified D010 and mineral 	Aug. 24, 1998
	processing wastes
D010	Mixed radioactive/newly identified D010	May 26, 2000
	or mineral processing wastes
D011	All others	Aug. 8, 1990.
D011	Newly identified D011 and mineral 	Aug. 24, 1998
	processing wastes
D011	Mixed radioactive/newly identified D011	May 26, 2000
	or mineral processing wastes
D012 (that exhibit	All	Dec. 14, 1994.
the toxicity
characteristic
based on the 
TCLP)d

D013 (that exhibit	All	Dec. 14, 1994.
the toxicity
characteristic
based on the 
TCLP)d
D014 (that exhibit	All	Dec. 14, 1994.
the toxicity
characteristic
based on the 
TCLP)d

D015 (that exhibit	All	Dec. 14, 1994.
the toxicity
characteristic
based on the 
TCLP)d
D016 (that exhibit	All	Dec. 14, 1994.
the toxicity
characteristic
based on the 
TCLP)d
D017 (that exhibit	All	Dec. 14, 1994.
the toxicity
characteristic
based on the 
TCLP)d

D018	Mixed with radioactive wastes	Sept. 19, 1996

D018	All others	Dec. 19, 1994.

D019	Mixed with radioactive wastes	Sept. 19, 1996

D019	All others	Dec. 19, 1994.

D020	Mixed with radioactive wastes	Sept. 19, 1996

D020	All others	Dec. 19, 1994.

D021	Mixed with radioactive wastes	Sept. 19, 1996

D021	All others	Dec. 19, 1994.

D022	Mixed with radioactive wastes	Sept. 19, 1996

D022	All others	Dec. 19, 1994.

D023	Mixed with radioactive wastes	Sept. 19, 1996.

D023	All others	Dec. 19, 1994.

D024	Mixed with radioactive wastes	Sept. 19, 1996

D024	All others	Dec. 19, 1994.

D025	Mixed with radioactive wastes	Sept. 19, 1996

D025	All others	Dec. 19, 1994.

D026	Mixed with radioactive wastes	Sept. 19, 1996

D026	All others	Dec. 19, 1994.

D027	Mixed with radioactive wastes	Sept. 19, 1996

D027	All others	Dec. 19, 1994.

D028	Mixed with radioactive wastes	Sept. 19, 1996

D028	All others	Dec. 19, 1994.

D029	Mixed with radioactive wastes	Sept. 19, 1996

D029	All others	Dec. 19, 1994.

D030	Mixed with radioactive wastes	Sept. 19, 1996

D030	All others	Dec. 19, 1994.

D031	Mixed with radioactive wastes	Sept. 19, 1996

D031	All others	Dec. 19, 1994.

D032	Mixed with radioactive wastes	Sept. 19, 1996

D032	All others	Dec. 19, 1994.

D033	Mixed with radioactive wastes	Sept. 19, 1996

D033	All others	Dec. 19, 1994.

D034	Mixed with radioactive wastes	Sept. 19, 1996

D034	All others	Dec. 19, 1994.

D035	Mixed with radioactive wastes	Sept. 19, 1996

D035	All others	Dec. 19, 1994.

D036	Mixed with radioactive wastes	Sept. 19, 1996

D036	All others	Dec. 19, 1994.

D037	Mixed with radioactive wastes	Sept. 19, 1996

D037	All others	Dec. 19, 1994.

D038	Mixed with radioactive wastes	Sept. 19, 1996

D038	All others	Dec. 19, 1994.

D039	Mixed with radioactive wastes	Sept. 19, 1996

D039	All others	Dec. 19, 1994.

D040	Mixed with radioactive wastes	Sept. 19, 1996

D040	All others	Dec. 19, 1994.

D041	Mixed with radioactive wastes	Sept. 19, 1996

D041	All others	Dec. 19, 1994.

D042	Mixed with radioactive wastes	Sept. 19, 1996

D042	All others	Dec. 19, 1994.

D043	Mixed with radioactive wastes	Sept. 19, 1996

D043	All others	Dec. 19, 1994.

F001	Small quantity generators, CERCLA 	Nov. 8, 1988.
	response/RCRA corrective action, initial
	 generator's solvent-water mixtures,	
	solvent-containing sludges and solids.	
F001	All others	Nov. 8, 1986
F002 (1,1,2-	Wastewater and Nonwastewater	Aug. 8, 1990
 trichloroethane)		

F002	Small quantity generators, CERCLA 	Nov. 8, 1988.
	response/RCRA corrective action, initial 
	generator's solvent-water mixtures, 
	solvent-containing sludges and solids.	
F002	All  others	Nov. 8, 1986.
F003	Small quantity generators, CERCLA 	Nov. 8, 1988.
	response/RCRA corrective action, initial 
	generator's solvent-water mixtures, 
	solvent-containing sludges and solids.	
F003	All others	Nov. 8, 1986.
F004	Small quantity generators, CERCLA 	Nov. 8, 1988.
	response/RCRA corrective action, initial 
	generator's solvent-water mixtures, 
	solvent-containing sludges and solids.	
F004	All others	Nov. 8, 1986.
F005 (benzene, 2-	Wastewater and Nonwastewater	Aug. 8, 1990
ethoxy ethanol, 2-		
nitropropane)		
F005	Small quantity generators, CERCLA 	Nov. 8, 1988.
	response/RCRA corrective action, initial 
	generator's solvent-water mixtures, 
	solvent-containing sludges and solids.	
F005	All  others	Nov. 8, 1986.
F006	Wastewater	Aug. 8, 1990.
F006	Nonwastewater	Aug. 8, 1988.

F006 (cyanides)	Nonwastewater	July 8, 1989.
F007	All	July 8, 1989.

F008	All	July 8, 1989.
F009	All	July 8, 1989.
F010	All	June 8, 1989.
F011 (cyanides)	Nonwastewater	Dec. 8, 1989.
F011	All others	July 8, 1989.
F012 (cyanides)	Nonwastewater	Dec. 8, 1989.
F012	All others	July 8, 1989.
F019	All	Aug. 8, 1990.
F020	All	Nov. 8, 1988.
F021	All	Nov. 8, 1988.
F022	All	Nov. 8, 1988.
F023	All	Nov. 8, 1988.
F024 (metals)	Wastewater	June 8, 1989.
F024 (metals)	Nonwastewater	Aug. 8, 1990.
F024b	All others	June 8, 1989.

F025	All	Aug. 8, 1990.
F026	All	Nov. 8, 1988.
F027	All	Nov. 8, 1988.
F028	All	Nov. 8, 1988.

F032	Mixed with radioactive wastes	May 12, 1999.

F032	All others	Aug. 12, 1997

F034	Mixed with radioactive wastes	May 12, 1999.

F034	All others	Aug. 12, 1997

F035	Mixed with radioactive wastes	May 12,, 1999.

F035	All others	Aug. 12, 1997

F037	Not generated from surface impoundment	June 30, 1993.
	cleanouts or closures

F037	Generated from surface impoundment	June 30, 1994.
	cleanouts or closures

F037	Mixed with radioactive wastes	June 30, 1994.

F038	Not generated from surface impoundment	June 30, 1993.
	cleanouts or closures

F038	Generated from surface impoundment	June 30, 1994.
	cleanouts or closures

F038	Mixed with radioactive wastes	June 30, 1994.

F039	Wastewater	Aug. 8, 1990.
F039	Nonwastewater	May 8, 1992.
K001 (organics)b	All	Aug. 8, 1988.
K001	All others	Aug. 8, 1988.
K002	All	Aug. 8, 1990.
K003	All	Aug. 8, 1990.
K004	Wastewater	Aug. 8, 1990.
K004	Nonwastewater	Aug. 8, 1988.
K005	Wastewater	Aug. 8, 1990.

K005	Nonwastewater	June 8, 1989.
K006	All	Aug. 8, 1990.
K007	Wastewater	Aug. 8, 1990.
K007	Nonwastewater	June 8, 1989.
K008	Wastewater	Aug. 8, 1990.
K008	Nonwastewater	Aug. 8, 1988.
K009	All	June 8, 1989.
K010	All	June 8, 1989.
K011	Wastewater	Aug. 8, 1990.

K011	Nonwastewater	June 8, 1989.
K013	Wastewater	Aug. 8, 1990.
K013	Nonwastewater	June 8, 1989.
K014	Wastewater	Aug. 8, 1990.
K014	Nonwastewater	June 8, 1989.
K015	Wastewater	Aug. 8, 1988.
K015	Nonwastewater	Aug. 8, 1990.
K016	All	Aug. 8, 1988.
K017	All	Aug. 8, 1990.
K018	All	Aug. 8, 1988.
K019	All	Aug. 8, 1988.

K020	All	Aug. 8, 1988.
K021	Wastewater	Aug. 8, 1990.
K021	Nonwastewater	Aug. 8, 1988.
K022	Wastewater	Aug. 8, 1990.
K022	Nonwastewater	Aug. 8, 1988.
K023	All	June 8, 1989.
K024	All	Aug. 8, 1988.
K025	Wastewater	Aug. 8, 1990.

K025	Nonwastewater	Aug. 8, 1988.
K026	All	Aug. 8, 1990.
K027	All	June 8, 1989.
K028 (metals)	Nonwastewater	Aug. 8, 1990.
K028	All others	June 8, 1989.
K029	Wastewater	Aug. 8, 1990.
K029	Nonwastewater	June 8, 1989.

K030	All	Aug. 8, 1988.
K031	Wastewater	Aug. 8, 1990.
K031	Nonwastewater	May 8, 1992.
K032	All	Aug. 8, 1990.
K033	All	Aug. 8, 1990.
K034	All	Aug. 8, 1990.

K035	All	Aug. 8, 1990.
K036	Wastewater	June 8, 1989.
K036	Nonwastewater	Aug. 8, 1988.
K037b	Wastewater	Aug. 8, 1988.
K037	Nonwastewater	Aug. 8, 1988.

K038	All	June 8, 1989.
K039	All	June 8, 1989.
K040	All	June 8, 1989.
K041	All	Aug. 8, 1990.

K042	All	Aug. 8, 1990.
K043	All	June 8, 1989.

K044	All	Aug. 8, 1988.

K045	All	Aug. 8, 1988.
K046	Nonwastewater	Aug. 8, 1988.
(Nonreactive)
K046	All others	Aug. 8, 1990.
K047	All	Aug. 8, 1988.
K048	Wastewater	Aug. 8, 1990.
K048	Nonwastewater	Nov. 8, 1990.
K049	Wastewater	Aug. 8, 1990.

K049	Nonwastewater	Nov. 8, 1990.
K050	Wastewater	Aug. 8, 1990.
K050	Nonwastewater	Nov. 8, 1990.
K051	Wastewater	Aug. 8, 1990.
K051	Nonwastewater	Nov. 8, 1990.
K052	Wastewater	Aug. 8, 1990.

K052	Nonwastewater	Nov. 8, 1990.
K060	Wastewater	Aug. 8, 1990.
K060	Nonwastewater	Aug. 8, 1988.
K061	Wastewater	Aug. 8, 1990.
K061	Nonwastewater	June 30, 1992.
K062	All	Aug. 8, 1988.

K069 (Non-Calcium 
Sulfate)	Nonwastewater	Aug. 8. 1988
K069	All others	Aug. 8, 1990.
K071	All	Aug. 8, 1990.
K073	All	Aug. 8, 1990.
K083	All	Aug. 8, 1990.
K084	Wastewater	Aug. 8, 1990.
K084	Nonwastewater	May 8, 1992.
K085	All	Aug. 8, 1990.
K086 (organics)b	All	Aug. 8, 1988.
K086	All others	Aug. 8, 1988.
K087	All	Aug. 8, 1988.
K088	Mixed with radioactive wastes	April 8, 1998.
K088	All others	Oct. 8, 1997. 
K093	All	June 8, 1989.

K094	All	June 8, 1989.
K095	Wastewater	Aug. 8, 1990.
K095	Nonwastewater	June 8, 1989.
K096	Wastewater	Aug. 8, 1990.
K096	Nonwastewater	June 8, 1989.

K097	All	Aug. 8, 1990.
K098	All	Aug. 8, 1990.
K099	All	Aug. 8, 1988.
K100	Wastewater	Aug. 8, 1990.
K100	Nonwastewater	Aug. 8, 1988.
K101 (organics)	Wastewater	Aug. 8, 1988.
K101 (metals)	Wastewater	Aug. 8, 1990.
K101 (organics)	Nonwastewater	Aug. 8, 1988.
K101 (metals)	Nonwastewater	May 8, 1992.

K102 (organics)	Wastewater	Aug. 8, 1988.
K102 (metals)	Wastewater	Aug. 8, 1990.
K102 (organics)	Nonwastewater	Aug. 8, 1988.
K102 (metals)	Nonwastewater	May 8, 1992.
K103	All	Aug. 8, 1988.
K104	All	Aug. 8, 1988.
K105	All	Aug. 8, 1990.
K106	Wastewater	Aug. 8, 1990.
K106	Nonwastewater	May 8, 1992.
K107	Mixed with radioactive wastes	June 30, 1994.
K107	All others	Nov. 9, 1992.

K108	Mixed with radioactive wastes	June 30, 1994.
K108	All others	Nov. 9, 1992.

K109	Mixed with radioactive wastes	June 30, 1994.
K109	All others	Nov. 9, 1992.

K110	Mixed with radioactive wastes	June 30, 1994.
K110	All others	Nov. 9, 1992.

K111	Mixed with radioactive wastes	June 30, 1994.
K111	All others	Nov. 9, 1992.

K112	Mixed with radioactive wastes	June 30, 1994.
K112	All others	Nov. 9, 1992.

K113	All	June 8, 1989.

K114	All	June 8, 1989.
K115	All	June 8, 1989.
K116	All	June 8, 1989.

K117	Mixed with radioactive wastes	June 30, 1994.

K117	All others	Nov. 9, 1992.

K118	Mixed with radioactive wastes	June 30, 1994.

K118	All others	Nov. 9, 1992.

K123	Mixed with radioactive wastes	June 30, 1994.

K123	All others	Nov. 9, 1992.

K124	Mixed with radioactive wastes	June 30, 1994.

K124	All others	Nov. 9, 1992.

K125	Mixed with radioactive wastes	June 30, 1994.

K125	All others	Nov. 9, 1992.

K126	Mixed with radioactive wastes	June 30, 1994.

K126	All others	Nov. 9, 1992.

K131	Mixed with radioactive wastes	June 30, 1994.

K131	All others	Nov. 9, 1992.

K132	Mixed with radioactive wastes	June 30, 1994.

K132	All others	Nov. 9, 1992.

K136	Mixed with radioactive wastes	June 30, 1994.

K136	All others	Nov. 9, 1992.

K141	Mixed with radioactive wastes	Sept. 19, 1996.

K141	All others	Dec. 19, 1994.

K142	Mixed with radioactive wastes	Sept. 19, 1996.

K142	All others	Dec. 19, 1994.

K143	Mixed with radioactive wastes	Sept. 19, 1996.

K143	All others	Dec. 19, 1994.

K144	Mixed with radioactive wastes	Sept. 19, 1996.

K144	All others	Dec. 19, 1994.

K145	Mixed with radioactive wastes	Sept. 19, 1996.

K145	All others	Dec. 19, 1994.

K147	Mixed with radioactive wastes	Sept. 19, 1996.

K147	All others	Dec. 19, 1994.

K148	Mixed with radioactive wastes	Sept. 19, 1996.

K148	All others	Dec. 19, 1994.

K149	Mixed with radioactive wastes	Sept. 19, 1996.

K149	All others	Dec. 19, 1994.

K150	Mixed with radioactive wastes	Sept. 19, 1996.

K150	All others	Dec. 19, 1994.

K151	Mixed with radioactive wastes	Sept. 19, 1996.

K151	All others	Dec. 19, 1994.

K156	Mixed with radioactive wastes	April 8, 1998.

K156	All others	July 8, 1996.

K157	Mixed with radioactive wastes	April 8, 1998.

K157	All others	July 8, 1996.

K158	Mixed with radioactive wastes	April 8, 1998.

K158	All others	July 8, 1996.

K159	Mixed with radioactive wastes	April 8, 1998.

K159	All others	July 8, 1996.

K160	Mixed with radioactive wastes	April 8, 1998.

K160	All others	July 8, 1996.

K161	Mixed with radioactive wastes	April 8, 1998.

K161	All others	July 8, 1996.

P001	All	Aug. 8, 1990.
P002	All	Aug. 8, 1990.
P003	All	Aug. 8, 1990.
P004	All	Aug. 8, 1990.
P005	All	Aug. 8, 1990.
P006	All	Aug. 8, 1990.
P007	All	Aug. 8, 1990.

P008	All	Aug. 8, 1990.
P009	All	Aug. 8, 1990.
P010	Wastewater	Aug. 8, 1990.
P010	Nonwastewater	May 8, 1992.
P011	Wastewater	Aug. 8, 1990.
P011	Nonwastewater	May 8, 1992.
P012	Wastewater	Aug. 8, 1990.
P012	Nonwastewater	May 8, 1992.
P013 (barium)	Nonwastewater	Aug. 8, 1990.
P013	All others	June 8, 1989.

P014	All	Aug. 8, 1990.
P015	All	Aug. 8, 1990.
P016	All	Aug. 8, 1990.
P017	All	Aug. 8, 1990.
P018	All	Aug. 8, 1990.
P020	All	Aug. 8, 1990.
P021	All	June 8, 1989.

P022	All	Aug. 8, 1990.
P023	All	Aug. 8, 1990.
P024	All	Aug. 8, 1990.
P026	All	Aug. 8, 1990.
P027	All	Aug. 8, 1990.
P028	All	Aug. 8, 1990.
P029	All	June 8, 1989.
P030	All	June 8, 1989.
P031	All	Aug. 8, 1990.
P033	All	Aug. 8, 1990.

P034	All	Aug. 8, 1990.
P036	Wastewater	Aug. 8, 1990.
P036	Nonwastewater	May 8, 1992.
P037	All	Aug. 8, 1990.
P038	Wastewater	Aug. 8, 1990.
P038	Nonwastewater	May 8, 1992.

P039	All	June 8, 1989.
P040	All	June 8, 1989.
P041	All	June 8, 1989.
P042	All	Aug. 8, 1990.
P043	All	June 8, 1989.
P044	All	June 8, 1989.
P045	All	Aug. 8, 1990.
P046	All	Aug. 8, 1990.
P047	All	Aug. 8, 1990.

P048	All	Aug. 8, 1990.
P049	All	Aug. 8, 1990.
P050	All	Aug. 8, 1990.
P051	All	Aug. 8, 1990.
P054	All	Aug. 8, 1990.
P056	All	Aug. 8, 1990.
P057	All	Aug. 8, 1990.
P058	All	Aug. 8, 1990.

P059	All	Aug. 8, 1990.
P060	All	Aug. 8, 1990.
P062	All	June 8, 1989.
P063	All	June 8, 1989.
P064	All	Aug. 8, 1990.

P065	Wastewater	Aug. 8, 1990.
P065	Nonwastewater	May 8, 1992.
P066	All	Aug. 8, 1990.
P067	All	Aug. 8, 1990.
P068	All	Aug. 8, 1990.
P069	All	Aug. 8, 1990.
P070	All	Aug. 8, 1990.
P071	All	June 8, 1989.
P072	All	Aug. 8, 1990.

P073	All	Aug. 8, 1990.
P074	All	June 8, 1989.

P075	All	Aug. 8, 1990.
P076	All	Aug. 8, 1990.
P077	All	Aug. 8, 1990.
P078	All	Aug. 8, 1990.
P081	All	Aug. 8, 1990.
P082	All	Aug. 8, 1990.
P084	All	Aug. 8, 1990.
P085	All	June 8, 1989.
P087	All	May 8, 1992.
P088	All	Aug. 8, 1990.
P089	All	June 8, 1989.

P092	Wastewater	Aug. 8, 1990.
P092	Nonwastewater	May 8, 1992.
P093	All	Aug. 8, 1990.
P094	All	June 8, 1989.
P095	All	Aug. 8, 1990.
P096	All	Aug. 8, 1990.
P097	All	June 8, 1989.
P098	All	June 8, 1989.
P099 (silver)	Wastewater	Aug. 8, 1990.

P099	All others	June 8, 1989.
P101	All	Aug. 8, 1990.
P102	All	Aug. 8, 1990.

P103	All	Aug. 8, 1990.
P104 (silver)	Wastewater	Aug. 8, 1990.
P104	All others	June 8, 1989.
P105	All	Aug. 8, 1990.

P106	All	June 8, 1989.
P108	All	Aug. 8, 1990.
P109	All	June 8, 1989.
P110	All	Aug. 8, 1990.
P111	All	June 8, 1989.
P112	All	Aug. 8, 1990.
P113	All	Aug. 8, 1990.
P114	All	Aug. 8, 1990.
P115	All	Aug. 8, 1990.
P116	All	Aug. 8, 1990.

P118	All	Aug. 8, 1990.
P119	All	Aug. 8, 1990.
P120	All	Aug. 8, 1990.
P121	All	June 8, 1989.
P122	All	Aug. 8, 1990.
P123	All	Aug. 8, 1990.

P127 	Mixed with radioactive wastes	April 8, 1998.

P127 	All others	July 8, 1996.

P128	Mixed with radioactive wastes	April 8, 1998.

P128	All others	July 8, 1996.

P185 	Mixed with radioactive wastes	April 8, 1998.

P185 	All others	July 8, 1996.

P188	Mixed with radioactive wastes	April 8, 1998.

P188 	All others	July 8, 1996.

P189 	Mixed with radioactive wastes	April 8, 1998.

P189 	All others	July 8, 1996.

P190	Mixed with radioactive wastes	April 8, 1998.

P190 	All others	July 8, 1996.

P191 	Mixed with radioactive wastes	April 8, 1998.

P191 	All others	July 8, 1996.

P192 	Mixed with radioactive wastes	April 8, 1998.

P192 	All others	July 8, 1996.

P194	Mixed with radioactive wastes	April 8, 1998.

P194 	All others	July 8, 1996.

P196 	Mixed with radioactive wastes	April 8, 1998.

P196 	All others	July 8, 1996.

P197 	Mixed with radioactive wastes	April 8, 1998.

P197 	All others	July 8, 1996.

P198 	Mixed with radioactive wastes	April 8, 1998.

P198 	All others	July 8, 1996.

P199	Mixed with radioactive wastes	April 8, 1998.

P199 	All others	July 8, 1996.

P201	Mixed with radioactive wastes	April 8, 1998.

P201 	All others	July 8, 1996.

P202	Mixed with radioactive wastes	April 8, 1998.

P202 	All others	July 8, 1996.

P203	Mixed with radioactive wastes	April 8, 1998.

P203 	All others	July 8, 1996.

P204	Mixed with radioactive wastes	April 8, 1998.

P204 	All others	July 8, 1996.

P205	Mixed with radioactive wastes	April 8, 1998.

P205 	All others	July 8, 1996.

U001	All	Aug. 8, 1990.
U002	All	Aug. 8, 1990.

U003	All	Aug. 8, 1990.
U004	All	Aug. 8, 1990.
U005	All	Aug. 8, 1990.
U006	All	Aug. 8, 1990.
U007	All	Aug. 8, 1990.
U008	All	Aug. 8, 1990.
U009	All	Aug. 8, 1990.
U010	All	Aug. 8, 1990.

U011	All	Aug. 8, 1990.
U012	All	Aug. 8, 1990.
U014	All	Aug. 8, 1990.
U015	All	Aug. 8, 1990.
U016	All	Aug. 8, 1990.
U017	All	Aug. 8, 1990.
U018	All	Aug. 8, 1990.
U019	All	Aug. 8, 1990.

U020	All	Aug. 8, 1990.
U021	All	Aug. 8, 1990.
U022	All	Aug. 8, 1990.
U023	All	Aug. 8, 1990.
U024	All	Aug. 8, 1990.
U025	All	Aug. 8, 1990.
U026	All	Aug. 8, 1990.
U027	All	Aug. 8, 1990.
U028	All	June 8, 1989.

U029	All	Aug. 8, 1990.
U030	All	Aug. 8, 1990.
U031	All	Aug. 8, 1990.
U032	All	Aug. 8, 1990.
U033	All	Aug. 8, 1990.
U034	All	Aug. 8, 1990.
U035	All	Aug. 8, 1990.
U036	All	Aug. 8, 1990.
U037	All	Aug. 8, 1990.

U038	All	Aug. 8, 1990.
U039	All	Aug. 8, 1990.
U041	All	Aug. 8, 1990.
U042	All	Aug. 8, 1990.
U043	All	Aug. 8, 1990.
U044	All	Aug. 8, 1990.
U045	All	Aug. 8, 1990.
U046	All	Aug. 8, 1990.
U047	All	Aug. 8, 1990.

U048	All	Aug. 8, 1990.
U049	All	Aug. 8, 1990.
U050	All	Aug. 8, 1990.
U051	All	Aug. 8, 1990.
U052	All	Aug. 8, 1990.

U053	All	Aug. 8, 1990.
U055	All	Aug. 8, 1990.
U056	All	Aug. 8, 1990.

U057	All	Aug. 8, 1990.
U058	All	June 8, 1989.
U059	All	Aug. 8, 1990.
U060	All	Aug. 8, 1990.

U061	All	Aug. 8, 1990.
U062	All	Aug. 8, 1990.
U063	All	Aug. 8, 1990.
U064	All	Aug. 8, 1990.
U066	All	Aug. 8, 1990.
U067	All	Aug. 8, 1990.
U068	All	Aug. 8, 1990.

U069	All	June 30, 1992
U070	All	Aug. 8, 1990.
U071	All	Aug. 8, 1990.
U072	All	Aug. 8, 1990.
U073	All	Aug. 8, 1990.
U074	All	Aug. 8, 1990.
U075	All	Aug. 8, 1990.
U076	All	Aug. 8, 1990.
U077	All	Aug. 8, 1990.
U078	All	Aug. 8, 1990.
U079	All	Aug. 8, 1990.
U080	All	Aug. 8, 1990.

U081	All	Aug. 8, 1990.
U082	All	Aug. 8, 1990.
U083	All	Aug. 8, 1990.
U084	All	Aug. 8, 1990.
U085	All	Aug. 8, 1990.
U086	All	Aug. 8, 1990.
U087	All	June 8, 1989.
U088	All	June 8, 1989.
U089	All	Aug. 8, 1990.

U090	All	Aug. 8, 1990.
U091	All	Aug. 8, 1990.
U092	All	Aug. 8, 1990.
U093	All	Aug. 8, 1990.
U094	All	Aug. 8, 1990.
U095	All	Aug. 8, 1990.
U096	All	Aug. 8, 1990.
U097	All	Aug. 8, 1990.

U098	All	Aug. 8, 1990.
U099	All	Aug. 8, 1990.
U101	All	Aug. 8, 1990.
U102	All	June 8, 1989.
U103	All	Aug. 8, 1990.
U105	All	Aug. 8, 1990.
U106	All	Aug. 8, 1990.
U107	All	June 8, 1989.
U108	All	Aug. 8, 1990.

U109	All	Aug. 8, 1990.
U110	All	Aug. 8, 1990.
U111	All	Aug. 8, 1990.
U112	All	Aug. 8, 1990.
U113	All	Aug. 8, 1990.
U114	All	Aug. 8, 1990.
U115	All	Aug. 8, 1990.

U116	All	Aug. 8, 1990.
U117	All	Aug. 8, 1990.
U118	All	Aug. 8, 1990.
U119	All	Aug. 8, 1990.
U120	All	Aug. 8, 1990.
U121	All	Aug. 8, 1990.
U122	All	Aug. 8, 1990.
U123	All	Aug. 8, 1990.
U124	All	Aug. 8, 1990.

U125	All	Aug. 8, 1990.
U126	All	Aug. 8, 1990.
U127	All	Aug. 8, 1990.
U128	All	Aug. 8, 1990.
U129	All	Aug. 8, 1990.
U130	All	Aug. 8, 1990.
U131	All	Aug. 8, 1990.
U132	All	Aug. 8, 1990.

U133	All	Aug. 8, 1990.
U134	All	Aug. 8, 1990.
U135	All	Aug. 8, 1990.
U136	Wastewater	Aug. 8, 1990.
U136	Nonwastewater	May 8, 1992.
U137	All	Aug. 8, 1990.
U138	All	Aug. 8, 1990.
U140	All	Aug. 8, 1990.

U141	All	Aug. 8, 1990.
U142	All	Aug. 8, 1990.
U143	All	Aug. 8, 1990.

U144	All	Aug. 8, 1990.
U145	All	Aug. 8, 1990.
U146	All	Aug. 8, 1990.

U147	All	Aug. 8, 1990.
U148	All	Aug. 8, 1990.
U149	All	Aug. 8, 1990.
U150	All	Aug. 8, 1990.
U151	Wastewater	Aug. 8, 1990.
U151	Nonwastewater	May 8, 1992.

U152	All	Aug. 8, 1990.
U153	All	Aug. 8, 1990.

U154	All	Aug. 8, 1990.

U155	All	Aug. 8, 1990.
U156	All	Aug. 8, 1990.
U157	All	Aug. 8, 1990.
U158	All	Aug. 8, 1990.
U159	All	Aug. 8, 1990.
U160	All	Aug. 8, 1990.

U161	All	Aug. 8, 1990.
U162	All	Aug. 8, 1990.
U163	All	Aug. 8, 1990.
U164	All	Aug. 8, 1990.
U165	All	Aug. 8, 1990.
U166	All	Aug. 8, 1990.
U167	All	Aug. 8, 1990.

U168	All	Aug. 8, 1990.
U169	All	Aug. 8, 1990.
U170	All	Aug. 8, 1990.
U171	All	Aug. 8, 1990.
U172	All	Aug. 8, 1990.

U173	All	Aug. 8, 1990.
U174	All	Aug. 8, 1990.
U176	All	Aug. 8, 1990.

U177	All	Aug. 8, 1990.
U178	All	Aug. 8, 1990.
U179	All	Aug. 8, 1990.
U180	All	Aug. 8, 1990.

U181	All	Aug. 8, 1990.
U182	All	Aug. 8, 1990.
U183	All	Aug. 8, 1990.
U184	All	Aug. 8, 1990.
U185	All	Aug. 8, 1990.
U186	All	Aug. 8, 1990.
U187	All	Aug. 8, 1990.

U188	All	Aug. 8, 1990.
U189	All	Aug. 8, 1990.
U190	All	June 8, 1989.
U191	All	Aug. 8, 1990.
U192	All	Aug. 8, 1990.
U193	All	Aug. 8, 1990.

U194	All	Aug. 8, 1990.
U196	All	Aug. 8, 1990.
U197	All	Aug. 8, 1990.
U200	All	Aug. 8, 1990.
U201	All	Aug. 8, 1990.
U202	All	Aug. 8, 1990.
U203	All	Aug. 8, 1990.
U204	All	Aug. 8, 1990.
U205	All	Aug. 8, 1990.

U206	All	Aug. 8, 1990.
U207	All	Aug. 8, 1990.
U208	All	Aug. 8, 1990.
U209	All	Aug. 8, 1990.
U210	All	Aug. 8, 1990.

U211	All	Aug. 8, 1990.
U213	All	Aug. 8, 1990.
U214	All	Aug. 8, 1990.
U215	All	Aug. 8, 1990.

U216	All	Aug. 8, 1990.
U217	All	Aug. 8, 1990.
U218	All	Aug. 8, 1990.
U219	All	Aug. 8, 1990.
U220	All	Aug. 8, 1990.
U221	All	June 8, 1989.

U222	All	Aug. 8, 1990
U223	All	June 8, 1989.
U225	All	Aug. 8, 1990.
U226	All	Aug. 8, 1990.
U227	All	Aug. 8, 1990.
U228	All	Aug. 8, 1990.
U234	All	Aug. 8, 1990.
U235	All	June 8, 1989.
U236	All	Aug. 8, 1990.

U237	All	Aug. 8, 1990.
U238	All	Aug. 8, 1990.
U239	All	Aug. 8, 1990.
U240	All	Aug. 8, 1990.

U243	All	Aug. 8, 1990.
U244	All	Aug. 8, 1990.
U246	All	Aug. 8, 1990.

U247	All	Aug. 8, 1990.
U248	All	Aug. 8, 1990.
U249	All	Aug. 8, 1990.

U271	Mixed with radioactive wastes	April 8, 1998.

U271	All others	July 8, 1996.

U277	Mixed with radioactive wastes	April 8, 1998.

U277	All others	July 8, 1996.

U278	Mixed with radioactive wastes	April 8, 1998.

U278	All others	July 8, 1996.

U279	Mixed with radioactive wastes	April 8, 1998.

U279	All others	July 8, 1996.

U280	Mixed with radioactive wastes	April 8, 1998.

U280	All others	July 8, 1996.

U328	Mixed with radioactive wastes	June 30, 1994.

U328	All others	Nov. 9, 1992.

U353	Mixed with radioactive wastes	June 30, 1994.

U353	All others	Nov. 9, 1992.

U359	Mixed with radioactive wastes	June 30, 1994.

U359	All others	Nov. 9, 1992.

U364	Mixed with radioactive wastes	April 8, 1998.

U364	All others	July 8, 1996.

U365	Mixed with radioactive wastes	April 8, 1998.

U365	All others	July 8, 1996.

U366	Mixed with radioactive wastes	April 8, 1998.

U366	All others	July 8, 1996.

U367	Mixed with radioactive wastes	April 8, 1998.

U367	All others	July 8, 1996.

U372	Mixed with radioactive wastes	April 8, 1998.

U372	All others	July 8, 1996.

U373	Mixed with radioactive wastes	April 8, 1998.

U373	All others	July 8, 1996.

U375	Mixed with radioactive wastes	April 8, 1998.

U375	All others	July 8, 1996.

U376	Mixed with radioactive wastes	April 8, 1998.

U376	All others	July 8, 1996.

U377	Mixed with radioactive wastes	April 8, 1998.

U377	All others	July 8, 1996.

U378	Mixed with radioactive wastes	April 8, 1998.

U378	All others	July 8, 1996.

U379	Mixed with radioactive wastes	April 8, 1998.

U379	All others	July 8, 1996.

U381	Mixed with radioactive wastes	April 8, 1998.

U381	All others	July 8, 1996.

U382	Mixed with radioactive wastes	April 8, 1998.

U382	All others	July 8, 1996.

U383	Mixed with radioactive wastes	April 8, 1998.

U383	All others	July 8, 1996.

U384	Mixed with radioactive wastes	April 8, 1998.

U384	All others	July 8, 1996.

U385	Mixed with radioactive wastes	April 8, 1998.

U385	All others	July 8, 1996.

U386	Mixed with radioactive wastes	April 8, 1998.

U386	All others	July 8, 1996.

U387	Mixed with radioactive wastes	April 8, 1998.

U387	All others	July 8, 1996.

U389	Mixed with radioactive wastes	April 8, 1998.

U389	All others	July 8, 1996.

U390	Mixed with radioactive wastes	April 8, 1998.

U390	All others	July 8, 1996.

U391	Mixed with radioactive wastes	April 8, 1998.

U391	All others	July 8, 1996.

U392	Mixed with radioactive wastes	April 8, 1998.

U392	All others	July 8, 1996.

U393	Mixed with radioactive wastes	April 8, 1998.

U393	All others	July 8, 1996.

U394	Mixed with radioactive wastes	April 8, 1998.

U394	All others	July 8, 1996.

U395	Mixed with radioactive wastes	April 8, 1998.

U395	All others	July 8, 1996.

U396	Mixed with radioactive wastes	April 8, 1998.

U396	All others	July 8, 1996.

U400	Mixed with radioactive wastes	April 8, 1998.

U400	All others	July 8, 1996.

U401	Mixed with radioactive wastes	April 8, 1998.

U401	All others	July 8, 1996.

U402	Mixed with radioactive wastes	April 8, 1998.

U402	All others	July 8, 1996.

U403	Mixed with radioactive wastes	April 8, 1998.

U403	All others	July 8, 1996.

U404	Mixed with radioactive wastes	April 8, 1998.

U404	All others	July 8, 1996.

U407	Mixed with radioactive wastes	April 8, 1998.

U407	All others	July 8, 1996.

U409	Mixed with radioactive wastes	April 8, 1998.

U409	All others	July 8, 1996.

U410	Mixed with radioactive wastes	April 8, 1998.

U410	All others	July 8, 1996.

U411	Mixed with radioactive wastes	April 8, 1998.

U411	All others	July 8, 1996.

__________

a This table does not include mixed radioactive wastes (from the First, Second, and Third Third rules) which received national capacity variance until May 8, 1992. This table also does not include contaminated soil and debris wastes. 

b The standard was revised in the Third Third Final Rule (55 Federal Register 22520, June 1, 1990). 

c The standard was revised in the Third Third Emergency Rule (58 Federal Register 29860, May 24, 1993); the original effective date was August 8, 1990.

d The standard was revised in the Phase II Final Rule (59 Federal Register 47982, Sept. 19, 1994); the original effective date was August 8, 1990. 

NOTE: This table is provided for the convenience of the reader.

Appendix VII--Table 2.  Summary of Effective Dates of Land Disposal Restrictions for Contaminated Soil and Debris (CSD)

Restricted hazardous waste in CSD	Effective Date

1. Solvent-(F001-F005) and dioxin-(F020-F023 and	Nov. 8, 1990. 
F026-F028) containing soil and debris from CERCLA	
response or RCRA corrective actions.	

2. Soil and debris not from CERCLA response or RCRA	Nov. 8, 1988. 
corrective actions contaminated with less than 1%	
total solvents (F001-F005) or dioxins (F020-F023	
and F026-F028)	

3. All soil and debris contaminated with First Third wastes	Aug. 8, 1990. 
for which treatment standards are based on incineration.

4. All soil and debris contaminated with Second Third	June 8, 1991. 
wastes for which treatment standards are based on 
on incineration.

5. All soil debris contaminated with Third Third wastes or,	May 8, 1992. 
First or Second Third “soft hammer” wastes which had 
treatment standards promulgated in the Third Third rule, 
for which treatment standards are based on incineration, 
vitrification, or mercury retorting, acid leaching followed 
by chemical precipitation, or thermal recovery of metals; 
as well as all inorganic solids debris contaminated with 
D004-D011 wastes, and all soil and debris contaminated 
with mixed RCRA/radioactive wastes.

6. Soil and debris contaminated with D012-D043, 	Dec. 19, 1994. 
K141-K145, and K147-151 wastes.

7. Debris (only) contaminated with F037, F038, K107-K112, 	Dec. 19, 1994
K117, K118, K123-K126, K131, K132, K136, U328, 
U353, U359

8. Soil and debris contaminated with, K156-K159,	July 8, 1996.
K161, P127, P128, P185, P188-P192, P194, P196-P199, 
P201-P205, U271, U278-U280, U364, U367, U372, U373,
U387, U389, U394, U395, U404, and U409-U411 wastes.

9. Soil and debris contaminated with K088 wastes.	September 21, 1998.

10. Soil and debris contaminated with radioactive wastes	April 8, 1998. 
mixed with K088, K156-K159, K161, P127, P128, P185, 
P188-P192, P194, P196-P199, P201-P205, U271, 
U278-U280, U364, U367, U372, U373, U387, U389, 
U394, U395, U404, and U409-U411 wastes.

11. Soil and debris contaminated with F032, F034, and F035.	May 12, 1997.

12. Soil and debris contaminated with newly identified	Aug. 24, 1998. 
D004-D011 toxicity characteristic wastes and mineral 
processing wastes.

13. Soil and debris contaminated with mixed radioactive	May 26, 2000. 
newly identified D004-D011 characteristic wastes and 
mineral processing wastes.

Note: 1 Appendix VII is provided for the convenience of the reader.

Appendix VIII--LDR Effective Dates of Injected  Prohibited Hazardous Wastes

NATIONAL CAPACITY LDR VARIANCES FOR UIC WASTESa

	Waste code	Waste category	Effective date

F001-F005	All spent F001-F005 solvent	Aug. 8, 1990. 
		containing less than 1 percent
		total F001-F005 solvent
		constituents.

D001 (except High	All	Feb. 10, 1994. 
TOC Ignitable Liquids 
Subcategory)c

D001 (High TOC 	Nonwastewater	Sept. 19, 1995. 
Igniable Charactertistic 
Liquids Subcategory)

D002b		All	May 8, 1992.

D002c		All	Feb. 10, 1994.

D003 (cyanides)	All	May 8, 1992.

D003 (sulfides)	All	May 8, 1992.

D003 (explosives, 	All	May 8, 1992. 
reactives)

D007		All	May 8, 1992.

D009		Nonwastewater	May 8, 1992.

D012		All	Sept. 19, 1995.

D013		All	Sept. 19, 1995.

D014		All	Sept. 19, 1995.

D015		All	Sept. 19, 1995.

D016		All	Sept. 19, 1995.

D017		All	Sept. 19, 1995.

D018		All, including mixed with	April 8, 1998. 
		radioactive wastes

D019		All, including mixed with	April 8, 1998. 
		radioactive wastes

D020		All, including mixed with	April 8, 1998. 
		radioactive wastes

D021		All, including mixed with	April 8, 1998. 
		radioactive wastes

D022		All, including mixed with	April 8, 1998. 
		radioactive wastes

D023		All, including mixed 	April 8, 1998. 
		radioactive wastes

D024		All, including mixed 	April 8, 1998. 
		radioactive wastes

D025		All, including mixed 	April 8, 1998. 
		radioactive wastes

D026		All, including mixed 	April 8, 1998. 
		radioactive wastes

D027		All, including mixed 	April 8, 1998. 
		radioactive wastes

D028		All, including mixed 	April 8, 1998. 
		radioactive wastes

D029		All, including mixed 	April 8, 1998. 
		radioactive wastes

D030		All, including mixed 	April 8, 1998. 
		radioactive wastes

D031		All, including mixed 	April 8, 1998. 
		radioactive wastes

D032		All, including mixed 	April 8, 1998. 
		radioactive wastes

D033		All, including mixed 	April 8, 1998. 
		radioactive wastes

D034		All, including mixed 	April 8, 1998. 
		radioactive wastes

D035		All, including mixed 	April 8, 1998. 
		radioactive wastes

D036		All, including mixed 	April 8, 1998. 
		radioactive wastes

D037		All, including mixed 	April 8, 1998. 
		radioactive wastes

D038		All, including mixed 	April 8, 1998. 
		radioactive wastes

D039		All, including mixed 	April 8, 1998. 
		radioactive wastes

D040		All, including mixed 	April 8, 1998. 
		radioactive wastes

D041		All, including mixed 	April 8, 1998. 
		radioactive wastes

D042		All, including mixed 	April 8, 1998. 
		radioactive wastes

D043		All, including mixed 	April 8, 1998. 
		radioactive wastes

F007		All	June 8, 1991.

F032		All, including mixed 	May 12, 1999. 
		radioactive wastes

F034		All, including mixed 	May 12, 1999. 
		radioactive wastes

F035		All, including mixed 	May 12, 1999. 
		radioactive wastes

F037		All	Nov. 8, 1992.

F038		All	Nov. 8, 1992.

F039		Wastewater	May 8, 1992.

K009		Wastewater	June 8, 1991.

K011		Nonwastewater	June 8, 1991.

K011		Wastewater	May 8, 1992.

K013		Nonwastewater	June 8, 1991.

K013		Wastewater	May 8, 1992.

K014		All	May 8, 1992.

K016 (dilute)	All	June 8, 1991.

K049		All	Aug. 8, 1990.

K050		All	Aug. 8, 1990.

K051		All	Aug. 8, 1990.

K052		All	Aug. 8, 1990.

K062		All	Aug. 8, 1990.

K071		All	Aug. 8, 1990.

K088		All	Jan. 8, 1997.

K104		All	Aug. 8, 1990.

K107		All	Nov. 8, 1992.

K108		All	Nov. 9, 1992.

K109		All	Nov. 9, 1992.

K110		All	Nov. 9, 1992.

K111		All	Nov. 9, 1992.

K112		All	Nov. 9, 1992.

K117		All	June 30, 1995.

K118		All	June 30, 1995.

K123		All	Nov. 9, 1992.

K124		All	Nov. 9, 1992.

K125		All	Nov. 9, 1992.

K126		All	Nov. 9, 1992.

K131		All	June 30, 1995.

K132		All	June 30, 1995.

K136		All	Nov. 9, 1992.

K141		All	Dec. 19, 1994.

K142		All	Dec. 19, 1994.

K143		All	Dec. 19, 1994.

K144		All	Dec. 19, 1994.

K145		All	Dec. 19, 1994.

K147		All	Dec. 19, 1994.

K148		All	Dec. 19, 1994.

K149		All	Dec. 19, 1994.

K150		All	Dec. 19, 1994.

K151		All	Dec. 19, 1994.

K156		All	July 8, 1996.

K157		All	July 8, 1996.

K158		All	July 8, 1996.

K159		All	July 8, 1996.

K160		All	July 8, 1996.

K161		All	July 8, 1996.

NA		Newly identified mineral	May 26, 2000 
		processingwastes from titanium  
		dioxideproduction and mixed
		radioactive/newly identified 
		D004-D011 characteristic wastes 
		and mineral processing wastes

P127		All	July 8, 1996.

P128		All	July 8, 1996.

P185		All	July 8, 1996.

P188		All	July 8, 1996.

P189		All	July 8, 1996.

P190		All	July 8, 1996.

P191		All	July 8, 1996.

P192		All	July 8, 1996.

P194		All	July 8, 1996.

P196		All	July 8, 1996.

P197		All	July 8, 1996.

P198		All	July 8, 1996.

P199		All	July 8, 1996.

P201		All	July 8, 1996.

P202		All	July 8, 1996.

P203		All	July 8, 1996.

P204		All	July 8, 1996.

P205		All	July 8, 1996.

U271		All	July 8, 1996.

U277		All	July 8, 1996.

U278		All	July 8, 1996.

U279		All	July 8, 1996.

U280		All	July 8, 1996.

U328		All	Nov. 9, 1992.

U353		All	Nov. 9, 1992.

U359		All	Nov. 9, 1992.

U364		All	July 8, 1996.

U365		All	July 8, 1996.

U366		All	July 8, 1996.

U367		All	July 8, 1996.

U372		All	July 8, 1996.

U373		All	July 8, 1996.

U375		All	July 8, 1996.

U376		All	July 8, 1996.

U377		All	July 8, 1996.

U378		All	July 8, 1996.

U379		All	July 8, 1996.

U381		All	July 8, 1996.

U382		All	July 8, 1996.

U383		All	July 8, 1996.

U384		All	July 8, 1996.

U385		All	July 8, 1996.

U386		All	July 8, 1996.

U387		All	July 8, 1996.

U389		All	July 8, 1996.

U390		All	July 8, 1996.

U391		All	July 8, 1996.

U392		All	July 8, 1996.

U394		All	July 8, 1996.

U395		All	July 8, 1996.

U396		All	July 8, 1996.

U400		All	July 8, 1996.

U401		All	July 8, 1996.

U402		All	July 8, 1996.

U403		All	July 8, 1996.

U404		All	July 8, 1996.

U407		All	July 8, 1996.

U409		All	July 8, 1996.

U410		All	July 8, 1996.

U411		All	July 8, 1996.

______

a Wastes that are deep well disposed on-site receive a six-month variance, with restrictions effective in November 1990. 

b Deepwell injected D002 liquids with a pH less than 2 must meet the California List treatment standards on August 8, 1990. 

c Managed in systems defined in 40 CFR 144.6(e) and 14.6(e) as Class V injection wells, that do not engage in federal CWA-equivalent treatment before injection.

Note: This table is provided for the convenience of the reader.

Appendix IX--Extraction Procedure (EP)  Toxicity Test Method and Structural Integrity Test (SW-846, Method 1310A)
Note: The EP (Method 1310) is published in ”Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” USEPA Publication SW-846, as incorporated by reference in section 66260.11.

View Graphic

View Graphic

View Graphic

View Graphic

Appendix X
[Reserved]

Appendix XI--Metal Bearing Wastes Prohibited From Dilution in a Combustion Unit According to section 66268.3(b)1

 Waste code	Waste description

D004		Toxicity Characteristic for Arsenic.

D005		Toxicity Characteristic for Barium.

D006		Toxicity Characteristic for Cadmium.

D007		Toxicity Characteristic for Chromium.

D008		Toxicity Characteristic for Lead.

D009		Toxicity Characteristic for Mercury.

D010		Toxicity Characteristic for Selenium.

D011		Toxicity Characteristic for Silver.

F006		Wastewater treatment sludges from 
		electroplating operations except from the 
		following processes: (1) sulfuric acid 
		anodizing of aluminum; (2) tin plating carbon  		steel; (3) zinc plating (segregated basis) on 
 		carbon steel; (4) aluminum or zinc-plating on
 		carbon steel; (5) cleaning/stripping 
 		associated with tin, zinc and aluminum 
		plating on carbon steel; and (6) chemical
		etching and milling of aluminum.

F007		Spent cyanide plating bath solutions from 
 		electroplating operations.

F008		Plating bath residues from the bottom of 
		plating baths from electroplating operations 
 		where cyanides are used in the process.

F009		Spent stripping and cleaning bath solutions 
 		from electroplating operations where 
		cyanides are used in the process.

F010		Quenching bath residues from oil baths from
 		metal treating operations where cyanides are
 		used in the process.

F011		Spent cyanide solutions from salt bath pot 
 		cleaning from metal heat treating operations.

F012		Quenching waste water treatment sludges 
 		from metal heat treating operations where 
		cyanides are used in the process.

F019		Wastewater treatment sludges from the 
		chemical conversion coating of aluminum 
		except from zirconium phosphating in 
		aluminum car washing when such 
		phosphating is an exclusive conversion 
		coating process.

K002		Wastewater treatment sludge from the 
		production of chrome yellow and orange 
		pigments.

K003		Wastewater treatment sludge from the 
		production of molybdate orange pigments.

K004		Wastewater treatment sludge from the 
		production of zinc yellow pigments.

K005		Wastewater treatment sludge from the 
		production of chrome green pigments.

K006		Wastewater treatment sludge from the 
		production of chrome oxide green pigments 
 		(anhydrous and hydrated).

K007		Wastewater treatment sludge from the 
		production of iron blue pigments.

K008		Oven residue from the production of 
		chrome oxide green pigments.

K061		Emission control dust/sludge from the 
		primary production of steel in electric 
		furnaces.

K069		Emission control dust/sludge from secondary
 		lead smelting.

K071		Brine purification muds from the mercury cell
 		processes in chlorine production, where 
		separately prepurified brine is not used.

K100		Waste leaching solution from acid leaching 
		of emission control dust/sludge from 
		secondary lead smelting.

K106		Sludges from the mercury cell processes for  		making chlorine.

P010		Arsenic acid H3ASO4

P011		Arsenic oxide AS2O5

P012		Arsenic trioxide

P013		Barium cyanide

P015		Beryllium

P029		Copper cyanide Cu(CN)

P074		Nickel cyanide Ni(CN)2

P087		Osmium tetroxide

P099		Potassium silver cyanide

P104		Silver cyanide

P113		Thallic oxide

P114		Thallium (l) selenite

P115		Thallium (l) sulfate

P119		Ammonium vanadate

P120		Vanadium oxide V2O5

P121		Zinc cyanide.

U032		Calcium chromate.

U145		Lead phosphate.

U151		Mercury.

U204		Selenious acid.

U205		Selenium disulfide.

U216		Thallium (l) chloride.

U217		Thallium (l) nitrate.

1 A combustion unit is defined as any thermal technology subject to CCR, Title 22, division 4.5, chapter 14, article 14 or chapter 15, article 15 and/or chapter 16, article 8.
Chapter 19. Fees
§66269.1. Environmental Fee.
Note     •     History

The Department finds that every business in California with fifty or more employees uses, generates, stores, or conducts activities in this state related to hazardous materials, as defined in section 25501 of the Health and Safety Code and in this section. 
(a) Definitions: When used in Health and Safety Code section 25205.6, or in this chapter, the following terms have the meanings given below. 
(1) “Employee” means any person who is an employee within the meaning of chapter 3 (commencing with section 601) of part 1 of division 1 of the Unemployment Insurance Code. A person is the employee of the employing unit that lawfully reports him or her as an employee to the Employment Development Department, except as expressly provided otherwise by this section or in Health and Safety Code section 25205.6. If two or more business enterprises are united by common ownership or management, or if one enterprise is a subsidiary of another, a person shall be deemed to be the employee only of the enterprise for which he or she most directly provides services. 
(2) “Environmental fee” means the charge imposed pursuant to Health and Safety Code section 25205.6. 
(3) “Hazardous material” means any material, whether a product, a substance, or a waste, that, because of its quantity, concentration, or physical or chemical characteristics, poses a significant present or potential hazard to human health and safety or to the environment if released into the workplace or the environment. A material has been shown to pose a significant hazard if the material is included on any list identified in subsection (b). A hazardous material includes, but is not limited to, a product or piece of equipment that contains a component or ingredient that is a hazardous material, or requires the use of a fuel that is a hazardous material. 
(4) To “use hazardous materials” and to “conduct activities related to hazardous materials” means any use or handling, in any amount or to any degree, of one or more substances or wastes that are included on any list identified in subsection (b), if that use or handling is related in any way to the operation or maintenance of the organization. 
(b) The following references identify materials that pose a significant present or potential hazard to human health or safety, or to the environment, if released into the workplace or the environment: 
(1) Appendix B of chapter 1 of title 10 of the Code of Federal Regulations. 
(2) Subdivision (b) of section 6382 of the Labor Code. 
(3) Chapter 11 (commencing with §66261.1) of title 22 of the California Code of Regulations. 
(4) Parts 172 and 173 of title 49 of the Code of Federal Regulations. 
(5) Part 261 of title 40 of the Code of Federal Regulations. 
(6) Sections 66261.9, 66261.30 through 66261.33, 66261.100 through 66261.126 of title 22 of the California Code of Regulations. 
(7) Sections 1317(a) and 1321(b)(2)(A) of title 33 of the United States Code. 
(8) Section 102 of the Comprehensive Environmental Response,  Compensation, and Liability Act of 1980 (CERCLA) (42 U.S.C. §9602). 
(9) Section 6921 of title 42 of the United States Code, unless otherwise  provided by Act of Congress. 
In addition, a material is hazardous if the manufacturer or producer is required to prepare a material safety data sheet (MSDS) for the substance or product pursuant to chapter 2.5 (commencing with §6360) of part 1 of division 5 of the Labor Code, or pursuant to any applicable federal law or regulation. 
(c) The Department shall compile a list of industry types, either by Standard Industrial Classification (SIC) Code or North American Industry Classification System (NAICS) Code, that are subject to the environmental fee. The Department shall include a code in the compilation if it determines that it is probable that the industry, in order to function at a level requiring fifty or more employees, would, in the normal course of doing business, generate, store, use, or conduct activities that involve one or more hazardous materials at one or more times during a year. The Department shall take into account the normal usage of consumer or business products that are in common distribution and contain hazardous materials, and the list shall include, but not be limited to, any industry type that uses or conducts activities involving such consumer or business products. In addition to any other relevant indicators, the Department may also take into account one or more databases maintained by, or based on records maintained by, a government agency, if that database indicates hazardous material usage by industry type. Codes shall normally be listed by two digits, except that the Department may break codes down by additional digits if it determines that, for one or more industry sub-categories, the determination should differ from the two-digit code, or if a sub-category has been exempted from the environmental fee by law. 
(d) The Department shall submit the list of industry types to the Board of Equalization by November 1 on an annual basis, and in doing so shall ensure that the list continues to meet the requirements of subsection (c). The codes that are on the most recently submitted list shall be deemed to be correct and shall not be superseded until the Department submits a revised list to the Board of Equalization. Pursuant to the criteria established by subsection (c), all codes pertain to industry types that generate, store, use, or conduct activities related to hazardous materials, with the exception of the code that applies to Private Households. The code for Residential Care is excluded from the list in accordance with subdivision (h) of section 25205.6 of the Health and Safety Code. 
NOTE

Authority cited: Sections 25205.6 and 58012, Health and Safety Code. Reference: Sections 25205.6 and 25501, Health and Safety Code. 
HISTORY

1. New chapter 19 (section 66269.1) and section filed 11-7-2007; operative 12-7-2007 (Register 2007, No. 45).
§66269.2. Disaster Victims Hazardous Waste Fee Exemption.
Note     •     History

(a) Victims of disasters shall be exempt from the hazardous waste disposal fee imposed pursuant to Health and Safety Code section 25174.1 and the generator fee imposed pursuant to Health and Safety Code section 25205.5, if all of the following apply:
(1) The hazardous waste is generated in a geographical area identified in a state of emergency proclamation by the Governor pursuant to Section 8625 of the Government Code because of fire, flood, storm, earthquake, riot, or civil unrest.
(2) The hazardous waste is generated when property owned or controlled by the victim is damaged or destroyed as a result of the disaster.
(3) (A) The hazardous waste is not hazardous waste that is routinely produced as part of a manufacturing or commercial business or that is managed by a hazardous waste facility or a facility operated by a generator of hazardous waste who files a hazardous waste notification statement with the department pursuant to subdivision (a) of Health and Safety Code section 25158.
(B) For purposes of this paragraph “routinely produced” means a waste type that is regularly generated in the normal course of that business' operations. However, if a regularly generated waste type is generated as a direct result of the disaster and not in the normal course of business then that waste is eligible for this exemption.
(4) The hazardous waste is disposed of within 365 days from the date an emergency proclamation was first issued by the Governor for the disaster which occurred in that geographical area.
(b) A person claiming an exemption from the disposal fee shall certify their eligibility for the exemption by providing written evidence to the operator of an authorized hazardous waste facility at which the hazardous waste is disposed in accordance with subdivision (d) of Health and Safety Code section 25174.1. A person who has paid a disposal fee to the state on hazardous waste meeting the criteria specified in subdivision (a) may claim a refund in accordance with Chapter 5 (commencing with Section 43451) of Part 22 of Division 2 of the Revenue and Taxation Code.
(c) A person claiming an exemption from the generator fee shall exclude hazardous waste meeting the criteria specified in subdivision (a) from the calculation of the generator fee due pursuant to Health and Safety Code section 25205.5. A person who has paid a generator fee to the state on hazardous waste meeting the criteria specified in subdivision (a) may claim a refund in accordance with Chapter 5 (commencing with Section 43451) of Part 22 of Division 2 of the Revenue and Taxation Code.
NOTE

Authority cited: Sections 25150, 25205.5.1 and 58012, Health and Safety Code; Reference: Sections 25158, 25174.1, 25174.2, 25174.6, 25174.7, 25205.3, 25205.5 and 25205.9, Health and Safety Code. Sections 8625, 8626, 8627, 8628 and 8629, Government Code. 
HISTORY

1. New section filed 9-6-2012; operative 10-6-2012 (Register 2012, No. 36).
Chapter 20. The Hazardous Waste Permit Program
Article 1. General Information
§66270.1. Purpose and Scope of These Regulations.
Note     •     History

(a) Coverage.
(1) These permit regulations establish provisions for the issuance and administration of hazardous waste permits pursuant to chapter 6.5 of division 20 of the Health and Safety Code (commencing with section 25100).
(2) The regulations in this chapter cover basic permitting requirements, such as application requirements, standard permit conditions, and monitoring and reporting requirements. These regulations are part of a regulatory scheme implementing chapter 6.5 (commencing with section 25100) of division 20 of the Health and Safety Code, set forth in different parts of Title 22, California Code of Regulations.
(3) Technical regulations. The permit program has separate additional regulations that contain technical requirements. These separate regulations are used by the Department to determine what requirements shall be placed in permits if they are issued. These separate regulations are located in chapters 14 and 16 of this division.
(b) Overview of the Permit Program. Not later than 90 days after the promulgation or revision of regulations in chapter 11 of this division, which result in a waste becoming subject to the requirements of this division, generators and transporters of that hazardous waste, and owners or operators of hazardous waste facilities that transfer, treat, store, or dispose of that waste shall file a notification of that activity under Health and Safety Code section 25153.6. After the promulgation of the chapter 11 regulations, transfer, treatment, storage or disposal of the newly regulated hazardous waste by any person who has not filed a notification with the Department and received a permit or grant of interim status is prohibited unless otherwise specifically authorized by the Department or another provision of this division. A permit application consists of two parts, Part A (see section 66270.13) and Part B (see section 66270.14 and applicable sections in sections 66270.15 through 66270.23). For “existing HWM facilities,” the requirement to submit an application is satisfied by submitting only Part A of the permit application until the date the Department sets for submitting Part B of the application. (Part A consists of Forms 1 and 3 of the Consolidated Permit Application Forms.) Timely submission of both notification under Health and Safety Code section 25153.6 and Part A qualifies owners and operators of existing HWM facilities (who are required to have a permit) for interim status under section 25200.5 of the Health and Safety Code. Facility owners and operators with interim status are treated as having been issued a permit until the Department makes a final determination on the permit application. Facility owners and operators with interim status shall comply with interim status standards set forth in chapter 15 of this division. For existing HWM facilities, the Department shall set a date, giving at least 60 days notice, for submission of Part B of the application.
There is no form for Part B of the application; rather, Part B shall be submitted in narrative form and contain the information set forth in the applicable sections of sections 66270.14 through 66270.23. Owners or operators of new HWM facilities shall submit Parts A and B of the permit application at least 180 days before physical construction is expected to commence.
(c) Scope of the Permit Requirements. A permit is required for the “transfer,” “treatment,” “storage,” and “disposal” of any waste which is hazardous waste pursuant to section 66261.3. The terms “transfer,” “treatment,” “storage,” “disposal,” and “hazardous waste” are defined in section 66260.10. Owners and operators of hazardous waste management units shall have permits during the active life (including the closure period) of the unit. Owners or operators of surface impoundments, landfills, land treatment units, and waste pile units that received wastes after July 26, 1982, or that certified closure (according to section 66265.115) after January 26, 1983, shall have post-closure permits, unless they demonstrate closure by removal as provided under subsections (c)(5) and (6) of this section. If a post-closure permit is required, the permit shall address applicable chapter 14 Water Quality Monitoring, Environmental Monitoring, Corrective Action, and Post-closure Care Requirements of this division. The denial of a permit for the active life of a hazardous waste management facility or unit does not affect the requirement to obtain a post-closure permit under this section.
(1) Specific inclusions. Owners and operators of certain facilities require hazardous waste facility permits as well as permits under other programs for certain aspects of the facility operation. Permits are required for:
(A) injection wells that dispose of hazardous waste, and associated surface facilities that transfer, treat, store or dispose of hazardous waste;
(B) transfer, treatment, storage, or disposal of hazardous waste at facilities requiring an NPDES permit. However, the owner or operator of a publicly owned treatment works receiving hazardous waste shall be deemed to have a permit for treatment of that waste if the owner or operator complies with the requirements of section 66270.60(d)(1).
(C) barges or vessels that dispose of hazardous waste by ocean disposal. However, the owner or operator shall be deemed to have a permit for ocean disposal from the barge or vessel if the owner or operator complies with the requirements of section 66270.60(d)(2).
(D) treatment of hazardous wastes using a Transportable Treatment Unit (TTU). However, the owner or operator of a transportable treatment unit (TTU) shall be deemed to have a permit to operate the TTU when the owner or operator submits completed TTU notifications as specified in Section 67450.2(a) and 67450.3(a)(3) and receives acknowledgements from the Department authorizing operation of the TTU pursuant to sections 67450.2(a)(3) and 67450.3(b).
(E) treatment of hazardous wastes using a Fixed Treatment Unit (FTU). However, the owner or operator of a fixed treatment unit (FTU) shall be deemed to have a permit to operate the FTU when the owner or operator submits a completed FTU facility-specific notification as specified in Section 67450.2(b) and receives an acknowledgement from CUPA or authorized agency authorizing operation of the FTU pursuant to section 67450.2(b)(5).
(F) operation of a temporary household hazardous waste collection facility (THHWCF). However, the operator of a THHWCF shall be deemed to have a permit to operate the THHWCF when the operator submits a completed THHWCF notification as specified in Section 66270.60(d)(5)(A).
(2) Specific exclusions. The following persons are among those who are not required to obtain a permit:
(A) generators who accumulate hazardous waste on-site without meeting the definition of a storage facility set forth in Health and Safety Code Section 25123.3.
(B) farmers who dispose of hazardous waste pesticides from their own use as provided in section 66262.70;
(C) transporters storing manifested shipments of hazardous waste in containers at a transfer facility, and transfer facilities storing manifested shipments of hazardous waste in containers, for six days or less, or 10 days or less for transfer facilities in areas zoned industrial by the local planning authority, and meeting the requirements of sections 66262.30 and 66263.18;
(D) persons adding absorbent material to waste in a container (as defined in section 66260.10 of this division) and persons adding waste to absorbent material in a container, provided that these actions occur at the time waste is first placed in the container; and sections 66264.17(b), 66264.171, and 66264.172 of this division are complied with.
(E) Persons who manage universal waste. These persons are subject to regulation under chapter 23 when managing universal wastes listed in section 66261.9 of this division.
(3) Further exclusions.
(A) A person is not required to obtain a permit for treatment or containment activities which are necessary to perform an immediate response to any of the following situations:
1. a discharge of a hazardous waste;
2. an imminent and substantial threat of a discharge of hazardous waste;
3. a discharge of a material which, when discharged, becomes a hazardous waste.
(B) Any person who continues or initiates hazardous waste treatment or containment activities after the immediate response is over is subject to all applicable requirements of this chapter for those activities.
(C) In the case of emergencies involving military munitions, the responding military emergency response specialist's organizational unit shall retain records for three years identifying the dates of the response, the responsible persons responding, the type and description of material addressed, and its disposition. For the purposes of this subsection, the term “military munitions” is as defined in 40 Code of Federal Regulations section 260.10. The requirements of this subsection apply only to military munitions that are regulated under the federal act, as defined in Health and Safety Code section 25115.1;
(4) Permits for less than an entire facility. The Department may issue or deny a permit for one or more units at a facility without simultaneously issuing or denying a permit to all of the units at the facility. The interim status of any unit for which a permit has not been issued or denied is not affected by the issuance or denial of a permit to any other unit at the facility.
(5) Closure by removal. Owners/operators of surface impoundments, land treatment units, and waste piles closing by removal or decontamination under the standards of chapter 15 of this division shall obtain a post-closure permit unless they can demonstrate to the Department that the closure met the standards for closure-by-removal or decontamination in sections 66264.228, 66264.280(e), or 66264.258, respectively. The demonstration may be made in the following ways:
(A) if the owner/operator has submitted a Part B application for a post-closure permit, the owner/operator may request a determination, based on information contained in the application, that the closure-by-removal or decontamination standards of chapter 14 of this division were met. If the Department believes that the chapter 14 standards were met, the Department will notify the public of this proposed decision, allow for public comment, and reach a final determination according to the procedures in paragraph (c)(6) of this section.
(B) If the owner/operator has not submitted a Part B application for a post-closure permit, the owner/operator may petition the Department for a determination that a post-closure permit is not required because the closure met the applicable closure-by-removal or decontamination standards of chapter 14 of this division.
1. The petition shall include data demonstrating that the applicable chapter 14 closure-by-removal or decontamination standards were met.
2. The Department shall approve or deny the petition according to the procedures outlined in subsection (c)(6) of this section.
(6) Procedures for closure equivalency determination.
(A) If a facility owner/operator seeks an equivalency demonstration under section 66270.1(c)(5), the Department shall provide the public, through a newspaper notice, the opportunity to submit written comments on the information submitted by the owner/operator within 30 days from the date of the notice. The Department shall also, in response to a request or at the Department's own discretion, hold a public hearing whenever such a hearing might clarify one or more issues concerning the equivalence of the closure under chapter 15 of this division to a closure-by-removal or decontamination under chapter 14 of this division. The Department shall give public notice of the hearing at least 30 days before it occurs. Public notice of the hearing may be given at the same time as notice of the opportunity for the public to submit written comments, and the two notices may be combined.
(B) The Department shall determine whether the closure under chapter 15 of this division met the closure-by-removal or decontamination requirements of chapter 14 of this division within 90 days of receipt of a petition requesting a closure equivalency determination. If the Department finds that the closure did not meet the applicable chapter 14 standards, the Department shall provide the owner/operator with a written statement of the reasons why the closure failed to meet chapter 14 standards. The owner/operator may submit additional information in support of an equivalency demonstration within 30 days after receiving such written statement. The Department shall review any additional information submitted and make a final determination within 60 days.
(C) If the Department determines that the facility did not close in accordance with the closure-by-removal or decontamination standards of chapter 14 of this division, the facility is subject to post-closure permitting requirements.
(d) Where waste discharge requirements are established pursuant to sections 13260 and 13263 of the Water Code, they shall be incorporated as a condition of the Hazardous Waste Facility Permit issued to the applicant pursuant to this chapter to the extent the Department determines the waste discharge requirements are not less stringent than this division or chapter 6.5 of division 20 of the Health and Safety Code. The Department may establish in the permit more stringent requirements which the Department determines are necessary or appropriate to carry out this division of chapter 6.5 of division 20 of the Health and Safety Code.
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25159, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25115.1, 25118, 25141, 25159, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; and 40 Code of Federal Regulations Sections 260.10 and 270.1.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
3. New subsection (c)(1)(F) and amendment of subsections (c)(1)(B)-(C) and Note filed 4-12-93; operative 4-12-93 (Register 93, No. 16).
4. Change without regulatory effect amending subsection (c)(2)(C) filed 4-3-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 14).
5. Amendment of subsections (c)(1)(D)-(F) filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (c)(1)(D)-(F) refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (c)(1)(D)-(F) refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (c)(1)(D)-(F) refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
9. New subsections (c)(2)(E)-(c)(2)(E)3. and amendment of Note filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
11. New subsections (c)(2)(E)-(c)(2)(E)3. and amendment of Note refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
12. New subsections (c)(2)(E)-(c)(2)(E)3. and amendment of Note refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
13. New subsections (c)(2)(E)-(c)(2)(E)3. and amendment of Note refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
14. New subsections (c)(2)(E)-(c)(2)(E)3. and amendment of Note refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
15. New subsections (c)(2)(E)-(c)(2)(E)3. and amendment of Note refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 11-2-2001 order, including further amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
17. Amendment of subsection (c)(2)(E) and repealer of subsections (c)(2)(E)1.-3. filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
18. Amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
19. Change without regulatory effect amending subsections (c)(1)(D)-(E) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
20. Change without regulatory effect adding subsection (c)(3)(C) and amending Note filed 4-13-2007 pursuant to Health and Safety Code section 25159.1 (Register 2007, No. 15).
§66270.3. Considerations Under Federal Law.
Note     •     History

The following is a list of Federal laws that may apply to the issuance of permits under these rules. When any of these laws is applicable, its procedures shall be followed. When the applicable law requires consideration or adoption of particular permit conditions or requires the denial of a permit, those requirements also shall be followed.
(a) The Wild and Scenic Rivers Act. 16 U.S.C. section 1273 et seq.) section 7 of the Act prohibits the USEPA Regional Administrator and the Department from assisting by permit or otherwise the construction of any water resources project that would have a direct, adverse effect on the values for which a national wild and scenic river was established.
(b) The National Historic Preservation Act of 1966. (16 U.S.C. section 470 et seq.) section 106 of the Act and implementing regulations (36 CFR Part 800) require the USEPA Regional Administrator and the Department, before issuing a permit, to adopt measures when feasible to mitigate potential adverse effects of the licensed activity and properties listed or eligible for listing in the National Register of Historic Places. The Act's requirements are to be implemented in cooperation with the California State Office of Historic Preservation and upon notice to, and when appropriate, in consultation with the Advisory Council on Historic Preservation.
(c) The Endangered Species Act. 16 U.S.C. section 1531 et seq.) section 7 of the Act and implementing regulations (50 CFR Part 402) require the USEPA Regional Administrator and the Department to ensure, in consultation with the Secretary of the Interior or Commerce, that any action authorized by USEPA or the Department is not likely to jeopardize the continued existence of any endangered or threatened species or adversely affect its critical habitat.
(d) The Coastal Zone Management Act. (16 U.S.C. section 1451 et seq.) section 307(c) of the Act and implementing regulations (15 CFR Part 930) prohibit USEPA and the Department from issuing a permit for an activity affecting land or water use in the coastal zone until the applicant certifies that the proposed activity complies with the California State Coastal Zone Management Program, and the California Coastal Commission concurs with the certification (or the U.S. Secretary of Commerce overrides the Commission's nonconcurrence).
(e) The Fish and Wildlife Coordination Act. 16 U.S.C. section 661 et seq. requires that the USEPA Regional Administrator and the Department, before issuing a permit proposing or authorizing the impoundment (with certain exemptions), diversion, or other control or modification of any body of water, consult with the State Department of Fish and Game exercising jurisdiction over wildlife resources to conserve those resources.
(f) Executive orders. [Reserved]
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.3.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.4. Effect of a Permit.
Note     •     History

(a) The Department's issuance of a permit does not prevent the Department from adopting or amending regulations which impose additional or more stringent requirements than those in existence at the time a permit is issued and does not prevent the enforcement of these requirements against the owner or operator of a permitted facility. As part of any formal rulemaking, the Department shall specify the manner in which a proposed regulatory change is intended to apply to facilities which have been issued a hazardous waste facility permit.
(b) Not withstanding subsection (a) above, the owner or operator of a facility which has been issued a hazardous waste facility permit shall comply with conditions of the permit as well as regulations adopted by the Department.
(c) The issuance of a permit does not convey any property rights of any sort, or any exclusive privilege.
(d) The issuance of a permit does not authorize any injury to persons or property or invasion of other private rights, or any infringement of State or local law or regulations.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25202, Health and Safety Code; 40 CFR Section 270.4.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.5. Noncompliance and Program Reporting by the Department.
Note     •     History

The Department shall prepare quarterly and annual reports on facilities and activities regulated under RCRA as detailed below. the Department shall submit any reports required under this section to the USEPA Regional Administrator. For purposes of this section only, permittees shall include interim status facilities, when appropriate.
(a) Quarterly reports. The Department shall submit quarterly narrative reports for major facilities as follows.
(1) Format. The report shall use the following format:
(A) information on noncompliance for each facility;
(B) alphabetize by permittee name. When two or more permittees have the same name, the lowest permit number shall be entered first;
(C) for each entry on the list, include the following information in the following order:
1. name, location, and permit number of the
noncomplying permittee;
2. a brief description and date of each instance of noncompliance for that permittee. Instances of noncompliance may include one or more of the kinds set forth in subsection (a)(2) of this section. When a permittee has noncompliance of more than one kind, combine the information into a single entry for each such permittee;
3. the date(s) and a brief description of the action(s) taken by the Department to ensure compliance;
4. status of the instance(s) of noncompliance with the date of the review of the status or the date of resolution;
5. any details which tend to explain or mitigate the instance(s) of noncompliance.
(2) Instances of noncompliance to be reported. Any instances of noncompliance within the following categories shall be reported in successive reports until the noncompliance is reported as resolved (once noncompliance is reported as resolved it need not appear in subsequent reports):
(A) failure to complete construction elements. When the permittee has failed to complete, by the date specified in the permit, an element of a compliance schedule involving either planning for construction (for example, award of a contract, preliminary plans), or a construction step (for example, begin construction, attain operation level); and the permittee has not returned to compliance by accomplishing the required element of the schedule within 30 days from the date a compliance schedule report is due under the permit;
(B) modifications to schedules of compliance. When a schedule of compliance in the permit has been modified under section 66270.41 or 66270.42 because of the permittee's noncompliance;
(C) failure to complete or provide compliance schedule or monitoring reports. When the permittee has failed to complete or provide a report required in a permit compliance schedule (for example, progress report or notice of noncompliance or compliance) or a monitoring report; and the permittee has not submitted the complete report within 30 days from the date it is due under the permit for compliance schedules, or from the date specified in the permit for monitoring reports;
(D) deficient reports. When the required reports provided by the permittee are so deficient as to cause misunderstanding by the Department and thus impede the review of the status of compliance;
(E) noncompliance with other permit requirements. Noncompliance shall be reported in the following circumstances:
1. whenever the permittee has violated a permit requirement (other than reported under subsection (a)(2)(A) or (B) of this section) and has not returned to compliance within 45 days from the date reporting of noncompliance was due under the permit; or
2. when the Department determines that a pattern of noncompliance exists for a major facility permittee over the most recent four consecutive reporting periods. This pattern includes any violation of the same requirement in two consecutive reporting periods, and any violation of one or more requirements in each of four consecutive reporting periods; or
3. when the Department determines significant permit noncompliance or other significant event has occurred such as a fire or explosion or migration of fluids into a USDW;
4. all other. Statistical information shall be reported quarterly on all other instances of noncompliance by major facilities with permit requirements not otherwise reported under subsection (a) of this section.
(b) Annual reports.
(1) Annual noncompliance report. Statistical reports shall be submitted by the Department on nonmajor RCRA permittees indicating the total number reviewed, the number of noncomplying nonmajor permittees, the number of enforcement actions, and number of permit modifications extending compliance deadlines. The statistical information shall be organized to follow the types of noncompliance listed in subsection (a) of this section.
(2) In addition to the annual noncompliance report, the Department shall prepare a “program report” which contains information (in a manner and form prescribed by the USEPA Regional Administrator) on generators and transporters and the permit status of regulated facilities. The Department shall also include, on a biennial basis, summary information on the quantities and types of hazardous wastes generated, transported, treated, stored and disposed during the preceding odd-numbered year. This summary information shall be reported in a manner and form prescribed by the USEPA Regional Administrator and shall be reported according to USEPA characteristics and lists of hazardous wastes in chapter 11 of this division.
(c) Schedule for all quarterly reports. No later than the last working day of May, August, November, and February, the Department shall submit to the USEPA Regional Administrator information concerning noncompliance with permit requirements by major facilities in the State in accordance with the following schedule.

QUARTERS COVERED BY REPORTS ON
NONCOMPLIANCE BY MAJOR DISCHARGERS

[Date for completion of reports]
 January, February, and March	1May 31
 April, May, and June	1August 31
 July, August, and September	1November 30
 October, November, and December	1February 28
1Reports shall be made available to the public for inspection and copying no later than this date.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.5.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 2. Permit Application
§66270.10. General Application Requirements.
Note     •     History

(a) Permit application. Any person who is required to have a permit (including new applicants and permittees with expiring permits) shall complete, sign, and submit a Part A and Part B permit application to the Department as specified in this chapter. Persons currently authorized with interim status shall apply for permits when required by the Department. Persons covered by permits by rule (section 66270.60) need not apply. Procedures for applications, issuance and administration of emergency permits are found exclusively in section 66270.61. Procedures for application, issuance and administration of research, development, and demonstration permits are found exclusively in section 66270.65.
(b) Who applies? When a facility or activity is owned by one person but is operated by another person, it is the operator's duty to obtain a permit, except that the owner shall also sign the permit application.
(c) Completeness. The Department shall not begin the processing of a permit until the applicant has fully complied with the application requirements for that permit. The Department shall not issue a permit before receiving a complete application for a permit except for permits by rule, or emergency permits. An application for a permit is complete when the Department receives an application form and any supplemental information which are completed to the Department's satisfaction, and the Department notifies the applicant in writing that the application is complete. The completeness of any application for a permit shall be judged independently of the status of any other permit application or permit for the same facility or activity. The Department may deny a permit for the active life a of a hazardous waste management facility or unit before receiving a complete application for a permit.
(d) Information requirements. All applicants for permits shall provide information set forth in section 66270.13 and applicable subsections in sections 66270.14 through 66270.23 to the Department, using the application form (Application for a Hazardous Waste Permit, EPA Form 8700-23, revised 1/90) provided by the Department.
(e) Existing hazardous waste management facilities and interim status qualifications.
(1) Owners and operators of existing hazardous waste management facilities or of hazardous waste management facilities in existence on the effective date of statutory or regulatory amendments under the act that render the facility subject to the requirement to have a permit shall submit Part A of their permit application no later than:
(A) six months after the date of publication of regulations which first require them to comply with the standards set forth in chapter 15 or 16 of this division, or
(B) thirty days after the date they first become subject to the standards set forth in chapter 15 or 16 of this division, whichever first occurs.
(2) At any time after July 1, 1991, the owner and operator of an existing hazardous waste management facility may be required to submit Part B of their permit application. Any owner or operator shall be allowed 60 days from the date of request to submit a complete Part B of the application. The Department shall allow an owner or operator more time to submit a complete Part B if the owner or operator demonstrates to the satisfaction of the Department that additional time is required to complete Part B of the application. Any owner or operator of an existing hazardous waste management facility may voluntarily submit Part B of the application at any time.
Notwithstanding the above, any owner or operator of an existing hazardous waste management facility shall submit a Part B permit application in accordance with the dates specified in section 66270.73. Any owner or operator of a land disposal facility in existence on the effective date of statutory or regulatory amendments under RCRA or the Health and Safety Code that render the facility subject to the requirement to have a permit shall submit a Part B application in accordance with the dates specified in section 66270.73.
(3) Failure to furnish a requested Part B application on time, or to furnish in full the information required by the Part B application, is grounds for termination of interim status under chapter 21 of this division.
(f) New hazardous waste management facilities.
(1) No person shall begin physical construction of a new hazardous waste management facility or new HWM unit without having submitted Parts A and B of the permit application or a permit modification request and having received a finally effective permit or permit modification.
(2) An application for a permit for a new hazardous waste management facility (including both Parts A and B) may be filed any time after promulgation of those standards in chapter 14, article 9 et seq. of this division applicable to such facility. The application shall be filed with the Department. All applications shall be submitted at least 180 days before physical construction is expected to commence.
(g) Updating permit applications.
(1) If any owner or operator of a hazardous waste management facility has filed Part A of a permit application and has not yet filed Part B, the owner or operator shall file an amended Part A application:
(A) with the Department, no later than the effective date of regulatory provisions listing or designating wastes as hazardous in addition to those listed or designated under the previous regulations, if the facility is transferring, treating, storing, or disposing of any of those newly listed or designated wastes; or
(B) As necessary to comply with provisions of section 66270.72 for changes during interim status.
(2) The owner or operator of a facility who fails to comply with the updating requirements of subsection (g)(1) of this section shall not receive interim status as to the wastes not covered by duly filed and approved Part A applications.
(h) Reapplications. Any hazardous waste management facility with an effective permit shall submit a new application at least 180 days before the expiration date of the effective permit, unless permission for a later date has been granted by the Department. (The Department shall not grant permission for applications to be submitted later than the expiration date of the existing permit.)
(i) Recordkeeping. Applicants shall keep records of all data used to complete permit applications and any supplemental information submitted under sections 66270.10(d), 66270.13, and 66270.14 through 66270.23 for a period of at least 3 years from the date the application is signed.
(j) Exposure information.
(1) After August 8, 1985, any Part B permit application submitted by an owner or operator of a facility that transfers, stores, treats, or dispose of hazardous waste in a surface impoundment or a landfill shall be accompanied by information, reasonably ascertainable by the owner or operator, on the potential for the public to be exposed to hazardous wastes or hazardous constituents through releases related to the unit. At a minimum, such information shall address:
(A) reasonably foreseeable potential releases from both normal operations and accidents at the unit, including releases associated with transportation to or from the unit;
(B) the potential pathways of human exposure to hazardous wastes or constituents resulting from the releases described under subsection (j)(l)(A) of this section; and
(C) the potential magnitude and nature of the human exposure resulting from such releases.
(2) By August 8, 1985, owners and operators of a landfill or a” surface impoundment who have already submitted a Part B application shall submit the exposure information required in subsection (j)(l) of this section.
(k) The Department may require a permittee or an applicant to submit information in order to establish permit conditions under sections 66270.32(b)(2) and 66270.50(d).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.10.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.11. Signatories to Permit Applications and Reports.
Note     •     History

(a) Applications. All permit applications shall be signed as follows:
(1) for a corporation: by a responsible corporate officer. For the purpose of this section, a responsible corporate officer means a president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function, or any other person who is authorized to perform similar policy or decision making functions, which govern the operation of the regulated facility, for the corporation;
(2) for a partnership or sole proprietorship: by a general partner or the proprietor, respectively; or
(3) for a municipality, State, Federal, or other public agency: by either a principal executive officer or ranking elected official. For purposes of this section, a principal executive officer of a Federal agency includes:
(A) the chief executive officer of the agency, or
(B) a senior executive officer having responsibility for the overall operations of a principal geographic unit of the agency (e.g., Regional Administrators of USEPA).
(b) Reports. All reports required by permits and other information requested by the Department shall be signed by a person described in subsection (a) of this section, or by a duly authorized representative of that person. A person is a duly authorized representative only if:
(1) the authorization is made in writing by a person described in subsection (a) of this section;
(2) the authorization specifies either an individual or a position having responsibility for overall operation of the regulated facility or activity such as the position of plant manager, operator of a well or a well field, superintendent, or position of equivalent responsibility. (A duly authorized representative may thus be either a named individual or any individual occupying a named position); and (3) the written authorization is submitted to the Department.
(c) Changes to authorization. If an authorization under subsection (b) of this section is no longer accurate because a different individual or position has responsibility for the overall operation of the facility, a new authorization satisfying the requirements of subsection (b) of this section shall be submitted to the Department prior to or together with any reports, information, or applications to be signed by an authorized representative.
(d) Certification. Any person signing a document under subsection (a) or (b) of this section shall make the following certification: I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage the system, or those persons directly responsible for gathering the information, the information submitted is, to be the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.11.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.12. Confidentiality of Information.
Note     •     History

(a) In accordance with section 66260.2, any information submitted to the Department pursuant to these regulations may be claimed as confidential by the submitter. Any such claim shall be asserted at the time of submission in the manner prescribed on the application form or instructions or, in the case of other submissions, by stamping the words “confidential business information” on each page containing such information. If no claim is made at the time of submission, the Department may make the information available to the public without further notice. If a claim is asserted, the information will be treated in accordance with the procedures in section 66260.2.
(b) Claims of confidentiality for the name and address of any permit applicant or permittee will be denied.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.12.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.13. Contents of Part A of the Permit Application.
Note     •     History

All applicants for permits shall provide the following information to the Department using the Part A application (Application for a Hazardous Waste Permit, Form EPA 8700-23, revised 1/90) form provided by the Department:
(a) the activities conducted by the applicant which require it to obtain a permit;
(b) name, mailing address, and location, including latitude and longitude of the facility for which the application is submitted;
(c) up to four SIC Codes which best reflect the principal products or services provided by the facility;
(d) the operator's name, address, telephone number, ownership status, and status as Federal, State, private, public, or other entity;
(e) the name, address, and phone number of the owner of the facility;
(f) whether the facility is located on Indian lands;
(g) an indication of whether the facility is new or existing and whether it is a first or revised application;
(h) for existing facilities, (1) a scale drawing of the facility showing the location of all past, present, and future treatment, storage, and disposal areas; and (2) photographs of the facility clearly delineating all existing structures; existing treatment, storage, and disposal areas; and sites of future treatment, storage, and disposal areas;
(i) a description of the processes to be used for transferring,treating, storing, and disposing of hazardous waste, and the design capacity of these items;
(j) a specification of the hazardous wastes listed or designated under chapter 11 of this division to be transferred, treated, stored, or disposed of at the facility, an estimate of the quantity of such wastes to be transferred, treated, stored, or disposed annually, and a general description of the processes to be used for such wastes;
(k) a listing of all permits or construction approvals received or applied for under any of the following programs:
(1) hazardous Waste Management program under RCRA (42 U.S.C. commencing with section 6921 or the Health and Safety Code commencing with section 25100);
(2) UIC program under the federal SDWA (42 U.S.C. 6924);
(3) NPDES program under the federal CWA (33 U.S.C. 1342);
(4) prevention of Significant Deterioration (PSD) program under the federal Clean Air Act (42 U.S.C. 7401 et seq.);
(5) nonattainment program under the federal Clean Air Act (42 U.S.C. 7501-7502);
(6) national Emission Standards for Hazardous Pollutants (NESHAPS) preconstruction approval under the federal Clean Air Act (42 U.S.C. 7412);
(7) ocean dumping permits under the Federal Marine Protection Research and Sanctuaries Act (33 U.S.C. section 1401, et. seq.);
(8) dredge or fill permits under section 404 of the federal CWA (33 U.S.C. 1344);
(9) other relevant environmental permits;
(l) a topographic map extending one mile beyond the property boundaries of the source, depicting the facility and each of its intake and discharge structures; each of its hazardous waste transfer, treatment, storage, or disposal facilities; each well where fluids from the facility are injected underground; each building and its use; and those wells, springs, other surface water bodies, and drinking water wells listed in public records or otherwise known to the applicant within 1/4 mile of the facility property boundary;
(m) a brief description of the nature of the business.
(n) For hazardous debris, a description of the debris category(ies) and contaminant category(ies) to be treated, stored, or disposed of at the facility.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 270.13.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New subsection (n) and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. New subsection (n) and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. New subsection (n) and amendment of Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. New subsection (n) and amendment of Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
§66270.14. Contents of Part B: General Requirements.
Note     •     History

(a) Part B of the permit application consists if the general information requirements of this section, and the specific information requirements in sections 66270.14 through 66270.23 applicable to the facility. The Part B information requirements presented in sections 66270.14 through 66270.23 reflect the standards promulgated in chapter 14 of this division. These information requirements are necessary in order for the Department to determine compliance with the chapter 14 standards. If owners and operators of hazardous waste management facilities can demonstrate that the information prescribed in Part B cannot be provided to the extent required, the Department may make allowance for submission of such information on a case-by-case basis. Information required in Part B shall be submitted to the Department and signed in accordance with requirements in section 66270.11. Certain technical data, such as design drawings and specifications, and engineering studies shall be certified by an independent, qualified professional engineer registered in California. Geologic plans, specifications, reports or documents shall be prepared by or under the direction of, and shall be certified by, a geologist registered in California. Calculations and technical data supporting the certification need not be submitted with Part B but shall be retained by the owner or operator and be available for review by the Department.
(b) General information requirements. The following information is required for all hazardous waste management facilities, except as section 66264.1 provides otherwise:
(1) a general description of the facility;
(2) chemical and physical analyses of the hazardous waste and hazardous debris to be handled at the facility. At a minimum, these analyses shall contain all the information which must be known to transfer, treat, store or dispose of the wastes properly in accordance with chapter 14 of this division;
(3) a copy of the waste analysis plan required by section 66264.13(b) and, if applicable section 66264.13(c);
(4) a description of the security procedures and equipment required by section 66264.14, or a justification demonstrating the reasons for requesting a waiver of this requirement;
(5) a copy of the general inspection schedule required by section 66264.15(b). Include where applicable, as part of the inspection schedule, specific requirements in sections 66264.174, 66264.193(i), 66264.195, 66264.226, 66264.254, 66264.273, 66264.303, 66264.602, 66264.1033, 66264.1052, 66264.1053, 66264.1058, 66264.1084, 66264.1085, 66264.1086, and 66264.1088;
(6) a justification of any request for a waiver(s) of the preparedness and prevention requirements of chapter 14, article 3 of this division;
(7) a copy of the contingency plan required by chapter 14, article 4 of this division. NOTE: Include, where applicable, as part of the contingency plan, specific requirements in section 6264.227;
(8) a description of procedures, structures or equipment used at the facility to:
(A) prevent hazards in unloading operations (for example, ramps, special forklifts);
(B) prevent runoff from hazardous waste handling areas to other areas of the facility or environment, or to prevent flooding (for example, berms, dikes, trenches);
(C) prevent contamination of water supplies;
(D) mitigate effects of equipment failure and power outages; and
(E) prevent undue exposure of personnel to hazardous waste (for example, protective clothing); and
(F) Prevent releases to the atmosphere.
(9) a description of precautions to prevent accidental ignition or reaction of ignitable, reactive or incompatible wastes as required to demonstrate compliance with section 66264.17 including documentation demonstrating compliance with section 66264.17(c);
(10) traffic pattern, estimated volume (number, types of vehicles) and control (for example, show turns across traffic lanes, and stacking lanes (if appropriate); describe access road surfacing and load bearing capacity; show traffic control signals);
(11) facility location information:
(A) the owner or operator of a new facility or a facility undergoing substantial modification (a Class 3 modification specified in section 66270.42(c) involving physical changes to the facility) shall demonstrate compliance with the seismic standard. This demonstration may be made using either published geologic data or data obtained from field investigations carried out by the applicant. The information provided shall be of such quality to be acceptable to geologists experienced in identifying and evaluating seismic activity. The information submitted shall show that either:
1. no faults which have had displacement in Holocene time are present, or no lineations which suggest the presence of a fault (which have displacement in Holocene time) within 3,000 feet of a facility are present, based on data from:
a. published geologic studies,
b. aerial reconnaissance of the area within a five-mile radius from the facility;
c. an analysis of aerial photographs covering a 3,000 foot radius of the facility, and
d. if needed to clarify the above data, a reconnaissance based on walking portions of the area within 3,000 feet of the facility, or
2. if faults (to include lineations) which have had displacement in Holocene time are present within 3,000 feet of a facility, no faults pass within 200 feet of the portions of the facility where treatment, storage or disposal of hazardous waste will be conducted, based on data from a comprehensive geologic analysis of the site. Unless a site analysis is otherwise conclusive concerning the absence of faults within 200 feet of such portions of the facility data shall be obtained from a subsurface exploration (trenching) of the area within a distance no less than 200 feet from portions of the facility where transfer, treatment, storage or disposal of hazardous waste will be conducted. Such trenching shall be performed in a direction that is perpendicular to known faults (which have had displacement in Holocene time) passing within 3,000 feet of the portions of the facility where transfer, treatment, storage or disposal of hazardous waste will be conducted. Such investigation shall document with supporting maps and other analyses, the location of faults found;
(B) owners and operators of all facilities shall provide an identification of whether the facility is located within a 100 year floodplain. This identification shall indicate the source of data for such determination and include a copy of the relevant Federal Insurance Administration (FIA) flood map, if used, or the calculations and maps used where an FIA map is not available. Information shall also be provided identifying the 100-year flood level and any other special flooding factors (e.g., wave action) which must be considered in designing, constructing, operating or maintaining the facility to withstand washout from a 100-year flood;
(C) where maps for the National Flood Insurance Program produced by the Federal Insurance Administration (FIA) of the Federal Emergency Management Agency are available, they will normally be determinative of whether a facility is located within or outside of the 100-year floodplain. However, where the FIA map excludes an area (usually areas of the floodplain less than 200 feet in width), these areas shall be considered and a determination made as to whether they are in the 100-year floodplain. Where FIA maps are not available for a proposed facility location, the owner or operator shall use equivalent mapping techniques to determine whether the facility is within the 100-year floodplain, and if so located, what the 100-year flood elevation would be;
(D) owners and operators of facilities located in the 100-year floodplain shall provide the following information:
1. engineering analysis to indicate the various hydrodynamic and hydrostatic forces expected to result at the site as consequence of a 100-year flood;
2. structural or other engineering studies showing the design of operational units (e.g., tanks, incinerators) and flood protection devices (e.g., floodwalls, dikes) at the facility and how these will prevent washout;
3. if applicable, and in lieu of subsections (b)(11)(D) l. and 2. of this section, a detailed description of procedures to be followed to remove hazardous waste to safety before the facility is flooded, including:
a. timing of such movement relative to flood levels, including estimated time to move the waste, to show that such movement can be completed before floodwaters reach the facility;
b. a description of the location(s) to which the waste will be moved and demonstration that those facilities will be eligible to receive hazardous waste in accordance with the regulations under chapters 14, 15, 16, 20 and 21 of this division;
c. the planned procedures, equipment and personnel to be used and the means to ensure that such resources will be available in time for use;
d. the potential for accidental discharges of the waste during movement;
(E) existing facilities NOT in compliance with section 66264.18(b) shall provide a plan showing how the facility will be brought into compliance and a schedule for compliance;
(F) the owners and operators of surface impoundments, waste piles, land treatment facilities and landfills shall provide information regarding the depth to the saturated zone or groundwater table, including seasonal high levels for groundwater, known aquifers beneath the site and any aquifers having hydraulic continuity;
(12) an outline of both the introductory and continuing training programs by owners or operators to prepare persons to operate or maintain the hazardous waste management facility in a safe manner as required to demonstrate compliance with section 66264.16. A brief description of how training will be designed to meet actual job tasks in accordance with requirements in section 66264.16(a)(3);
(13) a copy of the closure plan and, where applicable, the postclosure plan required by sections 66264.112, 66264.118 and 66264.197. Include, where applicable, as part of the plans, specific requirements in sections 66264.178, 66264.197, 66264.228, 66264.258, 66264.280, 66264.310, 66264.351, 66264.601 and 66264.603;
(14) for hazardous waste disposal units that have been closed, documentation that notices required under section 66264.119 have been filed;
(15) the most recent closure cost estimate for the facility prepared in accordance with section 66264.142 and a copy of the documentation required to demonstrate financial assurance under section 66264.143. For a new facility, a copy of the required documentation may be submitted 60 days prior to the initial receipt of hazardous wastes, if that is later than the submission of the Part B;
(16) where applicable, the most recent post closure cost estimate for the facility prepared in accordance with section 66264.144 plus a copy of the documentation required to demonstrate financial assurance under section 66264.145. For a new facility, a copy of the required documentation may be submitted 60 days prior to the initial receipt of hazardous wastes, if that is later than the submission of the Part B;
(17) where applicable, a copy of the insurance policy or other documentation which comprises compliance with the requirements of section 66264.147. For a new facility, documentation showing the amount of insurance meeting the specification of section 66264.147(a) and, if applicable, section 66264.147(b), that the owner or operator plans to have in effect before initial receipt of hazardous waste for transfer, treatment, storage or disposal. A request for a variance in the amount of required coverage, for a new or existing facility, may be submitted as specified in section 66264.147(c);
(18) a topographic map showing a distance of 2000 feet around the facility at a scale of 2.5 centimeters (1 inch) equal to not more than 61.0 meters (200 feet). Contours shall be shown on the map. The contour interval shall be sufficient to clearly show the pattern of surface water flow in the vicinity of and from each operational unit of the facility. For example, contours with an interval of 1.5 meters (5 feet), if relief is greater than 6.1 meters (20 feet), or an interval of 0.6 meters (2 feet), if relief is less than 6.1 meters (20 feet). Owners and operators of hazardous waste management facilities located in mountainous areas should use larger contour intervals to adequately show topographic profiles of facilities. The map shall clearly show the following:
(A) map scale and date;
(B) 100-year floodplain area;
(C) surface waters including intermittent streams;
(D) surrounding land uses (residential, commercial, agricultural, recreational);
(E) a wind rose (i.e., prevailing wind-speed and direction);
(F) orientation of the map (north arrow);
(G) legal boundaries of the hazardous waste management facility site;
(H) access control (fences, gates);
(I) injection and withdrawal wells both onsite and offsite;
(J) buildings; transfer, treatment, storage or disposal operations; or other structure (recreation areas, run-off control systems, access and internal roads, storm, sanitary and process sewerage systems, loading and unloading areas, fire control facilities, etc.);
(K) barriers for drainage or flood control;
(L) location of operational units within the hazardous waste management facility site, where hazardous waste is (or will be) transferred, treated, stored or disposed (include equipment cleanup areas);
(19) any additional information related to the proposed activity or facility which is requested by the Department;
(20) for land disposal facilities, if a case-by-case extension for RCRA wastes has been approved by USEPA under 40 CFR Section 268.5 and by the Department under section 66268.5 or a petition has been approved under section 66268.6, copies of the notices of approval for the extension or petition are required. If a variance for non RCRA wastes has been granted by the Department under Health and Safety Code section 25143 and section 66260.210 of this division, a copy of the letter granting the variance is required;
(21) For facilities applying for RCRA permits, a summary of the pre-application meeting, along with a list of attendees and their addresses, and copies of any written comments or materials submitted at the meeting, as required under section 66271.31(c).
(c) Additional information requirements. The information specified in this subsection shall be submitted for each regulated unit at a hazardous waste management facility. An owner or operator of a regulated unit that did not receive hazardous waste after February 2, 1985 shall submit this additional information only as it pertains to the water quality protection requirements of article 6 of chapter 14 of this division:
(1) a summary of the environmental monitoring data obtained during the interim status period under sections 66265.90 through 66265.99 and sections 66265.710 through 66265.714, where applicable;
(2) identification of the uppermost aquifer and aquifers hydraulically interconnected beneath the facility property, including groundwater flow direction and rate, which at a minimum shall be determined at the times of expected highest and lowest annual elevations of the groundwater surface, and the basis for such identification (i.e., the information obtained from hydrogeologic investigations of the facility area);
(3) on the topographic map required under subsection (b)(18) of this section, a delineation of the waste management area, the property boundary, the proposed “point of compliance” as defined under section 66264.95, the proposed location of monitoring points as required under sections 66264.95 and 66264.705, and, to the extent possible, the information required in subsection (c)(2) of this section;
(4) a description of any plume of contamination or pollution that has migrated from a regulated unit at the time that the application was submitted that:
(A) delineates the extent of the plume on the topographic map required under subsection (b)(18) of this section;
(B) identifies the concentration of each constituent of concern throughout the plume or identified the maximum concentrations of each such constituent in the plume;
(5) detailed plans and an engineering report describing the proposed environmental monitoring programs to be implemented to meet the requirements of articles 6 and 17 of chapter 14 of this division. This submission shall be prepared and certified by a geologist registered in California or a civil engineer registered in California;
(6) if a detection monitoring program is required under section 66264.91 and/or section 66264.701 at the time of permit application, the owner or operator shall submit sufficient information, supporting data, and analyses to establish a detection monitoring program which meets the requirements of section 66264.98 and/or section 66264.706. This submission shall address the following items specified under section 66264.98 and 66264.706:
(A) a proposed list of constituents of concern for groundwater, surface water, air, soil-pore gas and soil-pore liquid, a proposed list of hazardous constituents for air, soil and soil-pore gas and a proposed list of monitoring parameters for each medium that can provide a reliable indication of a release from a regulated unit;
(B) proposed groundwater, soil-pore liquid and surface water monitoring systems required under section 66264.98 and any air or soil-pore gas monitoring systems required under article 17 of chapter 14;
(C) background values for each proposed monitoring parameter, hazardous constituent, and constituent of concern, or procedures to calculate such values; and
(D) a description of proposed sampling, analysis and statistical comparison procedures to be utilized in evaluating monitoring data;
(7) if an evaluation monitoring program is required under section 66264.91 and/or a compliance monitoring program is required under section 66264.701 at the time of the permit application, the owner or operator shall submit sufficient information, supporting data, and analyses to establish an evaluation monitoring program which meets the requirements of sections 66264.99 and/or a compliance monitoring program under section 66264.707. The owner or operator shall also submit an engineering feasibility study for a corrective action program necessary to meet the requirements of sections 66264.100 and/or 66264.708, unless the owner or operator obtains written authorization from the Department prior to submittal of the permit application to submit a proposed permit schedule for submittal of such a study. To demonstrate compliance with sections 66264.99 and/or 66264.707, the owner or operator shall address the following items:
(A) a description of the wastes previously handled at the facility;
(B) a characterization of the contaminated or polluted groundwater, soil, soil-pore liquid, soil-pore gas, surface water or air, including concentrations of monitoring parameters, hazardous constituents.and constituents of concern in each medium;
(C) for each medium, a proposed list of monitoring parameters for which evaluation monitoring will be undertaken in accordance with sections 66264.97 and 66264.99 and/or for compliance monitoring under section 66264.707;
(D) for each medium, background values, and any proposed concentration limits greater than background and/or alternate concentration limits for each constituent of concern and/or hazardous constituent based on the criteria set forth in sections 66264.94 and/or 66264.704, including a justification for establishing any such concentration limits;
(E) detailed plans and an engineering report describing the proposed monitoring system, prepared and certified by a geologist registered in California or a civil engineer registered in California, in accordance with the requirements of sections 66264.97 and 66264.98 and/or section 66264.707; and
(F) a description of proposed sampling, analysis and statistical comparison procedures to be utilized in evaluating monitoring data;
(8) if a corrective action program is required under sections 66264.91 and/or 66264.701 at the time of permit application, the owner or operator shall submit sufficient information, supporting data, and analyses to establish a corrective action program which meets the requirements of sections 66264.100 and/or 66264.7098. To demonstrate compliance with sections 66264.100 and/or 66264.7098, the owner or operator shall address, at a minimum, the following items:
(A) a characterization of the contaminated or polluted groundwater, soil, soil-pore liquid, soil-pore vapor, surface water or air including concentrations of monitoring parameters, hazardous constituents and constituents of concern in each medium;
(B) a proposed list of hazardous constituents and constituents of concern for each medium;
(C) for each medium, the proposed concentration limits for each hazardous constituent and constituent of concern as set forth in sections 66264.94 and/or 66264.704;
(D) detailed plans and an engineering report describing the corrective action to be taken and proposed environmental monitoring programs, prepared and certified by a geologist registered in California or a civil engineer registered in California; and
(E) a description of how the environmental monitoring programs will demonstrate the adequacy of the corrective action;
(F) a proposed permit schedule for submittal of the information operator obtains written authorization from the Department prior to submittal of the permit application.
(d) Information requirements for solid waste management units.
(1) The following information is required for each solid waste management unit at a facility seeking a permit:
(A) the location of the unit on the topographic map required under subsection (b)(18) of this section;
(B) designation of type of unit;
(C) general dimensions and structural description (supply any available drawings);
(D) when the unit was operated;
(E) specification of all wastes that have been managed at the unit, to the extent available;
(F) when applicable, the information required under section 66264.801.
(2) The owner or operator of any facility containing one or more solid waste management units shall submit all available information pertaining to any release of hazardous wastes or hazardous constituents from such unit or units.
(3) The owner/operator shall conduct and provide the results of sampling and analysis of groundwater, landsurface and subsurface strata, surface water, or air, which may include the installation of wells, where the Department ascertains it is necessary to complete a RCRA Facility Assessment that will determine if a more complete investigation is necessary.
(e) California Environmental Quality Act (CEQA) Information Requirements. Unless the Department has determined that the activity to be permitted is exempt from the requirements of CEQA pursuant to Title 14, CCR section 15061, the applicant shall submit with Part B of the permit application all information necessary to enable the Department to prepare an Initial Study meeting the requirements of Title 14, CCR section 15063.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6, 25200 and 58012, Health and Safety Code; and 40 CFR Section 270.14.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (b)(5) and (b)(8)(E) and Note and new subsection (b)(8)(F) filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
3. Amendment of subsection (b)(2) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b)(2) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b)(2) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b)(2) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
8. Change without regulatory effect adding new subsection (b)(21) filed 12-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 51).
9. Change without regulatory effect amending subsection (b)(20) filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
10. Change without regulatory effect amending subsection (b)(5) and Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66270.15. Specific Part B Information Requirements for Containers.
Note     •     History

Except as otherwise provided in section 66264.170, owners or operators of facilities that transfer or store containers of hazardous waste shall provide the following additional information:
(a) a description of the containment system to demonstrate compliance with section 66264.175. Show at least the following:
(1) basic design parameters, dimensions, and materials of construction;
(2) how the design promotes drainage or how containers are kept from contact with standing liquids in the containment system;
(3) capacity of the containment system relative to the number and volume of containers to be transferred or stored;
(4) provisions for preventing or managing run-on;
(5) how accumulated liquids can be analyzed and removed to prevent overflow;
(b) sketches, drawings, or data demonstrating compliance with section 66264.176 (location of buffer zone and containers holding ignitable or reactive wastes) and section 66264.177(c) (location of incompatible wastes), where applicable;
(c) where incompatible wastes are stored or otherwise managed in containers, a description of the procedures used to ensure compliance with sections 66264.177(a) and (b), and 66264.17(b) and (c).
(d) Information on air emission control equipment as required in section 66270.27.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 270.15.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding subsection (d) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66270.16. Specific Part B Information Requirements for Tank Systems.
Note     •     History

Except as otherwise provided in section 66264.190, owners and operators of facilities that use tanks to transfer, store or treat hazardous waste shall provide a description of design and operation procedures which  demonstrate compliance with the requirements of sections 66264.192, 66264.194, 66264.198, and 66264.199, including the following additional information:
(a) a written assessment that is reviewed and certified by an independent, qualified, professional engineer registered in California as to the structural integrity and suitability for handling hazardous waste of each tank system including the containment system, as required under sections 66264.191(b) and (f) and 66264.192(b);
(b) dimensions, capacity, and shell thickness of each tank;
(c) description of feed systems, safety cutoff, bypass systems, and pressure controls (e.g., vents);
(d) a diagram of piping, instrumentation, and process flow for each tank system;
(e) a description of materials and equipment used to provide external corrosion protection, as required under section 66264.192(b)(3);
(f) for new tank systems, a detailed description of how the tank system(s) will be installed in compliance with sections 66264.192(c), (d), (e) and (f);
(g) detailed plans and description of how the secondary containment system for each tank system is or will be designed, constructed, and operated to meet the requirements of sections 66264.193(a), (b), (c), (d), (e), (f) and (j);
(h) for tank systems for which a variance from the requirements of section 66264.193 is sought (as provided by section 66264.193(g)):
(1) detailed plans and engineering and hydrogeologic reports, as appropriate, describing alternate design and operating practices that will, in conjunction with location aspects, prevent the migration of any hazardous waste or hazardous constituents into the ground water or surface water during the life of the facility, or
(2) a detailed assessment of the substantial present or potential hazards posed to human health or the environment should a release enter the environment;
(i) description of controls and practices to prevent spills and overflows, as required under section 66264.194(b); and
(j) for tank systems in which ignitable, reactive, or incompatible wastes are to be transferred, stored or treated, a description of how operating procedures and tank system and facility design will achieve compliance with the requirements of sections 66264.198 and 66264.199;
(k) references to design standards or other available information used (or to be used) in design and construction of the tank;
(l) a description of design specifications, including identification of construction materials and lining materials for the tank and secondary containment facilities (include pertinent characteristics such as corrosion or erosion resistance).
(m) Information on air emission control equipment as required in section 66270.27.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 270.16.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding subsection (m) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66270.17. Specific Part B Information Requirements for Surface Impoundments.
Note     •     History

Except as otherwise provided in section 66264.1, owners and operators of facilities that store, treat or dispose of hazardous waste in surface impoundments shall provide the following additional information:
(a) a list of the hazardous wastes placed or to be placed in each surface impoundment;
(b) detailed plans and an engineering report describing how the surface impoundment is designed and is or will be constructed, operated and maintained to meet the requirements of sections 66264.19, 66264.221, 66264.222, and 66264.223 of this chapter, addressing the following items:
(1) the liner system (except for an existing portion of a surface impoundment). If an exemption from the requirement for a liner is sought as provided by section 66264.221(b), submit detailed plans and engineering and hydrogeologic reports, as appropriate, describing alternate design and operating practices that will, in conjunction with location aspects, prevent the migration of any hazardous constituents into the ground water or surface water at any future time;
(2) prevention of overtopping; 
(3) structural integrity of dikes, including information described in section 66264.228(e)(18), whether or not dikes will remain after closure;
(4) The double liner and leak (leachate) detection, collection, and removal system, if the surface impoundment shall meet the requirements of section 66264.221(c) of this chapter. If an exemption from the requirements for double liners and a leak detection, collection, and removal system or alternative design is sought as provided by section 66264.221(f), (g), or (k) of this chapter, submit appropriate information;
(5) If the leak detection system is located in a saturated zone, submit detailed plans and an engineering report explaining the leak detection system design and operation, and the location of the saturated zone in relation to the leak detection system;
(6) The construction quality assurance (CQA) plan if required under section 66264.19 of this chapter;
(7) Proposed action leakage rate, with rationale, if required under section 66264.222 of this chapter, and response action plan, if required under section 66264.223 of this chapter;
(c) detailed plans and an engineering report explaining the location of the saturated zone in relation to the surface impoundment, and the design of a double-liner system that incorporates a leak detection system between the liners;
(d) A description of how each surface impoundment, including the double liner system, leak detection system, cover system and appurtenances for control of overtopping, will be inspected in order to meet the requirements of section 66264.226(a), (b) and (d) of this chapter. This information shall be included in the inspection plan submitted under section 66270.14(b)(5);
(e) a certification by an independent, qualified, professional engineer, registered in California which attests to the structural integrity of each dike, as required under section 66264.226(c). For new units, the owner or operator shall submit a statement by an independent, qualified, professional engineer, registered in California, that the engineer will provide such a certification upon completion of construction in accordance with the plans and specifications;
(f) a description of the procedure to be used for removing a surface impoundment from service, as required under sections 66264.227(b) and (c). This information shall be included in the contingency plan submitted under section 66270.14(b)(7);
(g) a description of how hazardous waste residues and contaminated materials will be removed from the unit at closure, as required under section 66264.228(a)(1). For any wastes not to be removed from the unit upon closure, the owner or operator shall submit detailed plans and an engineering report describing how sections 66264.228(a)(2) and (b) will be complied with. This information shall be included in the closure plan and, where applicable, the post-closure plan submitted under section 66270.14(b)(13);
(h) if ignitable or reactive wastes are to be placed in a surface impoundment, an explanation of how section 66264.229 will be complied with;
(i) if incompatible wastes, or incompatible wastes and materials will be placed in a surface impoundment, an explanation of how section 66264.230 will be complied with.
(j) a waste management plan for EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, and F027 describing how the surface impoundment is or will be designed, constructed, operated, and maintained to meet the requirements of section 66264.231. This submission shall address the following items as specified in section 66264.231:
(1) the volume, physical, and chemical characteristics of the wastes, including their potential to migrate through soil or to volatilize or escape into the atmosphere;
(2) the attenuative properties of underlying and surrounding soils or other materials;
(3) the mobilizing properties of other materials co-disposed with these wastes; and
(4) the effectiveness of additional treatment, design, or monitoring techniques.
(k) Information on air emission control equipment as required in section 66270.27.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 270.17.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  subsections (b) and (b)(2), new subsections (b)(4)-(7) and amendment of subsection (d) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect adding subsection (k) and amending Note filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66270.18. Specific Part B Information Requirements for Waste Piles.
Note     •     History

Except as otherwise provided in section 66264.1, owners and operators of facilities that store or treat hazardous waste in waste piles shall provide the following additional information:
(a) a list of hazardous wastes placed or to be placed in each waste pile;
(b) detailed plans and an engineering report describing how the waste pile is designed and is or will be constructed, operated and maintained to meet the requirements of sections 66264.19, 66264.251, 66264.252, and 66264.253 of this chapter, addressing the following items:
(1)(A) the liner system (except for an existing portion of a waste pile), if the waste pile shall meet the requirements of section 66264.251(a) of this chapter. If an exemption from the requirement for a liner is sought, as provided by section 66264.251(e) of this chapter, submit detailed plans, and engineering and hydrogeological reports, as appropriate, describing alternate designs and operating practices that will, in conjunction with location aspects, prevent the migration of any hazardous constituents into the ground water or surface water at any future time;
(B) The double liner and leak (leachate) detection, collection, and removal system, if the waste pile shall meet the requirements of section 66264.251(c) of this chapter. If an exemption from the requirements for double liners and a leak detection, collection, and removal system or alternative design is sought as provided by section 66264.251(l), (m), or (n) of this chapter, submit appropriate information;
(C) If the leak detection system is located in a saturated zone, submit detailed plans and an engineering report explaining the leak detection system design and operation, and the location of the saturated zone in relation to the leak detection system;
(D) The construction quality assurance (CQA) plan if required under section 66264.19 of this chapter;
(E) Proposed action leakage rate, with rationale, if required under section 66264.252 of this chapter, and response action plan, if required under section 66264.253 of this chapter;
(2) control of run-on;
(3) control of run-off;
(4) management of collection and holding units associated with run-on and run-off control systems; and
(5) control of wind dispersal of particulate matter, where applicable;
(c) if a double liner and leak detection system is required, as noted by section 66264.251(k), detailed plans and an engineering report describing how the requirements of section 66264.251(k) will be complied with;
(d) a description of how each waste pile, including the double liner system, leachate collection and removal system, leak detection system, cover system, and appurtenances for control of run-on and run-off, will be inspected in order to meet the requirements of section 66264.254(a), (b) and (c) of this chapter. This information shall be included in the inspection plan submitted under section 66270.14(b)(5). If a double liner and leak detection system is required, pursuant to section 66264.251(k), describe in the inspection plan how the inspection requirements of section 66264.254(b)(3) will be complied with;
(e) if treatment is carried out on or in the waste pile, details of the process and equipment used, and the nature and quality of the residuals;
(f) if ignitable or reactive wastes are to be placed in a waste pile, an explanation of how the requirements of section 66264.256 will be complied with;
(g) if incompatible wastes, or incompatible wastes and materials will be placed in a waste pile, an explanation of how section 66264.257 will be complied with;
(h) a description of how hazardous waste residues and contaminated materials will be removed from the waste pile at closure, as required under section 66264.258(a). For any waste not to be removed from the waste pile upon closure, the owner or operator shall submit detailed plans and an engineering report describing how sections 66264.310(a) and (b) will be complied with. This information shall be included in the closure plan and, where applicable, the post-closure plan submitted under section 66270.14(b)(13);
(i) a waste management plan for EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, and F027 describing how a waste pile in which any of these wastes has been or will be placed is or will be designed, constructed, operated, and maintained to meet the requirements of section 66264.259. This submission shall address the following items as specified in section 66264.259:
(1) the volume, physical, and chemical characteristics of the wastes to be disposed in the waste pile, including their potential to migrate through soil or to volatilize or escape into the atmosphere;
(2) the attenuative properties of underlying and surrounding soils or other materials;
(3) the mobilizing properties of other materials co-disposed with these wastes; and
(4) the effectiveness of additional treatment, design, or monitoring techniques.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 270.18.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  subsections (b)-(b)(1), designation of subsection (b)(1)(A), new subsections (b)(1)(B)-(E),  and amendment of subsection (d) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect amending subsection (b)(1)(B) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66270.19. Specific Part B Information Requirements for Incinerators.
Note     •     History

Except as section 66264.340 of this division provides otherwise, owners and operators of facilities that incinerate hazardous waste shall fulfill the requirements of subsection (a), (b), or (c) of this section:
(a) when seeking an exemption under section 66264.340(b) or (c) of this division (ignitable, corrosive, or reactive wastes only):
(1) documentation that the waste is listed as a hazardous waste in chapter 11, article 4 of this division, solely because it is ignitable (Hazard Code I) or corrosive (Hazard Code C) or both; or ignitable (Hazard Code I) or corrosive (Hazard Code C) or both; or
(2) documentation that the waste is listed as a hazardous waste in chapter 11, article 4 of this division, solely because it is reactive (Hazard Code R) for characteristics other than those listed in sections 66261.23(a)(4) and (5), and will not be burned when other hazardous wastes are present in the combustion zone; or
(3) documentation that the waste is a hazardous waste solely because it possesses the characteristic of ignitability, corrosivity, or both, as determined by the tests for characteristics of hazardous waste under chapter 11, article 3 of this division; or
(4) documentation that the waste is a hazardous waste solely because it possesses the reactivity characteristics listed in section 66261.23(a)(1), (2), (3), (6), (7), or (8) of this chapter and that it will not be burned when other hazardous wastes are present in the combustion zone; or
(b) submit a trial burn plan or the results of a trial burn, including all required determinations, in accordance with section 66270.62; or
(c) in lieu of a trial burn, the applicant may submit the following information:
(1) an analysis of each waste or mixture of wastes to be burned including:
(A) heat value of the waste in the form and composition in which it will be burned;
(B) viscosity (if applicable), or description of physical form of the waste;
(C) an identification of any hazardous organic constituents listed in chapter 11, Appendix VIII, of this division, which are present in the waste to be burned, except that the applicant need not analyze for constituents listed in chapter 11, Appendix VIII, of this division which would reasonably not be expected to be found in the waste. The constituents excluded from analysis shall be identified and the basis for their exclusion stated. The waste analysis shall rely on analytical techniques specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”, EPA publication SW-846, Third Edition and Updates (incorporated by reference in section 66260.11), or their equivalent;
(D) an approximate quantification of the hazardous constituents identified in the waste, within the precision produced by the analytical methods specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”, EPA publication SW-846, Third Edition and Updates (incorporated by reference in section 66260.11);
(E) a quantification of those hazardous constituents in the waste which may be designated as POHCs based on data submitted from other trial or operational burns which demonstrate compliance with the performance standards in section 66264.343 of this division;
(2) a detailed engineering description of the incinerator,including:
(A) manufacturer's name and model number of incinerator;
(B) type of incinerator; 
(C) linear dimension of incinerator unit including cross sectional area of combustion chamber;
(D) description of auxiliary fuel system (type/feed);
(E) capacity of prime mover;
(F) description of automatic waste feed cutoff system(s);
(G) stack gas monitoring and pollution control monitoring system;
(H) nozzle and burner design;
(I) construction materials;
(J) location and description of temperature, pressure, and flow indicating devices and control devices;
(3) a description and analysis of the waste to be burned compared with the waste for which data from operational or trial burns are provided to support the contention that a trial burn is not needed. The data shall include those items listed in subsection (c)(1) of this section. This analysis shall specify the POHCs which the applicant has identified in the waste for which a permit is sought, and any differences from the POHCs in the waste for which burn data are provided;
(4) the design and operating conditions of the incinerator unit to be used, compared with that for which comparative burn data are available;
(5) a description of the results submitted from any previously conducted trial burn(s) including:
(A) sampling and analysis techniques used to calculate performance standards in section 66264.343 of this division;
(B) methods and results of monitoring temperatures, waste feed rates, carbon monoxide, and an appropriate indicator of combustion gas velocity (including a statement concerning the precision and accuracy of this measurement);
(C) the certification and results required by section 66270.62(b)(7);
(6) the expected incinerator operation information to demonstrate compliance with sections 66264.343 and 66264.345 of this division including:
(A) expected carbon monoxide (CO) and oxygen (O2) concentrations in the stack exhaust gas;
(B) waste feed rate;
(C) combustion zone temperature;
(D) indication of combustion gas velocity;
(E) expected stack gas volume, flow rate, and temperature;
(F) computed residence time for waste in the combustion zone;
(G) expected hydrochloric acid removal efficiency;
(H) expected fugitive emissions and their control procedures;
(I) proposed waste feed cut-off limits based on the identified significant operating parameters;
(7) such supplemental information as the Department finds necessary to achieve the purposes of this section;
(8) waste analysis data, including that submitted in subsection (c)(1) of this section, sufficient to allow the Department to specify as permit Principal Organic Hazardous Constituents (permit POHCs) those constituents for which destruction and removal efficiencies will be required.
(d) The Department shall approve a permit application without a trial burn if it finds that:
(1) the wastes are sufficiently similar; and
(2) the incinerator units are sufficiently similar, and the data from other trial burns are adequate to specify (under section 66264.345) operating conditions that will ensure that the performance standards in section 66264.343 will be met by the incinerator.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.19.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (c)(1)(C)-(D) and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66270.20. Specific Part B Information Requirements for Land Treatment Facilities.
Note     •     History

Except as otherwise provided in section 66264.1, owners and operators of facilities that use land treatment to treat or dispose of hazardous waste shall provide the following additional information:
(a) a description of plans to conduct a treatment demonstration as required under section 66264.272. The description shall include the following information:
(1) the wastes for which the demonstration will be made and the potential hazardous constituents in the waste;
(2) the data sources to be used to make the demonstration (e.g., literature, laboratory data, field data, or operating data);
(3) any specific laboratory or field test that will be conducted, including:
(A) the type of test (e.g., column leaching, degradation);
(B) materials and methods, including analytical procedures;
(C) expected time for completion;
(D) characteristics of the unit that will be simulated in the demonstration, including treatment zone characteristics, climatic conditions, and operating practices;
(b) a description of a land treatment program, as required under section 66264.271. This information shall be submitted with the plans for the treatment demonstration, and updated following the treatment demonstration. The land treatment program shall address the following items:
(1) the wastes to be land treated;
(2) design measures and operating practices necessary to maximize treatment in accordance with section 66264.273(a) including:
(A) waste application method and rate;
(B) measures to control soil pH;
(C) enhancement of microbial or chemical reactions;
(D) control of moisture content;
(3) provisions for unsaturated zone monitoring, including:
(A) sampling equipment, procedures, and frequency;
(B) procedures for selecting sampling locations;
(C) analytical procedures;
(D) chain of custody control;
(E) procedures for establishing background values;
(F) statistical methods for interpreting results;
(G) the justification for any hazardous constituents recommended, for selection as principal hazardous constituents, in accordance with the criteria for such selection in section 66264.278(a);
(4) a list of hazardous constituents reasonably expected to be in, or derived from, the wastes to be land treated based on waste analysis performed pursuant to section 66264.13;
(5) the proposed dimensions of the treatment zone;
(c) a description of how the unit is or will be designed, constructed, operated, and maintained in order to meet the requirements of section 66264.273. This submission shall address the following items:
(1) control of run-on;
(2) collection and control of run-off;
(3) minimization of run-off of hazardous constituents from the treatment zone;
(4) management of collection and holding facilities associated with run-on and run-off control systems;
(5) periodic inspection of the unit. This information shall be included in the inspection plan submitted under section 66270.14(b)(5);
(6) control of wind dispersal of particulate matter, if applicable;
(d) a description of the vegetative cover to be applied to closed portions of the facility, and a plan for maintaining such cover during the post-closure care period, as required under sections 66264.280(a)(8) and 66264.280(c)(2). This information shall be included in the closure plan and, where applicable, the post-closure care plan submitted under section 66270.14(b)(13);
(e) if ignitable or reactive wastes will be placed in or on the treatment zone, an explanation of how the requirements of section 66264.281 will be complied with;
(f) if incompatible wastes, or incompatible wastes and materials, will be placed in or on the same treatment zone, an explanation of how section 66264.282 will be complied with;
(g) a waste management plan for EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, and F027 describing how a land treatment facility is or will be designed, constructed, operated, and maintained to meet the requirements of section 66264.283. This submission shall address the following items as specified in section 66264.283:
(1) the volume, physical, and chemical characteristics of the wastes, including their potential to migrate through soil or to volatilize or escape into the atmosphere;
(2) the attentuative properties of underlying and surrounding soils or other materials;
(3) the mobilizing properties of other materials co-disposed with these wastes; and
(4) the effectiveness of additional treatment, design, or monitoring techniques.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.20.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.21. Specific Part B Information Requirements for Landfills.
Note     •     History

Except as otherwise provided in section 66264.1, owners and operators of facilities that dispose of hazardous waste in landfills shall provide the following additional information:
(a) a list of the hazardous wastes placed or to be placed in each landfill or landfill cell;
(b) Detailed plans and an engineering report describing how the landfill is designed, and is or will be constructed, operated and maintained to meet the requirements of sections 66264.19, 66264.301, 66264.302 and 66264.303 of this chapter, addressing the following items:
(1)(A) The liner system (except for an existing portion of a landfill), if the landfill shall meet the requirements of section 66264.301(a) of this chapter. If an exemption from the requirements for a liner is sought as provided by section 66264.301(b) of this chapter, submit detailed plans, and engineering and hydrogeological reports, as appropriate, describing alternate designs and operating practices that will, in conjunction with location aspects, prevent the migration of any hazardous constituents, into the ground water or surface water at any future time;
(B) The double liner and leak (leachate) detection, collection, and removal system, if the landfill shall meet the requirements of section 66264.301(c) of this chapter. If an exemption from the requirements for double liners and a leak detection, collection, and removal system or alternative design is sought as provided by section 66264.301(d), (e), or (l) of this chapter, submit appropriate information;
(C) If the leak detection system is located in a saturated zone, submit detailed plans and an engineering report explaining the leak detection system design and operation, and the location of the saturated zone in relation to the leak detection system;
(D) The construction quality assurance (CQA) plan if required under section 66264.19 of this chapter;
(E) Proposed action leakage rate, with rationale, if required under section 66264.302 of this chapter, and response action plan, if required under section 66264.303 of this chapter;
(2) control of run-on;
(3) control of run-off;
(4) management of collection and holding facilities associated with run-on and run-off control systems; and
(5) control of wind dispersal of particulate matter, where applicable;
(c) if a double liner and leak detection system is required, as provided by section 66264.301(a), the owner or operator shall submit detailed plans and an engineering report explaining the location of the saturated zone in relation to the landfill, the design of a double-liner system that incorporates a leak detection system between the liners, and a leachate collection and removal system above the liners;
(d) a description of how each landfill, including the double liner and cover system,  leachate collection and removal system, leak detection system, cover system, and appurtenances for control of run-on and run-off, will be inspected in order to meet the requirements of section 66264.303(a), (b) and (c) of this chapter. This information shall be included in the inspection plan submitted under section 66270.14(b)(5);
(e) detailed plans and an engineering report describing the final cover which will be applied to each landfill or landfill cell at closure in accordance with section 66264.310(a), and a description of how each landfill will be maintained and monitored after closure in accordance with section 66264.310(b). This information shall be included in the closure and post-closure plans submitted under section 66270.14(b)(13);
(f) if ignitable or reactive wastes will be landfilled, an explanation of how the standards of section 66264.312 will be complied with;
(g) if incompatible wastes, or incompatible wastes and materials will be landfilled, an explanation of how section 66264.313 will be complied with;
(h) if containers of hazardous waste are to be landfilled, an explanation of how the requirements of section 66264.315 or section 66264.316, as applicable, will be complied with;
(i) a waste management plan for EPA Hazardous Waste Nos. F020, F021, F022, F023, F026, and F027 describing how a landfill is or will be designed, constructed, operated, and maintained to meet the requirements of section 66264.317. This submission shall address the following items as specified in section 66264.317:
(1) the volume, physical, and chemical characteristics of the wastes, including their potential to migrate through soil or to volatilize or escape into the atmosphere;
(2) the attenuative properties of underlying and surrounding soils or other materials;
(3) the mobilizing properties of other materials co-disposed with these wastes; and
(4) the effectiveness of additional treatment, design, or monitoring techniques.
NOTE

Authority cited: Sections 25150 and 25159, Health and Safety Code; and Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 270.21.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  subsections (b)-(b)(1), designation of subsection (b)(1)(A), new subsections (b)(1)(B)-(E),  and amendment of subsection (d) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect amending subsections (b)and (b)(1)(A) filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
§66270.22. Specific Part B Information Requirements for Boilers and Industrial Furnaces Burning Hazardous Waste.
Note     •     History

(a) Trial burns-(1) General. Except as provided below, owners and operators that are subject to the standards to control organic emissions provided by section 66266.104 of chapter 16, standards to control particulate matter provided by section 66266.105 of chapter 16, standards to control metals emission provided by section 66266.106 of chapter 16, or standards to control hydrogen chloride or chlorine gas emissions provided by section 66266.107 of chapter 16 shall conduct a trial burn to demonstrate conformance with those standards and shall submit a trial burn plan or the results of a trial burn, including all required determinations, in accordance with section 66270.66 of this chapter.
(A) A trial burn to demonstrate conformance with a particular emission standard may be waived under provisions of sections 66266.104 through 66266.107 of chapter 16 and subsections (a)(2) through (a)(5) of this section; and
(B) The owner or operator may submit data in lieu of a trial burn, as prescribed in subsection (a)(6) of this section.
(2) Waiver of trial burn for DRE-(A) Boilers operated under special operating requirements. When seeking to be permitted under sections 66266.104(a)(4) and 66266.110 of chapter 16 that automatically waive the DRE trial burn, the owner or operator of a boiler shall submit documentation that the boiler operates under the special operating requirements provided by section 66266.110 of chapter 16.
(B) Boilers and industrial furnaces burning low risk waste. When seeking to be permitted under the provisions for low risk waste provided by sections 66266.104(a)(5) and 66266.109(a) of chapter 16 that waive the DRE trial burn, the owner or operator shall submit:
1. Documentation that the device is operated in conformance with the requirements of section 66266.109(a)(1) of chapter 16.
2. Results of analyses of each waste to be burned, documenting the concentrations of nonmetal compounds listed in appendix VIII of chapter 11, except for those constituents that would reasonably not be expected to be in the waste. The constituents excluded from analysis shall be identified and the basis for their exclusion explained. The analysis shall rely on analytical techniques specified in Test Methods for Evaluating Solid Waste, Physical/Chemical Methods (incorporated by reference, see section 66260.11).
3. Documentation of hazardous waste firing rates and calculations of reasonable, worst-case emission rates of each constituent identified in subsection (a)(2)(B)2. of this section using procedures provided by section 66266.109(a)(2)(B) of chapter 16.
4. Results of emissions dispersion modeling for emissions identified in subsections (a)(2)(B)3. of this section using modeling procedures prescribed by section 66266.106(h) of chapter 16. The Director will review the emission modeling conducted by the applicant to determine conformance with these procedures. The Director will either approve the modeling or determine that alternate or supplementary modeling is appropriate.
5. Documentation that the maximum annual average ground level concentration of each constituent identified in subsection (a)(2)(B)2. of this section quantified in conformance with subsection (a)(2)(B)4. of this section does not exceed the allowable ambient level established in appendices IV or V of chapter 16. The acceptable ambient concentration for emitted constituents for which a specific Reference Air Concentration has not been established in appendix IV or Risk-Specific Dose has not been established in appendix V is 0.1 micrograms per cubic meter, as noted in the footnote to appendix IV.
(3) Waiver of trial burn for metals. When seeking to be permitted under the Tier I (or adjusted Tier I) metals feed rate screening limits provided by section 66266.106 (b) and (e) of chapter 16 that control metals emissions without requiring a trial burn, the owner or operator shall submit:
(A) Documentation of the feed rate of hazardous waste, other fuels, and industrial furnace feed stocks;
(B) Documentation of the concentration of each metal controlled by section 66266.106 (b) or (e) of chapter 16 in the hazardous waste, other fuels, and industrial furnace feedstocks, and calculations of the total feed rate of each metal;
(C) Documentation of how the applicant will ensure that the Tier I feed rate screening limits provided by section 66266.106 (b) or (e) of chapter 16 will not be exceeded during the averaging period provided by that subsection;
(D) Documentation to support the determination of the terrain- adjusted effective stack height, good engineering practice stack height, terrain type, and land use as provided by section 66266.106(b)(3) through (b)(5) of chapter 16;
(E) Documentation of compliance with the provisions of section 66266.106(b)(6), if applicable, for facilities with multiple stacks;
(F) Documentation that the facility does not fail the criteria provided by section 66266.106(b)(7) for eligibility to comply with the screening limits; and
(G) Proposed sampling and metals analysis plan for the hazardous waste, other fuels, and industrial furnace feed stocks.
(4) Waiver of trial burn for particulate matter. When seeking to be permitted under the low risk waste provisions of section 66266.109(b) which waives the particulate standard (and trial burn to demonstrate conformance with the particulate standard), applicants shall submit documentation supporting conformance with subsections (a)(2)(B) and (a)(3) of this section.
(5) Waiver of trial burn for HCl and Cl2. When seeking to be permitted under the Tier I (or adjusted Tier I) feed rate screening limits for total chloride and chlorine provided by section 66266.107(b)(1) and (e) of chapter 16 that control emissions of hydrogen chloride (HCl) and chlorine gas (Cl2) without requiring a trial burn, the owner or operator shall submit:
(A) Documentation of the feed rate of hazardous waste, other fuels, and industrial furnace feed stocks;
(B) Documentation of the levels of total chloride and chlorine in the hazardous waste, other fuels, and industrial furnace feedstocks, and calculations of the total feed rate of total chloride and chlorine;
(C) Documentation of how the applicant will ensure that the Tier I (or adjusted Tier I) feed rate screening limits provided by section 66266.107 (b)(1) or (e) of chapter 16 will not be exceeded during the averaging period provided by that subsection;
(D) Documentation to support the determination of the terrain- adjusted effective stack height, good engineering practice stack height, terrain type, and land use as provided by section 66266.107(b)(3) of chapter 16;
(E) Documentation of compliance with the provisions of section 66266.107(b)(4), if applicable, for facilities with multiple stacks;
(F) Documentation that the facility does not fail the criteria provided by section 66266.107(b)(3) for eligibility to comply with the screening limits; and
(G) Proposed sampling and analysis plan for total chloride and chlorine for the hazardous waste, other fuels, and industrial furnace feedstocks.
(6) Data in lieu of trial burn. The owner or operator may seek an exemption from the trial burn requirements to demonstrate conformance with sections 66266.104 through 66266.107 of chapter 16 and section 66270.66 by providing the information required by section 66270.66 from previous compliance testing of the device in conformance with section 66266.103 of chapter 16, or from compliance testing or trial or operational burns of similar boilers or industrial furnaces burning similar hazardous wastes under similar conditions. If data from a similar device is used to support a trial burn waiver, the design and operating information required by section 66270.66 shall be provided for both the similar device and the device to which the data is to be applied, and a comparison of the design and operating information shall be provided. The Director shall approve a permit application without a trial burn if the Director finds that the hazardous wastes are sufficiently similar, the devices are sufficiently similar, the operating conditions are sufficiently similar, and the data from other compliance tests, trial burns, or operational burns are adequate to specify (under section 66266.102 of chapter 16) operating conditions that will ensure conformance with section 66266.102(c) of chapter 16. In addition, the following information shall be submitted:
(A) For a waiver from any trial burn:
1. A description and analysis of the hazardous waste to be burned compared with the hazardous waste for which data from compliance testing, or operational or trial burns are provided to support the contention that a trial burn is not needed;
2. The design and operating conditions of the boiler or industrial furnace to be used, compared with that for which comparative burn data are available; and
3. Such supplemental information as the Director finds necessary to achieve the purposes of this subsection.
(B) For a waiver of the DRE trial burn, the basis for selection of POHCs used in the other trial or operational burns which demonstrate compliance with the DRE performance standard in section 66266.104(a) of chapter 16. This analysis should specify the constituents in appendix VIII, of chapter 11, that the applicant has identified in the hazardous waste for which a permit is sought, and any differences from the POHCs in the hazardous waste for which burn data are provided.
(b) Alternative HC limit for industrial furnaces with organic matter in raw materials. Owners and operators of industrial furnaces requesting an alternative HC limit under section 66266.104(f) of chapter 16 shall submit the following information at a minimum:
(1) Documentation that the furnace is designed and operated to minimize HC emissions from fuels and raw materials;
(2) Documentation of the proposed baseline flue gas HC (and CO) concentration, including data on HC (and CO) levels during tests when the facility produced normal products under normal operating conditions from normal raw materials while burning normal fuels and when not burning hazardous waste;
(3) Test burn protocol to confirm the baseline HC (and CO) level including information on the type and flow rate of all feedstreams, point of introduction of all feedstreams, total organic carbon content (or other appropriate measure of organic content) of all nonfuel feedstreams, and operating conditions that affect combustion of fuel(s) and destruction of hydrocarbon emissions from nonfuel sources;
(4) Trial burn plan to:
(A) Demonstrate that flue gas HC (and CO) concentrations when burning hazardous waste do not exceed the baseline HC (and CO) level; and
(B) Identify the types and concentrations of organic compounds listed in appendix VIII of chapter 11, that are emitted when burning hazardous waste in conformance with procedures prescribed by the Director;
(5) Implementation plan to monitor over time changes in the operation of the facility that could reduce the baseline HC level and procedures to periodically confirm the baseline HC level; and
(6) Such other information as the Director finds necessary to achieve the purposes of this subsection.
(c) Alternative metals implementation approach. When seeking to be permitted under an alternative metals implementation approach under section 66266.106(f) of chapter 16, the owner or operator shall submit documentation specifying how the approach ensures compliance with the metals emissions standards of section 66266.106(c) or (d) and how the approach can be effectively implemented and monitored. Further, the owner or operator shall provide such other information that the Director finds necessary to achieve the purposes of this subsection.
(d) Automatic waste feed cutoff system. Owners and operators shall submit information describing the automatic waste feed cutoff system, including any pre-alarm systems that may be used.
(e) Direct transfer. Owners and operators that use direct transfer operations to feed hazardous waste from transport vehicles (containers, as defined in section 66266.111 of chapter 16) directly to the boiler or industrial furnace shall submit information supporting conformance with the standards for direct transfer provided by section 66266.111 of chapter 16.
(f) Residues. Owners and operators that claim that their residues are excluded from regulation under the provisions of section 66266.112 of chapter 16 shall submit information adequate to demonstrate conformance with those provisions.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 270.22.
HISTORY

1. New section filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Change without regulatory effect amending subsections (a)(3)(D) and (a)(5) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66270.23. Specific Part B Information Requirements for Miscellaneous Units.
Note     •     History

Except as otherwise provided in section 66264.600, owners and operators of facilities that transfer, treat, store, or dispose of hazardous waste in miscellaneous units shall provide the following additional information:
(a) a detailed description of the unit being used or proposed for use, including the following:
(1) physical characteristics, materials of construction, and dimensions of the unit;
(2) detailed plans and engineering reports describing how the unit will be located, designed, constructed, operated, maintained, monitored, inspected, and closed to comply with the requirements of sections 66264.601 and 66264.602, and
(3) for disposal units, a detailed description of the plans to comply with the post-closure requirements of section 66264.603;
(b) detailed hydrologic, geologic, and meteorologic assessments and land-use maps for the region surrounding the site that address and ensure compliance of the unit with each factor in the environmental performance standards of section 66264.601. If the applicant can demonstrate that the facility does not violate the environmental performance standards of section 66264.601 and the Department agrees with such demonstration, preliminary hydrologic, geologic, and meteorologic assessments will suffice;
(c) information on the potential pathways of exposure of humans or environmental receptors to waste constituents, hazardous constituents and reaction products, and on the potential magnitude and nature of such exposures;
(d) for any treatment unit, a report on a demonstration of the effectiveness of the treatment based on laboratory or field data;
(e) any additional information determined by the Department to be necessary for evaluation of compliance of the unit with the environmental performance standards of section 66264.601.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.23.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.24. Specific Part B Information Requirements for Process Vents.
Note     •     History

Except as otherwise provided in Section 66264.1, owners and operators of facilities that have process vents to which Article 27 of Chapter 14 applies must provide the following additional information:
(a) For facilities that cannot install a closed-vent system and control device to comply with the provisions of 40 CFR 264 subpart AA on the effective date that the facility becomes subject to the provisions of Chapter 14 or 15 Article 27, an implementation schedule as specified in Section 66264.1033(a)(2).
(b) Documentation of compliance with the process vent standards in Section 66264.1032, including:
(1) information and data identifying all affected process vents, annual throughput and operating hours of each affected unit, estimated emission rates for each affected vent and for the overall facility (i.e., the total emissions for all affected vents at the facility), and the approximate location within the facility of each affected unit (e.g., identify the hazardous waste management units on a facility plot plan);
(2) information and data supporting estimates of vent emissions and emission reduction achieved by add-on control devices based on engineering calculations or source tests. For the purpose of determining compliance, estimates of vent emissions and emission reductions must be made using operating parameter values (e.g., temperatures, flow rates, or concentrations) that represent the conditions that exist when the waste management unit is operating at the highest load or capacity level reasonably expected to occur; and
(3) information and data used to determine whether or not a process vent is subject to the requirements of Section 264.1032.
(c) An owner or operator who applies for permission to use a control device other than a thermal vapor incinerator, catalytic vapor incinerator, flare, boiler, process heater, condenser, or carbon adsorption system to comply with the requirements of Section 66264.1032, and chooses to use test data to determine the organic removal efficiency or the total organic compound concentration achieved by the control device, shall provide a performance test plan as specified in Section 66264.1035(b)(3).
(d) Documentation of compliance with Section 66264.1033, including:
(1) a list of all information  references and sources used in preparing the documentation;
(2) records, including the dates of each compliance test required by Section 66264.1033(k);
(3) a design analysis, specifications, drawings, schematics, and piping and instrumentation diagrams based on the appropriate sections of “APTI Course 415: Control of Gaseous Emissions” (incorporated by reference as specified in Section 66260.11) or other engineering texts which the Department determines contain basic control device design information which is at least as protective of human health and the environment as APTI Course 415: Control of Gaseous Emissions. The design analysis shall address the vent stream characteristics and control device operation parameters as specified in Section 66264.1035(b)(4)(C);
(4) a statement signed and dated by the owner or operator certifying that the operating parameters used in the design analysis reasonably represent the conditions that exist when the hazardous waste management unit is or would be operating at the highest load or capacity level reasonably expected to occur; and
(5) a statement signed and dated by the owner or operator certifying that the control device is designed to operate at an efficiency of 95 weight percent or greater unless the total organic emission limits of Section 66264.1032(a) for affected process vents at the facility can be attained by a control device involving vapor recovery at an efficiency less than 95 weight percent.
NOTE

Authority cited: Sections  25150 and 25159, Health and Safety Code. Reference: Sections  25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.24.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsections (b)(2), (c), (d)(2) and (d)(3) filed 12-28-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 53).
3. Editorial correction of subsection (d)(4) (Register 95, No. 50).
4. Change without regulatory effect amending subsections (d)(2)-(3) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
§66270.25. Specific Part B Information Requirements for Equipment.
Note     •     History

Except as otherwise provided in Section 66264.1, owners and operators of facilities that have equipment to which Article 28 of Chapter 14 applies must provide the following additional information:
(a) For each piece of equipment to which Article 28 of Chapter 14 applies:
(1) equipment identification number and hazardous waste management unit identification;
(2) Approximate locations within the facility (e.g., identify the hazardous waste management unit on a facility plot plan);
(3) type of equipment (e.g., a pump or pipeline valve);
(4) percent by weight total organics in the hazardous waste stream at the equipment;
(5) hazardous waste state at the equipment (e.g., gas/vapor or liquid); and
(6) methods of compliance with the standards (e.g., “monthly leak detection and repair” or “equipped with dual mechanical seals”).
(b) For facilities that cannot install a closed-vent system and control device to comply with the provisions of 40 CFR 264 subpart BB on the effective date that the facility becomes subject to the provisions of Chapter 14 or 15, Article 28, an implementation schedule as specified in Section 66264.1033(a)(2).
(c) Where an owner or operator applies for permission to use a control device other than a thermal vapor incinerator, catalytic vapor incinerator, flare, boiler, process heater, condenser, or carbon adsorption system and chooses to use test data to determine, the organic removal efficiency or the total organic compound concentration achieved by the control device, a performance test plan as specified in Section 966264.1035(b)(3).
(d) Documentation that demonstrates compliance with the equipment standards in Sections 66264.1052 to 66264.1059. This documentation shall contain the records required under Section 66264.1064. The Department may request further documentation before deciding if compliance has been demonstrated.
(e) Documentation to demonstrate compliance with Section 66264.1060 shall include the following information:
(1) a list of information references and sources used in preparing the documentation;
(2) records, including the dates of each compliance test required by Section 66264.1033(j);
(3) a design analysis, specifications, drawings, schematics, and piping and instrumentation diagrams based on the appropriate sections of “APTI Course 415: Control of Gaseous Emissions” (incorporated by reference as specified in Section 66260.11) or other engineering texts which the Department determines contain basic control device design information which is at least as protective of human health and environment as APTI Course 415: Control of Gaseous Emissions. The design analysis shall address the vent stream characteristics and control device operation parameters as specified in Section 66264.1035(b)(4)(C);
(4) a statement signed and dated by the owner or operator certifying that the operating parameters used in the design analysis reasonably represent the conditions that exist when the hazardous waste management unit is operating at the highest load or capacity level reasonably expected to occur;
(5) a statement signed and dated by the owner or operator certifying that the control device is designed to operate at an efficiency of 95 weight percent or greater.
(6) method of compliance with the standard (e.g., “monthly leak detection and repair” or “equipped with dual mechanical seals”).
NOTE

Authority cited: Sections  25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.25.
HISTORY

1. New section filed 12-23-92; operative 1-22-93 (Register 93, No. 2).
2. Change without regulatory effect amending subsection (e)(2) filed 12-28-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 53).
3. Editorial correction of first paragraph (Register 95, No. 50).
4. Change without regulatory effect amending subsections (d), (e), (e)(3) and (e)(5) and deleting duplicate subsections (b)-(e)(5) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
§66270.26. Special part B information requirements for drip pads.
Note     •     History

Except as otherwise provided by section 66264.1, owner and operators of hazardous waste transfer, treatment, storage, or disposal facilities that transfer, treat, store, or dispose hazardous waste on drip pads shall provide the following additional information:
(a) A list of hazardous waste placed or to be placed on each drip pad.
(b) Detailed plans and an engineering report describing how the drip pad is or will be designed, constructed, operated and maintained to meet the requirements of section 66264.573, including the as-built drawings and specifications. This submission shall address the following items as specified in section 66264.571:
(1) the design characteristics of the drip pad;
(2) the liner system;
(3) the leakage detection system, including the leak detection system and how it is designed to detect the failure of the drip pad or the presence of any releases of hazardous waste or accumulated liquid at the earliest practicable time;
(4) practices designed to maintain drip pads;
(5) the associated collection system;
(6) control of run-on to the drip pad;
(7) control of run-off from the drip pad;
(8) the interval at which drippage and other materials will be removed from the associated collection system and a statement demonstrating that the interval will be sufficient to prevent overflow onto the drip pad;
(9) procedures for cleaning the drip pad at least once every seven days to ensure the removal of any accumulated residues of waste or other materials, including but not limited to rinsing, washing with detergents or other appropriate solvents, or steam cleaning and provisions for documenting the date, time, and cleaning procedure used each time the pad is cleaned;
(10) operating practices and procedures that will be followed to ensure that tracking of hazardous waste or waste constituents off the drip pad due to activities by personnel or equipment is minimized;
(11) procedures for ensuring that, after removal from the treatment vessel, treated wood from pressure and non-pressure processes is held on the drip pad until drippage had ceased, including recordkeeping practices;
(12) provisions for ensuring that collection and holding units associated with run-on and run-off control systems are emptied or otherwise managed as soon as possible after storms to maintain design capacity of the system;
(13) if treatment is carried out on the drip pad, details of the process equipment used, and the nature and quality of the residuals;
(14) a description of how each drip pad, including appurtenances for control of run-on and run-off, will be inspected in order to meet the requirements of section 66264.573. This information should be included in the inspection plan submitted under section 66270.14(b)(5);
(15) a certification signed by an independent, qualified professional engineer registered in California, stating that the drip pad design meets the requirements of 66264.573(a) through (f);
(16) a description of how hazardous waste residues and contaminated materials will be removed from the drip pad at closure, as required under section 66264.575(a). For any waste not to be removed from the drip pad upon closure, the owner or operator shall submit detailed plans and an engineering report describing how section 66264.310(a) an (b) will be complied with. This information should be included in the closure plan and, where applicable, the post-closure plan submitted under section 66270.14(b)(13).
NOTE

Authority cited: Sections 25150, 25159, 25159.5 and 25245, Health and Safety Code; and Section 58012, Governor's Reorganization Plan Number 1 of 1991. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 270.26.
HISTORY

1. New section filed 7-29-94; operative 8-29-94 (Register 94, No. 30).
2. Change without regulatory effect amending subsections (b)(7)-(8) and (b)(10)-(12) filed 12-28-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 52).
§66270.27. Specific Part B Information Requirements for Air Emission Controls for Tanks, Surface Impoundments, and Containers.
Note     •     History

(a) Except as otherwise provided in section 66264.1, owners and operators of tanks, surface impoundments, or containers that use air emission controls in accordance with the requirements of section chapter 14, article 30 shall provide the following additional information:
(1) Documentation for each floating roof cover installed on a tank subject to sections 66264.1084(d)(1) or 66264.1084(d)(2) that includes information prepared by the owner or operator or provided by the cover manufacturer or vendor describing the cover design, and certification by the owner or operator that the cover meets the applicable design specifications as listed in sections 66264.1084(e)(1) or 66264.1084(f)(1).
(2) Identification of each container area subject to the requirements of chapter 14, article 30 and certification by the owner or operator that the requirements of this article are met.
(3) Documentation for each enclosure used to control air pollutant emissions from tanks or containers in accordance with the requirements of sections 66264.1084(d)(5) or 66264.1086(e)(1)(B) that includes records for the most recent set of calculations and measurements performed by the owner or operator to verify that the enclosure meets the criteria of a permanent total enclosure as specified in “Procedure T--Criteria for and Verification of a Permanent or Temporary Total Enclosure” under 40 CFR 52.741, appendix B.
(4) Documentation for each floating membrane cover installed on a surface impoundment in accordance with the requirements of section 66264.1085(c) that includes information prepared by the owner or operator or provided by the cover manufacturer or vendor describing the cover design, and certification by the owner or operator that the cover meets the specifications listed in section 66264.1085(c)(1).
(5) Documentation for each closed-vent system and control device installed in accordance with the requirements of section 66264.1087 that includes design and performance information as specified in section 66270.24 (c) and (d).
(6) An emission monitoring plan for both Method 21 in 40 CFR part 60, appendix A and control device monitoring methods. This plan shall include the following information: monitoring point(s), monitoring methods for control devices, monitoring frequency, procedures for documenting exceedances, and procedures for mitigating noncompliances.
(7) When an owner or operator of a facility subject to chapter 15, article 28.5 cannot comply with chapter 14, article 28.5 by the date of permit issuance, the schedule of implementation required under section 66265.1082.
NOTE

Sections 25150, 25159, 25159.5, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; and 40 CFR section 270.27.
HISTORY

1. Change without regulatory effect adding new section filed 6-11-99 pursuant to Health and Safety Code section 25159.1 (Register 99, No. 24).
§66270.29. Permit Denial.
Note     •     History

The Department may, pursuant to the procedures in chapter 21, deny the permit application either in its entirety or as to the active life of a hazardous waste management facility or unit only.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.29.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 3. Permit Conditions
§66270.30. Conditions Applicable to All Permits.
Note     •     History

The following conditions apply to all permits. All conditions applicable to permits shall be incorporated into the permits either expressly or by reference. If incorporated by reference, a specific citation to the appropriate regulations shall be given in the permit.
(a) Duty to comply. The permittee shall comply with all conditions of this permit, except that the permittee need not comply with the conditions of this permit to the extent and for the duration such noncompliance is authorized in an emergency permit. (See section 66270.61). Any permit noncompliance, except under the terms of an emergency permit, constitutes a violation of the appropriate statute or regulation and is grounds for enforcement action; for permit termination, revocation and reissuance, or modification; or for denial of a permit renewal application. 
(b) Duty to reapply. If the permittee wishes to continue an activity regulated by this permit after the expiration date of this permit, the permittee shall apply for and obtain a new permit.
(c) Need to halt or reduce activity not a defense. It shall not be a defense for a permittee in an enforcement action that it would have been necessary to halt or reduce the permitted activity in order to maintain compliance with the conditions of this permit.
(d) In the event of noncompliance with the permit, the permittee shall take all reasonable steps to minimize or correct releases to the environment, and shall carry out all measures as are reasonable to prevent and correct adverse impacts on human health or the environment.
(e) Proper operation and maintenance. The permittee shall at all times properly operate and maintain all facilities and systems of treatment and control (and related appurtenances) which are installed or used by the permittee to achieve compliance with the conditions of this permit. Proper operation and maintenance includes effective performance, adequate funding, adequate operator staffing and training, and adequate laboratory and process controls, including appropriate quality assurance procedures. This provision requires the operation of back-up or auxiliary facilities or similar systems only when necessary to achieve compliance with the conditions of the permit.
(f) Permit actions. This permit may be modified, revoked and reissued, or terminated for cause. The filing of a request by the permittee for a permit modification, revocation and reissuance, or termination, or a notification of planned changes or anticipated noncompliance, does not stay any permit condition.
(g) Property rights. The permit does not convey any property rights of any sort, or any exclusive privilege.
(h) Duty to provide information. The permittee shall furnish to the Department, within a reasonable time, not to exceed 30 days unless a time extension is approved by the Department, any relevant information which the Department may request to determine whether cause exists for modifying, revoking and reissuing, or terminating this permit, or to determine compliance with this permit. The permittee shall also furnish to the Department, upon request, copies of records required to be kept by this permit.
(i) Inspection and entry. The permittee shall allow an authorized representative of the Department, the State Water Resources Control Board or a Regional Water Quality Control Board, upon the presentation of credentials and other documents as may be required by law to:
(1) enter at reasonable times upon the permittee's premises where a regulated facility or activity is located or conducted, or where records must be kept under the conditions of this permit;
(2) have access to and copy, at reasonable times, any records that must be kept under the conditions of this permit;
(3) inspect at reasonable times any facilities, equipment (including monitoring and control equipment), practices, or operations regulated or required under this permit; and
(4) sample or monitor at reasonable times, for the purposes of assuring permit compliance or as otherwise authorized by law, any substances or parameters at any location.
(j) Monitoring and records.
(1) Samples and measurements taken for the purpose of monitoring shall be representative of the monitored activity.
(2) The permittee shall retain records of all monitoring information, including all calibration and maintenance records and all original strip chart recordings for continuous monitoring instrumentation, copies of all reports required by this permit, the certification required by section 66264.73(b)(9) of this division, and records of all data used to complete the application for this permit, for a period of at least three years from the date of the sample, measurement, report, certification, or application. This period may be extended by request of the Department at any time. The permittee shall maintain records from all groundwater monitoring wells and associated ground water surface elevations, for the active life of the facility, and for disposal facilities for the post-closure care period as well.
(3) Records for monitoring information shall include:
(A) the date, exact place, and time of sampling or measurements;
(B) the name(s) of the individual(s) who performed the sampling or measurements;
(C) the date(s) analyses were performed;
(D) the name(s) of the individual(s) who performed the analyses;
(E) the analytical techniques or methods used; and
(F) the results of such analyses.
(k) Signatory requirements. All applications, reports, or information submitted to the Department shall be signed and certified. (See section 66270.11.)
(l) Reporting requirements. (1) Planned changes. The permittee shall give notice to the Department as soon as possible and at least 30 days in advance of any planned physical alterations or additions to the permitted facility.
(2) Anticipated noncompliance. The permittee shall give advance notice to the Department of any planned changes in the permitted facility or activity which may result in noncompliance with permit requirements. For a new facility, the permittee shall not transfer, treat, store, or dispose of hazardous waste; and for a facility being modified, the permittee shall not transfer, treat, store, or dispose of hazardous waste in the modified portion of the facility except as provided in section 66270.42, until:
(A) the permittee has submitted to the Department by certified mail or hand delivery a letter signed by the permittee and a professional engineer, registered in California, stating that the facility has been constructed or modified in compliance with the permit; and
(B) 1. the Department has inspected the modified or newly constructed facility and finds it is in compliance with the conditions of the permit; or
2. if within 15 days of the date of submission of the letter in subsection (l)(2)(A) of this section, the permittee has not received notice from the Department of the Department's intent to inspect, prior inspection is waived and the permittee may commence transfer, treatment, storage, or disposal of hazardous waste.

(3) Transfers. This permit is not transferable to any person except after notice to the Department. The Department may require modification or revocation and reissuance of the permit to change the name of the permittee and incorporate such other requirements as may be necessary. (See section 66270.40.)
(4) Monitoring reports. Monitoring results shall be reported at the intervals specified elsewhere in this permit.
(5) Compliance schedules. Reports of compliance or noncompliance with, or any progress reports on, interim and final requirements contained in any compliance schedule of this permit shall be submitted no later than 14 days following each schedule date.
(6) Twenty-four hour reporting.
(A) The permittee shall report any noncompliance which may endanger health or the environment orally within 24 hours from the time the permittee becomes aware of the circumstances, including:
1. information concerning release of any hazardous waste that may cause an endangerment to public drinking water supplies;
2. any information of a release or discharge of hazardous waste or of a fire or explosion from the hazardous waste facility, which could threaten the environment or human health outside the facility.
(B) The description of the occurrence and its cause shall include:
1. name, address, and telephone number of the owner or operator;
2. name, address, and telephone number of the facility;
3. date, time, and type of incident;
4. name and quantity of material(s) involved;
5. the extent of injuries, if any;
6. an assessment of actual or potential hazards to the environment and human health outside the facility, where this is applicable; and
7. estimated quantity and disposition of recovered material that resulted from the incident.
(C) A written submission shall also be provided within five days of the time the permittee becomes aware of the circumstances. The written submission shall contain a description of the noncompliance and its cause; the period of noncompliance including exact dates and times, and, if the noncompliance has not been corrected, the anticipated time it is expected to continue; and steps taken or planned to reduce, eliminate, and prevent reoccurrence of the noncompliance. The Department may waive the 5-day written notice requirement in favor of a written report within 15 days.
(7) Manifest discrepancy report. If a significant discrepancy in a manifest is discovered, the permittee shall attempt to reconcile the discrepancy. If not resolved within fifteen days, the permittee shall submit a letter report, including a copy of the manifest, to the Department. (See section 66264.72.)
(8) Unmanifested hazardous waste report. This report shall be submitted to the Department within 15 days of receipt of unmanifested waste. (See section 66264.76.)
(9) Annual report. An annual report shall be submitted to the Department covering facility activities during the previous calendar year. (See section 66264.75.)
(10) Other noncompliance. The permittee shall report all instances of noncompliance not reported under subsections (l)(4), (5), and (6) of this section, at the time monitoring reports are submitted. The reports shall contain the information listed in subsection (l)(6) of this section.
(11) Other information. Where the permittee becomes aware that it failed to submit any relevant facts in a permit application, or submitted incorrect information in a permit application of in any report to the Department, it shall promptly submit such facts or information.
(m) Information repository. For facilities applying for a RCRA permit, the Director may require the permittee to establish and maintain an information repository at any time, based on the factors set forth in section 66271.33(b). The information repository will be governed by the provisions in section 66271.33(c) through (f).
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.30.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding new subsection (m) filed 12-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 51).
3. Amendment of subsection (l)(7) and Note filed 4-4-2002 as an emergency; operative 4-4-2002 (Register 2002, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (l)(7) and amendment of Note refiled 8-1-2002 as an emergency; operative 8-1-2002 (Register 2002, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-2-2002 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (l)(7) and amendment of Note refiled 12-2-2002 as an emergency; operative 12-3-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-2-2003 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (l)(7) and amendment of Note refiled 4-1-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
7. Repealer of 4-1-2003 order and amendment of Note filed 7-10-2003 as an emergency; operative 7-10-2003 (Register 2003, No. 28). Pursuant to Health and Safety Code section 25169.8, this is a deemed emergency and stays effective until revised by the agency.
§66270.31. Requirements for Recording and Reporting of Monitoring Results.
Note     •     History

All permits shall specify:
(a) requirements concerning the proper use, maintenance, and installation, when appropriate, of monitoring equipment or methods (including biological monitoring methods when appropriate);
(b) required monitoring including type, intervals, and frequency sufficient to yield data which are representative of the monitored activity including, when appropriate, continuous monitoring;
(c) applicable reporting requirements based upon the impact of the regulated activity and as specified in chapters 14 and 16 of this division. Reporting shall be no less frequent than specified in the above regulations.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.31.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.32. Establishing Permit Conditions.
Note     •     History

(a) In addition to conditions required in all permits (section 66270.30), the Department shall establish conditions, as required on a case-by-case basis, in permits under section 66270.50 (duration of permits), section 66270.33(a) (schedules of compliance), section 66270.31 (monitoring), section 66270.33(b) (alternate schedules of compliance), and section 66270.3 (considerations under Federal law).
(b)(1) Each permit shall include permit conditions necessary to achieve compliance with the statutes and regulations, including each of the applicable requirements specified in chapters 14, 16, and 18 of this division. In satisfying this provision, the Department may incorporate applicable requirements of chapters 14, 16 and 18 of this division directly into the permit or establish other permit conditions that are based on these chapters.
(2) In addition to conditions required in all permits, each permit issued shall contain terms and conditions as the Department determines necessary to protect human health and the environment.
(c) An applicable requirement is a statutory or regulatory requirement which takes effect prior to final administrative disposition of a permit or prior to the modification or revocation and reissuance of a permit, to the extent allowed in section 66270.41. Section 66271.13 (reopening of comment period) provides a means for reopening permit proceedings at the discretion of the Department where new requirements become effective during the permitting process and are of sufficient magnitude to make additional proceedings desirable.
(d) New or reissued permits, and to the extent allowed under section 66270.41, modified or revoked and reissued permits, shall incorporate each of the applicable requirements referenced in this section and in section 66270.31.
(e) Incorporation. All permit conditions shall be incorporated either expressly or by reference. If incorporated by reference, a specific citation to the applicable regulations or requirements shall be given in the permit.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.32.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.33. Schedules of Compliance.
Note     •     History

(a) The permit may, when appropriate, specify a schedule of compliance leading to compliance with the statutes and regulations.
(1) Time for compliance. Any schedules of compliance under this section shall require compliance as soon as possible.
(2) Interim dates. Except as provided in subsection (b)(1)(B) of this section, if a permit establishes a schedule of compliance which exceeds one year from the date of permit issuance, the schedule shall set forth interim requirements and the dates for their achievement.
(A) The time between interim dates shall not exceed one year.
(B) If the time necessary for completion of any interim requirement is more than one year and is not readily divisible into stages for completion, the permit shall specify interim dates for the submission of reports of progress toward completion of the interim requirements and indicate a projected completion date.
(3) Reporting. The permit shall be written to require that no later than 14 days following each interim date and the final date of compliance, the permittee shall notify the Department in writing, of its compliance or noncompliance with the interim or final requirements.
(b) Alternative schedules of compliance. A permit applicant or permittee may cease conducting regulated activities (by receiving a terminal volume of hazardous waste and, for transfer, treatment and storage hazardous waste management facilities, closing pursuant to applicable requirements; and, for disposal hazardous waste management facilities, closing and conducting post-closure care pursuant to applicable requirements) rather than continue to operate and meet permit requirements as follows.
(1) If the permittee decides to cease conducting regulated activities at a given time within the term of a permit which has already been issued:
(A) the permit may be modified to contain a new or additional schedule leading to timely cessation of activities; or
(B) the permittee shall cease conducting permitted activities before noncompliance with any interim or final compliance schedule requirement already specified in the permit.
(2) If the decision to cease conducting regulated activities is made before issuance of a permit whose term will include the termination date, the permit shall contain a schedule leading to termination which will ensure timely compliance with applicable requirements.
(3) If the permittee is undecided whether to cease conducting regulated activities, the Department may issue or modify a permit to contain two schedules as follows:
(A) both schedules shall contain an identical interim deadline requiring a final decision on whether to cease conducting regulated activities no later than a date which ensures sufficient time to comply with applicable requirements in a timely manner if the decision is to continue conducting regulated activities;
(B) one schedule shall lead to timely compliance with applicable requirements;
(C) the second schedule shall lead to cessation of regulated activities by a date which will ensure timely compliance with applicable requirements;
(D) each permit containing two schedules shall include a requirement that after the permittee has made a final decision under subsection (b)(3)(A) of this section it shall follow the schedule leading to compliance if the decision is to continue conducting regulated activities, and follow the schedule leading to termination if the decision is to cease conducting regulated activities.
(4) The applicant's or permittee's decision to cease conducting regulated activities shall be evidenced by a firm public commitment satisfactory to the Department, such as resolution of the board of directors of a corporation.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.33.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 4. Permit Changes and Denials
§66270.40. Transfer of Permits.
Note     •     History

(a) A permit may be transferred by the permittee to a new owner or operator only if the permit has been modified or revoked and reissued (under section 66270.40(b) or 66270.41(b)(2)) to identify the new permittee and incorporate such other requirements as may be necessary under the appropriate statute or regulation.
(b) Changes in the ownership or operational control of a facility may be made as a Class I modification with prior written approval of the Department in accordance with section 66270.42. The new owner or operator shall submit a revised permit application no later than 90 days prior to the scheduled change. A written agreement containing a specific date for transfer of permit responsibility, coverage, and liability between the current and new permittees shall also be submitted to the Department. When a transfer of ownership or operational control occurs, the old owner or operator shall comply with the requirements of article 8 of chapter 14 of this division (Financial Requirements) until the new owner or operator has demonstrated to the Department that he or she is complying with the requirements of that article. The new owner or operator shall demonstrate compliance with article 8 requirements within six months of the date of the change of ownership or operational control of the facility. Upon demonstration to the Department by the new owner or operator of compliance with article 8, the Department shall notify the old owner or operator in writing that he or she no longer needs to comply with article 8 as of the date of demonstration.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.40.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.41. Modification or Revocation and Reissuance of Permits.
Note     •     History

When the Department receives any information (for example, inspects the facility, receives information submitted by the permittee as required in the permit (see section 66270.30), receives a request for revocation and reissuance under section 66271.4, or conducts a review of the permit file) the Department may determine whether or not one or more of the causes listed in subsections (a) and (b) of this section for modification, or revocation and reissuance or both exist. If cause exists, the Department may modify or revoke and reissue the permit accordingly, subject to the limitations of subsection (c) of this section, and may request an updated application if necessary. When a permit is modified, only the conditions subject to modification are reopened. If a permit is revoked and reissued, the entire permit is reopened and subject to revision and the permit is reissued for a new term. (See section 66271.4(c)(2).) If cause does not exist under this section, the Department shall not modify or revoke and reissue the permit, except on request of the permittee or as provided in subsection (a)(5) of this section. If a permit modification is requested by the permittee, the Department shall approve or deny the request according to the procedures of section 66270.42. Otherwise, a draft permit shall be prepared and other procedures in chapter 21 shall be followed.
(a) Causes for modification. The following are causes for modification, but not revocation and reissuance, of permits; the following may be causes for revocation and reissuance, as well as modification, when the permittee requests or agrees.
(1) Alterations. There are material and substantial alterations or additions to the permitted facility or activity which occurred after permit issuance which justify the application of permit conditions that are different or absent in the existing permit.
(2) Information. The Department has received information. Permits may be modified during their terms for this cause only if the information was not available at the time of permit issuance (other than revised regulations, guidance, or test methods) and would have justified the application of different permit conditions at the time of issuance.
(3) New statutory requirements or regulations. The standards or regulations on which the permit was based have been changed by statute, through promulgation of new or amended standards or regulations, or by judicial decision after the permit was issued.
(4) Compliance schedules. The Department determines good cause exists for modification of a compliance schedule, such as an act of God, strike, flood, or materials shortage or other events over which the permittee has little or no control and for which there is no reasonably available remedy.
(5) Notwithstanding any other provision in this section, when a permit is reviewed by the Department, the Department shall modify the permit as necessary to assure that the facility is in compliance with the currently applicable requirements in chapters 10 through 16, 20 and 21 of this division and as necessary to protect human health and the environment.
(b) Causes for modification or revocation and reissuance. The following are causes to modify or, alternatively, revoke and reissue a permit.
(1) Cause exists for termination under section 66270.43, and the Department determines that modification or revocation and reissuance is appropriate.
(2) The Department has received notification (as required in the permit, see section 66270.30(l)(3)) of a proposed transfer of the permit.
(c) Facility siting. Suitability of the facility location will not be considered at the time of permit modification or revocation and reissuance unless new information or standards indicate that a threat to human health or the environmental exists which was unknown at the time of permit issuance.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.41.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.42. Permit Modification at the Request of the Permittee.
Note     •     History

(a) Class 1 modifications.
(1) Except as provided in subsection (a)(2) of this section, the permittee may put into effect Class 1 modifications listed in Appendix I of this chapter under the following conditions.
(A) The permittee shall notify the Department concerning the modification by certified mail or other means that establish proof of delivery at least 30 calendar days before the change is put into effect. This notice shall specify the changes being made to permit conditions or supporting documents referenced by the permit and shall explain why they are necessary. Along with the notice, the permittee shall provide the applicable information required by sections 66270.10, 66270.13 through 66270.23, 66270.62, and 66270.63. With written authorization from the Department, the change may be put into effect earlier than 30 calendar days after the Department is notified concerning the modification.
(B) The permittee shall send a notice of the modification to all persons on the facility mailing list, maintained by the Department in accordance with section 66271.9(c)(1)(D), and the appropriate units of State and local government, as specified in section 66271.9(c)(1)(E). The notification shall include the information specified in subsections 66271.9(d)(1)(A) through 66271.9(d)(1)(D). The information shall also include a description of the proposed changes at the facility, and the name and telephone number of a Department contact person. This notification shall be made within 90 calendar days after the change is put into effect. For the Class 1 modifications that require prior Department approval, the notification shall be made within 7 days after the permittee notifies the Department and shall also be published in a major local newspaper of general circulation.
(C) Any person may request the Department to review, and the Department may for cause reject, any Class 1 modification. The Department shall inform the permittee by certified mail that a Class 1 modification has been rejected, explaining the reasons for the rejection. If a Class 1 modification has been rejected, the permittee shall comply with the original permit conditions.
(D) Causes for rejection of a Class 1 permit modification by the Department include:
1. the requested modification does not qualify as a Class 1 permit modification;
2. the modification request does not contain sufficient information for the Department to determine the appropriate permit modification classification or to determine the actions necessary to comply with the California Environmental Quality Act (CEQA) with respect to the requested modification, or the modification is otherwise incomplete;
3. the requested modification does not comply with the appropriate requirements of chapter 14 of this division or other applicable requirements; or
4. the conditions of the modification fail to protect human health and the environment.
(2) Class 1 permit modifications identified in Appendix I of this chapter by an asterisk and Class 1 modifications not exempt from the requirements of CEQA under Title 14, CCR section 15061 may be made only with the prior written approval of the Department.
(3) For a Class 1 permit modification, the permittee may elect to follow the procedures in section 66270.42(b) for Class 2 modifications instead of the Class 1 procedures. The permittee shall inform the Department of this decision in the notice required in section 66270.42(b)(1).
(b) Class 2 modifications.
(1) For Class 2 modifications, listed in Appendix I of this chapter, the permittee shall submit a modification request to the Department that:
(A) describes the exact change to be made to the permit conditions and supporting documents referenced by the permit;
(B) identifies that the modification is a Class 2 modification;
(C) explains why the modification is needed; and
(D) provides the applicable information required by sections 66270.10, 66270.13 through 66270.23, 66270.62, and 66270.63.
(2) The permittee shall send a notice of the modification request to all persons on the facility mailing list maintained by the Department and to the appropriate units of State and local government as specified in section 66271.9(c)(1)(E) and shall publish this notice in a major local newspaper of general circulation. This notice shall be mailed and published within 7 days before or after the date of submission of the modification request, and the permittee shall provide to the Department evidence of the mailing and publication. The notice shall include:
(A) announcement of a 60-day comment period, in accordance with section 66270.42(b)(5), and the name and address of a Department contact to whom comments shall be sent;
(B) announcement of the date, time and place for a public meeting held in accordance with section 66270.42(b)(4);
(C) name and telephone number of the permittee's contact person;
(D) name and telephone number of a Department contact person;
(E) location where copies of the modification request and any supporting documents can be viewed and copied; and
(F) the following statement: “The permittee's compliance history during the life of the permit being modified is available from the Department contact person.”
(G) a description of the proposed changes at the facility.
(3) The permittee shall place a copy of the permit modification request and supporting documents in a location accessible to the public in the vicinity of the permitted facility.
(4) The permittee shall hold a public meeting no earlier than 15 days after the publication of the notice required in subsection (b)(2) of this section and no later than 15 days before the close of the 60-day comment period. The meeting shall be held to the extent practicable in the vicinity of the permitted facility.
(5) The public shall be provided 60 days to comment on the modification request. The comment period shall begin on the date the permittee publishes the notice in the local newspaper. Comments shall be submitted to the Department contact identified in the public notice.
(6)(A) After the conclusion of the 60-day comment period, the Department shall take one of the following actions:
1. approve the modification request, with or without changes, and modify the permit accordingly, after the applicable requirements of CEQA have been satisfied;
2. deny the request;
3. determine that the modification request shall follow the procedures in section 66270.42(c) for Class 3 modifications for one of the following reasons:
a. there is significant public concern about the proposed modification; or
b. the complex nature of the change requires the more extensive procedures of Class 3; or
4. approve the request, with or without changes, as a temporary authorization having a term of up to 180 days, after the applicable requirements of CEQA have been satisfied.
(B) For the purposes of complying with the requirements of CEQA, the Class 2 permit modification shall not be considered complete until the close of the 60-day comment period and receipt by the Department from the permittee of the information necessary to address the public comments submitted during the 60-day comment period and other information required by this section.
(C) In case of a temporary authorization under subsection (b)(6)(A) 4. of this section, if the Department has not made a final approval or denial of the modification request by the end of the temporary authorization, the permittee shall comply with the original permit conditions.
(D) In making a decision to approve or deny a modification request, including a decision to issue a temporary authorization or to reclassify a modification as a Class 3, the Department shall consider all written comments submitted to the Department during the public comment period and shall respond in writing to all significant comments in its decision.
(7) The Department may deny or change the terms of a Class 2 permit modification request under subsection (b)(6)(A) of this section for the following reasons:
(A) the modification request is incomplete;
(B) the requested modification does not comply with the appropriate requirements of chapter 14 of this division or other applicable requirements; or
(C) the conditions of the modification fail to protect human health and the environment.
(8) Except for construction of new hazardous waste management units, the permittee may perform any construction associated with a Class 2 permit modification request beginning 60 days after the submission of the request unless the Department establishes a later date for commencing construction and informs the permittee in writing before day 60. Construction performed pursuant to this subsection shall not affect the Department's authority to approve or disapprove a permit modification request for the subject hazardous waste management activity.
(c) Class 3 modifications.
(1) For Class 3 modifications listed in Appendix I of this chapter, the permittee shall submit a modification request to the Department that:
(A) describes the exact change to be made to the permit conditions and supporting documents referenced by the permit;
(B) identifies that the modification is a Class 3 modification;
(C) explains why the modification is needed; and
(D) provides the applicable information required by sections 66270.10, 66270.13 through 66270.23, 66270.62, 66270.63 and 66270.66.
(2) The permittee shall send a notice of the modification request to all persons on the facility mailing list maintained by the Department and to the appropriate units of State and local government as specified in section 66271.9(c)(1)(E) and shall publish this notice in a major local newspaper of general circulation. This notice shall be mailed and published within seven days before or after the date of submission of the modification request, and the permittee shall provide to the Department evidence of the mailing and publication. The notice shall include:
(A) announcement of a 60-day comment period, and a name and address of a Department contact to whom comments shall be sent;
(B) announcement of the date, time, and place for a public meeting on the modification request, in accordance with section 66270.42(c)(4);
(C) name and telephone number of the permittee's contact person;
(D) name and telephone number of a Department contact person;
(E) location where copies of the modification request and any supporting documents can be viewed and copied; and
(F) the following statement: “The permittee's compliance history during the life of the permit being modified is available from the Department contact person.”
(3) The permittee shall place a copy of the permit modification request and supporting documents in a location accessible to the public in the vicinity of the permitted facility.
(4) The permittee shall hold a public meeting no earlier.than 15 days after the publication of the notice required in subsection (c)(2) of this section and no later than 15 days before the close of the 60-day comment period. The meeting shall be held to the extent practicable in the vicinity of the permitted facility.
(5) The public shall be provided at least 60 days to comment on the modification request. The comment period shall begin on the date the permittee publishes the notice in the local newspaper. Comments shall be submitted to the Department contact identified in the notice.
(6) After the conclusion of the 60-day comment period, the Department shall grant or deny the permit modification request according to the permit modification procedures of chapter 21 of this division. In addition, the Director shall consider and respond to all significant written comments received during the 60-day comment period. For the purposes of complying with the requirements of CEQA, the Class 3 permit modification shall not be considered complete until the close of the 60-day comment period and receipt by the Department from the permittee of the information necessary to address the public comments submitted during the 60-day comment period and other information required by this section.
(d) Other modifications.
(1) In the case of modifications not explicitly listed in Appendix I of this chapter, the permittee may submit a Class 3 modification request to the Department, or the permittee may request a determination by the Department that the modification should be reviewed and approved as a Class 1 or Class 2 modification. If the permittee requests that the modification be classified as a Class 1 or 2 modification, the permittee shall provide the Department with the necessary information to support the requested classification.
(2) The Department shall make the determination described in subsection (d)(1) of this section as promptly as practicable. In determining the appropriate class for a specific modification, the Department shall consider the similarity of the modification to other modifications codified in Appendix I of this chapter and the following criteria:
(A) Class 1 modifications apply to minor changes that keep the permit current with routine changes to the facility or its operation. These changes do not substantially alter the permit conditions or reduce the capacity of the facility to protect human health or the environment. In the case of Class 1 modifications, the Department may require prior approval.
(B) Class 2 modifications apply to changes that are necessary to enable a permittee to respond, in a timely manner, to:
1. common variations in the types and quantities of the wastes managed under the facility permit,
2. technological advancements, and
3. changes necessary to comply with new regulations, where these changes can be implemented without substantially changing design specifications or management practices in the permit.
(C) Class 3 modifications substantially alter the facility or its operation.
(e) Temporary authorizations.
(1) Upon request of the permittee, the Department may, without prior public notice and comment, grant the permittee a temporary authorization in accordance with this subsection. Temporary authorizations shall have a term of not more than 180 days.
(2)(A) The permittee may request a temporary authorization for:
1. any Class 2 modification meeting the criteria in subsection (e)(3)(C) of this section, and
2. any Class 3 modification that meets the criteria in subsection (3)(C) l. or 2. of this section; or that meets the criteria in subsections (3)(C) 3. through 5. of this section and provides improved management or treatment of a hazardous waste already listed in the facility permit.
(B) The temporary authorization request shall include:
1. a description of the activities to be conducted under the temporary authorization;
2. an explanation of why the temporary authorization is necessary; and
3. sufficient information to ensure compliance with the standards of chapter 14 of this division.
(C) The permittee shall send a notice about the temporary authorization request to all persons on the facility mailing list maintained by the Department and to appropriate units of State and local governments as specified in section 66271.9(c)(1)(E). The permittee shall also publish this notice in a major local newspaper of general circulation. This notification shall be made within seven days of submission of the authorization request.
(3) The Department shall approve or deny the temporary authorization as quickly as practical. To issue a temporary authorization, the Department shall find:
(A) the authorized activities are in compliance with the standards of chapter 14 of this division;
(B) the temporary authorization is exempt from the requirements of CEQA under Title 14, CCR section 15061, or the applicable requirements of CEQA have been met with respect to the temporary authorization;
(C) the temporary authorization is necessary to achieve one of the following objectives before action is likely to be taken on a modification request:
1. to facilitate timely implementation of closure or corrective action activities;
2. to allow treatment or storage in tanks, containers, or in containment buildings in accordance with chapter 18 of this division;
3. to prevent disruption of ongoing waste management activities;
4. to enable the permittee to respond to sudden changes in the types or quantities of the wastes managed under the facility permit; or
5. to facilitate other changes to protect human health and the environment.
(4) A temporary authorization may be reissued for one additional term of up to 180 days provided that:
(A) the permittee has requested a Class 2 or 3 permit modification for the activity covered in the temporary authorization;
(B) the requirements of CEQA have been met with respect to the reissued temporary authorization; and
(C) 1. the reissued temporary authorization constitutes the Department's decision on a Class 2 permit modification in accordance with subsection (b)(6)(A) or (B) 4. of this section, or
2. the Department determines that the reissued temporary authorization involving a Class 3 permit modification request is warranted to allow the authorized activities to continue while the modification procedures of subsection (c) of this section are conducted.
(f) Public notice and appeals of permit modification and temporary authorization decisions.
(1) The Department shall notify persons on the facility mailing list and appropriate units of State and local government within 10 days of any decision under this section to grant or deny a Class 2 or 3 permit modification request or temporary authorization. This notice shall include reference to the procedures for appealing a decision on a permit modification or temporary authorization.
(2) The Department's decision to grant or deny a Class 2 or 3 permit modification or temporary authorization request under this section may be appealed under the permit appeal procedures of section 66271.18.
(g) Newly regulated wastes and units.
(1) The permittee is authorized to continue to manage wastes listed or identified as hazardous under chapter 11 of this division, or to continue to manage hazardous waste in units newly regulated as hazardous waste management units, if:
(A) The unit was in existence as a hazardous waste facility with respect to the newly listed or characterized waste or newly regulated waste management unit on the effective date of the final rule listing or identifying the waste, or regulating the unit;
(B) The permittee submits a Class 1 modification request on or before the date on which the waste or unit becomes subject to the new requirements and receives Department approval of the Class 1 permit modification request. If the Department does not approve the Class 1 modification request by the date on which the waste or unit becomes subject to the new requirements, the permittee shall discontinue managing the waste or unit until Department approval of the Class 1 modification request is received;
(C) The permittee is in compliance with the applicable standards of chapters 15 and 16 of this division;
(D) The permittee, in the case of Classes 2 and 3 modifications, also submits a complete permit modification request within 180 days after the effective date of the rule listing or identifying the waste, or subjecting the unit to management standards found in the Health and Safety Code, division 20, chapter 6.5, article 9, section 25100 et seq.; and
(E) In the case of land disposal units, the permittee certifies that each such unit is in compliance with all applicable ground-water monitoring and financial responsibility requirements contained in chapter 15 of this division on the date 12 months after the effective date of the rule identifying or listing the waste as hazardous, or regulating the unit as a hazardous waste management unit. If the owner or operator fails to certify compliance with these requirements, the facility shall lose authority to operate under this section.
(2) New wastes or units added to a facility's permit under this subsection do not constitute expansions for the purpose of the 25 percent capacity expansion limit for Class 2 modifications.
(h) Permit modification list.
The Department shall maintain a list of all approved permit modifications and shall publish a newspaper notice statewide once a year that an updated list is available for review.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25186 and 58012, Health and Safety Code; 40 CFR Section 270.42.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (e)(3)(C)2 and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (e)(3)(C)2. and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (e)(3)(C)2. and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (e)(3)(C)2. and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. Amendment  of subsections (c)(1)(D) and (g)-(g)(1)(E) and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
8. Change without regulatory effect amending subsection (e)(3)(C)2. filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
9. Amendment of subsection (a)(1)(B) and new subsection (b)(2)(G) filed 4-4-2002; operative 5-4-2002 (Register 2002, No. 14).
§66270.42.5. Permit Modifications for Non-RCRA Activities.
Note     •     History

(a) This section applies only to permit modifications involving activities that are not subject to permitting requirements under the federal act.
(b) The following types of changes to a facility's authorization are not subject to the permit modification approval or procedural requirements of sections 66270.41 or 66270.42. Except as otherwise specified below, the owner or operator of the facility shall notify the Department in writing of any change within ten (10) calendar days after the change is put into effect:
(1) changes in the expiration date of the permit to allow earlier permit termination, with prior written approval of the Department;
(2) changes to the closure plan to reflect a decrease in the estimated maximum extent of operations or maximum inventory of waste on site at any time during the active life of the facility, with prior written approval from the Department;
(3) correction of non-substantive typographical errors;
(4) a change in the legal name of the facility that does not include changes in ownership or operational control of the facility;
(5) informational changes that do not impact the operation of the facility;
(6) changes in frequency of or procedures for monitoring, reporting, sampling or maintenance activities that provide for more frequent monitoring, reporting, sampling or maintenance;
(7) equipment replacement or upgrading with functionally equivalent components (other than the structural unit itself), as long as the functional capacity of the unit is not increased or the unit is not being moved to another location, with a written notice to the Department at least 30 days prior to the intended change, or such shorter time frame as may be approved by the Department;
(8) changes to waste sampling or analysis methods to conform with the Department's guidance or regulations;
(9) changes to analytical quality assurance/control plan to conform to the Department's guidance or regulations;
(10) changes in procedures for maintaining the operating record;
(11) changes in frequency or content of inspection schedules that provide for more frequent or more thorough inspections;
(12) changes in the training plan that increase the amount or type of training given to employees;
(13) changes in emergency procedures that maintain or improve the effectiveness of the response;
(14) relocation of emergency equipment;
(15) changes to structures or equipment within the boundary of a permitted unit, but which the owner or operator certifies as not actively related to the storage, treatment, disposal or secondary containment of hazardous waste, with a written notice to the Department at least 30 days prior to the intended change, or such shorter time frame as may be approved by the Department;
(16) changes to a permit required by another regulatory agency, if the activities affected by the permit are not directly related to hazardous waste management, and do not have an impact on the permitted hazardous waste management activity, may be made without notifying the Department;
(17) For changes to a permit required by another regulatory agency, if the activities affected by the permit are related directly to hazardous waste management, but are not subject to the Department's permitting authority, they may be made with a written notice to DTSC at least 30 days prior to the intended change.
(c) The following changes to a facility's authorization require compliance with the Class 1* permit modification procedures (Class 1 modification procedures and prior written Departmental approval) specified in subsection (a) of section 66270.42:
(1) changes in ownership or operational control of a facility, provided the procedures of section 66270.40(b) are followed;
(2) changes to waste sampling or analysis methods that are other than those set forth in the Department's guidance or regulations;
(3) changes in interim compliance dates, with prior written approval of the Department;
(4) changes in procedures for decontamination of equipment or structures, with prior written approval of the Department;
(5) changes in the closure schedule for any unit, changes in the final closure schedule for the facility, or extension of the closure period, with prior written approval of the Department;
(6) changes to analytical quality assurance/control plan other than to conform to the Department's guidance or regulations;
(7) removal of equipment from the emergency equipment list;
(8) changes to the closure plan to reflect an increase in the estimated maximum extent of operations or maximum inventory of waste on site at any time during the active life of the facility;
(d) The following changes to a facility's authorization require compliance with the Class 2 permit modification procedures specified in subsection (b) of section 66270.42:
(1) physical and operational changes to a facility except as specified in subsections (b) or (c) of this section;
(2) changes in the approved closure plan resulting from unexpected events occurring during closure, unless otherwise addressed in this section;
(3) changes in frequency of, or procedures for, monitoring, reporting, sampling or maintenance activities that provide for less frequent monitoring, reporting, sampling or maintenance;
(4) changes in frequency or content of inspection schedules that provide for less frequent or less thorough inspections;
(5) changes in the training plan that decrease the type or amount of training given to employees;
(6) changes in emergency procedures that reduce the effectiveness of the response;
(7) changes in the expiration date of the permit to allow later permit termination. 
(8) permit modifications that are designated in section 66270.42(d)(2)(C) or Appendix I of this Article as Class 3 modifications, but are determined by the Department, on a case-by-case basis, to have no significant potential for environmental concerns or significant public interest. If the Department determines, based on the nature of the proposed modification, the level of public interest, or other factors, that the modification shall be subject to the Class 3 permit modification procedures specified in section 66270.42(c), the modification shall be subject to the Class 3 permit modification procedures specified in section 66270.42(c).
(e) Notwithstanding subsections (b), (c) and (d) of this section, if the Department determines, on a case-by-case basis, that a proposed modification meets the criteria specified in section 66270.42(b)(6)(A)3, the modification shall be subject to the Class 3 permit modification procedures specified in section 66270.42(c).
(f) For changes not specifically addressed in this section, a facility owner/operator may propose a classification for the desired modification(s). A written proposal shall be made to the Department, and shall include the rationale behind the proposed classification.
(g) The Department may grant a temporary authorization pursuant to the procedures set forth in section 66270.42(e) for a Class 2 or Class 3 modification that is proposed for the purpose of effecting environmentally-beneficial changes to a facility.
(h) Notwithstanding section 66270.72, the owner or operator of an interim status facility may, for activities that are not subject to permitting or interim status requirements under the federal act, notify or request any modification to the facility pursuant to this Article.
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25150 and 25200.15.
HISTORY

1. New section filed 4-4-2002; operative 5-4-2002 (Register 2002, No. 14).
2. Change without regulatory effect amending subsection (d)(4) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66270.43. Revocation and Denial of Permits.
Note     •     History

(a) The Department may deny or revoke a permit for any cause specified in Health and Safety Code section 25186.
(b) The following are additional causes for revoking a permit during its term, or for denying a permit renewal application:
(1) noncompliance by the permittee with any condition of the permit;
(2) the permittee's failure in the application or during the permit issuance process to disclose fully all relevant facts, or the permittee's misrepresentation of any relevant facts at any time; or
(3) a determination that the permitted activity endangers human health or the environment and can only be regulated to acceptable levels by permit denial, modification, or revocation.
(c) The Department shall follow the applicable procedures in chapter 20 or 21 of this division in revoking or denying any permit under this section.
NOTE

Authority cited: Sections  25150 , 25159 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25186 and 25186.1, Health and Safety Code; 40 CFR Section 270.43.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section heading, subsections (a), (b), (b)(3) and (c) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
Article 5. Expiration and Continuation of Permits
§66270.50. Duration of Permits.
Note     •     History

(a) Permits shall be effective for a fixed term not to exceed 10 years.
(b) Except as provided in section 66270.51, the term of a permit shall not be extended by modification beyond the maximum duration specified in this section.
(c) When necessary to protect human health and safety or the environment, the Department shall issue a permit for a duration that is less than the full allowable term under this section.
(d) Each permit for a land disposal facility shall be reviewed by the Department five years after the date of permit issuance or reissuance and shall be modified as necessary, as provided in section 66270.41.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.50.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.51. Continuation of Expiring Permits.
Note     •     History

(a) The conditions of an expired permit continue in force under chapter 6.5 of division 20 of the Health and Safety Code until the effective date of a new permit (see section 66271.14) if:
(1) the permittee has submitted a timely application under section 66270.14 and the applicable sections in section 66270.15 through section 66270.23 which is a complete (under section 66270.10(c)) application for a new permit; and
(2) the Department through no fault of the permittee, does not issue a new permit with an effective date under section 66271.14 on or before the expiration date of the previous permit (for example, when issuance is impracticable due to time or resource constraints).
(b) Effect. Permits continued under this section remain fully effective and enforceable.
(c) Enforcement. When the permittee is not in compliance with the conditions of the expiring or expired permit, the Department may choose to do any or all of the following:
(1) initiate enforcement action based upon the permit which has been continued;
(2) issue a notice of intent to deny the new permit under section 66271.5. If the permit is denied, the owner or operator would then be required to cease the activities authorized by the. continued permit or be subject to enforcement action for operating without a permit;
(3) issue a new permit under chapter 21 of this division with appropriate conditions; or
(4) take other actions authorized by these regulations.
(d) If a permittee has submitted a timely and complete application under applicable State law and regulations, the terms and conditions of an USEPA-issued RCRA permit continue in force beyond the expiration date of the USEPA-issued RCRA permit, but only until the effective date of the Department's issuance or denial of a State permit.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.51.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 6. Special Forms of Permits
§66270.60. Permits by Rule.
Note     •     History

(a) Notwithstanding any other provision of this chapter, all variances previously issued to owners or operators of hazardous waste management units or facilities for treatment activities which are eligible for permit by rule are revoked effective May 1, 1992. This revocation date does not apply to temporary household hazardous waste collection facilities or K-12 schools hazardous waste collection, consolidation, and accumulation facilities (SHWCCAF) eligible for operation pursuant to article 5 of chapter 45 (commencing with section 67450.40). The owner or operator of a SHWCCAF operating under a variance issued by the department may continue operation under the conditions of the variance until the variance expires.
(b) No TTU owner or operator authorized to treat hazardous waste pursuant to a permit by rule before January 1, 1992 shall be deemed to have a permit after May 1, 1992 unless the TTU owner or operator submits a notification as specified in section 67450.2(a) and receives an acknowledgement from the Department authorizing operation of the TTU.
(c) An owner or operator who has been issued a formal hazardous waste facility permit pursuant to Health and Safety Code section 25200, or granted interim status pursuant to Health and Safety Code section 25200.5 for a unit or facility which is otherwise eligible for operation pursuant to a permit by rule may convert to operation pursuant to a permit by rule as follows:
(1) An owner or operator who has been issued a formal hazardous waste facility permit shall submit a written request for a permit modification to the Department pursuant to section 66271.4. All requirements established in the hazardous waste facility permit shall remain in effect pending completion of the modification proceedings.
(2) An owner or operator who has been granted interim status or another grant of authorization other than those specified in paragraph (3), and who intends to operate under a permit by rule shall advise the Department, in writing, of intent to operate pursuant to a permit by rule, request withdrawal of a submitted Part B application, if applicable, and submit the notification specified in subsection (d)(6)(A) of this section or section 67450.2(b)(2), whichever is applicable to the CUPA or authorized agency.
(d) Except as provided in Section 67450.9, the following shall be deemed to have a permit if the conditions listed are met:
(1)  The owner or operator of a publicly owned treatment works (POTW). The owner or operator of a POTW which accepts hazardous waste for treatment, shall be deemed to have a permit if the requirements of subsections (d)(1)(A) through (d)(1)(E) of this section are met:
(A) The owner or operator shall have a National Pollutant Discharge Elimination System (NPDES) permit and waste discharge requirements issued by a Regional Water Quality Control Board;
(B) The owner or operator shall comply with the conditions of the NPDES permit and waste discharge requirements;
(C) The owner or operator shall comply with the following regulations:
1. Section 66264.11, Identification Number;
2. Section 66264.71, Use of Manifest System;
3. Section 66264.72, Manifest Discrepancies;
4. Section 66264.73(a) and (b)(1), Operating Record;
5. Section 66264.75, Annual Report; and
6. Section 66264.76, Unmanifested Waste Report,
7. For NPDES permits issued after November 8, 1984, section 66264.801.
(D) The waste shall meet all Federal, State, and local pretreatment requirements which would be applicable to the waste if it were being discharged into the POTW through a sewer, pipe, or similar conveyance;
(E) Hazardous wastes generated by a POTW shall be managed in compliance with the requirements of this chapter.
(2) The owner or operator of an ocean disposal barge or vessel.  The owner or operator of a barge or other vessel which accepts hazardous waste for ocean disposal, shall be deemed to have a permit if the requirements of subsections (d)(2)(A) through (d)(2)(C) of this section are met:
(A) The owner or operator shall have a permit for ocean dumping issued under Title 40, CFR, Part 220 (Ocean Dumping, authorized by the Federal Marine Protection, Research, and Sanctuaries Act, Title 33, U.S.C., Section 1420 et seq.);
(B) The owner or operator shall comply with the conditions of that permit; and
(C) The owner or operator shall comply with the regulations specified in subsection (d)(1)(C) of this section.
(3) The owner or operator of a Transportable Treatment Unit (TTU). The owner or operator of a TTU that treats hazardous waste shall be deemed to have a permit when the requirements of section 67450.2(a) and 67450.3(a)(3) are met and the Department acknowledges authorization of the TTU pursuant to sections 67450.2(a)(3) and 67450.3(b).
(4) The owner or operator of a Fixed Treatment Unit (FTU). The owner or operator of a FTU that treats hazardous waste shall be deemed to have a permit when the requirements of section 67450.2(b) are met.
(5) The operator of a temporary household hazardous waste collection facility (THHWCF). The operator of a THHWCF shall be deemed to have a permit when the operator complies with subsections (d)(5)(A) and (d)(5)(B) of this section. For purposes of this section, the public agency signing the notification required by subsection (d)(5)(A) of this section shall be deemed to have the permit to operate the THHWCF and shall assume all the responsibilities of an operator as specified in the sections applicable to THHWCFs. A public agency operating a THHWCF may enter into a written agreement with a person (contractor) to conduct the operations at the facility. The public agency shall be deemed the operator for the purposes of Chapters 20 and 45, and the other party to the agreement shall be deemed the contractor for the purposes of Chapters 20 and 45.
(A) The operator of a THHWCF shall submit, in person or by certified mail with return receipt requested, a Temporary Household Hazardous Waste Collection Facility Permit by Rule Notification (DTSC Form 8464) (9/94) to CUPA or authorized agency. Each notification may address all THHWCF events to be held at a given location during a single reporting period (January 1 through December 31). If significant changes to the notification information occur during the reporting period, an amended notification must be submitted immediately. The notification shall be submitted a minimum of 45 days in advance of the date the first session of the THHWCF commences operation. Each notification required by this subsection shall be completed, dated and signed according to the requirements of Section 66270.11 as those requirements apply to permit applications and shall be submitted with all of the following:
1. the name, mailing address and telephone number of the operator;
2. the facility name, address or legal description of the facility location and identification number issued by the Department;
3. an indication whether the facility will accept wastes from small quantity commercial sources;
4. a list of the days and hours of operation including alternate dates as appropriate;
5. the name, address and telephone number of the contact person for the THHWCF;
6. a listing of the local authorities that have been notified of the intended operation;
7. a listing of all local permits obtained for the operation of the facility;
8. an indication of an agreement between the property owner and facility operator allowing operation of the THHWCF; and
(B) Each THHWCF operator shall comply with the requirements specified in Section 67450.4 between the time the THHWCF session commences and the time the requirements of Section 67450.4(f) are met.
(6) The operator of a permanent household hazardous waste collection facility (PHHWCF). The operator of a PHHWCF shall be deemed to have a permit when the operator complies with subsections (d)(6)(A) and (d)(6)(C) of this section and receives an acknowledgement from CUPA or authorized agency authorizing operation of the PHHWCF pursuant to subsection (d)(6)(B) of this section. For purposes of Chapter 20 commencing with section 66270.1, and Chapter 45 commencing with section 67450.1, the public agency signing the notification required by subparagraph (A) of this paragraph shall be deemed to have the permit to operate the PHHWCF and the public agency or its contractor who conducts the operation of the PHHWCF shall assume all the responsibilities of an operator as specified in sections 67450.25 and 67450.30. A public agency operating a PHHWCF may enter into a written agreement with a person to conduct the operations at the facility. In such instances, the public agency shall be deemed the operator for the purposes of Chapters 20 and 45, and the other party to the agreement shall be deemed the contractor for the purposes of Chapters 20 and 45.
(A) The operator of a PHHWCF shall submit, in person or by certified mail with return receipt requested, a Permanent Household Hazardous Waste Collection Facility Permit by Rule Notification (DTSC Form 1094B) (11/08) to CUPA or authorized agency. The notification shall be submitted a minimum of 45 days in advance of the planned commencement of operation except as provided in subsections (c)(2) and (c)(3) of this section. Each notification required by this subsection shall be completed, dated and signed according to the requirements of section 66270.11 as those requirements apply to permit applications and shall be submitted with all of the following:
1. the name, mailing address and telephone number of the operator;
2. the facility name, address, legal description of the facility location, and identification number issued by the Department;
3. the contractor's name, address, telephone number and name of the contact person, if applicable;
4. a listing of all local and state permits required for the operation of the facility, and an indication of whether those permits have been obtained;
5. a copy of a written agreement between the property owner and facility operator, if applicable, allowing operation of the PHHWCF;
6. an indication whether the facility will accept wastes from conditionally exempt small quantity generators;
7. an identification of the types of wastes that will be consolidated at the PHHWCF, if applicable;
8. an estimate of the total quantity of waste expected to be brought to the PHHWCF in an average month;
9. the design capacity of the storage units at the PHHWCF;
10. the operating schedule of the PHHWCF;
11. a narrative description of the facility and its operation, including a description of the length of time waste will be held at the facility;
12. a plot plan of the facility showing the general perimeters of the facility, traffic patterns, and all hazardous waste management units, and including the information specified in sections 66270.14(b)(18)(A), (F), (G), (H), (J), and (L). (This requirement may be satisfied by submitting a hand drawn schematic.)
(B) CUPA or authorized agency within thirty (30) calendar days of receipt of a notification submitted pursuant to subsection (d)(6)(A) of this section, shall acknowledge in writing receipt of the notification. CUPA or authorized agency shall, in conjunction with the acknowledgement, authorize operation of the PHHWCF subject to the requirements and conditions of section 67450.25; deny authorization to operate under a permit by rule pursuant to section 67450.9(a); or notify the operator that the notification is incomplete or inaccurate and inform the operator of the additional information or correction(s) needed. CUPA or authorized agency shall deny the notification of any operator who fails to provide the information or correction(s) requested within ten (10) calendar days of receipt of the acknowledgement. Upon good cause shown by the operator, CUPA or authorized agency shall grant the operator additional time to provide the information or correction(s) requested. An operator whose notification is rejected may submit a new or revised notification.
(C) Fortyfive (45) calendar days prior to implementing any change in the operation of the facility as described in the notification required by paragraph (A) of this subsection, the operator shall send a revised notification (DTSC Form 1094B) (11/08) to CUPA or authorized agency. CUPA or authorized agency shall notify the operator if the information is incomplete or inaccurate within thirty (30) calendar days of receipt of the revised notification. Upon good cause shown by the operator, CUPA or authorized agency shall allow the operator to submit the revised notification within a shorter period of time prior to implementing the change.
(D) CUPA or authorized agency, within thirty (30) calendar days of receipt of a revised notification submitted pursuant to subsection (d)(6)(C) of this section, shall acknowledge in writing receipt of the revised notification. CUPA or authorized agency shall, in conjunction with the acknowledgment, authorize continued operation of the PHHWCF subject to the requirements and conditions of section 67450.25; deny authorization to operate under a permit by rule pursuant to section 67450.9(a); or notify the operator that the revised notification is incomplete or inaccurate and inform the operator of the additional information or correction(s) needed. CUPA or authorized agency shall deny the revised notification of any operator who fails to provide the information or correction(s) requested within ten (10) calendar days of receipt of the acknowledgment. Upon good cause shown by the operator, CUPA or authorized agency shall grant the operator additional time to provide the information or correction(s) requested. An operator whose revised notification is rejected may submit a new revised notification.
(E) Each PHHWCF operator and contractor shall comply with the requirements specified in section 67450.25 between the time the PHHWCF commences operation and the time the requirements of section 66265.111 are met.
(7) The owner or operator of a K-12 schools hazardous waste collection, consolidation, and accumulation facility (SHWCCAF). The owner or operator of a SHWCCAF shall be deemed to have a permit when the requirements of section 67450.43 are met and the SHWCCAF receives an acknowledgement from the CUPA or authorized agency authorizing operation of the SHWCCAF pursuant to sections 67450.43(e) or (g).
(A) The owner or operator of a SHWCCAF operating under a variance issued by the department shall submit a notification of intent to operate as a SHWCCAF under permit by rule pursuant to section 67450.43 no later than 45 days prior to the expiration date of the variance. The owner or operator of a SHWCCAF operating under a variance issued by the department shall discontinue operation of the SHWCCAF after the expiration date of the variance unless authorization to operate under permit by rule is received pursuant to section 67450.43(e).
NOTE

Authority cited: Sections 25150, 25150.6, 25200, 25218.3(d) and 58012, Health and Safety Code. Reference: Sections 25150.6, 25159, 25159.5, 25200, 25218.2, 25218.3 and 25218.8, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
3. New subsections (d)(5)-(d)(5)(C) and renumbering with amendment of text and Note filed 4-12-93; operative 4-12-93 (Register 93, No. 16).
4. Amendment of section and Note filed 8-30-95 as an emergency; operative 8-30-95 (Register 95, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-28-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 4-25-96 as an emergency; operative 4-25-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-96 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 8-23-96 as an emergency; operative 8-23-96 (Register 96, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-96 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-23-96 order, including amendment of section, transmitted to OAL 9-27-96 and filed 11-7-96 (Register 96, No. 45).
9. Amendment filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
10. Amendment  refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
11. Amendment refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
12. Amendment refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
14. Amendment of subsection (a), new subsections (d)(7)-(d)(7)(A) and amendment of Note filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
15. Change without regulatory effect repealing subsection (d)(5)(A)9. filed 1-13-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 2).
16. Change without regulatory effect amending subsections (d)(6)(A) and (d)(6)(C) filed 1-6-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 2).
§66270.61. Emergency Permits.
Note     •     History

(a) Notwithstanding any other provision of this chapter or chapter 21 of this division, in the event the Department finds an imminent and substantial endangerment to human health or the environment the Department may issue a temporary emergency permit:
(1) to an otherwise non-permitted facility, including but not limited to, a facility operating pursuant to interim status or a variance, etc., to allow transfer, treatment, storage, or disposal of hazardous waste; or
(2) to a permitted facility to allow transfer, treatment, storage, or disposal of a hazardous waste not covered by an effective permit.
(b) This emergency permit:
(1) may be oral or written. If oral, it shall be followed in five days by a written emergency permit;
(2) shall not exceed 90 days in duration;
(3) shall clearly specify the hazardous wastes to be received, and the manner and location of their transfer, treatment, storage, or disposal;
(4) may be terminated by the Department at any time without process if it is determined that termination is appropriate to protect human health or the environment;
(5) shall be accompanied by a public notice published under section 66271.9 including:
(A) name and address of the office granting the emergency authorization;
(B) name and location of the permitted HWM facility;
(C) a brief description of the wastes involved;
(D) a brief description of the action authorized and reasons for authorizing it; and
(E) duration of the emergency permit; and
(6) shall incorporate, to the extent possible and not inconsistent with the emergency situation, all applicable requirements of this chapter and chapters 14 and 16 of this division.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.61.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22)
§66270.62. Hazardous Waste Incinerator Permits.
Note     •     History

(a) For the purposes of determining operational readiness following completion of physical construction, the Department shall establish permit conditions, including but not limited to allowable waste feeds and operating conditions, in the permit to a new hazardous waste incinerator. These permit conditions will be effective for the minimum time required to bring the incinerator to a point of operational readiness to conduct a trial burn, not to exceed 720 hours operating time for treatment of hazardous waste. The Department may extend the duration of this operational period once, for up to 720 additional hours, at the request of the applicant when good cause is shown. The permit may be modified to reflect the extension according to section 66270.42 of this chapter.
(1) Applicants shall submit a statement, with Part B of the permit application, which suggests the conditions necessary to operate in compliance with the performance standards of section 66264.343 of this division during this period. This statement must include, at a minimum, restrictions on waste constituents, waste feed rates and the operating parameters identified in section 66264.345. 
(2) The Department will review this statement and any other relevant information submitted with Part B of the permit application and specify requirements for this period sufficient to meet the performance standards of section 66264.343 of this division based on its engineering judgment.
(b) For the purposes of determining feasibility of compliance with the performance standards of section 66264.343 of this division and of determining adequate operating conditions under section 66264.345 of this division, the Department shall establish conditions in the permit for a new hazardous waste incinerator to be effective during the trial burn.
(1) Applicants shall propose a trial burn plan, prepared under subsection (b)(2) of this section with Part B of the permit application.
(2) The trial burn plan shall include the following information:
(A) an analysis of each waste or mixture of wastes to be burned which includes:
1. heat value of the waste in the form and composition in which it will be burned;
2. viscosity (if applicable), or description of the physical form of the waste;
3. an identification of any hazardous organic constituents listed in chapter 11, Appendix VIII of this division, which are present in the waste to be burned, except that the applicant need not analyze for constituents listed in chapter 11, Appendix VIII of this division which would reasonably not be expected to be found in the waste. The constituents excluded from analysis shall be identified, and the basis for the exclusion stated. The waste analysis shall rely on analytical techniques specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”, EPA publication SW-846, Third Edition and updates (incorporated by reference in section 66260.11), or other equivalent;
4. an approximate quantification of the hazardous constituents identified in the waste, within the precision produced by the analytical methods specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”, EPA publication SW-846, Third edition and updates (incorporated by reference in section 66260.11), or their equivalent;
(B) a detailed engineering description of the incinerator for which the permit is sought including:
1. manufacturer's name and model number of incinerator (if available);
2. type of incinerator;
3. linear dimensions of the incinerator unit including the cross sectional area of combustion chamber;
4. description of the auxiliary fuel system type/feed);
5. capacity of prime mover;
6. description of automatic waste feed cut-off system(s);
7. stack gas monitoring and pollution control equipment;
8. nozzle and burner design;
9. construction materials;
10. location and description of temperature, pressure, and flow indicating and control devices;
(C) a detailed description of sampling and monitoring procedures, including sampling and monitoring locations in the system, the equipment to be used, sampling and monitoring frequency, and planned analytical procedures for sample analysis;
(D) a detailed test schedule for each waste for which the trial burn is planned including date(s), duration, quantity of waste to be burned, and other factors relevant to the Department's decision under subsection (b)(5) of this section;
(E) a detailed test protocol, including, for each waste identified, the ranges of temperature, waste feed rate, combustion gas velocity, use of auxiliary fuel, and any other relevant parameters that will be varied to affect the destruction and removal efficiency of the incinerator;
(F) a description of, and planned operating conditions for, any emission control equipment which will be used;
(G) procedures for rapidly stopping waste feed, shutting down the incinerator, and controlling emissions in the event of an equipment malfunction;
(H) such other information as the Department reasonably finds necessary to determine whether to approve the trial burn plan in light of the purposes of this section and the criteria in subsection (b)(5) of this section.
(3) The Department, in reviewing the trial burn plan, shall evaluate the sufficiency of the information provided and may require the applicant to supplement this information, if necessary, to achieve the purposes of this section.
(4) Based on the waste analysis data in the trial burn plan, the Department will specify as trial Principal Organic Hazardous Constituents (POHCs), those constituents for which destruction and removal efficiencies shall be calculated during the trial burn. These trial POHCs will be specified by the Department based on its estimate of the difficulty of incineration of the constituents identified in the waste analysis, their concentration or mass in the waste feed, and, for wastes listed in chapter 11, article 4, of this division, the hazardous waste organic constituent or constituents identified in Appendix VII of that chapter as the basis for listing.
(5) The Department shall approve a trial burn plan if it finds that:
(A) the trial burn is likely to determine whether the incinerator performance standard required by section 66264.343 of this division can be met;
(B) the trial burn itself will not present an imminent hazard to human health or the environment;
(C) the trial burn will help the Department to determine operating requirements to be specified under section 66264.345; and
(D) the information sought in subsections (b)(5)(A) and (B) of this section cannot reasonably be developed through other means.
(6) For facilities applying for a RCRA permit, the Director must send a notice to all persons on the facility mailing list as set forth in section 66271.9(c)(1)(D) and to the appropriate units of State and local government as set forth in section 66271.9(c)(1)(E) announcing the scheduled commencement and completion dates for the trial burn. The applicant may not commence the trial burn until after the Director has issued such notice.
(A) This notice must be mailed within a reasonable time period before the scheduled trial burn. An additional notice is not required if the trial burn is delayed due to circumstances beyond the control of the facility or the Department.
(B) This notice must contain:
1. The name and telephone number of the applicant's contact person;
2. The name and telephone number of the permitting agency's contact office;
3. The location where the approved trial burn plan and any supporting documents can be reviewed and copied; and
4. An expected time period for commencement and completion of the trial burn.
(7) During each approved trial burn (or as soon after the burn as is practicable), the applicant shall make the following determinations:
(A) a quantitative analysis of the trial POHCs in the waste feed to the incinerator;
(B) a quantitative analysis of the exhaust gas for the concentration and mass emissions of the trial POHCs, oxygen (O2) and hydrogen chloride (HCl);
(C) a quantitative analysis of the scrubber water (if any), ash residues, and other residues, for the purpose of estimating the fate of the trial POHCs;
(D) a computation of destruction and removal efficiency (DRE), in accordance with the DRE formula specified in section 66264.343(a);
(E) if the HCl emission rate exceeds 1.8 kilograms of HCl per hour (4 pounds per hour), a computation of HCl removal efficiency in accordance with section 66264.343(b);
(F) a computation of particulate emissions, in accordance with section 66264.343(c);
(G) an identification of sources of fugitive emissions and their means of control;
(H) a measurement of average, maximum, and minimum temperatures and combustion gas velocity;
(I) a continuous measurement of carbon monoxide (CO) in the exhaust gas;
(J) such other information as the Department may specify as necessary to ensure that the trial burn will determine compliance with the performance standards in section 66264.343 of this division and to establish the operating conditions required by section 66264.345 of this division as necessary to meet that performance standard.
(8) The applicant shall submit to the Department a certification that the trial burn has been carried out in accordance with the approved trial burn plan, and shall submit the results of all the determinations required in subsection (b)(6) of this section. This submission shall be made within 90 days of completion of the trial burn, or later if approved by the Department.
(9) All data collected during any trial burn shall be submitted to the Department following the completion of the trial burn.
(10) All submissions required by this subsection shall be certified on behalf of the applicant by the signature of a person authorized to sign a permit application or a report under section 66270.11.
(11) Based on the results of the trial burn, the Department shall set the operating requirements in the final permit according to section 66264.345 of this division. The permit modification shall proceed according to section 66270.42.
(c) For the purposes of allowing operation of a new hazardous waste incinerator following completion of the trial burn and prior to final modification of the permit conditions to reflect the trial burn results, the Department may establish permit conditions, including but not limited to allowable waste feeds and operating conditions sufficient to meet the requirements of section 66264.345 of this division, in the permit to a new hazardous waste incinerator. These permit conditions will be effective for the minimum time required to complete sample analysis, data computation and submission of the trial burn results by the applicant, and modification of the facility permit by the Department.
(1) Applicants shall submit a statement, with Part B of the permit application, which identifies the conditions necessary to operate in compliance with the performance standards of section 66264.343 of this division, during this period. This statement must include, at a minimum, restrictions on waste constituents, waste feed rates, and the operating parameters in section 66264.345 of this division.--
(2) The Department will review this statement and any other relevant information submitted with Part B of the permit application and specify those requirements for this period most likely to meet the performance standards of section 66264.343 of this division based on the Department's engineering judgment.
(d) For the purposes of determining feasibility of compliance with the performance standards of section 66264.343 of this division and of determining adequate operating conditions under section 66264.345 of this division, the applicant for a permit for an existing hazardous waste incinerator shall prepare and submit a trial burn plan and perform a trial burn in accordance with section 66270.19(b) and subsections (b)(2) through (b)(5) and (b)(7) through (b)(10) of this section or, instead, submit other information as specified in section 66270.19(c). Applicants submitting information under section 66270.19(a) are exempt from compliance with sections 66264.343 and 66264.345 and, therefore, are exempt from the requirement to conduct a trial burn. Applicants who submit trial burn plans and receive approval before submission of a permit application shall complete the trial burn and submit the results, specified in subsection (b)(7), with Part B of the permit application. If completion of this process conflicts with the date set for submission of the Part B application, the applicant shall contact the Department to establish a later date for submission of the Part B application or the trial burn results. Trial burn results shall be submitted prior to issuance of the permit. When the applicant submits a trial burn plan with Part B of the permit application, the Department shall specify a time period prior to permit issuance in which the trial burn shall be conducted and the results submitted.
(1) For facilities applying for RCRA permits, the Director shall announce his or her intention to approve the trial burn plan in accordance with the timing and distribution requirements of subsection (b)(6) of this section. The contents of the notice shall include: the name and telephone number of a contact person at the facility; the name and telephone number of a contact office at the Department; the location where the trial burn plan and any supporting documents can be reviewed and copied; and a schedule of the activities that are required prior to permit issuance, including the anticipated time schedule for Department approval of the plan and the time period during which the trial burn would be conducted.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.62.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect adding new subsections (b)(6)-(b)(6)(B)d., subsection renumbering, amendment of subsection (d) and new subsection (d)(1) filed 12-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 51).
3. Change without regulatory effect amending subsection (a)(6)(A), redesignating subsections (a)(6)(B)a.-d. to subsections (a)(6)(B)1.-4., and amending subsections (d) and (d)(1) filed 6-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
4. Amendment of subsections (b)(2)(A)3. and 4. and amendment of Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§66270.63. Permits for Land Treatment Demonstrations Using Field Test or Laboratory Analyses.
Note     •     History

(a) For the purpose of allowing an owner or operator to meet the treatment demonstration requirements of section 66264.272 of this division, the Department may issue a treatment demonstration permit. The permit shall contain only those requirements necessary to meet the standards in section 66264.272(c). The permit may be issued either as a treatment or disposal permit covering only the field test or laboratory analyses, or as a two-phase facility permit covering the field tests, or laboratory analyses, and design, construction operation and maintenance of the land treatment unit.
(1) The Department shall issue a two-phase facility permit if it finds that, based on information submitted in Part B of the application, substantial, although incomplete or inconclusive, information already exists upon which to base the issuance of a facility permit.
(2) If the Department finds that not enough information exists upon which it can establish permit conditions to provide for compliance with all of the requirements of article 13 of chapter 14 of this division the Department shall issue a treatment demonstration permit covering only the field test or laboratory analyses.
(b) If the Department finds that a phased permit may be issued, the Department will establish, as requirements in the first phase of the facility permit, conditions for conducting the field tests or laboratory analyses. These permit conditions will include design and operating parameters (including the duration of the tests or analyses and, in the case of field tests, the horizontal and vertical dimensions of the treatment zone), monitoring procedures, post-demonstration clean-up activities, and any other conditions which the Department finds may be necessary under section 66264.272(c). The Department will include conditions in the second phase of the facility permit to attempt to meet all requirements listed in article 13 of chapter 14 of this division pertaining to unit design, construction, operation, and maintenance. The Department will establish these conditions in the second phase of the permit based upon the substantial but incomplete or inconclusive information contained in the Part B application.
(1) The first phase of the permit will be effective as provided in section 66271.14(b) of this division.
(2) The second phase of the permit will be effective as provided in subsection (d) of this section.
(c) When the owner or operator who has been issued a two-phase permit has completed the treatment demonstration, the owner, or operator shall submit to the Department a certification, signed by a person authorized to sign a permit application or report under section 66270.11, that the field tests or laboratory analyses have been carried out in accordance with the conditions specified in phase one of the permit for conducting such tests or analyses. The owner or operator shall also submit all data collected during the field tests or laboratory analyses within 90 days of completion of those tests or analyses unless the Department approves a later date.
(d) If the Department determines that the results of the field tests or laboratory analyses meet the requirements of section 66264.272 of this division, the Department will modify the second phase of the permit to incorporate any requirements necessary for operation of the facility in compliance with chapter 14, article 13, of this division, based upon the results of the field tests or laboratory analyses.
(1) This permit modification may proceed under section 66270.42, or otherwise will proceed as a modification under section 66270.41(a)(2). If such modifications are necessary, the second phase of the permit shall become effective only after those modifications have been made.
(2) If no modifications of the second phase of the permit are necessary, the Department will give notice of its final decision to the permit applicant and to each person who submitted written comments on the phased permit or who requested notice of the final decision on the second phase of the permit. The second phase of the permit then will become effective as specified in section 66271.14(b).
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.63.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.65. Research, Development, and Demonstration Permits.
Note     •     History

(a) The Department may issue a research, development, and demonstration permit for any hazardous waste treatment facility which proposes to utilize an innovative and experimental hazardous waste treatment technology or process for which permit standards for such experimental activity have not been promulgated under chapter 14 or 16 of this division. Any such permit shall include such terms and conditions that shall assure protection of human health and safety, livestock, wildlife and the environment. Such permits:
(1) shall provide for the construction of such facilities as necessary, and for operation of the facility for not longer than one year unless renewed as provided in subsection (d) of this section, and
(2) shall provide for the receipt and treatment by the facility of only those types and quantities of hazardous waste which the Department deems necessary for purposes of determining the efficacy and performance capabilities of the technology or process and the effects of such technology or process on human health and safety, livestock, wildlife and the environment, and
(3) shall include such requirements as the Department deems necessary to protect human health and safety, livestock, wildlife and the environment (including, but not limited to, requirements regarding monitoring, operation, financial responsibility, closure, and remedial action), and such requirements as the Department deems necessary regarding testing and providing of information to the Department with respect to the operation of the facility.
(b) If an applicant demonstrates to the satisfaction of the Department that the expedited review and issuance of a permit under this section is necessary for the protection of human health and safety, and the environment, the Department shall modify or waive permit application and permit issuance requirements in chapters 20 and 21 of this division to the extent necessary to protect human health and safety and the environment except that there may be no modification or waiver of regulations regarding financial responsibility (including insurance) or of procedures regarding public participation.
(c) The Department shall order an immediate termination of all operations at the facility at any time the Department determines that termination is necessary to protect human health and safety, livestock, wildlife and the environment.
(d) Any permit issued under this section may be renewed not more than three times. Each such renewal shall be for a period of not more than 1 year.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.65.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
§66270.66. Permits for Boilers and Industrial Furnaces Burning Hazardous Waste.
Note     •     History

(a) General. Owners and operators of new boilers and industrial furnaces (those not operating under the interim status standards of section 66266.103 of chapter 16) are subject to subsections (b) through (f) of this section. Boilers and industrial furnaces operating under the interim status standards of section 66266.103 of chapter 16 are subject to subsection (g) of this section.
(b) Permit operating periods for new boilers and industrial furnaces. A permit for a new boiler or industrial furnace shall specify appropriate conditions for the following operating periods:
(1) Pretrial burn period. For the period beginning with initial introduction of hazardous waste and ending with initiation of the trial burn, and only for the minimum time required to bring the boiler or industrial furnace to a point of operational readiness to conduct a trial burn, not to exceed 720 hours operating time when burning hazardous waste, the Director shall establish in the Pretrial Burn Period of the permit conditions, including but not limited to, allowable hazardous waste feed rates and operating conditions. The Director may extend the duration of this operational period once, for up to 720 additional hours, at the request of the applicant when good cause is shown. The permit may be modified to reflect the extension according to section 66270.42.
(A) Applicants shall submit a statement, with part B of the permit application, that suggests the conditions necessary to operate in compliance with the standards of sections 66266.104 through 66266.107 of chapter 16 during this period. This statement should include, at a minimum, restrictions on the applicable operating requirements identified in section 66266.102(e) of chapter 16.
(B) The Director will review this statement and any other relevant information submitted with part B of the permit application and specify requirements for this period sufficient to meet the performance standards of sections 66266.104 through 66266.107 of chapter 16 based on the Director's engineering judgment.
(2) Trial burn period. For the duration of the trial burn, the Director shall establish conditions in the permit for the purposes of determining feasibility of compliance with the performance standards of sections 66266.104 through 66266.107 of chapter 16 and determining adequate operating conditions under section 66266.102(e) of chapter 16. Applicants shall propose a trial burn plan, prepared under subsection (c) of this section, to be submitted with part B of the permit application.
(3) Post-trial burn period. (A) For the period immediately following completion of the trial burn, and only for the minimum period sufficient to allow sample analysis, data computation, and submission of the trial burn results by the applicant, and review of the trial burn results and modification of the facility permit by the Director to reflect the trial burn results, the Director will establish the operating requirements most likely to ensure compliance with the performance standards of sections 66266.104 through 66266.107 of chapter 16 based on the Director's engineering judgment.
(B) Applicants shall submit a statement, with part B of the application, that identifies the conditions necessary to operate during this period in compliance with the performance standards of sections 66266.104 through 66266.107 of chapter 16. This statement should include, at a minimum, restrictions on the operating requirements provided by section 66266.102(e) of chapter 16.
(C) The Director will review this statement and any other relevant information submitted with part B of the permit application and specify requirements for this period sufficient to meet the performance standards of sections 66266.104 through 66266.107 of chapter 16 based on the Director's engineering judgment.
(4) Final permit period. For the final period of operation, the Director will develop operating requirements in conformance with section 66266.102(e) of chapter 16 that reflect conditions in the trial burn plan and are likely to ensure compliance with the performance standards of sections 66266.104 through 66266.107 of chapter 16. Based on the trial burn results, the Director shall make any necessary modifications to the operating requirements to ensure compliance with the performance standards. The permit modification shall proceed according to section 66270.42.
(c) Requirements for trial burn plans. The trial burn plan shall include the following information. The Director, in reviewing the trial burn plan, shall evaluate the sufficiency of the information provided and may require the applicant to supplement this information, if necessary, to achieve the purposes of this subsection:
(1) An analysis of each feed stream, including hazardous waste, other fuels, and industrial furnace feed stocks, as fired, that includes:
(A) Heating value, levels of antimony, arsenic, barium, beryllium, cadmium, chromium, lead, mercury, silver, thallium, total chlorine/chloride, and ash;
(B) Viscosity or description of the physical form of the feed stream;
(2) An analysis of each hazardous waste, as fired, including:
(A) An identification of any hazardous organic constituents listed in appendix VIII, chapter 11, that are present in the feed stream, except that the applicant need not analyze for constituents listed in appendix VIII that would reasonably not be expected to be found in the hazardous waste. The constituents excluded from analysis shall be identified and the basis for this exclusion explained. The waste analysis shall be conducted in accordance with analytical techniques specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”, US EPA publication SW-846, Third Edition and updates as incorporated by reference in section 66260.11, or their equivalent.
(B) An approximate quantification of the hazardous constituents identified in the hazardous waste, within the precision produced by the analytical methods specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”, US EPA publication SW-846, Third Edition incorporated by reference in section 66260.11, or other equivalent.
(C) A description of blending procedures, if applicable, prior to firing the hazardous waste, including a detailed analysis of the hazardous waste prior to blending, an analysis of the material with which the hazardous waste is blended, and blending ratios.
(3) A detailed engineering description of the boiler or industrial furnace, including:
(A) Manufacturer's name and model number of the boiler or industrial furnace;
(B) Type of boiler or industrial furnace;
(C) Maximum design capacity in appropriate units;
(D) Description of the feed system for the hazardous waste, and, as appropriate, other fuels and industrial furnace feedstocks;
(E) Capacity of hazardous waste feed system;
(F) Description of automatic hazardous waste feed cutoff system(s); and
(G) Description of any pollution control system; and
(H) Description of stack gas monitoring and any pollution control monitoring systems.
(4) A detailed description of sampling and monitoring procedures including sampling and monitoring locations in the system, the equipment to be used, sampling and monitoring frequency, and planned analytical procedures for sample analysis.
(5) A detailed test schedule for each hazardous waste for which the trial burn is planned, including date(s), duration, quantity of hazardous waste to be burned, and other factors relevant to the Director's decision under subsection (b)(2) of this section.
(6) A detailed test protocol, including, for each hazardous waste identified, the ranges of hazardous waste feed rate, and, as appropriate, the feed rates of other fuels and industrial furnace feedstocks, and any other relevant parameters that may affect the ability of the boiler or industrial furnace to meet the performance standards in sections 66266.104 through 66266.107 of chapter 16.
(7) A description of, and planned operating conditions for, any emission control equipment that will be used.
(8) Procedures for rapidly stopping the hazardous waste feed and controlling emissions in the event of an equipment malfunction.
(9) Such other information as the Director reasonably finds necessary to determine whether to approve the trial burn plan in light of the purposes of this subsection and the criteria in subsection (b)(2) of this section.
(d) Trial burn procedures. (1) A trial burn shall be conducted to demonstrate conformance with the standards of sections 66266.104 through 66266.107 of chapter 16 under an approved trial burn plan.
(2) The Director shall approve a trial burn plan if the Director finds that:
(A) The trial burn is likely to determine whether the boiler or industrial furnace can meet the performance standards of sections 66266.104 through 66266.107 of chapter 16;
(B) The trial burn itself will not present an imminent hazard to human health and the environment;
(C) The trial burn will help the Director to determine operating requirements to be specified under section 66266.102(e) of chapter 16; and
(D) The information sought in the trial burn cannot reasonably be developed through other means.
(3) The applicant shall submit to the Director a certification that the trial burn has been carried out in accordance with the approved trial burn plan, and shall submit the results of all the determinations required in subsection (c) of this section. This submission shall be made within 90 days of completion of the trial burn, or later if approved by the Director.
(4) All data collected during any trial burn shall be submitted to the Director following completion of the trial burn.
(5) All submissions required by this subsection shall be certified on behalf of the applicant by the signature of a person authorized to sign a permit application or a report under section 66270.11.
(6) For facilities applying for RCRA permits, the Director must send a notice to all persons on the facility mailing list as set forth in section 66271.9(c)(1)(D) and to the appropriate units of State and local government as set forth in section 66271.9(c)(1)(E) announcing the scheduled commencement and completion dates for the trial burn. The applicant

may not commence the trial burn until after the Director has issued such notice.
(A) This notice must be mailed within a reasonable time period before the trial burn. An additional notice is not required if the trial burn is delayed due to circumstances beyond the control of the facility or the Department.
(B) This notice must contain:
1. The name and telephone number of applicant's contact person;
2. The name and telephone number of the permitting agency contact office;
3. The location where the approved trial burn plan and any supporting documents can be reviewed and copied; and
4. An expected time period for commencement and completion of the trial burn.
(e) Special procedures for DRE trial burns. When a DRE trial burn is required under section 66266.104(a) of chapter 16, the Director will specify (based on the hazardous waste analysis data and other information in the trial burn plan) as trial Principal Organic Hazardous Constituents (POHCs) those compounds for which destruction and removal efficiencies shall be calculated during the trial burn. These trial POHCs will be specified by the Director based on information including the Director's estimate of the difficulty of destroying the constituents identified in the hazardous waste analysis, their concentrations or mass in the hazardous waste feed, and, for hazardous waste containing or derived from wastes listed in chapter 11, article 4, the hazardous waste organic constituent(s) identified in appendix VII of that chapter as the basis for listing.
(f) Determinations based on trial burn. During each approved trial burn (or as soon after the burn as is practicable), the applicant shall make the following determinations:
(1) A quantitative analysis of the levels of antimony, arsenic, barium, beryllium, cadmium, chromium, lead, mercury, thallium, silver, and chlorine/chloride, in the feed streams (hazardous waste, other fuels, and industrial furnace feedstocks);
(2) When a DRE trial burn is required under section 66266.104(a) of chapter 16:
(A) A quantitative analysis of the trial POHCs in the hazardous waste feed;
(B) A quantitative analysis of the stack gas for the concentration and mass emissions of the trial POHCs; and
(C) A computation of destruction and removal efficiency (DRE), in accordance with the DRE formula specified in section 66266.104(a) of chapter 16;
(3) When a trial burn for chlorinated dioxins and furans is required under section 66266.104(e) of chapter 16, a quantitative analysis of the stack gas for the concentration and mass emission rate of the 2,3,7,8-chlorinated tetra-octa congeners of chlorinated dibenzo-p-dioxins and furans, and a computation showing conformance with the emission standard.
(4) When a trial burn for particulate matter, metals, or HCl/Cl2 is required under sections 66266.105, 66266.106 (c) or (d), or 66266.107 (b)(2) or (c) of chapter 16, a quantitative analysis of the stack gas for the concentrations and mass emissions of particulate matter, metals, or hydrogen chloride (HCl) and chlorine (Cl2), and computations showing conformance with the applicable emission performance standards;
(5) When a trial burn for DRE, metals, or HCl/Cl2 is required under sections 66266.104(a), 66266.106 (c) or (d), or 66266.107 (b)(2) or (c) of chapter 16, a quantitative analysis of the scrubber water (if any), ash residues, other residues, and products for the purpose of estimating the fate of the trial POHCs, metals, and chlorine/chloride;
(6) An identification of sources of fugitive emissions and their means of control;
(7) A continuous measurement of carbon monoxide (CO), oxygen, and where required, hydrocarbons (HC), in the stack gas; and
(8) Such other information as the Director may specify as necessary to ensure that the trial burn will determine compliance with the performance standards in sections 66266.104 through 66266.107 of chapter 16 and to establish the operating conditions required by section 66266.102(e) of chapter 16 as necessary to meet those performance standards.
(g) Interim status boilers and industrial furnaces. For the purpose of determining feasibility of compliance with the performance standards of sections 66266.104 through 66266.107 of chapter 16 and of determining adequate operating conditions under section 66266.103 of chapter 16, applicants owning or operating existing boilers or industrial furnaces operated under the interim status standards of section 66266.103 shall either prepare and submit a trial burn plan and perform a trial burn in accordance with the requirements of this section or submit other information as specified in section 66270.22(a)(6). Applicants who submit a trial burn plan and receive approval before submission of the part B permit application shall complete the trial burn and submit the results specified in subsection (f) of this section with the part B permit application. If completion of this process conflicts with the date set for submission of the part B application, the applicant shall contact the Director to establish a later date for submission of the part B application or the trial burn results. If the applicant submits a trial burn plan with part B of the permit application, the trial burn shall be conducted and the results submitted within a time period prior to permit issuance to be specified by the Director.
(1) For facilities applying for RCRA permits, the Director must announce his or her intention to approve the trial burn plan in accordance with the timing and distribution requirements of paragraph (d)(6) of this section. The contents of the notice must include: the name and telephone number of a contact person at the facility; the name and telephone number of a contact office at the permitting agency; the location where the trial burn plan and any supporting documents can be reviewed and copied; and a schedule of the activities that are required prior to permit issuance, including the anticipated time schedule for agency approval of the plan and the time period during which the trial burn would be conducted.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; and 40 CFR Section 270.66.
HISTORY

1. New section filed 9-29-93 as an emergency; operative 9-29-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-94 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of Note (Register 94, No. 3).
3. New section refiled 1-19-94 as an emergency; operative 1-19-94 (Register 94, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-19-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction adding History 3 (Register 94, No. 9).
5. New section refiled 5-23-94 with amendment of subsection (c)  as an emergency; operative 5-23-94 (Register 94, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-20-94 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 9-19-94 with amendment of subsection (a)(3) and Note as an emergency; operative 9-19-94 (Register 94, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-95 or emergency language will be repealed by operation of law on the following day.
7. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 10).
8. New section filed 3-8-95; operative 3-8-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 10).
9. Renumbering of former section 66270.66 to new section 66270.69 and new section 66270.66 filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
10. Change without regulatory effect adding new subsections (d)(6)-(d)(6)(B)d. and (g)(1) filed 12-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 51).
11. Change without regulatory effect amending subsections (b)(1), (d)(2)(C) and (g) filed 6-12-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 24).
12. Change without regulatory effect amending subsection (d)(6)(A) and redesignating subsections (d)(6)(B)a.-d. to subsections (d)(6)(B)1.-4. filed 6-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
13. Amendment of subsection (c)(2)(A) filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
14. Change without regulatory effect amending subsections (c)(2)(B) and (g)(1) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§66270.67. Transportable Treatment Unit Standardized Permit. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25150 and 25200.2, Health and Safety Code.
HISTORY

1. New section filed 5-14-2001; operative 6-13-2001 (Register 2001, No. 20).
2. Renumbering of former section 66270.67 to new section 66270.69.5 filed 9-6-2007; operative 10-6-2007 (Register 2007, No. 36).
§66270.68. [Reserved]

§66270.69. Standardized Permit. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 25150, 25201.6, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25201.6 and 25250.1, Health and Safety Code.
HISTORY

1. Renumbering of former section 66270.66 to new section 66270.69 and amendment of Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
2. Change without regulatory effect repealing subsection (d) filed 4-4-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 14).
3. Renumbering of former section 66270.69 to new section 66270.69.1 filed 9-6-2007; operative 10-6-2007 (Register 2007, No. 36).
Article 6.5. Standardized Permits
§66270.69.1. Standardized Permit.
Note     •     History

(a) Notwithstanding any other provisions of this division, offsite or onsite treatment or storage activities, other than those specified in paragraphs (1) through (3) of this section, that do not require a permit under the federal act may be eligible for a standardized permit pursuant to section 25201.6 of the Health and Safety Code. The following are not eligible for a standardized permit:
(1) used oil recycling activities as defined in Health and Safety Code section 25250.1;
(2) recycling or reclamation of federally regulated solvents identified by EPA hazardous waste numbers F001, F002, F003, F004 and F005 pursuant to 40 Code of Federal Regulations section 261.31; and
(3) units that are not authorized to operate pursuant to Title 22, California Code of Regulations, Division 4.5, Chapter 14 or Chapter 15 that engage in incineration, thermal destruction or land disposal activities.
(b) Each hazardous waste treatment or storage facility conducting activities pursuant to a standardized permit shall be designated as a Series A, Series B or Series C standardized permit facility as defined in Health and Safety Code section 25201.6.
(c) A facility that performs activities that meet the criteria for more than one of the  standardized permit series shall be classified as the highest of the applicable series.
NOTE

Authority cited: Sections 25150, 25201.6, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25201.6 and 25250.1, Health and Safety Code.
HISTORY

1. New article 6.5 (sections 66270.69.1-66270.69.5) and renumbering and amendment of former section 66270.69 to new section 66270.69.1 filed 9-6-2007; operative 10-6-2007 (Register 2007, No. 36).
§66270.69.2. Application for a Standardized Permit.
Note     •     History

(a) An applicant who conducts or wishes to conduct an activity that qualifies for a standardized permit pursuant to Health and Safety Code section 25201.6 and section 66270.69.1 of this article, shall submit an application package that includes information equivalent to the following portions of chapters 14, 20 and 21 of title 22, division 4.5 of the California Code of Regulations:
(1) Articles 1 through 5, 7, 8, 9 and 10 of chapter 14. The applicant may comply with the financial responsiblity requirements of section 66270.69.4 of this article in lieu of the financial responsibility requirements of article 8 of chapter 14;
(2) Article 1, sections 66270.10 through 66270.16 of article 2, and articles 3 through 5 of chapter 20; and
(3) Article 1 of chapter 21.
NOTE

Authority cited: Sections 25150, 25201.6 and 58012, Health and Safety Code. Reference: Sections 25150 and 25201.6, Health and Safety Code.
HISTORY

1. New section filed 9-6-2007; operative 10-6-2007 (Register 2007, No. 36).
§66270.69.3. Requirements for Standardized Permit Facilities.
Note     •     History

(a) A facility with an existing permit issued pursuant to Health and Safety Code section 25200 may have its permit converted directly to a standardized permit, using the Class 1 permit modification procedures as specified in section 66270.42 or 66270.42.5. In addition to all other applicable requirements, the owner or operator of a facility eligible for the standardized permit tier pursuant to section 66270.69.1 shall comply with all of the following:
(1) Articles 1 through 5, 7, 9 and 10 of title 22, Chapter 14 of this division;
(2) section 66264.175 regarding secondary containment for containers; and
(3) section 66270.69.4 regarding financial responsibility compliance.
NOTE

Authority cited: Sections 25150, 25201.6, 58004 and 58012, Health and Safety Code. Reference: Sections 25150 and 25201.6, Health and Safety Code.
HISTORY

1. Renumbering of former section 67800.1 to new section 66270.69.3, including amendment of section and Note, filed 9-6-2007; operative 10-6-2007 (Register 2007, No. 36).
§66270.69.4. Financial Responsibility for Facilities Operating Under a Standardized Permit.
Note     •     History

The owner or operator of a facility that operates pursuant to a standardized permit issued pursuant to Health and Safety Code section 25201.6 shall comply with chapter 14, article 8, except as follows:
(a) Series A facilities, as defined by Health and Safety Code section 25201.6(a)(1), shall have and maintain liability coverage for sudden accidental occurrences in the amount of at least $1 million per occurrence with an annual aggregate of at least $2 million, exclusive of legal defense costs.
(b) Series B facilities, as defined by Health and Safety Code section 25201.6(a)(2), Series C facilities, as defined by Health and Safety Code section 25201.6(a)(3), that treat or store reactive, ignitable or extremely hazardous waste and Series C facilities that treat solvents in accordance with Health and Safety Code section 25201.6(g)(2) shall have and maintain liability coverage for sudden accidental occurrences in the amount of at least $500,000 per occurrence with an annual aggregate of at least $1 million, exclusive of legal defense costs.
(c) Series C facilities, as defined by Health and Safety Code section 25201.6(a)(3), shall have and maintain liability coverage for sudden accidental occurrences in the amount of at least $300,000 per occurrence with an annual aggregate of at least $600,000, exclusive of legal defense costs.
(d) Notwithstanding subdivision (c) of this section, Series C facilities that treat no more than 1,500 gallons of liquid hazardous waste or 3,000 pounds of solid hazardous waste in any calendar month, or have a maximum storage capacity of no more than 15,000 gallons of liquid hazardous waste or 30,000 pounds of solid hazardous waste, shall have and maintain liability coverage for sudden accidental occurrences in the amount of at least $100,000 per occurrence with an annual aggregate of at least $200,000, exclusive of legal defense costs.
(e) An owner or operator of more than one facility that operates pursuant to a standardized permit may meet the liability coverage requirements of this section by having and maintaining liability coverage at the level required for the facility that is regulated at the highest standardized permit series.
(f) An owner or operator of one or more facilities that operate pursuant to a standardized permit, who also owns or operates one or more facilities regulated pursuant to a hazardous waste facility permit, may meet the liability coverage requirements of this section by having and maintaining sudden liability coverage as required by section 66264.147(a).
(g) An owner or operator of one or more facilities that operate pursuant to a standardized permit, who also owns or operates one or more facilities that operates pursuant to interim status granted pursuant to Health and Safety Code section 25200.5 may meet the liability coverage requirements of this section by having and maintaining liability coverage as required by section 66265.147(a).
NOTE

Authority cited: Sections 25143.13, 25150, 25200.1, 25201.6, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25143.13, 25150, 25200.1, 25200.5, 25200.9 and 25201.6, Health and Safety Code.
HISTORY

1. Renumbering of former section 67800.5 to new section 66270.69.4 filed 9-6-2007; operative 10-6-2007 (Register 2007, No. 36).
§66270.69.5. Transportable Treatment Unit Standardized Permit.
Note     •     History

(a) The owner or operator of a TTU that treats reactive wastes or extremely hazardous wastes, the treatment of which does not require a permit under the federal act, is eligible for a TTU Standardized Permit, except when conducting the following activities: 
(1) used oil recycling activities as defined in Health and Safety Code section 25250.1; 
(2) recycling or reclamation of federally regulated solvents identified by EPA hazardous waste numbers F001, F002, F003, F004 and F005 pursuant to 40 CFR section 261.31. 
(3) operating treatment units that are not authorized pursuant to Title 22, California Code of Regulations, Division 4.5, Chapter 14 or Chapter 15 that engage in incineration, thermal destruction or land disposal activities. 
(b) To apply for a TTU Standardized Permit, the owner or operator shall submit to Department the following information dated and signed as required by section 66270.11 for TTU operation: 
(1) name, mailing address, and telephone number of both the owner and operator of the TTU; 
(2) name and address or legal description of the location where the TTU is stored when not in use; 
(3) identification number of the location where the TTU is stored, if any, and Board of Equalization account number; 
(4) a description of the specific waste type(s) that will be treated; 
(5) a description of the treatment process(s) that will be used; 
(6) a description of how all treatment effluents and residuals will be managed; 
(7) the serial number of the TTU for which a permit is requested; 
(8) information as to whether the TTU operation is new or existing; 
(9) a detailed sampling and waste analysis plan describing how representative samples will be collected and analyzed during TTU operations as required by section 66264.13; 
(10) a description of procedures to prevent the release of hazardous waste and constituents to air, soil and groundwater during TTU operations; 
(11) information on how the owner of the property where the TTU is stored will be notified that the TTU is being stored on the property; 
(12) a description of preparedness and prevention procedures for the TTU operations, as required pursuant to chapter 14, article 3 of this division for the TTU operations; 
(13) training documents as specified in section 66264.16(d)(4); 
(14) a copy of the contingency plan for as specified by chapter 14, article 4 of this division; 
(15) documentation of compliance with article 8 of chapter 14 of this division for financial responsibility; and 
(16) a written closure plan as specified by section 67450.3(a)(13)(B). 
(c) The owner or operator of the TTU shall discharge any effluent or treatment residual during TTU operation pursuant to section 67450.3(a)(7). 
(d) The Department shall issue, modify, reissue, deny or revoke the permit for TTU operation pursuant to the procedures in Chapter 21 except for section 66271.2(a). 
(e) The Department shall not begin the processing of a permit until the applicant has fully complied with subsection (b) of this section for that permit. 
(f) California Environmental Quality Act (CEQA) information requirements. Unless the Department has determined that the activity to be permitted is exempt from the requirements of CEQA pursuant to title 14, CCR, section 15061, the applicant shall submit all information necessary to enable the Department to prepare an Initial Study meeting the requirements of title 14, CCR, section 15063. 
(g) The owner or operator of the TTU shall submit to the Department, for each site where the TTU will perform treatment, site-specific information, as specified by subsections 67450.3(a)(3)(A) and (C), and a certification, signed by the owner or operator, specifying the local authorities that have been notified of the intended date(s) of operation, pursuant to section 67450.3(a)(3)(B). The site-specific information shall be submitted at least twenty-one (21) days prior to each site visit, unless the Department approves a shorter period of time upon a showing of good cause by the owner or operator. The information shall be completed, dated and signed according to the requirements of section 66270.11. 
(h) If the owner or operator of the TTU is the generator of the waste influents treated by the TTU, the owner or operator is subject to the corrective action requirements specified in section 66264.100. 
(i) The TTU may only be stationed and operated at a site if the conditions specified in section 67450.3(a)(8) are met. 
(j) The owner or operator of a TTU who uses rental equipment shall do all of the following: 
(1) prior to use of the TTU, notify the rental equipment owner of how the rental equipment will be used; 
(2) properly remove and/or decontaminate equipment, structures, soil and all collected materials and wastes after termination of the TTU operation and assure that all contaminated materials and wastes are removed by a registered hazardous waste transporter or as otherwise authorized by law. 
(3) certify in writing to the rental equipment owner that the rental equipment has been properly decontaminated; and 
(4) keep copies of all correspondence related to rental equipment for three (3) years. 
(k) The owner or operator of the TTU shall prepare and submit an annual report for TTU operation to the Department as specified in section 67450.3(a)(12). 
(l) The owner or operator of the TTU shall maintain compliance for TTU operation with the following requirements: 
(1) H&SC, sections 25200.2, annual and facility fees. 
(2) H&SC, section 25205.7, application processing fee requirements. 
(3) section 66264.11, Identification Number. 
(4) section 66264.14, Security Requirements. 
(5) section 66264.15, General Inspection Requirements. 
(6) section 66264.17, General Requirements for Ignitable, Reactive, or Incompatible Wastes. 
(7) section 66264.114, Disposal or Decontamination of Equipment, Structures and Soils. 
(8) sections 66264.117, 66264.118, 66264.119, and 66264.120, post closure requirements. 
(9) section 66264.143, Financial Assurance for Closure. 
(10) chapter 14 of this division: 
(A) article 5. Manifest System, Recordkeeping and Reporting (except for sections 66264.73(b)(2), 66264.73(b)(6), 66264.73(b)(7), 66264.73(b)(15) and 66264.75; 
(B) article 9. Use and Management of Containers; and 
(C) article 10. Tank Systems. 
(11) chapter 15, article 17; Chemical, Physical, and Biological Treatment 
(12) section 66270.42, Permit Modification at the Request of the Permittee. 
(m) If treatment is conducted in containers and/or tanks, the owner or operator of TTU shall comply with the containment requirements of sections 66264.175 and 66264.193, respectively. 
(n) The owner or operator of the TTU shall maintain the TTU Standardized Permit and the documents specified in subsections (g), (j) and (k) of this section at the site or facility where the TTU is operating. The owner or operator shall make these documents available upon demand at the site or facility to any representative of the Department, the U.S. Environmental Protection Agency or a local governmental agency. 
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25150 and 25200.2, Health and Safety Code.
HISTORY

1. Renumbering of former section 66270.67 to new section 66270.69.5 filed 9-6-2007; operative 10-6-2007 (Register 2007, No. 36).
§66270.70. Qualifying for Interim Status.
Note     •     History

(a) Any person who owns or operates an “existing HWM facility” or a facility in existence on the effective date of statutory or regulatory amendments under the Act that render the facility subject to the requirement to have a permit shall have interim status and shall be treated as having been issued a permit to the extent the owner or operator has:
(1) complied with the requirements of Health and Safety Code section 25153.6 pertaining to notification of hazardous waste activity. Existing facilities not required to file a notification under Health and Safety Code section 25153.6 shall qualify for interim status by meeting subsection (a)(2) of this section;
(2) complied with the requirements of section 66270.10 governing a submission of Part A applications.
(b) When the Department determines on examination or reexamination of a Part A application that it fails to meet the standards of these regulations, it shall notify the owner or operator in writing that the application is deficient, and specify the grounds for the Department's belief that the application is deficient. The Department may also notify the owner or operator that the owner or operator is therefore not entitled to interim status. The owner or operator will then be subject to enforcement for operating without a permit.
(c) Subsection (a) of this section shall not apply to any facility which has been previously denied a permit or if authority to operate the facility has been previously terminated.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.70.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.71. Operation During Interim Status.
Note     •     History

(a) During the interim status period the facility shall not:
(1) transfer, treat, store, or dispose of hazardous waste not specified in Part A of the permit application;
(2) employ processes not specified in Part A of the permit application; or
(3) exceed the design capacities specified in Part A of the. permit application.
(b) Interim status standards. During interim status, owners or operators shall comply with the interim status standards in chapter 15 of this division.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25200.5, Health and Safety Code; 40 CFR Section 270.71.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66270.72. Changes During Interim Status.
Note     •     History

(a) Except as provided in subsection (b) of this section, the owner or operator of an interim status facility may make the following changes at a facility:
(1) transfer, treatment, storage, or disposal of new hazardous wastes not previously identified in Part A of the permit application (and, in the case of newly listed or identified wastes, addition of the units being used to transfer, treat, store or dispose of the hazardous wastes on the effective date of the listing or identification) if the owner or operator submits and receives Department approval of a revised Part A permit application prior to such transfer, treatment, storage or disposal;
(2) increases in the design capacity of processes used at the facility if the owner or operator submits a revised Part A permit application prior to such a change (along with a justification explaining the need for the change) and the Department approves the change because:
(A) there is a lack of available transfer, treatment, storage, or disposal capacity at other hazardous waste management facilities, or
(B) the change is necessary to comply with a Federal, State, or local requirement;
(3) changes in the processes for the transfer, treatment, storage, or disposal of hazardous waste or addition of processes if the owner or operator submits a revised Part A permit application prior to such a change (along with a justification explaining the need for the change) and the Department approves the change because:
(A) the change is necessary to prevent a threat to human health and the environment because of an emergency situation, or
(B) the change is necessary to comply with a Federal, State, or local requirement;
(4) changes in the ownership or operational control of a facility if the new owner or operator submits a revised Part A permit application no later than 90 days prior to the scheduled change. When a transfer of ownership or operational control of a facility occurs, the old owner or operator shall comply with the requirements of chapter 15, article 8 (Financial Requirements) of this division, until the new owner or operator has demonstrated to the Department compliance with the requirements of that article. The new owner or operator shall demonstrate compliance with article 8 requirements within six months of the date of the change in the ownership or operational control of the facility. Upon demonstration to the Department by the new owner or operator of compliance with article 8, the Department shall notify the old owner or operator in writing that it no longer needs to comply with article 8 as of the date of demonstration. All other interim status duties are transferred effective immediately upon the date of the change in ownership or operational control of the facility;
(5) changes made in accordance with an interim status corrective action order issued by the USEPA under 42 U.S.C. section 6928(h) or other Federal authority, by the Department under article 8, commencing with section 25180, of chapter 6.5 of division 20 of the Health and Safety Code, or by a court in a judicial action brought by the USEPA or by the Department. Changes under this subsection are limited to the transfer, treatment, storage, or disposal of solid waste from releases that originate within the boundary of the facility.
(6) Addition of newly regulated units for the treatment, storage, or disposal of hazardous waste if the owner or operator submits a revised Part A permit application on or before the date on which the unit becomes subject to the new requirements.
(b) Except as specifically allowed under this subsection, changes listed under subsection (a) of this section shall not be made if they amount to reconstruction of the hazardous waste management facility. Reconstruction occurs when the capital investment in the changes to the facility exceeds 50 percent of the capital cost of a comparable entirely new hazardous waste management facility. If all other requirements are met, the following changes may be made even if they amount to a reconstruction:
(1) changes made solely for the purposes of complying with the requirements of section 66265.193 for tanks and ancillary equipment;
(2) if necessary to comply with Federal, State, or local requirements, changes to an existing unit, changes solely involving tanks or containers, or addition of replacement surface impoundments that satisfy the standards of 42 U.S.C. section 6924(o);
(3) changes that are necessary to allow owners or operators to continue handling newly listed or identified hazardous wastes that have been transferred, treated, stored, or disposed of at the facility prior to the effective date of the rule establishing the new listing or identification;
(4) changes during closure of a facility or of a unit within a facility made in accordance with an approved closure plan;
(5) changes necessary to comply with an interim status corrective action order issued by the USEPA under 42 U.S.C. section 6928(h) or other Federal authority, by the Department under article 8, commencing with section 25180, of chapter 6.5 of division 20 of the Health and Safety Code, or by a court in a judicial proceeding brought by the USEPA or the Department, provided that such changes are limited to transfer, treatment, storage, or disposal of solid waste from releases that originate within the boundary of the facility;
(6) changes to transfer, treat or store, in tanks, containers, or containment buildings, hazardous wastes subject to land disposal restrictions imposed by chapter 18 of this division or 42 U.S.C. section 6924, provided that such changes are made solely for the purpose of complying with chapter 18 of this division or 42 U.S.C. section 6924.
(7) Addition of newly regulated units under subsection (a)(6) of this section.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 58012, Health and Safety Code; 40 CFR Section 270.72.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (b)(6) and Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b)(6) and Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b)(6) and Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b)(6) and Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-24-94 order transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
7. New subsections (a)(6) and (b)(7) and amendment  of Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
§66270.73. Termination of Interim Status.
Note     •     History

Interim status terminates when:
(a) final administrative disposition of a permit application is made; or
(b) interim status
is terminated as provided in section 66270.10(e)(3);
(c) for owners or operators of each land disposal facility which has been granted interim status prior to November 8, 1984, on November 8, 1985, unless one of the following applies:
(1) part A of the facility's permit application specifies that only non-RCRA hazardous waste will be disposed of at the facility; or
(2) the owner or operator of the facility does both of the following:
(A) submits a Part B application for a permit for such facility prior to that date; and
(B) certifies that such facility is in compliance with all applicable ground-water monitoring and financial responsibility requirements;
(d) for owners or operators of each land disposal facility which is in existence on the effective date of statutory or regulatory amendments under the Health and Safety Code that render the facility subject to the requirement to have a permit and which is granted interim status, twelve months after the date on which the facility first becomes subject to such permit requirement unless one of the following applies:
(1) part A of the facility's permit application specifies that only non-RCRA hazardous waste will be disposed of at the facility; or
(2) the owner or operator of the facility does both of the following:
(A) submits a Part B application for a permit for such facility before the date 12 months after the date on which the facility first becomes subject to such permit requirement; and
(B) certifies that such facility is in compliance with all applicable ground water monitoring and financial responsibility requirements;
(e) for owners or operators of any land disposal unit that is granted authority to operate under section 66270.72(a)(1), (2) or (3), on the date 12 months after the effective date of such requirement, unless one of the following applies:
(1) Part A of the facility's permit application specifies that only non-RCRA hazardous waste will be disposed of at the facility; or
(2) the owner or operator certifies that such unit is in compliance with all applicable ground water monitoring and financial responsibility requirements;
(f) for owners or operators of each incinerator facility which has achieved interim status prior to November 8, 1984, interim status terminates on November 8, 1989, unless one of the following applies:
(1) Part A of the facility's permit application specifies that only non-RCRA hazardous waste will be incinerated at the facility; or
(2) the owner or operator of the facility submits a Part B application for a permit for an incinerator facility by November 8, 1986;
(g) for owners or operators of any facility (other than a land disposal or an incinerator facility) which has achieved interim status prior to November 8, 1984, interim status terminates on November 8, 1992, unless one of the following applies:
(1) Part A of the facility's permit application specifies that only non-RCRA hazardous wastes will be transferred, treated, or stored at the facility; or
(2) the owner or operator of the facility submits a Part B application for a permit for the facility by November 8, 1988.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25200.5 and 25200.7, Health and Safety Code and 40 CFR Section 270.73.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
2. Editorial correction restoring appropriate hierarchical structure (Register 93, No. 20).
3. Amendment  of subsections (f) and (g) and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).

Appendix I

Classification of Permit Modifications

	Modifications	Class
A. General Permit Provisions

1. Administrative and informational changes.	1	

2. Correction of typographical errors.	1	

3. Equipment replacement or upgrading with functionally equivalent components (e.g., pipes, valves, pumps, conveyors, controls).	1	
4. Changes in the frequency of or procedures for monitoring, reporting, sampling, or maintenance activities by the permittee:

a. To provide for more frequent monitoring, reporting, sampling, or maintenance.	1	

b. Other changes.	2	

	Modifications	Class
5. Schedule of compliance:

a. Changes in interim compliance dates, with prior approval of the Department.	1	*

b. Extension of final compliance date.	3

6. Changes in expiration date of permit to allow earlier permit termination, with prior approval of the Department.	1	*

7. Changes in ownership or operational control of a facility, provided the procedures of section 66270.40(b) are followed.	1	*
B. General Facility Standards
1. Changes to waste sampling or analysis methods:

a. To conform with Department guidance or regulations.	1

b. To incorporate changes associated with F039 (multi-
source leachate) sampling or analysis methods	1*

c. To incorporate changes associated with underlying
hazardous constituents in ignitable or corrosive wastes	1*

d. Other changes.	2
2. Changes to analytical quality assurance/control plan:

a. To conform with Department guidance or regulations.	1

b. Other changes.	2

3. Changes in procedures for maintaining the operating record.	1

4. Changes in frequency or content of inspection schedules.	2
5. Changes in the training plan:

a. That affect the type or decrease the amount of training given to employees.	2	 

b. Other changes.	1
6. Contingency plan:

a. Changes in emergency procedures (i.e., spill or release response procedures).	2

b. Replacement with functionally equivalent equipment, upgrade, or relocate emergency equipment listed.	1

c. Removal of equipment from emergency equipment list.	2

d. Changes in name, address, or phone number of coordinators or other persons or agencies identified in the plan.	1
7. Construction quality assurance plan:

a. Changes that the CQA officer certifies in the operating record will provide equivalent or better certainty that the unit components meet the design specifications.	1

b. Other changes	2
Note: When a permit modification (such as introduction of a new unit)   requires a change in facility plans or other general facility standards, that  change shall be reviewed under the same procedures as the permit   modification.
C. Water Quality and Environmental Protection
1. Changes to monitoring points:

a. Changes in the number, location, depth, or design of monitoring points or background monitoring points of a permitted water quality or environmental monitoring system.	2

b. Replacement of an existing monitoring point that has been damaged or rendered inoperable, without change to location, design, or depth of the monitoring point.	1

2. Changes in a water quality or environmental sampling or analytical procedure or monitoring schedule, with prior approval of the Department.	1	*

3. Changes in statistical procedure for determining whether a statistically significant change in water quality or environmental quality between monitoring points and background monitoring points has occurred, with prior approval of the Department.	1	

4. Changes in the point of compliance.	2
5. Changes in constituents of concern, monitoring parameters, or concentration limits:

a. As specified in the water quality or environmental protection standard.	3	

	Modifications	Class

b. As specified for a detection monitoring program.	2	
6. Detection monitoring program:

a. Addition of a detection monitoring program as required by sections 66264.99(f)(3) and 66264.100(i)(3).	3

b. Changes to a detection monitoring program as required by section 66264.98(l) or (m) or section 66264.706(f), unless otherwise specified in this Appendix.	2
7. Evaluation or Compliance monitoring program:

a. Addition of an evaluation monitoring program as required by sections 66264.91(a)(2) or (a)(3).	3

b. Changes to an evaluation monitoring program as required by section 66264.99(h) or (i), unless otherwise specified in this Appendix.	2

c. Addition of a compliance monitoring program as required by section 66264.701(a)(1).	3

d. Changes to a compliance monitoring program as required by section 66264.707(e), unless otherwise specified in this Appendix.	2
8. Corrective action program: 

a. Addition of a corrective action program as required by section 66264.91(a)(4) or 66264.701(a)(2).	3

b. Changes to a corrective action program as required by section 66264.100(k) or (1) or section 66264.708(h), unless otherwise specified in this Appendix.	2
D. Closure
1. Changes to the closure plan:

a. Changes in estimate of maximum extent of operations or maximum inventory of waste on-site at any time during the active life of the facility, with prior approval of the Department.	1	*

b. Changes in the closure schedule for any unit, changes in the final closure schedule for the facility, or extension of the closure period, with prior approval of the Department. 	1	*

c. Changes in the expected year of final closure, where other permit conditions are not changed, with prior approval of the Department.	1	*

d. Changes in procedures for decontamination of facility equipment or structures, with prior approval of the Department.	1	*

e. Changes in approved closure plan resulting from unexpected events occurring during partial or final closure, unless otherwise specified in this Appendix.	2

f. Extension of the closure period to allow a landfill, surface impoundment, or land treatment unit to receive non-hazardous wastes after final receipt of hazardous wastes under
sections 66264.113(d) and (e) of chapter 14.	2

2. Creation of a new landfill unit as part of closure. 	3
3. Addition of the following new units to be used temporarily for closure activities:

a. Surface impoundments.	3

b. Incinerators.	3

c. Waste piles that comply with the following requirements:	2
--the waste pile is inside or under a structure that provides protection from precipitation so that neither run-off nor leachate is generated,
--liquids or materials containing free liquids are not placed in the waste pile,
--the waste pile is protected from surface water run-on by the structure or in some other manner,
--the waste pile is designed and operated to control dispersal of the waste by wind, where necessary, by means other than wetting, and
--the waste pile shall not generate leachate through decomposition or other reactions.

d. Waste piles that do not comply with the requirements of D(3)(c) of this Appendix.	3

	Modifications	Class

e. Tanks or containers (other than specified below).	2

f. Tanks used for neutralization, dewatering, phase separation, or component separation, with prior approval of the Department.	1	*
E. Post-Closure

1. Changes in name, address, or phone number of contact in post-closure plan. 	1

2. Extension of post-closure care period.	2

3. Reduction in the post-closure care period.	3

4. Changes to the expected year of final closure, where other permit conditions are not changed.	1

5. Changes in post-closure plan necessitated by events occurring during the active life of the facility, including partial and final closure.	2
F. Containers
1. Modification or addition of container units:

a. Resulting in greater than 25% increase in the facility's container storage capacity, except as provided in F(1)(c) and F(4)(a) below.	3

b. Resulting in up to 25% increase in the facility's container storage capacity, except as provided in F(1)(c) and F(4)(a) below.	2

c. Or treatment processes necessary to treat wastes that are restricted from land disposal to meet some or all of the applicable treatment standards or to treat wastes to satisfy (in whole or in part) the standard of  “use of practically available technology that yields the greatest environmental benefit” contained in section 66268.8(a)(2)(B), with prior approval of the Department. This modification may also involve addition of new waste codes or narrative descriptions of wastes. It is not applicable to dioxin-containing wastes (F020, 021, 022, 023, 026, 027, and 028).	1	*

2. a. Modification of a container unit without increasing the capacity of the unit.	2

b. Addition of a roof to a container unit without alteration of the containment system.	1
3. Storage of different wastes in containers, except as provided in F(4) below:

a. That require additional or different management practices from those authorized in the permit.	3

b. That do not require additional or different management practices from those authorized in the permit.	2
Note: See section 66270.42(g) for modification procedures to be used for the management of newly listed or identified wastes.
4. Storage or treatment of different wastes in containers:

a. That require addition of units or change in treatment process or management standards, provided that the wastes are restricted from land disposal and are to be treated to meet some or all of the applicable treatment standards, or that are to be treated to satisfy (in whole or in part) the standard of “use of practically available technology that yields the greatest environmental benefit” contained in section 66268.8(a)(2)(B). This modification is not applicable to dioxin-containing wastes (F020, 021, 022, 023, 026, 027, and 028).	1

b. That do not require the addition of units or a change in the treatment process or management standards, and provided that the units have previously received wastes of the same type (e.g., incinerator scrubber water). This modification is not applicable to dioxin-containing wastes (F020, 021, 022, 023, 026, 027, and 028).	1

5. Modifications to conform to the Department's changes in empty container management practices.	2

6. Other changes in container management practices (e.g., aisle space; types of containers; segregation).	2

G. Tanks.	1
1.

	Modifications	Class

a. Modification or addition of tank units resulting in greater than 25% increase in the facility's tank capacity, except as provided in G(1)(c), G(1)(d), and G(1)(e) below.	3

b. Modification or addition of tank units resulting in up to 25% increase in the facility's tank capacity, except as provided in G(1)(d) and G(1)(e) below.	2

c. Addition of a new tank that will operate for more than 90 days using any of the following physical or chemical treatment technologies: neutralization, dewatering, phase separation, or component separation.	2

d. After prior approval of the Department, addition of a new tank that will operate for up to 90 days using any of the following physical or chemical treatment technologies: neutralization, dewatering, phase separation, or component separation. 	1	*

e. Modification or addition of tank units or treatment processes necessary to treat wastes that are restricted from land disposal to meet some or all of the applicable treatment standards or to treat wastes to satisfy (in whole or in part) the standard of “use of practically available technology that yields the greatest environmental benefit” contained in section 66268.8(a)(2)(B), with prior approval of the Department. This modification may also involve addition of new waste codes. It is not applicable to dioxin-containing wastes (F020, 021, 022, 023, 026, 027, and 028).	1	*

2. Modification of a tank unit or secondary containment system without increasing the capacity of the unit.	2

3. Replacement of a tank with a tank that meets the same design standards and has a capacity within +/- 10% of the replaced tank provided:	1
--The capacity difference is no more than 1500 gallons,
--The facility's permitted tank capacity is not increased and
--The replacement tank meets the same conditions in the permit.

4. Modification of a tank management practice.	2

5. Management of different wastes in tanks:	

a. That require additional or different management practices, tank design, different fire protection specifications, or significantly different tank treatment process from that authorized in the permit, except as provided in G(5)(c) below.	3

b. That do not require additional or different management practices, tank design, different fire protection specifications, or significantly different tank treatment process than those authorized in the permit, except as provided in G(5)(d) below.	2

c. That require addition of units or change in treatment processes or management standards, provided that the wastes are restricted from land disposal and are to be treated to meet some or all of the applicable treatment standards or that are to be treated to satisfy (in whole or in part) the standard of “use of practically available technology that yields the greatest environmental benefit” contained in section 66268.8(a)(2)(B). This modification is not applicable to dioxin-containing wastes (F020, 021, 022, 023, 026, 027, and 028).	1	*

d. That do not require the addition of units or a change in the treatment process or management standards, and provided that the units have previously received wastes of the same type (e.g., incinerator scrubber water). This modification is not applicable to dioxin-containing wastes (F020, 021, 022, 023, 026, 027, and 028).	1
Note: See section 66270.42(g) for modification procedures to be used for the management of newly listed or identified wastes.
H. Surface Impoundments

1. Modification or addition of surface impoundment units that result in increasing the facility's surface impoundment storage or treatment capacity.	3

	Modifications	Class

2. Replacement of a surface impoundment unit.	3

3. Modification of a surface impoundment unit without increasing the facility's surface impoundment storage or treatment capacity and without modifying the unit's liner, leak detection system, or leachate collection system. 	2

4. Modification of a surface impoundment management practice.	2
5. Treatment, storage, or disposal of different wastes in surface impoundments:

a. That require additional or different management practices or different design of the liner or leak detection system than authorized in the permit.	3

b. That do not require additional or different management practices or different design of the liner or leak detection system than authorized in the permit.	2

c. That are wastes restricted from land disposal that meet the applicable treatment standards or that are treated to satisfy the standard of “use of practically available technology that yields the greatest environmental benefit” contained in section 66268(a)(2)(B), and provided that the unit meets the minimum technological requirements stated in section 66268.5(h)(2). This modification is not applicable to dioxin-containing wastes (F020, 021, 022, 023, 026, 027, and 028).	1

d. That are residues from wastewater treatment or incineration, provided that disposal occurs in a unit that meets the minimum technological requirements stated in section 66268.5(h)(2), and provided further that the surface impoundment has previously received wastes of the same type (for example, incinerator scrubber water). This modification is not applicable to dioxin-containing wastes (F020, 021, 022, 023,026, 027, and 028).	1

6. Modifications of unconstructed units to comply with sections 66264.221(c), 66264.222, 66264.223, and 66264.226(d)	*1
7. Changes in response action plan:

a. Increase in action leakage rate	3

b. Change in a specific response reducing its frequency 
or effectiveness.	3

c. Other changes	2
Note: See section 66270.42(g) for modification procedures to be used for the management of a newly listed or identified wastes.
I. Enclosed Waste Piles
For all waste piles except those complying with the requirements of D(3)(c) of this Appendix, modifications are treated the same as for a landfill. The following modifications are applicable only to waste piles complying with D(3)(c) of this Appendix.
1. Modification or addition of waste pile units:

a. Resulting in greater than 25% increase in the facility's waste pile storage or treatment capacity.	3

b. Resulting in up to 25% increase in the facility's waste pile storage or treatment capacity.	2

2. Modification of waste pile unit without increasing the capacity of the unit. 	2

3. Replacement of a waste pile unit with another waste pile unit of the same design and capacity and meeting all waste pile conditions in the permit.	1

4. Modification of a waste pile management practice.	2
5. Storage or treatment of different wastes in waste piles:

a. That require additional or different management practices or different design of the unit.	3

	Modifications	Class

b. That do not require additional or different management practices or different design of the unit.	2

6. Conversion of an enclosed waste pile to a containment building unit.	2
Note: See section 66270.42(g) for modification procedures to be used for the management of newly listed or identified wastes.
J. Landfills and Unenclosed Waste Piles

1. Modification or addition of landfill units that result in increasing the facility's disposal capacity.	3

2. Replacement of a landfill.	3

3. Addition or modification of a liner, leachate collection system, leachate detection system, run-off control, or final cover system.	3

4. Modification of a landfill unit without changing a liner, leachate collection system, leachate detection system, run-off control, or final cover system.	2

5. Modification of a landfill management practice.	2
6. Landfill different wastes:

a. That require additional or different management practices, different design of the liner, leachate collection system, or leachate detection system.	3

b. That do not require additional or different management practices, different design of the liner, leachate collection system, or leachate detection system.	2

c. That are wastes restricted from land disposal that meet the applicable treatment standards or that are treated to satisfy the standard of “use of practically available technology that yields the greatest environmental benefit” contained in section 66268.8(a)(2)(B), and provided that the landfill unit meets the minimum technological requirements stated in section 66268.5(h)(2). This modification is not applicable to dioxin-containing wastes (F020, 021, 022, 023, 026, 027, and 028).	1

d. That are residues from wastewater treatment or incineration, provided that disposal occurs in a landfill unit that meets the minimum technological requirements stated in section 66268.5(h)(2), and provided further that the landfill has previously received wastes of the same type (for example, incinerator ash). This modification is not applicable to dioxin-containing wastes (F020, 021,022, 023, 026, 027, and 028).	1

7. Modifications of unconstructed units to comply with sections 66264.251(c), 66264.252, 66264.253, 66264.254(c), 66264.301(c), 66264.302, 66264.303(c), and 66264.304.	*1
8. Changes in response action plan:

a. Increase in action leakage rate	3

b. Change in a specific response reducing its frequency 
or effectiveness	3

c. Other changes	2
Note: See section 66270.42(g) for modification procedures to be used for the management of newly listed or identified wastes.
K. Land Treatment

1. Lateral expansion of or other modification of a land treatment unit to increase areal extent.	3

2. Modification of run-on control system.	2

3. Modify run-off control system.	3

4. Other modifications of land treatment unit component specifications or standards required in permit.	2
5. Management of different wastes in land treatment units:

a. That require a change in permit operating conditions or unit design specifications.	3

b. That do not require a change in permit operating conditions or unit design specifications.	2
Note: See section 66270.42(g) for modification procedures to be used for the management of newly listed or identified wastes.

	Modifications	Class
6. Modification of a land treatment unit management practice to:

a. Increase rate or change method of waste application.	3

b. Decrease rate of waste application.	1

7. Modification of a land treatment unit management practice to change measures of pH or moisture content, or to enhance microbial or chemical reactions.	2
8. [Reserved]

9. Modification of operating practice due to detection of releases from the land treatment unit pursuant to section 66264.278(j)(1).	3

10. Changes in the unsaturated zone monitoring system,resulting in a change to the location, depth, number of sampling points, or replace unsaturated zone monitoring devices or components of devices with devices or components that have specifications different from permit requirements.	3

11. Changes in the unsaturated zone monitoring system that do not result in a change to the location, depth, number of sampling points, or that replace unsaturated zone monitoring devices or components of devices with devices or components having specifications different from permit requirements.	2

12. Changes in background values for hazardous constituents in soil and soil-pore liquid.	2

13. Changes in sampling, analysis, or statistical procedure.	2

14. Changes in land treatment demonstration program prior to or during the demonstration.	2

15. Changes in any condition specified in the permit for a land treatment unit to reflect results of the land treatment demonstration, provided performance standards are met, and the Department's prior approval has been received.	1	*

16. Changes to allow a second land treatment demonstration to be conducted when the results of the first demonstration have not shown the conditions under which the wastes can be treated completely, provided the conditions for the second demonstration are substantially the same as the conditions for the first demonstration and have received the prior approval of the Department.	1	*

17. Changes to allow a second land treatment demonstration to be conducted when the results of the first demonstration have not shown the conditions under which the wastes can be treated completely, where the conditions for the second demonstration are not substantially the same as the conditions for the first demonstration.	3

18. Changes in vegetative cover requirements for closure.	2
L. Incinerators, Boilers, and Industrial Furnaces:

1. Changes to increase by more than 25% any of the following limits authorized in the permit: A thermal feed rate limit, a feedstream feed rate limit, a chlorine/chloride feed rate limit, a metal feed rate limit, or an ash feed rate limit. The Department will require a new trial burn to substantiate compliance with the regulatory performance standards unless this demonstration can be made through other means.	3

2. Changes to increase by up to 25% any of the following limits authorized in the permit: A thermal feed rate limit, a feedstream feed rate limit, a chlorine/chloride feed rate limit, a metal feed rate limit, or an ash feed rate limit. The Director will require a new trial burn to substantiate compliance with the regulatory performance standards unless this demonstration can be made through other means.	2

	Modifications	Class

3. Modification of an incinerator, boiler, or industrial furnace unit by changing the internal size or geometry of the primary or secondary combustion units, by adding a primary or secondary combustion unit, by substantially changing the design of any component used to remove HCl/Cl2, metals, or particulate from the combustion gases, or by changing other features of the incinerator, boiler, or industrial furnace that could affect its capability to meet the regulatory performance standards. The Director will require a new trial burn to substantiate compliance with the regulatory performance standards unless this demonstration can be made through other 
means.	3

4. Modification of an incinerator, boiler, or industrial furnace unit in a manner that would not likely affect the capability of the unit to meet the regulatory performance standards but which would change the operating conditions or monitoring requirements specified in the permit. The Director may require a new trial burn to demonstrate compliance with the regulatory performance standards.	2
5. Operating requirements:

a. Modification of the limits specified in the permit for minimum or maximum combustion gas temperature, minimum combustion gas residence time, oxygen concentration in the secondary combustion chamber, flue gas carbon monoxide and hydrocarbon concentration, maximum temperature at the inlet to the particulate matter emission control system, or operating parameters for the air pollution control system. The Department will require a new trial burn to substantiate compliance with the regulatory performance standards unless this demonstration can 
be made through other means.	3

b. Modification of any stack gas emission limits specified in the permit, or modification of any conditions in the permit concerning emergency shutdown or automatic waste feed cutoff procedures or controls.	3

c. Modification of any other operating condition or any inspection or recordkeeping requirement specified in the permit.	2
6. Burning different wastes:

a. If the waste contains a POHC that is more difficult to burn than authorized by the permit or if burning of the waste requires compliance with different regulatory performance standards than specified in the permit. The Department will require a new trial burn to substantiate compliance with the regulatory performance standards unless this demonstration can be made through other means.	3

b. If the waste does not contain a POHC that is more difficult to burn than authorized by the permit and if burning of the waste does not require compliance with different regulatory performance standards than specified in the permit.	2
Note: See section 66270.42(g) for modification procedures to be used for the management of newly listed or identified wastes.
7. Shakedown and trial burn:

a. Modification of the trial burn plan or any of the permit conditions applicable during the shakedown periods for determining operational readiness after construction, the trial burn period, or the period immediately following the trial burn.	2
b. Authorization of up to an additional 720 hours of waste burning during the shakedown period for determining opera--

tional readiness after construction, with the prior approval of the Department.	1	*

	Modifications	Class

c. Changes in the operating requirements set in the permit for conducting a trial burn, provided the change is minor and has received the prior approval of the Department.	1	*

d. Changes in the ranges of the operating requirements set in the permit to reflect the results of the trial burn, provided the change is minor and has received the prior approval of the Department.	1*

8. Substitution of an alternate type of nonhazardous waste fuel that is not specified in the permit. 	1
M. Containment Buildings.
1. Modification or addition of containment building units:

a. Resulting in greater than 25% increase in the facility's containment building storage or treatment capacity 	3

b. Resulting in up to 25% increase in the facility's containment building storage or treatment capacity	2

2. Modification of a containment building unit or secondary containment system without increasing the capacity of the unit	2
3. Replacement of a containment building with a containment building that meets the same design standards provided:

a. The unit capacity is not increased	1

b. The replacement containment building meets the same conditions in the permit	1

4. Modification of a containment building management practice	2
5. Storage or treatment of different wastes in containment buildings:

a. That require additional or different management 
practices	3

b. That do not require additional or different management practices	2
N. Corrective Action

1. Approval of a corrective action management unit pursuant to article 15.5 of chapter 14.	3

2. Approval of a temporary unit or time extension for a temporary unit pursuant to article 15.5 of chapter 14.	2

----------
*Class 1 modifications requiring prior Department approval.
NOTE

Authority cited: Sections 25150, 25159, 25159.5, 25179.6, 58004 and 58012, Health and Safety Code.  Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 270.42, 40 CFR Part 270, Appendix I.
HISTORY

1. New Appendix I filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. New subpart F.5. and renumbering filed 8-25-92; operative 8-25-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 35).
3. Editorial correction of HisTORY 1 (Register 93, No. 52).
4. New subparts M. (reserved) and N-N.2 and amendment of Note filed 12-23-93  as an emergency; operative 12-23-93 (Register 93, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-9-94 or emergency language will be repealed by operation of law on the following day. 
5. New subparts M and N-N.2 and amendment of Note  refiled 4-25-94 as an emergency; operative 4-25-94 (Register  94, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-94 or emergency language will be repealed by operation of law on the following day.
6. New subparts M and N-N.2 refiled 8-22-94 as an emergency; operative 8-22-94 (Register 94, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-20-04 or emergency language will be repealed by operation of law on the following day.
7. New subsections B1b-c and subsection redesignation, new subsections I6 and M-M5b and amendment of Note filed 10-24-94 as an emergency; operative 10-24-94 (Register 94, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-20-95 or emergency language will be repealed by operation of law on the following day.
8. New subparts M and N-N.2 refiled 12-22-94 as an emergency; operative 12-22-94 (Register 94, No. 51). A Certificate of Compliance must be transmitted to OAL 4-21-95 or emergency language will be repealed by operation of law on the following day.
9. New subsections B.1.b.-c. and subsection redesignation, new subsections I.6. and M.-M.5.b. and amendment of Note refiled 2-21-95 as an emergency; operative 2-21-95 (Register 95, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-21-95 or emergency language will be repealed by operation of law on the following day.
10. New subsections B.1.b.-c. and subsection redesignation, new subsections I.6 and M.-M.5.b. and amendment of Note refiled 6-19-95 as an emergency; operative 6-19-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-17-95 or emergency language will be repealed by operation of law on the following day.
11. New subsections N.-N.2. refiled 6-29-95 as an emergency; operative 6-29-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-95 or emergency language will be repealed by operation of law on the following day.
12. New subsections B.7.a.-b., H.6.-7.c. and J.7.-8.c. and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
13. New subsections B.1.b.-c. and subsection redesignation, new subsections I.6 and M.-M.5.b and amendment of Note refiled 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
14. New subsections N.--N.2. and amendment of Note refiled 10-26-95 as an emergency; operative 10-26-95 (Register 95, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-23-96 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 10-26-95 order transmitted to OAL 11-30-95 and filed 1-16-96 (Register 96, No. 3).
16. Certificate of Compliance as to 10-24-94 order including amendment of subsection M. heading and Note transmitted to OAL 12-15-95 and filed 1-31-96 (Register 96, No. 5).
17. New subparagraph D.1.f. and amendment of Note filed 6-20-96; operative 7-20-96 (Register 96, No. 25).
18. Amendment of subparagraphs L-L.8 and Note filed 7-1-96; operative 7-31-96 (Register 96, No. 27).
19. Change without regulatory effect amending Appendix I, subsections H.6. and J.7. and Note filed 6-30-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 27).
20. Change without regulatory effect amending appendix I filed 8-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 33).
Chapter 21. Procedures for Hazardous Waste Permit Decisions
Article 1. General Program Requirements
§66271.1. Purpose and Scope.
Note     •     History

(a) This chapter contains the Department's procedures for issuing, modifying, revoking and reissuing, denying or revoking all hazardous waste facility “permits” other than “emergency permits” (see section 66270.61) and “permits by rule” (section 66270.60). Emergency permits are governed by section 66270.61. Permits by rule are governed by section 67450.9. Interim status is not a “permit” and is covered by specific provisions in chapter 20 of this division. The procedures of this chapter also apply to denial of a permit for the active life of a hazardous waste management facility or unit under section 66270.29.
(b) Chapter 21 contains general procedural requirements applicable to all permit programs covered by these regulations. Chapter 21 describes the steps the Department will follow in receiving permit applications, preparing draft permits, issuing public notices, inviting public comments and holding public hearings on draft permits. Chapter 21 also covers assembling an administrative record, responding to comments, issuing a final permit decision, and allowing for administrative appeal of the final permit decision.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25186, 25186.1, 25186.2 and 25200, Health and Safety Code; 40 CFR Section 124.1.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of  subsection (a) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Change without regulatory effect adding new article 1 heading filed 12-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 51).
§66271.2. Application for a Permit.
Note     •     History

(a)(1) Any person who requires a permit under Health and Safety Code section 25201 shall complete, sign, and submit to the Department an application for the permit required under section 66270.1. Applications are not required for permits by rule (section 66270.60).
(2) The Department shall not begin the processing of a permit until the applicant has fully complied with the application requirements for that permit. (See sections 66270.10 and 66270.13.)
(3) Permit applications shall comply with the signature and certification requirements of section 66270.11.
(b) [Reserved]
(c)(1) No later than 30 calendar days after receipt of a permit application, the Department shall review the application for completeness (in accordance with the provisions of chapter 4.5 (commencing with section 65920) of division 1 of Title 2 of the Government Code and Health and Safety Code section 25199.6)), and notify the applicant in writing whether the application is complete.
(2) If the application is incomplete, the Department's written notice to the applicant shall specify those parts of the application which are incomplete and shall indicate the manner in which they can be made complete, including a list and thorough description of the specific information needed to complete the application. The Department shall specify in the notice of deficiency a date for submitting the necessary information. The applicant shall submit to the Department the materials necessary to make the application complete, as specified by the Department in the written notice of incompleteness. No later than 60 calendar days after receiving additional application materials, submitted in response to a notice of incompleteness, the Department shall notify the applicant in writing whether the application with the additional materials is complete.
(3) If the application together with the additional materials is determined to be incomplete, the applicant may appeal the Department's determination to the Director. Such an appeal shall be made in writing within 30 days after the issuance of the incompleteness determination, and shall include a statement of the reasons supporting the appeal. The Director shall grant or deny the appeal in writing no later than 60 calendar days after receipt of the written appeal.
(4) The application shall not be deemed complete if the Department fails to make a written completeness determination within 60 calendar days or if the Director fails to provide a written response to an appeal within 60 calendar days. An application is deemed complete when the Department notifies the applicant in writing that the application is complete.
(5) Nothing in this subsection shall preclude the applicant and the Department from mutually agreeing to an extension of any time limit specified in this subsection.
(6) After the application is completed, the Department may request additional information from an applicant but only when necessary to clarify, modify, or supplement previously submitted material. Requests for such additional information will not render an application incomplete.
(d) The Department may deny a permit for any cause specified in Health and Safety Code section 25186.
(e) If an applicant fails or refuses to correct deficiencies in the application, the permit may be denied and appropriate enforcement actions may be taken under Health and Safety Code sections 25186, 25187, 25189.3 or 25200.8. If an applicant does not respond to three or more notices of deficiency regarding the same or different deficiencies or responds with substantially incomplete or substantially unsatisfactory information on three or more occasions, the Department shall initiate proceedings to deny the permit application in accordance with the requirements of this chapter. This section does not preclude the Department from initiating permit denial proceedings prior to sending three notices of deficiency.
(f) If the Department decides that a site visit is necessary for any reason in conjunction with the processing of an application, the Department shall notify the applicant and a date shall be scheduled.
(g) The effective date of an application is the date on which the Department notifies the applicant that the application is complete as provided in subsection (c) of this section.
(h) For each application from a major new HWM facility the Department shall, no later than the effective date of the application, prepare and mail to the applicant a project decision schedule. The schedule shall specify target dates by which the Department intends to:
(1) prepare a draft permit;
(2) give public notice;
(3) complete the public comment period, including any public hearing; and
(4) issue a final permit.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Chapter 4.5 (commencing with Section 65920) of Division 1 of Title 2, Government Code, Sections 25159, 25159.5, 25186, 25187, 25189.3, 25199.6, 25200, and 25200.8, Health and Safety Code; 40 CFR Section 124.3.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending subsection (c)(1) filed 3-15-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 11).
§66271.4. Request for Modification, Revocation and Reissuance, or Revocation of Permits.
Note     •     History

(a) Permits may be modified, revoked and reissued, or revoked either at the request of any interested person (including the permittee) or upon the Department's initiative. However, permits may only be modified, revoked and reissued, or revoked for the reasons specified in section 66270.41 or 66270.43 or Health and Safety Code section 25186. All requests shall be in writing and shall contain facts or reasons supporting the request.
(b) If the Department decides the request is not justified, the Department shall send the requester a brief written response giving a reason for the decision. Denials of requests for modification, revocation and reissuance, or revocation are not subject to public notice, comment, or hearings.
(c)(1) If the Department tentatively decides to modify or revoke and reissue a permit under section 66270.41 or 66270.42(c), the Department shall prepare a draft permit under section 66271.5 incorporating the proposed changes. The Department may request additional information and, in the case of a modified permit, may require the submission of an updated application. In the case of revoked and reissued permits, the Department shall require the submission of a new application.
(2) In a permit modification under this section, only those conditions to be modified shall be reopened when a new draft permit is prepared. All other aspects of the existing permit shall remain in effect for the duration of the unmodified permit. When a permit is revoked and reissued under this section, the entire permit is reopened just as if the permit had expired and was being reissued. During any revocation and reissuance proceeding the permittee shall comply with all conditions of the existing permit until a new final permit is reissued.
(3) “Class 1 and 2 modifications” as defined in sections 66270.42(a) and (b) are not subject to the requirements of this section.
(d) All draft permits prepared under this section shall be based on the administrative record as defined in section 66271.8.
(e) If the Department decides to revoke a permit, it shall initiate adjudicatory proceedings under the Administrative Procedure Act (Gov. Code § 11500 et seq.) by serving an Accusation on the holder of the permit.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25186, 25286.1 and 25200, Health and Safety Code; 40 CFR Section 124.5.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section heading, subsections (a)-(c)(1) and (c)(3), repealer of subsection (d), subsection relettering, new subsection (e) and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66271.5. Draft Permits.
Note     •     History

(a) Once an application is complete, the Department shall tentatively decide whether to prepare a draft permit or to deny the application.
(b) If the Department tentatively decides to deny the permit application, the Department shall issue a notice of intent to deny. A notice of intent to deny the permit application is a type of draft permit which follows the same procedures as any draft permit prepared under this section. See subsection (d) of this section. If the Department's final decision (see section 66271.14) is that the tentative decision to deny the permit application was incorrect, the Department shall withdraw the notice of intent to deny and proceed to prepare a draft permit under subsection (c) of this section.
(c) If the Department decides to prepare a draft permit, it shall prepare a draft permit that contains the following information:
(1) all conditions under sections 66270.30 and 66270.32;
(2) all compliance schedules under section 66270.33;
(3) all monitoring requirements under section 66270.31; and
(4) standards for transfer, treatment, storage, and/or disposal and other permit conditions under section 66270.30.
(d) All draft permits prepared under this section shall be accompanied by a statement of basis (section 66271.6) or fact sheet (section 66271.7), and shall be based on the administrative record (section 66271.8), publicly noticed (section 66271.9) and made available for public comment (section 66271.10). The Department shall give notice of opportunity for a public hearing (section 66271.11), issue a final decision (section 66271.14) and respond to comments (section 66271.16). An appeal may be taken under section 66271.18. Draft permits shall be accompanied by a fact sheet if required under section 66271.7.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 124.6.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66271.6. Statement of Basis.
Note     •     History

The Department shall prepare a statement of basis for every draft permit for which a fact sheet under section 66271.7 is not prepared. The statement of basis shall briefly describe the derivation of the conditions of the draft permit and the reasons for them or, in the case of notices of intent to deny, reasons supporting the tentative decision. The statement of basis shall be sent to the applicant and, on request, to any other person.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25186, 25186.1 and 25200, Health and Safety Code; 40 CFR Section 124.7.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66271.7. Fact Sheet.
Note     •     History

(a) A fact sheet shall be prepared for every draft permit for a major HWM facility, and for every draft permit which the Department finds is the subject of widespread public interest or raises major issues. The fact sheet shall briefly set forth the principal facts and the significant factual, legal, methodological and policy questions considered in preparing the draft permit. The Department shall send this fact sheet to the applicant and, on request, to any other person.
(b) The fact sheet shall include, when applicable:
(1) a brief description of the type of facility or activity which is the subject of the draft permit;
(2) the type and quantity of wastes, fluids, or pollutants which are proposed to be or are being transferred, treated, stored, disposed of, injected, emitted, or discharged;
(3) a brief summary of the basis for the draft permit conditions including references to applicable statutory or regulatory provisions and appropriate supporting references to the administrative record required by section 66271.8;
(4) reasons why any requested variances or alternatives to required standards do or do not appear justified;
(5) a description of the procedures for reaching a final decision on the draft permit including:
(A) the beginning and ending dates of the comment period under section 66271.9 and the address where comments will be received;
(B) procedures for requesting a hearing and the nature of that hearing; and
(C) any other procedures by which the public may participate in the final decision;
(6) name and telephone number of a person to contact for additional information.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 124.8.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66271.8. Administrative Record for Draft Permits.
Note     •     History

(a) The provisions of a draft permit prepared under section 66271.5 shall be based on the administrative record as defined in this section.
(b) For preparing a draft permit under section 66271.5, the record shall consist of:
(1) the application, if required, and any supporting data furnished by the applicant;
(2) the draft permit or notice of intent to deny the application;
(3) the statement of basis (section 66271.6) or fact sheet (section 66271.7);
(4) all documents cited in the statement of basis or fact sheet; and
(5) other documents contained in the supporting file for the draft permit.
(c) Material readily available at the Department or published material that is generally available, and that is included in the administrative record under subsection (b) of this section, need not be physically included with the rest of the record as long as it is specifically referred to in the statement of basis or the fact sheet.
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety; 40 CFR Section 124.9.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a) and (b)(2) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66271.9. Public Notice of Permit Actions and Public Comment Period.
Note     •     History

(a) Scope.
(1) The Department shall give public notice that the following actions have occurred:
(A) a permit application has been tentatively denied under section 66271.5(b);
(B) a draft permit has been prepared under section 66271.5(c);
(C) a hearing has been scheduled under section 66271.11; or
(D) an appeal has been granted under section 66271.18(b).
(2) No public notice is required when a request for permit modification, revocation and reissuance, or revocation is denied under section 66271.4(b). Written notice of that denial shall be given to the requester and to the permittee.
(3) Public notices may describe more than one permit or permit action.
(b) Timing.
(1) Public notice of the preparation of a draft permit (including a notice of intent to deny a permit application) required under subsection (a) of this section shall allow at least 45 days for public comment.
(2) Public notice of a public hearing shall be given at least 30 days before the hearing. Public notice of the hearing may be given at the same time as public notice of the draft permit and the two notices may be combined.
(c) Methods. Public notice of activities described in subsection (a)(1) of this section shall be given by the following methods:
(1) by mailing a copy of a notice to the following persons (any person otherwise entitled to receive notice under this subsection may waive his or her rights to receive notice for any classes and categories of permits):
(A) the applicant;
(B) any other agency which the Department knows has issued or is required to issue a permit for the same facility or activity (including USEPA);
(C) federal and State agencies with jurisdiction over fish, shellfish, and wildlife resources and over coastal zone management plans, the Advisory Council on Historic Preservation, State Historic Preservation Officers, and other appropriate government authorities, including any affected States;
(D) persons on a mailing list developed by:
1. including those who request in writing to be on the list;
2. soliciting persons for “area lists” from participants in past permit proceedings in that area; and
3. notifying the public of the opportunity to be put on the mailing list through periodic publication in the public press and in such publications as USEPA Region IX and State-funded newsletters, environmental bulletins, or State law journals; (The Department may update the mailing list from time to time by requesting written indication of continued interest from those listed. The Department may delete from the list the name of any person who fails to respond to such a request.)
(E) any unit of local government having jurisdiction over the area where the facility is proposed to be located, and each State agency having any authority under State law with respect to the construction or operation of such facility;
(2)(A) for major permits, publication of a notice in a daily or weekly newspaper within the area affected by the facility or activity;
(B) for all permits, publication of a notice in a daily or weekly major local newspaper of general circulation and broadcast over local radio stations;
(3) any other method reasonably calculated to give actual notice of the action in question to the persons potentially affected by it, including press releases or any other forum or medium to elicit public participation.
(d) Contents. (1) All public notices. All public notices issued under this chapter shall contain the following minimum information:
(A) name and address of the office processing the permit action for which notice is being given;
(B) name and address of the permittee or permit applicant and, if different, of the facility or activity regulated by the permit;
(C) a brief description of the business conducted at the facility or activity described in the permit application or the draft permit;
(D) name, address and telephone number of a person from whom interested persons may obtain further information, including copies of the draft permit , statement of basis or fact sheet, and the application; and
(E) a brief description of the comment procedures required by sections 66271.10 and 66271.11 and the time and place of any hearing that will be held, including a statement of procedures to request a hearing (unless a hearing has already been scheduled) and other procedures by which the public may participate in the final permit decision;
(F) the location of the administrative record required by section 66271.8, the times at which the record will be open for public inspection, and a statement that all data submitted by the applicant is available as part of the administrative record;
(G) any additional information considered necessary or proper.
(2) Public notices for hearings. In addition to the general public notice described in subsection (d)(1) of this section, the public notice of a hearing under section 66271.11, shall contain the following information:
(A) reference to the date of previous public notices relating to the permit;
(B) date, time, and place of the hearing; and
(C) a brief description of the nature and purpose of the hearing, including the applicable rules and procedures.
(e) In addition to the general public notice described in subsection (d)(1) of this section, all persons identified in subsections (c)(1)(A), (B), and (C) of this section shall be mailed a copy of the fact sheet or statement of basis, the permit application, and the draft permit.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 124.10.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsection (a)(2) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66271.10. Public Comments and Requests for Public Hearings.
Note     •     History

During the public comment period provided under section 66271.9, any interested person may submit written comments on the draft permit and may request a public hearing, if no hearing has already been scheduled. A request for a public hearing shall be in writing and shall state the nature of the issues proposed to be raised in the hearing. All comments shall be considered in making the final decision and shall be answered as provided in section 66271.16.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 124.11.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66271.11. Public Hearings.
Note     •     History

(a)(1) The Department shall hold a public hearing whenever it finds, on the basis of requests, a significant degree of public interest in a draft permit(s).
(2) The Department may also hold a public hearing at the Department's discretion, whenever, for instance, such a hearing might clarify one or more issues involved in the permit decision.
(3)(A) The Department shall hold a public hearing whenever the Department receives written notice of opposition to a draft permit and a request for a hearing within 45 days of public notice under section 66271.9(b)(1).
(B) Whenever possible the Department shall schedule a hearing under this section at a location convenient to the nearest population center to the proposed facility.
(4) Public notice of the hearing shall be given as specified in section 66271.9.
(b) Whenever a public hearing will be held, the Department shall designate a Presiding Officer for the hearing who shall be responsible for its scheduling and orderly conduct.
(c) Any person may submit oral or written statements and data concerning the draft permit. Reasonable limits may be set upon the time allowed for oral statements, and the submission of statements in writing may be required. The public comment period under section 66271.9 shall automatically be extended to the close of any public hearing under this section. The Department may also extend the comment period by so stating at the hearing.
(d) A tape recording or written transcript of the hearing shall be made available to the public.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 124.12.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66271.12. Obligation to Raise Issues and Provide Information During the Public Comment Period.
Note     •     History

All persons, including applicants, who believe any condition of a draft permit is inappropriate or that the Department's tentative decision to deny an application or prepare a draft permit is inappropriate, must raise all reasonably ascertainable issues and submit all reasonably available arguments and factual grounds supporting their position, including all supporting material, by the close of the public comment period (including any public hearing) under section 66271.9. All supporting materials shall be included in full and may not be incorporated by reference, unless they are already part of the administrative record in the same proceeding, or consist of State or Federal statutes and regulations, Department or USEPA documents of general applicability, or other generally available reference materials. Commenters shall make supporting material not already included in the administrative record available to the Department as directed by the Department. A comment period longer than 45 days may be necessary to give commenters a reasonable opportunity to comply with the requirements of this section. Additional time shall be granted under section 66271.9 to the extent that a commenter who requests additional time demonstrates the need for such time.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 124.13.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66271.13. Reopening of the Public Comment Period.
Note     •     History

(a)(1) The Department may order the public comment period reopened if the procedures of this subsection could expedite the decisionmaking process. When the public comment period is reopened under this subsection, all persons, including applicants, who believe any condition of a draft permit is inappropriate or that the Department's tentative decision to deny an application or prepare a draft permit is inappropriate, shall submit all reasonably available factual grounds supporting their position, including all supporting material, by a date, not less than sixty days after public notice under subsection (a)(2) of this section, set by the Department. Thereafter, any person may file a written response to the material filed by any other person, by a date, not less than twenty days after the date set for filing of the material, set by the Department.
(2) Public notice of any comment period under this subsection shall identify the issues which the requirements of section 66271.13(a) shall apply.
(3) On the Department's own motion or on the request of any person, the Department may direct that the requirements of subsection (a)(1) of this section shall apply during the initial comment period where it reasonably appears that issuance of the permit will be contested and that applying the requirements of subsection (a)(1) of this section will substantially expedite the decisionmaking process. The notice of the draft permit shall state whenever this has been done.
(4) A comment period of longer than 60 days will often be necessary in complicated proceedings to give commenters a reasonable opportunity to comply with the requirements of this section. Commenters may request longer comment periods and they shall be granted under section 66271.9 to the extent they appear necessary.
(b) If any data, information or arguments submitted during the public comment period, including information or arguments required under section 66271.12, appear to raise substantial new questions concerning a permit, the Department may take one or more of the following actions:
(1) prepare a new draft permit, appropriately modified, under section 66271.5;
(2) prepare a revised statement of basis under section 66271.6, a fact sheet or revised fact sheet under section 66271.7 and reopen the comment period under section 66271.13; or
(3) reopen or extend the comment period under section 66271.9 to give interested persons an opportunity to comment on the information or arguments submitted.
(c) Comments filed during the reopened comment period shall be limited to the substantial new questions that caused its reopening. The public notice under section 66271.9 shall define the scope of the reopening.
(d) Public notice of any of the above actions shall be issued under section 66271.9.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159.5 and 25200, Health and Safety Code; 40 CFR Section 124.14.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66271.14. Issuance and Effective Date of Permit.
Note     •     History

(a) After the close of the public comment period under section 66271.9 on a draft permit, the Department shall issue a final permit decision (or a decision to deny a permit for the active life of a hazardous waste management facility or unit under section 66270.29.) Final permit decisions shall be made and noticed in accordance with the provisions of Health and Safety Code section 25199.6 and chapter 4.5 (commencing with section 65920) of division 1 of Title 2 of the Government Code. The Department shall notify the applicant and each person who has submitted written comments or requested notice of the final permit decision. This notice shall include reference to the procedures for appealing a decision on a permit. For the purposes of this section, a final permit decision means a final decision to issue, deny, modify, or revoke and reissue a permit.
(b) A final permit decision (or a decision to deny a permit for the active life of a hazardous waste management facility or unit under section 66270.29) shall become effective 30 days after the service of notice of the decision unless:
(1) a later effective date is specified in the decision; or
(2) review is requested under section 66271.18; or
(3) No comments requested a change in the draft permit, in which case the permit shall become effective immediately upon issuance.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25186, 25186.1 and 25200, Health and Safety Code; 40 CFR Section 124.15.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of subsections (a) and (b)(2) and Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66271.15. Stays of Contested Permit Conditions.
Note     •     History

(a) Stays. (1) If a request for review of a permit is granted, the effect of the contested permit conditions shall be stayed and shall not be subject to judicial review pending final Department action. If the permit involves a new facility, the applicant shall be without a permit for the proposed new facility.
(2) Uncontested conditions which are not severable from those contested shall be stayed together with the contested conditions. Stayed provisions of permits for existing facilities shall be identified by the Department. All other provisions of the permit for the existing facility shall remain fully effective and enforceable.
(b) Stays based on cross effects. A stay may be granted based on the grounds that an appeal to the Department under section 66271.18 of one permit may result in changes to another permit only when each of the permits involved has been appealed to the Department and the Department has accepted each appeal.
(c) Any facility or activity holding an existing permit shall:
(1) comply with the conditions of that permit during any modification or revocation and reissuance proceeding under section 66271.4; and
(2) to the extent conditions of any new permit are stayed under this section, comply with the conditions of the existing permit which correspond to the stayed conditions, unless compliance with the existing conditions would be technologically incompatible with compliance with other conditions of the new permit which have not been stayed.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 124.16.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66271.16. Response to Comments.
Note     •     History

(a) At the time that any final permit decision is issued under section 66271.14, the Department shall issue a response to comments. This response shall:
(1) specify which provisions, if any, of the draft permit have been changed in the final permit decision, and the reasons for the change; and
(2) briefly describe and respond to all significant comments on the draft permit raised during the public comment period, or during any hearing.
(b) Any documents cited in the response to comments shall be included in the administrative record for the final permit decision as defined in section 66271.17. If new points are raised or new material supplied during the public comment period, the Department may document its response to those matters by adding new materials to the administrative record.
(c) The response to comments shall be available to the public.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 124.17.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66271.17. Administrative Record for Final Permit.
Note     •     History

(a) The Department shall base final permit decisions under section 66271.14 on the administrative record defined in this section.
(b) The administrative record for any final permit shall consist of the administrative record for the draft permit and:
(1) all comments received during the public comment period provided under section 66271.9 (including any extension or reopening under section 66271.13);
(2) the tape or transcript of any hearing(s) held under section 66271.11;
(3) any written materials submitted at such a hearing;
(4) the response to comments required by section 66271.16 and any new material placed in the record under that section;
(5) other documents contained in the supporting file for the permit; and
(6) the final permit.
(c) The additional documents required under subsection (b) of this section shall be added to the record as soon as possible after their receipt. The record shall be complete on the date the final permit is issued.
(d) This section applies to all final permits when the draft permit was subject to the administrative record requirements of section 66271.8.
(e) Material readily available at the Department, or published materials which are generally available and which are included in the administrative record under the standards of this section or of section 66271.16 (“Response to comments”), need not be physically included in the same file as the rest of the record as long as it is specifically referred to in the statement of basis or fact sheet or in the response to comments.
NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code; 40 CFR Section 124.18.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66271.18. Appeal of Decisions to Grant, Issue, Modify, or Deny Permits.
Note     •     History

(a) Within 30 days after a final permit decision [or a decision under section 66270.29 to deny a permit for the active life of a hazardous waste management facility or unit] has been issued under section 66271.14, any person who filed comments on that draft permit or participated in the public hearing may petition the Department to review any condition of the permit decision. Any person who failed to file comments or failed to participate in the public hearing on the draft permit may petition for administrative review only to the extent of the changes from the draft to the final permit decision. Any person may petition the Department to review any condition of a temporary authorization under section 66270.42(f). The 30-day period within which a person may request review under this section begins with the service of notice of the Department's action unless a later date is specified in that notice. The petition shall include a statement of the reasons supporting that review, including a demonstration that any issues being raised were raised during the public comment period (including any public hearing) to the extent required by these regulations and when appropriate, a showing that the condition in question is based on:
(1) a finding of fact or conclusion of law which is clearly erroneous, or
(2) an exercise of discretion or an important policy consideration which the Department should, in its discretion, review.
(b) The Department may also decide on its initiative to review any condition of any permit issued under this chapter. The Department shall act under this subsection within 30 days of the service date of notice of the Department's action.
(c) Within a reasonable time following the filing of the petition for review, the Department shall issue an order either granting or denying the petition for review. Public notice of any grant of review by the Department under subsection (a) of this section shall be given as provided in section 66271.9. Public notice shall set forth a briefing schedule for the appeal and shall state that any interested person may file a written argument. Notice of denial of review shall be sent only to the person(s) requesting review.
(d) When a review has been initiated pursuant to subsection (a) or (b) of this section, the order denying review or the decision on the merits shall constitute the Department's final permit decision, and shall be effective on the date of mailing of the order denying review or decision on the merits.
(e) A final permit decision on a petition to the Department under subsection (a) of this section is a prerequisite to seeking judicial review of the Department's decision.
(f) If a permit decision is pending on the date this section is amended to eliminate a hearing under the Administrative Procedure Act, this section shall be applied as follows:
(1) If a Statement of Issues or Accusation was issued prior to the effective date of the amendment, the proceeding shall continue under the regulation in effect when the Administrative Procedure Act proceeding was initiated.
(2) If a Statement of Issues or Accusation has not been issued prior to the effective date of the amendment, the proceeding shall be governed by the amended regulation.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25186, 25186.1 and 25200, Health and Safety Code; 40 CFR Section 124.19.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section heading, subsections (a)(2) and (c), repealer of subsections (d)-(h), new subsections (d)-(f)(2) and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Amendment of subsection (d) filed 4-4-2002; operative 5-4-2002 (Register 2002, No. 14).
§66271.19. Appeal of Decisions to Suspend and/or Revoke Permits.
Note     •     History

(a) A decision to suspend and/or revoke a permit shall be initiated by serving the holder of the permit with a temporary suspension order and/or accusation.
(b) Proceedings shall be conducted as provided by HSC sections 25186.1 and 25186.2 and the Administrative Procedure Act, Government Code section 11500 et seq.
(c) If the permit holder fails to request a hearing by filing a notice of defense within 15 days after being served with an accusation, the Department shall take final action by issuing an order revoking the permit.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2, Government Code; and Sections 25186, 25186.1 and 25186.2, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Renumbering and amendment of former section 66271.19 to new section 66271.20 and new section filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
§66271.20. Appeal of Decision on Class of Modification.
Note     •     History

(a) The Department's decision on whether a permit modification is Class 1, 2 or 3 pursuant to section 66270.42(d) or 66270.42.5(e) or (f) shall be made in writing and may be appealed only by the person who requested the modification.
(b) Within fifteen (15) days after the date of receipt of the written decision on the classification of a permit modification, the person who requested the modification may petition the Department to review the decision, pursuant to section 66271.18. The petition shall be in writing and shall include a statement of the reasons supporting a different classification.
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25159.5 and 25200.15, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 66271.19 to new section 66271.20 filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
2. Renumbering of former section 66271.20 to section 66271.21 and new section 66271.20 filed 4-4-2002; operative 5-4-2002 (Register 2002, No. 14).
§66271.21. Computation of Time.
Note     •     History

(a) Any time period scheduled to begin on the occurrence of an act or event shall begin on the day after the act or event.
(b) Any time period scheduled to begin before the occurrence of an act or event shall be computed so that the period ends on the day before the act or event.
(c) If the final day of any time period falls on a weekend or legal holiday, the time period shall be extended to the next working day.
(d) Whenever a party or interested person has the right or is required to act within a prescribed period after the service of notice or other paper upon that party or person by mail, three days shall be added to the prescribed time.
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25186, 25186.1, 25186.2 and 25200, Health and Safety Code; 40 CFR Section 124.20.
HISTORY

1. Renumbering of former section 66271.20 to section 66271.21 filed 4-4-2002; operative 5-4-2002 (Register 2002, No. 14).
Article 2. Specific Procedures Applicable to RCRA Permits
§66271.31. Pre-application Public Meeting and Notice.
Note     •     History

(a) Applicability. The requirements of this section shall apply to all RCRA part B applications seeking initial RCRA permits for hazardous waste management units. The requirements of this section shall also apply to RCRA part B applications seeking renewal of permits for such units, where the renewal application is proposing a significant change in facility operations. For the purposes of this section, a “significant change” is any change that would qualify as a class 3 permit modification under 40 CFR, section 270.42. The requirements of this section do not apply to permit modifications under section 66270.42 or to applications when either are submitted for the sole purpose of conducting post-closure activities or post-closure activities and corrective action at a facility.
(b) Prior to the submission of a part B RCRA permit application for a facility, the applicant must hold at least one meeting with the public in order to solicit questions from the community and inform the community of proposed hazardous waste management activities. The applicant shall post a sign-in sheet or otherwise provide a voluntary opportunity for attendees to provide their names and addresses.
(c) The applicant shall submit a summary of the meeting, along with a list of attendees and their addresses developed under subsection (b) of this section, and copies of any written comments or materials submitted at the meeting, to the Department as a part of the part B application, in accordance with section 66270.14(b).
(d) The applicant must provide public notice of the pre-application meeting at least 30 days prior to the meeting. The applicant must maintain, and provide to the Department upon request, documentation of the notice.
(1) The applicant shall provide public notice in all of the following forms:
(A) A newspaper advertisement. The applicant shall publish a notice, fulfilling the requirements in subsection (d)(2) of this section, in a newspaper of general circulation in the county or equivalent jurisdiction that hosts the proposed location of the facility. In addition, the Director shall instruct the applicant to publish the notice in newspapers of general circulation in adjacent counties or equivalent jurisdictions, where the Director determines that such publication is necessary to inform the affected public. The notice must be published as a display advertisement.
(B) A visible and accessible sign. The applicant shall post a notice on a clearly marked sign at or near the facility, fulfilling the requirements in subsection (d)(2) of this section. If the applicant places the sign on the facility property, then the sign must be large enough to be readable from the nearest point where the public would pass by the site.
(C) A broadcast media announcement. The applicant shall broadcast a notice, fulfilling the requirements in subsection (d)(2) of this section, at least once on at least one local radio station or television station. The applicant may employ another medium with prior approval of the Director.
(D) A notice to the Department. The applicant shall send a copy of the newspaper notice to the permitting agency and to the appropriate units of State and local government, in accordance with section 66271.9(c)(1)(E).
(2) The notices required under subsection (d)(1) of this section must include:
(A) The date, time, and location of the meeting;
(B) A brief description of the purpose of the meeting;
(C) A brief description of the facility and proposed operations, including the address or a map (e.g., a sketched or copied street map) of the facility location;
(D) A statement encouraging people to contact the facility at least 72 hours before the meeting if they need special access to participate in the meeting; and
(E) The name, address, and telephone number of a contact person for the applicant.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25186, 25186.1, 25186.2 and 25200, Health and Safety Code; 40 CFR Section 124.31.
HISTORY

1. Change without regulatory effect adding new article 2 (sections 66271.31-66271.33) and new section filed 12-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 51).
2. Change without regulatory effect amending subsections (a), (c) and (d)(1)(A)-(d)(2) filed 6-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
§66271.32. Public Notice Requirements at the Application Stage.
Note     •     History

(a) Applicability. The requirements of this section shall apply to all RCRA part B applications seeking initial RCRA permits for hazardous waste management units. The requirements of this section shall also apply to RCRA part B applications seeking renewal of permits for such units under section 66270.51. The requirements of this section do not apply to permit modifications under section 66270.42 or permit applications submitted for the sole purpose of conducting post-closure activities or post-closure activities and corrective action at a facility.
(b) Notification at application submittal.
(1) The Director shall provide public notice as set forth in section 66271.9(c)(1)(D), and notice to appropriate units of State and Local government as set forth in section 66271.9(c)(1)(E), that a part B permit application has been submitted to the Department and is available for review.
(2) The notice shall be published within a reasonable period of time after the application is received by the Director. The notice must include:
(A) The name and telephone number of the applicant's contact person;
(B) The name and telephone number of the Department's office charged with issuance of the permit, and a mailing address to which information, opinions, and inquiries may be directed throughout the permit review process;
(C) An address to which people can write in order to be put on the facility mailing list;
(D) The location where copies of the permit application and any supporting documents can be viewed and copied;
(E) A brief description of the facility and proposed operations, including the address or a map (e.g., a sketched or copied street map) of the facility location on the front page of the notice; and
(F) The date that the application was submitted.
(c) Concurrent with the notice required under section 66271.32(b) of this article, the Director shall place the permit application and any supporting documents in a location accessible to the public in the vicinity of the facility or at the Department office charged with the issuance of the permit.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25186, 25186.1, 25186.2 and 25200, Health and Safety Code; 40 CFR Section 124.32.
HISTORY

1. Change without regulatory effect adding new section filed 12-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 51).
2. Change without regulatory effect amending subsection (d)(2)(B) filed 6-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
§66271.33. Information Repository.
Note     •     History

(a) Applicability. The requirements of this section apply to all applications seeking RCRA permits for hazardous waste management units.
(b) For facilities applying for or operating under RCRA permits, the Director may assess the need, on a case-by-case basis, for an information repository. When assessing the need for an information repository, the Director shall consider a variety of factors, including: the level of public interest; the type of facility; the presence of an existing repository; and the proximity to the nearest copy of the administrative record. If the Director determines, at any time after submittal of a permit application, that there is a need for a repository, then the Director shall notify the facility that it must establish and maintain an information repository. (See section 66270.30(m) for similar provisions relating to the information repository during the life of a permit).
(c) The information repository shall contain all documents, reports, data, and information deemed necessary by the Director to fulfill the purposes for which the repository is established. The Director shall have the discretion to limit the contents of the repository.
(d) The information repository shall be located and maintained at a site chosen by the facility. If the Director finds the site unsuitable for the purposes and persons for which it was established, due to problems with the location, hours of availability, access, or other relevant considerations, then the Director shall specify a more appropriate site.
(e) The Director shall specify requirements for informing the public about the information repository. At a minimum, the Director shall require the facility to provide a written notice about the information repository to all individuals on the facility mailing list.
(f) The facility owner/operator shall be responsible for maintaining and updating the repository with appropriate information throughout a time period specified by the Director. The Director may close the repository at his or her discretion, based on the factors in subsection (b) of this section.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159.5, 25186, 25186.1, 25186.2 and 25200, Health and Safety Code; 40 CFR Section 124.33.
HISTORY

1. Change without regulatory effect adding new section filed 12-19-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 51).
2. Change without regulatory effect amending subsection (f) filed 6-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 25).
3. Change without regulatory effect amending subsection (f) filed 1-13-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 2).
Chapter 22. Enforcement, Inspections, and Informant Rewards
Article 1. Inspection Authority, Designation of Enforcement  Authority, and Awards
§66272.1. Inspections.
Note     •     History

(a) The Director or any duly authorized representative of the Department may, at any reasonable hour of the day, do any of the following:
(1) enter a factory, plant, construction site, waste disposal site, transfer facility, establishment or any other area, place or environment where wastes are stored, handled, treated, processed, disposed of, or treated to recover resources, inspect the premises and gather evidence on existing conditions and procedures;
(2) carry out any sampling activities necessary to carry out chapter 6.5, commencing with section 25100, of division 20 of the Health and Safety Code, including obtaining samples from any individual or taking samples from the property of any person or from any vehicle which any authorized representative of the department or a local health officer reasonably believes has transported or is transporting hazardous waste. However, upon request, split samples shall be given to the person from whom, or from whose property or vehicle, the samples were obtained;
(3) stop and inspect any vehicle reasonably suspected of transporting hazardous wastes when accompanied by a uniformed police officer in a clearly marked vehicle;
(4) conduct tests, analyses and evaluations to determine whether the waste is hazardous waste or whether the requirements of chapter 6.5 of division 20 of the Health and Safety Code are met;
(5) photograph any waste, waste container, waste container label, vehicle, waste treatment process, waste disposal site, or condition constituting a violation of law found during an inspection;
(6) inspect and copy any records, reports, test results, or other information required to carry out chapter 6.5 of division 20 of the Health and Safety Code.
(b) During the inspection, the inspector shall comply with all reasonable security, safety and sanitation measures. In addition, the inspector shall comply with reasonable precautionary measures specified by the operator.
(c) A report listing any violations found during the inspection shall be prepared by the inspector and shall be kept on file in the Department. A copy of the report shall be provided to the operator.
(d) If corrections are needed, the operator shall provide to the Department, as directed, a written plan of correction which states the actions to be taken and the expected dates of completion.
(e) Upon request of the inspector, the operator of the facility being inspected shall retain evidence as instructed by the inspector for a period not to exceed 30 days.
NOTE

Authority cited: Sections 208, 25150 and 25187.7, Health and Safety Code; Section 58012, Governor's Reorganizational Plan # 1 of 1991. Reference: Sections 25150, 25185 and 25187.7, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment adding heading for article 1 (sections 66272.1-66272.30) and amendment of Note filed 6-21-93; operative 6-21-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 26). 
§66272.10. Designation of Enforcement Authority.
Note     •     History

(a) The Department may designate a local public officer to enforce the standards and regulations adopted by the Department pursuant to section 25150 of the Health and Safety Code if it is demonstrated to the satisfaction of the Department that:
(1) the prospective designee has appropriate jurisdiction and competency, facilities and personnel to perform the functions specified by the Department; and
(2) other activities of the governmental entity which the prospective designee represents will not compromise the designee's ability to enforce those regulations equitably and effectively.
(b) The Department may designate a local public officer to enforce all requirements of this division if it is demonstrated to the satisfaction of the Department that:
(1) the prospective designee can meet the requirements cited in (a) above;
(2) the prospective designee has countywide jurisdiction;
(3) the governmental entity which the prospective
designee represents does not operate a hazardous waste facility;
(4) the prospective designee's personnel are qualified to the satisfaction of the Department;
(5) the prospective designee's laboratory support is adequate to determine whether wastes contain hazardous materials;
(6) the prospective designee's personnel will be able to provide adequate reviews, inspections, and monitoring of hazardous waste and enforcement of the requirements of this division.
(c) The Department shall not authorize a local public officer to enforce any requirement of this division if such person does not meet the requirements specified in (a) above.
(d) The Department shall not authorize a local public officer to enforce all requirements of this division if such person does not meet the requirements specified in (b) above.
NOTE

Authority cited: Section 25150 and 25187.7, Health and Safety Code. Section 58012, Governor's Reorganizational Plan #1 of 1991. Reference: Sections 25180 and 25187.7, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment of section heading, subsections (a) and (a)(1) and Note filed 6-21-93; operative 6-21-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 26). 
§66272.20. Rewards for Informants.
Note     •     History

(a) An application for reward under the provisions of section 25191.7 of the Health and Safety Code shall be submitted to the Department or the county not later than 60 days after a final judgment has been entered or 60 days after the period for appeal of a judgment has expired.
(b) An application for a reward to be paid by the Department pursuant to section 25191.7(a) of the Health and Safety Code shall be filed on a form provided by the Department (DHS 8073, revised 6/83) and shall be signed with the applicant's name.
(c) The Department and counties shall not disclose the names of informants or reward applicants unless such names are otherwise publicly disclosed, as part of a judicial proceeding.
NOTE

Authority cited: Section 25191.7, Health and Safety Code. Reference: Section 25191.7, Health and Safety Code and Sections 6254 and 6255, Government Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66272.30. Award and Payment of Reward Claims.
Note     •     History

(a) In determining whether the applicant supplied information that materially contributed to the imposition of judgments against persons for violations specified in section 25191.7 of the Health and Safety Code, the Department or the county shall consider, but shall not be limited to considering the following factors:
(1) the validity of the information;
(2) the nature and extent of detail supplied, including, as available, dates, times, places, names, and other details;
(3) the date and time of receipt of the information;
(4) information regarding the reported violation(s) possessed by the Department or the county prior to receipt of the applicant's information;
(5) the nature of the reported violations as compared with other violations alleged in the civil or criminal complaint; and
(6) the findings in the judgment.
(b) The Department or the county shall notify the applicant in writing of its decision to grant or deny a reward.
(c) Decisions by the Department or the county to grant or deny rewards shall be final.
(d) Approved reward claims shall be paid in accordance with subdivisions (a) and (b) of section 25191.7 of the Health and Safety Code. Successful reward applicants shall be paid by check within 30 days of collection and deposit of the penalties described in section 25191.7(a) or (b).
NOTE

Authority cited: Section 25191.7, Health and Safety Code. Reference: Section 25191.7, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Article 2. Delegation of Enforcement Order Authority [Repealed]
HISTORY

1. Change without regulatory effect repealing article 2 (sections 66272.31-66272.50) filed 4-1-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 14).
Article 3. Assessment of Administrative Penalties
§66272.60. Applicability.
Note     •     History

(a) This article only applies to the assessment of administrative penalties in administrative enforcement orders issued pursuant to Health and Safety Code Section 25187. This article does not apply to minor violations as defined in Health and Safety Code Section 25117.6 unless the minor violation is subject to a penalty in accordance with Health and Safety Code Section 25187.8(g). This article does not apply to penalties assessed pursuant to Health and Safety Code Sections 25244.18(d)(2), 25244.21(a) and 25244.21(b) regarding requirements for source reduction evaluation review, plans, and reports. This article does not apply to the settlement of any enforcement action. 
(b) For purposes of this article, “Enforcement Agency” is defined as any department, unified program agency, local health officer, or local public officer having the authority to issue administrative orders pursuant to Health and Safety Code Section 25187. 
(c) The Enforcement Agency shall, pursuant to Health and Safety Code Section 25180(d), determine whether the person being assessed a penalty is being treated equally and consistently with regard to the same types of violations previously assessed against other violators.
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25117.6, 25180(d), 25187, 25187.8(g), 25189.2, 25244.18(d)(2), 25244.21(a) and 25244.21(b), Health and Safety Code; and Section 11425.50, Government Code. 
HISTORY

1. New article 3 (sections 66272.60-66272.67) and section filed 7-15-97; operative 7-1-97 (Register 97, No. 29). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act and from review by the Office of Administrative Law pursuant to Government Code section 11400.20 and will expire on December 31, 1998 unless earlier terminated or replaced by, or readopted as, permanent regulations.
2. Expired by its own terms on 12-31-98 (Register 99, No. 3).
3. New article 3 (sections 66272.60-66272.68) and section filed 1-14-99 as an emergency; operative 1-14-99 (Register 99, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-99 or emergency language will be repealed by operation of law on the following day.
4. New article 3 (sections 66272.60-66272.68) and section refiled 5-10-99 as an emergency; operative 5-10-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
5. New article 3 (sections 66272.60-66272.68) and section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer of article 3 (sections 66272.60-66272.68) and section by operation of Government Code section 11346.1(g) (Register 2000, No. 38).  
7. New article 3 (sections 66272.60-66272.69) and section filed 12-13-2000 as an emergency; operative 12-13-2000 (Register 2000, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2001 or emergency language will be repealed by operation of law on the following day.
8. New article 3 (sections 66272.60-66272.69) and section refiled 3-30-2001 as an emergency; operative 4-13-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-13-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-30-2001 order, including amendment of section and Note, transmitted to OAL 7-19-2001 and filed 8-28-2001 (Register 2001, No. 35). 
§66272.61. Penalty Calculation.
Note     •     History

Administrative penalties assessed in administrative enforcement orders issued pursuant to Health and Safety Code Section 25187 shall be assessed following the procedures set forth in this article. The penalty assessed for any violation in accordance with this article shall not exceed the maximum penalty specified in statute. 
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25187 and 25189.2, Health and Safety Code; and Section 11425.50, Government Code.
HISTORY

1. New section filed 7-15-97; operative 7-1-97 (Register 97, No. 29). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act and from review by the Office of Administrative Law pursuant to Government Code section 11400.20 and will expire on December 31, 1998 unless earlier terminated or replaced by, or readopted as, permanent regulations.
2. Expired by its own terms on 12-31-98 (Register 99, No. 3).
3. New section filed 1-14-99 as an emergency; operative 1-14-99 (Register 99, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-99 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-10-99 as an emergency; operative 5-10-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 38).  
7. New section filed 12-13-2000 as an emergency; operative 12-13-2000 (Register 2000, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2001 or emergency language will be repealed by operation of law on the following day.
8. New section refiled 3-30-2001 as an emergency; operative 4-13-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-13-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-30-2001 order, including amendment of section, transmitted to OAL 7-19-2001 and filed 8-28-2001 (Register 2001, No. 35). 
§66272.62. Determining the Initial Penalty for Each Violation.
Note     •     History

(a) The Enforcement Agency shall determine an initial penalty for each violation, considering potential harm and the extent of deviation from hazardous waste management requirements. The Enforcement Agency shall use the matrix set forth in Subsection 66272.62(d) to determine the initial penalty for each violation. 
(b) Potential Harm of the Violation 
(1) The Enforcement Agency shall consider potential harm to public health and safety and the environment when using the matrix.
(2) The categories for degree of potential harm are defined as follows: 
(A) Major -- The characteristics and/or amount of the substance involved present a major threat to human health or safety or the environment and the circumstances of the violation indicate a high potential for harm or, in the case of a violation of financial requirements, coverage is lacking or substantially below the required amount or it is certain or probable that the coverage would be absent or inadequate; 
(B) Moderate -- The characteristics and/or amount of the substance involved do not present a major threat to human health or safety or the environment, and the circumstances of the violation do not indicate a high potential for harm or, in the case of a violation of financial requirements, coverage is significantly below the required amount or it is possible that the coverage would be absent or inadequate; 
(C) Minimal -- The threat presented by the characteristics and the amount of the substance or by the circumstances of the violation are low or, in the case of a violation of financial requirements, coverage is slightly below the required amount or it is unlikely that the coverage would be absent or inadequate. 
(3) In determining the degree of potential harm, the Enforcement Agency shall consider the following factors: 
(A) The characteristics of the substance involved, 
(B) The amount of the substance involved, 
(C) The extent to which human life or health is threatened, 
(D) The extent to which animal life is threatened, 
(E) The extent to which the environment is threatened, and 
(F) The extent to which potable water supplies are threatened. 
(4) Potential harm for violations or financial requirements shall be determined by considering the amount of closure, postclosure, or corrective action costs for which there is no financial assurance or the amount of required liability coverage that is absent, and the likelihood that injury or damages, if they occur, will not be compensated due to an inadequacy in the coverage.
(5) A violation must involve the actual management of hazardous waste including the absence of adequate financial assurance for closure, postclosure, corrective action or financial liability coverage, as distinguished from being a “record-keeping” violation, for the violation to have a major potential for harm. “Record-keeping,” for purposes of this article, means a requirement to record information, to retain records, and to have documents available for inspection. “Record-keeping” does not include a substantive requirement such as the requirement to have a contingency plan, a waste analysis plan, or a closure plan. The following examples illustrate what is considered “record-keeping” and what is considered a violation that could have a major potential for harm. 
(A) A failure to record inspections that were in fact completed is a record-keeping violation and would not have a major potential for harm. A failure to conduct inspections according to the schedule is not a record-keeping violation and could have a major potential for harm depending on the circumstances. 
(B) A failure to retain a copy of a manifest is a record-keeping violation and would not have a major potential for harm. A failure to use a manifest for a shipment of hazardous waste is not a record-keeping violation and could have a major potential for harm depending on the circumstances. 
(C) A failure to have available for inspection a waste analysis plan that does in fact exist is a record-keeping violation and would not have a major potential for harm. A failure to have a waste analysis plan, or a failure to have a waste analysis plan available to staff who are to implement the plan, is not a record-keeping violation and could have a major potential for harm depending on the circumstances. 
(6) Financial violations that are strictly paperwork errors or omissions that do not affect actual functioning of adequate financial assurance for closure, postclosure, corrective action, or financial liability coverage are record-keeping violations. Violations involving the absence of adequate financial assurance for closure, postclosure, corrective action, or financial liability coverage are hazardous waste management violations, not record-keeping violations. 
(7) Groundwater monitoring record-keeping is a fundamental part of the groundwater monitoring requirements. Groundwater monitoring record-keeping violations may have a major, moderate, or minimal potential for harm. The category selected for potential harm shall be based on the extent to which the violation may lead directly to environmental harm, have a potential for harm, or cause an inability to detect releases to groundwater. 
(c) Extent of Deviation of the Violation 
(1) The Enforcement Agency shall consider the extent of deviation from hazardous waste management requirements when using the matrix set forth in this section. 
(2) The categories for extent of deviation from requirements are defined as follows: 
(A) Major -- The act deviates from the requirement to such an extent that the requirement is completely ignored and none of its provisions are complied with, or the function of the requirement is rendered ineffective because some of its provisions are not complied with. 
(B) Moderate -- The act deviates from the requirement, but it functions to some extent although not all of its important provisions are complied with. 
(C) Minimal -- The act deviates somewhat from the requirement. The requirement functions nearly as intended, but not as well as if all provisions had been met. 
(3) For requirements with more than one part, the Enforcement Agency shall consider the extent of violation in terms of the most significant requirement. 
(4) For a single requirement, the range of potential deviation from the requirement may vary. For example, if a facility has no contingency plan, the deviation would be major. If a facility has a contingency plan but significant elements are omitted, the deviation would be moderate. If a facility has a contingency plan with only one or two minor elements missing, the deviation would be minimal. 
(d) The matrix set forth in this subsection shall be used to determine the initial penalty for a violation. The Enforcement Agency shall select a penalty amount from the range provided in the matrix cell that corresponds to the appropriate extent of deviation and the potential harm categories. The numbers in parenthesis in each cell of the following matrix are the midpoints of the range. 

Determination of Initial Penalty Matrix 
(in dollars) 

Extent of Deviation 		Potential Harm
	Major 	Moderate 	Minimal 

	25,000 	20,000 	15,000
Major 	(22,500)	(17,500) 	(10,500)
	20,000	15,000	6,000

	20,000 	15,000 	6,000
Moderate 	(17,500)	(10,500) 	(4,000)
	15,000	6,000	2,000

	15,000 	6,000 	2,000
Minimal	(10,500) 	(4,000) 	(1,000)
	6,000	2,000	0
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25187 and 25189.2, Health and Safety Code; and Section 11425.50, Government Code. 
HISTORY

1. New section filed 7-15-97; operative 7-1-97 (Register 97, No. 29). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act and from review by the Office of Administrative Law pursuant to Government Code section 11400.20 and will expire on December 31, 1998 unless earlier terminated or replaced by, or readopted as, permanent regulations.
2. Expired by its own terms on 12-31-98 (Register 99, No. 3).
3. New section filed 1-14-99 as an emergency; operative 1-14-99 (Register 99, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-99 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-10-99 as an emergency; operative 5-10-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 38).  
7. New section filed 12-13-2000 as an emergency; operative 12-13-2000 (Register 2000, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2001 or emergency language will be repealed by operation of law on the following day.
8. New section refiled 3-30-2001 as an emergency; operative 4-13-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-13-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-30-2001 order, including amendment of section, transmitted to OAL 7-19-2001 and filed 8-28-2001 (Register 2001, No. 35). 
§66272.63. Initial Penalty Adjustment Factors.
Note     •     History

(a) After determining the initial penalty, the Enforcement Agency shall adjust the initial penalty based on the violator's intent in committing the violation using the following guidelines: 

Adjustment Factors for Violator's Intent 

	Adjustment Factor 	Circumstance 

Downward Adjustment of 100	Violation was completely beyond the
percent	control of the violator. 

Downward Adjustment of 0 to 50 	Violation occurred despite good
percent 	faith efforts to comply with 
	regulation(s). 

No Adjustment 	Violation indicated neither good faith 
	efforts nor intentional failure to 
	comply. 

Upward Adjustment of 50 percent to 	Violation was a result of intentional 
100 percent	failure to comply. 
(b) Adjustment of the initial penalty in accordance with subsection (a) may result in an adjusted initial penalty that is higher or lower than the range presented in the originally selected matrix cell. 
(c) The initial penalty shall be increased by the amount of any economic benefit gained or cost of compliance avoided by the violator as a result of noncompliance up to the statutory maximum for each violation. Economic benefit includes, but is not limited to, avoided costs, increased profits, having the use of capital from delayed or avoided costs, and avoided interest. 
(d) The adjusted initial penalty for a violation shall not exceed the statutory maximum.
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25187 and 25189.2, Health and Safety Code; and Section 11425.50, Government Code. 
HISTORY

1. New section filed 7-15-97; operative 7-1-97 (Register 97, No. 29). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act and from review by the Office of Administrative Law pursuant to Government Code section 11400.20 and will expire on December 31, 1998 unless earlier terminated or replaced by, or readopted as, permanent regulations.
2. Expired by its own terms on 12-31-98 (Register 99, No. 3).
3. New section filed 1-14-99 as an emergency; operative 1-14-99 (Register 99, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-99 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-10-99 as an emergency; operative 5-10-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 38).  
7. New section filed 12-13-2000 as an emergency; operative 12-13-2000 (Register 2000, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2001 or emergency language will be repealed by operation of law on the following day.
8. New section refiled 3-30-2001 as an emergency; operative 4-13-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-13-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-30-2001 order, including amendment of section, transmitted to OAL 7-19-2001 and filed 8-28-2001 (Register 2001, No. 35). 
§66272.64. Multiple Violations.
Note     •     History

(a) At the discretion of the Enforcement Agency, a single initial penalty may be assessed for multiple violations. Multiple violations subject to this section are multiple instances of the same violation, where each instance is a violation in itself. 
(b) The assessment of a single initial penalty may be appropriate for multiple violations in the following cases: 
(1) The facility has violated the same requirement at one or more locations  (e.g. units) within the facility; 
(2) The violation occurs on separate occasions, unless the facility has been notified of the violation and has had sufficient time to correct the violation, and the violation is not a violation that continues uninterrupted for more than one day; 
(3) When violations are not independent or are not substantially distinguishable. For such violations, the Enforcement Agency shall consider the extent of violation in terms of the most significant violation.
(c) Where it is necessary to deprive the violator of the economic benefit of multiple violations, the Enforcement Agency shall cite such violations separately and assess an initial penalty for each violation. 
(d) The single initial penalty for multiple violations is to be determined as provided in Sections 66272.62 and 66272.63. 
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25187 and 25189.2, Health and Safety Code; and Section 11425.50, Government Code. 
HISTORY

1. New section filed 7-15-97; operative 7-1-97 (Register 97, No. 29). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act and from review by the Office of Administrative Law pursuant to Government Code section 11400.20 and will expire on December 31, 1998 unless earlier terminated or replaced by, or readopted as, permanent regulations.
2. Expired by its own terms on 12-31-98 (Register 99, No. 3).
3. New section filed 1-14-99 as an emergency; operative 1-14-99 (Register 99, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-99 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-10-99 as an emergency; operative 5-10-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 38).  
7. New section filed 12-13-2000 as an emergency; operative 12-13-2000 (Register 2000, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2001 or emergency language will be repealed by operation of law on the following day.
8. New section refiled 3-30-2001 as an emergency; operative 4-13-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-13-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-30-2001 order, including amendment of section and Note, transmitted to OAL 7-19-2001 and filed 8-28-2001 (Register 2001, No. 35). 
§66272.65. Multiday Violations.
Note     •     History

(a) Each day a violation continues is a separate and distinct violation. The penalty for a continuing violation shall be determined according to this section. 
(1) The initial penalty for the first day of violation shall be determined as provided in Sections 66272.62 and 66272.63; 
(2) For days following the first day of violation, the multiday component of the penalty shall be calculated by determining two percent of the adjusted initial penalty and multiplying that value by the number of days the violation occurred after the initial day.
(b) If the Enforcement Agency fails to respond in a timely manner to the violator's written response to an inspection report, the Enforcement Agency may not seek penalties for continuing violations in accordance with Health and Safety Code Section 25185(c)(3). 
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25185, 25187 and 25189.2, Health and Safety Code; and Section 11425.50, Government Code. 
HISTORY

1. New section filed 7-15-97; operative 7-1-97 (Register 97, No. 29). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act and from review by the Office of Administrative Law pursuant to Government Code section 11400.20 and will expire on December 31, 1998 unless earlier terminated or replaced by, or readopted as, permanent regulations.
2. Expired by its own terms on 12-31-98 (Register 99, No. 3).
3. New section filed 1-14-99 as an emergency; operative 1-14-99 (Register 99, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-99 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-10-99 as an emergency; operative 5-10-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 38).  
7. New section filed 12-13-2000 as an emergency; operative 12-13-2000 (Register 2000, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2001 or emergency language will be repealed by operation of law on the following day.
8. New section refiled 3-30-2001 as an emergency; operative 4-13-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-13-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-30-2001 order, including amendment of section, transmitted to OAL 7-19-2001 and filed 8-28-2001 (Register 2001, No. 35). 
§66272.66. Minor Violations Subject to a Penalty.
Note     •     History

When a “minor violation,” as defined by Health and Safety Code Section 25117.6, is subject to a penalty for any of the reasons specified in Health and Safety Code Section 25187.8(g), including that a penalty is warranted or required by federal law, the penalty for that violation shall be determined in accordance with this Article. Written findings that set forth the basis for the Enforcement Agency's determination to assess a penalty for a minor violation shall be made in accordance with Health and Safety Code Section 25187.8(g)(2). 
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25117.6, 25187.8 and 25189 Health and Safety Code; and Section 11425.50, Government Code.
HISTORY

1. New section filed 7-15-97; operative 7-1-97 (Register 97, No. 29). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act and from review by the Office of Administrative Law pursuant to Government Code section 11400.20 and will expire on December 31, 1998 unless earlier terminated or replaced by, or readopted as, permanent regulations.
2. Expired by its own terms on 12-31-98 (Register 99, No. 3).
3. New section filed 1-14-99 as an emergency; operative 1-14-99 (Register 99, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-99 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-10-99 as an emergency; operative 5-10-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 38).  
7. New section filed 12-13-2000 as an emergency; operative 12-13-2000 (Register 2000, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2001 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of typographical error in first sentence of emergency text filed 12-27-2000 (Register 2000, No. 52).
9. New section refiled 3-30-2001 as an emergency; operative 4-13-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-13-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-30-2001 order, including amendment of section, transmitted to OAL 7-19-2001 and filed 8-28-2001 (Register 2001, No. 35). 
§66272.67. Base Penalty.
Note     •     History

(a) If a violation is a one day occurrence, the base penalty for that violation is the adjusted initial penalty as determined pursuant to Sections 66272.62 and 66272.63.
(b) The base penalty for multiple violations is the adjusted initial penalty determined pursuant to Section 66272.64.
(c) The base penalty for multiday violations is the adjusted initial penalty for the first day of violation determined pursuant to Sections 66272.62 and 66272.63 plus the penalty for the additional days of violation pursuant to Section 66272.65. 
(d) The total base penalty for an enforcement action is the sum of the base penalties for all violations. 
(e) The total base penalty shall not exceed the statutory maximum.
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25187 and 25189.2 Health and Safety Code; and Section 11425.50, Government Code. 
HISTORY

1. New section filed 7-15-97; operative 7-1-97 (Register 97, No. 29). This interim regulation is exempt from most of the procedural requirements of the Administrative Procedure Act and from review by the Office of Administrative Law pursuant to Government Code section 11400.20 and will expire on December 31, 1998 unless earlier terminated or replaced by, or readopted as, permanent regulations.
2. Expired by its own terms on 12-31-98 (Register 99, No. 3).
3. New section filed 1-14-99 as an emergency; operative 1-14-99 (Register 99, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-99 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-10-99 as an emergency; operative 5-10-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 38).  
7. New section filed 12-13-2000 as an emergency; operative 12-13-2000 (Register 2000, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2001 or emergency language will be repealed by operation of law on the following day.
8. New section refiled 3-30-2001 as an emergency; operative 4-13-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-13-2001 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-30-2001 order, including amendment of section, transmitted to OAL 7-19-2001 and filed 8-28-2001 (Register 2001, No. 35). 
§66272.68. Adjustments to the Total Base Penalty.
Note     •     History

The Enforcement Agency shall adjust the total base penalty considering each of the following adjustment factors: 
(a) Cooperation: The Enforcement Agency shall consider the violator's cooperation and efforts to return to compliance. Cooperation in achieving compliance is the standard and all necessary good faith efforts to comply with requirements must be made. Adjustments shall be based on the violator's efforts to return to compliance after being notified of the violations by the Enforcement Agency. The adjustment shall be made using the following guidelines: 

Adjustment Factors for Cooperation 

	Degree of 	  	 
	Cooperation 	Adjustment
	/Effort	Factor	Circumstance

Extraordinary 	Downward 	Violator exceeded the minimum 
		adjustment of  	requirements in returning to 
		up to 25 percent 	compliance or returned to compliance
 			faster than requested. 

Good Faith 	No adjustment 	Violator demonstrated a cooperative
			effort. 

Recalcitrance 	Upward 	Violator failed to cooperate, delayed
		adjustment of 	compliance, created unnecessary 
		up to 25 percent  	obstacles to achieving compliance, or
			the compliance submittal failed to
 			meet requirements. 

Refusal 		Upward adjustment	Violator intentionally failed to return
		of 50 to 100 percent	to compliance or to allow clean-up
 			operations to take place. This does not
 			include refusal to allow inspections. 
(b) Prophylactic Effect: The total base penalty may be adjusted upward or downward to ensure that the penalty is sufficient to provide a prophylactic effect on both the violator and the regulated community as a whole. 
(c) Compliance History: The total base penalty may be decreased by five percent for each previous consecutive Enforcement Agency inspection report that has had no violations noted, up to a total reduction of ten percent. A separate, additional downward adjustment of 15 percent may be granted if the violator has a current International Organization for Standardization (ISO) 14001 Certificate. The total base penalty may be increased if the violator has demonstrated a history of noncompliance over the past five (5) years. The maximum adjustment factor for compliance history is an upward adjustment of 100 percent. When adjusting the penalty for compliance history, the Enforcement Agency shall consider the following criteria: 
(1) Previous violations at the site in question receive more weight than previous violations at another site owned or operated by the same person; 
(2) Recent violations receive more weight than older violations; 
(3) The same or substantially similar previous violations receive more weight than previous unrelated violations. 
(d) Ability to Pay: If the violator has provided the Enforcement Agency with the financial information necessary to assess the violator's ability to pay, the payment of the final penalty may be extended over a period of time if immediate, full payment would cause, in the judgment of the Enforcement Agency, extreme financial hardship. If extending the penalty payment over a period of time would cause, in the judgment of the Enforcement Agency, extreme financial hardship, the penalty may be reduced. No adjustment for ability to pay may be made if the penalty has been adjusted upward because of failure to cooperate, pursuant to subsection (a), or because of compliance history, pursuant to subsection (c). 
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25187 and 25189.2 Health and Safety Code; and Section 11425.50, Government Code. 
HISTORY

1. New section filed 1-14-99 as an emergency; operative 1-14-99 (Register 99, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-14-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-10-99 as an emergency; operative 5-10-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-7-99 as an emergency; operative 9-7-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-5-2000 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 38).  
5. New section filed 12-13-2000 as an emergency; operative 12-13-2000 (Register 2000, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 3-30-2001 as an emergency; operative 4-13-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-13-2001 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-30-2001 order, including amendment of section, transmitted to OAL 7-19-2001 and filed 8-28-2001 (Register 2001, No. 35). 
§66272.69. Final Penalty.
Note     •     History

The final penalty consists of the total base penalty, as defined in Section 66272.67, with any adjustments made pursuant to the adjustment factors set forth in Section 66272.68. The final penalty shall not exceed the statutory maximum.
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25187 and 25189.2 Health and Safety Code; and Section 11425.50, Government Code. 
HISTORY

1. New section filed 12-13-2000 as an emergency; operative 12-13-2000 (Register 2000, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-12-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-30-2001 as an emergency; operative 4-13-2001 (Register 2001, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-13-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-30-2001 order, including amendment of section, transmitted to OAL 7-19-2001 and filed 8-28-2001 (Register 2001, No. 35). 
Chapter 23. Standards for Universal Waste Management
Article 1. General
§66273.1. Scope.
Note     •     History

(a) This chapter establishes requirements for managing universal wastes, as defined in section 66273.9. The following universal wastes are subject to regulation pursuant to this chapter: 
(1) Batteries, as described in section 66273.2, subsection (a); 
(2) Electronic devices, as described in section 66273.3, subsection (a); 
(3) Mercury-containing equipment, as described in section 66273.4, subsection (a); 
(4) Lamps, as described in section 66273.5, subsection (a) (including, but not limited to, M003 wastes); 
(5) Cathode ray tubes, as described in section 66273.6, subsection (a);
(6) Cathode ray tube glass, as described in section 66273.7, subsection (a); and
(7) Aerosol cans, as specified in Health and Safety Code section 25201.16.
(b) This chapter provides an alternative set of management standards in lieu of regulation as hazardous wastes pursuant to chapters 10 through 16, 18, and 20 through 22 of this division. The alternative management standards of articles 1 through 3 of this chapter do not apply to destination facilities, as defined in section 66273.9, except as otherwise specified in section 66273.60, subsections (b) or (c).
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25201, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25212, 25214.6, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.1. 
HISTORY

1. New chapter 23 (articles 1-7), article 1 (sections 66273.1-66273.9) and section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New chapter 23 (articles 1-7), article 1 (sections 66273.1-66273.9) and section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New chapter 23 (articles 1-7), article 1 (sections 66273.1-66273.9) and section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New chapter 23 (articles 1-7), article 1 (sections 66273.1-66273.9) and section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New chapter 23 (articles 1-7), article 1 (sections 66273.1-66273.9) and section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)(2)-(3) and new subsection (a)(4) filed 8-3-2001 as an emergency; operative 8-3-2001 (Register 2001, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-3-2001 or emergency language will be repealed by operation of law on the following day.
7. New chapter 23 (articles 1-7), article 1 (sections 66273.1-66273.9) and section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (a)(2)-(3) and new subsection (a)(4) refiled 11-30-2001 as an emergency; operative 11-30-2001 (Register 2001, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-2-2002 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
10. Amendment refiled 3-26-2002 as an emergency; operative 4-12-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-12-2002 or emergency language will be repealed by operation of law on the following day.
11. Amendment refiled 8-6-2002 as an emergency; operative 8-6-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-4-2002 or emergency language will be repealed by operation of law on the following day.
12. Amendment refiled 11-25-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 11-25-2002 order, including amendment of subsections (a)(3) and (a)(4), new subsections (a)(5)-(a)(7) and amendment of Note, transmitted to OAL 12-24-2002 and filed 2-3-2003 (Register 2003, No. 6).
14. Amendment of section and Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
15. Amendment of subsection (a)(5) and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsection (a)(5) and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
17. Amendment of subsection (a)(5) and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
18. Certificate of Compliance as to 5-8-2008 order, including further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
19. Editorial correction of History 18 (Register 2009, No. 10.)
§66273.2. Applicability--Batteries.
Note     •     History

(a) Batteries covered pursuant to chapter 23. The requirements of this chapter apply to persons managing batteries, as defined in section 66273.9, except those listed in subsection (b) of this section. 
(b) Batteries not covered pursuant to this chapter. 
(1) State Regulated Batteries.
The requirements of this chapter do not apply to persons managing the following batteries: 
(A) Automotive-type spent lead-acid storage batteries. Automotive-type spent lead-acid storage batteries shall be managed pursuant to article 7 of chapter 16 of this division. Small sealed lead-acid storage batteries are not automotive-type lead-acid storage batteries. 
(B) Batteries that are not yet wastes pursuant to chapter 11 of this division, including those that do not meet the criteria for waste generation in subsection (c) of this section. 
(C) Batteries that do not exhibit a characteristic of a hazardous waste as set forth in article 3 of chapter 11 of this division. 
(2) Federally Regulated Batteries.
(A) The requirements of this chapter do not apply to persons collecting, storing or transporting batteries that are subject to subsection (a) of section 104 [42 U.S.C. §14323(a)] of the federal Mercury-Containing and Rechargeable Battery Management Act (42 U.S.C. §14301, et. seq.). The Act requires that the collection, storage, and transportation of such batteries be regulated pursuant to applicable 40 Code of Federal Regulations part 273 standards.
(c) Generation of waste batteries. 
(1) A used battery becomes a waste on the date it is discarded (e.g., when stored prior to being sent for reclamation). 
(2) Unused batteries.
(A) An unused battery that is not a retrograde material becomes a waste on the date it is discarded (e.g., when stored prior to being sent for reclamation). 
(B) An unused battery that is a retrograde material becomes a waste on the date that it becomes a recyclable material pursuant to subsection (e) of the definition of “recyclable materials” in section 66260.10.
NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.2. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.3. Applicability--Electronic Devices.
Note     •     History

(a) Electronic devices covered pursuant to chapter 23. 
(1) The requirements of this chapter apply to persons managing electronic devices, as defined in section 66273.9, except those listed in subsection (b) of this section. 
(2) Discarded electronic devices that are hazardous solely because the device exhibits the characteristic of toxicity specified in section 66261.24 and/or are listed in article 4.1 of chapter 11 of this division may be managed as a universal waste. 
(b) Electronic devices not covered pursuant to this chapter. 
The requirements of this chapter do not apply to persons managing the following electronic devices: 
(1) Electronic devices that are not yet wastes pursuant to chapter 11 of this division. Subsection (c) of this section describes when electronic devices become wastes. 
(2) Electronic devices that do not exhibit a characteristic of a hazardous waste as set forth in article 3 of chapter 11 and that are not otherwise identified as hazardous waste pursuant to chapter 11 of this division.  
(3) Electronic devices that exhibit any characteristic of a hazardous waste other than the characteristic of toxicity. Such electronic devices shall be managed as hazardous wastes pursuant to chapters 10 through 16, 18, and 20 through 22 of this division.
(4) Electronic devices that are destined for recycling (or are recycled) by being “used in a manner constituting disposal,” as described in section 66266.20, or that are destined for disposal (or are disposed) to a class I landfill. Such electronic devices shall be managed as hazardous waste pursuant to chapters 10 through 16, 18, and 20 through 22 of this division. 
(5) Electronic devices that are managed as hazardous waste pursuant to chapters 10 through 16, 18, and 20 through 22 of this division; 
(6) Electronic devices that were previously identified as waste pursuant to chapter 11, but are no longer identified as a waste (e.g., a discarded electronic device that is refurbished and is returned to service). 
(c) Generation of waste electronic devices. 
(1) A used electronic device becomes a waste on the date it is discarded (e.g., when stored prior to being sent for reclamation). 
(2) Unused electronic devices.
(A) An unused electronic device that is not a retrograde material becomes a waste on the date it is discarded (e.g., when stored prior to being sent for reclamation).
(B) An unused electronic device that is a retrograde material becomes a waste on the date that it becomes a recyclable material pursuant to subsection (e) of the definition of “recyclable materials” in section 66260.10.
(d) A respondent in an action to enforce regulations implementing this division who claims that an electronic device is not a waste bears the burden of demonstrating that there is a known market or disposition for its use as an electronic device.
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25201, 25214.9 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201 and 25214.9, Health and Safety Code.
HISTORY

1. New section filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
2. Amendment of section heading, section and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
4. Amendment of section heading, section and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
5. Certificate of Compliance as to 5-8-2008 order, including further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
6. Editorial correction of History 5 (Register 2009, No. 10.)
7. Change without regulatory effect amending subsection (b)(4) filed 7-13-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 29).
§66273.4. Applicability--Mercury-Containing Equipment.
Note     •     History

(a) Mercury-containing equipment covered pursuant to chapter 23. Except as provided in subsection (b) of this section, the requirements of this chapter apply to persons managing the following mercury-containing equipment:
(1) Thermostats, as defined in section 66273.9.
(2) Mercury switches:
(A) Mercury-containing motor vehicle light switches, as defined in section 66273.9, that meet listing description M001 in section 66261.50, motor vehicles that contain such switches, and portions of motor vehicles that contain such switches;
(B) Non-automotive mercury switches, as defined in section 66273.9, that meet listing description M002 in section 66261.50, and products that contain such switches.
(3) Dental amalgam, as defined in section 66273.9.
(4) Pressure or vacuum gauges, as defined in section 66273.9.
(5) Mercury-added novelties, as defined in section 66273.9 that meet listing description M004 in section 66261.50.
(6) Mercury counterweights and dampers, as defined in section 66273.9, and products containing mercury counterweights and dampers.
(7) Thermometers, as defined in section 66273.9.
(8) Dilators and weighted tubing, as defined in section 66273.9.
(9) Mercury-containing rubber flooring, as defined in section 66273.9.
(10) Gas flow regulators, as defined in section 66273.9.
(b) Mercury-containing equipment not covered pursuant to this chapter. The requirements of this chapter do not apply to persons managing the following mercury-containing equipment:
(1) Mercury-containing equipment that is not yet a waste pursuant to chapter 11 of this division. Subsection (c) of this section describes when mercury-containing equipment becomes a waste.
(2) Mercury-containing equipment that does not exhibit a characteristic of a hazardous waste as set forth in article 3 of chapter 11 and is not listed in article 4.1 of chapter 11 of this division.
(3) Mercury-containing equipment from which the mercury-containing components have been removed (e.g., motor vehicles, motor vehicle switches, novelties). (If it exhibits a characteristic of a hazardous waste in article 3 of chapter 11, such equipment is regulated as a hazardous waste pursuant to chapters 10 through 16, 18, and 20 through 22 of this division.)
(4) Switches that do not contain mercury. (If they exhibit a characteristic of a hazardous waste in article 3 of chapter 11, such switches are regulated as hazardous wastes pursuant to chapters 10 through 16, 18, and 20 through 22 of this division.)
(5) Waste mercury-containing equipment other than thermostats, mercury-added novelties containing no liquid mercury, and mercury-containing rubber flooring, that is destined for disposal or is disposed to a class I landfill. Such mercury-containing equipment is regulated as a hazardous waste pursuant to chapters 10 through 16, 18, and 20 through 22 of this division.
(6) Waste motor vehicles, portions of motor vehicles, appliances, and portions of appliances from which all mercury light switches have not been removed (other than switches that cannot be removed due to accidental damage to the vehicle), and that are crushed, baled, sheared, or shredded. (If they exhibit a characteristic of a hazardous waste in article 3 of chapter 11, such motor vehicles, portions of motor vehicles, appliances, or portions of appliances are regulated as hazardous wastes pursuant to chapters 10 through 16, 18, and 20 through 22 of this division.)
(7) Empty used dental-amalgam capsules. (If they exhibit a characteristic of a hazardous waste in article 3 of chapter 11, such dental-amalgam capsules are regulated as hazardous wastes pursuant to chapters 10 through 22 of this division.)
(8) Waste thermometers that do not use the expansion and contraction of a column of mercury to measure temperature. (If they exhibit a characteristic of a hazardous waste in article 3 of chapter 11, such thermometers are regulated as hazardous wastes pursuant to chapters 10 through 16, 18, and 20 through 22 of this division.)
(c) Generation of waste mercury-containing equipment.
(1) Used mercury-containing equipment becomes a waste on the date it is discarded (e.g., when stored prior to being sent for reclamation) or, for M001 portions of motor vehicles, when the M001 portion is first removed from the motor vehicle.
(2) Unused mercury-containing equipment.
(A) Unused mercury-containing equipment that is not a retrograde material becomes a waste on the date it is discarded (e.g., when stored prior to being sent for reclamation). 
(B) Unused mercury-containing equipment that is a retrograde material becomes a waste on the date that it becomes a recyclable material pursuant to subsection (e) of the definition of “recyclable materials” in section 66260.10.
(3) A motor vehicle from which any mercury-containing light switches have not been removed becomes a waste on the date the decision is made to crush, bale, shear, or shred it.
(4) Dental-amalgam particles contained in reusable chair side traps, reusable vacuum pump filters, and dental-amalgam separators become wastes on the date they are removed from these traps, filters, and separators.
(5) An unused mercury counterweight or damper, or an unused product containing one or more mercury counterweights or dampers, becomes a waste on the date the decision is made to discard it.
NOTE

Authority cited: Sections 25141, 25150, 25150.6 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code; 40 CFR Section 273.4. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of subsection (a) and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
9. Amendment of section heading and section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.5. Applicability--Lamps.
Note     •     History

(a) Lamps covered pursuant to chapter 23. Except as provided in subsection (b) of this section, the requirements of this chapter apply to persons managing the following:
(1) Lamps, as defined in section 66273.9, that exhibit a characteristic of a hazardous waste, as set forth in article 3 of chapter 11 of this division; 
(2) Mercury-added lamps, as defined in section 66273.9, that meet listing description M003 in section 66261.50; and/or
(3) Products that contain lamps and/or mercury-added lamps. 
(b) Lamps not covered pursuant to this chapter. The requirements of this chapter do not apply to persons managing the following: 
(1) Lamps that are not yet wastes pursuant to chapter 11 of this division as provided in subsection (c) of this section. 
(2) Lamps that do not exhibit a characteristic of a hazardous waste as set forth in article 3 of chapter 11 of this division and do not contain mercury (i.e., lamps that do not meet the listing description for M003 wastes in section 66261.50). 
(3) Lamps which are destined for disposal or are disposed to a class I landfill. Such lamps are regulated as hazardous wastes pursuant to chapters 10 through 16, 18, and 20 through 22 of this division.
(4) Vehicles that contain mercury-added lamps, unless such vehicles exhibit a characteristic of a hazardous waste, as set forth in article 3 of chapter 11 of this division. 
(5) Waste motor vehicles from which all mercury-added lamps have not been removed that are crushed, baled, sheared, or shredded. (If they exhibit a characteristic of a hazardous waste in article 3 of chapter 11, such motor vehicles are regulated as hazardous wastes pursuant to chapters 10 through 16, 18, and 20 through 22 of this division.)
(c) Generation of waste lamps. 
(1) A used lamp becomes a waste on the date it is discarded (e.g., when stored prior to being sent for reclamation). 
(2) Unused lamps.
(A) An unused lamp that is not a retrograde material becomes a waste on the date it is discarded (e.g., when stored prior to being sent for reclamation). 
(B) An unused lamp that is a retrograde material becomes a waste on the date that it becomes a recyclable material pursuant to subsection (e) of the definition of “recyclable materials” in section 66260.10.
NOTE

Authority cited: Sections 25141, 25150 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5 and 25179.4, Health and Safety Code; 40 CFR Section 273.5. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including new subsection (b)(3) and amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Editorial correction of History 7 (Register 2002, No. 10).
9. Amendment filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
10. Amendment filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.6. Applicability--Cathode Ray Tubes (CRTs).
Note     •     History

(a) CRTs covered pursuant to chapter 23. The requirements of this chapter apply to CRTs, as defined in section 66273.9, except those listed in subsection (b) of this section.
(b) CRTs not covered pursuant to this chapter. The requirements of this chapter do not apply to the following CRTs:
(1) CRTs that are not yet wastes pursuant to chapter 11 as provided in subsection (c) of this section;
(2) CRTs that do not exhibit a characteristic of a hazardous waste as set forth in article 3 of chapter 11 of this division;
(3) CRTs that are destined for recycling (or are recycled) by being “used in a manner constituting disposal,” as described in section 66266.20. Such CRTs shall be managed as hazardous wastes pursuant to chapters 10 through 16, 18, and 20 through 22 of this division;
(4) Except as otherwise provided in section 66273.72 of this chapter, CRTs that are destined for disposal (or are disposed) to a class I landfill. Such CRTs shall be managed as hazardous wastes pursuant to chapters 10 through 16, 18, and 20 through 22 of this division;
(5) CRTs that are managed as hazardous waste pursuant to chapters 10 through 16, 18, and 20 through 22 of this division;
(6) CRTs that were previously wastes pursuant to chapter 11 of this division, but are no longer wastes (e.g., a discarded CRT that is refurbished and is returned to service).
(c) Generation of waste CRTs. A CRT becomes a waste on the date when the earlier of the following occurs:
(1) The owner discards the CRT; or
(2) The CRT is physically cracked, broken, or shattered.
(3) Unused CRTs.
(A) An unused CRT that is not a retrograde material becomes a waste on the date it is discarded (e.g., when stored prior to being sent for reclamation).
(B) An unused CRT that is a retrograde material becomes a waste on the date that it becomes a recyclable material pursuant to subsection (e) of the definition of “recyclable materials” in section 66260.10.
NOTE

Authority cited: Sections 25141, 25141.5, 25150, 25150.6, 25201, 25214.9, 25214.10.2 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25141.5, 25150, 25159.5, 25201 and 25214.9, Health and Safety Code.
HISTORY

1. New section filed 8-3-2001 as an emergency; operative 8-3-2001 (Register 2001, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-3-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-30-2001 as an emergency; operative 11-30-2001 (Register 2001, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-2-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 3-26-2002 as an emergency; operative 4-12-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-12-2002 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-6-2002 as an emergency; operative 8-6-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-4-2002 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 11-25-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-25-2002 order, including amendment of subsections (a), (b) and (b)(5) and amendment of Note, transmitted to OAL 12-24-2002 and filed 2-3-2003 (Register 2003, No. 6).
7. Amendment of Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
8. Amendment of Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
9. Amendment of Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
10. Certificate of Compliance as to 5-8-2008 order, including further amendment of section heading, section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
11. Editorial correction of History 10 (Register 2009, No. 10.)
12. Amendment of subsection (b)(3), new subsection (b)(4), subsection renumbering and amendment of Note filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
§66273.7. Applicability -- Cathode Ray Tube (CRT) Glass.
Note     •     History

(a) CRT glass covered pursuant to chapter 23. The requirements of this chapter apply to CRT glass, as defined in section 66273.9, except CRT glass listed in subsection (b) of this section.
(b) CRT glass not covered pursuant to this chapter. The requirements of this chapter do not apply to the following CRT glass:
(1) CRT glass that is not yet a waste pursuant to chapter 11 of this division as provided in subsection (c) of this section;
(2) CRT glass that does not exhibit a characteristic of a hazardous waste as set forth in article 3 of chapter 11 of this division;
(3) CRT glass that is destined for recycling (or is recycled) by being “used in a manner constituting disposal,” as described in section 66266.20. Such CRT glass shall be managed as a hazardous waste pursuant to chapters 10 through 16, 18, and 20 through 22 of this division; and 
(4) Except as otherwise provided in section 66273.75 of this chapter, CRT glass that is destined for disposal (or is disposed) to a class I landfill. Such CRT glass shall be managed as a hazardous waste pursuant to chapters 10 through 16, 18, and 20 through 22 of this division; and
(5) CRT glass that is managed as a hazardous waste pursuant to chapters 10 16, 18, and 20 through 22 of this division.
(c) Generation of waste CRT glass.
(1) CRT glass becomes a waste on the date when CRT glass is released or derived from a CRT or a CRT device.
(2) Unused CRT glass.
(A) Unused CRT glass that is not a retrograde material becomes a waste on the date it is discarded (e.g., when stored prior to being sent for reclamation).
(B) Unused CRT glass that is a retrograde material becomes a waste on the date that it becomes a recyclable material pursuant to subsection (e) of the definition of “recyclable materials” in section 66260.10.
NOTE

Authority cited: Sections 25141, 25141.5, 25150, 25150.6, 25201, 25214.9, 25214.10.2 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25141.5, 25150, 25159.5, 25201 and 25214.9, Health and Safety Code. 
HISTORY

1. New section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
2. Amendment of subsection (b)(3), new subsection (b)(4), subsection renumbering and amendment of Note filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
§66273.7.1. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25214.6 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5 and 25214.6, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.7.2. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5 and 25212, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.7.3. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.7.4. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.7.5. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.7.6. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.7.7. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.7.8. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.7.9. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.7.10. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.8. Exemptions.
Note     •     History

(a) Household universal waste generator exemption. 
A person who maintains a household, as defined in section 66273.9, and who produces universal waste derived from that household, is a generator, as defined in section 66273.9, of household universal waste. Such a generator is exempt from the requirements of this chapter applicable to a universal waste handler, as defined in section 66273.9, with respect to the management of that generator's household universal waste, provided that: 
(1) The generator does not dispose of the universal waste;
(2) The universal waste is relinquished to another universal waste handler, a universal waste transporter (e.g., for curbside collection), a destination facility, or an authorized curbside household hazardous waste collection program;
(3) The generator does not treat the universal waste, except as follows:
(A) The generator treats the universal waste pursuant to one or more of the following provisions of this chapter and complies with subsection (a)(3)(B) of this section: 
1. Section 66273.33, subsections (a)(2), (b)(3), (c)(5)(C)1.a., and/or (c)(7) as referenced in section 66273.33, subsections (c)(4)(B)2., (c)(5)(B)2.b., and/or (c)(5)(C)4.b.; and/or
2. Sections: 66273.71, subsection (b); 66273.72, subsections (b)(1), (c)(1), (d)(1), and/or (e)(1).
(B) The generator ensures that all materials produced from treating the universal waste are properly classified and managed in accordance with any applicable requirements of this division.
(b) Conditionally exempt small quantity universal waste generator exemption. 
A conditionally exempt small quantity universal waste generator, as defined in section 66273.9, is exempt from the requirements of this chapter applicable to a universal waste handler, as defined in section 66273.9, with respect to the management of that generator's universal waste, provided the conditions set forth in subsections (a)(1) through (a)(3) of this section are met.
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25201, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Sections 261.4, 261.5 and 273.8. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading and section filed 8-3-2001 as an emergency; operative 8-3-2001 (Register 2001, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-3-2001 or emergency language will be repealed by operation of law on the following day.
7. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section heading and section refiled 11-30-2001 as an emergency; operative 11-30-2001 (Register 2001, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-2-2002 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-2-2001 order, including amendment of section and Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
10. Amendment of section heading and section refiled 3-26-2002 as an emergency; operative 4-12-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-12-2002 or emergency language will be repealed by operation of law on the following day.
11. Amendment of section heading and section refiled 8-6-2002 as an emergency; operative 8-6-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-4-2002 or emergency language will be repealed by operation of law on the following day.
12. Amendment of section heading and section refiled 11-25-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 11-25-2002 order, including further amendment of section heading and section, transmitted to OAL 12-24-2002 and filed 2-3-2003 (Register 2003, No. 6).
14. Amendment of subsection (c)(1) and new subsections (c)(1)(A)-(C) filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
15. Amendment of subsections (a)(1) and (a)(4) and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsections (a)(1) and (a)(4) and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
17. Amendment of subsections (a)(1) and (a)(4) and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
18. Certificate of Compliance as to 5-8-2008 order, including further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
19. Editorial correction of History 18 (Register 2009, No. 10.)
§66273.9. Definitions.
Note     •     History

When used in this chapter, the terms listed in this section have the meanings given below. Unless otherwise specified, listed terms that cross-reference the definitions of other listed terms refer to the definitions set forth in this section for those other terms. Terms that are also defined in chapter 10 of this division are duplicated here solely for convenience of the regulated community. Terms used in this chapter that are not defined in this section but are defined in chapter 10 of this division and/or chapter 6.5 of division 20 of the Health and Safety Code have the meanings given in those sources.
“Ampule” means an airtight vial made of glass, plastic, metal, or any combination of these materials.
“Battery” means a device consisting of one or more electrically connected electrochemical cells that is designed to receive, store, and deliver electric energy. An electrochemical cell is a system consisting of an anode, a cathode, and an electrolyte, plus such connections (electrical and mechanical) as may be needed to allow the cell to deliver or receive electrical energy. The term battery also includes an intact, unbroken battery from which the electrolyte has been removed. 
“Cathode ray tube” means a vacuum tube or picture tube used to convert an electrical signal into a visual image.
“Class II landfill” -- means a waste management unit at which waste is discarded in or on land for disposal, and is regulated as a permitted class II landfill pursuant to section 20250 of title 27 of the California Code of Regulations. A class II landfill does not mean surface impoundment, waste pile, land treatment or soil amendments.
“Class III landfill -- means a waste management unit at which waste is discarded in or on land for disposal, and is regulated as a permitted class III landfill pursuant to section 20260 of title 27 of the California Code of Regulations. A class III landfill does not mean surface impoundment, waste pile, land treatment or soil amendments. 
“Closure” means the act of closing a universal waste handler's facility pursuant to the requirements of article 7 of this chapter. 
“Conditionally exempt small quantity universal waste generator” means a generator of universal waste who:
(a) generates no more than 100 kilograms (220 pounds) of RCRA hazardous wastes, including universal wastes that are RCRA hazardous wastes, and no more than 1 kilogram (2.2 pounds) of acutely hazardous waste in any calendar month; and
(b) remains in compliance with 40 CFR section 261.5.
“CESQUWG” see “Conditionally exempt small quantity universal waste generator.”
“CRT” see “Cathode ray tube.”
“CRT device” means any electronic device that contains one or more CRTs including, but not limited to, computer monitors, televisions, cash registers and oscilloscopes.
“CRT funnel glass” means any glass separated from CRT panel glass derived from the treatment of one or more CRTs. CRT funnel glass consists of the neck and funnel section of a CRT, including the frit.
“CRT glass” means any glass released or derived from the treatment or breakage of one or more CRTs or CRT devices. CRT glass includes CRT funnel glass and CRT panel glass.
“CRT panel glass” means any glass separated from CRT funnel glass derived from the treatment of one or more CRTs. CRT panel glass consists only of the face plate of a CRT containing a phosphor viewing surface. CRT panel glass does not include the frit.
“Current closure cost estimate” means the most recent of the estimates prepared in accordance with article 7 of this chapter.
“Dental amalgam” means dental amalgam chunks, dental amalgam fines, mixtures containing dental amalgam fines, single-use dental amalgam traps that contain dental amalgam, dental amalgam sludge, vacuum pump filters that contain dental amalgam, and extracted teeth with amalgam restorations. 
“Destination facility” means a facility that treats, disposes of, or recycles a particular category of universal waste pursuant to section 66273.60. A facility at which a particular category of universal waste is only accumulated is not a destination facility for purposes of managing that category of universal waste. 
“Dilators and weighted tubing” means mercury-containing dilators and weighted tubing used in medical procedures. “Dilators and weighted tubing” include, but are not limited to, bougie tubes, Canter tubes, and Miller-Abbot tubes. 
“Electronic device” means any electronic device that is identified as hazardous waste because it either exhibits the characteristic of toxicity as specified in article 3 of chapter 11 of this division, and/or is a listed hazardous waste as specified in article 4.1 of chapter 11 of this division. Examples of electronic devices include: computer monitors, televisions, cash registers and oscilloscopes (CRT devices), computers, computer peripherals, telephones, answering machines, radios, stereo equipment, tape players/recorders, phonographs, video cassette players/recorders, compact disc players/recorders, calculators, and some appliances. Electronic device does not mean a major appliance, as defined in Public Resources Code section 42166, or other devices which are comprised largely of metals, qualify as “scrap metal” as defined in section 66260.10, and are recycled. 
“Flame sensor” means a device, usually found in a gas-fired appliance, that uses the expansion and contraction of liquid mercury contained in a probe to open and shut a valve. 
“Foreign Destination” means the ultimate recycling, treatment or disposal facility in a receiving country to which universal waste will be sent.
“Frit” means a mixture of chemical solvent and powdered glass that joins the CRT funnel glass to the CRT panel glass. 
“Gas flow regulator” means a piece of mercury-containing equipment used to regulate the flow of gas through a gas meter. 
“Gauge” see “Pressure or vacuum gauge.”
“Generator” means: 
(a) Any person, by site, whose act or process produces hazardous waste identified or listed in chapter 11 of this division or whose act first causes a hazardous waste to become subject to regulation. 
(b) Any person, by site, whose act or process produces universal waste or whose act first causes a universal waste to become subject to regulation. 
“Handler of universal waste” see “Universal waste handler.”
“Household” means a single detached residence or a single unit of a multiple residence unit and all appurtenant structures. For the purposes of this section, household does not mean a hotel, motel, bunkhouse, ranger station, crew quarters, campground, picnic ground, or day-use recreation facility. 
“Intermediate Facility” means a facility that manages CRTs and/or CRT glass pursuant to article 3 of this chapter or 40 Code of Federal Regulations section 261.4(a)(22), or as a destination facility or at a foreign destination.
“Lamp” means the bulb or tube portion of an electric lighting device. A lamp is specifically designed to produce radiant energy, most often in the ultraviolet, visible, and infra-red regions of the electromagnetic spectrum. Examples of common lamps include, but are not limited to, fluorescent, high intensity discharge, neon, mercury vapor, high pressure sodium, and metal halide lamps. 
“Management” means the handling, storage, transportation, processing, treatment, recovery, recycling, transfer and disposal of hazardous waste (including universal waste). 
“Mercury-added lamp” means a lamp to which elemental mercury has been added as an essential part of the manufacturing process used to create that lamp. Examples of common mercury-added lamps include, but are not limited to, fluorescent lamps and mercury vapor lamps. 
“Mercury-added novelty” means a mercury-added product intended mainly for personal or household enjoyment or adornment. A “mercury-added novelty” includes, but is not limited to, any item intended for use as a practical joke, figurine, adornment, toy, game, card, ornament, yard statue or figure, candle, jewelry, holiday decoration, and item of apparel, including footwear. 
“Mercury-containing equipment” means a thermostat, mercury switch, thermometer, dental amalgam, pressure or vacuum gauge, mercury-added novelty, mercury counterweight and damper, dilator and weighted tubing, mercury-containing rubber flooring, and gas flow regulator.
“Mercury-containing motor vehicle light switch” means any light switch found in the hood or in the trunk lid of a motor vehicle, if the light switch contains mercury. 
“Mercury-containing motor vehicle switch” means any motor vehicle switch that contains mercury including, but not limited to, a mercury-containing motor vehicle light switch. 
“Mercury-containing rubber flooring” means any rubber flooring material formulated with intentionally added mercury. 
“Mercury counterweights and dampers” means enclosed devices that use liquid mercury for weight or dampening; “mercury counterweights and dampers” includes, but is not limited to, a mercury bow stabilizer used in archery, a mercury recoil suppressor used in shooting, and a mercury counterweight used in a clock. 
“Mercury gas flow regulator” see “Gas flow regulator.” 
“Mercury switch” means an electrical switch that employs mercury to make an electrical contact. “Mercury switch” includes, but is not limited to, the following mercury-containing switches: mercury-containing motor vehicle switches, tilt switches, vibration-sensing switches, off-balance switches, float switches, silent light switches, and relays. 
“Mercury thermometer” see “Thermometer.”
“Non-automotive mercury switch” means any mercury switch other than a mercury-containing motor vehicle switch. 
“Offsite” means any site which is not onsite.
“Onsite” means the same or geographically contiguous property which may be divided by public or private right-of-way, provided that the entrance and exit between the properties is at a cross-roads intersection, and access is by crossing as opposed to going along the right-of-way. Non-contiguous properties owned by the same person but connected by a right-of-way which the person controls and to which the public does not have access, are also considered onsite property. 
“Pressure or vacuum gauge” means any device in which pressure or vacuum is measured using the height of a column of liquid mercury. “Pressure or vacuum gauge” includes, but is not limited to, barometers, manometers, and sphygmomanometers. 
“Producer” see “Generator.”
“Scrap metal” means (a) any one or more of the following, except as provided in subsection (b) of this section:
(1) manufactured, solid metal objects and products;
(2) metal workings, including cuttings, trimmings, stampings, grindings, shavings and sandings; 
(3) solid metal residues of metal production; or
(4) printed circuit boards that are recycled [except for printed circuit boards referenced in subsec. (b)(7) of this section].
(b) “Scrap metal” excludes all of the following:
(1) lead-acid storage batteries, waste elemental mercury, and water-reactive metals such as sodium, potassium and lithium;
(2) magnesium borings, trimmings, grindings, shavings and sandings and any other forms capable of producing independent combustion;
(3) beryllium borings, trimmings, grindings, shavings, sandings and any other forms capable of producing adverse health effects or environmental harm in the opinion of the Department;
(4) any metal contaminated with a hazardous waste, such that the contaminated metal exhibits any characteristic of a hazardous waste under article 3 of chapter 11 of this division;
(5) any metal contaminated with an oil that is a hazardous waste and that is free-flowing;
(6) sludges, fine powders, semi-solids and liquid solutions that are hazardous wastes; and
(7) Any printed circuit board that has been removed from a universal waste electronic device by a universal waste handler as a result of the handler's conduct of activities authorized by sections 66273.71, 66273.72, and/or 66273.73 of chapter 23 of this division and is subject to management as a hazardous waste pursuant to sections 66273.71, 66273.72 and/or 66273.73. 
“Thermometer” means any thermometer that uses the expansion and contraction of a column of mercury to measure temperature. 
“Thermostat” means a temperature control device that contains metallic mercury in an ampule attached to a bimetal sensing element, and mercury-containing ampules that have been removed from these temperature control devices in compliance with the requirements of section 66273.33(c)(5). 
“Treatment” or “treat” or “treating” means any method, technique, or process which changes or is designed to change the physical, chemical, or biological character or composition of any hazardous waste or any material contained therein, or removes or reduces its harmful properties or characteristics for any purpose including, but not limited to, energy recovery, material recovery or reduction in volume. 
“Universal waste” means any of the wastes that are listed in section 66261.9.
“Universal waste dental amalgam” see “Dental amalgam.”
“Universal waste dilators and weighted tubing” see “Dilators and weighted tubing.”
“Universal waste gas flow regulator” see “Gas flow regulator.”
“Universal waste gauge” see “Pressure or vacuum gauge.”
“Universal waste handler”: 
(a) Means: 
(1) A generator (as defined in section 66260.10 and this section) of universal waste; or 
(2) The owner or operator of a facility, including all contiguous property, that receives universal waste from other universal waste handlers, accumulates universal waste, and sends universal waste to another universal waste handler, to a destination facility, or to a foreign destination; or 
(3) The owner or operator of a facility who is authorized to treat universal waste pursuant to article 7 of this chapter. 
(b) Does not mean: 
(1) A person who treats or recycles (except as allowed/authorized in this chapter), or disposes of, universal waste; or 
(2) A person engaged in the offsite transportation of universal waste by air, rail, highway, or water, including a universal waste transfer facility; or
(3) The owner or operator of a destination facility.
“Universal waste lamp” see “Lamp.”
“Universal waste mercury counterweights and dampers” see “Mercury counterweights and dampers.”
“Universal waste mercury switch” see “Mercury switch.”
“Universal waste rubber flooring” see “Mercury-containing rubber flooring.”
“Universal waste thermometer” see “Thermometer.”
“Universal waste transfer facility” means any transportation-related facility including loading docks, parking areas, storage areas and other similar areas where shipments of universal waste are held during the normal course of transportation for ten days or less. 
“Universal waste transporter” means a person engaged in the offsite transportation of universal waste by air, rail, highway, or water. 
“Universal waste treatment unit” means a contiguous area of a universal waste handler's facility on or in which universal waste is managed pursuant to section 66273.73, subsection (a)(2) or section 66273.73, subsection (b). Examples of universal waste treatment units include a disassembly or removal area, a shredder and associated equipment, a glass crusher, an accumulation area, or a container staging or storage area. A container alone does not constitute a universal waste treatment unit. A universal waste treatment unit includes containers and the land or pad upon which they are placed.
“Waste management unit” means an area of land, or a portion of a waste management facility, at which waste is discharged. The term includes containment features and ancillary features for precipitation and drainage control and monitoring.
NOTE

Authority cited: Sections 25141, 25141.5, 25150, 25214.6, 25150.6, 25201, 25214.9, 25214.10.2, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25141.5, 25150, 25159.5, 25201, 25212, 25214.6, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Sections 261.4, 261.5 and 273.9. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. Amendment filed 8-3-2001 as an emergency; operative 8-3-2001 (Register 2001, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-3-2001 or emergency language will be repealed by operation of law on the following day.
7. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
8. Amendment refiled 11-30-2001 as an emergency; operative 11-30-2001 (Register 2001, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-2-2002 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-2-2001 order, including amendment of definition of ``Conditionally exempt small quantity universal waste generator,” transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
10. Amendment refiled 3-26-2002 as an emergency; operative 4-12-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-12-2002 or emergency language will be repealed by operation of law on the following day.
11. Amendment refiled 8-6-2002 as an emergency; operative 8-6-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-4-2002 or emergency language will be repealed by operation of law on the following day.
12. Amendment refiled 11-25-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 11-25-2002 order, including further amendment of section and Note, transmitted to OAL 12-24-2002 and filed 2-3-2003 (Register 2003, No. 6).
14. Amendment of section and Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
15. Amendment of section and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
16. Amendment of section and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
17. Amendment of section and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
18. Certificate of Compliance as to 5-8-2008 order, including further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
19. Editorial correction of History 18 (Register 2009, No. 10.)
20. New definitions of “Class II Landfill,” “Class III Landfill,” “CRT funnel glass,” “CRT panel glass,” “Frit,” “Intermediate Facility” and “Waste management unit,” amendment of definition of “CRT glass” and amendment of Note filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
Article 2. [Reserved]
§66273.10. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.10. 
HISTORY

1. New article 2 (sections 66273.10-66273.20) and section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 66273.10-66273.20) and section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 66273.10-66273.20) and section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New article 2 (sections 66273.10-66273.20) and section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New article 2 (sections 66273.10-66273.20) and section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New article 2 (sections 66273.10-66273.20) and section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Repealer of article 2 (sections 66273.10-66273.21) and repealer of section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.11. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.11. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.12. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25201, 25214.9, 25214.10.2, 25219.1 and 58012, Health and Safety Code; and Sections 42475.1 and 42475.2, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.12. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 
. 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of section and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
10. Amendment of section and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
11. Certificate of Compliance as to 5-8-2008 order, including repealer of section, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
12. Editorial correction of History 11 (Register 2009, No. 10.)
§66273.13. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25201, 25214.6, 25214.9, 25214.10.2, 25219.1, 25219.2 and 58012, Health and Safety Code; and Sections 42475.1 and 42475.2, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25214.6, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.13. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of subsection (b)(3)(B), new subsections (d)-(d)(3) and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
9. New subsections (c)(3) and (e)-(l)(4)(C) and amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
10. Amendment of section and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
11. Amendment of section and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
12. Editorial correction of subsection (d)(3)(F) (Register 2006, No. 24).
13. Amendment of section and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
14. Certificate of Compliance as to 5-8-2008 order, including repealer of section, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
15. Editorial correction of History 14 (Register 2009, No. 10.)
§66273.14. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25201, 25214.6, 25214.9, 25214.10.2, 25219.1 and 58012, Health and Safety Code; and Sections 42475.1 and 42475.2, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25212, 25214.6, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.14. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. New subsection (d) and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
9. New subsections (e)-(l) and amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
10. Amendment of section and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsections (d) and (d)(1) and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
12. Amendment of subsections (d) and (d)(1) and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
13. Certificate of Compliance as to 5-8-2008 order, including repealer of section, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
14. Editorial correction of History 13 (Register 2009, No. 10.)
§66273.15. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.15. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.16. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.16. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.17. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.17. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including new subsection (c), transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.18. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.18. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.19. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25219.1, 25219.2 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.39. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Repealer and new section and amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
9. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.20. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25150.2, 25150.6, 25201, 25214.9, 25214.10.2, 25219.1 and 58012, Health and Safety Code; and Sections 42475.1 and 42475.2, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; Section 42476.5, Public Resources Code; and 40 CFR Section 273.20. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of first paragraph, new subsections (d)-(f) and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
9. Amendment of section and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
10. Amendment of section and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
11. Amendment of section and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
12. Certificate of Compliance as to 5-8-2008 order, including repealer of section, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
13. Editorial correction of History 12 (Register 2009, No. 10.)
§66273.21. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25214.6, 25219.1, 25219.2 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25212, 25214.6, 25219, 25219.1 and 25219.2, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Repealer filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
Article 3. Standards for Universal Waste Handlers
§66273.30. Applicability.
Note     •     History

This article applies to universal waste handlers (as defined in section 66273.9). 
NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.30. 
HISTORY

1. New article 3 (sections 66273.30-66273.40) and section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 66273.30-66273.40) and section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New article 3 (sections 66273.30-66273.40) and section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New article 3 (sections 66273.30-66273.40) and section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New article 3 (sections 66273.30-66273.40) and section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New article 3 (sections 66273.30-66273.40) and section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of article heading and section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.31. Prohibitions.
Note     •     History

A universal waste handler is: 
(a) Prohibited from disposing of universal waste [however, a universal waste handler may send or take batteries, thermostats, mercury-added novelties containing no liquid mercury, and mercury-containing rubber flooring that are universal wastes to a destination facility for disposal]; and 
(b) Prohibited from diluting or treating universal waste, except by responding to releases as provided in section 66273.37, or by managing specific wastes as provided in sections 66273.33 and 66273.33.5. 
NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.31. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.32. USEPA Notification, Department Notification, and Reporting Requirements for Universal Waste Handlers.
Note     •     History

(a) USEPA notification requirements.
(1) Except as provided in subsections (a)(2) and (b) of this section, a universal waste handler shall have sent written notification of universal waste management to the Regional Administrator, and received a federal ID Number, before accumulating 5,000 kilograms of universal waste. 
(2) A universal waste handler who has already notified the USEPA of the universal waste handler's hazardous waste management activities and has received an EPA Identification Number is not required to renotify pursuant to this section. 
(b) A universal waste handler who accumulates 5,000 kilograms of universal waste, but who would not be required to notify the Regional Administrator pursuant to 40 Code of Federal Regulations section 273.32(a)(1) because the universal wastes handled are non-RCRA hazardous waste shall obtain an ID Number, as defined in section 66260.10, from the Department.
(c) Department notification requirements for universal waste handlers of electronic devices, CRTs, and CRT glass.
(1) Any universal waste handler who might accept and accumulate, but not treat, any electronic device, CRT, and/or CRT glass from an offsite source shall submit to the Department at the address given in subsection (e) or (f) of this section, an electronic or written notification containing the information specified in subsection (c)(2) of this section no later than 30 calendar days prior to accepting any electronic device, CRT and/or CRT glass.
(2) This notification shall include: 
(A) Name of universal waste handler (If the facility owner is different than the facility operator, also include the owner's name.);
(B) ID Number of the universal waste handler, if applicable;
(C) Telephone number of universal waste handler;
(D) Mailing address of universal waste handler, and physical address, including county, if different from the mailing address;
(E) Name of the contact person at the universal waste handler's site who should be contacted regarding universal waste management activities;
(F) Telephone number of the contact person;
(G) An e-mail address for the contact person or organization, if available;
(H) The types of electronic devices, CRTs, and/or CRT glass expected to be handled;
(I) The sources of the electronic devices, CRTs, and/or CRT glass (i.e., residential collections, business asset recovery, other collectors, etc.); and
(J) A statement indicating whether the universal waste handler might accumulate 5,000 kilograms or more of universal waste at one time.
(3) Notifications made pursuant to this subsection shall be made for each location at which the universal waste handler accepts or accumulates electronic devices, CRTs and/or CRT glass from an offsite source.
(d) Annual reporting requirements for universal waste handlers of electronic devices, CRTs, and CRT glass.
(1) A universal waste handler that accepts more than 100 kilograms (or 220 pounds) of electronic devices, CRTs, and CRT glass calculated collectively, from any offsite sources in a calendar year shall, by February 1 of the following year, submit to the Department at the address given in subsection (e) or (f) of this section, an electronic or written annual report containing the information specified in subsection (d)(3) of this section. The information submitted pursuant to this subsection (d)(1) shall cover the electronic-device-handling, CRT-handling, and CRT-glass-handling activities conducted during the previous calendar year.
(2) A universal waste handler that generates 5,000 kilograms (or 11,000 pounds; e.g., about 200 CRTs) or more of electronic devices, CRTs, and CRT glass calculated collectively, in a calendar year shall, by February 1 of the following year, submit to the Department at the address given in subsection (e) or (f) of this section, an electronic or written annual report containing the information specified in subsection (d)(3) of this section. The information submitted pursuant to this subsection (d)(2) shall:
(A) Identify the electronic device-handling, CRT-handling, and CRT glass-handling activities conducted during the previous calendar year; and
(B) Include [in addition to the information specified in subsection (d)(3) of this section] the types of universal wastes (i.e., electronic devices, CRTs, and/or CRT glass calculated collectively) that the universal waste handler accumulated.
(3) This annual report shall include:
(A) Name of universal waste handler;
(B) ID Number of the universal waste handler, if applicable; 
(C) Telephone number of universal waste handler;
(D) Mailing address of universal waste handler, and physical address, including county, if different from the mailing address;
(E) Name of the contact person at the universal waste handler's site who should be contacted regarding universal waste management activities;
(F) Telephone number of the contact person;
(G) An e-mail address for the contact person or organization, if available;
(H) The types of electronic devices, CRTs, and CRT glass handled;
(I) The following quantities handled, which include any quantities handled but not shipped:
1. The total quantity of electronic devices that are also CRT devices (count), handled during the previous calendar year;
2. The total quantity of CRTs (count) handled during the previous calendar year; 
3. The total quantity of CRT glass (weight) handled during the previous calendar year; and 
4. The total quantity of electronic devices that are not also CRT devices (count or weight) handled during the previous calendar year;
(J) A list consisting of:
1. The name, address, and telephone number for each of the locations to which the universal waste handler shipped electronic devices, CRTs, and CRT glass during the previous calendar year; and
2. The following quantities shipped to each of those locations:
a. The total quantity of electronic devices that are also CRT devices (count), shipped to that location during the previous calendar year;
b. The total quantity of CRTs (count) shipped to that location during the previous calendar year; 
c. The total quantity of CRT glass (weight) shipped to that location during the previous calendar year; and 
d. The total quantity of electronic devices that are not also CRT devices (count or weight) shipped to that location during the previous calendar year;
(K) Whenever necessary, a universal waste handler who utilizes a mass-based inventory system to quantify electronic devices that are also CRT devices, CRTs, and electronic devices that are not also CRT devices, may convert mass data to count data through application of an appropriate conversion factor (e.g., 30 pounds per CRT) to fulfill the annual reporting requirement of subsection (d) of this section. A universal waste handler who performs such a data conversion(s) shall indicate that the count data were derived from mass data and shall include the conversion factor(s) used, in the annual report.
(e) Electronic submissions. If submitted electronically through the Department's universal waste web-based reporting system, Department notifications and annual reports required pursuant to subsections (c) and (d) of this section shall be addressed to the Department at http://www.dtsc.ca.gov.
(f) Written submissions. If submitted in writing, Department notifications and annual reports required pursuant to subsections (c) and (d) of this section shall be sent to the Department by certified mail, return receipt requested, at the following address: Department of Toxic Substances Control, Universal Waste Notification and Reporting Staff, P.O. Box 806, Sacramento, CA 95812-0806, with the words “Attention: Universal Waste Handling Activities” prominently displayed on the front of the envelope. 
NOTE

Authority cited: Sections 25141, 25150, 25201, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; and 40 CFR Section 273.32. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of subsection (a)(1), new subsections (a)(3)-(a)(3)(C) and amendment of Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (a)(1), new subsections (a)(3)-(a)(3)(C) and amendment of Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
10. Amendment of subsection (a)(1), new subsections (a)(3)-(a)(3)(C) and amendment of Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
11. Certificate of Compliance as to 5-8-2008 order, including amendment of section heading and further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
12. Editorial correction of History 11 (Register 2009, No. 10.)
§66273.33. Universal Waste Management Requirements for Batteries, Lamps, and Mercury-Containing Equipment.
Note     •     History

The requirements of this section apply only to universal waste handlers of batteries, lamps (including M003 wastes that contain lamps), and mercury-containing equipment. The corresponding requirements for universal waste handlers of electronic devices, CRTs, and CRT glass are set forth in section 66273.33.5. Handlers of universal wastes that are both electronic devices and M003 wastes [e.g., an electronic device that contains a lamp [an M003 waste)] shall comply with this section and section 66273.33.5 for the management of those universal wastes. However, once lamp removal is completed on such waste, such waste shall no longer to be managed as M003 waste and it shall be managed as an electronic device pursuant to section 66273.33.5, if applicable.
(a) Batteries. A handler shall manage batteries in a way that prevents releases of any universal waste or component of a universal waste to the environment, as follows: 
(1) A universal waste handler shall contain any battery that shows evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions in a container. The container shall be closed, structurally sound, compatible with the battery and its contents, and shall lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions. 
(2) A universal waste handler may conduct the following activities as long as the casing of each individual battery cell is not breached and remains intact and closed (except that cells may be opened to remove electrolyte but shall be immediately closed after removal): 
(A) Sorting batteries by type; 
(B) Mixing battery types in one container; 
(C) Discharging batteries so as to remove the electric charge; 
(D) Regenerating used batteries; 
(E) Disassembling batteries or battery packs into individual batteries or cells; 
(F) Removing batteries from consumer products; or 
(G) Removing electrolyte from batteries. 
(3) A universal waste handler who removes electrolyte from batteries, or who generates other waste (e.g., battery pack materials, discarded consumer products) as a result of the activities listed in subsection (a)(2) of this section, shall determine whether the electrolyte and/or other waste exhibit a characteristic of hazardous waste identified in article 3 of chapter 11. 
(A) If the electrolyte and/or other waste exhibit a characteristic of hazardous waste, it shall be managed in compliance with all applicable requirements of this division. The universal waste handler is considered the generator of the hazardous electrolyte and/or other waste and is subject to chapter 12. 
(B) If the electrolyte or other waste is not hazardous, the universal waste handler may manage the waste in any way that is in compliance with applicable federal, state or local solid waste regulations. 
(b) Lamps (including M003 wastes that contain lamps). A universal waste handler shall manage lamps in a way that prevents releases of any universal waste or component of a universal waste to the environment, as follows: 
(1) A universal waste handler shall contain any lamp in a container or package that is structurally sound, adequate to prevent breakage, and compatible with the contents of the lamp. Such a container or package shall remain closed and shall lack evidence of leakage, spillage or damage that could cause leakage under reasonably foreseeable conditions. 
(2) A universal waste handler shall immediately clean up and place in a container any lamp that is broken and shall place in a container any lamp that shows evidence of leakage or damage that could cause the release of mercury or other hazardous constituents to the environment. Containers shall be closed, structurally sound, compatible with the contents of the lamps and shall lack evidence of leakage, spillage, or damage that could cause leakage or releases of mercury or other hazardous constituents to the environment under reasonably foreseeable conditions. 
(3) A universal waste handler may remove a lamp from a product or structure, provided the universal waste handler removes the lamp in a manner designed to prevent breakage. 
(c) Mercury-containing equipment.
(1) Accumulation. A universal waste handler who accumulates any mercury-containing equipment received from another universal waste handler shall:
(A) Comply with all applicable requirements for handling hazardous materials;
(B) Disclose in all applicable business and use permitting applications that mercury is being handled;
(C) Comply with the location standards in section 66265.18;
(D) Comply with the seismic and precipitation design standards in section 66265.25;
(E) Accumulate mercury-containing equipment only in locations that are zoned for commercial or industrial uses, are consistent with local zoning requirements and land use patterns, and do not pose site-specific land-use hazards or contain sensitive habitat area, based on a review of state and local planning documents and constraints mapping.
(2) Prevention of releases to the environment. A universal waste handler, who manages the types of mercury-containing equipment identified in subsections (c)(3) through (c)(5) of this section, shall comply with the requirements specified in those subsections.
(3) Mercury-containing rubber flooring. A universal waste handler shall manage mercury-containing rubber flooring in a way that prevents releases of any universal waste or component of a universal waste to the environment under reasonably foreseeable conditions.
(4) Dental amalgams and/or pressure or vacuum gauges. A universal waste handler shall manage dental amalgams and/or pressure or vacuum gauges in a way that prevents releases of any universal waste or component of a universal waste to the environment under reasonably foreseeable conditions, and shall:
(A) Comply with all of the following with respect to the dental amalgams:
1. Place dental amalgams (e.g., dental-amalgam scraps and fines, single-use dental-amalgam traps and filters, and extracted teeth with dental-amalgam restorations) in airtight containers. The containers shall be kept closed, except when dental amalgams are being added or removed.
2. Not rinse dental-amalgam traps or filters into a sink.
3. Not place dental amalgams into medical waste containers.
(B) Comply with all of the following with respect to the pressure or vacuum gauges:
1. Manage pressure or vacuum gauges as follows:
a. All openings through which mercury could escape shall be securely closed with appropriately sized stoppers or other closures that are compatible with the contents of the pressure or vacuum gauge.
b. Each pressure or vacuum gauge shall be sealed in a plastic bag. Plastic bags containing pressure or vacuum gauges shall be placed into a container or package that is structurally sound, adequate to prevent breakage, and compatible with the contents of the pressure or vacuum gauge. The container or package shall remain closed (except when pressure or vacuum gauges are added or removed), and shall lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions. The container shall contain packing materials adequate to prevent breakage during storage, handling, and transportation. 
c. Pressure or vacuum gauges shall be kept upright at all times during handling, accumulation, and transportation.
d. A mercury clean-up system shall be readily available to transfer immediately any mercury resulting from spills or leaks from pressure or vacuum gauges to an airtight container that meets the requirements of subsection (c)(4)(B)1.b. of this section.
2. Meet the requirements of subsection (c)(7) of this section, if removing liquid mercury from a pressure or vacuum gauge. 
(5) All other mercury-containing equipment. A universal waste handler of the mercury-containing equipment listed in subsections (c)(5)(A) through (c)(5)(F) of this section (i.e., thermostats, mercury switches, mercury-added novelties, gas flow regulators, mercury counterweights and dampers, and/or dilators and weighted tubing) shall manage such equipment in a way that prevents releases of any universal waste or component of a universal waste to the environment under reasonably foreseeable conditions, and shall comply with the additional requirements specified in those subsections.
(A) Thermostats. A universal waste handler shall manage thermostats (and ampules removed from thermostats) in accordance with the requirements of subsection (c)(6)(A) of this section.
(B) Mercury switches and/or thermometers. A universal waste handler shall manage mercury switches and/or thermometers in accordance with the requirements of subsection (c)(6)(C) of this section and with the following requirements, as applicable:
1.a. Contain in a sealed plastic bag in a container, any mercury switch or thermometer that shows evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions. The container shall be closed (except when a mercury switch or thermometer is added or removed), structurally sound, and compatible with the contents of the mercury switches and/or thermometers, and shall lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions. The container shall contain packing materials adequate to prevent breakage of mercury switches and/or thermometers during storage, handling, and transportation. 
b. Accumulate thermometers in closed, non-leaking containers that are in good condition and shall pack thermometers with packing materials adequate to prevent breakage during storage, handling, and transportation.
2. Do the following, prior to crushing, baling, shearing, or shredding a motor vehicle equipped with one or more mercury switches that are also mercury-containing motor vehicle light switches:
a. Remove all such mercury switches (except those that cannot be removed due to accidental damage to the vehicle) or ensure that all such mercury switches (except those that cannot be removed due to accidental damage to the vehicle) have already been removed; and
b. Comply with subsection (c)(7) of this section, if removing a mercury-containing motor vehicle light switch.
(C) Mercury-added novelties. A universal waste handler shall manage mercury-added novelties in accordance with the requirements of subsection (c)(6)(C) of this section and with the following requirements, as applicable: 
1. Manage mercury-added novelties, whose only mercury is contained in a button cell or other battery, pursuant to the requirements for batteries specified in subsection (a) of this section.
a. A universal waste handler, who is also a conditionally exempt small quantity universal waste generator, may remove from such mercury-added novelties batteries containing mercury if they are removable.
b. Batteries removed from such mercury-added novelties may be managed pursuant to subsection (a) of this section.
2. Accumulate in an airtight container, mercury-added novelties that are painted with paint containing mercury. The container shall be closed (except when mercury-added novelties are added or removed), structurally sound, and compatible with the mercury-added novelties, and shall lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions.
3. Manage mercury-added novelties that contain liquid mercury, as follows:
a. Such mercury-added novelties shall be packed in an airtight container, with packing materials adequate to prevent breakage during storage, handling, and transportation. The container shall: be closed (except when mercury-added novelties are added or removed), structurally sound, and compatible with the mercury-added novelties, and shall lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions.
b. Any such mercury-added novelty that shows evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions shall be placed in an airtight container. The container shall meet the requirements of subsection (c)(5)(C)3.a. of this section.
c. A mercury clean-up system shall be readily available.
4. Manage mercury-added novelties, whose only mercury is contained in mercury switches, pursuant to the requirements of subsection (c)(5)(B) of this section.
a. A universal waste handler may manage mercury switches removed from mercury-added novelties as mercury switches.
b. A universal waste handler shall comply with subsection (c)(7) of this section, if removing a mercury switch from a mercury-added novelty.
(D) Gas flow regulators. A universal waste handler shall manage gas flow regulators in accordance with the requirements of subsection (c)(6)(C) of this section and with all of the following requirements:
1. Ensure that gas flow regulators are kept upright at all times during accumulation and transportation.
2. Place each gas flow regulator into an airtight container or package that is structurally sound, adequate to prevent breakage, and compatible with the contents of the gas flow regulator. The container or package shall remain closed and shall lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions.
3. Ensure that a mercury clean-up system is readily available to transfer immediately any mercury resulting from spills or leaks from gas flow regulators, to an airtight container that meets the requirements of subsection (c)(5)(D)2. of this section. 
(E) Mercury counterweights and dampers. A universal waste handler shall manage mercury counterweights and dampers in accordance with the requirements of subsections (c)(6)(B) and (c)(6)(C) of this section and with all of the following requirements: 
1. Prior to shipping mercury counterweights and dampers to a recycler, pack them in a container, with packing materials adequate to prevent breakage during storage, handling, and transportation. The container shall be closed (except when mercury counterweights and dampers are added or removed), structurally sound, and compatible with the contents of the mercury counterweight or damper; and lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions. 
2. Ensure that a mercury clean-up system is readily available. 
(F) Dilators and weighted tubing. A universal waste handler shall manage dilators and weighted tubing in accordance with the requirements of subsections (c)(6)(B) and (c)(6)(C) of this section, and with all of the following requirements:
1. Prior to shipping dilators and weighted tubing, pack them in a container with packing materials adequate to prevent breakage during storage, handling, and transportation. The container shall be closed (except when dilators and weighted tubing are added or removed), structurally sound, and compatible with the contents of the dilators and weighted tubing, and shall lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions. 
2. Ensure that a mercury clean-up system is readily available. 
(6) General requirements. A universal waste handler shall manage the mercury-containing equipment identified in subsection (c)(5) of this section in accordance with the following requirements, as specified in that subsection: 
(A) Place in a container any mercury-containing equipment with uncontained elemental mercury or that shows evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions. The container shall: be closed (except when mercury-containing equipment is added or removed), structurally sound, and compatible with the contents of the mercury-containing equipment; lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions.
(B) Place into a sealed plastic bag in an airtight container, any mercury-containing equipment that shows evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions. The container shall: be closed (except when mercury-containing equipment is added or removed), structurally sound, and compatible with the contents of the mercury-containing equipment; and lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions. 
(C) Characterize residuals as follows:
1. Determine whether the following exhibit a characteristic of hazardous waste identified in article 3 of chapter 11 of this division:
a. Mercury or clean-up residues resulting from spills or leaks; and/or
b. Other wastes generated as a result of handling mercury-containing equipment.
2. If the mercury, residues, and/or other wastes exhibit a characteristic of hazardous waste, the universal waste handler shall manage the wastes in compliance with all applicable requirements of this division. The universal waste handler is considered the generator of the mercury, residues, and/or other wastes and shall manage them pursuant to chapter 12 of this division.
3. If the mercury, residues, and/or other wastes do not exhibit a characteristic of hazardous waste, the universal waste handler may manage the wastes in any way that complies with all applicable federal, state and local solid waste regulations.
(7) Treatment. A universal waste handler, who treats any mercury-containing equipment (e.g., removes ampules and mercury switches, drains pressure or vacuum gauges), shall comply with the applicable requirements of article 7 of this chapter in addition to the requirements of subsection (c) of this section with respect to the mercury-containing equipment.
NOTE

Authority cited: Sections 25141, 25150, 25201, 25214.6, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25212, 25214.6, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.33. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. New subsections (d)-(d)(3) and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
9. New subsections (c)(3) and (e)-(l)(4)(C) and amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
10. Amendment of section and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
11. Amendment of section and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
12. Amendment of section and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
13. Certificate of Compliance as to 5-8-2008 order, including amendment of section heading and further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
14. Editorial correction of History 13 (Register 2009, No. 10.)
§66273.33.5. Universal Waste Management Requirements for Electronic Devices, CRTs, and CRT Glass.
Note     •     History

The requirements of this section apply only to universal waste handlers of electronic devices, CRTs, and/or CRT glass.
(a) Electronic devices.
(1) A universal waste handler of electronic devices shall: 
(A) Comply with the applicable requirements of sections 66273.30 through 66273.32, and of sections 66273.34 through 66273.39, of this article with respect to the management of those electronic devices; and 
(B) Manage electronic devices in a way that prevents releases of any universal waste or component of a universal waste to the environment under reasonably foreseeable conditions, as follows: 
1.a. A universal waste handler shall contain any electronic device in a manner that prevents breakage and release of components to the environment. If a container is used, such a container shall prevent leakage, spillage or damage that could cause leakage under reasonably foreseeable conditions.
b. Intact electronic devices that are managed in a manner that prevents breakage of the electronic devices and release of components of the electronic devices to the environment under reasonably foreseeable conditions (e.g., stretch-film on a pallet) shall be deemed to comply with subsection (a)(1)(B)1.a. of this section. 
2. A universal waste handler shall immediately clean up and place in a container any electronic device that is accidentally or unintentionally broken and may be expected to cause a release of hazardous constituents to the environment under reasonably foreseeable conditions. The container shall be structurally sound, compatible with the contents of the electronic devices and shall prevent releases of components to the environment under reasonably foreseeable conditions.
(2) Except as otherwise provided in subsection (a)(3) of this section, a universal waste handler of electronic devices shall comply with the applicable requirements of article 7 of this chapter in addition to the requirements of subsection (a)(1) of this section with respect to the electronic devices.
(3) A universal waste handler of electronic devices shall be exempt from the requirements of article 7 of this chapter with respect to the electronic devices, if the universal waste handler: 
(A) Manages only electronic devices that are intact (except for the occasional electronic device that is accidentally or unintentionally broken and that is managed according to the applicable provisions of this chapter);
(B) Ensures that the intact electronic devices remain intact (except for the occasional electronic device that is accidentally or unintentionally broken and that is managed according to the applicable provisions of this chapter) throughout the entire time they are in the universal waste handler's custody; and
(C) Complies with the requirements of section (a)(1) of this section. 
(b) CRTs.
(1) A universal waste handler of CRTs shall:
(A) Comply with the applicable requirements of sections 66273.30 through 66273.32, and of sections 66273.34 through 66273.39, of this article with respect to the management of those CRTs; and
(B) Manage CRTs in a manner that prevents releases of any CRTs or component of any CRTs to the environment under reasonably foreseeable conditions, as follows:
1. A universal waste handler shall contain any CRT in a container or package that is structurally sound, adequate to prevent breakage of the CRT, and compatible with the contents of the CRT. Such a container or package shall lack evidence of leakage, spillage or damage that could cause leakage under reasonably foreseeable conditions.
2. A universal waste handler shall immediately clean up and place in a container any CRT that is broken and shall place in a container any CRT that shows evidence of breakage, leakage, or damage that could cause the release of CRT glass or other hazardous constituents to the environment under reasonably foreseeable conditions. The containers shall be structurally sound, compatible with the contents of the CRTs and shall lack evidence of leakage, spillage or damage that could cause leakage or releases of CRT glass or other hazardous constituents to the environment under reasonably foreseeable conditions.
3. A universal waste handler shall place CRTs in a container with packing materials, if such material is necessary to prevent breakage during handling, storage and transportation.
(2) A universal waste handler of CRTs shall comply with the applicable requirements of article 7 of this chapter in addition to the requirements of subsection (b)(1) of this section with respect to the CRTs.
(c) CRT glass.
(1) A universal waste handler of CRT glass shall: 
(A) Comply with the applicable requirements of sections 66273.30 through 66273.32, and of sections 66273.34 through 66273.39, of this article with respect to the management of the CRT glass; and
(B) Manage CRT glass in a way that prevents releases of any CRT glass to the environment under reasonably foreseeable conditions, as follows:
1. A universal waste handler shall contain any CRT glass in a container or package that is structurally sound and compatible with the contents of the CRT glass to prevent releases to the environment. Such a container or package shall lack evidence of leakage, spillage or damage that could cause leakage under reasonably foreseeable conditions.
2. A universal waste handler shall immediately clean up and place in a container any CRT glass that is released from a broken CRT or that is spilled. A universal waste handler shall immediately clean up and place in another container any CRT glass that is released as a result of breakage, leakage, or damage to a container of CRT glass, and shall place in that other container any unreleased CRT glass remaining in the broken, leaking, or damaged container. The containers into which CRT glass is placed shall be structurally sound, compatible with the contents of the CRT glass, and shall lack evidence of leakage, spillage or damage that could cause leakage or releases of CRT glass or other hazardous constituents to the environment under reasonably foreseeable conditions.
(2) A universal waste handler of CRT glass shall comply with the applicable requirements of article 7 of this chapter in addition to the requirements of subsection (c)(1) of this section with respect to the CRT glass.
NOTE

Authority cited: Sections 25141, 25150, 25201, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25212, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code.
HISTORY

1. New section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.34. Labeling/Marking.
Note     •     History

Except as otherwise provided in subsection (g) of this section, a universal waste handler shall label or mark universal waste to identify the type of universal waste as specified in subsections (a) through (f) of this section. 
(a) Batteries (i.e., each battery), or a container in which the batteries are contained, shall be labeled or marked clearly with the following phrase: “Universal Waste--Battery(ies)”.
(b) Mercury-containing equipment (i.e., each individual mercury-containing equipment), or a container in which the mercury-containing equipment is contained, shall be labeled or marked clearly with the following phrase: “Universal Waste--Mercury-Containing Equipment”.
(c) Lamps (including M003 wastes that contain lamps) (i.e., each lamp), or a container or package in which the lamps are contained, shall be labeled or marked clearly with the following phrase: “Universal Waste--Lamp(s)”.
(d) Electronic devices (i.e., each electronic device), or a container or pallet in or on which the electronic devices are contained, shall be labeled or marked clearly with the following phrase: “Universal Waste--Electronic Device(s)”. 
(e) CRTs (i.e., each CRT), or a container or pallet in or on which the CRTs are contained, shall be labeled or marked clearly with the following phrase: “Universal Waste--CRT(s)”. 
(f) A container of CRT glass shall be labeled or marked clearly with the following phrase: “Universal Waste--CRT glass”. 
(g) In lieu of labeling individual electronic devices, CRTs, and/or containers of CRT glass pursuant to subsections (d) through (f) of this section, a universal waste handler may combine, package, and accumulate those universal wastes in appropriate containers or within a designated area demarcated by boundaries that are clearly labeled with the applicable portion(s) of the following phrase: “Universal Waste--Electronic Device(s)/Universal Waste--CRT(s)/Universal Waste--CRT Glass”. 
NOTE

Authority cited: Sections 25141, 25150, 25201, 25214.6, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25212, 25214.6, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.34. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. New subsection (d) and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
9. Amendment of subsection (b), new subsections (e)-(l) and amendment of Note filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
10. Amendment of subsection (d), new subsection (d)(1) and amendment of Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (d), new subsection (d)(1) and amendment of Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
12. Amendment of subsection (d), new subsection (d)(1) and amendment of Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
13. Certificate of Compliance as to 5-8-2008 order, including further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
14. Editorial correction of History 13 (Register 2009, No. 10.)
§66273.35. Accumulation Time Limits.
Note     •     History

(a) A universal waste handler shall accumulate universal waste for no longer than one year from the date the universal waste was generated, or was received from another universal waste handler. 
(b) A universal waste handler shall be able to demonstrate the length of time that the universal waste has been accumulated from the date it became a waste or was received. The universal waste handler may make this demonstration by: 
(1) Placing the universal waste in a container and marking or labeling the container with the earliest date that any universal waste in the container became a waste or was received; 
(2) Marking or labeling the individual item of universal waste (e.g., each battery or thermostat) with the date it became a waste or was received; 
(3) Maintaining an inventory system onsite that identifies the date the universal waste being accumulated became a waste or was received; 
(4) Maintaining an inventory system onsite that identifies the earliest date that any universal waste in a group of items of universal waste or a group of containers of universal waste became a waste or was received; 
(5) Placing the universal waste in a specific accumulation area and marking or labeling the area to identify the earliest date that any universal waste in the area became a waste or was received; or 
(6) Any other method which clearly demonstrates the length of time that the universal waste has been accumulated from the date it became a waste or was received. 
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25201, 25214.6, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.35. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of section and Note filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.36. Personnel Training.
Note     •     History

(a) A universal waste handler shall ensure that all personnel who manage universal wastes at the universal waste handler's facility are thoroughly familiar with proper universal waste management and emergency response procedures relative to those persons' responsibilities, as specified in subsections (b) and (c) of this section.
(1) For purposes of this section, “personnel who manage universal waste” means any persons who consolidate, sort, treat, recycle, package for transport, offer for transport, or physically relocate containers of universal waste.
(2) Persons who, in the course of their normal duties, only generate universal wastes from onsite sources and place them into accumulation containers, areas or locations are not “personnel who manage universal waste” (e.g., an office worker who removes spent batteries from an electronic device).
(b) A universal waste handler shall initially train and provide annually, thereafter, training to all personnel who manage or who supervise those who manage universal wastes. Training materials shall be in the form of any written media (e.g., brochures, electronic mail, company letters, pamphlets, posters, etc.) and shall include the date of that material. This training shall include, at a minimum:
(1) The types and hazards associated with the universal waste that personnel may manage at the facility (e.g., hazards due to leaded glass in CRT devices or CRTs);
(2) The proper disposition of universal wastes managed at the facility (e.g., the locations of universal waste containers, or the location of a centralized universal waste accumulation area);
(3) The proper procedures for responding to releases of universal wastes (e.g., spilled CRT glass) including the position titles and the means of contacting those personnel at the facility who are designated to respond to reports of releases (e.g., spilled CRT glass) and/or to respond to questions received from other personnel at the facility; and 
(4) The applicable requirements contained in this chapter regarding labeling, collecting, handling, consolidating, and shipping universal wastes at the facility, including, but not limited to, the prohibition on the disposal of universal wastes, and for personnel involved in shipping universal wastes who are “hazmat employees”, as defined in 49 Code of Federal Regulations section 171.8, the applicable requirements prescribed in 49 Code of Federal Regulations section 172.704.
(c) The universal waste handler shall maintain a written record by date (e.g., a list of personnel who have received either initial or annual training information) indicating the names of personnel who received the information specified in subsection (b) of this section.
(d) The universal waste handler shall maintain the record specified in subsection (c) of this section for at least three years from the date the person last managed any universal waste at the facility. The record of training for a “hazmat employee”, as defined in 49 Code of Federal Regulations section 171.8, shall meet the applicable requirements of 49 Code of Federal Regulations section 172.704(d). The training record may accompany a person who is transferred within the same company.
NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.36. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of section heading, section and Note filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
9. Change without regulatory effect amending subsections (a)-(b) filed 5-6-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 19).
§66273.37. Response to Releases.
Note     •     History

(a) A universal waste handler shall immediately contain all releases of universal wastes and of residues from universal wastes to the environment. 
(b) A universal waste handler shall determine whether any material resulting from such a release is a hazardous waste, and if so, shall manage the hazardous waste in compliance with all applicable requirements of this division. The universal waste handler is considered the generator of the hazardous waste resulting from the release, and is subject to the requirements of chapter 12. 
(c) Hazardous waste consisting only of residues of leaking, broken, or otherwise damaged universal waste may be managed as universal waste provided that the leaking, broken, or otherwise damaged universal waste is repackaged according to the standards of section 66273.33 or 66273.33.5.
NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.37. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including new subsection (c), transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of section and Note filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.38. Offsite Shipments.
Note     •     History

(a) A universal waste handler is prohibited from sending or taking universal waste to a place other than another universal waste handler, a destination facility, or a foreign destination. 
(b) If a universal waste handler self-transports universal waste offsite, the universal waste handler becomes a universal waste transporter for those self-transportation activities and shall comply with the transporter requirements of article 5 of this chapter while transporting the universal waste. 
(c) If a universal waste being offered for offsite transportation meets the definition of hazardous material pursuant to 49 CFR parts 171 through 180, a universal waste handler shall package, label, mark and placard the shipment, and prepare the proper shipping papers in accordance with the applicable Department of Transportation regulations pursaunt to 49 CFR parts 172 through 180; 
(d) Prior to sending a shipment of universal waste to another universal waste handler or to a destination facility, the originating universal waste handler shall ensure that the receiving universal waste handler or destination facility agrees (e.g., verbal or written communication) to receive the shipment. 
(e) If a universal waste handler sends a shipment of universal waste to another universal waste handler or to a destination facility and the shipment is rejected by the receiving universal waste handler or destination facility, the originating universal waste handler shall either: 
(1) Receive the universal waste back when notified that the shipment has been rejected; or 
(2) Agree with the receiving universal waste handler on a destination facility to which the shipment will be sent. 
(f) A universal waste handler may reject a shipment containing universal waste, or a portion of a shipment containing universal waste that the universal waste handler has received from another universal waste handler. If a universal waste handler rejects a shipment or a portion of a shipment, the universal waste handler shall contact and notify the originating universal waste handler of the rejection and to discuss reshipment of the load. The universal waste handler shall: 
(1) Send the shipment back to the originating universal waste handler; or 
(2) If agreed to by both the originating and receiving universal waste handler, send the shipment to a destination facility. 
(g) If a universal waste handler receives as universal waste, a shipment containing hazardous waste that is not a universal waste, the universal waste handler shall immediately notify the Department of the illegal shipment, and provide the name, address, and telephone number of the originating shipper. The Department will provide instructions for managing the hazardous waste. 
(h) If a universal waste handler receives as universal waste, a shipment of nonhazardous waste, the universal waste handler shall manage the nonhazardous waste in any way that is in compliance with applicable federal, state and local solid waste regulations. 
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25219.1, 25219.2 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.38. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of section heading and section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.39. Tracking Universal Waste Shipments.
Note     •     History

(a) Receipt of shipments. A universal waste handler shall keep a record of each shipment of universal waste received at the universal waste handler's facility. The record may take the form of a log, invoice, manifest, bill of lading, or other shipping document. The record for each shipment of universal waste received shall include the following information: 
(1) The name and address of the originating universal waste handler from which the universal waste was sent; 
(2) The quantity [count or weight, consistent with, for example, section 66273.32, subsection (d)] of each type of universal waste received (e.g., batteries, thermostats, lamps, electronic devices, CRTs, CRT glass); and 
(3) The date of receipt of the shipment of universal waste. 
(b) For purposes of compliance with subsection (a) of this section, a universal waste handler who receives universal wastes from household generators and conditionally exempt small quantity universal waste generators, as defined in section 66273.9, may
(1) in lieu of the originating universal waste handler's name and address, record “household generator” and/or “CESQUWG”, and 
(2) record the total quantity of each type of universal waste as an aggregate from households and/or conditionally exempt small quantity universal waste generators, as defined in section 66273.9.
(c) Shipments offsite. A universal waste handler shall keep a record of each shipment of universal waste sent from the universal waste handler's facility to another facility. The record may take the form of a log, invoice, manifest, bill of lading or other shipping document. The record for each shipment of universal waste sent shall include the following information: 
(1) The name and address of the universal waste handler or destination facility to which the universal waste was sent; 
(2) The quantity [count or weight, consistent with, for example, section 66273.32, subsection (d)] of each type of universal waste sent (e.g., batteries, thermostats, lamps, electronic devices, CRTs, CRT glass); 
(3) The date of departure of the shipment of universal waste. 
(d) Record retention. 
(1) A universal waste handler shall retain each record described in subsection (a) of this section for at least three years from the date of receipt of the corresponding shipment of universal waste. 
(2) A universal waste handler shall retain each record described in subsection (c) of this section for at least three years from the date of departure of the corresponding shipment of universal waste. 
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25219.1, 25219.2 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.39. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
9. Change without regulatory effect amending subsection (d)(2) filed 7-13-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 29).
Article 4. Export and Import Requirements
§66273.40. Exports.
Note     •     History

(a) Universal waste handler requirements.
(1) A universal waste handler who sends universal waste, not including electronic devices, CRTs, and CRT glass, to an OECD country specified in section 66262.58, subsection (a)(1), is subject to the requirements of article 8 of chapter 12.
(2) A universal waste handler who sends universal waste, not including electronic devices, CRTs, and CRT glass, to a foreign destination in a country other than an OECD country specified in section 66262.58(a)(1), shall:
(A) Comply with the requirements applicable to a primary exporter in sections 66262.53, 66262.56(a)(1) through (a)(4), (a)(6), and (b), and 66262.57;
(B) Export such universal waste only upon consent of the receiving country and in conformance with article 5 of chapter 12 and the EPA Acknowledgment of Consent, as defined in section 66260.10; and
(C) Provide to the transporter transporting the universal waste for export, a copy of the EPA Acknowledgment of Consent for that universal waste.
(3) A universal waste handler who sends electronic devices, CRTs, and/or CRT glass to any foreign destination shall do all of the following:
(A) For used CRTs to be exported for reclamation, comply with the federal notification and EPA Acknowledgment of Consent requirements of 40 Code of Federal Regulations section 261.39(a)(5), if applicable.
(B) For used, intact CRTs to be exported for reuse, comply with the federal notification and recordkeeping requirements of 40 Code of Federal Regulations section 261.41, if applicable.
(C) In accordance with subsection (a)(4) of this section, notify the Department of an intended export before any electronic devices, CRTs, and/or CRT glass are scheduled to leave the United States. A completed notification shall be submitted to the address specified in subsections (a)(5) and (a)(6) of this section sixty (60) calendar days before the initial shipment is intended to be shipped offsite. This notification shall cover export activities extending over a twelve (12) month or lesser period.
(D) Concurrently send a copy of the notification required pursuant to subsection (a)(3)(C) of this section, to the CUPA having jurisdiction over the universal waste handler's facility, or, if there is no such CUPA, to the agency authorized pursuant to subdivision (f) of Health and Safety Code section 25404.3.
(4) The notification submitted pursuant to subsection (a)(3)(C) of this section shall be in writing, be signed by the universal waste handler, and include: 
(A) The name, mailing address, telephone number, and ID Number (if applicable) of the universal waste handler; and 
(B) The following information with respect to each foreign destination of electronic devices, CRTs, and/or CRT glass: 
1. The quantity (by count or by weight) and volume of the electronic devices, the CRTs, and/or the CRT glass, respectively, to be exported to the foreign destination; 
2. The estimated frequency or rate at which the electronic devices, the CRTs, and/or the CRT glass, respectively, are to be exported to the foreign destination, and the period of time over which the electronic devices, the CRTs, and/or the CRT glass, respectively, are to be exported to that destination; 
3. All points of entry to and departure from each foreign country through which the electronic devices, the CRTs, and/or the CRT glass, respectively, will pass en route to the foreign destination; 
4. A description of the means by which each shipment of the electronic device, the CRTs, and/or the CRT glass, respectively, will be transported (e.g., mode of transportation vehicle, type(s) of containers).
5. If the foreign destination is a destination facility that recycles the electronic devices, CRTs, and/or CRT glass, a description of the means by which the electronic devices, the CRTs, and/or the CRT glass, respectively, will be recycled at the destination facility; 
6. The name and site address of the foreign destination or any alternate foreign destination.
7. For used CRTs to be exported for reclamation, a copy of the notification forwarded by the exporter to USEPA pursuant to 40 Code of Federal Regulations section 261.39(a)(5)(i).
8. For used, intact CRTs to be exported for reuse, a copy of the one time notification submitted by the exporter to the USEPA pursuant to 40 Code of Federal Regulations section 261.41.
9. For CRT glass to be exported, the name and location of the lead smelter or CRT glass furnace that will recycle the CRT glass. 
(5) Electronic submissions. If submitted electronically, Department notifications submitted pursuant to subsection (a)(3) of this section shall be sent to the Department at http://www.dtsc.ca.gov. For electronic export notifications, the universal waste handler signature required by subsection (a)(4) of this section shall be submitted to the address provided in subsection (a)(6) of this section.
(6) Written submissions. If submitted in writing, Department notifications submitted pursuant to subsection (a)(3) of this section shall be sent to the Department by certified mail, return receipt requested, at the following address: Department of Toxic Substances Control, Universal Waste Notification and Reporting Staff, P.O. Box 806, Sacramento, CA 95812-0806, with “Attention: Notification to Export Electronic Devices, CRTs, and/or CRT Glass” prominently displayed on the front of the envelope.
(b) A person who exports used CRTs for reclamation shall forward a copy of the completed EPA Acknowledgment of Consent forwarded to the person by USEPA pursuant to 40 Code of Federal Regulations section 261.39(a)(5)(iv) to the Department. This copy shall be forwarded to the Department at the address shown in subsection (a)(5) or (a)(6) of this section within 30 calendar days of receipt. If submitted by mail, “Attention: Acknowledgment of Consent to Export CRTs” shall be prominently displayed on the front of the envelope.
(c) A person who exports shall keep copies of notifications and all applicable records which demonstrate compliance pursuant to subsections (a)(4)(B)7. through (a)(4)(B)9. and subsection (b) of this section for a period of three years from the date of shipment.
(d) A person who exports covered electronic wastes shall also comply with the applicable export requirements of Public Resources Code, division 30, part 3, chapter 8.5.
(e) Export requirements for universal waste transporters are set forth in article 5 of this chapter.
NOTE

Authority cited: Sections 25141, 25150, 25150.2, 25150.6, 25201, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25150.2, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; Section 42476.5, Public Resources Code; and 40 CFR Sections 261.39, 261.40, 261.41 and 273.40. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of first paragraph, new subsections (d)-(f) and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
9. Amendment of section and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
10. Amendment of section and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
11. Amendment of section and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
12. Certificate of Compliance as to 5-8-2008 order, including new article 4 heading and further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
13. Editorial correction of History 12 (Register 2009, No. 10.)
§66273.41. Imports.
Note     •     History

(a) A person who manages a universal waste that is imported into the United States from a country, other than an OECD country specified in section 66262.58, subsection (a)(1), is subject to the applicable requirements of this chapter, beginning immediately after the universal waste enters the United States, as indicated in subsections (a)(1) through (a)(3) of this section:
(1) A universal waste transporter is subject to the universal waste transporter requirements of article 5 of this chapter.
(2) A universal waste handler is subject to the universal waste handler requirements of article 3 of this chapter, as applicable.
(3) An owner or operator of a destination facility is subject to the destination facility requirements of article 6 of this chapter.
(b) A person who manages a universal waste that is imported into the United States from an OECD country specified in section 66262.58, subsection (a)(1), is subject to subsections (a)(1) through (a)(3) of this section, in addition to the requirements of article 8 of chapter 12. 
NOTE

Authority cited: Sections 25141, 25150, 25214.6, 25219.1, 25219.2 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25212, 25214.6, 25219, 25219.1 and 25219.2, Health and Safety Code. 
HISTORY

1. New section filed 2-13-2003; operative 3-15-2003 (Register 2003, No. 7).
2. Amendment of section heading and repealer and new section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
Article 5. Standards for Universal Waste Transporters
§66273.50. Applicability.
Note     •     History

This article applies to universal waste transporters (as defined in section 66273.9). 
NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.50. 
HISTORY

1. New article 4 (sections 66273.50-66273.56) and section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 66273.50-66273.56) and section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New article 4 (sections 66273.50-66273.56) and section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New article 4 (sections 66273.50-66273.56) and section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New article 4 (sections 66273.50-66273.56) and section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New article 4 (sections 66273.50-66273.56) and section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment renumbering article 4 to article 5 filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.51. Prohibitions.
Note     •     History

A universal waste transporter is: 
(a) Prohibited from disposing of universal waste; 
(b) Prohibited from diluting or treating universal waste, except as a consequence of responding to a release as provided in section 66273.54;
(c) Prohibited from transporting more than five CRTs at any one time unless the CRTs are contained as described in section 66273.33.5, subsection (b)(1)(B); and 
(d) Prohibited from transporting more than 100 kilograms or 220 pounds of electronic devices at any one time unless the electronic devices are contained as described in section 66273.33.5, subsection (a)(1)(B). 
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25201, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; and 40 CFR Section 273.51. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. New subsection (c) and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
9. New subsection (d) and amendment of Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
10. New subsection (d) and amendment of Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
11. New subsection (d) and amendment of Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
12. Certificate of Compliance as to 5-8-2008 order, including further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
13. Editorial correction of History 12 (Register 2009, No. 10.)
§66273.52. Waste Management.
Note     •     History

(a) A universal waste transporter shall comply with all applicable U.S. Department of Transportation (DOT) regulations in 49 CFR parts 171 through 180 for transport of any universal waste that meets the definition of a hazardous material in 49 CFR 171.8. For purposes of DOT regulations, a material is considered a hazardous waste if it is subject to the Hazardous Waste Manifest Requirements of USEPA specified in 40 CFR part 262. Because universal waste does not require a hazardous waste manifest, it is not considered hazardous waste pursuant to DOT regulations. 
(b) Some universal waste materials are regulated by DOT as hazardous materials because they meet the criteria for one or more hazard classes specified in 49 CFR 173.2. As universal waste shipments do not require a manifest pursuant to chapter 12, they shall not be described by the DOT proper shipping name “hazardous waste, (l) or (s), n.o.s.”, nor shall the hazardous material's proper shipping name be modified by adding the word “waste”. 
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.52. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.53. Storage Time Limits.
Note     •     History

(a) A universal waste transporter shall only store universal waste at a universal waste transfer facility for ten days or less in an area zoned “industrial” and for six days or less in all other areas. 
(b) If a universal waste transporter stores a universal waste for more than ten days in an area zoned “industrial” or for more than six days in any other area, the transporter becomes a universal waste handler with respect to that universal waste and shall comply with the applicable requirements of article 3 of this chapter while storing the universal waste. 
NOTE

Authority cited: Sections 25141, 25150, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; and 40 CFR Section 273.53. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of section and Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
10. Amendment of section and Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
11. Certificate of Compliance as to 5-8-2008 order, including further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
12. Editorial correction of History 11 (Register 2009, No. 10.)
§66273.54. Response to Releases.
Note     •     History

(a) A universal waste transporter shall immediately contain all releases of universal wastes and of residues from universal wastes to the environment.  
(b) A universal waste transporter shall determine whether any material resulting from such a release is a hazardous waste, and if so, shall manage the hazardous waste in compliance with all applicable requirements of this division. The universal waste transporter is considered the generator of any hazardous waste resulting from the release, and is subject to the requirements of chapter 12. 
(c) Hazardous waste consisting only of residue of leaking, broken, or otherwise damaged universal waste may be managed as universal waste provided that the leaking, broken, or otherwise damaged universal waste is repackaged according to the standards of section 66273.33 or 66273.33.5.
NOTE

Authority cited: Sections 25141, 25150, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.54. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including new subsection (c), transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.55. Offsite Shipments.
Note     •     History

(a) A universal waste transporter is prohibited from transporting a universal waste to a place other than a universal waste handler, a destination facility, or a foreign destination. 
(b) If the universal waste being shipped offsite meets the DOT definition of a hazardous material pursuant to 49 CFR section 171.8, the universal waste shall be properly described on a shipping paper in accordance with the applicable DOT regulations under 49 CFR part 172. 
NOTE

Authority cited: Sections 25141, 25150, 25150.2, 25150.6, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25150.2, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.55. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of section heading, section and Note filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.56. Exports.
Note     •     History

(a)(1) A universal waste transporter who transports universal waste to an OECD country specified in section 66262.58(a)(1) is subject to the requirements of article 8 of chapter 12. 
(2) A universal waste transporter who transports universal waste to a foreign destination in a country other than an OECD country specified in section 66262.58, subsection (a)(1), shall not accept a shipment of such waste if the universal waste transporter knows the shipment does not conform to the EPA Acknowledgment of Consent. In addition the universal waste transporter shall ensure that: 
(A) A copy of the EPA Acknowledgment of Consent accompanies the shipment; and 
(B) The shipment is delivered to the facility designated by the person who initiated the shipment. 
NOTE

Authority cited: Sections 25141, 25150, 25150.2, 25150.6, 25201, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; and 40 CFR Section 273.56. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of first paragraph and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
9. New subsection (c) and amendment of Note filed 6-7-2004 as an emergency; operative 6-7-2004 (Register 2004, No. 24). Pursuant to Public Resources Code section 42475.2, a Certificate of Compliance must be transmitted to OAL by 6-7-2006 or emergency language will be repealed by operation of law on the following day.
10. New subsection (c) and amendment of Note refiled 6-5-2006 as an emergency, including further amendment of Note; operative 6-5-2006 (Register 2006, No. 23). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
11. New subsection (c) and amendment of Note refiled 5-8-2008 as an emergency; operative 5-8-2008 (Register 2008, No. 19). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. 
12. Certificate of Compliance as to 5-8-2008 order, including further amendment of section and Note, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
13. Editorial correction of History 12 (Register 2009, No. 10.)
Article 6. Standards for Destination Facilities
§66273.60. Applicability.
Note     •     History

(a) Except as provided in subsections (b) and (c) of this section, the owner or operator of a destination facility (as defined in section 66273.9) is subject to all applicable requirements of chapters 14, 15, 16, 18, 20, and 22 of this division, and the notification requirement pursuant to Health and Safety Code section 25153.6.
(b) The owner or operator of a destination facility that recycles a universal waste that is a RCRA hazardous waste by conducting one or more of the management activities described in section 66273.33, subsections (a)(2)(A), (B), (E) and (F), section 66273.33, subsection (b)(3), and/or section 66273.33.5, subsections (a) through (c), may manage that universal waste pursuant to the reduced requirements specified in this chapter for universal waste handlers. 
(c) The owner or operator of a destination facility that complies with subsection (a) of this section, and that treats and/or recycles a universal waste that is a non-RCRA hazardous waste by conducting one or more of the management activities described in section 66273.72, subsection (b), section 66273.72, subsection (c), section 66273.73, subsection (a)(1)(A) and/or section 66273.73, subsection (b)(1) shall be eligible to store that universal waste prior to treatment of the universal waste in accordance with the reduced requirements specified in this chapter for universal waste handlers provided such storage and accumulation occur in areas designated for universal waste storage in the facility's permit. Facilities authorized to conduct these treatment activities on the effective date of these regulations and operating under permits issued prior to the effective date of these regulations shall request a Class 1 modification to their permits to address the universal waste handling activities and designate the universal waste storage locations. This request for a Class 1 modification shall be made pursuant to section 66270.42, subsection (d) for modifications to facility permits that are not listed in Appendix I of chapter 20 of this division. 
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.60. 
HISTORY

1. New article 5 (sections 66273.60-66273.62) and section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 66273.60-66273.62) and section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New article 5 (sections 66273.60-66273.62) and section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New article 5 (sections 66273.60-66273.62) and section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New article 5 (sections 66273.60-66273.62) and section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New article 5 (sections 66273.60-66273.62) and section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of subsection (a) and amendment of Note filed 2-3-2003; operative 2-3-2003 (Register 2003, No. 6).
9. Amendment renumbering article 5 to article 6 and amending section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.61. Offsite Shipments.
Note     •     History

(a) The owner or operator of a destination facility is prohibited from sending or taking universal waste to a place other than a universal waste handler, another destination facility, or a foreign destination. 
(b) The owner or operator of a destination facility may reject a shipment containing universal waste, or a portion of a shipment containing universal waste. If the owner or operator of the destination facility rejects a shipment or a portion of a shipment, the owner or operator shall contact the shipper to notify the shipper of the rejection and to discuss reshipment of the load. The owner or operator of the destination facility shall: 
(1) Send the shipment back to the original shipper; or 
(2) If agreed to by both the shipper and the owner or operator of the destination facility, send the shipment to another destination facility. 
(c) If the owner or operator of a destination facility receives as universal waste, a shipment containing hazardous waste that is not a universal waste, the owner or operator of the destination facility shall immediately notify the Department of the illegal shipment, and provide the name, address, and telephone number of the shipper. The Department will provide instructions for managing the hazardous waste. 
(d) If the owner or operator of a destination facility receives as universal waste, a shipment of nonhazardous waste, the owner or operator shall manage the nonhazardous waste in any way that is in compliance with applicable federal, state and local solid waste regulations. 
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.61. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment of section heading and section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.62. Tracking Universal Waste Shipments.
Note     •     History

(a) The owner or operator of a destination facility shall keep a record of each shipment of universal waste received at the facility. The record may take the form of a log, invoice, manifest, bill of lading, or other shipping document. The record for each shipment of universal waste received shall include the following information: 
(1) The name and address of the universal waste handler, destination facility, or foreign shipper from which the universal waste was sent; 
(2) The quantity of each type of universal waste received (e.g., batteries, thermostats, lamps, electronic devices, CRTs, CRT glass); 
(3) The date of receipt of the shipment of universal waste. 
(b) The owner or operator of a destination facility shall retain each record described in subsection (a) of this section for at least three years from the date of receipt of the corresponding shipment of universal waste. 
NOTE

Authority cited: Sections 25141, 25150, 25150.6, 25219.1 and 58012, Health and Safety Code. Reference: Sections 25141, 25150, 25159.5, 25219, 25219.1 and 25219.2, Health and Safety Code; 40 CFR Section 273.62. 
HISTORY

1. New section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order, including amendment of Note, transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Amendment filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
Article 7. Authorization Requirements for Universal Waste Handlers Who Treat Universal Wastes
§66273.70. Applicability.
Note     •     History

(a) Except as otherwise provided in subsections (b), (c), and (d) of this section, a universal waste handler, who treats universal waste, is subject to all applicable requirements of chapters 14, 15, 16, 18, 20, and 22 of this division with respect to the treatment of that universal waste.
(b) Except as otherwise provided in subsection (d) or (e) of this section, a universal waste handler who manages a universal waste and its integral components, or the components specified below that the handler has removed from the universal waste, for purposes of recycling it or its component(s) or for the purpose of disposing CRTs or CRT glass by performing one or more activities listed in one or more of the three categories given in subsection (c) of this section, shall be deemed authorized by the Department to conduct those activities, provided the universal waste handler complies with the applicable requirements of this article in addition to the applicable requirements of subsection (c) of section 66273.33, and to the applicable requirements of subsections (a)(1), (b)(1), and (c)(1) of section 66273.33.5, and to the applicable requirements of article 8 of this chapter. The authorization created by this subsection shall not be deemed to be any of the following:
(1) A permit-by-rule; 
(2) A conditional authorization; or
(3) A conditional exemption.
(c) Activities eligible for authorization pursuant to subsection (b) of this section are any of the following:
(1) Removal activities. Removing user-replaceable components from electronic devices, as specified in section 66273.71. 
(2) Disassembling/draining activities.
(A) Removing CRTs from electronic devices, as specified in section 66273.72, subsection (b);
(B) Dismantling electronic devices that are not CRT devices and/or removing yokes from CRTs, as specified in section 66273.72, subsection (c);
(C) Removing mercury ampules and/or mercury switches from mercury-containing equipment, as specified in section 66273.72, subsection (d); and/or
(D) Draining liquid mercury from pressure or vacuum gauges, as specified in section 66273.72, subsection (e).
(3) Treatment activities.
(A) Treating electronic devices and/or residual printed circuit boards, as specified in section 66273.73, subsection (a); and/or
(B) Treating CRTs and/or CRT glass, as specified in section 66273.73, subsection (b).
(d) A universal waste handler, who manages universal waste as a consequence of responding to a release in accordance with section 66273.37, is exempt from the otherwise applicable requirements of this article and of chapters 14, 15, 16, 18, 20, and 22 of this division with respect to such treatment of the waste.
(e) This article does not apply to CRT panel glass recycled by being “used in a manner constituting disposal” as described in section 66266.20 of chapter 16 of this division.
NOTE

Authority cited: Sections 25141, 25141.5, 25150, 25201, 25214.6, 25214.9, 25214.10.2, 26219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25141.5, 25150, 25159.5, 25201, 25212, 25214.6, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code.
HISTORY

1. New article 6 (section 66273.70) and section filed 3-6-2000 as an emergency; operative 3-6-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2000 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (section 66273.70) and section refiled 6-29-2000 as an emergency; operative 7-6-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-3-2000 or emergency language will be repealed by operation of law on the following day.
3. New article 6 (section 66273.70) and section refiled 11-1-2000 as an emergency; operative 11-4-2000 (Register 2000, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
4. New article 6 (section 66273.70) and section refiled 3-6-2001 as an emergency; operative 3-6-2001 (Register 2001, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-5-2001 or emergency language will be repealed by operation of law on the following day.
5. New article 6 (section 66273.70) and section refiled 6-26-2001 as an emergency; operative 7-5-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 11-2-2001 or emergency language will be repealed by operation of law on the following day.
6. New article 6 (section 66273.70) and section refiled 11-2-2001 as an emergency; operative 11-3-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-2-2001 order transmitted to OAL 12-27-2001 and filed 2-8-2002 (Register 2002, No. 6).
8. Repealer of article 6 (section 66273.70), new article 7 heading and repealer and new section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
9. Amendment of subsections (a) and (b), new subsection (e) and amendment of Note filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
§66273.71. Authorization for Removal Activities.
Note     •     History

(a) Removing user-replaceable components. 
A universal waste handler, who conducts the activities identified in subsections (b) and (c) of this section on electronic devices, shall be deemed authorized by the Department to perform these activities, and is exempt from the requirements of sections 66273.74 through 66273.77, provided the universal waste handler complies with the requirements specified in subsections (b) through (g) of this section.
(b) A universal waste handler shall remove only those discrete assemblies, such as batteries or ink cartridges, which are typically removed for replacement during the normal operation of an electronic device.
(c) A universal waste handler shall conduct the removal of the discrete assemblies in the manner that is prescribed in the operating manual for the electronic device, or in a manner that would otherwise reasonably be employed during the normal operation of the electronic device.
(d)(1) A universal waste handler shall perform a hazardous waste determination pursuant to section 66262.11 for all residuals resulting from the activities authorized by subsection (a) of this section, and shall:
(A) Be deemed the generator of all residuals that are hazardous waste.
(B) For all residuals that are hazardous wastes, comply with all the applicable requirements of chapters 12, 14, 15, 16, 18, 20, 22 and 23 of this division and the applicable notification requirements in Health and Safety Code section 25153.6, except as otherwise provided in subsections (e) or (f) of this section; 
(e) Notwithstanding section 66261.3, subsection (c) and section 66262.11, subsection (d), a handler who is deemed the generator of a residual that is a hazardous waste pursuant to subsection (d)(1) of this section may manage that hazardous waste residual pursuant to any applicable chapter 11 exclusion or exemption [e.g., the scrap metal exclusion provided in §66261.6, subsec. (a)(3)(B)], except for residual printed circuit boards, which shall be managed pursuant to subsection (f) of this section.
(f)(1) Prior to conducting any subsequent treatment activity authorized by section 66273.73 on any residual printed circuit board resulting from removal activities conducted under this section, a universal waste handler shall manage the residual printed circuit board in a manner that prevents a release to the environment by:
(A) Containing the residual printed circuit board in a container that is structurally sound and compatible with the residual printed circuit board,
(B) Labeling the container with the following phrase: “Residual Printed Circuit Boards,” and
(C) If the residual printed circuit board is spilled or might reasonably be expected to cause a release to the environment under reasonably foreseeable conditions, cleaning it up and placing it in a container. 
(2) A universal waste handler who conducts any subsequent treatment activity authorized by section 66273.73 on any residual printed circuit board resulting from removal activities conducted under this section shall comply with section 66273.73, subsections (a)(1) and/or (a)(2), as applicable.
(3) A universal waste handler who does not conduct any of the subsequent treatment activities authorized by section 66273.73 on a residual printed circuit board resulting from removal activities conducted under this section shall manage the printed circuit board as prescribed in section 66273.75, subsection (c).
(g) Except as provided in subsections (e) or (f) of this section, a universal waste handler who conducts further treatment on any residual that is a hazardous waste resulting from any activity authorized by this section shall not conduct such treatment, nor use any treatment method, unless that person obtains a hazardous waste facility permit or other form of authorization from the Department. 
NOTE

Authority cited: Sections 25141, 25150, 25201, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25212, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code.
HISTORY

1. New section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.72. Authorization for Disassembling/Draining Activities.
Note     •     History

(a)(1) Universal waste handlers shall not conduct any activity pursuant to this section if the activity involves the use or application of:
(A) Chemicals, including water; and/or
(B) External heat.
(2) A universal waste handler shall perform a hazardous waste determination pursuant to section 66262.11 for all residuals resulting from the activities authorized by subsection (c) of this section, and shall:
(A) Be deemed the generator of all residuals that are hazardous waste.
(B) For all residuals that are hazardous wastes, comply with all the applicable requirements of chapters 12, 14, 15, 16, 18, 20, 22 and 23 of this division and the applicable notification requirements in Health and Safety Code section 25153.6, except as otherwise provided in subsections (a)(3), (a)(4), (a)(6) or (a)(7) of this section. 
(3) Notwithstanding section 66261.3, subsection (c) and section 66262.11, subsection (d), a handler who is deemed the generator of a residual that is a hazardous waste pursuant to subsection (a)(2)(A) of this section may manage that hazardous waste residual pursuant to any applicable chapter 11 exclusion or exemption [e.g., the scrap metal exclusion provided in §66261.6, subsec. (a)(3)(B)], except for residual printed circuit boards, which shall be managed pursuant to subsection (a)(4) and (a)(5), or (a)(6) of this section.
(4) Prior to conducting any subsequent treatment activity authorized by section 66273.73 on any residual printed circuit board resulting from removal activities conducted under this section, a universal waste handler shall manage the residual printed circuit board in a manner that prevents a release to the environment by:
(A) Containing the residual printed circuit board in a container that is structurally sound and compatible with the residual printed circuit board,
(B) Labeling the container with the following phrase: “Residual Printed Circuit Boards,” and
(C) If the residual printed circuit board is spilled or might reasonably be expected to cause a release to the environment under reasonably foreseeable conditions, cleaning it up and placing it in a container. 
(5) A universal waste handler who conducts further treatment pursuant to section 66273.73 on any residual printed circuit board, CRT, and/or CRT glass resulting from any activity authorized by this section shall also comply with the applicable requirements of that section.
(6) A universal waste handler who does not conduct further treatment pursuant to section 66273.73 on a residual printed circuit board resulting from removal activities conducted under this section shall manage the printed circuit board as prescribed in section 66273.75, subsection (c). 
(7) Except as provided in subsections (a)(3), (a)(5) or (a)(6) of this section, a universal waste handler who conducts further treatment on any residual that is a hazardous waste resulting from any activity authorized by this section shall not conduct such treatment, nor use any treatment method, unless that person obtains a hazardous waste facility permit or other form of authorization from the department.
(b) Removing CRTs from electronic devices that are CRT devices. A universal waste handler who conducts the activity identified in subsection (b)(1) of this section on electronic devices that are CRT devices shall be deemed authorized by the Department to do so, provided the universal waste handler complies with the requirements specified in this subsection.
(1) The universal waste handler shall remove CRTs from electronic devices in a manner that prevents breakage of the CRTs.
(2) The universal waste handler shall:
(A) Remove CRTs only over, on, or in, a containment device (e.g., a tray, a box, a workbench, a table, or an enclosed machine) sufficient in size and construction to contain any CRT glass that may be released to the environment under reasonably foreseeable conditions in the event of breakage;
(B) Ensure that persons removing CRTs are thoroughly familiar with the techniques and safety precautions required to remove CRTs safely (e.g., releasing the vacuum from each CRT and discharging the CRT);
(C) Place the removed CRTs in a container with packing materials, if such materials are necessary to prevent breakage of the CRTs during handling, storage and transportation; and
(D) Manage the packaged CRTs in accordance with the requirements of section 66273.33.5, subsection (b).
(3) Except as provided in subsection (b)(4) of this section, the universal waste handler shall be exempt from the notification, annual reporting, and recordkeeping requirements specified in section 66273.74, but shall: 
(A) Treat CRTs pursuant to subsection (c) of this section or section 66273.73 or send or take CRTs to another universal waste handler for treatment pursuant to subsection (c) of this section or section 66273.73 or manage CRTs pursuant to subsection (b)(4) of this section.
(4) A universal waste handler who does not conduct further treatment on CRTs pursuant to subsection (c) of this section or section 66273.73 or send or take CRTs to another universal waste handler for treatment pursuant to subsection (c) of this section or section 66273.73 shall:
(A) Comply with the notification, annual reporting, and recordkeeping requirements specified in section 66273.74, subsections (a) through (c)(1);
(B) Ensure that the removed CRTs are recycled or disposed as required by this section;
(C) Ship the accumulated CRTs for reclamation at a CRT glass manufacturer or at a primary or secondary lead smelter or determine that they are to be recycled by other means or disposed;
(D) Upon determining that the CRTs are destined for recycling by means other than reclamation of CRT glass at a CRT glass manufacturer or primary or secondary lead smelter pursuant to subsection (b)(4)(C) of this section, and notwithstanding subsection (c) of section 66261.3, be deemed the generator of hazardous waste CRTs, and determine if the CRTs are a recyclable material excluded from regulation as hazardous wastes pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2, as required by subsection (a) of section 66262.11:
1. If the universal waste handler determines that the CRTs are a recyclable material excluded from regulation as hazardous wastes pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2, the handler may either proceed to manage the CRTs as an excluded recyclable material or apply to the Department for concurrence with the universal waste handler's determination through the application procedure set forth in article 9 of this chapter before managing the CRTs as an excluded recyclable material. A universal waste handler who incorrectly determines that a CRT is an excluded recyclable material and fails to manage the CRT as a fully regulated hazardous waste is in violation of the requirements of this division and is subject to enforcement action.
2. If the universal waste handler chooses to obtain the Department's concurrence, the handler shall submit an application to the Department which includes all information required by subsection (a)(1) of section 66273.91. Pending concurrence by the Department pursuant to article 9 of this chapter, the universal waste handler shall manage the CRTs as hazardous waste in accordance with all applicable requirements in chapters 12 through 16, 18, 20 and 22 of this division, except as provided in subsection (b)(4)(D)3 of this section.
3. Notwithstanding subsections (a) and (c) of section 66262.34 of chapter 12 of this division, a universal waste handler who applies for the Department's concurrence may accumulate the CRTs onsite without a permit for no more than 90 days after the universal waste handler receives notification of the Department's disapproval of the application pursuant to subsection (h) of section 66273.91 of this chapter.
4. If the universal waste handler or the Department determines that the CRTs are not a recyclable material excluded from regulation as hazardous wastes pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2, the handler shall manage the CRTs as hazardous waste in accordance with all applicable requirements in chapters 12 through 16, 18, 20 and 22 of this division.
(E) Upon determining that the CRTs are destined for disposal pursuant to subsection (b)(4)(C) or (b)(4)(D)4 of this section, be deemed the generator of hazardous waste CRTs and:
1. Manage the CRTs as hazardous waste in accordance with all applicable requirements of chapters 12 through 16, 18, 20 and 22 of this division; and 
2. Upon request, submit to the Department the following information:
a. The quantity of CRTs to be disposed;
b. The quantity of CRTs recycled in the previous calendar year;
c. The quantity of CRTs generated in the previous calendar year; and
d. The technological, economic or other reasons for not recycling the CRTs, taking into account relevant factors, which may include, but is not limited to:
(i) the quantity of CRTs available for recycling;
(ii) any chemical, physical or other properties of the CRTs that might affect its recyclability;
(iii) the treatment required in recycling the CRTs and the availability of and cost of suitable treatment technology; 
(iv) the marketability of CRT glass for recycling, including current market prices for lead; and 
(v) any information pertaining to facilities that could have potentially recycled the CRTs that influenced the universal waste handler's decision to dispose of the CRTs.
e. any other information the Department determines is necessary to demonstrate that the CRTs cannot be recycled, including, but not limited to, the documentation on which the handler's section 66273.72(b)(3)(E)2.d submittal is based. 
(F) For reclamation at a CRT glass manufacturer or primary or secondary lead smelter:
1. If the CRTs will be passing through an intermediate facility, prior to arranging for transport of the CRTs to the intermediate facility make contractual arrangements with the intermediate facility to ensure that CRTs are sent to the CRT glass manufacturer or primary or secondary lead smelter identified by the universal waste handler.
2. Submit to the Department upon request the following information: 
a. The name, address and telephone number of the transporter;
b. The name and address of the CRT glass manufacturer or primary or secondary lead smelter;
c. If the CRTs will be passing through an intermediate facility for management, the name, address and telephone number of the intermediate facility;
d. For intermediate facilities in the United States, the type of intermediate facility;
e. A copy of the contractual arrangements between the universal waste handler and the intermediate facility made pursuant to subsection (b)(4)(F)1 of this section, if applicable; 
f. The quantity of CRTs in each shipment; and
g. Confirmation receipts from the CRT glass manufacturer or primary or secondary lead smelter that the CRTs were received.
(G) Comply with article 10 of this chapter for documents or information that the universal waste handler submits to the Department pursuant to subsections (b)(4)(E)2. or (b)(4)(F)(2) of this section and for which the universal waste handler asserts a claim of trade secret protection.
(H) Notwithstanding subsection (a) of section 66273.35, if on October 15, 2012 the universal waste handler has accumulated one or more CRTs for longer than six months, meet the requirements as specified in subsection (b)(3)(A) or (b)(4)(C) of this section on or before April 13, 2013.
(c) Dismantling electronic devices that are not CRT devices and/or removing yokes from CRTs. A universal waste handler who conducts any of the activities identified in subsection (c)(1) of this section shall be deemed authorized by the Department to do so, provided the universal waste handler complies with the requirements in this subsection.
(1) The universal waste handler:
(A) Dismantles, or otherwise manually segregates, components (e.g., circuit boards, integrated circuits, metals, plastic, wiring, batteries, lamps, etc.) from an electronic device, or
(B) Removes the yokes from CRTs but does not break the CRT glass.
(2) The universal waste handler shall:
(A) Comply with the notification, annual reporting, and recordkeeping requirements specified in section 66273.74, subsections (a) through (c)(1);
(B) Ensure that all residuals resulting from the activities authorized by subsection (c)(1) of this section that meet the definition of scrap metal in section 66260.10 are recycled; and
(C) Except as provided in subsection (c)(3) of this section, treat the CRTs pursuant to section 66273.73 or send or take CRTs to another universal waste handler for treatment pursuant to section 66273.73. 
(D) Conduct the activities in a manner that protects persons managing the electronic devices and/or the CRTs, and that prevents releases of any universal wastes and/or any components of universal wastes, to the environment under reasonably foreseeable conditions, as follows:
1. Dismantle electronic devices and/or remove yokes from CRTs over, on, or in, a containment device (e.g., a tray, a box, a workbench, a table, or an enclosed machine) sufficient in size and construction to contain any universal waste and/or component of such waste that may be released to the environment under reasonably foreseeable conditions.
2. Contain any hazardous residuals produced from dismantling electronic devices and/or removing yokes from CRTs in a manner that prevents releases of the residuals to the environment under reasonably foreseeable conditions.
3. Immediately clean up and place in a container any electronic device and/or CRT that is accidentally or unintentionally broken and that may reasonably be expected to cause a release to the environment under reasonably foreseeable conditions. Such a container shall be structurally sound, be compatible with the contents of the electronic device and/or CRT, and prevent releases to the environment under reasonably foreseeable conditions.
4. Place CRTs in containers with packing materials, if such materials are necessary to prevent breakage during handling, storage and transportation.
5. Ensure that persons performing the activities are thoroughly familiar with the hazards associated with such treatment, have access to the proper procedures and protective equipment necessary to conduct the treatment safely, use such protective equipment if required by any applicable health and safety requirements, and comply with the requirements of this section;
6. Ensure that the facility is operated in compliance with all applicable health and safety laws and regulations [e.g., Cal. Code Regs., tit. 8, ch. 4 (Division of Industrial Safety) subch. 7 (General Industry Safety Orders), group 16 (Control of Hazardous Substances), art. 107 (Dusts, Fumes Vapors and Mists), and art. 109 (Hazardous Substances and Processes), and sec. 5198 (Lead)].
7. Ensure that the facility maintains aisle spacing in compliance with applicable fire safety code standards in California.
(3) A universal waste handler who does not conduct further treatment on CRTs pursuant to section 66273.73 or send or take CRTs to another universal waste handler for treatment pursuant to section 66273.73 shall:
(A) Ensure that the CRTs are recycled or disposed as required by this section.
(B) Ship the accumulated CRTs for reclamation at a CRT glass manufacturer or at a primary or secondary lead smelter or determine that they are to be recycled by other means or disposed;
(C) Upon determining that the CRTs are destined for recycling by means other than reclamation of CRT glass at a CRT glass manufacturer or primary or secondary lead smelter pursuant to subsection (c)(3)(B) of this section, and notwithstanding subsection (c) of section 66261.3, be deemed the generator of hazardous waste CRTs, and determine if the CRTs are a recyclable material excluded from regulation as hazardous wastes pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2, as required by subsection (a) of section 66262.11:
1. If the universal waste handler determines that the CRTs are a recyclable material excluded from regulation as hazardous wastes pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2, the handler may either proceed to manage the CRTs as an excluded recyclable material or apply to the Department for concurrence with the universal waste handler's determination through the application procedure set forth in article 9 of this chapter before managing the CRTs as an excluded recyclable material. A universal waste handler who incorrectly determines that a CRT is an excluded recyclable material and fails to manage the CRT as a fully regulated hazardous waste is in violation of the requirements of this division and is subject to enforcement action.
2. If the universal waste handler chooses to obtain the Department's concurrence, the handler shall submit an application to the Department which includes all information required by subsection (a)(1) of section 66273.91. Pending concurrence by the Department pursuant to article 9 of this chapter, the universal waste handler shall manage the CRTs as hazardous waste in accordance with all applicable requirements in chapters 12 through 16, 18, 20 and 22 of this division, except as provided in subsection (c)(3)(C)3 of this section.
3. Notwithstanding subsections (a) and (c) of section 66262.34 of chapter 12 of this division, a universal waste handler who applies for the Department's concurrence may accumulate the CRTs onsite without a permit for no more than 90 days after the universal waste handler receives notification of the Department's disapproval of the application pursuant to subsection (h) of section 66273.91 of this chapter.
4. If the universal waste handler or the Department determines that the CRTs are not a recyclable material excluded from regulation as hazardous wastes pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2, the handler shall manage the CRTs as hazardous waste in accordance with all applicable requirements in chapters 12 through 16, 18, 20 and 22 of this division.
(D) Upon determining that the CRTs are destined for disposal pursuant to subsection (c)(3)(B) or(c)(3)(C)4 of this section, be deemed the generator of hazardous waste CRTs and:
1. Manage the CRTs as hazardous waste in accordance with all applicable requirements of chapters 12 through 16, 18, 20 and 22 of this division; and 
2. Upon request, submit to the Department the following information:
a. The quantity of CRTs to be disposed;
b. The quantity of CRTs recycled in the previous calendar year;
c. The quantity of CRTs generated in the previous calendar year; and
d. The technological, economic or other reasons for not recycling the CRTs, taking into account relevant factors, which may include but is not limited to:
(i) the quantity of CRTs available for recycling;
(ii) any chemical, physical or other properties of the CRT that might affect its recyclability;
(iii) the treatment required in recycling the CRTs and the availability of and cost of suitable treatment technology; 
(iv) the marketability of CRT glass for recycling, including current market prices for lead; and 
(v) any information pertaining to facilities that could have potentially recycled the CRTs that influenced the universal waste handler's decision to dispose of the CRTs.
e. any other information the Department determines is necessary to demonstrate that the CRTs cannot be recycled, including, but not limited to, the documentation on which the handler's section 66273.72(c)(3)(D)2.d submittal is based. 
(E) For reclamation at a CRT glass manufacturer or primary or secondary lead smelter:
1. If the CRTs will be passing through an intermediate facility, prior to arranging for transport of the CRTs to the intermediate facility make contractual arrangements with the intermediate facility to ensure that CRTs are sent to the CRT glass manufacturer or primary or secondary lead smelter identified by the universal waste handler.
2. Submit to the Department upon request the following information: 
a. The name, address and telephone number of the transporter;
b. The name and address of the CRT glass manufacturer or primary or secondary lead smelter;
c. If the CRTs will be passing through an intermediate facility for management, the name, address and telephone number of the intermediate facility;
d. For intermediate facilities in the United States, the type of intermediate facility;
e. A copy of the contractual arrangements between the universal waste handler and the intermediate facility made pursuant to subsection (c)(3)(E)1 of this section, if applicable;
f. The amount of CRTs in each shipment; and
g. Confirmation receipts from the CRT glass manufacturer or primary or secondary lead smelter that the CRTs were received.
(F) Comply with article 10 of this chapter for documents or information that the universal waste handler submits to the Department pursuant to subsections (c)(3)(D)2 or (c)(3)(E)2 of this section and for which the universal waste handler asserts a claim of trade secret protection.
(G) Notwithstanding subsection (a) of section 66273.35, if on October 15, 2012 the universal waste handler has accumulated one or more CRTs for longer than six months, meet the requirements as specified in subsection (c)(2)(C) or (c)(3)(B) of this section on or before April 13, 2013.
(d) Removing mercury ampules and/or mercury switches from mercury-containing equipment.
A universal waste handler, who conducts one or more of the activities identified in subsection (d)(1) of this section, shall be deemed authorized by the Department to do so, provided the universal waste handler complies with the requirements specified in subsection (d)(2) of this section.
(1) The universal waste handler removes mercury ampules and/or mercury switches from mercury-containing equipment. 
(2) The universal waste handler shall be exempt from the notification, annual reporting, and recordkeeping requirements specified in section 66273.74, subsections (a) through (c)(1), but shall:
(A) Comply with the recordkeeping requirements specified in section 66273.74, subsection (c)(2); and
(B) Conduct the activities in a manner that protects persons managing the mercury ampules and/or the mercury switches, and that prevents releases of any universal wastes and/or any components of universal wastes, to the environment, as follows:
1. Remove the mercury ampules and/or the mercury switches in a manner designed to prevent their breakage.
2. Remove the mercury ampules and/or the mercury switches only over, on, or in, a containment device (e.g., a tray or pan) sufficient to contain any liquid mercury that may be released to the environment (e.g., from a mercury ampule accidentally broken during removal).
3. Ensure that a mercury clean-up system is readily available for immediately transferring from the containment device to an airtight container meeting the requirements of section 66262.34, any mercury spilled or leaked from broken mercury ampules and/or mercury switches.
4. Transfer immediately from the containment device to an airtight container meeting the requirements of section 66262.34, any mercury spilled or leaked from broken mercury ampules and/or mercury switches.
5. Ensure that the area in which mercury ampules and/or mercury switches are removed is well ventilated and monitored to ensure compliance with applicable Occupational Safety and Health Administration (OSHA) and CalOSHA exposure levels for mercury.
6. Ensure that employees removing mercury ampules and/or mercury switches are thoroughly familiar with proper handling and emergency procedures relevant to mercury and to the employees' responsibilities during normal facility operations and emergencies, including transfer of mercury from containment devices to appropriate containers.
7. Pack in containers removed mercury ampules and/or mercury switches with packing materials adequate to prevent breakage of those ampules and/or switches during storage, handling, and transportation.
8. Store removed mercury ampules and/or mercury switches in closed, non-leaking containers that are in good condition. 
(e) Draining liquid mercury from pressure or vacuum gauges. A universal waste handler, who conducts one or more of the activities identified in subsection (e)(1) of this section, shall be deemed authorized by the Department to do so, provided the universal waste handler complies with the requirements specified in subsection (e)(2) of this section.
(1) The universal waste handler drains liquid (i.e., elemental) mercury from pressure or vacuum gauges generated by that universal waste handler, at the site where those pressure or vacuum gauges were generated. 
(2) The universal waste handler shall be exempt from the notification, annual reporting, and recordkeeping requirements specified in section 66273.74, but shall: 
(A) Ensure that all activity residuals meeting the definition of scrap metal in section 66260.10 are recycled.
(B) Conduct the activities in a manner that protects persons managing the pressure or vacuum gauges, and that prevents releases to the environment of any universal wastes and/or any components of universal wastes, as follows:
1. Except as otherwise provided in subsections (e)(2)(B)2. through (e)(2)(B)7. of this section, fulfill all requirements for removing mercury ampules and/or mercury switches pursuant to subsection (d)(2) of this section.
2. Ensure that the activities are performed safely by developing and implementing a written procedure detailing how to drain elemental mercury from pressure or vacuum gauges properly. This procedure shall address: the type of equipment to be used to drain the pressure or vacuum gauges safely; the operation and maintenance of the equipment; the appropriate personal protective equipment; the segregation of incompatible wastes; the proper waste management practices; the spill response procedures; and the characterization of wastes.
3. Transfer drained elemental mercury to a designated container immediately. The designated container shall be kept closed (except when adding or removing elemental mercury), be structurally sound, be compatible with elemental mercury, and lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions.
4. Store drained elemental mercury in a container that meets the requirements of subsection (d)(2)(B)3. of this section.
5. Ensure that any container into which elemental mercury from a pressure or vacuum gauge is drained, or in which drained elemental mercury is stored, is placed into a secondary container that is in good condition, compatible with elemental mercury, and large enough to accommodate the contents of the primary container if it should leak or break.
6. Maintain for each designated container described in subsection (e)(2)(B)3. of this section, documentation that includes: the date when accumulation of elemental mercury in the container began; a description of the pressure or vacuum gauges from which the elemental mercury originated; the cumulative quantity of elemental mercury in the container; and the date when accumulation of elemental mercury in the container ended [i.e., when the container was either full or reached the limit specified in subsection (e)(2)(B)7. of this section].
7. Accumulate no more than 35 kilograms (77 pounds) of elemental mercury at any one time.
(C)1. Determine whether the following exhibit a characteristic of hazardous waste identified in article 3 of chapter 11 of this division:
a. Intact, or partially intact, pressure or vacuum gauges from which elemental mercury has been drained;
b. Elemental mercury or clean-up residues resulting from spills or leaks associated with handling pressure or vacuum gauges; and/or
c. Other wastes generated as a result of handling pressure or vacuum gauges.
2. Manage, in compliance with all applicable requirements of this chapter, an intact, or partially intact, pressure or vacuum gauge from which elemental mercury has been drained, if that pressure or vacuum gauge exhibits a characteristic of hazardous waste.
3. Manage, in compliance with all applicable requirements of this division, elemental mercury and/or clean-up residues resulting from spills or leaks, and/or other wastes, if the elemental mercury, clean-up residues, and/or other wastes exhibit a characteristic of hazardous waste. The universal waste handler is considered the generator of the elemental mercury, clean-up residues, and/or other wastes and shall manage them pursuant to chapter 12 of this division.
4. Manage, in any way that complies with all applicable federal, state and/or local solid waste regulations, an intact, or partially intact, pressure or vacuum gauge, elemental mercury and/or clean-up residue, and/or other waste if they do not exhibit a characteristic of hazardous waste.
NOTE

Authority cited: Sections 25141, 25141.5, 25143.2, 25150, 25173, 25201, 25214.6, 25214.9, 25214.10.2, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25141.5, 25150, 25159.5, 25173, 25201, 25212, 25214.6, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code. 
HISTORY

1. New section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
2. Amendment of subsections (a)(5) and (b)(2), new subsections (b)(3)-(b)(4)(H), amendment of subsection (c)(2)(B), new subsection (c)(2)(C), subsection relettering, new subsections (c)(3)-(c)(3)(G) and amendment of Note filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
§66273.73. Authorization for Treatment (Processing) Activities.
Note     •     History

(a) Treatment of electronic devices.
(1) A universal waste handler described in subsection (a)(1)(A) of this section shall be deemed authorized by the Department to conduct the activities identified in subsection (a)(1)(B) of this section, provided the universal waste handler complies with the requirements specified in subsections (a)(1)(B) and (a)(1)(C) of this section.
(A) The universal waste handler treats electronic devices and/or residual printed circuit boards for which the handler is deemed to be the generator pursuant to sections 66273.71 and/or 66273.72 and produces only residuals that, if they exhibit any hazardous waste characteristic described in article 3 of chapter 11 of this division, will meet either of the following criteria when managed pursuant to section 66273.75, subsection (c): 
1. They meet the definition of scrap metal in section 66273.9; or
2. They qualify for management as universal wastes pursuant to this chapter.
(B) The universal waste handler treats electronic devices and/or residual printed circuit boards for which the handler is deemed to be the generator pursuant to sections 66273.71 and/or 66273.72 by conducting activities other than, or in addition to, the removal activities authorized in section 66273.71 or the disassembling/draining activities authorized by section 66273.72, and using only one or more of the methods allowed pursuant to subsection (c) of this section.
(C) The universal waste handler complies with all of the following requirements in addition to the requirements of section 66273.33.5, subsection (a)(1):
1. The notification, annual reporting, and recordkeeping requirements specified in section 66273.74; and 
2. The standards specified in section 66273.75.
(2) A universal waste handler described in subsection (a)(2)(A) of this section shall be deemed authorized by the Department to conduct the activities identified in subsection (a)(2)(B) of this section, provided the universal waste handler complies with the requirements specified in subsections (a)(2)(B) and (a)(2)(C) of this section.
(A) The universal waste handler treats electronic devices and/or residual printed circuit boards for which the handler is deemed to be the generator pursuant to sections 66273.71 and/or 66273.72 and produces any residual that exhibits a hazardous waste characteristic described in article 3 of chapter 11 of this division when managed pursuant to section 66273.75, subsection (c) and meets both of the following criteria: 
1. It does not meet the definition of scrap metal in section 66273.9; and
2. It does not qualify for management as universal wastes pursuant to this chapter.
(B) The universal waste handler treats electronic devices and/or residual printed circuit boards for which the handler is deemed to be the generator pursuant to sections 66273.71 and/or 66273.72 by conducting activities other than, or in addition to, the removal activities authorized in section 66273.71 and the disassembling/ draining activities authorized in section 66273.72, and using only one or more of the methods allowed pursuant to subsection (c) of this section.
(C) The universal waste handler complies with all of the following requirements in addition to the requirements of section 66273.33.5, subsection (a)(1):
1. The notification, annual reporting, and recordkeeping requirements specified in section 66273.74; 
2. The standards specified in section 66273.75;
3. The closure plan and financial requirements specified in section 66273.76; and
4. When applicable, the closure requirements specified in section 66273.77.
(b) Treating CRTs and/or CRT glass.
A universal waste handler described in subsection (b)(1) of this section shall be deemed authorized by the Department to conduct the activities identified in subsection (b)(2) of this section, provided the universal waste handler complies with the requirements specified in subsections (b)(2) and (b)(3) of this section.
(1) The universal waste handler treats CRTs, breaking the CRTs' glass.
(2) The universal waste handler treats CRTs by: conducting activities other than, or in addition to, the disassembling/ draining activities authorized by section 66273.72, subsections (b) or (c); and using only one or more of the methods allowed pursuant to subsection (c) of this section.
(3) The universal waste handler complies with all of the following requirements in addition to the requirements of section 66273.33.5, subsection (b)(1) and section 66273.33.5, subsection (c)(1):
(A) The notification, annual reporting, and recordkeeping requirements specified in section 66273.74; 
(B) The standards specified in section 66273.75;
(C) The closure plan and financial requirements specified in section 66273.76; and
(D) When applicable, the closure requirements specified in section 66273.77.
(c) Electronic device, CRT, and residual printed circuit board treatment methods allowed.
(1) Except as otherwise provided in subsection (c)(2) of this section, one or more of the following treatment methods is eligible for authorization pursuant to this section, if performed by a universal waste handler described in subsections (a) and/or (b) of this section:
(A) Physical treatment that changes only the physical properties of electronic devices, residual printed circuit boards, and/or CRTs, such as cutting, sawing, breaking, shredding, crushing, grinding, screening, sieving, acceleration, or compacting (e.g., screening to separate different particle sizes of the same component); 
(B) Physical separation based on differences in physical properties such as size, color, density, or ferromagnetism (e.g., screening to separate different components based on differences in their sizes); 
(C) Use of a pinpoint torch or hot wire to check (i.e., thermally crack) CRTs for glass separation; 
(D) Sampling, burning (ashing) and ball-milling of samples of electronic devices and/or treatment residues thereof [i.e., shredded circuit boards excluded under 40 C.F.R. sec. 261.4(a)(13)] provided the sample size does not exceed 250 kg, and no more than 250 kg (one sample) is subject to thermal assay per 24 hour period; and/or
(E) Physical separation of CRT panel glass from CRT funnel glass for the purpose of qualifying CRT panel glass for recycling by other means or disposal in a class II or class III landfill pursuant to article 8 of this chapter.
(2) Any treatment activity identified in subsection (c)(1) of this section is not eligible for authorization pursuant to this article, but is instead subject to all applicable requirements of chapters 14, 15, 16, 18, 20, and 22 of this division, if the treatment activity involves:
(A) The use or application of:
1. Chemicals, including water, other than coolant recirculated in CRT cutting machines; and/or 
2. External heat.
(B) Except as specifically provided in subsection (c)(1)(D), the onsite treatment of the residuals resulting from the activities authorized by section 66273.73, subsection (a)(1) or (a)(2).
(C) The treatment of any electronic device containing PCBs, a medical waste, a radioactive material, a reactive material, or an ignitable material.
(d)(1) Notwithstanding subsections (a)(1)(B), (a)(2)(B) and (b)(2) of this section, the authorizations provided in this section shall not be required for a handler who recycles scrap metal, including printed circuit boards produced by an authorized handler. 
(2) As used in this subsection, “printed circuit boards produced by an authorized handler” means residual printed circuit boards that a handler has: 
(A) derived from electronic devices by completing treatment authorized under this article,
(B) containerized and labeled pursuant to section 66273.75, subsection (b), and
(C) subsequent to the authorized treatment, determined to be exempt scrap metal pursuant to section 66273.71, subsection (e), section 66273.72, subsection (a)(3), or section 66273.75, subsection (c)(1)(C). 
NOTE

Authority cited: Sections 25141, 25141.5, 25143.2, 25150, 25201, 25214.9, 25214.10.2, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25141.5, 25143.2, 25150, 25159.5, 25201, 25212, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code.
HISTORY

1. New section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
2. Amendment of subsections (c)(1)(C)-(D), new subsection (c)(1)(E) and amendment of Note filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
§66273.74. Notification, Annual Reporting, and Recordkeeping.
Note     •     History

(a) Notification.
(1) Universal waste handlers of electronic devices and/or CRTs.
Except as otherwise provided in sections 66273.71 and 66273.72, a universal waste handler who intends to treat any electronic device and/or CRT pursuant to this article shall submit to the Department at the address given in subsection (e) or (f) of this section, an electronic or written notification containing the following information no later than 30 calendar days prior to treating any electronic device and/or CRT:
(A) Name of universal waste handler;
(B) Telephone number of universal waste handler;
(C) Mailing address of universal waste handler, and physical address, including county, if different from the mailing address;
(D) If different from the notifier pursuant to subsection (a) of this section, the name and mailing address of the organization (as authorized to transact business in California) that owns and/or operates the facility;
(E) Name, business telephone number, and e-mail address (if available) of the person at the universal waste handler's site who should be contacted regarding universal waste management activities;
(F) Facility ID Number, if issued;
(G) A general description of the source(s) of electronic devices and/or CRTs [e.g., residential collection(s), other collector(s), etc.];
(H) Type(s) of electronic devices and/or CRTs expected to be treated;
(I) A description of the treatment process(es) to be used; and
(J) Documentation that the facility operator has notified the facility property owner (if different from the operator of the facility) that the facility operator is treating electronic devices and/or CRTs at the facility.
(2) A universal waste handler who is deemed the generator of hazardous waste CRTs and/or CRT glass pursuant to subsections (b)(4)(D), (b)(4)(E), (c)(3)(C) or (c)(3)(D) of section 66273.72 or subsection (f)(4) or (f)(5) of section 66273.75 of this chapter shall submit to the Department, at the address provided in subsection (f) of this section, a written notification containing the following information no later than 15 calendar days after determining that the CRTs and/or CRT glass is destined for recycling by means other than through reclamation at a CRT glass manufacturer or primary or secondary lead smelter or disposal at a class I landfill:
(A) The ID number for the universal waste handler's facility where the CRTs and/or CRT glass was generated;
(B) A description of the authorized treatment method(s) used to generate the CRTs and/or CRT glass, and whether the CRTs and/or CRT glass is destined for disposal or recycling; and
(C) A description of the recycling method(s), as specified in this subsection, to be used, if applicable.
(3) A universal waste hander shall comply with article 10 of this chapter for documents or information that the universal waste handler submits to the Department pursuant to subsection (a)(2) of this section and for which the universal waste handler asserts a claim of trade secret protection.
(4) Universal waste handlers of mercury ampules, mercury switches, and/or pressure or vacuum gauges: Any universal waste handler who intends to treat any equipment containing mercury ampules and/or mercury switches, and/or to treat any pressure or vacuum gauge, pursuant to this article is not required to notify the Department pursuant to this section. 
(b) Annual reporting.
(1) Universal waste handlers of electronic devices and/or CRTs. Except as otherwise provided in sections 66273.71 and 66273.72, a universal waste handler who treated any electronic device and/or CRT pursuant to this article in a calendar year shall, by February 1 of the following year, submit to the Department at the address given in subsection (e) or (f) of this section, an electronic or written annual report containing the information specified in subsection (b)(1)(A) through (b)(1)(J) of this section. The information submitted shall cover the electronic device treatment and CRT treatment activities conducted during the previous calendar year.
(A) Name, mailing address (and physical address, including county, if different from the mailing address), and telephone number of the universal waste handler;
(B) A description of the facility;
(C) Name and mailing address of the organization (as authorized to transact business in California) that owns and/or operates the facility;
(D) Name, title, telephone number, and e-mail address (if available) of the contact person at the universal waste handler's physical address who should be contacted regarding universal waste management activities at that location;
(E) Facility ID Number, if issued;
(F) Number of days the facility operated;
(G) Types of electronic devices and/or CRTs treated at the facility;
(H) Treatment method used for each type of electronic device and/or CRT treated at the facility;
(I) The following quantities treated, which include any quantities treated but not shipped:
1. The total quantity of CRT devices (count) treated during the previous calendar year; 
2. The total quantity of CRTs (count) treated during the previous calendar year; and/or
3. The total quantity of electronic devices other than CRT devices (count or weight) treated during the previous calendar year.
(J) A list consisting of:
1. The name, address, and telephone number for each of the locations to which the universal waste handler shipped CRTs, CRT glass, scrap metal, yokes, universal waste (e.g., lamps, batteries, etc.), and/or exempt materials during the previous calendar year; and
2. The following quantities shipped to each of those locations:
a. The total quantity of CRTs (count) or CRT glass (weight) shipped to that location during the previous calendar year, including in this case a declaration of whether that location is a CRT glass manufacturer, a primary lead smelter, a secondary lead smelter, a destination facility or a class II or class III landfill;
b. The total quantity of residual printed circuit boards and scrap metal (weight) from all treatment activities reported pursuant to this subsection shipped to that location during the previous calendar year; 
c. The total quantity of yokes (weight) shipped to that location during the previous calendar year; and/or 
d. The total quantity of universal waste (weight) shipped to that location during the previous calendar year.
(K) Whenever necessary, a universal waste handler who utilizes a mass-based inventory system to quantify CRTs, CRT devices, or electronic devices other than CRT devices, may convert mass data to count data through application of an appropriate conversion factor (e.g., 30 pounds per CRT) to fulfill the annual reporting requirement of this subsection (b). A universal waste handler who performs such a data conversion(s) shall indicate that the count data were derived from mass data and shall include the conversion factor(s) used in the annual report. 
(2) Universal waste handlers of mercury ampules, mercury switches, and/or pressure or vacuum gauges: Any universal waste handler who treated any equipment containing mercury ampules and/or mercury switches, and/or treated any pressure or vacuum gauge, pursuant to this article is not required to submit an annual report to the Department pursuant to this section. 
(c) Recordkeeping.
(1)(A) Universal waste handlers of electronic devices and/or CRTs.
Except as otherwise provided in sections 66273.71 and 66273.72, a universal waste handler who treats any electronic device and/or CRT pursuant to this article shall maintain on file at the universal waste handler's facility, the following documents as specified:
1. A copy of the notification submitted to the Department as required by subsection (a)(1) of this section.
2. A copy of the notification submitted to the Department as required by subsection (a)(2) of this section.
3. A copy of the most recent annual report submitted to the Department as required by subsection (b) of this section, beginning no later than February 1 of the year following the most recent calendar year during which the universal waste handler treated any electronic device and/or CRT at the universal waste handler's facility pursuant to this article.
4. A current copy of any local air district permit and/or other relevant permit required for the facility, beginning no later than the date on which the local air district and/or other relevant permitting authority required the universal waste handler to possess such a permit.
5. A copy of the documents that contain the information specified in section 66273.72, subsection (b)(4)(E)2.
6. A copy of the documents that contain the information specified in section 66273.72, subsection (b)(4)(F)2.
7. A copy of the documents that contain the information specified in section 66273.72, subsection (c)(3)(D)2.
8. A copy of the documents that contain the information specified in section 66273.72, subsection (c)(3)(E)2.
9. A copy of the documents that contain the information specified in section 66273.75, subsection (f)(5)(B).
10. A copy of the documents that contain the information specified in section 66273.75, subsection (f)(6)(B).
11. A copy of the records that make the demonstration required by section 66273.81, subsection (d).
(B) The universal waste handler shall make available the relevant documents identified in subsections (c)(1)(A)1. through (c)(1)(A)3. of this section at the universal waste handler's facility upon request, to any representative of the Department, USEPA, or a local governmental agency having jurisdiction over the facility.
(C) The universal waste handler shall either deliver in person or send to the Department by certified mail, return receipt requested, a copy of any relevant document identified in subsection (c)(1)(A)3. of this section upon receipt of a written request from the Department. The Department shall specify in its written request all of the following: the identities of the documents of which copies are required; the place where those copies shall be delivered or sent; and the date by which those copies shall be submitted.
(2) Universal waste handlers of mercury switches. 
Except as otherwise provided in sections 66273.71 and 66273.72, a universal waste handler who removes mercury switches from vehicles and/or household appliances shall keep records, on paper or electronically, of the removal of mercury switches from vehicles and/or household appliances for at least three years from the date of removal. The records shall include, at a minimum, the following information:
(A) The total number of vehicles crushed, baled, sheared, or shredded;
(B) The total number of appliances destined for shredding;
(C) The total number of vehicles or appliances destined for crushing, baling, shearing, or shredding that were determined to contain one or more mercury switches;
(D) The number of mercury switches removed from these vehicles and appliances; and
(E) The number of motor vehicles from which mercury switches could not be removed due to accidental damage to the vehicle.
(d) Notifications and annual reports required pursuant to subsections (a) and (b) of this section shall be dated, signed, and certified according to the requirements of section 66270.11, subsections (a) and (d) as those requirements apply to permit applications and permit-application certifications, respectively.
(e) If submitted electronically, notifications and annual reports required pursuant to subsections (a) and (b) of this section shall be addressed to the Department at http://www.dtsc.ca.gov. For electronic notifications and annual reports made pursuant to this section, the universal waste handler signature required by subsection (d) of this section shall be submitted to the address provided in subsection (f) of this section.
(f) If submitted in writing, notifications and annual reports required pursuant to subsections (a) and (b) of this section shall be sent to the Department by certified mail, return receipt requested, at the following address: Department of Toxic Substances Control, Universal Waste Notification and Reporting Staff, P.O. Box 806, Sacramento, CA 95812-0806, with the words “Attention: Universal Waste Handling Activities” prominently displayed on the front of the envelope.
NOTE

Authority cited: Sections 25141, 25141.5, 25143.2, 25150, 25201, 25214.6, 25214.9, 25214.10.2, 26219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25141.5, 25143.2, 25150, 25159.5, 25179.6, 25201, 25212, 25214.6, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code.
HISTORY

1. New section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
2. Amendment of section and Note filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
§66273.75. Treatment (Processing) Standards.
Note     •     History

A universal waste handler who treats electronic devices, residual printed circuit boards, and/or CRTs pursuant to section 66273.73 shall comply with the following standards:
(a) Treatment.
The universal waste handler shall:
(1) Utilize only treatment methods identified in section 66273.73, subsection (c);
(2) Ensure that all mercury-containing lamps, PCB capacitors, and other components containing fluids (i.e., liquids or gases) that would be identified as hazardous wastes, are removed prior to treatment methods that may release the fluids such as cutting, sawing, breaking, shredding, crushing, grinding, screening, sieving, acceleration, or compacting;
(3) Conduct treatment activities over, or in, a containment device (e.g., a tray, a box, a workbench, a table, or an enclosed machine) sufficient in size and construction to contain any materials that might be released to the environment under reasonably foreseeable conditions.
(4) Ensure that all hazardous wastes generated from treatment activities and sent offsite for disposal are managed (i.e., manifested) in accordance with the applicable requirements of article 2 of chapter 12 of this division.
(5) Comply with the requirements of sections 66265.18 and 66265.25 of chapter 15 of this division to the extent that those requirements apply to facility location and design standards. 
(6) Ensure that all treatment is conducted in compliance with all applicable state and local air pollution control laws and regulations.
(7) Treat electronic devices that are not CRT devices and/or residual printed circuit boards only for the purpose of recycling one or more of their components.
(8) For disposal of CRT panel glass at a class II or class III landfill pursuant to this section and article 8 of this chapter:
(A) Separate CRT panel glass from CRT funnel glass; and
(B) Remove all phosphor powders from the CRT panel glass.
(9) Not accept for treatment, any electronic devices or CRTs that are managed, or that are required to be managed, as hazardous wastes pursuant to chapters 10 through 16, 18, 20 and 22 of this division, unless authorized to do so pursuant to a hazardous waste facility permit or other authorization granted by the Department pursuant to those chapters.
(b) Containment of residuals.
(1) The universal waste handler shall manage all residuals produced from treating electronic devices, residual printed circuit boards, and/or CRTs, in a manner that prevents a release to the environment of any universal waste or any component thereof, as follows:
(2) Contain any residuals that are produced from treating electronic devices, residual printed circuit boards, and/or CRTs, in a manner that prevents releases of hazardous residuals to the environment under reasonably foreseeable conditions.
(3) Clean up and immediately place in a container any electronic device, residual printed circuit board, and/or CRT that is accidentally or unintentionally broken and that might reasonably be expected to cause a release to the environment under reasonably foreseeable conditions. Such containers shall be structurally sound, be compatible with the contents of the electronic devices, residual printed circuit boards, and/or CRTs, and prevent releases under reasonably foreseeable conditions.
(4) Until the determination pursuant to subsection (c)(1)(C) of this section is made that residual printed circuit boards and/or the residuals thereof are exempt scrap metal, these materials shall be managed in containers labeled with the following phrase: “Residual Printed Circuit Boards” or “Residual Printed Circuit Board Materials,” as appropriate. 
(c) Management of residuals other than CRT glass.
(1) A universal waste handler shall perform a hazardous waste determination pursuant to section 66262.11 for all residuals resulting from the activities authorized by section 66273.73, and shall:
(A) Be deemed the generator of all residuals that are hazardous waste.
(B) For all residuals that are hazardous wastes, comply with all the applicable requirements of chapters 12, 14, 15, 16, 18, 20, 22 and 23 of this division and the applicable notification requirements in Health and Safety Code section 25153.6, except as otherwise provided in subsection (c)(1)(C) of this section. 
(C) Notwithstanding section 66261.3, subsection (c) and section 66262.11, subsection (d), a universal waste handler who is deemed the generator of a residual that is a hazardous waste pursuant to subsection (c)(1) of this section may manage that hazardous waste residual pursuant to any applicable chapter 11 exclusion or exemption [e.g., the scrap metal exclusion provided in §66261.6, subsec. (a)(3)(B)].
(D) Except as allowed pursuant to subsection (c)(1)(C) of this section, a universal waste handler who conducts further treatment on any residual that is a hazardous waste resulting from any activity authorized by this section shall not conduct such treatment, nor use any treatment method, unless that person obtains a hazardous waste facility permit or other form of authorization from the Department. 
(2) A universal waste handler shall ensure that all treatment residuals meeting the definition of scrap metal in section 66273.9 are recycled.
(d) Worker safety. 
(1) A universal waste handler, who treats electronic devices, residual printed circuit boards, and/or CRTs, shall be thoroughly familiar with the hazards associated with such treatment, have access to the proper procedures and protective equipment necessary to conduct the treatment safely, use such protective equipment if required by any applicable health and safety requirements, and comply with the requirements of this section;
(2) A universal waste handler, who treats electronic devices, residual printed circuit boards, and/or CRTs, shall ensure that the universal waste handler's facility is operated in compliance with all applicable health and safety laws and regulations [e.g., Cal. Code Regs., tit. 8, ch. 4 (Division of Industrial Safety), subch. 7 (General Industry Safety Orders), group 16 (Control of Hazardous Substances), art. 107 (Dusts, Fumes Vapors and Mists), and art. 109 (Hazardous Substances and Processes), and sec. 5198 (Lead)].
(e) Zoning.
(1) A universal waste handler, who treats electronic devices, residual printed circuit boards, and/or CRTs using any of the methods allowed pursuant to this section, shall ensure that such treatment is consistent with local zoning requirements and land use patterns applicable to the universal waste handler's facility.
(f) Management of CRT glass.
(1) A universal waste handler shall ensure that the CRT glass generated from treatment pursuant to section 66273.73 is recycled or disposed.
(2) For disposal of CRT panel glass generated pursuant to subsection (a)(8) of this section in a class II or class III landfill pursuant to article 8 of this chapter, a universal waste handler shall:
(A) Manage the CRT panel glass and the CRT funnel glass as separate and discrete waste streams and not allow any commingling of these two types of glass; 
(B) Within 30 days of initially generating CRT panel glass and before disposing of any CRT panel glass in a class II or class III landfill, determine that the CRT panel glass meets the criteria specified in section 66273.81 and repeat the determination thereafter, as required by section 66273.81;
(C) Until the determination described in subsection (f)(2)(B) of this section is made, manage the CRT panel glass in accordance with the requirements of section 66273.82;
(D) Upon making the determination required by subsection (f)(2)(B) of this section, manage the CRT panel glass pursuant to article 8 of this chapter; and
(E) If the universal waste handler determines that the CRT panel glass does not meet the criteria specified in subsection (f)(2)(B) of this section, immediately manage the CRT panel glass pursuant to subsection (f)(3) of this section. 
(3) A universal waste handler shall ship the accumulated CRT glass for reclamation at a CRT glass manufacturer or at a primary or secondary lead smelter, or determine that it is to be recycled by other means or disposed at a class I landfill.
(4) Upon determining that the CRT glass is destined for recycling by means other than reclamation of CRT glass at a CRT glass manufacturer or primary or secondary lead smelter pursuant to subsection (f)(3) of this section, and notwithstanding subsection (c) of section 66261.3, a universal waste handler shall be deemed the generator of hazardous waste CRT glass, and shall determine if the CRT glass is a recyclable material excluded from regulation as hazardous waste pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2, as required by subsection (a) of section 66262.11:
(A) If the universal waste handler determines that the CRT glass is a recyclable material excluded from regulation as hazardous waste pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2, the handler may either proceed to manage the CRT glass as an excluded recyclable material or apply to the Department for concurrence with the universal waste handler's determination through the application procedure set forth in article 9 of this chapter before managing the CRT glass as an excluded recyclable material. A universal waste handler who incorrectly determines that CRT glass is an excluded recyclable material and fails to manage the CRT glass as fully regulated hazardous waste is in violation of the requirements of this division and is subject to enforcement action.
(B) If the universal waste handler chooses to obtain the Department's concurrence, the handler shall submit an application to the Department which includes all information required by subsection (a)(1) of section 66273.91. Pending concurrence by the Department pursuant to article 9 of this chapter, the universal waste handler shall manage the CRT glass as hazardous waste in accordance with all applicable requirements in chapters 12 through 16, 18, 20 and 22 of this division, except as provided in subsection (f)(4)(C) of this section.
(C) Notwithstanding subsections (a) and (c) of section 66262.34 of chapter 12 of this division, a universal waste handler who applies for the Department's concurrence may accumulate the CRT glass onsite without a permit for no more than 90 days after the universal waste handler receives notification of the Department's disapproval of the application pursuant to subsection (h) of section 66273.91 of this chapter. 
(D) If the universal waste handler or the Department determines that the CRT glass is not a recyclable material excluded from regulation as hazardous waste pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2, the handler shall manage the CRT glass as hazardous waste in accordance with all applicable requirements in chapters 12 through 16, 18, 20 and 22 of this division.
(5) Upon determining that the CRT glass is destined for disposal pursuant to subsection (f)(3) or (f)(4)(D) of this section, a universal waste handler shall be deemed the generator of hazardous waste CRT glass and:
(A) Manage the CRT glass as a hazardous waste in accordance with all applicable requirements in chapters 12 through 16, 18, 20 and 22 of this division; and 
(B) Upon request, submit to the Department the following information:
1. The quantity of CRT glass to be disposed in the current calendar year;
2. The quantity of CRT glass recycled in the previous calendar year;
3. The quantity of CRT glass generated in the previous calendar year;
4. The technological, economic or other reasons for not recycling the CRT glass, taking into account relevant factors, which may include, but is not limited to:
(i) the quantity of CRT glass available for recycling;
(ii) any chemical, physical or other properties of the CRT glass that might affect its recyclability;
(iii) the treatment required in recycling the CRT glass and the availability of and cost of suitable treatment technology; 
(iv) the marketability of CRT glass for recycling, including current market prices for lead; and 
(v) any information pertaining to facilities that could have potentially recycled the CRT glass that influenced the universal waste handler's decision to dispose of the CRT glass.
5. any other information the Department determines is necessary to demonstrate that the CRTs cannot be recycled, including, but not limited to, the documentation on which the handler's section 66273.75(f)(5)(B)4 submittal is based.
(6) For reclamation at a CRT glass manufacturer or primary or secondary lead smelter, a universal waste handler shall:
(A) If the CRT glass will be passing through an intermediate facility, prior to arranging for transport of the CRT glass to the intermediate facility make contractual arrangements with the intermediate facility to ensure that the CRT glass is sent to the CRT glass manufacturer or primary or secondary lead smelter identified by the universal waste handler.
(B) Submit to the Department upon request the following information: 
1. The name, address and telephone number of the transporter;
2. The name and address of the CRT glass manufacturer or primary or secondary lead smelter;
3. If the CRT glass will be passing through an intermediate facility for management, the name, address and telephone number of the intermediate facility;
4. For intermediate facilities in the United States, the type of intermediate facility;
5. A copy of the contractual arrangements between the universal waste handler and the intermediate facility made pursuant to subsection (f)(6)(A) of this section, if applicable; 
6. The quantity of CRT glass in each shipment; and
7. Confirmation receipts from the CRT glass manufacturer or primary or secondary lead smelter that the CRT glass was received.
(7) A universal waste handler shall comply with article 10 of this chapter for documents or information that the universal waste handler submits to the Department pursuant to subsections (f)(5)(B) or (f)(6)(B) of this section and for which the universal waste handler asserts a claim of trade secret protection.
(8) Notwithstanding subsection (a) of section 66273.35, if on October 15, 2012 the universal waste handler has accumulated CRT glass for longer than six months, the universal waste handler shall meet the requirements as specified in subsection (f)(3) of this section on or before April 13, 2013.
NOTE

Authority cited: Sections 25141, 25141.5, 25143.2, 25150, 25201, 25214.9, 25214.10.2, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25141.5, 25143.2, 25150, 25159.5, 25173, 25201, 25212, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code; Sections 42479, Public Resources Code.
HISTORY

1. New section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
2. Amendment of section and Note filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
§66273.76. Closure Plan and Financial Requirements.
Note     •     History

(a) Except as otherwise provided in subsections (a)(4) and (b)(5) of this section, and in addition to the universal waste handler notification required pursuant to section 66273.74, subsection (a), a universal waste handler who intends to conduct one or more of the treatment activities described in section 66273.73, subsections (a)(2) and (b) shall submit the information specified in subsections (a)(1) through (d) of this section to the Department in the manner and at the address given in subsections (e) and (f) of this section, no later than 30 calendar days prior to initially conducting those treatment activities:
(1) Closure plan. 
A universal waste handler shall prepare and submit a closure plan. When used in this chapter, “closure plan” means a written plan that identifies the activities and schedules for closing one or more universal waste treatment units at any point during the active life of a universal waste handler's facility. The closure plan shall address closing the universal waste treatment unit(s) at the point in the facility's active life when the extent and manner of its operation would make closure the most expensive. The closure plan shall include all of the following:
(A) A detailed description of the activities and schedule that are needed to decontaminate or remove at the time of closure:
1. Each universal waste treatment unit, including universal waste treatment units that also treat residual printed circuit boards that have been determined to be exempt scrap metal pursuant to section 66273.71, subsection (e), section 66273.72, subsection (a)(3), or section 66273.75, subsection (c)(1)(C);
2. All other contaminated equipment, such as ventilation systems and containment units;
3. Contaminated structures;
4. Contaminated soils; and
5. All hazardous wastes, including universal wastes in inventory, and universal waste treatment residuals.
(B) The description required by subsection (a)(1)(A) of this section shall identify all areas where sampling and testing will be conducted to verify the decontamination or removal of the items listed in that subsection.
(C) An estimated maximum inventory of universal wastes and universal waste treatment residuals ever to be present onsite, and a detailed description of the boundaries of the universal waste accumulation area(s), universal waste treatment unit(s), and treatment-residual storage area(s).
(2) A universal waste handler shall modify the closure plan required by subsection (a)(1) of this section whenever a change affecting the closure plan and specified in subsection (a)(2)(A) of this section occurs. The universal waste handler shall submit the modified closure plan to the Department in the manner and at the address given in subsections (e) and (f) of this section within the applicable time period specified in subsection (a)(2)(B) of this section.
(A) A change is a change in the type of treatment activity or an increase in facility capacity greater than 10 percent.
(B) The applicable time period is at least 30 calendar days prior to any planned change in facility design or operation, or no longer than 30 calendar days after an unexpected change has occurred.
(3) A universal waste handler shall keep at the universal waste treatment facility during the facility's operating life, the closure plan prepared for the facility in accordance with subsection (a)(1) of this section.
(4) Universal waste handlers who notify the Department of their intent to conduct one or more of the treatment activities described in section 66273.73, subsections (a)(2) and (b) on or before [OAL to insert effective date of these regulations] shall submit the closure plan required by subsection (a)(1) of this section on or before December 31, 2008.
(b)(1) Cost estimate for closure. 
A universal waste handler shall prepare and submit a cost estimate for closure. For purposes of this chapter, a cost estimate for closure (or closure cost estimate) means a document that specifies the estimated cost of closing a universal waste treatment facility, and it includes the respective costs of universal-waste inventory disposition, equipment decontamination or removal, laboratory testing, and other relevant costs. The cost estimate for closure shall address closing the universal waste treatment unit(s), shall be prepared pursuant to the closure plan required pursuant to subsection (a)(1) of this section, and shall:
(A) Conform with subparagraphs (A)1. and (A)2. of this subsection (b)(1): 
1. Do both of the following:
a. Include the estimated cost to decontaminate or to remove from the facility, at the time of closure, each universal waste treatment unit and all other items designated in the closure plan in accordance with subsection (a)(1)(A) of this section. The portion of such estimated cost that is attributable to decontaminating or removing universal wastes and universal waste treatment residuals shall be based on the estimated maximum inventory of those wastes and residuals, excluding residual printed circuit boards, and/or the residuals thereof, that have been determined to be exempt scrap metal pursuant to section 66273.71, subsection (e), section 66273.72, subsection (a)(3), or section 66273.75, subsection (c)(1)(C), ever to be present onsite, as designated in the closure plan in accordance with subsection (a)(1)(C) of this section.
b. Be based on the cost to the universal waste handler of hiring a third party to close the facility. When used in this section, a “third party” means a person who is neither a parent corporation, as defined in section 66260.10, nor a subsidiary of the person who is the universal waste handler.
2. Not do either of the following:
a. Incorporate any salvage value that may be realized from the sale of hazardous waste including universal waste, nonhazardous waste, facility structures or equipment, land, or other assets associated with the facility at the time of closure; or
b. Incorporate a zero cost for hazardous waste including universal waste, or nonhazardous waste, even if those wastes have economic value.
(2) At least annually, a universal waste handler shall adjust the closure cost estimate for inflation within 60 calendar days prior to the anniversary date of the establishment of the financial instrument(s) used to comply with subsection (d) of this section. For a universal waste handler using the financial test or corporate guarantee, the closure cost estimate shall be updated for inflation within 90 calendar days after the close of the universal waste handler's fiscal year and before submission of updated information to the Department as specified in section 66265.143, subsection (e)(3). The adjustment shall be made by recalculating the closure cost estimate in current dollars, or by using an inflation factor derived from the most recent Implicit Price Deflator for Gross National Product published by the U.S. Department of Commerce in its Survey of Current Business, as specified in section 66265.142, subsections (b)(1) and (2). The inflation factor is the result of dividing the latest published annual Deflator by the Deflator for the previous year.
(3) A universal waste handler shall revise the closure cost estimate no later than 30 days after any revision has been made to the closure plan pursuant to subsection (a)(2) of this section which increases the cost of closure.
(4) A universal waste handler shall keep at the universal waste treatment facility during the facility's operating life, the latest closure cost estimate prepared for the facility in accordance with subsection (b)(1) of this section.
(5) Notwithstanding subsection (b)(2) of this section, universal waste handlers who notify the Department of their intent to conduct one or more of the treatment activities described in section 66273.73, subsections (a)(2) and (b) on or before [OAL to insert the effective date of these regulations], shall submit a revised cost estimate for closure as required by this subsection on or before December 31, 2008.
(c) Financial responsibility for liability.
A universal waste handler shall prepare and submit documentation demonstrating financial responsibility for liability pursuant to section 66265.147.
(d) Financial assurance.
A universal waste handler shall prepare and submit documentation demonstrating financial assurance for closure to fund the cost estimate for closure, pursuant to section 66265.143, subsections (a) through (h).
(e) The documents submitted pursuant to this section shall be dated, signed, and certified according to the requirements of section 66270.11, subsections (a) and (d) as those requirements apply to permit applications and permit-application certifications, respectively.
(f) When submitted to the Department, the documents required pursuant to this section shall be sent by certified mail, return receipt requested, to the following address: Department of Toxic Substances Control, Universal Waste Notification and Reporting Staff, P.O. Box 806, Sacramento, CA 95812-0806, with the words “Attention: Universal Waste Handling Activities, Authorized Treatment” prominently displayed on the front of the envelope.
NOTE

Authority cited: Sections 25141, 25150, 25201, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25212, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code.
HISTORY

1. New section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§66273.77. Closure of Universal Waste Treatment Facilities.
Note     •     History

(a) Closure notification. 
A universal waste handler who intends to close a universal waste treatment facility or any universal waste treatment unit, including universal waste units that also treat residual printed circuit boards that have been determined to be exempt scrap metal pursuant to section 66273.71, subsection (e), section 66273.72, subsection (a)(3), or section 66273.75, subsection (c)(1)(C), and who conducts any of the treatment activities described in section 66273.73, subsection (a)(2) or (b) shall:
(1) Submit to the Department in the manner and at the address given in subsections (c) and (d) of this section, a notification containing the following information:
(A) The date of the last day on which the universal waste handler intends to conduct the treatment activities specified in section 66273.73, subsection (a)(2) or (b);
(B) The date of the last day on which the universal waste handler intends to conduct handling activities other than the treatment activities specified in section 66273.73, subsection (a)(2) or (b) at the facility, if applicable; and
(C) The date the universal waste handler intends to complete the closure activities described in the handler's closure plan and/or, if applicable, vacate the facility.
(2) Submit the required notification to the Department within 30 calendar days before the earliest applicable date specified pursuant to subsection (a)(1) of this section.
(b) Department response to closure notification.
(1) Upon receipt of the closure notification, the Department shall notify the universal waste handler in writing whether the universal waste handler is required to continue to maintain financial assurance for closure of the facility. The Department shall send such notification within 60 calendar days after completion of the later of the following:
(A) Receipt by the Department of a summary of closure activities completed by the universal waste handler, including both of the following:
1. Any sample data submitted by the universal waste handler confirming that all units, surfaces, and areas have been decontaminated. The submittal shall include a facility plot plan that identifies where the samples were taken.
2. A letter from the universal waste handler that provides self-certification that the facility has been closed pursuant to the universal waste handler's closure plan required by section 66273.76, subsection (a)(1). The letter shall include the date(s) when the applicable events described in subsections (a)(1) through (a)(2) above actually occurred; or
(B) A facility inspection report, if issued by the Department, verifying closure of the facility pursuant to the universal waste handler's closure plan required by section 66273.76, subsection (a)(1).
(2) If, based on the information obtained pursuant to subsection (b)(1) of this section, the Department finds that closure of the facility has not been completed in accordance with the universal waste handler's closure plan, the Department shall provide to the universal waste handler in writing, a detailed written statement setting forth: 
(A) the Department's reason(s) for that finding; and
(B) the Department's request for additional information to be provided by the universal waste handler to demonstrate that the closure activities necessary to close the facility pursuant to the universal waste handler's closure plan, as submitted pursuant to section 66273.76, have been completed.
(c) The documents submitted pursuant to this section shall be dated, signed, and certified according to the requirements of section 66270.11, subsections (a) and (d) as those requirements apply to permit applications and permit-application certifications, respectively.
(d) When submitted to the Department, documents required pursuant to this section shall be sent by certified mail, return receipt requested, to the following address: Department of Toxic Substances Control, Universal Waste Notification and Reporting Staff, P.O. Box 806, Sacramento, CA 95812-0806, with the words “Attention: Universal Waste Handling Activities” prominently displayed on the front of the envelope.
NOTE

Authority cited: Sections 25141, 25150, 25201, 25214.9, 25219.1 and 58012, Health and Safety Code; and Section 42475, Public Resources Code. Reference: Sections 25141, 25150, 25159.5, 25201, 25212, 25214.9, 25219, 25219.1 and 25219.2, Health and Safety Code.
HISTORY

1. New section filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
Article 8. Requirements for the Disposal of CRT Panel Glass
§66273.80. Applicability.
Note     •     History

(a) This article applies to a universal waste handler who manages CRT panel glass pursuant to section 66273.75 for disposal within a composite-lined portion of a class II or class III landfill that meets all requirements applicable to disposal of municipal solid waste in California after October 9, 1993, and that is regulated by waste discharge requirements issued pursuant to division 7 (commencing with §13000) of the Water Code for discharges of designated waste, as defined in section 13173 of the Water Code.
(b) This article does not apply to CRT panel glass recycled by being “used in a manner constituting disposal” described in section 66266.20 of chapter 16 of this division.
(c) This article does not apply to CRT glass generated prior to October 15, 2012, including CRT glass that may meet the definition of CRT panel glass. 
NOTE

Authority cited: Sections 25141.5, 25150, 25214.9, 25214.10.2 and 58012, Health and Safety Code. Reference: Sections 25141.5, 25150, 25159.5 and 25214.9, Health and Safety Code.
HISTORY

1. New article 8 (sections 66273.80-66273.84) and section filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. For prior history of section 66273.80, see Register 2009, No. 6.
§66273.81. Criteria for Determining CRT Panel Glass Eligible for Disposal.
Note     •     History

(a) CRT panel glass destined for disposal in a class II or class III landfill shall meet the following criteria:
(1) The CRT panel glass shall not exhibit the RCRA hazardous waste characteristic of toxicity.
(2) The CRT panel glass shall not exhibit the toxicity characteristic of a hazardous waste by exceeding the Soluble Threshold Limit Concentration, as defined in section 66260.10 and as specified in section 66261.24 of chapter 11 of this division. 
(3) The CRT panel glass shall be identified as hazardous waste solely because it exhibits the characteristic of toxicity only by exceeding the Total Threshold Limit Concentration, as defined in section 66260.10 of chapter 10 and as specified in section 66261.24 of chapter 11 of this division.
(4) The CRT panel glass shall not exceed a Total Threshold Limit Concentration of 30,000 mg/kg for lead.
(5) The CRT panel glass shall meet the land disposal restrictions treatment standards specified in article of chapter 18 of this division (e.g., the treatment standard for lead containing wastes is 0.75 mg/L by use of Method 1311).
(b) In order to determine that CRT panel glass meets the criteria required by subsection (a) of this section, a universal waste handler shall use the following procedures: 
(1) Sampling of the CRT panel glass shall be conducted in accordance to sampling methods described in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd edition, U.S. Environmental Protection Agency, 1986, (incorporated by reference per section 66260.11 of chapter 10 of this division) or one of the sampling methods listed in Appendix I, Chapter 11 of this division; and
(2) Analysis of the CRT panel glass shall be conducted according to:
(A) Method 1311, as specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 2nd edition, U.S. Environmental Protection Agency, 1982 (incorporated by reference per section 66260.11 of chapter 10 of this division);
(B) Method 3052, as specified in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” SW-846, 3rd edition, U.S. Environmental Protection Agency, 1996, (incorporated by reference per section 66260.11 of chapter 10 of this division); and
(C) Waste Extraction Test (WET), as specified in Appendix II, Chapter 11 of this division or an alternative test method approved pursuant to 22 CCR section 66260.21.
(c) A universal waste handler shall repeat the procedures required by subsection (b) of this section as necessary to ensure the CRT panel glass meets the criteria as specified in subsection (a) of this section. At a minimum, the procedures shall be repeated when the universal waste handler is notified, or has reason to believe that the concentration of hazardous constituents in the CRTs or treatment method generating the CRT panel glass has changed to the extent that the certification required by subsection (g) of section 66273.82 is no longer valid.
(d) A universal waste handler who claims CRT panel glass meets the criteria, as specified in this section, shall maintain records that demonstrate that CRT panel glass meets the criteria required by subsection (a) of this section. The records shall include the following information:
(1) A description of the treatment method used to generate the CRT panel glass;
(2) Documentation of the analysis(ses) and the sampling method(s) of the CRT panel glass that identifies and quantifies all hazardous constituents, as specified in subsection (b) of this section; and
(3) The frequency at which the procedures will be reviewed or repeated to ensure that the analysis and sampling method is accurate and up to date.
(e) A universal waste handler shall immediately manage CRT panel glass that does not meet all of the criteria specified in subsection (a) of this section pursuant to subdivision (f)(3) of section 66273.75.
NOTE

Authority cited: Sections 25141.5, 25150, 25214.9, 25214.10.2 and 58012, Health and Safety Code. Reference: Sections 25141.5, 25150, 25159.5, 25179.6 and 25214.9, Health and Safety Code.
HISTORY

1. New section filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. For prior history of section 66273.81, see Register 2009, No. 6.
§66273.82. Management of CRT Panel Glass Prior to Disposal.
Note     •     History

(a) A universal waste handler shall manage CRT panel glass that meets the criteria specified in section 66273.81 and is destined for disposal in a class II or class III landfill in accordance with the requirements of this section.
(b) The universal waste handler shall manage the CRT panel glass in accordance with subsection (c)(1)(B) of section 66273.33.5.
(c) The universal waste handler shall clearly mark or label the accumulation areas and/or containers used to contain the CRT panel glass with the words “Excluded Hazardous Waste -- CRT Panel Glass”.
(d) The universal waste handler shall not accumulate the CRT panel glass for longer than 180 days from the date of generation. 
(e) The universal waste handler shall provide personnel training to persons who manage CRT panel glass for disposal in a class II or class III landfill, pursuant to section 66273.36.
(f) The universal waste handler shall comply with the response to releases requirements of section 66273.37.
(g) The universal waste handler shall submit a notification and certification to the Department at least 60 days prior to the initial shipment of CRT panel glass. 
(1) The notification shall include the following:
(A) Name(s), address(es) and telephone number(s) of the class II or class III landfill(s) receiving the CRT panel glass shipment(s);
(B) A description of the CRT panel glass and how it was generated; and
(C) The ID number for the universal waste handler facility where the CRT panel glass was generated.
(2) The certification shall be signed by an authorized representative of the handler's facility and shall state as follows:
“I certify under penalty of law that I have personally examined and am familiar with the treatment technology and operation of the treatment process used to support this certification. Based on my inquiry of those individuals immediately responsible for obtaining this information, I believe that the treatment process has been operated and maintained properly so as to generate CRT panel glass that meets the criteria specified in section 66273.81 without impermissible dilution. I am aware that there are significant penalties for submitting a false certification, including the possibility of fine and imprisonment.”
(3) The universal waste handler shall submit the notification and certification pursuant to subsection (f) of section 66273.74.
(h) If the concentration of hazardous constituents in the CRTs or the treatment method generating the CRT panel glass changes to the extent that the certification required by subsection (g) of this section is no longer valid or the class II or class III landfill to receive the CRT panel glass changes, the universal waste handler shall update the notification and certification and submit them to DTSC at least 60 days prior to any subsequent shipment of CRT panel glass.
(i) A universal waste handler shall comply with article 10 of this chapter for documents or information that the universal waste handler submits to the Department pursuant to subsection (g) of this section and for which the universal waste handler asserts a claim of trade secret protection.
NOTE

Authority cited: Sections 25141.5, 25150, 25173, 25214.9, 25214.10.2 and 58012, Health and Safety Code. Reference: Sections 25141.5, 25150, 25159.5, 25173, 25179.6 and 25214.9, Health and Safety Code.
HISTORY

1. New section filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. For prior history of section 66273.82, see Register 2009, No. 10.
§66273.83. Tracking Shipments of CRT Panel Glass.
Note     •     History

(a) The universal waste handler shall keep a record of each shipment of CRT panel glass sent from the universal waste handler's facility to a class II or class III landfill. The record may take the form of a log, invoice, manifest, bill of lading or other shipping document. The record for each shipment of CRT panel glass managed pursuant to this section shall include the following information:
(1) The quantity [weight, consistent with, for example, §66273.32, subsec. (d)] of CRT panel glass;
(2) The date of departure of the shipment of CRT panel glass; 
(3) A copy of the notification and certification required by subsection (g) of section 66273.82; and
(4) A copy of the notification and certification required by subsection (g) of section 66273.82 signed by the class II or class III landfill owner or operator pursuant to subsection (a)(2)(A) of section 66273.84.
(b) The universal waste handler shall retain each record described in subsection (a) of this section for at least three years from the date of departure of the corresponding shipment of CRT panel glass shipped to the class II or III landfill.
(c) The universal waste handler shall provide the person who transports the CRT panel glass with at least two copies of the notification and certification described in subsection (g) of section 66273.82, prior to each shipment of CRT panel glass being transported offsite.
NOTE

Authority cited: Sections 25141.5, 25150, 25214.9, 25214.10.2 and 58012, Health and Safety Code. Reference: Sections 25141.5, 25150, 25159.5 and 25214.9, Health and Safety Code.
HISTORY

1. New section filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. For prior history of section 66273.83, see Register 2009, No. 10.
§66273.84. Offsite Transportation.
Note     •     History

(a) A person who transports CRT panel glass that meets the criteria specified in section 66273.81 to a class II or class III landfill shall comply with the applicable requirements of subsections (b) and (c) of section 66273.51, sections 66273.52, 66273.53, 66273.54, subsection (b) of section 66273.55, and section 66273.56 and shall: 
(1) Take two copies of the notification and certification required in subsection (g) of section 66273.82 with the shipment of CRT panel glass;
(2) Upon relinquishing the CRT panel glass to a class II or class III landfill:
(A) Obtain the dated signature of the owner or operator of the class II or III landfill on one copy of the notification and certification;
(B) Include on the signed copy a statement that the CRT panel glass was received by the class II or class III landfill owner or operator;
(C) Keep the signed copy of the notification and certification; and
(D) Leave the other copy of the notification and certification with the owner or operator.
(3) Within 30 days from receipt of the CRT panel glass by the class II or class III landfill owner or operator, send a copy of the signed notification and certification to the universal waste handler who initiated shipment of the CRT panel glass pursuant to this article.
NOTE

Authority cited: Sections 25141.5, 25150, 25214.9, 25214.10.2 and 58012, Health and Safety Code. Reference: Sections 25141.5, 25150, 25159.5 and 25214.9, Health and Safety Code.
HISTORY

1. New section filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. For prior history of section 66273.84, see Register 2009, No. 10.
§66273.85. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25150.6 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 8-3-2001 as an emergency; operative 8-3-2001 (Register 2001, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-3-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-30-2001 as an emergency; operative 11-30-2001 (Register 2001, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-2-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 3-26-2002 as an emergency; operative 4-12-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-12-2002 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-6-2002 as an emergency; operative 8-6-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-4-2002 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 11-25-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-25-2002 order, including amendment of subsection (a) and Note, transmitted to OAL 12-24-2002 and filed 2-3-2003 (Register 2003, No. 6).
7. Certificate of Compliance as to 5-8-2008 order, including repealer of section, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
8. Editorial correction of History 7 (Register 2009, No. 10.)
§66273.86. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25150.6 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 8-3-2001 as an emergency; operative 8-3-2001 (Register 2001, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-3-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-30-2001 as an emergency; operative 11-30-2001 (Register 2001, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-2-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 3-26-2002 as an emergency; operative 4-12-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-12-2002 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-6-2002 as an emergency; operative 8-6-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-4-2002 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 11-25-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-25-2002 order, including amendment of section and Note, transmitted to OAL 12-24-2002 and filed 2-3-2003 (Register 2003, No. 6).
7. Certificate of Compliance as to 5-8-2008 order, including repealer of section, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
8. Editorial correction of History 7 (Register 2009, No. 10.)
§66273.87. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25150.6 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 8-3-2001 as an emergency; operative 8-3-2001 (Register 2001, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-3-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-30-2001 as an emergency; operative 11-30-2001 (Register 2001, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-2-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 3-26-2002 as an emergency; operative 4-12-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-12-2002 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-6-2002 as an emergency; operative 8-6-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-4-2002 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 11-25-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-25-2002 order, including new subsection (c) and amendment of Note, transmitted to OAL 12-24-2002 and filed 2-3-2003 (Register 2003, No. 6).
7. Certificate of Compliance as to 5-8-2008 order, including repealer of section, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
8. Editorial correction of History 7 (Register 2009, No. 10.)
§66273.88. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25150.6 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 8-3-2001 as an emergency; operative 8-3-2001 (Register 2001, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-3-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-30-2001 as an emergency; operative 11-30-2001 (Register 2001, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-2-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 3-26-2002 as an emergency; operative 4-12-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-12-2002 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-6-2002 as an emergency; operative 8-6-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-4-2002 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 11-25-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-25-2002 order, including amendment of subsection (h) and amendment of Note, transmitted to OAL 12-24-2002 and filed 2-3-2003 (Register 2003, No. 6).
7. Certificate of Compliance as to 5-8-2008 order, including repealer of section, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
8. Editorial correction of History 7 (Register 2009, No. 10.)
§66273.89. [Reserved].
Note     •     History

NOTE

Authority cited: Sections 25141, 25150, 25150.6 and 58012, Health and Safety Code. Reference: Sections 25141, 25150 and 25159.5, Health and Safety Code..
HISTORY

1. New section filed 8-3-2001 as an emergency; operative 8-3-2001 (Register 2001, No. 31). A Certificate of Compliance must be transmitted to OAL by 12-3-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-30-2001 as an emergency; operative 11-30-2001 (Register 2001, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-2-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 3-26-2002 as an emergency; operative 4-12-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 8-12-2002 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-6-2002 as an emergency; operative 8-6-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-4-2002 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 11-25-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 48). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-25-2002 order, including amendment of Note, transmitted to OAL 12-24-2002 and filed 2-3-2003 (Register 2003, No. 6).
7. Certificate of Compliance as to 5-8-2008 order, including repealer of section, transmitted to OAL 12-19-2008 and filed 2-4-2009 (Register 2009, No. 6).
8. Editorial correction of History 7 (Register 2009, No. 10.)
Article 9. Recycling Concurrence Process for CRTs and CRT Glass
§66273.90. Applicability.
Note     •     History

(a) This article applies to a universal waste handler who is deemed the generator of CRTs pursuant to subsections (b)(4)(D) or (c)(3)(C) of section 66273.72 or the generator of CRT glass in subsection (f)(4) of section 66273.75 of this chapter and chooses to obtain Department concurrence that CRTs or CRT glass are recyclable material excluded from regulation as a hazardous waste pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2.
(b) This article does not apply to a universal waste handler who is not authorized to perform one or more of the activities listed in subsection (c)(2) or (c)(3) of section 66273.70 of this chapter on CRT devices, CRTs and/or CRT glass. 
NOTE

Authority cited: Sections 25143.2, 25150, 25214.9, 25214.10.2 and 58012, Health and Safety Code. Reference: Sections 25143.2, 25150, 25159.5 and 25214.9, Health and Safety Code.
HISTORY

1. New article 9 (sections 66273.90-66273.91) and section filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner. For prior history of section 66273.90, see Register 2009, No. 10.
§66273.91. Classification of CRTs or CRT Glass.
Note     •     History

(a) A universal waste handler who applies to the Department for concurrence that CRTs or CRT glass are a recyclable material excluded from regulation as a hazardous waste pursuant to subdivision (b) or (d) of Health and Safety Code section 25143.2 shall:
(1) Submit to the Department an application that includes all the following information: 
(A) The name and address of the universal waste handler.
(B) The address where the CRTs or CRT glass are generated.
(C) A description of the CRTs or CRT glass which shall include its physical state, hazardous constituents, quantity and rate of generation. 
(D) A description of the facility that will use or reuse the CRT or CRT glass including:
1. The process by which the CRTs or CRT glass will be used or reused at the facility, including the equipment used for the process and training records for employees;
2. Information from the facility that shows the CRTs or CRT glass are being used in a production process including the ingredient or product it substitutes; and
3. Data showing a market exists for the CRTs or CRT glass.
(E) Any other information the Department finds relevant during its review of the application to ensure the CRTs or CRT glass meet the conditions in section 25143.2 of Health and Safety Code, including the information in section 25143.2 (f). 
(2) Within 30 days after the date of the written notification required by subsection (c) of this section, enter into a written agreement with the Department, pursuant to which the universal waste handler shall reimburse the Department its costs incurred in processing the application, as required by Health and Safety Code section 25205.7.
(b) The Department, within 30 days of receipt of an application for concurrence pursuant to subsection (a) of this section, shall acknowledge in writing receipt of the application.
(c) The Department, within 60 days of receipt of an application for concurrence pursuant to subsection (a) of this section, shall notify the applicant in writing that classification of the CRTs or CRT glass is approved or disapproved or that the application is incomplete or inadequate and what additional information is needed.
(d) If the application is incomplete or inadequate, the Department, within 60 days of receipt of adequate additional information, shall notify the applicant in writing that classification of the CRTs or CRT glass is approved or disapproved.
(e) When the Department has notified the applicant in writing that the application is incomplete or inadequate and what additional information is needed, provide the additional information, or obtain an extension of time pursuant to subsection (f) of this section, within 90 days from the date the information was requested.
(f) If the applicant cannot submit the additional information within the time frame specified in subsection (e) of this section, the applicant shall notify the Department in writing of the reason(s) for the delay and shall specify an additional time frame, up to 90 days, within which the information shall be submitted.
(g) The application will be considered disapproved if the applicant fails to enter into a written agreement with the Department pursuant to subsection (a)(2) of this section or provide the additional information pursuant to subsection (e) or subsection (f) of this section.
(h) If the Department disapproves the application, the Department shall specify in writing the reason(s) for the disapproval.
(i) Upon receipt of written concurrence from the Department, the applicant may manage the CRTs or CRT glass as indicated therein.
(j) If the Department at any time finds that the information submitted or generated for a concurrence pursuant to this section was erroneous because it was based on fraudulently derived information, the Department may notify that person in writing of the deficiencies.
(k) A person, upon receipt of a notice pursuant to subsection (j) of this section shall immediately cease managing the CRTs or CRT glass pursuant to the applicable Health and Safety Code section 25143.2 exclusion and Health and Safety Code sections 25143.9 and 25143.10 and shall manage the CRTs or CRT glass as hazardous waste.
(l) A universal waste handler shall comply with article 10 of this chapter for documents or information that the universal waste handler submits to the Department pursuant to this section and for which the universal waste handler asserts a claim of trade secret protection.
NOTE

Authority cited: Sections 25143.2, 25150, 25205.7 25214.9, 25214.10.2 and 58012, Health and Safety Code. Reference: Sections 25143.2, 25150, 25159.5, 25205.7 and 25214.9, Health and Safety Code.
HISTORY

1. New section filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
Article 10. Trade Secret Protection
§66273.100. Assertion of a Claim of Trade Secret Protection.
Note     •     History

(a) A person who asserts a claim of trade secret protection with respect to documents or information submitted to the Department in response to a request from the Department for information relating to the recycling or disposal of CRTs or CRT glass pursuant to article 7 of this chapter, subsection (g) of section 66273.82, or section 66273.91 shall, at the time of submission, furnish the Department with all of the following supporting information: 
(1) The identity of the person asserting the claim; 
(2) A brief description of the nature of the information for which trade secret protection is being claimed; 
(3) The extent to which the information is known by employees or others involved with the facility or business of the person, and whether or not those individuals are bound by non-disclosure agreements; 
(4) The extent to which the information is known outside of the facility or business of the person, and whether or not individuals with such knowledge are bound by non-disclosure agreements; 
(5) The measures taken to restrict access to and safeguard the information, and whether or not the person plans to continue utilizing such measures; 
(6) The estimated value of the information to the person and the person's competitors; 
(7) The estimated amount of effort or money expended by the person in developing the information; 
(8) The estimated ease or difficulty with which the information could be properly acquired or duplicated by others, including for any chemical claimed as trade secret, an explanation of why the chemical identity is not readily discoverable through reverse engineering; 
(9) Copies of, or references to, any pertinent trade secret or other confidentiality determinations previously made by the Department or other public agencies; 
(10) A description of the nature and extent of harm that would be caused if the information were made public, including an explanation of the causal relationship between disclosure and the harmful effects claimed; 
(11) The signature of the person's general counsel or other executive with knowledge of the preparation of the substantiating information, certifying under penalty of perjury and based upon the knowledge and belief of the signatory that:
(A) The substantiating information is true, accurate, and complete; 
(B) The information for which trade secret protection is claimed is not otherwise publicly available; and
(C) There is a reasonable basis to assert trade secret protection for the information so claimed.
(12) Contact information for the individual to be contacted if part of the claimed information is requested to be disclosed under the California Public Records Act. 
(b) The substantiating information required in subsections (a)(1) through (a)(10) shall be provided for each individual trade secret claim, although such information may be incorporated by reference to apply to multiple claims, as appropriate. The requirements of subsections (a)(11) and (a)(12) may be met once for all claims submitted at one time.
(c) A person who asserts a claim of trade secret protection shall also, at the time of submission, provide the Department with both of the following:
(1) A complete copy of the documentation being submitted, which shall include the information for which trade secret protection is claimed; and
(2) A redacted copy of the documentation being submitted, which shall exclude the information for which trade secret protection is claimed. The Department may make the redacted copy of the documentation available to the public at its discretion.
(d) A person who asserts a claim of trade secret protection shall make such assertion at the time of submission by marking the words “Trade Secret”, conspicuously on each page containing the information for which trade secret protection is claimed. A header, footer or watermark may be used for electronic submittals. If no claim of trade secret protection is made at the time of submission, the Department may make the submitted information available in full to the public without further notice.
(e) If the documentation supporting a claim of trade secret protection contains information that is itself subject to a claim of trade secret protection, such supporting documentation shall be separately supplied in both complete and redacted form as required by subsection (c), and marked as required by subsection (d), but shall not itself require further supporting documentation. Such documentation shall be separate from documentation used to comply with other provisions of this chapter.
NOTE

Authority cited: Sections 25150, 25173, 25214.9, 25214.10.2 and 58012, Health and Safety Code. Reference: Sections 25150, 25173 and 25214.9, Health and Safety Code.
HISTORY

1. New article 10 (sections 66273.100-66273.101) and section filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
§66273.101. Department Review of Trade Secrecy Claims.
Note     •     History

(a) Upon receipt of documents or information submitted pursuant to section 66273.100 that contains information identified as being subject to trade secret protection, or at any time thereafter, the Department may review the trade secret claim and supporting information for compliance with the requirements of this article.
(b) If the Department determines that information provided in support of a request for trade secret protection is incomplete or insufficiently responsive, the Department shall: notify the submitter of the Department's finding of insufficiency; identify the specific area(s) for which additional information is needed; provide an explanation as to why the Department has determined the information to be insufficient; and the date by which the submitter must provide the requested information. If the submitter fails to provide the information within the timeframe specified, the Department shall notify the submitter by certified mail that the claimant is out of compliance with this article and that the information claimed to be trade secret will be considered a public record subject to disclosure by the Department thirty (30) days after such notice is mailed. During this 30-day period, the submitter may seek judicial review by filing an action for a preliminary injunction and/or declaratory relief. 
(c) If the Department determines that information provided in support of a request for trade secret protection does not meet the substantive criteria for trade secret designation, the Department shall notify the submitter by certified mail of its determination and that the information claimed to be trade secret will be considered a public record subject to disclosure by the Department thirty (30) days after such notice is mailed. During this 30-day period, the submitter may seek judicial review by filing an action for a preliminary injunction and/or declaratory relief. 
(d) If a person asserting a claim of trade secrecy initiates an action under subsection (b) or (c), the Department may not publicly release or disclose the information that is the subject of the trade secrecy claim until resolution of any court challenge, including appeals, if any.
NOTE

Authority cited: Sections 25150, 25173, 25214.9, 25214.10.2 and 58012, Health and Safety Code. Reference: Sections 25150, 25173 and 25214.9, Health and Safety Code.
HISTORY

1. New section filed 10-15-2012 as an emergency; operative 10-15-2012 (Register 2012, No. 42). Pursuant to Health and Safety Code section 25214.10.2, this emergency regulation shall remain in effect for a period of two years or until revised by the department, whichever occurs sooner.
Chapter 29. Standards for the Management of Used Oil
Article 1. Definitions
§66279.1. Definitions.
Note     •     History

(a) “Exempt used oil” means used oil, in liquid form, which does not require treatment to achieve the minimum standards of purity set forth in Health and Safety Code section 25250.1(a)(3)(B), and which meets all of the requirements of Health and Safety Code section 25250.1(b)(1). Only the generator of the used oil may claim it is exempt used oil. The generator shall comply with the notification, testing, certification and recordkeeping requirements of Health and Safety Code sections 25250.1(b)(2), 25250.18 and 25250.19.
(b) “Household do-it-yourselfer used oil” means oil that is derived from households, such as used oil generated by individuals who generate used oil through the maintenance of their personal vehicles. Household do-it-yourselfer used oil does not include used oil generated by service stations, lube oil shops, or similar businesses.
(c) “Recycled oil” means any oil, in liquid form, produced from used oil, which has been prepared for reuse, which achieves the minimum standards of purity set forth in Health and Safety Code sections 25250.1(a)(3)(B) and 25250.1(b)(1).
(d) “Synthetic oil” means oil derived from coal, oil shale, or polymers, and water-soluble petroleum-based oils. Vegetable or animal oil used as a lubricant, hydraulic fluid, heat transfer fluid or for other similar industrial purposes shall be managed as used oil if it is identified as a non-RCRA hazardous waste. Used vegetable or animal oil identified as RCRA hazardous waste is not used oil.
(e) “Used oil collection center” means:
(1) a used oil collection center defined in Public Resources Code section 48622; or
(2) a recycle-only household hazardous waste collection facility as defined in Health and Safety Code section 25218.1(n); or
(3) a household hazardous waste collection facility as defined in Health and Safety Code section 25218.1(f) and operating pursuant to a permit by rule; or
(4) a collection facility operating pursuant to Health and Safety Code section 25250.11.
(f) “Used oil transfer facility” means a transfer facility as defined in subdivision (a) of Health and Safety Code section 25123.3 that either stores used oil for periods greater than six days, or greater than 10 days for transfer facilities in areas zoned industrial by the local planning agency, or that transfers used oil from one container to another. Used oil transfer facilities are not deemed to be generators of used oil.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25218.8, 25250.1 and 25250.11, Health and Safety Code; and 40 CFR Section 279.1.
HISTORY

1. New chapter 23,  article 1 (section 66279.1) and section  filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
2. New chapter 23, article 1 (section 66279.1) and section  refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Histories 1 and 2 (Register 96, No. 11).
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 44).
5. New chapter 23, article 1 (section 66279.1) and section refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
6. New chapter 23, article 1 (section 66279.1) and section refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction adding new History 4 and renumbering Histories (Register 96, No. 44).
8. New chapter 23, article 1 (section 66279.1) and section refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
10. New chapter 23, article 1 (section 66279.1) and section filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
12. New chapter 29, article 1 (section 66279.1) and section filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
Article 2. Applicability
§66279.10. Applicability.
Note     •     History

(a) Rebuttable presumption. Used oil containing more than 1,000 ppm total halogens is presumed to be a RCRA hazardous waste because it has been mixed with halogenated hazardous waste listed in Subpart D of Part 261, Title 40, Code of Federal Regulations (commencing with section 261.30). 
(1) Generators of used oil shall determine whether used oil managed by them contains more than 1,000 ppm total halogens by:
(A) testing each shipment of used oil for total halogens as specified in section 66279.90(a); or,
(B) applying knowledge of the halogen content of the used oil in light of the materials or processes used. A generator who elects to apply knowledge in lieu of testing to determine if used oil exceeds 1,000 ppm total halogens shall do all of the following:
1. Determine the halogen content of the used oil due to the presence of halogenated substances in the unused product oil. This estimation shall be based upon a review of the product oil label, the material safety data sheet for the product oil if available, the manufacturer's specification for the product oil, consultation with the manufacturer of the product oil, or by other means verifiable by the Department.
2. Determine the halogen content of the used oil due to use. This estimation shall be based on an assessment of whether the equipment or process generating the used oil ordinarily results in the introduction of any halogenated substances into the used oil. Unusual occurrences such as, but not limited to, a break in the seal that ordinarily keeps the oil separated from halogenated substances also be taken into account in making this estimation.
3. Determine the halogen content of the used oil resulting from mixture of the used oil with halogenated substances. (Separate layers, abnormal viscosity, unusual colors, or unusual odors are indicators that mixing has occurred.) In making this determination, the possibility and likelihood that mixture of the used oil with halogenated substances has occurred shall be evaluated. This evaluation may include, but is not limited to, discussions with persons handling the used oil.
4. Add the individual halogen contents in subsections (a)(1)(B)1. through (a)(1)(B)3. to determine if the total halogens in the used oil exceeds 1,000 ppm.
(2) Records of analyses conducted or information used to comply with subsections (a)(1)(A) or (B) above shall be maintained by the generator for at least three years.
(3) Transporters of used oil shall determine, prior to accepting used oil for transport and prior to placing used oil on or in the transport vehicle, whether the used oil contains more than 1,000 ppm total halogens by:
(A) testing each shipment of used oil for total halogens as specified in section 66279.90(a); or,
(B) applying knowledge of the halogen content of the used oil in light of the materials or processes used. A transporter of used oil who elects to apply knowledge in lieu of testing to determine if used oil exceeds 1,000 ppm total halogens may follow the procedures in subsection 66279.10(a)(1)(B) as they apply to generators, or obtain a written certification from each generator of the used oil stating that the generator has determined the used oil does not contain more than 1,000 ppm total halogens by testing the used oil for halogens as specified in subsection 66279.90(a), or by applying knowledge of the halogen content of the used oil, as specified in subsection 66279.10(a)(1)(B).
(4) Used oil transfer facilities shall determine, prior to accepting used oil, whether the used oil contains more than 1,000 ppm total halogens by testing each shipment of used oil for total halogens as specified in section 66279.90(a).
(5) Used oil recycling facilities shall determine, prior to accepting used oil, whether the used oil contains more than 1,000 ppm total halogens by testing each shipment of used oil for total halogens as specified in section 66279.90(a).
(6) Used oil collection centers shall determine whether each shipment of used oil prepared for off-site transport from the collection center location contains more than 1,000 ppm total halogens by testing the used oil for total halogens as specified in section 66279.90(a) or by applying knowledge of the halogen content of the used oil in light of the materials or processes used. An owner or operator of a used oil collection center who elects to apply knowledge in lieu of testing to determine if the used oil contains more than 1,000 ppm total halogens shall follow the procedures in subsection 66279.10(a)(1)(B) as they apply to generators, or obtain a written certification from each generator of the collected used oil stating that the generator has determined the used oil does not contain more than 1,000 ppm total halogens by testing the used oil for halogens as specified in subsection 66279.90(a), or by applying knowledge of the halogen content of the used oil, as specified in subsection 66279.10(a)(1)(B).
(b) Rebutting the rebuttable presumption. Persons may rebut the presumption that used oil containing more than 1,000 ppm total halogens is a hazardous waste because it has been mixed with halogenated hazardous waste in Subpart D of Part 261, Title 40, Code of Federal Regulations (commencing with section 261.30) by demonstrating through analytical testing or other means of demonstration that the used oil does not contain such hazardous waste.
(1) The rebuttable presumption is not rebutted if the used oil contains significant concentrations of any of the individual halogenated hazardous constituents listed as a hazardous spent solvent (i.e., EPA Hazardous Waste Numbers F001 or F002) in Appendix VIII of Part 261, Title 40, Code of Federal Regulations. A significant concentration of any individual halogenated constituent listed as a hazardous spent solvent (i.e., EPA Hazardous Waste Numbers F001 or F002) in section 261.31 of Title 40, Code of Federal Regulations is 100 ppm or greater.
(2) The rebuttable presumption is not rebutted if the used oil contains significant concentrations of any non-solvent individual halogenated hazardous constituents listed in Appendix VIII of Part 261, Title 40, Code of Federal Regulations. Unless the generator demonstrates to the Department that contamination of the used oil occurred solely as a result of use of the oil, Used oil containing any detectable concentrations of non-solvent individual halogenated hazardous constituents listed in Appendix VIII of Part 261, Title 40, Code of Federal Regulations, shall be deemed a significant concentration.
(3) The rebuttable presumption is rebutted if it is demonstrated that the used oil is metalworking oil/fluid containing chlorinated paraffins, if they are processed, through a tolling arrangement as described in Title 40, Code of Federal Regulations section 279.24(c), to reclaim metalworking oil/fluid. However, the rebuttable presumption is not rebutted if such metalworking oil/fluid is recycled in any other manner, is disposed, or has been mixed with other hazardous wastes, including used oil from other sources. Metalworking oil/fluid for which the rebuttable presumption is rebutted remains otherwise subject to regulation as used oil.
(4) The rebuttable presumption is rebutted if it is demonstrated that the used oil is contaminated with chlorofluorocarbons (CFCs) removed from refrigeration units where the CFCs are destined for reclamation. However, the rebuttable presumption is not rebutted if the used oil contaminated with CFCs is from sources other than refrigeration units or if the used oil contaminated with CFCs removed from refrigeration units has been  mixed with other hazardous wastes, including used oil from other sources. Used oil contaminated with CFCs for which the rebuttable presumption is rebutted remains otherwise subject to regulation as used oil.
(5) The rebuttable presumption is rebutted if it is demonstrated that the used oil is exclusively household do-it-yourselfer used oil or used oil collected from a conditionally exempt small quantity generator as defined in section 261.5(a) of Title 40, Code of Federal Regulations.
(A) If the used oil is not exclusively household do-it-yourselfer used oil or used oil collected from a conditionally exempt small quantity generator as defined in section 261.5(a) of Title 40, Code of Federal Regulations, but also contains used oil collected from other sources, then the rebuttable presumption is not rebutted unless it is demonstrated, by testing all sources of oil contained in the collected used oil for total halogens as specified in section 66279.90(a), that the source of the total halogens exceeding 1,000 ppm is solely from household do-it-yourselfer used oil or used oil collected from a conditionally exempt small quantity generator as defined in section 261.5(a) of Title 40, Code of Federal Regulations.
(c) Used oil shall not be intentionally mixed with other hazardous waste, including household hazardous waste and hazardous waste from a conditionally exempt small quantity generator as defined in section 261.5(a) of Title 40, Code of Federal Regulations.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25218, 25218.3, 25218.8, 25250.1, 25250.4 and 25250.7, Health and Safety Code; and 40 CFR Sections 279.1, 279.10(b)(ii), 279.11, 279.20, 279.21, 279.30, 279.40, 279.44 and 279.53.
HISTORY

1. New article 2 (section 66279.10) and section filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (section 66279.10) and section refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Histories 1 and 2 (Register 96, No. 11).
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 44).
5. New article 2 (section 66279.10) and section refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
6. New article 2 (section 66279.10) and section refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction adding new History 4 and renumbering Histories (Register 96, No. 44).
8. New article 2 (section 66279.10) and section refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
10. New article 2 (section 66279.10) and section filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
12. New article 2 (section 66279.10) and section filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 7-22-97 order, including amendment of subsection (a)(1)(B), new subsections (a)(1)(B)1.-(a)(2), subsection renumbering, and amendment of newly designated (a)(3)(B) and (a)(6), transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
Article 3. Standards for Used Oil Generators
§66279.20. Applicability.
Note     •     History

(a) Except as provided in subsection (b) of this section, the requirements of this article apply to all used oil generators. A used oil generator is any person, by site, whose act or process produces used oil or whose act first causes used oil to become subject to regulation.
(b) Individuals who generate household do-it-yourselfer used oil are not subject to regulation under this article.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25218.5, 25250.4, 25250.11 and 25250.15, Health and Safety Code; and 40 CFR 279.1, 40 CFR Part 279 Subpart C.
HISTORY

1. New article 3 (sections 66279.20-66279.21) and section filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 66279.20-66279.21) and section refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Histories 1 and 2 (Register 96, No. 11).
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 44).
5. New article 3 (sections 66279.20-66279.21) and section refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
6. New article 3 (sections 66279.20 and 66279.21) and section refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction adding new History 4 and renumbering Histories (Register 96, No. 44).
8. New article 3 (sections 66279.20 and 66279.21) and section refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
10. New article 3 (sections 66279.20 and 66279.21) and section filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
12. New article 3 (sections 66279.20 and 66279.21) and section filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
§66279.21. Used Oil Generators.
Note     •     History

(a) Generators of used oil shall comply with the requirements of chapter 12 of this division (commencing with Section 66262.10).
(b) Containers and aboveground tanks used to store used oil and fill pipes used to transfer used oil into underground storage tanks shall be marked or clearly labeled with the words “USED OIL.”
NOTE

Authority cited: Sections 25150, 25250.4, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25250.4, Health and Safety Code; and 40 CFR Part 279 Subpart C.
HISTORY

1. New section filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 44).
4. New section refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction adding new History 3 and renumbering Histories (Register 96, No. 44).
7. New section refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
9. New section filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
11. New section filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
Article 4. Standards for Used Oil Collection Centers
§66279.31. Used Oil Collection Centers.
Note     •     History

(a) Applicability. This section applies to owners or operators of used oil collection centers as defined in section 66279.1(e).
(b) Used oil collection center requirements. Owners or operators of used oil collection centers shall:
(1) Comply with the generator standards in article 3 of this chapter (commencing with Section 66279.20).
(2) Obtain any registrations, licenses or permits required by law for the operation of the used oil collection center.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25250.4, 25218.8 and 25250.11, Health and Safety Code; and 40 CFR Part 279 Subpart D.
HISTORY

1. New article 4 (section 66279.31) and section filed 6-22-95 as an emergency; operative 6-22-95 (Register 95, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-95 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (section 66279.31) and section refiled 10-20-95 as an emergency; operative 10-20-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-17-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of section heading and Histories 1 and 2 (Register 96, No. 11).
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 44).
5. New article 4 (section 66279.31) and section refiled 3-14-96 as an emergency; operative 3-14-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-96 or emergency language will be repealed by operation of law on the following day. 
6. New article 4 (section 66279.31) and section refiled 7-9-96 as an emergency; operative 7-9-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-6-96 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction adding new History 4 and renumbering Histories (Register 96, No. 44).
8. New article 4 (section 66279.31) and section refiled 11-1-96 as an emergency; operative 11-1-96 (Register 96, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-3-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-96 order transmitted to OAL 12-23-96 and disapproved 2-6-97 (Register 97, No. 6).
10. New article 4 (section 66279.31) and section filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
12. New article 4 (section 66279.31) and section filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
Article 5. Standards for Used Oil Transporters and Transfer Facilities (66279.40) [Reserved]
Article 6. Standards for Used Oil Recycling Facilities (66279.50) [Reserved]
Article 7. [Reserved]
Article 8. [Reserved]
Article 9. [Reserved]
Article 10. Testing Standards and Recordkeeping Requirements
§66279.90. Testing for Total Halogens and Testing for Rebutting the Presumption That Used Oil Has Been Mixed with Hazardous Waste.
Note     •     History

(a) One or more of the following approved test methods in the United States Environmental Protection Agency “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”, EPA Publication SW-846 [Third Edition, 1986 as amended by Update I (July, 1992), Update II (September, 1994), Update IIA (August, 1993), and Update IIB (January, 1995)] (SW-846) (incorporated by reference, see section 66260.11) shall be used to demonstrate that used oil does not contain above 1,000 ppm total halogens:
(1) Method 9075, Test Method for Total Chlorine in New and Used Petroleum Products by X-Ray Fluorescence Spectrometry (XRF).
(2) Method 9076, Test Method for Total Chlorine in New and Used Petroleum Products by Oxidative Combustion and Microcoulometry.
(3) Method 9077, Test Methods for Total Chlorine in New and Used Petroleum Products (Field Test Kit Methods). Method 9077 including the following:
Method A, Fixed End Point Test Kit Method
Method B, Reverse Titration Quantitative End Point Test Kit Method
Method C, Direct Titration Quantitative End Point Test Kit Method
(b) One or more of the following approved test methods in the United States Environmental Protection Agency “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”, EPA Publication SW-846 [Third Edition, 1986 as amended by Update I (July, 1992), Update II (September, 1994), Update IIA (August, 1993), and Update IIB (January, 1995)] (SW-846) (incorporated by reference, see section 66260.11) shall be used for rebutting the rebuttable presumption in section 66279.10(b) when testing for any of the individual halogenated hazardous constituents listed as a hazardous spent solvent (i.e., EPA Hazardous Waste Numbers F001 or F002) in Appendix VIII of Part 261, Title 40, Code of Federal Regulations:
(1) Method 8010B, Halogenated Volatile Organics by Gas Chromatography.
(2) Method 8021A, Halogenated Volatiles by Gas Chromatography Using Photoionization and Electrolytic Conductivity Detectors in Series: Capillary Column Technique.
(3) Method 8240B, Volatile Organic Compounds by Gas Chromatography/Mass Spectrometry (GC/MS).
(4) Method 8260A, Volatile Organic Compounds by Gas Chromatography/Mass Spectrometry (GC/MS): Capillary Column Technique.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25250.1, 25250.4, 25250.18 and 25250.19, Health and Safety Code; and 40 CFR Part 279 Sections 279.10(b)(1)(ii), 279.11, 279.21(b), 279.44, 279.53, 279.72 and 279.74.
HISTORY

1. New article 10 (sections 66279.90 and 66279.91) and section filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
3. New article 10 (sections 66279.90 and 66279.91) and section filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
§66279.91. Recordkeeping Requirements for Total Halogens Testing and Rebutting the Presumption That Used Oil Has Been Mixed with Hazardous Waste.
Note     •     History

(a) Used oil recycling facilities and used oil transfer facilities shall maintain records of analyses conducted to meet the requirements of section 66279.10 for at least 3 years.
(b) Used oil generators, used oil transporters and used oil collection centers shall maintain records of analyses conducted or information used to meet the requirements of section 66279.10 for at least 3 years.
(c) In addition to the recordkeeping requirements of Health and Safety Code section 25250.1(b) and 25250.19(b), generators claiming that used oil is exempt used oil shall maintain records of analyses conducted or information used to meet the requirements of section 66279.10 for at least 3 years.
NOTE

Authority cited: Sections 25150, 25159, 58004 and 58012, Health and Safety Code. Reference: Sections 25159, 25159.5, 25250.1, 25250.4, 25250.18 and 25250.19, Health and Safety Code; and 40 CFR Part 279 Sections 279.10(b)(1)(ii), 279.11, 279.21(b), 279.44, 279.53, 279.72 and 279.74.
HISTORY

1. New section filed 2-7-97 as an emergency; operative 2-7-97 (Register 97, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-9-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-7-97 order transmitted to OAL 6-6-97 and disapproved 7-22-97 (Register 97, No. 30).
3. New section filed 7-22-97 as an emergency; operative 7-22-97 (Register 97, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-22-97 order transmitted to OAL 11-19-97 and filed 1-5-98 (Register 98, No. 2).
§66300. Applicability.
Note     •     History

NOTE

Authority cited: Sections 208, 25141, 25150 and 25157.3, Health and Safety Code. Reference: Sections 25141, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) and new subsection (c) filed 2-30-83 as an emergency; effective upon filing (Register 84, No. 3 ). A Certificate of Compliance must be transmitted to OAL within 20 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Amendment of subsection(b) and new subsection(c) filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 4). A Certificate of Compliance must be transmitted to OAL within 20 days or emergency language will be repealed on 9-27-84.
4. Amendment of subsections (a) and (b) and new subsection (g) filed 9-27-84; effective thirtieth day thereafter (Register 4, No. 41).
5. Certificate of Compliance as to 5-30-84 order transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 41).
6. New subsections(d), (e) and (f) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
7. Repealer of subsection (g) filed 2-28-91 as an emergency; operative 2-28-91 (Register 91, No. 14). A Certificate of Compliance must be transmitted to OAL by 6-28-91 or emergency language will be repealed by operation of law on the following day.
8. No Certificate of Compliance transmitted to OAL by 6-28-91; subsection (g) as it existed prior to 2-28-91 filing of emergency repeal reinstated. Renumbering and amendment of former section 66300(g) to section 66261.4(b)(2) and repeal of subsections (a) through (f) filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66305. Classification of a Waste as Hazardous or Nonhazardous.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Amendment filed 1-18-85; effective upon filing pursuant to Government Code section 11346.2(d) (Register 85, No. 6).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66310. Variances.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Amendment filed 9-27-84; effective thirtieth day thereafter (Register 84, No. 41).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66315. Other Requirements.
History

HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66316. Application Procedures.
Note     •     History

NOTE

Authority cited: Section 15376, Government Code; and Sections 5150 and 25165, Health and Safety Code. Reference: Section 15376, Government Code; and Sections 25163 and 25200, Health and Safety Code.
HISTORY

1. New section filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66316.1. Determination of Completeness.
Note     •     History

NOTE

Authority cited: Sections 25150, 25159.5 and 25165, Health and Safety Code; and Section 15376, Government Code. Reference: Section 15376, Government Code; Section 124.3, Title 40, Code of Federal Regulations; and Sections 25159.5, 25163 and 25200, Health and Safety Code.
HISTORY

1. New section filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66316.2. Notice to Applicant.
Note     •     History

NOTE

Authority cited: Sections 25150, 25159.5 and 25165, Health and Safety Code; and Section 15376, Government Code. Reference: Section 15376, Government Code; and Sections 25163 and 25200, Health and Safety Code.
HISTORY

1. New section filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66316.3. Application Time Periods for Processing a Permit Based on Actual Performance.
Note     •     History

NOTE

Authority cited: Section 15376, Government Code; and Sections 5150 and 25165, Health and Safety Code. Reference: Section 15376, Government Code; and Sections 25163 and 25200, Health and Safety Code.
HISTORY

1. New section filed 2-26-85; effective thirtieth day thereafter (Register 85, No. 9).
2. Editorial correction filed 4-15-85; effective thirtieth day thereafter (Register 85, No. 16).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66320. Enforcement.
History

HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 2).
§66328. Inspections.
Note     •     History

NOTE

Authority cited: Section 25191.7, Health and Safety Code. Reference: Section 25191.7, Health and Safety Code; and Sections 254 and 6255, Government Code.
HISTORY

1. New section filed 2-29-84; effective upon filing pursuant to Government Code section 11346.2 (d) (Register 84, No. 9).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22). 
§66336. Orders of the Director.
History

HISTORY

1. Repealer filed 5-25-91; effective 7-1-91 (Register 91, No. 22).
§66344. Appeal.
History

HISTORY

1. Repealer filed 5-25-91; effective 7-1-91 (Register 91, No. 22).
§66352. Records of Hearings.
History

HISTORY

1. Repealer filed 5-25-91; effective 7-1-91 (Register 91, No. 22).
§66360. Delegation of Enforcement Authority.
History

HISTORY

1. Repealer filed 5-25-91; effective 7-1-91 (Register 91, No. 22).
§66362. Rewards for Enforcements.
Note     •     History

NOTE

Authority cited: Section 25191.7, Health and Safety Code. Reference: Section 25191.7, Health and Safety Code; and Sections 6254 and 6255, Government Code.
HISTORY

1. New section filed 2-29-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 9).
2. Repealer filed 5-25-91; effective 7-1-91 (Register 91, No. 22).
§66364. Award and Payment of Reward Claims.
Note     •     History

NOTE

Authority cited: Section 25191.7, Health and Safety Code. Reference: Section 25191.7, Health and Safety Code.
HISTORY

1. New section filed 2-29-84; effective upon filing pursuant to Government Code section 11346.2(d) (Register 84, No. 9).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66370. Requirement for Hazardous Waste Facility Permit.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Amendment of subsection(d) filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 ays or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Amendment of subsection(d) filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 41).
5. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
6. Editorial correction deleting former History 6 (Register 95, No. 21).
§66371. Scope of Permit Requirement.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150 and 25200.2, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. New subsection(b)(4) filed 4-19-88 as an emergency; operative 4-19-88 (Register 88, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-17-88.
3. New subsection(b)(4) refiled 8-17-88 as an emergency; operative 8-17-88 (Register 88, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-15-88.
4. Certificate of Compliance including amendment of subsection(b)(4) transmitted to OAL 12-15-88 and filed 1-17-89 (Register 89, No. 6).
5. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66372. Application for a Permit.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66373. Signatories to Permit Applications and Reports.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66374. Conditions Applicable to All Permits.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66376. Establishing Permit Conditions.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66377. Duration of Permits.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66378. Schedules of Compliance.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66379. Requirements for Recording and Reporting of Monitoring Results.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66381. Transfer of Permits.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66382. Modification or Revocation and Reissuance of Permits.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66383. Termination and Denial of Permits.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66384. Procedures for Modification, Revocation and Reissuance, or Termination of Permits.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66385. Minor Modifications of Permits.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66387. Confidentiality of Information.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66388. Time Frames for Applications for a Permit.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66389. Interim Status.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
3. Editorial correction of section heading (Register 95, No. 21).
§66390. Contents of Part A of the Application.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66391. Contents of Part B of the Application.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Subsection(a) of Section 25150, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22). 
§66392. Permits by Rule.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150 and 25200.2, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No 2).
2. New subsection (d) filed 4-19-88 as an emergency; operative 4-19-88 (Register 88, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-17-88.
3. New subsection (d) refiled 8-17-88 as an emergency; operative 8-17-88 (Register 88, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-15-88.
4. Certificate of Compliance including amendment of subsection (d) transmitted to OAL 12-15-88 and filed 1-17-89 (Register 89, No. 6).
5. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66393. Short-Term and Phased Permits.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. New subsection (d) filed 12-21-88; operative 1-20-89 (Register 88, No. 53).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66393.1. Emergency Permits and Grants of Authorization to Handle, Treat, Store, Transport, or Dispose of Hazardous Waste.
Note     •     History

NOTE

Authority cited: Section 25201, Health and Safety Code. Reference cited: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency; operative 10-23-89 (Register 89, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-20-90.
2. Repealed by operation of Government Code section 11346.1(g) filed 1-22-91 (Register 91, No. 19).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66394. Draft Permits.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66395. Fact Sheet.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66396. Public Notice of Permit Actions and Public Comment Period.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66397. Public Comments and Requests for Public Hearings.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22). 
§66398. Public Hearings.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66399. Response to Comments.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66402. Modification of Processing Methods or Proposed Closure by Operator.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66405. Change of Operator.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66408. Transfer of Hazardous Waste Facility Permit.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66420. Registration of Haulers of Hazardous Waste.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66428. Application for Registration as a Hazardous Waste Transporter.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25168.1, Health and Safety Code. Reference: Sections 25159, 25163, 25168, 25168.2, 5169 and 25186, Health and Safety Code.
HISTORY

1. New section filed 10-6-81 as an emergency; effective upon filing (Register 81, No. 42). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-3-82.
2. Certificate of Compliance including amendment of subsections (a) (1) (B) and (a) (2) (A) and (B) transmitted to OAL 2-2-82 and filed 3-8-82 (Register 82, No. 11).
3. Amendment filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
4. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66432. Term of Registration.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25168.1, Health and Safety Code. Reference: Sections 25159, 25163, 25165, 25166 and 5167, Health and Safety Code.
HISTORY

1. New section filed 10-6-81 as an emergency; effective upon filing (Register 81, No. 42). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-3-82.
2. Certificate of Compliance transmitted to OAL 2-2-82 and filed 3-8-82 (Register 82, No. 11).
3. Amendment filed 1-3-85; effective thirtieth day thereafter Register 85, No. 2).
4. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66434. Inspection of Transporter.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25168.1, Health and Safety Code. Reference: Sections 25159, 25168, 25168.2, 25169.1, 5185 and 25186, Health and Safety Code.
HISTORY

1. New section filed 10-6-81 as an emergency; effective upon filing (Register 81, No. 42). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-3-81.
2. Certificate of Compliance including amendment of subsection (a)(1) transmitted to OAL 2-2-82 and filed 3-8-82(Register 82, No. 11).
3. Amendment filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
4. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66436. Liquid Waste Haulers Registered by the State Water Resources Control Board.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Amendment filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66444. Issuance of Registration as a Hazardous Waste Hauler.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Amendment filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66448. Certificate of Compliance.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25168.1, Health and Safety Code. Reference: Sections 25159, 25168.3 and 25169.1, Health and Safety Code.
HISTORY

1. New section filed 10-6-81 as an emergency; effective upon filing (Register 81, No. 42). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-3-82.
2. Certificate of Compliance transmitted to OAL 2-2-82 and filed 3-8-82 (Register 82, No. 11).
3. Amendment filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
4. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66450. Transporter Registration Reporting Requirements.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25168.1, Health and Safety Code. Reference: Sections 25159, 25163, 25168.2, 25169 and 5186, Health and Safety Code.
HISTORY

1. New section filed 10-6-81 as an emergency; effective upon filing (Register 81, No. 42). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-3-82.
2. Certificate of Compliance including amendment of subsections (a) (1)-(2) and (b) transmitted to OAL 2-2-82 and filed 3-8-82 (Register 82, No. 11).
3. Amendment filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
4. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66452. Suspension or Revocation of Registration as a Hazardous Waste Hauler.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Amendment of subsections (d) and (e) filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66460. Petition for Reinstatement as a Registered Hazardous Waste Hauler.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66465. Hazardous Waste Containers.
Note     •     History

NOTE

Authority cited: section 25168.1, Health and Safety Code. Reference: Section 25168.1, Health and Safety Code.
HISTORY

1. New section filed 3-27-85; effective thirtieth day thereafter (Register 85, No. 13).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66470. Scope and Applicability.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66471. Hazardous Waste Determination Requirement for the Generator.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66472. EPA Identification Numbers for the Generator.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66475. Manifest Procedures for Producer.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66480. General Requirements for Manifest Use by the Generator.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66481. Hazardous Waste Manifest.
Note     •     History

NOTE

Authority cited: Sections 208 and 25161, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66482. Information Required on the Manifest.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-82; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66484. Generator Use of the Manifest.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66485. Manifest Procedures for Operator of Off-Site Facility.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66490. Disposal of Hazardous Waste on Land.
Note     •     History

NOTE

Authority cited: Sections 208, 2510 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66492. Recordkeeping Requirements for the Generator.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66493. Biennial Reporting Requirements for the Generator.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25155.5, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Relettering of former subsection (b) to subsection (c), and new subsection (b) filed 12-11-89; operative 1-1-90 (Register 9, No. 50).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66495. Special Measures Required by Department.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66500. Incompatible Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25210 and 25159, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66504. Packaging, Labeling, Placarding and Marking Requirements for the Generator.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66505. Operation Requirements for Producer.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter Register 85, No. 2).
§66508. Accumulation Time for the Generator.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66510. Operation Requirements for Hauler.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Amendment filed 10-6-81 as an emergency; effective upon filing (Register 81, No. 42). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-3-82.
3. Certificate of compliance including amendment of subsection (h) transmitted to OAL 2-2-82 and filed 3-8-82 (Register 82, No. 11).
4. Renumbering and amendment of Section 66510 to Section 6545 filed 1-3-85; effective thirtieth day thereafter (Register 5, No. 2).
5. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66515. International Shipments.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66520. Personnel Requirements for Operator.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66525. Equipment Requirements for Operator.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66530. Applicability.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Editorial correction of Article 6.5 heading (Register 85, No. 9).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66531. EPA Identification Number for Transporters.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66532. Transfer Station Exemption.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66535. Storage of Hazardous Waste.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Amendment of subsection (g) filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 18).
2. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66540. Operation Requirements for Operator of a Disposal Site.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66541. Manifest Procedures for the Transporter.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66543. Transporter Compliance with the Manifest.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66544. Recordkeeping Requirements for the Transporter.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66545. Operation Requirements for the Transporter.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25168.1, Health and Safety Code. Reference: Sections 25163, 25168, 25168.2, 25169.1 and 25186, Health and Safety Code.
HISTORY

1. Repealer of former Section 66545 and renumbering and amendment of former Section 66510 to Section 66545 filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2). For History of former Section 66510, see Register 82, No. 11.
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66550. Monthly Reports by Operator of Off-Site Hazardous Waste Facility.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66555. Monthly Reports by Operator of On-Site Hazardous Waste Facility.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66560. Accident Reports.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150 and 25159, Health and Safety Code.
HISTORY

1. Repealer filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
§66563. Immediate Action by the Transporter in the Case of a Hazardous Waste Discharge.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66564. Discharge Cleanup.
Note     •     History

NOTE

Authority cited: section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New section filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66565. General Requirements.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25161, Health and Safety Code. Reference: Sections 25143, 25160, 25168, 25169 and 5169.1, Health and Safety Code.
HISTORY

1. New section filed 1-31-90; operative 3-2-90 (Register 90, No. 5).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66566. Requirements for Milkrun Transporters.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25161, Health and Safety Code. Reference: Sections 25117.9, 25143, 25160, 25168, 5169 and 25169.1, Health and Safety Code.
HISTORY

1. New section filed 1-31-90; operative 3-2-90 (Register 90, No. 5).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66567. Requirements for Emergency Response Incident Transporters.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25161, Health and Safety Code. Reference: Sections 25143, 25160, 25168, 25169 and 5169.1, Health and Safety Code.
HISTORY

1. New section filed 1-31-90; operative 3-2-90 (Register 90, No. 5).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66568. Requirements for PCB Waste Transporters.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25161, Health and Safety Code. Reference: Sections 25143, 25160, 25168, 25169 and 5169.1, Health and Safety Code.
HISTORY

1. New section filed 1-31-90; operative 3-2-90 (Register 90, No. 5).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66569. Requirements for Consolidation Transporters.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25161, Health and Safety Code. Reference: Sections 25143, 25160, 25168, 25169 and 5169.1, Health and Safety Code.
HISTORY

1. New section filed 1-31-90; operative 3-2-90 (Register 90, No. 5).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66569.5. Requirements for Small Load Transporters.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25161, Health and Safety Code. Reference: Sections 25143, 25160, 25168, 25169 and 5169.1, Health and Safety Code.
HISTORY

1. New section field 1-31-90; operative 3-2-90 (Register 90, No. 5).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66570. Requirement for Extremely Hazardous Waste Disposal Permit.
History

HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66595. Application for Extremely Hazardous Waste Disposal Permit.
History

HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66596. Emergency Waiver.
Note     •     History

NOTE

Authority cited: Section 25201, Health and Safety Code. Reference cited: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency; operative 10-23-89 (Register 89, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-20-90.
2. Repealed by operation of Government Code Section 11346.1(g) (Register 91, No. 22).
§66620. Removal of Spilled or Improperly Deposited Waste.
History

HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66645. Recurring Disposal of Extremely Hazardous Waste.
History

HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66670. Fees for Off-Site Disposal.
Note     •     History

NOTE

Authority and reference cited: Section 208, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) (2) filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Amendment filed 7-8-83 as an emergency; effective upon filing (Register 83, No. 30).
3. Order of Repeal of 7-8-83 emergency order filed 7-18-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 30).
4. Amendment filed 4-30-84 as an emergency; designated effective 7-1-84 (Register 84, No. 19).
5. Order of Repeal of 4-30-84 emergency order filed 5-7-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 9).
6. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66672. Fees for On-Site Disposal.
History

HISTORY

1. Amendment filed 7-8-83 as an emergency; effective upon filing (Register 83, No. 30).
2. Order of Repeal of 7-8-83 emergency order filed 7-18-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 30).
3. Amendment filed 4-30-84 as an emergency; designated effective 7-1-84 (Register 84, No. 19).
4. Order of Repeal of 4-30-84 emergency order filed 5-7-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 9).
5. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66674. Payment of Fees.
Note     •     History

NOTE

Authority cited: Sections 208 and 25174, Health and Safety Code. Reference: section 25174, Health and Safety Code.
HISTORY

1. Repealer filed 4-30-84 as an emergency; designated effective 7-1-84 (Register 84, No. 19). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-29-84.
2. Repealer transmitted to OAL 4-30-84 and approved for refiling on 5-29-84; filed 11-20-84 due to an inadvertent technical error; designated effective 7-1-84 (Register 84, No. 7).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
4. Editorial correction of History 1 (Register 95, No. 50).
§66676. Waiver of Fee.
History

HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66680. Lists of Chemical Names and Common Names.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Sections 25140 and 25141, Health and Safety Code.
HISTORY

1. Amendment filed 9-27-84; effective thirtieth day thereafter (Register 84, No. 41).
2. Editorial correction of subsection (d) and NOTE filed10-5-84; designated effective 10-27-84 (Register 84, No. 41)
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66685. List of Extremely Hazardous Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Repealer of Article 10 (Section 66685) filed 9-27-84; effective thirtieth day thereafter (Register 84, No. 41).
§66693. Applicability of Hazardous Waste Criteria.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. New Article 11 (Sections 66693-66723, not consecutive) filed 9-27-84; effective thirtieth day thereafter (Register 84, No. 41).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66694. Sampling and Sample Management.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Editorial correction filed 10-5-84; designated effective 10-27-84 (Register 84, No. 41).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66696. Toxicity Criteria.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Editorial correction filed 10-5-84; designated effective 10-27-84 (Register 84, No. 41).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
3. Editorial correction of HISTORY 1. (Register 91, No. 30).
§66699. Persistent and Bioaccumulative Toxic Substance.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Editorial correction filed 10-5-84; designated effective 10-27-84 (Register 84, No. 41).
2. Editorial correction of printing error incorrectly stating weights for cobalt and silver substances (Register 90, No. 41).
3. Repealer filed 5-24-91; effective 7-1-90 (Register 91, No. 22).
§66700. Waste Extraction Test (WET).
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Editorial correction filed 10-5-84; designated effective 10-27-84 (Register 84, No. 41).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66702. Ignitability Criteria.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66705. Reactivity Criteria.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66708. Corrosivity Criteria.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Editorial correction filed 10-5-84; designated effective 10-27-84 (Register 84, No. 41).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66717. Applicability of Extremely Hazardous Waste Criteria.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66720. Extremely Hazardous Criteria.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Editorial correction filed 10-5-84; designated effective 10-27-84 (Register 84, No. 41).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66723. Total Threshold Limit Concentration Values of Persistent and Bioaccumulative Toxic Substances in Extremely Hazardous Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25141 and 25150, Health and Safety Code. Reference: Section 25141, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66730. Contaminated Containers.
Note     •     History

NOTE

Authority cited: Sections 208, 25140, 25143 and 25150, Health and Safety Code. Reference: Sections 25117, 25140 and 25143, Health and Safety Code.
HISTORY

1. New section filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66740. List of Special Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25140, 25143 and 25150, Health and Safety Code. Reference: Sections 25117, 25140 and 25143, Health and Safety Code.
HISTORY

1. New section filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66742. Criteria and Requirements of a Special Waste.
Note     •     History

NOTE

Authority cited: Sections 208, 25141, 25143 and 25150, Health and Safety Code. Reference: Sections 25117 and 25143, Health and Safety Code.
HISTORY

1. New section filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66744. Classification of a Waste as a Special Waste.
Note     •     History

NOTE

Authority cited: Sections 208, 25143 and 25150, Health and Safety Code. Reference: Section 25143, Health and Safety Code.
HISTORY

1. New section filed 4-30-85; effective thirtieth day thereafter. (Register 85, No. 18).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66746. Management of Special Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25245, Health and Safety Code. Reference: Sections 25150, 25200, 25200.5, 25201, 25245 and 25246, Health and Safety Code.
HISTORY

1. New section filed 4-30-85; effective thirtieth day thereafter (Register 85, No. 18).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66747. List of Approved Treatment Processes, Influent Waste Streams.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150 and 25200.2, Health and Safety Code.
HISTORY

1. New section filed 4-19-88 as an emergency; operative 4-19-88 (Register 88, No. ). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-17-88.
2. New section refiled 8-17-88 as an emergency; operative 8-17-88 (Register 88, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-15-88.
3. Certificate of Compliance including amendment transmitted to OAL 12-15-88 and filed 1-17-89 (Register 89, No. 6).
4. Amendment of subsection (a)(5) filed 6-1-89; operative 7-1-89 (Register 89, No. 32).
5. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66763. Recyclable Hazardous Waste Disposal Statement.
Note     •     History

NOTE

Authority cited: Section 25175, Health and Safety Code. Reference: Sections 25175 and 27159.5, Health and Safety Code.
HISTORY

1. New Article 12 (Sections 66763 and 66796) filed 5-16-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Amendment filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66796. List of Recyclable Hazardous Waste Types.
Note     •     History

NOTE

Authority cited: Section 25175, Health and Safety Code. Reference: Section 25175, Health and Safety Code.
HISTORY

1. Amendment of subsection (b)(2)(A) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66798. Requirements for Generator of Recyclable Material.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25170, Health and Safety Code. Reference: Sections 25153, 25154 and 25170, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66800. Requirements for Transporter of Recyclable Material.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25170, Health and Safety Code. Reference: Sections 25154 and 25170, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66802. Requirements for Operator of a Resource Recovery Facility.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150, 25170, 25200 and 25201, Health and Safety Code. Reference: Sections 25153, 25154, 25170, 25200 and 25201, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66804. Exclusions.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25170, Health and Safety Code. Reference: Sections 14551 and 15051, Food and Agricultural Code; and Section 25170, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66806. Series `A' Resource Recovery Facility Permit.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150, 25159.5, 25170, 25200 and 25201, Health and Safety Code. Reference: Sections 25159.5, 25170, 25200 and 25201, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Editorial correction of printing error of subsection (b)(1)(C) (Register 86, No. 24).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66808. Series B Resource Recovery Facility Permit.
Note     •     History

NOTE

Authority cited: Sections 208, 2513, 25150, 25159.5, 25170, 25200, 25201 and 25246, Health and Safety Code. Reference: Sections 25159.5, 25170, 25200 and 25201, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66810. Series C Resource Recovery Facility Permit.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150, 25170, 25200 and 25201, Health and Safety Code. Reference: Sections 25159.5, 25170, 25200 and 25201, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66812. Criteria for Compliance.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25170, Health and Safety Code. Reference: Section 25170, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66814. General Provisions for Resource Recovery Facilities.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25170, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66816. Agricultural Use of Recyclable Material: Generator Requirements.
Note     •     History

NOTE

Authority cited: Sections 208, 24143, 25150, 25154, 25155, 25159.5 and 25170, Health and Safety Code. Reference: Sections 25143, 25159.5 and 25170, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66818. Agricultural Use of Recyclable Material: Transporter Requirements.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25160, 25163 and 25170, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66820. Agricultural Use of Recyclable Material: Operator Requirements.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25170, Health and Safety Code. Reference: Section 25170, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66822. Management of Spent Lead-Acid Storage Batteries.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25170, Health and Safety Code. Reference: Sections 25123.3, 25160, 25163, 25170 and 25201, Health and Safety Code; and Section 173.260, Title 49, Code of Federal Regulations.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Amendment of subsections (a)(1) and (a)(9), repealer of subsections (a)(5)(D) and (a)(6)(E), and new subsections (b)-(d) filed 4-25-89 as an emergency; operative 4-25-89 (Register 89, No. 17). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-23-89.
3. Certificate of Compliance as to 4-25-89 order transmitted to OAL 7-14-89 and filed 8-14-89 (Register 89, No. 33).
4. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66823. Management of Waste Elemental Mercury.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150 and 25170, Health and Safety Code. Reference: Sections 25160, 25163, 25170 and 25201, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66824. Samples.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150, 25159.5 and 25201, Health and Safety Code. Reference: Sections 25159.5 and 25170, Health and Safety Code.
HISTORY

1. New section filed 7-29-85; effective thirtieth day thereafter (Register 85, No. 31).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66826. Exemption from the Use-Constituting-Disposal Restriction.
Note     •     History

NOTE

Authority cited: Sections 208, 25143.2(e), 25150, 25159, 25170 and 25179.6, Health and Safety Code. Reference: Sections 25143.2, 25150, 25159, 25163, 25170 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 4-23-90 as an emergency; operative 5-8-90 (Register 90, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 9-6-90.
2. New section refiled 9-6-90 as an emergency; operative 9-6-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-4-91 or emergency language will be repealed by operation of law on the following day.
3. New section filed 12-31-90 as an emergency; operative 1-4-91 (Register 91, No. 11). A Certificate of Compliance must be transmitted to OAL by 5-6-91 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-6-91 as an emergency; operative 5-6-91 (Register 91, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
5. Renumbering and amendment of former section 66826 to section 66261.1, subsection (a)(5), filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§66828. Management of Used Oil Filters.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150, 25159.5, and 25175, Health and Safety Code.
HISTORY

1. New section filed 3-29-91 as an emergency; operative 3-29-91 (Register 91, No. 16). A Certificate of Compliance must be transmitted to OAL by 7-29-91 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of operative date and Certificate of Compliance transmittal date in HISTORY 1. (Register 91, No. 22).
3. Amendment and renumbering of former section 66828 to section 66266.130 filed 6-25-91 as an emergency; operative 7-1-91 (Register 91, No. 42). A Certificate of Compliance must be transmitted to OAL by 10-29-91 or emergency language will be repealed by operation of law on the following day.
§66835. Requirements for Producers of Infectious Waste.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25157.3, Health and Safety Code. Reference: Sections 1204, 1250, 25118 and 25143, Health and Safety Code.
HISTORY

1. New Article 13 (Sections 66835-66865, not consecutive) filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. New Article 13 (Sections 66835-66865, not consecutive) filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 41).
5. Amendment of subsections (a) and (b) filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 41).
6. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66840. Storage and Containment of Infectious Waste.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25157.3, Health and Safety Code. Reference: Sections 25117.11, 25117.12, 25123.3 and 25201, Health and Safety Code; and Section 4143, Business and Professions Code.
HISTORY

1. Amendment of subsections (d), (j) and (k) filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 41).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66845. Treatment and Disposal of Infectious Waste.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25157.3, Health and Safety Code. Reference: Sections 7054.3, 7054.4, 25143, 25170 and 25957, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 41).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66850. Transfer of Infectious Waste to Off-Site Treatment and Disposal Facilities.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25157.3, Health and Safety Code. Reference: Sections 25143, 25163 and 25168.1, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66855. Infectious Waste Treatment, Storage and Disposal Facility Requirements.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25157.3, Health and Safety Code. Reference: Sections 25143, 25200, 25200.5, 25201 and 25202, Health and Safety Code.
HISTORY

1. Amendment of subsections (b)(4) and (b)(7) filed 10-16-84; effective thirtieth day thereafter (Register 84, No. 41).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66860. Manifest Requirements for Infectious Waste Transport and Disposal.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25157.3, Health and Safety Code. Reference: Sections 25143 and 25160, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66865. Enforcement and Inspections.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25157.3, Health and Safety Code. Reference: Sections 25153 and 25180, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66880. Prohibition of Sale.
Note     •     History

NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66883. Prohibition of Use.
Note     •     History

NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66886. Criteria for Identifying a Toxic Chemical Substance.
Note     •     History

NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66889. Criteria for Identifying a Nonbiodegradable Toxic Chemical Substance.
Note     •     History

NOTE

Authority and reference cited: Section 208, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(2) filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66892. Disclosure of Identity, Composition, and Properties.
Note     •     History

NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66895. Enforcement and Inspections.
Note     •     History

NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66898. Applicability of Other Requirements of This Chapter.
Note     •     History

NOTE

Authority and reference cited: Section 208, Health and Safety Code.
HISTORY

1. Amendment filed 5-10-79; effective thirtieth day thereafter (Register 79, No. 19).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66900. List of Restricted Hazardous Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25140, 25150, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 15 (Sections 66900-66935, not consecutive) filed 12-23-82; effective thirtieth day thereafter (Register 82, No. 52).
2. Editorial correction of subsections (a) and (b) filed 12-28-82 (Register 82, No. 52).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66905. Land Disposal Restrictions and Schedule.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Editorial correction of subsections (b), (c) and (d) filed 12-28-82 (Register 82, No. 52).
2. Amendment of subsection(a)(4) filed 7-2-85; effective on filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 27).
3. Amendment of subsection (a)(4) filed 7-8-87 as an emergency; operative 7-8-87 (Register 87, No. 29). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-5-87.
4. Certificate of Compliance transmitted to OAL 10-30-87 and filed 11-20-87 (Register 87, No. 48).
5. Amendment of subsection (a)(4) changing July 8, 1989 to July 8, 1992 filed 5-30-89 as an emergency; operative 5-30-89 (Register 89, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-89.
6. Certificate of Compliance transmitted to OAL 8-22-89 and filed 9-20-89 (Register 89, No. 38).
7. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66910. Land Disposal of Lab Packs Containing Restricted Hazardous Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6 and 25179.9, Health and Safety Code.
HISTORY

1. Editorial correction of subsections (a), (b) and (c) filed 12-28-82 (Register 82, No. 52).
2. Redesigning former subsections (a)-(d) to subsections (a)(2)-(a)(5) and new subsections (a)(1) and (b) filed 5-24-89; operative 6-23-89 (Register 89, N0. 22).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66915. Dilution of Restricted Hazardous Wastes.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150 and 25154, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66920. Permit Conditions.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150 and 25202, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66925. Categorical Exemptions from Land Disposal Restrictions.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (a)(2) filed 12-28-82 (Register 82, No. 52).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66930. Variances from Land Disposal Restrictions.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25152, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (d) filed 12-28-82 (Register 82, No. 52).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66935. Emergency Variances.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25150, 25152, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66940. Hazardous Waste with Heating Values Greater Than 3,000 British Thermal Units per Pound of Waste.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25155.5, Health and Safety Code.
HISTORY

1. New section filed 12-11-89; operative 1-1-90 (Register 89, No. 50).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66941. Hazardous Waste Containing More Than One Percent of Volatile Organic Compounds.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25123.6 and 25155.5, Health and Safety Code.
HISTORY

1. New section filed 12-11-89; operative 1-1-90 (Register 89, No. 50).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66942. Treatment Capacity Exemption.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25155.5, Health and Safety Code.
HISTORY

1. New section filed 12-11-89; operative 1-1-90 (Register 89, No. 50).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66944. Emergency Variance from Sections 66940 and 66941.
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25155.7, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. New section filed 12-11-89; operative 1-1-90 (Register 89, No. 50).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66951. Selection Criteria.
Note     •     History

NOTE

Authority cited: Section 25356(a), Health and Safety Code. Reference: Section 25356(a), Health and Safety Code.
HISTORY

1. New section filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52).
2. Editorial correction adding Article heading filed 3-6-85 (Register 85, No. 9).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§66953. Site Ranking Criteria.
Note     •     History

NOTE

Authority cited: Section 25356(a), Health and Safety Code. Reference: Section 25356(a), Health and Safety Code.
HISTORY

1. New section filed 12-28-84; effective thirtieth day thereafter (Register 84, No. 52).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67001. Applicability.
Note     •     History

NOTE

Authority cited: Sections 208, 25143, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159.5, 25245 and 25246, Health and Safety Code.
HISTORY

1. New Article 17 (Sections 67001-67033) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67002. Cost Estimate for Closure.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159.5, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67003. Financial Assurance for Closure.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67004. Closure Trust Fund.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159.5, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67005. Surety Bond Guaranteeing Payment into a Closure Trust Fund.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67006. Surety Bond Guaranteeing Performance of Closure.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67007. Closure Letter of Credit.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67008. Closure Insurance.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67009. Financial Test and Corporate Guarantee for Closure.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67010. Alternative Financial Mechanism for Closure Costs.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25245, Health and Safety Code. Reference: Sections 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67011. Use of Multiple Financial Mechanisms for Closure Costs.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67012. Use of One Financial Mechanism for Multiple Facilities for Closure Costs.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67013. Release from Financial Assurance Requirements for Closure Costs.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67014. Cost Estimate for Post-Closure Care and Maintenance.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67015. Financial Assurance for Post-Closure Care.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67016. Post-Closure Trust Fund.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67017. Surety Bond Guaranteeing Payment into a Post-Closure Trust Fund.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67018. Surety Bond Guaranteeing Performance of Post-Closure Care.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67019. Post-Closure Letter of Credit.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67020. Post-Closure Insurance.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67021. Financial Test and Corporate Guarantee for Post-Closure Care.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67022. Alternative Financial Mechanism for Post-Closure Care.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25245, Health and Safety Code. Reference: Sections 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67023. Use of Multiple Financial Mechanisms for Post-Closure Care.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67024. Use of Single Financial Mechanism for Multiple Facilities for Post-Closure Care.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67025. Release from Financial Assurance Requirements for Post-Closure Care.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67026. Use of a Mechanism for Financial Assurance of Both Closure and Post-Closure Care.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67027. Liability Requirements: Coverage for Sudden Accidental Occurrences.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67028. Liability Requirements: Coverage for Nonsudden Accidental Occurrences.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67029. Liability Insurance.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67030. Financial Test for Liability Coverage.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 25245 and 25246, Health and Safety Code.
HISTORY

1. Amendment of subsections (b) and (c)(1)(A) filed 1-17-89; operative 1-17-89 (Register 89, No. 6).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67031. Liability Coverage--Alternative Mechanism.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25245, Health and Safety Code. Reference: Sections 25245 and 25246, Health and Safety Code.
HISTORY

1. Amendment of subsections (b), (c) and (e) filed 1-17-89; operative 1-17-89 (Register 89, No. 6).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67032. Period of Coverage.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 2519, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67033. Incapacity of Owners or Operators, Guarantors or Financial Institutions.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25245, Health and Safety Code. Reference: Sections 25159, 5245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67034. Financial Assurance for Closure of Transportable Treatment Units Which Are Permitted by Rule.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150, 25200.2 and 25245, Health and Safety Code.
HISTORY

1. New section filed 4-19-88 as an emergency; operative 4-19-88 (Register 88, No. 18). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-17-88.
2. New section refiled 8-17-88 an emergency; operative 8-17-88 (Register 88, No. 34). A Certificate of Compliance must transmitted to OAL within 120 days or emergency language will be repealed on 12-15-88.
3. Certificate of Compliance including amendment of subsection (a)(1) transmitted to OAL 12-15-88 and filed 1-17-89 (Register 89, No. 6).
4. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67035. Liability Requirements: Coverage for Sudden Accidental Occurrences for Transportable Treatment Units Which Are Permitted by Rule.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150, 25200.2 and 25245, Health and Safety Code.
HISTORY

1. New section filed 4-19-88 as an emergency; operative 4-19-88 (Register 88, No. ). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-17-88.
2. New section refiled 8-17-88 as an emergency; operative 8-17-88 (Register 88, No. 34). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-15-88.
3. Certificate of Compliance transmitted to OAL 12-15-88 and filed 1-17-89 (Register 89, No. 6).
4. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67100. EPA Identification Number.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 18 (Sections 67100-67108, not consecutive) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
Chapter 31. Waste Minimization
Article 1. Hazardous Waste Source Reduction and Management Review
§67100.1. Definitions.
Note     •     History

For the purpose of this article, the following definitions shall apply:
(a) “Appropriate local agency” means a county, city, or regional association which has adopted a hazardous waste management plan pursuant to Article 3.5, Chapter 6.5, Division 20, Health and Safety code (commencing with section 25135).
(b) “Baseline year” is any of the following, whichever is applicable:
(1) For a generator's initial report, the baseline year is the calendar year, selected by the generator, for which substantial hazardous waste generation, or onsite or offsite management data is available, except the generator may select the current reporting year as the baseline year for the initial report.
(2) For all subsequent reports, the baseline year is the reporting year of the immediately preceding report.
(c) “Concentration” means the amount of a given substance in a stated unit of mixture, solution or waste. For purposes of this article it also means the range of components typically found in the waste.
(d) “Hazardous waste management approaches” means methods and techniques of controlling the generation and handling of hazardous waste, including source reduction, recycling, and treatment of hazardous waste.
(e) “Hazardous waste management performance report” or “report” means the report required by section 67100.7(a) of these regulations to document and evaluate the results of hazardous waste management practices.
(f) “Laboratory” means a facility where the “laboratory use of hazardous chemicals” occurs. It is a workplace where relatively small quantities of hazardous chemicals are used on a non-production basis.
(g) “Laboratory scale” means work with substances in which the containers used for reactions, transfers, and other handling of substances are designed to be easily and safely manipulated by one person. “Laboratory scale” excludes those workplaces whose function is to produce commercial quantities of material.
(h) “Laboratory use of hazardous chemicals” means handling or use of such materials in which all of the following conditions are met:
(1) Chemical manipulations are carried out on a “laboratory scale”;
(2) Multiple chemical procedures or chemicals are used; and
(3) The procedures involved are not part of a production process, nor in any way simulate a production process.
(i) “Motor vehicle fluids” includes all fluids associated with the operation of a vehicle that is self propelled, for example, transmission oil, hydraulic fluid, brake fluid, antifreeze, power steering fluid, and gasoline.
(j) “Numerical Goal” means a single numerical percentage reflecting an estimate of the source reduction the generator could optimally strive to achieve over a four-year period.
(k) “Reporting year” is the calendar year immediately preceding the year in which plans, reports, and compliance checklist are to be prepared.
(l) “Routinely generated” means:
(1) Hazardous and extremely hazardous wastes that result from ongoing processes or operations.
(2) Hazardous wastes generated from regularly scheduled maintenance or production activities performed less frequently than once a year.
(m) “Small business” means “small business” as defined in Government Code, section 11342(e).
(n) “Source reduction” means one of the following:
(1) Any action which causes a net reduction in the generation of hazardous waste.
(2) Any action taken before the hazardous waste is generated that results in lessening of the properties which cause it to be classified as a hazardous waste.
(o) “Source reduction evaluation review and plan” or “review and plan” or “plan” means a review conducted by the generator of the processes, operations, and procedures in use at a generator's site, required pursuant to section 67100.4(a) completed according to the format established by the Department of Toxic Substances Control in section 67100.5. Plans do both of the following:
(1) Determine any alternatives to, or modifications of, the generator's processes, operations, and procedures that may be implemented to reduce the amount of hazardous waste generated.
(2) Include a plan to document and implement source reduction measures for the hazardous wastes specified in paragraph (1) which are technically feasible and economically practicable for the generator, including a reasonable implementation schedule.
NOTE

Authority cited: Sections 25150, 25244.15 and 58012, Health and Safety Code. Reference: Sections 25205.1, 25244.12 et seq., 25244.14, 25244.19, 25244.20 and 25501, Health and Safety Code; and Section 11342, Government Code.
HISTORY

1. New section filed 8-27-91; operative 9-26-91 (Register 92, No. 13).
2. Editorial correction amending subsection designators from (l)(A)-(B) to (l)(1)-(2) (Register 92, No. 49).
3. Repealer of subsections (c)(1) and (h) and renumbering, new subsections (d), (i) and (j) and subsection relettering, and amendment of newly designated subsections (c)(1)-(2), (k), (o) and (p) and Note filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will be repealed by operation of law on the following day.
4. Repealer of subsections (c)(1) and subsection renumbering, new subsections (d), (i) and (j), repealer of subsection (h), subsection relettering, and amendment of new designated subsections (c)(1)-(2), (k), (o) and (p) and  Note  refiled 1-25-94 as an emergency; operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-25-94 order including amendment of Note transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
6. Change without regulatory effect repealing subsections (h) and (p), relettering subsections, and amending newly designated subsection (j) filed 6-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 25).
7. Amendment of section and Note filed 5-3-99; operative 6-2-99 (Register 99, No. 19).
§67100.2. Applicability.
Note     •     History

(a) This article applies to generators who, by site, routinely generate, through ongoing processes and operations, more than 12,000 kilograms of hazardous waste in the reporting year, or more than 12 kilograms of extremely hazardous waste in a reporting year.
(b) A generator may petition the Department of Toxic Substances Control in writing to exempt a hazardous waste stream. The generator shall provide documentation to demonstrate that no source reduction opportunities exist for the requested waste stream exemption. The Department shall public notice the proposed acceptance of any exemption petition. A minimum of 45 days shall be provided for public review and comment prior to the Department of Toxic Substances Control rendering any determination on a petition.
(c) The following hazardous wastes shall not be included in calculating the volume, or comparable weight of waste produced and are not subject to this article:
(1) The following exempted hazardous waste streams:
(A) Motor vehicle fluids and motor vehicle filters.
(B) Lead acid batteries.
(C) Household hazardous wastes, wastes from household collection events and wastes separated at community landfills.
(D) Waste pesticides and pesticide containers collected by County agricultural commissioners.
(E) Spent munitions and ordnance.
(F) Decommissioned utility poles.
(G) Oil generated from decommissioned refrigeration units.
(H) Mercury relays and low-level radioactive tubes generated from removal of telephone equipment.
(I) Lighting wastes including ballasts and fluorescent tubes.
(J) Hazardous wastes that are designated as universal waste in Section 66261.9
(2) The following hazardous waste streams that are not routinely generated:
(A) Waste from site cleanup and mitigation activities including remedial investigations.
(B) Samples and evidence from enforcement actions.
(C) Asbestos.
(D) PCBs
(E) Formation fluids and solids from oil, gas and geothermal exploration and field development.
(F) Demolition waste/major renovation waste.
(G) Waste generated from emergency response actions.
(H) Waste generated from laboratory scale research.
(3) Medical Waste.
(d) When there is a change in ownership of the business, institution, or facility, the new owner shall have six months from the date of purchase to amend or rewrite the plan and the report. If the new owner fails to revise the plan and report during this time, the existing plan and report shall remain in effect.
(e) When there is a change in the state or federal analysis and testing criteria which causes additional materials to be classified as hazardous waste, these newly classified hazardous wastes shall be considered in calculating the volume, or comparable weight of hazardous waste produced at the generator's site starting the next reporting year.
(f) Any generator that is a small business may complete the forms contained in the documents listed below and include sections 1, 3, 4, 5, and 6 of the Compliance Checklist Form, September 1993, or January 1997, as the plan. Documents for specific industries are available from the Department of Toxic Substances Control. The generator's most recent biennial report, as required by section 66262.41 can be used as the report required by this article. The following are available from the Department of Toxic Substances Control and are hereby incorporated by reference:
(1) Waste Audit Study -- Automotive Repairs, May, 1987
(2) Waste Audit Study -- Automotive Paint Shops, January, 1987
(3) Waste Audit Study -- General Medical and Surgical Hospitals, August, 1988
(4) Waste Audit Study -- Paint Manufacturing Industry, April, 1987
(5) Waste Audit Study -- Drug Manufacturing and Processing Industry, May, 1989
(6) Waste Audit Study -- Metal Finishing Industry, May, 1988
(7) Waste Audit Study -- Pesticide Formulating Industry, November, 1987
(8) Waste Audit Study -- Research and Educational Institutions, August, 1988
(9) Waste Audit Study -- Photoprocessing Industry, April, 1989
(10) Waste Audit Study -- Fiberglass-Reinforced and Composite Plastic Products, April, 1989
(11) Waste Audit Study -- Marineyards for Maintenance and Repair, August, 1989
(12) Waste Audit Study -- Building Construction Industry, May, 1990
(13) Waste Audit Study -- Fabricated Metal Products Industry, August, 1989
(14) Waste Audit Study -- Gold, Silver, Platinum and Other Precious Metals Product and Reclamation, June, 1990
(15) Waste Audit Study -- Mechanical Equipment Repair Shops, May, 1990
(16) Hazardous Waste Reduction Assessment Handbook -- Auto Repair Shops, October, 1988
(17) Hazardous Waste Reduction Checklist -- Auto Repair Shops, October, 1988
(18) Hazardous Waste Reduction Checklist & Assessment Manual for the Metal Finishing Industry, September, 1989
(19) Waste Audit Study --  Printed Circuit Board Manufacturers, June, 1987
(20) Waste Audit Study --  Commercial Printing Industry, May, 1989
(21) Waste Audit Study --  Thermal Metal Working Industry, December, 1990
(22) Hazardous Waste Reduction Checklist & Assessment Manual for Pesticide Formulators, June, 1990
(23) Facility Pollution Prevention Guide, EPA/600/R-92/088, May, 1992
(g) Any generator that is a small business may alternatively complete the Compliance Checklist Form, September 1993, or January 1997, developed by the Department of Toxic Substances Control as the plan.
(h) If a generator owns or operates multiple sites with similar processes, operations, and wastes the generator may prepare a single multisite review and plan, report, or compliance checklist addressing all of these sites.
(i) If a generator owns a large site with multiple operations that are managed as independent businesses, the generator may prepare a separate review and plan, report, or compliance checklist for each independently managed business at the site.
(j) Generators subject to the requirements of this article pursuant to sections 67100.4(a) and 67100.7(a) may prepare a single document combining the requirements for the plan and the report.
NOTE

Authority cited: Sections  25150, 25244.15 and 58012, Health and Safety Code. Reference: Sections 25177.5, 25244.12 et seq., 25244.15, 25244.16, 25244.19 and 25244.20, Health and Safety Code.
HISTORY

1. New section filed 8-27-91; operative 9-26-91 (Register 92, No. 13).
2. Editorial correction amending subsection designators from (c)(1)(a)-(c)(2)(g) to (c)(1)(A)-(c)(2)(G) (Register 92, No. 49).
3. Amendment of subsections (a), (c)(1)(A) and (g), repealer and new subsections (d) and (g)(23), new subsections (h), (k) and (l) and relettering, and amendment of newly designated subsections (i) and (j) and Note filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-31-94 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (c)(1)(A) and (g), repealer and new subsections (d) and (g)(23), new subsections (h), (k) and (l) and subsection relettering, and amendment of newly designated subsections (a)(1)-(2), (i) and (j) and Note  refiled 1-25-94 as an emergency; operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-25-94 order including new subsections (c)(1)(G)-(L) and amendment of  subsections (g) and (g)(23)-(j) transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
6. Editorial correction of subsection (c)(1)(I) (Register 95, No. 50).
7. Change without regulatory effect amending and redesignating former subsection (a)(1) as subsection (a), repealing subsections (a)(2), (d) and (l), relettering subsections, amending newly designated subsections (d), (f) and (g)-(i), and amending Note filed 6-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 25).
8. Amendment of section and Note filed 5-3-99; operative 6-2-99 (Register 99, No. 19).
9. New subsection (c)(1)(J) filed 2-4-2009; operative 2-4-2009 (Register 2009, No. 6).
§67100.3. Availability Requirements.
Note     •     History

(a) Every generator shall retain  a copy of the current review and plan, report,  summary progress report and compliance checklist at each site, or, for a multisite at a central location, and upon request, shall make it available to any authorized representative of the Department of Toxic Substances Control and any other officer or agency conducting an inspection pursuant to Section 25185 of the Health and Safety Code.
(b) A copy of the plan, report and summary progress report and compliance checklist shall be made available locally for public review. This may be accomplished by making documents available at the generator's facility, at a public library or at the offices of any local governmental agency which is willing to act as a repository for this information. If any of the above documents contain trade secrets, then a copy which excludes trade secrets shall be made available locally for public review.
NOTE

Authority cited: Sections  25150, 25244.15 and 58012, Health and Safety Code. Reference: Sections 25185, 25244.12 et seq., 25244.13, 25244.18, 25244.21 and 25244.23, Health and Safety Code.
HISTORY

1. New section filed 8-27-91; operative 9-26-91 (Register 92, No. 13).
2. Amendment of section and Note filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will be repealed by operation of law on the following day.
3. Amendment of   section  and Note  refiled 1-25-94 as an emergency; operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-25-94 order transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
5. Change without regulatory effect amending section filed 6-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 25).
6. Amendment of section and Note filed 5-3-99; operative 6-2-99 (Register 99, No. 19).
§67100.4. Plan.
Note     •     History

(a) On or before September 1, 1991 and every four years thereafter that hazardous or extremely hazardous waste generation exceeds the thresholds in section 67100.2(a) of these regulations, each generator shall conduct a source reduction evaluation review and plan pursuant to section 67100.5 of these regulations.
(b) Except as provided in sections 67100.2(h) and 67100.2(i) of these regulations, a source reduction evaluation review and plan shall be prepared for each site.
(c) At the time a review and plan is submitted to the Department, the generator shall certify that the generator has implemented, is implementing, or will be implementing, the source reduction measures identified in the review and plan according to the implementation schedule contained in the review and plan. A generator may determine not to implement a source reduction measure selected in section 67100.5(m) of these regulations only if the generator determines, upon conducting further analysis or due to unexpected circumstances, that the selected measure is not technically feasible or economically practicable, or if attempts to implement that measure reveal that the measure would result in, or has resulted in, any of the following:
(1) An increase in the generation of hazardous waste.
(2) An increase in release of hazardous chemicals to other environmental media.
(3) Adverse impacts on product quality.
(4) A significant increase in the risk of an adverse impact to human health or the environment.
(d) If the generator elects not to implement the review and plan, including, but not limited to, a selected measure pursuant to section 67100.5(m) of these regulations, the generator shall amend its review and plan within 90 days to reflect this rejection and include in the review and plan proper documentation identifying the rationale for this rejection.
NOTE

Authority cited: Sections  25150 and 25244.15, Health and Safety Code; and section 58012, Governor's Reorganization Plan, No. 1 of 1991. Reference: Section 25244.19, Health and Safety Code.
HISTORY

1. New section filed 8-27-91; operative 9-26-91 (Register 92, No. 13).
2. Amendment of section heading, subsection (a) and Note filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will be repealed by operation of law on the following day.
3. Amendment of   section  heading, subsection (a)  and Note  refiled 1-25-94 as an emergency; operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-25-94 order including amendment of  subsection (b) transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
5. Change without regulatory effect amending section heading and section filed 6-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 25).
§67100.5. Plan Format.
Note     •     History

Except as provided in section 67100.2(f) of these regulations,  generators subject to the requirements of this article pursuant to section 67100.2(a), shall prepare a plan with sufficient detail to convey an understanding of the source reduction evaluation review and analysis performed, using narratives, photographs, illustrations, figures or data as necessary, which includes, but is not limited to, all of the following:
(a) Name and location of the site, telephone number and Identification Number.
(b) Four digit SIC codes applicable to activities at the site.
(c) Type of business or activity conducted at each site.
(d) Length of time the company has been in business at the present site.
(e) Major products manufactured or services provided and, if necessary to convey an understanding of the business, their general applications or examples of their applications or end use.
(f) Number of employees.
(g) A general description of site operations with corresponding block diagrams focusing on quantity and type of hazardous wastes, raw materials, and final products produced at the site.
(h) Identification of all routinely generated hazardous waste streams in the current reporting year which result from ongoing processes or operations that have a yearly volume, or comparable weight exceeding five percent of the total yearly volume, or comparable weight of hazardous waste generated at the site, or, for extremely hazardous waste, five percent of the total yearly volume, or comparable weight generated at the site. Similar industrial processes or institutional activities generating similar wastes (with the same California Waste Codes) shall be considered a single waste stream for purposes of this subsection.
(i) All of the following information for each hazardous waste stream identified in subsection (h) of this section:
(1) An estimate of the weight, in pounds of hazardous waste generated.
(2) The applicable California waste code.
(3) The processes, operations and activities generating the waste(s), with corresponding block diagrams to illustrate the basis of generation including a listing of all input materials which contribute to the generation of hazardous or extremely hazardous waste (this is not meant to be a mass balance).
(j) An evaluation of source reduction measures available to the generator which are potentially viable. The evaluation shall consider at least all of the following approaches:
(1) Input changes.
(2) Operational improvement.
(3) Production process changes.
(4) Product reformulation.
(5) Administrative steps taken to reduce hazardous waste generation including but not limited to:
(A) Inventory control;
(B) Employee award programs;
(C) Employee training;
(D) In-house policies;
(E) Corporate or management commitment; and
(F) Other programs or measures.
(k) Consideration of the following factors for each measure evaluated in accordance with subsection (j) of this section (where a specific factor does not apply identify as N/A):
(1) Expected change in the amount of hazardous waste generated;
(2) Technical feasibility;
(3) Economic evaluation:
(A) Capital cost, operating cost, waste management cost;
(B) Return on investment (ROI), breakdown point, avoided cost, pretax payback period, or any other economic comparison method;
(4) Effects on product quality;
(5) Employee health and safety implications;
(6) Permits, variances, compliance schedules or applicable state local and federal agencies;
(7) Releases and discharges.
(l) Any pertinent information, such as waste stream constituents and concentration of constituents, needed to evaluate and implement source reduction measures.
(m) A specification of, and a rationale for, the technically feasible and economically practicable source reduction measures which will be taken by the generator with respect to each hazardous waste stream identified in subsection (h) of this section. The specification should include at a minimum, a narrative description of the factors in subsection (k) of this section and also address system capacity and efficiency. Photographs, illustrations, figures or data should be used to convey an understanding of the source reduction measure in sufficient detail to allow transfer of the measure to other generators with similar processes or procedures.
(n) An evaluation, and, to the extent practicable, a qualification of the effects of any source reduction measure selected in subsection (m) on emissions and discharges to air, water, or land.
(o) A list of each measure considered but not selected for a detailed evaluation as a potentially viable source reduction measure. For each measure rejected, explain the generator's rationale. This list shall be supplemented for waste streams where no measures were identified with a narrative demonstrating the good faith efforts undertaken to identify measures.
(p) A timetable for making reasonable and measurable progress towards implementation of the selected source reduction measures specified in subsection (m) of this section. It shall also include an implementation schedule for completing the evaluation of potentially viable source reduction measures and it shall prioritize processes and wastes for future research, development and source reduction analysis.
(q) All plans prepared after January 1, 1993 shall contain a four-year numerical goal for reducing the generation of hazardous waste streams through the selected source reduction measures specified in subsection (m) of this section.
NOTE

Authority cited: Sections  25150, 25244.15, 25244.16 and 58012, Health and Safety Code. Reference: Sections 25244.12 et seq. and 25244.19, Health and Safety Code.
HISTORY

1. New section filed 8-27-91; operative 9-26-91 (Register 92, No. 13).
2. Amendment of first paragraph and Note and new subsection (q) filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will be repealed by operation of law on the following day.
3. Amendment of  first paragraph and Note, and new subsection (q) refiled 1-25-94 as an emergency; operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-25-94 order including amendment of  subsection (q) transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
5. Change without regulatory effect amending first paragraph filed 6-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 25).
6. Amendment of subsection (a) and Note filed 5-3-99; operative 6-2-99 (Register 99, No. 19).
§67100.6. Plan Summary Format. [Repealed]
Note     •     History

NOTE

Authority cited: Sections  25150, 25244.15, 25244.16 and 58012, Health and Safety Code. Reference: Section 25244.19, Health and Safety Code.
HISTORY

1. New section filed 8-27-91; operative 9-26-91 (Register 92, No. 13).
2. Change without regulatory effect repealing section filed 6-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 25).
§67100.7. Report.
Note     •     History

(a) On or before September 1, 1991, and every four years thereafter that hazardous or extremely hazardous waste generation exceeds the thresholds in section 67100.2(a) of these regulations, each generator shall prepare a hazardous waste management performance report pursuant to section 67100.8 of these regulations.
(b) Except as provided in sections 67100.2(h) and 67100.2(i) of these regulations, the hazardous waste management performance report shall be prepared for each site.
NOTE

Authority cited: Sections  25150 and 25244.15, Health and Safety Code; and section 58012, Governor's Reorganization Plan, No. 1 of 1991. Reference: Section 25244.20, Health and Safety Code.
HISTORY

1. New section filed 8-27-91; operative 9-26-91 (Register 92, No. 13).
2. Amendment of section heading, text and Note filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note  refiled 1-25-94 as an emergency; operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-25-94 order transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
5. Change without regulatory effect amending section heading and section filed 6-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 25).
§67100.8. Report Format.
Note     •     History

(a) Except as provided in section 67100.2(f) of these regulations and in subsection (b) of this section, each generator shall prepare a report with sufficient detail to convey an understanding of the hazardous waste management approaches used at the site, using narratives, photographs, illustrations, figures or data as necessary, which includes, at a minimum, all of the following:
(1) Name and location of the site
(2) Four digit SIC code(s) for the site
(3) All of the following information for each waste stream identified pursuant to section 67100.5(h) of theses regulations:
(A) An estimate, in pounds, of the quantity of hazardous waste generated and the quantity of hazardous waste managed, both onsite and offsite, during the current reporting year and the baseline year.
(B) A description of current hazardous waste management approaches and identification of all approaches implemented since the baseline year.
(C) An assessment of the effect, since the baseline year, of each implemented hazardous waste management approach on the weight of hazardous waste generated, the properties which cause it to be classified as a hazardous waste and/or the onsite and offsite management of hazardous waste. The report shall consider, but shall not be limited to all of the following approaches:
1. Source reduction;
2. Onsite or offsite recycling;
3. Onsite or offsite treatment.
(D) A description of factors during the current reporting year that have affected hazardous waste generation and onsite and offsite hazardous waste management since the baseline year, including, but not limited to, any of the following:
1. Changes in business activity;
2. Changes in waste classification;
3. Natural phenomena and;
4. Other factors that have affected either the quantity of hazardous waste generated or onsite and offsite hazardous waste management requirements.
(b) If the generator selects the current reporting year as the baseline year, the information required pursuant to subsection (a)(3) of this section shall be provided for the reporting year only.
NOTE

Authority cited: Sections  25150, 25244.15, 25244.16 and 58012, Health and Safety Code. Reference: Sections 25244.12 et seq. and 25244.20, Health and Safety Code.
HISTORY

1. New section filed 8-27-91; operative 9-26-91 (Register 92, No. 13).
2. Change without regulatory effect amending subsection (a) filed 6-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 25).
3. Amendment of Note filed 5-3-99; operative 6-2-99 (Register 99, No. 19).
§67100.9. Summary Progress Report.
Note     •     History

(a) Generators subject to the requirements of this article shall prepare a summary progress report and submit it to the Department of Toxic Substances Control on or before September 1, 1999 and every four years thereafter.
(b) Generators shall complete the Department of Toxic Substances Control's Form # 1262 (3/99) titled, “Summary Progress Report” as their summary progress report. This document is incorporated by reference.
(c) The director, in consultation with the Secretary for Environmental Protection, shall, within five years of the effective date of the regulations in this section, determine whether the regulations should be retained, revised, or repealed.
NOTE

Authority cited: Sections  25150, 25244.15, 25244.16 and 58012, Health and Safety Code. Reference: Sections 25244.12 et seq. and 25244.19, Health and Safety Code.
HISTORY

1. New section filed 5-3-99; operative 6-2-99 (Register 99, No. 19). For prior history, see Register 98, No. 25.
§67100.10. Compliance Checklist. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25150 and 25244.15, Health and Safety Code; and section 58012, Governor's Reorganization Plan, No. 1 of 1991. Reference: Section 25244.19, Health and Safety Code.
HISTORY

1. Renumbering of former section 67100.10 to section 67100.13 and new section 67100.10 filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will  be repealed by operation of law on the following day.
2. Editorial correction of  printing error in History 1 (Register 94, No. 4).
3. Renumbering of former section 67100.10 to section 67100.13 and new section 67100.10 refiled  as an emergency; operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will  be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-25-94 order including amendment of subsection (a) transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
5. Change without regulatory effect repealing section filed 3-28-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
§67100.11. Compliance Checklist Format. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25150 and 25244.15, Health and Safety Code; and section 58012, Governor's Reorganization Plan, No. 1 of 1991. Reference: Section 25244.19, Health and Safety Code.
HISTORY

1. Renumbering of former section 67100.11 to section 67100.14 and new section 67100.11 filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will  be repealed by operation of law on the following day.
2. Editorial correction of  printing error in History 1 (Register 94, No. 4).
3. Renumbering of former section 67100.11 to section 67100.14 and new section 67100.11 refiled  as an emergency; operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will  be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-25-94 order including amendments transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
5. Change without regulatory effect repealing section filed 3-28-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
§67100.12. Progress Report. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 58012 (Governor's Reorganization Plan, No. 1 of 1991), 25150, 25244.15 and 25244.16, Health and Safety Code. Reference: Section 25244.19, Health and Safety Code.
HISTORY

1. New section filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will be repealed by operation of  law on the following day.
2. New section refiled  as an emergency; operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will be repealed by operation of  law on the following day.
3. Certificate of Compliance as to 1-25-94 order transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
4. Change without regulatory effect amending subsection (a) filed 6-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 25).
5. Change without regulatory effect repealing section and amending Note filed 3-10-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 11).
§67100.13. Certification Requirements.
Note     •     History

(a) The review and plan, report, and compliance checklist, completed pursuant to this article shall be reviewed by an engineer who is registered as a professional engineer pursuant to section 6762 of the Business and Professions Code, by an individual who is responsible for the processes and operations of the site, or  by an environmental assessor as defined in section 25114.5 of the Health and Safety Code.
(b) The engineer, individual, or environmental assessor shall certify the review and plan only if the review and plan meet all of the following requirements:
(1) The review and plan addresses each hazardous waste stream identified pursuant to section 67100.5(h) of these regulations.
(2) The review and plan addresses the source reduction approaches specified in section 67100.5(j) of these regulations.
(3) The plan clearly sets forth the measures to be taken with respect to each hazardous waste stream for which source reduction has been found to be technically feasible and economically practicable, with timetables for making reasonable and measurable progress, and documents the rationale for rejecting available source reduction measures.
(4) The plan does not merely shift hazardous waste from one environmental medium to another environmental medium by increasing emissions or discharges to air, water, or land.
(c) The engineer, individual, or environmental assessor shall certify that compliance checklist has been completed.
(d) The engineer, individual, or environmental assessor shall certify the report only if the report meets the following requirement:
(1) The report identifies factors that affect the generation and onsite and offsite management of hazardous wastes and summarizes the effect of those factors on the generation and onsite and offsite management of hazardous wastes.
(e) The plan, report, and compliance checklist shall contain the following language signed and dated by either the owner, the operator, or the responsible corporate officer of the site or an authorized individual; who is capable of committing financial resources necessary to implement the source reduction measures:
“I certify that this document and all attachments were prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage the system, or the persons directly responsible for gathering the information, the information submitted is, to the best of my knowledge and belief, true, accurate and complete. I am aware that there are significant penalties for making false statements or representations to the Department, including the possibility of fines for criminal violations.”
NOTE

Authority cited: Sections 25150 and 25244.15, Health and Safety Code; and section 58012,  Governor's Reorganization Plan, No. 1 of 1991. Reference: Sections 25189.2, 25244.19 and 25244.20, Health and Safety Code.
HISTORY

1. Renumbering of former section 67100.10 to section 67100.13, including amendment of section heading and text filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will  be repealed by operation of law on the following day.
2. Editorial correction of  printing error in History 1 (Register 94, No. 4).
3. Renumbering of former section 67100.10 to section 67100.13 including amendment of section heading and text refiled as an emergency;  operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will  be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-25-94 order including amendment of Note transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
5. Change without regulatory effect amending section filed 6-19-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 25).
6. Change without regulatory effect amending subsection (a) and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67100.14. Trade Secrets.
Note     •     History

(a) Any information submitted to the Department pursuant to this article may be claimed as confidential by the generator. Any such claim shall be asserted at the time of submission by placing the words “confidential business information” on each page containing such information. If no claim is made at the time of submission, the Department shall make the information available to the public without further notice. If a claim is asserted, the information shall be treated in accordance with 40 CFR part 2 and the Health and Safety Code, sections 25173 and 25244.23.
(b) If a claim of confidentiality is asserted, two versions of the document shall be submitted: one version with the confidential pages and one version without the confidential pages but with a clear indication of which pages are removed as confidential.
NOTE

Authority cited: Sections 25150, 25244.15 and 25244.23, Health and Safety Code; and section 58012,  Governor's Reorganization Plan, No. 1 of 1991. Reference: Section 25244.23, Health and Safety Code.
HISTORY

1. Renumbering of former section 67100.11 to section 67100.14, including amendment of section heading and Note, filed 9-27-93 as an emergency; operative 9-27-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-94 or emergency language will  be repealed by operation of law on the following day.
2. Editorial correction of  printing error in History 1 (Register 94, No. 4).
3. Renumbering of former section 67100.11 to section 67100.14 including amendment of section heading and Note refiled as an emergency;  operative 1-25-94 (Register 94, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-25-94 or emergency language will  be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-25-94 order transmitted to OAL 4-21-94 and filed 6-3-94 (Register 94, No. 22).
§67101. Required Notices.  [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67102. General Waste Analysis. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25155.5, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (a)(1) printing error (Register 86, No. 44).
2. Amendment of subsection (a)(1) filed 12-11-89; operative 1-1-90 (Register 89, No. 50).
3. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67103. Security. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67104. General Inspection Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67105. Personnel Training. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67106. General Requirements for Ignitable, Reactive or Incompatible Wastes. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67108. Seismic and Precipitation Design Standards. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67120. Design and Operation of Facility. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 19 (Sections 67120-67126, not consecutive) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67121. Required Equipment. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67122. Testing and Maintenance of Equipment. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67123. Access to Communications or Alarm Systems. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67124. Required Aisle Space. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67126. Arrangements with Local Authorities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67140. Purpose and Implementation of Contingency Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 20 (Sections 67140-67145) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67141. Content of Contingency Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67142. Copies of Contingency Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67143. Amendment of Contingency Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67144. Emergency Coordinator. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67145. Emergency Procedures. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67160. Applicability. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 21 (Sections 67160-67169) filed 1-3-85; effective upon filing (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67161. Use of Manifest System. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67162. Manifest Discrepancies. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67163. Operating Record. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67164. Availability, Retention and Disposition of Records. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67165. Annual Report. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 25150, Health and Safety Code. Reference: Sections 25155.5, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Amendment filed 12-11-89; operative 1-1-90 (Register 89, No. 50).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67166. Unmanifested Waste Report. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67167. Additional Reports. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67168. Disposal Reports by Owner or Operator of Off-Site Hazardous Waste Facility. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25161, Health and Safety Code. Reference: Section 25150, Health and Safety Code; Section 43051, Revenue and Taxation Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67169. Monthly Reports by Operator of On-Site Hazardous Waste Facility. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25161, Health and Safety Code. Reference: Section 25150, Health and Safety Code; Section 43151, Revenue and Taxation Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67180. Applicability to Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. New Article 22 (Sections 67180-67195) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67181. Required Programs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67182. Environmental Protection Standard. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67183. Hazardous Constituents. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67184. Concentration Limits. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67185. Point of Compliance. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67186. Compliance Period. [Repealed]
Note     •     History

NOTE

Authority cited, Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67187. General Ground Water Monitoring Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67188. Detection Monitoring Program. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67189. Compliance Monitoring Program. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67190. Corrective Action Program. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67191. Applicability to Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25345, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67192. Environmental Monitoring System for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67193. Sampling and Analysis for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67194. Preparation, Evaluation and Response for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67195. Recordkeeping and Reporting at Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67210. Applicability. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code.
HISTORY

1. New Article 23 (Sections 67210-67220, not consecutive) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67211. Closure Performance Standard. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67212. Closure Plan; Amendment of Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67213. Closure; Time Allowed for Closure. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67214. Disposal or Decontamination of Equipment. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5, 25245 and 25246, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67215. Certification of Closure. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67217. Post-Closure Care and Use of Property. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67218. Post-Closure Plan; Amendment of Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67219. Notice to Local Land Authority. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67220. Notice in Deed to Property. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67240. Applicability. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 24 (Sections 67240-67248) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67241. Condition of Containers. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67242. Compatibility of Waste with Containers. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67243. Management of Containers. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67244. Inspections. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67245. Containment for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67246. Special Requirements for Ignitable or Reactive Waste. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67247. Special Requirements for Incompatible Wastes. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67248. Closure of Permitted Facilities That Store Containers of Hazardous Waste. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67250. Applicability. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 25 (Sections 67250-67262, not consecutive) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67251. Design of Tanks for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67252. General Operating Requirements for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67254. Monitoring and Inspection for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67257. General Operating Requirements for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67258. Waste Analysis and Trial Tests for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67259. Inspections for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67260. Closure for Both Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67261. Special Requirements for Ignitable or Reactive Waste for Both Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67262. Special Requirements for Incompatible Wastes for Both Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67280. Applicability. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 26 (Sections 67280-67318, not consecutive) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67281. Design and Operating Requirements for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150, 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67286. Monitoring and Inspection for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67287. Emergency Repairs; Contingency Plans for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67288. Closure and Post-Closure Care of Surface Impoundments at Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67310. General Operating Requirements for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67311. Containment System for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67312. Waste Analysis and Trial Tests for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67314. Inspections for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67316. Closure and Post-Closure Care for Surface Impoundments at Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67317. Special Requirements for Ignitable or Reactive Waste for Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5, and 25250, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67318. Special Requirements for Incompatible Wastes for Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67340. Applicability. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 27 (Sections 67340-67351, not consecutive) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67341. Design and Operating Requirements for Waste Piles at Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159 and 25159.5, Health and Safety code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67342. Double-Liners and Leak Detection System for Waste Piles at Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25150(a), 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67344. Monitoring and Inspection for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67346. Protection from  Wind for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67347. Waste Analysis for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67348. Containment for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67349. Special Requirements for Ignitable or Reactive Waste for Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67350. Special Requirements for Incompatible Wastes for Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67351. Closure and Post-Closure Care of Waste Piles at Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67360. Applicability. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 28 (Sections 67360-67382, not consecutive) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67361. Treatment Program for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67362. Treatment Demonstration for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67363. Design and Operating Requirements for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67368. Unsaturated Zone Monitoring for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67369. Closure and Post-Closure Care of Land Treatment Units at Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67371. General Operating Requirements for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67372. Waste Analysis for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67377. Unsaturated Zone Monitoring for Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67378. Closure and Post-Closure Care of Land Treatment Units at Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67379. Recordkeeping for Both Permitted and Interim Status Facilities.  [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67381. Special Requirements for Ignitable or Reactive Waste at Both Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67382. Special Requirements for Incompatible Wastes for Both Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 28, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
Chapter 32. Management of Tanks
§67383.1. Applicability.
Note     •     History

(a) This chapter establishes minimum standards for the management of all underground and aboveground tank systems that held hazardous waste or hazardous materials, and are to be disposed, reclaimed or closed in place, except as provided in subsections (b), (c) and (d) of this section.
(b) The requirements of this chapter do not apply to tank systems regulated under a hazardous waste facility permit, other than a permit by rule, or to tank systems regulated under a grant of interim status.
(c) The requirements of this chapter do not apply to a tank system or any portion thereof that meets the definition of “scrap metal” in section 66260.10 and that is excluded from regulation pursuant to section 66261.6(a)(3)(B).
(d) The requirements of this chapter do not apply to any tank that is not a hazardous waste pursuant to chapter 11 of this division.
NOTE

Authority cited: Sections 25141, 25150, 25159 and 58012, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New chapter 32 (sections 67383.1-67383.5) and section filed 8-6-98; operative 8-6-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
§67383.2. Definitions.
Note     •     History

When used in this chapter, the following terms have the meanings given below:
“Closed in place” means left in place and closed without being removed.
“Disposal” has the same meaning as in section 66260.10, except that the term disposal does not include tanks that are closed in place pursuant to the requirements of this chapter or title 23, California Code of Regulations.
“LIA” means the “local implementing agency” or local agency responsible for the enforcement and regulatory oversight of hazardous material storage tanks pursuant to section 25283 of the Health and Safety Code.
“Tank” means a stationary device, designed to contain an accumulation of hazardous waste or hazardous material, which is constructed primarily of nonearthen materials (e.g., wood, concrete, steel, plastic) that provides structural support.
“Tank system” means a hazardous waste or a hazardous material transfer, storage or treatment tank and its associated ancillary equipment and containment system.
NOTE

Authority cited: Sections 25141, 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25117, 25124 and 25283, Health and Safety Code.
HISTORY

1. New section filed 8-6-98; operative 8-6-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
§67383.3. General Standards for Tank Systems.
Note     •     History

(a) Except as provided in subsections (b), (c), and (d) of section 67383.1, any tank system that is identified as a hazardous waste pursuant to chapter 11 of this division, and that is destined to be disposed, reclaimed or closed in place shall be exempt from regulation under this division if the tank system is managed in accordance with all of the requirements of this section:
(1) Prior to initiating cleaning, cutting, dismantling, or excavation of a tank system, the owner or operator of the tank system shall notify the appropriate CUPA in writing of the information specified below. If there is no CUPA, then the owner or operator shall notify the LIA and send a copy to the authorized agency. However, information already provided to the CUPA, authorized agency or LIA pursuant to compliance with another statutory or regulatory requirement need not be resubmitted:
(A) The location of the tank system;
(B) The date(s) the tank system will be cleaned and/or excavated, or closed in place;
(C)  A brief description of the tank system;
(D) The identification of the hazardous material or hazardous waste last held in the tank supported by:
1. A statement signed by the tank operator certifying the identity of the material or waste last stored or accumulated in the tank; or
2. If residuals remain in the tank in sufficient quantity to be collected and analyzed, a chemical analysis of the residual in the tank;
(E) The name and credentials of the individual who will provide certification pursuant to subsection (f), when applicable; and
(F) The intended disposition and destination of the tank system.
(b) Except as provided in subsection (c), any of the following procedures may be used for the onsite cleaning and closure of a tank system:
(1) American Petroleum Institute, Recommended Practice for the Closure of Underground Petroleum Storage Tanks, API Publication 1604, Third Edition, American Petroleum Institute, 1220 L Street, N.W., Washington, DC 20005, March 1996;
(2) American Petroleum Institute, Safe Entry and Cleaning of Petroleum Storage Tanks, API Publication 2015, American Petroleum Institute, 1220 L Street, N.W., Washington, DC 20005, May 1994;
(3) National Fire Protection Association, Standard Procedures for Cleaning or Safeguarding Small Tanks and Containers Without Entry, NFPA 327, 1993 Edition;
(4) Procedures approved by the CUPA, authorized agency or LIA.
(c) Non-sparking, cold-cutting tools or a non-sparking cold-cutting process shall be used if the tank held a flammable or combustible material, and the tank, piping and/or appurtenances are to be cut onsite, unless an alternate method is approved by the CUPA, authorized agency or LIA.
(d) All sludge, scale, debris, residue, and rinseate generated during the tank closure process shall be managed in accordance with all applicable requirements of this division.
(e) At the completion of the cleaning process the tank system shall meet all of the following:
(1) All piping and appurtenances shall be free of product, sludge, rinseate and debris to the extent that no material can be poured or drained from them when held in any orientation (e.g., tilted, inverted, etc).
(2) The tank, upon inspection, shall be visually free of product, sludge, scale (thin, flaky residual of tank contents), rinseate and debris, except that residual staining caused by soil and waste consisting of light shadows, slight streaks, or minor discolorations, and soil and waste in cracks, crevices, and pits may be present.
(A) The inspection to verify that the requirements of subsection (e)(2) are met shall be conducted
1. through an existing manhole in the tank or one newly installed in the tank, or through holes cut into the tank wall in accordance with the requirements of this section so as to allow for visual inspection of the entire tank interior, without the need to enter the tank physically or
2. if the tank is not cut, following cleaning, by using a light with an internal inspection lamp approved for Class I, Division I locations, a mirror to reflect light into the container, or other appropriate device upon approval of the CUPA, authorized agency or LIA.
(B) If the tank held a hazardous material or hazardous waste that had the potential to generate flammable vapors, and the tank was cut onsite, a combustible gas indicator (CGI) which is properly calibrated shall be used to measure the concentration of flammable vapor at the top, center and bottom of the cut tank. The concentration of flammable vapor shall be zero percent of the Lower Explosive Limit (LEL) for the material that was contained in the tank; and the oxygen concentration shall be the same as that of the ambient air, approximately 20.8%;
(C) If the tank held a hazardous material or hazardous waste that had the potential to generate flammable vapors, is intended to be transported, and was not cut onsite, the tank shall be cleaned and inerted using one of the methods listed in subsection (b), inspected pursuant to subsection (e)(2)(A)2 and transported in accordance with the provisions of section 67383.5. (The tank shall be inspected to ensure that it meets the conditions of paragraph (2) of this subsection before it is inerted.)
(D) If a tank has been cut onsite, but it is not to be transported offsite or closed in place, it shall be cleaned using one of the methods specified in subsection (b) and inspected pursuant to subsection (e)(2)(A)1.
(f) The cleaned tank system shall be certified as meeting the standards of paragraphs (e)(1) and (2) of this section by the CUPA, authorized agency or LIA, or one of the following professionals:
(1) industrial hygienist certified in California;
(2) safety professional certified in California;
(3) marine chemist certified in California;
(4) environmental health specialist registered in California;
(5) professional engineer registered in California; or
(6) environmental assessor; or
(7) a contractor properly licensed by the Contractor's State License Board (CSLB) to contract for the removal of underground storage tanks and who holds a Hazardous Substance Removal Certification issued by the CSLB.
(g) The certificate issued pursuant to subsection (f) of this section shall be submitted on the Hazardous Waste Tank Closure Certification page of the Unified Program Consolidated Form (x/99)), Appendix E of Title 27 CCR, or an alternative version or a computer generated facsimile as allowed pursuant to Title 27, CCR, Sections 15610 and 15620. The submittal must include the Business Activities Page, and the Business Owner/Operator pages of the Unified Program Consolidated Form (x/99)). The certificate shall include the following:
(1) the tank owner's name and address;
(2) the address of tank closure site;
(3) the tank's State identification number, if applicable;
(4) the statement that the tank is visually free of product, sludge, scale, rinseate and debris;
(5) if applicable, the tank's interior atmosphere readings for concentrations of flammable vapor and oxygen;
(6) the name, professional classification, registration or certification number if applicable, signature, address and phone number of the certifying person; and
(7) the date and time of certification.
(h) Copies of the certificate shall be provided to the following:
(1) CUPA, authorized agency or LIA;
(2) owner and/or operator of the tank system;
(3) the contractor responsible for the removal of the tank system; and
(4) the recycling or disposal facility to which the tank is transported.
(i) A copy of the certificate shall accompany the tank to the recycling/disposal facility.
(j) A person who treats a tank by employing physical methods to satisfy the standard in subsection (e)(2) is authorized to perform such treatment for purposes of Health and Safety Code Section 25201.
NOTE

Authority cited: Sections 25141, 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25117, 25124 and 25201, Health and Safety Code.
HISTORY

1. New section filed 8-6-98; operative 8-6-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
2. Amendment of subsections (a)(1), (b)(4), (c), (e)(2)(A)2., (g) and (h)(1) filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a)(1), (b)(4), (c), (e)(2)(A)2., (g) and (h)(1) refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(1), (b)(4), (c), (e)(2)(A)2., (g) and (h)(1) refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(1), (b)(4), (c), (e)(2)(A)2., (g) and (h)(1) refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
7. Change without regulatory effect amending subsections (f)-(f)(6) filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67383.4. Management Procedure to Close Hazardous Material or Hazardous Waste Tank Systems in Place.
Note     •     History

The owner or operator of a tank system to be closed in place shall do all of the following:
(a) Comply with Section 25298 of the Health and Safety Code, if applicable.
(b) Obtain CUPA, authorized agency or LIA approval to close the tank system pursuant to Title 23, CCR, section 2672(c), if applicable.
(c) Clean the tank and comply with all of the requirements of section 67383.3.
(d) After the provisions of section 67383.3 are met, fill the tank with a solid inert material.
NOTE

Authority cited: Sections 25141, 25150, 25159 and 58012, Health and Safety Code. Reference: Sections 25117 and 25124, Health and Safety Code.
HISTORY

1. New section filed 8-6-98; operative 8-6-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
2. Amendment of subsection (b) filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b) refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b) refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b) refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
§67383.5. Transportation of Uncut Tanks that Contained Hazardous Material or Hazardous Waste.
Note     •     History

Any tank intended to be transported, that is not cut onsite, has been cleaned pursuant to the provisions of section 67383.3, and has the potential to generate flammable vapors, shall be subject to the following requirements for transportation:
(a) The tank's interior atmosphere shall be inerted with carbon dioxide or with another inert gas approved by the CUPA, authorized agency or LIA to levels sufficient to preclude explosion or to lower levels as required by the local agency;
(1) If the tank will be inerted with carbon dioxide, dry ice may be used at a minimum of 1 pound of dry ice per 45 gallons of tank volume (22.2 pounds per 1000 gallons of tank capacity) or bottled CO2 may be used to inert the tank until the tank meets the required levels.
(2) All LEL readings shall be taken with a CGI that has been properly calibrated. The readings shall be taken at the top, center and bottom of the tank before the tank is loaded onto the transport vehicle.
(b) All openings in the tank shall be plugged, except for a 1/8 inch vent.
(c) All cracks, holes, or other damaged sections shall be plugged. If holes or cracks in the tank walls, piping or appurtenances could allow the release of hazardous constituents, the tank, piping and/or appurtenances shall be wrapped in plastic sheeting or another appropriate barrier compatible with and capable of containing the release. If the barrier becomes contaminated during use, it shall be managed in accordance with the applicable requirements of this division.

View Graphic
NOTE

Authority cited: Sections 25150, 25159 and 58012, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section and new form filed 8-6-98; operative 8-6-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 32).
2. Amendment of subsection (a) filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a) refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a) refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
Chapter 33. Best Management Practices for Perchlorate Materials
Article 1. General
§67384.1. Scope.
Note     •     History

(a) This chapter establishes the best management practices for perchlorate materials as described in section 67384.2. 
(b) A person may not manage perchlorate materials unless the management complies with the best management practices of this chapter. 
(c) Nothing in this chapter is a limitation on the power of any other governmental agency to adopt or enforce additional requirements related to the management of perchlorate materials. 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5 and 25210.7, Health and Safety Code. 
HISTORY

1. New chapter 33 (article 1), article 1 (sections 67384.1-67384.11) and section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
§67384.2. Applicability.
Note     •     History

(a) Effective July 1, 2006, the best management practice requirements of this chapter shall apply to all persons managing perchlorate materials as described in section 67384.3, except those listed in subsection (b) of this section. 
(b) The requirements of this chapter do not apply to the following perchlorate materials: 
(1) Perchlorate materials managed as a hazardous waste in compliance with all applicable requirements of California hazardous waste law; 
(2) Perchlorate-contaminated media under the oversight of a regulatory agency with jurisdiction pursuant to applicable environmental statutes that address response, removal or remediation of the perchlorate contamination, except when disposed at a landfill; 
(3) Perchlorate materials containing less than six (6) parts per billion (ppb) of perchlorate; 
(4) Consumer goods manufactured in California prior to, but no later than December 31, 2006, and consumer goods transported into California prior to, but no later than to December 31, 2006; 
(5) Food, crops, and irrigation water; and 
(6) Combustion residuals of perchlorate materials. 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5 and 25210.6, Health and Safety Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; subsection (a) operative 7-1-2006; remainder of section operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
§67384.3. Definitions.
Note     •     History

The definitions set forth in section 66260.10 of this division shall apply unless otherwise defined. The following definitions shall apply to the terms used in this chapter: 
“Area of Interest” means the area immediately adjacent to the point of use within the site, but limited to that property under the control of the business. 
“Business” means an employer, self-employed individual, trust, firm, joint stock company, corporation, partnership, or association. “Business” includes a business organized for profit, a nonprofit business and all of the following: 
(a) The federal government, to the extent authorized by federal law. 
(b) Any agency, department, office, board, commission, or bureau of state government, including, but not limited to, the campuses of the California Community Colleges, the California State University, and the University of California. 
(c) Any agency, department, office, board, commission, or bureau of a city, county or district. 
“Commercial” means used by a business to generate revenue or promote the sale of goods or services. “Commercial” does not include material or products used under federal, military, or space launch contract requirements. 
“Commercial explosive” does not include fireworks or dangerous fireworks. 
“Combustion residual” means any paper, ash, wire, or other physical material that remains after the perchlorate-containing material has been substantially consumed. “Combustion residual” does not include items that retain inherent explosive properties, or treatment residuals of perchlorate-containing waste. 
“Consumer commodity” means a material that is packaged and distributed in a form intended or suitable for sale through retail sales agencies or instrumentalities for consumption by individuals for personal or household use.
“Consumer good” means a product or commodity used by a business that is packaged in a form similar to a consumer commodity. 
“Crop” means an agricultural product grown and harvested for sale or consumption. 
“Dangerous fireworks” means dangerous fireworks as defined in Health and Safety code sections 12505 and 12561 and the relevant sections of title 19, Code of Regulations, subchapter 6. 
“Department” means the Department of Toxic Substances Control. 
“Discharge” means the accidental or intentional spilling, leaking, pumping, pouring, emitting, emptying or dumping of waste into or on any land or water. 
“End user” means the person who utilizes a product for the product's intended end use. 
“EPA ID Number” means the identification number as defined in section 66260.10. 
“Food” means any raw or processed substance, beverage, including water, or ingredient intended to be used as food, drink, confection, or condiment for human or other animal consumption. 
“Household” means a single detached residence or a single unit of a multiple residence unit and all appurtenant structures. “Household” does not mean a hotel, motel, bunkhouse, ranger station, crew quarters, campground, picnic ground, or day-use recreation facility. 
“Household waste” means any materials, including garbage or trash that is generated by residents through the use of a consumer commodity in a household. 
“Managing perchlorate materials” means generation, storage, transportation, manufacture, processing, fabrication, packaging, use, reuse, treatment, transfer, pumping, recovery, recycling, spill response, disposal, and discharge. 
“Material Safety Data Sheet” means written or printed material concerning a hazardous chemical which is prepared in accordance with title 29 of the Code of Federal Regulations, section 1910.1200(g). 
“Military munitions,” as defined in title 40 of the Code of Federal Regulations, section 260.10, means all ammunition products and components produced or used by or for the U.S. Department of Defense (DOD) or the U.S. Armed Services for national defense and security, including military munitions under the control of the Department of Defense, the U.S. Coast Guard, the U.S. Department of Energy (DOE), and National Guard personnel. The term military munitions includes: confined gaseous, liquid, and solid propellants, explosives, pyrotechnics, chemical and riot control agents, smokes, and incendiaries used by DOD components, including bulk explosives and chemical warfare agents, chemical munitions, rockets, guided and ballistic missiles, bombs, warheads, mortar rounds, artillery ammunition, small arms ammunition, grenades, mines, torpedoes, depth charges, cluster munitions and dispensers, demolition charges, and devices and components thereof. Military munitions do not include wholly inert items, improvised explosive devices, and nuclear weapons, nuclear devices, and nuclear components thereof. However, the term does include non-nuclear components of nuclear devices, managed under DOE's nuclear weapons program after all required sanitization operations under the Atomic Energy Act of 1954, as amended, have been completed. “Military munitions” does not include dangerous fireworks.
“NAICS” means the North American Industry Classification System 
“Net explosive weight” means the weight of all pyrotechnic compositions, explosives material, and fuse only. 
“Non-hazardous waste” means a waste that does not meet the definition of hazardous waste as defined in both Health and Safety Code section 25117 and section 66261.3 of this division. 
“Packaging” means a receptacle and any other components or materials necessary for the receptacle to perform its containment function in conformance with the minimum packing requirements of this chapter. 
“Perchlorate-containing device” means a product that is constructed and maintained such that it meets the packaging requirement in section 67384.5(a) of this chapter. 
“Perchlorate-contaminated media” means soil, sediment, surface water, groundwater contaminated with perchlorate. 
“Perchlorate material” means all perchlorate-containing materials including perchloric acid and perchlorate compounds. “Perchlorate material” includes all forms of matter, goods, and products and shall not be limited by other statutory or regulatory definitions of “material.” 
“Pyrotechnic operator” means any licensed pyrotechnic operator, who by examination, experience, and training, has demonstrated the required skill and ability in the use and discharge of fireworks as authorized by the license granted. 
“Public display of fireworks” means an entertainment feature where the public or a private group is admitted or permitted to view the display or discharge of fireworks. 
“Public safety activity” means any activity intended to protect people or property, including, but not limited to, law enforcement services, fire protection and suppression, emergency medical care, tow operations, emergency services, public utility service and repair, homeland security, and highway maintenance and repair. 
“RWQCB” means a California Regional Water Quality Control Board. 
“Safe and sane fireworks” means state-approved fireworks defined in Health and Safety Code sections 12529 and 12562 and the relevant sections of Title 19, California Code of Regulations, subchapter 6. 
“Spill” means unintentional release of perchlorate material. “Spill” does not include: 
(a) perchlorate-contaminated media excluded under section 67384.2(b)(2) of this chapter; or 
(b) perchlorate material remaining or resulting from the intended use of the product. 
“Star” means a small pellet of composition that produces a pyrotechnic effect. A single aerial firework shell could contain several hundred stars. 
“SWRCB” means the California State Water Resources Control Board. 
“Storage” means the act of storing or holding perchlorate material. 
“Wastewater” means a perchlorate-containing water that is a waste. 
“Water-resistant package” means a package that when closed, under conditions incidental to handling, is substantially impervious to rain, spray, and run on. 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5 and 25210.6, Health and Safety Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
§67384.4. Labeling Best Management Practice Requirements for Perchlorate Materials.
Note     •     History

(a) Persons who manufacture perchlorate materials, repackage perchlorate materials, distribute perchlorate materials for sale, receive perchlorate materials for resale or use in California, or generate a perchlorate containing waste shall ensure that the perchlorate materials are properly labeled. Labels shall be applied conspicuously on the exterior of all outer shipping packages and on consumer packages. All perchlorate material, except those materials listed in subsection (b) of this section, shall be labeled or marked clearly with the following, “Perchlorate Material -- special handling may apply, See www.dtsc.ca.gov/hazardouswaste/perchlorate.” 
(b) The best management practice requirements of this section do not apply to the following perchlorate materials: 
(1) Household waste; 
(2) Perchlorate-containing water resulting solely from treatment with a sanitizer, disinfectant, or bleach; 
(3) Perchlorate materials used or maintained at a site where all personnel handling the perchlorate material have received instruction on and comply with the perchlorate Best Management Practice requirements of this chapter; 
(4) Perchlorate materials while accompanied by a Material Safety Data Sheet, shipping document, or package insert that includes all the information required in the label pursuant to subsection (a); 
(5) Finished products produced pursuant to federal, military or space launch contract requirements; 
(6) Wastewaters that are discharged under the oversight of a regulatory agency with jurisdiction over discharges; 
(7) Non-hazardous perchlorate wastes resulting from the use of safety flares during a public safety activity; and 
(8) Perchlorate materials registered as pesticides pursuant to the Federal Insecticide, Fungicide, and Rodenticide Act. 
(c) The best management practice requirements of this section do not apply to the end user of any of the following: 
(1) consumer goods; 
(2) consumer commodities; and 
(3) fertilizers. 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5 and 25210.6, Health and Safety Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
§67384.5. Packaging Best Management Practices Requirement for Perchlorate Materials.
Note     •     History

(a) Each package used for the containment of perchlorate materials under this section, unless contained as specified in section 67384.6, shall: 
(1) be designed, constructed, maintained, filled, its contents so limited, and closed, so that under conditions normally incident to handling, there will be no identifiable release of perchlorate materials to the environment; and 
(2) be contained in a water-resistant package. 
(b) Perchlorate-containing products that are constructed and maintained such that they meet the packaging requirement of subsection (a) need not also comply with the containment requirements specified in section 67384.6. 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5 and 25210.6, Health and Safety Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
§67384.6. Containment Best Management Practice Requirements for the Storage, Processing and Manufacturing of Perchlorate Materials.
Note     •     History

(a) Unless listed in subsection (b) of this section, perchlorate materials not packaged or constructed as specified in section 67384.5 during storage, processing and manufacturing, shall be contained in weather-resistant structures with floors that: 
(1) are adequately water-resistant to prevent seepage into or out of the containment structure; 
(2) do not have drains that release to the environment unless the discharge complies with section 67384.10; and 
(3) are of adequate strength to support the loads. 
(b) Containment requirements specified in this section shall not apply to the following: 
(1) Perchlorate-containing water resulting solely from treatment with a sanitizer, disinfectant, or bleach; 
(2) Manufacturing processes, which because of explosion risk, are not conducted within a weather-resistant structure, but meet all other requirements of subsection (a) above; 
(3) Fertilizers stored by end users for less than thirty (30) days on the site of intended application; 
(4) Consumer commodities used or stored at a household; and 
(5) Safe and sane fireworks sold or offered for sale at a permitted temporary retail outlet. 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5 and 25210.6, Health and Safety Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
§67384.7. One-Time Notification Best Management Practice Requirements for Perchlorate Materials.
Note     •     History

(a) On or before September 1, 2007 a business managing perchlorate materials in the course of its operations in an amount greater than 500 pounds of solids or 55 gallons of liquids, at any one time, shall submit to the Department a one-time notification regarding perchlorate materials. The notification shall cover activities occurring between July 1, 2006 and June 30, 2007 and shall include the following:

View Graphic
Has the business plan has been updated to include perchlorate-containing materials pursuant to Health and Safety Code section 25504.1? Yes or No 

View Graphic
(b) A material meeting the definition of perchlorate material solely because it contains one or more perchlorate-containing devices shall include only the weight of the perchlorate-containing devices in determining the notification threshold weight of subsection (a). 
(c) A business shall not include the following perchlorate-containing materials in determining the notification threshold of subsection (a): 
(1) Military munitions managed in accordance with Department of Defense regulations; 
(2) Water resulting solely from treatment with a sanitizer, disinfectant, or bleach; 
(3) Sanitizer, disinfectant, or bleach that is packaged as a consumer commodity; 
(4) Wastewater that is discharged under the oversight of a regulatory agency with jurisdiction over discharges; 
(5) Fertilizer that has been reported pursuant to Food and Agriculture Code sections 14621-14623; and 
(6) Safe and sane fireworks sold or offered for sale at a permitted temporary retail outlet. 
(d) Information on how to submit an electronic notification under subsection (a) is available at www.dtsc.ca.gov/hazardouswaste/perchlorate. 
(e) Written notifications submitted under subsection (a) shall be submitted to: Department of Toxic Substances Control, Hazardous Waste Management Program, Regulatory and Program Development Division, P.O. Box 806, Sacramento, CA 95812-0806, with “Attention: Perchlorate Materials BMPs” prominently displayed on the front of the envelope. 
(f) A business submitting notification under section (a) may request a business confidentiality claim that part or all of the notification information be withheld from public disclosure by the Department pursuant to the California Public Records Act, Government Code section 6250 et seq. 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5, 25210.6 and 25504.1, Health and Safety Code; and Sections 14231-14623, Food and Agricultural Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
§67384.8. Special Best Management Practices for Flares and Pyrotechnic Perchlorate Materials.
Note     •     History

(a) Road safety flares shall be used in a manner that minimizes releases of perchlorate to the environment. The following practices shall be implemented to the extent practical without impeding immediate safety considerations: 
(1) Flares should be allowed to burn completely; 
(2) Flares used in an emergency incident shall be limited in number and duration necessary to ensure safety; and 
(3) All personnel who routinely use flares in the normal course of employment should receive instruction on the potential environmental hazards associated with the use of perchlorate materials and on the perchlorate Best Management Practice requirements of this chapter. 
(b) Marine safety flares shall be used in a manner that minimizes releases of perchlorate to the environment. 
(c) Within twenty-four (24) hours of a public display of fireworks or the use of dangerous fireworks, the pyrotechnics operator, in addition to complying with title 19 of the California Code of Regulations, section 1003, shall, to the extent practical, collect any stars and un-ignited pyrotechnic material found during the required inspection of the entire firing range. 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5 and 25210.6, Health and Safety Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
§67384.9. Spill Response Best Management Practices for Non-Hazardous Perchlorate Materials.
Note     •     History

(a) For spills of non-hazardous perchlorate materials to the environment, a handler of perchlorate materials: 
(1) Shall immediately take action to stop and contain all spills of perchlorate material; 
(2) Shall determine whether any material resulting from the spill is hazardous waste, and if so, shall manage the hazardous waste in compliance with all applicable requirements of this division. The handler is considered the generator of the material resulting from the release, and shall manage it in compliance with chapter 12 of this division; 
(3) Shall collect to the extent practical any material resulting from the spill; and 
(4) Shall prevent or minimize releases to storm drains. 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5 and 25210.6, Health and Safety Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
§67384.10. Discharge/Disposal Best Management Practices for Perchlorate Materials.
Note     •     History

(a) When solid non-hazardous perchlorate containing waste is land disposed in California, it shall be disposed of in either: 
(1) a hazardous waste landfill; or 
(2) a composite-lined portion of a non-hazardous waste landfill that meets all requirements applicable to disposal of municipal solid waste in California after October 9, 1993. If a release is indicated by the landfill's Detection Monitoring Program, the landfill shall include perchlorate as a Constituent of Concern in the Evaluation Monitoring Program. 
After the initial evaluation monitoring, monitoring requirements imposed pursuant to this subsection may be modified or terminated by the RWQCB if deemed appropriate. 
(b) When non-hazardous liquid perchlorate-containing wastewater is discharged in California, the discharger shall: 
(1) notify the overseeing regulatory agency and the appropriate RWQCB of the perchlorate discharge; and 
(2) upon initial issuance or renewal of the existing authorization for discharge, shall include perchlorate in the required monitoring program, if deemed necessary by the overseeing regulatory agency. 
(c) The POTWs receiving wastewater from a business that has identified perchlorate-containing discharges, shall: 
(1) notify the appropriate RWQCB of the acceptance of perchlorate- containing waste by the POTW; and 
(2) upon initial issuance or renewal of the existing authorization for discharge, shall include perchlorate in the required monitoring and reporting plan, if deemed necessary by the RWQCB. 
Monitoring requirements imposed pursuant to this subsection may be modified or terminated by the RWQCB if deemed appropriate. 
(d) The requirements of subsections (a) and (b) do not apply to: 
(1) Perchlorate-containing water resulting solely from treatment with a sanitizer, disinfectant, or bleach; 
(2) Household non-hazardous perchlorate-containing waste; and 
(3) Non-hazardous perchlorate wastes resulting from the use of safety flares during a public safety activity. 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5 and 25210.6, Health and Safety Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
§67384.11. Pollution Prevention Best Management Practices for Perchlorate Materials.
Note     •     History

(a) On or before January 1, 2008 and every 5 years thereafter, a business that uses perchlorate-containing fertilizers, road safety flares, commercial explosives, or commercial blasting agents, in an amount greater than 500 pounds in any month, shall: 
(1) Review the use of these perchlorate-containing products to determine if a non-perchlorate-containing alternative is available and equivalent; and 
(2) Review and implement as appropriate pollution prevention measures to prevent releases of perchlorate. 
Fertilizers that are substances allowed by the United States Department of Food and Agriculture pursuant to the Organic Foods Production Act of 1990, are exempt from this subsection. Other fertilizers that are perchlorate materials solely because the source of the perchlorate is from an allowed substance pursuant to the Organic Foods Production Act are also exempt from this subsection. 
(b) On or before January 1, 2008, a business that uses dangerous fireworks in amounts greater than 4,000 pounds net explosive weight, or conducts public display of fireworks in amounts greater than 4,000 pounds net explosive weight, or uses solid rocket motors, in amounts greater than 8,000 pounds gross weight, at the same location, in a calendar year, except as specified in subsection (c), shall submit to the Department the following data regarding the Area of Interest: 
(1) Perchlorate analytical results of existing storm water monitoring, in the Area of Interest, mandated by a storm water permit authorized by the SWRCB or an applicable RWQCB that requires monitoring for perchlorate; or 
(2) Existing environmental monitoring of the Area of Interest for perchlorate in the soil and/or water. 
(c) A business subject to subsection (b) above is exempt from the data submittal of subsection (b)(1) and (b)(2), if the perchlorate-contaminated media in the Area of Interest is exempted under section 67384.2(b)(2). 
NOTE

Authority cited: Sections 25210.6 and 58012, Health and Safety Code. Reference: Sections 25210.5 and 25210.6, Health and Safety Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). Pursuant to Health and Safety Code section 25210.6(c), these emergency regulations shall remain in effect until revised by the Department of Toxic Substances Control.
Chapter 34. Alternative Management Standards for Treated Wood Waste
§67386.1. Scope and Applicability.
Note     •     History

(a) This chapter provides an alternative set of management standards in lieu of the requirements for hazardous waste pursuant to articles 6, 6.5, and 9, chapter 6.5, division 20, Health and Safety Code, and chapter 12, 13, 14, 15, 16, 18, and 20 of this division for a person managing treated wood waste (TWW). All other chapters of this division, and section 66264.101, chapter 14, division 4.5, title 22, apply to persons managing TWW.
(b) Nothing in this chapter is a limitation on the power of this or any other governmental agency to adopt or enforce additional requirements related to the management of TWW.
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7 and 25150.8, Health and Safety Code. 
HISTORY

1. New chapter 34 (sections 67386.1-67386.4) and section filed 12-27-2006 as an emergency; operative 1-1-2007 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2007 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2007, No. 17).
3. New chapter 34 (sections 67386.1-67386.4) and section refiled 4-23-2007 as an emergency; operative 4-30-2007 (Register 2007, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section and amendment of Note filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
§67386.2. Applicability.
Note     •     History

(a) The alternative management standards of this chapter apply only to wood waste that meets all of the following:
(1) is a hazardous waste pursuant to chapter 11 of this division; 
(2) is a hazardous waste solely due to the presence of a preservative in or on the wood that is registered in accordance with the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) for use as a wood preservative; and
(3) is not subject to regulation as a hazardous waste under the federal Resource Conservation and Recovery Act (RCRA).
(b) The alternative management standards of this chapter do not apply to wood waste exempted from hazardous waste management standards pursuant to Health and Safety Code section 25143.1.5.
(c) The following wood wastes are not eligible for the alternative management standards of this chapter:
(1) wood waste that is hazardous due to the presence of coatings, paint, or other treatments that are not registered in accordance with FIFRA for use as a wood preservative; or
(2) wood waste when designated to be burned.
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25143.1.5, 25150.7 and 25150.8, Health and Safety Code.
HISTORY

1. New section filed 12-27-2006 as an emergency; operative 1-1-2007 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2007 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2007, No. 17).
3. New section refiled 4-23-2007 as an emergency; operative 4-30-2007 (Register 2007, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, repealer and new section and amendment of Note filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
§67386.3. Prohibited Activities.
Note     •     History

(a) TWW managed in accordance with the alternative management standards of this chapter shall not be:
(1) burned; 
(2) scavenged;
(3) commingled with other waste prior to disposal, if previously segregated;
(4) stored in contact with the ground; 
(5) recycled, with or without treatment, except as provided for in subsection (c)
(6) treated except in compliance with section 67386.10; and 
(7) disposed to land except in compliance with section 67386.11.
(b) Any label or mark that identifies the wood waste as TWW shall not be intentionally removed, obliterated, defaced, or destroyed prior to disposal in a landfill.
(c) TWW may be recycled only by reuse pursuant to conditions specified in (1)-(3) of this subsection. During reuse, the TWW is not subject to sections 67386.5 through 67386.11. TWW may only be reused when all of the following apply:
(1) reuse is onsite;
(2) at the time of reuse, reuse is consistent with a FIFRA approved use of the preservative with which the TWW has been treated; and
(3) prior to reuse, the TWW is handled in compliance with all applicable management standards of this chapter.
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7 and 25150.8, Health and Safety Code.
HISTORY

1. New section filed 12-27-2006 as an emergency; operative 1-1-2007 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2007 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2007, No. 17).
3. New section refiled 4-23-2007 as an emergency; operative 4-30-2007 (Register 2007, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, repealer and new section and amendment of Note filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
§67386.4. Definitions.
Note     •     History

The definitions set forth in section 66260.10 of this division shall apply unless otherwise defined. The following definitions shall apply to the terms used in this chapter:
“Agent” means a person hired by a generator for the removal, collection, or transportation of TWW.
“Class 1 hazardous waste landfill” means a landfill as defined in section 66260.10, which is also authorized as part of a permitted facility as defined in section 66260.10.
“Composting Facility” means a facility that produces compost as defined in Public Resources Code, section 40116 and is authorized to operate pursuant to division 30 of Public Resources Code (commencing with §40000).
“Gasification Facility” means a facility that utilizes a gasification process as defined in Public Resources Code, section 40117 and is authorized to operate pursuant to division 30 of Public Resources Code (commencing with §40000). 
“Limited Volume Transfer Operation” means an operation that receives less than 60 cubic yards, or 15 tons of solid waste per operating day for the purpose of storing the waste prior to transferring the waste to another solid waste operation or facility and which does not conduct processing activities, but may conduct limited salvaging activities and volume reduction by the operator and is authorized to operate pursuant to division 30 of Public Resources Code (commencing with §40000).
“Resizing” means the minimal cutting, breaking, or sawing, but does not include planing, grinding, chipping, sanding, shredding, mulching, or other mechanical handling or any other treatment. 
“Small Volume Construction and Demolition/Inert (CDI) Debris Processing Operation” means a site that receives less than 25 tons of any combination of construction and demolition debris and Type A inert debris per operating day for the purposes of storage, handling, transfer, or processing that is authorized to operate pursuant to division 30 of Public Resources Code (commencing with §40000).
“Solid Waste Landfill” means a facility as defined in Public Resources Code, section 40195.1 that is authorized to operate pursuant to division 30 of Public Resources Code (commencing with §40000).
“Transfer or Processing Station” means a facility as defined in Public Resources Code, section 40200 that is authorized to operate pursuant to division 30 of Public Resources Code (commencing with §40000). 
“Transformation Facility” means a facility that utilizes a transformation process as defined in Public Resources Code, section 40201 and is authorized to operate pursuant to division 30 of Public Resources Code (commencing with §40000). 
“Treated wood” means wood that has been treated with a chemical preservative for purposes of protecting the wood against attacks from insects, microorganisms, fungi, and other environmental conditions that can lead to decay of the wood and the chemical preservative is registered pursuant to the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. §136 and following).
“Treated Wood Waste” means a waste that meets the requirements of section 67386.2(a).
“TWW” means “Treated Wood Waste.”
“TWW approved landfill” means either a class 1 hazardous waste landfill, or a composite-lined portion of a solid waste landfill unit that meets all requirements applicable to disposal of municipal solid waste in California after October 9, 1993, and that is regulated by waste discharge requirements issued pursuant to division 7 (commencing with §13000) of the Water Code for discharges of designated waste, as defined in section 13173 of the Water Code, or treated wood waste and that is in compliance with this chapter.
“TWW facility” means either:
(a) a solid waste landfill, as defined in this section, that is in compliance with this chapter; or 
(b) a transfer or processing station, as defined in this section, that is in compliance with this chapter; or 
(c) a gasification facility, as defined in this section, that is in compliance with this chapter; or
(d) a TWW approved landfill, as defined in this section, that is in compliance with this chapter; or
(e) a class 1 hazardous waste landfill; or
(f) Small Volume Construction and Demolition/Inert (CDI) Debris Processing Operation, as defined in this section, that is in compliance with this chapter; or
(g) Limited Volume Transfer Operation, as defined in this section, that is in compliance with this chapter. 
TWW Facility shall not include composting facilities, or transformation facilities.
“TWW handler” means a person who generates, handles, collects, processes, accumulates, stores, transfers, transports, treats, recycles, or disposes of TWW.
“Unit” means a pile, stack, container, bundle, or other discernable aggregation of TWW for purposes of this chapter.
“Wood waste” means all waste timber products and failed timber products including solid sawn lumber and engineered wood products, offcuts, shavings and sawdust that meet the definition of “waste” pursuant to Health and Safety Code section 25124. “Wood Waste” does not mean forest residues, green waste, or garden waste materials such as branches, bushes and tree stumps. 
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7 and 25150.8, Health and Safety Code; Sections 40116, 40117, 40195.1, 40200 and 40201, Public Resources Code; and Section 13173, Water Code.
HISTORY

1. New section filed 12-27-2006 as an emergency; operative 1-1-2007 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 5-1-2007 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2007, No. 17).
3. New section refiled 4-23-2007 as an emergency; operative 4-30-2007 (Register 2007, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, repealer and new section and amendment of Note filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
§67386.5. Labeling.
Note     •     History

(a) TWW generated, accumulated, stored, or transported within California shall be clearly marked and visible for inspection. The person managing the TWW shall ensure that each unit and/or area designated for accumulation of TWW is labeled. The area designated for accumulation of TWW shall be clearly identified and used solely for the accumulation of TWW.
(b) In order to clearly identify the nature of the waste to the receiving party and/or any observer, the TWW shall be labeled or marked with the following: 
“TREATED WOOD WASTE --Do not burn or scavenge.
TWW Handler Name and Address: ________________________
_____________________________________________________
Accumulation Date: ___________________________________
(c) The TWW handler shall ensure that labels are maintained in compliance with the requirements of subsections (a) and (b) during transport.
(d) TWW accumulated for a period not to exceed thirty (30) days by a household at the site of generation in compliance with the requirements of section 67386.6 is exempt from the labeling requirements of this section.
(e) TWW, generated by a household, while being self-transported to an approved TWW facility is exempt from the labeling requirements of this section if the TWW is identified to the TWW facility as TWW. 
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7 and 25150.8, Health and Safety Code.
HISTORY

1. New section filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
2. Amendment of subsection (e) filed 10-3-2007; operative 11-2-2007 (Register 2007, No. 40).
§67386.6. Accumulation.
Note     •     History

(a) TWW shall be maintained in a manner that prevents unauthorized access and minimizes release to the environment. 
(1) Unauthorized access shall be prevented by means of visual control or a physical barrier when not under the direct control of the person responsible for the TWW.
(2) The TWW shall be accumulated in a manner that is protected from run-on and run-off, and placed on a surface sufficiently impervious to prevent, to the extent practical, contact with and leaching to soil or water, which may be accomplished by one of the following:
(A) Block and Tarp:
The TWW may be accumulated when all the following requirements are met;
1. TWW is elevated to prevent contact with the soil and to protect from reasonably foreseeable run-on; 
2. TWW is covered to protect from precipitation; and
3. TWW is accumulated no longer than 90 days from the date the TWW is generated or received from another handler.
(B) Containerize: 
The TWW may be accumulated in containers no longer than one year from the date the TWW is generated or received from another handler. The containers shall be;
1. designed, constructed, maintained, filled, its contents so limited, and closed, so that under conditions normally incidental to handling, there will be no identifiable release of TWW materials or its constituents to the environment;
2. water-resistant if exposed to precipitation, run-on or run-off under reasonably foreseeable conditions; and
3. transported to a TWW facility within 90 days of being filled to capacity.
(C) Storage Building:
The TWW shall be accumulated no longer than one year from the date the TWW is generated or received from another handler in a structurally sound building with a water-resistant floor designed to prevent the movement of water into or out of the building.
(D) Containment Pad:
The TWW may be accumulated no longer than 180 days from the date the TWW is generated or received from another handler on a containment surface and all the following requirements are met;
1. TWW does not contact soil; 
2. TWW is protected from reasonably foreseeable run-on; 
3. TWW is covered to protect from precipitation; and 
4. TWW managed in accordance with this subsection may be accumulated uncovered if the containment surface is designed and operated to contain all precipitation and the resulting water is managed in accordance with all applicable laws and regulations. 
(E) Other:
The TWW may be accumulated no longer than 90 days from the date the TWW is generated or received from another handler in any other manner in which the TWW handler can clearly demonstrate that the TWW is protected from run-on and run-off, and placed on a surface sufficiently impervious to prevent, to the extent practical, contact with and leaching to soil or water.
(b) Except as provided in subsection (c), in no case shall TWW be accumulated for more than one year from the date of generation or the date received from another handler.
(c) A handler may accumulate TWW for longer than one year from the date the TWW is generated or received from another handler, if the accumulation is solely for the purpose of accumulation of quantities of TWW necessary to facilitate disposal pursuant to section 67386.11. However, the handler bears the burden of proving that the accumulation was solely for the purpose of accumulation of quantities of TWW necessary to facilitate proper disposal.
(d) A person who accumulates TWW shall be able to demonstrate the length of time the TWW has been accumulated from the date it becomes a waste or is received.
(e) TWW generated incidental to the maintenance of a household and accumulated by the resident of the household at the site of generation is exempt from the accumulation requirements of this section if all of the following requirements are met;
(1) TWW is not physically altered except as provided in section 67386.10; and
(2) TWW is accumulated no longer than thirty (30) days.
(f) TWW generated incidental to the operation of a business accumulated at the site of generation for a period not to exceed thirty (30) days is exempt from the accumulation requirements of this section if:
(1) TWW is not physically altered except as provided in section 67386.10; and 
(2) the business accumulates no more than 1,000 pounds of TWW.
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7 and 25150.8, Health and Safety Code.
HISTORY

1. New section filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
2. Amendment of subsections (a)(2)(B)1.-2. and new subsection (a)(2)(B)3. filed 10-3-2007; operative 11-2-2007 (Register 2007, No. 40).
§67386.7. Offsite Shipments.
Note     •     History

(a) Except as provided in subsection (c), a TWW handler is prohibited from sending or taking TWW to a place other than a TWW facility, or a TWW approved landfill.
(b) Prior to sending a shipment of TWW to another TWW handler, the originating handler shall ensure that the receiving handler agrees to receive the shipment.
(c) A TWW handler who initially collects TWW at a remote site may transport that TWW to a consolidation site operated by the generator if all the following conditions are met;
(1) the TWW is transported by the generator, employees of the generator or by the generator's agent;
(2) a shipping document containing all of the following information accompanies the TWW while in transport;
(A) the quantity, by weight or volume, of TWW being transported;
(B) the location of the remote site where the TWW was initially collected;
(C) the date that the generator first began to accumulate the TWW at the remote site, the date that the shipment leaves the remote site, and the date that the shipment arrives at the consolidation site;
(D) the name, address, and telephone number of the generator, and, if different, the address and telephone number of the consolidation site to which the TWW is being transported; and
(E) the name of the individual or individuals who transport the TWW from the remote site to the consolidation site; and
(3) the TWW handler shall retain the shipping document described in subsection (c)(2) of this section for at least three years from the date the TWW leaves the TWW consolidation site.
(d) TWW shall be shipped and/or transported in a manner that prevents unauthorized access; protects the TWW from precipitation; and prevents loss, dispersion, and leaching of TWW constituents. 
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7 and 25150.8, Health and Safety Code.
HISTORY

1. New section filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
§67386.8. Tracking Shipments.
Note     •     History

(a) Shipments off-site. A TWW handler shall keep a record of each shipment of TWW sent from the handler to TWW facilities. The record may take the form of a log, invoice, manifest, bill of lading, shipping document, or receipt from a TWW facility. The record for each shipment of TWW shall include the following information:
(1) name and address of the TWW facility to which the TWW was sent;
(2) weight of TWW, the estimated weight of TWW, or the weight of the TWW as measured by the receiving TWW facility (An estimated weight may be used when a scale is unavailable or weighing is impractical. Assumptions required for weight estimates shall be recorded in the shipment records.); and
(3) date the shipment of TWW left the handler.
(b) Receipt of shipments. A TWW handler shall keep a record of each shipment of TWW received at the facility. The record may take the form of a log, invoice, manifest, bill of lading, or other shipping document. The record for each shipment of TWW received shall include the following information:
(1) name and address of the originating TWW generator from whom the TWW was sent;
(2) weight of TWW or the estimated weight of TWW (An estimated weight may be used when a scale is unavailable or weighing is impractical. Assumptions required for weight estimates shall be recorded in the shipment records.); and
(3) date of receipt of the shipment of TWW.
(c) Reporting receipt of shipments. A TWW facility or a TWW approved landfill that receives TWW shall submit, to the department, semi annual reports for the periods ending June 30 and December 31 of each year. Reports shall be required beginning December 31, 2007 and shall be submitted in an electronic format provided by the department within 30 days of the end of each reporting period. Each semi annual report shall include the following information:
(1) reporting facility information;
1. Facility name, location address, contact person's name, and telephone number; and
2. Identification Number.
(2) for all TWW shipments received, other than those reported under subsections (3), (4), and (5) the TWW facility shall report the following information;
1. generator's Identification Number, or, if the generator does not have an Identification Number, the name, address, contact person's name, mailing address, and telephone number of the generator;
2. dates of shipments; and
3. weight of TWW per shipment.
(3) TWW household information;
1. weight summary of all TWW quantities received that were generated by households.
(4) TWW load check information;
1. Weight summary of all TWW quantities discovered and separated from solid waste as part of an on-site load checking program.
(5) for shipments received from another TWW facility the following information shall be reported by the receiving TWW facility;
1. TWW facility's Identification Number or the name, address, contact person's name, mailing address, and telephone number of the TWW facility;
2. dates of shipments; and
3. weight of TWW per shipment.
(d) The department shall make all of the information in the semi annual reports submitted pursuant to this subdivision available to the public, through its usual means of disclosure, except the department shall not disclose the association between any specific TWW handlers and specific facilities. The list of TWW handlers served by a facility shall be deemed to be a trade secret and confidential business information for purposes of Health and Safety Code section 25173 and section 66260.2 of title 22 of the California Code of Regulations.
(e) Record retention.
(1) a TWW handler shall retain the records described in subsection (a) of this section for at least three years from the date the shipment left the handler; and
(2) a TWW facility shall retain the records described in subsection (b) of this section for at least three years from the date of receipt of a shipment.
(f) Households are exempt from the recordkeeping requirements of this section when the TWW is generated incidental to that household.
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7, 25150.8 and 25173, Health and Safety Code.
HISTORY

1. New section filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
§67386.9. Notification.
Note     •     History

(a) In any calendar year that a TWW handler generates more than 10,000 pounds of TWW, the TWW handler shall obtain or maintain an Identification Number within 30 days of exceeding the weight threshold. 
(b) In any calendar year that a TWW handler generates more than 10,000 pounds of TWW the handler shall send written notification to the Department within 30 days of exceeding the 10,000 pound limit.
(c) The notification shall include;
(1) TWW handler's name and mailing address;
(2) generator's Identification Number;
(3) name and business telephone number of the person at the TWW handler's site who should be contacted regarding TWW management activities;
(4) address or physical location of the TWW management activities;
(5) date the TWW handler exceeded the 10,000 pound limit; and
(6) a statement indicating that the handler is generating more than 10,000 pounds of TWW per calendar year.
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7 and 25150.8, Health and Safety Code.
HISTORY

1. New section filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
§67386.10. Treatment.
Note     •     History

(a) Treatment, as defined in Health and Safety Code section 25123.5, of treated wood waste managed in accordance with the alternative management standards of this chapter is prohibited except as provided in subsections (b) and (c).
(b) Resizing is exempt from the permitting requirements of this division when resized to facilitate transport or reuse and the following requirements are met;
(1) TWW shall be handled in a manner that prevents the uncontrolled release of hazardous constituents to the environment; and 
(2) if size reduction of the TWW results in sawdust, particles, or other material smaller than one cubic inch, the material shall be captured and managed as TWW.
(c) Sorting and segregating are both exempt from the permitting requirements of this division. The TWW shall be handled in a manner that prevents the uncontrolled release of hazardous constituents to the environment.
(d) An employer resizing, sorting, or segregating TWW shall provide training for all employees handling TWW and all employees that may reasonably be expected to contact TWW. A record of the training shall be maintained for a period of three years and available for review. The training shall include: 
(1) all applicable requirements of the California Occupational Safety and Health Act of 1973 (ch. 1, part 1, div. 5 (commencing with §6300) of the Labor Code), including all rules, regulations, and orders relating to hazardous waste;
(2) procedures for identifying and segregating TWW;
(3) safe handling practices;
(4) requirements of the alternative management standards; and
(5) proper disposal methods.
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7 and 25150.8, Health and Safety Code.
HISTORY

1. New section filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
§67386.11. Disposal.
Note     •     History

(a) When disposed to land, TWW shall be disposed in either a Class I hazardous waste landfill, or in a composite-lined portion of a solid waste landfill unit that meets all requirements applicable to disposal of municipal solid waste in California after October 9, 1993, and that is regulated by waste discharge requirements issued pursuant to division 7 (commencing with §13000) of the Water Code for discharges of designated waste, as defined in section 13173 of the Water Code, or TWW.
(b) A solid waste landfill that accepts TWW shall:
(1) comply with the prohibitions in section 67386.3 for handling TWW; 
(2) ensure that any management of the TWW at the solid waste landfill prior to disposal complies with the applicable requirements of this chapter;
(3) monitor the composite-lined portion of a landfill unit at which TWW has been disposed. When a release is verified, cease discharge of TWW to that landfill unit until corrective action results in cessation of the release. The landfill shall notify the department that TWW is no longer being discharged to that landfill unit and when corrective action results in cessation of the release; and
(4) handle TWW in a manner consistent with all applicable requirements of the California Occupational Safety and Health Act of 1973 (ch. 1, part 1, div. 5 (commencing with §6300) of the Labor Code), including all rules, regulations, and orders relating to hazardous waste. 
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7 and 25150.8, Health and Safety Code; and Section 13173, Water Code.
HISTORY

1. New section filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
2. Amendment of subsection (b)(3) filed 10-3-2007; operative 11-2-2007 (Register 2007, No. 40).
§67386.12. Training.
Note     •     History

(a) An employer managing TWW shall provide training for all employees handling TWW and all employees that may reasonably be expected to contact TWW. A record of the training shall be maintained for a period of three years and available for review. The training shall include:
(1) all applicable requirements of the California Occupational Safety and Health Act of 1973 (ch. 1, part 1, div. 5 (commencing with §6300) of the Labor Code), including all rules, regulations, and orders relating to hazardous waste;
(2) procedures for identifying and segregating TWW;
(3) safe handling practices;
(4) requirements of the alternative management standards; and
(5) proper disposal methods.
NOTE

Authority cited: Sections 25150, 25150.7 and 58012, Health and Safety Code. Reference: Sections 25150.7 and 25150.8, Health and Safety Code.
HISTORY

1. New section filed 6-18-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 25). 
Chapter 39. Hazardous Waste Property and Land Use Restrictions
§67390.2. Information Required for a Variance.
Note     •     History

(a) Upon receipt of a written request made pursuant to Health and Safety Code sections 25223 or 25224 the Department shall review all available documents and other written information with regard to the property concerned and notify the requester whether sufficient evidence exists for the Department to issue a written variance from a land use restriction imposed by the department, or removal of such restriction.
(b) In determining whether sufficient evidence exists for the Department to proceed with a variance pursuant to Health and Safety Code sections 25223 and 25224 the Department shall take into account:
(1) the hazardous characteristics of the wastes that caused the land to be restricted, such as, but not limited to, toxicity, reactivity, corrosivity, flammability, persistence, bioaccumulative characteristics, and infectiousness;
(2) factors affecting the potential for movement of any waste constituents away from the site through air, water, or soil, such as, but not limited to, the quantity of the wastes, physical state of the wastes, volatility of the wastes, solubility of the wastes, soil binding characteristics of the wastes, soil permeability, geological characteristics, hydrological characteristics, meteorological characteristics, flood potential and site terrain;
(3) factors affecting the potential for exposure of any population within 2,000 feet of the wastes such as, but not limited to, containment of the wastes, accessibility of the wastes, ground water use, wells, surface water use, existing and potential land use, sensitive environments, and critical habitats.
NOTE

Authority cited: Section 25156, Health and Safety Code. Reference: Sections 25223 and 25224, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect amending chapter heading, section heading, section and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
3. Editorial correction of History 2 (Register 2013, No. 3).
§67391.1. Requirements for Land Use Covenants.
Note     •     History

(a) Except as provided in subsections (e)(2) and (f) of this section, a land use covenant imposing appropriate limitations on land use shall be executed and recorded when:
(1) Facility closure, corrective action, remedial or removal action, or other response actions are undertaken pursuant to division 20 of the Health and Safety Code; and
(2) Hazardous materials, hazardous wastes or constituents, or hazardous substances will remain at the property at levels which are not suitable for unrestricted use of the land.
(b) The Department shall not approve or concur in a response action decision document which includes limitations on land use or other institutional controls, unless the limitations or controls are clearly set forth and defined in the response action decision document. Except as provided in subsections (e)(2) and (f) of this section, any response action decision document shall (1) specify that the limitations or controls will be incorporated into an appropriate land use covenant as required by this section and (2) include a description of the implementation and enforcement provisions, including but not limited to frequency of inspections and reporting requirements, necessary to ensure the integrity and long-term protectiveness of the land use covenant. The Department shall provide public notice of the response action decision document in a manner that meets the requirements of Health and Safety Code section 25356.1(e)(2). The Department will consult with local agencies, including local reuse authorities, as appropriate.
(c) Except as provided in subsections (e)(2) and (f) of this section,
(1) The Department shall not certify that a response action has been satisfactorily completed, with the exception of any necessary long-term operation and maintenance activities, until such land use covenants required by this section have been signed and recorded in the county where the property is located, or
(2) The Department shall not acknowledge final certification of closure of a hazardous waste disposal unit until such land use covenants required by this section also meet the requirements of sections 66264.119 or 66265.119 as applicable.
(d) All land use covenants pursuant to this section shall be executed by the Department and the landowner and shall be recorded in the county where the land is located. All land use covenants shall run with the land pursuant to Civil Code section 1471 and/or Health and Safety Code sections 25202.5, 25355.5, or 25395.99 and shall continue in perpetuity unless modified or terminated in accordance with applicable law.
(e) Federal Property.
(1) The Department shall not consider property owned by the federal government to be suitable for transfer to nonfederal entities pursuant to 42 United States Code section 9620(h)3-4 where hazardous materials, hazardous wastes or constituents, or hazardous substances remain at the property at levels which are not suitable for unrestricted use of the land, unless an appropriate land use covenant, except as provided in subsection (e)(2), will be executed by the Department and the federal government or the successor-in-interest to the federal government during the initial property transfer process, and recorded in the county where the land is located in accordance with this section.
(2) Whenever the Department determines that it is not feasible to record a land use covenant for property owned by the federal government, such as transfers from one federal agency to another, the Department and federal government shall use other mechanisms to ensure that future land use will be compatible with the levels of hazardous materials, hazardous wastes or constituents, or hazardous substances which remain on the property. Examples include: amendments to the federal government facility master plan, physical monuments, or agreements between the federal government facility and the Department.
(f) Whenever the Department determines that it is not feasible to establish a land use covenant as a component of a remedy for a site, it may use other institutional control mechanisms to ensure that future land use will be compatible with the levels of hazardous materials, hazardous wastes or constituents, or hazardous substances which remain on the property.
(1) Examples include, but are not limited to, publicly owned tidelands trust property: such mechanisms may include physical monuments, or a memorandum of agreement or consent agreement between the Department and the trustee for the tideland trust property.
(2) If the Department subsequently determines that it is feasible to record land use covenants for such sites, the Department shall ensure that the land use covenants are recorded in accordance with (d).
(g) Modification and Termination. The Department may modify or terminate land use covenants if it determines such modification or termination is protective of public health and safety and the environment.
(h) The Department shall require responsible parties, facility owners or operators, or project proponents involved in land use covenants to pay all costs associated with the administration of such controls.
(i) For purposes of this section:
(1) “Department” means the Department of Toxic Substances Control.
(2) “Federal property” means that property found in the Federal Property and Administrative Services Act of 1949, as amended, 40 United States Code sections 471 et seq.
(3) “Land use covenants” include easements, servitudes, covenants and restrictions which run with the land and restrict uses to protect public health and safety and the environment.
(4) “Response action decision document” means a remedial action plan, removal action workplan, record of decision, closure plan, documents written pursuant to a corrective action order or corrective action consent agreement, or other similar documents which formally select an action to be taken in response to the release or threatened release of hazardous materials, hazardous wastes or constituents, or hazardous substances.
(5) “Unrestricted use of the land” means that the land may be used for any purpose.
NOTE

Authority cited: Sections 25351.5 and 25150, Health and Safety Code. Reference: Sections 25202.5, 25355.5 and 25395.99, Health and Safety Code.
HISTORY

1. New section filed 3-20-2003; operative 4-19-2003 (Register 2003, No. 12).
2. Change without regulatory effect amending subsection (g) filed 1-13-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 2).
3. Amendment of section and Note filed 10-18-2007; operative 11-17-2007 (Register 2007, No. 42).
4. Change without regulatory effect amending subsections (b) and (d) and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
Chapter 40. Selection and Ranking Criteria for Hazardous Waste Sites Requiring Remedial Action 
Editorial Note:  Sections 67401.1 through 67401.13 were adopted to implement the California Expedited Remedial Action Reform Act of 1994, which was repealed effective June 27, 2012 by Senate Bill 1018 (Stats. of 2012. Chapter 39).  Senate Bill 1018 also codified Health and Safety Code section 25396, which provides that the requirements of the former California Expedited Remedial Action Reform Act of 1994 (formerly Chapter 6.85 (commencing with Section 25396) of Division 20) continue to apply to sites selected before the effective date of this chapter for participation in the pilot program established by that act.  The effective date of the chapter containing section 25396 is June 27, 2012.
§67400. Applicability. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 29 (Sections 67400-67424, not consecutive) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
3. Change without regulatory effect adding editorial note to chapter heading filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67400.1. Selection Criteria.
Note     •     History

Candidate sites shall be selected for hazardous waste site ranking if:
(a) the site is presently not owned by the Federal Government; and
(b) the release or threatened release of a hazardous substance (as defined in Health and Safety Code section 25316) at the site has been confirmed by the Department by means of on-site sampling conducted by the Department or other parties of the waste, soils, sediments, ground water, surface water or air.
NOTE

Authority cited: Section 25356(a), Health and Safety Code. Reference: Section 25356(a), Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67400.2. Site Ranking Criteria.
Note     •     History

Hazardous waste sites shall be ranked for remedial action according to the “Uncontrolled Hazardous Waste Site Ranking System, A User's Manual” (1982) MTR--82W111, except that the “Hazardous Chemicals Data” NFPA 49-1975 as contained in either the 1977 or 1984 edition of the “Fire Protection Guide on Hazardous Materials” published by the National Fire Protection Association may be used instead of the National Fire Protection Association's National Fire Codes, Vol. 13, No. 49 (1977).
NOTE

Authority cited: Section 25356(a), Health and Safety Code. Reference: Section 25356(a), Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67401. Definitions.  [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Stats. 1994, c. 435 (S.B. 923), Section 3, Health and Safety Code. Reference: Sections 208 and 25150, Stats. 1994, c. 435 (S.B. 923), Section 3, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
2. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
5. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
6. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
7. Repealer filed 12-10-96; operative 12-10-96 (Register 96, No. 50).
§67401.1. Definitions.
Note     •     History

(a) When used in this article, unless otherwise defined in Health and Safety Code (H&SC) Section 25396 (as it read on June 26, 2012), the following terms have the meanings given below:
(1) “Community benefit” means an equitable factor that will be used in conjunction with other equitable factors listed in H&SC Section 25398.8 (as it read on June 26, 2012) that DTSC shall consider when conducting its apportionment of liability. Community benefit may consider protection of public health and the benefit to the environment that may be realized by members of the public and the affected community by implementation of the response action.
(2) “Department” means the Department of Toxic Substances Control.
(3) “Expedited Remedial Action Program” means the program that was created pursuant to H&SC Section 25396 (as it read on June 26, 2012) et seq. of the Expedited Remedial Action Reform Act of 1994.
(4) “Fiscal Year” is the period of the year beginning July 1 and ending the following calendar year on June 30.
(5) “National Priorities List” means the list, compiled by the United States Environmental Protection Agency pursuant to the Comprehensive Environmental Response, Compensation, Liability Act of 1980 (42 U.S.C. Section 9605), of uncontrolled hazardous releases in the United States that are priorities for long-term remedial evaluation and response.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Section 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending subsections (a)(2)-(b) and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.2. Response Costs.
Note     •     History

(a) Response costs are all costs described in subdivision (t) of H&SC Section 25396 (as it read on June 26, 2012) including, but not limited to:
(1) The cost of preparing and reviewing a Preliminary Endangerment Assessment (PEA) including, but not limited to, the cost of collecting, reviewing, and analyzing data or any activities necessary to complete the PEA.
(2) Costs associated with the Department's preparation of a recommendation to the Site Designation Committee pursuant to subdivision (b) of H&SC Section 25396.5 (as it read on June 26, 2012).
(b) Response costs do not include:
(1) Fees and costs incurred by any responsible person associated with an arbitration or litigation.
(2) Fees and costs not directly related to and necessary to perform a response action.
(c) Subdivision (t) of H&SC Section 25396 (as it read on June 26, 2012) shall not limit the Department's ability to recover past costs under Chapter 6.8 of the Health and Safety Code.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Section 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of subsection (b), refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending subsections (a)-(a)(1) and (a)(3) and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.3. Requirements for a Completed Preliminary Endangerment Assessment.
Note     •     History

(a) In making its recommendation to the Site Designation Committee pursuant to Health and Safety Code section 25396.5 (as it read on June 26, 2012), the Department shall consider the condition set forth in H&SC section 25396.6(b) (as it read on June 26, 2012) to be satisfied if the responsible person or persons requesting selection of the site have submitted documents that the Department determines constitute a completed Preliminary Endangerment Assessment (PEA) and the PEA:
(1) provides sufficient information for the Department to determine that current or past waste management practices have resulted in the release or a threatened release of hazardous substances which pose a threat to public health or the environment; and
(2) provides sufficient information for the Department to conclude that significant response actions are necessary at the site; and
(3) includes an analysis of the scope and identity of the affected community.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Sections 25319.5 and 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending subsection (a) and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.4. Site Eligibility for the National Priorities List (NPL).
Note     •     History

The Department may not recommend that a site be selected for remediation pursuant to the Expedited Remedial Action Program if the site is proposed to be listed or is listed on the National Priorities List pursuant to the procedures specified in 40 Code of Federal Regulations, Part 300.425.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Sections 25319.5 and 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.5. Termination of Agreements and Site Stabilization.
Note     •     History

(a) In the event that a responsible person who has entered into an enforceable agreement with the Department pursuant to H&SC Section 25398.2(b)(1) (as it read on June 26, 2012) fails to comply with the agreement, the Department may terminate the agreement and remove the site from eligibility for response actions pursuant to the Expedited Remedial Action Program, and may direct that any further response actions at that site be taken pursuant to Chapter 6.8, Division 20, of the H&SC, unless one or more of any other responsible person agree to assume the noncomplying responsible person's responsibilities under the agreement.
(b) A responsible person who has entered into an enforceable agreement with the Department and who fails to comply with the agreement, shall take any action necessary to stabilize the site in order to protect public health and the environment, unless one or more of any responsible persons agree to assume the noncomplying responsible person's responsibilities the site under the agreement. Actions which are necessary to stabilize the site include, but are not limited to, the following:
(1) Action to preclude the possibility that the public can come in direct contact with hazardous substances either through ingestion, dermal absorption, or inhalation.
(2) Actions to prevent offsite migration of hazardous substances.
(c) Site stabilization activities shall be maintained by the responsible person to ensure protection of public health and the environment until the response action is complete.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Section 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending subsection (a) and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.6. Financial Assurance.
Note     •     History

(a) Any agreement entered into pursuant to H&SC Section 25398.2 (as it read on June 26, 2012) shall require a responsible person to demonstrate to the Department the availability of adequate forms of financial assurance for response costs that will or may be assigned to the orphan share.
(b) Any responsible person who must comply with operation and maintenance requirements as part of a response action must demonstrate the availability of adequate forms of financial assurance prior to issuance of a certificate of completion.
(c) For the purposes of complying with subdivisions (a) or (b) of this section, the responsible person shall choose from one or more of the following options as specified below.
(1) Establish a trust fund as described in Section 66265.143(a).
(2) Obtain a surety bond as described in Section 66265.143(b).
(3) Obtain a letter of credit as described in Section 66265.143(c).
(4) Obtain insurance as described in Section 66265.143(d).
(5) Submit to the financial test and corporate guarantee as described in Section 66265.143(e).
(6) Or any other form of financial assurance deemed acceptable by the Department.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Section 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending subsection (a) and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.7. Information Gathering and Access.
Note     •     History

(a) The Department may require any person identified to furnish and provide access to, upon reasonable notice, information or documents relating to the following matters:
(1) The identification, nature, and quantity of materials which have been, or are, generated, treated, stored, or disposed of at a site or which have been, or are, transported to a site.
(2) The nature or extent of a release or threatened release of a hazardous substance at or from a site.
(3) The identification of any person who may be responsible or have knowledge relating to a release or threatened release of a hazardous substance.
(b) The Department may require any responsible person to furnish, upon reasonable notice, information or documents relating to the following matter:
(1) Ability of a person to pay for or to perform a response action.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Sections 25185.6, 25358.1 and 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.8. Engineering Design
Note     •     History

(a) Pursuant to H&SC Section 25398.14 (as it read on June 26, 2012), upon completion of an engineering design to implement an approved remedial action plan, the responsible person for the site shall submit the engineering design to the Department for approval. The Department shall approve, modify, request information, or deny in writing the engineering design within 60 days from the date of receipt.
(b) The Department shall approve an engineering design if the Department determines that the engineering design is consistent with the selected remedial alternative outlined in the approved Remedial Action Plan (RAP). If the engineering design is consistent with the technical and operational plans in the approved RAP and there is compliance with all federal, state, and local statutes, regulations, and ordinances then the Department will grant an approval.
(c) The Department shall request that the responsible person modify the engineering design if the Department determines that the engineering design does not contain sufficient information necessary to ensure that the engineering design is consistent with the approved remedial alternative selected in the RAP and compliance with all federal, state, and local statutes, regulations, and ordinances. The Department shall identify in writing deficiencies that must be addressed in the engineering design. A responsible person shall not implement the response action until the responsible person has made the modifications to the engineering design required by the Department.
(d) The Department shall not approve an engineering design if the Department determines that the engineering design is inconsistent with the selected remedial alternative outlined in the approved RAP.
(e) Any responsible person whose engineering design has been disapproved may request a meeting with the Department to discuss the reasons for the disapproval.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Section 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section, including newly designated subsection (a)(2) and subsection renumbering, refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending subsection (a) and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.9. Orphan Share Determination.
Note     •     History

The Department's recommendation as to whether a site should be selected for the Expedited Remedial Action Program shall include a determination of whether the site has an orphan share. For those sites already selected for the Expedited Remedial Action Program, the Department shall make a determination as to whether sites are an orphan share site within 30 days of the effective date of this regulation, unless that determination already has been made by the Department or the Site Designation Committee. No more than ten sites may be determined to have an orphan share.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Section 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.10. Modification of Orphan Share Determination.
Note     •     History

(a) At the time the Department proposes an apportionment of liability for response costs at a site, it may change its determination regarding whether a site has an orphan share under the following circumstances:
(1) The Site was determined to have an orphan share pursuant to Section 67401.9 and the Department finds that no orphan share actually exists.
(2) The Site was determined not to have an orphan share pursuant to Section 67401.9 and the Department makes the following findings:
[A] An orphan share actually exists;
[B] Not more than ten sites, for which response actions are being conducted pursuant to the Expedited Response Action Program, have been determined to have an orphan share pursuant to Section 67401.9; and
[C] There are funds available in the trust fund to cover all response costs that will be assigned to the orphan share after payment of any claims already received for response costs that have been allocated to an orphan share at other sites in the Expedited Remedial Action Program.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Section 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.11. Allocation of Orphan Share.
Note     •     History

(a) The following factors shall be used by the Department to determine when a responsible person cannot be located or identified, or when a responsible person is considered insolvent. The factors that shall guide the Department in allocating response costs to an orphan share shall include, but are not limited to, the following:
(1) A responsible person cannot be located when the Department determines that the responsible person is deceased and there are no assets remaining in the estate of the deceased, and there is no successor in liability.
(2) A responsible person shall be considered insolvent if the Department makes a finding pursuant to H&SC Section 25396(j) (as it read on June 26, 2012).
(b) When allocating response costs to an orphan share, the Department shall apply a community benefit factor in conjunction with the established equitable factors listed in H&SC Section 25398.8(c) (as it read on June 26, 2012). The community benefit factor includes consideration of the following:
(1) The relative threat posed by the site to public health and the environment.
(2) The community benefit realized by members of the public and the affected community as a result of the implementation of the response action.
NOTE

Authority cited: Section 25396, Health and Safety Code;  Stats. 1994, c. 435 (S.B. 923), Section 3. Reference: Sections 25396, Health and Safety Code.
HISTORY

1. New section filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending subsections (a)(2)-(b) and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.12. Procedures for Filing Claims Against the Expedited Site Remediation Trust Fund.
Note     •     History

(a) Within 3 months after the Department has approved a request for a certificate of completion pursuant to H&SC Section 25398.15 (as it read on June 26, 2012), responsible persons who entered into and are in compliance with an enforceable agreement with the Department pursuant to H&SC Section 25398.2(b)(1) (as it read on June 26, 2012) may file a claim with the Department for reimbursement of the portion of the response action allocated to an orphan share pursuant to H&SC Section 25398.8 (as it read on June 26, 2012). For purposes of this section, the Department will only accept one consolidated claim for a reimbursement of response costs allocated to an orphan share from responsible persons who have signed an enforceable agreement pursuant to H&SC Section 25398.2(b)(1) (as it read on June 26, 2012). Responsible persons filing such a claim shall comply with the following claims procedures for reimbursement by the Expedited Site Remediation Trust Fund:
(1) The responsible person shall file a written claim with the Department. All claims must be filed with the Department by March 1 of each year to be considered for distribution of funds appropriated for that fiscal year.
(2) All claims filed by the responsible person shall include copies of the following: the enforceable agreement entered into pursuant to H&SC Section 25398.2(b)(1) (as it read on June 26, 2012), the Department's apportionment of liability conducted pursuant to H&SC Section 25398.8 (as it read on June 26, 2012), and an accounting of response costs defined in subdivision (t) of H&SC Section 25396 (as it read on June 26, 2012) and Section 67401.2, and any other information requested by the Department deemed appropriate in determining the legitimacy of the claim.
NOTE

Authority cited: Sections 25298.8(b) and 25396, Health and Safety Code; Stats. 1994, c. 435 (S.B. 923), Section 3. Reference: Sections 25396, Health and Safety Code.
HISTORY

1. New section and appendix filed 6-30-95 as an emergency; operative 6-30-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-27-95 or emergency language will be repealed by operation of law on the following day.
2. New section and appendix refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section and appendix refiled 4-24-96 as an emergency; operative 4-24-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-22-96 or emergency language will be repealed by operation of law on the following day.
4. New section and appendix repealed by operation of Government Code section 11346.1(g) (Register 96, No. 35).
5. New section and appendix filed 8-26-96 as an emergency; operative 8-26-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-24-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-26-96 order, including repealer and new section, transmitted to OAL 10-30-96 and filed 12-10-96 (Register 96, No. 50).
7. Change without regulatory effect amending subsections (a) and (a)(2) and Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67401.13. Distribution of Orphan Share.
Note     •     History

(a) Distribution of funds from the Expedited Site Remediation Trust Fund will be conducted annually. The distribution will only occur to the extent funds are available in the Expedited Site Remediation Trust Fund to pay claims received for response costs that have been allocated to an orphan share.
(b) No orphan share funds for a site shall be disbursed until all Department response costs incurred for that site have been paid.
(c) If the total of all approved claims for response costs that have been allocated to an orphan share for a fiscal year does not exceed the amount available in the Expedited Site Remediation Trust Fund, then each claim shall be fully funded.
(d) If the total of all approved claims for response costs that have been allocated to an orphan share for a fiscal year exceeds the amount available in the Expedited Site Remediation Trust Fund, then each claim shall be paid in the following manner:
(1) Payment of claims for those response costs that have been allocated to an orphan share shall be prorated based on the total sum of all approved orphan share claims for that fiscal year, except that all claims for amounts under $50,000.00 shall be paid in full, if there is a sufficient amount available in the Expedited Site Remediation Trust Fund.
(2) The balance of claims not fully paid in a fiscal year shall be carried over to subsequent fiscal years and either paid in full if funds are available in the Expedited Site Remediation Trust Fund, or prorated with claims from each year.
NOTE

Authority cited: Stats. 1994, c. 435 (S.B. 923), Section 3; and Section 25396, Health and Safety Code. Reference: Section 25396, Health and Safety Code.
HISTORY

1. New section and repealer of appendix filed 12-10-96; operative 12-10-96 (Register 96, No. 50).
2. Change without regulatory effect amending Note filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§67403. Monitoring and Inspection for Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67409. Closure and Post-Closure Care of Landfills at Permitted Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
Chapter 41. Prohibited Chemical Toilet Additives
§67410.1. Prohibition of Sale.
Note     •     History

(a) On or after January 1, 1979, no person in the State of California shall manufacture, formulate, package, import or receive from outside the State and sell or offer for sale within the State a material for use as a chemical toilet additive, as indicated on a label on the container or by any other representation by said person, which contains a nonbiodegradable toxic chemical substance.
(b) On or after January 1, 1979, no person shall sell or offer for sale at retail or wholesale within the State a material for use as a chemical toilet additive, as indicated on a label on the container or by any other representation relating to the sale of the material, which contains a nonbiodegradable toxic chemical substance.
(c) The foregoing provisions of this section shall not prohibit a person from selling or shipping to a person outside of the State a material for use as a chemical toilet additive, as indicated on a label on the container or by other representation, which contains a nonbiodegradable toxic chemical substance, which is manufactured, formulated, or packaged within the State; imported or received from outside of the State.
NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67410.2. Prohibition of Use.
Note     •     History

On or after January 1, 1979, no person shall use, or cause to be used, a material as a chemical toilet additive which contains a nonbiodegradable toxic chemical substance.
NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67410.3. Criteria for Identifying a Toxic Chemical Substance.
Note     •     History

(a) A chemical substance shall be considered to be a toxic chemical for the purpose of this article if such substance satisfies any of the following criteria:
(1) the chemical substance has a 96-hour LC50 of 500 milligrams or less per liter as determined in soft water with fathead minnows (Pimephales promelas) or golden shiners (Notemigonus crysoleucas) by the method given in Part 810 of Standard Methods for the Examination of Water and Wastewater (14th Edition), or with another species of test fish or another test method approved by the Department.
(2) The chemical substance is regulated as a carcinogenicity hazard by the United States Occupational Safety and Health Administration pursuant to Title 29, Code of Federal Regulations.
(3) The chemical substance presents a hazard to public health or the environment through its bioaccumulative or chronic toxicity properties.
NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67410.4. Criteria for Identifying a Nonbiodegradable Toxic Chemical Substance.
Note     •     History

a) A chemical substance shall be considered to be a nonbiodegradable toxic chemical substance for the purpose of this article if such chemical substance satisfies any of the following criteria:

(1) the chemical substance contains any of the following elements:

	antimony	molybdenum
	arsenic	nickel
	barium	selenium
	beryllium	silver
	cadmium	thallium
	chromium	titanium
	cobalt	uranium
	copper	vanadium
	lead	zinc
	mercury

(2) the chemical substance satisfies at least one of the criteria established in section 67410.3 and either:
(A) under conditions of the Five-Day Biochemical Oxygen Demand test method, as given in Part 507 of Standard Methods for the Examination of Water and Wastewater (14th or 16th editions) or in a modification of the method approved by the Department, using unadapted settled domestic wastewater seed, is degraded to the extent that its initial concentration in the test medium is reduced by less than fifty (50) percent. The extent of degradation shall be determined by an analysis which establishes to the satisfaction of the Department the percent of the test substance which is undegraded at the completion of the test;
(B) under conditions of the Five-Day Biochemical Oxygen Demand test method, as given in Part 507 of Standard Methods for the Examination of Water and Wastewater (14th or 16th editions) or of a modification of the method approved by the Department is degraded to a residue which contains a toxic chemical substance.
NOTE

Authority cited: Sections 208 and 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67410.5. Disclosure of Identity, Composition, and Properties.
Note     •     History

(a) At the request of the Department, the seller of a chemical toilet additive shall provide the Department with the brand name or other designation and the name and address of the producer or other supplier of each chemical toilet additive that the seller offers for sale.
(b) At the request of the Department, a person in the State of California who manufactures, formulates, packages, imports or receives from outside the State a material for sale within the State for use as a chemical toilet additive, as indicated on a label on the container or by any other representation by said person, shall disclose to the Department the names of all of the ingredients of the material and provide toxicological and biodegradability data which establish to the satisfaction of the Department whether the material contains any ingredient which is a nonbiodegradable toxic chemical substance.
(c) At the request of the Department, the user of a chemical toilet additive for the user's household purpose shall disclose to the Department the brand name or other designation of the additive and the name and address of its producer or seller.
(d) At the request of the Department, a person who uses a chemical toilet additive for other than that person's household purpose, including a person who maintains or services chemical toilets or chemical toilet waste holding tanks or who collects, transports, or disposes of chemical toilet wastes as a commercial business, as part of or incidental to a commercial business, as a government agency, or for hire, shall disclose to the Department:
(1) the brand name or other designation of the chemical toilet additive used and the name and address of its producer or seller;
(2) the names of all ingredients of any material used as a chemical toilet additive which is not labeled on its container or in accompanying printed matter to indicate its use for such purpose, its brand name or other designation, and its producer or seller. At the request of the Department, the person shall also provide toxicological and biodegradability data which establish to the satisfaction of the Department whether the material contains any ingredient which is a nonbiodegradable toxic chemical substance.
(e) The chemical analyses and bioassay methods and procedures used in obtaining data and the quality and adequacy of the data which are submitted in compliance with this section shall be subject to approval of the Department.
NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67410.6. Enforcement and Inspections.
Note     •     History

(a) The requirements of this article shall be enforced as provided for under chapter 22.
(b) Inspections may be made of and samples taken from any factory, plant or other place where chemical toilet additives are manufactured, stored, sold, or used.
NOTE

Authority cited: Section 25210, Health and Safety Code. Reference: Section 25210, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67410.7. Applicability of Other Requirements of This Chapter.
Note     •     History

Nothing in this article shall be construed to relieve a person from handling and managing a chemical toilet waste as a hazardous waste in accordance with the requirements of this chapter if the chemical toilet waste contains a hazardous material or is a hazardous waste as defined in section 66260.10, respectively, or is listed in either Appendix X to chapter 11, except that a person who produces, hauls, or disposes of chemical toilet waste shall be exempt from the requirements of section 66260.10 and chapters 12, 13, 14, 15, and 43 of this division if disposal of the waste is in accordance with the requirements of chapter 6, division 20, Health and Safety Code commencing with section 25000 and article 3, chapter 1, division 7.5, Water Code commencing with section 14040.
NOTE

Authority cited: Sections 208, 25150 and 25210, Health and Safety Code. Reference: Sections 25150 and 25210, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
§67411. General Operating Requirements for Interim Status Facilities.  [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67418. Closure and Post-Closure Care of Landfills at Interim Status Landfills. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25245, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67419. Surveying and Recordkeeping at Landfills at Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67420. Special Requirements for Ignitable or Reactive Waste at Landfills at Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67421. Special Requirements for Incompatible Wastes at Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67422. Special Requirements for Liquid Waste at Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67423. Special Requirements for Containers at Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67424. Disposal of Small Containers of Hazardous Waste in Overpacked Drums (Lab Packs) at Landfills at Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67425. Special Requirements for Nonliquid Waste at Permitted and Interim Status Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25179.5, Health and Safety Code. Reference: Sections 25159, 25159.5, 25179.5(b) and 25179.9, Health and Safety Code.
HISTORY

1. New section filed 9-11-89; operative 10-11-89 (Register 89, No. 38).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22). 
Chapter 42. Requirements for Management of Fluorescent Light Ballasts which Contain Polychlorinated Biphenyls (PCBs)
§67426.1. Generator Requirements.
Note     •     History

(a) A generator of fluorescent light ballasts which contain PCBs who transports off-site no more than two fifty-five gallon drums per transportation vehicle shall be exempt from the standards set forth in Article 1, Article 2, and Article 4 of Chapter 12 of this division. The regulations in this chapter apply only to the management of light ballasts which contain PCBs.
(b) The generator of fluorescent light ballasts shall retain for three years a legible copy of each manifest or shipping document to document the transportation of hazardous waste consisting of fluorescent light ballasts which contain PCBs.
NOTE

Authority cited: Section 25150, Health and Safety Code. Reference: Section 25155, Health and Safety Code.
HISTORY

1. New chapter 42 (sections 67426.1-67429.1) filed 4-23-93 as an emergency; operative 4-23-93 (Register 93, No. 17). A Certificate of Compliance must be transmitted to OAL 8-23-93 or emergency language will be repealed by operation of law on the following day.
2. Repealer of chapter 42 (sections 67426.1-67429.1) and section by operation of Government Code section 11346.1(g) (Register 93, No. 43).
3. New chapter 42 (sections 67426.1-67429.1) and section filed 10-20-93; operative 10-20-93 pursuant to Government Code section 11343.4(d) (Register 93, No. 43).
4. Editorial correction amending History 2 and adding History 3 (Register 97, No. 7).
§67427.1. Exemption From Requirement for Extremely Hazardous Waste Disposal Permit.
Note     •     History

Generators of fluorescent light ballasts which contain PCBs shall be exempt from filing for an Extremely Hazardous Waste Disposal Permit required by § 67430.1.
NOTE

Authority cited: Section 25150, Health and Safety Code. Reference: Section 25155, Health and Safety Code.
HISTORY

1. New section filed 4-23-93 as an emergency; operative 4-23-93 (Register 93, No. 17). A Certificate of Compliance must be transmitted to OAL 8-23-93 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 93, No. 43).
3. New section filed 10-20-93; operative 10-20-93 pursuant to Government Code section 11343.4(d) (Register 93, No. 43).
4. Editorial correction amending History 2 and adding History 3 (Register 97, No. 7).
§67428.1. Transportation Requirements.
Note     •     History

(a) A transporter of twelve or fewer non-leaking fluorescent light ballasts which contain PCBs shall be exempt from Chapter 13 of this division provided that the containers which contain the ballasts do not include any other hazardous waste.
(b) A transporter of more than twelve non-leaking light ballasts which contain PCBs shall be exempt from Article 1 and Article 2 of Chapter 13 of this division pertaining to the transportation of a hazardous waste provided all of the following conditions are met: 
(1) The transporter shall use a shipping paper which contains all the information required pursuant to Title 49, Code of Federal Regulations, Part 172, Subpart C to document the transportation of the fluorescent light ballasts. The shipping paper must accompany the shipments of fluorescent light ballasts.
(2) The total amount of fluorescent light ballasts which contain PCBs being transported is no more than two 55 gallon drums of non-leaking fluorescent light ballasts per load.
(3) The containers used for transportation of fluorescent light ballasts which contain PCBs meet all applicable federal and state regulations.
(4) When transporting hazardous waste consisting of fluorescent light ballasts which contain PCBs, the containers which contain the ballasts shall not include any other hazardous waste.
(5) Any discharges or spills of hazardous waste consisting of fluorescent light ballasts which contain PCBs shall be reported and cleaned up as required in Article 3, Chapter 13 of this division.
(6) The transporter of light ballasts shall retain for three years a legible copy of each manifest or shipping documents to document the transportation of hazardous waste consisting of fluorescent light ballasts which contain PCBs.
(c) Transfer of hazardous waste consisting of fluorescent light ballasts which contain PCBs from one container to another container is not subject to the requirements of this division provided the containers hold no other hazardous waste.
NOTE

Authority cited: Section 25150, Health and Safety Code. Reference: Section 25155, Health and Safety Code.
HISTORY

1. New section filed 4-23-93 as an emergency; operative 4-23-93 (Register 93, No. 17). A Certificate of Compliance must be transmitted to OAL 8-23-93 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 93, No. 43).
3. New section filed 10-20-93; operative 10-20-93 pursuant to Government Code section 11343.4(d) (Register 93, No. 43).
4. Editorial correction amending History 2 and adding History 3 (Register 97, No. 7).
§67429.1. Disposal Requirements.
Note     •     History

(a) Disposal of fluorescent light ballasts which contain PCBs shall be in accordance with § 66268.110.
NOTE

Authority cited: Section 25150, Health and Safety Code. Reference: Section 25155, Health and Safety Code.
HISTORY

1. New section filed 4-23-93 as an emergency; operative 4-23-93 (Register 93, No. 17). A Certificate of Compliance must be transmitted to OAL 8-23-93 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 93, No. 43).
3. New section filed 10-20-93; operative 10-20-93 pursuant to Government Code section 11343.4(d) (Register 93, No. 43).
4. Editorial correction amending History 2 and adding History 3 (Register 97, No. 7).
Chapter 43. Additional Requirements for Management of Extremely Hazardous Wastes
§67430.1. Requirement for Extremely Hazardous Waste Disposal Permit. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect repealing section filed 4-1-96 pursuant to section 100, title 1, California Code of Regulations; operative 5-1-96 (Register 96, No. 14).
§67430.2. Application for Extremely Hazardous Waste Disposal Permit. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Change without regulatory effect repealing section filed 4-1-96 pursuant to section 100, title 1, California Code of Regulations; operative 5-1-96 (Register 96, No. 14).
§67430.3. Removal of Spilled or Improperly Deposited Waste.
Note     •     History

The Department may require the operator to remove from the disposal site and properly dispose of any extremely hazardous waste disposed of or applied on land, and any soil contacted by the waste, if the disposal or application of the waste was not consistent with the requirements of this chapter and the conditions of the Extremely Hazardous Waste Disposal Permit issued by the Department.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Sections 25150 and 25187, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67430.4. Recurring Disposal of Extremely Hazardous Waste.
Note     •     History

The Department may grant a producer of an extremely hazardous waste an Extremely Hazardous Waste Disposal Permit, valid up to 12 months, that specifies approved methods for the handling and disposal of a specific extremely hazardous waste that is routinely produced.
NOTE

Authority cited: Sections 208 and 25150, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
Chapter 44. Hazardous Waste Testing Laboratory Certification [Repealed]
HISTORY

1. Change without regulatory effect repealing chapter 44 (sections 67440.1-67440.7) filed 3-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
Chapter 45. Requirements for Units and Facilities Deemed to Have a Permit by Rule
Article 1. Permit By Rule
§67450.1. Permit Requirement.
Note     •     History

Permits are required for treatment of hazardous wastes using a Transportable Treatment Unit (TTU) or a Fixed Treatment Unit (FTU). However, the owner or operator of a TTU shall be deemed to have a permit to operate the TTU when the owner or operator complies with the requirements of section 67450.2(a). The owner or operator of a FTU shall be deemed to have a permit to operate the FTU when the owner or operator complies with the requirements of section 67450.2(b).
NOTE

Authority cited: Sections 208 and 25200.2, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Amendment filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
3. Amendment of chapter 45 heading filed 11-7-96; operative 11-7-96 (Register 96, No. 45).
4. New article 1 heading filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
§67450.2. Permit by Rule for TTUs and FTUs.
Note     •     History

(a) The owner or operator of a TTU that treats hazardous waste shall be deemed to have a permit when the owner or operator complies with subsections (a)(1), (a)(2) and (a) (4) of this section and receives an acknowledgement from the Department authorizing operation of the TTU pursuant to the subsection (a)(3) of this section.
(1) The owner or operator of a TTU that treats hazardous waste shall submit, in person or by certified mail with return receipt requested, four (4) complete initial Transportable Treatment Unit Permit by Rule/Conditional Exemption Unit-Specific Notifications (DTSC Form 1199, (1/96)) for each TTU to the Department of Toxic Substances Control, Unified Program Section, 400 “P” Street, P.O. Box 806, Sacramento, California 95812-0806. The initial notifications shall be submitted a minimum of forty-five (45) days prior to beginning the first treatment of waste with the TTU. Upon good cause shown by the owner or operator, the Department shall shorten the notification period.
(2) Each notification required by subsection (a) (1) of this section shall be completed, dated and signed according to the requirements of Section 66270.11 as those requirements apply to permit applications and shall be submitted with all of the following:
(A) Owner, operator and unit-specific information including: the name of the person(s) which own(s) and/or operate(s) the TTU, if different, the physical address or legal description of the location of each person which owns and/or operates the TTU, the mailing address and telephone number of each person which owns or operates the TTU, if different, TTU owner and operator contact person(s) and telephone number(s), TTU owner or operator identification number and Board of Equalization account number, identification of the specific waste type(s) to be treated, TTU serial number, identification of the treatment process(es) to be used, and a description of how the treatment unit operates (i.e. continuous, batch, intermittent, etc.)
(B) Financial assurance certification forms as required by section 67450.13; and
(C) The certifications specified in sections 66265.191(a) and 66265.192(a), if applicable.
(D) A statement documenting any convictions, judgments, settlements, or orders resulting from any action by any local, State, or federal environmental or public health enforcement agency concerning the operation of the facility within the last three years, as the documents would be available under the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Part 1 of Division 7 of Title 1 of the Government Code) and the Information Practices Act of 1977 (Chapter 1 (commencing with Section 1798) of Title 1.8 of Part 4 of the Civil Code);
(3) The Department, within thirty (30) calendar days of receipt of unit-specific notifications submitted pursuant to subsection (a)(1) of this section, shall acknowledge, in writing, receipt of the notifications. The Department shall, in conjunction with the acknowledgement, authorize operation of the TTU subject to the requirements and conditions specified in sections 67450.3, 67450.9(b) and 67450.9(c), deny authorization to operate under a permit by rule pursuant to section 67450.9(a) or notify the owner or operator that the notifications are incomplete or inaccurate. If the notifications are incomplete or inaccurate, the Department shall specify what additional information or correction is needed. The Department shall authorize or deny authorization to operate as specified in this subsection within thirty (30) calendar days of receipt of the requested information or corrected notifications. The Department shall reject the notifications of any owner or operator who fails to provide the information or correction requested in the acknowledgement within ten (10) days of receipt of the acknowledgement. Upon good cause shown by the owner or operator, the Department shall grant the owner or operator additional time to provide the information or correction requested. An owner or operator whose notifications are rejected may submit new initial notifications.
(4) Each TTU owner or operator who is required to submit an initial notification to the Department pursuant to subsection (a)(1) of this section shall pay the initial notification fee established by Health and Safety Code section 25205.14, for each such notification within thirty (30) days after the date the fee is assessed by the Board of Equalization as specified in Revenue and Taxation Code Section 43152.10. For purposes of fee assessment, each set of four (4) notifications required by subsection (a)(1) of this section shall be considered a single notification.
(b) The owner or operator of a FTU that treats hazardous waste shall be deemed to have a permit when the owner or operator complies with subsections (b)(1), if applicable, (b)(2), (b)(3) and (b)(5) of this section, and receives an acknowledgement from CUPA or authorized agency authorizing operation of the FTU pursuant to subsection (b)(4) of this section.
(1) The owner or operator of a FTU that treats hazardous waste on or before January 1, 1992 and who intends to continue the treatment under permit by rule after January 1, 1992 shall submit, in person or by certified mail with return receipt requested, a Fixed Treatment Unit Permit by Rule Initial Notification of Intent to Operate (DTSC Form 1772 (1/96)) to the Department at the address specified in subsection (a)(1) of this section. The Initial Notification of Intent to Operate shall be submitted by February 1, 1992 and shall contain the following information:
(A) Name, mailing address, and telephone number of the owner and operator;
(B) Facility name and address or legal description of the facility location, identification number and Board of Equalization account number;
(C) A description of the specific waste type(s) treated; and
(D) A description of the treatment process(es) used;
(2) The owner or operator of a FTU that treats hazardous waste shall submit, in person or by certified mail with return receipt requested, the Onsite Hazardous Waste Treatment Notification-Facility page, the Business Activities Page, and the Business Owner/Operator Page of the Unified Program Consolidated Form (x/99)), an alternative version or a computer generated facsimile as allowed pursuant to Title 27, CCR, sections 15610 and 15620 to the CUPA or authorized agency. The Onsite Hazardous Waste Treatment Notification-Facility Page, Business Activities Page, and the Business Owner/Operator Page of the Unified Program Consolidated Form (x/99)), an alternative version or a computer generated facsimile as allowed pursuant to Title 27, CCR, sections 15610 and 15620 shall be submitted by a minimum of sixty (60) days prior to beginning the first treatment of waste pursuant to a permit-by-rule. The Onsite Hazardous Waste Treatment Notification-Facility Page, the Business Activities Page, and the Business Owner/Operator Page of the Unified Program Consolidated Form (x/99)), an alternative version or a computer generated facsimile as allowed pursuant to Title 27, CCR, sections 15610 and 15620 shall contain the information required in sections 66270.13(a), 66270.13(c), 66270.13(d), 66270.13(f), 66270.13(g) and 66270.13(m), as those sections apply to permit applications, and all of the information specified in subsection (b)(3) of this section. Businesses may report this information electronically, if the CUPA or authorized agency agrees and the business complies with Title 27, CCR, section 15187.
(3) Each notification required by subsection (b)(2) of this section shall be completed, dated, and signed according to the requirements of section 66270.11 as those requirements apply to permit applications, and shall be submitted with all of the following:
(A) A certification signed by the owner or operator specifying the local authorities that have been notified of the intended operation. At a minimum, the owner or operator shall notify the agency operating the POTW, if the treatment results in discharge to a POTW, and any other agency that requires notification for the operation of the FTU(s) at that facility;
(B) Treatment facility information including: name, mailing address, and telephone number of each owner and operator, facility name, address or legal description of the facility location, facility identification number and Board of Equalization account number, facility contact person(s) and telephone number(s), FTU contact person(s) and telephone number(s), plot plan detailing where the hazardous waste treatment(s) will occur, identification of the specific waste type(s) to be treated, and a description of the treatment process(es) to be used;
(C) Documentation that the facility operator has notified the property owner, if different, of the operation of the FTU(s);
(D) Financial assurance certification forms as required by section 67450.13;
(E) The documentation specified in section 67450.7;
(F) A statement documenting any convictions, judgments, settlements, or orders resulting from any action by any local, State, or federal environmental or public health enforcement agency concerning the operation of the facility within the last three years, as the documents would be available under the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Part 1 of Division 7 of Title 1 of the Government Code) and the Information Practices Act of 1977 (Chapter 1 (commencing with Section 1798) of Title 1.8 of Part 4 of the Civil Code);
(G) The Onsite Hazardous Waste Treatment Notification-Unit page of the Unified Program Consolidated Form (x/99)), an alternative version or a computer generated facsimile as allowed pursuant to Title 27, CCR, sections 15610 and 15620. The Onsite Hazardous Waste Treatment Notification-Unit page of the Unified Program Consolidated Form (x/99)), an alternative version or a computer generated facsimile as allowed pursuant to Title 27, CCR, sections 15610 and 15620 shall be completed, dated and signed according to the requirements of section 66270.11 as those requirements apply to permit applications and shall include the FTU serial number, identification of the waste treatment process(es) to be used, the quantity of influent waste, the quantity and disposition of treatment effluents or residuals, a description of how the treatment unit operates (i.e., continuous, batch, intermittent, etc.), the hours of operation of the treatment unit, identification of whether the unit is a tank or container, the basis for determining that a hazardous waste facility permit is not required under the federal act, and the certification specified in sections 66262.45(c), 66264.175(c), 66265.191(a) and 66265.192(a), if applicable. Businesses may report this information electronically, if the CUPA or authorized agency agrees and the business complies with Title 27, CCR, section 15187. For the purposes of the notification required under this subsection, if the owner or operator of the FTU is unable to complete the certifications required by sections 66264.175(c), 66265.191(a), or 66265.192(a) before April 1, 1993 because of a need to complete physical construction, then the owner or operator shall submit a schedule of compliance in writing, signed according to the requirements of section 66270.11, by April 1, 1993. Construction must be completed and the required certifications submitted to the Department on or before July 1, 1993 unless the owner or operator is granted a variance from this requirement pursuant to Health and Safety Code section 25143 on or before April 1, 1993. During construction persons treating hazardous waste in tanks must maintain compliance with section 66265.196. The schedule of compliance shall specify the following information:
1. The reasons why the owner or operator cannot comply with the certification requirements by April 1, 1993; and
2. The actions the owner or operator will take to obtain the required certifications and submit those certifications to the Department; and
3. A schedule setting forth dates for key actions such as executing contracts for services, obtaining local permits for construction activities, executing contracts for construction, and completion of physical construction.
(4) The Department, within forty-five (45) calendar days of receipt of a notification submitted pursuant to subsection (b)(2) of this section, shall acknowledge, in writing, receipt of the notification. The Department shall, in conjunction with the acknowledgement, authorize operation of the FTU subject to the requirements and conditions specified in sections 67450.3, 67450.7 and 67450.9(b) and 67450.9(c), deny authorization to operate under a permit by rule pursuant to section 67450.9(a) or notify the owner or operator that the notification is incomplete or inaccurate. If the notification is incomplete or inaccurate, the Department shall specify what additional information or correction is needed. The Department shall authorize or deny authorization to operate as specified in this subsection within forty-five (45) days of receipt of the requested information or corrected notification. The Department shall reject the notification of any owner or operator who fails to provide the information or correction requested in the acknowledgement within ten (10) days of receipt of the acknowledgement. Upon good cause shown by the owner or operator, the Department shall grant the owner or operator additional time to provide the information or correction requested. An owner or operator whose notification is rejected may submit a new initial notification.
(5) Each FTU owner or operator who is required to submit a notification to the Department pursuant to subsection (b)(1) of this section shall pay the notification fee established by Health and Safety Code section 25205.14 for each such notification within thirty (30) days after the date the fee is assessed by the Board of Equalization, except as provided in (b)(6) of this section, as specified in Revenue and Taxation Code Section 43152.10. For purposes of fee assessment, the Unit-Specific Notification(s) required by subsection (b)(3)(F) of this section shall be considered part of the Facility-Specific Notification required by subsection (b)(2) of this section.
NOTE

Authority cited: Sections 25150, 58004 and 58012, Health and Safety Code. Reference: Sections 25112.5, 25150, 25185.6, 25186, 25200, 25200.2, 25200.10, 25202.9, 25205.1, 25205.7 and 25205.14, Health and Safety Code.
HISTORY

1. Amendment filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
2. Amendment of subsections (b)(2) and (b)(3)(H) and adoption of subsections (b)(3)(H)1.-3. filed 3-26-92 as an emergency; operative 3-30-92 (Register 92, No. 18). A Certificate of Compliance must be transmitted to OAL 7-30-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (b)(2), (b)(3)(H), and (b)(6) filed 6-16-92 as an emergency; operative 6-16-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 10-14-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b)(2), (b)(3)(H), and (b)(6) refiled 10-13-92 as an emergency; operative 10-12-92 (Register 92, No. 42). A Certificate of Compliance must be transmitted to OAL 2-11-93 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (b)(2), (b)(3)(H), (b)(3)(H)1. and (b)(6), and new subsection (b)(7) filed 2-9-93 as an emergency; operative 2-9-93 (Register 93, No. 7). A Certificate of Compliance must be transmitted to OAL 6-9-93 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (b)(2), (b)(3)(H), (b)(3)(H)1, and (b)(6) refiled 6-8-93 as an emergency; operative 6-8-93 (Register 93, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-93 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-8-93 order including amendment of section and Note transmitted to OAL 10-5-93 and filed 11-18-93 (Register 93,  No. 47).
8. Change without regulatory effect amending section and Note filed 3-26-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 13).
9. Amendment of subsections (b), (b)(2), (b)(3)(A) and (b)(3)(G) and repealer of subsection (b)(6) filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsections (b), (b)(2), (b)(3)(A) and (b)(3)(G) refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsections (b), (b)(2), (b)(3)(A) and (b)(3)(G) refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsections (b), (b)(2), (b)(3)(A) and (b)(3)(G) refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
§67450.3. Requirements Applicable to Fixed and Transportable Treatment Units Deemed to Have a Permit by Rule.
Note     •     History

(a) The owner or operator of a transportable treatment unit (TTU) deemed to hold a permit by rule pursuant to section 67450.2(a) shall do all of the following:
(1) Submit, in person or by certified mail with return receipt requested, four (4) complete annual Transportable Treatment Unit (TTU) Permit by Rule/Conditional Exemption Unit-Specific Notifications (DTSC Form 1199, (1/96)) to the Department at the address specified in section 67450.2(a)(1), by March 1 of each year following the year in which the initial unit-specific notifications required by section 67450.2(a)(1) are submitted unless the Department notifies the owner or operator, in writing, of an alternate submittal date. Each annual notification shall be completed, dated and signed according to the requirements of section 66270.11 as those requirements apply to permit applications and shall contain all of the information specified in section 67450.2(a)(2).
(2) Submit, in person or by certified mail with return receipt requested, four (4) complete amended TTU Permit by Rule/Conditional Exemption Unit-Specific Notifications (DTSC Form 1197, (1/96)) to the Department at the address specified in section 67450.2(a)(1), within thirty (30) days of any change to the information contained in the most recent unit-specific notification. Each amended notification shall be completed, dated and signed according to the requirements of section 66270.11 as those requirements apply to permit applications and shall contain all of the information specified in section 67450.2(a)(2).
(3) Submit, in person or by certified mail with return receipt requested, a Transportable Treatment Unit (TTU) Permit by Rule Site-Specific Notification (DTSC Form 1197 (1/96)) to the Department at the address specified in section 67450.2(a)(1) for each site where the TTU will perform treatment. The site-specific notification shall be submitted at least twenty-one (21) days prior to each site visit. Upon good cause shown by the owner or operator, the Department shall shorten the notification period. Each site-specific notification shall be completed, dated and signed according to the requirements of section 66270.11 as those requirements apply to permit applications, and shall contain all of the following:
(A) The name, physical address and telephone number of the owner and operator, if different, the mailing address of the owner and operator, if different, the TTU serial number, owner or operator identification number and Board of Equalization account number, site or facility name, address or legal description of the site or facility location, site or facility identification number, site or facility contact person(s) and telephone number(s), the information required by section 66270.13(c), identification of the influent waste(s), identification of the type of business generating waste(s) to be treated by the TTU, a plot plan detailing where the hazardous waste treatment will occur, the anticipated time periods(s) the unit will be at the site or facility, the anticipated date(s) and hour(s) the unit will be in operation, a description of the hazardous waste(s) to be treated, and an estimate of the quantity or volume of hazardous waste(s) to be treated, an estimate of the quantity or volume of treatment effluents or residuals that will be discharged to a POTW, an estimate of the volume or quantity of treatment effluents or residuals that will not be discharged to a POTW, an explanation of how all treatment effluents or residuals will be managed, and the basis for determining that a hazardous waste facility permit is not required under the federal act.
(B) A certification, signed by the owner or operator, specifying the local authorities that have been notified of the intended date(s) of operation. At a minimum, the owner or operator shall notify the Certified Unified Program Agency (CUPA) or authorized agency, the agency operating the POTW, if the treatment results in discharge to a POTW, and any other agency that requires notification for the operation of the TTU at that site or facility;
(C) A copy of any local Air District permit and other permits required for the operation of the TTU;
(D) Documentation that the property owner, if different from the facility operator, has been notified of the operation of the TTU;
(E) The certifications specified in sections 66262.45 and 66264.175(c), if applicable; and
(F) The documentation specified in section 67450.7, if applicable.
(4) Submit, in person or by certified mail with return receipt requested, an amended TTU Permit by Rule Site-Specific Notification (DTSC Form 1197, (1/96)) to the Department at the address specified in section 67450.2(a)(1) whenever there is any change to information contained in the preceding Site-Specific Notification for the site or facility where the TTU is operating or proposing to operate. An amended notification shall not be required when the change to information contained in a preceding notification is limited to a change in the period of operation specified pursuant to subsection (a)(3)(A) of this section and the Department has granted an extension pursuant to subsection (a)(8)(A) or (a)(8)(B) of this section. Each amended notification submitted pursuant to this subsection shall be completed, dated and signed according to the requirements of section 66270.11 as those requirements apply to permit applications and shall contain all of the information specified in subsection (a)(3) of this section.
(5) Submit the notification fee required by Health and Safety Code section 25205.14. Each TTU owner or operator who is required to submit a notification to the Department pursuant to this section shall pay 100 percent of the initial notification fee established by Health and Safety Code section 25205.14, for each notification required pursuant to subsection (a)(1) of this section within thirty (30) days after the date the fee is assessed by the Board of Equalization as specified in Revenue and Taxation Code section 43152.10. For purposes of fee assessment each set of notifications required by subsections (a)(1) and (a)(2) of this section shall be considered a single notification.
(6) Restrict treatment to those processes and wastes listed in section 67450.11;
(7) Discharge any effluent or treatment residual as follows:
(A) To a publicly owned treatment works (POTW) in accordance with all applicable industrial waste discharge requirements issued by the agency operating the POTW. Hazardous wastes shall not be discharged to a POTW unless the POTW is authorized to receive the hazardous waste and the discharge of hazardous waste is specifically approved in writing by the agency operating the POTW. The facility owner or operator shall inform the agency operating the POTW of the time, volume, content, characteristics and point of the discharge; or
(B) In accordance with waste discharge requirements issued by a Regional Water Quality Control Board; or a National Pollutant Discharge Elimination System (NPDES) permit; or
(C) To a treatment, storage or disposal facility authorized to receive the waste; or
(D) In accordance with any other applicable state law allowing alternative disposition of the effluent or treatment residual.
(8) Treat only waste which is generated onsite. A residual material from treatment of a hazardous waste generated offsite is not a waste that has been generated onsite. Limit the operation of the TTU as specified in subsection (a)(8)(A) or subsection (a)(8)(B) of this section.
(A) TTUs may be stationed and operated at an on-site facility, or at an off-site facility if the following conditions are met:
1. TTUs shall not be operated at any single on-site or off-site facility for more than one year. Upon good cause shown by the owner or operator, the Department shall grant up to two extensions, of six months duration, to the period of operation specified pursuant to subsection (a)(3)(A) of this section.
2. A TTU operating under a permit by rule shall only treat waste at an off-site facility if that off-site facility has a permit or other grant of authorization to manage the same wastestream with the treatment process to be used by the TTU.
3. When operating at an off-site facility, the total processing rate for any wastestream, including all approved fixed units and all TTUs, shall not exceed, at any time, the capacity stated in the off-site facility's permit or other grant of authorization.
(B) A TTU may be stationed and operated at a hazardous substance release site or on-site or off-site facility as part of a site remediation, corrective action or closure activity for a maximum of one (1) calendar year. Upon good cause shown by the owner or operator, the Department shall grant up to two extensions, of six months duration each, to the period of operation specified pursuant to subsection (a)(3)(A) of this section.
(9) Permanently mark the exterior of each TTU with the name of the person which owns or operates the TTU, owner or operator identification number and an individual serial number;
(10) Maintain the documents specified below at the site or facility where the TTU is operating. The owner or operator shall make these documents available upon demand at the site or facility to any representative of the Department, the U.S. Environmental Protection Agency (EPA) or a local governmental agency. A copy of these documents shall be delivered in person or by certified mail with return receipt requested to the Department when requested in writing by the Department. Any request from the Department shall specify the documents which are required, where and how to submit the required documents and the date by which the documents shall be submitted. The documents include:
(A) A waste analysis plan for the treatment operation as specified in section 66265.13(b);
(B) A written inspection schedule as specified in section 66265.15(b);
(C) Training documents as specified in section 66265.16(d)(3) as they pertain to the operator(s);
(D) A contingency plan which contains the information specified in section 66265.52;
(E) A copy of the most recent Unit-Specific Notification submitted as required by sections 67450.2(a)(1), 67450.3(a)(1) and 67450.3(a)(2), a copy of the most recent acknowledgement received from the Department pursuant to sections 67450.2(a)(3) and 67450.3(b), a copy of the most recent Site-Specific Notification as specified in sections 67450.3(a)(3) and 67450.3(a)(4), and a copy of the most recent corresponding acknowledgement received from the Department pursuant to section 67450.3(b);
(F) A copy of the closure plan required by subsection (a)(13)(B) of this section;
(G) A copy of documents related to the environmental investigation and any cleanup, abatement or other necessary remedial action taken pursuant to section 67450.7, if applicable.
(H) Documentation of any convictions, judgments, settlements, or orders resulting from any action by any local, State, or federal environmental or public health enforcement agency concerning the operation of the facility within the last three years, as the documents would be available under the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Part 1 of Division 7 of Title 1 of the Government Code) and the Information Practices Act of 1977 (Chapter 1 (commencing with Section 1798) of Title 1.8 of Part 4 of the Civil Code);
(11) Maintain compliance with sections 66264.175, 66265.148, 67450.7, 67450.13 and and with the following regulations in chapter 15 of this division, including those referring to permit applications:
(A) Article 2. General Facility Standards (except for section 66265.25);
(B) Article 3. Preparedness and Prevention;
(C) Article 4. Contingency Plan and Emergency Procedures;
(D) Article 5. Manifest System, Recordkeeping and Reporting (except for sections 66265.73(b)(2), 66265.73(b)(6), 66265.73(b)(7), 66265.73(b)(15) and 66265.75);
(E) Article 9. Use and Management of Containers;
(F) Article 10. Tank Systems (except that the contingent plan for post-closure required by section 66265.197(c)(2) shall be maintained with the closure plan required by subsection (a)(13)(B) of this section);
(G) Article 16. Thermal Treatment;
(H) Article 17. Chemical, Physical, and Biological Treatment.
(12) Prepare and submit an annual report to the Department when requested by the Department. The annual report shall be delivered in person or by certified mail with return receipt requested to the Department when requested in writing by the Department. The request from the Department shall specify where and how to submit the annual report and the date by which the annual report shall be submitted. The report shall be dated, and signed according to the requirements of section 66270.11 as those requirements apply to permit applications, and shall include the following information for each site or facility where treatment was performed during the calendar year preceding the Department's request:
(A) The serial number(s) of the TTU(s) involved in the treatment;
(B) The physical and mailing address of the person which owns or operates the TTU(s) and the TTU owner's or operator's identification number;
(C) The name, title and phone number of each TTU contact person;
(D) The name and address or legal description of each site or facility;
(E) The site or facility identification number(s), when applicable;
(F) The number of days each TTU was operated;
(G) The quantity of hazardous waste(s) treated by each TTU;
(H) The composition and hazardous characteristics of the influent hazardous waste(s);
(I) The treatment method(s) used for each hazardous waste treated by each TTU;
(J) The quantity, composition and hazardous characteristic(s) of any treatment effluent or residual discharged from each TTU to a POTW, if applicable; and
(K) The quantity, composition, hazardous characteristic(s) and disposition of any TTU treatment effluent or residual that was not discharged to a POTW, if applicable.
(13) Maintain compliance with the following requirements regarding closure:
(A) Sections 66264.178, 66265.111(a) and 66265.111(b), in the same manner as those sections apply to facilities and section 66265.114;
(B) The TTU owner or operator shall have a written closure plan. The closure plan shall include:
1. A description of how and when each TTU will be closed. The description shall identify the maximum extent of the operation during the life of the TTU(s), and how the applicable requirements of sections 66264.178, 66265.114, 66265.197 and 66265.404 will be met;
2. A description of the steps needed to decontaminate the treatment equipment during closure; and
3. An estimate of the expected year of closure and a schedule for final closure. The schedule for final closure shall include, at a minimum, the total time required to close the TTU(s).
(C) The TTU owner or operator shall amend the closure plan at any time during the active life of the TTU(s) (the active life of a TTU is that period during which wastes are periodically treated) when changes in operating plans or TTU design affect the closure plan, or whenever there is a change in the expected year of closure.
(D) Within ninety (90) days after treating the final volume of hazardous waste, the TTU owner or operator shall treat or remove from the TTU(s), all hazardous waste in accordance with the closure plan and the applicable requirements of this chapter unless the owner or operator demonstrates to the Department that the activities required to treat and/or remove all hazardous waste from the TTU(s) will require longer than ninety (90) days.
(E) The TTU owner or operator shall  complete closure activities in accordance with the closure plan within 180 days after treating the final volume of hazardous waste unless the owner or operator demonstrates to the Department that the activities required to complete the closure will require longer than 180 days to complete.
(F) The TTU owner or operator shall notify the Department, the Certified Unified Program Agency (CUPA) or if there is no CUPA, then the officer or agency authorized pursuant to subdivision (f) of Health and Safety Code Section 25404.3 to implement and enforce the requirements of Health and Safety Code Section 25404(c)(1), and any other agencies having jurisdiction over the closure project at least fifteen (15) days prior to completion of closure; and
(G) The TTU owner or operator shall remain in compliance with the applicable requirements of this section until the owner or operator submits to the Department a certification signed by the owner or operator and by an independent, professional engineer registered in California, that closure has been completed in accordance with the closure plan and that the closure plan meets or exceeds the applicable requirements of this chapter.
(14) If treatment will be conducted in containers, the containment requirements of section 66264.175 applicable to transfer and storage areas shall be complied with for areas where treatment occurs.
(b) The Department, within thirty (30) calendar days of receipt of an annual or amended notification submitted pursuant to subsection (a)(1) or (a)(2) of this section, or within ten (10) calendar days of receipt of a site-specific notification submitted pursuant to subsection (a)(3) or (a)(4) of this section, shall acknowledge, in writing, receipt of the notification. The Department shall, in conjunction with the acknowledgement, authorize or reauthorize operation of the TTU subject to the requirements of this section and sections 67450.7, 67450.9(b) and 67450.9(c), terminate or deny authorization or reauthorization to operate under a permit by rule pursuant to section 67450.9(a) or notify the owner or operator that the notification is incomplete or inaccurate. If the notification is incomplete or inaccurate, the Department shall specify what additional information or correction is needed. The Department shall authorize or reauthorize, or deny authorization or reauthorization to operate as specified in this subsection within thirty (30) calendar days of receipt of the requested information or correction for notifications submitted pursuant to subsections (a)(1) and (a)(2) of this section, and within ten (10) calendar days of receipt of the requested information or correction for notifications submitted pursuant to subsections (a)(3) or (a)(4) of this section. The Department shall reject the notification of any owner or operator who fails to provide the information or correction requested within ten (10) days of receipt of the acknowledgement. Upon good cause shown by the owner or operator, the Department shall grant the owner or operator additional time to provide the information or correction requested. An owner or operator whose notification is rejected may submit a new notification.
(c) The owner or operator of a fixed treatment unit (FTU) deemed to hold a permit by rule pursuant to section 67450.2(b) shall do all of the following:
(1) Submit, in person or by certified mail with return receipt requested, the annual Onsite Hazardous Waste Treatment Notification page, Business Activities Page, and the Business Owner/Operator Page of the Unified Program Consolidated Form (x/99), an alternative version or a computer generated facsimile as allowed pursuant to Title 27, CCR, Sections 15610 and 15620 to CUPA or authorized agency, by January 1, 1994, or by January 1 of each year following the first treatment of waste with the FTU, and by January 1 of each subsequent year unless CUPA or authorized agency notifies the owner or operator, in writing, of an alternate submittal date. Each annual notification shall be completed, dated and signed according to the requirements of Section 66270.11 as those requirements apply to permit applications and, except as provided by subsection (c)(9) of this section, shall contain all of the information specified in Section 67450.2(b)(3). Businesses may report this information electronically, if the CUPA or authorized agency agrees and the business complies with Title 27, CCR, Section 15187.
(2) Submit, in person or by certified mail with return receipt requested, an amended Onsite Hazardous Waste Treatment Notification page, Business Activities Page, and the Business Owner/Operator Page of the Unified Program Consolidated Form (x/99), an alternative version or a computer generated facsimile as allowed pursuant to Title 27, CCR, Sections 15610 and 15620 to CUPA or authorized agency, within thirty (30) days of any change to the information contained in the most recent notification. Each amended notification shall be completed, dated and signed according to the requirements of section 66270.11 as those requirements apply to permit applications and, except as provided by subsection (c)(9) of this section, shall contain all of the information specified in section 67450.2(b)(3). Businesses may report this information electronically, if the CUPA or authorized agency agrees and Title 27, CCR, Section 15187 is complied with.
(3) Submit the notification fee required by Health and Safety Code section 25205.14(a). Each FTU owner or operator who is required to submit a notification to the Department pursuant to this section shall pay 100 percent of the notification fee established by Health and Safety Code section 25205.14(a) for each notification required by subsection (c)(1) of this section within thirty (30) days after the date the fee is assessed by the Board of Equalization, except as provided in section 67450.2(b)(7), as specified in Revenue and Taxation Code section 43152.10.
(4) Restrict treatment to those processes and wastes listed in section  67450.11;
(5) Discharge any effluent or treatment residual as follows:
(A) To a publicly-owned treatment works (POTW) in accordance with all applicable industrial waste discharge requirements issued by the agency operating the POTW. Hazardous waste shall not be discharged to a POTW unless the POTW is authorized to receive the hazardous waste and the discharge of the hazardous waste is specifically approved in writing by the agency operating the POTW. The FTU owner or operator shall inform the agency operating the POTW of the time, volume, content, characteristics and point of the discharge; or
(B) In accordance with waste discharge requirements issued by a Regional Water Quality Control Board or a National Pollutant Discharge Elimination System (NPDES) permit; or
(C) To a treatment, storage or disposal facility authorized to receive the waste; or
(D) In accordance with any other applicable state law allowing alternative disposition of the effluent or treatment residual.
(6) Operate the FTU at the same facility where the waste being treated is generated. A facility which accepts waste which is not generated on-site for treatment, storage or disposal is not eligible to operate a FTU pursuant to a permit by rule.
(7) Permanently mark the exterior of each FTU with the name of the person which owns or operates the FTU, facility identification number and an individual serial number.
(8) Maintain the documents specified below at the facility where the FTU is operating. The owner or operator shall make these documents available upon demand at the facility to any representative of the CUPA or authorized agency, Department, the EPA or a local governmental agency. A copy of these documents shall be delivered in person or by certified mail with return receipt requested to the Department, CUPA or authorized agency when requested in writing by the Department, CUPA or authorized agency. The request from the Department, CUPA or authorized agency shall specify the documents which are required, where and how to submit the required documents and the date by which the documents shall be submitted. The documents include: 
(A) A waste analysis plan for the treatment operation as specified in section 66265.13(b)
(B) A written inspection schedule as specified in section 66265.15(b);
(C) Training documents as specified in section 66265.16(d)(3);
(D) A contingency plan which contains the information specified in section 66265.52;
(E) A copy of the most recent notification submitted as required by sections 67450.2(b)(2), 67450.3(c)(1) and 67450.3(c)(2) and a copy of the most recent acknowledgement received from the Department, CUPA or authorized agency pursuant to sections 67450.2(b)(2) and 67450.3(d);
(F) A copy of any local Air District permit and other permits required for the operation of the FTU;
(G) A copy of the closure plan required by subsection (c)(11)(B) of this section;
(H) A copy of documents related to the environmental investigation and any cleanup, abatement or other necessary remedial action taken pursuant to section 67450.7;
(I) Documentation of any convictions, judgments, settlements, or orders resulting from any action by any local, State, or federal environmental or public health enforcement agency concerning the operation of the facility within the last three years, as the documents would be available under the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Part 1 of Division 7 of Title 1 of the Government Code) and the Information Practices Act of 1977 (Chapter 1 (commencing with Section 1798) of Title 1.8 of Part 4 of the Civil Code);
(9) Maintain compliance with sections 66264.175, 66265.148, 67450.7, 67450.13, and 66265.404 and with the following regulations in chapter 15 of this division, including those referring to permit applications:
(A) Article 2. General Facility Standards;
(B) Article 3. Preparedness and Prevention;
(C) Article 4. Contingency Plan and Emergency Procedures;
(D) Article 5. Manifest System, Recordkeeping and Reporting (except sections 66265.73(b)(2), 66265.73(b)(6), 66265.73(b)(7), 66265.73(b)(15) and 66265.75);
(E) Article 9. Use and Management of Containers;
(F) Article 10. Tank Systems (except that the contingent plan for post-closure required by section 66265.197(c)(2) shall be maintained with the closure plan required by subsection (b)(12)(B) of this section);
(G) Article 16. Thermal Treatment;
(H) Article 17. Chemical, Physical, and Biological Treatment.
(10) Prepare and submit an annual report to CUPA or authorized agency when requested by CUPA or authorized agency. The annual report shall be delivered in person or by certified mail with return receipt requested to CUPA or authorized agency when requested in writing by CUPA or authorized agency. The request from CUPA or authorized agency shall specify where and how to submit the annual report and the date by which the annual report shall be submitted. The report shall be dated, and signed according to the requirements of section 66270.11 as those requirements apply to permit applications, and shall include the following information for each FTU which performed treatment during the calendar year preceding CUPA or authorized agency's request:
(A) The serial number(s) of the FTU(s) involved in treatment;
(B) The physical and mailing address of the business entity which owns or operates the FTU(s);
(C) The name, title and telephone number of each FTU contact person;
(D) The name and address or legal description of the facility;
(E) The facility identification number;
(F) The number of days each FTU was operated;
(G) The quantity of hazardous waste(s) treated by each FTU;
(H) The composition and hazardous characteristics of the influent hazardous waste(s);
(I) The treatment method(s) used for each hazardous waste treated by each FTU;
(J) The quantity, composition and hazardous characteristic(s) of any treatment effluent or residual discharged from each FTU to a POTW, if applicable; and
(K) The quantity, composition, hazardous characteristic(s) and disposition of any FTU treatment effluent or residual that was not discharged to a POTW, if applicable.
(11) Maintain compliance with the following requirements regarding closure:
(A) Sections 66264.178, 66265.111(a) and 66265.111(b), in the same manner as those sections apply to facilities and section 66265.114;
(B) The FTU owner or operator shall have a written closure plan. The closure plan shall include:
1. A description of how and when each FTU will be closed. The description shall identify the maximum extent of the operation during the life of the FTU(s), and how the applicable requirements of sections 66264.178, 66265.114, 66265.197(a), 66265.197(b), (c)(1) and (c)(2) and 66265.404 will be met;
2. An estimate of the maximum inventory of waste in storage and in treatment at any time during the operation of the FTU(s) at the facility;
3. A description of the steps needed to decontaminate the treatment equipment during closure; and
4. An estimate of the expected year of closure and a schedule for final closure. The schedule for final closure shall include, at a minimum, the total time required to close each FTU.
(C) The FTU owner or operator shall maintain the closure plan in compliance with section 66265.112(c);
(D) Within ninety (90) days after treating the final volume of hazardous waste, the FTU owner or operator shall treat, remove from the facility, or dispose of on-site, all hazardous waste in accordance with the closure plan and the applicable requirements of this chapter unless the owner or operator demonstrates to CUPA or authorized agency that the activities required to complete the closure will require longer than ninety (90) days, or the FTU has the capacity to treat additional wastes, or there is a reasonable likelihood that a person other than the owner or operator will recommence operation of the FTU(s), and closure of the FTU(s) would be incompatible with the operation of the facility, and the owner or operator has taken and will continue to take all steps necessary to prevent threats to human health and the environment;
(E) The FTU owner or operator shall complete closure activities in accordance with the closure plan within 180 days after treating the final volume of hazardous waste unless the owner or operator demonstrates to CUPA or authorized agency that the activities required to complete the closure will require longer than 180 days to complete, or the FTU has the capacity to treat additional wastes, or there is a reasonable likelihood that a person other than the owner or operator will recommence operation of the FTU(s), and closure of the FTU(s) would be incompatible with the operation of the facility, and the owner or operator has taken and will continue to take all steps necessary to prevent threats to human health and the environment;
(F) The FTU owner or operator shall notify the CUPA or authorized agency and any other agencies having jurisdiction over the closure project at least fifteen (15) days prior to completion of closure; and
(G) The FTU owner or operator shall remain in compliance with all applicable requirements of this section until the owner or operator submits to CUPA or authorized agency a certification signed by the owner or operator and by an independent, professional engineer registered in California, that closure has been completed in accordance with the closure plan and that the closure plan meets or exceeds the applicable requirements of this chapter.
(12) If treatment will be conducted in containers, the containment requirements of sections 66264.175 applicable to transfer and storage areas shall be complied with for areas where treatment occurs.
(d) CUPA or authorized agency, within forty-five (45) calendar days of receipt of an annual or amended notification submitted pursuant to subsection (c)(1) or (c)(2) of this section, shall acknowledge in writing receipt of the notification. CUPA or authorized agency shall, in conjunction with the acknowledgement, reauthorize operation of the FTU subject to the requirements of this section and sections 67450.7 and 67450.9(b) and (c), terminate or deny reauthorization to operate under permit by rule pursuant to section 67450.9(a) or notify the owner or operator that the notification is incomplete or inaccurate. If the notification is incomplete or inaccurate, CUPA or authorized agency shall specify what additional information or correction is needed. CUPA or authorized agency shall reauthorize or deny reauthorization to operate as specified in this subsection within forty-five (45) calendar days of receipt of the requested information or corrected notifications. CUPA or authorized agency shall reject the notification of any owner or operator who fails to provide the information or correction requested within ten (10) days of receipt of the acknowledgement. Upon good cause shown by the owner or operator, CUPA or authorized agency shall grant the owner or operator additional time to provide the information or correction requested. An owner or operator whose notification is rejected may submit a new notification.
NOTE

Authority cited: Sections 25150, 58004 and 58012, Health and Safety Code.  Reference: Sections 25112.5, 25150, 25185.6, 25186, 25200, 25200.2, 25202.9, 25205.1 and 25245.4, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Renumbering of former section 67450.3 to section 67450.11 and new section filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
3. Amendment of subsection (c)(1) filed 6-16-92 as an emergency; operative 6-16-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 10-14-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (c)(1) refiled 10-13-92 as an emergency; operative 10-12-92 (Register 92, No. 42). A Certificate of Compliance must be transmitted to OAL 2-11-93 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (c)(1) and (c)(3) filed 2-9-93 as an emergency; operative 2-9-93 (Register 93, No. 7). A Certificate of Compliance must be transmitted to OAL 6-9-93 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (c)(1) and (c)(3) refiled 6-8-93 as an emergency; operative 6-8-93 (Register 93, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-93 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-8-93 order including amendment of section and Note transmitted to OAL 10-5-93 and filed 11-18-93 (Register 93, No. 47).
8. Editorial correction of subsection (b) (Register 95, No. 50).
9. Amendment of subsection (c)(11)(B)1. filed 2-13-96 as an emergency; operative 2-13-96 (Register 96, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-12-96 or emergency language will be repealed by operation of law on the following day.
10. Reinstatement of subsection (c)(11)(B)1. as it existed prior to emergency amendment filed 2-13-96 by operation of Government Code section 11346.1(f) (Register 96, No. 25).
11. Amendment of subsection (c)(11)(B)1. filed 6-17-96 as an emergency; operative 6-17-96 (Register 96, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-15-96 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsection (c)(11)(B)1. refiled 10-15-96 as an emergency; operative 10-15-96 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-97 or emergency language will be repealed by operation of law on the following day.
13. Reinstatement of section as it existed prior to 10-15-96 emergency amendment by operation of Government Code section 11346.1(f) (Register 97, No. 9).
14. Editorial correction of History 12 (Register 97, No. 9).
15. Amendment of subsection (c)(11)(B)1. filed 2-24-97 as an emergency; operative 2-24-97 (Register 97, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
16. Change without regulatory effect amending section and Note filed 3-26-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 13).
17. Certificate of Compliance as to 2-24-97 order, including amendment of Note, transmitted to OAL 6-24-97 and filed 8-6-97 (Register 97, No. 32).
18. Amendment filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
19. Amendment refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
20. Amendment refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
21. Amendment refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
22. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
23. Change without regulatory effect amending subsection (c)(11)(D) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§67450.4. Requirements Applicable to Temporary Household Hazardous Waste Collection Facilities Deemed to Have a Permit by Rule.
Note     •     History

(a) The operator of a temporary household hazardous waste collection facility (THHWCF) deemed to have a permit by rule pursuant to Section 66270.60(d)(5) may accept only the classifications of wastes listed in subsections (a)(1) through (a)(4) of this section. The operator of a THHWCF may choose not to accept any given classification of waste (such as but not limited to compressed gas cylinders, explosives, infectious or radioactive wastes). If wastes are accepted which, in addition to being regulated as hazardous wastes, are otherwise regulated, they must be managed in accordance with the regulations of all appropriate federal, state and local agencies.
(1) Household hazardous waste;
(2) Pursuant to Health and Safety Code Section 25158.1(a), hazardous waste that is generated by small quantity commercial sources;
(3) Extremely hazardous wastes if they are managed in accordance with the requirements of Chapter 43 of this division. Additionally, participating small quantity commercial source generators must themselves comply with the requirements of Chapters 12, 13 and 43 of this division for the transport of extremely hazardous wastes to the THHWCF; and
(4) Unidentified household hazardous wastes if upon receipt they are analyzed to determine the hazardous characteristics of the waste for subsequent sorting and packaging as appropriate.
(b) The operator of a THHWCF shall prepare, maintain at the facility, and operate in compliance with an operation plan as specified below. The operator shall make the operation plan available upon demand to any representative of the Department, the U.S. EPA or local governmental agency including  the CUPA or authorized agency. A copy of the operation plan shall also be delivered in person or by certified mail with return receipt requested to CUPA or authorized agency when requested by CUPA or authorized agency. Any request from CUPA or authorized agency shall specify the documents which are required, where and how to submit the required documents, and the date by which the documents shall be submitted. The operation plan shall include:
(1) a description of the location and the address of the THHWCF;
(2) a copy of a map showing the general THHWCF perimeters and traffic pattern. The map shall include all of the information as specified in Sections 66270.14(b)(18)(A), (F), (G), (H), (J) and (L);
(3) a list of the days and hours of operation including alternate dates as appropriate;
(4) the name, address and identification number of the THHWCF;
(5) the name, address and telephone number of the contact person for the THHWCF,
(6) the agency or contractor which will be providing the site supervisor(s) for the THHWCF(s). The name(s) of the individual site supervisor(s) for each THHWCF session must be recorded in the operation plan on or before the date of that session.
(7) a description of the length of time the waste will be held at the THHWCF;
(8) a description of the procedure to be followed to ensure that the facility will be managed in an environmentally safe manner in the event of inclement weather;
(9) if wastes from small quantity commercial sources will be accepted, a description of the measures which will be taken to handle the acceptance of the small quantity commercial source wastes separately from the household wastes. These measures shall include:
(A) directing small quantity commercial source generators to a receiving area of the THHWCF separate from the receiving area for household waste, or
(B) limiting small quantity commercial source waste acceptance to different hours than household waste acceptance.
(10) a description of the measures to be taken to ensure that all waste is removed from the facility and all contaminated facility structures, equipment and soil are either decontaminated or removed following termination of the THHWCF;
(11) training documents as specified in Section 66264.16(d);
(12) a contingency plan which contains the information specified in Section 66264.52. Additionally, the contingency plan shall include identification of an offsite contingency storage location where wastes could temporarily be stored pending resolution of any delay in final waste acceptance by the receiving facility identified on the manifest(s);
(13) a copy of the documents as specified in Section 66264.17(c) if applicable;
(14) if solvents, oil-based paints or gasoline will be bulked at the THHWCF, a copy of the written protocol approved by the local fire and air pollution prevention agencies in which the THHWCF is located;
(15) copies of all local permits obtained for the operation of the facility;
(16) a copy of the written agreement between the property owner and the operator or the THHWCF; and
(17) if the facility is to be managed by a contractor, a copy of the written agreement between the contractor and the operator of the THHWCF.
(c) The operator of a THHWCF shall maintain compliance with Sections 66264.16 and 66264.17 and the following regulations:
(1) Chapter 12. Requirements for Generators of Hazardous Waste;
(2) Chapter 14, Article 3. Preparedness and Prevention; and
(3) Chapter 14, Article 4. Contingency Plan and Emergency Procedures.
(d) The operator of a THHWCF shall operate the THHWCF in a location that:
(1) is clearly marked to control public access;
(2) has a buffer zone which has the written approval of the appropriate local agencies;
(3) is large enough to accommodate all of the necessary equipment, personnel and anticipated number of vehicles for safe operation;
(4) is paved with asphalt or concrete in good repair. Additionally, all waste handling areas (with the exception of traffic lanes) must be covered with contiguous plastic sheeting of at least 6 mil thickness. Any punctured or torn plastic must be repaired or replaced immediately.
(5) has a physical barrier such as cones, tape or tables to delineate the perimeter of the handling and storage areas;
(6) has an area(s) or structure(s) that has the written approval of the appropriate local agencies to store all containers holding ignitable and/or reactive waste;
(7) has a canopy or other roof structure, when necessary, to prevent exposure to excessive heat or precipitation, that covers waste handling area(s) designated for sorting, bulking and packaging;
(8) has signs posted warning that the receiving, handling and storage areas contain hazardous waste and with the legend “Danger! Hazardous Waste Area--Unauthorized Personnel Keep Out”. Additionally, signs shall be posted that prohibit food, beverages and smoking in the receiving, handling and storage areas. All signs shall be:
(A) in English and any other language predominant in the area surrounding the facility; and
(B) legible from a distance of at least 25 feet.
(9) has a storage area that:
(A) is surrounded by a fence constructed in a manner to prevent access by unauthorized persons; or
(B) is contained within a secured area with controlled access; or
(C) is monitored by a 24-hour surveillance system (e.g., television monitoring or surveillance by guards or facility personnel) which continuously monitors and controls entry into the storage area; and
(D) has artificial lighting to ensure safe, effective management of the waste if the THHWCF operates or stores wastes during hours of darkness; and
(E) has a separate storage area for wastes which are ready to be transported off-site; and
(10) provides traffic control which is:
(A) approved by the appropriate local agency;
(B) directed by staff and/or volunteers authorized by the operator, fire department or law enforcement agency;
(C) routed in a one-way direction to minimize backing up or turning around; and
(D) controlled to assure that persons delivering the wastes remain in their vehicles while in the waste acceptance area of the facility.
(e) The operator of a THHWCF shall handle the waste received at the facility as follows:
(1) assure that bulking of wastes shall be performed:
(A) in a manner which prevents the mixing of incompatible wastes; and
(B) in a secured area away from the receiving area;
(2) limit bulking and filtering of wastes at the THHWCF to water-based paints, oil-based paints, compatible solvents, gasoline, antifreeze, used oil and roofing tar. If solvents, oil-based paints or gasoline are to be bulked, the operator shall observe the following restrictions:
(A) the bulking of solvents, oil-based paints or gasoline shall not occur during hours when wastes are being accepted at the THHWCF; and
(B) the bulking of solvents, oil-based paints or gasoline shall be conducted in compliance with written protocol approved by local fire and air pollution prevention agency jurisdictions in which the THHWCF is located;
(3) bulk, package and ship used oil to a facility authorized to receive used oil pursuant to Section 25200, Health and Safety Code;
(4) package and label the properly sorted waste in accordance with Department of Transportation (DOT) requirements pursuant to Subchapter C, Title 49, Code of Federal Regulations (CFR);
(5) assure that personnel who sort, bulk or package waste meet the personnel training requirements specified in Section 66264.16(a) and the requirements of the Occupational Safety and Health Administration (California Code of Regulations, Title 8 Sections 3380 and 5192);
(f) The operator of a THHWCF shall assure that removal and/or decontamination of structures, equipment, soil and all collected materials and wastes shall be completed within 144 hours after termination of the session and shall assure that all contaminated materials and wastes are removed by a registered hazardous waste transporter or other authorized person.
(g) The operator of a THHWCF shall establish a separate record which identifies the name, address, and identification number of the small quantity commercial source generator (if any), the type(s) and quantity(ies) of hazardous wastes accepted from small quantity commercial sources, and the fees paid to the THHWCF for the management of those wastes.
(h) The operator of a THHWCF shall assure that copies of the following reports and records pertaining to the THHWCF operations are maintained and available upon demand to CUPA, or authorized agency by the operator of the THHWCF for a period of at least three years from the commencement of the THHWCF:
(1) the operation plan required by subsection (a)(2) of this section;
(2) the notification submitted as required by Section 66270.60(e); and
(3) all records which identify receipts and shipments of hazardous wastes from household and small quantity commercial sources.
(i) The operator of a THHWCF shall submit a written report to the appropriate CUPA or authorized agency of any incidents of noncompliance with these regulatory requirements that may have occurred within 15 days of such an occurrence. The report shall include all of the following:
(1) the name, address and telephone number of the operator;
(2) the location and address of the THHWCF;
(3) the days and hours of operation;
(4) a description of the incident and the reason for the occurrence; and
(5) the procedures to be implemented to prevent a recurrence of the incident if applicable.
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25112.5, 25150, 25159, 25159.5, 25185.6, 25186, 25200, 25200.2, 25205 and 25205.1, Health and Safety Code; and Title 40, Section 262.41, Code of Federal Regulations.
HISTORY

1. New section filed 4-12-93; operative 4-12-93 (Register 93, No. 16). For prior history see Register 92, No. 12.
2. Editorial correction of subsection (e)(2) (Register 95, No. 50).
3. Amendment of subsection designator (c) filed 11-7-96; operative 11-7-96 (Register 96, No. 45).
4. Amendment of subsections (b), (h) and (i) filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (b), (h) and (i) refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (b), (h) and (i) refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (b), (h) and (i) refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
9. Change without regulatory effect amending subsection (b)(6) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
10. Change without regulatory effect repealing subsection (b)(15) and renumbering subsections filed 7-14-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 29).
§67450.5. Liability Requirements: Coverage for Sudden Accidental Occurrences for Transportable Treatment Units Which Are Permitted by Rule.
Note     •     History

NOTE

Authority cited: Sections 208, 25200.2 and 25425, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
2. Renumbering and amendment of former section 67450.5 to section 67450.14 filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
§67450.7. Corrective Action Requirements for Facilities Operating Under Permit by Rule.
Note     •     History

(a) An owner or operator of a facility who operates a transportable treatment unit (TTU) or fixed treatment unit (FTU) under a permit by rule pursuant to section 67450.2(a) or section 67450.2(b) shall complete a corrective action program at the facility. Corrective action shall consist of a phase 1 environmental assessment developed pursuant to Health and Safety Code section 25200.14 and subsequent corrective action conducted in accordance with the requirements in section 68400.16 as necessary to protect human health and the environment for all releases of hazardous waste or constituents from any solid or hazardous waste management unit at the facility, regardless of the time at which waste was placed in the unit. 
(1) For purposes of this section, a “facility” shall include the entire site that is under the control of the owner or operator of the facility who is operating or proposing to operate a TTU or FTU under a permit by rule.
(2) For purposes of this section, a phase I environmental assessment means a preliminary site assessment based on reasonably available knowledge of the facility, including, but not limited to, historical use of the property, prior releases, visual and other surveys, records, consultant reports, and regulatory agency correspondence. The phase 1 environmental assessment shall consist of completion of the Phase 1 Environmental Assessment Checklist developed by DTSC pursuant to HSC Section 25200.14.
(3) The phase 1 environmental assessment shall be conducted and submitted to the Department or the UPA authorized by the Department within one year of the initial notification submitted to the Department or authorized UPA pursuant to section 67450.2(b)(2).
(b) The notifications required pursuant to sections 67450.2(b)(2) and 67450.3(a)(3), and any subsequent notifications required by sections 67450.3(a)(4), 67450.3(c)(1) or 67450.3(c)(2) shall specify whether a phase I environmental assessment has been completed. The owner or operator of the FTU(s) or TTUs shall submit the Phase I Environmental Assessment Checklist to the Department at the address specified on form DTSC 1772 (1/96) or to the authorized UPA. The certification shall be signed as required by Health and Safety Code section 25200.14(d).
NOTE

Authority cited: Sections 25150, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25187, 25200, 25200.10 and 25404.1, Health and Safety Code. 
HISTORY

1. New section filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
2. Change without regulatory effect amending subsection (a), adding new subsections (a)(2)-(3), renumbering subsections, amending subsections (b), (c) and (e) and amending Note filed 3-26-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 13).
3. Amendment of subsection (a) and repealer of subsections (a)(1)-(g) filed 11-19-98 as an emergency; operative 11-19-98 (Register 98, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-99 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of subsections (a)-(g) as they existed prior to 11-19-98 emergency amendment by operation of Government Code section 11346.1(f) (Register 99, No. 12).
5. Amendment of subsection (a) and (a)(3), repealer of subsection (a)(4), amendment of subsection (b), repealer of subsections (b)(1)-(g) and amendment of Note filed 7-20-2006; operative 8-19-2006 (Register 2006, No. 29).
§67450.9. Termination, Suspension and Denial of Authorization or Reauthorization, and Operating Restrictions for Units and Facilities Operating Under Permit by Rule.
Note     •     History

(a) Notwithstanding the provisions of Chapter 21 of this division, the Department may revoke or suspend authorization or reauthorization for any TTU, FTU or facility operating or proposing to operate under a permit by rule as provided in this section. The Department may also deny authorization or reauthorization for any TTU operating or proposing to operate under a permit by rule as provided in this section. The Department shall base a decision on any one of the factors set forth in section 66270.43(a) or (b) or on Health and Safety Code section 25186 or on a finding that operation of the unit(s) or facility in question will endanger human health, domestic livestock, wildlife, or the environment.
(1)  Notice of revocation or suspension shall be provided to the applicant or permittee by certified mail with return receipt requested or by personal service;
(2) An owner or operator whose authorization or reauthorization to operate a unit or facility under a permit by rule is revoked or suspended and who wishes to appeal the revocation or suspension shall appeal by submitting a letter to the Department, within ten (10) days of receipt of notice of denial, requesting a hearing.
(3) Proceedings to appeal the Department's decision concerning revocation or suspension of authorization to operate under a permit by rule shall be conducted in accordance with chapter 5 (commencing with section 11500) of part 1 of division 3 of title 2 of the Government Code.
(b) Notwithstanding the provisions of Chapter 21 of this division, the CUPA or authorized agency including the Department, may deny authorization or reauthorization for any unit or facility operating or proposing to operate under a permit by rule as provided in this section. The CUPA or authorized agency shall base a decision on any one of the factors set forth in section 66270.43(a) or (b) or on Health and Safety Code section 25186 or on a finding that operation of the unit(s) or facility in question will endanger human health, domestic livestock, wildlife, or the environment.
(1) Notice of denial shall be provided to the applicant or permittee by certified mail with return receipt requested or by personal service;
(2) An owner or operator who is denied authorization or reauthorization to operate a unit or facility under a permit by rule and who wishes to appeal the denial shall appeal by submitting a letter to the CUPA or authorized agency, within ten (10) days of receipt of notice of denial, requesting a hearing.
(3) Proceedings to appeal a CUPA or authorized agency's decision concerning denial of authorization reauthorization to operate under a permit by rule shall be conducted in accordance with chapter 5 (commencing with section 11500) of part 1 of division 3 of title 2 of the Government Code.
(c) No treatment process which establishes an unpermitted waste pile, land treatment facility, surface impoundment, injection well, landfill or storage facility is eligible to operate under a permit by rule.
(d) Any authorization to operate granted pursuant to section 67450.2(a), section 67450.2(b), section 66270.60(d)(5) or section 66270.60(d)(6) or reauthorization granted pursuant to section 67450.3(b) or section 67450.3(d) is contingent upon the accuracy of information contained in the notifications required by sections 67450.2(a) and (b), sections 67450.3(a) and (c), section 66270.60(d)(5)(A), and section 66270.60(d)(6)(A). Any misrepresentation or any failure to fully disclose all relevant facts shall render the authorization or reauthorization to operate null and void.
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25186, 25186.1, 25186.2 25200, 25218.2 and 25218.3, Health and Safety Code; and Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
HISTORY

1. New section filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
2. Amendment of section heading and subsections (a)-(a)(2), newly designated subsection (a)(3) and amendment of Note filed 7-19-95; operative 8-18-95 (Register 95, No. 29).
3. Amendment of subsection (c) and Note filed 11-7-96; operative 11-7-96 (Register 96, No. 45).
4. Amendment of section heading and subsections (a)-(a)(3), new subsections (b)-(b)(3) and subsection relettering filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and subsections (a)-(a)(3), new subsections (b)-(b)(3) and subsection relettering refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading and subsections (a)-(a)(3), new subsections (b)-(b)(3) and subsection relettering refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading and subsections (a)-(a)(3), new subsections (b)-(b)(3) and subsection relettering refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
§67450.11. List of Influent Waste Streams and Treatment Process(es) for Influent Waste Streams Eligible for Treatment Pursuant to Permit by Rule.
Note     •     History

(a) The following hazardous wastes are eligible for treatment by TTUs operating pursuant to section 67450.2(a) or by FTUs operating pursuant to section 67450.2(b) provided treatment of the waste is not regulated under the federal Resource Conservation and Recovery Act of 1976, as amended (42 U.S.C., section 6901 et seq.), the waste is not reactive pursuant to section 66261.23 or extremely hazardous pursuant to sections 66261.107 or 66261.110, the waste to be treated is a hazardous waste only because it contains one or more constituents listed in this section, the only treatment technologies used are the ones listed in this section for the waste stream(s) eligible to be treated, the treatment is conducted only for the purpose of treating eligible constituent(s), all treatment is conducted in tanks or containers, and all discharges to air comply with applicable federal, state and local air pollution control statutes and regulations:
(1) Aqueous wastes containing hexavalent chromium may be treated by the following process:
(A) Reduction of hexavalent chromium to trivalent chromium with sodium bisulfite, sodium metabisulfite, sodium thiosulfate, ferrous sulfate, ferrous sulfide or sulfur dioxide, provided both pH and addition of the reducing agent are automatically controlled.
(2) Aqueous wastes containing metals listed in section 66261.24(a)(2) and/or fluoride salts may be treated by the following technologies:
(A) pH adjustment or neutralization.
(B) Precipitation or crystallization.
(C) Phase separation by filtration, centrifugation or gravity settling.
(D) Ion exchange.
(E) Reverse osmosis.
(F) Metallic replacement.
(G) Plating the metal onto an electrode.
(H) Electrodialysis.
(I) Electrowinning or electrolytic recovery.
(J) Chemical stabilization using silicates and/or cementitious types of reactions.
(K) Evaporation.
(L) Adsorption.
(3) Aqueous wastes with total organic carbon less than ten percent as measured by EPA Method 9060 described in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”, SW-846, 3rd Edition, U.S. Environmental Protection Agency, 1986 and less than one percent total volatile organic compounds as measured by EPA Method 8240 described in “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods”, SW-846, 3rd Edition, U.S. Environmental Protection Agency, 1986 may be treated by the following technologies:
(A) Phase separation by filtration, centrifugation or gravity settling, but excluding super critical fluid extraction.
(B) Adsorption.
(C) Distillation.
(D) Biological processes conducted in tanks or containers and utilizing naturally occurring microorganisms.
(E) Photodegradation using ultraviolet light, with or without the addition of hydrogen peroxide or ozone, provided the treatment is conducted in an enclosed system:
(F) Air stripping or steam stripping.
(4) Sludges, dusts, solid metal objects and metal workings which contain or are contaminated with metals listed in section 66261.24(a)(2) and/or fluoride salts, may be treated by the following technologies:
(A) Chemical stabilization using silicates and/or cementitious types of reactions.
(B) Physical processes which change only the physical properties of the waste such as grinding, shredding, crushing, or compacting.
(C) Drying to remove water.
(D) Separation based on differences in physical properties such as size, magnetism or density.
(5) Alum, gypsum, lime, sulfur or phosphate sludges may be treated by the following technologies:
(A) Chemical stabilization using silicates and/or cementitious types of reactions.
(B) Drying to remove water.
(C) Phase separation by filtration, centrifugation or gravity settling.
(6) Wastes listed in section 66261.120 which meet the criteria and requirements for special waste classification in section 66261.122 may be treated by the following technologies:
(A) Chemical stabilization using silicates and/or cementitious types of reactions.
(B) Drying to remove water.
(C) Phase separation by filtration, centrifugation or gravity settling.
(D) Screening to separate components based on size.
(E) Separation based on differences in physical properties such as size, magnetism or density.
(7) Wastes, except asbestos, which have been classified by the Department as special wastes pursuant to section 66261.124, may be treated by the following technologies:
(A) Chemical stabilization using silicates and/or cementitious types of reactions.
(B) Drying to remove water.
(C) Phase separation by filtration, centrifugation or gravity settling.
(D) Magnetic separation.
(8) Inorganic acid or alkaline wastes may be treated by the following technology:
(A) pH adjustment or neutralization.
(9) Soils contaminated with metals listed in section 66261.24(a)(2) may be treated by the following technologies:
(A) Chemical stabilization using silicates and/or cementitious types of reactions.
(B) Screening to separate components based on size.
(C) Magnetic separation.
(10) Used oil as defined in Health and Safety Code section 25250.1, unrefined oil waste, mixed oil, oil mixed with water and oil/water separation sludges may be treated by the following technologies:
(A) Phase separation by filtration, centrifugation or gravity settling, but excluding super critical fluid extraction.
(B) Distillation.
(C) Neutralization.
(D) Separation based on differences in physical properties such as size, magnetism or density.
(E) Reverse osmosis.
(F) Biological processes conducted in tanks or containers and utilizing naturally occurring microorganisms.
(11) Containers of 110 gallons or less capacity which are not constructed of wood, paper, cardboard, fabric or any other similar absorptive material, which have been emptied as specified in Title 40 Code of Federal Regulations section 261.7 revised July 1, 1990) or inner liners removed from empty containers that once held hazardous waste or hazardous material and which are not excluded from regulation pursuant to this chapter may be treated by the following technologies provided the treated containers and rinseate are managed in compliance with the applicable requirements of this chapter:
(A) Rinsing with a suitable liquid capable of dissolving or removing the hazardous constituents which the container held.
(B) Physical processes such as crushing, shredding, grinding or puncturing, that change only the physical properties of the container or inner liner, provided the container or inner liner is first rinsed as provided in subsection (a)(11)(A) of this section and the rinseate is removed from the container or inner liner.
(12) Multi-component resins may be treated by the following process:
(A) Mixing the resin components in accordance with the manufacturer's instructions.
(13) A waste stream technology combination certified by the Department pursuant to Section 25200.1.5 of the Health and Safety Code as appropriate for authorization under Permit by Rule.
(b) For purposes of this section an aqueous waste is defined as a waste containing water, and less than or equal to one percent of suspended solids, as measured by Method 209C described in “Standard Methods for Examination of Water and Wastewater,” 16th Edition, published jointly by the American Public Health Association, the American Water Works Association, and the American Pollution Control Federation, 1985.
(c) Treatment residuals and effluents generated from the operation of a TTU or FTU shall be subject to the requirements of chapter 6.5 of division 20 of the Health and Safety Code and of this division, and shall be the responsibility of the generator of the waste influent treated by the TTU or FTU. Treatment residuals and effluents generated during closure of a TTU or FTU shall be subject to the requirements of chapter 6.5 of division 20 of the Health and Safety Code and of this division and shall be the responsibility of the TTU or FTU owner or operator.
(d)(1) Notwithstanding subsection (a), cyanide-containing aqueous wastes listed in subsection (d)(2) are eligible for treatment by TTUs operating pursuant to section 67450.2 subsection (a) or FTUs operating pursuant to section 67450.2 subsection (b) provided that: 
(A) treatment of the waste is not regulated under the federal Resource Conservation and Recovery Act of 1976, as amended (42 U.S.C., section 6901 et seq.); 
(B) the waste is not extremely hazardous pursuant to sections 66261.107 or 66261.110 (except for waste identified in paragraphs 2(F) and (G) of subsection (d)); 
(C) notwithstanding any other basis for a determination that the waste to be treated is a hazardous waste, said waste is hazardous because it contains cyanide or a combination of cyanide and metals listed in section 66261.24 subsection (a)(2); 
(D) the treatment is conducted solely for the purpose of treating cyanide-containing waste in accordance with processes listed in subsection (d)(3), or (d)(7); or the purpose of treating spent process solutions by electrowinning pursuant to subsection (d)(6); 
(E) the owner or operator of the TTU and/or FTU is in compliance with the requirements of subsection (d)(4); 
(F) all treatment is conducted in tanks or containers; and 
(G) all discharges to air comply with applicable federal, state, and local air pollution control and worker safety statutes and regulations. 
(2) Cyanide-containing wastes eligible for treatment pursuant to this subsection are: 
(A) aqueous wastes generated by rinsing workpieces and fixtures holding workpieces that were processed in cyanide-containing solutions; 
(B) aqueous wastes generated by reverse osmosis or the regeneration of demineralizer (ion exchange) columns that were used for recycling of wastewaters at facilities that maintain zero discharge of wastewaters derived from the treatment of cyanide-containing aqueous waste; 
(C) aqueous wastes generated by rinsing containers, pumps, hoses, and other equipment used to transfer cyanide solutions onsite; 
(D) aqueous wastes generated by the following onsite recycling activities: 
1. rinsing spent anode bags prior to onsite reuse; or 
2. rinsing empty containers prior to onsite reuse; 
(E) aqueous wastes generated by onsite laboratories conducting analyses and testing; 
(F) spent process solutions managed in accordance with the requirements of subsection (d)(6); and 
(G) spent process solutions managed in accordance with the requirements of subsection (d)(7). 
(3) The following processes may be used to treat the wastes described in subsections (d)(2)(A)-(E): 
(A) oxidation by addition of hypochlorite; 
(B) oxidation by addition of peroxide or ozone, with or without the use of ultraviolet light; 
(C) alkaline chlorination; 
(D) electrochemical oxidation;
(E) ion exchange; or 
(F) reverse osmosis. 
(4) The owners or operators of all sites or facilities subject to subsection (d) shall implement the following to reduce waste generation, and minimize or eliminate releases to work areas and the environment: 
(A) use holding racks and/or drain boards between all process and rinse tanks to contain plating drag-out, rinse solution drag-out, and return drag-out solutions to process tanks; 
(B) use countercurrent rinsing to reduce water use and wastewater generation when multiple sequential rinse tanks are used; 
(C) at a minimum, every four (4) years, review the use of cyanide-containing process baths to determine if a non-cyanide alternative with equivalent results is available as part of: 
1. the Source Reduction Evaluation Review and Plan pursuant to Health and Safety Code section 25244.19, 
2. an Environmental Management System, or 
3. an environmental performance evaluation plan;
(D) provide initial and annual training to employees, who handle cyanide process solutions, cyanide-containing rinse waters, or manage cyanide-containing aqueous waste, on how to reduce wastes in the production area, including, but not limited to, procedures to: 
1. reduce drag-out of plating baths, 
2. minimize contaminants in process baths, 
3. extend process bath life, 
4. minimize chemical spills and splashes from process and rinse solutions handling practices, and 
5. respond to chemical spills to reduce waste and minimize releases from process and rinse solutions handling practices. 
(5) Non-aqueous cyanide-containing wastes may not be treated under the authority of subsection (d). 
(6) Spent process solutions containing recoverable amounts of metal may be treated by electrowinning in order to recover those metals provided that the owner or operator is in compliance with the requirements of subsection (d). Incidental treatment of cyanide contained in the spent process solution by the electrowinning process is also authorized by subsection (d)(6). For the purposes of subsection (d), electrowinning means the electrodeposition of metals from spent process solution. 
(7) Spent cyanide-containing process solutions may be treated by slow addition to the aqueous waste identified in paragraphs (2)(A) and (C) of subsection (d) for the purpose of reducing cyanide processing hazards, provided that the owner or operator is in compliance with the following requirements. Solutions resulting from the mixing authorized in subsection (d)(7) shall be further treated by processes listed in subsection (d)(3) in accordance with the other provisions of subsection (d). Owners or operators managing cyanide-containing spent process solutions shall ensure the following: 
(A) the concentration of cyanide in solutions treated in accordance with subsection (d)(3) shall not exceed 5000 milligrams per liter or parts per million (ppm) of total cyanide; 
(B) residual solids generated by any treatment process allowed in section 67450.11, such as filtercakes and sludges from clarifiers, are either: 
1. recycled by a facility that recovers metals from the residual solids, or are partially reclaimed for further processing by another metal recovery facility; or 
2. determined not amenable for recycling due to technological or economic reasons in accordance with paragraph (7)(C), and; 
(C) a justification statement is prepared when any residual solids are not recycled in accordance with subparagraph (7)(B)1. in a calendar year. Owners or operators shall complete this justification statement by January 30, for any shipment of residual solids not recycled in the previous calendar year. The justification statement shall include all the following: 
1. chemical composition of the residual solids, including but not limited to, the concentration and type of metals present, cyanide concentration, and water content; and the total weight or volume of the residual solid not recycled during the previous calendar year. 
2. chemical composition of the spent process solutions, including but not limited to, the concentration and type of metals present, and cyanide concentration; and the total weight or volume of the spent process solution treated during the previous calendar year. 
3. current year cost estimates expressed in dollars per pound or dollars per gallon for the following hazardous waste management options, including transportation: 
a. offsite disposal of the residual solids including treatment; 
b. offsite recycling of the residual solids; 
c. offsite treatment of process solutions; and 
d. onsite treatment of process solutions. 
4. a basis for the decision to not recycle the residual solids as either: 
a. technological and provide the chemical, physical, hazardous characteristics, or other properties that affect recycling the residual solids; or 
b. economic and provide a comparison of the hazardous waste management costs including, but be not limited to, all costs listed in subparagraph (7)(C)1. and (7)(C)2. for both managing the residual solids and managing the spent process solutions; 
(D) the justification statement may include any other information that influenced or formed the basis of the generator's decision to not recycle the residual solids. This supplemental information may include the availability of suitable processing technology and facilities; or the marketability of the residual solid or its reclaimed components; and 
(E) the following records are maintained at the facility for a minimum of three years from the last date of any activity authorized pursuant to this paragraph of this subsection and made available to authorized representatives of the Department, the CUPA, or the U.S. EPA upon request: 
1. written approval from the agency operating the POTW receiving the facility's discharges required by section 67450.3 subsections (a)(7)(A) or (c)(5)((A); 
2. written method documented in the waste analysis plan required by section 67450.3 subsections (a)(10)(A) and (c)(8)(A) for ensuring that the concentration of total cyanide does not exceed 5000 milligrams per liter in the aqueous waste resulting from the mixing authorized in subsection (d)(7); and 
3. documentation that the residual solids generated by the treatment pursuant to paragraph (7)(B) of this subsection have been either: 
a. sent offsite for metals recovery or reclamation; or 
b. determined to be not amenable for recycling in accordance with paragraph (7)(C). 
NOTE

Authority cited: Sections 25150, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25200 and 25200.2, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former section 67450.3 to section 67450.11 filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
2. Change without regulatory effect amending subsections (a), (a)(6), (a)(7) and (a)(12)(A), adding new subsection (a)(13) and amending Note filed 3-26-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 13).
3. New subsections (d)(1)-(d)(7)(E)3.b. filed 7-7-2008; operative 8-6-2008 (Register 2008, No. 28).
§67450.13. Financial Assurance for Closure of Transportable Treatment Units and Fixed Treatment Units Which Are Authorized Under Permit by Rule and Generators Who Are Authorized Under Conditional Authorization.
Note     •     History

(a) Notwithstanding any other requirements of this article, this section shall apply to all owners or operators of transportable treatment units (TTUs) (as defined in section 66260.10) deemed to have a permit by rule pursuant to section 67450.2, subsection (a), with owners or operators of fixed treatment units (FTUs) (as defined in section 66260.10) deemed to have a permit by rule pursuant to section 67450.2, subsection (b), and generators operating pursuant to a grant of Conditional Authorization (CA) (as defined in Health & Safety Code section 25110.9.1, subdivision (a)). Agencies of the State and Federal governments are exempt from the requirements of this section. For purposes of this section, state government shall not include municipal, local, city, county, city-county special district government or any subdivisions thereof. 
(1) The TTU owner or operator, FTU owner or operator, or a generator operating pursuant to a grant of Conditional Authorization shall prepare a written estimate of the cost of closing each unit. The estimate shall equal the actual cost or the costs estimated by an owner or operator or a generator that would be incurred for closing a treatment unit when using the owner or operator or generator's own staff and/or personal equipment. The closure cost estimate may take into account any salvage value that may be realized from the sale of wastes, facility structure or equipment, land or other facility assets. This estimate shall be submitted as an attachment to the Certification of Financial Assurance for Permit by Rule and Conditionally Authorized Operations page(s) of the Unified Program Consolidated Form (x/99)).
(2) The TTU owner or operator, FTU owner or operator, or a generator operating pursuant to a grant of Conditional Authorization shall adjust the closure cost estimate for inflation by March 1 of each year. The adjustment shall be made as specified in subsections (a)(2)(A) and (a)(2)(B) of this section, using an inflation factor derived from the annual Implicit Price Deflator for Gross National Product as published by the U.S. Department of Commerce in its Survey of Current Business. The inflation factor is the result of dividing the latest published annual Deflator by the Deflator of the previous year.
(A) The first adjustment is made by multiplying the closure cost estimate by the inflation factor. The result is the adjusted closure cost estimate.
(B) Subsequent adjustments are made by multiplying the latest adjusted closure cost estimate by the latest inflation factor.
(3) The TTU owner or operator or FTU owner or operator shall revise the closure cost estimate whenever a change in the closure plan increases the cost of closure. The revised closure cost estimate shall be adjusted for inflation as specified in subsection (a)(2) of this section. The owner or operator shall maintain the following at the facility during the operating life of the facility: the latest closure cost estimate prepared in accordance with subsection (a)(1) of this section, and the latest closure cost estimate adjusted in accordance with subsection (a)(2) of this section.
(4) A generator operating pursuant to a grant of Conditional Authorization shall revise the closure cost estimate whenever a change occurs that increases the cost of closure. The revised closure cost estimate shall be adjusted for inflation as specified in subsection (a)(2) of this section. The owner or operator shall maintain the following at the facility during the operating life of the facility: the latest closure cost estimate prepared in accordance with subsection (a)(1) of this section, and the latest closure cost estimate adjusted in accordance with subsection (a)(2) of this section.
(5) On or after October 1, 1996, financial assurance for closure of a TTU, FTU, or treatment unit operated by a generator authorized pursuant to a grant of Conditional Authorization shall be obtained by one of the following methods:
(A) a closure trust fund, as described in section 66265.143, subsection (a);
(B) a surety bond guaranteeing payment into a closure trust fund, as described in section 66265.143, subsection (b);
(C) a closure letter of credit, as described in section 66265.143, subsection (c);
(D) closure insurance, as described in section 66265.143, subsection (d);
(E) a financial test and corporate guarantee for closure, as described in section 66265.143, subsection (e);
(F) Use of multiple financial mechanisms for closure costs as described in section 66265.143, subsection (f); or
(G) an alternative financial mechanism for closure costs, as described in sections 66265.143, subsection (h), or subsection (c) of this section. A certificate of deposit, as described in section 3-104(2)(c) of the Uniform Commercial Code, or a savings account as described in section 4-104(a) of the Uniform Commercial Code, are examples of alternative financial mechanisms.
(6) A FTU owner or operator, or a generator operating pursuant to a grant of Conditional Authorization may request permission to fund the financial mechanism over a period not to exceed five (5) years from the CUPA or the authorized agency. The request to the CUPA or authorized agency, shall contain the reason(s) and information as specified in subsections (c)(1) and (c)(2) of this section. A CUPA or the authorized agency, shall evaluate and respond to each request in writing within sixty (60) days of receipt.
(7)(A) Notwithstanding any other provision of regulation, financial assurance for closure of a FTU, operated pursuant to permit by rule, or treatment unit operated by a generator authorized pursuant to a grant of Conditional Authorization shall establish the CUPA, or the authorized agency, as the beneficiary of any financial documents to be submitted to comply with the requirements of this section.
(B) Financial assurance for closure of a TTU shall establish the Department as the beneficiary of any financial documents to be submitted to comply with the requirements of this section.
(8)(A) On and after January 1, 1997, a financial assurance mechanism shall be submitted with the certification required in subsection (b) to the CUPA or the authorized agency, unless the  FTU owner or operator, operating pursuant to permit by rule, or a generator operating pursuant to a grant of Conditional Authorization is exempt by subsection (e) of this section.
(b) The FTU owner or operator, operating pursuant to permit by rule, or a generator operating pursuant to a grant of Conditional Authorization shall submit a Certification of Financial Assurance for Permit by Rule and Conditionally Authorized Operations page(s) of the Unified Program Consolidated Form (x/99)) for each FTU facility that has one or more FTUs, or CA treatment location documenting compliance with the closure cost assurance requirements of subsection (a) of this section. The TTU owner or operator, operating pursuant to permit by rule, shall submit a Certification of Financial Assurance for Permit by Rule and Conditionally Authorized Operations [DTSC 1232 (8/96)] for each TTU, documenting compliance with the closure cost assurance requirements of subsection (a) of this section. The certification for TTU operations shall accompany each initial notification required in sections 67450.2(a), 67450.3(a)(1) and 67450.3(a)(2) unless the notification was previously submitted to the Department before January 1, 1997. The certification for PBR fixed treatment unit operations shall accompany each initial notification required in sections 67450.2(b)(2), 67450.2(b)(3)(G), 67450.3(c)(1) and 67450.3(c)(2) unless the notification was previously submitted to the Department before January 1, 1997. The certification for a Conditionally Authorized treatment location shall accompany each initial notification required in Health and Safety Code section 25200.3(e) unless notification was previously submitted to the Department before January 1, 1997. The FTU owner or operator, operating pursuant to permit by rule, or a generator operating pursuant to a grant of Conditional Authorization who has previously submitted a notification to the Department before January 1, 1997, shall submit a copy of certification as identified in this subsection along with a copy of financial assurance mechanism as specified in subsection (a), paragraph (5), subparagraphs (A) through (G) of this section to the CUPA or the authorized agency. The TTU owner or operator operating pursuant to permit by rule, who has submitted a notification to the Department before January 1, 1997, shall submit a copy of certification as identified in this subsection along with a copy of financial assurance mechanism as specified in subsection (a), paragraph (5), subparagraphs (A) through (G) of this section to the Department.
(1) This certification shall contain the following information:
(A) The current closure cost estimate of each unit as determined in subsection (a) of this section.
(B) The mechanism(s) established to provide the closure cost assurance for each unit, as described in subsection (a)(5) of this section, and the original document(s) used to satisfy the requirements of the mechanism(s).
(C) The name and location of the financial institution, insurance company, surety company, or other appropriate organization used to establish the closure assurance for each unit.
(D) The effective date of the closure assurance for the unit(s).
(2) The certification shall be signed according to the requirements of section 66270.11 as those requirements apply to permit applications.
(c) Alternative Financial Mechanisms for Closure Costs.
(1)(A) The FTU owner or operator, or a generator operating pursuant to a grant of Conditional Authorization may establish financial assurance for closure by means of a financial mechanism other than those specified in subsection (a), paragraph (5), subparagraphs (A) through (G) of this section provided that, prior to its use, the mechanism has been submitted to and approved by a CUPA or the authorized agency. The mechanism shall be at least equivalent to the financial mechanisms specified in subsection (a), paragraph (5), subparagraphs (A) through (G) of this section. A CUPA or the authorized agency, shall respond in writing within sixty (60) days of receipt and shall evaluate the equivalency of a mechanism principally in terms of:
1. Certainty of the availability of the funds for the required closure activities; and
2. The amount of funds that will be made available. A CUPA or the authorized agency, shall also consider other factors deemed to be appropriate, and shall require the owner or operator, or a Conditionally Authorized generator to submit additional information as is deemed necessary to make the determination.
(B) The TTU owner or operator may establish financial assurance for closure by means of a financial mechanism other than those specified in subsection (a), paragraph (5), subparagraphs (A) through (G) of this section provided that, prior to its use, the mechanism has been submitted to and approved by the Department. The mechanism shall be at least equivalent to the financial mechanisms specified in subsection (a), paragraph (5), subparagraphs (A) through (G) of this section. The Department shall respond in writing within sixty (60) days of receipt and shall evaluate the equivalency of a mechanism principally in terms of:
1. Certainty of the availability of the funds for the required closure activities; and
2. The amount of funds that will be made available.
(2) The owner or operator, or a Conditionally Authorized generator  shall submit to a CUPA or the authorized agency, the proposed mechanism together with a letter requesting that the proposed mechanism be considered acceptable for meeting the requirements of this section. The submission shall include the following information:
(A) Name, address and telephone number of issuing institution; and
(B) Hazardous waste facility identification number, name, address and closure cost estimate for each TTU, FTU facility or a generator who is operating pursuant to Conditional Authorization intended to be covered by the proposed mechanism; and
(C) The amount of funds for closure to be assumed for each TTU, FTU facility or a generator who is operating pursuant to Conditional Authorization intended to be covered by the proposed mechanism; and
(D) The terms of the proposed mechanism (period covered, renewal/extension, cancellation).
(3) The CUPA or the authorized agency, shall respond in writing to the FTU owner or operator, or a generator operating pursuant to a grant of Conditional Authorization of the determination made regarding the acceptability of the proposed mechanism in lieu of the financial mechanisms specified in subsection (a), paragraph (5), subparagraphs (A) through (G) of this section. This written request shall be provided within sixty (60) days.
(4) If a proposed mechanism is found acceptable, the FTU owner or operator, operating pursuant to permit by rule, or a generator operating pursuant to a grant of Conditional Authorization shall submit a fully executed financial assurance document to the CUPA or the authorized agency. The document shall contain original signatures and shall be accompanied by a formal certification of acknowledgment. The TTU owner or operator, shall submit a fully executed financial assurance document to the Department.
(5) If a proposed mechanism is found acceptable, except for the amount of the funds, the TTU owner or operator, FTU owner or operator, or a generator operating pursuant to a grant of Conditional Authorization shall either increase the amount of mechanisms or obtain other financial assurance mechanisms as specified in subsection (a), paragraph (5), subparagraphs (A) through (G) of this section. The amount of the funds available through the combination of mechanisms shall at least equal the current closure cost estimate.
(6) If a proposed mechanism is found acceptable by the CUPA, or the authorized agency, the FTU owner or operator, or a generator operating pursuant to a grant of Conditional Authorization may request permission to fund the financial mechanism over a period not to exceed five (5) years as part of the request for an alternative mechanism described in subsection (c)(1) of this section.
(d) If the closure cost estimate as specified in subsections (a)(1) and (a)(2) of this section is not more than $10,000.00, the TTU owner or operator or FTU owner or operator operating pursuant to permit by rule, or a generator operating pursuant to a grant of Conditional Authorization may comply with this section by submitting a certification signed in accordance with section 66270.11. The FTU owner or operator operating pursuant to permit by rule, or a generator operating pursuant to a grant of Conditional Authorization shall submit the certification to its CUPA or the authorized agency, that the FTU owner or operator operating pursuant to permit by rule, or a generator operating pursuant to a grant of Conditional Authorization has sufficient financial resources to meet the closure cost requirements. Entities authorized to operate as of the effective date of these regulations who meet the conditions of this subdivision shall submit the signed original certification to the pertinent CUPA or the authorized agency, by January 1, 1997. The TTU owner or operator operating pursuant to permit by rule shall submit to the Department certification that the TTU owner or operator has sufficient financial resources to meet the closure cost requirements. The certification for FTU operations which have not yet submitted their initial notifications shall accompany each initial notification required by sections 67450.2(a), 67450.3(a)(1) and 67450.3(a)(2). The certification for FTU operations which have not yet submitted their initial notifications shall accompany each initial notification required by sections 67450.2(b)(3), 67450.3(c)(1) and 67450.3(c)(2). The certification for a Conditionally Authorized generator which has not yet submitted its initial notification shall accompany each initial notification required by Health and Safety Code section 25200.3(e).
(e) Notwithstanding the provisions of Chapter 45, a TTU or a facility operating pursuant to a permit by rule who meets the conditions of this section is not required to obtain financial assurance as specified in subsection (a), paragraph (5), subparagraphs (A) through (G) for the costs of closure of such a treatment unit. A facility who meets the conditions of this section shall maintain a Certification (of Financial Assurance for Permit by Rule and Conditionally Authorized Operations page(s) of the Unified Program Consolidated Form (x/99) with a copy of the original signature of the owner or operator at the facility containing the reason(s) why the owner or operator is eligible for this exemption. The FTU owner or operator who meets the conditions of this section shall submit the signed original Certification of Financial Assurance for Permit by Rule and Conditionally Authorized Operations page(s) of the Unified Program Consolidated Form (x/99) to the CUPA or the authorized agency, by January 1, 1997. If the submittal is independent of PBR notification required by Sections 67450.2(b) or 67450.3(c), then the submittal must include the Business Activities Page, and the Business Owner/Operator pages of the Unified Program Consolidated Form (x/99)). The TTU owner or operator who meets the conditions of this section shall submit the signed original Certification of Financial Assurance for Permit by Rule and Conditionally Authorized Operations (DTSC Form 1232) to the Department by January 1, 1997. The TTU owner or operator or FTU owner or operator operating pursuant to permit by rule shall meet the following condition on or after October 1, 1996, in order to be exempt from financial assurance requirements:
(1) Operated no more than thirty days in any calendar year.
(f)(1) The CUPA or the authorized agency, shall agree to the termination of the closure financial mechanisms as specified in subsection (a), paragraph (5), subparagraph (A) through (G), when:
(A) The FTU owner or operator, or a generator operating pursuant to a grant of Conditional Authorization substitutes alternate financial assurance as specified in this section; or
(B) The CUPA or the authorized agency, releases FTU owner or operator, or a generator operating pursuant to a grant of Conditional Authorization from the requirements in accordance with subsection (g) of this section.
(2) The Department shall agree to the termination of the closure financial mechanisms as specified in subsection (a), paragraph (5), subparagraph (A) through (G) for TTU owners or operators, when:
(A) The TTU owner or operator substitutes alternative financial assurance as specified in this section; or
(B) The Department releases the TTU owner or operator from the requirements in accordance with subsection (g) of this section.
(g) Release of the TTU owner or operator, FTU owner or operator operating pursuant to permit by rule, or a generator operating pursuant to a grant of Conditional Authorization from the requirements of this section:
(1) Within 60 days after receiving certifications from the owner or operator of a FTU operating pursuant to permit by rule, and an independent professional engineer, registered in California, that a final closure has been completed in accordance with the prepared closure plan, the CUPA or the authorized agency, shall notify the owner or operator in writing that he or she is no longer required by this section to maintain financial assurance for final closure of the regulated unit(s) or the facility, unless the CUPA or the authorized agency, has reason to believe that final closure has not been conducted in accordance with the prepared closure plan. The CUPA or the authorized agency shall provide the owner or operator a detailed written statement of any such reason to believe that closure has not been conducted in accordance with the closure plan or any other closure performance standards.
(2) Within 60 days after receiving notification from the generator operating pursuant to a grant of Conditional Authorization that final closure has been completed, the CUPA or the authorized agency, shall notify the generator in writing that he or she is no longer required by this section to maintain financial assurance for final closure of the regulated unit(s) or the facility, unless the CUPA or the authorized agency has reason to believe that final closure has not been conducted in accordance with the proper closure standards. The CUPA or the authorized agency shall provide the generator a detailed written statement of any such reason to believe that closure has not been conducted in accordance with the closure performance standards.
(3) When transfer of ownership or operational control of a facility occurs, and the new owner or operator of a FTU operating pursuant to permit by rule, or a generator operating under a Conditional Authorization, has demonstrated to the satisfaction of the CUPA or the authorized agency, that he or she is complying with the financial requirements of this section, the CUPA or the authorized agency shall notify the previous owner or operator, or a generator in writing that they are no longer required to maintain financial assurance for closure of that particular facility.
(4) Within 60 days after receiving certifications from the owner or operator of a TTU operating pursuant to permit by rule, and an independent professional engineer, registered in California, that a final closure has been completed in accordance with the prepared closure plan, the Department shall notify the owner or operator in writing that he or she is no longer required by this section to maintain financial assurance for final closure of the regulated unit(s). If the Department has reason to believe that final closure has not been conducted in accordance with the prepared closure plan, then prior to releasing the financial assurance mechanism the Department shall provide the owner or operator with a detailed written statement of any such reason to believe that closure has not been conducted in accordance with the closure plan or any other closure performance standards.
(5) When transfer of ownership or operational control of a TTU occurs, and the new owner or operator of TTU operating pursuant to permit by rule has demonstrated to the satisfaction of the Department that he or she is complying with the financial requirements of this section, the Department shall notify the previous owner or operator in writing that it is no longer required to maintain financial assurance for closure of that particular facility.
NOTE

Authority cited: Sections 25150 and 25245, Health and Safety Code. Reference: Sections 25150, 25200.2, 25245 and 25245.4, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former section 67450.4 to section 67450.13 filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
2. Amendment of section heading and section filed 2-13-96 as an emergency; operative 2-13-96 (Register 96, No. 7). A Certificate of Compliance must be  transmitted to OAL by 6-12-96 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section heading and section as they existed prior to emergency amendment filed 2-13-96 by operation of Government Code section 11346.1(f) (Register 96, No. 25).
4. Amendment of section heading and section filed 6-17-96 as an emergency; operative 6-17-96 (Register 96, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-15-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a)(8), new subsection (d) and subsection relettering, and amendment of newly designated subsection (e) filed 8-29-96 as an emergency; operative 8-29-96 (Register 96, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading and section refiled 10-15-96 as an emergency; operative 10-15-96 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-97 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 10-15-96 emergency amendment by operation of Government Code section 11346.1(f) (Register 97, No. 9).
8. Editorial correction of History 6 (Register 97, No. 9).
9. Amendment of section heading and section filed 2-24-97 as an emergency; operative 2-24-97 (Register 97, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-24-97 order, including further amendments, transmitted to OAL 6-24-97 and filed 8-6-97 (Register 97, No. 32).
11. Amendment filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
12. Amendment refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
13. Amendment refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
14. Amendment refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
16. Change without regulatory effect renumbering and relettering subsections (c)(1)(i)-(c)(1)(ii)(B) to subsections (c)(1)(A)-(c)(1)(B)2. filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
17. Change without regulatory effect amending subsections (a) and (a)(5)(A)-(G)) and amending Note filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
§67450.14. Liability Requirements: Coverage for Sudden Accidental Occurrences for Transportable Treatment Units Which Are Permitted by Rule.
Note     •     History

NOTE

Authority cited: Sections 208, 25200.2 and 25425, Health and Safety Code. Reference: Section 25150, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 67450.5 to section 67450.14 filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
2. Change without regulatory effect repealing section, filed 3-15-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 11).
§67450.15. Liability Requirements: Coverage for Sudden Accidental Occurrences for Facilities with Fixed Treatment Units Which Are Permitted by Rule.
Note     •     History

NOTE

Authority cited: Section 25200.2 and 25245, Health and Safety Code. Section 58012, Governor's Reorganizational Plan #1 of 1991.  Reference: Section 25150, Health and Safety Code.
HISTORY

1. New section filed 10-23-91; operative 1-1-92 (Register 92, No. 12).
2. Amendment of subsection (d) filed 6-16-92 as an emergency; operative 6-16-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 10-14-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (d) refiled 10-13-92 as an emergency; operative 10-12-92 (Register 92, No. 42). A Certificate of Compliance must be transmitted to OAL 2-11-93 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (d) filed 2-9-93 as an emergency; operative 2-9-93 (Register 93, No. 7). A Certificate of Compliance must be transmitted to OAL 6-9-93 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection  (d) refiled 6-8-93 as an emergency; operative 6-8-93 (Register 93, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-6-93 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-8-93 order including amendment of subsection (d) and Note transmitted to OAL 10-5-93 and filed 11-18-93 (Register 93, No. 47).
7. Editorial correction of subsection (d) (Register 95, No. 50).
8. Change without regulatory effect repealing section, filed 3-15-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 11).
§67450.16. Liability Requirements: Coverage for Sudden Accidental Occurrences for Temporary Household Hazardous Waste Collection Facilities Which Are Permitted by Rule.
Note     •     History

NOTE

Authority cited: Sections 25150, 25245 and 58012, Health and Safety Code. Reference: Sections 25150, 25200.2 and 25245, Health and Safety Code; and Section 66798.9, Government Code.
HISTORY

1. New section filed 4-12-93; operative 4-12-93 (Register 93, No. 16).
2. Change without regulatory effect repealing section filed 7-14-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 29).
§67450.20. Conditionally Exempt Specified Waste Streams.
Note     •     History

(a) The treatment activities listed in subdivision (b) may occur under a grant of conditional exemption for specified waste streams. The generator conducting such treatment must comply with the requirements of subdivisions (d) through (i) of Health and Safety Code Section 25201.5.
(b) The following treatment activities are authorized for operation under a grant of conditional exemption for specified waste streams:
(1) The treatment of formaldehyde or glutaraldehyde solutions using any technology that is certified as effective for that purpose by the department, pursuant to Health and Safety Code Section 25200.1.5. The treatment must be operated pursuant to all of the conditions imposed on the certification. 
NOTE

Authority cited: Sections 25150, 25159.5, 25200.1.5, 25200.17, 58004 and 58012, Health and Safety Code. Reference: Sections 25201.5 and 25200.1.5, Health and Safety Code.
HISTORY

1. New section filed 7-5-96 as an emergency; operative 7-5-96 (Register 96, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-4-96 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-12-96 as an emergency; operative 11-12-96 (Register 96, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-12-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 3-14-97 as an emergency; operative 3-14-97 (Register 97, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-15-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-14-97 order, including amendment of section and Note, transmitted to OAL 7-2-97 and filed 8-14-97 (Register 97, No. 33).
§67450.25. Requirements Applicable to Permanent Household Hazardous Waste Collection Facilities Deemed to Have a Permit by Rule.
Note     •     History

(a) The operator or contractor who operates a PHHWCF deemed to have a permit by rule pursuant to section 66270.60 shall do all of the following:
(1) Maintain compliance with sections 66262.10 through 66262.57, (except section 66262.41), 66264.175, and 66265.148, except as follows:
(A) the engineering certification required by section 66264.175(c) shall be provided by a manufacturer, an independent professional engineer registered in the State of California or a professional engineer employed by the local government entity and from a different division or agency than the operator.
(2) Maintain compliance with the following regulations in Chapter 15 of this division, including those referring to permit applications:
(A) Article 2 commencing with section 66265.10. General Facility Standards (except sections 66265.12(b), and 66265.13). However, the operator or contractor shall prepare and maintain a written waste analysis plan describing the procedures which the operator or contractor will carry out to characterize unidentified wastes received at the facility. Field analysis methods such as Hazardous Category (HAZCAT) analysis may be used to characterize unidentifiable wastes into Federal Department of Transportation (DOT) hazard classes;
(B) Article 3 commencing with section 66265.30. Preparedness and Prevention;
(C) Article 4 commencing with section 66265.50. Contingency Plan and Emergency Procedures (except section 66265.53(b));
(D) Article 5 commencing with section 66265.70. Manifest System, Recordkeeping and Reporting (except that sections 66265.73(b)(2), 66265.73(b)(6), 66265.73(b)(7), 66265.73(b)(15) and 66265.75 and sections 66265.71, 66265.72, and 66265.76 shall not apply to operators of facilities that do not receive manifested waste);
(E) Article 7 sections 66265.110 through 66265.115. Closure and Post-Closure
(F) Article 9 commencing with section 66265.170. Use and Management of Containers (except that the minimum distance specified in section 66265.176 may, at the discretion of the operator or contractor, be less than 15 meters (50 feet) from the facility's property line if the shorter distance minimizes the possibility of migration of contaminants to any adjacent property should a release occur, meets the Uniform Fire Code or local fire code requirements (whichever are more stringent), and the operator or contractor has written approval from all the appropriate local agencies to use the shorter distance);
(G) Article 10 commencing with section 66265.190. Tank Systems (except that the contingency plan for post-closure required by section 66265.197(c)(2) shall be maintained with the closure plan required by section 66265.112, and the engineering certification required by section 66265.192(g) shall be provided by a manufacturer, an independent professional engineer registered in the State of California or a professional engineer employed by the local government entity and from a different division or agency than the operator).
(3) Prepare and maintain at the facility an operation plan comprising a copy of the notification submitted pursuant to section 66270.60(d)(6)(A), copies of the financial assurance documents required by section 67450.30, a copy of the acknowledgement from CUPA or authorized agency specified in section 66270.60(d)(6)(B), copies of the documents required by subsection (a)(2) of this section, and the items specified in subparagraphs (A) and (B) of this paragraph.
(A) a written plan addressing the procedures to be followed whenever the PHHWCF meets or exceeds its maximum storage capacity, so that the appropriate storage conditions may be maintained. This plan shall be implemented when necessary.
(B) the information required by sections 67450.4(b)(6), (b)(8), (b)(9), (b)(13), (b)(14) if applicable, (b)(16), (b)(17), and (b)(18).
(C) The operator or contractor shall make the operation plan available upon request to any representative of the Department, the U.S. EPA, or a local governmental agency having jurisdiction over the operation of the PHHWCF. A copy of the operation plan shall also be delivered in person or by certified mail with return receipt requested to CUPA or authorized agency when requested by CUPA or authorized agency.
(4) Maintain compliance with sections 67450.4(d), (e), (g), (h)(3), and (i) as those sections apply to THHWCFs, except as modified below:
(A) 67450.4(d)(4). The waste handling and storage areas of the PHHWCF shall have a continuous base that meets the requirements of section 66264.175(b)(1);
(B) 67450.4(d)(9)(E). Does not apply to PHHWCFs.
(C) 67450.4(d)(10)(D). The operator shall assure that persons delivering the waste remain in their vehicles while in the waste acceptance area of the facility and shall assure that no unauthorized persons enter waste handling and storage areas.
(D) 67450.4(e)(2). The operator of a PHHWCF may consolidate the following wastes: water-based paints, oil-based paints, compatible solvents, gasoline, antifreeze, used oil, organic resins including but not limited to roofing tar, caulking and patching compounds, and adhesives, photofinishing finishing solutions and miscellaneous compatible solvent-containing wastes. If solvents, oil-based paints or gasoline are consolidated, the operator shall conduct these operations in an area approved by the local fire department and air quality management district.
(5) Maintain compliance with Health and Safety Code section 25200.14, except as specified below:
(A) Complete and file a Phase I environmental assessment with the Department within one year of commencing operation pursuant to section 66270.60 or by June 6, 1997, whichever date is later. A PHHWCF previously authorized to operate that completed the Phase I environmental assessment required by Health and Safety Code section 25200.14 is not required to complete a new Phase I environmental assessment for the purpose of this subparagraph.
1. The Phase I environmental assessment required by Health and Safety Code section 25200.14 shall be limited to the area defined by the operational boundary of the PHHWCF. The assessment shall be conducted only on the area directly affected by the operations of the PHHWCF. Corrective action, if any, taken pursuant to Health and Safety Code section 25200.14(f), shall be limited to releases from regulated units at the PHHWCF.
2. The certification required by Health and Safety Code section 25200.14(c) may be obtained from the owner, operator, or their designee, a professional engineer registered in the State of California, a registered geologist, or a registered environmental assessor.
3. The Phase I environmental assessment and certification required by this section shall be submitted to the Department at the same address specified in section 66270.60(d)(6)(A). A copy of the Phase I environmental assessment and the certification shall be made part of the operation plan required by subsection (a)(4) of this section.
(6) The operator of a PHHWCF may store wastes at the facility for up to one year from the date of collection.
NOTE

Authority cited: Sections 25150 and 25218.3(d) , Health and Safety Code. Reference: Sections 25150, 25185.6, 25186, 25200, 25200.14, 25202.9 and 25218.3, Health and Safety Code.
HISTORY

1. New section filed 8-30-95 as an emergency; operative 8-30-95 (Register 95, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-28-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-25-96 as an emergency; operative 4-25-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-96 or emergency language will be repealed by operation of law on the following day.
4. New section, including amendment of subsection (a)(5)(A), refiled 8-23-96 as an emergency; operative 8-23-96 (Register 96, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-96 order, including amendment of section, transmitted to OAL 9-27-96 and filed 11-7-96 (Register 96, No. 45).
6. Amendment of subsections (a)(3) and (a)(3)(C) filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (a)(3) and (a)(3)(C) refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (a)(3) and (a)(3)(C) refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsections (a)(3) and (a)(3)(C) refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
11. Change without regulatory effect amending subsection (a)(5)(A) filed 6-7-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 24).
§67450.30. Financial Assurance for Closure for Permanent Household Hazardous Waste Collection Facilities Permitted by Rule.
Note     •     History

(a) This section applies to all PHHWCFs, as defined in section 66260.10, deemed to have a permit pursuant to section 66270.60, subsection (d)(6).
(b) Financial assurance for closure: The operator shall prepare and submit to CUPA or authorized agency a written estimate, in current dollars, of the cost of closing the PHHWCF. The estimate shall be based on the maximum projected closure cost: however, the closure cost estimate may take into account any salvage value that may be realized from the sale of wastes, facility structures or equipment, land, or other facility assets at the time of closure. The closure cost estimate may also take into account reduced costs that may be incurred by employing the operator's own staff and/or equipment for actual closure activities.
(1) The operator shall adjust annually the closure cost estimate for inflation within sixty (60) days prior to the anniversary date of the original establishment of the financial mechanism(s). The adjustment shall be made as specified in sections 67450.13, subsections (a)(2)(A) and (a)(2)(B) using an inflation factor derived from the annual Implicit Price Deflator for Gross National Product as published by the U.S. Department of Commerce in its Survey of Current Business. The inflation factor is obtained by dividing the latest published annual Deflator by the Deflator of the previous year.
(A) The first adjustment is made by multiplying the closure cost estimate by the inflation factor. The result is the adjusted closure cost estimate.
(B) Subsequent adjustments are made by multiplying the latest adjusted closure cost estimate by the latest inflation factor.
(2) The operator shall revise the closure cost estimate no more than thirty (30) days after a change in the closure plan increases the cost of closure. The revised closure cost estimate shall be adjusted for inflation as specified in subsection (b)(1) of this section.
(3) The most current closure plan and the most current closure cost estimate shall be keep on file at the PHHWCF during the operating life of the facility.
(4) The operator shall submit to CUPA or authorized agency, a copy of each revised closure cost estimate prepared pursuant to paragraphs (1) and (2) of this subdivision.
(c) On or before October 1, 1996, financial assurance for closure of a PHHWCF shall be established by one of the following methods and submitted with the certification required in subsection (d) of this section:
(1) a closure trust fund, as specified in section 66265.143, subsection (a);
(2) a surety bond guaranteeing payment into a closure trust fund, as specified in section 66265.143, subsection (b);
(3) a closure letter of credit, as specified in section 66265.143, subsection (c);
(4) closure insurance, as specified in section 66265.143, subsection (d),
(5) a financial test and corporate guarantee for closure, as specified in section 66265.143, subsection (e);
(6) multiple financial mechanisms for closure costs, as specified in section 66265.143, subsection (f), 
(7) an alternate financial mechanism, as specified in section 66265.143, subsection (h); or
(8) self-insurance for public agencies (for public agencies)
(A) A public agency operating a PHHWCF may satisfy the requirements of this section by submitting a certificate of self-insurance to CUPA or authorized agency. The public agency shall submit DTSC Form 1220 (2/96), which may be obtained from CUPA or authorized agency. The certificate of self-insurance shall contain original signatures.
(B) The public agency shall guarantee that funds shall be available to close the facility whenever final closure occurs. The public agency shall also guarantee that once final closure begins, the public agency shall, at the direction of CUPA or authorized agency, provide funding up to an amount equal to the full amount of the most recent closure cost estimate, to a party or parties specified by CUPA or authorized agency.
(d) On or before October 1, 1996, the operator of a PHHWCF in operation prior to October 1, 1996 shall submit a certification to CUPA or authorized agency which documents compliance with the closure cost assurance requirements of subsection (b) of this section. For those PHHWCFs commencing operation after October 1, 1996, the certification shall be submitted with the notification required by section 662670.60(d)(6)(A).
(1) The certification shall contain the following information:
(A) The current closure cost estimate of the PHHWCF as determined in subsection (b) of this section.
(B) The mechanism(s) established to provide the closure cost assurance for the PHHWCF, as described in subsection (b).
(C) The name and location of the financial institution, insurance company, surety company, or other appropriate organization used to establish the closure assurance for the PHHWCF.
(D) The effective date of the closure assurance for the PHHWCF.
(E) The certification shall be signed according to the requirements of section 66270.11 as those requirements apply to permit applications.
(e) On or after October 1, 1996, a PHHWCF operating pursuant to a permit by rule not more than thirty (30) days in any calendar year, or a PHHWCF whose current closure cost estimate, as specified in this section, is less than $10,000.00, is not required to provide financial assurance as specified in section 67450.30 for the cost of closure. A PHHWCF exempt from financial assurance for closure pursuant to this subsection shall maintain at the facility, an amended copy of the certification required by subsection (d) of this section stating the reasons why the PHHWCF is eligible for this exemption. A copy of the amended certification required by this section, signed according to the requirements of section 66270.11 as those requirements apply to permit applications, shall be submitted to CUPA or authorized agency ten (10) days prior to the date upon which the operator operates pursuant to this exemption.
NOTE

Authority cited: Sections 25150, 25218.3(d) and 25245 , Health and Safety Code. Reference: Sections 25150, 25218.3(d) and 25245, Health and Safety Code.
HISTORY

1. New section filed 8-30-95 as an emergency; operative 8-30-95 (Register 95, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-28-95 or emergency language will be repealed by operation of law on the following day.
2. New section, including new forms, refiled 12-26-95 as an emergency; operative 12-26-95 (Register 95, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-24-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-25-96 as an emergency; operative 4-25-96 (Register 96, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-23-96 as an emergency; operative 8-23-96 (Register 96, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-23-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-96 order, including amendment of section, new instructions for completing Form DTSC 1094B, and amendment of Form DTSC 1094B transmitted to OAL 9-27-96 and filed 11-7-96 (Register 96, No. 45).
6. Amendment of subsections (b), (b)(4), (c)(8)(A)-(d) and (e) filed 1-8-99 as an emergency; operative 1-8-99 (Register 99, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-10-99 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (b), (b)(4), (c)(8)(A)-(d) and (e) refiled 5-7-99 as an emergency; operative 5-7-99 (Register 99, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-7-99 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (b), (b)(4), (c)(8)(A)-(d) and (e) refiled 9-3-99 as an emergency; operative 9-3-99 (Register 99, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-3-2000 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsections (b), (b)(4), (c)(8)(A)-(d) and (e) refiled 12-29-99 as an emergency; operative 1-3-2000 (Register 99, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2000 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-29-99 order transmitted to OAL 2-29-2000 and filed 4-11-2000 (Register 2000, No. 15).
11. Change without regulatory effect amending subsections (a), (a)(1) and (c)(1)-(5), and repealing and adding new subsections (c)(6)-(7) filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
12. Change without regulatory effect amending Form DTSC 1094B filed 1-6-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 2).

INSTRUCTIONS FOR COMPLETING PERMANENT HOUSEHOLD HAZARDOUS WASTE COLLECTION FACILITY STANDARDIZED PERMIT NOTIFICATION FOR PROPOSED FACILITIES FORM DTSC 1094B

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PERMIT BY RULE NOTIFICATION FORM

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CERTIFICATE OF SELF-INSURANCE

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Article 2. [Reserved]
Article 3. [Reserved]
Article 4. [Reserved]
Article 5. Requirements Applicable to the Operation of K-12 Schools Hazardous Waste Collection, Consolidation, and Accumulation Facilities (SHWCCAF) Deemed to Have a Permit by Rule
§67450.40. Scope and Purpose.
Note     •     History

(a) Scope. This article applies to: 
(1) Any school district, or other school organization or agency, that operates a K-12 schools hazardous waste collection, consolidation, and accumulation facility (SHWCCAF) deemed to have a permit by rule pursuant to section 66270.60(d)(7); and 
(2) Hazardous waste generated by K-12 schools if the waste will be managed at a SHWCCAF deemed to have a permit by rule. 
(b) Purpose: This article provides for an alternative offsite hazardous waste management regulatory option that: 
(1) Establishes the mechanisms and requirements for offsite collection, consolidation, and accumulation under permit by rule of hazardous wastes generated by the routine operation and maintenance of K-12 schools; 
(2) Establishes the requirements for hazardous wastes generated by K-12 schools that are to be sent to an authorized offsite SHWCCAF operated in accordance with this article; and 
(3) Establishes the requirements for transportation of eligible hazardous wastes generated by K-12 schools to an authorized offsite SHWCCAF operated in accordance with this article.
NOTE

Authority cited: Sections 25150, 25150.6 and 25200, Health and Safety Code. Reference: Sections 25150, 25150.6, 25161 and 25200, Health and Safety Code. 
HISTORY

1. New article 5 (sections 67450.40-67450.50) and section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
§67450.41. Definitions.
Note     •     History

(a) For the purpose of this article, the following definitions apply: 
(1) “Certified Unified Program Agency (CUPA)” means the agency certified pursuant to the requirements of Chapter 6.11 of the Health and Safety Code (commencing with section 25404) and Title 27, CCR, Division 1, Subdivision 4, Chapter 1 (sections 15100 through 15170).
(2) “Consolidation” means the bulking or combining of the same type of waste into a single container. 
(3) “Contributing school” means a K-12 school that sends hazardous wastes generated by the school to a SHWCCAF. 
(4) “Facility” means the area defined by the operational boundary of the SHWCCAF, including all tanks, containers, or other equipment used to manage hazardous waste. 
(5) “K-12 schools” means all public or private schools in which instruction is given through grade 12, or in any one or more of those grades. 
(6) “Lab pack” means small containers of hazardous waste placed in a sorbent-filled outer drum or container in accordance with the requirements of section 66264.316. 
(7) “Offsite” means non-schoolyard property in direct control of the SHWCCAF owner or operator that is not accessible to school students or the general public. 
(8) “Owner or operator” means the school district or other school organization or entity that owns or operates a SHWCCAF deemed to have a permit by rule. 
(9) “School district” means the entity recognized as the governing entity for a public or private elementary or secondary school, or group of public or private elementary or secondary schools. 
NOTE

Authority cited: Section 25150, Health and Safety Code. Reference: Sections 25123.7(b), 25117.1, 25150, 25200 and 25200.10, Health and Safety Code. 
HISTORY

1. New section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
§67450.42. Eligible Wastes and Waste Management Restrictions.
Note     •     History

(a) The following hazardous wastes are eligible for management by SHWCCAFs operating pursuant to section 67450.44: 
(1) Non-RCRA hazardous waste as defined in section 66261.101; and 
(2) RCRA hazardous waste as defined in section 66261.100 if transportation and management of that waste at the SHWCCAF is exempt from, or is not otherwise regulated pursuant to, the federal act. 
(b) Notwithstanding paragraph (a), the following hazardous wastes or management activities are prohibited from authorization under permit by rule pursuant to this article: 
(1) Treatment of hazardous waste at the SHWCCAF; 
(2) Acceptance at the SHWCCAF of hazardous wastes that exhibit the characteristic of reactivity pursuant to section 66261.23 (including, but not limited to, shock-sensitive or explosive chemical wastes). 
(3) Acceptance at the SHWCCAF of hazardous wastes not generated by the routine operation or maintenance of a contributing K-12 school (such as non-routine demolition, construction, or renovation wastes); and 
(4) Uncontained storage, storage in waste piles and surface impoundments, and land disposal of hazardous waste at the SHWCCAF. 
(c) Except as provided in subsection (d), hazardous wastes generated from school science laboratories, including chemistry, physics, and biology classes, may be managed at a SHWCCAF only if all of the following conditions are met: 
(1) At contributing schools:
(A) Science laboratory hazardous wastes, except laboratory specimens preserved in formalin and formaldehyde solutions, are lab packed in accordance with the requirements of section 66264.316 prior to transport to prevent reactions with the contained waste and ensure that incompatible wastes are not placed within the same outer container.
(B) Lab packs containing science laboratory hazardous wastes are marked with the types and volumes of wastes contained in the lab pack and the lab packs are not reopened during transportation to the SHWCCAF.
(2) At the SHWCCAF:
(A) Reopened lab packs containing science laboratory hazardous wastes are repackaged in accordance with the requirements of section 66264.316 to prevent reactions with the contained waste and ensure that incompatible wastes are not placed within the same outer container.
(B) Repackaged lab packs containing science laboratory hazardous wastes are marked with the types and volumes of wastes contained in the lab pack and the lab packs are not reopened during transportation to authorized recycling or disposal facilities.
(C) All lab pack reopening/repackaging shall be conducted within an appropriate spill containment system.
(D) Only the outer lab pack may be reopened/repackaged. Reopening or repackaging of the sealed primary container in which the waste was received is prohibited, unless a waste is eligible for consolidation according to subsection (d), or the primary container is damaged or leaking.
(E) Leaking or damaged lab packs and primary waste containers shall be immediately managed in accordance with the contingency plan and spill response and cleanup procedures required by section 67450.44.
(F) Personnel reopening or repackaging lab packs at the SHWCCAF are trained and work practices are managed in accordance with applicable requirements of the Occupational Safety and Health Administration, California Code of Regulations, title 8, sections 3380 and 5192.
(3) Personnel handling the laboratory hazardous wastes at the contributing school, in transit to the SHWCCAF, or at the SHWCCAF are trained in hazardous waste management and transport in accordance with sections 66265.16 and 67450.47. 
(d) Only the following hazardous wastes may be consolidated with wastes of the same type into a single container at a SHWCCAF. Consolidation of these wastes shall be conducted only at the SHWCCAF and not during transport to the SHWCCAF. Each waste or wastestream listed shall be consolidated only with wastes or wastestreams of the same type. 
(1) Duplicating fluid; 
(2) Compatible formalin or formaldehyde solutions (that meet the conditions of subsection (c) above if generated in association with a school science laboratory); 
(3) Compatible laboratory specimens (that meet the conditions of subsection (c) above if generated in association with a school science laboratory); 
(4) Compatible solvents; 
(5) Water-based or latex paints; 
(6) Oil-based paints; 
(7) Antifreeze; 
(8) Gasoline; 
(9) Used oil; 
(10) Compatible organic resins, including, but not limited to, roofing tar, caulking and patching compounds, and adhesives; and 
(11) Photoimaging solutions that are hazardous wastes solely due to the presence of silver. 
(e) A SHWCCAF shall be established only at an offsite, non-schoolyard location where operation of the SHWCCAF is consistent with local land use zoning or land use patterns (e.g., a school district corporation yard). 
(f) Wastes shall be accepted at the SHWCCAF only when personnel designated by the SHWCCAF owner or operator are present to accept and sign for the waste. 
NOTE

Authority cited: Sections 25150 and 25200, Health and Safety Code. Reference: Sections 25150 and 25200, Health and Safety Code. 
HISTORY

1. New section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
2. Amendment of subsections (c)(1)-(3) and amendment of Note filed 9-23-2003; operative 9-23-2003 pursuant to Government Codes section 11343.4 (Register 2003, No. 39).
§67450.43. Notification Requirements.
Note     •     History

(a) The owner or operator of a SHWCCAF shall be deemed to have a permit by rule when the owner or operator complies with subsections (b), (c), (d), (f) and (h) of this section, as applicable, and receives an acknowledgment from the CUPA or authorized agency authorizing operation of the SHWCCAF as required by subsection (e) or (g). 
(b) The owner or operator of a SHWCCAF shall submit to the CUPA or authorized agency, in person or by certified mail with return receipt requested, a notification of intent to operate a SHWCCAF. The notification shall consist of the Business Activities page and the Business Owner/Operator Page of the Unified Program Consolidated Form (UPCF)(1/99 revised) found in Title 27, CCR, Division 1, Subdivision 4, Chapter 1, Appendix E (after section 15620), and all of the facility information listed below. 
(1) The name, mailing address and telephone number of the SHWCCAF owner or operator; 
(2) The facility name, address, legal description of the facility location, and identification number issued by the Department; 
(3) The name, title, address, telephone number, facsimile number, and pager number, if applicable, of the facility contact person; 
(4) The name, address, and telephone number of the legal owner of the property where the SHWCCAF is located, and a copy of a signed agreement by the property owner acknowledging and allowing operation of the SHWCCAF, if the property owner is different from the SHWCCAF owner or operator, 
(5) A listing of all schools that will contribute hazardous waste to the SHWCCAF. 
(6) An estimate of the total volume (in gallons or pounds) of hazardous wastes to be received at the SHWCCAF in an average month. 
(7) A description of how waste is to be managed at the SHWCCAF, including the number of waste storage containers, volumes of each container, and total waste storage capacity of the SHWCCAF. 
(8) A description of the operational hours and safety precautions to be taken at the SHWCCAF. 
(9) A detailed description of the SHWCCAF. The description shall include, but not be limited to, fencing, gates, traffic flow, waste transfer areas, waste sorting areas, waste storage areas, containment features, and uses of the property surrounding the SHWCCAF and the SHWCCAF site property. 
(10) Certification of financial responsibility for closure as required by section 67450.49(d). 
(11) A facility plot map showing the general layout of the SHWCCAF. The drawing shall fit on an 8 1/2” by 11” sheet of paper, and include the following: 
(A) Map scale, north arrow, and date; 
(B) The boundaries of the SHWCCAF; 
(C) The name and location of each operation area and waste management unit (Example: consolidation area, storage area, used oil tank, etc.); 
(D) The approximate location of the SHWCCAF site property boundaries with respect to the SHWCCAF; 
(E) Security provisions (fencing, gates, etc.); and 
(F) Internal roads, and onsite and offsite traffic flow. 
(c) The notification shall be submitted a minimum of 45 days in advance of the planned commencement of operation of the SHWCCAF, and every five (5) years thereafter, or every five (5) years from the notification revision submitted pursuant to subsection (f). Each notification required by this subsection shall be completed, dated, and signed according to the requirements of section 66270.11 as those requirements apply to permit applications. 
(d) The owner or operator of a SHWCCAF accepting waste from schools located within different CUPA or authorized agency jurisdictions shall submit copies of the notification, with a brief explanation indicating the copies are for information only, to each CUPA within whose jurisdiction a contributing school is located. The CUPA or authorized agency in whose jurisdiction the SHWCCAF is located shall coordinate with any other CUPAs or authorized agencies having jurisdiction over contributing schools on issues affecting those contributing schools. 
(e) Within thirty (30) calendar days of receipt of a notification submitted pursuant to subsections (b) or (c) of this section, the CUPA or authorized agency shall acknowledge in writing receipt of the notification. The CUPA or authorized agency shall, in conjunction with the acknowledgment, authorize operation of the SHWCCAF subject to the requirements and conditions of this article; revoke, suspend, or deny authorization or reauthorization to operate under a permit by rule pursuant to section 67450.50; or notify the owner or operator that the notification is incomplete or inaccurate and inform the operator that additional information or correction(s) is needed. The CUPA or authorized agency shall deny the notification of any owner or operator who fails to provide the information or correction(s) requested within ten (10) calendar days of receipt of the acknowledgment. Upon good cause shown by the owner or operator, the CUPA or authorized agency shall grant the owner or operator additional time to provide the information or correction(s) requested. An owner or operator whose notification is rejected may submit a new or revised notification. The CUPA or authorized agency shall submit copies of any letter modifying or revoking authorization of the SHWCCAF to all CUPAs or authorized agencies in whose jurisdiction contributing schools are located. 
(f) Forty-five (45) calendar days prior to implementing any change in the operation of the SHWCCAF as described in the notification required by subsections (b) or (c) of this section, the owner or operator shall send a revised notification to the CUPA or authorized agency. The CUPA or authorized agency shall notify the operator if the information is incomplete or inaccurate within thirty (30) calendar days of receipt of the revised notification. Upon good cause shown by the owner or operator, the CUPA or authorized agency shall allow the owner or operator to submit the revised notification within a shorter period of time prior to implementing the change. 
(g) Within thirty (30) calendar days of receipt of a revised notification submitted pursuant to paragraph (f) of this section, the CUPA or authorized agency shall acknowledge in writing receipt of the revised notification. The CUPA or authorized agency shall, in conjunction with the acknowledgment, authorize continued operation of the SHWCCAF subject to the requirements and conditions of this article; deny authorization to operate under the revised notification specifications pursuant to section 67450.50; or notify the operator that the revised notification is incomplete or inaccurate and inform the owner or operator of the additional information or correction(s) needed. The CUPA or authorized agency shall deny the revised notification of any operator who fails to provide the information or correction(s) requested within ten (10) calendar days of receipt of the acknowledgment. Upon good cause shown by the owner or operator, the CUPA or authorized agency shall grant the operator additional time to provide the information or correction(s) requested. An owner or operator whose revised notification is rejected may submit a new revised notification. The owner or operator whose revised notification is rejected may continue to operate the SHWCCAF under the conditions of the previous authorization until authorization is received to operate under a revised notification, unless the previous authorization is revoked, suspended, denied, or voided pursuant to section 67450.50. The CUPA or authorized agency shall submit copies of any letter accepting or rejecting the revised notification to all CUPAs or authorized agencies in whose jurisdiction contributing schools are located. 
(h) The owner or operator of a SHWCCAF shall remain in compliance with the requirements specified in this article between the time the SHWCCAF commences operation and the time the applicable facility closure performance standard requirements of section 67450.48 are met. 
NOTE

Authority cited: Section 25150, Health and Safety Code. Reference: Sections 25150, 25158, 25185.6, 25186, 25200, 25245.4 and 25404.1, Health and Safety Code.
HISTORY

1. New section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
§67450.44. Requirements Applicable to K-12 Schools Hazardous Waste Collection, Consolidation, and Accumulation Facilities Deemed to Have a Permit by Rule.
Note     •     History

(a) The owner or operator who operates a SHWCCAF deemed to have a permit by rule shall do all of the following: 
(1) Maintain compliance with sections 66262.10 through 66262.57 (Generator Standards) for any hazardous wastes generated at the SHWCCAF, except section 66262.41. 
(2) Maintain compliance with sections 66264.175 (Containment) and 66265.148 (Incapacity of Owners or Operators, Guarantors, or Financial Institutions) except as follows: 
(A) The engineering certification required by section 66264.175(c) shall be provided by the manufacturer of the containment system, an independent professional engineer registered in the State of California, or a registered professional engineer employed by a local government entity associated with the owner or operator of the SHWCCAF but not reporting to the SHWCCAF owner or operator. 
(3) Maintain compliance with the following regulations in chapter 15 of this division: 
(A) Article 2, General Facility Standards, commencing with section 66265.10 (except sections 66265.12(b), 66265.13, and 66265.19). 
(B) Article 3, Preparedness and Prevention, commencing with section 66265.30. 
(C) Article 4, Contingency Plan and Emergency Procedures, commencing with section 66265.50 (except section 66265.53(b)); 
(D) Section 66265.71(c) of Article 5, Manifest System, except as specified in section 66262.20(a)(1). 
(E) Article 9, Use and Management of Containers, commencing with section 66265.170. Except that the minimum distance specified in section 66265.176 may, at the discretion of the owner or operator, be less than 15 meters (50 feet) from the facility's property line if the shorter distance minimizes the possibility of migration of contaminants to any adjacent property should a release occur, meets the Uniform Fire Code or local fire code requirements (whichever is more stringent), and the owner or operator has written approval from all the appropriate local agencies to use the shorter distance. 
(F) Article 10, Tank Systems, commencing with section 66265.190 (except section 66265.197(c)(2)). 
(4) Prepare, maintain at the facility, and operate in compliance with an operating record comprised of the items specified in sections 67450.44(a)(6)(A)3 and 67450.45(a) of this article, and the items specified below in subsections (A), (B), (C), and (D) as follows: 
(A) Procedures to be followed to ensure that the SHWCCAF does not exceed the maximum hazardous waste volumes and accumulation time limits established in subsections (a)(8) and (a)(9) of this section. At a minimum, the plan shall include procedures to address the following: 
1. A system for identifying and marking wastes with the waste volume and date received at the SHWCCAF. The system shall address tracking the location of wastes according to the waste volume and date received at the SHWCCAF and establishment of procedures for removal of the oldest wastes as necessary to maintain compliance with both the maximum waste volume provisions of subsection (a)(8) and waste accumulation time limit provisions of subsection (a)(9). 
2. Assessment of whether and when the volume of wastes being brought to the SHWCCAF may cause the SHWCCAF to approach or exceed the established facility maximum waste volumes; 
3. Arrangements for immediate transportation of wastes by a registered hazardous waste transporter to an authorized treatment, storage or disposal facility, such that the established maximum facility waste volumes and accumulation time limits shall not be exceeded. 
(B) Procedures to be followed to ensure that the facility will be managed in an environmentally safe manner in the event of inclement weather. 
(C) A copy of the written protocol when required by section 67450.44(a)(7)(B)3 for consolidation at the SHWCCAF of solvents, oil-based paints, or gasoline. 
(D) Procedures for segregating and immediately removing from the SHWCCAF wastes prohibited from management at the SHWCCAF. The owner or operator of the SHWCCAF shall remove prohibited wastes from the SHWCCAF and transport them to an authorized treatment, storage or disposal facility, in accordance with all applicable regulations, within ten (10) days of receipt of the wastes at the SHWCCAF. The owner or operator shall document these actions in the facility operating log required by section 67450.45(a)(1). 
(5) Maintain compliance with the transportation requirements established in section 67450.46 of this article. 
(6) Maintain compliance with Health and Safety Code section 25200.14, except as specified below: 
(A) Complete and file a Phase I environmental assessment with the Department, or with a CUPA authorized to implement Health and Safety Code section 25200.14 pursuant to Health and Safety Code section 25404.1, within one year of commencing operation pursuant to section 66270.60 and article 5 of chapter 45. 
1. The Phase I environmental assessment required by Health and Safety Code section 25200.14 shall be limited to the area defined by the operational boundary of the SHWCCAF. The assessment shall be conducted only on the area directly affected by the operations of the SHWCCAF. 
2. The certification required by Health and Safety Code section 25200.14(d) may be obtained from the owner, operator, or his or her designee, a professional engineer registered in the State of California, a registered geologist, or a registered environmental assessor. 
3. The Phase I environmental assessment and certification required by this section shall be submitted to the Department, or CUPA authorized to implement Health and Safety Code section 25200.14 pursuant to Health and Safety Code section 25404.1. A copy of the Phase I environmental assessment and the certification shall be made part of the operating record required by subsection (a)(4) of this section. 
(7) Consolidation of hazardous wastes at the SHWCCAF shall be conducted in compliance with section 67450.42(d) of this article, and as specified below: 
(A) Consolidation shall be conducted in a manner that prevents mixing of incompatible wastes. 
(B) Consolidation shall be conducted in compliance with any applicable air quality management district or air pollution control district requirements and any applicable local fire agency requirements. In addition, consolidation shall be conducted to include the following: 
1. Every reasonable effort shall be made to minimize the loss of volatile organic compounds during any consolidation activities. 
2. Emission of nuisance odors shall be prevented during any consolidation activities. 
3. If solvents, oil-based paints, or gasoline are to be consolidated at the SHWCCAF and local air district or fire agency requirements specific to that activity apply, the owner or operator of the SHWCCAF shall develop, and operate in compliance with, written consolidation procedures approved by the local fire and air quality management district or air pollution control district having jurisdiction over the SHWCCAF. 
(C) All consolidation shall be conducted within an area with secondary containment in accordance with section 66264.175 if containers are used for consolidation of the wastes, and section 66265.193 if tank systems are used for the consolidation of wastes. 
(8) The maximum quantity of hazardous wastes accumulated at the SHWCCAF at any one time, including hazardous waste generated by the SHWCCAF, shall not exceed 1,080 gallons or 8,800 pounds, whichever is greater. If the volume of hazardous wastes being transported to the SHWCCAF is such that the quantity limit will be exceeded, the owner or operator shall immediately make arrangements for a registered hazardous waste transporter to pick up wastes from the facility, such that the maximum quantity of hazardous waste allowed at the SHWCCAF shall not be exceeded. 
(9) Notwithstanding section 66262.34, the owner or operator of a SHWCCAF may accumulate and store non-RCRA or RCRA hazardous waste, if management of that waste at the SHWCCAF is exempt from or is not otherwise regulated pursuant to the federal act, at the facility for up to one year from the date of collection from contributing schools or the date of generation at the SHWCCAF, as long as the maximum quantity of hazardous waste allowed at the SHWCCAF is not exceeded. 
NOTE

Authority cited: Sections 25150 and 25150.6, Health and Safety Code. Reference: Sections 25150, 25185.6, 25200, 25200.14 and 25404.1, Health and Safety Code. 
HISTORY

1. New section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
§67450.45. Recordkeeping Requirements.
Note     •     History

(a) The owner or operator of a SHWCCAF deemed to have a permit by rule shall maintain at the facility an operating record consisting of the following documents and the items specified in section 67450.44(a)(4). 
(1) A continuous hazardous waste inventory and facility operating log of the hazardous wastes accepted, generated, stored, or consolidated at the facility, along with hazardous wastes transported from the facility. 
(2) A list of the specific personnel designated by the SHWCCAF owner or operator to operate the SHWCCAF, transport contributing school wastes to the SHWCCAF, or accept waste at the SHWCCAF. 
(3) A written inspection schedule, in accordance with section 66265.15(b). 
(4) Personnel training documents, in accordance with section 66265.16(d). 
(5) A contingency plan, in accordance with section 66265.53(a). 
(6) A copy of the most recent notification submitted as required by sections 67450.43(b), (c) and (f) and a copy of the most recent acknowledgment received from the Department, CUPA or authorized agency pursuant to sections 67450.43(e) and (g). 
(7) Copies of any local land use permits or other permits that may be necessary for the operation of the facility, and documentation that the operation of the SHWCCAF is consistent with local land use zoning or land use patterns. 
(8) A copy of the closure plan required by section 67450.48(c). 
(9) A copy of documents related to the environmental investigation and any cleanup, abatement or other necessary remedial action taken in response to a release of hazardous waste at the SHWCCAF. 
(10) Documentation of any convictions, judgments, settlements, or orders resulting from any action by any local, State, or federal environmental or public health enforcement agency concerning the operation of the facility within the last three years, as the documents would be available under the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Part 1 of Division 7 of Title 1 of the Government Code) and the Information Practices Act of 1977 (Chapter 1 (commencing with Section 1798) of Title 1.8 of Part 4 of the Civil Code). 
(b) The owner or operator shall make the documents specified in subsection (a) available upon demand at the facility to any representative of the Department, the CUPA or authorized agency. A copy of these documents shall also be delivered in person or by certified mail with return receipt requested to the Department, CUPA or authorized agency when requested in writing by the Department, CUPA or authorized agency. The request from the Department, CUPA or authorized agency shall specify the documents which are required, where and how to submit the required documents, and the date by which the documents shall be submitted. 
(c) The owner or operator of a SHWCCAF shall keep all records required by this section for a minimum period of three years. The record retention period is automatically extended during the course of any unresolved enforcement action regarding the regulated activity or as requested by the Department, CUPA, or authorized agency. 
NOTE

Authority cited: Section 25150, Health and Safety Code. Reference: Sections 25150, 25185.6, 25200 and 25404.1, Health and Safety Code. 
HISTORY

1. New section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
§67450.46. Transportation Requirements.
Note     •     History

(a) Wastes may be transported to the SHWCCAF from contributing schools without use of a hazardous waste manifest or registered hazardous waste transporter only as provided in subsections (a)(1) or (a)(2). Transportation of hazardous waste from contributing schools to the SHWCCAF not done in accordance with subsections (a)(1) or (a)(2) is subject to all applicable hazardous waste transportation requirements. 
(1) Wastes are transported in accordance with Health and Safety Code section 25163(c) and all of the following conditions are met: 
(A) The contributing school is the waste generator and generates not more than 100 kilograms of hazardous waste in any month; 
(B) The contributing school transporting the waste does not accumulate more than a total of 1,000 kilograms of hazardous waste onsite at any one time; 
(C) The total volume of hazardous waste transported does not exceed five gallons or the total weight does not exceed 50 pounds; 
(D) The hazardous wastes are transported in closed containers and packed in a manner that prevents the containers from tipping, spilling, or breaking during the transporting; 
(E) Different hazardous waste materials are not mixed within a container during the transporting (except wastes lab packed prior to transport in accordance with the requirements of section 66264.316 and the physical properties of the wastes); 
(F) If the hazardous waste is extremely hazardous waste or acutely hazardous waste, the extremely hazardous waste or acutely hazardous waste was not generated in the course of any business, and is not more than 2.2 pounds. 
(2) Wastes are transported in a manner that all of the following conditions are met: 
(A) The hazardous waste is a non-RCRA hazardous waste, or the hazardous waste or its transportation is otherwise exempt from, or is not otherwise regulated pursuant to the federal act. 
(B) The hazardous waste is transported by trained employees of the contributing school generating the waste, by trained contractors under the control of the contributing school, or by trained employees of the owner or operator of the SHWCCAF, in vehicles which are owned or operated by the contributing school or the owner or operator of the SHWCCAF, or by registered hazardous waste transporters. The contributing school shall assume liability for a spill of hazardous waste being transported under this subsection by the contributing school, or a contractor of the contributing school in a vehicle owned or operated by the contributing school. The owner or operator of the SHWCCAF shall assume liability for a spill of hazardous waste being transported under this subsection by an employee or contractor of the SHWCCAF owner or operator in a vehicle owned or operated by the SHWCCAF owner or operator. Nothing in this subsection bars any agreement to insure, hold harmless, or indemnify a party to the agreement for any liability under this section or otherwise bars any cause of action a generator would otherwise have against any other party. 
(C) The hazardous waste is not held at any interim location, other than the SHWCCAF, for more than eight hours, unless that holding is required by other provisions of law. 
(D) Not more than 135 gallons or 1,100 pounds, whichever is greater, of hazardous waste is transported in any shipment. 
(E) A shipping paper containing all of the following information accompanies the hazardous waste while in transport. 
1. A list of the hazardous waste being transported. 
2. The type and number of containers being used to transport each type of hazardous waste. 
3. The quantity, by weight or volume, of each type of hazardous waste being transported. 
4. The physical state, such as solid, powder, liquid, semi-solid, or gas, of each type of hazardous waste being transported. 
5. The name, location, and EPA Identification Number, if applicable, of the contributing school where the hazardous waste was generated. 
6. The name and signature of the contributing school representative offering the waste for transport to the SHWCCAF. 
7. The name and signature of the individual(s) who transport the hazardous waste from the contributing school to the SHWCCAF. 
8. The date that the hazardous waste leaves the contributing schools and the date that the hazardous waste arrives at the SHWCCAF. 
9. The name, address, telephone number, and EPA Identification Number of the SHWCCAF to which the hazardous waste is being transported. 
10. The name, telephone number, and pager number if available, of an emergency response contact, for use in the event of a spill or other release. 
11. The name and signature of the personnel designated by the SHWCCAF owner or operator who accepts the waste at the SHWCCAF. 
(F) All shipments of hazardous waste conform with all applicable requirements of the United States Department of Transportation for hazardous materials shipments. 
(b) The owner or operator of the SHWCCAF shall keep records in accordance with section 67450.45, including the shipping papers required pursuant to subsection (a)(2)(E) of this section, of all wastes transported to the SHWCCAF from contributing schools and all wastes transported from the SHWCCAF. The records for wastes transported to and from the SHWCCAF for the last three years shall be kept onsite at the SHWCCAF and be available for immediate inspection by the Department, the CUPA or authorized agency, or other federal or local agency with jurisdiction over the transport of hazardous wastes. The records retention period is automatically extended during the course of any pending enforcement action regarding the regulated activity or as requested by the Department, CUPA, or authorized agency. 
(c) All hazardous wastes transported from the SHWCCAF shall be managed and transported as follows: 
(1) Managed in accordance with the pre-transport requirements established in sections 66262.30 (Packaging), 66262.31 (Labeling), 66262.32 (Marking), and 66262.33 (Placarding); and 
(2) Transported in accordance with sections 66262.20 through 66262.23 (Manifest), using a hazardous waste manifest and registered hazardous waste transporter, as applicable, only to an authorized treatment, storage, or disposal facility. 
NOTE

Authority cited: Sections 25150, 25150.6 and 25161 Health and Safety Code. Reference: Sections 25150, 25150.6, 25160 and 25163, Health and Safety Code. 
HISTORY

1. New section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
§67450.47. Training Requirements.
Note     •     History

(a) Hazardous waste transported to the SHWCCAF from contributing schools and hazardous waste managed at the SHWCCAF shall be handled only by personnel trained in hazardous waste management procedures in accordance with section 66265.16 and authorized by the contributing school or SHWCCAF owner or operator to handle the waste. The required personnel training shall be in an amount and frequency sufficient to ensure protection of human health, safety, and the environment, and shall address, in addition to the emergency response training requirements of section 66265.16(a)(3), the following areas as they relate to K-12 school waste and the positions held by personnel: 
(1) Hazardous waste identification; 
(2) Hazardous waste management, including waste storage and consolidation considerations (especially with respect to chemical compatibility, reactivity, and temperature sensitivity); 
(3) Non-emergency hazardous waste spill or release response procedures; and 
(4) Hazardous waste regulatory requirements applicable to the transportation and management of hazardous wastes pursuant to this article. 
(b) Pre-transport packaging (including lab packing of eligible science laboratory hazardous wastes), labeling, marking, or other transportation related management of contributing school hazardous waste shall be performed only by contributing school or SHWCCAF personnel trained in hazardous waste transportation and management procedures pursuant to subsection (a) of this section. 
(c) Personnel training documents shall be maintained at each contributing school in accordance with section 66265.16(d) and at each SHWCCAF in accordance with the SHWCCAF recordkeeping and reporting requirements established in section 67450.45 of this article. 
NOTE

Authority cited: Section 25150, Health and Safety Code. Reference: Sections 25150 and 25185.6, Health and Safety Code. 
HISTORY

1. New section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
§67450.48. SHWCCAF Closure.
Note     •     History

(a) The owner or operator of a SHWCCAF deemed to have a permit by rule shall close the SHWCCAF in a manner that: 
(1) Removes all hazardous wastes accumulated and stored at the SHWCCAF; 
(2) Minimizes the need for further maintenance; and 
(3) Controls, minimizes, or eliminates, to the extent necessary to protect human health and the environment, potential or actual escape of hazardous waste, hazardous constituents, leachate, contaminated rainfall or runoff, or waste decomposition products to the ground or surface waters or to the atmosphere from wastes managed at the SHWCCAF in accordance with this article. 
(b) During closure periods, all contaminated equipment, structures, and soil shall be properly disposed of, or decontaminated by removing all hazardous waste and residues, unless specified otherwise in section 66265.197. All hazardous waste generated as a function of disposal or decontamination shall be handled in accordance with the requirements of section 67450.44(a)(1) for hazardous wastes generated at the SHWCCAF. 
(c) The SHWCCAF owner or operator shall, within 6 months after authorization under PBR, prepare a written closure plan that identifies the steps necessary to perform partial or final closure at any point during the active life of the SHWCCAF and to perform final closure at the end of the active life of the SHWCCAF. The SHWCCAF owner or operator shall amend the closure plan whenever changes in the SHWCCAF operating record or facility design or operation affect the closure plan. The SHWCCAF closure plan shall: 
(1) Describe how and when the SHWCCAF will be closed. At a minimum, the description shall identify how the owner or operator will: 
(A) Remove all hazardous waste from the site; 
(B) Classify and properly manage contaminated container systems, tank systems, soils, structures, and equipment; and 
(C) Determine when the site meets the closure criteria specified in subsection (a) above. 
(2) Be maintained in accordance with the SHWCCAF recordkeeping requirements established in section 67450.45 of this article. 
(d) Within ninety (90) days after receipt of the final load of hazardous waste, the SHWCCAF owner or operator shall remove from the facility all hazardous waste in accordance with the closure plan and the applicable requirements of this chapter unless the owner or operator demonstrates to the CUPA or authorized agency that the activities required to remove the hazardous wastes will require longer than ninety (90) days, or there is a reasonable likelihood that the facility will accept additional wastes, and the owner or operator has taken and will continue to take all steps necessary to prevent threats or harm to human health and the environment. 
(e) The SHWCCAF owner or operator shall complete closure activities in accordance with the closure plan within 180 days after removal of the final volume of hazardous waste from the facility unless the owner or operator demonstrates to the CUPA or authorized agency that the activities required to complete will require longer than 180 days to complete, or there is a reasonable likelihood that the owner or operator will recommence operation of the facility, and the owner or operator has taken and will continue to take all steps necessary to prevent threats or harm to human health and the environment. 
(f) The SHWCCAF owner or operator shall notify the CUPA or authorized agency, and any other agencies having jurisdiction over the closure of the facility, at least fifteen (15) days prior to completion of closure. 
(g) The SHWCCAF owner or operator shall remain in compliance with all applicable requirements of this article until the owner or operator submits to the CUPA or authorized agency a certification signed by the owner or operator and by a professional engineer registered in California, that closure has been completed in accordance with the closure plan and that the closure plan meets or exceeds the applicable requirements of this article. The certification shall be submitted to the CUPA or authorized agency within 60 days of final closure of the SHWCCAF. The required professional engineer certification shall be provided by an independent, registered professional engineer, or a registered professional engineer employed by a local government entity associated with the owner or operator of the SHWCCAF but not reporting to the SHWCCAF owner or operator. 
NOTE

Authority cited: Section 25150, Health and Safety Code. Reference: Sections 25150, 25185.6, 25200 and 25404.1, Health and Safety Code. 
HISTORY

1. New section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
§67450.49. Financial Assurance for SHWCCAF Closure.
Note     •     History

(a) This section applies to all SHWCCAFs deemed to have a permit by rule pursuant to section 66270.60, subsection (d)(7). 
(b) The owner or operator of a SHWCCAF shall prepare and submit to the CUPA or authorized agency a written estimate, in current dollars, of the cost of closing the SHWCCAF. The estimate shall be based on the maximum projected closure cost. However, the closure cost estimate may take into account any salvage value that may be realized from the sale of wastes, facility structures or equipment, land, or other facility assets at the time of closure. The closure cost estimate may also take into account reduced costs that may be incurred by employing the operator's own personnel and/or equipment for actual closure activities. 
(1) The owner or operator of a SHWCCAF shall adjust annually the closure cost estimate for inflation within sixty (60) days prior to the anniversary date of the original establishment of the financial mechanism(s). The adjustment shall be made as specified below using an inflation factor derived from the annual Implicit Price Deflator for Gross National Product as published by the U.S. Department of Commerce in its Survey of Current Business. The inflation factor is obtained by dividing the latest published annual Deflator by the Deflator for the previous year. 
(A) The first adjustment is made by multiplying the closure cost estimate by the inflation factor developed as specified in subsection (b)(1) of this section. The result is the adjusted closure cost estimate. 
(B) Subsequent adjustments are made by multiplying the latest adjusted closure cost estimate by the latest inflation factor developed as specified in subsection (b)(1) of this section. 
(2) The owner or operator of a SHWCCAF shall revise the closure cost estimate no more that thirty (30) days after a change in the closure plan increases the cost of closure. The revised closure cost estimate shall be adjusted for inflation as specified in subsection (b)(1) of this section. 
(3) The most current closure plan and the most current closure cost estimate shall be kept on file at the SHWCCAF during the operating life of the facility. 
(c) Financial assurance for closure of a SHWCCAF shall be established by one of the following methods and submitted with the certification required in subsection (d) of this section: 
(1) a closure trust fund, as specified in section 66265.143, subsection (a); 
(2) a surety bond guaranteeing payment into a closure trust fund, as specified in section 66265.143, subsection (b); 
(3) a closure letter of credit, as specified in section 66265.143, subsection (c); 
(4) closure insurance, as specified in section 66265.143, subsection (d); 
(5) a financial test and corporate guarantee for closure, as specified in section 66265.143, subsection (e); 
(6) multiple financial mechanisms for closure costs, as specified in section 66265.143, subsection (f), 
(7) an alternate financial mechanism, as specified in section 66265.143, subsection (h); or 
(8) self-insurance (for public agencies). 
(A) A public agency operating a SHWCCAF may satisfy the requirements of this section by submitting a certificate of self-insurance to the CUPA or authorized agency. The public agency shall submit DTSC Form 1220 (2/96) that may be obtained from the CUPA or authorized agency. The certificate of self-insurance shall contain original signatures. 
(B) The public agency shall guarantee that funds shall be available to close the facility whenever final closure occurs. The public agency shall also guarantee that once final closure begins, the public agency shall, at the direction of the CUPA or authorized agency, provide funding up to an amount equal to the full amount of the most recent closure cost estimate, to a party or parties specified by the CUPA or authorized agency. 
(d) The owner or operator of a SHWCCAF shall submit a financial assurance certification to the CUPA or authorized agency that documents compliance with the closure cost estimate and financial assurance requirements of subsections (b), (c), and (d) of this section, as necessary. The certification shall be submitted with the notification required by sections 67450.43(b), (c), or (f), as appropriate, or annually in years where notification is not required. 
(1) The certification shall contain the following information: 
(A) The current closure cost estimate of the SHWCCAF as determined in subsection (b) of this section. 
(B) The mechanism(s) established to provide the closure cost assurance for the SHWCCAF, as described in subsection (d), including: 
1. The name and location of the financial institution, insurance company, surety company, or other appropriate organization used to establish the closure assurance for the SHWCCAF. 
2. The effective date of the closure assurance for the SHWCCAF. 
(C) The certification shall be signed according to the requirements of section 66270.11 as those requirements apply to permit applications. 
(2) The CUPA or authorized agency may require the owner or operator of a SHWCCAF to submit the Certification of Financial Assurance Page of the Unified Program Consolidated Form (UPCF) (1/99 revised) found in Title 27, CCR, Division 1, Subdivision 4, Chapter 1, Appendix E (after section 15620), as the certification required by the section. 
NOTE

Authority cited: Sections 25150 and 25245, Health and Safety Code. Reference: Sections 25150, 25200, 25245 and 25404.1, Health and Safety Code. 
HISTORY

1. New section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
2. Change without regulatory effect amending subsections (a) and (c)(1)-(5) and repealing and adding new subsections (c)(6)-(7) filed 12-19-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 51).
§67450.50. Revocation, Suspension and Denial of Authorization or Reauthorization, and Operating Restrictions for SHWCCAFs Operating Under Permit by Rule.
Note     •     History

(a) Notwithstanding the provisions of Chapter 21 of this division, the Department, CUPA or authorized agency may revoke or suspend authorization or reauthorization for any SHWCCAF operating or proposing to operate under a permit by rule as provided in this section. The Department, CUPA or authorized agency may also deny authorization or reauthorization for a SHWCCAF operating or proposing to operate under a permit by rule as provided in this section. The Department, CUPA or authorized agency shall base a decision on any one of the factors set forth in section 66270.43(a) or (b) or on Health and Safety Code section 25186 or on a finding that operation of the SHWCCAF in question will endanger human health, domestic livestock, wildlife, or the environment. 
(1) Notice of revocation, suspension, or denial shall be provided to the owner or operator of a SHWCCAF by certified mail with return receipt requested or by personal service. 
(2) An owner or operator of a SHWCCAF whose authorization or reauthorization is revoked or suspended or who is denied authorization or reauthorization to operate a SHWCCAF under a permit by rule and who wishes to appeal the revocation, suspension, or denial shall appeal by submitting a letter requesting a hearing to the agency revoking, suspending, or denying authorization within ten (10) days of receipt of notice of revocation, suspension, or denial. 
(3) Proceedings to appeal a CUPA or authorized agency's decision concerning revocation, suspension, or denial of authorization or reauthorization to operate under permit by rule shall be conducted in accordance with Chapter 5 (commencing with section 11500) of Part 1 of Division 3 of Title 2 of the Government Code. 
(b) Any authorization or reauthorization to operate a SHWCCAF granted pursuant to this article is contingent upon the accuracy of information contained in the notifications required by sections 67450.43(b), (c), and (f). Any misrepresentation or any failure to fully disclose all relevant facts shall render the authorization or reauthorization to operate null and void. 
(c) The Department, CUPA or authorized agency, when denying or revoking authorization for a SHWCCAF, shall send a copy of the letter sent pursuant to subsection (a)(1) to each CUPA or authorized agency with a contributing school in its jurisdiction. 
NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25186, 25186.1, 25186.2, 25200, 25404.1 and 25404.2, Health and Safety Code; and Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
HISTORY

1. New section filed 1-30-2002; operative 1-30-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 5). 
§67451. Waste Analysis for Permitted Facilities.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67452. Principal Organic Hazardous Constituents (POHCs) for Permitted Facilities.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67453. Performance Standards for Permitted Facilities.
Note     •     History

NOTE

Authority cited: Sections 208, 39002, 40702, 41982 and 42300, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67454. Hazardous Waste Incinerator Permits.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67455. Operating Requirements for Permitted Facilities.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67457. Monitoring and Inspections for Permitted Facilities.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22). 
§67461. Waste Analysis for Interim Status Facilities.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67462. General Operating Requirements for Interim Status Facilities.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67464. Monitoring and Inspections for Interim Status Facilities.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67468. Closure for Both Interim Status and Permitted Facilities.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67490. Applicability.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 31 (Sections 67490-67497, not consecutive) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67493. General Operating Requirements.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67495. Waste Analysis.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67497. Monitoring and Inspections.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67520. Applicability.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. New Article 32 (Sections 67520-67526) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67521. General Operating Requirements.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67522. Waste Analysis and Trial Tests.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67523. Inspections.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67524. Closure of Interim Status Facilities Which Treat Hazardous Waste Other Than in Tanks, Surface Impoundments, Land Treatment Units or Incinerator or Other Thermal Treatment Units.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67525. Special Requirements for Ignitable or Reactive Waste.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67526. Special Requirements for Incompatible Wastes.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25159 and 25159.5, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67600. Certification of Laboratories.
Note     •     History

NOTE

Authority cited: Sections 25173 and 25198.2(a), Health and Safety Code. Reference: Sections 25198.3, 25198.5(a)(1) and (c) and 25198.7(a) and (b), Health and Safety Code.
HISTORY

1. New Article 33 (Sections 67600-67606) filed 3-12-85; effective thirtieth day thereafter (Register 85, No. 11).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67601. Test Categories.
Note     •     History

NOTE

Authority cited: Section 25198.2(a), Health and Safety Code. Reference: Section 25198.2(b)(1), Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67602. Quality Assurance Program.
Note     •     History

NOTE

Authority cited: Section 25198.2(a), Health and Safety Code. Reference: Section 25198.2(b)(2), Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67603. Laboratory Equipment.
Note     •     History

NOTE

Authority cited: Section 25198.2(a), Health and Safety Code. Reference: Section 25198.2(b)(3), Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67604. Analytical Procedures.
Note     •     History

NOTE

Authority cited: Section 25198.2(a), Health and Safety Code. Reference: Section 25198.2(b)(4), Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22). 
§67605. Personnel Qualifications.
Note     •     History

NOTE

Authority cited: Section 25198.2(a), Health and Safety Code. Reference: Section 25198.2(b)(5), Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67606. Proficiency Testing.
Note     •     History

NOTE

Authority cited: Section 25198.2(a), Health and Safety Code. Reference: Section 25198.5(c), Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67650. Request As to Whether Property Should Be Designated As Hazardous Waste Property or Border Zone Property; Granted a Variance from a Designation of Property As Hazardous Waste Property or Border Zone Property; or Have a Designation of Property As Hazardous Waste Property or Border Zone Property Removed.
Note     •     History

NOTE

Authority cited: Section 25156, Health and Safety Code. Reference: Sections 25221, 25222, 25233 and 25234, Health and Safety Code.
HISTORY

1. New Article 34 (Sections 67650 and 67651) filed 6-13-84; effective thirtieth day thereafter (Register 84, No. 24).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67651. Ascertainment of Sufficient Evidence for a Proceeding to Designate Property As Hazardous Waste Property or Border Zone Property; to Grant a Variance from Such Designation; or to Remove Such Designation.
Note     •     History

NOTE

Authority cited: Section 25156, Health and Safety Code. Reference: Sections 25221, 25222, 25233 and 25234, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67700. Purpose, Scope and Applicability.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25159, 25159.5, 25179.6, 25179.11, 25179.12 and 25208.16, Health and Safety Code.
HISTORY

1. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67702. List of Restricted Hazardous Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).
2. Renumbering and amendment of former subsections (a) and (b) to subsections (a)(1) and (a)(2), new subsection (b) and amendment of NOTE filed 12-27-89; operative 1-26-90 (Register 90, No. 2).
3. New subsection (b)(2) filed 12-28-89; operative 1-27-90 (Register 90, No. 2).
4. New subsections (b)(7), (b)(10) and (b)(11) filed 4-23-90 as an emergency; operative 5-8-90 (Register 90, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 9-6-90.
5. Editorial correction of printing error in HISTORY note 2 (Register 90, No. 44).
6. Amendment refiled 9-6-90 as an emergency; operative 9-6-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-4-91 or emergency language will be repealed by operation of law on the following day.
7. New subsections (b)(8) and (b)(9) filed 12-4-90; operative 1-1--91 (Register 91, No. 3).
8. Amendment of subsection (b) filed 12-6-90; operative 1-1-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 5).
9. Readoption of 9-6-90 order filed 12-31-90 as an emergency; operative 1-4-91 (Register 91, No. 11). A Certificate of Compliance must be transmitted to OAL by 5-6-91 or emergency language will be repealed by operation of law on the following day.
10. New subsection (b)(3) filed 1-2-91; operative 2-1-91 (Register 91, No. 11).
11. New subsection (b)(4) filed 2-25-91; operative 3-27-91 (Register 91, No. 13).
12. Readoption of 12-31-90 order filed 5-6-91 as an emergency; operative 5-6-91 (Register 91, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
13. Renumbering and amendment of former section 66702 to section 66268.29, filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67706. Waste Prohibitions--General.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 4-23-90 as an emergency; operative 5-8-90 (Register 90, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 9-6-90.
2. New section refiled 9-6-90 as an emergency; operative 9-6-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-4-91 or emergency language will be repealed by operation of law on the following day.
3. New section filed 12-31-90 as an emergency; operative 1-4-91 (Register 91, No. 11). A Certificate of Compliance must be transmitted to OAL by 5-6-91 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-6-91 as an emergency; operative 5-6-91 (Register 91, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
5. Renumbering and amendment of former section 66706, subsections (a), (b) and (c) to section 66268.1, subsections (g), (h) and (i) filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67710. Waste Specific Prohibitions--Solvent Wastes.
Note     •     History

NOTE

Authority cited: Section 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25159, 25159.5 and 251790.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67711. Waste Specific Prohibitions--Dioxin-Containing Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25259, 25159.5 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67715. Waste Specific Prohibitions--Non-RCRA Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.6, and 15179.7, Health and Safety Code.
HISTORY

1. New section filed 12-27-89; operative 1-26-90 (Register 90, No. 2).
2. New subsection (a)(2) filed 12-28-89; operative 1-27-90 (Register 90, No. 2).
3. New subsections (a)(7), (a)(10) and (a)(11) filed 4-23-90 as an emergency; operative 5-8-90 (Register 90, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 9-6-90.
4. Editorial correction of printing error (Register 90, No. 44).
5. New section refiled 9-6-90 as an emergency; operative 9-6-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-4-91 or emergency language will be repealed by operation of law on the following day.
6. New subsections (a)(8) and (a)(9) filed 12-4-90; operative 1-1--91 (Register 91, No. 3).
7. Amendment of subsection (a) filed 12-6-90; operative 1-1-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 5).
8. Readoption of 9-6-90 order filed 12-31-90 as an emergency; operative 1-4-91 (Register 91, No. 11). A Certificate of Compliance must be transmitted to OAL by 5-6-91 or emergency language will be repealed by operation of law on the following day.
9. New subsection (a)(3) filed 1-2-91; operative 2-1-91 (Register 91, No. 11).
10. New subsection (a)(4) filed 2-25-91; operative 3-27-91 (Register 91, No. 13).
11. Readoption of 12-31-90 order filed 5-6-91 as an emergency; operative 5-6-91 (Register 91, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
12. Renumbering and amendment of former section 67715 to section 66268.100, filed 5-24-91; operative 7-1-91 (Register 91, No. 22). 
§67720. Dilution of Restricted Hazardous Wastes Prohibited as a Substitute for Treatment.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67721. Prohibitions on Storage of Restricted Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25150 and 25159, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67732. Procedures for Case-by-Case Extensions to an Effective Date.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.68 Health and Safety Code. Reference: Sections 15374-15378, Government Code, and Sections 25159, 25159.5, 25179.6 and 25179.8, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67740. Waste Analysis and Recordkeeping.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).
2. Amendment filed 4-23-90 as an emergency; operative 5-8-90 (Register 90, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 9-6-90.
3. Amendment refiled 9-6-90 as an emergency; operative 9-6-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-4-91 or emergency language will be repealed by operation of law on the following day.
4. Readoption of 12-31-90 order filed 5-6-91 as an emergency; operative 5-6-91 (Register 91, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
5. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67750. Applicability of Treatment Standards.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).$$p
2. Amendment of subsection (b) and NOTE filed 12-27-89; operative 1-26-90 (Register 90, No. 2).
3. New subsection (d) filed 12-28-89; operative 1-27-90 (Register 90, No. 2).
4. New subsections (e) and (f) filed 4-23-90 as an emergency; operative 5-8-90 (Register 90, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 9-6-90.
5. Amendment refiled 9-6-90 as an emergency; operative 9-6-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-4-91 or emergency language will be repealed by operation of law on the following day.
6. Readoption of 9-6-90 order adding subsections (e) and (f) filed 12-31-90 as an emergency; operative 1-4-91(Register 91, No. 11). A Certificate of Compliance must be transmitted to OAL by 4-30-91 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (a) filed 1-2-91; operative 2-1-91 (Register 91, No. 11).
8. Readoption of 12-31-90 order adding subsection (e) and (f) filed  5-6-91 as an emergency; operative 5-6-91 (Register 91, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
9. Renumbering and amendment of former section 67750 to section 66268.105, filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
10. Editorial correction of HISTORY 6. to reflect correct Certificate of Compliance transmission date (Register 91, No. 22).
§67755. Treatment Standards Expressed as Concentrations in Waste Extract.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).
2. Amendment filed 4-23-90 as an emergency; operative 5-8-90 (Register 90, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 9-6-90.
3. Amendment refiled 9-6-90 as an emergency; operative 9-6-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-4-91 or emergency language will be repealed by operation of law on the following day.
4. New subsections (b)(4) and (b)(5) filed 12-4-90; operative 1-1-91 (Register 91, No. 3).
5. Amendment of subsection (b) filed 12-6-90; operative 1-1-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 5).
6. Editorial correction of subsection (b) (Register 91, No. 5).
7. Readoption of 9-6-90 order filed 12-31-90 as an emergency; operative 1-4-91 (Register 91, No. 11). A Certificate of Compliance must be transmitted to OAL by 5-6-91 or emergency language will be repealed by operation of law on the following day.
8. Amendment filed 1-2-91; operative 2-1-91 (Register 91, No. 11).
9. Editorial correction of printing error inadvertently omitting text from subsections (b)(4) and (5) (Register 91, No. 18).
10. Readoption of 12-31-90 order filed 5-6-91 as an emergency; operative 5-6-91 (Register 91, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
11. Renumbering and amendment of former section 67755 to section 66268.106, filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67760. Treatment Standards Expressed As Waste Concentrations.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).
2. Amendment of subsection (a), relettering of former subsection (b) to subsection (c), and new subsection (b) filed 12-27-89; operative 1-26-90 (Register 90, No. 2).
3. New subsections (b)(2) and (c)(2), and amendment and renumbering of subsection (c) to subsection (c)(1) filed 2-25-91; operative 3-27-91 (Register 91, No. 13).
4. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67770. Variance from a Treatment Standard.
Note     •     History

NOTE

Authority cited; Sections 208, 25150, 25159 and 25179.8, Health and Safety Code. Reference: Sections 15374-15378, Government Code, and Sections 25159, 25159.5 and 25179.6 and 25179.8, Health and Safety Code.
HISTORY

1. New section filed 5-24-89; operative 6-23-89 (Register 89, No. 22).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67780. Treatment Standard for PCB Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25150, 25159, 25159.5, 25179.3 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 12-28-89; operative 1-27-90 (Register 90, No. 2).
2. Repealer filed 5-24-91; effective 7-1-91 (Register 91, No. 22).
§67785. Treatment Standards for Non-RCRA Aqueous and Liquid Organic Wastes.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 4-23-90 as an emergency; operative 5-8-90 (Register 90, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 9-6-90.
2. New section refiled 9-6-90 as an emergency; operative 9-6-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-4-91 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-31-90 as an emergency; operative 1-4-91 (Register 91, No. 11). A Certificate of Compliance must be transmitted to OAL by 5-6-91 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-6-91 as an emergency; operative 5-6-91 (Register (91, No. 22). A Certificate of Compliance must be transmitteed to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
5. Renumbering and amendment of former section 67785 to section 66268.112, filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67786. Treatment Standards for Non-RCRA Solid Hazardous Waste Containing Organics.
Note     •     History

NOTE

Authority cited: Sections 208, 25150, 25159 and 25179.6, Health and Safety Code. Reference: Sections 25159, 25159.5 and 25179.6, Health and Safety Code.
HISTORY

1. New section filed 4-23-90 as an emergency; operative 5-8-90 (Register 90, No. 20). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 9-6-90.
2. New section refiled 9-6-90 as an emergency; operative 9-6-90 (Register 90, No. 44). A Certificate of Compliance must be transmitted to OAL by 1-4-91 or emergency language will be repealed by operation of law on the following day.
3. New section filed 12-31-90 as an emergency; operative 1-4-91 (Register 91, No. 11). A Certificate of Compliance must be transmitted to OAL by 5-6-91 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 5-6-91 as an emergency; operative 5-6-91 (Register (91, No. 22). A Certificate of Compliance must be transmitteed to OAL by 9-3-91 or emergency language will be repealed by operation of law on the following day.
5. Renumbering and amendment of former section 67786 to section 66268.113, filed 5-24-91; operative 7-1-91 (Register 91, No. 22).
§67800.1. Requirements for Standardized Permit Facilities. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 25150, 25201.6, 58004 and 58012, Health and Safety Code. Reference: Sections 25150, 25201.6 and 25250.1, Health and Safety Code.
HISTORY

1. New section filed 9-29-93 as an emergency; operative 9-29-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-94 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of printing errors in subsections (c)(1), (e)(5), (h) and Note (Register 94, No. 3).
3. New section refiled 1-19-94 as an emergency; operative 1-19-94 (Register 94, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-19-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction adding History 3 (Register 94, No. 9).
5. New section refiled 5-23-94 with amendment  of section and Note  as an emergency; operative 5-23-94 (Register 94, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-20-94 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 9-19-94 with amendment of section and Note as an emergency; operative 9-19-94 (Register 94, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-95 or emergency language will be repealed by operation of law on the following day.
7. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 10).
8. New section filed 3-8-95; operative 3-8-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 10).
9. Change without regulatory effect amending section heading, section and Note filed 4-4-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 14).
10. Renumbering of former section 67800.1 to new section 66270.69.3 filed 9-6-2007; operative 10-6-2007 (Register 2007, No. 36).
§67800.5. Financial Responsibility for Facilities Operating Under a Standardized Permit. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 25143.13, 25150, 25200.1, 25201.6, 25245, 58004 and 58012, Health and Safety Code. Reference: Sections 25143.13, 25150, 25200.1, 25200.5, 25200.9 and 25201.6, Health and Safety Code.
HISTORY

1. New section filed 9-29-93 as an emergency; operative 9-29-93 (Register 93, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-94 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of Note (Register 94, No. 3).
3. New section refiled 1-19-94 as an emergency; operative 1-19-94 (Register 94, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-19-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction adding History 3 (Register 94, No. 9).
5. New section refiled 5-23-94 with amendment of Note as an emergency; operative 5-23-94 (Register 94, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-20-94 or emergency language will be repealed by operation of law on the following day.
6. New section refiled 9-19-94 with amendment of Note as an emergency; operative 9-19-94 (Register 94, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-95 or emergency language will be repealed by operation of law on the following day.
7. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 10).
8. New section filed 3-8-95; operative 3-8-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 10).
9. Amendment of subsections (a)-(d), new subsections (e)-(h) and amendment of Note filed 10-19-98; operative 11-18-98 (Register 98, No. 43).
10. Change without regulatory effect repealing subsections (e)-(e)(2), relettering subsections and amending Note filed 11-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 47).
11. Change without regulatory effect amending first paragraph and subsections (e)-(g) filed 4-4-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 14).
12. Renumbering of former section 67800.5 to new section 66270.69.4 filed 9-6-2007; operative 10-6-2007 (Register 2007, No. 36).
Chapter 45.5. Procurement of Site or Facility Cleanup Services
Article 1. Selection Process for Private Architectural and Engineering Services for Sites or Facilities
§67900.1. Purpose and Scope.
Note     •     History

This article establishes the applicable criteria and procedures for procurement, by the Department of Toxic Substances Control, of architectural and engineering services related to response actions at hazardous substance sites and corrective actions at hazardous waste facilities. These criteria and procedures shall apply to the extent such response actions are not exempted from State contract requirements under Health and Safety Code section 25358.5 or covered by Health and Safety Code section 25358.6.1 and shall be in compliance with Government Code section 19130.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4525, 4526 and 19130, Government Code; and Sections 25358.5 and 25358.6.1, Health and Safety Code.
HISTORY

1. New chapter 45.5 (article 1), article 1 (sections 67900.1-67900.12) and section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New chapter 45.5 (article 1), article 1 (sections 67900.1-67900.12) and section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New chapter 45.5 (article 1), article 1 (sections 67900.1-67900.12) and section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order, including amendment of section and Note, transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.2. Definitions.
Note     •     History

As used in these regulations:
(a) “Architectural, landscape architectural, engineering, environmental and land surveying services” includes those professional services of an architectural, landscape architectural, engineering, environmental, or land surveying nature as well as incidental services that members of these professions and those in their employ may logically or justifiably perform. Such services need to be procured pursuant to these regulations only if they are of the type which would lead to, or result in, instruments of service for the construction of a “project” as that term is used in the State Contract Act (commencing at section 10105 of the Public Contract Code).
(b) “Construction project management” means those services provided by a licensed architect, registered engineer or licensed general contractor which meet the requirements of section 4529.5 of the Government Code for management and supervision of work performed on State construction projects.
(c) “Department” means the Department of Toxic Substances Control.
(d) “Director” means the Director of the Department of Toxic Substances Control or his/her designee.
(e) “Environmental services” means those services performed in connection with project development and permit processing in order to comply with Federal and State environmental laws. “Environmental services” also includes the processing and awarding of claims pursuant to chapter 6.75 (commencing with section 25299.10) of division 20 of the Health and Safety Code.
(f) “Firm” means any individual, firm, partnership, corporation, association, joint venture or other legal entity permitted by law to practice the professions of architecture, landscape architecture, engineering, environmental services, land surveying or construction project management services.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4525, 4526 and 4529.5, Government Code; and Section 10105, Public Contract Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order, including amendment of subsection (d), transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.3. Publication of Announcement.
Note     •     History

(a) When a project requiring architectural, landscape architectural, engineering, environmental or land surveying services of a value of over $1 million is identified by the Department, an announcement shall be made by the Director through the State Contracting Register. In addition, the Director may selectively advertise to reach providers of services within the appropriate trade or profession by publishing the announcement through electronic communications media which support bulletin boards or Internet Web sites that have demonstrated statewide accessibility and are regularly maintained at established addresses by professional organizations which are representative of the services to be procured.
(b) For projects where such services in each instance shall not exceed $1 million, the Director may make annual announcements, published as above, which identify the general needs of the State.
(c) The announcement shall contain the following minimal information: The nature of the work, the criteria upon which the award shall be made, and the time within which statements of interest, qualification and performance data must be received by the Director.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code; and Sections 25358.6.1, Health and Safety Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.4. Establishment of Criteria.
Note     •     History

The Director shall establish criteria, on a case by case basis, which will comprise the basis for selection for each project which shall include such factors as professional excellence, demonstrated competence, specialized experience of the firm, education and experience of key personnel, staff capability, workload, ability to meet schedules, principals to be assigned, nature and quality of completed work, reliability and continuity of the firm, location, professional awards and other considerations deemed relevant. Such factors shall be weighted by the Director according to the nature of the project, the needs of the State and complexity and special requirements of the specific project.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.5. Selection of Architects, Engineers or Land Surveyors.
Note     •     History

After expiration of the announcement period stated in the publications, the Director shall evaluate statements of qualifications and performance data on file in the Department. The Director shall conduct discussions with no less than three firms regarding anticipated concepts and the relative utility of alternative methods of approach for furnishing the required service. From the firms with which discussions are held, the Director shall select no less than three, in order of preference, based upon the established criteria, who are deemed to be the most highly qualified to provide the services required.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4527, Government Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.6. Estimate of Value of Services.
Note     •     History

Before any discussion with any firm concerning fees, the Director shall cause an estimate of the value of such services to be prepared. Such estimates shall be, and remain, confidential until award of contract or abandonment of any further procedure for the services to which it relates.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4528, Government Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.7. Abandonment of Estimate.
Note     •     History

At any time the Director determines the State's estimate to be unrealistic due to rising costs, special conditions, or for other relevant considerations, the Director may require that the estimate be reevaluated.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4528, Government Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.8. Negotiation.
Note     •     History

(a) The Director shall, in accordance with section 6106 of the Public Contract Code, attempt to negotiate a contract with the best qualified firm. Should the Director be unable to negotiate a satisfactory contract with the firm considered to be the most qualified at fair and reasonable compensation, negotiations with that firm shall be terminated.
(b) The Director shall then undertake negotiations with the second most qualified firm. Failing accord, negotiations shall be terminated.
(c) The Director shall then undertake negotiations with the third most qualified firm. Failing accord, negotiations shall be terminated.
(d) Should the Director be unable to negotiate a satisfactory contract with any of the selected firms, the Director may select additional firms in the manner prescribed and continue the negotiation procedure.
NOTE

Authority cited: Section 4526, Government Code; and Section 6106, Public Contract Code. Reference: Sections 4526 and 4528, Government Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.9. Amendments.
Note     •     History

In instances where the State effects a necessary change in the project during the course of performance of the contract, the firm's compensation may be adjusted by mutual written agreement in a reasonable amount where the amount of work to be performed by the firm is changed from that which existed previously in the scope of work agreed to by both parties.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4528, Government Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.10. Contracting in Phases.
Note     •     History

(a) Should the Director determine that it is necessary or desirable to have a given project performed in phases, it will not be necessary to negotiate the total contract price in the initial instance, provided that the Director shall have determined that:
(1) The firm is best qualified to perform the whole project at reasonable cost, and;
(2) The contract contains provisions that the State, at its option, may utilize the firm for other phases and that the firm will accept a fair and reasonable price for subsequent phases to be later negotiated, mutually agreed upon and reflected in a subsequent written instrument.
(b) The procedure with regard to estimates and negotiation shall otherwise be applicable.
NOTE

Authority cited: Section 4526, Government Code. Reference: Sections 4526 and 4528, Government Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.11. Small Business Participants.
Note     •     History

(a) The Director shall endeavor to provide to all small business firms who have indicated an interest in receiving such, a copy of each announcement for projects for which the Director concludes that small business firms could be especially qualified. The Director shall assist firms in attempting to qualify for small business status.
(b) A failure of the Director to send a copy of an announcement to any firm shall not operate to invalidate any contract.
NOTE

Authority cited: Section 4526, Government Code. Reference: Section 4526, Government Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
§67900.12. Conflict of Interest/Unlawful Activity.
Note     •     History

Any unlawful practice or activity is prohibited including, but not limited to rebates, kickbacks or any other unlawful activity. Department employees are specifically prohibited from participating in the contractor selection process when those employees have a relationship with a person or business entity seeking a contract under this section, as specified in Government Code section 87100.
NOTE

Authority cited: Sections 4526 and 87100, Government Code. Reference: Section 4526, Government Code.
HISTORY

1. New section filed 11-8-2001 as an emergency; operative 11-8-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-8-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-7-2002 as an emergency; operative 3-9-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-8-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-19-2002 as an emergency; operative 7-9-2002 (Register 2002, No. 25). A Certificate of Compliance must be transmitted to OAL by 11-6-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-19-2002 order transmitted to OAL 11-6-2002 and filed 12-23-2002 (Register 2002, No. 52).
Chapter 46. Hazardous Waste Environmental Technology Certification Program
§68000. Purpose and Scope.
Note     •     History

(a) These regulations establish provisions for certification of hazardous waste environmental technologies. Hazardous waste environmental technologies include, but are not limited to, hazardous waste management technologies, site mitigation technologies, and waste minimization and pollution prevention technologies.
(b) The regulations in the chapter set forth basic certification requirements, including, but not limited to technology eligibility, certification application requirements, and certification procedures.
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25200.1.5, 25200.3 and 25201.5, Health and Safety Code.
HISTORY

1. New chapter 46 (sections 68000-68100) and section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
§68010. Technology Eligibility Criteria.
Note     •     History

A hazardous waste environmental technology is eligible for certification by the Department if the technology (1) does not pose a significant potential hazard to human health and safety or to the environment if operated in compliance with specified conditions, and (2) the technology relates to hazardous waste. Hazardous waste incineration technologies are excluded from eligibility for certification.
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25200.1.5, 25200.3 and 25201.5, Health and Safety Code.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
2. Change without regulatory effect amending section filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§68020. Certification Elements.
Note     •     History

(a) A certification is a technical evaluation of the technology which shall include all of the following.
(1) A statement of the technical specifications applicable to the technology.
(2) A determination of the composition of the hazardous wastes or chemical constituents for which the technology may appropriately be used.
(3) An estimate of the efficacy and efficiency of the technology in regard to the hazardous wastes or chemical constituents for which it is certified.
(4) A specification of the minimal operational standards the technology is required to meet to ensure that the certified technology is managed properly and used safely.
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25200.1.5, 25200.3 and 25201.5, Health and Safety Code.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
§68030. Application Requirements.
Note     •     History

(a) All applicants seeking a hazardous waste technology certification evaluation shall submit the following information to the Department, unless the Department indicates to the applicant in writing that a particular item is inapplicable and need not be submitted:
(1) Name of applicant, contact person, mailing address, and telephone number.
(2) A technology description including but not limited to a discussion of the unit processes or specific steps by which the technology operates, process flow diagrams, piping and instrumentation diagrams, and equipment specifications.
(3) The underlying scientific and engineering principles of the technology supported by technical literature, patents, and other documentation, if available.
(4) A description of the commercial status of the technology.
(5) Proposed certification statement, including performance claims and the hazardous waste streams or materials for which the applicant wants the technology to be certified.
(6) An estimate of the efficacy and efficiency of the technology in regard to those hazardous waste streams/materials for which certification is desired and bases for arriving at the estimates.
(7) Recommended operating conditions and limits.
(8) Supporting data and documentation necessary to verify the efficacy and efficiency of the technology for the recommended operating limits. Where existing data are insufficient, the applicant shall provide a description of new studies and experiments needed to generate the necessary data.
(9) Description of all potential environmental impacts, including but not limited to emissions, discharges, and residuals from use of the technology.
(10) Quality control/quality assurance procedures.
(11) Critical operating parameters and conditions.
(12) Monitoring and control of operating parameters and conditions.
(13) Operator training, education, and experience requirements to safely and effectively operate the technology, if any.
(14) Operation and maintenance procedures (including installation, inspection, and emergency and upset instructions), supported by documents such as standard operational procedures, users manuals, operational and maintenance manuals.
(15) Documents which address worker health and safety issues and requirements related to the use of the technology, including but not limited to material safety data sheets and health and safety plans.
(16) The hazards to health, safety, or to the environment posed by those hazardous wastes and materials and their constituents for which the technology is designed to manage.
(17) The complexity and degree of difficulty of operating the technology in regards to the hazardous waste streams and materials for which certification is desired.
(18) The chemical or physical hazards that are associated with the use of the technology, and the hazards associated with the process which produced the hazardous waste or wastes.
(19) The levels of specialized operator training, technology maintenance, and monitoring that are required to ensure that the technology is operated safely and effectively.
(20) The types of accidents or system upsets which may occur during use of the technology in managing those hazardous waste streams and materials for which certification is desired, the likely consequences of those accidents, and the actual accident history associated with the use of the technology.
(21) Any additional information deemed necessary by the Department in order for it to make a determination regarding suitability for certification.
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Sections 25200.1.5, 25200.3 and 25201.5, Health and Safety Code.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
§68040. Confidentiality of Information.
Note     •     History

(a) An applicant or holder of a technology certification may assert a claim of business confidentiality by following the procedures set forth in Title 22 of the California Code of Regulations, section 66260.2. Information submitted to the Department pursuant to this chapter may be claimed as business confidential. Such a claim shall be asserted at the time of submission by stamping the words “confidential business information” on each page containing such information. If no claim is made at the time of submission, the Department may make the information available to the public without further notice to the applicant. If a claim of confidentiality is asserted, the information will be evaluated and treated in accordance with the procedures set forth in section 66260.2.
(b) Claims of confidentiality for the name and address of any certification applicant will be denied.
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Section 25200.1.5, Health and Safety Code; and 40 CFR Section 260.2.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
§68050. Certification Procedures.
Note     •     History

(a) The Department shall use the following procedures to determine if a certification should be granted or denied. The Department shall:
(1) Review the certification application and any other pertinent information to make a preliminary determination whether or not the proposed technology is eligible for certification as a hazardous waste environmental technology pursuant to section 68010, and shall notify the applicant of its decision. If rejected as ineligible, the Department shall provide the applicant the reasons for the rejection.
(2) Estimate its costs to evaluate the technology and to make a certification decision in accordance with sections 68010 and 68020.
(3) Prepare an agreement for services containing the estimated costs of evaluating the technology for a certification decision.
(4) Negotiate the agreement and have the applicant and the Department sign the agreement.
(5) Receive payment of fees, pursuant to section 68080.
(6) If the Department determines that additional data are needed, the Department shall request that the applicant provide additional existing data, and perform field testing to collect new data, if necessary. The Department shall review such data when making the certification decision.
(7) Prepare an evaluation report and proposed certification decision.
(8) Publish in the California Regulatory Notice Register, the Department's proposed decision on an application for certification of a hazardous waste environmental technology, which shall be subject to a 30-day 

comment period. The Department shall review any comments received and complete the final certification decision.
(9) The final certification decision shall be published in the California Regulatory Notice Register, and shall become effective not sooner than 30 days after its publication.
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Section 25200.1.5, Health and Safety Code.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
2. Change without regulatory effect amending subsection (a)(1) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§68060. Duration of Certification.
Note     •     History

Unless amended pursuant to section 68100, the duration of a hazardous waste environmental technology certification is three (3) years. The duration of the certification shall be specified in each instance within the certification statement published in the California Regulatory Notice Register. Technologies can be re-evaluated and, if appropriate, re-certified pursuant to the certification application requirements and procedures specified in this chapter.
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Section 25200.1.5, Health and Safety Code.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
§68070. Revocation of Certification.
Note     •     History

The Department may revoke a hazardous waste environmental technology certification if it determines, on the basis of any reliable information, that the hazardous waste environmental technology may pose a significant potential or actual hazard to human health and safety or to the environment, or that the technology does not perform as certified, or that any information submitted to the Department related to the certification is inaccurate, has been misrepresented, or that any pertinent information was omitted. The recipient of the certification shall maintain the quality of the manufactured materials and equipment at a level equal to or better than was provided to obtain this certification and shall be subject to quality monitoring by the Department as is required by section 25200.1.5 of the Health and Safety Code. The Department may revoke the hazardous waste environmental technology certification in accordance with the procedures set forth in Health and Safety Code section 25200.1.5(d).
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Section 25200.1.5, Health and Safety Code.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
§68080. Fees.
Note     •     History

(a) The Department shall recover the actual costs to the Department for evaluating hazardous waste environmental technologies, and making certification decisions. An estimate of these costs and a scope of work, including a summary delineating the activities that will be conducted, shall be part of the technology evaluation and certification services agreement. A dispute resolution process, to address conflicts between the applicant and the Department regarding the terms of the services agreement, shall be part of the agreement.
(b) Each applicant for a technology certification shall submit a non-refundable fee of two-hundred fifty dollars ($250) with the application. This fee will cover the Department's cost for the preliminary determination of eligibility for certification as described in section 68050(a)(1). The remainder of the costs to evaluate the technology shall be due according to the terms of the negotiated agreement as specified in section 68050(a)(3).
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Section 25200.1.5, Health and Safety Code.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
§68090. Certification Reference.
Note     •     History

(a) The holder of a valid hazardous waste environmental technology certification is authorized to use the certification seal (Registered Service Mark Number 046720) and shall cite the technology certification number and date of issuance in conjunction with the certification seal whenever it is used.
(b) When providing information on the certification to an interested party, the holder of a hazardous waste environmental technology certification shall at a minimum provide the full text of the final certification decision as published in the California Regulatory Notice Register.
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Section 25200.1.5, Health and Safety Code.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
2. Change without regulatory effect amending subsection (b) filed 7-1-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 27).
§68100. Amendments to Certifications.
Note     •     History

The Department on its own initiative or upon receipt of an application from the holder of the certification may amend a hazardous waste environmental technology certification.
(a) In the case of a Department initiated amendment, the Department will:
(1) Inform the applicant of the Department's intent to amend the certification.
(2) Prepare an evaluation report and proposed certification decision.
(3) Publish in the California Regulatory Notice Register, the Department's proposed decision regarding the amendment, which shall be subject to a 30-day comment period. The Department shall review any comments received and complete the final certification decision.
(4) Publish the final certification decision in the California Regulatory Notice Register, which shall become effective not sooner than 30 days after its publication.
(b) During the time periods specified in subdivision (a), paragraphs (3) and (4), the existing certification shall remain valid.
(c) In the case of an amendment applied for by the holder, the Department will follow the procedures set forth in section 68050. During the time periods specified in section 68050(a)(8) and (a)(9), the existing certification shall remain valid.
(d) In the case of an amendment applied for by the holder, the applicant shall reimburse the Department for its costs in amending the certification.
NOTE

Authority cited: Sections 25150, 25200.1.5, 58004 and 58012, Health and Safety Code. Reference: Section 25200.1.5, Health and Safety Code.
HISTORY

1. New section filed 10-5-98; operative 11-4-98 (Register 98, No. 41).
Chapter 47. Loan Programs
Article 1. Cleanup Loans and Environmental Assistance to Neighborhoods Revolving Loan Fund
§68200. Purpose.
Note     •     History

The purpose of the Cleanup Loans and Environmental Assistance to Neighborhoods Revolving Loan Fund is to finance the performance of actions necessary to respond to the release or threatened release of a Hazardous Material on a Brownfield, as defined, or Eligible Underutilized Property. The Program supports two programs: the Investigating Site Contamination Program (ISCP) and the Cleanup Loans and Environmental Assistance to Neighborhoods (CLEAN) Loan Program. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012 Health and Safety Code. Reference: Sections 25395.21 and 25395.22, Health and Safety Code. 
HISTORY

1. New chapter 47 (articles 1-2), article 1 (sections 68200-68213 and appendix 1) and section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New chapter 47 (articles 1-2), article 1 (sections 68200-68213 and appendix 1) and section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New chapter 47 (articles 1-2), article 1 (sections 68200-68213 and appendix 1) and section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including amendment of section, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
§68201. Overview; Administering Agency.
Note     •     History

(a) The Department will be the Administering Agency for all Properties that are the subject of an ISCP Loan. 
(b) As provided under section 68207, the Department, the State Board, a Regional Board, or a Local Oversight Program Agency under contract with the State Board will be the Administering Agency for a site that is the subject of a Loan from the CLEAN Loan Program. 
(c) An Applicant for a Loan may not request that a different agency be designated as the Administering Agency by the Site Designation Committee created by section 25260 of the Health and Safety Code. 
(d) Investigating Site Contamination Program (ISCP): 
(1) The ISCP provides Loans to Eligible Applicants for the purpose of conducting Preliminary Endangerment Assessments (PEAs) of Brownfields, as defined, or Eligible Underutilized Properties; 
(2) Loan funds will not be disbursed until execution of an ISCP Environmental Oversight Agreement under section 68211; 
(3) Loan recipients shall agree to provide any and all PEA site assessment results to the Department if the Loan recipient does not proceed with the Project under section 68211; and 
(4) Loans from the ISCP may not be used to pay for Ineligible Costs as defined in section 68202(r).
(e) Cleanup Loans and Environmental Assistance to Neighborhoods (CLEAN) Program: 
(1) The CLEAN Loan Program provides Loans to Eligible Applicants for the purpose of performing actions necessary to Respond to the release or threatened release of a Hazardous Material including, but not limited to, site characterization, preparation of feasibility studies, public participation, preparation of remedy selection documents, actual construction and other cleanup activities on an Eligible Property. The CLEAN Loan Program does not include activities deemed Operation and Maintenance as determined by the Administering Agency; 
(2) As a condition of obtaining a Loan, Loan recipients who are responsible parties as defined in section 25323.5 of the Health and Safety Code or are Persons subject to regulation under chapter 6.7 (commencing with section 25280) or chapter 6.75 (commencing with section 25299.10 of the Health and Safety Code) are required to complete all actions necessary to Respond to releases or threatened releases of a Hazardous Material on the Property as approved by the Administering Agency even if the Loan amount does not finance the full cost of such actions; 
(3) Work undertaken using funds from the CLEAN Loan Program must be conducted by a qualified Project Coordinator with expertise in Hazardous Materials site investigation and cleanup. All engineering and geological work must be conducted in conformance with applicable State laws including, but not limited to, Business and Professions Code sections 6735 and 7835; 
(4) Loan funds shall not be disbursed until execution of a CLEAN Loan Program Response Action Agreement with the Department or other enforceable agreement with another Administering Agency under section 68211; and 
(5) Loans from the CLEAN Loan Program may not be used to pay for Ineligible Costs under section 68202(r). 
NOTE

Authority cited: Sections 25150, 25260, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.21, 25395.22, 25395.27 and 25395.28, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including amendment of section heading, section and Note, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
6. Change without regulatory effect amending subsection (d)(4) filed 7-20-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§68202. Definitions.
Note     •     History

Unless the context indicates otherwise and except as provided in this section, the definitions set forth in chapter 6.8 of division 20 of the Health and Safety Code govern interpretation of this article. For the purposes of this article, the following definitions apply: 
(a) “Account” means the Cleanup Loans and Environmental Assistance to Neighborhoods Account established pursuant to subdivision (b) of section 25395.20 of the Health and Safety Code. 
(b) “Administering Agency” means either the Department, a Regional Board, the State Board, or a Local Oversight Program Agency that oversees all aspects of a site investigation and Response Action conducted on a Property that is the subject of a CLEAN Loan Program Loan. Under section 25395.27 of the Health and Safety Code, the Administering Agency has jurisdiction over all activities required to carry out a site investigation and Response Action necessary to Respond to the Hazardous Materials release at the Property; 
(c) “Applicant” means a Person, as defined in subdivision (ff) that is applying for a Loan under section 68206; 
(d) “Application” means the information an Applicant provides to the Department when seeking a Loan under section 68206; 
(e) “Borrower” means an Applicant whose Application has been approved and who has executed a Loan Agreement under section 68210; 
(f) “Brownfield” means a Property that meets all of the following conditions: 
(1) It is located in an Urban Area; 
(2) It was previously the site of an Economic Activity that is No Longer In Operation at that location;
(3) It has been vacant or has had no occupant engaged in year-round economically productive activities for a period of not less than the 12 months previous to the date of Application for a Loan pursuant to this article. 
(g) “CLEAN Loan Program Response Action Agreement” means the agreement executed under section 68211 authorizing the Department's oversight of the actions necessary to Respond to the release or threatened release of a Hazardous Material on an Eligible Property for the CLEAN Loan Program; 
(h) “Cleanup and Abatement Order” means an order issued by a Regional Board pursuant to section 13304 of the Water Code; 
(i) “Cleanup Loans and Environmental Assistance to Neighborhoods Loan Program” or “CLEAN Loan Program” means the program established by the Department under section 25395.22 of the Health and Safety Code to provide Loans to finance the performance of any action necessary to respond to a release or threatened release at an Eligible Property. 
(j) “Department” means the Department of Toxic Substances Control; 
(k) “Director” means the Director of the Department of Toxic Substances Control; 
(l) “Economic Activity” means a governmental activity, or a commercial, agricultural, industrial, or not-for-profit enterprise, or other economic or business concern;  
(m) “Eligible Applicant” means an Applicant that has an interest in or Economic Activity within the boundaries of an Eligible Property and that is not an Ineligible Applicant as defined under subdivision (q); 
(n) “Eligible Contiguous Expansion” means the expansion onto contiguous property of an operating industrial or commercial facility owned or operated by one of the following: 
(1) A Small Business; 
(2) A nonprofit corporation formed under the Nonprofit Public Benefit Corporation Law (part 2 (commencing with section 5110) of division 2 of title 1 of the Corporations Code) or the Nonprofit Religious Corporation Law (part 4 (commencing with section 9110) of division 2 of title 1 of the Corporations Code); or 
(3) A Small Business Incubator. 
(o) “Eligible Property” means a Property that is any of the following: 
(1) A Brownfield; 
(2) An Underutilized Property, as defined in subdivision (rr) of this section, that is any of the following: 
(A) A Property described in subparagraph (E) of paragraph (4) of subdivision (rr) of this section; 
(B) A Property located in an Enterprise Zone established pursuant to the Enterprise Zone Act (chapter 12.8 (commencing with section 7070) of division 7 of title 1 of the Government Code), in a project area for which a redevelopment plan has been approved pursuant to article 4 (commencing with section 33300) of chapter 4 of part 1 of division 24 of the Health and Safety Code, or in an eligible area, as determined pursuant to paragraph (2) of subdivision (c) of section 7072 of the Government Code; 
(C) A Property, the redevelopment of which will result in any of the following: 
1. An increase in the number of full-time jobs that is at least 100 percent greater than the number of jobs provided by the Economic Activity located on the Property before redevelopment occurred; 
2. An increase in Property taxes paid to the local government that is at least 100 percent greater than the Property taxes paid by the Property owner before redevelopment occurred; 
3. Sales tax revenues to the local government that are sufficient to defray the costs of providing municipal services to the Property after the redevelopment occurs; 
4. Housing for very low, low-, or moderate-income households, as defined in paragraph (2) of subdivision (h) of section 65589.5 of the Government Code; or 
5. The construction of new or expanded school facilities, public day care centers, parks, open space and habitat area, or community recreational facilities. 
(3) A Brownfield or an Underutilized Property described in subparagraph (B) of paragraph (2) that will be the site of an Eligible Contiguous Expansion. 
(p) “Hazardous Material” means a substance or waste that, because of its physical, chemical, or other characteristics, may pose a risk of endangering human health or safety or of degrading the environment. Hazardous Material includes, but is not limited to, all of the following: 
(1) A hazardous substance, as defined in section 25281 or section 25316 of the Health and Safety Code, including the substances specified in section 25317 of the Health and Safety Code; 
(2) A hazardous waste, as defined in section 25117 of the Health and Safety Code; 
(3) A waste, as defined in section 101075 of the Health and Safety Code, or as defined in section 13050 of the Water Code. 
(q) “Ineligible Applicant” means any of the following: 
(1) A Person who has been convicted of a felony or misdemeanor involving Hazardous Materials, including, but not limited to, a conviction of a felony or misdemeanor under section 25395.13 of the Health and Safety Code; 
(2) A Person who has been convicted of a felony or misdemeanor involving moral turpitude, including, but not limited to, the crimes of fraud, bribery, the falsification of records, perjury, forgery, conspiracy, profiteering, or money laundering; 
(3) A Person who the Department determines is in violation of an administrative order or agreement that:
(A) Is issued by or entered into with any federal, State, or Local Agency and 
(B) Requires Response Action; 
(4) A Person who knowingly made a false statement regarding a material fact or knowingly failed to disclose a material fact in connection with an Application submitted under this article; and 
(5) Any Person determined to be ineligible by the Department under section 68206. 
(r) “Ineligible Costs” means any of the following: 
(1) Costs of Phase I Environmental Site Assessments; 
(2) Costs of Operation and Maintenance as defined in subdivision (dd); 
(3) Costs associated with oversight by the Department of the preparation and approval of a PEA, or oversight by the Administering Agency of the response action on the Property; and 
(4) Costs to conduct a PEA for CLEAN Loan Program Loans only. 
(s) “Ineligible Property” means any of the following: 
(1) Property currently listed or proposed for listing on the National Priorities List pursuant to subparagraph (B) of paragraph (8) of subdivision (a) of section 9605 of the Comprehensive Environmental Response Compensation and Liability Act, as amended (42 U.S.C. §9605(a)(8)(B)); 
(2) Property that is, or has ever been, owned or operated by a department, agency, or instrumentality of the United States; 
(3) Property that will be the site of a contiguous expansion or improvement of an operating industrial or commercial facility, unless the Property is a Brownfield or Underutilized Property described in subparagraph (B) of paragraph (2) of subdivision (o) that will be the site of an Eligible Contiguous Expansion as defined in subdivision (n); or 
(4) Any Property determined to be ineligible by the Department under section 68206. 
(t) “Infrastructure” means basic service systems such as sewer, water, transportation, and utilities; 
(u) “Investigating Site Contamination Program” or “ISCP” means the program established by the Department under section 25395.21 of the Health and Safety Code to provide Loans to conduct PEAs of Eligible Properties; 
(v) “ISCP Environmental Oversight Agreement” means the agreement executed under section 68211 that governs the preparation of a PEA for an Eligible Property under the ISCP Loan program; 
(w) “Leaking Underground Fuel Tank” means a leaking underground fuel tank that is a “tank” as defined in section 25299.24 of the Health and Safety Code; 
(x) “Loan” means a Loan from the Account that is either an ISCP Loan or a CLEAN Loan Program Loan; 
(y) “Loan Agreement” means the written agreement between a Borrower and the Department made in accordance with section 68210; 
(z) “Loan Committee” means representatives of those agencies specified under subdivision (a) of section 25395.23 of the Health and Safety Code: the Department after consultation with the Secretary of the California Environmental Protection Agency, the Secretary of Business, Transportation and Housing, and the Director of the Office of Planning and Research or their appointed representatives, and up to three other members selected by the Department who have public or private sector experience or expertise in commercial lending, environmental, or economic development issues; 
(aa) “Local Government Agency” or “Local Agency” means a county, city, city and county, redevelopment agency or district of any type including a school district, or any other local or regional political subdivision, or any department, division, bureau, office, board, commission or other agency of the foregoing; 
(bb) “Local Oversight Program Agency” means a Local Agency that is under contract with the State Board in accordance with chapter 6.7 (commencing with section 25280 of the Health and Safety Code) and chapter 6.75 (commencing with section 25299.10 of the Health and Safety Code) as specified in section 25395.28(a)(1) of the Health and Safety Code; 
(cc) “No Longer In Operation” describes an Economic Activity that has ceased to function or to conduct operations of the type usually associated with the Economic Activity on the Property; 
(dd) “Operation and Maintenance” means those activities initiated or continued at a site following completion of a Response Action that are deemed necessary by the Administering Agency in order to protect public health or safety or the environment, to maintain the effectiveness of the Response Action at the site, or to achieve or maintain the Response Action standards and objectives established by the approved remedial action plan or approved removal action work plan applicable to the site; 
(ee) “PEA-equivalent” means an environmental assessment submitted with a CLEAN Loan application that provides basic information to determine if there is or has been a release or threatened release of a Hazardous Material at the Property at concentrations that may pose a risk to public health and safety and the environment, and that includes all of the activities specified in subdivision (hh)-(1-3); 
(ff) “Person” means an individual, trust, firm, joint stock company, business concern, corporation, partnership, limited liability company, association, redevelopment agency, sole proprietorship, joint venture, non-profit organization, or any Local Government Agency or Local Agency; 
(gg) “Phase I Environmental Site Assessment” or “Phase I” means an assessment of a Property to determine whether there has been, or may have been, a release of a Hazardous Material based on reasonably available information about the Property and general vicinity. A Phase I may include, but is not limited to, a review of public and private records, current and historical land uses, prior releases of a Hazardous Material, database searches, reviews of relevant files of federal, State, and Local Agencies, visual and other surveys of the Property and general vicinity, interviews with current and previous owners and operators, and review of regulatory correspondence and environmental reports. Sampling or testing is not required as part of a Phase I Environmental Site Assessment. A Phase I shall be performed in compliance with the licensing and educational requirements in subdivision (d) of section 68205; 
(hh) “Preliminary Endangerment Assessment” or “PEA” means an activity that is performed to determine if there is or has been a release or threatened release of a Hazardous Material that poses a threat to the public health or the environment and is conducted in a manner that complies with the guidelines published by the Department entitled “Preliminary Endangerment Assessment: Guidance Manual” (June 1999, or as later amended by the Department, which is incorporated by reference). A Preliminary Endangerment Assessment includes all of the following activities: 
(1) Sampling of a Property, and laboratory analysis of those samples;
(2) A preliminary determination of the type and extent of Hazardous Material contamination of a Property; 
(3) A preliminary evaluation of the risks of Hazardous Material contamination that a Property may pose to public health or the environment. 
(ii) “Project” means any Response Action and the planned future development of the Property included in an Application; 
(jj) “Project Coordinator” means the Person or Persons that possess the requisite qualifications to manage the Response Action at the Property and who have been identified as intended to manage the Response Action; 
(kk) “Property” means the Property within the boundaries described as the Property boundaries in the Application submitted under section 68206. A Property may be all or a portion of a site where there is a known or suspected release or threatened release of a Hazardous Material; 
(ll) “Regional Board” means a California Regional Water Quality Control Board; 
(mm) “Response,” “Respond,” or “Response Action” have the same meanings as defined in section 9601(25) of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as amended (42 U.S.C. §9601(25)). The enforcement and oversight activities of the Administering Agency are included within the meaning of “Response,” “Respond,” or “Response Action”; 
(nn) “Secured Creditor Insurance” has the same meaning as defined in subdivision (k) of section 25395.40 of the Health and Safety Code; 
(oo) “Small Business” means an independently owned or operated business, that is not dominant in its field of operation that together with affiliates, has 100 or fewer employees, and that has average annual gross receipts of ten million dollars ($10,000,000) or less over the previous three years, or a business that is a manufacturer, as defined in section 14837 of the Government Code, with 100 or fewer employees; 
(pp) “Small Business Incubator” means a Small Business Incubator that is undertaking a contiguous expansion of an operating industrial or commercial facility with the assistance of a grant authorized by section 15339.3 of the Government Code or a loan guarantee provided pursuant to section 14090 of the Corporations Code; 
(qq) “State Board” means the State Water Resources Control Board; 
(rr) “Underutilized Property” means Property that meets all of the following conditions: 
(1) It is located in an Urban Area; 
(2) An Economic Activity is conducted on the Property; 
(3) It is the subject of a proposal for development pursuant to this article; and 
(4) At least one of the following applies: 
(A) The Economic Activity on the Property is irregular or intermittent in nature and uses the Property for productive purposes less than four months in any calendar year; 
(B) The Economic Activity on the Property employs less than 25 percent of the area of the Property (as measured in square feet) for productive purposes; 
(C) The structures, Infrastructure, and other facilities on the Property are antiquated, obsolete, or in such poor repair that they cannot be used for the purposes for which they were originally constructed and require replacement in order to implement the redevelopment proposal; 
(D) The Economic Activity conducted on the Property is a parking facility or another activity that offers a similar marginal economic service and the facility or activity will be replaced when the Property is redeveloped; or 
(E) The Property is adjacent to one or more Brownfields that are the subject of a Project under this article and its inclusion in the Project is necessary in order to ensure that the redevelopment of the Brownfield or Brownfields occurs. 
(ss) “Urban Area” means either of the following: 
(A) A central city or a group of contiguous cities with a combined population of 50,000 or more, together with adjacent densely populated areas having a population density of at least 1,000 persons per square mile; or 
(B) An urbanized area. “Urbanized area” means a central city or cities and surrounding closely settled territory, as defined by the United States Department of Commerce Bureau of the Census in the Federal Register, Volume 39, Number 85, for Wednesday, May 1, 1974, at pages 15202 and 15203, and as periodically updated. Urbanized areas are listed in Appendix 1. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.20, 25395.21, 25395.22, 25395.27, 25395.28 and 25395.40, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including amendment of section and Note, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
6. Change without regulatory effect amending subsections (o)(2)(B), (z), (hh), (hh)(3), (pp) and (ss)(B) filed 7-20-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§68203. Loan Amounts; Interest.
Note     •     History

(a) Investigating Site Contamination Program Loans: An ISCP Loan may not be for more than $100,000; 
(b) Cleanup Loans and Environmental Assistance to Neighborhoods Loan Program Loans: A CLEAN Loan Program Loan may not be for more than $2,500,000; 
(c) The interest rate for ISCP and CLEAN Loan Program Loans shall be the same rate as earned on investments in the State's Surplus Money Investment Fund (Government Code section 16475). The rate earned on investments in the Surplus Money Investment Fund in effect on the date of Loan approval shall be retained for the life of the Loan; 
(d) If a Borrower defaults on a Loan, the rate of interest from the date of default will be either 10 percent or the default interest rate specified in the Loan Agreement executed under section 68210, whichever is greater; 
(e) A Loan shall not be used to pay for Ineligible Costs as defined under subdivision (r) of section 68202; 
(f) Interest on the Loan amount for an ISCP Loan shall accrue from the date of each disbursement of ISCP Loan funds by the Department; and 
(g) Interest on the Loan amount of a CLEAN Loan Program Loan shall accrue from the date of each disbursement of CLEAN Loan Program funds by the Department. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.21, 25395.24 and 25395.31, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including amendment of section, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
§68204. ISCP Waivers of Loan Repayment.
Note     •     History

(a) A recipient of an ISCP Loan may request, in writing, a partial waiver of Loan repayment under the following conditions: 
(1) If after completion of the PEA, a Borrower who is not the owner of the Property believes that the sum of the cost of the Response Action  and the current appraised fair market value of the Property is greater than the projected fair market value of the Property after all necessary Response Actions have been completed and thus renders the redevelopment Project not economically feasible, the Borrower may request a waiver of Loan repayment of up to 75 percent of the Loan amount; 
(2) In support of a written waiver request, the Borrower shall submit the following to the Department: 
(A) A report that estimates the cost of the Response Action prepared for the Property by any of the following who are licensed or registered to practice in California and who have demonstrated expertise in Hazardous Material remediation and cost estimation: Class II environmental assessor, engineering geologist, licensed hazardous substance contractor, or licensed professional engineer. An affidavit may be submitted in lieu of the report if the affidavit is signed by a person who is authorized under this subparagraph to prepare a cost estimation report; 
(B) A real estate appraisal that provides an appraised value based on the estimated value of the Property after all necessary Response Actions have been taken, and performed by a licensed Real Estate appraiser appropriately and currently certified by the State of California Office of Real Estate Appraisers. The appraisal shall include a copy of the appraiser's current certificate; and 
(C) An affidavit in support of the written waiver request that sets forth the information and documentation required under this section. 
(b) The Department will present the written waiver request to the Loan Committee for its determination to approve or deny; 
(c) The amount of repayment waived shall be deemed a grant to the Borrower. The Borrower shall repay the remaining portion of the Loan within one year of the approval date of the waiver; and 
(d) A Borrower who has received a partial waiver of Loan repayment under subdivision (a) may not apply for a CLEAN Loan Program Loan for the same Property until the full amount of the ISCP Loan initially disbursed has been repaid. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.20, 25395.21, 25395.22, 25395.24 and 25395.31 Health and Safety Code.
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including amendment of section, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
§68205. Loan Application Content.
Note     •     History

(a) An Applicant shall submit an ISCP Loan Application, (DTSC Form 1290, dated 5/09, which is incorporated by reference), or a CLEAN Loan Program Loan Application, (DTSC Form 1291, dated 5/09, which is incorporated by reference), as applicable, to the Department; 
(b) The Application shall contain, at a minimum, all of the following: 
(1) Description of the Property that is the subject of the Loan and upon which a PEA or Response Action will be performed. The description shall include a legal description of the Property boundaries, Assessor's Parcel Number, or other identification sufficient to identify the areal extent of the Property. If the Property is a portion of a larger site where there is known or suspected release or threatened release of a Hazardous Material, the Application shall include a description of the entire site, including the boundaries of the known or suspected release or threatened release of a Hazardous Material; 
(2) Documentation that demonstrates the Property is an Eligible Property; 
(3) Documentation of appropriate security interest in the Property and source of Loan repayment; 
(4) Documentation of the Applicant's credit-worthiness, including a description of the Applicant's bank relationships, to include but not limited to existing bank loans and other debts; 
(5) If the Department has made a determination under subdivision (g) of section 68206 that sufficient funding to meet the demand for Loans will not be available, sufficient information to enable the Department to determine the priority ranking of the Property under subdivision (g) of section 68206; 
(6) For a CLEAN Loan Program Loan, description of the intended redevelopment Project and its projected benefits, if known, and the name, address, and resume of the project coordinator; 
(7) Documentation that the Applicant has control of the Property or the right to enter the Property and conduct a PEA or Response Actions as necessary; 
(8) For a CLEAN Loan Program Loan for a Property that is part of a larger site, documentation that the planned future development of the Property is consistent with the current and reasonably foreseeable future land uses of the larger site; 
(9) For a CLEAN Loan Program Loan, general description of the Response Action to be performed on the Property; 
(10) For a CLEAN Loan Program Loan for a Property that is part of a larger site, description of any Response Action that is currently being performed or that will be performed on the larger site; 
(11) For a CLEAN Loan Program Loan, description of all past and current administrative orders, agreements, judicial orders, and consent decrees that 
(A) Relate to any of the following: 
1. the Property, 
2. the Applicant, 
3. the Applicant under any previous name or names, or 
4. if the Applicant is a business concern, any officer, director, or partner of the business concern and any previous names of the business concern; 
(B) were issued by or entered into with any federal, State, or local agency including the State Board, or a Regional Board; and 
(C) require Response Action at a site.
(12) For a CLEAN Loan Program Loan, documentation of the total debt against the Property on which the Response Action will be taken; 
(13) For a CLEAN Loan Program Loan, estimated value of the Property after all necessary Response Actions are complete; 
(14) Disclosure of any and all information demonstrating that the Applicant is an Ineligible Applicant under paragraphs (1)-(5) of subdivision (q) of section  68202; 
(15) Certification Statement and signature of the Applicant; and 
(16) Any other information the Department deems necessary to evaluate whether the Application meets the intent of the ISCP or the CLEAN Loan Program. 
(c) For ISCP and CLEAN Loan Program Loans, if the Applicant is not the owner of the Property, the Application shall also contain one of the following: 
(1) For an ISCP Loan, documentation that demonstrates that the owner consents to the performance of the PEA of the Property; 
(2) A copy of an agreement between the Property owner and the Applicant that gives the Applicant an option to purchase the Property; 
(3) For a CLEAN Loan Program Loan, documentation that the owner of the Property agrees to use the Property as a security interest for the Loan to finance necessary Response Action at the Property, or agrees to provide another form of security that the Department determines will adequately protect the State's interest. The Department will obtain an appropriate security interest in the Property or other alternative form of security approved by the Department; 
(4) If the Applicant is a Local Government Agency, or a developer or prospective purchaser acting together with a Local Government Agency pursuant to an enforceable agreement, a demonstration to the Department that the Local Government Agency, or developer or prospective purchaser acting together with the Local Government Agency pursuant to an enforceable agreement, has legal access to perform the PEA or Response Action as determined by the Department at the Property, or will have legal access, prior to receiving Loan funds. 
(d) An ISCP Application shall include a Phase I that has been completed within three (3) years, provided that the information is current and accurate. An addendum may be submitted with the Phase I to provide current information. 
(1) The Phase I shall be performed by, or under the supervision of, any of the following: 
(A) A Class II environmental assessor registered pursuant to chapter 6.98 (commencing with section 25570) of division 20 of the Health and Safety Code; 
(B) A professional engineer registered in California; 
(C) A geologist registered in California; 
(D) A certified engineering geologist registered in California; or 
(E) A licensed hazardous substance contractor certified pursuant to chapter 9 (commencing with section 7000) of division 3 of the Business and Professions Code. A licensed hazardous substance contractor shall hold the equivalent of a degree from an accredited public or private college or university or a private postsecondary educational institution approved by the Bureau for Private Postsecondary and Vocational Education with at least 60 units in environmental, biological, chemical, physical, or soil science; engineering; geology; environmental or public health; or a directly related science field. 
(2) Any Person who conducts or supervises a Phase I under paragraph (1) shall have at least two years experience in the preparation of those assessments; 
(3) The Phase I shall be performed in accordance with the “American Society for Testing and Materials (ASTM) Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process”, ASTM Standard E-1527-05, approved November 1, 2005; available from American Society for Testing and Materials, 100 Barr Harbor Drive, Post Office Box C700, West Conshohocken, PA 19428-2959, (610) 832-9585; website http://www.astm.org, which is incorporated by reference. 
(e) A CLEAN Loan Program Loan Application shall include a PEA, or PEA-equivalent as determined by the Department. 
(1) The PEA or PEA-equivalent shall be performed by, or under the supervision of, any of the following: 
(A) A Class II environmental assessor registered pursuant to chapter 6.98 (commencing with section 25570) of division 20 of the Health and Safety Code; 
(B) A professional engineer registered in California; 
(C) A geologist registered in California; 
(D) A certified engineering geologist registered in California; or 
(E) A licensed hazardous substance contractor certified pursuant to chapter 9 (commencing with section 7000) of division 3 of the Business and Professions Code. A licensed hazardous substance contractor that conducts or supervises a PEA under paragraph (1), shall hold the equivalent of a degree from an accredited public or private college or university or a private postsecondary educational institution approved by the Bureau for Private Postsecondary and Vocational Education with at least 60 units in environmental, biological, chemical, physical, or soil science; engineering; geology; environmental or public health; or a directly related science field. 
(2) Any Person who conducts or supervises a PEA or PEA-equivalent under subdivision (1) shall have at least three (3) years experience in conducting those assessments; and 
(3)(A) The PEA or PEA-equivalent shall demonstrate the presence of any known or suspected release or threatened release of a Hazardous Material at the Property at concentrations that may pose a risk to public health and safety and the environment. 
(B) The Department will review the PEA or PEA-equivalent to determine whether it is adequate. 
(f) An Applicant shall provide any further information or documentation deemed necessary by the Department to determine the creditworthiness of the Applicant or the Applicant's ability to secure and repay the Loan, or the eligibility of the Property; 
(g) An Application from a Local Government Agency or Local Agency, or from a Joint Powers Authority formed pursuant to chapter 5 of division 7 of title 1 of the Government Code (commencing with section 6500) or pursuant to other California statutory authority, shall also contain the following additional information: 
(1) A description of the activities and responsibilities of the Local Government Agency or Local Agency or the Joint Powers Authority; 
(2) The annual financial operating statements for the previous three years of the Local Government Agency or Local Agency or the Joint Powers Authority; 
(3) A governing body resolution, or other documentation granting the Applicant authority to apply to the Department for a Loan; and 
(4) For a Joint Powers Authority, documentation that the Applicant is authorized to act on the behalf of the Joint Powers Authority. 
(h) If the Department determines that any document submitted in the Application, including a PEA, PEA-equivalent, or Phase I, is not adequate, the Application shall be deemed incomplete. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.21 and 25395.22, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including amendment of section, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
6. Change without regulatory effect amending subsections (a), (b)(11)(C) and (d)(3) filed 7-20-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§68206. Loan Application Process.
Note     •     History

(a) An Application may be submitted to the Department at any time; 
(b) Upon receipt of an Application, the Department will review the Application for completeness and eligibility. Upon receipt of an Application, the Department will determine whether the Application is complete, whether the Applicant is an Eligible Applicant, and whether the Property is an Eligible Property. The Applicant will be notified by certified letter of one of the following: 
(1) The Application is incomplete, with identification of the information to be included for a complete Application; or 
(2) The Applicant is ineligible or the Applicant's Property is an Ineligible Property, with identification of the steps to take to correct identified deficiencies; or 
(3) The Applicant and Applicant's Property are eligible for a Loan, and the Application is complete. 
(c) The Department may request additional information from the Applicant in order to determine whether the Applicant or the Property is eligible; 
(d) Upon determination that an Application is complete and the Applicant and Applicant's Property are eligible, Department staff will prepare an evaluation of the Application. An Application that meets all the following criteria will be recommended for approval to the Loan Committee: 
(1) The Applicant is found creditworthy, as determined by considering the following elements: 
(A) Character -- the complex mental and ethical traits marking and often individualizing a Person or group; includes history of the business, work experience of key managers, and credit reports; 
(B) Capacity -- the ability of the Applicant to operate the business successfully and generate the cash needed to repay obligations as they come due; 
(C) Capital -- Applicant's other assets on which to rely if the primary source of income is interrupted or reduced; 
(D) Collateral -- appropriate security interest in the Property pledged by the Applicant; and 
(E) Conditions -- economic and environmental influences on the Applicant's financial condition and performance. Includes the general economy, business climate, business environment, and the legal and regulatory situation. 
(2) The collateral and the source of repayment are appropriate for the Loan amount; 
(3) For a CLEAN Loan Program Loan, the Applicant has adequately demonstrated that the Response Action to be performed on the Property is necessary to address a release or threatened release of a Hazardous Material on the Property; 
(4) For a CLEAN Loan Program Loan, the Applicant has adequately demonstrated the need of the requested Loan amount for use in the project; and 
(5) For a CLEAN Loan Program Loan, the Applicant has adequately demonstrated that the total debt against the Property on which the Response Action will be taken, including the requested CLEAN Loan Program Loan, does not exceed 80 percent of the estimated value of the Property after all necessary Response Actions are complete. 
(e) If prior to making a recommendation to the Loan Committee, the Department determines that the Application does not meet the criteria in subsection (d) above, the Department may disapprove the Application and notify the Applicant in writing of the Department's determination; 
(f) An Applicant may request the Loan Committee's review of the Department's determination under subsection (e); 
(g) If the Department determines that sufficient funding to meet the demand for CLEAN Loan Program Loans and ISCP Loans will not be available in a given fiscal year, the Department shall calculate a priority score to rank each Loan Application using scales that measure the following factors:
(1) Twenty-five (25) percent of the priority score is based on the potential for the proposed Project to provide additional protection of public health and safety and the environment;
(2) Twenty-five (25) percent of the priority score is based on the potential for proposed Project to enhance strategic community development including: 
(A) Creation of new jobs; 
(B) Generation of additional tax revenue; 
(C) Likelihood that the proposed Project will stimulate additional redevelopment in adjacent areas as measured by improvement of local property values; 
(D) Degree to which implementation of the proposed Project will result in the development of new parks; 
(E) Degree to which implementation of the proposed Project will result in the development of new schools; 
(F) Degree to which implementation of the proposed Project will result in the development of affordable inner city housing and regional Infrastructure or projected regional Infrastructure needs, or otherwise promote infill development; 
(G) Economic viability of the proposed Project, including, but not limited to an analysis of the current value of the Property as compared to its projected value after all necessary Response Actions have been completed; 
(H) Ability of the Loan Applicant to successfully perform the proposed Project; 
(I) Ability of the Loan Applicant to repay the Loan; 
(J) Consideration of the number and amounts of Loans approved for the Projects located in the same area; 
(K) Likelihood that the proposed Project would be completed if the CLEAN Loan Program Loan is not made; 
(L) Ability to obtain conventional financing absent a Loan under this program. 
(3) Twenty-five (25) percent of the priority score is based on community support as demonstrated by letters of support from city, county, or other Local Agencies, residents or citizen groups, state or local elected officials, the general public, or other community groups; 
(4) Twenty-five (25) percent of the priority score is based on financial support as demonstrated by approved loans, letters of commitments from other financial sources, and commitments for in-kind support from Local Agencies and citizen groups, or funding as set fort in paragraph (2) of subdivision (c) of section 25395.23 of the Health and Safety Code. 
(h) The Department staff may recommend that the amount of Loan funding requested in an Application be approved in whole or in part. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.21, 25395.22, 25395.23, 25395.27 and 25395.28, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including amendment of section and Note, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
6. Change without regulatory effect amending subsection (g)(1) filed 7-20-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§68207. Administering Agency.
Note     •     History

(a) The Department will be the Administering Agency for all Properties that are the subject of an ISCP Loan. For Properties that are the subject of a CLEAN Loan Program Loan Application, the following apply: 
(1) For Applications for CLEAN Loan Program Loans, the Department will provide written notice of the receipt of the Application to the State Board for any Application that indicates the Property contains a Leaking Underground Fuel Tank and to the Regional Board for any Property within the Regional Board's jurisdiction; 
(2) For an Application for a CLEAN Loan Program Loan for a Property that is subject to a release from a Leaking Underground Fuel Tank and the release is the principal threat at that Property as determined by the Department, the State Board and the Regional Board, the Department will be the Administering Agency unless one of the following occurs: 
(A) The State Board responds in writing to the Department within 20 working days of receipt of the notice under paragraph (1) and indicates that a Local Oversight Program Agency intends to oversee the Response Action on the Property because the site was subject to oversight by the Local Oversight Program Agency prior to the date the Application was submitted or; 
(B) The Regional Board responds in writing to the Department within 20 working days of receipt of the notice under paragraph (1) and indicates that the Regional Board intends to oversee the Response Action on the Property because the site was not subject to oversight by a Local Oversight Program Agency prior to the date the Application was submitted.
(3) For an Application for a CLEAN Loan Program Loan for a Property that is subject to one or more of the orders or agreements specified in subdivision (b)(1) of section 25395.28 of the Health and Safety Code prior to the date the Application was submitted, the Department will be the Administering Agency unless the Regional Board responds in writing to the Department within 20 working days of receipt of the notice under paragraph (2) and indicates that the Regional Board intends to oversee the Response Action on the Property because the site is subject to one or more of the orders or agreements specified in subdivision (b)(1) of section 25395.28 of the Health and Safety Code. 
(b) The State Board and a Regional Board, in consultation together with the Department, may request the Department to be the Administering Agency for a Property subject to section 25395.28 of the Health and Safety Code;
(c) Notwithstanding paragraph (3) of subdivision (a), if a Regional Board has issued a Cleanup and Abatement Order or other cleanup order or has entered into a written voluntary agreement for a site and the Department has issued an order or entered into an enforceable agreement under chapter 6.5 (commencing with section 25100) of the Health and Safety Code or chapter 6.8 (commencing with section 25300) of the Health and Safety Code) for the same site, the Regional Board and the Department will determine whether the Regional Board or the Department will be the Administering Agency. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.21, 25395.22, 25395.23, 25395.27 and 25395.28, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 68207 to section 68208 and new section filed 8-5-2002; operative 8-5-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 32).
6. Change without regulatory effect amending subsections (a)(1), (a)(2)(B) and (b) filed 7-20-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§68208. Loan Committee Review Process.
Note     •     History

(a) The Loan Committee will meet monthly or as needed to act on Applications submitted under section 68206 and requests submitted under subdivision (f) of section 68206; 
(b) The Loan Committee will recommend approval or disapproval of the Application based on: 
(1) The Applicant's financial soundness; and 
(2) The Applicant's ability to meet the criteria of subdivision (d) of section 68206. 
(c) The Loan Committee may recommend that the amount of Loan funding requested in an Application be approved in whole or in part; 
(d) The Loan Committee will forward its recommendation to the Director for a final determination under section 68209; and 
(e) The Loan Committee will review a written request for partial waiver of ISCP Loan repayment under section 68204 and will make a recommendation to the Director or the Director's designated representative to approve or disapprove the request for waiver. Program staff will notify the Borrower submitting the request for waiver whether the request for waiver is approved or disapproved. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.21, 25395.22 and 25395.23, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including renumbering of former section 68208 to section 68209 and renumbering and amendment of former section 68207 to section 68208, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
6. Change without regulatory effect amending subsection (e) filed 7-20-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§68209. Approval of Loan Applications.
Note     •     History

(a) The Loan Committee will submit its recommendation for approval or disapproval of the Application to the Director or the Director's designated representative. The Director or the Director's designated representative may: 
(1) Approve the Application for the full or partial amount of funding, or 
(2) Disapprove the Application if the Director, or the Director's designated representative, determines that the Application does not meet one or more of the requirements of this article or article 8.5 of chapter 6.8 of division 20 of the Health and Safety Code.
(b) Upon final approval, the Department and the Applicant shall enter into a Loan Agreement meeting the requirements of section 68210. The amount of funds disbursed and the schedule for disbursement shall be specified in the Loan Agreement. Loan funds shall not be disbursed until a Loan Agreement with the Department is executed in accordance with section 68210 and the appropriate oversight agreement with the Administering Agency is executed; and 
(c) Upon the initial disbursement of funds, the Department will notify the Site Designation Committee which agency is the Administering Agency for a Property that is the subject of a CLEAN Loan Program Loan; 
(d) The Department's approval of a Loan Application under subdivision (a) will be in effect for a period of 90 days. The Department may extend the Loan approval period for good cause for an additional 90 days or for a different time period as agreed in writing by the Department and the Applicant. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.21, 25395.22, 25395.23, 25395.27 and 25395.28, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including renumbering of former section 68209 to section 68210 and renumbering of former section 68208 to section 68209 with amendment of section heading, section and Note, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
6. Change without regulatory effect amending subsections (a) and (a)(2) filed 7-20-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§68210. Loan Agreement.
Note     •     History

(a) The Department and Applicant shall execute a Loan Agreement upon final approval of the Loan Application and before fund disbursement; 
(b) Each Loan Agreement shall include, at a minimum, the following: 
(1) The amount of the Loan; 
(2) Payment and prepayment information; 
(3) The interest rate and default rate of the Loan as specified in section 68203; 
(4) The terms of repayment as specified in subdivision (e);
(5) For a CLEAN Loan Program Loan, a description of the Eligible Property securing the Loan or alternative form of security approved by the Department; 
(6) Verification that an ISCP Environmental Oversight Agreement or a CLEAN Loan Program Response Action Agreement or other enforceable agreement with the State Board or a Regional Board, as appropriate, has been fully executed in accordance with section 68211 before fund disbursement; 
(7) For a CLEAN Loan Program Loan, agreement regarding completion of Response Actions in accordance with subdivision (f); 
(8) For an ISCP Loan, agreement that the Borrower shall provide any and all PEA results to the Department;
(9) Timeframes for complying with the conditions of the Loan Agreement and any special conditions that must be satisfied prior to, or covenants that must be complied with after, the disbursement of funds; 
(10) Provision that any remaining unpaid amount of the Loan, with accrued interest, shall be immediately due and payable upon determination by the Department that: 
(A) There has been a default, including that the Borrower has failed to comply with the Loan Agreement or other condition of default; 
(B) Any information provided by the Borrower is found to be untrue. The Department may agree to a schedule for repayment under this paragraph (10); 
(11) Provision that the Borrower agrees to waive any claims against, and to indemnify and hold harmless, the State of California, including the Department, the State Board or a Regional Board, from and against any and all claims, costs, and expenses stemming from Operation and Maintenance or environmental degradation at the Property; 
(12) Proof of adequate liability insurance for the Borrower, including coverage for personal injury and property damage, naming the Department as loss payee, and when appropriate, naming the Department as additional insured, up to the amount of the Loan; 
(13) Proof of secured creditor insurance as required under subdivision (c) of section 25395.25 of the Health and Safety Code; 
(14) Provision that if the Borrower is not the owner of the Property, but intends to purchase the Property before the Loan is satisfied, the purchase price of the Property shall not exceed its estimated current fair market value, which is based on the estimated value of the Property in a cleaned up state, not taking into consideration any necessary Response Action that may be conducted on the Property; 
(15) For a CLEAN Loan Program Loan, provision that the Loan is secured by the Property, or is secured by an alternative form of security approved by the Department, and in accordance with the provisions of section 25395.26 of the Health and Safety Code; 
(16) Provision that if the Borrower recovers from a responsible party any costs incurred in taking a Response Action at the Property, any money so recovered shall be used first to repay the ISCP and CLEAN Loan Program Loans and to repay monies waived under subdivision (c) of section 68204. A Borrower is not required to first use the money recovered to repay the Loan if the Borrower can demonstrate to the satisfaction of the Department that the recovered money is necessary to, and is being applied to, the total environmental remediation of the Property, and that the total of the recovered money and the Loan amount does not exceed the cost of remediation; 
(17) Identification of the Property owner and any options to purchase the Property held by any party; 
(18) For a CLEAN Loan Program Loan, if the Borrower uses Loan funds to pay the premium for environmental insurance products approved by the Department to facilitate development of the site, provision describing the type and limits of insurance coverage and demonstration that the insurance products meet the requirements of subdivision (a) of section 25395.22 of the Health and Safety Code;
(19) Provision that the Loan shall not be used to pay Ineligible Costs; and 
(20) Any other provision to which the parties agree. 
(c) The Department may foreclose on Property or on the alternative to a security interest. Any funds received through a foreclosure or through the enforcement of any other security interest shall be deposited in the Account;
(d) Except as specified in section 25395.28 of the Health and Safety Code, any Response Action carried out at a Property under the CLEAN Loan Program shall be conducted in accordance with the requirements of chapters 6.65 and 6.8 of division 20 of the Health and Safety Code;
(e) The terms of Loan repayment are as follows: 
(1) The repayment period for an ISCP Loan shall begin six (6) months after disbursement of the ISCP Loan funds. The repayment period shall not exceed three (3) years; 
(2) The repayment period for a CLEAN Loan Program Loan shall begin upon certification or completion of the Response Action or two (2) years after initial disbursement of the CLEAN Loan Program Loan funds, whichever comes first. The repayment period shall not exceed seven (7) years; 
(3) If the Loan is to a Local Government Agency or Local Agency, or to a developer or prospective purchaser acting together with a Local Government Agency or Local Agency pursuant to an enforceable agreement, the Department may delay the beginning of the Loan repayment period for not more than the maximum allowable length of the Loan; 
(4) If the Administering Agency, or Department if the Department is not the Administering Agency, determines that the Borrower is not making sufficient progress in completing the PEA or Response Action, as appropriate, the Department may require Loan repayment to begin immediately or may determine that the Borrower is in default; 
(5) If the Borrower of an ISCP Loan decides not to complete the PEA, the Borrower shall notify the Department in writing of that decision and shall submit to the Department all data, documents, reports, and other information regarding the PEA performed prior to the notification. Repayment of the disbursed Loan amount shall begin immediately. A Borrower that does not complete a PEA is not eligible for a partial waiver of Loan repayment under section 68204. 
(f) For CLEAN Loan Program Loans, the Loan Agreement provision regarding completion of Response Actions shall include the following: 
(1) For a Borrower of a CLEAN Loan Program Loan that is a responsible party as defined in section 25323.5 of the Health and Safety Code or a Person subject to regulation under chapter 6.7 (commencing with section 25280) or chapter 6.75 (commencing with section 25299.10) of the Health and Safety Code, agreement to complete all Response Actions as approved by the Administering Agency, even if the Loan amount does not cover the full cost of the Response Action; 
(2) For a Borrower of a CLEAN Loan Program Loan that is not a responsible party as defined in section 25323.5 of the Health and Safety Code, agreement to immediately notify the Administering Agency and the Department, if the Department is not the Administering Agency, if: 
(A) New information shows that the cost of completing the Response Action will exceed the cost originally projected by the Borrower, and 
(B) The Borrower has determined that the Project is no longer economically feasible because the sum of the cost of the Response Action and the current appraised fair market value of the Property is greater than the projected fair market value of the Property after all necessary Response Actions have been completed. 
(3) If the Borrower notifies the Administering Agency and the Department under paragraph (2), the Borrower shall: 
(A) Provide to the Administering Agency documentation of the cost of Response Action and the current and projected appraised fair market values under paragraph (2); 
(B) Begin repayment of the Loan or the Loan amount disbursed to date immediately; 
(C) Submit to the Administering Agency all data, documents, reports and other information regarding the Response Action activities on the Property; and 
(D) Perform those actions required by the Administering Agency to ensure that the Property will pose no immediate public health or environmental risks and that the Property will not remain in a condition that is visually less attractive than its original condition. 
(4) Documentation of the cost of the Response Action submitted by a Borrower under subparagraph (3)(A) shall be prepared by any of the following who are licensed or registered to practice in California and who have demonstrated expertise in Hazardous Material remediation and cost estimation: Class II environmental assessor, engineering geologist, licensed hazardous substance contractor, or licensed professional engineer. An affidavit may be submitted in lieu of a cost documentation report if the affidavit is signed by a person authorized under this subparagraph to prepare a cost documentation report. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.20, 25395.21, 25395.22, 25395.25, 25395.28 and 25395.31, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including renumbering of former section 68210 to section 68211 and renumbering of former section 68209 to section 68210 with amendment of section and Note, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
6. Change without regulatory effect amending subsections (b)(4), (b)(8), (b)(13), (b)(18) and (c)-(d) filed 7-20-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§68211. ISCP Environmental Oversight Agreements; CLEAN Loan Program Response Action Agreements or Equivalent Agreements.
Note     •     History

(a) ISCP Environmental Oversight Agreements, CLEAN Loan Program Response Action Agreements, and enforceable agreements with the State Board or a Regional Board under subdivision (h) of section 25395.28 of the Health and Safety Code, shall contain, at a minimum, the following: 
(1) Identification of parties entering into the agreement; 
(2) Description of the Property subject to the agreement, and description of any environmental assessment or other Response Action activities previously performed on the Property; 
(3) If the Property is part of a larger site where there is known or suspected release or threatened release of a Hazardous Material, description of the site and nature and extent of any known or suspected release or threatened release of a Hazardous Material on the site; 
(4) Description of the work that will be performed using Loan funds, including a detailed scope of work, schedules, public participation activities, quality assurance/quality control plans, and health and safety plans; 
(5) Provision that the Borrower shall reimburse the Administering Agency's costs for oversight of the preparation and approval of a PEA or PEA-equivalent site assessment, or Response Action, as appropriate and as specified under section 25395.28 of the Health and Safety Code, on any portion of the Property where the work that is performed is not funded by Loan funds; 
(6)(A) For ISCP Loans, provision for the Department's approval of the PEA, and any reports, plans, schedules, or other documents submitted under the agreement, including provisions regarding any Department-required modifications to submittals; 
(B) For CLEAN Loan Program Loans, provision for the Administering Agency's approval of any Response Actions and any reports, plans, schedules, or other documents submitted under the agreement, including provisions regarding any modifications to submittals required by the Administering Agency; 
(7) Provision regarding actions to be taken in the event of endangerment during implementation of work on the Property; 
(8) Provision regarding Administering Agency and Department, if the Department is not the Administering Agency, access to the Property; 
(9) Provision regarding sampling, data, and document availability and preservation; 
(10) Provision regarding notifications of field activities and any condition posing an immediate threat to public health or safety or the environment on the Property; 
(11) Provision regarding the Borrower's liability related to activities on the Property; 
(12) For ISCP Loans, provision regarding the Department's oversight costs for the preparation and approval of a PEA on the Property required by the Department, and for CLEAN Loan Program Loans, provision regarding the Administering Agency's costs for oversight of any Response Action on the Property:
(A) A Borrower is liable for paying the Administering Agency's oversight costs pursuant to section 25395.28 of the Health and Safety Code, associated with the oversight of the preparation and approval of the PEA or the Response Action unless the Department determines there are sufficient funds in the Account to reimburse the Administering Agency for that oversight; 
(B) If the Department determines that the Account has insufficient funds to pay for the oversight costs associated with the oversight of the preparation and approval of the PEA or the Response Action, the Borrower shall pay the Administering Agency's costs as specified under section 25395.28 of the Health and Safety Code. If the Department makes a determination that the Account has insufficient funds to pay for the oversight costs after a Loan Agreement has been executed, the Department will notify the Borrower that the Borrower will be billed for the Administering Agency's oversight costs as specified under section 25395.28 of the Health and Safety Code, that are not reimbursed from the Account; 
(C) The Department shall reimburse the State Board or Regional Board only if the conditions in 25395.28(g) are met; and 
(13) Any other provisions as agreed by the parties determined to be necessary by the Administering Agency. 
(b) An ISCP Environmental Oversight Agreement shall also include, at a minimum, the following: 
(1) Requirement to conduct the PEA in accordance with the Department's guidelines as specified in paragraphs (1)-(3) of subdivision (d) of section 68205; 
(2) Requirement that the Borrower shall complete the PEA for the Property even if the Loan amount does not finance the complete cost of the PEA or shall meet the requirements of paragraph (5) of subdivision (e) of section 68210 if the Borrower decides not to complete the PEA; 
(3) Agreement by the Borrower to provide any and all PEA results to the Department if the Borrower does not proceed with the Project. 
(c) A CLEAN Loan Program Response Action Agreement shall also include, at a minimum, the following: 
(1) Identification of the Project Coordinator and description of the Project Coordinator's qualifications; 
(2) Scope of work that includes tasks needed to complete all Response Actions for the Property including Operation and Maintenance and land use restrictions, if applicable; 
(3) Requirement that work undertaken on the Property shall be conducted by a qualified Project Coordinator with expertise in Hazardous Materials site investigation and cleanup and that all engineering and geological work shall be conducted in conformance with applicable State laws including, but not limited to, Business and Professions Code sections 6735 and 7835; 
(4) In order to provide for the possibility that the Loan amount may not cover the full cost of the Response Action: 
(A) For a Borrower that is a responsible party as defined in section 25323.5 of the Health and Safety Code, a requirement to complete all Response Actions for the Property even if the Loan amount does not finance the complete cost of the Response Action; or 
(B) For a Borrower that is not a responsible party as defined in section 25323.5 of the Health and Safety Code or a Person subject to regulation under chapter 6.7 (commencing with section 25280) or chapter 6.75 (commencing with section 25299.10) of the Health and Safety Code, a provision regarding the requirements of paragraph (2) of subdivision (f) of section 68210 if the Borrower notifies the Administering Agency and the Department the Borrower has determined the Project is no longer economically feasible; 
(5) Provision for all removal actions, remedial actions, California Environmental Quality Act documentation, remedial design and implementation, and any other activities necessary for the Administering Agency's approval of the Response Action. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.21, 25395.25, 25395.27, 25395.28 and 25395.31, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including renumbering of former section 68211 to section 68212 and renumbering of former section 68210 to section 68211 with amendment of section heading, section and Note, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
6. Change without regulatory effect amending subsection (a)(12) filed 7-20-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§68212. Compliance.
Note     •     History

(a) The Borrower shall comply with all federal, State, and local laws, ordinances, regulations and permits that apply to the procurement and management of consultant services and contracts related to correcting existing or possible non-compliance problems; 
(b) Administering Agency and Department, if the Department is not the Administering Agency, staff may conduct field inspections during the Project to verify compliance with the approved plans, specifications, and terms of the Loan Agreement, the ISCP Environmental Oversight Agreement, the CLEAN Loan Program Response Action Agreement, or other enforceable agreements with the State Board or a Regional Board; 
(c) The Borrower shall provide quarterly site reports indicating work completed on the Property, work in process, and Project expenditures; 
(d) The Borrower shall maintain records in accordance with generally accepted accounting standards and with the CLEAN Loan Program Response Action Agreement and ISCP Environmental Oversight Agreement, including all Project expenditures and disbursements; and 
(e) The Borrower shall comply with all terms and conditions of the CLEAN Loan Program Response Action Agreement and ISCP Environmental Oversight Agreement or other enforceable agreement with the State Board or a Regional Board. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.21, 25395.22, 25395.23, 25395.27 and 25395.28, Health and Safety Code. 
HISTORY

1. New section filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including renumbering of former section 68212 to section 68213 and renumbering of former section 68211 to section 68212 with amendment of section and Note, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
§68213. Program Administration.
Note     •     History

Condition of the Loan, Loan Processes, Repayment, and Loan Closing Functions will be governed and administered by the Department. 
NOTE

Authority cited: Sections 25150, 25351.5, 25295.29 and 58012, Health and Safety Code. Reference: Sections 25395.21 and 25395.22, Health and Safety Code. 
HISTORY

1. New section and appendix 1 filed 1-18-2001 as an emergency; operative 1-18-2001 (Register 2001, No. 3). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 7-17-2001 or emergency language will be repealed by operation of law on the following day.
2. New section and appendix 1 refiled 7-6-2001 as an emergency; operative 7-18-2001 (Register 2001, No. 27). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 1-14-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-6-2001 order transmitted to OAL 1-14-2002; Certificate of Compliance withdrawn from review 2-27-2002. Repealed by operation of Government Code section 11346.1(g) (Register 2002, No. 9).
4. New section and appendix 1 filed 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). Pursuant to Health and Safety Code section 25395.29, a Certificate of Compliance must be transmitted to OAL by 8-28-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-31-2002 order, including renumbering of former section 68213 and Appendix 1 to section 68214 and renumbering and amendment of former section 68212 to section 68213, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
§68214. Auditing of Expenditure of Loan Proceeds.
Note     •     History

(a) The Department, Department of Finance, State Controller or State Auditor, or their designated representatives, may audit the expenditure of the proceeds of any Loan disbursed under this article; and 
(b) The Borrower shall allow the Administering Agency and the Department, if the Department is not the Administering Agency, and other State agencies, including the State Controller and the State Auditor, or their designated representatives, absolute right of access to all of the Borrower's records pertaining to the Loan Agreement. Any portion of the Borrower's records requested shall be made available to the designated auditors upon request. The Borrower shall retain all relevant financial records for at least three (3) years after termination of the Loan Agreement, or until completion of actions and resolution of all issues that may arise as a result of any litigation, claim, negotiation or audit concerning the Loan Agreement, ISCP Environmental Oversight Agreement, or CLEAN Loan Program Response Action Agreement or other enforceable agreement required by the Administering Agency, whichever is later. 
NOTE

Authority cited: Sections 25150, 25351.5, 25395.29 and 58012, Health and Safety Code. Reference: Sections 25395.21, 25395.22, 25395.27 and 25395.28, Health and Safety Code. 
HISTORY

1. Certificate of Compliance as to 3-31-2002 order, including renumbering and amendment of former section 68213 and Appendix 1 to section 68214, transmitted to OAL 6-21-2002 and filed 8-5-2002 (Register 2002, No. 32).
2. Change without regulatory effect amending first paragraph of Appendix 1 filed 7-20-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).

Appendix 1 to Chapter 47, Article 1

“Urbanized Areas” 

Subdivision (ss) of section 68202 defines “Urban Area” to include urbanized areas. This Appendix further describes urbanized areas in California. 

On March 9, 1992, the United States Census Bureau published in the Federal Register the list of urbanized areas that qualified based on the results of the 1990 Census. (57 Fed. Reg. 8386 (1992))  

According to the United States Census Bureau, an urbanized area comprises one or more places and the adjacent densely settled surrounding territory that together have a minimum of 50,000 people. A central place and an urban fringe together make up an urbanized area. The urban fringe generally consists of contiguous territory with a density of at least 1,000 people per square mile. Additional territory may qualify as urban fringe (e.g. if there is a road connection from a densely populated area to a central place). The complete criteria are available from the Chief, Geography Division, U.S. Bureau of the Census, Washington, DC 20233. 

There are 38 urbanized areas in California. These are: 

Antioch-Pittsburg 	Riverside-San Bernardino 

Bakersfield 	Sacramento 
Chico 	Salinas 
Davis 	San Diego 
Fairfield 	San Franciso-Oakland 
Fresno 	San Jose 
Hemet-San Jacinto 	San Luis Obispo 
Hesperia-Apple Valley-Victorville 	Santa Barbara 
Indio-Coachella 	Santa Cruz 
Lancaster-Palmdale 	Santa Maria 
Lodi 	Santa Rosa 
Lompoc 	Seaside-Monterey 
Los Angeles 	Simi Valley 
Merced 	Stockton 
Modesto 	Vacaville 
Napa 	Visalia 
Oxnard-Ventura 	Watsonville 
Palm Springs 	Yuba City 
Redding 	Yuma AZ-CA (California portion only)
Article 2. Groundwater Remediation Loan Program
§68300. Definitions.
Note     •     History

Unless the context indicates otherwise and except as provided in this section, the definitions set forth in Chapter 6.8, Division 20, of the Health and Safety Code (commencing with section 25300) govern the interpretation of this Article. For purposes of this Chapter, the following definitions apply: 
(a) “Applicant” means one of the following that has submitted an application package for a loan (1) a city, town, district, county, or other public body (including an intermunicipal agency of two or more of the foregoing entities) created under State law, or (2) an Indian tribe or authorized Indian tribal organization having jurisdiction over disposal of sewage, industrial wastes, or other waste, or (3) a designated and approved management agency under section 208 of the Federal Clean Water Act applying for a State Revolving Fund (SRF) loan, or (4) a local public agency with specific authority to conduct groundwater remediation projects. 
(b) “EPA” means the United States Environmental Protection Agency. 
(c) “Department” means the Department of Toxic Substances Control. 
(d) “Groundwater Remediation Project” means actions that are necessary to prevent, minimize, or mitigate damage that may result from a release or threatened release of a hazardous substance to groundwater and that, when carried to completion, allows the groundwater to be permanently used for its planned use without any significant risk to human health or significant potential for future environmental damage or for designated beneficial uses. 
(e) “Loan” means a loan from the State Revolving Fund Loan Subaccount for the purposes of providing loans under Article 3, section 79133 of the Water Code. 
(f) “Loan Agreement” means the written agreement between the applicant and the Department made in accordance with Section 68305. 
(g) “Site Coordinator” means the person or persons with demonstrated expertise and experience in planning, designing, constructing, and operating groundwater remediation projects and who have been identified as responsible for managing the groundwater remediation project. 
NOTE

Authority cited: Sections 25150 and 25351.5, Health and Safety Code; and Section 79133, Water Code. Reference: Section 79133, Water Code.
HISTORY

1. New article 2 (sections 68300-68309) and section filed 6-25-2001 as an emergency; operative 6-25-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 68300-68309) and section refiled 10-2-2001 as an emergency; operative 10-24-2001 (Register 2001, No. 40). A Certificate of Compliance must be transmitted to OAL by 2-21-2002 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 68300-68309) and section refiled 2-13-2002 as an emergency; operative 2-13-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-13-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-13-2002 order transmitted to OAL 2-28-2002 and filed 4-8-2002 (Register 2002, No. 15).
§68301. Loan Eligibility.
Note     •     History

The applicant must demonstrate, through the loan application process, that the groundwater in the area of the proposed groundwater remediation project poses a risk or potential risk to public health and the environment due to the release of hazardous substances. 
Additionally, the applicant will need to show repayment ability based on the historical financial statements and/or income tax returns. 
NOTE

Authority cited: Sections 25150 and 25351.5, Health and Safety Code; and Section 79133, Water Code. Reference: Section 79133, Water Code.
HISTORY

1. New section filed 6-25-2001 as an emergency; operative 6-25-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-2-2001 as an emergency; operative 10-24-2001 (Register 2001, No. 40). A Certificate of Compliance must be transmitted to OAL by 2-21-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-13-2002 as an emergency; operative 2-13-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-13-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-13-2002 order transmitted to OAL 2-28-2002 and filed 4-8-2002 (Register 2002, No. 15).
§68302. Priority Ranking Criteria.
Note     •     History

The Department shall prioritize projects for each fiscal year using the following criteria: 
(a) The Groundwater Remediation Loan Program application package is received by August 30 and deemed complete. 
(b) Sites listed pursuant to section 25356 of the Health and Safety Code. 
(c) Sites listed on the State Water Resources Control Board's Statewide Project Priority List. 
(d) The readiness of the loan applicant to proceed with the groundwater remediation project. 
(e) Scope of project including (1) the degree to which the groundwater supply has been impacted, such as being taken out of service, and (2) the extent to which remediation will prevent migration of contaminants. 
(f) Number of users affected. 
(g) Effectiveness of the groundwater remediation project, including the amount of water to be treated and made available for use. 
NOTE

Authority cited: Sections 25150 and 25351.5, Health and Safety Code; and Section 79133, Water Code. Reference: Section 79133, Water Code. 
HISTORY

1. New section filed 6-25-2001 as an emergency; operative 6-25-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-2-2001 as an emergency; operative 10-24-2001 (Register 2001, No. 40). A Certificate of Compliance must be transmitted to OAL by 2-21-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-13-2002 as an emergency; operative 2-13-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-13-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-13-2002 order transmitted to OAL 2-28-2002 and filed 4-8-2002 (Register 2002, No. 15).
§68303. Application Content.
Note     •     History

Application packages shall contain the following information: 
(a) Applicant /Site Coordinator Information: 
(1) The applicant's name, address, and phone number. 
(2) The site coordinator's name, address, and phone number, if it is different from the applicant's. Also attach resume of the applicant's site coordinator. 
(3) A certified copy of a resolution adopted by the governing authority of the applicant agency that authorizes a representative (by title) to act on behalf of the applicant agency to sign documents such as contracts, disbursement requests, as well as assure compliance with applicable state statutory and regulatory requirements. 
(4) A certified copy of a resolution adopted by the governing authority of the applicant agency that specifies the authorized loan amount for the applicant agency. 
(5) Applicant's relationship to the project site. 
(6) Description of local government or agency's activities and responsibilities. 
(7) Current property owner's name, addresses and phone number. 
(8) List technical support personnel (by classification) who will be working on the project. 
(9) A letter requesting consideration for available loan funds with the signature of the applicant/authorized representative. 
(b) Project/Site Information: 
(1) Proposed location of the remediation work, including a legal description of the property boundaries and assessor's parcel number(s). 
(2) Description of current project site use. 
(3) Project description of overall areas impacted and Statement of Work. If the treated groundwater is to be returned to aquifers, the application shall include a list of public water systems that use the affected aquifers as sources of drinking water, and the means by which the applicant shall inform those water systems of the project. 
(4) Brief analysis of engineering/project alternatives considered and an explanation of why the proposed project description was chosen. 
(5) List of previous uses of the project site. 
(6) Applicant's prior experience in implementing similar groundwater remediation projects. 
(7) Applicant's ability to obtain the necessary permits if treated groundwater is reused for drinking water supply. (If the treated groundwater is to be directly used for drinking water supply, then the applicant must comply with the requirements of the Department of Health Services and seek the appropriate permits.) 
(8) Information regarding the impacts that the project site conditions or the proposed response actions may have on: the geological features of the project site; land use planning; public health and safety; the local population and housing in the vicinity of the project site; water quality; air quality; traffic and transportation; ecological and biological resources; energy and mineral resources; noise levels; public service systems and utilities; local aesthetics; cultural resources; and recreation. The proposed groundwater remediation project must comply with the California Environmental Quality Act (CEQA) in accordance with section 21000-21178 of the Public Resources Code and the State CEQA guidelines (14 CCR 15000-15387). 
(9) A proposed project timeline with dates that show the beginning and ending date for the various phases of work identified in the Statement of Work. 
(c) Financial Information/Project Costs: 
(1) Supporting documentation concerning source of loan repayment, including but not limited to annual financial operating statements. 
(2) Information on existing bank loans and other types of debt, including names of bank officers and officials and contact information as appropriate. Provide documentation indicating the ability of the applicant to repay the loan and to obtain conventional financing absent a loan under this program. 
(3) An ordinance or resolution committing a source or sources of funds for repayment. The ordinance or resolution shall contain language equivalent to the following: “The (name of agency) hereby dedicates the following source of revenue (list source or sources) for repayment of any and all groundwater remediation loans on the project (identify the project name) to be funded through the Groundwater Remediation Loan Program.”
(4) Estimate of project costs. 
(d) Any further information or documentation deemed necessary by the Department to determine the credit worthiness of the applicant or the applicant's ability to secure and repay the loan. 
NOTE

Authority cited: Sections 25150 and 25351.5, Health and Safety Code; and Section 79133, Water Code. Reference: Section 79133, Water Code.
HISTORY

1. New section filed 6-25-2001 as an emergency; operative 6-25-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-2-2001 as an emergency; operative 10-24-2001 (Register 2001, No. 40). A Certificate of Compliance must be transmitted to OAL by 2-21-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-13-2002 as an emergency; operative 2-13-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-13-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-13-2002 order transmitted to OAL 2-28-2002 and filed 4-8-2002 (Register 2002, No. 15).
§68304. Application Process.
Note     •     History

(a) An applicant may apply for a loan for a groundwater remediation project by submitting a completed Groundwater Remediation Loan package to the Department by August 30 of any fiscal year. The Department may disburse loans until the approximately seven million dollars ($7,000,000) of Water Bond Act funding, less administrative costs, is expended. 
(b) The Department will make a determination by August 30 of each fiscal year whether Water Bond Act funds are available under section 79133 of the Water Code. The determination will also include the funding level available. 
(c) The Groundwater Remediation Loan package sets forth the information required by the Department to determine if the groundwater remediation project is eligible for funding under section 79133 of the Water Code. The Department will not consider the application complete until all required information is received. 
(d) The Groundwater Remediation Loan package shall be signed by a legally authorized representative of the applicant and submitted to the California Environmental Protection Agency, Department of Toxic Substances Control. Application packages may be mailed to the Department at P.O. Box 806, Sacramento, California 95812-0806. The applicant shall provide the Department with three (3) copies of the application package with original signatures and all accompanying support documentation. 
(e) Staff will review each application package for completeness and determine whether the applicant and the applicant's project are eligible to receive loan funding under section 79133 of the Water Code, including credit worthiness of the applicant. Within sixty (60) days of receiving an application, Department staff will notify the applicant by letter of one of the following: 
(1) The applicant or the applicant's project is ineligible for a loan. If the applicant or the applicant's project is determined to be ineligible, the reasons for the Department's determination will be provided in writing to the applicant. The applicant will have 10 days to submit additional information needed, if such information may make the project eligible; or 
(2) The application package is incomplete. If the package is determined to be incomplete, the Department will specify the steps in writing, if any, that the applicant may take to correct identified deficiencies. The applicant will have 10 days to submit additional information needed to complete the application package, or 
(3) The applicant and applicant's project are eligible for a loan. 
(f) Upon the Department's determination that the loan application package is complete, the package will be considered for prioritization with other eligible projects. The eligible loan application packages will be ranked each fiscal year based on criteria established in Section 68302, Priority Ranking Criteria. 
(g) Applicants will be notified in writing when their projects are approved for loan funding. 
NOTE

Authority cited: Sections 25150 and 25351.5, Health and Safety Code; and Section 79133, Water Code. Reference: Section 79133, Water Code.
HISTORY

1. New section filed 6-25-2001 as an emergency; operative 6-25-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-2-2001 as an emergency; operative 10-24-2001 (Register 2001, No. 40). A Certificate of Compliance must be transmitted to OAL by 2-21-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-13-2002 as an emergency; operative 2-13-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-13-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-13-2002 order transmitted to OAL 2-28-2002 and filed 4-8-2002 (Register 2002, No. 15).
§68305. Loan Agreement.
Note     •     History

The Department and the applicant shall enter into a loan agreement after approval of the loan. Each loan agreement shall include at a minimum the following terms and conditions: 
(a) The interest rate of the loan as specified in Section 68307. 
(b) The term of repayment for a loan as specified in Section 68308. 
(c) The legal description of the property(ies) where the groundwater remediation project is to occur. 
(d) Agreement that the applicant shall complete all activities outlined in the applicant's Statement of Work, as determined to be appropriate by the Department. 
(e) Time frames for complying with the conditions of loan closing: 
(1) Any special conditions that must be satisfied prior to closing, and 
(2) Any covenants that must be complied with after the disbursement of funds. 
(f) Identification of what is considered an event of default, including the provisions in subsections (1) and (2) below. A default will result in any remaining unpaid amount of the loan, with accrued interest, to be immediately due and payable, upon determination by the Department that: 
(1) The applicant has failed to comply with the loan agreement. 
(2) Any information provided by the applicant is untrue. 
(g) A provision that the applicant agrees to waive any claims against, and hold harmless, the State of California, including the Department and the State Water Resources Control Board, from and against any and all claims, costs, and expenses stemming from operation, maintenance, or environmental degradation at the site. 
(h) Proof of insurance for the applicant, naming the Department and the State Water Resources Control Board as loss payee, up to the amount of the loan. 
NOTE

Authority cited: Sections 25150 and 25351.5, Health and Safety Code; and Section 79133, Water Code. Reference: Section 79133, Water Code.
HISTORY

1. New section filed 6-25-2001 as an emergency; operative 6-25-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-2-2001 as an emergency; operative 10-24-2001 (Register 2001, No. 40). A Certificate of Compliance must be transmitted to OAL by 2-21-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-13-2002 as an emergency; operative 2-13-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-13-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-13-2002 order transmitted to OAL 2-28-2002 and filed 4-8-2002 (Register 2002, No. 15).
§68306. Loan Administration.
Note     •     History

Condition of the loan, loan processes, repayment, and loan closing functions shall be governed and administered by the Department or the State Water Resources Control Board through a memorandum of understanding. 
NOTE

Authority cited: Sections 25150 and 25351.5, Health and Safety Code; and Section 79133, Water Code. Reference: Section 79133, Water Code.
HISTORY

1. New section filed 6-25-2001 as an emergency; operative 6-25-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-2-2001 as an emergency; operative 10-24-2001 (Register 2001, No. 40). A Certificate of Compliance must be transmitted to OAL by 2-21-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-13-2002 as an emergency; operative 2-13-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-13-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-13-2002 order transmitted to OAL 2-28-2002 and filed 4-8-2002 (Register 2002, No. 15).
§68307. Interest Rate.
Note     •     History

To the extent permitted by federal law, the interest rate shall be set at a rate equal to 50 percent of the interest rate paid by the State on the most recent sale of State general obligation bonds and the interest rate shall be computed according to the true interest cost method. 
NOTE

Authority cited: Sections 25150 and 25351.5, Health and Safety Code; and Section 79133, Water Code. Reference: Sections 13480 and 79133, Water Code.
HISTORY

1. New section filed 6-25-2001 as an emergency; operative 6-25-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-2-2001 as an emergency; operative 10-24-2001 (Register 2001, No. 40). A Certificate of Compliance must be transmitted to OAL by 2-21-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-13-2002 as an emergency; operative 2-13-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-13-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-13-2002 order transmitted to OAL 2-28-2002 and filed 4-8-2002 (Register 2002, No. 15).
§68308. Loan Repayment.
Note     •     History

The Department's Groundwater Remediation Loan Program will provide loans for groundwater remediation projects that meet the priority ranking criteria in Section 68302 of these regulations until all funds in the account have been loaned or otherwise expended. All loan repayments shall require annual payments of principal and any interest, with repayment commencing not later than one year after completion of the project for which the loan is made and full amortization not later than 20 years after project completion in accordance with Water Code section 13480(b)(1)(B), and payments will be deposited in the State Revolving Fund Loan Subaccount, Clean Water Program, as administered by the State Water Resources Control Board. Loan repayments may be used by the State Water Resources Control Board to fund other projects or activities as specified by the Clean Water Program. 
NOTE

Authority cited: Sections 25150 and 25351.5, Health and Safety Code; and Section 79133, Water Code. Reference: Section 13480(b)(1)(B) and 79133, Water Code.
HISTORY

1. New section filed 6-25-2001 as an emergency; operative 6-25-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-2-2001 as an emergency; operative 10-24-2001 (Register 2001, No. 40). A Certificate of Compliance must be transmitted to OAL by 2-21-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-13-2002 as an emergency; operative 2-13-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-13-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-13-2002 order transmitted to OAL 2-28-2002 and filed 4-8-2002 (Register 2002, No. 15).
§68309. Auditing Expenditures of Loan Proceeds.
Note     •     History

The Department or the Department of Finance may audit the expenditures of the proceeds of any loan disbursed under this Article. Specific audit requirements shall be part of the loan agreement. The State reserves the right to call for a program audit or a financial audit at any time between the execution of the loan agreement and the completion or termination of the project. 
NOTE

Authority cited: Sections 25150 and 25351.5, Health and Safety Code; and Section 79133, Water Code. Reference: Section 79133, Water Code.
HISTORY

1. New section filed 6-25-2001 as an emergency; operative 6-25-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-2-2001 as an emergency; operative 10-24-2001 (Register 2001, No. 40). A Certificate of Compliance must be transmitted to OAL by 2-21-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-13-2002 as an emergency; operative 2-13-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-13-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-13-2002 order transmitted to OAL 2-28-2002 and filed 4-8-2002 (Register 2002, No. 15).
Chapter 50. Corrective Action
Article 1. Department of Toxic Substances Control
§68400. Applicability.
Note     •     History

NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25173.6, 25187, 25200.10, 25200.14, 58009 and 58010, Health and Safety Code.
HISTORY

1. New chapter 50, article 1 (sections 68400-68400.2) and section filed 3-19-99 as an emergency; operative 3-20-99 (Register 99, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-19-99 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction implementing repeal of chapter 50, article 1 (sections 68400-68400.2) and repeal of section by operation of Government Code section 11346.1(g) (Register 2005, No. 26).
§68400.1. Definitions.
Note     •     History

NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25173.6, 25187, 25200.10, 25200.14, 58009 and 58010, Health and Safety Code.
HISTORY

1. New section filed 3-19-99 as an emergency; operative 3-20-99 (Register 99, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-19-99 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction implementing repeal of section by operation of Government Code section 11346.1(g) (Register 2005, No. 26).
§68400.2. Corrective Action Requirements.
Note     •     History

NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25173.6, 25187, 25200.10, 25200.14, 58009 and 58010, Health and Safety Code.
HISTORY

1. New section filed 3-19-99 as an emergency; operative 3-20-99 (Register 99, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-19-99 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction implementing repeal of section by operation of Government Code section 11346.1(g) (Register 2005, No. 26).
Article 1.5. Unified Program Agency Qualification
§68400.11. Applicability.
Note     •     History

(a) The provisions of this chapter establish criteria and procedures for determining whether or not a unified program agency is qualified to implement environmental assessment and corrective action pursuant to Health and Safety Code sections 25187, 25187.1, and 25404.1. Except as otherwise specified in this chapter, the provisions of this chapter are not intended to, and shall not be construed to, preclude any other state or local agency from exercising its enforcement or regulatory authority. 
(b) The corrective action authority granted to a unified program agency (UPA) pursuant to this chapter is limited to a release or threatened release of a hazardous waste or hazardous constituent occurring at a facility within the jurisdiction of a qualified UPA. 
(c) A qualified UPA shall comply with all applicable state laws and regulations and local ordinances pertaining to environmental assessment and corrective action. 
(d) The authority granted pursuant to this chapter does not limit an UPA's authority to take enforcement action authorized by or in accordance with local ordinances or resolutions, to the extent that local ordinances or resolutions are not inconsistent with the provisions of this chapter. 
(e) Upon discovering a release or threatened release at a hazardous waste facility that is, or was, required to obtain a hazardous waste facility permit, standardized permit or interim status, a qualified UPA shall immediately notify the Department. If a release occurs at such a facility and the facility also contains units that are or were subject to generator requirements, or Permit By Rule or Conditional Authorization or Conditionally Exempt requirements, a qualified UPA shall notify and coordinate with the Department. 
(f) The Department and a qualified UPA are the only agencies authorized to implement and enforce the environmental assessment and corrective action requirements of Health and Safety Code section 25404.1. 
(1) If the Department determines that a qualified UPA has not adequately implemented or enforced environmental assessment or corrective action requirements in accordance with this chapter, the Department may issue an order pursuant to Health and Safety Code section 25187 or section 25187.1. 
(2) A qualified UPA may refer sites for corrective action to the Department. 
(g) If at any time, an UPA determines that a site requires corrective action that is beyond the activities delegated to the agency or the expertise of the agency, the UPA shall refer the site to the Department. 
(h) A qualified UPA shall comply with the California Environmental Quality Act (CEQA), Public Resources Code section 21000 et seq, whenever any activity or action required by this chapter is a project subject to CEQA. 
(i) A qualified UPA shall not implement and enforce environmental assessment or corrective action requirements when any of the following applies: 
(1) Environmental assessment or corrective action is required at any hazardous waste facility that is or was required to obtain a permit or other forms of authorization pursuant to the Resource Conservation and Recovery Act (RCRA). 
(2) The Department has issued an order or agreement for corrective action at the site pursuant to Health and Safety Code section 25187 or section 25187.1. 
(3) The site has been determined to be the responsibility of the Department pursuant to an agreement entered into between the Department and the UPA. 
(4) The source of the release or threatened release is a facility or hazardous waste management unit or an activity that is, or was, regulated by the Department pursuant to Health and Safety Code, Division 20, Chapter 6.5 (commencing with section 25100), unless the source meets the conditions of paragraph (b) of this section. 
(5) The Department is conducting, or has conducted, oversight of the corrective action at the site at the request of the responsible party. 
(6) A site is subject to a Cease and Desist Order issued pursuant to Water Code section 13301 or a Cleanup and Abatement Order issued pursuant to Water Code section 13304. 
(7) The Site Designation Committee has determined the administering agency for a site to be either the Department, a Regional Water Quality Control Board, or the Department of Fish and Game, pursuant to Health and Safety Code section 25262. 
(j) The Department, qualified UPA, or responsible party conducting or requiring corrective action shall ensure that all engineering and geological interpretations, conclusions and recommendations are developed in accordance with applicable state law, including, but not limited to, Business and Professions Code sections 6735 and 7835. The Department, qualified UPA, or responsible party shall ensure that all risk assessment and toxicological interpretations, conclusions and recommendations are conducted by a professional with one of the following: 
(1) Certification as a Diplomate of the American Board of Toxicology, or 
(2) Possession of a Master's Degree in Toxicology, Biochemistry, Pharmacology or a closely related specialty from an accredited college or university and three years of experience following the receipt of the Master's Degree in designing and managing toxicological studies, interpreting results, and conducting hazard and safety evaluations; or 
(3) Possession of a Doctoral Degree in Toxicology, Biochemistry or Pharmacology, or a closely related specialty, and one year of experience following the receipt of the Doctoral Degree in designing and managing toxicological studies, interpreting results, and conducting hazard and safety evaluations. 
NOTE

Authority cited: Sections 25150, 25404.1 and 58012, Health and Safety Code. Reference: Section 25187, 25187.1, 25200.3, 25200.10, 25200.14, 25356.1 and 25404.1, Health and Safety Code. 
HISTORY

1. New article 1.5 (sections 68400.11-68400.16) and section filed 7-20-2006; operative 8-19-2006 (Register 2006, No. 29).
§68400.12. Definitions Applicable to this Chapter.
Note     •     History

Unless otherwise defined herein, the definitions of terms used in this chapter shall be those in Division 20 of the Health and Safety Code and section 66260.10 of this division. For the purposes of this chapter, the following definitions apply: 
“Administrative enforcement order” means an order or consent agreement issued pursuant to Health and Safety Code section 25187. 
“Administrative record file” means a record maintained by the UPA that consists of all documents the UPA relied upon or considered when selecting, taking or requiring corrective action pursuant to this chapter. 
“Application” means a request submitted by a Unified Program Agency to the Department for a determination of qualification to implement the environmental assessment and corrective action portions of the unified program pursuant to Health and Safety Code section 25404.1. 
“Certified Unified Program Agency” or “CUPA” means an agency as defined in Title 27, California Code of Regulations, subsection 15110(a), that has been certified by the secretary to implement the Unified Program. 
“Corrective action” means activities taken to investigate, characterize, evaluate, correct, remove, or remediate a release or threatened release of a hazardous waste or constituent, as necessary to protect public health and/or the environment. 
“Department” means the Department of Toxic Substances Control. 
“Hazardous constituent” has the meaning set forth in section 66260.10 of this division. 
“Hazardous waste” has the meaning set forth in Health and Safety Code section 25117. 
“Less complex site” means a site at which all of the following conditions apply: 
(1) the site characterization, performed as part of the site investigation required pursuant to subsection 68400.16(d)(3), indicates the presence of only those chemicals listed in Appendix I of this chapter. The chemicals listed in Appendix I are among the chemicals for which advisory screening numbers have been developed by the California Environmental Protection Agency pursuant to Health and Safety Code section 57008; 
(2) the selected remediation alternative at the site consists only of removal of no more than 60 cubic yards of contaminated soil, as measured in situ; 
(3) the human health screening evaluation, performed as part of the preliminary endangerment assessment required pursuant to subsection 68400.16(d)(2), indicates that the remaining contamination at the site does not pose a significant threat to human health, as determined by a risk estimation greater than or equal to 10-6 or a hazard index greater than one resulting from the summation of risk/hazard for all media, and 
(4) the release has been adequately characterized as determined by the Department or qualified UPA. 
“Local oversight program” means the program in which local agencies oversee corrective actions at underground storage tank sites through a contract with the State Water Resources Control Board pursuant to Health and Safety Code section 25297.1. 
“Phase I environmental assessment” has the meaning set forth in Health and Safety Code section 25200.14. 
“Preliminary endangerment assessment” has the meaning set forth in Health and Safety Code section 25319.5. 
“Qualified UPA” means an agency delegated by the Department to implement and enforce the environmental assessment and corrective action pursuant to Health and Safety Code section 25404.1. 
“Release” means any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping, leaching, dumping or disposing into the environment, including the abandonment or discarding of barrels, containers, and other closed receptacles containing hazardous waste, hazardous constituents, hazardous substances or hazardous materials. 
“Risk assessment” means a risk-based system of analysis used to characterize the current and potential threats to human health and the environment that may be posed by contaminants migrating to groundwater or surface water, releasing to air, leaching through soil, remaining in the soil and bioaccumulating in the food chain. 
“Site” means any site, area or facility, including, but not limited to, any building, structure, installation, equipment, pipe or pipeline, well, pit, pond, lagoon, impoundment, ditch, landfill, storage container, motor vehicle, rolling stock or aircraft, where any hazardous waste, hazardous constituent, hazardous substance or hazardous material has been treated, stored, transferred, disposed of, deposited, placed, released, or has otherwise come to be located. 
“Technical staff” means staff assigned to oversee environmental assessments and corrective action. 
“Unified Program Agency” or “UPA” means the agency as defined in Health and Safety Code subsection 25404(a)(1)(C). 
NOTE

Authority cited: Sections 25150, 25404.1 and 58012, Health and Safety Code. Reference: Sections 25187, 25187.1, 25200.3, 25200.10, 25200.14, 25356.1 and 25404.1, Health and Safety Code. 
HISTORY

1. New section filed 7-20-2006; operative 8-19-2006 (Register 2006, No. 29).
§68400.13. Qualification Tiers.
Note     •     History

Except as provided in section 68400.11(i) of this chapter, a qualified UPA may implement and enforce only those parts of the environmental assessment and corrective action program that have been delegated by the Department pursuant to Health and Safety Code section 25404.1, as described below: 
(a) A qualified UPA with a Tier 1 level of qualification, as defined in section 68400.14, shall be qualified to do the following at a facility within the jurisdiction of the UPA: 
(1) Review phase I environmental assessments, as defined in Health and Safety Code section 25200.14 (Phase I) for completeness and accuracy; 
(2) Inspect permit-by-rule facilities and facilities with conditional authorization for Phase I compliance; 
(3) Enforce compliance with Phase I requirements; 
(4) Review further investigation schedule, as defined in Health and Safety Code section 25200.14, to determine if a release from solid waste management unit or hazardous waste management unit requires corrective action; 
(5) Implement and enforce the corrective action program at applicable less complex sites, as defined in subsection 68400.12 of this chapter; 
(6) Issue an order specifying corrective action pursuant to Health and Safety Code section 25187 only for less complex sites to be conducted in accordance with applicable state laws and regulations and section 68400.16 of this chapter; 
(b) A qualified UPA with a Tier 2 level of qualification, as defined in section 68400.14, is qualified to conduct the following activities at a facility within the jurisdiction of the UPA: 
(1) All of Tier I activities; 
(2) Implement and enforce corrective action at applicable sites in addition to less complex sites, except as provided in subsection 68400.11(i); 
(3) Issue an order under Health and Safety Code section 25187 for corrective action in accordance with applicable state laws and regulations and section 68400.16 of this chapter. 
NOTE

Authority cited: Sections 25150, 25404.1 and 58012, Health and Safety Code. Reference: Sections 25187, 25187.1, 25200.3, 25200.10, 25200.14, 25356.1 and 25404.1, Health and Safety Code. 
HISTORY

1. New section filed 7-20-2006; operative 8-19-2006 (Register 2006, No. 29).
§68400.14. Unified Program Agency Qualification Criteria.
Note     •     History

(a) A qualified UPA with Tier 1 level of qualification shall meet the following Tier 1 criteria: 
(1) Personnel Expertise Requirements. 
(A) UPA personnel designated to perform the activities of Tier 1 as described in subsection 68400.13(a) and section 68400.16 shall have educational background and technical expertise sufficient to perform the activities of Tier 1 as described in subsection 68400.13(a) and section 68400.16 in accordance with all applicable state laws and regulations, including the requirements of either subparagraph 1 or subparagraph 2, and subparagraph 3 and subparagraph 4 below: 
1. Educational background shall consist of a degree from a college or university with a minimum of 60 semester units in the following areas of study: 
a. environmental, biological, chemical, physical, or soil science; 
b. environmental or public health; 
c. environmental, civil or chemical engineering; or 
d. directly related scientific field; 
2. As an alternative to the requirements of subparagraph 1 above, the UPA personnel may satisfy the educational background requirements by possessing qualifications, knowledge and abilities that are equivalent to those for the Hazardous Substances Scientist, Hazardous Substances Engineer, or Engineering Geologist Classes defined by the California State Personnel Board in the following documents, incorporated herein by reference: 
a. Hazardous Substances Scientist, Series Specification, established July 1, 1994; 
b. Hazardous Substances Engineer, Series Specification, established June 21, 1994 and revised January 19, 2000; 
c. Engineering Geologist, Series Specification, established September 24, 2002. 
3. Technical expertise shall include two consecutive years of experience in hazardous materials management, regulation, analysis, or research, environmental research, monitoring, surveillance or enforcement, or resource recovery. 
4. Technical expertise shall also consist of documented training or proficiency in the fields of hydrogeology, fate and transport, environmental chemistry, toxicology, preliminary endangerment assessment, quality assurance and quality control for analytical results, and statistics. Additional training in other technical disciplines related to site characterization and cleanup activities will be considered for its applicability to this requirement. This training shall be sponsored by a credible program, including, but not limited to a state or federal agency, university extension, community college, or qualified UPA. 
(B) Documentation of UPA Personnel Expertise. An UPA shall submit with its application documentation demonstrating that UPA personnel meet the educational and technical expertise requirements as described in subsection (a)(1)(A). 
(2) UPA Past Experience. 
(A) An UPA qualified in Tier 1 shall have the ability to issue administrative enforcement orders, and at least two years of experience conducting hazardous waste generator inspections. The required experience shall have been acquired in the two years prior to the date the application is submitted to the Department. A Tier 1 UPA shall also have one of the following: 
1. Participation in a Site Designation program pursuant to Health and Safety Code section 25262; 
2. At least three years of experience participating in a Local Oversight Program; or 
3. At least three years of experience conducting response actions. 
(B) Documentation of Past Experience. An UPA shall submit with its application documentation demonstrating that it has experience, as described in paragraph (2)(A) as follows: 
1. Most recent UPA triennial final Evaluation Report as required by California Code of Regulations, title 27, section 15530. 
2. A certification that indicates an UPA has the ability to issue an administrative enforcement order, if not included in the most recent UPA triennial final Evaluation Report; and 
3. Narrative descriptions of three relevant projects completed in the last three years or in progress that most clearly demonstrate the UPA's experience, specifying responsible staff and their expertise, a description of relevant project tasks and methods for overcoming technical obstacles. 
(3) A qualified UPA shall have the ability to implement environmental assessment and corrective action for the tier delegated, pursuant to Health and Safety Code section 25404.1 in accordance with this chapter. 
(A) An UPA shall submit with its application a narrative description of how it shall implement and enforce the environmental assessment and corrective action program and delegated responsibilities in accordance with all applicable state laws and regulations. This description shall specify the following: 
1. The policies, procedures, approach and process the UPA will use to conduct environmental assessment and corrective action and the guidance documents the UPA relied upon to develop and implement the policies, procedures, approach and process. 
2. If the description of relevant projects provided pursuant to subparagraph (2)(B)3. includes cleanup activities, include in the description details of the process used to conduct the cleanup. Include details regarding public participation, CEQA compliance, site characterization, remedy evaluation and selection, selection of cleanup objectives, remedy implementation, and any long-term activities, such as operation and maintenance. 
(4) Adequacy of Staff Resources. 
(A) If additional staff resources are needed to implement corrective action, beyond the resources described in the original CUPA application, an UPA shall submit with its application documentation demonstrating that it has the personnel resources needed to conduct the following activities: 
1. File reviews; 
2. Ongoing training of personnel; 
3. Non-technical support for personnel; and 
4. Management of any other applicable daily operations needed to support environmental assessment activities or corrective action. 
(5) Recordkeeping and accounting systems. If additional recordkeeping and accounting systems are needed to implement corrective action, beyond the systems described in the original CUPA application, the UPA shall submit the following: 
(A) An UPA shall submit with its application a description of its budget and accounting processes. Such processes shall include an accounting of expenditures made and revenues received for environmental assessment activities and corrective action at all unified program facilities. 
(B) An UPA shall submit with its application a description of tracking systems to be used for monitoring the progress of environmental assessment activities and corrective action at all unified program facilities. 
(C) An UPA shall submit with its application a description of how files will be maintained for environmental assessment and corrective action activities associated with unified program facilities within its jurisdiction. These files shall include, but not be limited to, all documents that comprise the administrative record file as defined in section 68400.12. 
(6) An UPA shall submit with its application a copy of a local ordinance that shall be enacted that authorizes the UPA to recover the costs of implementing and enforcing the environmental assessment and corrective action program within its jurisdiction. An UPA may be determined to be qualified if it demonstrates to the Department that such an ordinance will be adopted within 60 days of the determination. 
(b) A qualified UPA with Tier 2 level of qualifications shall meet all of the following Tier 2 criteria: 
(1) An applicant UPA shall submit in its application all the required information as specified in subsection (a) of this section, which shall demonstrate that the applicant meets the Tier 1 qualifications. 
(2) Personnel Expertise Requirements. UPA personnel designated to perform the activities of Tier 2 as described in subsection 68400.13(b) and section 68400.16 shall have educational and technical expertise sufficient to perform the activities of Tier 2 as described in subsection 68400.13(b) and section 68400.16 in accordance with all applicable state laws and regulations. In addition to the requirements for personnel expertise in Tier 1, an UPA qualified in Tier 2 shall also demonstrate documented training or proficiency in the fields of risk assessment, introduction to groundwater and remedy selection. Additional training in other technical disciplines related to site characterization, cleanup activities and health risk assessment will be considered for its applicability to this requirement. This training shall be sponsored by a credible program, including, but not limited to a state or federal agency, university extension, community college or qualified UPA. 
(3) Specialized Personnel Expertise. An UPA qualified in Tier 2 shall demonstrate that it has the following specialized expertise: 
(A) technical expertise necessary for the review and approval of engineering and geological interpretations, conclusions and recommendations that are conducted by registered professionals in conformance with applicable state law, including, but not limited to, Business and Professions Code sections 6735 and 7835 as required by subsection 68400.11(j). This specialized expertise may be provided by UPA personnel, a contractor, or otherwise pursuant to an agreement with a state or local agency; and 
(B) technical expertise necessary to review, comprehend and implement all toxicological interpretations, conclusions and recommendations conducted by a professional with the qualifications as required by subsection 68400.11(j). This specialized expertise may be provided by UPA personnel, a contractor, or otherwise pursuant to an agreement with a state or local agency. 
(4) Documentation of UPA Personnel Expertise. In addition to the documentation provided for Tier 1, an UPA shall submit with its application documentation specifying detailed information regarding the specialized technical expertise outlined in subparagraphs (b)(2) and (b)(3) of this section, including the following: 
1. If an UPA staff member or other personnel working under an agreement with a state or local agency is providing specialized expertise, specify the names of persons with specialized technical expertise; a summary of education, technical training and related experience; and time availability or commitment to Tier 2 activities. 
2. If a contractor is providing the specialized expertise, specify the qualifications of the contractor, related experience, time availability or commitment to Tier 2 activities, and the terms and duration of the contract. 
(5) UPA Past Experience. 
(A) A Tier 2 UPA shall have the past experience of a Tier 1 UPA and one of the following: 
1. At least five years of total experience participating in a Local Oversight Program and documentation of experience overseeing 10 tank removals with full-time participation of two staff members, including one supervisor; or 
2. At least five years of experience conducting response actions. 
(B) Documentation of Past Experience. An UPA shall submit with its application documentation demonstrating that it has the experience required for Tier 1 and the experience described in subparagraph (b)(5)(A) of this section as follows: 
1. Demonstration of UPA past experience required for Tier 1, as described in subparagraph (a)(2)(B) of this section; 
2. Narrative descriptions of five relevant projects completed in the last five years or in progress that most clearly demonstrate the UPA's experience, specifying responsible staff and their expertise, a description of relevant project tasks, methods for overcoming technical obstacles, and the process used to conduct cleanups or tank removals. Include details regarding public participation, CEQA compliance, site characterization, remedy evaluation and selection, selection of cleanup objectives, remedy implementation, and any long-term activities, such as operation and maintenance. 
NOTE

Authority cited: Sections 25150, 25404.1 and 58012, Health and Safety Code. Reference: Sections 25187, 25187.1, 25200.3, 25200.10, 25200.14, 25356.1 and 25404.1, Health and Safety Code. 
HISTORY

1. New section filed 7-20-2006; operative 8-19-2006 (Register 2006, No. 29).
§68400.15. Determination of Qualification.
Note     •     History

(a) To be considered for determination of qualification, an UPA shall submit an application to the Department pursuant to this section. An UPA shall indicate in its application the Tier for which it seeks qualification. 
(b) The Department, within 60 days of receipt of the application, shall inform the UPA, in writing, that either the application is complete and accepted for determination of qualification, or that the application is deficient and identify the information that is required to complete the application pursuant to this section. 
(c) The Department shall complete the review, within 90 days from the receipt of a completed application, to determine whether the UPA is qualified to implement and enforce the requirements for environmental assessments and corrective action portions of the unified program under Health and Safety Code section 25404.1(a)(3)(C). 
(d) The Department, upon completion of the review of the application, shall in writing either approve or disapprove the application for qualification. Within 30 days of approving the application, the Department shall issue a letter of qualification to the UPA (Notice of Approval). Within 45 days of disapproving the application, the Department shall issue a denial letter identifying the areas of deficiency pursuant to this section (Notice of Denial). 
(e) Qualification Decision Appeal Process. 
(1) The UPA, within 60 days of receipt of the Notice of Denial, may comment to the Department on the deficiencies and provide additional information to address the deficiencies. 
(2) The Department, within 60 days of the receipt of the UPA's comments on the Notice of Denial, shall respond, in writing, to approve or disapprove the application based on the review of the information provided by the UPA in subparagraph (e)(1). The UPA, within 45 days of receipt of this decision, may appeal in writing to the Director. Within 45 days of receipt of the appeal, the Director shall, in writing, issue a final decision. 
(f) Withdrawal of Determination of Qualification. 
(1) The Department may periodically review its determination of any UPA's qualification. The UPA shall make available to the Department all documents and records the Department deems necessary to conduct its review. The Department may withdraw its determination of qualification if an UPA fails to maintain compliance with this chapter. 
(A) If the Department determines an UPA is no longer qualified, it will issue a Notice of Withdrawal to the UPA. Within 45 days of receipt of a Notice of Withdrawal, the UPA may comment to the Department in writing on the reasons for withdrawal and may correct the deficiencies and/or provide additional information for consideration by the Department. 
(B) Within 60 days of the receipt of the UPA's comments, the Department will respond, in writing, with a decision on withdrawal. 
(C) Pursuant to subparagraph (f)(1)(B) of this section, if the Department's decision is to withdraw the determination of qualification, the UPA within 45 days of receipt of this decision, may appeal to the Director. Within 45 days of receipt of the appeal, the Director shall, in writing, issue a final decision to confirm or rescind the withdrawal. 
(2) Following a determination of qualification, if resources available to a UPA changed such that the UPA can no longer conduct or oversee environmental assessment and/or corrective action, the UPA shall notify the Department within 15 days of the change. Following receipt of the notice or upon its own determination that the UPA can no longer conduct or oversee environmental assessment and/or corrective action, the Department shall: 
(A) Withdraw its determination of qualification; or 
(B) If the Department determines that adequate resources will be in place within six months of the date of notice or determination, the UPA may maintain its determination of qualification as long as the UPA otherwise maintains the minimum qualifications for authorization and can continue to conduct or oversee environmental assessment and/or corrective action during the six month period. 
NOTE

Authority cited: Sections 25150, 25404.1 and 58012, Health and Safety Code. Reference: Sections 25187, 25187.1, 25200.3, 25200.10, 25200.14, 25356.1 and 25404.1, Health and Safety Code. 
HISTORY

1. New section filed 7-20-2006; operative 8-19-2006 (Register 2006, No. 29).
§68400.16. General Provisions.
Note     •     History

(a) Any corrective action taken pursuant to this chapter shall be consistent with the corrective action provisions of Health and Safety Code, division 20, chapter 6.5 and its implementing regulations. 
(b) The nature, extent and scope of corrective action taken or required by this chapter shall be based upon the conditions at the site, the current and reasonably anticipated future land uses of the site and impacts and threatened impacts to waters of the state. 
(c) The responsible party shall implement corrective action beyond property boundaries, as necessary to address the breadth and depth of contamination caused by the release. 
(d) An UPA shall establish a corrective action process that fulfills all of the following conditions. A description of this process, and a list of all guidance documents the UPA used to develop this process, shall be submitted to the Department pursuant to section 68400.14(a)(3)(A). A qualified UPA's corrective action process shall provide: 
(1) opportunities for full and meaningful public involvement. 
(A) For a less complex site, public involvement shall include, but not be limited to, providing the public with an agency contact's name, address, email, and phone number; distribution of fact sheets or other information regarding conditions at the site, if warranted given the level of interest expressed in the site; notification before decisions are made regarding corrective action at the site; and the opportunity to participate in decisions, submit comments and receive responses to comments before final UPA approval of activities at the site, such as a final corrective action plan or a certification of corrective action completion. 
(B) For all other corrective action, public involvement shall include, but not be limited to an assessment of community interest and preparation of a community profile; based on the level of community interest, distribution of fact sheets regarding conditions at the site; placement of a public notice in a local newspaper of general circulation announcing a 30-day comment period on a proposed corrective action plan; based on the level of community interest, a public meeting, if appropriate, to collect public comment on the proposed corrective action; a written response to public comments; and providing the public with an agency contact's name, address, email, and phone number. 
(2) a requirement for site screening using a preliminary endangerment assessment, performed as defined in Health and Safety Code section 25319.5. 
(3) a requirement for a site investigation that adequately evaluates and characterizes a release or threat of release at the site of hazardous waste or constituents and determines whether the release or threatened release poses an unreasonable risk to human health and safety or the environment. This investigation shall include, but not be limited to: 
(A) adequate characterization and documentation of the release or threat of release; 
(B) a risk assessment, where appropriate, that evaluates the risk posed by the release or threatened release; 
(C) if the release has affected groundwater, a reasonable characterization of underlying groundwater, including present and anticipated beneficial uses of that water; and 
(D) if volatile organic compounds are present, a reasonable characterization and evaluation of risk associated with exposure to indoor air. 
(4) specification of corrective action that is protective of human health and the environment. Such corrective action shall attain final cleanup levels determined using a site-wide cumulative carcinogenic risk range of 10-4 to 10-6 and a site-wide cumulative systemic toxicity, including sensitive subgroups, health hazard index of <1, unless lower concentrations are necessary to protect ecological receptors or meet applicable water quality objectives in applicable water quality control plans, as determined by a water quality assessment that evaluates whether constituents are migrating to waters of the state and meet state policies for water quality adopted pursuant to Article 3 (commencing with section 13140) of Chapter 3 of Division 7 of the Water Code. The 10-6 carcinogenic risk level shall be used as a point of departure in establishing cleanup levels for known or suspected carcinogens. Under these conditions, final cleanup levels shall be based upon the following:
(A) Background or non-detectable concentrations, or 
(B) Site-specific cleanup levels based on a risk assessment(s), which may include a human health risk assessment and/or an ecological risk assessment, as needed, if the following requirements are met: 
1. the risk assessment approach is approved by the Department. To be approved, the risk assessment approach shall meet the following criteria: evaluate exposure to all chemicals present at the site from all sources at the site, and evaluate that exposure for all affected and potentially affected human populations, considering all affected media at the site and all pathways appropriate for the site. The pathways shall be approved by the UPA and shall be based on the contaminants present at the site, the media contaminated, fate and transport of the contaminants through the environment, the routes of exposure and the receptors. 
2. The ecological risk assessment shall consider species representing the ecosystems present or potentially present at the site. It shall consider the fate and transport of the contaminants present at the site, including movement through the food web. 
(5) adequate resources and oversight to ensure that corrective action is conducted in an appropriate and timely manner and that technical assistance and streamlined procedures, when appropriate, are available. 
(6) mechanisms for written documentation of screening, investigation, and selection of corrective action, the written approval of corrective action plans; and a certification of similar documentation indicating that corrective action is complete. 
(7) enforcement of the completion of corrective action if the responsible party fails to complete the necessary corrective action, including operation and maintenance or long-term monitoring. 
(8) a requirement for financial assurance for corrective action implementation, operation, maintenance and monitoring, if implementation of corrective action is scheduled to take more than one year or if long-term maintenance or monitoring of corrective action is required. 
(A) Financial assurance mechanisms shall be consistent with the provisions in section 66264.143, and shall be reviewed and approved by the UPA. 
(B) Financial assurance mechanisms that may be used to fulfill this section include a trust fund; a surety bond guaranteeing payment into a trust fund; a surety bond guaranteeing performance of corrective action implementation, operation, maintenance and monitoring; a letter of credit; insurance; or a financial test and guarantee. 
(9) a requirement for a land use control that imposes appropriate conditions, restrictions and obligations on land use or activities if, after completion of the corrective action, a hazardous waste or constituents remain at the site at a level that is not suitable for unrestricted land use. 
(A) The UPA shall notify the local land use planning authority in which any site is located that corrective action has been proposed. The UPA shall provide the local land use planning authority with notice of the time, date, and place of all public meetings regarding the corrective action and shall involve the local land use planning authority in any deliberation concerning land use conditions or actions. The UPA shall request the local land use planning authority to provide the UPA with the local land use planning authority's assessment of the planned use of the site, including the current and future zoning and general plan designations for the site and the local land use planning authority's determination regarding the appropriate planned use designation in the corrective action plan prepared for the site. 
(B) Any land use condition shall be executed by the owner of the land, shall run with the land, and is binding upon all of the owners of the land, their heirs, successors and assignees, and their agents, employees or lessees. All executed land use conditions shall be recorded by the site owner in the county in which the site is located within ten days of execution. The site owner shall provide the UPA with a copy of the land use conditions, which have been appropriately recorded. 
(C) If a corrective action plan requires the use of a land use control, the UPA shall not certify that the corrective action is complete until the UPA receives a certified copy of the recorded land use control. 
(e) Any corrective action taken pursuant to this chapter shall be consistent with all applicable regulations adopted by the State Water Resources Control Board, all applicable water quality control plans adopted pursuant to section 13170 of the Water Code and Article 3 (commencing with section 13240) of Chapter 4 of Division 7 of the Water Code, and all applicable state policies for water quality control adopted pursuant to Article 3 (commencing with section 13140) of Chapter 3 of Division 7 of the Water Code, to the extent the administering agency determines that those regulations, plans, and policies are not less stringent than this chapter. 
NOTE

Authority cited: Sections 25150, 25404.1 and 58012, Health and Safety Code. Reference: Sections 25187, 25187.1, 25200.3, 25200.10, 25200.14, 25356.1 and 25404.1, Health and Safety Code. 
HISTORY

1. New section filed 7-20-2006; operative 8-19-2006 (Register 2006, No. 29).

Appendix I   Chemicals for Less Complex Sites
Organic Acidic Chemicals
2,4-D 
2,4,5-T 
Pentachlorophenol
Organic Neutral Chemicals
Aldrin 
Benzo(a)pyrene 
Chlordane 
DDD 
DDE 
DDT 
Dieldrin 
1,4-Dioxane 
Dioxin (2,3,7,8-TCDD) 
Endrin 
Heptachlor 
Lindane 
Kepone 
Methoxychlor 
Mirex 
PCBs 
Toxaphene
Inorganic Chemicals
Antimony and compounds 
Arsenic 
Barium and compounds 
Beryllium and compounds 
Cadmium and compounds 
Chromium III 
Chromium VI 
Cobalt 
Copper and compounds 
Fluoride 
Lead and lead compounds 
Mercury and compounds 
Molybdenum 
Nickel and compounds 
Selenium 
Silver and compounds 
Thallium and compounds 
Vanadium and compounds 
Zinc
Volatile Chemicals
Benzene 
Carbon Tetrachloride 
1,2-Dichloroethane 
cis-1,2-Dichloroethylene 
trans-1,2-Dichloroethylene 
Mercury (elemental) 
Methyl tert-Butyl Ether 
Naphthalene 
Tetrachloroethylene 
Tetraethyl Lead 
Toluene 
1,1,1-Trichloroethane 
Trichloroethylene 
Vinyl Chloride 
m-Xylene 
o-Xylene 
p-Xylene 
§68500.1. Applicability. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25173.6, 25187, 25200.10, 25200.14, 58009 and 58010, Health and Safety Code.
HISTORY

1. New chapter 50 (articles 1-2), article 1 (sections 68500.1-68500.5) and section filed 11-19-98 as an emergency; operative 11-19-98 (Register 98, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-99 or emergency language will be repealed by operation of law on the following day.
2. Repealer of chapter 50 (articles 1-2), article 1 (sections 68500.1-68500.5) and section by operation of Government Code section 11346.1(g) (Register 99, No. 12). 
§68500.2. General Provisions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25173.6, 25187, 25200.10, 25200.14, 58009 and 58010, Health and Safety Code.
HISTORY

1. New section filed 11-19-98 as an emergency; operative 11-19-98 (Register 98, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-99 or emergency language will be repealed by operation of law on the following day.
2. Repealer by operation of Government Code section 11346.1(g) (Register 99, No. 12). 
§68500.3. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25173.6, 25187, 25200.10, 25200.14, 58009 and 58010, Health and Safety Code.
HISTORY

1. New section filed 11-19-98 as an emergency; operative 11-19-98 (Register 98, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-99 or emergency language will be repealed by operation of law on the following day.
2. Repealer by operation of Government Code section 11346.1(g) (Register 99, No. 12). 
§68500.4. Public Participation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25150 and 58012, Health and Safety Code. Reference: Sections 25173.6, 25187, 25200.10, 25200.14, 58009 and 58010, Health and Safety Code.
HISTORY

1. New section filed 11-19-98 as an emergency; operative 11-19-98 (Register 98, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-99 or emergency language will be repealed by operation of law on the following day.
2. Repealer by operation of Government Code section 11346.1(g) (Register 99, No. 12). 
§68500.5. Determination of CUPA Qualification. [Repealed]
Note     •     History

NOTE

Authority cited: Section 25404.1(a), Health and Safety Code. Reference: Section 25404.1(a), Health and Safety Code.
HISTORY

1. New section filed 11-19-98 as an emergency; operative 11-19-98 (Register 98, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-99 or emergency language will be repealed by operation of law on the following day.
2. Repealer by operation of Government Code section 11346.1(g) (Register 99, No. 12). 
Article 2. Corrective Action Approach [Repealed]
HISTORY

1. Repealer of article 2 (sections 68500.10-68500.35) 3-19-99 by operation of Government Code section 11346.1(g) (Register 99, No. 12).
Chapter 51. Site Remediation [Repealed]
Article 1. Private Site Management Performance Standards [Repealed]
§69000. Purpose.  [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.1-25395.15, Health and Safety Code. 
HISTORY

1. New chapter 51, article 1 (sections 69000-69013) and section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing chapter 51 (article 1, sections 69000-69013) and section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69000.5. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25356.1, 25395.1-25395.15 and 25396, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69001. Performance Standards. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25358.7, 25358.7.1, 25395.1, 25395.2, 25395.3, 25395.4, 25395.10, 25395.13 and 25395.15, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69002. Preliminary Endangerment Assessment Report. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.2 and 25395.14, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69003. Private Site Management Program Application Package. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.2, 25395.3, 25395.4 and 25395.10, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
3. Editorial correction deleting inadvertently retained text (Register 2013, No. 3).
§69004. Insurance Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25355.2, 25395.3, 25395.4, 25395.10 and 25395.40, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69005. Compliance with the California Environmental Quality Act. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.3, 25395.4, 25395.5 and 25395.11, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69006. Project Proponent. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.1, 25395.3, 25395.4, 25395.12, 25395.14 and 25395.15, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69007. Private Site Management Program Agreement. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25269.5, 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.3, 25395.5, 25395.6, 25395.7, 25395.14 and 25396.6, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69008. Guidance Documents. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.5, 25395.6 and 25395.11, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69009. Change in Site Conditions or Site Information. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.2, 25395.3, 25395.4, 25395.5, 25395.6 and 25395.11, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69010. Material Deviation from Department Approved Report, Workplan, or Remedial Design. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.2, 25395.4, 25395.5, 25395.6, 25395.8 and 25395.13, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69011. Department Review and Approval of Submittals by the Private Site Manager or Private Site Management Team. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25355.2, 25395.2, 25395.3, 25395.4., 25395.5, 25395.6, 25395.7, 25395.8, 25395.11, 25395.12, 25395.13 and 25396.6, Health and Safety Code; and Sections 21108 and 21166, Public Resources Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69012. Department Audits. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.12, 25395.13, 25395.15 and 25570.3, Health and Safety Code. 
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69013. Withdrawal of Department Approval. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25351.5 and 25395.15, Health and Safety Code. Reference: Sections 25395.2, 25395.3, 25395.4, 25395.10, 25395.11, 25395.12, 25395.15 and 25396.6, Health and Safety Code.
HISTORY

1. New section filed 3-26-2003; operative 4-25-2003 (Register 2003, No. 13).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
Chapter 51.5. Assessment of School Sites
Article 1. Phase I Environmental Site Assessments (Proposed New and Expanding School Sites)
§69100. Purpose.
Note     •     History

The purpose of these regulations is to provide guidelines for a Phase I Environmental Site Assessment (Phase I) conducted prior to acquisition of a school site, or where the school district owns or leases a school site, prior to the construction of a project (hereinafter referred to as “Proposed School Site”) under title 1, division 1, part 10.5, chapter 1 of the Education Code (commencing with section 17210). This article contains guidelines for completion of a Phase I and a Phase I Addendum. Procedures are included for sampling and submitting analytical results for lead in soil from lead-based paint, organochlorine pesticides in soil from termiticide application, and/or polychlorinated biphenyls in soil from electrical transformers in Phase I Addendum reports to the Department of Toxic Substances Control. 
NOTE

Authority cited: Section 58012, Health and Safety Code; and Section 17210(g), Education Code. Reference: Sections 17210(g) and 17213.1, Education Code. 
HISTORY

1. New chapter 51.5 (sections 69100-69107) and section filed 9-3-2002 as an emergency; operative 9-3-2002 (Register 2002, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-2-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-3-2002 order transmitted to OAL 12-26-2002 and filed 2-10-2003 (Register 2003, No. 7).
3. Amendment of chapter 51.5 heading, new article 1 heading and amendment of section filed 11-27-2006 as an emergency; operative 11-27-2006 (Register 2006, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment of chapter 51.5 heading, new article 1 heading and amendment of section refiled 3-20-2007 as an emergency; operative 3-20-2007 (Register 2007, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-18-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-20-2007 order, including further amendment of section, transmitted to OAL 6-15-2007 and filed 7-18-2007 (Register 2007, No. 29).
§69101. Applicability.
Note     •     History

This article applies to the preparation of a Phase I pursuant to section 17213.1 of the Education Code. 
NOTE

Authority cited: Section 58012, Health and Safety Code; and Section 17210(g), Education Code. Reference: Sections 17210(g) and 17213.1, Education Code. 
HISTORY

1. New section filed 9-3-2002 as an emergency; operative 9-3-2002 (Register 2002, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-2-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-3-2002 order transmitted to OAL 12-26-2002 and filed 2-10-2003 (Register 2003, No. 7).
3. Amendment filed 11-27-2006 as an emergency; operative 11-27-2006 (Register 2006, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 3-20-2007 as an emergency; operative 3-20-2007 (Register 2007, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-18-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-20-2007 order transmitted to OAL 6-15-2007 and filed 7-18-2007 (Register 2007, No. 29).
§69102. Definitions.
Note     •     History

The definitions set forth in this section govern interpretation of this article. Unless the context requires otherwise and except as provided in this section, definitions contained in title 1, division 1, part 10.5, chapter 1 of the Education Code (commencing with section 17210) or in division 20, chapter 6.8 of the Health and Safety Code (commencing with section 25300) apply to the terms used in this article. If a definition appears in both title 1, division 1, part 10.5, chapter 1 of the Education Code and in division 20, chapter 6.8 of the Health and Safety Code, the definition in the Education Code governs interpretation of this article. 
(a) “Department” means the Department of Toxic Substances Control. 
(b) “Lead” means lead from lead-based paint only, for purposes of this article.
(c) “OCPs” means organochlorine pesticides from termiticide application only, for purposes of this article.
(d) “PCBs” means polychlorinated biphenyls from electrical transformers only, for purposes of this article. 
(e) “Phase I” means a Phase I Environmental Site Assessment which is a preliminary assessment of a site to determine whether there has been or may have been a release of a hazardous material, or whether a naturally occurring hazardous material is present, based on reasonably available information about the site and the area in its vicinity.
(f) “Phase I Addendum” means a report containing results of sampling and analysis, limited to results of lead in soil from lead-based paint, organochlorine pesticides in soil from termiticide application, and/or polychlorinated biphenyls in soil from electrical transformers, for sites where these contaminants are the only potential release or presence of hazardous materials identified in the Phase I. A Phase I Addendum is submitted to the Department along with or after the submittal of the Phase I.
(g) “USEPA Test Methods” means “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods” as referenced in section 69103, subsection (a)(2). 
NOTE

Authority cited: Section 58012, Health and Safety Code; and Section 17210(g), Education Code. Reference: Sections 17210(g) and 17213.1, Education Code. 
HISTORY

1. New section filed 9-3-2002 as an emergency; operative 9-3-2002 (Register 2002, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-2-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-3-2002 order, including amendment of first paragraph, transmitted to OAL 12-26-2002 and filed 2-10-2003 (Register 2003, No. 7).
3. Amendment of first paragraph and subsection (a), new subsection (c) and subsection relettering filed 11-27-2006 as an emergency; operative 11-27-2006 (Register 2006, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment of first paragraph and subsection (a), new subsection (c) and subsection relettering refiled 3-20-2007 as an emergency; operative 3-20-2007 (Register 2007, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-18-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-20-2007 order, including further amendment of section, transmitted to OAL 6-15-2007 and filed 7-18-2007 (Register 2007, No. 29).
§69103. References.
Note     •     History

(a) When used in this article, the following publications are incorporated by reference: 
(1) “American Society for Testing and Materials (ASTM) Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process,” ASTM Standard E-1527-05, approved November 1, 2005; available from American Society for Testing and Materials, 100 Barr Harbor Drive, Post Office Box C700, West Conshohocken, PA 19428-2959, (610) 832-9585; website http://www/astm.org
(2) “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846 Third Edition, November 1986, as amended by Updates I (July, 1992), II (September, 1994), IIA (August, 1993), IIB (January, 1995), III (December, 1996), IIIA (April, 1998), IIIB (June, 2005), draft IVA (May, 1998) and draft IVB (November, 2000); available from the Superintendent of Documents, United States Government Printing Office, Washington, DC 20402, (202) 512-1800; website http://www.epa.gov/epaoswer/hazwaste/test/sw846.htm
(3) “USEPA Contract Laboratory Program National Functional Guidelines for Organic Data Review,” EPA 540/R-99/008; October 1999, available from National Technical Information Service (NTIS), United States Department of Commerce, 5285 Port Royal Road, Springfield, VA 22161; (703) 487-4650; website http://www.epa.gov/superfund/programs/clp/guidance.htm
(4) “USEPA Contract Laboratory Program National Functional Guidelines for Inorganic Data Review,” EPA 540/R-04/004, October 2004, available from the United States Environmental Protection Agency website http://www.epa.gov/superfund/programs/clp/guidance.htm
(5) “Guidance on Environmental Data Verification and Data Validation,” EPAQA/G-8; EPA 240/R-02/004; November 2002 available from United States Environmental Protection Agency, Quality Staff (2811 R), 1200 Pennsylvania Avenue, NW, Washington, DC 20460; (202) 564-6830; website http://www.epa.gov/quality/qa_docs.html
NOTE

Authority cited: Section 58012, Health and Safety Code; and Section 17210(g), Education Code. Reference: Sections 17210(g) and 17213.1, Education Code. 
HISTORY

1. New section filed 9-3-2002 as an emergency; operative 9-3-2002 (Register 2002, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-2-2003 or emergency language will be repealed by operation of law on the following day.
2. Change without regulatory effect amending subsection (a)(5) filed 11-18-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 47).
3. Certificate of Compliance as to 9-3-2002 order, including amendment of subsections (a)(3) and (a)(4), transmitted to OAL 12-26-2002 and filed 2-10-2003 (Register 2003, No. 7).
4. Amendment filed 11-27-2006 as an emergency; operative 11-27-2006 (Register 2006, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2007 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 3-20-2007 as an emergency; operative 3-20-2007 (Register 2007, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-18-2007 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-20-2007 order, including further amendment of section, transmitted to OAL 6-15-2007 and filed 7-18-2007 (Register 2007, No. 29).
§69104. Preparation of a Phase I and Phase I Addendum.
Note     •     History

(a) A Phase I shall be prepared for the Proposed School Site pursuant to this article and section 17213.1, subdivision (a), of the Education Code. The Phase I shall be submitted to the Department for review and approval. 
(b) The Phase I shall be conducted in accordance with the ASTM Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process cited in section 69103, subsection (a)(1). 
(c) The Phase I shall include, but is not limited to, the following: 
(1) a site map describing the boundary of the project and the current development on the property;
(2) a description of the intended use of the property that includes whether the school district intends to use all or a portion of the parcel, the type of site (new or expanding), type of school proposed (grade levels of students), and the disposition of any existing structures;
(3) past and existing land uses, including but not limited to, easements; adjacent properties; former governmental use; residential, industrial, or commercial uses; and 
(4) recommendations consistent with section 69108 of this article.
(d) In addition to the contaminants and sources identified in the ASTM Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process cited in section 69103, subsection (a)(1), the Phase I shall identify and evaluate all sources for the potential release or presence of hazardous material on the Proposed School Site, including, but not limited to, the following:
(1) agricultural use,
(2) debris or stockpiles,
(3) fill material,
(4) electrical transformers, oil filled electrical equipment, or hydraulic systems,
(5) government use or ownership,
(6) grading activities
(7) illegal drug manufacturing,
(8) lead-based paint application,
(9) mines,
(10) naturally occurring hazardous materials,
(11) petroleum deposits or use,
(12) railroad use or easements,
(13) residential use,
(14) surface drainage pathways,
(15) termiticide application, and
(16) utility easements.
(e) If a Phase I Addendum is submitted more than 180 days subsequent to the date that the Phase I was conducted, or if a Phase I was conducted for the Proposed School Site more than 180 days prior to its submittal to the Department, information to verify current site conditions shall be submitted to the Department. Verification activities include, but are not limited to, the following: (1) document any changes to site conditions or site boundaries; and (2) update interviews, searches, reviews, visual inspections, and declarations as described in the ASTM Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process cited in section 69103, subsection (a)(1). 
(f) A Phase I Addendum shall be submitted to the Department for review and approval along with or after submittal of the Phase I for the site. The Phase I Addendum shall include recommendations consistent with section 69109 of this article and may contain results of sampling and analysis as follows:
(1) lead in soil performed in accordance with the sampling protocols described in section 69105 of these regulations,
(2) OCPs in soil performed in accordance with the sampling protocols described in section 69106 of these regulations, and/or
(3) PCBs in soil performed in accordance with the sampling protocol described in section 69107 of these regulations.
NOTE

Authority cited: Section 58012, Health and Safety Code; and Section 17210(g), Education Code. Reference: Sections 17210(g) and 17213.1, Education Code. 
HISTORY

1. New section filed 9-3-2002 as an emergency; operative 9-3-2002 (Register 2002, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-2-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-3-2002 order, including amendment of subsection (e), transmitted to OAL 12-26-2002 and filed 2-10-2003 (Register 2003, No. 7).
3. Amendment of subsections (a)-(c) filed 11-27-2006 as an emergency; operative 11-27-2006 (Register 2006, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)-(c) refiled 3-20-2007 as an emergency; operative 3-20-2007 (Register 2007, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-18-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-20-2007 order, including amendment of section heading and further amendment of section, transmitted to OAL 6-15-2007 and filed 7-18-2007 (Register 2007, No. 29).
§69105. Sampling for Lead in Soil.
Note     •     History

(a) The school district may choose to submit sampling data for lead in soil in one of the following reports: (1) the Phase I Addendum; or (2) the Preliminary Endangerment Assessment, in accordance with subsections (b) through (h) below: 
(b) Lead-based paint evaluation. Unless the Department determines that lead in soil is not a concern based on review of the Phase I, soil samples shall be collected for any structures on the Proposed School Site with paint or surface coatings, with the exception of residential structures constructed on or after January 1, 1979, and schools constructed on or after January 1, 1993, to evaluate possible lead in soil. 
(c) Prior to demolition of structures or removal of foundations or slabs, or movement of soils on the Proposed School Site, pre-demolition sampling for lead in soil shall be implemented in accordance with the following protocols: 
(1) Sample collection. Surface soil samples (zero to six inches) shall be collected from around the perimeter of the structures, in areas with the highest potential for lead deposits (such as under windows, doors, porches, fences and stairs, and in drainage areas). If concrete or asphalt borders a structure, surface soil samples (zero to six inches) shall be collected from the nearest unpaved areas where associated run off may collect. The Department may require collection of samples from underneath existing paved areas, based upon the history of the site. The Department shall be consulted to determine the number and location of samples necessary to adequately evaluate possible lead in soil at the Proposed School Site. 
(2) Additional sample collection. If lead is detected in soil samples, the Department may require additional step-out samples on the Proposed School Site to determine the horizontal and vertical extent of contamination. 
(d) If demolition of structures has occurred, but foundations or slabs are present and the site has not been graded, post-demolition sampling for lead in soil shall be implemented in accordance with the following protocols:
(1) Sample collection. Surface soil samples (zero to six inches) shall be collected from two sets of sampling locations around the perimeter of the former structures. The first set should be collected in areas with the highest potential for lead deposits (such as under pre-existing windows, doors, porches, doors, fences and stairs, and in drainage areas). The second set should be collected at the extent of soil disturbed by removal of demolition debris. If concrete or asphalt borders a structure, surface soil samples (zero to six inches) shall be collected from the nearest unpaved areas where associated run off may collect. If soil is exposed within the footprints of former structures, surface soil samples (zero to six inches) shall be collected within the footprints. The Department may require collection of samples from underneath existing paved areas, based upon the history of the site. The Department shall be consulted to determine the number and location of samples necessary to adequately evaluate possible lead in soil at the Proposed School Site.
(2) Additional sample collection. If lead is detected in soil samples, the Department may require additional step-out samples on the Proposed School Site to determine the horizontal and vertical extent of contamination. 
(e) If demolition of structures, removal of foundations or slabs, or movement of soil on the Proposed School Site has occurred, post-demolition sampling for lead in soil shall be implemented in accordance with the following protocols:
(1) Sample collection. The Proposed School Site shall be divided into grids as determined in consultation with the Department, and surface (zero to six inches) and subsurface (two to three feet) soil samples shall be collected from the center of each grid.
(2) Additional sample collection. If lead is detected in soil samples, the Department may require additional step-out samples on the Proposed School Site to determine the horizontal and vertical extent of contamination.
(f) Sample analysis. Soil samples shall be analyzed for lead using USEPA Test Methods, and may include laboratory and on-site field analyses for lead in soil using portable X-Ray Fluorescence (XRF) instrumentation. The uppermost soil from the core (closest to ground surface) shall be analyzed.
(g) Laboratory quality control. Quality Control (QC) procedures specified in USEPA Test Methods shall be followed. The data shall be qualified in accordance with the National Functional Guidelines cited in section 69103, subsection (a)(4) and USEPA guidance cited in section 69103, subsection (a)(5). 
(h) Data Submission. Data identifying concentrations of lead detected in soil samples collected from the Proposed School Site shall be submitted to the Department. 
NOTE

Authority cited: Section 58012, Health and Safety Code; and Section 17210(g), Education Code. Reference: Sections 17210(g) and 17213.1, Education Code. 
HISTORY

1. New section filed 9-3-2002 as an emergency; operative 9-3-2002 (Register 2002, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-2-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-3-2002 order, including amendment of subsection (a), transmitted to OAL 12-26-2002 and filed 2-10-2003 (Register 2003, No. 7).
3. Amendment of section heading and section filed 7-18-2007; operative 7-18-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 29).
§69106. Sampling for OCPs in Soil.
Note     •     History

(a) The school district may choose to submit sampling data for OCPs in soil in one of the following reports: 1) the Phase I Addendum; or 2) the Preliminary Endangerment Assessment, in accordance with subsections (b) through (h) below:
(b) OCP evaluation. Unless the Department determines that OCPs in soil are not a concern based on review of the Phase I, soil samples shall be collected for any structures on the Proposed School Site with wood components constructed prior to January 1, 1989, to evaluate possible OCPs in soil.
(c) Prior to demolition of structures or removal of foundations or slabs, or movement of soil on the Proposed School Site, pre-demolition sampling for OCPs in soil shall be implemented in accordance with the following protocols:
(1) Sample collection. Surface (zero to six inches) and subsurface (two to three feet) soil samples shall be collected from around the perimeter of the structures, in areas with the highest potential for OCPs (such as near footings). If the structures have raised floors or porches, surface soil samples (zero to six inches) shall be collected beneath these areas. If concrete or asphalt borders a structure, the Department shall require collection of surface (zero to six inches) and subsurface (two to three feet) soil samples underneath existing paved areas. The Department shall be consulted to determine the number and location of samples necessary to adequately evaluate possible OCPs in soil at the Proposed School Site.
(2) Additional sample collection. If OCPs are detected in soil samples, the Department may require additional step-out samples on the Proposed School Site to determine the horizontal and vertical extent of contamination.
(d) If demolition of structures has occurred, but foundations or slabs are present and the site has not been graded, post-demolition sampling for OCPs in soil shall be implemented in accordance with the following protocols:
(1) Sample collection. Surface (zero to six inches) and subsurface (two to three feet) soil samples shall be collected from two sets of sampling locations around the perimeter of the structures. The first set should be collected in areas with the highest potential for OCPs (such as near footings). The second set should be collected at the extent of soil disturbed by removal of demolition debris. If soil is exposed within the footprints of former structures, surface (zero to six inches) and subsurface (two to three feet) soil samples shall be collected within the footprints. If concrete or asphalt borders a structure, the Department shall require collection of surface (zero to six inches) and subsurface (two to three feet) soil samples underneath existing paved areas. The Department shall be consulted to determine the number and location of samples necessary to adequately evaluate possible OCPs in soil at the Proposed School Site.
(2) Additional sample collection. If OCPs are detected in soil samples, the Department may require additional step-out samples on the Proposed School Site to determine the horizontal and vertical extent of contamination.
(e) If demolition of structures, removal of foundations or slabs, or movement of soil on the Proposed School Site has occurred, post-demolition sampling for OCPs in soil shall be implemented in accordance with the following protocols:
(1) Sample collection. The Proposed School Site shall be divided into grids as determined in consultation with the Department, and surface (zero to six inches) and subsurface (two to three feet) soil samples shall be collected from the center of each grid.
(2) Additional sample collection. If OCPs are detected in soil samples, the Department may require additional step-out samples on the Proposed School Site to determine the horizontal and vertical extent of contamination.
(f) Sample analysis. Soil samples shall be analyzed for OCPs using USEPA Test Methods.
(g) Laboratory quality control. Quality Control (QC) procedures specified in USEPA Test Methods shall be followed. The data shall be qualified in accordance with the National Functional Guidelines cited in section 69103, subsection (a)(3) and USEPA guidance cited in section 69103, subsection (a)(5). 
(h) Data submission. Data identifying concentrations of OCPs detected in soil samples collected from the Proposed School Site shall be submitted to the Department. 
NOTE

Authority cited: Section 58012, Health and Safety Code; and Section 17210(g), Education Code. Reference: Sections 17210(g) and 17213.1, Education Code. 
HISTORY

1. New section filed 9-3-2002 as an emergency; operative 9-3-2002 (Register 2002, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-2-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-3-2002 order, including amendment of subsections (a) and (d), transmitted to OAL 12-26-2002 and filed 2-10-2003 (Register 2003, No. 7).
3. Renumbering of former section 69106 to section 69107 and new section 69106 filed 11-27-2006 as an emergency; operative 11-27-2006 (Register 2006, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2007 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 69106 to section 69107 and new section 69106 refiled 3-20-2007 as an emergency; operative 3-20-2007 (Register 2007, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-18-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-20-2007 order, including further amendment of section, transmitted to OAL 6-15-2007 and filed 7-18-2007 (Register 2007, No. 29).
§69107. Sampling for PCBs in Soil.
Note     •     History

(a) The school district may choose to submit data for PCBs in soil in one of the following reports: (1) the Phase I Addendum; or (2) the Preliminary Endangerment Assessment, in accordance with subsections (b) through (f) below.
(b) Electrical transformer evaluation. Soil samples shall be collected for any historical (even if removed or replaced by a newer transformer) or current transformers on or adjacent to the Proposed School Site that were installed before January 1, 1979, to evaluate possible PCBs in soil on the Proposed School Site.
(c) Sample collection. Surface (zero to six inches) and subsurface (two to three feet) soil samples shall be collected in close proximity to the base of each pole or pad-mounted electrical transformer. If PCBs are detected in soil samples, the Department may require additional step-out samples on the Proposed School Site to determine the horizontal and vertical extent of contamination. 
(d) Sample analysis. Initially, only surface soil samples (zero to six inches) shall be analyzed for PCBs using USEPA Test Methods. If PCBs are detected in surface soil samples (zero to six inches), the subsurface soil samples (two to three feet) that were collected at depth shall also be analyzed. 
(e) Laboratory quality control. QC procedures specified in USEPA Test Methods shall be followed. The data shall be qualified in accordance with the National Functional Guidelines cited in section 69103, subsection (a)(3) and USEPA guidance cited in section 69103, subsection (a)(5). 
(f) Data submission. Data identifying concentrations of PCBs detected in soil samples collected from the Proposed School Site shall be submitted to the Department. 
NOTE

Authority cited: Section 58012, Health and Safety Code; and Section 17210(g), Education Code. Reference: Sections 17210(g) and 17213.1, Education Code. 
HISTORY

1. New section filed 9-3-2002 as an emergency; operative 9-3-2002 (Register 2002, No. 36). A Certificate of Compliance must be transmitted to OAL by 1-2-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-3-2002 order, including amendment of subsections (a) and (d), transmitted to OAL 12-26-2002 and filed 2-10-2003 (Register 2003, No. 7).
3. Renumbering of former section 69107 to section 69108 and renumbering of former section 69106 to section 69107 filed 11-27-2006 as an emergency; operative 11-27-2006 (Register 2006, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2007 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 69107 to section 69108 and renumbering of former section 69106 to section 69107 refiled 3-20-2007 as an emergency; operative 3-20-2007 (Register 2007, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-18-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-20-2007 order, including amendment of section heading and section, transmitted to OAL 6-15-2007 and filed 7-18-2007 (Register 2007, No. 29).
§69108. Phase I Recommendations.
Note     •     History

The Phase I shall contain one of the following recommendations: 
(a) A further investigation of the Proposed School Site is not required since the Phase I demonstrates that neither a release of hazardous material nor the presence of a naturally occurring hazardous material, which would pose a threat to public health or the environment, was indicated at the site.
(b) Lead in soil from lead-based paint, OCPs in soil from termiticide application, and/or PCBs in soil from electrical transformers are the only potential sources of contamination at a Proposed School Site and an evaluation is recommended but has not yet been completed. Results of this evaluation will be submitted to the Department in a Phase I Addendum. 
(c) A Preliminary Endangerment Assessment is needed, including sampling or testing to determine one or more of the following: 
(1) If a release of hazardous material has occurred and, if so, the extent of the release. 
(2) If there is the threat of a release of hazardous materials. 
(3) If a naturally occurring hazardous material is present. 
NOTE

Authority cited: Section 58012, Health and Safety Code; and Section 17210(g), Education Code. Reference: Sections 17210(g) and 17213.1, Education Code.
HISTORY

1. Renumbering of former section 69107 to new section 69108, including amendment of subsection (a), filed 11-27-2006 as an emergency; operative 11-27-2006 (Register 2006, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2007 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 69107 to section 69108, including amendment of subsection (a), refiled 3-20-2007 as an emergency; operative 3-20-2007 (Register 2007, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-18-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-20-2007 order, including further amendment of section, transmitted to OAL 6-15-2007 and filed 7-18-2007 (Register 2007, No. 29).
§69109. Phase I Addendum Recommendations.
Note     •     History

The Phase I Addendum shall contain one of the following recommendations:
(a) A further investigation of the Proposed School Site is not required. A Phase I Addendum that contains data from evaluation of lead, OCPs, or PCBs in soil may recommend that further investigation of the site is not required if all of the following apply:
(1) the Phase I Addendum demonstrates that lead in soil from lead-based paint, OCPs in soil from termiticide application, and/or PCBs in soil from electrical transformers are the only potential sources of contamination at a Proposed School Site; and
(2) concentrations of lead, OCPs, and/or PCBs in soil do not exceed concentrations determined by the Department on a case-by-case basis to be protective of public health and the environment.
(b) A Preliminary Endangerment Assessment is needed, including sampling or testing, to determine one or more of the following:
(1) If a release of hazardous material has occurred and, if so, the extent of the release.
(2) If there is the threat of a release of hazardous materials.
(3) If a naturally occurring hazardous material is present.
NOTE

Authority cited: Section 58012, Health and Safety Code; and Section 17210(g), Education Code. Reference: Sections 17210(g) and 17213.1, Education Code.
HISTORY

1. New section filed 7-18-2007; operative 7-18-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 29).
Chapter 52. Voluntary Registration of Environmental Assessors [Repealed]
§69200. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect adding new chapter 52 heading, renumbering title 14, division 8, chapter 3 (sections 19030-19044) to title 22, division 4.5, chapter 52 (sections 69200-69214) and renumbering and amending title 14, section 19030 to title 22, section 69200 filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing chapter 52 (sections 69200-69214) and section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69201. REA I Critiera for Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19031 to title 22, section 69201, including amendment of section heading, section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69202. REA I Application, Renewal, and Denial or Rescission of Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19032 to title 22, section 69202, including amendment of section heading, section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69203. REA II Criteria for Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19033 to title 22, section 69203, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69204. REA II Application for Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19034 to title 22, section 69204, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69205. DTSC's Review of Application. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19035 to title 22, section 69205, including amendment of section heading, section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69206. REA II Denial of Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19036 to title 22, section 69206, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69207. REA II Renewal of Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19037 to title 22, section 69207, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69208. REA II Rescission of Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19038 to title 22, section 69208, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69209. REA II Appeal Procedures. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19039 to title 22, section 69209, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69210. REA II Audits. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19040 to title 22, section 69210, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69211. Performance Standards. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19041 to title 22, section 69211, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69212. State Licensing Match System. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code; section 11350.6, Welfare and Institutions Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19042 to title 22, section 69212, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69213. Limitations on Registration for Aliens. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code; 8 U.S.C. Sections 1621, 1641 and 1642.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19043 to title 22, section 69213, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§69214. Sunset Review. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 25570.3 and 58004.5, Health and Safety Code. Reference: Sections 25570-25570.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering title 14, section 19044 to title 22, section 69214, including amendment of section and Note, filed 7-27-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 30).
2. Change without regulatory effect repealing section filed 1-7-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
Chapter 54. Green Chemistry Hazard Traits, Toxicological and Environmental Endpoints and Other Relevant Data
Article 1. General
§69401. Purpose and Applicability.
Note     •     History

Health and Safety Code section 25256.1 requires the Office of Environmental Health Hazard Assessment (hereafter referred to as “OEHHA”) “to evaluate and specify the hazard traits, toxicological and environmental endpoints, and any other relevant data to be included” in the Toxics Information Clearinghouse (“Clearinghouse”) mandated under Health and Safety Code section 25252 et seq. The law envisions that the Clearinghouse will “provide a decentralized, Web-based system for the collection, maintenance and distribution of specific chemical hazard trait and environmental and toxicological endpoint data.” As such, it will provide basic scientific information that will be available to agencies, the public, and industry and government scientists and engineers evaluating chemicals in consumer products. Health and Safety Code section 25252 requires the Department of Toxic Substances Control (hereafter referred to as “Department” or “DTSC”) to develop criteria for chemical evaluations that include but are not limited to traits, characteristics and endpoints in the Toxics Information Clearinghouse. 
Chapter 54 specifies hazard traits, toxicological and environmental endpoints, and other relevant data to be included in the Clearinghouse as required by Health and Safety Code section 25256.1. This information is intended for use pursuant to Health and Safety Code sections 25252 et seq., Chapter 53 to division 4.5 of California Code of Regulations, Title 22. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New chapter 54 (articles 1-7, sections 69401-69407.2), article 1 (sections 69401-69401.2) and section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69401.1. Hazard Trait Framework.
Note     •     History

This Chapter and its components reflect a framework for organizing information on chemical hazards for use by the Department in implementing Health and Safety Code section 25252 et seq. This Chapter provides a structure for relating scientific information to the hazard traits, and general guidance on whether or not a given chemical exhibits a hazard trait based on the scientific evidence. The framework is organized around four major categories of hazard traits: toxicological, environmental, exposure potential and physical. Beneath each of these are specific hazard traits, the major toxicities and adverse characteristics of chemical substances. The toxicological and environmental hazard traits are manifested as endpoints, which are the kinds of adverse health and environmental effects observed in scientific studies. Other relevant data are also included for the toxicological and environmental hazard traits. These data can be observed through scientific study and provide less-direct but useful evidence of the potential presence of a hazard trait. For exposure potential and physical hazard traits, data from scientific studies can also be used to determine the presence or absence of the hazard trait. A non-exclusive list of additional relevant data that may be useful in evaluating chemicals is provided in Article 7. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69401.2. Definitions.
Note     •     History

(a) “Adverse effect” for toxicological hazard traits and endpoints means a biochemical change, functional impairment, or pathologic lesion that negatively affects the performance of the whole organism, or reduces an organism's ability to respond to an additional environmental challenge. “Adverse effect” for environmental hazard traits and endpoints means a change that negatively affects an ecosystem, community, assemblage, population, species, or individual level of biological organization. 
(b) “Authoritative organization” means a state, national, international or non-governmental entity whose scientific findings on the safety, risks or hazards of chemical agents are relied upon by state, national or international governments and their supporting public health or environmental entities in regulating or otherwise protecting human health or the environment from threats posed by those chemical agents. Authoritative organizations include the following: 
(1) OEHHA, DTSC and other State of California Boards, Departments, Offices or Agencies 
(2) The National Academy of Sciences, including the National Research Council and the Institute of Medicine
(3) Departments or Agencies of the United States government, including but not limited to: the Consumer Product Safety Commission, Environmental Protection Agency, National Toxicology Program, National Institute of Environmental Health Sciences, National Institutes of Health, National Institute for Occupational Safety and Health, the Occupational Safety and Health Administration, and the Department of Transportation
(4) Environmental and public health regulatory agencies of other states
(5) Canadian government agencies including Environment Canada and Health Canada
(6) Governmental bodies within the European Union, including the European Chemicals Agency and national governments
(7) Any agency or program within the United Nations including the World Health Organization and its International Agency for Research on Cancer. 
(c) A “chemical substance” is a chemical, chemical compound, chemical mixture, elemental material, particulate matter, fiber, or radioactive agent, its metabolites or degradation by-products.
(d) An “environmental endpoint” for a specific hazard trait is a measured or otherwise observed adverse environmental effect in ecological systems, or in components of ecological systems, or in non-human organisms within ecological systems that indicates the presence of the hazard trait.
(e) “Hazard traits” are properties of chemicals that fall into broad categories of toxicological, environmental, exposure potential and physical hazards that may contribute to adverse effects in exposed humans, domesticated animals, wildlife, or in ecological communities, populations or ecosystems. 
(f) “Mechanistic similarity” means that a chemical substance acts on a biological system in a manner similar to other chemicals that induce toxicological or environmental effects associated with a specific hazard trait. 
(g) “Other relevant data” for a specific toxicological or environmental hazard trait means non-endpoint data, including chemical, physical, biochemical, biological or other data, that may indicate a chemical substance may have the hazard trait.
(h) A “toxicological endpoint” for a specific hazard trait is a measured or otherwise observed adverse effect in a biological system that indicates the presence of the hazard trait. 
(i) “Well-conducted scientific studies” means studies published in the open literature or conducted by or submitted to a local, state, national or international government agency, using methods and analyses which are scientifically valid according to generally accepted principles. 
(j) “Wildlife” means undomesticated animals including but not limited to aquatic and terrestrial vertebrate and invertebrate organisms.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
Article 2. Toxicological Hazard Traits -- Carcinogenicity, Developmental Toxicity, and Reproductive Toxicity
§69402. General.
Note     •     History

This article specifies carcinogenicity, developmental toxicity and reproductive toxicity hazard traits, endpoints and other relevant data for these three traits. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New article 2 (sections 69402-69402.6) and section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69402.1. Carcinogenicity.
Note     •     History

(a) The carcinogenicity hazard trait is defined as the occurrence of increased incidence, reduced latency, or increased severity or multiplicity in neoplasia following exposure to a chemical substance.
(b) Toxicological endpoints for carcinogenicity include, but are not limited to those indicating malignant or benign neoplasia or pre-neoplasia of alimentary, cardiovascular, endocrine, genital, hematopoietic, integumentary, musculoskeletal, nervous, respiratory, special senses, or urinary systems as well as any other systemic neoplastic lesions observed in human or animal studies.
(c) Other relevant carcinogenicity data include but are not limited to data on: mechanisms of carcinogenesis such as exposure-related modifications to the physiology or response of cells, tissues and organs (for example, mitogenesis, compensatory cell division, hyperplasia, or signaling pathways used by cells to manage critical processes related to increased risk for cancer); changes in key cellular structures at the molecular level such as mutation and other genotoxicity endpoints; epigenetic changes associated with increased cancer risk; structural similarity to other carcinogenic chemical substances. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69402.2. Evidence for Carcinogenicity Hazard Trait.
Note     •     History

(a) Each of the following constitutes strong evidence of carcinogenicity for a given chemical substance:
(1) Identification as known to the state to cause cancer in Title 27, California Code of Regulations, section 27001.
(2) Meeting the U.S. Environmental Protection Agency's criteria for being identified as Carcinogenic to Humans or Likely to Be Carcinogenic to Humans or as a Group A, B1 or B2 carcinogen.
(3) Meeting the International Agency for Research on Cancer criteria for Group 1, 2A, or 2B classification.
(4) Meeting the criteria for classification as known to be or reasonably anticipated to be a human carcinogen by the U.S. National Toxicology Program.
(5) Meeting the criteria for being classified as a Category 1 Known or Presumed Carcinogen under the United Nation's Globally Harmonized System for Classification and Labeling of Chemicals. 
(6) Identification as or other recognition that the chemical substance is a known or potential carcinogen in a report by the National Academy of Sciences' National Research Council or Institute of Medicine.
(7) Recognition as a known or potential carcinogen by an authoritative organization.
(b) Each of the following constitutes suggestive evidence of carcinogenicity for a given chemical substance:
(1) Identification by the U.S. Environmental Protection Agency as having Suggestive Evidence of Carcinogenic Potential, or as being in Group C.
(2) Meeting the International Agency for Research on Cancer criteria for limited evidence of carcinogenicity in animals.
(3) Recognition as a suspected carcinogen by an authoritative organization.
(4) Possessing strong evidence for the Genotoxicity Hazard Trait as defined in Article 3 subsection 69403.5 of this Chapter.
(5) Mechanistic evidence that is suggestive of carcinogenic potential, from cell-based, tissue-based or whole organism-based assays showing perturbations of known physiological, biochemical or other pathways involved in carcinogenesis, such as described by the International Agency for Research on Cancer in the current Preamble to its Monographs on the Evaluation of Carcinogenic Risks to Humans. 
(6) Strong indications of carcinogenicity from structure activity relationships, including but not limited to those from Quantitative Structure Activity Relationship models.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69402.3. Developmental Toxicity.
Note     •     History

(a) The developmental toxicity hazard trait is defined as the occurrence of adverse effects on the developing organism following exposure to a chemical substance prior to conception (either parent), during prenatal development, or postnatally to the time of sexual maturation. Developmental toxicity occurs during the postnatal period only if the developing organism shows greater quantitative or qualitative susceptibility to the chemical substance than does the adult organism. 
(b) Toxicological endpoints for developmental toxicity include but are not limited to those indicating: death of the developing organism, structural abnormality, altered growth, functional deficiency or other adverse effect on the developing organism. These observations in animals or humans can be manifested at any point in the lifespan of the organism or its offspring. 
(c) Other relevant data include, but are not limited to: mechanistic data at the molecular level such as genotoxicity or epigenetic toxicity, or at the cellular, organ, or organism level; structural or mechanistic similarity to other chemical substances that are toxic to developing organisms.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69402.4. Evidence for Developmental Toxicity Hazard Trait.
Note     •     History

(a) Each of the following constitutes strong evidence of developmental toxicity for a given chemical substance: 
(1) Identification as known to the state to cause reproductive toxicity with developmental toxicity denoted as an endpoint in Title 27, California Code of Regulations, section 27001.
(2) Meeting the National Toxicology Program criteria as having clear or sufficient evidence of adverse effects for developmental toxicity.
(3) Meeting the criteria for being classified as Category 1, known or presumed human reproductive toxicant based on developmental toxicity data, under the United Nation's Globally Harmonized System for Classification and Labeling. 
(4) Identification in the National Institute for Occupational Safety and Health's Pocket Guide to Chemical Hazards as having teratogenic or other developmental effect. 
(5) Identification as a known or potential developmental toxicant or having the capacity to cause developmental toxicity in a report published by the National Academy of Sciences' National Research Council or Institute of Medicine.
(6) Identification as having sufficient evidence of carcinogenicity by the International Agency for Research on Cancer, with a clear statement that the chemical substance induces transplacental carcinogenesis noted in an International Agency for Research on Cancer Monograph on the Evaluation of Carcinogenic Risks to Humans.
(7) Recognition as a developmental toxicant by an authoritative organization.
(b) Each of the following constitutes suggestive evidence of developmental toxicity for a given chemical substance: 
(1) Meeting National Toxicology Program criteria as having some or limited evidence of adverse effects for developmental toxicity.
(2) Identification as having limited evidence of carcinogenicity by the International Agency for Research on Cancer, with a clear statement that the chemical substance may induce transplacental carcinogenesis noted in an International Agency for Research on Cancer Monograph on the Evaluation of Carcinogenic Risks to Humans.
(3) Recognition as a suspected developmental toxicant by an authoritative organization. 
(4) Strong evidence for the Genotoxicity Hazard Trait pursuant to Article 3 subsection 69403.5 of this Chapter or the Endocrine Toxicity Hazard Trait pursuant to Article 3 subsection 69403.3 of this Chapter with mechanisms of genotoxicity or endocrine toxicity likely to be involved in developmental toxicity. 
(5) Strong indications from supportive studies, as described by the National Toxicology Program, indicating possible developmental toxicity. 
(6) Mechanistic evidence that is suggestive of developmental toxicity potential, from cell-based, tissue-based or whole organism-based assays showing perturbations of known physiological, biochemical or other pathways involved in developmental toxicity. 
(7) Strong indications of developmental toxicity from structure activity relationships, including but not limited to those from Quantitative Structure Activity Relationship models.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69402.5. Reproductive Toxicity.
Note     •     History

(a) The reproductive toxicity hazard trait is defined as the occurrence of adverse effects on the reproductive system or reproductive function of females or males following exposure to a chemical substance. 
(b) Toxicological endpoints for reproductive toxicity include, but are not limited to: adverse alterations to the female or male reproductive organs, the related endocrine system, or pregnancy outcomes; adverse effects on onset of puberty, gamete production and transport, reproductive cycle normality, sexual behavior, fertility, gestation, parturition, or lactation; developmental toxicity, premature reproductive senescence, or other modifications that compromise the integrity of the reproductive system or reproductive function in animals or humans. 
(c) Other relevant data include but are not limited to: data on endocrine disruption, genotoxicity, in vitro measures of the capacity of a chemical to damage the function or structure of germ cells such as sperm or oocytes or cells critical for reproductive function, such as Sertoli and Leydig cells in males; structural or mechanistic similarity to other substances that are toxic to reproductive systems.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69402.6. Evidence for Reproductive Toxicity Hazard Trait.
Note     •     History

(a) Each of the following constitutes strong evidence of reproductive toxicity for a given chemical substance:
(1) Identification as known to the state to cause reproductive toxicity with male or female reproductive toxicity or both denoted as an endpoint in Title 27, California Code of Regulations, section 27001. 
(2) Meeting the National Toxicology Program criteria as having clear or sufficient evidence of adverse effects for reproductive toxicity.
(3) Meeting the criteria for being classified as Category 1 for known or presumed effects on human reproduction or on development based on male or female reproductive toxicity data under the United Nations' Globally Harmonized System for Classification and Labeling of Chemicals. 
(4) Identification as a known or potential male or female reproductive toxicant or both or having the capacity to cause reproductive toxicity in a report by the National Academy of Sciences' National Research Council or Institute of Medicine.
(5) Identification in the National Institute for Occupational Safety and Health (“NIOSH”) Pocket Guide to Chemical Hazards with having reproductive organs as the target organ or as having sterility or other reproductive effects.
(6) Recognition as a reproductive toxicant by an authoritative organization.
(b) Each of the following constitutes suggestive evidence of reproductive toxicity for a given chemical substance:
(1) Meeting the National Toxicology Program criteria as having some or limited evidence of adverse effects for reproductive toxicity.
(2) Recognition as a suspected reproductive toxicant by an authoritative organization. 
(3) Strong evidence for the Genotoxicity Hazard Trait pursuant to Article 3 subsection 69403.5 of this Chapter or the Endocrine Toxicity Hazard Trait pursuant to Article 3 subsection 69403.3 of this Chapter with mechanisms of genotoxicity or endocrine toxicity likely to be involved in reproductive toxicity.
(4) Supportive studies, as defined by the National Toxicology Program, indicating possible male or female reproductive toxicity.
(5) Mechanistic evidence that is suggestive of reproductive toxicity potential, from cell-based, tissue-based or whole organism-based assays showing perturbations of known physiological, biochemical or other pathways involved in reproductive toxicity. 
(6) Strong indications of reproductive toxicity from structure activity relationships, including but not limited to those from Quantitative Structure Activity Relationship models.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
Article 3. Other Toxicological Hazard Traits
§69403. General.
Note     •     History

This article specifies toxicological hazard traits and endpoints and other relevant data for toxicological hazard traits that are not otherwise addressed in Article 2 of this Chapter. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New article 3 (sections 69403-69403.17) and section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.1. Cardiovascular Toxicity.
Note     •     History

(a) The cardiovascular toxicity hazard trait is defined as the occurrence of adverse effects on the structure or function of the heart or the vascular system following exposure to a chemical substance.
(b) Toxicological endpoints for cardiovascular toxicity include but are not limited to observations indicating: structural effects associated with cell necrosis, cellular degeneration, proliferation, fibrosis, or inflammation of the heart or vasculature, atherosclerosis, thickening of arterial walls, or cardiac hypertrophy; functional effects such as arrhythmia or changes in rhythmicity or contractility of the heart, hypo- or hyper- tension, decreased cardiac output, alteration of vascular reactivity or vessel dilation or contraction; outcomes of structural or functional impairment including high blood pressure, myocardial infarct, or cardiac failure; epidemiological or laboratory animal observations of cardiovascular morbidity or mortality in association with chemical substance exposure.
(c) Other relevant cardiovascular toxicity data include but are not limited to: markers of systemic inflammation; alteration of the electrophysiology of isolated cardiomyocytes; dysregulation of cytokines; platelet activation and aggregation; perturbation of clotting; changes in cardiomyocytes gene expression involved in heart disease; alterations of cell signaling related to vascular or heart disease; in vitro measures of cardiovascular toxicity such as cytotoxicity to isolated vascular endothelial cells; structural or mechanistic similarity to other chemical substances that are toxic to the cardiovascular system.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.2. Dermatotoxicity.
Note     •     History

(a) The dermatotoxicity hazard trait is defined as the occurrence of adverse effects on the structure or function of the skin including its barrier properties and its ability to maintain heat, fluid, or electrolyte homeostasis following exposure to a chemical substance.
(b) Toxicological endpoints for dermatotoxicity include but are not limited to those indicating: allergic sensitization, allergic reactions, acute or subacute irritation, photosensitivity, or corrosivity measured in in vivo and in vitro skin models.
(c) Other relevant dermatotoxicity data include, but are not limited to: in vitro measures of dermatotoxicity such as toxicity in cell-based models; structural or mechanistic similarity to other chemical substances that are dermatotoxic. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.3. Endocrine Toxicity.
Note     •     History

(a) The endocrine toxicity hazard trait is defined as the occurrence of adverse effects following exposure to a chemical substance on the structure or function of the endocrine system, including endocrine disruption and metabolic syndrome. 
(b) Toxicological endpoints for endocrine toxicity include but are not limited to those indicating: adverse effects on endocrine organs; adverse perturbations of the synthesis, secretion, transport, binding, action, or elimination of natural hormones or their receptors in the body that are responsible for the maintenance of homeostasis, metabolism, reproduction, development or behavior. 
(c) Other relevant data include but are not limited to: binding of a chemical substance or its metabolites to hormones or hormonal receptors or inhibition of hormone synthesis in vitro experimental models; induction of hormone metabolic enzymes; modulation of genes involved in metabolic syndrome; structural or mechanistic similarity to other chemical substances that are toxic to endocrine systems.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.4. Epigenetic Toxicity.
Note     •     History

(a) The epigenetic toxicity hazard trait is defined as changes, at the cellular or organism level, in gene expression or gene function that do not involve changes in the DNA sequence and contribute to adverse effects in an organism following exposure to a chemical substance.
(b) Toxicological endpoints for epigenetic toxicity include, but are not limited to those indicating: toxicity in humans or animals associated with epigenetic mechanisms such as chemically induced DNA methylation, histone modification, nucleosome remodeling, or non-coding RNA. Chemically induced epigenetic endpoints may be observed in an exposed organism or its offspring.
(c) Other relevant epigenetic toxicity data include but are not limited to: in vitro or other data using biological models indicative of chemically induced epigenetic toxicity in an exposed organism or its offspring; structural or mechanistic similarity to other chemical substances that induce adverse epigenetic effects.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.5. Genotoxicity.
Note     •     History

(a) Genotoxicity is defined as the occurrence of a chemical substance-induced change, either direct or indirect, to the cellular genome, including DNA sequences or chromosomes.
(b) Toxicological endpoints for genotoxicity include but are not limited to those indicating: DNA damage, mutations in genes, chromosomal aberrations, micronuclei, sister chromatid exchange, aneuploidy, polyploidy, DNA adduct formation, or unscheduled DNA synthesis in humans, animals, other organisms or cell lines.
(c) Other relevant data include but are not limited to: data on protein-adduct formation; electrophilic potential; abasic sites; protein-DNA crosslinks; structural or mechanistic similarity to other chemical substances that are genotoxic.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.6. Hematotoxicity.
Note     •     History

(a) The hematotoxicity hazard trait is defined as the occurrence of adverse effects on blood or blood-forming tissues following exposure to a chemical substance.
(b) Toxicological endpoints for hematotoxicity include, but are not limited to those indicating: alterations in the number, types or lifetime of circulating blood cells, or in the ratio of cell types; decrease in the oxygen transporting capacity of hemoglobin or red blood cells; increase or decrease in blood clotting activity resulting from interference in platelet response or function or other causes; bone marrow toxicity; aplastic, hemolytic or myelodysplastic anemia.
(c) Other relevant data include but are not limited to: in vitro measures of toxicity in isolated blood cells or blood-forming tissues; structural or mechanistic similarity to other chemical substances that are hematotoxic.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.7. Hepatotoxicity and Digestive System Toxicity.
Note     •     History

(a) The hepatotoxicity and digestive system toxicity hazard trait is defined as the occurrence of adverse effects on the structure or function of the liver, gall bladder, or gastrointestinal tract following exposure to a chemical substance.
(b) Toxicological endpoints for hepatotoxicity and digestive system toxicity include, but are not limited to those indicating: liver damage; fatty liver; hepatitis; canicular cholestasis; vascular changes; steatosis; bile duct damage; gall bladder disease; gastrointestinal tract dysfunction including emesis and acid reflux disorder; sinusoidal damage; cirrhosis; inflammation or hyperplasia of the gastrointestinal epithelium.
(c) Other relevant hepatotoxicity and gastrointestinal toxicity data include but are not limited to those indicating: elevated pro-inflammatory cytokines, induction or inhibition of xenobiotic metabolizing enzymes; generation of reactive metabolites; disruption of glucose or glycogen metabolism; impaired or unbalanced serum protein production; in vitro indicators of hepatotoxicity; structural or mechanistic similarity to other chemical substances that are hepatotoxic or cause digestive system toxicity.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.8. Immunotoxicity.
Note     •     History

(a) Immunotoxicity is defined as the occurrence of adverse effects on the components or function of the immune system following exposure to a chemical substance.
(b) Toxicological endpoints for immunotoxicity include but are not limited to those indicating: allergic sensitization, those indicating hypersensitivity (types I-IV); changes in circulating immune cell numbers; gross and histopathological changes in lymphoid organs; alterations in cytokine production and release; changes in number or behavior of regulatory effector cells; in vivo suppression or enhancement of the immune response; changes in specific immunoglobulins; changes in immune organ weights; in vitro or ex vivo indicators of heightened or suppressed immune response; initiation or exacerbation of autoimmunity.
(c) Other relevant immunotoxicity data include but are not limited to: high antigenicity; structural or mechanistic similarity to other chemical substances that are immunotoxic.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.9. Musculoskeletal Toxicity.
Note     •     History

(a) The musculoskeletal toxicity hazard trait is defined as the occurrence of adverse effects on the structure or function of the musculoskeletal system following exposure to a chemical substance. The musculoskeletal system includes bones, muscles, cartilage, tendons, ligaments, joints and connective tissue.
(b) Toxicological endpoints for musculoskeletal toxicity include, but are not limited to those indicating: necrosis, inflammation, discomfort or pain of the musculoskeletal system; arthritis; decreased joint movement; changes in mineral content of bone including tooth mottling; osteomalacia; osteoporosis; bone malformation or other skeletal growth disorders; abnormal bone mass or density indices; tooth loss; cell proliferation or altered ratio of musculoskeletal cells; fibromyalgia; adverse muscle or neuromuscular function.
(c) Other relevant musculoskeletal toxicity data include, but are not limited to: in vitro indicators of musculoskeletal toxicity; structural or mechanistic similarity to other chemical substances that are toxic to the musculoskeletal system. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.10. Nephrotoxicity and Other Toxicity to the Urinary System.
Note     •     History

(a) The nephrotoxicity hazard trait is defined as the occurrence of adverse effects on the structure or function of the kidney and other components of the urinary system following exposure to a chemical substance.
(b) Toxicological endpoints for nephrotoxicity and other urinary system toxicity include, but are not limited to those indicating: abnormal urine volume or chemistry; abnormal blood chemistry; alterations in glomerular filtration rate or tubular re-absorptive capacity; pathological changes to the kidney; formation of calculi in the ureter or bladder; muscular or epithelial damage in the urinary bladder.
(c) Other relevant data include, but are not limited to: in vitro indicators of nephrotoxicity; structural or mechanistic similarity to other chemical substances that are nephrotoxic. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.11. Neurodevelopmental Toxicity.
Note     •     History

(a) The neurodevelopmental toxicity hazard trait is defined as the occurrence of adverse effects on development of the nervous system resulting from exposure to a chemical substance during the developmental period, including effects on the structure or function of the central or peripheral nervous system, such as neurochemical, neurophysiological, neuroanatomical, or behavioral alterations.
(b) Toxicological endpoints for neurodevelopmental toxicity include but are not limited to: alterations in neuromuscular, sensory, cognitive (learning and memory), integrative or autonomic functions; neuropathological changes including gross change in size or shape of the brain or brain regions, death of neuronal precursors, abnormal proliferation, migration, differentiation, or alterations in transient developmental structures, or hydrocephalus.
(c) Other relevant developmental neurotoxicity data include but are not limited to evidence of neurotoxicity in adult animals; in vitro indicators of toxicity such as in isolated neuronal precursor cells or stem cells, or neurosphere models; structural or mechanistic similarity to chemicals that are toxic to the developing nervous system.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.12. Neurotoxicity.
Note     •     History

(a) The neurotoxicity hazard trait is defined as the occurrence of adverse effects, following exposure to a chemical substance, on the structure or function of the central or peripheral nervous system, such as neurochemical, neurophysiological, or behavioral effects. 
(b) Toxicological endpoints for neurotoxicity include, but are not limited to those indicating: pathological changes in the central or peripheral nervous systems; abnormal electrical activity of the central or peripheral nervous systems; altered neurochemical synthesis, storage, secretion or uptake; impairments in neuromuscular control; mood disorders; behavioral changes; impaired cognition including IQ decrements.
(c) Other relevant neurotoxicity data include but are not limited to: in vitro indicators of neurotoxicity in isolated nervous system cells; structural or mechanistic similarity to other chemical substances that are neurotoxic.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.13. Ocular Toxicity.
Note     •     History

(a) The ocular toxicity hazard trait is defined as the occurrence of adverse changes to the components or function of the visual system following exposure to a chemical substance.
(b) Toxicological endpoints for ocular toxicity include but are not limited to those indicating: damage to the iris, conjunctiva, lens or cornea; abnormal reaction to light; damage to the eye lids or nictitating membranes; functional or structural damage to the retina; damage to or induction of functional abnormalities to the ocular portions of the central nervous system.
(c) Other relevant ocular toxicity data include, but are not limited to physicochemical properties such as pH and chemical reactivity; data on dermal irritancy or corrosivity; structural or mechanistic similarity to other chemical substances that induce ocular toxicity.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.14. Ototoxicity.
Note     •     History

(a) The ototoxicity hazard trait is defined as the occurrence of adverse effects on the structure or function of the inner ear or the vestibulo-cochlear nerve, or auditory portions of the central nervous system, which could result in temporary or permanent disturbances of hearing, balance, or both following exposure to a chemical substance.
(b) Toxicological endpoints for ototoxicity include, but are not limited to those indicating: hearing impairment; abnormal balance; changes to cellular components of the inner ear; change in auditory response or electrical activity in the vestibulo-cochlear nerve or auditory areas of the brain.
(c) Other relevant ototoxicity data include but are not limited to: in vitro indications of ototoxicity; structural or mechanistic similarity to other chemical substances that are ototoxic.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.15. Reactivity in Biological Systems.
Note     •     History

(a) The reactivity in biological systems hazard trait is defined as the occurrence of rapid reactions with molecules in the body that lead to alterations in critical molecular function and ultimately adverse health outcomes.
(b) Toxicological endpoints for reactivity in biological systems include, but are not limited to: covalent binding to or oxidation of cellular macromolecules; in vivo generation of reactive oxygen species or oxidative stress; catalytic generation of hydroxyl radicals in vivo.
(c) Other relevant data include, but are not limited to: in vitro measurements of covalent binding to or oxidation of DNA, lipids or proteins; detection of reactive species in cell culture; structural or mechanistic similarity to other chemical substances that are reactive in biological systems.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.16. Respiratory Toxicity.
Note     •     History

(a) The respiratory toxicity hazard trait is defined as the occurrence of adverse effects on the structure or function of the respiratory tract following exposure to a chemical substance, including respiratory tract injury or decreased ability of the lungs to function in gas exchange.
(b) Toxicological endpoints for respiratory toxicity include, but are not limited to those indicating: respiratory irritation; pathological changes to the airway or other lung structures; inflammation; fibrosis; hypersensitivity pneumonitis; airways hyperresponsiveness; altered lung function; asthma; airways remodeling; increased respiratory infections; altered composition of bronchoalveolar lavage fluid. 
(c) Other relevant data include but are not limited to: in vitro evidence for respiratory toxicity; particle size distribution inclusive of respirable particles; respirable fibers; long half-life in the lung; chemical reactivity; redox potential; structural or mechanistic similarity to other chemical substances that are toxic to the respiratory system.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69403.17. Evidence for Other Toxicological Hazard Traits.
Note     •     History

(a) For a given chemical substance, either of the following constitutes strong evidence of any of the hazard traits identified in this article:
(1) An authoritative organization identifies or otherwise indicates that the chemical substance has the hazard trait by:
(A) Concluding based on well-conducted scientific studies that the chemical has the hazard trait.
(B) Using the hazard trait in a hazard identification, dose-response assessment or risk assessment. 
(C) Including the chemical substance on a list of substances identified as having, or being regulated based on, the hazard trait.
(2) The available data from well-conducted scientific studies show that exposure to the chemical substance induces a toxicological endpoint or endpoints for the hazard trait.
(b) For a given chemical substance, each of the following constitutes suggestive evidence of any of the hazard traits identified in this article:
(1) An authoritative organization identifies or discusses the chemical substance as possibly having the hazard trait. 
(2) The available data from well-conducted scientific studies suggest exposure to the chemical substance induces a toxicological endpoint or endpoints for the hazard trait.
(3) Mechanistic evidence that is suggestive of the hazard trait, from cell-based, tissue-based or whole organism-based assays showing perturbations of known physiological, biochemical or other pathways involved in causing the hazard trait. 
(4) Strong indications of the hazard trait from structure activity relationships, including but not limited to those from Quantitative Structure Activity Relationship models.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
Article 4. Environmental Hazard Traits
§69404. General.
Note     •     History

This article specifies environmental hazard traits and endpoints and other relevant data for these traits. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New article 4 (sections 69404-69404.10) and section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69404.1. Domesticated Animal Toxicity.
Note     •     History

(a) The domesticated animal toxicity hazard trait is defined as the occurrence of adverse health effects on pets or livestock from exposure to a chemical substance. 
(b) Environmental endpoints for domesticated animal toxicity include but are not limited to observations of reproductive or developmental toxicity, morbidity or mortality of pets or livestock following exposure to a chemical substance.
(c) Other relevant data include but are not limited to endpoint data described in Articles 2 or 3 or Article 4 subsections 69404.6, 69404.7, 69404.8, or 69404.9 of this Chapter, showing the potential for effects in a pet or livestock species.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69404.2. Eutrophication.
Note     •     History

(a) The eutrophication hazard trait is defined as contributing to adverse changes in aquatic or soil ecosystems resulting from the release of excess chemical nutrients or substances increasing the availability of nutrients. Observed adverse changes typically include excessive plant growth, hypoxia in aquatic systems and changes in species composition. 
(b) Environmental endpoints for eutrophication include, but are not limited to those indicating: excessive plant growth; hypoxia; or changes in species composition following the release of excess nutrients or substances increasing the availability of nutrients.
(c) Other relevant data include but are not limited to modeling to predict the impact of chemicals on nutrient levels and plant growth in aquatic and terrestrial ecosystems.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69404.3. Impairment of Waste Management Organisms.
Note     •     History

(a) The impairment of waste management organisms hazard trait is defined as adverse changes to biota relied upon in aerobic and anaerobic sewage treatment and waste recycling.
(b) Environmental endpoints for impairment of waste management organisms include but are not limited to: toxicity to microorganisms, such as bacteria and algae, used in sewage treatment processes or respiration inhibition of activated sludge following exposure to a chemical substance.
(c) Other relevant data include but are not limited to mechanistic or structural similarity to other chemicals that impair waste management organisms.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69404.4. Loss of Genetic Diversity, Including Biodiversity.
Note     •     History

(a) The loss of genetic diversity hazard trait is defined as contributing to adverse change in the genetic make-up of a species, community, assemblage or ecosystem following exposure to a chemical substance. 
(b) Environmental endpoints for loss of genetic diversity, including biodiversity include, but are not limited to those indicating: reduction in the abundance of species within a community, assemblage or ecosystem, or the genetic make-up of local populations in aquatic or terrestrial ecosystems.
(c) Other relevant data include but are not limited to: in silico predictions of changes in genetic diversity; associative data from field studies linking exposure to a chemical substance with changes in genetic diversity or biodiversity.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69404.5. Phytotoxicity.
Note     •     History

(a) The phytotoxicity hazard trait is defined as the occurrence of adverse effects on the reproduction, development, growth, function or survival of plants following exposure to a chemical substance. For the purpose of this hazard trait, “plants” mean vascular and nonvascular plants, algae, fungi and lichen present in the aquatic and terrestrial environment, including harvested species.
(b) Environmental endpoints for phytotoxicity include, but are not limited to those indicating: adverse effects on survival, fecundity, fertility, growth, abundance, production, function or normal physiology in plants; gross developmental anomalies.
(c) Other relevant phytotoxicity impairment data include but are not limited to: mechanistic or structural similarity to other phytotoxicants; in vitro evidence of exposure-related adverse impacts in plants; associative data from field studies linking exposure to a chemical substance with observed phytotoxicity.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69404.6. Wildlife Developmental Impairment.
Note     •     History

(a) The wildlife developmental impairment hazard trait is defined as the occurrence of adverse effects on the structure or function of the developing organism, including aquatic and terrestrial organisms, following exposure to a chemical substance. 
(b) Environmental endpoints for wildlife development impairment include, but are not limited to those indicating: malformations, exposure related adverse impacts on rate of development, neurodevelopment, metamorphosis, or morphometrics in animal organisms, including aquatic and terrestrial species.
(c) Other relevant developmental impairment data include but are not limited to: mechanistic or structural similarity to other chemical substances that impair wildlife development; data on mechanisms of mammalian developmental toxicity as described for the toxicological hazard traits in Article 2 subsection 69402.3 of this Chapter; mechanistic data specific to non-mammalian wildlife; associative data from field studies linking exposure to a chemical substance with adverse changes in development.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69404.7. Wildlife Growth Impairment.
Note     •     History

(a) The wildlife growth impairment hazard trait is defined as the occurrence of adverse changes in absolute growth, proportional growth or growth rate in organisms, including aquatic and terrestrial organisms, following exposure to a chemical substance.
(b) Environmental endpoints for wildlife growth impairment include, but are not limited to those indicating abnormalities in growth rates or body size indices observed in animals, including aquatic and terrestrial species.
(c) Other relevant growth impairment data includes but are not limited to: mechanistic or structural similarity to other chemicals that impair wildlife growth; mechanistically based markers of data on growth retardation; associative data from field studies linking exposure to a chemical substance with adverse changes in wildlife growth.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69404.8. Wildlife Reproductive Impairment.
Note     •     History

(a) The wildlife reproductive impairment hazard trait is defined as the occurrence of adverse effects on the reproductive system or sexual function of wildlife, including aquatic and terrestrial organisms, following exposure to a chemical substance that may reduce reproductive capacity in the environment.
(b) Environmental endpoints for wildlife reproductive impairment include, but are not limited to those indicating: adverse changes in reproductive endocrine function, sexual maturation, structure and function of reproductive organs, including intersex and imposex organs, secondary sex characteristics, behavior related to reproduction such as mating and parental care, vitellogenin production, fecundity, fertility, or offspring sex ratio observed in the laboratory or in a wild population, including aquatic and terrestrial species. Endpoints of toxicity described for the toxicological hazard traits in Article 2 sections 69402.5 and 69403.3 of this Chapter are also valid endpoints for wildlife reproductive impairment. 
(c) Other relevant reproductive impairment data include but are not limited to: mechanistic or structural similarity to other chemical substances that impair wildlife reproduction; in vitro evidence of exposure related perturbations of the hypothalamic-pituitary-gonadal axis; agonism of the aryl hydrocarbon receptor; binding or disruption of the function of the estrogen or androgen receptors; toxicogenomic responses associated with reproductive impairment; other relevant data as described for toxicological hazard traits in Article 2 section 69402.5 or Article 3 section 69403.3 of this Chapter; associative data from field studies linking exposure to a chemical substance with reductions in animal reproduction.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69404.9. Wildlife Survival Impairment.
Note     •     History

(a) The wildlife survival impairment hazard trait is defined as the occurrence of increased incidence of death, disease or other biological impairment following exposure to a chemical substance that may decrease the potential for wildlife survival, including in aquatic and terrestrial species.
(b) Environmental endpoints for wildlife survival impairment include, but are not limited to those indicating: death; aquatic or terrestrial toxicity; toxicity described for toxicological hazard traits in Articles 2 and 3 of this Chapter; non-specific toxicity such as narcosis, behavioral impacts, increased disease susceptibility, or changes in population viability observed in the laboratory or in wild populations, including in aquatic and terrestrial species.
(c) Other relevant survival impairment data include but are not limited to: structural or functional similarity to chemical substances shown to impair wildlife survival; in vitro evidence described for toxicological hazard traits in Articles 2 and 3 of this Chapter; data from in vitro testing designed specifically for ecotoxicological endpoints; associative data from field studies suggesting a possible link between a chemical and community or ecosystem level impacts. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69404.10. Evidence for Environmental Hazard Traits.
History

(a) For a given chemical substance, either of the following constitutes strong evidence of any of the hazard traits identified in this article:
(1) An authoritative organization identifies or otherwise indicates that the chemical substance has the hazard trait by:
(A) Concluding based on well-conducted scientific studies that the chemical has the hazard trait.
(B) Using the hazard trait in a hazard identification, dose-response assessment, risk assessment, or other scientific evaluation. 
(C) Including the chemical substance on a list of substances identified as having, or being regulated based on, the hazard trait.
(2) The available data from well-conducted scientific studies show that exposure to the chemical substance induces an environmental endpoint or endpoints for the hazard trait. Studies include, but are not limited to, standard aquatic and terrestrial toxicity testing as well as research-based investigations.
(b) For a given chemical substance, each of the following constitutes suggestive evidence of any of the hazard traits identified in this article:
(1) An authoritative organization identifies or discusses the chemical substance as possibly having the hazard trait. 
(2) The available data from well-conducted scientific studies suggest exposure to the chemical substance induces a toxicological endpoint or endpoints for the hazard trait. Studies can be, but are not limited to, standard aquatic and terrestrial toxicity tests or a research-based investigation. 
(3) Mechanistic evidence that is suggestive of the hazard trait from cell-based, tissue-based or whole organism-based assays showing perturbations of known physiological, biochemical or other pathways involved in causing the hazard trait. 
(4) Strong indications of the hazard trait from structure activity relationships, including, but not limited to, those from Quantitative Structure Activity Relationship programs.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
Article 5. Exposure Potential Hazard Traits
§69405. General.
Note     •     History

This article specifies exposure potential hazard traits.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New article 5 (sections 69405-69405.8) and section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69405.1. Ambient Ozone Formation.
Note     •     History

(a) The ambient ozone formation hazard trait is defined as the capacity for chemical substances, such as volatile organic compounds, to react outdoors in the presence of ultraviolet light to generate ozone and other oxidants, or indoors in the presence of visible light to produce ozone. 
(b) Evidence for the ambient ozone formation hazard trait includes but is not limited to: measurements of reactivity of the chemical substance, such as the Maximal Reactivity Scale adopted by the California Air Resources Board pursuant to Health and Safety Code section 41712.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69405.2. Bioaccumulation.
Note     •     History

(a) The bioaccumulation hazard trait is defined as the accumulation of a chemical substance in the tissue of organisms through any route, including respiration, ingestion, or dermal, including direct contact with contaminated water, sediment, and pore water in the sediment, or through transfer up the food chain. 
(b) Evidence for the bioaccumulation hazard trait includes but is not limited to: the identification of a substance to be bioaccumulative by an authoritative organization; studies which show bioaccumulation in human, domesticated animal, wildlife or plant tissues; inhibition of an efflux transporter; transfer of the chemical up a food web; a trophic magnification factor or biomagnification factor greater than 1 in aquatic or terrestrial systems; for organic chemicals, a bioaccumulation or bioconcentration factor greater than 1000; a log octanol-water partition coefficient greater than or equal to 4, or a log octanol-air partition coefficient greater than or equal to 5; results from bioaccumulation models indicating potential for bioaccumulation; structural similarity to other bioaccumulative chemicals.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69405.3. Environmental Persistence.
Note     •     History

(a) The environmental persistence hazard trait is defined as the propensity for a chemical substance to remain in the environment for a long time period subsequent to its release by resisting chemical and biological degradation.
(b) Evidence for environmental persistence includes but is not limited to: the identification of a substance to be persistent by an authoritative organization; resistance to degradation in wastewater treatment processes; half-lives in marine, fresh or estuary water of greater than 40 to 60 days, in sediment of greater than 2 months, in ambient air of greater than 2 days, or in soil of greater than 2 months; structural similarity to other persistent chemicals.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69405.4. Global Warming Potential.
Note     •     History

(a) The global warming potential hazard trait is defined as the propensity for a chemical substance to be a greenhouse gas, that is, to absorb infra-red radiation in the atmosphere and, thereby, contribute to the general warming of the planet. 
(b) Evidence for the global warming hazard trait includes but is not limited to: measures of the global warming potential which meet the criteria of the International Panel on Climate Change as a global warming substance.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69405.5. Lactational or Transplacental Transfer.
Note     •     History

(a) The lactational or transplacental transfer hazard trait is defined as the ability of a chemical substance to transfer from the mother's tissues into breast milk or across the placenta.
(b) Evidence for lactational or transplacental transfer includes but is not limited to: measurement of the chemical substance in mother's milk or crossing the placenta into fetal circulation or the chemical substance possessing physical-chemical or pharmacokinetic properties associated with movement into mother's milk or across the placenta.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69405.6. Mobility in Environmental Media.
Note     •     History

(a) The mobility in environmental media hazard trait is defined as the capacity of a chemical substance for rapid movement in the environment.
(b) Evidence for environmental mobility of a chemical substance includes, but is not limited to: reports in the scientific literature of environmental mobility; evidence of widespread contamination of the food chain or global distribution or ubiquitousness in the environment; physico-chemical characteristics predisposing to ease of movement through environmental compartments such as air, water, or soil. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69405.7. Particle Size or Fiber Dimension.
Note     •     History

(a) The particle size or fiber dimension hazard trait is defined as the existence of a chemical substance in the form of small particles or fibers or the propensity to form into such small-sized particles or fibers with use or environmental release. 
(b) Evidence for the particle size or fiber dimension hazard trait includes, but is not limited to: measures of particle size less than or equal to 10 micrometers in mass median aerodynamic diameter for inhalation exposure, or less than 10 micrometers in any dimension for dermal or ingestion exposure, or fibers with a 3:1 aspect ratio and a width less than or equal to 3 micrometers. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69405.8. Stratospheric Ozone Depletion Potential.
Note     •     History

(a) This hazard trait is defined as the capacity for a chemical substance to deplete stratospheric ozone and, thereby, contribute to higher levels of ultraviolet B radiation reaching the earth's surface. 
(b) Evidence for the stratospheric ozone depletion hazard trait includes but is not limited to: listing of a chemical substance in the Montreal Protocol or by the U.S. Environmental Protection Agency pursuant to section 612(a) of the Clean Air Act as a substance that depletes stratospheric ozone.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
Article 6. Physical Hazard Traits
§69406. General.
Note     •     History

This article specifies physical hazard traits.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New article 6 (sections 69406-69406.3) and section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69406.1. Combustion Facilitation.
Note     •     History

(a) The combustion facilitation hazard trait is defined as a hazard due to a substance causing or contributing to the combustion of another material. 
(b) Evidence for this hazard trait includes, but is not limited to: meeting the criteria for being an oxidizing gas in section 2.4, oxidizing liquid in section 2.13, or oxidizing solid in section 2.14 of the Globally Harmonized System of Classification and Labeling of Chemicals. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69406.2. Explosivity.
Note     •     History

(a) The explosivity hazard trait is defined as a hazard that results from chemical reaction that produces gas at such a temperature and pressure and at such a speed as to cause damage to the surroundings. 
(b) Evidence for this hazard trait includes but is not limited to: meeting the criteria for being an explosive in section 2.1 or for organic peroxide type A or B in section 2.15 of the Globally Harmonized System of Classification and Labeling of Chemicals. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69406.3. Flammability.
Note     •     History

(a) The flammability hazard trait is defined as hazards due to substances that ignite or heat under certain conditions, causing burns or fire. 
(b) Evidence for this hazard trait includes, but is not limited to, meeting the definition of flammable aerosol, flammable gas, flammable liquid, or flammable solid in 29 CFR, Occupational Safety and Health Standards, Part 1910, subpart Z, Toxic and Hazardous Substances, Standard number 1910.1200; meeting the criteria for being a flammable gas in section 2.3, liquid in section 2.6, solid in section 2.7, or aerosol in section 2.3; pyrophoric liquid in section 2.9 or solid in section 2.10; self-reactive substance or mixture in section 2.8; self-heating substance or mixture in section 2.11; substance or mixtures which, in contact with water, emit flammable gases in section 2.12; or types C through F organic peroxides in section 2.15 of the Globally Harmonized System of Classification and Labeling of Chemicals.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
Article 7. Additional Relevant Data
§69407. General.
Note     •     History

This Article identifies types of relevant data in addition to those provided in Articles 2 through 6 of this Chapter that may be included in the Toxics Information Clearinghouse and that can inform chemical evaluations under Health and Safety Code section 25252.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New article 7 (sections 69407-69407.2) and section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69407.1. Exposure-Response Relationship.
Note     •     History

Data on the relationship between exposure to a given chemical substance and degree of response include but are not limited to: estimates of potency for carcinogenic effects and other non-cancer toxicity published by authoritative organizations; evidence from well-conducted scientific studies describing or quantifying the relationship between exposure concentration or dose and degree of adverse effect or biological response.
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
§69407.2. Physicochemical Properties.
Note     •     History

Physicochemical properties of chemicals that can inform chemical evaluation include but are not limited to: physical state; molecular weight; density; vapor pressure and saturated vapor pressure; melting point; boiling point; water solubility; lipid solubility; octanol-water partition coefficient, octanol-air partition coefficient, organic carbon partition coefficient; diffusivity in air and water; Henry's Law constant; sorption coefficient for soil and sediment; redox potential; photolysis rates; hydrolysis rates; dissociation constants; or reactivity including electrophilicity. 
NOTE

Authority cited: Sections 25256.1 and 59012, Health and Safety Code. Reference: Sections 25256.1 and 59012, Health and Safety Code.
HISTORY

1. New section filed 12-20-2011; operative 1-29-2012 (Register 2011, No. 51).
Division 5. Licensing and Certification of Health Facilities, Home Health Agencies, Clinics, and Referral Agencies

(Originally Printed 6-14-75)
Chapter 1. General Acute Care Hospitals
Article 1. Definitions
§70001. Meaning of Words.
Note     •     History

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

Authority cited for Division 5: Sections 208, 1255, 1266, 1402, 1426, 38254 and 38255, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1222, 1229, 1250, 1251, 1251.5, 1252, 1253, 1254, 1255, 1256, 1257, 1265, 1265.5, 1265.7, 1265.8, 1266, 1267, 1268, 1269, 1270, 1275, 1276, 1277, 1278, 1279, 1280, 1282, 1294, 1295, 1296, 1297, 1298, 1300, 1315, 1316, 1317, 1318, 1400, 1401, 1402, 1403, 1404, 1405, 1410, 1411, 1412, 1417.1, 1418, 1419, 1420, 1421, 1422, 1423, 1424, 1425, 1426, 1427, 1428, 1429, 1430, 1431, 1432, 1437, 1439, 1729, 1734, 38254, and 38255, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code.
HISTORY

1. New Division 5 (Chapters 1, 2, 3, 4 and 5 (Sections 70001-74515, not consecutive)) filed 6-13-75; effective thirtieth day thereafter (Register 75, No. 24).
2. Change without regulatory effect of Division 5 heading filed 7-16-87; operative 7-16-87 (Register 87, No. 30).
§70003. Hospital.

Hospital means a general acute care hospital.
§70005. General Acute Care Hospital.
Note     •     History

(a) General acute care hospital means a hospital, licensed by the Department, having a duly constituted governing body with overall administrative and professional responsibility and an organized medical staff which provides 24-hour inpatient care, including the following basic services: medical, nursing, surgical, anesthesia, laboratory, radiology, pharmacy, and dietary services.
(b) A general acute care hospital shall not include separate buildings which are used exclusively to house personnel or provide activities not related to hospital patients.
NOTE

Authority cited: Section 1250.1(a), Health and Safety Code. Reference: Section 1250(a), Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to section 100(b)(3), Title 1, California Code of Regulations, repealing subsection (c), filed 4-2-90 (Register 90, No. 17). 
§70006. Acute Psychiatric Care Bed Classification.
Note     •     History

Acute psychiatric care bed classification means beds designated for acute psychiatric, developmentally disabled or drug abuse patients receiving 24-hour medical care.
NOTE

Authority cited: Sections 208 and 1250.1, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
3. Certificate of Compliance as to filing of 10-5-76 filed 1-31-77 (Register 77, No. 6).
4. Certificate of Compliance as to filing of 11-12-76 filed 3-8-77 (Register 77, No. 11).
§70007. Alteration.

Alteration means any change in the construction or configuration other than maintenance in an existing building and which does not increase the floor or roof area or the volume of enclosed space.
§70009. Autoclaving.

Autoclaving means the process of sterilization by steam under pressure.
§70011. Basic Services.

Basic services means those essential services required by law for licensure as a hospital including medical, nursing, surgical, anesthesia, laboratory, radiology, pharmacy and dietary services.
§70012. Certificate of Exemption.
Note     •     History

Certificate of Exemption means a document containing Department approval for the exemption of a specified project from Certificate of Need review.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976. 
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§70012.1. Certificate of Need.
Note     •     History

Certificate of need means a document containing Department approval for a specified project.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§70013. Child. [Repealed]
History

HISTORY

1. Repealer filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. New section filed 12-3-76 as an emergency; effective upon filing (Register 76, No. 49).
3. Certificate of Compliance filed 3-8-77 as to filing of 11-12-76 (Register 77, No. 11).
4. Reinstatement of section as it existed prior to emergency amendment filed 12-3-76, by operation of Section 11422.1(b), Government Code (Register 77, No. 22).
§70015. Cleaning.

Cleaning means the process employed to free a surface from dirt or other extraneous material.
§70016. Competency Validation for Patient Care Personnel Other Than Registered Nurses.
Note     •     History

Competency validation for patient care personnel other than registered nurses is a determination based on an individual's satisfactory performance of each specific element of his/her job description, and of the specific requirements for the patient care unit in which he or she is employed.
NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
§70016.1. Competency Validation for Registered Nurses.
Note     •     History

(a) Competency validation for registered nurses is a determination based on the satisfactory performance of:
(1) The statutorily recognized duties and responsibilities of the registered nurse, as set forth in Business and Professions Code Section 2725, et seq., and regulations promulgated thereunder; and
(2) The standards required under Section 70213(c) which are specific to each patient care unit.
NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Section 2725, Business and Professions Code; and Section 1276, Health and Safety Code.
HISTORY

1. New section filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
§70017. Conservator.

Conservator means a person appointed by the court to take care of the person, the property, or both, of a conservatee under Section 5350, et seq., of the Welfare and Institutions Code, or under Section 1701, et seq., of the Probate Code.
§70018. Critical Burn.

(a) Critical burn means any one or more of the following types of burns:
(1) Second degree burns exceeding 30 percent of the body surface.
(2) Third degree burns of the face, hands, feet and/or genitals.
(3) Third degree burns exceeding 10 percent of the body surface.
(4) Burns complicated by respiratory tract injury, major soft tissue injury or fractures.
(5) Electrical burns.
(6) Any combination of second and third degree burns which in the aggregate poses a medical problem equivalent in seriousness to (1) through (5).
§70019. Defined.

Defined means defined in writing.
§70021. Department.
Note     •     History

Department means the State Department of Health Services.
NOTE

Authority cited: Sections 208, 1255, 1266, 1275, 1402 and 1426, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1222, 1229, 1250, 1251, 1251.5, 1252, 1253, 1254-1257, 1265, 1265.5, 1265.7-1265.8, 1266-1270, 1275-1280, 1282, 1294-1298, 1300, 1315-1318, 1400-1405, 1410-1412, 1417.1, 1418-1432, 1437, 1439, 1729, 1734, 38254 and 38255, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Specific reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
3. Editorial correction of Note (Register 97, No. 50).
§70023. Director.
Note     •     History

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

Authority cited: Sections 208, 1255, 1266, 1275, 1402 and 1426, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1222, 1229, 1250, 1251, 1251.5, 1252-1257, 1265, 1265.5, 1265.7, 1265.8, 1266-1270, 1275-1280, 1282, 1294-1298, 1300, 1315-1318, 1400-1405, 1410-1412, 1417.1, 1418-1432, 1437, 1439, 1729, 1734, 38254 and 38255, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Specific reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
4. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§70025. Disinfection.

Disinfection means the process employed to destroy harmful microorganisms, but ordinarily not viruses and bacterial spores.
§70027. Distinct Part.

Distinct part means an identifiable unit accommodating beds and related facilities including, but not limited to, contiguous rooms, a wing, floor or building that is approved by the Department for a specific purpose.
§70029. Drug Administration.

Drug administration means the act in which a single dose of a prescribed drug or biological is given to a patient by an authorized person in accordance with all laws and regulations governing such acts. The complete act of administration entails removing an individual dose from a previously dispensed properly labeled container, including a unit dose container, verifying the dose with the prescriber's orders, giving the individual dose to the proper patient and promptly recording the time and dose given.
§70031. Drug Dispensing.

Drug dispensing means the act entailing the interpretation of an order for a drug or biological and, pursuant to that order, the proper selection, measuring, packaging, labeling and issuance of the drug or biological for a patient or for a service unit of the hospital.
§70033. Existing Hospital Building.

Existing hospital building means an extant structure intended for proper hospital use. This excludes physician offices contiguous with the hospital and independent of the hospital as far as ownership.
§70034. General Acute Care Bed Classification.
Note     •     History

(a) “General acute care bed classification” means beds designated for burn, coronary, intensive care, medical-surgical, pediatric, perinatal, rehabilitation, acute respiratory or tuberculosis patients receiving 24-hour medical care.
(b) Specialized care with respect to special hospitals shall be considered to be general acute care.
NOTE

Authority cited: Sections 208 and 1250.1, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Certificate of Compliance filed 1-31-77 (Register 77, No. 6).
§70035. Governing Body.

Governing body means the person, persons, board of trustees, directors or other body in whom the final authority and responsibility is vested for conduct of the hospital.
§70037. Guardian.

Guardian means a person appointed by the court to take care of the person or the property, or both, of a ward under Section 1400 et seq., of the Probate Code.
§70037.1. Human Reproductive Sterilization.
Note     •     History

(a) Human reproductive sterilization means any medical treatment, procedure or operation, for the purpose of rendering an individual permanently incapable of reproducing.
(b) In this section and in Sections 70707.8 and 70736, “sterilization” means human reproductive sterilization.
NOTE

Authority cited: Sections 208, 1275, 1276, Health and Safety Code. Reference: Sections 1250 et seq., Health and Safety Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Amendment filed 4-17-81; effective thirtieth day thereafter (Register 81, No. 16).
§70038. Intermediate Care Bed Classification.
Note     •     History

“Intermediate care bed classification” means beds designated for patients requiring skilled nursing and supportive care on less than a continuous basis.
NOTE

Authority cited: Sections 208 and 1250.1, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Certificate of Compliance filed 1-31-77 (Register 77, No. 6).
§70041. License.

License means the basic document issued by the Department permitting the operation of a hospital. This document constitutes the authority to receive patients and to perform the services included within the scope of these regulations and as specified on the hospital license.
§70042. License Category.
Note     •     History

(a) License category means any of the following categories:
(1) General acute care hospital.
(2) Acute psychiatric hospital.
(3) Skilled nursing facility.
(4) Intermediate care facility.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance fled 3-8-77 (Register 77, No. 11).
§70043. Licensee.

Licensee means the person, persons, firm, business trust, partnership, association, corporation, political subdivision of the State or other governmental agency within the State to whom a license has been issued.
§70045. Maintenance.

Maintenance means the upkeep of a building and equipment to preserve the original functional and operational state.
§70046. Modernization. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22).
§70047. New Construction.

(a) New construction means any of the following:
(1) New buildings.
(2) Additions to existing buildings.
(3) Conversions of existing buildings or portions thereof not currently licensed as a hospital.
§70048. New Special Service.
Note     •     History

(a) New special service means any special service identified in Section 70351 of this Chapter which is either offered or is intended to be offered and which was not approved by the Department prior to September 9, 1976. Approval of the Department is inferred if one of the following conditions exist:
(1) The special service in question has been evaluated by the Department subsequent to July 13, 1975 and prior to September 9, 1976 and was found to be in compliance with all regulations regarding the service.
(2) The special service in question was being provided prior to July 13, 1975, has been provided continuously since that date, and has not been inspected and evaluated by the Department for the quality of the service provided. Departmental approval in this case can be inferred only until such time as the service is evaluated by the Department.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§70049. Nursing Unit.

Nursing unit means a designated patient-care area of the hospital which is planned, organized, operated and maintained to function as a unit. It includes patient rooms with adequate support facilities, services and personnel providing nursing care and necessary management of patients.
§70051. Outpatient Service.

An outpatient service means an organizational unit of the hospital which provides nonemergency health care services to patients.
§70053. Patient.

(a) Patient means a person who is receiving diagnostic, therapeutic or preventive health services or who is under observation or treatment for illness or injury or care during and after pregnancy.
(1) An inpatient means a person who has been formally admitted for observation, diagnosis or treatment and who is expected to remain overnight or longer.
(2) An outpatient means a person who has been registered or accepted for care but not formally admitted as an inpatient and who does not remain over 24 hours.
(3) Ambulatory patient means a patient who is capable of demonstrating the mental competence and physical ability to leave a building under emergency conditions without assistance or supervision of any person.
(4) Nonambulatory patient means a patient who is unable to leave a building unassisted under emergency conditions. It includes, but is not limited to, those persons who depend upon mechanical aids such as crutches, walkers or wheelchairs, profoundly or severely mentally retarded persons and shall include blind and totally deaf persons.
§70053.1. Patient Care Personnel.
Note     •     History

Patient care personnel means hospital personnel, licensed and unlicensed, who provide nursing care to patients, including any unlicensed personnel who assist with simple nursing procedures.
NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
§70053.2. Patient Classification System.
Note     •     History

(a) Patient classification system means a method for establishing staffing requirements by unit, patient, and shift that includes:
(1) A method to predict nursing care requirements of individual patients.
(2) An established method by which the amount of nursing care needed for each category of patient is validated for each unit and for each shift.
(3) An established method to discern trends and patterns of nursing care delivery by each unit, each shift, and each level of licensed and unlicensed staff.
(4) A mechanism by which the accuracy of the nursing care validation method described in (a)(2) above can be tested. This method will address the amount of nursing care needed, by patient category and pattern of care delivery, on an annual basis, or more frequently, if warranted by the changes in patient populations, skill mix of the staff, or patient care delivery model.
(5) A method to determine staff resource allocations based on nursing care requirements for each shift and each unit.
(6) A method by which the hospital validates the reliability of the patient classification system for each unit and for each shift.
NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
§70054. Permanently Converted.
Note     •     History

Permanently converted means space which is not available for patient accommodation because the facility has converted the patient accommodation space to some other use and such space could not be reconverted to patient accommodation within 24 hours.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§70055. Personnel.
Note     •     History

(a) Unless otherwise specified in this chapter, the following definitions shall apply to health care personnel:
(1) Accredited Record Technician. Accredited record technician means a person who is accredited by the American Medical Record Association.
(2) Administrator. Administrator means the individual who is appointed by the governing body to act in its behalf in the overall management of the hospital.
(3) Art Therapist. Art therapist means a person who has a masters degree in art therapy or in art with emphasis in art therapy, including an approved clinical internship from an accredited college or university; or a person who is registered or eligible for registration with the American Art Therapy Association.
(4) Audiologist. Audiologist means a person who is licensed as an audiologist by the Board of Medical Examiners.
(5) Biomedical Equipment Technician. Biomedical equipment technician means a person certified by the Association for the Advancement of Medical Instrumentation.
(6) Cardiopulmonary Technologist. Cardiopulmonary technologist means a person who is registered by the National Society of Cardiopulmonary Technologists.
(7) Cardiovascular Technologist. Cardiovascular technologist means a person who is registered by the National Society of Cardiopulmonary Technologists.
(8) Clinical Laboratory Bioanalyst. Clinical laboratory bioanalyst means a person who is licensed as a clinical laboratory bioanalyst by the Department.
(9) Clinical Laboratory Technologist. Clinical laboratory technologist means a person who is licensed as a clinical laboratory technologist by the Department.
(10) Consultant. Consultant means a person who is professionally qualified to provide expert information on a particular subject.
(11) Dance Therapist. Dance therapist means a person who is registered or eligible for registration as a dance therapist registered by the American Dance Therapy Association.
(12) Dentist. Dentist means a person who is licensed as a dentist by the Board of Dental Examiners.
(13) Dietitian. Dietitian means a person who is registered or eligible for registration as a registered dietitian by the American Dietetic Association.
(14) Learning Disability Specialist. Learning disability specialist means a person who has a master's degree in learning disabilities from an accredited university.
(15) Licensed Psychiatric Technician. Licensed psychiatric technician means a person who is licensed as a licensed psychiatric technician by the Board of Vocational Nurse and Psychiatric Technician Examiners.
(16) Licensed Vocational Nurse. Licensed vocational nurse means a person who is licensed as a licensed vocational nurse by the Board of Vocational Nurse and Psychiatric Technician Examiners.
(17) Mental Health Worker. Mental health worker means an unlicensed person who through experience, in-service training or formal education is qualified to participate in the care of the psychiatric patient.
(18) Music Therapist. Music therapist means a person who is registered or eligible for registration as a registered music therapist by the National Association for Music Therapy.
(19) Nurse Anesthetist. Nurse anesthetist means a registered nurse who is certified as a nurse anesthetist by the American Association of Nurse Anesthetists.
(20) Occupational Therapist. Occupational therapist means a person who is certified or eligible for certification as an occupational therapist registered by the American Occupational Therapy Association.
(21) Occupational Therapy Assistant. Occupational therapy assistant means a person who is certified or eligible for certification as a certified occupational therapy assistant by the American Occupational Therapy Association.
(22) Orthotist and Prosthetist. Orthotist and prosthetist means a person who is certified or eligible for certification by the American Board of Orthotists and Prosthetists Certification, Washington, D.C.
(23) Pharmacist. Pharmacist means a person who is licensed as a pharmacist by the Board of Pharmacy.
(24) Physical Therapist. Physical therapist means a person licensed as a registered physical therapist by the Physical Therapy Examining Committee of the Board of Medical Examiners.
(25) Physical Therapist Assistant. Physical therapist assistant means a person who is approved as a physical therapist assistant by the Physical Therapy Examining Committee of the Board of Medical Examiners.
(26) Physician. Physician means a person licensed as a physician and surgeon by the Board of Medical Examiners or by the Board of Osteopathic Examiners.
(27) Podiatrist. Podiatrist means a person who is licensed as a podiatrist by the Board of Medical Examiners.
(28) Psychiatrist. Psychiatrist means a person who is licensed as a physician and surgeon by the Board of Medical Examiners or the Board of Osteopathic Examiners and who is certified or eligible for certification by the American Board of Psychiatry and Neurology or who has specialized training and/or experience in psychiatry.
(29) Psychologist. Psychologist means a person who is licensed as a psychologist by the Board of Psychology.
(30) Pulmonary Technologist. Pulmonary technologist means a person who is registered by the National Society of Cardiopulmonary Technologists.
(31) Radiologic Technologist. Radiologic technologist means a person other than a licentiate of the healing arts who has been issued a certificate by the Department to engage in diagnostic radiologic technology without limitations as to procedures or areas of application and under the supervision of a certified X-ray supervisor and operator.
(32) Recreation Therapist. Recreation therapist means a person who is certified or eligible for certification as a registered recreator with specialization in therapeutic recreation by the California Board of Park and Recreation Personnel or the National Therapeutic Recreation Society.
(33) Registered Nurse.
(A) Registered nurse means a person licensed by the Board of Registered Nursing.
(B) Nurse Midwife. Nurse midwife means a registered nurse certified under Article 2.5, Chapter 6 of the Business and Professions Code.
(34) Registered Record Administrator. Registered record administrator means a person who is registered by the American Medical Record Association.
(35) Respiratory Therapist. Respiratory therapist means a person who is registered or eligible for registration as a respiratory therapist by the American Association for Respiratory Therapy or the National Board for Respiratory Therapy.
(36) Respiratory Therapy Technician. Respiratory therapy technician means a person who is certified or eligible for certification as a respiratory therapy technician by the American Association for Respiratory Therapy or the National Board for Respiratory Therapy.
(37) Social Worker. Social worker means a person who is licensed as a clinical social worker by the Board of Behavioral Science Examiners.
(38) Social Work Assistant. Social work assistant means a person with a baccalaureate in the social sciences or related fields and who receives supervision, consultation and in-service training from a social worker.
(39) Social Work Aide. Social work aide means a staff person with orientation, on-the-job training and supervision from a social worker or a social work assistant.
(40) Speech Pathologist. Speech pathologist means a person who is licensed as a speech pathologist by the Board of Medical Examiners.
(41) Therapeutic Radiologic Technologist. Therapeutic radiologic technologist means a person other than a licentiate of the healing arts who has been issued a certificate by the Department to engage in therapeutic radiologic technology without limitation as to procedures or areas of application and under the supervision of a certified X-ray supervisor and operator.
(42) Vocational Rehabilitation Counselor. Vocational rehabilitation counselor means a person who has a master's degree in rehabilitation counseling, or a master's degree in a related area plus training and skill in the vocational rehabilitation process or has a baccalaureate degree and has worked under the direct supervision of a person with the above qualifications.
(43) X-ray Technician. X-ray technician means a person who has been issued a limited permit by the Department to engage in diagnostic or therapeutic radiologic technology in certain specific categories under the supervision of a certified X-ray supervisor and operator.
(44) Physician's Assistant. Physician's assistant means a person certified as such by the Physician's Assistant Examining Committee of the California Board of Medical Quality Assurance.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(33) and new subsection (a)(44) filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
2. Change without regulatory effect amending subsection (a)(23) and Note filed 6-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 24).
3. Amendment of subsection (a)(29) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§70057. Principal Officer.

Principal officer means the officer designated by an organization who has legal authority and responsibility to act for and in behalf of that organization.
§70058. Registered Domestic Partner.
Note     •     History

Registered domestic partner shall have the same meaning as defined in Family Code Sections 297 and 297.5.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting section filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§70059. Restraint.

Restraint means controlling a patient's physical activity in order to protect the patient or others from injury by seclusion or mechanical devices.
§70059.1. Rural Area.
Note     •     History

For the purposes of Health and Safety Code, Section 1250.8(b)(4)(A), “rural area” means any area which is located more than 30 miles or 30 minutes driving distance from the city hall for any metropolitan area with a population of 150,000 or more.
NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Section 1250.8, Health and Safety Code.
HISTORY

1. New section filed 11-16-95 as an emergency; operative 11-16-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-15-96 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-16-95 order, including amendment of section and Note, transmitted to OAL 3-15-96 and filed 4-12-96 (Register 96, No. 15).
§70060. Skilled Nursing Care Bed Classification.
Note     •     History

“Skilled nursing care bed classification” means beds designated for patients requiring skilled nursing care on a continuous and extended basis.
NOTE

Authority cited: Sections 208 and 1250.1, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Certificate of Compliance filed 1-31-77 (Register 77, No. 6).
§70061. Special Permit.

Special permit means the document issued by the Department which constitutes the authority to perform those supplemental services which are identified as special services in Section 70351.
§70062. Special Hospital.
Note     •     History

“Special hospital” means a hospital which provides special services in either rehabilitation, maternity, or dentistry, and which meets all of the requirements for a general acute care hospital, except that it is not required to provide surgical or anesthesia services.
NOTE

Authority cited: Sections 208 and 1250, Health and Safety Code. Reference: ACR 67, Chapter 83, Statutes of 1977.
HISTORY

1. New section filed 7-28-78; effective thirtieth day thereafter (Register 78,  30.
§70063. Sterilization.

Sterilization means a process employed to destroy all living organisms.
§70065. Supervision.

(a) Supervision means to instruct an employee or subordinate in his duties and to oversee or direct his work, but does not necessarily require the immediate presence of the supervisor.
(b) Direct supervision means that the supervisor shall be present in the same building as the person being supervised and available for consultation and/or assistance.
(c) Immediate supervision means that the supervisor shall be physically present while a task is being performed.
Supplemental service means an organized inpatient or outpatient service which is not required to be provided by law or regulation.
§70067. Supplemental Service.

Supplemental service means an organized inpatient or outpatient service which is not required to be provided by law or regulation.
§70069. Unit Dose Medication System.

Unit dose medication system means a system in which single dosage units of drugs are prepackaged and prelabeled in accordance with all applicable laws and regulations governing these practices. The system shall also comprise, but not be limited to, all equipment and appropriate records necessary and used in making the dose available to the patient in an accurate and safe manner. A pharmacist shall be in charge of and responsible for the system.
Article 2. License
§70101. Inspection of Hospitals.

(a) The Department shall inspect and license hospitals.
(b) Any officer, employee or agent of the Department may, upon presentation of proper identification, enter and inspect any building or premises at any reasonable time to secure compliance with, or to prevent a violation of, any provision of these regulations.
(c) All hospitals for which a license has been issued shall be inspected periodically by a representative or representatives appointed by the Department. Inspections shall be conducted as frequently as necessary, but not less than once every two years, to assure that quality care is being provided. During the inspection, the representative or representatives of the Department shall offer such advice and assistance to the hospital as is appropriate. For hospitals of 100 licensed bed capacity or more, the inspection team shall include at least a physician, registered nurse and persons experienced in hospital administration and sanitary inspections.
(d) The Department may provide consulting services upon request to any hospital to assist in the identification or correction of deficiencies or the upgrading of the quality of care provided by the hospital.
(e) The Department shall notify the hospital of all deficiencies of compliance with these regulations and the hospital shall agree with the Department upon a plan of corrections which shall give the hospital a reasonable time to correct such deficiencies. If at the end of the allotted time, as revealed by repeat inspection, the hospital has failed to correct the deficiencies, the Director may take action to revoke or suspend the license.
(f) Reports on the results of each inspection of a hospital shall be prepared by the inspector or inspection team and shall be kept on file in the Department along with the plan of correction and hospital comments. The inspection report may include a recommendation for reinspection. All inspection reports, lists of deficiencies and plans of correction shall be open to public inspection without regard to which body performs the inspection.
(g) The Department shall have the authority to contract for outside personnel to perform inspections of hospitals as the need arises. The Department, when feasible, shall contract with nonprofit, professional organizations which have demonstrated the ability to carry out the provisions of this section. Such organizations shall include, but not be limited to, the California Medical Association Committee on Medical Staff Surveys and participants in the Consolidated Hospital Survey Program.
§70103. License Required.

(a) No person, firm, partnership, association, corporation, political subdivision of the state or other governmental agency shall establish, operate or maintain a hospital, or hold out, represent, or advertise by any means that it operates a hospital, without first obtaining a license from the Department.
(b) The provisions of this article do not apply to any facility conducted by and for the adherents of any well-recognized church or religious denomination for the purpose of providing facilities for the care or treatment of the sick who depend upon prayer or spiritual means for healing in the practice of the religion of such church or denomination.
§70105. Application Required.
History

(a) A verified application shall be forwarded to the Department whenever any of the following circumstances occur:
(1) Construction of a new or replacement facility or addition to an existing facility.
(2) Increase or decrease of licensed bed capacity.
(3) Added service or change from one service to another.
(4) Change of ownership.
(5) Change of name of hospital.
(6) Change of license category.
(7) Change of location of the hospital.
(8) Change of bed classification.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§70107. Content of Application.
History

(a) Any person, firm, partnership, association, corporation, political subdivision of the state, state agency or other governmental agency desiring to obtain a license shall file with the Department an application on forms furnished by the Department. The application shall contain the following information:
(1) Name of applicant and, if an individual, verification that the applicant has attained the age of 18 years.
(2) Type of facility to be operated and types of services for which approval is requested.
(3) Location of the hospital.
(4) Name of person in charge of the hospital.
(5) If the applicant is an individual, satisfactory evidence that the applicant is of reputable and responsible character.
(6) If applicant is a firm, association, organization, partnership, business trust, corporation or company, satisfactory evidence that the members or shareholders thereof and the person in charge of the hospital for which application for license is made are of reputable and responsible character.
(7) If the applicant is a political subdivision of the State or other governmental agency, satisfactory evidence that the person in charge of the hospital for which application for license is made is of reputable and responsible character.
(8) If the applicant is a partnership, the name and principal business address of each partner.
(9) If the applicant is a corporation, the name and principal business address of each officer and director of the corporation; and for nonpublic corporations, the name and business address of each stockholder owning 10 percent or more of the stock and any corporate member who has responsibility in the operation of the hospital.
(10) Copy of the current organizational chart.
(11) Certificate of Need or a Certificate of Exemption from the Department if required by Chapter 1, Division 7 of this title.
(12) Such other information or documents as may be required by the Department for the proper administration and enforcement of the licensing law and requirements.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment of subsection (a)(11) filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22).
§70109. Architectural Plans.

Applications submitted for proposed construction of new hospitals or additions to licensed hospitals shall include architectural plans and specifications. Information contained in such applications shall be on file in the Department and available to interested individuals and community agencies.
§70110. Fee.
Note     •     History

(a) Each application for a license shall be accompanied by the prescribed fee as authorized by Health and Safety Code, section 1266.
(b) No fee shall be refunded to the applicant if the application is withdrawn or if the application is denied by the Department.
(c) An additional fee of $25.00 shall be paid for processing any change of name. However, no additional fee shall be charged for any change of name, which is processed upon a renewal application or upon an application filed because of a change of ownership.
(d) Fees for licenses which cover periods in excess of 12 months shall be prorated on the basis of the number of months to be licensed divided by 12 months.
(e) Fees shall be waived for any facility conducted, maintained or operated by this state or any state department, authority, bureau, commission or officer or by the Regents of the University of California or by a local hospital district, city or county.
NOTE

Authority cited: Sections 1266, 1275 and 131200. Health and Safety Code. Reference: Sections 1266, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 1-30-80; effective thirtieth day thereafter (Register 80, No. 5).
2. Change without regulatory effect amending subsection (a), repealing subsections (b) and (c), relettering subsections and amending Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§70111. Fee.  [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1275, and 1729 Health and Safety Code. Reference: Sections 1266, and 1729, Health and Safety Code.
HISTORY

1. Amendment of subsections (a), (b), and (c) filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
2. Amendment of subsections (a), (b) and (c) filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2).
3. Amendment of subsections (a), (b), (c), (e), and (f) filed 11-8-78; effective thirtieth day thereafter (Register 78, No. 45).
4. Amendment of subsections (a), (b), and (c), and repealer of subsection (g) filed 5-2-79; effective thirtieth day thereafter (Register 79, No. 18).
5. Change without regulatory effect repealing section filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§70113. Health Planning Agency Review. [Repealed]
History

HISTORY

1. Repealer filed 12-3-76 as an emergency; effective upon filing (Register 76, No. 49).
2. Reinstatement of section as it existed prior to emergency repealer filed 12-3-76 as to filing of 6-13-75 by operation of Section 11422.1(b), Government Code (Register 77, No. 22).
3. Repealer filed 3-31-78; effective thirtieth day thereafter (Register 78, No. 13).   
§70113. Projects Requiring a Certificate of Need. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§70113.1. Projects Eligible for a Certificate of Exemption. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§70113.2. Projects Not Subject to Review by a Voluntary Area Health Planning Agency. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§70113.3. Projects Previously Decided by a Voluntary Area Health Planning Agency. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§70113.4. Exemption Requests for Remodeling and Replacement Projects. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§70114. Bed Classification. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 1250.1, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Certificate of Compliance filed 1-31-77 (Register 77, No. 6).
3. Change without regulatory effect repealing section filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§70115. Safety, Zoning and Building Clearance.

(a) Architectural plans shall not be approved and a license shall not be originally issued to any hospital which does not conform to: the regulations in this chapter; state requirements on seismic safety, fire and life safety and environmental impact; and local fire safety, zoning and building ordinances. Evidence of such compliance shall be presented in writing to the Department.
(b) It shall be the responsibility of the licensee to maintain the hospital in a safe structural condition. If the Department determines that an evaluation of the structural condition of a hospital building is necessary, the licensee may be required to submit a report by a licensed structural engineer which shall establish a basis for eliminating or correcting the structural conditions which are found to be hazardous to occupants.
§70117. Issuance, Expiration and Renewal.
History

(a) Upon verification of compliance with the licensing requirements, the Department shall issue the applicant a license.
(b) If the applicant is not in compliance with the laws or regulations, the Department shall deny the applicant a license and shall immediately notify the applicant in writing. Within 20 days of receipt of the Department's notice, the applicant may present his written petition for a hearing to the Department. The Department shall set the matter for hearing within 30 days after receipt of the petition in proper form. The proceedings shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(c) Each initial license shall expire at midnight, one year from the date of issue. A renewal license:
(1) May be issued for a period not to exceed two years if the holder of the license has been found not to have been in violation of any statutory requirements, regulations or standards during the preceding license period.
(2) Shall reflect the number of beds that meet construction and operational requirements and shall not include beds formerly located in patient accommodation space which has been permanently converted.
(3) Shall not be issued if the hospital is liable for and has not paid the special fees required by Section 90417, Chapter 1, Division 7, of this Title.
(d) The Department shall mail an application form for renewal of license to the licensee at least 45 days prior to expiration of a license. Application for renewal, accompanied by the necessary fees, shall be filed with the Department annually and not less than ten days prior to the expiration date. Failure to make a timely renewal application shall result in expiration of the license.
HISTORY

1. Amendment of subsection (c) filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§70119. Provisional Licensing of Distinct Parts.

(a) The initial license, issued by the Department to an applicant when the hospital includes a distinct part which will function as a skilled nursing or intermediate care service, shall include a separate provisional authorization for the distinct part. The provisional authorization for the distinct part service shall terminate six months from the date of issuance. The Department shall give the distinct part, and supporting elements of the hospital, a full and complete inspection within 30 days prior to termination of the provisional authorization. A regular authorization will be included in the license if the hospital and distinct part meet all applicable requirements for licensure. If the hospital does not meet the requirements for licensure but has made substantial progress toward meeting such requirements, as determined by the Department, the initial provisional license shall be renewed for six months. If the Department determines that there has not been substantial progress toward meeting licensure requirements at the time of the first full inspection provided by this section, or if the Department determines upon its inspection made within 30 days of the termination of a renewed provisional license that there is lack of full compliance with such requirements, no further license shall be issued.
(b) An applicant who has been denied provisional licensing may contest such denial by filing a statement of issues, as provided in Section 11504 of the Government Code: The proceedings to review such denial shall be conducted pursuant to the provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2, of the Government Code.
§70121. Separate Licenses.

Separate licenses shall be required for hospitals which are maintained on separate premises even though they are under the same management. This does not apply to outpatient departments or clinics of hospitals designated as such which are maintained and operated on separate premises. Separate licenses shall not be required for separate buildings on the same grounds or adjacent grounds.
§70123. Posting.

The license, or a true copy thereof, shall be posted conspicuously in a prominent location within the licensed premises and accessible to public view.
§70125. Transferability.

Licenses are not transferable. The licensee shall notify the Department in writing at least 30 days prior to the effective date of any change of ownership. A new application for license shall be submitted by the prospective new owner.
§70127. Report of Changes.

(a) The licensee shall notify the Department in writing any time a change of stockholder owning ten percent or more of the non-public corporate stock occurs. Such notice shall include the name and principal mailing address of the new stockholder.
(b) Each licensee shall notify the Department in writing within ten days prior to any change of the mailing address of the licensee. Such notice shall include the new mailing address of the licensee.
(c) Any change in the principal officer shall be reported in writing within ten days by the licensee to the Department. Such notice shall include the name and principal business address of such officer.
§70129. Program Flexibility.
History

(a) All hospitals shall maintain continuous compliance with the licensing requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects provided such exceptions are carried out with the provisions for safe and adequate care and with the prior written approval of the Department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request plus supporting evidence shall be submitted by the applicant or licensee to the Department.
(b) Hospitals which by reason of remoteness are unable to comply with provisions of the regulations for basic services and perinatal or pediatric services, shall submit a written request to the Department for exception. In reviewing such request, special attention may be required regarding qualifications of medical staff and personnel.
(c) Special exceptions may be granted under this section for hospitals required to provide services and accommodations for persons who may have dangerous propensities necessitating special precautions, personnel with special qualifications, locked accommodations, special protection for windows, type and location of lighting and plumbing fixtures, signal systems, control switches, beds and other furnishings. This applies to psychiatric units and detention facilities where added protection is necessary for patients, staff members and members of the public.
(d) Any approval of the Department granted under this section or a true copy thereof, shall be posted immediately adjacent to the facility's license that is required to be posted by Section 70123.
HISTORY

1. Editorial correction of subsection (b) (Register 95, No. 44).
§70131. Voluntary Suspension of License or Licensed Beds.

(a) Upon written request, a licensee may request that his license or licensed beds be put in suspense. The Department may approve the request for a period not to exceed 12 months.
(b) Any license or portion thereof which ha been temporarily suspended by the Department pursuant to this section shall remain subject to all renewal requirements of an active license, including the payment of license renewal fees, during the period of temporary suspension.
(c) Any license suspended pursuant to this section may be reinstated by the Department within 12 months of the date of suspension upon receipt of an application and evidence showing compliance with licensing operational requirements in effect at the time of reinstatement. If the license is not reinstated within the 12 month period, the license shall expire automatically and shall not be subject to reinstatement.
§70133. Voluntary Cancellation of License.

(a) The licensee shall notify the Department in writing as soon as possible and in all cases at least 30 days prior to the desired effective date of cancellation of the license.
(b) Any license voluntarily cancelled pursuant to this section may be reinstated by the Department within 12 months of the date of voluntary cancellation upon receipt of an application along with evidence showing compliance with operational and construction licensing requirements.
§70135. Revocation or Involuntary Suspension of License.
Note     •     History

(a) Pursuant to provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, of Title 2, Government Code, the Department may suspend or revoke any license issued under the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, upon any of the following grounds.
(1) Violation by the licensee of any of the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or the regulations promulgated by the Department.
(2) Aiding, abetting or permitting the violation of any provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or the regulations promulgated by the Department.
(3) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the maintenance and operation of the premises or services for which a license is issued.
(b) The license of any hospital against which special fees are required by Section 90417, Chapter 1, Division 7, of this Title shall be revoked, after notice of hearing, if it is determined by the Department that the fees required were not paid within the time prescribed.
(c) The Director may temporarily suspend any license prior to any hearing when, in his opinion, such action is necessary to protect the public welfare.
(1) The Director shall notify the licensee of the temporary suspension and the effective date thereof and at the same time shall serve such licen--see with an accusation.
(2) Upon receipt of a notice of defense by the licensee, the Director shall set the matter for hearing within 15 days. The hearing shall be held as soon as possible but no later than 30 days after receipt of such notice.
(3) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination.
(4) If the Director fails to make a final determination within 60 days after the original hearing has been completed, the temporary suspension shall be deemed vacated.
(5) If the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or the regulations promulgated by the Director are violated by a licensee which is a group, corporation or other association, the Director may suspend the license of such organization or may suspend the license as to any individual person within such organization who is responsible for such violation.
(d) The withdrawal of an application for a license shall not deprive the Department of its authority to institute or continue a proceeding against the applicant for the denial of the license upon any ground provided by law or to enter an order denying the license upon any such ground, unless the Department consents in writing to such withdrawal.
(e) The suspension, expiration or forfeiture of a license issued by the Department shall not deprive the Department of its authority to institute or continue a proceeding against the license upon any ground provided by law or to enter an order suspending or revoking a license or otherwise taking disciplinary action against the licensee on any such ground.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1296, Health and Safety Code.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment of subsection (c)(2) filed 7-25-79; effective thirtieth day thereafter (Register 79, No. 30).
§70136. Conviction of Crime: Standards for Evaluating Rehabilitation.
Note     •     History

When considering the denial, suspension or revocation of a license based on the conviction of a crime in accordance with Section 1265.1 or 1294 of the Health and Safety Code, the following criteria shall be considered in evaluating rehabilitation:
(1) The nature and the seriousness of the crime(s) under consideration.
(2) Evidence of conduct subsequent to the crime which suggests responsible or irresponsible character.
(3) The time which has elapsed since commission of the crime(s) or conduct referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanction lawfully imposed against the applicant.
(5) Any rehabilitation evidence submitted by the applicant.
NOTE

Authority cited: Sections 208(a), 1265.2 and 1275, Health and Safety Code. Reference: Sections 1265.1, 1265.2 and 1294, Health and Safety Code.
HISTORY

1. New section filed 9-13-84; effective thirtieth day thereafter (Register 84, No. 37).
§70137. Bonds.

(a) Each licensee shall file or have on file with the Department a bond issued by a surety company admitted to do business in this State if the licensee is handling or will handle money in the amount of $25 or more per patient or $500 or more for all patients in any month.
(1) The amount of the bond shall be according to the following schedule: 

Amount Handled 	Bond Required
$750 or less 	 $1,000
$751 to $1,500 	 $2,000
$1,501 to $2,500 	 $3,000
(2) Every further increment of $1,000 or fraction thereof shall require an additional $1,000 on the bond.
(b) Each application for an original license or renewal of license shall be accompanied by an affidavit on a form provided by the Department. The affidavit shall state whether the licensee handles or will handle money of patients and the maximum amount of money to be handled for any patient and for all patients in any month.
(c) No licensee shall either handle money of a patient or handle amounts greater than those stated in the affidavit submitted by him without first notifying the Department and filing a new or revised bond if required.
Article 3. Basic Services
§70201. Medical Service Definition.

Medical service means those preventive, diagnostic and therapeutic measures performed by or at the request of members of the organized medical staff.
§70203. Medical Service General Requirements.

(a) A committee of the medical staff shall be assigned responsibility for:
(1) Recommending to the governing body the delineation of medical privileges.
(2) Developing, maintaining and implementing written policies and procedures in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(3) Developing and instituting, in conjunction with members of the medial staff and other hospital services, a continuing cardiopulmonary resuscitation training program.
(4) Determining what emergency equipment and supplies should be available in all areas of the hospital.
(b) The responsibility and accountability of the medical service to the medical staff and administration shall be defined.
(c) The following shall be available to all patients in the hospital:
(1) Electrocardiographic testing.
(2) Pulmonary function testing.
(3) Intermittent positive pressure breathing apparatus.
(4) Cardiac monitoring capability.
(5) Suction.
(d) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70205. Medical Service Staff.

A physician shall have overall responsibility for the medical service. This physician shall be certified or eligible for certification in internal medicine by the American Board of Internal Medicine. If such an internist is not available, a physician, with training and experience in internal medicine, shall be responsible for the service.
§70207. Medical Service Equipment and Supplies.

There shall be adequate equipment and supplies maintained related to the nature of the needs and the services offered.
§70209. Medical Service Space.

There shall be adequate space maintained to meet the needs of the service.
§70211. Nursing Service General Requirements.
Note     •     History

(a) The nursing service shall be organized, staffed, equipped, and supplied, including furnishings and resource materials, to meet the needs of patients and the service.
(b) The nursing service shall be under the direction of an administrator of nursing services who shall be a registered nurse with the following qualifications:
(1) Master's degree in nursing or a related field with at least one year of experience in administration; or
(2) Baccalaureate degree in nursing or a related field with at least two years of experience in nursing administration; or
(3) At least four years of experience in nursing administration or supervision, with evidence of continuing education directly related to the job specifications.
(c) It shall be designated in writing by the hospital administrator that the administrator of nursing services has authority, responsibility and accountability for the nursing service within the facility.
(1) The internal structure and accountability of the nursing service, including identification of nursing service units and committees, shall be defined in writing.
(2) The relationship between the nursing service and administration, organized medical staff and other departments shall be defined in writing. Such definition of relationship shall be developed in cooperation with respective departments. Administrative, medical staff, and other hospital committees that address issues affecting nursing care shall include registered nurses, including those who provide direct patient care. Licensed vocational nurses may serve on those committees.
NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
2. Repealer and new section, and amendment of Note filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
§70213. Nursing Service Policies and Procedures.
Note     •     History

(a) Written policies and procedures for patient care shall be developed, maintained and implemented by the nursing service.
(1) Policies and procedures which involve the medical staff shall be reviewed and approved by the medical staff prior to implementation.
(2) Policies and procedures of other departments which contain requirements for the nursing service shall be reviewed and approved by the nursing service prior to implementation.
(3) The nursing service shall review and revise policies and procedures every three years, or more often if necessary.
(4) The hospital administration and the governing body shall review and approve all policies and procedures that relate to the nursing service every three years or more often, if necessary.
(b) Policies and procedures shall be based on current standards of nursing practice and shall be consistent with the nursing process which includes: assessment, nursing diagnosis, planning, intervention, evaluation, and, as circumstances require, patient advocacy.
(c) Policies and procedures which contain competency standards for staff performance in the delivery of patient care shall be established, implemented, and updated as needed for each nursing unit, including standards for the application of restraints. Standards shall include the elements of competency validation for patient care personnel other than registered nurses as set forth in Section 70016, and the elements of competency validation for registered nurses as set forth in Section 70016.1. At least annually, patient care personnel shall receive a written performance evaluation. The evaluation shall include, but is not limited to, measuring individual performance against established competency standards.
(d) Policies and procedures that require consistency and continuity in patient care, incorporating the nursing process and the medical treatment plan, shall be developed and implemented in cooperation with the medical staff.
(e) Policies and procedures shall be developed and implemented which establish mechanisms for rapid deployment of personnel when any labor intensive event occurs which prevents nursing staff from providing attention to all assigned patients, such as multiple admissions or discharges, or an emergency health crisis.
NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of section heading and section, and new Note filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
§70214. Nursing Staff Development.
Note     •     History

(a) There shall be a written, organized in-service education program for all patient care personnel, including temporary staff as described in subsection 70217(m). The program shall include, but shall not be limited to, orientation and the process of competency validation as described in subsection 70213(c).
(1) All patient care personnel, including temporary staff as indicated in subsection 70217(m), shall receive and complete orientation to the hospital and their assigned patient care unit before receiving patient care assignments. Orientation to a specific unit may be modified in order to meet temporary staffing emergencies as described in subsection 70213(e).
(2) All patient care personnel, including temporary staff as described in subsection 70217(m), shall be subject to the process of competency validation for their assigned patient care unit or units. Prior to the completion of validation of the competency standards for a patient care unit, patient care assignments shall be subject to the following restrictions:
(A) Assignments shall include only those duties and responsibilities for which competency has been validated.
(B) A registered nurse who has demonstrated competency for the patient care unit shall be responsible for nursing care as described in subsections 70215(a) and 70217(h)(3), and shall be assigned as a resource nurse for those registered nurses and licensed vocational nurses who have not completed competency validation for that unit.
(C) Registered nurses shall not be assigned total responsibility for patient care, including the duties and responsibilities described in subsections 70215(a) and 70217(h)(3), until all the standards of competency for that unit have been validated.
(3) The duties and responsibilities of patient care personnel who may be temporarily re-directed from their assigned units are subject to the restrictions in (A), (B), and (C) of subsection (a)(2) above.
(4) Orientation and competency validation shall be documented in the employee's file and shall be retained for the duration of the individual's employment.
(5) A rural General Acute Care Hospital, as defined in Health and Safety Code Section 1250(a), may apply for program flexibility pursuant to Section 70129 of this Chapter, to meet the requirements of subsections 70214(a)(1) through (4) above, by alternate means.
(b) The staff education and training program shall be based on current standards of nursing practice, established standards of staff performance as specified in subsection 70213(c) above, individual staff needs and needs identified in the quality assurance process.
(c) The administrator of nursing services shall be responsible for seeing that all nursing staff receive mandated education as specified in subsection (a) of this Section.
(d) All staff development programs shall be documented by:
(1) A record of the title, length of course in hours, and objectives of the education program presented.
(2) Name, title, and qualifications of the instructor or the title and type of other educational media.
(3) A description of the content.
(4) A date, a record of the instructor, process, or media and a list of attendees.
(5) Written evaluation of course content by attendees.
NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Sections 1250(a) and 1276, Health and Safety Code.
HISTORY

1. New section filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
§70215. Planning and Implementing Patient Care.
Note     •     History

(a) A registered nurse shall directly provide:
(1) Ongoing patient assessments as defined in the Business and Professions Code, section 2725(b)(4). Such assessments shall be performed, and the findings documented in the patient's medical record, for each shift, and upon receipt of the patient when he/she is transferred to another patient care area.
(2) The planning, supervision, implementation, and evaluation of the nursing care provided to each patient. The implementation of nursing care may be delegated by the registered nurse responsible for the patient to other licensed nursing staff, or may be assigned to unlicensed staff, subject to any limitations of their licensure, certification, level of validated competency, and/or regulation.
(3) The assessment, planning, implementation, and evaluation of patient education, including ongoing discharge teaching of each patient. Any assignment of specific patient education tasks to patient care personnel shall be made by the registered nurse responsible for the patient.
(b) The planning and delivery of patient care shall reflect all elements of the nursing process: assessment, nursing diagnosis, planning, intervention, evaluation and, as circumstances require, patient advocacy, and shall be initiated by a registered nurse at the time of admission.
(c) The nursing plan for the patient's care shall be discussed with and developed as a result of coordination with the patient, the patient's family, or other representatives, when appropriate, and staff of other disciplines involved in the care of the patient.
(d) Information related to the patient's initial assessment and reassessments, nursing diagnosis, plan, intervention, evaluation, and patient advocacy shall be permanently recorded in the patient's medical record.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 2725(b)(4), Business and Professions Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Repealer and new section, and new Note filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
2. Change without regulatory effect amending subsection (a)(1) and Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§70217. Nursing Service Staff. [Repealed]
Note     •     History

NOTE: Amendments to section 70217 were adopted on an emergency basis and became operative 11-12-2004. The emergency amendments were subsequently readopted twice, effective 3-15-2005 and 7-14-2005. These amendments were enjoined from implementation and enforcement by the Superior Court for Sacramento County in the case of California Nurses Association v. Schwarzenegger et al., Case No. 04CS01725. As a result of the injunction, the version of the regulation adopted on 9-26-2003 and operative 1-1-2004 remained in effect. California Nurses Association v. Schwarzenegger et al., has been resolved; no certificate of compliance was submitted for the emergency action and the emergency amendments were repealed by operation of law.
NOTE

Authority cited: Sections 1275, 1276.4 and 100275(a), Health and Safety Code. Reference: Sections 1250(a), 1276, 1276.4, 1797.58 and 1790.160, Health and Safety Code.
HISTORY

1. Repealer and new section, and new Note filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
2. Amendment of section and Note filed 9-26-2003; operative 1-1-2004 (Register 2003, No. 39).
3. Amendment of subsections (a), (a)(11) and (d), new subsections (e) and (s), subsection relettering and amendment of newly designated subsection (r) filed 11-12-2004 as an emergency; operative 11-12-2004 (Register 2004, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-14-2005 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a), (a)(11) and (d), new subsections (e) and (s), subsection relettering and amendment of newly designated subsection (r) refiled 3-10-2005 as an emergency; operative 3-15-2005 (Register 2005, No. 10). A Certificate of Compliance must be transmitted to OAL by 7-13-2005 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a), (a)(11) and (d), new subsections (e) and (s), subsection relettering and amendment of newly designated subsection (r) refiled 7-11-2005 as an emergency; operative 7-14-2005 (Register 2005, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-14-2005 or emergency language will be repealed by operation of law on the following day.
6. Addition of explanatory Note (Register 2005, No. 33).
7. Repealed by operation of Government Code section 11346.1(g) (Register 2005, No. 47).
§70217. Nursing Service Staff.
Note     •     History

(a) Hospitals shall provide staffing by licensed nurses, within the scope of their licensure in accordance with the following nurse-to-patient ratios. Licensed nurse means a registered nurse, licensed vocational nurse and, in psychiatric units only, a licensed psychiatric technician. Staffing for care not requiring a licensed nurse is not included within these ratios and shall be determined pursuant to the patient classification system. 
No hospital shall assign a licensed nurse to a nursing unit or clinical area unless that hospital determines that the licensed nurse has demonstrated current competence in providing care in that area, and has also received orientation to that hospital's clinical area sufficient to provide competent care to patients in that area. The policies and procedures of the hospital shall contain the hospital's criteria for making this determination. 
Licensed nurse-to-patient ratios represent the maximum number of patients that shall be assigned to one licensed nurse at any one time. “Assigned” means the licensed nurse has responsibility for the provision of care to a particular patient within his/her scope of practice. There shall be no averaging of the number of patients and the total number of licensed nurses on the unit during any one shift nor over any period of time. Only licensed nurses providing direct patient care shall be included in the ratios. 
Nurse Administrators, Nurse Supervisors, Nurse Managers, and Charge Nurses, and other licensed nurses shall be included in the calculation of the licensed nurse-to-patient ratio only when those licensed nurses are engaged in providing direct patient care. When a Nurse Administrator, Nurse Supervisor, Nurse Manager, Charge Nurse or other licensed nurse is engaged in activities other than direct patient care, that nurse shall not be included in the ratio. Nurse Administrators, Nurse Supervisors, Nurse Managers, and Charge Nurses who have demonstrated current competence to the hospital in providing care on a particular unit may relieve licensed nurses during breaks, meals, and other routine, expected absences from the unit. 
Licensed vocational nurses may constitute up to 50 percent of the licensed nurses assigned to patient care on any unit, except where registered nurses are required pursuant to the patient classification system or this section. Only registered nurses shall be assigned to Intensive Care Newborn Nursery Service Units, which specifically require one registered nurse to two or fewer infants. In the Emergency Department, only registered nurses shall be assigned to triage patients and only registered nurses shall be assigned to critical trauma patients. 
Nothing in this section shall prohibit a licensed nurse from assisting with specific tasks within the scope of his or her practice for a patient assigned to another nurse. “Assist” means that licensed nurses may provide patient care beyond their patient assignments if the tasks performed are specific and time-limited. 
(1) The licensed nurse-to-patient ratio in a critical care unit shall be 1:2 or fewer at all times. “Critical care unit” means a nursing unit of a general acute care hospital which provides one of the following services: an intensive care service, a burn center, a coronary care service, an acute respiratory service, or an intensive care newborn nursery service. In the intensive care newborn nursery service, the ratio shall be 1 registered nurse: 2 or fewer patients at all times. 
(2) The surgical service operating room shall have at least one registered nurse assigned to the duties of the circulating nurse and a minimum of one additional person serving as scrub assistant for each patient-occupied operating room. The scrub assistant may be a licensed nurse, an operating room technician, or other person who has demonstrated current competence to the hospital as a scrub assistant, but shall not be a physician or other licensed health professional who is assisting in the performance of surgery. 
(3) The licensed nurse-to-patient ratio in a labor and delivery suite of the perinatal service shall be 1:2 or fewer active labor patients at all times. When a licensed nurse is caring for antepartum patients who are not in active labor, the licensed nurse-to-patient ratio shall be 1:4 or fewer at all times. 
(4) The licensed nurse-to-patient ratio in a postpartum area of the perinatal service shall be 1:4 mother-baby couplets or fewer at all times. In the event of multiple births, the total number of mothers plus infants assigned to a single licensed nurse shall never exceed eight. For postpartum areas in which the licensed nurse's assignment consists of mothers only, the licensed nurse-to-patient ratio shall be 1:6 or fewer at all times. 
(5) The licensed nurse-to-patient ratio in a combined Labor/Delivery/Postpartum area of the perinatal service shall be 1:3 or fewer at all times the licensed nurse is caring for a patient combination of one woman in active labor and a postpartum mother and infant The licensed nurse-to-patient ratio for nurses caring for women in active labor only, antepartum patients who are not in active labor only, postpartum women only, or mother-baby couplets only, shall be the same ratios as stated in subsections (3) and (4) above for those categories of patients. 
(6) The licensed nurse-to-patient ratio in a pediatric service unit shall be 1:4 or fewer at all times. 
(7) The licensed nurse-to-patient ratio in a postanesthesia recovery unit of the anesthesia service shall be 1:2 or fewer at all times, regardless of the type of anesthesia the patient received. 
(8) In a hospital providing basic emergency medical services or comprehensive emergency medical services, the licensed nurse-to-patient ratio in an emergency department shall be 1:4 or fewer at all times that patients are receiving treatment. There shall be no fewer than two licensed nurses physically present in the emergency department when a patient is present. 
At least one of the licensed nurses shall be a registered nurse assigned to triage patients. The registered nurse assigned to triage patients shall be immediately available at all times to triage patients when they arrive in the emergency department. When there are no patients needing triage, the registered nurse may assist by performing other nursing tasks. The registered nurse assigned to triage patients shall not be counted in the licensed nurse-to-patient ratio. 
Hospitals designated by the Local Emergency Medical Services (LEMS) Agency as a “base hospital”, as defined in section 1797.58 of the Health and Safety Code, shall have either a licensed physician or a registered nurse on duty to respond to the base radio 24 hours each day. When the duty of base radio responder is assigned to a registered nurse, that registered nurse may assist by performing other nursing tasks when not responding to radio calls, but shall be immediately available to respond to requests for medical direction on the base radio. The registered nurse assigned as base radio responder shall not be counted in the licensed nurse-to-patient ratios. 
When licensed nursing staff are attending critical care patients in the emergency department, the licensed nurse-to-patient ratio shall be 1:2 or fewer critical care patients at all times. A patient in the emergency department shall be considered a critical care patient when the patient meets the criteria for admission to a critical care service area within the hospital. 
Only registered nurses shall be assigned to critical trauma patients in the emergency department, and a minimum registered nurse-to-critical trauma patient ratio of 1:1 shall be maintained at all times. A critical trauma patient is a patient who has injuries to an anatomic area that : (1) require life saving interventions, or (2) in conjunction with unstable vital signs, pose an immediate threat to life or limb. 
(9) The licensed nurse-to-patient ratio in a step-down unit shall be 1:4 or fewer at all times. Commencing January 1, 2008, the licensed nurse-to-patient ratio in a step-down unit shall be 1:3 or fewer at all times. A “step down unit” is defined as a unit which is organized, operated, and maintained to provide for the monitoring and care of patients with moderate or potentially severe physiologic instability requiring technical support but not necessarily artificial life support. Step-down patients are those patients who require less care than intensive care, but more than that which is available from medical/surgical care. “Artificial life support” is defined as a system that uses medical technology to aid, support, or replace a vital function of the body that has been seriously damaged. “Technical support” is defined as specialized equipment and/or personnel providing for invasive monitoring, telemetry, or mechanical ventilation, for the immediate amelioration or remediation of severe pathology. 
(10) The licensed nurse-to-patient ratio in a telemetry unit shall be 1:5 or fewer at all times. Commencing January 1, 2008, the licensed nurse-to-patient ratio in a telemetry unit shall be 1:4 or fewer at all times. “Telemetry unit” is defined as a unit organized, operated, and maintained to provide care for and continuous cardiac monitoring of patients in a stable condition, having or suspected of having a cardiac condition or a disease requiring the electronic monitoring, recording, retrieval, and display of cardiac electrical signals. “Telemetry unit” as defined in these regulations does not include fetal monitoring nor fetal surveillance. 
(11) The licensed nurse-to-patient ratio in medical/surgical care units shall be 1:6 or fewer at all times. Commencing January 1, 2005, the licensed nurse-to-patient ratio in medical/surgical care units shall be 1:5 or fewer at all times. A medical/surgical unit is a unit with beds classified as medical/surgical in which patients, who require less care than that which is available in intensive care units, step-down units, or specialty care units receive 24 hour inpatient general medical services, post-surgical services, or both general medical and post-surgical services. These units may include mixed patient populations of diverse diagnoses and diverse age groups who require care appropriate to a medical/surgical unit. 
(12) The licensed nurse-to-patient ratio in a specialty care unit shall be 1:5 or fewer at all times. Commencing January 1, 2008, the licensed nurse-to-patient ratio in a specialty care unit shall be 1:4 or fewer at all times. A specialty care unit is defined as a unit which is organized, operated, and maintained to provide care for a specific medical condition or a specific patient population. Services provided in these units are more specialized to meet the needs of patients with the specific condition or disease process than that which is required on medical/surgical units, and is not otherwise covered by subdivision (a). 
(13) The licensed nurse-to-patient ratio in a psychiatric unit shall be 1:6 or fewer at all times. For purposes of psychiatric units only, “licensed nurses” also includes licensed psychiatric technicians in addition to licensed vocational nurses and registered nurses. Licensed vocational nurses, licensed psychiatric technicians, or a combination of both, shall not exceed 50 percent of the licensed nurses on the unit. 
(14) Identifying a unit by a name or term other than those used in this subsection does not affect the requirement to staff at the ratios identified for the level or type of care described in this subsection. 
(b) In addition to the requirements of subsection (a), the hospital shall implement a patient classification system as defined in Section 70053.2 above for determining nursing care needs of individual patients that reflects the assessment, made by a registered nurse as specified at subsection 70215(a)(1), of patient requirements and provides for shift-by-shift staffing based on those requirements. The ratios specified in subsection (a) shall constitute the minimum number of registered nurses, licensed vocational nurses, and in the case of psychiatric units, licensed psychiatric technicians, who shall be assigned to direct patient care. Additional staff in excess of these prescribed ratios, including non-licensed staff, shall be assigned in accordance with the hospital's documented patient classification system for determining nursing care requirements, considering factors that include the severity of the illness, the need for specialized equipment and technology, the complexity of clinical judgment needed to design, implement, and evaluate the patient care plan, the ability for self-care, and the licensure of the personnel required for care. The system developed by the hospital shall include, but not be limited to, the following elements:
(1) Individual patient care requirements.
(2) The patient care delivery system.
(3) Generally accepted standards of nursing practice, as well as elements reflective of the unique nature of the hospital's patient population.
(c) A written staffing plan shall be developed by the administrator of nursing service or a designee, based on patient care needs determined by the patient classification system. The staffing plan shall be developed and implemented for each patient care unit and shall specify patient care requirements and the staffing levels for registered nurses and other licensed and unlicensed personnel. In no case shall the staffing level for licensed nurses fall below the requirements of subsection (a). The plan shall include the following:
(1) Staffing requirements as determined by the patient classification system for each unit, documented on a day-to-day, shift-by-shift basis.
(2) The actual staff and staff mix provided, documented on a day-to-day, shift-by-shift basis.
(3) The variance between required and actual staffing patterns, documented on a day-to-day, shift-by-shift basis.
(d) In addition to the documentation required in subsections (c)(1) through (3) above, the hospital shall keep a record of the actual registered nurse, licensed vocational nurse and licensed psychiatric technician assignments to individual patients by licensure category, documented on a day-to-day, shift-by-shift basis. The hospital shall retain: 
(1) The staffing plan required in subsections (c)(1) through (3) for the  time period between licensing surveys, which includes the Consolidated Accreditation and Licensing Survey process, and
(2) The record of the actual registered nurse, licensed vocational nurse and licensed psychiatric technician assignments by licensure category for a minimum of one year. 
(e) The reliability of the patient classification system for validating staffing requirements shall be reviewed at least annually by a committee appointed by the nursing administrator to determine whether or not the system accurately measures patient care needs.
(f) At least half of the members of the review committee shall be registered nurses who provide direct patient care.
(g) If the review reveals that adjustments are necessary in the patient classification system in order to assure accuracy in measuring patient care needs, such adjustments must be implemented within thirty (30) days of that determination.
(h) Hospitals shall develop and document a process by which all interested staff may provide input about the patient classification system, the system's required revisions, and the overall staffing plan.
(i) The administrator of nursing services shall not be designated to serve as a charge nurse or to have direct patient care responsibility, except as described in subsection (a) above.
(j) Registered nursing personnel shall:
(1) Assist the administrator of nursing service so that supervision of nursing care occurs on a 24-hour basis.
(2) Provide direct patient care.
(3) Provide clinical supervision and coordination of the care given by licensed vocational nurses and unlicensed nursing personnel.
(k) Each patient care unit shall have a registered nurse assigned, present and responsible for the patient care in the unit on each shift.
(l) A rural General Acute Care Hospital as defined in Health and Safety Code Section 1250(a), may apply for and be granted program flexibility for the requirements of subsection 70217(i) and for the personnel requirements of subsection (j)(1) above.
(m) Unlicensed personnel may be utilized as needed to assist with simple nursing procedures, subject to the requirements of competency validation. Hospital policies and procedures shall describe the responsibility of unlicensed personnel and limit their duties to tasks that do not require licensure as a registered or vocational nurse.
(n) Nursing personnel from temporary nursing agencies shall not be responsible for a patient care unit without having demonstrated clinical and supervisory competence as defined by the hospital's standards of staff performance pursuant to the requirements of subsection 70213(c) above.
(o) Hospitals which utilize temporary nursing agencies shall have and adhere to a written procedure to orient and evaluate personnel from these sources. Such procedures shall require that personnel from temporary nursing agencies be evaluated as often, or more often, than staff employed directly by the hospital.
(p) All registered and licensed vocational nurses utilized in the hospital shall have current licenses. A method to document current licensure shall be established.
(q) The hospital shall plan for routine fluctuations in patient census. If a healthcare emergency causes a change in the number of patients on a unit, the hospital must demonstrate that prompt efforts were made to maintain required staffing levels. A healthcare emergency is defined for this purpose as an unpredictable or unavoidable occurrence at unscheduled or unpredictable intervals relating to healthcare delivery requiring immediate medical interventions and care. 
NOTE

Authority cited: Sections 1275, 1276.4 and 100275(a), Health and Safety Code. Reference: Sections 1250(a), 1276, 1276.4, 1797.58 and 1790.160, Health and Safety Code.
HISTORY

1. Restoration of text as it existed prior to 11-12-2004 and addition of explanatory Note (Register 2005, No. 33).
2. Editorial correction implementing restoration of text as it existed prior to 11-12-2004 (Register 2005, No. 36).
§70219. Nursing Service Space.
Note     •     History

(a) Space and components for nurses' stations and utility rooms shall comply with the requirements set forth in California Code of Regulations, Title 24, Part 2, Section 420A.14, California Building Code, 1995.
(b) Office space shall be provided for the administrator of nursing services and for the other needs of the service.
NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: CCR, Title 24, Section 420A.14, California Building Code; and Sections 1276, Health and Safety Code.
HISTORY

1. Repealer and new section, and new Note filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
§70221. Surgical Service Definition.

Surgical service means the performance of surgical procedures with the appropriate staff, space, equipment and supplies.
§70223. Surgical Service General Requirements.
History

(a) Hospitals shall maintain at least the number of operating rooms in ratio to licensed bed capacity as follows:

Licensed Bed Capacity 	Number of Operating Rooms
Less than 25 	 One
25 to 99 	 Two
100 or more 	 Three
For each additional 100 beds or major fractions thereof, at least one additional operating room shall be maintained, unless approved to the contrary by the Department.
(1) Required operating rooms are in addition to special operating rooms, cystoscopy rooms and fracture rooms which are provided by the hospital.
(2) Beds in a distinct part skilled nursing service, intermediate care service or psychiatric unit shall be excluded from calculating the number of operating rooms required.
(b) A committee of the medical staff shall be assigned responsibility for:
(1) Recommending to the governing body the delineation of surgical privileges for individual members of the medical staff. A current list of such privileges shall be kept in the files of the operating room supervisor.
(2) Development, maintenance and implementation of written policies and procedures in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(3) Determining what emergency equipment and supplies shall be available in the surgery suite.
(4) Determining which operative procedures require an assistant surgeon or assistants to the surgeon.
(c) The responsibility and the accountability of the surgical service to the medical staff and administration shall be defined.
(d) Prior to commencing surgery the person responsible for administering anesthesia, or the surgeon if a general anesthetic is not to be administered, shall verify the patient's identity, the site and side of the body to be operated on, and ascertain that a record of the following appears in the patient's medical record:
(1) An interval medical history and physical examination performed and recorded within the previous 24 hours.
(2) Appropriate screening tests, based on the needs of the patient, accomplished and recorded within 72 hours prior to surgery.
(3) An informed consent, in writing, for the contemplated surgical procedure.
(e) The requirements of (d), above, do not preclude rendering emergency medical or surgical care to a patient in dire circumstances.
(f) A register of operations shall be maintained including the following information for each surgical procedure performed:
(1) Name, age, sex and hospital admitting number of the patient.
(2) Date and time of the operation and the operating room number.
(3) Preoperative and postoperative diagnosis.
(4) Name of surgeon, assistants, anesthetists and scrub and circulating assistant.
(5) Surgical procedure performed and anesthetic agent used.
(6) Complications, if any, during the operation.
(g) All anatomical parts, tissues and foreign objects removed by operation shall be delivered to a pathologist designated by the hospital and a report of his findings shall be filed in the patient's medical record.
(h) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
(i) The requirements in this section do not apply to special hospitals unless the special hospital provides this service.
HISTORY

1. New subsection (i) filed 7-28-78; effective thirtieth day thereafter (Register 78, No. 30).
§70225. Surgical Service Staff.
Note     •     History

(a) A physician shall have overall responsibility for the surgical service. This physician shall be certified or eligible for certification in surgery by the American Board of Surgery. If such a surgeon is not available, a physician, with additional training and experience in surgery shall be responsible for the service.
(b) One or more surgical teams consisting of physicians, registered nurses and other personnel shall be available at all times.
(c) A registered nurse with training and experience in operating room techniques shall be responsible for the nursing care and nursing management of operating room service.
(d) There shall be sufficient nursing personnel so that one person is not serving as circulating assistant for more than one operating room.
(e) There shall be evidence of continuing education and training programs for the nursing staff.
NOTE

Authority cited: Sections 1275, 1276.4 and 100275(a), Health and Safety Code. Reference: Sections 1276 and 1276.4, Health and Safety Code.
HISTORY

1. Repealer of subsection (g) filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or subsection (g) will be reinstated as it existed prior to the emergency on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Repealer of subsection (g) refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
5. Repealer of subsection (d), subsection relettering and amendment of Note filed 9-26-2003; operative 1-1-2004 (Register 2003, No. 39).
§70227. Surgical Service Equipment and Supplies.

(a) There shall be adequate and appropriate equipment and supplies maintained related to the nature of the needs and the services offered, including at least the following monitoring equipment and supplies:
(1) Cardiac monitor, with a pulse rate meter, for each patient receiving a general anesthetic.
(2) D. C. defibrillator.
(3) Electrocardiographic machine.
(4) Oxygen and respiratory rate alarms.
(5) Appropriate supplies and drugs for emergency use.
§70229. Surgical Service Space.

(a) Hospitals shall maintain operating rooms as follows:
(1) Operating rooms shall have a minimum floor dimension of 5.4 meters (18 feet) and shall contain not less than 30 square meters (324 square feet) of floor area.
(2) Cast rooms, fracture rooms and cystoscopic rooms, if provided, shall have a minimum floor area of 17 square meters (180 square feet), no dimension of which shall be less than three (3) meters (11 feet) net.
§70231. Anesthesia Service Definition.

Anesthesia service means the provision of anesthesia of the type and in the manner required by the patient's condition with appropriate staff, space, equipment and supplies. A postanesthesia recovery unit is a specific area in a hospital, staffed and equipped to provide specialized care and supervision of patients during the immediate postanesthesia period.
§70233. Anesthesia Service General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate. The policies and procedures shall include provision for at least:
(1) Preanesthesia evaluation of the patient by an individual qualified to administer anesthesia as a licensed practitioner in accordance with his or her scope of licensure. Persons providing preanesthesia evaluations shall appropriately document pertinent information relative to the choice of anesthesia and the surgical or obstetrical procedure anticipated.
(2) Review of the patient's condition immediately prior to induction of anesthesia.
(3) Safety of the patient during the anesthetic period.
(4) Recording of all events taking place during the induction of, maintenance of and emergence from anesthesia, including the amount and duration of all anesthetic agents, other drugs, intravenous fluids and blood or blood fractions.
(5) Recording of postanesthetic visits that include at least one note describing the presence or absence of complications related to anesthesia.
(b) The responsibility and the accountability of the anesthesia service to the medical staff and administration shall be defined.
(c) Rules for the safe use of nonflammable and flammable anesthetic agents which conform with the rules of the State Fire Marshal and Section 70849 shall be adopted.
(d) Periodically, an appropriate committee of the medical staff shall evaluate the service provided and make appropriate recommendations to the executive committee of the medical staff and administration.
(e) The requirements in this section do not apply to special hospitals unless the special hospital provides this service.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code; and Section 2725, Business and Professions Code.
HISTORY

1. New subsection (e) filed 7-28-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Amendment of subsection (a)(1) and adoption of Note filed 4-15-93; operative 5-17-93 (Register 93, No. 16).
§70235. Anesthesia Service Staff.

(a) A physician shall have overall responsibility for the anesthesia service. His responsibility shall include at least the:
(1) Availability of equipment, drugs and parenteral fluids necessary for administering anesthesia and for related resuscitative efforts.
(2) Development of regulations concerning anesthetic safety.
(3) Operation of the postanesthesia service.
(b) Anesthesia care shall be provided by physicians or dentists with anesthesia privileges, nurse anesthetists, or appropriately supervised trainees in an approved educational program.
(c) Anesthesia staff shall be available or on call at all times.
(d) A registered nurse with training and experience in postanesthesia nursing care shall be responsible for the nursing care and nursing management in the postanesthesia recovery unit.
(e) There shall be sufficient licensed nurses assigned to meet the needs of the patients.
(f) Nurses assistants, where provided, shall not be assigned patient care duties unless under the direct supervision of a licensed nurse.
§70237. Anesthesia Service Equipment and Supplies.

(a) There shall be adequate and appropriate equipment for the delivery of anesthesia and postanesthesia recovery care.
(1) The anesthetist shall check the readiness, availability, and cleanliness of all equipment used prior to the administration of the anesthetic agents.
(2) At least the following equipment shall be provided in the postanesthesia recovery room:
(A) Cardiac monitor, with pulse rate meter, in the ratio of 1 monitor for each two (2) patients.
(B) D. C. defibrillator.
(C) Mechanical positive pressure breathing apparatus.
(D) Stripchart electrocardiographic recorder.
(E) Sphygmomanometer.
(F) Crash cart, or equivalent, with appropriate supplies and drugs for emergency use.
§70239. Anesthesia Service Space.

(a) Postanesthesia recovery unit shall maintain the following spaces as required in Section T 17-314, Title 24, California Administrative Code:
(1) Floor area of at least 7.5 square meters (80 square feet) per bed exclusive of the spaces listed below in (2) through (6).
(2) Space for a nurses' control desk, charting space, locked medicine cabinet, refrigerator and handwashing lavatory not requiring direct contact of the hands for operation.
(3) A utility space including a rim-flush clinic sink and countertop work space at least one meter (3 feet) long. Clean and dirty areas shall be separated.
(4) Storage space for clean linen.
(5) Storage space for soiled linen.
(6) Storage space for supplies and equipment.
(7) Air Conditioning.
(b) The postanesthesia recovery unit is classified as an electrically sensitive area and shall meet grounding requirements in Section 70853.
(c) Beds in the postanesthesia recovery unit shall not be included in the licensed bed capacity of the hospital.
§70241. Clinical Laboratory Service Definition.

Clinical laboratory service means the performance of clinical laboratory tests with appropriate staff, space, equipment and supplies.
§70243. Clinical Laboratory Service General Requirements.
Note     •     History

(a) Clinical laboratories shall be operated in conformance with the California Business and Professions Code, Division 2, Chapter 3 (Sections 1200 to 1322, inclusive) and the California Administrative Code, Title 17, Chapter 2, Subchapter 1, Group 2 (Sections 1030 to 1057, inclusive).
(b) All hospitals shall maintain clinical laboratory services and equipment for routine laboratory work, such as urinalysis, complete blood counts, blood typing, cross matching and such other tests as are required by these regulations.
(c) All hospitals shall maintain or make provision for clinical laboratory services for performance of tests in chemistry, microbiology, serology, hematology, pathology and such other tests as are required by these regulations.
(d) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(e) The responsibility and the accountability of the clinical laboratory service to the medical staff and administration shall be defined.
(f) The director of the clinical laboratory shall assure that:
(1) Examinations are performed accurately and in a timely fashion.
(2) Procedures are established governing the provision of laboratory services for outpatients.
(3) Laboratory systems identify the patient, test requested, date and time the specimen was obtained, the time the request reached the laboratory, the time the laboratory completed the test and any special handling which was required.
(4) Procedures are established to ensure the satisfactory collection of specimens.
(5) A communications system to provide efficient information exchange between the laboratory and related areas of the hospital is established.
(6) A quality control system within the laboratory designed to ensure medical reliability of laboratory data is established. The results of control tests shall be readily available in the hospital.
(7) Reports of all laboratory examinations are made a part of the patient's medical record as soon as is practical.
(8) No laboratory procedures are performed except on the order of a person lawfully authorized to give such an order.
(g) Tissue specimens shall be examined by a physician who is certified or eligible for certification in anatomical and/or clinical pathology by the American Board of Pathology or possesses qualifications which are equivalent to those required for certification. Oral specimens may be examined by a dentist who is certified or eligible for certification as an oral pathologist by the American Board of Oral Pathology. A record of his findings shall become a part of the patient's medical record.
(1) A tissue file shall be maintained at the hospital or the principal office of the consulting pathologist.
(h) The use, storage and disposal of radioactive materials shall comply with the California Radiation Control Regulations, Subchapter 4, Chapter 5, Title 17, California Administrative Code.
(i) Where the hospital depends on outside blood banks, there shall be a written agreement governing the procurement, transfer and availability of blood.
(j) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsection (f) filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
§70245. Clinical Laboratory Service Staff.
Note     •     History

(a) A physician shall have overall responsibility for the clinical laboratory service. This physician shall be certified or eligible for certification in clinical pathology and/or pathologic anatomy by the American Board of Pathology. If such a pathologist is not available on a full-time or regular part-time weekly basis, a physician or a licensed clinical laboratory bioanalyst who is available on a full-time or regular part-time basis may administer the clinical laboratory. In this circumstance, a pathologist, qualified as above, shall provide consultation at suitable intervals to assure high quality service.
(b) There shall be a physician, clinical laboratory bioanalyst or clinical laboratory technologist on duty or on call at all times to assure the availability of emergency laboratory services.
(c) There shall be sufficient staff with adequate training and experience to meet the needs of the service being offered.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Repealer of subsection (d) filed 6-15-89 its an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or subsection (d) will be reinstated as it existed prior to the emergency on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Repealer of subsection (d) refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70247. Clinical Laboratory Service Equipment and Supplies.

(a) There shall be sufficient equipment and supplies maintained to perform the laboratory services being offered.
(b) The hospital shall maintain blood storage facilities in conformance with the provisions of Section 1002(g), Article 10, Group 1, Subchapter 1, Chapter 2, Title 17, California Administrative Code. Such facilities shall be inspected at appropriately short intervals each day of the week to assure these requirements are being fulfilled.
§70249. Clinical Laboratory Service Space.

(a) Adequate laboratory space a determined by the Department shall be maintained.
(b) If tests on outpatients are to be performed, outpatient access to the laboratory shall not traverse a nursing unit.
§70251. Radiological Service Definition.

Radiological service means the use of X-ray, other external ionizing radiation, and/or thermography, and/or ultra sound in the detection, diagnosis and treatment of human illnesses and injuries with appropriate staff, space, equipment and supplies. Ultra sound although properly the province of physical medicine, may be considered part of the radiological service.
§70253. Radiological Service General Requirements.

(a) All hospitals shall maintain a diagnostic radiological service.
(b) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(c) The responsibility and the accountability of the radiological service to the medical staff and administration shall be defined.
(d) The use, storage and shielding of all radiation machines and radioactive materials shall comply with the California Radiation Control Regulations, Subchapter 4, Chapter 5, Title 17, California Administrative Code.
(e) All persons operating or supervising the operation of X-ray machines shall comply with the requirements of the Radiologic Technology Regulations, Subchapter 4.5, Chapter 5, Title 17, California Administrative Code.
(f) Diagnostic radiological services may be performed on the order of a person lawfully authorized to give such an order.
(g) Reports of radiological service examinations shall be filed in the patient's medical record and maintained in the radiology unit.
(h) X-ray films or reproductions thereof, shall be retained for the same period of time as is required for other parts of the patient's medical record.
(i) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70255. Radiological Service Staff.

(a) A physician shall have overall responsibility for the radiological service. This physician shall be certified or eligible for certification by the American Board of Radiology. If such a radiologist is not available on a full-time or regular part-time basis, a physician, with training and experience in radiology, may administer the service. In this circumstance, a radiologist, qualified as above, shall provide consultation services at suitable intervals to assure high quality service.
(b) Sufficient certified radiologic technologists shall be employed to meet the needs of the service being offered.
(c) There shall be at least one person on duty or on call at all times capable of operating radiological equipment.
§70257. Radiological Service Equipment and Supplies.

(a) There shall be sufficient equipment and supplies maintained to adequately perform the radiological services that are offered in the hospital. As a minimum, the following equipment shall be available:
(1) At least one radiographic and fluoroscopic unit. On and after January 1, 1977, fluoroscopic units shall be equipped with image intensifiers.
(2) Film processing equipment.
(b) Proper resuscitative and monitoring equipment shall be immediately available.
§70259. Radiological Service Space.

(a) There shall be sufficient space maintained to adequately provide radiological services. This shall include but not be limited to the following:
(1) A separate X-ray room large enough to accommodate the necessary radiographic equipment and to allow easy maneuverability of stretchers and wheelchairs.
(2) Toilet facilities located adjacent to or in the immediate vicinity.
(3) Dressing room facilities for patients.
(4) Film processing area.
(5) Sufficient storage space for all the necessary X-ray equipment, supplies and for exposed X-ray film and copies of reports.
(6) Suitable area for viewing and reporting of radiographic examinations.
(b) If X-ray examinations are to be performed on outpatients, outpatient access to the radiological spaces shall not traverse a nursing unit.
§70261. Pharmaceutical Service Definition.

Pharmaceutical service means the procuring, manufacturing, compounding, dispensing, distributing, storing and administering of drugs, biologicals and chemicals by appropriate staff which has adequate space, equipment and supplies. Pharmaceutical services also include the provision of drug information to other health professionals and patients.
§70263. Pharmaceutical Service General Requirements.
Note     •     History

(a) All hospitals having a licensed bed capacity of 100 or more beds shall have a pharmacy on the premises licensed by the California Board of Pharmacy. Those hospitals having fewer than 100 licensed beds shall have a pharmacy license issued by the Board of Pharmacy pursuant to Section 4029 or 4056 of the Business and Professions Code.
(b) The responsibility and the accountability of the pharmaceutical service to the medical staff and administration shall be defined.
(c) A pharmacy and therapeutics committee, or a committee of equivalent composition, shall be established. The committee shall consist of at least one physician, one pharmacist, the director of nursing service or her representative and the administrator or his representative.
(1) The committee shall develop written policies and procedures for establishment of safe and effective systems for procurement, storage, distribution, dispensing and use of drugs and chemicals. The pharmacist in consultation with other appropriate health professionals and administration shall be responsible for the development and implementations of procedures. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(2) The committee shall be responsible for the development and maintenance of a formulary of drugs for use throughout the hospital.
(d) There shall be a system maintained whereby no person other than a pharmacist or an individual under the direct supervision of a pharmacist shall dispense medications for use beyond the immediate needs of the patients.
(e) There shall be a system assuring the availability of prescribed medications 24 hours a day.
(f) Supplies of drugs for use in medical emergencies only shall be immediately available at each nursing unit or service area as required.
(1) Written policies and procedures establishing the contents of the supply procedures for use, restocking and sealing of the emergency drug supply shall be developed.
(2) The emergency drug supply shall be stored in a clearly marked portable container which is sealed by the pharmacist in such a manner that a seal must be broken to gain access to the drugs. The contents of the container shall be listed on the outside cover and shall include the earliest expiration date of any drugs within.
(3) The supply shall be inspected by a pharmacist at periodic intervals specified in written policies. Such inspections shall occur no less frequently than every 30 days. Records of such inspections shall be kept for at least three years.
(g) No drugs shall be administered except by licensed personnel authorized to administer drugs and upon the order of a person lawfully authorized to prescribe or furnish. This shall not preclude the administration of aerosol drugs by respiratory therapists. The order shall include the name of the drug, the dosage and the frequency of administration, the route of administration, if other than oral, and the date, time and signature of the prescriber or furnisher. Orders for drugs should be written or transmitted by the prescriber or furnisher. Verbal orders for drugs shall be given only by a person lawfully authorized to prescribe or furnish and shall be recorded promptly in the patient's medical record, noting the name of the person giving the verbal order and the signature of the individual receiving the order. The prescriber or furnisher shall countersign the order within 48 hours.
(1) Verbal orders for administration of medications shall be received and recorded only by those health care professionals whose scope of licensure authorizes them to receive orders for medication.
(2) Medications and treatments shall be administered as ordered.
(h) Standing orders for drugs may be used for specified patents when authorized by a person licensed to prescribe. A copy of standing orders for a specific patient shall be dated, promptly signed by the prescriber and included in the patient's medical record. These standing orders shall:
(1) Specify the circumstances under which the drug is to be administered.
(2) Specify the types of medical conditions of patients for whom the standing orders are intended.
(3) Be initially approved by the pharmacy and therapeutics committee or its equivalent and be reviewed at least annually by that committee.
(4) Be specific as to the drug, dosage, route and frequency of administration.
(i) An individual prescriber may notify the hospital in writing of his own standing orders, the use of which is subject to prior approval and periodic review by the pharmacy and therapeutics committee or its equivalent.
(j) The hospital shall develop policies limiting the duration of drug therapy in the absence of the prescriber's specific indication of duration of drug therapy or under other circumstances recommended by the pharmacy and therapeutics committee or its equivalent and approved by the executive committee of the medical staff. The limitations shall be established for classes of drugs and/or individual drug entities.
(k) If drugs are supplied through a pharmacy, orders for drugs shall be transmitted to the pharmacy either by written prescription of the prescriber, by an order form which produces a direct copy of the order or by an electronically reproduced facsimile. When drugs are not supplied through a pharmacy, such information shall be made available to the hospital pharmacist.
(l) Medications shall not be left at the patient's bedside unless the prescriber so orders. Such bedside medications shall be kept in a cabinet, drawer or in possession of the patient. Drugs shall not be left at the bedside which are listed in Schedules II, III and IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 as amended. If the hospital permits bedside storage of medications, written policies and procedures shall be established for the dispensing, storage and records of use, of such medications.
(m) Medications brought by or with the patient to the hospital shall not be administered to the patient unless all of the following conditions are met:
(1) The drugs have been ordered by a person lawfully authorized to give such an order and the order entered in the patient's medical record.
(2) The medication containers are clearly and properly labeled.
(3) The contents of the containers have been examined and positively identified, after arrival at the hospital, by the patient's physician or the hospital pharmacist.
(n) The hospital shall establish a supply of medications which is accessible without entering either the pharmacy or drug storage room during hours when the pharmacist is not available. Access to the supply shall be limited to designated registered nurses. Records of drugs taken from the supply shall be maintained and the pharmacist shall be notified of such use. The records shall include the name and strength of the drug, the amount taken, the date and time, the name of the patient to whom the drug was administered and the signature of the registered nurse. The pharmacist shall be responsible for maintenance of the supply and assuring that all drugs are properly labeled and stored. The drug supply shall contain that type and quantity of drugs necessary to meet the immediate needs of patients as determined by the pharmacy and therapeutics committee.
(o) Investigational drug use shall be in accordance with applicable state and federal laws and regulations and policies adopted by the hospital. Such drugs shall be used only under the direct supervision of the principal investigator, who shall be a member of the medical staff and be responsible for assuring that informed consent is secured from the patient. Basic information concerning the dosage form, route of administration, strength, actions, uses, side effects, adverse effects, interactions and symptoms of toxicity of investigational drugs shall be available at the nursing station where such drugs are being administered and in the pharmacy. The pharmacist shall be responsible for the proper labeling, storage and distribution of such drugs pursuant to the written order of the investigator.
(p) No drugs supplied by the hospital shall be taken from the hospital unless a prescription or medical record order has been written for the medication and the medication has been properly labeled and prepared by the pharmacist in accordance with state and federal laws, for use outside of the hospital.
(q) Labeling and storage of drugs shall be accomplished to meet the following requirements:
(1) Individual patient medications, except those that have been left at the patient's bedside, may be returned to the pharmacy for appropriate disposition.
(2) All drug labels must be legible and in compliance with state and federal requirements.
(3) Drugs shall be labeled only by persons legally authorized to prescribe or dispense or under the supervision of a pharmacist.
(4) Test agents, germicides, disinfectants and other household substances shall be stored separately from drugs.
(5) External use drugs in liquid, tablet, capsule or powder form shall be segregated from drugs for internal use.
(6) Drugs shall be stored at appropriate temperatures. Refrigerator temperature shall be between 2.2oC (36oF) and 7.7oC (46oF) and room temperature shall be between 15oC (59oF) and 30oC (86oF).
(7) Drugs shall be stored in an orderly manner in well-lighted cabinets, shelves, drawers or carts of sufficient size to prevent crowding.
(8) Drugs shall be accessible only to responsible personnel designated by the hospital, or to the patient as provided in 70263 (1) above.
(9) Drugs shall not be kept in stock after the expiration date on the label and no contaminated or deteriorated drugs shall be available for use.
(10) Drugs maintained on the nursing unit shall be inspected at least monthly by a pharmacist. Any irregularities shall be reported to the director of nursing service and as required by hospital policy.
(11) Discontinued individual patient's drugs not supplied by the hospital may be sent home with the patient. Those which remain in the hospital after discharge that are not identified by lot number shall be destroyed in the following manner:
(A) Drugs listed in Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970, as amended, shall be destroyed in the presence of two pharmacists or a pharmacist and a registered nurse employed by the hospital. The name of the patient, the name and strength of the drug, the prescription number, the amount destroyed, the date of destruction and the signatures of the witnesses required above shall be recorded in the patient's medical record or in a separate log. Such log shall be retained for at least three years.
(B) Drugs not listed under Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970, as amended, shall be destroyed in the presence of a pharmacist.
(r) The pharmacist shall develop and implement written quality control procedures for all drugs which are prepackaged or compounded in the hospital including intravenous solution additives. He shall develop and conduct an in-service training program for the professional staff to assure compliance therewith.
(s) The pharmacist shall be consulted on proper methods for repackaging and labeling of bulk cleaning agents, solvents, chemicals and poisons used throughout the hospital.
(t) Periodically, the pharmacy and therapeutics committee, or its equivalent, shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
NOTE

Authority cited: Sections 1275 and 100275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsection (m) filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
2. Amendment of subsection (g), new subsections (g)(1) and (g)(2), and amendment of Note filed 11-26-96; operative 12-26-96 (Register 96, No. 48).
3. Change without regulatory effect amending subsection (a) and Note filed 6-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 24).
§70265. Pharmaceutical Service Staff.

A pharmacist shall have overall responsibility for the pharmaceutical service. He shall be responsible for the procurement, storage and distribution of all drugs as well as the development, coordination, supervision and review of pharmaceutical services in the hospital. Hospitals with a limited permit shall employ a pharmacist on at least a consulting basis. Responsibilities shall be set forth in a job description or agreement between the pharmacist and the hospital. The pharmacist shall be responsible to the administrator and shall furnish him written reports and recommendations regarding the pharmaceutical services within the hospital. Such reports shall be provided no less often than quarterly.
§70267. Pharmaceutical Service Equipment and Supplies.

(a) There shall be adequate equipment and supplies for the provision of pharmaceutical services within the hospital.
(b) Reference materials containing monographs on all drugs in use in the hospital shall be available in each nursing unit. Such monographs must include information concerning generic and brand names, if applicable, available strengths and dosage forms and pharmacological data including indications, side effects, adverse effects and drug interactions.
§70269. Pharmaceutical Service Space.

(a) Adequate space shall be available at each nursing station for the storage of drugs and preparation of medication doses.
(b) All spaces and areas used for the storage of drugs shall be lockable and accessible to authorized personnel only.
§70271. Dietetic Service Definition.

Dietetic service means providing safe, satisfying and nutritionally adequate food for patients with appropriate staff, space, equipment and supplies.
§70273. Dietetic Service General Requirements.
Note     •     History

(a) The dietetic service shall provide food of the quality and quantity to meet the patient's needs in accordance with physicians' orders and, to the extent medically possible, to meet the Recommended Daily Dietary Allowances, 1974 Edition, adopted by the Food and Nutrition Board of the National Research Council of the National Academy of Sciences, 2107 Constitution Avenue, Washington, DC 20418, and the following:
(1) Not less than three meals shall be served daily.
(2) Not more than 14 hours shall elapse between the evening meal and breakfast of the following day.
(3) Nourishment or between meal feedings shall be provided as required by the diet prescription and shall be offered to all patients unless counterordered by the physician.
(4) Patient food preferences shall be respected as much as possible and substitutes shall be offered through use of a selective menu or substitutes from appropriate food groups.
(5) When food is provided by an outside food service, all applicable requirements herein set forth shall be met. The hospital shall maintain adequate space, equipment and staple food supplies to provide patient food service in emergencies.
(b) Policies and procedures shall be developed and maintained in consultation with representatives of the medical staff, nursing staff and administration to govern the provision of dietetic services. Policies shall be approved by the medical staff, administration and governing body. Procedures shall be approved by the medical staff and administration.
(c) The responsibility and the accountability of the dietetic service to the medical staff and administration shall be defined.
(d) A current diet manual approved by the dietitian and the medical staff shall be used as the basis for diet orders and for planning modified diets. Copies of the diet manual shall be available at each nursing station and in the dietetic service area.
(e) Therapeutic diets shall be provided as prescribed by a person lawfully authorized to give such an order and shall be planned, prepared and served with supervision and/or consultation from the dietitian. Persons responsible for therapeutic diets shall have sufficient knowledge of food values to make appropriate substitutions when necessary.
(f) A current profile card shall be maintained for each patient indicating diet, likes, dislikes and other pertinent information concerning the patient's dietary needs.
(g) Menus.
(1) Menus for regular and routine modified diets shall be written at least one week in advance, dated and posted in the kitchen at least three days in advance.
(2) If any meal served varies from the planned menu, the change shall be noted in writing on the posted menu in the kitchen.
(3) Menus shall provide a variety of foods in adequate amounts at each meal.
(4) Menus should be planned with consideration for cultural and religious background and food habits of patients.
(5) A copy of the menu as served shall be kept on file for at least 30 days.
(6) Records of food purchased shall be kept available for one year.
(7) Standardized recipes, adjusted to appropriate yield, shall be maintained and used in food preparation.
(h) Food shall be prepared by methods which conserve nutritive value, flavor and appearance. Food shall be served attractively at appropriate temperatures and in a form to meet individual needs.
(i) Nutritional Care.
(1) Nutritional care shall be integrated in the patient care plan.
(2) Observations and information pertinent to dietetic treatment shall be recorded in patient's medical records by the dietitian.
(3) Pertinent dietary records shall be included in patient's transfer discharge record to ensure continuity of nutritional care.
(j) In-service training shall be provided for all dietetic service personnel and a record of subject areas covered, date and duration of each session and attendance lists shall be maintained.
(k) Food Storage.
(1) Food storage areas shall be clean at all times.
(2) Dry or staple items shall be stored at least 30 cm (12 inches) above the floor, in a ventilated room, not subject to sewage or waste water backflow, or contamination by condensation, leakage, rodents or vermin.
(3) All readily perishable foods or beverages capable of supporting rapid and progressive growth of microorganisms which can cause food infections or food intoxication shall be maintained at temperatures of 7oC (45oF) or below, or at 60oC (140oF) or above, at all times, except during necessary periods of preparation and service. Frozen food shall be stored at -18oC (0oF) or below.
(4) There shall be a reliable thermometer in each refrigerator and in storerooms used for perishable food.
(5) Pesticides, other toxic substances and drugs shall not be stored in the kitchen area or in storerooms for food and/or food preparation equipment and utensils.
(6) Soaps, detergents, cleaning compounds or similar substances shall not be stored in food storerooms or food storage areas.
(l) Sanitation.
(1) All kitchens and kitchen areas shall be kept clean, free from litter and rubbish and protected from rodents, roaches, flies and other insects.
(2) All utensils, counters, shelves and equipment shall be kept clean, maintained in good repair and shall be free from breaks, corrosions, open seams, cracks and chipped areas.
(3) Plasticware, china and glassware that is unsightly, unsanitary or hazardous because of chips, cracks or loss of glaze shall be discarded.
(4) Ice which is used in connection with food or drink shall be from a sanitary source and shall be handled and dispensed in a sanitary manner.
(5) Kitchen wastes that are not disposed of by mechanical means shall be kept in leakproof, nonabsorbent, tightly closed containers and shall be disposed of as frequently as necessary to prevent a nuisance or unsightliness.
(m) All utensils used for eating, drinking and in the preparation and serving of food and drink shall be cleaned and disinfected or discarded after each usage.
(1) Gross food particles shall be removed by scraping and prerinsing in running water.
(2) The utensils shall be thoroughly washed in hot water with a minimum temperature of 43oC (110oF), using soap or detergent, rinsed in hot water to remove soap or detergent and disinfected by one of the following methods or an equivalent method approved by the Department:
(A) Immersion for at least two minutes in clean water at 77oC (180oF).
(B) Immersion for at least 30 seconds in clean water at 82oC (180oF).
(C) Immersion in water containing bactericidal chemical as approved by the Department.
(3) After disinfection the utensils shall be allowed to drain and dry in racks or baskets on nonabsorbent surfaces. Drying cloths shall not be used.
(4) Results obtained with dishwashing machines shall be equal to those obtained by the methods outlined above and all dishwashing machines shall meet the requirements contained in Standard No. 3 as amended in April 1965 of the National Sanitation Foundation, P.O. Box 1468, Ann Arbor, MI 48106.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsection (e) filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
§70275. Dietetic Service Staff.

(a) A registered dietitian shall be employed on a full-time, part-time or consulting basis. Part-time or consultant services shall be provided on the premises at appropriate times on a regularly scheduled basis and of sufficient duration and frequency to provide continuing liaison with medical and nursing staffs, advice to the administrator, patient counseling, guidance to the supervisor and staff of the dietetic service, approval of all menus and participation in development or revision of dietetic policies and procedures and in planning and conducting in-service education programs.
(b) If a registered dietitian is not employed full-time, a full-time person who has completed a dietetic supervisor's training program meeting the requirements of Essentials of an Acceptable Program of Dietetic Assistant Education, revised June, 1974, by the American Dietetic Association, 430 North Michigan Avenue, Chicago, IL 60611, shall be employed to be responsible for the operation of the food service. This program or its equivalent shall be required on and after July 1, 1977.
(c) Sufficient dietetic service personnel shall be employed, oriented, trained and their working hours scheduled to provide for the nutritional needs of the patients and to maintain the dietetic service areas. If dietetic service employees are assigned duties in other service areas, those duties shall not interfere with the sanitation, safety or time required for dietetic work assignments.
(d) Current work schedules by job titles and weekly duty schedules shall be posted in the dietetic service area.
(e) A record shall be maintained of the number of persons by job title employed full or part-time in dietetic services and the number of hours each works weekly.
(f) Hygiene of Dietetic Service Staff.
(1) Dietetic service personnel shall be trained in basic food sanitation techniques, shall be clean, wear clean clothing, including a cap and/or a hair net and shall be excluded from duty when affected by skin infection or communicable diseases. Beards and mustaches which are not closely cropped and neatly trimmed shall be covered.
(2) Employee's street clothing stored in the kitchen area shall be in a closed area.
(3) Kitchen sinks shall not be used for handwashing. Separate handwashing facilities with soap, running water and individual towels shall be provided.
(4) Persons other than dietetic personnel shall not be allowed in the kitchen area unless required to do so in the performance of their duties.
§70277. Dietetic Service Equipment and Supplies.

(a) Equipment of the type and in the amount necessary for the proper preparation, serving and storing of food and for proper dishwashing shall be provided and maintained in good working order.
(1) The dietetic service area shall be ventilated in a manner that will maintain comfortable working conditions, remove objectionable odors and fumes and prevent excessive condensation.
(2) Equipment necessary for preparation and maintenance of menus, records and references shall be provided.
(3) Fixed and mobile equipment in the dietetic service area shall be located to assure sanitary and safe operation and shall be of sufficient size to handle the needs of the hospital.
(b) Food Supplies.
(1) At least one week's supply of staple foods and at least two (2) days supply of perishable foods shall be maintained on the premises. Supplies shall be appropriate to meet the requirements of the menu.
(2) All food shall be of good quality and procured from sources approved or considered satisfactory by federal, state and local authorities. Food in unlabeled, rusty, leaking, broken containers or cans with side seam dents, rim dents or swells shall not be accepted or retained.
(3) Milk, milk products and products resembling milk shall be processed or manufactured in milk product plants meeting the requirements of Division 15 of the California Food and Agricultural Code.
(4) Milk may be served in individual containers, the cap or seal of which shall not be removed except in the presence of the patient. Milk may be served from a dispensing device which has been approved for such use. Milk served from an approved device shall be dispensed directly into the glass or other container from which the patient drinks.
(5) Catered foods and beverages from a source outside the hospital shall be prepared, packed, properly identified, stored and transported in compliance with these regulations and other applicable federal, state and local codes as determined by the Department.
(6) Foods held in refrigerated or other storage areas shall be appropriately covered. Food which was prepared and not served shall be stored appropriately, clearly labeled and dated.
(7) Hermetically sealed foods or beverages served in the hospital shall have been processed in compliance with applicable federal, state and local codes.
§70279. Dietetic Service Space.

(a) Adequate space for the preparation and serving of food shall be provided. Equipment shall be placed so as to provide aisles of sufficient width to permit easy movement of personnel, mobile equipment and supplies.
(b) Well ventilated food storage areas of adequate size shall be provided.
(c) A minimum of .057 cubic meters (two cubic feet) of usable refrigerated space per bed shall be maintained for the storage of frozen and chilled foods.
(d) Adequate space shall be maintained to accommodate equipment, personnel and procedures necessary for proper cleaning and sanitizing of dishes and other utensils.
(e) Where employee dining space is provided, a minimum of 1.4 square meters (15 square feet) of floor area per person served, including serving area, shall be maintained.
(f) Office or other suitable space shall be provided for the dietitian or dietetic service supervisor for privacy in interviewing personnel, conducting other business related to dietetic service and for the preparation and maintenance of menus and other necessary reports and records.
Article 4. Supplemental Service Approval
§70301. Supplemental Service Approval Required.

(a) Any licensee desiring to establish or conduct, or who holds out, represents or advertises by any means the provision of a supplemental service, shall obtain prior approval from the Department or a special permit if required by Section 70351.
(b) The provisions of this Article shall apply only to any supplemental service for which a special permit is not required.
(c) Any licensee who offers a supplemental service for which approval is now required under these regulations is authorized to continue furnishing such service without obtaining approval until the Department inspects and evaluates the quality of the service and determines whether such service meets the requirements for the service contained in these regulations. If the Department determines that the service meets such requirements, it shall notify the licensee in writing. If the Department determines that the service does not meet the requirements, it shall so notify the licensee of all deficiencies of compliance with these regulations and the hospital shall agree with the Department upon a plan of corrections which shall give the hospital a reasonable time to correct such deficiencies. If at the end of the allotted time, as revealed by repeat inspection, the hospital has failed to correct the deficiencies, the licensee shall cease and desist all holding out, advertising or otherwise representing that it furnishes such recognized service.
§70303. Application.

Any licensee desiring approval for a supplemental service shall file with the Department an application on forms furnished by the Department.
§70305. Issuance, Expiration and Renewal.

(a) The Department shall list on the hospital license each supplemental service for which approval is granted.
(b) If the applicant is not in compliance with the laws and regulations, the Department shall deny the applicant approval and shall immediately notify the applicant in writing. Within 20 days of receipt of the Department's notice, the applicant may present his written petition for a hearing to the Department. The Department shall set the matter for hearing within 30 days after receipt of the petition in proper form. The proceedings shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(c) Each supplemental service approval shall expire on the date of expiration of the hospital license. A renewal of the approval may be issued for a period not to exceed two years if the holder of the approval has been found not to have been in violation of any statutory requirements, regulations or standards during the preceding approval period.
§70307. Program Flexibility.

(a) All hospitals shall maintain continuous compliance with the supplemental service requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects provided such exceptions are carried out with the prior written approval of the Department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request plus supporting evidence shall be submitted by the applicant or licensee to the Department.
(b) Any approval granted by the Department pursuant to this section, or a true copy thereof, shall be posted immediately adjacent to the facility's license required to be posted by Section 70123.
§70309. Revocation or Involuntary Suspension of Approval.

(a) Pursuant to provisions of Chapter 5 (commencing with Section 11500) Part I, Division 3, Government Code, the Department may suspend or revoke the approval of a supplemental service issued under the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, upon any of the following grounds:
(1) Violation by the licensee of any provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or of the supplemental service regulations promulgated by the Department.
(2) Aiding, abetting or permitting the violation of any provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or of any supplemental service regulations promulgated by the Department.
(3) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the maintenance and operation of a supplemental service.
(b) The Director may temporarily suspend any supplemental service approval prior to any hearing when, in his opinion, such action is necessary to protect the public welfare.
(1) The Director shall notify the licensee of the temporary suspension and the effective date thereof and at the same time shall serve such licensee with an accusation.
(2) Upon receipt of a notice of contest by the licensee, the Director shall set the matter for hearing within 30 days after receipt of such notice.
(3) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination.
(4) If the Director fails to make a final determination within 60 days after the original hearing has been completed, the temporary suspension shall be deemed vacated.
(5) If the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or the supplemental service regulations promulgated by the Director are violated by a licensee which is a group, corporation or other association, the Director may suspend the approval of such organization or may suspend the approval as to any individual person within such organization who is responsible for such violation.
(c) The withdrawal of an application for approval shall not deprive the Department of its authority to institute or continue a proceeding against the applicant for the denial of the approval upon any group provided by law or to enter an order denying the approval upon any such ground, unless the Department consents in writing to such withdrawal.
(d) The suspension, expiration or forfeiture of an approval issued by the Department shall not deprive the Department of its authority to institute or continue a proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking approval or otherwise taking disciplinary action against the licensee on any such ground.
(e) A licensee whose approval has been revoked or suspended may petition the Department for reinstatement or reduction of penalty after a period of not less than one year has elapsed from the effective date of the decision or from the date of the denial of a similar petition.
Article 5. Special Permit
§70351. Special Permit Required.
History

(a) Any licensee desiring to establish or conduct, or who holds out, represents or advertises by any means, the performance of a special service shall obtain a special permit from the Department.
(b) The following supplemental services are also special services for which a special permit is required:
(1) Basic emergency medical service.
(2) Burn center.
(3) Cardiovascular surgery service.
(4) Chronic dialysis unit.
(5) Comprehensive emergency medical service.
(6) Intensive care newborn nursery service.
(7) Psychiatric unit.
(8) Radiation therapy service.
(9) Renal transplant center.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§70353. Application.

Any licensee desiring to obtain a special permit shall file with the Department an application on forms furnished by the Department. Such other information or documents as may be required for the proper administration and enforcement of the licensing law and requirements shall be submitted with the application.
§70355. Renewal Application.

The licensee shall submit renewal applications as required by the Department.
§70357. Issuance, Expiration and Renewal.
History

(a) Upon verification of compliance with the supplemental service requirements for any service which is a special service, the Department shall issue a special permit except that no special permit shall be issued for new special services for which there is no valid, subsisting, and unexpired Certificate of Need or Certificate of Exemption.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§70359. Posting.

The special permit, or a true copy thereof, shall be posted conspicuously in a prominent location within the licensed premises and accessible to public view.
§70361. Transferability.

Special permits are not transferable. The licensee shall notify the Department in writing at least 30 days prior to the effective date of any change of ownership. A new application for special permit shall be submitted by the prospective new owner.
§70363. Program Flexibility.

(a) All hospitals shall maintain continuous compliance with the special permit requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects provided such exceptions are carried out with the prior written approval of the Department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request plus supporting evidence shall be submitted by the applicant or licensee to the Department.
(b) Any approval granted by the Department pursuant to this section, or a true copy thereof, shall be posted immediately adjacent to the facility's license required to be posted by Section 70123.
§70365. Voluntary Suspension of Special Permit.

(a) Upon written request and good cause, a licensee may request that a special permit be put in suspense. The Department may approve the request for a period not to exceed 12 months.
(b) Any special permit which has been temporarily suspended by the Department pursuant to this section shall remain subject to all renewal requirements of an active special permit, including the payment of renewal fees, during the period of temporary suspension.
(c) Any special permit suspended pursuant to this section may be reinstated by the Department within 12 months of the date of suspension upon receipt of an application and evidence showing compliance with supplemental service requirements in effect at the time of reinstatement. If the special permit is not reinstated within the 12-month period, the special permit shall expire automatically.
§70367. Voluntary Cancellation of Special Permit.

(a) The licensee shall notify the Department in writing as soon as possible and in all cases at least 30 days prior to the effective date of cancellation of a special permit.
(b) Any special permit cancelled pursuant to this section may be reinstated by the Department on receipt of an application along with evidence showing compliance with supplemental service requirements.
§70369. Revocation or Involuntary Suspension of Special Permit.

(a) Pursuant to provisions of Chapter 5 (commencing with Section 11500), Part I, Division 3, Title 2, Government Code, the Department may suspend or revoke any special permit issued under the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, upon any of the following grounds:
(1) Violation by the licensee of any provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or of the supplemental service regulations promulgated by the Department.
(2) Aiding, abetting or permitting the violation of any provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or supplemental service regulations promulgated by the Department.
(3) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the maintenance and operation of a supplemental service.
(b) The Director may temporarily suspend any special permit prior to any hearing when, in his opinion, such action is necessary to protect the public welfare.
(1) The Director shall notify the licensee of the temporary suspension and the effective date thereof and at the same time shall serve such licensee with an accusation.
(2) Upon receipt of a notice of contest by the licensee, the Director shall set the matter for hearing within 30 days after receipt of such notice.
(3) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination.
(4) If the Director fails to make a final determination within 60 days after the original hearing has been completed, the temporary suspension shall be deemed vacated.
(5) If the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or the regulations promulgated by the Director are violated by a licensee which is a group, corporation or other association, the Director may suspend the special permit of such organization or may suspend the special permit as to any individual person within such organization who is responsible for such violation.
(c) The withdrawal of an application for a special permit shall not deprive the Department of its authority to institute or continue a proceeding against the applicant for the denial of the special permit upon any group provided by law or to enter an order denying the special permit upon any such ground, unless the Department consents in writing to such withdrawal.
(d) The suspension, expiration or forfeiture of a special permit issued by the Department shall not deprive the Department of its authority to institute or continue a proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking a special permit or otherwise taking disciplinary action against the licensee on any such ground.
(e) A person whose special permit has been revoked or suspended may petition the Department for reinstatement or reduction of penalty after a period of not less than one year has elapsed from the effective date of the decision or from the date of the denial of a similar petition.
Article 6. Supplemental Services
§70401. Acute Respiratory Care Service Definition.

Acute Respiratory Care Service means an intensive care unit in which there are specially trained nursing and supportive personnel and the necessary diagnostic, monitoring and therapeutic equipment to provide specialized medical and nursing care to patients with acute respiratory problems.
§70403. Acute Respiratory Care Service General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and accountability of the acute respiratory care service to the medical staff and administration shall be defined.
(c) The unit shall be used primarily for the care of patients with acute respiratory failure. The unit should contain at least four (4) beds and should treat 100 or more patients per year.
(d) Data relating to admissions, mortality and morbidity shall be kept and reviewed by an appropriate committee of the medical staff at least quarterly.
(e) The hospital shall have the capability to perform blood gas analysis and electrolyte determinations at all times.
(f) The unit shall be located to prevent through traffic.
(g) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70405. Acute Respiratory Care Service Staff.

(a) A physician shall have overall responsibility for the acute respiratory care service. When possible this physician shall be certified or eligible for certification in pulmonary disease by the American Board of Internal Medicine or be certified or eligible for certification by the American Board of Anesthesiology. If such specialists are not available, a physician who is certified or eligible for certification as an internist by the American Board of Internal Medicine with interest and experience in acute respiratory care may direct and coordinate the service.
(b) A minimum of one other physician experienced in acute respiratory care shall be available to the unit.
(c) Consultants in the specialities of medicine and surgery shall be available to the unit.
(d) A registered nurse with at least six months nursing experience in the care of acute respiratory failure patients shall be responsible for the nursing care and nursing management of the unit.
(e) A registered nurse:patient ratio shall be 1:4 or fewer on all shifts.
(f) Sufficient other licensed nursing personnel who have experience in acute respiratory care nursing shall provide additional support in a total nurse:patient ratio of 1:2 or fewer on each shift.
(g) Sufficient respiratory therapists and/or respiratory therapy technicians to provide support for resuscitation and maintenance of the mechanical ventilators in a ratio of 1:4 or fewer on each shift.
(h) A physical therapist and a social worker should be available on a regular basis.
§70407. Acute Respiratory Care Service Equipment and Supplies.

(a) Equipment and supplies shall include at least:
(1) Vertically adjustable beds with immediately removable headboards with trendelenburg position capability.
(2) Bed scales.
(3) One pressure cycle respirator for each bed and one volume-cycle respirator for each four beds.
(4) Endotracheal tubes and tracheostomy sets.
(5) Patient lift.
(6) Respiratory and cardiac monitoring for each bed.
(7) Crash cart or equivalent.
(8) Spriometry equipment.
(9) Resuscitative equipment.
(10) DC defibrillator.
(11) Self-inflating bag and attached mask at each bed.
(b) An acute respiratory care unit is classified as an electrically sensitive area and shall meet the requirements of Section 70853 of these regulations.
§70409. Acute Respiratory Care Service Space.

(a) In addition to the construction requirements in Section T17-316, Title 24, California Administrative Code, the following shall be met:
(1) Beds in the acute respiratory care service shall be included in the total licensed bed capacity of the hospital.
(2) Each bed area shall contain at least 12.2 square meters (132 square feet) of floor space with no dimension less than 3.3 meters (11 feet) and with 1.2 meters (4 feet) of clearance at both sides and at the foot of the bed with a minimum of 2.4 meters (8 feet) between beds.
(3) 1.2 meters (4 feet) of floor space shall be provided around nurses' desks and utility areas.
(4) All beds shall be placed in relation to the nurses' station or work area to obtain maximum observation of the patients.
§70411. Basic Emergency Medical Service, Physician on Duty, Definition.

Basic emergency medical service, physician on duty, means the provision of emergency medical care in a specifically designated area of the hospital which is staffed and equipped at all times to provide prompt care for any patient presenting urgent medical problems.
§70413. Basic Emergency Medical Service, Physician on Duty, General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the emergency medical service to the medical staff and administration shall be defined.
(c) The emergency medical service shall be so located in the hospital as to have ready access to all necessary services.
(d) A communications system employing telephone, radiotelephone or similar means shall be in use to establish and maintain contact with the police department, rescue squads and other emergency services of the community.
(e) The emergency medical service shall have a defined emergency and mass casualty plan in concert with the parent hospital's capabilities and the capabilities of the community served.
(f) The hospital shall require continuing education of all emergency medical service personnel.
(g) Medical records shall be maintained on all patients presenting themselves for emergency medical care. These shall become part of the patient's hospital medical record. Past hospital records shall be available to the emergency medical service.
(h) An emergency room log shall be maintained and shall contain at least the following information related to the patient: name, date, time and means of arrival, age, sex, record number, nature of complaint, disposition and time of departure. The name of those dead on arrival shall be entered in the log.
(i) All medications furnished to patients through the emergency service shall be provided by a pharmacist or an individual lawfully authorized to prescribe. Such medications shall be properly labeled and all required records shall be maintained in accordance with state and federal laws.
(j) Each Basic Emergency Medical Service shall be identified to the public by an exterior sign, clearly visible from public thoroughfares. The wording of such signs shall state: BASIC EMERGENCY MEDICAL SERVICE, PHYSICIAN ON DUTY.
(k) Standardized emergency nursing procedures shall be developed by an appropriate committee of the medical staff.
(l) A list of referral services shall be available in the basic emergency service. This list shall include the name, address and telephone number of the following:
(1) Police department.
(2) Antivenin service.
(3) Burn center.
(4) Drug abuse center.
(5) Poison control information center.
(6) Suicide prevention center.
(7) Director of the State Department of Health or his designee.
(8) Local health department.
(9) Clergy.
(10) Emergency psychiatric service.
(11) Chronic dialysis service.
(12) Renal transplant center.
(13) Intensive care newborn nursery.
(14) Emergency maternity service.
(15) Radiation accident management service.
(16) Ambulance transport and rescue service.
(17) County coroner or medical examiner.
(m) The hospital shall have the following service capabilities:
(1) Intensive care service with adequate monitoring and therapeutic equipment.
(2) Laboratory service with the capability of performing blood gas analysis and electrolyte determinations.
(3) Radiological service shall be capable of providing the necessary support for the emergency service.
(4) Surgical services shall be immediately available for life-threatening situations.
(5) Postanesthesia recovery service.
(6) The hospital shall have readily available the services of a blood bank containing common types of blood and blood derivatives. Blood storage facilities shall be in or adjacent to the emergency service.
(n) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70415. Basic Emergency Medical Service, Physician on Duty, Staff.

(a) A physician trained and experienced in emergency medical services shall have overall responsibility for the service. He or his designee shall be responsible for:
(1) Implementation of established policies and procedures.
(2) Providing physician staffing for the emergency services 24 hours a day who are experienced in emergency medical care.
(3) Development of a roster of specialty physicians available for consultation at all times.
(b) All physicians, dentists and podiatrists providing services in the emergency room shall be members of the organized medical staff.
(c) A registered nurse qualified by education and/or training shall be responsible for the nursing care within the service.
(d) A registered nurse trained and experienced in emergency nursing care shall be on duty at all times.
(e) There shall be sufficient other licensed nurses and skilled personnel as required to support the services offered.
§70417. Basic Emergency Medical Service, Physician on Duty, Equipment and Supplies.

All equipment and supplies necessary for life support shall be available, including but not limited to, airway control and ventilation equipment, suction devices, cardiac monitor defibrillator, pacemaker capability, apparatus to establish central venous pressure monitoring, intravenous fluids and administration devices.
§70419. Basic Emergency Medical Service, Physician on Duty, Space.

(a) The following space provisions and designations shall be provided:
(1) Treatment room.
(2) Cast room.
(3) Nursing station.
(4) Medication room.
(5) Public toilets.
(6) Observation room.
(7) Staff support rooms including toilets, showers and lounge.
(8) Waiting room.
(9) Reception area.
(b) Observation beds in the emergency medical service shall not be counted in the total licensed bed capacity of the hospital.
§70421. Burn Center Definition.

Burn center means an intensive care unit in which there are specially trained physicians, nursing and supportive personnel and the necessary monitoring and therapeutic equipment needed to provide specialized medical and nursing care to burned patients.
§70423. Burn Center General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the burn center service to the medical staff and administration shall be defined.
(c) The burn center shall be used solely for the care of patients with burns or similar and related conditions. The center shall contain at least four (4) beds and should treat fifty (50) or more patients per year.
(d) If clinical or laboratory research projects are conducted, they shall be reviewed annually by an appropriate research committee.
(e) Data relating to admission, morbidity and mortality shall be kept and reviewed by an appropriate committee of the medical staff at least quarterly.
(f) The hospital shall have the capability to perform necessary laboratory studies including blood gas analysis and electrolyte determinations twenty-four (24) hours a day.
(g) A photograph shall be taken of all burns upon admission and upon discharge of the patient.
(h) The center shall be located to prevent through traffic.
(i) Respiratory care service and rehabilitation service shall be available to and associated with the burn center.
(j) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70425. Burn Center Staff.

(a) A physician shall have responsibility for the burn service. This physician shall be certified or eligible for certification by the American Board of Surgery or American Board of Plastic Surgery and should be a member of the American Burn Association.
(b) At least two (2) surgeons, experienced in burn therapy and certified or eligible for certification by the American Board of Surgery or the American Board of Plastic Surgery shall be responsible for the supervision and performance of burn care.
(c) Continuous in-house physician coverage shall be provided.
(d) Consultants in the specialties of medicine and surgery shall be available to the center. These specialties shall include, but not be limited to: anesthesia, dermatology, pediatrics, psychiatry, orthopedics, otolary--ngology, ophthalmology, nephrology, pulmonary medicine and pathology.
(e) A registered nurse with at least six months' nursing experience in the treatment of burn patients in a burn center, and with evidence of continuing education in burn care, shall be responsible for the nursing care and nursing management of the burn center.
(f) A registered nurse with at least three months' nursing experience in the treatment of burn patients in a burn center shall be on duty on each shift.
(g) Sufficient other nursing personnel shall be provided.
(h) Psychiatrists, physical therapists, occupational therapists and social workers shall be available on a regular basis to provide needed care and consultation.
§70427. Burn Center Equipment and Supplies.

(a) Equipment and supplies available to the burn center shall include at least:
(1) Vertically adjustable beds.
(2) Circular rotating electric beds or equivalent.
(3) A suitable patient weighing device.
(4) Ventilators.
(5) Respiratory and cardiac monitoring equipment.
(6) Cardiopulmonary resuscitation cart.
§70429. Burn Center Space.

(a) The following spaces, services and equipment shall be provided:
(1) Nurses' station as defined in Title 24, California Administrative Code, Section T17-306.
(2) Utility rooms as defined in Title 24, California Administrative Code, Section T17-308.
(3) Storage space for clean linen.
(4) Storage space for soiled linen.
(5) Air conditioning system as required in Section T17-104.
(6) A piped air/oxygen system and a piped suction system providing outlets at each bed.
(7) Window area sufficient to provide patients with an awareness of the outdoors.
(8) Cubicle curtains or other means of assuring visual privacy for each patient.
(9) A treatment room.
(10) A fully equipped operating room within the hospital.
(11) Bathing facilities for patients.
(12) Storage space for equipment and supplies.
(13) Waiting area adjacent to the center.
(b) Beds located in the burn center shall be included in the total licensed bed capacity of the hospital.
§70431. Cardiovascular Surgery Service Definition.

Cardiovascular surgery service means the performance of laboratory procedures for obtaining physiologic, pathologic and angiographic data on patients, and cardiovascular operative procedures, each supported by appropriate staff, space, equipment and supplies. It is the intent of this definition that the two aspects of this service shall not exist separately.
§70433. Cardiovascular Surgery Service General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate. These policies and procedures shall include provision for at least:
(1) Definitions of qualifications of physicians for privileges to perform cardiovascular laboratory catheterization procedures and/or surgery.
(2) Regular review of case management, both preoperatively and postoperatively.
(3) Collection, processing and retrieval of data on all patients to include at least: diagnosis, procedure performed, pathophysiologic, angiographic, morbidity and mortality data.
(4) Recommendations regarding equipment used, procedures performed and staffing patterns in the catheterization laboratory and cardiovascular surgery units.
(b) The responsibility and the accountability of the service to the medical staff and administration shall be defined.
(c) An adequate service base shall support the provision of these services. Recommended minimums are:
(1) 260 cardiac catheterizations per year.
(2) 150 cardiovascular procedures requiring extra corporeal bypass per year.
(d) The cardiovascular surgical service shall be available at all times for emergencies.
(e) Supportive diagnostic services with trained personnel shall be available and include, where appropriate, electrocardiography, vectorcardiography, exercise stress testing, cardiac pacemaker station, echocardiography, phonocardiography and pulse tracings.
(f) An intensive care service with respiratory care capabilities shall be provided by the hospital.
(g) An animal laboratory is recommended as support for the cardiovascular surgery service.
(h) A cardiac rehabilitation program should be integrated with the cardiovascular surgery service for early identification of the patient who can profit thereby.
(i) All persons operating or supervising the operation of X-ray machines shall comply with the requirements of the Radiologic Technology Regulations, Subchapter 4.5, Chapter 5, Title 17, California Administrative Code.
(j) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70435. Cardiovascular Surgery Service Staff.

(a) Cardiovascular catheterization laboratory.
(1) A physician shall have overall responsibility for the service. This physician shall be certified or eligible for certification in cardiology by either the American Board of Internal Medicine or the American Board of Pediatrics or have equivalent experience and training. He shall be responsible for:
(A) Implementing established policies and procedures.
(B) Supervision and training of all personnel, including in-service training and continuing education.
(C) Assuring proper safety, function, maintenance and calibration of all equipment.
(D) Maintaining a record of all angiographic procedures performed.
(2) A physician who is certified or eligible for certification by the American Board of Radiology with special training or experience in cardiovascular radiology shall be available to the cardiovascular surgery service staff.
(3) Two persons (registered nurses or cardiovascular technicians) shall assist during the performance of all cardiac catheterization procedures. These personnel shall be trained in the use of all instruments and equipment and shall be supervised by a physician.
(4) A biomedical engineer shall be available for consultation as required.
(5) An electronic technician shall be available where required.
(b) Cardiovascular operative service.
(1) A physician shall have overall responsibility for the service. This physician shall be certified or eligible for certification by the American Board of Thoracic Surgery or the American Board of Surgery with training and experience in cardiovascular surgery. He shall be responsible for:
(A) Implementing established policies and procedures.
(B) Training and supervising the nurses and technicians in special techniques.
(C) Training and supervising the clinical perfusionists.
(2) A minimum of three surgeons shall constitute a surgical team for the performance of all cardovascular operative procedures which require extracorporeal bypass. At least one surgeon must meet the requirements outlined in subparagraph (b) (1) above.
(3) Anesthesia for cardiovascular procedures shall be administered by a physician who is certified or eligible for certification by the American Board of Anesthesiology.
(4) A physician who is certified or eligible for certification in cardiology by the American Board of Internal Medicine should be a member of the surgical team and should assist in monitoring the patient.
(5) Clinical perfusionists shall operate the extracorporeal equipment under the immediate supervision of the cardiovascular surgeon or cardiologist.
§70437. Cardiovascular Surgery Service Equipment and Supplies.

(a) Cardiovascular catheterization laboratory equipment and supplies shall include but not be limited to:
(1) X-ray machine
(2) Image intensifier.
(3) Pulse generator.
(4) Camera.
(5) Spot film device.
(6) Videotape viewing equipment of fluoroscopic procedures.
(7) Magnetic tape recording and playback equipment.
(8) Motor driven cardiac table.
(9) Cinefluorography and radiography equipment.
(10) Monitoring and recording equipment.
(11) Pressure transducers.
(12) Equipment for determining cardiac output.
(13) Equipment for exercising patients during procedures.
(14) Equipment for determining oxygen saturation, hemoglobin, blood gas analysis and pH.
(15) Appropriate cardiac catheters and accessory equipment.
(16) Resuscitation equipment.
(b) Cardiovascular operating room equipment and supplies shall include but not be limited to:
(1) Monitoring and recording equipment for:
(A) Electrocardiograms.
(B) Pressures.
(C) Coronary blood flow.
(D) Cardiac output.
(E) Patient temperature.
(2) Blood gas analyzer.
(3) Heart-lung machine with oxygenator.
(4) Device for rapid cooling and heating of the patient.
(5) DC defibrillator.
(6) Magnetic tape recording equipment.
(7) Suction outlets, piped in air and oxygen and tanks of gas including mixtures of oxygen and carbon dioxide.
(8) All other necessary equipment and supplies as required in an operating room.
§70438. Cardiac Catheterization Laboratory Service.
Note     •     History

Cardiac catheterization laboratory service shall be organized to perform laboratory procedures for obtaining physiologic, pathologic and angiographic data on patients with cardiovascular disease.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1255 and 1255.5, Health and Safety Code.
HISTORY

1. New section filed 8-2-85 as an emergency; effective upon filing (Register 85, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-2-85.
§70438.1. Cardiac Catheterization Laboratory Service--General Requirements.
Note     •     History

The cardiac catheterization laboratory service may be approved in a general acute care hospital which does not provide cardiac surgery provided the following requirements are met:
(a) The hospital shall maintain a current written transfer agreement as specified in Section 1255 of the Health and Safety Code, which shall include all of the following:
(1) Provisions for emergency and routine transfer of patients.
(2) Provisions which specify that cardiac surgery staff and facilities shall be immediately available to the patient upon notification of an emergency.
(3) Provisions which specify that the cardiac catheterization laboratory staff shall have responsibility for arranging transportation to the receiving hospitals.
(b) Only the following diagnostic procedures shall be performed in the catheterization laboratory:
(1) Right heart catheterization and angiography.
(2) Right and left heart catheterization and angiography.
(3) Left heart catheterization and angiography.
(4) Coronary angiography.
(5) Electrophysiology studies.
(6) Myocardial biopsy.
(c) The hospital shall comply with all of the requirements of Sections 70433(a), (b), (c)(1), (e), (i), (j), 70435a) and 70437(a).
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1255 and 1255.5, Health and Safety Code.
HISTORY

1. New section filed 8-2-85 as an emergency; effective upon filing (Register 85, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-2-85.
2. Certificate of Compliance including amendment transmitted to OAL 11-22-85 and filed 12-12-85 (Register 85, No. 50).
§70439. Cardiovascular Surgery Service Space.

(a) Catheterization laboratory space shall include:
(1) A minimum floor area of 40 square meters (450 square feet) for the procedure room.
(2) A minimum floor area of 9 square meters (100 square feet) for each of the following:
(A) Control, monitoring and recording equipment.
(B) X-ray power and controls.
(C) Work room.
(D) Dressing rooms for doctors and nurses.
(b) Cardiovascular surgery space shall include:
(1) Operating rooms that comfortably accommodate 12 persons and all necessary equipment with a minimum floor area of 60 square meters (650 square feet).
(2) Work room.
(3) Pump work room.
(4) Adequate storeroom.
§70441. Chronic Dialysis Service Definition.

Chronic dialysis service means a specialized unit of a hospital for the treatment of patients with end-stage renal disease who manifest the accumulation of excessive nitrogenous waste products. The scope of services includes hemodialysis per se and may include peritoneal dialysis or other means for removing toxic or excessive waste products from the blood. The service includes supervision of patients undergoing home dialysis.
§70443. Chronic Dialysis Service General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and the administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the chronic dialysis service to the medical staff and administration shall be defined.
(c) The hospital shall:
(1) Have two or more dialysis stations. A minimum of five dialysis sessions per week should be performed at each station.
(2) Work in cooperation with other facilities providing care for patients with end-stage renal disease.
(3) Make chronic dialysis services available to patients with end-stage renal disease referred from other facilities which do not provide chronic dialysis serviced.
(4) Participate in the development and use of a registry of prospective recipient patients.
(5) Participate in kidney procurement, preservation and transport program.
(6) Review all patients with end-state renal disease to determine the appropriateness of their treatment modality, including self-dialysis, home dialysis and renal transplantation and cooperate with other facilities for the timely transfer of medical data.
(d) The hospital shall provide directly:
(1) Respiratory therapy.
(2) Twenty-four hour laboratory capability of performing, as a minimum, the following determinations: C.B.C., B.U.N., creatinine, platelet count, blood typing and cross matching, blood gas analysis, blood pH, serum glucose, electrolytes, coagulation tests, spinal fluid examination and urinalysis.
(3) Chronic dialysis on an outpatient basis.
(4) Angiography.
(e) The hospital shall provide directly or by arrangement:
(1) Immunofluorescence studies.
(2) Electron microscopy
(3) Microbiological studies for rickettsiae, fungi, bacteria and viruses.
(4) Tissue culture.
(5) Outpatient services.
(6) Self-dialysis training program.
(7) Home-dialysis training program.
(8) Transplantation evaluation of patients with end-stage renal disease.
(9) Renal transplantation.
(10) Nuclear medicine service.
(f) There shall be a separate designated area as needed for patients undergoing chronic dialysis who are known to be hepatitis B surface antigen positive.
(g) The particular requirements for patients on chronic dialysis shall be accommodated in the disaster and fire plans of the hospital,
(h) There shall be inservice training and continuing education for all medi-cal, nursing and other personnel.
(i) There shall be a written hepatitis control program.
(j) Periodically, a committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsections (f) and (i) filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Amendment of subsections (f) and (i) refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order including nonsubstantive change of subsections (f) and (i) transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70445. Chronic Dialysis Service Staff.

(a) A physician shall have overall responsibility for the service. This physician shall be certified or eligible for certification by the American Board of Internal Medicine or the American Board of Pediatrics and shall have a minimum of one year's training or experience in the care of patients with end-stage renal disease.
(b) Surgeons performing the vascular access procedures shall be certified or eligible for certification by the American Board of Surgery and shall have a minimum of one year's training or experience in vascular surgery.
(c) Children being treated for end-stage renal disease shall be under the care of a physician who is certified or eligible for certification by the American Board of Pediatrics.
(d) Where appropriate, the hospital shall provide timely evaluation and consultation by the following specialists:
(1) Physicians certified or eligible for certification in cardiology, endocrinology, infectious disease or hematology by the American Board of Internal Medicine.
(2) A physician certified or eligible for certification in neurology by the American Board of Psychiatry and Neurology.
(3) A physician certified or eligible for certification in psychiatry by the American Board of Psychiatry and Neurology.
(4) A physician certified or eligible for certification in orthopaedic surgery by the American Board of Orthopaedic Surgery.
(5) A physician certified or eligible for certification by the American Board of Pathology.
(6) A physician certified or eligible for certification by the American Board of Urology.
(e) There shall be a registered nurse responsible for the nursing service who has had at least 12 months' general nursing experience or six months' experience in the care of patients with end-stage renal disease.
(f) There shall be sufficient other licensed nurses and skilled personnel to provide the required patient care.
(g) A dietitian shall provide diet management and counseling to meet the needs of patients with end-stage renal disease.
(h) A social worker shall provide social service and counseling to meet the needs of patients with end-stage renal disease.
§70447. Chronic Dialysis Service Equipment and Supplies.

(a) Equipment and supplies shall include at least:
(1) A dialysis machine or equivalent (with appropriate monitoring equipment) for each bed or station.
(2) Dialysis equipment appropriate for pediatric patients, if treated.
§70449. Chronic Dialysis Service Space.
Note     •     History

(a) There shall be a minimum of 10 square meters (110 square feet) of floorspace per bed or station.
(b) The following areas shall be provided and maintained:
(1) Patient waiting area.
(2) Conference room.
(3) Nurses' station.
(4) Segregated area for home dialysis training, if provided.
(5) Machine storage room.
(6) Supplies storage room.
(7) Utility room.
(c) Beds in the chronic dialysis service, unless used for stay of over 24 hours, shall not be included in the total licensed bed capacity of the hospital.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Amendment of subsection (b) refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70451. Comprehensive Emergency Medical Service Definition.

Comprehensive Emergency medical service means the provision of diagnostic and therapeutic services for unforeseen physical and mental disorders which, if not promptly treated, would lead to marked suffering, disability or death. The scope of services is comprehensive with in--house capabilities for managing all medical situations on a definitive and continuing basis.
§70453. Comprehensive Emergency Medical Service General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the emergency medical service to the medical staff and administration shall be defined.
(c) The emergency medical service shall be so located in the hospital as to have ready access to all necessary services.
(d) A communications system employing telephone, radiotelephone or similar means shall be in use to establish and maintain contact with the police department, rescue squads and other emergency services of the community.
(e) The emergency medical service shall have a defined emergency and mass casualty plan in concert with the hospital's capabilities and the capabilities of the community served.
(f) The hospital shall require continuing education of all emergency medical service personnel.
(g) Medical records shall be maintained on all patients presenting themselves for emergency medical care. These shall become part of the patient's hospital medical record. Past hospital records shall be available to the emergency medical service.
(h) An emergency room log shall be maintained and shall contain at least the following information relating to the patient: name, date, time and means of arrival, age, sex, record number, nature of complaint, disposition and time of departure. The name of those dead on arrival shall also be entered in the log.
(i) All medications furnished to patients through the emergency service shall be provided by a pharmacist or an individual lawfully authorized to prescribe. Such medications shall be properly labeled and all required records shall be maintained in accordance with state and federal laws.
(j) Each comprehensive emergency medical service shall be identified to the public by an exterior sign, clearly visible from public thoroughfares. The wording of such signs shall state: COMPREHENSIVE EMERGENCY MEDICAL SERVICE PHYSICIAN ON DUTY.
(k) Standardized emergency nursing procedures shall be developed by an appropriate committee of the medical staff.
(l) A list of referral services shall be available in the emergency center. This list shall include the name, address and telephone number of the following:
(1) Police department.
(2) Antivenin service.
(3) Drug abuse center.
(4) Poison control information center.
(5) Suicide prevention center.
(6) Director of State Department of Health or his designee.
(7) Local health department.
(8) Clergy.
(9) County coroner or medical examiner.
(m) The hospital shall have the following additional services which shall be continuously staffed in a manner that permits the performance of all required functions:
(1) Chronic dialysis service.
(2) Burn center.
(3) Respiratory care service.
(4) Intensive care newborn nursery.
(5) Coronary care service.
(6) Intensive care service.
(7) Pediatric service.
(8) Psychiatric unit.
(9) Cardiovascular surgery service.
(10) Postanesthesia recovery unit.
(n) The radiological service shall have the capability of performing contrast studies including angiography in addition to its usual capabilities.
(o) The clinical laboratory shall be capable of performing blood gas analysis, pH, serum electrolytes and other procedures appropriate for emergency medical care.
(p) Surgical services shall be immediately available for life-threatening situations.
(q) The hospital shall have readily available the service of a blood bank containing common types of blood and blood derivatives. Blood storage facilities shall be in or adjacent to the emergency service.
(r) There shall be affiliation of the emergency medical service with a medical school.
(s) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70455. Comprehensive Emergency Medical Service Staff.
Note     •     History

(a) A full-time physician trained and experienced in emergency medical service shall have overall responsibility for the service. The physician or her or his designee shall be responsible for:
(1) Implementation of established policies and procedures.
(2) Providing continuous staffing with physicians trained and experienced in emergency medical service. Such physicians shall be assigned to and be located in the emergency service area 24 hours a day.
(3) Providing experienced physicians in specialty categories to be available in-house 24 hours a day. Such specialities include but are not limited to medicine, surgery, anesthesiology, orthopedics, neurosurgery, pediatrics and obstetrics-gynecology.
(A) The most senior resident in any of the specialities may be considered an experienced physician.
(4) Maintenance of a roster of specialty physicians immediately available for consultation and/or assistance.
(5) Assurance of continuing education for all emergency service staff including physicians, nurses and other personnel.
(b) All physicians, dentists and podiatrists providing services in the emergency room shall be members of the organized medical staff.
(c) A registered nurse qualified by education and/or training shall be responsible for nursing care within the service.
(d) All registered nurses shall have training and experience in emergency lifesaving and life support procedures.
(e) A registered nurse trained and experienced in emergency nursing care shall be on duty at all times. 
(f) There shall be sufficient licensed nurses and other skilled personnel on duty as required to support the services.
NOTE

Authority cited: Sections 1252, 1255(c), 1275, 1276.4 and 100275(a), Health and Safety Code. Reference: Section 1250(a), Health and Safety Code.
HISTORY

1. Amendment of subsection (a), new subsection (e), subsection relettering and new Note filed 9-26-2003; operative 1-1-2004 (Register 2003, No. 39).
§70457. Comprehensive Emergency Medical Service Equipment and Supplies.

All equipment and supplies necessary for life support shall be available, including but not limited to: airway control and ventilation equipment, suction devices, cardiac monitor, defibrillators, pacemaker capability, apparatus to establish central nervous system monitoring and administration devices.
§70459. Comprehensive Emergency Medical Service Space.

(a) The following space provisions and designations shall be provided:
(1) Treatment rooms.
(2) Cast rooms.
(3) Operating room fully equipped.
(4) Intensive care in or adjoining the emergency medical service area.
(5) Nursing station.
(6) Medication room.
(7) Clean and dirty utility room.
(8) X-ray spaces.
(9) Laboratory facilities.
(10) Staff support rooms including toilets, showers, lounge and sleeping area.
(11) Public toilets.
(12) Observation room.
(13) Police and press room.
(14) Waiting room.
(15) Reception area.
(b) Observation beds in the emergency medical service shall not be counted in the total licensed bed capacity of the hospital.
§70461. Coronary Care Service Definition.

Coronary care service means an intensive care unit in which there are specially trained nursing and supportive personnel with necessary diagnostic, monitoring and therapeutic equipment needed to provide specialized medical and nursing care to patients suspected of or having significant coronary artery disease, heart failure or dysrhythmia.
§70463. Coronary Care Service General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate. The policies and procedures shall include but not be limited to:
(1) Admission, transfer and discharge policies.
(2) Staffing requirements.
(3) Routine procedures.
(4) Emergency procedures.
(b) The responsibility and the accountability of the coronary care service to the medical staff and administration shall be defined.
(c) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Repealer of subsection (a)(5) filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or subsection (a)(5) will be reinstated its it existed prior to the emergency on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL, on 11-13-89 (Register 89, No. 46).
3. Repealer of subsection (a)(5) refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70465. Coronary Care Service Staff.

(a) A physician shall have overall responsibility for the service. This physician shall be certified or eligible for certification in cardiovascular disease by the American Board of Internal Medicine. If such a cardiologist is not available, a physician certified or eligible for certification in internal medicine by the American Board of Internal Medicine, with training and experience in cardiovascular disease, may administer the service. In this circumstance, a cardiologist, qualified as above, shall provide consultation at such frequency as to assure high quality service. The physician in charge shall be responsible for:
(1) Implementation of established policies and procedures.
(2) Development of a system for assuring physician coverage.
(3) Conducting education programs in coronary care for physicians.
(4) Assuring there is a continuing education program for nursing personnel in coronary care.
(5) Final decision regarding admissions to and discharges from unit.
(b) A registered nurse with training and experience in coronary care nursing shall be responsible for the nursing care and nursing management of the service.
(c) All licensed nurses shall have had training and experience in coronary care nursing.
(d) There shall be not less than two nursing personnel physically present in the coronary care unit when a patient is present. At least one of the nursing personnel shall be a registered nurse.
(e) The licensed nurse:patient ratio shall be 1:2 or fewer at all times. Licensed vocational nurses may constitute up to 50 percent of the licensed nurses.
§70467. Coronary Care Service Equipment and Supplies.

The equipment and supplies required in Section 70497 for intensive care units shall be provided.
§70469. Coronary Care Service Space.

The space requirements in Section 70499 for intensive care units shall be provided.
§70471. Dental Service Definition.

Dental services means the provision of diagnostic, preventive or corrective procedures performed by dentists with appropriate staff, space, equipment and supplies.
§70473. Dental Service General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the dental service to the medical staff and administration shall be defined.
(c) A physician member of the medical staff shall be responsible for the care of any medical problem arising during the hospitalization of dental patients.
(d) There shall be a well-defined plan for oral health care, based on patient need, the size of the hospital and the type of service provided.
(e) There shall be a well-organized plan for emergency dental care.
(f) There shall be a record of all dental services provided to the patient and this shall be made a part of the patient's medical record.
(g) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70475. Dental Service Staff.

(a) A dentist shall have overall responsibility for the dental service.
(b) The dental service shall be staffed by a sufficient number of dentist members of the medical staff along with auxiliary personnel to render proper dental care.
(c) If dental hygienists, dental assistants or dental laboratory technicians are employed, they shall work under the supervision of the director of the dental service.
§70477. Dental Service Equipment and Supplies.

(a) There shall be sufficient equipment, instruments and supplies maintained to meet the needs of the services offered.
(b) There shall be equipment for sterilization of instruments and supplies.
(c) The following materials shall be available for immediate use wherever dental treatment is provided:
(1) Oxygen.
(2) Appropriate drugs.
(3) Resuscitation equipment.
(d) The hospital library shall contain an adequate selection of dental texts, periodicals and the “Index to Dental Literature.”
(e) Radiographic equipment shall meet the requirements of Chapter 5, Part 1, Title 17, California Administrative Code.
§70479. Dental Service Space.

(a) There shall be adequate space maintained for the dental service.
(b) There shall be facilities for dental radiography.
§70481. Intensive Care Newborn Nursery Service Definition.

An intensive care newborn nursery service means the provision of comprehensive and intensive care for all contingencies of the newborn infant. Infant transport services are an indispensable part of an intensive care newborn nursery service.
§70483. Intensive Care Newborn Nursery Service General Requirements.
Note     •     History

(a) An intensive care newborn nursery service shall provide:
(1) Comprehensive care for all life-threatening or disability-producing situations.
(2) Consultation service to referring perinatal units.
(3) Infant transport services between perinatal units and the intensive care newborn nursery.
(4) A transport team consisting of at least a physician and registered nurse or respiratory therapist.
(5) Continuing education for staff of the intensive care newborn nursery as well as referring perinatal units.
(6) Review an evaluation of service programs of perinatal units.
(b) There shall be written policies and procedures developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Procedures shall be approved by the medical staff and administration where such is appropriate. Such policies and procedures shall include but not be limited to:
(1) Relationships to other services in the hospital.
(2) Admission to the intensive care newborn nursery.
(3) Consultation to perinatal units.
(4) Infection control and relationship to the hospital infection committee.
(5) Transfer of infants to and from perinatal units.
(6) Provision for family-centered infant care by parent or surrogate.
(7) Prevention and treatment of neonatal hemorrhagic disease.
(8) Visiting privileges.
(9) Resuscitation of the newborn.
(10) Administering and monitoring of oxygen and respiratory therapy.
(11) Transfusion.
(12) PKU screening
(13) Rhesus (Rh) hemolytic disease identification, reporting and prevention.
(14) Management of hyperbilirubinemia.
(15) Discharge and continuity of care with referral to community supportive services.
(16) Pediatric-pathologic-radiologic conferences.
(17) Routine and special care of the infant.
(18) Handwashing technique.
(19) Individual bassinet technique.
(20) Gavage feedings.
(21) Intravenous therapy.
(22) Formula preparation and storage.
(23) Respiratory care procedures.
(c) The responsibility and the accountability of the intensive care newborn nursery service to the medical staff and administration shall be defined.
(d) The hospital laboratory shall have the capability of performing blood gas analyses, pH and microtechniques.
(e) Infants with diarrhea of the newborn as defined in section 2564, Title 17, California Code of Regulations, or who have draining lesions shall be isolated.
(f) Infants suspected of having airborne infections shall be separated from other infants in the nursery.
(g) All infections shall be reported to the hospital infection control committee promptly.
(h) Social services shall be available.
(i) There shall be discharge planning and provisions for follow-up care.
(j) Oxygen shall be administered to newborn infants only on the written order of a physician. The order shall include the concentration (volume percent) or desired arterial partial pressure of oxygen and be reviewed, modified or discontinued after 24 hours.
(k) The intensive care newborn nursery is considered an electrically sensitive area and shall meet the requirements of section 70853 of these regulations.
(l) An air-conditioned transport vehicle shall be provided which has an intercommunication system between the driver and the transport team and radio communication between the transport team and the intensive care newborn nursery.
(m) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Amendment refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated is it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70485. Intensive Care Newborn Nursery Service Staff.

(a) A physician shall have overall responsibility for the service. The physician shall be certified or eligible for certification by the American Board of Pediatrics and have additional training and experience in neontology.
(1) The pediatrician shall be responsible for:
(A) Providing in-hospital pediatric service.
(B) Maintaining working relationships with referring perinatal units.
(C) Providing for joint staff conferences and continuing education of respective medical specialties.
(D) Providing transport team availability at all times.
(2) A physician who is certified or eligible for certification by the American Board of Anesthesiology shall be available to the service.
(3) A surgeon experienced in neonatal surgery and a pediatric cardiologist shall be available to the service.
(b) A registered nurse who has had training and experience in intensive care of the newborn shall be responsible for the nursing care in the intensive care newborn nursery.
(c) A registered nurse trained in intensive care of the newborn shall be on duty on each shift.
(d) A ratio of one registered nurse to two or fewer intensive care infants shall be maintained.
(e) There shall be evidence of continuing education and training programs for the nursing staff in intensive care newborn nursing.
(f) A registered nurse trained in intensive care of the newborn shall be available to serve on the transport team.
(g) A respiratory therapist trained in the respiratory care of the newborn shall be available to the service.
§70487. Intensive Care Newborn Nursery Service Equipment and Supplies.

(a) The intensive care newborn nursery shall include at least the following:
(1) A separate bassinet or equivalent for each infant.
(2) Enclosed storage unit for clean supplies.
(3) Diaper receptacles with a cover, foot control and disposable liner.
(4) A hamper with a disposable liner for soiled linen.
(5) A wall thermometer and hygrometer.
(6) Accurate beam scales or the equivalent.
(7) Thermostatically controlled incubators or radiant heating devices to maintain proper ambient temperature.
(8) Two oxygen and one compressed air outlets per infant station with regulating devices and administration equipment.
(9) Resuscitation equipment and supplies to include at least:
(A) Glass trap suction device with catheter or a device which serves this function.
(B) Pharyngeal airways, assorted sizes.
(C) Laryngoscope, including a blade for premature infants.
(D) Endotracheal catheters, assorted sizes with malleable stylets.
(E) Arterial catheters, assorted sizes.
(F) Ventilatory assistance bag and infant mask.
(G) Bulb syringe.
(H) Stethoscope.
(I)  Syringes, needles and appropriate drugs.
(10) Suction equipment.
(11) DC defibrillator (within the hospital).
(12) Cardiac monitor.
(13) Blanket warmer.
(14) Blood gas analyzer (within the hospital).
(15) Umbilical blood vessel catheterization tray.
(16) Portable incubator with power pack to provide continuous temperature control and monitoring.
(17) Ventilatory equipment designed for the care of newborn infants.
(18) Ten or more electrical outlets for each infant bed equivalent.
(19) One handwashing sink with controls not requiring direct contact of the hand for operation (wrist or elbow blade handle are not acceptable) for each four bassinets.
(b) Infant transport equipment shall include at least the following:
(1) Infant transport incubator with self-contained power supply to maintain a neutral thermal environment.
(2) Oxygen supply with fail-safe monitor humidifier.
(3) Oxygen analyzer.
(4) Compressed air supply.
(5) Temperature monitoring equipment.
(6) Cardiopulmonary monitoring equipment.
(7) Suction device.
(8) Infusion pump.
(9) Resuscitation equipment and supplies.
(10) Intravenous fluids and supplies.
§70489. Intensive Care Newborn Nursery Service Space.

(a) Sufficient floor area shall be provided so that there is at least 7.2 square meters (80 square feet) per bassinet.
(b) A work room or control station shall be maintained which shall provide for handwashing, gowning and charting.
(c) There shall be 100 foot candles of light at each bassinet.
(d) A waiting room shall be maintained adjacent to the intensive care newborn nursery.
(e) A treatment area with temperature control.
(f) Bassinets in the intensive care newborn nursery shall be included in the total licensed bed capacity of the hospital.
§70491. Intensive Care Service Definition.

An intensive care service is a nursing unit in which there are specially trained nursing and supportive personnel and diagnostic, monitoring and therapeutic equipment necessary to provide specialized medical and nursing care to critically ill patients.
§70493. Intensive Care Service General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate. Policies and procedures shall include, but not be limited to:
(1) Admission, discharge and transfer policies.
(2) Staffing requirements.
(3) Routine procedures.
(4) Emergency procedures.
(b) The responsibility and the accountability of the intensive care service to the medical staff and administration shall be defined.
(c) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
(d) Intensive care units are classified as electrically sensitive areas and shall meet the requirements of section 70853 of these regulations.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Repealer of subsection (a)(5) filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or subsection (a)(5) will be reinstated is it existed prior to the emergency on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Repealer of subsection (a)(5) refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70495. Intensive Care Service Staff.

(a) A physician with training in critical care medicine shall have overall responsibility for the intensive care service. This physician or his designated alternate shall be responsible for:
(1) Implementation of established policies and procedures.
(2) Development of a system for assuring physician coverage.
(3) Final decision regarding admissions to and discharges from the unit.
(4) Assuring there is continuing education for the medical staff and nursing personnel.
(b) A registered nurse with training and experience in intensive care nursing shall be responsible for the nursing care and nursing management of the intensive care unit when a patient is present.
(c) All licensed nurses shall have training and experience in intensive care nursing.
(d) There shall be not less than two nursing personnel physically present in the intensive care unit when a patient is present. At least one of the nursing personnel shall be a registered nurse.
(e) The nurse:patient ratio shall be 1:2 or fewer at all times. Licensed vocational nurses may constitute up to 50 percent of the licensed nurses.
(f) An inhalation therapist, physical therapist and other supportive service staff shall be available depending upon the requirements of the service.
§70497. Intensive Care Service Equipment and Supplies.

(a) In addition to the construction requirements of Section T17-316, Title 24, California Administrative Code, the following requirements shall be met:
(1) Individual bed area lighting which is controlled by a dimmer in the patient care unit shall be provided. Special lights should be provided for patient examinations.
(2) Isolated power systems, if installed, shall be provided with a continuously operating line isolation monitor to warn of possible leakage or faulty current. The monitor shall contain a red signal lamp and audible warning signal activated when total current reaches a value of two (2) milliamperes. All other receptacles shall be located at least 2.4 meters (8 feet) away.
(3) A minimum of four (4) duplex or eight (8) single receptacles shall be provided at the head of each bed and served by at least two separate circuits used for no other purpose.
(b) General equipment shall include but not be limited to:
(1) Electrocardiographic oscilloscopic monitor with writer at each bed. If a central nurses' station is equipped with a writer, a writer is not required at each bedside.
(2) DC defibrillator.
(3) Positive pressure breathing apparatus.
(4) Oxygen mask with accessory equipment.
(5) Transvenous cardiac pacemaker.
(6) Emergency cart containing drugs and emergency supplies.
(7) Sterile trays for parenteral therapy.
(8) Tracheostomy tray.
(9) Thoracentesis tray.
(10) Venesection tray.
(11) Irrigation equipment.
(12) Intravenous fluids and plasma expanders or plasma.
(13) Refrigerated storage for drugs and biologicals.
(14) Laryngoscope and cuffed endotracheal tubes.
(15) Equipment for blood gas analysis, immediately available.
(c) Other equipment that is to be provided at each bed unless otherwise indicated:
(1) Devices for holding intravenous solutions.
(2) Wall clock with sweep second hand visible to each patient.
(3) Wall-mounted interval clock with sweep second hand which may be activated at time of cardiac arrest.
(4) A sphygmomanometer.
(5) Two oxygen outlets or a single outlet with a “Y” connection with sufficient oxygen delivery capability.
(6) One air outlet.
(7) Two piped suction inlets or a single inlet with a “Y” connection with sufficient suction capability.
(d) An intercommunication system shall be provided which includes the following:
(1) A call outlet at each bed which communicates to the nurses' control desk.
(2) An intercommunication system connected to the nearest continuously staffed nurses' station, which will enable the nurse or physician to contact the nearby unit without leaving the intensive care unit.
(3) An alarm system or other method for summoning physicians or cardiac arrest teams.
§70499. Intensive Care Service Space.

(a) In addition to the construction requirements in Section T17-316, Title 24, the following requirement shall be met:
(1) An intensive care unit shall consist of not less than four (4) nor more than twelve (12) patient beds, including at least one isolation room. Multiple, interconnected units may be approved by the Department.
(2) Beds in the intensive care unit shall be included in the total licensed bed capacity.
(3) Each patient bed area shall contain at least 11.9 square meters (132 square feet) with no dimension less than 3.3 meters (11 feet) and with 1.2 meters (4 feet) of clearance at each side and the foot of the bed and with a minimum 2.4 meters (8 feet) between beds.
(4) 1.2 meters (4 feet) shall be provided around the nurses' desk.
(5) All beds shall be placed in relation to the nurses' station or work area to obtain maximum observation of patients.
(6) A visitor's waiting area nearby to the unit shall be provided.
§70501. Intermediate Care Service Definition.

Intermediate care service means the provision of inpatient care to patients who have need for skilled nursing supervision and supportive care but who do not require continuous skilled nursing care.
§70503. Intermediate Care Service General Requirements.

(a) The regulations for Intermediate Care Facilities, Chapter 4, Division 5, Title 22, California Administrative Code, shall be met with the following exceptions:
(1) The administrator of the hospital does not need to possess a license as a nursing home administrator and his services may be shared between the hospital and the intermediate care service.
(2) The functions of the director of nurses may be shared between the hospital and the intermediate care service. The registered nurse requirement, referred to as the director of the nursing service in Section 73323 of the regulations for Intermediate Care Facilities, shall be met.
(b) There shall be written policies and procedures relating to the transfer of patients between the hospital and intermediate care service that are approved by the medical staff.
(c) The intermediate care services shall be provided in a distinct part.
§70505. Nuclear Medicine Service Definition.

Nuclear medicine service means those measures using internal radionuclides for the diagnosis and treatment of patients, employing specially trained personnel and providing appropriate space, equipment and supplies.
§70507. Nuclear Medicine General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the nuclear medicine service to the medical staff and administration shall be defined.
(c) The storage, use and disposal of radionuclides shall meet the safety standards of California Radiation Control Regulations, Subchapter 4, Chapter 5, Title 17, California Administrative Code.
(d) Nuclear medicine patients shall be subject to periodic followup on completion of their treatment in coordination with the referring physician.
(e) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make recommendations to the executive committee of the medical staff and administration.
§70509. Nuclear Medicine Service Staff.

(a) A physician shall have overall responsibility for the service. This physician shall be certified or eligible for certification by the appropriate specialty board, as follows: the conjoint American Board of Nuclear Medicine or one of its parent boards: American Board of Radiology, American Board of Pathology or American Board of Internal Medicine.
(b) Where appropriate, technologists with training and experience in handling radionuclides in either of the three disciplines of radiology, nuclear medicine or pathology shall be employed in sufficient number to accomplish the mission of the service.
(c) A radiological physicist should be available to the nuclear medicine service.
§70511. Nuclear Medicine Equipment and Supplies.

Equipment and supplies shall be sufficient to meet the needs of the patients and the scope of services offered.
§70513. Nuclear Medicine Space.

The space required will be dependent upon services offered. Where radiotherapy is provided from a radionuclide source, construction requirements shall meet the standards of Subchapter 4, Chapter 5, Title 17, California Administrative Code and Part 6, Division T17, Part 6, Subchapter 4, Chapter 5, Title 24, California Administrative Code.
§70515. Occupational Therapy Service Definition.

(a) Occupational therapy services means those services provided to a patient by or under the supervision of an occupational therapist with appropriate staff, space, equipment and supplies. These services are used to restore the functional capacity of those individuals whose abilities to cope with tasks of daily living are threatened or impaired by developmental deficits, the aging process, physical illness or injury or psychosocial disabilities. Occupational therapy services include but are not limited to:
(1) Providing the physician with an initial evaluation of the patient's level of function by diagnostic and prognostic testing.
(2) Intervention in acute stages of illness or injury to minimize or prevent disfunction.
(3) Use of professionally selected self-care skills, daily living tasks and tests and therapeutic exercises to improve function.
(4) Training in the performance of tasks modified to the patient's level of physical and emotional tolerance.
(5) Provision of preventive and corrective equipment to promote function and to prevent deformity.
(6) Reevaluating the patient as changes occur and modifying treatment goals consistent with these changes.
(7) Psychological conditioning of the patient to prepare him for reentry and integration into his community.
(8) Use of tests to determine patient's ability in areas of concentration, attention, thought organization, preception and problem solving.
(9) Prevocational evaluation through the use of specific tasks to determine the patient's potential for vocational performance.
§70517. Occupational Therapy Service General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the occupational therapy service to the medical staff and administration shall be defined.
(c) Occupational therapy shall be given only on the signed order of a person lawfully authorized to give such an order.
(d) Patients shall be evaluated by the occupational therapist and a treatment program shall be established to include the modalities, the frequency and duration of treatments. This program and any modifications shall be approved in writing by the referring physician.
(e) Signed notes shall be entered into the record each time occupational therapy service has been performed.
(f) Progress notes shall be written and signed at least weekly by the occupational therapist and summarized upon completion of the treatment program.
(g) Occupational therapy staff shall be involved in orientation and in-service training of hospital employees.
(h) There shall be staff representation at the multidisciplinary conferences in order to plan and review patient treatment.
(i) Procedures shall be established for outpatient treatment, home visits and referrals to appropriate community agencies.
(j) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70519. Occupational Therapy Service Staff.

(a) An occupational therapist shall have overall responsibility for the service.
(b) The occupational therapy director shall be responsible for the coordination of activity therapies which may include but not be limited to recreation, dance, art, music, poetry and drama.
(c) There shall be sufficient staff to meet the needs of the patients and scope of the services offered. The staff shall consist of occupational therapist(s) and may additionally consist of occupational therapy assistants, occupational therapy aides and other supportive personnel.
(d) The occupational therapist shall supervise treatment rendered by aides and occupational therapy assistants. When occupational therapy aides are providing treatment, an occupational therapist shall provide direct supervision of the treatment rendered.
§70521. Occupational Therapy Service Equipment and Supplies.

(a) There shall be sufficient equipment and supplies appropriate to the needs of the services offered. In addition there shall be:
(1) A telephone.
(2) A handwashing sink in the treatment area.
(3) Equipment made accessible to patients in wheelchairs, on crutches, or when using other adaptive equipment. This shall include but not be limited to:
(A) Adequate width of door openings.
(B) Toilets with grab bars on both sides of the commode.
(C) Over-sink mirrors.
(D) Drinking fountains.
(E) Adjustable tables.
§70523. Occupational Therapy Service Space.

(a) Adequate space shall be maintained for the equipment and supplies necessary to provide occupational therapy service. The minimum floor area for occupational therapy service shall be 28 square meters (300 square feet), no dimension of which shall be less than 4 meters (12 feet).
(b) Office space, separate from the treatment area, shall be provided.
(c) There shall be adequate ventilation and lighting, and sufficient power outlets, both 110 V and 220 V, for equipment.
(d) Floor finishes shall be of a nonslip variety to minimize hazard.
(e) Architectural barriers, as defined by the American National Standards, A117.1, 1961 (reaffirmed 1971), including thresholds and stairways shall be provided with alternate means of access such as ramps.
(f) Suitable waiting space shall be provided.
§70525. Outpatient Service Definition.

Outpatient service means the rendering of nonemergency health care services to patients who remain in the hospital less than 24 hours with the appropriate staff, space, equipment and supplies.
§70527. Outpatient Service General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the outpatient service to the medical staff and administration shall be defined.
(c) If outpatient surgery is performed, the written policies and procedures shall make provision for at least the following:
(1) The types of operative procedures that may be performed.
(2) Types of anesthesia that may be used.
(3) Preoperative evaluation of the patient, meeting the same standards as apply to inpatient surgery.
(4) Informed operative consent.
(5) The delivery of all anatomical parts, tissues and foreign objects removed to a pathologist designated by the hospital and a report of findings to be filed in the patient's medical record.
(6) Written preoperative instructions to patients covering:
(A) Applicable restrictions upon food and drugs before surgery.
(B) Any special preparations to be made by the patient.
(C) Any postoperative requirements.
(D) An understanding that admission to the hospital may be required in the event of an unforeseen circumstance.
(7) Examination of each patient by a licensed practitioner whose scope of licensure permits prior to discharge.
(d) A medical record shall be maintained for each patient receiving care in the outpatient service. The completed medical record shall include the following, if applicable:
(1) Identification sheet to include but not be limited to the following patient information:
(A) Name.
(B) Address.
(C) Identification number (if applicable).
1. Hospital number.
2. Social Security.
3. Medicare.
4. Medi-Cal.
(D) Age.
(E) Sex.
(F) Marital status.
(G) Religious preference.
(H) Date and time of arrival.
(I) Date and time of departure.
(J) Name, address and telephone number of person or agency responsible for the patient.
(K) Initial diagnostic impression.
(L) Discharge or final diagnosis.
(2) Medical history including:
(A) Immunization record.
(B) Screening tests.
(C) Allergy record.
(D) Nutritional evaluation.
(E) Neonatal history for pediatric patients.
(3) Physical examination report.
(4) Consultation reports.
(5) Clinical notes including dates and time of visits.
(6) Treatment and instructions, including:
(A) Notations of prescriptions written.
(B) Diet instructions, if applicable.
(C) Self-care instructions.
(7) Reports of all laboratory tests performed.
(8) Reports of all X-ray examinations performed.
(9) Written record of preoperative and postoperative instructions.
(10) Operative report on outpatient surgery including preoperative and postoperative diagnosis, description of findings, techniques used and tissue removed or altered, if appropriate.
(11) Anesthesia record including preoperative diagnosis, if anesthesia is administered.
(12) Pathology report, if tissue or body fluid was removed.
(13) Clinical data from other providers.
(14) Referral information from other agencies.
(15) All consent forms.
(e) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275, Health and Safety Code; and Section 2725, Business and Professions Code.
HISTORY

1. Amendment of subsection (c)(7) and adoption of Note filed 4-15-93; operative 5-17-93 (Register 93, No. 16).
§70529. Outpatient Service Staff.
Note     •     History

(a) The outpatient service shall have a person designated to direct and coordinate the service.
(b) All physicians, dentists and podiatrists providing services in the outpatient unit shall be members of the organized medical staff. All other health care professionals providing services in outpatient settings shall meet the same qualifications as those professionals providing services in inpatient services.
(c) A registered nurse shall be responsible for the nursing service in the outpatient service.
(d) There shall be sufficient nursing and other personnel to provide the scope of services offered.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) and adoption of Note filed 4-15-93; operative 5-17-93 (Register 93, No. 16).
§70531. Outpatient Service Equipment and Supplies.

There shall be sufficient and appropriate equipment and supplies related to the scope and nature of the anticipated needs and services.
§70533. Outpatient Service Space.

(a) The number of examination and treatment rooms shall be adequate in relation to the volume and nature of work performed.
(b) Waiting areas shall be readily accessible to patients and personnel. Rest rooms, drinking fountain and a public telephone shall be provided.
(c) Laboratory, radiology and pharmacy services shall be readily available to the outpatient service.
(d) If outpatient surgery is performed in the outpatient service area, the basic facilities shall include:
(1) Appropriately equipped and staffed operating room and postanesthesia recovery area.
(2) Appropriate means of control against the hazards of infection, electrical or mechanical failure, fire and explosion.
(3) Provision for sterilizing equipment and supplies and for maintaining sterile technique.
(4) Appropriate equipment and instrumentation for anesthesia, emergency cardiopulmonary resuscitation and other life support systems.
(5) The operating room shall be so located that it does not directly connect with a corridor used for general through traffic. Entry and exit shall be controlled with respect to personnel, patients and materials handling.
(6) Construction of the operating room shall be in conformity with provisions of Division T17, Title 24, California Administrative Code.
(e) If beds are provided in the outpatient unit, they shall not be included in the licensed bed capacity.
(1) Inpatients shall not be allowed to occupy an outpatient bed.
(2) Outpatients shall not be allowed to remain over 24 hours in outpatient beds.
§70535. Pediatric Service Definition.

Pediatric service means the observation, diagnosis and treatment (including preventive treatment) of children and their illnesses, injuries, diseases and disorders by appropriate staff, space, equipment and supplies.
§70537. Pediatric Service General Requirements.

(a) There shall be written policies and procedures developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. These policies and procedures shall be based upon the standards and recommendations of the American Academy of Pediatrics (Care of Children in Hospitals, 1971). Policies shall be approved by the governing body. Procedures shall be approved by the medical staff and administration where such is appropriate. These policies and procedures shall include but not be limited to:
(1) Admission policies.
(2) Visiting privileges and parent participation.
(3) Accidents.
(4) Patient emergencies.
(5) Reporting of child abuse or neglect.
(6) Consultation requirements.
(7) Infection control and isolation procedures.
(8) Drug reactions and interactions.
(b) The responsibility and the accountability of the pediatric service to the medical staff and administration shall be defined.
(c) A pediatric nursing unit shall be provided if the hospital has eight or more licensed pediatric beds.
(d) Patients beyond the age of 13 shall not be admitted to or cared for in spaces approved for pediatric beds unless approved by the pediatrician in unusual circumstances and the reason documented in the patient's medical record.
(e) An activity program appropriate to the needs of the patients and the scope of the service shall be provided. Participation in such program shall be with the approval of the attending physician. The activity program shall be under the direction of a designated member of the hospital staff.
(f) The hospital shall inform the parent or guardian as soon as possible of any accident affecting the child.
(g) Periodically, an appropriate committee of the medial staff shall evaluate the services provide and make appropriate recommendations to the executive committee of the medical staff and administration.
§70539. Pediatric Service Staff.

(a) A physician shall have overall responsibility for the pediatric service. This physician shall be certified or eligible for certification by the American Board of Pediatrics. If such a pediatrician is not available, a physician with training and experience in pediatrics may administer the service. In this circumstance, a pediatrician, qualified as above, shall provide consultation at a frequency which will assure high quality service.
(b) A registered nurse who has had training and experience in pediatric nursing shall be responsible for the nursing care and nursing management in the pediatric service.
(c) In addition to the above, there shall be a registered nurse present on each shift with responsibility for patient care.
(d) There shall be sufficient other staff to provide adequate care.
(e) There shall be evidence of continuing education and training for the nursing staff in pediatric nursing.
§70541. Pediatric Service Equipment and Supplies.

Sufficient equipment and supplies shall be provided to adequately care for pediatric patients. This shall include a full range of sizes and modifications suitable for use with infants and small children.
§70543. Pediatric Service Space.
Note     •     History

(a) Beds in the pediatric unit, including bassinets, cribs and youth beds, shall be included in the total licensed bed capacity of the hospital.
(b) The rooms for pediatric patients shall be located to provide adequate observation by nursing and other personnel.
(c) Rooms for infants under the age of three years shall be separate from those of older children.
(d) A private room shall be available for any pediatric patient in need of physical separation as defined by the infection control committee.
(e) An examination and treatment room shall be located in or adjacent to the pediatric unit.
(f) A play area of sufficient size should be provided.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate Of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Amendment of subsection (d) refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17). 
§70545. Perinatal Unit Definition.

A perinatal unit means a maternity and newborn service of the hospital for the provision of care during pregnancy, labor, delivery, postpartum and neonatal periods with appropriate staff, space, equipment and supplies.
§70547. Perinatal Unit General Requirements.
Note     •     History

(a) A perinatal unit shall provide:
(1) Care for the patient during pregnancy, labor, delivery and the postpartum period.
(2) Care for the normal infant and the infant with abnormalities which usually do not impair function or threaten life.
(3) Care for mothers and infants needing emergency or immediate life support measures to sustain life up to 12 hours or to prevent major disability.
(4) Formal arrangements for consultation and/or transfer of an infant to an intensive care newborn nursery, or a mother to a hospital with the necessary services, for problems beyond the capability of the perinatal unit.
(b) There shall be written policies and procedures developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. These policies and procedures shall reflect the standards and recommendations of the American College of Obstetricians and Gynecologists “Standard for Obstetric-Gynecologic Hospital Services,” 1969, and the American Academy of Pediatrics “Hospital Care of Newborn Infants,” 1971. Policies shall be approved by the governing body. Procedures shall be approved by the medical staff and administration where such is appropriate. Such policies and procedures shall include but not be limited to:
(1) Relationships to other services in the hospital.
(2) Admission policies, including infants delivered prior to admission and infants transferred from an intensive care newborn nursery.
(3) Arrangements for maternity patient overflow.
(4) Consultation from an intensive care newborn nursery.
(5) Infection control and relationship to the hospital infection committee.
(6) Transfer of mothers to appropriate care services and/or infants to and from an intensive care newborn nursery.
(7) Provision, where deemed necessary, for family centered perinatal care, including rooming-in and care of infants by parent or surrogate.
(8) Prevention and treatment of neonatal hemorrhagic disease.
(9) Care of the premature or low birth weight infant.
(10) Visiting privileges.
(11) Resuscitation of newborn.
(12) Administering and monitoring of oxygen and respiratory therapy.
(13) Transfusion.
(14) PKU screening.
(15) Rhesus (Rh) hemolytic disease identification, reporting and prevention.
(16) Management of hyperbilirubinemia.
(17) Induction of labor and administration of oxytocic drugs.
(18) Provision for parent education regarding childbirth, child care and family planning.
(19) Discharge and continuity of care with referral to community supportive services.
(20) Obstetric-pediatric-pathologic-radiologic conferences.
(21) Patient identification system.
(22) Care routines for the mother and infant.
(23) Handwashing technique.
(24) Individual bassinet technique.
(25) Credo treatment of eyes of newborn.
(26) Breast feeding.
(27) Gavage feedings.
(28) Formula preparation and storage.
(c) The responsibility and the accountability of the perinatal service to the medical staff and administration shall be defined.
(d) The hospital laboratory should have the capability of performing blood gas analyses, pH and microtechniques.
(e) The hospital shall have the capability for operative delivery including caesarean section at all times.
(f) The Infection Control Committee shall develop and implement policies for the management, including physical separation from other infants, of infants with diarrhea of the newborn or draining lesions.
(g) All infections shall be reported to the hospital infection control committee promptly.
(h) All persons in the delivery room shall wear clean gowns, caps and masks during a delivery.
(i) Oxygen shall be administered to newborn infants only on the written order of a physician. The order shall include the concentration (volume percent) or desired arterial partial pressure of oxygen and be reviewed, modified, or discontinued after 24-hours.
(j) All patients shall be attended by a physician or licensed nurse when under the effect of anesthesia or regional analgesia, when in active labor, during delivery or in the immediate postpartum period.
(k) Rooming-in should be permitted if requested by the family.
(l) Smoking shall be prohibited in delivery rooms and nurseries.
(m) The delivery room is considered an electrically sensitive area and shall meet the requirements of section 70853 of these regulations.
(n) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of medical staff and administration.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Amendment refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order including amendment of subsection (f) transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
5. Editorial correction of subsection (a) (Register 95, No. 25).
§70549. Perinatal Unit Staff.

(a) A physician shall have overall responsibility of the unit. This physician shall be certified or eligible for certification by the American Board of Obstetrics and Gynecologists or the American Board of Pediatrics. If a physician with one of the above qualifications is not available, a physician with training and experience in obstetrics and gynecology or pediatrics may administer the service. In this circumstance, a physician with the above qualifications shall provide consultation at a frequency which will assure high quality service. He shall be responsible for:
(1) Providing continuous obstetric, pediatric, anesthesia, laboratory and radiologic coverage.
(2) Maintaining working relationships with intensive care newborn nursery.
(3) Providing for joint staff conferences and continuing education of respective medical specialities.
(b) A physician who is certified or eligible for certification by the American Board of Pediatrics shall be responsible for the nursery.
(c) There shall be one registered nurse on duty on each shift assigned to the labor and delivery suite. In addition, there shall be sufficient trained personnel to assist the family, monitor and evaluate labor and assist with the delivery.
(d) There shall be one registered nurse on duty for each shift assigned to the antepartum and postpartum areas. In addition, there shall be sufficient trained personnel to assess and provide care, assist the family and provide family education.
(e) A registered nurse who has had training and experience in neonatal nursing shall be responsible for the nursing care in the nursery.
(1) A registered nurse trained in infant resuscitation shall be on duty on each shift.
(2) A ratio of one licensed nurse to eight or fewer infants shall be maintained for normal infants.
(f) There shall be evidence of continuing education and training programs for the nursing staff in perinatal nursing and infection control.
§70551. Perinatal Unit Equipment and Supplies.

(a) General equipment shall include at least the following:
(1) Amniocentesis tray.
(2) DC defibrillator immediately available.
(3) Blanket warmer.
(4) Solutions and supplies for intravenous fluids, blood, plasma and blood substitutes or fractions.
(b) A fetal heart rate monitor should be available.
(c) Labor rooms shall contain at least the following equipment:
(1) Oxygen and suction outlets.
(2) A labor bed with adjustable side rails.
(3) Foot stool.
(4) One or more comfortable chairs.
(5) Handwashing facilities.
(6) Toilet and handwashing facilities shall be in or immediately adjacent to labor room and shall be shared by no more than two patients.
(7) Adjustable examination light.
(8) Sphygmomanometer.
(9) Regular and fetal stethoscope.
(d) Delivery rooms shall have at least the following equipment:
(1) Adjustable delivery table.
(2) Surgical light.
(3) Equipment for inhalation anesthesia and regional analgesia.
(4) Clock with sweep second hand.
(5) An elapsed time clock.
(6) Emergency supplies such as packings, syringes, needles and drugs.
(7) Emergency call button.
(8) Provision for oxygen and suction for mother and infant.
(9) Thermostatically controlled incubator or radiant heating device.
(10) Sterile one percent silver nitrate and irrigating solutions for prophylactic Crede treatment of the eyes.
(11) Sterile clamps or ties for umbilical cord.
(12) Resuscitation equipment and supplies to include at least:
(A) Glass trap suction device with catheter.
(B) Pharyngeal airways, assorted sizes.
(C) Laryngoscope, including a blade for premature infants.
(D) Endotracheal catheters, assorted sizes with malleable stylets.
(E) Arterial catheters, assorted sizes.
(F) Ventilatory assistance bag and infant mask.
(G) Bulb syringe.
(H) Stethoscope.
(I) Syringes, needles and appropriate drugs.
(e) Nursery equipment shall include at least the following:
(1) A separate bassinet for each infant made of easily cleanable material such as metal or clear plastic.
(2) Enclosed storage unit for clean supplies for each infant.
(3) Diaper receptacles with a cover, foot control and disposable liner.
(4) A hamper with a disposable liner for soiled linen.
(5) A wall thermometer and hygrometer.
(6) Accurate beam scales or the equivalent.
(7) Thermostatically controlled incubators or radiant heating devices to maintain proper ambient temperature.
(8) Oxygen and compressed air supply, regulating devices and administration equipment.
(9) Resuscitation equipment as required in delivery rooms.
(10) Suction equipment.
(11) At least one duplex electrical outlet for every two bassinets.
(12) One handwashing sink with controls not requiring direct contact of the hands for operation (wrist or elbow blade handles are not acceptable) for each six bassinets.
§70553. Perinatal Unit Space.

(a) General:
(1) A storage room for supplies and equipment used in labor and delivery areas shall be maintained.
(2) Dressing room for staff personnel should be provided.
(b) Labor rooms:
(1) At least one labor room, having a minimum of 9.3 square meters (100 square feet) of floor space shall be provided.
(2) Labor room beds shall not be included in the licensed bed capacity of the hospital.
(3) A labor room shall contain no more than two beds.
(c) Delivery rooms:
(1) Delivery rooms shall be provided which are used for no other purpose. The operating room may serve as the delivery room in rural area hospitals having a licensed bed capacity of 25 or less.
(2) Delivery rooms shall have a minimum floor area of 30 square meters (324 square feet) with no dimension less than 5.5 meters (18 feet).
(d) Nurseries:
(1) Sufficient floor area shall be provided so that there is at least 2.3 square meters (25 square feet) per bassinet with at least 1 meter (3 feet) between bassinets.
(2) A workroom or control station shall be maintained which shall provide for handwashing, gowning and charting.
(3) There shall be 100 foot candles of light at each bassinet.
(4) Bassinets in the normal newborn nursery are not included in the total licensed bed capacity of the hospital.
§70555. Physical Therapy Service Definition.

(a) Physical therapy service means those services to a patient by or under the supervision of a physical therapist to achieve and maintain the highest functional level with appropriate staff, space, equipment and supplies. Physical therapy services include but are not limited to:
(1) Providing the physician with an initial written evaluation of the patient's rehabilitation potential.
(2) Applying muscle, nerve, joint and functional ability tests.
(3) Treating patients to relieve pain, develop or restore function.
(4) Assisting patients to achieve and maintain maximum performance using physical means such as exercise, massage, heat, sound, water, light, ice, and electricity.
§70557. Physical Therapy Service General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the physical therapy service to the medical staff and administration shall be defined.
(c) Physical therapy shall be given only on the signed order of a person lawfully authorized to give such an order.
(d) When physical therapy is ordered, the patient shall be evaluated by the physical therapist and a treatment program shall be established to include the modalities, frequency and duration of treatments. This program and any modifications shall be approved by the person who signed the order for service.
(e) Signed notes shall be entered into the record each time physical therapy service has been performed.
(f) Progress notes shall be written and signed at least weekly by the physical therapist and summarized upon completion of the treatment program.
(g) Physical therapy service staff shall be involved in orientation and in-service training of hospital employees.
(h) There shall be written techniques for cleaning and culturing of hydrotherapy equipment.
(i) Procedures shall be established for outpatient treatment, home visits and referrals to appropriate community agencies.
(j) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
NOTE

Authority cited: Section 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsections (c) and (d) filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11). 
§70559. Physical Therapy Service Staff.

(a) A physical therapist shall have overall responsibility for the physical therapy service.
(b) There shall be sufficient staff to meet the needs of the patients and scope of the services offered. The staff shall consist of physical therapists and may additionally consist of physical therapist assistants, physical therapy aides and other supportive personnel.
(c) The physical therapist shall supervise treatment rendered by aides and assistants. When physical therapy aides are providing treatment, a physical therapist shall provide direct supervision of the treatment rendered.
§70561. Physical Therapy Service Equipment and Supplies.

(a) There shall be sufficient equipment and supplies appropriate to the needs and the services offered. In addition there shall be:
(1) A telephone.
(2) A handwashing sink in the treatment area.
(3) Equipment accessible to patients in wheelchairs, on crutches, or when using other adaptive equipment. This shall include but not be limited to:
(A) Adequate width of door openings.
(B) Toilets with grab bars on both sides of the commode.
(C) Over sink mirrors.
(D) Drinking fountains.
(E) Adjustable tables.
§70563. Physical Therapy Service Space.

(a) Adequate space shall be maintained for the equipment and supplies necessary to provide physical therapy service. The minimum floor area for physical therapy service shall be 28 square meters (300 square feet), no dimension of which shall be less than 4 meters (12 feet).
(b) Office space, separate from the treatment area, shall be provided.
(c) Floor finishes shall be of a nonslip variety to minimize hazard.
(d) Architectural barriers as defined in Specifications for Making Buildings and Facilities Accessible and Usable by the Physically Handicapped, A-117.1 1961 (reaffirmed 1971) by the American National Standards Institute, Inc., 1430 Broadway, New York, NY 10018, shall have alternate means of access such as ramps.
(e) A suitable waiting area shall be provided.
§70565. Podiatric Service Definition.

Podiatric service means the diagnosis and treatment of disorders of the foot by podiatrists with the appropriate staff, space, equipment and supplies.
§70567. Podiatric Service General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the podiatric service to the medical staff and administration shall be defined.
(c) A physician member of the medical staff shall be responsible for the care of any medical problem arising during the hospitalization of podiatric patients.
(d) There shall be a record of all podiatric services provided for the patient and this shall be made a part of the patient's medical record.
(e) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70569. Podiatric Service Staff.

A podiatrist shall have overall responsibility for the service.
§70571. Podiatric Service Equipment and Supplies.

There shall be sufficient equipment, instruments, and supplies for the scope of services provided.
§70573. Podiatric Service Space.

There shall be adequate space maintained to meet the needs of the service.
§70575. Psychiatric Unit Definition.

A psychiatric unit means a service, department or division of a hospital which is organized, staffed and equipped to provide inpatient and outpatient care for mentally disordered or other patients referred to in Division 5 (commencing with Section 5000) or Division 6 (commencing with 6000) of the Welfare and Institutions Code.
§70577. Psychiatric Unit General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the psychiatric service to the medical staff and administration shall be defined.
(c) The psychiatric unit shall be used for patients with he diagnosis of a mental disorder requiring hospital care. For purposes of these regulations “mental disorder” is defined as any psychiatric illness or disease, whether functional or of organic origin.
(d) Medical services.
(1) Psychiatrists or clinical psychologists, acting within the scope of their licensure and subject to the rules of the facility, shall be responsible for the diagnostic formulation for their patients and the development and implementation of each patient's treatment plan.
(2) Medical examinations shall be performed as often as indicated by the medical needs of the patient. Reports of all medical examinations shall be on file in the patient's medical record.
(3) A psychiatrist shall be available at all times for psychiatric emergencies.
(4) An appropriate committee of the medical services shall:
(A) Identify and recommend to administration the equipment and supplies necessary for emergency medical problems.
(B) Develop a plan for handling and/or referral of patients with emergency medical problems.
(C) Determine the circumstances under which electroconvulsive therapy may be administered.
(D) Develop guidelines for the administration of a drug when given in unusually high dosages or for purposes other than those for which the drug is customarily used.
(e) Psychological services shall be provided by clinical psychologists within the scope of their licensure and subject to the provisions of Section 1316.5 of the Health and Safety Code. Staff physicians shall assume responsibility for those aspects of patient care which may be provided only by physicians.
(f) Provision shall be made for the rendering of social services by social workers at the request of a patient's attending physician or psychologist.
(g) Therapeutic activity program.
(1) Every unit shall provide and conduct organized programs of therapeutic activities in accordance with the interests, abilities and needs of the patients.
(2) Individual evaluation and treatment plans which are correlated with the total therapeutic program shall be developed and recorded for each patient.
(h) Education.
(1) No hospital shall accept children of school age who are educable or trainable and who are expected to be a patient in the unit for one month or longer unless an educational or training program can be made available for such children in accordance with their needs and conditions.
(2) Educational programs provided in the facility shall follow those programs established by law, and shall be under the direction of teachers with California teaching credentials.
(3) If children attend community schools, supervision to and from school shall be provided in accordance with the needs and conditions of the patients.
(4) Transportation to and from school shall be provided where indicated.
(i) The medical records of all patients admitted to the unit shall contain a legal authorization for admission. Release of information or medical records concerning any patient shall be only as authorized under the provisions contained in Article 7 (commencing with Section 5325; and Section 5328 in particular) Part 1, Division 5 of the Welfare and Institutions Code.
(j) Restraint of patients.
(1) Restraint shall be used only when alternative methods are not sufficient to protect the patient or others from injury.
(2) Patients shall be placed in restraint only on the written order of the licensed healthcare practitioner acting within the scope of his or her professional licensure. This order shall include the reason for restraint and the type of restraint to be used. In a clear case of emergency, a patient may be placed in restraint at the discretion of a registered nurse and a verbal or written order obtained thereafter. If a verbal order is obtained it shall be recorded in the patient's medical record and be signed by the licensed healthcare practitioner on his or her next visit.
(3) Patients in restraint by seclusion or mechanical means shall be observed at intervals not greater than 15 minutes.
(4) Restraints shall be easily removable in the event of fire or other emergency.
(5) Record of type of restraint including time of application and removal shall be in the patient's medical record.
(k) Patients' rights.
(1) All patients shall have rights which include, but are not limited to, the following:
(A) To wear his own clothes, to keep and use his own personal possessions including his toilet articles; and to keep and be allowed to spend a reasonable sum of his own money for canteen expenses and small purchases.
(B) To have access to individual storage space for his private use.
(C) To see visitors each day.
(D) To have reasonable access to telephones, both to make and receive confidential calls.
(E) To have ready access to letter writing materials, including stamps, and to mail and receive unopened correspondence.
(F) To refuse shock treatment.
(G) To refuse lobotomy.
(H) To be informed of the provisions of law regarding complaints and of procedures for registering complaints confidentially, including but not limited to, the address and telephone number of the complaint receiving unit of the Department.
(I) All other rights as provided by law or regulations.
(2) The licensed health care practitioner acting within the scope of his or her professional licensure who has overall responsibility for the unit or his or her designee, may for good cause, deny a person any of the rights specified in (1) above, except those rights specified in subsections (F), (G) and (I) above and the rights under subsection (F) may be denied only under the conditions specified in Section 5326.4, Welfare and Institutions Code. The denial, and the reasons therefore, shall be entered in the patient's medical record.
(3) These rights, written in English and Spanish, shall be prominently posted.
(l) Psychiatric unit staff shall be involved in orientation and in-service training of hospital employees.
(m) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1255, 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Amendment of subsection (d)(1) filed 11-1-85 as an emergency; effective upon filing (Register 85, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-3-86.
3. Certificate of Compliance transmitted to OAL 2-28-86 and filed 3-26-86 (Register 86, No. 13).
4. Change without regulatory effect amending subsection (e), repealing subsections (e)(1)-(2), amending subsection (j)(2) and amending Note filed 3-24-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 12).
5. Change without regulatory effect amending subsection (e), adding new subsections (e)(1)-(2) and amending subsection (j)(2) and Note filed 4-20-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
6. Amendment of subsections (d)(1)-(2) and (e), repealer of subsections (e)(1)-(2) and amendment of subsections (f), (j)(2) and (k)(2) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§70579. Psychiatric Unit Staff.
Note     •     History

(a) If a psychiatrist is not the administrative director of the psychiatric unit, a psychiatrist who is certified or eligible for certification in psychiatry by the American Board of Psychiatry and Neurology, shall be responsible for the medical care and services of the unit, including all those acts of diagnosis, treatment, or prescribing or ordering of drugs which may only be performed by a licensed physician.
(b) A clinical psychologist shall be available on a full-time, part-time or consulting basis. The clinical psychologist shall function on such terms and conditions as the facility shall establish.
(c) A registered nurse with two years experience in psychiatric nursing shall be responsible for the nursing care and nursing management of the psychiatric unit.
(d) There shall be registered nurses with training and experience in psychiatric nursing on duty in the unit at all times.
(e) There shall be sufficient nursing staff, including registered nurses, licensed vocational nurses, licensed psychiatric technicians and mental health workers to meet the needs of the patients.
(f) A qualified therapist should be employed to conduct the therapeutic activity program. Therapists that may be involved in the program include occupational, music, art, dance and recreation therapist.
(g) A social worker shall be employed on a full-time, regular part-time or consulting basis.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1255, 1276 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§70581. Psychiatric Unit Equipment and Supplies.

(a) Sufficient equipment and supplies shall be provided to meet the needs of the patients, including that necessary for the rehabilitative therapy program.
(b) Resuscitative and cardiac monitoring equipment shall be in or readily available to the unit.
§70583. Psychiatric Unit Space.

(a) A psychiatric unit shall meet the following space requirements:
(1) Consultation room for interviewing patients.
(2) Facilities for physical examination and a treatment room for medical procedures.
(3) At least one observation room for acutely disturbed patients. This room shall have facilities for visual observation and be located near the nursing station and a bathroom.
(4) Separate dining room.
(5) Facilities for occupational therapy.
(6) Indoor and outdoor facilities for therapeutic activities.
(7) A separate nursing station for the psychiatric unit. No beds for patients on the unit shall be located more than 90 feet away from the nursing station.
(8) Windows, modified to prevent patients from leaving the unit by way of a window.
(9) There shall be a principal entrance to the unit which could be locked if necessary.
(b) A unit which treats children of school age over a substantial period of time (one month or more) shall have physical facilities for an educational program, such as a classroom and an office for the teacher.
(c) Beds in a psychiatric unit shall be counted in the total licensed bed capacity of the hospital.
§70585. Radiation Therapy Service Definition.

Radiation therapy service means the use of external ionizing radiation including X-rays and teletherapy and brachytherapy using sealed sources of radioactive material in the treatment of human illnesses with appropriate staff, space, equipment and supplies.
§70587. Radiation Therapy Service General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the radiation therapy service to the medical staff and administration shall be defined.
(c) Radiation therapy shall be given only under the direction of a radiation therapist.
(d) All cancer cases accepted for curative radiation shall have adequate histologic substantiation of diagnosis unless convincing alternative evidence for diagnosis is presented.
(e) Documentation of the initial evaluation, treatment plan, dosimetry, and clinical, technical and follow-up notes shall be maintained.
(f) Adequate communication shall be maintained with referring physicians.
(g) There should be periodic review of case management, complications and treatment results.
(h) There shall be a tumor board, a tumor registry, and/or cancer committee in which the radiation therapy staff shall participate.
(i) There shall be provided:
(1) Continuing radiological physics support for radiation therapy in cancer management.
(2) Calibration and operation of radiation therapy equipment according to California Radiation Control Regulations, Subchapter 4, Chapter 5, Title 17, California Administrative Code.
(3) Appropriate radiation treatment localization, simulation and verification.
(4) Isodose treatment planning with complex analyses generated in appropriate cases.
(5) Treatment record quality control through independent review of records of patients undergoing treatment. The record shall be signed by the reviewer.
(6) Radiation protection for patients and staff in accordance with requirements of California Radiation Control Regulations, Subchapter 4, Chapter 5, Title 17, California Administrative Code.
(j) Periodic follow-up of patients following completion of treatment shall be coordinated with the referring physician.
(k) The hospital shall have on file and open to inspection by the Department evidence of any and all affiliations currently in effect. These may include but are not limited to:
(1) Joint directorship and/or physician collaboration and coordination among several institutions.
(2) Interhospital collaboration for professional and administrative management.
(l) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70589. Radiation Therapy Service Staff.

(a) A physician shall have overall responsibility for the service. This physician shall be certified or eligible for certification in therapeutic radiology by the American Board of Radiology or be certified or eligible for certification in radiology by the American Board of Radiology and have two (2) years of additional full-time experience in radiation therapy.
(b) In remote communities where the population and number of cancer cases are insufficient to require a full-time radiation therapist, a general radiologist may provide radiation treatment of limited scope for those patients whose transportation to larger centers would be undesirable. He shall have an established mechanism to provide the consultation, physics and treatment planning support and referral availability of a radiation therapist.
(c) Other personnel who shall be available full-time, part-time or on a consultative basis, depending upon the activity of the department are:
(1) A radiological physicist who is either certified in radiological physics or in therapeutic radiological physics by the American Board of Radiology.
(2) A dosimetrist (treatment plan technologist) who is a qualified and experienced radiation therapy technologist with a minimum of one year of additional clinical training in dosimetry under the direction of an experienced dosimetrist and a physicist.
(3) A certified therapeutic radiological technologist.
(4) Appropriate support personnel including licensed nurses, where patient load requires.
§70591. Radiation Therapy Service Equipment and Supplies.

(a) Equipment and supplies shall include:
(1) Megavoltage (supervoltage) treatment unit capable of delivering x or gamma rays of effective energy 500 KeV or more and conforming to the requirements of California Radiation Control Regulations, Subchapter 4, Chapter 5, Title 17, California Administrative Code.
(2) Access to medium voltage or superficial treatment unit delivering 500 KeV or less, but otherwise having the same functional characteristics as the above megavoltage units and conforming to the requirements of California Radiation Control Regulations, Subchapter 4, Chapter 5, Title 17, California Administrative Code.
(3) Access to brachytherapy equipment which shall meet the requirements of California Radiation Control Regulations, Subchapter 4, Chapter 5, Title 17, California Administrative Code.
(4) Appropriate examination room equipment.
(5) Emergency trays and medications.
(6) Access to radiation measurement and calibration equipment including a calibration constancy instrument and access to a secondary standard dose meter.
§70593. Radiation Therapy Service Space.

(a) Rooms accommodating radiation therapy machines shall be of adequate size to permit easy use of stretcher patients. Shielding of the rooms shall meet the requirements of California Radiation Control Regulations, Subchapter 4, Chapter 5, Title 17, California Administrative Code.
(b) Sufficient examination rooms of adequate size.
(c) Patient reception, waiting and dressing areas with conveniently located toilets shall be provided.
(d) Space sufficient for medical and physics staff functions shall be provided.
Rehabilitation center means a functional unit for the provision of those rehabilitation services that restore an ill or injured person to the highest level of self-sufficiency or gainful employment of which he is capable in the shortest possible time, compatible with his physical, intellectual and emotional or psychological capabilities and in accord with planned goals and objectives.
§70595. Rehabilitation Center Definition.

Rehabilitation center means a functional unit for the provision of those rehabilitation services that restore an ill or injured person to the highest level of self-sufficiency or gainful employment of which he is capable in the shortest possible time, compatible with his physical, intellectual and emotional or psychological capabilities and in accord with planned goals and objectives.
§70597. Rehabilitation Center General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate. These policies and procedures shall include but not be limited to:
(1) Goals and objectives.
(2) General eligibility and admission criteria.
(3) Geographic area to be served.
(4) Scope of services to be provided.
(5) Rehabilitation staff eligibility requirements.
(6) Relationships between the hospital and other health facilities in the community.
(7) Sources and forms used for referral of patients.
(b) The responsibility and the accountability of the rehabilitation service to the medical staff and administration shall be defined.
(c) As a minimum, physical therapy, occupational therapy and speech therapy shall be provide and the requirements for these individual services, as stated elsewhere in these regulations, shall be met.
(d) There shall be preadmission patient screening done by an appropriate individual who may be the director of the service or his designee. Such screening shall include but not be limited to:
(1) Medical review.
(2) Rehabilitative potential evaluation.
(3) Review of future placement resources.
(e) An outpatient service shall be part of the rehabilitation center. This service shall provide continuity of care to patients who have completed inpatient rehabilitation care and will provide comprehensive, integrated care for patients not requiring hospitalization. This service shall have available all of the resources of the rehabilitation center.
(1) A coordinated system of patient scheduling and appointments that serves to minimize waiting time shall be established.
(2) An outpatient medical record shall be maintained for each patient receiving care in the outpatient service. The completed medical record shall include the information required for treatment of all hospital outpatients (Section 70367).
(f) There shall be a written utilization review plan that outlines the:
(1) Organization and composition of the utilization review committee, which shall include at least two physicians who shall be responsible for the utilization review functions.
(2) Requirement that the committee shall meet at least once each month.
(3) Selection of cases, both inpatient and outpatient, for review on a scientifically selected basis.
(4) Summary of the number and types of cases reviewed and the findings on each.
(5) Actions to be taken by the rehabilitation center based on the findings and recommendations of the utilization review committee.
(g) Staff conferences shall be held regularly and include representation and participation by all disciplines involved in the program to assist in the organization and coordination of services offered.
(h) Patient case conferences shall be held regularly to determine need for modification of treatment plans.
(1) There shall be a case conference plan and written minutes of each case conference held.
(2) One member of the rehabilitation service team shall be designated as the patient service coordinator.
(i) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70599. Rehabilitation Center Staff.

(a) A physician experienced in rehabilitation medicine shall have overall responsibility for the service.
(b) A registered nurse with training and at least one year of experience in rehabilitation nursing shall be responsible for nursing care and nursing management of rehabilitation services.
(c) Sufficient registered nurses experienced in rehabilitation nursing shall be employed to meet the needs of the service.
(d) Other personnel experienced in rehabilitation shall be provided to meet the needs of the service and shall include but not be limited to the following:
(1) Full-time physical therapists.
(2) Full-time occupational therapists.
(3) Speech pathologists.
(4) The following personnel shall be available on a consultation or referral basis:
(A) Audiologist.
(B) Orthotist.
(C) Prosthetist.
(D) Vocational rehabilitation counselor.
(E) Recreational therapist.
(F) Psychiatrist.
(G) Psychologist.
(H) Registered nurse with public health nursing certificate.
(I) Learning disability specialist.
(J) Social worker.
§70601. Rehabilitation Center Equipment and Supplies.

(a) There shall be sufficient equipment and supplies to fulfill the needs of the services provided.
(b) The equipment shall be of a type, quantity and quality that will provide safe and effective patient care.
§70603. Rehabilitation Center Space.

(a)Rehabilitation beds shall be in a designated area of the hospital and shall be included in the licensed bed capacity of the hospital.
(b) The following structural features shall be provided in the rehabilitation service area:
(1) Flooring in rehabilitation areas, while selected for appearance, durability and ease of cleaning and maintenance, shall also be selected and maintained to minimize slipping hazards.
(2) Architectural barriers as defined in Specifications for Making Buildings and Facilities Accessible and Usable by the Physically Handicapped, A-117.1 1961 (reaffirmed 1971) by the American National Standards Institute, Inc., 1430 Broadway, New York, NY 10018, shall have alternate means of access such as ramps.
(3) Sturdy handrails shall be provided on both sides of ramps and stairs in areas used by physically handicapped patients.
(4) Grab bars on both sides of toilets and supports shall be provided in patient bathrooms so that physically disabled patients may use toilet, handwashing and bathing facilities with minimal or no assistance.
(5) Doors and doorways.
(A) Doors to be used by ambulatory and wheelchair patients shall be at least 1.1 meters (three feet, eight inches) wide. Doors 0.9 meter (three feet) wide may be permitted at individual toilet rooms adjacent to patient bedrooms.
(B) Thresholds at doorways shall be flush with the floor.
(C) There should be at least two doors of entry and exit from group activity areas, i.e., craft and workshops. All such exit doors shall be equipped with panic bars.
(D) Doors shall not obstruct wheelchair patients' access to toilets and other patient areas.
(6) Bathing facilities.
(A) Bathtubs shall be of standard height. There shall be access on both sides and one end of bathtub to allow personnel to work on either side or end of tub.
(B) Shower stalls shall have minimum dimensions of at least 1.2 meters (four feet), be equipped with handrails and curtains and be designed for easy accessibility. The floor shall be sloped to provide drainage.
(7) There shall be at least one training toilet area in each patient unit with minimum dimensions of 1.5 meters (five feet) and 1.8 meters (six feet).
(8) Drinking fountains shall be located conveniently in nursing units, treatment areas and the lobby. Fountains shall be usable by wheelchair patients.
(9) Telephones shall be accessible to and usable by wheelchair patients.
(10) All rooms shall contain a minimum of 10 square meters (110 square feet) of usable floor space per bed with greater space provided for special needs such as circ-o-lectric beds.
(11) Beds of adjustable height, preferably electrically operated, adequate to the needs of the service shall be provided. Beds shall be adjustable to the heights of wheelchair seats for use in patient transfer.
(12) A mirror with overhead light, so arranged as to be easily usable by handicapped patients in wheelchairs, shall be provided in patient rooms.
(13) Dining and lounge or recreation area.
(A) Space for group dining shall be provided in a minimum amount of at least 2 square meters (20 square feet) per licensed bed for adults and/or children beyond the crib age.
(B) Space for group recreation or patients lounge shall be provided in the same space ratio as the dining area.
(C) Dining and recreation areas shall be equipped with appropriate height tables to accommodate patients in wheelchairs.
(14) Suitable space shall be provided for staff conferences, patient evaluation and progress reports.
(15) Classroom space.
(16) An examining room equipped with furnishings, equipment and supplies adjacent or readily accessible to the office of the physician in charge of the outpatient service.
(17) A waiting room area with coat or locker space, drinking fountain, telephone and men and women toilet facilities in or adjacent to the rehabilitation outpatient service area.
(18) Access to an outside area to be used in therapeutic procedures for patients.
§70605. Renal Transplant Center Definition.

Renal transplant center means a specialized unit of a hospital for the treatment of patients with end-stage renal disease who manifest the accumulation of excessive nitrogenous waste products. The scope of services offered is comprehensive and includes acute dialysis, renal transplantation and may include peritoneal dialysis or other means for removing toxic or excessive waste products from the blood.
§70607. Renal Transplant Center General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and the administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the renal transplant center to the medical staff and administration shall be defined.
(c) The hospital shall:
(1) Perform a sufficient number of transplants per annum to demonstrate a capability to perform with high quality. Fifteen (15) transplants should be performed per annum.
(2) Offer both living related donor and cadaver donor transplant services.
(3) Contribute to a coordinated system of care by arrangements with other facilities providing care for patients with end-stage renal disease.
(4) Make renal transplant services available to patients with end-stage renal disease referred from facilities that do not provide renal transplant services.
(5) Participate in the development and use of a registry of prospective recipient patients.
(6) Participate in kidney procurement, preservation and transport program.
(7) Cooperate with other facilities for the timely transfer of medical data on patients with end-stage renal disease.
(d) There shall be a written hepatitis control program incorporating the recommendations of Report 33, January 1971, of the Hepatitis Surveillance Program of the Center for Disease Control, Public Health Services, Atlanta, GA 30333.
(e) There shall be in-service training and continuing education for all medical, nursing and other personnel.
(f) The particular requirements for renal transplant and acute dialysis patients shall be accommodated in the disaster and fire plans of the hospital.
(g) The hospital shall provide directly:
(1) Inpatient acute dialysis.
(2) Respiratory therapy.
(3) Angiography.
(4) Nuclear medicine.
(5) Twenty-four hour laboratory capability of performing, as a minimum, the following determinations: C.B.C., B.U.N., creatinine, platelet count, blood typing and cross matching, blood gas analysis, blood pH, electrolytes, serum glucose, coagulation tests, spinal fluid examination, and urinalysis.
(6) Immunofluorescence studies.
(h) The hospital shall provide directly or by arrangement:
(1) Microbiological studies for rickettsiae, fungi, bacteria and viruses.
(2) Electron microscopy.
(3) Outpatient follow-up care of patients with renal transplants.
(4) Tissue culture.
(5) Tissue typing and immunologic testing.
(6) Cadaver kidney preservation.
(7) Chronic dialysis.
(i) Periodically, a committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70609. Renal Transplant Center Staff.

(a) A physician shall have overall responsibility for the center. This physician shall be certified or eligible for certification by the American Board of Surgery, American Board of Urology, American Board of Internal Medicine or American Board of Pediatrics and shall have a minimum of one year's training or experience in the care of patients with renal transplantation.
(b) The surgeons performing the transplantation procedures shall be certified or eligible for certification by the American Board of Surgery or American Board of Urology and shall have at least one year's training or experience in renal transplantation.
(c) Children (13 years of age or under) receiving transplant services shall be under the care of a physician who is certified or eligible for certification by the American Board of Pediatrics.
(d) Where appropriate, the hospital shall provide timely evaluation and consultation for its patients with renal transplants by the following specialists:
(1) Physicians certified or eligible for certification in cardiology, endocrinology, hematology, or infectious disease by the American Board of Internal Medicine.
(2) A physician certified or eligible for certification in neurology by the American Board of Psychiatry and Neurology.
(3) A physician certified or eligible for certification in psychiatry by the American Board of Psychiatry and Neurology.
(4) A physician certified or eligible for certification in orthopaedic surgery by the American Board of Orthopaedic Surgery.
(5) A physician certified or eligible for certification by the American Board of Pathology.
(6) A physician certified or eligible for certification by the American Board of Urology.
(e) There shall be a registered nurse responsible for the nursing service who has had at least 12 months' general nursing experience or six months' experience in the care of patients with renal transplants.
(f) There shall be sufficient other licensed nurses and skilled personnel to provide the required patient care.
(g) A dietician shall provide diet management and counseling to meet the needs of patients with renal transplants.
(h) A social worker shall provide the social services and counseling needs of patients with renal transplants.
§70611. Renal Transplant Center Equipment and Supplies.

(a) Equipment and supplies shall include at least the following if chronic dialysis is provided:
(1) A dialysis machine or equivalent (with appropriate monitoring equipment) for each bed or station.
(2) Dialysis equipment appropriate for pediatric patients, if treated.
(3) Cardiac monitoring equipment.
(4) Resuscitative equipment.
§70613. Renal Transplant Center Space.

(a) There shall be a minimum of 10 square meters (110 square feet) of floor space per bed. Beds in the renal transplant center shall be included in the total licensed bed capacity of the hospital.
(b) The following areas shall be provided and maintained if chronic dialysis is provided:
(1) Patient waiting area.
(2) Conference room.
(3) Nurses' station.
(4) Isolation room.
(5) Segregated area for home dialysis training.
(6) Machine storage room.
(7) Supplies storage room.
(8) Utility room.
§70615. Respiratory Care Service Definition.

(a) Respiratory care service means those diagnostic and therapeutic procedures for ventilatory support and associated services to patients with appropriate staff, space, equipment and supplies. These diagnostic and therapeutic procedures include but are not limited to:
(1) Measurement of pulmonary function testing and blood gas analyses.
(2) Procedures to reverse or prevent further physiological abnormalities.
(3) Treatment or prevention of airway problems of respiratory therapy origin.
(4) Positive pressure ventilatory therapy.
(5) Respiratory monitoring.
(6) Cardiopulmonary resuscitation.
(7) Physical therapy of the chest including bronchial drainage and percussion.
(8) Patient instruction.
(9) Care of the intubated and tracheostomy patient.
(10) Constant consideration of infection control.
§70617. Respiratory Care Service General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the respiratory care service to the medical staff and administration shall be defined.
(c) There shall be clear delineation as to who may perform the various procedures, under what circumstances and under whose supervision, with the important undesirable side effects noted if an emergency arises.
(d) All services shall be provided on the order of a person lawfully authorized to give such an order and shall specify the type, frequency of treatment, the dose and type of medication, appropriate dilution ratios and which diagnostic procedures are requested.
(e) A copy of the order shall be available within the respiratory care files in addition to the patient's health record.
(f) Diagnostic studies and treatment modalities shall be recorded in the patient's medical record including the type of diagnostic or therapeutic procedures, the dates and times of their occurrence and their effects including any adverse reactions.
(g) Normal range and acceptable deviations from normal will be clearly delineated. Reactions outside the acceptable usual disease range shall be brought to the attention of the referring physician and the nursing service.
(h) Respiratory care staff shall be involved in orientation and in-service training of hospital employees.
(i) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
NOTE

Authority cited: Section 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsections (d) and (e) filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
§70619. Respiratory Care Service Staff.

(a) A physician shall have overall responsibility for the service. This physician should be certified or eligible for certification by the American Board of Internal Medicine or the American Board of Anesthesiology. His responsibilities shall include:
(1) Coordinating with other services.
(2) Making services available.
(3) Assuring the quality of respiratory care personnel.
(4) Developing measures to control nosocomial infections.
(b) The day-to-day operation of the service shall be under the immediate supervision of a technical director who shall be a respiratory therapist, respiratory therapy technician, cardiopulmonary or pulmonary technologist or a registered nurse with specialized training and/or advanced experience in respiratory care, who shall be responsible for:
(1) Supervising the clinical application of respiratory care.
(2) Supervising the technical procedures used in pulmonary function testing and blood gas analysis.
(3) Supervising the maintenance of equipment.
(4) Assuring that national and local safety standards are met.
(c) Other personnel may include registered nurses, licensed vocational nurses and physical therapists trained in respiratory care, respiratory therapists, respiratory therapy technicians, cardiopulmonary or pulmonary technologists and students.
§70621. Respiratory Care Service Equipment and Supplies.

(a) There shall be sufficient types and quantity of equipment to provide the appropriate inhalation of the several gases, aerosols and such other modalities required for the anticipated nature and variety of procedures.
(b) Equipment shall be calibrated in accordance with manufacturer's instructions and records of such calibrations shall be kept.
§70623. Respiratory Care Service Space.

(a) There shall be sufficient space maintained for:
(1) Storage of necessary equipment.
(2) Work areas for cleaning, sterilizing and repairing equipment.
(3) Pulmonary function studies and blood gas analysis, if performed in the unit.
(4) Office space.
§70625. Skilled Nursing Service Definition.

Skilled nursing service means the provision of skilled nursing care and supportive care to patients whose primary need is for the availability of skilled nursing care on a long-term basis. There is provision for 24-hour inpatient care and as a minimum includes medical, nursing, dietary, pharmaceutical services and an activity program.
§70627. Skilled Nursing Service General Requirements.

(a) The regulations for Skilled Nursing Facilities, Chapter 3, Division 5, Title 22, California Administrative Code, shall be met with the following exceptions:
(1) The administrator of the hospital does not need to possess a license as a nursing home administrator and his services may be shared between the hospital and the skilled nursing service.
(2) The functions of the director of nurses may be shared between the hospital and the skilled nursing service. The registered nurse requirement, referred to as director of the nursing service, in Section 72323 of regulations for Skilled Nursing Facilities.
(b) There shall be written policies and procedures relating to the transfer of patients between the hospital and skilled nursing service that are approved by the medical staff.
(c) The skilled nursing service shall be provided in a distinct part.
§70629. Social Service Definition.

Social service means assisting patients and their families to understand and cope with the emotional and social problems which affect their health status, with appropriately organized staff, space, equipment and supplies. problems of patients.
§70631. Social Service General Requirements.

(a) The social service to be provided shall be planned and developed in consultation with the administration, medical staff, nursing staff and other staff as appropriate.
(b) The responsibility and the accountability of the social service to administration and medical staff shall be defined.
(c) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(d) When the patient receives social service appropriate entries and progress notes shall be included in the patient's medical record.
(e) Social service staff shall be involved in orientation and in--service training of the staff to assist in identifying social and emotional problems of patients.
(f) Periodically, an appropriate committee of the medical staff shall evaluate the service provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70633. Social Service Staff.

(a) A social worker shall have overall responsibility for the service.
(b) The social service staff shall be sufficient in number and qualifications to effectively provide the service needed. Such personnel may include social work assistants, social work aides and support staff.
§70635. Social Service Equipment and Supplies.

Equipment and supplies shall be provided as needed for performance of social service.
§70637. Social Service Space.

There shall be sufficient office space and privacy for interviewing and conducting social service.
§70639. Speech Pathology and/or Audiology Service Definition.

Speech pathology and/or audiology service means diagnostic evaluation, screening, testing and rehabilitation services for individuals with speech, hearing and/or language disorders with appropriate staff, space, equipment and supplies.
§70641. Speech Pathology and/or Audiology Service General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and accountability of the speech pathology and/or audiology service to the medical staff and administration shall be defined.
(c) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70643. Speech Pathology and/or Audiology Service Staff.

(a) A speech pathologist, audiologist or otolaryngologist shall have overall responsibility for the service.
(b) There shall be sufficient trained staff to meet the needs of the patients and the scope of the services provided.
(c) All unlicensed personnel shall work under the direct supervision of a speech pathologist or audiologist.
(d) There shall be arrangements for consultation with the patient's physician, a physician who is certified or eligible for certification by the American Board of Otolaryngology or other physician specialists as deemed appropriate.
§70645. Speech Pathology and/or Audiology Service Equipment and Supplies.

(a) At least the following equipment shall be provided:
(1) An appropriate clinical audiometer.
(2) Diagnostic tests and materials.
(3) Other equipment and materials deemed necessary by the person having overall responsibility for the service.
(b) Audiometric equipment shall be calibrated in accordance with Standard S-3.6, 1969, Specifications for Audiometer, of the American National Standards Institute, Inc., 1430 Broadway, New York, NY 10018. Evidence of such calibration shall be available on request.
§70647. Speech Pathology and/or Audiology Service Space.

(a) There shall be at least one two-room testing suite that meets Standard S-3.1, 1960 (R-1971), Criteria for Background Noise in Audiometer Rooms, of the American National Standards Institute, Inc., 1430 Broadway, New York, NY 10018.
(b) There shall be the space necessary for the tables and chairs to conduct interviews, consultations, treatment and to accommodate patients in wheelchairs or on stretchers.
§70649. Standby Emergency Medical Service, Physician on Call, Definition.

Standby emergency medical service, physician on call, means the provision of emergency medical care in a specifically designated area of the hospital which is equipped and maintained at all times to receive patients with urgent medical problems and capable of providing physician service within a reasonable time.
§70651. Standby Emergency Medical Service, Physician on Call, General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the emergency medical service to the medical staff and administration shall be defined.
(c) There shall be a roster of names of physicians and their telephone numbers who are available to provide emergency service.
(d) A communication system employing telephones, radiotelephone or similar means shall be in use to establish and maintain contact with the police department, rescue squads and other emergency services of the community.
(e) The emergency medical service shall have a defined emergency and mass casualty plan in concert with the hospital's capabilities and the capabilities of the community served.
(f) The hospital shall require continuing education of all emergency medical service personnel.
(g) Medical records shall be maintained on all patients presenting themselves for emergency medical care. These shall become part of the patient's hospital medical record. Past hospital records shall be available to the emergency medical service.
(h) An emergency room log shall be maintained and shall contain at least the following information relating to the patient: name, date, time and means of arrival, age, sex, record number, nature of complaint, disposition and time of departure. The name of those dead on arrival shall also be entered in the log.
(i) Each standby emergency medical service shall be identified to the public by an exterior sign, clearly visible from public thoroughfares. The wording of such signs shall state STANDBY EMERGENCY MEDICAL SERVICE, PHYSICIAN ON CALL.
(j) Standardized emergency nursing procedures shall be developed by an appropriate committee of the medical staff.
(k) A list of referral services shall be available in the emergency service. This list shall include the name, address and telephone number of the following:
(1) Police department
(2) Blood bank
(3) Antivenin service
(4) Burn center
(5) Drug abuse center
(6) Poison control information center
(7) Suicide prevention center
(8) Director of the State Department of Health or his designee
(9) Local health department 
(10) Clergy
(11) Emergency psychiatric service
(12) Chronic hemodialysis service
(13) Renal transplant center
(14) Intensive care newborn nursery
(15) Emergency maternity service
(16) Radiation accident management service
(17) Ambulance transport and rescue services
(18) County coroner or medical examiner
(l) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§70653. Standby Emergency Medical Service, Physician on Call, Staff.

(a) A physician shall have overall responsibility for the service. He or his designee shall be responsible for:
(1) Implementation of established policies and procedures.
(2) Development of a system for assuring physician coverage on call 24 hours a day to the emergency medical service.
(3) Assurance that physician coverage is available within a reasonable length of time, relative to the patient's illness or injury.
(4) Development of a roster of specialty physicians available for consultation at all times.
(5) Assurance of continuing education for the medical and nursing staff.
(b) All physicians, dentists and podiatrists providing services in the emergency room shall be members of the organized medical staff.
(c) A registered nurse shall be immediately available within the hospital at all times to provide emergency nursing care.
(d) There shall be sufficient other personnel to support the services offered.
§70655. Standby Emergency Medical Service, Physician on Call, Equipment and Supplies.

All equipment and supplies necessary for life support shall be available. Equipment shall include, but need not be limited to, airway control and ventilation equipment, suction devices, cardiac monitor defibrillator, intravenous fluids and administering devices and including blood expanders.
§70657. Standby Emergency Medical Service, Physician on Call, Space.

(a) The following space provisions and designations shall be met:
(1) Designated emergency room area
(2) Reception area
(3) Observation room
(b) Observation beds in the emergency medical service shall not be counted in the total licensed bed capacity of the hospital.
Article 7. Administration
§70701. Governing Body.
Note     •     History

(a) The governing body shall:
(1) Adopt written bylaws in accordance with legal requirements and its community responsibility which shall include but not be limited to provision for:
(A) Identification of the purposes of the hospital and the means of fulfilling them.
(B) Appointment and reappointment of members of the medical staff.
(C) Appointment and reappointment of one or more dentists, podiatrists, and/or clinical psychologists to the medical staff respectively, when dental, podiatric, and/or clinical psychological services are provided.
(D) Formal organization of the medical staff with appropriate officers and bylaws.
(E) Membership on the medical staff which shall be restricted to physicians, dentists, podiatrists, and clinical psychologists competent in their respective fields, worthy in character and in professional ethics. No hospital shall discriminate with respect to employment, staff privileges or the provision of professional services against a licensed clinical psychologist within the scope of his/her licensure, or against a licensed physician and surgeon or podiatrist on the basis of whether the physician and surgeon or podiatrist holds an M.D., D.O. or D.P.M. degree. Wherever staffing requirements for a service mandate that the physician responsible for the service be certified or eligible for certification by an appropriate American medical board, such position may be filled by an osteopathic physician who is certified or eligible for certification by the equivalent appropriate American Osteopathic Board.
(F) Self-government by the medical staff with respect to the professional work performed in the hospital, periodic meetings of the medical staff to review and analyze at regular intervals their clinical experience and requirement that the medical records of the patients shall be the basis for such review and analysis.
(G) Preparation and maintenance of a complete and accurate medical record for each patient.
(2) Appoint an administrator whose qualifications, authority and duties shall be defined in a written statement adopted by the governing body.
(3) The Department shall be notified in writing whenever a change of administrator occurs.
(4) Provide appropriate physical resources and personnel required to meet the needs of the patients and shall participate in planning to meet the health needs of the community.
(5) Take all reasonable steps to conform to all applicable federal, state and local laws and regulations, including those relating to licensure, fire inspection and other safety measures.
(6) Provide for the control and use of the physical and financial resources of the hospital.
(7) Require that the medical staff establish controls that are designed to ensure the achievement and maintenance of high standards of professional ethical practices including provision that all members of the medical staff be required to demonstrate their ability to perform surgical and/or other procedures competently and to the satisfaction of an appropriate committee or committees of the staff, at the time of original application for appointment to the staff and at least every two years thereafter.
(8) Assure that medical staff by-laws, rules and regulations are subject to governing body approval, which approval shall not be withheld unreasonably.
(9) These by-laws shall include an effective formal means for the medical staff, as a liaison, to participate in the development of all hospital policy.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Editorial correction of subsection (a)(7) filed 8-31-83; effective thirtieth day thereafter (Register 83, No. 36).
§70703. Organized Medical Staff.
Note     •     History

(a) Each hospital shall have an organized medical staff responsible to the governing body for the adequacy and quality of the care rendered to patients.
(1) The medical staff shall be composed of physicians and, where dental or podiatric services are provided, dentists or podiatrists.
(2) As required by section 1316.5 of the Health and Safety Code:
(A) Where clinical psychological services are provided by clinical psychologists, in a health facility owned and operated by the state, the facility shall establish rules and medical staff bylaws that include provisions for medical staff membership and clinical privileges for clinical psychologists within the scope of their licensure as psychologists.
(B) Where clinical psychological services are provided by clinical psychologists, in a health facility not owned or operated by this state, the facility may enable the appointment of clinical psychologists to the medical staff.
(b) The medical staff, by vote of the members and with the approval of the governing body, shall adopt written by-laws which provide formal procedures for the evaluation of staff applications and credentials, appointments, reappointments, assignment of clinical privileges, appeals mechanisms and such other subjects or conditions which the medical staff and governing body deem appropriate. The medical staff shall abide by and establish a means of enforcement of its by-laws. Medical staff by-laws, rules and regulations shall not deny or restrict within the scope of their licensure, the voting right of staff members or assign staff members to any special class or category of staff membership, based upon whether such staff members hold an M.D., D.O., D.P.M., or D.D.S. degree or clinical psychology license.
(c) The medical staff shall meet regularly. Minutes of each meeting shall be retained and filed at the hospital.
(d) The medical staff by-laws, rules, and regulations shall include, but shall not be limited to, provision for the performance of the following functions: executive review, credentialing, medical records, tissue review, utilization review, infection control, pharmacy and therapeutics, and assisting the medical staff members impaired by chemical dependency and/or mental illness to obtain necessary rehabilitation services. These functions may be performed by individual committees, or when appropriate, all functions or more than one function may be performed by a single committee. Reports of activities and recommendations relating to these functions shall be made to the executive committee and the governing body as frequently as necessary and at least quarterly.
(e) The medical staff shall provide in its by-laws, rules and regulations for appropriate practices and procedures to be observed in the various departments of the hospital. In this connection the practice of division of fees, under any guise whatsoever, shall be prohibited and any such division of fees shall be cause for exclusion from the staff.
(f) The medical staff shall provide for availability of staff physicians or psychologists for emergencies among the in-hospital population in the event that the attending physician or psychologist or his or her alternate is not available.
(g) The medical staff shall participate in a continuing program of professional education. The results of retrospective medical care evaluation shall be used to determine the continuing education needs. Evidence of participation in such programs shall be available.
(h) The medical staff shall develop criteria under which consultation will be required. These criteria shall not preclude the requirement for consultations on any patient when the director of the service, chairman of a department or the chief of staff determines a patient will benefit from such consultation.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1315, 1316, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Amendment of subsection (d) filed 10-3-88; operative 11-2-88 (Register 88, No. 41).
3. Amendment filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
4. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No 46).
5. Amendment refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
6. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
7. Amendment of section and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§70705. Medical Staff, Residents, Interns and Students.
Note     •     History

(a) The hospital shall not permit any physician, dentist, podiatrist, or clinical psychologist or any medical, dental, podiatric or clinical psychology resident, intern or student to perform any service for which a license, certificate of registration or other form of approval is required unless such person is licensed, registered, approved or is exempted therefrom under the provisions of the State Medical Practice Act, the State Dental Practice Act, the State Podiatric Practice Act, or the State Psychology Licensing Law and, further, unless such services are performed under the direct supervision of licensed practitioner whenever so required by law.
(b) If patient care is provided by residents, interns and medical students, such care shall be in accordance with the provisions of a program approved by and in conformity with: the Council on Education of the American Medical Association, the American Osteopathic Association Board of Trustees through the Committee on postdoctoral training and the Bureau of Professional Education, the American Dental Association, the American Podiatry Association, or the Education and Training Board of the American Psychological Association and/or the residency training programs of the respective specialty boards.
(c) Except in an emergency, all other patient care by interns, house officers, residents or persons with equivalent titles, not provided as specified in subdivision (b) of this section, must be provided by a practitioner with a current license to practice in California.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§70706. Interdisciplinary Practice and Responsibility for Patient Care.
Note     •     History

(a) In any facility where registered nurses will perform functions requiring standardized procedures pursuant to Section 2725 of the Business and Professions Code, or in which licensed or certified healing arts professionals who are not members of the medical staff will be granted privileges pursuant to Section 70706.1 there shall be a Committee on Interdisciplinary Practice established by and accountable to the Governing Body, for establishing policies and procedures for interdisciplinary medical practice.
(b) The Committee on Interdisciplinary Practice shall include, as a minimum, the director of nursing, the administrator or designee, and an equal number of physicians appointed by the Executive Committee of the medical staff, and registered nurses appointed by the director of nursing. When the hospital has a psychiatric unit and one or more clinical psychologists on its medical staff, one or more clinical psychologists shall be appointed to the Committee on Interdisciplinary Practice by the Executive Committee of the medical staff. Licensed or certified health professionals other than registered nurses who are performing or will perform functions as in (a) above shall be included in the Committee.
(c) The Committee on Interdisciplinary Practice shall establish written policies and procedures for the conduct of its business. Policies and procedures shall include but not be limited to:
(1) Provision for securing recommendations from members of the medical staff in the medical specialty, or clinical field of practice under review, and from persons in the appropriate nonmedical category who practice in the clinical field or specialty under review.
(2) Method for the approval of standardized procedures in accordance with Sections 2725 of the Business and Professions Code in which affirmative approval of the administrator or designee and a majority of the physician members and a majority of the registered nurse members would be required and that prior to such approval, consultation shall be obtained from facility staff in the medical and nursing specialties under review.
(3) Providing for maintaining clear lines of responsibility of the nursing service for nursing care of patients and of the medical staff for medical services in the facility.
(4) Intended line of approval for each recommendation of the Committee.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
2. Amendment of subsections (b) and (c)(2) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§70706.1. Granting of Nonphysician Privileges.
Note     •     History

(a) Registered Nurses. The Committee on Interdisciplinary Practice shall be responsible for recommending policies and procedures for the granting of expanded role privileges to registered nurses, whether or not employed by the facility, to provide for the assessment, planning, and direction of the diagnostic and therapeutic care of a patient in a licensed health facility. These policies and procedures will be administered by the Committee on Interdisciplinary Practice which shall be responsible for reviewing credentials and making recommendations for the granting and/or rescinding of such privileges.
(b) Physician's Assistant. A physician's assistant who practices in a licensed facility shall be supervised by a physician approved by the Division of Allied Health Professions of the Board of Medical Quality Assurance who is a member of the active medical staff of that facility. Physician's assistants shall apply to and be approved by the Executive Committee of the medical staff of the facility in which the physician's assistant wishes to practice.
NOTE

Authority cited: Section 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
§70706.2. Standardized Procedures.
Note     •     History

(a) The Committee on Interdisciplinary Practice shall be responsible for:
(1) Identifying functions and/or procedures which require the formulation and adoption of standardized procedures under Section 2725 of the Business and Professions Code in order for them to be performed by registered nurses in the facility, and initiating the preparation of such standardized procedures in accordance with this section.
(2) The review and approval of all such standardized procedures covering practice by registered nurses in the facility.
(3) Recommending policies and procedures for the authorization of employed staff registered nurses to perform the identified functions and/or procedures. These policies and procedures may be administered by the Committee on Interdisciplinary Practice or by delegation to the director of nursing.
(b) Each standardized procedure shall:
(1) Be in writing and show date or dates of approval including approval by the Committee on Interdisciplinary Practice.
(2) Specify the standardized procedure functions which registered nurses are authorized to perform and under what circumstances.
(3) State any specific requirements which are to be followed by registered nurses in performing all or part of the functions covered by the particular standardized procedure.
(4) Specify any experience, training or special education requirements for performance of the functions.
(5) Establish a method for initial and continuing evaluation of the competence of those registered nurses authorized to perform the functions.
(6) Provide for a method of maintaining a written record of those persons authorized to perform the functions.
(7) Specify the nature and scope of review and/or supervision required for the performance of the standardized procedure functions; for example, if the function is to be performed only under the immediate supervision of a physician, that limitation must be clearly stated. If physician supervision is not required, that fact should be clearly stated.
(8) Set forth any specialized circumstances under which the registered nurse is to communicate immediately with a patient's physician concerning the patient's condition.
(9) State any limitations on settings or departments within the facility where the standardized procedure functions may be performed.
(10) Specify any special requirements for procedures relating to patient recordkeeping.
(11) Provide fo periodic review of the standardized procedure.
(c) If nurses have been approved to perform procedures pursuant to a standardized procedure, the names of the nurses so approved shall be on file in the office of the director of nursing.
NOTE

Authority cited: Section 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
§70707. Patients' Rights.
Note     •     History

(a) Hospitals and medical staffs shall adopt a written policy on patients' rights.
(b) A list of these patients' rights shall be posted in both Spanish and English in appropriate places within the hospital so that such rights may be read by patients. This list shall include but not be limited to the patients' rights to:
(1) Exercise these rights without regard to sex, economic status, educational background, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, registered domestic partner status, or the source of payment for care.
(2) Considerate and respectful care.
(3) Knowledge of the name of the licensed healthcare practitioner acting within the scope of his or her professional licensure who has primary responsibility for coordinating the care, and the names and professional relationships of physicians and nonphysicians who will see the patient.
(4) Receive information about the illness, the course of treatment and prospects for recovery in terms that the patient can understand.
(5) Receive as much information about any proposed treatment or procedure as the patient may need in order to give informed consent or to refuse this course of treatment. Except in emergencies, this information shall include a description of the procedure or treatment, the medically significant risks involved in this treatment, alternate courses of treatment or nontreatment and the risks involved in each and to know the name of the person who will carry out the procedure or treatment.
(6) Participate actively in decisions regarding medical care. To the extent permitted by law, this includes the right to refuse treatment.
(7) Full consideration of privacy concerning the medical care program. Case discussion, consultation, examination and treatment are confidential and should be conducted discreetly. The patient has the right to be advised as to the reason for the presence of any individual.
(8) Confidential treatment of all communications and records pertaining to the care and the stay in the hospital. Written permission shall be obtained before the medical records can be made available to anyone not directly concerned with the care.
(9) Reasonable responses to any reasonable requests made for service.
(10) Leave the hospital even against the advice of members of the medical staff.
(11) Reasonable continuity of care and to know in advance the time and location of appointments as well as the identity of persons providing the care.
(12) Be advised if the hospital/licensed healthcare practitioner acting within the scope of his or her professional licensure proposes to engage in or perform human experimentation affecting care or treatment. The patient has the right to refuse to participate in such research projects.
(13) Be informed of continuing health care requirements following discharge from the hospital.
(14) Examine and receive an explanation of the bill regardless of source of payment.
(15) Know which hospital rules and policies apply to the patient's conduct while a patient.
(16) Have all patients' rights apply to the person who may have legal responsibility to make decisions regarding medical care on behalf of the patient.
(17) Designate visitors of his/her choosing, if the patient has decision-making capacity, whether or not the visitor is related by blood, marriage, or registered domestic partner status, unless:
(A) No visitors are allowed.
(B) The facility reasonably determines that the presence of a particular visitor would endanger the health or safety of a patient, a member of the health facility staff, or other visitor to the health facility, or would significantly disrupt the operations of the facility.
(C) The patient has indicated to the health facility staff that the patient no longer wants this person to visit.
(18) Have the patient's wishes considered for purposes of determining who may visit if the patient lacks decision-making capacity and to have the method of that consideration disclosed in the hospital policy on visitation. At a minimum, the hospital shall include any person living in the household.
(19) This section may not be construed to prohibit a health facility from otherwise establishing reasonable restrictions upon visitation, including restrictions upon the hours of visitation and number of visitors.
(c) A procedure shall be established whereby patient complaints are forwarded to the hospital administration for appropriate response.
(d) All hospital personnel shall observe these patients' rights.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
2. Amendment of subsection (b)(1), new subsections (b)(17)-(b)(19), and amendment of Note filed 1-30-97; operative 3-1-97 (Register 97, No. 5).
3. Amendment of subsections (b)(3) and (b)(10)-(12) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
4. Change without regulatory effect amending subsections (b)(1) and (b)(17) and amending Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§70707.1. Criteria for the Performance of Sterilization.
Note     •     History

(a) A sterilization shall be performed only if the following conditions are met:
(1) The individual is at least 18 years old at the time the consent is obtained, or the individual is under 18 and:
(A) Has entered into a valid marriage, whether or not such marriage was terminated by dissolution; or
(B) Is on active duty with the United States armed services; or
(C) Is over 15 years old, lives apart from his or her parents or guardian(s) manages, his or her own financial affairs; or
(D) Has received a declaration of emancipation pursuant to Section 64 of the Civil Code.
(2) The individual is able to understand the content and nature of the informed consent process as specified in 70707.3.
(3) The individual has voluntarily given informed consent in accordance with all the requirements prescribed in Sections 70707.1 through 70707.6.
(4) At least 30 days, but not more than 180 days, have passed between the date of informed consent and the date of the sterilization, except in the following instances.
(A) Sterilization may be performed at the time of emergency abdominal surgery if the following requirements are met:
1. The written informed consent to be sterilized was given at least 30 days before the individual intended to be sterilized.
2. At least 72 hours have passed after written informed consent to be sterilized was given.
(B) Sterilization may be performed at the time of premature delivery if the following requirements are met:
1. The written informed consent was given at least 30 days before the expected date of the delivery.
2. At least 72 hours have passed after written informed consent to be sterilized was given.
(C) The patient voluntarily requests in writing that the procedure be performed in less than 30 days. However, in no case shall a sterilization be performed in less than 72 hours following the signing of the consent form.
NOTE

Authority cited: Sections 208, 1275, 1276, Health and Safety Code. Reference: Sections 1250 et seq., Health and Safety Code; Sections 25.6, 25.7, 34.6, and 63, Civil Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer and new section filed 4-17-81; effective thirtieth day thereafter (Register 81, No. 16).
§70707.2. Requirements for Sterilization Other Than Emergency Sterilization. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1275, 1276, Health and Safety Code. Reference: Sections 1250 et seq., Health and Safety Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer filed 4-17-81; effective thirtieth day thereafter (Register 81, No. 16).
§70707.3. Informed Consent Process for Sterilization.
Note     •     History

(a) An individual has given informed consent only if:
(1) The person who obtained consent for the sterilization procedure:
(A) Offered to answer any questions the individual to be sterilized may have concerning the procedure.
(B) Provided the individual with a copy of the consent form and the booklet on sterilization published by the Department.
(C) Provided orally all of the following to the individual to be sterilized:
1. Advice that the individual is free to withhold or withdraw consent to the procedure at any time before the sterilization without affecting the right to future care or treatment and without loss or withdrawal of any federally funded program benefits to which the individual might be otherwise entitled.
2. A full description of available alternative methods of family planning and birth control.
3. Advice that the sterilization procedure is considered to be irreversible.
4. A thorough explanation of the specific sterilization procedure to be performed.
5. A full description of the discomforts and risks that may accompany or follow the performing of the procedure, including an explanation of the type and possible effects of any anesthetic to be used.
6. A full description of the benefits or advantages that may be expected as a result of the sterilization.
7. Approximate length of hospital stay.
8. Approximate length of time for recovery.
9. Financial cost to the patient.
10. Information that the procedure is established or new.
11. Advice that the sterilization will not be performed for at least 30 days, except under the circumstances specified in Section 70707.1.
12. The name of the physician performing the procedure. If another physician is to be substituted, the patient shall be notified, prior to administering pre-anesthetic medication of the physician's name and the reason for the change in physician.
(2) Suitable arrangements were made to ensure that the information specified in (a)(1) was effectively communicated to any individual who is blind, deaf, or otherwise handicapped.
(3) An interpreter was provided if the individual to be sterilized did not understand the language used on the consent form or the language used by the person obtaining consent.
(4) The individual to be sterilized was permitted to have a witness of the individual's choice present when consent was obtained.
(5) The sterilization operation was requested without fraud, duress, or undue influence.
(6) The consent form requirements of Section 70707.4 were met.
(b) Informed consent may not be obtained while the individual to be sterilized is:
(1) In labor or within 24 hours postpartum or postabortion.
(2) Seeking to obtain or obtaining an abortion.
(A) Seeking to obtain means that period of time during which the abortion decision and the arrangement for the abortion are being made.
(B) Obtaining an abortion means that period of time during which the individual is undergoing the abortion procedure, including any period during which preoperative medication is administered.
(3) Under the influence of alcohol or other substances that affect the individual's state of awareness.
(c) The informed consent process may be conducted either by a physician or by the physician's designee.
(d) A copy of the signed consent form shall be:
(1) Provided to the patient.
(2) Retained by the physician and the hospital in the patient's medical records.
(e) No person shall by reason of mental retardation alone be prevented from consenting to sterilization under this section.
NOTE

Authority cited: Sections 208(a), 1275, and 1276, Health and Safety Code. Reference: Section 1250, Health and Safety Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer and new section filed 4-17-81; effective thirtieth day thereafter (Register 81, No. 16).
3. New subsections (b)(2)(A) and (B) filed 7-1-83; effective thirtieth day thereafter (Register 83, No. 27).
§70707.4. Certification of Informed Consent for Sterilization.
Note     •     History

(a) The Consent Form, provided by the Department in English and Spanish, shall be the only approved form and shall be signed and dated by the:
(1) Individual to be sterilized.
(2) Interpreter, if one is provided.
(3) Person who obtained the consent.
(4) Physician who performed the sterilization procedure, or an alternate physician.
(b) The person securing consent shall certify, by signing the Consent Form, that he or she:
(1) Advised the individual to be sterilized before the individual to be sterilized signed the Consent Form, that no federal benefits may be withdrawn because of the decision not to be sterilized.
(2) Explained orally the requirements for informed consent to the individual to be sterilized as set forth on the Consent Form and in Section 70707.3.
(3) Determined to the best of his/her knowledge and belief that the individual to be sterilized appeared to understand the content and nature of the informed consent process as specified in 70707.3 and knowingly and voluntarily consented to be sterilized.
(c) The physician performing the sterilization, or an alternate physician shall certify, by signing the Consent Form, that:
(1) The physician or an alternate physician, shortly before the performance of the sterilization, advised the individual to be sterilized that federal benefits shall not be withheld or withdrawn because of a decision not to be sterilized.
(2) The physician or an alternate physician explained orally the requirements for informed consent as set forth on the Consent Form.
(3) To the best of the physician's or an alternate physician's knowledge and belief, the individual to be sterilized appeared to knowingly and voluntarily consent to be sterilized.
(4) At least 30 days have passed between the date of the individual's signature on the Consent Form and the date upon which the sterilization was performed, except in the following instances:
(A) Sterilization may be performed at the time of emergency abdominal surgery if the physician:
1. Certifies that the written informed consent to be sterilized was given at least 30 days before the individual intended to be sterilized.
2. Certifies that at least 72 hours have passed after written informed consent to be sterilized was given.
3. Describes the emergency on the Consent Form.
(B) Sterilization may be performed at the time of premature delivery if the physician certifies that:
1. The written informed consent was given at least 30 days before the expected date of the delivery. The physician shall state the expected date of the delivery on the Consent Form.
2. At least 72 hours have passed after written informed consent to be sterilized was given.
(C) The patient voluntarily requests in writing that the procedure be performed in less than 30 days. However, in no case shall a sterilization be performed in less than 72 hours following the signing of the Consent Form.
(d) The interpreter, if one is provided, shall certify that he or she:
(1) Transmitted the information and advice presented orally to the individual to be sterilized.
(2) Read the Consent Form and explained its contents to the individual to be sterilized.
(3) Determined to the best of his/her knowledge and belief that the individual to be sterilized understood that the interpreter told the individual.
(e) The person who obtains consent shall provide the individual to be sterilized with a copy of the booklet on sterilization, provided by the Department in English and Spanish before obtaining consent.
(f) For the purposes of this section, shortly before means a period within 72 hours prior to the time the patient receives any preoperative medication.
NOTE

Authority cited: Sections 208(a), 1275 and 1276, Health and Safety Code. Reference: Section 1250, Health and Safety Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer and new section filed 4-17-81; effective thirtieth day thereafter (Register 81, No. 16).
3. Amendment of subsections (a)(4) and (c) filed 7-1-83; effective thirtieth day thereafter (Register 83, No. 27).
§70707.5. Hysterectomy.
Note     •     History

(a) Except for a previously sterile woman, a hysterectomy may be performed or arranged for by a physician only if:
(1) The person who secures the authorization to perform the hysterectomy has informed the individual and the individual's representatives, if any, orally and in writing, that the hysterectomy will render the individual permanently sterile.
(2) The individual and the individual's representative, if any, has signed a written acknowledgement of receipt of the information in (1).
(3) The individual has been informed of the rights to consultation with a second physician.
(b) A copy of the signed statement shall be:
(1) Provided to the patient.
(2) Retained by the physician and the hospital in the patient's medical records.
(c) For previously sterile women the physician shall discuss with the patient her pre-existing sterility and certify in the patient's health record that the individual was previously sterile and the cause of sterility.
NOTE

Authority cited: Sections 208, 1275 and 1276, Health and Safety Code. Reference: Sections 1275, 1276 and 1294, Health and Safety Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer and new section filed 4-17-81; effective thirtieth day thereafter (Register 81, No. 16).
3. Amendment of subsection (a) and new subsection (c) filed 2-25-86; effective thirtieth day thereafter (Register 86, No. 9).
§70707.6. The Additional Requirements for Informed Consent Process When Specified Federal Funds Are Used.
Note     •     History

Pursuant to Title 22, California Administrative Code Sections 51163 and 51305.1 through 51305.7 the following Additional Requirements for Informed Consent Process shall be met When Specified Federal Funds are Used:
(a) When Medi-Cal funds are used:
(1) Sterilization shall be performed only if the following conditions are met:
(A) The individual is at least twenty-one years old at the time consent is obtained.
(B) The individual is not a mentally incompetent individual.
(C) The individual is not an institutionalized individual.
(2) A hysterectomy shall not be covered if:
(A) Performed solely for the purpose of rendering an individual permanently sterile.
(B) There is more than one purpose to the procedure, and the hysterectomy would not be performed except for the purpose of rendering the individual permanently sterile.
(3) The hospital may not honor any request that the sterilization be performed earlier than 30 days as may non-Medi-Cal patients under Sections 70707.1(4)(C) and 70707.4(4)(C).
(b) For the purposes of this section the following definitions apply:
(1) Mentally incompetent individual means an individual who has been declared mentally incompetent by a Federal, State, or local court of competent jurisdiction for any purpose, unless the individual has been declared competent for purposes which include the ability to consent to sterilization.
(2) Institutionalized individual means an individual who is:
(A) Involuntarily confined or detained, under a civil or criminal statute, in a correctional or rehabilitative facility, including a mental hospital or other facility for the care and treatment of mental illness.
(B) Confined, under a voluntary commitment, in a mental hospital or other facility for the care and treatment of mental illness.
NOTE

Authority cited: Sections 208, 1275, 1276, Health and Safety Code. Reference: Sections 1250 et seq. , Health and Safety Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer and new section filed 4-17-81; effective thirtieth day thereafter (Register 81, No. 16).
§70707.7. Verification of Informed Consent.
Note     •     History

(a) For the purposes of the hospital in complying with these regulations, signature of the patient, physician, physician's designee (if any) and auditor-witness (if applicable) on the Sterilization Consent Document shall be sufficient evidence that the informed consent procedure has taken place.
NOTE

Authority cited: Sections 208, 1275, 1276, Health and Safety Code. Reference: Sections 1250 et seq. , Health and Safety Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Amendment filed 4-17-81; effective thirtieth day thereafter (Register 81, No. 16).
§70707.8. Noncompliance.
Note     •     History

Noncompliance with Sections 70707.1 through 70707.7 may result in a revocation or an involuntary suspension of the hospital's license as delineated in Section 70135.
The facility shall report to the Board of Medical Quality Assurance the name of any physician who performs a sterilization procedure which was not in compliance with Sections 70707.1 through 70707.7 of this chapter.
NOTE

Authority cited: Sections 208, 1275, 1276, Health and Safety Code. Reference: Sections 1250 et seq. , Health and Safety Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
§70707.9. Effective Date. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1275 and 1276, Health and Safety Code. Reference: Sections 1250 et seq., Health and Safety Code.
HISTORY

1. New section filed 6-27-77 as an emergency; effective upon filing (Register 77, No. 27).
2. Amendment filed 8-3-77 as an emergency; effective upon filing (Register 77, No. 32).
3. Certificate of Compliance filed 11-30-77 (Register 77, No. 49).
4. Repealer filed 4-17-81; effective thirtieth day thereafter (Register 81, No. 16).
§70708. Clinical Research.

Research projects involving human subjects shall have the prior approval of a broadly represented committee which shall assure maximum patient safety and understanding.
§70709. Emotional and Attitudinal Support.
Note     •     History

Hospitals shall have a written plan for the provision of those components of total patient care that relate to the spiritual, emotional and attitudinal health of the patient, patients' families, visitors designated by patients pursuant to Section 70707(b)(17) and hospital personnel.
NOTE

Authority cited: Sections 1275 and 100275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of section and new Note filed 1-30-97; operative 3-1-97 (Register 97, No. 5).
§70711. Social Services.

(a) Hospitals shall have a written plan for providing social services to those patients with social problems. This service may be provided through:
(1) An organized social service within the hospital, or
(2) A social worker employed on a part-time basis, or
(3) Social work consultant services from a community agency.
§70713. Use of Outside Resources.

If a hospital does not employ a qualified professional person to render a specific service to be provided by the hospital, there shall be arrangements for such a service through a written agreement with an outside resource--which meets the standards and requirements of these regulations. The responsibilities, functions, objectives and terms of agreement, including financial arrangements and charges of each such outside resource, shall be delineated in writing and signed by an authorized representative of the hospital and the person or the agency providing the service. The agreement shall specify that the hospital retains professional and administrative responsibility for the services rendered. The outside resource, when acting as a consultant, shall apprise the administrator of recommendations, plans for implementation and continuing assessment through dated and signed reports which shall be retained by the administrator for follow-up action and evaluation of performance.
§70715. Nondiscrimination Policies.
Note     •     History

(a) No hospital shall discriminate against any person based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status, except as provided herein. This provision shall apply to the appointment of the medical staff, hiring of hospital employees, and the admission, housing, or treatment of patients.
(b) Any bona fide nonprofit religious, fraternal or charitable organization which can demonstrate to the satisfaction of the Department that its primary or substantial purpose is not to evade this section may establish admission policies limiting or giving preference to its own members or adherents. Such policies shall not be construed as a violation of the first paragraph of this section. Any admission of nonmembers or nonadherents shall be subject to the first paragraph of this section.
(c) No hospital which permits sterilization operations for contraceptive purposes nor any member of its medical staff shall require of the patient any special nonmedical qualifications which are not imposed upon individuals seeking other types of operations. Prohibited nonmedical qualifications shall include, but not be limited to, age, marital status, registered domestic partner status, and number of natural children. This prohibition does not affect requirements relating to the physical or mental condition of the patient, physician counseling of the patient or existing law pertaining to individuals below the age of majority.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section and adopting Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§70717. Admission, Transfer and Discharge Policies.
Note     •     History

(a) Each hospital shall have written admission, transfer and discharge policies which encompass the types of clinical diagnoses for which patients may be admitted, limitations imposed by law or licensure, staffing limitations, rules governing emergency admissions, advance deposits, rates of charge for care, charges for extra services, terminations of services, refund policies, insurance agreements and other financial considerations, discharge of patients and other related functions.
(b) Hospitals offering emergency and/or outpatient services shall make available, upon request of a patient, a schedule of hospital charges.
(c) Patients shall be admitted only upon the order and under the care of a member of the medical staff of the hospital who is a licensed health care practitioner acting within the scope of his or her professional licensure. The patient's condition and provisional diagnosis shall be established at time of admission by the member of the medical staff who admits the patient, subject to the rules and regulations of the hospital, and the provisions of Section 70705(a).
(1) Patients admitted to the hospital for podiatric services shall receive the same basic medical appraisal as patients admitted for other services. This shall include the performance and recording of the findings in the health record of an admission history and physical examination which shall be performed by persons lawfully authorized to do so by their respective practice acts.
(d) Within 24 hours after admission, or immediately before, every patient shall have a complete history and physical examination performed providing the condition of the patient permits.
(e) No mentally competent adults shall be detained in a hospital against their will. Emancipated minors shall not be detained in a hospital against their will. Unemancipated minors shall not be detained against the will of their parents or legal guardians. In those cases where law permits unemancipated minors to contract for medical care without the consent of their parents or legal guardians, the minors shall not be detained in the hospital against their will. This provision shall not be construed to preclude or prohibit attempts to persuade a patient to remain in the hospital in the patient's own interest nor the detention of mentally disordered patients for the protection of themselves or others under the provisions of the Lanterman-Petris-Short Act (Welfare and Institutions Code, Section 5000, et seq.,) if the hospital has been designated by the county as a treatment facility pursuant to said act nor to prohibit minors legally capable of contracting for medical care from assuming responsibility for their discharge. However, in no event shall a patient be detained solely for nonpayment of a hospital bill.
(f) No patient shall be transferred or discharged solely for the purposes of effecting a transfer from a hospital to another health facility unless:
(1) Arrangements have been made in advance for admission to such health facility.
(2) A determination has been made by the patient's licensed health care practitioner acting within the scope of his or her professional licensure, based on his or her assessment of the patient's clinical condition, that such a transfer or discharge would not create a hazard to the patient.
(3) The patient or the person legally responsible for the patient has been notified, or attempts have been made over the 24-hour period prior to the patient's transfer and the legally responsible person cannot be reached.
(g) Minors shall be discharged only to the custody of their parents or legal guardians or custodians, unless such parents or guardians shall otherwise direct in writing. This provision shall not be construed to preclude minors legally capable of contracting for medical care from assuming responsibility for themselves upon discharge.
(h) Each patient upon admission shall be provided with a wristband identification tag or other means of identification unless the patient's condition will not permit such identification. Minimum information shall include the name of the patient, the admission number and the name of the hospital.
(i) No patients shall be admitted routinely to a distinct part of a hospital unless it is appropriate for the level of care required by those patients.
(j) Patients with critical burns shall be treated in a burn center unless transfer of the patient to the burn center is contraindicated in the judgment of the attending physician.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1285, 1315, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
2. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
3. Change without regulatory effect amending subsections (c) and (f)(2) and amending Note filed 3-24-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 12).
4. Change without regulatory effect amending subsections (c) and (f)(2) and Note filed 4-20-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
5. Amendment of subsections (c) and (f)(2) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§70719. Personnel Policies.

(a) Each hospital shall adopt written personnel policies concerning qualifications, responsibilities and conditions of employment for each type of personnel, which shall be available to all personnel. Such policies shall include but not be limited to:
(1) Wage scales, hours of work and all employee benefits.
(2) A plan for orientation of all personnel to policies and objectives of the hospital and for on-the-job training where necessary.
(3) A plan for at least an annual evaluation of employee performance.
(b) Personnel policies shall require that employees and other persons working in or for the hospital familiarize themselves with these and such other regulations as are applicable to their duties.
(c) Hospitals shall furnish written evidence of a plan for growth and development of the hospital staff through:
(1) Designation of a staff member qualified by training and experience who shall be responsible for staff education.
(2) Reference material relevant to the services provided by the hospital which shall be readily accessible to the staff.
§70721. Employees.

(a) The hospital shall recruit qualified personnel and provide initial orientation of new employees, a continuing in-service training program and competent supervision designed to improve patient care and employee efficiency.
(b) If language or communication barriers exist between hospital staff and a significant number of patients, arrangements shall be made for interpreters or for the use of other mechanisms to insure adequate communications between patients and personnel.
(c) The hospital shall designate a member of the staff as a patient discharge planning coordinator.
(d) All employees of the hospital having patient contact, including students, interns and residents, shall wear an identification tag bearing their name and vocational classification.
(e) Appropriate employees shall be given training in methods of hospital infection control and cardiopulmonary resuscitation.
(f) Uniform rules shall be established for each classification of employees concerning the conditions of employment. A written statement of all such rules shall be provided each employee upon commencing employment.
§70723. Employee Health Examinations and Health Records.
Note     •     History

(a) Personnel evidencing signs or symptoms indicating the presence of an infectious disease shall be medically screened prior to having patient contact. Those employees determined to have infectious potential as defined by the Infection Control Committee shall be denied or removed from patient contact until it has been determined that the individual is no longer infectious.
(b) A health examination, performed by a person lawfully authorized to perform such an examination, shall be required as a requisite for employment and must be performed within one week after employment. Written examination reports, signed by the person performing the examination, shall verify that employees are able to perform assigned duties.
(1) Initial examination for tuberculosis shall include a tuberculin skin test using the Mantoux method using a 5 Tuberculin Unit dose of PPD tuberculin stabilized with Tween-80, the result of which is read and recorded in millimeters of induration. If the result is positive, a chest film shall be obtained. A skin test need not be done on a person with a documented positive reaction to PPD but a baseline chest X-ray shall be obtained.
(2) Policies and Procedures that address the identification, employment utilization and medical referral of persons with positive skin tests including those who have converted from negative to positive shall be written and implemented.
(3) An annual skin test for tuberculosis shall be performed on those individuals with a previously documented negative tuberculin skin test. If an individual with a previously documented negative skin test has a subsequent positive reaction, a chest X-ray shall be obtained.
(4) Less frequent testing for tuberculosis, but never less than every four years, may be adopted as hospital policy when documented in writing as approved by the Infection Control Committee, the medical staff and the health officer of the health jurisdiction in which the facility is located.
(c) Employee health records shall be maintained by the hospital and shall include the records of all required health examinations. Such records shall be kept a minimum of three years following termination of employment.
(d) Personnel shall be made aware of recommended vaccinations for preventable diseases that can be prevented by vaccination.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
2. Amendment filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
3. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
4. Amendment refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
5. Certificate of Compliance as to 11-16-89 order including amendment of subsections (a), (b) and (d) transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70725. Employee Personnel Records.

All hospitals shall maintain personnel records of all employees. Such records shall be retained for at least three years following termination of employment. The record shall include the employee's full name, Social Security number, the license or registration number, if any, brief resume of experience, employment classification, date of beginning employment and date of termination of employment. Records of hours and dates worked by all employees during at least the most recent six-month period shall be kept on file at the place of employment.
§70727. Job Descriptions.

Job descriptions detailing the functions of each classification of employee shall be written and shall be available to all personnel.
§70729. Advertising.

No hospital shall make or disseminate any false or misleading statement or advertise by any manner or means any false claims regarding services provided by the hospital.
§70731. Alcoholic and/or Tubercular Patients.

(a) Any licensee who holds out or advertises, by any means, the capability of providing specialized treatment of alcoholics and/or tubercular patients shall:
(1) Establish a distinct part for each type of patient treated.
(2) Obtain Department approval.
§70733. Records and Reports.

(a) Each hospital shall maintain copies of the following applicable documents on file in the administrative offices of the hospital:
(1) Articles of incorporation or partnership agreement.
(2) Bylaws or rules and regulations of the governing body.
(3) Bylaws and rules and regulations of the medical staff.
(4) Minutes of the meetings of the governing body and the medical staff.
(5) Reports of inspections by local, state and federal agents.
(6) All contracts, leases and other agreements required by these regulations.
(7) Patient admission roster.
(8) Reports of unusual occurrences for the preceding two years.
(9) Personnel records.
(10) Policy manuals.
(11) Procedure manuals
(12) Minutes and reports of the hospital Infection Control Committee.
(13) Any other records deemed necessary for the direct enforcement of these regulations by the Department.
(b) The records and reports mentioned or referred to above shall be made available for inspection by any duly authorized officer, employee or agent of the Department.
§70735. Annual Reports.

All hospitals shall submit annual reports to the Department on forms supplied by the Department and by the date specified on the form.
§70736. Sterilization Reporting Requirements.
Note     •     History

(a) All hospitals performing tubal ligations, vasectomies, and hysterectomies shall submit to the Department a quarterly report containing the following information:
(1) The total number of such sterilizations performed, including diagnoses and types of procedures employed.
(2) The number and type of such sterilizations performed by each physician on the medical staff preserving the anonymity of the physicians and patient.
(3) Demographic and medical data as required by the Department.
NOTE

Authority cited: Sections 208, 1275, 1276, Health and Safety Code. Reference: Sections 1250 et seq. , Health and Safety Code.
HISTORY

1. New section filed 5-27-77; effective thirtieth day thereafter (Register 77, No. 22).
§70737. Reporting.

(a) Reportable Disease or Unusual Occurrences. All cases of reportable diseases shall be reported to the local health officer in accordance with Section 2500, Article 1, Subchapter 4, Chapter 4, Title 17, California Administrative Code. Any occurrence such as epidemic outbreak, poisoning, fire, major accident, disaster, other catastrophe or unusual occurrence which threatens the welfare, safety or health of patients, personnel or visitors shall be reported as soon as reasonably practical, either by telephone or by telegraph, to the local health officer and to the Department. The hospital shall furnish such other pertinent information related to such occurrences as the local health officer or the Department may require.
(b) Testing for Phenylketonuria. Hospitals to which maternity patients or infants 30 days of age or under may be admitted shall comply with the requirements governing testing for phenylketonuria (PKU) contained in Section 6500 of Title 17, California Administrative Code.
(c) Rhesus (Rh) Hemolytic Disease of the Newborn. Hospitals to which maternity patients may be admitted shall comply with the requirements for the determination and reporting of the rhesus (Rh) blood type of maternity patients and the reporting of rhesus (Rh) hemolytic disease of the newborn contained in Section 6510 of Title 17, California Administrative Code.
(d) Child Placement. Hospitals shall report to the Department on forms supplied by them, within 48 hours, the name and address of any person other than a parent or relative by blood or marriage, or the name and address of the organization or institution into whose custody a child is given on discharge from the hospital. The release of children for adoption shall be in conformity with the state law regulating adoption procedure.
§70738. Infant Security.
Note     •     History

Written policies and procedures shall be adopted and implemented to accurately identify infants and to protect infants from removal from the facility by unauthorized persons. The policies and procedures shall be reviewed and updated by the facility every two years.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 1-24-90 as an emergency; operative 1-24-90 (Register 90, No. 5). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-24-90.
2. Certificate of Compliance as to 1-24-90 order transmitted to OAL 5-24-90 and filed 6-21-90 (Register 90, No. 33).
§70739. Infection Control Program.
Note     •     History

(a) A written hospital infection control program for the surveillance, prevention and control of infections shall be adopted and implemented. The program shall include policies and procedures that:
(1) Define and require methods to handle all patients, all blood and body fluids and all materials that are soiled with blood and/or body fluids from all patients. The methods prescribed shall be designed to reduce the risk of transmission of potentially infectious etiologic agents from patient to patient and between patient and healthcare worker. The methods shall include handwashing, the use of gloves, the use of other barriers, the handling of needles/sharps and the disposal of materials that are soiled with or contain blood and/or body fluids.
(2) Define practices to reduce the risk of transmission of airborne infectious etiologic agents including tuberculosis and addressing the assignment of rooms and/or roommates.
(3) Provide for and document the education of all personnel.
(A) Each new employee shall receive training appropriate to his/her job classification and work activities to acquaint him/her with infection control policies and procedures of the healthcare facility.
(B) Training material shall be kept current and conform to new information pertaining to the prevention and control of infectious diseases. Revised training material shall be presented to all healthcare workers.
(4) Provide a plan for the surveillance and control of nosocomial infections including procedures for the investigation and management of outbreaks.
(5) Define the equipment, instruments, utensils and disposable materials that are to be identified as biohazardous.
(b) The oversight of the infection surveillance, prevention and control program shall be vested in a multi-disciplinary committee which shall include representatives from the medical staff, administration, nursing department and infection control personnel. This committee shall provide advice on all proposed construction and shall be responsible for the provision of current, updated information on infection control policy and procedures for the facility.
(c) Hospitals having a licensed bed capacity of 200 or more shall have a full-time infection control employee who shall coordinate the activities of the program.
(d) Hospitals having a licensed bed capacity of 199 or less shall have a designated part-time infection control employee who shall coordinate activities of the program.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Amendment refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order including amendment of subsections (a)-(d) transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70741. Disaster and Mass Casualty Program.

(a) A written disaster and mass casualty program shall be developed and maintained in consultation with representatives of the medical staff, nursing staff, administration and fire and safety experts. The program shall be in conformity with the California Emergency Plan of October 10, 1972 developed by the State Office of Emergency Services and the California Emergency Medical Mutual Aid Plan of March 1974 developed by the Office of Emergency Services, Department of Health. The program shall be approved by the medical staff and administration. A copy of the program shall be available on the premises for review by the Department.
(b) The program shall cover disasters occurring in the community and widespread disasters. It shall provide for at least the following:
(1) Availability of adequate basic utilities and supplies, including gas, water, food and essential medical and supportive materials.
(2) An efficient system of notifying and assigning personnel.
(3) Unified medical command.
(4) Conversion of all usable space into clearly defined areas for efficient triage, for patient observation and for immediate care.
(5) Prompt transfer of casualties, when necessary and after preliminary medical or surgical services have been rendered, to the facility most appropriate for administering definite care.
(6) A special disaster medical record, such as an appropriately designed tag, that accompanies the casualty as he is moved.
(7) Procedures for the prompt discharge or transfer of patients already in the hospital at the time of the disaster who can be moved without jeopardy.
(8) Maintaining security in order to keep relatives and curious persons out of the triage area.
(9) Establishment of a public information center and assignment of public relations liaison duties to a qualified individual. Advance arrangements with communications media will be made to provide organized dissemination of information.
(c) The program shall be brought up-to-date, at least annually, and all personnel shall be instructed in its requirements. There shall be evidence in the personnel files, e.g., orientation checklist or elsewhere, indicating that all new employees have been oriented to the program and procedures within a reasonable time after commencement of their employment.
(d) The disaster plan shall be rehearsed at least twice a year. There shall be a written report and evaluation of all drills. The actual evacuation of patients to safe areas during the drill is optional.
§70743. Fire and Internal Disasters.

(a) A written fire and internal disaster program, incorporating evacuation procedures, shall be developed with the assistance of fire, safety and other appropriate experts. A copy of the program shall be available on the premises for review by the Department.
(b) The written program shall include at least the following:
(1) Plans for the assignment of personnel to specific tasks and responsibilities.
(2) Instructions relating to the use of alarm systems and signals.
(3) Information concerning methods of fire containment.
(4) Systems for notification of appropriate persons.
(5) Information concerning the location of fire fighting equipment.
(6) Specification of evacuation routes and procedures.
(7) Other provisions as the local situation dictates.
(c) Fire and internal disaster drills shall be held at least quarterly for each shift of hospital personnel and under varied conditions. The actual evacuation of patients to safe areas during a drill is optional.
(d) The evacuation plan shall be posted throughout the facility and shall include at least the following:
(1) Evacuation routes.
(2) Location of fire alarm boxes.
(3) Location of fire extinguishers.
§70745. Fire Safety.

All hospitals shall be maintained in conformity with the regulations adopted by the State Fire Marshal for the prevention of fire and for the protection of life and property against fire and panic. All hospitals shall secure and maintain a clearance relative to fire safety from the State Fire Marshal.
§70746. Disruption of Services.

(a) Each hospital shall develop a written plan to be used when a discontinuance or disruption of services occurs.
(b) The administrator shall be responsible for informing the Department, via telephone, immediately upon being notified of the intent of the discontinuance or disruption of services or upon the threat of a walkout of a substantial number of employees, or earthquake, fire, power outage or other calamity that causes damage to the facility or threatens the safety or welfare of patients or clients.
§70747. Medical Records Service.

(a) The hospital shall maintain a medical record service which shall be conveniently located and adequate in size and equipment to facilitate the accurate processing, checking, indexing and filing of all medical records.
(b) The medical records service shall be under the supervision of a registered records administrator or accredited records technician. The registered record administrator or accredited record technician shall be assisted by such qualified personnel as are necessary for the conduct of the service.
§70749. Patient Health Record Content.
Note     •     History

(a) Each inpatient medical record shall consist of at least the following items:
(1) Identification sheets which include but are not limited to the following:
(A) Name.
(B) Address on admission.
(C) Identification number (if applicable).
1. Social Security.
2. Medicare.
3. Medi-Cal.
(D) Age.
(E) Sex.
(F) Martial status.
(G) Religion.
(H) Date of admission.
(I) Date of discharge.
(J) Name, address and telephone number of person or agency responsible for patient.
(K) Name of patient's admitting licensed health care practitioner acting within the scope of his or her professional licensure.
(L) Initial diagnostic impression.
(M) Discharge or final diagnosis.
(2) History and physical examination.
(3) Consultation reports.
(4) Order sheet including medication, treatment and diet orders.
(5) Progress notes including current or working diagnosis.
(6) Nurses' notes which shall include but not be limited to the following:
(A) Concise and accurate record of nursing care administered.
(B) Record of pertinent observations including psychosocial and physical manifestations as well as incidents and unusual occurrences, and relevant nursing interpretation of such observations.
(C) Name, dosage and time of administration of medications and treatment. Route of administration and site of injection shall be recorded if other than by oral administration.
(D) Record of type of restraint and time of application and removal. The time of application and removal shall not be required for soft tie restraints used for support and protection of the patient.
(7) Vital sign sheet.
(8) Reports of all laboratory tests performed.
(9) Reports of all X-ray examinations performed.
(10) Consent forms, when applicable.
(11) Anesthesia record including preoperative diagnosis, if anesthesia has been administered.
(12) Operative report including preoperative and postoperative diagnoses, description of findings, technique used, tissue removed or altered, if surgery was performed.
(13) Pathology report, if tissue or body fluid was removed.
(14) Labor record, if applicable.
(15) Delivery record, if applicable.
(16) A discharge summary which shall briefly recapitulate the significant findings and events of the patient's hospitalization, his condition on discharge and the recommendations and arrangements for future care.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
2. Amendment of subsection (a)(1)(K) and (a)(12)-(13) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§70751. Medical Record Availability.
Note     •     History

(a) Records shall be kept on all patients admitted or accepted for treatment. All required patient health records, either as originals or accurate reproductions of the contents of such originals, shall be maintained in such form as to be legible and readily available upon the request of:
(1) The admitting licensed healthcare practitioner acting within the scope of his or her professional licensure.
(2) The nonphysician granted privileges pursuant to Section 70706.1.
(3) The hospital or its medical staff or any authorized officer, agent or employee of either.
(4) Authorized representatives of the Department.
(5) Any other person authorized by law to make such a request.
(b) The medical record, including X-ray films, is the property of the hospital and is maintained for the benefit of the patient, the medical staff and the hospital. The hospital shall safeguard the information in the record against loss, defacement, tampering or use by unauthorized persons.
(c) Patient records including X-ray films or reproduction thereof shall be preserved safely for a minimum of seven years following discharge of the patient, except that the records of unemancipated minors shall be kept at least one year after such minor has reached the age of 18 years and, in any case, not less than seven years.
(d) If a hospital ceases operation, the Department shall be informed within 48 hours of the arrangements made for safe preservation of patient records as above required.
(e) If ownership of a licensed hospital changes, both the previous licensee and the new licensee shall, prior to the change of ownership, provide the Department with written documentation that:
(1) The new licensee will have custody of the patients' records upon transfer of the hospital and that the records are available to both the new and former licensee and other authorized persons; or
(2) Arrangements have been made for the safe preservation of patient records, as above required, and that the records are available to both the new and former licensees and other authorized persons.
(f) Medical records shall be filed in an easily accessible manner in the hospital or in an approved medical record storage facility off the hospital premises.
(g) Medical records shall be completed promptly and authenticated or signed by a licensed healthcare practitioner acting within the scope of his or her professional licensure within two weeks following the patient's discharge. Medical records may be authenticated by a signature stamp or computer key, in lieu of a signature by a licensed healthcare practitioner acting within the scope of his or her professional licensure, only when that licensed healthcare practitioner acting within the scope of his or her professional licensure, has placed a signed statement in the hospital administrative offices to the effect that he/she is the only person who:
(1) Has possession of the stamp or key.
(2) Will use the stamp or key.
(h) Medical records shall be indexed according to patient, disease, operation and licensed healthcare practitioner acting within the scope of his or her professional licensure.
(i) By July 1, 1976 a unit medical record system shall be established and implemented with inpatient, outpatient and emergency room records combined.
(j) The medical record shall be closed and a new record initiated when a patient is transferred to a different level of care within a hospital which has a distinct part skilled nursing or intermediate care service.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 3-13-80; effective thirtieth day thereafter (Register 80, No. 11).
2. Amendment of subsections (a)(1), (g) and (h) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§70753. Transfer Summary.
Note     •     History

A transfer summary shall accompany the patient upon transfer to a skilled nursing or intermediate care facility or to the distinct part skilled nursing or intermediate care service unit of the hospital. The transfer summary shall include essential information relative to the patient's diagnosis, hospital course, medications, treatments, dietary requirement, rehabilitation potential, known allergies and treatment plan and shall be signed by the licensed healthcare practitioner acting within the scope of his or her professional licensure.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of section and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§70754. Special Hospital Transfer Agreement.
Note     •     History

A special hospital shall have an effective written agreement with a general acute care hospital in the same geographic area for the provision of surgical and anesthesia services and any other service which may be required and which the special hospital does not provide.
NOTE

Authority cited: Section 208 and 1250, Health and Safety Code. Reference: ACR 67, Chapter 83, Statutes of 1977.
HISTORY

1. New section filed 7-28-78; effective thirtieth day thereafter (Register 78, No. 30).
§70755. Patients' Monies and Valuables.

(a) No licensee shall use patients' monies or valuables as his own or mingle them with his own. Patients' monies and valuables shall be separate, intact and free from any liability the licensee incurs in the use of his own or the institutions' funds and valuables.
(b) Each licensee shall maintain adequate safeguards and accurate records of patients' monies and valuables entrusted to his care.
(1) Records of patients' monies which are maintained as a drawing account shall include a control account for all receipts and expenditures, an account for each patient and supporting vouchers filed in chronological order. Each account shall be kept current with columns for debits, credits and balance.
(2) Records of patients' monies and other valuables entrusted to the licensee for safekeeping shall include a copy of the receipt furnished to the patient or to the person responsible for the patient.
(c) Patients' monies not kept in the hospital shall be deposited in a demand trust account in a local bank authorized to do business in California, the deposits of which are insured by the Federal Deposit Insurance Corporation. A county hospital may deposit such funds with the county treasurer.
(d) When the amount of money entrusted to a licensee for patients exceeds $500, all money in excess of $500 shall be deposited in a demand trust account as specified in (c) above, unless a fireproof safe is provided on the premises for the protection of monies and valuables. If a fireproof safe is kept and the licensee desires the protection accorded by Civil Code Section 1860, he shall give notice as provided by that section.
(e) Upon discharge of the patient, all refunds due and all money and valuables of that patient which have been entrusted to the licensee shall be surrendered to the patient or the person responsible for the patient in exchange for a signed receipt. Money and valuables kept within the hospital must be surrendered upon demand and those kept in a demand trust account or with the county treasurer must be made available within three normal banking days.
(f) Following the death of a patient, except in a coroner or medical examiner's case, all money and valuables of that patient which have been entrusted to the licensee shall be surrendered to the person responsible for the patient, the executor or the administrator of the estate in exchange for a signed receipt, within 30 days. Immediate written notice of the death of a patient without an agent or known heirs shall be given to the public administrator of the county as specified by Section 1145 of the Probate Code.
(g) Upon change of ownership of a hospital, a written verification by a public accountant of all patients' monies which are being transferred to the custody of the new owners shall be obtained by the new owner in exchange for a signed receipt.
§70757. First Aid and Referrals.

(a) If a hospital does not maintain an emergency medical service, its employees shall exercise reasonable care to determine whether an emergency exists, render necessary lifesaving first aid and shall direct the persons seeking emergency care to the nearest hospital which can render the needed services and shall assist the persons seeking emergency care in obtaining such services, including transportation services, in every way reasonable under the circumstances.
(b) Hospitals not providing emergency medical service shall not advertise or make any other representation to the public that may convey or connote the availability of such service. The posting of signs to designate entrances for use by outpatients and ambulances such as ambulance entrance, referred patients, outpatient service or other words of similar connotation is not prohibited. Such hospitals may represent to the public in any form or manner and only in its entirety, the phrase first aid and referral service.
§70759. Exercise Stress Testing.

Where exercise stress testing is performed, there shall be appropriate monitoring and resuscitative equipment and persons trained in cardiopulmonary resuscitative techniques physically present.
§70761. Medical Library.

(a) Each hospital shall maintain a medical library consistent with the needs of the hospital.
(b) The medical library shall be located in a convenient location, and its contents shall be organized, easily accessible and available through authorized personnel at all times.
(c) The library shall contain modern textbooks in basic sciences and other current textbooks, journals and magazines pertinent to the clinical services maintained in the hospital.
§70763. Medical Photography.

The hospital shall have a policy regarding the obtaining of consent for medical photography.
§70765. Conference Room.

Suitable space for conferences shall be provided in the hospital.
Article 8. Physical Plant
§70801. Alterations to Existing Buildings or New Construction.

(a) Alterations to existing buildings licensed as hospitals or new constructions shall be in conformance with Chapter 1, Division T17, Part 6, Title 24, California Administrative Code.
(b) Hospitals licensed and in operation prior to the effective date of changes in these regulations shall not be required to institute corrective alterations or construction to comply with such changes except where specifically required or where the Department determines that a definite hazard to health and safety exists. Any hospital for which preliminary or working drawings and specifications have been approved by the Department prior to the effective date of changes to these regulations shall not be required to comply with such changes provided substantial, actual construction is commenced within one year after the effective date of such changes.
§70803. Application for Architectural Plan Review.

(a) Drawings and specifications for alterations to existing buildings or new construction shall be submitted to the Department for approval and shall be accompanied by an application for plan review on forms furnished by the Department. The application shall:
(1) Identify and describe the work to be covered by the plan review for which the application is made.
(2) Describe the land on which the proposed work is to be done, by lot, block, tract or house and street address or similar description that will readily identify and definitely locate the proposed building or work.
(3) Show the present and proposed use or occupancy of all parts of the building or buildings.
(4) State the number of square meters (feet) of floor area involved in new construction and in alterations.
(5) Give such other information as may be required by the Department for unusual design circumstances.
(6) Be signed by the person designing the work or the owner of the work.
(b) The application for plan review shall also include a written statement that a description of the proposed work has been submitted to the Area Comprehensive Health Planning Agency approved by the State Advisory Health Council pursuant to Section 437.7 of the Health and Safety Code.
§70805. Space Conversion.

Spaces approved for specific uses at the time of licensure shall not be converted to other uses without the written approval of the Department.
§70807. Notice to Department.

The licensee shall notify the Department in writing not later than ten days after the date when construction of a new hospital is commenced or when construction involving an increase in bed capacity or change of services of an existing hospital is commenced.
§70809. Patient Accommodations.
History

(a) No hospital shall have more patients or beds set up for overnight use by patients than the approved licensed bed capacity except in the case of justified emergency when temporary permission may be granted by the Director or his designee. Beds not used for overnight stay such as labor room beds, recovery beds, beds used for admission screening or beds used for diagnostic purposes in X-ray or laboratory departments are not included in the approved licensed bed capacity.
(b) Five percent of a facility's total licensed bed capacity may be used for a classification other than that designated on the license. Upon application to the Director and a showing that seasonal fluctuations justify, the Director may grant the use of an additional five percent of the beds for other than the classified use.
(c) Patients shall not be housed in areas which have not been approved by the Department for patient housing and which have not been granted a fire clearance by the State Fire Marshal, except as provided in paragraph (a) above.
(d) The number of licensed beds shown on a license shall not exceed the number of beds for which the facility meets applicable construction and operational requirements.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§70811. Patient Rooms.

(a) Patients shall be accommodated only in rooms with the following minimum floor area:
(1) Single rooms: 10.2 square meters (110 square feet) of floor area, except for private rooms in pediatric units which shall have at least 9.3 square meters (100 square feet).
(2) Multi-patient rooms: 7.4 square meters (80 square feet) of floor area per bed with one meter (three feet) between beds, except in specialized units.
(b) Each patient room shall be labeled with a number, letter or combination of the two for identification.
(c) Patient rooms which are approved for ambulatory patients only shall not accommodate nonambulatory patients. Before patients are accommodated in ambulatory sections, they shall demonstrate that they are ambulatory, and this shall be noted in the patient's medical record. The hospital shall transfer patients from the ambulatory section when their condition becomes nonambulatory. The ambulatory status of patients shall be demonstrated upon request of the Department.
(d) Patient rooms approved for use by ambulatory patients only shall be identified as follows: the words Reserved for Ambulatory Patients, in letters at least one and one-half centimeters (one-half inch) high shall be posted on the outside of the door or on the wall alongside the door where they are visible to persons entering the room.
(e) Except in rooms approved by the Department for detention and for psychiatric patients, patients' rooms shall not be kept locked when occupied.
(f) Any exit door, corridor or perimeter fence may be locked for egress only upon the written approval of the Department.
§70813. Patient Property Storage.

Patients shall be provided with closet or locker space for clothing, toilet articles and other personal belongings. Bedside tables or the equivalent shall be provided for each patient.
§70815. Patient Room Furnishings.

A bed with a suitable mattress and a chair shall be provided for each patient. In hospitals all beds, except cribs and bassinets, shall be adjustable.
§70817. Provisions for Emptying Bedpans.
Note     •     History

Bedpans shall be emptied and cleaned in utility rooms or in toilets adjoining patients' rooms when such toilets are equipped with flushing attachments and vacuum breakers.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Amendment refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70819. Provision for Privacy.

A method of assuring visual privacy for each patient shall be maintained in patient rooms and in tub, shower and toilet rooms.
§70821. Public Telephone.

Each floor accommodating patients shall have a telephone installed for patient use. Such telephones shall be readily accessible to patients who are limited to wheel chairs and stretchers. This may not be required in separate buildings having six (6) or fewer beds which are restricted to occupancy by ambulatory patients.
§70823. Isolation Facilities.
Note     •     History

A private room shall be available for any patient in need of physical separation as defined by the infection control committee. Private toilet facilities shall be immediately adjacent to this room.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Amendment refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70825. Laundry Service.
Note     •     History

(a) Laundry and linen.
(1) An adequate supply of clean linen shall be provided for at least three complete bed changes for the hospital's licensed bed capacity.
(2) There shall be written policies and procedures developed and implemented pertaining to the handling, storage, transportation and processing of linens.
(3) If the hospital operates its own laundry, such laundry shall be:
(A) Located in such relationship to other areas that steam, odors, lint and objectionable noises do not reach patient or personnel areas.
(B) Well-lighted and ventilated and adequate in size for the needs of the hospital and for the protection of employees.
(C) Maintained in a sanitary manner and kept in good repair.
(D) Not part of a storage area.
(4) Hospital linens shall be washed according to the following method:
All linens shall be washed using an effective soap or detergent and thoroughly rinsed to remove soap or detergent and soil. Linens shall be exposed to water at a minimum temperature of 71oC (160oF) for at least 24 minutes during the washing process.
(5) Separate rooms shall be maintained in the hospital for storage of clean linen and for storage of soiled linen. Linen storage rooms shall not be used for any other purpose. Storage shall not be permitted in attic spaces, corridors or plenums (air distribution chambers) of air conditioning or ventilating systems.
(6) Handwashing and toilet facilities for laundry personnel shall be provided at locations convenient to the laundry.
(7) Soiled and clean linen carts shall be so labeled and provided with covers made of washable materials which shall be laundered or suitably cleaned daily. Linen carts used for the storage or transportation of dirty linen shall be washed before being used for the storage and transportation of clean linen.
(8) If the hospital does not maintain a laundry service, the commercial laundry utilized shall meet the standards of this section.
(b) Soiled linen.
(1) Soiled linen shall be handled, stored and processed in a safe manner that will prevent the spread of infection and will assure the maintenance of clean linen.
(2) Policies and procedures shall be developed and implemented pertaining to linen soiled with chemotherapeutic agents or radioactive substances.
(3) Soiled linen shall be sorted in a separate enclosed room by a person instructed in methods of protection from contamination. This person shall not have responsibility for immediately handling clean linen until protective attire worn in the soiled linen area is removed and hands are washed.
(4) Soiled linen shall be bagged or covered for transport.
(5) If chutes are used for transporting soiled linen, the chutes shall be maintained in a clean, sanitary state.
(c) Clean linen.
(1) Persons processing clean linen shall be dressed in clean garments at all times while on duty shall not handle soiled linen.
(2) Clean linen from a commercial laundry shall be delivered to the hospital completely wrapped and delivered to a designated clean area.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
2. Amendment filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
3. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
4. Amendment refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
5. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70827. Housekeeping.
Note     •     History

(a) Each hospital shall make provision for the routine cleaning of articles and surfaces such as furniture, floors, walls, ceilings, supply and exhaust grills and lighting fixtures with a detergent/disinfectant.
(b) There shall be written policies and procedures developed and implemented to include but not be limited to the following:
(1) Cleaning of occupied patient areas, nurses' stations, work areas, halls, entrances, storage areas, rest rooms, laundry, pharmacy, offices, etc.
(2) Cleaning of specialized areas such as nursery, operating and delivery rooms.
(3) Cleaning of isolation areas.
(4) Cleaning of kitchen and associated areas.
(5) Cleaning of walls and ceilings.
(6) Terminal cleaning of patient unit upon discharge of patient.
(c) Housekeeping cleaning supplies and equipment provided.
(d) Housekeeping personnel shall maintain the interior of the hospital in a safe, clean, orderly, attractive manner free from offensive odors. One person shall be designated to be in charge of the housekeeping service.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Amendment refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70829. Morgue.

(a) Hospitals with a licensed bed capacity of 50 or more shall maintain a well-ventilated morgue with autopsy facilities unless adequate morgue and autopsy facilities are available in the local community.
(b) Hospitals with a licensed bed capacity of 100 or more shall maintain a well-ventilated morgue with autopsy facilities.
(c) Refrigerated compartments shall be maintained if human remains are held unembalmed. The air temperature shall not be higher than 7oC (45oF).
§70831. Central Sterile Supply.
Note     •     History

(a) Each hospital shall provide, prepare, sterilize and store sufficient sterile supplies and medical and surgical equipment and shall dispense them to all services in the hospital. The operation of this service shall be carried out in an area designated, equipped and staffed for this purpose.
(b) A person shall be designated to be in charge of the central sterile supply.
(c) There shall be written procedures developed and maintained pertaining to the cleaning, preparation, disinfection and sterilization of utensils, instruments, solutions, dressings and other articles.
(d) There shall be effective separation of soiled or contaminated supplies and equipment from the clean and sterilized supplies and equipment.
(e) Sterile supplies and equipment shall be stored in clean cabinets, cupboards or other satisfactory spaces. An orderly system of rotation of supplies shall be used so that supplies stored first will be used first.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment filed 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Amendment refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70833. Autoclaves and Sterilizers.

(a) Autoclaves and sterilizers shall be maintained in operating condition at all times.
(b) Instructions for operating autoclaves and sterilizers shall be posted in the area where the autoclaves and sterilizers are located.
(c) Written procedures shall be developed, maintained and available to personnel responsible for sterilization of supplies and equipment that include, but are not limited to the following:
(1) Time, temperature and pressure for sterilizing the various bundles, packs, dressings, instruments, solutions, etc.
(2) Cleaning, packaging, storing and issuance of supplies and equipment.
(3) Dating and outdating of materials sterilized.
(4) Loading of the sterilizer.
(5) Daily checking of recording and indicating thermometers and filing for one year of recording thermometer charts.
(6) Monthly bacteriological test, the bacterial organism used and filing for one year of the test results.
(7) Length of aeration time for materials gas-sterilized.
§70835. Disinfecting.
Note     •     History

NOTE

Authority cited: Sections 208 (a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Repealer flied 6-15-89 as an emergency; operative 6-15-89 (Register 89, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 10-13-89.
2. Certificate of Compliance as to 6-15-89 order transmitted to OAL on 10-13-89 and disapproved by OAL on 11-13-89 (Register 89, No. 46).
3. Repealer refiled 11-16-89 as an emergency; operative 11-16-89 (Register 89, No. 46). A Certificate of Compliance must be transmitted to OAL within 120 days or the section will be reinstated as it existed prior to the emergency on 3-16-90.
4. Certificate of Compliance as to 11-16-89 order transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70837. General Safety and Maintenance.

(a) The hospital shall be clean, sanitary and in good repair at all times. Maintenance shall include provision and surveillance of services and procedures for the safety and well-being of patients, personnel and visitors.
(b) Hospital buildings and grounds shall be maintained free of such environmental pollutants and such nuisances as may adversely affect the health or welfare of patients to the extent that such conditions are within the reasonable control of the hospital.
(c) All hospitals shall maintain in operating condition all buildings, fixtures and spaces in the numbers and types as specified in construction requirements under which the hospital or unit was first licensed.
(d) A written manual on maintenance of heating, air conditioning and ventilation systems shall be adopted by each hospital and a maintenance log shall be maintained.
(e) Equipment provided must meet any and all applicable California Occupational Safety and Health Act requirements in effect as of the time of purchase. All portable electrical equipment using 110-120 volt 60 hertz current shall be equipped with a three-wire grounded power cord with an Underwriters Laboratories approved hospital grade three-prong plug. The cord grip shall be an integral part of the plug.
(f) All gauging and measuring equipment shall be regularly calibrated as specified by the manufacturer and records of such testing kept for at least two years.
§70839. Air Filters.

(a) The licensee shall be responsible for regular inspection, cleaning or replacement of all filters installed in heating, air conditioning and ventilating systems, as necessary to maintain the systems in normal operating condition. The efficiency of the replacement filters shall be equal to the efficiency rating of the replaced filters.
(b) A written record of inspection, cleaning or replacement including static pressure drop shall be regularly maintained and available for inspection. The record shall include a description of the filters originally installed, the American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) atmospheric dust spot test efficiency rating and the criteria established by the manufacturer or supplier to determine when replacement or cleaning is necessary.
(c) Following filter replacement or cleaning, the installation shall be visually inspected for torn media and bypass in filter frames by means of a flashlight or equivalent, both with fans in operation and stopped. Tears in filter media and bypass in filter frames shall be eliminated in accordance with the manufacturer's directions and as required by the Department.
(d) Where filter maintenance is performed by an equipment service company, a certification shall be provided to the licensee that the requirements listed in Section 70839 (a) and (b) have been accommodated.
(e) If filter maintenance as required in Section 70839 (a) and (b) is performed by employees of the hospital, a written record shall be maintained by the licensee.
§70841. Emergency Lighting and Power System.
Note     •     History

(a) Auxiliary lighting and power facilities shall be readily available at all times.
(1) The emergency lighting and power system shall be maintained in operating condition to provide automatic restoration of power for emergency circuits within ten seconds after normal power failure.
(2) Emergency generators shall be tested as follows:
(A) Non-diesel generators installed in hospitals shall be tested under load conditions for at least 30 minutes at intervals of not more than 7 days.
(B) Diesel backup generators installed in hospitals shall be tested as required by Health and Safety Code, section 41514.1.
(b) The licensee shall provide and maintain an emergency electrical system in compliance with Section E702-7 and E702-20, Part 3, Title 24, California Administrative Code. The system shall serve all lighting, signals, alarms and equipment required to permit continued operation of all necessary functions of the hospital for a minimum of 24 hours.
(c) The Department may require the licensee to submit a report of evaluation of the emergency electrical system by a registered electrical engineer to substantiate compliance with Subarticle E702-7, Part 3, Title 24, California Administrative Code. Essential engineering data, including load calculations, assumptions and tests and, where necessary, plans and specifications acceptable to the Department shall be included in the report.
(d) Where alteration of the emergency electrical system is determined to be necessary, the work shall comply with Sections E702-20 and E702-24, Part 3, Title 24, California Administrative Code.
(e) A written record of inspection, performance, exercising period and repairs shall be maintained and available.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (a)(1), adding new subsections (a)(2)-(a)(2)(B) and adding Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§70843. Storage and Disposal of Solid Wastes.
Note     •     History

(a) Solid wastes shall be stored and eliminated in a manner to preclude the transmission of communicable disease. These wastes shall not be a nuisance or a breeding place for insects or rodents nor be a food source for either.
(b) Solid waste containers shall be stored and located in a manner that will protect against odors.
(c) Syringes and needles shall be disposed of safely as biohazardous waste in puncture proof containers.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance as to 11-16-89 order including amendment of subsection (c) transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
§70845. Solid Waste Containers.
Note     •     History

(a) All containers, except movable bins used for storage of solid wastes, shall have tight-fitting covers in good repair, external handles and be leakproof and rodent proof.
(b) Movable bins, when used for storing or transporting solid wastes from the premises, shall have approval of the local health department and meet the following requirements:
(1) Have tight-fitting covers.
(2) Be in good repair.
(3) Be leakproof.
(4) Be rodent proof unless stored in a room or screened enclosure.
(c) All containers receiving putrescible wastes shall be emptied at least every four days, or more often if necessary.
(d) Solid waste containers, including movable bins, shall be thoroughly washed and cleaned each time they are emptied unless soil contact surfaces have been completely protected from contamination by disposable liners, bags or other devices removed with the waste. Each movable bin should provide for suitable access and a drainage device to allow complete cleaning at the storage area.
NOTE

Authority cited: Sections 208(a) and 1254, Health and Safety Code. Reference: Sections 1250, 1275 and 25157.3, Health and Safety Code.
HISTORY

1. Repealer of subsection (e) filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer of subsection (e) filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 42).
§70847. Infectious Waste.
Note     •     History

Infectious waste, as defined in Health and Safety Code Section 25117.5, shall be handled and disposed of in accordance with the Hazardous Waste Control Law, Chapter 6.5, Division 20, Health and Safety Code (beginning with Section 25100) and the regulations adopted thereunder (beginning with Section 66100 of this Title).
NOTE

Authority cited: Sections 208, 1254, 25150 and 25157.3, Health and Safety Code. Reference: Sections 1250, 25117 and 25117.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer and new section filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 42).
§70849. Gases for Medical Use.

(a) Provision shall be made for safe handling and storage of medical gas cylinders.
(b) Transfer of gas by hospital personnel from one cylinder to another is prohibited except when approved by the Department.
(c) Gases for medical use include carbon dioxide, cyclopropane, ethylene, helium, nitrous oxide, oxygen, helium-oxygen mixtures and carbon dioxide-oxygen mixtures.
(d) All anesthesia machines and related equipment shall be so constructed that connections for different gases are not interchangeable.
This requirement shall be accomplished by installing permanent fittings as indicated below:
(1) Yoke connections of anesthesia machines and flush outlet valves for small compressed gas cylinders (Style E and smaller) shall conform with the pin index safety system contained in pamphlet B57.1 Compressed Gas Cylinder Valve Outlet and Inlet Connections, 1965 Edition, by the American National Standards Institute, Inc., 1430 Broadway, New York, NY 10018.
(2) Valve outlet connections for large cylinders (Style F and larger) for oxygen and nitrous oxide shall conform with the standards contained in pamphlet B57.1, Compressed Gas Cylinder Valve Outlet and Inlet Connections, 1965 Edition, by the American National Standards Institute, Inc., 1430 Broadway, New York, NY 10018. Standard connection No. 540 shall be used with oxygen cylinders and standard connection No. 1320 shall be used with nitrous oxide cylinders. Cylinders for medical gases, other than oxygen and nitrous oxide, used with anesthesia machines shall be limited to Style E and smaller.
(3) Removable exposed threaded connections, where employed in medical gas piping systems and equipment used in conjunction with resuscitators and oxygen therapy apparatus, shall be provided with noninterchangeable connections which conform with pamphlet V-5, Diameter-Index Safety System, May 1970 printing, by the Compressed Gas Association, Inc., 500 Fifth Avenue, New York, NY 10036.
(4) Station outlets from piped oxygen and nitrous oxide systems shall conform with the standards contained in bulletin NFPA No. 56oF, Nonflammable Medical Gas Systems, 1973, by the National Fire Protection Association, 470 Atlantic Avenue, Boston, MA 02210.
(5) Removable connection hoses from station outlets or cylinders to yokes of anesthesia machines shall be fitted with permanently connected fittings to match the standards listed above in paragraphs (1), (2), (3) and (4).
(e) The piped oxygen or nitrous oxide system(s) shall be tested in accordance with the National Fire Protection Association Bulletin NFPA No. 56F, referred to above, and a written report shall be maintained in each of the following instances:
(1) Upon completion of initial installation.
(2) Whenever changes are made to a system.
(3) Whenever the integrity of a system has been breached.
(4) At least annually.
(f) Oxygen Equipment.
(1) Vaporizer bottles shall be sterilized after each use.
(2) Only sterile fluids shall be used in vaporizer bottles.
(3) Vaporizer bottles shall be changed at least every 24 hours.
§70851. Lighting.

(a) All rooms, attics, basements, passageways and other spaces shall be illuminated.
(b) Adequate illumination shall be maintained for the comfort of patients and personnel.
(c) All patient rooms shall have a minimum of 30 foot candles of light delivered to reading or working surfaces and not less than 10 foot candles of light in the remainder of the room.
(d) All corridors, storerooms, stairways, ramps, exits and entrances shall have a minimum of five foot candles of light measured in the darkest corner.
(e) Except in closets, storage spaces, attic spaces, equipment rooms and similar areas, lighting fixtures shall have suitable enclosures to control fixture brightness and to prevent accidental breakage. Where exposed lamp fixtures are permitted, suitable guards shall be maintained in locations where breakage could be hazardous to personnel.
(f) Emergency lighting facilities shall be maintained for use during electrical power failure. In addition, flashlights shall be available at all times. Open flame lights shall not be used.
§70853. Electrically Sensitive Areas.

(a) Electrically sensitive patient areas are those areas of the hospital where patients with invasive instrumentation (that can provide electrically conductive pathways directly to the heart) are usually located. These patients are particularly vulnerable to accidental electrocution from contact with equipment or other conducting surfaces bearing electrical potentials that would not normally be considered hazardous. These patient care areas must be provided with additional electrical safeguards. Such areas include but are not limited to:
(1) Coronary care units.
(2) Intensive care units.
(3) Cardiac catheterization laboratories.
(4) Operating rooms.
(5) Portions of emergency rooms.
(6) Postoperative recovery rooms.
(b) All circuits serving electrically sensitive patient care areas shall have equipotential bonding.
(c) Each patient bed shall be served by receptacles from two separate circuits and, as a minimum, one of the circuits shall be from a separate emergency power source. A portion of the receptacles should be located other than at the head of the bed.
(d) All circuits from the same source shall be in the same phase.
(e) To protect instrumented patients who are vulnerable to electric shock hazards, all conducting surfaces, that are or could be located within six feet of a patient shall be tested regularly and shown to meet the requirements set forth below. The measurements shall be made using a standard test load to simulate the conducting pathway provided by the patient. The standard test load and test conditions shall meet the requirements in Safe Current Limits: AAMI Safety Standard for Electromedical Apparatus, published April 1974 by the Association for the Advancement of Medical Instrumentation, 1500 Wilson Boulevard, Suite 417, Arlington, VA 22209.
(1) Electromedical equipment with patient leads or other connections intended to be attached directly to the heart or to an invasive conductive pathway to the heart or great vessels shall be provided with special electrically isolated leads or connections by optical coupling or some other technical provision. The current limits for such an isolated patient connection shall not exceed 20 microamperes at the patient end of the lead and shall not exceed 10 microamperes at the junction between the patient lead and the equipment.
(2) The current limit for electromedical equipment with an electrical or conductive patient contact, other than defined in (1) above, shall not exceed 50 microamperes.
(3) The limit for currents arising from metal parts associated with electromedical equipment, other than the cases defined in (1) and (2) above, shall not exceed 100 microamperes.
(f) All electrical service outlets and grounding circuits shall be inspected at least quarterly.
(1) Records of this inspection shall include at least the following information:
(A) Confirmation that the contact tension of each blade of each wall receptacle is not less than 225 grams (8 oz.) per blade.
(B) Confirmation of the presence and correct polarity of the hot and neutral connections in each wall receptacle.
(C) Verification of the continuity of the grounding circuit in each wall receptacle.
(D) Physical condition of each receptacle.
(E) Physical condition of any male plugs and line cords of equipment in use in the areas at the time of each inspection.
(F) Verification that the resistance between all exposed metal surfaces and each patient reference grounding point, or a selected wall receptacle ground, is less than 0.15 ohms.
(g) All portable (minor movable) electromedical equipment that is used in electrically sensitive patient areas shall be included in an appropriate preventive maintenance program.
(1) Records of the maintenance shall include at least the following information. These measurements and inspections shall be made at least once every three months.
(A) Determination of the leakage current levels for all electrically powered diagnostic, monitoring or therapeutic equipment, including electrically powered beds.
(B) Verification of the integrity of the power cords, including continuity of the conductors and adequacy of the strain relief device.
§70855. Mechanical Systems.

Heating, air conditioning and ventilating systems shall be maintained in operating condition to provide a comfortable temperature and to meet the new construction requirements in effect at the time plans were approved for the facility.
§70857. Screens.

To protect against insects, screens of 6 mesh per centimeter (16 mesh per inch) shall be provided on doors and openable windows. Screen doors shall be of a type approved by the State Fire Marshal.
§70859. Signal Systems.

(a) A call system shall be maintained in operating order in all nursing units. Call systems shall be maintained to provide visible and audible signal communication between nursing personnel and patients. The minimum requirements are:
(1) A call station or stations providing extension cords to each patient bed. These extension cords shall be readily accessible to patients.
(2) A visible signal in the corridor above the door of each patient room.
(3) An audible signal and light indicating the room from which the call originates shall be located at the nurses' stations. Alternate systems must be approved in writing by the Department.
(b) The call system shall be provided in each patient's toilet room, bathroom and shower room in locations easily accessible to the patients. Electric shock hazard shall be eliminated by grounding or by an equally effective method.
(c) The call systems shall be designed to require resetting at the calling station unless a two-way voice communication component is included in the system.
§70861. Storage.

(a) All hospitals shall maintain general storage space of at least 1.9 square meters (20 square feet) per bed in addition to specialized storage space.
(b) Storage is not permitted in plenums (air distribution chambers) of air conditioning or ventilation systems.
§70863. Water Supply and Plumbing.

(a) Water for human consumption from an independent source shall be subjected to bacteriological analysis by the local health department, State Department of Health or a licensed commercial laboratory at least every three (3) months. A copy of the most recent laboratory report shall be available for inspection.
(b) Plumbing and drainage facilities shall be maintained in compliance with Part 5, Title 24, California Administrative Code, Basic Plumbing Requirements. Drinking water supplies shall comply with Group 4, Subchapter 1, Chapter 5, Division T17, Part 6, of Title 24, California Administrative Code.
(c) Backflow preventers (vacuum breakers) shall be maintained in operating condition where required by Section T17-210(c), Division T17, Part 6, Title 24, California Administrative Code.
(d) For hot water used by patients, there shall be temperature controls to automatically regulate the temperature between 40.5oC (105oF) and 48.9oC (120oF).
(e) Hot water at a minimum temperature of 82.2oC (180oF) shall be maintained at the final rinse section of dishwashing facilities unless alternate methods are approved by the Department.
(f) Taps delivering water at 51.6oC (125oF) or higher shall be identified prominently by warning signs with letters 5 cm (2 inches) high.
(g) Grab bars shall be maintained for each toilet, bathtub and shower used by patients, where required in Section T17-212(b), Division T17, Part 6, of Title 24, California Administrative Code.
(h) As a minimum, toilet, handwashing and bathing facilities shall be maintained in operating condition in the number and types specified in construction requirements in effect at the time the building or unit was constructed.
§70865. Ice.
Note     •     History

Ice which is used in connection with food or drink shall be from a sanitary source and shall be handled and dispensed in a sanitary manner.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance as to 11-16-89 order including amendment transmitted to OAL 3-15-90 and filed 4-16-90 (Register 90, No. 17).
Article 9. Regulations Specific to Small and Rural Hospitals
§70901. Applicability of Article 9.
Note     •     History

Regulations found in Article 9 are applicable to all small and rural hospitals as defined in Health and Safety Code Section 442.2(c). 
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70903. Enforcement of Article 9.
Note     •     History

Each regulation in Article 9 provides an alternative for a specific regulation or regulations found elsewhere in Chapter 1. Preceding or included in each section in Article 9 is the number of the section it will modify or replace. 
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70905. Surgical Service General Requirements.
Note     •     History

Section 70223 shall apply as written with the following exception: Hospitals with a licensed bed capacity of 25 or more but less than 50 shall only be required to maintain one operating room. 
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency: operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70907. Dietetic Service Staff.
Note     •     History

Section 70275 shall be replaced by the following: 
(a) A registered dietitian shall be employed on a full-time, part-time or consulting basis for approval of all menus and participation in development or revision of dietetic policies and procedures and in planning and conducting in-service education programs. 
(b) Sufficient dietetic service personnel shall be employed, oriented, trained and their working hours scheduled to provide for the nutritional needs of the patients and to maintain the dietetic service areas. If dietetic service employees are assigned duties in other service areas, those duties shall not interfere with the sanitation, safety or time required for dietetic work assignments. 
(c) A record shall be maintained of the number of persons by job title employed full or part-time in dietetic services and the number of hours each works weekly. 
(d) Hygiene of Dietetic Service Staff. 
(1) Dietetic service personnel shall be trained in basic food sanitation techniques, shall be clean, wear clean clothing, including a cap and/or a hair net and shall be excluded from duty when affected by skin infection or communicable diseases. Beards and mustaches which are not closely cropped and neatly trimmed shall be covered. 
(2) Employee's street clothing stored in the kitchen area shall be in a closed area. 
(3) Kitchen sinks shall not be used for handwashing. Separate handwashing facilities with soap, running water and individual towels shall be provided. 
(4) Persons other than dietetic personnel shall not be allowed in the kitchen area unless required to do so in the performance of their duties.
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70909. Intensive Care Service Space.
Note     •     History

Section 70499 shall apply as written with the following exceptions: an intensive care unit may consist of less than four (4) but shall not consist of less than two (2) patient beds; an isolation room is not required. 
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70911. Perinatal Unit Staff.
Note     •     History

Section 70549 shall be replaced by the following: 
(a) A physician shall have overall responsibility of the unit. This physician shall be certified or eligible for certification by the American Board of Obstetrics and Gynecologists or the American Board of Pediatrics. If a physician with one of the above qualifications is not available, a physician with training and experience in obstetrics and gynecology or pediatrics may administer the service. In this circumstance, a physician with the above qualifications shall provide consultation at a frequency which will assure high quality service. The physician responsible for the unit shall be responsible for: 
(1) Providing continuous obstetric, pediatric, anesthesia, laboratory and radiologic coverage. 
(2) Maintaining working relationships with intensive care newborn nursery. 
(3) Providing for joint staff conferences and continuing education of respective medical specialties. 
(b) A physician who has training and experience in newborn care shall be responsible for the nursery. 
(c) There shall be one registered nurse trained in infant resuscitation on duty on each shift assigned to the labor and delivery suite. In addition, there shall be sufficient trained personnel to assist the family, provide family education, monitor and evaluate labor, assist with the delivery and assist the patient during the post-partum period. 
(d) If the hospital has a nursery, a registered nurse who has had training and experience in neonatal nursing shall be responsible for the nursing care in the nursery. 
(1) A registered nurse trained in infant resuscitation shall be on duty on each shift. 
(2) A ratio of one licensed nurse to eight or fewer infants shall be maintained for normal infants. 
(e) There shall be evidence of continuing education and training programs for the nursing staff in perinatal nursing and infection control. 
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70913. Perinatal Unit Space.
Note     •     History

Section 70553 shall apply as written with the following exception: The operating room may serve as the delivery room in hospitals having a licensed bed capacity of 50 or less. 
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70915. Physical Therapy Service General Requirements.
Note     •     History

Section 70557 shall apply as written with the following exception: Procedures for outpatient treatment, home visits and referrals to appropriate community agencies need only be established if such resources are available. 
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70917. Physical Therapy Service Equipment and Supplies.
Note     •     History

Section 70561 shall apply as written with the following exception: Adjustable tables shall not be required if a suitable alternative is available.
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70919. Physical Therapy Service Space.
Note     •     History

Section 70563 shall not apply. 
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70921. Standby Emergency Medical Services, Physician on Call, Space.
Note     •     History

Section 70657 shall apply as written with the following exceptions: The reception area may be a multi-purpose area and the observation room need not be dedicated solely for that purpose. 
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
§70923. Conference Room.
Note     •     History

Section 70765 shall be modified as follows: A hospital shall either provide suitable space for conferences within the facility or shall otherwise provide access to suitable space for conferences. 
NOTE

Authority cited: Sections 442.3 and 442.6, Health and Safety Code. Reference: Section 442.3, Health and Safety Code. 
HISTORY

1. New section filed 2-26-90 as an emergency; operative 2-26-90 (Register 90, No. 9). A Certificate of Compliance is not required to be transmitted and this emergency regulation remains in force and effect pursuant to Health and Safety Code Sections 442.3(b) and 442.6(e). Issuing agency: Office of Statewide Health Planning and Development. 
Chapter 2. Acute Psychiatric Hospital
Article 1. Definitions
§71001. Meaning of Words.

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in the present tense include the future; words in the singular number include the plural number; words in the plural number include the singular number and words in the masculine include the feminine. Shall means mandatory. May means permissive. Should means suggested or recommended.
§71003. Hospital.

Hospital, where used in these regulations means an acute psychiatric hospital.
§71004. Acute Psychiatric Care Bed Classification.
Note     •     History

Acute psychiatric care bed classification means beds designated for acute psychiatric, developmentally disabled or drug abuse patients receiving 24-hour medical care.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
3. Certificate of Compliance as to filing of 10-5-76 filed 1-31-77 (Register 77, No. 6).
4. Certificate of Compliance as to filing of 11-12-76 filed 3-8-77 (Register 77, No. 11).
§71005. Acute Psychiatric Hospital.
Note     •     History

(a) Acute psychiatric hospital means a hospital having a duly constituted governing body with overall administrative and professional responsibility and an organized medical staff which provides 24-hour inpatient care for mentally disordered, incompetent or other patients referred to in Division 5 (commencing with section 5000) or Division 6 (commencing with section 6000) of the Welfare and Institutions Code, including the following basic services: medical, nursing, rehabilitative, pharmacy and dietary services.
(b) An acute psychiatric hospital shall not include separate buildings which are used exclusively to house personnel or provide activities not related to hospital patients.
NOTE

Authority cited: Section 1250.1(e), Health and Safety Code. Reference: Section 1250(b), Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to section 100(b)(3), Title 1, California Code of Regulations, repealing subsection (c), filed 4-2-90 (Register 90, No. 17). 
§71007. Alteration.

Alteration means any work other than maintenance in an existing building and which does not increase the floor or roof area or the volume of enclosed space.
§71009. Autoclaving.

Autoclaving means the process of sterilization by steam under pressure.
§71011. Basic Services.

Basic services means those essential services required by law for licensure as a hospital including medical, nursing, rehabilitative, pharmacy and dietary services.
§71012. Certificate of Exemption.
Note     •     History

Certificate of Exemption means a document containing Department approval for the exemption of a specified project from Certificate of Need review.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255 and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§71012.1. Certificate of Need.
Note     •     History

Certificate of Need means a document containing Department approval for a specified project.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255 and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§71013. Child.

Child means a person who is 13 years of age or under.
§71015. Cleaning.

Cleaning means the process employed to free a surface from dirt or other extraneous material.
§71017. Conservator.

Conservator means a person appointed by the court to take care of the person or the property, or both, of a conservatee under Section 5350, et seq., of the Welfare and Institutions Code or under Section 1701, et seq., of the Probate Code.
§71019. Defined.

Defined means written.
§71021. Department.
Note     •     History

Department means the State Department of Health Services.
NOTE

Authority cited: Sections 208, 1255, 1266, 1275, 1402 and 1426, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1222, 1229, 1250, 1251, 1251.5, 1252-1257, 1265, 1265.5, 1265.7, 1265.8, 1266-1270, 1275-1280, 1282, 1294-1298, 1300, 1315-1318, 1400-1405, 1410-1412, 1417.1, 1418-1432, 1437, 1439, 1729, 1734, 38254 and 38255, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Specific reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§71023. Director.
Note     •     History

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

Authority cited: Sections 208, 1255, 1266, 1275, 1402 and 1426, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1222, 1229, 1250, 1251, 1251.5, 1252, 1253-1257, 1265, 1265.5, 1265.7, 1265.8, 1266-1270, 1275-1280, 1282, 1294-1298, 1300, 1315, 1316-1318, 1400-1405, 1410-1412, 1417.1, 1418-1432, 1437, 1439, 1729, 1734, 38254 and 38255, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Specific reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
4. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§71025. Disinfection.

Disinfection means the process employed to destroy harmful microorganisms but ordinarily not viruses and bacterial spores.
§71027. Distinct Part.

Distinct part means an identifiable unit accommodating beds and related facilities including but not limited to contiguous rooms, a wing, floor or building that is approved by the Department for a specific purpose.
§71029. Drug Administration.

Drug administration means the act in which a single dose of a prescribed drug or biological is given to a patient by an authorized person in accordance with all laws and regulations governing such acts. The complete act of administration entails removing an individual dose from a previously labeled container, including a unit dose container, verifying the dose with the prescriber's orders, giving the individual dose to the proper patient and promptly recording the time and dose given.
§71031. Drug Dispensing.

Drug dispensing means the act entailing the interpretation of an order for a drug or biological and, pursuant to that order, the proper selection, measuring, packaging, labeling and issuance of the drug or biological for a patient or for a service unit of the hospital.
§71033. Existing Hospital Building.

Existing hospital building means an extant structure intended for proper hospital use. This excludes physician offices contiguous with the hospital and independent of the hospital as far as ownership.
§71035. Governing Body.

Governing body means the person, persons, board of trustees, directors or other body in whom the authority and responsibility is vested for conduct of the hospital.
§71037. Guardian.

A guardian means a person appointed by the court to take care of the person or the property, or both, of a ward under Section 1400, et seq., of the Probate Code.
§71038. Intermediate Care Bed Classification.
Note     •     History

“Intermediate care bed classification” means beds designated for patients requiring skilled nursing and supportive care on less than a continuous basis.
NOTE

Authority cited: Sections 208 and 1250.1, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Certificate of Compliance filed 1-31-77 (Register 77, No. 6).
§71039. License.

License means a basic document issued by the Department permitting the operation of a hospital. This document constitutes the authority to receive patients and to perform the services included within the scope of these regulations and as specified on the hospital license.
§71040. License Category.
Note     •     History

(a) License category means any of the following categories:
(1) General acute care hospital.
(2) Acute psychiatric hospital.
(3) Skilled nursing facility.
(4) Intermediate care facility.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255 and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§71041. Licensee.

Licensee means the person, persons, firm, partnership, association, corporation, political subdivision of the State or other governmental agency within the State to whom a license has been issued.
§71043. Maintenance.

Maintenance means the upkeep of a building and equipment to preserve the original functional and operational state.
§71044. Modernization. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255 and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§71045. New Construction.

(a) New construction means any of the following:
(1) New buildings.
(2) Additions to existing buildings.
(3) Conversion of existing buildings or portions thereof not currently licensed as a hospital.
§71047. Nursing Unit.

Nursing unit means a designated patient care area of the hospital which is planned, organized, operated and maintained to function as a unit. It includes bedrooms with adequate supporting facilities, services and personnel providing nursing care and necessary management of patients.
§71049. Outpatient Service.

An outpatient service means an organizational unit of the hospital which provides nonemergency health care services to patients.
§71051. Patient.

(a) Patient means a person who is receiving diagnostic or preventive health services or who is under observation or treatment for illness or injury or care during and after pregnancy.
(1) Inpatient. An inpatient means a person who has been formally admitted for observation, diagnosis or treatment and who is expected to remain overnight or longer.
(2) Outpatient. An outpatient means a person who has been registered or accepted for care but not formally admitted as an inpatient and who does not remain over 24 hours.
(3) Ambulatory. Ambulatory means a patient who is capable of demonstrating the mental competence and physical ability to leave a building without assistance or supervision of any person under emergency conditions.
(4) Nonambulatory. Nonambulatory means a patient who is unable to leave a building unassisted under emergency conditions. It includes, but is not limited to, those persons who depend upon mechanical aids such 
as crutches, walkers or wheelchairs, profoundly or severely mentally retarded persons and shall include totally deaf persons.
§71052. Permanently Converted.
Note     •     History

Permanently converted means space which is not available for patient accommodation because the facility has converted the patient accommodation space to some other use and such space could not be reconverted to patient accommodation within 24 hours.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255 and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§71053. Personnel.
Note     •     History

(a) Unless otherwise specified in this chapter, the following definitions shall apply to health care personnel:
(1) Accredited Record Technician.
Accredited record technician means a person who is accredited by the American Medical Record Association.
(2) Administrator. Administrator means the individual who is appointed by the governing body to act in its behalf in the overall management of the hospital.
(3) Art Therapist. Art therapist means a person who has a master's degree in art therapy or in art with emphasis in art therapy, including an approved clinical internship from an accredited college or university; or a person who is registered or eligible for registration with the American Art Therapy Association.
(4) Consultant. Consultant means a person who is professionally qualified to provide expert information on a particular subject.
(5) Dance Therapist. Dance therapist means a person who is registered or eligible for registration as a dance therapist registered by the American Dance Therapy Association.
(6) Dietitian. Dietitian means a person who is registered or eligible by registration as a registered dietitian by the American Dietetic Association.
(7) Licensed Psychiatric Technician. Licensed psychiatric technician means a person who is licensed as a licensed psychiatric technician by the Board of Vocational Nurse and Psychiatric Technician Examiners.
(8) Licensed Vocational Nurse. Licensed vocational nurse means a person who is licensed as a licensed vocational nurse by the Board of Vocational Nurse and Psychiatric Technician Examiners.
(9) Mental Health Worker. Mental health worker means an unlicensed person who through experience, in-service training or formal education is qualified to participate in the care of the psychiatric patient.
(10) Music Therapist. Music therapist means a person who is registered or eligible for registration as a registered music therapist by the National Association for Music Therapy.
(11) Occupational Therapist. Occupational therapist means a person who is certified or eligible for certification as an occupational therapist registered by the American Occupational Therapy Association.
(12) Occupational Therapy Assistant. Occupational therapy assistant means a person who is certified or eligible for certification as a certified occupational therapy assistant by the American Occupational Therapy Association.
(13) Pharmacist. Pharmacist means a person who is licensed as a pharmacist by the Board of Pharmacy.
(14) Physician. Physician means a person licensed as a physician and surgeon by the Board of Medical Examiners or by the Board of Osteopathic Examiners.
(15) Psychologist. Psychologist means a person who is licensed as a psychologist by the Board of Psychology.
(16) Psychiatrist. Psychiatrist means a person who is licensed as a physician and surgeon by the Board of Medical Examiners or the Board of Osteopathic Examiners and who has specialized training and/or experience in psychiatry.
(17) Recreation Therapist. Recreation therapist means a person who is certified or eligible for certification as a registered recreator with specialization in therapeutic recreation by the California Board of Park and Recreation personnel or the National Therapeutic Recreation Society.
(18) Registered Nurse. Registered nurse means a person who is licensed by the Board of Registered Nursing.
(19) Registered Record Administrator. Registered record administrator means a person who is registered or eligible for registration as a registered record administrator by the American Medical Record Association.
(20) Social Worker. Social worker means a person who is licensed as a clinical social worker by the Board of Behavioral Science Examiners.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (a)(13) and adding new Note filed 6-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 24).
2. Amendment of subsection (a)(15) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§71054. Registered Domestic Partner.
Note     •     History

Registered domestic partner shall have the same meaning as defined in Family Code Sections 297 and 297.5.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting section filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§71055. Restraint.

Restraint means controlling a patient's physical activity in order to protect the patient or others from injury by seclusion, medication or mechanical devices.
§71056. Skilled Nursing Care Bed Classification.
Note     •     History

“Skilled nursing care bed classification” means beds designated for patients requiring skilled nursing care on a continuous and extended basis.
NOTE

Authority cited: Sections 208 and 1250.1, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Certificate of Compliance filed 1-31-77 (Register 77, No. 6).
§71057. Sterilization.

Sterilization means a process employed to destroy all living organisms.
§71059. Supervision.

(a) Supervision means to instruct an employee or subordinate in his duties and to oversee or direct his work but does not necessarily require the immediate presence of the supervisor.
(b) Direct supervision means that the supervisor shall be present in the same building as the person being supervised and available for consultation and/or assistance.
(c) Immediate supervision means that the supervisor shall be physically present while a task is being performed.
§71061. Supplemental Service.

Supplemental service means an organized inpatient or outpatient service which is not required to be provided by law or regulation.
§71063. Unit Dose Medication System.

Unit dose medication system means a system in which single dosage units of drugs are prepackaged and prelabeled in accordance with all applicable laws and regulations governing these practices. The system shall also comprise, but not be limited to, all equipment and appropriate records necessary and used in making the dose available to the patient accurately and safely. A pharmacist shall be in charge and responsible for the system. 
Article 2. License
§71101. Inspection of Hospitals.

(a) The Department shall inspect and license hospitals.
(b) Any officer, employee or agent of the Department may, upon presentation of proper identification, enter and inspect any building or premise at any reasonable time to secure compliance with, or to prevent a violation of, any provision of these regulations.
(c) All hospitals for which a license has been issued shall be inspected periodically by a representative or representatives appointed by the Department. Inspections shall be conducted as frequently as necessary, but not less than once every two years, to assure that quality care is being provided. During the inspection, the representative or representatives of the Department shall offer such advice and assistance to the hospital as is appropriate. For hospitals of 100 licensed bed capacity or more, the inspection team shall include at least a physician, registered nurse and persons experienced in hospital administration and sanitary inspections.
(d) The Department may provide consulting services upon request to any hospital to assist in the identification or correction of deficiencies or the upgrading of the quality of care provided by the hospital.
(e) The Department shall notify the hospital of all deficiencies of compliance with these regulations and the hospital shall agree with the Department upon a plan of corrections which shall give the hospital a reasonable time to correct such deficiencies. If at the end of the allotted time, as revealed by repeat inspection, the hospital has failed to correct the deficiencies, the Director may take action to revoke or suspend the license.
(f) Reports on the results of each inspection of a hospital shall be prepared by the inspector or inspection team and shall be kept on file in the Department along with the plan of correction and hospital comments. The inspection report may include a recommendation for reinspection. All inspection reports, lists of deficiencies and plans of correction shall be open to public inspection without regard to which body performs the inspection.
(g) The Department shall have the authority to contract for outside personnel to perform inspections of hospitals as the need arises. The Department, when feasible, shall contract with nonprofit, professional organizations which have demonstrated the ability to carry out the provisions of this section. Such organizations shall include, but not be limited to, the California Medical Association Committee on Medical Staff Surveys and participants in the Consolidated Hospital Survey Program.
§71103. License Required.

(a) No person, firm, partnership, association, corporation, political subdivision of the State or other governmental agency shall establish, operate or maintain a hospital, or hold out, represent or advertise by any means that it operates a hospital without first obtaining a license from the Department.
(b) The provisions of this article do not apply to any facility conducted by and for the adherents of any well recognized church or religious denomination for the purpose of providing facilities for the care or treatment of the sick who depend upon prayer or spiritual means for healing in the practice of the religion of such church or denomination.
§71105. Application Required.
History

(a) A verified application shall be forwarded to the Department whenever any of the following circumstances occur:
(1) Construction of a new or replacement facility or addition to an existing facility.
(2) Increase or decrease of licensed bed capacity.
(3) Added service or change from one service to another.
(4) Change of ownership.
(5) Change of name of hospital.
(6) Change of license category.
(7) Change of location of the hospital.
(8) Change of bed classification.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§71107. Content of Application.
History

(a) Any person, firm, partnership, association, corporation, political subdivision of the State, state agency or other governmental agency desiring to obtain a license shall file with the Department an application on forms furnished by the Department. The application shall contain the following:
(1) Name of applicant, and if an individual, verification that the applicant has attained the age of 18 years.
(2) Type of facility to be operated and types of services for which approval is requested.
(3) Location of the hospital.
(4) Name of person in charge of the hospital.
(5) If the applicant is an individual, satisfactory evidence that the applicant is of reputable and responsible character.
(6) If applicant is a firm, association, organization, partnership, business trust, corporation or company, satisfactory evidence that the members or shareholders thereof and the person in charge of the hospital for which application for license is made are of reputable and responsible character.
(7) If the applicant is a political subdivision of the State or other governmental agency, satisfactory evidence that the person in charge of the hospital for which application for license is made is of reputable and responsible character.
(8) If the applicant is a partnership, the name and principal business address of each partner.
(9) If the applicant is a corporation, the name and principal business address of each officer and director of the corporation; and for nonpublic corporations the name and business address of each stockholder owning five percent or more of the stock and any corporate member who has responsibility in the operation of the hospital.
(10) Copy of the current organizational chart.
(11) Certificate of Need or a Certificate of Exemption from the Department if required by Chapter 1, Division 1, Division 7 of this title.
(12) Such other information or documents as may be required by the Department for the proper administration and enforcement of the licensing law and requirements.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment of subsection (a)(11) filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22).
§71109. Architectural Plans.

Applications submitted for proposed construction of new hospitals or additions to licensed hospitals shall include architectural plans and specifications. Information contained in such applications shall be on file in the Department and available to interested individuals and community agencies.
§71110. Fee.
Note     •     History

(a) Each application for a license shall be accompanied by the prescribed fee as authorized by Health and Safety Code, section 1266.
(b) No fee shall be refunded to the applicant if the application is withdrawn or if the application is denied by the Department.
(c) An additional fee of $25.00 shall be paid for processing any change of name. However, no additional fee shall be charged for any change of name, which is processed upon a renewal application or upon an application filed because of a change of ownership.
(d) Fees for licenses which cover periods in excess of 12 months shall be prorated on the basis of the number of months to be licensed divided by 12 months.
(e) Fees shall be waived for any facility conducted, maintained or operated by this state or any state department, authority, bureau, commission or officer or by the Regents of the University of California or by a local hospital district, city or county.
NOTE

Authority cited: Sections 1266, 1275 and 131200, Health and Safety Code. Reference: Sections 1266, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 1-30-80; effective thirtieth day thereafter (Register 80, No. 5).
2. Editorial correction of subsection (b) (Register 2009, No. 12).
3. Change without regulatory effect amending subsection (a), repealing subsection (b), relettering subsections and amending newly designated subsection (b) and Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§71111. Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1275, and 1729, Health and Safety Code. Reference: Sections 1266 and 1729, Health and Safety Code.
HISTORY

1. Amendment of subsections (a), (b), and (c) filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
2. Amendment of subsections (a), (b), and (c) filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2).
3. Amendment filed 11-8-78; effective thirtieth day thereafter (Register 78, No. 45).
4. Amendment of subsections (a), (b), (c), and (f) filed 5-2-79; effective thirtieth day thereafter (Register 79, No. 18).
5. Change without regulatory effect repealing section filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§71113. Projects Requiring a Certificate of Need. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255 and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§71113.1. Projects Eligible for a Certificate of Exemption. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255 and 1268. Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§71113.2. Projects Not Subject to Review by a Voluntary Area Health Planning Agency. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255 and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§71113.3. Projects Previously Decided by a Voluntary Area Health Planning Agency. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255 and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§71113.4. Exemption Requests for Remodeling and Replacement Projects. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255 and 1268, Health and Safety Cod. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§71115. Safety, Zoning and Building Clearance.

(a) Architectural plans shall not be approved and a license shall not be originally issued to any hospital which does not conform to: the regulations in this chapter; state requirements on seismic safety, fire and life safety and environmental impact and local fire safety, zoning and building ordinances. Evidence of such compliance shall be presented in writing to the Department.
(b) It shall be the responsibility of the licensee to maintain the hospital in a safe structural condition. If the Department determines that an evaluation of the structural condition of a hospital building is necessary, the licensee may be required to submit a report by a licensed structural engineer which shall establish a basis for eliminating or correcting the structural conditions which may be hazardous to occupants.
§71117. Issuance, Expiration and Renewal.
History

(a) Upon verification of compliance with the licensing requirements, the Department shall issue the applicant a license.
(b) If the applicant is not in compliance with the laws or regulations, the Department shall deny the applicant a license and shall immediately notify the applicant in writing. Within 20 days of receipt of the Department's notice, the applicant may present his written petition for a hearing to the Department. The Department shall set the matter for hearing within 30 days after receipt of the petition in proper form.
(c) Each initial license shall expire at midnight, one year from the date of issue. A renewal license:
(1) May be issued for a period not to exceed two years if the holder of the license has been found not to have been in violation of any statutory requirements, regulations or standards during the preceding license period.
(2) Shall reflect the number of beds that meet construction and operational requirements and shall not include beds formerly located in patient accommodation space which has been permanently converted.
(3) Shall not be issued if the hospital is liable for and has not paid the special fees required by Section 90417, Chapter 1, Division 7, of this Title.
(d) The Department shall mail an application for renewal of license form to the licensee at least 45 days prior to expiration of a license. Application for renewal, accompanied by the necessary fees, shall be filed with the Department annually not less than ten days prior to the expiration date. Failure to make a timely renewal shall result in expiration of the license.
HISTORY

1. Amendment of subsection (c) filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11). (Next page is 1964.3)
§71119. Separate Licenses.

Separate licenses shall be required for hospitals which are maintained on separate premises even though they are under the same management. This does not apply to outpatient departments or clinics of hospitals designated as such which are maintained and operated on separate premises. Separate licenses shall not be required for separate buildings on the same grounds or adjacent grounds.
§71121. Posting.

The license, or a true copy thereof, shall be posted conspicuously in a prominent location within the licensed premises and accessible to public view.
§71123. Transferability.

Licenses are not transferable. The licensee shall notify the Department in writing at least 30 days prior to the effective date of any change of ownership. A new application for license shall be submitted by the prospective new owner.
§71124. Bed Classification.
Note     •     History

(a) Each hospital shall notify the Department on forms supplied by the Department of bed classifications as defined in Sections 71004, 71038 and 71056 within 30 days of the effective date of this section. For hospitals not reporting within the 30-day period, the Department will classify the beds based on the latest information in the Department files.
(b) After the above notification has been received by the Department or the Department has reclassified the beds, no further reclassification of beds shall take place until on or after January 1, 1977.
NOTE

Authority cited: Sections 208 and 1250.1, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Certificate of Compliance filed 1-31-77 (Register 77, No. 6).
§71125. Report of Changes.

(a) The licensee shall notify the Department in writing any time a change of stockholder owning ten percent or more of the nonpublic corporate stock occurs. Such writing shall include the name and principal mailing address of the new stockholder(s).
(b) Each licensee shall notify the Department in writing within ten days prior to any change of the mailing address of the licensee. Such writing shall include the new mailing address of the licensee.
(c) Any change in the principal officer shall be reported in writing within ten days by the licensee to the Department. Such writing shall include the name and principal business address of such officer.
§71127. Program Flexibility.

(a) All hospitals shall maintain continuous compliance with the licensing requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects provided such exceptions are carried out with the provisions for safe and adequate care and with the prior written approval of the Department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request plus supporting evidence shall be submitted by the applicant or licensee to the Department.
(b) Special exceptions may be granted under this section for hospitals required to provide services and accommodations for persons who may have dangerous propensities necessitating special precautions, personnel with special qualifications, locked accommodations, special protection for windows, type and location of lighting and plumbing fixtures, signal systems, control switches, beds and other furnishing. This applies to psychiatric units and detention facilities where added protection is necessary for patients, staff members and members of the public.
(c) Any approval of the Department granted under this section, or a true copy thereof, shall be posted immediately adjacent to the facility's license that is required to be posted by Section 71121.
§71129. Voluntary Suspension of License or Licensed Beds.

(a) Upon written request, a licensee may request that his license or licensed beds be put in suspense. The Department may approve the request for a period not to exceed 12 months.
(b) Any license or portion thereof which has been temporarily suspended by the Department pursuant to this section shall remain subject to all renewal requirements of an active license, including the payment of license renewal fees, during the period of temporary suspension.
(c) Any license suspended pursuant to this section may be reinstated by the Department within 12 months of the date of suspension upon receipt of an application and evidence showing compliance with licensing operational requirements in effect at the time of reinstatement. If the license is not reinstated within the 12-month period, the license shall expire automatically and shall not be subject to reinstatement.
§71131. Voluntary Cancellation of License.

(a) The licensee shall notify the Department in writing as soon as possible and in all cases at least 30 days prior to the desired effective date of cancellation of the license.
(b) Any license voluntarily cancelled pursuant to this section may be reinstated by the Department on receipt of an application along with evidence showing compliance with operational licensing requirements.
§71133. Revocation or Involuntary Suspension of License.
Note     •     History

(a) Pursuant to provisions of Chapter 5 (commencing with Section 11500), Part I, Division 3, Title 2, Government Code, the Department may suspend or revoke any license issued under the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, upon any of the following grounds.
(1) Violation by the licensee of any of the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or the regulations promulgated by the Department.
(2) Aiding, abetting or permitting the violation of any provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or the regulations promulgated by the Department.
(3) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the maintenance and operation of the premises or services for which a license is issued.
(b) The license of any hospital against which special fees are required by Section 90417, Chapter 1, Division 7, of this Title shall be revoked, after notice of hearing, if it is determined by the Department that the fees required were not paid within the time prescribed.
(c) The Director may temporarily suspend any license prior to any hearing when, in his opinion, such action is necessary to protect the public welfare.
(1) The Director shall notify the licensee of the temporary suspension and the effective date thereof and at the same time shall serve such licensee with an accusation.
(2) Upon receipt of a notice of defense by the licensee, the Director shall set the matter for hearing within 15 days. The hearing shall be held as soon as possible but no later than 30 days after receipt of such notice.
(3) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination.
(4) If the Director fails to make a final determination within 60 days after the original hearing has been completed, the temporary suspension shall be deemed vacated.
(5) If the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or the regulations promulgated by the Director are violated by a licensee which is a group, corporation or other association, the Director may suspend the license of such organization or may suspend the license as to any individual person within such organization who is responsible for such violation.
(d) The withdrawal of an application for a license shall not deprive the Department of its authority to institute or continue a proceeding against the applicant for the denial of the license upon any ground provided by law or to enter an order denying the license upon any such ground, unless the Department consents in writing to such withdrawal.
(e) The suspension, expiration, or forfeiture of a license issued by the Department shall not deprive the Department of its authority to institute or continue a proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking a license or otherwise taking disciplinary action against the licensee on any such ground.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1296, Health and Safety Code.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment of subsection (c)(2) filed 7-25-79; effective thirtieth day thereafter (Register 79, No. 30).
§71134. Conviction of Crime: Standards for Evaluating Rehabilitation.
Note     •     History

When considering the denial, suspension or revocation of a license based on the conviction of a crime in accordance with Section 1265.1 or 1294 of the Health and Safety Code, the following criteria shall be considered in evaluating rehabilitation:
(1) The nature and the seriousness of the crime(s) under consideration.
(2) Evidence of conduct subsequent to the crime which suggests responsible or irresponsible character.
(3) The time which has elapsed since commission of the crime(s) or conduct referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanction lawfully imposed against the applicant.
(5) Any rehabilitation evidence submitted by the applicant.
NOTE

Authority cited: Sections 208(a), 1265.2 and 1275, Health and Safety Code. Reference: Sections 1265.1, 1265.2 and 1294, Health and Safety Code.
HISTORY

1. New section filed 9-13-84; effective thirtieth day thereafter (Register 84, No. 37).
§71135. Bonds.

(a) Each licensee shall file or have on file with the Department a bond issued by a surety company admitted to do business in this State if the licensee is handling or will handle money in the amount of $25 or more per patient or $500 or more for all patients in any month.
(1) The amount of the bond shall be according to the following schedule:

Amount Handled 	Bond Required
$750 or less 	 $1,000  
$751 to $1,500 	 $2,000  
$1,501 to $2,500 	 $3,000  
(2) Every further increment of $1,000 or fraction thereof shall require an additional $1,000 on the bond.
(b) Each application for an original license or renewal of license shall be accompanied by an affidavit on a form provided by the Department. The affidavit shall state whether the licensee handles or will handle money of patients and the maximum amount of money to be handled for any patient and for all patients in any month.
(c) No licensee shall either handle money of a patient or handle amounts greater than those stated in the affidavit submitted by him without first notifying the Department and filing a new or revised bond if required.
Article 3. Basic Services
§71201. Medical Service Definition.
Note     •     History

Medical service means those medically and professionally directed services for the diagnosis, therapeutic management and treatment of mentally disordered patients. For purposes of these regulations, “mental disorder” is defined as any psychiatric illness or disease, whether functional or of organic origin.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§71203. Medical Service General Requirements.
Note     •     History

(a) The medical service shall consist of the following organized and staffed elements:
(1) Psychiatric component.
(A) Psychiatrists or clinical psychologists within the scope of their licensure and subject to the rules of the facility, shall be responsible for the diagnostic formulation for their patients and the development and implementation of each patient's treatment plan.
(B) A psychiatrist shall be available at all times for psychiatric emergencies.
(2) General medicine component.
(A) All incidental medical services necessary for the care and support of patients shall be provided by in-house staff or through the use of outside resources in accordance with Section 71513 of these regulations.
(B) Incidental medical services include but are not limited to:
1. General medicine and surgery.
2. Dental.
3. Radiological.
4. Laboratory.
5. Anesthesia.
6. Podiatry.
7. Physical therapy.
8. Speech pathology.
9. Audiology.
(3) Psychological component.
(A) Psychological service shall be provided by clinical psychologists within the scope of his/her licensure and subject to the provisions of Section 1316.5 of the Health and Safety Code.
(B) Staff physicians shall assume responsibility for those aspects of patient care which may be provided only by physicians.
(4) Social service component.
(A) Social service shall be provided by social workers under the direction of the medical staff.
(b) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff, where such is appropriate. Policies and procedures shall be consistent with Sections 1316 and 1316.5 of the Health and Safety Code.
(c) The responsibility and the accountability of the medical service to the medical staff and administration shall be defined.
(d) An appropriate committee of the medical service shall:
(1) Identify and recommend to administration the equipment and supplies necessary for coping with emergency medical problems.
(2) Develop a plan for handling and/or referral of patients with emergency medical problems.
(3) Determine the circumstances under which electroconvulsive therapy may be administered.
(4) Develop guidelines for the administration of drugs when given in unusually high dosages or when given for purposes other than those for which the drug is customarily used.
(e) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Amendment filed 11-1-85 as an emergency; effective upon filing (Register 85, No. 44). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-3-86.
3. Certificate of Compliance transmitted to OAL 2-28-86 and filed 3-26-86 (Register 86, No. 13).
4. Change without regulatory effect repealing subsection (a)(3)(B), relettering and amending former subsection (a)(3)(C) to (a)(3)(B) and amending Note filed 3-24-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 12).
5. Change without regulatory effect adding subsection (a)(3)(B), relettering subsections and amending newly designated subsection (a)(3)(C) and Note filed 4-20-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
6. Repealer of subsection (a)(3)(B), subsection relettering, amendment of newly designated subsection (a)(3)(B) and subsection (b) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§71205. Medical Service Staff.
Note     •     History

(a) A physician shall have overall responsibility for the medical service.
(b) Psychiatric component.
(1) A psychiatrist shall coordinate the psychiatric services provided.
(2) There shall be sufficient psychiatrists on the staff to meet the needs of the patients.
(c) General medical component.
(1) A physician shall coordinate the general medical component.
(2) This physician shall have training and/or experience sufficient to coordinate the incidental medical services.
(d) Psychological component.
(1) One or more clinical psychologists shall be available on a full-time, regular part-time or consulting basis.
(e) Social service component.
(1) One or more social workers shall be employed on a full-time, regular part-time or consulting basis.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (d)(1) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§71207. Medical Service Equipment and Supplies.

There shall be adequate equipment and supplies maintained related to the nature of the needs and the services offered.
§71209. Medical Service Space.

There shall be adequate space maintained to meet the needs of the service.
§71211. Psychiatric Nursing Service Definition.

Psychiatric nursing service means the performance of those services directed toward meeting the objectives of an individual planned therapeutic program supervised and coordinated by a registered nurse in conjunction with the treatment plan, nursing care and other health professional care.
§71213. Psychiatric Nursing Service General Requirements.

(a) Written policies and procedures shall be developed and maintained by the director of nursing in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The responsibility and the accountability of the nursing service to the medical staff and hospital administration shall be defined.
(c) There shall be a written organized staff education program which shall include orientation and in-service education and training.
(1) There shall be written objectives, plans for implementation and an evaluation mechanism.
(d) There shall be a written patient care plan developed for each patient in coordination with the total mental health team. This plan shall include goals, problems/needs and approach and shall be available to all members of the mental health team.
(e) There shall be a written nursing audit procedure and evidence that audit procedures are in effect.
(f) There shall be a method for determining staffing requirements based on assessment of patient needs. This assessment shall take into consideration at least the following:
(1) The ability of the patient to care for himself.
(2) His degree of illness.
(3) Requirements for special nursing activities.
(4) Skill level of personnel required in his care.
(5) Placement of the patient in the nursing unit.
(g) There shall be documentation of the methodology used in making staffing determinations. Such documentation shall be part of the records of the nursing service and be available for review.
(h) There shall be a written staffing pattern which shall show:
(1) Total numbers of staff including full-time and full-time equivalents.
(2) The available nursing care hours for each nursing unit.
(3) The categories of staff available for patient care.
(i) There shall be a record retained for six months of the written staffing pattern available for review by the Department at any given time.
§71215. Psychiatric Nursing Service Staff.

(a) The psychiatric nursing service shall be under the direction of a registered nurse who shall meet at least the following qualifications:
(1) Master's degree in psychiatric nursing or related field with experience in administration; or
(2) Baccalaureate degree in nursing or related field with experience in psychiatric nursing and two years of experience in nursing administration; or
(3) Four years of experience in nursing administration or supervision and with experience in psychiatric nursing.
(b) The director of nurses shall not be designated to serve as charge nurse.
(c) Sufficient registered nursing personnel shall be provided to:
(1) Assist the director of nurses for evening and night services and when necessary for day services.
(2) Give direct nursing care based on patient need.
(3) Have a registered nurse on duty at all times.
(4) Plan, supervise and coordinate care given by licensed vocational nurses, licensed psychiatric technicians and other mental health workers.
(d) Each nursing unit shall have a registered nurse, licensed vocational nurse or licensed psychiatric technician on duty at all times.
(e) Licensed vocational nurses and licensed psychiatric technicians may be utilized as needed to assist registered nurses in ratios appropriate to patient needs.
(f) Mental health workers may be utilized as needed to assist with nursing procedures.
§71217. Psychiatric Nursing Service Equipment and Supplies.

There shall be adequate and appropriate equipment and supplies related to the scope and nature of the needs anticipated and the services offered.
§71219. Psychiatric Nursing Service Space.

Office space shall be provided for the director of nurses.
§71221. Psychiatric Rehabilitative Activities Service Definition.

Psychiatric rehabilitative activities service means that rehabilitative service medically prescribed, professionally directed and supervised, to evaluate and treat the patient. Therapists as used in Section 71221 through 71229 may include occupational, music, art, dance and recreation therapists.
§71223. Psychiatric Rehabilitative Activities Service General Requirements.

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(b) The policies and procedures shall include but not be limited to:
(1) Treatment goals and objectives.
(2) Scope of service.
(3) Standards of practice.
(4) Arrangements for continuity of care upon discharge.
(c) The responsibility and the accountability of the psychiatric rehabilitative activities service to the medical staff and administration shall be defined.
(d) Patients shall be evaluated and a treatment program shall be established and modified with the concurrence of the referring physician.
(e) Signed progress notes shall be entered into the patient's medical record by the therapist at least weekly. A summary note shall be written upon completion of the treatment program.
(f) Meetings and conferences with other members of the mental health team shall be held in order to plan, review and coordinate patient treatment programs.
(g) There shall be regularly scheduled in-service training for all levels of staff.
(h) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration.
§71225. Psychiatric Rehabilitative Activities Service Staff.

(a) A therapist shall have overall responsibility for the psychiatric rehabilitative activities service. This person shall have had at least two years' experience in the care of acute psychiatric patients.
(b) There shall be a sufficient number of therapists to carry out the scope of services offered. Nonprofessional assistants and volunteers shall work under the direct supervision of a therapist.
(c) A sufficient number of appropriate personnel shall be provided for the safety of the patients.
§71227. Psychiatric Rehabilitative Activities Service Equipment and Supplies.

(a) There shall be sufficient equipment and supplies appropriate to the needs of the psychiatric rehabilitative activities services offered. In addition, there shall be:
(1) A telephone.
(2) A handwashing sink in the treatment area.
(3) Drinking fountain.
(4) Toilet facilities.
§71229. Psychiatric Rehabilitative Activities Service Space.

(a) Adequate space shall be maintained for the necessary equipment to provide psychiatric rehabilitative activity services.
(b) There shall be indoor and outdoor patient areas provided.
(c) There shall be an activities room and a patient lounge separate from the patient's dining room.
(d) There shall be office space separate from the activities area.
(e) When outpatients are treated, there shall be a waiting area provided.
(f) Where children are accepted for treatment, space appropriate for children's use shall be provided.
§71231. Pharmaceutical Service Definition.

Pharmaceutical service means the procuring, manufacturing, compounding, dispensing, distributing, storing and administering of drugs, biologicals and chemicals by appropriate staff, which has adequate space, equipment and supplies. Pharmaceutical services also include the provision of drug information to other health professionals and patients.
§71233. Pharmaceutical Service General Requirements.
Note     •     History

(a) All hospitals having 100 beds or more shall have a pharmacy on the premises licensed by the California Board of Pharmacy. Those hospitals having less than 100 beds shall have a pharmacy license issued by the Board of Pharmacy pursuant to Section 4029 or 4056 of the Business and Professions Code.
(b) The responsibility and the accountability of the pharmaceutical service to the medical staff and administration shall be defined.
(c) A pharmacy and therapeutics committee shall be established. The committee shall consist of at least one physician, one pharmacist, the director of nursing service or her representative and the administrator or his representative.
(1) The committee shall develop written policies and procedures for establishment of safe and effective systems of procurement, storage, distribution, dispensing and use of drugs and chemicals. The pharmacist, in consultation with other appropriate health professionals and administration shall be responsible for the development and implementation of procedures. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(2) The committee shall be responsible for the development maintenance of a formulary of drugs for use throughout the hospital.
(d) There shall be a system maintained whereby no person other than a pharmacist or an individual under the direct supervision of a pharmacist shall dispense medications for use beyond the immediate needs of the patient.
(e) There shall be a system assuring the availability of prescribed medications 24 hours a day.
(f) Supplies of drugs for use in medical emergencies only shall be immediately available at each nursing unit or service area as required.
(1) Written policies and procedures establishing the contents of the supply, procedures for use, restocking and sealing of the emergency drug supply shall be developed.
(2) The emergency drug supply shall be stored in a clearly marked portable container which is sealed by the pharmacist in such a manner that a seal must be broken to gain access to the drugs. The contents of the container shall be listed on the outside cover and shall include the expiration earliest date or lot number of any drugs within.
(3) The supply shall be inspected by a pharmacist at periodic intervals specified in written policies. Such inspections shall occur no less frequently than every 30 days. Records of such inspections shall be kept for at least three years.
(g) No drugs shall be administered except by licensed personnel authorized to administer drugs and upon the order of a person legally authorized to prescribe. The order shall include the name of the drug, the dosage, the frequency of administration, the route of administration if other than oral, and the date, time and signature of the prescriber. Orders for drugs should be written by the prescriber. Verbal orders for drugs shall be given only to a registered nurse or licensed pharmacist by a person legally authorized to prescribe and shall be recorded promptly in the patient's medical record, noting the name of the person giving the verbal order and the signature of the individual receiving the order. The prescriber shall countersign the order within 48 hours.
(h) Standing orders for drugs may be used for specified patients when authorized by a person licensed to prescribe. These standing orders shall:
(1) Specify the circumstances under which the drug is to be administered.
(2) Specify the types of medical conditions of patients for whom the standing orders are intended.
(3) Be initially approved by the pharmacy and therapeutics committee or its equivalent and be reviewed at least annually by that committee.
(4) Be specific as to the drug, dosage, route and frequency of administration.
(5) A copy of standing orders for a specific patient shall be dated, promptly signed by the physician and included in the patient's medical record.
(i) An individual prescriber may notify the hospital in writing of his own standing orders, the use of which is subject to prior approval and periodic review by the pharmacy and therapeutics committee or its equivalent.
(j) The hospital shall develop policies limiting the duration of drug therapy in the absence of the prescriber's specific indication of duration of therapy or under other circumstances recommended by the pharmacy and therapeutics committee or its equivalent and approved by the executive committee of the medical staff. The limitations shall be established for classes of drugs and/or individual drug entities.
(k) If drugs are supplied through a pharmacy, orders for drugs shall be transmitted to the pharmacy either by written prescription of the prescriber, by an order form which produces a direct copy of the order or by an electronically reproduced facsimile. When drugs are not supplied through a pharmacy, such information shall be made available to the hospital pharmacist.
(l) No medications shall be left at the patient's bedside.
(m) Medications brought by or with the patient to the hospital shall not be administered to the patient unless all of the following conditions are met:
(1) The drugs have been ordered by the patient's attending physician and the order entered in the patient's medical record.
(2) The medication containers are clearly and properly labeled.
(3) The contents of the containers have been examined and positively identified, after arrival at the hospital, by the patient's physician or the hospital pharmacist.
(n) The hospital shall establish a supply of medications which is accessible without entering the pharmacy during hours when the pharmacist is not available. Access to the supply shall be limited to designated registered nurses. Records of drugs taken from the supply shall be maintained and the pharmacist shall be notified of such use. The records shall include the name and strength of the drug, the amount taken, the date and time, the name of the patient to whom the drug was administered and the signature of the registered nurse. The pharmacist shall be responsible for maintenance of the supply and assuring that all drugs are properly labeled and stored. The drug supply shall contain that type and quantity of drugs necessary to meet the immediate needs of patients as determined by the pharmacy and therapeutics committee.
(o) Investigational drug use shall be in accordance with applicable state and federal laws and regulations and policies adopted by the hospital. Such drugs shall be used only under the direct supervision of the principal investigator, who shall be a member of the medical staff and be responsible for assuring that informed consent is secured from the patient. Basic information concerning the dosage form, route of administration, strength, actions, uses, side effects, adverse effects, interactions and symptoms of toxicity of investigational drugs shall be available at the nursing station where such drugs are being administered and in the pharmacy. The pharmacist shall be responsible for the proper labeling, storage and distribution of such drugs pursuant to the written order of the investigator.
(p) No drugs supplied by the hospital shall be taken from the hospital unless a prescription or medical record order has been written for the medication and the medication has been properly labeled and prepared by the pharmacist in accordance with state and federal laws, for use outside of the hospital.
(q) Labeling and storage of drugs shall be accomplished to meet the following requirements:
(1) Individual patient medications may be returned to the pharmacy provided that lot control is maintained if the drugs are to be reissued.
(2) All drug labels must be legible and in compliance with state and federal requirements.
(3) All labeling of drugs shall be performed by one legally authorized to prescribe or dispense or under the supervision of a pharmacist.
(4) Test agents, germicides, disinfectants and other household substances shall be stored separately from drugs.
(5) External use drugs in liquid, tablet, capsule or powder form shall be segregated from drugs for internal use.
(6) Drugs shall be stored at appropriate temperatures. Refrigerator temperature shall be from 2.2oC (36oF) to 7.7oC (46oF) and room temperature shall be between 15oC (59oF) and 30oC (86oF).
(7) Drugs shall be stored in an orderly manner in well lighted cabinets, shelves, drawers or carts of sufficient size to prevent crowding.
(8) Drugs shall be accessible only to responsible personnel designated by the hospital.
(9) Drugs shall not be kept in stock after the expiration date on the label and no contaminated or deteriorated drug shall be available for use.
(10) Drugs maintained on the nursing unit shall be inspected at least monthly by a pharmacist. Any irregularities shall be reported to the director of nursing services and as required by hospital policy.
(11) Discontinued individual patient's drugs not supplied by the hospital may be sent home with the patient. Those which remain in the hospital after discharge that are not identified by a lot number shall be destroyed in the following manner:
(A) Drugs listed in Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970, as amended, shall be destroyed in the presence of two pharmacists or a pharmacist and a registered nurse employed by the hospital. The name of the patient, the name and strength of the drug, the prescription number, the amount destroyed, the date of destruction and the signatures of the witnesses required above shall be recorded in the patient's medical record or in a separate log. Such a log shall be retained for at least three years.
(B) Drugs not listed under Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970, as amended, shall be destroyed in the presence of pharmacist or registered nurse. The name of the patient, the name and strength of the drug, the prescription number if applicable, the amount destroyed, the date of destruction and the signatures of two witnesses shall be recorded in the patient's medical record or in a separate log. Such a log shall be retained for at least three years.
(r) The pharmacist shall develop and implement written quality control procedures for all drugs which are prepackaged or compounded in the hospital, including intravenous solution additives. He shall also develop and implement written quality control procedures for intravenous solution additives and shall establish a training program of physicians and registered nurses to assure compliance therewith.
(s) The pharmacist shall be consulted on proper methods for repackaging and labeling of bulk cleaning agents, solvents, chemicals and poisons used throughout the hospital.
(t) Periodically, an appropriate committee of the medical staff shall evaluate the services provided and make appropriate recommendations to the executive committee of the medical staff and administration
NOTE

Authority cited: Sections 1275 and 100275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (a) and adding new Note filed 6-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 24).
§71235. Pharmaceutical Service Staff.

A pharmacist shall have overall responsibility for the pharmaceutical service. He shall be responsible for the procurement, storage and distribution of all drugs as well as the development, coordination, supervision and review of pharmaceutical services in the hospital. Hospitals with a limited pharmacy permit shall employ a pharmacist on at least a consulting basis. Responsibilities shall be set forth in a job description or agreement between the pharmacist and the hospital. The pharmacist shall be responsible to the administrator and shall furnish him written reports and recommendations regarding the pharmaceutical services within the hospital. Such reports shall be provided no less often than quarterly.
§71237. Pharmaceutical Service Equipment and Supplies.

(a) There shall be adequate equipment and supplies for the provision of pharmaceutical service within the hospital.
(b) Reference materials containing monographs on all drugs in use in the hospital shall be available in each nursing unit. Such monographs must include information concerning generic and brand names, if applicable, available strengths and dosage forms and pharmacological data including indications, side effects, adverse effects and drug interactions.
§71239. Pharmaceutical Service Space.

(a) Adequate space shall be available at each nursing station for the storage of drugs and preparation of medication doses.
(b) All spaces and areas used for the storage of drugs shall be lockable.
§71241. Dietetic Service Definition.

Dietetic service means providing safe, satisfying and nutritionally adequate food for patients with appropriate staff, space, equipment and supplies.
§71243. Dietetic Service General Requirements

(a) The dietetic service shall provide food of the quality and quantity to meet the patient's need in accordance with physicians' orders and, to the extent medically possible, to meet the Recommended Daily Dietary Allowance, 1974 Edition, adopted by the Food and Nutrition Board of the National Research Council of the National Academy of Sciences, 2107 Constitution Avenue, Washington, DC 20418, and the following:
(1) Not less than three meals shall be served daily.
(2) Not more than 14 hours shall elapse between the evening meal and breakfast of the following day.
(3) Nourishment or between meal feedings shall be provided as required by the diet prescription and shall be offered to all patients unless counterordered by the physician.
(4) Patient food preferences shall be respected as much as possible and substitutes shall be offered through use of a selective menu or substitutes from appropriate food groups.
(5) Where desirable, table service should be provided for all who can and wish to eat at a table. Tables of appropriate height shall be provided for patients in wheelchairs.
(6) When food is provided by an outside commercial food service, all applicable requirements herein set forth shall be met. The hospital shall maintain adequate space, equipment and staple food supplies to provide patient food service in emergencies.
(b) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration. Policies shall be approved by the governing body. Procedures shall be approved by the administration and medical staff where such is appropriate.
(c) The responsibility and the accountability of the dietetic service to the medical staff and hospital administration shall be defined.
(d) A current diet manual approved by the dietitian and the medical staff shall be used as the basis for diet orders and for planning modified diets. Copies of the diet manual shall be available at each nursing station and in the dietetic service area.
(e) Therapeutic diets shall be provided as prescribed by the attending physician and shall be planned, prepared and served with supervision and/or consultation from the dietitian. Persons responsible for therapeutic diets shall have sufficient knowledge of food values to make appropriate substitutions when necessary.
(f) A current profile card shall be maintained for each patient indicating diet, likes, dislikes and other pertinent information concerning the patient's dietary needs.
(g) Menus.
(1) Menus for regular and routine modified diets shall be written at least one week in advance, dated and posted in the kitchen at least three days in advance.
(2) If any meal served varies from the planned menu, the change shall be noted in writing on the posted menu in the kitchen.
(3) Menus shall provide a variety of foods in adequate amounts at each meal.
(4) Menus shall be planned with consideration for cultural and religious background and the food habits of patients.
(5) A copy of the menu as served shall be kept on file for at least 30 days.
(6) Records of food purchased shall be kept available for one year.
(7) Standardized recipes, adjusted to appropriate yield, shall be maintained and used in food preparation.
(h) Food shall be prepared by methods which conserve nutritive value, flavor and appearance. Food shall be served attractively at appropriate temperatures and in a form to meet individual needs.
(i) Nutritional Care.
(1) Nutritional care shall be integrated in the patient care plan.
(2) Observations and information pertinent to dietetic treatment shall be recorded in patient's medical records by the dietitian.
(3) Pertinent dietary records shall be included in patient's transfer discharge record to ensure continuity of nutritional care.
(j) In-service training shall be provided for all dietetic service personnel and a record of subject areas covered, date and duration of each session, and attendance lists shall be maintained.
(k) Food Storage.
(1) Food storage areas shall be clean at all times.
(2) Dry or staple items shall be stored at least 30 cm (12 inches) above the floor, in a ventilated room, not subject to sewage or waste water backflow, or contamination by condensation, leakage, rodents or vermin.
(3) All readily perishable foods or beverages capable of supporting rapid and progressive growth f microorganisms which can cause food infections or food intoxication shall be maintained at temperatures of 7oC (45oF) or below, or at 60oC (140oF) or above, at all times except during necessary periods of preparation and service. Frozen food shall be stored at -18oC (0oF) or below.
(4) There shall be a reliable thermometer in each refrigerator and in storerooms used for perishable food.
(5) Pesticides, other toxic substances and drugs shall not be stored in the kitchen area or in storerooms for food and/or food preparation equipment and utensils.
(6) Soaps, detergents, cleaning compounds or similar substances shall not be stored in food storerooms or food storage areas.
(l) Sanitation.
(1) All kitchens and kitchen areas shall be kept clean, free from litter and rubbish and protected from rodents, roaches, flies or other insects.
(2) All utensils, counters, shelves and equipment shall be kept clean, maintained in good repair and shall be free from breaks, corrosions, open seams, cracks and chipped areas.
(3) Plasticware, china and glassware that is unsightly, unsanitary or hazardous because of chips, cracks or loss of glaze shall be discarded.
(4) Ice which is used in connection with food or drink shall be from a sanitary source and shall be handled and dispensed in a sanitary manner.
(5) Kitchen wastes that are not disposed of by mechanical means shall be kept in leakproof, nonabsorbent, tightly closed containers and shall be disposed of as frequently as necessary to prevent a nuisance or unsightliness.
(m) All utensils used for eating, drinking and in the preparation and serving of food and drink shall be cleaned and disinfected after each usage.
(1) Gross food particles shall be removed by scraping and prerinsing in running water.
(2) The utensils shall be thoroughly washed in hot water with a minimum temperature of 43oC (110oF), using soap or detergent, rinsed in hot water to remove soap or detergent and disinfected by one of the following methods or an equivalent method approved by the Department:
(A) Immersion for at least two minutes in clean water at 77oC (170oF).
(B) Immersion for at least 30 seconds in clean water at 82oC (180oF).
(C) Immersion in water containing bactericidal chemical as approved by the Department.
(3) After disinfection the utensils shall be allowed to drain and dry in racks or baskets on nonabsorbent surfaces. Drying cloths shall not be used.
(4) Results obtained with dishwashing machines shall be equal to those obtained by the methods outlined above and all dishwashing machines shall meet the requirements contained in Standard No. 3 as amended in April 1965 of the National Sanitation Foundation, P.O. Box 1468, Ann Arbor, MI 94106. 
§71245. Dietetic Service Staff.

(a) Registered dietitian shall be employed on a full--time, part--time or consulting basis. Part--time or consultant services shall be provided on the premises at appropriate times on a regularly scheduled basis and of sufficient duration and frequency to provide continuing liaison with medical and nursing staffs, advice to the administrator, patient counseling, guidance to the supervisor and staff of the dietetic service, approval of all menus and participation in development or revision of dietetic policies and procedures as in planning and conducting in--service education programs.
(b) If a registered dietitian is not employed full--time person who has completed a dietetic supervisor's training program meeting the requirements of Essentials of an Acceptable Program of Dietetic Assistant Education, revised June, 1974, by the American Dietetic Association, 430 North Michigan Avenue, Chicago, IL 60611, shall be employed to be responsible for the operation of the food service. This program or its equivalent shall be required on and after July 1, 1977.
(c) Sufficient dietetic service personnel shall be employed, oriented, trained and their working hours scheduled to provide for the nutritional needs of the patients and to maintain the dietetic service areas. If dietetic service employees are assigned duties in other service areas, those duties shall not interfere with the sanitation, safety or time required for dietetic work assignments.
(d) Current work schedules by job titles and weekly duty schedules shall be posted in the dietetic service area.
(e) A record shall be maintained of the number of persons by job title employed full or part-time in dietetic services and the number of hours each works weekly.
(f) Hygiene of Dietetic Staff.
(1) Dietetic service personnel shall be trained in basic food sanitation techniques, shall be clean, wear clean clothing, including a cap and/or a hair net and shall be excluded from duty when affected by skin infection or communicable diseases. Beards and mustaches which are not closely cropped and neatly trimmed shall be covered.
(2) Employees' street clothing stored in the kitchen shall be in a closed area.
(3) Kitchen sinks shall not be used for handwashing. Separate handwashing facilities with soap, running water and individual towels shall be provided.
(4) Persons other than dietetic personnel shall not be allowed in the kitchen area unless required to do so in the performance of their duties.
§71247. Dietetic Service Equipment and Supplies.

(a) Equipment of the type and in the amount necessary for the proper preparation, serving and storing of food and for proper dishwashing shall be provided and maintained in good working order.
(1) The dietetic service area shall be ventilated in a manner that will maintain comfortable working conditions, remove objectionable odors and fumes and prevent excessive condensation.
(2) Equipment necessary for preparation and maintenance of menus, records and references shall be provided.
(3) Fixed and mobile equipment in the dietetic service area shall be located to assure sanitary and safe operation and shall be of sufficient size to handle the needs of the hospital.
(b) Food Supplies.
(1) At least one week's supply of staple foods and at least two (2) days supply of perishable foods shall be maintained on the premises. Supplies shall be appropriate to meet the requirements of the menu.
(2) All food shall be of good quality and procured from sources approved or considered satisfactory by federal, state and local authorities. Food in unlabeled, rusty, leaking, dented or broken containers, or cans with side seam dents, rim dents or swells shall not be accepted or retained.
(3) Milk, milk products and products resembling milk shall be processed or manufactured in milk product plants meeting the requirements of Division 15 of the California Food and Agricultural Code.
(4) Milk may be served in individual containers, the cap or seal of which shall not be removed except in the presence of the patient. Milk may be served from a dispensing device which has been approved for such use. Milk served from an approved device shall be dispensed directly into the glass or other container from which the patient drinks.
(5) Catered foods and beverages from a source outside the hospital shall be prepared, packed, properly identified, stored and transported in compliance with these regulations and other applicable federal, state and local codes as determined by the Department.
(6) Food held in refrigerated or other storage areas shall be appropriately covered. Food which was prepared and not served shall be stored appropriately, clearly labeled and dated.
(7) Hermetically sealed foods or beverages served in the hospital shall have been processed in compliance with applicable federal, state and local codes.
§71249. Dietetic Service Space.

(a) Adequate space for the preparation and serving of food shall be provided. Equipment shall be placed so as to provide aisles of sufficient width to permit easy movement of personnel, mobile equipment and supplies.
(b) Well ventilated food storage areas of adequate size shall be provided.
(c) A minimum of 0.057 cubic meters (two cubic feet) of usable refrigerated space per bed shall be maintained for the storage of frozen and chilled foods.
(d) Adequate space shall be maintained to accommodate equipment, personnel and procedures necessary for proper cleaning and sanitizing of dishes and other utensils.
(e) Where employee dining space is provided, a minimum of 1.4 square meters (15 square feet) of floor area per person served, including serving area, shall be maintained.
(f) Office or other suitable space shall be provided for the dietitian or dietetic service supervisor for privacy in interviewing personnel, conducting other business related to dietetic service and for the preparation and maintenance of menus and other necessary reports and records.
Article 4. Supplemental Service Approval
§71301. Supplemental Service Approval Required.

(a) Any licensee desiring to establish or conduct, or who holds out, represents or advertises by any means, the provision of a supplemental service, shall obtain prior approval from the Department, or a special permit if required by Section 70401.
(b) The provisions of this Article shall apply only to any supplemental service for which a special permit is not required.
(c) Any licensee who offers a supplemental service for which approval is now required under these regulations, is authorized to continue furnishing such service without obtaining approval until the Department inspects and evaluates the quality of the service and determines whether such service meets the requirements for the service contained in these regulations. If the Department determines that the service meets such requirements, it shall notify the licensee in writing. If the Department determines that the service does not meet the requirements, it shall so notify the licensee of all deficiencies of compliance with these regulations and the hospital shall agree with the Department upon a plan of corrections which shall give the hospital a reasonable time to correct such deficiencies. If at the end of the allotted time, as revealed by repeat inspection, the hospital has failed to correct the deficiencies, the licensee shall cease and desist all holding out, advertising or otherwise representing that it furnishes such recognized service.
§71303. Application.

Any licensee desiring approval for a supplemental service shall file with the Department an application on forms furnished by the Department.
§71305. Issuance, Expiration and Renewal.

(a) The Department shall list on the hospital license each supplemental service for which approval is granted.
(b) If the applicant is not in compliance with the laws and regulations, the Department shall deny the applicant approval and shall immediately notify the applicant in writing. Within 20 days of receipt of the Department's notice, the applicant may present his written petition for a hearing to the Department. The Department shall set the matter for hearing within 30 days after receipt of the petition in proper form. The proceedings shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(c) Each supplemental service approval shall expire on the date of expiration of the hospital license. A renewal of the approval may be issued for a period not to exceed two years if the holder of the approval has been found not to have been in violation of any statutory requirements, regulations or standards during the preceding approval period.
§71307. Program Flexibility.

(a) All hospitals shall maintain continuous compliance with the supplemental service requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects provided such exceptions are carried out with the prior written approval of the Department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request plus supporting evidence shall be submitted by the applicant or licensee to the Department.
(b) Any approval granted by the Department pursuant to this Section, or a true copy thereof, shall be posted immediately adjacent to the facility's license required to be posted by Section 71121.
§71309. Revocation or Involuntary Suspension of Approval.

(a) Pursuant to provisions of Chapter 5 (commencing with Section 11500), Part I, Division 3, Government Code, the Department may suspend or revoke the approval of a supplemental service issued under the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, upon any of the following grounds:
(1) Violation by the licensee of any provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or of the supplemental service regulations promulgated by the Department.
(2) Aiding, abetting or permitting the violation of any provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or of any supplemental service regulations promulgated by the Department.
(3) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the maintenance and operation of a supplemental service.
(b) The Director may temporarily suspend any supplemental service approval prior to any hearing when, in his opinion, such action is necessary to protect the public welfare.
(1) The Director shall notify the licensee of the temporary suspension and the effective date thereof and at the same time shall serve such licensee with an accusation.
(2) Upon receipt of a notice of contest by the licensee, the Director shall set the matter for hearing within 30 days after receipt of such notice.
(3) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination.
(4) If the Director fails to make a final determination within 60 days after the original hearing has been completed, the temporary suspension shall be deemed vacated.
(5) If the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or the supplemental service regulations promulgated by the Director are violated by a licensee which is a group, corporation or other association, the Director may suspend the approval of such organization or may suspend the approval as to any individual person within such organization who is responsible for such violation.
(c) The withdrawal of an application for approval shall not deprive the Department of its authority to institute or continue a proceeding against the applicant for the denial of the approval upon any group provided by law or to enter an order denying the approval upon any such ground, unless the Department consents in writing to such withdrawal.
(d) The suspension, expiration or forfeiture of an approval issued by the Department shall not deprive the Department of its authority to institute or continue a proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking approval or otherwise taking disciplinary action against the licensee on any such ground.
(e) A licensee whose approval has been revoked or suspended may petition the Department for reinstatement or reduction of penalty after a period of not less than one year has elapsed from the effective date of the decision or from the date of the denial of a similar petition.
Article 5. Supplemental Services
§71401. Requirements for Supplemental Services.

When a supplemental service is provided, the requirements for that service in Article 3 and 6, Chapter 1, Division 5, Title 22, California Administrative Code, shall be met.
§71403. Types of Supplemental Services.

(a) Supplemental services include but are not limited to:
(1) Anesthesia Service.
(2) Clinical Laboratory Service.
(3) Intensive Care Service.
(4) Intermediate Care Service.
(5) Outpatient Service.
(6) Radiological Service.
(7) Skilled Nursing Service.
Article 6. Administration
§71501. Governing Body.
Note     •     History

(a) The governing body shall:
(1) Adopt written bylaws in accordance with legal requirements and its community responsibility which shall include but not be limited to provision for:
(A) Identification of the purposes of the hospital and the means of fulfilling them.
(B) Appointment and reappointment of members of the medical staff.
(C) Appointment and reappointment of one or more dentists, podiatrists, and/or clinical psychologists to the medical staff respectively when dental, podiatric, and/or clinical psychological services are provided.
(D) Formal organization of the medical staff with appropriate officers and bylaws.
(E) Membership on the medical staff which shall be restricted to physicians, dentists, podiatrists and clinical psychologists competent in their respective fields, worthy in character and in professional ethics. No hospital shall discriminate with respect to employment, staff privileges or the provision of professional services against a licensed clinical psychologist within the scope of his/her licensure, or against a licensed physician and surgeon or podiatrist on the basis of whether the physician and surgeon or podiatrist holds an M.D., D.O. or D.P.M. degree. Wherever staffing requirements for a service mandate that the physician responsible for the service be certified or eligible for certification by an appropriate American Medical Board, such position may be filled by an osteopathic physician who is certified or eligible for certification by the equivalent appropriate American Osteopathic Board.
(F) Self government by the medical staff with respect to the professional work performed in the hospital, regular and periodic meetings of the medical staff to review and analyze their clinical experience, and requirement that the medical records of the patients shall be the basis for such review and analysis.
(G) The preparation and maintenance of a complete and accurate medical record for each patient.
(2) Appoint an administrator whose qualifications, authority and duties shall be defined in a written statement adopted by the governing body. The Department shall be notified in writing whenever a change of administrator occurs.
(3) Provide appropriate physical resources and personnel required to meet the needs of the patients and shall participate in planning to meet the mental health needs of the community.
(4) Take all reasonable steps to conform to all applicable federal, state and local laws and regulations, including those relating to licensure, fire inspection and other safety measures.
(5) Provide for the control and use of the physical and financial resources of the hospital.
(6) Require that the medical staff establish controls that are designed to ensure the achievement and maintenance of high standards of professional ethical practices including provision that all members of the medical staff be required to demonstrate their ability to perform surgical and/or other procedures competently to the satisfaction of an appropriate committee or committees of the staff, at the time of original application for appointment to the staff and at least every two years thereafter.
(7) Assure that medical staff bylaws, rules and regulations are subject to governing body approval, which approval shall not be withheld unreasonably. These bylaws shall include an effective formal means for the medical staff, as a liaison, to participate in the development of all hospital policy.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Editorial correction of subsection (a)(6) filed 8-31-83; effective thirtieth day thereafter (Register 83, No. 36).
§71503. Organized Medical Staff.
Note     •     History

(a) Each hospital shall have an organized medical staff responsible to the governing body for the fitness, adequacy and quality of the care rendered to patients.
(b) Medical staff membership.
(1) The medical staff shall be composed of physicians and, where dental or podiatric services are provided, dentists or podiatrists.
(2) As required by section 1316.5 of the Health and Safety Code:
(A) Where clinical psychological services are provided by clinical psychologists, in a health facility owned and operated by the state, the facility shall establish rules and medical staff bylaws that include provisions for medical staff membership and clinical privileges for clinical psychologists within the scope of their licensure as psychologists.
(B) Where clinical psychological services are provided by clinical psychologists, in a health facility not owned or operated by this state, the facility may enable the appointment of clinical psychologists to the medical staff.
(c) The medical staff, by vote of the members and with the approval of the governing body, shall adopt written bylaws which provide formal procedures for the evaluation of staff applications and credentials, appointments, reappointments, assignment of clinical privileges, appeals mechanisms and such other subjects or conditions which the medical staff and governing body deem appropriate. The medical staff shall abide by and establish a means of enforcement of its bylaws. Medical staff by-laws, rules and regulations shall not deny or restrict, within the scope of their licensure, the voting rights of staff members or assign staff members to any special class or category of staff membership, based upon whether such staff members hold an M.D., D.O. or D.P.M. degree or clinical psychology license.
(d) The medical staff shall meet regularly. Minutes of each meeting shall be retained and filed at the hospital.
(e) The medical staff bylaws, rules, and regulations shall include, but shall not be limited to, provision for the performance of the following functions: executive review, credentialing, medical records, tissue review, utilization review, infection control, pharmacy and therapeutics, and assisting the medical staff members impaired by chemical dependency and/or mental illness to obtain necessary rehabilitation services. These functions may be performed by individual committees, or when appropriate, all functions or more than one function may be performed by a single committee. Reports of activities and recommendations relating to these functions shall be made to the executive committee and the governing body as frequently as necessary and at least quarterly.
(f) The medical staff shall provide in its bylaws, rules and regulations for appropriate practices and procedures to be observed in the various departments of the hospital. In this connection, the practice of division of fees, under any guise whatsoever, shall be prohibited and any such division of fees shall be cause for exclusion from the staff.
(g) The medical staff shall provide for availability of a staff physician or psychologist for emergencies among the in-hospital population in the event that the attending physician or psychologist or his or her alternate is not available.
(h) The medical staff shall participate in a continuing program of professional education. The results of retrospective medical care evaluation shall be used to determine the continuing education needs. Evidence of participation in such programs shall be available.
(i) The medical staff shall provide at least one physician to participate as a member of the hospital infection control committee.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1315, 1316, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Amendment of subsection (e) filed 10-3-88; operative 11-2-88 (Register 88, No. 41).
3. Amendment of subsections (a) and (b)(2), new subsections (b)(2)(A)-(B) and amendment of subsection (g) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§71505. Medical Staff, Residents, Interns and Students.
Note     •     History

(a) The hospital shall not permit any physician, dentist, podiatrist or clinical psychologist or any medical, dental, podiatric or clinical psychology resident, intern or student to perform any service for which a license, certificate of registration or other form of approval is required unless such person is licensed, registered, approved or is exempted therefrom under the provisions of the State Medical Practice Act, the State Dental Practice Act or the State Psychology Licensing Law and, further, unless such services are performed under the direct supervision of a licensed practitioner whenever so required by law.
(b) If patient care is provided by residents, interns and medical students, such care shall be in accordance with the provisions of a program approved by and in conformity with: the Council on Education of the American Medical Association, the American Osteopathic Association Board of Trustees through the Committee on postdoctoral training and the Bureau of Professional Education, the American Dental Association, the American Podiatry Association or the Education and Training Board of the American Psychological Association, and/or the residency training programs of the respective specialty boards.
(c) Except in an emergency, all other patient care by interns, house officers, residents or persons with equivalent titles, not provided as specified in subdivision (b) of this section, must be provided by a practitioner with a current license to practice in California.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§71507. Patients' Rights.
Note     •     History

(a) All patients shall have rights which include, but are not limited to the following:
(1) To wear his or her own clothes, to keep and use his or her own personal possessions including his or her toilet articles; and to keep and be allowed to spend a reasonable sum of his or her own money for canteen expenses and small purchases.
(2) To have access to individual storage space for his or her private use.
(3) To see visitors each day.
(4) To have reasonable access to telephones, both to make and receive confidential calls.
(5) To have ready access to letter writing materials, including stamps, and to mail and receive unopened correspondence.
(6) To refuse shock treatment.
(7) To refuse psychosurgery as defined in Section 5325, Welfare and Institutions Code.
(8) To be informed of the provisions of law regarding complaints and of procedures for registering complaints confidentially, including but not limited to, the address and telephone number of the complaint receiving unit of the Department.
(9) To be free from discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status.
(10) All other rights as provided by law or regulation.
(b) The licensed healthcare practitioner acting within the scope of his or her professional licensure who has overall responsibility for the service, or his or her designee, may for good cause, deny a person any of the rights specified in (a) above, except those rights specified in subsection (7) and (9) above and the rights under subsection (6) may be denied only under the conditions specified in Section 5326.7, Welfare and Institutions Code. The denial, and the reasons therefore, shall be entered in the patient's medical record.
(c) These rights, written in English and Spanish, shall be prominently posted.
(d) There shall be a procedure established whereby patient complaints are forwarded to hospital administration. Knowledge of this procedure shall be readily available to patients. The hospital administration shall, in all cases, acknowledge to the patient their receipt of his or her complaint. Additional follow-up of the complaint and response to the patient shall be handled as is appropriate.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (b) (Register 80, No. 40).
2. Amendment of subsection (b) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
3. Change without regulatory effect amending subsections (a)(1) and (a)(2), adopting subsection (a)(9), renumbering subsections and amending subsection (d) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§71508. Clinical Research.

Research projects involving human subjects shall have the prior approval of a broadly represented committee which shall assure maximum patient safety and understanding.
§71509. Emotional and Attitudinal Support.

Hospitals shall have a written plan for the provision of those components of total patient care that relate to the spiritual, emotional and attitudinal needs of the patient, patients' families and hospital personnel.
§71511. Education of Patients.

(a) Where patients of school age expected to remain in the hospital for 30 days or more, the local school district shall be contacted to arrange for education, wherever appropriate.
(b) A hospital may operate its own educational program for patients in the school age group in consultation and cooperation with the local school district.
§71513. Outside Resource.

If a hospital does not employ a qualified professional person to render a specific service to be provided by the hospital, there shall be arrangements for such a service through a written agreement with an outside resource which meets the standards and requirements of these regulations. The responsibilities, functions, and objectives, and the terms of agreement, including financial arrangements and charges, of each such outside resource shall be delineated in writing and signed by an authorized representative of the hospital and the person or the agency providing the service. The agreement shall specify that the hospital retains professional and administrative responsibility for the services rendered. The outside resource, when acting as a consultant, shall apprise the administrator of recommendations, plans for implementation and continuing assessment through dated, signed reports which shall be retained by the administrator for follow-up action and evaluation of performance.
§71515. Nondiscrimination Policies.
Note     •     History

(a) No hospital shall discriminate against any person based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status, except as provided herein. This provision shall apply to the appointment of the medical staff, hiring of hospital employees and the admission, housing or treatment of patients.
(b) Any bona fide nonprofit religious, fraternal or charitable organization, which can demonstrate to the satisfaction of the Department that its primary or substantial purpose is not to evade this section, may establish admission policies limiting or giving preference to its own members or adherents. Such policies shall not be construed as a violation of the first paragraph of this section. Any admission of nonmembers or nonadherents shall be subject to the first paragraph of this section.
(c) No hospital which permits sterilization operations for contraceptive purposes nor any member of its medical staff shall require of the patient any special nonmedical qualifications which are not imposed upon individuals seeking other types of operations. Prohibited nonmedical qualifications shall include, but not be limited to, age, marital status and number of natural children. This prohibition does not affect requirements relating to the physical or mental condition of the patient, physician counseling of the patient or existing law pertaining to individuals below the age of majority.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsections (a) and (b) and adopting Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§71517. Admission, Transfer and Discharge Policies.
Note     •     History

(a) Each hospital shall have written admission, transfer and discharge policies which encompass the types of diagnoses for which patients may be admitted, limitations imposed by law or licensure, staffing limitations, rules governing emergency admissions, policies concerning advance deposits, rates of charge for care, charges for extra services, terminations of services, refund policies, insurance agreements and other financial considerations, discharge of patients and other related functions.
(b) Patients shall be admitted only upon the order and under the care of a member of the medical staff of the hospital who is a licensed health care practitioner acting within the scope of his or her professional licensure. The patient's condition and provisional diagnosis shall be established at time of admission by the member of the medical staff who admits the patient subject to the rules and regulations of the hospital, and the provisions of Section 71505(a).
(c) Within 24 hours after admission or immediately before, every patient shall have a complete history and physical examination and psychiatric evaluation performed by persons lawfully authorized by their respective practice acts to perform such examinations providing the condition of the patient permits. Each patient shall have a complete psychological evaluation performed by a physician and surgeon or clinical psychologist consistent with the medical staff bylaws, and providing the condition of the patient permits.
(d) No mentally competent adult shall be detained in a hospital against his will. An emancipated minor shall not be detained in a hospital against his will. An unemancipated minor shall not be detained against the will of his parent or legal guardian. In those cases where law permits an unemancipated minor to contract for medical care without the consent of his parent or guardian, he shall not be detained in the hospital against his will. This provision shall not be construed to preclude or prohibit attempts to persuade a patient to remain in the hospital in his own interest, nor the temporary detention of a mentally disturbed patient for the protection of himself or others under the provisions of the Lanterman-Petris-Short Act (Welfare and Institutions Code, Section 5000 et seq.) if the hospital has been designated by the county as a treatment facility pursuant to said act, nor to prohibit a minor legally capable of contracting for medical care from assuming responsibility for his discharge. However, in no event shall a patient be detained solely for nonpayment of his hospital bill.
(e) No inpatient shall be transferred or discharged for purposes of effecting a transfer, from a hospital to another health facility, unless arrangements have been made in advance for admission to such health facility and the person legally responsible for the patient has been notified or attempts over a 24-hour period have been made and a responsible person cannot be reached. A transfer or discharge shall not be carried out if, in the opinion of the patient's licensed health care practitioner acting within his or her scope of  professional licensure, and based on his or her assessment of the patient's clinical condition, such transfer or discharge would create a hazard.
(f) A minor shall be discharged only to the custody of his or her parent or to his legal guardian or custodian, unless such parent or guardian shall otherwise direct in writing. This provision shall not be construed to preclude a minor legally capable of contracting for medical care from assuming responsibility for himself upon discharge.
(g) Each patient upon admission shall be provided with a wristband identification tag or other means of identification unless the patient's condition will not permit such identification. Minimum information shall include the name of the patient, hospital admission number and the name of the hospital.
(h) Involuntary admission to the hospital shall be in conformity with the provisions of the Lanterman-Petris-Short Act (Welfare and Institutions Code, Section 5000 et seq.).
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1315, 1316, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Change without regulatory effect amending subsections (b) and (e) and amending Note filed 3-24-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 12).
3. Change without regulatory effect amending subsections (b) and (e) and Note filed 4-20-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
4. Amendment of subsections (b) and (e) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§71519. Personnel Policies.

(a) Each hospital shall adopt written personnel policies concerning qualifications, responsibilities and conditions of employment for each type of personnel, which shall be available to all personnel. Such policies shall include but not be limited to:
(1) Wage scales, hours of work and all employee benefits.
(2) A plan for orientation of all personnel to policies and objectives of the hospital and for on-the-job training where necessary.
(3) A plan for at least an annual evaluation of employee performance.
(b) Personnel policies shall require that employees and other persons working in or for the hospital familiarize themselves with these and such other regulations as are applicable to their duties.
(c) Hospitals shall furnish evidence of a plan for growth and development of the hospital staff through:
(1) Designation of a staff member qualified by training and experience who shall be responsible for staff education.
(2) Reference material, relevant to the services provided by the hospital, which shall be readily accessible to the staff.
§71521. Employees.

(a) The hospital shall recruit qualified personnel and provide initial orientation of new employees, a continuing in-service training program and competent supervision designed to improve patient care and employee efficiency.
(b) If language or communication barriers exist between hospital staff and a significant number of patients, arrangements shall be made for interpretors or for the use of other mechanisms to insure adequate communications between patients and personnel.
(c) The hospital shall designate a member of the staff as a patient discharge planning coordinator.
(d) All employees of the hospital, having patient contact, including students, interns and residents, shall wear an identification tag bearing their name and vocational classification.
(e) All appropriate employees shall be given training in methods of hospital infection control.
(f) Uniform rules shall be established for each classification of employees concerning the conditions of employment. A written statement of all such roles shall be provided each employee upon commencing employment.
§71523. Employee Health Examinations and Health Records.

(a) Personnel employed in health facilities who will have contact directly or indirectly with patients shall be free from symptoms indicating the presence of infectious diseases.
(b) A health examination performed under the direction of a physician shall be required as a requisite for employment and must be performed within one week after employment. Written examination reports signed by the physician which verify that employees are able to perform assigned duties shall be maintained. Repeat examinations shall be performed whenever necessary to ascertain that employees are free from symptoms indicating the presence of infectious disease and are able to perform their assigned duties. Upon initial examination, and at least annually, the employee shall have a skin test for tuberculosis using Purified Protein Derivatives intermediate strength or a chest X-ray. Positive reaction to the skin test shall be followed by a 35.56 cm x 43.18 cm (14” x 17”) chest X-ray.
(c) Employee health records shall be maintained by the hospital and shall include the records of all required health examinations. Such records shall be kept a minimum of three years following termination of employment.
(d) Employees known to have or evidencing symptoms of infectious disease shall be removed from contact with patients.
§71525. Employee Personnel Records.

All hospitals shall maintain personnel records of all employees. Such records shall be retained for at least three years following termination of employment. The record shall include the employee's full name, Social Security number, the license or registration number, if any, brief resume of experience, employment classification, date of beginning employment and date of termination of employment. Records of hours and dates worked by all employees during at least the most recent six-month period shall be kept on file at the place of employment.
§71527. Job Descriptions.

Job descriptions detailing the functions of each classification of employee shall be written and shall be available to all personnel.
§71529. Advertising.

No hospital shall make or disseminate any false or misleading statement, or advertise by any manner or means any false claims regarding services provided by the hospital.
§71531. Records and Reports.

(a) Each hospital shall maintain copies of the following applicable documents on file in the administrative offices of the hospital:
(1) Articles of incorporation or partnership agreement.
(2) Bylaws and rules and regulations of the governing body.
(3) Bylaws and rules and regulations of the medical staff.
(4) Minutes of the meetings of the governing body and the medical staff.
(5) Reports of inspections by local, state and federal agencies.
(6) All contracts, leases and other agreements required by these regulations.
(7) Patient admission roster.
(8) Reports of unusual occurrences for the preceding two years.
(9) Personnel records.
(10) Policy manuals.
(11) Procedure manuals.
(12) Minutes and reports of the hospital infection control committee.
(13) Any other records deemed necessary for the direct enforcement of these regulations by the Department.
(b) The records and reports mentioned or referred to above shall be made available for inspection by any duly authorized officer, employee or agent of the Department.
§71533. Annual Reports.

All hospitals shall submit annual reports to the Department, on forms supplied by the Department and by the date specified on the form.
§71535. Reporting.

(a) Reportable Diseases or Unusual Occurrences. All cases of reportable diseases shall be reported to the local health officer in accordance with Section 2500, Article 1, Subchapter 1, Chapter 4, Title 17, California Administrative Code. Any occurrence such as epidemic outbreak, poisoning, fire, major accident, disaster, other catastrophe or unusual occurrence which threatens the welfare, safety or health of patients, personnel or visitors shall be reported as soon as reasonably practical, either by telephone or by telegraph, to the local health officer and to the Department. The hospital shall furnish such other pertinent information related to such occurrences as the local health officer of the Department may require.
(b) Testing for Phenylketonuria. If a maternity patient is admitted the hospital shall comply with the requirements governing testing for phenylketonuria (PKU) contained in Section 6500 of Title 17, California Administrative Code.
(c) Rhesus (Rh) Hemolytic Disease of the Newborn. All hospitals to which maternity patients may be admitted shall comply with the requirements for the determination and reporting of the rhesus (Rh) blood type of maternity patients and the reporting of rhesus (Rh) hemolytic disease of the newborn as contained in Section 6510 of Title 17, California Administrative Code.
(d) Child Placement. The release of children for adoption shall be in conformity with the state law regulating adoption procedure. Hospitals shall report to the Department on forms supplied by them, within 48 hours, the name and address of any person other than a parent or relative by blood or marriage, or the name and address of the organization or institution into whose custody a child is given on discharge from the hospital.
§71537. Infection Control Program.

(a) A written hospital infection control program shall be adopted. The program shall conform to the guidelines contained in Infection Control in the Hospital, 1974, published by the American Hospital Association, 840 North Lake Shore Drive, Chicago, IL 60611.
(b) A copy of the plan shall be available for review by the Department.
(c) There shall be a system of reporting of possibly acquired hospital infections to the infection control committee.
(d) The program shall be reviewed, evaluated and updated annually by the infection control committee. A report of this review shall be available to the Department.
§71539. Disaster and Mass Casualty Program.

(a) A written disaster and mass casualty program shall be developed and maintained in consultation with representatives of the medical staff, nursing staff, administration and fire and safety experts. The program shall be in conformity with the California Emergency Plan of October 10, 1972 developed by the State Office of Emergency Services and the California Emergency Medical Mutual Aid Plan of March 1974 developed by the Office of Emergency Services, Department of Health. The program shall be approved by the medical staff and administration. A copy of the program shall be available on the premises for review by the Department.
(b) The program shall cover local disasters occurring in the community and widespread disasters. It shall provide for at least the following:
(1) Availability of adequate basic utilities and supplies, including gas, water, food and essential medical and supportive materials.
(2) An efficient system of notifying and assigning personnel.
(3) Unified medical command.
(4) Conversion of all usable space into clearly defined areas for efficient triage, for patient observation and for immediate care.
(5) Prompt transfer of casualties, when necessary and after preliminary medical or surgical services have been rendered, to the facility most appropriate for administering definitive care.
(6) A special disaster medical record, such as an appropriately designed tag, that accompanies the casualty as he is moved.
(7) Procedures for the prompt discharge or transfer of patients, already in the hospital who can be moved without jeopardy.
(8) Maintaining security in order to keep relatives and curious persons out of the triage area.
(9) Establishment of a public information center and assignment of public relations liaison duties to a qualified individual. Advance arrangements with communications media will be made to provide organized dissemination of information.
(c) The program shall be brought up-to-date, at least annually, and all personnel shall be instructed in its requirements. There shall be evidence in the personnel files, e.g., orientation checklist or elsewhere, indicating that all new employees have been oriented to the program and procedures within a reasonable time after commencement of their employment.
(d) The disaster plan shall be rehearsed at least twice a year. There shall be a written report and evaluation of all drills. The actual evacuation of patients to safe areas during the drill is optional.
§71541. Fire and Internal Disasters.

(a) A written fire and internal disaster program, incorporating evacuation procedures, shall be developed with the assistance of fire, safety and other appropriate experts. A copy of the program shall be available on the premises for review by the Department.
(b) The written program shall include at least the following:
(1) Plans for the assignment of personnel to specific tasks and responsibilities.
(2) Instructions relating to the use of alarm systems and signals.
(3) Information concerning methods of fire containment.
(4) Systems for notification of appropriate persons.
(5) Information concerning the location of fire fighting equipment.
(6) Specification of evacuation routes and procedures.
(7) Other provisions as the local situation dictates.
(c) Fire and internal disaster drills shall be held at least quarterly, for each shift of hospital personnel and under varied conditions. The actual evacuation of patients to safe areas during a drill is optional.
(d) The evacuation plan shall be posted throughout the facility and shall include at least the following:
(1) Evacuation routes.
(2) Location of fire alarm boxes.
(3) Location of fire extinguishers.
§71543. Fire Safety.

All hospitals shall be maintained in conformity with the regulations adopted by the State Fire Marshal for the prevention of fire and for the protection of life and property against fire and panic. All hospitals shall secure and maintain a clearance relative to fire safety from the State Fire Marshal.
§71544. Disruption of Services.

(a) Each hospital shall develop a written plan to be used when a discontinuance or disruption of services occurs.
(b) The administrator shall be responsible for informing the Department, via telephone, immediately upon being notified of the intent of the discontinuance or disruption of services or upon the threat of a walkout of a substantial number of employees, or earthquake, fire, power outage or other calamity that causes damage to the facility or threatens the safety or welfare of patients or clients.
§71545. Restraint of Patients.
Note     •     History

(a) Restraint shall be used only when alternative methods are not sufficient to protect the patient or others from injury.
(b) Patients shall be placed in restraint only on the written order of a licensed health care practitioner acting within the scope of his or her professional licensure. This order shall include the reason for restraint and the type of restraint to be used. In a clear case of emergency, a patient may be placed in restraint at the discretion of a registered nurse and a verbal or written order obtained thereafter. If a verbal order is obtained it shall be recorded in the patient's medical record and be signed by the licensed health care practitioner on his or her next visit.
(c) Patients in restraint by seclusion or mechanical means shall be observed at intervals not greater than 15 minutes.
(d) Restraints shall be easily removable in the event of fire or other emergency.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1255, 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (b) and adding Note filed 3-24-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 12).
2. Change without regulatory effect amending subsection (b) and Note filed 4-20-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
3. Amendment of subsection (b) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§71547. Medical Records Service.
Note     •     History

(a) The hospital shall maintain a medical record service which shall be conveniently located and adequate in size and equipment to facilitate the accurate processing, checking, indexing and filing of all medical records.
(b) The medical records service shall be under the supervision of a registered record administrator or accredited records technician. The registered record administrator or accredited records technician shall be assisted by such qualified personnel as are necessary for the conduct of the service.
(c) Policies and procedures shall be established to ensure the confidentiality of patient health information, in accordance with applicable laws and regulations.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New subsection (c) filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§71549. Medical Record Content.
Note     •     History

(a) Each inpatient medical record shall consist of at least the following:
(1) Identification sheets to include but not be limited to the following:
(A) Name.
(B) Address on admission.
(C) Identification number (if applicable).
1. Hospital admission number.
2. Social Security number.
3. Medicare number.
4. Medi-Cal number.
(D) Age.
(E) Sex.
(F) Marital status.
(G) Legal status.
(H) Religion.
(I) Date of admission.
(J) Date of discharge.
(K) Name, address and telephone number of person or agency responsible for patient.
(L) Name of patient's medical staff member responsible for care.
(M) Initial diagnostic impression.
(N) Discharge or final diagnosis.
(O) Disposition.
(2) Psychiatric history and physical examination.
(3) Legal authorization for admission.
(4) Consultation reports, including neurologic examination.
(5) Order sheet including medication, treatment and diet orders.
(6) Treatment plan.
(7) Progress notes including current or working diagnosis, the complaints of others regarding the patient, as well as the patient's comments.
(8) Nurses' notes which shall include but not be limited to the following:
(A) Concise and accurate record of nursing care provided.
(B) Record of pertinent observation of the patient and the response to treatment.
(C) Name, dosage and time of administration of medications and treatment. Route of administration and site of injection shall be recorded, if other than by oral administration.
(D) Record of type of restraint, including time of application and removal.
(9) Vital sign sheet, including weight record.
(10) Reports of all laboratory tests performed.
(11) Reports of all X-ray examinations performed.
(12) Consent forms, when applicable.
(13) Anesthesia record including preoperative diagnosis, if anesthesia has been administered.
(14) Operative report including preoperative and postoperative diagnosis, description of findings, technique used, tissue removed or altered, if surgery was performed.
(15) Pathological report, if tissue or body fluid was removed.
(16) Labor record, if applicable.
(17) Delivery record, if applicable.
(18) A discharge summary which shall briefly recapitulate the significant findings and events of the patient's hospitalization, the patient's condition on discharge and the recommendation and arrangements for future care.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§71551. Medical Record Availability.
Note     •     History

(a) Records shall be kept on all patients admitted or accepted for treatment. All required records, either as originals or accurate reproductions of the contents of such originals, shall be maintained in such form as to be legible and readily available upon the request of: the attending physician or psychologist; the hospital or its medical staff or any authorized officer, agent or employee of either; authorized representatives of the Department; or any other person authorized by law to make such a request.
(b) The medical record, including X-ray film, is the property of the hospital and is maintained for the benefit of the patient, the medical staff and the hospital. The hospital shall safeguard the information in the record against loss, defacement, tampering or use by unauthorized persons.
(c) Patient records including X-ray film or reproductions thereof shall be preserved safely for a minimum of seven years following discharge of the patient, except that the records of unemancipated minors shall be kept at least one year after such minor has reached the age of 18 years and, in any case, not less than seven years.
(d) If a hospital ceases operation, the Department shall be informed within 48 hours of the arrangements made for safe preservation of patient records as above required.
(e) If ownership of a licensed hospital changes, both the previous licensee and the new licensee shall, prior to the change of ownership, provide the Department with written documentation that:
(1) The new licensee will have custody of the patients' records upon transfer of the hospital, and that the records are available to both the new and former licensee and other authorized persons; or
(2) Arrangements have been made for the safe preservation of patient records, as required above, and that the records are available to both the new and former licensees and other authorized persons.
(f) Medical records shall be filed in an easily accessible manner in the hospital or in an approved medical record storage facility off the hospital premises.
(g) Medical records shall be completed promptly and authenticated or signed by a licensed healthcare practitioner acting within the scope of his or her professional licensure within two weeks following the patient's discharge. Medical records may be authenticated by a signature stamp or computer key, in lieu of a signature by a licensed healthcare practitioner acting within the scope of his or her professional licensure, only when that licensed healthcare practitioner acting within the scope of his or her professional licensure has placed a signed statement in the hospital administrative office to the effect that he/she is the only person who:
(1) Has possession of the stamp or key.
(2) Will use the stamp or key.
(h) Medical records shall be indexed according to patient, diagnoses and attending member of the medical staff.
(i) By July 1, 1976 a unit medical record system shall be established and implemented with inpatient, outpatient and emergency room records combined.
(j) The medical record shall be closed and a new record initiated when a patient is transferred to a different level of care within a hospital which has a distinct part skilled nursing or intermediate care service.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Amendment of subsections (a), (g) and (h) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§71553. Transfer Summary.
Note     •     History

A transfer summary shall accompany the patient upon transfer to a skilled nursing or intermediate care facility or to the skilled nursing long-term unit of the hospital. The transfer summary shall include essential information relative to the patient's diagnosis, hospital course, medications, treatments, dietary requirement, rehabilitation potential, known allergies and treatment plan and shall be signed by the licensed healthcare practitioner acting within the scope of his or her professional licensure.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of section and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§71555. Patients' Monies and Valuables.

(a) No licensee shall use patients' monies or valuables as his own or mingle them with his own. Patients' monies and valuables shall be separate, intact and free from any liability the licensee incurs in the use of his own or the institution's funds and valuables.
(b) Each licensee shall maintain adequate safeguards and accurate records of patients' monies and valuables entrusted to his care.
(1) Records, of patients' monies which are maintained as a drawing account, shall include a control account for all receipts and expenditures, an account for each patient and supporting vouchers filed in chronological order. Each account shall be kept current with columns for debits, credits and balance.
(2) Records of patients' monies and other valuables entrusted to the licensee for safekeeping shall include a copy of the receipt furnished to the patient or to the person responsible for the patient.
(c) Patients' monies not kept in the hospital shall be deposited in a demand trust account in a local bank authorized to do business in California, the deposits of which are insured by the Federal Deposit Insurance Corporation. A county hospital may deposit such funds with the county treasurer.
(d) When the amount of money entrusted to a licensee for patients exceeds $500, all money in excess of $500 shall be deposited in a demand trust account as specified in (c), above, unless a fireproof safe is provided on the premises for the protection of monies and valuables. If a fireproof safe is kept and the licensee desires the protection accorded by Civil Code Section 1860, he shall give notice as provided by that section.
(e) Upon discharge of a patient, all refunds due and all money and valuables of that patient which have been entrusted to the licensee shall be surrendered to the patient or the person responsible for the patient in exchange for a signed receipt. Money and valuables kept within the hospital must be surrendered upon demand and those kept in a demand trust account or with the county treasurer shall be made available within three normal banking days.
(f) Following the death of a patient, except in a coroner or medical examiners case, all money and valuables of that patient which have been entrusted to the licensee shall be surrendered to the person responsible for the patient, the executor or the administrator of the estate in exchange for a signed receipt, within 30 days. Immediate written notice of the death of a patient without an agent or known heirs shall be given to the public administrator of the county as specified by Section 1145, of the Probate Code.
(g) Upon change of ownership of a hospital, a written verification by a public accountant of all patients' monies which are being transferred to the custody of the new owners shall be obtained by the new owner in exchange for a signed receipt.
§71557. First Aid and Referrals.

(a) If a hospital subject to the provisions of this chapter does not maintain an emergency medical service, its employees shall nevertheless exercise reasonable care to determine whether an emergency exists, render necessary life saving first aid and shall direct the persons seeking emergency care to the nearest hospital which can render the needed services and shall assist the persons seeking emergency care in obtaining such services, including transportation services, in every way reasonable under the circumstances.
(b) Hospitals not providing emergency medical service shall not advertise or make any other representation to the public that may convey or connote the availability of such service. The posting of signs to designate entrances for use by outpatients and ambulances such as ambulance entrance, referred patients, outpatient service or other words of similar connotation is not prohibited. Such hospitals may represent to the public in any form or manner, and only in its entirety, the phrase first aid and referral service.
§71559. Medical Library.

(a) Each hospital shall maintain a medical library consistent with the needs of the hospital.
(b) The medical library shall be located in a convenient location, and its contents shall be organized, easily accessible and available through authorized personnel at all times.
(c) The library shall contain current textbooks, journals and magazines pertinent to the clinical services maintained in the hospital.
§71561. Medical Photography.

The hospital shall have a policy regarding the obtaining of consent for medical photography.
§71563. Conference Room.

A conference room shall be provided in the hospital.
Article 7. Physical Plant
§71601. Alterations to Existing Buildings or New Construction.

(a) Alterations to existing buildings licensed as hospitals or new construction shall be in conformance with Chapter 1, Division 17, Part 6, Title 24, California Administrative Code.
(b) Hospitals licensed and in operation prior to the effective date of changes in these regulations shall not be required to institute corrective alterations or construction to comply with such changes except where specifically required or where the Department determines that a definite hazard to health and safety exists. Any hospital for which preliminary or working drawings and specifications have been approved by the Department prior to the effective date of changes to these regulations shall not be required to comply with such changes provided substantial, actual construction is commenced within one year after the effective date of such changes.
§71603. Application for Plan Review.

(a) Drawings and specifications for alterations to existing buildings or new construction shall be submitted to the Department for approval and shall be accompanied by an application for plan review on forms furnished by the Department. The application shall:
(1) Identify and describe the work to be covered by the plan review for which the application is made.
(2) Describe the land on which the proposed work is to be done, by lot, block, tract or house and street address or similar description that will readily identify and definitely locate the proposed building or work.
(3) Show the present and proposed use or occupancy of all parts of the building or buildings.
(4) State the number of square meters (square feet) of floor area involved in new construction and in alterations.
(5) Give such other information as may be required by the Department for unusual design circumstances.
(6) Be signed by the person designing the work or the owner of the work.
(b) The application for plan review shall also include a written statement that a description of the proposed work has been submitted to the Area Comprehensive Health Planning Agency approved by the State Advisory Health Council pursuant to Section 437.7 of the Health and Safety Code.
§71605. Space Conversion.

Spaces approved for specific uses at the time of licensure shall not be converted to other uses without the written approval of the Department.
§71607. Notice to Department.

The licensee shall notify the Department in writing not later than ten days after the date when construction of a new hospital is commenced or when construction involving an increase in bed capacity or change of services of an existing hospital is commenced.
§71609. Patient Accommodations.
History

(a) No hospital shall have more patients or beds set up for overnight use by patients than the approved licensed bed capacity except in the case of justified emergency when temporary permission may be granted by the Director or his designee. Beds not used for overnight stay such as labor room beds, recovery beds, beds used for admission screening or beds used for diagnostic purposes in X-ray or laboratory departments are not included in the approved licensed bed capacity.
(b) Five percent of a facility's total licensed bed capacity may be used for a classification other than that designated on the license. Upon application to the Director and a showing that seasonal fluctuations justify, the Director may grant the use of an additional five percent of the beds for other than the classified use.
(c) Patients shall not be housed in areas which have not been approved by the Department for patient housing and which have not been granted a fire clearance by the State Fire Marshal, except as provided in paragraph (a) above.
(d) The number of licensed beds shown on a license shall not exceed the number of beds for which the facility meets applicable construction and operational requirements.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§71611. Patient Rooms.

(a) Patients shall be accommodated only in rooms with the following minimum floor area:
(1) Single rooms: 10.2 square meters (110 square feet) of floor area except for private rooms in pediatric units which shall have at least 9.3 square meters (100 square feet).
(2) Multipatient rooms: 7.4 square meters (80 square feet) of floor area per bed with one meter (three feet) between beds, except in specialized units.
(b) Each patient room shall be labeled with a number, letter or combination of the two for identification.
(c) Patient rooms which are approved for ambulatory patients only shall not accommodate nonambulatory patients. Before patients are accommodated in ambulatory sections, they shall demonstrate that they are ambulatory, and this shall be noted in the patient's medical record. The hospital shall transfer patients from the ambulatory section when their condition becomes nonambulatory. The ambulatory status of patients shall be demonstrated upon request of the Department.
(d) Patient rooms approved for use by ambulatory patients only shall be identified as follows: the words reserved for ambulatory patients, in letters at least one and one-half centimeters (one-half inch) high, shall be posted on the outside of the door or on the wall alongside the door where they are visible to persons entering the room.
(e) Except for rooms approved by the Department for detention of psychiatric patients, patients' rooms shall not be kept locked when occupied.
(f) The decision of maintaining locked wards shall be made by the staff, depending upon the needs of the patient(s).
(g) Where patients are kept in locked wards or rooms, adequate staff must be available to assure safe and quick egress of the patients.
(h) Where the safety of the patient and others are of appropriate concern because of the condition of the patient, windows shall either be inaccessible to the patient or glazed with unbreakable materials.
§71613. Patient Property Storage.

Patients shall be provided with closet or locker space for clothing, toilet articles and other personal belongings. Where appropriate, bedside tables or equivalent shall also be provided.
§71615. Patient Room Furnishings.

A bed with a suitable mattress and a chair shall be provided for each patient.
§71617. Provisions for Emptying Bedpans.

(a) Bedpans shall be cleaned in utility rooms or bedpan cleaning rooms, unless toilets adjoining patients' rooms are used for cleaning bedpans, in which case such toilets shall be equipped with bedpan flushing attachments and vacuum breakers. Bedpans shall not be cleaned in bathtubs, handwashing sinks or laundry tubs.
(b) Bedpan covers shall not be used interchangeably.
§71619. Provision for Privacy.

A method of assuring privacy for each patient shall be maintained in patient rooms and in tub, shower and toilet rooms.
§71621. Public Telephone.

A telephone shall be available for patient use.
§71623. Isolation Facilities.

At least one single bed special room shall be provided for the isolation of a single patient at a ratio of one special room for each 50 beds or major fraction thereof. At least one special room shall be provided.
§71625. Seclusion Rooms.

Where provided, seclusion rooms shall be designed and equipped to ensure the safety of the patient.
§71627. Patient Lounge.

Adequate space and equipment shall be provided for patient use for social activities.
§71629. Laundry Service.
Note     •     History

(a) Laundry and linen.
(1) An adequate supply of clean linen shall be provided for at least three complete bed changes for the hospital's full bed capacity.
(2) There shall be written procedures developed and maintained pertaining to the handling, storage, transportation and processing of linens.
(3) If the hospital operates its own laundry, such laundry shall be:
(A) Located in such relationship to other areas that steam, odors, lint and objectionable noises do not reach patient or personnel areas.
(B) Well lighted and ventilated and adequate in size for the needs of the hospital and for the protection of employees.
(C) Maintained in a sanitary manner and in good repair.
(D) Not part of a storage area.
(4) Hospital linens shall be washed according to the following method:
All linens shall be washed using an effective soap or detergent and thoroughly rinsed to remove soap or detergent and soil. Linens shall be exposed to water at a minimum temperature of 71oC (160oF) for at least 24 minutes during the washing process, or a lower temperature of 60oC (140oF.) for 24 minutes may be utilized if the linens are subsequently passed through a flatwork ironer at 110-115 feet per minute at a temperature of 300oF. or a tumbler dryer at a temperature of 180oF.
(5) Separate rooms shall be maintained in the hospital for storage of clean linen and for storage of soiled linen. Linen storage rooms shall be adequate in size for the needs of the hospital and shall not be used for any other purpose. Storage shall not be permitted in attic spaces, corridors or plenums (air distribution chambers) of air conditioning or ventilating systems.
(6) Handwashing and toilet facilities for laundry personnel shall be provided at locations convenient to the laundry.
(7) Soiled and clean linen carts shall be so labeled and provided with covers made of washable materials which shall be laundered daily or suitably cleaned daily.
(8) If the hospital does not maintain a laundry service, the commercial laundry utilized shall meet the standards of this section.
(b) Soiled linen.
(1) Laundry shall be handled, stored and processed in a manner that will prevent the spread of infection and will assure the maintenance of clean linen.
(2) Each of the following classes of laundry shall be separately transported, stored and washed:
(A) Linen from isolation rooms.
(B) All radioactive contaminated linen.
(C) Linen from pathology.
(3) Soiled linen shall be sorted in a separate enclosed room by a person instructed in methods of protection from contamination. This person shall not have responsibility for immediately handling clean linen.
(4) Soiled linen shall be stored and transported in a closed container which does not permit airborne contamination of corridors and areas occupied by patients, and precludes the cross-contamination of clean linen.
(5) If soiled linen is transported in wheeled containers such conveyances shall not be used for transporting clean linen. Carts or conveyances and their contents shall be covered during the transportation process.
(6) If chutes are used for transporting soiled linen, the chutes shall be maintained in a clean, sanitary state.
(c) Clean Linen.
(1) Clean linen shall be sorted, handled and transported in such a manner as to prevent cross-contamination.
(2) Clean linen carts shall be used only for the purpose of transportation or storage of clean linen.
(3) Persons processing clean linen shall be dressed in clean garments at all times while on duty and shall not handle soiled linen.
(4) Clean linen from a commercial laundry shall be delivered to the hospital completely wrapped and delivered to a designated clean area.
(5) Clean linen in patient care units shall be stored in clean, ventilated closets, rooms or alcoves, used for that purpose only. Corridors shall not be used for storage of linen.
(6) If clean linen is stored in the laundry area, it shall be stored in a room separate from the sorting room, laundry room or soiled linen room. 
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 10-15-85; effective thirtieth day thereafter (Register 85, No. 42).
§71631. Housekeeping.

(a) Each hospital shall make provision for the routine cleaning of articles and surfaces such as furniture, floors, walls, ceilings, supply and exhaust grills and lighting fixtures.
(b) There shall be written routines and procedures developed and maintained to include but not be limited to the following:
(1) Daily cleaning of patient areas, nurses' stations, work areas, halls, entrances, storage areas, restrooms, laundry, pharmacy, offices, etc.
(2) Daily cleaning of specialized areas.
(3) Daily cleaning of isolation areas.
(4) Daily cleaning of kitchen and associated areas.
(5) Weekly cleaning of such things as radiators, clocks, pictures, ventilators, curtains, draperies, etc.
(6) Monthly and as necessary cleaning of walls and ceilings.
(7) Terminal cleaning of patient unit upon discharge of patient.
(c) There shall be sufficient housekeeping cleaning supplies and equipment provided.
(1) Housekeeping cleaning supplies, other than in bulk, and equipment shall be stored in housekeeping rooms.
(2) A detergent germicide shall be used for all cleaning and dusting purposes.
(3) Mop heads shall be removable and changed at least daily.
(d) There shall be sufficient housekeeping personnel to maintain the interior of the hospital in a safe, clean, orderly, attractive manner and free from offensive odors.
(e) A person qualified by experience and training shall be designated to be in charge of housekeeping service.
§71633. Morgue.

(a) Hospitals with a licensed bed capacity of 50 or more shall maintain a well ventilated morgue with autopsy facilities, unless adequate morgue and autopsy facilities are available in the local community.
(b) Hospitals with a licensed bed capacity of 200 or more shall maintain a well ventilated morgue with autopsy facilities.
(c) Refrigerated compartments shall be maintained if human remains are held unembalmed. The air temperature shall not be higher than 7oC (45oF).
§71635. Central Sterile Supply.

(a) Each hospital shall provide, prepare, sterilize and store sufficient sterile supplies and medical and surgical equipment and shall dispense them to all services in the hospital. The operation of this service shall be carried out in an area designated, equipped and staffed for this purpose.
(b) A person qualified by training and experience, recommended by the infection control committee shall be designated to be in charge of the central sterile supply. Liaison with the infection control committee shall be maintained through that person's membership on the committee.
(c) There shall be written procedures developed and maintained pertaining to the cleaning, preparation, disinfection and sterilization of utensils, instruments, solutions, dressings and other articles.
(d) There shall be effective separation of soiled or contaminated supplies and equipment from the clean and sterilized supplies and equipment.
(e) Sterile supplies and equipment shall be stored in clean cabinets, cupboards or other satisfactory spaces. An orderly system of rotation of supplies shall be used so that supplies stored first will be used first.
§71637. Autoclaves and Sterilizers.

(a) Autoclaves and sterilizers shall be maintained in operating condition at all times.
(b) Instructions for operating autoclaves and sterilizers shall be posted in the area where the autoclaves and sterilizers are located.
(c) Written procedures shall be developed, maintained and available to personnel responsible for sterilization of supplies and equipment that include, but are not limited to the following:
(1) Time, temperature and pressure for sterilizing the various bundles, packs, dressings, instruments, solutions, etc.
(2 Cleaning, packaging, storing and issuance of supplies and equipment.
(3) Dating and outdating of material sterilized.
(4) Loading of the sterilizer.
(5) Daily checking of recording and indicating thermometers and filing for one year of recording thermometer charts.
(6) Monthly bacteriological test, the bacterial organism used and filing for one year of the test results.
(7) Length of aeration time for materials gas sterilized.
§71639. Disinfecting.

(a) Each hospital shall make provision for the cleaning and disinfection of contaminated articles and surfaces which cannot be sterilized.
(b) Thermometers should be disinfected for at least ten minutes with 70 percent ethyl alcohol or 99 percent isopropyl alcohol with 0.2 percent iodine.
(c) Written procedures shall be developed and maintained for the disinfection of articles and surfaces.
§71641. General Safety and Maintenance.

(a) The hospital shall be clean, sanitary, and in good repair at all times. Maintenance shall include provision and surveillance of services and procedures for the safety and well-being of patients, personnel and visitors.
(b) Hospital buildings and grounds shall be maintained free of such environmental pollutants and such nuisances as may adversely affect the health or welfare of patients to the extent that such conditions are within the reasonable control of the hospital.
(c) All hospitals shall maintain in operating condition all buildings, fixtures and spaces in the numbers and types as specified in construction requirements under which the hospital or unit was first licensed.
(d) A written manual on maintenance of heating, air conditioning and ventilation systems shall be adopted by each hospital and a maintenance log shall be maintained.
(e) Equipment provided must meet any and all applicable California Occupational Safety and Health Act requirements in effect as of the time of purchase. All portable electrical equipment using 110-120 volt 60 hertz current shall be equipped with a three-wire grounded power cord with an Underwriters Laboratories approved hospital grade three-prong plug. The cord grip shall be an integral part of the plug.
(f) All gauging and measuring equipment shall be regularly calibrated as specified by the manufacturer and records of such testing kept for at least two years.
§71643. Air Filters.

(a) The licensee shall be responsible for regular inspection, cleaning or replacement of all filters installed in heating, air conditioning and ventilating systems, as necessary to maintain the systems in normal operating condition. The efficiency of the replacement filters shall be equal to the efficiency rating of the replaced filters.
(b) A written record of inspection, cleaning or replacement including static pressure drop shall be regularly maintained and available for inspection. The record shall include a description of the filters originally installed, the American Society of Heating, Refrigeration, and Air Conditioning Engineers (ASHRAE) atmospheric dust spot test efficiency rating and the criteria established by the manufacturer or supplier to determine when replacement or cleaning is necessary.
(c) Following filter replacement or cleaning, the installation shall be visually inspected for torn media and bypass in filter frames by means of a flashlight or equivalent, both with fans in operation and stopped. Tears in filter media and bypass in filter frames shall be eliminated in accordance with the manufacturer's directions and as required by the Department.
(d) Where filter maintenance is performed by an equipment service company, a certification shall be provided to the licensee that the requirements listed in Section 71643 (a) and (b) have been accommodated.
(e) If filter maintenance as required in Section 71643 (a) and (b) is performed by employees of the hospital, a written record shall be maintained by the licensee.
§71645. Emergency Lighting and Power System.
Note     •     History

(a) Auxiliary lighting and power facilities shall be readily available at all times.
(1) The emergency lighting and power system shall be maintained in operating condition to provide automatic restoration of power for emergency circuits within ten seconds after normal power failure.
(2) Emergency generators shall be tested as follows:
(A) Non-diesel generators installed in hospitals shall be tested under load conditions for at least 30 minutes at intervals of not more than 7 days.
(B) Diesel backup generators installed in hospitals shall be tested as required by Health and Safety Code, section 41514.1.
(b) The licensee shall provide and maintain an emergency electrical system in compliance with Section E702-7 and E702-20, Part 3, Title 24, California Administrative Code. The system shall serve all lighting, signals, alarms and equipment required to permit continued operation of all necessary functions of the hospital for a minimum of 24 hours.
(c) The Department may require the licensee to submit a report of evaluation of the emergency electrical systems by a registered electrical engineer to substantiate compliance with Subarticle E702-7, Part 3, Title 24, California Administrative Code. Essential engineering data, including load calculations, assumptions and tests, and where necessary, plans and specifications acceptable to the Department, shall be included in the report.
(d) Where alteration of the emergency electrical system is determined to be necessary, the work shall comply with Sections E702-20 and E702-24, Part 3, Title 24, California Administrative Code.
(e) A written record of inspection, performance, exercising period and repairs shall be maintained and available.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (a)(1), adding new subsections (a)(2)-(a)(2)(B) and adding Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§71647. Storage and Disposal of Solid Wastes.

(a) Solid wastes shall be stored and eliminated in a manner to preclude the transmission of communicable disease. These wastes shall not be a nuisance or provide a breeding place for insects or rodents nor shall it be a food source for either.
(b) Solid waste containers shall be stored and located in a manner that will protect against odors.
(c) Syringes and needles, before being discarded into waste containers, shall be rendered unusable.
§71649. Solid Waste Containers.
Note     •     History

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

Authority cited: Sections 208 (a) and 1254 Health and Safety Code. Reference: Sections 1250 and 25157.3, Health and Safety Code.
HISTORY

1. Repealer of subsection (e) filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer of subsection (e) filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 42).
§71651. Infectious Waste.
Note     •     History

Infectious waste, as defined in Health and Safety Code Section 25117.5, shall be handled and disposed of in accordance with the Hazardous Waste Control Law, Chapter 6.5, Division 20, Health and Safety Code (beginning with Section 25100) and the regulations adopted thereunder (beginning with Section 66100 of this Title).
NOTE

Authority cited: Sections 208, 1254, 25150 and 25157.3, Health and Safety Code. Reference: Sections 1250, 25117 and 25117.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer and new section filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 42).
§71653. Gases for Medical Use.

(a) Provision shall be made for safe handling and storage of medical gas cylinders.
(b) Transfer of gas by hospital personnel from one cylinder to another is prohibited except when approved by the Department.
(c) Gases for medical use include carbon dioxide, cyclopropane, ethylene, helium, nitrous oxide, oxygen, helium-oxygen mixtures and carbon dioxide-oxygen mixtures.
(d) All anesthesia machines and related equipment shall be so constructed that connections for different gases are not interchangeable.
These requirements shall be accomplished by installing permanent fittings as indicated below:
(1) Yoke connections of anesthesia machines and flush outlet valves for small compressed gas cylinders (Style E and smaller) shall conform with the pin index and safety system contained in pamphlet B57.1, Compressed Gas Cylinder Valve Outlet and Inlet Connections, 1965 Edition, by the American National Standards Institute, Inc., 1430 Broadway, New York, NY 10018.
(2) Valve outlet connections for large cylinders (Style F and larger) for oxygen and nitrous oxide shall conform with the standards contained in pamphlet B57.1, Compressed Gas Cylinder Valve Outlet and Inlet Connections, 1965 Edition, by the American National Standards Institute,Inc., 1430 Broadway, New York, NY 10018. Standard connection No. 540 shall be used with oxygen cylinders and standard connection 1320 shall be used with nitrous oxide cylinders. Cylinders for medical gases, other than oxygen and nitrous oxide used with anesthesia machines, shall be limited to Style E and smaller.
(3) Removable exposed threaded connections, where employed in medical gas piping systems and equipment used in conjunction with resuscitators and oxygen therapy apparatus, shall be provided with noninterchangeable connections which conform with pamphlet V-5, Diameter-Index Safety System, May 1970 printing, by the Compressed Gas Association, Inc., 500 Fifth Avenue, New York, NY 10036.
(4) Station outlets from piped oxygen and nitrous oxide systems shall conform with the standards contained in bulletin NFPA No. 56F, Nonflammable Medical Gas Systems, 1973, by the National Fire Protection Association, 470 Atlantic Avenue, Boston, MA 02210.
(5) Removable connection hoses from station outlets or cylinders to yokes of anesthesia machines shall be fitted with permanently connected fittings to match the standards listed above in paragraphs (1), (2), (3) and (4).
(e) The piped oxygen or nitrous oxide system(s) shall be tested in accordance with the National Fire Protection Association bulletin, NFPA No. 56F, referred to above, and a written report shall be maintained in each of the following instances.
(1) Upon completion of initial installation.
(2) Whenever changes are made to a system.
(3) Whenever the integrity of a system has been breached.
(4) At least annually.
(f) Oxygen Equipment.
(1) Vaporizer bottles shall be sterilized after each use.
(2) Only sterile fluid shall be used in vaporizer bottles.
(3) Vaporizer bottles shall be changed at least every 24 hours.
§71655. Lighting.

(a) All rooms, attics, basements, passageways and other spaces shall be illuminated.
(b) Adequate illumination shall be maintained for the comfort of patients and personnel.
(c) All patient rooms shall have a minimum of 30 foot candles of light delivered to reading or working surfaces and not less than 10 foot candles of light in the remainder of the room.
(d) All corridors, storerooms, stairways, ramps, exits and entrances shall have a minimum of five foot candles of light measured in the darkest corner.
(e) Except in closets, storage spaces, attic spaces, equipment rooms and similar areas, lighting fixtures shall have suitable enclosures to control fixture brightness and to prevent accidental breakage. Where exposed lamp fixtures are permitted, suitable guards shall be maintained in locations where breakage could be hazardous to personnel.
(f) Emergency lighting facilities shall be maintained for use during electrical power failure. In addition, flashlights shall be available at all times. Open flame lights shall not be used.
§71657. Mechanical Systems.

Heating, air conditioning, and ventilating systems shall be maintained in operating condition to provide a comfortable temperature and to meet the new construction requirements in effect at the time plans were approved for the hospital.
§71659. Screens.

To protect against flies and other insects, screens of 6 mesh per centimeter (16 mesh per inch) shall be provided on doors and openable windows. Screen doors shall be of a type approved by the State Fire Marshal.
§71661. Signal Systems.

(a) Where bed patients are cared for, a call system shall be maintained in operating order in all nursing units. Call systems shall be maintained to provide visible and audible signal communication between nursing personnel and patients. The minimum requirements are:
(1) A visible signal in the corridor above the door of each patient room.
(2) An audible signal and light indicating the room from which the call originates shall be located at the nurses' stations. Alternate systems must be approved in writing by the Department.
(b) The nurses' call systems shall be designed to require resetting at the calling station where the call originates unless a two-way voice communication component is included in the system.
§71663. Storage.

(a) All hospitals shall maintain general storage space of at least 1.9 square meters (20 square feet) per bed in addition to specialized storage space.
(b) Storage is not permitted in plenums (air distribution chambers) of air conditioning or ventilation systems.
§71665. Water Supply and Plumbing.

(a) Water for human consumption from an independent source shall be subjected to bacteriological analysis by the local health department, State Department of Health or a licensed commercial laboratory at least every three (3) months. A copy of the most recent laboratory report shall be available for inspection.
(b) Plumbing and drainage facilities shall be maintained in compliance with Part 5, Title 24, California Administrative Code, Basic Plumbing Requirements. Drinking water supplies shall comply with Group 4, Subchapter 1, Chapter 5, Division T17, Part 6, Title 24, California Administrative Code.
(c) Backflow preventers (vacuum breakers) shall be maintained in operating condition where required by Section T17-210 (c), Division T17, Part 6, Title 24, California Administrative Code.
(d) For hot water used by patients, there shall be temperature controls to automatically regulate the temperature between 40.5oC. (105oF) and 48.9oC (120oF).
(e) Hot water at a minimum temperature of 82.2oC (180oF) shall be maintained at the final rinse section of dishwashing facilities unless alternate methods are approved by the Department.
(f) Taps delivering water at 51.60oC (125oF) or higher shall be identified prominently by warning signs with letters 5 cm (2 inches) high.
(g) Grab bars are not required for each toilet, bathtub and shower except where both are appropriate to patient care and supervised by personnel.
(h) As a minimum, toilet, handwashing and bathing facilities shall be maintained in operating condition in the number and types specified in construction requirements in effect at the time the building or unit was constructed.
(i) Overhead pipes and ducts shall not be exposed in such manner as to endanger the patient directly or indirectly.
§71667. Ice.

Ice which is used in connection with food or drink shall be from a sanitary source and shall be handled and dispensed in a sanitary manner. Bacteriological testing shall be performed at least monthly and reports thereof shall be on file in the laboratory.
Chapter 2.5. Certified Nurse  Assistant Program
Article 1. Definitions
§71801. Agency.
Note     •     History

Agency means a private school, organization or individual approved by the Department to provide a continuing education course and a certification training program for nurse assistants.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.1 and 1337.3(a), Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71803. Clinical Training.
Note     •     History

Clinical training means that portion of the orientation program and the certification training program which includes instruction and demonstration on a patient of patient care skills by a Director of Staff Development or other instructor and a return demonstration of competence in these skills by the student.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.3, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71805. Continuing Education.
Note     •     History

Continuing education means provision of structured courses for certified nurse assistants by an agency, a public educational institution, or in a health care setting other than the nursing facility where the certified nurse assistant is employed.
NOTE

Authority cited: Sections 208(a), 1275, 1337.1 and 1338.3, Health and Safety Code. Reference: Sections 1337.1 and 1337.6, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71807. Core Curriculum.
Note     •     History

Core curriculum means a description of each category of study within a program which covers the minimum knowledge and skills required for nurse assistants and builds on their knowledge in a logical and methodical manner.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.3(d), Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71809. Director of Staff Development (DSD).
Note     •     History

Director of Staff Development (DSD) means a licensed nurse, approved by the Department, who meets the qualification requirement as stated in section 71829 and is employed by or under contract with a nursing facility.
NOTE

Authority cited: Sections 208.(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.1 and 1337.4, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71811. Gross Negligence.
Note     •     History

Gross negligence means the failure of a person to exercise any care, or the exercise of so little care that it is apparent that the person is indifferent to the consequences of his or her conduct and to the welfare of others.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.8(d)(1), Health and Safety Code and CALJIC No. 8.92 (4th ed. 1979).
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71813. Hour.
Note     •     History

Hour means fifty (50) minutes of participation in an organized learning experience. Each hour of classroom theory shall be accepted as one (1) hour of certification training, in-service training or continuing education.
NOTE

Authority cited: Sections 208(a), 13275 and 1338.3, Health and Safety Code. Reference: Sections 1337.3(c) and 1337.6(a), Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71815. Immediate Supervision.
Note     •     History

Immediate Supervision means that a supervisor shall not only be in the same building but shall also be present while the person being supervised demonstrates the clinical skills.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.3(c), Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71817. Incompetence.
Note     •     History

Incompetence means that a certified nurse assistant does not possess or fails to exercise that knowledge and/or skill possessed and exercised by a reasonable certified nurse assistants under similar circumstances.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.1(c) and 1337.8(d), Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71819. In-Service Training Program.
Note     •     History

In-service training program means a Department-approved structure program established for certified nurse assistants and provided by a nursing facility employer of nurse assistants.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.1(c) and 1337.6(a), Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71821. Instructor.
Note     •     History

Instructor means a licensed nurse employed by an agency or public educational institution who, when teaching a certification training program, meets the Department's qualifications for a Director of Staff Development.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.3 and 1337.4, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71823. Nursing Facility.
Note     •     History

Nursing facility means a skilled nursing facility, an intermediate care facility, an intermediate care facility/developmentally disabled or an intermediate care facility/developmentally disabled-nursing. This definition has a specific application to this chapter only and it is not intended to replace the statutory definition of  “skilled nursing facility” or any other definition of a health facility in Health and Safety Code section 1250(c).
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337(a), Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71825. Public Educational Institution.
Note     •     History

Public educational institution means a community college, university, a regional occupation center, a high school, an adult education center, accredited school of professional nursing or accredited school of vocational nursing whose certified nurse assistant training programs have been approved by the Department of Health Services or the Department of Consumer Affairs and offered by the Department of Education.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.3, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71827. Student Performance Standard.
Note     •     History

Student performance standard means a standard which is used as a method of measuring student learning.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337 and 1337.3, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment of section heading and text transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
Article 2. Administration
§71828. Administrative Policies and Procedures.
Note     •     History

(a) Each nursing facility, agency or public educational institution providing nurse assistant training shall develop and implement written administrative and management policies to govern the administrative and management of the training program, the director of staff development and instructors. Such policies shall be reviewed annually and revised as often as the nursing facility, agency or public educational institution determines necessary. A copy of the written policies shall be made available upon request to the Department.
(b) Policies shall include but not be limited to:
(1) Job descriptions detailing qualifications, duties, responsibilities, and limitations for the licensed nurse program director and the instructors.
(2) An organizational chart showing the person in charge of the program, the lines of authority, responsibility, communication, staff assignments, and schedules.
(3) The method of monitoring instructors by the individual responsible for the training program.
(4) The ratio of students to instructor(s) for the clinical training, not to exceed a ratio of one (1) instructor to fifteen (15) students.
(5) How student absenteeism and makeup classes will be handled.
(c) No nursing facility shall permit students to practice their clinical skills training or have contact with patients unless they have been screened and there is no indication they have been convicted of crimes defined in sections 220, 243.4, 261, 264.1, 273a, 288, 289, and 368 of the Penal Code.
(d) No nursing facility, agency, or public institution shall make or disseminate false or misleading statements or advertisements regarding training provided.
(e) No nursing facility, agency, or public institution shall make a claim that completion of their program may lead to a student receiving a nurse assistant certification unless the nursing facility, agency, or public institution provides a nurse assistant training program approved by the Department.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337 and 1337.3, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment of subsection (c)  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71829. Director of Staff Development or Instructor.
Note     •     History

(a) Each nursing facility, agency or public educational institution providing nurse assistant training shall be responsible for hiring qualified staff and shall submit a resume to the Department reflecting the qualifications of a Director of Staff Development or Instructor who must be approved by the Department. In nursing facilities a licensed nurse who meets the qualifications in this section may provide the training in place of the DSD when the DSD is absent due to illness or vacation or when the DSD has terminated employment. In the latter instance the facility must show evidence of recruitment efforts. A copy of the resume must be kept on file at the facility or agency. The Department shall be notified within thirty (30) calendar days following the employment of a new Director of Staff Development or Instructor.
(1) Submission of a resume shall be deemed to occur on the date the resume is received by the Department.
(2) A resume shall be considered complete when it clearly addresses all the qualifications required by this section.
(b) The Department shall inform the facility, agency or public institution, within thirty (30) calendar days of receipt of the resume that it is complete and accepted or that it is deficient and what specific information or documentation is required to complete the resume.
(c) The Department's maximum time period to approve a resume for an Instructor or Director of Staff Development shall be sixty (60) calendar days, from the receipt of the initial application to the final decision regarding the resume. To prevent delays, the Department may provide telephone approvals whenever possible. Telephone approvals shall be followed by written confirmations.
(d) The nursing facility, agency or public educational institution is responsible for assuring that the Director of Staff Development or Instructor who teaches the certification training program meets either of the following qualification requirements:
(1) One (1) year of experience as a licensed nurse providing direct patient care in a long term care facility in addition to one (1) year of experience planning, implementing and evaluating educational programs in nursing; or
(2) Two years of full time experience as a licensed nurse, at least one year of which must be in the provision of direct patient care in a nursing facility. Within six (6) months of employment and prior to teaching a certification program, the Director of Staff Development or Instructor shall obtain a minimum of twenty-four (24) hours of continuing education courses in planning, implementing and evaluation educational programs in nursing. These must either be courses approved by the Board of Registered Nursing or courses administered by an accredited educational institution. A transcript of successfully completed courses shall be sent to the Department and shall be used as a basis for approval of the qualifications of the Director of Staff Development or Instructor. A copy of the transcript shall be kept on file at the nursing facility, agency or public educational institution.
(e) Depending on the number of beds, nursing facilities which provide only an orientation program and in-service program must employ or contract with a Director of Staff Development according to the minimum number of hours specified in Column A. Nursing facilities which also have a certification program shall employ or contract with a Director of Staff Development according to the minimum number of hours specified in Column B. The Department may require a facility to proved additional staff in accordance with 22 CCR section 72501(g).

	Column A		Column B
	Number of Beds	Required Hours	Number of Beds	Required Hours
		Per Month		Per Week

	100 or more	93	100 or more	40
	60 - 99	54	60 - 99	30
	1 - 59	26	1 - 59	20

NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.4, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment of subsections (a) and (d)(1)-(2) transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71831. Program Flexibility.
Note     •     History

(a) Although facilities, agencies and public educational institutions are required to comply with sections 71801 through 71853, these requirements shall not prohibit the use of alternate concepts, methods, procedures, techniques or personnel qualifications in the provision of nurse assistant training programs provided such exceptions are carried out without reduction in the quality of nurse assistant training, the quality of patient care in the facility or the ability of the certification training program to prepare nurse assistants for certification. Such exceptions may only be carried out with the prior written approval of the Department which shall provide for the terms and conditions under which the exception is granted. A written request and substantiating evidence supporting the request shall be submitted by the applicant or licensee to the Department.
(b) Submission of a request for program flexibility must be made in the format and on a form developed by the Department. Form DHS 5000, 5/92, is hereby incorporated by reference. Submission of the program flexibility request shall be deemed to occur on the date the request is received by the Department. This form can be obtained by writing to the Department at the address specified in Section 71833(b).
(c) A request is considered complete when the facility, agency or public institution has fully described how it intends to meet the regulatory requirement in an alternate manner.
(d) The Department shall inform the facility, agency, or public institution within thirty (30) calendar days of receipt of a request for flexibility that the request is complete and accepted for consideration or that the request is deficient and what specific information or documentation is required to complete the request.
(e) The Department shall within sixty (60) days of a completed request,  notify the facility, agency or public institution in writing, of the Department's decision regarding the request.
(f) The Department's time frames for processing a program flexibility request from the day a complete request is received are as follows:

	(1)	Minimum		30 days.
	(2)	Median		45 days.
	(3)	Maximum		60 days.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1338.3 and 1276, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11-13- 91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment of subsections (a) and (b) and new subsection (f)  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
Article 3. Program Components
§71833. Orientation Program.
Note     •     History

(a) An orientation program shall be provided by each nursing facility. Each nursing facility must submit for the Department's approval a written plan describing its orientation program. Facilities which already have a written plan approved by the Department shall be required to only submit changes for approval when these occur. To be considered complete, any new program plan shall include the following:
(1) An orientation schedule indicating the time, date of presentation and the number of hours in which orientation is provided.
(2) A lesson plan which includes a student performance standard and a detailed outline of content for each lesson. The topic content must provide the Department with adequate detail (i.e., method, technique and procedure(s)) to discern what is taught. The lesson plan must describe the method of teaching, and the method of evaluating the students' knowledge and clinical skills.
(3) Core curriculum.
(b) New orientation program plans or changes to those plans shall be submitted to the Department for approval at the following address: Department of Health Services, Licensing and Certification Program, Nurse Assistant Certification Unit, 1800 Third Street, Suite 200, P.O. Box 942732, Sacramento, CA 94234-7320.
(c) Upon receipt of the program plan, the Department shall inform the applicant in writing within 30 days of the date received whether the program plan is complete and accepted for consideration or that the request is deficient and what specific information or documentation is required to be changed or added.
(d) The Department's time frames for approving or denying a program plan from the date a complete application is received are as follows: 

	(1)	Minimum		30 days.
	(2)	Median		60 days.
	(3)	Maximum		90 days.
(e) Certified and noncertified nurse assistants shall receive sixteen (16) documented hours of orientation. The orientation shall be completed during the first forty (40) hours of employment.
(1) The first eight (8) hours of orientation shall be conducted prior to providing direct patient care. Orientation related to the following facility-specific subjects shall be provided at the facility where the certified or noncertified nurse assistant is to be employed:
(A) A tour of the nursing facility, including a description of the patient population, description of the daily routine for patients and demonstration of the use of equipment including the call cord and intercommunication system.
(B) Instruction in the prevention and management of a catastrophe and other unusual occurrences, including but not limited to emergency procedures related to fire and disaster preparedness.
(C) Introduction to basic patient care which includes supervised clinical training prior to a patient care assignment. This training shall be the responsibility of the Director of Staff Development or other licensed nurse who is free of other responsibilities during the time he/she is providing the clinical training.
(2) The remaining eight (8) hours of the orientation program shall be presented within the next thirty-two (32) hours of employment. Facilities which are under common ownership or belong to one corporation may provide this portion of the orientation in a central location other than the one where the nurse assistant is employed. During this final eight (8) hours of orientation, the following topics must be included:
(A) Administrative structure.
1. Organization of staff.
2. Services offered.
3. The role of nurse assistants, including job description, team approach, attitudes and approaches to patients.
4. Personnel policies, including appearance and grooming.
(B) The facility's philosophy of patient care.
(C) Patients' rights.
(D) Legal and ethical considerations of health care.
(E) Patient care policies and procedures including but not limited to bathing, bedmaking, transfer techniques, positioning and turning.
(F) Patient comfort and patient environment.
(G) The role of Federal and State regulations in the provision of care.
(H) Instruction in the relief of choking.
(f) After completing sixteen (16) hours of orientation and prior to beginning a certification program, noncertified nurse assistants shall provide patient care only in areas of skill where they have received orientation and training and have demonstrated that they are competent through performance evaluations completed and signed by the Director of Staff Development or Instructor.
(g) A licensed nurse shall be responsible for the written evaluation of each clinical skill demonstrated by noncertified nurse assistants and shall determine their ability to provide patient care. During the evaluation, the licensed nurse shall be free from other responsibilities.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.3, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment of subsections (a) and (a)(2), new subsections (b)-(d) and relettering of former subsection (b) to (e), amendment of subsections (e)(1) and (e)(2)(E), relettering of former subsections (c) and (d) to (f) and (g), abd repealer of subsections (e) and (f) transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71835. Certification Training and Competency Evaluation Program.
Note     •     History

(a) A certification training program shall be conducted either directly by a nursing facility or through an agreement with another nursing facility, agency or public educational institution approved by the Department. All providers of certification training and competency evaluation programs shall meet both state and federal requirements.
(b) When a nursing facility provides the certification training program through another nursing facility, agency or public educational institution, there shall be a written agreement signed and dated by the authorized representatives of each party. Agencies and public institutions which use nursing facilities as a clinical skills training site for certification training shall keep a record of each student, the date and the time of the training and the name of the qualified instructor. Agencies and public institutions must develop the training schedule with the nursing facility and provide the above record to the nursing facility. The agency, public educational institution or nursing facility providing the training must retain these records for a period of four (4) years starting from the date each class begins.
(c) A contractor who provides certification training for a nursing facility by agreement shall be responsible for the program in its entirety. This shall include furnishing the staff to teach theory and supervise the clinical training of the program. Nursing facilities shall only contract with Department approved training programs.
(d) Credit for portions of another California approved certification training program completed within the previous two years shall be given. To receive credit for the portion(s) of a training program received in another state or country, a nursing assistant must request the provider in the other state or country to submit an original transcript of the course(s) to the Department at the address specified in Section 71833(b).
(1) Starting from the date the Department receives a request for approval, the applicant shall be informed within 30 days whether the request is complete and accepted for filing or whether the request is deficient and what specific information is needed. A complete request is one that includes an original transcript.
(2) Starting from the date a completed request is received, the Department will make a decision whether to approve or disapprove it within 90 days. The Department's time frames for acting on a request for credit are as follows:

	(A)	Minimum		30 days.
	(B)	Median		60 days.
	(C)	Maximum		90 days.
(e) The nursing facility, school or agency shall maintain evidence that all health professionals involved in the training program are currently licensed, registered or certified in their area of expertise.
(f) Each student enrolled in a certification training program or competency evaluation program shall have a health examination prior to participating in segments of the program which involve contact with patients in a nursing facility.
(1) This examination shall include:
(A) A medical history and physical examination.
(B) A purified protein derivative, intermediate strength intradermal skin test for tuberculosis, unless medically contraindicated. If a positive reaction is obtained, a chest x-ray shall be taken, unless medically contraindicated.
(2) A report, signed by the physician, physician's assistant or nurse practitioner, shall be provided to the nursing facility. This report shall indicate that the student does not have any health condition that would create a hazard to himself, fellow employees, or patients.
(g) A licensed nurse (or nurses) in a nursing facility may assist the Director of Staff Development in the supervision of students during clinical training. Such nurse(s) shall have no other duties while supervising students for the one hundred (100) hours of clinical training. The 100 hours of supervised clinical training shall be conducted between the hours of 6:00 a.m. and 8:00 p.m.
(h) Application shall be made by the nursing facility, agency or public educational institution to the Department for approval of a certification training program.
(1) Submission of an application shall be considered complete when all of the information required under subsection (i) of this section has been received by the Department.
(2) The Department's maximum time period for processing an application for a certification training program, from the receipt of initial application to the final decision regarding the application shall be ninety (90) days.
(3) No training shall commence until the nursing facility, agency, or public institution receives approval from the Department.
(i) Applications shall contain a sample of four (4) lesson plans which address four (4) different topics in a module specified in section 71835(n). Each lesson plan must include:
(1) The student performance standard.
(2) An outline of content to be provided for that particular lesson with adequate detail (i.e., method, technique, procedure) to discern what is taught.
(3) The method of evaluating knowledge and demonstrable skills.
(4) A sample of the skills return demonstration record used for each trainee which shall include:
(A) A listing of the duties and skills the nurse assistant must learn.
(B) Space to record the date when the nurse assistant performs this duty or skill.
(C) Space to note satisfactory or unsatisfactory performance.
(D) Space to record the initials and title of the licensed nurse evaluator.
(j) The program shall be finished and/or a competency evaluation must be successfully completed within four (4) months of employment.
(k) Each nursing facility, agency or public educational institution shall submit a request for the Department's review and approval thirty (30) days prior to a change in core curriculum content, training hours or contracted services.
(l) All records regarding the program shall be kept available for the Department's inspection for a period of four years from the date the Department approves it. All records pertaining to individuals who have successfully completed the program shall be available for the Department's inspection for period of four (4) years from the date of enrollment. Records of students who have not successfully completed the program may be discarded.
(m) A certification training program shall consist of at least the following:
(1) One hundred (100) hours of clinical training under the immediate supervision of the Director of Staff Development or Instructor. The training shall include demonstration by the Instructor or Director of Staff Development of basic patient care skills based upon the theory and clinical instruction presented in classroom. Return demonstrations by the student are also required and shall be under the immediate supervision of the Instructor or Director of Staff Development or other licensed nurse who has no other responsibilities while supervising students. During clinical training and demonstration of skills, there shall be no more than fifteen (15) students assigned to each instructor at any time. Clinical training shall take place in a nursing facility and shall be conducted in conjunction with classroom instruction. To be counted toward 100 hours of clinical training, the successful performance of a nurse assistant must be verified by the Instructor or the Director of Staff Development.
(2) A minimum of fifty (50) hours of classroom instruction shall be conducted in either a nursing facility, an agency or a public educational institution.
(n) The Department's criterion for approving certification training programs shall be that each program shallow include one hundred (100) hours of supervised clinical training and fifty (50) hours of theory, as specified in the modules and hours stated below. It is not necessary that the modules be presented in the same sequence, as long as the content and hours are the same. Specific theory hours assigned to each module are mandatory. Specific clinical hours for each module are recommended. Prior to any direct contact with a patient, at least a total of 16 hours of training shall be provided in the following areas:
(1) Communications and interpersonal skills.
(2) Infection control.
(3) Safety and emergency procedures including the Heimlich maneuver.
(4) Promoting the independence of patients.
(5) Respecting the rights of patients.

	Theory	Clinical
	Hours	Hours

(1) Module 1. Introduction.	2	0
(A) Role and responsibilities of the Certified
Nurse Assistant.
(B) Title 22, division 5, California Code of
Regulations, overview.
(C) Requirements for nurse assistant certification.
(D) Professionalism.
(E) Ethics and confidentiality.
(2) Module 2, Patients' Rights.	2	1

Each nursing assistant applicant shall be instructed in patients' right as specified in title 22, California Code of Regulations section 72527 and in sections 1599.1, 1599.2, and 1599.3 of the Health and Safety Code and in Title 42, Code of Federal Regulations Part 483, Sections 483.10, 483.12, 483.13 and 483.15. The provisions of these sections are incorporated by reference into this regulation.

(3) Module 3. Interpersonal skills.	2	0
(A) Communications.
(B) Defense mechanisms.
(C) Sociocultural factors.
(D) Attitudes toward illness and health care.
(E) Family interaction

	Theory	Clinical
	Hours	Hours

(4) Module 4. Prevention and Management
of Catastrophe and Unusual Occurrences.	1	1

(A) Emergency.

(B) General safety rules.

(C) Fire and disaster plans.

(D) Roles and procedures for Certified Nurse Assistants.

(E) Patient safety.

(5) Module 5. Body Mechanics.	2	4

(A) Basic rules of body mechanics.

(B) Transfer techniques.

(C) Ambulation.

(D) Proper use of body mechanics

and positioning techniques.

(6) Module 6. Medical and Surgical Asepsis.	2	8

(A) Micro-organisms.

(B) Universal precautions for infection control including methods to handle patients, and all materials that are soiled with blood and/or body fluids from patients. The methods prescribed shall be designed to reduce the risk of transmission of potentially infectious etiologic agents from patient to patient and between patients and healthcare workers.

(C) Basic principles of asepsis.

(7) Module 7. Weights and Measures.	1	1

(A) The metric system.

(B) Weight, length and liquid volume.

(C) Military time i.e. a twenty-four (24) hour clock.

(8) Module 8. Patient Care Skill.	14	44

(A) Bathing and medicinal baths which includes substances such as bran, oatmeal, starch, sodium bicarbonate, epsom salts, pine products, tar, sulfur, potassium permanganate or salt.

(B) Dressing.

(C) Oral hygiene.

(D) Hair care, hair shampoo, medicinal shampoo,
nail care and shaving.

(E) Prosthetic devices.

(F) Skin care including prevention of decubitus ulcers.

(G) Elimination needs.

(H) Bowel and bladder retraining.

(I) Weighing and measuring the patient.

(9) Module 9. Patient Care Procedures.	7	20

(A) Collection of specimens, including stool, urine and sputum.

(B) Care of patients with tubing  to include but not be limited to urinary, gastric, oxygen and intravenous. This care does not include inserting, suctioning or changing the tubes.

(C) Intake and output.

(D) Bedmaking.

(E) Cleansing enemas and laxative
suppositories.

(F) Admission, transfer and discharge.

(G) Bandages and nonsterile dry dressings, including the application of nonlegend topical ointments to intact skin surfaces.

(10) Module 10. Vital Signs.	3	6

(A) Purpose of vital signs.

(B) Factors affecting vital signs.

(C) Normal ranges.

(D) Methods of measurement.

(E) Temperature, pulse, respiration.

(F) Blood pressure.

(G) Abnormalities.

(H) Recording.

(11) Module 11. Nutrition.	2	6

(A) Proper nutrition.

(B) Feeding techniques.

(C) Diet therapy.

(12) Module 12. Emergency Procedures.	2	1

(A) Signs and symptoms of distress.

(B) Immediate and temporary intervention.

(C) Emergency codes.

(13) Module 13. Long-Term Care Patient.	2	0

(A) Needs of persons with  developmental and mental disorders including mental retardation, Alzheimer's disease,  cerebral palsy, epilepsy, dementia and mental illness.

(B) Introduction to anatomy and physiology.

(C) Physical and behavioral needs and changes.

(D) Community resources available.

(E) Psychological, social and recreational needs.

(F) Common diseases and disorders including signs
and symptoms.

(14) Module 14. Rehabilitative Nursing.	2	4

(A) Promoting patients' potential.

(B) Devices and equipment.

(C) Activities of daily living.

(D) Family interactions.

(E) Complication of inactivity.

(F) Ambulation.

(G) Range of Motion.

(15) Module 15. Observation and Charting.	4	4

(A) Observation of patients and reporting responsibility.

(B) Patient care plan.

(C) Patient care documentation.

(D) Legal issues of charting.

(E) Medical terminology and abbreviations.

(16) Module 16. Death and Dying.	2	0

(A) Stages of grief.

(B) Emotional and spiritual needs of the patient

and family.

(C) Rights of the dying patient.

(D) Signs of approaching death.

(E) Monitoring of the patient.

(F) Post mortem care.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.3 and 1337.6,  Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment of subsections (a), (b)  and (d), new subsections (d)(1)-(d)(2)(C), amendment of subsections (f)(1)(B), (f)(2), (i), (i)(1), (l), (m)(1), and (n),  new subsections (n)(1)-(5), and amendment of (2), (8)(A), (9)(A)-(B), (13)(A) of Table and Note transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
5. Editorial corrections (Register 95, No. 44).
§71837. Issuance of Certificate.
Note     •     History

(a) The Director of Staff Development or Instructor shall notify the Department in writing of those individuals who have completed the certification training program and have successfully passed examinations testing the knowledge and skills related to the basic patient care modules identified in section 71835(n). Those who have not passed the examination may be given two more opportunities to take the examination and pass.  Notification of those who passed shall be sent no later than ten (10) working days following the examinations.
(b) No part-time or full-time nurse assistant shall be employed as a nurse assistant by a facility beyond four months unless he or she is  certified.
(c) Every person applying for, holding or to whom a certificate is issued, shall file his or her present mailing address with the Department and shall notify the Department of any change therein. Applicants shall use the Department's form 283B, dated 5/92, and instructions revised on 7-16-92. This form and instructions are herein incorporated by reference. They can be obtained from the address shown below. The application and subsequent correspondence shall be mailed to the same address:
Department of Health Services
Licensing and Certification
Nurse Assistant Certification Section
714/744 P Street
P.O. Box 942732
Sacramento, CA 94234-7320
(d) Starting from the date the Department receives the application for the certificate, the Department shall inform the applicant within 30 days whether the application is complete or whether it is deficient. If it is deficient the Department shall inform the applicant what specific areas need to be changed or what information needs to be added. Applications are considered complete when applicants indicate they are at least 16 years old, have paid the fee when required by Section 71841(a)(1), are on the Department's records as having successfully completed an approved training program and have passed the examination.
(e) The Department shall make a decision whether or not to issue a certificate within 90 days from the date the Department receives a completed application. The Department's time frames for acting on an application are as follows:

	(1)	Minimum		30 days.
	(2)	Median		60 days.
	(3)	Maximum		90 days.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.2 and 1337.4, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment of subsections (a)-(d) and new subsections (e)-(e)(3)  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71839. Renewal of Unexpired Certificates.
Note     •     History

(a) Certified nurse assistants shall submit a certification renewal application, an application fee and verification of the required in-service training every two (2) years.
(b) Submission of an application for renewal shall be deemed to occur on the date the application is received by the Department.
(1) Starting from the date the Department receives an application for a renewed certificate, the applicant shall be informed within 30 days whether the application is complete and accepted for filing or that the application is deficient and what specific information is needed.
(2) An application is considered complete when the correct fee is received and the accompanying documentation verifies completion of required twenty- four (24) hours of in-service training or continuing education per year for a total of forty-eight (48) hours within the two (2) year renewal period. The in-service training and continuing education shall include multiple topics.
(3) Starting from the date a completed application is received, the Department will make a decision whether to approve or disapprove it within 90 days. The Department's time frames for acting on an application for  renewal are as follows:

	(A)	Minimum		30 days.
	(B)	Median		60 days.
	(C)	Maximum		90 days.
(c) California, out-of-state, and foreign academic nursing courses given in accredited postsecondary institutions, out-of-state nursing-related courses approved for in-service training or continuing education by licensing agencies of other states, providers approved by the California Board of Registered Nursing  and courses given by nationally recognized health associations shall be approved if the Department determines them to be equivalent for meeting the requirements for an in-service training program or continuing education program. Only original documents and transcripts from out-of-state or foreign schools will be accepted by the Department for equivalency consideration. These documents must come directly from the institution or agency where the course(s) were provided.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.2 and 1337.6, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including new subsection (b)(1) and renumbering of following subsection with amendment, repealer of subsection (b)(2), new subsections (b)(3)-(b)(3)(C), and amendment of subsection (c) transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71841. Fees and Penalties.
Note     •     History

(a) Each individual shall submit a fee for the issuance and renewal of certificates, replacement of certificates and penalties for late filings of renewals.
(1) The application for certification fee shall be fifteen dollars ($15.00).
(2) The renewal fee shall be twenty dollars ($20.00).
(3) The Delinquency fee shall be ten dollars ($10.00).
(4) The duplicate fee for lost certificates shall be five dollars ($5.00).
(b) Payment by mail for the required fee shall be by personal check, cashiers check, certified check or money order. The penalty for submitting insufficient funds or any fictitious check shall be a fine of ten dollars ($10.00) in addition to any adverse action imposed pursuant to Health and Safety Code section 1337.8.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.7, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment of subsection (a)(1) transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
Article 4. Continuing Education and In-Service Training
§71843. Provider Identification Training Number.
Note     •     History

(a) A provider identification training number shall be issued to all existing nursing facilities who have an in-service training program.
(b) A provider identification training number shall be issued in accordance with the time frames indicated in Sections 71845(b) and 71847(c). This number shall be issued to each new program provider at the time of course approval and prior to the provider offering a in-service training program or continuing education course to a certified nurse assistant for credit.
(c) If two (2) or more providers cosponsor a course, only one (1) provider identification number shall be used for that course and the provider whose number is used shall assume full responsibility for the course.
(d) The provider identification training number is not transferable.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.3(d), Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment of subsection (b) transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71845. Continuing Education.
Note     •     History

(a) Continuing education may be offered by an individual, partnership, corporation, association, governmental entity, agency or public educational institution approved by the Department.
(b) Application for approval of new and renewal of existing continuing education programs shall be submitted to the Department at the address specified in Section 71833(b).
(1) Starting from the date the Department receives an application for a continuing education program, the applicant shall be informed within 30 days whether the application is complete and accepted for filing or that the application is deficient and what specific information is needed.
(2) An application shall be considered complete when received by the Department with all the requirements in subsection (c) included.
(3) Starting from the date a completed application is received, the Department will make a decision, whether to approve or disapprove it within 90 days. The Department's time frames for acting on an application for approval of a continuing education program are as follows:

	(A)	Minimum		30 days.
	(B)	Median		60 days.
	(C)	Maximum		90 days.
(c) Application for approval of an initial continuing education programs shall include the following:
(1) A course title, course outline, core curriculum and lesson plan(s). Lesson plans shall include student performance standards and an outline of content to be provided for each particular lesson. Lesson plans must provide the Department with adequate detail (i.e., method, technique, procedure) to discern what is being taught. Plans must also include the method of evaluating the results of the training. Course content shall be designed to enhance knowledge and skills acquired during the basic certification training.
(2) The number of hours scheduled for presentation.
(3) A sample of an evaluation tool.
(d) Approved providers of continuing education shall maintain the program and attendance records of all students for period of four (4) years from the starting date of each class. The records shall be immediately accessible upon request.
(e) Authorization to participate as a continuing education provider shall be revoked if it is found that the program is not being conducted in accordance with the approved plan or in accordance with this chapter. The provider may submit a new application after ninety (90) days following revocation if deficiencies have been corrected.
(f) Providers shall request Departmental approval whenever changes are made to the program as originally approved.
(g) Providers shall submit a request for Department review and approval not later than thirty (30) days prior to a change in the program and within thirty (30) days following a change in staff.
(h) A nurse instructor shall hold a current valid license to practice as a licensed nurse.
(i) A consultant who is instructing in a health area which requires a license, must be currently licensed, registered or certified in his or her area of expertise.
(j) Continuing Education Credit.
(1) One (1) hour of classroom theory shall be accepted as one (1) hour of continuing education credit.
(2) Three (3) hours in course related clinical training shall be accepted as one (1) hour of continuing education credit.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.1(c) and 1337.6(a), Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Com--pliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment of subsection (b), new subsection (b)(1) and renumbering and amendment of following subsection, repealer of subsection (b)(2), new subsections (b)(3)-(b)(3)(C), amendment of subsections (c)(1) and (d), repealer of subsections (e)(1)-(2) and relettering of following subsections, and amendment of subsections (f), (g), and (i) transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71847. In-Service Training Program.
Note     •     History

(a) Each facility shall complete a performance review of every nurse assistant employed by the facility at least once every 12 months and must provide regular in-service training based on the outcome of these reviews.
(b) In-service training programs shall take place in a nursing facility. Such facility shall have a written plan describing its in-service training program.
(c) Applications for approval and renewal of written plans for in-service training programs shall be submitted to the Department for approval at the address specified in Section 71833(b).
(1) Starting from the date the Department receives an application for an in-service training program, the applicant shall be informed within 30 days whether the application is complete and accepted for filing or that the application is deficient and what specific information is needed.
(2) An application shall be considered complete when received by the Department with all the requirements in subsections (d), (e) and (f) of this section included.
(3)  Starting from the date a completed application is received, the Department will make a decision whether to approve or disapprove it within 90 days. The Department's time frames for acting on an application for approval of an in-service training program are as follows:

	(A)	Minimum		30 days.
	(B)	Median		60 days.
	(C)	Maximum		90 days.
(d) Each application for approval or renewal of an in-service training program shall include:
(1) A three (3) month in-service schedule.
(2) A course title, course outline, core curriculum and lesson plan(s). The lesson plan must include student performance standards and a description of topics included which provides the Department with adequate detail (i.e., method, technique, procedure) to discern what is taught. The lesson plan must describe the method of teaching and the method of evaluating the results of the training.
(3) The number of hours for presentation and presentation dates.
(4) The method to evaluate learning when audio/video tapes or films are used.
(e) Each nursing facility shall include a schedule to demonstrate how it will make available twenty-four (24) hours of varied in-service training annually. The in-service training shall include multiple subjects.
(1) In-service training program sessions shall be made available to all employed certified nurse assistants who shall receive at least the normal hourly wage for attending the program.
(f) The content of the in-service training program shall enhance knowledge and skills learned in the certification training program and shall also address areas of weakness as determined by a nurse assistant's performance reviews, areas of special needs of the patients, including those with cognitive needs, and areas wherein the facility received deficiencies related to patient care following the last licensing survey. Subjects may include, but are not limited to:
(1) Working with patients who have special problems such as blindness, deafness, confusion or communication disabilities.
(2) Bladder and bowel training and management.
(3) Signs, symptoms and probable causes of patient distress with procedures to be followed for alleviating distress and emergency procedures for the relief of choking.
(4) Psychosocial aspects of aging and/or chronic illness as relevant to the individual, family and community.
(5) Patient care elements including planning and organizing work while individualizing patient care; testing urine for sugar and acetone; measuring blood pressure and administering nonmedicated enemas.
(6) Nursing care relevant to body systems including, but not limited to, fractures, diabetes, cardiac disorders, dementia, cerebrovascular accidents, arthritis, pulmonary disorders and infectious diseases including Acquired Immune Deficiency Syndrome (AIDS).
(7) Nutritional needs of patients and related nursing interventions.
(8) Oral hygiene.
(9) Patient care conferences and patient care plans involving the patient and the patient's family.
(10) Improving skills in observation, reporting and recording of patient information.
(11) Developing effective relationships and means of intervention on behalf of the patients.
(12) Social and recreational needs of the patient.
(13) Working with the dying patient and the family.
(14) Environmental safety including fire and accident prevention.
(15) Universal precautions for infection control including methods to handle all patients and all materials that are soiled with blood and/or body fluids from all patients. The methods prescribed shall be developed to reduce the risk of transmission of potentially infectious etiologic agents from patients and between patients and health care workers.
(16) Patients' rights and civil rights.
(17) Disaster preparedness.
(18) Sensory deprivation and stimulation.
(19) Maintenance of healthy skin: prevention of skin breakdown, body positioning and range of motion.
(20) Use of adaptive equipment relevant to nutrition and physical dysfunction.
(21) Safeguarding patients' personal property through compliance with the facility's theft and loss prevention program.
(g) In-service training programs shall describe what staff needs were assessed, how the program plan will meet those needs, how the plan will be implemented and how staff learning will be assessed.
(h) Each nursing facility shall submit a renewal request for the Department's review and approval every two years and not later than thirty (30) days prior to a change in core curriculum content or training hours or thirty (30) days following a change in program staff.
(i) A nursing facility shall keep all records of in-service training programs on file for a period of four years starting from the date the first classes were offered.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.1(c), 1337.1(d), 1337.3, 1337.5(a) and 1337.6(a),  Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71849. In-Service Training Program and Continuing Education Course Record of Attendance.
Note     •     History

(a) The nursing facility, agency or public educational institution shall provide each certified nurse assistant with a record of the in-service training program or continuing education course he or she has completed. The record shall include:
(1) The individual's name and nurse assistant certification number.
(2) The title of the program.
(3) The date and hours attended.
(4) The name, address and telephone number of the organization or individual providing the training.
(5) The name, professional title and signature of the Director of Staff Development or Instructor.
(6) The provider identification training number issued by the Department.
(7) The following statement: “This record shall be retained by the certified nurse assistant for a period of four (4) years starting from the date of enrollment.”
(b) The orientation program in a nursing facility and the certification training program shall not be claimed by the certified nurse assistant as in-service or continuing education credit.
(c) Credit shall not be claimed for partial completion of in-service or continuing education by the certified nurse assistant.
(d) Nursing facilities may plan joint in-service classes and continuing education courses and share community resources as long as one provider can be identified as fully responsible. Each participating facility, agency or public educational institution shall retain in-service or continuing education class records of instructors, class schedules and participating students for a period of four (4) years from the date each class starts. These records shall be kept available for Departmental review.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Sections 1337.1 and 1337.6, Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(7) and (d) transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
Article 5. Adverse Actions and  Corrective Remedies
§71851. Disciplinary Actions and Appeals.
Note     •     History

(a) The Department shall take disciplinary action against certified nurse assistants in accordance with the specifications in section 1337.8 of the Health and Safety Code.
(b) When determining whether to revoke, deny, suspend, or place on probation the certificate of a certified nurse assistant, the Department shall consider at least the following criteria:
(1) The individual's total criminal record.
(2) The nature and severity of the act(s) or crime(s) under consideration.
(3) Evidence of any act(s) or crimes committed subsequent to the act(s) or crime(s) under consideration.
(4) The time that has elapsed since commission of the act(s) or crime referred to in subsections (1) and (2) of this regulation.
(5) The extent to which the applicant has complied with any terms of parole, probation, restitution or any other sanctions lawfully imposed against the applicant.
(6) Evidences, if any, of rehabilitation submitted by the applicant.
(c) At least twenty (20) business days prior to the effective date of the action, the Department shall mail the certified nurse assistant a written notice of the proposed action. The Department shall send this notice by certified mail to the most recent address on record and shall indicate the reasons for such action, and shall include a copy of the charges and material upon which the action is based and an explanation of the right to respond either verbally or in writing to a Departmental representative at an informal hearing. Persons convicted in a court of law are not eligible for the informal hearing process. The informal hearing shall be held at a location designated by the Department. The nurse assistant must submit a  request for an informal hearing within fifteen (15) business days of receipt of the notice of the effective date of an action to suspend or revoke his or her certificate. The Department shall conduct the informal hearing within five (5) business days of receipt of a timely request for a hearing.
(d) Any certified nurse assistant may forego the informal hearing process and proceed directly to a formal administrative hearing by writing to the Department's Nurse Assistant Certification section within 20 calendar days of receipt of the Department's notice of adverse action.
(e) The Department must issue a written decision to the individual by certified mail within five (5) business days after close of the informal hearing. The decision must notify the individual of his or her right to an appeal pursuant to chapter 5 (commencing with section 11500) of part 1 of division 3 of title 2 of the Government Code if the individual is dissatisfied with the decision. The nurse assistant must submit his/her appeal to the Department's Licensing and Certification Program, Nurse Assistant Certification section, at the address provided in section 71837(c) within twenty (20) business days of the decision.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.8, Health and Safety Code, Skelly vs. State Personnel Board (1975) 15 Cal3d 194.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (c)  transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§71853. Program Site Visits.
Note     •     History

When the Department makes a site visit and finds that the program or provider is out of compliance with this chapter or the provider's own policies and procedures, the nursing facility, agency or public educational institution must implement corrective action. Unless a different time period is specified, the facility, agency or public educational institution shall make the corrections within sixty (60) days of the notice of noncompliance or its program will be disapproved. Providers of programs which are brought back into compliance may apply for reinstatement to the Department's Nurse Assistant Certification Unit.
NOTE

Authority cited: Sections 208(a), 1275 and 1338.3, Health and Safety Code. Reference: Section 1337.3(b), Health and Safety Code.
HISTORY

1. New section filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11- 13-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and new section refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order including amendment transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
Chapter 3. Skilled Nursing Facilities
Article 1. Definitions
§72001. Meaning of Words.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Repealer of Chapter 3 (Articles 1-6, Sections 72001-7272, not consecutive) and new Chapter 3 (Articles 1-7, Sections 72001-72713, not consecutive) filed 2-19-82; effective thirtieth day thereafter (Register 82, No. 8). For prior history, see Registers 81, No. 43; 80, No. 5; 79, No. 49; 79, No. 30; 79, No. 18; 79, No. 15; 79, No. 5; 79, No. 3; 78, No. 51; 78, No. 45; 78, No. 44; 78, No. 26; 77, No. 52; 77, No. 44; 77, No. 27; 77, No. 22; 77, No. 11; 77, No. 6; 77, No. 2; 76, No. 51; 76, No. 46; 76, No. 41; and 76, No. 34.
§72003. Accredited Record Technician.
Note

Accredited record technician means a person who is accredited as such by the American Medical Record Association.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72005. Activity Leader.
Note

Activity leader means a person qualified by training and/or experience to develop and implement an activity program.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72007. Administrator.
Note

Administrator means a person licensed as a nursing home administrator by the California Board of Examiners of Nursing Home Administrators or a person who has a state civil service classification or a state career executive appointment to perform that function in a state facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72009. Alteration.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72011. Art Therapist.
Note

Art therapist means a person who has a master's degree in art therapy or in art education or psychology with major course work in art, art therapy, including an approved clinical internship in art therapy from an accredited college or university, and a person who is registered or eligible for registration as such with the American Art Therapy Association.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72013. Audiologist.
Note

Audiologist means a person licensed as such by the California Board of Medical Quality Assurance or a person who has a master's degree in the field and is authorized to practice under the supervision of a licensed audiologist as outlined in Section 2530.5(f), Chapter 5.3, of the Business and Professions Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72015. Authorized Representative.
Note     •     History

NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Repealer filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§72017. Biological.
Note

Biological means a product, virus, serum, toxin, antitoxin or analogous product derived from living matter applicable to the prevention, treatment or cure of disease or injuries in humans.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72018. Chemical Restraint.
Note     •     History

Chemical restraint means a drug used to control behavior and used in a manner not required to treat the patient's medical symptoms.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§72018.1. Consent.
Note     •     History

Consent means the voluntary agreement by a patient or a representative of an incapacitated patient to receive an identified treatment or procedure.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§72019. Conservator.
Note

Conservator means a person appointed by a court to take care of the person, the property or both of the conservatee under Section 5350 et seq., of the Welfare and Institutions Code or under Section 1800 et seq., of the Probate Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72021. Consultant.
Note

Consultant means a qualified person who gives professional advice or service, with or without remuneration.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72023. Controlled Drugs.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72025. Dance Therapist.
Note

Dance therapist means a person who has a master's degree in dance therapy, including an approved clinical internship from an accredited college or university, or a person who is registered or eligible for registration as such by the American Dance Therapy Association.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72027. Decubitus Ulcer.
Note

Decubitus ulcer means an ulceration of skin and underlying tissue caused by pressure.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72029. Defined.
Note

Defined means explained in writing.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72031. Dentist.
Note

Dentist means a person licensed as such by the California Board of Dental Examiners.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72033. Department.
Note

Department means the California Department of Health Services or its designee.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1257 and 1276, Health and Safety Code.
§72035. Dietetic Service Supervisor.
Note

Dietetic service supervisor means a person who meets one of the following requirements:
(a) Is a qualified dietitian.
(b) Has a bachelor's degree with major studies in food and nutrition, dietetics, or food management and has one year of experience in the dietetic service of a health care institution.
(c) Is a graduate of a dietetic technician or dietetic assistant training program approved by the American Dietetic Association.
(d) Is a graduate of a state-approved program that provides 90 or more hours of classroom instruction in food service supervision.
(e) Has training experience in food service supervision and management in a military service equivalent in content to (c) or (d) of the above.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72037. Dietitian.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276 and 1276.1, Health and Safety Code.
§72038. Direct Caregiver.
Note     •     History

“Direct caregiver” means a registered nurse, as referred to in Section 2732 of the Business and Professions Code, a licensed vocational nurse, as referred to in Section 2864 of the Business and Professions Code, a psychiatric technician, as referred to in Section 4516 of the Business and Professions Code, and a certified nurse assistant, or a nursing assistant participating in an approved training program, as defined in Section 1337 of the Health and Safety Code, while performing nursing services as described in sections 72309, 72311 and 72315. A person serving as the director of nursing services in a facility with 60 or more licensed beds cannot be a direct caregiver.
Initial implementation of this section shall be contingent on an appropriation in the annual Budget Act or another statute, in accordance with Health and Safety Code Section 1276.65(i).
NOTE

Authority cited: Sections 1250, 1276.65, 100275 and 131200, Health and Safety Code. Reference: Section 1276.65 and 131051, Health and Safety Code. 
HISTORY

1. New section filed 1-22-2009; operative pursuant to Health and Safety Code section 1276.65(i) (Register 2009, No. 4). 
§72039. Director.
Note

Director means the director of the California Department of Health Services.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 101, Health and Safety Code.
§72041. Distinct Part.
Note

Distinct part means an identifiable unit accommodating beds including but not limited to contiguous rooms, a wing, floor or building that is approved by the Department for a specific purpose.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1250.1 and 1276, Health and Safety Code.
§72043. Drug.
Note

(a) Drug means a medication.
(b) Legend drug means any of the following:
(1) Any drug labeled with the statement “Caution: Federal Law prohibits dispensing without prescription” or words of similar import
(2) Any dangerous drug under Section 4211 of the Business and Professions Code.
(c) Psychotropic drug means a medication used to modify behavior.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72045. Drug Administration.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72047. Drug Dispensing.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72049. Fomites.
Note

Fomites means an object, or an article of clothing or material that is not in itself contaminated but is able to harbor pathogenic microorganisms which may by that means be transmitted to others.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275 and 1276, Health and Safety Code.
§72051. Guardian.
Note

Guardian means a person appointed by the court to take care of the persons or the property, or both, of a ward under Section 1500 et seq., of the Probate Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72052. Informed Consent.
Note     •     History

Informed consent means the voluntary agreement of a patient or a representative of an incapacitated patient to accept a treatment or procedure after receiving information in accordance with Sections 72527(a)(5) and 72528.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code; and Cobbs v. Grant (1972) 8 Cal.3d 229.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§72053. Intermediate Care Bed Classification.
Note

Intermediate care bed classification means beds designated for patients requiring skilled nursing and supported care on less than a continuous basis.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1250, 1250.1 and 1276, Health and Safety Code.
§72055. Licensed Nurse.
Note

Licensed nurse means a registered nurse or licensed vocational nurse as defined.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72057. Licensed Psychiatric Technician.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72059. Licensed Vocational Nurse.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72061. Licensee.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1251, Health and Safety Code.
§72063. Local Bank.
Note

Local bank means the bank or branch of that bank which is in the vicinity of the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1318, Health and Safety Code.
§72065. Mechanically Altered Diet.
Note

Mechanically altered diet means a diet altered in texture.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72067. Medication.
Note

Medication means any chemical compound, remedy or noninfectious biological substance, the action of which is not solely mechanical, which may be administered to patients by any route as an aid in the diagnosis, treatment, or prevention of disease or other abnormal condition, for relief of pain or suffering, or to control or improve any psychological or pathological condition. Products which contain medications but which are primarily used for cosmetic or other nonmedication purposes are not medications as defined above.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72069. Music Therapist.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72071. Narrative Notes.
Note

Narrative notes means a written record which relates, reports or reviews facts about a patient and which includes but is not limited to observations, patients' reactions to care and response to treatment.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276 of the Health and Safety Code.
§72073. Nursing Unit.
Note

Nursing unit means a designated patient care area of a facility which is planned, organized, operated and maintained to function as a unit. It includes patients' rooms with adequate support accommodations, services and personnel providing nursing care and necessary management of patients.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72075. Occupational Therapist.
Note

(a) Occupational therapist means a person who is a graduate of an occupational therapy curriculum accredited jointly by the Council on Medical Education of the American Medical Association and the American Occupational Therapy Association, and who is registered or who is eligible for registration by the American Occupational Therapy Association.
(b) Occupational therapy assistant means a person who is certified or eligible for certification as such by the American Occupational Therapy Association.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72077. Patient.
Note     •     History

(a) Patient means a person admitted to a skilled nursing facility for observation, diagnosis or treatment.
(b) Ambulatory patient means a patient who is able to leave a building unassisted under emergency conditions.
(c) Nonambulatory patient means a patient who is unable to leave a building unassisted under emergency conditions.
(1) The term nonambulatory patient includes, but is not limited to, persons who depend upon mechanical aids such as crutches, walkers, and wheelchairs, and shall include profoundly or severely mentally retarded persons.
(d) This section shall become inoperative upon the operative date of Section 72077.1.
NOTE

Authority cited: Sections 1250 and 1275, Health and Safety Code. Reference: Sections 1276, 1276.65 and 13131, Health and Safety Code.
HISTORY

1. New subsection (d) and amendment of Note filed 11-8-2007 as an emergency; operative 11-8-2007 (Register 2007, No. 45). This regulatory action is deemed an emergency exempt from OAL review and was filed with the Secretary of State pursuant to Chapter 684, Statutes of 2001 (AB 1075). A Certificate of Compliance must be transmitted to OAL by 5-6-2008 or emergency language will be repealed by operation of law on the following day.
2. New subsection (d) and amendment of Note refiled 5-6-2008 as an emergency; operative 5-6-2008 (Register 2008, No. 19). This regulatory action is deemed an emergency exempt from OAL review and was filed with the Secretary of State pursuant to Chapter 684, Statutes of 2001 (AB 1075). A Certificate of Compliance must be transmitted to OAL by 11-3-2008 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 11-8-2007 emergency amendment by operation of Government Code section 11346.1(f) (Register 2008, No. 47).
4. New subsection (d) and amendment of Note filed 1-22-2009; operative 1-22-2009 (Register 2009, No. 4). 
§72077.1. Patient.
Note     •     History

(a) Patient, or resident, means a person admitted to a skilled nursing facility for observation, diagnosis or treatment.
(b) Ambulatory patient means a patient who is able to leave a building unassisted under emergency conditions.
(c) Nonambulatory patient means a patient who is unable to leave a building unassisted under emergency conditions.
(1) The term nonambulatory patient includes, but is not limited to, persons who depend upon mechanical aids such as crutches, walkers, and wheelchairs, and shall include profoundly or severely mentally retarded persons.
(d) Initial implementation of this section shall be contingent on an appropriation in the annual Budget Act or another statute, in accordance with Health and Safety Code Section 1276.65(i).
NOTE

Authority cited: Sections 1250, 1275, 1276.65, 100275 and 131200, Health and Safety Code. Reference: Sections 1276.65, 13131 and 131051, Health and Safety Code. 
HISTORY

1. New section filed 1-22-2009; operative pursuant to Health and Safety Code section 1276.65(i) (Register 2009, No. 4). 
§72081. Pharmacist.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72082. Physical Restraint.
Note     •     History

For the purposes of informed consent, physical restraint means any physical or mechanical device or material attached or adjacent to a patient's body that the patient cannot remove easily, which has the effect of restricting the patient's freedom of movement. Physical restraint does not include the use of the least restrictive immobilization reasonably necessary to administer necessary treatment of a therapeutic, non-continuous nature, such as a single injection of antibiotics, and where the immobilization is removed upon the administration of such treatment. This exception shall not include immobilizations for continuously administered treatments such as intravenous therapy.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§72083. Physical Therapist.
Note

(a) Physical therapist means a person licensed as such by the California Board of Medical Quality Assurance.
(b) Physical therapist assistant means a person who is approved as such by the Physical Therapy Examining Committee of the California Board of Medical Quality Assurance.
(c) Physical therapist aide means a person who, under the direct supervision of the registered physical therapist, assists with physical therapy care.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72085. Physician.
Note     •     History

(a) Physician means a person licensed as a physician and surgeon by the California Board of Medical Quality Assurance or by the Board of Osteopathic Examiners.
(b) Attending physician means the physician chosen by the patient or the patient's representative to be responsible for the medical treatment of the patient in the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (b) (Register 95, No. 44).
§72087. Physician's Assistant.
Note

Physician's assistant means a person who is certified as such by the Physician's Assistant Examining Committee of the California Board of Medical Quality Assurance.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72089. Podiatrist.
Note

Podiatrist means a person licensed as such by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72091. Psychologist.
Note     •     History

(a) Psychologist means a person licensed as such by the California Board of  Psychology.
(b) Clinical psychologist means a psychologist licensed by the Board of  Psychology who (1) possesses an earned doctorate degree in psychology from an educational institution meeting the criteria of Subdivision (b) of Section 2914 of the Business and Professions Code and (2) has at least two years of clinical experience in a multidisciplinary facility licensed or operated by this or another state or by the United States to provide health care, or, is listed in the latest edition of the National Register of Health Services Providers in Psychology, as adopted by the Council for the National Register of Health Service Providers in Psychology.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1276.1, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72092. Psychotherapeutic Drug.
Note     •     History

Psychotherapeutic drug means a medication to control behavior or to treat thought disorder processes.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§72093. Recreation Therapist.
Note

Recreation therapist means a person with specialization in therapeutic recreation and who is registered or eligible for registration as such by the California Board of Park and Recreation Personnel or the National Therapeutic Recreation Society.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72094. Registered Domestic Partner.
Note     •     History

Registered domestic partner shall have the same meaning as defined in Family Code Sections 297 and 297.5.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting section filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§72095. Registered Nurse.
Note

Registered Nurse means a person licensed as such by the California Board of Registered Nursing.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72097. Registered Record Administrator.
Note

Registered record administrator means a person who is registered as such by the American Medical Record Association.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72099. Registry Staff.
Note

Registry staff means staff personnel provided by a placement service on a temporary or on a day-to-day basis, in a facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72101. Skilled Nursing Care Bed Classification.
Note

Skilled nursing care bed classification means beds designated for patients requiring skilled nursing care on a continuous and extended basis.
NOTE

Authority cited: Sections 208 and 1250.1, Health ad Safety Code. Reference: Sections 1250 and 1250.1, Health and Safety Code.
§72103. Skilled Nursing Facility.
Note

Skilled nursing facility means a health facility or a distinct part of a hospital which provides continuous skilled nursing care and supportive care to patients whose primary need is for availability of skilled nursing care on an extended basis. It provides 24-hour inpatient care and, as a minimum, includes physician, skilled nursing, dietary, pharmaceutical services and an activity program.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1250 and 1276, Health and Safety Code.
§72105. Social Worker.
Note

(a) Clinical social worker means a person who is licensed as such by the California Board of Behavioral Science Examiners.
(b) Social work assistant means a person with a baccalaureate degree in the social sciences or related fields and who receives supervision, consultation and in-service training from a social worker.
(c) Social work aide means a staff person with orientation, on-the-job training, and who receives supervision from a social worker or social work assistant.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72107. Speech Pathologist.
Note

Speech pathologist means a person licensed as such by the California Board of Medical Quality Assurance or a person who has a master's degree in the field and is authorized to practice under the supervision of a licensed speech pathologist as outlined in Section 2530.5(f), Chapter 5.3, of the Business and Professions Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72109. Standing Orders.
Note     •     History

Standing orders means those written orders which are used or intended to be used in the absence of a specific order for a specific patient provided by a licensed healthcare practitioner acting within the scope of his or her professional licensure.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72111. Substantial Compliance.
Note

Substantial compliance means conformity to regulations by a licensee to such an extent that patient safety, welfare and quality of care are assured.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1268.5, 1276 and 1437, Health and Safety Code.
§72113. Supervision.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72115. Therapeutic Diet.
Note

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

Authority cited: Section 208(a) and 1275, Health and Safety Code. Reference: Section 1276 of the Health and Safety Code.
§72117. Unit Dose Medication System.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275 and 1276, Health and Safety Code.
§72119. Unit Patient Health Record.
Note

Unit patient health record means a record that organizes all information on the care and treatment rendered to a patient in a facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 2. License
§72201. Application Required.
Note

(a) Whenever either of the following circumstances occur, verified application for a new license completed on forms furnished by the Department shall be submitted to the Department.
(1) Establishment of a skilled nursing facility.
(2) Change of ownership.
(b) Whenever any of the following circumstances occur, the licensee shall submit to the Department a verified application for a corrected license completed on forms furnished by the Department.
(1) Construction of new or replacement skilled nursing facility.
(2) Increase in licensed bed capacity.
(3) Change of name of facility.
(4) Change of licensed category.
(5) Change of location of facility.
(6) Change in bed classification.
(7) Addition or deletion of any special or optional units listed in Article 4.
NOTE

Authority cited: Sections 208(a), 1254 and 1275, Health and Safety Code. Reference: Sections 1254, 1265 and 1267.5, Health and Safety Code.
§72203. Fee.
Note     •     History

(a) Each application for a license shall be accompanied by the prescribed fee as authorized by Health and Safety Code, section 1266. 
(1) No fee shall be refunded to the applicant if the application is withdrawn or if the application is denied by the Department.
(2) An additional fee of $25.00 shall be paid for processing any change of name. However, no additional fee shall be charged for any change of name which is processed upon a renewal application or upon application filed because of a change of ownership.
(b) Application fees for licenses which cover periods in excess of 12 months shall be prorated on the basis of the total number of months to be licensed divided by 12 months.
(c) Applications for provisional licenses (for six-month periods) shall be subject to the full amount of the fee as authorized by Health and Safety Code, section 1266(e)(2). If upon the expiration of the provisional license a second provisional (six-month period) license is to be issued, the licensee shall receive credit for the unused portion of the fee collected and no additional fee will be required of the licensee.  If a regular license is issued upon the expiration of the first provisional license, the unused portion of the fee collected for the provisional license shall be credited against the annual fee required for the regular license. If neither a second provisional or a regular license is to be issued to the applicant, there will be no refund of any portion of the fee paid for the provisional license.
(d) When there is an increase in licensed bed capacity or a change of classification of licensure, license fees already paid that year shall be credited against the total fee due for the new bed capacity.
NOTE

Authority cited: Sections 1266, 1275 and 131200, Health and Safety Code. Reference: Sections 1266, 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section and Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§72205. Safety, Zoning and Building Clearance.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1265.8 and 1276, Health and Safety Code.
§72207. Separate Licenses.
Note

Separate licenses shall be required for skilled nursing facilities which are maintained on separate premises even though they are under the same management. Separate licenses shall not be required for separate buildings on the same grounds or adjacent grounds.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1251, Health and Safety Code.
§72209. Posting.
Note

The license or a true copy thereof shall be conspicuously posted in a location accessible to public view within the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1253 and 1276, Health and Safety Code.
§72211. Report of Changes.
Note

(a) The licensee shall notify the Department in writing of any changes in the information provided pursuant to Sections 1265 and 1267.5, Health and Safety Code, within 10 days of such changes. This notification shall include information and documentation regarding such changes.
(b) When a change of administrator occurs, the Department shall be notified within 10 days in writing by the licensee. Such writing shall include the name and license number of the new administrator.
(c) Each licensee shall notify the Department within 10 days in writing of any change of the mailing address of the licensee. Such writing shall include the new mailing address of the licensee.
(d) When a change in the principal officer of a corporate licensee (chairman, president or general manager) occurs the Department shall be notified within 10 days in writing by the licensee. Such writing shall include the name and business address of such officer.
(e) Any decrease in licensed bed capacity of the facility shall require notification by letter to the Department and shall result in the issuance of a corrected license.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1265 and 1267.5, Health and Safety Code.
§72213. Program Flexibility.
Note

(a) All skilled nursing facilities shall maintain compliance with the licensing requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects, provided such exceptions are carried out with the provisions for safe and adequate care and with the prior written approval of the department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request and substantiating evidence supporting the request shall be submitted by the applicant or licensee to the Department.
(b) Any approval of the Department granted under this Section, or a true copy thereof, shall be posted immediately adjacent to the facility's license.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1268, Health and Safety Code.
§72215. Voluntary Suspension of License, Service or Licensed Beds.
Note

(a) Any license, or portion thereof, which has been suspended for a period of time approved by the Department shall remain subject to all renewal requirements of an active license, including the payment of license renewal fees during the period of suspension.
(b) If the license is not reinstated during the period of approved suspension, the license shall expire automatically and shall not qualify for reinstatement; however, an application may be submitted for a new license.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1300, Health and Safety Code.
§72216. Conviction of Crime: Standards for Evaluating Rehabilitation.
Note     •     History

When considering the denial, suspension or revocation of a license based on the conviction of a crime in accordance with Section 1265.1 or 1294 of the Health and Safety Code, the following criteria shall be considered in evaluating rehabilitation:
(1) The nature and the seriousness of the crime(s) under consideration.
(2) Evidence of conduct subsequent to the crime which suggests responsible or irresponsible character.
(3) The time which has elapsed since commission of the crime(s) or conduct referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanction lawfully imposed against the applicant.
(5) Any rehabilitation evidence submitted by the applicant.
NOTE

Authority cited: Sections 208(a), 1265.2 and 1275, Health and Safety Code. Reference: Sections 1265.1, 1265.2 and 1294, Health and Safety Code.
HISTORY

1. New section filed 9-13-84; effective thirtieth day thereafter (Register 84, No. 37).
§72217. Bonds.
Note

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

(1) Total Amount Handled per month 	Bonds Required
     $750 or less 	 $1,000  
     $751 to $1,500 	 $2,000  
     $1,501 to $2,500 	 $3,000  
(2) Every further increment of $1,000 or fraction thereof shall require an additional $1,000 on the bond.
(b) Each application for an original license or renewal of license shall be accompanied by an affidavit on a form provided by the Department. The affidavit shall state whether the license handles or will handle money of patients and the maximum amount of money to be handled for:
(1) Any patient.
(2) All patients in any month.
(c) No licensee shall either handle money of a patient or handle amounts greater than those stated in the affidavit submitted by him without first notifying the Department and filing a new or revised bond if requested.
(d) Charges for the surety company bond to handle patient monies shall not be paid out of those monies.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1318, Health and Safety Code.
Article 3. Required Services
§72301. Required Services.
Note     •     History

(a) Skilled nursing facilities shall provide, but shall not be limited to, the following required services: physician, skilled nursing, dietary, pharmaceutical and an activity program.
(b) Skilled nursing facilities caring for patients who are mentally disordered and whose needs for a special treatment program are identified shall also meet the requirements for a special treatment program service.
(c) Skilled nursing facilities providing intermediate care services shall do so in a distinct part separately approved by the Department and shall be in conformity with the licensing regulations for the type of service provided in that distinct part. The facility license shall indicate approval of the distinct part by the Department.
(d) Written arrangements shall be made for obtaining all necessary diagnostic and therapeutic services prescribed by the attending physician, podiatrist, dentist, or clinical psychologist subject to the scope of licensure and the policies of the facility. If the service cannot be brought into the facility, the facility shall assist the patient in arranging for transportation to and from the service location.
(e) Arrangements shall be made for an advisory dentist to participate at least annually in the staff development program for all patient care personnel and to approve oral hygiene policies and practices for the care of patients.
(f) The facility shall ensure that all orders, written by a person lawfully authorized to prescribe, shall be carried out unless contraindicated.
(g) The facility shall make arrangements for a physician or physicians to be available to furnish emergency medical care if the attending physician, or designee, is unavailable. The telephone numbers of those physicians shall be posted in a conspicuous place in the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1252, 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§72303. Physician Services--General Requirements.
Note     •     History

(a) All persons admitted or accepted for care by the skilled nursing facility shall be under the care of a physician selected by the patient or patient's authorized representative.
(b) Physician services shall mean those services provided by physicians responsible for the care of individual patients in the facility. Physician services shall include but are not limited to:
(1) Patient evaluation including a written report of a physical examination within 5 days prior to admission or within 72 hours following admission.
(2) An evaluation of the patient and review of orders for care and treatment on change of attending physicians.
(3) Patient diagnoses.
(4) Advice, treatment and determination of appropriate level of care needed for each patient.
(5) Written and signed orders for diet, care, diagnostic tests and treatment of patients by others. Orders for restraints shall meet the requirements of Section 72319(b).
(6) Health record progress notes and other appropriate entries in the patient's health records.
(7) Provision for alternate physician coverage in the event the attending physician is not available.
(c) Subsection (b) shall not prevent or limit other licensed healthcare practitioners acting within the scope of their professional licensure from providing services to and being responsible for the care of individual patients in the facility, including providing those services listed in subsection (b) above that are within the scope of their licensure.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1262.7, 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code; and Valdivia, et al. v. Coye, U.S. District Court for the Eastern District of California, Case No. CIV S-90-1226.
HISTORY

1. Amendment of subsection (b)(5) and Note filed 5-25-95; operative 6-26-95 (Register 95, No. 21).
2. Amendment of subsections (a)-(b), repealer and new subsection (c), repealer of subsections (c)(1)-(2) and amendment of Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72305. Physician Services--Medical Director.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72307. Physician Services--Supervision of Care.
Note

(a) Each patient admitted to the skilled nursing facility shall be under the continuing supervision of a physician who evaluates the patient as needed and at least every 30 days unless there is an alternate schedule, and who documents the visits in the patient health record.
(b) Alternate schedules of visits shall be documented in the patient health record with a medical justification by the attending physician. The alternate schedule shall conform with facility policy.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72309. Nursing Service.
Note

Nursing service means a service staffed, organized and equipped to provide skilled nursing care to patients on a continuous basis.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72311. Nursing Service--General.
Note     •     History

(a) Nursing service shall include, but not be limited to, the following:
(1) Planning of patient care, which shall include at least the following:
(A) Identification of care needs based upon an initial written and continuing assessment of the patient's needs with input, as necessary, from health professionals involved in the care of the patient. Initial assessments shall commence at the time of admission of the patient and be completed within seven days after admission.
(B) Development of an individual, written patient care plan which indicates the care to be given, the objectives to be accomplished and the professional discipline responsible for each element of care. Objectives shall be measurable and time-limited.
(C) Reviewing, evaluating and updating of the patient care plan as necessary by the nursing staff and other professional personnel involved in the care of the patient at least quarterly, and more often if there is a change in the patient's condition.
(2) Implementing of each patient's care plan according to the methods indicated. Each patient's care shall be based on this plan.
(3) Notifying the attending licensed healthcare practitioner acting within the scope of his or her professional licensure promptly of:
(A) The admission of a patient.
(B) Any sudden and/or marked adverse change in signs, symptoms or behavior exhibited by a patient.
(C) An unusual occurrence, as provided in Section 72541, involving a patient.
(D) A change in weight of five pounds or more within a 30-day period unless a different stipulation has been stated in writing by the patient's licensed healthcare practitioner acting within the scope of his or her professional licensure.
(E) Any untoward response or reaction by a patient to a medication or treatment.
(F) Any error in the administration of a medication or treatment to a patient which is life threatening and presents a risk to the patient.
(G) The facility's inability to obtain or administer, on a prompt and timely basis, drugs, equipment, supplies or services as prescribed under conditions which present a risk to the health, safety or security of the patient.
(b) All attempts to notify licensed healthcare practitioners acting within the scope of his or her professional licensure shall be noted in the patient's health record including the time and method of communication and the name of the person acknowledging contact, if any. If the attending licensed healthcare practitioner acting within the scope of his or her professional licensure or his or her designee is not readily available, emergency medical care shall be provided as outlined in Section 72301(g).
(c) Licensed nursing personnel shall ensure that patients are served the diets as ordered by the attending licensed healthcare practitioner acting within the scope of his or her professional licensure.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (a)(3), (a)(3)(C)-(D) and (b)-(c) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72313. Nursing Service--Administration of Medications and Treatments.
Note

(a) Medications and treatments shall be administered as follows:
(1) No medication or treatment shall be administered except on the order of a person lawfully authorized to give such order.
(2) Medications and treatments shall be administered as prescribed.
(3) Tests and taking of vital signs, upon which administration of medications or treatments are conditioned, shall be performed as required and the results recorded.
(4) Preparation of doses for more than one scheduled administration time shall not be permitted.
(5) All medications and treatments shall be administered only by licensed medical or licensed nursing personnel with the following exceptions:
(A) Students in the healing arts professions may administer medications and treatments only when the administration or medications and treatments is incidental to their course of study as approved by the professional board or organization legally authorized to give such approval.
(B) Unlicensed persons may, under the direct supervision of licensed nursing or licensed medical personnel, during training or after completion of training and demonstrated evidence of competence, administer the following:
1. Medicinal shampoos and baths.
2. Laxative suppositories and laxative enemas.
3. Nonlegend topical ointments, creams, lotions and solutions when applied to intact skin surfaces. Unlicensed persons shall not administer any medication associated with treatment of eyes, ears, nose, mouth, or genitourinary tract.
(6) Medications shall be administered as soon as possible, but no more than two hours after doses are prepared, and shall be administered by the same person who prepares the doses for administration. Doses shall be administered within one hour of the prescribed time unless otherwise indicated by the prescriber.
(7) Patients shall be identified prior to administration of a drug or treatment.
(8) Drugs may be administered in the absence of a specific duration of therapy on a licensed prescriber's new drug order if the facility applies its stop-order policy for such drugs. The prescriber shall be contacted prior to discontinuing therapy as established by stop-order policy.
(b) No medication shall be used for any patient other than the patient for whom it was prescribed.
(c) The time and dose of the drug or treatment administered to the patient shall be recorded in the patient's individual medication record by the person who administers the drug or treatment. Recording shall include the date, the time and the dosage of the medication or type of the treatment. Initials may be used, provided that the signature of the person administering the medication or treatment is also recorded on the medication or treatment record.
(d) Oxygen equipment shall be maintained as follows:
(1) Humidifier bottles on oxygen equipment shall be changed and sterilized at least every 24 hours.
(2) Only sterile distilled, demineralized or de-ionized water shall be used in humidifier bottles.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72315. Nursing Service--Patient Care.
Note     •     History

(a) No patient shall be admitted or accepted for care by a skilled nursing facility except on the order of a physician.
(b) Each patient shall be treated as individual with dignity and respect and shall not be subjected to verbal or physical abuse of any kind.
(c) Each patient, upon admission, shall be given orientation to the skilled nursing facility and the facility's services and staff.
(d) Each patient shall be provided care which shows evidence of good personal hygiene, including care of the skin, shampooing and grooming of hair, oral hygiene, shaving or beard trimming, cleaning and cutting of fingernails and toenails. The patient shall be free of offensive odors.
(e) Each patient shall be encouraged and/or assisted to achieve and maintain the highest level of self-care and independence. Every effort shall be made to keep patients active, and out of bed for reasonable periods of time, except when contraindicated by orders of a licensed health care practitioner acting within the scope of his or her professional licensure.
(f) Each patient shall be given care to prevent formation and progression of decubiti, contractures and deformities. Such care shall include:
(1) Changing position of bedfast and chairfast patients with preventive skin care in accordance with the needs of the patient.
(2) Encouraging, assisting and training in self-care and activities of daily living.
(3) Maintaining proper body alignment and joint movement to prevent contractures and deformities.
(4) Using pressure-reducing devices where indicated.
(5) Providing care to maintain clean, dry skin free from feces and urine.
(6) Changing of linens and other items in contact with the patient, as necessary, to maintain a clean, dry skin free from feces and urine.
(7) Carrying out of physician's orders for treatment of decubitus ulcers. The facility shall notify the physician, when a decubitus ulcer first occurs, as well as when treatment is not effective, and shall document such notification as required in Section 72311(b).
(g) Each patient requiring help in eating shall be provided with assistance when served, and shall be provided with training or adaptive equipment in accordance with identified needs, based upon patient assessment, to encourage independence in eating.
(h) Each patient shall be provided with good nutrition and with necessary fluids for hydration.
(i) Measures shall be implemented to prevent and reduce incontinence for each patient and shall include:
(1) Written assessment by a licensed nurse to determine the patient's ability to participate in a bowel and/or bladder management program. This is to be initiated within two weeks after admission of an incontinent patient.
(2) An individualized plan, in addition to the patient care plan, for each patient in a bowel and/or bladder management program.
(3) A weekly written evaluation in the progress notes by a licensed nurse of the patient's performance in the bowel and/or bladder management program.
(j) Fluid intake and output shall be recorded for each patient as follows:
(1) If ordered by the physician.
(2) For each patient with an indwelling catheter:
(A) Intake and output records shall be evaluated at least weekly and each evaluation shall be included in the licensed nurses' progress notes.
(B ) After 30 days the patient shall be reevaluated by the licensed nurse to determine further need for the recording of intake and output.
(k) The weight and length of each patient shall be taken and recorded in the patient's health record upon admission, and the weight shall be taken and recorded once a month thereafter.
(l) Each patient shall be provided visual privacy during treatments and personal care.
(m) Patient call signals shall be answered promptly.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1262.7, 1275, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (e) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72317. Nursing Service--Standing Orders.
Note

Standing orders shall not be used in skilled nursing facilities.
NOTE

Authority cited: Sections 208(a)and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72319. Nursing Service--Restraints and Postural Supports.
Note     •     History

(a) Written policies and procedures concerning the use of restraints and postural supports shall be followed.
(b) Restraints shall only be used with a written order of a licensed healthcare practitioner acting within the scope of his or her professional licensure. The order must specify the duration and circumstances under which the restraints are to be used. Orders must be specific to individual patients. In accordance with Section 72317, there shall be no standing orders and in accordance with Section 72319(i)(2)(A), there shall be no P.R.N. orders for physical restraints.
(c) The only acceptable forms of physical restraints shall be cloth vests, soft ties, soft cloth mittens, seat belts and trays with spring release devices. Soft ties means soft cloth which does not cause abrasion and which does not restrict blood circulation.
(d) Restraints of any type shall not be used as punishment, as a substitute for more effective medical and nursing care, or for the convenience of staff.
(e) No restraints with locking devices shall be used or available for use in a skilled nursing facility.
(f) Seclusion, which is defined as the placement of a patient alone in a room, shall not be employed.
(g) Restraints shall be used in such a way as not to cause physical injury to the patient and to insure the least possible discomfort to the patient.
(h) Physical restraints shall be applied in such a manner that they can be speedily removed in case of fire or other emergency.
(i) The requirements for the use of physical restraints are:
(1) Treatment restraints may be used for the protection of the patient during treatment and diagnostic procedures such as, but not limited to, intravenous therapy or catheterization procedures. Treatment restraints shall be applied for no longer than the time required to complete the treatment.
(2) Physical restraints for behavior control shall only be used on the signed order of a physician, or unless the provisions of section 1180.4(e) of the Health and Safety Code apply to the patient, a psychologist, or other person lawfully authorized to prescribe care, except in an emergency which threatens to bring immediate injury to the patient or others. In such an emergency an order may be received by telephone, and shall be signed within 5 days. Full documentation of the episode leading to the use of the physical restraint, the type of the physical restraint used, the length of effectiveness of the restraint time and the name of the individual applying such measures shall be entered in the patient's health record.
(A) Physical restraints for behavioral control shall only be used with a written order designed to lead to a less restrictive way of managing, and ultimately to the elimination of, the behavior for which the restraint is applied. There shall be no PRN orders for behavioral restraints.
(B) Each patient care plan which includes the use of physical restraint for behavior control shall specify the behavior to be eliminated, the method to be used and the time limit for the use of the method.
(C) Patients shall be restrained only in an area that is under supervision of staff and shall be afforded protection from other patients who may be in the area.
(j) When drugs are used to restrain or control behavior or to treat a disordered thought process, the following shall apply:
(1) The specific behavior or manifestation of disordered thought process to be treated with the drug is identified in the patient's health record.
(2) The plan of care for each patient specifies data to be collected for use in evaluating the effectiveness of the drugs and the occurrence of adverse reactions.
(3) The data collected shall be made available to the prescriber in a consolidated manner at least monthly.
(4) PRN orders for such drugs shall be subject to the requirements of this section.
(k) “Postural support” means a method other than orthopedic braces used to assist patients to achieve proper body position and balance. Postural supports may only include soft ties, seat belts, spring release trays or cloth vests and shall only be used to improve a patient's mobility and independent functioning, to prevent the patient from falling out of a bed or chair, or for positioning, rather than to restrict movement. These methods shall not be considered restraints.
(1) The use of postural support and the method of application shall be specified in the patient's care plan and approved in writing by the physician, psychologist, or other person lawfully authorized to provide care.
(2) Postural supports shall be applied:
(A) Under the supervision of a licensed nurse.
(B) In accordance with principles of good body alignment and with concern for circulation and allowance for change of position.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code; and Valdivia, et al. v. Coye, U.S. District Court for the Eastern District of California, Case No. CIV S-90-1226.
HISTORY

1. Amendment of subsection (b) and Note filed 5-25-95; operative 6-26-95 (Register 95, No. 21).
2. Amendment of subsections (b), (i)(2) and (k)(1) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72321. Nursing Service--Patients with Infectious Diseases.
Note

(a) Patients with infectious diseases shall not be admitted to or cared for in the facility unless the following requirements are met:
(1) A patient suspected of or diagnosed as having an infectious or reportable communicable disease or being in a carrier state who the attending officer determines is a potential danger, shall be accommodated in a room, vented to the outside, and provided with a separate toilet, hand-washing facility, soap dispenser and individual towels.
(2) There shall be:
(A) Separate provisions for handling contaminated linens.
(B) Separate provisions for handling contaminated dishes.
(b) The facility shall adopt, observe and implement written infection control policies and procedures. These policies and procedures shall be reviewed at least annually and revised as necessary.
(c) The following shall be available in each nurse's station:
(1) The facility's infection control policies and procedures.
(2) Name, address and telephone numbers of local health officers.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72323. Nursing Service--Cleaning, Disinfecting and Sterilizing.
Note

(a) Each facility shall adopt a written manual on cleaning, disinfecting and sterilizing procedures. The manual shall include procedures to be used in the care of utensils, instruments, solutions, dressings, articles and surfaces and shall be available for use by facility personnel. All procedures shall be carried out in accordance with the manual.
(b) Each facility shall make provisions for the cleaning and disinfecting of contaminated articles and surfaces which cannot be sterilized.
(c) Bedside equipment including but not limited to washbasins, emesis basins, bedpans and urinals shall be sanitized only by one of the following methods:
(1) Submersion in boiling water for a minimum of 30 minutes.
(2) Autoclaving at 15 pounds pressure and 121oC (250) for 20 minutes.
(3) Gas sterilization.
(d) Chemicals shall not be used as a substitute for the methods specified in (c) above.
(e) Electronic thermometers shall be cleaned and disinfected according to the manufacturer's instructions. Glass thermometers shall be cleaned and disinfected for at least 10 minutes with 70 percent ethyl alcohol or 90 percent isopropyl alcohol with 0.2 percent iodine. Oral and rectal thermometers shall be stored separately in clean, labeled containers with fitted lids.
(f) Individual patient care supply items designed and identified by the manufacturer to be disposable shall not be reused.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72325. Nursing Service--Space.
Note

(a) An office or other suitable space shall be provided for the director of nursing service.
(b) A nursing station shall be maintained in each nursing unit or building.
(c) Each nursing station shall have a cabinet, a desk, space for records, a bulletin board, a telephone and a specifically designated and well illuminated medication storage compartment with a lockable door. If a separate medication room is maintained, it shall have a lockable door and a sink with water connections for care of equipment and for handwashing.
(d) If a refrigerator is provided in a nursing station, the refrigerator shall meet the following standards:
(1) Be located in a clean area not subject to contamination by human waste.
(2) Maintain temperatures at or below 7oC (45oF) for chilling.
(3) Maintain the freezer at minus 18oC (0oF).
(4) Contain an accurate thermometer at all times.
(5) If foods are retained in the refrigerator, they shall be covered and clearly identified as to contents and date initially covered.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72327. Nursing Service--Director of Nursing Service.
Note

(a) The director of nursing service shall be a registered nurse and shall be employed eight hours a day, on the day shift five days a week.
(b) The director of nursing service shall have at least one year of experience in nursing supervision within the last five years.
(c) The director of nursing service shall have, in writing, administrative authority, responsibility and accountability for the nursing services within the facility and serve only one facility in this capacity at any one time.
NOTE

Authority cite: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72329. Nursing Service--Staff.
Note     •     History

(a) Nursing service personnel shall be employed and on duty in at least the number and with the qualifications determined by the Department to provide the necessary nursing services for patients admitted for care. The Department may require a facility to provide additional staff as set forth in Section 72501(g).
(b) Facilities licensed for 59 or fewer beds shall have at least one registered nurse or a licensed vocational nurse, awake and on duty, in the facility at all times, day and night.
(c) Facilities licensed for 60 to 99 beds shall have at least one registered nurse or licensed vocational nurse, awake and on duty, in the facility at all times, day and night, in addition to the director of nursing services. The director of nursing service shall not have charge nurse responsibilities.
(d) Facilities licensed for 100 or more beds shall have at least one registered nurse, awake and on duty, in the facility at all times, day and night, in addition to the director of nursing service. The director of nursing service shall not have charge nurse responsibilities.
(e) Nursing stations shall be staffed with nursing personnel when patients are housed in the nursing unit.
(f) Each facility shall employ sufficient nursing staff to provide a minimum daily average of 3.0 nursing hours per patient day.
(1) Facilities which provide care for mentally disordered patients and in which licensed psychiatric technicians provide patient care shall meet the following standards:
(A) If patients are not certified for special treatment programs, facilities shall employ sufficient staff to provide a minimum daily average of 3.0 nursing hours per patient day.
(B) For patients certified for special treatment programs, facilities shall employ sufficient staff to provide a minimum daily average of 2.3 nursing hours per patient day for each patient certified to the special treatment program, exclusive of additional staff required to meet the staffing standards of the special treatment program.
(g) Staffing for a distinct part intermediate care unit in a skilled nursing facility:
(1) Units of less than 50 intermediate care beds shall not be required to provide licensed personnel in addition to those provided in the skilled nursing facility unless the Department determines through a written evaluation that additional licensed personnel are necessary to protect the health and safety of patients.
(2) Units of 50 or more intermediate care beds shall provide a registered nurse or licensed vocational nurse employed 8 hours on the day shift, 7 days per week in the unit.
(3) For purposes of this section intermediate care beds that are licensed as such by the Department shall not be included for establishing licensed nurse staffing as required in Section 72329(f)(1) if the unit is used exclusively for intermediate care patients.
(h) This section shall become inoperative upon the operative date of Section 72329.1.
NOTE

Authority cited: Sections 1275, 1276.5, 1276.65 and 131200, Health and Safety Code. Reference: Sections 1276, 1276.5, 1276.65 and 131051, Health and Safety Code; and Section 14110.7(c), Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (f) filed 9-23-85 as an emergency; effective upon filing (Register 85, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-21-86.
2. Certificate of Compliance transmitted to OAL 1-17-86 and filed 2-10-86 (Register 86, No. 7).
3. New subsection (h) and amendment of Note filed 11-8-2007 as an emergency; operative 11-8-2007 (Register 2007, No. 45). This regulatory action is deemed an emergency exempt from OAL review and was filed with the Secretary of State pursuant to Chapter 684, Statutes of 2001 (AB 1075). A Certificate of Compliance must be transmitted to OAL by 5-6-2008 or emergency language will be repealed by operation of law on the following day.
4. New subsection (h) and amendment of Note refiled 5-6-2008 as an emergency; operative 5-6-2008 (Register 2008, No. 19). This regulatory action is deemed an emergency exempt from OAL review and was filed with the Secretary of State pursuant to Chapter 684, Statutes of 2001 (AB 1075). A Certificate of Compliance must be transmitted to OAL by 11-3-2008 or emergency language will be repealed by operation of law on the following day.
5. Reinstatement of section as it existed prior to 11-8-2007 emergency amendment by operation of Government Code section 11346.1(f) (Register 2008, No. 47).
6. New subsection (h) and amendment of Note filed 1-22-2009; operative 1-22-2009 (Register 2009, No. 4). 
§72329.1. Nursing Service--Staff.
Note     •     History

(a) Nursing service personnel shall be employed and on duty in at least the number and with the qualifications determined by the Department to provide the necessary nursing services for patients admitted for care. The staffing requirementsrequired by this section are minimum standards only. Skilled nursing facilities shall employ and schedule additional staff as needed to ensure quality resident care based on the needs of individual residents and to ensure compliance with all relevant state and federal staffing requirements. The Department may require a facility to provide additional staff as set forth in Section 72501(g).
(b) Facilities licensed for 59 or fewer beds shall have at least one registered nurse or a licensed vocational nurse, awake and on duty, in the facility at all times, day and night.
(c) Facilities licensed for 60 to 99 beds shall have at least one registered nurse or licensed vocational nurse, awake and on duty, in the facility at all times, day and night, in addition to the director of nursing services. The director of nursing services shall not have charge nurse responsibilities.
(d) Facilities licensed for 100 or more beds shall have at least one registered nurse, awake and on duty, in the facility at all times, day and night, in addition to the director of nursing services. The director of nursing services shall not have charge nurse responsibilities.
(e) Nursing stations shall be staffed with nursing personnel when patients are housed in the nursing unit.
(f) Each facility shall employ sufficient nursing staff to provide a minimum of 3.2 nursing hours per patient day.
(1) Facilities which provide care for mentally disordered patients and in which licensed psychiatric technicians provide patient care shall meet the following standards:
(A) If patients are not certified for special treatment programs, facilities shall employ sufficient staff to provide a minimum of 3.2 nursing hours per patient day.
(B) For patients certified for special treatment programs, facilities shall employ sufficient staff to provide a minimum of 2.3 nursing hours per patient day for each patient certified to the special treatment program, exclusive of additional staff required to meet the staffing standards of the special treatment program.
(g) Only direct caregivers as defined in Section 72038 shall be included in the staff-to-patient ratios. The ratios shall be based on the anticipated individual patient needs for the activities of each shift and shall be distributed throughout the day to achieve a minimum of 3.2 nursing hours per patient day. 
(1) Skilled nursing facilities shall employ and schedule additional staff to ensure patients receive nursing care based on their needs.
(2) The calculation of the staff-to-patient ratio shall be based on the daily census of patients in the skilled nursing facility and not the total number of beds. Bedholds shall not be included in the calculations of the staff-to-patient ratio. If the census changes during a 24 hour period, the calculation shall be based upon the highest number of patients in the facility during the period.
(3) Unless granted a waiver pursuant to subsection (j), facilities shall use the following ratios:
(A) On the day shift, the ratio shall be at least one direct caregiver for every 5 patients or fraction thereof;
(B) On the evening shift, the ratio shall be at least one direct caregiver for every 8 patients or fraction thereof; and,
(C) On the night shift, the ratio shall be at least one direct caregiver for every 13 patients or fraction thereof.
(D) There shall be one licensed nurse for every 8 or fewer patients, based on the facility census for the 24 hour period. These are not in addition to the requirements in subparagraphs (A) through (C) above, and may be assigned to shifts as required by the facility, subject to other statutory and regulatory requirements.
(4) “Day shift” refers to the 8-hour period during which a facility's patients require the greatest amount of care. “Evening shift” refers to the 8-hour period when the facility's patients require more than minimal care. “Night shift” refers to the 8-hour period during which a facility's patients require the least amount of care. A facility that uses other than 8-hour shifts for its direct caregivers shall seek a waiver under subsection (j) to continue that practice.
(5) A “shift” is defined as the working period of one direct caregiver, or the full time equivalent of one direct caregiver, who performs eight hours of nursing services, as defined in section 72038. Other than time spent on normal rest periods required by section 11020 of Title 8 of the California Code of Regulations, or in the in-service training at the facility required by section 71847, time not spent providing nursing services, such as that spent at meal periods, may not be included in calculating a shift. A facility that uses fractions of a shift to meet the ratios must ensure that the posting required by subsection (i) contains this information in a form that will enable all interested persons to verify that the required staffing is provided and the ratios are met.
(6) A citation for a class “AA”, class “A” or class “B” violation may be issued for a violation of this section that meets the requirements specified in Section 1424 of the Health and Safety Code.
(h) The facility shall retain the staff assignment record that it employs to comply with subsection (i) for each shift, the licensing and/or certification status of the staff, and the patient census for each shift. Records documenting staffing, including staff assignment records and payroll records, shall be retained for a minimum of three years. Unless the request is made by Department staff who are present at the facility, in which case it must be provided immediately, documentation of staffing shall be provided to the Department within ten days of the Department's request for the documentation. If the facility is unable to provide the documentation requested by the Department, it shall cease admitting new patients until it demonstrates to the Department that it has the staff necessary to provide the care needed by the patients by submitting the requested documentation. The facility shall also comply with the provisions of Section 1429.1 of the Health and Safety Code.
(i) The facility shall post the patient census and staffing information daily. The posting shall include the actual number of licensed and certified nursing staff directly responsible for the care of patients for that particular day on each shift. The facility may use the form it currently uses to comply with the requirements of section 483.30 of title 42 of the Code of Federal Regulations, but, in addition to the information the federal regulation requires it to contain, it shall also designate the patient assignment by specifying each room and each bed to which each certified nurse assistant is assigned during his or her shift, and shall additionally specify the assignment of each licensed nurse and any other direct caregiver not assigned to a specific room or beds. This posting shall be publicly displayed in a clearly visible place.
(j) The facility may request a waiver for the staff-to-patient ratio in accordance with Section 1276.65 of the Health and Safety Code as long as the facility continues to meet the 3.2 nursing hours per patient day requirement.
(1) The facility shall submit a written request for a waiver with substantiating information to the Department. The facility shall request the waiver by using the program flexibility procedures specified in Section 72213, and the Department shall process the request as required by Section 1276 of the Health and Safety Code.
(2) The facility shall notify the Department if there has been a change in the substantiating information. A request for a waiver with substantiating information included shall be updated and resubmitted annually.
(k) Staffing for a distinct part intermediate care unit in a skilled nursing facility:
(1) Units of less than 50 intermediate care beds shall not be required to provide licensed personnel in addition to those provided in the skilled nursing facility unless the Department determines through a written evaluation that additional licensed personnel are necessary to protect the health and safety of patients.
(2) Units of 50 or more intermediate care beds shall provide a registered nurse or licensed vocational nurse employed 8 hours on the day shift, 7 days per week in the unit.
(3) For purposes of this section intermediate care beds that are licensed as such by the Department shall not be included for establishing licensed nurse staffing as required in subsection (f)(1) if the unit is used exclusively for intermediate care patients.
(l) Initial implementation of this section shall be contingent on an appropriation in the annual Budget Act or another statute, in accordance with Health and Safety Code Section 1276.65(i).
NOTE

Authority cited: Sections 1275, 1276.5, 1276.65 and 131200, Health and Safety Code. Reference: Sections 1276, 1276.5, 1276.65 and 131051, Health and Safety Code; and Section 14110.7(c), Welfare and Institutions Code. 
HISTORY

1. New section filed 1-22-2009; operative pursuant to Health and Safety Code section 1276.65(i) (Register 2009, No. 4). 
§72331. Nursing Service-Nurse Assistant Training and Certificate. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1137.7 through 1338.3, 1439.1 through 1439.8 and 1276, Health and Safety Code.
HISTORY

1. Repealer filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11-13-91 or emergency repeal will be reinstated by operation of law on the following day.
2. Repealer refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and  repealer  refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§72333. Dietetic Service--General.
Note

“Dietetic service” means a service organized, staffed and equipped to assure that food service to patients is safe, appetizing and provides for their nutritional needs.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72335. Dietetic Service--Food Service.
Note

(a) The dietetic service shall provide food of the quality and quantity to meet each patient's needs in accordance with the physicians' orders and to meet “The Recommended Daily Dietary Allowance,” the most current edition, adopted by the Food and Nutrition Board of the National Research Council of the National Academy of Sciences, and the following:
(1) Not less than 3 meals shall be served daily and with not more than a 14-hour span between the last meal and the first meal of the following day.
(2) Between-meal feeding shall be provided as required by the diet order. Bedtime nourishments shall be offered to all patients unless contraindicated.
(3) Patient food preferences shall be adhered to as much as possible and substitutes for all food refused shall be from appropriate food groups. Condiments such as salt, pepper or sugar shall be available at each meal unless contraindicated by the diet order.
(4) Table service shall be provided for all patients who can and wish to eat at a table. Tables of appropriate height shall be provided for patients in wheelchairs.
(5) No food ordered for the facility shall be diverted or taken from the facility. No rebates shall be received or allowed to the facility or its owners, directors, officers or employees from any commercial food source.
(6) When food is provided by an outside resource, the facility shall ensure that all federal, state and local requirements are met. The facility shall maintain a written plan, adequate space, equipment and food supplies to provide patients' food service in emergencies.
(7) Recipes for all items that are prepared for regular and therapeutic diets shall be available and used to prepare attractive and palatable meals, in which nutritive values, flavor and appearance are conserved. Food shall be served attractively, at appropriate temperatures with appropriate eating utensils and in a form to meet individual needs.
(b) A current profile card shall be maintained for each patient, indicating diet order, likes, dislikes, allergies to foods, diagnosis and instructions or guidelines to be followed in the preparation and serving of food for the patient.
(c) All regular and therapeutic diets shall be prescribed by a person lawfully authorized to give such an order. Verbal orders may be received and recorded by a qualified dietitian and shall be signed by the prescriber within five days.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72337. Dietetic Service--Diet Manual.
Note     •     History

A current therapeutic diet manual, approved by the dietitian and the patient care policy committee, shall be readily available to dietetic personnel and licensed healthcare practitioners acting within the scope of their professional licensure or certification. It shall be reviewed annually and revised at least every five years.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72339. Dietetic Service--Therapeutic Diets.
Note

Therapeutic diets shall be provided for each patient as prescribed and shall be planned, prepared and served with supervision and/or consultation from the dietitian. Persons responsible for therapeutic diets shall have sufficient knowledge of food values to make appropriate substitutions when necessary.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72341. Dietetic Service--Menus.
Note

(a) Menus for regular and therapeutic diets shall be written at least one week in advance, dated and posted in the kitchen at least one week in advance.
(b) All menus shall be approved by the dietitian.
(c) If any meal served varies from the planned menu, the change and the reason for the change shall be noted in writing on the posted menu in the kitchen.
(d) Menus shall provide a variety of foods and indicate standard portions at each meal. Menus shall be varied for the same day of consecutive weeks. If a cycle menu is used, the cycle shall be of no less than three weeks duration and shall be revised quarterly.
(e) Menus shall be adjusted to include seasonal commodities.
(f) Menus shall be planned with consideration of cultural background and food habits of patients.
(g) A copy of the menu as served shall be kept on file for at least 30 days.
(h) Itemized records of food purchases shall be kept for one year and available for review by the Department. Food purchases invoices are acceptable provided they list amounts and types of foods purchased.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72343. Dietetic Service--Food Storage.
Note

(a) Food storage areas shall be clean at all times.
(b) All foods or food items not requiring refrigeration shall be stored above the floor, on shelves, racks, dollies or other surfaces which facilitate thorough cleaning, in a ventilated room, not subject to sewage or wastewater backflow or contamination by condensation, leakage, rodents or vermin. All packaged food, canned foods, or food items stored shall be kept clean and dry at all times.
(c) All readily perishable foods or beverages shall be maintained at temperatures of 7oC (45oF) or below, or at 60oC (140oF) or above, at all times, except during necessary periods of preparation and service. Frozen foods shall be stored at minus 18oC (0oF) or below at all times. There shall be an accurate thermometer in each refrigerator and freezer and in storerooms used for perishable foods. All foods stored in walk-in refrigerators and freezers shall be stored above the floor on shelves, racks, dollies or other surfaces that facilitate thorough cleaning.
(d) Pesticides and other toxic substances and drugs shall not be stored in the kitchen area or in storerooms for food or food preparation equipment and utensils.
(e) Soaps, detergents, cleaning compounds or similar substances shall be stored in separate storage areas.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72345. Dietetic--Sanitation.
Note

(a) All kitchens and kitchen areas shall be kept clean, free from litter and rubbish and protected from rodents, roaches, flies and other insects.
(b) All utensils, counters, shelves and equipment shall be kept clean, maintained in good repair and shall be free from breaks, corrosion, open seams, cracks and chipped areas.
(c) Plastic ware, china and glassware that cannot be sanitized or are hazardous because of chips, cracks or loss of glaze shall be discarded.
(d) Ice which is used in connection with food or drink shall be from a sanitary source and shall be handled and dispensed in a sanitary manner.
(e) Kitchen wastes that are not disposed of by mechanical means shall be kept in clean, leakproof, nonabsorbent, tightly closed containers and shall be disposed of as frequently as necessary to prevent a nuisance or unsightliness.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72347. Dietetic Service--Cleaning and Disinfection of Utensils.
Note

(a) All utensils used for eating, drinking and in the preparation and serving of food and drink shall be cleaned and disinfected or discarded after each usage.
(b) Gross food particles shall be removed by careful scraping and prerinsing in running water.
(c) Utensils not washed by mechanical means shall be placed in hot water with a minimum temperature of 43oC (110oF), washed using soap or detergent, rinsed in hot water to remove soap or detergent and disinfected by one of the following methods or equivalent, as approved by the Department:
(1) Immersion for at least two minutes in clean water at 77oC (170oF).
(2) Immersion for at least 30 seconds in clean water at 83oC (180oF).
(3) Immersion in water containing bactericidal chemical as approved by the Department.
(d) After disinfection the utensils shall be allowed to drain and dry in racks or baskets on nonabsorbent surfaces. Drying cloths shall not be used.
(e) Results obtained with dishwashing machines shall be equal to those obtained by the methods outlined above and all dishwashing machines shall meet the requirements contained in Standard No. 3, as amended in April 1965, of the National Sanitation Foundation. Hot water at a minimum temperature of 83oC (180oF), shall be maintained at the manifold of the final rinse.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72349. Dietetic Service--Equipment and Supplies.
Note

(a) Equipment of the type and in the amount necessary for the proper preparation, serving and storing of food and for proper dishwashing shall be provided and maintained in good working order.
(b) Fixed and mobile equipment in the dietetic service area shall be located to assure sanitary and safe operation and shall be of sufficient size to handle the needs of the facility.
(c) The dietetic service area shall be ventilated in a manner that will maintain comfortable working conditions, remove objectionable odors, fumes and prevent excessive condensation.
(d) Food supplies shall meet the following standards:
(1) At least one week's supply of staple foods and at least two days' supply of perishable foods shall be maintained on the premises. Food supplies shall meet the requirements of the weekly menu including the therapeutic diets ordered.
(2) All food shall be of good quality and procured from sources approved or considered satisfactory by federal, state or local authorities. Food in unlabeled, rusty, leaking, broken containers or cans with side seam dents, rim dents or swells shall not be retained or used.
(3) Milk, when served as a beverage, shall be pasteurized Grade A or certified unless otherwise prescribed by the physician's diet order. Milk, milk products and products resembling milk shall be processed or manufactured in milk product plants meeting the requirements of Division 15 of the California Food and Agricultural Code. Powdered milk shall not be used as a beverage but may be used in cooking.
(4) Milk shall be served in individual containers or from a dispensing device which has been approved for such use, by the local health department or from the original container. Milk shall be dispensed directly into the glass or other container from which the patient drinks.
(5) Catered foods and beverages from a source outside the licensed facility shall be prepared, packed, properly identified, stored and transported in compliance with these regulations and other applicable federal, state and local codes.
(6) Foods held in refrigerated or other storage areas shall be covered. Liquids and food which are prepared and not served shall be tightly covered, stored appropriately, clearly labeled and dated. A written procedure shall be established and followed for the safe use of leftover foods.
(7) Spoiled or contaminated food shall not be served.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72351. Dietetic Service--Staff.
Note

(a) A dietitian shall be employed on a full-time, part-time or consulting basis. Part-time or consultant services shall be provided on the premises at appropriate times on a regularly scheduled basis. A written record of the frequency, nature and duration of the consultant's visits shall be maintained.
(b) If a dietitian is not employed full-time, a full-time person who is a graduate of a state approved course that provides 90 or more hours of classroom instruction in food supervision shall be employed to be responsible for the operation of the food service. The dietetic supervisor may also cook, provided sufficient time is allowed for managerial responsibilities.
(c) Sufficient staff shall be employed, oriented, trained and their working hours scheduled to provide for the nutritional needs of the patients and to maintain the dietetic service areas. If dietetic service employees are assigned duties in other services, those duties shall not interfere with the sanitation, safety or time required for dietetic work assignments.
(d) Current work schedules by job titles and weekly time schedules by job titles shall be posted.
(e) Dietetic service personnel shall be trained in basic food sanitation techniques, wear clean clothing, and a cap or a hair net, and shall be excluded from duty when affected by skin infection or communicable diseases. Beards and mustaches which are not closely cropped and neatly trimmed shall be covered.
(f) Employees' street clothing stored in the kitchen shall be in a closed area separate from food or items used in food service.
(g) Kitchen sinks shall not be used for handwashing. Separate handwashing facilities with soap, running water and individual towels shall be provided.
(h) Persons other than dietetic service personnel shall not be allowed in the kitchen areas unless required to do so in the performance of their duties.
(i) Smoking shall not be permitted in kitchen areas.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72353. Pharmaceutical Service--General.
Note

(a) Arrangements shall be made to assure that pharmaceutical services are available to provide patients with prescribed drugs and biologicals.
(b) Dispensing, labeling, storage and administration of drugs and biologicals shall be in conformance with state and federal laws.
(c) If a pharmacy is located on the premises, the pharmacy shall be licensed by the California State Board of Pharmacy and approved by the Department. The pharmacy shall not serve the general public unless a separate public entrance or a separate public serving window is utilized. Pharmacies located on the licensed premises of skilled nursing facilities shall be opened for inspection upon the request of an authorized Department representative.
(d) The facility shall not accept money, goods or services free or below cost from any pharmacist or pharmacy as compensation or inducement for referral of business to any pharmacy.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code; Sections 650 and 651, Business and Professions Code.
§72355. Pharmaceutical Service--Requirements.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72357. Pharmaceutical Service--Labeling and Storage of Drugs.
Note

(a) Containers which are cracked, soiled or without secure closures shall not be used. Drug labels shall be legible.
(b) All drugs obtained by prescription shall be labeled in compliance with state and federal laws governing prescription dispensing. No person other than the dispenser of the drug shall alter any prescription label.
(c) Nonlegend drugs shall be labeled in conformance with state and federal food and drug laws.
(d) Test reagents, germicides, disinfectants and other household substances shall be stored separately from drugs and shall not be accessible to patients.
(e) External use drugs in liquid, tablet, capsule or powder form shall be stored separately from drugs for internal use.
(f) Drugs shall be stored in appropriate temperatures. Drugs required to be stored at room temperature shall be stored at a temperature between 15oC (59oF) and 30oC (86oF). Drugs requiring refrigeration shall be stored in a refrigerator between 2oC (36oF) and 8oC (46oF). When drugs are stored in the same refrigerator with food, the drugs shall be kept in a closed container clearly labeled “drugs.”
(g) Drugs shall be stored in an orderly manner in cabinets, drawers or carts of sufficient size to prevent crowding.
(h) Dose preparation and administration areas shall be well-lighted.
(i) Drugs shall be accessible only to personnel designated in writing by the licensee.
(j) Storage of nonlegend drugs at the bedside shall meet the following conditions:
(1) The manner of storage shall prevent access by other patients. Lockable drawers or cabinets need not be used unless alternate procedures, including storage on a patient's person or in an unlocked drawer or cabinet are ineffective.
(2) The facility shall record in the patient health record the bedside medications used by the patient, based on observation by nursing personnel and/or information supplied by the patient.
(3) The quantity of each drug supplied to the patient for bedside storage shall be recorded in the health record each time the drug is so supplied.
(k) Storage of legend drugs at the bedside shall meet the conditions of 72357(j) and shall in addition:
(1) Be specifically ordered by the prescriber of the drugs, and
(2) Be limited to sublingual or inhalation forms of emergency drugs.
(l) Drugs shall not be kept in stock after the expiration date on the label and no contaminated or deteriorated drugs shall be available for use.
(m) The drugs of each patient shall be kept and stored in their originally received containers. No drug shall be transferred between containers.
(n) Discontinued drug containers shall be marked, or otherwise identified, to indicate that the drug has ben discontinued, or shall be stored in a separate location which shall be identified solely for this purpose. Discontinued drugs shall be disposed of within 90 days of the date the drug order was discontinued, unless the drug is reordered within that time.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1418.5 and 1276, Health and Safety Code.
§72359. Pharmaceutical Service--Stop Orders.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72361. Pharmaceutical Service--Orders for Drugs.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72363. Pharmaceutical Service--Drug Order Processing.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72365. Pharmaceutical Service--Drug Order Records.
Note

Facilities shall maintain a record which includes, for each drug ordered by prescription, the name of the patient, the drug name, and strength, the date ordered, the date and amount received and the name of the issuing pharmacy. The records shall be kept at least one year.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72367. Pharmaceutical Service--Personal Medications.
Note

(a) Medications brought by or with the patient on admission to the facility shall not be used unless the contents of the containers have been examined and positively identified after admission by the patient's physician or a pharmacist retained by the facility.
(b) The facility may use drugs transferred from other licensed health facilities or those drugs dispensed or obtained after admission from any licensed or governmental pharmacy and may accept the delivery of those drugs by any agent of the patient or pharmacy without the necessity of identification by a physician or pharmacist.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72369. Pharmaceutical Service--Controlled Drugs.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72371. Pharmaceutical Service--Disposition of Drugs.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Change without regulatory effect relettering duplicate subsection (c) to (d) filed 1-11-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 2).
§72373. Pharmaceutical Service--Unit Dose Medication System.
Note

In facilities utilizing a unit dose medication system, there shall be at least a 24-hour supply of all patient medications on hand at all times, except those drugs which are to be discontinued within the 24-hour period. Drugs that are part of a unit dose medication system shall not exceed a 48-hour supply.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72375. Pharmaceutical Service--Staff.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72377. Pharmaceutical Service--Equipment and Supplies.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code; Section 4035, Business and Professions Code.
§72379. Activity Program--General.
Note

An activity program means a program which is staffed and equipped to encourage the participation of each patient, to meet the needs and interests of each patient and to encourage self-care and resumption of normal activities.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72381. Activity Program--Requirements.
Note

(a) Patients shall be encouraged to participate in activities planned to meet their individual needs. An activity program shall have a written, planned schedule of social and other purposeful independent or group activities. The program shall be designed to make life more meaningful, to stimulate and support physical and mental capabilities to the fullest extent, to enable the patient to maintain the highest attainable social, physical and emotional functioning but not necessarily to correct or remedy a disability.
(b) The activity program shall consist of individual, small and large group activities which are designed to meet the needs and interests of each patient and which include, but are not limited to:
(1) Social activities.
(2) Indoor and out-of-doors activities, which may include supervised daily walks.
(3) Activities away from the facility.
(4) Religious programs.
(5) Opportunity for patient involvement for planning and implementation of the activity program.
(6) Creative activities.
(7) Educational activities.
(8) Exercise activities.
(c) Activities shall be available on a daily basis.
(d) The activity leader, at a minimum, shall:
(1) Develop, implement and supervise the activity program.
(2) Plan and conduct in-service training of the staff of the facility at least annually.
(3) Coordinate the activity schedule with other patient services.
(4) Maintain a current list of patients from the nursing service who are not physically able to participate in activities.
(5) Post the activity schedule conspicuously, in large visible print, for the information of patients and staff.
(6) Request and maintain equipment and supplies.
(7) Develop and maintain contacts with community agencies and organizations.
(8) Develop and implement activities for patients unable to leave their rooms.
(9) Maintain progress notes specific to the patient's activity plan which are recorded at least quarterly, and more frequently if needed, in the patient's health record.
(10) Maintain a current record of the type f frequency of activities provided and the names of patients participating in each activity.
(e) Where appropriate, the activity leader may recruit, train and supervise a volunteer program to assist with and augment the services of the activity program.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72383. Activity Program--Activity Plan.
Note

(a) An activity plan shall:
(1) Be developed and implemented for each patient and shall be integrated with the individual interdisciplinary patient care plan.
(2) Be reviewed quarterly and approved, in writing, by the attending physician as not in conflict with the treatment plan.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72385. Activity Program--Staff.
Note

(a) Activity program personnel with appropriate training and experience shall be available to meet the needs and interests of patients.
(b) An activity program leader shall be designated by and be responsible to the administration. An activity program leader shall meet one of the following requirements:
(1) Have two years of experience in a social or recreational program within the past five years, one year of which was full-time in a patient activities program in a health care setting.
(2) Be an occupational therapist, art therapist, music therapist, dance therapist, recreation therapist or occupational therapy assistant.
(3) Have satisfactorily completed at least 36 hours of training in a course designed specifically for this position and approved by the Department and shall receive regular consultation from an occupational therapist, occupational therapy assistant or recreation therapist who has at least one year of experience in a health care setting.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72387. Activity Program--Equipment and Supplies.
Note

Each facility shall provide equipment and supplies for both independent and group activities and for patients having special needs.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72389. Activity Program--Space.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 4. Optional Services
§72401. Optional Service Units--General.
Note

(a) “Optional service unit” means a functional unit of a skilled nursing facility which is organized, staffed and equipped to provide a specific type or types of patient care. A facility is not required to operate an optional service unit.
(b) The following types of optional service units may be operated in a skilled nursing facility: physical therapy, occupational therapy, speech therapy, speech pathology, audiology, social work services, and special treatment program services.
(c) If outpatient services are to be provided for physical therapy, occupational therapy, speech pathology, and/or audiology services, the following conditions shall be met:
(1) Outpatient service units shall be located or constructed in a manner that will minimize noise, odors, hazards and unsightliness to the facility's inpatients.
(2) Outpatient access to optional service units shall not traverse a nursing unit.
(3) Separate toilets for men and women outpatients shall be provided.
(4) Drinking water facilities of a type approved by the Department shall be available for outpatients and personnel.
(5) Handwashing facilities with hot and cold water supply shall be provided in the optional service units.
(6) Waiting areas shall be provided with sufficient floor space to seat the maximum number of persons who are expected to be accommodated at any one time.
(d) Each optional service unit within the facility shall be approved by the Department. Any facility desiring approval for an optional service unit shall file an application on forms furnished by the Department.
(e) The Department shall list on the facility license each optional service for which approval is granted.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72403. Physical Therapy Service Unit--Services.
Note

(a) “Physical therapy service” means those services ordered by a physician for a patient or upon a physician's referral and provided to a patient by or under the supervision of a physical therapist.
(b) Physical therapy services shall include but are not limited to:
(1) Assisting the physician in an evaluation of the patient's rehabilitation potential.
(2) Applying muscle, nerve, joint and functional ability tests.
(3) Treating patients to relieve pain and to develop or restore function.
(4) Assisting patients to achieve and maintain maximum performance using physical means such as exercise, massage, heat, sound, water, light or electricity.
(5) Establishing and modifying a treatment program by the physical therapist, as needed, based upon initial and continuing assessment of the patient.
(6) Maintaining patient health records which contain pertinent information and signed orders for treatment.
(A) Notes shall be written and entered in the patient's health record after completion of each procedure. The note shall indicate the procedure(s) and shall be signed by the physical therapist.
(B) Initial and continuing assessment, development of a treatment plan and discharge summary shall be written and entered in each patient's health record.
(C) Individual progress notes shall be written and signed at least weekly by the physical therapist.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72405. Physical Therapy Service Unit--Policies and Procedures.
Note

(a) Each physical therapy service Unit shall have written policies and procedures for the management of the physical therapy service.
(b) The policies and procedures shall be established and implemented by the patient care policy committee in consultation with a physical therapist.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72407. Physical Therapy Service Unit--Staff.
Note

(a) The physical therapy service unit shall be under the direction of a physical therapist.
(b) A physical therapist assistant shall treat patients only under the supervision of a physical therapist in accordance with the Physical Therapy Practice Act, Article 4.5 (beginning with Section 2655) of the Business and Professions Code.
(c) A physical therapy aide shall work only under the direct supervision of a physical therapist.
(d) There shall be physical therapists, physical therapist assistants and physical therapy aides to meet the identified needs of the patients.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72409. Physical Therapy Service Unit--Equipment.
Note

(a) Equipment shall be sufficient to provide the physical therapy services offered. The equipment shall include but not be limited to:
(1) Parallel bars.
(2) Full view mirror.
(3) Overhead pulley and weights.
(4) Set of training stairs.
(5) Treatment table enclosed by cubicle curtains for privacy.
(6) Availability of wheelchairs, walkers, canes, crutches and other ambulation aids.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72411. Physical Therapy Service Unit--Space.
Note

(a) Adequate space shall be maintained for the necessary equipment needed to provide physical therapy service. The minimum floor area for physical therapy service shall be 28 square meters (300 square feet), no dimension of which shall be less than 3.7 meters (12 feet).
(b) A sink shall be provided in the treatment area and shall have controls other than hand controls.
(c) The toilet facilities shall be located nearby and equipped with grab bars on both sides of the commode and the space shall be of sufficient size to allow for patient transfer activities.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72413. Occupational Therapy Service Unit--Services.
Note     •     History

(a) “Occupational therapy service” means those services ordered by the licensed healthcare practitioner acting within the scope of his or professional licensure in which selected purposeful activity is used as treatment in the rehabilitation of persons with a physical or mental disability.
(b) Occupational therapy services shall include but not be limited to:
(1) Assisting the licensed healthcare practitioner acting within the scope of his or her professional licensure in an evaluation of a patient's level of function by applying diagnostic and prognostic tests.
(2) Conducting and preparing written initial and continuing assessment of the patient's condition and modifying treatment goals under the order of a licensed healthcare practitioner acting within the scope of his or her professional licensure, consistent with identified needs of the patient.
(3) Decreasing or eliminating disability during patient's initial phase of recovery following injury or illness.
(4) Increasing or maintaining a patient's capability for independence.
(5) Enhancing a patient's physical, emotional and social well-being.
(6) Developing function to a maximum level.
(7) Guiding patients in their use of therapeutic, creative and self-care activities.
(c) An occupational therapy service unit shall meet the following requirements:
(1) Patient health records shall contain pertinent information and signed orders for treatment.
(2) Notes shall be written and entered in the patient's health record after completion of each procedure. The note shall indicate the procedure(s) performed, the reaction of the patient to the procedure(s) and shall be signed by the occupational therapist.
(3) Initial and continuing assessment, development of a treatment plan and discharge summary shall be written and entered in each patient's health record.
(4) Individual progress notes shall be written and signed at least weekly by the occupational therapist.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (b)(1)-(2) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72415. Occupational Therapy Service Unit--Policies and Procedures.
Note

(a) Each occupational therapy service unit shall have written policies and procedures for the management of the occupational therapy service.
(b) The policies and procedures shall be established and implemented by the patient care policy committee in consultation with an occupational therapist.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72417. Occupational Therapy Service Unit--Staff.
Note

(a) The occupational therapy service unit shall be under the direction of an occupational therapist.
(b) An occupational therapy assistant shall work only under the supervision of an occupational therapist.
(c) There shall be occupational therapists and occupational therapy assistants in the number to meet the identified needs of the patients.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72419. Occupational Therapy Service Unit--Equipment.
Note

(a) Necessary equipment shall be available to provide the occupational therapy services offered. The equipment shall include but not be limited to:
(1) Supportive slings, supportive and assistive hand splints and the materials from which to fabricate these and other assistive devices.
(2) Adaptive devices to aid in the performance of daily living skills such as eating, dressing, grooming and writing, with instructions for their use.
(3) Equipment and supplies for the development of creative skills.
(4) Means and supplies for adapting equipment for reeducation in activities of daily living.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72421. Occupational Therapy Service Unit--Space.
Note

(a) Space shall be provided for the necessary equipment needed to provide occupational therapy. The minimum floor area shall be 28 square meters (300 square feet), no dimension of which shall be less than 3.7 meters (12 feet).
(b) A sink shall be provided in the treatment area and shall have controls not requiring the use of hands.
(c) The toilet facilities shall be located nearby and equipped with grab bars on both sides of the commode, and the space shall be of sufficient size to allow for patient transfer activities.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 18948, Health and Safety Code.
§72423. Speech Pathology and/or Audiology Service Unit--Services.
Note     •     History

(a) “Speech pathology and/or audiology services” means those services referred or ordered by a licensed healthcare practitioner acting within the scope of his or her professional licensure or certification, for the provision of diagnostic screening and preventive and corrective therapy for persons with speech, hearing and/or language disorders.
(b) Speech pathology and/or audiology service shall include but not be limited to the following:
(1) Conducting and preparing written initial and continuing assessment of a patient.
(2) Notes written and entered in the patient's health record after each treatment. The notes shall indicate the treatment performed, the reaction of the patient to the treatment, and be signed by the speech pathologist or audiologist.
(3) Instruction of other health team personnel and family members in methods of assisting the patient to improve or correct a speech or hearing disorder.
(c) A speech pathology and/or audiology service unit shall meet the following requirements:
(1) Patient health records shall contain a patient's history and signed orders for treatment.
(2) Progress notes shall be written at least weekly and entered in the patient health record and shall be signed by the speech pathologist and/or audiologist.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72425. Speech Pathology and/or Audiology Service Unit--Policies and Procedures.
Note

(a) Each speech pathology and/or audiology service unit shall have written policies and procedures for the management of the speech pathology and/or audiology service.
(b) The policies and procedures shall be established and implemented by the patient care policy committee in consultation with a speech pathologist and/or audiologist.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72427. Speech Pathology and/or Audiology Service Unit--Staff.
Note

(a) Each speech pathology service unit shall employ a speech pathologist for a sufficient number of hours to meet the needs of the patients and requirements of Section 72469.
(b) Each audiology service unit shall employ an audiologist for a sufficient number of hours to meet the needs of the patients and requirements of Section 72469.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72429. Speech Pathology and/or Audiology Service Unit--Equipment.
Note

(a) Necessary equipment shall be available to provide the speech pathology and/or audiology services offered. The equipment shall include but not be limited to:
(1) A diagnostic clinical audiometer.
(2) Diagnostic tests and materials.
(3) Other equipment and materials deemed necessary by the speech pathologist and/or audiologist to meet the needs of patients.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72431. Speech Pathology and/or Audiology Service Unit--Space.
Note

Space free of ambient noise shall be provided by the facility to produce valid test results.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72433. Social Work Service Unit--Services.
Note     •     History

(a) “Social work services” means those services which assist staff, a patient and a patient's family to understand and cope with a patient's personal, emotional and related health and environmental problems.
(b) Social work services unit shall include but not be limited to the following:
(1) Interview and written assessment of each patient within five days after admission to the service.
(2) Development of a plan, including goals and treatment, for social work services for each patient who needs such services, with participation of the patient, the family, the patient's licensed healthcare practitioner acting within the scope of his or her professional licensure, the director of nursing services and other appropriate staff.
(3) Weekly progress reports in the patient's health record written and signed by the social worker, social work assistant or social work aide.
(4) Participation in regular staff conferences with the attending licensed healthcare practitioner acting within the scope of his or her professional licensure, the director of nursing service and other appropriate personnel.
(5) Discharge planning for each patient and implementation of the plan.
(6) Orientation and in-service education of other staff members on all shifts shall be conducted at least monthly by the social worker in charge of the social work service.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (b)(2) and (b)(4) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72435. Social Work Service Unit--Policies and Procedures.
Note

(a) Each social work service unit shall have written policies and procedures for the management of the social work service.
(b) The policies and procedures shall be established and implemented by the patientcare policy committee in consultation with a social worker.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72437. Social Work Service Unit--Staff.
Note

(a) Each social work service unit shall employ a staff for the number of hours to meet the needs of the patients.
(b) The social work service unit shall be organized, directed and supervised by a social worker, who is responsible for supervision of other social work staff, including social work assistants and social work aides.
(c) Social work service staff may include the social work assistant or the social work aide. Assigned functions and tasks shall be supervised by the social worker. Under conditions specified in the written patient care policies, procedures and job descriptions, the social work aide may be under the supervision of the social work assistant.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72439. Social Work Service Unit -- Equipment and Supplies.
Note

(a) Office equipment and supplies necessary for the social work service unit shall be available.
(b) Equipment and supplies shall include but not be limited to:
(1) Literature and references on subjects including psychosocial problems and needs of the patient population in the facility.
(2) Directories, listings and other reference materials on available community resources.
(3) Necessary clerical equipment and supplies.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72441. Social Work Service Unit--Space.
Note

Accessible space shall be provided for privacy in interviewing, telephoning, conferences and for operation of the unit.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72443. Special Treatment Program Service Unit--General.
Note

(a) Special treatment programs shall provide programs to serve patients who have a chronic psychiatric impairment and whose adaptive functioning is moderately impaired. Special treatment program services are those therapeutic services, including prevocational preparation and prerelease planning, provided to mentally disordered persons having special needs in one or more of the following general areas: self-help skills, behavior adjustment, interpersonal relationships.
(b) To be eligible for special treatment program services, the patient's condition should be responsive to special treatment program services and prohibitive to placement in a skilled nursing facility.
(c) The facility shall not accept for care any mentally disordered patient who has an identified program need unless the Department of Mental Health has approved the facility's specific special treatment plan.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72445. Special Treatment Program Service Unit--Services.
Note

(a) The program objective shall be to provide a program aimed at improving the adaptive functioning of chronic mentally disordered patients to enable some patients to move into a less restrictive environment and prevent other patients from regressing to a lower level of functioning.
(b) The facility shall have the capability of providing all of the following special rehabilitation program services. Individual programs shall be provided based on the specific needs identified through patient assessments.
(1) Self-Help Skills Training. This shall include but not be limited to:
(A) Personal care and use of medications
(B) Money management
(C) Use of public transportation
(D) Use of community resources
(E) Behavior control and impulse control
(F) Frustration tolerance
(G) Mental health education
(H) Physical fitness
(2) Behavioral Intervention Training. This shall include but not be limited to:
(A) Behavior modification modalities
(B) Remotivation therapy
(C) Patient government activities
(D) Group counseling
(E) Individual counseling
(3) Interpersonal Relationships. This shall include but not be limited to:
(A) Social counseling
(B) Educational and recreational therapy
(C) Social activities such as outings, dances, etc.
(4) Prevocational Preparation Services. This shall include but not be limited to:
(A) Homemaking
(B) Work activity
(C) Vocational counseling
(5) Prerelease Planning
(A) Out-of-home placement
(c) In order to qualify for special treatment program services approval, the facility shall have, initially, a minimum of 30 patients whose need for special treatment program services is reviewed and approved by the local mental health director or designee.
(d) The facility program plan shall include provisions for accomplishing the following:
(1) The facility in conjunction with the local mental health director shall make an initial, individual assessment of each patient to identify the current level of functioning and program needs of the patient. The assessment shall be standardized and recorded on forms approved by the Department.
(2) At least every 4 months, the facility, in conjunction with the local mental health director or designee, shall reassess each patient to determine the need for continued certification of the patient in the special treatment program.
(3) A minimum average of 27 hours per week of direct group or individual program service for each patient.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72447. Special Treatment Program Service Unit--Distinct Part.
Note

(a) A special treatment program service distinct part means an identifiable and physically separate unit of a skilled nursing facility or an entire skilled nursing facility which provides therapeutic programs to an identified mentally disordered population group. The distinct part shall be indicated on the facility license.
(b) A special treatment program means a therapeutic program of services designed, staffed and implemented by the special treatment program service for the purpose of meeting the special needs of an identified population group.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72449. Special Treatment Program Service Unit--Program Approval.
Note

(a) Annually the facility shall submit to the Department of Mental Health a written description of its Special Treatment Program which shall meet all of the requirements of Section 72461. The facility shall also specify any alternate requirements needed to implement a special program, and shall submit other documents requested by the Department of Mental Health.
(b) The facility shall comply with all requirements of its approved Special Treatment Program and also any approved, specific, alternate requirement which shall govern the operation of the program notwithstanding the provisions of any other regulation contained in this chapter.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72451. Special Treatment Program Service Unit--Program Requirements.
Note

(a) The facility shall specify each population group that it plans to serve. The program shall be developed to meet specific needs for that group. The program shall consist of the following components:
(1) The description of the population group to be served, shall include the following:
(A) Age range
(B) Sex
(C) Physical characteristics
(D) Emotional characteristics
(E) Number of patients to be served in each population group
(F) Identification of the particular needs within the population group
(G) A written program designed to meet the identified needs of the population
(H) Method and frequency of evaluating patient progress
(b) Each patient admitted shall have an initial evaluation and assessment by facility staff of his medical, nursing dietetic, social and physical needs within 15 days of admission unless an evaluation has been done by the referring agency within 30 days prior to admission to the facility.
(c) Each patient admitted shall have a psychological evaluation and assessment by the appropriate discipline within 45 days of admission.
(d) Consultative sources shall be used in the planning and organization of appropriate programs for the mentally disordered, incorporating discharge planning services intended to enable the patient to function and gain independence.
(e) Skills training programs shall be provided but not limited to techniques of behavior modification training in self-skills, sensory training or the modalities of reality orientation and remotivation therapy, as applicable to patients' needs or as described in the treatment plan.
(f) Orientation and in-service training of staff members by a qualified person to assist them in the recognition and understanding of the emotional problems and social needs of patients and the means of taking appropriate action. Available community resources and services should be included in the orientation.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72453. Special Treatment Program Service Unit--Rights of Patients.
Note     •     History

(a) Each patient admitted to a special treatment program in a skilled nursing facility shall have the following rights, a list of which shall be prominently posted in English and Spanish in all facilities providing such services. The rights shall also be brought to the patient's attention by additional, appropriate means:
(1) To wear their own clothes; to keep and use personal possessions including toilet articles; and to keep and be allowed to spend a reasonable sum of their own money for small purchases.
(2) To have access to individual storage space for private use.
(3) To see visitors each day.
(4) To have reasonable access to telephones, both to make and receive confidential calls.
(5) To have ready access to letter writing materials, including stamps and to mail and receive unopened correspondence.
(6) To refuse shock treatment.
(7) To refuse lobotomy services.
(8) Other rights as provided by law.
(b) The attending physician or psychologist may, for good cause, deny or limit a patient his or her rights, except the right to refuse lobotomy or shock treatment. Any denial or limitation of a patient's rights shall be entered in the patient's health record.
(c) Information pertaining to denial of rights contained in the patient's health record shall be made available on request to the Department and to the individuals authorized by law.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code; and Section 5325, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72455. Special Treatment Program Service Unit--Abuse and Corporal Punishment.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72457. Special Treatment Program Service Unit--Restraint and Seclusion.
Note

(a) Restraint and seclusion shall only be used as emergency measures to protect the patient from injury to self or to others. Restraint and seclusion shall not be used as punishment or the convenience of the staff.
(1) Restraints may be used:
(A) For the protection of the patient during treatment and diagnostic procedures, including but not limited to, intravenous therapy, tube feeding and catheterization.
(B) To prevent infirm patients from falling out of bed or chairs or otherwise injuring themselves.
NOTE

Authority cited: Sections 208 (a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72459. Special Treatment Program Service Unit--Acceptable Forms of Restraints.
Note

(a) Mechanical or behavior restraints are defined as any apparatus that interferes with the free movement of a patient.
(1) Physical restraint means restraint to control an acutely disturbed person to prevent the person from causing harm to self or others. The tying of hands or feet, whether or not the person is restrained in a bed, chair or wheelchair, shall be considered a physical restraint. A physical restraint shall not be confused with a postural support as defined in Section 72319(k). Only the following types of physical restraint may be used:
(A) Soft tie consisting of cloth which prevents movements of a patient.
(B) Mittens without thumbs which are securely fastened around the wrist with a small tie.
(C) Cloth vests consisting of sleeveless cloth webbing.
(D) Belts and cuffs, which are well padded, used to control a seriously disturbed, assaultive patient.
NOTE

Authority cited: Sections 208 (a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72461. Special Treatment Program Service Unit--Orders for Restraint and Seclusion.
Note     •     History

(a) Restraint and seclusion shall only be used on the signed order of a licensed health care practitioner acting within the scope of his or her professional licensure and shall be renewed every 24 hours. In a documented case of emergency, which threatens to bring immediate injury to the patient or others, a restraint may be applied, and a licensed health care practitioner acting within the scope of his or her professional licensure shall give an order for application of the restraint within one hour. A licensed health care practitioner acting within the scope of his or her professional licensure may give the order by telephone. In such an event, the licensed health care practitioner shall sign the order within 5 days.
(b) A daily log shall be maintained in each facility exercising behavior restraint and seclusion indicating the name of the patient for whom behavior restraint or seclusion is ordered.
(c) Full documentation of the episode leading to the behavior restraint or seclusion, the type of behavior restraint or seclusion used, the length of time that the restraint or seclusion was applied or utilized, and the name of the individual applying such measures shall be entered in the patient's health record.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72463. Special Treatment Program Service Unit--Restrictions on Applying Restraints and Utilizing Seclusion.
Note

(a) In applying physical restraints, each of the following requirements shall be met in addition to those set forth in Section 72319:
(1) Careful consideration shall be given to the methods by which the restraints may be speedily removed in the event of fire or other emergency.
(2) Patients placed in restraint shall be observed by qualified treatment personnel at least every half hour. This observation shall be noted and initialed in the patient's health record following each observation.
(3) Each individual program plan authorizing restraint shall specify the behavior to be modified, the method to be used, the schedule for use of the method, the person responsible for the program and the effectiveness of the modality in attaining stated objectives.
(4) Opportunity for motion and exercise shall be provided for a period of not less than ten minutes during each two hours in which restraint is applied. The exercise periods shall be documented in the patient's record.
(b) In utilizing seclusion each of the following requirements shall be met:
(1) Patients placed in seclusion shall be observed by qualified treatment personnel at least every half hour. This observation shall be noted and initialed in the patient's health record.
(2) Each individual program plan authorizing seclusion shall specify the behavior to be modified, the method to be used, the schedule for use of the method, the person responsible for the program and the effectiveness of the modality in attaining stated goals.
(3) Opportunity for motion and exercise shall be provided for a period of not less than ten minutes during each two hours in which seclusion is applied. The exercise periods shall be documented in the patient's record.
(c) Medication shall not be used as punishment, as a substitute for a program or for the convenience of staff.
NOTE

Authority cited: Sections 208 (a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72465. Special Treatment Program Service Unit--Staff.
Note

(a) A registered nurse, licensed vocational nurse or licensed psychiatric technician shall be employed at least 40 hours a week on the day shift and be responsible for nursing supervision of the distinct part. If the facility has a total licensed capacity of 59 beds or less the director of nursing services may also be the charge nurse for the distinct part.
(b) Nursing service charge personnel on all shifts shall have at least one year of experience or training related to the special treatment program services, or shall participate in in-service provided by the facility.
(c) If the facility is devoted entirely to the care of the mentally disordered, there shall be at least one registered nurse or licensed vocational nurse on duty on all three shifts seven days per week.
(d) A licensed psychiatric technician may:
(1) Serve as a charge nurse.
(2) Administer medications only in a special treatment program.
(e) The Department may require the licensee to provide additional professional, administrative or supportive personnel whenever the Department determines through a written evaluation that additional personnel is needed to provide for the health and safety of patients. Nursing service personnel shall be on duty in the number and with the qualifications, training, and supervision necessary to meet the individual care needs of patients admitted for care.
(f) Interdisciplinary Professional Staff: The facility shall provide either through direct employment or by contractual arrangement, an interdisciplinary professional staff to develop and implement special rehabilitation programs and to provide specific expertise to the program staff, and/or provide direct patient services.
(1) The interdisciplinary professional staff shall be composed of at least two of the following disciplines:
(A) Psychologist
(B) Social Worker
(C) Occupational therapist
(D) Recreation therapist
(E) Art therapist
(F) Dance therapist
(G) Music therapist
(H) Any other related discipline approved by the Department
(2) Each member of the interdisciplinary professional staff shall have a minimum of one year of experience or training in a mental health setting.
(3) In addition to general staffing requirements in Section 72329(f) a facility which provides a special treatment program shall provide interdisciplinary staff as required in Section 72329(f) in accordance with the following schedule:
(A) For facilities having an average of 49 or fewer certified patients per week, 24 hours per week of professional staff time.
(B) For facilities having an average between 50-69 certified patients per week, 32 hours per week of professional staff time.
(C) For facilities having an average between 70-99 certified patients per week, 48 hours per week of professional staff time.
(D) For facilities having an average of more than 100 certified patients per week, 72 hours per week of professional staff time.
(E) The facility shall provide at least one hour of direct program staff time for each six program hours of long-term program rehabilitation services provided. Program staff shall include all persons who directly provide program services to mentally disordered persons and shall not include the program director.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72467. Special Treatment Program Service Unit--Program Director.
Note

(a) The facility shall have a program director who has been approved by the Department of Mental Health. The program director shall not be the director of nursing service, charge nurse or facility administrator.
(b) The program director shall have at least two years experience or training in a mental health setting, one year of which shall include experience or training in program development for mentally disordered.
(c) The program director shall ensure that the in-service education program is provided.
(d) The program director shall be one of the following:
(1) Licensed vocational nurse.
(2) Art therapist.
(3) Dance therapist.
(4) Music therapist.
(5) Occupational therapist.
(6) Physician.
(7) Licensed psychiatric technician.
(8) Licensed psychologist.
(9) Recreation therapist.
(10) Registered nurse.
(11) Social worker.
(12) Any other related discipline approved by the Department of Mental Health.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72469. Special Treatment Program Service Unit--In-Service Education.
Note

(a) The facility shall provide to all program staff an average of at least one hour per week of ongoing, planned academic and on-the-job in-service education. The education shall include, but not be limited to the following:
(1) Specific program techniques for the mentally disordered.
(2) Setting behavioral program objectives for patients.
(3) Evaluation and assessment procedures and criteria.
(4) Noting and documenting patient progress in the program.
(b) The facility shall maintain a record of the in-service education. This record shall include the signature of staff in attendance, the number of hours, the date and the subjects covered.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72471. Special Treatment Program Service Unit--Patient Health Records and Plans for Care.
Note     •     History

(a) The facility shall maintain an individual health record for each patient which shall include but not be limited to the following:
(1) A list of the patient's care needs, based upon an initial and continuing individual assessment with input as appropriate from the health professionals involved in the care of the patient. Initial assessments by a licensed nurse shall commence at the time of admission of the patient and shall be completed within seven days after admission.
(2) The plan for meeting behavioral objectives. The plan shall include but not be limited to the following:
(A) Resources to be used.
(B) Frequency of plan review and updating.
(C) Persons responsible for carrying out plans.
(3) Development and implementation of an individual, written care plan based on identified patient care needs. The plan shall indicate the care to be given, the objectives to be accomplished, and the professional discipline responsible for each element of care. The objectives shall be measurable, with time frames, and shall be reviewed and updated at least every 90 days.
(b) There shall be a review and updating of the patient care plan as necessary by the nursing staff and other professional personnel involved in the care of the patient at least quarterly, and more often if there is a change in the patient's condition.
(c) The patient care plan shall be approved, signed and dated by the licensed healthcare practitioner acting within the scope of his or her professional licensure attending the patient.
(d) There shall be at least monthly progress notes in the record for each patient which shall include notes written by all members of the staff providing program services to the patient. The notes shall be specific to the needs of the patients and the program objectives and plans.
(e) At the time of reassessment there shall be a summary of the progress of the patient in the program, the appropriateness of program objectives and the success of the plan.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72473. Special Treatment Program Service Unit--Equipment.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72475. Special Treatment Program Service Unit--Space.
Note

(a) The special treatment program service shall have accommodations, including dining, recreational and program service areas to meet the needs of the program.
(b) Indoor and outdoor areas shall be designated for special treatment programs.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 5. Administration
§72501. Licensee--General Duties.
Note

(a) The licensee shall be responsible for compliance with licensing requirements and for the organization, management, operation and control of the licensed facility. The delegation of any authority by a licensee shall not diminish the responsibilities of such licensee.
(b) The licensee, if an administrator, may act as the administrator or shall appoint an administrator, to carry out the policies of the licensee. A responsible adult who is knowledgeable in the policies and procedures of the licensee shall be appointed, in writing, to carry out the policies of the licensee in the absence of the administrator. If the administrator is to be absent for more than 30 consecutive days, the licensee shall appoint an acting administrator to carry out the day-to-day functions of the facility.
(c) The licensee shall delegate to the designated administrator, in writing, authority to organize and carry out the day-to-day functions of the facility.
(d) Except where provided for in approved continuing care agreements, or except when approved by the Department, no facility owner, administrator, employee or representative thereof shall act as guardian or conservator of a patient therein or of that patient's estate, unless that patient is a relative within the second degree of consanguinity.
(e) The licensee shall employ an adequate number of qualified personnel to carry out all the functions of the facility and shall provide for initial orientation of all new employees, a continuing in-service training program and competent supervision.
(f) If language or communication barriers exist between skilled nursing facility staff and patients, arrangements shall be made for interpreters or for the use of other mechanisms to ensure adequate communication between patients and personnel.
(g) The Department may require the licensee to provide additional professional, administrative or supportive personnel whenever the Department determines through a written evaluation that additional personnel is needed to provide for the health and safety of patients.
(h) The licensee shall ensure that all employees serving patients or the public shall wear name and title badges unless contraindicated.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72503. Consumer Information to Be Posted.
Note

(a) The following consumer information shall be conspicuously posted in a prominent location accessible to the public.
(1) Name, license number and date of employment of the current administrator of the facility.
(2) A listing of all services and special programs provided in the facility and those provided through written contracts.
(3) The current and following week's menus for regular and therapeutic diets.
(4) A notice that the facility's written admission and discharge policies are available upon request.
(5) Most recent licensing visit report supported by the related follow-up plan of correction visit reports.
(6) The names and addresses of all previous owners of the facility.
(7) A listing of all other skilled nursing and intermediate care facilities owned by the same person, firm, partnership, association, corporation or parent or subsidiary corporation, or a subsidiary of the parent corporation.
(8) A statement that an action to revoke the facility's license is pending, if such an action has been initiated by the filing of an accusation, pursuant to Section 11503 of the Government Code, and the accusation has been served on the licensee.
(9) A notice of the name, address and telephone number of the District Office of the Licensing and Certification Division, Department of Health Services, having jurisdiction over the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72505. Fire Safety.
Note

The licensee shall conform to the regulations adopted by the State Fire Marshal establishing minimum standards for the prevention of fire and for the protection of life and property against fire and panic. A copy of the State Fire Marshal's current fire clearance shall be available in the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72507. Smoking.
Note

(a) Patients shall not be permitted to smoke in or on the bed except when a facility staff member or responsible adult is present in the room to ensure safety against fire hazards.
(b) The facility shall provide designated areas for smoking. Patients shall be permitted to smoke only in designated areas. The designated area shall be under the periodic observation of facility personnel or responsible adults. This does not preclude the designation of the patient rooms as smoking areas.
(c) The facility shall provide a designated area for nonsmoking patients. Such a designated area shall be identified by prominently posted “No Smoking” signs.
(d) Smoking or open flames shall not be permitted in any rooms or spaces where oxygen cylinders are stored or where oxygen is in use. Such rooms or spaces shall be identified by prominently posted “No Smoking” or “No Open Flame” signs.
(e) The facility shall make every reasonable effort to assign patients to rooms according to the patient's individual nonsmoking or smoking preferences.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1286 and 25942, Health and Safety Code.
§72509. Advertising.
Note

(a) No skilled nursing facility shall make or disseminate false or misleading statements or advertise by any other manner or means any false or misleading claims regarding facilities or services provided.
(b) No skilled nursing facility shall use the words “Approved by the California Department of Health Services” or any other words conveying the same idea in any advertising material.
(c) The term “rehabilitation” shall not be used unless the facility has rehabilitation services which are approved by the Department.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1256 and 1276, Health and Safety Code.
§72511. Use of Outside Resources.
Note

(a) If a facility does not employ qualified personnel to render a specific service to be provided by the facility, there shall be arrangements through a written agreement with outside resources which shall meet the standards and requirements of these regulations.
(b) Copies of affiliation agreements, contracts or written arrangements for advice, consultation, services, training or transportation, with other facilities, organizations or individuals, public or private agencies, shall be on file in the facility's administrative office. These shall be readily available for inspection and review by the Department.
(c) The affiliation agreement, contracts and written arrangements shall include, but not be limited to:
(1) Description of the services to be provided.
(2) Financial arrangements.
(3) Methods by which the services are to be provided.
(4) Conditions upon which the agreement, contract or written arrangement can be terminated.
(5) Time frame of the affiliation agreement, contract or written arrangement.
(6) Effective date of affiliation agreement, contract or written arrangement.
(7) Date affiliation agreement, contract or written arrangement was signed.
(8) Signatures of all parties to the written agreement.
(d) The outside resource, when acting as a consultant, shall apprise the administrator in writing of recommendations, plans for implementation and continuing assessment through dated and signed reports which shall document the length of the visit and shall be retained by the administrator for follow-up action and evaluation of performance. The administrator shall provide evidence of review of the recommendations.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72513. Administrator.
Note

(a) Each skilled nursing facility shall employ or otherwise provide an administrator to carry out the policies of the licensee. The administrator shall be responsible for the administration and management of only one skilled nursing facility unless all of the following conditions are met:
(1) If other skilled nursing facilities for which the administrator is responsible are in the same geographic area, and within one hour surface travel time of each other, and are operated by the same governing body.
(2) The administrator shall not be responsible for more than three facilities or a total of no more than 200 beds.
(3) The administrator shall designate a responsible adult who is knowledgeable in the policies and procedures of the licensee in each facility to be responsible for carrying out the policies of the licensee in the administrator's absence.
(b) The administrator shall have sufficient freedom from other responsibilities and shall be on the premises of the skilled nursing facility a sufficient number of hours to permit adequate attention to the management and administration of the facility. The Department may require that the administrator spend additional hours in the facility whenever the Department determines through a written evaluation that such additional hours are needed to provide adequate administrative management.
(c) A copy of the current skilled nursing facility regulations contained in this chapter shall be maintained by the administrator and shall be available to all personnel.
(d) The administrator shall be responsible for informing appropriate staff of the applicable additions, deletions and changes to skilled nursing facility regulations.
(e) The administrator shall be responsible for informing the Department, via telephone within 24 hours of any unusual occurrences as specified in Section 72541. If the unusual occurrence involves the discontinuance or disruption of services occurring during other than regular business hours of the Department or its designee, a telephone report shall be made immediately upon the resumption of business hours of the Department.
(f) The administrator or designee shall be responsible for screening patients for admission to the facility to ensure that the facility admits only those patients for whom it can provide adequate care. The administrator, or designee, shall conduct preadmission personal interviews as appropriate with the patient's physician, the patient, the patient's next of kin or sponsor or the representative of the facility from which the patient is being transferred. A telephone interview may be substituted when a personal interview is not feasible.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72515. Admission of Patients.
Note     •     History

The licensee shall:
(a) Admit a patient only on physician's orders.
(b) Accept and retain only those patients for whom it can provide adequate care.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1262.7, 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72516. Standard Admission Agreement.
Note     •     History

(a) The licensee shall use the California Standard Admission Agreement for Skilled Nursing and Intermediate Care Facilities, form number CDPH 327 (05/11), which is incorporated by reference herein, as the sole contract of admission between residents and the licensee.
(b) Except to enter information specific to the facility or the resident in blank spaces provided in the Standard Admission Agreement form or its attachments, the licensee shall not alter the Standard Admission Agreement unless directed to do so by the Department. A licensee wishing to receive direction from the Department that would enable the licensee to alter the Standard Admission Agreement shall submit a request to the Department. The request shall:
(1) Include the identity of the facility; 
(2) Identify the specific language in the Standard Admission Agreement that the facility is unable to employ; and/or, 
(3) Identify the specific location and language that is to be deleted, amended or appended to the form; and, 
(4) Contain substantiating evidence identifying the reason that the use of the Standard Admission Agreement without the requested modification would not be possible because of some unique aspect of the facility's operation or would make it highly likely that the use of the language will create a new cause of action against the facility related to its compliance with existing statutory or regulatory requirements governing the care provided to nursing facility residents. The Department shall respond within 60 days of the receipt of the request.
(c) No resident or his or her legal representative shall be required to sign any other document at the time of, or as a condition of, admission to the licensee's facility, or as a condition of continued stay in the facility.
(d) The licensee shall not present any arbitration agreement to a prospective resident as a part of the Standard Admission Agreement. Any arbitration agreement shall be separate from the Standard Admission Agreement and shall contain the following advisory in a prominent place at the top of the proposed arbitration agreement, in bold-face font of not less than 12 point type: “Residents shall not be required to sign this arbitration agreement as a condition of admission to this facility, and cannot waive the ability to sue for violation of the Resident Bill of Rights.”
This section shall become operative six months after the date it is filed with the Secretary of State. 
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Sections 1276, 1430, 1599.60, 1599.61, 1599.64, 1599.81, 123222.1, 131050, 131051 and 131052. Health and Safety Code; and Parkside Special Care Center, Inc., et al. v. Sandra Shewry, Director of the Department of Health Services, et al., Superior Court of the State of California, County of San Diego, case number GIC: 860574.
HISTORY

1. New section filed 7-6-2005; operative 1-2-2006 (Register 2005, No. 27).
2. Amendment of subsections (a)-(b), new subsections (b)(1)-(4) and last paragraph and amendment of Note filed 9-29-2011; operative 9-29-2011 pursuant to Government Code section 11343.4(c); section operative 3-29-2012 per agency amendment (Register 2011, No. 39).
§72517. Staff Development.
Note

(a) Each facility shall have an ongoing educational program planned and conducted for the development and improvement of necessary skills and knowledge for all facility personnel. Each program shall include, but not be limited to:
(1) Problems and needs of the aged, chronically ill, acutely ill and disabled patients.
(2) Prevention and control of infections.
(3) Interpersonal relationship and communication skills.
(4) Fire prevention and safety.
(5) Accident prevention and safety measures.
(6) Confidentiality of patient information.
(7) Preservation of patient dignity, including provision for privacy.
(8) Patient rights and civil rights.
(9) Signs and symptoms of cardiopulmonary distress.
(10) Choking prevention and intervention.
(b) In addition to (a) above, all licensed nurses shall have training in cardiopulmonary resuscitation.
(c) Records of each staff development program shall be maintained. The records shall include name and title of presenter, date of presentation, title of subject presented, description of content and the signatures of those attending.
(d) Each facility shall have a written orientation program for all newly hired employees. Each employee shall receive orientation to the facility, the employee's job description and duties, the patient population, the pertinent policies and procedures and the facility staff.
(e) Consultants employed by the facility shall participate in the staff development program.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
§72519. Patient Transfer.
Note

(a) The licensee shall maintain written transfer agreements with other nearby health facilities to make the services of those facilities accessible and to facilitate the transfer of patients. Complete and accurate patient information, in sufficient detail to provide for continuity of care shall be transferred with the patient at time of transfer.
(b) When a patient is transferred to another facility, the following shall be entered in the patient health record:
(1) The date, time, condition of the patient and a written statement of the reason for the transfer.
(2) Informed written or telephone acknowledgement of the patient, patient's guardian or authorized representative except in an emergency or as provided in Section 72527(a)(5).
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72520. Bed Hold.
Note     •     History

(a) If a patient of a skilled nursing facility is transferred to a general acute care hospital as defined in Section 1250(a) of the Health and Safety Code, the skilled nursing facility shall afford the patient a bed hold of seven (7) days, which may be exercised by the patient or the patient's representative.
(1) Upon transfer to a general acute care hospital, the patient or the patient's representative shall notify the skilled nursing facility within twenty-four (24) hours after being informed of the right to have the bed held, if the patient desires the bed hold.
(2) Except as provided in Section 51535.1, Title 22, California Administrative Code, any patient who exercises the bedhold option shall be liable to pay reasonable charges, not to exceed the patient's daily rate for care in the facility, for bed hold days.
(3) If the patient's attending physician notifies the skilled nursing facility in writing that the patient's stay in the general acute care hospital is expected to exceed seven (7) days, the skilled nursing facility shall not be required to maintain the bed hold.
(b) Upon admission of the patient to the skilled nursing facility and upon transfer of the patient of a skilled nursing facility to a general acute care hospital, the skilled nursing facility shall inform the patient, or the patient's representative, in writing of the right to exercise this bed hold provision. No later than June 1, 1985, every skilled nursing facility shall inform each current patient or patient's representative in writing of the right to exercise the bed hold provision. Each notice shall include information that a non-Medi-Cal eligible patient will be liable for the cost of the bed hold days, and that insurance may or may not cover such costs.
(c) A licensee who fails to meet these requirements shall offer to the patient the next available bed appropriate for the patient's needs. This requirement shall be in addition to any other remedies provided by law.
The provisions of this section do not apply to patients covered only by Medicare, Title XVIII benefits pursuant to Code of Federal Regulations, Title 42, Subsection 489.22(d)(1).
NOTE

Authority cited: Sections 208(a), 1275 and 1276, Health and Safety Code. Reference: Sections 1275 and 1276, Health and Safety Code; and 42 CFR 489.22 (d)(1).
HISTORY

1. New section filed 12-17-84 as an emergency; effective upon filing (Register 85, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-16-85.
2. Certificate of Compliance including amendment of subsection (b) transmitted to OAL 4-11-85 and filed 5-15-85 (Register 85, No. 21).
3. Last sentence added to clarify that Section 72520 as originally adopted was not applicable to patients covered only by Medicare, Title XVIII benefits. (See 42 CFR 489.22(d)(1).)
§72521. Administrative Policies and Procedures.
Note     •     History

(a) Written administrative, management and personnel policies shall be established and implemented to govern the administration and management of the facility.
(b) All policies and procedures required by these regulations shall be in writing and shall be carried out as written. They shall be made available upon request to patients or their agents and to employees and the public. Policies and procedures shall be reviewed at least annually, revised as needed and approved in writing by the governing body or licensee.
(c) Each facility shall establish at least the following:
(1) Personnel policies and procedures which shall include:
(A) Written job descriptions detailing qualifications, duties and limitations of each classification of employee available to all personnel.
(B) Employee orientation to facility, job, patient population, policies, procedures and staff.
(C) Staff Development.
(D) Employee benefits.
(E) Employee health and grooming.
(F) Verification of licensure, credentials and references.
(2) Policies and procedures for patient admission, leave of absence, transfer, pass and discharge, categories of patients accepted and retained, rate of charge for services included in the basic rate, type of services offered, charges for extra services, limitations of services, cause for termination of services and refund policies applying to termination of services.
(3) Policies and procedures for admission or discharge of a patient which state that a patient shall not be admitted or discharged based on race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status, except:
Any bona fide nonprofit religious, fraternal or charitable organization which can demonstrate to the satisfaction of the Department that its primary or substantial purpose is not to evade this subsection may establish admission policies limiting or giving preference to its own members or adherents and such policies shall not be construed as a violation of this subsection. Any admission of nonmembers or nonadherents shall be subject to this subsection.
(4) Written policies and procedures governing patient health records which shall be developed with the assistance of a person skilled in record maintenance and preservation.
(A) Policies and procedures governing access to, duplication of and dissemination of, information from the patient's health record.
(B) Policies and procedures shall be established to ensure the confidentiality of patient health information, in accordance with applicable laws and regulations.
(5) Policies and procedures to assure that the facility accepts and retains only those patients for whom it can provide care.
(6) Procedures for reporting unusual occurrences.
(d) The facility shall have a written organizational chart showing the major programs of the facility, the person in charge of each program, the lines of authority, responsibility and communication and the staff assignments.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 1285, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsections (c)(3) and (c)(6) and amending Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§72523. Patient Care Policies and Procedures.
Note     •     History

(a) Written patient care policies and procedures shall be established and implemented to ensure that patient related goals and facility objectives are achieved.
(b) All policies and procedures required of these regulations shall be in writing, made available upon request to physicians and other involved health professionals, patients or their representatives, employees and the public shall be carried out as written. Policies and procedures shall be reviewed at least annually, revised as needed and approved in writing by the patient care policy committee.
(c) Each facility shall establish and implement policies and procedures, including but not limited to:
(1) Physician services policies and procedures which include:
(A) Orientation of new physicians to the facility and changes in physician services and/or policies.
(B) Patient evaluation visits by the attending physician and documentation of alternate schedules for such visits.
(2) Nursing services policies and procedures which include:
(A) A current nursing procedure manual.
(B) Provision for the inventory and identification of patients' personal possessions, equipment and valuables.
(C) Screening of all patients for tuberculosis upon admission. These procedures shall be determined by the patient care policy committee. A tuberculosis screening procedure may not be required if there is satisfactory written evidence available that a tuberculosis screening procedure has been completed within 90 days of the date of admission to the facility. Subsequent tuberculosis screening procedures shall be determined by the attending physician.
(D) Notification of the licensed healthcare practitioner acting within the scope of his or her professional licensure regarding sudden or marked adverse change in a patient's condition.
(E) Conditions under which restraints are used, the application of restraints, and the mechanism used for monitoring and controlling their use.
(3) Infection control policies and procedures.
(4) Dietary services policies and procedures which include:
(A) Provision for safe, nutritious food preparation and service.
(B) A provision for maintaining a current dietetic service procedure manual.
(5) Pharmaceutical services policies and procedures.
(6) Activity program policies and procedures.
(7) Housekeeping services policies and procedures which include provision for maintenance of a safe, clean environment for patients, employees and the public.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (c)(2)(D) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72525. Required Committees.
Note     •     History

(a) Each facility shall have at least the following committees: patient care policy, infection control and pharmaceutical service.
(b) Minutes of every committee meeting shall be maintained in the facility and indicate names of members present, date, length of meeting, subject matter discussed and action taken.
(c) Committee composition and function shall be as follows:
(1) Patient care policy committee.
(A) A patient care policy committee shall establish policies governing the following services: physician, dental, nursing, dietetic, pharmaceutical, health records, housekeeping, activity programs and such additional services as are provided by the facility.
(B) The committee shall be composed of: at least one physician, the administrator, the director of nursing service, a pharmacist, the activity leader and representatives of each required service as appropriate.
(C) The committee shall meet at least annually.
(D) The patient care policy committee shall have the responsibility for reviewing and approving all policies relating to patient care. Based on reports received from the facility administrator, the committee shall review the effectiveness of policy implementation and shall make recommendations for the improvement of patient care.
(E) The committee shall review patient care policies annually and revise as necessary. Minutes shall list policies reviewed.
(F) The patient care policy committee shall implement the provisions of the Health and Safety Code, Sections 1315, 1316 and 1316.5, by means of written policies and procedures.
(G) Only a licensed health care practitioner acting within the scope of his or her professional licensure shall assume overall care of patients.
(2) Infection control committee.
(A) An infection control committee shall be responsible for infection control in the facility.
(B) The committee shall be composed of representatives from the following services: physician, nursing, administration, dietetic, pharmaceutical, activities, housekeeping, laundry and maintenance.
(C) The committee shall meet at least quarterly.
(D) The functions of the infection control committee shall include, but not be limited to:
1. Establishing, reviewing, monitoring and approving policies and procedures for investigating, controlling and preventing infections in the facility.
2. Maintaining, reviewing and reporting statistics of the number, types, sources and locations of infections within the facility.
(3) Pharmaceutical service committee.
(A) A pharmaceutical service committee shall direct the pharmaceutical services in the facility.
(B) The committee shall be composed of the following: a pharmacist, the director of nursing service, the administrator and at least one physician.
(C) The committee shall meet at least quarterly.
(D) The functions of the pharmaceutical service committee shall include, but not be limited to:
1. Establishing, reviewing, monitoring and approving policies and procedures for safe procurement, storage, distribution and use of drugs and biologicals.
2. Reviewing and taking appropriate action on the pharmacist's quarterly report.
3. Recommending measures for improvement of services and the selection of pharmaceutical reference materials.
NOTE

Authority cited: Sections 1275, 100275, 131200, Health and Safety Code. Reference: Sections 1276, 1315, 1316, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Amendment of subsections (c)(1)(A) and (c)(1)(F), repealer of subsections (c)(1)(F)1. and (c)(1)(G)-(c)(1)(G)2., redesignation and amendment of former subsection (c)(1)(F)2. as subsection (c)(1)(G) and amendment of subsection (c)(2)(B) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72527. Patients' Rights.
Note     •     History

(a) Patients have the rights enumerated in this section and the facility shall ensure that these rights are not violated. The facility shall establish and implement written policies and procedures which include these rights and shall make a copy of these policies available to the patient and to any representative of the patient. The policies shall be accessible to the public upon request. Patients shall have the right:
(1) To be fully informed, as evidenced by the patient's written acknowledgement prior to or at the time of admission and during stay, of these rights and of all rules and regulations governing patient conduct.
(2) To be fully informed, prior to or at the time of admission and during stay, of services available in the facility and of related charges, including any charges for services not covered by the facility's basic per diem rate or not covered under Titles XVIII or XIX of the Social Security Act.
(3) To be fully informed by a physician of his or her total health status and to be afforded the opportunity to participate on an immediate and ongoing basis in the total plan of care including the identification of medical, nursing and psychosocial needs and the planning of related services.
(4) To consent to or to refuse any treatment or procedure or participation in experimental research.
(5) To receive all information that is material to an individual patient's decision concerning whether to accept or refuse any proposed treatment or procedure. The disclosure of material information for administration of psychotherapeutic drugs or physical restraints or the prolonged use of a device that may lead to the inability to regain use of a normal bodily function shall include the disclosure of information listed in Section 72528(b).
(6) To be transferred or discharged only for medical reasons, or the patient's welfare or that of other patients or for nonpayment for his or her stay and to be given reasonable advance notice to ensure orderly transfer or discharge. Such actions shall be documented in the patient's health record.
(7) To be encouraged and assisted throughout the period of stay to exercise rights as a patient and as a citizen, and to this end to voice grievances and recommend changes in policies and services to facility staff and/or outside representatives of the patient's choice, free from restraint, interference, coercion, discrimination or reprisal.
(8) To be free from discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status.
(9) To manage personal financial affairs, or to be given at least a quarterly accounting of financial transactions made on the patient's behalf should the facility accept written delegation of this responsibility subject to the provisions of Section 72529.
(10) To be free from mental and physical abuse. 
(11) To be assured confidential treatment of financial and health records and to approve or refuse their release, except as authorized by law.
(12) To be treated with consideration, respect and full recognition of dignity and individuality, including privacy in treatment and in care of personal needs.
(13) Not to be required to perform services for the facility that are not included for therapeutic purposes in the patient's plan of care.
(14) To associate and communicate privately with persons of the patient's choice, and to send and receive personal mail unopened.
(15) To meet with others and participate in activities of social, religious and community groups.
(16) To retain and use personal clothing and possessions as space permits, unless to do so would infringe upon the health, safety or rights of the patient or other patients.
(17) If married or registered as a domestic partner, to be assured privacy for visits by the patient's spouse or registered domestic partner and if both are patients in the facility, to be permitted to share a room.
(18) To have daily visiting hours established.
(19) To have visits from members of the clergy at any time at the request of the patient or the patient's representative.
(20) To have visits from persons of the patient's choosing at any time if the patient is critically ill, unless medically contraindicated.
(21) To be allowed privacy for visits with family, friends, clergy, social workers or for professional or business purposes.
(22) To have reasonable access to telephones and to make and receive confidential calls.
(23) To be free from any requirement to purchase drugs or rent or purchase medical supplies or equipment from any particular source in accordance with the provisions of Section 1320 of the Health and Safety Code.
(24) To be free from psychotherapeutic drugs and physical restraints used for the purpose of patient discipline or staff convenience and to be free from psychotherapeutic drugs used as a chemical restraint as defined in Section 72018, except in an emergency which threatens to bring immediate injury to the patient or others. If a chemical restraint is administered during an emergency, such medication shall be only that which is required to treat the emergency condition and shall be provided in ways that are least restrictive of the personal liberty of the patient and used only for a specified and limited period of time.
(25) Other rights as specified in Health and Safety Code, Section 1599.1.
(26) Other rights as specified in Welfare and Institutions Code, Sections 5325 and 5325.1, for persons admitted for psychiatric evaluations or treatment.
(27) Other rights as specified in Welfare and Institutions Code Sections 4502, 4503 and 4505 for patients who are developmentally disabled as defined in Section 4512 of the Welfare and Institutions Code.
(b) A patient's rights, as set forth above,  may only be denied or limited if such denial or limitation is otherwise authorized by law. Reasons for denial or limitation of such rights shall be documented in the patient's health record.
(c) If a patient lacks the ability to understand these rights and the nature and consequences of proposed treatment, the patient's representative shall have the rights specified in this section to the extent the right may devolve to another, unless the representative's authority is otherwise limited. The patient's incapacity shall be determined by a court in accordance with state law or by the patient's physician unless the physician's determination is disputed by the patient or patient's representative.
(d) Persons who may act as the patient's representative include a conservator, as authorized by Parts 3 and 4 of Division 4 of the Probate Code (commencing with Section 1800), a person designated as attorney in fact in the patient's valid Durable Power of Attorney for Health Care, patient's next of kin, other appropriate surrogate decisionmaker designated consistent with statutory and case law, a person appointed by a court authorizing treatment pursuant to Part 7 (commencing with Section 3200) of Division 4 of the Probate Code, or, if the patient is a minor, a person lawfully authorized to represent the minor.
(e) Patients' rights policies and procedures established under this section concerning consent, informed consent and refusal of treatments or procedures shall include, but not be limited to the following:
(1) How the facility will verify that informed consent was obtained or a treatment or procedure was refused pertaining to the administration of psychotherapeutic drugs or physical restraints or the prolonged use of a device that may lead to the inability of the patient to regain the use of a normal bodily function.
(2) How the facility, in consultation with the patient's physician, will identify consistent with current statutory case law, who may serve as a patient's representative when an incapacitated patient has no conservator or attorney in fact under a valid Durable Power of Attorney for Health Care.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; Sections 1276, 1320, 1599, 1599.1, 1599.2, 1599.3, 131050, 131051 and 131052, Health and Safety Code; and Cobbs v. Grant (1972) 8 Cal.3d 229. 
HISTORY

1. Amendment of subsections (a) and (b), repealer of subsection (c), and new subsections (c), (d), and (e) filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
2. Change without regulatory effect amending adopting subsection (a)(8), renumbering subsections and amending newly designated subsection (a)(17), subsection (d) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§72528. Informed Consent Requirements.
Note     •     History

(a) It is the responsibility of the attending licensed healthcare practitioner acting within the scope of his or her professional licensure to determine what information a reasonable person in the patient's condition and circumstances would consider material to a decision to accept or refuse a proposed treatment or procedure. Information that is commonly appreciated need not be disclosed. The disclosure of the material information and obtaining informed consent shall be the responsibility of the licensed healthcare practitioner who, acting within the scope of his or her professional licensure, performs or orders the procedure or treatment for which informed consent is required.
(b) The information material to a decision concerning the administration of a psychotherapeutic drug or physical restraint, or the prolonged use of a device that may lead to the inability of the patient to regain use of a normal bodily function shall include at least the following:
(1) The reason for the treatment and the nature and seriousness of the patient's illness.
(2) The nature of the procedures to be used in the proposed treatment including their probable frequency and duration.
(3) The probable degree and duration (temporary or permanent) of improvement or remission, expected with or without such treatment.
(4) The nature, degree, duration and probability of the side effects and significant risks, commonly known by the health professions.
(5) The reasonable alternative treatments and risks, and why the health professional is recommending this particular treatment.
(6) That the patient has the right to accept or refuse the proposed treatment, and if he or she consents, has the right to revoke his or her consent for any reason at any time.
(c) Before initiating the administration of psychotherapeutic drugs, or physical restraints, or the prolonged use of a device that may lead to the inability to regain use of a normal bodily function, facility staff shall verify that the patient's health record contains documentation that the patient has given informed consent to the proposed treatment or procedure. The facility shall also ensure that all decisions concerning the withdrawal or withholding of life sustaining treatment are documented in the patient's health record.
(d) This section shall not be construed to require obtaining informed consent each time a treatment or procedure is administered unless material circumstances or risks change.
(e) There shall be no violation for initiating treatment without informed consent if there is documentation within the patient's health record that an emergency exists where there is an unanticipated condition in which immediate action is necessary for preservation of life or the prevention of serious bodily harm to the patient or others or to alleviate severe physical pain, and it is impracticable to obtain the required consent, and provided that the action taken is within the customary practice of licensed healthcare practitioners of good standing acting within the scope of their professional licensure in similar circumstances.
(f) Notwithstanding Sections 72527(a)(5) and 72528(b)(4), disclosure of the risks of a proposed treatment or procedure may be withheld if there is documentation of one of the following in the patient's health record:
(1) That the patient or patient's representative specifically requested that he or she not be informed of the risk of the recommended treatment or procedure. This request does not waive the requirement for providing the other material information concerning the treatment or procedure.
(2) That the licensed healthcare practitioner acting within the scope of his or her professional licensure relied upon objective facts, as documented in the health record, that would demonstrate to a reasonable person that the disclosure would have so seriously upset the patient that the patient would not have been able to rationally weigh the risks of refusing to undergo the recommended treatment and that, unless inappropriate, a patient's representative gave informed consent as set forth herein.
(g) A general consent provision in a contract for admission shall only encompass consent for routine nursing care or emergency care. Routine nursing care, as used in this section, means a treatment or procedure that does not require informed consent as specified in Section 72528(b)(1) through (6) or that is determined by the licensed healthcare practitioner acting within the scope of his or her professional licensure not to require the disclosure of information material to the individual patient. Routine nursing care includes, but is not limited to, care that does not require the order of a licensed healthcare practitioner acting within the scope of his or her professional licensure. This section does not preclude the use of informed consent forms for any specific treatment or procedure at the time of admission or at any other time. All consent provisions or forms shall indicate that the patient or incapacitated patient's representative may revoke his or her consent at any time.
(h) If a patient or his or her representative cannot communicate with the licensed healthcare practitioner acting within the scope of his or her professional licensure because of language or communication barriers, the facility shall arrange for an interpreter.
(1) An interpreter shall be someone who is fluent in both English and the language used by the patient and his or her legal representative, or who can communicate with a deaf person, if deafness is the communication barrier.
(2) When interpreters are used, documentation shall be placed in the patient's health record indicating the name of the person who acted as the interpreter and his or her relationship to the patient and to the facility.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 1599.72, 131050, 131051 and 131052, Health and Safety Code; and Cobbs v. Grant (1972) 8 Cal.3d 229.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
2. Amendment of subsections (a), (e) and (f)(2)-(h) and amendment of Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72529. Safeguards for Patients' Monies and Valuables.
Note

(a) Each facility to whom a patient's money or valuables have been entrusted shall comply with the following:
(1) No licensee shall mingle patients' monies or valuables with that of the licensee or the facility. Patients' monies and valuables shall be maintained separate, intact and free from any liability that the licensee incurs in the use of the licensee's or the facility's funds. The provisions of this section shall not be interpreted to preclude prosecution for the fraudulent appropriation of patients' monies or valuables as theft, as defined by Section 484 of the Penal Code.
(2) Each licensee shall maintain safeguards and accurate records of patients' monies and valuables entrusted to the licensee's care including the maintenance of a detailed inventory and at least a quarterly accounting of financial transactions made on the patient's behalf.
(A) Records of patients' monies which are maintained as a drawing account shall include a control account for all receipts and expenditures, supporting vouchers and receipts for all expenditures of monies and valuables entrusted to the licensee, an account for each patient and supporting vouchers filed in chronological order. Each account shall be kept current with columns for debits, credits and balance. All of these records shall be maintained at the facility for a minimum of three years from the date of transaction. At no time may the balance in a patient's drawing account be less than zero.
(B) Records of patients' monies and other valuables entrusted to the licensee for safekeeping shall include a copy of the receipt furnished to the patient or to the patient's authorized representative. Each item of patient property entrusted to the licensee shall be clearly identified as belonging to that patient.
(3) Patients' monies not kept in the facility shall be deposited in a demand trust account in a local bank authorized to do business in California, the deposits of which are insured by the Federal Deposit Insurance Corporation, or in a federally insured bank or savings and loan association under a plan approved by the Department. If a facility is operated by a county, such funds may be deposited with the county treasurer. If a facility is operated by the State, such funds may be deposited with the State Treasurer. All banking records related to these funds, including but not limited to deposit slips, checks, cancelled checks, statements and check registers, shall be maintained in the facility for a minimum of three years from the date of transaction. Identification as a patient trust fund account shall be clearly printed on each patient's trust account checks and bank statements.
(4) A separate list shall be maintained for all checks from patient funds which are, or have been outstanding for 45 days or more as reflected on the most recent bank statement. Bank statements shall be reconciled monthly with copies of the reconciliation maintained by the facility. Any checks on such accounts written off or uncashed shall result in an addition to the appropriate patient's account.
(5) Expenditures, for a particular patient, from the patient fund account as specified in (3) above may not exceed the drawing right that the patient has in the account. Expenditures from the patient fund account shall only be for the immediate benefit of that particular patient. No more than one month's advance payment for care may be received from a patient's account.
(6) A person, firm partnership, association or corporation which is licensed to operate more than one health facility shall maintain a separate demand trust account as specified in (3) above for each such facility. Records relating to these accounts shall be maintained at each facility as specified in (2) above. Patient funds from one facility shall not be mingled with funds from another facility.
(7) When the amount of patients' money entrusted to a licensee exceeds $500, all money in excess of $500 shall be deposited in a demand trust account as specified in (3) and (5) above unless the licensee provides a fireproof safe and the licensee desires the protection accorded by Section 1860 of the Civil Code.
(8) Upon discharge of a patient, all money and valuables of that patient which have been entrusted to the licensee and kept within the facility shall be surrendered to the patient or authorized representative in exchange for a signed receipt. Monies in a demand trust account or with the county treasurer shall be made available within three normal banking days. Upon discharge, the patient or authorized representative shall be given a detailed list of personal property and a current copy of the debits and credits of the patient's monies.
(9) Within 30 days following the death of a patient, except in a coroner or medical examiner case, all money and valuables of that patient which have been entrusted to the licensee shall be surrendered to the person responsible for the patient or to the executor or the administrator of the estate in exchange for a signed receipt. Whenever a patient without known heirs dies, written notice within five working days, shall be given by the facility to the public administrator of the county as specified by Section 1145 of the California Probate Code and a copy of said notice shall be available in the facility for review by the Department.
(10) Upon change of ownership of a facility, there shall be a written verification by a public accountant of all patients' monies which are being transferred to the custody of the new owner(s). A signed receipt for the amount of funds in the patients' trust account shall be given by the new owner to the previous owner.
(11) Upon closure of a facility a written verification by a public accountant of all patients' monies shall be available for review by the Department. Each patients' monies shall be transferred with the patient.
(b) If property is purchased for use of more than one patient, from patient trust funds, the facility shall secure a written agreement between all patients whose funds are used, or their authorized representatives. The agreement shall expressly acknowledge consent of all parties and shall provide for disposition of the property in the event of disagreements, discharge, transfer or death.
(c) No licensee, owner, administrator, employee or their immediate relative or representatives of the aforementioned may act as an authorized representative of patients' monies or valuables, unless the patient is a relative within the second degree of consanguinity.
(d) The facility shall make reasonable efforts to safeguard patients' property and valuables that are in possession of the patient.
(e) For purposes of this section, patients' funds maintained in a financial institution shall be deemed to be entrusted to a facility if the licensee, or any agent or employee thereof, is an authorized signatory to said account. Records maintained and provided by the financial institution in accordance with a plan which has obtained the written approval of the Department, may fulfill the obligation of the facility with regard to the maintenance of records for such funds.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72531. Liability for Rent and Return of Rental Advance.
Note

(a) This section shall apply to all rental agreements executed on or after January 1, 1982.
(b) Whenever accommodations in a skilled nursing facility are rented by or for a patient on a month to month basis, the renter or his heir, legatee or personal representative shall not be liable for any rent due under the rental agreement for accommodations beyond the date on which the patient died.
(c) Any advance of rent by the renter shall be returned to the heir, legatee or personal representative of the patient no later than two weeks after discharge or death of the patient.
(d) The rights described in (b) and (c) above shall not be modified or waived in the rental agreement.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1934.5, Civil Code; and Section 1276, Health and Safety Code.
§72533. Employee Personnel Records.
Note

(a) Each facility shall maintain current complete and accurate personnel records for all employees.
(1) The record shall include:
(A) Full name.
(B) Social Security number.
(C) Professional license or registration number, if applicable.
(D) Employment classification.
(E) Information as to past employment and qualifications.
(F) Date of beginning employment.
(G) Date of termination of employment.
(H) Documented evidence of orientation to the facility.
(I) Performance evaluations.
(2) Such records shall be retained for at least three years following termination of employment. Employee personnel records shall be maintained in a confidential manner, and shall be made available to authorized representatives of the Department upon request.
(b) Records of hours and dates worked by all employees during at least the most recent 12-month period shall be kept on file at the place of employment or at a central location within the State of California. Upon request such records shall be made available, at a time and location specified by the Department.
(c) A permanent log of the temporary health services personnel employed in the facility shall be kept for three years, and shall include the following:
(1) Employee's full name.
(2) Name of temporary health services personnel agency.
(3) Professional license and registration number and date of expiration.
(4) Verification of health status.
(5) Record of hours and dates worked.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72535. Employees' Health Examination and Health Records.
Note

(a) All employees working in the facility, including the licensee, shall have a health examination within 90 days prior to employment or within seven days after employment and at least annually thereafter by a person lawfully authorized to perform such a procedure. Each such examination shall include a medical history and physical evaluation. The report signed by the examiner shall indicate that the person is sufficiently free of disease to perform assigned duties and does not have any health condition that would create a hazard for himself, fellow employees, or patients or visitors.
(b) The initial health examination and subsequent annual examination shall include a purified protein derivative intermediate strength intradermal skin test for tuberculosis. A chest X-ray is indicated if the employee has previously had a positive reaction to a tuberculosis skin test or is currently being treated for tuberculosis. Positive reaction to the skin test shall be followed by a 35.56 cm x 43.18 cm (14” x 17”) chest X-ray. Evidence of tuberculosis screening within 90 days prior to employment shall be considered as meeting the intent of this Section.
(c) The facility shall maintain a health record of the administrator and for each employee which includes reports of all employment-related health examinations. Such records shall be kept for a minimum of three years following termination of employment.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72537. Reporting of Communicable Diseases.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72539. Reporting of Outbreaks.
Note

Any outbreak or undue prevalence of infectious or parasitic disease or infestation shall be reported to the local health officer in accordance with Section 2502, Article 1, Subchapter 4, Chapter 4, Title 17, California Administrative Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72541. Unusual Occurrences.
Note

Occurrences such as epidemic outbreaks, poisonings, fires, major accidents, death from unnatural causes or other catastrophes and unusual occurrences which threaten the welfare, safety or health of patients, personnel or visitors shall be reported by the facility within 24 hours either by telephone (and confirmed in writing) or by telegraph to the local health officer and the Department. An incident report shall be retained on file by the facility for one year. The facility shall furnish such other pertinent information related to such occurrences as the local health officer or the  Department may require. Every fire or explosion which occurs in or on the premises shall be reported within 24 hours to the local fire authority or in areas not having an organized fire service, to the State Fire Marshal.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72543. Patients' Health Records.
Note     •     History

(a) Records shall be permanent, either typewritten or legibly written in ink, be capable of being photocopied and shall be kept on all patients admitted or accepted for care. All health records of discharged patients shall be completed and filed within 30 days after discharge date and such records shall be kept for a minimum of 7 years, except for minors whose records shall be kept at least until 1 year after the minor has reached the age of 18 years, but in no case less than 7 years. All exposed X-ray film shall be retained for seven years. All required records, either originals or accurate reproductions thereof, shall be maintained in such form as to be legible and readily available upon the request of the attending licensed healthcare practitioner acting within the scope of his or her professional licensure, the facility staff or any authorized officer, agent, or employee of either, or any other person authorized by law to make such request.
(b) Information contained in the health records shall be confidential and shall be disclosed only to authorized persons in accordance with federal, state and local laws.
(c) If a facility ceases operation, the Department shall be informed within three business days by the licensee of the arrangements made for the safe preservation of the patients' health records.
(d) The Department shall be informed within three business days, in writing, whenever patient health records are defaced or destroyed before termination of the required retention period.
(e) If the ownership of the facility changes, both the licensee and the applicant for the new license shall, prior to the change of ownership, provide the Department with written documentation stating:
(1) That the new licensee shall have custody of the patients' health records and that these records or copies shall be available to the former licensee, the new licensee and other authorized persons; or
(2) That other arrangements have been made by the licensee for the safe preservation and the location of the patients' health records, and that they are available to both the new and former licensees and other authorized persons; or
(3) The reason for the unavailability of such records.
(f) Patients' health records shall be current and kept in detail consistent with good medical and professional practice based on the service provided to each patient. Such records shall be filed and maintained in accordance with these requirements and shall be available for review by the Department. All entries in the health record shall be authenticated with the date, name, and title of the persons making the entry.
(g) All current clinical information pertaining to a patient's stay shall be centralized in the patient's health record.
(h) Patient health records shall be filed in an accessible manner in the facility or in health record storage. Storage of records shall provide for prompt retrieval when needed for continuity of care. Health records can be stored off the facility premises only with the prior approval of the Department.
(i) The patient health record shall not be removed from the facility, except for storage after the patient is discharged, unless expressly and specifically authorized by the Department.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72545. Admission Records.
Note     •     History

(a) For each patient a facility shall complete an admission record which shall include the following:
(1) Name and Social Security number.
(2) Current address.
(3) Age and date of birth.
(4) Sex.
(5) Date of admission.
(6) Date of discharge.
(7) Name, address and telephone number of guardian, authorized representative, person or agency responsible for patient and next of kin.
(8) Name, address and telephone number of attending physician and the name, address and telephone number of the podiatrist, dentist or clinical psychologist if such practitioner is primarily responsible for the treatment of the patient.
(9) Name, address and telephone number of the designated alternate physician.
(10) Admission diagnoses, known allergies and final diagnoses.
(11) Medicare and Medi-Cal numbers when appropriate.
(12) An inventory including but not limited to:
(A) Items of jewelry.
(B) Items of furniture.
(C) Radios, television and other appliances.
(D) Prosthetic and orthopedic devices.
(E) Other valuable items, so identified by the patient, family or authorized representative.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Editorial correction filed 8-31-83; effective thirtieth day thereafter (Register 83, No. 36).
§72547. Content of Health Records.
Note     •     History

(a) A facility shall maintain for each patient a health record which shall include:
(1) Admission record.
(2) Current report of physical examination, and evidence of tuberculosis screening.
(3) Current diagnoses.
(4) The orders of a licensed health care practitioner acting within the scope of his or her professional licensure, including drugs, treatment and diet orders, progress notes, signed and dated on each visit. The orders of a licensed health care practitioner acting within the scope of his or her professional licensure shall be correctly recapitulated.
(5) Nurses' notes which shall be signed and dated. Nurses' notes shall include:
(A) Records made by nurse assistants, after proper instruction, which shall include:
1. Care and treatment of the patient.
2. Narrative notes of observation of how the patient looks, feels, eats, drinks, reacts, interacts and the degree of dependency and motivation toward improved health.
3. Notification to the licensed nurse of changes in the patient's condition.
(B) Meaningful and informative nurses' progress notes written by licensed nurses as often as the patient's condition warrants. However, weekly nurses' progress notes shall be written by licensed nurses on each patient and shall be specific to the patient's needs, the patient care plan and the patient's response to care and treatments.
(C) Name, dosage and time of administration of drugs, the route of administration or site of injection, if other than oral. If the scheduled time is indicated on the record, the initial of the person administering the dose shall be recorded, provided that the drug is given within one hour of the scheduled time. If the scheduled time is not recorded, the person administering the dose shall record both initials and the time of administration. Medication and treatment records shall contain the name and professional title of staff signing by initials.
(D) Justification for the results of the administration of all PRN medications and the withholding of scheduled medications.
(E) Record of type of restraint and time of application and removal. The time of application and removal shall not be required for postural supports used for the support and protection of the patient.
(F) Medications and treatments administered and recorded as prescribed.
(G) Documentation of oxygen administration.
(6) Temperature, pulse, respiration and blood pressure notations when indicated.
(7) Laboratory reports of all tests prescribed and completed.
(8) Reports of all X-rays prescribed and completed.
(9) Progress notes written and dated by the activity leader at least quarterly.
(10) Discharge planning notes when applicable.
(11) Observation and information pertinent to the patient's diet recorded in the patient's health record by the dietitian, nurse or food service supervisor.
(12) Records of each treatment given by the therapist, weekly progress notes and a record of reports to the licensed health care practitioner acting within the scope of his or her professional licensure after the first two weeks of therapy and at least every 30 days thereafter. Progress notes written by the social service worker if the patient is receiving social services.
(13) Consent forms for prescribed treatment and medication not included in the admission consent for care.
(14) Condition and diagnoses of the patient at time of discharge or final disposition.
(15) A copy of the transfer form when the patient is transferred to another health facility.
(16) An inventory of all patients' personal effects and valuables as defined in Section 72545 (a) (12) made upon admission and discharge. The inventory list shall be signed by a representative of the facility and the patient or his authorized representative with one copy to be retained by each.
(17) The name, complete address and telephone number where the patient was transferred upon discharge from the facility.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (a)(4) and (a)(12) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§72549. Patient Death Reports.
Note

(a) All patients' deaths shall be reported by the licensee when requested by the Department or its designee. The report shall be made accurately at a time and in such a manner as may be requested by the Department or its designee.
NOTE

Authority cited: Sections 208 (a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72551. External Disaster and Mass Casualty Program.
Note

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

Authority cited: Sections 208 (a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72553. Fire and Internal Disasters.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72555. Patient Identification.
Note

Each patient shall be provided with a wristband identification tag or other means of identification which shall be worn at all times unless the attending physician notes in the health record that the patient's condition would not permit such identification. Minimum information shall include the name of the patient and the name of the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72557. Equipment and Supplies.
Note

(a) Equipment and supplies in each facility shall be of the quality and in the quantity necessary for care of patients as ordered or indicated. At least the following items shall be provided and properly maintained at all times:
(1) Airways.
(2) Bedpans.
(3) Catheter equipment.
(4) Clerical supplies and equipment.
(5) Denture cups.
(6) Drug service trays and/or carts.
(7) Ear syringes.
(8) Emergency oxygen supply and equipment for administration.
(9) Emesis basins.
(10) Examination light.
(11) First aid supplies, as determined by the patient care policy committee.
(12) Flashlights.
(13) Gloves (sterile and unsterile).
(14) Ice caps.
(15) Intravenous therapy supplies if facility provides such services.
(16) Medicine droppers.
(17) Medicine glasses, cups or other small containers which are accurately calibrated.
(18) Mortar and pestle.
(19) Rectal speculum.
(20) Refrigerator with accurate thermometer.
(21) Rubber tubing.
(22) Scales for weighing all patients.
(23) Shower and commode chairs, wheelchairs and walkers.
(24) Soap for bathing.
(25) Soap dishes or soap containers.
(26) Sphygmomanometers.
(27) Sterile dressings.
(28) Stethoscopes.
(29) Suction apparatus.
(30) Suture tray.
(31) Suture removal equipment.
(32) Syringes and needles.
(33) Test supplies necessary to perform urine sugar and acetone testing.
(34) Thermometers, oral and rectal.
(35) Tongue depressors.
(36) Urinals.
(37) Vaginal speculum.
(38) Washbasins.
(39) Water pitchers and drinking vessels.
(b) The facility shall provide current authoritive, pertinent, basic books, periodicals and reference materials related to all services provided. At least the following shall be provided:
(1) Dictionaries, medical and standard.
(2) Directories of available community resources.
(3) Current publications relating to gerontological nursing.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 6. Physical Plant
§72601. Alterations to Existing Buildings or New Construction.
Note

(a) Alterations to existing buildings licensed as skilled nursing facilities or new construction shall be in conformance with Chapter 1, Division 17, Part 6, Title 24, California Administrative Code and requirements of the State Fire Marshal.
(b) Facilities licensed and in operation prior to the effective date of changes in construction regulations shall not be required to institute corrective alterations or construction to comply with such new requirements except where specifically required or where the Department determined in writing that a definite hazard to health and safety exists. Any facility for which preliminary or working drawings and specifications have been approved by the Department prior to the effective date of changes to construction regulations shall not be required to comply with such new requirements provided substantial actual construction is commenced within one year of the effective date of such new requirements.
(c) All facilities shall maintain in operating condition all buildings, fixtures and spaces in the numbers and types as specified in the construction requirements under which the facility or unit was first licensed.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72603. Space Conversion.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72605. Notice to Department.
Note

The Department shall be notified in writing, by the owner or licensee of the skilled nursing facility, within five days of the commencement of any construction, remodeling or alterations to such facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72607. Patient Capacity.
Note

(a) A facility shall not have more patients or beds set up for use than the number for which it is licensed except in case of emergency when temporary permission may be granted by the Director or designee.
(b) Patients shall not be housed in areas which have not been approved by the Department for patient housing and which have not been given a fire clearance by the State Fire Marshal except as provided in (a) above.
(c) The number of licensed beds shown on a license shall not exceed the number of beds for which the facility meets applicable construction and operational requirements.
(d) In the event that a vacant licensed bed is not available for training purposes, facilities with approved precertification training programs may request approval from the appropriate district office for the designation of a certain bed for clinical practice which would not be included as a bed licensed for the use of patients. The following criteria must be met in order to obtain approval:
(1) The bed is to be designated and utilized for training purposes only.
(2) The bed is to be located in nonpatient sleeping areas, e.g., class--room, examining room, etc. The location of the bed is to be indicated.
(3) The bed shall not be equipped with linen except during staff training hours.
(4) Under no circumstances is a patient to be assigned to the bed designated for training purposes.
(5) The approval of a bed for training purposes only shall be contingent upon the approval of the facility's precertification training program. If the facility discontinues its precertification training program, the approval for use of this bed for training purposes is automatically cancelled.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 437.10(a), Health and Safety Code.
§72609. Patient Rooms.
Note

(a) Each patient room shall be labeled with a number, letter or combination of the two for identification.
(b) Patients' rooms shall not be kept locked when occupied except in rooms approved by the Department for seclusion of psychiatric patients.
(c) Only upon the written approval of the Department may any exit door, corridor door, yard enclosures or perimeter fences be locked to egress.
(d) Patient rooms approved for use by ambulatory patients only shall be identified as follows: The words “Reserved for Ambulatory Patient” in letters at least 1.25 centimeters (one-half inch) high shall be posted on the outside of the door or on the wall alongside the door where they are visible to persons entering the room.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72611. Special Rooms.
Note

Special rooms shall be maintained to meet the requirements of Section T17-410 of Title 24.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72613. Patient's Property Storage and Room Furnishings.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72615. Provision for Privacy.
Note

Visual privacy for each patient shall be provided to meet the requirements of Section T17-070 of Title 24. Doors providing access to the corridor shall not be considered as meeting this requirement.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72617. Public Telephone.
Note

(a) A telephone shall be installed to meet the requirements of Section E702-32 of Title 24. This may not be required in separate buildings having six beds or less which are restricted to occupancy by ambulatory patients.
(b) The telephone at the nurses station shall not be considered as meeting the requirements of this section.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72619. Space and Equipment for Autoclaving, Sterilizing and Disinfecting.
Note

(a) A facility shall:
(1) Maintain disposable sterile supplies in the amount necessary to meet the anticipated needs of the patients, or
(2) Maintain autoclave equipment, or
(3) Make contractual arrangements for outside autoclaving and sterilizing services.
(b) If a facility maintains a central supply and sterilizing area, it shall include but not be limited to:
(1) An autoclave or sterilizer, which shall be maintained in operating condition at all times.
(A) Autoclaves shall be equipped with time recording thermometers in addition to the standard mercury thermometers, except for portable sterilizers and autoclaves.
(B) Instructions for operating autoclaves and sterilizers shall be posted in the area where the autoclaves and sterilizers are located.
(2) Work space.
(3) Storage space for sterile supplies.
(4) Storage space for unsterile supplies.
(5) Equipment for cleaning and sterilizing of utensils and supplies.
(c) The facility shall provide for:
(1) Effective separation of soiled and contaminated supplies and equipment from the clean and sterilized supplies and equipment.
(2) Clean cabinets for the storage of sterile supplies and equipment.
(3) An orderly system of rotation of supplies so that the supplies stored first shall be used first and that multi-use supplies shall be reautoclaved as they become outdated.
(4) Dating of materials sterilized.
(5) Loading of the autoclave or sterilizer.
(6) Checking of recording and indicating thermometers. Recording thermometer charts shall be on file for one year.
(7) Conducting monthly bacteriological tests. Reports of test results for the last 12 months shall be retained on file.
(8) Length of aeration time for materials that are gas-sterilized.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72621. Housekeeping.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1599.1, Health and Safety Code.
§72623. Laundry.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72625. Clean Linen.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72627. Soiled Linen.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72629. Provisions for Emptying Bedpans.
Note

Bedpans shall be emptied and cleaned in utility rooms unless toilets adjoining patients' rooms are equipped with flushing attachments and vacuum breakers. Bathtubs, lavatories or laundry sinks shall not be used for cleaning and emptying bedpans.
NOTE

Authority cited: Sections 208(a) and 1276, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72631. Signal Systems.
Note

(a) A nurses' signal system shall be maintained in operating order as required by Section E702-30 of Title 24.
(b) Detachable extension cords shall be readily accessible to patients at all times.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72633. Utility Rooms.
Note

Utility rooms shall be maintained as required by Section T17-408 of Title 24.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72635. Handrails.
Note

Corridors shall be equipped with firmly secured handrails as required by Section T17-058(e), Title 24.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72637. General Maintenance.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72639. Air Filters.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72641. Emergency Lighting and Power System.
Note     •     History

(a) Auxiliary lighting and power facilities shall be provided as required by Sections E702-5, E702-6, E702-8 and E702-21 of Title 24, California Administrative Code. Flashlights shall be in readiness for use at all times. Open-flame type of light shall not be used.
(b) The licensee shall provide and maintain an emergency electrical system in safe operating condition and in compliance with subsections (d), (e), and (f). The system shall serve all lighting, signals, alarms and equipment required to permit continued operation of all necessary functions of the facility for a minimum of six hours.
(c) If the Department determines that an evaluation of the emergency electrical system of a facility or portion thereof, is necessary, the Department may require the licensee to submit a report by a registered electrical engineer which shall establish a basis for alteration of the system to provide reasonable compliance with Subarticle E702-B, Part 3, Title 24, California Administrative Code (Emergency Electrical Systems for Existing Nursing Homes). Essential engineering data, including load calculations, assumptions and tests, and where necessary, plans and specifications, acceptable to the Department, shall be submitted in substantiation of the report. When corrective action is determined to be necessary, the work shall be initiated and completed within an acceptable time limit.
(d) The emergency lighting and power system shall be maintained in operating condition to provide automatic restoration of power for emergency circuits within ten seconds after normal power failure.
(e) Emergency generators shall be tested as follows:
(1) Non-diesel generators shall be tested at least every 14 days under full load condition for a minimum of 30 minutes.
(2) Diesel backup generators in skilled nursing facilities shall be tested as required by Health and Safety Code, section 41514.1.
(f) A written record of inspection, performance, exercising period and repair of the emergency electrical system shall be regularly maintained on the premises and available for inspection by the Department.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adding new subsection (e), redesignating and amending former subsection (e) as new subsection (e)(1), adding new subsection (e)(2) and amending Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§72643. Storage and Disposal of Solid Wastes.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72645. Solid Waste Containers.
Note     •     History

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

Authority cited: Sections 208(a), 1254 and 1276, Health and Safety Code. Reference: Sections 1250, 1276 and 25157.3, Health and Safety Code.
HISTORY

1. Repealer of subsection (e) filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer of subsection (e) filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 42).
§72647. Infectious Waste.
Note     •     History

Infectious waste, as defined in Health and Safety Code Section 25117.5, shall be handled and disposed of in accordance with the Hazardous Waste Control Law, Chapter 6.5, Division 20, Health and Safety Code (beginning with Section 25100) and the regulations adopted thereunder (beginning with Section 66100 of this Title).
NOTE

Authority cited: Sections 208, 1254, 25150 and 25157.3, Health and Safety Code. Reference: Sections 1250, 25117 and 25117.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer and new section filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 42).
§72649. Gases for Medical Use.
Note

(a) Gases for medical use covered by this section are: carbon dioxide, cyclopropane, ethylene, helium, nitrous oxide, oxygen, helium-oxygen mixtures and carbon dioxide-oxygen mixtures.
(b) Provision shall be made for safe handling and storage of medical gas cylinders.
(c) Transfer of gas by facility personnel from one cylinder to another shall not be permitted.
(d) The piped oxygen or nitrous oxide system(s) shall be tested in accordance with the National Fire Protection Association Bulletin, NFPA No. 56F, Nonflammable Medical Gas Systems, 1973, by the National Fire Protection Association, 470 Atlantic Avenue, Boston, MA 02210, and a written report shall be maintained in each of the following instances:
(1) Upon completion of initial installation.
(2) Whenever changes are made to a system.
(3) Whenever the integrity of a system has been breached.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72651. Water Supply and Plumbing.
Note

(a) Where water for human consumption is from an independent source, it shall be subjected to bacteriological analysis by the local health department or a licensed commercial laboratory at least every three months. A copy of the most recent laboratory report shall be available for inspection.
(b) Plumbing and drainage facilities shall be maintained in compliance with Part 5, Title 24, California Administrative Code, Basic Plumbing Requirements. Drinking water supplies shall comply with Group 4, Subchapter 1, Chapter 5, Division T17, Part 6, of Title 24, California Administrative Code.
(c) Vacuum breakers shall be maintained in operating condition where required by Section T17-210(c), Division T17, Part 6, Title 24, California Administrative Code.
(d) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures used by patients to attain a hot water temperature in compliance with Section T17-210(e), Title 24, California Administrative Code.
(e) Minimum hot water temperature shall be maintained at the final rinse section of dishwashing facilities as required by Section T17-210(f), Division T17, Part 6, Title 24, California Administrative Code unless alternate methods are approved by the Department.
(f) Taps delivering water at or above the stated temperatures shall be in compliance with requirements specified in Section T17-214(e), Division T17, Part 6, Title 24, California Administrative Code. Special precautions shall be taken to prevent the scalding of patients.
(g) Grab bars, readily accessible to patients, shall be maintained at each toilet, bathtub and shower used by patients.
(h) Toilet, handwashing and bathing facilities shall be maintained in operating condition and in the number and types specified in construction requirements in effect at the time the building or unit was constructed. Those handwashing facilities listed in Section T17-208, Division T17, Part 6, of Title 24, California Administrative Code, shall not be equipped with aerators.
(i) If the facility accepts physically handicapped patients, the water closets, bathing and toileting appliances shall be equipped for use by the physically handicapped.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72653. Lighting.
Note

(a) All rooms, attics, basements, passageways, and other spaces shall be provided with artificial illumination. As set forth in Parts 2 and 3 and Sections E702-e and E702-4, Part 3, Title 24, California Administrative Code.
(b) All patient rooms shall have a minimum of 30 foot candles of light delivered to reading or working surfaces and not less than 20 foot candles of light in the rest of the room.
(c) All accessible areas of corridors, storerooms, stairways, ramps, exits and entrances shall have a minimum of 20 foot candles of light.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72655. Maintenance Manual.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72657. Mechanical Systems.
Note

Heating, air conditioning and ventilating systems shall be maintained in normal operating conditions to provide a comfortable temperature and shall meet the requirements of Section T17-105, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72659. Screens.
Note

Screens shall be provided as required by Section T17-066, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72661. Storage.
Note

Combined general and specialized storage space shall be maintained in accordance with Section T17-440, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72663. Space.
Note

All spaces located in the facility or internally connected to a licensed facility shall be considered a part of the facility and shall be subject to licensing regulations.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276 of the Health and Safety Code.
§72665. Centralized Services Shared by Several Facilities.
Note

Services shared by several facilities shall meet the requirements of Section T17-101(3), Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 7. Violations and Civil Penalties
§72701. Definitions.
Note

(a) The following definitions shall apply to this Article:
(1) Substantial probability means that the likelihood of an event is real, actual and not imaginary, insignificant or remote.
(2) Serious physical harm means that type of dangerous bodily injury, illness or condition in which:
(A) A part of the body would be permanently removed, rendered functionally useless or substantially reduced in capacity, either temporarily or permanently and/or
(B) A part of an internal function of the body would be inhibited in its normal performance to such a degree as to temporarily or permanently cause a reduction in physical or mental capacity or shorten life.
(3) Direct relationship means one in which a significant risk or effect is created and does not include a remote or minimal risk or effect.
(4) A class “C” violation is any violation of a statute or regulation relating to the operation or maintenance of a skilled nursing facility which the Department determines has only a minimal relationship to the health, safety or security of the skilled nursing facility patients.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1424 and 1427, Health and Safety Code.
§72703. Class “A” Violations--Examples. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1424 and 1426, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 5-30-96; operative 6-29-96 (Register 96, No. 22).
§72705. Class “B” Violations--Examples. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1424 and 1426, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 5-30-96; operative 6-29-96 (Register 96, No. 22).
§72707. Filing of Names and Addresses.
Note

(a) The licensee of each skilled nursing facility shall file with the Department the address of the licensee to whom all citations and notices concerning any class “A” or class “B” violations shall be mailed by the Department.
(b) Each such licensee shall also designate one or more persons who is authorized to accept on the licensee's behalf any citations to be served by any representative of the Department.
(c) Each such licensee shall file with the Department the names or titles of those persons who are such designees of the licensee.
(d) Each such licensee shall also file with the Department a written notice of any change in address or of any change of designee. The Department shall mail all citations or notices to the latest address on file with the Department.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§72709. Issuance of Citations.
Note

(a) Each citation shall be in writing and shall include at least the following in addition to that required in Section 1423(a), Health and Safety Code:
(1) The earliest feasible time for the elimination of the condition constituting the violation. Such time shall be the shortest possible time within which the licensee reasonably can be expected to correct the alleged violation. In prescribing such time, the Department shall consider the following factors:
(A) The seriousness of the alleged violation.
(B) The number of patients affected.
(C) The availability of required equipment or personnel.
(D) The estimated time required for delivery, and any installation of required equipment.
(E) Any other relevant circumstances.
(2) The name, address and telephone number of the district administrator of the district in which the facility is located.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1423(a), Health and Safety Code.
§72711. Penalties.
Note

(a) In fixing the amount of the civil penalty to be imposed for a class “A” violation, the district administrator or his designee, shall consider:
(1) The gravity of the violation which shall include:
(A) The degree of substantial probability that death or serious physical harm to the patient would result and if applicable, did result, from the violation.
(B) The severity of serious physical harm to a patient or guest which was likely to result and if applicable, that did result, from the violation.
(C) The extent to which the provisions of the applicable statutes or regulations were violated.
(2) The “Good Faith” exercised by the licensee. Indications of good faith include awareness of the applicable statutes and regulations and reasonable diligence in complying with such requirements, prior accomplishments manifesting the licensee's desire to comply with such requirements, and any other mitigating factors in favor of the licensee.
(3) Any previous violations committed by the licensee.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1424, 1425, 1426 and 1427, Health and Safety Code.
§72713. Citation Review Conference.
Note

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1428, Health and Safety Code.
Chapter 3.5. Receivership Management of Long-Term Care Facilities
§72801. Minimum Qualifications for a Receiver.
Note     •     History

(a) In order to be on the Department list of potential receivers an individual or entity shall be a:
(1) Nursing Home Administrator licensed by the California Board of Examiners of Nursing Home Administrators, or
(2) responsible person, which shall mean a retired nursing home administrator, other person with experience in management of a health facility, public health administrator, or corporate officer or,
(3) responsible entity, which shall mean a public agency, a corporation, or a partnership that provides health facility management consultation and has been or is currently a California health facility licensee.
(b) If the potential receiver is an individual with professional licensure, he or she shall be in good standing with the applicable professional licensing board at the time of appointment.
(c) If the potential receiver is an entity, the entity shall be currently licensed to operate a health facility, or must be able to meet current standards for health facility licensing at the time of appointment.
(d) The potential receiver shall have experience in the delivery of health care services which means:
(1) If an individual, at least 12 consecutive months experience as an administrator or assistant administrator of a health facility licensed by the State of California.
(2) If an entity, shall have operated a California licensed health facility for a minimum of 12 consecutive months.
NOTE

Authority cited: Sections 208(a), 1275 and 1335, Health and Safety Code. Reference: Section 1327(b), Health and Safety Code.
HISTORY

1. New section filed 10-15-91; operative 11-14-91 (Register 92, No. 3).
§72803. Receivership Investigation.
Note     •     History

(a) Any person having knowledge of circumstances which may warrant the petitioning of the court for appointment of a receiver according to the provisions of Health and Safety Code Sections 1325-1335 may notify the Director of the Department of Health Services and request that the Department initiate a receivership investigation.
(b) A request for a receivership investigation shall be made in writing and shall include the following:
(1) The name and address of the facility for which the investigation is being requested.
(2) The basis for the request as specified in Health and Safety Code Section 1327(a).
(3) All facts upon which the request is based.
(4) The name, address and phone number of the person or persons making the request for investigation.
(c) Within 45 days of receipt of a request for receivership investigation, the Department shall notify the person or persons making the request whether the Department intends to petition the court for the appointment of a receiver for the long-term care health facility which was the subject of the requested investigation.
NOTE

Authority cited: Sections 208(a), 1275 and 1335, Health and Safety Code. Reference: Sections 1327(a) and 1327.1, Health and Safety Code.
HISTORY

1. New section filed 10-15-91; operative 11-14-91 (Register 92, No. 3).
§72805. Duties of a Receiver.
Note     •     History

(a) A receiver shall comply with the provisions of Health and Safety Code Section 1336 in the transfer of any patient from the facility while acting in the capacity of receiver.
(b) A receiver shall not interfere with the health facility licensee's attempt to secure a change in ownership or to secure a new licensee to operate the facility.
(c) If the receiver needs the assistance of staff other than those needed for the operation of the facility, he or she shall notify the Department in writing and request the court to authorize any expenditures.
(d) The receiver shall comply with all licensing requirements applicable to the type of long-term health care facility for which he or she is a receiver.
(e) No later than 45 days after appointment as the receiver for a facility, the receiver shall make a written report to the court and to the Department which includes the following information:
(1) A description of the physical condition of the long-term health facility plant including:
(A) Any deficiencies in the facility plant which affect facility operation.
(B) A recommendation whether the physical condition of the facility will allow for its continued operation as a long-term health care facility.
(2) The receiver's assessment of the probability that the long-term health care facility will meet State standards for operation by the end of 4 months under receivership or by an alternate date specified by the Department.
(3) The number of patients remaining in the facility and the number of patients transferred during the receivership.
NOTE

Authority cited: Sections 208(a), 1275 and 1335, Health and Safety Code. Reference: Sections 1329, 1331(c) and 1336, Health and Safety Code.
HISTORY

1. New section filed 10-15-91; operative 11-14-91 (Register 92, No. 3).
Chapter 4. Intermediate Care Facilities
Article 1. Definitions
§73001. Activity Leader.

“Activity leader” means a person qualified by training and/or experience to develop and implement an activity program.
§73003. Administrator.

“Administrator” means a person licensed as a nursing home administrator by the California Board of Examiners of Nursing Home Administrators.
§73005. Alteration.

“Alteration” means any work other than maintenance in an existing building and which does not increase the floor or roof area or the volume of enclosed space.
§73007. Art Therapist.

“Art therapist” means a person who has a masters degree in art therapy or in art with emphasis in art therapy, including an approved clinical internship from an accredited college or university; or a person who is registered or eligible for registration with the American Art Therapy Association.
§73009. Audiologist.

“Audiologist” means a person licensed as an audiologist by the California Board of Medical Examiners.
§73011. Autoclaving.

“Autoclaving” means the process of sterilization by steam under pressure.
§73012. Certificate of Exemption.
Note     •     History

Certificate of Exemption means a document containing Department approval for the exemption of a specified project from Certificate of Need review.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§73012.1. Certificate of Need.
Note     •     History

Certificate of Need means a document containing Department approval for a specified project.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§73012.2. Chemical Restraint.
Note     •     History

Chemical restraint means a drug used to control behavior and used in a manner not required to treat the patient's medical symptoms.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§73013. Cleaning.

“Cleaning” means the process employed to free a surface from dirt or other extraneous material.
§73014. Consent.
Note     •     History

Consent means the voluntary agreement by a patient or a representative of an incapacitated patient to receive an identified treatment or procedure.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§73015. Conservator.

“Conservator” means a person appointed by a court to take care of the person, the property, or both of the conservatee under Section 5350 et seq., of the Welfare and Institutions Code or under Section 1701 et seq., of the Probate Code.
§73017. Consultant.

“Consultant” means a qualified person who gives professional advice or service, with or without remuneration.
§73019. Dance Therapist.

“Dance therapist” means a person who is registered or eligible for registration as a dance therapist registered by the American Dance Therapy Association.
§73021. Defined.

As used in these regulations, the word defined means defined in writing.
§73023. Dentist.

“Dentist” means a person licensed as a dentist by the California Board of Dental Examiners.
§73025. Department.
Note     •     History

“Department” means the State Department of Health Services.
NOTE

Authority cited: Sections 208, 1255, 1266, 1275, 1402 and 1426, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1222, 1229, 1250, 1251, 1251.5, 1252, 1253-1257, 1265, 1265.5, 1265.7, 1265.8, 1266-1270, 1275-1280, 1282, 1294-1298, 1300, 1315-1318, 1400-1405, 1410-1412, 1417.1, 1418-1432, 1437, 1439, 1729, 1734, 38254 and 38255, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Specific reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§73027. Developmentally Disabled.

“Developmentally disabled” means a person with a disability attributable to mental retardation, cerebral palsy, epilepsy or other neurologically handicapping condition found to be closely related to mental retardation or to require treatment similar to that required for mentally retarded children. Such disability originates before an individual attains age 18, continues, or can be expected to continue, indefinitely and constitutes a substantial handicap for such individual.
§73029. Developmental Specialist.

“Developmental specialist” means a psychiatric technician who is trained to maximize the capabilities of the developmentally disabled in the areas of sensory-motor and cognitive development, adaptive behavior and problem-solving. The program consists of a full year's training based at a state hospital for the developmentally disabled.
§73031. Dietitian.

“Dietitian” means a person who is registered or eligible for registration as a registered dietitian by the American Dietetic Association.
§73033. Director.
Note     •     History

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

Authority cited: Sections 208, 1255, 1266, 1275, 1402, 1426, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1222, 1229, 1250, 1251, 1251.5, 1252, 1253-1257, 1265, 1265.5, 1265.7, 1265.8, 1266-1270, 1275-1280, 1282, 1294-1298, 1300, 1315-1318, 1400-1405, 1410-1412, 1417.1, 1418-1432, 1437, 1439, 1729, 1734, 38254 and 38255, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Specific reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
4. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§73035. Disinfection.

“Disinfection” means the process employed to destroy harmful microorganisms, but ordinarily not viruses and bacterial spores.
§73037. Distinct Part.

“Distinct part” means an identifiable unit accommodating beds and related facilities including but not limited to contiguous rooms, a wing, floor or building that is approved by the Department for a specific purpose.
§73039. Drug Administration.

“Drug administration” means the act in which a single dose of a prescribed drug or biological is given to a patient by an authorized person in accordance with all laws and regulations governing such acts. The complete act of administration entails removing an individual dose from a previously dispensed properly labeled container (including a unit dose container), verifying the dose with the prescriber's orders, giving the individual dose to the proper patient and promptly recording the time and dose given.
§73041. Drug Dispensing.

“Drug dispensing” means the act entailing the interpretation of an order for a drug or biological and, pursuant to that order, the proper selection, measuring, packaging, labeling, and issuance of the drug or biological for a patient or for a service unit of the facility.
§73043. Existing Facility.

“Existing facility” means a facility currently licensed as an intermediate care facility.
§73045. Guardian.

“Guardian” means a person appointed by the court to take care of the person or property, or both of a ward under Section 1400 et seq., of the Probate Code.
§73047. Health Facility.

“Health facility” means any facility, place or building which is organized, maintained and operated for the diagnosis, care and treatment of human illness, physical or mental, including convalescence and rehabilitation and including care during and after pregnancy, or for any one or more of these purposes, for one or more persons, to which such persons are admitted for a 24-hour stay or longer.
§73049. Infirmary. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1250.1(d), Health and Safety Code. Reference: Section 1250(d), Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to section 100(b)(3), Title 1, California Code of Regulations, repealing section 73049, filed 4-2-90 (Register 90, No. 17). 
§73049.1. Informed Consent.
Note     •     History

Informed consent means the voluntary agreement of a patient or a representative of an incapacitated patient to accept a treatment or procedure after receiving information in accordance with Sections 73523(a)(5) and 73524.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code; and Cobbs v. Grant (1972) 8 Cal.3d 229.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§73050. Intermediate Care Bed Classification.
Note     •     History

“Intermediate care bed classification” means beds designated for patients requiring skilled nursing and supportive care on less than a continuous basis.
NOTE

Authority cited: Sections 208 and 1250.1, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Certificate of Compliance filed 1-31-77 (Register 77, No. 6).
§73051. Intermediate Care Facility.

“Intermediate Care Facility” means a health facility, or a distinct part of a hospital or skilled nursing facility, which provides the following basic services: Inpatient care to patients who have need for skilled nursing supervision and need supportive care, but who do not require continuous nursing care.
§73053. License.

“License” means the basic document issued by the Department permitting the operation of an intermediate care facility. This document constitutes the authority to receive patients and to perform the services included within the scope of these regulations and as specified on the intermediate care facility license.
§73054. License Category.
Note     •     History

(a) License category means any of the following categories:
(1) General acute care hospital.
(2) Acute psychiatric hospital.
(3) Skilled nursing facility.
(4) Intermediate care facility.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§73055. Licensee.

“Licensee” means the person, persons, firm, partnership, corporation, association, political subdivision of the state, or other governmental agency to whom a license has been issued.
§73057. Licensed Psychiatric Technician.

“Licensed psychiatric technician” means a person licensed as a licensed psychiatric technician by the California Board of Vocational Nurse and Psychiatric Technician Examiners.
§73059. Licensed Vocational Nurse.

“Licensed vocational nurse” means a person licensed as a licensed vocational nurse by the California Board of Vocational Nurse and Psychiatric Technician Examiners.
§73061. Long-Term Health Care Facility.

“Long-term health care facility” means any facility licensed pursuant to Chapter 2 (commencing with Section 1250) which (1) maintains and operates 24-hour skilled nursing services for the care and treatment of chronically ill or convalescent patients, including mental, emotional or behavioral problems, mental retardation or alcoholism; or (2) provides supportive, restorative and preventive health services in conjunction with a socially oriented program to its residents and which maintains and operates 24-hour services including board, room, personal care and intermittent nursing care.
§73063. Maintenance.

“Maintenance” means the upkeep of a building and equipment to preserve the original functional and operational state.
§73064. Modernization. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§73065. Music Therapist.

“Music therapist” means a person who is registered or eligible for registration as a registered music therapist by the National Association for Music Therapy.
§73067. New Construction.

“New construction” means any of the following:
(a) New facilities.
(b) Additions to existing buildings.
(c) Conversions of existing building or portions thereof not currently licensed as a health facility.
§73069. New Facility.

“New facility” means a newly constructed intermediate care facility or one that has not been previously licensed as an intermediate care facility or one that has not operated as an intermediate care facility for one year or more.
§73071. Nursing Unit.

“Nursing unit” means a designated patient care area of the facility which is planned, organized, operated and maintained to function as a unit. It includes patient rooms with adequate support facilities, services and personnel providing nursing care and necessary management of patients.
§73073. Occupational Therapist.

“Occupational therapist” means a person who is a graduate of an occupational therapy curriculum accredited jointly by the Council on Medical Education of the American Medical Association and the American Occupational Therapy Association; or is eligible for registration by the American Occupational Therapy Association; or has two years of appropriate experience as an occupational therapist and has achieved a satisfactory grade on a proficiency examination approved by the Secretary of the federal Department of Health, Education and Welfare.
§73075. Occupational Therapy Assistant.

“Occupational therapy assistant” means a person who is certified or eligible for certification by the American Occupational Therapy Association, as a certified occupational therapy assistant.
§73077. Patient.
Note     •     History

(a) “Patient” means a person accommodated in an intermediate care facility who because of a physical or mental condition, or both, requires supervision and nursing care, but does not in the opinion of the attending licensed healthcare practitioner acting within the scope of his or her professional licensure have an illness, injury or disability for which continuous skilled nursing care is required.
(b) Ambulatory Patient. “Ambulatory Patient” means a patient who is capable of demonstrating the mental competence and physical ability to leave a building without assistance or supervision of any person under emergency conditions.
(c) Nonambulatory Patient. “Nonambulatory patient” means a patient who is unable to leave a building unassisted under emergency conditions. It includes, but is not limited to, those persons who depend upon mechanical aids such as crutches, walkers, or wheelchairs, profoundly or severely mentally retarded persons and shall include totally deaf persons.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73078. Permanently Converted.
Note     •     History

Permanently converted means space which is not available for patient accommodation because the facility has converted the patient accommodation space to some other use and such space could not be reconverted to patient accommodation within 24 hours.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§73079. Pharmacist.

“Pharmacist” means a person licensed as a registered pharmacist by the California Board of Pharmacy.
§73080. Physical Restraint.
Note     •     History

For purposes of informed consent, physical restraint means any physical or mechanical device or material, attached or adjacent to a patient's body, that the patient cannot remove easily, which has the effect of restricting the patient's freedom of movement. Physical restraint does not include the use of the least restrictive immobilization reasonably necessary to administer necessary treatment of a therapeutic, non-continuous nature, such as a single injection of antibiotics, and where the immobilization is removed upon the administration of such treatment. This exception shall not include immobilizations for continuously administered treatments such as intravenous therapy.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§73081. Physical Therapist.

“Physical therapist” means a person licensed as a registered physical therapist by the California Board of Medical Examiners.
§73083. Physical Therapist Assistant.

“Physical therapist assistant” means a person who is approved as a physical therapist assistant by the Physical Therapy Examining Committee of the California Board of Medical Examiners.
§73085. Physician.

(a) “Physician” means a person licensed as a physician and surgeon by the California Board of Medical Examiners or by the California Board of Osteopathic Examiners.
(b) Attending Physician. “Attending physician” means the physician responsible for the medical treatment of the patient in the facility.
(c) Advisory Physician. “Advisory physician” means the physician who assumes responsibility for the medical guidance of the licensed facility.
(d) Psychiatrist. “Psychiatrist” means a physician who has specialized training and/or experience in psychiatry.
§73087. Podiatrist.

“Podiatrist” means a person licensed as a podiatrist by the California Board of Medical Examiners.
§73089. Psychologist.
Note     •     History

“Psychologist” means a person licensed as a psychologist by the California Board of Psychology and who meets the requirements set forth in California Health and Safety Code Section 1316.5(d).
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of section and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73090. Psychotherapeutic Drug.
Note     •     History

Psychotherapeutic drug means a medication to control behavior or to treat thought disorder processes.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
§73091. Recreation Therapist.

“Recreation therapist” means a person who is certified or eligible for certification as a registered recreator with specialization in therapeutic recreation by the California Board of Park and Recreation Personnel or the National Therapeutic Recreation Society.
§73092. Registered Domestic Partner.
Note     •     History

Registered domestic partner shall have the same meaning as defined in Family Code Sections 297 and 297.5.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting section filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§73093. Registered Nurse.

“Registered nurse” means a person licensed as a registered nurse by the California Board of Registered Nursing.
§73095. Restraint.

“Restraint” means controlling a patient's physical activity in order to protect the patient or others from injury.
§73097. Skilled Nursing Facility.

“Skilled nursing facility” means a health facility which provides the following basic services: skilled nursing care and supportive care to patients whose primary need is for availability of skilled nursing care on an extended basis. It provides 24-hour inpatient care and, as a minimum, includes medical, nursing, dietary, pharmaceutical services and an activity program. The facility shall have effective arrangements, confirmed in writing, through which services required by the patients, but not regularly provided within the facility, can be obtained promptly when needed.
§73099. Social Work Aide.

“Social work aide” means a staff person with orientation, on-the-job training and supervision from a social worker or a social work assistant.
§73101. Social Work Assistant.

“Social work assistant” means a person with a baccalaureate degree in the social sciences or related fields and who receives supervision, consultation and in-service training from a social worker.
§73103. Social Worker.

“Social worker” means a person who is a graduate of a school of social work accredited or approved by the Council on Social Work Education and has one year of social work experience in a health care setting or is licensed as a clinical social worker by the Board of Behavioral Science Examiners.
§73105. Special Disability Professional.

“Special disability professional” means a physician, a psychiatrist, a clinical psychologist, a social worker, a special education teacher, or a person with an academic degree in learning disabilities, who has at least one year experience or training in the care of the mentally disordered, developmentally disabled or substance abusers.
§73107. Special Disability Worker.

“Special disability worker” means a person, who through experience, vocational training, formal education or licensure has developed expertise in special disability work. They may function under different job titles such as but not limited to: social worker, psychiatric technician, recreation therapist, occupational therapy aide, program therapist or an activity therapist.
§73109. Speech Pathologist.

“Speech pathologist” means a person licensed as a speech pathologist by the California Board of Medical Examiners.
§73111. Sterilization.

“Sterilization” means the process employed to destroy all living organisms.
§73113. Supervision.

(a) “Supervision” means to instruct an employee or subordinate in his duties and to oversee or direct his work, but does not necessarily require the immediate presence of the supervisor.
(b) Direct Supervision. “Direct supervision” means that the supervisor shall be present in the same building as the person being supervised and available for consultation and/or assistance.
(c) Immediate Supervision. “Immediate supervision” means that the supervisor shall be physically present while a task is being performed.
§73115. Unit Dose Medication System.

“Unit dose medication system” means a system in which single dosage units of drugs are prepackaged and prelabeled in accordance with all applicable laws and regulations governing these practices and are made available separated by patient and by dosage time. The system shall also comprise, but not be limited to, all equipment and appropriate records deemed necessary and used in making the dose available to the patient in an accurate and safe manner. A pharmacist shall be in charge and responsible for the system.
Article 2. License
§73201. License Required.

(a) No person, firm, partnership, association, corporation, political subdivision of the State or other governmental agency within the State, shall operate, establish, manage, conduct or maintain an intermediate care facility in this State or claim to operate an intermediate care facility, without first obtaining a license from the Department.
(b) The provisions of this article do not apply to the following institutions:
(1) Any facility conducted by and for the adherents of any well-recognized church or religious denomination for the purpose of providing facilities for the care or treatment of the sick who depend upon prayer or spiritual means for healing in the practice of the religion of such church or denomination.
(2) Hotels or other similar places that furnish only board and room, or either, to their guests.
(3) Any house or institutions supplying board and room only, or room only, or board only; provided, that no resident thereof requires any element of medical care as determined by the Department.
§73203. Application Required.
Note     •     History

(a) A verified application shall be submitted to the Department whenever any of the following circumstances occur:
(1) Construction of a new or replacement facility.
(2) Increase or decrease of licensed bed capacity.
(3) Addition of or deletion of any optional service units listed in Section 73445 (b).
(4) Change of ownership.
(5) Change of name of facility category.
(6) Change of license category.
(7) Change of location of facility.
(8) Change of bed classification.
(9) If a person wishes to acquire a beneficial interest of 10 percent or more in any corporation or partnership licensed to operate an intermediate care facility, or to become an officer or director of, or general partner in, such a corporation or partnership, such a person shall obtain prior written approval of the Department. Each application for approval shall include the information specified in Section 73205 (a) (8) as regards the person for whom the application is made.
(A) The provisions of this subsection shall not apply to any institution or person exempted by Section 1267.5 (f) or 1267.5(h) of the Health and Safety Code.
(B) If the Department fails to approve or disapprove such an application for approval within 30 days after receipt thereof, the application shall be deemed approved.
NOTE

Authority cited: Sections 208 and 1275, Health and Safety Code. Reference: Section 1267.5, Health and Safety Code.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. New subsection (a) (9) filed 12-20-78; effective thirtieth day thereafter (Register 78, No. 51).
§73205. Content of Application.
Note     •     History

(a) Any person, firm, partnership, association, corporation, political subdivision of the State or other governmental agency, desiring to obtain a license shall file with the Department an application on forms furnished by the Department. The application shall contain the following:
(1) Name of applicant and, if an individual, verification that the applicant has attained the age of 18 years.
(2) Type of facility to be operated and types of services for which approval is requested.
(3) The location of the intermediate care facility.
(4) Name and license number of the administrator in charge of the intermediate care facility.
(5) If the applicant is an individual, satisfactory evidence that the applicant and the person in charge of the intermediate care facility for which application for license is made are of reputable and responsible character.
(6) If applicant is a firm, association, organization, partnership, business trust, corporation or company, satisfactory evidence that the members or shareholders holding five percent or more stock, officers, any member having responsibility in the operation of the facility and the per-- son in charge of the intermediate care facility for which application for license is made are of reputable and responsible character.
(7) If the applicant is a political subdivision of the State or other government agency, satisfactory evidence that the person in charge of the intermediate care facility, for which application for license is made, is of reputable and responsible character.
(8) The name, title, principal business address and the percentage of ownership interest of all officers, directors and stockholders having a beneficial interest of 10 percent or more in the applicant corporation or partnership. If any such person has served or currently serves as an administrator, general partner, or corporate officer or director of, or has held a beneficial ownership interest of 10 percent or more in any other skilled nursing facility or intermediate care facility, or in any community care facility licensed pursuant to Community Care Facility Act, Chapter 3 (commencing with Section 1500) of the Health and Safety Code, the applicant shall disclose to the Department the person's relationship to the facility, including the name and current or last address of the health facility or community care facility and the date such relationship commenced, and if applicable, the date it was terminated. Each such person shall also disclose whether he or she was an officer, director, general partner or owner of a 10 percent or greater interest in a licensee of a skilled nursing facility, intermediate care facility or community care facility at a time when one or more violations of law were committed therein which resulted in suspension or revocation of its license.
(A) The provisions of Section 73205 (a) (8) shall not apply to the directors of a nonprofit corporation, which is exempt from taxation under Section 23701 (d) of the Revenue and Taxation Code, and which operates an intermediate care facility in conjunction with a licensed residential facility, where such directors serve without financial compensation and are not compensated by the nonprofit corporation in any other capacity. For purposes of this Section, a person owning a 10 percent or greater beneficial interest in, or holding any compensated position in any corporation, partnership, association, or trust which is compensated by the nonprofit corporation in any capacity relating to the facility shall be deemed to be compensated by the nonprofit corporation.
(B) The provisions of Section 73205 (a) (8) shall not apply to a bank, trust company, financial institutions, title insurer, controlled escrow company or underwritten title company to which a license is issued in a fiduciary capacity.
(9) Copy of the current organizational chart.
(10) Certificate of Need or a Certificate of Exemption from the Department if required by Chapter 1, Division 7 of this title.
(11) Such other information or documents (such as fingerprint cards and qualification information forms) as may be required by the Department for the proper administration and enforcement of the licensing statutes and regulations.
NOTE

Authority cited: Sections 208 and 1275, Health and Safety Code. Reference: Section 1267.5, Health and Safety Code.
HISTORY

1. Repealer of subsection (a)(8), amendment of subsection (a)(9) and redesignation of subsections (a)(9)-(a)(12) as (a)(8)-(a)(11) filed 12-20-78; effective thirtieth day thereafter (Register 78, No. 51).
2. Editorial correction of History Note 1 (Register 79, No. 5).
§73207. Architectural Plans.

Applications submitted for proposed construction of new facilities, remodeling or additions to facilities shall include architectural plans and specifications. Information contained in such applications shall be on file in the Department and available to interested individuals and community agencies.
§73208. Fee.
Note     •     History

(a) Each application for a license shall be accompanied by the prescribed fee as authorized by Health and Safety Code, section 1266.
(1) No fee shall be refunded to the applicant if the application is withdrawn or if the application is denied by the Department.
(2) An additional fee of $25.00 shall be paid for processing any change of name. However, no additional fee shall be charged for any change of name which is processed upon a renewal application or upon application filed because of a change of ownership.
(b) Application fees for licenses which cover periods in excess of 12 months shall be prorated on the basis of the total number of months to be licensed divided by 12 months.
(c) Applications for provisional licenses (for six-month periods) shall be subject to the full amount of the fee as authorized by Health and Safety Code, section 1266(e)(2). If upon the expiration of the provisional license a second provisional (six-month period) license is to be issued, the licensee shall receive credit for the unused portion of the fee collected and no additional fee will be required of the licensee.  If a regular license is issued upon the expiration of the first provisional license, the unused portion of the fee collected for the provisional license shall be credited against the annual fee required for the regular license. If neither a second provisional or a regular license is to be issued to the applicant, there will be no refund of any portion of the fee paid for the provisional license.
(d) Fees shall be waived for any facility conducted, maintained or operated by this state or any state department, authority, bureau, commission or officer, or by the Regents of the University of California or by a local hospital district, city or county.
NOTE

Authority cited: Sections 1266, 1275 and 131200, Health and Safety Code. Reference: Sections 1266, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 1-30-80; effective thirtieth day thereafter (Register 80, No. 5).
2. Change without regulatory effect amending section and Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§73209. Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1275, and 1729, Health and Safety Code. Reference: Sections 1266, and 1729, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
2. Amendment of subsection (a) filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2).
3. Amendment of subsection (a) filed 11-8-78; effective thirtieth day thereafter (Register 78, No. 45).
4. Amendment of subsections (a), (c), and (d) filed 5-2-79; effective thirtieth day thereafter (Register 79, No. 18).
5. Change without regulatory effect repealing section filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§73211. Projects Requiring a Certificate of Need. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§73211.1. Projects Eligible for a Certificate of Exemption. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§73211.2. Projects Not Subject to Review by a Voluntary Area Health Planning Agency. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§73211.3. Projects Previously Decided by a Voluntary Area Health Planning Agency. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealed filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§73211.4. Exemption Requests for Remodeling and Replacement Projects. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, and 1268, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. Repealer filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 77, No. 11.
§73213. Safety, Zoning and Building Clearance.

(a) Architectural plans shall not be approved and a license shall not be originally issued to any intermediate care facility which does not conform to these requirements or other state requirements on seismic safety, fire and life safety, and environmental impact, and to local fire safety, zoning and building ordinances, evidence of which shall be presented in writing to the Department.
(b) It shall be the responsibility of the licensee to maintain the intermediate care facility in a safe structural condition. If the Department determines in a written report submitted to the licensee that an evaluation of the structural condition of an intermediate care facility building is necessary, the licensee may be required to submit a report by a licensed structural engineer which shall establish a basis for eliminating or correcting the structural conditions which may be hazardous to occupants.
(c) The facility shall meet the seismic safety requirements, if any, prescribed by Section 15001 of the Health and Safety Code.
§73214. Bed Classification.
Note     •     History

(a) Each facility shall notify the Department on forms supplied by the Department of bed classifications as defined in Section 73050 within 30 days of the effective date of this section. For facilities not reporting within the 30-day period, the Department will classify the beds based on the latest information in the Department files.
(b) After the above notification has been received by the Department or the Department has classified the beds, no further reclassification of beds shall take place until on or after January 1, 1977.
NOTE

Authority cited: Sections 208 and 1250.1, Health and Safety Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Certificate of Compliance filed 1-31-77 (Register 77, No. 6).
§73215. Issuance, Expiration and Renewal.
Note     •     History

(a) Upon verification of compliance with the licensing requirements the Department shall issue the license to the applicant.
(b) If the applicant is not in compliance with the laws or regulations, the Department shall deny the applicant a license. Immediately upon the denial of any application for a license, the Department shall notify the applicant in writing. Within 20 days of receipt of the Department's notice, the applicant may present his written notice of appeal for a hearing to the Department. Upon receipt by the Department of the appeal in proper form, such appeal shall be set for hearing. The proceedings shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part I of Division 3 of Title 2 of the Government Code.
(c) The Department may deny the application of any prospective licensee if the applicant or any of the general partners, directors, officers or persons having a beneficial ownership interest of 10 percent or more in the facility, has failed to comply with the reporting requirements or to obtain approvals required in Health and Safety Code Section 1267.5 (a) and (b).
(d) The Department may deny the application of any prospective licensee if any of the general partners, directors, officers or persons having a beneficial ownership interest of 10 percent or more in the facility, was an officer, director, general partner or owner of a 10 percent or more beneficial interest in a skilled nursing facility, intermediate care facility or community care facility at a time when one or more violations of law were committed therein which resulted in suspension or revocation of its license. However, such prior suspension or revocation of a license shall not be grounds for denial of the application if the applicant shows to the satisfaction of the Department that the person in question took every reasonably available action to prevent the violation or violations which resulted in the disciplinary action and that he or she took every reasonably available action to correct such violation or violations once he or she knew, or with the exercise of reasonable diligence should have known, of the violation or violations.
(e) No application shall be denied pursuant to subsection (d) until the Department provides the applicant with notice in writing of grounds for the proposed denial of application, and affords the applicant an opportunity to submit additional documentary evidence within 30 days in opposition to the proposed denial.
(f) The Department shall immediately notify, in writing, the applicant for a license if a license has been denied under Section 73215 (b), (c) or (d). If the applicant wishes to appeal the denial, the applicant must present a written notice of appeal for a hearing to the Department within 20 days of receipt of the denial notice. Upon receipt by the Department of the petition in proper form, such petition shall be set for hearing. Hearing procedures shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part I of Division 3 of Title 2 of the Government Code.
(g) Each initial license shall expire at midnight, one year from the date of issuance. A renewal license:
(1) May be issued for a period not to exceed two years if the holder of the license has been found in substantial compliance with statutory requirements, regulations or standards during the preceding license period.
(2) Shall reflect the number of beds that meet constructional and operational requirements and shall not include beds formerly located in patient accommodation space which has been permanently converted.
(3) Shall not be issued if the intermediate care facility is liable for and has not paid the special fees required by Section 90417, Chapter 1, Division 7, of this Title.
(h) At least 45 days prior to expiration of a license, the Department shall mail an application for renewal of license form to each licensee. Application for renewal accompanied by the necessary fees shall be filed with the Department not less than 30 days prior to the expiration date. Failure to make a timely renewal shall result in expiration of the license.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, 1268, and 1275, Health and Safety Code. Reference: Chapter 854, Statutes of 1976 and Section 1267.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment and new subsections (e)-(h) filed 12-20-78; effective thirtieth day thereafter (Register 78, No. 51).
§73217. Provisional License.
Note     •     History

(a) The Department may issue a provisional license for the operation of an intermediate care facility not previously licensed as an intermediate care facility pursuant to Chapter 2, commencing with Section 1250, of the Health and Safety Code, or to any applicant for an intermediate care facility license upon a change of ownership of an existing facility, if that applicant has not previously held an intermediate care facility license pursuant to Chapter 2, commencing with Section 1250, of the Health and Safety Code.
(b) A provisional license issued pursuant to Section 73217 (a) shall terminate six months from the date of issuance. Within 30 days prior to the termination of a provisional license issued pursuant to Section 73217 (a), the Department shall give such facility a full and complete inspection, and if the facility meets all applicable requirements for licensure, a regular license shall be issued. If the facility does not meet the requirements for licensure but has made substantial progress toward meeting such requirements as determined by the Department, the initial provisional license shall be renewed for six months. If the Department determines that there has not been substantial progress toward meeting licensure requirements at the time of the first full inspection provided by this Section, or if the Department determines upon its inspection made within 30 days of the termination of a renewed provisional license that there is lack of full compliance with such requirements, no further license shall be issued.
(c) The Department may issue a provisional license upon a change of ownership of an intermediate care facility to an applicant who has previously held an intermediate care facility license pursuant to Chapter 2, commencing with Section 1250, of the Health and Safety Code if the initial relicensure inspection reveals the following:
(1) The facility and the applicant for licensure are in substantial compliance with licensing requirements.
(2) No violation of such laws or regulations exists in the facility which jeopardizes the health or safety of patients.
(3) The applicant has adopted a plan for correction of any existing violation which is satisfactory to the Department.
(d) A provisional license issued under Section 73217 (c) shall terminate six months after the date of issuance, or at such earlier time as determined by the Department at the time of issuance. Within 30 days of the termination of the provisional license issued pursuant to Section 73217 (c), the Department shall give such facility a full and complete inspection, and if the facility meets all the requirements for licensure, a regular license shall be issued. A provisional license issued under Section 73217 (c) may not be renewed.
(e) If an applicant for a provisional license, pursuant to Section 73217 (a) and (b), or (c) and (d) has been denied provisional licensing by the Department, that applicant may contest such denial by filing a notice of appeal. The proceedings to review such denial shall be conducted pursuant to the provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2, of the Government Code.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1268.5, Health and Safety Code.
HISTORY

1. Amendment filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 15).
§73219. Separate Licenses.

Separate licenses shall be required for intermediate care facilities which are maintained on separate premises even though they are under the same management. Separate licenses shall not be required for separate buildings on the same grounds or adjacent grounds.
§73221. Posting.

The license or a true copy thereof shall be conspicuously posted in a prominent location accessible to public view.
§73223. Transferability.

Licenses are not transferable. The licensee shall notify the Department in writing prior to any change of ownership and an application for license shall be submitted by the new owner.
§73225. Report of Changes.

(a) The licensee shall notify the Department within 10 days in writing any time a change of stockholder owning 10 percent or more of the nonpublic corporate stock occurs. Such writing shall include the name and principal mailing addresses of the new stockholder(s).
(b) When a change of administrator occurs, the Department shall be notified within 10 days in writing by the licensee. Such writing shall include the name and license number of the new administrator.
(c) Each licensee shall notify the Department within 10 days in writing of any change of the mailing address of the licensee. Such writing shall include the new mailing address of the licensee.
(d) When a change in the principal officer of a corporate licensee (chairman, president or general manager) occurs, the Department shall be notified within 10 days in writing by the licensee. Such writing shall include the name and principal business address of such officer.
§73227. Program Flexibility.

(a) All intermediate care facilities shall maintain continuous compliance with the licensing requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualification or the conducting of pilot projects, provided such exceptions are carried out with the provisions for safe and adequate care and with the prior written approval of the Department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request and substantiating evidence supporting the request shall be submitted by the applicant or licensee to the Department.
(b) Any approval of the Department granted under this section, or a true copy thereof, shall be posted immediately adjacent to the facility's license that is required to be posted by Section 73221.
§73229. Voluntary Suspension of License, Service or Licensed Beds.

(a) Upon written request a licensee may request that a license, service or beds be put in suspense. The Department may approve the request for a period not to exceed 12 months.
(b) Any license or portion thereof which has been temporarily suspended by the Department pursuant to this section shall remain subject to all renewal requirements of an active license, including the payment of license renewal fees, during the period of temporary suspension.
(c) Any license suspended pursuant to this section may be reinstated by the Department within 12 months of the date of suspension, upon receipt of an application and evidence showing compliance with licensing operational requirements in effect at the time of reinstatement. If license is not reinstated within the 12-month period, the license shall expire automatically and shall not be subject to reinstatement.
§73231. Voluntary Cancellation of License.

(a) Any licensee desiring to voluntarily surrender his license for cancellation shall notify the Department in writing as soon as possible and in all cases at least 30 days prior to the effective date of cancellation of the license.
(b) Any license voluntarily cancelled pursuant to this section may be reinstated by the Department within 12 months of date of cancellation on receipt of an application and evidence showing compliance with licensing operational requirements.
§73233. Revocation or Involuntary Suspension of License.
Note     •     History

(a) Pursuant to proceedings conducted under the provisions of Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, the Department may suspend or revoke the license of any facility upon any of the following grounds:
(1) Violation by the licensee of any of the provisions of Chapter 2 (commencing with Section 1250) of Division 2 of the Health and Safety Code or of any of the regulations promulgated by the Department contained in this chapter.
(2) Failure of a licensee or any of the general partners, directors, officers or persons having a beneficial ownership interest of 10 percent or more in the licensed facility, to comply with the reporting requirements or to obtain approvals required in Health and Safety Code Section 1267.5 (a) and (b) and Section 73205 (a) (8) of Division 5 of Title 22 of the California Administrative Code, except that this subsection shall not apply to the directors of a nonprofit corporation as described in Section 1267.5 (h) of the Health and Safety Code, or to a bank or other institution exempted under Section 1267.5 (f) of the Health and Safety Code.
(3) Aiding, abetting or permitting the violation of any provisions of Chapter 2 (commencing with Section 1250) of Division 2 of the Health and Safety Code or of any of the regulations promulgated by the Department contained in this chapter.
(4) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the maintenance and operation of the premises for which a license is issued.
(b) The license of any intermediate care facility against which special fees are required by Section 90417, Chapter 1, Division 7, of this Title shall be revoked, after notice of hearing, if it is determined by the Department that the fees required were not paid within the time prescribed.
NOTE

Authority cited: Sections 208, 1250, 1250.1, 1251, 1255, 1268, and 1275, Health and Safety Code. Reference: Chapter 854, Statutes of 1976 and Section 1267.5, Health and Safety Code.
HISTORY

1. New subsection (b) filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. New subsection (a)(2) and renumbering of subsections (a)(3) and (a)(4) filed 12-20-78; effective thirtieth day thereafter (Register 78, No. 51).
§73235. Temporary Suspension of License.
Note     •     History

(a) The Director may temporarily suspend any license prior to any hearing, when in his or her opinion such action is necessary to protect the public welfare, in the following manner:
(1) The Director shall notify the licensee of the temporary suspension and the effective date thereof and at the same time shall serve such licen--see with an accusation.
(2) Upon receipt of a notice of defense by the licensee, the Director shall set the matter for hearing within 15 days. The hearing shall be held as soon as possible but no later than 30 days after receipt of such notice.
(3) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination on the merits.
(4) If the Director fails to make a final determination within 60 days after the original hearing has been completed, the temporary suspension shall be deemed vacated.
(5) If the provisions of Chapter 2 (commencing with Section 1250) of Division 2 of the Health and Safety Code or regulations promulgated by the Director are violated by a licensee which is a group, corporation or other association, the Director may suspend the licensee of such organization or may suspend the license as to any individual person within such organization who is responsible for such violation.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1296, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and (a)(2) filed 7-25-79; effective thirtieth day thereafter (Register 79, No. 30).
§73237. Pursuing Disciplinary Action to Completion.

(a) The withdrawal of an application for a license after it has been filed with the Department shall not, unless the Department consents in writing to such withdrawal, deprive the Department of its authority to institute or continue a proceeding against the applicant for the denial of the license upon any ground provided by law or to enter an order denying the license upon any such ground.
(b) The suspension, expiration or forfeiture by operation of law of a license issued by the Department, or its suspension, forfeiture or cancellation by order of the Department or by order of a court of law, or its surrender without the written consent of the Department, shall not deprive the Department of its authority to institute or continue a disciplinary proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking the license or otherwise taking disciplinary action against the licensee on any such ground.
§73239. Reinstatement of Revoked or Suspended License.

A person whose license has been revoked or suspended may petition the Department for reinstatement or reduction of the disciplinary action imposed after a period of not less than one year has elapsed from the effective date of the decision or from the date of the denial of a similar petition.
§73240. Conviction of Crime: Standards for Evaluating Rehabilitation.
Note     •     History

When considering the denial, suspension or revocation of a license based on the conviction of a crime in accordance with Section 1265.1 or 1294 of the Health and Safety Code, the following criteria shall be considered in evaluating rehabilitation:
(1) The nature and the seriousness of the crime(s) under consideration.
(2) Evidence of conduct subsequent to the crime which suggests responsible or irresponsible character.
(3) The time which has elapsed since commission of the crime(s) or conduct referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanction lawfully imposed against the applicant.
(5) Any rehabilitation evidence submitted by the applicant.
NOTE

Authority cited: Sections 208(a), 1265.2 and 1275, Health and Safety Code. Reference: Sections 1265.1, 1265.2 and 1294, Health and Safety Code.
HISTORY

1. New section filed 9-13-84; effective thirtieth day thereafter (Register 84, No. 37).
§73241. Bonds.

(a) Each licensee shall file or have on file with the Department a bond issued by a surety company authorized to do business in California if the licensee is handling or will handle money in the amount of $25 or more per patient or $500 or more for all patients in any month. The amount of the bond shall be according to the following schedule:

(1) Amount Handled 	Bond Required
   $750 or less. 	 $1,000  
   $751 to $1,500. 	 $2,000  
   $1,501 to $2,500 	 $3,000  
(2) Every further increments of $1,000 or fraction thereof shall require an additional $1,000 on the bond.
(b) Each application for an original license or renewal of license shall be accompanied by an affidavit on a form provided by the Department. The affidavit shall state whether the licensee handles or will handle money of patients and the maximum amount of money to be handled for:
(1) Any patient.
(2) All patients in any month.
(c) No licensee shall either handle money of a patient or handle amounts greater than those stated in the affidavit submitted by him without first notifying the Department and filing a new or revised bond if requested.
Article 3. Services
§73301. Required Services.
Note     •     History

(a) Intermediate care facilities shall provide as a minimum, but shall not be limited to, the following required services: Physician, intermittent nursing, dietary, pharmaceutical and an activity program.
(b) Intermediate care facilities caring for patients who are mentally disordered, developmentally disabled or substance abusers and who have identified program needs as described in Section 73391 shall meet also the requirements for a special disability service.
(c) Intermediate care facilities caring for day care patients shall meet all the requirements for inpatients and shall not exceed their licensed bed capacity.
(d) Written arrangements shall be made for obtaining all necessary diagnostic and therapeutic services prescribed by the attending physician, podiatrist, dentist or clinical psychologist subject to the scope of licensure and the policies of the facility. If the service cannot be brought into the facility, the facility shall assist the patient, if necessary, in arranging for transportation to and from the service location.
(e) Provision shall be made for dental examinations and dental treatments by a dentist as indicated by the needs of the patient.
(f) Arrangements shall be made for one or more licensed healthcare practitioners acting within the scope of their professional licensure to be called in an emergency.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (f) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73303. Physician Services--General.
Note     •     History

(a) Physician services are services provided by physicians responsible for the care of individual patients in the facility. Physician services shall include but are not limited to:
(1) Patient examinations.
(2) Patient diagnosis.
(3) Advice, treatment and treatment plan, and determination of appropriate level of patient care needed for each patient.
(4) Written and signed orders for care, diagnostic tests and treatment of patients by others. Orders for restraints must specify the duration and circumstances under which the restraints are to be used and must comply with the following:
(A) Orders must be specific to individual patients.
(B) In accordance with Section 73355 there shall be no standing orders.
(C) There shall be no P.R.N. orders for physical restraints.
(5) Health record progress notes and other appropriate entries in the patient's health records.
(6) Periodic reevaluation of the patient's condition and the review and updating of treatment orders and care program at least every 60 days unless otherwise approved by the Department.
(7) Provision of emergency medical services in the facility when indicated.
(b) Subsection (a) shall not prevent or limit other licensed healthcare practitioners acting within the scope of their professional licensure from providing services to and being responsible for the care of individual patients in the facility, including providing those services listed in subsection (a) above that are within the scope of their licensure.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code; and Valdivia, et al. v. Coye, U.S. District Court for the Eastern District of California, Case No. CIV S-90-1226.
HISTORY

1. Amendment of subsection (a)(4), new subsections (a)(4)(A)-(C) and new Note filed 5-25-95; operative 6-26-95 (Register 95, No. 21).
2. Amendment of subsection (a), new subsection (b) and amendment of Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73305. Physician Services--Policies and Procedures.

There shall be available to attending physicians a list of the services provided in or available through the facility and a listing of the types of patients who may be admitted for care. Information pertinent to the orientation of new physicians to the facility or changes in services or policy shall be made available by the facility. Patient care policies, manuals or other patient care instruction or reference materials shall be available for review or reference by individual physicians when requested or indicated.
§73307. Physician Services--Equipment and Supplies.

Equipment for physical examinations and emergency treatment of patients shall be available in the facility and shall include at least:

stethoscope 	scales for weighing patients
sphygmomanometer 	vaginal speculum
flashlight 	rectal speculum
gloves (sterile and unsterile)	appropriate record forms
tongue depressors 	sterile dressing
examination spotlight 	suture tray
suction apparatus	suture removal equipment
emergency oxygen supply and 	airway
 equipment for administration
§73309. Nursing Service--Defined.

“Nursing service” means a service organized, staffed and equipped to provide nursing care to patients.
§73311. Nursing Service--General.
Note     •     History

Nursing service shall include, but not be limited to, the following:
(a) Identification of problems and development of an individual plan of care for each patient based upon initial and continuing assessment of the patient's needs by the nursing staff and other health care professionals. The plan shall be reviewed and revised as needed but not less often than quarterly.
(b) Notification of the attending licensed healthcare practitioner acting within the scope of his or her professional licensure immediately of any patient exhibiting unusual signs or behavior.
(c) Ensuring that patients are served the diets as ordered by the attending licensed healthcare practitioner acting within the scope of his or her professional licensure, and that patients are provided with the necessary and acceptable equipment for eating and that prompt assistance in eating is given when needed.
(d) Any marked or sudden change in weight shall be reported promptly to the attending licensed healthcare practitioner acting within the scope of his or her professional licensure.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (b)-(d) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73313. Nursing Service--Drug Administration.
Note     •     History

Nursing service shall include but not be limited to the following, with respect to the administration of drugs:
(a) Medications and treatments shall be administered as prescribed and shall be recorded in patient's health records.
(b) Preparation of doses for more than one scheduled administration time shall not be permitted.
(c) Medications shall only be administered by personnel who have completed a state-approved training program in medication administration.
(d) Medications shall be administered as soon as possible after doses are prepared and shall be administered by the same person who prepared the doses for administration. Doses shall be administered within one hour of the prescribed time unless otherwise indicated by the prescriber.
(e) Patients shall be identified prior to administration of a drug.
(f) The time and dose of drug administered to the patient shall be properly recorded in each patient's medication record by the person who administered the drug.
(g) No medication or treatment shall be given except on the order of a person lawfully authorized to give such order.
(h) Telephone orders shall be received only by a licensed nurse or pharmacist and shall be recorded immediately in the patient's health record and shall be signed by the prescriber within 48 hours.
(i) Medications brought by or with the patient to the facility shall not be used unless all of the conditions specified in Section 73363 are met.
(j) A registered nurse or a pharmacist shall review each patient's medications monthly and if appropriate, request a review from the patient's attending licensed healthcare practitioner acting within the scope of his or her professional licensure.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (j) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73315. Nursing Service--Patient Care.
Note     •     History

(a) No patient shall be admitted or accepted for care by an intermediate care facility except upon the order of a licensed healthcare practitioner acting within the scope of his or her professional licensure.
(b) Each patient shall be treated as an individual with dignity and respect and shall not be subjected to verbal or physical abuse of any kind.
(c) Each patient, upon admission, shall be given proper orientation to the intermediate care facility and the facility's services and staff.
(d) Each patient shall show evidence of good personal hygiene, including care of the skin, shampooing and grooming of hair, oral hygiene, shaving or beard trimming, cleaning and cutting of fingernails and toenails and shall be free of offensive odors.
(e) Each patient shall be encouraged and/or assisted to achieve and maintain his highest level of self-care and independence. Every effort shall be made to keep patients active except when contraindicated by orders provided by a licensed health care practitioner acting within the scope of his or her professional licensure.
(f) Such supportive and restorative nursing and personal care needed to maintain maximum functioning of the patient shall be provided.
(g) Treatment for minor illness or routine treatments for minor disorders when ordered by the licensed health care practitioner acting within the scope of his or her professional licensure shall be administered by nursing personnel.
(h) Bedside nursing care may be provided on a temporary basis when the attending licensed health care practitioner acting within the scope of his or her professional licensure determines the illness to be temporary and minor.
(i) When a patient requires services which are not considered to be intermediate care services, the licensed health care practitioner acting within the scope of his or her professional licensure shall be notified and arrangements made to transfer the patient from the intermediate care facility.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (a), (e) and (g)-(i) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73317. Nursing Service--Policies and Procedures.

(a) Written policies and procedures developed by the supervisor of health services and approved by the Patient Care Policy Committee shall be available to all nursing personnel. Such policies and procedures shall include:
(1) An organization chart of the nursing service showing staff positions, lines of authority and communication.
(2) Specific instruction on the preparation, review and updating of individual patient care plans.
(3) Orientation procedures and programs for new employees.
(4) An ongoing education program planned and conducted for the development and improvement of skills of all facility's personnel including training related to problems and needs of the aged, ill and disabled.
(5) A current nursing procedure manual.
§73318. Nursing Service--Nurse Assistant Training and Certification. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1137.7, Health and Safety Code. Reference: Chapter 351/1978 (AB 2567).
HISTORY

1. Repealer and new section filed 1-12-79 as an emergency; effective upon filing (Register 79, No. 2). For prior history, see Register 77, No. 52.
2. Certificate of Compliance filed 4-16-79 (Register 79, No. 15).
3. Repealer filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11-13-91 or emergency repeal will be reinstated by operation of law on the following day.
4. Repealer refiled 11-14-91 as an emergency; operative 11-14-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-13-92 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 4. and  repealer  refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 5-6-92 order transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41).
§73319. Nursing Service--Staff.
Note     •     History

(a) Nursing service personnel shall be employed in the number and with the qualifications determined by the Department to provide the necessary services for those patients admitted for care. The Department may require a facility to provide additional staff whenever the Department determines through a written evaluation of patients and patient care in the facility that such additional staff are needed to provide adequate nursing care and treatment or to provide for the safety of the patients.
(b) Facilities shall employ a registered nurse or licensed vocational nurse eight hours per day on the day shift, seven days per week. In case of facilities where a licensed vocational nurse serves as supervisor of health services, consultation shall be provided by a registered nurse, through formal contract, at regular intervals, but not less than four hours weekly.
(c) Facilities with 100 or more beds shall employ a registered nurse eight hours per day, on the day shift, seven days per week. In addition, a registered nurse or licensed vocational nurse employed four hours per day, seven days per week, during the day for each 50 beds or portion thereof in excess of 100.
(d) Nursing stations shall be staffed by nursing personnel day and night when patients are housed in the nursing unit.
(e) Each facility shall employ sufficient staff to provide a minimum average of 1.1 nursing hour per patient day.
(1) Facilities which provide care for mentally disordered or developmentally disabled patients and in which licensed psychiatric technicians provide patient care shall meet the following standards:
(A) If patients are not certified for special treatment programs, facilities shall employ sufficient staff to provide a minimum average of 1.1 nursing hour per patient day.
(B) For patients certified for special treatment programs, facilities shall employ sufficient staff to provide a minimum average of 0.7 nursing hour per patient day for each patient certified to the special treatment program, exclusive of additional staff required to meet the staffing standards of the special treatment program.
NOTE

Authority cited: Sections 208(a), 1275 and 1276.5, Health and Safety Code. Reference: Sections 1276 and 1276.5, Health and Safety Code; and Section 14110.7(c), Welfare and Institutions Code.
HISTORY

1. New subsection (e) filed 7-1-77 as an emergency; effective upon filing (Register 77, No. 27).
2. Certificate of Compliance filed 10-27-77 (Register 77, No. 44).
3. Amendment of subsection (e) filed 9-23-85 as an emergency; effective upon filing (Register 85, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-21-86.
4. Certificate of Compliance transmitted to OAL 1-17-86 and filed 2-10-86 (Register 86, No. 7).
§73321. Nursing Service--Equipment and Supplies.

(a) Equipment and supplies of the quality and in the quantity necessary for care to patients, as ordered or indicated, shall be provided and shall include but not be limited to:
(1) Water pitchers, emesis basins, denture cups, ice caps, urinals, bedpans, thermometers, stethoscope, sphygmomanometer, ear syringe, hypodermic syringes and needles and scales for weighing patients.
(2) A sufficient supply of wheelchairs and walkers to meet the intermittent needs of patients and maintained in clean and operable condition.
(3) Supplies necessary to perform urine sugar and acetone testing.
(4) Current and authoritative nursing reference material.
(5) First aid equipment and supplies, as determined by the patient care policy committee, readily available at all times.
§73323. Dietetic Service--Defined.

“Dietetic service” means a service organized, staffed and equipped to assure that food served to patients is safe, appetizing and provides for their nutritional needs.
§73325. Dietetic Service--Food Service.
Note     •     History

(a) The dietetic service shall provide food of the quality and quantity to meet the patient's needs in accordance with orders of a licensed healthcare practitioner acting within the scope of his or her professional licensure and, to the extent medically possible, to meet “the Recommended Daily Dietary Allowance,” 1974 Edition, adopted by the Food and Nutrition Board of the National Research Council of the National Academy of Sciences, 2107 Constitution Avenue, Washington, D.C., 20418; and the following:
(1) Not less than three meals shall be served daily.
(2) Not more than 14 hours shall elapse between the evening meal and breakfast of the following day.
(3) Nourishment or between meal feedings shall be provided as required by the diet prescription. Bedtime nourishments shall be offered to all patients unless contraindicated.
(4) Patient food preferences shall be adhered to as much as possible and substitutes for all food refused shall be from appropriate food groups.
(5) Table service shall be provided for all who can and wish to eat at a table. Tables of appropriate height shall be provided for wheelchairs.
(6) When food is provided by an outside commercial food service, all applicable requirements shall be met. The facility shall maintain adequate space, equipment and food supplies to provide patients' food service in emergencies.
(7) Food shall be prepared by methods that conserve nutritive value, flavor and appearance. Food shall be served attractively at appropriate temperatures and in a form to meet individual needs.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73327. Dietetic Service--Policies and Procedures.

Manuals of dietetic services policies and of procedures to implement the policies shall be available to all personnel concerned with dietetic services. Manuals shall be developed and kept current with the assistance of the dietitian in cooperation with appropriate staff from other services where overlapping functions occur.
§73329. Dietetic Service--Diet Manual.
Note     •     History

A current therapeutic diet manual, if appropriate, is approved by the dietitian and readily available to dietetic service personnel and licensed healthcare practitioners acting within the scope of their professional licensure or certification.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of section and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73331. Dietetic Service--Therapeutic Diets.

Therapeutic diets shall be provided as prescribed by the attending physician and shall be planned, prepared and served with supervision and/or consultation from the dietitian. Persons responsible for therapeutic diets shall have sufficient knowledge of food values to make appropriate substitutions when necessary.
§73333. Dietetic Service--Menus.

(a) Menus for regular and modified diets shall be written at least one week in advance, dated and posted in the kitchen at least three days in advance.
(b) If any meal served varies from the planned menu, the change shall be noted in writing on the posted menu in the kitchen.
(c) Menus shall provide a variety of foods in adequate amounts at each meal. Menus shall be different for the same day of consecutive weeks. If a cycle menu is used, the cycle shall be of no less than three weeks' duration and shall be revised quarterly.
(d) Menus shall be adjusted to include seasonal commodities.
(e) Menus shall be planned with consideration for cultural background and food habits of patients.
(f) A copy of the menu as served shall be kept on file for at least 30 days.
(g) Records of food purchased shall be kept for one year and available for review by the Department.
§73335. Dietetic Service--In-Service Training.

In-service training shall be provided for all dietetic service personnel and a record of subject areas covered, date and duration of each session and attendance lists shall be maintained.
§73337. Dietetic Service--Food Storage.

(a) Food storage areas shall be clean at all times.
(b) Dry or staple food items shall be stored at least 30 centimeters (12 inches) above the floor, in a ventilated room, not subject to sewage or waste water backflow, or contamination by condensation, leakage, rodents or vermin.
(c) All readily perishable foods or beverages capable of supporting rapid and progressive growth of microorganisms which can cause food infections or food intoxication shall be maintained at temperatures of 7oC (45oF) or below, or at 60oC (140oF) or above, at all times, except during necessary periods of preparation and service. Frozen foods shall be stored at minus 18oC (0oF) or below at all times. There shall be a reliable thermometer in each refrigerator freezer and in storerooms used for perishable food.
(d) Pesticides, other toxic substances and drugs shall not be stored in the kitchen area or in storerooms for food and/or food preparation equipment and utensils.
(e) Soaps, detergents, cleaning compounds or similar substances shall be stored in separate defined storage areas.
§73339. Dietetic Service--Sanitation.

(a) All kitchens and kitchen areas shall be kept clean, free from litter and rubbish and protected from rodents, roaches, flies and other insects.
(b) All utensils, counters, shelves and equipment shall be kept clean, maintained in good repair and shall be free from breaks, corrosions, open seams, cracks and chipped areas.
(c) Plastic ware, china and glassware that is unsightly, insanitary or hazardous because of chips, cracks or loss of glaze shall be discarded.
(d) Ice which is used in connection with food or drink shall be from a sanitary source and shall be handled and dispensed in a sanitary manner.
(e) Kitchen wastes that are not disposed of by mechanical means shall be kept in leakproof, nonabsorbent, tightly closed containers and shall be disposed of as frequently as necessary to prevent a nuisance or unsightliness.
§73341. Dietetic Service--Cleaning and Disinfection of Utensils.

(a) All utensils used for eating, drinking and in the preparation and serving of food and drink shall be cleaned and disinfected or discarded after each usage.
(b) Gross food particles shall be removed by careful scraping and prerinsing in running water.
(c) The utensils shall be thoroughly washed in hot water (minimum temperature of 43oC (110oF)), using soap or detergent, rinsed in hot water to remove soap or detergent, and disinfected by one of the following methods or the equivalent, as approved by the Department:
(1) Immersion for at least two minutes in clean water at 77oC (170oF).
(2) Immersion for at least 30 seconds in clean water at 83oC (180oF).
(3) Immersion in water containing bactericidal chemical as approved by the Department.
(d) After disinfection the utensils shall be allowed to drain and dry in racks or baskets on nonabsorbent surfaces. Drying cloths shall not be used.
(e) Results obtained with dishwashing machines shall be equal to those obtained by the methods outlined above, and all dishwashing machines shall meet the requirements contained in Standard No. 3 as amended in April 1965, of the National Sanitation Foundation, P.O. Box 1468, Ann Arbor, MI 94106.
§73343. Dietetic Service--Staff.

(a) Food Service Supervisor.
A full-time person qualified by training and experience shall be employed to be responsible for the operation of the food service.
(b) Professional Dietitian. If the facility accepts or retains patients in need of medically prescribed special diets, the menus for such diets shall be planned by a dietitian.
(c) Sufficient staff shall be employed, oriented, trained and their working hours scheduled to provide for the nutritional needs of the patients and to maintain the dietetic service areas. If dietetic service employees are assigned duties in other services, those duties shall not interfere with the sanitation, safety or time required for dietetic work assignments.
(d) Current work schedules by job titles and weekly duty schedules shall be posted.
(e) Dietetic services personnel shall be trained in basic food sanitation techniques, wear clean clothing, including a cap or a hair net and shall be excluded from duty when affected by skin infection or communicable diseases. Beards and mustaches which are not closely cropped and neatly trimmed shall be covered.
(1) Employees street clothing stored in the kitchen area shall be in a closed area.
(2) Kitchen sinks shall not be used for handwashing. Separate handwashing facilities with soap, running water and individual towels shall be provided.
(3) Persons other than dietetic services personnel shall not be allowed in the kitchen areas unless required to do so in the performance of their duties.
§73345. Dietetic Service--Equipment and Supplies.

(a) Equipment of the type and in the amount necessary for the proper preparation, serving and storing of food and for proper dishwashing shall be provided and maintained in good working order.
(1) The dietetic service area shall be ventilated in a manner that will maintain comfortable working conditions, remove objectionable odors, fumes and prevent excessive condensation.
(2) Fixed and mobile equipment in the dietetic service shall be located to assure sanitation and safety and shall be of sufficient size to handle the needs of the facility.
(b) Food Supplies. 
(1) At least one week's supply of staple foods and at least two days' supply of perishable foods shall be maintained on the premises. Supplies shall be appropriate to meet the requirements of the menu and therapeutic diets ordered.
(2) All food shall be of good quality and procured from sources approved or considered satisfactory by federal, state or local authorities. Food in unlabeled, rusty, leaking, broken containers, or cans with side seams or rim dents or swells shall not be accepted or retained.
(3) Milk, milk products and products resembling milk shall be processed or manufactured in milk product plants meeting the requirements of Division 15 of the California Food and Agricultural Code.
(4) Milk shall be served in individual containers, the cap or seal of which shall not be removed except in the presence of the patient. Homogenized milk may be served from a dispensing device which has been approved for such use. Milk served from a milk-dispensing device shall be dispensed directly into the glass or other container from which the patient drinks.
(5) Catered foods and beverages from a source outside the licensed facility shall be prepared, packed, properly identified, stored and transported in compliance with these regulations and other applicable federal, state or local codes.
(6) Foods held in refrigerated or other storage areas shall be appropriately covered. Food which was prepared and not served shall be stored appropriately, clearly labeled and dated.
§73347. Pharmaceutical Service--General.

(a) Arrangements shall be made to assure that pharmaceutical services are available to provide patients with prescribed drugs and biologicals.
(b) If a pharmacy is located on the premises, the pharmacy shall be licensed by the California State Board of Pharmacy and approved by the Department. The pharmacy shall not serve the general public unless a separate public entrance or a separate public serving window is utilized. Pharmacies located on the licensed premises of intermediate care facilities shall be opened for inspection upon the request of an authorized Department representative.
§73349. Pharmaceutical Service Requirements.

(a) Pharmaceutical service shall include, but not be limited to, the following:
(1) Obtaining necessary drugs on a prompt and timely basis, including the availability of 24-hour emergency prescription service.
(2) Preparation for administration of drugs and biologicals.
(3) Monitoring the drug distribution system which includes ordering, dispensing and administration of medications.
(4) Provision of consultative and other services furnished by pharmacists which assist in the development, coordination, supervision and review of the pharmaceutical services within the facility.
§73351. Pharmaceutical Service--Policies and Procedures.

There shall be written policies and procedures for safe and effective distribution, control, use and disposition of drugs developed by the patient care policy committee. The committee shall monitor implementation of the policies and procedures and make recommendations for improvement.
§73353. Pharmaceutical Service--Orders for Drugs.

No drugs shall be administered except upon the order of a person lawfully authorized to prescribe for and treat human illness. All such orders shall be in writing and signed by the person giving the order. The name, quantity or duration of therapy, dosage and time of administration of the drug, the route of administration if other than oral and the site of injection when indicated shall be specified. Telephone orders may be given only to a licensed pharmacist or licensed nurse and shall be immediately recorded in the patient's health record and shall be signed by the prescriber within 48 hours. The signing of orders shall be by signature or a personal computer key.
§73355. Pharmaceutical Service--Standing Orders.

No facility shall use any standing order for medications or treatments.
§73357. Pharmaceutical Service--Stop Orders.

Written policies shall be established limiting the duration of drug therapy, in the absence of a prescriber's specific indication of duration of therapy. The prescriber shall be contacted for new orders prior to the termination time established by the policy.
§73359. Pharmaceutical Service--Drug Order Processing.

Written orders for drugs shall be transmitted to the issuing pharmacy as directly as possible, either by written prescription of the prescriber by an order form which produces a direct copy of the order or by an electronically reproduced facsimile.
§73361. Pharmaceutical Service--Drug Order Records.

Facilities shall maintain a record which includes, for each drug ordered by prescription, the drug name, strength and quantity, the name of the patient, the date ordered, the date received and the name of the issuing pharmacy. The records shall be kept at least one year.
§73363. Pharmaceutical Service--Personal Medications.

(a) Medications brought by or with the patient to the facility shall not be used, unless all of the following conditions are met:
(1) The drugs have been ordered by the patient's physician and the order entered in the patient's health record.
(2) The medication containers are clearly and properly labeled.
(3) The contents of the containers have been examined and positively identified after admission by the patient's physician or a pharmacist retained by the facility.
§73365. Pharmaceutical Service--Labeling and Storage of Drugs.

(a) Containers which are cracked, soiled or without secure closures shall not be used. Drug labels shall be legible.
(b) All drugs obtained by prescription shall be labeled in compliance with state and federal laws governing prescription dispensing. No person other than the pharmacist shall alter any prescription label.
(c) Nonlegend drugs shall be labeled in conformance with state and federal food and drug laws.
(d) Test reagents, germicides, disinfectants and other household substances shall be stored separately from drugs.
(e) External use drugs in liquid, tablet, capsule or powder form shall be stored separately from drugs for internal use.
(f) Drugs shall be stored at appropriate temperatures. Drugs required to be stored at room temperature shall be stored at a temperature between 15oC (59oF) and 30oC (86oF). Drugs requiring refrigeration shall be stored in a refrigerator between 2oC (36oF) and 8oC (46oF). When drugs are stored in the same refrigerator with food, the drugs shall be kept in a closed properly labeled container, clearly labeled “drugs.”
(g) Drugs shall be stored in an orderly manner in cabinets, drawers or carts of sufficient size to prevent crowding.
(h) Dose preparation and administration areas shall be well lighted. If medication carts are used, a light shall be available on the cart.
(i) Drugs shall be accessible only to licensed nursing personnel.
(j) Bedside storage of medications shall be limited to sublingual or inhalation forms of emergency drugs.
(k) All bedside storage of medications shall be specifically ordered by the physician.
(l) Drugs shall not be kept in stock after the expiration date on the label and no contaminated or deteriorated drugs shall be available for use.
(m) The drugs of each patient shall be kept and stored in their originally received containers. No drug shall be transferred between containers.
(n) Discontinued drug containers shall be marked to indicate that the drug has been discontinued. Discontinued drugs shall be disposed of within 90 days of the date the drug order was discontinued, unless the drug is reordered within that time.
§73367. Pharmaceutical Service--Controlled Drugs.

(a) Drugs listed in Schedules II, III and IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 shall not be accessible to other than licensed nursing, pharmacy and medical personnel designated by the facility. The supervisor of health services shall be designated by the licensee to be responsible for the control of such drugs. Drugs listed in Schedule II of the above Act shall be stored in a locked cabinet or a locked drawer separate from noncontrolled drugs.
(b) Separate records of use shall be maintained on all Schedule II drugs. Such records shall be maintained accurately and shall include the name of the patient and the prescriber, the prescription number, the drug name, strength and dose administered, the date and time of administration and the signature of the person administering the drug. Such records shall be reconciled at least daily and shall be retained at least one year. If such drugs are supplied on a scheduled basis as part of a unit dose medication system, such records need not be separate from patient medication records.
(c) Drug records shall be maintained for drugs listed in Schedules III and IV of the above Act in such a way that the receipt and disposition of any such drug may be readily traced. Such records need not be separate from other medication records.
§73369. Pharmaceutical Service--Disposal of Drugs.

(a) Drugs may be sent with the patient upon discharge if so ordered by the discharging physician. Such drugs shall be dispensed in compliance with the California Pharmacy Laws and Regulations. A record of the drugs sent with the patient shall be made in the patient's health record.
(b) Discontinued individual patient's drugs supplied by prescription or those which remain in the facility after discharge shall be destroyed by the facility in the following manner:
(1) Drugs listed in Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 shall be destroyed by the facility in the presence of a pharmacist and a registered nurse employed by the facility. The name of the patient, the name and strength of the drug, the prescription number, the amount destroyed, the date of destruction and the signatures of the witnesses required above shall be recorded in the patient's health record or in a separate log. Such log shall be retained for at least three years.
(2) Drugs not listed under Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 shall be destroyed by the facility in the presence of a pharmacist or registered nurse. The name of the patient, the name and strength of the drug, the prescription number, if applicable, the amount destroyed, the date of destruction and the signatures of two witnesses shall be recorded in the patient's health record or in a separate log. Such log shall be retained for at least three years.
(c) Unless otherwise prohibited under applicable federal or state laws, individual patient drugs supplied in sealed containers may be returned, if unopened, to the issuing pharmacy for disposition provided that:
(1) No drugs covered under the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 are returned.
(2) All such drugs are identified as to lot or control number.
(3) The signatures of the receiving pharmacist and a registered nurse employed by the facility are recorded in a separate log which lists the name of the patient, the name, strength, prescription number (if applicable), the amount returned of the drug and the date of return. The log must be retained for at least three years.
§73371. Pharmaceutical Service--Unit Dose Medication System.

There shall be at least a 24-hour supply of all patient medications on hand at all times, excepting those drugs which are to be discontinued within the 24-hour period. Drugs that are part of the system shall not exceed a 48-hour supply.
§73373. Pharmaceutical Service--Staff.

Facilities shall have formal arrangements with a licensed pharmacist to provide consultation on methods and procedures for ordering, storage, administration and disposal and record keeping of drugs and biologicals.
§73375. Pharmaceutical Service--Equipment and Supplies.

(a) There shall be adequate equipment and supplies necessary for the provision of pharmaceutical services within the facility. This includes:
(1) Refrigerator with thermometer.
(2) Lockable drug cabinets, drawers, or closets or rooms.
(3) Drug service trays and/or carts.
(4) Drug preparation counter area and convenient water source.
(5) Syringes, needles, rubber tubing, clamps, droppers, medicine glasses, cups or other small containers which are accurately calibrated.
(6) Reference materials containing drug monographs on all drugs in use in the facility. Such monographs shall include information concerning generic and brand names if applicable, available strengths and dosage forms and pharmacological data including indications and side effects.
(b) Emergency drug supplies as determined by patient care policy committee shall be available. Facilities shall store a supply of emergency legend drugs on at least one nursing station and:
(1) Such drugs shall be limited to a maximum of three single doses in either sealed ampules or vials of any one emergency drug. If an emergency drug is not available in parenteral form, a supply of the drug in inhalation or sublingual form may be maintained in the smallest sealed manufacturer's package. No other oral legend drugs may be so stored.
(2) The emergency drug supply shall be stored in a portable container which is sealed in such a manner that the tamper-proof seal must be broken to gain access to the drugs. The supply shall be opened only in the presence of a physician, pharmacist or licensed nurse. The supervisor of health service shall notify the pharmacist when drugs have been used from the emergency kit or when the seal has been broken. Drugs used from the kit shall be replaced within 72 hours and the supply resealed by the pharmacist.
(3) The contents of the supply shall be listed on the outside of the container.
(4) The supply shall be checked at least monthly by the pharmacist.
(5) Separate records of use shall be maintained for drugs administered from the supply. Such records shall include the name and dose of the drug administered, name of the patient, the date and time of administration and the signature of the person administering the dose.
§73377. Activity Program--Defined.

An activity program means a program which is staffed and equipped to meet the needs and interests of patients. Patients shall be encouraged to participate in activities suited to their individual needs. An activity program shall have a written planned schedule of social and other purposeful independent or group activities for each patient designed to make his life more meaningful, to stimulate and support his desire to use his physical and mental capabilities to their fullest extent, to enable him to maintain his highest attainable social, physical and emotional functioning, his usefulness and self-respect but not necessarily to correct or remedy a disability.
§73379. Activity Program--Scope.

(a) The scope of the activity program shall include:
(1) Social activities which involve group participation and are designed to promote group relationships.
(2) Recreational activities, both indoor and outdoor.
(3) Opportunity to participate in activities outside the facility.
(4) Religious programs, including the right of each patient to attend the church or religious program of his choice.
(5) Creative and expressive activities.
(6) Educational activities.
(7) Exercises.
§73381. Activity Program--Policies and Procedures.

(a) Written policies and procedures governing the conduct of the activity program shall be available for use by the activity leader and other personnel assisting in the program. The policies and procedures shall be developed by the patient care policy committee with the assistance of the activity leader.
(b) The primary objectives of activity programs shall be to encourage the patient toward restoration of self-care and the resumption of normal activities, or for those who cannot realistically resume normal activities, to prevent further mental or physical deterioration.
(c) Opportunities should be provided for patient involvement, both individual and group, in the planning and implementation of the activity program.
(d) The program shall be designed so as to offer patients the opportunity for choice among a variety of activities such as discussion and study groups, reading, gardening, games, simple homemaking tasks, exercise classes, musical and other creative activities and religious programs. Attendance at religious services shall be voluntary.
(e) The facility shall be responsible for encouraging participation by each patient in social and recreational activities at least 10 hours per week unless this is documented to the contrary in the patient's health record.
§73383. Activity Program--Activity Record.

The record of each patient shall contain an activity plan. Each plan shall be reviewed at least quarterly and changed according to need. Progress notes shall be recorded at least quarterly in the patient's health record.
§73385. Activity Program--Staff.

(a) Activity program personnel with appropriate training and experience shall be provided to meet the needs of patients.
(b) Each facility shall designate an activity leader who, under the direction of the administrator, shall:
(1) Develop, implement and supervise the activity program.
(2) Obtain from the supervisor of health services a list of those patients who can participate in each activity program.
(3) Conduct or participate in in-service training of the staff of the facility and where appropriate and permissible, recruit, train and supervise volunteers to assist with or augment the regular program.
(4) Coordinate the activities schedule with other patient services.
(5) Provide the administrator with a current schedule of planned activities.
(6) Post the current activity schedule conspicuously for the information of patients and staff.
(7) Request and maintain equipment and supplies.
(8) Maintain a current record of the type and frequency of activities provided and the names of patients participating in each activity.
(9) Develop and maintain an appropriate schedule of activities for patients unable to leave their rooms.
(10) Develop appropriate contacts with community agencies and organizations.
(c) As a minimum, facilities shall provide an activity leader as follows:
(1) Any facility with 50 or more intermediate care beds shall have a full-time employee whose sole responsibility shall be the development, implementation and supervision of the social, recreational and rehabilitative programs of the facility.
(2) Any facility with 25 or more, but less than 50 intermediate care beds shall have an employee who shall devote a minimum of 20 hours per week to the development, implementation and supervision of the social, recreational and rehabilitative programs of the facility.
(3) Any facility with less than 25 intermediate care beds shall have an employee or consultant who shall devote a minimum of 10 hours per week to the development, implementation and supervision of the social, recreational and rehabilitative programs of the facility.
(d) The activity leader shall:
(1) Have two years experience in a social or recreational program within the past five years, one year of which was full-time in a patient activities program in a health care setting; or
(2) Be an occupational therapist, art therapist, music therapist, dance therapist, recreation therapist or occupational therapy assistant; or
(3) Have completed at least 36 hours training in a course designated specifically for this position and approved by the Department.
§73387. Activity Program-Equipment and Supplies.

There shall be equipment and supplies necessary for the program, including special equipment and supplies necessary for patients having special needs and for both independent and group activities.
§73389. Activity Program-Space.

(a) Designated indoor and outdoor activity areas appropriate to independent and group needs of patients shall be maintained. Such areas shall be as follows:
(1) Accessible to wheelchair and ambulatory patients.
(2) Of sufficient size to accommodate necessary equipment and permit unobstructed movement of wheelchair and ambulatory patients or personnel responsible for instruction and supervision.
(3) Have adequate space to store equipment and supplies.
§73391. Special Disability Services.

(a) Each special disability service shall provide a therapeutic milieu facilitating the individual's ability to cope with social, emotional and physical disabilities to reestablish independence and to attain optimal potential. Each patient shall participate in a special disability service specific to his identified program needs. A facility shall not accept or care for any of the following types of patients who have an identified program need unless a specific special disability program, approved by the Department, is provided:

	Group I. Developmentally Disabled
	Group II. Substance Abuser
	  A. Alcohol Substance Abuser
	  B. Drug Substance Abuser
	Group III. Mentally Disordered
(b) Facilities to be eligible for additional reimbursement for special rehabilitation program services for the mentally disordered shall meet the requirements of Sections 73391 through 73423.
(c) Facilities to be eligible for additional reimbursement for special subacute psychiatric program services for the mentally disordered shall meet the requirements of Sections 73391 through 73415 and shall also meet the requirements of Sections 73425 through 73431.
(d) Facilities to be eligible for additional reimbursement for special program requirements for the developmentally disabled shall meet the requirements of Sections 73391 through 73415 and shall also meet the requirements of Sections 73433 through 73441.
§73393. Special Disability Services--“Distinct Part”--“Program.”

(a) A “Special Disability Service Distinct Part” means a licensed intermediate care facility with a separate identifiably and physically independent unit or an entire intermediate care facility that provides therapeutic programs to patients and which is licensed by the Department to provide treatment to an identified special disability population group.
(b) A “Special Disability Program” means a therapeutic program of services and/or functions designed, staffed and implemented by the Special Disability Service Distinct Part for the purpose of meeting the specific needs of an identified population group.
(c) Facilities having multiple programs shall have appropriately designated areas to provide for adequate segregation of patients by program where required by the Department. No facility shall admit or care for patients of a program other than that for which the facility is approved.
§73395. Special Disability Services--Program Approval.

(a) The facility shall submit to the Department a written description of its Special Disability Program which shall meet all of the requirements of Section 73397. The facility shall also specify any alternate requirements needed to implement a specific program. The Department shall review the program and, if it determines that the program and the proposed specific alternate requirements meet the specific needs of the population group to be served, the Department shall issue its written approval of the program and shall designate the specific alternate requirements that shall govern the operation of the program. These specific alternate requirements shall take precedence over the regulations contained in this chapter. The Department may waive any requirement if the implementation of that requirement would be detrimental to the program. Written justification for a waiver request would be required.
(b) A facility shall comply with all requirements of its approved Special Disability Program and also any approved specific alternate requirement which shall govern the operation of the program notwithstanding the provisions of any other regulation contained in this chapter.
§73397. Special Disability Services--Program Requirements.

(a) The facility shall specify each population group that it plans to serve. For each group there shall be a separate special disability program developed to meet specific needs of the particular group. The program shall consist of the following components:
(1) Description of population group to be served shall include the following:
(A) Age (chronologic and developmental when applicable)
(B) Sex
(C) Physical characteristics
(D) Developmental characteristics
(E) Emotional characteristics
(2) Number of patients to be served in each population group.
(3) Identification of the particular needs within the population group.
(4) A written program designed to meet the identified needs.
(5) Method and frequency of evaluating patient progress.
(b) Combining of population groups shall be subject to approval by the Department.
(c) Programs which include the commingling of population groups shall be appropriate to the group needs and subject to approval by the Department.
(d) Each person admitted shall have an initial evaluation and assessment by facility staff of his medical, nursing, dietetic, social and physical needs within 15 days of admission unless an evaluation has been done by the referring agency within 30 days prior to admission to the facility.
(e) Each person admitted shall have a psychological and educational evaluation and assessment by the appropriate discipline within 45 days of admission.
(f) The patient's plan of care shall emphasize social interaction, educational needs, physical and recreational activity.
(g) The multidisciplinary notes shall describe the physical behavior and social growth of the individual.
(h) Consultative sources shall be used in the planning and organization of appropriate programs for the mentally disordered, developmentally disabled and substance abusers, incorporating post planning services intended to enable the patient to function and gain independence.
(i) Remedial educational programs consistent with patients' needs and plan of care shall be available under the direction of qualified teachers with a valid California teaching credential or persons with an academic degree in learning disabilities. Appropriate community school facilities may be used.
(j) Skill training programs shall be provided but not limited to techniques of behavior modification training in self-skills, sensory training or the modalities of reality orientation and remotivation therapy.
(k) If patients attend schools in the community, transportation and supervision to and from school shall be arranged in accordance with the needs and conditions of the patients.
(l) If the program in a facility is not appropriate to the patient needs, the patient shall be moved to a facility providing the appropriate program.
(m) Orientation and in-service training of staff members by a qualified person to assist them in the recognition and understanding of the emotional problems and social needs of patients and the means of taking appropriate action in relation to such needs. Available community resources and services should be included in the orientation.
§73399. Special Disability Services--Rights of Patients.
Note     •     History

(a) Each patient admitted to a special disability program in an intermediate care facility shall have the following rights, a list of which shall be prominently posted in English and Spanish in all facilities providing such services, and otherwise brought to the patient's attention by such additional means as is appropriate:
(1) To wear his or her own clothes; to keep and use his or her own personal possessions including toilet articles; and to keep and be allowed to spend a reasonable sum of his or her own money for small purchases.
(2) To have access to individual storage space for private use.
(3) To see visitors each day.
(4) To have reasonable access to telephones, both to make and receive confidential calls.
(5) To have ready access to letter writing materials, including stamps and to mail and receive unopened correspondence.
(6) To refuse shock treatment.
(7) To refuse lobotomy.
(8) Other rights as provided by law.
(b) The attending physician or psychologist may, for good cause, deny a patient his or her rights under this section, except the right to refuse lobotomy or shock treatment. Any denial of a patient's rights shall be entered in the patient's health record.
(c) Information pertaining to denial of rights contained in the patient's health record shall be made available, on request, to the patient, the patient's attorney, the patient's conservator or guardian, or the Department, members of the State Legislature or a member of a county board of supervisors.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code; and Section 5325, Welfare and Institution Code.
HISTORY

1. Amendment of subsections (a)-(a)(2) and (b)-(c) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73401. Special Disability Services--Abuse and Corporal Punishment.

Patients shall not be subjected to verbal or physical abuse of any kind. Corporal punishment of patients is prohibited.
§73403. Special Disability Services--Restraint and Seclusion.

(a) Restraint and seclusion shall only be used as emergency measures to protect the patient from injury to himself or others. Restraint and seclusion shall not be used as punishment or as a substitute for more effective medical and nursing care program. Restraints may be used for:
(1) The protection of the patient during treatment and diagnostic procedures, as intravenous therapy, tube feeding and catheterization.
(2) To prevent infirm patients from falling out of bed or chairs or otherwise injuring themselves.
(3) To protect the aggressive, assaultive, acutely disturbed or severely confused patient from injuring himself or others.
§73405. Special Disability Services--Acceptable Forms of Restraint.

(a) Mechanical or behavior restraint consists of any apparatus that interferes with the free movement of a patient. Only the following types of restraint may be used:
(1) Soft tie consisting of cloth which prevents movement of a patient.
(2) Mittens without thumbs which are securely fastened around the wrist with a small tie.
(3) Tie jackets consisting of sleeveless cloth.
(4) Restraining sheet consisting of a wide piece of muslin placed over the body of the patient.
(5) Belts and cuffs, which are well-padded, used to control a seriously disturbed, assaultive patient.
§73407. Special Disability Services--Restrictions on Applying Restraints.

(a) In applying restraints each of the following requirements shall be met:
(1) Careful consideration shall be given to the methods by which the restraints may be speedily removed in the event of fire or other emergency.
(2) Except in rooms approved by the Department for seclusion, patients' rooms shall not be locked when occupied.
(3) Patients placed in restraint shall be observed by qualified treatment personnel at least every half hour. This observation shall be noted and initialed in the patient's health record.
(4) Patients placed in seclusion shall be observed by qualified treatment personnel at least every hour. This observation shall be noted and initialed in the patient's health record.
§73409. Special Disability Services--Orders for Restraint and Seclusion.
Note     •     History

(a) Restraint and seclusion shall only be used on the signed order of a licensed healthcare practitioner acting within the scope of his or her professional licensure and shall be renewed every 24 hours. In a clear case of emergency, a licensed healthcare practitioner acting within the scope of his or her professional licensure may give the order by telephone. In such an event, the  licensed healthcare practitioner shall sign the order within 48 hours.
(b) A daily log shall be maintained in each facility exercising behavior restraint and seclusion indicating the name of the patient for whom behavior restraint or seclusion is ordered, full documentation of the episode leading to the behavior restraint or seclusion, the type of the behavior restraint or seclusion used, the length of time and the name of the individual applying such measures.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73411. Special Disability Services--Staff.

(a) Professional staff shall include as a minimum a Special Disability Professional on a full-time, part-time or consultant basis.
(b) A registered nurse, licensed vocational nurse or licensed psychiatric technician shall be employed at least 40 hours a week on the day shift and be responsible for nursing supervision of the distinct part under the direction of the facility's supervisor of health services. This person shall have at least one year of experience or training related to the special disability service offered.
(c) If the facility is devoted entirely to the care of the mentally disordered or the developmentally disabled or substance abusers, the director of nursing service shall meet the requirements set forth in Section 72323 (b) of this article and in addition shall have at least one year of experience or training related to the special disability service offered. If the facility is devoted entirely to the care of any combination of the foregoing types of patients, the director of nursing service shall have at least one year of experience or training in one of the special disability services offered.
(d) Charge personnel on all shifts shall have at least one year of experience or training related to the special disability service offered.
(e) If the facility is devoted entirely to the care of the mentally disordered or developmentally disabled or substance abusers, there shall be at least one registered nurse or licensed vocational nurse or licensed psychiatric technician on duty on all three shifts seven days per week.
(f) A licensed psychiatric technician may serve as a charge nurse only in a special disability unit and only under the supervision of a registered nurse or licensed vocational nurse.
(g) Additional personnel shall be employed on all shifts to provide an appropriate level of care as determined by the Department.
(h) A special disability worker may be in charge of a specific program within the distinct part.
(i) A licensed psychiatric technician may administer medications only in a special disability unit.
§73413. Special Disability Services--Equipment.

There shall be sufficient equipment, assistive devices and supplies available to implement the treatment and program as ordered or indicated or necessary for meeting other physical, mental, emotional or recreational needs of patients.
§73415. Special Disability Services--Space.

(a) The distinct part shall have sufficient accommodations, including dining, recreational and program areas to meet the needs of the program.
(b) Indoor and outdoor areas shall be designated for programs with appropriate equipment, apparatus and adequate supplies which will meet the needs of the patient.
§73417. Special Rehabilitation Program Services--Mentally Disordered.
History

(a) Mentally disordered rehabilitation programs are designed to serve patients who have a chronic psychiatric impairment and whose adaptive functioning is moderately impaired. These patients require continuous supervision and can be expected to benefit from an active rehabilitation program effort designed to improve their adaptive functioning and develop a potential for placement in a less protected living environment. A facility may, but is not required to, provide special rehabilitation program services for the mentally disordered. If the facility meets all of the requirements of this section, it shall be entitled to a supplemental special program rate under the Medi-Cal program (Title 22, California Administrative Code, Section 51335 (k)) such special program services are those therapeutic services provided to mentally disordered persons having special needs or deficits in one or more of the following general areas: Self-Help Skills, Behavior Adjustment, Interpersonal Relationships, Prevocational Preparation and Prerelease Planning.
(b) To be approved by the Department to furnish such special rehabilitation services to the mentally disordered, a facility shall have:
(1) A minimum initially of 30 patients in the facility who have been certified by the local mental health director as eligible for special program services. Eligibility for special program services shall be redetermined every four months by the local mental health director. At any time that the number of eligible patients receiving special program services drops below 27, total program reimbursement shall be terminated unless otherwise agreed to by the Department.
(2) An approved facility plan.
(A) To participate in this program, a facility shall submit to the Department's headquarters review and approval team for approval an application and a facility plan which meets all the requirements of Section 73417 (c).
(B) When the Department through the headquarters review and approval team determines that the facility plan meets the specified needs of the patient population, it shall provide its written approval of the plan to the facility.
(C) Where the headquarters review and approval team disapproves a facility plan, it shall submit a written report to the facility which specifies components of the plan which need to be improved or corrected. The facility may submit a revised facility plan and a new application to the headquarters review and approval team at any time.
(3) Within 45 days after written approval of the facility by the headquarters review and approval team an on-site visit by the Department to evaluate the appropriateness of the implementation of the facility plan. Upon the recommendation of the on-site visit team, the Department shall certify the facility's Special Rehabilitation Program Services--Mentally Disordered. Eligibility for Medi-Cal reimbursement shall commence on the first day that the on-site visit team determined that full implementation of the approved plan actually occurred; provided, however, that the first day of payment shall not be prior to the actual date of written approval of the plan.
(4) Executed an approved Medi-Cal provider participation agreement.
(5) Maintained compliance with the approved facility plan. Failure to comply with special program requirements of the plan shall cause the termination of eligibility for reimbursement for special program services, unless otherwise excused in writing by the Department.
(c) The following requirements shall be met if the facility is to receive approval for providing special rehabilitation program services to mentally disordered individuals with identified program needs.
(1) A facility plan for providing special rehabilitation program services shall be developed and submitted to the Department for approval initially and annually thereafter. The facility plan shall include:
(A) A description of the population group to be served.
(B) Names and number of patients to be served.
(C) An identification of special patient needs and grouping criteria.
(D) A description of the program design to meet the identified patient's needs.
(E) A description of the method and frequency of evaluating patient progress.
(F) Facility program staffing pattern which includes:
1. An organization chart for special program services staff.
2. A description of staffing ratios for program staff.
3. A description of interdisciplinary professional staff by discipline and hours provided per week.
(G) A description of program space provisions.
(H) Description of equipment utilized for program services.
(I) A plan for use of community resources.
(J) Sample patient program days.
(K) In-service training program in effect or planned.
(L) Provisions for accomplishing the following:
1. The facility in conjunction with the local mental health director shall make an initial individual assessment on each patient from which to identify the current level of functioning and program needs of its patients. The assessment shall be standardized on forms approved by the Department.
2. At least every four months, the facility in conjunction with the local mental health director shall make a written reassessment of each patient's program needs to evaluate patient progress and reassess program needs.
3. A minimum average of 27 hours of direct group or individual program service for each patient per week.
4. The facility shall have the capability of providing all of the following special rehabilitation program services. Actual programs shall be provided based on the specific needs identified through the patient assessments.
a. Self-Help Skills Training. This shall include but not be limited to:
(i) Personal care--use of medications
(ii) Money management
(iii) Use of public transportation
(iv) Use of community resources
(v) Behavior control, impulse control
(vi) Frustration tolerance
(vii) Mental health education
(viii) Physical fitness
b. Behavioral Intervention Training. This shall include but not be limited to:
(i) Behavior modification modalities
(ii) Remotivation therapy
(iii) Patient government activities
(iv) Group counseling
(v) Individual counseling
c. Interpersonal Relationships. This shall include but not be limited to:
(i) Social counseling
(ii) Educational and recreational therapy
(iii) Socialization activities such as outings, dances, etc.
d. Prevocational Preparation Services. This shall include but not be limited to:
(i) Homemaking
(ii) Work activity
(iii) Vocational counseling
e. Prerelease Planning.
(i) Out-of-home placement
HISTORY

1. Amendment of subsections (b) and (c) filed 8-19-76 as an emergency; effective upon filing (Register 76, No. 34).
2. Certificate of Compliance filed 12-15-76 (Register 76, No. 51).
§73419. Special Rehabilitation Program Services--Staffing.

(a) At the time of program approval, the facility shall have employed a program director who has been approved by the Department. The program director shall be on duty at least 40 hours per week and shall have the responsibility for the supervision and coordination of the special program staff and implementation of the in-service training program. The program director shall not be the supervisor of health services, charge nurse or facility administrator.
(b) The program director shall be either a social worker, an occupational therapist, a psychologist, a physician, a psychiatric technician, a registered nurse, an art therapist, a dance therapist, a music therapist or a member of another profession approved by the Department. The program director shall have the following minimum qualifications:
(1) At least two years' experience or training in a mental health setting, and
(2) At least one year of experience or training in program development for the mentally disordered.
(c) Interdisciplinary Professional Staff. In addition to the requirement for a program director, the facility shall provide, either through direct employment or on a contractual arrangement, an interdisciplinary professional staff to develop and implement special rehabilitation programs and to provide specific expertise to the program staff and/or provide direct patient services.
(1) The interdisciplinary professional staff shall be composed of at least two of the following disciplines:
(A) Psychologist.
(B) Social worker.
(C) Occupational therapist.
(D) Recreation therapist.
(E) Art therapist.
(F) Dance therapist.
(G) Music therapist.
(H) Any other related discipline approved by the Department.
(2) The interdisciplinary professional staff shall have a minimum of one year of experience or training in a mental health setting.
(3) A facility which implements a rehabilitation program shall provide interdisciplinary professional staff in accordance with the following schedule:
(A) For facilities having an average of 49 or fewer certified patients per week, 24 hours per week of professional staff time are required.
(B) For facilities having an average of between 50-69 certified patients per week, 32 hours per week of professional staff time are required.
(C) For facilities having an average of between 70-99 certified patients per week, 48 hours per week of professional staff time are required.
(D) For facilities having an average of more than 100 certified patients per week, 72 hours per week of professional staff time are required.
(d) Program Staff. The facility shall provide a minimum of one hour of direct program staff for each six patient hours of special program services provided. Program staff shall include all persons who directly provide program services to the mentally disordered and shall not include the program director.
§73421. Special Rehabilitation Program Services--In-Service Training.
History

(a) The facility shall ensure that all new staff providing program services shall receive at least 20 hours of orientation and training within 60 days of employment. Initial training shall include, but not be limited to the following:
(1) Orientation to special needs of the mentally disordered.
(2) Orientation to overall concepts of programs to meet the special needs of the mentally disordered.
(3) Orientation and training in specific program techniques being used in the facility to meet the identified program needs of the patients.
(b) The facility shall provide all program staff an average of at least one hour per week of ongoing planned academic and on-the-job in-service training. The training shall include, but not be limited to the following:
(1) Specific program techniques for the mentally disordered.
(2) Setting behavioral program objectives for patients.
(3) Evaluation and assessment procedures and criteria.
(4) Noting and documenting patient progress in the program.
(c) The facility shall maintain a record of in-service training. This record shall include names of staff receiving training, number of hours, date and subjects covered in training.
HISTORY

1. Amendment filed 8-19-76 as an emergency; effective upon filing (Register 76, No. 34).
2. Certificate of Compliance filed 12-15-76 (Register 76, No. 51).
§73423. Special Rehabilitation Program Services--Patient Health Records.

(a) The facility shall insure that every patient receiving special program services shall have an individual record which includes all of the following:
(1) A list of the patient's problems or needs, as identified from the individual assessment.
(2) The behavioral objectives for resolving problems or meeting needs of the patient. These objectives shall be measurable, observable, within time frames and subject to frequent review and updating.
(3) A statement of the plan for how the behavioral objectives will be met. The statement shall include, but not be limited to all of the following:
(A) Resources to be used.
(B) Frequency of plan review and updating.
(C) Persons responsible for carrying out plans.
(4) The progress notes written by all members of the staff providing program services to the patient. The notes shall be:
(A) Specific to the needs or problems of the patients.
(B) Specific to the patient's program objectives and plans.
(5) A summary of the progress of the patient in the program, the appropriateness of program objectives, the success or failure of the plan and any other pertinent information regarding the patient's program shall be available at the time of the patient's reassessment.
§73425. Special Subacute Psychiatric Program Services--Mentally Disordered.
History

(a) Mentally disordered subacute psychiatric programs are designed to serve patients who have a chronic psychiatric impairment and whose adaptive functioning is severely impaired. These patients require continuous and intensive supervision and can be expected to benefit from an active subacute psychiatric program effort designed to improve their adaptive functioning to the point of entry into a rehabilitation program. A facility may, but is not required to, provide special subacute psychiatric program services. If the facility meets all of the requirements of this section, it shall be entitled to a supplemental special program rate under the Medi-Cal program (Title 22, California Administrative Code, Section 51335 (k)). Such special program services are those therapeutic services provided to mentally disordered persons having special needs or deficits in one or more of the following general areas: Self-Help Skills, Behavior Adjustment, Interpersonal Relationships, Prevocational Preparation and Prerelease Planning.
(b) To be approved by the Department to furnish such special subacute psychiatric programs to the mentally disordered, a facility shall have:
(1) A minimum initially of 30 patients in the facility who have been certified by the local mental health director as eligible for special subacute psychiatric program services. Eligibility for special subacute psychiatric services shall be redetermined every 30 days by the local mental health director. Patient eligibility for the special subacute psychiatric program shall be limited to a maximum of 90 days. The Department may authorize exceptions to this provision in writing to the local mental health director on an individual patient basis. At any time that the number of eligible patients receiving special program services drops below 27, total program reimbursement shall be terminated unless otherwise agreed to by the Department.
(2) An approved facility plan.
(A) To participate in this program, a facility shall submit to the Department's headquarters review and approval team for approval, an application and a facility plan which meets all the requirements of Section 73425 (c).
(B) When the Department through the headquarters review and approval team determines that the facility plan meets the specified needs of the patient population, it shall provide its written approval of the plan to the facility.
(C) Where the headquarters review and approval team disapproves a facility plan, it shall submit a written report to the facility which specifies components of the plan which need to be improved or corrected. The facility may submit a revised facility plan and a new application to the headquarters review and approval team at any time.
(3) Within 45 days after written approval of the facility plan, by the headquarters review and approval team an on-site visit by the Department to evaluate the appropriateness of the implementation of the facility plan. Upon the recommendation of the on-site visit team, the Department shall certify the facility's Special Subacute Psychiatric Program Services--Mentally Disordered. Eligibility for Medi-Cal reimbursement shall commence on the first day that the on-site visit team determined that full implementation of the approved plan actually occurred; provided, however, that the first day of payment shall not be prior to the actual date of written approval of the plan.
(4) Executed an approved Medi-Cal provider participation agreement.
(5) Maintained compliance with the approved facility plan. Failure to comply with special program requirements of the plan shall cause the termination of eligibility for reimbursement for special program services, unless otherwise excused in writing by the Department.
(c) The following requirements shall be met if the facility is to receive approval for providing special subacute program services to mentally disordered individuals with identified program needs.
(1) A facility plan for providing special subacute psychiatric program services shall be developed and submitted to the Department for approval initially and annually thereafter. The facility plan shall include:
(A) A description of the population group to be served.
(B) Names and number of patients to be served.
(C) An identification of special patient needs and grouping criteria.
(D) A description of the program design to meet the identified patient's needs.
(E) A description of the method and frequency of evaluating patient progress.
(F) Facility program staffing pattern which includes:
1. An organization chart for special program services staff.
2. A description of staffing ratios for program staff.
3. A description of interdisciplinary professional staff by discipline and hours provided per week.
(G) A description of program space provisions.
(H) Description of equipment utilized for program services.
(I) A plan for use of community resources.
(J) Sample patient program days.
(K) In-service training program in effect or planned.
(L) Provisions for accomplishing the following:
1. The facility in conjunction with the local mental health director shall make an initial individual assessment on each patient from which to identify the current level of functioning and program needs of its patients. The assessment shall be standardized on forms approved by the Department.
2. At least every 30 days, the facility in conjunction with the local mental health director shall make a written reassessment of each patient's program needs to evaluate patient progress and reassess program needs.
3. A minimum average of 30 hours of direct group or individual program service for each patient per week.
4. The facility shall have the capability of providing all of the following subacute psychiatric program services. Actual programs shall be provided based on the specific needs identified through the patient assessments.
a. Self-Help Skills Training. This shall include but not be limited to:
(i) Personal care--use of medications
(ii) Money management
(iii) Use of public transportation
(iv) Use of community resources
(v) Behavior control, impulse control
(vi) Frustration tolerance
(vii) Mental health education
(viii) Physical fitness
b. Behavioral Intervention Training. This shall include but not be limited to:
(i) Behavior modification modalities
(ii) Remotivation therapy
(iii) Patient government activities
(iv) Group counseling
(v) Individual counseling
c. Interpersonal Relationships. This shall include but not be limited to:
(i) Social counseling
(ii) Educational and recreational therapy
(iii) Socialization activities such as outings, dances, parties, etc.
d. Prevocational Preparation Services. This shall include but not be limited to:
(i) Homemaking
(ii) Work activity
(iii) Vocational counseling
e. Prerelease Planning.
(i) Out-of-home placement
HISTORY

1. Amendment of subsections (b) and (c) filed 8-19-76 as an emergency; effective upon filing (Register 76, No. 34).
2. Certificate of Compliance filed 12-15-76 (Register 76, No. 51).
§73427. Special Subacute Psychiatric Program Services--Staffing.

(a) At the time of program approval, the facility shall have employed a program director who has been approved by the Department. The program director shall be on duty at least 40 hours per week and shall have the responsibility for the supervision and coordination of the special program staff and implementation of the in-service training program. The program director shall not be the supervisor of health services, charge nurse or facility administrator.
(b) The program director shall be either a social worker, an occupational therapist, a psychologist, a physician, a psychiatric technician, a registered nurse, an art therapist, a dance therapist, a music therapist, a recreation therapist or a member of another profession approved by the Department. The program director shall have the following minimum qualifications:
(1) At least two years' experience or training in a mental health setting, and
(2) At least one year of experience or training in program development for the mentally disordered.
(c) Interdisciplinary Professional Staff. In addition to the requirement for a program director, the facility shall provide, either through direct employment or on a contractual arrangement, an interdisciplinary professional staff to develop and implement special rehabilitation programs and to provide specific expertise to the program staff and/or provide direct patient services.
(1) The interdisciplinary professional staff shall be composed of at least two of the following disciplines:
(A) Psychologist
(B) Social worker
(C) Occupational therapist
(D) Recreation therapist
(E) Art therapist
(F) Music therapist
(G) Dance therapist
(H) Any other related discipline approved by the Department.
(2) Each member of the interdisciplinary professional staff shall have a minimum of one year of experience or training in a mental health setting.
(3) A facility which implements a subacute psychiatric program shall provide interdisciplinary professional staff in accordance with the following schedule:
(A) For facilities having an average of 49 or fewer certified patients per week, 48 hours per week of interdisciplinary professional staff time are required.
(B) For facilities having an average of between 50-69 certified patients per week, 64 hours per week of professional staff time are required.
(C) For facilities having an average of between 70-99 certified patients per week, 96 hours per week of professional staff time are required.
(D) For facilities having an average of more than 100 certified patients per week, 144 hours per week of professional staff time are required.
(d) Program Staff. The facility shall provide a minimum of one hour of direct program staff for each six patient hours of special subacute program services provided. Program staff shall include all persons who directly provide program services to the mentally disordered and shall not include the program director.
§73429. Special Subacute Psychiatric Program Services--In-Service Training.
History

(a) The facility shall ensure that all new staff providing program services shall receive at least 20 hours of orientation and training within 60 days of employment. Initial training shall include, but not be limited to the following:
(1) Orientation to special needs of the mentally disordered.
(2) Orientation to overall concepts of programs to meet the special needs of the mentally disordered.
(3) Orientation and training in specific program techniques being used in the facility to meet the identified program needs of the patients.
(b) The facility shall provide all program staff an average of at least one hour per week of ongoing planned academic and on-the-job in-service training. The training shall include but not be limited to the following:
(1) Specific program techniques for the mentally disordered.
(2) Setting behavioral program objectives for patients.
(3) Evaluation and assessment procedures and criteria.
(4) Noting and documenting patient progress in the program.
(c) The facility shall maintain a record of in-service training, number of hours, date and subjects covered in training.
HISTORY

1. Amendment filed 8-19-76 as an emergency; effective upon filing (Register 76, No. 34).
2. Certificate of Compliance filed 12-15-76 (Register 76, No. 51).
§73431. Special Subacute Psychiatric Program Services--Patient Health Records.

(a) The facility shall insure that every patient receiving special program services shall have an individual record which includes all of the following:
(1) A list of the patient's problems or needs, as identified from the individual assessment.
(2) The behavioral objectives for resolving problems or meeting needs of the patient. These objectives shall be measurable, observable, within time frames and subject to frequent review and updating.
(3) A statement of the plan for how the behavioral objectives will be met. The statement shall include, but not be limited to all of the following:
(A) Resources to be used.
(B) Frequency of plan review and updating.
(C) Persons responsible for carrying out plans.
(4) The progress notes written by all members of the staff providing program services to the patient. The notes shall be:
(A) Specific to the needs or problems of the patients.
(B) Specific to the patient's program objectives and plans.
(5) A summary of the progress of the patient in the program, the appropriateness of program objectives, the success or failure of the plan and any other pertinent information regarding the patient's program shall be available at the time of the patient's reassessment.
§73433. Special Program Requirements--  Developmentally Disabled.
History

(a) A facility may, but is not required to, provide special program services to the developmentally disabled. If a facility meets all of the requirements of this section, it shall be entitled to a supplemental program rate under the Medi-Cal program (Title 22, California Administrative Code, Section 51335(j)) or by a regional center for the developmentally disabled (Title 17, California Administrative Code, Section 50125(c)). Such special program services are those therapeutic services provided to developmentally disabled persons having specifically identified needs in one or more of the following general areas:
(1) Sensory-motor development
(2) Self-help skills
(3) Behavior adjustment
(4) Rehabilitation
(5) Sensory development for the sensory deprived
(b) To be approved by the Department to furnish such special program services to the developmentally disabled, a facility shall have:
(1) A minimum initially of 25 patients in the facility who have been certified by the regional center director in the region in which the facility is located, as eligible for special program services. Eligibility for special program services shall be redetermined every six months by the regional center director. At any time that the number of eligible patients receiving special program services drops below 23, total program reimbursement shall be terminated, unless otherwise agreed to by the Department.
(2) An approved facility plan.
(A) To participate in the program, a facility shall submit to the Department's headquarters review and approval team for approval, an application and a facility plan which meets all the requirements of Section 73433(c).
(B) When the Department through the headquarters review and approval team determines that the facility plan meets the specified needs of the patient population, it shall provide its written approval of the plan to the facility.
(C) Where the headquarters review and approval team disapproves a facility plan, it shall submit a written report to the facility which specifies components of the plan which need to be improved or corrected. The facility may submit a revised facility plan and a new application to the headquarters review and approval team at any time.
(3) Within 45 days after written approval of the facility plan, by the headquarters review and approval team, an on-site visit by the Department to evaluate the appropriateness of the implementation of the facility plan. Upon the recommendation of the on-site visit team, the Department shall certify the facility's Special Program Requirements--Developmentally Disabled. Eligibility for Medi-Cal reimbursement shall commence on the first day that the on-site visit team determined that full implementation of the approved plan actually occurred; provided, however, that the first day of payment shall not be prior to the actual date of written approval of the plan.
(4) Executed an approved Medi-Cal provider participation agreement.
(5) Maintained compliance with the approved facility plan.
(A) Failure to comply with special program requirements of this plan shall cause the termination of eligibility for reimbursement for special program services unless otherwise excused in writing by the Department.
(c) The following requirements shall be met if the facility is to receive approval for providing special program services to developmentally disabled individuals with identified program needs.
(1) A facility plan for providing special program services shall be developed and submitted to the Department for approval initially and annually thereafter. The facility plan shall include:
(A) Names and number of eligible patients.
(B) A profile of the patient population.
(C) A summary of specifically identified patient needs and grouping criteria.
(D) Individualized descriptions of specific programs in effect or to be implemented.
(E) Sample patient program days.
(F) The facility program staffing pattern, including:
1. Organizational chart of program staff.
2. Staffing ratios of patients to program staff.
3. Interdisciplinary professional staff utilized or to be utilized by discipline and hours per week.
(G) Description of program space provisions.
(H) Description of equipment obtained or to be obtained for program use.
(I) In-service training program in effect or planned.
(J) Plan for utilization of community resources.
(K) Such other documentation as the Department may require.
(L) Provisions for accomplishing the following:
1. The facility in conjunction with the regional center shall make an initial individual assessment on each patient from which to identify the current level of functioning and program needs of its patients. The assessment shall be standardized on forms approved by the Department.
2. At least every six months the facility, in conjunction with the regional center, shall make a written reassessment of each patient's program needs to evaluate patient progress and reassess program needs.
3. The facility shall provide daily, seven days a week, a minimum average of five hours of direct group or individual program services for each patient.
4. The facility shall have the capability of providing all of the following special program services. Actual programs shall be provided based on the specific needs identified through the patient assessments.
a. A sensory motor development training program which shall include but not be limited to:
(i) Visual stimulation
(ii) Auditory stimulation
(iii) Tactile stimulation
(iv) Kinesthetic stimulation
(v) Physical therapy
(vi) Laterality and directionality training
(vii) Large and small muscle stimulation
(viii) Balance and postural training
(ix) Training in the developmental skills which precede ambulation
b. A self-help skills training program shall include an intensive habilitation program in the following specific areas:
(i) Bladder and bowel control
(ii) Dressing
(iii) Bathing
(iv) Feeding
(v) Grooming
c. A behavioral intervention program which shall include the elimination of maladaptive behaviors, both destructive and stereotypic through the use of behavior modification techniques, counseling, and other appropriate techniques. The program shall also focus on the introduction, shaping and strengthening of adaptive behaviors through the use of such techniques as positive reinforcement and token economics. Such programs may either be separate or integrated with other program activity throughout the program day.
d. A rehabilitation program which shall include educational and recreational therapy components as well as advanced socialization skills. Such a program shall place emphasis on advanced manipulative skills and on activities with a purely recreational intent. Included are speech therapy, cooking classes, art classes, traditional educational activities and socialization activities such as outings, dances and parties. The program may also include the development of workshops and/or activity centers for those patients capable of benefiting from them.
e. A sensory development program for the sensory deprived which shall include intensive training in the area of communication, mobility, and orientation, environmental and tactile awareness, self-care, and socialization skills for patients with sensory handicaps. The goal shall be to help each patient attain as high a level of independent functioning as can be achieved. (The program for each patient shall be individually prescribed by an interdisciplinary review team.) For the deaf, the program shall include a total communication approach, using both oral and manual language. For the blind, the program shall include mobility training orientation and environmental awareness.
HISTORY

1. Amendment filed 8-19-76 as an emergency; effective upon filing (Register 76, No. 34).
2. Certificate of Compliance filed 12-15-76 (Register 76, No. 51).
§73435. Special Program Requirements--Staffing.

(a) At the time of program approval, the facility shall have employed a program director who has been approved by the Department. The program director shall be on duty at least 40 hours per week. The program director shall have the responsibility for the supervision and coordination of the special program staff and implementation of the in-service training program. The program director shall not be the supervisor of health services, a charge nurse or the administrator of the facility.
(1) The program director shall be either a physician, a clinical or educational psychologist, a social worker, a special education teacher, a psychiatric technician, art therapist, dance therapist, music therapist or a member of another related profession approved by the Department.
(2) The program director shall have the following qualifications:
(A) At least two years of experience or training in the care of the developmentally disabled.
(B) At least one year of experience or training in program development for the developmentally disabled.
(b) In addition to the program director, the facility shall provide either through direct employment or on a contractual arrangement, an interdisciplinary professional staff to develop and implement special programs and to provide specific expertise to the program staff.
(1) The interdisciplinary professional staff shall be composed of at least one person from any three of the following disciplines:
(A) Clinical or educational psychologist.
(B) Recreation therapist.
(C) Occupational therapist.
(D) Physical therapist.
(E) Social worker.
(F) Speech pathologist.
(G) Special education teacher.
(H) Art therapist.
(I) Dance therapist.
(J) Music therapist.
(K) Any other related discipline approved by the Department.
(2) A facility with 49 or fewer eligible patients, which is approved to provide special program services, shall provide a minimum of 24 hours weekly of professional staff time.
(3) A facility with 50 to 69 eligible patients, which is approved to provide special program services, shall provide a minimum of 32 hours weekly of professional staff time.
(4) A facility with 70 to 99 eligible patients, which is approved to provide special program services, shall provide a minimum of 48 hours weekly of professional staff time.
(5) A facility with 100 or more eligible patients, which is approved to provide special program services, shall provide a minimum of 72 hours weekly of professional staff time.
(c) The facility shall provide a direct patient/staff program ratio of at least one staff member, with direct patient contact excluding the program director, for each five patients during all program hours.
§73437. Special Program Requirements--In-Service Training.
History

(a) The facility shall ensure that all new staff providing program services shall receive at least 20 hours of orientation and training within 60 days of employment. Initial training shall include, but not be limited to the following:
(1) Orientation to special needs of the developmentally disabled.
(2) Orientation to overall concepts of programs to meet the special needs of the developmentally disabled.
(3) Orientation and training in specific program techniques being used in the facility to meet the identified program needs of the patients.
(b) The facility shall provide all program staff an average of at least one hour per week of ongoing planned academic and on-the-job in-service training. The training shall include, but not be limited to the following:
(1) Specific program techniques for the developmentally disabled.
(2) Setting behavioral program objectives for patients.
(3) Evaluation and assessment procedures and criteria.
(4) Noting and documenting patient progress in the program.
(c) The facility shall maintain a record of in-service training. This record shall include names of staff receiving training, number of hours, date and subjects covered in training.
HISTORY

1. Amendment filed 8-19-76 as an emergency; effective upon filing (Register 76, No. 34).
2. Certificate of Compliance filed 12-15-76 (Register 76, No. 51).
§73439. Special Program Requirements--Patient Health Records.

(a) The facility shall assure that every patient receiving special program services shall have an individual record which includes all of the following:
(1) A list of the patients' problems or needs, as identified from the individual assessment.
(2) The behavioral objectives for resolving problems or meeting needs of the patient. These objectives shall be measurable, observable, within time frames and subject to frequent review and updating.
(3) A statement of the plans for how the behavioral objectives will be met. The plans shall include, but not be limited to, all of the following:
(A) Resources to be used
(B) Frequency of plan review and updating
(C) Persons responsible for carrying out plans
(4) Progress notes written by all members of the staff providing program services to the patient. The notes shall be:
(A) Specific to the needs or problems of the patients
(B) Specific to the patient's program objectives and plans.
(5) A summary of the progress of the patient in the project, appropriateness of program objectives, the success or failure of the plans, and any other pertinent information regarding the patient's program shall be available at the time of the patient's reassessment.
§73441. Application, Issuance, Expiration and Renewal.

(a) Any facility desiring approval for a special disability service or program, special rehabilitation program service for the mentally disordered, special subacute psychiatric program service for the mentally disordered or a special program service for the developmentally disabled, shall file with the Department an application on forms furnished by the Department.
(b) The Department shall list on the facility license each such program or service for which approval is granted.
(c) If the applicant is not in compliance with the laws and regulations, the Department shall deny the applicant approval and shall immediately notify the applicant in writing. Within 20 days of receipt of the Department's notice, the applicant may present his written petition for a hearing to the Department. The Department shall set the matter for hearing within 30 days after receipt of the petition in proper form. The proceedings shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(d) Each such program or service approval shall expire on the date of expiration of the facility's Provider Participation Agreement.
§73445. Optional Service Unit.

(a) Optional service unit means a functional unit of a intermediate care facility which is organized, staffed and equipped to provide a specific type or types of patient care. A facility is not required to operate an optional service unit.
(b) Only the following types of optional service units may be operated in an intermediate care facility: physical therapy, occupational therapy, speech pathology and/or audiology, social work services and rehabilitation services.
(c) If outpatient services are to be provided, the following conditions shall be met:
(1) Outpatient service units shall be located or constructed in a manner that will minimize noise, odors, hazards and unsightliness to the facility's inpatients.
(2) Outpatient access to optional service units shall not traverse a nursing unit.
(3) Separate toilets for men and women outpatients shall be provided.
(4) Drinking water facilities of a type approved by the Department shall be available for outpatients and personnel.
(5) Handwashing facilities with hot and cold water supply shall be provided in the optional service units accommodating outpatients.
(6) Waiting areas shall be provided with sufficient floor space to seat the maximum number of persons who are expected to be accommodated at any one time.
(d) Each optional service unit within the facility shall be approved by the Department. Any facility desiring approval for an optional service unit shall file with the Department an application on forms furnished by the Department.
(e) The Department shall list on the facility's license each optional service for which approval is granted.
(f) If the applicant is not in compliance with the laws and regulations, the Department shall deny the applicant approval and shall immediately notify the applicant in writing. Within 20 days of receipt of the Department's notice, the applicant may present his written petition for a hearing to the Department. The Department shall set the matter for hearing within 30 days after receipt of the petition in proper form. The proceedings shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(g) Each optional service approval shall expire on the date of expiration of the intermediate care facility license. A renewal of the approval may be issued for a period not to exceed two years if the holder of the approval has been found not to have been in violation of any statutory requirements, regulations or standards during the preceding approval period.
(h) No facility shall make or disseminate any statement or advertise by any means or hold out or represent by any means, that the facility has or operates any optional service unit unless said optional service unit meets all of the requirements of this article pertaining to said optional service unit and said optional service unit has been approved by the Department.
(i) All optional service units in existence on the effective date of implementation of this article shall comply with the provisions of the regulations governing the particular type of optional service unit within one year following the effective date thereof.
(j) A facility may offer and charge for physical therapy, occupational therapy, speech pathology and/or audiology, social work services and rehabilitation services, if such services are provided through arrangements with a person or an outside agency that will render direct service to patients or act as a consultant or employee, providing that the facility does not advertise or otherwise represent to the public that the facility has or operates an optional service unit for the particular type of service.
§73447. Optional Services--Revocation or Involuntary Suspension of Approval.

(a) Pursuant to provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Government Code, the Department may suspend or revoke the approval of an optional service issued under the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, upon any of the following grounds:
(1) Violation by the licensee of any provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or of the optional service regulations promulgated by the Department.
(2) Aiding, abetting or permitting the violation of any provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or of any optional service regulations promulgated by the Department.
(3) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the maintenance and operation of an optional service.
(b) The Director may temporarily suspend any optional service approval prior to any hearing when, in his opinion, such action is necessary to protect the public welfare.
(1) The Director shall notify the licensee of the temporary suspension and the effective date thereof and at the same time shall serve such licen--see with an accusation.
(2) Upon receipt of a notice of defense by the licensee, the Director shall set the matter for hearing within 30 days after receipt of such notice.
(3) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination.
(4) If the Director fails to make a final determination within 60 days after the original hearing has been completed, the temporary suspension shall be deemed vacated.
(5) If the provisions of Chapter 2 (commencing with Section 1250), Division 2, Health and Safety Code, or the optional service regulations promulgated by the Director are violated by a licensee which is a group, corporation or other association, the Director may suspend the approval of such organization or may suspend the approval as to any individual person within such organization who is responsible for such violation.
(c) The withdrawal of an application for approval shall not deprive the Department of its authority to institute or continue a proceeding against the applicant for the denial of the approval upon any ground provided by law or to enter an order denying the approval upon any such ground, unless the Department consents in writing to such withdrawal.
(d) The suspension, expiration or forfeiture of an approval issued by the Department shall not deprive the Department of its authority to institute or continue a proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking approval or otherwise taking disciplinary action against the licensee on any such ground.
(e) A licensee whose approval has been revoked or suspended may petition the Department for reinstatement or reduction of penalty after a period of not less than one year has elapsed from the effective date of the decision or from the date of the denial of a similar petition.
§73449. Social Work Service Unit.
Note     •     History

(a) Social work services are those services which assist staff, patients and patients' families to understand and cope with patient's personal, emotional and related health and environmental problems.
(b) A social work service unit shall meet the following requirements:
(1) The social worker, social work assistant or social work aide shall develop a plan, including goals and treatment, for social work services for each patient who needs them, with participation of the patient, the family, the patient's licensed healthcare practitioner acting within the scope of his or her professional licensure, the supervisor of health services and other appropriate staff.
(2) Each patient within five days after admission shall be interviewed and a social work assessment completed. When indicated, a social work treatment plan reviewed and approved by the social worker shall be carried out, as appropriate, by the social worker, social work assistant or social work aide.
(3) Signed and dated progress reports shall be written at least monthly in the health record of each patient receiving social services, by the social worker, social work assistant or social work aide.
(4) The social worker, social work assistant or social work aide shall participate in regular staff conferences with the attending licensed healthcare practitioner acting within the scope of his or her professional licensure, the director of nursing service and other appropriate personnel.
(5) There shall be discharge planning and implementation through liaison with local health and welfare agencies, other community personnel and the patient's family or authorized representative.
(6) Orientation and in-service training of other staff members on all shifts shall be conducted at least monthly by the social worker in charge of the social work service, to assist in the recognition and understanding of the emotional problems and social needs of patients and families and to learn how to implement appropriate action to meet such identified needs. Orientation and training shall include informing the staff about available community resources and services.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (b)(1) and (b)(4) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73451. Social Work Service Unit--Policies and Procedures.

(a) There shall be written patient care policies, procedures and job descriptions developed and maintained governing the provision of social service within the intermediate care facility, including all of the requirements of Section 73449, and the relating of these services to other patient care services. Such policies, procedures and job descriptions shall be developed whether provided by (1) an organized social service within the intermediate care facility or (2) a social worker employed on a part-time basis or (3) consultant services from a community agency.
(b) The policies, procedures and job description shall be developed by the social worker in consultation with the Patient Care Policy Committee.
§73453. Social Work Service Unit--Staff.

(a) There shall be a social work staff employed a sufficient number of hours in the facility to meet the social work needs of the patient.
(b) The social work service unit shall be organized, directed and supervised by the social worker, who has responsibility for supervision of other social work staff, including social work assistants and social work aides.
(c) Social work service staff may include the social work assistant and/or the social work aide. Assigned functions and tasks shall be supervised by the social worker. Under conditions specified in the written patient care policies, procedures and job descriptions, the social work aide may be under the supervision of the social work assistant.
(d) Adequate clerical support services shall be provided for social work staff, including those employed on a contractual basis.
§73455. Social Work Service Unit--Equipment and Supplies.

(a) Office equipment and supplies necessary for the social work service unit shall be available. These include, but are not limited to:
(1) Appropriate professional literature and references on subjects including psychosocial problems and needs of the patient population in the facility.
(2) Directories, listing and other reference materials on available community resources.
(3) Necessary clerical equipment and supplies.
§73457. Social Work Service Unit--Space.

Adequate office or other accessible space for privacy in interviewing, telephoning and conferences shall be provided.
§73459. Physical Therapy Service Unit.

(a) Physical therapy services are those services ordered by a physician or upon a physician's referral and provided to a patient by or under the supervision of a physical therapist to achieve and maintain the highest level of functional ability.
(b) Physical therapy services, include but are not limited to, the following:
(1) Assisting the physician in an evaluation of the patient's rehabilitation potential.
(2) Applying muscle, nerve, joint and functional ability tests.
(3) Treating patients to relieve pain, develop or restore function.
(4) Assisting patients to achieve and maintain maximum performance using physical means such as exercise, massage, heat, sound, water, light and electricity.
(c) A physical therapy service unit shall meet the following requirements:
(1) Evaluation by the physical therapist and a treatment program shall be established and modified as needed based upon subsequent reevaluations.
(2) Health records shall contain pertinent information on the patient and a procedure for obtaining signed medical orders.
(3) Notes indicating physical therapy services performed shall be entered into the patient's health record each day that the service is rendered and signed by the appropriate qualified person.
(4) Initial evaluation and discharge summary shall be written and signed by the physical therapist and posted on each patient's health record.
(5) Progress notes shall be written and signed at least weekly by the physical therapist.
(6) When hydrotherapy is offered, there shall be written cleaning and culturing techniques posted near the equipment.
(7) Personnel policies shall define the responsibilities of the physical therapy director and the duties assigned to the auxiliary personnel.
§73461. Physical Therapy Service Unit--Policies and Procedures.

There shall be written policies and procedures governing the physical therapy service unit, including all of the requirements of Section 73459 and the relating of these services to other patient care services. The patient care policy committee shall be responsible for the development and implementation of physical therapy policies, procedures and job descriptions, with the assistance of the physical therapist.
§73463. Physical Therapy Service Unit--Staff.

(a) The physical therapy service unit shall be under the direction of a physical therapist.
(b) A physical therapist assistant shall treat patients only under the supervision of a physical therapist in accordance with the Physical Therapy Practice Act, Article 4.5 (beginning with Section 2655) of the Business and Professions Code.
(c) A physical therapy aide shall work only under the direct supervision of a physical therapist.
(d) The physical therapist, physical therapist assistant and physical therapy aide shall work the hours necessary to accomplish those tasks listed in Section 73459.
§73465. Physical Therapy Service Unit--Equipment.

(a) Physical therapy equipment shall be sufficient to provide an adequate physical therapy service. This shall include, but not be limited to:
(1) Parallel bars
(2) Full view mirror
(3) Overhead pulley and weights
(4) Set of training stairs
(5) Treatment table enclosed by cubicle curtains for privacy
(6) Availability of wheelchairs, walkers, canes, crutches and other ambulation aids.
§73467. Physical Therapy Service Unit--Space.

(a) Adequate space shall be maintained for the necessary equipment needed to provide physical therapy service. The minimum floor area for physical therapy service shall be 28 square meters (300 square feet), no dimension of which shall be less than 3.7 meters (12 feet).
(b) A sink shall be provided in the treatment area and shall have controls other than hand controls.
(c) The toilet facilities shall be located nearby and equipped with grab bars on both sides of the commode and the space shall be of sufficient size to allow for patient transfer activities.
§73469. Occupational Therapy Service Unit.
Note     •     History

(a) Occupational therapy is a service ordered by the licensed healthcare practitioner acting within the scope of his or her professional licensure, in which selected purposeful activity is used as treatment in the rehabilitation of persons with a physical or emotional disability.
(b) Occupational therapy service includes:
(1) Assisting the licensed healthcare practitioner acting within the scope of his or her professional licensure in his or her evaluation of a patient's level of function by applying diagnostic and prognostic tests.
(2) Reevaluating the patient as his condition changes and modifying treatment goals consistent with these changes.
(3) Decreasing or eliminating disability during a patient's initial phase of recovery following injury or illness.
(4) Increasing or maintaining a patient's capability for independence.
(5) Enhancing a patient's physical, emotional and social well-being.
(6) Developing function to a maximum level so that early testing can be applied for future job training and employment.
(7) Guiding patients in their use of therapeutic, creative and self-care activities for improving function.
(c) An occupational therapy service unit shall meet the following requirements:
(1) Health records shall contain pertinent information on the patient and procedures for obtaining signed medical orders.
(2) Notes shall indicate procedures performed and be signed by the occupational therapist.
(3) Initial evaluation, treatment plan and discharge summary shall be written and posted in each patient's health record.
(4) Progress notes shall be written and signed on each visit by the occupational therapist.
(5) Personnel policies shall define the occupational therapy director's responsibilities and the duties assigned to the occupational therapy assistant.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (a), (b)(1) and (b)(3) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73471. Occupational Therapy Service Unit--Policies and Procedures.

There shall be written policies and procedures governing the occupational therapy service unit, including all of the requirements of Section 73469 and the relating of these services to other patient care services. The patient care policy committee shall be responsible for the development and implementation of occupational therapy policies, procedures, and job descriptions, with the assistance of the occupational therapist.
§73473. Occupational Therapy Service Unit--Staff.

(a) The occupational therapy service unit shall be under the direction of an occupational therapist.
(b) An occupational therapy assistant shall work only under direct supervision of an occupational therapist.
(c) The occupational therapist and occupational therapy assistant shall work the hours necessary to accomplish those tasks listed in Section 73469.
§73475. Occupational Therapy Service Unit--Equipment.

(a) Equipment necessary to enable patients to increase their functional capacity or capability shall be provided. This shall include, but not be limited to:
(1) Supportive slings, supportive and/or assistive hand splints and the materials from which to fabricate these and other assistive devices.
(2) Adapted devices to aid in the performance of daily living skills such as eating, dressing, grooming, writing, with instruction for their use.
(3) Equipment and supplies for creative skills to include but not be limited to leatherwork, weaving, needlework, ceramics, woodworking, painting and graphic arts.
(4) Means and supplies for adapting equipment for reeducation in activities of daily living.
§73477. Occupational Therapy Service Unit--Space.

Adequate space shall be provided for the necessary equipment needed to provide occupational therapy. The minimum floor area shall be 28 square meters (300 square feet), no dimension of which shall be less than 3.7 meters (12 feet).
§73479. Speech Pathology and/or Audiology Service Unit.
Note     •     History

(a) Speech pathology and/or audiology services are services referred by a licensed healthcare practitioner acting within the scope of his or her professional licensure or certification for the provision of diagnostic screening, preventive and corrective therapy for individuals with speech, hearing and/or language disorders.
(b) Speech pathology and/or audiology services include:
(1) Evaluation of patients to determine the type of speech, language and/or hearing disorder.
(2) Determination and recommendation of the appropriate speech, language and hearing therapy.
(3) Instruction of other health team personnel and family members in methods of assisting the patient to improve and/or correct speech or hearing disorders.
(c) A speech pathology and/or audiology service unit shall meet the following requirements:
(1) Health records shall include all pertinent information of patient history and background and a signed order for the service.
(2) Progress notes, including the patient's reaction to treatment and any change in condition, shall be written at least monthly and be signed by the speech pathologist and/or audiologist.
(3) Personnel policies shall define the duties of the speech pathology and audiology director and allied personnel in the speech and audiology service unit.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (c)(1) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73481. Speech Pathology and/or Audiology Service Unit--Policies and Procedures.

There shall be written policies and procedures governing the speech pathology and audiology service unit, including all of the requirements of Section 73479, and the relating of these services to other patient care services. The patient care policy committee shall be responsible for the development and implementation of policies, procedures and job descriptions in conjunction with the speech pathologist and/or audiologist.
§73483. Speech Pathology and/or Audiology Service Unit--Staff.

(a) There shall be a speech pathologist and/or audiologist employed a sufficient number of hours to accomplish those tasks listed in Section 73479.
(b) There may be at least one speech pathology and/or audiology aide to assist in the testing and implementation of the service. The aides shall be registered as speech pathology and/or audiology aides with the Board of Medical Examiners and shall work only under the supervision of a speech pathologist and/or audiologist.
§73485. Speech Pathology and/or Audiology Service Unit--Equipment.

(a) There shall be sufficient equipment, tests, materials and supplies to implement the treatment and program required by each patient seen by the speech pathologist and/or audiologist.
(b) The following equipment shall be provided:
(1) An appropriate diagnostic clinical audiometer.
(2) Diagnostic tests and materials.
(3) Other equipment and materials deemed necessary by the speech pathologist and/or audiologist to meet the needs of patients being seen.
§73487. Speech Pathology and/or Audiology Service Unit--Space.

Space shall be adequately free of ambient noise to produce valid test results.
§73489. Rehabilitation Service Unit.
Note     •     History

(a) Rehabilitation service is a service ordered by a licensed healthcare practitioner acting within the scope of his or her professional licensure for the purpose of maximum reduction of physical and/or psychological disability and restoration of the patient to the highest possible functional level.
(b) A rehabilitation service unit shall include all of the following services:
(1) Physical Therapy.
(2) Occupational Therapy.
(3) Speech Pathology and/or Audiology.
(4) Social Work Services.
(5) Rehabilitation Nursing Services.
(c) A rehabilitation service unit shall meet the following requirements:
(1) Health records shall contain pertinent information of the patient's history and background and shall contain signed orders for the services needed.
(2) Daily notes shall indicate procedures performed and be signed by the appropriate discipline member.
(3) Initial evaluation, treatment plan and discharge summary shall be written and posted on each record.
(4) Progress notes shall be written and signed on each visit by the appropriate discipline member.
(5) Personnel policies shall define the duties of the director of rehabilitation service and auxiliary personnel.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (c)(1) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73491. Rehabilitation Service Unit--Policies and Procedures.

There shall be written policies and procedures governing the rehabilitation service unit, including all of the requirements of Section 73489 and the relating of these services to other patient care services. The patient care policy committee shall be responsible for the development and implementation of the rehabilitation service policies, procedures and job descriptions with the assistance of the director of the rehabilitation services unit, the registered nurse, the physical therapist, the occupational therapist, the speech pathologist and/or audiologist and the social worker.
§73493. Rehabilitation Service Unit--Staff.

(a) The director of the rehabilitation service unit shall be a physician, physical therapist or occupational therapist who has at least three years of active practice in rehabilitation.
(b) Physical therapy shall meet all the standards set forth in Section 73463.
(c) Occupational therapy shall meet all the standards set forth in Section 73473.
(d) Speech pathology and audiology shall meet all the standards set forth in Section 73483.
(e) Social work services shall meet all the standards set forth in Section 73453.
(f) Rehabilitation nursing shall include at least a full-time (40 hours per week) registered nurse, in addition to the director of nursing service of the facility, who has had two years of rehabilitative nursing practice or has completed a recognized program in rehabilitative nursing within the past five years.
(g) Additional personnel shall be employed to carry out the functions of the rehabilitation service.
§73495. Rehabilitation Service Unit--Equipment.

Equipment of the quality and in the quantity necessary for care of patients as ordered or indicated shall be provided to include but not limited to that which meets the standards set forth in Section 73455, Section 73465, Section 73475 and Section 73485.
§73497. Rehabilitation Service Unit--Space.

(a) There shall be sufficient space to meet all standards set forth in Section 73467, Section 73477, Section 73487 and Section 73457.
(b) There shall be toilet facilities equipped with grab bars and of sufficient size to accommodate wheelchair patients.
Article 4. Administration
§73501. Licensee--General Duties.

(a) The licensee shall be responsible for compliance with licensing requirements and for the organization, management, operation and control of the licensed facility.
(b) The licensee, if a licensed administrator, may act as the administrator or shall appoint a licensed administrator to carry out the policies of the licensee. A responsible adult shall be appointed, in writing, to carry out the policies of the licensee in the absence of the administrator. If the licensed administrator is to be absent for more than 30 consecutive days, the licensee shall appoint another licensed administrator to carry out the day-to-day functions of the intermediate care facility.
(c) The licensee shall delegate to the designated licensed administrator in writing authority to organize and carry out the day-to-day functions of the intermediate care facility through appropriate delegation of duties.
(d) Except where provided for in approved continuing care agreements, no intermediate care facility, owner, administrator, employee or representative thereof shall act as guardian, or conservator of the patient or the estate or both of such intermediate care facility.
(e) The licensee shall employ an adequate number of qualified personnel to carry out all the functions of the facility and shall provide for initial orientation of all new employees, a continuing in-service training program and competent supervision.
(f) If language or communication barriers exist between intermediate care facility staff and a significant number of patients, arrangements shall be made for interpreters or for the use of other mechanisms to insure adequate communication between patients and personnel.
§73502. Consumer Information to Be Posted.
Note     •     History

(a) The following consumer information shall be conspicuously posted in a prominent location accessible to public view:
(1) Name, license number and date of employment of the current facility's administrator.
(2) A listing of all services and special programs provided in the facility and those provided through written contracts.
(3) A notice that the facility's written admission and discharge policies are available upon request.
(4) Most recent licensing visit report supported by the related follow-up plan of correction visit reports.
(5) The names and addresses of all previous owners.
(6) A listing of all other skilled nursing and intermediate care facilities owned by the same person, firm, partnership, association, corporation or parent or subsidiary corporation, or a subsidiary of the parent corporation.
(7) Any revocation and/or suspension actions instituted against the facility during the current or prior licensing period.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§73503. Transfer Agreements.

The licensee shall maintain, where appropriate, written transfer agreements with other nearby health facilities to make the services of the other facilities more readily accessible and to facilitate the easy transfer of patients and essential patient information along with the patient.
§73504. Bed Hold.
Note     •     History

(a) If a patient of an intermediate care facility is transferred to a general acute care hospital as defined in Section 1250(a) of the Health and Safety Code, the intermediate care facility shall afford the patient a bed hold of seven (7) days, which may be exercised by the patient or the patient's representative.
(1) Upon transfer to a general acute care hospital, the patient or the patient's representative shall notify the intermediate care facility within twenty-four (24) hours after being informed of the right to have the bed held, if the patient desires the bed hold.
(2) Except as provided in Section 51535.1, Title 22, California Administrative Code, any patient who exercises the bed hold option shall be liable to pay reasonable charges, not to exceed the patient's daily rate for care in the facility, for bed hold days.
(3) If the patient's attending physician notifies the intermediate care facility in writing that the patient's stay in the general acute care hospital is expected to exceed seven (7) days, the intermediate care facility shall not be required to maintain the bed hold.
(b) Upon admission of the patient to the intermediate care facility and upon transfer of the patient of an intermediate care facility to a general acute care hospital, the intermediate care facility shall inform the patient, or the patient's representative, in writing of the right to exercise this bed hold provision. No later than June 1, 1985, every intermediate care facility shall inform each current patient or patient's representative in writing of the right to exercise the bed hold provision. Each notice shall include information that a non-Medi-Cal eligible patient will be liable for the cost of the bed hold days, and that insurance may or may not cover such costs.
(c) A licensee who fails to meet these requirements shall offer to the patient the next available bed appropriate for the patient's needs. This requirement shall be in addition to any other remedies provided by law.
NOTE

Authority cited: Sections 213(a), 1275 and 1276, Health and Safety Code. Reference: Sections 1275 and1276, Health and Safety Code.
HISTORY

1. New section filed 12-17-84 as an emergency; effective upon filing (Register 85, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-16-85.
2. Certificate of Compliance including amendment of subsection (b) transmitted to OAL 4-11-85 and filed 5-15-85 (Register 85, No. 21).
§73505. Affiliations.

Copies of affiliation agreements, contract or written arrangements for advice, consultation, services, training or transportation, with other facilities, organizations or individuals, public or private agencies, shall be on file in the facility's administrative office. These shall be readily available for inspection and review by the Department. The agreement and/or contracts shall include, but not be limited to, the description of the services to be provided, the financial arrangements, the methods by which the services are to be provided to the particular patient, the conditions upon which the agreement or contract can be terminated.
§73507. Fire Safety.

The licensee shall conform to the regulations adopted by the State Fire Marshal establishing minimum standards for the prevention of fire and for the protection of life and property against fire and panic. A copy of the State Fire Marshal's current fire clearance shall be on the premises.
§73509. Smoking.

(a) Patients shall not be permitted to smoke in bed except under observation.
(b) Patients shall be permitted to smoke only in areas so designated. Such areas shall be under periodic observation when patients are smoking.
(c) Smoking or open flame is prohibited in all rooms or spaces where oxygen is being administered or stored.
(d) No smoking signs shall be prominently posted in any room where oxygen cylinders are in use or stored.
§73511. Administrator.

(a) Each intermediate care facility shall employ or otherwise provide a licensed administrator to carry out the policies of the licensee. Such administrator shall not be responsible for the administration and management of more than one intermediate care facility unless other intermediate care facilities for which he is responsible are operated by the same governing body, are in the same vicinity and within reasonable travel time. If an administrator is responsible for more than one facility, he shall not be responsible for more than three facilities or more than 200 beds total and shall designate an individual in each facility to be responsible for carrying out the policies of the licensee.
(b) The administrator shall have sufficient freedom from other responsibilities and shall be on the premises of the intermediate care facility a sufficient number of hours to permit adequate attention to the management and administration of the facility. The Department may require that the administrator spend additional hours in the facility whenever the Department determines through a written evaluation that such additional hours are needed to provide adequate administrative management.
(c) A copy of the current intermediate care facility regulations contained in this chapter shall be maintained by the administrator and shall be available to all personnel.
(d) The administrator shall be responsible for informing appropriate staff of applicable additions, deletions and changes to intermediate care facility regulations.
(e) The administrator shall be responsible for informing the Department, via telephone, immediately upon being notified of the intent of the discontinuance or disruption of services or upon the threat of a walkout of a substantial number of employees, or earthquake, fire, power outage, or other calamity that causes damage to the facility or threatens the safety or welfare of patients or clients.
§73513. Advertising.

(a) No intermediate care facility shall make or disseminate false or misleading statements or advertise by any other manner or means, false claims regarding facilities or services provided.
(b) No intermediate care facility shall use the words “Approved by the California Department of Health” or any other words conveying the same idea in any advertising material.
(c) The name or title “hospital” shall not be used by any intermediate care facility.
§73515. Inspection Reports.

The latest report of inspection by state or local health authorities shall be kept on file in the facility with notations made of the action taken to comply with any recommendations.
§73517. Admission of Patients
Note     •     History

(a) The licensee shall:
(1) Admit a patient only on orders of a licensed healthcare practitioner acting within the scope of his or her professional licensure.
(2) Accept and retain only those patients for whom it can provide adequate care.
(3) Admit each patient only after a preadmission personal interview according to the written policies of the facility, with the patient's licensed healthcare practitioner acting within the scope of his or her professional licensure, referring health practitioner, the patient, the patient's next of kin and/or sponsor, as appropriate. A telephone interview may be substituted when a personal interview is not feasible.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1315, 1316, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Amendment of subsections (a)(1) and (a)(3) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73518. Standard Admission Agreement.
Note     •     History

(a) The licensee shall use the California Standard Admission Agreement for Skilled Nursing and Intermediate Care Facilities, form number CDPH 327 (05/11), which is incorporated by reference herein, as the sole contract of admission between residents and the licensee.
(b) Except to enter information specific to the facility or the resident in blank spaces provided in the Standard Admission Agreement form or its attachments, the licensee shall not alter the Standard Admission Agreement, unless directed to do so by the Department. A licensee wishing to receive direction from the Department that would enable the licensee to alter the Standard Admission Agreement shall submit a request to the Department. The request shall: 
(1) Include the identity of the facility; 
(2) Identify the specific language in the Standard Admission Agreement that the facility is unable to employ; and/or, 
(3) Identify the specific location and language that is to be deleted, amended or appended to the form; and, 
(4) Contain substantiating evidence identifying the reason that the use of the Standard Admission Agreement without the requested modification would not be possible because of some unique aspect of the facility's operation or would make it highly likely that the use of the language will create a new cause of action against the facility related to its compliance with existing statutory or regulatory requirements governing the care provided to nursing facility residents. The Department shall respond within 60 days of the receipt of the request. 
(c) No resident or his or her legal representative shall be required to sign any other document at the time of, or as a condition of, admission to the licensee's facility, or as a condition of continued stay in the facility.
(d) The licensee shall not present any arbitration agreement to a prospective resident as a part of the Standard Admission Agreement. Any arbitration agreement shall be separate from the Standard Admission Agreement and shall contain the following advisory in a prominent place at the top of the proposed arbitration agreement, in bold-face font of not less than 12 point type: “Residents shall not be required to sign this arbitration agreement as a condition of admission to this facility, and cannot waive the ability to sue for violation of the Resident Bill of Rights.”
This section shall become operative six months after the date it is filed with the Secretary of State. 
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Sections 1276, 1430, 1599.60, 1599.61, 1599.64, 1599.81, 123222.1, 131050, 131051 and 131052, Health and Safety Code; and Parkside Special Care Center, Inc., et al. v. Sandra Shewry, Director of the Department of Health Services, et al., Superior Court of the State of California, County of San Diego, case number GIC: 860574.
HISTORY

1. New section filed 7-6-2005; operative 1-2-2006 (Register 2005, No. 27).
2. Amendment of subsections (a)-(b), new subsections (b)(1)-(4) and last paragraph and amendment of Note filed 9-29-2011; operative 9-29-2011 pursuant to Government Code section 11343.4(c); section operative 3-29-2012 per agency amendment (Register 2011, No. 39).
§73519. Administrative Policies and Procedures.
Note     •     History

(a)Written administrative policies shall be reviewed and revised at least annually and shall include the following:
(1) Written management and personnel policies to govern the administration of the intermediate care facility shall be established and implemented. Job descriptions detailing the functions of each classification of employee shall be written and available to all personnel. Facility policies shall adhere to the requirements of Sections 1316 and 1316.5 of the Health and Safety Code.
(2) All intermediate care facilities shall have written admission and discharge policies which shall include rate of charge for care, charges for extra services, limitation of services, cause for termination of services and refund policies applying to termination of services. These policies shall be made available to patients or their agents upon admission and upon request and shall be made available to the public upon request.
(b) The following types of patients shall not be admitted, nor cared for, in an intermediate care facility:
(1) Persons with a communicable disease.
(2) Mentally disturbed persons who require special services not available in the intermediate care facility.
(3) Mentally retarded persons requiring special services not available in the intermediate care facility.
(4) Persons requiring skilled nursing care and observation on a 24-hour basis.
(5) Those requiring daily care by the admitting licensed health care practitioner acting within the scope of his or her professional licensure.
(c) All patients shall have a tuberculosis screening procedure done upon admission. These procedures shall be determined by the patient care policy committee. Subsequent tuberculosis screening procedures shall be determined by attending physicians. A tuberculosis screening procedure may not be required if there is satisfactory written evidence available that a tuberculosis screening procedure has been completed within 90 days of the date of admission to the intermediate care facility.
(d) Nondiscrimination Policies. All intermediate care facilities shall state in their admission policies that all patients will be accepted for care and cared for without discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status, except:
Any bona fide nonprofit religious, fraternal or charitable organization which can demonstrate to the satisfaction of the Department that its primary or substantial purpose is not to evade this section may establish admission policies limiting or giving preference to its own members or adherents and such policies shall not be construed as a violation of the first paragraph of this subsection. Any admission of nonmembers or nonadherents shall be subject to the first paragraph of this subsection.
(e) Written policies and procedures governing patient health records shall be developed with the assistance of a person skilled in record maintenance and preservation. Health records shall be stored and systematically organized to facilitate retrieving of information.
(f) The patient care policy committee shall implement the provisions of the Health and Safety Code, Sections 1315, 1316 and 1316.5, by means of written policies and procedures.
(g) Only a licensed health care practitioner acting within the scope of his or her professional licensure shall assume overall care of patients.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 1315, 1316, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
2. Amendment of subsections (a)(1), (b)(5) and (f), repealer of subsections (f)(1), (f)(3) and (g)-(g)(2), redesignation and amendment of former subsection (f)(2) as subsection (g) and amendment of Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
3. Change without regulatory effect amending subsection (d) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§73521. Patient Care Policy Committee.
Note     •     History

Written patient care policies shall be established and followed in the care of patients governing the following services: physician, dental, nursing, dietetic, pharmaceutical and an activity program and such diagnostic, social, psychological and therapy services as may be provided. Such policies shall be developed by a committee whose membership shall consist of at least one physician, the administrator, the supervisor of health services and such other professional personnel as may be appropriate. These policies shall be reviewed and revised by the committee at least annually and minutes of the committee meetings shall be maintained on file indicating the names of members present, the subject matter discussed and action taken.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§73523. Patients' Rights.
Note     •     History

(a) Patients have the rights enumerated in this section and the facility shall ensure that these rights are not violated. The facility shall establish and implement written policies and procedures which include these rights and shall make a copy of these policies available to the patient and to any representative of the patient. The policies shall be accessible to the public upon request. Patients shall have the right:
(1) To be fully informed, as evidenced by the patient's written acknowledgment prior to or at the time of admission and during stay, of these rights and of all rules and regulations governing patient conduct.
(2) To be fully informed, prior to or at the time of admission and during stay, of services available in the facility and of related charges, including any charges for services not covered by the facilities' basic per diem rate or not covered under Title XVIII or XIX of the Social Security Act.
(3) To be fully informed by a physician of his or her total health status and to be afforded the opportunity to participate on an immediate and ongoing basis in the total plan of care including the identification of medical, nursing, and psychosocial needs and the planning of related services.
(4) To consent to or to refuse any treatment or procedure or participation in experimental research.
(5) To receive all information that is material to an individual patient's decision concerning whether to accept or refuse any proposed treatment or procedure. The disclosure of material information for administration of psychotherapeutic drugs or physical restraints, or the prolonged use of a device that may lead to the inability to regain use of a normal bodily function shall include the disclosure of information listed in Section 73524(c).
(6) To be transferred or discharged only for medical reasons, or the patient's welfare or that of other patients or for nonpayment for his or her stay and to be given reasonable advance notice to ensure orderly transfer or discharge. Such actions shall be documented in the patient's health record.
(7) To be encouraged and assisted throughout the period of stay to exercise rights as a patient and as a citizen, and to this end to voice grievances and recommend changes in policies and services to facility staff and/or outside representatives of the patient's choice, free from restraint, interference, coercion, discrimination or reprisal.
(8) To manage personal financial affairs, or to be given at least a quarterly accounting of financial transactions made on the patient's behalf should the facility accept his or her written delegation of this responsibility subject to the provisions of Section 73557.
(9) To be free from mental and physical abuse.
(10) To be assured confidential treatment of financial and health records and to approve or refuse their release, except as authorized by law.
(11) To be treated with consideration, respect and full recognition of dignity and individuality, including privacy in treatment and in care for personal needs.
(12) To be free from discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status.
(13) Not to be required to perform services for the facility that are not included for therapeutic purposes in the patient's plan of care.
(14) To associate and communicate privately with persons of the patient's choice, and to send and receive his or her personal mail unopened.
(15) To meet with and participate in activities of social, religious and community groups at the patient's discretion.
(16) To retain and use his or her personal clothing and possessions as space permits, unless to do so would infringe upon the health, safety or rights of the patient or other patients.
(17) If married or registered as a domestic partner, to be assured privacy for visits by the patient's spouse or registered domestic partner and if both are patients in the facility, to be permitted to share a room.
(18) To have daily visiting hours established.
(19) To have visits from members of the clergy at the request of the patient or the patient's representative.
(20) To have visits from persons of the patient's choosing at any time if the patient is critically ill, unless medically contraindicated.
(21) To be allowed privacy for visits with family, friends, clergy, social workers or for professional or business purposes.
(22) To have reasonable access to telephones both to make and receive confidential calls.
(23) To be free from any requirement to purchase drugs or rent or purchase medical supplies or equipment from any particular source in accordance with the provisions of Section 1320 of the Health and Safety Code.
(24) To be free from psychotherapeutic and/or physical restraints used for the purpose of patient discipline or staff convenience and to be free from psychotherapeutic drugs used as a chemical restraint as defined in Section 73012, except in an emergency which threatens to bring immediate injury to the patient or others. If a chemical restraint is administered during an emergency, such medication shall be only that which is required to treat the emergency condition and shall be provided in ways that are least restrictive of the personal liberty of the patient and used only for a specified and limited period of time.
(25) Other rights as specified in Health and Safety Code Section 1599.1.
(26) Other rights as specified in Welfare and Institutions Code Sections 5325 and 5325.1 for persons admitted for psychiatric evaluations or treatment.
(27) Other rights as specified in Welfare and Institutions Code, Sections 4502, 4503 and 4505 for patients who are developmentally disabled as defined in Section 4512 of the Welfare and Institutions Code.
(b) A patient's rights as set forth above may only be denied or limited if such denial or limitation is otherwise authorized by law. Reasons for denial or limitation of such rights shall be documented in the patient's health record.
(c) If a patient lacks the ability to understand these rights and the nature and consequences of proposed treatment, the patient's representative shall have the rights specified in this section to the extent the right may devolve to another, unless the representative's authority is otherwise limited. The patient's incapacity shall be determined by a court in accordance with state law or by the patient's licensed healthcare practitioner acting within the scope of his or her professional licensure unless the determination of the licensed healthcare practitioner acting within the scope of his or her professional licensure is disputed by the patient or patient's representative.
(d) Persons who may act as the patient's representative include a conservator, as authorized by Parts 3 and 4 of Division 4 of the Probate Code (commencing with Section 1800), a person designated as attorney in fact in the patient's valid Durable Power of Attorney for Health Care, patient's next of kin, other appropriate surrogate decisionmaker, designated consistent with statutory and case law, a person appointed by a court authorizing treatment pursuant to Part 7 (commencing with Section 3200) of Division 4 of the Probate Code, or, if the patient is a minor, informed consent must be obtained from a person lawfully authorized to represent the minor.
(e) Patients' rights policies and procedures established under this section concerning consent, informed consent and refusal of treatments or procedures shall include, but not be limited to the following:
(1) How the facility will verify that informed consent was obtained pertaining to the administration of psychotherapeutic drugs or physical restraints or the prolonged use of a device that may lead to the inability of the patient to regain the use of a normal bodily function.
(2) How the facility, in consultation with the patient's licensed healthcare practitioner acting within the scope of his or her professional licensure, will identify, consistent with current statutory and case law, who may serve as a patient's representative when an incapacitated patient has no conservator or attorney in fact under a valid Durable Power of Attorney for Health Care.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; Sections 1276, 1316.5, 1320, 1599, 1599.1, 131050, 131051 and 131052, Health and Safety Code; and Cobbs v. Grant (1972) 8 Cal.3d 299.
HISTORY

1. New subsection (a)(21) filed 10-21-81; effective thirtieth day thereafter (Register 81, No. 43).
2. Amendment of subsections (a) and (b), repealer of subsection (c), and new subsections (c), (d), and (e) filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
3. Amendment of subsections (a)(10), (c) and (e)(2) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
4. Change without regulatory effect amending subsection (a)(8), adopting subsection (a)(12), renumbering subsections and amending newly designated subsections (a)(14) and (a)(16)-(17) and subsection (d) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§73524. Informed Consent Requirements.
Note     •     History

(a) It is the responsibility of the attending licensed healthcare practitioner acting within the scope of his or her professional licensure, to determine what information a reasonable person in the patient's condition and circumstances would consider material to a decision to accept or refuse a proposed treatment or procedure. Information that is commonly appreciated need not be disclosed. The disclosure of the material information and obtaining informed consent shall be the responsibility of the licensed healthcare practitioner who, acting within the scope of his or her professional licensure, performs or orders the procedure or treatment for which informed consent is required.
(b) The information material to a decision concerning the administration of a psychotherapeutic drug or physical restraint, or the prolonged use of a device that may lead to the inability of the patient to regain use of a normal bodily function shall include at least the following:
(1) The reason for the treatment and the nature and seriousness of the patient's illness.
(2) The nature of the procedures to be used in the proposed treatment including their probable frequency and duration.
(3) The probable degree and duration (temporary or permanent) of improvement or remission, expected with or without such treatment.
(4) The nature, degree, duration and the probability of the side effects and significant risks, commonly known by the health professions.
(5) The reasonable alternative treatments and risks, and why the health professional is recommending this particular treatment.
(6) That the patient has the right to accept or refuse the proposed treatment, and if he or she consents, has the right to revoke his or her consent for any reason at any time.
(c) Before initiating the administration of psychotherapeutic drugs, or physical restraints, or the prolonged use of a device that may lead to the inability to regain use of a normal bodily function, facility staff shall verify that the patient has given informed consent to the proposed treatment or procedure. The facility shall also ensure that all decisions concerning the withdrawal or withholding of life sustaining treatment are documented in the patient's health record.
(d) This section shall not be construed to require obtaining informed consent each time a treatment or procedure is administered unless material circumstances or risks change.
(e) There shall be no violation for initiating treatment without informed consent if there is documentation within the patient's health record that an emergency exists where there is an unanticipated condition in which immediate action is necessary for preservation of life or the prevention of serious bodily harm to the patient or others or to alleviate severe physical pain, and it is impracticable to obtain the required consent, and provided that the action taken is within the customary practice of licensed healthcare practitioners of good standing acting within the scope of their professional licensure in similar circumstances.
(f) Notwithstanding Sections 73523(a)(5) and 73524(c)(4), disclosure of the risks of a proposed treatment or procedure may be withheld if there is documentation of one of the following in the patient's health record:
(1) That the patient or patient's representative specifically requested that he or she not be informed of the risk of the recommended treatment or procedure. This request does not waive the requirement for providing the other material information concerning the treatment or procedure.
(2) That the licensed healthcare practitioner acting within the scope of his or her professional licensure relied upon objective facts, as documented in the health record, that would demonstrate to a reasonable person that the disclosure would have so seriously upset the patient that the patient would not have been able to rationally weigh the risks of refusing to undergo the recommended treatment and that unless inappropriate a patient's representative gave informed consent as set forth herein.
(g) A general consent provision in a contract for admission shall only encompass consent for routine nursing care or emergency care. Routine nursing care, as used in this section, means a treatment or procedure that does not require informed consent as specified in Section 73524(c)(1) through (6) or that is determined by the licensed healthcare practitioner acting within the scope of his or her professional licensure not to require the disclosure of information material to the individual patient. Routine nursing care includes, but is not limited to, care that does not require the order of a licensed healthcare practitioner acting within the scope of his or her professional licensure. This section does not preclude the use of informed consent forms for any specific treatment or procedure at the time of admission or at any other time. All consent provisions or forms shall indicate that the patient or incapacitated patient's representative may revoke his or her consent at any time.
(h) If a patient or his or her representative cannot communicate with the licensed healthcare practitioner acting within the scope of his or her professional licensure because of language or communication barriers, the facility shall arrange for an interpreter.
(1) An interpreter shall be someone who is fluent in both English and the language used by the patient and his or her legal representative, or who can communicate with a deaf person, if deafness is the communication barrier.
(2) When interpreters are used, documentation shall be placed in the patient's health record indicating the name of the person who acted as the interpreter and his or her relationship to the patient and to the facility.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code; and Cobbs v. Grant (1972) 8 Cal.3d 229.
HISTORY

1. New section filed 5-27-92; operative 5-27-92 (Register 92, No. 22).
2. Editorial correction of subsection (g) (Register 95, No. 25).
3. Amendment of subsections (a), (e) and (f)(2)-(h) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73525. Employees' Health Examinations and Health Records.

(a) All employees working in the facility, including the licensee, shall have a health examination by a physician prior to employment or within seven days after employment and at least annually thereafter. Each such examination shall include a medical history, physical evaluation and laboratory work as indicated. The examination shall be in sufficient detail to indicate that the employee is sufficiently free of disease to perform his assigned duties and that he does not have any health condition that would create a hazard for himself, fellow employees or patients. A report shall be made of each examination, signed by the examining physician.
(b) The initial health examination and subsequent annual examination shall include a purified protein derivative intermediate strength intradermal skin test for tuberculosis or a chest X-ray. Positive reaction to the skin test shall be followed by a 35.56cm x 43.18cm (14” x 17”) chest X-ray.
(c) The facility shall maintain a health record for each employee, including reports of all employment-related health examinations. Such records shall be kept a minimum of three years following termination of employment.
§73527. Employee Personnel Records.

(a) All facilities shall maintain employee records of all personnel. The record shall include the employee's full name, social security number, professional license or registration number, if any, employment classification, information as to past employment and/or qualifications, date of beginning employment and date of termination of employment. Such records shall be retained for at least three years following termination of employment.
(b) Records of hours and dates worked by all employees during at least the most recent six-month period shall be kept on file at the place of employment or at a central location within the State of California. Such records shall be made available to the Department upon request.
§73529. Employee Name Badges.

All personnel serving patients or the public shall wear name and title badges unless contraindicated.
§73531. Patients with Communicable Disease.

(a) Patients acquiring a communicable disease while in the facility shall be transferred to an appropriate facility as soon as possible. While awaiting transfer, the following requirements shall be met:
(1) Any patient diagnosed as having a reportable communicable disease or being in a carrier state who the attending physician determines is a potential danger to other patients or personnel, shall be accommodated in a room provided with a separate toilet, handwashing facility, soap dispenser and individual towels.
(2) The intermediate care facility shall adopt and observe written procedures approved by the local health officer. Such procedures shall be posted at the nurses' station or other appropriate location. The procedures shall outline the technique to be used in the care of patients with a communicable disease and shall include:
(A) Handwashing upon entering and leaving patient's room.
(B) Proper handling and disposal of infectious material.
(C) Procedures for medical and nursing personnel providing for proper isolation techniques.
(D) Health education provided to the patient.
(E) Proper handling of dishes.
(F) Proper handling of patient care equipment.
§73533. Reporting of Communicable Disease.

Each facility shall report to the local health officer each case of reportable communicable disease.
§73535. Reporting of Outbreaks.

Each facility having knowledge of any outbreak or undue prevalence of infectious or parasitic disease or infestation shall report the facts promptly to the local health officer.
§73537. Occurrence of Unusual Disease.

Each facility having knowledge of a case of an unusual disease shall convey the facts promptly to the local health officer.
§73539. Unusual Occurrences.

Occurrences such as epidemic outbreaks, poisoning, fires, major accidents, deaths from unnatural causes or other catastrophes and unusual occurrences which threaten the welfare, safety or health of patients, personnel or visitors shall be reported by the facility within 24 hours either by telephone (and confirmed in writing) or by telegraph to the local health office and the Department. An incident report shall be retained on file in the facility. The facility shall furnish such other pertinent information related to such occurrences as the local health officer or the Department may require. Every fire or explosion which occurs in or on the premise shall be reported within 24 hours to the local fire authority or in areas not having an organized fire service, to the State Fire Marshal.
§73541. Annual Reports.

Each facility on or before the 15th day of February of each year shall file with the Department upon forms furnished by the Department a report for the preceding calendar year upon all matters requested by the Department.
§73543. Patients' Health Records.
Note     •     History

(a) Records shall be permanent, either typewritten or legibly written with pen and ink and shall be kept on all patients admitted or accepted for treatment. All health and social records of discharged patients shall be completed and filed within 30 days and such records shall be kept for a minimum of seven years, except for minors whose records shall be kept at least until one year after the minor has reached the age of 18 but in no case less than seven years. If a facility operates an X-ray unit, all exposed X-ray film shall be retained for seven years. All required records, either originals or faithful and accurate reproductions thereof, shall be maintained in such form as to be legible and readily available upon request of the attending licensed healthcare practitioner acting within the scope of his or her professional licensure, the facility or any authorized officer, agent or employee of either or any other person authorized by law to make such request.
(b) Information contained in the records shall be treated as confidential and disclosed only to authorized persons.
(c) If a facility ceases operation, the Department shall be informed immediately of the arrangements made for the safe preservation of the patients' records.
(d) The Department shall be informed in writing immediately whenever patients' health records are defaced or destroyed before termination of the required retention period.
(e) If the ownership of the facility changes, both the licensee and the new applicant for the new license shall, prior to the change of ownership, provide the Department with written documentation, stating:
(1) That the new licensee will have custody of the patients' records and these records will be available to the former licensee, the new licensee and other authorized persons; or
(2) That other arrangements have been made by the current licensee for the safe preservation and location of the patients' health records, and that they are available to both the new and former licensees and other authorized persons; or
(3) The reasons for the unavailability of such patients' health records.
(f) Patients' health records shall be current and kept in detail consistent with acceptable professional practice based on the service provided to each patient. Such records shall be filed and maintained in accordance with these requirements and shall be available for review by the Department.
(g) Patients' health records shall be filed and stored so as to be protected against loss, destruction or unauthorized use.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73545. Admission Records.
Note     •     History

(a) A facility shall complete for each patient an admission record which shall include the following:
(1) Name and Social Security number.
(2) Current address.
(3) Age and date of birth.
(4) Sex.
(5) Date of admission.
(6) Date of discharge.
(7) Name, address and telephone number of person or agency responsible for patient and next of kin.
(8) Name, address and telephone number of attending physician and of the podiatrist, dentist or clinical psychologist if such practitioner is primarily responsible for the treatment of the patient.
(9) Name, address and telephone number of the designated alternate physician.
(10) Admission diagnosis, known allergies and final diagnosis.
(11) Medicare and Medi-Cal numbers when appropriate.
(12) An inventory including but not limited to:
(A) Items of jewelry.
(B) Items of furniture.
(C) Radios, television and other appliances.
(D) Prosthetic devices.
(E) Other valuable items, so identified by the patient, family or authorized representative.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§73547. Content of Health Records.
Note     •     History

(a) A facility shall maintain for each patient a health record which shall include the following:
(1) Diagnoses (current).
(2) Drug and treatment orders.
(3) Diet orders.
(4) Progress notes written at the time of visit by professional personnel in attendance to the patient.
(5) Nurses' notes which shall include:
(A) Narrative notes made by nurses' aides when appropriate, and after such aides have been properly instructed. They shall include:
1. Care and treatment done with and for the patient.
2. Patients' reactions to care and treatment.
3. Daily observation of how the patient looks, feels, reacts, interacts, degree of dependency and motivation towards improved health.
(B) Meaningful and informative nurses' progress notes written by licensed nurses as often as the patient's condition warrants. However, weekly nurses' progress notes shall be written by licensed personnel on each patient and shall be specific to the psychological, emotional, social, spiritual, recreational needs and related to the patient care plans.
Progress notes reflecting observations of the patient's response to his environment, physical limitations, independent activities, dependency status, behavioral changes, skin problems, dietary problems and restorative measures to characterize the functional status of progression and/or regression.
(C) Name, dosage and time of administration of drugs, the route of administration if other than oral and site of injection. If the scheduled time is indicated on the record the initial of the person administering the dose shall be recorded, provided that the drug is given within one hour of the scheduled time. If the scheduled time is not recorded, the person administering the dose shall record both his initials and the time of administration.
(D) Justification for and the results of the administration of all P.R.N. medications and the withholding of scheduled medications.
(E) Record of type of restraint and time of application and removal. The time of application and removal shall not be required for soft tie restraints used for the support and protection of the patient.
(F) Medications and treatments administered and recorded as prescribed.
(6) Current history and physical examination or appropriate health evaluation.
(7) Temperature, pulse and respiration where indicated.
(8) Laboratory reports of all tests prescribed and completed.
(9) Reports of all X-rays prescribed and taken.
(10) Condition and diagnosis of patient at time of discharge and final disposition.
(11) Orders provided by a licensed healthcare practitioner acting within the scope of his or her professional licensure, including drug, treatment and diet orders signed on each visit. Orders provided by the licensed healthcare practitioners acting within the scope of his or her professional licensure recapitulated as appropriate.
(12) Observation and information pertinent to the dietetic treatment recorded in the patient's health record by the dietitian or nurse. Pertinent dietary records shall be included in patient's transfer records to ensure continuity of nutritional care.
(13) Consent forms for prescribed treatment and medication.
(14) An inventory of all patients' personal effects and valuables made upon admission and discharge. The inventory list shall be signed by a representative of the facility and the patient or his authorized representative with one copy to be retained by each.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsections (a)(5)(A)3., (a)(5)(E) and (a)(11) and new Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§73549. Disaster and Mass Casualty Program.

(a) A written disaster and mass casualty program shall be adopted. The program shall be developed with the advice and assistance of qualified fire and safety experts and shall be in conformity with the California Emergency Plan of October 10, 1972, developed by the state office of Emergency Services and the California Emergency Medical Mutual Aid Plan of March 1974, developed by the office of Emergency Services, Department of Health. A copy of the Program shall be available on the premises for review by the Department.
(b) The program shall provide plans for local disasters occurring in the community and widespread disasters. The written program shall include at least the following:
(1) Availability of adequate basic utilities and supplies, including gas, water, food and essential medical and supportive materials.
(2) An efficient system of notifying and assigning personnel.
(3) Unified medical command.
(4) Conversion of all usable space into clearly defined areas for efficient triage, for patient observation and for immediate care.
(5) Prompt transfer of casualties when necessary and after preliminary medical or surgical services have been rendered to the facility most appropriate for administering definitive care.
(6) Arrangements for provision of transportation of patients including emergency housing where indicated.
(7) Arrangements for care of patients during transporting and while occupying emergency housing.
(8) Disposition and care of patients after evacuation of facility.
(9) A special disaster medical record, such as an appropriately designed tag that accompanies the casualty as he is moved.
(10) Procedures for the prompt discharge or transfer of inpatients at the time of the disaster who can be moved without jeopardy.
(11) Maintaining security in order to keep relatives and curious persons out of the triage area.
(12) Establishment of a public information center and assignment of public relations liaison duties to a responsible individual.
(c) The program shall be brought up-to-date at least annually and all personnel shall be instructed in its requirements. There shall be evidence in the personnel files, e.g., orientation checklist or elsewhere indicating that all new employees have been oriented to the program and procedures at the beginning of their employment.
(d) The disaster plan shall be rehearsed at least twice a year. There shall be a written report and evaluation of all drills.
§73551. Fire and Internal Disasters.

(a) A written fire and internal disaster program, incorporating evacuation procedures, shall be developed with the assistance of qualified fire, safety and other appropriate experts. A copy of the program shall be available on the premises for review by the Department.
(b) Program Coverage. The written program shall include at least the following:
(1) Plans for the assignment of personnel to specific tasks and responsibilities.
(2) Instructions relating to the use of alarm systems and signals.
(3) Information concerning methods of fire containment.
(4) Systems for notification of appropriate persons.
(5) Information concerning the location of fire-fighting equipment.
(6) Specification of evacuation routes and procedures.
(7) Other provisions as the local situation dictates.
(8) List of persons and telephone numbers to call in the event of fire or disaster.
(c) Fire and internal disaster drills shall be held at least quarterly for each individual shift of intermediate care facility personnel and under varied conditions. The actual evacuation of patients to safe areas during a drill is optional.
(1) A dated written report and evaluation of each drill and rehearsal shall be maintained.
(d) The evacuation plan shall be posted throughout the facility and shall include at least the following:
(1) Evacuation routes.
(2) Location of fire alarm boxes.
(3) Location of fire extinguishers.
(4) Emergency phone number of the local fire department.
§73553. Disruption of Services.

Each intermediate care facility shall develop a written plan to be used when a discontinuance or disruption of service occurs.
§73555. Patient Identification.

Each patient shall be provided with a wristband identification tag or other means of identification at all times unless the attending physician notes in the health record that the patient's condition would not permit such identification. Minimum information shall include the name of the patient and the name of the facility.
§73557. Safeguards for Patients' Monies and Valuables.

(a) Each facility to whom a patient's money or valuables have been entrusted shall comply with the following:
(1) No licensee shall use patients' monies or valuables as his own or mingle them with his own. Patients' monies and valuables shall be separate, intact and free from any liability that the licensee incurs in the use of his own or the institution's funds and valuables.
(2) Each licensee shall maintain adequate safeguards and accurate records of patients' monies and valuables entrusted to his care.
(A) Records of patients' monies which are maintained as a drawing account shall include a control account for all receipts and expenditures, an account for each patient and supporting vouchers filed in chronological order. Each account shall be kept current with columns for debits, credits and balance.
(B) Records of patients' monies and other valuables entrusted to the licensee for safekeeping shall include a copy of the receipt furnished to the patient or to the person responsible for the patient.
(3) Patients' monies not kept in the facility shall be deposited in a demand trust account in a local bank authorized to do business in California, the deposits of which are insured by the Federal Deposit Insurance Corporation, except that a facility operated by a county may deposit such funds with the County Treasurer.
(4) A person, firm, partnership, association or corporation which is licensed to operate more than one health facility shall maintain a separate demand trust account for each such facility and shall not commingle patient funds from one facility with another.
(5) When the amount of patients' money entrusted to a licensee exceeds $500, all money in excess of $500 shall be deposited in a demand trust account as specified in (3) and (4) above unless a fireproof safe is provided for protection of monies and valuables. If a fireproof safe is kept and the licensee desires the protection accorded by Section 1860 of the Civil Code, he shall give notice as provided by that section.
(6) Upon discharge of a patient, all money and valuables of that patient which have been entrusted to the licensee shall be surrendered to the patient in exchange for a signed receipt. Money and valuables kept within the facility shall be surrendered upon demand and those kept in a demand trust account or with the County Treasurer shall be made available within three normal banking days.
(7) Within 30 days following the death of a patient, except in a coroner or medical examiner case, all money and valuables of that patient which have been entrusted to the licensee shall be surrendered to the person responsible for the patient, or to the executor or the administrator of the estate in exchange for a signed receipt. Whenever a patient without a representative or known heirs dies, immediate written notice thereof shall be given by the facility to the Public Administrator of the county as specified by Section 1145 of the California Probate Code and a copy of said notice shall be filed with the Department.
(8) Upon change of ownership of a facility, a written verification by a public accountant of all patients' monies which are being transferred to the custody of the new owners shall be obtained by the new owner in exchange for a signed receipt.
§73558. Liability for Rent and Return of Rental Advance.
Note     •     History

(a) This section shall apply to all hiring agreements executed on or after January 1, 1979.
(b) Whenever accommodations in an intermediate care facility are rented by or for a patient on a month to month basis, the renter or his heir, legatee or personal representative shall not be liable for any rent due under the rental agreement for accommodations beyond the date on which the patient died.
(c) Any advance payment of rent by the renter shall be returned to the heir, legatee or personal representative of the patient no later than two weeks after the death of the patient.
(d) The rights described in subsections (b) and (c) of this section shall not be modified or waived in the rental agreement.
NOTE

Authority cited: Sections 208 and 1275, Health and Safety Code. Reference: Section 1934.5, Civil Code.
HISTORY

1. New section filed 12-6-79; effective thirtieth day thereafter (Register 79, No. 49).
Article 5. Physical Plant
§73601. Alterations to Existing Buildings or New Construction.

(a) Alterations to existing buildings licensed as intermediate care facilities or new construction shall be in conformance with Chapter 1, Division T17, Part 6, Title 24, California Administrative Code.
(b) Intermediate care facilities licensed and in operation prior to the effective date of changes in construction regulations shall not be required to institute corrective alterations or construction to comply with such new requirements except where specifically required or where the Department determines that a definite hazard to health and safety exists. Any intermediate care facility for which preliminary or working drawings and specifications have been approved by the Department prior to the effective date of changes to construction regulations shall not be required to comply with such new requirements provided substantial actual construction is commenced within one year of the effective date of such new requirements.
(c) All intermediate care facilities shall maintain in operating condition all buildings, fixtures and spaces in the numbers and types as specified in the construction requirements under which the intermediate care facility or unit was first licensed.
§73603. Application for Plan Review.

(a) Drawings and specifications for alterations to existing buildings or new construction shall be submitted to the Department for approval and shall be accompanied by an application for plan review on forms furnished by the Department. The application shall:
(1) Identify and describe the work to be covered by the plan review for which the application is made.
(2) Describe the land on which the proposed work is to be done, by lot, block, tract or house and street address or similar description that will readily identify and definitely locate the proposed building or work.
(3) Show the present and proposed use or occupancy of all parts of the building or buildings.
(4) State the number of square meters (square feet) of floor area involved in new construction and in alterations.
(5) Give such other information as may be required by the Department for unusual design circumstances.
(6) Be signed by the person designing the work or the owner of the work.
(b) The application for plan review shall also include a written statement that a description of the proposed work has been submitted to the Area Comprehensive Health Planning Agency approved by the State Advisory Health Council pursuant to Section 437.7 of the Health and Safety Code.
§73605. Space Conversion.

Spaces approved for specific uses at the time of licensure shall not be converted to other uses without the approval of the Department.
§73607. Notice to Department.

The Department shall be notified, in writing, by the owner or licensee of the intermediate care facility, within five days of the commencement of any construction, remodeling or alterations to such facility.
§73609. Patient Capacity.
History

(a) An intermediate care facility shall not have more patients or beds set up for use than the number for which it is licensed except in case of emergency when temporary permission may be granted by the Director or his designee.
(b) Five percent of a facility's total licensed bed capacity may be used for a classification other than that designated on the license. Upon application to the Director and a showing that seasonal fluctuations justify, the Director may grant the use of an additional five percent of the beds for other than the classified use.
(c) Patients shall not be housed in areas which have not been approved by the Department for patient housing and which have not been given a fire clearance by the State Fire Marshal except as provided in paragraph (a) above.
(d) The number of licensed beds shown on a license shall not exceed the number of beds for which the facility meets applicable construction and operational requirements.
HISTORY

1. Amendment filed 11-12-76 as an emergency; effective upon filing (Register 76, No. 46).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
§73611. Patient Rooms.

(a) Each patient room shall be labeled with a number, letter or combination of the two for identification.
(b) Each resident shall be provided clean, comfortable and reasonably private living accommodations with no more than four residents occupying a room.
(c) Residents shall be accommodated only in rooms approved by the Department with the following minimum floor area:
(1) Single rooms: 10 square meters (110 square feet)
(2) Multibed rooms: 7.5 square meters (80 square feet per bed)
(d) Except in rooms approved by the Department for seclusion of psychiatric patients, patients' rooms shall not be kept locked when occupied.
(e) Only upon the written approval of the Department may any exit door, corridor door, yard enclosures or perimeter fences be locked to egress.
(f) Patients' rooms which are approved for ambulatory patients only shall not accommodate nonambulatory patients. Before a patient is accommodated in an ambulatory only section, he shall demonstrate his ambulation ability and this shall be noted in the patient's health record. The intermediate care facility shall transfer any patient from the ambulatory section when his condition becomes nonambulatory. The ambulatory ability of any patient in an ambulatory only section shall be demonstrated upon the request of the Department.
(g) Patient rooms approved for use by ambulatory patients only shall be identified as follows: The words “Reserved for Ambulatory Patient,” in letters at least 1.25 centimeters (one-half inch) high shall be posted on the outside of the door or on the wall alongside the door where they are visible to persons entering the room.
§73613. Patients' Property Storage.

Patients shall be provided with closet or locker space for clothing, toilet articles and other personal belongings. Bedside tables or the equivalent shall be provided for each patient.
§73615. Patients' Room Furnishings.

A clean and comfortable bed with an adequate mattress, pillow, blankets, bed linen, night stand, a comfortable arm chair and reading lamp shall be provided for each bed licensed.
§73617. Recreation and Dining Areas.

Lounge, recreation and dining areas shall be provided apart from sleeping quarters.
§73619. Provision for Privacy.
History

Visual privacy for each patient shall be provided in patient rooms, tub, shower and toilet rooms. Doors providing access to the corridor shall not be considered as meeting this requirement.
HISTORY

1. Editorial correction of printing error restoring section heading (Register 91, No. 32).
§73621. Public Telephone.

(a) A telephone shall be installed on each floor accommodating patients. This may not be required in separate buildings having six beds or less which are restricted to occupancy by ambulatory patients.
(b) The telephone shall be at appropriate height for use by patients in wheelchairs.
§73623. Special Rooms.

Special rooms shall be maintained for the isolation of a single patient in the ratio of one room for each 35 beds or major fraction thereof. These rooms shall be used for isolation of patients with infectious disease, acute or terminal illness or those who become agitated and create a disturbance. At least one special room shall be maintained with adjoining toilet and handwashing facilities which are not shared with other patients.
§73625. Nursing Stations.

(a) Nursing stations shall be maintained in each nursing unit or building.
(b) Nursing stations shall be maintained with a cabinet, a desk, space for records, a bulletin board, a telephone and a specifically designated and well-illuminated medicine storage compartment with a lockable door. If a separate medicine room is maintained, it shall have a lockable door and a medicine sink with water connections. If a nourishment refrigerator is used, the following standards shall apply:
(1) Be located in a clean area not subject to contamination by human waste and subject to the same conditions specified in Section 73337 (c).
(2) Maintain temperatures at or below 7oC (45oF) for chilling.
(3) Maintain freezer at or below minus 7oC (20oF).
(4) Have a reliable thermometer in refrigerator at all times.
(5) Food in the refrigerator subject to the same conditions as specified in Section 73345(b)(6).
§73627. Central Supply and Sterilizing.

(a) Intermediate care facilities having a licensed bed capacity of 60 or more beds shall maintain a central supply and sterilizing area which shall be adequate to maintain the following services, spaces and equipment as a minimum:
(1) Work space.
(2) Sterilizing space.
(3) Storage space for sterile supplies.
(4) Storage space for unsterile supplies.
(5) Equipment for clean-up and sterilization of dressings, utensils, supplies and solutions.
(b) Autoclaves shall be equipped with recording thermometers in addition to the standard mercury thermometers.
§73629. Utility Rooms.

(a) Utility rooms shall be maintained in each nursing unit and shall be designed for separation of clean and dirty work areas. The following spaces and equipment shall be maintained as a minimum:
(1) Work counters.
(2) Cabinets.
(3) Rim-flush clinic sink with an integral 7.6 centimeters (3-inch) trap and waste-line flushometer valve and hot and cold water supply.
§73631. Special Systems.

(a) A nurses' call system shall be maintained in operating order in all nursing units. Nurses' call systems shall be maintained in a manner that will provide visible and audible signal communication between nursing personnel and patients. The minimum requirements are:
(1) A call station or stations providing detachable extension cords to each patient's bed in the patients' rooms. These extension cords shall be readily accessible to patients at all times unless attending physician orders otherwise.
(2) A visible signal in the corridor above the corridor door of each patient's bedroom, visible from all parts of the corridor.
(3) An audible signal and a nurses' call annunciator indicating the room from which the call originates or an alternate system, approved in writing by the Department, shall be located at the nurses' station. The sounding of the audible signal shall be continuous or intermittent until answered.
(b) A nurses' call system shall be provided in each patient's toilet rooms, bathroom and shower room in locations easily accessible to the patients. Electric shock hazard shall be eliminated by grounding or by an equally effective method.
(c) The nurses' call systems shall be so designed as to require resetting at the station where the call originates unless a two-way voice communication component is included in the system.
§73633. Handrails.

Corridors shall be equipped with handrails on each side properly secured.
§73635. General Maintenance.

(a) The facility shall be clean, sanitary and in good repair at all times. Maintenance shall include provision and surveillance of services and procedures assuring safety and well-being of patients, staff and visitors.
(b) Buildings ad grounds shall be free of environmental pollutants and such nuisances as may adversely affect the health or welfare of patients to the extent that such conditions are within the reasonable control of the facility.
(c) All buildings, fixtures, equipment and spaces shall be maintained in operable condition.
(d) There shall be appropriate personnel for preventive maintenance and to carry out the required maintenance program.
(e) Equipment provided must meet any and all applicable California Occupational Safety and Health Act requirements in effect as of the time of purchase. All portable electrical equipment designed for 110-120 volts, 60 hertz current shall be equipped with a three wire grounded power cord with a hospital grade three prong plug. The cord shall be an integral part of the plug.
§73637. Air Filters.

(a) The licensee shall be responsible for regular inspection, cleaning or replacement of all filters installed in heating, air conditioning and ventilating systems, as necessary to maintain the systems in normal operating condition.
(b) A written record of inspection, cleaning or replacement, including static pressure drop, shall be maintained and available for inspection. The record shall include a description of the filters originally installed, the American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) efficiency rating and the criteria established by the manufacturer or supplier to determine when replacement or cleaning is necessary.
(c) Following filter replacement or cleaning, the installation shall be visually inspected for torn media and bypass in filter frames by means of a flashlight or equivalent, both with fans in operation and stopped. Tears in filter media and bypass in filter frames shall be eliminated in accordance with the manufacturer's directions and as required by the Department.
(d) Where filter maintenance is performed by an equipment service company, a certification shall be provided to the licensee that the requirements listed in this section have been accommodated.
§73639. Emergency Lighting and Power System.
Note     •     History

(a) Auxiliary lighting and power facilities shall be readily available in case of necessity. Flashlights shall be in readiness for use at all times. Open-flame type of light shall not be used.
(b) The licensee shall provide and maintain an emergency electrical system in safe operating condition and in compliance with subdivisions (d), (e) and (f). The system shall serve all lighting, signals, alarms and equipment required to permit continued operation of all necessary functions of the facility for a minimum of six hours.
(c) If the Department determines that an evaluation of the emergency electrical system of a facility or portion thereof, is necessary, the Department may require the licensee to submit a report by a registered electrical engineer which shall establish a basis for alteration of the system to provide reasonable compliance with Subarticle E702-B, Part 3, Title 24, California Administrative Code (Emergency Electrical Systems For Existing Nursing Homes). Essential engineering data, including load calculations, assumptions and tests, and where necessary, plans and specifications, acceptable to the Department, shall be submitted in substantiation of the report. When corrective action is determined to be necessary, the work shall be initiated and completed within an acceptable time limit.
(d) The emergency lighting and power system shall be maintained in operating condition to provide automatic restoration of power for emergency circuits within 10 seconds after normal power failure.
(e) Emergency generators shall be tested as follows:
(1) Non-diesel generators installed in intermediate care facilities shall be tested under load conditions for at least 30 minutes at intervals of not less than 14 days.
(2) Diesel generators installed in intermediate care facilities shall be tested as required by Health and Safety Code, section 41514.1.
(f) A written record of inspection, performance, exercising period and repairs shall be regularly maintained and available for inspection.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adding new subsection (e), redesignating and amending former subsection (e) as new subsection (e)(1), adding new subsection (e)(2) and adding Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§73641. Storage and Disposal of Solid Waste.

(a) Solid wastes shall be stored and eliminated in a manner to preclude the transmission of communicable disease. These wastes shall not be a nuisance or a breeding place for insects or rodents nor be a food source for either.
(b) Solid waste containers shall be stored and located in a manner that will protect against odors.
(c) Syringes and needles, before being discarded into waste containers, shall be rendered unusable.
§73643. Solid Waste Containers.
Note     •     History

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

Authority cited: Sections 208(a) and 1254, Health and Safety Code. Reference: Sections 1250, 1276 and 25157.3, Health and Safety Code.
HISTORY

1. Repealer of subsection (e) filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer of subsection (e) filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 42).
§73645. Infectious Waste.
Note     •     History

Infectious waste, as defined in Health and Safety Code Section 25117.5, shall be handled and disposed of in accordance with the Hazardous Waste Control Law, Chapter 6.5, Division 20, Health and Safety Code (beginning with Section 25100) and the regulations adopted thereunder (beginning with Section 66100 of this Title).
NOTE

Authority cited: Sections 208, 1254, 25150 and 25157.3, Health and Safety Code. Reference: Sections 1250, 25117 and 25117.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer and new section filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 42).
§73647. Gases for Medical Use.

(a) Gases for medical use covered by this section are: carbon dioxide, cyclopropane, ethylene, helium, nitrous oxide, oxygen, helium-oxygen mixtures and carbon dioxide-oxygen mixtures.
(b) Provision shall be made for safe handling and storage of medical gas cylinders.
(c) Transfer of gas by facility personnel from one cylinder to another shall be prohibited.
(d) All medical gas cylinders, pressure regulators, wall outlets from piping systems and external removable connection hoses used therewith shall, by physical design, be so constructed that connections for different gases are not interchangeable. This standardization shall be accomplished by installing permanent fittings as indicated in this section:
(1) Outlet valves for small compressed gas cylinders (Style E and smaller) shall conform with the Pin Index and Safety Systems contained in Pamphlet B57.1 Compressed Gas Cylinder Valve Outlet and Inlet Connections, 1965 edition, by the American National Standards Institute, Inc., 1430 Broadway, New York, NY 10018.
(2) Valve outlet connections for large cylinders (Style F and larger) for oxygen and nitrous oxide shall conform with the standards contained in Pamphlet B57.1, Compressed Gas Cylinder Valve Outlet and Inlet Connections, 1965 edition, by the American National Standards Institute, Inc., 1430 Broadway, New York, NY 10018. Standard Connection No. 240 shall be used with oxygen cylinders and Standard Connection 1320 shall be used with nitrous oxide cylinders.
(3) Removable exposed threaded connections, where employed in medical gas piping systems and equipment used in conjunction with resuscitators and oxygen therapy apparatus, shall be provided with noninterchangeable connections which conform with Pamphlet V-5, Diameter-Index Safety System, May 1970 printing, by the Compressed Gas Association, Inc., 500 Fifth Avenue, New York, NY 10036.
(4) Station outlets from piped oxygen and nitrous oxide systems shall conform with the standards contained in Bulletin NFPA No. 56F, Nonflammable Medical Gas Systems, 1973, by the National Fire Protection Association, 470 Atlantic Avenue, Boston, MASS 02210.
(5) Removable connection hoses from outlets shall be fitted with permanently connected fittings to match the standards listed above in subsections (1), (2), (3) and (4).
(e) The piped oxygen or nitrous oxide system(s) shall be tested in accordance with the National Fire Protection Association Bulletin, NFPH No. 56F, referred to above, and a written report shall be maintained in each of the following instances:
(1) Upon completion of initial installation.
(2) Whenever changes are made to a system.
(3) Whenever the integrity of a system has been breached.
(4) At least annually.
(f) Oxygen Equipment.
(1) Vaporizer bottles on oxygen equipment shall be sterilized after each use.
(2) Only sterile distilled water shall be used in vaporizer bottles.
(3) Vaporizer bottles shall be changed at least every 24 hours.
§73649. Water Supply and Plumbing.

(a) Where water for human consumption is from an independent source, it shall be subjected to bacteriological analysis by the local health department, the State Department or a licensed commercial laboratory at least every three months. A copy of the most recent laboratory report shall be available for inspection.
(b) Plumbing and drainage facilities shall be maintained in compliance with Part 5, Title 24, California Administrative Code, Basic Plumbing Requirements. Drinking water supplies shall comply with Group 4, Subchapter 1, Chapter 5, Division T17, Part 6, of Title 24, California Administrative Code.
(c) Vacuum breakers shall be maintained in operating condition where required by Section T17-210 (c), Division T17, Part 6, Title 24, California Administrative Code.
(d) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures used by patients to attain a hot water temperature not less than 40.5oC (105oF) and not more than 48.9oC (120oF).
(e) Hot water at a minimum temperature of 83oC (180oF) shall be maintained at the final rinse section of dishwashing facilities unless alternate methods are approved by the Department.
(f) Taps delivering water at 51.6oC (125oF) or above shall be prominently identified by warning signs in letters at least five centimeters (two inches) high. Special precautions shall be taken to prevent the scalding of patients.
(g) Grab bars readily accessible to patients shall be maintained at each toilet, bathtub and shower used by patients, where required by Section T17-212 (b), Division T17, Part 6, of Title 24, California Administrative Code.
(h) Toilet, handwashing and bathing facilities shall be maintained in operating condition and in the number and types specified in construction requirements in effect at the time the building or unit was constructed. Those handwashing facilities listed in Section T17-208, Division T17, Part 6, Title 24, California Administrative Code, shall not be equipped with aerators.
§73651. Lighting.

(a) All rooms, attics, basements, passageways and other spaces shall be provided with artificial illumination.
(b) Adequate illumination shall be provided for the comfort of patients, operating functions in work areas and for the safety of patients and personnel.
(c) All patient rooms shall have a minimum of 30 lumens of light delivered to reading or working surfaces and not less than 10 lumens of light in the rest of the room.
(d) All corridors, storerooms, stairways, ramps, exits and entrances shall have a minimum of five lumens of light measured in the darkest corner.
(e) Lighting fixtures shall have suitable enclosures to control fixture brightness and to prevent accidental lamp breakage. Where exposed lamp fixtures are permitted, such as, closets, storage spaces, equipment rooms and similar areas, suitable guards shall be installed in locations where accidental lamp breakage could be hazardous to personnel.
§73653. Maintenance Manual.

(a) A written manual on maintenance of heating, air conditioning and ventilation systems shall be adopted by each facility.
(b) A maintenance log shall be maintained.
(c) Where maintenance is performed by an equipment service company, a certification shall be provided to the licensee that the required work has been performed in accordance with acceptable standards. This certification shall be retained on file in the facility.
§73655. Mechanical Systems.

Air conditioning and ventilating systems shall be maintained in normal operating conditions to provide a comfortable temperature and to meet the new construction requirements in effect at the time plans were approved for the facility.
§73657. Screens.

Where necessary to protect against flies and other insects, screens of six mesh per centimeter (16 mesh per inch) shall be provided on doors and windows. Screen doors shall be of a type or installed as approved by the State Fire Marshal.
§73659. Storage.

(a) General and specialized storage space shall be maintained adequate to meet the needs of patients, for efficient operation of the facility and as required at the time of licensure. Storage shall not be permitted in air distribution chambers of heating, air conditioning or ventilating systems.
(b) Intermediate care facilities shall maintain combined general and specialized storage in accordance with the following schedule: 

1-10 bed 	 11 square meters
	 (120 square feet) minimum
11-100 beds 	 1.1 square meters
	 (12 square feet) per bed
over 100 beds 	 111 square meters
	 plus 0.5 square meters (1200 square feet plus
	 five square feet) per bed for each bed over 100
§73661. Space.

All spaces located in the facility or internally connected to a licensed facility shall be considered a part of the facility and subject to licensing regulations.
§73663. Linen.

(a) A supply of linen shall be provided sufficient for not less than three complete bed changes for the facility's licensed capacity. Particular attention shall be given to assuring a supply of clean linen during and after weekends, holidays and other periods when laundry service is not available.
(b) There shall be written procedures posted pertaining to the handling, storage, transportation and processing of linens.
§73665. Laundry

(a) When a facility operates it own laundry such laundry shall be:
(1) Located in relationship to other areas that steam, odors, lint and objectionable noises do not reach patient or personnel areas.
(2) Adequate in size, well-lighted and ventilated to meet the needs of the facility.
(3) Laundry equipment shall be of a suitable capacity, kept in good repair and maintained in a sanitary condition.
(4) The laundry space shall be maintained in a clean and sanitary condition.
(b) If the facility does not maintain a laundry service, the commercial laundry utilized shall meet the standards of this section.
§73667. Laundry Areas.

(a) Clean linen and soiled linen shall each be stored in separate rooms maintained for that purpose.
(b) Handwashing and toilet facilities shall be provided at locations convenient to the laundry for personnel.
(c) Linen carts shall be labeled “soiled” or “clean linen” made of washable materials and laundered or suitably cleaned daily.
§73669. Clean Linen.

(a) Clean linen shall be stored, handled and transported in a way that precludes cross contamination.
(b) Clean linen shall be stored in clean, ventilated closets, rooms, or alcoves used only for that purpose.
(c) Clean linen from a commercial laundry shall be delivered to a designated clean area.
(d) Linens shall be maintained in good repair.
§73671. Soiled Linen.

(a) Soiled linen shall be handled, stored and processed in a manner that will prevent the spread of infection.
(b) Soiled linen shall be sorted in a separate room by methods affording protection from contamination.
(c) Soiled linen shall be stored and transported in a closed container which does not permit airborne contamination of corridors and areas occupied by patients and precludes cross contamination of clean linen.
(d) When laundry chutes are used to transport soiled linen, they shall be maintained in a clean, sanitary state.
§73673. Wash Cloths and Towels.

An adequate supply of clean wash cloths and towels shall be provided for each patient.
§73675. Housekeeping.

(a) Each facility shall make provisions for the routine cleaning of articles and surfaces such as furniture, floors, walls, ceilings, supply and exhaust grills and lighting fixtures.
(b) There shall be routines and procedures posted indicating daily, weekly and monthly cleaning schedules, for all areas of the facility.
(c) There shall be sufficient cleaning supplies and equipment available to housekeeping staff.
(1) Cleaning supplies and equipment shall be stored in rooms for housekeeping use only.
(2) A commercial detergent germicide shall be used for all cleaning.
(3) Mop heads shall be removable and changed at least daily.
(d) There shall be sufficient housekeeping personnel to maintain the interior of the facility in a safe, clean, orderly and attractive manner free from offensive odors.
(e) A person qualified by experience and training shall be in charge of housekeeping department.
(f) An adequate number of janitors' closets, service sinks and storage areas shall be maintained to meet the needs of the facility.
§73677. Autoclaving, Sterilizing and Disinfecting.

(a) All facilities shall make provision within the facility, or by acceptable arrangements for outside service, for proper sterilization of dressings, utensils, instruments and solutions used in the facility.
(b) All sterilization of supplies and equipment in the facility shall be under the supervision of a person qualified by experience and training.
(1) Autoclaves and sterilizers where provided shall be maintained in operating condition at all times.
(2) Instructions for operating autoclaves and sterilizers shall be posted.
(3) Written instructions for preparing supplies for autoclaving and for the operation of autoclaves shall be available to personnel. This shall include the method of packaging, loading the autoclave, temperature and pressure to be applied and the period of exposure.
(4) Autoclaves shall be checked at least weekly to verify that recording thermometers and indicating thermometers reasonably coincide.
Records of recording thermometers shall be checked for each load to verify that the performance of the autoclave is in accordance with established standards for sterilization. Records of recording thermometers shall be preserved for one year. Recording thermometers are not required on portable sterilizers and autoclaves.
(5) Autoclaving results shall be checked at least monthly by bacteriological tests. Records of results of such tests shall be preserved at least one year.
(6) Sterilized supplies and equipment shall be dated.
§73679. Disinfecting and Sterilizing.

(a) All facilities shall make provision for disinfection of contaminated articles or surfaces such as mattresses, linen, thermometers and oxygen tents.
(b) Equipment such as washbasins and bedpans shall be sanitized by one of the following methods:
(1) Submersion in boiling water for a minimum of 30 minutes.
(2) Autoclaving at 15 pounds pressure and 121oC (250oF) for 20 minutes.
(3) Gas sterilization.
The use of chemicals is not approved as a substitute for the above methods.
§73681. Provisions for Emptying Bedpans.

(a) Bedpans shall be cleaned in utility or hopper rooms unless toilets adjoining patients' rooms are equipped with flushing attachments and vacuum breakers. Bathtubs, lavatories or laundry trays shall not be used for cleaning bedpans.
(b) Bedpan covers shall not be used interchangeably.
§73683. Cleaning, Disinfecting and Sterilizing Manual.

A written manual on cleaning, disinfecting and sterilizing procedures shall be adopted, and all such procedures shall be in accordance with the manual. This manual shall include procedures used in the care of utensils, instruments, solutions, dressings, articles and surfaces.
§73685. Centralized Services Shared by Several Facilities.

Nothing in these requirements shall prohibit the provision of required services from a centralized service facility serving two or more licensed facilities when approved in writing by the Department.
Article 6. Violations and Civil Penalties
§73701. Definitions.

(a) The following definitions shall apply to this Article:
(1) “Substantial probability” means that the more likely consequence of a violation is death or serious physical harm to a patient.
(2) “Serious physical harm” means that type of bodily injury in which:
(A) A part of the body would be permanently removed, rendered functionally useless, or substantially reduced in capacity, either temporarily or permanently or
(B) A part of an internal function of the body would be inhibited in its normal performance to such a degree as to shorten life or cause reduction in physical or mental capacity.
§73702. Class “A” Violations.

A Class “A” violation is any violation of a statute or regulation relating to the operation or maintenance of any intermediate care facility which presents an imminent danger to the patients of the intermediate care facility or a substantial probability that death or serious physical harm would result therefrom. A physical condition or one or more practices, means, methods or operations in use in an intermediate care facility may constitute such a violation.
§73703. Class “A” Violations--Examples.
Note     •     History

NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Repealer of section and new Note filed 5-30-96; operative 6-29-96 (Register 96, No. 22).
§73705. Class “B” Violations.

A class “B” violation is any violation of a statute or regulation relating to the operation or maintenance of any intermediate care facility which has a direct or immediate relationship to the health, safety or security of the patients of the intermediate care facility, other than class “A” violations.
§73707. Class “B” Violations--Examples.
Note     •     History

NOTE

Authority cited: Sections 100275(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Repealer of section and new Note filed 5-30-96; operative 6-29-96 (Register 96, No. 22).
§73709. Class “C” Violations.

A class “C” violation is any violation of a statute or regulation relating to the operation or maintenance of any intermediate care facility which the Department determines has only a minimal relationship to the health or safety of intermediate care facility patients.
§73711. Filing of Names and Addresses.

(a) The licensee of each intermediate care facility shall file with the Department the address of the licensee to which all citations and notices concerning any class “A” or class “B” violations shall be mailed by the Department.
(b) Each such licensee shall also designate one or more persons who is authorized to accept on the licensee's behalf, any citations to be served by any representative of the Department.
(c) Each such licensee shall file with the Department the names or titles of those persons who are such designees of the licensee.
(d) Each such licensee shall also file with the Department a written notice of any change in address or of any change of designee. The Department shall mail all citations or notices to the latest address on file with the Department.
§73713. Complaints.

(a) Any person may request an inspection of any intermediate care facility by giving notice to the Department of an alleged violation of applicable requirements of law or regulations.
(b) Any such notice shall be in writing, signed by the complainant and shall set forth with reasonable particularity the matters complained of. The substance of the complaint shall be provided to the licensee no earlier than at the commencement of the inspection. Neither the name of the individual complainant nor other person mentioned in the complaint shall be disclosed by the Department, unless the complainant specifically requests the release of such name or names or the matter results in a judicial proceeding.
(c) Upon the request of either the complainant or the Department, the complainant or his representative, or both, may be allowed to accompany the inspector to the site of the alleged violations during his tour of the facility, unless the inspector determines that the privacy of any patient would be violated.
§73715. Issuance of Citations.

(a) When a routine visit, survey or investigation of a complaint is conducted and the representative of the Department determines that an intermediate care facility is in violation of any statutory provision or regulation relating to the operation or maintenance of such facility, except with respect to violations determined to have only a minimal relationship to safety or health, he shall promptly, but not later than one day after the date of inspection, issue a citation to the licensee.
(b) The citation shall be served personally upon the licensee or his designee by the representative of the Department. If the licensee is not served personally, a copy of the citation shall be sent by registered or certified mail to the licensee.
(c) The District Administrator, Facilities Licensing Section, in which the facility is located, or his designee, shall review the alleged violation and shall fix the amount, if any, of the civil penalty to be imposed by the Department. The Department shall serve the licensee personally or by registered or certified mail, within four business days of the date of the issuance of the citation, with a written notice of the amount, if any, of the proposed civil penalty. The person who issued the citation shall not serve at any time as the designee of the District Administrator under any provision of this article.
(d) Each citation shall be in writing and shall include at least the following:
(1) A description of the nature of the violation fully stating the manner in which the licensee violated a specified statutory provision or regulation, and the particular place or area of the facility in which it occurred. The name of any patient jeopardized by the violation shall not be specified in the citation in order to protect the privacy of the patient. However, at the time the licensee is served with the citation, the licensee shall also be served with a written list of each of the names of the patients alleged to have been jeopardized by the violation. If the violation jeopardized all of the patients of the entire facility or all patients in any particular portion, wing, or ward of the facility, such fact shall be specified in the citation, and a written list of the names of the patients involved is not required to be furnished to the licensee.
(2) The earliest feasible time for the elimination of the condition constituting the violation. Such time shall be the shortest possible time within which the licensee reasonably can be expected to correct the alleged violation. In prescribing such time, the Department shall consider the following factors:
(A) The seriousness of the alleged violation.
(B) The number of patients affected.
(C) The availability of required equipment or personnel.
(D) The estimated time required for delivery, and any installation, of required equipment.
(E) Any other relevant circumstances.
(3) The name, address and telephone number of the district administrator of the district in which the facility is located.
(e) If a citation is issued as the result of the investigation of a signed, written complaint to the Department, a copy of the citation shall be sent to each person or organization who filed the written complaint.
(f) No licensee shall be cited for any violation caused by any person licensed pursuant to the State Medical Practice Act (Chapter 5 (commencing with Section 2000) of Division 2 of the Business and Professions Code if such person is independent of and not connected with the licensee and the licensee shows that he has exercised reasonable care and diligence in notifying such persons of their duty to the patients in the licensee's intermediate care facility.
§73717. Penalties.

(a) The condition or practice constituting a class “A” violation shall be abated or eliminated immediately, unless a fixed period of time, as determined by the Department, is required for correction. A class “A” violation is subject to a civil penalty in an amount not less than one thousand dollars ($1,000) and not exceeding five thousand dollars ($5,000) for each and every violation. In fixing the amount of the civil penalty to be imposed for a class “A” violation, the district administrator, or his designee, shall consider:
(1) The gravity of the violation, which shall include:
(A) The degree of substantial probability that death or serious physical harm to a patient will result, and if applicable, did result, from the violation.
(B) The severity of serious physical harm most likely to result, and if applicable, that did result, from the violation.
(C) The extent to which the provisions of the applicable statutes or regulations were violated.
(2) The “Good Faith” exercised by the licensee. Indications of good faith include awareness of the applicable statutes and regulations, and reasonable diligence in complying with such requirements, prior accomplishments manifesting the licensee's desire to comply with such requirements, and any other mitigating factors in favor of the licensee.
(3) Any previous violations committed by the licensee.
(b) A class “B” violation is subject to a civil penalty in an amount not less than fifty dollars ($50) and not exceeding two hundred fifty dollars ($250) for each and every violation. A citation for a class “B” violation shall specify the time within which the violation is required to be corrected. If a class “B” violation is corrected within the time specified, no civil penalty shall be imposed.
(c) A class “C” violation is not subject to any monetary civil penalty. A notice of all such violations shall be issued and an appropriate plan of correction obtained at the time of completion of inspection.
(d) Where a licensee has failed to correct a class “A” or a class “B” violation within the time specified in the citation, the Department shall assess the licensee a separate civil penalty in the amount of fifty dollars ($50) for each day that the particular violation continues beyond the date specified for correction.
(e) The civil penalties authorized shall be trebled for a second or subsequent violation of the same regulation occurring within any 12-month period if a citation was issued for the previous violation occurring within such period and a civil penalty was assessed.
§73719. Review Procedures.

(a) If a licensee does not wish to contest a citation, he may transmit to the Department, within four business days, after the issuance of the citation the sum of $1,000 for each class “A” violation and the sum of $50 for each class “B” violation.
(b) If a licensee desires to contest a citation, the assessment of a proposed civil penalty, or the date specified for correction of a violation, he shall, within four business days after service of the citation or assessment of the proposed civil penalty, as the case may be, serve upon the district administrator, or his designee, either personally or by registered or certified mail, the licensee's written notice that:
(1) An informal conference be scheduled to review the matter with the district administrator or his designee; or
(2) The case be presented to the Superior Court for appropriate action.
§73721. Informal Conference.

(a) The district administrator or his designee shall hold, within four business days from the receipt of the licensee's request, an informal conference.
(1) The licensee shall have the right to be represented by legal counsel, to present oral and written evidence or other information on its behalf, and to explain any mitigating circumstances.
(2) The representatives of the Department who issued the citation should attend the conference and present whatever evidence or information, oral or written, in substantiation of the alleged violation.
(3) The conference shall be a simple informal proceeding, and shall not be conducted in the manner of a judicial hearing or as a hearing under the Administrative Procedure Act (Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code), and need not be conducted according to technical rules relating to evidence and witnesses.
(4) Neither the licensee nor the Department shall have the right to subpoena any witness to attend the conference, nor to formally cross-examine any person testifying at the conference. However, both the licensee and the Department may present any witness on its behalf at the conference.
(5) At the conclusion of the informal conference, the district administrator or the designee conducting the conference, may affirm, modify or dismiss the citation, the proposed assessment of a civil penalty, or the date of correction of a violation.
(b) If the district administrator or his designee modifies or dismisses the citation or proposed assessment of a civil penalty, he shall state with particularity, in writing, his reasons for such action and shall immediately transmit a copy to each party to the original complaint, if any.
(c) If the licensee desires to contest the decision made after the informal conference, he shall inform the district administrator in writing by registered or certified mail within four business days after he receives the decision of the informal conference.
(d) If the licensee fails to so notify the district administrator in writing that he further intends to contest the citation or the proposed assessment of a civil penalty or the decision made by the district administrator or his designee after an informal conference within the time specified, the citation or the proposed assessment of a civil penalty or the decision by the district administrator or his designee shall be deemed a final order of the Department and shall not be subject to further administrative review.
(e) If a licensee notifies the district administrator, or his designee, in writing by registered or certified mail that he intends to contest a citation or the assessment of a proposed civil penalty, after an informal conference has been held, the department shall refer the matter immediately to the Attorney General for appropriate action in the Superior Court of the county in which the facility is located.
§73723. Posting of Citations.

(a) Each citation for a class “A” violation which has become final, or copy or copies thereof, shall be prominently posted by the licensee until the violation is corrected to the satisfaction of the Department, up to a maximum of 120 days. The citation or copy shall be posted in a place or places in plain view of the patients in the intermediate care facility, persons visiting those patients and persons who inquire about placement in the facility.
(b) Each citation for class “A” or class “B” violations which has become final, or a copy or copies thereof, shall be retained by the licensee at the facility cited until the violation is corrected to the satisfaction of the Department. Each such citation shall be made promptly available by the licensee for inspection or examination by any member of the public who so requests. In addition, every licensee shall post in a place or places in plain view of the patient in the intermediate care facility, persons visiting those patients and persons who inquire about placement in the facility, a prominent notice informing such persons that copies of all final uncorrected violations issued by the Department to the facility will be made promptly available by the licensee for inspection by any person who so requests.
§73725. Interference with Official Duties.

(a) Any duly authorized officer, employee or agent of the Department may enter and inspect any facility, including, but not limited to, interviewing patients and reviewing records at any time. Inspections conducted pursuant to complaints filed with the Department shall be conducted in such a manner as to ensure maximum effectiveness. No advance notice shall be given of any inspection unless previously and specifically authorized by the Director or required by federal law.
(b) No licensee or employee of any intermediate care facility shall:
(1) Willfully prevent, interfere with or attempt to impede in any way the work of any duly authorized representative of the department in the lawful enforcement of his inspection duties.
(2) Willfully prevent or attempt to prevent any such representative from examining any relevant books or records in the conduct of his inspection duties.
(3) Willfully prevent or interfere with any such representative in the preserving of evidence of any violation of these regulations.
§73727. Discrimination or Retaliation.

(a) No licensee shall discriminate or retaliate in any manner against a patient or employee in its intermediate care facility on the basis or for the reason that such patient or employee or any other person has initiated or participated in any proceeding specified in these regulations. A licensee who violates this provision is also subject under Section 1432 of the Health and Safety Code to a civil penalty of no more than five hundred dollars ($500).
(b) Any attempt to expel a patient from an intermediate care facility or any type of discriminatory treatment of a patient by whom, or upon whose behalf, a complaint has been submitted to the Department or any proceeding instituted under or related to this article within 120 days of the filing of the complaint or the institution of such action, shall raise a rebuttable presumption that such action was taken by the licensee in retaliation for the filing of the complaint.
Chapter 4.5. Intermediate Care Facility/Developmentally Disabled-Nursing
HISTORY

1. Chapter 4.5 (sections 73800-73956, inclusive) repealed by operation of Government Code section 11346.1(g) (Register 93, No. 4). For prior history, see Register 89, No. 24.
Chapter 5. Referral Services
Article 1. Definitions
§74001. Agency Manager.
History

“Agency manager” means a person responsible to the licensee for the overall management of the referral agency.
§74003. Client.

“Client” means any person applying to a referral agency on behalf of himself or another for assistance in locating an appropriate health facility and effecting placement therein.
§74005. Department.
Note     •     History

“Department” means the State Department of Health Services.
NOTE

Authority cited: Sections 208, 1255, 1266, 1275, 1402 and 1426, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 1222, 1229, 1250, 1251, 1251.5, 1252, 1253-1257, 1265, 1265.5, 1265.7, 1265.8, 1266-1270, 1275-1280, 1282, 1294-1298, 1300, 1315, 1316-1318, 1400-1405, 1410-1412, 1417.1, 1418-1432, 1437, 1439, 1729, 1734, 38254 and 38255, Health and Safety Code; Sections 7354, 14105 and 14124.5, Welfare and Institutions Code. Specific reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§74007. Health Facility.

“Health facility” means for the purposes of this chapter any facility licensed by the Department as a skilled nursing facility or an intermediate care facility. “Health facility” also includes a distinct part of a hospital, a skilled nursing facility or an intermediate care facility licensed by the Department to provide skilled nursing care or intermediate care.
§74009. License.

“License” means a basic permit to operate a referral agency.
§74011. Licensed Psychiatric Technician.

“Licensed psychiatric technician” means a person licensed as a psychiatric technician by the California Board of Vocational Nurse and Psychiatric Technician Examiners.
§74013. Licensed Vocational Nurse.

“Licensed vocational nurse” means a person licensed as a licensed vocational nurse by the California Board of Vocational Nurse and Psychiatric Technician Examiners.
§74015. Licensee.

“Licensee” means the person, firm, association, partnership or corporation to whom a license has been issued.
§74017. Patient.

“Patient” means the person requiring admission to a health facility, on whose behalf the assistance of the referral agency is sought. The patient is a client if he is seeking referral on his own behalf.
§74019. Referral Agency.

“Referral agency” means a private, profit or nonprofit agency which is engaged in the business of referring persons for remuneration to any health facility.
§74021. Registered Nurse.

“Registered nurse” means a person licensed as a registered nurse by the Board of Registered Nursing.
§74023. Social Worker.

“Social worker” means a person who is a graduate of a school of social work accredited or approved by the Council on Social Work Education and has one year of social work experience in a health care setting or is licensed as a clinical social worker by the Board of Behavioral Science Examiners.
Article 2. License
§74101. License Required.

(a) No person, partnership, firm, corporation or association shall operate, establish, conduct or maintain a referral agency or hold out, represent or advertise by any means that it operates or conducts a referral agency, without first obtaining a license from the Department.
(b) The provisions of this article do not apply to any local public agency performing referral services without cost to recipients of public social services when otherwise authorized by law.
§74103. Application Required.

(a) A license application shall be forwarded to the Department whenever any of the following circumstances occur:
(1) Change of ownership of referral agency.
(2) Change of name of referral agency.
(3) Change of location of referral agency.
§74105. Content of Application for License.

(a) Any person, partnership, firm, corporation or association desiring to obtain a license shall file with the Department an application on forms furnished by the Department. The application shall contain the following:
(1) Name of applicant, and if an individual, whether the applicant has attained the age of 18 years.
(2) Name of referral agency.
(3) The location of the referral agency.
(4) The business or occupation engaged in by each applicant, and by each partner, officer and director, for at least two years immediately preceding the filing of the application. In addition, each such person shall submit a statement setting forth whether he has previously engaged in the operation of a referral agency, whether he has been involved in, or the subject of, a refusal or revocation of a referral agency license, and whether he has been convicted of a crime other than a minor traffic offense.
(5) If the applicant is a corporation, the name and principal business address of each officer and director of the corporation; and for nonpublic corporations, the name and business address of each stockholder owning ten percent or more of the stock and the name and business address of any corporation member who has responsibility in the operation of the facility.
(6) If the applicant is a partnership, the name and principal business address of each partner.
(7) Evidence of the right to occupy the premises where the referral agency is to be located.
(8) A copy of the partnership agreement or the Articles of Incorporation, if applicable.
(9) A copy of the current organization chart.
(10) A schedule of fees to be charged and collected by the referral agency, and a statement of the method by which each fee is to be computed or determined.
(11) A declaration that neither the licensee nor any member of the partnership or corporation will have any financial interest in any health facility doing business with the referral agency.
(12) Such other information or documents as may be required by the Department for the proper administration and enforcement of the licensing law and requirements.
§74107. Referral Agency--Name.

The Department shall reject any proposed agency name which is the same or similar to that of another licensed referral agency.
§74108. Fee.
Note     •     History

(a) Each application for a license shall be accompanied by the prescribed fee as authorized by Health and Safety Code, section 1266.
(b) No fee shall be refunded to the applicant if the application is withdrawn or if the application is denied by the Department.
(c) An additional fee of $25.00 shall be charged for processing any change of name. However, no additional fee shall be charged for any change of name, which is processed upon a renewal application or upon an application filed because of a change of ownership.
NOTE

Authority cited: Sections 1266, 1275 and 131200, Health and Safety Code. Reference: Sections 1266, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 1-30-80; effective thirtieth day thereafter (Register 80, No. 5).
2. Change without regulatory effect amending section and Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§74109. Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 1222, 1229, 1266, 1275, 1402, 1403, 1523, 1530, 1531, 1729 and 1734, Health and Safety Code. Reference: Sections 1229, 1266, 1403, 1523, and 1729, Health and Safety Code.
HISTORY

1. Amendment filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
2. Amendment filed 1-4-77; effective thirtieth day thereafter (Register 77, No. 2).
3. Amendment of subsection (a) filed 11-8-78; effective thirtieth day thereafter (Register 78, No. 45).
4. Amendment filed 9-28-79; effective thirtieth day thereafter (Register 79, No. 39).
5. Change without regulatory effect repealing section filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§74111. Issuance, Expiration and Renewal.

(a) Upon verification of compliance with licensing requirements, the Department shall issue the license to the applicant.
(b) If the applicant is not in compliance with the laws or regulations, the Department shall deny the applicant a license. Immediately upon the denial of any license, the Department shall notify the applicant in writing. Within 20 days of receipt of the Department's notice, the applicant may present his written petition for a hearing to the Department. Upon receipt by the Department of the petition in proper form, such petition shall be set for hearing within 30 days. The proceedings shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part I of Division 3 of Title 2 of the Government Code.
(c) Each license shall expire at midnight, one year from the date of issuance.
(d) At least 45 days prior to expiration of a license the Department shall mail an application for renewal of license form to each licensee. Application for renewal accompanied by the necessary fees shall be filed with the Department not less than ten days prior to the expiration date. Failure to make a timely renewal shall result in expiration of the license.
§74113. Separate Licenses.

Separate licenses shall be required for referral agencies which are maintained on separate, noncontiguous premises.
§74115. Posting.

The license or true copy thereof shall be conspicuously posted in a prominent location accessible to public view.
§74117. Transferability.

Licenses are not transferable. The licensee shall notify the Department in writing prior to any change of ownership and an application for license shall be submitted by the new owner.
§74119. Report of Changes.

(a) The licensee shall notify the Department within ten days in writing any time a change of stockholder owning ten percent or more of the nonpublic corporate stock occurs. Such writing shall include the name and principal mailing addresses of the new stockholder(s).
(b) When a change of agency manager occurs, the Department shall be notified in writing within ten days by the licensee. Such notification shall include the name of the new agency manager.
(c) Each licensee shall notify the Department within ten days in writing of any change of the mailing address of the licensee. Such writing shall include the new mailing address of the licensee.
(d) When a change in the principal officer of a corporate licensee (chairman, president or general manager) occurs the Department shall be notified within ten days in writing by the licensee. Such writing shall include the name and principal business address of such officer.
§74121. Cancellation or Voluntary Suspension of License.

(a) Any licensee desiring to voluntarily surrender his license for cancellation or temporary suspension shall notify the Department in writing as soon as possible and in all cases at least 30 days prior to the effective date of cancellation or temporary suspension of the license.
(b) Any license placed in temporary suspension pursuant to this section may be reinstated by the Department within 12 months of the date of the voluntary suspension on receipt of an application and evidence showing compliance with licensing requirements.
§74123. Revocation or Suspension of License.

(a) Pursuant to provisions of Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, the Department may suspend or revoke the license of any referral agency, upon any of the following grounds:
(1) Violation by the licensee of any of the provisions of Chapter 2.3 (commencing with Section 1400) of Division 2 of the Health and Safety Code or of the regulations promulgated by the Department contained in this chapter.
(2) Aiding, abetting or permitting the violation of any provisions of Chapter 2.3 (commencing with Section 1400) of Division 2 of the Health and Safety Code or of the regulations promulgated by the Department contained in this chapter.
(3) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the maintenance and operation of the referral agency for which a license is issued.
§74125. Civil Penalty.

Whenever a licensee violates any provision of Chapter 2.3 (commencing with Section 1400) of Division 2 of the Health and Safety Code, or any regulation contained in this Chapter, and the licensee collects any fee from a client or a health facility as a result of such violation, the Department shall assess a civil penalty against the licensee. The amount of the civil penalty shall be equal to the total amount of all fees collected by the licensee as a result of said violation.
§74127. Pursuing Disciplinary Action to Completion.

(a) The withdrawal of an application for a license after it has been filed with the Department shall not, unless the Department consents in writing to such withdrawal, deprive the Department of its authority to institute or continue a proceeding against the applicant for the denial of the license upon any ground provided by law or to enter an order denying the license upon any such ground.
(b) The suspension, expiration or forfeiture by operation of law of a license issued by the Department, or its suspension, forfeiture or cancellation by order of the Department or by order of a court of law, or its surrender without the written consent of the Department, shall not deprive the Department of its authority to institute or continue a disciplinary proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking the license or otherwise taking disciplinary action against the licensee on any such ground.
§74129. Reinstatement--Discipline Reduction.

A person whose license has been revoked or suspended may petition the Department for reinstatement or reduction of the discipline imposed after a period of not less than one year has elapsed from the effective date of the decision or from the date of the denial of a similar petition.
Article 3. Administration
§74201. Agency Manager.

The licensee may act as the agency manager, or shall designate one person to be the agency manager who shall be responsible to the licensee for the operation and management of the referral agency in the absence of the licensee.
§74203. Plan of Operation.

(a) The referral agency shall have a written, definitive plan of operation and policy statement. The plan of operation and the policy statement shall be on file in the agency and available for inspection by a Department representative. These documents shall include the following:
(1) Staff qualifications and duty statements for each position.
(2) Current schedule of fees, policy on fee setting and policy on refunds.
(3) A description of the services performed by the referral agency, including an outline of the criteria used in screening clients to determine the patient's needs.
(4) A statement of the criteria for acceptance of clients, including a declaration that the facility is operated on a nondiscriminatory basis.
(5) A method of obtaining information on health facilities to which the agency refers clients. Such information shall include any special services offered, specific types of patients admitted and other pertinent information needed to insure the appropriate placement of patients according to their needs.
§74205. Records.

The referral agency shall maintain records which shall be available for review by the Department or licensing agency.
§74207. Facility Records.

Facility records shall contain names, addresses and categories of licensure for all health facilities with which the referral agency does business.
§74209. Accounting Records.

(a) Accounting records shall contain billing records, including copies of invoices and copies of receipts for each and every financial transaction conducted in the course of the referral agency's business.
(b) There shall be on file in the referral agency a copy of each service agreement or contract made by the agency and any health facility and those made by the agency with any client with whom the agency has agreed or contracted.
§74211. Patient Records.

(a) Patient records shall contain: patient's name and home address, age; client's name, if other than patient, and his home address; diagnosis, disabilities, name of attending physician; the amount of all fees, deposits, and remuneration received by the referral agency from the client, and date of receipt; and facility chosen by the client.
(b) Information contained in the patient records shall be confidential, and disclosed only to authorized persons.
§74213. Personnel Records.

(a) Personnel records shall contain: full name, age, Social Security number, position classification, date of beginning employment and date of termination, educational and experience qualifications, dates and types of in-service training received and professional license or registration number, if applicable.
(b) Records on all former employees shall be retained for a minimum of three years following the effective date of separation.
§74215. Fiscal Reports.

(a) Each licensee shall furnish to the Department annually, on or before March 15, a fiscal report of its activities during the preceding calendar year, on forms supplied by the Department. The fiscal report shall include, but not be limited to:
(1) The number of clients served.
(2) The total amount of referral fees collected from clients.
(3) The total amount of referral fees collected from health facilities.
(4) Any income in addition to referral fees, and its source.
(5) Names and addresses of the facilities with which the referral agency has done business during the preceding year.
(6) Other information, as required by the Department.
Article 4. Services
§74301. Services.

Referral agency services are those services which include patient screening, facility information, counseling procedures and referral services to ensure placement of patients according to their needs. Additional counseling services may be offered, as provided in this chapter. 
§74303. Patient Screening.

(a) In determining the needs of the patient, the referral agency shall obtain and utilize the following information relating to the patient:
(1) Diagnosis and recommendation of level of care from the patient's private physician, whenever available.
(2) Comments from any social worker, registered nurse or other health professional acquainted with the social, emotional and physical or medical needs of the patient, whenever available.
(3) Any social service or special rehabilitative needs.
(4) Need for special nursing care.
(5) Social history and living habits obtained from the patient or family.
(6) Roommate preferences.
(7) Preference for location of placement, including the family preference.
(8) Financial resources and limitations.
(9) Religious, cultural, dietary and activity preferences.
§74305. Facility Information.

(a) The referral agency shall verify all information concerning any health facility before supplying such information to the client.
(b) Each member of the referral agency staff providing direct service to clients shall be aware of the following information with respect to each health facility with which the referral agency does business:
(1) A review of the most recent inspection report conducted by the Department, including, if any, the list of deficiencies and plan of correction.
(2) Notation of any class “A” or class “B” citation for the violation of licensing rules and regulations, which has become final; the nature, seriousness and date of the violation.
(c) The referral agency shall provide the client the following information regarding each health facility to which the client is referred:
(1) Physical Appearance of Facility.
(A) Characteristics of the buildings, grounds and surrounding neighborhood.
(B) Neatness, cleanliness, presence or absence of odors, signs of neglect and upkeep of the physical plant.
(2) Appearance of Patients in Facility.
(A) Attitude of patients.
(B) Attitude of staff toward patients.
(C) Patient cleanliness and comfort.
(D) Method of selection of roommates.
(3) Availability of Services.
(A) Observance of dietary preferences.
(B) Overall quality of dietary service.
(C) Availability of dental services.
(D) Availability of ancillary therapeutic services.
(E) Beautician and barber services.
(F) Arrangements, if any, for transportation of patients.
(G) Any contract or other arrangement of the facility under which services to patients in the facility may be furnished only by a specific, designated provider.
(4) Activity Program.
(A) Availability and frequency of activities.
(B) Availability of books, magazines and other activity materials and equipment.
(C) Availability of religious services.
(D) Arrangements, if any, for outside activities and the transportation of patients.
(5) Staff.
(A) The types of licensed personnel and other staff available for the care of patients.
(B) The appearance and attitude of the entire staff.
(6) Rates and Charges.
(A) The basic rate for care in the facility and the services included in the basic rate.
(B) Amount of any additional charges for professional and nonprofessional services not covered under the basic rates.
(C) The facility's refund policy.
§74307. Counseling Procedures.

(a) Counseling procedures shall include the following services:
(1) Assistance in the social and emotional adjustment of patient and family to problems accompanying the patient's admission to a health facility.
(2) Assistance to patient and family in understanding, accepting and following medical recommendations and other services intended to restore the patient to optimum adjustment within his capabilities.
(3) Assistance to patient and family in utilizing available community resources. Advice and information regarding public programs shall be confined to the supplying of names, phone numbers and addresses of agencies administering such programs. At no time shall any referral agency, its representatives or employees, hold out to give authoritative information on eligibility requirements, program benefits or other officially determined aspects of any public program.
(4) No member of the referral agency staff shall engage in the practice of clinical social work unless such member is a licensed clinical social worker.
§74309. Referral Services.

(a) The referral agency shall refer the patient to appropriate health facilities capable of meeting his particular needs.
(b) The referral agency shall refer each client to a minimum of three health facilities if three or more satisfactory facilities are available in the area.
(c) The name of each facility to which a client is referred shall be entered in the referral agency patient record.
Article 5. Personnel Requirements
§74401. Policy Statement.

(a) The referral agency shall adopt written personnel policies concerning the qualifications, responsibilities and conditions of employment for each type of personnel, which shall be available to all personnel. The policies shall include:
(1) Wage scales, hours of work, vacation and sick leave.
(2) A plan for an annual evaluation of employee performance.
(3) Specific job descriptions for each category of personnel, including duties and work activities of each category.
(4) A provision that there shall be no discrimination in employment against any person because of religion, creed, sex, race, color, ancestry or national origin.
§74403. In-Service Training Policy Statement.

(a) The referral agency shall have written policies and procedures describing the in-service training program for all employees rendering direct service to clients. In-service training shall include, but not be limited to:
(1) Instruction in all policies and procedures of the referral agency.
(2) Instructions in the regulations contained in this chapter governing the conduct of referral agencies.
(3) Orientation to the needs and problems accompanying a patient's entry into a health facility.
(4) Availability of community resources to which the client may be referred.
(5) Information on the types of health facilities and the levels of care, activities and services offered in such facilities. Each employee rendering direct service to clients shall spend at last three days per year making on-site visits to health facilities doing business with the agency.
(b) In-service training shall be conducted at least quarterly.
(c) The referral agency shall maintain a record of all in-service training conducted by the agency.
§74405. Staff Qualifications.

(a) All persons employed by the referral agency to provide direct service to clients shall be at least 18 years of age and shall meet one of the following requirements for training or experience:
(1) Shall be either a registered nurse, licensed vocational nurse, licensed psychiatric technician, social worker or other health care professional, as approved by the Department; or
(2) Have one year full-time experience providing direct patient care in a hospital or a health facility; or
(3) Have one year full-time experience providing direct service to clients in either a public or a private referral agency or service.
Article 6. General Provisions
§74501. Financial Interest Prohibited.

No licensee shall have any direct or indirect financial interest in any health facility doing business with the licensee.
§74503. Fee Schedule.

(a) A copy of the current schedule of fees in effect shall be posted at all times in a conspicuous place in the referral agency. The posted schedule of fees shall be in lettering or printing of a size not less than standard pica capitals. The effective date of the schedule and of each change therein shall appear on the posted copy.
(b) No referral agency shall charge or collect any fee in excess of that listed in the posted schedule of fees.
(c) No change in the schedule of fees shall become effective until seven (7) days after filing the changed schedule of fees with the Department and until posted for seven (7) days in a conspicuous place in the referral agency.
§74505. Payment Terms.

A client from whom a fee or deposit is to be collected shall receive, prior to being interviewed, a copy of the referral agency's current fee schedule and payment terms. The fee schedule shall list the total fee charged by the referral agency for referral services to each type of health facility and all other fees charged for any other service rendered by the agency.
§74507. Deposit and Refund Policy.

(a) The referral agency shall give a written receipt to each client from whom a deposit is received. Only one deposit or prepayment fee of any kind shall be collected by the agency from a client. If a patient is placed in a health facility, the deposit or prepayment fee shall be applied to the total fee to be paid by the client to the referral agency.
(b) If the client making a deposit on a fee for referral fails to effect placement in an appropriate health facility, the referral agency shall, upon demand therefor, repay the amount of the deposit to the client. A clause to this effect shall be inserted in all client contracts and deposit receipts.
(c) If, within seven days of admission a client is dissatisfied with the health facility to which he was referred; and if such dissatisfaction is the direct result of an inappropriate placement by the referral agency, the agency shall refund the full amount of all deposits, prepayments and fees previously collected from the client for the referral, upon receiving verification of the patient's discharge or transfer to another facility.
§74509. Re-Referral Fee Prohibited.

The referral agency shall collect only one fee from each client or health facility for its services that result in an appropriate placement, regardless of the number of individual health facilities and the number of times which the client has been referred by the referral agency to effect an appropriate placement.
§74511. Collection of Duplicate Fees.

No referral agency shall collect or accept any fee, gratuity, monetary or other payment consideration from both the client and the health facility to which the client is referred.
§74513. Advertisements; Misrepresentations.

No referral agency shall publish or cause to be published any false, fraudulent or misleading information, representation, notice or advertisements concerning the services or the operations of the agency. All advertisements of the referral agency, whether by means of cards, circulars, signs or in newspapers and other publications, shall specify the name and address which appears on its license. No referral agency shall give any false information or make any false promises or representation concerning the services of the agency or the qualifications of its personnel to any client who registers or applies for referral to a health facility.
§74515. Referral of Client to Unlicensed Facilities Prohibited.

No referral agency shall refer any client to a health facility which is not licensed by the Department.
Chapter 6. Home Health Agencies
Article 1. Definitions
§74600. Home Health Agency.
Note     •     History

(a) “Home Health Agency” means a private or public organization, including but not limited to, any partnership, corporation, political subdivision of the state, or other government agency within the state, which provides, or arranges for the provision of, skilled nursing services, to persons in their temporary or permanent place of residence.
(b) “Home Health Agency” does not mean an employment agency or licensed nurses' registry pursuant to Title 2.91 (commencing with Section 1812.500) of Part 4 of Division 3 of the Civil Code. No employment agency or licensed nurses' registry shall by its name, advertisement, or any other representation, represent itself to be a home health agency.
(c) The provision of skilled nursing services in a facility in accordance with Chapter 2 or Chapter 8.6 of the Health and Safety Code shall not require a home health agency license.
(d) The provision of home health services by a person who is a physician, dentist, podiatrist, or other licensed and legally authorized practitioner within his or her scope of practice shall not require a home health agency license.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727(a) and 1734, Health and Safety Code. 
HISTORY

1. New Chapter 6 (Articles 1-5, Sections 74600-74749, not consecutive) filed 6-21-79; effective thirtieth day thereafter (Register 79, No. 25).
2. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
7. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of History 7 (Register 97, No. 3).
9. Amendment of section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
10. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 5-15-97 order, including new subsection (a) designator, new subsections (b)-(d), and amendment of Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74601. Public Agency.
Note

“Public agency” means a home health agency operated by a state or local government.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74603. Private Agency.
Note

“Private agency” means a nonprofit agency or a proprietary agency, as defined in subsections (a) and (b) below.
(a) A “nonprofit agency” is a home health agency not operated by a state or local government and which is exempt from federal income taxation under 26 USC Section 501 (c) (3).
(b) A “proprietary agency” is a home health agency not operated by a state or local government and which is not exempt from federal income taxation under 26 USC Section 501 (c) (3).
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74605. Subdivision.
Note

“Subdivision” means a component of a health agency such as the home care department of a hospital or the nursing division of a health department which independently meets the home health agency licensing requirements of the Department.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74607. Parent and Primary Home Health Agency.
Note     •     History

(a) “Parent home health agency” means the primary home health agency which establishes, maintains and assures administrative and supervisory control of branch offices. The service area of a parent home health agency may not extend beyond four hours surface travel time from the agency unless the agency serves a rural, scarcely populated area pursuant to Section 74663.
(b) “Primary home health agency” means the agency that is responsible for the services furnished to patients and for implementation of the plan of treatment, plan of care, or plan for personal care services, where more than one home health agency provides services to a patient.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section heading, section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74609. Branch Office.
Note     •     History

“Branch office” means a home health agency established and administered by a parent home health agency, providing services within a portion of the total service area served by the parent agency. Patients are accepted for service by the branch office at a separate location from the parent agency. The branch office is not required to be staffed with an administrator and a Director of Patient Care Services but must have a Nurse Supervisor available on the premises or immediately accessible by telecommunications during operating hours when patients are receiving services. The parent agency shall develop and implement a written plan for administration and supervision of a branch office. The administration at the parent agency shall be responsible for the staffing, patient census, and any issues affecting the operation of a given branch.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727.5 and 1734, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74611. Subunit. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 (a) and 1734, Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer of section and amendment of Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of section and amendment of  Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer of section and amendment of Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Repealer of section and amendment of Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Repealer of section and amendment of Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Repealer of section and amendment of Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74613. Administrator.
Note

“Administrator” means a person who is appointed in writing by the governing body of the home health agency to organize and direct the services and functions of the home health agency.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74615. Audiologist.
Note

“Audiologist” means a person licensed as such by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74617. Dentist.
Note

“Dentist” means a person licensed as a dentist by the California Board of Dental Examiners.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74619. Department.
Note

“Department” means the State Department of Health Services.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74621. Director.
Note

“Director” means the Director of the State Department of Health Services.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74623. Dietitian.
Note

“Dietitian” means a person registered or eligible for registration as such by the American Dietetic Association.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74624. Home Health Aide.
Note     •     History

“Home health aide” means an aide who has successfully completed a training program approved by the Department of Health Services pursuant to applicable federal and state regulation, is employed by a home health agency or hospice program, provides personal care services in the patient's home, and is certified pursuant to Section 1736.1 of the Health and Safety Code.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727(c), 1727.5(e), 1734 and 1736.1, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74625. Home Health Services.
Note     •     History

“Home health services” means those health services which are provided to a patient in a place of residence used as the patient's home.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74627. License.
Note

“License” means the basic document issued by the Department permitting the operation of a home health agency. This document constitutes the authority to accept patients and to perform the services included within the scope of these regulations and as specified on the license.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74629. Licensee.
Note

“Licensee” means the person, persons, firm, partnership, association, corporation, receiver, political subdivision of the State or other governmental agency to whom a license has been issued and shall include the officers, directors, partners and members thereof and other persons having or exercising responsibility or authority in the operation of the agency.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74631. Licensed Vocational Nurse.
Note

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

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74633. Occupational Therapist.
Note

“Occupational therapist” means a person who is a graduate of an occupational therapy curriculum accredited jointly by the Council on Medical Education of the American Medical Association and the American Occupational Therapy Association; and is registered by the American Occupational Therapy Association.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74635. Occupational Therapist Assistant.
Note

“Occupational therapist assistant” means a person certified as such by the American Occupational Therapy Association.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1724, Health and Safety Code.
§74637. Part-Time or Intermittent Care. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 1734, Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer of section and amendment of Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of section and amendment of Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer of section and amendment of Note  refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Repealer of section and amendment of Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Repealer of section and amendment of Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Repealer of section and amendment of Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74639. Patient.
Note     •     History

“Patient” means a person who is under observation, treatment or care for illness, disease or injury, or under care during and after a pregnancy, or a person accepted only for personal care services without a plan of treatment prescribed by a physician.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727(c) and 1734, Health and Safety Code.
HISTORY

1. Amendment filed 10-8-97; operative 10-8-97 (Register 97, No. 41).
§74641. Physical Therapist.
Note

“Physical therapist” means a person licensed as such by the Physical Therapy Examining Committee of the California Board of Medical Quality Assurance.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74643. Physical Therapist Assistant.
Note

“Physical therapist assistant” means a person who is approved as such by the Physical Therapy Examining Committee of the California Board of Medical Quality Assurance.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74645. Physician.
Note

(a) “Physician” means a person licensed as a physician and surgeon by the California Board of Medical Quality Assurance or by the California Board of Osteopathic Examiners.
(b) Attending Physician. “Attending physician” means the physician responsible for the medical treatment of the patient.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74647. Podiatrist.
Note

“Podiatrist” means a person licensed as a podiatrist by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74649. Public Health Nurse.
Note

“Public health nurse” means a person licensed as a registered nurse who possesses a public health nursing certificate issued by the Department.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74650. Registered Domestic Partner.
Note     •     History

Registered domestic partner shall have the same meaning as defined in Family Code Sections 297 and 297.5.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting section filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§74651. Registered Nurse.
Note

“Registered nurse” means a person licensed in the State of California by the Board of Registered Nursing.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74652. Skilled Nursing Services Criteria for Licensure of Home Health Agencies.
Note     •     History

(a) For purposes of licensure as a home health agency, “skilled nursing services” means services which are provided by and within the scope of practice of a registered nurse or licensed vocational nurse. Entities providing or arranging for the provision of skilled nursing services shall obtain a home health agency license.
(b) For purposes of licensure as a home health agency, “providing or arranging for the provision of skilled nursing services” means that an entity does either one or both of the following:
(1) Employs a registered nurse or licensed vocational nurse to utilize his or her skills to promote the medical benefit of the patient in a temporary or permanent place of residence.
(2) Obtains the services of a registered nurse or licensed vocational nurse who is not an employee in order to fulfill its contractual obligations to promote the medical benefit of the patient in the patient's temporary or permanent place of residence.
(c) For purposes of licensure as a home health agency, “providing or arranging for the provision of skilled nursing services” does not include:
(1) Any entity that utilizes qualified, licensed nursing personnel within their scope of practice to evaluate individuals only to determine their quality and/or level of care or nursing needs;
(2) Any entity that utilizes qualified, licensed nursing personnel within their scope of practice to facilitate access by referral to needed home care services (e.g., determining that an individual requires skilled nursing care, and referring the case to a licensed home health agency);
(3) Any entity that utilizes qualified, licensed nursing personnel within their scope of practice to provide only case management and/or supervision for personnel providing only personal care services (e.g., any business that only furnishes personal care or services that are not related to a patient's illness or injury).
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727(b) and 1734, Health and Safety Code.
HISTORY

1. New section filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. New section filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. New section refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. New section refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section heading, section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74653. Social Worker.
Note

“Social worker” means a person who has a Master of Social Work degree from a school of social work accredited or approved by the Council on Social Work Education and having one year of social work experience in a health care setting.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74655. Social Work Assistant.
Note

“Social work assistant” means a person with a baccalaureate degree in the social sciences or related fields.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74657. Speech Pathologist.
Note

“Speech pathologist” means a person licensed as such by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
Article 2. License
§74659. License Required.
Note

(a) No person, firm, partnership, association, corporation, receiver, political subdivision of the State or other governmental agency within the State shall establish, operate or maintain a home health agency or hold out, represent or advertise by any means that it operates a home health agency without first obtaining a license from the Department.
(b) A subdivision or department of any facility or other agency, such as a hospital, skilled nursing facility or health department may be approved to operate as a home health agency, provided a separate license is obtained. In such facilities or agencies, records shall be maintained in such a manner that activities and expenditures for services provided by the home health agency are separate and identifiable.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1725, 1726, 1728, 1731 and 1734, Health and Safety Code.
§74661. Application for License.
Note     •     History

(a) Any person, firm, partnership, association, corporation, receiver, political subdivision of the State or other governmental agency desiring to obtain a license shall file with the Department an application. Applicants shall use the Department's forms: Application for Facility License HS 200 (March, 1996), Disclosure of Ownership HS 215 (March, 1996), and Administrative Organization/Organizational Structure HS 309 (September, 1995). These forms and instructions are herein incorporated by reference. The application shall contain the following:
(1) Name and address of applicant.
(A) If an individual, verification that the applicant has attained the age of 18 years.
(B) For all incorporated applicants, the date and state of incorporation, corporation number and, if a foreign corporation, evidence of authority to do business in the State of California.
(2) The type of services for which approval is requested.
(3) The location of the home health agency and branch offices and basis upon which the applicant exercises control and possession thereof.
(4) The name of the administrator in charge of the home health agency.
(5) The name and principal business address and the percentage of ownership interest of all officers, directors, stockholders owning 5 percent or more of stock, members, partners and all other persons having authority or responsibility for the operation of the agency and shall provide evidence that all such persons are of reputable and responsible character.
(6) Proof of sufficient financial responsibility as may be necessary to operate the agency.
(7) A copy of the current organizational chart.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1728.1 and 1734, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 10-8-97; operative 10-8-97 (Register 97, No. 41).
§74663. Special Conditions for License.
Note

All home health agencies shall meet the requirements stated herein with the exception that upon finding by the Director that a specific area is a rural, scarcely populated area where no other licensed provider of service is available, and lack of service would constitute a hardship to the people of the area, a license may be granted to a home health agency which does not meet all of the requirements under conditions and for a period specified by the Director.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1734, Health and Safety Code.
§74664. Operation of a Home Health Agency Across State Lines.
Note     •     History

Home health agencies, as defined in Section 1727 of the Health and Safety Code, that are based outside of California, and provide services across state lines in California, must have a parent office licensed in this state and meet all applicable requirements. Home health agencies crossing state lines in order to serve rural, scarcely populated areas may meet the special conditions for a license on a case-by-case basis pursuant to Section 74663.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections  1727(a), 1727.5(e), 1727.5(f), 1729 and 1734, Health and Safety Code.
HISTORY

1. New section filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. New section filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. New section refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. New section refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74665. Disclosure Clause.
Note     •     History

The home health agency must disclose the following information to the Department at the time of the home health agency's initial request for licensure, at the time of each survey, and at the time of any change in ownership or management:
(a) The name and address of each person with an ownership or control interest of five percent or greater in the home health agency.
(b) The name and address of each person who is an officer, a director, an agent, or a managing employee of the home health agency.
(c) The name and address of the person, corporation, association, or other company that is responsible for the management of the home health agency, and the name and address of the chief executive officer and the chairman of the board of directors of the corporation, association or other company responsible for the management of the home health agency.
(d) If any person described in (a), (b), or (c) has served as or currently serves as an administrator, general partner, trustee or trust applicant, sole proprietor or any applicant or licensee who is a sole proprietorship, executor, or corporate officer or director of, or has held a beneficial ownership interest of 5 percent or more in any other home health agency, health facility, clinic, hospice, Pediatric Day Health and Respite Care Facility, Adult Day Health Care Center, or any facility licensed by the Department of Social Services, the applicant shall disclose the relationship to the Department, including the name and current or last address of the facility and the date such relationship commenced and, if applicable, the date it was terminated.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Section 1734, Health and Safety Code.
HISTORY

1. Repealer and new section filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer and new section  refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Repealer and new section filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Repealer and new section  refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Repealer and new section  refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74667. Report of Changes.
Note     •     History

(a) Changes Requiring New Application. An application shall be submitted to the Department within 10 working days whenever a change of ownership occurs. A change of ownership shall be deemed to have occurred where, among other things, when compared with the information contained in the last approved license application of the licensee, there has occurred a transfer of 50 percent or more of the issued stock of a corporate licensee, a transfer of 50 percent or more of the assets of the licensee, a change in partners or partnership interests of 50 percent or greater in terms of capital or share of profits, or a relinquishment by the licensee of the management of the agency.
(b) Changes Requiring Written Notice. The licensee shall, within 10 days, notify the Department in writing of the following:
(1) Change of name of home health agency.
(2) Change of location and/or address of home health agency.
(3) Change in the licensing information required by subsection (a) of Section 74661. 
(4) Change of the mailing address of the licensee.
(5) Change in the principal officer (chairman, president, general manager) of the governing board. Such written notice shall include the name and principal business address of each new principal officer.
(6) Change of the administrator including the name and mailing address of the administrator, the date the administrator assumed office and a brief description of qualifications and background of the administrator.
(7) Change of Director of Patient Care Services including the name and mailing address of the Director of Patient Care Services, the date the Director of Patient Care Services assumed office and a brief description of qualifications and background of the Director of Patient Care Services.
(8) Addition or deletion of services.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Section 1734, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 10-8-97; operative 10-8-97 (Register 97, No. 41).
§74669. Fee.
Note     •     History

(a) Each application for an initial or renewal license shall be accompanied by the prescribed fee as required by Health and Safety Code, section 1266.
(b) Change of location of a parent or branch office and change of name shall be accompanied by a processing charge of $25.
(c) An agency whose license renewal date occurs prior to the enrollment date of the Budget Act for that year, shall not be deemed to be operating without a license so long as the renewal application and the fee specified in the Budget Act are submitted to the Department within 20 days after the enrollment of the Budget Act.
(d) If the application is withdrawn or denied, the amount of the fee specified in Section 1729 of the Health and Safety Code shall be returned.
NOTE

Authority cited: Sections 1734 and 131200, Health and Safety Code. Reference: Sections 1266, 1729, 1730, 1734, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of subsection (c), new subsection (d) and amendment of Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
11. Change without regulatory effect amending subsection (a) and Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§74671. Issuance, Denial, Expiration and Renewal.
Note

(a) The Department shall issue the license to the applicant upon verification of compliance with licensing requirements unless cause for denial under (b) below exists.
(b) The Department shall deny the application of any prospective licensee who:
(1) Is not in compliance with the laws and regulations pertaining to home health agencies.
(2) Has had a home health agency license suspended or revoked within the previous 24 months.
(3) Has otherwise failed to establish that the premises, management, the bylaws, the equipment, the staffing, both professional and nonprofessional, and the standards of care and services are adequate and appropriate.
(c) Immediately upon the denial of any application for a license, the Department shall notify the applicant in writing. Within 20 days of the Department's notice, the applicant may present a written petition for a hearing to the Department. Upon receipt by the Department of the petition in proper form, such petition shall be set for hearing. The proceedings shall be conducted in accordance with Chapter 5 of Part I of Division 3 of Title 2 of the Government Code beginning with Section 11500.
(d) At least 45 days prior to expiration of a license the Department shall mail an application for renewal of license form to each licensee. Application for renewal accompanied by the necessary fees shall be filed with the Department not less than 30 days prior to the expiration date. Failure of the Department to mail the renewal notice does not relieve the licensee of the obligation to make timely renewal. Failure to make a timely renewal shall result in expiration of the license.
(e) The licensee shall specify the types of services the home health agency is applying for approval to provide.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1734, 1735, 1736, 1737 and 1737.5, Health and Safety Code.
§74673. Transferability.
Note

Licenses are not transferable. The licensee shall notify the Department in writing at least 30 days prior to the effective date of any change of ownership. A new application for licensure shall be submitted by the prospective new owner.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1734, Health and Safety Code.
§74675. Separate Licenses.
Note     •     History

(a) Separate licenses shall be required for each parent home health agency office. Licenses shall be posted in public view. All current branch office addresses shall be listed on the parent license.
(1) Each branch office shall receive a separate approval by the Department prior to operation and be reviewed as part of the parent agency.  The approval may be based on survey of any home health agency requirements and may include on-site inspection of the business location. At the Department's discretion, an abbreviated survey may be conducted which shall require from the home health agency, at a minimum:
(A) Submission of the written plan for administration and supervision of the branch office pursuant to Section 74609. The plan shall include the name, license number/qualifications of the nursing supervisor, and those individuals providing other branch office services approved for the home health agency license. The plan shall consist of policies and procedures consistent with criteria in the agency's Quality Management evaluation under Section 74742(c)(5).
(B) An update of disclosure information pursuant to Section 74665; and
(C) A license application form to update the address and other information for the branch office.
(2) The parent agency need not be inspected when a branch office gets a separate approval. The branch office shall post a copy of the parent office's license in public view. The branch office shall have the parent license number followed by a branch office identifier and the current branch office address to meet reporting requirements under Section 74729. The parent agency shall ensure that the Department is notified of any proposed change in the location of the branch office and must receive prior approval by the Department before the change in location. The prescribed fees specified by statute shall be paid prior to operation of a branch office.
(b) The Department may require a branch to become licensed as a parent agency when it has determined based on substantial deficiencies that the volume and complexity of services provided are such that the administration and supervision are unable to be shared daily with the parent agency.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1728.1(b), 1729 and 1734, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74677. Availability of License.
Note

The license, or a true copy thereof, shall be conspicuously posted in a location accessible to public view in the main business area.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1734, 1736, 1737 and 1737.5, Health and Safety Code.
§74679. Voluntary Suspension of License.
Note

(a) A licensee may request in writing that a license be put in suspense. The Department may approve the request for a period not to exceed 12 months.
(b) Any license which has been temporarily suspended by the Department pursuant to this section shall remain subject to all renewal requirements of an active license, including the payment of license renewal fees, during the period of temporary suspension.
(c) Any license suspended pursuant to this section may be reinstated by the Department within 12 months of the date of suspension, on receipt of an application and evidence showing compliance with licensing operational requirements in effect at the time of reinstatement. If license is not reinstated within the 12-month period, the license shall expire automatically and shall not be subject to reinstatement.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1734, 1736, 1737 and 1737.5, Health and Safety Code.
§74681. Voluntary Cancellation of License.
Note

(a) Any licensee desiring to voluntarily surrender a license for cancellation shall notify the Department in writing as soon as possible.
(b) Any license voluntarily cancelled pursuant to this section may be reinstated by the Department within 12 months of the date of cancellation on receipt of an application and evidence showing compliance with licensing operational requirements.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1734, 1736, 1737 and 1737.5, Health and Safety Code.
§74683. Revocation or Involuntary Suspension of License.
Note

(a) Pursuant to proceedings conducted under the provisions of Chapter 5 of Part I of Division 3 of Title 2 of the Government Code beginning with Section 11500, the Department may suspend or revoke the license of any agency upon any of the following grounds:
(1) Violation by the licensee of any of the provisions of Chapter 8 of Division 2 of the Health and Safety Code beginning with Section 1725 or of any of the regulations promulgated by the Department contained in Chapter 6 of Division 5 of Title 22 of the California Administrative Code.
(2) Aiding, abetting or permitting the commission of any illegal act.
(3) Misrepresentation of a material fact in the application for a license.
(4) Failure to report any changes required by Section 74661.
(5) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the provision of services.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1734, 1735 and 1736, Health and Safety Code.
§74685. Pursuing Disciplinary Action to Completion.
Note

(a) The withdrawal of an application for a license after it has been filed with the Department shall not, unless the Department consents in writing to such withdrawal, deprive the Department of its authority to institute or continue a proceeding against the applicant for the denial of the license upon any ground provided by law or to enter an order denying the license upon any such ground pursuant to Chapter 5 of Part I of Division 3 of Title 2 of the Government Code beginning with Section 11500.
(b) The suspension, expiration or forfeiture by operation of law of a license issued by the Department, or its suspension, forfeiture or cancellation by order of the Department or by order of a court of law, or its surrender without the written consent of the Department, shall not deprive the Department of its authority to institute or continue a disciplinary proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking the license or otherwise taking disciplinary action against the licensee on any such ground.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1734, 1735 and 1736, Health and Safety Code.
§74687. Reinstatement of Revoked or Suspended License.
Note

A licensee whose license has been revoked or suspended, may petition the Department for reinstatement or reduction of the disciplinary action imposed after a period of not less than one year has elapsed from the effective date of the decision or from the date of the denial of a similar petition pursuant to Government Code Section 11522.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1734, 1736 and 1737, Health and Safety Code.
§74689. Program Flexibility.
Note

(a) All home health agencies shall maintain compliance with the licensing requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects, provided such exceptions are carried out with provisions for safe and adequate care and with the prior written approval of the Department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request and substantiating evidence supporting the request shall be submitted by the applicant or licensee to the Department.
(b) The Department shall approve or deny such request within 60 days of submission. Such approval shall be in writing and shall provide for the terms and conditions under which the exception is granted. A denial shall be in writing and shall specify the basis therefor.
(c) Any approval of the Department granted under this section, or a true copy thereof, shall be readily available in the agency and accessible upon request.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1734, Health and Safety Code.
Article 3. Services
§74691. Services Provided. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 (a) and 1734, Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of  Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer of section and amendment of Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of section and amendment of Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer of section and amendment of Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Repealer of section and amendment of Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Repealer of section and amendment of Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Repealer of section and amendment of Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74693. Preventive, Treatment and Rehabilitative Services.
Note

(a) To the extent that services are provided and the patient's condition makes it appropriate, preventive, treatment, rehabilitative and maintenance services for patients for whom the agency accepts responsibility shall be provided by the agency or through it under arrangements with other qualified providers of service.
(b) The character and scope of advice, treatment and appliances provided by the agency shall be consistent with accepted standards of practice for the discipline involved.
(c) The professional personnel of the agency shall check that equipment, apparatus or appliances supplied by the agency for a service or furnished to a patient in the course of their treatment, are in good working order at the time of the visit.
(d) Each type of service provided by the agency for patients shall be approved by the Department and as a minimum shall:
(1) Be under the direction of a person registered, licensed or certified to provide such service if registration, licensure or certification is required, or be otherwise qualified as provided in these requirements.
(2) Have written policies and procedures and reference material readily available to guide and assist agency personnel.
(e) Services that may be provided and approved include but are not limited to the following:
(1) Diet Counseling.
(2) Home Health Aide Services.
(3) Nursing Services.
(4) Occupational Therapy.
(5) Physical Therapy.
(6) Speech Therapy.
(7) Medical Social Services.
(8) Medical Supplies and Appliances.
(f) Personnel shall be available to render rehabilitative treatment or other services prescribed for patients accepted for care by the agency.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74695. Requirements for Acceptance of Patients.
Note     •     History

(a) All persons accepted for service whose care requires medical orders shall be under the care of a physician, dentist, podiatrist or other licensed practitioner within his or her scope of practice.
(b) A home health agency shall only accept and retain patients for whom it can provide adequate care.
(c) Home health agencies participating in the Medicare and/or Medi-Cal program shall meet applicable federal requirements.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727(c), 1727.5(e) and 1734, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section heading, section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section heading, section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section heading, section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74697. Plan of Treatment; Plan of Care; Plan for Personal Care Services.
Note     •     History

(a) A written plan of treatment (or plan of care for home health agencies participating in the Medicare and/or Medi-Cal program) shall be established for each patient whose care requires medical orders. A plan of treatment or plan of care for patients requiring medical orders shall be:
(1) Approved and signed within 30 working days by the attending physician, dentist, podiatrist, or other licensed and legally authorized practitioner within his or her scope of practice.
(2) Developed in consultation with agency health professional staff.
(3) Modified and added to only with approval of the attending physician, dentist, podiatrist, or other licensed and legally authorized practitioner within his or her scope of practice.
(4) Reviewed and updated by the attending physician, dentist, podiatrist, or other licensed and legally authorized practitioner within his or her scope of practice in consultation with the agency health professional personnel as frequently as the patient's condition warrants and at least every 62 days.
(5) In compliance with applicable federal requirements for a plan of care when the home health agency participates in the Medicare and/or Medi-Cal program.
(b) The plan of treatment or plan of care for patients requiring medical orders shall include, but not be limited to, the following pertinent information:
(1) Diagnosis.
(2) Types of services and equipment required.
(3) Statement of treatment goals.
(4) Medications and treatment.
(5) Functional limitations.
(6) Mental status.
(7) Activities permitted.
(8) Nutritional requirements.
(9) Rehabilitation potential.
(10) Any safety measures required to protect against injury to the patient.
(11) Proposed frequency of services.
(12) Discharge and referral plan.
(13) Instructions to patient and family.
(14) Food or drug allergies.
(c) If after the evaluation visit it is determined that the initial plan of treatment or plan of care for patients requiring medical orders does not meet the patient's needs, the attending physician, dentist, podiatrist or other licensed and legally authorized practitioner within his or her scope of practice shall be consulted to approve additions or modifications to the original plan.
(d) The professional person responsible for any specific treatment shall notify the attending physician, dentist, podiatrist or other health professionals and responsible agency staff of significant changes in the patient's condition. “Significant changes” means those changes that suggest the need to modify or develop a plan of treatment or plan of care. The agency shall develop and implement policies and procedures stating when notification is required for a significant change.
(e) All plans of treatment or plans of care and notification to the attending physician, dentist or podiatrist or other health professionals and responsible staff shall be made a part of the patient's health record.
(f) Personal care services may be provided without a plan of treatment prescribed by a physician, pursuant to a written plan for personal care services.
(g) Personal care services for home health agencies participating in the Medicare and/or Medi-Cal program shall be in compliance with applicable federal requirements.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727.5(a), 1727.5(e) and 1734, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section heading, section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section heading, section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section heading, section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section heading, section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
11. Editorial correction of subsection (b)(10) (Register 97, No. 50).
§74699. Summary Report. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 (a) and 1734, Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer of section and amendment of Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of section and amendment of Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer of section and amendment of Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Repealer of section and amendment of Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Repealer of section and amendment of Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Repealer of section and amendment of Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74701. Orders for Medication and Treatment.
Note     •     History

(a) No medication or treatment shall be given except on signed order of a person lawfully authorized to give such order. Such order may be given by telephone and shall be signed by the patient's attending physician, dentist, podiatrist, or other licensed and legally authorized practitioner within his or her scope of practice within 30 working days.
(b) All initial orders and subsequent changes in orders for the administration of drugs shall be signed by the physician, dentist, podiatrist, or other licensed and legally authorized practitioner within his or her scope of practice and incorporated in the patient's record maintained by the agency.
(c) All other changes in orders shall be signed by the physician, dentist, podiatrist, or other licensed and legally authorized practitioner within his or her scope of practice. All telephone orders shall be received only by a licensed nurse or any other person lawfully authorized to receive such orders as appropriate to their specialty areas. Orders shall be recorded immediately in the patient's health record and shall be countersigned by the attending physician, dentist, podiatrist, or other licensed and legally authorized practitioner within his or her scope of practice.
(d) Orders for therapy services shall include the specific procedures to be used and the frequency and duration. Orders may only be within that scope of practice allowed by the licensure of the particular discipline involved.
(e) All orders shall be reviewed by the attending physician, dentist, podiatrist, or other licensed and legally authorized practitioner within his or her scope of practice at least every 62 days.
(f) Medications and treatments shall be administered as prescribed and shall be recorded in patient's health record, as administered.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 10-8-97; operative 10-8-97 (Register 97, No. 41).
§74703. Director of Patient Care Services.
Note     •     History

(a) Patient care services provided by or arranged for by a home health agency shall be under the direction of a Director of Patient Care Services. The Director of Patient Care Services shall have overall responsibility for coordination of patient care services and shall be responsible for all activities relevant to the patient care services furnished including the development of personnel qualifications and the assignment of personnel. The Director of Patient Care Services or his or her registered nurse designee shall be available on the premises or immediately accessible by telecommunications during operating hours when patients are receiving services. The Director of Patient Care Services shall devote a sufficient number of hours to assure the quality and adequacy of services provided and supervision of staff.
(b) The Director of Patient Care Services shall qualify for the position by fulfilling the requirements under one of the following categories, unless the individual has been previously approved for such employment by a program flexibility issued for the individual's current position at the home health agency prior to April 1, 1995:
(1) A registered nurse with a baccalaureate or higher degree in nursing or other health related field with three years of experience within the last five years in a home health agency, primary care clinic or health facility, at least one year of which was in a supervisory or administrative capacity; or
(2) A registered nurse with four years experience within the last five years in a home health agency, primary care clinic or health facility, at least one year of which was in a supervisory or administrative capacity.
(c) The Director of Patient Care Services shall have sufficient background knowledge and expertise in clinical decision-making for the patient population of the home health agency to meet the needs of his or her patients, and to contribute to Quality Management review and evaluation.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727.5(c) and 1734, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section heading, section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section heading, section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section heading, section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74705. Nurse Supervisor.
Note     •     History

(a) A Nurse supervisor or his or her registered nurse designee shall be available on the premises or immediately accessible by telecommunications during operating hours when patients are receiving services.
(b) A nurse supervisor shall be a registered nurse with two years experience within the last five years in a home health agency, primary care clinic, or health facility, unless the individual has been previously approved for such employment by a program flexibility issued for the individual's current position at the home health agency prior to April 1, 1995.
(c) A nurse supervisor shall have sufficient background knowledge and expertise in clinical decision-making for the patient population assigned to him or her in the home health agency to meet the needs of his or her patients and to contribute to Quality Management review and evaluation.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727.5(c), 1727.5(f) and 1734, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section heading, section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section heading, section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section heading, section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74707. Skilled Nursing Services.
Note     •     History

(a) The responsibilities of registered nurse staff shall include, but not be limited to, the following duties:
(1) Provide those services requiring nursing skills in accordance with the plan of treatment or the plan of care.
(2) Provide the initial nursing assessment prior to the provision of care, provide the ongoing periodic assessment of the patient and initiate preventative and rehabilitative nursing procedures.
(3) Notify the patient's attending physician, dentist, or podiatrist and other professional persons and responsible staff of significant changes in the patient's condition pursuant to Section 74697(d). 
(4) Assist in coordinating all services provided.
(5) Prepare documentation and clinical notes.
(6) Educate and instruct the patient, patient's family, or staff as required. For licensed vocational nurses, this is limited to teaching patient information which is outlined in and consistent with the Licensed Vocational Nurse Practice Act.
(b) The responsibilities of licensed vocational nursing staff shall not include (a)(2) and (a)(4) of this section, but may include all other responsibilities identified in subsection (a).
(c) A registered nurse shall perform duties consistent with the Nursing Practice Act including the Standards of Competent Performance, Title 16, Chapter 14, Section 1443.5 of the California Code of Regulations. A registered nurse shall meet qualifications established by the home health agency for the services provided and any additional qualifications required by home health agency licensure regulations. Effective January 1, 1998, registered nurses providing services in a patient's temporary or permanent place of residence through a home health agency shall have one year prior professional nursing experience.
(d) A licensed vocational nurse shall perform duties consistent with the Vocational Nursing Practice Act. A licensed vocational nurse shall meet qualifications established by the home health agency for the services provided and any additional qualifications required by home health agency licensure regulations. Effective January 1, 1998, licensed vocational nurses providing services in a patient's temporary or permanent place of residence through a home health agency shall have one year prior professional nursing experience.
(e) The home health agency shall provide the services of registered nurses and licensed vocational nurses in sufficient quality and quantity to meet the needs of the patients accepted for care. The services of registered nurses and licensed vocational nurses shall be reviewed pursuant to the Quality Management requirements of Section 74742(b)(2).
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727(b) and 1734, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section heading, section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section heading, section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section heading, section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74709. Home Health Aide/Personal Care Services  Supervision.
Note     •     History

(a) When an agency provides or arranges for home health aide services for a patient in conjunction with skilled nursing services, the services shall be given in accordance with a written plan of treatment or plan of care and the case shall be supervised by a registered nurse. 
(1) If the patient receives skilled nursing care, the registered nurse shall perform the supervisory visit described in (a)(2) of this section, unless the registered nurse, in the exercise of professional judgment, delegates this task to a licensed vocational nurse. The registered nurse shall provide the initial assessment of the patient and the care environment. If the patient is not receiving skilled nursing care, but is receiving another skilled service (e.g. physical therapy, occupational therapy, or speech-pathology services), the initial assessment or evaluation and supervision may be provided by the appropriate therapist, when within his or her scope of practice. The supervisor nurse shall be responsible for:
(A) Assigning home health aides to a case in accordance with the plan of treatment or plan of care as required in subsection (a).
(B) Providing written instructions for patient care.
(2) If the patient receives skilled care, the registered nurse (or another professional described in paragraph (a)(1) of this section) shall make an on-site visit to the patient's home no less frequently than every two weeks. The home health agency shall develop and implement policies and procedures for those circumstances when the home health agency requires on-site supervisory visits to be conducted jointly with the home health aide present (e.g. when joint visits are part of a performance evaluation).
(A) When a licensed vocational nurse is delegated supervision of home health aide services that are provided in conjunction with skilled nursing services, a registered nurse shall make the on-site supervisory visit to the patient's home at least every three months, to observe the patient and patient care environment.
(3) If the home health aide/personal care services are provided to a patient who is not receiving skilled nursing care, physical or occupational therapy or speech-language pathology services, the registered nurse or, when delegated, the licensed vocational nurse, shall make a supervisory visit to the patient's home no less frequently than every 62 days. Regular supervisory visits shall occur while the home health aide is providing patient care and shall include verification that the plan of treatment, plan of care, or plan for personal care services is being followed appropriately.
(A) When a licensed vocational nurse is delegated supervision of home health aide/personal care services (when the patient is only receiving these services), the registered nurse shall at least alternate on-site supervisory visits to the patient's home with the licensed vocational nurse, to observe the patient and the patient care environment.
(4) If home health aide/personal care services are provided by an individual who is not an employee of the primary home health agency, the primary home health agency shall be responsible for the overall quality of care provided by the aide, and provide for supervision of the aide, including referral of any concerns to the appropriate agency or organization when care problems are observed.
(b) When a licensed vocational nurse is delegated supervision of home health aide/personal care services, a registered nurse shall retain responsibility for supervision of licensed and unlicensed personnel providing such services.
(c) Registered nurses who are assigned to supervise the case when a licensed vocational nurse has been delegated supervision of home health aide patient care, or registered nurses who supervise home health aide care, may also be assigned to provide direct services for agency patients.
(d) Nothing in this section shall be construed as permitting a physical therapy aide, as defined in Title 16, Section 1399, California Code of Regulations, to perform the functions of a home health aide, unless the physical therapy aide meets the definition of a home health aide. Physical therapy aides who are not certified as home health aides may not substitute for home health aides when home health aides are required by a plan of treatment or plan of care. Nothing in this section shall require a physical therapist to supervise home health aides in the same manner as physical therapy aides. Home health aide services shall comply with applicable state law.
(e) Home health agencies participating in the Medicare and or Medi-Cal program shall meet applicable federal requirements.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727(c), 1727.5(a), 1727.5(c), 1727.5(f) and 1734, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section heading, section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section heading, section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section heading, section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section heading, section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74710. Personal Care/Home Health Aide Services.
Note     •     History

(a) Personal care/home health aide services may include, but not be limited to, the following duties:
(1) Assisting patients with personal hygiene such as skin, mouth, hair care and bathing.
(2) Assisting patients in and out of bed and assisting with ambulation.
(3) Assisting with prescribed exercises which patients and aides have been taught by appropriate health personnel.
(4) Preparing meals, including therapeutic diets, and assisting patients with eating.
(5) Assisting patients to the bathroom or in using commodes, bedpans or urinals.
(6) Performing household services which will facilitate the patient's self-care at home and are necessary to prevent or postpone institutionalization.
(7) Assisting patients with medications which are ordinarily self administered. The home health aide shall not administer medications of any kind.
(8) Performing other activities taught by a health professional for a specific patient. These may include such services as changing colostomy bags, changing of non-sterile dressings, taking of vital signs, and non-sterile bowel and bladder hygiene care.
(9) Reporting changes in the patient's condition and needs to the supervising nurse or therapist.
(10) Completing records regarding services performed.
(b) The aide shall demonstrate competency in any service the aide is to perform prior to providing patient care.
(c) Personal care services which are not provided under a plan of treatment prescribed a physician may be provided by a person who is not a certified home health aide.
(d) Home health agencies participating in the Medicare and/or Medi-Cal program shall meet applicable federal requirements.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Section 1734, Health and Safety Code.
HISTORY

1. New section filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. New section filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. New section refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. New section refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section heading, section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74711. Therapy Services.
Note

(a) Physical therapy, occupational therapy and speech therapy services offered by the agency directly or under arrangement shall be given by or under the supervision of a qualified therapist in accordance with a plan of treatment.
(b) The qualified therapist duties include:
(1) Providing treatment as ordered by the attending physician, dentist or podiatrist.
(2) Assisting the physician in evaluating level of function.
(3) Assisting in developing and updating the plan of treatment.
(4) Observing, recording and reporting information on the patient's condition to the attending physician and in the patient's health record.
(5) Advising, consulting and, when appropriate, instructing family and other agency personnel, in patient's therapy program.
(6) Teaching and supervising other health personnel when appropriate.
(7) Evaluating the home environment and making appropriate recommendation.
(8) Participating in in-service education programs.
(c) When services cannot readily be made available to the individual in the place of residence, the home health agency may provide those therapy services in a location other than the patient's place of residence.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74713. Medical Social Services.
Note

(a) Medical social services shall be provided by a social worker or by a social work assistant under the supervision of a social worker and in accordance with a plan of treatment.
(b) The social worker or the social work assistant's duties include:
(1) Assisting the physician and other team members in understanding the significant social and emotional factors related to the health problems.
(2) Participating in the development of the plan of treatment.
(3) Observing, recording and reporting information on the patient's condition to the attending physician and in the patient's health record.
(4) Advising, counseling and when appropriate instructing family in patient's social needs.
(5) Utilizing appropriate community resources.
(6) Participating in discharge planning.
(7) Participating in in-service education programs. Participation will be carried out by the social worker.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74715. Diet Counseling Services.
Note

(a) When an agency provides or arranges for diet counseling services, these services shall be given in accordance with the plan of treatment, and by or under the supervision of a dietitian.
(b) Diet counseling personnel duties include:
(1) Assisting the physician and other agency personnel in evaluating the dietary needs of the patient.
(2) Assisting the patient and family to understand, accept and follow dietary modifications ordered by the physician.
(3) Observing, recording and reporting to the physician and the nurse supervisor the patient's reaction to dietary treatment and any related changes in the patient's condition.
(4) Instructing, supervising or counseling other members of the health care team including, when appropriate, home health aides and family members regarding the dietary care of the patient.
(5) Participating in in-service education program.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
Article 4. Administration
§74717. Governing Body.
Note     •     History

(a) Each home health agency shall have a governing body. The governing body shall assume full legal authority and responsibility for the operation of the agency. The governing body shall:
(1) Appoint a qualified administrator.
(2) Assume responsibility for the management and fiscal affairs of the agency.
(3) Ensure that the agency does not refuse service to or employment to or in any way discriminate against any person based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status.
NOTE

Authority cited: Sections 1734 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1727(a), 1728.1, 1734, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
11. Editorial correction of subsection (a)(3) (Register 97, No. 50).
12. Change without regulatory effect amending subsection (a)(3) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§74718. Administrator.
Note     •     History

(a) The administrator shall:
(1) Organize and direct the ongoing functions of the agency.
(2) Maintain ongoing liaison between the governing body and staff.
(3) Be responsible for ongoing oversight of the agency's quality management system.
(4) Employ qualified personnel and ensure adequate staff education and evaluation.
(5) Ensure the accuracy of public information materials and activities including advertisements and brochures that the agency uses to represent itself to the community-at-large.
(6) Implement an effective budgeting and accounting system.
(b) A supervising physician or Director of Patient Care Services may also be the administrator. An administrator who is neither a physician or a registered nurse shall have training and experience in health service administration and at least one year of supervisory experience in home health care or health related programs.
(c) The administrator shall have a similarly qualified designee available in the administrator's absence.
(d) The administrator may have responsibilities over more than one parent agency provided that the administrator can demonstrate the adequacy of administrative and nursing supervision over each parent agency through ongoing Quality Management review.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727.5 and 1734, Health and Safety Code.
HISTORY

1. New section filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. New section filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. New section refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74719. Services Arranged by Agreement.
Note     •     History

(a) When any service offered by the agency is not provided by employees, there shall be a written agreement meeting the requirements of this section.
(b) The agreement shall include at least the following:
(1) The nature and scope of the services to be provided;
(2) The rights and responsibilities of the agency or individual providing services and of the contracting agency in the coordination, supervision, and evaluation of the care or services provided;
(3) The role, if any, of the agency and the contracted individual or agency in:
(A) The patient admission process,
(B) Patient assessment,
(C) The development, review, and revision of the plan of treatment or plan of care,
(D) Patient care conferences,
(E) The scheduling of visits or hours,
(F) Discharge planning;
(4) The submission to the agency of documentation of services provided;
(5) The responsibility of the contracted individual or agency to adhere to applicable agency policies, including personnel qualifications;
(6) The procedures for determining charges and reimbursement; and
(7) The term of the agreement and the conditions for its renewal or termination.
(c) Agreements shall be reviewed and revised as necessary.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727.5(e) and 1734, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section heading, section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section heading, section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section heading, section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
11. Editorial correction of subsection (b)(2) (Register 97, No. 50).
§74721. Written Administrative Policies.
Note     •     History

(a) Administrative policies shall be established and implemented by the agency.
(b) These policies and procedures shall be reviewed and revised as necessary. The policies and procedures shall be made available upon request to patients or their representatives and to Department representatives.
(c) These policies and procedures shall include, but not be limited to:
(1) A plan to handle medical emergencies.
(2) A statement that patients will be accepted for treatment or care on the basis of reasonable expectation that the patient's needs can be met by the agency.
(3) Reasons for termination of services.
(4) Policies designed to prevent, identify, and control infections.
(5) Clinical program policies.
(6) Provisions for a quality management program.
(7) Written personnel policies which shall include qualifications, responsibilities, and conditions of employment for each type of personnel. Such policies shall be available to all personnel.
(8) An emergency preparedness plan designed to provide continuing care/service in the event of an emergency that would result in the interruption of patient care services.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727.5 and 1734, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of subsections (c)(1) and (c)(6) and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74723. Employee's Health Examinations and Health Records.
Note     •     History

(a) All agencies shall require health assessments and maintain health records for employees with direct patient contact.
(b) A written health assessment of each employee who has direct patient contact shall:
(1) Be required as a prerequisite of employment.
(2) Be performed within six months prior to employment or within 15 days of assuming employment with the agency.
(3) Be performed and evaluated by a licensed and legally authorized practitioner within his or her scope of practice.
(c) The written health assessment report shall:
(1) Be signed by the person who performed the assessment.
(2) Verify that the employee is free from health conditions which would interfere with the employee's ability to perform assigned duties.
(3) Contain verification that the employee is free from signs or symptoms of infectious disease.
(4) Provide for a tuberculosis screening which shall be administered to all new employees who have direct patient contact and annually thereafter using the 5 TU (Tuberculin Units) Protein Purified Derivative (PPD) tuberculin skin test.
(A) The test shall be administered by a licensed health care professional who is specifically trained for the procedure.
(B) Employees who present evidence of a previous positive tuberculin skin test or that he or she has previously been treated for tuberculosis infection or disease shall be excluded from the tuberculin testing program.
(d) An employee shall not be required to undergo the annual tuberculosis screening requirements of (c)(4) if the local health officer certifies in writing that less frequent testing may be conducted, and the rationale for less frequent testing is in accordance with applicable federal, state, and local requirements and established professional standards.
(e) All agencies shall implement a written policy regarding employees who develop or sustain symptoms of infectious diseases to determine when employees shall be removed from contact with patients.
(f) A health record for each employee who has direct patient contact shall:
(1) Be maintained by the agency.
(2) Include the records and pertinent documentation of health examinations.
(3) Be stored in such a manner as to be protected from loss, destruction or unauthorized disclosure or use.
(4) Be retained for a minimum of three years following termination of employment.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727(f), 1727.5(e) and 1734, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of  section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74725. Reporting of Communicable Disease.
Note

All cases of reportable diseases shall be reported to the local health officer in accordance with Section 2500, Article 1, Subchapter 1, Title 17, California Administrative Code.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1734, 3123 and 3124, Health and Safety Code.
§74727. Reporting of Outbreaks.
Note

All cases of any outbreak or undue prevalence of infections or parasitic disease or infestation shall be reported to the local health officer in accordance with Section 2502, Article 1, Subchapter 4, Title 17, California Administrative Code.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1734, 3123 and 3124, Health and Safety Code.
§74729. Annual Reports.
Note

Each agency on or before the 15th day of March of each year shall file with the Department, upon forms furnished by the Department, a verified report for the preceding calendar year upon all matters requested by the Department. This report may include data pertaining to age of patients, diagnostic categories of patients and classification of visits by service provided.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1734, Health and Safety Code.
§74731. Patients' Health Records Availability.
Note     •     History

(a) Each patient health record, either original or an accurate reproduction, shall be:
(1) Permanent, either typewritten or legibly written in ink, and be capable of being photocopied.
(2) Current and kept in sufficient detail to identify the patient's health status for health care providers.
(3) Be readily available for review upon request of the attending physician or other prescriber; any authorized employee, agent or officer of the agency; authorized representatives of the Department; or any other person authorized by law to make such a request.
(b) The agency shall safeguard the information in the record against loss, defacement, tampering or use by unauthorized persons.
(c) All health records of discharged patients shall be completed within 30 days after their discharge date.
(d) Health records of each discharged adult patient shall be kept for a minimum of seven years following discharge of the patient. The health record of a discharged minor shall be kept for at least one year after the minor has reached the age of 18 years and in all cases not less than seven years.
(e) The Department shall be informed immediately, in writing, whenever patient health records are defaced or destroyed before termination of the required retention period.
(f) If any agency ceases operation, the agency shall make arrangements to transfer the records to the new agency or make other arrangements for the safe preservation of the records. The Department shall be notified in writing of the location of the records.
(g) If the ownership of the agency changes, both the licensee and the applicant for the new license shall, prior to the change in ownership, provide the Department with written documentation that:
(1) The new licensee will have custody of the patient's health records upon transfer of the agency and the health records are available to both the new and former licensee and other authorized persons; or
(2) Other arrangements have been made for the safe preservation of patients' health records, and that the health records are available as set forth within this regulation.
(h) If the agency stores records in an off-site location, the following requirements shall apply:
(1) Timely accessibility of stored records on a 24 hour basis, seven days a week.
(2) Records are organized and systematically maintained.
(3) Protection of the clinical records from loss, destruction or unauthorized use.
(4) A current written agreement with the storage facility.
(5) Policies and procedures which address the retention, retrieval and security for off-site centralized storage of inactive patient records.
(i) If the agency utilizes computerized patient records, policies and procedures shall be established and implemented which address data security, privacy, and confidentiality in conformance with state law.
(1) The agency shall protect patients from unnecessary intrusion into their private lives by safeguarding the health information entrusted to them.
(2) The agency shall assure conformance with current acceptable professional standards and follow state laws that may be more prescriptive.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727.5(e), 1734, 123145(a) and 123149, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section heading, section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of section heading and subsection (i)(2) (Register 96, No. 15).
5. Amendment of section heading, section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
7. Amendment of section heading, section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of History 7 (Register 97, No. 3).
9. Amendment of section heading, section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
10. Amendment of section heading, section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction of subsection (g)(1) (Register 97, No. 41).
12. Certificate of Compliance as to 5-15-97 order, including amendment of section heading, subsection (i) and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74733. Admission Records. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 1734, Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer of section and amendment of Note  refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of section and amendment of Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer of section and amendment of Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Repealer of section and amendment of Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Repealer of section and amendment of Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Repealer of section and amendment of Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74735. Patient Health Records.
Note     •     History

(a) The agency shall establish and maintain for each patient accepted for care a health record which shall include the following information:
(1) Admission record. The admission record shall include:
(A) Name.
(B) Current address.
(C) Date of birth.
(D) Sex.
(E) Date of admission.
(F) Name, address and telephone number of the responsible party.
(G) Name, address, and telephone number of the attending physician, dentist, podiatrist, or other licensed and legally authorized person whose orders or recommendations are being implemented by the home health agency.
(H) Admission diagnosis or pertinent health information.
(I) Reason for admission.
(2) Notation of the conditions and diagnoses which are relevant to the plan of treatment, plan of care, or plan for personal care services.
(3) Plan of treatment, plan of care, or plan for personal care services in its entirety as specified in Section 74697.
(4) Allergies and known untoward reactions to drugs and food. This information shall be given such prominence in the record that it is obvious to any health practitioner or agency personnel who have reasons to provide food or medication to the patient.
(5) Clinical notes dictated or written at the time of service by personnel rendering the services. Clinical notes shall be signed and incorporated into the patient's health record at least every seven working days.
(6) Laboratory and X-ray reports, if applicable.
(7) Treatment consent or service authorization forms.
(8) Documentation that a list of patient rights has been made available to each patient, patient's representative, or next of kin.
(9) Discharge statement. The discharge statement shall include the date of discharge, reason for termination of services, and condition upon discharge.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727.5 and 1734, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section heading, section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note filed 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section heading, section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section heading, section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section heading, section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74737. Professional Advisory Group. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 1734, Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer of section and amendment of Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of section and amendment of Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer of section and amendment of Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Repealer of section and amendment of Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Repealer of section and amendment of Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Repealer of section and amendment of Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74739. Program Evaluation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 1734, Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer of section and amendment of Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of section and amendment of Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer of section and amendment of Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Repealer of section and amendment of Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Repealer of section and amendment of Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Repealer of section and amendment of Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74741. Utilization Review. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 1734, Health and Safety Code. Reference: Sections 1727.5(d) and 1734, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer of section and amendment of Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Repealer of section and amendment of Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer of section and amendment of Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Repealer of section and amendment of Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Repealer of section and amendment of Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Repealer of section and amendment of Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74742. Quality Management.
Note     •     History

(a) Each agency shall have a system of reviewing and evaluating the appropriateness and effectiveness of patient services and the correction of deficiencies. At a minimum, the quality management system shall consist of a semi-annual review of a stratified sample of patient clinical records and an annual review of overall agency functioning. The sample of clinical records shall be representative of the diagnoses of patients treated and services provided.
(b) The review of a patient's clinical records shall be based on a sample of five percent of the total patient census with a minimum of twenty records and a maximum of 100 records every six months. The review of the clinical record sample shall be:
(1) Both concurrent and retrospective.
(2) Performed against preset criteria of practice for each discipline providing care. Criteria of practice shall include:
(A) Appropriateness of the level of care provided to protect the health and safety of patients.
(B) Timeliness of the provision of care.
(C) Adequacy of the care to meet patients' needs.
(D) Appropriateness of the specific services provided.
(E) Compliance with the standards of practice for patient care.
(F) Accessibility to care.
(G) Continuity of care.
(H) Privacy and confidentiality of care.
(I) Safety of care environment.
(J) Participation in care by patient and family.
(3) Performed by a qualified health professional of equivalent or higher level of training than the care provider.
(4) Documented and maintained on file.
(c) There shall be an organized, effective and documented evaluation of overall agency functioning at least annually. This evaluation shall include but need not be limited to the evaluation of:
(1) Administrative policies and procedures.
(2) Personnel policies.
(3) Infection control program.
(4) Clinical program policies.
(5) The adequacy of management and supervision, either on-site or by telecommunications, of support, paraprofessional, and professional personnel based at a minimum on the following considerations:
(A) The total patient census.
(B) The numbers, qualifications, experience and current competence of the individuals providing each service.
(C) The level of care/service required.
(D) Service areas covered by the home health agency including personnel supervised out of branch offices.
(E) The numbers and types of visits conducted.
(F) The primary condition/diagnosis of patients.
(G) Services provided which require specialized training.
(H) Dissatisfaction expressed by patients regarding the supervision of services.
(d) The evaluation shall be undertaken by a group which shall include the administrator, the Director of Patient Care Services, another licensed health care professional employed by the agency, and at least one physician. Results shall be documented and a plan developed, implemented, and documented for correcting deficiencies within specified time frames.
NOTE

Authority cited: Sections 1734 and 100275, Health and Safety Code. Reference: Sections 1727.5(d) and 1734, Health and Safety Code.
HISTORY

1. New section filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. New section filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. New section refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. New section refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of subsections (b), (c)(5)(D) and (d)  and amendment of Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
§74743. Patient Rights.
Note     •     History

The patient has the right to be informed of his or her rights. The home health agency must protect and promote the exercise of these rights.
(a) Notice of rights.
(1) The home health agency must provide the patient with a written notice of the patient's rights in advance of furnishing care to the patient or during the initial evaluation visit before the initiation of treatment.
(2) The home health agency must maintain documentation showing that it has complied with the requirements of this section.
(b) Exercise of rights and respect for property and person:
(1) The patient has the right to exercise his or her rights as a patient of the home health agency.
(2) If the patient lacks the ability to understand these rights and the nature and consequences of proposed treatment, the patient's representative shall have the rights specified in this section to the extent the right may devolve to another, unless the representative's authority is otherwise limited. The patient's incapacity shall be determined by the court in accordance with state law or by the patient's physician unless the physician's determination is disputed by the patient or patient's representative.
(3) The patient has a right to have his or her property treated with respect.
(4) The patient has the right to voice grievances regarding treatment or care that is (or fails to be) furnished, or regarding the lack of respect for property by anyone who is furnishing services on behalf of the home health agency and must not be subjected to discrimination or reprisal for doing so.
(5) The patient has the right to be free from discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status.
(6) The home health agency shall investigate complaints made by a patient or the patient's family or guardian regarding treatment or care that is (or fails to be) furnished, or regarding the lack of respect for the patient's property by anyone furnishing services on behalf of the home health agency, and must document both the existence of the complaint and the resolution of the complaint.
(c) Right to be informed and to participate in planning care and treatment.
(1) The patient has the right to be informed, in advance about the care to be furnished, and of any changes in the care to be furnished.
(A) The home health agency shall advise the patient in advance of the disciplines that will furnish care, and the frequency of visits proposed to be furnished.
(B) The home health agency shall advise the patient in advance of any change in the plan of treatment or plan of care, or plan for personal care services, before the change is made.
(2) The patient has the right to participate in the planning of the care.
(A) The home health agency must advise the patient in advance of the right to participate in planning the care or treatment and in planning changes in the care or treatment.
(B) The home health agency shall maintain written policies and procedures regarding advance directives. The home health agency must distribute written information to the patient, in advance, concerning its policies on advance directives, including a description of applicable state law.
(d) Confidentiality of medical records.
(1) The patient has the right to confidentiality of the clinical records maintained by the home health agency.
(2) The home health agency must advise the patient of the agency's policies and procedures regarding disclosure of clinical records.
(e) Patient liability for payment.
(1) The patient has a right to be advised, before care is being initiated, of the extent to which payment for the home health agency services may be expected from Medicare or other sources, and the extent to which payment may be required from the patient.
(2) Before the care is initiated, the home health agency must inform the patient, orally and in writing, of:
(A) the extent to which payment may be expected from Medicare, Medicaid, or any other federally funded or aided program known to the home health agency;
(B) The charges for services that will not be covered by Medicare; and
(C) The charges that the individual may have to pay.
(f) The patient has the right to be advised orally and in writing of any changes in the information provided in accordance with paragraph (e)(1) of this section when they occur. The home health agency must advise the patient of these changes orally and in writing as soon as possible, but no later than 30 calendar days from the date that the home health agency becomes aware of the change.
(g) Home health hotline:
The patient has the right to be advised of the availability of the applicable toll-free home health agency hotline in the state. When the agency accepts the patient for treatment or care, the home health agency must advise the patient in writing of the telephone number of the home health hotline established by the state licensing and certification district office, the hours of its operation, and that the purpose of the hotline is to receive complaints or questions about local home health agencies.
NOTE

Authority cited: Sections 1734 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1734, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. Amendment of section and Note filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. Amendment of section and Note refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
11. Editorial correction of subsections (b)(5) and (c)(1)(A) (Register 97, No. 50).
12. Change without regulatory effect adopting subsection (b)(5), renumbering subsections and amending subsection (f) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§74744. Plans of Correction.
Note     •     History

(a) The home health agency shall be responsible for submitting a written plan of correction on HCFA form 2567 (09-92) furnished by the Department, whenever the Department issues a statement of deficiencies to the home health agency. This form is herein incorporated by reference.
(b) The plan of correction shall be developed by the home health agency for each deficiency, and the written plan of correction shall be provided to the Department within 10 calendar days of receipt of written deficiencies from the Department by the home health agency.
(c) The plan of correction must contain the following basic elements.
(1) How the correction will be accomplished.
(2) The title or position of the person responsible for the correction.
(3) Plan of continued compliance and description of the monitoring process to prevent recurrence of the deficiency.
(4) The date the correction will be accomplished.
(d) The administrator or licensee shall follow procedures specified by the department if there is a disagreement with a written deficiency.
NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 1733, 1734 and 100275, Health and Safety Code.
HISTORY

1. New section filed 4-28-95 as an emergency; operative 4-28-95 (Register 95, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-28-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-12-95 as an emergency; operative 12-12-95 (Register 95, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 4-11-96 as an emergency; operative 4-11-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-96 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-28-95 order transmitted to OAL 8-7-96 and disapproved 9-19-96 (Register 96, No. 38).
6. New section filed 9-19-96 as an emergency; operative 9-19-96 (Register 96, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-97 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 97, No. 3).
8. New section refiled 1-16-97 as an emergency; operative 1-16-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-16-97 or emergency language will be repealed by operation of law on the following day.
9. New section refiled 5-15-97 as an emergency; operative 5-15-97 (Register 97, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-97 order, including amendment of section and Note, transmitted to OAL 8-26-97 and filed 10-8-97 (Register 97, No. 41).
Article 5. Qualifications for Home Health Aide Certification
§74745. Home Health Aide Certification.
Note

(a) Home health aides shall be certified by the Department. To qualify for certification the following shall be met:
(1) Completion of a Department approved training program as outlined in Section 74747 or its equivalent.
(2) Submission by the home health agency to the Department of satisfactory evidence of completion of an equivalent home health aide training program on forms furnished by the Department. The Department may certify the home health aide as meeting the equivalent training requirement and shall maintain records on the aides certified through this method.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74747. Home Health Aide Training.
Note

(a) The basic training program for certification shall be a minimum of 120 hours and consist of at least the following:
(1) Introduction (4 hours).
(A) Definition, functions and responsibilities of a home health aide as a member of the health service team in a home health agency.
(B) Interpretation of the importance of understanding the employing agency's policies, including:
1. Employment practices.
2. Nursing policies and procedures.
3. Supervision.
4. Ethics and confidentiality.
(2) Interpretation of medical and social needs of people being served (20 hours).
(A) Basic simple description, in lay terms, of disease and its effects on the individual and the family.
(B) Personal adjustment of the individual and his family to illness and disability.
(3) Personal care services (70 hours). Personal care services include those supportive services which are required to help provide and maintain normal bodily and emotional comfort and to assist the patient toward independent living in a safe environment including at least:
(A) Assisting patients with personal hygiene.
(B) Assisting patient in self-care activities:
1. Bathing--tub, shower, bed.
2. Dressing and undressing.
3. Feeding.
(C) Assisting with mobility.
1. Getting in and out of bed, chair, wheelchair, toilet.
2. Walking with or without devices.
3. Assisting with exercises as ordered.
4. Positioning.
(4) Cleaning and care tasks in the home (10 hours) which includes at least:
(A) Home safety measures.
(B) Economical cleaning materials and method of use.
(C) Maintenance of cleanliness where dishes and food are stored.
(D) Principles of general cleanliness of environment.
(E) Handling of laundry.
(5) Nutrition (16 hours) which includes at least:
(A) Basic principles of diet.
(B) Meal planning and serving.
(C) Food purchasing.
(D) Food preparation, sanitation and storage.
(b) There shall be a minimum of 20 hours of clinical experience of which 15 hours are in personal services, 2 hours are in cleaning and care tasks and 3 hours are in nutrition.
(c) There shall be no more than 75 hours of classroom lecture.
(d) Training in personal care services shall be given by a registered nurse, preferably a public health nurse. Nutritionists, physical therapists, social workers and other health personnel may be involved in appropriate aspects of the training program.
(e) Personal care services training may be given at an acute hospital but the emphasis of the program must be on home care.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
§74749. Issuance, Denial, Revocation or Suspension of Home Health Aide Certificate.
Note

(a) The Department shall issue a home health aide certificate to all persons who submit evidence of satisfactory qualifications as determined by the Department.
(b) Notwithstanding the above, a home health aide certificate may be denied, revoked or suspended on any of the following grounds:
(1) Failure to submit an application which sets forth information as the Department may deem necessary.
(2) Conviction of a felony, or any crime which evidences an unfitness to provide home health services, unless such person presents evidence satisfactory to the Department that such person has been rehabilitated and presently is of such good character as to justify the issuance or continuance of the home health aide certificate.
(3) Failure to submit evidence of satisfactory qualifications.
(c) If the certificate is denied, the Department shall notify the applicant in writing. Within 20 days of receipt of the Department's notice, the applicant may present his written petition for a hearing to the Department. The Department shall set the matter for hearing within 30 days after receipt of the petition in proper form. The proceedings shall be conducted in accordance with Chapter 5 of Part I of Division 3 of Title 2 of the Government Code beginning with Section 11500.
(d) If a certificate is considered for revocation or suspension, the Department shall proceed in accordance with Chapter 5 of Part I of Division 3 of Title 2 of the Government Code beginning with Section 11500.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1727 and 1734, Health and Safety Code.
Chapter 7. Primary Care Clinics
Article 1. Definitions
§75001. Meaning of Words.
Note     •     History

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

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
HISTORY

1. New Chapter 7 (Articles 1-8, Sections 75001-75073) filed 1-18-82; effective thirtieth day thereafter (Register 82, No. 4).
§75002. Accredited Record Technician.
Note

Accredited record technician means a person accredited as such by the American Medical Record Association.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75003. Clinic.
Note

Clinic means a primary care clinic when used in this chapter.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75003.1. Birth Services.
Note     •     History

Birth Service means a special service of a clinic which provides obstetrical and other medical services to pregnant women when delivery is intended to occur in the clinic. Obstetrical and other medical services provided to pregnant women in clinics, which are not related to or intended to terminate in delivery at the clinic, shall not be considered to be a birth service.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1203 and 1226, Health and Safety Code.
HISTORY

1. New section filed 9-2-86; effective thirtieth day thereafter (Register 86, No. 36).
§75004. Dangerous Drug.
Note

Dangerous drug means any drug defined as such in Section 4211 of the Business and Professions Code.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75005. Dental Clinic.
Note

Dental clinic means a primary care clinic or a division or a unit of a primary care clinic which provides direct dental services.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75006. Dentist.
Note

Dentist means a person licensed as such by the California Board of Dental Examiners.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75007. Drug.
Note

Drug means any chemical compound, remedy, or noninfectious biological substance, the action of which is not solely mechanical, which may be administered to patients by any route as an aid in the diagnosis, treatment, or prevention of disease or other abnormal condition, for relief of pain or suffering, or to control or improve any physiological or pathological condition.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75008. Drug Administration.
Note

Drug administration means the act in which a single dose of a prescribed drug is given to a patient.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75009. Drug Dispensing.
Note

Drug dispensing means the interpretation of an order for a drug, the proper selection, measuring, packaging, labeling and issuance of the drug.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75009.1. High-Risk.
Note     •     History

High-risk means the presence of a currently active or previously treated medical, anatomical, physiological, psychological or psychosocial illness or condition which may create or increase the likelihood of a detrimental effect on the mother, fetus or newborn and presents a reasonable possibility of the development of complications during labor or delivery or the immediate postpartum period.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1203 and 1226, Health and Safety Code.
HISTORY

1. New section filed 9-2-86; effective thirtieth day thereafter (Register 86, No. 36).
§75010. Infectious Wastes.
Note

Infectious wastes means:
(1) Significant laboratory wastes including pathological specimens which shall include all tissues, specimens of blood elements, excreta and secretions obtained from patients and disposable articles or objects which may harbor or transmit pathogenic organisms.
(2) Surgical specimens, including human parts or tissues removed surgically.
(3) Equipment, instruments, utensils and articles or objects of a disposable nature, from the treatment, recovery and holding areas of patients with suspected or diagnosed communicable disease who, by nature of the disease, are required to be isolated by public health agencies.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75011. Licensed Nurse.
Note

Licensed Nurse means a person licensed as a Vocational Nurse by the Board of Vocational Nurses and Psychiatric Technicians, or licensed as a Registered Nurse by the Board of Registered Nursing.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75012. Licensed Vocational Nurse.
Note

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

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75013. Medical Clinic.
Note

Medical clinic means a primary care clinic or division or unit of a primary care clinic which provides direct medical services.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75014. Pharmacist.
Note

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

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75015. Physician.
Note

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

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75016. Physician's Assistant.
Note

Physician's assistant means a person who is certified as such by the Physician's Assistant Examining Committee of the California Board of Medical Quality Assurance.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75017. Podiatric Clinic.
Note

Podiatric clinic means a primary care clinic or a division or unit of a primary care clinic which provides direct podiatric services.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75018. Podiatrist.
Note

Podiatrist means a person licensed as such by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75019. Registered Nurse.
Note

Registered nurse means a person licensed as such by the California Board of Registered Nurses.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75020. Registered Record Administrator.
Note

Registered record administrator means a person who is registered as such by the American Medical Record Association.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
Article 2. License
§75021. Application Required.
Note

A signed application shall be submitted to the Department for prior approval in any of the following circumstances:
(1) Establishment of a clinic.
(2) Addition of a special service, dental service, medical service or podiatric service.
(3) Change of ownership.
(4) Change of license classification.
(5) Operation of a clinic at a new location.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75021.1. Special Permit Required.
Note     •     History

(a) Any clinic desiring to establish or conduct, or which holds out, represents or advertises by any means, the performance of a special service shall obtain, prior to the performance of that service, a special permit from the Department.
(b) A special permit is required to provide Birth Services.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1203, 1207 and 1226, Health and Safety Code.
HISTORY

1. New section filed 9-2-86; effective thirtieth day thereafter (Register 86, No. 36).
§75022. Content of Application.
Note

(a) In addition to the contents of an application as required by Section 1212 of the Health and Safety Code, an application shall contain the following:
(1) The applicant's principal place of business.
(2) The date and state of incorporation for all incorporated applicants, corporation number and, if a foreign corporation, evidence of authority to do business in the State of California.
(3) A copy of the Internal Revenue Service 501(c)(3) determination letter required for all nonprofit corporations.
(4) Name of the administrator and a description of the administrator's experience and background and, where the same person is the administrator of more than one licensed clinic, the name of, and the number of hours spent in, each licensed clinic per week, and such other necessary information as may be required by the Department.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1212 and 1226 of the Health and Safety Code.
§75023. Fees.
Note

(a) The application fee for licensure shall not be refunded to the applicant if the application is withdrawn by the applicant or denied by the Department.
(b) An application for a special permit shall be accompanied by a fee of $30.00 in addition to the basic licensing fee.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1214, Health and Safety Code.
§75024. Posting.
Note

The license shall be conspicuously posted in a location accessible to public view.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75025. Report of Changes.
Note

(a) Any change in the principal officer such as chairperson, president, or general manager of the governing board shall be reported to the Department in writing immediately, but in no case later than 10 days following such change. Such written notice shall include the name and principal business address of each new principal officer.
(b) When a change of administrator occurs, the Department shall be notified in writing immediately, but in no case later than five days following such change. Such notification shall include the name of the new administrator, the mailing address, the date of assuming office and a brief description of his or her background and qualifications.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1212 and 1226, Health and Safety Code.
Article 3. Basic Services
§75026. Basic Services--General Requirements.
Note

(a) Diagnostic, therapeutic, radiological, laboratory and other services for the care and treatment of patients for whom the clinic accepts responsibility shall be provided in the clinic, or arranged for by the clinic with other licensed, certified or registered providers.
(b) All advice, diagnosis, treatment, drugs and appliances shall be provided only by persons authorized by law to provide such services.
(c) A clinic shall only provide those services for which it is organized, staffed, and equipped. A primary care clinic shall provide at least the following:
(1) Direction or supervision of each service provided by a person licensed, certified or registered to provide such service.
(2) Written patient care policies and reference materials readily available to clinic personnel.
(3) Equipment, apparatus and appliances required for the provision of all services offered to patients by the clinic.
(d) The clinic may be required by the Department to obtain consultation where necessary to meet the patient care standards specified in these regulations.
(e) If the clinic provides radiological services on the premises, it shall comply with Subchapter 4, Chapter 5, Title 17, California Administrative Code, and Subchapter 4, Chapter 5, Division T22, Part 6, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208(a) and 1255, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75027. Basic Services--Medical Staff.
Note

(a) Every medical clinic shall have a licensed physician designated as the professional director. The professional director may be a dentist or podiatrist, where only dental or podiatric services are provided.
(b) The professional director's responsibilities, acting alone or through an organized staff, shall include:
(1) Establishing, reviewing and maintaining medical dental or podiatric policies and standards, which shall be reviewed at least annually.
(2) Assuring the quality of medical, podiatric, or dental services provided to all patients treated by the clinic.
(3) Reviewing and approving all protocols used by the clinic.
(4) Establishing and implementing a system of peer review, pursuant to written procedures.
(5) Reviewing credentials and delineating clinical privileges for the physicians, dentist and/or podiatrists providing service in the clinic.
(c) At least one staff member of the clinic shall have admitting privileges to a hospital for ensuring needed hospital services. When the clinic provides multiple services such as medical and dental services, each discipline shall have admitting privileges to an accessible hospital or a plan, as approved by the Department for ensuring needed hospital services.
(d) A physician, physician's assistant or a registered nurse shall be present whenever medical services are provided.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75028. Basic Services--Nursing Staff.
Note

(a) Every medical clinic shall employ a registered nurse responsible for nursing services.
(b) A licensed nurse shall be present whenever nursing services are provided.
(c) Qualified nursing personnel shall be employed to meet the needs of the particular clinic. The number and type of patients shall be taken into consideration.
(d) Employees of the medical clinic who provide direct patient care shall be under the supervision of a registered nurse or physician.
(e) Where a medical clinic demonstrates to the Department that a registered nurse cannot be recruited, the clinic may request approval from the Department to designate a licensed vocational nurse to be responsible for nursing services, with a provision for consultation from a registered nurse.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75029. Basic Services--Other Health Personnel.
Note

(a) Health personnel shall be employed to furnish the preventive, diagnostic and therapeutic services prescribed for patients accepted for care by the clinic. Such health personnel shall be qualified in accordance with current legal, professional and technical standards and shall be appropriately licensed, registered or certified where required.
(b) The professional director shall ensure that, in addition to meeting the licensing, certification or other legal requirements, all health personnel are qualified by training and experience to perform those services they are assigned to provide.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75030. Basic Services--Policies and Procedures.
Note

(a) Written policies and procedures which the clinic shall implement shall include, but not be limited to:
(1) Description of the types and scope of services which the clinic will provide.
(2) Policies relating to patient care.
(3) Provisions for the education of patients in preventive, therapeutic and health maintenance care.
(4) Plans for follow-up of patients treated in the clinic.
(5) Referral of patients to other agencies or health facilities.
(6) Provision for handling emergencies and unusual occurrences.
(7) Procedures for emergency consultation, and a list of physicians available for emergency consultation.
(8) Nursing procedures used in the clinic.
(9) Written infection control policies and procedures.
(10) Procedures ensuring compliance with the legal requirements relative to the treatment of minors and persons who are under guardianship.
(11) Opportunities for counseling.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75031. Basic Services--Equipment and Supplies.
Note

(a) Each clinic shall have equipment and supplies available to provide for the medical, dental or podiatric services offered and to meet the needs of the particular patients served.
(b) The clinic shall have equipment available for emergency treatment of patients. Such equipment shall be determined by the professional director and licensed nurse in accordance with the scope of services provided by the clinic. A list of such equipment and its location shall be posted.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
Article 4. Drug Distribution
§75032. Drug Distribution Service--General Requirements.
Note

(a) A clinic which provides drug distribution service shall provide such service in conformance with state, federal and local laws.
(b) All dangerous drugs not owned by and stored in a licensed pharmacy shall be owned by a licensed physician, dentist or podiatrist.
(c) A list of drugs available for use in the clinic shall be maintained.
(d) If a pharmacy is located on the premises, the pharmacy shall be licensed by the California State Board of Pharmacy.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75033. Drug Distribution Service--Policies and Procedures.
Note

Each clinic which provides drug distribution services shall have written policies and procedures for the safe and effective distribution control, storage, use and disposition of drugs.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75034. Drug Distribution Service--Orders for Drugs.
Note

(a) No drugs shall be administered except on the written order of a person lawfully authorized to give such order, except in accordance with subsection 75034(c).
(b) Orders for drug administration shall be entered into the patient's health record and be signed by the prescriber and shall include the drug name, dosage, time or frequency of administration, and if other than oral, the route of administration.
(c) Telephone orders for drug administration shall be given only to a physician, licensed nurse, pharmacist or physician's assistant. Such orders shall be signed by the person giving the order within ten days.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75035. Drug Distribution Service--Administration of Drugs.
Note

Drugs shall be administered as prescribed and shall be recorded in the patient's health record.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75036. Drug Distribution Service--Dispensing of Drugs.
Note

(a) Drugs shall only be dispensed by a physician, pharmacist or other persons lawfully authorized to dispense and shall be in compliance with all applicable laws and regulations.
(b) A record of the drugs dispensed shall be entered in the patient's health record.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75037. Drug Distribution Service--Storage of Drugs.
Note

(a) Drug containers which are cracked, soiled or without secure closures shall not be used.
(b) Drugs shall not be kept in stock after the expiration date on the label. No contaminated or deteriorated drugs shall be used.
(c) Drugs shall be stored in an orderly manner in specifically designated cupboards, cabinets, closets or drawers.
(d) Refrigerators containing drugs shall be maintained between 2oC (36oF) and 8oC (46oF). Room temperature for drug storage shall not exceed 30oC (86oF).
(e) Drugs shall be accessible only to personnel designated in writing by the licensee. Controlled drugs shall be accessible only to physicians, dentists, podiatrists, physician's assistants, licensed nurses, and pharmacists.
(f) Drugs for external use in liquid, tablet, capsule or powder form shall be stored separately from drugs for internal use.
(g) Test reagents, germicides, disinfectants and other household substances shall be stored separately from drugs.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75038. Drug Distribution Service--Staff.
Note     •     History

(a) If drugs are dispensed at the clinic as part of routine services, a pharmacist employed or retained on at least a consulting basis shall assist in the development of and staff training in policies and procedures related to drug procurement, storage, repackaging and dispensing. The pharmacist, on at least a quarterly basis, shall monitor drug distribution policies and procedures on-site and shall report findings and recommendations to the administrator in writing.
(b) If drugs are dispensed at the clinic, but not as part of routine services, a dentist, podiatrist, physician, or pharmacist shall assist in developing and monitoring policies and procedures relating to drug procurement, storage, repackaging and dispensing and shall be responsible for training staff involved in drug distribution.
(c) Routine services in this section shall mean that an average of three or more prescriptions, as defined in Section 4036 of the Business and Professions Code, are filled and furnished to clinic patients each day that dispensing services are offered. The dispensing of “starter” or “trial” supplies, which are intended to be supplemented by a prescription filed at the clinic or a licensed pharmacy, is not included herein.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
HISTORY

1. Amendment filed 9-2-86; effective thirtieth day thereafter (Register 86, No. 39).
§75039. Drug Distribution Service--Equipment and Supplies.
Note

(a) Each clinic which provides drug distribution services shall maintain the equipment and supplies necessary to perform this service. These shall include but not be limited to the following:
(1) The clinic shall maintain a separate portable and sealed supply of drugs for emergency use, which meets the following:
(A) The drugs included in the emergency drug supply shall be determined by the professional director and the licensed nurse. A pharmacist may also be included in determination of the emergency drug supply contents.
(B) The contents of the supply shall be listed on the outside of the container.
(C) The supply shall be checked and logged at least monthly to ensure appropriate replenishment of drug supply and to ensure that drugs are not outdated.
(2) Equipment and supplies used in drug repackaging, administering or dispensing shall be clean. Syringes, needles and related equipment shall be sterile. Equipment and supplies shall include:
(A) Refrigerator with a dependable thermometer.
(B) Lockable drug cabinets, drawers, closets or rooms.
(C) Drug preparation counter area and convenient water source.
(D) Syringes, needles, rubber tubing, clamps, droppers, medicine glasses or cups.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
Article 5. Abortion Service
§75040. Abortion Service--General Requirements.
Note

(a) Primary care clinics providing abortion services shall provide:
(1) Preabortion and postabortion information and education sessions. These sessions shall include but not be limited to:
(A) How the abortion procedure is performed.
(B) Possible risks and complications.
(C) Options or alternatives to abortion.
(D) Post-procedure medical services.
(E) Family planning information and education.
(2) Laboratory Services.
(b) The physician shall make a gross examination of the aborted specimen and shall refer the specimen to a pathologist if no products of conception are visualized or if the tissue appears abnormal. Products of conception shall be disposed of after examination, in accordance with Section 75069.
(c) Preabortion informational and educational sessions shall be documented in each patient's medical record and shall be signed and dated by the person providing this instruction and by the patient.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75041. Abortion Service--Policies and Procedures.
Note

(a) The policies and procedures which the clinic shall implement shall include but not be limited to the following subjects:
(1) Medical criteria for selection of patients.
(2) Determination of pregnancy status.
(3) Rh typing.
(4) Information and education sessions for the patient before and after the abortion.
(5) Postabortion care of the patient in the recovery area.
(6) Referral and transfer of the patient to other agencies or programs for additional medical services and counseling beyond the scope of the clinic.
(7) Follow-up of patients after the abortion.
(8) Notice to patients that they must arrange for postabortion transportation.
(9) Provision for family planning information and education.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75042. Abortion Service--Equipment and Supplies.
Note

(a) There shall be adequate and appropriate equipment and supplies maintained to provide the services offered, including at least the following:
(1) Standard gynecological examination table.
(2) Pharyngeal suction equipment.
(3) Oxygen source and mask.
(4) Surgical instruments necessary for the performance of the abortion.
(5) Emergency medications.
(6) Appropriate intravenous fluids.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75043. Abortion Service--Staff.
Note

(a) A physician who is certified or eligible for certification by the American Board of Obstetrics and Gynecology or a physician with training and experience in performing abortions shall be responsible for the abortion service. This physician may also hold the position of professional director of the clinic. Only a physician responsible to the professional director of the clinic may perform abortions.
(b) A licensed nurse shall be present in the clinic when an abortion is performed.
(c) A system ensuring availability of staff for follow-up care or referral of patients shall be operative on a 24-hour basis.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75044. Abortion Service--Space.
Note

(a) Each abortion room shall have a floor area which can accommodate the patient, the equipment and supplies required in Section 75042 and the staff required in Section 75043.
(b) A postabortion recovery area shall be maintained. The area shall be adequate for the number of patients recovering at any given time and shall provide privacy for those patients who request it.
(c) Space for a counseling area shall be maintained and may be the same area as the postabortion recovery area. The counseling area shall provide privacy for those patients who request it.
(d) Provisions for the storage of patient's clothing and personal items shall be maintained.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
Article 6. Administration
§75045. Governing Body.
Note

(a) The governing body shall have full legal authority and responsibility for the operation of the clinic including compliance with all applicable laws and regulations.
(b) The governing body shall operate pursuant to articles of incorporation, articles of association, or a formal written partnership agreement, and bylaws.
(c) Written records of all proceedings of the governing body shall be maintained and made available to the Department upon request.
(d) The governing body shall appoint an administrator by governing body resolution.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75046. Administrator.
Note

(a) The governing body shall delegate to the administrator authority to carry out the day-to-day functions of the clinic and the responsibility for ensuring that the clinic conforms to all applicable federal, state and local laws and regulations.
(b) The qualifications, authority, and duties of the administrator shall be defined in a job description approved by the governing body.
(c) The administrator shall devote sufficient time to administrative responsibilities to ensure the proper administration and management of the clinic. The administrator may be responsible for more than one clinic only if all clinics are operated by the same governing body.
(d) The administrator shall designate in writing an individual to act for him/her in his/her absence, in order to provide the clinic with administrative direction at all times.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75047. Transfer Agreements.
Note

(a) The clinic shall maintain written transfer agreements, which include provisions for communication and transportation, with one or more nearby hospitals and other inpatient health facilities as appropriate to meet medical emergencies. Essential personal, health and medical information shall either accompany the patient upon transfer or be transmitted immediately by telephone to the receiving facility.
(b) Clinics, except those providing abortion or birthing services, may request that the Department waive the requirement of (a). The clinic must demonstrate to the Department that all nearby hospitals and other inpatient health facilities, as appropriate to meet medical emergencies have refused to enter into transfer agreements.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75048. Service Agreements.
Note

Written arrangements shall be made for obtaining all necessary diagnostic radiological, laboratory, therapeutic and other services which are prescribed by a person lawfully authorized to give such an order if such services are not provided in the clinic.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75049. Written Administrative Policies.
Note

(a) Written administrative policies shall be established and implemented and shall be reviewed at least annually and revised as necessary.
(b) The policies shall include the following:
(1) Management and personnel policies which include job descriptions detailing the functions of each classification of employee or volunteer.
(2) Policies for acceptance of patients and termination of services shall include rate of charge for care, charges for outside services, limitation of services, cause for termination of services and refund policies applying to termination of services. These policies shall be made available to patients or their agents upon admission and upon request and shall be made available to the public upon request.
(3) Policies and procedures governing patient health records which are developed with assistance of a person skilled in record maintenance and preservation.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75050. Employees.
Note

(a) The clinic shall recruit qualified personnel and provide initial orientation of new employees, a continuing in-service training program, and supervision designed to improve patient services and employee efficiency. Personnel shall be given training in infection control and emergency procedures consistent with the type of clinic and the services provided.
(b) The clinic shall provide a copy of the appropriate job description to each person employed or volunteering to work in the clinic.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75051. Health Examination and Health Records of Persons Working in the Clinic.
Note

(a) All persons working in the clinic, including volunteers, shall have a health examination within six (6) months prior to employment or within 15 days after employment and at least annually thereafter by a person lawfully authorized to perform such an examination. Each examination shall include a medical history and physical evaluation. The examination shall include laboratory work if indicated by the practitioner. The report signed by the practitioner shall indicate that the person is able to perform assigned duties and that a health condition that would create a hazard for the employee, fellow employees, patient or visitors does not exist.
(b) The initial health examination and subsequent annual examination shall include a purified protein derivative intermediate strength intradermal skin test for tuberculosis or a chest X-ray. Positive reaction to the skin test shall be followed by a 35.56 cm x 43.18 cm (14” x 17”) chest X-ray. Evidence of tuberculosis screening within 12 months prior to employment shall be considered as meeting the intent of this regulation.
(c) The clinic shall maintain a health record of each employee which includes reports of all employment related health examinations. These records shall be kept for a minimum of three years following termination of employment.
(d) All persons working in the clinic who are known to have symptoms of infectious disease shall be removed from contact with patients.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75052. Employee Records.
Note

(a) All clinics shall maintain current and accurate personnel records for all persons working with the clinic. The record shall include the person's full name, social security number, license, registration or certification number, if any, and date of expiration, employment classification, date of beginning employment, date of termination of employment and performance evaluations. Such records shall be retained for at least three years following termination of employment.
(b) Employee personnel records shall be maintained in a confidential manner and shall be made available to representatives of the Department upon request in order to ensure compliance with the requirements of these regulations.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75053. Unusual Occurrences.
Note

Unusual Occurrences. Occurrences such as epidemic outbreaks, poisonings, fires, major accidents, deaths from unnatural causes or other catastrophes and unusual occurrences which threaten the welfare, safety or health of patients, personnel or visitors shall be reported by the facility within 24 hours either by telephone (and confirmed in writing) or by telegraph to the local health officer and the Department. An incident report shall be retained on file by the facility for one year. The facility shall furnish such other pertinent information related to such occurrences as the local health officer or the Department may require. Every fire or explosion which occurs in or on the premises shall be reported within 24 hours to the local fire authority or in areas not having an organized fire service, to the State Fire Marshal.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75054. Patient Health Record Service.
Note

(a) Each clinic shall establish and maintain a patient health record service which is systematically organized to provide a complete accurate correlated, and current health records for each patient which is filed in a centrally located area.
(b) Personnel, space, equipment and supplies in the health record service shall be located to facilitate immediate retrieval of health information.
(c) A person working in the clinic shall be responsible for the direction and supervision of the health record service to ensure that all patient records are accurately documented, completed, indexed and filed in the unit system. When the Department finds the health record service does not meet the standards set forth in these regulations, the clinic may be required to obtain the services of either an accredited records technician or registered record administrator consultant to assist in establishing and maintaining the health record service.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75055. Unit Patient Health Records.
Note

(a) Records shall be permanent, either typewritten or legibly written in ink and shall be kept on all patients accepted for treatment. All health records of discharged patients shall be completed and filed within 30 days after termination of each episode of treatment and such records shall be kept for a minimum of 7 years, except for minors whose records shall be kept at least until one (1) year after the minor has reached the age of 18, but in no case less than seven (7) years. All exposed X-ray film shall be retained for seven years. All required records, either originals or accurate reproductions thereof, shall be maintained in such form as to be legible and readily available upon the request of the attending physician, the clinic or any authorized officer, agent or employee of either, or any other person authorized by law to make such request.
(b) Information contained in the health records shall be confidential and shall be disclosed only to authorized persons in accordance with federal, state and local laws.
(c) If a clinic ceases operation, arrangements shall be made for the safe preservation of the patients' health records. The Department shall be informed by the clinic of the arrangements within 48 hours before cessation of operation.
(d) The Department shall be informed within 48 hours, in writing, by the licensee whenever patient health records are defaced or destroyed before termination of the required retention period.
(e) If the ownership of the clinic changes, both the licensee and the applicant for the new license shall, prior to the change of ownership, provide the Department with written documentation stating:
(1) That the new licensee shall have custody of the patients' health records and these records shall be available to the former licensee, the new licensee and other authorized persons; or
(2) That other arrangements have been made by the current licensee for the safe preservation and the location of the patients' health records, and that they are available to both the new and former licensees and other authorized persons.
(f) Patients' health records shall be current and kept in detail consistent with good medical and professional practice and shall describe the services provided to each patient. All entries shall be dated and be authenticated with the name, professional title, and classification of the person making the entry.
(g) Patients' health records shall be stored so as to be protected against loss, destruction or unauthorized use.
(h) Patient health records shall be filed in an easily accessible manner in the clinic. Storage of records shall provide for prompt retrieval when needed for continuity of care. Prior approval of the Department is required for storage of inactive health records away from the facility premises.
(i) The patient health record shall be the property of the facility and shall be maintained for the benefit of the patient, health care team and clinic and shall not be removed from the clinic, except for storage purposes after termination of services.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75056. Admission Records.
Note

(a) The clinic shall complete an admission record for each patient which shall include the following:
(1) Name.
(2) Current address.
(3) Age and date of birth.
(4) Sex.
(5) Date services began.
(6) Last date of services.
(7) Consent for treatment authorizations.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75057. Disaster Program.
Note

(a) Each clinic shall adopt a written disaster program and all personnel shall be instructed in its requirements. A copy of the program shall be available in the clinic for review by the Department.
(b) The program shall provide plans for disasters occurring within the facility. The written program shall include at least the following:
(1) Administrative procedures, including designated authority, and personnel duty assignments. There shall be provisions for simulated fire drills at least semi-annually and records to indicate that such drills were conducted.
(2) Plans for evacuation of patients when necessary, including means of egress, methods of handling and transporting patients, and disposition and care of patients after removal.
(c) The program shall be reviewed annually, and updated as needed.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75058. Posting of Clinic Schedule.
Note

A schedule of the hours and days during which the clinic is open and the times during which the various medical services are offered shall be conspicuously posted in the clinic for public view and information. The clinic shall be open and service available during the posted times. Changes in such schedules shall be posted in advance of the change.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75059. Quality Assurance Evaluation Program.
Note

The clinic shall have a system for annual evaluation of its operation and the services it provides. This system shall include written procedures for evaluating the efficiency and effectiveness of the health services provided, and written procedures for the evaluation of utilization of services.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
Article 7. Physical Plant
§75060. Alterations and New Construction.
Note

Alterations to existing buildings, or new construction, shall be in conformance with the applicable provisions of Chapter 1, Division T17, Title 24, California Administrative Code and approved by the Office of Statewide Health Planning and Development unless the Department approves waivers in accordance with Section 1217 of the Health and Safety Code.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75061. Fire Safety.
Note

Each clinic shall maintain compliance with the rules and regulations of the State Fire Marshal as verified by an initial fire clearance issued by the State Fire Marshal.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75062. Maintenance and Operation.
Note

(a) The clinic shall be clean, sanitary and in good repair at all times.
(b) Flashlights shall be in readiness for use at all times. Open flame light shall not be used.
(c) Periodic inspection, testing and calibration of all electrical medical equipment shall be made in accordance with the manufacturer's specifications, but no less frequently than yearly. Records of such inspections and tests shall be retained and made available for review.
(d) A clinic may be required to submit a report by a licensed structural engineer when the Department has determined that an evaluation of the structural condition of the clinic is necessary. Such report shall establish the existence or nonexistence of structural conditions which are hazardous to occupants and should hazardous conditions exist, such report shall provide a basis for a plan of correction.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75063. Water Supply and Plumbing.
Note

(a) Where water for human consumption is obtained from an independent source, it shall be subjected to bacteriological analysis by the local health department, the Department or a licensed commercial laboratory at least every three months. A copy of the most recent laboratory report shall be available for inspection.
(b) Plumbing and drainage facilities shall be maintained in compliance with Chapter 1, Division T17, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75064. Autoclaving and Sterilizing.
Note

(a) Each clinic shall make provision in the clinic, or by acceptable arrangements with an outside service, for proper sterilization of instruments, utensils, supplies and solutions used in the clinic.
(b) All sterilization of instruments and equipment in the clinic shall be under the supervision of a person who is qualified by experience and training.
(c) Instructions for operating autoclaves and sterilizers shall be posted.
(d) Written procedures for preparing supplies for autoclaving and for the operation of autoclaves shall be developed, maintained and made available to personnel responsible for sterilization of supplies and equipment. These procedures shall include the method of packaging, dating, loading the autoclave, temperature and pressure to be applied, and the period of exposure.
(e) Autoclaves shall be checked on each day they are in use to verify that recording thermometers and indicating thermometers reasonably coincide. Autoclave tape may be used as an alternative to thermometers. Records of recording thermometers shall be retained for one year. Recording thermometers shall not be required on portable sterilizers.
(f) Autoclaving results shall be checked at least monthly by a bacteriological test. Records of results of such tests shall be retained at least one year.
(g) Sterilized items shall show expiration dates.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75065. Disinfecting.
Note

(a) Every clinic shall make provision for the cleaning and disinfecting of contaminated articles, surfaces and equipment which cannot be sterilized.
(b) Written procedures shall be developed and maintained for the disinfection of articles and surfaces.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75066. Cleaning Equipment and Fixtures.
Note

Each clinic shall provide for the cleaning of articles, equipment and surfaces such as furniture, walls, exhaust grills and light and plumbing fixtures.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75067. Storage and Disposal of Solid Wastes.
Note

(a) Solid wastes shall be stored and disposed of in a manner that will not permit the transmission of a communicable disease, create a nuisance, provide a breeding place or food source for insects or rodents or permit public access.
(b) Solid waste containers shall be stored and located in a manner that will protect the patients from odors.
(c) Syringes and needles, before being discarded into waste containers, shall be rendered unusable.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75068. Solid Waste Containers.
Note     •     History

(a) All containers, except movable bins, used for storage of solid wastes shall have tight-fitting covers in good repair, external handles and shall be leakproof and rodent-proof.
(b) Movable bins, stored outside of the clinic when used for storing or transporting solid wastes from the premises, shall have tight-fitting covers and shall be rodent-proof, unless stored in an enclosed area.
(c) All containers used for storing infectious wastes shall display a prominent sign which identifies the contents as “Infectious Wastes.”
(d) All containers receiving putrescible wastes shall be emptied daily and more often if necessary.
(e) Solid waste containers, including movable bins, shall be thoroughly washed and cleaned each time they are emptied, unless soil contact surfaces have been completely protected from contamination by disposable liners, bags or other devices removed with the waste. Each movable bin shall be accessible and shall have a drainage device to allow complete cleaning at the storage area.
NOTE

Authority cited: Sections 208(a), 1225 and 1254, Health and Safety Code. Reference: Sections 1226, 1250 and 25157.3, Health and Safety Code.
HISTORY

1. Repealer of subsection (f) filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer of subsection (f) filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 42).
§75069. Infectious Waste.
Note     •     History

Infectious waste, as defined in Health and Safety Code Section 25117.5, shall be handled and disposed of in accordance with the Hazardous Waste Control Law, Chapter 6.5, Division 20, Health and Safety Code (beginning with Section 25100) and the regulations adopted thereunder (beginning with Section 66100 of this Title).
NOTE

Authority cited: Sections 208, 1254, 25150 and 25157.3, Health and Safety Code. Reference: Sections 1250, 25117 and 25117.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer and new section filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-16-84 (Register 84, No. 42).
§75070. Gases for Medical Use.
Note

(a) Gases covered by this Section include both flammable and nonflammable gases.
(b) Provision shall be made for safe handling and storage of medical gas cylinders.
(c) All medical gas cylinders, pressure regulators, wall outlets from piping systems, and external removable connection hoses used therewith shall, by physical design, be so constructed that connections for different gases are not interchangeable.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75071. Linen and Laundry.
Note

(a) A supply of linen to meet the needs of the clinic shall be maintained.
(b) Soiled and clean linens shall be stored in separate areas at all times.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
§75072. Space Conversion.
Note

Spaces approved for specific use at the time of licensure shall not be converted to other uses without the written approval of the Department. All areas, rooms, fixtures and equipment required by Chapter 1, Division T17, Title 24, California Administrative Code, shall be maintained. Any request for Department approval of a proposed space conversion shall either be granted or denied, in writing, within 30 days of receipt by the Department.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
Article 8. Appeals Procedure
§75073. Appeals Procedure.
Note

(a) District office responsibility:
(1) Request for appeal of a licensing evaluator's decision may be made by the licensee or administrator to the evaluator's supervisor. Such requests should be in writing and give specific reason for the request. If the matter is not resolved to the satisfaction of the licensee at this level, the licensing supervisor shall prepare a written summary for review by the district administrator.
(2) Where the procedure outlined in (1) above does not resolve the matter, the licensee or administrator may request an office conference at the district office. This office conference shall be attended by:
(A) District administrator or designee.
(B) Licensing supervisor.
(C) Facility evaluator.
(D) Licensee/administrator and consultant or attorney, if desired by the licensee or administrator.
(E) Consultant and/or other Department representative when appropriate in the opinion of the District Administrator.
(3) The results of an office conference shall be confirmed in writing by the district office to the licensee.
(b) Headquarters Responsibility:
(1) When an appeal of a licensee's decision is not resolved at the district level, the next level of appeal is as follows: the licensee/administrator may appeal and submit a request for further consideration to the Chief, Health Care Section, Sacramento. At the discretion of the Department, an appeal conference will be scheduled and should include:
(A) Chief of the Health Care Section or designee.
(B) Appropriate Health Care Section Facility Specialist.
(C) Appropriate district licensing representative--district administrator, evaluator, and others as needed.
(D) Licensee or administrator and consultant or attorney, if desired by the licensee or administrator.
(E) Consultant and/or other Department representative.
(2) The results of such a meeting or denial of an appeal conference shall be confirmed in writing.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
Article 9. Birth Services
§75075. Birth Services--General Requirements.
Note     •     History

(a) Primary care clinics providing a birth service shall provide:
(1) Care for patients during pregnancy, labor, delivery and the immediate postpartum period, and refer patients in need for specialized or tertiary care at any stage of pregnancy.
(2) A continuing assessment of all factors which would indicate whether labor and delivery may post high-risk or life threatening problems to a maternal patient or infant.
(A) Upon a determination that high-risk, abnormal or life threatening factors exist or are likely to occur, a birth service shall not proceed with plans to provide childbirth services during labor and delivery beyond the extent necessary to provide emergency care and stabilization.
(3) Emergency care for mothers who have delivered in the clinic and infants born in the clinic who require immediate life support measures to sustain life pending transfer to a general acute care hospital.
(4) Written policies and procedures for medical backup, consultation and emergency transfer and transportation of an infant to a newborn nursery or an intensive care nursery or of the mother and infant to a general acute care hospital with the capacity for management of obstetrical and neonatal emergencies. Written policies shall address the assignment of duties and responsibilities of all parties in resuscitation and stabilization in an emergency transfer.
(5) An educational program designed for patients and their families to include but not limited to benefits and risks involved, information about genetic counseling, health behavior screening services available, proper prenatal care, nutrition, preparation for labor and delivery and routine care for the newborn.
(6) A maternal health record including:
(A) Past medical, social and psychological history of significant risk factors for pregnancy which shall include but not be limited to:
1. Cardiovascular, pulmonary, renal, endocrine, metabolic and hematologic disease.
2. Venereal and infectious disease.
3. Substance abuse.
4. Infertility.
(B) Past obstetrical history which shall include but not be limited to:
1. Pregnancy history.
2. Maternal and newborn complications of previous deliveries, if any.
3. Iso-immunization.
(C) Prenatal physical examination which includes but is not limited to:
1. Last menstrual period.
2. Estimated date of confinement.
3. Hemoglobin and hematocrit tests.
(D) Prenatal monitoring record which shall include but not be limited to:
1. Blood pressure.
2. Weight.
3. Urine protein and glucose tests.
4. Edema.
5. Estimated weeks of gestation.
6. Fundal height.
(E) Onset of labor record which includes but is not limited to:
1. Physical examination.
2. Fetal evaluation.
(F) Labor progress record which includes but is not limited to:
1. Time of onset of labor.
2. Time of rupture of membranes.
3. Length of each stage of labor.
(G) Delivery record including complications, if any.
(H) Postpartum observations which shall include but not be limited to:
1. Vital signs.
2. Examination of fundus.
3. Ability of mother to ambulate, void and care for her infant.
(I) Medication and anesthesia administration records.
(J) Discharge note which includes but is not limited to:
1. Summary of intrapartum and postpartum course.
2. Activity limitations.
3. Instructions for follow-up care.
(7) Infant health record including:
(A) Physical examination.
(B) Weight.
(C) APGAR scores.
(D) Results of newborn heritable disease screening.
(E) Prophylaxis for ophthalmia neonatorum.
(F) Evidence of vital statistics registration.
(G) Discharge note.
(b) The professional director with assistance from a perinatal committee shall be responsible for ensuring that there is at least a quarterly evaluation of the services and procedures performed, including patient health record audits and quality assurance activities. Such evaluation shall include, but not be limited to:
(1) Extent of prenatal care.
(2) Appropriateness of performing the deliveries on an outpatient basis.
(3) Tabulation of infant APGAR scores.
(4) Identification of needed services not being provided.
(5) Tabulation of outcome of mothers and infants, including complications of pregnancy, labor and delivery, morbidity and mortality.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1203 and 1226, Health and Safety Code.
HISTORY

1. New Article 9 (Sections 75075-75083, not consecutive) filed 9-2-86; effective thirtieth day thereafter (Register 86, No. 36).
§75077. Birth Services--Policies and Procedures.
Note     •     History

(a) Written policies and procedures shall be implemented and shall include but not be limited to:
(1) Defining the criteria for admission.
(2) Defining high risk consistent with Section 75009.1 and identifying specifically the maternal patients whom the clinic will not accept and those requiring transfer to a hospital.
(3) Referral and transfer policies and procedures for a patient who, during the course of pregnancy or labor, is determined to have become a high-risk patient.
(4) Provision for the education of the patient and significant others in pregnancy, childbirth and infant care.
(5) Plans for the follow-up of patients within 24 hours after discharge and during the subsequent 6 weeks, with emergency consultation when required.
(6) Contractual arrangements for emergency medical transportation.
(7) Provisions for family planning information and education.
(8) Registration of births and reporting of congenital anomalies and complications as required by Section 10000 et seq., Division 9, Chapter 1, Health and Safety Code.
(9) Treatment of the eyes of a newborn for prevention of ophthalmia neonatorum as required by Section 2560, Title 17, California Administrative Code.
(10) Newborn screening for heritable disorders as required in Sections 6500.1 through 6510, Title 17, California Administrative Code, notwithstanding any reference in those sections to hospitals or health facilities, rather than clinics.
(11) Screening for Rhesus(Rh) Hemolytic Disease as required in Section 6510, Title 17, California Administrative Code, notwithstanding any reference in those sections to hospitals or health facilities, rather than clinics.
(A) Provisions for administration of Rh immunoglobulin within 72 hours after birth for mothers who are candidates.
(12) Written policies for identifying support persons and others who may be present during labor and delivery which shall provide for the safety, comfort and privacy of the patient.
(13) Infection control policies and procedures which include screening criteria for participants and staff.
(14) Provision for food and fluid intake for mothers and infant.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1203 and 1226, Health and Safety Code.
HISTORY

1. New section filed 9-2-86; effective thirtieth day thereafter (Register 86, No. 36).
§75079. Birth Services--Equipment and Supplies.
Note     •     History

(a) Each birth service shall maintain the equipment and supplies necessary to provide the services offered, including at least the following:
(1) Double or single size bed.
(2) Equipment for maintaining infant body temperature and ventilation.
(3) Portable emergency light source.
(4) Suction equipment for both mother and infant.
(5) Suturing equipment.
(6) Oxygen source and basic resuscitation equipment for both mother and infant.
(7) Emergency medications for both mother and infant.
(8) Intravenous fluids and infusion equipment.
(9) Clock with a sweep second hand.
(10) Other equipment and supplies necessary to provide maternity and infant care and to initiate emergency procedures when indicated.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1203 and 1226, Health and Safety Code.
HISTORY

1. New section filed 9-2-86; effective thirtieth day thereafter (Register 86, No. 36).
§75081. Birth Services--Staff.
Note     •     History

(a) A physician with current knowledge and specific training in obstetrics who is certified or eligible for certification by the American Board of Obstetrics and Gynecology, or a physician with current knowledge and specific training in obstetrics shall be responsible for the medical services at the birth center. This individual may also hold the position of professional director of the clinic and shall have hospital privileges in obstetrics.
(b) In addition, there shall be a sufficient number of physicians with current knowledge and specific training in obstetrics and newborn care, and/or certified nurse midwives and/or physician assistants competent in obstetrics and authorized by the physician supervisor to perform obstetrics to care for the number of patients accepted by the clinic. In the case of physician assistants, the responsible physician shall be certified by the Board of Medical Quality Assurance to be a physician assistant supervisor.
(c) There shall be sufficient number of licensed registered nurses with current knowledge and specific training in maternity and newborn care to care for the number of patients accepted by the clinic.
(d) A physician, certified nurse midwife or physician assistant meeting the above criteria and at least one other person meeting the above criteria shall be present for all births.
(e) A system ensuring staff availability on a 24-hour basis shall be established and maintained.
(f) Appropriate medical consultation services shall be available.
(g) Continuing education and/or in-service training shall be required for all staff. The training shall include but not be limited to:
(1) Physical assessment of mother and infant.
(2) Infant and adult resuscitation and stabilization. Annual skills reviews shall be conducted.
(3) Family centered birthing.
(4) The birth process, including complications of labor and delivery.
(5) Emergency skills.
(6) Care of the newborn.
(7) Prenatal, intrapartum and postpartum care.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1203 and 1226, Health and Safety Code.
HISTORY

1. New section filed 9-2-86; effective thirtieth day thereafter (Register 86, No. 36).
§75083. Birth Services--Space.
Note     •     History

(a) Each birthing room shall have an area which can accommodate the equipment and supplies required in Section 75079 and the staff required in Section 75081. There may be no more than one mother in this area at any given time.
(b) A toilet and handwashing sink shall be maintained in conformance with Part 5, Title 24, California Administrative Code.
(c) Adequate counter top or table work space shall be maintained in the birthing room.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1203 and 1226, Health and Safety Code.
HISTORY

1. New section filed 9-2-86; effective thirtieth day thereafter (Register 86, No. 36).
Chapter 7.1. Specialty Clinics
Article 6. Hemodialyzer Reuse
§75172. Automated Reuse Machines.
Note     •     History

Automated reuse machine means a machine which has been recognized by the Department and the Food and Drug Administration as being safe and effective for automated reprocessing of hemodialyzers.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New Chapter 7.1 (Article 6, Sections 75172-75208, not consecutive) filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75173. Cleaning.
Note     •     History

Cleaning, when used in reference to a dialysis facility and dialysis filters, means the passage of solution through the blood and dialysate compartments to purge the dialyzer of blood and blood protein residuals.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75174. Clearance.
Note     •     History

Clearance means the volume of solvent that is cleared of solute per unit of time.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75175. Device History Record.
Note     •     History

Device History Record means the compilation of records containing the complete reprocessing history of a dialyzer.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75176. Dialysis Facility.
Note     •     History

A dialysis facility means a licensed free-standing specialty clinic which provides less than 24-hour care for the treatment of patients with End-stage Renal Disease, including provision of renal dialysis services or a general acute care hospital having a special permit to provide care and treatment services to patients with End-stage Renal Disease.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75177. Dialysis Treatment.
Note     •     History

Dialysis treatment means the act of performing hemodialysis therapy on a patient with a hemodialysis filter at a dialysis facility.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75178. Dialyzer.
Note     •     History

(a) Dialyzer, artificial kidney, hemodialyzer, or hemodialysis filter means an apparatus, excluding in-line blood filters and tubing, by which hemodialysis may be performed.
(b) Types of dialyzers include:
(1) Coil, which incorporates a membrane in the form of a flattened tube which is wound around a central, rigid, cylindrical core, with a supporting mesh separating the coil;
(2) Parallel plate, which incorporates membrane sheets interspersed between supporting plates in a sandwiched configuration; and
(3) Hollow fiber, which incorporates a membrane in the form of a very small hollow fiber core.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75178.5. Disinfectant Chemical.
Note     •     History

Disinfectant solution is a chemical solution intended for use in the disinfection of dialyzers which, when placed into a dialyzer, will kill microorganisms. These chemicals have been recognized by the FDA, and the Department as being safe and effective in reprocessing of hemodialyzers.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75179. Disinfectant Rinsing.
Note     •     History

Disinfectant rinsing means the passage of solution through the blood and dialysate compartments to purge the dialyzer of disinfectant solution.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75180. Documentation.
Note     •     History

Documentation means any record, form, notice, or other written material used by the dialysis facility to comply with the requirements of this Article.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75181. Fiber Bundle Volume.
Note     •     History

Fiber bundle volume or FBV, means the aggregate volume of the hollow fibers contained within the blood compartment of a hollow fiber dialyzer. This volume added to the header volume equals the total cell volume of the hollow fiber dialyzer which is the volume of the blood compartment of said dialyzer.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75182. Formaldehyde.
Note     •     History

Formaldehyde means Formaldehyde Solution, USP, (nominal 37% aqueous solution).
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75183. Formaldehyde Disinfectant.
Note     •     History

Formaldehyde disinfectant means an aqueous dilution of formaldehyde solution ESP.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75184. Label.
Note     •     History

Label means the display of written, printed, or graphic matter upon a dialyzer.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75185. Membrane.
Note     •     History

Membrane means the semipermeable interface between the blood and dialysate compartments of a hemodialysis filter.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75186. Performance.
Note     •     History

Performance means the solute and fluid removal capabilities of the dialyzer.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75187. PPM.
Note     •     History

PPM is the abbreviation for parts per million.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75188. Pyrogen.
Note     •     History

Pyrogen means a fever producing agent of bacterial origin.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75189. Record.
Note     •     History

For the purpose of this Article, record means the compilation of reprocessing procedures of a dialyzer inclusive of specifications and test procedures and test results; descriptions of reprocessing tasks and training curricula; equipment maintenance procedures, schedules, tests and test results; quality assurance audit procedures and results; and complaints and complaint resolutions.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75189.5. Reprocessing.
Note     •     History

Reprocessing means the act or actions of restoring a previously used hemodialyzer so that it is suitable for another dialysis treatment.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75190. Reprocessing Technician.
Note     •     History

Reprocessing technician means a person who is experienced and/or trained in dialyzer reprocessing procedures and who has been assigned the task of dialyzer reprocessing.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75191. Reuse or Multiple Use.
Note     •     History

Reuse or multiple use means the practice by which dialyzers are reprocessed and used for more than one dialysis treatment without the replacement of the membrane or other surfaces in contact with the blood.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75192. Reuse Number.
Note     •     History

Reuse Number means the number of times the dialyzer has been used in patient dialysis treatments.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75193. Ultrafiltration.
Note     •     History

Ultrafiltration means the transfer of fluid from the blood to the dialysate through the dialysis membrane due to a pressure gradient (transmembrane pressure) existing between the blood and dialysate compartments.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
2. Editorial correction of Reference cite (Register 95, No. 25).
§75194. Validation or Process Validation.
Note     •     History

Validation or process validation, means the establishment of a rigid set of process controls, with quality assurance audit challenges, to assure an acceptable product quality based upon a defined set of standards.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75195. Scope and Application.
Note     •     History

(a) This Article applies to all dialysis facilities which are engaged in the practice of hemodialyzer reprocessing and reuse.
(b) Deviation from any of the sections contained in this Article without an alternative reuse protocol approved by the Department constitutes a violation as referenced in Health and Safety Code, Division 21, Section 417.14.
(c) A dialysis facility may submit an alternative protocol for Department approval for any of the sections contained in this Article. Within 30 days of receipt of a request for approval of an alternative protocol, the Department shall inform the applicant, in writing, that the request is complete and accepted for consideration or that the request is deficient and what specific information is required. The Department shall approve or disapprove the request within 90 days of receipt.
(d) These regulations shall not apply to dialysate delivery systems nor new dialyzers.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75196. Contraindications.
Note     •     History

(a) Reuse and reprocessing of hemodialyzers is prohibited in the following:
(1) Patients known to be HBsAg-positive or suspected to have non-A/non-B hepatitis, except where the dialysis patient treatment area and the dialyzer reprocessing area or room is isolated from patients free of hepatitis.
(2) Patients sensitive to disinfectant solution residuals.
(3) Bacteremic patients. 
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75197. Informed Consent.
Note     •     History

(a) The patient or his or her legal guardian or conservator may execute written consent for the reuse of hemodialysis filters. Non-execution shall indicate the patient chooses not to participate in a reuse program.
(b) The written consent form shall include, but not be limited to, the following statements:
(1) The patient's name, the dialysis facility name, and the name of the staff person who explained the facility's reuse program and process.
(2) A statement that the reuse process has been fully explained to the patient and that the facility's written policies and reuse procedures are available upon request.
(3) A statement that a reused dialyzer will only be used by the same patient again.
(4) A statement that single-use dialyzers are recommended by the dialyzer manufacturer for one-time use only.
(5) A list of the advantages and disadvantages associated with reuse which shall include, but not be limited to:
(A) Entry of a residual amount of (name of the disinfectant chemical), the long-term effect of which is unknown.
(B) The increased possibility of infection and/or fever producing reactions if procedures are not correctly followed at this dialysis facility.
(C) A lower incidence of back and chest pain, cramps, fever, sweating, blood pressure problems, nausea, and/or vomiting often associated with the initial use of a dialyzer in hypersensitive patients.
(6) A list of patient rights regarding the reuse of dialyzers which shall be adhered to by the facility and include:
(A) The right to ask questions at any time about dialysis reuse and reprocessing procedures, and to receive answers which fully, fairly, and understandably respond to such questions.
(B) The right to withdraw authorization for dialysis reuse by oral request, followed by a written notice, to the supervising practitioner for any reason.
(C) The right to file a written complaint with the dialysis facility and the Department of Health Services' Licensing and Certification Division, and expect a resolution of that complaint by the dialysis facility.
(D) The right to expect safe and effective reprocessing of the dialyzer.
(E) The right to know the number of times the dialyzer has been reprocessed prior to each dialysis treatment.
(F) The right not to participate in the dialysis facility's reuse program without abridgement of any service of the facility.
(c) A copy of the executed form shall be given to the patient or legal guardian or conservator.
(d) A patient shall be treated with a new dialyzer if consent for reuse is denied, withdrawn, or not executed.
(e) All executed informed consent forms and withdrawal notices shall be included in the patient's medical records.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75198. Record Keeping.
Note     •     History

(a) All records, forms, and notices required by this Article shall be maintained in a secure location(s) at the dialysis facility.
(1) Access to documentation shall be restricted to authorized dialysis facility personnel except where otherwise noted in this Article or as required by law.
(2) Documentation shall be made available to departmental representatives for inspection and copying.
(b) Prior to reprocessing dialysis filters, each dialysis facility shall establish and maintain records which include:
(1) A Procedure Record which includes the methods and procedures used at the dialysis facility for cleaning, disinfecting and storing, performance testing including pass/fail criteria, and disinfectant rinsing of the hemodialyzer.
(2) A Training Record which includes the tasks assigned to each technician involved in the reprocessing of hemodialyzers, a description of the type of training and/or education required for each task, and written verification by the person responsible for training that such training has been received.
(3) An Equipment Record for all equipment utilized in reprocessing, including the water and air quality control systems, which includes maintenance schedules, procedures, tests, and test results.
(4) An Audit Record including quality assurance audit procedures and results.
(5) A Device History Record to be maintained for a period of six months after the last reprocessing of the dialyzer which includes, but is not limited to, the following information:
(A) Patient's name (last name, first name or initial)
(B) Dates of dialysis treatment
(C) Dates of disinfectant rinsing
(D) Dialyzer type and model
(E) Reuse number
(F) Results of any performance test
(G) Initials or other identification of the reprocessing technician
(H) Comments on the reason for dialyzer failure and, if necessary, subsequent dialyzer acceptance
(c) Each record as required in this section shall bear the signature or other identification of the person responsible for implementing the requirements of the record.
(d) Prior to implementing a procedure change to any record, the change shall be authorized in writing by the person responsible for implementing the requirements of the record or the facility medical director.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75200. Facilities.
Note     •     History

(a) All dialyzer reprocessing procedures and tests, except rinsing of the dialyzer, shall be performed in a room separate from the dialysis treatment area, or in the patient treatment area if no patients are present or as otherwise noted in this Article.
(b) The reprocessing room or area shall be restricted to authorized personnel.
(c) For the purpose of minimizing the potential for dialyzer/patient mixup and cross-contamination, the reprocessing area shall be of sufficient size to allow for dialyzer reprocessing, storage, and testing.
(d) The reprocessing area shall be maintained in a clean and sanitary manner, and shall have a method of disposal of air and chemical effluents which will not contaminate patients.
(e) Air levels of disinfectants in the reprocessing area and in the patient treatment area shall be in compliance with California Administrative Code, Title 8, Section 5155, “Airborne Contaminants.”
(f) Reprocessing rooms and/or the reprocessing area shall be in compliance with the ventilation requirements of odorous and patient treatment rooms specified in the California Administrative Code, Title 24, Chapter 4-21, Part 4, “Air Conditioning, Heating, and Ventilation Systems for Hospitals.”
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75201. Personnel.
Note     •     History

(a) Personnel shall be trained to understand and perform the procedures contained in each record described in Section 75198(b).
(b) Personnel shall be trained in the procedures and assigned tasks as specified in the dialysis facility's Training Record which shall include, but not be limited to:
(1) Dangers associated with an inadequately reprocessed dialyzer.
(2) Reprocessing operations which affect the safety and integrity of the dialyzer.
(3) The importance of maintaining a high level of personal and field cleanliness.
(c) Reprocessing technicians shall be appropriately clothed, including protective outer clothing, gloves, and suitable eye protection when engaged in reprocessing procedures using disinfectant or cleaning chemicals or solutions.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75202. Labeling.
Note     •     History

(a) Prior to dialysis treatment, the dialyzer shall be labeled with: patient's name (last name, first name or initial), current date of dialysis treatment, and reuse number.
(b) The label shall be nonremovable.
(c) All markings on the label shall be in indelible ink.
(d) The label shall be placed so as not to obscure the name of the dialyzer manufacturer, model number, serial and/or lot number, or arterial blood compartment-side indicator.
(e) All subsequent markings on the label as required by other sections in this Article shall be made by the reprocessing technician.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75203. Water Quality.
Note     •     History

(a) All water used in the reprocessing of dialyzers including solution makeup water shall be first passed through a reverse osmosis (RO) membrane unit.
(b) Water shall not exceed 200 colony forming units (CFU) as tested using a standard plate count method.
(c) Bacterial testing of the water shall be done monthly and the results documented in the Equipment Record.
(d) The water treatment system shall be regularly maintained and verification of maintenance so noted according to the schedule in the Equipment Record.
(e) Dialysis facilities may store water according to written water storage procedures.
(1) Water storage shall be validated for the maximum time of water storage at the 200 CFU standard and for pyrogens using either the USP Rabbit Test for Pyrogens or the Limulus Amebocyte Lysate (LAL) test.
(2) Water stored for more than eight (8) hours shall not be used in reprocessing and shall be drained from the storage tank unless stored water is continuously recirculated through a reverse osmosis membrane or other filter having a maximum pore size of 0.45 m. All filter systems shall be maintained to provide effective removal of micro-organisms and to prevent microbiological accumulation on or within the filter.
(3) Bacterial testing of the stored water shall be done monthly at the maximum time of water storage and the results documented in the Equipment Record. A count of greater than 200 CFU shall require the facility to revalidate the water storage procedures for pyrogens and bacterial growth.
(4) A consistent rise in patient post-dialysis treatment temperatures to greater than or equal to 100 degrees F and/or symptoms of chills and/or fever traced to water storage shall require the facility to revalidate the water storage procedures for pyrogens and bacterial growth.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75204. Cleaning.
Note     •     History

(a) The dialyzer blood and dialysate ports or attached tubing shall be capped with a clean and highly disinfected closure immediately after the patient dialysis treatment and isolated from any other dialyzers so as to preclude cross-contamination.
(b) Cleaning of the dialyzer shall begin within two (2) hours after the completion of the dialysis treatment unless the dialyzer is stored under refrigeration within two (2) hours after treatment.
(c) The cleaning solution shall be water, isotonic, or physiologic saline solution.
(d) Dialysis facilities may use hydrogen peroxide or sodium hypochlorite (bleach) or other chemicals approved by the Federal Food and Drug Administration for use as a cleansing agent providing a suitable test is performed prior to storage of the dialyzer to insure against the presence of the cleansing agent in amounts which would critically degrade the structure of the dialyzer or pose a health threat to the patient.
(e) The dialyzer shall be externally cleaned.
(f) A length of clean, highly disinfected tubing shall be incorporated between blood ports or tubing and any permanent cleaning apparatus, and replaced after the cleaning procedure.
(g) The cleaning solution shall be administered to the blood compartment and dialysate compartment for a sufficient time to assure that effluents are clear and free of clotted blood material.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
2. Editorial correction of Reference cite (Register 95, No. 25).
§75205. Performance.
Note     •     History

(a) The dialyzer shall be subjected to in-vitro functional tests after the cleaning procedure has been completed. Such test shall include:
(1) Clearance test using the test solutes, i.e.: urea, creatinine, insulin, vitamin B12, or other solutions formulated to allow assessment of low and middle molecule weight molecular clearances. Dialyzers with a reduction in the clearance of urea or creatinine greater than 10 percent or of insulin or vitamin B12 greater than 20 percent of that specified by the manufacturer for new dialyzers of the same model shall not be reused.
(2) Ultrafiltration test over the range of transmembrane pressures spanning those encountered clinically, but never at pressures exceeding the maximum specified by the manufacturer. Dialyzers with a reduction in the ultrafiltration rate greater than 10 percent of that specified by the manufacturer for new dialyzers of the same model shall not be reused.
(3) Membrane Integrity test shall be performed on the reprocessed dialyzer if the leak rate observed clinically for reprocessed dialyzers exceeds that for new dialyzers of the same type and model.
(b) Indirect test methods for the assessment of dialyzer functionality may be employed in place of the tests specified in subsection (a) of this section provided that such test methods are suitably validated to demonstrate that they can be reliably used to verify compliance with the limits established in part (a) of this section. For hollow fiber dialyzers, the measurement of residual fiber bundle volume (FBV) is an acceptable indirect test method. Reprocessed hollow fiber dialyzers with a reduction in the FBV greater than 20 percent of the volume specified by the manufacturer for new dialyzers of the same model shall not be reused. If FBV is determined by the facility it shall be determined for every individual new dialyzer prior to its use.
(c) The results of the functional requirement tests shall be included in the Device History Record.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75206. Disinfection and Storage.
Note     •     History

(a) If a disinfectant chemical other than formaldehyde is used, a process validation to assess and assure the safety and effectiveness as a disinfectant shall be performed and the results submitted to the Department for approval prior to use as a disinfectant for the reprocessing of dialyzers; otherwise the remainder of the subsections contained in this section shall apply. Within 30 days of receipt of the request for approval of a disinfectant chemical other than formaldehyde,the Department shall inform the applicant, in writing, that the request is complete and accepted for consideration or that the request is deficient and what specific information is required. The Department shall approve or disapprove the request within 90 days of receipt.
(b) Alternative disinfectant chemical(s) may be used and the remainder of this section shall not apply provided that the following requirements are met:
(1) The disinfectant chemical(s) shall have marketing approval for use as a dialyzer disinfectant from the federal Food and Drug Administration.
(2) Labeling of the disinfectant chemical(s) shall include procedures and adequate directions for use for the disinfection and storage of dialyzers and disinfection chemical(s).
(3) The dialysis facility shall follow the procedures of the manufacturer for the disinfection and storage of dialyzers.
(c) The disinfectant chemical shall be Formaldehyde Solution, USP (nominal 37 percent formaldehyde).
(d) Water shall be added to the Formaldehyde Solution to make the disinfectant solution chemical concentration a minimum of 1.5 percent formaldehyde. A test capable of detecting this percentage formaldehyde shall be performed to initially validate the procedures for making the formaldehyde chemical solution at the desired percentage. For automated reuse machines which proportion formaldehyde, the validation test shall be similarly applied.
(e) The storage of the formaldehyde solution shall be at room temperature in a designated and marked container (name and solution concentration, date of solution makeup) and equipped with a sealable closure.
(f) The formaldehyde solution-filled dialyzer shall be stored at room temperature for a minimum of 36 hours before disinfectant rinsing.
(g) Alternatively, a facility may use a 4 percent formaldehyde solution stored for at least 24 hours at room temperature should the facility require flexibility. All other requirements in subsections (d) and (e) shall be applicable.
(h) For purposes of subsections (e), (f) and (g) room temperature shall mean a temperature thermostatically controlled between 22oC (72oF) and 30oC (86oF).
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code and Section 15376, Government Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75207. Disinfectant Rinsing.
Note     •     History

(a) If a disinfectant chemical other than formaldehyde is used, a process validation to assess and assure the safety and effectiveness of the disinfectant rinsing procedure shall be performed and the results submitted to the Department for approval prior to use as a disinfectant rinsing procedure for the reprocessing of dialyzers; otherwise, the remainder of the subsections contained in this section shall apply. Within 30 days of receipt of the request for approval of a rinsing procedure for an alternative disinfectant chemical, the Department shall inform the applicant, in writing, that the request is complete and accepted for consideration or that the request is deficient and what specific information is required. The Department shall approve or disapprove the request within 90 days of receipt.
(b) Alternative procedures for the rinsing of disinfectant chemicals complying with Section 75206(b) may be used, if the following requirements are met:
(1) The labeling of the disinfectant chemical(s) shall include procedures and adequate directions for use for disinfectant rinsing of dialyzers.
(2) The maximum residual limit which defines the limit for patient safety given acute and long-term exposure to the disinfectant chemical shall be specified on the disinfectant chemical labeling.
(3) A test method for detecting the residual limit shall be specified on the disinfectant chemical labeling and shall be used by the dialysis facility. No dialyzer shall be used when tests indicate an amount of disinfectant chemical residual greater than the minimum residual limit required under (2) above.
(c) The dialyzer shall be released from storage and rinsed of disinfectant chemical upon scheduled order for patient treatment.
(d) The blood compartment rinsing solution shall be sterile and nonpyrogenic, and shall not degrade the structure of the dialyzer.
(e) If the disinfecting solution is formaldehyde, the dialyzer shall be subjected to a rinsing procedure until the disinfectant is no longer detectable as indicated by testing the blood compartment effluent of the dialyzer with a reagent capable of detecting at least three (3) ppm.
(f) The result(s) of the disinfectant chemical residual test shall be recorded in the Device History Record. A positive test shall be an indication not to release the dialyzer for patient dialysis treatment, however it may be subjected again to the rinsing procedure and retested.
(g) The reprocessing technician shall indicate on the dialyzer label and in the Device History Record by appropriate initials that the dialyzer is ready for patient treatment. The date of disinfectant rinsing shall also be logged in the Device History Record.
(h) The rinsing solution in the blood compartment shall be purged from the dialyzer and refilled with a fresh solution immediately prior to the dialysis treatment except where the validation process has accounted for the time between disinfectant testing and patient treatment.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code and Section 15376, Government Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
§75208. Quality Assurance Audits.
Note     •     History

(a) An independent quality assurance audit of all procedures and tests specified in this Article shall be performed at a dialysis facility which initially implements this Article within six months of implementation and at least yearly thereafter.
(b) The audits shall be performed by an individual(s) knowledgeable in the procedures and tests contained in this Article and who does not have direct responsibility for implementing the procedures and tests being audited.
(c) The results of the audit shall be included as part of the Audit Record.
(d) Authorized representatives of the Department may conduct at any reasonable time a complete or partial quality assurance audit of procedures and tests specified in this Article and may collect any sample(s) for testing.
NOTE

Authority cited: Sections 208(a), 417.10, 1225 and 1275, Health and Safety Code. Reference: Sections 417.10-417.15, 1226 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; effective thirtieth day thereafter (Register 87, No. 16).
Chapter 7.2. Psychology Clinics
Article 1. Definitions
§75301. Accredited Record Technician.
Note     •     History

Accredited record technician means a person accredited as such by the American Medical Record Association.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
HISTORY

1. New Chapter 7.2 (Articles 1-5, Sections 75301-75371, not consecutive) filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75303. Clinic.
Note     •     History

Clinic means psychology clinic when used in this chapter.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75305. Psychologist.
Note     •     History

Psychologist means a person licensed as such by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75307. Registered Record Administrator.
Note     •     History

Registered record administrator means a person who is registered as such by the American Medical Record Association.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
Article 2. License
§75309. Application Required.
Note     •     History

(a) A signed application shall be submitted to the Department for prior approval in any of the following circumstances:
(1) Establishment of a psychology clinic.
(2) Change of ownership.
(3) Change of license classification.
(4) Operation of a psychology clinic at a new location.
(b) Within 30 days of receipt of an application the Department shall inform the applicant, in writing, that the application is complete and accepted for filing or that the application is deficient and what specific information is required.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1, 1205 and 1226, Health and Safety Code and Section 15376(a) Government Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75311. Content of Application.
Note     •     History

(a) In addition to the contents of an application as required by Section 1212, Health and Safety Code, an application shall contain the following:
(1) The applicant's principal place of business.
(2) The date and state of incorporation for all incorporated applicants, corporation number and, if a foreign corporation, evidence of authority to do business in the State of California.
(3) A copy of the Internal Revenue Service determination letter, pursuant to Section 501(c)(3) of the Internal Revenue Code of 1954, as amended, which is required for all nonprofit corporations.
(4) Name of the administrator and a description of the administrator's experience and background and, where the same person is the administrator of more than one clinic, the name of, and the number of hours spent in each clinic per week.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1, 1212 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75313. Fees.
Note     •     History

(a) The application fee for licensure shall not be refunded to the applicant if the application is withdrawn by the applicant or denied by the Department.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1214.5, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75315. Posting.
Note     •     History

The license shall be conspicuously posted in a location accessible to public view.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1205, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75317. Report of Changes.
Note     •     History

(a) Any change in the principal officer such as chairperson, president, or general manager of the governing board shall be immediately reported in writing to the Department, but in no case later than 10 days following such change. Such written notice shall include the name and principal business address of each new principal officer.
(b) When a change in administrator occurs, the Department shall be immediately notified in writing, but in no case later than 10 days following such change. Such notification shall include the name of the new administrator, the mailing address, the date of assuming office and a brief description of his or her background and qualifications.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1, 1212 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
Article 3. Basic Services
§75321. Basic Services--General Requirements.
Note     •     History

(a) All advice, diagnosis, and treatment shall be provided only by persons authorized by law to provide such services.
(b) Diagnostic and therapeutic services for the care and treatment of patients for whom the clinic accepts responsibility shall be provided in the clinic, or arranged for by the clinic with other licensed, certified, or registered providers.
(c) A psychology clinic shall provide reference materials and written patient care policies and procedures as described in Section 75325, which are approved by the Governing Body and are readily available to clinic personnel.
(d) The clinic may be required by the Department to obtain consultation where necessary to meet the patient care standards specified in these regulations.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75323. Basic Services--Psychology Staff.
Note     •     History

(a) Every psychology clinic shall have a clinical psychologist as defined in Section 1316.5(c), Health and Safety Code, designated as the professional director.
(b) The professional director's responsibilities, acting alone or through an organized staff, shall include:
(1) Establishing, reviewing, and maintaining psychological policies and standards, which shall be reviewed at least annually.
(2) Assuring the quality of psychological services provided to all patients treated by the clinic.
(3) Establishing and implementing a system of peer review, pursuant to written procedures.
(4) Ensuring that all personnel are qualified by training and experience to perform those services they are assigned to provide.
(5) Reviewing credentials of the psychologists providing service in the clinic.
(c) At least one staff member of the clinic shall have admitting privileges to a hospital to ensure the availability of needed hospital services or a written plan, approved by the Department, to ensure that needed hospital services are available.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75325. Basic Services--Policies and Procedures.
Note     •     History

(a) Written policies and procedures which the clinic shall implement shall include, but not be limited to:
(1) Description of the type and scope of services which the clinic will provide.
(2) Policies relating to patient care.
(3) Provisions for the education of patients in preventive, therapeutic and mental health maintenance care.
(4) Plans for follow-up of patients treated in the clinic which may include home care consistent with Section 1200.1, Health and Safety Code.
(5) Referral of patients to other agencies or health facilities.
(6) Provisions for handling emergencies and unusual occurrences.
(7) Procedures ensuring compliance with the legal requirements relative to the treatment of minors and persons who are under guardianship or conservatorship.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health an Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
Article 4. Administration
§75327. Governing Body.
Note     •     History

(a) The governing body shall have full legal authority and responsibility for the operation of the psychology clinic including compliance with all applicable federal, state and local laws and regulations.
(b) The governing body shall operate pursuant to articles of incorporation and by-laws.
(c) Written records of all proceedings of the governing body shall be maintained and made available to the Department upon request.
(d) The governing body shall appoint an administrator by governing body resolution.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75329. Administrator.
Note     •     History

(a) The governing body shall delegate to the administrator authority to carry out the day-to-day functions of the psychology clinic and the responsibility for ensuring that the psychology clinic conforms to all applicable federal, state and local laws and regulations.
(b) The qualifications, authority, and duties of the administrator shall be defined in a job description approved by the governing body.
(c) The administrator shall devote sufficient time to administrative responsibilities to ensure the proper administration and management of the psychology clinic. The administrator may be responsible for more than one psychology clinic only if all clinics are operated by the same governing body.
(d) The administrator shall designate in writing an individual to act in his or her absence, in order to provide the clinic with administrative direction at all times.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75331. Written Administrative Policies.
Note     •     History

(a) Written administrative policies shall be established and implemented and shall be reviewed at least annually and revised as necessary.
(b) The policies shall include but not limited to the following:
(1) Management and personnel policies which include job descriptions detailing the functions of each classification of employee or volunteer. 
(2) Policies for acceptance of a patient and termination of services shall include rate of charge for care, charges for outside services, limitation of services, cause for termination of services and refund policies applying to termination of services. These policies shall be made available to patients or their agents upon admission and upon request and shall be made available to the public upon request.
(3) Policies and procedures governing patient treatment records.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75333. Employees.
Note     •     History

(a) The psychology clinic shall recruit qualified personnel and provide initial orientation of new employees, a continuing in-service training program, and supervision designed to improve patient services and employee efficiency.
(b) The clinic shall provide a copy of the appropriate job description to each person employed or volunteering to work in the clinic.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75335. Employee Health Examinations and Health Records.
Note     •     History

(a) A health examination, performed by a person lawfully authorized to perform such an examination shall be performed as a prerequisite for employment within six months prior to employment or within one week after employment. Written examination reports, signed by the person performing the examination, shall verify that employees are able to perform assigned duties and do not have any health condition that would create a hazard for the employee, fellow employees, patients or visitors. The initial health examination shall include a tuberculosis screening test consisting of a purified protein derivative intermediate strength intradermal skin test and a chest X-ray if the skin test is positive. The psychology clinic shall establish a policy regarding subsequent health examinations and tuberculosis screening tests based on an assessment of the following:
(1) The risk of a previously infected person developing tuberculosis and then possibly infecting others.
(2) The risk of a non-infected person becoming infected and developing a disease.
(b) The facility shall develop policies which ensure that reasonable precautions are taken to prevent the spread of infectious disease between persons within the clinic.
(c) Employee health records shall be maintained by the clinic and shall include the records of all required health examinations. Such records shall be kept a minimum of three years following termination of employment.
NOTE

Authority cited: Sections 208(a) ad 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75337. Employee Records.
Note     •     History

(a) All psychology clinics shall maintain current and accurate personnel records for all persons working for the clinic. The record shall include the person's full name, social security number, license, registration or certification number, if any, and date of expiration, employment classification, date of beginning employment, date of termination of employment and performance evaluations. Such records shall be retained for at least three years following termination of employment.
(b) Employee personnel records shall be maintained in a confidential manner and shall be made available to representatives of the Department upon request in order to ensure compliance with the requirements of these regulations.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75339. Unusual Occurrences.
Note     •     History

Occurrences such as epidemic outbreaks, poisonings, fires, major accidents, deaths from unnatural cause or other catastrophes and unusual occurrences which threaten the welfare, safety or health of patients, personnel or visitors shall be reported by the facility within 24 hours either by telephone (and confirmed in writing) or by telegraph to the local health officer and the Department. An incident report shall be retained on file by the facility for one year. The facility shall furnish such other pertinent information related to such occurrences as the local health officer or the Department may require. Every fire or explosion which occurs in or on the premises shall be reported within 24 hours to the local fire authority or, in areas not having an organized fire service, to the State Fire Marshal.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75341. Patient Treatment Record Service.
Note     •     History

(a) Each psychology clinic shall establish and maintain a patient treatment record service which is systematically organized to provide a complete accurate, correlated, and current treatment record for each patient which, is filed in a centrally located area.
(b) The treatment record service shall be located to facilitate immediate retrieval of required information.
(c) A person working in the clinic shall be responsible for the direction and supervision of the treatment record service to ensure that all patient records are accurately documented, completed, indexed, and filed in the unit system. When the Department finds the treatment record service does not meet the standards set forth in these regulations, the clinic may be required to obtain the services of either an accredited records technician or registered record administrator to assist in establishing and maintaining the treatment record service.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75343. Unit Patient Treatment Records.
Note     •     History

(a) Records shall be permanent, either typewritten or legibly written in ink, and shall be kept on all patients accepted for treatment. All treatment records of discharged patients shall be completed and filed within 30 days after termination of each episode of treatment and such records shall be kept for a minimum of 7 years, except for minors whose records shall be kept at least until one (1) year after the minor has reached the age of 18, but in no case less than seven (7) years. All required records, either originals or accurate reproductions thereof, shall be maintained in such form as to be legible and readily available upon the request of the attending psychologist, the clinic or any authorized officer, agency or employee of either, or any other person authorized by law to make such request.
(b) Information contained in the treatment records shall be confidential and shall be disclosed only to authorized persons in accordance with federal, state or local laws.
(c) If a psychology clinic ceases operation, arrangements shall be made for the safe preservation of the patients' treatment records. The Department shall be informed by the clinic of these arrangements prior to the 48 hours before cessation of operations.
(d) The Department shall be informed within 48 hours, in writing, by the licensee whenever patient treatment records are defaced or destroyed before termination of the required retention period.
(e) If the ownership of the clinic changes, both the licensee and the applicant for the new license shall, prior to the change of ownership, provide the Department with written documentation stating:
(1) That the licensee shall have custody of the patients' treatment records and these records shall be available to the former licensee, the new licensee and other authorized persons; or
(2) That other arrangements have been made by the current licensee for the safe preservation and the location of the patients' treatment records and they are available to both the new and former licensees and other authorized persons.
(f) Patients' treatment records shall be current and kept in detail consistent with good professional practice and shall describe the services provided to each patient. All entries shall be dated and be authenticated with the name and professional title of the person making the entry.
(g) Patients' treatment records shall be stored so as to be protected against loss, destruction or unauthorized use.
(h) Patient treatment records shall be filed in an easily accessible manner in the clinic. Storage of records shall provide for prompt retrieval when needed for continuity of care. Prior approval of the Department is required for storage of inactive treatment records away from the facility premises.
(i) The patient treatment record shall be the property of the facility and shall be maintained for the benefit of the patient, treatment team and clinic and shall not be removed from the psychology clinic, except for storage purposes after termination of services or as required by law.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75345. Admission Records.
Note     •     History

(a) The clinic shall complete an admission record for each patient which shall include the following:
(1) Name.
(2) Current address.
(3) Age and date of birth.
(4) Sex.
(5) Diagnosis.
(6) Date services began.
(7) Last date of services.
(8) If the patient is under guardianship or conservatorship, the name, address and telephone number of guardian or conservator.
(9) Consent for treatment authorizations.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75347. Disaster Program.
Note     •     History

(a) Each clinic shall adopt a written disaster program and all personnel shall be instructed in its requirements. A copy of the program shall be available in the clinic for review by the Department.
(b) The program shall provide plans for disaster occurring within the facility. The written program shall include at least the following:
(1) Administrative procedures, including designated authority, and personnel duty assignments. There shall be provisions for simulated fire drills at least semi-annually and records to verify that such drills were conducted.
(2) Plans for evacuation of patients when necessary, including means of egress, methods of handling and transporting patients, and disposition and care of patients after removal from the clinic.
(c) The program shall be reviewed annually, and updated as needed.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75349. Posting of Clinic Schedule.
Note     •     History

A schedule of the hours and days during which the clinic is open shall be conspicuously posted in the clinic for public view and information. The clinic shall be open and service available during the posted times. Changes in such schedules shall be posted in advance of the change.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75351. Quality Assurance Evaluation Program.
Note     •     History

The clinic shall have a system for annual evaluation of its operation and the services it provides. This system shall include written procedures for evaluating the efficiency and effectiveness of the psychological services provided, and written procedures for he evaluation of utilization of services.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
Article 5. Physical Plant
§75353. Alterations and New Construction.
Note     •     History

Alterations to existing buildings, or new construction, shall be in conformance with the applicable provisions of Chapter 1, Division T17, Part 6, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75355. Fire Safety.
Note     •     History

Each clinic shall maintain compliance with the rules and regulations of the State Fire Marshal as verified by an initial fire clearance issued by the State Fire Marshal.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75357. Maintenance and Operation.
Note     •     History

(a) The clinic shall be clean, sanitary and in good repair at all times. Maintenance shall include provision and surveillance of maintenance services and procedures for the safety and well-being of patients, personnel and visitors.
(b) Flashlights shall be in readiness for use at all times. Open flame light shall not be used.
(c) A clinic shall be required to submit a report by a licensed structural engineer when the Department has determined that a structural condition of the clinic exists that may present a danger to the health and safety of occupants of the clinic. Such report shall provide a basis for a plan of correction.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Section 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75359. Water Supply and Plumbing.
Note     •     History

(a) Where water for human consumption is obtained from an independent source, it shall be subjected to bacteriological analysis by the local health department, the Department or a licensed commercial laboratory at least every three months. A copy of the most recent laboratory report shall be available for inspections.
(b) Plumbing and drainage facilities shall be maintained in compliance with Chapter 1, Division T17, Part 6, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75361. Cleaning Equipment and Fixtures.
Note     •     History

Each clinic shall provide for the cleaning of articles, equipment and surfaces such as furniture, walls, exhaust grills and light and plumbing fixtures.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75363. Storage and Disposal of Solid Wastes.
Note     •     History

(a) Solid wastes shall be stored and disposed of in a manner that will not permit the transmission of a communicable disease, create a nuisance, provide a breeding place or food source for insects or rodents or permit public access.
(b) Solid waste containers shall be stored and located in a manner that will prevent odors in patient areas.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75365. Solid Waste Containers.
Note     •     History

(a) All containers, except movable bins, used for storage of solid wastes shall have tight-fitting covers in good repair, external handles, and shall be leakproof and rodent-proof.
(b) Movable bins, when used for storing or transporting solid waste from the premises, shall have tight-fitting covers and shall be rodent-proof, unless stored in an enclosed area.
(c) All containers receiving putrescrible wastes shall be emptied daily and more often if necessary.
(d) Solid waste containers, including movable bins, shall be thoroughly washed and cleaned each time they are emptied, unless soil contact surfaces have been completely protected from contamination by disposable liners, bags or other devices removed with the waste. Each removable bin shall be accessible and shall have a drainage device to allow complete cleaning at the storage area.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75367. Electrical Systems.
Note     •     History

All electrical and other equipment used in the clinic shall be maintained free of defect which could be a potential hazard to patients or personnel and shall be included in a regular program of preventive maintenance.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 124.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75369. Illumination.
Note     •     History

Each clinic shall provide sufficient illumination for the comfort and safety of patients and personnel.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
§75371. Space Conversion.
Note     •     History

Spaces approved for specific use at the time of licensure shall not be converted to other uses without the written approval of the Department. All areas, rooms, fixtures and equipment required by Chapter 1, Division T17, Part 6, Title 24, California Administrative Code, shall be maintained. Any request for Department approval of a proposed space conversion shall either be granted or denied, in writing, within 30 days of receipt by the Department.
NOTE

Authority cited: Sections 208(a) and 1225, Health and Safety Code. Reference: Sections 1204.1 and 1226, Health and Safety Code.
HISTORY

1. New section filed 3-13-87; effective thirtieth day thereafter (Register 87, No. 12).
Chapter 8. Intermediate Care Facilities for the Developmentally Disabled
Article 1. Definitions
§76000. Statement of Purpose.
Note     •     History

Chapter 7 of this Division is adopted under the provision of Division 2, Chapter 2 of the Health and Safety Code for the purpose of establishing standards for the operation and licensing of intermediate care facilities serving the developmentally disabled.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New Chapter 8 (Articles 1-6; Sections 76000-76725, not consecutive) filed 3-2-79; effective thirtieth day thereafter (Register 79, No. 9).
§76001. Meaning of Words.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76003. Accredited Record Technician.
Note

“Accredited record technician” means a person who is accredited as such by the American Medical Record Association.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76005. Administrator.
Note

“Administrator” means a person licensed as a nursing home administrator by the California Board of Examiners of Nursing Home Administrators or a person having a state civil service classification or a state career executive appointment to perform that function in a state facility.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76007. Advertisement.
Note

“Advertisement” means a public notice, including but not limited to television, radio, newspapers, telephone books, brochures and signs used to create interest or induce purchase.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76009. Alteration.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76011. Art Therapist.
Note

“Art therapist” means a person who has a master's degree in art therapy or in art with emphasis in art therapy, including an approved clinical internship from an accredited college or university, or a person who is registered or eligible for registration as such with the American Art Therapy Association.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76013. Audiologist.
Note

“Audiologist” means a person licensed as such by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76015. Authorized Representative.
Note

“Authorized representative” means a person authorized to act on behalf of a client by law, by court order or by a written statement signed by the client, if competent, or signed by another authorized representative of the client. Except in state operated facilities, an authorized representative designated as such by a client or by another authorized representative of the client shall not be an owner, administrator, employee, representative or agent of the facility.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76017. Autoclaving.
Note

“Autoclaving” means the process of sterilization by steam under pressure.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76019. Aversive Techniques.
Note

“Aversive techniques” means the planned, systematic application of discomfort, pain or distress to the client for the purpose of changing behavior.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76021. Cleaning.
Note

“Cleaning” means the process employed to free a surface from dirt or other extraneous material.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76023. Client.
Note

(a) “Client” means a person who is receiving services from an intermediate care facility for the developmentally disabled.
(b) Ambulatory Client. “Ambulatory client” means a client who is capable of demonstrating the mental competence and physical ability to leave a building without assistance of any person under emergency conditions.
(c) Nonambulatory Client. “Nonambulatory client” means a client who is unable to leave a building unassisted under emergency conditions. It includes, but is not limited to, those persons who depend upon mechanical aids such as crutches, walkers or wheelchairs, and those persons who are profoundly or severely mentally retarded or persons who are totally deaf.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76025. Clients' Advocate.
Note

“Clients' advocate” means the person in a regional center or state hospital delegated the responsibility for ensuring that developmentally disabled clients in facilities are afforded their statutory and constitutional rights.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76026. Clients' Rights Officer.
Note

“Clients' rights officer” means a person in the Headquarters Office of the Department of Developmental Services delegated the responsibility for ensuring that developmentally disabled persons in facilities providing developmental services or residential care are afforded their statutory and constitutional rights.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76027. Conservator.
Note

“Conservator” means a person appointed by a court to take care of the person, the property or both of the conservatee under Section 5350 et seq., of the Welfare and Institutions Code or under Section 1701 et seq., of the Probate Code.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76029. Consultant.
Note

“Consultant” means a qualified person who gives professional advice or service, with or without remuneration.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76031. Controlled Drugs.
Note

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

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76033. Dance Therapist.
Note

“Dance Therapist” means a person who has a master's degree in dance therapy, including an approved clinical internship from an accredited college or university, or a person who is registered or eligible for registration as such with the American Dance Therapy Association.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76039. Decubitus Ulcer.
Note

“Decubitus ulcer” means a lesion of the skin, the etiology of which is pressure.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76041. Defined.
Note

“Defined” means explained in writing.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76043. Dentist.
Note

“Dentist” means a person licensed as such by the California Board of Dental Examiners.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76045. Department.
Note

“Department” means the California State Department of Health Services.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76047. Developmental Disability.
Note

“Developmental disability” means a disabling condition attributable to mental retardation, cerebral palsy, epilepsy, autism or other neurologically handicapping condition found to be closely related to mental retardation or to require treatment similar to that required for persons with mental retardation. Such condition must develop before an individual attains age 18, must be expected to continue indefinitely, and must constitute a substantial handicap for such individual.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76049. Dietetic Service Supervisor.
Note

“Dietetic Service Supervisor” means a person who is (a) a qualified dietitian, or (b) has a bachelor's degree with major studies in food and nutrition, dietetics, or food management and has one year of supervisory experience in the dietetic service of a health care institution, or (c) is a graduate of a dietetic technician or dietetic assistant training program approved by the American Dietetic Association, or (d) is a graduate of a state-approved program that provides 90 or more hours of classroom instruction in food service supervision, or (e) has training experience in food service supervision and management in a military service equivalent in content to (c) or (d) of the above.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76051. Dietitian.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76053. Direct Care Staff.
Note

“Direct care staff” means all facility staff who directly provide program and nursing services to clients. The registered nurse in charge of nursing services, program director and licensed personnel functioning in a supervisory capacity shall not be considered direct care staff.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76055. Director.
Note

“Director” means the Director of the California State Department of Health Services.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76056. Director of Physician Services.
Note

“Director of physician services” means the physician who is designated as such and who assumes responsibility or the medical guidance of the licensed facility.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76057. Disinfection.
Note

“Disinfection” means the process employed to destroy harmful microorganisms, but ordinarily not viruses and bacterial spores.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76059. Distinct Part for the Developmentally Disabled.
Note

“Distinct part for the developmentally disabled” means an identifiable unit accommodating beds including but not limited to contiguous rooms, a wing, floor or building that is approved by the Department to provide intermediate care services to developmentally disabled clients under the provisions of these regulations.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76061. Drug.
Note

“Drug” means a prescription or nonprescription medication.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76063. Drug Administration.
Note

“Drug administration” means the act in which a single dose of a prescribed drug or biological is given to a client.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76065. Drug Dispensing.
Note

“Drug dispensing” means the act of interpretation of an order for a drug or biological and the proper selection, measuring, packaging, labeling and issuance of that drug or biological for a client or for a service unit of the facility.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76067. Generic Agency.
Note

“Generic agency” means a public agency which provides service to any member of the community regardless of degree of handicap, such as the county health department, the California Parks and Recreation Department or the Department of Education.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76069. Guardian.
Note

“Guardian” means a person appointed by the court to take care of the person or the property, or both, of a ward under Section 1400 et seq., of the Probate Code.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76071. Headquarters Review and Approval Team.
Note

“Headquarters review and approval team” means a group made up of representatives of the Department of Health Services and the Department of Developmental Services stationed in the headquarters offices of those departments that reviews all facility program plans for intermediate care facilities for the developmentally disabled.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76073. Health Facility.
Note

“Health facility” means any facility, place or building which is organized, maintained and operated for the diagnosis, care, prevention and treatment of human illness or disability, physical or mental, including habilitation, convalescence and rehabilitation and including care during and after pregnancy, or for any one or more of these purposes, for one or more persons, to which such persons are admitted for a 24-hour stay or longer.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76075. Health Support Services.
Note

“Health support services” means those services organized, staffed and equipped to provide health care to clients as necessary. These services shall include as a minimum physician, nursing and dental services.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76077. Individual Program Plan.
Note

“Individual program plan” means a written plan of intervention and action that is developed and modified at frequent intervals, with the participation of the interdisciplinary team. It specifies objectives and goals and identifies a continuum of development, outlining projected progressive steps and the developmental consequences of services.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76079. Intermediate Care Facility for the Developmentally Disabled.
Note

“Intermediate care facility for the developmentally disabled” means a health facility which provides care and support services to developmentally disabled clients whose primary need is for developmental services and who have a recurring but intermittent need for skilled nursing services.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76081. Legend Drug.
Note

“Legend drug” means
(a) any drug labeled with the statement “Caution: Federal Law prohibits dispensing without prescription” or words of similar import, or
(b) Any dangerous drug under Section 4211 of Article 8 of the Business and Professions Code.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76083. License.
Note

“License” means the basic document issued by the Department permitting the operation of a health facility. This document constitutes the authority to receive clients and to perform the services included within the scope of these regulations and as specified on the facility license.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76085. License Category.
Note

(a) “License category” means any of the following categories:
(1) General acute care hospital.
(2) Acute psychiatric hospital.
(3) Skilled nursing facility.
(4) Intermediate care facility.
(5) Special hospital.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76089. Licensed Vocational Nurse.
Note

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

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76091. Licensee.
Note

“Licensee” means a person, persons, firm, partnership, association, corporation, political subdivision of the State or other governmental agency to whom a license has been issued to operate a health facility.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76093. Living Unit.
Note

“Living unit” means a client living unit that includes bedroom areas and may additionally include dining, program and activity areas.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76095. Local Bank.
Note

“Local bank” means the bank or the branch of that bank which is in the vicinity of the facility.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76097. Maintenance.
Note

“Maintenance” means the upkeep of a building and equipment to preserve the original, functional and operational state.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76101. Medication.
Note

“Medication” means any chemical compound, remedy or noninfectious biological substance, the action of which is not solely mechanical, which may be administered to clients by any route as an aid in the diagnosis, treatment or prevention of disease or other abnormal condition, for relief of pain or suffering, or to control or improve any physiological or pathological condition. Products which contain medications but which are primarily used for cosmetic or other nonmedication purposes are not medications.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76102. Modified Diet.
Note

“Modified diet” means a diet altered in texture.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76103. Multidisciplinary Professional Staff.
Note

“Multidisciplinary professional staff” means a group which includes at least three specific disciplines which assists in the development and the implementation of a client's program and provides a specific expertise to program staff.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76105. Music Therapist.
Note

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

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76107. Nurse Assistant.
Note

(a) “Nurse assistant” means any unlicensed aide, assistant or orderly who performs nursing services directed at the safety, comfort, personal hygiene or protection of clients in an intermediate care facility.
(b) Certified Nurse Assistant. “Certified nurse assistant” means a nurse assistant certified as such by the Department.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76109. Occupational Therapist.
Note

“Occupational therapist” means a person who is a graduate of an occupational therapy curriculum accredited jointly by the Council on Medical Education of the American Medical Association and the American Occupational Therapy Association; and is registered or is eligible for registration as such by the American Occupational Therapy Association.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76111. Occupational Therapy Assistant.
Note

“Occupational therapy assistant” means a person who is certified or eligible for certification as such by the American Occupational Therapy Association.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76115. Pharmacist.
Note

“Pharmacist” means a person licensed as such by the California Board of Pharmacy.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76117. Physical Therapist.
Note

(a) “Physical therapist” means a person licensed as such by the California Board of Medical Quality Assurance.
(b) Physical Therapist Assistant. “Physical therapist assistant” means a person who is approved as such by the Physical Therapy Examining Committee of the California Board of Medical Quality Assurance.
(c) Physical Therapist Aide. “Physical therapist aide” means a person who under direct supervision of the registered physical therapist assists with physical therapy care.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76119. Physician.
Note

(a) “Physician” means a person licensed as a physician and surgeon by the California Board of Medical Quality Assurance or by the California Board of Osteopathic Examiners.
(b) Attending Physician. “Attending physician” means the physician chosen by the client or by the client's authorized representative to be responsible for the medical treatment of the client in the facility.
(c) Psychiatrist. “Psychiatrist” means a person who is licensed as a physician and surgeon by the California Board of Medical Quality Assurance or the California Board of Osteopathic Examiners and who is either (1) certified or eligible for certification by the American Board of Psychiatry and Neurology, or (2) who is certified or eligible for certification as such by the American Osteopathic Board of Neurology and psychiatry, or (3) has specialized training and experience in psychiatry.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76121. Physician's Assistant.
Note

“Physician's assistant” means a person who is certified as such by the Physician's Assistant Examining Committee of the California Board of Medical Quality Assurance.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76123. Podiatrist.
Note

“Podiatrist” means a person licensed as such by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76125. Postural Supports.
Note

“Postural supports” means devices other than orthopedic braces used to assist clients to achieve proper body position and balance. Postural supports may only include soft ties, seat belts, spring release trays or cloth sheeting and shall only be used to improve a client's mobility and independent functioning, rather than restrict movement. These devices shall not be considered restraints.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76127. Professional Person in Charge of the Facility.
Note

“Professional person in charge of the facility” means a psychiatrist, psychologist, social worker or registered nurse who is designated by the licensee as the professional person clinically in charge of the facility.
NOTE

Authority cited: Section 208(a) Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76129. Program Director. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 8-31-95 as an emergency; operative 8-31-95 (Register 95, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as 8-31-95 order transmitted to OAL 12-28-95 and filed 2-6-96 (Register 96, No. 6).
§76130. Psychiatric Technician.
Note

“Psychiatric technician” means a person licensed as such by the California Board of Vocational Nurse and Psychiatric Technician Examiners.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76131. Psychologist.
Note

“Psychologist” means a person licensed as such by the California Board of Medical Quality Assurance and who has at least one year of experience in developmental disability or a person with a doctorate in psychology from an accredited university.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76133. Psychotropic Drug.
Note

“Psychotropic drug” means a medication used to modify thinking processes.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76135. Qualified Mental Retardation Professional.
Note

“Qualified mental retardation professional” means a person who is a physician, psychologist, social worker, special education teacher, physical or occupational therapist, speech pathologist or audiologist, registered nurse, rehabilitation counselor, or recreation therapist and who has at least one year's experience or training in the care of the developmentally disabled.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76137. Recreation Therapist.
Note

“Recreation therapist” means a person with specialization in therapeutic recreation who is registered or eligible for registration as such by the California Board of Park and Recreation Personnel or the National Therapeutic Recreation Society.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76138. Registered Domestic Partner.
Note     •     History

Registered domestic partner shall have the same meaning as defined in Family Code Sections 297 and 297.5.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting section filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§76139. Registered Nurse.
Note

(a) “Registered nurse” means a person licensed as such by the California Board of Registered Nursing.
(b) Registered Nurse in the Expanded Role. “Registered nurse in the expanded role” means a registered nurse who provides specific medical services in accordance with applicable provisions of the Business and Professions Code and the California Administrative Code and in accordance with standardized procedures, which have been developed in the manner prescribed by Section 2725 of the Business and Professions Code and which follow the guidelines set forth in Section 1474, Article 7, Chapter 14, Title 16 of the California Administrative Code.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76141. Registered Record Administrator.
Note

“Registered record administrator” means a person who is registered as such by the American Medical Record Association.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76145. Rehabilitation Counselor.
Note

“Rehabilitation counselor” means a person who is certified or eligible for certification by the Committee on Rehabilitation Counselor Certification and who has specialized training or one year of experience in treating the developmentally disabled.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76147. Restraint.
Note

“Restraint” means control of the client's behavior or activities through the use of physical or pharmaceutical means other than postural support.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76149. Social Worker.
Note

(a) “Social worker” means a person who is a graduate of a school of social work accredited or approved by the Council on Social Work Education and has one year of social work experience in a health care setting or who is licensed as such by the California Board of Behavioral Science Examiners.
(b) Social Work Assistant. “Social work assistant” means a person with a bachelor's degree in the social sciences or related fields and who receives supervision, consultation and in-service training from a social worker.
(c) Social Work Aide. “Social work aide” means a staff person who has a high school education with orientation, on-the-job training and supervision from a social worker or social work assistant.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76151. Speech Pathologist.
Note

“Speech pathologist” means person licensed as such by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76153. Standing Orders.
Note

“Standing orders” means those orders which are employed or intended to be employed in the absence of specific orders for a specific client by a person authorized by law to prescribe medications and treatment.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76155. Sterilization of Equipment and Supplies.
Note

“Sterilization of equipment and supplies” means the process employed to destroy all living organisms.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76159. Supervision of Employee.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76160. Therapeutic Diet.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76161. Training Program for Nurse Assistants.
Note

(a) “Training program for nurse assistants” means a program for the training of nurse assistants, which meets the criteria for orientation, precertification and in-service education, as approved by the Department.
(b) Precertification Training Program. “Precertification training program” means a training program leading to the certification of nurse assistants which has been approved by the Department.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76165. Unit Dose Medication System.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 2. License
§76201. License Required.
Note

(a) No person, firm, partnership, association, corporation, political subdivision of the State or other government agency within the State shall operate or maintain an intermediate care facility for the developmentally disabled, or hold out, represent or advertise by any means that it operates an intermediate care facility for the developmentally disabled without first obtaining a license or provisional license from the Department to do so.
(b) Any skilled nursing facility or intermediate care facility that provides care for the developmentally disabled may use its skilled nursing or intermediate care beds to provide intermediate care for the developmentally disabled without obtaining a certificate of need, a change in license category, or a change in bed classification provided the facility meets all of the following:
(1) The facility was surveyed on or before July 18, 1977 by the Department for certification under provisions of Section 449.13 of Title 42 of Code of Federal Regulations; and the beds designated for intermediate care for the developmentally disabled are so certified.
(2) Not less than 95 percent of the beds certified for intermediate care for the developmentally disabled are used to provide care to developmentally disabled clients. A bed certified for intermediate care for the developmentally disabled that is occupied by a client who is not developmentally disabled shall be considered as converted to another use.
(3) On and after the effective date of this subsection, no change of ownership has occurred with respect to the facility requiring issuance of a new license, except a change occurring because of a decrease in the number of partners of a licensed partnership or a reorganization of the governing structure of a licensee in which there is no change in the relative ownership interests.
(c) Any facility receiving an exemption under provisions of (b) shall, with respect to beds designated for intermediate care for the developmentally disabled, meet the requirements of California Administrative Code, Title 22, Division 5, Chapter 7, rather than the requirements of those licensing regulations for which its beds are licensed. The license shall reflect exemptions approved under subsection (b).
(d) The licensee of any facility receiving an exemption under this Section shall notify the Department not less than 30 days prior to taking action to lose the exemption as provided in subsection (b) (2) or (3).
(e) Upon a change of ownership of the facility or change in ownership interests which does not meet the provisions of exemption as specified in subsection (b) (3), the applicant for renewal of license shall:
(1) Reclassify all skilled nursing beds previously exempted to the intermediate care--developmental disabilities bed classification or continue the skilled nursing bed classification, with respect to skilled nursing beds which have received such exemption, or
(2) Reclassify all intermediate care beds previously exempted to the intermediate care--developmental disabilities bed classification or reclassify intermediate care beds which have received such an exemption to the intermediate care--other bed classification.
(f) Reclassification of beds provided by subsection (e) shall not constitute a “project” and shall not require a certificate of need as provided in Part 1.5, commencing with Section 437, Division 1 of the Health and Safety Code.
(g) The provisions of this article do not apply to the following institutions:
(1) Any facility conducted by and for the adherents of any well-recognized church or religious denomination for the purpose of providing facilities for the care or treatment of the sick who depend solely upon prayer or spiritual means for healing in the practice of the religion of such church or denomination.
(2) Hotels or other similar places that furnish only board and room, or either, to their guests.
(3) Any house or institution supplying board and room only, or room only, or board only; provided, that no resident thereof requires any element of medical care as determined by the Department.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1253, 1253.1, and 1270, Health and Safety Code.
§76203. Application Required.
Note

(a) A verified application shall be submitted to the Department whenever any of the following circumstances occur:
(1) Construction of a new or replacement facility.
(2) Increase of licensed bed capacity.
(3) A Change of Ownership. A change of ownership shall be deemed to have occurred where, when compared with the information contained in the last approved license application of the licensee, there has occurred a transfer of a controlling interest in the issued stock of a corporate licensee, a transfer of a controlling interest in the assets of the licensee or a transfer of a controlling interest in the partnership holding the license in terms of capital or shares of profits. The licensee shall submit to the Department any agreement relating to the transfer of management or control of the facility from the licensee to another person or entity, at least 20 days prior to the effective date of such agreement, for review on a case-by-case basis to determine if such agreement results in a de facto transfer of ownership.
(4) Change of license category.
(5) Change of location of facility.
(6) If a person wishes to acquire a beneficial interest of 10 percent or more in any corporation or partnership licensed to operate a skilled nursing facility or intermediate care facility, or to become an officer or director of, or general partner in, such a corporation or partnership such a person must obtain the prior written approval of the Department. Each application for approval shall include the information specified in Section 76205 (a) (6) as regards the person for whom the application is made.
(A) The provisions of this subsection shall not apply to any institution or person exempted by Section 1267.5 (f) or 1267.5 (h) of the Health and Safety Code.
(B) If the Department fails to approve or disapprove such an application for approval within 30 days after receipt thereof, the application shall be deemed approved.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1265, 1267.5 (b), (f), and 1276, Health and Safety Code.
§76205. Content of Application.
Note

(a) Any person, firm, partnership, association, corporation, political subdivision of the State or other governmental agency desiring to obtain a license shall file with the Department an application on forms furnished by the Department. The application shall contain the following:
(1) Name and signature of applicant and, if an individual, verification that the applicant has attained the age of 18 years. The application of a corporation or association shall be signed by a duly authorized representative. The application of a partnership shall be signed by each general partner.
(2) If an applicant is a corporation, a current copy of the corporate by-laws and articles of incorporation. If the applicant is a partnership, a copy of the partnership agreements.
(3) Type of facility to be operated and types of services for which approval is requested.
(4) The location of the facility and the basis upon which the applicant exercises control and possession thereof.
(5) Name and license number of the administrator in charge of the facility.
(6) The name, title, principal business address and the percentage of ownership interest of all officers, directors and stockholders having a beneficial interest of 10 percent or more in the applicant corporation or partnership. If any such person has served or currently serves as an administrator, general partner or corporate officer or director of, or has held a beneficial ownership interest of 10 percent or more in any other skilled nursing facility or intermediate care facility or in any community care facility licensed pursuant to Community Care Facility Act, Chapter 3, commencing with Section 1500, of the Health and Safety Code, the applicant shall disclose to the Department the person's relationship to the facility, including the name and current or last address of the health facility or community care facility and the date such relationship commenced, and if applicable, the date it was terminated. Each such person shall also disclose whether he or she was an officer, director, general partner or owner of a 10 percent or greater interest in a licensee of a skilled nursing facility, intermediate care facility or community care facility at a time when one or more violations of law were committed therein which resulted in suspension or revocation of its license.
(A) The provisions of Section 76205(a)(6) shall not apply to the directors of a nonprofit corporation, which is exempt from taxation under Section 23701 (d) of the Revenue and Taxation Code, and which operates a skilled nursing facility or intermediate care facility in conjunction with a licensed residential facility, where such directors serve without financial compensation and are not compensated by the nonprofit corporation in any other capacity. For purposes of this section, a person owning a 10 percent or greater beneficial interest in, or holding any compensated position in any corporation, partnership, association or trust which is compensated by the nonprofit corporation in any capacity relating to the facility shall be deemed to be compensated by the nonprofit corporation.
(B) The provisions of Section 76205(a)(6) shall not apply to a bank, trust company, financial institution, title insurer, controlled escrow company or underwritten title company to which a license is issued in a fiduciary capacity.
(7) The name, title, principal business address and the percentage of ownership interest of all officers, directors, stockholders owning five percent or more of the stock, members, partners and all other persons having authority or responsibility for the operation of the facility and shall provide satisfactory evidence that all such persons are of reputable and responsible character.
(8) If the applicant is a political subdivision of the State or other governmental agency, satisfactory evidence that the person in charge of the intermediate care facility for which application for license is made, is of reputable and responsible character.
(9) The applicant shall demonstrate sufficient financial responsibility as may be necessary to operate the facility.
(10) A copy of the current organizational chart for the operation of the facility and a chart of the decision-making structure of the applicant entity.
(11) Such other information or documents (such as fingerprint cards and qualification information forms) as may be required by the Department for the proper administration and enforcement of the licensing statutes and regulations.
(12) If applicant is a firm, association, organization, partnership, business trust, corporation or company, satisfactory evidence that the members or shareholders holding five percent or more stock, officers, any member having responsibility in the operation of the facility and the person in charge of the skilled nursing facility for which application for license is made are of reputable and responsible character.
(13) Certificate of Need or a Certificate of Exemption from the Department if required by Chapter 1, Division 7, of this title.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1265, 1267.5 (c), (d), (e), (f), and 1276, Health and Safety Code.
§76207. Architectural Plans.
Note

Applications submitted for proposed construction of new facilities, remodeling or additions to facilities shall include drawings and specifications. Information contained in such applications shall be on file in the Department and available to interested individuals and community agencies.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 15008, Health and Safety Code.
§76209. Criminal Record Clearance.
Note

(a) The following persons shall submit a fingerprint card as part of the application for the purpose of conduction of a criminal record review:
(1) The applicant, if an individual.
(2) If the applicant is a corporation, each officer, director and holder of a controlling interest.
(3) If the applicant is a partnership, each general partner.
(4) The facility administrator.
(5) Any other person who will be in charge of the overall operation of the facility.
(b) If the criminal record of any of the above individuals indicates that he or she has been convicted of any crime that is related to the operation of a health facility, or community care facility as defined by Section 1502 of the California Health and Safety Code or which has a substantial relationship to that individual's duties, functions and responsibilities in the operation of the applicant facility, the license application shall be denied, unless the Department determines that the individual is suitably responsible to serve in the proposed capacity. Factors that the Department may consider as evidence of suitability include, but are not limited to:
(1) The nature of the crime.
(2) Time since the crime was committed and the number of offenses.
(3) Circumstances surrounding the commission of the crime that would demonstrate the unlikelihood of repetition.
(4) Activity since conviction, such as employment and participation in therapy or education, that would indicate changed behavior.
(5) That the crime has been pardoned or the record expunged.
(6) Character references.
(7) A certificate of rehabilitation from a superior court.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1265(g) and 1276, Health and Safety Code.
§76211. Fee.
Note     •     History

(a) Each application for a license shall be accompanied by the prescribed fee as authorized by Health and Safety Code, section 1266.
(b) No fee shall be refunded to the applicant if the application is withdrawn or if the application is denied by the Department.
(c) Application fees for licenses which cover periods in excess of 12 months shall be prorated on the basis of the total number of months to be licensed divided by 12 months. (Example: 18 months divided by 12 equals 1.5 times the application fee specified in the fee schedule.)
(d) Applications for provisional licenses (for six-month periods) shall be subject to the full amount of the fee as authorized by Health and Safety Code, section 1266(e)(2). If upon the expiration of the provisional license a second provisional (six-month period) license is to be issued, the licensee shall receive credit for the unused portion of the fee collected and no additional fee will be required of the licensee. If a regular license is issued upon the expiration of the first provisional license, the unused portion of the fee collected for the provisional license shall be credited against the annual fee required for the regular license. If neither a second provisional or a regular license is to be issued to the applicant, there will be no refund of any portion of the fee paid for the provisional license.
(e) Fees shall be waived for any facility conducted, maintained or operated by this State or any state department, authority, bureau, commission or officer or by the Regents of the University of California, or by a local hospital district, city or county.
(f) When there is an increase in licensed bed capacity or a change of license category, license fees already paid that year shall be credited against the new license fee.
NOTE

Authority cited: Sections 1266, 1275 and 131200, Health and Safety Code. Reference: Sections 1266, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section and Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§76213. Fire Safety, Zoning and Building Clearance.
Note

(a) Architectural plans and specifications shall be reviewed and approved by the Department in accordance with the requirements of Title 24, Part 6, Division T17 (T22) prior to licensure. Additionally, all construction for health facilities shall conform to state building standards related to fire and life safety, and seismic safety, and to local fire safety, zoning, environmental impact and building ordinances, evidence of which shall be presented in writing to the Department.
(b) It shall be the responsibility of the licensee to maintain the facility in a safe structural condition. If the Department determines in a written report submitted to the licensee that an evaluation of the structural condition of the facility building is necessary, the licensee may be required to submit a report by a licensed structural engineer which shall establish a basis for eliminating or correcting the structural conditions which may be hazardous to occupants. The licensee shall eliminate or correct the hazardous condition.
(c) The facility shall meet the seismic safety requirements, if any, prescribed by Section 15001 of the Health and Safety Code.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 13113, Health and Safety Code.
§76215. Issuance, Expiration and Renewal.
Note

(a) Upon verification of compliance with the licensing requirements the Department shall issue the license to the applicant.
(b) If the applicant is not in compliance with laws or regulations, the Department shall deny the applicant a license. Immediately upon the denial of any application for a license, the Department shall notify the applicant in writing. Within 20 days of receipt of the Department's notice, the applicant may present his written notice of appeal for a hearing to the Department. Upon receipt by the Department of the appeal in proper form, such appeal shall be set for hearing. The proceedings shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part I of Division 3 of Title 2 of the Government Code.
(c) The Department may deny the application of any prospective licensee if the applicant or any of the general partners, directors, officers or persons having a beneficial ownership interest of 10 percent or more in the facility, has failed to comply with the reporting requirements or to obtain approvals required in Health and Safety Code Section 1267.5 (a) and (b).
(d) The Department may deny the application of any prospective licensee if any of the general partners, directors, officers or persons having a beneficial ownership interest of 10 percent or more in the facility, was an officer, director, general partner or owner of a 10 percent or more beneficial interest in a skilled nursing facility, intermediate care facility or community care facility at a time when one or more violations of law were committed therein which resulted in suspension or revocation of its license. However, such prior suspension or revocation of a license shall not be grounds for denial of the application if the applicant shows to the satisfaction of the Department that the person in question took every reasonably available action to prevent the violation or violations which resulted in the disciplinary action and that he or she took every reasonably available action to correct such violation or violations once he or she knew, or with the exercise of reasonable diligence should have known, of the violation or violations.
(e) No application shall be denied pursuant to subsection (d) until the Department provides the applicant with notice in writing of grounds for the proposed denial of application, and affords the applicant an opportunity to submit additional documentary evidence within 30 days in opposition to the proposed denial.
(f) The Department shall immediately notify, in writing, the applicant for a license if a license has been denied under Section 76315 (b), (c) or (d). If the applicant wishes to appeal the denial, the applicant must present a written notice of appeal for a hearing to the Department within 20 days of receipt of the denial notice. Upon receipt by the Department of the appeal in proper form, such appeal shall be set for hearing. Hearing procedures shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part I of Division 3 of Title 2 of the Government Code.
(g) Each initial license shall expire at midnight, one year from the date of issue. A renewal license:
(1) May be issued for a period not to exceed two years if the holder of the license has been found in substantial compliance with statutory requirements, regulations or standards during the preceding license period.
(2) Shall reflect the number of beds that meet construction and operational requirements and shall not include beds formerly located in patient accommodation space which has been permanently converted.
(3) Shall not be issued if the skilled nursing facility is liable for and has not paid the special fees required by Section 90417, Chapter 1, Division 7, of this Title.
(h) At least 45 days prior to expiration of a license the Department shall mail an application for renewal of license form to each licensee. Application for renewal accompanied by the necessary fees shall be filed with the Department not less than 30 days prior to the expiration date. Failure to make a timely renewal shall result in expiration of the license.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1267.5 and 1276, Health and Safety Code.
§76217. Provisional License.
Note     •     History

(a) The Department may issue a provisional license for the operation of an intermediate care facility for the developmentally disabled to a facility not previously licensed as an intermediate care facility for the developmentally disabled pursuant to Chapter 2, commencing with Section 1250, of the Health and Safety Code or to any applicant for a license to operate an intermediate care facility for the developmentally disabled if that applicant has not previously held a license for an intermediate care facility for the developmentally disabled pursuant to Chapter 2, commencing with Section 1250, of the Health and Safety Code.
(b) A provisional license issued pursuant to Section 76217(a) shall terminate six months from the date of issuance. Within 30 days prior to the termination of a provisional license issued pursuant to Section 76217 (a), the Department shall give such facility a full and complete inspection, and if the facility meets all applicable requirements for licensure, a regular license shall be issued. If the facility does not meet the requirements for licensure but has made substantial progress toward meeting such requirements, as determined by the Department, the initial provisional license shall be renewed for six months. If the Department determines that there has not been substantial progress toward meeting licensure requirements at the time of the first full inspection provided by this Section, or if the Department determines upon its inspection made within 30 days of the termination of a renewed provisional license that there is a lack of compliance with such requirements, no further license shall be issued.
(c) The Department may issue a provisional license upon a change of ownership of an intermediate care facility for the developmentally disabled to an applicant who has previously held such a license pursuant to Chapter 2, commencing with Section 1250, of the Health and Safety Code if the initial relicensure inspection reveals the following:
(1) The facility and the applicant for licensure are in substantial compliance with licensing requirements.
(2) No violation of such laws or regulations exists in the facility which jeopardizes the health or safety of patients.
(3) The applicant has adopted a plan for correction of any existing violation which is satisfactory to the Department.
(d) A provisional license issued under Section 76217 (c) shall terminate six months after the date of issuance, or at such earlier time as determined by the Department at the time of issuance. Within 30 days of the termination of the provisional license issued pursuant to Section 76217 (c), the Department shall give such facility a full and complete inspection, and if the facility meets all the requirements for licensure, a regular license shall be issued. A provisional license under Section 76217 (c) may not be renewed.
(e) If an applicant for a provisional license, pursuant to Section 76217 (a) and (b), or (c) and (d) has been denied provisional licensing by the Department, that applicant may contest such denial by filing a notice of appeal. The proceedings to review such denial shall be conducted pursuant to the provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2, of the Government Code.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1268.5, Health and Safety Code.
HISTORY

1. Amendment filed 4-16-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Editorial correction to add History Note 1 (Register 79, No. 17).
§76219. Separate Licenses.
Note

Separate licenses shall be required for intermediate care facilities for the developmentally disabled which are maintained on separate premises even though they are under the same management. Separate licenses shall not be required for separate buildings on the same grounds or adjacent grounds.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1253 and 1276, Health and Safety Code.
§76221. Posting.
Note

The license or a true copy thereof shall be conspicuously posted in a prominent location within the facility accessible to public view.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76223. Transferability.
Note

Licenses are not transferable.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76225. Report of Changes.
Note

(a) The licensee shall, within 10 days, notify the Department and shall, upon forms obtained from the Department, provide all information and documentation of any change in the information provided to satisfy the provisions of Section 76205.
(b) Each licensee shall inform the Department within 10 days in writing of any change of the mailing address of the licensee. Such writing shall include the new mailing address of the licensee.
(c) When a change in the principal officer of a corporate licensee (chairman, president, administrator or general manager) occurs the Department shall be notified within 10 days in writing by the licensee. Such writing shall include the name and business address of such officer.
(d) Any decrease in licensed bed capacity, or a change of name of the facility shall require notification by letter to the Department, and shall result in the issuance of a corrected license.
NOTE

Authority cite: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76227. Program Flexibility.
Note

(a) All facilities shall maintain compliance with the licensing requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects, provided such exceptions are carried out with the provisions for safe and adequate care and with the prior written approval of the Department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request and substantiating evidence supporting the request shall be submitted by the applicant or licensee to the Department.
(b) Any approval of the Department granted under this Section, or a true copy thereof, shall be posted immediately adjacent to the facility's license that is required to be posted by Section 76221.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76229. Voluntary Suspension of License, Service or Licensed Beds.
Note

(a) A licensee may request in writing to the Department that a license, service or beds be put in suspense if necessary for modernization or alteration of the facility. The Department shall approve the request for a period necessary to complete alteration or modernization, not to exceed 12 months, unless the Department can show a significant detriment will result from such approval. The licensee shall provide for the orderly and safe transfer of clients as necessary.
(b) Any license or service or licensed beds which has been temporarily suspended by the Department pursuant to this Section shall remain subject to all renewal requirements of an active license, including the payment of license renewal fees, during the period of temporary suspension.
(c) Any license or service or licensed beds suspended pursuant to this Section shall be reinstated by the Department within 12 months of the date of suspension, on receipt of an application and evidence showing compliance with licensing operational requirements in effect at the time of reinstatement.
(d) If the license or service or licensed beds is not reinstated within the 12-month period, it shall expire automatically and shall not be subject to reinstatement.
(e) However, suspension may be renewed for a period not to exceed 6 months if the modernization or alteration cannot be completed within 12 months for reasons absolutely beyond the control of the licensee.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1276 and 1300, Health and Safety Code.
§76231. Voluntary Cancellation of License.
Note

(a) Any licensee desiring to voluntarily surrender his license for cancellation shall notify the Department in writing as soon as possible and in all cases at least 30 days prior to the effective date of cancellation of the license. The license shall provide for the orderly and safe transfer of clients.
(b) Any license voluntarily cancelled pursuant to this Section may be reinstated by the Department within 12 months of the date of cancellation on receipt of an application and evidence showing compliance with licensing operational requirements.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1253 and 1276, Health and Safety Code.
§76233. Revocation or Involuntary Suspension of License.
Note

(a) Pursuant to proceedings conducted under the provisions of Chapter 5, commencing with Section 1150, of Part 1 of Division 3 of Title 2 of the Government Code, the Department may suspend or revoke the license of any facility upon any of the following grounds:
(1) Violation by the licensee of any of the provisions of Chapter 2, commencing with Section 1250, of Division 2 of the Health and Safety Code or of any of the regulations promulgated by the Department contained in this chapter.
(2) Failure of a licensee or any of the general partners, directors, officers or persons having a beneficial ownership interest of 10 percent or more in the licensed facility, to comply with the reporting requirements or to obtain approvals required in Health and Safety Code Section 1267.5(a) and (b) and Section 73205(a)(8) of Division 5 of Title 22 of the California Administrative Code, except that this subsection shall not apply to the directors of a nonprofit corporation as described in Section 1267.5(h) of the Health and Safety Code, or to a bank or other institution exempted under Section 1267.5(f) of the Health and Safety Code.
(3) Aiding, abetting or permitting the violation of any provisions of Chapter 2 (commencing with Section 1250) of Division 2 of the Health and Safety Code or of any of the regulations promulgated by the Department contained in this chapter.
(4) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the maintenance and operation of the premises for which a license is issued.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1267.5, 1276, 1294, and 1295, Health and Safety Code.
§76235. Temporary Suspension of License.
Note     •     History

(a) The Director may temporarily suspend any license prior to any hearing, when in his or her opinion such action is necessary to protect the public welfare. Such suspension shall be in the following manner:
(1) The Director shall notify the licensee of the temporary suspension and the effective date thereof and at the same time shall serve such licensee with an accusation.
(2) Upon receipt of a notice of defense by the licensee, the Director shall set the matter for hearing within 15 days. The hearing shall be held as soon as possible but no later than 30 days after receipt of such notice.
(3) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination on the merits.
(4) If the Director fails to make a final determination within 60 days after the original hearing has been completed, the temporary suspension shall be deemed vacated.
(5) If the provisions of Chapter 2, commencing with Section 1250, of Division 2 of the Health and Safety Code or regulations promulgated by the Director are violated by a licensee which is a partnership, corporation or other association, the Director may suspend the license of such organization or may suspend the license as to any individual person within such organization who is responsible for such violation.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1296, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(2) filed 7-25-79; effective thirtieth day thereafter (Register 79, No. 30).
§76237. Pursuing Disciplinary Action to Completion.
Note

(a) The withdrawal of an application for a license after it has been filed with the Department shall not, unless the Department consents in writing to such withdrawal, deprive the Department of its authority to institute or continue a proceeding against the applicant for the denial of the license upon any ground provided by law or to enter an order denying the license upon any such ground.
(b) The suspension, expiration or forfeiture by operation of law of a license issued by the Department, or its suspension, forfeiture or cancellation by order of the Department or by order of a court of law, or its surrender without the written consent of the Department, shall not deprive the Department of its authority to institute or continue a disciplinary proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking the license or otherwise taking disciplinary action against the licensee on any such ground.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1297, Health and Safety Code.
§76239. Reinstatement of Revoked or Suspended License.
Note

A person whose license has been revoked or suspended may petition the Department for reinstatement or reduction of the disciplinary action imposed after a period of not less than one year has elapsed from the effective date of the decision or from the date of the denial of a similar petition.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1276 and 1300, Health and Safety Code.
§76240. Conviction of Crime: Standards for Evaluating Rehabilitation.
Note     •     History

When considering the denial, suspension or revocation of a license based on the conviction of a crime in accordance with Section 1265.1 or 1294 of the Health and Safety Code, the following criteria shall be considered in evaluating rehabilitation:
(1) The nature and the seriousness of the crime(s) under consideration.
(2) Evidence of conduct subsequent to the crime which suggests responsible or irresponsible character.
(3) The time which has elapsed since commission of the crime(s) or conduct referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanction lawfully imposed against the applicant.
(5) Any rehabilitation evidence submitted by the applicant.
NOTE

Authority cited: Sections 208(a), 1265.2 and 1275, Health and Safety Code. Reference: Sections 1265.1, 1265.2 and 1294, Health and Safety Code.
HISTORY

1. New section filed 9-13-84; effective thirtieth day thereafter (Register 84, No. 37).
§76241. Bonds.
Note

(a) Each licensee shall file or have on file with the Department a bond issued by a surety company authorized to do business in California if the licensee is handling or will handle money in the amount of $25 or more per client or $500 or more for all clients in any month. The amount of the bond shall be according to the following schedule:

(1) Amount Handled 	Bond Required

	$750	or less 	 $1,000
	$751	to $1,500 	 $2,000
	$1,501	to $2,500 	 $3,000
(2) Every further increment of $1,000 or fraction thereof shall require an additional $1,000 on the bond.
(b) Each application for an original license or renewal of license shall be accompanied by an affidavit on a form provided by the Department. The affidavit shall state whether the licensee handles or will handle money of clients and the maximum amount of money to be handled for:
(1) Any client.
(2) All clients in any month.
(c) No licensee shall either handle money of a client or handle amounts greater than those stated in the affidavit submitted by him without first notifying the Department and filing a new or revised bond if requested.
(d) Charges for the surety company bond to handle client monies shall not be paid out of client funds.
(e) The provisions of this Section do not apply to state-operated facilities.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1276 and 1318, Health and Safety Code.
Article 3. Services
§76301. Required Services.
Note     •     History

(a) Intermediate care facilities for the developmentally disabled shall provide as a minimum, but not be limited to, the following required services: developmental program, health support, food and nutrition and pharmaceutical services.
(b) Each client shall be provided additional professional services including but not limited to physical therapy, occupational therapy, psychological, social and speech and audiology services as recommended by the interdisciplinary team and in accordance with each client's individual program plan.
(c) If diagnostic and therapeutic services are not provided in the facility, written arrangements shall be made for obtaining all necessary diagnostic and therapeutic services prescribed by the attending physician, podiatrist, dentist, clinical psychologist or interdisciplinary team subject to the scope of licensure and the policies of the facility. If the service cannot be brought into the facility, the facility shall assist the client, if necessary, in arranging for transportation to and from the service location.
(d) Arrangements shall be made for one or more physicians to be called in an emergency and their telephone numbers shall be prominently posted in a conspicuous place in each health support area.
(e) Client care provided by all team members shall be safe and considerate as ordered or indicated by the needs of the client and in accordance with acceptable standards of practice.
(f) Nonphysician medical practitioners shall be permitted to render such medical services for which they are legally authorized and which have been approved by the medical staff, or if there is no organized medical staff, by the director of physician services and the Department. Nonphysician medical practitioners means:
(1) Physician's Assistant.
(2) Registered Nurse in the Expanded Role.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§76303. Discharge Planning.
Note

(a) The facility shall designate a member of the staff, as a client discharge planning coordinator to ensure that each client has a planned program for continuing care.
(1) This person shall be a member of the client's interdisciplinary team required by Section 76311.
(b) Policies and procedures shall describe the discharge planning function, and include at least the following:
(1) Determination of client's potential for discharge shall be made and documented in the individual program plan within the first 30 days of admission and reevaluated semiannually thereafter.
(2) Development of a current listing of community resources available to the facility, the client, client's parent or authorized representative and the attending physician. This listing shall include the level of care or services offered by each resource and shall be made available for review by each client or client's authorized representative upon request and at the time of semiannual review.
(c) If a client's case management responsibility is vested in a regional center, the regional center shall have responsibility for the discharge planning function of the client. A copy of the discharge plan shall be included in the client's record in the facility.
(d) Provisions of this section shall not apply to court committed clients for whom the responsibility for release is not vested in the facility or in a regional center.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76305. Developmental Program Services.
Note

“Developmental program services” means the facilitating of the individual's growth and ability to cope with social, emotional, psychological and physical disabilities, to reestablish independence and to attain optimal potential. Each client shall participate in programs specified in the individual program plan.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76307. Developmental Program Services--Program Approval for Developmental Services.
Note

(a) A facility shall submit for review by the Department's Headquarters Review and Approval team a facility program plan for providing developmental program services.
(b) If the program plan is approved by the review team, the facility shall be notified in writing.
(c) If the program plan is disapproved by the review team, the facility shall be notified in writing identifying specific components of the plan that need to be clarified or corrected. The facility may then submit a revised plan to the review team.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76309. Developmental Program Services--Facility Program Plan Requirements.
Note

(a) The following requirements shall be met if the facility is to be approved to provide services to developmentally disabled individuals.
(b) A facility program plan for providing program services shall be developed and submitted to the Department for approval initially and annually thereafter. The facility plan shall include:
(1) Staffing level range, either A or B, which the facility will offer.
(2) Number of eligible clients.
(3) A profile of the client population using the standard evaluation form specified by the Department of Developmental Services.
(4) A summary of specifically identified client needs and grouping criteria.
(5) Description of the specific program elements.
(6) A week's program schedule for a representative 10 percent sample of the clients in facilities of 1-99 beds and 5 percent sample of the clients in facilities of 100 beds or more.
(7) The facility program staffing pattern including:
(A) Organizational chart of program staff.
(B) Multidisciplinary professional staff utilized by discipline and hours per week.
(8) Description of space provided for program elements.
(9) Description of equipment available or to be obtained for program use.
(10) In-service training program plan for at least the next six months.
(11) Plan for utilization of community resources.
(12) Provisions for accomplishing the following:
(A) An initial assessment of each client to identify the current level of needs and function. The assessment shall be standardized on forms approved by the Department of Developmental Services.
(B) An individual program plan developed by the interdisciplinary team and under the direction of a qualified mental retardation professional.
(C) A written reassessment of program needs, and client progress at least every six months.
(13) A plan for behavior modification program, if used, as defined in Section 76331.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76311. Developmental Program Services--Interdisciplinary Team.
Note     •     History

(a) The interdisciplinary team shall be composed of the client, member of the client's family, unless their participation has been determined to be inappropriate: those persons who work directly with the client in each of the professions, disciplines or service areas that provide service to the client, including direct care staff, the client's attending physician, podiatrist or clinical psychologist subject to the scope of licensure and the policies of the facility, the registered nurse in charge of nursing services, the program director or qualified mental retardation professional, and members of the multidisciplinary professional staff; and any other persons whose participation is relevant to identifying the needs of the client and to devising ways to meet those needs.
(b) The interdisciplinary team shall be responsible for the development of the client's individual program plan.
(c) Members of the interdisciplinary team shall participate in the interdisciplinary team meetings when their attendance is appropriate to the client's needs.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§76313. Developmental Program Services--Client Assessment.
Note

(a) A client assessment shall be completed within 30 days following admission and annually thereafter. The assessment shall be on a form approved by the Department. The assessment shall be by a client's interdisciplinary team, including members of the direct care staff and at least one representative of the regional centers or Continuing Care Services Branch of the Department of Developmental Services. In the case of state hospitals, a designee may be substituted for regional center or Continuing Care Services Branch staff. The assessment shall include:
(1) A review and updating of the preadmission evaluation.
(2) Identification of the client's developmental status which includes problems, disabilities, developmental strengths and weaknesses, client's service needs and placement potential which provide the basis for formulating an appropriate program for the client.
(3) A written evaluation stated in terms of goals and objectives.
(b) The assessment shall be shared with program staff, client and parents, if the client is a minor, or client's authorized representative.
(c) The assessment shall be recorded in the client's record.
(d) There shall be a review of the progress of each client at least every six months by the interdisciplinary team. This review shall include:
(1) Consideration of need for continued residence and alternative programs.
(2) The need for guardianship or conservatorship if the client will attain majority or become emancipated prior to the next semiannual review.
(3) The exercise of civil and legal rights.
(4) Survey of the client's recreation interests.
(e) The results of the semiannual reviews shall be:
(1) Recorded in the client's record.
(2) Available to relevant personnel.
(3) Interpreted to the parents or client's authorized representative involved in planning and decision making.
(4) Interpreted to the client when appropriate.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76315. Developmental Program Services--Individual Program Plan.
Note

(a) Each client shall have an individual program plan that:
(1) Is completed within 30 days following admission.
(2) Is developed with the use of comprehensive assessment data.
(3) Is developed by an interdisciplinary team, including the participation of direct care staff; all relevant agency staff members; staff or other agencies involved in serving the client; and the client and the client's parents if the client is a minor, or the client's authorized representative when appropriate.
(4) Identifies the client's developmental, social, behavioral, recreational and physical needs.
(5) Includes established prioritized objectives, written in behavioral terms, that are measurable and time limited, for meeting the identified needs.
(6) Identifies the method and frequency of evaluation.
(7) Includes a daily program schedule which specifies:
(A) Time and duration of all activities of daily living.
(B) Time, duration and location of all specified programs.
(C) Time, duration and location of all recreational activities.
(8) Specifies the persons and agencies responsible for implementing and coordinating the plan.
(9) Is available to direct care staff in each living unit.
(10) Is interpreted to or made available to the client and the client's family unless the adult client or the authorized representative objects.
(11) Is reviewed by a member or members of an interdisciplinary team at least monthly, with documentation of the review entered into the client record.
(12) Is reviewed and updated by the interdisciplinary team semiannually, and the result documented in the record. The result of the review shall be interpreted to the client and the client's family unless the adult client or authorized representative objects. This review shall include consideration of the advisability of continued residence and alternative programs.
(13) Includes, when release is anticipated, plans for appropriate services, including indicating agencies or persons responsible for those follow-up services, in the client's new environment. Procedures shall be established so that parents, guardians or authorized representatives who request the release of a client are counseled concerning the advantages and disadvantages of release.
(b) The individual program plan shall be implemented as written.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76316. Developmental Program Services--Grouping Criteria.
Note

(a) Clients of grossly different ages, developmental levels and social needs shall not be housed in close physical or social proximity, unless such housing is planned to promote the growth and development of all those housed together.
(b) Clients shall be integrated with peers of comparable social and intellectual development and shall not be segregated on the basis of their handicaps unless such segregation is planned to promote the growth and development of all those grouped together.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76317. Developmental Program Services--Program Elements.
Note

(a) The facility shall have the capability to provide program services usually required by persons with developmental disabilities. However, actual programs provided to clients shall be based on the specific needs identified through client assessments. These programs include:
(1) Sensory motor development training programs such as:
(A) Visual stimulation.
(B) Auditory stimulation.
(C) Tactile stimulation.
(D) Kinesthetic stimulation.
(E) Laterality and directionality training.
(F) Large and small muscle stimulation.
(G) Balance and postural training.
(H) Training in the developmental skills which precede ambulation.
(2) Self-help skills training program which shall include an intensive habilitation program in the areas such as:
(A) Bladder and bowel management.
(B) Dressing.
(C) Bathing.
(D) Eating and meal-time skills.
(E) Grooming.
(3) Behavioral intervention program, which shall include the elimination of maladaptive behaviors, both destructive and stereotypic through the use of behavior modification techniques, counseling and other appropriate techniques. The program shall also focus on the introduction, shaping, strengthening and maintenance of adaptive behaviors through the use of all manners of positive reinforcement and shall not be negative or punitive in nature. Aversive techniques shall be in compliance with the provisions of Section 76331. These programs may either be separate or integrated with other program activity throughout the program day.
(4) A habilitation program which shall include education, recreation and effective use of leisure time and socialization skills. The program shall emphasize skills such as:
(A) Communication skills.
(B) Manipulative skills.
(C) Homemaking skills.
(D) Art and cultural expression.
(E) Academic education.
(F) Recreation skills.
(G) Prevocational and vocational training.
(H) Family life education.
(I) Community life education.
(5) Sensory development program for the sensory deprived which shall include intensive training such as:
(A) Communication, both oral and manual language.
(B) Mobility.
(C) Orientation.
(D) Environmental awareness.
(E) Tactile awareness.
(F) Self-care.
(b) The goal of the program shall be to help each client attain as high a level of independent functioning as can be achieved.
(c) The facility shall provide program services seven days a week. Each client shall receive at least 56 hours of planned program each week. The program hours shall include:
(1) Any programming provided by generic agencies either outside or inside the facility as specified in the individual program plan.
(2) Any programs provided by the facility either outside or inside the facility.
(3) Any recreation and activities of daily living as part of each unit's daily program.
(4) No more than two consecutive hours of time not devoted to intentional planned activity specified in the individual program plan, such as “nap time,” “free time” and unstructured leisure time.
(5) Weekend programming which emphasizes recreational outings and socialization experiences.
(d) If, as a result of the client assessment, the interdisciplinary team concludes that the client is capable of independently making effective use of leisure time, self-structured leisure time may be specified in the individual program plan and in the daily activity schedule, and such time shall not be considered as the program hours referred to in Section 76317 (c)(4).
(e) When a client receives the major portion of program services through generic agencies, the facility shall provide continuity of programming.
(f) Clients shall be permitted personal possessions, such as toys, books, pictures, games, radios, arts and crafts materials, religious articles, toiletries, jewelry and letters.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76319. Developmental Program Services--Recreational Activities.
Note

(a) Recreational services shall be coordinated with other services and programs provided to clients.
(b) Each facility shall designate a recreational activities leader to implement the recreational activities plan for each client.
(c) The recreational activities leader shall have:
(1) A bachelor's degree in recreation, or a related field, such as art therapy, music therapy, dance therapy or occupational therapy, or
(2) An associated degree in recreation, or a related field, and one year of experience in recreational activities, or
(3) A high school diploma, or an equivalency certificate, and two years experience in recreational activities, or one year of experience in recreational activities plus completion of comprehensive in-service training in recreational activities, or
(4) Demonstrated proficiency and experience in conducting recreational activities in one or more program areas.
(d) A recreational activity plan as part of the individual program plan shall be developed for each client. This plan shall be included in the daily program schedule. The recreational activity plan shall include:
(1) Effective use of leisure time.
(2) Individual or group free-time recreational activities with age appropriate materials.
(3) Opportunities to interact with nonhandicapped persons, other than staff.
(4) Planned daily recreational activity and exercise periods.
(5) Regular recreational activities away from the facility.
(e) All clients shall have planned periods out-of-doors year round.
(f) All clients shall have opportunities for involvement, both individual and group, in the planning and implementation of the recreational activity programs.
(g) All clients shall have semiannual surveys of their recreational interests as part of the semiannual review.
(h) Recreation areas and facilities shall be designated and constructed or modified so as to be easily accessible to all clients regardless of their disabilities.
(i) Recreation equipment and supplies shall be provided of the quantity and variety necessary to carry out the stated objectives of the activities programs.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76321. Developmental Program Services--Client Mobility.
Note

(a) All clients including multiple-handicapped and nonambulatory clients shall:
(1) Spend a major portion of their waking day out of bed.
(2) Spend a normal portion of their waking day out of their bedroom areas.
(3) Be mobile wherever possible by use of various methods and devices.
(b) Orders prescribing bed rest or prohibiting clients from being taken out-of-doors shall be reviewed by a physician at least every three days.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76323. Developmental Program Services--Health, Hygiene and Grooming.
Note

(a) Each client shall be encouraged and assisted to achieve and maintain maximum independence in health, hygiene and grooming including bathing, brushing teeth, shampooing, combing and brushing hair, shaving, dressing, undressing and caring for toenails and fingernails.
(b) Each client shall show evidence of complete personal hygiene and grooming and shall be free of offensive odors.
(c) Each client shall have his or her own personal toilet articles.
(d) Each client shall have an allowance of neat, clean, suitable, age appropriate and seasonable clothing to meet his or her needs.
(e) Clients shall have their own clothing which is properly and inconspicuously marked when necessary.
(f) Clients shall be dressed daily in their own clothing, suitable to the activities in which they are participating.
(g) Clients shall be taught and encouraged to, as appropriate:
(1) Select their daily clothing.
(2) Dress themselves.
(3) Change their clothes to suit the activities in which they participate.
(h) Each client upon admission shall be given proper orientation to the facility and the facility's services and staff.
(i) Clients shall be weighed at least monthly and the weight recorded in the client record.
(j) Client's height shall be measured and recorded in the client's record at least quarterly until the client achieves maximum growth.
(k) The client shall be trained to use dentures, eyeglasses, hearing aids and braces, when these are prescribed by appropriate specialists. Provisions shall be made to furnish, identify and maintain these items in good repair and to make them available to the client.
(l) When indicated, each client's individual program plan shall include measures to prevent the development of decubitus ulcers, contractures and deformities. If decubitus ulcers, contractures and deformities are present, the client's individual program plan shall indicate measures for treatment. These measures shall be implemented as written. Preventive and treatment measures shall include, but not be limited to:
(1) Activation and mobilization programs.
(2) Changing position of bedfast and chairfast clients.
(3) Preventive skin care.
(4) Body alignment and joint movement.
(5) Pressure relieving devices.
(m) Measures shall be used to prevent and reduce incontinence for each client who does not eliminate appropriately and independently and shall include:
(1) Written assessment within one month of admission of each client's ability to participate in a bowel and bladder management training program.
(2) An individualized plan for each client selected for bladder and bowel training.
(3) A monthly summary in writing of the client's performance in the training program.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76325. Developmental Program Services--Types of Restraints.
Note

(a) Only the following types of restraints shall be used and are defined as:
(1) “Physical restraint” means restraint to control an acutely disturbed person to prevent the person from causing harm to self or others. This may be accomplished by means of a wide piece of muslin placed over the body, mittens, soft ties or a jacket consisting of sleeveless cloth webbing. A physical restraint can be of the hands, body or feet separately or in combination. The tying of hands or feet, whether or not the person is simultaneously restrained in a bed, chair or wheelchair shall be considered a physical restraint. Totally enclosed cribs and barred enclosures are also considered to be physical restraints.
(2) “Chemical restraint” means the use of psychotropic or behavior-modifying drugs used to prevent a client from exhibiting an identified maladaptive behavior.
(3) “Treatment restraint” means the use of restraint during medically prescribed treatment or diagnostic procedures such as, but not limited to, intravenous therapy, tube feeding or catheterization. This may be accomplished by soft ties only, so as not to cause harm.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76327. Developmental Program Services--Restraints.
Note     •     History

(a) Restraints shall only be used as measures to protect the client from injury to self or others and only upon a physician's or clinical psychologist's written or telephone order. Telephone orders shall be received only by authorized licensed personnel, shall be recorded immediately in the client's record and shall be signed by the prescriber within 48 hours. Restraint shall not be used as punishment, as a substitute for more effective programming or for the convenience of the staff.
(b) Orders for physical restraints shall be in force for not longer than 12 hours.
(c) Orders for treatment restraints shall be in force for not longer than seven days.
(d) There shall be no PRN orders for physical or treatment restraints.
(e) The client's record shall include a recording with justification and authorization of all periods of restraint.
(f) Seclusion, which is defined as the placement of a client alone in a locked room shall not be employed.
(g) A restraint shall not be confused with a postural support as defined in Section 76335.
(h) No restraint with locking devices shall be used or be available for use.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§76329. Developmental Program Services--Application of Restraints.
Note

(a) In the use of physical restraints, each of the following requirements shall be met:
(1) Physical restraint shall be used only as an integral part of an individual program plan that is designed by an interdisciplinary team to lead to a less restrictive way of managing, and ultimately to the elimination of, the behavior for which the restraint is applied.
(2) Each program plan utilizing restraint shall specify the behavior to be eliminated, the method to be used, the schedule for use of the method, the person responsible for the program and the data that are to be collected in order to assess progress toward the objectives.
(3) Restraints shall be applied in a manner so that they can be speedily removed in case of fire or other emergency.
(4) A client placed in restraint shall be checked at least every 30 minutes by program staff to assure that the restraint is properly applied. A record shall be kept of these checks.
(5) Physical restraints shall be designed and used in such a way as not to cause physical injury to the client and to insure the least possible discomfort to the clients. Opportunity for motion and exercise shall be provided for a period of not less than 10 minutes during each 2 hours in which restraint is applied. The exercise periods shall be documented in the client's record.
(6) Clients shall be restrained only in an area that is under direct observation of staff and shall be afforded protection from other clients who may be in the area.
(b) In the use of chemical restraints, each of the following requirements shall be met:
(1) Medication shall not be used as punishment, for the convenience of staff, as a substitute for a program, or in quantities that interfere with an individual's developmental program.
(2) Psychotropic or behavior-modifying drugs shall be used only as an integral part of an individual program plan that is designed by an interdisciplinary team to lead to a less restrictive way of managing, and ultimately to the elimination of, the behaviors for which the drugs are employed. Each program plan utilizing a psychotropic drug:
(A) Shall specify the behavior to be modified, a time-limited (no more than 30 days) prescription by a physician, and the data that are to be collected in order to assess progress toward the treatment objective. Orders for psychotropic drugs shall include the indication for use and shall be in force for no more than 30 days without a physician's written renewal order for each 30-day period. Each renewal order shall include written justification by the physician for the continued use of the drug.
(B) Shall include explicit provision for gradual diminishing of dosage and ultimate discontinuation of the drug.
(3) PRN prescriptions for psychotropic or behavior-modifying drug use shall be subject to the requirements of Section 76329 (b).
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76331. Developmental Program Services--Behavior Modification Programs.
Note

(a) In all client programs designed to change or maintain client behavior, the major emphasis shall be on the use of positive reinforcement, and any treatment plan using aversive techniques shall also provide for positive reinforcement. Behavior modification programs involving the use of time-out devices or the use of aversive stimuli shall be:
(1) Reviewed and approved by the Human Rights Committee.
(2) Conducted only with the written, informed consent of the client, whenever possible, or parents, if the client is a minor, or the client's authorized representative.
(3) Described in the individual program plan.
(4) Restricted when time-out procedures are used to periods of not more than one hour and only during conditioning sessions in the presence of the program personnel. For the purposes of this section “time-out” means removal of a client from specified activities for a specific period of time.
(5) In accordance with Department approval pursuant to Section 76309.
(6) Conducted only by staff who have received documented training in behavior modification.
(b) There shall be a written statement of policies and procedures for the control and discipline of clients, formulated with client participation, where appropriate, and available as follows:
(1) In each living unit.
(2) To clients.
(3) To parents or guardians of minors.
(c) Corporal punishment shall not be permitted.
(d) Clients shall not discipline other clients, except as part of an organized self-government program that is conducted in accordance with written policy.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76333. Developmental Program Services--Client Abuse.
Note

Clients shall not be subjected to corporal or unusual punishment, humiliation or verbal or mental abuse. A behavior modification program carried out in compliance with Section 76331 is not considered client abuse.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76335. Developmental Program Services--Postural Supports.
Note

(a) Postural supports mean devices other than orthopedic braces used to assist clients to achieve proper body position and balance. Postural supports may only include soft ties, seat belts, spring release trays or cloth sheeting and shall only be used to improve a client's mobility and independent functioning, rather than restrict movement. These devices shall not be considered restraints.
(b) Postural supports shall be applied in a manner so that they can be speedily removed in case of fire or other emergency.
(c) Postural supports may be ordered by the interdisciplinary team. The type of support and the method of applying it shall be specified in the individual program plan.
(d) Postural supports shall be designed and applied:
(1) Under the supervision of a qualified professional person.
(2) In accordance with principles of good body alignment, with concern for circulation and allowance for change of position.
(e) Clients in postural supports shall be provided opportunity for motion and exercise for a period of not less than 10 minutes during each 2 hours in which postural supports are used. A summary of these exercise periods shall be recorded in the client's record at the end of each shift.
(f) Facilities shall have written policies concerning the use of postural supports.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76337. Developmental Program Services--Staffing.
Note     •     History

(a) Qualified personnel and necessary supporting staff to carry out the programs shall be available.
(b) The facility shall employ qualified mental retardation professional(s) in the ratio of one (1) hour per client per week. The qualified mental retardation professional(s) shall have the responsibility for supervising the implementation of each client's individual plan of care, integrating the various aspects of the facility's program, recording each client's progress and initiating periodic review of each individual plan of care for necessary modifications or adjustments. 
(c) The facility shall provide either through direct employment or by contractual arrangement a multidisciplinary professional staff to assist in the development and implementation of programs and to provide specific training and expertise to the program staff.
(1) The multidisciplinary professional staff shall be composed of at least one person from any three of the following disciplines:
(A) Psychologist.
(B) Recreation therapist.
(C) Occupational therapist.
(D) Physical therapist.
(E) Social worker.
(F) Speech pathologist.
(G) Special education teacher.
(H) Art therapist.
(I) Dance therapist.
(J) Music therapist.
(K) Any other related discipline approved by the Department.
(2) Total multidisciplinary professional staff time for a facility with 40 or fewer clients shall be equivalent to at least 20 hours per week.
(3) Total multidisciplinary professional staff time for a facility with 41 or more clients shall be equivalent to at least 20 hours per week for the first 40 clients plus 30 minutes per client per week for each additional client in excess of 40.
(d) The primary responsibility of staff shall be the care and development of the clients as follows:
(1) The personnel shall train clients in activities of daily living and in the development of self-help and social skills.
(2) Direct care staff shall not be assigned housekeeping, administrative and financial record keeping or other nonclient care activities.
(e) Input from staff from all shifts shall be used in developing appropriate referral, planning, initiation, coordination, implementation, follow through, monitoring and evaluation activities relative to the care and development of the client.
(f) The facility shall employ sufficient direct care staff to carry out the client's Individual Program Plan as prescribed by the Interdisciplinary Team. Such staffing shall be no less than three (3) hours per client per day. Licensed nursing staff hours shall count as twice the actual hours on duty. The Director of Nurses and Director of Staff Development may not be counted as direct care staff in facilities of sixty (60) bed or larger capacity.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1276.5 and 1277, Health and Safety Code; and Section 14110.7(e), Welfare and Institutions Code.
HISTORY

1. Repealer of subsections (b)-(b)(2)(B) and (g), subsection relettering, amendment of newly designated subsections (b)-(c), new subsection (f) and amendment of Note filed 8-31-95 as an emergency; operative 8-31-95 (Register 95, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as 8-31-95 order transmitted to OAL 12-28-95 and filed 2-6-96 (Register 96, No. 6).
§76339. Developmental Program Services--Orientation and In-Service Training.
Note     •     History

(a) There shall be an individual designated to be responsible for staff development and training.
(b) The facility shall ensure that all new staff shall receive at least 4 hours of orientation and training within 60 days of employment. Initial training shall include, but not be limited to the following:
(1) An orientation to special needs and overall concepts of programs including normalization to meet the special needs of the developmentally disabled which shall be provided within the first week of employment.
(2) Orientation and training in specific program techniques being used in the facility to meet the identified program needs of the clients.
(3) Developmental growth and assessment.
(4) Development of an individual program plan.
(c) The facility shall provide all direct care staff at least three (3) hours per month of planned in-service training in addition to the four hours of orientation. A registered nurse shall participate as appropriate in the planning and implementation of training of facility personnel. The training shall include but not be limited to the following:
(1) Specific program techniques for the developmentally disabled.
(2) Setting behavioral program objectives for clients.
(3) Evaluation and assessment procedures and criteria.
(4) Noting and documenting client progress in the program.
(5) Physical problems and needs of the developmentally disabled.
(6) Prevention and control of infections.
(7) Interpersonal relationship and communication skills.
(8) Fire prevention and safety.
(9) Accident prevention.
(10) Management of assaultive behavior.
(11) Confidentiality of client information.
(12) Preservation of client dignity, including provision for privacy.
(13) Clients' rights.
(14) The responsibility and involvement of the parent, guardian, conservator or authorized representative in the overall client plan of care.
(15) Detection of signs of illness or dysfunction that warrant medical or nursing intervention.
(16) Basic skills required to meet the health needs and problems of the clients.
(17) First aid in the presence of accident or illness.
(18) Cardiopulmonary resuscitation.
(d) Records of each staff development program shall be maintained, including name and title of presenter, date of presentation, title of subject coverage, description of content and the attendance.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) and Note filed 8-31-95 as an emergency; operative 8-31-95 (Register 95, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as 8-31-95 order transmitted to OAL 12-28-95 and filed 2-6-96 (Register 96, No. 6).
§76341. Health Support Services--Physician Services.
Note

(a) Physician services shall mean those services provided by physicians responsible for the medical care of individual clients.
(b) Services provided by the physician shall include but not be limited to:
(1) A physical examination within 5 days prior to admission or within 48 hours following admission.
(2) Client diagnosis.
(3) Continuing supervision by a physician who sees the client as needed and in no case less often than every 60 days.
(4) Annual physical examinations which shall include:
(A) Examination of vision and hearing.
(B) Routine screening laboratory examinations as determined necessary by the physician and special studies when the index of suspicion is high.
(5) Immunizations, using as a guide the recommendations of the United States Public Health Service Advisory Committee on Immunization Practices and of the Committee on the Control of Infectious Disease of the American Academy of Pediatrics.
(6) Electroencephalographic services shall be available as necessary.
(7) Provision of emergency medical services in the facility as necessary.
(8) Referral of specialty consultation, as appropriate.
(9) Preventive health services to clients, which shall mean the prompt detection and referral of health problems through medical surveillance, periodic inspection and regular medical examination.
(c) The physician shall sign all orders for diagnostic tests, medications and medical treatment of clients.
(d) The physician shall record progress notes and make other appropriate entries in the client records.
(e) The physician shall review and update medication and medical treatment orders every 60 days.
(f) The attending physician when appropriate shall participate as a member of the interdisciplinary team as required in Section 76311 (a) as follows:
(1) In the continuing interdisciplinary evaluation of individual clients for the purposes of initiation, monitoring and follow up of individualized habilitation programs.
(2) In the development for each client's individual program plan of a detailed, written statement of:
(A) Case management goals, encompassing the areas of physical and mental health, education and functional and social competence.
(B) A management plan detailing the various habilitation or rehabilitation modalities that are to be applied in order to achieve the specified goals with clear designation of responsibility for implementation.
(C) Any use of restraint or postural support.
(g) The statement of treatment goals and management plans shall be reviewed and updated:
(1) As needed, but at least semiannually.
(2) To ensure appropriateness of the goals, consistency of the case goals and progress.
(h) Nonphysician medical practitioners shall be permitted to render such medical services for which they are legally authorized and which have been approved by the director of physician services and by the Department. Nonphysician medical practitioners means:
(1) Physician's Assistants. Physician's assistants are divided into two classifications as follows:
(A) Assistant to the primary care physician.
(B) Assistant to the specialized physician.
(2) Registered nurse in the expanded role.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76343. Physician Services--Director of Physician Services.
Note

(a) The facility shall have a physician who shall be responsible for standards of medical care, coordination, surveillance and planning for improvement of medical care in the facility.
(b) The physician:
(1) Shall act as a liaison between administration and attending physicians.
(2) Shall be responsible for reviewing and evaluating policies and procedures to assure clinical practice of the highest quality.
(3) Shall act as a consultant to the registered nurse responsible for nursing services as they relate to client care services.
(4) Shall be responsible for ascertaining that employees receive their preemployment and annual health examinations.
(c) A physician serving multiple facilities in this capacity shall serve no more than three facilities with a maximum total of 300 beds at any given time.
(d) The facility shall designate an alternate physician to act as director of physician services if the director is not available to the facility.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76345. Health Support Services--Nursing Services.
Note

(a) Facilities shall provide nursing services in accordance with the needs of the clients for the purpose of:
(1) Development and maintenance of an environment that will meet their total health needs.
(2) Assistance in achieving and maintaining optimal health.
(3) Encouragement of maximum self-care and independence.
(4) Training in habits of personal hygiene, family life, sex education (including family planning and venereal disease counseling).
(5) Control of communicable diseases and infections through:
(A) Identification and assessment.
(B) Reporting to medical authorities.
(C) Implementation of appropriate protective and preventive measures.
(6) Development of a written plan for each client to provide for nursing services as a part of the individual program plan total habilitation program.
(7) Modification of the nursing section of the individual program plan in terms of the client's daily needs at least every six months.
(b) All physician orders shall be implemented as prescribed.
(c) The attending physician shall be notified immediately of any signs of illness or marked change in condition.
(d) The registered nurse shall participate when appropriate as a member of the interdisciplinary team as required in Section 76311 (a) in at least the following areas:
(1) The preadmission evaluation.
(2) Program design and placement of the client at the time of admission to the facility.
(3) The periodic reevaluation of the type, extent and quality of services and programming.
(4) Discharge planning.
(5) The referral to appropriate community resources.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276 and 1277, Health and Safety Code.
§76347. Nursing Services--Administration of Medications and Treatments.
Note

(a) Medications or treatments shall not be given except on the order of a person lawfully authorized to give such an order.
(b) Medications and treatments shall be administered as prescribed and shall be recorded in client records as given. Recording shall include the name and title of the person administering the medication or treatment and date, time and dosage of the medication administered. Initials may be used provided that the signature of the person administering medications or treatments is also recorded on the medication or treatment record.
(c) Preparation of dosages for more than one scheduled administration time shall not be permitted.
(d) Persons administering medications shall carry each client's medication cards and shall confirm each client's identity prior to the administration of any medication.
(e) Medications shall be administered within two hours after dosages are prepared and shall be administered by the same person who prepared the dosages for administration. Dosages shall be administered within one hour of the prescribed time unless otherwise indicated by the prescriber.
(f) “Stat” orders shall be administered as required in Section 76389 (a) (1) (A).
(g) All telephone orders for medications and treatments shall only be received by a registered nurse, licensed vocational nurse, psychiatric technician or pharmacist and any other persons lawfully authorized to receive such orders in their specialty areas. Such orders shall be recorded immediately in the client's record and shall be signed by the prescriber within 48 hours.
(h) Drugs may be administered in the absence of a specific duration of therapy in a physician's new drug order, if the facility applies its stop order policy for such drugs. The prescriber shall be contacted prior to discontinuing therapy as established by stop order policy.
(i) All medications shall be administered only by licensed medical or licensed nursing personnel with the following exceptions:
(1) Students in the healing arts professions shall be allowed to administer medications and treatments only when the administration of the medications and treatments is incidental to their course of study as approved by the professional board or organization legally authorized to give such approval.
(2) Unlicensed persons may administer, under the direct supervision of licensed nursing or licensed medical personnel, during or after the completion of training and demonstrated evidence of competency, only the following medications and treatments:
(A) Medicinal shampoos and baths.
(B) Laxative suppositories and enemas.
(C) Nonlegend topical ointments, creams, lotions and solutions when applied to intact skin surfaces.
(3) Unlicensed persons shall not administer any medication associated with treatment of the eyes, ears, nose or genitourinary tract.
(j) No medication shall be administered to or used by any client other than the client for whom the medication was issued or prescribed.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76349. Nursing Services--Standing Orders.
Note

Standing orders for medications and treatments shall not be used.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76351. Nursing Service--Nurse Assistant Training and Certification.
Note     •     History

NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1337 through 1338.3, Health and Safety Code.
HISTORY

1. Repealer filed 7-16-91 as an emergency; operative 7-16-91 (Register 91, No. 46). A Certificate of Compliance must be transmitted to OAL by 11-13-91 or emergency repeal will be reinstated by operation of law on the following day.
2. Repealer refiled 11-14-91 as an emergency; operative 11-13-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-12-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. filed and  repealer  refiled 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 20). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order transmitted to OAL 8-27-92 and filed 10-9-92 (Register 92, No. 41). 
§76355. Nursing Services--Staff.
Note     •     History

(a) Direct care personnel shall be employed according to the client/staff ratios as defined in Section 76337 (g) and with the qualifications determined by the Department to provide the necessary services for those clients admitted for care. The Department may require a facility to provide additional staff when through a written evaluation of client care additional staff is needed to provide for adequate nursing care and the safety of the clients.
(b) The facility shall designate a registered nurse to be responsible for nursing services who shall have knowledge and experience in the field of developmental disabilities. This registered nurse shall have in writing administrative authority, responsibility and accountability for the nursing services within the facility and serve only one facility in this capacity.
(c) The registered nurse in charge of nursing services shall be employed eight hours a day on the day shift, five days a week with a relief registered nurse employed eight hours a day on the day shift for the other two days of the week.
(d) A facility shall have at least one registered nurse, licensed vocational nurse or psychiatric technician awake and on duty at all times, day and night.
(e) Facilities licensed for 1-59 beds shall have at least 1 additional licensed nurse on the day shift.
(f) Facilities licensed for 60-99 beds shall have at least 1 additional licensed nurse on the day shift and at least 2 licensed nurses on the evening shift.
(g) Facilities licensed for 100 or more beds shall have at least 1 registered nurse awake and on duty at all times.
(h) Facilities licensed for 100 beds or more shall have at least 2 additional registered nurses, licensed vocational nurses or psychiatric technicians on duty during the day shift and at least 1 additional licensed nurse on the evening shift.
(i) Charge personnel on all shifts shall have at least one year of experience or training related to developmental disabilities.
(j) Each facility or distinct part of a facility shall employ staff to provide a minimum average of 2.7 nursing hours per client-day.
NOTE

Authority cited: Sections 208 (a), 1276 and 1276.5, Health and Safety Code. Reference: Sections 1276 and 1276.5, Health and Safety Code; and Section 14110.87, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (j) filed 9-23-85 as an emergency; effective upon filing (Register 85, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 1-21-86.
2. Certificate of Compliance transmitted to OAL 1-17-86 and filed 2-10-86 (Register 86, No. 7).
§76357. Health Support Services--Dental Services.
Note

Dental services are those services provided by dental staff for the purpose of maintaining daily oral health through preventive measures and for the correction of existing oral diseases.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76359. Dental Services--General Requirements.
Note

(a) There shall be comprehensive diagnostic services for all clients which include a complete extraoral and intraoral examination, utilizing all diagnostic aids necessary to properly evaluate the client's oral condition within a period of one month following admission unless such an examination was done within six months of admission and the results are received and reviewed by the facility and are entered in the client's record.
(b) There shall be comprehensive treatment services for all clients which include:
(1) Provision for dental treatment.
(2) A system that will assure that each client is reexamined at specified intervals in accordance with his needs but at least annually.
(c) There shall be education and training through a dental hygiene program to maintain oral health which includes:
(1) Giving information regarding nutrition and diet control measures to staff.
(2) Instruction of clients and staff in each living unit in proper methods of oral hygiene.
(3) Instruction of parents or authorized representatives in the maintenance of proper oral hygiene, where appropriate (as in the case of clients leaving the facility).
(d) A permanent dental record shall be maintained for each client. A summary dental progress report shall be entered in the client record at stated intervals. A copy of the permanent dental record shall be provided a facility to which a client is transferred.
(e) There shall be a formal arrangement for providing dental services to the facility, including care in dental emergencies on a 24-hour, 7-days-a-week basis.
(f) There shall be available qualified dental personnel, and necessary supporting staff to carry out the dental services program.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76361. Food and Nutrition Services--Defined.
Note

“Food and nutrition services” means a service organized, staffed and equipped to assure that food served to clients is safe, appetizing and meets their nutritional needs.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76363. Food and Nutrition Services--Food Service.
Note

(a) The food and nutrition needs of clients shall be met in accordance with the 1974 Edition of the “Recommended Daily Dietary Allowance,” adopted by the Food and Nutrition Board of the National Research Council, National Academy of Sciences, 2107 Constitution Avenue, Washington, DC 20418, and adjusted for age, sex, activity, and disability through a nourishing, balanced diet unless contraindicated by medical needs.
(b) Food services shall include:
(1) Not less than 3 meals shall be served daily, with not less than a 10 hours' span between the first meal and the last meal of the day, and not more than a 14 hours' span between the third meal and the first meal of the following day.
(2) Mealtimes comparable to those of similar age groups existing in the community.
(3) Nourishment or between meal snacks shall be provided as required by the dietary plan. Bedtime nourishments shall be offered to all clients unless countermanded by the interdisciplinary team, attending physician or the dietitian.
(4) Client food preferences shall be adhered to as much as possible and substitutes for all food refused shall be from appropriate food groups. Condiments such as salt, pepper or sugar shall be provided at each meal unless countermanded by the physician's diet order or by decision of the interdisciplinary team responsible for the client's program.
(5) All clients shall eat in dining rooms, except where contraindicated for health reasons, or by decision of the interdisciplinary team responsible for the client's program. Table service shall be provided for all clients who can eat at a table, including clients in wheelchairs. Dining areas shall be equipped with tables, chairs, eating utensils and dishes designed to meet the developmental needs of each client.
(6) When food is provided by an outside commercial food service, all requirements shall be met. The facility shall maintain a written plan, space, equipment and food supplies to provide clients food service in emergencies.
(7) Food shall be prepared by methods that conserve nutritive value, flavor and appearance. Food shall be served attractively at appropriate temperatures and in a form to meet individual needs.
(8) Denial of a nutritionally adequate diet shall not be used as a punishment.
(9) Dining rooms shall be supervised and staffed for self-help dining procedures, and to assure that each client receives an adequate amount of food.
(10) Clients shall be provided with systematic training to develop appropriate eating skills, utilizing adaptive equipment where it serves the developmental process.
(11) Direct-care staff shall be trained in and shall utilize proper feeding techniques. Clients shall eat in an upright position unless medically contraindicated.
(12) Clients shall be encouraged and assisted in feeding themselves whenever possible. Clients shall be permitted to eat in a manner consistent with their developmental needs. Whenever self-feeding is not possible, clients shall be provided assistance in eating.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76365. Food and Nutrition Services--Policies and Procedures.
Note

A food and nutrition services policies and procedures manual shall be developed and available to all personnel. The manual shall be developed with the assistance of the dietitian and other appropriate staff.
NOTE

authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76367. Food and Nutrition Services--Diet Manual.
Note

A current therapeutic diet manual approved by the dietitian and the Client Care Policy Committee shall be readily available to the program, health support and dietetic personnel. It shall be reviewed annually and revised at least every five years.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76369. Food and Nutrition Services--Modified Diets.
Note

(a) Modified diets shall be as follows:
(1) Specified by the client's interdisciplinary team with a copy in the kitchen.
(2) Planned, prepared and served by persons who have received training in food and nutrition services.
(3) Periodically reviewed and adjusted as needed.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76371. Food and Nutrition Services--Therapeutic Diets.
Note

Therapeutic diets shall be provided as prescribed by the attending physician and shall be planned, prepared and served with supervision or consultation from the dietitian. Persons responsible for therapeutic diets shall have knowledge of food values in order to make appropriate substitutions when necessary.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76373. Food and Nutrition Services--Menus.
Note

(a) Menus for regular and modified diets shall be written at least one week in advance, dated and posted in the kitchen at least three days in advance.
(b) If any meal served varies from the planned menu, the change shall be noted in writing on the posted menu in the kitchen.
(c) Menus shall provide a variety of foods and indicate standard portions at each meal. Menus shall be different for the same day of consecutive weeks. If a cycle menu is used, the cycle shall be of no less than three weeks duration and shall be revised quarterly.
(d) Menus shall be adjusted to include seasonal commodities.
(e) Menus shall be planned with consideration for cultural background and food habits of clients.
(f) A copy of the menu as planned and as served shall be kept on file for at least 30 days.
(g) Records of specific food types purchased shall be kept for one year and available for review by the Department.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76375. Food and Nutrition Services--Orientation and In-Service Training.
Note

Orientation and in-service training shall be provided for all food service personnel and a record of subject areas covered, date and duration of each session and attendance lists shall be maintained.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76377. Food and Nutrition Services--Food Storage.
Note

(a) Food storage areas shall be clean at all times.
(b) All foods or food items not requiring refrigeration shall be stored above the floor, on shelves, racks, dollies or other surfaces which facilitate thorough cleaning, in a ventilated room, not subject to sewage or wastewater backflow or contamination by condensation, leakage, rodents or vermin. All packaged food, canned foods or food items stored shall be kept clean and dry a all times.
(c) Fixed and mobile equipment in the dietetic service area shall be located to assure sanitary and safe operation and shall be of sufficient size to handle the needs of the facility. Such equipment shall meet the requirements contained in Standard No. 2 as amended in April 1965 of the National Sanitation Foundation, P.O. Box 1468, Ann Arbor, MI 48106.
(d) All readily perishable foods or beverages capable of supporting rapid and progressive growth of microorganisms which can cause food infections or food intoxication shall be maintained at temperatures of 7oC (45oF) or below, or at 60oC (140oF) or above, at all times, except during necessary periods of preparation and service. Frozen foods shall be stored at minus 18oC (0oF) or below at all times. There shall be a reliable thermometer in each refrigerator and freezer and in storerooms used for perishable food.
(e) Pesticides, other toxic substances and drugs shall not be stored in the kitchen area or in storerooms for food or food preparation equipment and utensils.
(f) Soaps, detergents, cleaning compounds or similar substances shall be stored in separate defined storage areas.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76379. Food and Nutrition Services--Sanitation.
Note

(a) All kitchens and kitchen areas shall be kept clean, free from litter and rubbish and protected from rodents, roaches, flies and other insects.
(b) All utensils, counters, shelves and equipment shall be kept clean, maintained in good repair and shall be free from breaks, corrosions, open seams, cracks and chipped areas.
(c) Plastic ware, china and glassware that are unsightly, unsanitary or hazardous because of chips, cracks or loss of glaze shall be discarded.
(d) Ice which is used with food or drink shall be from a sanitary source and shall be handled and dispensed in a sanitary manner.
(e) Ice scoops shall be handled and stored in a sanitary manner.
(f) Kitchen wastes that are not disposed of by mechanical means shall be kept in clean, leakproof, nonabsorbent, tightly closed containers and shall be disposed of as frequently as necessary to prevent a nuisance or unsightliness.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76381. Food and Nutrition Services--Cleaning and Disinfection of Utensils.
Note

(a) All utensils used for eating, drinking and in the preparation and serving of food and drink shall be cleaned and disinfected or discarded after each use.
(b) Gross food particles shall be removed by careful scraping and prerinsing in running water.
(c) The utensils shall be thoroughly washed in hot water (minimum temperature of 43oC (110oF)), using soap or detergent, rinsed in hot water to remove soap or detergent and disinfected by one of the following methods or equivalent, as approved by the Department:
(1) Immersion for at least two minutes in clean water at 77oC (170oF).
(2) Immersion for at least 30 seconds in clean water at 83oC (180oF).
(3) Immersion in water containing bactericidal chemical as approved by the Department.
(d) After disinfection the utensils shall be allowed to drain and dry in racks or baskets on nonabsorbent surfaces. Drying cloths shall not be used.
(e) Results obtained with dishwashing machines shall be equal to those obtained by the methods outlined above and all dishwashing machines shall meet the requirements contained in Standard No. 3 as amended in April 1965 of the National Sanitation Foundation, P.O. Box 1468, Ann Arbor, MI 94106.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76383. Food and Nutrition Services--Staff.
Note

(a) A dietitian shall be employed on at least a part-time basis in all facilities. A part-time dietitian shall provide at least 13 hours of services each calendar month.
(b) If a dietitian is not employed full-time, a full-time person shall be employed who meets the requirements of a dietary service supervisor and shall be responsible for the operation of the food service. The dietetic supervisor may also cook, provided time is allowed to meet managerial responsibilities.
(c) Staff shall be employed, oriented, trained and their working hours scheduled to provide for the nutritional needs of the clients and to maintain the dietetic service areas. If dietetic service employees are assigned duties in other services, those duties shall not interfere with the sanitation, safety or time required for dietetic work assignments.
(d) Current work schedules by job titles and weekly time schedules shall be posted.
(e) Food and nutrition services personnel shall be trained in basic food sanitation techniques, wear clean clothing, including a cap or a hair net, and shall be excluded from duty when affected by skin infection, or communicable diseases. Beards and mustaches which are not closely cropped and neatly trimmed shall be covered.
(1) Employees' street clothing stored in the kitchen shall be in a closed area.
(2) Kitchen sinks shall not be used for handwashing. Separate handwashing facilities with soap, running water and individual towels shall be provided.
(3) Persons other than food and nutrition services personnel shall not be allowed in the kitchen areas unless required to do so in the performance of their duties. This does not exclude from the kitchen area clients in an organized training program as specified in their individual program plans.
(f) Smoking shall not be permitted in kitchen areas.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76385. Food and Nutrition Services--Equipment and Supplies.
Note

(a) Equipment of the type and in the amount necessary for the proper preparation, serving and storing of food and proper dishwashing shall be provided and maintained in good working order.
(1) The service area shall be ventilated in a manner that will maintain comfortable working conditions, remove objectionable odors, fumes and prevent excessive condensation.
(2) Fixed and mobile equipment shall be located to assure sanitation and safety and shall be of sufficient size to handle the needs of the facility.
(b) Food supplies shall meet the following standards:
(1) At least one week's supply of staple foods and at least two day's supply of perishable foods shall be maintained on the premises. Food supplies shall meet the requirements of the menu and therapeutic diets ordered.
(2) All food shall be of good quality and obtained from sources approved or considered satisfactory by federal, state or local authorities. Food in unlabeled, rusty, leaking, broken containers or cans with side seam dents, rim dents or swells shall not be accepted or retained.
(3) Milk, when served as a beverage, shall be Pasteurized Grade A or certified unless otherwise prescribed by the physician's diet order. Milk and milk products shall be processed or manufactured in milk product plants meeting the requirements of Division 15 of the California Agricultural Code. Reconstituted powdered milk shall not be used as a beverage for client use.
(4) Milk shall be served in individual containers, from a dispensing device which has been approved for such use or from the original container. In programs approved for family style dining programs, milk may be served from a pitcher or other container. Milk shall be dispensed directly into the glass or other container from which the client drinks.
(5) Catered foods and beverages from a source outside the licensed facility shall be prepared, packed, properly identified, stored and transported in compliance with these regulations and other applicable federal, state or local codes.
(6) Foods held in refrigerated or other storage areas shall be covered. Food which was prepared and not served shall be stored appropriately, clearly labeled and dated.
(7) Spoiled or contaminated food shall not be stored or served.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76387. Pharmaceutical Services--General.
Note

(a) Arrangements shall be made to assure that pharmaceutical services are available to provide clients with prescribed drugs and biologicals.
(b) There shall be conformance with state, federal and local laws regarding dispensing, labeling, storage and administration of drugs.
(c) If a pharmacy is located on the premises, the pharmacy shall be licensed by the California State Board of Pharmacy and approved by the Department. The pharmacy shall not serve the general public unless a separate public entrance or a separate public serving window is utilized. Pharmacies located on the licensed premises of intermediate care facilities shall be opened for inspection upon the request of an authorized Department representative.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76389. Pharmaceutical Services--Requirements.
Note

(a) Pharmaceutical service shall include, but is not limited to, the following:
(1) Obtaining necessary drugs including the availability of 24-hour prescription service on a prompt and timely basis as follows:
(A) Drugs ordered “Stat” that are not available in the facility emergency drug supply shall be available and administered within one hour during normal pharmacy hours. For those hours during which the pharmacy is closed, drugs ordered “Stat” shall be available and administered within three hours. Drugs ordered “Stat” which are available in the emergency drug supply shall be administered immediately.
(B) Anti-infectives and drugs used to treat severe pain, nausea, agitation, diarrhea or other severe discomfort shall be available and administered within four hours.
(C) Except as indicated above, all new drug orders shall be available on the same day ordered unless the drug would not normally be started until the next day.
(D) Refill prescriptions shall be available when needed.
(2) Dispensing of drugs and biologicals.
(3) Monitoring the drug distribution system which includes ordering, dispensing and administration of medications.
(4) Provision of consultative and other services furnished by pharmacists which assist in the development, coordination, supervision and review of the pharmaceutical services within the facility.
(5) Upon admission of the client, a medication history of prescription and nonprescription drugs used shall be obtained where possible, preferably by the pharmacist, and this information shall be entered in the client's record.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76391. Pharmaceutical Services--Policies and Procedures.
Note

(a) There shall be written policies and procedures for safe and effective distribution, control and use of drugs developed by the client care policy committee. The committee shall monitor implementation of the policies and procedures and make recommendations for improvement.
(b) There shall be a written policy governing the self-administration of drugs, whether prescribed or not.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76393. Pharmaceutical Services--Orders for Drugs.
Note

(a) No drugs shall be administered except upon the order of a person lawfully authorized to prescribe for and treat human illness.
(b) All such orders shall be in writing and dated and signed by the person giving the order. The name, quantity or specific duration of therapy, dosage and time or frequency of administration of the drug, and the route of administration if other than oral shall be specified. PRN orders shall also include the indication for use.
(c) Telephone orders may be given to a licensed pharmacist, registered nurse, licensed vocational nurse or psychiatric technician and any other persons lawfully authorized to receive such orders in their specialty areas and shall be immediately recorded in the client record and shall be signed by the prescriber within 48 hours.
(d) The signing of orders shall be by signature or a personal computer key. Signature stamps shall not be used.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76395. Pharmaceutical Services--Stop Orders.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76397. Pharmaceutical Services--Drug Order Processing.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76399. Pharmaceutical Services--Drug Order Records.
Note

Facilities shall maintain a record which includes, for each drug ordered by prescription, the drug name, strength, the name of the client, the date ordered, the date received and the name of the issuing pharmacy. The records shall be kept at least one year.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Cod.
§76401. Pharmaceutical Services--Personal Medications.
Note

(a) Medications brought by or with the client on admission to the facility shall not be used, unless the contents of the containers have been examined and positively identified after admission by the client's physician or pharmacist retained by the facility.
(b) This regulation shall not apply to drugs transferred from other licensed health facilities or those drugs dispensed or obtained after admission from any licensed or governmental pharmacy and shall not preclude the delivery of those drugs by any agent of the client.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76403. Pharmaceutical Services--Labeling and Storage of Drugs.
Note

(a) Containers which are cracked, soiled or without secure closures shall not be used. Drug labels hall be legible.
(b) All drugs obtained by prescription shall be labeled in compliance with state and federal laws governing prescription dispensing. No person other than the pharmacist shall change any prescription label.
(c) Nonlegend drugs shall be labeled in conformance with state and federal food and drug laws.
(d) Test reagents, germicides, disinfectants and other household substances shall be stored separately from drugs and shall not be accessible to clients unless so specified in the client's individual program plan.
(e) External use drugs in liquid, tablet, capsule or powder form shall be stored separately from drugs for internal use.
(f) Drugs required to be stored at room temperature shall be stored at a temperature between 15oC (59oF) and 30oC (86oF). Drugs requiring refrigeration shall be stored in a refrigerator between 2oC (36oF) and 8oC (46oF). When drugs are stored in the same refrigerator with food, the drugs shall be kept in a closed container clearly labeled “drugs” or “medications.”
(g) Drugs shall be stored in an orderly manner in cabinets, drawers or carts of a size to prevent crowding.
(h) Dose preparation and administration areas shall be well lighted. If medication carts are utilized, a light shall be available on the cart.
(i) Drugs, hypodermic syringes and needles shall be accessible only to the administrator, pharmacist,physicians, licensed registered nurses, licensed vocational nurses and psychiatric technicians except as provided in Section 76403 (n) and (o). Such access shall be designated in writing by the facility.
(j) Drugs shall not be kept in stock after the expiration date on the label and no contaminated or deteriorated drugs shall be available for use.
(k) The drugs of each client shall be kept and stored in their originally received containers. No drug shall be transferred between containers.
(l) Discontinued drug containers shall be marked to indicate that the drug has been discontinued.
(m) Facilities shall dispose of irrigating solutions in accordance with manufacturer's instruction or pharmacy label. Facilities shall establish policies to prevent contamination of irrigating solutions whose labels do not include expiration dates or instructions for storage or disposal of remaining contents after initial use.
(n) Prescription medications of an emergency nature may be stored at a client's bedside under the following conditions:
(1) On the specific order of a person lawfully authorized to prescribe, when the order specifies the manner and frequency of administration by the client, and
(2) The medication is of an emergency nature which is to be administered sublingually or by inhalation, and
(3) The facility has established written procedures by which the use of an emergency bedside medication is recorded in the client's health record.
(4) Such drugs shall be stored in a closed drawer or cupboard or be in the client's possession.
(o) Nonprescription or over-the-counter medications may be stored at a client's bedside under the following conditions:
(1) Medications may be stored at the bedside unless contraindicated by the attending physician. The attending physician shall be informed of all such storage. Facilities may adopt more restrictive policies regarding bedside storage of medications.
(2) In all facilities the following conditions shall apply:
(A) The client health record must reflect the availability of drugs by name at the bedside. Such information must also be included in the client's individual program plan.
(B) The facility shall record bedside medication use daily, based on observation or information supplied by the client.
(C) The facility shall maintain a record of drugs obtained for bedside use, including date of receipt, client name and quantity.
(D) Marked increase in the use of self-administered drugs that indicates a significant change in the condition of the client shall be reported to the physician.
(E) Such medications shall be secured against access by the other clients.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76405. Pharmaceutical Services--Controlled Drugs.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76407. Pharmaceutical Services--Disposal of Drugs.
Note

(a) Drugs shall be sent with the client upon discharge if so ordered by the discharging physician. Drugs discharged with clients shall be dispensed in compliance with the California Pharmacy Laws and Regulations. A record of the drugs sent with the client shall be in the client's record.
(b) Drugs remaining in the facility after discharge shall be destroyed in the facility within 30 days of the date of discharge.
(c) Discontinued drugs shall be destroyed in the facility within 90 days of the date the drug orders were discontinued, unless the drug is reordered within that time.
(d) Drugs shall be destroyed in the facility in the following manner:
(1) Drugs listed in Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 shall be destroyed in the facility in the presence of a pharmacist and a registered nurse employed by the facility. The name of the client, the name and strength of the drug, the prescription number, the amount destroyed, the date of destruction and the signatures of the witnesses required above shall be recorded in the client's record or in a separate log. The record of disposal shall be retained for at least three years.
(2) Drugs not listed under Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 shall be destroyed in the facility in the presence of a pharmacist or registered nurse who with one other witness shall sign a record which lists the name of the client, the name and strength of the drug, the prescription number if applicable, the amount destroyed and the date of destruction. The record may be in the client's record or in a separate log. The record of disposal shall be retained for at least three years.
(e) Unless otherwise prohibited under applicable federal or state laws, individual client drugs supplied in sealed containers may be returned, if unopened, to the issuing pharmacy for disposition provided that:
(1) No controlled drugs are returned.
(2) All such drugs are identified as to lot or control number.
(3) The signatures of the receiving pharmacist and registered nurse employed by the facility are recorded in a separate log which lists the name of the client, the name, strength, prescription number (if applicable) and amount of the drug returned and the date of return. The log shall be retained for at least three years.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76409. Pharmaceutical Services--Unit Dose Medication System.
Note

In facilities which have unit dose medication systems, there shall be at least a 24-hour supply of all client medications on hand at all times, excepting drugs which are to be discontinued within the 24-hour period. Drugs that are part of the system shall not exceed a 48-hour supply.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76411. Pharmaceutical Services--Staff.
Note

(a) Facilities shall retain a pharmacist who devotes the number of hours necessary during a regularly scheduled visit for the purpose of coordinating, supervising and reviewing the pharmaceutical services within the facility. The pharmacist shall submit a written report on the status of the pharmaceutical service and staff performance to the client care policy committee at least semiannually. The report shall include a log or record of time spent in the facility. There shall be a written agreement between the pharmacist and the facility which includes duties, responsibilities and qualifications of the pharmacist and the responsibilities of the facility.
(b) A pharmacist shall serve on the client care policy committee and shall be responsible for the developing, coordinating and directing or supervising of all pharmaceutical services. A pharmacist or registered nurse shall effectively review the drug regimen of each client at least monthly and prepare appropriate reports. If the drug regimen review is performed by a registered nurse, a pharmacist shall review the drug regimen quarterly. The review of the drug regimen of each client shall include all drugs currently ordered, information concerning the client's condition relating to drug therapy, medication administration records, and, where appropriate, physician's progress notes, nurse's notes and laboratory test results. The pharmacist shall be responsible for reporting, in writing, irregularities in the dispensing and administration of drugs and other matters relating to the review of the drug regimen to the registered nurse in charge of nursing services.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76413. Pharmaceutical Services--Equipment and Supplies.
Note

(a) There shall be available equipment and supplies necessary for the provision of pharmaceutical services within the facility. This includes, but is not limited to:
(1) Refrigerator with reliable thermometer.
(2) Lockable drug cabinets, drawers, closets or rooms.
(3) Drug service trays or carts.
(4) Drug preparation counter area and convenient water source.
(5) Syringes, needles, rubber tubing, clamps, droppers, medicine glasses, cups or other small containers which are accurately calibrated. Single use equipment shall be discarded after each use.
(6) Current reference materials containing drug monographs on all drugs in use in the facility shall be available at each health support area where such drugs are used. Such monographs shall include information concerning generic and brand names if applicable, available strengths and dosage forms and pharmacological data including contraindications and side effects.
(b) Emergency drug supplies shall be available as determined by the client care policy committee. Facilities shall store a supply of emergency legend drugs on at least one health support area and:
(1) Such drugs shall be limited to a maximum of three single doses in either sealed ampules or vials of any one emergency drug. If an emergency drug is not available in parenteral form, a supply of the drug in inhalation or sublingual form may be maintained in the smallest sealed manufacturer's package. No other oral legend drugs shall be stored.
(2) The emergency drug supply shall be stored in a portable container which is sealed in a manner that the tamper-proof seal must be broken to gain access to the drugs. The registered nurse in charge of nursing services shall notify the pharmacist when drugs have been used from the emergency kit or when the seal has been broken. Drugs used from the kit shall be replaced within 72 hours and the supply resealed by the pharmacist.
(3) The contents of the supply shall be listed on the outside of the container.
(4) The supply shall be checked at least monthly by a pharmacist.
(5) Separate records shall be maintained for drugs administered from the supply. Records shall include the name and dose of the drug administered, name of the client, the date and time of administration and the signature of the person administering the dose.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 4. Administration
§76501. Licensee--General Duties.
Note

(a) The licensee shall be responsible for compliance with licensing requirements and for the organization, management, operation and control of the licensed facility. The delegation of any authority by a licensee shall not diminish the responsibilities of such licensee. It is the responsibility of the licensee to carry out the requirements placed on the facility by these regulations.
(b) The licensee, if a licensed administrator, may act as the administrator or shall appoint a licensed administrator, to carry out the policies of the licensee. A responsible adult shall be appointed, in writing, to carry out the policies of the licensee in the absence of the administrator. If the licensed administrator is to be absent for more than 30 consecutive days, the licensee shall appoint another licensed administrator to carry out the day-to-day functions of the facility.
(c) The licensee shall delegate to the designated licensed administrator the authority in writing to organize and carry out the day-to-day functions of the facility, through appropriate delegation of duties.
(d) Except where provided for in approved continuing care agreements, no owner, administrator, employee or representative thereof shall act as guardian or conservator of the client's estate.
(e) The licensee shall employ qualified personnel to carry out all the functions of the facility and shall provide for initial orientation of all new employees, a continuing in-service training program and competent supervision.
(f) The Department may require a facility to provide additional professional, administrative and supportive personnel whenever the Department determines through a written evaluation that additional staff are needed to provide for the health and safety of clients.
(g) If a language or communication barrier exists between facility staff and a client, arrangements shall be made for an interpreter or for the use of other mechanisms to insure communication between the client and personnel.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76503. Consumer Information to Be Posted.
Note

(a) The following consumer information shall be conspicuously posted in the facility in a prominent location accessible to public view:
(1) Name, license number and date of employment of the current facility's administrator.
(2) A listing of all services and special programs provided in the facility and those provided through written contracts.
(3) A notice that the facility's written admission and discharge policies are available upon request.
(4) The most recent licensing visit report supported by the related follow-up plan of correction visit reports so that each page is readable.
(5) The names and addresses of all previous owners.
(6) A listing of all other skilled nursing and intermediate care facilities owned by the same person, firm, partnership, association, corporation or parent or subsidiary corporation, or a subsidiary of the parent corporation.
(7) A statement that an action to revoke the facility's license is pending, if such an action has been initiated by the filing of an accusation, pursuant to Section 11503 of the Government Code, and the accusation has been served on the licensee.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76505. Client Transfer Procedures.
Note

(a) The licensee shall maintain written transfer agreements with other nearby health facilities to make the services of the other facilities more readily accessible and to facilitate the easy transfer of clients and essential client information along with the client.
(b) When a client is transferred to another facility, there shall be:
(1) Written evidence of the reason or the transfer; and
(2) Prior informed and written consent of the client, parent of a minor or authorized representative except in an emergency.
(c) At the time of transfer, a written summary of findings, progress and plans shall be recorded and a copy shall accompany the client.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76506. Bed Hold.
Note     •     History

(a) If a client of an intermediate care facility/developmentally disabled is transferred to a general acute care hospital as defined in Section 1250(a) of the Health and Safety Code, the intermediate care facility/developmentally disabled shall afford the client a bed hold of seven (7) days, which may be exercised by the client or the client's representative.
(1) Upon transfer to a general acute care hospital, the client or the client's representative shall notify the intermediate care facility/developmentally disabled within twenty-four (24) hours after being informed of the right to have the bed held, if the client desires the bed hold.
(2) Except as provided in Section 51535.1, Title 22, California Administrative Code, any client who exercises the bed hold option shall be liable to pay reasonable charges, not to exceed the client's daily rate for care in the facility, for bed hold days.
(3) If the client's attending physician notifies the intermediate care facility/developmentally disabled in writing that the client's stay in the general acute care hospital is expected to exceed seven (7) days, the intermediate care facility/developmentally disabled shall not be required to maintain the bed hold.
(b) Upon admission of the client to the intermediate care facility/developmentally disabled and upon transfer of the client of an intermediate care facility/developmentally disabled to a general acute care hospital, the intermediate care facility/developmentally disabled shall inform the client, or the client's representative, in writing of the right to exercise this bed hold provision. No later than June 1, 1985, every intermediate care facility/developmentally disabled shall inform each current client or client's representative in writing of the right to exercise the bed hold provision. Each notice shall include information that a non-Medi-Cal eligible client will be liable for the cost of the bed hold days, and that insurance may or may not cover such costs.
(c) A licensee who fails to meet these requirements shall offer to the client the next available bed appropriate for the client's needs. This requirement shall be in addition to any other remedies provided by law.
NOTE

Authority cited: Sections 208(a), 1275 and 1276, Health and Safety Code. Reference: Sections 1275 and 1276, Health and Safety Code.
HISTORY

1. New section filed 12-17-84 as an emergency; effective upon filing (Register 85, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-16-85.
2. Certificate of Compliance including amendment of subsection (b) transmitted to OAL 4-11-85 and filed 5-15-85 (Register 85, No. 21).
§76507. Use of Outside Resources.
Note

(a) If a facility does not employ qualified personnel to render a specific service to be provided by the facility, there shall be arrangements through a written agreement with outside resources which shall meet the standards and requirements of these regulations.
(b) Copies of affiliation agreements, contracts or written arrangements for advice, consultation, services, training or transportation, with other facilities, organizations or individuals, public or private agencies shall be on file in the facility's administrative office and shall be reviewed and revised as needed.
(c) Written agreements with outside sources shall be readily available for inspection and review by the Department.
(d) The written agreements with outside sources shall include, but not be limited to:
(1) Description of the services to be provided.
(2) Frequency and minimum number of hours of each visit.
(3) Financial arrangements.
(4) Methods by which the services are to be provided.
(5) Conditions upon which the agreement or contract can be terminated.
(6) Effective date of contract.
(7) Date contract was signed.
(8) Signatures of all parties to the agreement.
(e) The outside resource, when acting as a consultant, shall apprise the administrator of recommendations, plans for implementation and continuing assessment through dated and signed reports which shall be retained by the administrator for follow-up action and evaluation of performance.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76509. Fire Safety.
Note

The licensee shall conform to the regulations adopted by the State Fire Marshal establishing minimum standards for the prevention of fire and for the protection of life and property against fire and panic. A copy of the State Fire Marshal's current fire clearance shall be on the premises.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76511. Smoking.
Note

(a) Clients shall be permitted to smoke in bed only when a facility staff member or responsible adult is present to ensure safety against fire hazards.
(b) The facility shall provide designated areas for smoking. The designated areas shall be under the periodic observation of facility personnel or responsible adults. This does not preclude the designation of the client rooms as smoking areas.
(c) The facility shall provide a designated area for nonsmoking clients. Such designated area shall be identified by prominently posted “No Smoking” signs.
(d) Smoking or open flames shall be prohibited in all rooms or spaces where oxygen cylinders are stored or where oxygen is in use. Such rooms or spaces shall be identified with “No Smoking” or “No Open Flame” signs prominently posted.
(e) The facility shall make every reasonable effort to assign clients to rooms according to the client's nonsmoking or smoking preference.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76513. Administrator.
Note

(a) Each facility shall employ a licensed administrator to administer the policies of the licensee.
(b) A fingerprint card for any new administrator employed by the facility shall be submitted previous to or within 10 days of employment for the purpose of a criminal record review. No person may act as an administrator if the criminal review indicates grounds for denial of a license application as specified in Section 76209.
(c) The administrator shall be responsible for the administration and management of only one facility with the following exceptions:
(1) If an administrator is responsible for more than one facility, he shall not be responsible for more than three facilities with an aggregate total of 200 beds and these facilities shall be within 30 minutes travel time of each other.
(2) If an administrator is responsible for more than one facility, the administrator shall designate a responsible adult in each facility to be responsible for carrying out the policies of the licensee in the administrator's absence.
(d) The administrator shall have freedom from other responsibilities and shall be on the premises of the facility the number of hours necessary to permit attention to the management and administration of the facility. The Department may require that the administrator spend additional hours in the facility whenever the Department determines through a written evaluation that such additional hours are needed to provide administrative management.
(e) A copy of the current regulations shall be maintained by the administrator, program director and the registered nurse responsible for nursing services. The administrator's copy shall be available to all personnel.
(f) The administrator or the designee shall be responsible for informing appropriate personnel of changes to facility regulations.
(g) The administrator or the designee shall be responsible for informing the Department, within 24 hours either by telephone (confirmed in writing) or by telegraph, of an occurrence that causes damage to the facility or threatens the safety or welfare of clients.
(h) The administrator or the designee shall be responsible for reviewing client and employee incident and accident reports and shall ensure that appropriate corrective action is taken. In a state hospital, the program director shall have this responsibility.
(i) The administrator or the designee and registered nurse and program director shall be responsible for screening clients for admission to the facility to ensure the facility admits only those clients for whom care can be provided. The administrator or the designee shall conduct preadmission personal interviews as appropriate with the client's physician, client, client's next of kind and/or sponsor. A telephone interview may be substituted when a personal interview is not feasible.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76515. Advertising.
Note

(a) No facility shall make, disseminate false or misleading statements, or advertise false claims regarding facilities and services provided or use the words “Approved by the California Department of Health Services” or use any words conveying the impression of approval in any advertising material.
(b) The name or title “hospital” shall not be used by any intermediate care facility for the developmentally disabled without a qualifying term such as convalescent, geriatrics, rehabilitation or nursing.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1276 and 1277, Health and Safety Code.
§76517. Client Brokerage.
Note

(a) Except where expressly authorized pursuant to Chapter 5 of this Division, no licensee nor any administrator, employee or any representative thereof shall give or receive any compensation, service or anything else of value or advantage for the placement, transfer or receipt of a client.
(b) No licensee nor any administrator, employee or representative thereof shall give or receive any compensation, services or anything of value or advantage for any referral of any client.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 445 and 1276, Health and Safety Code.
§76519. Admission of Clients.
Note

(a) The licensee shall:
(1) Accept and retain only those clients for whom it can provide specific programming and care under the provisions of these regulations.
(2) Admit only clients who have had a comprehensive evaluation covering physical, emotional, social and cognitive factors conducted by an appropriately constituted interdisciplinary team.
(3) Admit only developmentally disabled clients in a facility or distinct part licensed or certified as an intermediate care facility for the developmentally disabled.
(b) When a client is admitted for whom there is an inappropriate program, the facility shall state this in the client's record and initiate plans for continued and active exploration of alternatives.
(c) In the emergency admission of a client, a comprehensive evaluation of the client shall be completed within 30 days of admission.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76521. Policies and Procedures.
Note     •     History

(a) Written administrative, management and personnel policies shall be implemented to govern the administration and management of the facility.
(b) All policies and procedures required of these regulations shall be in writing, made available upon request to clients or their agents, employees and the public, and shall be carried out as written. Policies and procedures shall be reviewed at least annually, and revised as needed.
(c) Each facility shall establish the following policies and procedures:
(1) The overall philosophy, objectives and goals the facility is striving to achieve shall include but not be limited to:
(A) The facility's role in the state comprehensive program for the developmentally disabled.
(B) The facility's goals for its clients.
(C) The facility's concept of its relationship to the parents or representatives of the clients.
(2) Personnel policies which include:
(A) Job descriptions detailing qualifications, duties and limitations of each classification of employee and employee benefits.
(B) Procedures for employee orientation to facility, duties, client population, facility policies and procedures and staff.
(C) Authorized procedures, consistent with due process, for suspension and/or dismissal of an employee for cause.
(3) Policies and procedures on client admission, leave of absence, transfer and discharge which shall include rate of charge for services included in basic rate, charges for extra services, limitation of services, cause for termination of services and refund policies applying to termination of services.
(4) Policies and procedures governing autopsies, assuring that:
(A) An autopsy shall be performed with proper authorization only, and only by a qualified physician selected as to be free of any conflict of interest.
(B) The family shall be told of the autopsy findings if they desire.
(5) Policies and procedures to assure that all clients are screened for tuberculosis upon admission. These procedures shall be determined by the client care policy committee. Subsequent tuberculosis screening procedures shall be established by attending physicians. A tuberculosis screening may not be required if there is satisfactory written evidence available that a tuberculosis screening has been completed within 90 days of the date of admission to the facility.
(6) Policies and procedures assuring that admission or discharge of a client shall not be denied based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status, except as provided in this section.
Any bona fide nonprofit religious, fraternal or charitable organization which can demonstrate to the satisfaction of the Department that its primary or substantial purpose is not to evade this subsection may establish admission policies limiting or giving preference to its own members or adherents and such policies shall not be construed as a violation of the first paragraph of this subsection.
(7) Written policies and procedures governing client records developed with the assistance of a person skilled in record maintenance and preservation. Client records shall be stored and systematically organized to facilitate retrieval of information.
(8) Written policies and procedures governing access to, duplication of, and dissemination of information from the record.
(9) A policy and procedure establishing an ongoing program of open and honest communication with the clients and families as follows:
(A) The facility shall have a written plan for informing families or authorized representatives of significant changes in the client's condition and of activities related to the clients that may be of interest to them and to assure that communications to the facility from clients' families or representatives shall be promptly and appropriate handled and answered.
(B) Policies and procedures to assure that parents and authorized representatives shall be permitted to visit all parts of the facility that provide services to clients.
(C) Frequent and informal visits home shall be encouraged, and the regulations of the facility shall facilitate rather than inhibit such visitations.
(10) A procedure by which allegations of client abuse are immediately reported. Such procedures shall assure that there shall be evidence that:
(A) All alleged violations are thoroughly investigated.
(B) The results of the investigation are reported to the administrator or designee within 24 hours of the report of the incident.
(C) Substantiated instances of abuse are reported to the Department immediately.
(D) Appropriate sanctions are invoked when the allegation is substantiated.
(11) A written policy to assure that clients are protected from exploitation when they are engaged in work that benefits the facility. The policy shall assure that all work programs shall be included in the client's individual program plan and have specific goals and objectives.
(12) Policies and procedures for reporting unusual occurrences.
(13) Policies and procedures for smoking by clients.
(14) Provisions for accessibility to and utilization of the facility by the physically handicapped.
(15) A policy assuring that persons with an infectious or communicable disease may be admitted only under the provisions of Section 76543.
(16) Policies and procedures developed in concurrence with the local health officer to determine outbreaks or prevalence of infectious or parasitic disease or infestation and to correct such conditions.
(17) Policies and procedures that assure that client's equipment and valuables shall be inventoried as required by Section 76561(a)(19) and that client's personal possessions shall be identified by label.
(18) Policies and procedures that define the conditions under which restraints are used, the application of restraints, staff members who shall authorize their use and the mechanism used for monitoring and controlling their use.
(d) The facility shall have a written plan for a continuing management audit to insure compliance with state laws and regulations and the effective implementation of its stated policies and procedures.
(e) The facility shall have a written organizational chart showing the major operating programs of the facility, with staff divisions, the administrative personnel in charge of the programs and divisions and their lines of authority, responsibility and communication.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsections (c)(1)(C), (c)(2)(A) and (c)(6), repealing subsection (c)(6)(A) and amending subsection (c)(7) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§76523. Required Committees.
Note     •     History

(a) The facility shall have at least the following multidisciplinary committees: Client Care Policy, Infection Control and Human Rights.
(b) Minutes of every committee meeting shall be maintained in the facility and shall indicate names of members present, date, subject matter discussed and action taken.
(c) Committee organization and structure shall be as follows:
(1) Client Care Policy Committee.
(A) Written client care policies shall be established and followed in the care of clients governing the following services: developmental programming, health support, dietary and pharmaceutical services and such social, therapy and diagnostic services as may be provided and administrative client records and housekeeping functions.
(B) These policies shall be developed by a committee whose membership shall consist of at least one physician, the administrator, the registered nurse in charge of nursing services, a pharmacist, program director, client representative and other members of the interdisciplinary team as may be appropriate.
(C) The committee shall meet at least semiannually.
(D) The client care policy committee shall have overall responsibility for, but not be limited to the following:
1. Develop policies to fulfill the objectives of each service in providing client care.
2. Effectively implement client care policies.
3. Monitor staff performance to ensure that policies are executed.
4. Implement measures to assure the quality of client care.
5. Monitor the staff development program.
6. Review, evaluate and approve all behavior modification programs, which include aversive techniques, prior to and after implementation of such programs.
(E) Client care policies shall be reviewed annually and revised as necessary. Minutes shall list policies reviewed.
(F) The Client Care Policy Committee shall implement the provisions of the Health and Safety Code, Sections 1315 and 1316.5, by means of written policies and procedures.
1. Facilities which choose to allow dentists or clinical psychologists to refer clients for admission shall do so only if there are physicians who will provide the necessary medical care for the referred clients.
2. Only physicians shall assume overall care of clients, including performing admitting history and physical examinations and issuing orders for medical care.
(G) The Client Care Policy Committee shall implement the provision of the Health and Safety Code, Section 1316, by means of written policies and procedures.
1. Facilities which choose to allow podiatrists to refer clients for admission shall do so only if a physician provides necessary medical care for the referred client.
2. Only physicians shall assume overall care of clients, including performing admitting history and physical examinations.
(2) Infection Control Committee.
(A) The facility shall establish an infection control committee with responsibility for overall infection control in the facility.
(B) Composition of the committee shall consist of representatives from the following services: health support, administration, records, dietetic, pharmaceutical, housekeeping and laundry.
(C) The committee shall meet at least quarterly.
(D) The functions of the infection control committee shall include, but not be limited to the following:
1. Establish and implement policies and procedures for investigating, controlling and preventing infections in the facility.
2. Monitor staff performance to ensure the policies and procedures are implemented.
3. Monitor staff performance to ensure that basic principles of medical asepsis are implemented.
4. Maintain, review and report statistics of the number, types, sources and locations of infections within the facility.
5. Document and participate in developing and implementing relevant in-service programs.
(3) Human Rights Committee.
(A) The facility shall establish a human rights committee with responsibility for assuring that client rights as specified in Section 76525 are safeguarded.
(B) Composition of the committee shall consist of at least the administrator, program director, registered nurse in charge of nursing services and the clients' advocate from regional centers or state hospital as applicable, client representative, and parent or a community representative.
(C) The committee shall meet at least quarterly.
(D) The function of the human rights committee shall include:
1. Development of policies and procedures to assure and safeguard the clients' rights listed in Section 76525.
2. Monitor staff performance to ensure that policies and procedures are implemented.
3. Document and participate in developing and implementing relevant in-service training programs.
4. Review proposed research projects which involve client treatment modalities where client human rights or dignity is affected.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§76525. Clients' Rights.
Note     •     History

(a) Each client has the rights listed in (a) of this section which shall not be denied or withheld except as provided in (c) of this section. Each facility shall establish and implement written policies and procedures to ensure that each client admitted is afforded the following rights:
(1) To be fully informed of his or her rights and responsibilities as a client and of all rules and regulations governing client conduct and responsibilities. Information shall be provided prior to or at the time of admission or, in the case of clients already in the facility, when the facility adopts or amends client rights policies; its receipt shall be acknowledged by the client in writing and witnessed by a third person.
(2) To be fully informed in writing prior to or at the time of admission and during his or her stay, of the services available at the facility and of related charges, including any charges for services not covered under the Medi-Cal program or not covered by the facility's basic per diem rate.
(3) To be fully informed by a physician of his or her health and physical and medical condition unless medically contraindicated, as documented by a physician in the client's record, and to be afforded the opportunity to participate in the total care planning of medical treatment and to refuse treatment.
(4) To be transferred only for the client's welfare or the welfare of other clients or the client's failure to pay for services provided, except as prohibited by the Medi-Cal program.
(5) To manage personal financial affairs. The client may authorize the facility, in writing, to assist in managing his or her finances. The facility shall carry out such management in accordance with the client's wishes.
(6) To be encouraged and assisted throughout the period of stay to exercise rights as a client and civil and legal rights, and to this end to voice grievances and recommend changes in policies and services to facility staff and to outside representatives of his or her choice, free from restraint, interference, coercion, discrimination or reprisal.
(7) To be free from discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status.
(8) To be free from mental and physical abuse and free from restraint except as permitted by Section 76329.
(9) To be assured of the confidential treatment of all information contained in client records, including information contained in an automated data bank. The client's written consent shall be required for the release of information to persons not otherwise authorized under law to receive it. Persons representing the news media shall not be given any information that identifies or leads to the identification of client, including photographs, unless the client has given written consent. A client may provide written consent which limits the degree of information and the persons to whom information may be given.
(10) To not be required to perform services for the benefit of the facility except in compliance with the provisions of Section 76521(c)(11).
(11) If married or registered as a domestic partner, to be ensured privacy for visits by his or her spouse or registered domestic partner; if both are residents of the facility, to be permitted to share a room.
(12) To participate in social activities and in community groups at the client's discretion.
(13) To treatment and habilitation services. Treatment and habilitation services should foster the developmental potential of the person. Such services shall protect the personal liberty of the individual and shall be provided with the least restrictive conditions necessary to achieve the purposes of treatment.
(14) To dignity, privacy, respect and humane care, including privacy in treatment and in care for personal needs.
(15) To be encouraged and assisted to participate in an appropriate program of publicly supported education, regardless of degree of handicap.
(16) To prompt medical care and treatment.
(17) To religious freedom and practice.
(18) To social interaction and participation in community activities.
(19) To physical exercise and recreational opportunities.
(20) To be free from harm, including unnecessary physical restraint or isolation, excessive medication, abuse or neglect.
(21) To be free from hazardous procedures.
(22) To wear his or her own clothes, to keep and use personal possessions including toilet articles, and to keep and be allowed to spend a reasonable sum of his or her own money for canteen expenses and small purchases.
(23) To have access to individual storage space for private use.
(24) To see visitors each day; to communicate, associate and meet privately with persons of the client's choice, including social workers, business associates and clergy.
(25) To have reasonable access to telephones, both to make and receive confidential calls, and to have such calls made for the client.
(26) To have ready access to letter writing materials, including stamps, and to mail and receive unopened correspondence.
(27) To refuse behavior modification techniques which cause pain or trauma.
(28) To refuse electroconvulsive therapy.
(29) To refuse psychosurgery notwithstanding the provisions of Sections 5325, 5326 and 5326.3 of the Welfare and Institutions Code. Psychosurgery means those operations currently referred to as lobotomy, psychiatric surgery and behavioral surgery and all other forms of brain surgery if the surgery is performed for any of the following purposes:
(A) Modification or control of thoughts, feelings, actions or behavior rather than the treatment of a known and diagnosed physical disease of the brain.
(B) Modification of normal brain function or normal brain tissue in order to control thoughts, feelings, actions or behavior; or
(C) Treatment of abnormal brain function or abnormal brain tissue in order to modify thoughts, feelings, actions or behavior when the abnormality is not an established cause of those thoughts, feelings, actions or behavior.
(30) To be permitted to purchase drugs or rent or purchase medical supplies or equipment in accordance with the provisions of Section 1320 of the Health and Safety Code.
(b) All rights specified in Section 76525(a)(1) through (6) that pertain to a client for whom a guardianship or conservatorship has been established shall devolve to such client's guardian or conservator if so authorized by the order establishing the guardianship or conservatorship. All rights specified in Section 76525(a)(1) through (6) that pertain to a minor client shall devolve to that client's parents, or to the client's guardian or conservator if so authorized by the order establishing the guardianship or conservatorship.
(1) For the purposes of Section 76525(a)(27), (28) and (29), if the client is a minor 15 years or over, the right to refuse may also be exercised by the client, or the client's authorized representative.
(2) If the client or the client's authorized representative does not exercise the right to refuse specified in Section 76525(a)(27), (28) and (29), such treatment or behavior modification may be provided only after securing the written informed consent of the client or the client's authorized representative and after review and approval of the human rights committee.
(c) Clients' rights, as set forth in Section 76525(a), may not be denied or withheld except that those rights listed under Section76525(a)(22) through (26) may be denied for good cause in accordance with the provisions of Section 76527, and only by the professional person in charge of the facility. Denial of these rights shall be documented immediately in the client's record. The documentation shall include:
(1) Specific right denied.
(2) Date and time of denial.
(3) Reason for denial.
(4) Signature of the professional person in charge of the facility.
(5) Anticipated date right will be reinstated.
(d) Denial shall be reviewed at least monthly by representatives of the interdisciplinary team and quarterly by the professional person in charge of the facility.
(e) The client shall be notified immediately of the right denied and the anticipated date of reinstatement.
(f) A copy of the rights listed in Section 76525(a), as written, shall be given to each client at admission and to the client's authorized representative. Signed receipt shall be maintained in the client's record. If the client is unable to read or understand the list of rights, notification shall be made in the record that the client was not given a copy of his or her rights for good cause and that an appropriate effort was made to explain the list of rights.
(g)A copy of clients' rights, as listed in Section 76525(a), as written and a translation in Spanish and other languages appropriate to the client population, shall be conspicuously posted in a prominent location in the facility and shall be accessible to public view.
(h) Each facility receiving Medi-Cal or any other state funds or services shall prominently display in the facility a copy of the provisions of Chapter 7 of Division 45 of the Welfare and Institutions Code and a copy of the facility's procedure for client grievance fair hearing, as required in that Chapter.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; Sections 1276, 1320, 1599, 1599.1, 131050, 131051 and 131052, Health and Safety Code; and Sections 4502, 4503, 4504 and 4505, Welfare and Institutions Code.
HISTORY

1. New subsection (a)(30) filed 10-21-81; effective thirtieth day thereafter (Register 81, No. 43).
2. Change without regulatory effect amending subsections (a)(1)-(2), adopting subsection (a)(7), renumbering former subsection (a)(7) to subsection (a)(8) and amending subsections (a)(11) and (f) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
3. Change without regulatory effect amending subsection (a)(9) and repealing subsection (i) filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§76527. Clients' Rights--Cause for Denial of Clients' Rights.
Note

(a) Good cause for denying a client the exercise of a right exists when the professional person in charge of a facility has good reason to believe:
(1) That the exercise of the specific right would be injurious to the client; or
(2) There is evidence that the specific right, if exercised would seriously infringe on the rights of others; or
(3) The facility would suffer serious damage if the specific right is not denied; and
(4) That there is no less restrictive way of protecting the interests specified in (1), (2) or (3).
(b) The reason used to justify the denial of a right to a client shall be related to the specific right denied.
(c) A right shall not be withheld or denied as a punitive measure, nor be considered a privilege to be earned nor as part of a client's individual program.
(d) Waivers signed by the client or by the responsible relative, guardian or conservator shall not be used as a basis for denying rights in a client's individual program. Any waivers of a client's rights shall be reviewed and approved by the clients' rights advocate.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code. Sections 4502, 4503, 4504, and 4505, Welfare and Institutions Code.
§76531. Clients' Rights--Complaint Procedure.
Note

(a) The list of rights that shall be posted, and provided or explained to the client shall contain:
(1) Notification that any client who believes a right of his or hers has been abused, punitively withheld or unreasonably denied may file a complaint with the clients' advocate or the local licensing office of the Department.
(2) The name of the clients' advocate and district administrator of the local licensing office who have been assigned to handle such complaints, their telephone numbers and the times during which they may be contacted.
(b) When a complaint is received by the clients' advocate, he or she shall, within two working days, take action to investigate and resolve it.
(c) If the complainant expresses dissatisfaction with the action taken, the matter shall be referred, within five working days, to the regional center director or executive director of the state hospital if the client is receiving services from a state hospital.
(d) If the complaint cannot be satisfactorily resolved by the regional center director or the executive director of the state hospital within 10 working days, it shall be referred to the Clients' Rights Officer, Department of Developmental Services, whose responsibility it shall be to make a decision in the case. Appeal from the decision of the Clients' Rights Officer may be made to the Director of the State Department of Developmental Services or designee.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code. Sections 4502, 4503, 4504, and 4505, Welfare and Institutions Code.
§76533. Clients' Rights--Reports of Clients' Rights Denied.
Note

(a) All facilities providing services to developmentally disabled clients shall submit reports on Department of Developmental Services approved forms of all clients' rights that have been denied. These reports shall be submitted to the agency that is designated in the procedures developed by the Department of Developmental Services.
(b) Each facility shall note in its report that, when a client is denied a specific right, the client's record is identifiable and can be located for purposes of analysis and investigation by the Department of Developmental Services.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1278, Health and Safety Code. Sections 4502, 4503, 4504, and 4505, Welfare and Institutions Code.
§76535. Client's Rights--Access to Denial of Rights Information.
Note

Information in a client's record pertaining to a denial of a right shall be available on request to the client, the client's parents, if the client is a minor, or the client's attorney or authorized representative and authorized agents or employees of the Department of Health Services and the Department of Developmental Services.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code. Sections 4502, 4503, 4504, and 4505, Welfare and Institutions Code.
§76539. Employees' Health Examination and Health Records.
Note

(a) The licensee and all employees working in the facility shall have a health examination within 6 months prior to employment or within 15 days after employment and at least annually thereafter by a person lawfully authorized to perform such examinations. Each such examination shall include a medical history, physical evaluation and laboratory work as indicated. The report signed by the examiner shall indicate that the individual is sufficiently free of disease to perform assigned duties and does not have ay health condition that would create a hazard for the employee, fellow employees, visitors or clients.
(b) The initial health examination and subsequent annual examination shall include a purified protein derivative intermediate strength intradermal skin test for tuberculosis or a chest X-ray. Positive reaction to the skin test shall be followed by a 35.56 cm x 43.18 cm (14” x 17”) chest X-ray.
(c) The facility shall maintain a health record of the administrator and each employee which includes reports of all employment-related health examinations. These records shall be kept for a minimum of three years following termination of employment.
(d) Employees known to have or evidencing signs or symptoms of infectious disease shall not be permitted to work until they submit a physician's certification that they are sufficiently free of infectious disease to return to their assigned duties.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76541. Employee Personnel Records.
Note

(a) All facilities shall maintain confidential employee records of all personnel. The record shall include the employee's full name, Social Security number, professional license or registration number, if any, employment classification, information as to past employment and qualifications, date of beginning employment and date of termination of employment and performance evaluations. Such records shall be retained for at least three years following termination of employment and shall be available to authorized agents or representatives of the Department upon request.
(b) Records of hours and dates worked by all employees during at least the most recent six-month period shall be kept on file at the place of employment or at a central location within the State of California. Such records shall be made available to the Department within one working day.
(c) A record of the registry staff utilized in the facility shall be kept and shall include the following:
(1) Employee's full name.
(2) Records of hours and dates worked.
(3) Professional license or registration number and date of expiration.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76543. Clients with Communicable Diseases.
Note

(a) Clients with a communicable disease shall not be cared for in the facility unless the following requirements are met:
(1) Any client diagnosed as having a reportable communicable disease or being in a carrier state who the attending physician determines is a potential danger to other clients or personnel, shall be accommodated in a room provided with a separate toilet, handwashing facility, soap dispenser and individual towels.
(2) The facility shall adopt and observe written procedures approved by the local health officer. Such procedures shall be posted at the appropriate location. The procedures shall outline the technique to be used in the case of clients with a communicable disease, and shall include:
(A) Handwashing upon entering and leaving client's room.
(B) Proper handling and disposal of infectious material.
(C) Procedures for medical and nursing personnel providing for proper isolation techniques.
(D) Health education provided to the client.
(E) Proper handling of dishes.
(F) Proper handling of client care equipment.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76545. Reporting of Communicable Disease.
Note

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

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76547. Reporting of Outbreaks.
Note

All cases of any outbreak or undue prevalence of infections or parasitic disease or infestation shall be reported to the local health officer in accordance with Section 2502, Article 1, Subchapter 4, Chapter 4, Title 17, California Administrative Code.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76549. Occurrence of Unusual Diseases.
Note

Any facility having knowledge of a case of an unusual disease shall convey the facts promptly to the local health officer.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76551. Unusual Occurrences.
Note

(a) Occurrences such as epidemic outbreaks, poisonings, fires, major accidents, deaths from unnatural causes or other catastrophes and unusual occurrences which threaten the welfare, safety or health of clients, personnel or visitors shall be reported by the facility within 24 hours either by telephone, with written confirmation, or by telegraph to the local health officer and the Department.
(b) In the event of any unusual occurrence, including serious illness or accident, impending death or death, the client's parent, guardian or authorized representative shall be notified promptly.
(c) An unusual occurrence report shall be retained on file by the facility for five years. The facility shall furnish such other pertinent information related to such occurrences as the local health officer or the Department may require. Every fire or explosion which occurs in or on the premises shall be reported within 24 hours to the local fire authority or in areas not having an organized fire service, to the State Fire Marshal.
(d) Any facility receiving a client exhibiting a physical injury or condition, which, in the opinion of the admitting physician, reasonably appears to be the result of neglect or abuse, shall report such fact by telephone, and in writing as soon as possible, not to exceed 36 hours, to the local police authority having jurisdiction, the local health department, placement agency and to the Department. Written reports in the client's health record shall state the character and extent of the physical injury or condition.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76553. Annual Reports.
Note

Each facility on or before the 15th day of February of each year shall file with the Department, upon forms furnished by the Department, a report for the preceding calendar year concerning all matters requested by the Department which are within the scope of its regulatory authority.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76555. Admission Agreement.
Note     •     History

(a) Each facility shall have a written agreement with each client or client's authorized representative. Such an agreement shall be completed prior to or at the time of admission. It shall be dated and signed by the licensee or licensee's authorized representative, the client, if possible, and the client's authorized representative and the placement agency, if a party to the contract. A new agreement shall be signed if there is any change in the terms of the original admission agreement. A signed copy of the admission agreement shall be provided to the client if appropriate, or the client's authorized representative and the placement agency, if any. A signed copy of the admission agreement shall be retained in the client's record. In state hospitals, the signing of the admission form and acceptance of admission packet shall meet the admission agreement requirement.
(b) The agreement shall specify:
(1) Services to be provided by the facility.
(2) Rate of charge for service.
(3) When and by whom payment shall be made.
(4) Conditions for modification of the agreement, including provisions for at least 30 days' prior written notice of any rate change. For the client whose care is funded at rates prescribed by government funded programs, the agreement may specify that the facility's rate may be changed effective on the operative date of any rate change made in that program.
(5) Conditions under which refunds shall be made, and the time period within which they shall be received.
(6) That services shall at all times be provided without discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status.
(7) Conditions under which the agreement may be terminated.
(8) That no client shall have his or her services summarily terminated by the licensee unless the client is clearly engaged in behavior which is a threat to property or to the safety of others in the facility.
(c) Prior to any termination of services to a client, the client's authorized representative or placement agency, if any, shall be notified.
(d) A written report of any summary termination of services to a client shall be sent to the local licensing office within five days.
(e) No licensee shall enter into any written or oral agreement with any person which releases the licensee or the licensee's employees from responsibility for providing the client with safe and healthful facilities, equipment and accommodations.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (b)(6) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
2. Change without regulatory effect amending subsections (b)(8)-(d) filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§76557. Client Records.
Note

(a) Records shall be permanent, either typewritten or legibly written in ink and shall be kept on all clients admitted or accepted for care. All records of discharged clients shall be completed and filed within 30 days after the discharge date and the records shall be kept for a minimum of 7 years, except for minors whose records shall be kept at least until 1 year after the minor has reached the age of 18, but in no case less than 7 years. If a facility operates an X-ray unit, all exposed X-ray film shall be retained for seven years. All required records, either originals or faithful and accurate reproductions shall be maintained in a legible form and available upon the request of the attending physician; the facility or any authorized officer, agent or employee of either the physician or the facility; any authorized employee or agent of the Department or any other person authorized by law to make a request.
(b) Information contained in a client's records, including information contained in an automated data bank, shall be considered confidential and shall be protected from unauthorized access or use and released only to authorized persons in accordance with federal, state and local laws.
(c) Written consent of the client, parent of a minor, guardian or authorized representative shall be required for the release of information to persons not otherwise authorized to receive it.
(d) If a facility ceases operation, the Department shall be informed within 24 hours of the arrangements made for the safe preservation of the client's records.
(e) The Department shall be informed within 48 hours, in writing, whenever client records are defaced or destroyed before termination of the required retention period.
(f) If the ownership of the facility changes, both the licensee and the applicant for the new license shall, prior to the change of ownership, provide the Department with written documentation stating:
(1) That the new licensee will have custody of the client's records and these records will be available to the former licensee, the new licensee and other authorized persons; or
(2) That other arrangements have been made by the current licensee for the safe preservation and the location of the client's records, and that they are available to both the new and former licensees and other authorized persons; or
(3) The reasons for the unavailability of the records.
(g) Client records shall be current and kept in detail consistent with good medical and professional practice based on the service provided to each client. Such records shall be filed and maintained in accordance with these requirements and shall be available for review by the Department. All entries in the client record shall be authenticated with the name, title classification, date and time.
(h) There shall be a master alphabetical index of all clients admitted to and currently clients of the facility.
(i) The facility shall maintain an organized central record service for the collection and dissemination of information regarding clients for the use of authorized personnel only.
(j) Client records shall be stored so as to be protected against loss, destruction or unauthorized use.
(k) Client records shall be filed in an easily accessible manner in the facility or in client record storage. Storage of records shall provide for prompt retrieval when needed for continuity of care. Client record storage off the facility premises shall be approved by the Department.
(1) The client record is the property of the facility and is maintained for the benefit of the client interdisciplinary team and facility and shall not be removed from the facility, except for storage purposes after client discharge.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76559. Admission Records.
Note     •     History

(a) A facility shall complete for each client an admission record which shall include the following:
(1) Name and Social Security number or other identifying number.
(2) Current address.
(3) Age and date of birth.
(4) Sex.
(5) Marital status.
(6) Date of admission.
(7) Date of discharge.
(8) Name, address and telephone number of next of kin, guardian, authorized representative and agency responsible for client.
(9) Name, address and telephone number of attending physician and of the podiatrist, dentist or clinical psychologist, if such practitioner is primarily responsible for the treatment of the client.
(10) Name, address and telephone number of the designated alternate physician.
(11) Admission diagnosis, known allergies and final diagnosis.
(12) Medicare and Medi-Cal numbers when appropriate.
(13) Reason for admission or referral problem.
(14) Type and legal status of admission.
(15) Legal competency status.
(16) Language spoken or understood.
(17) Information relevant to religious affiliation.
(18) Citizenship.
(19) Parents' marital status.
(20) Medication history, as required by Section 76589(a)(5).
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Amendment filed 2-8-83; designated effective 3-2-83 (Register 83, No. 7).
§76561. Content of Records.
Note

(a) A record shall be maintained for each client which shall include the following:
(1) Individual program plan.
(2) Report(s) of the preadmission evaluation(s).
(3) Reports of previous histories and evaluations.
(4) The statement of the client's developmental potential and service needs that can be used as a basis for programming and placement potential as required in Section 76313(a)(2).
(5) Drug and treatment orders.
(6) Diet orders.
(7) The comprehensive evaluation and individual program plan designed by an interdisciplinary team as required in Section 76313.
(8) Reports of accidents, seizures, illnesses and immunizations.
(9) Records of all periods of restraint with justification and authorization for each.
(10) Progress notes written by members of the interdisciplinary team at least monthly. In addition, progress notes will be written by members of the other disciplines who are requested to assess the client.
(11) Medications and treatments prescribed and recorded as given.
(12) Annual physical examination.
(13) Temperature, pulse and respiration where indicated.
(14) Reports of all laboratory tests and X-rays ordered.
(15) Discharge summary to include condition, diagnosis and final disposition.
(16) At the time of permanent release or transfer, a summary of findings, progress and plans shall be recorded.
(17) Physician orders, including drug, treatment and diet orders signed on each visit. Physicians' orders recapitulated as appropriate.
(18) Consent forms for prescribed treatment and medication.
(19) An inventory of all client's valuables made upon admission and discharge. The inventory list shall be signed by a representative of the facility and the client or the client's authorized representative with one copy retained by each. The inventory list shall include but not limited to the following:
(A) Items of jewelry.
(B) Items of furniture.
(C) Radios, televisions and other appliances.
(D) Prosthetic devices.
(E) Other valuable items so identified by the client, client's parents or authorized representative.
(20) Name, dosage and time of administration of drugs, the route of administration if other than oral and site of injection.
(21) Justification for the results of the administration of all PRN medications and the withholding of scheduled medications.
(22) Nursing progress notes for specific medical episodes.
(23) Program staff documentations shall include:
(A) A list of the client's problems or needs, as identified from the individual assessment.
(B) The program objectives for resolving problems or meeting needs of the client. These objectives shall be measurable, observable, within time frames and subject to frequent review and updating.
(C) A written plan for meeting the program objectives which shall include, but not be limited to the following:
1. Resources to be used.
2. Frequency of plan review and updating.
3. Persons responsible for carrying out the plan.
4. Evaluation criteria.
(D) A summary of the progress of the client shall be written at least monthly evaluating the program objectives, the success or failure of the plan and any other pertinent information.
(E) Temperature, intake of food and liquid, restraint observation, behavior counts and other similar items shall be recorded in a timely manner using a flow chart or other method which meets the approval of the Department.
(F) Height and weight shall be recorded as required in Section 76323(i) and (j).
(24) The client's admission record.
(b) Daily narrative notes are not required.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76563. External Disaster and Mass Casualty Plan.
Note

(a) A written external disaster and mass casualty plan shall be adopted. The plan shall be developed with the advice and assistance of county or regional and local planning offices and shall not conflict with county and community disaster plans. A copy of the plan shall be available on the premises for review by the Department.
(b) The plan shall provide procedures in event of community and widespread disasters. The written plan shall include at least the following:
(1) Sources of emergency utilities and supplies, including gas, water, food and essential medical and supportive materials.
(2) Procedures for assigning personnel and recalling off-duty personnel.
(3) A chart of lines of authority in the facility.
(4) Procedures for conversion of all usable space in client activity areas for immediate care of emergency admissions.
(5) Procedures for moving clients from damaged areas of the facility to undamaged areas.
(6) Procedures for emergency transfers of clients who can be moved to other health facilities, including arrangements for safe andefficient transportation.
(7) Procedures for emergency discharge of clients who can be discharged without jeopardy into the community, including prior arrangements for their care, arrangements for safe and efficient transportation and 24-hour follow up to ascertain the clients are receiving their required care.
(8) Procedures for maintaining a record of client relocation.
(9) An evacuation plan, including evacuation routes, emergency phone numbers of physicians, health facilities, the fire department and local emergency medical services agencies and arrangements for the safe transfer of clients after evacuation.
(10) A disaster tag containing all pertinent personal and medical information to accompany each client who is moved, transferred, discharged or evacuated.
(11) Procedures for maintaining security in order to keep relatives, visitors and curious persons out of the facility during a disaster, if necessary.
(12) Assignment of public relations liaison duties to a responsible individual to release information to the public during a disaster.
(c) The plan shall be brought up to date at least annually and all personnel shall be instructed in its requirements. There shall be evidence in the personnel files, or elsewhere indicating that all new employees have been oriented to the plan and procedures at the beginning of their employment.
(d) The facility shall participate in all local and state disaster drills and test exercises when asked to do so by the local or state disaster or emergency medical services agencies and no less than once a year. There shall be a written report of the facility's participation in each drill or test exercise.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76565. Fire and Internal Disasters.
Note

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

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76566. Disruption of Services.
Note

Each facility shall develop a written plan to be used when a discontinuance or disruption of service occurs.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76567. Client Identification.
Note

Each client shall be identified by wristband identification or other method which meets the approval of the Department.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76569. Safeguards for Clients' Monies and Valuables.
Note

(a) Each facility to whom a client's money or valuables have been entrusted shall comply with the following:
(1) No licensee shall mingle clients' monies or valuables with that of the licensee or the facility. Clients' monies and valuables shall be maintained separate, intact and free from any liability that the licensee incurs in the use of the licensee's or the facility's funds and valuables. The provisions of this section shall not be interpreted to preclude prosecution for the fraudulent appropriation of clients' monies or valuables as theft, as defined by Section 484 of the Penal Code.
(2) Each licensee shall maintain adequate safeguards and accurate records of clients' monies and valuables entrusted to the licensee's care, including the maintenance of a detailed inventory.
(A) Records of clients' monies which are maintained as a drawing account shall include a control account for all receipts and expenditures, supporting vouchers and receipts for all expenditures of monies and valuables entrusted to the licensee, an account for each client and supporting vouchers filed in chronological order. Each account shall be kept current with columns for debits, credits and balance. All of these records shall be maintained at the facility for a minimum of three years from the date of transaction. At no time may the balance in a client's drawing account be less than zero.
(B) Records of clients' monies and other valuables entrusted to the licensee for safekeeping shall include a copy of the receipt furnished to the client or to the client's authorized representative. Each item of client property entrusted to the licensee shall be clearly labeled as that client's.
(3) Clients' monies not kept in the facility shall be deposited in a noninterest-bearing trust account in a local bank authorized to do business in California, the deposits of which are insured by the Federal Deposit Insurance Corporation or in a federally insured bank or savings and loan association under a plan approved by the Department. If a facility is operated by a county, such funds may be deposited with the county treasurer. If the facility is operated by the State, such funds may be deposited with the State Treasurer. All banking records related to these funds, including but not limited to deposit slips, checks, canceled checks, statements and check registers, shall be maintained in the facility for a minimum of three years from the date of transaction. Identification as a client trust fund account shall be clearly printed on each client's trust account checks and bank statements.
(4) A separate list shall be maintained for all checks from client accounts which were returned uncashed to the account within the preceding three years.
(5) Expenditures, for a particular client, or group of clients from the client fund account as specified in (3) above may not exceed the drawing rights that client or group of clients have on the account unless written authorization is obtained from all other clients having drawing rights to that account. Expenditures from the client fund account shall only be for the immediate benefit of a particular client or group of clients. No more than one month's advance payment for care may be expended from a client's account at any given time.
(6) A person, firm, partnership, association or corporation which is licensed to operate more than one health facility shall maintain a separate demand trust account as specified in (3) above for each facility. Records relating to these accounts shall be maintained at each facility as specified in (2) above. Client funds shall not be commingled from one facility with another.
(7) When the amount of client's money entrusted to a licensee exceeds $500, all money in excess of $500 shall be deposited in a demand trust account as specified in (3) and (5) above unless a fireproof safe is kept and the licensee desires the protection accorded by Section 1860 of the Civil Code, the licensee shall give notice as provided by the section.
(8) Upon discharge of a client, all money and valuables of that client which have been entrusted to the licensee shall be surrendered to the client or authorized representative in exchange for a signed receipt. Money and valuables kept within the facility shall be surrendered upon discharge and those kept in a demand trust account or with the county or State Treasurer shall be made available within three normal banking days. Upon discharge, the client or authorized representative shall be given a detailed list of the client's valuables as required by Section 76561(a)(19) and a current copy of the debits and credits of the client's monies.
(9) Within 30 days following the death of a client, except in a coroner or medical examiner case, all money and valuables of that client which have been entrusted to the licensee shall be surrendered to the executor, the administrator or guardian of the client's estate in exchange for a signed receipt, or to any person or that person's authorized representative having the right by law to succeed to the decedent's property, upon presentation of a statement signed under penalty of perjury declaring such person's right to receive the property. Whenever a client without known heirs dies, immediate written notice shall be given by the facility to the public administrator of the county as specified by Section 1145 of the California Probabe Code and a copy of the notice shall be filed with the Department.
(10) Upon change of ownership of a facility, a written verification by a public accountant of all client's monies which are being transferred to the custody of the new owners shall be obtained by the new owner in exchange for a signed receipt.
(11) Upon closure of a facility, a written verification by a public accountant of all clients' monies shall be submitted to the Department and all clients' monies shall be transferred with the client.
(12) The facility shall have written policies and procedures that protect the financial interests of clients and shall provide for counseling in management of their funds.
(b) Property used by more than one client shall be purchased either with the funds of the clients who use it or by the facility.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76570. Liability for Rent and Return of Rental Advance.
Note     •     History

(a) This section shall apply to all hiring agreements executed on or after January 1, 1979.
(b) Whenever accommodations in an intermediate care facility for the developmentally disabled are rented by or for a client on a month to month basis, the renter or his heir, legatee or personal representative shall not be liable for any rent due under the rental agreement for accommodations beyond the date on which the client died.
(c) Any advance payment of rent by the renter shall be returned to the heir, legatee or personal representative of the client no later than two weeks after the death of the client.
(d) The rights described in subsections (b) and (c) of this section shall not be modified or waived in the rental agreement.
NOTE

Authority cited: Sections 208 and 1275, Health and Safety Code. Reference: Section 1934.5, Civil Code.
HISTORY

1. New section filed 12-6-79; effective thirtieth day thereafter (Register 79, No. 49).
§76571. Equipment and Supplies.
Note

(a) Equipment and supplies in each facility shall be of the quality and in the quantity necessary for care of clients as ordered or indicated. These shall be provided and properly maintained at all times and shall include at least the following:
(1) Airways.
(2) Appropriate record forms.
(3) Assistive devices, equipment, supplies and instructions for use as required by clients.
(4) Bedpans.
(5) Catheter clamps.
(6) Clerical supplies and equipment.
(7) Denture cups.
(8) Drug service trays or carts.
(9) Ear syringes.
(10) Emergency oxygen supply and equipment for administration.
(11) Emesis basins.
(12) Examination light.
(13 First aid equipment and supplies, as determined by the client care policy committee, readily available at all times.
(14) Flashlights.
(15) Gloves (sterile and unsterile).
(16) Ice caps.
(17) Medicine droppers.
(18) Medicine glasses, cups or other small containers which are accurately calibrated.
(19) Ophthalmoscope/Otoscope.
(20) Rectal speculum.
(21) Refrigerator with a reliable thermometer.
(22) Rubber tubing.
(23) Scales for clients' use.
(24) Shower and commode chairs, wheelchairs, walkers, canes and crutches.
(25) Soap for bathing.
(26) Soap dishes.
(27) Sphygmomanometers.
(28) Sterile dressings.
(29) Stethoscopes.
(30) Suction apparatus.
(31) Suture tray.
(32) Suture removal equipment.
(33) Syringes and needles.
(34) Test supplies necessary to perform urine sugar and acetone testing.
(35) Thermometers, oral and rectal.
(36) Tongue depressors.
(37) Urinals.
(38) Vaginal speculum.
(39) Wash basins.
(40) Water pitchers.
(b) The facility shall provide current authoritative, pertinent, reference materials related to all services provided, which include but are not limited to:
(1) Dictionaries, medical and standard.
(2) Directories of available community resources.
(3) Drug monographs on all drugs in use in the facility. Such monographs shall include information concerning generic and brand names if applicable, available strengths and dosage forms and pharmacological data including indications and side effects.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 5. Physical Plant
§76601. Alterations to Existing Buildings or New Construction.
Note

(a) Alterations to existing buildings licensed as intermediate care facilities for the developmentally disabled or new construction shall be in conformance with Chapter 1, Division T17, Part 6, Title 24, California Administrative Code.
(b) Facilities licensed or exempt from licensure and in operation prior to the effective date of changes in construction regulations shall not be required to institute corrective alterations or construction to comply with such new requirements except where specifically required or where the Department determines in writing that a definite hazard to health and safety exists. Any facility for which preliminary or working drawings and specifications have been approved by the Department prior to the effective date of changes to construction regulations shall not be required to comply with such new requirements provided substantial actual construction is commenced within one year of the effective date of such new requirements.
(c) All facilities shall maintain in operating condition all buildings, fixtures and spaces in the numbers and types as specified in the construction requirements under which the facility or unit was first licensed.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76603. Application for Plan Review.
Note

Drawings and specifications for alterations to existing buildings or new construction shall be submitted to the Department for approval and shall be accompanied by an application for plan review on forms furnished by the Department. The application shall meet the requirements of California Administrative Code, Title 22, Division 7, Chapter 6, Article 1, Sections 93001 through 93019.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76605. Space Conversion.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 17007, Health and Safety Code.
§76607. Notice to Department.
Note

The Department shall be notified, in writing, by the owner or licensee of the facility within five days of the commencement of any construction, remodeling or alterations to such facility.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76609. Client Capacity.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76611. Client Rooms.
Note

(a) Each client's bedroom shall have a name, numeral, letter or symbol for identification.
(b) Client rooms shall not be locked when occupied unless the client has the means to easily unlock the door.
(c) The facility shall conspicuously post in a prominent location a directional guide to clients' rooms.
(d) Only upon the written approval of the Department may any exit door, corridor door, yard enclosure or perimeter fence be locked to egress.
(e) Each client shall be provided clean, comfortable and reasonably private living accommodations with no more than four clients occupying a room. Any deviation from this requirement shall be justified on the basis of meeting program needs of the specific clients being served. Such justification shall be provided by the attending physician or a psychologist. Approval for more than four clients per room shall be given only by the Medical Social Review Team.
(f) Clients shall be accommodated only in rooms which have been approved by the Department and which have the following minimum floor area:
(1) Single rooms: 7.2 square meters (80 square feet).
(2) Multibed rooms: 5.4 square meters (60 square feet per bed).
(g) Rooms approved by the State Fire Marshal, or designee, for ambulatory clients only shall not accommodate nonambulatory clients; however, this does not prohibit the mixing of ambulatory and nonambulatory clients according to their developmental needs, so long as such room assignment is consistent with fire clearance.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76613. Client Property Storage.
Note

(a) Each client shall be provided:
(1) Furniture appropriate to the client's needs, such as a chest of drawers, a table or desk, and an individual closet with clothes racks and shelves accessible to the client.
(2) Suitable storage for personal possessions, such as toys and individual prosthetic equipment, so that they are accessible to the client.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76615. Client Room Furnishings.
Note

(a) Each client shall be provided in the client's room, at least the following:
(1) A separate bed of proper size and height.
(2) A clean, comfortable mattress.
(3) Bedding appropriate for weather and climate and in good repair.
(4) Proper means for illumination.
(5) Overbed tables as needed by client.
(6) Chair, as needed by client.
(b) The facility shall permit each client to bring some personal furniture from home providing that all furniture items are in accordance with fire and safety laws and regulations.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76617. Recreation and Dining Areas.
Note

Lounge, recreation and dining areas shall be provided apart from sleeping quarters.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76619. Provision for Privacy.
Note

Visual privacy for each client shall be provided in client rooms, tub, shower and toilet rooms. Doors providing access to the corridor shall not be considered as meeting this requirement.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76621. Telephone.
Note

(a) A telephone shall be available for client use for private conversation.
(b) The telephone shall be at an appropriate height for use by clients in wheelchairs.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76623. Space and Equipment for Autoclaving, Sterilizing and Disinfecting.
Note

(a) Facilities shall maintain sterilized supplies by one of the following:
(1) Disposable sterile supplies.
(2) Contractual arrangements for outside sterilizing services.
(3) Autoclave equipment and space for sterilizing goods on premises.
(b) Such autoclaving and sterilizing space shall include but not be limited to the following:
(1) Work space.
(2) Sterilizing space.
(3) Storage space for sterile supplies.
(4) Storage space for unsterile supplies.
(5) Equipment for cleanup and sterilization of dressings, utensils, supplies and solutions.
(6) Effective separation of soiled and contaminated supplies from the clean and sterilized supplies and equipment.
(7) Sterile supplies and equipment which shall be stored in clean cabinets.
(8) An orderly system of rotation of supplies which shall be used so that supplies stored first shall be used first and shall be reautoclaved before outdating.
(c) Autoclaves and sterilizers shall be maintained in operating condition at all times.
(d) Autoclaves shall be equipped with recording thermometers in addition to the standard mercury thermometers, except for portable sterilizers and autoclaves.
(e) Instructions for operating autoclaves and sterilizers shall be posted in the area where the autoclaves and sterilizers are located.
(f) Written procedures shall be developed, maintained and available to and implemented by personnel responsible for sterilization of supplies and equipment that include, but are not limited to the following:
(1) Time, temperature and pressure for sterilizing the various bundles, packs, dressings, instruments, solutions or other supplies.
(2) Cleaning, packaging, storing and issuance of supplies and equipment.
(3) Dating and outdating of materials sterilized.
(4) Loading of the sterilizer.
(5) Checking of recording and indicating thermometers. Recording thermometer charts shall be on file for one year.
(6) Monthly bacteriological test, and bacterial mechanism used and filing for one year of the test results.
(7) Length of aeration time for materials gas-sterilized.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76625. Centralized Services Shared by Several Facilities.
Note

Nothing in these requirements shall prohibit the provision of required services from a centralized service facility serving two or more licensed facilities when approved in writing by the Department.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76627. Special Rooms.
Note

At least one room shall be designated for use as a special room for isolation of clients suspected of or diagnosed as having an infectious disease. Each special room shall be maintained with adjoining toilet and handwashing facilities which are not shared with other clients.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76629. Housekeeping.
Note

(a) Each facility shall routinely clean articles and surfaces such as furniture, floors, walls, ceilings, supply and exhaust grills and lighting fixtures.
(b) There shall be routines and procedures indicating daily, weekly and monthly cleaning schedules, for all areas of the facility.
(c) There shall be cleaning supplies and equipment available to housekeeping staff to meet the needs of the facility.
(1) Cleaning supplies and equipment shall be stored in rooms for housekeeping use only and shall not be accessible to clients unless so specified in the client's individual program plan.
(2) A commercial detergent germicide shall be used for all cleaning.
(3) Mop heads shall be removable and changed after each day's use.
(d) There shall be housekeeping personnel to maintain the interior of the facility in a safe, clean, orderly and attractive manner free from offensive odors.
(e) A person qualified by experience and training shall be in charge of the housekeeping department.
(f) Janitor's closets, service sinks and storage areas shall be maintained to meet the needs of the facility.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76631. Laundry.
Note

(a) When a facility operates its own laundry, such a laundry shall be:
(1) Located in relationship to other areas so that steam, odors, lint and objectionable noises do not reach client or personnel areas.
(2) Well-lighted, ventilated, clean and sanitary and shall meet the needs of the facility.
(3) Provided with laundry equipment of suitable capacity, kept in good repair and maintained in sanitary condition.
(b) Laundry areas shall provide at a minimum, the following:
(1) Clean linen and soiled linen shall each be stored in separate rooms maintained for that purpose.
(2) Handwashing and toilet facilities shall be maintained at locations convenient to the laundry for personnel.
(3) Linen carts shall be labeled “soiled” or “clean linen” and shall be made of washable materials and laundered or suitably cleaned daily.
(c) If the facility does not maintain a laundry service, the commercial laundry utilized shall meet the standards of this Section.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76633. Linen.
Note

(a) Linen services shall be managed so that daily clothing and linen needs are met without delay.
(b) There shall be written procedures pertaining to the handling, storage, transportation and processing of linens.
(c) A supply of clean wash cloths and towels shall be provided and available to meet the needs of each client.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76635. Soiled Linen.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76637. Clean Linen.
Note

(a) Clean linen shall be stored, handled and transported in a way that precludes cross contamination.
(b) Clean linen shall be stored in clean, ventilated closets, rooms, or alcoves used only for that purpose.
(c) Clean linen from a commercial laundry shall be delivered to a designated clean area.
(d) Linens shall be maintained in good repair.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76639. Provisions for Emptying Bedpans.
Note

(a) Bedpans shall be cleaned in utility or hopper rooms unless toilets adjoining clients' rooms are equipped with flushing attachments and vacuum breakers. Bathtubs, lavatories or laundry trays shall not be used for cleaning bedpans.
(b) Bedpan covers shall be provided and shall not be used interchangeably.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76641. Client Call Systems.
Note

The facility shall provide a means of communication for clients which enables clients, when in need of attention, to signal staff.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76643. Utility Rooms.
Note

(a) Utility rooms shall be maintained in each health support area and shall be designed for separation of clean and dirty work areas. The following spaces and equipment shall be maintained as a minimum:
(1) Work counters.
(2) Cabinets.
(3) Rim-flush clinic sink with an integral 7.6 centimeter (3-inch) trap and wasteline flushometer valve and hot and cold water supply.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76645. Handrails.
Note

Corridors shall be equipped with properly secured handrails when necessary.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76647. General Maintenance.
Note

(a) The facility, including grounds, shall be maintained in a clean and sanitary condition, and in good repair at all times to insure safety and well being of clients, staff and visitors.
(b) Buildings shall be free of pollutants such as noise, vermin, flies and other insects as may adversely affect the health or welfare of clients.
(c) All buildings, fixtures, equipment and spaces shall be maintained in operable condition.
(d) Paint used inside the facility shall be lead-free. Old paint or plaster containing lead shall have been removed or covered in such a manner that it is not accessible to clients.
(e) There shall be personnel for preventive maintenance and to carry out the required maintenance program.
(f) Floors shall provide a resilient, nonabrasive and slip-resistant surface. Carpeting used in units serving clients who crawl or creep shall be nonabrasive.
(g) Equipment provided must meet any and all applicable California Occupational Safety and Health Act requirements in effect as of the time of purchase. All portable electrical equipment designed for 110-120 volts, 60 hertz current shall be equipped with a 3-wire grounded power cord with a hospital grade 3-prong plug. The cord shall be an integral part of the plug. Nothing in this Section shall preclude the use of small nonhospital electrical appliances.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76649. Air Filters.
Note

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

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76651. Emergency Lighting and Power System.
Note     •     History

(a) Auxiliary lighting and power facilities shall be readily available in case of necessity. Flashlights shall be in readiness for use at all times. Open-flame type of light shall not be used.
(b) The licensee shall provide and maintain an emergency electrical system in safe operating condition and in compliance with subsections (d), (e) and (f). The system shall serve all lighting, signals, alarms and equipment required to permit continued operation of all necessary functions of the facility for a minimum of six hours.
(c) If the Department determines that an evaluation of the emergency electrical system of a facility or portion thereof is necessary, the Department may require the licensee to submit a report by a registered electrical engineer which shall establish a basis for alteration of the system to provide reasonable compliance with Subarticle E702-B, Part 3, Title 24, California Administrative Code (Emergency Electrical Systems for Existing Nursing Homes). Essential engineering data, including load calculations, assumptions and tests, and where necessary, plans and specifications acceptable to the Department, shall be submitted in substantiation of the report. When corrective action is determined to be necessary, the work shall be initiated and completed within an acceptable time limit.
(d) The emergency lighting and power system shall be maintained in operating condition to provide automatic restoration of power for emergency circuits within 10 seconds after normal power failure.
(e) Emergency generators shall be tested as follows:
(1) Non-diesel generators installed in the facilities shall be tested under load conditions for at least 30 minutes at intervals of not less than 14 days.
(2) Diesel generators installed in intermediate care facilities for the developmentally disabled shall be tested as required by Health and Safety Code, section 41514.1.
(f) A written record of inspection, performance, exercising period and repairs shall be regularly maintained and available for inspection.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adding new subsection (e), redesignating and amending former subsection (e) as new subsection (e)(1), adding new subsection (e)(2) and amending Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§76653. Storage and Disposal of Solid Waste.
Note

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

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76655. Solid Waste Containers.
Note     •     History

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

Authority cited: Sections 208(a) and 1254, Health and Safety Code. Reference: Sections 1250, 1275 and 25157.3, Health and Safety Code.
HISTORY

1. Repealer of subsection (e) filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer of subsection (e) filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-26-84 (Register 84, No. 42).
§76657. Infectious Waste.
Note     •     History

Infectious waste, as defined in Health and Safety Code Section 25117.5, shall be handled and disposed of in accordance with the Hazardous Waste Control Law, Chapter 6.5, Division 20, Health and Safety Code (beginning with Section 25100) and the regulations adopted thereunder (beginning with Section 66100 of this Title).
NOTE

Authority cited: Sections 208, 1254, 25150 and 25157.3, Health and Safety Code. Reference: Sections 1250, 25117 and 25117.5, Health and Safety Code.
HISTORY

1. Repealer and new section filed 12-30-83 as an emergency; effective upon filing (Register 84, No. 3). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-29-84.
2. Certificate of Compliance transmitted to OAL 4-30-84 and withdrawn 5-30-84 (Register 84, No. 24).
3. Repealer and new section filed 5-30-84 as an emergency; effective upon filing (Register 84, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-27-84.
4. Certificate of Compliance transmitted to OAL 9-26-84 and filed 10-26-84 (Register 84, No. 42).
§76659. Gases for Medical Use.
Note

(a) Gases for medical use covered by this section are: carbon dioxide, cyclopropane, ethylene, helium, nitrous oxide, oxygen, helium-oxygen mixtures and carbon dioxide-oxygen mixtures.
(b) Provision shall be made for safe handling and storage of medical gas cylinders.
(c) Transfer of gas by facility personnel from one cylinder to another shall be rohibited.
(d) The piped oxygen on nitrous oxide system(s) shall be tested in accordance with the National Fire Protection Association Bulletin, NFPA No. 56F, Nonflammable Medical Gas Systems 1973 by the National Fire Protection Association, 470 Atlantic Avenue, Boston, MA 02210 and a written report shall be maintained in each of the following instances:
(1) Upon completion of initial installation.
(2) Whenever changes are made to a system.
(3) Whenever the integrity of a system has been breached.
(e) Oxygen Equipment.
(1) Humidifier bottles on oxygen equipment shall be sanitized after each use and shall be changed every 24 hours.
(2) Only distilled water shall be used in humidifier bottles.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76661. Water Supply and Plumbing.
Note

(a) Where water for human consumption is from an independent source, it shall be subjected to bacteriological analysis by the local health department, the Department or a licensed commercial laboratory at least every three months. A copy of the most recent laboratory report shall be available for inspection.
(b) Plumbing and drainage facilities shall be maintained in compliance with Part 5, Title 24, California Administrative Code, Basic Plumbing Requirements. Drinking water supplies shall comply with Group 4, Subchapter 1, Chapter 5, Division T17, Part 6, of Title 24, California Administrative Code.
(c) Vacuum breakers shall be maintained in operating condition where required by Section T17-210(c), Division T17, Part 6, Title 24, California Administrative Code.
(d) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures used by clients to attain a hot water temperature not less than 40.5oC (105oF) and not more than 48.8oC (120oF).
(e) Hot water at a minimum temperature of 83oC (180oF) at the manifold shall be maintained at the final rinse section of dishwashing facilities unless alternate methods are approved by the Department.
(f) Taps delivering water at 51.6oC (125oF) or above shall be prominently identified by warning signs in letters at least five centimeters (two inches) high. Special precautions shall be taken to prevent the scalding of clients.
(g) Grab bars shall be maintained at toilets, bathtubs and showers as needed by clients.
(h) Toilet, handwashing and bathing facilities shall be maintained in operating condition.
(i) If the facility accepts physically handicapped clients, water closets, drinking fountains, and bathing and toileting appliances shall be equipped for use by the physically handicapped.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76663. Lighting.
Note

(a) All rooms, attics, basements, passageways and other spaces shall be provided with artificial illumination.
(b) Adequate illumination shall be provided for the safety and comfort of clients and personnel.
(c) Each living unit shall have a minimum of 30 foot-candles of light delivered to reading or working surfaces and not less than 10 foot-candles of light in the rest of the unit.
(d) All corridors, storerooms, stairways, ramps, exits and entrances shall have a minimum of five foot-candles of light measured in the darkest corner.
(e) Lighting fixtures shall have suitable enclosures to control fixture brightness and to prevent accidental lamp breakage. Where exposed lamp fixtures are permitted in closets, storage spaces, equipment rooms and similar areas, suitable guards shall be installed in locations where accidental lamp breakage could be hazardous to personnel.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76665. Maintenance Manual.
Note

(a) A written manual on maintenance of heating, air conditioning and ventilation systems shall be adopted by each facility.
(b) A maintenance log shall be maintained.
(c) Where maintenance is performed by an equipment service company, a certification shall be provided to the licensee that the required work has been performed in accordance with acceptable standards. This certification shall be retained on file in the facility.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76667. Mechanical Systems.
Note

(a) Heating, air conditioning and ventilating systems shall be maintained in normal operating conditions to provide a comfortable temperature. These systems shall meet the construction requirements of Title 24 of the California Administrative Code in effect at the time plans were approved for the facility.
(b) Temperature and humidity shall be maintained within a normal comfort range by heating, air conditioning or other means. The heating apparatus employed shall not constitute a burn hazard to the clients.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76669. Screens.
Note

Where necessary to protect against flies and other insects, screens of 6 mesh per centimeter (16 mesh per inch) shall be provided on doors and windows. Screen doors shall be of a type and installed as approved by the State Fire Marshal.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76671. Storage.
Note

(a) General and specialized storage space shall be adequate and maintained to meet the needs of clients, for efficient operation of the facility and as required at the time of licenser. Storage shall not be permitted in air distribution chambers of heating, air conditioning or ventilating systems.
(b) Facilities shall maintain combined general and specialized storage in accordance with the following schedule:

1-10 beds 	11 square meters (120 square feet) minimum.
11-100 beds 	1.1 square meters (12 square feet) per bed.
over 100 beds 	111 square meters plus 0.5 square meters
	(1,200 square feet plus 5 square feet) per
	bed for each bed over 100.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76673. Space.
Note

(a) All spaces located in the facility or internally connected to a licensed facility shall be considered a part of the facility and subject to licensing regulations.
(b) Space and equipment shall be provided to meet the program, physical and medical needs of clients.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76675. Ice.
Note

(a) Ice which is used in connection with food or drink shall be from a sanitary source and shall be handled and dispensed in a sanitary manner.
(b) Ice scoops shall be handled and stored in a sanitary manner.
(c) Bacteriological sampling procedures shall be carried out when indicated by specific problems or epidemiological findings.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76677. Cleaning, Disinfecting and Sterilizing.
Note

(a) A written manual on cleaning, disinfecting and sterilizing procedures shall be adopted. The manual shall include procedures used in the care of utensils, instruments, solutions, dressings, articles and surfaces and shall be available at all times for use by facility personnel. All procedures shall be carried out in accordance with the manual.
(b) Each facility shall make provision for the cleaning and disinfection of contaminated articles and surfaces which cannot be sterilized.
(c) Bedside equipment including but not limited to washbasins, emesis basins, bedpans and urinals shall be sanitized only by one of the following methods:
(1) Submersion in boiling water for a minimum of 30 minutes.
(2) Autoclaving at 15 pounds pressure and 44.5oC (121oF) for 20 minutes.
(3) Gas sterilization.
(d) The use of chemicals is not approved as a substitute for the methods listed in (c) above.
(e) Electronic thermometers shall be cleaned and disinfected according to the manufacturer's instructions. Glass thermometers shall be cleaned and then disinfected for at least 10 minutes, with 70 to 90 percent ethyl alcohol or 99 percent isopropyl alcohol with 0.2 percent iodine. Oral and rectal thermometers shall be stored separately, in clean, labeled containers with fitted lids.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76679. Health Support Area.
Note

(a) A health support area shall be maintained in each living unit.
(b) Health support areas shall be maintained with a cabinet, a desk, space for records, a bulletin board, a telephone and a specifically designated and well-illuminated medicine storage compartment with a lockable door. If a separate medicine room is maintained, it shall have a lockable door and a medicine sink with water connections for care of equipment and handwashing. If a nourishment refrigerator is used, that appliance shall:
(1) Be located in a clean area not subject to contamination.
(2) Maintain temperatures at or below 7oC (45oF) for chilling.
(3) Maintain freezer at minus 7oC (20oF).
(4) Have a reliable thermometer in refrigerator at all times.
(5) Contain refrigerated foods which are covered, clearly labeled and dated.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76681. Pest Control Program.
Note

The facility shall be maintained free from insects and rodents through operation of a pest control program. The pest control program shall include main client buildings, all out buildings on the property and all adjacent grounds.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 6. Violations and Civil Penalties
§76701. Definitions.
Note

(a) The following definitions shall apply to this Article:
(1) “Substantial probability” means that the more likely consequence of a violation is death or serious physical harm to a client.
(2) “Serious physical harm” means that type of bodily injury in which:
(A) A part of the body would be permanently removed, rendered functionally useless, or substantially reduced in capacity, either temporarily or permanently, or
(B) A part of an internal function of the body would be inhibited in its normal performance to such a degree as to shorten life or cause reduction in physical or mental capacity.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76703. Class “A” Violations.
Note

A class “A” violation is any violation of a statute or regulation relating to the operation or maintenance of any facility which presents an imminent danger to the clients of the facility or a substantial probability that death or serious physical harm would result therefrom. A physical condition or one or more practices, means, methods or operations in use in a facility may constitute such a violation.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1424(a), Health and Safety Code.
§76705. Class “B” Violations.
Note

A class “B” violation is any violation of a statute or regulation relating to the operation or maintenance of any facility which has a direct or immediate relationship to the health, safety or security of the clients of the facility, other than class “A” violations.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1424(b), Health and Safety Code.
§76707. Class “C” Violations.
Note

A class “C” violation is any violation of a statute or regulation relating to the operation or maintenance of any facility which the Department determines has only a minimal relationship to the health or safety of facility clients.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1427, Health and Safety Code.
§76709. Filing of Names and Addresses.
Note

(a) The licensee of each facility shall file with the Department the address of the licensee to which all citations and notices concerning any class “A” or class “B” violations shall be mailed by the Department.
(b) Each such licensee shall also designate one or more persons who is authorized to accept on the licensee's behalf any citations to be served by any representative of the Department.
(c) Each such licensee shall file with the Department the names or titles of those persons who are such designees of the licensee.
(d) Each such licensee shall also file with the Department a written notice of any change in address or of any change of designee. The Department shall mail all citations or notices to the latest address on file with the Department.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 1276, Health and Safety Code. 
§76711. Complaints.
Note

(a) Any person may request an inspection of any facility by giving notice to the Department of an alleged violation of applicable requirements of law or regulations.
(b) Any such notice shall be in writing, signed by the complainant and shall set forth with reasonable particularity the matters complained of. The substance of the complaint shall be provided to the licensee no earlier than at the commencement of the inspection. Neither the name of the individual complainant nor other person mentioned in the complaint shall be disclosed by the Department, unless the complainant specifically requests the release of such name or names or the matter results in a judicial proceeding.
(c) Upon the request of either the complainant or the Department, the complainant or complainant's representative or both may be allowed to accompany the inspector to the site of the alleged violations during the inspector's tour of the facility, unless the inspector determines that the privacy of any client would be violated.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276, 1419, and 1420, Health and Safety Code.
§76713. Issuance of Citations.
Note

(a) When a routine visit, survey or investigation of a complaint is conducted and the representative of the Department determines that a facility is in violation of any statutory provision or regulation relating to the operation or maintenance of such facility, except with respect to violations determined to have only a minimal relationship to safety or health, the surveyor shall promptly, but not later than three days, excluding Saturdays, Sundays and holidays, after the date of inspection, or after the completion of inspection, issue a citation to the licensee.
(b) The citation shall be served personally upon the licensee or designee by the representative of the Department. If the licensee is not served personally, a copy of the citation shall be sent by registered or certified mail to the licensee.
(c) The district administrator, Facilities Licensing Section, for the district in which the facility is located or his designee shall review the alleged violation and shall fix the amount, if any, of the civil penalty to be imposed by the Department. The Department shall serve the licensee personally or by registered or certified mail, within four business days of the date of the issuance of the citation, with a written notice of the amount, if any, of the proposed civil penalty. The person who issued the citation shall not serve at any time as the designee of the district administrator under any provision of this Article.
(d) Each citation shall be in writing and shall include at least the following:
(1) A description of the nature of the violation fully stating the manner in which the licensee violated a specified statutory provision or regulation, and the particular place or area of the facility in which it occurred. The name of any client jeopardized by the violation shall not be specified in the citation in order to protect the privacy of the client. However, at the time the licensee is served with the citation, the licensee shall also be served with a written list of each of the names of the clients alleged to have been jeopardized by the violation. If the violation jeopardized all of the clients of the entire facility or all clients in any particular portion, wing or ward of the facility, such fact shall be specified in the citation, and a written list of the names of the clients involved is not required to be furnished to the licensee.
(2) The earliest feasible time for the elimination of the condition constituting the violation. Such time shall be the shortest possible time within which the licensee reasonably can be expected to correct the alleged violation. In prescribing such time, the Department shall consider the following factors:
(A) The seriousness of the alleged violation.
(B) The number of clients affected.
(C) The availability of required equipment or personnel.
(D) The estimated time required for delivery, and any installation, of required equipment.
(E) Any other relevant circumstances.
(3) The name, address and telephone number of the district administrator of the district in which the facility is located.
(e) If a citation is issued as the result of the investigation of a signed, written complaint to the Department, a copy of the citation shall be sent to each person or organization who filed the written complaint.
(f) No licensee shall be cited for any violation caused by any person licensed pursuant to the State Medical Practice Act, Chapter 5, commencing with Section 2000, of Division 2 of the Business and Professions Code, if such person is independent of and not connected with the licen--see and the licensee shows that he or she has exercised reasonable care and diligence in notifying such persons of their duty to the clients in the licensee's facility.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1423, Health and Safety Code.
§76715. Penalties.
Note

(a) The condition or practice constituting a class “A” violation shall be abated or eliminated immediately, unless a fixed period of time, as determined by the Department, is required for correction. A class “A” violation is subject to a civil penalty in an amount not less than $1,000 and not exceeding $5,000 for each and every violation. In fixing the amount of the civil penalty to be imposed for a class “A” violation, the district administrator, or designee, shall consider:
(1) The gravity of the violation, which shall include:
(A) The degree of substantial probability that death or serious physical harm to a client will result and, if applicable, did result from the violation.
(B) The severity of serious physical harm most likely to result and, if applicable, that did result from the violation.
(C) The extent to which the provisions of the applicable statutes or regulations were violated.
(2) The “Good Faith” exercised by the licensee. Indications of good faith include awareness of the applicable statutes and regulations, and reasonable diligence in complying with such requirements, prior accomplishments manifesting the licensee's desire to comply with such requirements, and any other mitigating factors in favor of the licensee.
(3) Any previous violations committed by the licensee.
(b) A class “B” violation is subject to a civil penalty in an amount not less than $50 and not exceeding $250 for each and every violation. A citation for a class “B” violation shall specify the time within which the violation is required to be corrected. If a class “B” violation is corrected within the time specified, no civil penalty shall be imposed.
(c) A class “C” violation is not subject to any monetary civil penalty. A notice of all such violations shall be issued and an appropriate plan of correction obtained at the time of completion of inspection.
(d) Where a licensee has failed to correct a class “A” or a class “B” violation within the time specified in the citation, the Department shall assess the licensee a separate civil penalty in the amount of $50 for each day that the particular violation continues beyond the date specified for correction.
(e) The civil penalties authorized shall be trebled for a second or subsequent violation of the same regulation occurring within any 12-month period if a citation was issued for the previous violation occurring within such period and a civil penalty was assessed.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276, 1410, 1424, and 1425, Health and Safety Code.
§76717. Review Procedures.
Note

(a) If a licensee does not wish to contest a citation, he or she may transmit to the Department within 4 business days after the issuance of the citation, the sum of $1,000 for each class “A” violation and the sum of $50 for each class “B” violation.
(b) If a licensee desires to contest a citation, the assessment of a proposed civil penalty, or the date specified for correction of a violation, the licensee shall, within four business days after service of the citation or assessment of the proposed civil penalty, as the case may be, serve upon the district administrator or designee, either personally or by registered or certified mail, the licensee's written notice that:
(1) An informal conference be scheduled to review the matter with the district administrator or designee; or
(2) The case be presented to the Superior Court for appropriate action.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1428, Health and Safety Code.
§76719. Informal Conference.
Note

(a) The district administrator or designee shall hold, within four business days from the receipt of the licensee's request, an informal conference.
(1) The licensee shall have the right to be represented by legal counsel, to present oral and written evidence or other information on its behalf, and to explain any mitigating circumstances.
(2) The representatives of the Department who issued the citation should attend the conference and present whatever evidence or information, oral or written, in substantiation of the alleged violation.
(3) The conference shall be a simple informal proceeding, and shall not be conducted in the manner of a judicial hearing or as a hearing under the Administrative Procedure Act, Chapter 5, commencing with Section 11500, of Part 1 of Division 3 of Title 2 of the Government Code, and need not be conducted according to technical rules relating to evidence and witnesses.
(4) Neither the licensee nor the Department shall have the right to subpoena any witness to attend the conference, nor to formally cross-examine any person testifying at the conference. However, both the licensee and the Department may present any witness on its behalf at the conference.
(5) At the conclusion of the informal conference, the district administrator or the designee conducting the conference, may affirm, modify or dismiss the citation, the proposed assessment of a civil penalty, or the date of correction of a violation.
(b) If the district administrator or designee modifies or dismisses the citation or proposed assessment of a civil penalty, he or she shall state with particularity, in writing, the reasons for such action and shall immediately transmit a copy to each party to the original complaint, if any.
(c) If the licensee desires to contest the decision made after the informal conference, he or she shall inform the district administrator in writing by registered or certified mail within four business days after he or she receives the decision of the informal conference.
(d) If the licensee fails to so notify the district administrator in writing that he or she further intends to contest the citation or the proposed assessment of a civil penalty or the decision made by the district administrator or designee after an informal conference within the time specified, the citation or the proposed assessment of a civil penalty or the decision by the district administrator or designee shall be deemed a final order of the Department and shall not be subject to further administrative review.
(e) If a licensee notifies the district administrator or designee, in writing, by registered or certified mail that he or she intends to contest a citation or the assessment of a proposed civil penalty, after a formal conference has been held, the Department shall refer the matter immediately to the Attorney General for appropriate action in the Superior Court of the county in which the facility is located. 
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1428, Health and Safety Code.
§76721. Posting of Citations.
Note

(a) Each citation for a class “A” violation which has become final, or a copy or copies thereof, shall be prominently posted by the licensee until the violation is corrected to the satisfaction of the Department, up to a maximum of 120 days. The citation or copy shall be posted in a place or places in plain view of the clients in the facility, persons visiting those clients and persons who inquire about placement in the facility.
(b) Each citation for class “A” or class “B” violations which has become final, or a copy or copies thereof, shall be retained by the licensee at the facility cited until the violation is corrected to the satisfaction of the Department. Each such citation shall be made promptly available by the licensee for inspection or examination by any member of the public who so requests. In addition, every licensee shall post in a place or places in plain view of the clients in the facility, persons visiting those clients and persons who inquire about placement in the facility, a prominent notice informing such persons that copies of all final uncorrected violations issued by the Department to the facility will be made promptly available by the licensee for inspection by any person who so requests.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1429, Health and Safety Code.
§76723. Interference with Official Duties.
Note

(a) Any duly authorized officer, employee or agent of the Department may enter and inspect any facility, including, but not limited to, interviewing clients and reviewing records at any time. Inspections conducted pursuant to complaints filed with the Department shall be conducted in such a manner as to ensure maximum effectiveness. No advance notice shall be given of any inspection unless previously and specifically authorized by the Director or required by federal law.
(b) No licensee or employee of any facility shall:
(1) Willfully prevent, interfere with or attempt to impede in any way the work of any duly authorized representative of the Department in the lawful enforcement of his or her inspection duties.
(2) Willfully prevent or attempt to prevent any such representative from examining any relevant books or records in the conduct of his or her inspection duties.
(3) Willfully prevent or interfere with any such representative in the preserving of evidence of any violation of these regulations.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276, 1421, and 1431, Health and Safety Code.
§76725. Discrimination or Retaliation.
Note

(a) No licensee shall discriminate or retaliate in any manner against a client or employee in its facility on the basis of or for the reason that such client or employee or any other person has initiated or participated in any proceeding specified in these regulations. A licensee who violates this provision is also subject under Section 1432 of the Health and Safety Code to a civil penalty of no more than $500.
(b) Any attempt to expel a client from a facility or any type of discriminatory treatment of a client by whom, or upon whose behalf, a complaint has been submitted to the Department or any proceeding instituted under or related to this Article within 120 days of the filing of the complaint or the institution of such action, shall raise a rebuttable presumption that such action was taken by the licensee in retaliation for the filing of the complaint.
NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Sections 1276 and 1432, Health and Safety Code.
Chapter 8.5. Intermediate Care Facilities/Developmentally Disabled--Habilitative
Article 1. Definitions
§76800. Accredited Record Technician.
Note     •     History

Accredited Record Technician means a person who is accredited by the American Medical Record Association.
NOTE

Authority cited: Sections 208.4 and 1276.1, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. New Chapter 8.5 (Articles 1-6, Sections 76800-76962, not consecutive) filed 2-28-84 as an emergency; effective upon filing (Register 84, No. 11). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-27-84. For prior history, see Registers 84, No. 11 and 82, No. 31.
2. Chapter 8.5 (Articles 1-6, Sections 76800-76962, not consecutive) repealed by operation of Government Code Section 11346.1(g) (Register 85, No. 17).
3. New Chapter 8.5 (Articles 1-6, Sections 76800-76962, not consecutive) filed by the Department of Health Services with the Secretary of State on 8-1-84 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 17).
4. Certificate of Compliance including amendment of Section 76800 filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76801. Active Treatment.
Note

Active treatment means an aggressive and organized effort to fulfill each client's fullest developmental capacity. It requires an integrated, individually tailored program of services directed to achieving measurable, behaviorally stated objectives.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76801.1. Antecedent.
Note

Antecedent means conditions or events which occur prior to a behavior.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76802. Authorized Representative.
Note

Authorized Representative means a person authorized to act on behalf of the client by law, by court order or by a written statement which shall be signed by the client, unless the client has been judicially declared incompetent or gravely disabled. Except in state operated facilities, an authorized representative shall not be an owner, administrator, employee, representative or agent of the facility.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76803. Chemical Restraint.
Note     •     History

Chemical restraint means the use of psychotherapeutic or behavior modifying drugs used to prevent a client from exhibiting an identified maladaptive behavior.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76804. Client.
Note

Client means a person who is receiving services from an Intermediate Care Facility/Developmentally Disabled--Habilitative.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76804.1. Consequence.
Note

Consequence means conditions or events which occur after a behavior.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76805. Contingent Observation.
Note

Contingent Observation means the temporary removal of a client from participation in an activity.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76806. Controlled Drugs.
Note

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

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76807. Decubitus Ulcer.
Note

Decubitus ulcer means an ulceration of skin, caused by pressure, and may include ulceration of underlying tissue.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76808. Dietetic Service Supervisor.
Note

Dietetic Service Supervisor means a person who:
(a) Is a dietitian, or
(b) Has a bachelor's degree with major studies in food and nutrition, dietetics, or food management and has one year of supervisory experience in the dietetic service of a health care institution, or
(c) Is a graduate of a dietetic technician or dietetic assistant training program approved by the American Dietetic Association, or
(d) Is a graduate of a state-approved program that provides 90 or more hours of classroom instruction in food service supervision, or
(e) Has training and experience in food service supervision and management in a military service equivalent in content to (c) or (d) of the above.
NOTE

Authority cited: Sections 208.4, 1267.7 and 1276.1, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76809. Dietitian.
Note

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

Authority cited: Sections 208.4, 1267.7 and 1276.1, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76810. Direct Care Staff.
Note     •     History

Direct care staff means all facility staff who directly provide program and/or nursing services to clients. Administrative and licensed personnel shall be considered direct care staff when directly providing program and/or nursing services to clients. Members of the interdisciplinary professional staff/team shall not be considered direct care staff.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76811. Distinct Part.
Note

Distinct part means an identifiable unit accommodating beds including, but not limited to, contiguous rooms, a wing, floor or building.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76812. Drug.
Note

Drug means a medication.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76813. Drug Administration.
Note

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

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76814. Drug Dispensing.
Note

Drug dispensing means the act of interpretation of an order for a drug or biological and the proper selection, measuring, packaging, labeling and issuance of that drug or biological for a client or for a service unit of the facility.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76814.1. Educator.
Note     •     History

Educator means a person who has one year of teaching experience with individuals with developmental disabilities and possesses a current Special Education credential valid in the State of California.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including new Section 76814.1 filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76815. Emergency Intervention Procedures for Behavior Control.
Note

Emergency intervention procedures for behavior control means those techniques used in the management of clients who exhibit severe aggressive or explosive behavior which poses an immediate threat of bodily harm to the client or others.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76816. Exclusion Timeout.
Note

Exclusion timeout means removing a client from an activity to another area in the same room or vicinity for a period of time contingent on a specific maladaptive behavior.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76817. Extinction.
Note

Extinction is the systematic elimination of potential reinforcement following a maladaptive behavior.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76818. Fines.
Note

Fines is the forfeiture of token reinforcers following a predetermined maladaptive behavior.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76820. Individual Service Plan.
Note

Individual service plan means a plan developed for each individual client by the facility's interdisciplinary professional staff/team. The individual service plan is not to be confused with the individual program plan which is developed by the Regional Center.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76821. Legend Drug.
Note

Legend drug means:
(a) Any drug labeled with the statement “Caution: Federal Law prohibits dispensing without prescription,” or words of similar import, or
(b) Any dangerous drug under Section 4211 of Article 8 of the Business and Professions Code.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76822. Local Bank.
Note

Local bank means a bank, or the branch of that bank which is in the vicinity of the facility.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76822.1. Medication.
Note     •     History

Medication means any chemical compound, remedy or biological substance, the action of which is not solely mechanical, which may be administered to clients by any route as an aid in the diagnosis, treatment, or prevention of disease or other abnormal condition, for relief of pain or suffering, or to control or improve any physiological or pathological condition. Products which contain medications but which are primarily used for cosmetic or other nonmedication purposes are not medications as defined above.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76823. Modified Diet.
Note

Modified diet means a diet altered in texture.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76824. Normalization.
Note

Normalization means making available to the developmentally disabled, patterns and conditions of everyday life which are as close as possible to the normal patterns of everyday society.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76825. Occupational Therapist.
Note

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

Authority cited: Sections 208.4, 1267.7 and 1276.1, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76826. Permanently Converted Beds.
Note

Permanently converted beds means client accommodation space which is not available for client accommodation because the facility has converted the client accommodation space to some other use and such space could not be reconverted to client accommodation within 24 hours.
NOTE

Authority cited: Sections 208.4, 1250.1, 1251, 1255, 1267.7 and 1268, Health and Safety Code. Reference: Section 1268, Health and Safety Code.
§76827. Physical Restraints.
Note

Physical restraint means those devices as described in Section 76866(a) and used to control a client's physical activity in order to prevent the client from causing harm to self or others.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76828. Postural Supports.
Note

Postural supports means devices other than orthopedic braces used to assist clients to achieve proper body position and balance. Postural supports may only include soft ties, seat belts, spring release trays or cloth sheeting and shall only be used to improve a client's mobility and independent functioning, and not to restrict movement. These devices shall not be considered restraints.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76829. Psychotherapeutic Drug.
Note     •     History

Psychotherapeutic drug means a medication to control behavior or to treat a thought disorder process.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76830. Qualified Mental Retardation Professional (Q.M.R.P.).
Note

(a) Qualified mental retardation professional means a person who has specialized training or one (1) year of experience in treating or working with the developmentally disabled and is one of the following:
(1) A person with a master's degree in psychology.
(2) A physician.
(3) An educator with a degree in education.
(4) A social worker with a bachelor's degree in:
(A) Social work from an accredited program; or
(B) A field other than social work and at least three (3) years of social work experience under the supervision of a social worker with a master's degree.
(5) A physical therapist.
(6) An occupational therapist.
(7) A speech pathologist.
(8) An audiologist.
(9) A registered nurse.
(10) A recreation therapist.
(11) A rehabilitation counselor.
NOTE

Authority cited: Sections 208.4, 1267.7 and 1276.1, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76831. Recreation Therapist.
Note

Recreation therapist means a person with specialization in therapeutic recreation who is registered or eligible for registration as such by the National Therapeutic Recreation Society.
NOTE

Authority cited: Sections 208.4, 1267.7 and 1276.1, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76831.1. Registered Domestic Partner.
Note     •     History

Registered domestic partner shall have the same meaning as defined in Family Code Sections 297 and 297.5.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting section filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§76832. Registered Record Administrator.
Note     •     History

Registered Record Administrator means a person who is registered by the American Medical Record Association.
NOTE

Authority cited: Sections 208.4, 1267.7 and 1276.1, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76833. Rehabilitation Counselor.
Note

Rehabilitation counselor means a person who is certified or eligible for certification by the Commission on Rehabilitation Counselor Certification and who has specialized training or one year of experience in treating the developmentally disabled.
NOTE

Authority cited: Sections 208.4, 1267.7 and 1276.1, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76835. Standing Orders.
Note

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

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76836. Supervision.
Note

Supervision means to instruct an employee or subordinate in his or her duties and to oversee or direct his or her work, but does not necessarily require the immediate presence of the supervisor.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76837. Therapeutic Diet.
Note

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

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76838. Token Reinforcers.
Note

Token reinforcers means articles earned by a client which can be exchanged at some future time for a desired object or activity.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76839. Training and Habilitative Service.
Note     •     History

Training and habilitative services means those services provided to clients for the purpose of enhancing or preventing regression of intellectual, functional skills and the emotional wellbeing of the clients.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76840. Unit Client Record.
Note

Unit client record means a file which contains all information concerning a particular client.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76841. Withdrawal of Social Contact.
Note

Withdrawal of social contact means the termination of an interaction immediately after the client demonstrates a maladaptive behavior.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 2. License
§76844. Application Required.
Note

(a) A verified application for a new license shall be submitted to the Department on forms prescribed and furnished by the Department whenever either of the following circumstances occur:
(1) Establishment of a facility.
(2) Change of ownership.
(b) The licensee shall submit a verified application for a corrected license to the Department on forms prescribed and furnished by the Department whenever any of the following occur:
(1) Construction of a new or replacement facility.
(2) Increase in licensed bed capacity.
(3) Change of license category.
(4) Change of name of facility.
(5) Change of location of facility.
(6) Change in bed classification.
(c) Notification by letter shall be sent to the Department when a decrease in licensed bed capacity occurs.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1265 and 1276, Health and Safety Code.
§76845. Criminal Record Clearance.
Note

The securing of criminal records shall be in accordance with the provisions of Section 1265.5 of the Health and Safety Code.
NOTE

Authority cited: Sections 208.4, 1267.7 and 1276, Health and Safety Code. Reference: Section 1265.5, Health and Safety Code.
§76846. Fee.
Note     •     History

(a) Each application for a license shall be accompanied by the prescribed license fee as authorized by Health and Safety Code, section 1266.
(b) No fee shall be refunded to the applicant if the application is withdrawn or if the application is denied by the Department.
NOTE

Authority cited: Sections 1266, 1267.7, 1275 and 131200, Health and Safety Code. Reference: Sections 1266, 1267.7, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section and Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§76847. Safety, Zoning and Building Clearance.
Note

(a) A license shall not be issued to any intermediate care facility/developmentally disabled--habilitative which does not conform to the requirements of Section 1267.8, Health and Safety Code. Evidence of such compliances shall be presented in writing to the Department.
(b) It shall be the responsibility of the licensee to maintain the facility in a safe structural condition. If the Department determines that an evaluation of the structural condition of a facility is necessary, the licensee may be required to submit a report by a licensed structural engineer which shall establish a basis for eliminating or correcting the structural conditions which are found to be hazardous to occupants.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1267.8 and 1276, Health and Safety Code.
§76848. Expiration of License.
Note

Each license shall expire at midnight on the date of expiration.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1267, Health and Safety Code.
§76849. Separate License.
Note

(a) A separate license shall be required for each intermediate care facility/developmentally disabled--habilitative which is maintained on the same or separate premises even though they are under the same management.
(b) Intermediate care facilities/developmentally disabled--habilitative shall not be a distinct part of any other licensed health or community care facility.
NOTE

Authority cited: Sections 208.4, 1250 and 1267.7, Health and Safety Code. Reference: Sections 1251, 1253 and 1276, Health and Safety Code.
§76850. Posting.
Note

The license or a true copy shall be conspicuously posted in a prominent location within the facility accessible to public view.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76851. Report of Changes.
Note

(a) The licensee shall notify the Department, within 10 days, in writing, of any of the following:
(1) Any change in administrator.
(2) Any change of the principal officers (President, Vice-President, Secretary, Treasurer) of the corporation.
(3) Any change of the principal mailing or business address of the licensee or officer(s).
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76852. Program Flexibility.
Note

(a) All intermediate care facilities/developmentally disabled--habilitative shall maintain continuous compliance with the licensing requirements. Such requirements however, do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects which provide for continuous, safe, and adequate client care, and are implemented with the prior written approval of the Department. Any approval shall provide for the terms and conditions under which the exception is granted. A written request for program flexibility together with supporting evidence shall be submitted by the applicant or licensee to the Department.
(b) Any approval of program flexibility shall be in writing and shall provide for the terms and conditions under which the program flexibility is granted.
(c) Any written approval of the Department granted under this Section shall be posted immediately adjacent to the facility's license.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76852.1. Conviction of Crime; Standards for Evaluating Rehabilitation.
Note

(a) When considering the denial, suspension or revocation of a license based on the conviction of a crime in accordance with Section 1265.1 or 1294 of the Health and Safety Code, the following criteria shall be considered in evaluating rehabilitation:
(1) The nature and the seriousness of the crime(s) under consideration.
(2) Evidence of conduct subsequent to the crime which suggests responsible or irresponsible character.
(3) The time which has elapsed since commission of the crime(s) or conduct referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Evidence, if any, of rehabilitation submitted by the applicant.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1265.1, 1265.2 and 1294, Health and Safety Code.
§76852.2. Bonds.
Note

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

(1) Total Amount Handled per month	Bond Required

	$750	or less 	 $1,000
	$751	to $1,500 	 $2,000
	$1,501	to $2,500 	 $3,000
(2) Every further increment of $1,000 or fraction thereof shall require an additional $1,000 on the bond.
(b) Each application for an original license or renewal of license shall be accompanied by an affidavit on a form provided by the Department. The affidavit shall state whether the licensee handles or will handle money of clients and the maximum amount of money to be handled for:
(1) Any client.
(2) All clients in any month.
(c) No licensee shall either handle money of a client or handle amounts greater than those stated in the affidavit submitted without first notifying the Department and filing a new or revised bond if requested.
(d) Charges for the surety company bond to handle client monies shall not be paid out of client funds.
NOTE

Authority cited: Sections 208.4, 1267.7 and 1275, Health and Safety Code. Reference: Sections 1276 and 1318, Health and Safety Code.
Article 3. Services
§76853. Required Services.
Note

(a) Intermediate Care Facilities/Developmentally Disabled--Habilitative shall provide as a minimum, but not be limited to, the following required services: active treatment, health support, food and nutrition, recreational and pharmaceutical services.
(b) Clients shall be provided those services as specified in CAC, Title 22, Division 3, Section 51510.2(b) as recommended by the interdisciplinary professional staff/team in accordance with each client's individual service plan.
(c) Provision shall be made for social services as determined by the interdisciplinary professional staff/team and in accordance with each client's individual service plan.
(d) If diagnostic and therapeutic services are not provided in the facility, written arrangements shall be made for obtaining all diagnostic and therapeutic services prescribed by the attending physician, podiatrist, dentist, licensed psychologist or interdisciplinary professional staff/team subject to the scope of their practice and the policies of the facility. If the services cannot be brought into the facility, the facility shall assist the client, if necessary, in arranging for transportation to and from the service location.
(e) Arrangements shall be made for one or more physicians to be called in a medical emergency and their telephone numbers shall be prominently displayed near the facility's telephone.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1250.1, 1276, 1315, 1316 and 1316.5, Health and Safety Code.
§76855. Developmental Program Services.
Note

Each client shall participate in a developmental services program as specified in his or her individual service plan.
NOTE

Authority cited: Sections 208.4 and 1267.7 Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76856. Developmental Program Services--Program Approval for Developmental Services.
Note

(a) A facility program plan shall be submitted to the Department of Developmental Services as specified in Section 1267.7 of the Health and Safety Code.
(b) The Department shall not issue or renew a license for a facility unless the licensee's program plan has been reviewed and approved by the Department of Developmental Services.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76857. Developmental Program Services--Facility Program Plan Requirements.
Note     •     History

(a) The facility program plan shall include but not be limited to:
(1) The number of eligible clients.
(2) A profile of the client population using the Client Development Evaluation Report (C.D.E.R.) furnished by the Department of Developmental Services.
(3) A summary of clients' identified needs.
(4) Description of the program elements as specified in Section 76862.
(5) A week's program schedule for clients in the facility.
(6) The facility program staffing pattern including:
(A) The facility's organizational chart.
(B) The interdisciplinary professional staff/team utilized indicating their disciplines and hours worked per week.
(7) Description of the space provided for program elements.
(8) Description of the equipment available or to be obtained for program use.
(9) The in-service training program plan for at least the next twelve months which shall include, but not be limited to; those topics contained in Section 76873(c).
(10) A plan for utilization of community resources.
(11) Provisions for accomplishing the following:
(A) An initial assessment of each client to identify the current level of needs and function. The assessment shall be standardized on forms prescribed and furnished by the Department of Developmental Services or other approved forms.
(B) An individual service plan developed by the interdisciplinary professional staff/team under the direction of a qualified mental retardation professional.
(C) Semi-annual review of service plan.
(12) A plan for the behavior modification program, if used, as defined in Section 76869.
(13) A training program for drug administration for nonlicensed personnel who administer drugs in the facility in accordance with Section 76876(f).
(b) Any changes in the facility operation which alters the contents of the approved program plan, including changes of approved staff, shall be reported to the Department of Developmental Services within ten working days.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including new subsection (b) filed by the Department of Health Services with the Secretary of State on 11-28-84 submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76858. Developmental Program Services  --Interdisciplinary Professional Staff/Team.
Note

(a) The interdisciplinary professional staff/team shall be composed as required in Section 76872(d).
(b) A client's interdisciplinary professional staff/team shall jointly meet to:
(1) Assess the client's developmental needs.
(2) Develop an integrated and coordinated individual service plan.
(3) Evaluate the client's response to the service plan and revise the plan as needed.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76859. Developmental Program Services--Client Assessment.
Note     •     History

(a) The facility qualified mental retardation professional, interdisciplinary professional staff/team, member(s) of the direct care staff, if the client is registered with the regional center, a representative from that agency, the client, and when lawful the client's parents or authorized representative shall:
(1) Review and update the preadmission evaluation within 30 days following the client's admission.
(2) Assess the client's developmental status which includes prioritized problems, disabilities, developmental strengths and weaknesses, and the client's needs and discharge plan, all of which shall provide the basis for formulating an individual service plan for the client.
(3) Write an evaluation stating the recommendations for development of the individual service plan.
(b) Share the assessment with the direct care staff and interpret the assessment to the client, and when lawful the client's parents or authorized representative.
(c) Review client progress every six (6) months. The review shall include:
(1) Consideration of the client's need for continued Intermediate Care Facility/Developmentally Disabled-Habilitative services or alternative placement.
(2) Consideration of the client's need for guardianship or conservatorship if the client will attain majority or become emancipated prior to the next annual review.
(3) Provision for the protection of the client's civil and legal rights, pursuant to Welfare and Institutions Code Sections 4502, 4503, 4504 and 4505, and California Administrative Code, Title 17, Sections 50500 through 50550.
(4) Assessment of the client's recreational interests.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (a) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76860. Developmental Program Services--Individual Service Plan.
Note     •     History

(a) Each client shall have an individual service plan that:
(1) Implements the prescriptive requirements of the Regional Center individual program plan.
(2) Is based on assessment data pursuant to Section 76859 and is completed within 30 days following admission.
(3) Is developed by the facility interdisciplinary professional staff/team, and includes participation of the client, direct care staff, and should include all relevant staff of other agencies involved in serving the client. Prior to development of the individual service plan, the client's parents, if the client is a minor, or the client's authorized representative shall be invited to attend the service plan conference.
(4) Identifies the client's developmental, social, behavioral, recreational and physical needs.
(5) Includes established prioritized objectives, written in behavioral and/or developmental terms, that are measurable and time limited, for meeting the client's identified needs.
(6) Identifies the method and frequency of evaluation.
(7) Includes a daily program schedule which specifies:
(A) Time and duration of all activities of daily living.
(B) Time, duration and location of all specified programs.
(8) Specifies the persons and agencies responsible for implementing and coordinating the service plan.
(9) Contains monthly progress notes related to the service plan, goals and objectives.
(10) Includes, when discharge is anticipated, plans for services, including the specific agencies or persons responsible for those follow-up services in the client's new environment. Procedures shall be established so that when lawful parents, guardians or legal representatives who request discharge of a client are counseled concerning the advantages and disadvantages of discharge.
(b) The individual service plan shall be implemented as written.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (a) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76861. Developmental Program Services--Grouping Criteria.
Note

(a) Clients of grossly differing ages, developmental levels and social needs shall not be housed together.
(b) Clients shall be integrated with peers of comparable social and intellectual development and shall not be segregated on the basis of their physical handicaps.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76862. Developmental Program Services--Program Elements.
Note

(a) The facility shall have the capability to provide program services to those developmentally disabled clients it serves. These program services shall be based on the client's specific needs as identified through the individual client assessment and include as appropriate:
(1) Sensory motor development.
(2) Self-help skills training.
(3) Behavior management program.
(4) Habilitation program.
(b) The facility shall provide active treatment seven days a week, each client receiving no less than 56 hours. The treatment program hours shall include:
(1) Any active treatment provided by agencies either outside or inside the facility shall be specified in the individual service plan.
(2) No more than two consecutive hours not devoted to active treatment as specified in the individual service plan. If additional unstructured time is required, such need shall be determined by the interdisciplinary professional staff/team and documented in the client's individual service plan and the facility's program plan.
(3) Weekend programming which emphasizes recreation and social experiences.
(c) If, as a result of the client assessment, the interdisciplinary professional staff/team concludes that the client is capable of independently making effective use of leisure time, self-structured leisure time may be specified in the individual service plan and in the daily activity schedule.
(d) When a client receives a portion of active treatment through other agencies, continuity shall be assured with facility services.
(e) Clients shall be permitted personal possessions, including but not limited to: toys, books, pictures, games, radios, arts and crafts materials, religious articles, toiletries, jewelry and letters.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76863. Developmental Program Services--Recreational Activities.
Note     •     History

(a) Each facility shall employ or contract for the services of a Registered Recreation Therapist or an Occupational Therapist for not less than four hours every three months to assess the recreational needs of each client and train staff in the implementation of each recreation activity plan.
(b) A recreational activity plan as part of the individual service plan shall be developed for each client. This plan shall be included in the daily program schedule. The recreational activities plan shall include:
(1) Individual or group activities with age appropriate materials.
(2) Opportunities to interact with nonhandicapped persons.
(3) Regularly scheduled recreational activities away from the facility.
(c) All clients shall have planned periods out-of-doors, weather and health permitting.
(d) Recreational activity areas belonging to the facility shall be designed and constructed or modified so as to be easily accessible to all clients regardless of their disabilities.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (a) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76864. Developmental Program Services--Client Mobility.
Note

(a) All clients including the multiple-handicapped and nonambulatory shall:
(1) Spend at least 75 percent of their waking day out of bed.
(2) Spend at least 75 percent of their waking day out of their bedroom.
(3) Be mobile to the extent possible.
(b) Orders prescribing bed rest or prohibiting clients from being taken out-of-doors shall be reviewed by a physician at least every three days.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76865. Developmental Program Services--Health, Hygiene and Grooming.
Note

(a) Each client shall be encouraged and assisted to achieve and maintain maximum independence in health, hygiene and grooming including bathing, brushing teeth, shampooing, combing and brushing hair, shaving, dressing, undressing and caring for toenails and fingernails.
(b) Each client shall exhibit good personal hygiene and grooming and shall be free of offensive odors.
(c) Each client shall have and use only his or her own personal toilet articles.
(d) Each client shall have neat, clean, suitable, age appropriate and seasonable clothing to meet his or her needs.
(e) Clients shall have their own clothing which is properly and inconspicuously marked when necessary.
(f) Clients shall be dressed daily in their own clothing, suitable to the activities in which they are participating.
(g) Clients shall be taught and encouraged as appropriate to:
(1) Select their daily clothing.
(2) Dress themselves.
(3) Change their clothes to suit the activities in which they participate.
(h) Each client upon admission shall be given orientation to the facility and the facility's services and staff.
(i) Each client shall be weighed at least monthly.
(j) Each client's height shall be measured at least quarterly until the client achieves maximum growth.
(k) The client shall be trained to use dentures, eyeglasses, hearing aids and braces, when these are prescribed. Provisions shall be made to identify and maintain these items in good repair and to make them available to the client.
(l) When indicated, each client's individual service plan shall include measures to prevent the development of decubitus ulcers, contractures and deformities. If contractures and deformities are present, the client's individual service plan shall specify treatment measures. These measures shall be implemented as written. Preventive and treatment measures shall include, but not be limited to:
(1) Mobilizing programs.
(2) Changing of position of bedfast and chairfast clients.
(3) Preventive skin care.
(4) Body alignment and joint movement.
(5) Pressure relieving devices.
(m) The facility shall not admit or retain clients with decubitus ulcers.
(n) Measures shall be used to prevent and reduce incontinence for each client who does not eliminate appropriately and independently and shall include:
(1) Written assessment within one month of admission of each client's ability to participate in a bowel and bladder management training program.
(2) An individual plan for each client selected for bladder and bowel training.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76866. Developmental Program Services--Types of Restraints.
Note

(a) Only the following types of physical restraints shall be used:
(1) Mittens and/or soft ties.
(2) Jackets consisting of sleeveless cloth webbing.
(b) Totally enclosed cribs and barred enclosures shall not be used.
(c) Chemical restraints shall not be used as a substitute for active treatment.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76867. Developmental Program Services--Restraints.
Note     •     History

(a) Restraints shall only be used as temporary emergency measures to protect the client from injury to self or others and only upon a written or telephone order of a physician or clinical psychologist. Telephone orders shall be recorded immediately in the client's record and shall be signed by the prescriber within five days. Restraints shall not be used as punishment, a substitute for more effective programming or for the convenience of the staff.
(b) Orders for physical restraints shall be in force for not longer than 12 hours.
(c) There shall be no PRN (as needed) orders for physical restraints.
(d) The client's record shall include an entry noting the time of application and removal of restraints, justification for and authorization of all periods of restraints and signature of the person applying the restraints.
(e) Clients shall not be placed in a room that is locked or where the door is held closed by any means.
(f) No restraint with locking devices shall be used.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (a) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76868. Developmental Program Services--Application of Restraints.
Note     •     History

(a) In the use of physical restraints, each of the following requirements shall be met:
(1) Restraints shall be applied in such a manner that they can be speedily removed in case of emergency.
(2) A client placed in restraint shall be checked at least every 15 minutes by staff to assure that the restraint is properly applied. Written documentation of these checks identifying staff responsible for performing the check shall be kept in the Unit Client Record.
(3) Physical restraints shall be designed and used in such a way as not to cause physical injury and to assure the least possible discomfort to the client. Opportunity for motion and exercise shall be provided for a period of not less than 10 minutes during each 2 hours in which restraint is applied. The exercise periods shall be documented in the client's record.
(4) Clients in restraint shall remain in staff's constant line of vision and shall be protected from other clients.
(b) If chemical restraints are used, each of the following requirements shall be met:
(1) Chemical restraints shall not be used as punishment, for the convenience of staff, as a substitute for active treatment, or in quantities that interfere with a client's ability to participate in program activities.
(2) Psychotherapeutic or behavior-altering drugs shall be used only as an integral part of an individual service plan that is designed by an interdisciplinary professional staff/team to lead to a less restrictive way of managing maladaptive behavior and ultimately to the elimination of those behaviors for which the drugs are employed. Each individual service plan utilizing a psychotropic drug:
(A) Shall specify the behavior to be managed and be a time-limited prescription of no more than 30 days, ordered by a physician. Each renewal order shall include written justification by the physician for the continued use of the drug.
(B) Shall include a written plan for gradually diminishing the dosage of the drug and its ultimate discontinuance.
(3) PRN (as needed) prescriptions for psychotherapeutic or behavior-altering drug use shall be subject to the requirements of Section 76896.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (b) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76869. Developmental Program Services--Behavior Management Program.
Note

(a) Behavior management programs shall be approved by the Department of Developmental Services prior to implementation in accordance with Sections 76856 and 76857(a)(12).
(b) No facility shall modify its approved behavior management program prior to obtaining the written approval of the Department of Developmental Services.
(c) Facilities which use behavior management programs as part of their total service shall have:
(1) A written description of the behavior management program.
(2) A written assessment conducted by the interdisciplinary professional staff/team to identify maladaptive behaviors which require management. This assessment shall address the following areas:
(A) Social and emotional status.
(B) Communication skills.
(C) Physical and mental status.
(D) Cognitive and adaptive skills.
(E) An identification of the maladaptive behaviors.
(F) A baseline data collection system which addresses the maladaptive behaviors.
(G) An analysis of the maladaptive behaviors identified in terms of their antecedents and consequences.
(3) A written behavior management plan available to all facility staff, the client if appropriate, or the client's representative, if lawful. This plan shall include:
(A) Long range goals.
(B) Behavioral objectives that are time-limited, measurable, observable, and complement the long-range goals.
(C) Behavioral objectives which specify:
1. The name of the primary person providing the intervention.
2. The place of intervention.
3. The reinforcement(s) to be used to elicit adaptive behaviors.
4. The type(s) of interventions to be used.
(4) A written document that shall clearly justify, prior to the use of behavioral interventions that:
(A) The procedure to be used is the least restrictive and most effective intervention for the maladaptive behaviors.
(B) The environment where the behavior change is to occur which is designed to avoid stigma and to support and reinforce adaptive behaviors is specified.
(C) A specific choice from different behavior interventions that has been made based on relative effectiveness.
(D) The undesirable long-term and short-term effects which may be associated with the procedures have been identified.
(E) The conditions under which the procedure is contraindicated have been identified.
(F) The social, behavioral and status benefits that can be expected have been specified.
(G) The rights of the developmentally disabled person were and are protected in accordance with Sections 4503 and 4505 of the Welfare and Institutions Code.
(H) All legal and regulatory requirements have been met.
(I) There is a plan to decrease the restrictiveness of the program.
(J) A recommended treatment hierarchy which identifies the maladaptive behavior warranting the most immediate attention has been developed.
(5) A written monthly report of progress that shall include:
(A) The amount of progress attained in achieving each behavioral objective.
(B) A determination as to whether the program should be continued as designed, or amended.
(C) In those instances when it can be demonstrated that behavioral programs utilizing only positive reinforcement do not result in the desired adaptive behavior, mild restrictive interventions may be employed. Such interventions shall be limited to:
(1) Contingent observation.
(2) Extinction.
(3) Withdrawal of social contact.
(4) Fines.
(5) Exclusion time-out, with the client in constant visual observation.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76870. Developmental Program Services--Client Abuse.
Note

Clients shall not be subjected to corporal punishment, humiliation or verbal or mental abuse.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76871. Developmental Program Services--Postural Supports.
Note

(a) Postural supports are devices other than orthopedic braces used to assist clients to achieve proper body alignment and balance.
(b) Postural supports shall be designed and applied in such a manner so that they can be speedily removed in case of emergency.
(c) Postural supports shall be designed and applied:
(1) Under the supervision of a physical or occupational therapist.
(2) In accordance with principles of proper body alignment, with concern for circulation and allowance for change of position.
(3) To improve a client's mobility and independent functioning.
(d) Facilities shall have written policies and procedures concerning the use of postural supports.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76872. Developmental Program Services--Staffing.
Note     •     History

(a) The facility shall provide through direct employment or contractual arrangement a qualified mental retardation professional who shall have the responsibility for supervising the implementation of each client's individual service plan, integrating the various aspects of the facility's program plan, assuring continuity of facility services with those provided by outside agencies, recording each client's progress and initiating periodic review of each individual service plan for necessary modifications or adjustments.
(b) The facility shall provide through direct employment or contractual arrangement a qualified mental retardation professional who shall provide a minimum of 1.75 hours of service per week per client.
(c) In addition to the qualified mental retardation professional, the facility shall provide either through direct employment or by contractual arrangement an interdisciplinary professional staff/team to assist in the development and implementation of individual service plans and provide training to the facility staff.
(d) The interdisciplinary professional staff/team shall be composed of at least three (3) persons from any of the following disciplines and the composition of the staff/team shall be of the numbers and disciplines appropriate to meet the clients' needs.
(1) Clinical psychologist.
(2) Recreation therapist.
(3) Occupational therapist.
(4) Physical therapist.
(5) Social worker with a master's degree.
(6) Speech therapist.
(7) Audiologist.
(8) Physician.
(9) Pharmacist.
(10) Educator.
(e) The aggregate time provided by members of the interdisciplinary professional staff/team shall be equal to at least one half hour per week per client.
(f) The primary responsibility of direct care staff shall be the care and training of the clients as follows:
(1) Staff shall train clients in activities as specified in the individual service plan.
(2) Direct care staff shall not be diverted from their primary responsibilities by excessive housekeeping, clerical duties or activities not related to client care when clients are physically present in the facility.
(g) Each facility shall employ direct care staff to provide program and nursing services to clients 24 hours a day as indicated in the chart below. Direct care staffing hours shall not include the time staff spend in in-service programs as specified in subsection 76873(c).

	Number	Average	Minimum	Total Hours
	of	Hours	Hours	Per Calendar
	Clients	Per Day	Per Day	Week

	4-6	36	30	252
	7	37	30	259
	8	41	35	287
	9	46	38	322
	10	51	43	357
	11	57	47	399
	12	62	51	434
	13	67	55	469
	14	73	60	511
	15	78	65	546
(h) Each facility shall designate supervisory direct care staff persons in accordance with the provisions of Section 1267.11 of the Health and Safety Code. For purposes of this subsection, the definition of supervision contained in Section 76836 shall apply.
(i) Supervisory direct care staff persons shall report to and be accountable to the qualified mental retardation professional.
(j) Facilities serving 12 to 15 clients shall staff the night shift with a minimum of two (2) direct care staff. This is inclusive of the staffing requirements of Section 76872(g).
(k) Each facility shall employ sufficient direct care staff to carry out the active treatment programs and meet individual client needs.
(l) Direct care staff shall be in the facility whenever clients are present.
(m) When clients are not present in the facility, prior arrangements shall be made for the notification of facility staff in case of emergency.
NOTE

Authority cited: Sections 208, 208.4, 1267.7, 1267.11 and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (d) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
2. Amendment filed 3-12-90; operative 4-11-90 (Register 90, No. 13).
3. Amendment of subsections (b), (g) and Note filed 8-31-95 as an emergency; operative 8-31-95 (Register 95, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as 8-31-95 order transmitted to OAL 12-28-95 and filed 2-6-96 (Register 96, No. 6).
§76873. Developmental Program Services--Orientation and In-Service Training.
Note     •     History

(a) An individual shall be designated to be responsible for staff development and training.
(b) The facility shall require that all new staff, prior to providing direct care services, receive eight (8) hours of orientation which shall be documented and be completed during the first 40 hours of employment.
(1) The orientation shall include.
(A) Tour of the facility.
(B) Description of the client population.
(C) Special needs of developmentally disabled clients.
(D) Overall concepts of the facility's program which meet the needs of the clients, including normalization.
(E) Developmental growth and assessment.
(F) Implementation of the individual service plan.
(G) The clients' activities of daily living.
(H) Use of adaptive equipment or devices.
(I) Unusual occurrences with clients, including but not limited to, emergency procedures for relief of choking.
(J) Fire and disaster plans.
(c) The facility shall require that all direct care staff, in addition to eight (8) hours of orientation, receive at least three (3) hours per month, 36 hours annually, of planned in-service training which shall be documented and shall include, but not be limited to, the following topics:
(1) Program techniques specific to the facility's clients.
(2) Developing program objectives for clients.
(3) Evaluation and assessment techniques.
(4) Documentation of client progress.
(5) Developmental special needs of the facility's clients.
(6) Interpersonal relationship and communication skills between staff and clients.
(7) Confidentiality of client information.
(8) Detection of signs of illness or dysfunction that warrant medical or nursing intervention.
(9) Basic nursing and health related skills.
(10) Behavior management.
(11) Emergency intervention procedures for behavior control.
(12) Prevention and control of infection.
(13) Fire and accident prevention and safety.
(14) Client's rights as specified in Welfare and Institutions Code, Sections 4502 through 4507, and Title 17, California Administrative Code, Sections 50500 through 50550.
(15) Role and involvement of the parent, guardian, conservator or authorized representative, in the overall client service plan.
(16) First aid and cardiopulmonary resuscitation.
(17) If any client has epilepsy, the causes and treatment of epilepsy; care during and following an epileptic seizure; safety precautions; and protective equipment.
(18) Locating and using program reference materials.
(19) The use of and proper application of supportive devices.
(d) Direct care staff enrolled in a college Residential Services Specialist Training program shall have those hours credited toward the 24 hours of annual in-service training, and in addition to the specialist program shall receive in-service training in the following areas:
(1) Behavior management.
(2) First aid and cardiopulmonary resuscitation.
(3) Any other training necessary to meet the needs of the clients.
(e) Documentation of each planned in-service training shall be maintained, including name and title of presenter, date of presentation, title of subject covered including description and content, duration of program, and the legible signatures of those in attendance.
NOTE

Authority cited: Sections 208, 208.4, 1267.7, 1267.11 and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) and Note filed 8-31-95 as an emergency; operative 8-31-95 (Register 95, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as 8-31-95 order transmitted to OAL 12-28-95 and filed 2-6-96 (Register 96, No. 6).
§76874. Health Support Services--Physician Services.
Note     •     History

(a) Physician services provided shall include but not be limited to:
(1) Continuing supervision by a physician who sees the client every 60 days or more frequently as needed. The Medi-Cal consultant as specified in the California Administrative Code, Title 22, Division 3, Section 51343.1 may approve an alternate schedule of visits. An alternative schedule of visits shall not result in more than three months elapsing between physician visits.
(2) Annual physical examinations which shall include:
(A) Examination of vision and hearing.
(B) Laboratory examinations as determined necessary by the physician.
(3) Immunizations, using as a guide the recommendations of the United States Public Health Service Advisory Committee on Immunization Practices and of the Committee on the Control of Infectious Disease of the American Academy of Pediatrics.
(b) Testing for tuberculosis shall consist of a purified protein derivative intermediate strength intradermal skin test. If a positive reaction is obtained from the skin test, the client shall be referred to the attending physician to determine if a chest X-ray is necessary.
(c) The physician, clinical psychologist, podiatrist, or dentist shall sign all orders for diagnostic tests, medications and treatment of clients consistent with their respective licensing practice act.
(d) The physician, clinical psychologist, podiatrist or dentist shall record progress notes and make other appropriate entries in the client records upon each appointment with the client.
(e) The physician shall review and update medication and medical treatment orders at least every 60 days. For alternative schedules approved by the Medi-Cal consultant the medication and treatment orders review shall be in accordance with Section 76874(a). Review and update of medication and medical treatment orders shall be documented in accordance with the approved schedule.
(f) The attending physician shall participate as a member of the interdisciplinary professional staff/team when required by the Qualified Mental Retardation Professional in consultation with the Registered Nurse.
(g) Nonphysician practitioners may be permitted to render those medical services which they are legally authorized to perform.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (b) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76875. Health Support Services--Nursing Services.
Note     •     History

(a) Facilities shall provide registered nursing services in accordance with the needs of the clients for the purpose of:
(1) Training in personal hygiene, family life, and sex education including family planning and venereal disease counseling.
(2) Development and implementation of a written plan for each client to provide for nursing services as a part of the individual service plan, consistent with diagnostic, therapeutic and medication regimens.
(3) Review and revision, as necessary, of the nursing services section of the individual service plan at least every six months.
(b) The attending physician shall be notified immediately of any sudden and/or marked adverse change in signs, symptoms or behavior exhibited by a client.
(c) The registered nurse shall participate as a member of the interdisciplinary professional staff/team when required by the client's nursing care needs in areas of:
(1) The preadmission evaluation.
(2) Placement of the client at the time of admission to the facility.
(3) The periodic reevaluation of the type, extent and quality of nursing services.
(4) Discharge planning.
(d) The registered nurse shall review all medication documentation and recordings for compliance with regulatory requirements and acceptable standards no less often than every two weeks. Such review shall be documented in the unit client record with specific notation of all noncompliances found.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code; and Section 11346.7, Government Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including new subsection (d) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76876. Nursing Services--Administration of Medications and Treatments.
Note     •     History

(a) Medications and treatments shall be given only on the order of a person lawfully authorized to prescribe.
(b) Medications and treatments shall be administered as prescribed and shall be recorded in the unit client record. The name, title of the person administering the medication or treatment, the date, time and dosage of the medication administered shall be recorded. Initials may be used provided the signature of the person administering the medication or treatment is recorded on the medication or treatment record.
(c) Preparation of dosages for more than one scheduled administration time shall not be permitted.
(d) Persons administering medications shall confirm each client's identity prior to the administration.
(e) Medications shall be administered within two (2) hours after dosages are prepared and shall be administered by the same person who prepared the dosages. Dosages shall be administered within one (1) hour of the prescribed time unless otherwise indicated by the prescriber.
(f) All medications shall be administered only by those persons specifically authorized to do so by their respective practice act with the following exception:
(1) Direct care staff, who are so designated by the facility registered nurse, may administer medications, except injections, provided the individual has successfully completed a program in medication administration either through a college system or through the facility medication training program taught by the facility registered nurse and/or consultant pharmacist. The medication training program shall include, but not be limited to the following:
(A) Use, action and side effects of drugs used in the facility.
(B) General practices, procedures and techniques for administering oral, rectal, eye, ear, nose, and topical medications.
(C) Prescriber's verbal orders.
(D) Automatic stop orders.
(E) Medication storage and labeling.
(F) Disposition of unused and outdated medications.
(G) Requirements for documentation of medications and treatments.
(H) Requirements for documentation and physician notification of medication errors.
(I) Metric and apothecary dosages.
(J) Commonly used abbreviations.
(K) Locating and using reference materials.
(2) Successful completion of a college based or facility medication training program shall be documented in the employee's training record.
(3) The facility registered nurse shall observe and certify the staff person's proficiency in handling, administering and recording of drugs given, and shall document the proficiency in the staff person's training record.
(g) No medication shall be administered to or used by any client other than the client for whom the medication was prescribed.
(h) Medication errors and adverse drug reactions shall be recorded and reported immediately to the practitioner who ordered the drug or another practitioner responsible for the medical care of the client. Minor adverse reactions which are identified in the literature accompanying the product as a usual or common side effect, need not be reported to the practitioner immediately, but in all cases shall be recorded in the client's record. Medication errors include, but are not limited to, the failure to administer a drug ordered by a prescriber within one (1) hour of the time prescribed, administration of any drugs other than that prescribed, or the administration of a dose not prescribed.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (f)(1)(C) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76877. Nursing Services--Standing Orders.
Note

Standing orders for medications and treatments shall not be used.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76878. Nursing Services--Staff.
Note     •     History

(a) The facility shall provide by employment or formal contract for the services of a registered nurse to visit the facility for health services and client health assessment as needed, but no less than one hour per week per client.
(b) The licensee shall delegate to the registered nurse the authority, in writing, to carry out the nursing functions as required in these regulations. The registered nurse shall have the authority to make judgments regarding client-health issues, within the scope of the Nursing Practice Act.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76878.1. Equipment and Supplies.
Note

(a) Equipment and supplies in each facility shall be of the quality and in the quantity necessary for the care of clients as ordered or indicated. These shall be provided and properly maintained at all times and shall include at least the following:
(1) Airways.
(2) Adaptive devices.
(3) Bulb syringes.
(4) Emesis basins.
(5) Examination light.
(6) First aid equipment and supplies, as determined by the registered nurse, readily available at all times.
(7) Flashlights.
(8) Gloves (unsterile).
(9) Ice bag.
(10) Medicine droppers.
(11) Medicine glasses, cups or other small containers which are accurately calibrated.
(12) Scales for weighing clients.
(13) Mobility assistive devices such as wheelchairs, walkers, canes and crutches as needed by clients and as indicated by the interdisciplinary professional staff/team.
(14) Sphygmomanometer.
(15) Sterile dressings.
(16) Stethoscope.
(17) Syringes and needles.
(18) Thermometers, oral and rectal.
(19) Tongue depressors.
(b) Electronic thermometers shall be cleaned and disinfected according to the manufacturer's instructions. Glass thermometers shall be cleaned and disinfected. Oral and rectal thermometers shall be stored separately in clean, labeled containers.
(c) Syringes and needles shall be rendered unusable before being discarded.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76879. Health Support Services--Dental Services.
Note

Dental services are those services provided by dentists and registered dental hygienists.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1276 and 1315, Health and Safety Code.
§76880. Dental Services--General Requirements.
Note

(a) There shall be comprehensive diagnostic services for all clients which include a complete extraoral and intraoral examination, utilizing all diagnostic aids necessary to properly evaluate the client's oral condition within a period of one month following admission, unless such an examination was done within six months of admission and the results are received and reviewed by the interdisciplinary professional staff/team and are entered in the unit client's record.
(b) There shall be comprehensive treatment services for all clients which include:
(1) Provision for dental treatment.
(2) A system that will assure annual reexamination in accordance with the client's needs.
(c) Instruction to clients and staff in proper methods of oral hygiene.
(d) Instructions shall be made available to parents or authorized representatives in the maintenance of proper oral hygiene for clients when appropriate.
(e) A permanent dental record shall be maintained for each client. A summary dental progress report shall be entered in the unit client record annually, and prior to transfer to another facility.
(f) There shall be written arrangements for providing dental services to clients of the facility, including care in dental emergencies on a 24-hour, 7 days-a-week basis.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76881. Food and Nutrition Services.
Note

Food and nutrition services shall be organized, staffed ad equipped to assure that food served to clients is safe, appetizing and meets their nutritional needs.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76882. Food and Nutrition Services--Food Services.
Note

(a) The food and nutritional needs of clients shall be met and adjusted for age, sex, activity, and disability through a nourishing, balanced diet.
(b) Food services shall include:
(1) Not less than 3 meals served daily, with not less than 10 hours between the first meal and the last meal of the day, and not more than 14 hours between the third meal and the first meal of the following day.
(2) Mealtimes comparable to existing norms in the community.
(3) Nourishment or between meal snacks shall be provided as required. Bedtime nourishments shall be offered to all clients unless contraindicated by the interdisciplinary professional staff/team, attending physician or the dietitian.
(4) Food items that are repeatedly refused by individual clients shall be replaced with food items from the same food group for those individuals. Clients who routinely refuse to eat most foods from a food group shall be evaluated by a physician or a dietitian for nutritional status and the need for substitutions and/or diet counseling determined.
(5) Condiments such as salt, pepper and sugar shall be provided at each meal unless contraindicated.
(6) All clients shall eat in dining rooms, except where contraindicated for health reasons upon the written order of the attending physician. Table service shall be provided for all clients who can eat at a table, including clients in wheelchairs. Dining areas shall be equipped with tables, chairs, eating utensils and dishes designed to meet the developmental needs of each client.
(7) Food shall be served attractively at appropriate temperatures and in a form to meet individual client needs.
(8) Withholding food shall not be used as a punishment, nor shall the timely service of regularly scheduled meals or snacks be made contingent upon a client's behavior.
(9) Clients shall be encouraged and assisted in feeding themselves whenever possible. Clients shall be permitted to eat in a manner consistent with their developmental needs. Whenever self-feeding is not possible, clients shall be provided assistance in eating.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76883. Food and Nutrition Services--Policies and Procedures.
Note

Written policies and procedures governing food and nutritional services shall be developed and available to all staff. These policies and procedures shall be developed with the assistance of a dietitian.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76884. Food and Nutrition Services--Therapeutic Diet Manual.
Note

A current therapeutic diet manual approved by the dietitian shall be readily available in the facility whenever any client requires a therapeutic diet.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76884.1. Food and Nutrition Services--Modified Diets.
Note

Modified diets shall be ordered by the interdisciplinary professional staff team to meet the needs of the clients.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76885. Food and Nutrition Services--Therapeutic Diets.
Note

Therapeutic diets shall be provided as prescribed by the attending physician and shall be planned, prepared and served with supervision or consultation from the dietitian.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76886. Food and Nutrition Services--Menus.
Note

(a) Menus for regular, therapeutic and modified diets shall be written at least one week in advance, dated and posted in the facility at least three days in advance.
(b) If any meal served varies from the planned menu, the change shall be noted n writing on the posted menu.
(c) Menus shall provide a variety of foods and indicate standard portions for each meal. Menus shall be different for the same day of consecutive weeks. If a cycle menu is used, the cycle shall be of no less than three weeks duration and shall be revised quarterly.
(d) Menus shall be adjusted to include seasonal commodities.
(e) A copy of the menu as planned and as served shall be kept on file for at least 30 days.
(f) Records of food purchases shall be kept for one year and available for review by the Department.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76888. Food and Nutrition Services--Food Storage.
Note

(a) Food storage areas shall be clean at all times.
(b) All foods or food items not requiring refrigeration shall be stored above the floor, on shelves, racks, or other surfaces which facilitate thorough cleaning, in a ventilated room, not subject to sewage or wastewater backflow or contamination by condensation, leakage, rodents or vermin. All packaged food, canned foods or stored food shall be kept clean and dry at all times.
(c) All readily perishable foods or beverages shall be maintained at temperatures of 7oC (45oF) or below, or at 60oC (140oF) or above, at all times, except during necessary periods of preparation and service. Frozen foods shall be stored at minus 18oC (0oF) or below at all times. There shall be an accurate thermometer in each refrigerator and freezer and in any other storage space used for perishable food.
(d) Pesticides, other toxic substances and drugs shall not be stored in the kitchen area or in storage space for food preparation equipment and utensils.
(e) Soaps, detergents, cleaning compounds or similar substances shall not be kept in food storage cabinets or bins.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76889. Food and Nutrition Services--Sanitation.
Note

(a) All kitchens and kitchen areas shall be kept clean, free from litter and rubbish and protected from rodents, roaches, flies and other insects.
(b) All utensils, counters, shelves and equipment shall be kept clean, maintained in god repair and shall be free from breaks, corrosions, open seams, cracks and chipped areas.
(c) Plasticware, china and glassware that are unsanitary or hazardous because of chips, cracks or loss of glaze shall be discarded.
(d) Ice which is used with food or drink shall be from a sanitary source and shall be handled and dispensed in a sanitary manner.
(e) If ice scoops are utilized they shall be handled and stored in a sanitary manner.
(f) Kitchen wastes that are not disposed of by mechanical means shall be kept in clean, leakproof, nonabsorbent, tightly closed containers and shall be disposed of as frequently as necessary to prevent a nuisance or health hazard.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76890. Food and Nutrition Services--Cleaning and Disinfection of Utensils.
Note

(a) All utensils used for eating, drinking and in the preparation and serving of food and drink shall be cleaned and disinfected or discarded after each use.
(b) All utensils shall be thoroughly washed in hot water (minimum temperature of 43oC (110oF), using soap or detergent and rinsed in hot water to remove soap or detergent.
(c) Drying cloths shall not be used.
(d) Dishwashing machines shall be operational and in good repair.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76891. Food and Nutrition Services--Staff.
Note

The facility shall designate one person who has primary responsibility for food planning, preparation and service. If the designated staff member does not meet the requirements of a dietary services supervisor, provision shall be made for a quarterly consultation of no less than four hours from a dietitian.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76892. Food and Nutrition Services--Equipment and Supplies.
Note

(a) Equipment of the type and in the amount necessary for preparation, serving and storing of food and dishwashing shall be provided and maintained in good working order.
(1) The service area shall be ventilated in a manner that will maintain comfortable working conditions, remove objectionable odors and fumes and prevent excessive condensation.
(2) Fixed and mobile equipment shall be located so as to assure sanitation and safety and shall be of sufficient size to handle the needs of the facility.
(b) Food supplies shall meet the following standards:
(1) At least one week's supply of staple foods and at least two day's supply of perishable foods shall be maintained on the premises. Food supplies shall meet the requirements of the menu and therapeutic diets ordered.
(2) All food shall be of good quality and obtained from sources approved or considered satisfactory by federal, state or local authorities. Food in unlabeled, rusty, leaking, broken containers or cans with side seam dents, rim dents or swells shall not be accepted or retained.
(3) Milk, when served as a beverage, shall be pasteurized Grade A or certified unless otherwise prescribed by the physician's diet order. Reconstituted powdered milk shall not be used as a beverage for client use.
(4) Milk shall be served in individual containers, from a dispensing device for such use or from the original container. Milk shall be dispensed directly into the glass or other container from which the client drinks.
(5) Foods and beverages catered from a source outside the licensed facility shall be prepared, packed, properly identified, stored and transported in compliance with these regulations and other applicable federal, state or local codes.
(6) Foods held in refrigerated or other storage areas shall be covered. Food which was prepared and not served shall be stored appropriately, clearly labeled and dated.
(7) Spoiled or contaminated food shall not be stored or served.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76893. Pharmaceutical Services--General.
Note

(a) Arrangements shall be made to assure that pharmaceutical services are available to provide clients with prescribed drugs.
(b) There shall be conformance with state and federal laws regarding dispensing, labeling, storage and administration of drugs.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76894. Pharmaceutical Services--Requirements.
Note

(a) Pharmaceutical services shall include, but are not limited to the following:
(1) Obtaining necessary drugs including the availability of 24-hour prescription service on a prompt and timely basis as follows:
(A) Drugs ordered for immediate use that are not available in the facility emergency drug supply shall be available and administered within one hour of the time ordered during normal pharmacy hours. For those hours during which the pharmacy is closed, such drugs shall be available and administered within two hours of the time ordered. Drugs ordered for immediate use which are available in the emergency drug supply shall be administered immediately.
(B) Anti-infectives and drugs used to treat severe pain, nausea, agitation, diarrhea or other severe discomfort shall be available and administered within four hours of the time ordered.
(C) Except as indicated above, all new drug orders shall be available on the same day ordered unless the drug would not normally be started until the next day.
(D) Refill prescriptions shall be available when needed.
(2) A drug distribution system which includes ordering and administration or disposal of medications.
(3) Provision of consultative and other services furnished by pharmacists which assist in the development, coordination, supervision and review of the pharmaceutical services within the facility.
(4) Upon admission of the client, a medication history of prescription and nonprescription drugs used shall be obtained by a licensed vocational nurse, registered nurse, licensed psychiatric technician or pharmacist. If not taken by a pharmacist, the pharmacist shall review the history and document such review in the unit client record within 30 days of admission.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76895. Pharmaceutical Services--Policies and Procedures.
Note

(a) There shall be written policies and procedures for safe and effective distribution, control and use of drugs developed or approved by the registered nurse and pharmacist.
(b) There shall be a written policy governing the self-administration of drugs, whether prescribed or not.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76896. Pharmaceutical Services--Orders for Drugs.
Note

(a) No drugs shall be administered except upon the order of a person lawfully authorized to prescribe.
(b) All orders for drugs shall include the drug name, dosage, frequency of administration, the specific duration of therapy, and, the route of administration if other than oral. Orders for drugs to be administered PRN (as needed) shall also include the indication for use of the drug.
(c) Written orders for drugs shall be dated and signed by the prescriber. Signature stamps shall not be used.
(d) Verbal orders for drugs:
(1) Shall be received only by registered nurses, licensed vocational nurses, licensed psychiatric technicians, pharmacists, physician's assistants (from their supervising physicians only) and other direct care staff as permitted by these regulations to administer medications. Verbal orders shall be signed by the prescribing practitioner within five (5) days.
(2) Verbal orders received by non-licensed staff shall be confirmed by the registered nurse with the prescriber within 48 hours of receipt of the order.
(3) Verbal orders shall be recorded immediately in the unit client record by the person receiving the order.
(e) Medications when first received shall have the contents and directions for use compared with the drug order before the medication is administered. This verification shall be done by the person(s) authorized to administer medications.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76897. Pharmaceutical Services--Stop Orders.
Note

Written policies shall be established limiting the duration or therapy for a new drug in the absence of a prescriber's discontinuance date. Stop orders shall be established for all therapeutic drug categories. The prescriber shall be contacted for new orders prior to the termination time established by the policy.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76898. Pharmaceutical Services--Drug Order Processing.
Note

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

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76899. Pharmaceutical Services--Drug Order Records.
Note

Facilities shall maintain a record which includes, for each drug ordered by prescription, the drug name, strength, the name of the client, the date ordered, the quantity received, the date received and the name of the issuing pharmacy. The records shall be kept at least one year.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76900. Pharmaceutical Services--Personal Medications.
Note

(a) Medications brought by or with the client on admission to the facility shall not be used, unless the contents of the containers have been examined and positively identified after admission by the client's physician or a pharmacist.
(b) This regulation shall not apply to drugs transferred from other licensed health facilities or those drugs dispensed or obtained after admission from any licensed or governmental pharmacy and shall not preclude the delivery of those drugs by any agent of the client.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety ode.
§76901. Pharmaceutical Services--Labeling and Storage of Drugs.
Note

(a) Drug containers which are cracked, soiled or without secure closures shall not be used. Drug labels shall be legible.
(b) All drugs obtained by prescription shall be labeled in compliance with state and federal laws governing prescription dispensing. No person other than the dispenser of the drug shall change any prescription label.
(c) Nonlegend drugs shall be labeled in conformance with state and federal food and drug laws.
(d) Test reagents, germicides, disinfectants and other household substances shall be stored separately from drugs and shall not be accessible to clients unless so specified in the client's individual service plan.
(e) External use drugs in liquid, tablet, capsule or powder form shall be stored separately from drugs for internal use.
(f) Drugs required to be stored at room temperature shall be stored at temperatures between 15oC (59oF) and 30oC (86oF). Drugs requiring refrigeration shall be stored in a refrigerator between 2oC (36oF) and 8oC (46oF). When drugs are stored in the same refrigerator with food, the drugs shall be kept in a closed container clearly labeled “drugs” or “medications.”
(g) Drugs shall be stored in an orderly manner in cabinets, drawers or carts of a size to prevent crowding.
(h) Dose preparation and administration areas shall be lighted in accordance with Table 2-53Q, Part 2, Title 24, California Administrative Code. If medication carts are utilized a flashlight shall be available on the cart.
(i) Drugs, hypodermic syringes and needles shall be accessible only to the administrator, pharmacist, physician, registered nurses, licensed vocational nurses and psychiatric technicians and direct care staff who administer medications except as provided in Section 76876(f)(1). Such access shall be designated in writing by the facility.
(j) Drugs shall not be kept in stock after the expiration date on the label and no contaminated or deteriorated drugs shall be available for use.
(k) The drugs of each client shall be kept and stored in the original container. No drug shall be transferred between containers.
(l) Containers of discontinued drugs shall be marked to indicate that the drug has been discontinued and shall be disposed of in accordance with Section 76903 within 90 days unless reordered within that time.
(m) Nonlegend medications may be stored at a client's bedside under the following conditions:
(1) Such storage is not contraindicated by the attending physician who shall be informed of all such storage. Facilities may adopt more restrictive policies regarding bedside storage of medications.
(2) The names of drugs located at the bedside shall be recorded in the client's individual service plan.
(3) The facility shall record bedside medication used daily based on observation or information supplied by the client.
(4) The facility shall maintain a record of drugs obtained for bedside use, including date of receipt, client name and quantity.
(5) Marked change in the use of self-administered drugs that indicate a significant change in the condition of the client shall be reported to the physician.
(6) Such medications shall be secured against access by the other clients.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76902. Pharmaceutical Services--Controlled Drugs.
Note

(a) Separate records of use shall be maintained on all drugs listed in Schedule II of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970. Such records shall be maintained accurately and shall include the name of the client, the prescription number, the drug name, strength and dose administered, the date and time of administration and the signature of the person administering the drug. Such records shall be reconciled at least daily and shall be retained at least one year.
(b) Drug records shall be maintained for drugs listed in Schedules III and IV of the above Act in such a way that the receipt and disposition of each dose of any such drug may be readily traced. Such records need not be separate from other medication records.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76903. Pharmaceutical Services--Disposal of Drugs.
Note

(a) Drugs shall be sent with the client upon discharge if labeled in accordance with law and so ordered by the discharging physician. A notation of the drugs sent with the client shall be in the unit client record.
(b) Drugs remaining in the facility after discharge shall be destroyed in the facility within 30 days of the date of discharge.
(c) Drugs shall be destroyed in the facility in the following manner:
(1) Drugs listed in Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 shall be destroyed in the facility in the presence of a pharmacist and the registered nurse employed by the facility. The name of the client, the name and strength of the drug, the prescription number, the amount destroyed, the date of destruction and the signatures of the witnesses required above shall be recorded in the unit client record or in a separate log. The record of disposal shall be retained for at least three years.
(2) Drugs not listed under Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 shall be destroyed in the facility in the presence of a pharmacist or registered nurse who with one other witness shall sign a record which lists the name of the client, the name and strength of the drug, the prescription number if applicable, the amount destroyed and the date of destruction. The notation may be in the unit client record or in a separate log. The record of disposal shall be retained for at least three years.
(d) Unless otherwise prohibited under applicable federal or state laws, individual client drugs supplied in sealed containers may be returned, if unopened, to the issuing pharmacy for disposition provided that:
(1) No controlled drugs are returned.
(2) All such drugs are identified as to lot or control number.
(3) The signatures of the receiving pharmacist and registered nurse employed by the facility are recorded in a separate log which lists the name of the client, the name, strength, prescription number (if applicable) and amount of the drug returned and the date of return. The log shall be retained for at least three years.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76905. Pharmaceutical Services--Staff.
Note

(a) Facilities shall retain a pharmacist who devotes the number of hours necessary during a regularly scheduled visit for the purpose of coordinating, supervising and reviewing the pharmaceutical services within the facility. The pharmacist shall submit a written report on the status of the pharmaceutical service and staff performance to the administrator and registered nurse at least semiannually. The report shall include a log or record of time spent in the facility. There shall be a written agreement between the pharmacist and the facility which includes duties, responsibilities and qualifications of the pharmacist and the responsibilities of the facility.
(b) A pharmacist or registered nurse shall review the drug regimen of each client at least monthly and shall document the review in writing. If the drug regimen review is performed by the registered nurse, a pharmacist shall review the drug regimen at least quarterly. The review of the drug regimen of each client shall include all drugs currently ordered, information concerning the client's condition relating to drug therapy, medication administration records, and, where appropriate, physician's progress notes, nurse's notes and laboratory test results. Irregularities in drug dispensing, drug administration, potential adverse drug reactions, allergies, interactions or contraindications, as well as laboratory test results shall be reported to the prescriber.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76906. Pharmaceutical Services--Equipment and Supplies.
Note

(a) Equipment and supplies, as necessary for the provision of pharmaceutical services shall be available within the facility. These shall include but not be limited to:
(1) Refrigerator with an accurate thermometer.
(2) Lockable drug cabinets, drawers, closets or rooms.
(3) Drug service trays or carts.
(4) Drug preparation counter area and convenient water source.
(5) Reference materials for all drugs in use in the facility which include information on generic and brand names, available strengths and dosage forms and pharmacological data including indications and side effects.
(b) A supply of legend drugs for emergency use may be stored by the facility under the following conditions:
(1) The contents are determined in consultation with the pharmacist, registered nurse, and a physician who provides care to facility clients.
(2) No more than three single doses in ampules or vials or one container of the smallest available multi-dose vial shall be included and shall be in sealed, unused containers.
(3) Sublingual or inhalation emergency drugs shall be limited to single, sealed containers of the smallest available size.
(4) Not more than six drugs in solid, oral dosage form or suppository dosage form for anti-infective, anti-diarrheal, anti-nausea, or analgesic drugs may be stored if in sealed containers. Not more than four doses of any one drug may be so stored.
(5) The supply shall be stored in a portable container which is sealed in such a manner that the tamper proof seal must be broken to gain access. Drugs used from the kit shall be replaced within 72 hours and the supply resealed by the pharmacist. The pharmacist shall inspect the supply at least quarterly.
(6) The contents of the supply shall be listed on the outside of the container.
(7) Separate records of use shall be maintained which include the name and dose of each drug administered, the name of the client, the date and time of administration, and the signature of the person administering the dose.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 4. Administration
§76907. Licensee--General Duties.
Note     •     History

(a) The licensee shall comply with licensing, statutory and regulatory requirements and be responsible for the organization, management, operation and control of the licensed facility. The delegation of any authority by a licensee shall not relieve the licensee of his/her responsibility.
(b) A licensee may act as the administrator if he/she meets the qualifications of an administrator as specified in Section 1276.5, Health and Safety Code or shall appoint a qualified administrator, to carry out the policies of the licensee. If the administrator is to be absent for more than 10 consecutive days, the licensee shall appoint another qualified administrator to carry out the day-to-day functions of the facility.
(c) The licensee shall delegate to the designated administrator the authority in writing to organize and carry out the day-to-day functions of the facility.
(d) No licensee, administrator, employee or representative thereof shall act as guardian or conservator of any client's estate.
(e) The Department may require a facility to provide additional professional administrative and supportive personnel whenever the Department determines through a written evaluation that additional staff are needed to provide for the health and safety of clients.
(f) If a language or communication barrier exists between facility staff and a client, arrangements shall be made for an interpreter or for the use of other mechanisms to ensure communication between the client and personnel.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of NOTE filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Reg ister 85, No. 25).
§76908. Consumer Information to Be Posted.
Note

(a) The following consumer information shall be conspicuously posted in the facility in a prominent location accessible to public view:
(1) A listing of all services and special programs provided in the facility and those provided through written agreement.
(2) A notice that the facility's written admission and discharge policies are available upon request.
(3) The most recent licensing visit report supported by the related follow-up visit reports so posted that each page is readable.
(4) A statement that an action to revoke the facility's license is pending, if such an action has been initiated by the filing of an accusation, pursuant to Section 11503 of the Government Code, and the accusation has been served on the licensee.
(5) Client's rights as required by Section 4503, Welfare and Institutions Code and Section 50520, Title 17, California Administrative Code.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76909. Client Transfer Procedures.
Note

(a) The facility shall maintain written transfer agreements with one or more general acute care hospitals to make the services of those facilities accessible to clients as needed and to facilitate the expeditious transfer of clients and essential client information.
(b) Prior to the transfer of a client to a general acute care hospital, the following shall be entered into unit client record by the qualified mental retardation professional or registered nurse:
(1) The date, time, condition of the client and a written statement of the reason for the transfer.
(2) Prior written consent of the client, parent of a minor or authorized representative except in an emergency.
(c) Complete and accurate client information, in sufficient detail to provide for continuity of care, shall be transferred with the client at the time of transfer.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76909.1. Bed Hold.
Note     •     History

(a) If a client of an intermediate care facility/developmentally disabled habilitative is transferred to a general acute care hospital as defined in Section 1250(a) of the Health and Safety Code, the intermediate care facility/developmentally disabled habilitative shall afford the client a bed hold of seven (7) days, which may be exercised by the client or the client's representative.
(1) Upon transfer to a general acute care hospital, the client or the client's representative shall notify the intermediate care facility/developmentally disabled habilitative within twenty-four (24) hours after being informed of the right to have the bed held, if the client desires the bed-hold.
(2) Except as provided in Section 51535.1, Title 22, California Administrative Code, any client who exercises the bed-hold option shall be liable to pay reasonable charges, not to exceed the client's daily rate for care in the facility, for bed-hold days.
(3) If the client's attending physician notifies the intermediate care facility/developmentally disabled habilitative in writing that the client's stay in the general acute care hospital is expected to exceed seven (7) days, the intermediate care facility/developmentally disabled habilitative shall not be required to maintain the bed-hold.
(b) Upon admission of the client to the intermediate care facility/developmentally disabled habilitative and upon transfer of the client of an intermediate care facility/developmentally disabled habilitative to a general acute care hospital, the intermediate care facility/developmentally disabled habilitative shall inform the client, or the client's representative, in writing of the right to exercise this bed-hold provision. No later than June 1, 1985, every intermediate care facility/developmentally disabled habilitative shall inform each current client or client's representative in writing of the right to exercise the bed hold provision. Each notice shall include information that a non-Medi-Cal eligible client will be liable for the cost of the bed-hold days, and that insurance may or may not cover such costs.
(c) A licensee who fails to meet these requirements shall offer to the client the next available bed appropriate for the client's needs. This requirement shall be in addition to any other remedies provided by law.
NOTE

Authority cited: Sections 1267.7, 1275 and 1276, Health and Safety Code. Reference: Sections 1267.7, 1275 and 1276, Health and Safety Code.
HISTORY

1. New section filed 12-17-84 as an emergency; effective upon filing (Register 85, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-16-85.
2. Certificate of Compliance including amendment of subsection (b) transmitted to OAL 4-11-85 and filed 5-15-85 (Register 85, No. 21).
§76910. Use of Outside Resources.
Note

(a) If required services are rendered by a non-employee, such required services must be rendered pursuant to a written contract between the facility and appropriate qualified personnel. Documentation of the qualifications of the professional shall be on file in the facility and subject to Department inspection.
(b) Copies of written contracts for advice, consultation, services, training or transportation, with other facilities, organizations, individuals, or public or private agencies shall be on file in the facility's administrative office and shall be reviewed and revised as needed.
(c) Written contracts with non-employees shall be subject to inspection and review by the Department.
(d) The written contract shall:
(1) Specify the responsibilities, functions, objectives, and other terms agreed to by the facility and the qualified professional; and
(2) Be signed by the administrator and the qualified professional.
(e) The licensee shall require the non-employee professional, through the written contract, to apprise the administrator of recommendations, plans for implementation and continuing assessment through dated and signed reports which shall be retained by the administrator for follow-up action.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76912. Smoking.
Note

Clients shall not be permitted to smoke in bed except when a facility staff member or responsible adult is present in the room.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76913. Administrator.
Note

(a) An administrator who does not have Qualified Mental Retardation Professional responsibilities shall not be responsible for more than four intermediate care facilities/developmentally disabled--habilitative with an aggregate total of 60 beds and these facilities shall be within 30 minutes surface travel time of each other.
(b) An administrator who has Qualified Mental Retardation Professional responsibilities shall not be an administrator of more than three intermediate care facilities/developmentally disabled--habilitative with an aggregate total of eighteen beds, and these facilities shall be within 30 minutes surface travel time of each other.
(c) The administrator shall be on the premises of the facility the number of hours necessary to permit attention to the management and administration of the facility. The Department may require that the administrator spend additional hours in the facility whenever the Department determines through a written evaluation that such additional hours are needed to provide administrative management.
(d) A copy of the current intermediate care facility/developmentally disabled--habilitative licensing regulations shall be maintained by the administrator and shall be made available to all facility personnel.
(e) The administrator shall inform the Department, within 24 hours either by telephone (confirmed in writing) or by telegraph, of an occurence that causes damage to the facility or threatens the safety or welfare of clients.
(f) The administrator shall review client and employee incident and accident reports and shall take appropriate corrective action within a reasonable period of time, but no more than 30 days from the date of the incident or accident.
(g) The administrator shall screen clients for admission to the facility to ensure that the facility admits only those clients for whom appropriate care can be provided. The administrator shall conduct pre-admission interviews as appropriate with the client's physician, client, client's next of kin and/or sponsor.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76914. Advertising.
Note

No facility shall make or disseminate false or misleading statements, or advertise false claims regarding facilities and services provided or use the words “Approved by the California Department of Health Services” or use any words conveying the impression of approval by the Department in any advertising material.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76915. Admission of Clients.
Note     •     History

(a) The licensee shall:
(1) Accept and retain only those developmentally disabled clients whose active treatment and health care needs can be met by the facility under the provisions of these regulations.
(2) Admit only clients who have had a comprehensive medical, social and psychological evaluation as required by Title 22, California Code of Regulations, section 51343.1(g).
NOTE

Authority cited: Sections 1267.7, 1275 and 131200, Health and Safety Code. Reference: Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (a)(2) and Note filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§76916. Policies and Procedures.
Note     •     History

(a) Each facility shall establish and implement the following policies and procedures:
(1) The overall philosophy, objectives and goals the facility is striving to achieve shall include, but not be limited to:
(A) The facility's role in the State comprehensive program for the developmentally disabled.
(B) The facility's goals for its clients.
(C) The facility's concept of its relationship to the parents or legal representatives of the clients.
(2) Personnel policies which include:
(A) Job descriptions detailing qualifications, duties and limitations of each classification of employee.
(B) Procedures for employee orientation to the facility, their duties, the client population served and the facility's policies and procedures.
(C) Procedures, consistent with due process, for suspension and/or dismissal of an employee for cause.
(D) A plan for at least an annual evaluation of employee performance.
(3) Policies and procedures on client admission, leave of absence, transfer and discharge which shall include rate of charge for services included in basic rate, charges for extra services, limitation of services, cause for termination of services and refund policies applying to termination of services.
(4) Policies and procedures to assure that all clients are screened for tuberculosis upon admission as required by Section 76874(b)(4).
(5) Policies and procedures assuring that admission, treatment, or discharge of a client shall not be based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical conditions, marital status, or registered domestic partner status.
(6) Written policies and procedures governing the client record service, record maintenance, access to, duplication of, and release of information from unit client records. These policies and procedures shall be developed and implemented with the assistance of a registered record administrator or an accredited record technician.
(7) A policy and procedure establishing an ongoing program of open and honest communication with the clients and families and/or authorized representatives as follows:
(A) The facility shall have a written plan for informing families or authorized representatives of significant changes in the client's condition and of activities related to the clients that may be of interest to them and to assure that communications to the facility from clients' families or representatives be promptly and appropriately handled and answered.
(B) Policies and procedures to assure that parents and authorized representatives shall be permitted to visit all parts of the facility that provide services to clients.
(C) Frequent and informal visits home shall be encouraged, and the regulations of the facility shall facilitate rather than inhibit such visits.
(8) A procedure by which allegations of client abuse are immediately reported to the administrator. Such procedures shall assure that:
(A) All alleged violations are thoroughly investigated.
(B) The results of the investigation are reported to the administrator within 24 hours of the report of the incident.
(C) Substantiated instances of client abuse are reported to the Department by telephone within 24 hours of the report of the incident, and confirmed in writing.
(D) Appropriate action is taken by the administrator when the allegation is substantiated.
(9) A written policy to assure that clients are protected from exploitation when they are engaged in work that benefits the facility. The policy shall assure that all work programs shall be included in the client's individual service plan and have specific goals and objectives.
(10) Policies and procedures for reporting unusual occurrence, as required by Section 76923.
(11) Policies and procedures for smoking by clients.
(12) Policies and procedures developed in concurrence with the local health officer to properly manage outbreaks or prevalence of infectious or parasitic disease or infestation and to correct such conditions.
(13) Policies and procedures that assure that client's equipment and valuables shall be inventoried as required by Section 76927(e)(20) and that client's personal possessions shall be identified by label.
(b) The facility shall have a written plan for a continuing management audit to insure compliance with state laws and regulations and the effective implementation of its stated policies and procedures.
(c) The facility shall have a written organizational chart showing the major operating programs of the facility, with staff divisions, the administrative personnel in charge of the programs and divisions and their lines of authority, responsibility and communication.
(d) All policies and procedures required by Section 76916 shall be in writing, made available upon request to clients or their agents, employees and the public, and shall be carried out as written. Policies and procedures shall be reviewed at least annually, and revised as needed.
NOTE

Authority cited: Sections 1267.7, 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsections (a)(1)(C) and (a)(5) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§76917. Human Rights Committee.
Note     •     History

(a) The facility shall have a Human Rights Committee which shall be responsible for assuring that client rights as specified in the Welfare and Institutions Code, Sections 4502 through 4505 and Sections 50500 through 50550, Title 17, California Administrative Code are safeguarded.
(b) Minutes of every committee meeting shall be maintained in the facility and shall indicate the names of members present, date, subject matter discussed and actions taken.
(c) Committee organization and structure shall be as follows:
(1) Composition of the committee shall consist of at least the administrator, a qualified mental retardation professional, a registered nurse, representative of the Regional Center, and with the consent of the client or when otherwise permitted by law, a client representative and/or developmentally disabled person, a parent or a community representative and may include a member from the Local Area Board on Developmental Disabilities.
(2) The committee shall meet at least quarterly.
(3) The function of the human rights committee shall include:
(A) Development of policies and procedures to assure and safeguard the client's rights listed in the Welfare and Institutions Code, Sections 4502 through 4504 and Section 50500 through 50550, Title 17, California Administrative Code.
(B) Monitor staff performance to ensure that policies and procedures are implemented.
(C) Document and participate in developing and implementing relevant in-service training programs.
(D) Review treatment modalities used by the facility where client human rights or dignity is affected.
(E) Review and approve at least annually, all behavior management programs. For those programs utilizing restrictive procedures, as specified in 76869(c)(5)(C), the minutes of the Human Rights Committee shall reflect an examination of all previous treatment modalities used by the facility and shall document that the current program represents the least restrictive treatment alternative.
NOTE

Authority cited: Sections 208, 208.4, 1267.7, and 1275, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (c)(1) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
2. Amendment of subsection (c)(1) and Note filed 8-31-95 as an emergency; operative 8-31-95 (Register 95, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-29-95 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Note (Register 96, No. 6).
4. Certificate of Compliance as 8-31-95 order transmitted to OAL 12-28-95 and filed 2-6-96 (Register 96, No. 6).
§76918. Client's Rights.
Note     •     History

(a) Each client shall have those rights as specified in Sections 4502 through 4505 of the Welfare and Institutions Code and Sections 50500 through 50550 of Title 17 of the California Code of Regulations.
(b) Each client shall have the right to be free from discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition marital status, or registered domestic partner status.
NOTE

Authority cited: Sections 1267.7, 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§76919. Employees' Health Examination and Health Records.
Note     •     History

(a) The licensee and all employees working in the facility shall have a health examination within 6 months prior to employment or within 15 days after employment and at least annually thereafter by a person lawfully authorized to perform such examinations. Each such examination shall include a medical history, physical evaluation and laboratory work as indicated. The health examination report, signed by the examiner, shall indicate that the individual is sufficiently free of disease to perform assigned duties and does not have any health condition that would create a hazard for the employee, fellow employees, visitors or clients.
(b) At the time of employment, testing for tuberculosis shall consist of a purified protein derivative intermediate strength intradermal skin test. If a positive reaction is obtained from the skin test, the employee shall be referred to a physician to determine if a chest X-ray is necessary. Annual examinations shall be performed only when medically indicated.
(c) The facility shall maintain a health record of the administrator and each employee which includes reports of all employment-related health examinations.
(d) Employees known to have or exhibiting signs or symptoms of a communicable disease shall not be permitted to work until they submit a physician's certification that they are sufficiently free of the communicable disease to return to their assigned duties.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (b) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76920. Employee Personnel Records.
Note

(a) All facilities shall maintain confidential employee records on all personnel. The record shall include the employee's full name, Social Security number, professional license or registration number, if any, employment classification, information as to past employment and qualifications, date of beginning employment and date of termination of employment and performance evaluations. Such records shall be available to authorized agents or representatives of the Department upon request.
(b) Records of hours and dates worked by all employees during at least the most recent twelve month period shall be kept on file at the place of employment or at a central location within the State of California. Such records shall be made available to the Department within one working day.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76921. Communicable Disease.
Note     •     History

A person with a clinically active communicable disease that is required to be reported by Title 17, California Administrative Code, Section 2500, shall not be admitted as a client.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76922. Reporting of Communicable Disease.
Note

All reportable cases of communicable diseases shall be reported to the local health officer in accordance with Section 3125 of the Health and Safety Code.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1276 and 3125, Health and Safety Code.
§76923. Unusual Occurrences.
Note

(a) Occurrences such as but not limited to, epidemic outbreaks of any disease, prevalence of communicable disease, whether or not such communicable disease is required to be reported by Title 17, California Administrative Code, Section 2500 or infestation by parasites or vectors, poisonings, fires, major accidents, deaths from unnatural causes or other catastrophes which threaten the safety or health of clients, personnel or visitors are deemed to be unusual occurrences and shall be reported by the facility within 24 hours either by telephone, with written confirmation, or by telegraph to the local health officer and the Department.
(b) In the event of any unusual occurrence, the client's parent, guardian, legal representative and regional center shall be notified immediately.
(c) An unusual occurrence report shall be retained on file by the facility. The facility shall furnish such other pertinent information related to such occurrences as the local health officer or the Department may require. Every fire or explosion which occurs in or on the premises shall be reported within 24 hours to the local fire authority or in areas not having an organized fire service, to the State Fire Marshal.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76924. Admission Contract.
Note

(a) Each facility shall have a written contract with each client or client's authorized representative. Such a contract shall be completed prior to or at the time of admission. It shall be dated and signed by the licensee or licensee's authorized representative, the client, if possible, and the client's authorized representative and the placement agency, if a party to the contract. A new contract shall be signed if there is any change in the terms of the original admission contract. A signed copy of the admission contract shall be provided to the client or the client's authorized representative and the placement agency, if any. A signed copy of the admission contract shall be retained in the unit client record.
(b) The contract shall specify:
(1) Services to be provided by the facility.
(2) Rate of charge for service.
(3) When and by whom payment shall be made.
(4) Conditions for modification of the agreement, including provisions for at least 30 days' prior written notice of any rate change. For the client whose care is funded at rates prescribed by government funded programs, the agreement may specify that the facility's rate may be changed effective on the operative date of any rate change made in that program.
(5) Conditions under which refunds shall be made, and the time period within which they shall be made.
(6) Conditions under which the agreement may be terminated.
(7) That no client shall be summarily discharged by the licensee unless the client is clearly engaged in behavior which is a threat to property or to the safety of others in the facility.
(c) Prior to any discharge, the client's authorized representative or placement agency, if any, shall be notified to coordinate transition to a new residential setting.
(d) A written report of any client being summarily discharged shall be sent to the local licensing district office within five days.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76925. Client Record Service.
Note

(a) The client record service shall provide for the collection, organization and confidentiality of client information.
(b) Unit client records shall be kept current and complete in detail consistent with good medical and professional practice based on the service provided to each client.
(c) All required records, either originals or accurate reproductions, shall be maintained in a legible form and promptly available upon the request of all authorized users and any authorized employee or agent of the Department.
(d) All current clinical information related to the client's individual service plan shall be centralized in the individual's unit client record. It shall be immediately available to the direct care staff. Inactive records or thinned portions of the active unit client record shall be securely stored in the facility or an off-site area approved by the Department.
(e) Client record storage areas shall be clean and protect the information from loss, destruction or defacement by fire, flood, humidity, insects or unauthorized access.
(f) Information contained in the unit client records, including information contained in an automated data bank, shall be considered confidential and shall be protected from unauthorized access or use and released only to authorized persons in accordance with federal, state and local laws.
(g) Unit client records shall be retained for seven years from the last date of service, except for records of minors, which shall be kept at least three years after the client has reached the age of eighteen and, in any case, not less than seven years.
(h) The unit client record is the property of the facility and shall be maintained for the benefit of the client, the interdisciplinary professional staff/team and the facility.
(i) The Department shall be informed within three business days prior to any cessation of a facility's operation of the arrangements made for the safe preservation of the unit client records.
(j) The Department shall be informed within three business days in writing, whenever unit client records are defaced or destroyed before the termination of the required retention period.
(k) If the ownership of the facility changes, both the licensee and the applicant for the new license shall, prior to the change of ownership, provide the Department with written documentation stating:
(1) That the new licensee will have custody of the unit client records and these records will be available to the former licensee, the new licensee and other legally authorized persons; or
(2) That other arrangements have been made by the current licensee for the safe preservation and the location of the unit client records, and that they are available to both the new and former licensees and other legally authorized persons; or
(3) The reasons for the unavailability of the records.
(l) The facility shall maintain a perpetual alphabetical index of all clients which includes at least:
(1) Identifying data;
(2) Dates of admission and discharge;
(3) Current location of all records.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76926. Admission Records.
Note

(a) A facility shall complete an admission record for each client which shall include the following:
(1) Client's name.
(2) Social security number or other identifying number.
(3) Current address.
(4) Age, date and place of birth.
(5) Sex.
(6) Marital status.
(7) Date of admission.
(8) Date of discharge.
(9) Name, address and telephone number of next of kin, guardian, conservator, or authorized representative or agency responsible for client.
(10) Name, address and telephone number of attending physician and his or her alternate physician.
(11) Medicare and Medi-Cal number, if applicable.
(12) Reason for admission or referral problem.
(13) Type and legal status of admission.
(14) Legal competency status.
(15) Language(s) spoken or understood.
(16) Religious affiliation or preference.
(17) Citizenship.
(18) Parents' marital status.
(19) Father's name and birthplace.
(20) Mother's maiden name and birthplace.
(21) Color of eyes, identifying marks and recent photograph.
(22) Sources of support, including social security, veteran's benefits and insurance.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76927. Content of Unit Client Record.
Note

(a) Each unit client record shall contain all information necessary to develop and evaluate the individual service plan; to document the client's progress and response to the plan; and, to protect the legal rights of the client, the staff and the facility.
(b) The unit client record contents shall be completed promptly at the conclusion of each required service or professional visit or as specified elsewhere in these regulations.
(1) Verbal orders shall be signed by the prescriber as specified in Section 76896(d)(2).
(2) Discharged unit client records shall be completed within thirty days.
(c) All entries in the unit client record shall be authenticated with the author's name, professional or job title, and the date and time of the entry.
(d) All entries and reports in the unit client record shall be permanent and capable of being photocopied. Entries shall be legibly handwritten, typewritten or electronically recorded.
(e) The unit client record shall contain:
(1) Admission record as required by Section 76926.
(2) Evidence of orientation to the facility as required by Section 76865(h).
(3) Client assessments as follows:
(A) Initial identification of current level of needs and functions as required by Section 76857(a)(11)(A).
(B) Medical, social and psychological evaluations as required by Section 76915(a)(2).
(C) Review and update of initial assessments as required by Section 76859(a)(1).
(D) Interdisciplinary team/staff assessment as required by Section 76859(a)(2).
(E) Nursing evaluation/assessment of health status as required by Section 76875(c).
(F) Assessment of bowel and bladder functions as required by Section 76865(n)(1).
(G) Recreational interests as required by Section 76859(c).
(H) Assessment of behavior, if applicable, as required by Section 76869(c)(2).
(I) Nutritional status, if food is refused, as required by Section 76882(b)(4).
(4) Physical examination as required by Section 76878(b)(2)(A) and (B).
(5) Dental examination as required by Section 76880(a).
(6) Integrated and coordinated individual service plan developed by the interdisciplinary team/staff with input from direct care staff. It shall contain elements as required by Section 76860(a)(1) through (4).
(7) Recreational activity plan as required by Section 76863(c).
(8) Health care plan as required by Section 76875(a)(2).
(9) Measures to prevent decubitus ulcers, contractures, and deformities as required by Section 76865(1).
(10) Bowel and bladder training plan, if applicable, as required by Section 76865(n)(2).
(11) Behavior management plan, if applicable, as required by Section 76869(c)(3)(4).
(12) Discharge plan, when anticipated, as required by Section 76860(a)(9).
(13) Review and update of the individual service plan as required by Sections 76857(a)(11)(C), 76875(a)(3), and 76858(b)(3).
(14) Progress notes as required by Sections 76860(a)(8), 76865(n)(3), 76869(c)(5)(A) through (D), 76867(d), 76874(e), and 76880(e).
(15) Notification of medication errors and adverse reactions to the practitioner who ordered the drug as required by Section 76876(h).
(16) Dental records as required by Sections 76880(e), and 76880(b)(2).
(17) Medication history as required by Section 76894(a)(4).
(18) All diagnostic and therapeutic prescriptions including diet and medications, as required by Sections 76874(e), 76864(b), and 76867(a).
(19) Medication and treatment administration records as required by Sections 76876(b), 76874(b)(3) and 76874(b)(4).
(20) Weight and height records as required by Sections 76865(i) and 76865(j).
(21) Vital signs and other flow sheet records, if ordered.
(22) Restraint records as required by Section 76868(a)(2) and (3).
(23) Developmental, medical and psychiatric diagnoses comprised of all admitting, concurrent and discharge conditions, including allergies.
(24) Discharge summary of treatment, including goals achieved and not achieved, and health care treatment prepared by the responsible practitioner(s).
(25) Consent(s) to treatment.
(26) An inventory of all client's valuables made upon admission and discharge. The inventory list shall be signed by a representative of the facility and the client or the client's authorized representative with one copy retained by each. The inventory list shall include but not be limited to the following:
(A) Items of jewelry.
(B) Items of furniture.
(C) Radios, televisions and other appliances.
(D) Prosthetic devices.
(E) Other valuable items so identified by the client, client's parents or authorized representative.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76928. External Disaster and Mass Casualty Plan.
Note

(a) A written external disaster and mass casualty plan shall be adopted. The plan shall be developed with the advice and assistance of county or regional local planning offices and shall not conflict with county and community disaster plans. A copy of the plan shall be available on the premises for review by the Department.
(b) The plan shall specify the procedures to be followed in event of community and widespread disasters. The written plan shall include at least the following:
(1) Sources of emergency utilities and supplies, including gas, electricity, water, food and essential medical and supportive materials.
(2) Procedures for assigning personnel and recalling off-duty personnel.
(3) A chart of lines of authority in the facility.
(4) Procedures for conversion of all usable space in client activity areas for immediate care of emergency admission.
(5) Procedures for moving clients from damaged areas of the facility to undamaged areas.
(6) Procedures for emergency transfers of clients who can be moved to other health facilities, including arrangements for safe and efficient transportation.
(7) Procedures for emergency discharge of clients who can be discharged without jeopardy into the community, including prior arrangements for their care, arrangements for safe and efficient transportation and 24-hour follow-up to ascertain that the clients are receiving their required care.
(8) Procedures for maintaining a record of client relocation.
(9) An evacuation plan, including evacuation routes, emergency phone numbers of physicians, health facilities, the fire department and local emergency medical services agencies.
(10) All pertinent personal and medical information shall accompany each client who is moved, transferred, discharged or evacuated.
(11) Procedures for maintaining security in order to keep relatives, visitors and curious persons out of the facility during a disaster, if necessary.
(c) The plan shall be brought up to date at least annually and all personnel shall be instructed in its requirements. There shall be evidence in the personnel files indicating that all new employees have been oriented to the plan and procedures at the beginning of their employment.
(d) The facility shall conduct a disaster drill at least once a year. There shall be a written report of the drill.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76929. Fire and Internal Disasters.
Note

(a) A written fire and internal disaster plan incorporating evacuation procedures, shall be developed with the assistance of qualified fire, safety and other appropriate experts. A copy of the plan shall be available on the premises for review by the Department.
(b) The written plan shall include at least the following:
(1) Procedures for the assignment of personnel to specific tasks and responsibilities.
(2) Procedures for the use of alarm systems and signals.
(3) Procedures for fire containment.
(4) Procedures for notification of the fire department, facility administrator, off-duty facility staff and the Department, including a list of such persons' names and telephone numbers.
(5) Location of fire-fighting equipment.
(6) Procedures for evacuation and specification of evacuation routes.
(7) Procedures for moving clients from damaged areas of the facility to undamaged areas.
(8) Procedures for emergency transfers of clients who can be moved to other health facilities, including arrangements for safe and efficient transportation.
(9) Procedures for emergency discharge of clients who can be discharged without jeopardy into the community, including prior arrangements for their care, arrangements for safe and efficient transportation and a 24-hour follow-up to ascertain that the clients are receiving their required care.
(10) A disaster tag containing all pertinent personal and medical information to accompany each client who is moved, transferred, discharged or evacuated.
(11) Procedures for maintaining a record of client relocation.
(c) Fire and internal disaster drills shall be held quarterly under varied conditions for each individual shift of facility personnel.
(d) Actual client evacuations shall be held at least three times a year, once on each shift.
(e) A dated written report and evaluation of each drill and rehearsal shall be maintained.
(f) The evacuation plan shall be posted throughout the facility and shall include at least the following:
(1) Evacuation routes.
(2) Location of fire alarm boxes.
(3) Location of fire extinguishers.
(4) Telephone number of the local fire department.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76930. Disruption of Services.
Note

Each facility shall develop a written plan to be used when a discontinuance or disruption of service occurs. Such services include, but are not limited to, utilities, food, laundry, and employee services such as walk-outs or strikes.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76931. Safeguards for Client's Monies and Valuables.
Note

(a) Each facility to which a client's money or valuables have been entrusted shall comply with the following:
(1) No licensee shall mingle clients' monies or valuables with that of the licensee or the facility. Clients' monies and valuables shall be maintained separately and intact and free from any liability that the licensee incurs in the use of the licensee's or the facility's funds and valuables. The provisions of this section shall not be interpreted to preclude prosecution for the fraudulent appropriation of clients' monies or valuables as theft, as defined by Section 484 of the Penal Code.
(2) Each licensee shall maintain adequate safeguards and accurate records of clients' monies and valuables entrusted to the licensee's care, including the maintenance of a detailed inventory.
(A) Records of clients' monies which are maintained as a drawing account shall include a control account for all receipts and expenditures, supporting vouchers and receipts for all expenditures of monies and valuables entrusted to the licensee, and an account for each client and supporting vouchers filed in chronological order. Each account shall be kept current with columns for debits, credits and balance. All of these records shall be maintained at the facility for a minimum of three years from the date of transaction. At no time may the balance in a client's drawing account be less than zero.
(B) Records of clients' monies and other valuables entrusted to the licensee for safekeeping shall include a copy of the receipt furnished to the client or to the client's authorized representative.
(3) Clients' monies shall be kept within the facility in a fireproof safe or deposited in a noninterest bearing demand trust account in a local bank authorized to do business in California, the deposits of which are insured by the Federal Deposit Insurance Corporation or in a federally insured bank or savings and loan association under a plan approved by the Department. All banking records related to these funds, including but not limited to deposit slips, checks, canceled checks, statements and check registers, shall be maintained in the facility for a minimum of three years from the date of transaction. Identification as a client trust fund account shall be clearly printed on each client's trust account checks and bank statements.
(4) A separate list shall be maintained for all checks from client accounts which were returned uncashed to the account within the preceding three years.
(5) Expenditures from a client's account shall only be for the immediate benefit of that particular client. No more than one month's advance payment for care may be received from a client's account.
(6) A person, firm, partnership, association or corporation which is licensed to operate more than one health facility shall maintain a separate demand trust account as specified in (3) above for each facility. Records relating to these accounts shall be maintained at each facility as specified in (2) above. Client funds shall not be commingled from one facility with another.
(7) Upon discharge of a client, all money and valuables of that client which have been entrusted to the licensee shall be surrendered to the client or authorized representative in exchange for a signed receipt. Money and valuables kept within the facility shall be surrendered upon discharge and those kept in a demand trust account shall be made available within three banking days. Upon discharge, the client or authorized representative shall be given a detailed list of the client's valuables as required by Section 76927(e)(20) and a current copy of the debits and credits of the client's monies.
(8) Within 30 days following the death of a client, except in a coroner or medical examiners case, all money and valuables of that client which have been entrusted to the licensee shall be surrendered to the executor, the administrator or guardian of the client's estate in exchange for a signed receipt, or to any person or that person's authorized representative having the right by law to succeed to the descendent's property, upon presentation of a statement signed under penalty of perjury declaring such person's right to receive the property. Whenever a client without known heirs dies, immediate written notice shall be given by the facility to the public administrator of the county as specified by Section 1145 of the California Probate Code and a copy of the notice shall be filed with the Department.
(9) Upon a change of ownership of a facility, an audit by a public accountant of all client's monies, which are being transferred to the custody of the new owners shall be obtained by the new owner in exchange for a signed receipt.
(10) Upon closure of a facility, an audit by a public accountant of all client's monies shall be submitted to the Department and all client's monies shall be transferred with the client.
(11) The facility shall have written policies and procedures that protect the financial interest of clients and shall provide for counseling in management of their funds.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 5. Physical Plant
§76933. Space Conversion.
Note

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

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76935. Notice to Department.
Note

The Department shall be notified, in writing, by the owner or licensee of the facility at least five days before the commencement of any construction, remodeling or alterations to such facility.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76936. Client Capacity.
Note

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

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76937. Client Rooms.
Note

(a) Client rooms shall not be locked when occupied unless the client has the means to easily unlock the door.
(b) Only upon the written approval of the Department may an exit door, corridor door, yard enclosure or perimeter fence be locked to egress.
(c) Rooms approved by the State Fire Marshal, or designee for ambulatory clients only shall not accommodate nonambulatory clients; however, this does not prohibit the mixing of ambulatory and nonambulatory clients according to their developmental needs, so long as such room assignment is consistent with the fire clearance.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
§76939. Client Room Furnishings.
Note

(a) Each client shall be provided in the client's room, at least the following:
(1) A separate bed of size and height to meet the individual needs of each client.
(2) A clean, comfortable mattress.
(3) Bedding appropriate for the weather and climate and in good repair.
(4) Furniture appropriate to the client's needs, such as but not limited to a chair, chest of drawers and a table or desk.
(b) The facility shall permit each client to bring some personal furniture from home.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1267.8 and 1276, Health and Safety Code.
§76941. Provision for Privacy.
Note

Visual privacy for each client shall be provided in client rooms, tub, shower and toilet rooms.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1267.8 and 1276, Health and Safety Code.
§76942. Telephone.
Note

(a) A telephone shall be available for client use for private conversation.
(b) The installation of the telephone shall be in compliance with Section 2-1713, Part 2, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76944. Housekeeping.
Note

(a) Each facility shall routinely clean articles and surfaces such as furniture, floors, walls, ceilings, supply and exhaust grills and lighting fixtures.
(b) There shall be written routines and procedures specifying daily, weekly and monthly cleaning schedules, for all areas of the facility.
(c) There shall be cleaning supplies and equipment available to meet the needs of the facility.
(d) Clients shall not have access to cleaning supplies and equipment unless so specified in the client's individual service plan.
(e) The interior of the facility shall be maintained in a safe, clean, orderly and attractive manner free from offensive odors.
(f) Closets, sinks and storage areas shall be maintained to meet the needs of the facility.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76945. Linen.
Note

(a) Linen shall be provided in quantities sufficient that daily clothing and linen needs are met without delay.
(b) A supply of clean wash cloths and towels shall be available to meet the needs of each client.
(c) When a facility does its own laundry on the premises, the laundry area shall be:
(1) In compliance with Section T17-072, Part 6, Title 24, California Administrative Code.
(2) Clean and sanitary.
(3) Provided with laundry equipment of suitable capacity and kept in good repair.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76946. Soiled Linen.
Note

(a) Soiled linen shall be handled, stored and processed in a manner that will prevent the spread of infection.
(b) Soiled linen shall be sorted by methods affording protection from contamination.
(c) Soiled linen shall be stored in a closed container which does not permit airborne contamination of corridors and areas occupied by clients and which precludes cross-contamination of clean linen.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76947. Clean Linen.
Note

(a) Clean linen shall be stored, handled and transported in a way that precludes cross-contamination.
(b) Clean linen shall be stored in clean rooms, alcoves or closets.
(c) Linen shall be maintained in good repair.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76949. General Maintenance.
Note

(a) The facility, including grounds, shall be maintained in a clean and sanitary condition, and in good repair at all times to ensure the safety and well being of clients, staff and visitors.
(b) Buildings shall be free of pests and pollutants such as noise, vermin, flies and other insects as may adversely affect the health or welfare of clients.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76950. Storage and Disposal of Solid Wastes.
Note

(a) Solid wastes shall be stored and eliminated in a manner to preclude the transmission of communicable disease. These wastes shall not be a nuisance or a breeding place for insects or rodents nor be a food source of either.
(b) Solid waste containers shall be stored and located in a manner that will prevent odors from entering client areas.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76951. Solid Waste Containers.
Note

(a) All containers used for storage of solid wastes, shall have tight-fitting covers in good repair, external handles and shall be leakproof and rodent proof.
(b) All containers receiving putrescible wastes shall be emptied at least every four days or more often if necessary.
(c) Solid waste containers shall be thoroughly washed and cleaned each time they are emptied unless soil contact surfaces have been completely protected from contamination by disposable liners, bags or other devices removed with the waste.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76952. Water Supply and Plumbing.
Note     •     History

(a) Where water for human consumption is from an independent source, it shall be subjected to bacteriological analysis by the local health department, the Department or a licensed commercial laboratory at least every three months. A copy of the most recent laboratory report shall be available for inspection by the Department.
(b) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures used by clients to attain a hot water temperature in compliance with Part 5, Title 24, California Administrative Code.
(c) Special precautions shall be taken to prevent the scalding of clients.
(d) Grab bars shall be maintained at toilets, bathtubs and showers as needed by clients.
(e) Toilet, handwashing and bathing facilities shall be maintained in operating condition.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (b) filed by the Department of Health Services with the Secretary of State on 11-28-84. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 25).
§76953. Lighting.
Note

All rooms, attics, basements, passageways and other spaces shall be provided with artificial illumination as set forth in Division 9, Chapter 2-53, Part 2, of Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76954. Mechanical Systems.
Note

(a) Heating, air conditioning and ventilating systems shall be maintained in normal operating condition to provide a comfortable temperature.
(b) Temperature and humidity shall be maintained within a normal comfort range by heating, air conditioning or other means. The heating apparatus employed shall not constitute a burn hazard to the clients.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76955. Screens.
Note

Screens shall be provided as required by Section T17-066, Part 6, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76956. Storage.
Note

Facilities shall maintain general storage areas in accordance with T17-440(a)(c) of Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76957. Space.
Note

All spaces located in the facility or internally connected to a licensed facility shall be considered a part of the facility and subject to licensing regulations.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
§76959. Pest Control Program.
Note

The facility shall be maintained free from insects and rodents through operation of a pest control program. The pest control program shall include the main client building, all out buildings on the property and all adjacent grounds.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
Article 6. Violations and Civil Penalties
§76960. Definitions.
Note

(a) The following definitions shall apply to this Article:
(1) Substantial probability means that the likelihood of an event is real, actual and not imaginary, insignificant or remote.
(2) Serious physical harm means that type of dangerous bodily injury, illness or condition in which:
(A) A part of the body would be permanently removed, rendered functionally useless or substantially reduced in capacity, either temporarily or permanently and/or
(B) A part of an internal function of the body would be inhibited in its normal performance to such a degree as to temporarily or permanently cause a reduction in physical or mental capacity or shorten life.
(3) Direct relationship means one in which a significant risk or effect is created and does not include a remote or minimal risk or effect.
(4) A class “C” violation is any violation of a statute or regulation relating to the operation or maintenance of any facility which the Department determines has only a minimal relationship to the health, safety or security of the facility clients.
(A) A class “C” violation is not subject to any monetary civil penalty. A notice of all such violations shall be issued and an appropriate plan of correction obtained at the time of completion of inspection.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1276, 1424 and 1427, Health and Safety Code.
§76961. Filing of Names and Addresses.
Note

(a) The licensee of each facility shall file with the Department the address of the license to whom all citations and notices concerning any class “A” or class “B” violations shall be mailed by the Department.
(b) Each such licensee shall also designate one or more persons who are authorized to accept on the licensee's behalf, any citations to be served by any representative of the Department.
(c) Each such licensee shall file with the Department the names and titles of those persons who are such designees of the licensee.
(d) Each such licensee shall also file with the Department a written notice of any change in address of its designee or of any change of designee. The Department shall mail all citations or notices to the latest address on file with the Department.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Section 1423, Health and Safety Code.
§76962. Penalties.
Note

(a) In fixing the amount of civil penalty to be imposed for a class “A” violation, the district administrator, or designee, shall consider:
(1) The gravity of the violation, which shall include:
(A) The degree of substantial probability that death or serious physical harm to a client would result and, if applicable, did result from the violation.
(B) The severity of serious physical harm to a client or guest which was likely to result and, if applicable, that did result, from the violation.
(C) The extent to which the provisions of the applicable statutes or regulations were violated.
(2) The “Good Faith” exercised by the licensee. Indications of good faith include awareness of the applicable statutes and regulations, and reasonable diligence in complying with such requirements, prior accomplishments manifesting the licensee's desire to comply with such requirements, and any other mitigating factors in favor of the licensee.
(3) Any previous violations committed by the licensee.
NOTE

Authority cited: Sections 208.4 and 1267.7, Health and Safety Code. Reference: Sections 1424 and 1427, Health and Safety Code.
Chapter 9. Psychiatric Health Facilities
Article 1. Definitions
§77001. Accredited Record Technician.
Note     •     History

Accredited Record Technician means a person who is accredited or eligible for accreditation as such by the American Medical Records Association.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275.1 and 1276.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77003. Authorized Representative.
Note     •     History

Authorized representative means a person authorized to act on behalf of the patient by law, by court order or by written statement signed by the patient, unless the patient has been judicially declared incompetent. Except in State operated facilities, an authorized representative shall not be an owner, administrator, employee, representative or agent of the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77004. Clinical Psychologist.
Note     •     History

Clinical psychologist means a psychologist licensed by this State and (1) who possesses an earned doctorate degree in psychology from an educational institution meeting the criteria for subdivision (c) of Section 2914 of the Business and Professions Code and (2) has not less than two years clinical experience in a multidisciplinary facility licensed or operated by this or another State or by the United States to provide health care, or, is listed in the latest edition of the National Register of Health Service Providers in Psychology, as adopted by the Council for the National Register of Health Service Providers in Psychology.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77004.1. Communicable Disease.
Note     •     History

Communicable disease means an illness due to a specific disease producing agent (virus, bacteria, etc.) or its toxic products which arises through transmission of that agent or its products from an infected person, animal or other reservoir to a susceptible host--either directly as from an infected person or animal, or indirectly through the agency of an intermediate plant or animal host, vector or the inanimate environment.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77005. Department.
Note     •     History

Department means the State Department of Mental Health.
NOTE

Authority cited: Section 4080(f), Welfare and Institutions Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Change without regulatory effect amending section and Note filed 5-7-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 19).
§77007. Dietitian.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275.1 and 1276.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77009. Director.
Note     •     History

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

Authority cited: Section 4080(f), Welfare and Institutions Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Change without regulatory effect amending section and Note filed 5-7-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 19).
§77010. Exclusion Timeout.
Note     •     History

Exclusion timeout means removing a patient from an activity to another area in the same room or vicinity for a period of time contingent on a specific maladaptive behavior.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77011. Governing Body.
Note     •     History

Governing body means the person, persons, board of trustees, directors or other body in whom the authority and responsibility is vested for conduct of the facility. In the case of a facility operated by a governmental agency, the governing body may be the County Board of Supervisors, the City Council or any committee or individual so designated by such Board or Council.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77011.1. Infectious Disease.
Note     •     History

Infectious disease means any disease caused by growth of pathogenic microorganisms in the body. May or may not be contagious.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77011.2. Licensed Clinical Social Worker.
Note     •     History

Licensed clinical social worker means a person who possesses a master's degree from an accredited school of social work and two years of post master's experience in a mental health setting; and shall have obtained a license as a clinical social worker by the California Board of Behavioral Science Examiners.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77012. Licensed Mental Health Professional.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.)
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77012.1. Licensed Psychiatric Technician.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77012.2. Licensed Vocational Nurse.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77013. Local Bank.
Note     •     History

Local bank means any bank which is in the vicinity of the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77014. Marriage, Family and Child Counselor.
Note     •     History

Marriage, family and child counselor means a person licensed as such by the Board of Behavioral Examiners pursuant to Business and Professions Code Section 4980 et seq.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77017. Mental Health Worker.
Note     •     History

Mental health worker means a person who does not qualify as a licensed health professional but who through experience, inservice training or formal education, is qualified to participate in the care of the psychiatric patient.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275.1 and 1276.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77018. On-Call.
Note     •     History

On-call means immediately available for consultation by telephone and available to be in the facility within thirty (30) minutes if requested to do so.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77019. Permanently Converted.
Note     •     History

Permanently converted means space which is not available for patient accommodation because the facility has converted the space to some other use and such space could not be reconverted to patient accommodation within 24 hours.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1268 and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77021. Postural Support.
Note     •     History

Postural support means a method other than orthopedic braces used to assist patients to achieve proper body position and balance.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77023. Psychiatrist.
Note     •     History

Psychiatrist means a person who is licensed as a physician and surgeon in California and shows evidence of having completed three years graduate training in psychiatry in a program approved by the American Medical Association or the American Osteopathic Association.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77027. Registered Record Administrator.
Note     •     History

Registered record administrator means a person who is registered or eligible for registration as such by the American Medical Record Association.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275.1 and 1276.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77028. Sanction.
Note     •     History

Sanction means a penalty imposed against a psychiatric health facility for noncompliance with regulations and laws pertaining to psychiatric health facilities. Sanctions may include:
(a) Cease and desist orders.
(b) Monetary penalties.
(c) License suspension.
(d) License revocation.
NOTE

Authority cited: Section 4080(j)(2), Welfare and Institutions Code; and Section 1275, Health and Safety Code. Reference: Section 4080(j), Welfare and Institutions Code.
HISTORY

1. New section filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77029. Seclusion.
Note     •     History

Seclusion means the isolation of a patient in a locked area, for the purpose of modifying a behavior.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77030. Structured Outpatient Services.
Note     •     History

Structured Outpatient Services (SOPS) are services provided on a less than 24-hour basis by a psychiatric health facility with special permit from the Department.
NOTE

Authority cited: Sections 1254(e) and 1275, Health and Safety Code. Reference: Sections 1250.2(b) and 1266.1(f), Health and Safety Code.
HISTORY

1. New section filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77031. Supervision.
Note     •     History

(a) Supervision means the instruction of employees or subordinates in the manner of carrying out their duties and overseeing or directing of their work.
(b) Direct supervision means that the supervisor shall be present in the same building as the person being supervised and available for consultation and/or assistance.
(c) Immediate supervision means that the supervisor shall be physically present while a task is being performed.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77033. Treatment Restraint.
Note     •     History

Treatment restraint means the use of a restraining device during medically prescribed treatment or diagnostic procedures such as, but not limited to, intravenous therapy, tube feeding or catheterization.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77035. Unit Patient Health Record.
Note     •     History

Unit patient health record means a patient's health record that contains, in one file, all records of inpatient and outpatient care and treatment rendered to a patient by the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77036. Unusual Occurrences.
Note     •     History

An unusual occurrence means any condition or event which has jeopardized or could jeopardize the health, safety, security or well-being of any patient, employee or any other person while in the facility and shall include, but not be limited to:
(1) An epidemic outbreak of any disease, prevalence of communicable disease, whether or not such communicable disease is required to be reported by Title 17, California Administrative Code, Section 2500, or epidemic infestation by parasites or vectors.
(2) Poisonings.
(3) Fires.
(4) Physical injury to any person which, consistent with good medical and professional practice, would require treatment by a physician.
(5) Death of a patient, employee or visitor from unnatural causes.
(6) Sexual acts involving patients who are nonconsenting.
(7) Physical assaults on patients, employees or visitors.
(8) All instances of patient abuse.
(9) Actual or threatened walkout, or other curtailment of services or interruption of essential services provided by the facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
Article 2. Licensing and Inspection
§77037. Application Required.
Note     •     History

(a) A signed application for a new license shall be submitted to the State Department of Mental Health whenever any of the following circumstances occur:
(1) Establishment of a facility.
(2) Change in the entity that operates, conducts, maintains, or manages the facility.
(b) The licensee shall submit a signed application for a corrected license to the Department whenever any of the following occur:
(1) Construction of a new or replacement facility.
(2) Increase in licensed bed capacity.
(3) Change of license category.
(4) Change of name of facility.
(5) Change of location of facility.
(6) Change in bed classification.
(7) Decrease in licensed bed capacity.
NOTE

Authority cited: Section 1254, Health and Safety Code; and Section 4080(f), Welfare and Institutions Code. Reference: Sections 1253, 1254.1 and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Change without regulatory effect amending subsection (a) and Note filed 5-7-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 19).
§77038. Application Procedure for Obtaining a License.
Note     •     History

(a) Whenever an application is submitted pursuant to Sections 77037 or 77070:
(1) The Department shall inform the applicant, within 30 calendar days of receipt of an application for a license or special permit, that the application is complete and accepted for filing, or that the application is deficient and what specific information, documentation, or fee is required to complete the application.
(2) It is considered complete when all documents, information or fees required to be submitted on or with an application have been received by the Department.
(b) If the applicant fails to respond within 30 calendar days to the Department's request pursuant to (a)(1) above for additional information, documentation, or fees, the application shall be deemed to have been withdrawn by the applicant.
(c) Any applicant deemed to have withdrawn an application pursuant to subsection (b) above may re-apply by submitting a new application.
(d) The Department, within 60 calendar days of submission of a completed application, shall notify the applicant in writing, of the agency's decision regarding the application.
(e) If the Department fails to notify an applicant within the time period specified in (d) above, the applicant may appeal in writing directly to the Director. The written appeal shall include:
(1) An identification of the applicant and the application;
(2) The date upon which the application was submitted;
(3) A copy of any correspondence between the Department and the applicant regarding the application; and
(4) Any other information which the applicant wishes to submit regarding the timeliness of the Department's consideration of the application.
(f) Nothing in this section shall be construed to require the Department issue a license as a psychiatric health facility.
NOTE

Authority cited: Section 15376, Government Code; and Section 1275, Health and Safety Code. Reference: Sections 15376 and 15378, Government Code and Sections 1253, 1265, 1266.1(f), 1275.1 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of subsections (a) and (a)(1) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77039. Safety, Zoning and Building Clearance.
Note     •     History

(a) A license shall not be issued to any psychiatric health facility which does not conform to the State Fire Marshal's requirement for fire and life safety, the State requirements for environmental impact, and local fire safety, zoning and building ordinances. The following evidence of such compliance shall be presented in writing to the Department:
(1) The facility must obtain a fire clearance consistent with State Fire Marshal standards for psychiatric health facilities.
(2) The evidence of compliance must contain approval for the facility to use restraint and seclusion as required in Section 77101(a) and (b).
(b) It shall be the responsibility of the licensee to maintain the psychiatric health facility in a safe structural condition. If the Department determines that an evaluation of the structural condition of a psychiatric health facility building is necessary, the licensee may be required to submit a report by a licensed structural engineer which shall establish a basis for eliminating or correcting the structural conditions which are found to be hazardous to occupants.
(c) Hot water temperature controls shall be maintained to automatically regulate the temperature of hot water delivered to plumbing fixtures used by patients in compliance with Sections 611.0-611.9, Part 5, Title 24, California Code of Regulations.
NOTE

Authority cited: Sections 1254 and 1275, Health and Safety Code. Reference: Sections 1253, 1265, 1275.1 and 1276, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of subsection (a), new subsections (a)(1), (a)(2) and (c) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77041. Issuance, Expiration and Renewal.
Note     •     History

(a) Each initial license shall be issued in accordance with Section 1267, Health and Safety Code, and shall expire at midnight, one year from the date of issue.
(b) Each renewal license shall be issued in accordance with Section 1267, Health and Safety Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1267 and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77043. Separate License.
Note     •     History

(a) A separate license shall be required for each psychiatric health facility that is maintained on separate premises even though they are under the same management.
(b) Separate licenses shall not be required for separate buildings on the same grounds or adjacent grounds provided that they operate as one psychiatric health facility.
(c) A licensed psychiatric health facility shall not provide services other than those provided in these regulations, or hold any other license or certificate to provide services, without the written permission of the Department.
(d) A psychiatric health facility shall not be dependent upon any other facility for its staff, facility or program.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Sections 1250.2, 1253 and 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. New subsections (c) and (d) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77045. Posting of License and Consumer Information.
Note     •     History

(a) The license, or a true copy thereof, shall be posted in a prominent location within the licensed premises and accessible to public view.
(b) Any approval of the Department granted under program flexibility shall be posted immediately adjacent to the facility's license.
(c) The following consumer information shall be posted in a prominent location accessible to public view.
(1) Name of the current administrator of the facility.
(2) A notice that the facility's written admission and discharge policies are available upon request.
(3) Most recent licensing visit report supported by the related follow-up plan of correction visit reports or a posted statement that such documents are available upon request for public review at the facility.
(4) A notice of the name, address and telephone number of the Department of Mental Health division having jurisdiction over the facility.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of subsections (c)(3) and (c)(4) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77047. Report of Changes.
Note     •     History

The licensee shall notify the Department within 10 days, in writing, of any of the following:
(a) Any change of clinical director or administrator of business and support services.
(b) Any change of the principal officers of the corporation if other than a public entity.
(c) Any change of the mailing address of the licensee.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1265 and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77049. Program Flexibility.
Note     •     History

All facilities shall maintain continuous compliance with the licensing requirements. Such requirements, however, do not prohibit the use of alternate concepts, pursuant to Section 1276(b) of the Health and Safety Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1268, 1275.1 and 1276(b), Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77051. Voluntary Suspension of Licensure or Licensed Beds.
Note     •     History

(a) Any license or portion thereof, which has been suspended for a period of time approved by the Department shall remain subject to all renewal requirements of an active license, including the payment of license renewal fees during the period of suspension.
(b) If the license is not reinstated during the period of approved suspension, the license shall expire automatically and shall not qualify for reinstatement; however, an application may be submitted for a new license.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275.1 and 1300, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77052. Imposition of Sanctions.
Note     •     History

The suspension and revocation of a license shall be initiated in accordance with Health and Safety Code, Section 1294. The Director may impose sanctions when a facility demonstrates a failure to comply with the laws and regulations that govern psychiatric health facilities.
(a) The Department shall issue a cease and desist order if, in the opinion of the Department, an immediate danger to the health, welfare and safety of the facility's patients exists.
(b) Monetary penalties levied against a facility shall be in accordance with Welfare and Institutions Code, Section 4080(j)(1)(B).
NOTE

Authority cited: Section 1275, Health and Safety Code; and Section 4080(f) and (j), Welfare and Institutions Code. Reference: Sections 1275.1 and 1294, Health and Safety Code; and Section 4080(j), Welfare and Institutions Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of section heading, section and Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77052.5. Appeal of Sanctions.
Note     •     History

(a) All appeals of denial of licensure or imposition of a sanction, imposed in accordance with Section 77028, shall be made pursuant to this section and shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(b) The Director shall notify in writing an applicant of a denial of licensure and a licensee of an imposed sanction.
(c) All notifications and all accompanying information may be served personally or by registered mail to the applicant's/licensee's latest address on file with the agency.
(d) The notice shall contain the following:
(1) The effective date of the denial or sanction, written delineation of the bases for the denial/sanction, and a copy of this section, governing the procedure for an appeal of a denial/sanction.
(2) A written statement of charges which shall set forth in ordinary and concise language the acts or omissions with which the applicant/licensee is charged, in a manner that the applicant/licensee will be able to prepare his defense.
(3) Specificity regarding the statutes and regulations which the applicant/licensee is alleged to have violated, but shall not consist merely of charges phrased in the language of such statutes and regulations.
(e) The Department may include with the notice any information which it deems appropriate, but it shall include a notice of defense which, when signed by or on behalf of the applicant/licensee and returned to the Department, will acknowledge service of the notice and constitute a notice of defense under Section 11506 of the Government Code.
(f) The copy of the notice of defense shall include or be accompanied by (1) a statement that the applicant/licensee may request a hearing by mailing a notice of defense as provided in Section 11506 of the Government Code within 15 days after service upon the applicant/licensee of the notice, and that failure to do so will constitute a waiver of the applicant/licensee's right to a hearing, and (2) copies of Sections 11507.5, 11507.6, and 11507.7 of the Government Code.
(g) Unless a written request for a hearing signed by or on behalf of the applicant/licensee in the accompanying notice is delivered or mailed to the Department within 15 days after the notice was personally served on the applicant/licensee or mailed to the applicant/licensee, the Department of Mental Health may proceed upon the notice without a hearing.
(h) The request for a hearing may be made by delivering or mailing the notice of defense, or by delivering or mailing a notice of defense as provided by Section 11506 of the Government Code to: the Department of Mental Health, Licensing and Certification, 1600 9th Street, Sacramento, California 95814. The applicant/licensee may, but is not required to, be represented by counsel at any or all stages of these proceedings. If the applicant/licensee desires the names and addresses of witnesses or an opportunity to inspect and copy the items mentioned in Section 11507.6 of the Government Code in the possession, custody or control of the Department, the applicant/licensee may contact: the Department of Mental Health, Licensing and Certification, 1600 9th Street, Sacramento, California 95814.
(i) The suspension, expiration, or forfeiture of a license issued by the Department shall not deprive the Department of its authority to institute or continue a proceeding against the licensee upon any ground provided by law or to enter an order suspending or revoking a license or otherwise taking disciplinary action against the licensee on any such ground.
NOTE

Authority cited: Section 1275, Health and Safety Code; and Section 4080(j)(2), Welfare and Institutions Code. Reference: Section 4080(f) and (j), Welfare and Institutions Code.
HISTORY

1. New section filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77053. Bonds.
Note     •     History

(a) Psychiatric health facilities with the exception of psychiatric health facilities operated by public entities, which handle $25.00 or more per patient or $500.00 or more for all patients within any one month, shall post a bond in accordance with the following schedule: 

Amount Handled 	Bond Required
$25 or more per patient or $500 or over and 
  up to $750 for all patients within one month 	 $1,000
$751 to $1,500 	 $2,000
$1,501 to $2,500 	 $3,000
$2,500.01 and above 	 additional $1,000 bond
	for each $1,000 or
	fraction thereof of
	patients funds handled
	in excess of $2,500
(b) Each application for an original license or renewal of license, with the exception of psychiatric health facilities operated by public entities, shall be accompanied by an affidavit on a form provided by the Department. The affidavit shall state whether the licensee handles or will handle money of patients and the maximum amount of money to be handled for any patient and for all patients in any month.
(c) No licensee shall handle amounts greater than those stated in the affidavit submitted by the licensee without first notifying the Department and filing a new or revised bond if required.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275.1 and 1318, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77055. Convictions of Crime: Standards for Evaluating Rehabilitation.
Note     •     History

(a) When considering the denial, suspension or revocation of a license based on the conviction of a crime in accordance with Section 1265.1 or 1294 of the Health and Safety Code, the following criteria shall be considered in evaluating rehabilitation.
(1) The nature and the seriousness of the crime(s) under consideration.
(2) Evidence of conduct subsequent to the crime which suggests responsible or irresponsible character.
(3) The time which has elapsed since commission of the crime or conduct referred to in subsection (1) or (2) above.
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant.
(5) Any rehabilitation evidence submitted by the applicant.
NOTE

Authority cited: Sections 208(a), 1265.2 and 1275, Health and Safety Code. Reference: Sections 1265, 1265.1, 1265.2, 1277 and 1294, Health and Safety Code.
HISTORY

1. New section filed 4-15-87; operative 5-15-87 (Register 87, No. 16).
Article 3. Services
§77059. Basic Services.
Note     •     History

The facility may provide services to patients either directly or by written agreement with outside resources as specified in Section 77109.
NOTE

Authority cited: Section 208(a) and 1275, Health and Safety Code. Reference: Sections 1250.2 and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77061. Staffing.
Note     •     History

(a) The facility shall have a clinical director who shall be a licensed mental health professional and qualified in accordance with Section 77093 of these regulations.
(b) The clinical director may also serve as the administrator.
(c) The clinical director shall designate a clinical psychologist or psychiatrist to review and approve interdisciplinary treatment plans.
(d) A physician shall be on-call at all times for the provision of physical health care and those services which can only be provided by a physician. The person in charge of patient care services on each shift shall be provided with the name(s) and means of locating and contacting the available physician. Patients requiring general acute physical health care shall be diverted from admission or transferred to a general acute care hospital. An individual patient may be admitted to a psychiatric health facility if the individual's physical health care could otherwise be managed on an outpatient basis.
(e) If the clinical director is not a physician, responsibility for those aspects of an individual treatment plan which may only be performed by a physician, shall be assumed by a physician.
(f) During the absence of any staff required in subsection (h)(1) below there shall be a substitute person with the required qualifications to provide the number of hours of services required.
(g) Community practitioners who are approved to admit and/or attend patients in the facility may be calculated as part of the staffing pattern only if they are retained by written contract to provide services for a specified number of hours to the patients at the facility.
(h) Each facility shall meet the following full-time equivalent staff to census ratio, in a 24 hour period:

View Graphic
(2) For facilities in excess of 100 beds, staffing shall be provided in the ratios as in (1) above.
(3) A registered nurse shall be employed 40 hours per week.
(4) There shall be a registered nurse, a licensed vocational nurse, or a psychiatric technician awake and on duty in the facility at all times.
(i) The required staffing ratio shall be calculated based upon the inpatient census and shall provide services only to psychiatric health facility patients.
(j) Regardless of the minimum staffing required in subsection (h)(1) above, the facility shall employ professional and other staff on all shifts in the number and with the qualifications to provide the necessary services for those patients admitted for care.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Sections 1250.2 and 1275.1, Health and Safety Code
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of subsection (d) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77063. Psychiatric, Psychological and Counseling Services.
Note     •     History

(a) Psychiatric services shall be provided by licensed physicians with training and/or experience in psychiatry.
(b) Psychological services shall be provided by clinical psychologists in accordance with Business and Professions Code, Section 2903 and Health and Safety Code, Section 1316.5.
(c) Counseling services shall be provided by licensed clinical social workers in accordance with Business and Professions Code, Sections 4996 and 4996.9, or licensed marriage, family and child counselors in accordance with Business and Professions Code, Sections 4980 and 4980.02.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1250.2 and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77065. Psychiatric Nursing Services.
Note     •     History

(a) Psychiatric nursing services shall be designed to meet the objectives of each patient's interdisciplinary treatment plan.
(b) Policies and procedures for the administration of medications shall be implemented by the psychiatric nursing service.
(c) Nursing services shall include the development of a nursing care plan based upon an initial written and continuing assessment with input from health professionals involved in the care of the patient. Initial assessments shall commence at the time of admission of the patient and be completed within 72 hours after admission. Nursing care plans shall either be included as a part of the interdisciplinary treatment plan or occupy a unique section of the patient record. 
(d) Written nursing services policies and procedures shall be developed which include:
(1) A current nursing procedure manual appropriate to the patients served by the facility.
(2) Provision for the inventory and identification of patients' personal possessions, equipment and valuables.
(3) Screening of all patients for tuberculosis upon admission. A tuberculosis screening procedure may not be required if there is satisfactory written evidence available that a tuberculosis screening procedure has been completed within 90 days of the date of admission to the facility. Subsequent tuberculosis screening procedures shall be determined by a physician.
(4) Notification of practitioner regarding sudden or marked adverse change in a patient's condition.
(5) Conditions under which restraints are used, the application of restraints, and the mechanism used for monitoring and controlling their use.
(6) A planned and systematic process for the monitoring and evaluation of the quality and appropriateness of patient care and for resolving identified problems.
(e) Psychiatric nursing policies and procedures shall either be integrated into a separate section of a general manual or contained in a policy and procedure manual dedicated to nursing policies and procedures.
(f) There shall be a written staffing pattern which shall show:
(1) Total numbers of staff including full-time and full-time equivalents.
(2) The available nursing care hours for each nursing unit.
(3) The categories of staff available for patient care.
(g) The psychiatric nursing service shall be under the direction of a registered nurse who shall meet at least the following qualification:
(1) Master's degree in psychiatric nursing or related field with experience in administration; or
(2) Baccalaureate degree in nursing or related field with experience in psychiatric nursing and two years of experience in nursing administration; or
(3) Four years of experience in nursing administration or supervision and with experience in psychiatric nursing.
(h) Psychiatric health facility policies and procedures shall specify how a registered nurse will exercise authority and carry out the responsibility of supervising nursing activities such as, but not limited to:
(1) Dispensing, and recording of medication(s).
(2) Documenting patients' nursing care needs in the interdisciplinary treatment plan.
(3) Implementing nursing procedures.
(4) Providing inservice education related to nursing activities.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Sections 1250.2 and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of subsection (c), new subsection (e), subsection relettering, new subsections (h)-(h)(4) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77067. Social Services.
Note     •     History

(a) Social services shall be designed to meet the objectives of each patient's interdisciplinary treatment plan in accordance with established policies and procedures.
(b) Social services shall be organized, directed and supervised by a licensed clinical social worker.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1250.2 and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77069. Rehabilitation Services.
Note     •     History

(a) Rehabilitation services mean those activities provided by occupational therapists, physical therapists or recreation therapists under the general direction of the clinical director to restore, establish and maintain optimum levels of social, vocational and physical functioning and to minimize residual disabilities of patients. Rehabilitation services provided in a psychiatric health facility are to be designed to meet the needs of acute psychiatric inpatients.
(b) In accordance with established policies and procedures, the scope of these activities shall include at least the following:
(1) Social activities which involve group participation.
(2) Recreational activities, both indoor and outdoor.
(3) Opportunity to participate in activities outside of the facility if appropriate.
(4) Exercises.
(c) A physician shall prescribe in the health record the level of physical activity in which a patient may engage.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Sections 1250.2 and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of subsection (a) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77070. Structured Outpatient Services Program.
Note     •     History

(a) An application for a special permit for structured outpatient services shall include all of the following:
(1) The identification of a structured outpatient services coordinator.
(2) A written policy that the facility will have staffing based on census consistent with Section 77061(h), for the services to be provided under the special permit.
(b) The Department may require the applicant to provide verification and clarification of information submitted in an application.
(c) Structured outpatient services shall be an alternative to admission to inpatient services, aftercare services following discharge from inpatient care, or both.
(1) Structured outpatient services are not to exceed 10 daytime hours.
(2) The charge for patients in both a morning and an afternoon program on the same day shall not exceed 60 percent of the facility's authorized per diem charge for inpatient services.
(3) The charge for patients in either a morning or afternoon program shall not exceed 30 percent of the facility's authorized per diem charge for inpatient services.
(d) The facility shall have staffing for the services to be provided under the special permit in addition to that required by Section 77061.
(1) Staff shall meet the same professional standards as required under these regulations.
(2) The facility shall appoint a coordinator of structured outpatient services.
(e) When a facility is issued a permit, structured outpatient services are to be provided as one of the program aspects of the psychiatric health facility.
NOTE

Authority cited: Sections 1254(e) and 1275, Health and Safety Code. Reference: Sections 1250.2(b) and 1266.1(f), Health and Safety Code.
HISTORY

1. New section filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77071. Aftercare Services.
Note     •     History

(a) Prior to or at the time of discharge, each patient shall be evaluated concerning the patient's need for aftercare services with the result of that evaluation noted in the patient's health record.
(b) Aftercare services are those services to, and on behalf of, a patient following discharge from the psychiatric health facility for the purpose of enabling the patient to achieve an optimum level of functioning.
(c) Aftercare services shall include but not be limited to the following:
(1) Arranging for out-of-home placement if necessary.
(2) Arranging for medication supervision if indicated.
(3) Obtaining community social, vocational and educational services if appropriate.
(d) If a licensed psychiatric health facility does not provide its own aftercare service through its employed staff, it shall affiliate or have an agreement with a recognized aftercare agency in the facility's service area to provide aftercare services to patients who could benefit from such services upon discharge from the facility.
(e) A member of the interdisciplinary team designated by the clinical director, shall be responsible for ensuring that the referral of the patient to the appropriate aftercare service has been completed and documented in the patient's health record.
(f) In accordance with Health and Safety Code, Section 1284 and Welfare and Institutions Code, Section 5622, aftercare plans shall be transmitted to the local director of mental health services in the county of residence for any patient placed in the facility under a county Short-Doyle plan.
(g) The content of the aftercare plan shall conform to the requirements of Health and Safety Code, Section 1284.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1250.2, 1275.1 and 1284, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77073. Interdisciplinary Treatment Plan.
Note     •     History

(a) A written interdisciplinary treatment plan shall be developed and implemented by the interdisciplinary treatment team for each patient as soon as possible after admission but no longer than 72 hours following the patient's admission, Saturdays, Sundays and holidays excepted.
(b) The interdisciplinary treatment plan shall include as a minimum:
(1) A statement of the patient's physical and mental condition, including all diagnoses.
(2) Specific goals of treatment with interventions and actions, and observable, measurable objectives.
(3) Methods to be utilized, the frequency for conducting each treatment method and the person(s) or discipline(s) responsible for each treatment method.
(c) The interdisciplinary treatment plan shall be reviewed and modified as frequently as the patient's condition warrants, but at least weekly.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77075. Transfer Summary.
Note     •     History

A transfer summary shall accompany the patient upon transfer to another health facility. The transfer summary shall include information relative to the patient's diagnosis, known residual behaviors or symptoms of mental disorder, medications, treatments, dietary requirements, rehabilitation potential, and known allergies and shall be signed by the clinical director or the clinical director's designee as specified in Section 77061(c).
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77077. Dietetic Services.
Note     •     History

(a) The total daily diet for patients shall be of the quality and in the quantity necessary to meet the needs of the patients and shall meet the “Recommended Dietary Allowances,” 9th edition, 1980, or most current edition, adopted by the Food and Nutrition Board of the National Research Council of the National Academy of Science, adjusted to the age, activity and environment of the group involved. All food shall be of good quality and be selected, stored, prepared and served in a safe and healthful manner. The following shall apply:
(1) Arrangements shall be made so that each patient has available at least three meals per day. Not more than fourteen (14) hours shall elapse between the third and first meal.
(2) A facility may choose to purchase, store and prepare the required food for its patients, or it may choose to purchase prepared meals from other appropriate sources, through a written contract.
(3) When a non-inpatient program exceeds four hours, nourishment or snacks shall be available.
(4) A person shall be designated by the administrator to be responsible for the management and operation of the food service. This may be provided by a full-time or part-time employee with the facility, or through a written contract with an outside supplier or food service. If this person is not a dietitian, provision shall be made for consultation from a person so qualified, who shall provide this consultation at least 4 hours every three months. If total food service is by contract, a staff member will be designated to monitor the operation of the food service within the facility.
(5) If patients participate in food preparation and/or service to inpatients as part of their interdisciplinary treatment plan, they shall comply with the same policies and procedures as those required for food service employees.
(6) Pesticides and other toxic substances shall not be stored in the food store rooms, kitchen areas, or where kitchen equipment or utensils are stored, or accessible to patients.
(7) Supplies of staple foods for a minimum of two days shall be maintained on the premises.
(8) All kitchen equipment, fixed or mobile, and dishes, shall be kept clean and maintained in good repair and free of breaks, open seams, cracks or chips.
(9) All utensils used for eating and drinking and in the preparation of food and drink shall be cleaned and sanitized after each usage.
(10) The facility shall maintain a written plan to provide patients' food service in emergencies.
(b) Provisions shall be made to provide patients with access to beverages and nourishments at times when the main dietary service is not in operation.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1250.2 and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77079.1. Pharmaceutical Services--General.
Note     •     History

(a) Arrangements shall be made with pharmacists licensed by the California Board of Pharmacy to assure that pharmaceutical services are available to provide patients with prescribed drugs and biologicals.
(b) Dispensing, labeling, storage, disposal and administration of drugs and biologicals shall be in conformance with state and federal laws.
(c) If a pharmacy is located on the premises, the pharmacy shall be approved by the Department. The pharmacy shall not serve the general public unless a separate public entrance or a separate public serving window is utilized. Pharmacies located on the licensed premises of the facility shall be opened for inspection upon the request of an authorized Department representative.
(d) The facility shall not accept money, goods or services free or below cost from any pharmacist or pharmacy as compensation or inducement for referral of business to any pharmacy.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77079.2. Pharmaceutical Services--Requirements.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77079.3. Pharmaceutical Services--Labeling and Storage of Drugs.
Note     •     History

(a) Containers which are cracked, soiled or without secure closures shall not be used. Drug labels shall be legible.
(b) All drugs obtained by prescription shall be labeled in compliance with state and federal laws governing prescription dispensing. No person other than the dispenser or prescriber of the drug shall alter any prescription label.
(c) Nonlegend drugs shall be labeled in conformance with state and federal food and drug laws.
(d) Test reagents, germicides, disinfectants and other household substances shall be stored separately from drugs and shall not be accessible to patients.
(e) External use drugs in liquid, tablet, capsule or powder form shall be stored separately from drugs for internal use.
(f) Drugs shall be stored at appropriate temperatures. Drugs required to be stored at room temperature shall be stored at a temperature between 15oC (59oF) and 30oC (86oF). Drugs requiring refrigeration shall be stored in a refrigerator between 2oC (36oF) and 8oC (46oF). When drugs are stored in the same refrigerator with food, the drugs shall be kept in a closed container clearly labeled “drugs.”
(g) Drugs shall be stored in an orderly manner in cabinets, drawers or carts of sufficient size to prevent crowding.
(h) Dose preparation and administration areas shall be well-lighted.
(i) Drugs shall be accessible only to personnel designated in writing by the licensee.
(j) Medication shall not be kept at the patient's bedside.
(k) Drugs shall not be kept in stock after the expiration date on the label and no contaminated or deteriorated drugs shall be available for use.
(l) The drugs of each patient shall be kept and stored in their originally received containers. No drug shall be transferred between containers.
(m) Discontinued drug containers shall be marked, or otherwise identified, to indicate that the drug has been discontinued, or shall be stored in a separate location which shall be identified solely for this purpose. Discontinued drugs shall be disposed of within 90 days of the date the drug order was discontinued, unless the drug is reordered within that time.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77079.4. Pharmaceutical Services--Stop Orders.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77079.5. Pharmaceutical Services--Orders for Drugs.
Note     •     History

(a) No drugs shall be administered except upon the order of a person lawfully authorized to prescribe for and treat human illness.
(b) All drug orders shall be written, dated, timed and signed by the person lawfully authorized to give such an order. The name, quantity or specific duration of therapy, dosage and time or frequency of administration of the drug and route of administration if other than oral shall be specified. “P.R.N.” orders shall also include the indication for the use of the drug.
(c) Verbal orders for drugs and treatment shall be received only by licensed nurses, psychiatric technicians, pharmacists, physicians and physician's assistants from their supervising physicians only. Such orders shall be recorded immediately in the patient's health record by the person receiving the order and shall include the date and time of the order. The order shall be signed by the prescriber within 24 hours excluding weekends and holidays.
(d) The signing of orders shall be by signature or a personal computer key. Signature stamps shall not be used.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of subsection (b) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77079.6. Pharmaceutical Services--Drug Order Processing.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77079.7. Pharmaceutical Services--Drug Order Records.
Note     •     History

Facilities shall maintain a record which includes, for each drug ordered by prescription, the name of the patient, the drug name, and strength, the date ordered, the date and amount received and the name of the issuing pharmacy. The records shall be kept at least one year.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77079.8. Pharmaceutical Services--Personal Medications.
Note     •     History

(a) Medications brought by or with the patient on admission to the facility shall not be used unless the contents of the containers have been examined and positively identified after admission by the patient's physician or a pharmacist retained by the facility.
(b) The facility may use drugs transferred from other licensed health facilities or those drugs dispensed or obtained after admission from any licensed or governmental pharmacy and may accept the delivery of those drugs by any agent of the patient or pharmacy without the necessity of identification by a physician or pharmacist.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77079.9. Pharmaceutical Services--Controlled Drugs.
Note     •     History

(a) Drugs listed in Schedules II, III and IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970, Title 21, United States Code, Section 801 et seq. shall not be accessible to other than licensed nursing, pharmacy and medical personnel designated by the licensee. Drugs listed in Schedule II of the above Act shall be stored in a locked cabinet or a locked drawer separate from noncontrolled drugs unless they are supplied on a scheduled basis as part of a unit dose medication system.
(b) Separate records of use shall be maintained on all Schedule II drugs. Such records shall be maintained accurately and shall include the name of the patient, the prescription number, the drug name, strength and dose administered, the date and time of administration and the signature of the person administering the drug. Such records shall be reconciled at least daily and shall be retained at least one year. If such drugs are supplied on a scheduled basis as part of a unit dose medication system, such records need not be maintained separately.
(c) Drug records shall be maintained for drugs listed in Schedules III and IV of the above Act in such a way that the receipt and disposition of each dose of any such drug may be readily traced. Such records need not be separate from other medication records.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code.
HISTORY

1. New section filed 4-15-87; operative 5-15-87 (Register 87, No. 16).
§77079.10. Pharmaceutical Services--Disposition of Drugs.
Note     •     History

(a) Drugs which have been dispensed for individual patient use and are labeled in conformance with state and federal law for outpatient use shall be furnished to patients on discharge on the order of a physician. If the discharge orders do not include provisions for drug disposition, drugs shall be furnished to patients unless:
(1) A physician's order specifies otherwise or,
(2) The patient leaves or is discharged without a physician's order or approval or,
(3) The patient is discharged to a general acute care hospital or acute psychiatric hospital, or
(4) The drug was discontinued prior to discharge or,
(5) The labeled directions for use are not substantially the same as most current orders for the drug in the patient's health record.
(b) A record of the drugs sent with the patient shall be made in the patient's health record.
(c) Patient's drugs supplied by prescription which have been discontinued and those which remain in the facility after discharge of the patient shall be destroyed by the facility in the following manner:
(1) Drugs listed in Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970, Title 21, United States Code, Section 801 et seq. shall be destroyed by the facility in the presence of a pharmacist and a registered nurse employed by the facility. The name of the patient, the name and strength of the drug, the prescription number, the amount destroyed, the date of destruction and the signature of the witnesses required above shall be recorded in the patient's health record or in a separate log. Such log shall be retained for at least three years.
(2) Drugs not listed under Schedules II, III or IV of the above Act shall be destroyed by the facility in the presence of a pharmacist or licensed nursing personnel. The name of the patient, the name and strength of the drug, the prescription number (if applicable), the amount destroyed, the date of destruction and the signature of the person named above and one other person shall be recorded in the patient's health record or in a separate log. Such log shall be retained for at least three years.
(d) Unless otherwise prohibited under applicable federal or state laws, individual patient drugs supplied in sealed containers may be returned, if unopened, to the issuing pharmacy for disposition provided that;
(1) No drugs covered under the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 are returned.
(2) All such drugs are identified as to lot or control number.
(3) The signatures of the receiving pharmacist and a licensed nurse employed by the facility are recorded in a separate log which lists the name of the patient, the name, strength, prescription number (if applicable), the amount of the drug returned and the date of return. The log shall be retained for at least three years.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77079.11. Pharmaceutical Services--Medication Distribution System.
Note     •     History

(a) In facilities utilizing a unit dose medication system, there shall be at least a 24-hour supply of all patient medications on hand at all times, except those drugs which are to be discontinued within the 24-hour period. Drugs that are a part of a unit dose medication system shall not exceed a 48-hour supply.
(b) Facilities may utilize a floor stock medication system in lieu of a unit dose medication system.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code. 
HISTORY

1. New section filed 4-15-87; operative 5-15-87 (Register 87, No. 16).
2. Amendment of section heading, section and Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77079.12. Pharmaceutical Services--Staff.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code.
HISTORY

1. New section filed 4-15-87; operative 5-15-87 (Register 87, No. 16).
§77079.13. Pharmaceutical Services--Equipment and Supplies.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code; Sections 650 and 651, Business and Professions Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
Article 4. Administration
§77081. Governing Body.
Note     •     History

The governing body shall:
(a) Assure that all services including care and treatment provided to patients, is adequate and safe at all times.
(b) Establish and implement written bylaws in accordance with legal requirements and its responsibility to the community and to the patients served which shall include, but not be limited to, provisions for:
(1) Identification of the purposes of the facility and the means of fulfilling them.
(2) Ensuring the fitness, adequacy and quality of the clinical and medical care rendered.
(3) The appointment and reappointment of clinical staff who provide treatment, care and consultation to patients in the facility.
(4) Approval of policies and procedures for appropriate practices to be observed in the facility. In this connection, the practice of division of fees, under any guise whatsoever, shall be prohibited and any such division of fees shall be cause for exclusion from the staff.
(5) Identification of the requirements for health and treatment records.
(6) Requiring the interdisciplinary staff to establish controls that are designed to ensure the achievement and maintenance of high standards of professional ethical practices.
(c) Appoint a clinical director and administrator whose qualifications, authority and duties shall be defined in a written statement adopted by the governing body.
(d) Provide for the control and use of appropriate physical and financial resources and personnel required to meet the needs of the patients.
(e) Assure that the facility and its operation conforms to all applicable federal, state and local laws and regulations, including those relating to licensure and fire inspection.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275.1 and 1277, Health and Safety Code.
HISTORY

1. New section filed 4-15-87; operative 5-15-87 (Register 87, No. 16).
§77083. Organized Clinical Staff.
Note     •     History

(a) The organized clinical staff shall be composed of all licensed mental health professionals as included in Section 77012 or other licensed practitioners who have admitting and/or treatment privileges in the facility and shall be responsible for the following:
(1) A formal peer review process which, in order to improve the quality of care, will review and evaluate the adequacy, appropriateness, and effectiveness of the care and treatment planned for, or provided to, facility patients.
(2) In conjunction with the pharmacist's monthly drug regimen review, a medication monitoring system that will assess the prescribing practices of the professional staff of the facility with respect to appropriateness and cost effectiveness of the medications ordered for the patients of the facility. The medication monitoring requirements specified in this subsection shall include findings of the pharmacist's monthly drug regimen review.
(3) A utilization review program which shall be a system of policies and procedures designed to ascertain and assure the clinical necessity of acute inpatient psychiatric services for patients using the facility.
(b) The clinical staff shall meet at least monthly. Minutes of each meeting shall be maintained for at least 1 year and shall be available for review by the Department.
(c) Patients shall be admitted only upon the order and under the care of a member of the clinical staff who is lawfully authorized to diagnose, prescribe and treat patients. The patient's condition and provisional diagnosis shall be established at time of admission by the admitting practitioner subject to the provisions of Section 77073.
(d) In order to carry out the functions as specified in this section, professionals who are not members of the organized clinical staff may be utilized. These professionals include, but are not limited to, pharmacists, dietitians, occupational therapists, physical therapists, recreation therapists, registered record administrators or licensed nursing staff.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

. 1.. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of subsections (a)(1) and (a)(2) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77089. Affiliation with General Acute Care Hospitals.
Note     •     History

(a) All facilities shall have a current written agreement for medical services with one or more general acute care hospitals and shall maintain a current copy of such agreements for review by the Department. The agreements shall include, but not be limited to:
(1) Whether the general acute care hospital agrees to medically screen and conduct physical examinations of patients for admission to the psychiatric health facility and the procedure by which such screening and examination will be provided.
(2) The procedure for patient transfer from the psychiatric health facility to the hospital for inpatient medical or psychiatric care.
(3) The availability of medical services for patients of the psychiatric health facility, and the procedure by which such service will be provided.
(4) The specific means by which patients who require such medical services will be transported to the hospital or medical facility.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77091. Administrator of Business and Support Services.
Note     •     History

(a) Each facility shall have an administrator who has primary responsibility for business and support services for the clinical program.
(b) The administrator shall have direct access to the clinical director for the purpose of communicating the status of business and support services of the psychiatric health facility.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Sections 1275.1 and 1276.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Repealer and new subsection (b) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77093. Clinical Director.
Note     •     History

(a) Each facility shall have a clinical director who shall direct the clinical program, provide general direction to professional and non-professional staff, and be responsible for the quality of clinical services performed in the facility. The clinical director shall be a licensed mental health professional. The clinical director shall have at least three years of post-graduate direct clinical experience with the mentally disordered.
(b) When the clinical director is part of the overall structure of a county mental health program, the county organization chart must show a line of reportability to the director of mental health.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Sections 1275.1 and 1276.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Repealer and new subsection (b) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77097. Interdisciplinary Treatment Team.
Note     •     History

(a) The interdisciplinary treatment team shall be composed of those persons who work directly with the patient in each of the professions, disciplines or service areas that provide service to the patient, including direct treatment staff, the patient's attending or consulting psychiatrist, the clinical psychologist, the licensed nurse or the psychiatric technician, the clinical director, or the clinical director's designee and any other persons whose participation is relevant to the treatment and care of the patient. The interdisciplinary treatment team shall be chaired by the admitting practitioner for each patient.
(b) The interdisciplinary treatment team shall be responsible for the development and implementation of the patient's individual treatment plan in consultation with the patient and members of the patient's family pursuant to Welfare and Institutions Code, Section 5328.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77099. Patients' Rights.
Note     •     History

(a) The governing body shall adopt and implement written policies regarding patients' rights to ensure compliance with Sections 5325, 5325.1, 5326, 5326.1, 5326.9, 5326.95 and 5520 through 5550 of the Welfare and Institutions Code.
(b) A list of these patients' rights shall be posted in English and in the predominant language of the community, if other than English, in appropriate places within the psychiatric health facility so that such rights may be read by patients.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77101. Types of Restraints and Seclusion.
Note     •     History

(a) No physical restraints with locking devices shall be used or be available for use in the facility unless approved by the State Fire Marshal.
(b) Seclusion as defined in Section 77029 is considered to be a physical restraint.
(c) Exclusion timeout as defined in Section 77010 is considered to be a physical restraint.
(d) Treatment restraint, as defined in Section 77033, shall be accomplished by a soft tie only, so as not to cause harm to the patient and shall only be used during medically prescribed treatment or diagnostic procedures.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77103. Behavioral Restraint and Seclusion.
Note     •     History

(a) Behavioral restraint and seclusion shall only be used as a measure to protect the patient from injury to self or others.
(b) Behavioral restraint and seclusion shall only be used upon a physician's or clinical psychologist's written or verbal order, except under emergency circumstances. Under emergency circumstances behavioral restraint may be applied and then an order obtained as soon as possible, but at least within one hour of application. Telephone orders shall be received only by authorized professional staff, shall be recorded immediately in the patient's health record and, within twenty-four (24) hours, weekends and holidays excepted, signed by the prescriber.
(c) Behavioral restraint and seclusion shall not be used as punishment or as a substitute for more effective programming or for the convenience of the staff.
(d) Orders for behavioral restraint and seclusion shall be in force for not longer than 24 hours.
(e) There shall be no PRN orders (as needed orders) for behavioral restraint and seclusion.
(f) Patients in restraint shall remain in staffs' line of vision and shall be afforded protection from other patients who may be in the area.
(g) A patient placed in behavioral restraint or seclusion shall be checked at least every 15 minutes by professional staff to assure that the restraint remains properly applied or that the patient has not harmed him/herself. A written record shall be kept of these checks and maintained in the individual patient's health record.
(h) Regular range of motion exercise of at least ten (10) minutes every two (2) hours shall be provided to restrained patients. When range of motion is contraindicated, a physician or a psychologist shall document the reason in the patient's record.
(i) Behavioral and treatment restraints shall be utilized only with patients being treated pursuant to Sections 5150 et seq. of the Welfare and Institutions Code or who are judicially committed.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. New subsections (h) and (i) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77104. Postural Supports.
Note     •     History

(a) Facilities shall have written policies and procedures concerning the use of postural supports.
(b) Postural supports shall be designed and applied for speedy removal in case of emergency.
(c) Postural supports shall be designed and applied:
(1) Under the supervision of a physical or occupational therapist.
(2) In accordance with principles of proper body alignment, with concern for circulation and allowance for change of position.
(3) To improve a patient's mobility and independent functioning.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1275.1 and 1277, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77105. Clinical Research.
Note     •     History

Prior to implementing any research projects involving human subjects that were not approved with the initial program plan, a supplemental patient care program plan shall be submitted to the Department of Mental Health for approval or denial. All research projects involving human subjects shall meet the requirements of all applicable state and federal laws and regulations.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77107. Education of Patients.
Note     •     History

When patients of school age, between the ages of 6 to 18, are expected to remain in the facility for 30 days or more, the facility shall arrange for appropriate educational services pursuant to Sections 48200 and 48400 of the Education Code and the applicable federal regulations.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77109. Use of Outside Resources.
Note     •     History

(a) If a facility does not employ qualified personnel to render a specific service to be provided by the facility, there shall be arrangements through a written agreement and/or contract with outside resources. Outside resources shall meet the standards and requirements of these and all other applicable regulations before an agreement and/or contract may be entered into and shall continue to meet these and all other applicable regulations during the term of the agreement and/or contract. Outside resources may include other facilities, organizations, individuals or public or private agencies.
(b) Signed and dated copies of agreements, contracts or written arrangements for advice, consultation, services, training or transportation, with outside resources shall be on file in the facility. These agreements and/or contracts shall be readily available for inspection and review by the Department. The agreements and/or contracts shall include, but not be limited to, a description of the services to be provided, the financial arrangements, the methods by which the services are to be provided, and the conditions upon which the agreement or contract can be terminated.
(c) The governing body shall be responsible and accountable for all services provided by agreements and/or contracts.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77111. Nondiscrimination Policies.
Note     •     History

(a) No facility that receives any financial assistance from the State of California shall discriminate against or deny admission to any person, otherwise qualified, based on sex, age, race, color, religion, ancestry or national origin, or physical or mental handicap. Facility policies shall so state and apply to the appointment of the treatment staff, hiring of facility employees and the admission, housing and treatment of patients. While a facility may not discriminate against any group identified in this section, the facility may not admit a minor for whom it cannot provide protection from adult patients, appropriate treatment and educational services when applicable. No facility may admit a minor into the same treatment ward with adults as defined in Section 5751.7, Welfare and Institutions Code.
(b) Any bona fide nonprofit religious, fraternal or charitable organization, which can demonstrate to the satisfaction of the Department that its primary or substantial purpose is not to evade this section, may establish admission policies limiting or giving preference to its own members or adherents. Such policies shall not be construed as a violation of (a) above. Any admission of nonmembers or nonadherents shall be subject to (a) above.
(c) Facilities shall comply with the Americans with Disabilities Act (ADA), Public Law 101-336 of 1990 (42 U.S.C. §12101 et seq.) which guarantees equal opportunity for persons with disabilities.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Sections 1270 and 1275.1, Health and Safety Code; and Section 5751.7, Welfare and Institutions Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of subsection (a), new subsection (c) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77113. Admission Policies.
Note     •     History

(a) Each facility shall have and implement written admission and discharge policies encompassing which licensed health professionals may admit patients, the types of diagnoses for which patients may be admitted, limitations imposed by law or licensure, staffing limitations, rules governing emergency admissions, policies concerning advance deposits, rates of charge for care, charges for extra services, limitations of services, termination of services, refund policies, insurance agreements and other financial considerations, discharge of patients and other relevant functions. These policies shall be made available to patients or their agents upon admission and upon request, and shall be made available to the public upon request.
(1) Only persons diagnosed with major mental disorders are to be treated in psychiatric health facilities.
(2) Psychiatric health facilities shall not admit and treat patients with the primary diagnosis of an eating disorder as defined in Section 1254.5(b) of the California Health and Safety Code.
(3) Psychiatric health facilities shall not admit and treat patients when the primary diagnosis is chemical dependency, chemical intoxication or chemical withdrawal.
(4) Individuals with major mental disorders shall not be admitted to a psychiatric health facility if their treatment requires medical interventions beyond the level appropriate to a psychiatric health facility, including:
(A) detoxification from substance abuse,
(B) treatment for substance induced delirium.
(b) A facility shall accept and retain only those patients for whom it can provide adequate care, including but not limited to the provisions of Section 77135.
(c) A minor shall not be detained in a facility against the will of his or her parent or legal guardian. In those cases where law permits minors to contract for or consent to the type of medical care provided by the facility, without the consent of their parent or guardian, they shall not be detained in the facility against their will. This provision shall not be construed to preclude or prohibit attempts to persuade patients to remain in the facility in their own interest, nor the temporary detention of patients for the protection of themselves or others under the provisions of the Lanterman-Petris-Short Act (Welfare and Institutions Code, Section 5000 et seq.), if the facility has been designated by the county as a treatment facility pursuant to said act, nor to prohibit minors legally capable of contracting for or consenting to medical care from assuming responsibility for their discharge.
(d) Within 24 hours after admission or immediately before admission, every patient shall have a complete history and physical examination unless a history and physical examination has been completed within the previous 30 days and is determined by the attending physician to be current.
(e) No inpatient shall be transferred or discharged for purposes of effecting a transfer, from a facility to another facility, unless arrangements have been made in advance for admission to such health facility and the person legally responsible for the patient has been notified or, in the case of an emergency, documented attempts to contact such person have been made and a responsible person cannot be reached. A transfer or discharge shall not be carried out if in the opinion of the clinical director such transfer or discharge would be contraindicated, unless there exists no legal basis to do so. This section shall not be construed to prohibit the transfer or discharge of a patient pursuant to court orders.
(f) There shall be a method of prompt and accurate identification of each patient admitted to the facility.
NOTE

Authority cited: Section 1275, Health and Safety Code; and Section 4080(f)(1), Welfare and Institutions Code. Reference: Section 1275.1, Health and Safety Code; and Section 4080(f)(1), Welfare and Institutions Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. New subsections (a)(1)-(a)(4)(B), amendment of subsection (b) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77115. Written Administrative Policies.
Note     •     History

(a) Written administrative policies and procedures for services provided shall be developed and implemented by appropriate staff members. These policies and procedures shall be reviewed and approved at least annually by the clinical director and administrator.
(b) The facility shall have policies and procedures for the provision of first aid and life saving measures that shall be implemented in emergency situations.
(c) The facility shall have a policy which shall ensure the obtaining of the patient's written consent prior to photographing that patient.
(d) Each facility shall adopt and implement written policies and procedures to properly manage outbreaks or prevalence of infectious and communicable disease whether or not such disease is required to be reported by Title 17, California Administrative Code, Section 2500.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77117. Personnel Policies.
Note     •     History

(a) Each facility shall adopt and implement written personnel policies concerning qualifications, responsibilities and conditions of employment for each classification employed which shall be available to all personnel. Such policies shall include but not be limited to:
(1) Hours of work.
(2) A plan for orientation for all new staff members that shall ensure that all new staff providing program services shall receive at least 20 hours of orientation and training within 60 days of employment. Staff attendance shall be documented. Initial training shall include, but not be limited to, the following:
(A) Orientation to all policies, procedures and objectives of the facility.
(B) Orientation to special needs of the mentally disordered.
(C) Orientation to overall concepts of programs to meet the special needs of the mentally disordered.
(D) Orientation and training in specific program techniques being used in the facility to meet the identified program needs of the patients.
(3) A plan for at least annual evaluation of employee performance.
(4) A plan to conduct a background investigation, including previous employment and criminal background information, on prospective employees.
(b) The facility shall provide for a continuing inservice education program designed to improve patient care and employee efficiency. This training shall include, but not be limited to, suicide prevention techniques, management of assaultive behavior techniques and cardiopulmonary resuscitation (CPR). All staff members shall attend and attendance shall be documented. Continuing inservice education shall be provided by the facility or obtained by the staff at an annual rate of 48-hours for full time staff. Part time staff accrual rates shall be prorated to be consistent with their part-time status.
(c) Personnel policies shall require that employees and other persons working in or for the facility familiarize themselves with these regulations and such other regulations as are applicable to their duties.
(d) The facility shall recruit qualified personnel. Mental health workers shall work under the direct supervision of qualified mental health professionals.
(e) If language or communication barriers exist between facility staff and patients, arrangements shall be made for interpreters or for the use of other means to ensure adequate communications between patients and personnel.
(f) All personnel shall wash their hands before and after coming in direct contact with any linen or food.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Editorial correction of Reference cite (Register 95, No. 25).
3. New subsection (a)(4), amendment of subsection (b) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77119. Employee Personnel Records.
Note     •     History

(a) All facilities shall maintain personnel records of all employees. Such records shall be retained for at least three years following termination of employment.
(b) The record shall include the employee's full name, Social Security number, the license of registration number, if any, brief resume of experience, employment classification, date of beginning employment and date of termination of employment.
(c) Records of hours and dates worked by all employees during at least the most recent six-month period shall be kept on file at the place of employment.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77121. Employee Health Examinations and Health Records.
Note     •     History

(a) A health examination, performed by a person lawfully authorized to perform such an examination shall be performed as a prerequisite for employment within six months prior to employment or within one week after employment. Written examination reports, signed by the person performing the examination, shall verify that employees are able to perform assigned duties and do not have any health condition that would create a hazard for the employee, fellow employees, patients or visitors.
(b) The initial health examination shall include a tuberculosis screening test consisting of a purified protein derivative intermediate strength intradermal skin test and a chest X-ray if the skin test is positive. The facility shall establish a policy regarding subsequent health examinations and tuberculosis screening test based on an assessment of the following:
(1) The risk of a previously infected person developing tuberculosis and then possibly infecting others.
(2) The risk of a non-infected person becoming infected and developing a disease.
(c) The facility shall develop policies which ensure that reasonable precautions are taken to prevent the spread of infectious disease between persons within the facility.
(d) Employee health records shall be maintained by the facility and shall include the records of all required health examinations. Such records shall be kept a minimum of three years following terminations of employment.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77123. Equipment and Supplies.
Note     •     History

Equipment and supplies adequate in quality and quantity shall be available as necessary to provide patient services related to the scope and nature of the services offered.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77125. Advertising.
Note     •     History

(a) No facility shall make or disseminate any false or misleading statement, or advertise by any manner or means any false or misleading claims regarding services provided by the facility.
(b) No facility shall allow false or misleading claims regarding services provided by the facility to be made by a third party or entity on behalf of the facility.
(c) No facility shall allow the use of its name or logo to be used in advertising by third parties.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. New subsection (a) designator, new subsections (b) and (c) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77127. Records and Reports.
Note     •     History

(a) Each facility shall maintain copies of the following applicable documents on file in the facility.
(1) Articles of incorporation or partnership agreement.
(2) Bylaws and rules and regulations of the governing body.
(3) Bylaws and rules and regulations of all staff including medical, professional and other staff.
(4) Minutes of the meetings of the governing body, medical and professional staff.
(5) Reports of inspections by local, state and federal agencies.
(6) All contracts, leases and other agreements required by these regulations.
(7) Patient admission roster.
(8) Reports of unusual occurrences for the preceding three years.
(9) Personnel records, including credential files.
(10) Policy manuals.
(11) Procedure manuals.
(12) Any other records deemed necessary by the Department for the direct enforcement of these regulations.
(b) The records and reports specified above shall be made available for inspecting by any duly authorized officer, employee or agent of the Department.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77129. Fire and Internal Disasters.
Note     •     History

(a) A written fire and internal disaster program, incorporating evacuation procedures, shall be developed with the assistance of local fire, safety and other appropriate experts. A copy of the program shall be available on the premises for review by the Department.
(b) The written program shall be implemented in the event of a fire or internal disaster and shall include but not be limited to the following:
(1) Plans for the assignment of personnel to specific tasks and responsibilities.
(2) Instructions relating to the use of alarm systems and signals.
(3) Information concerning methods of fire containment.
(4) Systems for notification of appropriate persons.
(5) Information concerning the location of fire fighting equipment.
(6) Identification of evacuation routes and procedures.
(7) Other provisions as the local situation dictates.
(c) Fire and internal disaster drills shall be held at least quarterly for each shift of facility personnel and under various conditions. Actual evacuation of patients during a drill is optional.
(d) The evacuation plan shall be posted throughout the facility and shall include but not be limited to the following:
(1) Evacuation routes.
(2) Location of fire alarm boxes.
(3) Location of fire extinguishers.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77131. Fire Safety.
Note     •     History

All facilities shall be maintained in conformity with the regulations adopted by the State Fire Marshal for the prevention of fire and for the protection of life and property against fire and panic. All facilities shall secure and maintain a clearance relative to fire safety from the State Fire Marshal.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77133. Disruption of Services.
Note     •     History

(a) Each facility shall develop a written plan to be implemented when a discontinuance or disruption of service occurs.
(b) The clinical director shall be responsible for informing the Department, via telephone, telegraph or emergency radio network, immediately upon being notified of the intent of the discontinuance or disruption of services or upon the threat of a walkout of a substantial number of employees, or upon occurrence of earthquake, fire, power outage or other calamity that causes damage to the facility or threatens the safety or welfare of patients.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77135. Patients with Reportable Communicable Disease, Physical Illness or Physical Injury.
Note     •     History

(a) Reportable communicable diseases:
(1) Persons with a communicable disease that is required to be reported by Title 17, California Code of Regulations, Section 2500, shall not be admitted to the facility.
(2) A patient who after admission is diagnosed as having a reportable communicable disease or being a carrier shall be promptly transferred to a facility capable of accommodating such patients.
(b) Non-reportable disease or injury:
(1) Psychiatric health facilities shall arrange alternative treatment settings for patients with injuries or diseases that require inpatient medical care. When a patient's particular injury or disease would ordinarily be treated on an outpatient basis absent the mental disorder, the facility may admit the patient only if the facility has appropriate policies, procedures and resources to ensure the safety of other patients and staff.
(2) A patient, who after admission is diagnosed as having a disease or injury, may be treated in the facility if the patient's particular injury or disease would ordinarily be treated on an outpatient basis. The facility may treat the patient for the injury or disease only if the facility has appropriate policies, procedures and resources to ensure the safety of other patients and staff.
NOTE

Authority cited: Section 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

. 1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of section heading, section and Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77137. Unusual Occurrences.
Note     •     History

(a) Unusual occurrences shall be reported by the facility, within 24 hours, either by telephone with written confirmation, or by telegraph to the county mental health director and the Department.
(b) An unusual occurrence report shall be retained on file by the facility for three years.
(c) The facility shall furnish other pertinent information related to such occurrences as the county mental health director or the Department may require.
(d) A facility admitting a patient exhibiting a physical injury or presenting a condition caused by neglect shall immediately notify a physician and request a physical examination of the patient. If, in the opinion of the examining physician, the injury or condition appears to be the result of neglect or abuse, the facility shall report such fact by telephone, and in writing, within 24 hours of the patient's admission, to the Department, the local police authority having jurisdiction, and the county mental health department. Written reports in the patient's health record shall state the character and extent of the physical injury or condition.
(e) Every fire or explosion which occurs in or on the premises shall be reported immediately to the local fire authority, or in areas not having an organized fire service to the State Fire Marshal.
(f) All suspected criminal acts in or on the premises by or against patients, employees or visitors shall be reported to the local police authority and the Department within 24 hours.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77139. Health Record Service.
Note     •     History

(a) The facility shall maintain a health record service in accordance with accepted professional standards and practices. The health record service shall have sufficient staff, facilities and equipment and be conveniently located to facilitate the accurate processing, checking, indexing and filing of all health records.
(b) The health record service shall be under the direction of a staff member who has training and experience in records administration. This designated staff member shall be assisted by such qualified personnel as are necessary to conduct the service. A registered record administrator or accredited records technician shall provide consultation as necessary to designated staff members responsible for record administration.
(c) If a facility, in addition to inpatient services, is providing structured outpatient services or crisis intervention, a unit health record system shall be established.
(d) The facility shall have a continuing system of collecting and recording data that describe patients served in such form as to provide for continuity of care, programming services, and data retrieval for program, patient care evaluation, and research. Health records shall be stored and systematically organized to facilitate retrieving of information.
(e) Policies and procedures shall be established and implemented to ensure the confidentiality of an authorized access to patient health information, in accordance with federal, state, and local laws and acceptable standards of practice.
NOTE

Authority cited: Sections 1254(e) and 1275, Health and Safety Code. Reference: Sections 1250.2(b), 1266.1(f) and 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
2. Amendment of subsection (c) and amendment of Note filed 5-7-99; operative 6-6-99 (Register 99, No. 19).
§77141. Health Record Content.
Note     •     History

(a) Each patient's health record shall consist of at least the following:
(1) Admission and discharge record identification data including, but not limited to, the following:
(A) Name.
(B) Address on admission.
(C) Patient identification number.
(D) Social Security number.
(E) Date of birth.
(F) Sex.
(G) Marital status.
(H) Legal status.
(I) Religion (optional on part of patient).
(J) Date of admission.
(K) Date of discharge.
(L) Name, address and telephone number of person or agency responsible for patient.
(M) Initial diagnostic impression.
(N) Discharge or final diagnosis.
(O) Disposition, including aftercare arrangements, plus a copy of the aftercare plan prepared pursuant to section 1284, Health and Safety Code, if the patient was placed in the facility under a county Short-Doyle plan.
(2) Mental status.
(3) Medical history and physical examination.
(4) Dated and signed observations and progress notes recorded as often as the patient's condition warrants by the person responsible for the care of the patient.
(5) Any necessary legal authorization for admission.
(6) Consultation reports.
(7) Medication treatment and diet orders.
(8) Social service evaluation, if applicable.
(9) Psychological evaluations, if applicable.
(10) Dated and signed patient care notes including, but not limited to, the following:
(A) Concise and accurate records of nursing care provided.
(B) Records of pertinent nursing observations of the patient and the patient's response to treatment.
(C) The reasons for the use of and the response of the patient to PRN medication administered and justification for withholding scheduled medications.
(D) Record of type of restraint, including time of application and removal as outlined in section 77103.
(11) Rehabilitation evaluation, if applicable.
(12) Interdisciplinary treatment plan.
(13) Progress notes including the patient's response to medication and treatment rendered and observation(s) of patient by all members of treatment team providing services to the patient.
(14) Medication records including name, dosage and time of administration of medications and treatments given. The route of administration and site of injection shall be recorded if other than by oral administration.
(15) Treatment records including group and individual psychotherapy, occupational therapy, recreational or other therapeutic activities provided.
(16) Vital sign sheet.
(17) Consent forms as required, signed by patient or person responsible for patient.
(18) All dental records, if applicable.
(19) Reports of all laboratory tests ordered.
(20) Reports of all cardiographic or encephalographic tests performed.
(21) Reports of all X-ray examinations ordered.
(22) All reports of special studies ordered.
(23) Acknowledgement in writing of patient's rights, as required in section 77099, signed by patient or person responsible for the patient.
(24) Denial of patient rights documentation.
(25) A discharge summary prepared by the admitting practitioner which shall briefly recapitulate the significant findings and events of the patient's treatment, his/her condition on discharge and the recommendation and arrangements for future care.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87; (Register 87, No. 16).
2. Change without regulatory effect filed 7/2/90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 35).
§77143. Health Record Availability.
Note     •     History

(a) Records shall be kept on all patients admitted or accepted for treatment. All required records, either as originals or as accurate reproductions of the contents of such originals, shall be maintained in a confidential manner, legible and readily accessible upon request of persons authorized by law to have access to such records including, but not limited to, persons authorized pursuant to Health and Safety Code, Section 25250 et seq., those professional persons who are providing services to the patient and authorized representatives of the Department and the Department of Mental Health.
(b) The facility shall safeguard the information in the record against loss, defacement, tampering or use by unauthorized persons.
(c) Patient health records or reproductions thereof, shall be safely preserved for a minimum of seven years following discharge of the patient, except that the records of unemancipated minors shall be kept at least one year after such minor has reached the age of 18 years and, in any case, not less than seven years.
(d) If a facility ceases operation, the Department shall be informed, within 48 hours prior to cessation, of the arrangements made for safe preservation of patient health records.
(e) If ownership of a licensed facility changes, both the previous licensee and the new licensee shall, prior to the change of ownership, provide the Department with written documentation that arrangements have been made for the retention and preservation of all patient records.
(f) Patient records shall be filed in an easily accessible manner in the facility or in an approved health record storage facility off the facility premises.
(g) Patient records shall be completed within 14 days following the patient's discharge.
(h) All information and records obtained in the course of providing services under Division 5 (commencing with Section 5000), Division 6 (commencing with Section 6000), or Division 7 (commencing with Section 7000) of the Welfare and Institutions Code to either voluntary or involuntary recipients of services shall be confidential and may be disclosed only in accordance with Sections 5328 through 5330 of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77145. Patients' Monies and Valuables.
Note     •     History

(a) No licensee shall use patients' monies or valuables as its own or mingle them with its own. Patients' monies and valuables shall be separate, intact and free from any liability the licensee incurs in the use of the licensee's or the facility's funds and valuables.
(b) Each licensee shall maintain accurate records of patients' monies and valuables entrusted to its care. Such records shall include but not be limited to:
(1) A control account for all recipients and expenditures kept current with columns for debits, credits and balances.
(2) An account for each patient with supporting vouchers filed in chronological order and kept current with columns for debits, credits and balances.
(c) Records of patients' monies and other valuables entrusted to the licensee for safe keeping shall include a copy of the receipt furnished to the patient or to the person responsible for the patient.
(d) Patients' monies entrusted to the psychiatric health facility shall be kept in a fireproof safe on the premises of the psychiatric health facility or deposited in a demand trust account in a local bank authorized to do business in California and whose deposits are insured by the Federal Deposit Insurance Corporation. A county psychiatric health facility may deposit such funds with the county treasurer.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
Article 5. Physical Plant
§77147. Space Conversion.
Note     •     History

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

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77151. General Maintenance.
Note     •     History

The psychiatric health facility shall be clean, safe and sanitary and in good repair at all times.
NOTE

Authority cited: Section 208 (a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New Section filed 4-15-87, operative 5-15-87 (Register 87, No. 16).
§77153. Housekeeping.
Note     •     History

(a) There shall be sufficient supplies and equipment available for housekeeping, to include but not be limited to:
(1) Cleaning supplies and equipment which shall be stored in rooms for housekeeping use only.
(2) A commercial grade detergent germicide which shall be used for all cleaning.
(3) Mop heads which shall be removable and washed when needed.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code. 
HISTORY

1. New section filed 4-15-87, operative 4-15-87 (Register 87, No. 16).
§77155. Maintenance Manual.
Note     •     History

(a) A written manual on maintenance of heating, air conditioning and ventilation systems shall be implemented by each facility.
(b) A record of maintenance shall be maintained.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1275.1, Health and Safety Code.
HISTORY

1. New section filed 4-15-87, operative 4-15-87 (Register 87, No. 16).
Chapter 10. Adult Day Health Centers
Article 1. Definitions
§78001. Meaning of Words.
Note     •     History

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

Authority cited: Sections 208 and 1580, Health and Safety Code. Reference: Chapter 1066, Statutes of 1977.
HISTORY

1. New Chapter 10 (Sections 78001-78609, not consecutive) filed 6-28-78 as an emergency; designated effective 7-1-78 (Register 78, No. 26).
2. Certificate of Substantial Compliance filed 1-29-79 (Register 79, No. 5).
§78003. Activity Coordinator.

“Activity coordinator” means a person having responsibility for developing and implementing an activity program in an adult day health center.
§78005. Administrator.

“Administrator” means the person having responsibility for the operation of an adult day health center.
§78007. Adult Day Health Care.

“Adult day health care” means an organized day program of therapeutic, social and health activities and services provided to persons 55 years or older or other adults with functional impairments, either physical or mental, for the purpose of restoring or maintaining optimal capacity for self-care.
§78009. Adult Day Health Center.

“Adult day health center” means a licensed facility which provides adult day health care, or a distinct portion of a licensed health facility in which such care is provided in a specialized unit, under a special permit issued by the Department.
§78011. Adult Day Health Care County Plan.

“Adult day health care county plan” means the county plan for the community-based system for adult day health care.
§78012. Adult Day Health Planning Council.
Note     •     History

“Adult Day Health Planning Council” means the council appointed by the county board of supervisors to develop the Adult Day Health Care County Plan.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1580, 1572.5, Health and Safety Code.
HISTORY

1. New section filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38.)
§78013. Adult Day Health Care Review Committee.

“Adult day health care review committee” means the state review committee established within the Department with a representative of the Department of Aging, the California Commission on Aging and each appropriate functional division within the Department as determined by the Director.
§78015. Advertisement.

“Advertisement” means a public notice, including but not limited to television, radio, newspapers, telephone books, brochures and signs used to create interest or induce purchase.
§78017. Ambulatory Person.

“Ambulatory person” means any person who is capable of demonstrating the mental competence and physical ability to leave a building without the assistance or supervision of any other person under emergency conditions.
§78019. Art Therapist.

“Art therapist” means a person who has a master's degree in art therapy or in art with emphasis in art therapy, including an approved clinical internship from an accredited college or university or a person who is registered or eligible for registration as such with the American Art Therapy Association.
§78021. Authorized Representative.

“Authorized representative” means a person authorized by law, by court order or by written consent of the participant to act on behalf of the participant.
§78023. Basic Program Services.

“Basic program services” means those services required to be provided by an adult day health center in order to obtain and maintain a license. The basic services include: rehabilitation services, medical services, nursing services, nutrition services, psychiatric or psychological services, social work and planned therapeutic recreational and social activities and transportation.
§78025. Cleaning.

“Cleaning” means the process employed to free a surface from dirt or other extraneous material.
§78027. Consultant.

“Consultant” means a qualified person who gives professional advice or service, with or without remuneration.
§78029. Dance Therapist.

“Dance therapist” means a person who has a master's degree in dance therapy, including an approved clinical internship from an accredited college or university, or a person who is registered or eligible for registration as such with the American Dance Therapy Association.
§78031. Deficiency.

“Deficiency” means noncompliance with these regulations or the California Adult Day Health Care Act that is issued by the Department in writing and that may carry with it a civil penalty.
§78033. Dentist.

“Dentist” means a person licensed as such by the California Board of Dental Examiners.
§78035. Department.

“Department” means the California State Department of Health Services.
§78037. Dietitian.

“Dietitian” means a person who is registered or eligible for registration as such by the American Dietetic Association.
§78039. Director.

“Director” means the Director of the California State Department of Health Services.
§78041. Disinfection.

“Disinfection” means the process employed to destroy harmful microorganisms, but ordinarily not viruses and bacterial spores.
§78043. Drug.

“Drug” means a medication.
§78045. Drug Administration.

“Drug administration” means the act in which a single dose of a prescribed drug or biological is given to a participant.
§78047. Health Facility.

“Health facility” means any licensed facility, place or building which is organized, maintained and operated for the diagnosis, care and treatment of human illness or disability, physical or mental, including habilitation, convalescence and rehabilitation and including care during and after pregnancy, or for any one or more of these purposes, for one or more persons, to which such persons are admitted for a 24-hour stay or longer.
§78049. Individualized Plan of Care.

“Individualized plan of care” means a written plan of treatment and services provided to a participant of an adult day health center in accordance with the documented assessed needs of the participant.
§78051. Legal Guardian.

“Legal guardian” means a person appointed by a court to care for another person or that person's property, or both.
§78053. Licensed Capacity.
Note     •     History

“Licensed capacity” means the maximum number of participants authorized to receive services at any one time in an adult day health center as specified on the license.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78055. Licensee.

“Licensee” means a nonprofit corporation or a city or county government within the State to whom an adult day health center license has been issued.
§78057. Licensed Vocational Nurse.

“Licensed vocational nurse” means a person licensed as such by the California Board of Vocational Nurse and Psychiatric Technician Examiners.
§78059. Maintenance.

“Maintenance” means the upkeep of a building and equipment to preserve the original functional and operational state.
§78061. Medication.

“Medication” means any chemical compound, remedy or noninfectious biological substance, the action of which is not solely mechanical, which may be administered to participants by any route as an aid in the diagnosis, treatment or prevention of disease or other condition, for relief of pain or suffering, or to control or improve any physiological or pathological condition.
§78063. Multidisciplinary Health Team.

“Multidisciplinary health team” means a group within the adult day health center that conducts assessments and makes decisions regarding admission, treatment services and discharge of participants.
§78065. Music Therapist.
Note     •     History

“Music therapist” means a person who has a baccalaureate degree in music therapy and who is registered or eligible for registration as such with the National Association for Music Therapy.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Heath and Safety Code.
HISTORY

1. Amendment filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78067. Occupational Therapist.

“Occupational therapist” means a person who is a graduate of an occupational therapy curriculum accredited jointly by the Council on Medical Education of the American Medical Association and the American Occupational Therapy Association and is registered or eligible for registration by the American Occupational Therapy Association.
§78069. Occupational Therapy Aide.

“Occupational therapy aide” means a person who, under the supervision of a registered occupational therapist, assists with occupational therapy services.
§78071. Occupational Therapy Assistant.

“Occupational therapy assistant” means a person who is certified or eligible for certification as such by the American Occupational Therapy Association.
§78073. Participant.

“Participant” means a person 55 years of age or older and any other adult who is chronically ill or impaired and who participates in the services offered by an adult day health center.
§78075. Pharmacist.

“Pharmacist” means a person licensed as such by the California Board of Pharmacy.
§78077. Physical Therapist.

“Physical therapist” means a person licensed as such by the Physical Therapy Examining Committee of the California Board of Medical Quality Assurance.
§78079. Physical Therapy Aide.

“Physical therapy aide” means a person who, under the direct supervision of the registered physical therapist, assists with physical therapy care.
§78081. Physical Therapy Assistant.

“Physical therapy assistant” means a person who is approved as such by the Physical Therapy Examining Committee of the California Board of Medical Quality Assurance.
§78083. Podiatrist.

“Podiatrist” means a person licensed as such by the California Board of Medical Quality Assurance.
§78085. Program Aide.

“Program aide” means a person who performs basic program services under the direct supervision of the person responsible for the provision of a basic program service.
§78087. Program Director.

“Program director” means the person responsible for supervising the implementation of each participant's individual plan of care.
§78089. Psychiatrist.

(a) “Psychiatrist” means a person who is licensed as a physician and surgeon by the California Board of Medical Quality Assurance or the Board of Osteopathic Examiners and who meets any of the following:
(1) Is certified or eligible for certification as a psychiatrist by the American Board of Psychiatry and Neurology,
(2) Is certified or eligible for certification as a psychiatrist by the American Osteopathic Board of Neurology and Psychiatry,
(3) Has specialized training and experience in psychiatry.
§78091. Psychologist.

“Psychologist” means a person who has a doctorate in psychology or educational psychology from an accredited university or who is licensed as such by the California Board of Medical Quality Assurance.
§78093. Recreation Therapist.

“Recreation therapist” means a person with specialization in therapeutic recreation who is registered or eligible for registration as such by the California Board of Parks and Recreation Personnel or the National Therapeutic Recreation Society.
§78094. Service Area.
Note     •     History

“Service area” means the geographic area in which the adult day health center is authorized to provide service. Unless authorized in writing by the Department, the service area shall be limited so that no participant will be in transit for more than one hour utilizing ground transportation from his or her home to the center.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. New section filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78094.1. Registered Domestic Partner.
Note     •     History

Registered domestic partner shall have the same meaning as defined in Family Code Sections 297 and 297.5.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting section filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§78095. Registered Nurse.

“Registered nurse” means a person licensed as such by the California Board of Registered Nursing.
§78097. Social Worker.

“Social worker” means a person who is licensed as a clinical social worker by the California Board of Behavioral Science Examiners or a person who has a master's degree from an accredited school of social work.
§78099. Social Work Aide.

“Social work aide” means a person who has a high school education and who receives on-the-job training and supervision from a social worker or social work assistant.
§78101. Social Work Assistant.

“Social work assistant” means a person with a bachelor's degree in the social sciences or related fields and who receives supervision, consultation and in-service training from a social worker.
§78103. Speech Therapist.

“Speech therapist” means a person licensed as such by the California Board of Medical Quality Assurance.
§78105. Supervision of Employee.

(a) “Supervision of employee” means to instruct an employee or subordinate in his duties and to oversee or direct his work, but does not necessarily require the immediate presence of the supervisor.
(b) Direct Supervision. “Direct supervision” means that the supervisor shall be present in the same building as the person being supervised and available for consultation and assistance.
(c) Immediate Supervision. “Immediate supervision” means that the supervisor shall be physically present while a task is being performed.
Article 2. License
§78201. Right to Apply.

(a) Any city or county government or nonprofit corporation may apply for a license or special permit to operate an adult day health center if the following requirements are met:
(1) The governing body meets the requirements of Section 78405.
(2) The Department has approved the county plan for the county in which the center will be located.
§78203. License Required.

(a) Each city or county government or nonprofit corporation which operates, establishes, manages, conducts or maintains an adult day health center or holds out, advertises or represents by any means that it does so, shall obtain a license from the Department.
(b) The Department shall notify any center which provides adult day health care services without a license or special permit to cease and desist or to file an application for a license within 15 days of the date of notification by the Department.
§78205. Content of Application.
Note     •     History

(a) Any city or county government or nonprofit corporation which desires to obtain a license or a special permit shall file with the Department an application on forms furnished by the Department. The application shall contain the following information:
(1) Name of applicant.
(2) Name and address and professional qualifications of the administrator and program director.
(3) A copy of articles of incorporation, constitution and bylaws of nonprofit organization.
(4) A copy of the current organizational chart.
(5) A brief history and general description of the function of the organization.
(6) Information about each member of the governing board.
(7) A statement of projected revenues, expenditures and cashflow on a monthly basis for a one-year period.
(8) Name, address and location of center and a map identifying the service area.
(9) Plan of operation as specified in Section 78403.
(10) A statement as to whether the applicant is licensed or has ever been licensed to operate a health or community care facility.
(11) A copy of each subcontract related to securing health care services, administrative and management services or any other services necessary to fulfill the center's provider obligations.
(12) A copy of each agreement with at least a general acute care hospital, a physician and an ambulance service for the provision of emergency service.
(13) A copy of each agreement with other community services, such as home health agencies, homemaker/chore, visiting nurses, transportation and nutrition programs designed for the disabled and elderly and senior centers.
(14) A copy of the nondiscrimination policy.
(15) A copy of the participant grievance procedure.
(16) A copy of the procedure for utilization review.
(17) Any other information requested by the Department.
(b) Each application for a new license shall be submitted to the Adult Day Health Care Review Committee which shall send the application to the Adult Day Health Planning Council for the county in which the adult day health center is located.
(c) Applicants who are funded as of December 31, 1977 to provide adult day health care services pursuant to Section 14124.7 of the Welfare and Institutions Code shall be exempt from conformity with the county plan as a condition of licensure.
(d) The Department shall notify the applicant within 60 days if the application is incomplete.
(e) If, after 120 days the application remains incomplete, the applicant shall be notified that the application is considered withdrawn, and a new application is required.
(f) The applicant shall be given the opportunity to appeal the determination that the application is incomplete and to receive instead a notice of denial.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, 1576, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78207. Fees.

(a) Each application for a license shall be accompanied by the prescribed fee. The annual license fee under this section shall be effective for the calendar year of 1978.
(b) The fee for a license to operate an adult day health center which is being licensed for the first time or for any change in existing license shall be $470.00.
(c) The license renewal fee for all other adult day health centers shall be determined by the Department.
§78209. Public Hearing.
Note     •     History

(a) Evidence shall be available that public hearings have been held in accordance with Section 1572(c) of the Health and Safety Code at the time of:
(1) Initial proposal for an adult day health center after the application has been reviewed by the Adult Day Health Care Review Committee and the county Adult Day Health Planning Council.
(2) Renewal application for Medi-Cal certification if the Director requests such a hearing.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78213. Denial of Initial Application.

(a) The Department may deny the application for licensure if the requirements for licensure or certification are not met. An application shall be denied if the applicant:
(1) Has failed to comply with the approved county adult day health plan.
(2) Previously violated Department regulations and there is probability of noncompliance by the applicant.
(3) Has not been certified as an adult day health care provider.
(4) Has past conviction of any crime, especially any crime involving misuse of funds or physical abuse.
(b) Upon the denial of the application, a written notice of denial shall be sent by the Department by certified mail informing the applicant of the denial, setting forth the reasons for denial and advising the applicant of the right to petition for a hearing.
(c) An applicant may submit a written petition for hearing to the Department within 15 days after the Department mails the notice.
(d) The Department shall upon receipt of the petition for hearing, consult the Office of Administrative Hearings who shall determine the time and place of hearing.
(e) The hearing shall be initiated in accordance with Section 11504 of the Government Code by filing and serving a statement of issues defining the disputed issues, specifying the statute and rules with which the respondent must show compliance by producing proof at the hearing.
(f) The statement of issues together with the notice of hearing shall be delivered or mailed to the applicant as provided in Section 11509 of the Government Code.
(g) A copy of Sections 11506.5, 11507.6 and 11507.7 and the name and address of the person to whom requests for hearing may be made, shall be served with the statement of issues.
(h) The proceeding shall be conducted in accordance with Chapter 5, commencing with Section 11500, Division 3, Title 2, Government Code.
(i) Hearing concerning denial of licensure for adult day health care provider shall be conducted concurrently with any hearing concerning denial of certification as a provider of adult day health care services.
§78215. Inspections.

(a) The Department shall conduct an inspection of each licensed center at least annually.
(b) The inspection shall include at least a personal interview with the licensee or administrator and an inspection of the center to assure compliance with these regulations.
§78217. Program Flexibility.

(a) All adult day health centers shall maintain compliance with these licensing requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects, provided such exceptions are carried out with the provisions for safe and adequate care and with the prior written approval of the Department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request and substantiating evidence supporting the request shall be submitted by the applicant or licensee to the Department.
(b) Any approval by the Department granted under this section, or a true copy thereof, shall be posted immediately adjacent to the center's license.
§78219. Issuance of License.

(a) The Department shall grant a license if the applicant meets the standards as specified in these regulations and the application is in agreement with the county plan.
(b) The Department shall issue or deny a license within 90 days of the receipt of the completed application forms and supporting documents.
§78221. Limitations on Participants Admitted.

(a)A license shall specify the maximum number of participants who may receive services at any one time in a center. A center shall not operate beyond the conditions and limitations of its license unless it receives prior approval from the Department.
(b) The Department shall state in writing to the applicant the reasons for limiting the number of participants if the license is issued for fewer participants than requested.
(c) A new application shall be submitted by the licensee for an increase in center capacity, unless:
(1) The basic services provided by the center have not changed.
(2) The center has fire clearance for the increased capacity.
(d) The Department shall specify any limitations on the license.
§78223. Posting of License.

The license shall be posted in a prominent location in the center accessible to public view.
§78225. License Not Transferable.

(a) The license shall not be transferable. The licensee shall notify the Department in writing at least 30 days prior to the effective date of any change of ownership. A new application for license shall be submitted by the prospective new owner.
(b) The Department may approve a change of location and continuation of the existing license for a reasonable period of time when the change is due to accidental destruction of the center or similar emergency conditions, and the new location does not create a hazard to the health and safety of the participants.
§78227. New Application Required.

(a) A new verified application shall be submitted to the Department by the licensee for any of the following reasons:
(1) Construction of a new or replacement center.
(2) Change of ownership.
§78229. License Expiration and Renewal.

(a) An initial license shall expire one year from the date of issue. A renewal license may be issued for one year provided the Department determines that the licensee has complied with all statutory requirements and regulations during the preceding license period.
(b) The Department shall send each licensee a renewal application form at least 90 days before the license expires.
(c) The licensee shall file a renewal application with the Department not less than 30 days prior to the expiration date. The renewal application shall be accompanied by the full applicable fee.
(d) If the licensee fails to apply for renewal within the prescribed time, the license shall expire.
§78231. Revocation or Suspension of License.

(a) A license may be suspended or revoked by the Department for any of the following:
(1) Violation by the licensee of any of the statutory provisions of the Adult Day Health Care Act or regulations adopted by the Department under the Act.
(2) Aiding, abetting or permitting the violation of any said statutory provisions or regulations of the Department.
(3) Conduct in the operation or maintenance, or both the operation and maintenance of an adult day health center which is inimical to the health, morals, welfare or safety of either participants receiving services from the center or the people of the State of California.
(b) The proceedings for revocation or suspension shall be commenced in accordance with Chapter 5, commencing with Section 11500, Part 1, Division 3, Title 2, Government Code.
§78233. Voluntary Suspension and Reinstatement.

(a) Any licensee may make a written request to the Department to surrender the license for suspension by the Department for a temporary period not to exceed 12 consecutive months. The Department may approve such request at its discretion.
(b) Any license which has been temporarily suspended by the Department pursuant to this section shall remain subject to all renewal requirements of an active license including the payment of license renewal fees, during the period of temporary suspension.
(c) Any license suspended pursuant to this section may be reinstated by the Department within 12 months of the date of suspension upon receipt of an application and evidence showing compliance with licensing operational requirements in effect at the time of reinstatement. If the license is not reinstated within the 12-month period, the license shall expire automatically and shall not be subject to reinstatement.
Article 3. Services
§78301. Basic Program Services; General.

(a) Each adult day health center shall provide at the center the following basic services:
(1) Rehabilitation services which include:
(A) Occupational therapy.
(B) Physical therapy.
(C) Speech therapy.
(2) Medical services.
(3) Nursing services.
(4) Nutrition services.
(5) Psychiatric or psychological services.
(6) Social work services.
(7) Planned recreational and social activities.
(8) Transportation services.
(b) Each participant shall be encouraged and assisted to achieve and maintain the highest level of self-care and independence.
(c) Each participant shall be treated as an individual with dignity and respect and shall not be subjected to verbal or physical abuse of any kind.
(d) Each employee shall observe each participant for any change in physical, mental, emotional and social functioning and shall report such changes to the licensed nurse.
§78303. Basic Program Services: Assessment.
Note     •     History

(a) The multidisciplinary team shall be composed of at least a staff or attending physician, a registered nurse, a social worker, an occupational therapist and a physical therapist.
(b) The multidisciplinary team, in collaboration with the participant or the participant's authorized representative and the placement agency, if any, shall assess each participant's need for services prior to the acceptance of that participant.
(c) The multidisciplinary team shall determine and document in the participant's health record that:
(1) The amount of care, supervision and type of services required by the participant are available in the center.
(2) The participant is ready and can benefit from the program the center has to offer.
(d) A written individualized plan of care shall be developed to meet the needs of each participant and shall include but not be limited to:
(1) Scheduled days of attendance.
(2) Medical diagnoses.
(3) Prescribed medications and frequency of administration.
(4) Specific element of the service needed.
(5) Individualized objectives, therapeutic goals and duration of each service.
(6) An individualized activity plan designed to meet the needs of the participant for social and therapeutic recreational activities.
(7) Participation in specific group activities.
(8) A plan for transportation needs.
(9) Therapeutic diet requirements and if indicated, the plan for dietary counselling and education.
(10) A plan for other services needed by the participant.
(11) Discharge planning.
(12) The signature of each member of the multidisciplinary team including a physician.
(e) Prior to or at the time of the admission of a participant, the program director shall obtain a written health assessment of the participant which has been completed within 90 days by the participant's physician or staff physician. The assessment shall be included in the participant's health record and shall include at least the following:
(1) Previous medical history.
(2) Identification of any health condition including communicable disease.
(3) Identification of physical limitations including ambulatory status.
(4) Current diagnosis of any health problem and the prescribed treatment.
(5) Evidence of tuberculosis screening.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code; Section 14528, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (e) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78305. Basic Program Services: Occupational Therapy Services.
Note     •     History

(a) Occupational therapy services which utilize purposeful activity shall be provided and shall include at least the following:
(1) Initial and continuing assessment of the participant by an occupational therapist in the multidisciplinary team, including the treatment plan, method and interval of delivery of services to meet identified needs and discharge summary.
(2) Notation made after each treatment specifying method of treatment and the reaction of the participant to the treatment. Narrative notes shall be entered in the participant's health record when indicated and shall be signed by the occupational therapist.
(3) Progress notes shall be written at least quarterly in the participant's health record and shall be signed by the occupational therapist.
(b) The occupational therapy service shall be under the direction of an occupational therapist. An occupational therapy assistant or aide shall work only under the supervision of an occupational therapist.
(c) The occupational therapy services staff shall work the hours necessary to meet the needs of each participant as specified in the individual plan of care by the multidisciplinary team and in accordance with the staffing requirements of the Department.
(d) Equipment for occupational therapy shall include at least the following:
(1) Adaptive equipment for assistance in activities of daily living.
(2) Equipment and supplies for creative skills when appropriate.
(3) Provision for availability of assistive or supportive slings or splints and the materials from which to fabricate these devices.
(e) Space shall be provided for treating the participants and for storage of equipment.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (d), filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78307. Basic Program Services: Physical Therapy Services.
Note     •     History

(a) Physical therapy services shall include at least the following:
(1) Initial and continuing assessment of the participant by the physical therapist in the multidisciplinary team.
(2) Notation made after each treatment specifying method of treatment and the reaction of the participant. Narrative notes shall be entered in the participant's health record when indicated and shall be signed by the physical therapist.
(3) Progress notes shall be written at least quarterly in the participant's health record and shall be signed by the physical therapist.
(4) Treatment of participants to achieve and maintain maximum performance using physical means such as exercise, massage, heat, sound, water, light or electricity.
(b) Physical therapy service shall be under the direction of a physical therapist. A physical therapy assistant or aide shall work only under the supervision of a physical therapist.
(c) The physical therapy service staff shall work the hours necessary to meet the needs of each participant as specified in the individualized plan of care developed by the multidisciplinary team and in accordance with the staffing requirements of the Department.
(d) Equipment of physical therapy services shall include at least the following:
(1) Parallel bars.
(2) Full-view mirror.
(3) Overhead pulley and weight.
(4) Set of training stairs.
(5) Treatment table.
(6) Wheelchairs, walkers, canes, crutches and other ambulation devices in a sufficient number to meet the needs of each participant.
(e) Space shall be provided for storage of equipment.
(f) Privacy shall be provided the participant during treatment.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment of subsections(a)(2)-(4) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78309. Basic Program Services: Speech Therapy Services.
Note     •     History

(a) Speech therapy services shall include at least the following:
(1) Initial and continuing assessment of the participant by the speech therapist in the multidisciplinary team.
(2) Notation made after each treatment specifying method of treatment and reaction of the participant. Narrative notes shall be entered in the participant's health record when indicated and shall be signed by the speech therapist.
(3) Progress notes shall be written at least quarterly in the participant's health record and signed by the speech therapist.
(b) The speech therapist shall work the number of hours necessary to meet the needs of each participant as specified in the individualized plan of care developed by the multidisciplinary team and in accordance with the staffing requirements of the Department.
(c) Equipment and supplies shall be available to implement the specified speech therapy needs of each participant.
(d) Space that is free from noise shall be provided to the extent that such conditions are within the reasonable control of the center.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment of subsections(a)(2) and (3) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78311. Basic Program Services: Medical Services.
Note     •     History

(a) Medical services shall be provided to each participant by a personal or a staff physician.
(b) Medical services shall include at least the following:
(1) The initial health assessment as specified in Section 78303(e).
(2) Authorization of the participant's initial individualized plan of care and each quarterly revision of the plan.
(3) Emergency care or provision for emergency care as needed.
(4) Documentation of services provided.
(c) Space shall be provided that allows privacy for the participant during examination by and consultation with the physician.
(d) The names and telephone numbers for all participants' physicians shall be posted in a location accessible to the center's personnel.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78313. Basic Program Services: Nursing Services.
Note     •     History

(a) Skilled nursing care shall be available to each participant and shall include at least the following:
(1) Initial and continuing assessment of the participant by the registered nurse in the multidisciplinary team and development of a written plan of care.
(2) Administration of medications or monitoring of self-administration of medications by participants.
(3) Supervision of personal care given by program aides.
(4) Maintenance of a participant's health record which includes:
(A) Signed quarterly progress notes from each member of the multidisciplinary team and outside consultants.
(B) Records of medications and treatments administered.
(C) Quarterly narrative nursing note, unless a participant's condition requires a more frequent note, indicating participant's progress toward achieving health goals.
(5) Provision of emergency care, including arrangements for transportation.
(6) Notification of the physician of any marked change in the participant's condition.
(b) A licensed nurse shall be on duty during the hours the center offers basic services.
(c) Nursing service space shall be provided for the treatment of participants.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code; Section 14550(c), 14529(c), 14554, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78315. Nursing Services--Restraints.
Note     •     History

(a) Restraints shall be used only as measures to protect the participant from injury to self, based on the assessment of the participant by the multidisciplinary team.
(b) Restraints shall be used only under the following conditions:
(1) Treatment restraints for the protection of the participant during treatment and diagnostic procedures.
(2) Supportive restraints for positioning the participant and to prevent the participant from falling out of a chair or from a treatment table or bed.
(c) Acceptable forms of restraints shall include only cloth vests, soft ties, soft cloth mittens, seat belts and trays with spring release devices. Soft ties means soft cloth which does not cause skin abrasion and which does not restrict blood circulation.
(d) Restraints shall not be used as punishment or as a substitute for medical and nursing care.
(e) No restraints with locking devices shall be used or available for use.
(f) Restraints shall be applied in a manner so that they can be speedily removed in case of fire or other emergency.
(g) Various types of adult chairs referred to as geriatric chairs are not defined as a restraint if the type of closing mechanism of the chair and the physical and mental capability of the specific participant allow for easy removal.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78317. Nursing Services: Medications.
Note     •     History

(a) Each participant's health record shall include a drug history which lists all medications currently being taken by the participant and any medications to which the participant is allergic.
(b) Medications stored in the center or administered by center personnel shall be labeled in conformance with state and federal laws and regulations. Center personnel shall not alter prescription labels.
(c) Center personnel, except those lawfully authorized to do so, shall not dispense, repackage or label drugs or transfer drugs between containers.
(d) No medication shall be administered to a participant by center personnel unless the name, dosage and frequency of administration of the drug and the name of the prescriber is recorded in that participant's record. P.R.N. drug orders shall include an indication for use.
(e) Medications not self-administered shall be administered only by licensed medical or licensed nursing personnel.
(f) The self-administration of medications shall be permitted only under the following conditions:
(1) Center shall have approved policies permitting self-administration of medications when approved by the multidisciplinary team.
(2) Training in self-administration of medications shall be provided to all participants based on the recommendation of the multidisciplinary team.
(3) The health record of each participant who is capable of self-medication shall name all drugs which are to be self-administered.
(g) Medications shall be stored in the center under the following conditions:
(1) Medications shall be kept in clean, lockable cabinets, drawers or rooms. Such medications shall be accessible only to those licensed medical, nursing or pharmaceutical personnel designated by the center.
(2) Medications shall be stored in an orderly manner without overcrowding. External use drugs in liquid, tablet, capsule or powder form shall be stored separately from drugs for internal use.
(3) Test reagents, germicides, disinfectants and other household substances shall be stored separately from all drugs.
(4) Drugs shall not be stored after the expiration date on the label, and no contaminated or deteriorated drugs shall be available for use.
(5) The center shall keep a record of all prescription medications stored overnight. The record shall include the participant's name, the drug name and strength, the prescription number, if dispensed by a pharmacy and the date received. If the medication is returned to the participant, that shall be noted and dated on the record. The record shall be retained for at least one year.
(6) Medications requiring refrigeration shall be stored at a temperature between 2oC (36oF) and 8oC (46oF). If stored in the same refrigerator with foods, the drugs shall be in a closed container or compartment clearly marked “drugs” or “medication.”
(h) Only disposable syringes and needles shall be used to administer drugs by injection. Such equipment shall be accessible only to licensed medical, nursing and pharmacy personnel and shall be destroyed so as to render it unfit for reuse in any manner.
(i) Those centers desiring to keep emergency drug supplies shall meet the following requirements:
(1) The drugs included in the emergency drug supply shall be determined by the pharmacist, the staff or attending physician and the registered nurse and shall be limited to a maximum of three doses in either sealed ampules or vials of any one emergency drug. If an emergency drug is not available in parenteral form, a supply of the drug in inhalation or sublingual form may be maintained in the smallest sealed manufacturer's package. No other oral legend drugs shall be stored.
(2) The emergency drug supply shall be stored in a portable container which is sealed in such a manner that the tamper-proof seal must be broken to gain access to the drugs. The registered nurse shall notify the pharmacist when drugs have been used from the emergency kit or when the seal has been broken. Drugs used from the kit shall be replaced within 72 hours and the supply resealed by the registered nurse.
(3) The contents of the supply shall be listed on the outside of the container.
(4) The supply shall be checked at least quarterly by the pharmacist.
(5) Separate records of use shall be maintained for drugs administered from the supply. Such records shall include the name and dose of the drug administered, name of the participant, the date and time of administration and signature of the person administering the dose.
(j) Drugs which have been left in the center by participants who have expired or have not visited the center for 30 days shall be destroyed in the center in the following manner:
(1) A registered nurse employed by the center and either another licensed nurse, the center administrator, a pharmacist or a physician shall witness the destruction.
(2) The method of destruction shall be recorded or indicated in the center's written procedures. Destruction shall be by flushing into the sewage system.
(3) Both witnesses required in (1) above shall sign a record which lists the date of destruction, the participant's name, the drug name and strength, the quantity destroyed and the prescription number, if any.
(k) There shall be written policies and procedures governing all aspects of medication storage, distribution, recording and disposal in the center.
(l) The center shall retain the services of a pharmacist who shall:
(1) Assist in the development and review of written policies and procedures.
(2) Monitor at least quarterly the implementation of policies and procedures related to medications at the center.
(3) Furnish to the center administrator at least quarterly a written report on the status of medication-related services.
(4) Communicate directly with participants, pharmacies, attending physician and center staff on matters pertaining to individual participant's drug therapy.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment filed 9-22-79; effective thirtieth day thereafter (Register 79, No. 38).
§78319. Basic Services: Nutrition Services.
Note     •     History

(a) When meals are served in the center, they shall meet the “Recommended Dietary Allowances,” 1974 Edition, adopted by the Food and Nutrition Board of the National Research Council of the National Academy of Sciences.
(b) All food shall be selected, stored, prepared and served in a safe and healthful manner.
(c) Each participant who is in the center for four hours or more shall be served a meal that will supply at least one-third of the National Research Council's Recommended Dietary Allowances.
(d) Each participant who is in the center for eight hours shall be served a meal and between meal nourishments that will supply at least one-half of the National Research Council's Recommended Dietary Allowances.
(e) Each participant receiving care for periods longer than eight hours shall be served at least two meals and between meal nourishments.
(f) Any participant accepted at 7:00 a.m. or earlier shall be served a nourishing breakfast unless it has been determined that the participant has received a meal prior to arrival.
(g) Therapeutic diets shall be provided for each participant whose diet has been prescribed by the participant's physician as a medical necessity.
(h) The diet order for each participant shall be reviewed every 90 days by a dietitian and approved by the multidisciplinary team when reassessment is done.
(i) When food is provided by an outside commercial food service, the applicable requirements shall be met. Equipment and employees to receive and serve the food and for cleanup shall be provided. Equipment for in-house preparation and service of food in emergencies shall be maintained.
(j) When prepared food and beverages are obtained from a food management service, the food management service shall be approved in accordance with federal, state and local requirements. The center shall obtain from the food management service evidence of such approval. The food management service shall supply evidence to the adult day health center that menus are planned by a qualified dietitian.
(k) When low-sodium and low-cholesterol diets are provided through Older Americans Act nutrition sites, the adult day health center registered nurse shall meet with the nutrition site dietitian to adjust menus to provide for special dietary requirements of participants.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code; Section 14550(d), Welfare and Institutions Code.
HISTORY

1. New subsection (k) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78321. Nutrition Services: Menus.

(a) Meals shall consist of a variety of food and shall be planned with consideration for medical needs, cultural and religious background and food habits and age of each participant served.
(b) Between meal nourishments shall consist of but not be limited to a beverage and either fruits, vegetables or a grain product such as crackers, cookies or bread.
(c) Menus for all meals, between meal nourishments, and for therapeutic diets shall be written one week in advance, approved by a dietitian and posted in the kitchen. Menus shall be available for review by each participant served or the participant's designated representative.
(1) If any meal or between meal nourishment varies from the planned menu, the change shall be noted in writing on the menu posted in the kitchen.
(2) A copy of the menu as served shall be kept on file for at least 30 days.
(d) Itemized records of foods purchased shall be kept for one year and available for review by the Department. Food purchase invoices are acceptable provided they list amounts of specific foods.
§78323. Nutrition Services: Quality of Food.

(a) All food shall be of good quality.
(b) Prepared foods shall be approved by appropriate federal, state and local authorities.
(c) Food in unlabeled, rusty, leaking, broken containers or cans with side seam dents, rim dents or swells shall not be accepted, retained or used.
(d) Home-canned foods shall not be used.
(e) Milk, milk products and products resembling milk shall be processed or manufactured in milk product plants, meeting the requirements of Division 15 of the California Food and Agricultural Code. When milk is served as a beverage it shall be pasteurized, Grade “A” milk or certified milk unless otherwise prescribed by a physician. Powdered milk shall not be used as a beverage but may be used in cooking. Instant liquid or powdered cream substitutes may be used only when dispensed from their original containers. When milk is served in individual containers, the cap or seal shall not be removed except in the presence of the participant. Milk may be served from an approved dispensing device and shall be dispensed directly into the glass or other container from which the participant drinks.
(f) Meat, poultry and meat products shall not be used unless they have met inspection standards of state or federal authorities.
§78325. Nutrition Services: Food Sanitation.

(a) Kitchens and kitchen areas shall be kept clean, free from litter and rubbish and protected from rodents, roaches, flies and other vermin.
(b) Utensils, counters, shelves and equipment shall be kept clean and maintained in good repair.
(c) Plastic ware, china and glassware that is insanitary or hazardous because of chips, cracks or loss of glaze shall be discarded.
(d) Food shall be protected against contamination and spoilage. Contaminated or spoiled food shall not be served.
(e) Foods held in refrigerators or other storage space shall be covered.
(f) Foods which have been opened or prepared and are to be stored shall be labeled and dated.
§78327. Nutrition Services: Food Service.
Note     •     History

(a) Foods shall be prepared by methods that conserve nutritive value, flavor and appearance and shall be served at appropriate temperatures.
(b) A dining area equipped for serving at meal time shall be provided.
(c) Dishes, beverage containers and eating utensils appropriate for use with the food being served shall be provided.
(d) Each participant shall be seated for meals on an individual chair, at a table, or as appropriate if the participant is in a wheelchair.
(e) Each participant shall be assisted by employees during meals as needed.
(f) Special equipment and utensils shall be provided for self-help in eating as needed.
(g) Sufficient food shall be prepared to provide additional servings as requested by the participant served, unless the participant is on a restricted diet prescribed by a physician.
(h) When necessary, food shall be cut, chopped or ground to meet the needs of individual participants.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78329. Nutrition Services: Cleaning of Utensils.

(a) Multiuse utensils used for eating, drinking, preparing and serving of food and drink shall be cleaned after each use.
(b) Food particles shall be removed by scraping and prerinsing in running water.
(c) Multiuse utensils not washed by mechanical means shall be thoroughly washed in hot water with a minimum temperature of 43oC (110oF) using soap or detergent, shall be rinsed in hot water and disinfected by one of the following methods or equivalent as approved by the Department:
(1) Immersion in water containing bactericidal chemical as approved by the Department.
(2) Immersion for at least two minutes in clean water at 77oC (170oF).
(3) Immersion for at least 30 seconds in clean water at 82oC (180oF).
(d) After disinfection, the utensils shall be allowed to drain and dry in racks or baskets on nonabsorbent surfaces. Drying cloths shall not be used.
(e) Results obtained with dishwashing machines shall be equal to those obtained by the methods outlined above, and all dishwashing machines shall meet the requirements contained in Standard No. 3 as amended in April 1965 by the National Sanitation Foundation, P.O. Box 1468, Ann Arbor, Michigan 04106.
§78331. Nutrition Services: Supplies and Equipment.
Note     •     History

(a) Food supplies shall be available to meet the planned menus and shall be in sufficient quantity to serve the participants.
(b) There shall be sufficient equipment of the type and amount necessary for proper preparation, serving and storage of food for the number of participants served by the center.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code; Section 14550(d), Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78333. Nutrition Services: Staff.

(a) A dietitian shall be employed on a consulting basis. Part-time or consultant services shall be provided on the premises at appropriate times on a regularly scheduled basis. A written record of the frequency, nature and duration of the consultant's visits shall be maintained.
(b) When a dietitian is not employed full-time, the administrator shall designate a staff person to be responsible for the operation of the food service.
(c) Sufficient employees shall be employed, trained and their working hours scheduled to provide for the nutritional needs of the participants in the adult day health center.
(1) If these employees are assigned duties in other services, those duties shall not interfere with food service work assignments.
(d) Each employee engaged in food preparation and service shall practice personal hygiene, including hand washing, wearing clean clothing and wearing of caps or hair nets. This includes participants who may, as part of their planned program, assist with food preparation.
(1) Employees shall be excluded from food preparation duty when affected by gastrointestinal illness skin infections, colds or other communicable illnesses.
§78335. Nutrition Services: Food Storage.

(a) Food storage areas of adequate size to accommodate the required food supply shall be provided.
(b) Food storage areas shall be clean at all times.
(c) Dry or staple food items shall be stored above the floor on shelves, racks or dollies which permit easy and regular cleaning in a ventilated room not subject to sewage or waste water backflow or contamination by condensation, leakage, rodents or vermin.
(d) The temperature for refrigerator, cold storage shall be maintained at 7oC (45oF) or below.
(e) Hot foods shall be maintained at 60oC (140oF) if they are not served immediately upon completion of cooking.
(f) The temperature for frozen food storage shall be maintained minus 18oC (0oF) or below.
(g) Pesticides and other toxic substances shall not be stored in food storeroom, kitchen areas or where kitchen equipment or utensils are stored.
(h) Soaps, detergents, cleaning compounds, craft supplies or similar substances shall be stored in areas separate from food supplies.
(i) Employees' street clothing and purses shall be stored in an enclosed area separated from food, paper goods, utensils, kitchen equipment and other supplies used in the preparation or service of food.
§78337. Basic Program Services: Psychiatric or Psychological Services.
Note     •     History

(a) The adult day health center shall have consultant staff available at a minimum of three hours per month and consisting of a psychiatrist, clinical psychologist, psychiatric social worker or psychiatric nurse. For purposes of this section a psychiatric nurse shall meet either of the following requirements:
(1) Be a registered nurse with a graduate degree in psychiatric nursing and one year of psychiatric nursing experience within the past five years.
(2) Be a registered nurse with a baccalaureate degree in nursing and three years of psychiatric nursing experience in an acute psychiatric setting or in a psychiatric health facility, one year of which shall have been within the past five years.
(b) The consultant shall provide at least the following:
(1) Participation in the initial and continuing assessments for the development of an individual plan of care by the multidisciplinary team when indicated.
(2) Maintenance of signed progress records in the participant's health record when indicated.
(3) Liaison with other members of the multidisciplinary team and family members and referral agencies that may yield information for psychiatric or psychological treatment.
(4) Group counseling and techniques, as indicated by participant's need.
(c) Sufficient space shall be provided for privacy for individual or small group counseling or large group activities as indicated by participant's need.
(d) Consultant staff shall spend a sufficient number of hours in the adult day health center to meet the needs of each participant and the staffing requirements of the Department.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code; Section 14550(e), Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78339. Basic Program Service: Social Services.
Note     •     History

(a) The adult day health center shall provide social services to assist participants and their families to solve medical social problems that arise as a result of the participant's disability.
(b) Medical social services shall consist of at least the following:
(1) Initial and continuing assessment of the participant by the medical social worker in the formation of an individual plan of care by the multidisciplinary team.
(2) Maintaining signed progress records in the participant's health record at least quarterly.
(3) Assumption of responsibility for implementation and coordination of the discharge plan.
(4) Providing referral to outside resources and assisting with counseling when applicable.
(5) Providing problem oriented discussion groups among participants.
(6) Serving as a liaison with the participant's family and home.
(7) Providing referral and follow-up for referred persons not appropriate for adult day health care.
(c) Medical social services shall be provided or supervised by a social worker.
(d) The medical social worker shall be a full-time employee of the adult day health center.
(e) A social work assistant or social work aide shall provide medical social services only under the supervision of the medical social worker.
(f) Space to allow privacy shall be provided for the medical social worker when counseling participants.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment of subsections (b)(2) and (d) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78341. Basic Services. Recreation or Planned Social Activities.
Note     •     History

(a) The adult day health center shall provide an activity program that is supervised and directed by an activity coordinator to meet the needs and interests of each participant. The activity program shall assist the participant to resume self-care and normal activities or to prevent further deterioration.
(b) An activity coordinator shall meet at least one of the following qualifications:
(1) Have two years of experience in a social, recreational or educational program within the past five years, one year of which was full-time employment in a patient activities program in a health care setting, mental health setting or setting for the care of the handicapped.
(2) Be an occupational therapist, art therapist, music therapist, dance therapist, recreation therapist, occupational therapy assistant or a qualified social worker.
(3) Have completed at least 36 hours of training in a course designed specifically for this position and approved by the Department and shall receive regular consultation from an occupational therapist, occupational therapy assistant, recreation therapist, art therapist, music therapist or dance therapist who has had one year of experience in a health care setting.
(c) The activity coordinator's duties shall include at least the following:
(1) Participation in initial and continuing assessment of the participant's needs for the development of the individual plan of care by the multidisciplinary team.
(2) Maintenance of a signed quarterly progress record and individualized activity plan in the participant's health record.
(3) Posting of a schedule of planned activities in a central location readily accessible to participant, family, guardian or authorized representative.
(4) Involvement of participants in the planning of the program.
(5) Utilization of volunteers as needed to implement the plan.
(6) Utilization of adult day health center's transportation to provide activities in the community as indicated by participant's needs and interests.
(d) Each participant shall have time to engage in activities of the participant's own choosing.
(e) The activity coordinator shall be a full-time employee of the center.
(f) Space shall be provided that:
(1) Meets independent and group needs of all participants.
(2) Is accessible to wheelchair and ambulatory patients.
(3) Allows storage of equipment and supplies.
(g) Equipment shall be sufficient to meet the group and independent needs of each participant.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment of subsections (b), (c)(2), and (e) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78343. Transportation Services.

(a) Transportation for participants to and from home shall be provided or arranged by the center if necessary.
(b) The center shall develop written policies and procedures for the provision of transportation services.
§78345. Basic Program Services--Plan for Discharge.
Note     •     History

(a) A plan for discharge of each participant shall be based on the assessment of the participant by the multidisciplinary team and shall be reviewed and updated at the time of each reassessment.
(b) Each participant's health record shall include documentation of the plan for discharge which shall be completed by the time of the first reassessment.
(c) Referral of participants shall be made to outside resources by the multidisciplinary team or by an individual team member. Each referral shall be recorded on the participant's health record.
(d) Consultation shall be made available to a participant's family prior to discharge.
(e) Home visit shall be made by the appropriate multidisciplinary team member prior to discharge of the participant if recommended by multi disciplinary team and documented in the participant's health record
(f) If a participant decides to terminate participation in an adult day health center program prior to the date recommended by the multidisciplinary team, the center staff shall discuss the consequences of such action with the participant, the participant's physician and authorized representative, if any, and center staff shall document the discussion in the participant's health record. 
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code. 
HISTORY

1. Amendment filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78347. Optional Services.

(a) Optional services may be provided and may include: 
(1) Podiatry services provided by a podiatrist. 
(2) Optometric screening and advice provided for participants with vision problems by an ophthalmologist licensed by the California Board of Medical Quality Assurance or an optometrist licensed by the California Board of Optometry. 
(3) Dental screening provided by a dentist. 
(4) Other services as approved by the Department. 
(b) Optional services need not be provided on the premises and the adult day health center shall assist the participant by arranging for an appointment, transportation to and from the provider and escort services if needed. 
Article 4. Administration
§78401. Licensee Responsibility.

(a) Each licensee shall have legal responsibility and administrative authority for operation of the center. 
(b) The licensee shall exercise general supervision over the affairs of the center and establish policies concerning its operation in conformance with these regulations and the welfare of the participants it serves. 
(c) Each licensee which is a nonprofit corporation shall be legally organized as follows: 
(1) The governing board shall be active, functioning and shall have regularly scheduled meetings. 
(2) Minutes shall be kept of all board meetings and shall be available for review by the Department. 
(3) The board shall delegate to the administrator the responsibility for administration of the center. 
(4) A change in the chairman of the governing board shall be reported to the Department in writing within 14 working days following such change. Such notification shall include the name, address and the Social Security number of the new principal officer. 
(d) Each licensee which is a city or county shall be designated by the appropriate governing body as a city or county agency through which adult day health care shall be offered. 
(e) When a county or city is planning to make application to provide adult day health care, the city or the county shall file with the Department a letter of intent or resolution signed by the chairman of the Board of Supervisors or appropriate governing body authorizing the chairman to sign the application and to enter into agreements with the Department. 
(f) Each city or county licensee shall establish a special board according to the specifications in Section 78405(c)(1) and apply to the Director for an exception to the governing body requirement in Section 78405(b).
§78403. Plan of Operation.

(a) Each center shall have a written plan of operation submitted with the license application and which shall be kept current. 
(b) The plan shall include the following: 
(1) Hours and days of operation. 
(2) Number of participants to be served, age and type of participants.
(3) Description of basic services and any optional services for which departmental approval is required. 
(4) Policies and procedures for admission and discharge planning. 
(5) Policies and procedures for assessment of participants. 
(6) Staffing pattern which includes a description of multidisciplinary professional staff by discipline. 
(7) A plan for utilizing community resources. 
(8) Policies and procedures for in-service training of employees and volunteers.
§78405. Composition of Governing Board.

(a) The governing board of an adult day health center shall have final authority and responsibility for the conduct of the center. 
(b) The board shall be comprised of four or more persons, at least one-half of whom shall be: 
(1) Recipients of the services of the adult day health center. 
(2) Relatives of such recipients. 
(3) Representatives of community organizations with particular interest in programs for the elderly. 
(c) The Department may grant exceptions to Section 78405(b) for an applicant upon written request of the applicant as follows: 
(1) The applicant may delegate primary responsibility for supervision of its adult day health care program to a special board which meets the compositional requirements of this section, and 
(2) Such special board reviews and recommends to the governing board the budget, personnel and subcontractors of the adult day health care program. 
(d) No member of the governing or special board or any immediate family thereof shall have any direct or indirect interest in any contract for supplying services to the adult day health center.
§78407. Requirements for Participant Admission.

(a) Requirements for admission shall include: 
(1) Authorization by the Department for Medi-Cal beneficiaries which shall be initiated by the provider and shall include the results of initial assessment by the multidisciplinary team and the individual plan of care, signed by each member of the team. 
(2) Application by the participant. 
(3) Referral from community or health agencies, physician, hospital, family, friends or self-referral. 
(4) Residence within the service area for the adult day health center.
(5) Need for the health and rehabilitative and social services provided by adult day health center in order to achieve or maintain personal independence. 
(b) No center shall accept participants for whom it cannot provide proper care.
§78409. Fire Clearance.

Each center shall secure and maintain a fire clearance from the State Fire Marshal.
§78411. Admission and Discharge Procedures.

Each licensee shall develop a written admission and discharge procedure according to the center's individual program, policies and needs.
§78413. Employee Requirements.

(a) Employees shall be sufficient in numbers and qualified and competent to provide the services for which the center is licensed. The Department may require each center to provide additional employees whenever the Department determines through documentation that the needs of the particular participants in the center, or the extent of the services provided by the center, or the peculiar physical arrangements of the center require such additional employees. 
(b) Each supervisor shall be at least 18 years of age. 
(c) Each employee shall have either training or related experience in the job assigned. 
(d) A planned in-service education program, including orientation, skill training and continuing education shall be provided for employees.
(e) All staff members shall receive in-service training in first aid and in cardiopulmonary resuscitation within the first six months of employment. 
(f) Each employee shall be in good mental and physical health, and capable of performing assigned tasks. 
(g) No participant shall be used as a substitute for required employees, but may assist employees as part of the participant's program of rehabilitation or training.
§78415. Administrator.

(a) Each center shall have an administrator. The administrator shall have the responsibility and authority to carry out the policies of the licensee. The licensee shall notify the Department in writing within 14 working days following a change of administrator. Notification shall include the new administrator's name, the mailing address, the effective date of office, background, qualifications and Social Security number.
(b) An administrator shall have the following qualifications: 
(1) Knowledge of supervision and care appropriate to the participants receiving services. 
(2) Ability to conform to the applicable laws, rules and regulations. 
(3) Ability to maintain or supervise the maintenance of financial and other records. 
(4) Ability to direct the work of others. 
(5) Be of good character and reputation of personal integrity. 
(6) Graduation from an accredited college or university in a field related to the program and either of the following: 
(A) A master's degree and one year of successful experience in a responsible managerial, administrative or supervisory position in a social or health service program or agency. 
(B) A bachelor's degree and three years of successful experience in a responsible managerial, administrative or supervisory position in a social or health service program or agency. 
(c) The administrator shall: 
(1) Administer the center in accordance with these regulations and established policy, program and budget. 
(2) Report to the licensee concerning the operation of the center and interpret recognized standards of care and supervision to the licensee. 
(3) Develop an administrative plan and procedure to insure clearly defined lines of responsibility, equitable workloads and adequate supervision. 
(4) Recruit, employ and train qualified employees and terminate employment of employees who perform in an unsatisfactory manner. 
(d) Each center shall make provision for continuity of operation and assumption of the administrator's responsibilities during the administrator's absence. 
(e) Centers with a capacity of 50 and over shall provide both an administrator and a full-time program director. 
(f) The administrator of two or more licensed centers shall not serve as a program director. 
(g) The administrator shall not be responsible for more than three centers, without prior written approval by the Department. In this circumstance there shall be one or more assistant administrators for every three additional centers.
§78417. Program Director.
Note     •     History

(a) Each center shall have a full-time program director. The program director shall be on the premises and available to participants, employees and relatives. When the program director is temporarily absent, another adult on the staff shall be designated to serve as the acting program director. When the program director is absent for more than one month, the acting program director shall meet the qualifications of the program director. 
(b) The program director shall be knowledgeable of the physical, mental and social needs of the elderly and be a professional in one of the following: 
(1) Nursing. 
(2) Social work. 
(3) Psychology. 
(4) Recreation. 
(5) Occupational therapy. 
(6) Physical therapy. 
(7) Speech therapy. 
(8) Dietetics. 
(9) Gerontology. 
(c) The duties of the program director shall be as follows: 
(1) Developing the program in accordance with the needs of the participants served. 
(2) Implementing and coordinating the program. 
(3) Continuously evaluating the participants' changing needs and making necessary program adjustments. 
(4) Supervising employees and volunteers. 
(5) Providing for in-service education. 
(d) In programs operating within a licensed health facility or clinic, the program director shall have no other duties than those related to adult day health care and during those hours shall not be included in the staffing ratios of the licensed facility. 
(e) The program director shall have no other duties than those related to adult day health care. During the hours when basic services are being provided in the adult day health center, the program director shall not be employed in any other licensed facility. 
(f) The program director may serve as a professional person in any one of the basic program services if: 
(1) The average daily attendance is 20 participants or less.
(2) The program director and administrator are not the same person.
(3) The program director meets the professional qualifications required to provide that service. 
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code. 
HISTORY

1. Amendment of subsections (a) and (b), and new subsections (c)(5), (d)-(f) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78419. Staffing Requirements.
Note     •     History

(a) Program aides shall be employed in a sufficient number to meet the needs of the participants and the staffing requirements of the Department. Program aides shall be qualified by education and training and experience to perform the duties assigned and meet the needs of the program. A program aide shall be qualified when the aide can demonstrate to the program director the ability to successfully perform the tasks assigned.
(b) Appropriate professional employees and consultants qualified by education, training or experience shall be employed to meet the needs of the participants in the program and the staffing requirements of the Department. 
(c) The staffing requirements shall be determined as follows: 
(1) Centers with an average daily attendance of 10 or less shall have:
(A) A total of 40 hours in any combination of physical therapy, speech therapy, occupational therapy, or psychological or psychiatric services per month. 
(B) Two hours of nutritional services provided by a dietitian per month. 
(2) Centers with an average daily attendance of 11-20 shall have: 
(A) A total of 80 hours in any combination of physical therapy, speech therapy, occupational therapy, or psychological or psychiatric services per month. 
(B) Four hours of nutritional services provided by a dietitian per month. 
(3) Centers with an average daily attendance of 21-30 shall have: 
(A) A total of 120 hours in any combination of physical therapy, speech therapy, occupational therapy, or psychological or psychiatric services per month. 
(B) Six hours of nutritional services provided by a dietitian per month.
(4) Centers with an average daily attendance of 31-40 shall have: 
(A) A total of 162 hours iµh…B€Oation of physical therapy, speech therapy, occupational therapy, or psychological or psychiatric services per month. 
(B) Seven hours of nutritional services provided by a dietitian per month. 
(5) Centers with an average daily attendance of 41-50 shall have: 
(A) A total of 200 hours in any combination of physical therapy, speech therapy, occupational therapy, or psychological or psychiatric services per month. 
(B) Eight hours of nutritional services provided by a dietitian per month. 
(6) Centers with an average daily attendance of 51-60 shall have:
(A) A total of 240 hours in any combination of physical therapy, speech therapy, occupational therapy, or psychological or psychiatric services per month. 
(B) Ten hours of nutritional services provided by a dietitian per month.
(7) An additional half-time licensed vocational nurse for each increment of 10 in licensed capacity exceeding 40. 
(8) An additional half-time social work assistant for each increment of 10 in licensed capacity exceeding 40. 
(9) Program aides in a ratio of one-half aide for every increment of eight in licensed capacity. 
(d) Support employees shall include maintenance, food service and clerical employees sufficient in number to perform the necessary duties.
(e) Volunteers may be utilized in centers, but shall not be used to replace required employees. Each volunteer shall receive orientation, training and supervision. 
(f) When regular employees are absent, there shall be coverage by employees with suitable qualifications. 
(g) A dated weekly employee time schedule shall be displayed in a convenient place where employees may refer to it. The schedule shall contain employee's name, job title, hours of work and days off. 
(h) The licensee shall provide for and encourage each employee to report observations or evidence of abuse. 
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code. 
HISTORY

1. Amendment of subsection (c) filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
§78421. Finances.

No adult day health center shall assume responsibility for the funds of its participants.
§78423. Disaster Plan.

(a) Each center shall have a plan for a disaster occurring within the center, or a local disaster occurring in the community. 
(b) The plan shall be in writing and shall include: 
(1) Designation of administrative authority and employee assignments. 
(2) Plan for evacuation or relocation of participants, including: 
(A) Means of evacuation.         
(B) Transportation of participants when necessary. 
(C) Supervision of participants after evacuation or relocation. 
(D) Means for contacting local service agencies, such as fire department, law enforcement agencies and other disaster authorities of local government. 
(3) Plan for reception of nonparticipants dislocated by disaster and emergencies occurring outside the center. 
(c) Each employee shall be instructed in assigned duties. Instruction shall include employee and participant practice sessions. New employees shall be informed immediately of their disaster duties, as required in the plan. 
(d) The disaster plan shall be conspicuously posted in the center and kept up to date, and shall be subject to annual review by the appropriate fire safety and disaster authorities of local government.
§78425. Transportation Safety.

(a) An adult day health center which provides direct transportation services for participants shall meet specific operational standards. The motor vehicle shall: 
(1) Be operated only by drivers who have a current license from the California State Department of Motor Vehicles and who meet the provisions of Section 12804 of the California Vehicle Code. 
(2) Be equipped with safety devices to protect participants during transportation. 
(3) Be equipped to accommodate participants with physical disabilities and participants' special equipment. 
(4) Be maintained in a safe and reliable condition and shall meet the provisions of Section 233 of the California Vehicle Code. 
(b) The center shall develop policies regarding transportation safety and maintenance of vehicles.
§78427. Reports.

(a) Each licensee shall furnish to the Department such reports as the Department may require, including, but not limited to, the following: 
(1) Death, injury and unusual incidents shall be reported within 48 hours by telephone or telegraph shall be made to the Department and to the person or persons responsible for the participant concerning the death of any participant from any cause, any serious injury as determined by the attending physician and any unusual incident which threatens the welfare, safety or health of any participant, such as physical or psychological abuse of a participant by employees or other participants, or unexplained absence of any participant. The telephone or telegraph report shall be followed with a written report to the Department within seven days following any such event. This report shall include the name, age, sex and date of admission of the participant, date of event, nature of event, physician's findings and treatment, if any, name of attending physician and disposition of the case. 
(2) Unusual occurrences, such as epidemic outbreaks, poisonings, catastrophes or major accidents, which threaten the welfare, safety or health of participants, employees or visitors, shall be reported within 24 hours either by telephone or telegraph to the local health officer and the Department. 
(3) Fires or explosions which occur in or on the premises shall be reported immediately to the local fire authority, or in areas not having organized fire services, within 24 hours to the State Fire Marshal and the Department. 
(4) Statistical summary of services given on forms developed and provided by the Department. 
(5) Other reports as required by Department.
§78429. Employee Records.

(a) Each center shall maintain an employee record which shall be available for review by the Department or licensing agency. 
(b) Each employee record shall contain at least the following: 
(1) An employment application with: 
(A) Full name. 
(B) Social Security number. 
(C) Date of employment. 
(D) Date of birth. 
(E) Home address. 
(F) Educational background. 
(G) Previous employment experience, indicating dates employed. 
(2) A health record containing a report of the following: 
(A) Chest X-ray or purified protein derivative intermedicate strength test performed not more than 12 months prior to employment or within 7 days of employment. 
(B) Health examination signed by the examining physician or person lawfully authorized to perform such examination which indicates: 
1. Employee is physically qualified to perform duties. 
2. Employee is free from any condition that would create a hazard to self or others. 
(c) The center shall have a written policy providing for the health screening of volunteers, including screening for tuberculosis. 
(d) All records shall be retained for at least three years following termination of employment.
§78431. Participant Health Records.

(a) Each adult day health center shall maintain a standard health record for each participant which includes, but is not limited to: 
(1) Identifying information including: 
(A) Name, address, telephone number, birth date, Social Security and Medi-Cal numbers. 
(B) Directions between home and adult day health center. 
(C) Name, address and telephone number of personal physician; name, address and telephone number of responsible person. 
(2) Admission data including: 
(A) Referral source. 
(B) Reason for application as given by referral source, participant and family or others. 
(C) Number of days scheduled for attendance, method of transportation and fee. 
(3) Daily records of participant's attendance and services utilized, including transportation. 
(4) Records of: 
(A) Referrals to other providers. 
(B) Dates and substance of communication with the participant's physician, family members and other persons providing assistance. 
(5) Medication records. 
(6) Progress notes by providers of basic services. 
(7) Assessment of the participant by the multidisciplinary team. 
(8) Record of physician's health examination of participant. 
(9) Individual plan of care. 
(10) A written clearance by a physician for participants who have been absent for 30 days due to illness.
§78433. Confidentiality of Information.

Participant health records, including all information taken from such records, shall be confidential and protected from unauthorized disclosure. Information shall be released only on the written request of the participant or the participant's authorized representative.
§78435. Retention of Records.

(a) The adult day health center shall maintain and make readily available to authorized personnel of the Department for review and evaluation such records as the Director deems necessary. Such records shall include, but are not limited to, all physical records originated or prepared pursuant to the performance under the contract including working papers, reports, financial records, charts, all participant records, participant charts and other documentation pertaining to medical and nonmedical services for participants. Such health records shall be kept for a minimum of 7 years, except for minors whose health records shall be kept as least until 1 year after the minor has reached the age of 18 years, but in no case less than 7 years. 
(b) Upon request by the Department, the adult day health center shall furnish any such record, or copy thereof, to the Department. 
(c) Participants' health records shall be stored so as to be protected against loss, destruction or unauthorized use.
§78437. Participant Rights.
Note     •     History

(a) Each participant shall have rights which include, but are not limited to, the following: 
(1) To be fully informed by the multidisciplinary team of health and functional status unless medically contraindicated, as documented by a physician in the participant's health record. 
(2) To participate in development and implementation of the participant's individual plan of care. 
(3) To be fully informed regarding the services to be provided, including frequency of services and treatment objectives, as evidenced by the participant's written acknowledgement. 
(4) To be fully informed in writing prior to or at the time of admission and during participation, of the services available at the center and of related charges including any charges for services not covered under the Medi-Cal program or not covered by the center's basic per diem rate. 
(5) To be fully informed of rights and responsibilities as a participant and of all rules and regulations governing participant conduct and responsibilities. Information shall be provided prior to or at the time of admission or, in the case of participants already in the center, when the center adopts or amends participant rights policies. The receipt of this information shall be acknowledged by the participant or the participant's authorized representative in writing. 
(6) To treatment and rehabilitative services designed to promote the participant's functional ability to the optimal level and to encourage independence. 
(7) To have reasonable access to telephones, both to make and receive confidential calls, or to have such calls made for the participant, if necessary. 
(8) To be encouraged and assisted throughout the period of participation to exercise rights as a participant and civil and legal rights, and to this end to voice grievances and recommend changes in policies and services to center staff and to outside representatives of participant's choice, free from restraint, interference, coercion, discrimination or reprisal. 
(9) To have a fair hearing. 
(10) To end participation at the adult day health center at any time. 
(11) To refuse treatment and be informed of the consequences of such refusal. 
(12) To be discharged only for medical reasons, or for the participant's welfare or that of other participants or for nonpayment for his or her services and to be given reasonable advance notice to ensure orderly discharge. Such actions shall be documented in the participant's health record. 
(13) To be insured of the confidential treatment of all information contained in participant records, including information contained in an automated data bank. The participant's written consent shall be required for the release of information to persons not otherwise authorized under law to receive it. Persons representing the news media shall not be given any information that identifies or leads to the identification of the participant, including photographs, unless the participant has given written consent. A participant may provide written consent which limits the degree of information and the persons to whom information may be given. 
(14) To not be required to perform services for the facility that are not included for therapeutic purposes in the participant's individual plan of care. 
(15) To dignity, privacy and humane care, including privacy in treatment and in care for personal needs. 
(16) To be free from harm, including unnecessary physical restraint, or isolation, excessive medication, physical or mental abuse or neglect.
(17) To be free from discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status.
(18) To be free from hazardous procedures.
(b) Each adult day health center shall post in a prominent place in the center a list of participant rights in English and any other predominant language of the community.
(c) Participant rights shall be orally explained to each participant in a language understood by the participant.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1580, 1586.7, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsections (a)(5) and (a)(12), adopting subsection (a)(17), renumbering subsections and adopting subsection (a)(18)(a) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
2. Change without regulatory effect amending subsections (a), (a)(13) and (a)(18) filed 1-9-2013 pursuant to section 100, title 1, California Code of Regulations (Register 2013, No. 2).
§78439. Equipment and Supplies.
Note     •     History

(a) Medical equipment and supplies in each center shall be of the quality and in the quantity necessary for care of participants as ordered or indicated. These shall be provided and properly maintained at all times and shall include at least the following:
(1) Airways.
(2) Emergency oxygen supply and equipment for administration.
(3) Examination light.
(4) First aid and emergency equipment available as needed, as determined by the registered nurse and staff or attending physician.
(5) Flashlights.
(6) Medicine glasses, cups or other small containers which are accurately calibrated.
(7) Refrigerator with thermometer.
(8) Scales for weighing participants.
(9) Commode chairs, wheelchairs, walkers, canes and crutches.
(10) Soap for bathing.
(11) Sphygmomanometer.
(12) Sterile dressings.
(13) Stethoscopes.
(14) Syringes and needles.
(15) Test supplies necessary to perform urine sugar and acetone testing.
(16) Thermometers.
(17) Tongue depressors.
(18) Current drug reference which lists, for each drug administered in the center, indications for use, dosage range and side effects.
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 1580, Health and Safety Code.
HISTORY

1. Amendment filed 9-20-79; effective thirtieth day thereafter (Register 79, No. 38).
Article 5. Physical Plant
§78501. Physical Accommodations.

(a) Each center shall be designed, equipped and maintained to provide for a safe and healthful environment and shall meet the following requirements:
(1) Each center shall comply with state and local building requirements.
(2) Each center shall be maintained in conformity with the regulations adopted by the State Fire Marshal for the prevention of fire and for the protection of life and property against fire and panic.
(3) Each center shall have a working, listed telephone service on the premises unless otherwise approved by the Department.
(b) Alterations to existing buildings licensed as adult day health centers or new construction shall be in conformance with all applicable state and local building codes and regulations.
(c) Adult day health centers funded as of December 31, 1977 to provide adult day health care services pursuant to Section 14124.7 of the Welfare and Institutions Code and in operation prior to the effective date of construction regulations shall not be required to institute corrective alterations or construction to comply with such regulations except where specifically required or where the Department determines that a definite hazard to health and safety exists. Any adult day health center for which preliminary or working drawings and specifications have been approved by the Department prior to the effective date of construction regulations shall not be required to comply with such regulations provided substantial actual construction is commenced within one year after the effective date of such new construction regulations.
§78503. General Building Requirements.

(a) All adult day health centers shall be on the first floor.
(b) Heating and cooling equipment shall be maintained in normal operating condition to provide a comfortable temperature.
(c) Adequate natural or artificial lighting shall be provided to ensure the comfort and safety of each participant.
(d) Water supply and plumbing shall meet the following:
(1) Drinking water from a private source shall be approved by the local health department at least yearly. A copy of the most recent health department laboratory report shall be available for inspection by the Department.
(2) Plumbing and drainage facilities and required backflow preventers (vacuum breakers) shall be maintained in operating condition.
(3) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures used by participants to attain a hot water temperature not less than 40.5oC (105oF) and not more than 48.8oC (120oF).
(4) Taps not accessible to participants delivering water at 51.6oC (125oF) or above shall be prominently identified by warning signs in letters at least 5 centimeters (2 inches) high.
(e) Auxiliary lighting facilities, where appropriate, shall be readily available. Flashlights shall be in readiness for use at all times. Open-flame types of light shall not be used.
§78505. Space Requirements.

(a) Space shall be available to accommodate both indoor and outdoor activities and for storage of equipment and supplies.
(b) There shall be a multipurpose room large enough for all participants to get together for large group activities and meals.
(c) A secluded area shall be set aside for participants who require bed rest during the day. The secluded area shall have at least the following:
(1) Chaise lounges or beds in the number necessary to meet the needs of the participants and upon the written order of the staff or attending physician.
(2) Rubber or plastic sheeting.
(d) Double-deck beds shall not be permitted.
(e) Space around sleeping accommodations shall permit easy passage.
(f) Separate space shall be provided for isolation of a participant whose illness requires temporary separation from others.
(g) Appropriate office or other space shall be provided for administrative and admission activities, for a reception area and for a telephone, desk and file cabinets.
(h) General and specialized storage space shall be maintained to meet the needs of participants and for efficient operation of the center. Storage shall not be permitted in air distribution chambers of heating, air conditioning or ventilating systems.
(i) Space for outdoor activities shall be easily accessible to ambulatory and nonambulatory participants and shall be protected from traffic.
§78507. Maintenance and Housekeeping.

(a) Each center shall be clean, safe and in good repair at all times. Maintenance shall include provisions for cleaning and repair services which include, but are not limited to:
(1) Cleaning of hard surfaces, such as counters, tables, windows, walls and floors to keep them free from accumulation of dirt.
(2) Cleaning of soft surfaces, such as rugs, upholstered furnitures and drapes to keep them free from an accumulation of dirt, stains or odor.
(3) Maintenance of all interior and exterior surfaces.
(4) Maintenance of all buildings, fixtures and equipment in operable condition.
(5) Maintenance of toilet, handwashing and bathing facilities in operating condition and free of dirt.
(6) Maintenance of heating, air conditioning and ventilating systems in normal operating condition.
(7) Maintenance of all furnishings in good repair.
(8) Maintenance of grounds in a safe and attractive condition.
(b) Maintenance employees shall be employed to carry out preventive maintenance unless satisfactory evidence of a contract with a maintenance company is presented to the Department.
(c) Maintenance services provided by a maintenance company under contract shall comply with these regulations.
§78509. Safety.

(a) The licensee shall, by means of supervision, instruction and the installation of appropriate protective devices protect participants against hazards. Protection shall include but not be limited to:
(1) Fencing around pools and other hazardous areas.
(2) Nonslip material for use as rugs.
(3) Hand railings and adequate illumination of stairways, inclines, ramps and open porches.
(4) Sturdy and safe furniture.
(5) Passageways and stairways kept free of obstruction.
(6) Screened fireplaces and open-faced heaters.
(7) Provisions for the safety and guidance of participants with visual problems.
§78511. Supplies.

(a) Each center shall provide sufficient supplies for functional operation and for meeting the needs of the participants, including but not limited to:
(1) Soap for washing and bathing and toilet tissue.
(2) Supplies for maintenance of the center and for housekeeping.
(b) The center shall have a supply of clean linens of various kinds to meet the needs of participants.
(c) Office supplies necessary for efficient business management of the center shall be provided.
§78513. Solid Waste.

(a) Storage and disposal of solid waste shall meet the following requirements:
(1) Solid waste shall be stored, located and disposed of in a manner that will not permit the transmission of communicable disease or odors, create a nuisance, provide a breeding place or food source for insects, rodents or vermin.
(2) Syringes and needles, before being discarded into waste containers, shall be rendered unusable.
(b) Each waste container, except movable bins, used for storage of solid waste shall have tight-fitting covers in good repair and external handles, and shall be leakproof and rodent-proof.
(c) Movable bins when used for storing or transporting solid waste from the premises shall have tight-fitting covers in good repair and be rodent-proof unless stored in a room or screened enclosure.
(d) Solid waste containers, including movable bins, receiving putrescible waste shall be emptied at least once per week or more often if necessary. Such containers shall be maintained in a clean and sanitary condition.
(e) Each movable bin shall provide for suitable access and a drainage device to allow complete cleaning at the storage area.
Article 6. Violations
§78601. Inspection.

(a) Each adult day health center shall be inspected by the Department at least annually.
(b) Each adult day health center shall be subject to inspection at any time by the Department.
(c) Reports on results of each inspection shall be retained by the Department and open to public inspection.
(d) The Department shall make available to interested persons a list of all licensed adult day health centers including:
(1) Compliance with Department regulations.
(2) Conformity to participant and community needs.
(3) Compliance with fire and safety laws.
(e) The method of evaluation of quality of care shall be published and distributed to the public and adult day health centers.
§78603. Deficiencies in Compliance.

Upon inspection of a center, the Department shall notify the licensee in writing of all noncompliances with the provisions of the Adult Day Health Care Act and these regulations, and shall set a time for making corrections necessary for compliance.
§78605. Complaints.

(a) Any person may request an inspection of any adult day health center by submitting a written request and a statement of alleged violations.
(b) The licensee shall be notified of the substance of the complaint no earlier than the time of the inspection.
(c) Neither the name of the individual complainant nor other person mentioned in the complaint shall be disclosed by the Department, unless the complainant specifically requests the release of such name or names.
(d) A licensee shall not retaliate against any participant or employee who has initiated or participated in an inspection.
(e) The Department shall conduct an on-site inspection of the adult day health center within 10 days after receipt of a complaint.
§78607. Deficiencies.

(a) The Department may issue a deficiency to a center if:
(1) It fails to comply with any provisions of the Adult Day Health Care Act or of regulations issued pursuant to the Act, or
(2) It is repeatedly in noncompliance of regulations or the Adult Day Health Care Act even though the center may temporarily correct any noncompliance for a period of time.
(b) The deficiency shall:
(1) Be in writing.
(2) State what regulations or statutes have been violated.
(3) State the time allowed for correction if noncompliance still exists.
(4) State the amount of civil penalty to be levied, if any. If a civil penalty is to be assessed, a notice shall be served upon the licensee in a manner prescribed by subdivision (c) of Section 11505 of the Government Code.
(c) Each noncompliance may carry a civil penalty not to exceed $50 a day for duration of noncompliance beyond the date set for correction. If the violation is not corrected within such time, the penalty shall accrue from the date of receipt of the notice.
(1) If the violation continues beyond the date fixed for correction, the Department may initiate action against the licensee in accordance with the provisions of Article 7 (commencing with Section 1595) of Chapter 3.5 of Division 2 of the Health and Safety Code.
(d) The Department shall verify, by a follow-up visit, that noncompliances have been corrected.
(e) The Department may refer to appropriate prosecuting authorities, for a misdemeanor prosecution, the name of any person who negligently, repeatedly or willfully violates regulations of the Adult Day Health Care Act or these regulations.
§78609. Inspection Authority.

(a) Any duly authorized officer, employee or agent or representative of the Department may, upon proper identification:
(1) Enter and inspect any adult day health center at any time, with or without advance notice.
(2) Interview in private any participant receiving services or any employee.
(3) Examine all records relating to the operation of the center.
Chapter 11. Chemical Dependency Recovery Hospital Licensing Regulations
Article 1. Definitions
§79001. Accredited Record Technician.
Note     •     History

Accredited record technician means a person who is accredited as such by the American Medical Record Association.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Section 1276.1, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4). For history of Chapter 11, see Register 82, No. 45.
§79005. Authorized Representative.
Note     •     History

Authorized representative means a person authorized to act on behalf of the patient by law, by court order or by written statement which shall be signed by the patient, unless the patient has been declared judicially incompetent or gravely disabled. Except in state operated facilities, an authorized representative shall not be an owner, administrator, employee, representative or agent of the facility.
NOTE

Authority cited: Section 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.2, Health and Safety Code.
HISTORY

1. New Chapter 11 (Articles 1-6, Sections 79005-79401, not consecutive) filed 10-29-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 45).
§79007. Biological.
Note

Biological means a product, virus, serum, toxin, antitoxin or analogous product derived from living matter applicable to the prevention, treatment or cure of diseases or injuries in humans.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
§79008. CDRH.
Note     •     History

CDRH means Chemical Dependency Recovery Hospital.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3(a), Health and Safety Code.
HISTORY

1. Editorial correction adding new section filed 12-15-82 (Register 82, No. 51).
§79009. Chemical.
Note

Chemical or chemicals includes all drugs intended for use in the cure, mitigation, treatment or prevention of disease in persons as well as alcohol or other drugs introduced into the body for a specific effect other than cure, mitigation, treatment or prevention of disease.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.2, Health and Safety Code.
§79011. Chemical Dependency.
Note

Chemical dependency means a psychic state and sometimes also a physical state resulting from the interaction between a living organism and a chemical characterized by behavioral and other responses that always include compulsion to take the chemical on a continuous or periodic basis in order to experience its psychic effects and sometimes to avoid the discomfort of its absence. Tolerance may or may not be present. A person may be dependent on more than one chemical.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.2, Health and Safety Code.
§79013. Chemical Dependency Counselor.
Note

Chemical dependency counselor means a person with skills derived from education and/or life experiences which enables the person to provide patient, family and group counseling aimed at promoting recovery from chemical dependency.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250, 1250.2 and 1276.1, Health and Safety Code.
§79015. Conservator.
Note

Conservator means a person appointed by the court to take care of the person or the property, or both, of a person under Section 5350, et seq., of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
§79019. Department.
Note

Department means the California State Department of Health Services.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
§79021. Detoxification.
Note     •     History

(a) Detoxification means that process whereby the body rids itself of noxious or intoxicating chemicals. Detoxification services are those practices and/or procedures by which others manage or try to control the individual's withdrawal syndrome.
(b) Medical detoxification means the administration of any medication for the specific purpose of managing and/or preventing withdrawal syndrome.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79023. Dietitian.
Note

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

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250, 1250.3 and 1276.1, Health and Safety Code.
§79025. Director.
Note

Director means the Director of the California State Department of Health Services.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
§79029. Drug.
Note

Drug means a medication or a chemical introduced into the body for a specific effect.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
§79033. Family Therapy.
Note

Family therapy means individual counseling, group counseling, conjoint counseling or other appropriate activities provided for consenting family members and/or consenting significant others.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254.2 and 1275.2, Health and Safety Code.
§79035. Governing Body
Note

Governing body means the person, persons, board of trustees, directors or other body in whom the authority and responsibility is vested for conduct of the hospital.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Section 1250 and 1250.3, Health and Safety Code.
§79039. Individual Recovery Plan.
Note

Individual recovery plan means a written plan of intervention and action based on a comprehensive assessment of the patient's physical, mental and social needs. It identifies patient needs and goals. It sets time limited objectives which are measurable and observable. The individual recovery plan is reviewed and updated with the participation of both the interdisciplinary staff and the patient.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
§79041. Licensed Clinical Social Worker. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250, 1250.3 and 1276.1, Health and Safety Code.
HISTORY

1. Editorial correction renumbering and amending Section 79041 to Section 79073 filed 12-15-82 (Register 82, No. 51).
§79049. Life Experience.
Note

Life experience means involvement with and/or successful recovery from chemical dependency.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
§79051. Medication.
Note

Medication means any chemical compound, remedy or noninfectious biological substance, the action of which is not solely mechanical, which may be administered to patients by any route as an aid in the diagnosis, treatment or prevention of disease or other abnormal condition, for relief of pain or suffering, or to control or improve any mental, physiological or pathological condition. Products which contain medications but which are primarily used for cosmetic or other nonmedication proposes are not medications.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
§79053. Outpatient Services.
Note     •     History

Outpatient services means outreach programs, intervention, after care services, individual or group services and any other service provided for persons who are outpatients in the CDRH.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79055. Patient.
Note

(a) Patient means a person who is receiving observation, diagnosis, evaluation and/or recovery services.
(1) An inpatient means a person who has been admitted for observation, diagnosis, evaluation, treatment or recovery services and who is expected to remain 24 hours or longer.
(2) An outpatient means a person who has been registered or accepted for treatment but not admitted as an inpatient and who does not remain over 24 hours at any one time.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250, 1250.3 and 1276, Health and Safety Code.
§79057. Permanently Converted.
Note

Permanently converted means space which is not available for patient accommodation because the hospital has converted the patient accommodation space to some other use and such space can not be reconverted to patient accommodation within 72 hours.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250, 1250.3 and 1268, Health and Safety Code.
§79061. Pharmacist.
Note

Pharmacist means a person who is licensed as such by the California State Board of Pharmacy.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250, 1250.3 and 1276.1, Health and Safety Code.
§79063. Registered Domestic Partner.
Note     •     History

Registered domestic partner shall have the same meaning as defined in Family Code Sections 297 and 297.5.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting section filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§79070. Registered Records Administrator.
Note     •     History

Registered record administrator means a person who is registered as such by the American Medical Record Association.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code. Reference: Sections 1276 and 1276.1, Health and Safety Code.
HISTORY

1. New Section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
§79071. Significant Others.
Note

Significant others means those persons, identified by the patient or professional staff, as having positive or negative impact on the patient's life.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250 and 1250.3, Health and Safety Code.
§79073. Social Worker.
Note     •     History

Social Worker means a person licensed as a clinical social worker by the California State Board of Behavioral Science Examiners.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250, 1250.3 and 1276.1, Health and Safety Code.
HISTORY

1. Editorial correction renumbering former Section 79073 to Section 79075 and renumbering and amending Section 79041 to Section 79073 filed 12-15-82 (Register 82, No. 51).
§79075. Supervision.
Note     •     History

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

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250, 1250.3 and 1276.1, Health and Safety Code.
HISTORY

1. Editorial correction renumbering former Section 79073 to Section 79075 filed 12-15-82 (Register 82, No. 51).
§79077. Withdrawal Syndrome.
Note

Withdrawal syndrome means a specific set of signs and symptoms or specific medical disease caused by the cessation of or decrease in the level of the drug or drugs on which a patient is dependent.
(a) Major withdrawal syndrome is that syndrome described above which, as judged by a physician, is life threatening.
(b) Minor withdrawal syndrome is that syndrome described above which, as judged by a physician, is not life threatening.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code.
Article 2. Licensing and Inspection
§79101. Application Required.
Note

(a) A verified application for a new license shall be submitted to the Department whenever either of the following circumstances occur:
(1) Establishment of a hospital.
(2) Change of ownership.
(b) The licensee shall submit a verified application for a corrected license to the Department whenever any of the following occur:
(1) Construction of new or replacement hospital.
(2) Increase in licensed bed capacity.
(3) Change of license category.
(4) Change of name of hospital.
(5) Change of location of hospital.
(6) Change in bed classification.
(c) Notification by letter shall be sent to the Department when a decrease in licensed bed capacity occurs.
(d) All applicants for an initial or renewal license shall provide to the Department, as part of their application for licensure, a detailed written listing of those services to be offered or provided by the hospital. The detailed written listing shall include but not be limited to:
(1) Age range of patients for whom care will be provided.
(2) Classifications of chemical dependencies to be treated.
(3) Descriptions of each of the specific elements of the overall treatment program.
(4) All proposed modifications to existing approved treatment programs.
(e) No hospital shall implement an initial program nor modify the hospital's existing approved program prior to obtaining the written approval of the Department.
(f) Recognized authorities in the field of chemical dependency shall be utilized by the Department in the review of initial programs and modifications to approved programs.
(g) If the Department denies the initial program or any modification to the approved program the Department shall notify the applicant or licensee in writing specifying the reasons therefor.
(h) Within 20 days of receipt of the Department's notice, the licensee or applicant may present to the Department a written request for an informal hearing on the issue of whether the Department properly denied approval of the applicant's initial program or proposed modifications to the approved program. The informal hearing, by the Department, shall be held as soon as possible, but not later than 30 calendar days after receipt by the Department of the applicant or licensee's written request.
(i) A currently licensed general acute care hospital or a currently licensed acute psychiatric hospital shall meet all the requirements of these regulations in order to have a distinct part of such a hospital approved for chemical dependency recovery services.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1265, 1267 and 1269, Health and Safety Code.
§79105. Safety, Zoning, and Building Clearance.
Note     •     History

(a) A license shall not be issued to any chemical dependency recovery hospital which does not conform to the State Fire Marshal's requirement for fire and life safety, the state requirements for environmental impact, and local fire safety, zoning and building ordinances. Evidence of such compliances shall be presented in writing to the Department.
(b) It shall be the responsibility of the licensee to maintain the CDRH in a safe structural condition. If the Department determines that an evaluation of the structural condition of a hospital building is necessary, the licensee may be required to submit a report by a licensed structural engineer which shall establish a basis for eliminating or correcting the structural conditions which are found to be hazardous to occupants.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (b) filed 12-15-82 (Register 82, No. 51).
§79107. Issuance, Expiration and Renewal.
Note

Each license shall expire at midnight on the date of expiration.
NOTE

Authority cited: Sections 208(a), 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 442.10(c), 1250.2, 1267, 1268 and 1269, Health and Safety Code.
§79109. Separate License.
Note     •     History

(a) A separate license shall be required for each chemical dependency recovery hospital except for those specifically exempted by Section 1250.3(d) of the Health and Safety Code.
(b) A separate license shall not be required for an outpatient department of a CDRH regardless of whether the outpatient department is located on or off the premises of the CDRH.
(c) Separate licenses shall not be required for separate buildings on the same grounds or adjacent grounds of the chemical dependency recovery hospital provided that they operate as one chemical dependency recovery hospital.
NOTE

Authority cited: Sections 208(a), 1206(d), 1253, 1254, 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Section 1250.3, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79111. Posting of License and Consumer Information.
Note     •     History

(a) The license, or a true copy thereof, shall be posted in a prominent location within the licensed premises and accessible to public view.
(b) Any approval of the Department granted under program flexibility shall be posted beside the CDRH's license.
(c) Patient rights, as specified in Section 79313 shall be prominently posted in both English and the predominant language of the community if other than English and explained in a language or in a medium readily comprehensible by the patient.
(d) The following consumer information shall be posted in a prominent location accessible to public view:
(1) Name and date of employment of the current medical director and administrator of the CDRH.
(2) A listing of all services and special programs provided in the CDRH and those provided through written contracts.
(3) A notice that the CDRH's written admission and discharge policies are available upon request to the public from the administrator.
(4) Written notification that the most recent licensing visit report supported by the related follow-up plan of correction visit reports are available to the public upon request from the administrator.
(5) A notice of the name, address and telephone number of the district office of the Licensing and Certification Division, Department of Health Services, having licensing and certification jurisdiction over the CDRH.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1254, 1254.2, 1275.2 and 1280, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79113. Report of Changes.
Note

(a) The licensee shall notify the Department, within 10 days, in writing, of any of the following:
(1) Any change in medical director or administrator.
(2) Any change of the principal officers (President, Vice-President, Secretary, Treasurer of the Corporation).
(3) Any change of the mailing address of the licensee.
(b) The notification of the Department shall include the name and principal mailing or business address of the officer(s) or licensee.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1254 and 1254.2, Health and Safety Code.
§79115. Program Flexibility.
Note     •     History

(a) All CDRH's shall maintain continuous compliance with the licensing requirements except when the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects provide for continuous safe and adequate care and are with the prior written approval of the Department. Any approval shall provide for the terms and conditions under which the exception is granted. A written request plus supporting evidence shall be submitted by the applicant or licensee to the Department.
(b) Special exceptions may be granted under this section for a CDRH required to provide services and accommodations for persons who may have dangerous propensities necessitating special precautions, personnel with special qualifications, locked accommodations, special protection for windows, type and location of lighting and plumbing fixtures, signal systems, control switches, beds and other furnishings.
(c) Any approval of program flexibility shall be in writing and shall provide for the terms and conditions under which the program flexibility is granted. Any denial of the request shall be in writing and shall specify the reason for denial.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2 Health and Safety Code. Reference: Sections 1254 and 1254.2, Health and Safety Code.
HISTORY

1. Editorial correction of subsections (a) and (b) filed 12-15-82 (Register 82, No. 51).
§79117. Voluntary Suspension of License or Licensed Beds.
Note

(a) Any license, or portion thereof, which has been suspended for a period of time approved by the Department shall remain subject to all renewal requirements of an active license, including the payment of license renewal fees during the period of suspension.
(b) If the license is not reinstated during the period of approved suspension, the license shall expire automatically and shall not qualify for reinstatement; however, an application may be submitted for a new license.
NOTE

Authority cited: Sections 208(a), 1254.2, 1275 and 1275.2, Health and Safety Code. Reference: Sections 1265 and 1300, Health and Safety Code.
§79118. Conviction of Crime: Standards for Evaluating Rehabilitation.
Note     •     History

When considering the denial, suspension or revocation of a license based on the conviction of a crime in accordance with Section 1265.1 or 1294 of the Health and Safety Code, the following criteria shall be considered in evaluating rehabilitation:
(1) The nature and the seriousness of the crime(s) under consideration.
(2) Evidence of conduct subsequent to the crime which suggests responsible or irresponsible character.
(3) The time which has elapsed since commission of the crime(s) or conduct referred to in subdivision (1) or (2).
(4) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanction lawfully imposed against the applicant.
(5) Any rehabilitation evidence submitted by the applicant.
NOTE

Authority cited: Sections 208(a), 1265.2 and 1275, Health and Safety Code. Reference: Sections 1265.1, 1265.2 and 1294, Health and Safety Code.
HISTORY

1. New section filed 9-13-84; effective thirtieth day thereafter (Register 84, No. 37).
§79119. Bonds.
Note     •     History

(a) CDRHs which handle $25.00 or more per patient or $500.00 or more for all patients within any one month, shall post a bond in accordance with the following schedule: 

Amount Handled	Bond Required
$0-24 per patient or less than $500 for all patients
 within one month	 0
Over $24 per patient or $500 or over and up to $750 
 for all patients within one month	 $1,000
$751 to $1,500	 $2,000
$1,501 to $2,500	 $3,000
$2,500 and above	additional $1,000 bond
	for each $1,000 or
	fraction thereof of
	patients' funds handled
(b) Each application for an original license or renewal of license shall be accompanied by an affidavit on a form provided by the Department. The affidavit shall state whether the licensee handles or will handle money of patients and the maximum amount of money to be handled for any patient and for all patients in any month.
(c) No licensee shall handle amounts greater than those stated in the affidavit submitted by the licensee without first notifying the Department and filing a new or revised bond if required.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1254.2 and 1318, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (a) filed 12-15-82 (Register 82, No. 51).
Article 3. Basic Services
§79201. Basic Services.
Note     •     History

A CDRH shall provide all of the basic services specified in Section 1250.3, Health and Safety Code.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254.2 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79203. Patient Counseling.
Note

(a) Patient counseling shall consist of an interview or series of interviews conducted by the professional staff with the patient to alleviate or change personal or family situations, attitudes, beliefs, behaviors and communications which present a threat to the recovery or stability of the patient or the family.
(b) Patient counseling shall address the needs identified in the individual patient's recovery plan.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254.2 and 1275.2, Health and Safety Code.
§79205. Group Therapy.
Note

Group therapy shall consist of a session or series of sessions conducted by the professional staff and designed to promote the interaction of the individuals within the session for the purpose of alleviating or changing personal and/or family situations, attitudes and beliefs which present a threat to the recovery or stability of the patient or the family.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254.2 and 1275.2, Health and Safety Code.
§79207. Physical Conditioning.
Note

(a) Each patient's maximum level of participation in an organized program of physical activities designed to improve the patient's well being shall be defined in the patient's individual recovery plan and shall be based upon a medical history, physical examination, and medical clearance. Such medical histories, physical examinations, and medical clearances shall be performed by a person lawfully authorized by that person's respective practice act to perform such histories, examinations and clearances.
(b) In evaluating the patient's level of participation in a physical conditioning program, a physician shall consider information contained in the patient's individual recover plan.
(c) The physical conditioning program shall be supervised by designated staff.
(d) Physical conditioning programs shall have written policies and procedures. These policies and procedures shall be implemented, reviewed and revised as needed, and include goals and objectives.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254.2 and 1275.2, Health and Safety Code.
§79209. Family Therapy Participation.
Note     •     History

Participation or refusal to participate by family members or significant others shall be documented in the patient's health record.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254.2 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction of section heading filed 12-15-82 (Register 82, No. 51).
§79211. Outpatient Services.
Note     •     History

(a) Outpatient services shall be provided as outlined in the CDRH's written program submitted by the CDRH to the Department pursuant to Section 79101.
(b) Outpatient services shall include but not be limited to:
(1) Assessment
(2) Referral
(3) After Care
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254.2 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (a) filed 12-15-82 (Register 82, No. 51).
§79213. Dietetic Services.
Note     •     History

(a) The total daily diet for patients shall be of the quality and in the quantity necessary to meet the needs of the patients and shall meet the “Recommended Dietary Allowances,” 9th edition, 1980, or most current edition, adopted by the Food and Nutrition Board of the National Research Council of the National Academy of Science adjusted to the age, activity and environment of the group involved. All food shall be selected, stored, prepared and served in a safe and healthful manner. The following shall apply
(1) Arrangements shall be made so that each patient has available at least three meals per day. Exceptions may be allowed on weekends and holidays providing the total daily food needs are met. Not more than fifteen (15) hours shall elapse between the third and first meal.
(2) When a non-inpatient program exceeds four hours, nourishment or snacks shall be available.
(3) In facilities licensed for fifty (50) patients or more, a full-time employee qualified by formal training or experience shall be responsible for the operation of the food service. If this person is not a dietitian, provision shall be made for consultation from a person so qualified. Menus shall be made available for review by the patients served or their designated representatives and the Department upon request.
(4) If patients participate in food preparation and/or service to inpatients as part of their interdisciplinary recovery plan they shall comply with the same policies and procedures as those required of food service employees.
(5) Pesticides and other toxic substances shall not be stored in food storerooms, kitchen areas, or where kitchen equipment or utensils are stored, or accessible to patients.
(6) Supplies of staple foods for a minimum of one week and perishable foods for a minimum of two days shall be maintained on the premises.
(7) All kitchen equipment, fixed or mobile, and dishes, shall be kept clean and maintained in good repair and free of breaks, open seams, cracks or chips.
(8) All utensils used for eating and drinking and in the preparation of food and drink, shall be cleaned and sanitized after each usage.
(b) Provisions shall be made to provide patients with access to beverages and nourishments at times when the main dietary service is not in operation.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254.2 and 1275.2, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
§79215. Medication Management.
Note     •     History

(a) The CDRH shall, with the assistance of a pharmacist, develop policies and procedures governing the management of medications for patients. Policies and procedures shall be approved by the medical director and the governing body and shall be implemented by the CDRH staff.
(b) All drugs which the CDRH staff administers or the patient self-administers shall be upon the order of a person lawfully authorized by that person's respective practice act to give such an order and shall be with the approval of the medical director, or in the absence of the medical director, the alternate physician. There shall be self-administration by patients only when the order so specifies and upon the approval of the medical director or in the absence of the medical director, the alternate physician.
(c) Medications shall be administered as ordered.
(d) Medication shall not be kept at the patient's bedside.
(e) Medications, other than those for patients who have been approved for self-administration, shall be stored in an orderly fashion in lockable cabinets or drawers accessible only to staff personnel lawfully authorized to administer medication by their respective practice act.
(f) Medications for patients who have been approved for self-administration shall be stored separately from all other medications. They shall be stored in an orderly fashion in lockable cabinets or drawers accessible only to staff personnel lawfully authorized to administer medication by their respective practice act or by other professional staff members who have been so designated in writing by the medical director, or in the absence of the medical director, the alternate physician.
(g) Professional staff members may assist the patient in the self-administration of their own medications. Professional staff assistance in the self-administration of medication, by other than persons who are lawfully authorized by their respective practice act to administer medication, shall be limited to the following:
(1) Removing the container in which the patient's medications are stored from the lockable cabinet or drawer.
(2) Handing the container, in which the patient's medications are stored, to the patient.
(3) Observing the patient self-administer their medication.
(4) Immediately reporting to a registered nurse, licensed vocational nurse, physician or the medical director any unusual signs, symptoms or actions on the part of the patient that were observed.
(5) Retrieving the container in which the patient's medications are stored and returning the container to the lockable cabinet or drawer.
(6) As evidence that a medication has been self-administered, the professional staff member assisting the patient in the self-administration of the patient's medication shall record and sign, in the patient's health record, the date and time the patient was observed self-administering their medications.
(h) Prescription drugs shall remain in their original prescription container. Non-prescription drugs shall remain in the manufacturer's original container and shall be clearly labeled with the name of the patient.
(i) A pharmacist shall review the drug regimen of each inpatient, and current outpatient, at least quarterly. The review of the drug regimen of each patient shall include all drugs currently ordered, information concerning the patient's condition relating to drug therapy, medication administration records, and where appropriate, physician's progress notes, nurse's notes, and laboratory test results. The registered pharmacist shall be responsible for reporting, in writing, irregularities in the dispensing and administration of drugs and other matters relating to the review of the drug regimen to the medical director and the administrator.
(j) Drugs shall be stored at appropriate temperatures. Drugs required to be stored at room temperature shall be stored at a temperature between 15oC (59oF) and 30oC (86oF). Only drugs requiring refrigeration shall be stored in a refrigerator between 2oC (36oF) and 8oC (46oF). When drugs are stored in a refrigerator with food, the drugs shall be kept in a lockable container clearly labeled “DRUGS.”
(k) As evidence that a drug has been administered, the patient's health record shall contain the name and dosage of the drug administered to the patient, the time at which it was administered, and the name or initial of the person administering the drug.
(l) Orders for drugs shall include the name of the drug, quantity or duration of therapy, dosage and time of administration of the drug, the route of administration, if other than oral, the date, time and name of the prescriber. PRN orders shall include the indication for use of the drug.
(m) Verbal orders for drugs shall be given only to a physician, licensed nurse, licensed psychiatric technician, physician's assistant, or pharmacist by a person lawfully authorized to give such an order. The order shall be entered promptly in the patient health record, noting the name of the person giving the verbal order and the signature of the person receiving the order. The prescriber shall countersign the order within 48 hours.
(n) Drugs not specifically limited as to time or number of doses when ordered shall be controlled by automatic stop orders or other methods in accordance with written policies approved by the medical director.
(o) Drugs which have been discontinued or those which remain in the hospital after discharge of the patient shall be destroyed by the hospital in the following manner:
(1) Drugs listed in Schedules II, III, or IV of the Federal Control Substance Act (Title II, Public Law 91-513) shall be destroyed in the hospital in the presence of two pharmacists, or a pharmacist and a licensed nurse, at least one of whom is employed or retained by the hospital. The name of the patient, the name and strength of the drug, the prescription number, the amount destroyed, the date of destruction and the signatures of the witnesses required above shall be recorded in the patient's health record or in a separate log. Such log shall be retained by the hospital for at least three years.
(2) Drugs not listed under Schedules II, III, or IV of the Federal Control Substance Act (Title II, Public Law 91-513) shall be destroyed in the presence of a pharmacist or a registered nurse. The name of the patient, the name and strength of the drugs, the prescription number if applicable, the amount destroyed, the date of destruction and the signatures of two witnesses shall be recorded in the patient's health record or in a log. Such log shall be retained by the hospital for at least three years.
(p) Medications brought by or with the patient on admission to the hospital shall not be used unless the contents of the containers have been examined and positively identified by the patient's physician or the medical director or a pharmacist retained by the hospital.
NOTE

Authority cited: Sections 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
2. Editorial correction of subsections (a) and (b) filed 8-31-83; effective thirtieth day thereafter (Register 83, No. 36).
§79217. Interdisciplinary Treatment Team.
Note

(a) The interdisciplinary treatment team shall be composed of those persons who work directly with the patient in each of the disciplines or service areas that provide service to the patient, including the medical director, or in the absence of the medical director, the alternate physician, members of the professional staff, the patient's attending physician and any other persons whose participation is relevant to the treatment and care of the patient.
(b) The interdisciplinary treatment team shall be responsible for the development and implementation of the patient's individual recovery plan in consultation with the patient, members of the patient's family and/or significant others unless their participation has been determined to be inappropriate by the medical director, or in the absence of the medical director, the alternate physician.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254.2 and 1275.2, Health and Safety Code.
§79219. Individual Recovery Plan.
Note

(a) The individual recovery plan shall:
(1) Be developed in writing by the interdisciplinary treatment team and where possible in collaboration with the patient as soon as possible, but in no event longer than seven (7) days after admission. Therapeutic efforts may begin prior to completion of the plan.
(2) Be reviewed and updated as often as indicated, but no less often than every seven (7) days.
(3) Include goals that identify a continuum of recovery and observable, measurable objectives for each episode of hospitalization towards achieving those goals.
(4) Be consistent with patients' rights.
(5) Document the success or failure in achieving stated objectives. Evaluate the factors contributing to the patients progress or lack of progress towards recovery and state the interdisciplinary team decision for follow-up action.
(6) Assure that the responsibility for the recovery plan shall be assigned to a member of the interdisciplinary treatment team.
(7) Include referrals for needed services not provided directly by the hospital.
(b) The individual recovery plan shall be in writing and be approved by the medical director, or in the absence of the medical director, the alternate physician.
(c) The individual recovery plan shall be based on a comprehensive assessment of the patient's physical, mental and social needs. The recovery plan shall include goals for aftercare and a plan for post discharge follow-up. At the time of discharge, the patient will receive a copy of the aftercare plan.
(d) A specific plan for the involvement of the family or significant others shall be included in the recovery plan when indicated by the interdisciplinary treatment team and approved by the medical director, or in the absence of the medical director, the alternate physician.
(e) The staff shall observe and note any changes in physical, mental, emotional or social functioning of patients which indicate unmet needs and/or which might require a change in the existing level of service or need for specialized services, or possible discharge or transfer to another type of facility. The recovery plan shall be modified in response to the observed changes.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.2, 1254.2 and 1275.2, Health and Safety Code.
§79221. Staffing.
Note     •     History

(a) The CDRH shall have a medical director who is a physician and an alternate physician who shall provide for the coverage of the duties of the medical director in the medical director's absence. Both the medical director and the alternate physician shall be appointed by the governing body.
(b) When the medical director does not serve as the administrator, an administrator shall be appointed by the governing body.
(c) A physician shall be available at all times for provision of medical services to patients not requiring general acute care or acute psychiatric services. Patients requiring acute medical services shall be transferred to a general acute care hospital. Patients requiring acute psychiatric services shall be transferred to a general acute care hospital approved by the Department to provide acute psychiatric services or an acute psychiatric hospital.
(d) If the CDRH has been approved for medical detoxification services, patients requiring and receiving only that type of acute care need not be transferred, under subsection (c) above, to a general acute care or acute psychiatric hospital.
(e) At least one member of the professional staff, currently certified in cardiopulmonary resuscitation, and choking prevention techniques shall be on duty in the hospital at all times.

(f) Each CDRH shall meet the following applicable minimum professional staffing requirements at all times:
(1)	Minimum

	Licensed	Professional
	Capacity	Staff

	 1 to 25	1
	26 to 50	2
	51 to 75	3
	76 to 100	4
(2) The required minimum professional staff shall be awake and on duty in the CDRH at all times.
(3) Regardless of the minimum professional staffing required in (f)(1) above, the CDRH shall employ professional and other staff personnel in the number and with the qualifications to provide the necessary services for those patients admitted for care.
(4) In addition to minimum professional staffing requirements in (f)(1), during group therapy and/or counseling sessions, there shall be a minimum of one professional staff member to provide a ratio of one professional staff member to each ten patients in session.
(5) In addition to minimum professional staffing requirements in (f)(1), during family therapy and/or counseling sessions, there shall be a minimum of one professional staff member to provide a ratio of one professional staff member to each 20 persons in session.
(g) When volunteers are utilized, a professional staff member shall be assigned to select and evaluate volunteers and coordinate volunteer activities.
(h) Programs for staff development, related to the approved program plan, including orientation and inservice education programs, for administrative, program, and support personnel shall be provided.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254.2 and 1275.2, Health and Safety Code.
HISTORY

1. New subsection (f) filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
2. Editorial correction of subsections (a) and (d) filed 8-31-83; effective thirtieth day thereafter (Register 83, No. 36).
3. Editorial correction of subsection (f)(1) printing error (Register 86, No. 51).
Article 4. Optional Services
§79251. Optional Services.
Note

(a) In addition to the basic services as specified in Sections 79201 through 79221, a chemical dependency recovery hospital may be approved by the Department to provide one or more of the following optional services:
(1) Medical detoxification.
(2) Treatment programs for adolescents who have a chemical dependency.
(b) Any other services which are provided for the treatment of chemical dependency, but are not addressed in these regulations shall have the prior written approval of the Department.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
Article 5. Administration
§79301. Governing Body.
Note     •     History

(a) The governing body shall be responsible for:
(1) Defining and adopting in a written statement, the qualifications, authority, and duties of the medical director and the alternate physician who shall provide for the coverage of the duties of the medical director in the medical director's absence.
(2) Appointment of an administrator when the medical director does not also serve as the administrator.
(3) Defining and adopting, in a written statement, the qualifications, authority, and duties of the administrator.
(4) Granting the medical director direct access to the governing body conjointly with the administrator in all matters relating to the maintenance and improvement of patient care within the CDRH when the medical director does not also serve as the administrator.
(5) Notifying the Department, in writing, whenever a change of administrator or medical director occurs.
(6) Appointment and granting of clinical privileges to the medical staff.
(b) The governing body shall assure that all services, including care and treatment, provided to both the CDRH's inpatients and outpatients are adequate and safe at all times.
(c) The governing body shall adopt written bylaws in accordance with legal requirements and its community responsibility which shall include but not be limited to:
(1) Identification of the purposes of the CDRH and the means of fulfilling them, including organizational structure.
(2) Preparation and maintenance of a complete and accurate health record for each patient.
(3) Provision of appropriate physical resources and personnel required to meet the needs of the patients.
(4) Participation in planning to meet the health needs of the community.
(5) Conformance with all applicable federal, state, and local laws and regulations, including those relating to licensure, fire inspection, and other safety measures.
(6) Provisions for the control and use of the physical and financial resources of the CDRH.
(7) Performance of utilization reviews.
(8) Provisions for the availability of a physician for emergencies among the inpatient CDRH population when neither the medical director nor the alternate is available.
(9) Provisions to, at least annually, determine the personal current competency of the medical director, the alternate physician, and each member of the professional staff engaged in the care and/or treatment of persons who are chemically dependent.
(d) At least annually, a committee appointed by the governing body shall prepare a written evaluation of the services provided and shall submit written recommendations for the resolution of identified problems to the governing body.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction of subsections (a)-(c) filed 12-15-82 (Register 82, No. 51).
§79303. Medical Staff.
Note     •     History

(a) Each chemical dependency recovery hospital that has extended admission privileges to five or more physicians and/or clinical psychologists, shall have an organized medical staff responsible to the medical director and the governing body for the fitness, adequacy and quality of the medical care rendered to patients in the CDRH.
(b) For the purpose of these regulations, the medical staff shall be composed of physicians and may include clinical psychologists, dentists and podiatrists competent in their respective fields, worthy in character and in professional ethics. No CDRH shall discriminate with respect to employment, staff privileges or the provision of professional services against a medical staff member on the basis of whether the medical staff member holds a Doctor of Medicine, Doctor of Osteopathy, Doctor of Podiatric Medicine, Doctor of Dental Science or a Doctor of Psychology Degree.
(c) The medical staff, by vote of the members and with the approval of the governing body, shall adopt written bylaws which provide formal procedures for the evaluation of staff applications and credentials, appointments, reappointments, assignment of clinical privileges, appeals mechanisms and such other subjects or conditions which the medical staff and governing body deem appropriate.
(d) The medical staff shall meet regularly. Minutes of each meeting shall be retained and filed at the CDRH.
(e) The medical staff shall provide in its bylaws, rules and regulations for the functions to be performed by the following committees: executive, credentials, health records, utilization review, pharmacy and therapeutics. In those CDRH's where appropriate, the above functions may be performed by a committee of the whole or its equivalent. These committees shall make reports of their activities and recommendations to the governing body as frequently as necessary and at least quarterly.
(f) The medical staff shall provide in its bylaws, rules and regulations for appropriate practices and procedures to be observed in the CDRH. In this connection, the practice of division of fees, under any guise whatsoever, shall be prohibited and any such division of fees shall be cause for exclusion from the staff.
(g) The medical staff shall provide for availability of a physician for emergencies in the event that attending physicians or the medical director are not available.
(h) The medical staff shall participate in a continuing program of professional education. A comprehensive quality assurance program to evaluate clinical performance shall be used to determine continuing education needs.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1275.2, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. Editorial correction of subsections (a), (b), (d)-(f) filed 12-15-82 (Register 82, No. 51).
§79307. Residents, Interns and Students.
Note

(a) (Reserved)
(b) If patient care is provided by residents, interns or medical students, such care shall be in accordance with the provisions of a program approved by and in conformity with the Council on Education of the American Medical Association, the American Dental Association and/or the American Podiatry Association residency training programs of the respective specialty boards or the Education and Training Board of the American Psychological Association.
NOTE

Authority cited: Sections 208(a), 1275, 1275.2, 1315, 1316 and 1316.5, Health and Safety Code. Reference: Section 1275.2, Health and Safety Code.
§79309. Medical Director.
Note     •     History

(a) The medical director as well as the designated alternate shall be a physician with training and experience in the care and treatment of chemical dependencies.
(b) The medical director, or in the absence of the medical director, the alternate physician shall be responsible for:
(1) Final approval of patient screening and suitability for all services in the CDRH.
(2) Admission of all patients.
(3) Review of all drug therapy.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
§79311. Professional Staff.
Note     •     History

(a) Each CDRH shall have a professional staff responsible to the governing body for the fitness, adequacy, and quality of service rendered to patients.
(b) The professional staff shall be composed of personnel who, based on their education, life experience, training and/or licensure are qualified to render services to patients in the CDRH. The professional staff shall be limited to the following: physicians, clinical psychologists, psychological assistants, registered nurses, licensed vocational nurses, pharmacists, licensed psychiatric technicians, physician's assistants, chemical dependency counselors, clinical social workers, and licensed marriage, family and child counselors.
(c) All professional staff, prior to employment, shall be free of and have had the last two years free of any chemical dependency.
(d) A chemical dependency counselor shall meet the following prerequisites:
(1) Have successfully completed one academic year of preplanned and verified field experience in the area of care and treatment of chemically dependent persons; or
(2) Have successfully completed one full year of supervised experience in counseling and/or care and treatment of the chemically dependent person in a licensed facility or in a facility exempt from licensure which provided care and treatment to chemically dependent persons.
(e) In addition to subsection (c), a chemical dependency counselor shall meet all the criteria required by the CDRH's individual job description, including minimum education, training and/or experience.
(f) There shall be at least annual documentation in each individual professional staff member's personnel record of demonstrated current competency to perform any and all assigned duties as required by the governing body, job description, and the intent of the program.
(g) Periodic documentation of supervision by the medical director or the medical director's designee, who shall be a currently competent member of the professional staff, shall be entered into each professional staff member's personnel record when that professional staff member has failed to demonstrate current competency.
(h) Rules and regulations approved by the governing body, shall provide for appropriate practices and procedures to be observed by the staff.
NOTE

Authority cited: Sections 208(a), 1275, 1275.2 and 1276.1, Health and Safety Code. Reference: Section 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction of subsections (a), (b) and (e) filed 12-15-82 (Register 82, No. 51).
§79313. Patients' Rights.
Note     •     History

(a) The governing body shall adopt and implement a written policy on patients' rights.
(b) A list of these patients' rights shall be posted in English and in the predominant language of the community if other than English, in appropriate places within the CDRH so that such rights may be read by patients. This list shall include but not be limited to the patients' right to:
(1) Considerate and respectful care, including the right to wear appropriate clothing.
(2) Knowledge of the name of the physician who has overall responsibility for their care, the names and professional relationships of others who will be involved in their recovery program.
(3) Be free from discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status.
NOTE

Authority cited: Sections 1275, 1275.2 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; Sections 1250.3, 1275.2, 1279, 131050, 131051 and 131052, Health and Safety Code; and Sections 5325, 5325.1 and 5326, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
2. Change without regulatory effect adopting subsection (b)(3) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§79315. Restraints.
Note     •     History

(a) Physical restraints shall only be used as a measure to protect the patient from injury to self or others.
(b) Treatment restraints shall only be used during medically prescribed treatment or diagnostic procedures.
(c) Physical and treatment restraints shall only be used upon a written or verbal order of a licensed health care practitioner acting within the scope of his or her professional licensure. Telephone orders shall be received only by authorized professional staff, shall be recorded immediately in the patient's health record and shall be signed by the ordering licensed health care practitioner within five days.
(d) Restraints shall not be used as punishment or as a substitute for more effective programming or for the convenience of the staff.
(e) Orders for physical restraints shall be in force for not longer than 24 hours.
(f) There shall be no PRN orders (as needed orders) for physical or treatment restraints.
(g) Patients shall be restrained only in an area that is under direct observation of staff and shall be afforded protection from other patients who may be in the area.
(h) A patient placed in physical restraints shall be checked at least every 15 minutes by professional staff to assure that the restraint remains properly applied. A written record shall be kept of these checks and maintained in the individual patient's health record.
NOTE

Authority cited: Sections 1275, 100275 and 131200, Health and Safety Code. Reference: Sections 1250.3, 1254, 1254.2, 1275.2, 1276, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
2. Amendment of subsection (c) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§79317. Postural Supports.
Note

(a) Postural supports are devices, other than orthopedic braces, used to assist the patient in achieving proper body position and balance and shall include only the following:
(1) Soft ties.
(2) Seat belts.
(3) Spring release trays.
(4) Cloth vests.
(b) Postural supports are not considered to be restraints and shall only be used to improve the patient's mobility and independent functioning rather than to restrict the patient's movement.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, 1254, 1254.2 and 1275.2, Health and Safety Code.
§79319. Transfer Agreement.
Note     •     History

All CDRHs shall have current written transfer agreement(s) with one or more general acute care hospitals for the provision of acute medical services. Such written agreements shall be available for review by the Department.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79321. Use of Outside Resources.
Note     •     History

(a) If a CDRH does not employ qualified personnel to render a specific service to be provided by the CDRH, there shall be arrangements through a written agreement and/or contract with outside resources. Outside resources shall meet the standards and requirements of these regulations before an agreement and/or contract may be entered into and shall continue to meet these regulations during the term of the agreement and/or contract. Outside resources may include other facilities, organizations, individuals or public or private agencies.
(b) Signed and dated copies of agreements, contracts or written arrangements for advice, consultation, services, training or transportation, with outside resources shall be on file in the CDRH. These agreements and/or contracts shall be readily available for inspection and review by the Department. The agreements and/or contracts shall include, but not be limited to, a description of the services to be provided, the financial arrangements, the methods by which the services are to be provided, and the conditions upon which the agreement or contract can be terminated.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79325. Admission Policies.
Note     •     History

(a) The CDRH shall accept and retain only those patients for whom it can provide adequate care.
(b) Each person admitted shall be evaluated by a staff physician within 24 hours of admission.
(c) Each CDRH shall have and shall implement written admission and discharge policies which include but are not limited to the following:
(1) Types of clinical diagnoses for which patients may be admitted.
(2) Charges for care and extra services.
(3) Terminations of services.
(4) Advance deposits and refund schedules.
(5) Services available in the CDRH.
(d) CDRH's shall make available, upon request of a patient, a schedule of CDRH charges.
(e) The CDRH shall not detain an adult patient against the will of that adult or the legal guardian or conservator of that adult patient. This provision shall not be construed to preclude or prohibit attempts to persuade patients to remain in the CDRH in their own interest.
(f) A minor shall not be detained in the CDRH against the will of the minor's parent, legal guardian, or conservator. In those cases where law permits minors to contract for or consent to medical care without the consent of their parent, guardian, or conservator, the minor shall not be detained in the CDRH against the minor's will. This provision shall not be construed to preclude or prohibit attempts to persuade patients to remain in the CDRH in their own interest, nor to prohibit minors legally capable of contracting for or consenting to medical care from assuming responsibility for their discharge.
(g) No CDRH shall surrender the physical custody of a minor under 16 years of age to any person unless such surrender is authorized in writing by the minor's parent or the person having legal custody of the minor. This provision shall not be construed to preclude minors legally capable of contracting for or consenting to treatment from assuming responsibility for themselves upon discharge.
(h) A CDRH shall transfer or discharge a patient to another health facility only when:
(1) Prior arrangements have been made for admission of the patient to that other health facility, and
(2) The person legally responsible for the patient has been notified, or unsuccessful attempts have been made over a 24 hour period to reach the responsible person except that:
(3) In an emergency, requirements included in (1) and (2) may be suspended.
(i) A person with a communicable disease that is required to be reported by Title 17, California Administrative Code, Section 2500, shall not be admitted as a patient.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1275.2 and 1283, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79327. Personnel Policies.
Note     •     History

(a) Each CDRH shall adopt, implement and make available to all personnel, written personnel policies including qualifications and responsibilities for each classification of personnel. Such policies shall include but not be limited to:
(1) A plan for orientation of all personnel to the policies, procedures, and objectives of the CDRH and for on-the-job training where necessary.
(2) A plan for at least an annual evaluation of employee performance.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3, and 1275.2, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
§79329. Communication.
Note     •     History

If language or communication barriers exist between CDRH staff and patients, arrangements shall be made for interpreters or for the use of other mechanisms to insure adequate communication between patients and personnel.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79331. Employee Health Examinations and Health Records.
Note     •     History

(a) CDRH personnel who have direct or indirect contact with patients shall be free from symptoms indicating the presence of infectious diseases.
(b) A health examination performed by a person lawfully authorized to perform such an examination shall be required as a prerequisite for employment and shall be performed within one week after employment. The written health examination report shall be signed by the person performing the examination and shall verify that the employee is able to perform assigned duties and is free from symptoms indicating the presence of infectious disease. Repeat health examinations shall be performed whenever necessary to ascertain that employees continue to be free from symptoms indicating the presence of infectious disease and are able to perform their assigned duties. Upon initial examination, and at least annually, the employee shall have a skin test for tuberculosis using purified protein derivatives, intermediate strength or a chest x-ray. Positive reaction to the skin test shall be followed by a 35.56 cm x 43.38 cm(14” x 17”) chest x-ray.
(c) Employee health records shall be maintained by the CDRH and shall include the records of all required health examinations. Such records shall be kept a minimum of three years following termination of employment.
(d) Employees known to have or evidencing symptoms of infectious disease shall be removed from contact with patients.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction of subsections (a) and (b) filed 12-15-82 (Register 82, No. 51).
§79333. Employee Personnel Records.
Note     •     History

Each CDRH shall maintain personnel records for all employees. Such records shall be retained for at least three years following termination of employment. The record shall include the employee's full name, Social Security number, license or registration number, if any, brief resume of experience, employment classification, date of beginning employment and date of termination of employment. Records of hours and dates worked by all employees during at least the most recent six-month period shall be kept on file at the place of employment.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79337. Records and Reports.
Note     •     History

(a) Each CDRH shall maintain copies of the following documents on file in the administrative offices of the CDRH:
(1) Articles of incorporation or partnership agreement.
(2) Bylaws or rules and regulations of the governing body.
(3) Rules and regulations pertaining to all staff including medical, professional and other staff.
(4) Minutes of the meetings of the governing body and the medical staff and the professional staff.
(5) Reports of inspections by local, state and federal agents.
(6) All contracts, leases and other agreements required by these regulations.
(7) Patient admission log.
(8) Reports of unusual occurrences.
(9) Personnel records.
(b) The above records and reports shall be made available for inspection by duly authorized officers, employees or agents of the Department.
NOTE

Authority cited: Sections 208(a) and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (a) filed 12-15-82 (Register 82,No. 51).
§79339. Unusual Occurrences.
Note     •     History

(a) Events constituting an unusual occurrence shall include but not be limited to:
(1) An epidemic outbreak of any disease, prevalence of communicable disease, whether or not such communicable disease is required to be reported by Title 17, California Administrative Code, Section 2500, or infestation by parasites or vectors.
(2) Poisonings.
(3) Fires.
(4) Physical injury to any person which, consistent with good medical and professional practice, would require attention by a physician.
(5) Death of a patient, employee or visitor because of unnatural causes.
(6) Sexual acts involving patients who are minors, non-consenting adults or persons incapable of consent.
(7) Physical assaults on patients, employees or visitors.
(8) All suspected criminal acts against patients, employees or visitors.
(9) All suspected instances of patient abuse.
(10) Actual or threatened walkout, or other curtailment of services or interruption of essential services provided by the CDRH.
(b) Unusual occurrences shall be reported by the CDRH within 24 hours, either by telephone with written confirmation, or by telegraph, to the local health officer and the Department.
(c) An unusual occurrence report shall be retained on file by the CDRH for three years.
(d) The CDRH shall furnish other pertinent information related to such occurrences as the local health officer or the Department shall require.
(e) Every fire or explosion, which occurs in or on the premises shall be reported immediately to the local fire authority, or in the areas not having an organized fire service, to the State Fire Marshall.
(f) All suspected criminal acts by or against patients, employees or visitors shall be reported to the local police authority and the Department within 36 hours.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.1, Health and Safety Code. Reference: Section 1276, Health and Safety Code.
HISTORY

1. Editorial correction of subsections (a)-(d) filed 12-15-82 (Register 82, No. 51).
§79341. Fire and Internal Disasters.
Note     •     History

(a) A written fire and internal disaster program, incorporating evacuation procedures, shall be developed with the assistance of fire, safety and other appropriate experts and shall be implemented. A copy of the program shall be available on the premises for review by the Department.
(b) The written program shall include at least the following:
(1) Plans for the assignment of personnel to specific tasks and responsibilities.
(2) Instructions relating to the use of alarm systems and signals.
(3) Information concerning methods of fire containment.
(4) Systems for notification of appropriate persons.
(5) Information concerning the location of fire fighting equipment.
(6) Specification of evacuation routes and procedures.
(7) Other provisions as the local situation dictates.
(c) Fire and internal disaster drills shall be held at least quarterly for each shift of CDRH personnel and under varied conditions. The actual evacuation of patients to safe areas during a drill is optional.
(d) The evacuation plan shall be posted throughout the CDRH and shall include at least the following:
(1) Evacuation routes.
(2) Location of fire alarm boxes.
(3) Location of fire extinguishers.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (c) filed 12-15-82 (Register 82, No. 51).
§79345. Disruption of Services.
Note     •     History

(a) Each CDRH shall develop a written plan to be implemented when a discontinuance or disruption of services occurs.
(b) The administrator shall be responsible for informing the Department, via telephone, telegraph or emergency radio network, immediately upon being notified of the intent of the discontinuance or disruption of services or upon the threat of a walkout of a substantial number of employees, or upon occurrence of earthquake, fire, power outage or other calamity that causes damage to the CDRH or threatens the safety or welfare of patients.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79347. Patient Health Records Service.
Note     •     History

(a) The CDRH shall maintain a patient health record service which shall be conveniently located and adequate in size and equipped to facilitate the accurate processing, checking, indexing and filing of all patient health records.
(b) The patient health record service shall be organized to provide a system of health record maintenance that protects the confidentiality of patient health information in conformance with all federal and state laws and regulations.
(c) There shall be adequate staff to perform the functions of the service. If a qualified accredited record technician or a registered record administrator is not responsible for the supervision of the service, such a professional shall be employed as a consultant to develop policy and procedures for the service that are in conformity with accepted principles of professional record keeping practice and current state and federal laws and regulations regarding the confidentiality of health information.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction of subsections (a) and (c) filed 12-15-82 (Register 82, No. 51).
§79349. Patient Health Record Content.
Note     •     History

(a) Each inpatient health record shall consist of at least the following items:
(1) Identification sheets which shall include but are not limited to the following:
(A) Name.
(B) Address on admission.
(C) Identification number.
(D) Social Security Number.
(E) Medicare identification number, if applicable.
(F) Medi-Cal identification number, if applicable.
(G) Date of birth.
(H) Sex.
(I) Marital status.
(J) Religion.
(K) Date of admission.
(L) Date of discharge.
(M) Name, address and telephone number of person or agency responsible for patient.
(N) Name of patient's attending physician.
(O) Initial diagnostic impression.
(2) History and physical examination.
(3) Consultation reports, if applicable.
(4) Physician's order sheet including medication and diet orders.
(5) Progress notes which shall include but not be limited to pertinent observations of the patient by the staff responsible for the implementation of the recovery plan.
(6) Records which shall include but not be limited to pertinent observations of the patient by staff responsible for the care of the patient.
(7) Name, dosage and time of administration of medications and treatment. Route of administration and site of injection shall also be recorded if other than by oral administration.
(8) Signed consent forms including refusal of medication and treatment and authorization for release of information, if requested.
(9) The medical director, or in the medical director's absence, the designated alternate, shall ensure that the responsible attending physician shall complete a discharge summary which shall include:
(A) All final diagnoses, including complications of care, stated in standard medical terminology without abbreviations;
(B) All procedures performed;
(C) A brief recapitulation of the significant findings and events of the patient's hospitalization;
(D) A critical evaluation of the patient's progress in attaining the goals of their individual recovery plan;
(E) Condition on discharge;
(F) Instructions and arrangements for aftercare;
(G) Discharge medications, if any.
(10) A copy of the transfer information shall be retained in the health record.
(11) Upon discharge, the individual recovery plan shall be retained in the patient's health record.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (a)(5) filed 12-15-82 (Register 82, No. 51).
§79351. Patient Health Record Availability.
Note     •     History

(a) Accurate and complete records shall be maintained on all patients admitted or accepted for treatment. All required records, either originals or accurate reproductions of the contents of such originals, shall be maintained in such form as to be legible and readily available upon the request of:
(1) The attending licensed healthcare practitioner acting within the scope of his or her professional licensure;
(2) Any authorized employee, agent or officer of the hospital;
(3) Authorized representatives of the Department; or
(4) Any other person authorized by law to make such a request.
(b) The patient health record is the property of the CDRH and is maintained for the benefit of the patient, the attending physician, the staff and the CDRH. The CDRH shall safeguard the information in the record against loss, defacement, tampering or use by unauthorized persons.
(c) Patient health records or reproductions thereof shall be preserved safely for a minimum of seven (7) years following discharge of the patient, except that the records of minors shall be kept at least one (1) year after such minor has reached the age of 18 years and, in all cases not less than seven (7) years.
(d) If a CDRH ceases operation, the Department shall be informed within 48 hours of the arrangements made for safe preservation of patient health records as above required.
(e) If ownership of a CDRH changes, both the previous licensee and the new licensee shall, prior to the change of ownership, provide the Department with written documentation that:
(1) The new licensee will have custody of the patients' health records upon transfer of the CDRH and the health records are available to both the new and former licensee and other authorized persons; or
(2) Arrangements have been made for the safe preservation of patients' health records, and that the health records are available as required in (1) above.
(f) Patient health records shall be filed in an easily accessible manner in the CDRH or in a Department-approved health record storage facility off the CDRH premises.
(g) Patient health records shall be completed promptly and authenticated or signed by the attending physician or psychologist within two weeks following the patient's discharge. Patient health records may be authenticated by a signature stamp or computer key, in lieu of the attending physician's or psychologist's signature, only when that physician has placed a signed statement in the CDRH administrative offices to the effect that he/she is the only person who:
(1) Has possession of the stamp or key.
(2) Will use the stamp or key.
(h) Patient health records shall be indexed according to patient, diagnosis and physician.
(i) A unit health record system shall be established and implemented with inpatient, outpatient and emergency room records combined.
NOTE

Authority cited: Sections 1275, 1275.2, 100275 and 131200, Health and Safety Code. Reference: Sections 1250.3, 1260.3, 1275.2, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
2. Amendment of subsection (a)(1) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§79353. Patients' Monies and Valuables.
Note     •     History

(a) No licensee shall use patients' monies or valuables as its own or mingle them with its own. Patients' monies and valuables shall be separate, intact and free from any liability the licensee incurs in the use of its own or the institution's funds and valuables.
(b) Each licensee shall maintain accurate records of patients' monies and valuables entrusted to its care. Such records shall include but not be limited to:
(1) A control account for all receipts and expenditures kept current with columns for debits, credits and balances.
(2) An account for each patient with supporting vouchers filed in chronological order and kept current with columns for debits, credits and balances.
(c) Records of patients' monies and other valuables entrusted to the licensee for safe keeping shall include a copy of the receipt furnished to the patient or to the person responsible for the patient.
(d) Patients' monies entrusted to the CDRH shall be kept in a fireproof safe on the premises of the CDRH or deposited in a demand trust account in a local bank authorized to do business in California and whose deposits are insured by the Federal Deposit Insurance Corporation. A county CDRH may deposit such funds with the county treasurer.
(e) Upon discharge of the patient, all refunds due and all money and valuables of that patient which have been entrusted to the licensee shall be surrendered to the patient in exchange for a signed receipt. Money and valuables kept within the CDRH must be surrendered upon demand and those kept in a demand trust account or with the county treasurer must be made available within three normal banking days.
(f) Upon change of ownership of a CDRH, a written verification by a public accountant of all patients' monies which are being transferred to the custody of the new owners shall be obtained by the new owner in exchange for a signed receipt.
NOTE

Authority cited: Sections 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79357. Professional Literature.
Note     •     History

Each CDRH shall maintain a library consistent with the needs of the CDRH staff.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-15-82 (Register 82, No. 51).
§79359. Medical Photography.
Note     •     History

The CDRH shall have an approved written and implemented policy which requires obtaining the patient's written consent prior to the patient being photographed.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
§79361. Space Conversion.
Note     •     History

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

Authority cite: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction renumbering Article 6 (Section 79401) to Article 5 (Section 79361) filed 12-24-82 (Register 83, No. 4).
§79363. Hand Washing.
Note     •     History

All personnel shall wash their hands before and after coming in direct contact with any linen or food.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
§79365. General Maintenance.
Note     •     History

(a) The CDRH shall be clean, sanitary and in good repair at all times.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
§79367. Housekeeping.
Note     •     History

(a) There shall be sufficient supplies and equipment available for housekeeping to include but not be limited to:
(1) Cleaning supplies and equipment which shall be stored in rooms for housekeeping use only.
(2) A commercial grade detergent germicide which when required shall be used for all cleaning.
(3) Mop heads which shall be removable and washed when needed.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
§79369. Maintenance Manual.
Note     •     History

(a) A written manual on maintenance of heating, air conditioning and ventilation systems shall be adopted and implemented by each CDRH, or
(b) A record of maintenance shall be maintained.
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. New section filed 12-24-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
Article 6. Physical Plant [Renumbered]
NOTE

Authority cited: Sections 208(a), 1275 and 1275.2, Health and Safety Code. Reference: Sections 1250.3 and 1275.2, Health and Safety Code.
HISTORY

1. Editorial correction renumbering Article 6 (Section 79401) to Article 5 (Section 79361) filed 12-24-82 (Register 83, No. 4).
Chapter 12. Correctional Treatment Centers
Article 1. Definitions
§79501. Accredited Record Technician.
Note     •     History

Accredited record technician means a person who is accredited or eligible for accreditation by the American Medical Records Association.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New chapter 12, article 1 and section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79503. Audiologist.
Note     •     History

Audiologist means a person licensed as an audiologist by the Medical Board of California.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79507. Biological.
Note     •     History

Biological means a product, virus, serum, toxin, antitoxin, or analogous product derived from living matter applicable to prevention, treatment or cure of disease or injury in humans.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79509. Clinical Psychologist.
Note     •     History

Clinical psychologist means a person licensed as a psychologist by the Board of Psychology and (1) who possesses an earned doctorate degree in psychology from an educational institution meeting the criteria for subdivision (c) of Section 2914 of the Business and Professions Code and (2) has not less than two years clinical experience in a multidisciplinary facility licensed or operated by this or another State or by the United States to provide health care, or (3) is currently listed in the National Register of Health Service Providers in Psychology, as adopted by the council for the National Register of Health Service Providers in Psychology.  On the effective date of this regulation, a licensed psychologist employed in a correctional setting providing inpatient mental health care for at least two years shall be deemed to meet the requirements of the regulation.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j), 1254 and 1316.5(c), Health and Safety Code; and Sections 2902 and 2903, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79511. Clinical Restraint.
Note     •     History

Clinical restraint means the use of a physical restraining device, during a period of mental health treatment, as a measure to protect the inmate-patient from injury to self or others when alternative methods are not sufficient.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79513. Clinical Seclusion.
Note     •     History

Clinical seclusion means the isolation during the period of mental health treatment of an inmate-patient in a separate, locked area, including a padded room, for the purpose of preventing injury to self or others. 
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79515. Communicable Disease.
Note     •     History

Communicable disease means an illness due to a specific disease producing agent (virus, bacteria, etc.) or its toxic products which arises through transmission of that agent, or its products, from an infected person, animal, or other reservoir to a susceptible host--either directly as from an infected person or animal, or indirectly through the agency of an intermediate plant or animal host, vector or the inanimate environment.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79516. Correctional Treatment Center.
Note     •     History

A correctional treatment center is a health facility with a specified number of beds within a state prison, county jail or California Youth Authority facility designated to provide health care to that portion of the inmate population who do not require general acute care level of services but are in need of professionally supervised health care beyond that normally provided in the community on an outpatient basis.  Outpatient housing is not under the jurisdiction of this Chapter.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79517. Decubitus Ulcer.
Note     •     History

(a) A decubitus ulcer is a lesion of the skin, which is caused by pressure.
(b) The stages of decubitus ulcers are described as follows:
(1) Stage I--Not a decubitus ulcer of itself but, rather, the precursor phase of a decubitus ulcer which is characterized by redness of the skin which is not relieved by local circulatory stimulation and/or relief of pressure.
(2) Stage II--Superficial circulatory and tissue damage which involves abrasion or skin break.
(3) Stage III--Full thickness loss of skin which may or may not include the second level and which produces drainage.
(4) Stage IV--Full thickness loss of skin with invasion of deeper tissues and/or structures such as connective tissue, muscle or bone.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79519. Dentist.
Note     •     History

Dentist means a person licensed as such by the Board of Dental Examiners of California, pursuant to Business and Professions Code Section 1600 et seq.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; and Section 1600, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79521. Department.
Note     •     History

Department means the State Department of Health Services or its delegatee, pursuant to Section 1257, Health and Safety Code.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j), 1254 and 1257, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79523. Dietitian.
Note     •     History

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

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79525. Director.
Note     •     History

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

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79527. Drug Administration.
Note     •     History

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

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79529. Drug Dispensing.
Note     •     History

Drug dispensing means the interpretation of an order for a drug or biological and, pursuant to that order, the proper selection, measuring, packaging, labeling, and issuance of the drug or biological for a patient or for a service unit of the correctional treatment center.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79531. Governing Body.
Note     •     History

Governing body means the person, persons, board of trustees, directors, or other body in whom the authority and responsibility is vested for conduct of the correctional treatment center.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79533. Infectious Disease.
Note     •     History

Infectious disease means any disease caused by the growth of pathogenic microorganisms in the body.  It may or may not be contagious.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79534. Informed Consent.
Note     •     History

Informed consent means the voluntary agreement of an inmate-patient or a representative, in accordance with state law, of an incapacitated inmate-patient to accept a treatment or procedure after receiving material information concerning the treatment or procedure.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; and Cobb v. Grant (1972) 8 Cal.3d. 229.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79535. Inmate.
Note     •     History

Inmate, as used in the correctional treatment center regulations, means a detainee or offender who is under sentence to, or confined in, a prison, jail, or other correctional institution operated by the Department of Corrections, the Department of the Youth Authority, a county, city, or city and county law enforcement agency.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79537. Inmate-Patient.
Note     •     History

Inmate-patient means an inmate who is receiving care and supervision in a correctional treatment center.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79539. Licensed Clinical Social Worker.
Note     •     History

Licensed clinical social worker means a person who possesses a master's degree from an accredited school of social work and two years of post master's experience in a mental health setting, and possesses a license as a clinical social worker from the Board of Behavioral Science Examiners, pursuant to Business and Professions Code Section 4996, et seq.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; and Section 4996, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79541. Licensed Vocational Nurse.
Note     •     History

Licensed vocational nurse means a person licensed as such by the Board of Vocational Nurse and Psychiatric Technician Examiners, pursuant to Business and Professions Code Section 2840, et seq.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; and Section 2840, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79543. Licensed Marriage, Family, and Child Counselor.
Note     •     History

Licensed marriage, family and child counselor means a person who possesses a master's degree from a school meeting the requirements of Sections 4980.37, 4980.40 and 4980.41 of the Business and Professions Code and 3000 hours of supervised experience in a mental health setting, who possesses a license as a marriage, family and child counselor by the Board of Behavioral Science Examiners, pursuant to Business and Professions Code Section 4980, et seq.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; Section 5751.3, Welfare and Institutions Code; and Sections 4980, 4980.37, 4980.40 and 4980.41, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79547. Mental Health Worker.
Note     •     History

Mental health worker means a person who does not necessarily qualify as a mental health professional, but who, through experience, in-service training, or formal education, is qualified to participate in the care of the psychiatric patient.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79549. Nursing Unit.
Note     •     History

Nursing unit means a designated inmate-patient care area of a correctional treatment center which is planned, organized, operated and maintained to function as a unit.  It includes patients' rooms with adequate support accommodations, services and personnel providing nursing care and necessary management of inmate-patients.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79551. Occupational Therapist.
Note     •     History

Occupational therapist means a person who is certified or eligible for certification as an occupational therapist registered by the American Occupational Therapy Association.  The occupational therapist shall be a graduate of a curriculum in occupational therapy approved by the Council on Education of the American Medical Association in collaboration with the American Occupational Therapy Association.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79553. On-Call.
Note     •     History

On-call means immediately available for consultation by telephone and available to be in the facility within sixty minutes if requested to do so.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79555. Outpatient Housing Unit.
Note     •     History

An outpatient housing unit means a housing unit of a city, county or city and county law enforcement facility established to retain inmates who require special housing for security or protection. Typically, these are inmates whose health condition would not normally warrant admission to a licensed heath care facility and for whom housing in the general population may place them at personal or security risk.  Outpatient housing unit residents may receive outpatient health services and assistance with the activities of daily living.  Outpatient housing unit beds are not licensed correctional treatment center beds.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79557. Pharmacist.
Note     •     History

Pharmacist means a person licensed as such by the California State Board of Pharmacy pursuant to the Business and Professions Code Sections 4000 et seq.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79559. Physical Therapist.
Note     •     History

(a) Physical therapist means a person licensed as such by the Medical Board of California.
(b) Physical therapist assistant means a person who is approved as such the Physical Therapy Examining Committee of the Medical Board of California.
(c) Physical therapist aide means a person who, under the direct supervision of a licensed physical therapist, assists with physical therapy care.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79561. Physician.
Note     •     History

(a) Physician means a person licensed as a physician and surgeon by the Medical Board of California or by the Osteopathic Medical Board.
(b) Attending physician means the physician responsible for the medical treatment of the patient in the correctional treatment center.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79563. Podiatrist.
Note     •     History

Podiatrist means a person licensed as such by the Board of Podiatric Medicine of the Medical Board of California pursuant to Business and Professions Code Sections 2460 et seq.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; and Sections 2460 through 2499.6 (inclusive), Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79564. Psychiatric Mental Health Nurse.
Note     •     History

Psychiatric mental health nurse means a registered nurse who possesses a Master's Degree in Psychiatric Mental Health Nursing and at least two years of experience in providing psychiatric mental health counseling services under the supervision of a psychiatric mental health nurse, a licensed clinical psychologist, a licensed clinical social worker, a licensed marriage, family and child counselor, or a psychiatrist.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79565. Psychiatric Technician.
Note     •     History

Psychiatric technician means a person who is licensed as a psychiatric technician by the Board of Vocational Nurse and Psychiatric Technician Examiners pursuant to Business and Professions Code Sections 4500 et seq.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; and Section 4500, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79567. Psychiatrist.
Note     •     History

Psychiatrist means a person who is a licensed physician and surgeon in the State of California except as allowed under Section 2072 of the Business and Professions Code and who is certified by the American Board of Psychiatry and Neurology or the American Osteopathic Board of Neurology and Psychiatry or has completed a residency program in psychiatry approved by the American Medical Association or the American Osteopathic Association.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; and Section 2072, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79569. Recreation Therapist.
Note     •     History

Recreation therapist means a person with specialization in therapeutic recreation and who is registered or eligible for registration as such by the Board of Park and Recreation Personnel or the National Therapeutic Recreation Society.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79570. Registered Domestic Partner.
Note     •     History

Registered domestic partner shall have the same meaning as defined in Family Code Sections 297 and 297.5.
NOTE

Authority cited: Sections 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; and Sections 1276, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting section filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§79571. Registered Nurse.
Note     •     History

Registered nurse means a person licensed as such by the Board of Registered Nursing pursuant to Business and Professions Code Sections 2700 through 2837, inclusive.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; and Sections 2700 through 2837, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79573. Registered Record Administrator.
Note     •     History

Registered record administrator means a person who is registered or eligible for registration as such by the American Medical Record Association.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79575. Supervision.
Note     •     History

(a) Supervision means the instruction of employees or subordinates in the manner of carrying out their duties and overseeing or directing their work.
(b) Direct supervision means that the supervisor is in the same building as the person being supervised and available for consultation and/or assistance.
(c) Immediate supervision means that the supervisor is physically present while a task is being performed by the employee or subordinate.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79577. Treatment Restraint.
Note     •     History

Treatment restraint means the use of a restraining device during medically prescribed treatment or diagnostic procedures including, but not limited to, intravenous therapy, tube feeding or catheterization.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79579. Unit Health Records.
Note     •     History

Unit health records means a patient's health record that includes all records of care and treatment rendered to an inmate-patient.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
Article 2. Licensing and Inspection
§79581. Application Required.
Note     •     History

(a) An application shall be submitted to the Department for a license to operate a correctional treatment center.
(b) The licensee shall submit an application for a corrected license to the Department when any of the following occur:
(1) Construction of a new or replacement correctional treatment center.
(2) Increase or decrease in licensed bed capacity.
(3) Change of license category.
(4) Change of name of correctional institution or detention facility within whose administration the correctional treatment center is established and licensed.
(5) Change of location of correctional treatment center.
(6) Change in bed classification.
(c) All applicants for an initial or renewal license shall provide to the Department, as part of the application, a detailed written list of the services to be offered or provided by the correctional treatment center.  In the case of application for renewal license, the list shall include all proposed modifications to existing approved treatment services.
(d) If the Department denies the initial application for a license or a renewal of a license, the Department shall notify the applicant in writing, specifying the reasons for the denial.
(e) Within twenty (20) days of receipt of the Department's notice of denial, the licensee or applicant may present to the Department a written request for an informal hearing to decide the issue of whether or not the Department properly denied the applicant's initial or renewal application. The informal hearing shall be held by the Department as soon as possible, but not later than thirty (30) calendar days after the Department's receipt of the applicant's or licensee's written request.  The licensee or applicant may request a formal administrative adjudication pursuant to Health and Safety Code Section 1269. 
(f) The provisions of this article do not apply to any facility in which the services provided consist only of emergency stabilization pending transfer to another licensed health facility, or limited health care services that would normally be provided in the home under the care of a physician.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New article 2 and section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79583. Safety, Zoning, and Building Clearance.
Note     •     History

(a) A license shall not be issued to any correctional treatment center that does not conform to the State Fire Marshal's requirements for fire and life safety, California Code of Regulations, Title 19, Division 1, commencing with Section 1.03 and the California Code of Regulations, Title 24, Parts 2, 3, 4, 5, 9 and 12, and local fire safety, zoning and building ordinances.  Evidence of compliance with these requirements shall be presented to the Department in writing.
(b) It shall be the responsibility of the licensee to maintain the correctional treatment center in a safe structural condition.  If the Department determines that an evaluation of the structural condition of a correctional treatment center is necessary, the licensee may be required to submit a report, prepared by a licensed structural engineer, establishing a basis for eliminating or correcting the structural conditions which are found to be hazardous to occupants.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79585. Issuance, Expiration, and Renewal.
Note     •     History

(a) Each license shall expire at 11:59 p.m. on the date of expiration.
(b) Each initial license issued pursuant to this chapter shall expire twelve (12) months from the date of its issuance and shall expire on the expiration date of the license.  Application for renewal of a license or special permit fee shall be filed with the Department not less than thirty (30) days prior to the expiration date.  Failure to make a timely renewal shall result in expiration of the license or special permit.
(c) A renewal license may be issued for a period not to exceed two years if the holder of the license or special permit has been found in substantial compliance with all statutory requirements, regulations or standards during the preceding license period.
NOTE

Authority cited: Sections 208(a), 1267 and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j), 1254 and 1267, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79587. Separate LIcense.
Note     •     History

(a) Separate licenses shall be required for each correctional treatment center except for the California Medical Facility, the California Men's Colony, and the California Institution for Men, which are exempted by Section 1250(j)(5) of the Health and Safety Code.
(b) Separate licenses shall not be required for separate buildings on the grounds of the correctional treatment center, provided that they operate as one correctional treatment center.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79589. Posting of License and Patient Information.
Note     •     History

(a) The license, or a true copy thereof, shall be posted in a prominent location within the licensed premises and be accessible to view.
(b) Any approval of program flexibility, granted and written by the Department, shall be available for inspection within the correctional treatment center.
(c) The following information shall be available within the correctional treatment center.
(1) The name of the current administrator of the facility.
(2) The most recent licensing survey report and the facility's plans of correction, and if applicable, any subsequent licensing visit reports.
(3) The name, address, and telephone number of the district office of Licensing and Certification, State Department of Health Services, having jurisdiction over the facility.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79591. Report of Changes.
Note     •     History

The licensee shall notify the Department within ten (10) days, in writing, of any of the following:
(a) Any change of clinical director, nursing director, or administrator of the correctional treatment center.
(b) Any change in the mailing address of the licensee.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79593. Program Flexibility.
Note     •     History

(a) All correctional treatment centers shall maintain compliance with the licensing requirements.  These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects, provided such exceptions are carried out with the provisions for safe and adequate care and with the prior written approval of the Department.  Such approval shall provide for the terms and conditions under which the exception is granted.  A written request and substantiating evidence supporting the request shall be submitted by the applicant or licensee to the Department.
(b) Any approval of the Department granted under this Section, or a true copy thereof, shall be posted immediately adjacent to the facility's license.
NOTE

Authority cited: Sections 208(a) and 1275, Health and Safety Code.  Reference: Section 1276, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79595. Suspension and Revocation.
Note     •     History

The Department may suspend or revoke any license issued under the provisions of this Chapter upon any of the following grounds:
(a) Violation by the licensee of any of the rules and regulations promulgated under this Chapter of the California Code of Regulations, Title 22.
(b) Aiding, abetting, or permitting the violation of any of the rules and regulations promulgated under this Chapter.
(c) Conduct inimical to the public health, morals, welfare or safety of the people of the State of California in the maintenance and operation of the premises or services for which a license is issued.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j), 1254, 1265.2 and 1294, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
Article 3. Required Services
§79597. Required Services.
Note     •     History

(a) Correctional treatment centers shall provide, but not be limited to, the following required services:
(1) Physician.
(2) Psychiatrist.
(3) Psychologist.
(4) Nursing.
(5) Pharmaceutical Services.
(6) Dental.
(7) Dietary.
(b) Correctional treatment centers shall maintain written service agreements with general acute care hospitals to provide for those inmate physical health needs that cannot be met by the correctional treatment center.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New article 3 and section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79599. Physician Services.
Note     •     History

Physician services are services provided by licensed physicians responsible for the care of individual inmate-patients in the correctional treatment center.  All inmates admitted to or accepted for medical care by the correctional treatment center shall be under the care of a physician.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79601. Physician Services--General Requirements.
Note     •     History

(a) Physician services shall include, but not be limited to:
(1) Inmate-patient evaluation, including an admission history and physical within 24 hours for immediate care planning. A complete written history and physical examination shall be in the record within 72 hours unless done within 5 days prior to admission.
(2) Reevaluation of the inmate-patient's condition, including the review and updating of orders for care at least every thirty (30) days, upon change of attending physician and upon transfer.
(3) Inmate-patient diagnosis.
(4) Advice, treatment and the determination of appropriate level of care needed for each inmate-patient.
(5) Written and signed orders for diet, care, diagnostic tests and treatment of inmate-patients by others.
(6) Health record progress notes at least every three days or more often as the inmate-patient's condition requires.  A progress note will be documented on each visit by the attending physician.
(7) Provision for alternative physician coverage in the event the attending physician is not available.
(8) Provision for nonphysician practitioners to be permitted to render those medical services that they are legally authorized to perform.  There shall be written policies addressing the granting of clinical privileges and the role of nonphysician providers. Nonphysician practitioner includes, but is not limited to the following:
(A) Physician's assistants who work under the responsibility and supervision of a physician approved as a supervisor by the Medical Board of California and perform only those selected diagnostic and therapeutic tasks identified in the California Code of Regulations, Title 16, Division 13.8, Section 1399.541.
(B) Nurse practitioners who have been certified as a nurse practitioner by the Board of Registered Nursing.
(C) Other registered nurses may perform medical services utilizing “Standardized Procedures” developed pursuant to Section 2725(d), Business and Professions Code, and approved by the medical director of the correctional treatment center.
(D) Certified nurse anesthetists who have completed an accredited program for the education of nurse anesthetists and have received certification as a nurse anesthetist from the Board of Registered Nursing.
(E) Certified nurse midwives who have been certified by the Board of Registered Nursing.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; and Sections 2725, 2834 and 3502, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79603. Physician Services--Policies and Procedures.
Note     •     History

(a) Written policies and procedures shall be maintained and implemented by the correctional treatment center and shall include, but not be limited to:
(1) A description of the types and scope of physician services that the correctional treatment center will provide.
(2) Policies relating to inmate-patient care and the types of inmate-patients who may be admitted for care.
(3) Policies for the follow-up care of inmate-patients treated in the correctional treatment center.
(4) Referral of inmate-patients to other agencies or health care facilities.
(5) Provision for handling emergencies and unusual occurrences.
(6) Medical record requirements, including the frequency of documentation and time periods for completion.
(7) Information pertinent to the orientation of new physicians.
(b) Inmate-patient care policy and procedure manuals and other necessary reference materials shall be readily available for review by individual physicians.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79605. Physician Service Staff.
Note     •     History

A physician shall have overall responsibility for the physician service. The medical director may serve as the responsible physician.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79607. Physician Service Space.
Note     •     History

Sufficient space shall be maintained to meet the needs of the service and shall include at least:
(a) Physical examination and treatment room.
(b) Office space.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79609. Psychiatrist/Psychologist Service.
Note     •     History

(a) Psychiatrist/psychologist services means consultative services to inmate-patients of a correctional treatment center including diagnostic psychological assessment and treatment.  Primary services may also be provided to inmates not requiring admission to a licensed bed.
(b) Inmate-patients requiring 24-hour treatment for a mental disorder shall be admitted to a correctional treatment center only if the facility meets the requirements for a mental health treatment program or has policies, procedures and sufficient staff to handle the emergency, pending transfer to a licensed psychiatric facility.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79611. Psychiatrist/Psychologist Service General Requirements.
Note     •     History

(a) There shall be a sufficient number of psychiatrists and psychologists on the staff to meet the needs of the patients.
(b) A psychiatrist or psychologist shall be responsible for examining, diagnosing, classifying and prescribing treatment for patients.  The psychiatrist or psychologist shall also record progress notes, review and update treatment orders and make other appropriate entries in the patient record.
(c) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration.  Policies and procedures shall be approved by the administration and medical director.  These shall include, but not be limited to:
(1) Description of the type and scope of services to be provided.
(2) Policies relating to patient care.
(3) Planning for follow-up care of patients treated.
(4) Arrangements for referral to other agencies or health facilities.
(5) Documentation requirements for each evaluation and treatment encounter.
(d) Medical examination shall be performed by a physician as often as indicated by the medical needs of the inmate-patient.
(e) The responsibility and accountability of the psychiatrist/psychologist service to the medical staff, administration and governing body shall be defined.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79613. Psychiatrist/Psychologist Service Staff.
Note     •     History

(a) A clinical director shall have overall responsibility for the psychiatrist/psychologist service.
(b) The clinical director responsible for the service, acting alone or through an organized staff, shall have the following responsibilities:
(1) Establishing, reviewing and maintaining policies and procedures for the psychiatrist/psychologist service.  Policies and procedures shall include, but not be limited to, policies related to patient care, type and scope of services available, follow-up care and consultation and referral.  These shall be reviewed at least annually.
(2) Assuring the quality of psychiatrist/psychologist services provided to inmate-patients in the correctional treatment center.
(3) Reviewing credentials and specifying clinical privileges for psychiatrist/psychologist staff, including other mental health professionals.
(c) Psychiatric and psychological postgraduate trainees, interns, residents, postdoctoral fellows or instructors may provide psychiatric and psychological services under the provisions of Sections 2065 and 2911 of the Business and Professions Code.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; and Sections 2065 and 2911, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79615. Psychiatrist/Psychologist Service Space.
Note     •     History

(a) There shall be sufficient space for conducting the service, including:
(1) Suitable space for interviewing.
(2) Office space.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79625. Nursing Service.
Note     •     History

Nursing service means a service organized, staffed and equipped to provide skilled nursing care to inmate-patients on a continuous basis.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79627. Nursing Service General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the director of nursing in consultation with other appropriate health professionals and administration.  Policies and procedures shall be approved by the administration and medical director when required by governing body bylaws.
(b) Nursing service shall include, but not be limited to, the following:
(1) Planning of patient care, which shall include at least the following:
(A) Identification of care needs based upon an initial written and continuing assessment of the patient's needs with input, as necessary, from health professionals involved in the care of the patient.  Initial assessments shall commence at the time of admission of the patient and be completed within seven days after admission.
(B) Development of an individual, written patient care plan which specifies the care to be given, the objectives to be accomplished, and the professional discipline responsible for each element of care.  Objectives shall be measurable and time-limited.  Each inmate-patient's care shall be based on this plan.
(C) Reviewing, evaluating and updating of the patient care plan, as necessary, by the nursing staff and other professional personnel involved in the care of the patient, at least monthly, and more often as the patient's condition warrants.
(2) Notifying the attending physician or the attending clinician promptly of:
(A) The admission of a patient.
(B) Any sudden and/or marked adverse change in signs, symptoms or behavior exhibited by a patient.
(C) An unusual occurrence involving a patient.
(D) Any untoward response or reaction by a patient to a medication or treatment.
(E) Any error in the administration of a medication or treatment to a patient.
(F) The facility's inability to obtain or administer, on a prompt and timely basis, drugs, equipment, supplies or services as prescribed when this presents a risk to the health, safety, or security of the patient.
(G) The inmate-patient's refusal to accept a prescribed medication, treatment, or diagnostic procedure.
(c) All attempts to notify physicians or the attending clinician shall be noted in the patient's health record including the time and method of communication and the name of the person acknowledging contact, if any.
(d) Licensed nursing personnel shall verify that patients are served the diets as prescribed.
(e) Nursing staff shall maintain timely and accurate patient record documentation including:
(1) Signed, dated, nursing notes reflecting implementation of the patient care plan, the patient's response to care, and changes in patients' symptoms or behavior.
(2) A record of all medications and treatments administered.
(3) A record of all personal patient care including dietary intake and patient activity.
(4) A record of patient vital signs, weight and other appropriate measurements.
(5) An admission patient assessment and discharge summary.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79629. Nursing Service--Director of Nursing Service.
Note     •     History

(a) The director of nursing service shall be a registered nurse and shall be employed eight hours a day, on the day shift, five days a week, except when supervision and training are required during other shifts.
(b) The director of nursing service shall have at least one year of experience in nursing supervision within the last five years.
(c) The director of nursing service shall have, in writing, administrative authority, responsibility, and accountability for the nursing services within the correctional treatment center and shall serve only one correctional treatment center in this capacity at any one time, except as provided in (d).
(d) The director of nursing service may be responsible for more than one facility if the facilities are in the same geographic region, are operated by the same governing body, and a designated registered nurse is available on-site to perform the function of the director of nursing service.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79631. Nursing Service--Staff.
Note     •     History

(a) Nursing service personnel shall be employed and on duty in at least the number and with the qualifications to provide the necessary nursing services for patients admitted to the correctional treatment center for care.
(b) Licensed correctional treatment centers shall have at least one registered nurse, awake and on duty in the facility at all times, day and night.
(c) Facilities licensed for fifteen (15) or more beds shall have at least one registered nurse, awake and on duty, in the facility at all times, day and night, in addition to a director of nursing service.  The director of nursing service shall not have charge nurse responsibilities in facilities of more than 15 beds.
(d) Nursing stations shall be staffed with nursing personnel when patients are housed in the nursing unit.
(e) Each facility shall employ licensed and certified nursing staff sufficient to provide 2.5 nursing hours per patient day.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79633. Nursing Service--Staff Development.
Note     •     History

(a) Each correctional treatment center shall have an ongoing educational program, planned and conducted for the development and improvement of necessary skills and knowledge, for all facility personnel.  Each program shall include, but not be limited to:
(1) Orientation to the facility, specific duties, and pertinent policies and procedures.
(2) In-service training including at least an annual review of:
(A) Care of acutely or chronically ill or disabled patients.
(B) Prevention and control of infections.
(C) Emergency care, including cardiac arrest and choking.
(b) Intravenous fluid administration certification or training shall be required for all licensed nursing staff administering intravenous fluids.
(c) All nursing staff shall attend at least six hours of nursing in-service training annually.
(d) Records shall be maintained for each staff orientation and in-service training including name and title of presenter, date, description of content and signatures of those attending.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79635. Nursing Service--Administration of Medications and Treatments.
Note     •     History

(a) Medications and treatments shall be administered as follows:
(1) No medication or treatment shall be administered except on the order of a person lawfully authorized to give such an order.
(2) Medications and treatments shall be administered as prescribed.
(3) Tests and measurement of vital signs, upon which administration of medications or treatments are conditioned, shall be performed as required and the results recorded.
(4) Preparation of doses for more than one scheduled administration time shall not be permitted.
(5) All medications and treatments shall be administered only by licensed medical or licensed nursing personnel with the following exceptions:
(6) Unlicensed employees may, under the direct supervision of licensed nursing or licensed medical personnel, during training or after completion of training and demonstrated evidence of competence, administer the following:
(A) Medical shampoos and baths.
(B) Laxative suppositories and laxative enemas.
(C) Nonlegend topical ointments, creams, lotions, and solutions.
(7) Medications shall be administered as soon as possible, but no more than two hours after doses are prepared, and shall be administered by the same person who prepares the doses for administration.  Doses shall be administered within one hour of the prescribed time unless otherwise indicated by the prescriber.
(8) Patients shall be identified by wristband or other established means of identification prior to administration of a drug or treatment.
(9) Drugs may be administered in the absence of a specific duration of therapy on a licensed prescriber's new drug order if the facility implements its stop order policy for such drugs.  The prescriber shall be contacted prior to discontinuing therapy as established by stop order policy.
(b) No medication shall be used for any patient other than the patient for whom it was prescribed.
(c) The time and dose of the drug or treatment administered to the patient shall be recorded in the patient's individual medication record by the person who administers the drug or treatment.  Recording shall include the date, the time, and the dosage, and route of administration or injection site of the medication or type of the treatment.  Initials may be used, provided that the signature of the person administering the medication or treatment is also recorded on the medication or treatment record.
(d) Oxygen equipment shall be maintained as follows:
(1) Humidifier bottles on oxygen equipment shall be changed and sterilized or replaced at least every 24 hours or, if a closed system, in accordance with the manufacturer's directions.
(2) Only sterile distilled, demineralized or deionized water shall be used in humidifier bottles.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79637. Nursing Service--Patient Care.
Note     •     History

(a) No patient shall be admitted or accepted for care by a correctional treatment center except on the order of a licensed healthcare practitioner acting within the scope of his or her professional licensure.
(b) Each patient shall be treated as an individual with dignity and respect, and shall not be subjected to verbal or physical abuse of any kind from employees or independent contractors of the licensee.
(c) Each patient, upon admission, shall be given orientation to the unit, emergency call system, patients' rights and rules of behavior.
(d) Each patient shall be provided care which shows evidence of good personal hygiene, except where staff safety may be compromised, including care of the skin, shampooing and grooming of hair, oral hygiene, shaving or beard trimming (except where contraindicated due to criminal identification purposes), cleaning and cutting of fingernails and toenails.  The patient shall be kept free of offensive odors.
(e) Patients, when indicated, shall be given care to prevent formation and progression of decubiti, contractures, and deformities.  Such care shall include:
(1) Changing position of bedfast and chairfast patients with preventive skin care in accordance with the needs of the patient.
(2) Encouraging, assisting and training in self-care and activities of daily living.
(3) Maintaining proper body alignment and joint movement to prevent contractures and deformities.
(4) Using pressure-reducing devices where indicated.
(5) Providing care to maintain clean, dry skin free from feces and urine.
(6) Changing of linens and other items in contact with the patient, as necessary, to maintain a clean, dry skin free from feces and urine.
(7) Carrying out of physician's orders for treatment of decubitus ulcers.  The facility shall notify the physician when a decubitus ulcer first occurs, as well as when treatment is not effective, and shall document such notification.
(f) Each inmate-patient who requires help in eating shall be provided with assistance when served, and shall be provided with training or adaptive equipment in accordance with identified needs, based upon patient assessment, to encourage independence in eating.
(g) Each inmate-patient shall be provided with good nutrition and with necessary fluids for hydration.
(h) Fluid intake and output shall be recorded for each inmate-patient as follows:
(1) If ordered by the licensed healthcare practitioner acting within the scope of his or her professional licensure.
(2) For each inmate-patient with an indwelling catheter or receiving intravenous or tube feedings.
(i) The weight and length of each inmate-patient shall be taken and recorded in the inmate-patient's health record upon admission.  The weight shall be taken and recorded once a month thereafter.
(j) Each inmate-patient shall be provided visual privacy during medical treatments and personal care, unless contraindicated due to security considerations.
(k) Inmate-patient call signals shall be answered promptly.
(l) The following shall be easily accessible at each nurse's station:
(1) The correctional treatment center's infection control policies and procedures.
(2) Names, addresses and telephone numbers of local health officers.
(3) The correctional treatment center's current diet manual.
(4) The correctional treatment center's current drug formulary.
(5) The correctional treatment center's current nursing policy and procedure manual.
NOTE

Authority cited: Sections 1267.10(a), 100275 and 131200, Health and Safety Code. Reference: Sections 1250(j), 1254, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).    
2. Amendment of subsections (a), (e)(6) and (h)(1)-(2) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§79639. Nursing Service--Patients with Infectious Diseases.
Note     •     History

(a) Patients with infectious diseases shall not be admitted to, or cared for, in the facility unless the following requirements are met:
(1) A patient suspected of, or diagnosed as having an airborne infectious or reportable communicable disease, or being in a carrier state, who the attending medical staff determines is a potential danger, shall be accommodated in a room, vented to the outside if airborne, and provided with a separate toilet, hand washing facility, soap dispenser and individual towels.
(2) There shall be:
(A) Separate provisions for handling contaminated linens.
(B) Separate provisions for handling contaminated dishes.
(C) Separate provisions for handling any object, article, substance or material capable of transmission of a communicable disease.
(b) The correctional treatment center shall adopt and implement written infection control policies and procedures.  These policies and procedures shall be reviewed at least annually and revised as necessary.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code; and Sections 2500, 2502, 2503 and 2504, Title 17, California Code of Regulations.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79641. Nursing Service--Cleaning, Disinfecting, and Sterilizing.
Note     •     History

(a) Each correctional treatment center shall adopt a written manual on cleaning, disinfecting and sterilizing procedures.  The manual shall include procedures to be used in the care of utensils, instruments, solutions, dressings, articles and surfaces and shall be available for use by facility personnel.  All procedures shall be carried out in accordance with the manual.
(b) Each facility shall make provisions for the cleaning and disinfecting of contaminated articles and surfaces which cannot be sterilized.
(c) Bedside equipment including, but not limited to washbasins, emesis basins, bedpans and urinals shall be sanitized only by one of the following methods:
(1) Submersion in boiling waster for a minimum of 30 minutes.
(2) Autoclaving at 15 pounds pressure and 1210C (2500F) for 20 minutes.
(3) Gas sterilization.
(d) Chemicals shall not be used as a substitute for the methods specified in (c) above.
(e) Electronic thermometers shall be cleaned and disinfected according to the manufacturer's instructions.  Glass thermometers shall be cleaned and disinfected for at least 10 minutes with 70 percent ethyl alcohol or 90 percent isopropyl alcohol with 0.2 percent iodine.  Oral and rectal thermometers shall be stored separately in clean labeled containers with fitted lids.
(f) Individual patient care supply items designed and identified by the manufacturer to be disposable shall not be reused.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79643. Nursing Service--Space.
Note     •     History

(a) An office or other suitable space shall be provided for the director of nursing service.
(b) A nursing station shall be maintained in each nursing unit.
(c) Each nursing station shall have a cabinet, a desk, space for records, a bulletin board, a telephone and a specifically designated and well illuminated medication storage compartment with a lockable door.  If a separate medication room is maintained, it shall have a lockable door and a sink with water connections for care of equipment and for hand washing.
(d) If a refrigerator is provided in a nursing station, the refrigerator shall meet the following standards:
(1) Be located in a clean area not subject to contamination by human waste.
(2) Maintain temperatures at or below 70C (450F) for chilling.
(3) Maintain the freezer at minus 180C (00F).
(4) Contain an accurate thermometer at all times.
(5) If foods are retained in the refrigerator, they shall be covered and clearly identified as to contents and date initially covered.  Drugs shall be kept in a separate, closed container in a separate area of the refrigerator.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79645. Pharmaceutical Service.
Note     •     History

Pharmaceutical service means the procuring, manufacturing, compounding, dispensing, distributing, and storing, of drugs, biologicals, and chemicals by appropriate staff and having space, equipment, and supplies to perform that service.  Pharmaceutical services also include the provision of drug information to other health professionals and to inmate-patients.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79647. Pharmaceutical Service--General Requirements.
Note     •     History

(a) Arrangements shall be made with pharmacists licensed by the California State Board of Pharmacy to assure that pharmaceutical services are available to provide patients with prescribed drugs and biologicals.
(b) Dispensing, labeling, storage, and disposal of drugs and biologicals shall be in conformance with state and federal laws.
(c) If a pharmacy is located on the correctional treatment center premises, the pharmacy shall have a limited permit or license issued by the California State Board of Pharmacy.  Pharmacies located on the licensed premises of the facility shall be opened for inspection upon the request of an authorized Department representative.
(d) The facility shall not accept money, goods, or services free, or below cost from any pharmacist or pharmacy as compensation or inducement for referral of business to any pharmacy.
(e) Written policies and procedures shall be developed for establishment of safe and effective systems for procurement, storage, distribution, dispensing, and use of drugs and chemicals.  The pharmacist in consultation with other appropriate health professionals and administration shall be responsible for the development and implementation of procedures.  Policies shall be approved by the governing body.  Procedures shall be approved by the administration and medical staff.
(f) There shall be a system maintained whereby no person other than a pharmacist or a legally qualified individual under the immediate supervision of a pharmacist shall dispense medications.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79649. Pharmaceutical Services--Other Requirements.
Note     •     History

(a) Pharmaceutical service shall include, but not be limited to, the following:
(1) Obtaining necessary drugs including the availability of 24-hour prescription service on a prompt and timely basis as follows:
(A) Drugs ordered “STAT” that are not available in the facility emergency drug supply shall be available and administered within one hour of the time ordered during normal pharmacy hours.  For those hours during which the pharmacy is closed, drugs ordered “STAT” shall be available and administered within two hours of the time ordered.  Drugs ordered “STAT” which are available in the emergency drug supply shall be administered immediately.
(B) Institutional formulary anti-infectives and institutional formulary drugs used to treat severe pain, nausea, agitation, diarrhea or other severe discomfort shall be available and administered within one hour of the time ordered, unless ordered “STAT”.
(C) Refills of prescription drugs shall be available within 24 hours.
(2) Dispensing of drugs and biologicals.
(3) Monitoring the drug distribution system which includes ordering, dispensing and disposal of medication.
(4) Provision of consultative and other services furnished by pharmacists which assist in the development, coordination, supervision and review of the pharmaceutical services within the correctional treatment center.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79651. Pharmaceutical Service--Labeling and Storage of Drugs.
Note     •     History

(a) Containers which are cracked, soiled or without secure closures shall not be used.  Drug labels shall be legible.  No medication shall be dispensed by prescription except in a new container.
(b) All drugs obtained by prescription shall be labeled in compliance with state and federal laws governing prescription dispensing.
(c) Nonlegend drugs shall be labeled in conformance with state and federal food and drug laws.
(d) Test reagents, germicides, disinfectants and other household substances shall be stored separately from drugs and shall not be accessible to patients.
(e) External use drugs in liquid, tablet, capsule or powder form shall be stored separately from drugs for internal use.
(f) Drugs shall be stored at appropriate temperatures.  Drugs required to be stored at room temperature shall be stored at a temperature between 150C (590F) and 300C (860F).  Drugs requiring refrigeration shall be stored in a refrigerator between 20C (360F) and 80 (460F).  When drugs are stored in the same refrigerator with food, the drugs shall be kept in a closed container clearly labeled “drugs”.
(g) Drugs shall be stored in an orderly manner in cabinets, drawers or carts of sufficient size to prevent crowding.
(h) Dose preparation and administration areas shall be well lighted.
(i) Drugs shall be accessible only to licensed health professionals designated in writing by the licensee.
(j) Medication shall not be kept at the patient's bedside, with the exception of prescribed sublingual or inhalation forms of drugs.
(k) Drugs shall not be kept in stock after the expiration date on the label and no contaminated or deteriorated drugs shall be available for use.
(l) The drugs of each inmate-patient shall be kept and stored in their originally received containers.  No drugs shall be transferred between containers.
(m) Discontinued drug containers shall be marked, or otherwise identified, to indicate that the drug has been discontinued, or shall be stored in a separate location which shall be identified solely for this purpose.  Discontinued drugs shall be disposed of within ninety (90) days of the date the drug order was discontinued, unless the drug is reordered within that time.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79653. Pharmaceutical Service--Stop Orders.
Note     •     History

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

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79655. Pharmaceutical Service--Orders for Drugs.
Note     •     History

(a) No drugs shall be administered except upon the order of a person lawfully authorized to prescribe for and treat human illness.
(b) All drug orders shall be written, dated, and signed by the person lawfully authorized to give such an order.  The name, quantity or specific duration of therapy, dosage and time or frequency of administration of the drug and route of administration if other than oral shall be specified. “P.R.N.” orders shall also include the indication for the use of the drug.
(c) Verbal orders for drugs and treatment shall be received only by licensed nurses, psychiatric technicians, pharmacists, physicians and physician's assistants from their supervising physicians and others consistent with their practice acts. Such orders shall be recorded immediately in the patient's health record by the person receiving the order, and shall include the date and time of the order and the signature of the person receiving the order.  The order shall be signed by the prescriber within forty-eight (48) hours, excluding weekends and holidays.
(d) The signing of orders shall be by signature or a personal computer key.  Signature stamps shall not be used.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79657. Pharmaceutical Service--Drug Order Processing.
Note     •     History

Signed orders for drugs shall be transmitted to the issuing pharmacy within twenty-four (24) hours, either by written prescription of the prescriber, or by an order form which produces a direct copy of the order.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79659. Pharmaceutical Service--Drug Order Records.
Note     •     History

(a) Correctional treatment centers shall maintain a record which includes, for each drug ordered by prescription, the name of the inmate-patient, the drug name, and strength, the date ordered, the date and amount received and the name of the issuing pharmacy.
(b) The record shall be maintained in the correctional treatment center, or in the pharmacy with which the correctional treatment center contracts for pharmaceutical services, for at least three years following the date of the last entry to the record so that the record may be accessible to the correctional treatment center.
NOTE

Authority cited: Sections 208(a), 1250.1(l) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79661. Pharmaceutical Service--Personal Medications.
Note     •     History

(a) Medications brought by or with the patient on admission to the correctional treatment center shall not be used unless the contents of the containers have been examined and positively identified after admission by the inmate-patient's physician or a pharmacist retained by the licensed correctional treatment center.
(b) The licensed correctional treatment center may use drugs from other licensed health care facilities or those drugs dispensed or obtained after admission from any licensed or governmental pharmacy and may accept the delivery of those drugs if identified and approved by a physician or pharmacist.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79663. Pharmaceutical Service--Controlled Drugs.
Note     •     History

(a) Drugs listed in Schedules II, III, IV and V of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970, Title 21, United States Code, Section 801 et seq., shall not be accessible to other than licensed nursing, pharmacy and medical personnel designated by the licensee.  Drugs listed in Schedule II of the above Act shall be stored in a locked cabinet or a locked drawer, separate from noncontrolled drugs, unless they are supplied on a scheduled basis as part of a unit dose medication system.
(b) Separate records of use shall be maintained on all Schedule II drugs.  Such records shall be maintained accurately and shall include the name of the patient, the prescription number, the drug name, strength and dose administered, the date and time of administration and the signature of the person administering the drug.  Such records shall be reconciled at least daily and shall be retained for at least one year.  If such drugs are supplied on a scheduled basis as part of a unit dose medication system, such records need not be maintained separately.
(c) Drug records shall be maintained for drugs listed in Schedules III and IV of the above Act in such a way that the receipt and disposition of each dose of any such drug may be readily traced.  Such records need not be separate from other medication records.
NOTE

Authority cited: Sections 208(a) and 1267.10(l), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79665. Pharmaceutical Service--Disposition of Drugs.
Note     •     History

(a) Drugs which have been dispensed for individual inmate-patient use and are labeled in conformance with state and federal law may be furnished to inmate-patients on discharge on the order of a physician.
(b) A record of the drugs sent with the inmate-patient shall be made in the inmate-patient's health record.
(c) An inmate-patient's drugs which remain in the facility after discharge of the inmate-patient shall be destroyed by the facility in the following manner:
(1) Drugs listed in Schedules II, III, IV and V of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970, Title 21, United States Code, Section 801 et seq., shall be destroyed by the facility in the presence of a pharmacist and a registered nurse or two pharmacists employed by the facility.  The name of the patient, the name and strength of the drug, the prescription number, the amount destroyed, the date of destruction and the signature of the witness required above shall be recorded in the patient's health record in a separate log.  Such log shall be retained for at least three years.
(2) Drugs not listed under schedules II, III, IV or V of the above Act shall be destroyed by the facility in the presence of a pharmacist or licensed nursing personnel.  The name of the patient, the name and strength of the drug, and prescription number (if applicable), the amount destroyed, the date of destruction, the signature of the pharmacist or nurse witnessing the destruction, and one other witness shall be recorded in the patient's health record or in a separate log.  Such log shall be retained for at least three years.
(d) Unless otherwise prohibited under applicable federal or state laws, individual patient drugs supplied in sealed containers shall be returned, if unopened, to the issuing pharmacy for disposition.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79667. Pharmaceutical Service--Unit Dose Medication System.
Note     •     History

In correctional treatment centers employing a unit dose medication system, there shall be at least a twenty-four (24)-hour supply of all inmate-patient medications on hand at all times, except those drugs which are to be discontinued within the twenty-four (24)-hour period.  Drugs that are a part of a unit dose medication system shall not exceed a forty-eight (48)-hour supply excepting weekends and holidays.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79669. Pharmaceutical Service Staff.
Note     •     History

A pharmacist shall have overall responsibility for the pharmaceutical service.  He or she shall be responsible for the procurement, storage, distribution and disposal of all drugs as well as the development, coordination, supervision and review of pharmaceutical services in the correctional treatment center.  Correctional treatment centers with a limited pharmacy permit shall employ a pharmacist on at least a consulting basis.  Responsibilities shall be set forth in a job description or agreement between the pharmacist and the correctional treatment center.  The pharmacist shall be responsible to the administrator and shall furnish him or her written reports and recommendations regarding the pharmaceutical services within the correctional treatment center.  Such reports shall be provided no less often than quarterly.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79671. Pharmaceutical Service--Equipment and Supplies.
Note     •     History

(a) There shall be equipment and supplies necessary for the provision of pharmaceutical services within the correctional treatment center, including at least the following:
(1) Refrigerator with an accurate thermometer.
(2) Lockable drug cabinets, drawers, closets or rooms.
(3) Drug service trays and/or carts.
(4) Drug preparation counter area and convenient water source.
(5) Reference materials containing drug monographs on all drugs in use in the facility.  Such monographs shall include information concerning generic and brand names, if applicable, available strengths, and dosage forms and pharmacological data including indications and side effects.
(b) Emergency supplies shall be readily available at each correctional treatment center.  Emergency drug supplies shall meet the following requirements:
(1) Legend drugs shall only be stored in the emergency supply, under the following conditions:
(A) Injectable supplies of legend drugs shall be limited to a maximum of six single doses in ampules or vials or one container of the smallest available multi-dose vial and shall be in sealed, unused containers.
(B) Sublingual or inhalation emergency drugs shall be limited to single sealed containers of the smallest available size.
(C) Not more than ten emergency drugs in solid, oral dosage form or suppository dosage form for anti-infective, anti-diarrhea, anti-nausea or analgesic use may be stored if in sealed containers.  Not more than four doses of any one drug may be so stored.
(2) The emergency drug supply shall be stored in a portable container which is sealed in such a manner that the tamper-proof seal must be broken to gain access to the drugs.  A licensed nurse shall notify the pharmacist when drugs have been used from the emergency kit or when the seal has been broken.  Drugs used from the kit shall be replaced within seventy-two hours and the supply resealed by the pharmacist.
(3) The contents of the supply shall be listed on the outside of the container.
(4) The supply shall be checked at least once monthly by the pharmacist.
(5) Separate records of use shall be maintained for drugs administered from the supply.  Such records shall include the name and dose of the drug administered, name of the patient, the date and time of administration and the signature of the person administering the dose.
(6) A correctional treatment center with a licensed pharmacy on the premises shall make the emergency drug supply accessible without making it necessary to enter either the pharmacy or drug storage room during hours when the pharmacist is not available.  Access to the supply shall be limited to designated registered nurses.  Records of drugs taken from the supply shall be maintained and the pharmacist shall be notified of such use.  The records shall include the name and strength of the drug, the amount taken, the date and time, the name of the inmate-patient to whom the drug was administered, and the signature of the registered nurse.  The pharmacist shall be responsible for maintenance of the supply and assuring that all drugs are properly labeled and stored.  The drug supply shall contain that type and quantity of drugs necessary to meet the immediate needs of inmate-patients.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79673. Dental Service.
Note     •     History

Dental service means the provision of emergency dental care and may include diagnostic, preventive, or corrective procedures performed by dentists with appropriate staff, space, equipment, and supplies.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79675. Dental Service--General Requirements.
Note     •     History

(a) Written policies and procedures for the scope of services to be provided shall be developed and maintained by the person responsible for the service.  Procedures shall be approved by the administration.
(b) The responsibility and the accountability of the dental service to the administration shall be defined.
(c) There shall be a well-defined plan for oral health care, based on patient need, the size of the treatment center and the type of service provided.
(d) There shall be a well-organized plan for emergency dental care.
(e) There shall be a record of all dental services provided to the inmate-patient and this shall be made a part of the inmate-patient's medical record.
(f) Periodically, an appropriate committee of staff members shall evaluate the services provided and make appropriate recommendations to the treatment center administration.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79677. Dental Service Staff.
Note     •     History

(a) A dentist shall have overall responsibility for the dental service.
(b) The dental service shall be staffed by a sufficient number of dentists along with auxiliary dental personnel to render proper dental care.
(c) When dental hygienists or dental laboratory technicians are employed, they shall work under the supervision of the dentist who is responsible for the dental service.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79679. Dental Service Equipment and Supplies.
Note     •     History

(a) There shall be equipment, instruments and supplies maintained to meet the needs of the services offered.
(b) There shall be equipment for sterilization of instruments and supplies.
(c) All equipment installed shall comply with standards of infection control as defined by the infection control committee, whose duties and responsibilities are delineated in Section 79781(d)(2) of this Chapter.
(d) The following materials shall be available for immediate use whenever dental treatment is provided:
(1) Oxygen.
(2) Appropriate drugs.
(3) Resuscitation equipment.
(e) Radiographic equipment shall meet the requirements of California Code of Regulations, Title 17, Chapter 5, Subchapter 4, Group 1, Article 1, commencing with Section 30100 which is hereby incorporated by reference.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79681. Dental Service Space.
Note     •     History

(a) There shall be adequate space maintained for the dental service.
(b) There shall be facilities for dental radiography.
(c) There shall be space provided for the sterilization and storage of instruments and lockable storage for bulk supplies.
(d) There shall be a secure storage area for patient records.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79683. Dietary Service.
Note     •     History

Dietary service means the provision of nutritionally adequate food for inmate-patients with appropriate staff, space, equipment and supplies.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79685. Dietary Service General Requirements.
Note     •     History

(a) The food and nutrition needs of patients in the correctional treatment center shall be met in accordance with “The Recommended Dietary Allowance”, adopted by the Food and Nutrition Board of the National Research Council, National Academy of Science, revised 1989, and “The California Daily Food Guide”, California Department of Health Services, April 1990 edition.  Daily menus shall follow these recommendations.
(b) Substitutions shall be within the same food group.
(c) Not less than 3 meals shall be served daily, and with not more than a 14-hour span between the third meal and the first meal of the following day.
(d) Nourishment or between meal snacks shall be provided as required by a person lawfully authorized to give a dietary order.
(e) Food shall be prepared by methods that conserve nutritive value, flavor, and appearance.  Food shall be served at appropriate temperatures and in a form to meet individual needs.
(f) When food is provided by an outside source, the correctional treatment center shall ensure that all federal, state and local requirements are met.
(g) All regular and therapeutic diets shall be prescribed by a person lawfully authorized to give such an order and shall be planned, prepared and served under the supervision or consultation of a dietitian.
(h) A written plan shall be followed for uniform handling of inmate-patients with diabetes, pregnant women, and others whose condition requires a medically prescribed diet as part of therapeutic treatment.
(i) A current therapeutic diet manual, approved by the dietitian, shall be readily available to all medical, nursing and dietetic personnel.  The manual shall be reviewed annually and revised at least every five years.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79687. Dietary Service Policies and Procedures.
Note     •     History

A dietary services policy and procedure manual shall be developed and available to all personnel.  The manual shall be developed with the assistance of a dietitian and other appropriate staff.  The manual shall address at least the following:
(a) Organization of the dietary service.
(b) Personnel management.
(c) Staff development.
(d) Menu planning.
(e) Food storage.
(f) Food preparation and services.
(g) Maintenance, sanitation and hygiene.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79689. Dietary Service Therapeutic Diets.
Note     •     History

(a) Therapeutic diets shall be provided as ordered by the attending licensed healthcare practitioner acting within the scope of his or her professional licensure and shall be planned by a registered dietitian.  Therapeutic diets shall be prepared and served with supervision or consultation from a registered dietitian.
(b) Dietary service staff who prepare and serve therapeutic diets shall have received in-service training on the dietary standards and food groups and therapeutic diets and shall have sufficient knowledge of food values to make appropriate substitutions.
NOTE

Authority cited: Sections 1267.10(a), 100275 and 131200, Health and Safety Code.  Reference: Sections 1250(j), 1254, 1316.5, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
2. Amendment of subsection (a) and Note filed 3-3-2010; operative 4-2-2010 (Register 2010, No. 10).
§79691. Dietary Service Menus.
Note     •     History

(a) Menus for regular and therapeutic diets shall be planned by a registered dietitian and written at least one week in advance, dated and posted in the kitchen at least three days in advance.
(b) If any meal served varies from the planned menu, the change shall be noted in writing on the posted menu in the kitchen.
(c) Menus shall provide a variety of foods and indicate standard portions at each meal.  If a cycle menu is used, the cycle shall be of no less than three weeks duration and shall be revised quarterly.
(d) A copy of the menu as planned and as served shall be kept on file for at least thirty (30) days.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79693. Dietary Service Food Storage.
Note     •     History

(a) Food storage areas shall be kept clean at all times.
(b) All foods not requiring refrigeration shall be stored at least twelve inches above the floor, on shelves, racks, dollies, or other surfaces which facilitate thorough cleaning, in a ventilated room not subject to contamination by waste water backflow, condensation, leakage, rodents or vermin.
(c) Readily perishable foods or beverages shall be maintained at temperatures of 70C (450F) or below, or at 600C (1400F) or above, at all times, except during necessary periods of preparation or service.  Frozen foods shall be stored at -180C (00F) or below.
(d) Soaps, detergents, cleaning compounds, pesticides and other toxic substances shall be stored separately.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79695. Dietary Service Sanitation.
Note     •     History

(a) All kitchen areas shall be kept clean, free from litter and rubbish, and protected from rodents, roaches, flies and other insects.
(b) All utensils, counters, shelves and equipment shall be kept clean and maintained in good repair.
(c) Ice which is used in connection with food or drink shall be from a sanitary source and shall be handled and dispensed in a sanitary manner. Bacteriological testing shall be performed when indicated by specific problems, epidemiological findings, or recommendations by the infection control committee of the licensed correctional treatment center.
(d) Kitchen wastes not disposed of by mechanical means shall be kept in leak-proof, nonabsorbent, tightly closed containers and disposed of as frequently as necessary to prevent a nuisance or contamination of food preparation areas.
(e) Soiled containers shall be cleaned inside and outside in a way that will not contaminate food, equipment, utensils or food preparation areas.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79697. Dietary Service Cleaning and Disinfection of Utensils.
Note     •     History

(a) All utensils used for eating and drinking and in the preparation and service of food and drink shall be cleaned and disinfected or discarded after each usage.
(b) Gross food particles shall be removed by careful scraping and rinsing in running water.
(c) Utensils not washed by mechanical means shall be placed in hot water with a minimum temperature of 430C (1100F), washed using soap or detergent, rinsed in hot water to remove soap or detergent and disinfected by one of the following methods or an equivalent, as approved by the Department.
(1) Immersion for at least two minutes in clean water at 770C (1700F).
(2) Immersion for at least 30 seconds in clean water at 830C (1800F).
(3) Immersion in water containing a bactericidal chemical as approved by the Department.
(4) After disinfection the utensils shall be allowed to drain and dry in racks or baskets on nonabsorbent surfaces.  Drying cloths shall not be used.
(d) Results obtained with dish washing machines shall be equal to those obtained by the methods outlined above and all dish washing machines shall meet the most current requirements contained in Standard No. 3 of the National Sanitation Foundation, which is hereby incorporated by reference.  Hot water at a minimum temperature of 830C (1800F), shall be maintained at the manifold of the final rinse.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79699. Dietary Service Equipment, Space, and Supplies.
Note     •     History

(a) Equipment of the type and in the amount necessary for the proper preparation, serving and storage of food and for proper dish washing shall be provided and maintained in good working order.
(b) All food shall be of good quality.  Food in unlabeled, rusty, leaking broken containers or cans with side seam dents, rim dents or swells shall not be retained or used.
(c) Foods held in refrigerated or other storage areas shall be covered.  Liquids and foods which are prepared and not served shall be tightly covered, clearly labeled and dated.
(d) Spoiled or contaminated food shall not be served.
(e) The dietetic service area shall be ventilated in a manner that will maintain comfortable working conditions, remove objectionable odors and fumes and prevent excess condensation.
(f) Persons other than dietetic service personnel shall not be allowed in the kitchen areas unless required to do so in the performance of their duties.
(g) Smoking shall not be permitted in kitchen areas.
(h) An office or other suitable space shall be provided for the dietitian or dietetic service supervisor.
(i) Kitchen sinks shall not be used for hand washing.  Separate hand washing facilities with soap, running water, individual towels and waste receptacles shall be provided.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79701. Dietary Service Staff.
Note     •     History

(a) A dietitian shall be employed on at least a part-time or consulting basis in all correctional treatment centers.  A part-time dietitian shall provide the number of hours of service in each calendar month to meet the needs of the inmate-patients.  Services shall be of sufficient duration to ensure continuing liaison with medical and nursing staffs, patient care counseling, approval of menus and planning and conducting of in-service education programs.
(b) If a dietitian is not employed full time, a full time person who is a graduate of a state approved course that provides 90 or more hours of classroom instruction in food supervision shall be employed to be responsible for the operation of the food service.  The dietetic supervisor may also cook, provided sufficient time is allowed for managerial responsibilities.
(c) Staff (civilian and inmate workers) shall be employed, oriented, and their working hours scheduled to provide for the nutritional needs of inmate-patients and to maintain the dietetic service area.
(d) Dietetic service personnel shall be trained in basic food sanitation techniques, shall be clean, wear clean clothing, including cap or hair net, and shall be excluded from duty when affected by skin infection or communicable diseases. Beards and mustaches which are not closely cropped and neatly trimmed shall be covered.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
Article 4. Optional Services
§79703. Optional Services.
Note     •     History

(a) A correctional treatment center may provide the following services:
(1) Laboratory.
(2) Radiology.
(3) Perinatal.
(4) Outpatient surgery.
(5) Mental health treatment program.
(6) Standby Emergency Medical Services.
(7) Any other services requested in writing and approved by the state department in writing.
(b) A correctional treatment center may provide outpatient surgical care with anesthesia if the correctional treatment center meets the same requirements as a surgical clinic licensed pursuant to Section 1204 of the Health and Safety Code, except for the requirement that patients remain less than 24 hours.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New article 4 and section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79705. Optional Services--Laboratory Services.
Note     •     History

(a) Clinical laboratories shall be operated in conformance with the California Business and Professions Code, Division 2, Chapter 3 (Sections 1200 to 1322, inclusive) and the California Code of Regulations, Title 17, Division 1, Chapter 2, Subchapter 1, Group 2 (Sections 1030 to 1057, inclusive).
(b) The correctional treatment center shall maintain clinical laboratory services and equipment for routine laboratory work such as urinalysis, complete blood counts, and such tests necessary to meet the needs of the correctional treatment center.
(c) The correctional treatment center shall maintain or make provision for clinical laboratory services for performance of tests in chemistry, microbiology, serology, hematology, pathology and blood banking.
(d) Written policies and procedures shall be developed and maintained by the physician responsible for the service in consultation with other appropriate health professionals and administration.  Policies and procedures shall be approved by the patient care policy committee, medical director, and the governing body.  Policies and procedures shall be reviewed annually.
(e) The responsibility and the accountability of the clinical laboratory service to the medical director shall be defined.
(f) The director of the clinical laboratory shall assure that:
(1) Examinations are performed accurately and in a timely fashion.
(2) Procedures are established governing the provision of laboratory services for outpatients.
(3) Laboratory systems identify the patient, test requested, date and time the specimen was obtained, the time the request reached the laboratory, the time the laboratory completed the test and any special handling which was required.
(4) Procedures are established to ensure the satisfactory collection of specimens.
(5) A communications system to provide efficient information exchange between the laboratory and related areas of the correctional treatment center is established.
(6) A quality control system within the laboratory designed to ensure medical reliability of laboratory data is established.  The results of control tests shall be readily available in the correctional treatment center.
(7) Reports of all laboratory examinations are made a part of the inmate-patient's medical record as soon as is practical. 
(8) No laboratory procedures are performed except on the order of a person lawfully authorized to give such an order.
(g) Tissue specimens, where obtained, shall be examined by a physician who is certified or eligible for certification in anatomical and/or clinical pathology by the American Board of Pathology or possesses qualifications which are equivalent to those required for certification.  Oral specimens may be examined by a dentist who is certified or eligible for certification as an oral pathologist by the American Board of Oral Pathology.  A record of their findings shall become a part of the patient's medical record.  A file on these findings shall be maintained at the correctional treatment center or the principal office of the consulting pathologist.
(h) The use, storage and disposal of radioactive materials shall comply with the California Radiation Control Regulations, Title 17, Chapter 5, Subchapter 4, Group 1, Article 1, commencing with Section 30100, California Code of Regulations, as amended.  These regulations are hereby incorporated by reference.
(i) Where the correctional treatment center depends on outside blood banks, there shall be a written agreement governing the procurement, transfer and availability of blood.
(j) Licensed clinical laboratory services shall be available at all times for emergencies.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79707. Laboratory Service Staff.
Note     •     History

(a) A physician shall have overall responsibility for the clinical laboratory service.  The physician shall be certified or eligible for certification in clinical pathology and/or pathologic anatomy by the American Board of Pathology or the American Osteopathic Board of Pathology.  If such a pathologist is not available on a full-time, regular part-time, or consulting basis, a physician or a licensed clinical laboratory bioanalyst who is available on a full-time, regular part-time, or consulting basis may administer the clinical laboratory provided a pathologist, qualified as above, is available for consultation.
(b) There shall be sufficient staff with adequate training and experience to meet the needs of the service being offered.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79709. Laboratory Service--Equipment and Supplies.
Note     •     History

(a) There shall be sufficient equipment and supplies maintained to perform the laboratory services being offered.
(b) When the correctional treatment center maintains blood storage facilities, such facilities shall be in conformance with the provisions of Section 1002(g), Title 17, California Code of Regulations.  Blood storage facilities shall be inspected by the correctional treatment center at least daily for compliance with these requirements.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79711. Optional Services--Radiology Services.
Note     •     History

Radiology service means the use of X-ray, other ionizing radiation, and/or magnetic resonance imaging, and/or ultrasound in the detection, diagnosis, and treatment of human illnesses and injuries with appropriate staff, space, equipment and supplies.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79713. Radiology Service General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the person responsible for the service in consultation with other appropriate health professionals and administration.  Policies and procedures shall be approved by the governing body, the administration and the medical director.  Policies and procedures shall be reviewed annually.
(b) The responsibility and the accountability of the radiological service to the medical staff and administration shall be defined.
(c) The use, storage and shielding of all radiation machines and radioactive materials shall comply with the California Radiation Control Regulations, Section 30100 et seq., Subchapter 4, Chapter 5, Title 17, California Code of Regulations.
(d) All persons operating or supervising the operation of X-ray machines shall comply with the requirements of the Radiologic Technology Regulations, Section 30400 et seq., Subchapter 4.5, Chapter 5, Title 17, California Code of Regulations.
(e) Diagnostic radiological services shall only be performed on the order of a person lawfully authorized to give such an order.
(f) The original reports of radiological service examinations shall be filed in the inmate-patient's medical record and a copy maintained in the radiology unit.
(g) X-ray films, or reproductions thereof, shall be retained for seven years.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79715. Radiology Service Staff.
Note     •     History

(a) A physician shall have overall responsibility for the radiological service.  This physician shall be certified or eligible for certification by the American Board of Radiology or the American Osteopathic Board of Radiology.  If such a radiologist is not available on a full-time or regular part-time basis, a physician, with training and experience in radiology, may administer the service.  In this circumstance, a radiologist, qualified as above, shall provide consultation services.
(b) Sufficient certified radiologic technologists shall be employed to meet the needs of the service being offered.
(c) Radiological services shall be available to the correctional treatment center at all times for the provision of services on all shifts and for emergencies.  Such services may be provided on the correctional treatment center or through a contractual arrangement.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79717. Radiology Service Equipment and Supplies.
Note     •     History

(a) There shall be equipment and supplies maintained or available to perform the radiological services that are offered in the correctional treatment center.  As a minimum, the following equipment shall be available:
(1) At least one radiographic unit.  If fluoroscopic services are provided, fluoroscopes shall be equipped with image intensifiers.
(2) Film processing equipment.
(b) Proper resuscitation and monitoring equipment shall be immediately available.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79719. Radiology Service Space.
Note     •     History

(a) There shall be sufficient space maintained to provide radiological services.  This shall include but not be limited to the following:
(1) A separate X-ray room large enough to accommodate the necessary radiographic equipment and to allow easy maneuverability of stretchers and wheelchairs.
(2) Toilet facilities located in the radiology service space or in the immediate vicinity.
(3) Dressing rooms for patients if not otherwise provided by toilet facilities.
(4) Film processing area.
(5) Sufficient storage space for all the necessary X-ray equipment, supplies, and for exposed X-ray film, and copies of reports.
(6) Suitable area for viewing and reporting of radiographic examinations.
(b) If X-ray examinations are to be performed on outpatients, outpatient access to the radiological spaces shall not traverse a nursing unit.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79721. Optional Services--Perinatal Services.
Note     •     History

A perinatal unit means a maternity unit and newborn service of the correctional treatment center for the provision of care during pregnancy, labor, delivery, postpartum and neonatal periods.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79723. Perinatal Service General Requirements.
Note     •     History

(a) A perinatal unit shall provide or arrange for:
(1) Care for the patient during pregnancy, labor, delivery, and the postpartum period.  Labor, delivery, and neonatal care may be provided outside the correctional treatment center under a contractual agreement with a general acute care hospital, in which case only emergency delivery services will be provided by the correctional treatment center.
(2) Care for the normal infant and the infant with abnormalities which usually do not impair function or threaten life.  Newborns shall not be retained beyond 24 hours at the correctional treatment center without the approval of the medical director.
(3) Care for mothers and infants needing emergency or immediate life support measures to sustain life up to 12 hours or to prevent major disability.
(4) Formal arrangements for consultation and/or transfer of an infant to an intensive care newborn nursery, or a mother to a hospital with the necessary services, for problems beyond the capacity of the perinatal unit.
(b) There shall be written policies and procedures developed and maintained by the person responsible for the service, in consultation with other appropriate health professionals and administration.  These policies and procedures shall reflect the standards and recommendations of the 1989 American College of Obstetricians and Gynecologists “Standards for Obstetric-Gynecologic Services” and the 1988 American Academy of Pediatrics “Guidelines for Perinatal Care”.  These standards are hereby incorporated by reference.  Policies shall be approved by the governing body.  Procedures shall be approved by the patient care policy committee and medical director. Policies and procedures shall address but not be limited to:
(1) Relationships to other services in the correctional treatment center.
(2) Admission policies, including infants delivered prior to admission of the mother.
(3) Arrangements for maternity patient overflow.
(4) Consultation from an intensive care newborn nursery.
(5) Prevention and treatment of neonatal hemorrhagic disease.
(6) Care and transfer of the premature or low birth weight infant.
(7) Resuscitation of the newborn.
(8) Administering and monitoring of oxygen and respiratory therapy.
(9) Blood Transfusion.
(10) PKU screening.
(11) Rhesus (Rh) hemolytic disease identification, reporting, and prevention.
(12) Management of hyperbilirubinemia.
(13) Induction of labor and administration of oxytocic drugs.
(14) Obstetric-pediatric-pathologic-radiologic conferences.
(15) Patient identification system.
(16) Care routines for the mother and infant.
(17) Hand washing technique.
(18) Bassinet techniques in caring for infants.
(19) Treatment of the eyes of newborn, including Crede' or antibiotic treatment.
(20) Breast feeding.
(21) Formula preparation and storage.
(c) The responsibility and the accountability of the perinatal service to the medical staff and administration shall be defined.
(d) Laboratory testing capabilities for performing blood gas analyses, pH and microtechniques shall be available.
(e) The correctional treatment center perinatal service shall have the capability for operative delivery, including caeserean section, available at all times.
(f) Infants with diarrhea of the newborn as defined in Section 2564, Title 17, California Code of Regulations, as amended, or who have draining lesions shall be transferred to a general acute care hospital.
(g) Infants suspected of having airborne infections shall be separated from other infants in the nursery and transferred to a general acute care hospital.
(h) All persons in the delivery room shall wear clean gowns, caps and masks during a delivery.
(i) Oxygen shall be administered to newborn infants only on the written order of a physician. The order shall include the concentration (volume percent) or desired arterial partial pressure of oxygen and be reviewed, modified, or discontinued after 24 hours.
(j) All patients shall be attended by a physician or registered nurse when under the effect of anesthesia or regional analgesia, when in active labor, during delivery and in the immediate postpartum period.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79725. Perinatal Service Staff.
Note     •     History

(a) A physician shall have overall responsibility for the service.  This physician shall be certified or eligible for certification by the American Board of Obstetrics and Gynecologists, the American Board of Pediatrics, the American Osteopathic Board of Obstetrics and Gynecology or the American Osteopathic Board of Pediatrics. If a physician with one of the above qualifications is not available, a physician with training and experience in obstetrics and gynecology or pediatrics may administer the service.  In this circumstance, a physician with either of the required qualifications shall provide consultation to the service.
(b) A physician who is certified or eligible for certification by the American Board of Pediatrics shall be responsible for the nursery.
(c) There shall be one registered nurse on duty on each shift assigned to the labor and delivery suite.  In addition, there shall be sufficient trained personnel to monitor and evaluate labor and to assist with a delivery.
(d) There shall be one registered nurse on duty for each shift assigned to the antepartum and postpartum areas.  In addition, there shall be sufficient licensed personnel to assess patients and provide care.
(e) A registered nurse who has had training and experience in neonatal nursing shall be responsible for the nursing care in the nursery.
(1) A registered nurse trained in infant resuscitation shall be on duty on each shift.
(2) A ratio of one licensed nurse to eight or fewer infants shall be maintained for normal infants.
(f) The correctional treatment center shall provide directly or by arrangement continuing education and training programs for the nursing staff in perinatal nursing and infection control.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79727. Perinatal Service Equipment and Supplies.
Note     •     History

(a) General equipment shall include at least the following:
(1) Amniocentesis tray.
(2) DC defibrillator immediately available.
(3) Blanket warmer.
(4) Solutions and supplies for intravenous fluids, blood, plasma and blood substitutions or fractions.
(b) A fetal heart rate monitor shall be available.
(c) Labor rooms shall contain at least the following equipment:
(1) Oxygen and suction outlets.
(2) A labor bed with adjustable side rails.
(3) Footstool.
(4) One or more comfortable chairs.
(5) Hand washing facilities for staff.
(6) Toilet and hand washing facilities shall be in or immediately adjacent to labor room and shall be shared by no more than two patients.
(7) Adjustable examination light.
(8) Sphygmomanometer/cuff.
(9) Regular and fetal stethoscope.
(d) Delivery rooms shall have at least the following equipment:
(1) Adjustable delivery table.
(2) Surgical overhead light.
(3) Equipment for inhalation anesthesia and regional analgesia.
(4) Clock with sweep second hand.
(5) An elapsed time clock.
(6) Emergency supplies such as packings, syringes, needles and drugs.
(7) Emergency call system.
(8) Provision for oxygen and suction for mother and infant.
(9) Thermostatically controlled incubator or radiant heating device.
(10) Erythromycin ophthalmic ointment and solutions for prophylactic Crede' treatment of eyes.
(11) Sterile clamps or ties for umbilical cord.
(12) Resuscitation equipment and supplies to include at least:
(A) Glass trap suction device with catheter.
(B) Pharyngeal airways, assorted sizes.
(C) Laryngoscope, including a blade suitable for premature infants.
(D) Endotracheal catheters, assorted size with malleable stylets.
(E) Arterial catheters, assorted sizes.
(F) Ventilatory assistance bag and infant mask.
(G) Bulb syringe.
(H) Stethoscope.
(I) Syringes, needles and appropriate drugs.
(e) Nursery equipment shall include at least the following:
(1) A separate bassinet made of easily cleanable material such as metal or clear plastic for each infant.
(2) Enclosed storage unit for clean supplies for each infant.
(3) Diaper receptacles with a cover, foot control and disposable liner.
(4) A hamper with a disposable liner for soiled linen.
(5) A wall thermometer and hygrometer.
(6) Accurate beam scales or the equivalent.
(7) Thermostatically controlled incubators or radiant heating devices to maintain proper ambient temperature.
(8) Oxygen and compressed air supply regulating devices and administration equipment.
(9) Resuscitation equipment as required in delivery rooms.
(10) Suction equipment.
(11) At least one duplex electrical outlet for every two bassinets.
(12) One hand washing sink with controls not requiring direct contact of the hands for operation for each six bassinets. Wrist or elbow blade handles are not acceptable.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79729. Optional Services--Outpatient Surgical Care.
Note     •     History

Outpatient surgical care means the provision of surgical services to patients not requiring hospitalization, with appropriate staff, space, equipment, and supplies.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79731. Outpatient Surgical Care--General Requirements.
Note     •     History

(a) If outpatient surgery is performed, the written policies and procedures, approved by the governing body of the correctional treatment center, shall make provision for at least the following:
(1) The types of operative procedures that may be performed shall be specified.
(2) The types of anesthesia that may be used shall be specified.
(3) Preoperative evaluation of the patient, meeting the same standards as apply to inpatient surgery.
(4) Informed consent.
(5) The delivery of all anatomical parts, tissues and foreign objects removed to a pathologist designated by the hospital with a report of findings to be filed in the patient's medical record.
(6) Written preoperative instructions to patients covering:
(A) Applicable restrictions upon food and drugs before surgery.
(B) Any special preparations to be made by the patient.
(C) Any postoperative requirements.
(D) An understanding that admission to a hospital may be required in the event of an unforeseen circumstance.
(7) Examination of each patient by a physician prior to discharge.
(b) Where general anesthesia is to be administered, written policies and procedures shall be developed and maintained by the physician responsible for the service in consultation with other appropriate health professionals and administration.  Policies and procedures shall be approved by the administration and medical director.  The policies and procedures shall include provision for at least:
(1) Preanesthesia evaluation of the patient by a physician or a certified registered nurse anesthetist with appropriate documentation of pertinent information relative to the choice of anesthesia and the surgical or obstetrical procedure anticipated.
(2) Review of the patient's condition immediately prior to induction of anesthesia.
(3) Safety of the patient during the anesthetic period.
(4) Recording of all events taking place during the induction of, maintenance of and emergence from anesthesia, including the amount and duration of all anesthetic agents, other drugs, intravenous fluids and blood or blood fractions. 
(c) Prior to commencing surgery, the person responsible for administering anesthesia, or the surgeon if a general anesthetic is not be administered, shall verify the patient's identity, the site and side of the body to be operated on, and ascertain that a record of the following appears in the patient's medical record:
(1) An interval medical history and physical examination performed and recorded within the previous 24 hours.
(2) Appropriate screening tests, based on the needs of the patient, accomplished and recorded within 72 hours prior to surgery.
(3) An informed consent, in writing, for the contemplated surgical procedure.
(d) The requirements of subsection (c), above, do not preclude rendering emergency medical or surgical care to a patient.
(e) A register of operations shall be maintained including the following information for each surgical procedure performed.
(1) Name, age, sex and identity number of the patient.
(2) Date and time of the operation and the operating room number.
(3) Preoperative and postoperative diagnosis.
(4) Name of surgeon, assistants, anesthetists and scrub and circulating assistants.
(5) Surgical procedure performed and anesthetic agent used.
(6) Complications, if any, during the operation.
(f) An affiliation agreement or contract for the referral and transfer of patients with emergency medical problems shall be established and available for inspection by the Department.
(g) Periodically, the patient care policy committee shall evaluate the services provided and make appropriate recommendations to the medical director and administration.
NOTE

Authority cited: Sections 208(a), 1205.1(k) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79733. Outpatient Surgical Care Staff.
Note     •     History

(a) A physician shall have overall responsibility for the surgical service.  This physician shall be certified or eligible for certification in surgery by the American Board of Surgery or the American Osteopathic Board of Surgery.  If such a surgeon is not available, a physician, with additional training and experience in surgery, shall be responsible for the service.
(b) A registered nurse with training and experience in operating room techniques shall be responsible for the nursing care and nursing management of the operating room service.
(c) There shall be registered nurses, licensed vocational nurses, and operating room technicians in the appropriate ratio to ensure that a registered nurse is available at all times to serve as the circulating assistant when a licensed vocational nurse or operating room technician is serving as a scrub assistant.
(d) There must be a registered nurse available for emergency treatment whenever there is an outpatient surgical care patient in the correctional treatment center.
(e) The correctional treatment center shall maintain records of continuing education and training programs fro the nursing staff to be available to the Department upon request.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79735. Outpatient Surgical Care Equipment and Supplies.
Note     •     History

Equipment and supplies shall be maintained to meet the needs of the services offered, including at least the following monitoring equipment and supplies:
(a) Cardiac monitor, with a pulse rate meter, for each patient receiving a general anesthetic.
(b) DC defibrillator.
(c) Electrocardiographic machine.
(d) Oxygen and respiratory rate alarms.
(e) Supplies and drugs for emergency use.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79737. Outpatient Surgical Care Space.
Note     •     History

(a) A correctional treatment center providing outpatient surgical care shall maintain an operating room, or operating rooms, as follows:
(b) Construction of the operating room shall be in compliance with provisions of California Code of Regulations, Title 24, Chapter 10C, Section 1020C(a) and applicable sections of the California Building Standards Code.
(c) Operating room space shall conform to the provisions of California Code of Regulations, Title 24, Chapter 10C, Section 1020C(a).
(d) Special rooms such as cast rooms, fracture rooms, and cystoscopic rooms, if provided, shall maintain space in accordance with the provisions of California Code of Regulations, Title 24, Chapter 10C, Section 1020C(b).
(e) Postanesthesia recovery areas shall maintain space as required in California Code of Regulations, Title 24, Chapter 10C, Section 1020C(c).
(f) Laboratory, radiology and pharmacy services shall be readily accessible to the outpatient surgical service.
(g) The operating room shall be located so that is does not connect directly with a corridor designed and used for through traffic.
(h) Facilities shall be maintained for the sterilization of equipment and supplies.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79739. Mental Health Treatment Program.
Note     •     History

A mental health treatment program is organized, staffed and equipped to provide mental health treatment services for inmate-patients who require 24-hour inpatient care and treatment for acute or nonacute mental health disorders.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79741. Mental Health Treatment Program--General Requirements.
Note     •     History

(a) The mental health treatment program shall only be for inmate-patients with diagnosable mental disorder who require 24-hour mental health care.
(b) Each mental health treatment program shall have a clinical director who shall direct the clinical program, provide general direction to professional and nonprofessional staff and be responsible for the quality of clinical services performed in the facility.
(c) The clinical director of mental health treatment program, in consultation with other mental health professionals, shall develop and implement written policies and procedures for the mental health treatment program.
(d) There shall be preadmission patient screening for each inmate-patient completed by the clinical director or his or her designee.
(e) Release of medical records or mental health treatment information concerning any inmate-patient shall be only as authorized under Section 5328 of the Welfare and Institutions Code.
(f) Involuntary mental health treatment including involuntary medication, shall be provided only as authorized under Section 5328 of the Welfare and Institutions Code, as interpreted by the courts.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code; and Sections 5325 and 5328, Welfare and Institutions Code.  Reference: Sections 56 et seq. and 1798 et seq., Civil Code; Sections 990 et seq. and 1158, Evidence Code; Sections 1250(j), 1254, 1278, 1293.9 and 1795, et seq., Health and Safety Code; Sections 5150 et seq. and 5328-5330, Welfare and Institutions Code; and Keyhae v. Rushen, 178 Cal App. 3d 526 (1986).
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79743. Mental Health Treatment Program--Admission and Discharge Policies.
Note     •     History

(a) Each mental health treatment program shall develop and implement written admission and discharge policies approved by the Governing Body encompassing which staff members authorized by law to diagnose and treat may admit or discharge inmate-patients, the types of diagnoses for which inmate-patients may be admitted, limitations imposed by law or licensure, staffing limitations, preadmission patient screening, rules governing emergency admission, limitation of services, termination of services, discharge of patients and other relevant functions.
(b) No inmate-patient may be placed in a mental health treatment program who is not admitted as an inmate-patient by a member of the mental health treatment program staff.
(c) The inmate-patient's condition, provisional diagnosis and a plan for initial treatment shall be determined by the admitting staff within 24 hours of admission.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79745. Mental Health Treatment Program--  Multidisciplinary Treatment Team.
Note     •     History

(a) The multidisciplinary treatment team shall be comprised of those persons who work directly with the inmate-patient in each of the disciplines or service areas that provide service to the inmate-patient, including the clinical director or designee, a psychiatrist, a clinical psychologist, a licensed clinical social worker, a member of the nursing staff and any other staff person who is involved in the treatment and care of the inmate-patient.
(b) The multidisciplinary treatment team shall provide assessment, and any reassessment, of an inmate-patient's need for services and shall develop and implement the inmate-patient's individual treatment plan.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79747. Mental Health Treatment Program--Individual Treatment Plan.
Note     •     History

(a) The individual treatment plan shall:
(1) Be developed in writing by the multidisciplinary treatment team and, where possible, in collaboration with the inmate-patient.  The treatment plan shall be developed as soon as possible, but no longer than 72 hours following the patient's admission.
(2) Be based on a comprehensive assessment of the inmate-patient's physical, mental, emotional and social needs.
(3) Be reviewed and updated as often as indicated, but no less often than every seven (7) days, weekends and holidays excepted, for acute mental health patients and every thirty (30) days for nonacute mental health patients.
(4) Include, but not be limited to:
(A) A statement of the patient's physical and mental condition, including all mental health diagnoses.
(B) Prescribed medication, dosage and frequency of administration.
(C) Specific goals of treatment with intervention and actions that identify steps toward improvement or recovery and observable, measurable objectives.
(D) Identification of methods to be utilized, the frequency for conducting each treatment method and the person(s) or discipline(s) responsible for each treatment method.
(E) Documentation of the success or failure in achieving stated objectives.
(F) Evaluation of the factors contributing to the inmate-patient's progress or lack of progress toward recovery and a statement of the multidisciplinary treatment decision for follow-up action.
(G) An activity plan.
(H) A plan for other services needed by the inmate-patient which are not provided by the mental health treatment program.
(I) Goals for aftercare and a plan for post-discharge follow-up.
(b) The individual treatment plan shall be in writing and be approved by a clinical psychologist, psychiatrist, licensed clinical social worker, licensed marriage, family, and child counselor, or a psychiatric mental health nurse designated by the clinical director.
(c) The staff shall observe and note any changes in the inmate-patient's condition and the treatment plan shall be modified in response to the observed changes.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79749. Mental Health Treatment Program--Services.
Note     •     History

(a) Psychiatric and psychological services.
(1) Psychiatrists or clinical psychologists, within the scope of their licensure and subject to the rules of the facility, shall be responsible for the initial diagnosis of each inmate-patient.
(2) Inmate-patients shall be evaluated as soon as possible but not later than seventy-two (72) hours from the time staff determines that the inmate-patient requires or may require psychotropic medication.
(b) Social work services shall be organized, directed and supervised by a licensed clinical social worker.
(c) Mental health rehabilitation therapy services.
(1) Mental health treatment programs shall provide and conduct organized therapeutic social, recreational and vocational activities in accordance with the interests, abilities and needs of the inmate-patients, and will include the opportunity for exercise.
(2) Mental health rehabilitation therapy services shall be designed by and provided under the direction of a licensed mental health professional, a recreational therapist or an occupational therapist.
(d) Aftercare plan.
(1) A written aftercare plan shall describe those services that should be provided to an inmate-patient following discharge, transfer or release from the mental health program for the purpose of enabling the inmate-patient to maintain stabilization and/or achieve an optimum level of functioning.
(2) Prior to or at the time of discharge, transfer or release from the mental health treatment program, each inmate-patient shall be evaluated concerning the inmate-patient's need for aftercare services.  This evaluation shall consider the inmate-patient's potential in-custody housing, proximity to release from incarceration, probable need for community treatment and social services, and need for continued mental health care.
(3) Aftercare plans shall include, but not be limited to, the following:
(A) Arrangement for medication supervision and follow-up care.
(B) Referral to social, vocational or education services, if available and appropriate.
(4) A member of the multidisciplinary treatment team designated by the clinical director shall be responsible for ensuring that the referral of the inmate-patient to the appropriate aftercare service has been completed and documented in the inmate-patient's health record.
(5) Arrangements for necessary community referral, placement, conservatorship or post-discharge care shall be made prior to release from custody.
(6) A copy of the aftercare plan conforming to the requirements of Health and Safety Code Section 1284 and Welfare and Institutions Code Section 5622 shall be transmitted to the local director of mental health services or a designee in the county of residence for any inmate-patient referred to community services funded by the Bronzan-McCorquodale Act.
(7) The inmate-patient shall receive a copy of the aftercare plan when referred to community services. 
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j), 1254 and 1282, Health and Safety Code; and Section 5622, Welfare and Institutions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79751. Acute Mental Health Care.
Note     •     History

Acute mental health care means that level of voluntary or involuntary 24-hour care that is required to provide ongoing intensive evaluation and treatment by mental health staff to inmate-patients suffering from severe mental disorder.  Acute levels of care include, but are not limited to: (1) treatment of acute levels of severe mental disorder or (2) clinical restraint and seclusion.  Such inmate-patients would be those who, if in the community, would require a licensed health facility providing 24-hour acute mental health hospitalization.  Such facilities include but are not limited to psychiatric health facilities or acute psychiatric hospitals.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79753. Nonacute 24-Hour Mental Health Care.
Note     •     History

Nonacute 24-hour mental health care means that level of voluntary or involuntary care that is required to provide mental health services to mentally disordered inmate-patients who are not in need of acute mental health care, but who require general mental health evaluation, diagnostic assessment, treatment, nursing and/or related services, on a 24-hour-per-day basis in order to achieve stabilization and/or an optimal level of functioning.  Such inmate-patients would be those who, if in the community, would require a licensed health facility providing 24-hour subacute mental health care.  Such facilities include but are not limited to skilled nursing facilities with special treatment programs.  Subacute has the same meaning as nonacute as defined in this section.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79755. Mental Health Treatment Program Staffing--Basic Requirements.
Note     •     History

(a) Each mental health treatment program shall have a clinical director who shall be a psychiatrist, clinical psychologist, licensed clinical social worker, licensed marriage, family, and child counselor, or a psychiatric mental health nurse operating within his or her scope of licensure.  The clinical director shall have at least three years of direct clinical experience with the severely mentally disordered after completion of his or her last year of graduate education.
(b) Only that portion of correctional treatment center staff or contracted employee hours spent on the care of patients in the mental health treatment program may be counted as part of the required staffing pattern.
(c) The required minimum staffing ratios shall be calculated based upon the actual census of inmate-patients receiving 24-hour mental health care.
(d) Mental health treatment program nursing services shall be provided under the direction of a registered nurse who shall meet at least the following qualifications:
(1) Master's degree in psychiatric nursing or related field with experience in administration; or
(2) Two years of experience in psychiatric nursing; or
(3) Two years of experience in nursing administration or supervision and one year experience in psychiatric nursing.
(e) A registered nurse with experience in psychiatric nursing shall be employed forty (40) hours per week.
(f) There shall be a registered nurse, a licensed vocational nurse or a psychiatric technician in the mental health treatment area at all times.
(g) In addition to the minimum staffing required above, the mental health treatment program shall employ professional and other staff on all shifts in the number and with the qualifications to provide all necessary services for those patients admitted for care.
(h) Clinical psychologists, licensed clinical social workers, and licensed marriage, family, and child counselors shall be employed pursuant to the provisions of Section 5751.2, Welfare and Institutions Code.
(i) Psychiatric postgraduate trainees, interns, residents, postdoctoral fellows or instructors may practice psychiatric medicine under the provisions of Section 2065 of the Business and Professions Code.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code; Section 5751.2, Welfare and Institutions Code; and Section 2065, Business and Professions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79757. Mental Health Treatment Program Staffing--Acute Care Requirements.
Note     •     History

Mental health treatment programs that provide acute 24-hour mental health care shall meet the following dedicated full-time equivalent staff to census ratio only for acute inmate-patients in any 24-hour period. This staffing pattern includes all staff that is required for the treatment of acute patients.  Staff required by earlier sections of this Chapter for the disciplines listed in this section may be counted toward meeting the staffing pattern required in this section for that portion of their time that is spent in caring for acute patients.  The above staffing requirements in this Section for registered nurse, licensed vocational nurse or psychiatric technician shall be followed instead of the requirement of 2.5 nursing hours per patient day required for other correctional treatment center inmate-patients. That portion of the time of a psychiatric mental health nurse that is counted toward one category of the staffing requirements shall not be counted toward another category of the staffing requirements.  Unlicensed custody staff, to the degree they do work that would otherwise be done by mental health workers and who meet the qualifications of mental health workers, as defined in this chapter, may be counted toward the mental health worker requirement.

Acute Mental Health Care Census:
	1-5	6-10	11-20	21-30	31-40	41-50	51-60	61-70	71-80	81-90	91-100

Staff: Psychiatrist or Clinical
Psychologist or Licensed 
Clinical Social Worker or
Licensed Marriage, Family 
and Child Counselor, or 
Psychiatric Mental Health 
Nurse

	.5	1	2	3	4	5	6	7	8	9	10

Registered Nurse or Licensed
Vocational Nurse or 
Psychiatric Technician	3	4	5	6	8	10	12	14	16	18	20

Mental Health Worker	1.5	3	5	8	10	13	15	18	20	23	25

TOTALS	5	8	12	17	22	28	33	39	44	50	55

NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79759. Mental Health Treatment Program Staffing--Nonacute Care Requirements.
Note     •     History

Nonacute 24-hour mental health care may be provided by any correctional treatment center meeting the basic staffing requirements specified in Section 79631, Nursing Service Staff, including the requirements for 2.5 nursing hours per patient day and by the Mental Health Treatment Program Staffing--Basic Requirements, set forth in Section 79755.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79761. Mental Health Treatment Program--Space.
Note     •     History

(a) Space shall be provided for the conduct of the mental health treatment program and shall include:
(1) A consultation room for interviewing.
(2) An observation room for acutely disturbed inmate-patients.
(3) Indoor or outdoor facilities for therapeutic activities.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79763. Standby Emergency Medical Services, Physician on Call, Definition.
Note     •     History

Standby emergency medical service, physician on call, means the provision of emergency medical care in a specifically designated area of the correctional treatment center which is equipped and maintained at all times to receive patients with urgent medical problems and capable of providing physician service within a reasonable time.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79765. Standby Emergency Medical Service, Physician on Call, General Requirements.
Note     •     History

(a) Written policies and procedures shall be developed and maintained by the physician responsible for the service in consultation with other appropriate health professionals and administration.  Policies shall be approved by the governing body.  Procedures shall be approved by the administration and medical staff.
(b) The responsibility and the accountability of the emergency medical service to the medical director, administration and governing body shall be defined.
(c) There shall be a roster of names and telephone numbers of physicians who are available to provide emergency service.
(d) A communication system employing telephones, radiotelephone or similar means shall be in place for establishing and maintaining contact with law enforcement authorities, rescue squads, and other emergency medical services of the community.
(e) The correctional treatment center shall require continuing education of all emergency medical service personnel.
(f) Medical records shall be maintained on all inmate-patients who are admitted for emergency medical care.  These records shall become part of the inmate-patient's medical record.  Past medical records shall be available to the emergency medical service.
(g) An emergency room log shall be maintained and shall contain at least the following inmate-patient information: name, date, time and means of arrival, age, sex, record number, nature of complaint, treatment, disposition and time of departure.  The names of those dead on arrival shall also be entered in the log.
(h) Standardized emergency nursing procedures shall be developed and approved by the patient care policy committee and administration.
(i) A list of referral services shall be available in the emergency service.  This list shall include the name, address, and telephone number of the following:
(1) Police department, if applicable.
(2) Blood bank, if applicable.
(3) Antivenin service.
(4) Burn center.
(5) Poison control information center.
(6) Director of State Department of Health Services or designee.
(7) Local health department.
(8) Clergy.
(9) Emergency psychiatric service.
(10) Chronic hemodialysis service.
(11) Intensive care newborn nursery (if applicable).
(12) Emergency maternity service (if applicable).
(13) Radiation accident management service.
(14) Ambulance transport and rescue services.
(15) County coroner or medical examiner.
(j) An appropriate committee of the correctional treatment center staff shall annually evaluate the services provided and make appropriate recommendations to the administration.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79767. Standby Emergency Medical Service, Physician on Call, Staff.
Note     •     History

(a) A physician shall have overall responsibility for the service.  That physician, or his or her designee, shall be responsible for:
(1) Implementation of established policies and procedures.
(2) Development of a system for assuring physician coverage on call 24-hours a day to the emergency medical service.
(3) Assurance that physician coverage is available within a reasonable length of time, relative to the inmate-patient's illness or injury.
(4) Development of a roster of specialty physicians available for consultation.
(5) Assurance of continuing education in emergency care procedures for the medical and nursing staff.
(b) All physicians, dentists and podiatrists providing services in the emergency treatment area shall be employed by the correctional treatment center.
(c) A registered nurse with training in emergency medical care shall be present or on call to the correctional treatment center at all times to provide emergency nursing care.
(d) There shall be sufficient other personnel to support the services offered.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79769. Standby Emergency Medical Service, Physician on Call, Equipment and Supplies.
Note     •     History

Equipment and supplies necessary for life support shall be available.  Equipment shall include, but not be limited to: airway control and ventilation equipment; suction devices; cardiac monitor defibrillator; intravenous fluids, including blood expanders; and administering devices.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79771. Standby Emergency Medical Service, Physician on Call, Space.
Note     •     History

(a) The following space provisions and designations shall be met:
(1) Designated emergency treatment area.
(2) Observation room.
(b) Observation beds in the emergency medical service shall not be counted in the total licensed bed capacity of the correctional treatment center.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
Article 5. Administration
§79773. Governing Body.
Note     •     History

(a) The governing body shall have full legal authority and responsibility for the operation of the correctional treatment center including compliance with all applicable laws and regulations.
(b) The governing body shall appoint a medical director with delegated authority to carry out the functions of the correctional treatment center and the responsibility for ensuring that the correctional treatment center conforms to all applicable federal, state and local laws and regulations.  The governing body shall appoint an administrator whose authority, qualifications and duties shall be defined in writing.
(c) The governing body shall adopt administrative policies and procedures designating in writing all services provided and shall oversee the management and fiscal affairs of the correctional treatment center.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New article 5 and section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79775. Medical Director.
Note     •     History

(a) Each correctional treatment center shall employ or otherwise provide a medical director.  The medical director shall be a licensed physician.  The medical director shall be responsible for the daily administration and clinical management of only one correctional treatment center unless both of the following apply:
(1) All facilities for which the medical director is responsible are in the same geographic region and are operated by the same governing body.
(2) The medical director shall designate a physician who is knowledgeable in the policies and procedures of the correctional treatment center to fulfill the functions of the medical director during the medical director's absence.
(b) The medical director shall be on the premises of the correctional treatment center a sufficient number of hours to attend to the clinical operation of the facility.  The Department may require the medical director to spend additional hours in the facility whenever the Department determines, through a written evaluation, that such additional hours are needed to provide adequate clinical direction of the correctional treatment center.
(c) The medical director's responsibilities, acting alone or through an organized medical staff, shall include:
(1) Establishing and approving policies and procedures for each basic and optional service provided by the correctional treatment center.  These policies and procedures shall be reviewed annually.
(2) Assuring the quality of medical care provided to all inmate-patients treated by the correctional treatment center.
(3) Reviewing and approving all protocols used by the correctional treatment center.
(4) Establishing and implementing a system of peer review pursuant to written procedures.
(5) Reviewing credentials and delineating clinical privileges for the licensed professionals providing services in the correctional treatment center.
(6) Assuring that a physician, physician's assistant, or registered nurse is available whenever medical services are provided.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79777. Administrator.
Note     •     History

(a) The governing body shall appoint an administrator.  The administrator's responsibilities include, but are not limited to, the following:
(1) Establishing written administrative, management and personnel policies and procedures.
(2) Maintaining policies and procedures for each basic and optional service provided by the correctional treatment center.  These policies and procedures shall be reviewed annually.
(3) Informing appropriate staff of applicable additions, deletions and changes to correctional treatment center regulations.
(4) Maintaining and monitoring contracts for professional consultant staff and health service support agencies.
(5) Reviewing employee accident and incident reports and taking appropriate corrective action.
(6) Assuring that current copies of the California Code of Regulations, Title 22 regulations pertaining to correctional treatment centers are available to all personnel.
(7) Assuring that the correctional treatment center provides only those services for which it is organized, staffed and equipped.
(8) Informing the Department within 24 hours of any unusual occurrences, as specified in these regulations.
(b) The medical director may perform the duties of the administrator.
(c) The administrator shall be in the correctional treatment center for a sufficient number of hours to permit adequate attention to the management and administration of the center.
(d) The administrator shall possess one of the following qualifications;
(1) A master's degree in health services administration and one year of experience in hospital administration in either a licensed skilled nursing facility or a general acute care hospital; or
(2) A master's degree in a health related field and two years of administrative experience in a state or local correctional health care setting; or
(3) A bachelor's degree in a health related field and four years of health related administrative experience.
(4) State civil service appointment as a correctional health services administrator.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79779. Administrative Policies and Procedures.
Note     •     History

(a) Written administrative, management and personnel policies shall be established and implemented to govern the administration and management of the correctional treatment center.  Policies and procedures shall not supersede the custody and security requirements of the correctional treatment center.
(b) Policies and procedures shall be reviewed at least annually, revised as needed, and approved in writing by the governing body.
(c) Each correctional treatment center shall establish at least the following:
(1) Personnel policies and procedures which shall include:
(A) Written job description detailing qualifications, duties and limitations of each classification of employee shall be available to all personnel.
(B) Employee orientation to facility, job, patient population, policies, procedures and staff.
(C) Staff development.
(D) Employee health.
(E) Verification of licensure, credentials and references.
(2) Policies and procedures for patient admission, leave of absence, transfer, discharge, categories of patients accepted and retained, types of services offered and limitations of services.
(3) Policies and procedures governing patient health records which shall be developed with the assistance of a person skilled in health record administration.
(4) Policies and procedures relating to the inmate-patient's right to refuse treatment when refusal of treatment results in a life-threatening situation.
(5) Policies and procedures governing conflict resolution shall address at least:
(A) The roles and responsibilities of medical and custodial personnel regarding the housing of inmate-patients in the correctional treatment center.
(B) The notification responsibilities of custodial personnel to health staff regarding any special security needs of inmate-patients admitted to the center.
(C) The notification responsibility of health care staff to custody staff regarding any special medical and mental health needs of the inmate-patient admitted to the correctional treatment center.
(d) The correctional treatment center shall have a written organizational chart showing the major programs of the facility, the person in charge of each program, the lines of authority, responsibility, and communication and the staff assignments.  Accountability and responsibility shall be defined.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79781. Required Committees.
Note     •     History

(a) Each correctional treatment center shall have at least the following committees: patient care policy, infection control and pharmaceutical service.
(b) Minutes of every committee meeting shall be maintained in the facility and indicate names of members present, date, length of meeting, subject matter discussed and action taken.
(c) In those correctional treatment centers where appropriate, these functions may be performed by a committee of the whole.
(d) Committee composition and function shall be as follows:
(1) Patient Care Policy Committee.
(A) A patient care policy committee shall establish  policies governing the following services: Physician, psychiatrist, psychologist, dental, nursing, dietetic, pharmaceutical, health records, housekeeping and such additional services as are provided by the facility.
(B) The committee shall be composed of at least the medical director, the administrator (if appointed), the director of nursing service, a pharmacist and a representative of each required service as appropriate.
(C) The committee shall meet at least annually.
(D) The patient care policy committee shall have the responsibility for reviewing and approving all policies relating to patient care.  Based on reports received from the facility administrator, the committee shall review the effectiveness of policy implementation and shall make recommendations for the improvement of patient care.
(E) The committee shall review patient care policies annually and revise as necessary.  Minutes shall list policies reviewed.
(F) The patient care policy committee shall implement the provisions of Health and Safety Code Sections 1315, 1316, and 1316.5, by means of written policies and procedures.
(G) Only physicians shall assume the overall medical care of patients, including performing the admitting history, and the physical examinations and the issuance of orders for medical care.
(2) Infection Control Committee.
(A) An infection control committee shall be responsible for infection control in the facility.
(B) The committee shall be composed of representatives from at least the following services; physician, nursing, administration, dietary, pharmaceutical, housekeeping, and laundry.
(C) The committee shall meet at least quarterly.
(D) The functions of the infection control committee shall include, but not be limited to:
1. Establishing, reviewing, monitoring and approving policies and procedures for investigating, controlling and preventing infections, including tuberculosis, in the correctional treatment center.  These shall be based on the 1990 recommendations of the Centers for Disease Control.
2. Maintaining, reviewing and reporting statistics of the number, types, sources and locations of infections within the facility. This shall include maintaining a confidentiality log which contains the dates and results of Mantoux tuberculin skin tests recorded in millimeters of induration and chest X-ray results of all correctional treatment center employees and inmate-patients.
(E) A registered nurse shall be assigned on a full-time or part-time basis to infection control surveillance.
(3) Pharmaceutical Service Committee.
(A) A pharmaceutical service committee shall direct the pharmaceutical services in the facility.
(B) The committee shall be composed of the following; a pharmacist, the director of nursing service, the administrator (if appointed), and the medical director or at least one physician.
(C) The committee shall meet at least quarterly.
(D) The functions of the pharmaceutical service committee shall include, but not be limited to:
1. Establishing, reviewing, monitoring and approving policies and procedures for the safe procurement, storage, distribution and use of drugs, biologicals, and chemicals.
2. Reviewing and taking appropriate action on the pharmacist's quarterly report.
3. Recommending measures for improvement of services and the selection of pharmaceutical reference materials.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j), 1254, 1315, 1316 and 1316.5, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79783. Use of Outside Resources.
Note     •     History

(a) If a correctional treatment center does not employ qualified personnel to render a specific service to be provided by the correctional treatment center, there shall be arrangements through a written agreement and/or contract with outside resources.  Outside resources shall meet the standards and requirements of all applicable regulations before an agreement and/or contract may be entered into and shall continue to meet all applicable regulations during the term of the agreement and/or contract.  Outside resources may include other facilities, organizations, individuals, or public or private agencies.
(b) Signed and dated copies of agreements, contracts, or written arrangements for advice, consultation, services, training or transportation, with outside resources shall be on file in the facility. Copies of these agreements and/or contracts shall be readily available for inspection and review by the Department.  The agreements and/or contracts shall include, but not be limited to, a description of the services to be provided, the financial arrangements, the methods by which the services are to be provided, the conditions upon which the agreement or contract can be terminated, signatures of parties to the agreement, and effective dates for the agreement.
(c) The governing body shall be responsible and accountable for all services provided through agreements and/or contracts.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code.  Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79785. First Aid and Referrals.
Note     •     History

If a correctional treatment center does not maintain an emergency medical service, its employees shall exercise reasonable care to determine whether an emergency exists, render necessary life-saving first aid, and transfer the inmate-patient to the nearest hospital that can render the needed services.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79787. Reporting.
Note     •     History

(a) Reportable communicable diseases shall be reported to the local health officer and all unusual occurrences shall be reported to the Department by the licensed correctional treatment center within twenty-four (24) hours, either by telephone with written confirmation or by telephone facsimile (FAX).
(b) The reporting of communicable diseases and outbreaks shall be in conformance with Sections 2500, 2502, 2503 and 2504 of Title 17, California Code of Regulations.
(c) Events constituting an unusual occurrence shall include, but not be limited to:
(1) Poisonings.
(2) Fires or explosions.
(3) Death of an inmate-patient, employee, or visitor because of unnatural causes.
(4) Sexual acts involving inmate-patients who are minors, nonconsenting adults, or persons incapable of consent.
(5) Physical assaults on inmate-patients, employees, or visitors.
(6) All suspected criminal acts involving inmate-patients, employees, or visitors.
(7) All suspected incidents of physical or sexual abuse to an inmate-patient.
(8) Unexplained or illicit disappearance or loss of an inmate-patient or inmate-patient remains.
(9) Disruption of services of the licensed correctional treatment center.
(d) The licensed correctional treatment center shall furnish other pertinent information related to such occurrences as the local health officer or the Department shall require.
(e) All reports required in this Section shall be retained on file by the licensed correctional treatment center for three (3) years.
(f) Every fire or explosion that occurs in or on the premises shall be additionally reported immediately to the local fire authority, or in the areas not having an organized fire service, to the State Fire Marshal.
(g) The local health officer of the county to which an inmate-patient is to be released shall be notified at least one day in advance before an inmate-patient on any tuberculosis medication is released from the correctional facility.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79789. Patient Transfer.
Note     •     History

(a) The licensee shall maintain written transfer agreements with one or more general acute care hospitals to make the services of those facilities accessible and to facilitate the transfer of patients. Complete and accurate patient information, in sufficient detail to provide for continuity of care, shall be transferred with the patient at the time of transfer. A copy of the current agreement shall be available for review by the Department.
(b) No patient shall be transferred or discharged for purposes of effecting a transfer from a facility to another facility, unless arrangements have been made in advance for admission to such a health facility.
(c) When a patient is transferred to another facility, the following shall be entered in the patient health record:
(1) The date, time, condition of the patient and a written statement of the reason for the transfer.
(2) Documentation that the receiving facility has been informed of the patient's transfer.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79791. Personnel Policies.
Note     •     History

(a) Each correctional treatment center shall adopt and implement written personnel policies concerning qualifications, responsibilities, and conditions of employment for each classification employed which shall be available to all personnel. Such policies shall include but not be limited to:
(1) Hours of work.
(2) A plan for orientation for all new staff members that shall ensure that all new staff providing program services shall receive at least 20 hours of orientation and training within 14 days of employment. Staff attendance shall be documented. Initial training shall include, but not be limited to, the following:
(A) Orientation to all policies, procedures and objectives of the facility.
(3) A plan for at least annual evaluation of employee performance.
(b) Provision of a continuing in-service education program designed to improve patient care and employee efficiency. This training shall be in compliance with Section 79797 of this Chapter. All staff members shall attend, and attendance shall be documented.
(c) Personnel policies shall require that employees and other persons working in or for the facility familiarize themselves with the California Code of Regulations, Title 22, pertaining to correction treatment centers and such other regulations as are applicable to their duties.
(d) The facility shall recruit qualified personnel.
(e) If language or communication barriers exist between facility staff and patients, arrangements shall be made for interpreters or for the use of other means to ensure adequate communications between patients and personnel.
(f) All correctional treatment center staff shall be subject to the reasonable application of security procedures necessary for the operation of the jail or prison. Written policy and procedures governing the application of security procedures to correctional treatment center programs and staff shall be developed and adopted by the jail or prison administrator with input from the correctional treatment center administrator or director. Correctional treatment center staff shall not be primarily responsible for the enforcement of security policies or procedures.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79793. Employee Personnel Records.
Note     •     History

(a) All facilities shall maintain personnel records of all employees. Such records shall be retained for at least three (3) years following termination of employment.
(b) The record shall include the employee's full name, Social Security number, the license or registration number, if any, a brief resume of experience, employment classification, date of beginning employment and date of termination of employment.
(c) Records of hours and dates worked by all employees during at least the most recent six-month period shall be kept on file at the place of employment.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79795. Employee Health Examinations and Health Records.
Note     •     History

(a) A health examination, performed by a person lawfully authorized to perform such an examination shall be performed as a prerequisite for employment within ninety (90) days prior to employment or within one (1) week after employment. Written examination reports, signed by the person performing the examination, shall verify that employees are able to perform assigned duties and do not have any health conditions that would create a hazard for the employee, fellow employees, patients or visitors.
(b) The initial health examination shall include a tuberculin skin test using the Mantoux method using a 5 Tuberculin Unit dose of Purified Protein Derivative (PPD) stabilized with Tween-80, the result of which is read and recorded in millimeters of induration. If the result is positive, a chest film shall be obtained. A tuberculin skin test need not be done on a person with a documented positive reaction to PPD but a baseline chest X-ray shall be obtained.
(1) Policies and procedures that address the identification, employment utilization and medical referral of persons with positive skin tests, including those who have converted from negative to positive, shall be written and implemented.
(2) An annual skin test for tuberculosis shall be performed on those individuals with a previously documented negative tuberculin skin test. If an individual with a previously documented negative skin test has a subsequent positive reaction, a chest X-ray shall be obtained.
(c) Employee health records shall be maintained by the facility, and shall include the records of all required health examinations. Such records shall be kept for a minimum of three (3) years following termination of employment.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79797. Staff Development.
Note     •     History

(a) Each correctional treatment center shall have an ongoing educational program planned and conducted for the development and improvement of necessary skills and knowledge for all facility personnel. Each program shall include but not be limited to:
(1) Orientation of all newly employed staff to all appropriate facility policies and procedures and specific job requirements.
(2) Prevention and control of infections.
(3) Fire prevention and safety.
(4) Cardiopulmonary resuscitation.
(5) All newly developed policies and procedures.
(6) Internal and external disaster plans.
(7) Applicable security policies and procedures of the correctional institution or detention facility.
(8) Suicide prevention techniques.
(b) Records shall be retained of all orientations and training and shall include date and time of training, title of presenter, summary of content and signatures of those attending.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79799. Inmate-Patients' Rights.
Note     •     History

(a) Written policies regarding the rights and restrictions of inmate-patients admitted to a correctional treatment center shall be established and implemented, and made available to the inmate-patient and to the public. Inmate-patients will be afforded such rights as are commonly afforded to medical/mental patients and are consistent with jail or prison policies and procedures. Such policies and procedures shall ensure that each inmate-patient admitted to the correctional treatment center shall have the following rights and be notified of the treatment center's obligations:
(1) To be fully informed, prior to or at the time of admission and during his or her stay, of these rights and of all rules and regulations governing inmate-patient conduct.
(2) To be fully informed, prior to, or at the time of admission and during his or her stay, of services available in the correctional treatment center.
(3) To be fully informed by a physician of his or her medical condition and to be afforded the opportunity to discuss medical treatment.
(4) To give informed consent or to refuse any treatment or procedure or participation in experimental research.
(5) To be informed of and provided access to grievance forms and procedures.
(6) To be free from mental and physical abuse.
(7) To be free from chemical and (except in emergencies) clinical and treatment restraints except when necessary to protect the patient from injury to himself or to others.
(8) To be assured confidential treatment of personal and medical records and to approve or refuse their release to any individual outside the correctional treatment center, except in the case of transfer to another health care facility, or as required by law or third party payment contract.
(9) To be treated with consideration, respect, and full recognition of dignity and individuality, including privacy in treatment and in care of personal needs, when not in conflict with security and custodial policies.
(10) To refuse convulsive treatment including, but not limited to, any electroconvulsive treatment, any treatment of a mental condition which depends on the induction of a convulsion by any means, and insulin coma treatment.
(11) To refuse psychosurgery as defined in Section 5325 of the Welfare and Institutions Code.
(12) To review his or her medical or psychiatric record upon request and consistent with statutory and case law.
(13) To be free from discrimination based on sex, race, color, religion, ancestry, national origin, sexual orientation, disability, medical condition, marital status, or registered domestic partner status.
(b) An inmate-patient's rights, as set forth above, may be denied or limited only for good cause which shall be evidenced by the written order of the attending physician or other person lawfully authorized to prescribe care, and may only be denied or limited if such denial or limitation is required by the reasonable application of security procedures or is otherwise authorized by law or regulation. Reasons for denial or limitation of such rights shall be documented by the attending physician in the inmate-patient's health record.
(c) If a patient lacks the ability to understand these rights and the nature and consequences of proposed treatment, the patient's representative shall have the rights specified in this section to the extent the right may devolve to another, unless the representative's authority is otherwise limited. The patient's incapacity shall be determined by a court in accordance with state law or by the patient's physician unless the physician's determination is disputed by the patient or patient's representative.
(d) These rights, written in English and Spanish, shall be prominently posted.
(e) Sections 863.1, 863.2, 865.2 and 865.5 of Title 9 of the California Code of Regulations pertaining to the assignment and duties of patients' advocate(s), good cause for denial of rights, and restoration of rights shall apply to every correctional treatment center, including the appointment of a patients' advocate for a correctional treatment center. These provisions are hereby incorporated by reference.
NOTE

Authority cited: Sections 1267.10(a), 1275 and 131200, Health and Safety Code. Reference: Section 51, Civil Code; Sections 297 and 297.5, Family Code; Sections 1250(j), 1254, 131050, 131051 and 131052, Health and Safety Code; and Section 5325, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
2. Change without regulatory effect adopting subsection (a)(13) and amending subsection (c) and Note filed 6-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 25).
§79801. Clinical Restraint, Treatment Restraint, and Clinical Seclusion.
Note     •     History

(a) Written policies and procedures concerning the use of clinical restraint, treatment restraint, and clinical seclusion shall be developed and approved by the correctional treatment center administration.
(b) Clinical restraint and clinical seclusion shall only be used on a written or verbal order of a psychiatrist or clinical psychologist. Clinical restraint shall additionally require a physician's or physician's assistant's or a nurse practitioner's (operating under the supervision of a physician) written or verbal approval. The order shall include the reason for restraint or seclusion and the types of restraints. Under emergency circumstances clinical restraint or clinical seclusion may be applied and then an approval and/or an order must be obtained as soon as possible, but at least within one hour of application. Emergency circumstances exist when there is a sudden marked change in the inmate-patient's condition so that action is immediately necessary for the preservation of life or the prevention of serious bodily harm to the inmate-patient or others, and it is impractical to first obtain an order and approval. Telephone orders and approvals for clinical restraint and clinical seclusion shall be received only by licensed medical and mental health care staff, shall be recorded immediately in the inmate-patient's health record, and shall be signed within twenty-four (24) hours.
(c) A physician shall complete a medical assessment of an inmate-patient at the earliest opportunity but not later than within twenty-four (24) hours after the inmate-patient has been  placed in clinical restraint or clinical seclusion.
(d) Clinical restraint, treatment restraint, and clinical seclusion shall only be used as a measure to prevent injury to self or others. Clinical restraint, treatment restraint, and clinical seclusion shall only be used when less restrictive alternative methods are not sufficient to protect the inmate-patient or others from injury, and shall not be used as punishment or as a substitute for more effective programming or for the convenience of the staff. Removing an inmate-patient from an activity or area to another unlocked area for a period of time as a way to use separation as a behavioral modification technique shall not be considered clinical seclusion.
(e) Each order for clinical restraint and clinical seclusion shall be in force no longer than twenty-four (24) hours.
(f) There shall be no PRN orders (as needed orders) for clinical restraint and clinical seclusion.
(g) An inmate-patient placed in clinical restraint shall be physically checked at least every fifteen (15) minutes by nursing staff to assure that the restraints remain properly applied, that circulation is not impaired, that the inmate-patient is not in danger of harming himself or herself, and that other medical problems are not present. Routine range of motion exercises shall be done with clinically restrained inmate-patients. Fluids and nourishment shall be provided every two (2) hours, except during sleep. An inmate-patient placed in clinical seclusion shall be observed by nursing staff at least every fifteen (15) minutes. A written record shall be kept of these checks and range of motion exercises and maintained in the individual inmate-patient's health record.
(h) The inmate-patient's health record shall include written justification for the application of clinical restraints, note the times of application and removal of restraints and document the inmate-patient's status and the judgment of the physician or clinical psychologist on the necessity for continuation of clinical  restraints at a minimum of once every twenty-four (24) hours.
(i) Clinical and treatment restraints shall be used in such a way as to minimize the risk of physical injury to the inmate-patient and to ensure the least possible discomfort. Minimum force shall be used. Belts and cuffs shall be well padded.
(j) Clinical restraints shall be placed on inmate-patients only in an area that is under direct observation of staff. Such inmate-patients shall be afforded protection from other inmate-patients who may also be in the area.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code; and Section 5325, Welfare and Institutions Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79803. Health Record Service.
Note     •     History

(a) The correctional treatment center shall maintain a health record service in accordance with accepted professional standards and practices. The health record service shall have sufficient staff, facilities, and equipment, and be conveniently located to facilitate the accurate processing, checking, indexing and filing of all health records.
(b) The health record service shall be under the direction of a staff member with at least two years of training and experience in records administration, at a level of responsibility equivalent to a health record technician, or a medical record technician. This designated staff member shall be assisted by such qualified personnel as are necessary to conduct the service. A registered record administrator or accredited records technician shall provide consultation on at least a quarterly basis to designated staff members responsible for record administration.
(c) If a facility, in addition to inpatient services, is providing outpatient, emergency, day treatment, or crisis intervention service, a unit health record system shall be established.
(d) The facility shall have a continuing system of collecting and recording data that describe patients served in such form as to provide for continuity of care, program services, and data retrieval for program patient care evaluation and research. Health records shall be stored and systematically organized to facilitate retrieval of information. Retrievability shall be assured by the use of an acceptable coding system such as the latest version of the International Classification of Diseases (ICD-9).
(e) Policies and procedures shall be established and implemented to ensure the confidentiality of access to patient health information, in accordance with federal, state and local laws and acceptable standards of practice.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79805. Inmate-Patient Health Record Content.
Note     •     History

(a) Each inmate-patient's health record for inpatient services shall consist of at least the following:
(1) Admission and discharge record identification data including, but not limited to, the following:
(A) Name.
(B) Inmate-patient identification number.
(C) Date of Birth.
(D) Sex.
(E) Marital status.
(F) Religion (optional on part of inmate-patient).
(G) Date of admission.
(H) Date of discharge.
(I) Name, address and telephone number of person or agency responsible for the inmate-patient, or next of kin.
(J) Initial diagnostic impression.
(K) Discharge or final diagnosis.
(2) Mental status.
(3) Admission medical history and physical within 24 hours of admission. This shall include written documentation of a Mantoux tuberculin skin test within the past year, unless a previously positive reaction can be documented or completion of adequate preventive therapy or adequate therapy for active disease can be documented. If no written documentation is available, the Mantoux tuberculin skin test shall be administered within 24 hours of admission, and recorded in millimeters of induration in the medical history.
(4) Dated and signed observations and progress notes recorded as often as the inmate-patient's condition warrants by the person responsible for the care of the inmate-patient.
(5) Consultation reports.
(6) Medication, treatment and diet orders.
(7) Social service evaluation, if applicable.
(8) Psychological evaluation, if applicable.
(9) Dated and signed health care notes including, but not limited to, the following:
(A) Patient care plan.
(B) Concise and accurate records of nursing care provided.
(C) Records of pertinent nursing observations of the inmate-patient and the inmate-patient's response to treatment.
(D) The reasons for the use of and the response of the inmate-patient to PRN medication administered and justification for withholding scheduled medications.
(E) Record of type of restraint, including time of application and removal.
(F) Rehabilitation evaluation, if applicable.
(G) Interdisciplinary treatment plan, if applicable.
(H) Progress notes including the patient's response to medication and treatment rendered and observation(s) of patient by all members of treatment team providing services to the patient.
(I) Medication records including name, dosage, and time of administration of medications, and treatments given. The route of administration and site of injection shall be recorded if other than by oral administration.
(J) Treatment records including group and individual psychotherapy, occupational therapy, recreational or other therapeutic activities provided.
(K) Vital sign record sheet.
(L) Consent forms as required, signed by the inmate-patient or the appropriate surrogate decision maker.
(M) All dental records, if applicable.
(N) Records of all laboratory tests ordered.
(O) Reports of all cardiographic or encephalographic tests performed.
(P) Reports of all X-ray examinations ordered.
(Q) All reports of special studies ordered.
(R) A discharge summary prepared by the admitting or primary care practitioner which shall recapitulate the significant findings and events of the inmate patient's treatment, his/her condition on discharge and the recommendation and arrangements for future care.
(S) Discharge or transfer information and continue care instructions.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79807. Inmate-Patient Health Record Availability.
Note     •     History

(a) Records shall be kept on all inmate-patients admitted or accepted for treatment. All required records, either as originals or as accurate reproductions of the contents of such originals, shall be maintained in a confidential manner, and be legible, and readily accessible upon request of persons authorized by law to have access to such records including, but not limited to persons authorized pursuant to Health and Safety Code, Section 1795 et seq., those professional persons who are providing services to the patient and authorized representatives of the Department.
(b) The correctional treatment center shall safeguard the information in the record against loss, defacement, tampering, or use by unauthorized persons.
(c) Inmate-patient health records or reproductions thereof, shall be safely preserved for a minimum of seven years following discharge of the inmate-patient, except that the records of unemancipated minors shall be kept at least one year after such minor has reached the age of 18 years and, in any case, not less than seven years.
(d) If a correctional treatment center ceases operation, the Department shall be informed, within 48 hours prior to cessation, of the arrangements made for safe preservation of inmate-patient health records.
(e) Inmate-patient records shall be filed in an easily accessible manner in the facility or in an approved health record storage facility off the facility premises.
(f) Inmate-patient records shall be completed within 14 days following the inmate-patient's discharge.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79809. Transfer Summary.
Note     •     History

A transfer summary shall accompany or precede the inmate-patient upon transfer to another facility where continuing care will be provided. The transfer summary shall include essential information relative to the inmate-patient's diagnosis, treatment course, medications, dietary requirements, known allergies and treatment plan.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79811. Fire and Internal Disasters.
Note     •     History

(a) A written fire and internal disaster program, incorporating evacuation procedures, shall be developed with the assistance of local fire, safety and other appropriate experts. A copy of the program shall be available on the premises for review by the Department.
(b) The written program shall be implemented in the event of a fire, or internal or external disaster, and shall include but not be limited to the following:
(1) Plans for the assignment of personnel to specific tasks and responsibilities.
(2) Instructions relating to the use of alarm systems and signals.
(3) Information concerning methods of fire containment.
(4) Systems for notification of appropriate persons.
(5) Information concerning the location of fire fighting equipment.
(6) Identification of evacuation routes and procedures.
(7) Other provisions as the local situation dictates.
(c) Fire and internal and external disaster drills shall be held at least semi-annually for each shift of facility personnel and under various conditions. Actual evacuation of patients during a drill is optional.
(d) The evacuation plan shall be available in the correctional treatment center and shall include but not be limited to the following:
(1) Evacuation routes.
(2) Location of fire alarm boxes.
(3) Location of fire extinguishers.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79813. Custodial Personnel.
Note     •     History

(a) Custodial personnel, or other nonmedical staff, may perform patient care support activities. At no time shall custodial personnel be used as replacements for required nursing staff.
(b) Custodial personnel assigned to the correctional treatment center shall receive orientation to the correctional treatment center and instruction in any patient care support activity they will perform prior to commencing the activity. Permitted inmate-patient care support activities, conducted in conjunction with nursing staff, may include:
(1) Supervision of ambulatory, self-care inmate-patients.
(2) The serving of meals to self-feed inmate-patients.
(3) The serving of snacks or nourishment to inmate-patients.
(4) Ambulating (exercising) independent, ambulatory inmate-patients.
(5) Holding or immobilizing a patient during a treatment or a diagnostic procedure.
(6) Observation of inmate-patient mental behavior in conjunction with regular observation performed by nursing staff.
(7) Cardiopulmonary resuscitation and first aid, in emergencies, by personnel certified to perform those specific activities.
(c) Custodial personnel shall not perform any inmate-patient care activity requiring any of the following:
(1) Medical record documentation.
(2) Specialized training or medical knowledge, except first aid and cardiopulmonary resuscitation by certified personnel.
(3) Medication or treatment administration.
(4) Direct inmate-patient treatment contact, e.g., bathing, feeding, repositioning, and dressings.
(d) Custodial personnel and other nonmedical staff assigned to the correctional treatment center shall be subject to the employee health requirements of Section 79795 of this Chapter.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79815. Inmate-Patient Identification.
Note     •     History

Each inmate-patient shall be provided with a wristband identification tag or other means of identification which shall be worn at all times. Minimum information shall include the name of the inmate-patient and the name of the correctional treatment center and/or correctional institution.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79817. Equipment and Supplies.
Note     •     History

(a) Equipment and supplies in each correctional treatment center shall be of the quality and in the quantity necessary for care of inmate-patients as ordered or indicated. At least the following items shall be provided and properly maintained at all times:
(1) Airways.
(2) Bedpans.
(3) Catheter equipment.
(4) Clerical supplies and equipment.
(5) Denture cups.
(6) Drug service trays and/or carts.
(7) Ear syringes.
(8) Emergency oxygen supply and equipment for administration.
(9) Emesis basins.
(10) Examination light.
(11) First aid supplies, as determined by the patient care policy committee.
(12) Flashlights.
(13) Gloves (sterile and unsterile).
(14) Ice caps.
(15) Intravenous therapy supplies, if the correctional treatment center provides such services.
(16) Medicine droppers.
(17) Medicine glasses, cups, or other small containers which are accurately calibrated.
(18) Mortar and pestle.
(19) Rectal speculum.
(20) Refrigerator with accurate thermometer.
(21) Rubber tubing.
(22) Scales for weighing all inmate-patients.
(23) Shower and commode chairs, wheelchairs, and walkers.
(24) Soap for bathing.
(25) Soap dishes or soap containers.
(26) Sphygmomanometers/cuffs.
(27) Sterile dressings.
(28) Stethoscopes.
(29) Suction apparatus.
(30) Suture tray.
(31) Suture removal equipment.
(32) Syringes and needles.
(33) Test supplies necessary to perform urine sugar and acetone testing.
(34) Thermometers.
(35) Tongue depressors.
(36) Urinals.
(37) Vaginal speculum, if applicable.
(38) Washbasins.
(39) Water pitchers and drinking vessels.
(b) The correctional treatment center shall provide current authoritative, pertinent, basic books, periodicals and reference materials related to all services provided. At least the following shall be provided:
(1) Dictionaries, medical and standard.
(2) Directories of available community resources.
(3) A selection of current health care publications.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
Article 6. Physical Plant and Safety
§79819. Alterations to Existing Buildings or New Construction.
Note     •     History

(a) Alterations to existing buildings licensed as correctional treatment centers or new construction shall be in conformance with Chapter 10F, Part 2, Title 24, California Code of Regulations, other applicable sections of the California Building Standards Code, and the requirements of the State Fire Marshal.
(b) Facilities licensed or subject to licensure and in operation prior to the effective date of Title 24 regulations for correctional treatment centers shall not be required to institute corrective alternatives or construction to comply with such new requirements except where specifically required or where the Department determines that a definite hazard to health and safety exists. Any facility for which preliminary or working drawings and specifications have been approved by the Office of Statewide Health Planning and Development prior to the effective date of changes to construction regulations shall not be required to comply with such new requirements provided substantial actual construction is commenced within one year of the effective date of the new requirements.
(c) Patients and/or correctional treatment center services shall not occupy buildings or spaces which have been remodeled or newly constructed without the written approval of the Department.
(d) The correctional treatment center shall maintain in operating condition all buildings, fixed equipment, utilities and spaces in the numbers and types as specified in the construction requirements under which the facility or unit was first licensed, unless the correctional treatment center has made alterations in compliance with subsequent requirements.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1275 and 15007, Health and Safety Code.
HISTORY

1. New article 6 and section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79821. Space Conversion and Remodeling.
Note     •     History

(a) Spaces approved for specific uses at the time of licensure shall not be converted to other uses or remodeled without the written approval of the Department, and shall also be in compliance with the requirements of the California Building Standards Code and the State Fire Marshal.
(b) Where remodeling, space conversion or new construction involves displacement or disruption of services which result in relocating a patient, the facility shall develop an implementation plan. Such plans shall be submitted to and be approved by the Department.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1276 and 15007, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79823. Inmate-Patient Capacity.
Note     •     History

(a) A correctional treatment center shall not have more inmate-patient or beds set up for use than the number for which it is licensed, except in case of emergency when temporary permission may be granted by the Director or designee.
(b) Inmate-patients shall not be housed in areas which have not been approved by the Department for inmate-patient housing and which have not been given a fire clearance by the State Fire Marshal except as provided in subsection (a) above.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1275 and 15007, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79825. Fire Safety.
Note     •     History

All correctional treatment centers shall be maintained in conformity with the regulations adopted by the State Fire Marshal for the prevention of fire and for protection of life and property against fire and panic. All correctional treatment centers shall secure and maintain fire safety clearance from the State Fire Marshal's office or its designee.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79827. Inmate-Patient Rooms.
Note     •     History

(a) Each inmate-patient room shall be labeled with a number, letter, or combination of the two for identification.
(b) Inmate-patients shall be accommodated only in rooms meeting the space requirements of Section 1015F(a), Chapter 10F, Part 2, Title 24, California Code of Regulations.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79829. Inmate-Patient Room Furnishings.
Note     •     History

(a) A clean, comfortable bed with a mattress, pillow, blankets, bed linen and provisions for the storage of personal items shall be provided for each licensed bed. All furnishings will be in good repair and suitable for special inmate-patient needs.
(b) Adjustable beds, side rails and overbed tables shall be provided as required by the inmate-patient's condition.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79831. Special Rooms.
Note     •     History

Special rooms shall be maintained for the isolation of a single patient in the ratio of one room for each 35 beds or major fraction thereof. These rooms shall be used for isolation of inmate-patients with infectious disease, acute or terminal illness, or those who become agitated and create a disturbance. At least one special room shall be maintained with toilets, hand washing and bathing or showering facilities which are not shared with other inmate-patients. These rooms shall also comply with applicable provisions of the California Building Standards Code regarding isolation rooms.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79833. Provision for Emptying Bedpans.
Note     •     History

(a) Bedpans shall be emptied and cleaned in soiled utility rooms or in toilets adjoining or within patients' rooms. Such toilets shall be equipped with flushing attachments for bedpan washing and vacuum breakers.
(b) Utility rooms shall be maintained in each correctional treatment center and shall be designed for separation of clean and dirty work areas. Separate clean and dirty utility rooms may be provided alternatively. Each utility room shall include a work counter, a hand washing fixture, and a rim flush clinic sink.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79835. Central Sterile Supply.
Note     •     History

(a) The correctional treatment center shall have a sufficient supply of properly sterilized equipment and materials for the patient care needs.
(b) The correctional treatment center shall provide for the storage of a sufficient supply of sterile materials and shall have a system to dispense them throughout the correctional treatment center. The area in which the sterile materials are stored and dispensed shall be designated, equipped and staffed for this purpose.
(c) A specific person shall be designated to be in charge of the central sterile supply.
(d) There shall be written procedures developed and implemented pertaining to the preparation, handling and distribution of sterile supplies and equipment.
(e) There shall be effective separation of soiled or contaminated supplies and equipment from the clean or sterile supplies and equipment to prevent cross-contamination of the clean or sterile supplies and equipment.
(f) Sterile supplies and equipment shall be stored in clean cabinets, cupboards or on clean shelves. An orderly system of rotation and utilization of sterile supplies shall be used based on the shelf life of the wrap.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79837. Preparation of Sterile Supplies and Equipment.
Note     •     History

(a) The processing and sterilizing of equipment and supplies shall be under the supervision of a person who has knowledge of principles of cleaning, sterilizing and infection control as evidenced by training and experience.
(b) Policies and procedures shall be developed, maintained and implemented on the proper decontamination, disinfection and sterilization of equipment and supplies. Procedures shall include, but not be limited to, the following:
(1) Proper techniques for utilization of the sterilization equipment, including the loading and unloading of equipment and supplies.
(2) Establishing the proper parameters for sterilization, e.g., temperature, pressure and period of exposure for steam sterilization.
(3) Length of aeration period of gas sterilized items.
(4) Packaging, labeling and dating of sterilized items, including date of sterilization and expiration of safe shelf life.
(5) A recall system including quarantine periods and procedures to be implemented in the event of a recall.
(c) The efficacy of the sterilization process shall be verified at least weekly by the use of appropriate biological indicators. All sterilized items shall be provided with appropriate physical indicators to verify that they have been exposed to the sterilization process. For gas sterilizers, a biological test shall be incorporated into each sterilizing cycle.
(d) Each sterilizer shall be identifiable to facilitate any necessary recall actions.
(e) Where appropriate, records shall be made of relevant sterilization parameters to confirm the adequacy of each sterilization cycle, and the records shall be retained for at least three years.
(f) Sterilizers shall be maintained in proper operating condition. A sterilizer no longer in use shall be conspicuously labeled as nonoperational and disconnected from steam or gas lines.
(g) If sterilized equipment and/or supplies are obtained from an outside source, the correctional treatment center shall assure that the provider meets the same or comparable standards as set forth in this regulation.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79839. Call Systems.
Note     •     History

(a) A call system shall be maintained in operating order in all nursing units. Call systems shall be maintained to provide visible and audible signal communication between nursing personnel and patients. The minimum requirements shall be:
(1)  A call station or stations providing readily accessible patient controls to each patient bed.
(2) A visible signal in the corridor above or adjacent to the door of each patient room.
(3) An audible signal and light, on a continuous or intermittent basis indicating the room from which the call originates shall be located at the nurses' stations. Alternate systems must be approved in writing by the Department.
(b) The call system shall be extended to each patient's toilet room, bathroom and shower room in locations easily accessible to the patients.
(c) The call systems shall be designed to require resetting at the place of origin unless a two-way voice communication component is included in the system.
(d) The requirements for call systems in psychiatric units serving ambulatory patients may be waived by the Department.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79841. General Maintenance.
Note     •     History

(a) The correctional treatment center shall be in good repair and working order.
(b) The correctional treatment center shall have an organized program to ensure that the buildings and grounds are reasonably free of environmental hazards and nuisances which may adversely affect the health or well-being of patients, personnel and visitors.
(c) The fixed equipment of the correctional treatment center shall be in proper working order. The correctional treatment center shall have an organized program for the routine inspection, testing and maintenance of the hospital's fixed equipment including the heating, air conditioning and ventilation systems, all fire warning and fire safety systems, and other building support systems which are identified by hospital policy as capable of creating a significant physical or environmental hazard if not properly maintained.
(d) The patient care equipment of the correctional treatment center shall be in proper working order. The correctional treatment center shall have an organized program for the routine inspection, maintenance and calibration of the correctional treatment center's diagnostic, therapeutic and other patient care equipment identified by correctional treatment center policies as posing a significant risk to patients if not properly maintained.
(e) The correctional treatment center's maintenance program for fixed and patient care equipment shall include the following:
(1) A written policy identifying the types of hospital equipment likely to cause risk to patients if not properly maintained.
(2) Written procedures specifying the scope of the inspection, testing and maintenance to be performed on the equipment. The procedures shall be consistent with current standards related to health care equipment established by nationally recognized safety agencies.
(3) Nominal inspection, testing and/or maintenance intervals for the equipment. Testing shall be performed prior to initial use and thereafter at intervals consistent with current standards established by nationally recognized safety agencies, but not exceeding 12 months. Inspection and/or testing shall be completed within 60 days of the established interval.
(4) Records documenting the inspection, testing and maintenance performed. Such records shall be maintained for at least three years.
(f) All equipment used for inspection and testing shall be included in the documented calibration program to assure its accuracy. Records shall be kept for at least three years.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79843. Housekeeping.
Note     •     History

The correctional treatment center shall be kept in a clean, safe, orderly, and sanitary condition, free from offensive odors.
(a) Each correctional treatment center shall make provision for the routine cleaning of articles and surfaces such as furniture, floors, walls, ceilings, supply and exhaust grills and lighting fixtures with a detergent and/or disinfectant as appropriate.
(b) There shall be written policies and procedures developed and implemented to include but not limited to the following:
(1) Cleaning of occupied patient areas, nurses' stations, work areas, halls, entrances, storage areas, rest rooms, laundry, pharmacy and offices.
(2) Cleaning of specialized care areas such as operating rooms.
(3) Cleaning of isolation areas.
(4) Cleaning of kitchen and associated areas.
(5) Cleaning of walls and ceilings.
(6) Terminal cleaning of patient unit upon discharge of patient.
(7) Utilization of housekeeping cleaning supplies and equipment.
(c) The correctional treatment center shall designate a specific person to be in charge of the housekeeping services, who shall also participate in the correctional treatment center's infection control committee.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79845. Electrical Systems.
Note     •     History

(a) The electrical system shall be in conformance with the California Building Standards Code.
(b) Emergency power and lighting.
(1) The emergency power system/generator shall be maintained in operating condition to provide automatic restoration of power to the correctional treatment center's essential systems within ten (10) seconds after the loss of primary power.
(2) The readiness of the batteries or other starting mechanism shall be verified at intervals not exceeding seven (7) days. The generator(s) shall be started and run under the connected load for a period of not less than thirty (30) minutes at least once every thirty (30) days. Once a year the emergency power system/generator shall be operated under connected load until the engine has reached the normal operating temperatures specified by the manufacturer, but for a period of not less than five (5) hours.
(3) A written record of all tests and maintenance performed, inspection performance, exercising period and repairs shall be maintained and kept for three (3) years.
(c) The correctional treatment center shall have an electrical system which provides adequate levels of power and lighting in a safe manner to all of the facility's electrically powered equipment and systems.
(d) Electrical outlets shall be tested for proper polarity and tension upon installation and replacement. Electrical outlets in patient care areas shall be tested for tension at least annually.
(e) Environmental electrical safety conditions in patient care areas shall be checked at least annually. At a minimum, this shall include a visual inspection of the electrical outlets and light fixtures.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79847. Storage and Disposal of Solid Waste.
Note     •     History

(a) Solid waste shall be stored and disposed of in a manner which minimizes the risk of transmitting communicable disease. These wastes shall not be a nuisance or a breeding place for insects or rodents nor be a food source for either.
(b) Solid waste containers shall be stored and located in a manner that will protect against odors.
(c) Syringes and needles shall be disposed of safely as biohazardous and/or radioactive waste in puncture proof containers, in accordance with Health and Safety Code Sections 25080 through 25082, pertaining to medical waste and, if applicable, the California Code of Regulations, Title 17, Chapter 5, Subchapter 4, Group 1, Article 1, Sections 30285 and 30289, pertaining to radioactive materials.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79849. Solid Waste Containers.
Note     •     History

(a) All containers, used for storage or transporting of solid wastes, shall be in good repair and be leakproof and rodent proof.
(b) Movable containers shall additionally have the approval of the local health department if applicable.
(c) All containers holding or receiving medical or putrescible wastes shall have tight-fitting covers and shall be emptied at least every four (4) days, or more often if necessary.
(d) Solid waste containers shall be thoroughly washed and cleaned each time they are emptied unless soil contact surfaces have been completely protected from contamination by disposable liners, bags or other devices removed with the waste. Each movable bin shall provide for suitable access and a drainage device to allow complete cleaning at the storage area.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250, 1276, 25117 and 25117.5, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79851. Medical Waste.
Note     •     History

Medical waste, as defined in Health and Safety Code Section 25023.2, shall be handled and disposed of in accordance with the Medical Waste Management Act, Health and Safety Code Section 25015 et seq. and the regulations adopted thereunder, California Code of Regulations, Title 22, Division 4, Chapter 21, Articles 1 through 4, commencing with Section 65600 and ending with Section 65628.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j), 1254 and 25023.2, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79853. Gases for Medical Use.
Note     •     History

(a) Provision shall be made for safe handling and storage of medical gas cylinders, by the type of gas and its associated hazards.
(b) Transfer of gas by facility personnel from one cylinder to another is prohibited except when approved by the Department.
(c) The correctional treatment center shall insure that connections for different medical gas supplies are not interchangeable.
(d) Where a medical gas distribution system is provided, the correctional treatment center shall maintain a complete and current set of written test results which confirm that the proper gases are being provided at all of the system outlets. Testing shall be performed prior to initial use, and for all potentially affected outlets after any modification or breach of the system which could possibly result in a cross connection. The outlets shall be tested for conformance to appropriate gas delivery parameters e.g., flow and pressure and proper operation of the alarms.
(e) The correctional treatment center shall have a written procedure for ensuring an adequate supply of medical gases for normal and emergency operating conditions.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79855. Water Supply and Plumbing.
Note     •     History

(a) Plumbing and drainage facilities shall be in compliance with the California Building Standards Code.
(b) Water for human consumption from an independent source, such as private wells, shall be subjected to bacteriological analysis by the local health department, State Department of Health Services or a licensed commercial laboratory at least every three (3) months. A copy of the most recent laboratory report shall be available for inspection.
(c) Plumbing fixtures including backflow preventers shall be maintained in operating condition.
(d) For hot water used by or readily accessible to patients, there shall be temperature controls to automatically regulate the temperature between 40.50C (1050F) and 48.90C (1200F).
(e) Hot water at a minimum temperature of 82.20C (1800F) shall be maintained at the final rinse section of dish washing facilities unless alternate methods are approved by the Department.
(f) Taps delivering water at 51.60C (1250F) or higher shall be identified prominently by warning signs with letters 5cm (2 inches) high.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79857. Lighting.
Note     •     History

Adequate illumination shall be maintained for the comfort and safety of inmate-patients and staff, and shall be in compliance with the California Building Standards Code.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79859. Heating, Ventilating, and Air Conditioning.
Note     •     History

(a) Heating, ventilating and air conditioning shall be in compliance with the California Building Standards Code and shall be maintained to assure the systems are in operating condition to provide comfortable environmental conditions.
(b) Air filters.
(1) All filters shall be inspected and tested at least every three (3) months and cleaned or replaced as necessary to maintain adequate ventilation flow rates and filtration integrity.
(2) Written records documenting air filter inspections, testing and servicing reports shall be maintained and kept for three (3) years.
(A) Testing shall include but not be limited to static pressure drop across each filter bank.
(B) Replacement filters shall have efficiency ratings not less than the most recently permitted by the Office of Statewide Health Planning and Development for the subject air handling unit.
(C) Following filter replacement or cleaning, the installation shall be visually inspected for torn media and bypass in filter frames by means of a flashlight or equivalent, both with fans in operation and stopped. Tears in filter media and bypass in filter frames shall be eliminated in accordance with the manufacturer's directions and as required by the Department.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
§79861. Laundry Service.
Note     •     History

(a) Laundry and linen.
(1) An adequate supply of serviceable clean linen shall be provided to meet the needs of the correctional treatment center. This shall include, but not be limited to, at least three (3) complete bed changes for the correctional treatment center's licensed bed capacity.
(2) There shall be written policies and procedures developed and implemented supporting infection control policies in the handling, storage, transportation and processing of linens. Such policies shall be reviewed and approved by the infection control committee.
(3) If the facility operates its own laundry, such laundry shall be:
(A) Located in such relationship to other areas that steam, odors, lint and objectionable noises do not reach patient care, dining or kitchen areas.
(B) Well-lighted, ventilated and adequate in size for the needs of the hospital and for safe operation.
(C) Maintained in a sanitary manner and kept in good repair.
(D) Not part of a storage area.
(4) The laundering of correctional treatment center linens shall comply with the following:
(A) All linens shall be washed using an effective soap or detergent and thoroughly rinsed to remove soap or detergent and soil. Linens shall be exposed to water at a minimum temperature of 710C (1600F) for at least 24 minutes during the washing process, or a lower temperature of 600C (1400F) for 24 minutes may be utilized if the linens are subsequently passed through a flatwork ironer at 110-115 feet per minute at a temperature of 3000F. or a tumbler dryer at a temperature of 1800F.
(B) The facility shall implement a procedure for affirming the efficacy of the laundry process, including quarterly sample testing procedures for bacterial, chemical and stain residue and overall fabric quality.
(5) Clean linen and soiled linen shall be stored in separate rooms of the facility. Linen storage rooms in the laundry area shall be adequate in size for the needs of the correctional treatment center and shall not be used for any other purpose.
(6) Laundry personnel shall be provided hand washing and toilet facilities at locations convenient to the laundry, to avoid traversing patient and dietary areas.
(7) Soiled and clean linen carts shall be so labeled and provided with covers made of washable or cleanable materials. The carts and covers shall be maintained in a clean condition. Linen carts used for the storage or transportation of dirty linen shall be thoroughly washed before being used for the storage and transportation of clean linen.
(8) If the correctional treatment center does not maintain a laundry service, the commercial laundry utilized shall meet the standards of this Section.
(b) Soiled linen.
(1) Soiled linen shall be handled, stored and processed in a safe manner to prevent the spread of infection.
(2) Policies and procedures shall be developed and implemented pertaining to linen from isolation rooms and pathology and linen soiled with chemotherapeutic agents or radioactive substances.
(3) Soiled linen shall be sorted in a separate enclosed room by a person instructed in methods of protection from contamination. This person shall not have responsibility for immediately handling clean linen  until protective attire worn in the soiled linen area is removed, hands are washed, and other hospital infection control procedures observed.
(4) Soiled linen shall be stored and transported in a closed container which prevents airborne contamination of corridors, dietary areas and areas occupied by patients, and also precludes the cross-contamination of clean linen.
(5) Chutes shall not be used for transporting soiled linen in correctional treatment centers constructed after the effective date of this regulation. If chutes are utilized in correctional treatment centers constructed before the effective date of this regulation, they shall be maintained in a clean, sanitary state.
(c) Clean linen.
(1) Clean linen shall be sorted, handled and transported in such a manner as to prevent contamination.
(2) Clean linen carts shall be used only for the purpose of transportation or storage of clean linen.
(3) Staff persons processing clean linen shall be dressed in clean garments at all times while on duty, and shall not handle soiled linen unless appropriate infection control procedures are observed.
(4) Clean linen from a commercial laundry shall be delivered to the correctional treatment center completely wrapped and delivered to a designated clean area.
(5) Clean linen in patient care units shall be stored in clean locations such as ventilated closets or clean utility rooms.
(6) If clean linen is stored in the laundry area, it shall be stored in a room separate from the sorting room, laundry room or soiled linen room. A partial partition or a curtain does not meet the requirements of this subsection.
NOTE

Authority cited: Sections 208(a) and 1267.10(a), Health and  Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 6-10-94; operative 1-1-96 pursuant to Health and Safety Code section 1250 (Register 94, No. 23).
Division 6. Licensing of Community Care Facilities

(Originally Printed 8-2-75)
Chapter 1. General Licensing Requirements
Article 1. General Definitions
§80000. General.
Note     •     History

(a) The general regulations in this chapter shall apply to all community care facilities regulated by Division 6, Chapters 2, 4 through 7, and Chapter 9, except where specifically exempted. Additional or special requirements found in the corresponding chapters pertaining to each category shall apply only to such individual facility categories.
(b) The licensee shall ensure compliance with all applicable law and regulation.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501, 1502, 1502(a)(7), 1530 and 1531, Health and Safety Code.
HISTORY

1. *Repealer of chapter 1 (articles 1-7, sections 80001-80967, not consecutive) and new chapter 1 (articles 1-7, sections 80000-80088, not consecutive) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42). For prior history, see Registers 81, Nos. 39 and 31; 80, Nos. 39, 24, 23, 11,10, 9, 8 and 7; 79, Nos. 44, 15 and 5; 78, Nos. 51, 44 and 26; 77, No. 2; 76, Nos. 41, 21 and 4; and 75, No. 31.
. * The reorganization of chapter 1 is printed as a repealer and adoption for clarity.
2. Amendment filed 12-30-83; designated effective 1-1-84 pursuant to Government Code section 11346.2(d) (Register 83, No. 53).
3. Change without regulatory effect repealing subsections (f) and (g) filed 1-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 8).
4. Repealer of subsection (f) filed 1-7-91; effective 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
5. Change without regulatory effect repealing subsections (c), (d), and (e) filed 5-28-91; effective 5-28-91, pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
6. Editorial correction restoring History 3 and renumbering subsequent History Notes (Register 95, No. 25).
7. Amendment of subsection (a) filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§80001. Definitions.
Note     •     History

The following general definitions shall apply wherever the terms are used throughout Division 6, Chapters 1, 2, 4 through 7, and Chapter 9, except where specifically noted otherwise. Additional definitions found at the beginning of each chapter in this division shall apply only to such specific facility category.
(a)(1) “Activities of Daily Living” (ADLs) mean the following six activities:
(A) Bathing: Cleaning the body using a tub, shower or sponge bath, including getting a basin of water, managing faucets, getting in and out of tub or shower, reaching head and body parts for soaping, rinsing and drying.
(B) Dressing: Putting on and taking off, fastening and unfastening garments and undergarments and special devices such as back or leg braces, corsets, elastic stockings/garments and artificial limbs or splints.
(C) Toileting: Getting on and off a toilet or commode, emptying a commode, managing clothes, wiping and cleaning the body after toileting, and using and emptying a bedpan and urinal.
(D) Transferring: Moving from one sitting or lying position to another sitting or lying position (e.g., from bed to or from a wheelchair, or sofa, coming to a standing position and/or repositioning to promote circulation and to prevent skin breakdown).
(E) Continence: Ability to control bowel and bladder as well as to use ostomy and/or catheter receptacles, and to apply diapers and disposable barrier pads.
(F) Eating: Reaching for, picking up, grasping a utensil and cup; getting food on a utensil; bringing food, utensil, and cup to mouth; manipulating food on plate; and cleaning face and hands as necessary following meal.
(2) “Administrator” means the licensee, or the adult designated by the licensee to act in his/her behalf in the overall management of the facility.
(3) “Adult” means a person who is 18 years of age or older.
(4) “Adult Community Care Facility” (Adult CCF) means adult residential facilities (ARF) and social rehabilitation facilities (SRF).
(5) “Adult Residential Facility” means any facility of any capacity that provides 24-hour-a-day nonmedical care and supervision to the following:
(A) persons 18 years of age through 59 years of age; and
(B) persons 60 years of age and older only in accordance with Section 85068.4.
(6) “Applicant” means any individual, firm, partnership, association, corporation, county, city, public agency or other governmental entity that has made application for a community care facility license, administrator certificate, or special permit.
(7) “Authorized Representative” means any person or entity authorized by law to act on behalf of any client. Such person or entity may include but not be limited to a minor's parent, a legal guardian, a conservator or a public placement agency.
(8) “Automated External Defibrillator” (AED) means a light-weight, portable device used to administer an electric shock through the chest wall to the heart. Built-in computers assess the patient's heart rhythm, determine whether defibrillation (electrical shock) is needed and then administer the shock. Audible and/or visual prompts guide the user through the process. 
(b)(1) “Basic Rate” means the rate charged by a facility to provide basic services. For SSI/SSP recipients, the basic rate means the established nonmedical out-of-home care rate which includes any exempt income allowance but does not include that amount allocated for the recipient's personal and incidental needs.
(2) “Basic Services” means those services required by applicable law and regulation to be provided by the licensee in order to obtain and maintain a community care facility license.
(c)(1) “California Clearance” means an individual has no felony or misdemeanor convictions reported by the California Department of Justice. However, the individual may have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(2) “Capacity” means the maximum number of persons authorized to be provided care and supervision at any one time in any licensed facility.
(3) “Care and Supervision” means any one or more of the following activities provided by a person or facility to meet the needs of the clients:
(A) Assistance in dressing, grooming, bathing and other personal hygiene.
(B) Assistance with taking medication, as specified in section 80075.
(C) Central storing and/or distribution of medications, as specified in section 80075.
(D) Arrangement of and assistance with medical and dental care.
(E) Maintenance of house rules for the protection of clients.
(F) Supervision of client schedules and activities.
(G) Maintenance and/or supervision of client cash resources or property.
(H) Monitoring food intake or special diets.
(I) Providing basic services as defined in section 80001(b)(2).
(4) “Cash Resources” means:
(A) Monetary gifts.
(B) Tax credits and/or refunds.
(C) Earnings from employment or workshops.
(D) Personal and incidental need allowances from funding sources including but not limited to SSI/SSP.
(E) Allowances paid to children.
(F) Any other similar resources as determined by the licensing agency.
(5) “Certified administrator” means an administrator who has been issued a group home or adult residential facility certificate by the Department and whose certificate is current.
(6) “Child Abuse Central Index” means the California Department of Justice maintained statewide, multi-jurisdictional, centralized index of child abuse investigation reports. These reports pertain to alleged incidents of physical abuse, sexual abuse, mental/emotional abuse and/or severe neglect. Each child protection agency (police, sheriff, county welfare and probation departments) is required by law to forward to the California Department of Justice a report of every child abuse incident it investigates, unless an incident is determined to be unfounded. 
(7) “Child Abuse Central Index Clearance” means that the California Department of Justice has conducted a name search of the index and the search did not result in a match or the search resulted in a match but the California Department of Social Services determined after an investigation that the allegation of child abuse or neglect was not substantiated. 
(8) “Child Care Center” means any facility of any capacity other than a family day care home as defined in section 102352f.(1) in which less than 24-hour per day nonmedical supervision is provided for children in a group setting.
(9) “Client” means a child or adult who is receiving care and supervision in a community care facility. Client includes “resident” as used in the Community Care Facilities Act.
(10) “Client Who Relies Upon Others To Perform All Activities of Daily Living” means a client who is unable to perform all six activities of daily living without physical assistance.
(11) Close friend. “Close friend” means a person who is attached to another by feelings of personal regard as indicated by both parties involved.
(12) “Community Care Facility” means any facility, place or building where nonmedical care and supervision, as defined in section 80001c.(2) are provided.
(13) “Community Treatment Facility” means any residential facility that provides mental health treatment services to children in a group setting which has the capacity to provide secure containment. The facility's program components shall be subject to program standards developed and enforced by the State Department of Mental Health pursuant to Section 4094 of the Welfare and Institutions Code.
(14) “Completed Application” means:
(A) The applicant has submitted and the licensing agency has received all required materials including: an approved fire clearance, if appropriate, from the State Fire Marshal; a criminal record clearance on the applicant and any other individuals specified in section 80019.
(B) The licensing agency has completed a site visit to the facility.
(15) “Conservator” means a person appointed by the Superior Court pursuant to the provisions of section 1800 et seq. of the Probate Code or section 5350 of the Welfare and Institutions Code, to care for the person, or estate, or person and estate, of another.
(16) “Consultant” means a person professionally qualified by training or experience to provide expert information on a particular subject.
(17) “Control of Property” means the right to enter, occupy, and maintain the operation of the facility property within regulatory requirements. Evidence of control of property may include, but is not limited to the following:
(A) a Grant Deed showing ownership; or
(B) the lease agreement or rental agreement; or
(C) a court order or similar document which shows the authority to control the property pending outcome of a probate proceeding or an estate settlement.
(18) “Conviction” means: 
(A) A criminal conviction in California; or 
(B) Any criminal conviction of another state, federal, military or other jurisdiction, which if committed or attempted in California, would have been punishable as a crime in California. 
(19) “Criminal Record Clearance” means an individual has a California clearance and an FBI clearance. 
(d)(1) “Day” means calendar day unless otherwise specified.
(2) “Deficiency” means any failure to comply with any provision of the Community Care Facilities Act (Health and Safety Code, section 1500 et seq.) and/or regulations adopted by the Department pursuant to the Act.
(3) “Delayed-Egress Device” means a special time-delay, egress-control device as specified in Health and Safety Code Sections 1531.1(b), (e), and 1569.699(a).
(4) “Dementia” means a deterioration of intellectual function and other cognitive skills, leading to a decline in one's ability to perform activities of daily living.
(5) “Department” is defined in Health and Safety Code section 1502(b).
(6) “Developmental Disability” means a disability as defined in Welfare and Institutions Code section 4512(a).
(7) “Dietitian” means a person who is a member of or registered by the American Dietetics Association.
(8) “Director” is defined in Health and Safety Code section 1502(c).
(e)(1) “Egress-Alert Device” means a wrist band or other device, that may be worn by a client or carried on a client's person that triggers a visual or auditory alarm when the client leaves the facility building or grounds. 
(2) “Elderly Person” means any person who is 60 years of age or older.
(3) “Emergency Approval to Operate” (LIC 9117 4/93) (EAO) means a temporary approval to operate a facility for no more than 60 days pending the Department's decision on whether to approve or deny a provisional license.
(4) “Evaluator” means any person who is a duly authorized officer, employee or agent of the Department, including any officer, employee or agent of a county or other public agency authorized by the Department to license community care facilities.
(5) “Evidence of Licensee's Death” shall include, but is not limited to, a copy of the death certificate, obituary notice, certification of death from the decedent's mortuary or a letter from the attending physician or coroner's office verifying the licensee's death.
(6) “Exception” means a written authorization issued by the licensing agency to use alternative means which meet the intent of a specific regulation(s) and which are based on the unique needs or circumstances of a specific client(s) or staff person(s). Exceptions are granted for particular client(s) or staff person(s) and are not transferable or applicable to other client(s), staff person(s), facilities or licensees.
(7) “Exemption” means an exception to the requirements of Health and Safety Code section 1522 and applicable regulations. Exemptions are not transferable.
(8) “Existing Facility” means any community care facility operating under a valid, unexpired license on the date this chapter becomes effective.
(f)(1) “Federal Bureau of Investigation (FBI) Clearance” means an individual has no felony or misdemeanor convictions reported by the FBI. However, the individual may have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(g)(1) “Group Home” means any facility of any capacity which provides 24-hour care and supervision to children in a structured environment with such services provided at least in part by staff employed by the licensee. The care and supervision provided by a group home shall be nonmedical except as permitted by Welfare and Institutions Code Section 17736(b).
(2) “Guardian” means a person appointed by the Superior Court pursuant to the provisions of sections 1500 et seq. of the Probate Code to care for the person, or estate, or the person and estate of another.
(h)(1) “Health Condition Relocation Order” means written notice by the Department to a licensee requiring the relocation of a client from a CCF because either the licensee is not providing adequate care for a client's health condition as required by the regulations or the client cannot be cared for within the limits of the license or the client requires in-patient care in a health facility or has a prohibited health condition, as specified in Section 80091.
(2) “Home Economist” means a person who holds a baccalaureate degree in home economics with a specialization in either foods and nutrition or dietetics.
(i)(1) “Infant” means a child under two years of age.
(2) “Inhalation-assistive device” means any equipment that assists a client to breath, including, but not limited to, aerosol delivery devices, nebulizers, humidifiers, incentive spirometry devices, positive airway pressure devices, positive expiratory pressure devices, and intermittent positive pressure breathing (IPPB) machines.
(3) “Interdisciplinary Team” (IDT) means a team that assists the Department in evaluating the need for relocating a client of an ARF or an SRF when the client requests a review of the Department's Health Condition Relocation Order. This team consists of a nurse practitioner and a social worker, designated by the Department, with experience in the needs of the client population. Persons selected for an IDT shall not have been involved in the initial decision to issue a relocation order for the client in question.
(j) (Reserved)
(k) (Reserved)
(l)(1) “License” means authorization to operate a community care facility and to provide care and supervision. The license is not transferable.
(2) “Licensed professional” means a person who is licensed in California to provide medical care or therapy. This includes physicians and surgeons, physician assistants, nurse practitioners, registered nurses, licensed vocational nurses, psychiatric technicians, physical therapists, occupational therapists and respiratory therapists, who are operating within his/her scope of practice.
(3) “Licensee” means the adult, firm, partnership, association, corporation, county, city, public agency, or other governmental entity having the authority and responsibility for the operation of a licensed community care facility.
(4) “Licensing Agency” means the State Department of Social Services or any state, county or other public agency authorized by the Department to assume specified licensing responsibilities pursuant to section 1511 of the Health and Safety Code.
(m)(1) “Medical Professional” means an individual who is licensed or certified in California to perform the necessary medical procedures within his/her scope of practice. This includes, but is not limited to, Medical Doctor (MD), Registered Nurse (RN) and Licensed Vocational Nurse (LVN). 
(2) “Mental Disorder” means any of the disorders set forth in the Diagnostic and Statistical Manual of Mental Disorders (Third Edition) of the American Psychiatric Association and a degree of functional impairment which renders a person eligible for the services enumerated under the Lanterman-Petris-Short Act, commencing with section 5000 of the Welfare and Institutions Code.
(n)(1) “Needs and Services Plan” means a written plan that identifies the specific needs of an individual client, including those items specified in Section 80068.2, and delineates those services necessary to meet the client's identified needs.
(2) “Nonambulatory Person” means a person as defined in Health and Safety Code section 13131.
(A) A person who uses postural supports as specified in section 80072(a)(8) is deemed nonambulatory.
(B) A person is not deemed nonambulatory solely because he/she is deaf, blind, or prefers to use a mechanical aid.
(3) “Nutritionist” means a person who holds a master's degree in food and nutrition, dietetics, or public health nutrition, or who is employed as a nutritionist by a county health department.
(o) (Reserved)
(p)(1) “Physician” means a person licensed as a physician and surgeon by the California Board of Medical Examiners or by the California Board of Osteopathic Examiners.
(2) “Placement agency” is defined in Health and Safety Code Sections 1536.1 and 1569.47(a).
(3) “PRN Medication” (pro re nata) means any nonprescription or prescription medication which is to be taken as needed.
(4) “Provision” or “Provide” means whenever any regulation requires that provisions be made for or that there be provided any service, personnel, or other requirement, the licensee shall do so directly or present evidence to the licensing agency that the requirement has been met by some other means.
(5) “Provisional License” means a license which is temporary, nonrenewable and issued for a period not to exceed twelve months. A provisional license is issued in accordance with the criteria specified in section 80030.
(q) (Reserved)
(r)(1) “Rehabilitation” means the effort to reestablish good character since the date of the last conviction, including, but not limited to, education, counseling or therapy, training, stable employment, restitution, remorse, changes in lifestyle, or community service. 
(2) “Relative” means spouse, parent, stepparent, son, daughter, brother, sister, stepbrother, stepsister, half-brother, half-sister, uncle, aunt, niece, nephew, first cousin or any such person denoted by the prefix “grand” or “great” or the spouse of any of the persons specified in this definition, even after the marriage has been terminated by death or dissolution.
(3) “Responsible person” means that individual or individuals, including a relative, health care surrogate decision maker, or placement agency, who assists the client or prospective client in placement or assumes varying degrees of responsibility for the client's well-being. A responsible person cannot act on behalf of a client unless authorized by law.
(s)(1) “Serious Deficiency” means any deficiency that presents an immediate or substantial threat to the physical health, mental health or safety of the clients of a community care facility.
(2) “Simplified Exemption” means an exemption granted on the Department's own motion, as authorized in Health and Safety Code Section 1522(c)(4), if the individual's criminal history meets specific criteria established by Department regulation. 
(3) “Small Family Home” means any residential facility in the licensee's family residence providing 24-hour a day care for six or fewer children who are mentally disordered, developmentally disabled or physically handicapped and who require special care and supervision as a result of such disabilities.
(4) “Social Rehabilitation Facility” means any facility which provides 24-hour-a-day nonmedical care and supervision in a group setting to adults recovering from mental illness who temporarily need assistance, guidance or counseling.
(5) “Social Worker” means a person who has a graduate degree from an accredited school of social work.
(6) “SSI/SSP” means the Supplemental Security Income/State Supplemental Program which is a federal/state program that provides financial assistance to aged, blind and/or disabled residents of California.
(7) “Substantial Compliance” means the absence of any serious deficiencies.
(8) “Substantiated Complaint” means a complaint which has been investigated by the licensing agency, and as a result, a violation of regulations has been found.
(t)(1) “Transfer Trauma” means the consequences of the stress and emotional shock caused by an abrupt, involuntary relocation of a client or resident from one facility to another.
(u)(1) “Universal Precautions” means an approach to infection control that treats all human blood and body fluids as if they are infectious. Generally, Universal Precautions consist of regular hand-washing after coming into contact with another person's body fluids (mucous, saliva, urine, etc.) and includes the use of gloves when handling blood or body fluids that contain blood. Specifically, Universal Precautions consist of the following four basic infection control guidelines:
(A) Hand-washing -- Staff should wash their hands:
1. After assisting with incontinent care or wiping a client's nose.
2. Before preparing or eating foods.
3. After using the toilet.
4. Before and after treating or bandaging a cut.
5. After wiping down surfaces, cleaning spills, or any other housekeeping.
6. After being in contact with any body fluids from another person.
7. Even if they wore gloves during contact with body fluids.
(B) Gloves -- Staff should always wear gloves:
1. When they come into contact with blood or body fluids that contain blood.
2. When they have cuts or scratches on their hands.
3. When assisting with incontinent care or when cleaning up urine, stool, or vomit.
4. When administering first aid for a cut, a bleeding wound, or a bloody nose.
5. And use gloves only one time, for one incident or client.
a. Staff must air dry their hands prior to putting on a new pair of gloves.
6. And dispose of used gloves immediately after use.
(C) Cleaning with a disinfectant -- Staff should clean with a disinfectant:
1. On all surfaces and in the client's room and on an “as needed” basis on any surface that has come into contact with blood.
2. Such as a basic bleach solution, made fresh daily by mixing:
a. 1/4 cup household liquid chloride bleach in one gallon of tap water, or one tablespoon bleach in one quart of water.
(D) Proper disposal of infectious materials -- Staff should dispose of infectious materials by:
1. Placing it in a plastic trash bag, tying it with a secure tie, and disposing of it out of reach of clients and children.
(2) “Unlicensed Community Care Facility” means a facility as defined in Health and Safety Code section 1503.5.
(A) [Reserved]
(B) A facility which is “providing care and supervision” as defined in section 80001c(2) includes, but is not limited to, one in which an individual has been placed by a placement agency or family members for temporary or permanent care.
(C) A facility which is “held out as or represented as providing care or supervision” includes, but is not limited to:
(1) A facility whose license has been revoked or denied, but the individual continues to provide care for the same or different clients with similar needs.
(2) A facility where a change of ownership has occurred and the same clients are retained.
(3) A licensed facility that moves to a new location.
(4) A facility which advertises as providing care and/or supervision.
(D) A facility which “accepts or retains residents who demonstrate the need for care or supervision” includes, but is not limited to:
(1) A facility with residents requiring care and/or supervision, even though the facility is providing board and room only, or board only, or room only.
(2) A facility which houses unemancipated minors, even though the facility is providing board and room only, or board only, or room only.
(3) A facility where it is apparent that care and/or supervision are being provided by virtue of the client's needs being met.
(3) “Urgent Need” means a situation where prohibiting the operation of the facility would be detrimental to a client's physical health, mental health, safety, or welfare. Circumstances constituting urgent need include but are not limited to the following:
(A) A change in facility location when clients are in need of services from the same operator at the new location.
(B) A change of facility ownership when clients are in need of services from a new operator.
(v) (Reserved)
(w)(1) “Waiver” means a nontransferable written authorization issued by the licensing agency to use alternative means which meet the intent of a specific regulation and which are based on a facility-wide need or circumstance.
(x) (Reserved)
(y) (Reserved)
(z) (Reserved)
NOTE

Authority cited: Sections 1502, 1522.41(j), 1524(e), 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501, 1502, 1502(a)(7) and 1502(a)(8), 1502.5, 1503, 1503.5, 1505, 1507, 1508, 1509, 1511, 1520, 1522, 1524, 1524(e), 1525, 1525.5, 1526, 1527, 1530, 1530.5, 1531, 1531.1, 1533, 1534, 1536.1, 1537, 1538.5, 1550, 1551, 1556, 1569.699(a), 1797.196 and 11834.11, Health and Safety Code; Sections 5453, 5458, 11006.9 and 17736(a) and 17736(b), Welfare and Institutions Code; 29 CFR 1910.1030; and Joint Stipulation and Order for Settlement in the matter of California Association of Mental Health Patients' Rights Advocates v. Cliff Allenby, et al., Santa Clara County Superior Court, No. 106-CV061397, issued November 14, 2008.
HISTORY

1. Amendment of subsection (a)(28) filed 12-30-83 as an emergency; designated effective 1-1-84 pursuant to Government Code section 11346.2(d) (Register 83, No. 53).
2. Amendment of subsection (a)(41) filed 2-21-86; effective thirtieth day thereafter (Register 86, No. 8).
3. Amendment filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
4. Amendment filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
5. Amendment filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
6. Amendment filed 3-24-89; operative 4-23-89 (Register 89, No. 15).
7. Change without regulatory effect of subsection (a)(37)(A) pursuant to section 100(b)(3), title 1, California Code of Regulations filed 6-8-91; operative 7-8-90 (Register 90, No. 33).
8. Renumbering former subsections (a)(51) through (a)(53) to subsections (a)(52) through (a)(54) and new subsection (a)(51) filed 10-26-90; operative 11-25-90 (Register 90, No. 49).
9. Change without regulatory effect amending subsection (a) filed 1-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 8).
10. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 11).
11. New subsection and renumbering of subsections 46 through 50 to subsections 47 through 53 filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.1(d) (Register 91, No. 12).
12. Change without regulatory effect amending lettering and correcting cross- references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
13. Editorial correction of printing error in HISTORY 11 replacing correct wording (Register 91, No. 28).
14. Editorial correction of printing error in NOTE (Register 91, No. 32).
15. New subsections (c)(11)-(c)(11)(C), (e)(2) and (e)(4), subsection renumbering, and amendment of Note filed 6-15-93; operative 7-15-93 (Register 93, No. 25).
16. Amendment of section and Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
17. Amendment of subsection (g)(1) and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
18. New subsection (p)(3) and subsection renumbering filed 5-15-97; operative 6-15-97 (Register 97, No. 20).
19. Amendment of section and Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
20. Amendment of section and Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
21. Editorial correction of subsection (a)(3) (Register 98, No. 5).
22. Amendment of section and Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
23. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
24. Amendment of section and Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
25. New subsection (c)(8), subsection renumbering, and amendment of Note filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
26. Certificate of Compliance as to 3-23-98 order, including further amendment of section and Note, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
27. New subsection (d)(3) and subsection renumbering filed 11-12-98; operative 12-12-98 (Register 98, No. 46).
28. Amendment of subsection (a)(8), new subsections (c)(4) and (d)(1), subsection renumbering, and amendment of Note filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
29. Amendment of subsection (a)(8), new subsections (c)(4) and (d)(1), subsection renumbering, and amendment of Note refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
30. New subsection (c)(9) and subsection renumbering filed 5-23-2000 as an emergency; operative 6-1-2000 (Register 2000, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-2000 or emergency language will be repealed by operation of law on the following day.
31. Certificate of Compliance as to 3-9-2000 order transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
32. Certificate of Compliance as to 5-23-2000 order transmitted to OAL 9-18-2000 and filed 10-16-2000 (Register 2000, No. 42).
33. Change without regulatory effect amending subsection (e)(2) and Note filed 11-8-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 45).
34. New subsection (a)(10) and amendment of Note filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
35. Amendment of subsection (u)(1)(B)3. and amendment of Note filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
36. Amendment of section and Note filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
37. Amendment of section and Note refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
38. Amendment of section and Note refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
39. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
40. Amendment of first paragraph and subsection (a)(4), repealer of subsections (a)(5)-(6), subsection renumbering and renumbering of definition of “Urgent Care” from (u)(2) to (u)(3) filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
41. Amendment of subsection (a)(5) and new subsections (a)(5)(A)-(B) and amendment of Note filed 7-31-2009; operative 8-30-2009 (Register 2009, No. 31).
42. Amendment of first paragraph, repealer of subsection (c)(6) and subsection renumbering filed 2-6-2012; operative 3-7-2012 (Register 2012, No. 6).
Article 2. License
§80005. License Required.
Note     •     History

(a) Unless a facility is exempt from licensure as specified in Section 80007, no adult, firm, partnership, association, corporation, county, city, public agency or other governmental entity shall operate, establish, manage, conduct or maintain a community care facility, or hold out, advertise or represent by any means to do so, without first obtaining a current valid license from the licensing agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1505, 1508, 1509, 1513 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 8-17-88; operative 9-16-88 (Register 88, No. 34)
§80006. Operation Without a License.
Note     •     History

(a) An unlicensed facility is providing care and supervision as defined in section 80001u.(2), the facility is in violation of Sections 1503.5 and/or 1508 of the Health and Safety Code unless exempted from licensure pursuant to section 80007.
(b) If the facility is alleged to be in violation of Sections 1503.5 and/or 1508 of the Health and Safety Code, the licensing agency shall conduct a site visit and/or evaluation of the facility pursuant to Health and Safety Code section 1538.
(c) If the facility is operating without a license, the licensing agency shall issue a notice of operation in violation of law and shall refer the case for criminal prosecution and/or civil proceedings.
(d) The licensing agency shall have the authority to issue an immediate civil penalty pursuant to section 80058 and section 1547 of the Health and Safety Code.
(e) Sections 80006(c) and (d) shall be applied pursuant to section 1549 of the Health and Safety Code.
(f) The licensing agency shall notify the appropriate placement or protective service agency if either of the following conditions exist:
(1) There is an immediate threat to the clients' health and safety.
(2) The facility does not submit an application for licensure within 15 calendar days of being served a notice of operation in violation of law.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1503.5, 1505, 1508, 1533, 1538, 1540, 1540.1, 1541, 1547 and 1549, Health and Safety Code.
HISTORY

1. Amendment filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-18-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Editorial correction of subsections (a) and (b) (Register 2002, No. 32).
4. Amendment of subsection (a) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80007. Exemption from Licensure.
Note     •     History

(a) The community care facility regulations contained in this division shall not apply to any of the following:
(1) Any health facility, as defined by section 1250 of the Health and Safety Code.
(2) Any clinic, as defined by section 1202 of the Health and Safety Code.
(3) Any family day care home providing care for the children of only one family, in addition to the operator's own children.
(4) Any juvenile placement facility approved by the California Youth Authority or any juvenile hall operated by a county.
(5) Any facility conducted by and for the adherents of any well-recognized church or religious denomination for the purpose of providing facilities for the care or treatment of the sick who depend upon prayer or spiritual means for healing in the practice of the religion of such church or denomination.
(6) Any school dormitory or similar facility where all of the following conditions exist:
(A) The school is certificated/registered by the State Department of Education.
(B) The school and the school dormitory are on the same grounds.
(C) All children accepted by the school are six years of age or older.
(D) The program operates only during normal school terms unless the academic program runs year-round.
(E) The school's function is educational only.
(F) The school program is not designated as providing rehabilitative or treatment services.
(G) The school's function does not promote intent to provide community care services, and the facility does not accept children who are in need of such services, including but not limited to children with developmental disabilities, mental disorders or physical handicaps; juveniles declared dependents of the court under Welfare and Institutions Code section 300, and juveniles declared wards of the court under Welfare and Institutions Code sections 601 and 602.
(H) The facility does not receive any public funds designated for care including but not limited to AFDC-FC and SSI/SSP. The facility shall be permitted to receive public funds intended for educational programs.
(I) No public or private agency, including but not limited to county welfare department and probation offices, provides social services to children in the facility.
(7) Any house, institution, hotel, homeless shelter, or other similar place that supplies board and room only, or room only, or board only, which provides no element of care and supervision, as defined in section 80001(c)(2).
(8) Any cooperative arrangement between parents for the day care of their children by one or more of the parents where no payment for the day care is involved, including but not limited to the exchange of child day care services between two or more families.
(9) Any care and supervision of persons by a relative, guardian or conservator.
(10) Any care and supervision of persons from only one family by a close friend of the parent, guardian or conservator, provided that such arrangement is not for financial profit and does not exceed 10 hours per week.
(A) Provision of longer hours of care shall not be precluded when provided for a brief period of time for reasons, including but not limited to family emergencies, vacation, and military leave.
(11) Any arrangement for the care and supervision of an adult or adults from only one family by a close friend, who is not a licensee or current employee of a Residential Care Facility for the Elderly or of an Adult Residential Facility, and whose friendship pre-existed a provider/recipient relationship, and all of the following are met:
(A) The care and supervision is provided in a home or residence chosen by the recipient, regardless of who owns the home or residence.
(B) The arrangement is not of a business nature, in that the provider does not represent himself or herself as being in the business of provision of care, and any compensation that may be paid to the provider is only for the value of the services rendered.
(C) The arrangement occurs and continues only as long as the needs for care and supervision of the recipient are being adequately met.
(12) Any facility exclusively used by a licensed homefinding agency and issued a certificate of approval by that agency.
(A) Such facilities shall not be required to obtain a license, but shall be in compliance with all other requirements set forth in this division. The facility's compliance with requirements shall be monitored through and assured by the homefinding finding agency. For the purposes of this section, an exclusive-use facility shall mean a nonlicensed residential facility that has been certified by a licensed homefinding agency as conforming to the regulations pertaining to the small family home category. A facility in the exclusive use of a licensed homefinding agency shall accept only those children placed by that agency which certified the home.
(13) A home which meets all of the following criteria:
(A) approved by a licensed adoption agency, or the Department, for the adoptive placement of a child, and
(B) the child is legally free for adoption, and
(C) the agency or the Department is providing supervision of the placement pending finalization of the adoption.
(14) A home which meets all of the following criteria:
(A) placement for adoption by a birth parent, and
(B) a petition for adoption has been filed by the prospective adoptive parents, and is pending, and
(C) a final decision on the petition has not been rendered by the court.
(15) Any placement agency as defined in Health and Safety Code section 1536.1 or an individual who places individuals for care in a facility licensed to receive and care for such persons.
(16) A county probation or welfare department which places children in certified license pending homes as set forth in section 87007.1.
(17) Any housing project for elderly or disabled individuals that meets federal requirements specified in Health and Safety Code Section 1505(p).
(18) The Department.
(19) Any similar facility as determined by the Director.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1505, 1508, 1530, 1530.5 and 1536.1, Health and Safety Code; Sections 362, 727 and 16100, Welfare and Institutions Code; and Grimes v. CDSS (1999) 70 Cal.App.4th 1065.
HISTORY

1. Relettering of former subsections (a)(10)-(a)(12) to subsections (a)(11)-(a)(13) and new subsection (a)(10) filed 2-21-86; effective thirtieth day thereafter (Register 86, No. 8).
2. Editorial correction of History NOTE No. 1 (Register 87, No. 13).
3. New subsections (a)(14)-(a)(19) filed 3-25-87; effective thirtieth day thereafter (Register 87, No. 13).
4. Change without regulatory effect amending subsection (a) filed 1-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 8).
5. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91; effective 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
6. Amendment of subsection (a)(7) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
7. New subsections (a)(11)-(a)(11)(C), subsection renumbering and amendment of Note filed 5-23-2000 as an emergency; operative 6-1-2000 (Register 2000, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-2000 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 5-23-2000 order transmitted to OAL 9-18-2000 and filed 10-16-2000 (Register 2000, No. 42).
9. New subsection (a)(17), subsection renumbering and amendment of Note filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
§80008. Licensing of Integral Facilities.
Note

(a) Upon written application from the licensee, the licensing agency shall have the authority to issue a single license for separate buildings which might otherwise require separate licenses provided that all of the following requirements are met:
(1) Separate buildings or portions of the facility are integral components of a single program.
(2) All components of the program are managed by the same licensee.
(3) All components of the program are conducted at a single site with a common address.
(b) If (a) above does not apply, each separately licensed component of a single program shall be capable of independently meeting the provisions of applicable regulations as determined by the licensing agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1508, 1509 and 1513, Health and Safety Code.
§80010. Limitations on Capacity and Ambulatory Status.
Note

(a) A licensee shall not operate a facility beyond the conditions and limitations specified on the license, including the capacity limitation.
(b) Facilities or rooms approved for ambulatory clients only shall not be used by nonambulatory clients.
(1) Clients whose condition becomes nonambulatory shall not use rooms or areas restricted to ambulatory clients.
(2) The licensing agency shall have the authority to require clients who use ambulatory sections of the facility to demonstrate that they are ambulatory.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1528 and 1531, Health and Safety Code.
§80011. Advertisements and License Number.
Note     •     History

(a) Licensees shall reveal each facility license number in all advertisements in accordance with Health and Safety Code section 1514. Non-residential facilities shall be exempt from this requirement.
(b) Correspondence shall be considered a form of advertisement if the intent is to attract clients.
(c) Licensees who operate more than one facility and use a common advertisement for these facilities shall be required to list each facility license number in accordance with Health and Safety Code section 1514.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1514, Health and Safety Code.
HISTORY

1. New section filed 4-24-91; operative 5-24-91 (Register 91, No. 24).
2. Amendment of subsection (a) filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§80012. False Claims.
Note

(a) No licensee, officer, or employee of a licensee shall make or disseminate any false or misleading statement regarding the facility or any of the services provided by the facility.
(b) No licensee, officer, or employee of a licensee shall alter a license, or disseminate an altered license.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1508 and 1531, Health and Safety Code.
Article 3. Application Procedures
§80017. Nondiscrimination of Applicants.
Note     •     History

Any adult shall be permitted to apply for a license regardless of age, sex, race, religion, color, political affiliation, national origin, disability, marital status, actual or perceived sexual orientation, gender identity, HIV status, or ancestry.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 51, Civil Code; Section 1520, Health and Safety Code; and Section 16013, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect amending subsection (a) and Note filed 12-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 50).
2. Amendment of section heading, section and Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§80018. Application for License.
Note     •     History

(a) Any adult, firm, partnership, association, corporation, county, city, public agency or other governmental entity desiring to obtain a license shall file with the licensing agency a verified application on forms furnished by the licensing agency.
(b) Prior to filing an application, the applicant shall attend an orientation designed for the specific facility type and provided by the licensing agency.
(1) The orientation shall cover, but not be limited to, the following areas:
(A) Completion of the application for license.
(B) Scope of operation subject to regulation by the department.
(2) An applicant, who is already licensed for a facility in the same category, shall not be required to attend an orientation if the last orientation attended was for the same facility type and within two (2) years of the next scheduled orientation.
(3) An applicant applying for more than one facility license, in the same facility type, shall be required to attend only one orientation.
(c) The applicant/licensee shall cooperate with the licensing agency in providing verification and/or documentation as requested by the licensing agency.
(d) The application and supporting documents shall contain the following:
(2) Name, and residence and mailing addresses of applicant.
(A) If the applicant is a partnership, the name, and principal business address of each partner.
(B) If the applicant is a corporation or association, the name, title and principal business address of each officer, executive director and member of the governing board.
(C) If the applicant is a corporation which issues stock, the name and address of each person owning more than 10 percent of stock in such corporation.
(D) If the applicant is a corporation or association, a copy of the articles of incorporation, constitution and by-laws.
(E) If the applicant is a corporation, each member of the board of directors, executive director, and any officer shall list the name of facilities which they have been licensed to operate, employed by or a member of the board of the directors, executive director or an officer.
(3) Name and address of owner of facility premises if applicant is leasing or renting.
(4) Procedures as required pursuant to Section 1524.5 of the Health and Safety Code.
(5) The category of facility to be operated.
(6) Maximum number of persons to be served.
(7) Age range, sex and the categories of persons to be served, including but not limited to persons with developmental disabilities, mental disorders, physically handicapped and/or nonambulatory persons.
(8) Hours or periods of facility operation.
(9) Name of administrator, if applicable.
(10) Information required by Health and Safety Code Section 1520(d).
(11) Information required by Health and Safety Code Section 1520(e).
(12) Name, address and telephone number of the city or county fire department, the district providing fire protection services, or the State Fire Marshal's Office having jurisdiction in the area where the facility is located.
(13) A plan of operation as specified in Section 80022.
(14) Fingerprint cards as specified in Section 80019.
(15) Information required by Health and Safety Code Section 1522.1.
(16) The bonding affidavit specified in Section 80025(a).
(17) A health screening report on the applicant as specified in Section 80065(g).
(18) The fee for processing the application by the requested capacity as specified in Section 80036.
(19) Such other information as may be required pursuant to Section 1520(g) of the Health and Safety Code.
(e) The application shall be signed by the applicant.
(1) If the applicant is a partnership, the application shall be signed by each partner.
(2) If the applicant is a firm, association, corporation, county, city, public agency or other governmental entity, the application shall be signed by the chief executive officer or authorized representative.
(f) The application shall be filed with the licensing agency which serves the geographical area in which the facility is located.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520, 1520.11, 1522, 1522.1, 1523.1, 1524.5 and 1560, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) filed 12-22-87; operative 1-21-88 (Register 88, No. 2).
2. Amendment of subsection (c) filed 12-30-87 as an emergency; operative 1-1-88 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-2-88.
3. Certificate of Compliance transmitted to OAL 4-28-88 and filed 5-31-88 (Register 88, No. 30).
4. Amendment of subsection (c)(17) filed 8-17-88, operative 9-16-88 (Register 88, No. 34).
5. Amendment of subsection (c) filed 11-18-88; operative 12-18-88 (Register 88, No. 49).
6. Change without regulatory effect of subsections (c)(15) and (c)(17) pursuant to section 100, title 1, California Code of Regulations filed 1-9-89 (Register 89, No. 3).
7. Editorial correction of Register Number in HISTORY 5. (Register 89, No. 6).
8. New subsection (b), amendment of subsection (d) and NOTE, and subsection relettering filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
9. Amendment of subsection (d)(2)(B), new subsection (d)(2)(E) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
10. Change without regulatory effect amending subsection (d)(18) and amending Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
§80019. Criminal Record Clearance.
Note     •     History

(a) The Department shall conduct a criminal record review of all individuals specified in Health and Safety Code Section 1522(b) and shall have the authority to approve or deny a facility license, or employment, residence, or presence in the facility, based upon the results of such review.
[Sections 80019(b) et seq. are to be effective on January 1, 2001.]
(b) The following persons are exempt from the requirement to submit fingerprints:
(1) A medical professional, as defined by the Department in regulations, who holds a valid license or certification from the individual's governing California medical care regulatory entity and who is not employed, retained, or contracted by the licensee, if all of the following apply:
(A) The criminal record of the individual has been cleared as a condition of licensure or certification by the individual's California medical care regulatory entity.
(B) The individual is providing time-limited specialized clinical care or services.
(C) The individual is providing care or services within the individual's scope of practice.
(D) The individual is not a community care facility licensee or an employee of the facility.
(2) A third-party repair person, or similar retained contractor, if all of the following apply:
(A) The individual is hired for a defined, time-limited job.
(B) The individual is not left alone with clients.
(C) When clients are present in the room in which the repairperson or contractor is working, a staff person who has a criminal record clearance or exemption is also present.
(3) Employees of a licensed home health agency and other members of licensed hospice interdisciplinary teams who have a contract with a client of the facility, and are in the facility at the request of that client or resident's legal decision maker.
(A) The exemption shall not apply to a person who is a community care facility licensee or an employee of the facility.
(4) Clergy and other spiritual caregivers who are performing services in common areas of the residential care facility, or who are advising an individual client at the request of, or with the permission of, the client.
(A) This exemption shall not apply to a person who is a community care facility licensee or an employee of the facility.
(5) Members of fraternal, service and similar organizations who conduct group activities for clients, if all of the following apply:
(A) Members are not left alone with the clients.
(B) Members do not transport clients off the facility premises.
(C) The same group does not conduct such activities more often than once a month.
(6) The following persons in homes certified by licensed Foster Family Agencies:
(A) Adult friends and family of the certified foster parent, who come into the home to visit for a length of time no longer than one month, provided they are not left alone with the foster children. However, the certified foster parent, acting as a reasonable and prudent parent, as defined in paragraph (2) of subdivision (a) of Section 362.04 of the Welfare and Institutions Code, may allow his or her adult friends and family to provide short-term care to the foster child and act as an appropriate occasional short-term babysitter for the child.
(B) Parents of a foster child's friends when the child is visiting the friend's home and the friend, certified foster parent or both are also present. However, the certified foster parent, acting as a reasonable and prudent parent, may allow the parent of the foster child's friends to act as an appropriate short-term babysitter for the child without the friend being present.
(C) Individuals who are engaged by any certified foster parent to provide short-term babysitting to the child for periods not to exceed 24 hours. Certified foster parents shall use a reasonable and prudent parent standard in selecting appropriate individuals to act as appropriate occasional short-term babysitters.
(7) The following persons in small family homes:
(A) Adult friends and family of the licensee who come into the home to visit, for a length of time no longer than one month, provided they are not left alone with the children.
(B) Parents of a child's friends when the child is visiting the friend's home and the friend, foster parent or both are also present.
(8) The following persons in adult residential and social rehabilitation facilities unless contraindicated by the client's individualized program plan (IPP), or needs and service plan:
(A) A spouse, significant other, relative, close friend of a client, or the attendant or facilitator who is not employed, retained or contracted by the licensee for a client with a developmental disability, as long as the person is visiting the resident or providing direct care and supervision to that client only.
(B) An attendant or facilitator for a client with a developmental disability if the attendant or facilitator is not employed, retained or contracted by the licensee.
(C) The exemptions in Section 80019(b)(9)(A) or (B) apply only if the person is visiting the client or providing direct care and supervision to the client.
(9) Nothing in this paragraph shall prevent a licensee from requiring a criminal record clearance of any individual exempt from the requirements of this section, provided that the individual has client contact.
(c) Prior to the Department issuing a licensee, the applicant, administrator and any adult other than a client, residing in the facility shall obtain a California criminal record clearance or exemption as specified in Health and Safety Code Section 1522(a)(5).
(d) All individuals subject to criminal record review shall be fingerprinted and sign a Criminal Record Statement (LIC 508 [Rev. 1/03]) under penalty of perjury.
(1) A person signing the LIC 508 must: 
(A) Declare whether he/she has been convicted of a crime, other than a minor traffic violation as specified in Section 80019(i) regardless of whether the individual was granted a pardon for the conviction, received an expungement pursuant to Penal Code 1203.4 or the individual's record was sealed as a result of a court order.
(B) If convicted of a crime other than a minor traffic violation, provide information regarding the conviction. 
(2) The licensee shall submit these fingerprints to the California Department of Justice, along with a second set of fingerprints for the purpose of searching the records of the Federal Bureau of Investigation, or to comply with the requirements of Section 80019(e), prior to the individual's employment, residence, or initial presence in the community care facility.
(A) Fingerprints shall be submitted to the California Department of Justice by the licensee, or sent by electronic transmission to the California Department of Justice by a fingerprinting entity approved by the Department.
(e) All individuals subject to a criminal record review pursuant to Health and Safety Code Section 1522 shall prior to working, residing or volunteering in a licensed facility: 
(1) Obtain a California clearance or a criminal record exemption as required by the Department or 
(2) Request a transfer of a criminal record clearance as specified in Section 80019(f) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 80019.1(r), unless, upon request for the transfer, the Department permits the individual to be employed, reside or be present at the facility. 
(f) A licensee or applicant for a license may request a transfer of a criminal record clearance from one state licensed facility to another, or from TrustLine to a state licensed facility by providing the following documents to the Department: 
(1) A signed Criminal Background Clearance Transfer Request, LIC 9182 (Rev. 4/02). 
(2) A copy of the individual's: 
(A) Driver's license, or 
(B) Valid identification card issued by the Department of Motor Vehicles, or 
(C) Valid photo identification issued by another state or the United States government if the individual is not a California resident. 
(3) Any other documentation required by the Department [e.g., Criminal Record Statement -- LIC 508, (Rev. 1/03) or for Foster Family Homes, Small Family Homes and Certified Family Homes an LIC 508D (Rev. 1/03) which are incorporated by reference, and job description]. 
(g) Violation of Section 80019(e) will result in a citation of a deficiency and an immediate assessment of civil penalties of one hundred dollars ($100) per violation per day for a maximum of five (5) days by the Department. 
(1) Subsequent violations within a twelve (12) month period will result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days.
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1548. 
(h) Violation of Section 80019(e) may result in a denial of the license application or suspension and/or revocation of the license. 
(i) If the criminal record transcript of any individuals specified in Health and Safety Code Section 1522(b) discloses a plea or verdict of guilty or a conviction following a plea of nolo contendere for any crime other than a minor traffic violation for which the fine was less than $300, and an exemption pursuant to Section 80019.1(a) has not been granted, the Department shall take the following actions:
(1) For initial applicants, denial of the application.
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license.
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1558, and deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility.
(4) For convicted individuals residing in the facility, exclusion of the affected individual pursuant to Health and Safety Code Section 1558, and denial of the application or revocation of the license, if the individual continues to provide services and/or reside at the facility.
(j) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of employees in the individual's personnel file as required in Section 80066.
(1) Documentation shall be available for inspection by the Department.
(k) The Department may seek verification from a law enforcement agency or court of an individual's criminal record as reported to the Department from any member of the public or affected individual. 
(1) Upon obtaining confirmation from a law enforcement agency or court of the offense, the Department shall proceed as if this criminal record information was provided by the California Department of Justice. 
NOTE

Authority cited: Sections 1530 and 1548(e), Health and Safety Code. Reference: Sections 1503.5, 1505, 1508, 1522, 1531, 1533, 1538, 1540, 1540.1, 1541, 1547, 1548 and 1549, Health and Safety Code.
HISTORY

1. Amendment filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Amendment of subsection (c)(1) filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
3. Amendment of subsection (d) and NOTE filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
4. Change without regulatory effect amending subsection (c)(1) filed 3-10-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 15).
5. Editorial correction deleting extraneous text (Register 95, No. 25).
6. Amendment filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 2000, No. 38). 
8. Certificate of Compliance as to 5-18-2000 order, including further amendment of section, transmitted to OAL 11-14-2000 and filed 12-19-2000, and new subsections (b)-(b)(10) filed 12-19-2000; operative 1-1-2001 (Register 2000, No. 51).
9. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
10. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
13. Amendment filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
14. Repealer of subsections (b)(7)-(b)(7)(D)3. and subsection renumbering filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§80019.1. Criminal Record Exemption.
Note     •     History

(a) The Department will notify a licensee to act immediately to remove from the facility or bar from entering the facility any person described in Sections 80019.1(a)(1) through (5) below while the Department considers granting or denying an exemption. Upon notification, the licensee shall comply with the notice. 
(1) Any person who has been convicted of, or is awaiting trial for, a sex offense against a minor; 
(2) Any person who has been convicted of a felony; 
(3) Any person who has been convicted of an offense specified in Sections 243.4, 273a, 273d, 273g, or 368 of the Penal Code or any other crime specified in Health and Safety Code Section 1522(c)(3); 
(4) Any person who has been convicted of any crime specified below: 
(A) Battery 
(B) Shooting at Inhabited Dwelling 
(C) Corporal Injury on Spouse/Cohabitant 
(D) Discharging Firearm with Gross Negligence 
(E) Exhibiting Weapon/Firearm 
(F) Threat to Commit a Crime Resulting in Gross Bodily Injury or Death 
(G) Criminal Threat to Harm or Injure Another Person 
(H) Cruelty to Animals 
(I) Willful Harm or Injury to Child; or 
(5) Any other person ordered to be removed by the Department. 
(b) In addition to the requirements of Section 80019.1(a), the licensee must return the confirmation of removal form that is sent by the Department, within five (5) days of the date of the form, that confirms under penalty of perjury that the individual has been removed from the facility. 
(1) Confirmation must be made on either a Removal Confirmation -- Exemption Needed, LIC 300A (Rev. 9/03), Removal Confirmation -- Denial, LIC 300B (Rev. 9/03), Removal Confirmation -- Rescinded, LIC 300C (Rev. 9/03), or Removal Confirmation -- Nonexemptible, LIC 300D (Rev. 9/03). 
(c) After a review of the criminal record transcript, the Department may grant an exemption if:
(1) The applicant/licensee requests an exemption in writing for himself or herself, or
(2) The applicant/licensee requests an exemption in writing for an individual associated with the facility, or
(3) The applicant/licensee chooses not to seek an exemption on the affected individual's behalf, the affected individual requests an individual exemption in writing, and
(4) The affected individual presents substantial and convincing evidence satisfactory to the Department that he/she has been rehabilitated and presently is of such good character as to justify being issued or maintaining a license, employment, presence, or residence in a licensed facility.
(d) To request a criminal record exemption, a licensee or license applicant must submit information that indicates that the individual meets the requirements of Section 80019.1(c)(4). The Department will notify the licensee or license applicant and the affected individual, in concurrent, separate notices, that the affected individual has a criminal conviction and needs to obtain a criminal record exemption.
(1) The notice to the affected individual shall include a list of the conviction(s) that the Department is aware of at the time the notice is sent that must be addressed in an exemption request.
(2) The notice will list the information that must be submitted to request a criminal record exemption. 
(3) The information must be submitted within forty five (45) days of the date of the Department's notice. 
(A) Individuals who submit a criminal record exemption request shall cooperate with the Department by providing any information requested by the Department, including, but not limited to, police reports and certified court documents to process the exemption request, pursuant to Section 80019.1(e). 
(B) If the individual for whom the criminal record exemption is requested is an employee or resident other than a spouse or a dependent family member and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may cease processing the exemption request and close the case. 
(C) If the individual for whom the criminal record exemption is requested is an applicant, licensee, spouse or dependent family member and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may deny the exemption request. 
(D) Individuals may request a criminal record exemption on their own behalf if the licensee or license applicant:
1. Chooses not to request the exemption and
2. Chooses not to employ or terminates the individual's employment after receiving notice of the individual's criminal history, or
3. Removes the individual who resides in the facility after receiving notice of the individual's criminal history.
(e) The Department shall consider factors including, but not limited to, the following as evidence of good character and rehabilitation:
(1) The nature of the crime including, but not limited to, whether it involved violence or a threat of violence to others.
(2) Period of time since the crime was committed and number of offenses.
(3) Circumstances surrounding the commission of the crime that would demonstrate the unlikelihood of repetition.
(4) Activities since conviction, including employment or participation in therapy or education, that would indicate changed behavior.
(5) Granting by the Governor of a full and unconditional pardon.
(6) Character references.
(A) All character references shall be on a Reference Request form (LIC 301E -- Exemptions [Rev. 7/03]). 
(7) A certificate of rehabilitation from a superior court.
(8) Evidence of honesty and truthfulness as revealed in exemption application documents.
(A) Documents include, but are not limited to:
1. A Criminal Record Statement (LIC 508, [Rev. 1/03]) or for Foster Family Homes, Small Family Homes and Certified Family Homes an LIC 508D [Rev. 1/03])  and
2. The individual's written statement/explanation of the conviction and the circumstances about the arrest.
(9) Evidence of honesty and truthfulness as revealed in exemption application interviews and conversations with the Department.
(f) The Department shall also consider the following factors in evaluating a request for an exemption: 
(1) Facility and type of association. 
(2) The individual's age at the time the crime was committed. 
(g) The Department may deny an exemption request if:
(1) The licensee and/or the affected individual fails to provide documents requested by the Department, or
(2) The licensee and/or the affected individual fails to cooperate with the Department in the exemption process.
(h) The reasons for any exemption granted or denied shall be in writing and kept by the Department.
(1) Exemption denial notices shall specify the reason the exemption was denied.
(i) The Department has the authority to grant a criminal record exemption that places conditions on the individual's continued licensure, and employment or presence in a licensed facility.
(j) It shall be conclusive evidence that the individual is not of such good character as to justify issuance of an exemption if the individual: 
(1) Makes a knowingly false or misleading statement regarding: 
(A) Material relevant to their application for a criminal record clearance or exemption, 
(B) His or her criminal record clearance or exemption status to obtain employment or permission to be present in a licensed facility, after the Department has ordered that they be excluded from any or all licensed facilities, or 
(C) His or her criminal record clearance or exemption status in order to obtain a position with duties that are prohibited to him/her by a conditional exemption; or 
(2) Is on probation or parole. 
(A) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the Department may, in its discretion, grant a criminal record exemption notwithstanding Section 80019.1(j)(2). 
(B) Section 80019.1(j)(2) does not apply to Certified Family Homes. 
(k) The Department shall consider granting a criminal record exemption if the individual's criminal history meets all of the applicable criteria specified in Sections 80019.1(k)(1) through (6) and the individual provides the Department with substantial and convincing evidence of good character as specified in Section 80019.1(c)(4). For purposes of this section, a violent crime is a crime that, upon evaluation of the code section violated or the reports regarding the underlying offense, presents a risk of harm or violence. 
(1) The individual has been convicted of one nonviolent misdemeanor, and one year has lapsed since completing the most recent period of incarceration or probation. 
(2) The individual has been convicted of two or more nonviolent misdemeanors and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(3) The individual has been convicted of one or more violent misdemeanors and 15 consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(4) The individual has been convicted of one nonviolent felony and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(5) The individual has been convicted of two or more nonviolent felonies and ten consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(6) The individual has not been convicted of a violent felony. 
(7) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the period of lapsed time required in Sections 80019.1(k)(1) through (5) above shall begin from the last date of conviction(s). 
(l) It shall be a rebuttable presumption that an individual is not of such good character as to justify the issuance of an exemption if the individual fails to meet the requirements specified in Sections 80019.1(k)(1) through (6). 
(m) The Department shall not grant an exemption if the individual has a conviction for any offense specified in Section 1522(g)(1) of the Health and Safety Code. 
(n) The Department shall consider granting a simplified criminal record exemption only if the individual has the criminal history profile outlined in Sections 80019.1(n)(1) through (4) below: 
(1) The individual does not have a demonstrated pattern of criminal activity; 
(2) The individual has no more than one conviction; 
(3) The conviction is a misdemeanor and is a crime that is nonviolent and does not pose a risk of harm to an individual; and 
(4) It has been at least five consecutive years since the completion of the most recent period of incarceration or supervised probation. 
(o) At the Department's discretion, an individual who is otherwise eligible for a simplified exemption may be required to go through the standard exemption process if the Department determines such action will help to protect the health and safety of clients. 
(p) If the Department denies or cannot grant a criminal record exemption the Department shall: 
(1) For initial applicants, deny the application. 
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license.
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1558, deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility. 
(4) For individuals residing in the facility or the licensee, exclude the affected individual pursuant to Health and Safety Code Section 1558, deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility. 
(q) If a request for an exemption has been denied, the individual shall be excluded for a period of two years unless the individual has been convicted of a crime for which no exemption may be granted pursuant to Section 80019.1(m). If a request for an exemption has been denied based on a conviction of a crime for which no exemption may be granted, the individual shall be excluded for the remainder of the individual's life. 
(1) If the Department determines during the review of an exemption request, that the individual was denied an exemption for a conviction of a crime for which an exemption may be granted within the preceding two years, the Department shall cease any further review of the request until two years have elapsed from the date of the denial. In cases where the individual requested a hearing on an exemption denial, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department upholding the denial. In cases where the individual submitted a petition for reinstatement or reduction in penalty pursuant to Government Code Section 11522 that was denied, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department denying the petition. 
(2) An exclusion order based solely upon a denied exemption shall remain in effect and the individual shall not be employed in or present in a licensed facility or certified home, unless either a petition or an exemption is granted. 
(3) If an individual who has previously been denied an exemption re-applies after the relevant time period described in Section 80019.1(q)(1) above, the Department may, according to the provisions in Section 80019.1 et seq., grant or deny the subsequent request for an exemption. 
(4) If an individual submits a petition pursuant to Government Code Section 11522 for reinstatement or reduction of penalty for an exclusion, an individual must submit his/her fingerprints through an electronic fingerprinting system approved by the Department and submit to the Department a statement of the reason why the individual should be permitted to work or be present in a facility, along with all information required of an individual requesting a criminal record exemption as provided in Section 80019.1. If it is determined, based upon information provided by the Department of Justice, that the individual has been convicted of a crime for which no exemption may be granted, the petition shall be denied. An individual's failure to submit fingerprints or other information as requested by the Department, shall be grounds for denial of the petition. The burden shall be on the petitioner to prove sufficient rehabilitation and good character to justify the granting of the petition. 
(r) A licensee or applicant for a license may request a transfer of a criminal record exemption from one state licensed facility to another by providing the following documents to the Department: 
(1) A signed Criminal Record Exemption Transfer Request, LIC 9188 (Rev. 9/03). 
(2) A copy of the individual's: 
(A) Driver's license, or 
(B) Valid identification card issued by the Department of Motor Vehicles, or 
(C) Valid photo identification issued by another state or the United States Government if the individual is not a California resident. 
(3) Any other documentation required by the Department (e.g., Criminal Record Statement -- LIC 508, [Rev.1/03] or for Foster Family Homes, Small Family Homes and Certified Family Homes an LIC 508D [Rev. 1/03] and job description). 
(s) The Department may consider factors including, but not limited to, the following in determining whether or not to approve an exemption transfer: 
(1) The basis on which the Department granted the exemption; 
(2) The nature and frequency of client contact in the new position; 
(3) The category of facility where the individual wishes to transfer; 
(4) The type of clients in the facility where the individual wishes to transfer; 
(5) Whether the exemption was appropriately evaluated and granted in accordance with existing exemption laws or regulations; or 
(6) Whether the exemption meets current exemption laws or regulations. 
(t) If the Department denies the individual's request to transfer a criminal record exemption, the Department shall provide the individual and the licensee with written notification that states the Department's decision and informs the affected individual of their right to an administrative hearing to contest the Department's decision. 
(u) At the Department's discretion, an exemption may be rescinded if it is determined that: 
(1) The exemption was granted in error, or 
(2) The exemption does not meet current exemption laws or regulations, or 
(3) The conviction for which an exemption was granted subsequently becomes non-exemptible by law. 
(v) The Department may rescind an individual's criminal record exemption if the Department obtains evidence showing that the individual engaged in conduct that is inconsistent with the good character requirement of a criminal record exemption, as evidenced by factors including, but not limited to, the following: 
(1) Violations of licensing laws or regulations; 
(2) Any conduct by the individual that indicates that the individual may pose a risk to the health and safety of any individual who is or may be a client; 
(3) Nondisclosure of a conviction or evidence of lack of rehabilitation that the individual failed to disclose to the Department, even if it occurred before the exemption was issued; or 
(4) The individual is convicted of a subsequent crime. 
(w) If the Department rescinds an exemption the Department shall: 
(1) Notify the licensee and the affected individual in writing; and 
(2) Initiate an administrative action. 
(x) If the Department learns that an individual with a criminal record clearance or exemption has been convicted of a subsequent crime, the Department, at its sole discretion, may immediately initiate an administrative action to protect the health and safety of clients. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1522 and 1531, Health and Safety Code; and Gresher v. Anderson (2005) 127 Cal. App. 4th. 88.
HISTORY

1. New section filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 38). 
3. Certificate of Compliance as to 5-18-2000 order transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
4. Amendment of section and Note filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction removing duplicate subsections (c)-(e) (Register 2003, No. 36).
6. Amendment of section and Note refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
9. Amendment of section and Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§80019.2. Child Abuse Central Index.
Note     •     History

(a) Prior to issuing a license to care for children, the Department shall conduct a Child Abuse Central Index (CACI) review pursuant to Health and Safety Code Section 1522.1 and Penal Code Section 11170(b)(3). The Department shall check the CACI for the applicant(s), and all individuals subject to a criminal record review, pursuant to Health and Safety Code Section 1522(b) and shall approve or deny a facility license, employment, residence or presence in the facility based on the results of the review.
(1) The applicant shall submit the Child Abuse Central Index check (LIC 198A [3/99] which is incorporated by reference, for state licensed facilities and LIC 198 [4/99] which is incorporated by reference, for county licensed facilities) for all individuals required to be checked, directly to the California Department of Justice at the same time that the individual's fingerprints are submitted for a criminal background check as required by Section 80019(c).
(A) Individuals who have submitted the Child Abuse Central Index check (LIC 198A) with fingerprints on or after January 1, 1999 need not submit a new check if the individual can transfer their criminal record clearance or exemption pursuant to Section 80019(e) or Section 80019.1(f).
(2) The Department shall investigate any reports received from the CACI. The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report. The Department shall not deny a license based upon a report form the CACI unless the Department substantiates the allegation of child abuse.
(b) Subsequent to licensure, all individuals subject to a criminal record review, pursuant to Health and Safety Code Section 1522(b), shall complete a Child Abuse Central Index check (LIC 198A [3/99]), prior to employment, residence or initial presence in the facility that cares for children.
(1) The licensee shall submit the Child Abuse Central Index checks (LIC 198A [3/99]), directly to the California Department of Justice at the same time that the individual's fingerprints are submitted for a criminal background check as required by Section 80019(d).
(A) Individuals who have submitted the Child Abuse Central Index check (LIC 198A) with fingerprints on or after January 1, 1999 need not submit a new check if the individual can transfer their criminal record clearance or exemption pursuant to Section 80019(e) or Section 80019.1(f).
(2) The Department shall check the CACI pursuant to Penal Code Section 11170(b)(3), and shall investigate any reports from the CACI. The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report. The Department shall not deny a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
(3) The Department shall investigate any subsequent reports received from the CACI. The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report. The Department shall not revoke a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1521, 1522, 1522.04, 1531 and 14564, Health and Safety Code.
HISTORY

1. New section filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 38). 
3. Certificate of Compliance as to 5-18-2000 order, including further amendment of subsection (a)(1), transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
4. Amendment of subsection (b)(1) and Note filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b)(1) and Note refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b)(1) and Note refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsections (b) and (b)(1), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§80020. Fire Clearance.
Note     •     History

(a) All facilities shall secure and maintain a fire clearance approved by the city or county fire department, the district providing fire protection services, or the State Fire Marshal.
(1) The request for fire clearance shall be made through and maintained by the licensing agency.
(b) The applicant shall notify the licensing agency if the facility plans to admit any of the following categories of clients so that an appropriate fire clearance, approved by the city or county fire department, the district providing fire protection services, or the State Fire Marshal, can be obtained prior to the acceptance of such clients:
(1) Persons 65 years of age and over.
(2) Persons who are nonambulatory, as defined in section 80001(n)(1).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520, 1528 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 12-30-87 as an emergency; operative 1-1-88 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-2-88.
2. Certificate of Compliance transmitted to OAL 4-28-88 and filed 5-31-88 (Register 88, No. 30).
3. Change without regulatory effect of subsection (b)(2) pursuant to section 100(b)(3), title 1, California Code of Regulations filed 6-8-90; operative 7-8-90 (Register 90, No. 33).
4. Change without regulatory effect amending lettering and correcting cross-references filed 5-18-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
§80021. Water Supply Clearance.
Note

(a) All community care facilities where water for human consumption is from a private source shall meet the following requirements:
(1) As a condition of initial licensure, the applicant shall provide evidence of an onsite inspection of the source of the water and a bacteriological analysis which establishes the safety of the water, conducted by the local health department, the State Department of Health Services or a licensed commercial laboratory.
(2) Subsequent to initial licensure, the licensee shall provide evidence of a bacteriological analysis of the private water supply as frequently as is necessary to ensure the safety of the clients, but no less frequently than specified in the following table:

		Periodic
Licensed	Analysis	Subsequent
Capacity	Required	Analysis
6 or fewer	Initial licensing	Not required unless
		evidence supports
		the need for such
		analysis to
		protect clients.
7 through 15	Initial licensing	Annually
16 through 24	Initial licensing	Semiannually
25 or more	Initial licensing	Quarterly
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520, 1528 and 1531, Health and Safety Code.
§80022. Plan of Operation.
Note     •     History

(a) Each licensee shall have and maintain on file a current, written, definitive plan of operation.
(b) The plan and related materials shall contain the following:
(1) Statement of purposes, and program methods and goals.
(2) Statement of admission policies and procedures regarding acceptance of clients.
(3) A copy of the admission agreement.
(4) Administrative organization, if applicable.
(5) Staffing plan, qualifications and duties, if applicable.
(6) Plan for inservice education of staff if required by regulations governing the specific facility category.
(7) A sketch of the building(s) to be occupied, including a floor plan which describes the capacities of the buildings for the uses intended, room dimensions, and a designation of the rooms to be used for nonambulatory clients, if any.
(8) A sketch of the grounds showing buildings, driveways, fences, storage areas, pools, gardens, recreation areas and other space used by the clients.
(A) The sketch shall include the dimensions of all areas which will be used by the clients.
(9) Sample menus and a schedule for one calendar week indicating the time of day that meals and snacks are to be served.
(10) Transportation arrangements for clients who do not have independent arrangements.
(11) Rate setting policy including, but not limited to, policy on refunds.
(12) A statement whether or not the licensee will handle the clients' money, personal property, and/or valuables. If money, personal property, and/or valuables will be handled, the method for safeguarding shall ensure compliance with Sections 80025 and 80026.
(13) Consultant and community resources to be utilized by the facility as part of its program.
(14) A statement of the facility's policy concerning family visits and other communications with the client pursuant to Health and Safety Code Section 1512.
(c) If the licensee of an ARF, group home (GH), small family home (SFH), foster family home (FFH) or certified family home (CFH) certified by a foster family agency (FFA) plans to use delayed egress devices as specified in Health and Safety Code Section 1531.1(d), the plan must meet the requirements of Health and Safety Code Sections 1531.1(g) and (h).
(d) If the licensee intends to admit or care for one or more clients who have a restricted health condition specified in Section 80092, the facility policies/and a program description shall be included. At a minimum, the information related to those clients and their needs shall specify all of the following:
(1) The type of restricted health condition that the licensee plans to admit.
(2) The licensee's plans for serving that client.
(A) If the licensee plans to admit or care for one or more clients who have a staph or other serious, communicable infection, the plan must include:
1. A statement that all staff will receive training in universal precautions within the first 10 days of employment, and before providing care to these clients.
2. A statement of how the licensee will ensure that the training is obtained, and the name and qualifications of the person or organization that will provide the training.
(3) The services that will be provided.
(4) Staffing adjustments if needed in order to provide the proposed services.
(A) This may include increased staffing, hiring staff with additional or different qualifications, utilizing licensed professionals as consultants, or hiring licensed professionals.
(e) If the licensee intends to admit or care for one or more clients who rely upon others to perform all activities of daily living, the plan of operation must also include a statement that demonstrates the licensee's ability to care for these clients. The evidence of ability may include, but not be limited to:
(1) The licensee's experience in providing care to these clients.
(2) The licensee's experience providing care to a family member with this condition.
(3) The licensee's plan to hire staff who have experience providing care to these clients, and documentation of what the staff person's experience has been.
(4) Documentation of training the licensee and/or staff have completed specific to the needs of these clients.
(5) History of continued placements by a Regional Center.
(f) If  the licensee intends to admit and/or specialize in care for one or more clients who has a propensity for behaviors that result in harm to self or others, the facility plan of operation shall include a description of precautions that will be taken to protect that client and all other clients.
(g) Any changes in the plan of operation which affect the services to clients shall be subject to licensing agency approval and shall be reported as specified in Section 80061.
(h) The facility shall operate in accordance with the terms specified in the Plan of Operation and may be cited for not doing so.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1512, 1520, 1528, 1531 and 1531.1, Health and Safety Code.
HISTORY

1. Amendment of subsection (b)(12) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
2. New subsection (b)(14) filed 12-30-87; operative 1-29-88 (Register 88, No. 2).
3. New subsections (c)-(e), subsection relettering, amendment of newly designated subsection (g) and amendment of Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
4. New subsections (c)-(e), subsection relettering, amendment of newly designated subsection (g) and amendment of Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
5. New subsections (c)-(e), subsection relettering, amendment of newly designated subsection (g) and amendment of Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
6. New subsections (c)-(e), subsection relettering, and amendment of newly designated subsection (g) and amendment of Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
8. New subsections (c)-(e), subsection relettering, amendment of newly designated subsection (g) and amendment of Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80023. Disaster and Mass Casualty Plan.
Note

(a) Each licensee shall have and maintain on file a current, written disaster and mass casualty plan of action.
(b) The plan shall be subject to review by the licensing agency and shall include:
(1) Designation of administrative authority and staff assignments.
(2) Contingency plans for action during fires, floods, and earthquakes, including but not limited to the following:
(A) Means of exiting.
(B) Transportation arrangements.
(C) Relocation sites which are equipped to provide safe temporary accommodation for clients.
(D) Arrangements for supervision of clients during evacuation or relocation, and for contact after relocation to ensure that relocation has been completed as planned.
(E) Means of contacting local agencies, including but not limited to the fire department, law enforcement agencies, and civil defense and other disaster authorities.
(c) The licensee shall instruct all clients, age and abilities permitting, all staff, and/or members of the household in their duties and responsibilities under the plan.
(d) Disaster drills shall be conducted at least every six months.
(1) Completion of such drills shall not require travel away from the facility grounds or contact with local disaster agencies.
(2) The drills shall be documented and the documentation maintained in the facility for at least one year.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520, 1528 and 1531, Health and Safety Code.
§80024. Waivers and Exceptions.
Note     •     History

(a) Unless prior written licensing agency approval is received as specified in (b) below, all licensees shall maintain continuous compliance with the licensing regulations.
(b) The licensing agency shall have the authority to approve the use of alternate concepts, programs, services, procedures, techniques, equipment, space, personnel qualifications or staffing ratios, or the contact of experimental or demonstration projects under the following circumstances:
(1) Such alternatives shall be carried out with provisions for safe and adequate services, and shall in no instance be detrimental to the health and safety of any facility client.
(2) The applicant or licensee shall submit to the licensing agency a written request for a waiver or exception, together with substantiating evidence supporting the request.
(3) (See Manual of Policies and Procedures)
(4) The licensing agency shall provide written approval or denial of the request.
(c) Within 30 days of receipt of a request for a waiver or an exception, the licensing agency shall notify the applicant or licensee, in writing, of one of the following:
(1) The request with substantiating evidence has been received and accepted for consideration.
(2) The request is deficient, describing additional information required for the request to be acceptable and a time frame for submitting this information.
(A) Failure of the applicant or licensee to comply within the time specified in (2) above shall result in denial of the request.
(d) Within 30 days of receipt of an acceptable request for a waiver or an exception, the licensing agency shall notify the applicant or licensee, in writing, whether the request has been approved or denied.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1509 and 1531, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations renumbering former section 80024 to section 80036, and renumbering Section 80025 to section 80024 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. New subsections (c) and (d) filed 8-8-91; operative 9-9-91 (Register 91,  No. 50).
3. Editorial correction relocating misplaced subsections (Register 97, No. 5).
§80025. Bonding.
Note     •     History

(a) The licensee shall submit an affidavit, on a form provided by the licensing agency, stating whether he/she safeguards or will safeguard cash resources of clients and the maximum amount of cash resources to be safeguarded for all clients or each client in any month.
(b) All licensees, other than governmental entities, who are entrusted to care for and control clients' cash resources shall file or have on file with the licensing agency, a bond issued by a surety company to the State of California as principal.
(c) The amount of the bond shall be according to the following schedule:

Amount Safeguarded Per Month	Bond Required

	$750 or less	$1,000
	$751 to $1,500	$2,000
	$1,501 to $2,500	$3,000
Every further increment of $1,000 or fraction thereof shall require an additional $1,000 on the bond.
(d) The licensee shall submit a new affidavit and bond to the licensing agency prior to the licensee safeguarding amounts of clients' cash resources in excess of the current bond.
(e) Whenever the licensing agency determines that the amount of the bond is insufficient to provide necessary protection of clients' cash resources, or whenever the amount of any bond is impaired by any recovery against the bond, the licensing agency shall have the authority to require the licensee to file an additional bond in such amount as the licensing agency determines to be necessary to protect the clients' cash resources.
(f) The provisions of this section shall not apply if the licensee meets the requirements specified in Section 1560 of the Health and Safety Code.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1560 and 1561, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 80025 to Section 80024, and renumbering Section 80026 to Section 80025 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
§80026. Safeguards for Cash Resources, Personal Property, and Valuables.
Note     •     History

(a) A licensee shall not be required to accept for admission or continue to care for any client whose incapacities, as documented by the initial or subsequent needs appraisals, would require the licensee to handle such client's cash resources.
(b) If such a client is accepted for or maintained in care, his/her cash resources, personal property, and valuables not handled by a person outside the facility who has been designated by the client or his/her authorized representative shall be handled by the licensee or facility staff, and shall be safeguarded in accordance with the requirements specified in (c) through (n) below.
(c) Except where provided for in approved continuing care agreements, no licensee or employee of a licensee shall: 
(1) accept appointment as a guardian or conservator of the person and/or estate of any client;
(2) accept any general or special power of attorney except for Medi-Cal or Medicare claims for any client; 
(3) become the substitute payee for any payments made to any client.
(A) This requirement does not apply to a licensee who is appointed by the Social Security Administration as representative payee for the client.
(4) become the joint tenant on any account specified in Section 80026(i) with a resident.
(d) Cash resources, personal property, and valuables of clients handled by the licensee shall be free from any liability the licensee incurs.
(e) Cash resources, personal property, and valuables of clients shall be separate and intact, and shall not be commingled with facility funds or petty cash.
(1) The above requirement shall not prohibit the licensee from providing advances or loans to clients from facility funds.
(A) Documentation of such transactions shall be maintained in the facility.
(f) The licensee or employee of a licensee shall not make expenditures from clients' cash resources for any basic services specified in these regulations, or for any basic services identified in a contract/admission agreement between the client and the licensee.
(1) This requirement does not apply to a licensee who is appointed by the Social Security Administration as representative payee for the clients.
(g) The licensee shall not commingle cash resources and valuables of clients with those of another community care facility of a different license number regardless of joint ownership.
(h) Each licensee shall maintain accurate records of accounts of cash resources, personal property, and valuables entrusted to his/her care, including, but not limited to the following:
(1) Records of clients' cash resources maintained as a drawing account, which shall include a current ledger accounting, with columns for income, disbursements and balance, for each client. Supporting receipts for purchases shall be filed in chronological order.
(A) Receipts for cash provided to any client from his/her account(s) shall include the client's full signature or mark, or authorized representative's full signature or mark, and a statement acknowledging receipt of the amount and date received, as follows:
“(full signature of client) accepts (dollar amount) (amount written cursive), this date (date), from (payor).”
(B) The store receipt shall constitute the receipt for purchases made for the client from his/her account.
(C) The original receipt for cash resources, personal property or valuables entrusted to the licensee shall be provided to the client's authorized representative, if any, otherwise to the client.
(2) Bank records for transactions of cash resources deposited in and drawn from the account specified in (i) below.
(i) Immediately upon admission of a client, all of his/her cash resources entrusted to the licensee and not kept in the licensed facility shall be deposited in any type of bank, savings and loan, or credit union account meeting the following requirements:
(1) The account shall be maintained as a trust account separate from the personal or business accounts of the licensee.
(2) The account title shall clearly note that the account contains client cash resources.
(3) The licensee shall provide access to the cash resources upon demand by the client or his/her authorized representative.
(4) The account shall be maintained in a local bank, savings and loan or credit union authorized to do business in California, the deposits of which are insured by a branch of the Federal Government.
(A) A local public agency shall have the authority to deposit such cash resources with the public treasurer.
(j) Cash resources entrusted to the licensee and kept on the facility premises, shall be kept in a locked and secure location.
(k) Upon discharge of a client, all cash resources, personal property, and valuables of that client which have been entrusted to the licensee shall be surrendered to the client, or his/her authorized representative, if any.
(1) The licensee shall obtain and retain a receipt signed by the client or his/her authorized representative.
(l) Upon the death of a client, all cash resources, personal property and valuables of that client shall immediately be safeguarded in accordance with the following requirements:
(1) All cash resources shall be placed in an account as specified in (i) above.
(2) The executor or the administrator of the estate shall be notified by the licensee of the client's death, and the cash resources, personal property, and valuables shall be surrendered to said party in exchange for a signed, itemized receipt.
(3) If no executor or administrator has been appointed, the authorized representative, if any, shall be notified by the licensee of the client's death, and the cash resources, personal property, and valuables shall be surrendered to said person in exchange for a signed, itemized receipt.
(4) If the licensee is unable to notify a responsible party as specified in (2) or (3) above, the licensee shall give immediate written notice of the client's death to the public administrator of the county as provided in Section 7600.5 of the California Probate Code.
(m) The following requirements shall be met whenever there is a proposed change of licensee:
(1) The licensee shall notify the licensing agency of any pending change of licensee, and shall provide the licensing agency an accounting of each client's cash resources, personal property and valuables entrusted to his/her care.
(A) Such accounting shall be made on form provided or approved by the licensing agency.
(2) Provided the licensing agency approves the application for the new licensee, the form specified in (1)(A) above shall be updated, signed by both the former and new licensee, and forwarded to the licensing agency.
(n) The licensee shall maintain a record of all monetary gifts and of any other gift exceeding an estimated value of $100, provided by or on behalf of a client to the licensee, administrator or staff.
(1) The record shall be attached to the account(s) specified in (h) above if the client's cash resources, personal property or valuables have been entrusted to the licensee.
(2) Monetary gifts or valuables given by the friends or relatives of a deceased client shall not be subject to the requirement specified in (n) and (n)(1) above.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1531 and 1560, Health and Safety Code; and 20 CFR 416.601.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 80026 to Section 80025, and renumbering of Section 80027 to Section 80026 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Amendment of subsection (c), designation of subsections (c)(1)-(4), new subsection (f)(1) and amendment of Note filed 8-21-95; operative 9-20-95 (Register 95, No. 34).
3. Change without regulatory effect amending subsection (l)(4) filed 12-4-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 49).
§80027. Initial Application Review.
Note     •     History

(a) Within 90 days of receipt of the application by the licensing agency, the licensing agency shall give written notice to the applicant of one of the following:
(1) The application is complete.
(2) The application is deficient, describing what documents are outstanding and/or inadequate, and informing the applicant that the information must be submitted within 30 days of the date of the notice.
(A) If the applicant does not submit the required information within the 30 days, the application shall be deemed withdrawn unless either the licensing agency has denied the application or the facility is under construction. 
(b) The licensing agency shall cease review of any application under the conditions specified in Section 1520.3 of the Health and Safety Code.
(1) If cessation of review occurs, the application shall be returned to the applicant. It shall be the responsibility of the applicant to request resumption of review as specified in Health and Safety Code Section 1520.3.
(c) The circumstances and conditions in which the licensing agency may continue to review a previously denied application shall include, but are not limited to, the following:
(1) A fire clearance previously denied, but now approved;
(2) An Administrator who did not meet the minimum qualifications, but now fulfills the qualifications; or
(3) A person with a criminal record, which was the basis for license denial, is no longer associated with the facility.
(d) The application review shall not constitute approval of the application.
(f) The application fees shall be nonrefundable as specified in Section 80036(d).
NOTE

Authority cited: Sections 1524 and 1530, Health and Safety Code. Reference: Sections 1520 1520.3, 1522.1, 1523.1 and 1524, Health and Safety Code; and Section 15736, Government Code.
HISTORY

1. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations renumbering former section 80027 to section 80026, and renumbering of section 80028 to section 80027 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Amendment of subsections (a) and (b) and subsection relettering filed 8-8-91; operative 9-9-91 (Register 91, No. 50).
3. Amendment of subsections (b), (c) and NOTE filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
4. Change without regulatory effect amending subsection (b)(6) filed 6-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 24).
5. Amendment of section and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§80028. Capacity Determination.
Note     •     History

(a) A license shall be issued for a specific capacity.
(b) The number of persons for whom the facility is licensed to provide care and supervision shall be determined on the basis of the application review by the licensing agency, which shall take into consideration the following:
(1) The fire clearance specified in Section 80020.
(2) The licensee's/administrator's ability to comply with applicable law and regulation.
(3) Any other household members, including but not limited to persons under guardianship or conservatorship, who reside at the facility and their individual needs.
(4) Facilities which accept minor parents and his/her child(ren) shall have such children included in the facility's licensed capacity.
(5) Physical features of the facility, including available living space, which are necessary in order to comply with regulations.
(6) Number of available staff to meet the care and supervision needs of the clients.
(7) Any restrictions pertaining to the specific category of facility.
(c) The licensing agency shall be authorized to issue a license for fewer clients than is requested when the licensing agency determines that:
(1) The licensee's responsibilities to other persons in the home, including persons under guardianship and conservatorship, would preclude provision of the care required by these regulations.
(d) When the license is issued for fewer clients than requested, the licensee shall be notified in writing of the reasons for the limitation and of the licensee's rights to appeal the decision as specified in Section 80040.
(e) The licensing agency shall have the authority to decrease existing licensed capacity with the licensee's agreement, when there is a change in any of the factors specified in (b) above.
(1) If the licensee does not agree to the decrease in capacity, the licensing agency shall have the authority to initiate revocation action as specified in Section 80042.
(f) The licensing agency shall be authorized to restrict care to specific individuals.
(1) If care and supervision is limited to specific individuals, the licensing agency shall specify the names of the individuals in a letter to the licensee.
(2) Except where the limitation is requested by the licensee, the licensee shall be notified in writing of the reasons for such limitation and of the licensee's right to appeal the decision as specified in Section 80040.
NOTE

Authority cited: Section 1530, Health and Safety Code; and Section 10554, Welfare and Institutions Code. Reference: Section 11465, Welfare and Institutions Code; and Sections 1501, 1523, 1524, 1528 and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 80028 to Section 80027, and renumbering of Section 80029 to Section 80028 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. New subsection (b)(4) filed 2-27-89 as an emergency; operative 2-28-89 (Register 89, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-28-89.
3. New subsection (b)(4) refiled 7-25-89 as an emergency; operative 7-25-89 (Register 89, No. 30). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-22-89.
4. Certificate of Compliance as to 7-25-89 order transmitted to OAL 11-16-89 and filed 12-15-89 (Register 89, No. 51).
§80029. Withdrawal of Application.
Note     •     History

(a) An applicant shall have the right to withdraw an application.
(1) Such withdrawal shall be in writing.
(2) The fee for processing the application shall be forfeited.
NOTE

Authority cited: Sections 1530 and 1553, Health and Safety Code. Reference: Sections 1520, 1523.1, 1524 and 1553, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations renumbering former section 80029 to section 80028, and renumbering of section 80030 to section 80029 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Editorial correction of printing error removing erroneous subsection (a)(1)(A) (Register 91, No. 32).
3. Change without regulatory effect amending section and Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
§80030. Provisional License.
Note     •     History

(a) The licensing agency shall have the authority to issue a provisional license to an applicant, pending action under Sections 80031 or 80040 on a completed application for an initial license, if it determines that all of the following circumstances exist:
(1) The facility is in substantial compliance with applicable law and regulation.
(2) An urgent need for licensure exists.
(3) A corporate applicant's board of directors, executive director and officer are eligible for licensure as specified in Health and Safety Code Section 1520.11(b).
(b) The capacity of a provisional license shall be limited to the number of clients for whom urgent need has been established, or the capacity established for the specific facility, whichever is less.
(c) The licensing agency shall have the authority to issue a provisional license for a maximum of six months when it determines that full compliance with licensing regulations will be achieved within that time period.
(d) The licensing agency shall have the authority to issue a provisional license for a maximum of 12 months when it determines, at the time of application, that more than six months is required to achieve full compliance with licensing regulations due to circumstances beyond the control of the applicant.
(e) If, during the provisional license period, the licensing agency discovers any serious deficiencies, the Department shall have the authority to institute administrative action or civil proceedings, or to refer the case for criminal prosecution.
(f) A provisional license shall not be renewable and shall terminate on the date specified on the license, or upon denial of the application, whichever is earlier.
NOTE

Authority cited: Sections 1523, 1530 and 1553, Health and Safety Code. Reference: Sections 1520, 1520.11, 1523, 1524, 1525.5, 1528 and 1553, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 80030 to Section 80029, and renumbering of Section 80031 to Section 80030 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. New subsection (a)(3) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
§80031. Issuance of License.
Note     •     History

(a) Within 90 days of the date that a completed application, as defined in Section 80001c.(8), has been received, the licensing agency shall give written notice to the applicant of one of the following:
(1) The application has been approved.
(2) The application has been denied.
(A) The notice of denial shall include the information specified in Section 80040.
(b) The licensing agency shall notify the applicant, in writing, of the issuance of the license.
(1) Issuance of the license itself shall constitute written notification of license approval.
(c) No limitation shall be imposed on the licensee or printed on the license solely on the basis that a licensee is a parent who has administered or will continue to administer corporal punishment, not constituting child abuse as defined in Section 11165, subdivision (g) of the Penal Code, or Section 1531.5(c) of the Health and Safety Code, on his/her own child(ren).
(d) The licensing agency's completed review of an application for the two years immediately preceding this regulation has been approximately:
(1) A minimum of 30 days.
(2) A median of 90 days.
(3) A maximum of 180 days.
NOTE

Authority cited: Sections 1530 and 1553, Health and Safety Code. Reference: Sections 1509, 1520, 1520.5, 1525, 1526, 1531.5 and 1553, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations renumbering former section 80031 to section 80030, and renumbering of section 80032 to section 80031 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Amendment of subsections (a) and (b) and adoption of subsection (d) filed 8-8-91; operative 9-9-91 (Register 91, No. 50).
§80032. Term of an Initial or Renewal License.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1524, 1525 and 1529, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 80032 to Section 80031, and renumbering of Section 80033 to Section 80032 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Change without regulatory effect repealing section filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
§80033. Application for Renewal of a License.
Note     •     History

NOTE

Authority cited: Sections 1523 and 1530, Health and Safety Code. Reference: Sections 1520, 1523, 1524, 1525 and 1528, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 80033 to Section 80032, and renumbering of Section 80034 to Section 80033 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Change without regulatory effect repealing section filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
§80034. Submission of New Application.
Note     •     History

(a) A licensee shall file a new application as required by Section 80018 whenever there is a change in conditions or limitations described on the current license, or other changes including but not limited to the following:
(1) Any change in the location of the facility.
(2) Any change of licensee, including but not limited to the following when the licensee is a corporation.
(A) Sale or transfer of the majority of stock.
(B) Separating from a parent company.
(C) Merger with another company.
(3) Any change in facility category.
(4) Any increase in capacity.
(A) The licensing agency shall have the authority to grant capacity increases without resubmission of an application following a licensing agency review and the securing of an appropriate fire clearance.
(5) A permanent change in any client from ambulatory to nonambulatory status.
(b) A new application as required by Section 80018 shall be filed whenever an applicant fails to complete a new application within the time limit required by Section 80027(a) if the applicant chooses to continue the application process.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520, 1523.1 and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 80034 to Section 80033, and renumbering of Section 80035 to Section 80034 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Change without regulatory effect repealing subsection (c) and amending Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
§80035. Conditions for Forfeiture of a Community Care Facility License.
Note     •     History

(a) Conditions for forfeiture of a community care facility license may be found in Section 1524 of the Health and Safety Code.
(1) “Licensee abandons the facility” shall mean either of the following:
(A) The licensee informs the licensing agency that the licensee no longer accepts responsibility for the facility, or
(B) The licensing agency is unable to determine the licensee's whereabouts after the following:
1. The licensing agency requests information of the licensee's whereabouts from the facility's staff if any staff can be contacted; and
2. The licensing agency has made at least one (1) phone call per day, to the licensee's last telephone number of record, for five (5) consecutive workdays with no response; and
3. The licensing agency has sent a certified letter, requesting the licensee to contact the licensing agency, to the licensee's last mailing address of record with no response within seven (7) calendar days.
(b) If the facility licensee dies, an adult relative who has control of the property shall be permitted to operate a previously licensed facility under an Emergency Approval to Operate (LIC 9117 4/93) (EAO) providing the following conditions are met:
(1) The relative or an adult acting on the relative's behalf notifies the Department by telephone during the first working day after the licensee's death that the relative intends to operate the community care facility.
(2) The relative files with the Department within five days of the licensee's death an Application for License (LIC 200 7/91) and evidence of the licensee's death as defined in Section 80001(e)(4).
(A) Notwithstanding the instructions on the Application for License (LIC 200 7/91), the Department shall permit the relative to submit only the information on the front side of that form.
(3) The relative files with the California Department of Justice within five calendar days of the licensee's death his/her fingerprint cards.
(c) If the adult relative complies with (b)(1) and (2) above, he/she shall not be considered to be operating an unlicensed facility pending the Department's decision on whether to approve a provisional license.
(d) The Department shall make a decision within 60 days after the application is submitted on whether to issue a provisional license pursuant to Section 80030.
(1) A provisional license shall be granted only if the Department is satisfied that the conditions specified in (b) above and Section 80030 have been met and that the health and safety of the residents of the facility will not be jeopardized.
NOTE

Authority cited: Sections 1524(e) and 1530, Health and Safety Code. Reference: Sections 1524 and 1524(e), Health and Safety Code. 
HISTORY

1. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations renumbering former section 80035 to section 80034, and renumbering of section 80036 to section 80035 filed 1-9-89 (Register 89, No. 3). For prior history, see Registers 88, No. 10 and 88, No. 2.
2. Amendment of subsection (a) and adoption of NOTE filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
3. New subsections (b)-(d)(1) and amendment of Note filed 6-15-93; operative 7-15-93 (Register 93, No. 25).
§80036. Licensing Fees.
Note     •     History

(a) An applicant or a licensee shall be charged fees as specified in Health and safety Code Section 1523.1.
(b) An additional fee shall be charged when the licensee requests an increase or decrease in capacity as specified in Health and Safety Code Section 1523.1(b)(1)(C).
(c) When a licensee moves a facility from one location to another, the relocation fee shall be as specified in Health and Safety Code Section 1523.1(b)(1)(A).
(1) To qualify for the relocation fee the following shall apply:
(A) The licensee shall have notified the licensing agency before actually relocating the facility.
(B) The categorical type of facility shall remain the same when relocating the facility.
(C) The fee shall be by requested capacity at the new location.
(d) The fees shall be nonrefundable.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1523.1 and 1524, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations renumbering former section 80036 to section 80035, and renumbering of  section 80024 to section 80036 filed 1-9-89 (Register 89, No. 3). For prior history, see Registers 88, No. 10 and 88, No. 2.
2. Amendment of subsection (e) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
3. Editorial correction of subsections (b)(2) and (d) table headings (Register 98, No. 36).
4. Change without regulatory effect amending section heading, section and Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
5. Change without regulatory effect amending section heading, section and Note filed 6-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 24).
Article 4. Administrative Actions
§80040. Denial of Initial License.
Note     •     History

(a) Except as specified in Section 80030, which provides for issuance of a provisional license based upon substantial compliance and urgent need, the licensing agency shall deny an application for an initial license if it is determined that the applicant is not in compliance with applicable law and regulation.
(1) The licensing agency shall have the authority to deny an application for an initial license if the applicant has failed to pay any civil penalty assessments pursuant to Section 80058 and in accordance with a final judgment issued by a court of competent jurisdiction, unless payment arrangements acceptable to the licensing agency have been made.
(2) An application for initial licensure shall not be denied solely on the basis that the applicant is a parent who has administered or will continue to administer corporal punishment, not constituting child abuse as defined in Section 11165, subdivision (g) of the Penal Code, or Section 1531.5(c) of the Health and Safety Code, on his/her own child(ren).
(3) An application for licensure shall be denied as specified in Health and Safety Code Sections 1520.11(b), (d) and 1550.
(b) If the application for an initial license is denied, the licensing agency shall mail the applicant a written notice of denial.
(1) The notification shall inform the applicant of and set forth the reasons for the denial, and shall advise the applicant of the right to appeal.
(c) If the application for an initial license is denied, the application processing fee shall be forfeited.
(d) An applicant shall have the right to appeal the denial of the application pursuant to Health and Safety Code Section 1526.
(e) Notwithstanding any appeal action, the facility is unlicensed and shall not operate pending adoption by the director of a decision on the denial action.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1520, 1520.11, 1525, 1526, 1528, 1547 and 1548, Health and Safety Code.
HISTORY

1. New subsection (a)(1) filed 6-5-84; effective thirtieth day thereafter (Register 84, No. 23).
2. Amendment filed 12-22-87; operative 1-21-88 (Register 88, No. 2).
3. Amendment of subsection (a) filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
4. Change without regulatory effect of subsection (a) pursuant to Section 100, Title 1, California Code of Regulations filed 1-9-89 (Register 89, No. 3).
5. New subsection (a)(3) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
§80041. Denial of a Renewal License.
Note     •     History

NOTE

Authority cited: Sections 1523 and 1530, Health and Safety Code. Reference: Sections 1520, 1523, 1524, 1525, 1526 and 1528, Health and Safety Code.
HISTORY

1. New subsection (e) filed 6-5-84; effective thirtieth day thereafter (Register 84, No. 23).
2. Amendment filed 12-22-87; operative 1-21-88 (Register 88, No. 2).
3. Change without regulatory effect of subsection (a)(4) pursuant to section 100, title 1, California Code of Regulations filed 1-9-89 (Register 89, No. 3).
4. Change without regulatory effect of subsection (a)(1) pursuant to section 100, title 1, California Code of Regulations filed 10-31-89 (Register 89, No. 49).
5. Change without regulatory effect amending subsection (a)(1) filed 1-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 8).
6. Change without regulatory effect amending lettering and correcting cross-references filed 5-18-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
7. Change without regulatory effect repealing section filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
§80042. Revocation or Suspension of License.
Note     •     History

(a) The Department shall have the authority to suspend or revoke any license on any of the grounds specified in Health and Safety Code Sections 1550 and 1550.5.
(b) Proceedings to hear a revocation action or a revocation and temporary suspension action shall be conducted pursuant to the provisions of Health and Safety Code Section 1551.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1550, 1550.5 and 1551, Health and Safety Code.
HISTORY

1. Amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
§80043. Licensee/Applicant Complaints.
Note

(See Manual of Policies and Procedures)
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§80044. Inspection Authority of the Licensing Agency.
Note     •     History

(a) The licensing agency shall have the inspection authority specified in Health and Safety Code Sections 1526.5, 1533, 1534 and 1538.
(b) The licensing agency shall have the authority to interview clients, including children, or staff members without prior consent.
(1) The licensee shall ensure that provisions are made for private interviews with any clients, including children, or any staff members.
(c) The licensing agency shall have the authority to inspect, audit, and copy client or facility records upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the requirements specified in Sections 80066(c) and 80070(d).
(1) The licensee shall ensure that provisions are made for the examination of all records relating to the operation of the facility.
(d) The licensing agency shall have the authority to observe the physical condition of the client, including conditions that could indicate abuse, neglect, or inappropriate placement, and to have a licensed medical professional physically examine the client.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1526.5, 1531, 1533, 1534 and 1538, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 11-16-87; operative 12-16-87 (Register 87, No. 47).
2. Amendment of section heading, section and Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§80045. Evaluation Visits.
Note     •     History

(a) Community care facilities shall be evaluated as specified in Health and Safety Code sections 1534 and 1548.
(b) The licensing agency shall have the authority to make any number of other visits to a facility in order to determine compliance with applicable law and regulation.
NOTE

Authority cited: Sections 1530 and 1548, Health and Safety Code. Reference: Sections 1533, 1534, 1538 and 1548, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and repealer of subsection (c) filed 12-21-90; operative 1-20-91 (Register 91, No. 7).
2. Editorial correction of printing error (Register 91, No. 17).
3. Amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§80046. Exclusions.
Note     •     History

(a) An individual can be prohibited from serving as a member of a board of directors, executive director, or officer; from being employed or allowing an individual in a licensed facility as specified in Health and Safety Code Sections 1558 and 1558.1.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1558 and 1558.1, Health and Safety Code.
HISTORY

1. New section filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
§80051. Serious Deficiencies.
Note     •     History

(See Manual of Policies and Procedures)
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1531 and 1534, Health and Safety Code.
HISTORY

1. Amendment of Note filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§80052. Deficiencies in Compliance.
Note     •     History

(a) When a licensing evaluation is conducted and the evaluator determines that a deficiency exists the evaluator shall issue a notice of deficiency, unless the deficiency is not serious and is corrected during the visit.
(b) Prior to completion of an evaluation or other licensing visit, the licensee, administrator, operator, or other person in charge of the facility shall meet with the evaluator to discuss any deficiencies noted, to jointly develop a plan for correcting each deficiency, and to acknowledge receipt of the notice of deficiency.
(c) The evaluator shall provide notice of deficiency to the licensee by one of the following:
(1) Personal delivery to the licensee, at the completion of the visit.
(2) If the licensee is not at the facility site, leaving the notice with the person in charge of the facility at the completion of the visit.
(A) Under such circumstances, a copy of the notice shall also be mailed to the licensee.
(3) If the licensee or the person in charge of the facility refuses to accept the notice a notation of the refusal shall be written on the notice and a copy left at the facility.
(A) Under such circumstances, a copy of the notice shall also be mailed to the licensee.
(d) The notice of deficiency shall be in writing and shall include the following:
(1) Citation of the statute or regulation which has been violated.
(2) A description of the nature of the deficiency stating the manner in which the licensee failed to comply with a specified statute or regulation, and the particular place or area of the facility in which it occurred.
(3) The plan developed, as specified in (b) above, for correcting each deficiency.
(4) A date by which each deficiency shall be corrected.
(A) In determining the date for correcting a deficiency, the evaluator shall consider the following factors:
1. The potential hazard presented by the deficiency.
2. The number of clients affected.
3. The availability of equipment or personnel necessary to correct the deficiency.
4. The estimated time necessary for delivery, and for any installation, of necessary equipment.
(B) The date for correcting a deficiency shall not be more than 30 calendar days following service of the notice of deficiency, unless the evaluator determines that the deficiency cannot be completely corrected in 30 calendar days.
(C) If the date for correcting the deficiency is more than 30 calendar days following service of the notice of deficiency, the notice shall specify the corrective actions which must be taken within 30 calendar days to begin correction.
(D) The evaluator shall require correction of the deficiency within 24 hours and shall specify on the notice the date by which the correction must be made whenever penalties are assessed pursuant to sections 80054(c), (d) and (e).
(5) The amount of penalty being assessed and the date the penalty begins.
(6) The address and telephone number of the licensing office responsible for reviewing notices of deficiencies for the area in which the facility is located.
NOTE

Authority cited: Sections 1530 and 1548, Health and Safety Code. Reference: Sections 1534 and 1548, Health and Safety Code.
HISTORY

1. Amendment of subsections (c) and (d) filed 12-21-90; operative 1-20-91 (Register 91, No. 7).
§80053. Follow-Up Visits to Determine Compliance.
Note     •     History

(a) A follow-up visit shall be conducted to determine compliance with the plan of correction specified in the notice of deficiency.
(1) At a minimum, a follow-up visit shall be conducted within ten working days following the dates of corrections specified in the notice of deficiency, unless the licensee has demonstrated that the deficiency was corrected as required.
(2) No penalty shall be assessed unless a follow-up visit is conducted as specified in (a) and (a)(1) above.
(b) If a follow-up visit indicates that a deficiency was not corrected on or before the date specified in the notice of deficiency, the evaluator shall issue a notice of penalty.
(c) A notice of penalty shall be in writing and shall include:
(1) The amount of penalty assessed, and the date the payment is due.
(2) The name and address of the agency responsible for collection of the penalty.
(d) When an immediate penalty has been assessed pursuant to sections 80054(c), (d), (e) and (f) and correction is made when the evaluator is present, a follow-up visit is not required.
NOTE

Authority cited: Sections 1530 and 1548, Health and Safety Code. Reference: Sections 1533, 1534 and 1548, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 12-21-90; operative 1-20-91 (Register 91, No. 7).
§80054. Penalties.
Note     •     History

(a) A penalty of $50 per day, per cited violation, shall be assessed for serious deficiencies that are not corrected by the date specified in the notice of deficiency, up to a maximum of $150 per day.
(b) Notwithstanding Section 80054(a) above, an immediate penalty of $100 per cited violation per day for a maximum of five (5) days shall be assessed if  any individual required to be fingerprinted under Health and Safety Code Section 1522(b) has not obtained a California clearance or a criminal record exemption, requested a transfer of a criminal record clearance or requested and be approved for a transfer of an exemption as specified in Section 80019(e) prior to working, residing or volunteering in the facility. 
(1) Subsequent violations within a twelve (12) month period will result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days.
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1548. 
(3) Progressive civil penalties specified in Sections 80054(d) and (e) below shall not apply. 
(c) Notwithstanding Section 80054(a) above, an immediate penalty of $150 per day shall be assessed for any of the following:
(1) Sickness, injury or death of a client has occurred as a result of the deficiency.
(d) When a facility is cited for a deficiency and violates the same regulation subsection within a 12-month period, the facility shall be cited and an immediate penalty assessment of $150 per cited violation shall be assessed for one day only. Thereafter a penalty of $50 per day, per cited violation, shall be assessed until the deficiency is corrected.
(e) When a facility, that was cited for a deficiency subject to the immediate penalty assessment in Section 80054(d) above, violates the same regulation subsection within a 12-month period of the last violation, the facility shall be cited and an immediate penalty of $150 per cited violation shall be assessed for one day only. Thereafter, a penalty of $150 per day, per cited violation, shall be assessed until the deficiency is corrected.
(1) For purposes of Sections 80054 (d) and (e) above, a regulation subsection is the regulation denoted by a lower-case letter after the main regulation number. 
(f) If any deficiency is not corrected by the date specified in the notice of deficiency, a penalty shall be assessed for each day following that date until compliance has been demonstrated.
(1) Immediate penalty assessment as specified in (c), (d) and (e) above, shall begin on the day the deficiency is cited.
(g) If a licensee or his/her representative reports to the licensing agency that a deficiency has been corrected, the penalty shall cease as of the day the licensing agency receives notification that the correction was made.
(1) If the deficiency has not been corrected, civil penalties shall continue to accrue from the date of the original citation.
(2) If it can be verified that the correction was made prior to the date of notification, the penalty shall cease as of that earlier date.
(h) If necessary, a site visit shall be made immediately or within five working days to confirm deficiency has been corrected.
(i) If an immediate civil penalty is assessed, and the deficiency is corrected on the same day, the penalty shall still be assessed for that day.
(j) Unless otherwise ordered by the Department all penalties are due and payable upon receipt of notice for payment, and shall be paid only by check or money order made payable to the agency indicated in the notice.
(k) The licensing agency shall have the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in (j) above.
NOTE

Authority cited: Sections 1530 and 1548, Health and Safety Code. Reference: Sections 1522, 1534 and 1548, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and repealer of subsection (c) filed 12-21-90; operative 1-20-91 (Register 91, No. 7).
2. Editorial correction of subsection (e) (Register 97, No. 5).
3. Amendment of section and Note filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
4. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsections (b) and (b)(1) and repealer of former subsection (b)(1)(A), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
8. Amendment of subsection (b), new subsection (b)(1), subsection renumbering and amendment of newly designated subsection (b)(2) filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§80055. Administrative Review.
Note

(a) A licensee or his/her representative shall have the right to request a review of a notice of deficiency and/or notice of penalty within 10 working days of receipt of such notice(s).
(1) If the deficiency has not been corrected, civil penalties shall continue to accrue during the review process.
(b) The review shall be conducted by a higher level staff person than the evaluator who issued the notice(s).
(c) If the reviewer determines that a notice of deficiency or notice of penalty was not issued or assessed in accordance with applicable statutes and regulations of the Department, or that other circumstances existed, he/she shall have the authority to amend or dismiss the notice.
(d) The reviewer shall have the authority to extend the date specified for correction of a deficiency if warranted by the facts or circumstances presented to support a request for extension.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1534, Health and Safety Code.
§80055.1. Denial or Revocation of License for Failure to Pay Civil Penalties.
Note     •     History

(a) The licensee shall be responsible for paying civil penalties. 
(1) Unless otherwise provided, the transfer, surrender, forfeiture or revocation of a license shall not affect the licensee's responsibility for paying any civil penalties accrued while the license was in effect. 
(b) The Department shall have the authority to deny or revoke any license for failure to pay civil penalty assessments. 
(1) The Department shall have the authority to approve payment arrangements acceptable to the Department. 
(2) The Department shall have the authority to approve the form of payment. 
(3) The licensee's failure to pay civil penalty assessments pursuant to a payment plan approved by the Department may result in the denial or revocation of any license, and/or any other appropriate action. 
(c) Any denial or revocation of the license for failure to pay civil penalties may be appealed as provided by Health and Safety Code Section 1551. 
NOTE

Authority cited: Sections 1530 and 1548, Health and Safety Code. Reference: Sections 1522, 1534, 1548 and 1551, Health and Safety Code. 
HISTORY

1. New section filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
§80056. Exemption from Civil Penalties.
Note

(a) Civil penalties shall not be assessed against any governmental entity, including a state, or city, holding a community care facility license.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1534, Health and Safety Code.
§80058. Unlicensed Facility Penalties.
Note     •     History

(a) A penalty of $200 per day shall he assessed for the operation of an unlicensed facility under either of the following conditions:
(1) The operator has not submitted a completed application for licensure within 15 calendar days of issuance of the Notice of Operation in Violation of Law pursuant to Section 80006, and continues to operate.
(A) For purposes of this section, an application shall be deemed completed if it includes the information required in Section 80018.
(B) The completed application shall be deemed to be submitted when received by the licensing agency.
(2) Unlicensed operation continues after denial of the initial application.
(A) Notwithstanding any appeal action, facility operation must cease within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first.
(b) The $200 per day penalty shall be assessed for the continued operation of an unlicensed facility as follows:
(1) On the 16th calendar day after the operator has been issued the Notice of Operation in Violation of Law, and has not submitted a completed application as required.
(A) The $200 per day penalty shall continue until the operator ceases operation, or submits a completed application pursuant to Sections 80058(a) (1)(A) and (B). 
(2) Within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first.
(A) The $200 per day penalty shall continue until the operator ceases operation.
(c) If the unlicensed operator or his/her representative reports to the licensing agency that unlicensed operation, as defined in Section 1503.5 of the Health and Safety Code, has ceased, the penalty shall cease as of the day the licensing agency receives the notification.
(1) A site visit shall be made immediately or within five working days to verify that the unlicensed facility operation has ceased.
(2) Notwithstanding (c) above, if the unlicensed facility operation has not ceased, penalties shall continue to accrue without interruption from the date of initial penalty assessment.
(d) All penalties shall be due and payable upon receipt of the Notice for Payment from the licensing agency, and shall be paid by check or money order made payable to the agency indicated in the notice.
(e) The licensing agency shall have the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in (d) above.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1503.5, 1508, 1520, 1533, 1538, 1540, 1540.1, 1541, 1547 and 1549, Health and Safety Code.
HISTORY

1. New section filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Change without regulatory effect of subsection (c)(2) pursuant to Section 100, Title 1, California Code of Regulations filed 10-31-89 (Register 89, No. 49). 
§80059. Unlicensed Facility Administrative Appeal.
Note     •     History

(a) An unlicensed facility operator or his/her representative shall have the right to appeal the penalty assessment within 10 working days after service of the penalty assessment.
(1) If the unlicensed facility operation has not ceased, the $200 per day penalty shall continue to accrue during the appeal process.
(b) The appeal review shall be conducted by a higher level staff person than the evaluator who issued the penalty.
(c) If the reviewer of the appeal determines that the penalty assessment was not issued in accordance with applicable statutes and regulations of the Department, he/she shall have the authority to amend or dismiss the penalty assessment.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1503.5, 1508, 1547 and 1548, Health and Safety Code.
HISTORY

1. New section filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
Article 6. Continuing Requirements
§80061. Reporting Requirements.
Note     •     History

(a) Each licensee or applicant shall furnish to the licensing agency reports as required by the Department, including, but not limited to, those specified in this section.
(b) Upon the occurrence, during the operation of the facility, of any of the events specified in (1) below, a report shall be made to the licensing agency within the agency's next working day during its normal business hours. In addition, a written report containing the information specified in (2) below shall be submitted to the licensing agency within seven days following the occurrence of such event.
(1) Events reported shall include the following:
(A) Death of any client from any cause.
(B) In a residential facility, death of any client as a result of injury, abuse, or other than natural causes, regardless of where the death occurred. This includes a death that occurred outside the facility such as at a day program, workshop, job, hospital, en route to or from a hospital, or visiting away from the facility.
1. The licensee shall obtain a certified copy of the client's death certificate as soon as it is available, maintain it in the client's file, and shall send a copy to the Department as soon as it is obtained.
2. For Regional Center clients, the licensee shall also send a copy of the death certificate to the Regional Center.
(C) In an adult CCF, the use of an Automated External Defibrillator. 
(D) Any injury to any client which requires medical treatment.
(E) Any unusual incident or client absence which threatens the physical or emotional health or safety of any client.
(F) Any suspected physical or psychological abuse of any client.
(G) Epidemic outbreaks.
(H) Poisonings.
(I) Catastrophes.
(J) Fires or explosions which occur in or on the premises.
(2) Information provided shall include the following:
(A) Client's name, age, sex, and date of admission.
(B) Date and nature of event.
(C) Attending physician's name, findings, and treatment, if any.
(D) Disposition of the case.
(c) The items below shall be reported to the licensing agency within 10 working days following the occurrence.
(1) The organizational changes specified in section 80034(a)(2).
(2) Any change in the licensee's or applicant's mailing address.
(3) Any change of the chief executive officer of a corporation or association.
(A) Such notification shall include the new chief executive officer's name and address.
(B) Fingerprints shall be submitted as specified in section 80019(d).
(4) Any changes in the plan of operation which affect the services to clients.
(e) The items specified in (b)(1)(A) through (H) above shall also be reported to the client's authorized representative, if any.
(f) The items specified in (b)(1)(E) through (G) above shall also be reported to the local health officer when appropriate pursuant to title 17, California Administrative Code, sections 2500, 2502 and 2503.
(g) The item specified in (b)(1)(H) shall also be reported immediately to the local fire authority. In areas not having organized fire services a report shall be made to the State Fire Marshal within 24 hours.
(h) Licensees shall send copies of all substantiated complaints to board members of the licensed facility, parents, legal guardians, conservators, client rights advocates or placement agencies, as designated in each client's placement agreement in accordance with Health and Safety Code section 1538.5.
NOTE

Authority cited: Sections 1530 and 1538.5, Health and Safety Code. Reference: Sections 1501, 1507, 1531, 1538.5 and 1797.196, Health and Safety Code.
HISTORY

1. Amendment of subsection (c)(1) filed 12-22-87; operative 1-21-88 (Register 88, No. 2).
2. New subsection (g) filed 3-24-89; operative 4-23-89 (Register 89, No. 15).
3. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
4. New subsections (d)-(d)(4), subsection relettering and amendment of Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
5. New subsections (d)-(d)(4), subsection relettering and amendment of Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
6. New subsections (d)-(d)(4), subsection relettering and amendment of Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
7. New subsections (d)-(d)(4), subsection relettering and amendment of Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
9. New subsections (d)-(d)(4), subsection relettering and amendment of Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
11. Amendment of subsection (h) filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
12. New subsection (b)(1)(C), subsection relettering and amendment of Note filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
13. Amendment of subsection (b)(1)(B) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
14. Amendment of subsection (c)(3)(B) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsection (c)(3)(B) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsection (c)(3)(B) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 3-11-2004 order transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§80062. Finances.
Note

(a) The licensee shall meet the following financial requirements:
(1) Development and maintenance of a financial plan which ensures resources necessary meet operating costs for care and supervision of clients.
(2) Maintenance of financial records.
(3) Submission of financial reports as required upon the written request of the department or licensing agency.
(A) Such request shall explain the necessity for disclosure.
(B) The licensing agency shall have the authority to reject any financial report, and to request and examine additional information including interim financial statements. The reason(s) for rejection of the report shall be in writing.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1501, 1520 and 1531, Health and Safety Code.
§80063. Accountability.
Note

(a) The licensee, whether an individual or other entity, is accountable for the general supervision of the licensed facility, and for the establishment of policies concerning its operation.
(1) If the licensee is a corporation or an association, the governing body shall be active and functioning in order to ensure such accountability.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§80064. Administrator--Qualifications and Duties.
Note

(a) The administrator shall have the following qualifications:
(1) Attainment of at least 18 years of age.
(2) Knowledge of the requirements for providing the type of care and supervision needed by clients, including ability to communicate with such clients.
(3) Knowledge of and ability to comply with applicable law and regulation.
(4) Ability to maintain or supervise the maintenance of financial and other records.
(5) Ability to direct the work of others, when applicable.
(6) Ability to establish the facility's policy, program and budget.
(7) Ability to recruit, employ, train, and evaluate qualified staff, and to terminate employment of staff, if applicable to the facility.
(b) Each licensee shall make provision for continuing operation and carrying out of the administrator's responsibilities during any absence of the administrator.
(c) The licensee, if an individual, or any member of the governing board of the licensed corporation or association, shall be permitted to be the administrator provided that he/she meets the qualifications specified in this section, and in applicable regulations in Chapters 2 through 7.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§80065. Personnel Requirements.
Note     •     History

(a) Facility personnel shall be competent to provide the services necessary to meet individual client needs and shall, at all times, be employed in numbers necessary to meet such needs.
(b) The licensing agency shall have the authority to require any licensee to provide additional staff whenever the licensing agency determines and documents that additional staff are required for the provision of services necessary to meet client needs. The licensee shall be informed in writing of the reasons for the licensing agency's determination. The following factors shall be taken into consideration in determining the need for additional staff.
(1) Needs of the particular clients.
(2) Extent of the services provided by the facility.
(3) Physical arrangements of the particular facility.
(4) Existence of a state of emergency or disaster.
(c) The licensee shall be permitted to utilize volunteers provided that such volunteers are supervised, and are not included in the facility staffing plan.
(d) The following facility personnel shall be at least 18 years of age:
(1) Persons who supervise employees and/or volunteers.
(2) Persons, including volunteers, who provide any element of care and supervision to clients.
(e) The licensee shall provide for direct supervision of clients during participation in or presence at potentially dangerous activities or areas in the facility.
(1) An adult other than a client shall be present at all times while clients are using a pool or other body of water from which rescue requires the rescuer's ability to swim.
(2) Adults who supervise while clients are using a pool or other body of water from which rescue requires the rescuer's ability to swim, shall have a valid water safety certificate.
(f) All personnel shall be given on-the-job training or shall have related experience which provides knowledge of and skill in the following areas, as appropriate to the job assigned and as evidenced by safe and effective job performance.
(1) Principles of nutrition, food preparation and storage and menu planning.
(2) Housekeeping and sanitation principles.
(3) Provision of client care and supervision, including communication.
(4) Assistance with prescribed medications which are self-administered.
(5) Recognition of early signs of illness and the need for professional assistance.
(6) Availability of community services and resources.
(7) For adult CCFs, Universal Precautions as defined in Section 80001(u)(1).
(A) Training in Universal Precautions may be provided in the facility or staff may attend training provided by a local health facility, county health department, or other local training resources.
(g) All personnel, including the licensee, administrator and volunteers, shall be in good health, and shall be physically, mentally, and occupationally capable of performing assigned tasks.
(1) Except as specified in (3) below, good physical health shall be verified by a health screening, including a test for tuberculosis, performed by or under the supervision of a physician not more than one year prior to or seven days after employment or licensure.
(2) A health screening report signed by the person performing such screening shall be made on each person specified above, and shall indicate the following:
(A) The person's physical qualifications to perform the duties to be assigned.
(B) The presence of any health condition that would create a hazard to the person, clients or other staff members.
(3) The good physical health of each volunteer who works in the facility shall be verified by:
(A) A statement signed by each volunteer affirming that he/she is in good health.
(B) A test for tuberculosis performed not more than one year prior to or seven days after initial presence in the facility.
(h) Personnel with evidence of physical illness that poses a threat to the health and safety of clients shall be relieved of their duties.
(i) Prior to employment or initial presence in the facility, all employees and volunteers subject to a criminal record review shall:
(1) Obtain a California clearance or a criminal record exemption as required by law or Department regulations or 
(2) Request a transfer of a criminal record clearance as specified in Section 80019(f) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 80019.1(r), unless, upon request for the transfer, the Department permits the individual to be employed, reside or be present at the facility. 
(j) Clients shall not be used as substitutes for required staff but shall be permitted, as a voluntary part of their program of activities, to participate in household duties and other tasks suited to the client's needs and abilities.
(1) Such duties and tasks shall be specified in the client's needs and services plan as specified in chapters 2, 4, 5 and 6.
(k) When regular staff members are absent, there shall be coverage by personnel capable of performing assigned tasks as evidenced by on-the-job performance.
(l) Personnel shall provide for the care and safety of persons without physical or verbal abuse, exploitation or prejudice.
(m) All personnel shall be instructed to report observations or evidence of violations of any of the personal rights specified in section 80072 and/or any of the personal rights provisions of chapters 2 through 7.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501, 1502(a)(7), 1522, 1531 and 1562, Health and Safety Code; and Section 42001, Vehicle Code.
HISTORY

1. Amendment of subsection (i) filed 6-5-87; operative 7-5-87 (Register 87, No. 25).
2. Amendment of subsection (j) filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
3. New subsections (f)(7)-(f)(7)(A) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
4. Amendment of subsection (i), repealer of subsections (i)(1)-(i)(2)(A) and new subsections (i)(1)-(3) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (i), repealer of subsections (i)(1)-(i)(2)(A) and new subsections (i)(1)-(3) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (i), repealer of subsections (i)(1)-(i)(2)(A) and new subsections (i)(1)-(3) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsection (i)(1), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§80066. Personnel Records.
Note     •     History

(a) The licensee shall ensure that personnel records are maintained on the licensee, administrator and each employee. Each personnel record shall contain the following information:
(1) Employee's full name.
(2) Driver's license number if the employee is to transport clients.
(3) Date of employment.
(4) A statement signed by the employee that he/she is at least 18 years of age.
(5) Home address and phone number.
(6) Documentation of the educational background, training and/or experience specified in licensing regulations for the type of facility in which the employee works.
(7) Past experience, including types of employment and former employers.
(8) Duties of the employee.
(9) Termination date if no longer employed by the facility.
(10) A health screening as specified in Section 80065(g).
(11) Tuberculosis test documents as specified in Section 80065(g). 
(12) For employees that are required to be fingerprinted pursuant to Section 80019: 
(A) A signed statement regarding their criminal record history as required by Section 80019(d).
(B) Documentation of either a criminal record clearance or exemption as required by Section 80019(e). 
1. For Certified Administrators, a copy of their current and valid Administrator Certification meets this requirement.
(b) Personnel records shall be maintained for all volunteers and shall contain the following: 
(1) A health statement as specified in Section 80065(g)(3). 
(2) Tuberculosis test documents as specified in Section 80065(g). 
(3) For volunteers that are required to be fingerprinted pursuant to Section 80019: 
(A) A signed statement regarding their criminal record history as required by Section 80019(d). 
(B) Documentation of either a criminal record clearance or exemption as required by Section 80019(e). 
(c) All personnel records shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following  requirements:
(1) Licensing representatives shall not remove any current emergency and health-related information for current personnel unless the same information is otherwise readily available in another document or format.
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee.
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed.
(d) All personnel records shall be retained for at least three years following termination of employment.
(e) All personnel records shall be maintained at the facility site.
(1) The licensee shall be permitted to retain such records in a central administrative location provided that they are readily available to the licensing agency at the facility site as specified in Section 80066(c).
(f) In all cases, personnel records shall document the hours actually worked.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
2. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
5. Amendment filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§80068. Admission Agreements.
Note     •     History

(a) The licensee shall complete an individual written admission agreement with each client and the client's authorized representative, if any.
(1) Prior to admitting a developmentally disabled adult recommended by a Regional Center, the licensee of an ARF or SRF shall obtain from the Regional Center written certification which states that there was no objection to the placement by any persons specified in Welfare and Institutions Code Section 4803.
(2) The licensee shall maintain a copy of the certification in the client's file.
(b) The licensee shall complete and maintain in the client's file a Telecommunications Device Notification form (LIC 9158, 5/97) for each client whose pre-admission appraisal or medical assessment indicates he/she is deaf, hearing-impaired, or otherwise disabled.
(c) Admission agreements must specify the following:
(1) Basic services.
(2) Available optional services.
(3) Payment provisions, including the following:
(A) Basic rate.
(B) Optional services rates.
(C) Payor.
(D) Due date.
(E) Frequency of payment.
(4) Modification conditions, including requirement for provision of at least 30 calendar days prior written notice to the client or his/her authorized representative of any basic rate change.
(A) It shall be acceptable for agreements involving clients whose care is funded at government-prescribed rates to specify that the effective date of a government rate change shall be considered the effective date for basic service rate modifications and that no prior notice is necessary.
(5) Refund conditions.
(6) Right of the licensing agency to perform the duties authorized in Section 80044(b) and (c).
(7) Conditions under which the agreement may be terminated.
(A) The client's refusal to cooperate with the licensee's implementation of his/her Restricted Health Condition Care Plan as specified in Section 80092.2, if any, and his/her Needs and Services Plan, as specified in Section 80068.2 or 80068.3, must be one of the conditions.
(8) The facility's policy concerning family visits and other communication with clients, pursuant to Health and Safety Code Section 1512.
(9) If the client in an ARF or SRF has a restricted health condition, as specified in Section 80092, the admission agreement must contain a statement that he/she agrees to comply with the Restricted Health Condition Care Plan developed for him/her as specified in Section 80092.2.
(d) Such agreements shall be dated and signed, acknowledging the contents of the document, by the client and the client's authorized representative and the licensee or the licensee's designated representative no later than seven calendar days following admission.
(e) Modifications to the original agreement shall be made whenever circumstances covered in the agreement change, and shall be dated and signed by the persons specified in (c) above.
(f) The licensee shall retain in the client's file the original of the initial admission agreement and all subsequent modifications.
(1) The licensee shall provide a copy of the current admission agreement to the client and the client's authorized representative, if any.
(g) The licensee shall comply with all terms and conditions set forth in the admission agreement.
(h) The admission agreement shall be automatically terminated by the death of the client. No liability or debt shall accrue after the date of death.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1512, 1524.7 and 1531, Health and Safety Code; Section 4803, Welfare and Institutions Code; and Section 2881, Public Utilities Code.
HISTORY

1. New subsection (b)(8) filed 12-30-87; operative 1-29-88 (Register 88, No. 2).
2. New subsections (b)(7)(A) and (b)(9)-(b)(10)(B) and amendment of Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
3. New subsections (b)(7)(A) and (b)(9)-(b)(10)(B) and amendment of Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
4. New subsections (b)(7)(A) and (b)(9)-(b)(10)(B) and amendment of Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
5. New subsections (b)(7)(A) and (b)(9)-(b)(10)(B) and amendment of  Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
7. New subsections (b)(7)(A) and (b)(9)-(b)(10)(B) and amendment of Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-23-98 order, including further amendment of section and Note, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
9. Amendment of section and Note filed 11-12-98; operative 12-12-98 (Register 98, No. 46).
§80068.2. Needs and Services Plan.
Note     •     History

(a) The licensee shall complete a Needs and Services Plan for each client as required in Sections 81068.2, 82068.2, 82568.2, or 85068.2.
(b) If the client has an existing needs appraisal or individual program plan (IPP) completed by a placement agency, or a consultant for the placement agency, the Department may consider the plan to meet the requirements of this section provided that:
(1) The needs appraisal or IPP is not more than one year old.
(2) The licensee and the placement agency agree that the client's physical, mental and emotional status has not significantly changed since the assessment.
(c) The written Needs and Services Plan specified in Section 80068.2(a), shall be maintained in the client's file.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of  section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80068.3. Modifications to Needs and Services Plan.
Note     •     History

(a) The licensee shall ensure that each client's written Needs and Services Plan is updated as often as necessary to assure its accuracy, but at least annually. These modifications shall be maintained in the client's file.
(b) If the licensee determines that the client's needs cannot be met, the licensee shall inform the client, and his/her authorized representative, if any, and the placement agency, if any, and request that the client relocate to a facility that can provide the needed services.
(1) If the client refuses to relocate, the licensee may evict the client in accordance with Section 80068.5.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of subsection (a), repealer of subsections (a)(1)-(b)(2), subsection redesignating, and amendment of redesignated subsection (b), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of subsection (a) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80068.5. Eviction Procedures.
Note     •     History

(a) Except for children's residential facilities, the licensee may, upon 30 days written notice to the client, evict the client only for one or more of the following reasons:
(1) Nonpayment of the rate for basic services within ten days of the due date.
(2) Failure of the client to comply with state or local law after receiving written notice of the alleged violation.
(3) Failure of the client to comply with general facility policies that are documented in the facility admission agreement, and are for the purpose of making it possible for clients to live together.
(A) For a SRF, failure of the client to participate in the services and activities specified in the treatment/rehabilitation plan to the extent of his/her ability.
(4) Inability to meet the client's needs.
(A) A Needs and Services Plan modification must have been performed, as specified in Section 80068.3(a), which determined that the client's needs cannot be met by the facility and the client has been given the opportunity to relocate as specified in Section 80068.3(b).
(5) The client refuses to comply with his/her Restricted Health Condition Care Plan, if any, as specified in Section 80092.2.
(6) Change of use of the facility.
(b) The licensee shall obtain prior written approval from the Department to evict the client upon three (3) days written notice to quit and upon a finding of good cause.
(1) Good cause exists if the client engages in behavior that threatens the mental and/or physical health or safety of himself/herself or others in the facility.
(2) Failure of the Department to reply to the request for approval within two working days shall be considered approval.
(c) The notice to quit shall state the reasons for the eviction, with specific facts supporting the reason for the eviction, including the date, place, witnesses, if any, and circumstances.
(d) When serving the client with either a 30-day or a 3-day notice to quit, the licensee shall, on the same day, overnight mail or fax a copy of the notice to the client's authorized representative, if any, or responsible person if there is no authorized representative.
(e) The licensee shall mail or fax to the Department a copy of the 30-day written notice in accordance with (a) above within five days of giving the notice to the client.
(f) Upon request of a client or his/her authorized representative or responsible person, the Department will investigate the reasons for the eviction pursuant to the provisions of Sections 1538 and 1569.35 of the Health and Safety Code.
(g) Nothing in this section precludes the licensee or client from invoking any other available remedy.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1531 and 1770 et seq., Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of subsections (a), (a)(3)(A), (a)(4)(A), (a)(5), (b)(1), (c), (d), (f) and (g), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of subsection (a) and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§80069. Client Medical Assessments.
Note     •     History

(a) Except for licensees of ARFs and SRFs, prior to or within 30 calendar days following the acceptance of a client, the licensee shall obtain a written medical assessment of the client, as specified in Section 80069(c),  which enables the licensee to determine his/her ability to provide necessary health related services to the client. The assessment shall be used in developing the Needs and Services Plan.
(1) The assessment shall be performed by a licensed physician or designee, who is also a licensed professional, and the assessment shall not be more than one year old when obtained.
(b) In ARFs and SRFs, prior to accepting a client into care, the licensee shall obtain and keep on file documentation of the client's medical assessment.
(1) Such assessment shall be performed by a licensed physician, or designee, who is also a licensed professional, and the assessment shall not be more than one year old when obtained.
(c) The medical assessment shall include the following:
(1) The results of an examination for communicable tuberculosis and other contagious/infectious diseases.
(2) Identification of the client's special problems and needs.
(3) Identification of any prescribed medications being taken by the client.
(4) A determination of the client's ambulatory status, as defined by Section 80001(n)(2).
(5) Identification of physical restrictions, including any medically necessary diet restrictions, to determine the client's capacity to participate in the licensee's program.
(d) In addition to Section 80069(c), the medical assessment for clients in ARFs and SRFs shall include the following:
(1) A physical examination of the person, indicating the physician's primary diagnosis and secondary diagnosis, if any.
(2) Identification of other medical conditions, including those described in Section 80092 which are restricted and Section 80091, which would preclude care of the person by the licensee.
(3) Documentation of prior medical services and history.
(4) Current medical status including, but not limited to, height, weight, and blood pressure.
(5) Identification of the client's needs as a result of any medical information contained in the report.
(e) The licensing agency shall have the authority to require the licensee to obtain a current written medical assessment, if such an assessment is necessary to verify the appropriateness of a client's placement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507, 1528, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. Amendment of section and Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of subsections (a)-(b)(1) and (c)(4)-(d), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80069.1. Individual Health Condition Care Plan.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including renumbering of section 80069.1 to section 80092.2, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80069.2. Functional Capabilities Assessment.
Note     •     History

(a) In order to determine whether the facility's program meets a client's service needs, the licensee of an ARF or SRF shall assess the client's need for personal assistance and care by determining his/her functional capabilities. The assessment shall be in writing, shall be used in developing the Needs and Services Plan, and shall include, but not be limited to the following activities:
(1) Bathing:
(A) Does not bathe or shower self.
(B) Performs some bathing or showering tasks.
(C) Bathes or showers self independently.
(2) Dressing:
(A) Does not dress self.
(B) Puts on some clothing by self.
(C) Dresses self completely.
(3) Grooming:
(A) Does not tend to own personal hygiene.
(B) Tends to some personal hygiene tasks.
(C) Tends to own personal hygiene.
(4) Toileting:
(A) Not toilet trained.
(B) Does not toilet by self.
(C) Goes to toilet by self.
(5) Transferring:
(A) Unable to move in and out of a bed or chair.
(B) Needs assistance to transfer.
(C) Is able to move in and out of a bed or chair.
(6) Repositioning:
(A) Unable to reposition.
(B) Repositions from side to side.
(C) Repositions from front to back and back to front.
(7) Wheelchair:
(A) Unable to sit without support.
(B) Sits without support.
(C) Needs assistance moving wheelchair.
(D) Moves wheelchair independently.
(E) Does not use wheelchair.
(8) Continence:
(A) No bowel and/or bladder control.
(B) Some bowel and/or bladder control.
(C) Use of assistive devices, such as a catheter.
(D) Complete bowel and/or bladder control.
(9) Eating:
(A) Does not feed self.
(B) Feeds self with assistance from another person.
(C) Feeds self completely.
(b) Assessment of the client's need for assistance shall include consideration of his/her physical condition affecting participation in his/her own care, including:
(1) Vision:
(A) Severe/profound impairment.
(B) Mild/moderate impairment.
(C) No vision impairment.
(2) Hearing:
(A) Severe/profound loss.
(B) Mild/moderate loss.
(C) No hearing loss.
(3) Communication:
(A) Does not express nonverbally.
(B) Does not express verbally.
(C) Expresses by sounds or movements.
(D) Expresses self well, both verbally and nonverbally.
(4) Walking:
(A) Does not walk.
(B) Walks with support.
(C) Walks well alone.
(5) Medical history and conditions.
(6) Need for prescribed and non-prescribed medications.
(c) Assessment of the client's need for assistance and care shall include consideration of the following:
(1) Mental and emotional conditions.
(2) Socialization and cognitive status.
(3) Propensity for behaviors that result in harm to self or others and that require supervision,
(4) Ability to manage his/her own finances and cash resources.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1250, 1501, 1502, 1507, 1530, 1531 and 1557.5, Health and Safety Code. 
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80069.3. Mental Health Assessment.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507, 1530, 1531 and 1562.6, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including renumbering of section 80069.3 to new section 85069.3, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80070. Client Records.
Note     •     History

(a) The licensee shall ensure that a separate, complete, and current record is maintained in the facility for each client.
(b) Each record must contain information including but not limited to the following:
(1) Name of client.
(2) Birthdate.
(3) Sex.
(4) Date of Admission.
(5) Names, addresses, and telephone numbers of the authorized representative.
(6) A signed copy of the admission agreement specified in Section 80068.
(7) Name, address and telephone number of physician and dentist, and other medical and mental health providers, if any.
(8) Medical assessment, including ambulatory status, as specified in Section 80069.
(9) Record of any illness or injury requiring treatment by a physician or dentist and for which the facility provided assistance to the client in meeting his/her necessary medical and dental needs.
(10) Record of current medications, including the name of the prescribing physician, and instructions, if any, regarding control and custody of medications.
(11) Restricted Health Condition Care Plan, if required for the client by Section 80092.2.
(12) Functional assessment as specified in Section 80069.2.
(13) Mental health assessment specified in Section 80069.3.
(14) Date of termination of services.
(15) An account of the client's cash resources, personal property, and valuables entrusted as specified in Section 80026.
(c) All information and records obtained from or regarding clients shall be confidential.
(1) The licensee shall be responsible for safeguarding the confidentiality of record contents.
(2) Except as specified in (d) below, or as otherwise authorized by law, the licensee and all employees shall not reveal or make available confidential information.
(d) All client records shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove the following current records for current clients unless the same information is otherwise readily available in another document or format: 
(A) Name, address, and telephone number of the authorized representative(s) as specified in Section 80070(b)(5). 
(B) Name, address, and telephone number of a client's physician and dentist, and any other medical and mental health providers, as specified in Section 80070(b)(7). 
(C) Medical assessment, including ambulatory status, as specified in Section 80070(b)(8). 
(D) Record of any current illness or injury as specified in Section 80070(b)(9). 
(E) Record of current medications as specified in Section 80070(b)(10). 
(F) Restricted Health Condition Care Plan as specified in Section 80070(b)(11). 
(G) Functional assessment as specified in Section 80070(b)(12). 
(H) Mental health assessment as specified in Section 80070(b)(13). 
(I) Any other records containing current emergency or health-related information for current clients. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
(e) A client's records shall be open to inspection by the client's authorized representative(s), if any. 
(f) The information specified in (b)(1)-(b)(15) above must be updated as necessary to ensure the accuracy of the client's record.
(g) Original client records or photographic reproductions shall be retained for at least three years following termination of service to the client.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. New subsection (b)(12) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
2. New subsections (b)(11)-(12), subsection renumbering, and amendment of subsection (e) and Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 97, No. 21).
4. New subsections (b)(11)-(12), subsection renumbering, and amendment of subsection (e) and Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
5. New subsections (b)(11)-(12), subsection renumbering, and amendment of subsection (e) and Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
6. New subsections (b)(11)-(12), subsection renumbering, and amendment of subsection (e) and Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 5 and 6 (Register 98, No. 13).
8. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
9. New subsections (b)(11)-(12), subsection renumbering, and amendment of subsection (e) and Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-23-98 order, including further amendment of subsection (b), new subsection (b)(11), subsection renumbering and amendment of subsection (e), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
11. Amendment of section and Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§80071. Register of Clients.
Note     •     History

(a) In all licensed facilities, the following shall apply:
(1) The licensee shall maintain in the facility a register of all clients. The register shall be immediately available to, and copied for, licensing staff upon request, and must contain current information on the following:
(A) Client's name and ambulatory status as specified in Section 80070(b)(1) and (8).
(B) Name, address and telephone number of client's attending physician.
(C) Authorized representative information as specified in Section 80070(b)(5).
(D) Client's restricted health condition(s) specified in Section 80092(b).
1. The licensee may keep a separate client register with this information.
(2) The licensee shall keep the register in a central location at the facility.
(A) Registers are confidential, as specified in Section 80070(c).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1507 and 1557.5, Health and Safety Code.
HISTORY

1. New section filed 1-8-87; effective thirtieth day thereafter (Register 87, No. 2).
2. Amendment of section and Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
7. Amendment of section and Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
9. Amendment of subsection (a)(1) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80072. Personal Rights.
Note     •     History

(a) Except for children's residential facilities, each client shall have personal rights which include, but are not limited to, the following:
(1) To be accorded dignity in his/her personal relationships with staff and other persons.
(2) To be accorded safe, healthful and comfortable accommodations, furnishings and equipment to meet his/her needs.
(3) To be free from corporal or unusual punishment, infliction of pain, humiliation, intimidation, ridicule, coercion, threat, mental abuse, or other actions of a punitive nature, including but not limited to: interference with the daily living functions, including eating, sleeping, or toileting; or withholding of shelter, clothing, medication or aids to physical functioning.
(4) To be informed, and to have his/her authorized representative, if any, informed, by the licensee of the provisions of law regarding complaints including, but not limited to, the address and telephone number of the complaint receiving unit of the licensing agency, and of information regarding confidentiality.
(5) To be free to attend religious services or activities of his/her choice and to have visits from the spiritual advisor of his/her choice.
(A) Attendance at religious services, in or outside of the facility, shall be on a completely voluntary basis.
(6) To leave or depart the facility at any time.
(A) The licensee shall not be prohibited by this provision from setting curfews or other house rules for the protection of clients.
(B) This provision shall not apply to minors and other clients for whom a guardian, conservator, or other legal authority has been appointed.
(7) Not to be locked in any room, building, or facility premises by day or night.
(A) The licensee shall not be prohibited by this provision from locking exterior doors and windows or from establishing house rules for the protection of clients provided the clients are able to exit the facility.
(B) The licensee shall be permitted to utilize means other than those specified in (A) above for securing exterior doors and windows only with the prior approval of the licensing agency.
(8) Not to be placed in any restraining device. Postural supports may be used under the following conditions.
(A) Postural supports shall be limited to appliances or devices including braces, spring release trays, or soft ties, used to achieve proper body position and balance, to improve a client's mobility and independent functioning, or to position rather than restrict movement including, but not limited to, preventing a client from falling out of bet, a chair, etc.
1. Physician-prescribed orthopedic devices such as braces or casts used for support of a weakened body part or correction of body parts are considered postural supports.
(B) A written order from the client's physician indicating the need for the postural support shall be maintained in the client's record. The licensing agency shall be authorized to require additional documentation if needed to verify the order.
(C) Postural supports shall be fastened or tied in a manner that permits quick release by the client.
(D) Prior to the use of postural supports that cause the client to become non-ambulatory, the licensee shall ensure that a fire clearance, as required by Section 80020, has been secured.
(E) Under no circumstances shall postural supports include tying of, or depriving or limiting the use of, a client's hands or feet.
1. A bed rail that extends from the head half the length of the bed and used only for assistance with mobility shall be allowed. Bed rails that extend the entire length of the bed are prohibited except for clients who are currently receiving hospice care and have a hospice care plan that specifies the need for full bed rails.
(F) Protective devices including, but not limited to, helmets, elbow guards, and mittens which do not prohibit a client's mobility but rather protect the client from self-injurious behavior are not to be considered restraining devices for the purpose of this regulation. Protective devices may be used if they are approved in advance by the licensing agency as specified below.
1. All requests to use protective devices shall be in writing and include a written order of a physician indicating the need for such devices. The licensing agency shall be authorized to require additional documentation including, but not limited to, the Individual Program Plan (IPP) as specified in Welfare and Institutions Code section 4646, and the written consent of the authorized representative, in order to evaluate the request.
2. The licensing agency shall have the authority to grant conditional and/or limited approvals to use protective devices.
(9) To receive or reject medical care, or health-related services, except for minors and other clients for whom a guardian, conservator, or other legal authority has been appointed.
(10) To be informed of the facility's policy concerning family visits and other communication with clients, as specified in Health and Safety Code section 1512.
(b) At admission, a client and the client's authorized representative shall be personally advised of and given a list of the rights specified in Sections 80072(a)(1) through (10) and in the applicable Personal Rights sections of chapters 2 through 7.
(c) The information specified in (b) above including the visiting policy as stated in the admissions agreement shall be prominently posted in areas accessible to clients and their visitors.
(d) The licensee shall ensure that each client is accorded the personal rights as specified in this section and the applicable sections of chapters 2 through 7.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 12-30-87; operative 1-29-88 (Register 88, No. 2).
2. Amendment of subsection (a)(8) filed 5-3-90; operative 6-2-90 (Register 90, No. 26).
3. Editorial correction restoring inadvertently omitted section (Register 98, No. 41).
4. Amendment of subsection (b) and Note filed 11-12-98; operative 12-12-98 (Register 98, No. 46).
5. Amendment of subsection (a) filed 8-16-2004; operative 9-15-2004 (Register 2004, No. 34).
6. Amendment of subsections (a)(8) and (a)(8)(B)-(D), repealer of subsection (a)(8)(E), subsection relettering, amendment of newly designated subsections (a)(8)(E)-(A)(8)(E)1. and amendment of Note filed 10-4-2005; operative 11-3-2005 (Register 2005, No. 40).
§80073. Telephones.
Note

(a) All facilities shall have telephone service on the premises. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1528, 1531 and 1539, Health and Safety Code.
§80074. Transportation.
Note

(a) Only drivers licensed for the type of vehicle operated shall be permitted to transport clients.
(b) The manufacturer's rated seating capacity of the vehicles shall not be exceeded.
(c) Motor vehicles used to transport clients shall be maintained in a safe operating condition.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1528 and 1531, Health and Safety Code.
§80075. Health-Related Services.
Note     •     History

(a) The licensee shall ensure that each client receives first aid and other needed medical or dental services, including arrangement for and/or provision of transportation to the nearest available services.
(b) Clients shall be assisted as needed with self-administration of prescription and nonprescription medications.
(1) In adult CCFs, facility staff who receive training may assist clients with metered-dose inhalers, and dry powder inhalers if the following requirements are met:
(A) In ARFs and SRFs, facility staff must receive training from a licensed professional.
1. The licensee shall obtain written documentation from the licensed professional outlining the procedures and the names of facility staff who have been trained in those procedures.
2. The licensee ensures that the licensed professional reviews staff performance as the licensed professional deems necessary, but at least once a year.
(B) All staff training shall be documented in the facility personnel files.
(2) Facility staff, except those authorized by law, shall not administer injections but staff designated by the licensee shall be authorized to assist clients with self-administration of injections as needed.
(3) Assistance with self-administration does not include forcing a client to take medications, hiding or camouflaging medications in other substances without the client's knowledge and consent, or otherwise infringing upon a client's right to refuse to take a medication.
(4) If the client's physician has stated in writing that the client is able to determine and communicate his/her need for a prescription or nonprescription PRN medication, facility staff shall be permitted to assist the client with self-administration of their PRN medication.
(5) If the client's physician has stated in writing that the client is unable to determine his/her own need for nonprescription PRN medication, but can communicate his/her symptoms clearly, facility staff designated by the licensee shall be permitted to assist the client with self-administration, provided all of the following requirements are met:
(A) There is written direction from a physician, on a prescription blank, specifying the name of the client, the name of the medication, all of the information specified in Section 80075(e), instructions regarding a time or circumstance (if any) when it should be discontinued, and an indication of when the physician should be contacted for a medication reevaluation.
(B) Once ordered by the physician the medication is given according to the physician's directions.
(C) A record of each dose is maintained in the client's record. The record shall include the date and time the PRN medication was taken, the dosage taken, and the client's response.
(6) If the client is unable to determine his/her own need for a prescription or nonprescription PRN medication, and is unable to communicate his/her symptoms clearly, facility staff designated by the licensee, shall be permitted to assist the client with self-administration, provided all of the following requirements are met:
(A) Facility staff shall contact the client's physician prior to each dose, describe the client's symptoms, and receive direction to assist the client in self-administration of that dose of medication.
(B) The date and time of each contact with the physician, and the physician's directions, shall be documented and maintained in the client's facility record.
(C) The date and time the PRN medication was taken, the dosage taken, and the client's response, shall be documented and maintained in the client's facility record.
(D) For every prescription and nonprescription PRN medication for which the licensee provides assistance, there shall be a signed, dated written order from a physician on a prescription blank, maintained in the client's file, and a label on the medication. Both the physician's order and the label shall contain at least all of the following information:
(1) The specific symptoms which indicate the need for the use of the medication.
(2) The exact dosage.
(3) The minimum number of hours between doses.
(4) The maximum number of doses allowed in each 24-hour period.
(c) The isolation room or area specified in Section 80087(d) shall be used where separation from others is required.
(d) There shall be privacy for first aid treatment of minor injuries and for examination or treatment by a physician if required.
(e) In adult CCFs, when a client requires oxygen the licensee is responsible for the following:
(1) Monitoring the client's ongoing ability to operate and care for the equipment in accordance with the physician's instructions, or if the client is unable to do so:
(A) Ensuring that an adequate number of facility staff persons are designated to operate and care for the equipment and that those staff persons receive.
1. The licensee shall comply with all of the requirements for training in Sections 80075(b)(1)(A) through (C).
(2) Ensuring that the following conditions are met if oxygen equipment is in use:
(A) The licensee makes a written report to the local fire jurisdiction that oxygen is in use at the facility.
(B) “No Smoking - Oxygen in Use” signs shall be posted in appropriate areas.
(C) Smoking is prohibited where oxygen is in use.
(D) All electrical equipment is checked for defects that may cause sparks.
(E) Oxygen tanks that are not portable are secured either in a stand or to the wall.
(F) Plastic tubing from the nasal canula (mask) to the oxygen source is long enough to allow the client movement within his/her room but does not consitutute a hazard to the client or others.
(G) Clients use oxygen from a portable source when they are outside of their rooms or when walking in a day care setting.
(H) Equipment is operable.
(I) Facility staff have knowledge and ability to operate and care for the oxygen equipment.
(J) Equipment is removed from the facility when no longer in use by the client.
(f) Staff responsible for providing direct care and supervision shall receive training in first aid from persons qualified by agencies including but not limited to the American Red Cross.
(g) If the facility has no medical unit on the grounds, first aid supplies shall be maintained and be readily available in a central location in the facility.
(1) The supplies shall include at least the following:
(A) A current edition of a first aid manual approved by the American Red Cross, the American Medical Association or a state or federal health agency.
(B) Sterile first aid dressings.
(C) Bandages or roller bandages.
(D) Adhesive tape.
(E) Scissors.
(F) Tweezers.
(G) Thermometers.
(H) Antiseptic solution.
(h) There shall be at least one person capable of and responsible for communicating with emergency personnel in the facility at all times. The following information shall be readily available:
(1) The name, address and telephone number of each client's physician and dentist, and other medical and mental health providers, if any.
(2) The name, address and telephone number of each emergency agency, including but not limited to the fire department, crisis center or paramedical unit. There shall be at least one medical resource available to be called at all times.
(3) The name and telephone number of an ambulance service.
(i) When a client requires prosthetic devices, or vision or hearing aids, the staff shall be familiar with the use of these devices and aids and shall assist the client with their utilization as needed.
(j) Medications shall be centrally stored under the following circumstances:
(1) Preservation of the medication requires refrigeration.
(2) Any medication determined by the physician to be hazardous if kept in the personal possession of the client for whom it was prescribed.
(3) Because of physical arrangements and the condition or the habits of persons in the facility, the medications are determined by either the administrator or by the licensing agency to be a safety hazard.
(k) The following requirements shall apply to medications which are centrally stored:
(1) Medication shall be kept in a safe and locked place that is not accessible to persons other than employees responsible for the supervision of the centrally stored medication.
(2) Each container shall identify the items specified in (7)(A) through (G) below.
(3) All medications shall be labeled and maintained in compliance with label instructions and state and federal laws.
(4) No person other than the dispensing pharmacist shall alter a prescription label.
(5) Each client's medication shall be stored in its originally received container.
(6) No medications shall be transferred between containers.
(7) The licensee shall ensure the maintenance, for each client, of a record of centrally stored prescription medications which is retained for at least one year and includes the following:
(A) The name of the client for whom prescribed.
(B) The name of the prescribing physician.
(C) The drug name, strength and quantity.
(D) The date filled.
(E) The prescription number and the name of the issuing pharmacy.
(F) Expiration date.
(G) Number of refills.
(H) Instructions, if any, regarding control and custody of the medication.
(l) Prescription medications which are not taken with the client upon termination of services, or which are not to be retained shall be destroyed by the facility administrator, or a designated substitute, and one other adult who is not a client.
(1) Both shall sign a record, to be retained for at least one year, which lists the following:
(A) Name of the client.
(B) The prescription number and the name of the pharmacy.
(C) The drug name, strength and quantity destroyed.
(D) The date of destruction.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 5-16-97; operative 6-15-97 (Register 97, No. 20).
2. New subsections (a)(2)(A)-(B) and (h)-(h)(2)(J), subsection relettering, and amendment of Note filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
3. Amendment filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
4. Repealer of subsections (b)(1)(B)-(b)(1)(B)2. and subsection relettering filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
5. Renumbering of subsections (i)-(o) to subsections (f)-(l) filed 2-6-2012; operative 3-7-2012 (Register 2012, No. 6).
§80075.1. Automated External Defibrillators (AEDs).
Note     •     History

(a) In an adult community care facility, a licensee is permitted to maintain and operate an AED at the facility if all of the following requirements are met: 
(1) The licensee shall notify the licensing agency in writing that an AED is in the facility and will be used in accordance with all applicable federal and other state requirements. 
(2) The AED shall be used in accordance with all applicable federal and other state requirements. 
(3) The licensee shall maintain at the facility the following: 
(A) A copy of the required physician's prescription for the AED. 
(B) A training manual from an American Heart Association- or American Red Cross-recognized AED training class. 
(C) A log of checks of operation of the AED containing the dates checked and the name of person checking. 
(D) A copy of a valid AED operator's certificate for any employee(s) authorized by the licensee to operate the AED. The certificate shall indicate that the AED training course completed complies with the standards of the American Heart Association or the American Red Cross. If it does not, then other evidence indicating that the AED training course completed complies with the standards of the American Heart Association or the American Red Cross shall be available at the facility. 
(E) A log of quarterly proficiency demonstrations for each holder of an AED operator's certificate who is authorized by the licensee to operate the AED. The log shall contain the dates of the demonstrations and the manner of demonstration. 
(4) A supply kit shall be maintained at the facility and be readily available for use with the AED. The kit shall contain at least the following: 
(A) A back-up battery set. 
(B) An extra set of pads. 
(C) A safety razor for shaving chest hair when necessary to apply the pads. 
(D) A cardiovascular pulmonary resuscitation barrier (a face shield or mask) for protection from transmission of infectious disease. 
(E) Two pairs of unused medical examination gloves (latex or non-latex). 
(5) Use of an AED shall be reported as specified in Section 80061. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507, 1530, 1531 and 1797.196, Health and Safety Code. 
HISTORY

1. New section filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80076. Food Service.
Note

(a) In facilities providing meals to clients, the following shall apply:
(1) All food shall be safe and of the quality and in the quantity necessary to meet the needs of the clients. Each meal shall meet at least 1/3 of the servings recommended in the USDA Basic Food Group Plan--Daily Food Guide for the age group served. All food shall be selected, stored, prepared and served in a safe and healthful manner.
(2) Where all food is provided by the facility, arrangements shall be made so that each client has available at least three meals per day.
(A) Not more than 15 hours shall elapse between the third meal of one day and first meal of the following day.
(3) Where meal service within a facility is elective, arrangements shall be made to ensure availability of a daily food intake meeting the requirements of (a)(1) above for all clients who, in their admission agreement, elect meal service.
(4) Between meal nourishment or snacks shall be available for all clients unless limited by dietary restrictions prescribed by a physician.
(5) Menus shall be written at least one week in advance and copies of the menus as served shall be dated and kept on file for at least 30 days. Menus shall be made available for review by the clients or their authorized representatives and the licensing agency upon request.
(6) Modified diets prescribed by a client's physician as a medical necessity shall be provided.
(A) The licensee shall obtain and follow instructions from the physician or dietitian on the preparation of the modified diet.
(7) Commercial foods shall be approved by appropriate federal, state and local authorities. All foods shall be selected, transported, stored, prepared and served so as to be free from contamination and spoilage and shall be fit for human consumption. Food in damaged containers shall not be accepted, used or retained.
(8) Where indicated, food shall be cut, chopped or ground to meet individual needs.
(9) Powdered milk shall not be used as a beverage but shall be allowed in cooking and baking. Raw milk, as defined in Division 15 of the California Food and Agricultural Code shall not be used. Milk shall be pasteurized.
(10) Except upon written approval by the licensing agency, meat, poultry and meat food products shall be inspected by state or federal authorities. Written evidence of such inspection shall be available for all products not obtained from commercial markets.
(11) All home canned foods shall be processed in accordance with standards of the University of California Agricultural Extension Service. Home canned foods from outside sources shall not be used.
(12) If food is prepared off the facility premises, the following shall apply:
(A) The preparation source shall meet all applicable requirements for commercial food services.
(B) The facility shall have the equipment and staff necessary to receive and serve the food and for cleanup.
(C) The facility shall maintain the equipment necessary for in-house preparation, or have an alternate source for food preparation, and service of food in emergencies.
(13) All persons engaged in food preparation and service shall observe personal hygiene and food services sanitation practices which protect the food from contamination.
(14) All foods or beverages capable of supporting rapid and progressive growth of microorganisms which can cause food infections or food intoxications shall be stored in covered containers at 45 degrees F (7.2 degrees C) or less.
(15) Pesticides and other similar toxic substances shall not be stored in food storerooms, kitchen areas, food preparation areas, or areas where kitchen equipment or utensils are stored.
(16) Soaps, detergents, cleaning compounds or similar substances shall be stored in areas separate from food supplies.
(17) All kitchen, food preparation, and storage areas shall be kept clean, free of litter and rubbish, and measures shall be taken to keep all such areas free of rodents, and other vermin.
(18) All food shall be protected against contamination. Contaminated food shall be discarded immediately.
(19) All equipment, fixed or mobile, dishes, and utensils shall be kept clean and maintained in safe condition.
(20) All dishes and utensils used for eating and drinking and in the preparation of food and drink, shall be cleaned and sanitized after each usage.
(A) Dishwashing machines shall reach a temperature of 165 degrees F (74 degrees C) during the washing and/or drying cycle to ensure that dishes and utensils are cleaned and sanitized.
(B) Facilities not using dishwashing machines shall clean and sanitize dishes and utensils by an alternative comparable method.
(21) Equipment necessary for the storage, preparation and service of food shall be provided, and shall be well-maintained.
(22) Tableware and tables, dishes, and utensils shall be provided in the quantity necessary to serve the clients.
(23) Adaptive devices shall be provided for self-help in eating as needed by clients.
(b) The licensing agency shall have the authority to require the facility to provide written information, including menus, regarding the food purchased and used over a given period when it is necessary to determine if the licensee is in compliance with the food service requirements in the regulations in this Division.
(1) The licensing agency shall specify in writing the written information required from the licensee.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1528, 1530, 1530.5 and 1531, Health and Safety Code.
§80077. Personal Services. (Reserved)

§80077.2. Care for Clients Who Rely Upon Others to Perform All Activities of Daily Living.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who relies upon others to perform all activities of daily living for them. 
(b) Prior to accepting a client into care, the licensee shall complete the following:
(1) An approved plan of operation demonstrating the licensee's ability to care for these clients as specified in Section 80022(e).
(2) A Needs and Services Plan, as required by the facility-specific regulations, that includes all of the following:
(A) A plan to monitor the client's skin condition, including:
1. Specific guidelines for turning the client, (time, method, acceptable positions).
2. Skin breakdown.
3. Objective symptoms, observable by a lay person, indicating when a licensed professional must be contacted.
(B) A method for feeding the client and providing him/her with hydration.
(C) A method for determining the client's needs.
(D) A method for communicating with the client.
(E) A list of emergency contacts and a list of readily observable conditions that indicate when emergency intervention is necessary.
(F) A list of persons to contact in the event of non-emergency client distress or discomfort and a list of readily observable conditions that indicate when the licensee is to contact those persons.
(G) A description of the client-specific training that facility staff will receive. 
1. The training must be provided by the client's health care provider (physician or nurse) the client's physical or mental health therapist, social worker, and placement worker, within their individual scopes of practice.
2. The training must include the client's needs and objective symptoms that indicate when the licensee is to obtain health care or other type of assistance.
(H) In an ARF or SRF, an agreement, signed by the placement agency, or authorized representative, to review the client's care at least once a month. A copy of the agreement shall be maintained in the client's file.
(I) The licensee's agreement to document significant occurrences that result in changes in the client's physical, mental, and/or functional capabilities. This documentation must be retained in the client's record in the facility and be readily available for review by the client's health care providers and the Department.
(c) The Department may require any additional information it considers necessary to ensure the safety of clients.
NOTE

Authority Cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1530, Health and Safety Code 
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of subsections (b)(2)(G)1.-(b)(2)(H) and repealer of subsection (d) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
9. Repealer of subsection (b)(3)(G)3. filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§80077.3. Care for Clients Who Lack Hazard Awareness or Impulse Control.
Note     •     History

(a) If a client requires protective supervision because of running/wandering away, supervision may be enhanced by fencing yards, using self-closing latches and gates, and installing operational bells, buzzers, or other auditory devices on exterior doors to alert staff when the door is opened. The fencing and devices must not substitute for appropriate staffing.
(1) The licensee may use wrist bands and other client egress-alert devices with the prior written approval of the client or authorized representative, if the client is legally incapable of giving consent, provided that the devices do not violate Section 80072.
(2) The licensee of an ARF, GH, SFH, FFH, or CFH may use a delayed-egress device if the client lacks hazard awareness or impulse control and  only as specified in Health and Safety Code Section 1531.1.
(3) The following initial and continuing requirements must be met for the licensee to utilize delayed egress devices on exterior doors or perimeter fence gates:
(A) The licensee shall notify the Department immediately after determining the date that the device will be installed.
(B) The licensee shall ensure that the fire clearance includes approval of delayed egress devices.
(C) Following the disaster and mass casualty plan specified in Section 80023, fire and earthquake drills shall be conducted at least once every three months on each shift and shall include, at a minimum, all facility staff who provide or supervise client care and supervision.
(D) Without violating Section 80072(a)(6), facility staff shall attempt to redirect a client who lacks hazard awareness or impulse control and who attempts to leave the facility.
(E) Clients who continue to indicate a desire to leave the facility following an egress delay shall be permitted to do so.
(F) Without violating Section 80072(a)(6), facility staff shall ensure the continued safety of clients when they leave the facility.
(G) The licensee shall report to the Department, to the client's responsible representative, if any, and to any family member who has requested notification, each incident in which a client leaves the facility unassisted. The report shall be made by telephone no later than the next working day and in writing within seven calendar days.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1530, 1531 and 1531.1, Health and Safety Code. 
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of subsection (a), new subsection (a)(1), subsection renumbering and amendment of newly designated subsection (a)(2), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of subsection (a)(2) and new subsections (a)(3)-(a)(3)(G) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80077.4. Care for Clients with Incontinence.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who has bowel and/or bladder incontinence.
(b) If a licensee accepts or retains a client who has bowel and/or bladder incontinence, the licensee is responsible for all of the following:
(1) Ensuring that incontinent care products appropriate to the needs of the client are used whenever they are needed.
(2) Ensuring that clients who can benefit from scheduled toileting are assisted or reminded to go to the bathroom at regular intervals rather than being diapered.
(3) Assisting the client with self-care.
(4) Ensuring that clients with incontinence are kept clean and dry, and that the facility remains free of odors.
(5) Ensuring that, where prescribed, bowel and/or bladder programs are designed by a licensed professional or designee. The person designing the program must have training and experience in care of persons with bowel and/or bladder dysfunction and development of retraining programs for establishing normal patterns of continence.
(A) The licensee shall ensure that clients are assisted with a structured bowel and/or bladder retraining program if one has been designed for the client.
(B) The licensee shall ensure that facility staff responsible for implementing the program receive training from the licensed professional or designee who designed the program.
(C) The licensee obtains from the licensed professional or designee  written instructions to facility staff outlining the procedures and shall document the names of facility staff who received the training.
(D) The licensee shall ensure that the licensed professional or designee evaluates the effectiveness of the program and staff as the licensed professional or designee deems appropriate, but at least annually.
(6) Ensuring that the condition of the skin exposed to urine and stool is evaluated regularly to ensure that skin breakdown is not occurring.
(7) Ensuring privacy when care is provided.
(8) Providing needed incontinence supplies when the client or a third party is unable to do so.
(9) Ensuring that fluids are not withheld to control incontinence.
(10) Ensuring that a client with incontinence is not catheterized to control incontinence for the convenience of the licensee or facility staff.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former section 80092.7 to new section 80077.4 filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
2. Amendment of subsection (b)(5)  filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80077.5. Care for Clients with Contractures.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who has contractures.
(b) If a licensee accepts or retains a client who has contractures, the licensee is responsible for all of the following:
(1) Monitoring the client's ongoing ability to care for his/her contractures in accordance with the physician's instructions.
(2) Ensuring that care is provided by a licensed professional or trained facility staff when the client is unable to provide self-care.
(A) The licensee shall ensure that facility staff responsible for assisting with range of motion exercises or other exercise(s) prescribed by the physician or therapist receive supervision and training from a licensed professional.
(B) The licensee obtains from the licensed professional written documentation outlining the procedures for the exercises and the names of facility staff who received the training.
(C) The licensee shall ensure that the licensed professional reviews staff performance as the licensed professional deems necessary, but at least once a year.
(c) In addition to Section 80077.5(b), in an ARF or SRF, the licensee shall ensure that there is a plan of care for the contractures that is developed by a licensed professional.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former section 80092.8 to new section 80077.5 filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§80078. Responsibility for Providing Care and Supervision.
Note     •     History

(a) The licensee shall provide care and supervision as necessary to meet the client's need.
(b) In any instance where the Department does not suspend the facility license and the licensing agency requires that a client/resident be relocated, as specified in Section 80094, the licensee shall prepare a written relocation plan. The plan shall contain all necessary steps to be taken to reduce stress to the client/resident which may result in transfer trauma.
(1) The written relocation plan shall include, but not be limited to the following:
(A) A specific date for beginning and a specific date for completion of the process of safely relocating the client/resident. The time frame for relocation may provide for immediate relocation but shall not exceed 30 days or 30 days after the date of the written conclusuion of the client's appeal of the relocation order, if appealed.
(B) A specific date when the client/resident and the client's/resident's authorized representative, if any, shall be notified of the need for relocation.
(C) A specific date when consultation with the client's/resident's physician shall occur to obtain a current medical assessment of the client's/resident's health needs, to determine the appropriate facility type for relocation and to ensure that the client's/resident' health care needs continue to be met at all times during the relocation process.
(D) The method by which the licensee shall participate in the identification of an acceptable relocation site with the client/resident and the authorized representative if any. The licensee shall advise the client/resi--dent and/or the authorized representative that if the client/resident is to be moved to another nonmedical community care facility, a determination must be made that the client's/resident's needs can be legally met in the new facility before the move is made. If the client's/resident's needs cannot be legally met in the new facility, the client/resident must be moved to a facility licensed to provide the necessary care.
(E) A list of contacts made or to be made by the licensee with community resources, including but not limited to, social workers, family members, Long Term Care Ombudsman, clergy and others as appropriate to ensure that services are provided to the client/resident before, during and after the move. The need for the move shall be discussed with the client/resident and the client/resident assured that support systems will remain in place.
(F) Measures to be taken until relocation to protect the client/resident and/or meet the client's/resident's health and safety needs.
(G) An agreement to notify the licensing agency when the relocation has occurred, including the client's/resident's new address, if known.
(2) The relocation plan shall be submitted in writing to the licensing agency within the time set forth in the written notice by the licensing agency that the client/resident requires health services that the facility cannot legally provide.
(3) Any changes in the relocation plan shall be submitted in writing to the licensing agency. The licensing agency shall have the authority to approve, disapprove or modify the plan.
(4) If relocation of more than one (1) client/resident is required, a separate plan shall be prepared and submitted in writing for each client/resident.
(5) The licensee shall comply with all terms and conditions of the approved plan. No written or oral contract with any other person shall release the licensee from the responsibility specified in sections 80078(b) and (c) for relocating a client/resident who has a health condition(s) which cannot be cared for in the facility and/or requires inpatient care in a licensed health facility, nor from taking necessary actions to reduce stress to the client/resident.
(6) In cases where the licensing agency determines that the resident is in imminent danger because of a health condition(s) which cannot be cared for in the facility or which requires inpatient care in a licensed health facility, the licensing agency shall have the authority to order the licensee to immediately relocate the resident.
(c) In all cases when a client or resident must be relocated, the licensee shall not obstruct the relocation process and shall cooperate with the licensing agency in the relocation in process. Such cooperation shall include, but not be limited to, the following activities:
(1) Identifying and preparing for removal of the medications, Medi-Cal or Medicare or other medical insurance documents, clothing, safeguarded cash resources, valuables and other belongings of the client or resident.
(2) Contacting the authorized representative of the client/resident to assist in transporting him or her, if necessary.
(3) Contacting other suitable facilities for placement, if necessary.
(4) Providing access to client's/resident's files when required by the Department.
NOTE

Authority Cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1511, 1528, 1531 and 1556, Health and Safety Code.
HISTORY

1. New subsections (b) and (c) filed 10-26-90; operative 11-25-90 (Register 90, No. 49).
2. Change without regulatory effect amending section filed 12-6-90 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 4).
3. Editorial correction of printing error in subsection (b) (Register 91, No. 32).
4. Amendment of subsections (b) and (b)(1)(A) filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§80079. Activities. (Reserved)

Article 7. Physical Environment
§80086. Alterations to Existing Buildings or New Facilities.
Note

(a) Prior to construction or alterations, all licensees shall notify the licensing agency of the proposed change.
(b) The licensing agency shall have the authority to require that the licensee have a building inspection by a local building inspector if the agency suspects that a hazard to the clients' health and safety exists.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§80087. Buildings and Grounds.
Note     •     History

(a) The facility shall be clean, safe, sanitary and in good repair at all times for the safety and well-being of clients, employees and visitors.
(1) The licensee shall take measures to keep the facility free of flies and other insects.
(2) The licensee shall provide for the safe disposal of water and other chemicals used for cleaning purposes.
(b) All clients shall be protected against hazards within the facility through provision of the following:
(1) Protective devices including but not limited to nonslip material on rugs.
(c) All outdoor and indoor passageways, stairways, inclines, ramps, open porches and other areas of potential hazard shall be kept free of obstruction.
(d) General permanent or portable storage space shall be available for the storage of facility equipment and supplies.
(1) Facility equipment and supplies shall be stored in this space and shall not be stored in space used to meet other requirements specified in this chapter and Chapters 2, and 4 through 7.
(e) All licensees serving children or serving clients who have physical handicaps, mental disorders, or developmental disabilities shall ensure the inaccessibility of pools, including swimming pools (in-ground and above-ground), fixed-in-place wading pools, hot tubs, spas, fish ponds or similar bodies of water through a pool cover or by surrounding the pool with a fence.
(1) Fences shall be at least five-feet high and shall be constructed so that the fence does not obscure the pool from view.  The bottom and sides of the fence shall comply with Division 1, Appendix Chapter 4 of the 1994 Uniform Building Code.  In addition to meeting all of the aforementioned requirements for fences, gates shall swing away from the pool, self-close and have a self-latching device located no more than six inches from the top of the gate.  Pool covers shall be strong enough to completely support the weight of an adult and shall be placed on the pool and locked while the pool is not in use.  
(A) If licensed prior to June 1, 1995, facilities with existing pool fencing shall be exempt from the fence requirements specified in Section 80087(e)(1) until such fence is replaced or structurally altered.  If the licensee replaces or alters the fence, it shall be required to meet the fence requirements specified in Section 80087(e)(1).
(2) Where an above-ground pool structure is used as the fence or where the fence is mounted on top of the pool structure, the pool shall be made inaccessible when not in use by removing or making the ladder inaccessible or erecting a barricade to prevent access to decking.  If a barricade is used, the barricade shall meet the requirements of Section 80087(e)(1).
(f) All in-ground pools, and above-ground pools which cannot be emptied after each use shall have an operative pump and filtering system.
(g) Disinfectants, cleaning solutions, poisons, firearms and other items that could pose a danger if readily available to clients shall be stored where inaccessible to clients.
(1) Storage areas for poisons, and firearms and other dangerous weapons shall be locked.
(2) In lieu of locked storage of firearms, the licensee may use trigger locks or remove the firing pin.
(A) Firing pins shall be stored and locked separately from firearms.
(3) Ammunition shall be stored and locked separately from firearms.
(h) Medicines shall be stored as specified in Section 80075(m) and (n) and separately from other items specified in Section 80087(g) above.
(i) The items specified in Section 80087(g) above shall not be stored in food storage areas or in storage areas used by or for clients.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New subsections (h)-(j) filed 5-21-85; effective thirtieth day thereafter (Register 85, No. 21).
2. Amendment of subsections (f)-(f)(2) filed 8-14-96; operative 9-13-96 (Register 96, No. 33).
3. Amendment of subsections (d), (h) and (i) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
4. Repealer of subsection (d), subsection relettering and amendment of newly designated subsections (e)(1)(A), (e)(2), (h) and (i) filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§80088. Fixtures, Furniture, Equipment and Supplies.
Note     •     History

(a) A comfortable temperature for clients shall be maintained at all areas.
(1) The licensee shall maintain the temperature in rooms that clients occupy between a minimum of 68 degrees F (20 degrees C) and a maximum of 85 degrees F (30 degrees C).
(A) In areas of extreme heat the maximum shall be 30 degrees F (16.6 degrees C) less than the outside temperature.
(2) Nothing in this section shall prohibit clients from adjusting individual thermostatic controls.
(b) All window screens shall be in good repair and be free of insects, dirt and other debris.
(c) Fireplaces and open-faced heaters shall be inaccessible to clients to ensure protection of the clients' safety.
(d) The licensee shall provide lamps or lights as necessary in all rooms and other areas to ensure the comfort and safety of all persons in the facility.
(e) Faucets used by clients for personal care such as shaving and grooming shall deliver hot water.
(1) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures used by clients to attain a hot water temperature of not less than 105 degrees F (40.5 degrees C) and not more than 120 degrees F (48.8 degrees C).
(2) Taps delivering water at 125 degrees F (51.6 degrees C) or above shall be prominently identified by warning signs.
(3) All toilets, handwashing and bathing facilities shall be maintained in safe and sanitary operating condition. Additional equipment, aids, and/or conveniences shall be provided in facilities accommodating physically handicapped clients who need such items.
(f) Solid waste shall be stored, located and disposed of in a manner that will not transmit communicable diseases or odors, create a nuisance, or provide a breeding place or food source for insects or rodents.
(1) All containers, including movable bins, used for storage of solid wastes shall have tight-fitting covers kept on the containers; shall be in good repair, shall be leakproof and rodent-proof.
(2) Solid waste containers, including movable bins, receiving putrescrible waste shall be emptied at least once per week or more often if necessary to comply with (f) above.
(3) Each movable bin shall provide for suitable access and a drainage device to allow complete cleaning at the storage area.
(g) The licensee shall provide linens of various kinds necessary to meet the program of services being offered by the facility and the requirements specified in Chapters 2 through 7.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
Article 8. Incidental  Medical Services
§80090. Health and Safety Services.
Note     •     History

(a) The provisions of this article are applicable to adult CCFs.
(b) Waivers or exceptions will not be granted to accept or retain clients who have health conditions prohibited by Section 80091.
(c) The Department may grant an exception allowing acceptance or retention of a client who has a medical or health condition not listed in Section 80092 if all of the following requirements are met:
(1) Either the condition is chronic and stable or it is temporary in nature and is expected to return to a condition normal for that client.
(2) The client must be under the medical care of a licensed professional.
(3) The licensee has developed a plan of care for the client as specified in Sections 80068.2 and 80092.2.
(4) The client is able to care for all aspects of the condition for himself/herself or assistance in the care of the condition is provided either by an appropriately skilled and licensed professional or by facility staff who receive supervision and training from a licensed professional.
(A) Training shall include hands-on instruction in both general procedures and client-specific procedures.
(B) The licensee obtains from the licensed professional written documentation outlining the procedures and the names of facility staff who received the training.
(C) The licensee ensures that the licensed professional reviews staff performance as the licensed professional deems necessary, but at least once a year.
(5) The licensee agrees in writing to comply with all aspects of the client's care plans.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1530, Health and Safety Code. 
HISTORY

1. New article 8 (sections 80090-80095) and section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New article 8 (sections 80090-80095) and section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New article 8 (sections 80090-80095) and section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New article 8 (sections 80090-80095) and section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New article 8 (sections 80090-80095) and section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of article 8 heading and amendment of subsections (a) and (c) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80091. Prohibited Health Conditions.
Note     •     History

(a) In adult CCFs clients who require health services or have a health condition including, but not limited to, those specified below shall not be admitted or retained.
(1) Naso-gastric and naso-duodenal tubes.
(2) Active, communicable TB.
(3) Conditions that require 24-hour nursing care and/or monitoring.
(4) Stage 3 and 4 dermal ulcers.
(5) Any other condition or care requirements which would require the facility to be licensed as a health facility as defined by Sections 1202 and 1250 of the Health and Safety Code.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507, 1530, 1531 and 1557.5, Health and Safety Code. 
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80092. Restricted Health Conditions.
Note     •     History

(a) Adult CCFs may accept or retain clients who have the conditions listed in this section only if all requirements of Article 8 are met.
(b) Care for the following health conditions must be provided only as specified in Sections 80092.1 through 80092.11.
(1) Use of inhalation-assistive devices as specified in Section 80092.3.
(2) Colostomy/ileostomies as specified in Section 80092.4.
(3) Requirement for fecal impaction removal, enemas, or suppositories only as specified in Section 80092.5.
(4) Use of catheters only as specified in Section 80092.6.
(5) Staph or other serious, communicable infections as specified in Section 80092.7.
(6) Insulin-dependent Diabetes as specified in Section 80092.8.
(7) Stage 1 and 2 dermal ulcers as specified in Section 80092.9.
(8) Wounds as specified in Section 80092.9.
(9) Gastrostomies as specified in Section 80092.10.
(10) Tracheostomies as specified in Section 80092.11.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80092.1. General Requirements for Restricted Health Conditions.
Note     •     History

(a) A client with a restricted health condition specified in Section 80092 may be admitted or retained in an adult CCF if all requirements in Sections 80092.1(b) through (o) are met.
(b) The licensee is willing to provide the needed care.
(c) Care is provided as specified in this article.
(d) Either the client's medical condition is chronic and stable, or is temporary in nature and is expected to return to a condition normal for that client, and
(e) The client must be under the medical care of a licensed professional.
(f) Prior to admission of a client with a restricted health condition specified in Section 80092, the licensee shall: 
(1) Communicate with all other persons who provide care to that client to ensure consistency of care for the medical condition.
(2) Ensure that facility staff who will participate in meeting the client's specialized care needs complete training provided by a licensed professional sufficient to meet those needs.
(A) Training shall include hands-on instruction in both general procedures and client-specific procedures.
(g) All new facility staff who will participate in meeting the client's specialized care needs shall complete the training prior to providing services to the client.
(h) The licensee shall ensure that facility staff receive instruction from the client's physician or other licensed professional to recognize objective symptoms observable by a lay person, and how to respond to that client's health problems, including who to contact.
(i) The licensee shall monitor the client's ability to provide self-care for the restricted health condition, document any change in that ability, and inform the persons identified in Section 80092.2(a)(1) of that change.
(j) Should the condition of the client change, all staff providing care and services shall complete any additional training required to meet the client's new needs, as determined by the client's physician or a licensed professional designated by the physician.
(k) If the licensed health professional delegates routine care, the following requirements must be met for health conditions specified in Sections 80092.3, 80092.4 and 80092.6:
(1) The licensee shall obtain written documentation from the licensed professional outlining the procedures and the names of the facility staff who have been trained in those procedures.
(2) The licensee ensures that the licensed professional reviews staff performance as often as necessary, but at least annually.
(l) All training shall be documented in the facility personnel files.
(m) The licensee of an ARF or SRF shall develop and maintain, as part of the Needs and Services Plan, a Restricted Health Condition Care Plan as specified in Section 80092.2.
(1) The care plan shall neither require nor recommend that the licensee or any facility personnel or any other person providing care, other than a physician or licensed professional, implement any health care procedure that may legally be provided only by a physician or licensed professional.
(n) The licensee shall ensure that the client's health-related service needs are met and shall follow the approved plan for each client.
(o) The licensee shall document any significant occurrences that result in changes in the client's physical, mental and/or functional capabilities and report these changes to the client's physician and authorized representative.
(p) The licensee shall demonstrate compliance with the restricted health condition care plan by maintaining in the facility all relevant documentation.
(q) The licensee shall report any substantive deviation from the care plan to the client's authorized representative.
(r) The duty established by this section does not infringe on a client's right to receive or reject medical care or services, as allowed in Section 80072.
(1) If a client refuses medical services specified in the care plan, the licensee shall immediately notify all persons identified in Section 80092.2(a)(1) and shall participate in developing a plan for meeting the client's needs.
(2) If unable to meet the client's needs, the licensee shall issue an eviction notice as specified in Section 80068.5.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80092.2. Restricted Health Condition Care Plan.
Note     •     History

(a) If the licensee of an ARF or SRF chooses to care for a client with a restricted health condition, as specified in Section 80092, the licensee shall develop and maintain, as part of the Needs and Services Plan, a written Restricted Health Condition Care Plan. The plan must include all of the following:
(1) Documentation that the client and the client's authorized representative, if any, the client's physician or a licensed professional designated by the physician, and the placement agency, if any, participated in the development of the plan.
(2) Documentation by the client's physician or a licensed professional designated by the physician, of the following:
(A) Stability of the medical conditions.
(B) Medical conditions that require services or procedures.
(C) Specific services needed.
(D) Client's ability to perform the procedures.
(E) The client does not require 24-hour nursing care and/or monitoring.
(3) Identification of a licensed professional who will perform procedures if the client needs medical assistance.
(4) Identification of the person who will perform incidental medical assistance that does not require a licensed professional.
(5) Name and telephone number of emergency medical contacts.
(6) A date specified by the client's physician or designee, who is also a licensed professional, when the plan must be reviewed by all parties identified in Section 80092.2(a)(1).
(7) A signed statement from the client's attending physician that the plan meets medical scope of practice requirements.
(8) For clients of a placement agency, a signed statement from a representative of the placement agency, that they have reviewed and approved the plan and that the placement agency will monitor implementation of the plan.
(b) The Restricted Health Condition Care Plan shall neither require nor recommend that the licensee or any facility personnel or any other person providing care, other than a physician or licensed professional, implement any health care procedure that may legally be provided only by a physician or licensed professional.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including repealer of section and renumbering and amendment of heading and section of former section 80069.1 to section 80092.2, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of subsections (a)-(a)(2) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
9. Amendment of subsection (a) filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§80092.3. Inhalation-Assistive Devices.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who requires the use of an inhalation-assistive device if all of the following conditions are met:
(1) The licensee is in compliance with Section 80092.1.
(2) The licensee monitors the client's ongoing ability to operate and care for the device in accordance with the physician's instructions.
(3) The licensee ensures that either:
(A) The device is operated and cared for by a licensed professional when the client is unable to operate the device, or determine his/her own need.
(B) The device can legally be operated by an unlicensed person and is cared for by facility staff who receive training from a licensed professional as specified in Sections 80092.1(k) through (k)(2).
(4) The licensee ensures that:
(A) The device is functional.
(B) The device is removed from the facility when no longer prescribed for use by the client. 
(5) The licensee ensures that the room containing the device is large enough both to accommodate it and to allow easy passage of clients and staff.
(6) The licensee ensures that facility staff have the knowledge of and ability to care for the device.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code. 
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section heading and section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of subsection (a)(3)(B) and repealer of subsections (a)(3)(B)1.-2. filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80092.4. Colostomy/Ileostomy.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who has a colostomy or ileostomy if all of the following conditions are met:
(1) The client is mentally and physically capable of providing all routine care for his/her ostomy, and the physician has documented that the ostomy is completely healed.
(2) A licensed professional provides assistance in the care of the ostomy.
(3) The licensee is in compliance with Section 80092.1.
(4) The licensee monitors the client's ongoing ability to provide care for his/her ostomy in accordance with the physician's instructions.
(5) The licensee ensures that: 
(A) A licensed professional provides ostomy care when the client is unable to provide self-care.
(B) The ostomy bag and adhesive may be changed by facility staff who receive training from the licensed professional as specified in Sections 80092.1(k) through (k)(2).
(6) The licensee ensures that used bags are discarded as specified in Section 80088(f)(2).
(7) The licensee ensures privacy when ostomy care is provided.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code. 
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of subsection (a)(2) and (a)(5)(A)-(B) and repealer of subsections (a)(5)(B)1.-2. filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80092.5. Fecal Impaction Removal, Enemas, or Suppositories.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who requires manual fecal impaction removal, enemas, or use of suppositories if all of the following conditions are met:
(1) The licensee is in compliance with Section 80092.1.
(2) The licensee monitors the client's ongoing ability to provide his/her own routine care in accordance with the physician's instructions.
(3) The license ensures that a licensed professional administers the fecal impaction removal, enemas, or suppositories when the client is unable to do so for himself/herself.
(4) The licensee ensures that a licensed professional performs manual fecal impaction removal whenever it is necessary.
(5) The licensee ensures privacy when care is being provided.
NOTE

Authority cited: Section 1530, Health and Safety Code. References: Sections 1501, 1502, 1507 and 1530, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section heading and section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80092.6. Indwelling Urinary Catheter/Catheter Procedure.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who requires an indwelling catheter if all of the following conditions are met:
(1) The client is physically and mentally capable of caring for all aspects of the condition except insertion, removal and irrigation.
(A) Irrigation shall only be performed by a licensed professional in accordance with the physician's orders.
(B) Insertion and removal shall only be performed by a licensed professional.
(2) The licensee is in compliance with Section 80092.1.
(3) The licensee monitors the client's ongoing ability to care for his/her catheter in accordance with the physician's instructions.
(4) The licensee ensures that either catheter care is provided by a licensed professional when the client is unable to provide self-care, or the catheter bag and tubing are changed and bags are emptied by facility staff who receive training from the licensed professional as specified in Sections 80092.1(k) through (k)(2).
(5) The licensee ensures that insertion, removal and irrigation of the catheter, or any other required catheter care other than that specified in Section 80092.6(a)(4) are performed by a licensed professional.
(6) The licensee ensures that waste materials are disposed of as specified in Section 80088(f)(2).
(7) The licensee ensures privacy when care is provided.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of subsection (a)(4), repealer of subsection (a)(4)(A)-(B) and amendment of subsection (a)(5) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80092.7. Staph or Other Serious, Communicable Infections.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who has a staph or other serious communicable infection if all of the following conditions are met:
(1) The licensee is in compliance with Section 80092.1.
(2) The licensee has obtained a statement from the client's physician that the infection is not a risk to other clients.
(3) The licensee monitors the client's ongoing ability to care for his/her own condition by complying with the instructions of the licensed professional who is managing the client's care.
(A) The licensed professional may delegate certain aspects of the care providing the facility staff responsible for providing the care receive training from a licensed professional as specified in Sections 80092.1(k) through (k)(2) prior to providing care.
(4) The licensee ensures that a licensed professional assesses the infection and evaluates the treatment at intervals set by the physician or a licensed professional designated by the physician.
(5) The licensee ensures that prior to providing care, staff are trained in and follow Universal Precautions and any other procedures recommended by the licensed professional for protection of the client who has the infection, other clients and staff.
(6) The licensee ensures that all aspects of care performed in the facility by the licensed professional and facility staff are documented in the client's file.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code. 
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including renumbering of former section 80092.7 to section 80077.4 and new section 80092.7, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80092.8. Diabetes.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who has diabetes if all of the following conditions are met:
(1) The licensee is in compliance with Section 80092.1.
(2) The client is mentally and physically capable of administering his/her own medication and performing his/her own glucose testing if applicable, or a licensed professional administers the tests and injections.
(A) The licensed professional may delegate to trained facility staff glucose testing provided all of the following conditions are met:
1. The blood glucose-monitoring test is performed with a blood glucose-monitoring instrument that has been approved by the federal Food and Drug Administration for over-the-counter sale.
2. The licensee ensures that facility staff responsible for glucose testing receive training from a licensed professional as specified in Sections 80092.1(k) through (k)(2).
3. Facility staff comply with the instructions of the licensed professional regarding the performance of the test and the operation of the blood glucose-monitoring instrument.
4. Facility staff immediately notify the client's physician if the results are not within the normal range for the client.
5. The licensee ensures that the results of each blood glucose test performed by facility staff are documented and maintained in the client's record in the facility.
(3) The licensee ensures that sufficient amounts of medicines, testing equipment, syringes, needles, and other supplies are maintained and stored in the facility.
(4) The licensee ensures that injections are administered immediately after a syringe is filled unless the client is using prefilled syringes prepared by a registered nurse, pharmacist, or drug manufacturer.
(5) The licensee ensures that syringes and needles are disposed of in accordance with California Code of Regulations, Title 8, Section 5193.
(6) The licensee provides a modified diet as prescribed by a client's physician, as specified in Section 80076(a)(6). Any substitutions shall be made by the facility dietitian or in consultation with a registered dietician or the client's physician or medical provider.
(7) The licensee ensures that all facility staff who provide care receive training in recognizing the signs and symptoms of hyperglycemia and hypoglycemia and in taking appropriate action for client safety.
(b) For clients who provide self-care, the licensee shall:
(1) Monitor the client's ongoing ability to preform his/her glucose testing and administer his/her medication in accordance with the physician's instructions.
(2) Assist clients with self-administered medication, as specified in Section 80075.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including renumbering of former section 80092.8 to section 80077.5 and renumbering and amendment of  heading and section of former section 80092.9 to section 80092.8, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of subsections (a)(2)(A)1.-2., repealer of subsections (a)(2)(A)3.-4., subsection renumbering and amendment of newly designated subsection (a)(2)(A)3. filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
9. Amendment of section heading and subsections (a) and (a)(2), repealer of subsection (a)(6)(A) and amendment of Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§80092.9. Wounds.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who has a serious wound if all of the following conditions are met:
(1) The licensee is in compliance with Section 80092.1.
(2) The wound is either an unhealed, surgically closed incision or wound, or determined by the physician or a licensed professional designated by the physician to be a Stage 1 or 2 dermal ulcer and is expected by the physician or designated professional to completely heal.
(3) The licensee ensures that a licensed professional in accordance with the physician's instructions provides the wound care.
(A) The licensed professional may delegate simple dressing to facility staff who receive training from a licensed professional as specified in Sections 80092.1(k) through (k)(2).
(4) The licensee ensures that a licensed professional assesses the wound at intervals set by the physician, or a licensed professional designated by the physician, to evaluate treatment and progress toward healing.
(5) The licensee ensures that all aspects of care performed by the licensed professional facility staff are documented in the client's file.
(b) Non-serious wounds, which include but are not limited to minor cuts, punctures, lacerations, abrasions, and first-degree burns are not affected by this section.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code. 
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including renumbering of former section 80092.9 to section 80092.8 and renumbering and amendment of former section 80092.10 to section 80092.9, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
9. Repealer of subsection (a)(3)(B) filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§80092.10. Gastrostomy Feeding, Hydration, and Care.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who requires gastrostomy care, feeding, and/or hydration if all of the following conditions are met:
(1) The licensee is in compliance with Section 80092.1.
(2) The physician has documented that the gastrostomy is completely healed.
(3) The licensee monitors the client's ongoing ability to provide all routine feeding, hydration and care for his/her gastrostomy in accordance with the physician's instructions.
(4) The licensee ensures that gastrostomy feeding, hydration, medication administration through the gastrostomy, and stoma cleaning are provided by a licensed professional when the client is unable to provide his/her own feeding, hydration and care.
(A) The licensed professional may delegate the following tasks to facility staff who receive training from a licensed professional as specified in Sections 80092.1(k) through (k)(2).
1. Gastrostomy feeding, hydration, and stoma cleaning.
2. For routine medications, trained staff may add medication through the gastrostomy per physician's or nurse practitioner's orders.
3. For PRN medications, trained staff may add medications through the gastrostomy in accordance with Section 80075(b) through (e).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including renumbering of former section 80092.10 to section 80092.9 and renumbering and amendment of former section 80092.11 to section 80092.10, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment of subsection (a)(4)(A) and repealer of subsections (a)(4)(B)-(C) filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80092.11. Tracheostomies.
Note     •     History

(a) A licensee of an adult CCF may accept or retain a client who has a tracheostomy if all of the following conditions are met:
(1) The licensee is in compliance with Section 80092.1.
(2) Either the client is mentally and physically capable of providing all routine care for his/her tracheostomy and the physician has documented that the tracheostomy opening (stoma) is completely healed, or assistance in the care of the tracheostomy is provided by a licensed professional.
(A) The licensed professional may delegate routine care for the tracheostomy to facility staff who receive supervision and training from the licensed professional as specified in Sections 80092.1(k) through (k)(2).
1. Suctioning shall not be delegated to facility staff.
(3) The licensee monitors the client's ongoing ability to provide all routine care for his/her tracheostomy in accordance with the physician's instructions.
(4) The licensee ensures that tracheostomy care is provided by a licensed professional when the client is unable to provide self-care.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including renumbering of former section 80092.11 to section 80092.10 and renumbering and amendment of former section 80092.12 to section 80092.11, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Amendment filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
§80092.12. Tracheostomies.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including renumbering of former section 80092.12 to section 80092.11, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80093. Department Review of Health-Related Conditions.
Note     •     History

(a) The Department may review actual or suspected health-related conditions, including those specified in Section 80092, to determine if a client is appropriately placed in the facility and if the client's health-related needs are being met. The Department will inform the licensee that the client's health-related condition requires review and will specify documentation that the licensee shall submit to the Department.
(1) Documentation includes, but is not limited to, the following:
(A) Restricted Health Condition Care Plan, if applicable.
(B) Needs and Services Plan.
(C) Copies of prescriptions for medical services and/or medical equipment.
(2) The licensee shall submit the documentation to the Department within 10 working days.
(b) If the Department determines that the client has a restricted health condition, as specified in Section 80092, the licensee shall provide care to the client in accordance with conditions specified in Sections 80092.1 and applicable requirements in Sections 80092.3 through 80092.11. If the licensee is not able to provide adequate care, the client shall be relocated.
(c) If the Department determines that the client has a prohibited health condition, as specified in Section 80091 or a health condition that cannot be cared for within the limits of the license or within the abilities of that specific facility, the Department will order relocation of the client as specified in Section 80094.
(1) The notification to the licensee will include notice of all appeal rights, as specified in Section 80094.
(d) This section does not entitle the licensee to a full evidentiary hearing, state hearing, or any other administrative review beyond that set forth in this section.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including amendment of subsections (a)-(c)(1), renumbering of subsections (d)(1)-(5) to section 80095(c)(1)-(5) and subsection relettering, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80094. Health Condition Relocation Order.
Note     •     History

(a) In an adult CCF the Department will order relocation of a client if the Department makes any of the following determinations:
(1) The client has a prohibited health condition, as specified in Section 80091.
(2) The licensee has not met all of the requirements in Sections 80092.1 and applicable requirements in Sections 80092.3 through 80092.11.
(3) The client has a health condition that cannot be cared for within the limits of the license or within the abilities of that specific facility.
(b) The Department will give written notice to the licensee ordering the relocation of the client and informing the licensee of the client's right to an IDT review of the relocation order.
(1) Concurrently, the Department will give the notice of the health condition relocation order and information about the client's right to request review of the relocation order to the client. The Department will mail, by certified mail, or deliver a copy within one working day to  the client's authorized representative, if any and responsible person.
(A) If the client has no authorized representative, as defined in Section 80001, the relocation order shall be sent to the responsible person and representative payee, if any.
(2) The health condition relocation order will state the reason for the relocation order and cite the regulation(s) requiring the relocation.
(3) Upon receipt of the relocation order, the licensee shall prepare a written relocation plan in compliance with Section 80078.
NOTE

Authority Cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1530, 1531 and 1556, Health and Safety Code.
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of section and Note, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§80094.5. Client's Request for Review of a Health Condition Relocation Order by the Interdisciplinary Team (IDT).
Note     •     History

(a) A client or the client's authorized representative, if any, may request a review of the Department's health condition relocation order by the IDT.
(b) The client or the client's authorized representative, if any, has 10 working days from receipt of the relocation order to submit to the licensee a written, signed, and dated request for a review and determination by the IDT.
(1) For purposes of this section, a working day is any day except Saturday, Sunday, or an official state holiday.
(c) The licensee shall mail or deliver such a request to the Department within two (2) working days of receipt.
(1) Failure or refusal to do so may subject the licensee to civil penalties, as provided in Section 80054.
(d) Within five (5) working days of receipt by the Department of the request for review, the Department will give written notification to the licensee, client and the client's authorized representative, if any, acknowledging receipt of the client's request for review of the relocation order. 
(e) Within twenty (20) working days from the date of the client's review request, the licensee shall submit to the Department the documentation specified in this section to complete the client's review request.
(1) If the information is not received within twenty (20) days, the request for review shall be considered withdrawn, the licensee shall be notified, and the relocation plan will be implemented.
(f) The licensee shall cooperate with the client and the client's authorized representative, if any, in gathering the documentation to complete the client's review request.
(g) The documentation to complete the client's review request shall include, but not be limited to, the following:
(1) The reason(s) for disagreeing that the client has the health condition identified in the relocation order and why the client believes he/she may legally continue to remain in a CCF.
(2) Current health and functional capabilities assessments, as specified in Sections 80069 and 80069.2.
(A) For purposes of this section, “current” means a medical assessment completed on or after the date of the relocation order.
(3) A written statement from any placement agency currently involved with the client addressing the relocation order.
(h) The Department will inform the licensee, client and the client's authorized representative, if any, in writing, of the IDTs determination and the reason for that determination not more than 30 days after the Department's receipt of the information required in this section.
(i) A client does not have a right to a review under this section in any of the following circumstances:
(1) A health condition relocation order has been issued under Section 80078(b)(6).
(2) A client has been evicted under Section 80068.5.
(3) A temporary suspension order has been issued under Section 80042.
(j) This section does not entitle the client to a right to a state hearing or any other administrative review beyond that set forth in this section.
NOTE

Authority Cited: Section 1530, Health and Safety Code. Reference: Sections 1507, 1530 and 1556, Health and Safety Code.
HISTORY

1. New section filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§80095. Clients in Care at Time of Final Adoption of Regulations.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. New section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including repealer and new heading, repealer of subsections (a)-(a)(5)(G), relettering and amendment of remainder of section and renumbering of former section 80093(d)(1)(5) to subsections (c)(1)-(5), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
8. Repealer filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
Chapter 2. Social Rehabilitation Facilities
Subchapter 1. Basic Requirements
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1527, 1528, 1530 and 1531, Health and Safety Code.
HISTORY

1. * Repealer of Chapter 2 (Articles 1-5, Sections 81001-81500 not consecutive) and new Chapter 2 (Subchapters 1 and 2, Sections 81000-81187.3, not consecutive) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42). For prior history, see Register 75, Nos. 48 and 35.
. * The reorganization of Chapter 2 is printed as a repealer and adoption for clarity.
2. Editorial correction renumbering and amending Chapter 2 (Subchapters 1 and 2, Sections 81000-81187.3, not consecutive) to new Division 12, Chapter 2 (Subchapters 1 and 2, Sections 101251-101438, not consecutive) filed 7-1-85; designated effective 7-1-85 (Register 85, No. 27). For prior history, see Registers 85, No. 24; 85, No. 19; and 84, No. 49.
3. Editorial correction amending chapter heading (Register 94, No. 39).
Article 1. General Requirements and Definitions
§81000. General.
Note     •     History

(a) Social Rehabilitation Facilities, as defined in section 80001s.(3), shall be governed by the provisions specified in this chapter and in chapter 1, General Licensing Requirements.
(b) In addition to (a) above, Social Rehabilitation Facilities shall be governed by those provisions specified in title 9, subchapter 3, article 3.5, sections 531 through 535 of the California Code of Regulations.
(c) California Code of Regulations title 22, division 6, chapter 2 shall not be in effect until California Code of Regulations, title 9, subchapter 3, article 3.5, sections 531 through 535 are in effect.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Editorial correction of subsection (a) (Register 2002, No. 14).
§81001. Definitions.
Note     •     History

In addition to section 80001, the following shall apply:
a. (Reserved)
b. (Reserved)
c.(1) “Certified” means a Social Rehabilitation program that has been certified by the Department of Mental Health as meeting the standards established for that program.
d.(1) “Direct-Care Staff” means those persons who deliver direct care and supervision to the clients.
e.(1) “Evict” or “eviction” means an involuntary relocation or removal of a client from the facility by the licensee.
f. (Reserved)
g. (Reserved)
h. (Reserved)
i. (Reserved)
j. (Reserved)
k. (Reserved)
l.(1) “Long-Term Residential Treatment Program” means a program as defined in Welfare and Institutions Code, section 5458(b).
m.(1) “Mental Illness” means the mental condition of any adult who has been evaluated and referred for treatment for a mental disorder, as defined in section 80001m.(1).
n.(1) “Needs and Services Plan” means a time-limited, goal oriented, written plan which identifies the specific needs of an individual client, including the items specified in section 81068.2, and delineates those services necessary to meet the client's needs.
o.(1) “On-Call Staff” means a staff person who is not on duty on the facility premises, but who can be contacted by the facility if an additional staff person is needed, and can be at the facility and on duty within 30 minutes.
p.(1) “Program Director” means the person who has been designated the authority and responsibility by the licensee to oversee and carry out the overall treatment program and management of the facility.
q. (Reserved)
r. (Reserved)
s.(1) “Short-Term Crisis Residential Program” means a program type as defined in Welfare and Institutions Code, section 5458(a).
(2) “Social Rehabilitation Facility” means any facility which provides 24-hour a day nonmedical care and supervision in a group setting to adults recovering from mental illness who temporarily need assistance, guidance, or counseling.
t.(1) “Transitional Residential Program” means a program type as defined in the Welfare and Institutions Code, section 5458(c).
(2) “Treatment Program” means the services that are to be provided to the clients and are specific to the program type(s) certified by the Department of Mental Health.
(3) “Treatment/Rehabilitation Plan” means a plan as defined in California Code of Regulations, title 9, subchapter 3, article 3.5, section 532.2(c).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Editorial correction of subsection m.(1) (Register 2002, No. 14).
Article 2. Licensing
§81009. Posting of License.
Note     •     History

(a) The license shall be posted in a prominent, publicly accessible location in the facility.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
§81010. Limitations on Capacity and Ambulatory Status.
Note     •     History

(a) In addition to section 80010, the following shall apply:
(b) The total capacity of all program types certified for one facility shall not exceed the total licensed capacity of the facility.
(c) The total licensed capacity of a Social Rehabilitation Facility shall not exceed 15, except as provided in (d) below.
(d) A facility licensed as an Adult Residential Facility prior to the effective date of these regulations shall be allowed to apply for a Social Rehabilitation Facility license, at the same location, with a capacity equal to or less than that for which the facility is currently licensed.
(1) The licensing agency shall not deny an application solely because the requested capacity exceeds 15.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
Article 3. Applications Procedures
§81018. Application for License.
Note     •     History

(a) In addition to section 80018, the following shall apply:
(b) Each applicant shall submit to the Department an itemized financial plan of operation. The financial plan of operation shall consist of a financial statement listing the applicant's assets and liabilities and an anticipated budget, including operating income and costs.
(1) Liquid assets shall be available for start up funds sufficient to cover the first three months operating costs of the facility.
(A) The value of an existing contract with a County Mental Health Agency shall be included as a liquid asset.
(c) The licensing agency shall have the authority to require written verification of the availability of the funds required in subsection (b)(1) above.
(d) Prior to licensure, each applicant shall submit to the licensing agency evidence of current program certification, which shall be signed by an authorized representative of the Department of Mental Health.
(1) The certification document shall contain the following:
(A) Facility name and address;
(B) Program type(s);
(C) Capacity for each program type;
(D) Staff positions and qualifications;
(E) Staffing pattern and ratio; and
(F) Certification effective/expiration date.
(2) The facility shall notify the Department of Mental Health of any changes pertaining to section 81018(d)(1).
(A) The licensee shall keep written evidence on file at the facility that the Department of Mental Health has received the notification.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Editorial correction of printing error in subsections (d) and (d)(1)(A) (Register 91, No. 32).
§81022. Plan of Operation.
Note     •     History

(a) In addition to section 80022, the plan of operation shall include:
(1) A statement that specifies the maximum length of treatment for the clients, which shall not exceed 18 months.
(2) Written evidence of arrangements for any consultants and community resources which are to be utilized in the facility's plan of operation or to meet regulatory requirements.
(3) Provisions for ensuring that food service requirements (sections 80076 and 81076) and building and grounds requirements (sections 80087 and 81087) shall continue to be met when the clients are unable or unwilling to perform these functions as a part of their treatment plans.
(4) A written plan for the supervision and training of staff as required by section 81065(f).
(5) A written staff continuing education plan which meets the requirements of section 81065(g).
(6) A written plan for managing client psychiatric crises, including procedures for facility staff intervention and for securing assistance from local psychiatric emergency response agencies.
(7) A current, valid program certification by the Department of Mental Health.
(A) The certification document shall contain the information required in section 81018.
(b) In addition to subsection (a) above, any facility with a certified Long-Term Residential Treatment Program shall submit the following information to the licensing agency:
(1) The treatment program which shall include those services specified in section 81001.l.(1).
(c) In addition to subsection (a) above, any facility with a certified Short-Term Crisis Residential Program shall submit the following information to the licensing agency:
(1) The treatment program which shall include those services specified in section 81001s.(1).
(d) In addition to subsection (a) above, any facility with a certified Transitional Residential Program shall submit the following information to the licensing agency:
(1) The treatment program which shall include those services specified in section 81001t.(1).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Change without regulatory effect amending lettering and correcting cross- references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Editorial correction of printing error in subsection (a)(3) (Register 91, No. 32).
§81024. Waivers and Exceptions.
Note     •     History

(a) In addition to section 80024, the following shall apply:
(b) The Department shall notify the Department of Mental Health of all waiver and exception requests.
(1) A copy of the approval or denial shall be sent to the Department of Mental Health.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference. Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Repealer of subsections (c) and (d) filed 8-8-91; operative 9-9-91 (Register 91, No. 50).
§81027. Initial Application Review.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference. Section 1520.3, Health and Safety Code and Section 15376, Government Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Repealer of section filed 8-8-91; operative 9-9-91 (Register 91, No. 50).
§81031. Issuance of License.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Repealer of section filed 8-8-91; operative 9-9-91 (Register 91, No. 50).
Article 4. Administrative Actions
§81042. Revocation or Suspension of License.
Note     •     History

(a) In addition to section 80042, the following shall apply:
(b) The Department shall initiate revocation action against the license of a Social Rehabilitation Facility when it is found that the program certification has been withdrawn by the Department of Mental Health.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Editorial correction of printing error in subsection (b) (Register 91, No. 32).
Article 5. Enforcement Provisions [Reserved]
§81051. Serious Deficiencies. [Reserved]

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code. 
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
Article 6. Continuing Requirements
§81060. Basic Services.
Note     •     History

(a) For SSI/SSP recipients who are residents, the basic services shall be provided and/or made available at the basic rate with no additional charge to the resident.
(1) This shall not preclude the acceptance by the facility of voluntary contributions from relatives or others on behalf of an SSI/SSP recipient.
(2) An extra charge to the resident shall be allowed for a private room if a double room is made available but the resident prefers a private room, provided the arrangement is documented in the admissions agreement and the charge is limited to 10% of the Board and Room portion of the SSI/SSP grant.
(3) An extra charge to the resident shall be allowed for provision of special food services or products beyond that specified in Section 80076(a)(2) and (a)(4) when the resident wishes to purchase the services and agrees to the extra charge in the admissions agreement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1502(a)(7) and Section 12350, Welfare and Institutions Code.
HISTORY

1. New section filed 3-20-96; operative 4-19-96 (Register 96, No. 12).
§81061. Reporting Requirements.
Note     •     History

(a) In addition to section 80061, the following shall apply:
(b) The licensee shall notify the licensing agency, in writing, within 10 working days of a change of administrator or program director. Such notification shall include the following:
(1) Name, residence and mailing address of the new administrator/program director.
(2) Date he/she assumed his/her position.
(3) Description of his/her background and qualifications, including documentation of required education and related experience.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Editorial correction of printing error in subsection (b)(1) (Register 91, No. 32).
§81064. Administrator Qualifications and Duties.
Note     •     History

(a) In addition to section 80064, the following shall apply:
(b) All Social Rehabilitation Facilities shall have an administrator.
(c) The administrator shall have the following qualifications prior to employment:
(1) One year of full-time work experience in a management or administrative position and,
(2) Completion, with a passing grade, of 15 college or continuing education semester or equivalent quarter units, of which 9 units which shall be in administration and/or management.
(A) Three years of full-time work experience in a management or administrative position may be substituted to meet the requirement of (2) above.
(d) The administrator of the facility shall be responsible for the following:
(1) Communication with the licensee concerning the administrative operations of the facility.
(2) Development of an administrative plan and procedures to define lines of responsibility, workloads, and staff supervision.
(3) Recruitment, employment, and training of qualified staff, and termination of staff.
(e) Any person designated as an administrator shall be required to complete at least 20-clock-hours of continuing education per year in areas relating to mental health and the care of the mentally ill, and/or administration.
(f) Persons employed as the administrator in an Adult Residential Facility serving clients who meet the definition of “mental illness” as contained in section 81001 m.(1) as of the effective date of this section, shall not be required to meet the education/experience requirements specified in (c) above.
(g) If the administrator is also the program director, he/she shall also meet the requirements of the program director set forth in California Code of Regulations, title 9, subchapter 3, article 3.5, sections 532.6(f), (g), and (i).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
§81064.1. Program Director Qualifications and Duties.
Note     •     History

(a) All Social Rehabilitation Facilities shall have a program director.
(b) The program director shall be on the premises the number of hours necessary to manage and administer the treatment program of the facility in compliance with California Code of Regulations, title 9, subchapter 3, article 3.5, sections 531 through 535 and title 22, division 6, chapter 2, sections 81001.l(1), s.(1) and t.(1).
(c) When the program director is temporarily absent from the facility, there shall be coverage by a substitute program director designated in writing by the licensee.
(1) If the absence is for more than 14 consecutive calendar days, excluding emergency leave, sick leave or vacation of the program director, the designated substitute shall meet the qualifications of a program director set forth by the Department of Mental Health.
(d) The program director shall meet the minimum qualifications set forth in California Code of Regulations, title 9, subchapter 3, article 3.5, sections 532.6(f), (g), and (i).
(e) The program director shall ensure the following:
(1) Communication with the licensee concerning the operation of the facility.
(2) Provision of the services identified in each client's individual needs and services plan or required by California Code of Regulations, title 9, subchapter 3, article 3.5, sections 531 through 535 or title 22, division 6, chapters 1 and 2.
(3) Arrangements for clients to attend available community programs, when clients have needs, identified in the needs and services plan, which cannot be met by the facility but can be met by community programs.
(A) Such arrangements shall include, but not be limited to, arranging for transportation.
(1) This requirement does not exempt the licensee from providing transportation when public transportation is not practical or when the client is unable to use public transit.
(4) Arrangements for special provision of services to clients with disabilities including visual and auditory deficiencies.
(5) Development of an employee work schedule as required in section 81066(b).
(6) Provision of staff support to clients in the planning, preparing, and serving of meals.
(A) If clients are unable to plan, prepare, and serve meals, the program director shall initiate and carry out the program plan pursuant to section 81022(a)(3) to ensure the requirements of sections 80076 and 81076 are met.
(7) Provision of staff support to clients in performing facility maintenance and/or cleaning activities as designated in the client's treatment/rehabilitation plan.
(A) If clients are unable to perform facility maintenance and/or cleaning activities, the program director shall initiate and carry out the plan developed pursuant to section 81022(a)(3) to ensure the requirements of section 80087(a) are met.
(f) Any person designated as a program director shall be required to complete at least 20-clock-hours of continuing education per year in areas relating to mental health and the care of the mentally ill, and/or administration.
(g) If the program director is also the administrator, he/she shall also meet the requirements of the administrator set forth in section 81064(c).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Change without regulatory effect amending lettering and correcting cross- references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Editorial correction of printing error in subsections (d)(1) and (e)(A)(6) (Register 91, No. 32).
§81065. Personnel Requirements.
Note     •     History

(a) In addition to section 80065, the following shall apply:
(b) All direct care staff shall meet the minimum qualifications as set forth in California Code of Regulations, title 9, subchapter 3, article 3.5, sections 532.6(h) and (i).
(c) The licensee shall hire support staff as necessary to perform office work, and maintenance of buildings, equipment, and grounds.
(d) The licensee shall ensure that a direct service to a client shall be provided by a person with the appropriate license or certificate when required by law.
(e) The licensee shall develop, maintain, and implement a written plan for the orientation, continuing education, on-the-job training, supervision, and evaluation of all direct care staff. 
(f) All direct care staff shall receive a minimum of 20-clock-hours of continuing education per year, which shall provide the staff with the knowledge and skills as appropriate to their job assignment.
(1) The continuing education may include such topics as the following:
(A) Basic knowledge of mental disorders;
(B) Counseling skills, including individual, group, vocational and job counseling skills;
(C) Crisis management;
(D) Development and updating of needs and services plan;
(E) Discharge planning;
(F) Medications, including possible side effects and signs of overmedicating;
(G) Knowledge of community services and resources; and
(H) Principles of good nutrition, proper food preparation and storage, and menu planning.
(2) The licensee shall document the number of hours of continuing education completed each year by direct care staff.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501, 1502(a)(7), 1507 and 1562, Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Renumbering of subsections (c)-(c)(3)(A) to section 81065.5(a)-(a)(3)(A), subsection relettering, and amendment of Note filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§81065.5. Day Staff-Client Ratio.
Note     •     History

(a) A licensee shall ensure that sufficient direct care staff are at the facility whenever clients are present.
(1) There shall be at least one direct care staff person on duty, on the premises, any time clients are in the facility.
(A) Any time there is only one direct care staff person on duty on the premises, another direct care staff person shall be on call and capable of responding within 30 minutes.
(2) Short Term Crisis Residential Programs shall have at least two direct care staff persons on duty, on the premises, any time clients are in the facility.
(3) All facilities shall employ staff and have staffing patterns and ratios as indicated on the facility certification document.
(A) The facility shall notify the Department of Mental Health when staff qualifications, positions or staffing patterns change.
(b) Whenever a client who relies upon others to perform all activities of daily living is present, the following minimum staffing requirements shall be met:
(1) For Regional Center clients, staffing shall be maintained as specified by the Regional Center, but no less than one direct care staff to three such clients.
(2) For all other clients, there shall be a staff-client ratio of no less than one direct care staff to three such clients.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; and Sections 1501, 1502(a)(7), 1507 and 1562, Health and Safety Code.
HISTORY

1. New section, including renumbering of former section 80065(c)-(c)(3)(A) to subsections (a)-(a)(3)(A), filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§81065.6. Night Supervision.
Note     •     History

(a) In addition to Section 81065.5(a), the following shall apply.
(b) In facilities providing care to seven or more clients who rely upon others to perform all activities of daily living, there shall be at least one person on duty, on the premises and awake.
(1) For every additional 14 such clients, there shall be one additional person on duty, on the premises and awake.
(c) In facilities providing care to Regional Center clients who rely upon others to perform all activities of daily living, night supervision shall be maintained as required by the Regional Center, but not less than specified in (b) and (b)(1) above.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; and Sections 1501, 1502(a)(7), 1507 and 1562, Health and Safety Code.
HISTORY

1. New section filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§81066. Personnel Records.
Note     •     History

(a) In addition to section 80066, the following shall apply:
(b) An employee work schedule shall be developed at least monthly, shall be displayed conveniently for employee reference, and shall contain the following information for each employee:
(1) Name;
(2) Job title;
(3) Dates, days and hours of work; and
(4) Days off.
(c) Staff training as required by section 81065(g) shall be documented. Documentation shall include the subject of the training, who conducted the training, and the date(s) of the training.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
§81068. Admission Agreements.
Note     •     History

(a) In addition to section 80068, the following shall apply:
(b) The admission agreement shall specify the following:
(1) Facility policies which are intended to ensure that no client, in the exercise of his/her personal rights, infringes upon the personal rights of any other client.
(2) Those actions, circumstances, or conditions which may result in the client's eviction from the facility as specified in section 81068.5.
(3) An indication whether the client is either receiving or eligible for Short/Doyle payments pursuant to Welfare and Institutions Code sections 5700 through 5750.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453, 5458, and 5713.1, Welfare and Institutions Code; Sections 1501 and 1507(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Editorial correction of printing error in subsection (b)(1) (Register 91, No. 32).
§81068.1. Admission Procedure.
Note     •     History

(a) The licensee shall develop, maintain, and implement admission procedures which shall meet the requirements specified in this section.
(b) No client shall be admitted prior to a determination of the facility's ability to meet the needs of the client, which shall include an appraisal of his/her individual service needs as specified in section 81068.2.
(c) Prior to accepting a client for treatment, the program director or an experienced staff person who has received training in developing a needs and services plan shall:
(1) Interview the prospective client, and his/her authorized representative, if any.
(A) The interview shall provide the prospective client with information about the facility, including the information contained in the Admission Agreement and any additional policies and procedures, house rules, and activities.
(2) Obtain and review documents as specified in sections 81068.2(a)(1) and (2).
(A) This information may not be readily available for clients accepted in a short-term residential crisis program. If this information is not available at the time of admission, this fact must be documented in the client's file. This information must be obtained within three days of admission to the program.
(d) The facility shall obtain the medical assessment, performed as specified in section 80069.
(e) If terms of admission are mutually agreeable, the facility shall obtain the signature of the client, or his/her authorized representative, if any, on the Admission Agreement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
§81068.2. Needs and Services Plan.
Note     •     History

(a) Prior to admission, the licensee shall determine whether the facility's program can meet the prospective client's service needs.
(b) If the client is to be admitted, then prior to admission, the licensee shall complete a written Needs and Services Plan, that must include:
(1) A written assessment as required in California Code of Regulations, title 9, subchapter 3, article 3.5, section 532.2(b).
(2) Any needs appraisal or individual program plan completed by a placement agency or consultant.
(3) A written treatment/rehabilitation plan as required by California Code of Regulations, title 9, subchapter 3, article 3.5, section 532.2(c).
(4) If the client has a restricted health condition, as specified in Section 80092, a written Restricted Health Condition Plan as specified in Section 80092.2.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501, 1502(a)(7) and 1507, Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. New subsection (a)(4) and amendment of Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
3. New subsection (a)(4) and amendment of Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
4. New subsection (a)(4) and amendment of Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
5. New subsection (a)(4) and amendment of Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
7. New subsection (a)(4) and amendment of Note  refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-23-98 order, including new subsection (a), subsection relettering, and amendment of newly designated subsections (b) and (b)(4), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§81068.3. Modifications to Needs and Services Plan.
Note     •     History

(a) The program director or an experienced staff person who has been trained in the development and modification of a needs and services plan shall, with the client's participation, update the needs and services plan specified in section 81068.2.
(b) The program director or staff person specified in (a) above shall, with the client's participation, review the treatment/rehabilitation plan according to the schedule set forth in California Code of Regulations, title 9, subchapter 3, article 3.5, section 532.2(c)(3).
(c) The program director shall ensure that the updated needs and services plan includes documentation of all changes in the client's physical, mental, emotional, and social functioning.
(1) The program director shall ensure that all changes are considered when modifying the needs and services plan.
(2) The program director shall ensure that all changes are brought to the attention of the client's physician, mental health professional, or authorized representative, if any.
(d) If modifications to the plan identify an individual client need which is not being met by the program of services, the following requirements shall apply:
(1) The program director shall secure consultation from a dietitian, physician, social worker, psychologist, or other consultant as necessary to assist in determining if such needs can be met by the facility within the facility's program of services.
(2) If it is determined that the needs can be met, the program director, in conjunction with the consultant, shall develop and maintain in the facility a written services plan which shall include the following:
(A) Objectives, within a time frame, which relate to the client s problems and/or needs;
(B) Plans for meeting the objectives;
(C) Identification of any individuals or agencies responsible for implementing and evaluating each part of the plan; and
(D) Method of evaluating progress.
(3) If it is determined that the needs cannot be met, the licensee shall bring this fact to the attention of the client and/or his/her authorized representative or mental health professional, if any, and request that the client relocate.
(A) If the client refuses to relocate, the licensee shall be permitted to evict the client in accordance with section 81068.5.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Editorial correction of printing error in subsection (d) (Register 91, No. 32).
§81068.4. Acceptance and Retention Limitations.
Note     •     History

(a) The licensee shall not accept or retain the following:
(1) Persons with active communicable tuberculosis.
(2) Persons who require inpatient care in a health facility.
(3) Persons who have needs which are in conflict with other clients or the program of services offered.
(4) Persons who require more care and supervision than is provided by the facility.
(b) A client's length of stay shall not exceed 18 months.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Repealer and new subsection (a)(1) and amendment of Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new subsection (a)(1) and amendment of Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new subsection (a)(1) and amendment of Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
5. Repealer and new subsection (a)(1) and amendment of Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
7. Repealer and new subsection (a)(1) and amendment of Note  refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
8. Reinstatement of subsection (a)(1) and Note as they existed prior to 1-31-97 emergency action by operation of Government Code section 11346.1(f) (Register 98, No. 36).
§81068.5. Eviction Procedures.
Note     •     History

(a) The licensee shall be permitted to evict a client with 30 days' written notice for any of the following reasons:
(1) Nonpayment of the rate for basic services within ten days of the due date.
(2) Failure of the client to comply with the provisions of the Admission Agreement.
(3) Failure of the client to participate in the services and activities specified in the treatment/rehabilitation plan to the extent of his/her ability.
(4) A needs and services plan modification has been performed, as specified in section 81068.3, which determined that the client's needs cannot be met by the facility and the client has been given an opportunity to relocate as specified in section 81068.3(d)(3).
(5) The program or facility type has changed and the client is no longer compatible with the population to be served.
(b) The licensee shall be permitted to evict a client with three days' prior written notice if the client has engaged in behavior since being admitted to the facility which is a threat to the mental health or physical safety of the client or other clients and the following requirement is met:
(1) The licensee has received prior written and/or has documented telephone approval for the notice of eviction from the licensing agency.
(A) The licensing agency shall approve or deny the request within two working days of receipt.
(c) The licensee shall set forth in the notice the reasons for the eviction, with specific facts including the date, place, witnesses, and circumstances.
(d) The licensee shall, upon providing the client with notification of eviction as specified in (a) or (b) above, mail a copy of the eviction notice to the client's mental health professional and/or authorized representative, if any.
(e) The licensee shall send to the licensing agency a copy of the 30-day written notice in accordance with (a) above within five days of giving the notice to the client.
(f) Nothing in this section is intended to preclude the licensee or client from invoking other remedies when eviction is not appropriate.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Editorial correction of printing error in subsections (a)(5) and (c) (Register 91, No. 32).
3. Repealer filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
8. Repealer refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
9. Reinstatement of section as it existed prior to 1-31-97 emergency action by operation of Government Code section 11346.1(g) (Register 98, No. 36).
§81069. Client Medical Assessments.
Note     •     History

(a) Notwithstanding section 80069(a), the licensee must obtain a medical assessment prior to or within 3 days following acceptance of a client into a short-term crisis program.
(1) Assessments completed by a referring medical or mental health agency may be accepted by the facility; however, the licensee must ensure all information required in section 80069(b) is either contained in the assessment or is obtained by the licensee within three days following acceptance of a client.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
§81070. Client Records.
Note     •     History

(a) In addition to section 80070, the following shall apply. 
(b) Each client record shall contain the following information:
(1) Last known address.
(2) Religious preference, and name and address of clergyman or religious advisor, if any.
(3) Needs and services plan and any modifications thereto, as specified in sections 81068.2 and 81068.3.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
§81072. Personal Rights.
Note     •     History

(a) In addition to section 80072, the following shall apply:
(b) The licensee shall insure that each client is accorded the following personal rights:
(1) To visit the facility with his/her relatives, mental health professional or authorized representative prior to admission.
(2) To have the facility inform his/her relative, mental health professional, or authorized representative, if any, of activities related to his/her care and supervision, including but not limited to notification of any modifications to the needs and services plan.
(A) This may only be done with prior written permission from the client.
(3) To have communications to the facility from his/her relatives, mental health professional, or authorized representative answered promptly and completely.
(4) To have visitors, including advocacy representatives, visit privately during waking hours, provided that such visitations do not infringe upon the rights of other clients.
(5) To wear his/her own clothes.
(6) To possess and use his/her own personal items, including his/her own toilet articles.
(7) To possess and control his/her own cash resources.
(8) To have access to individual storage space for his/her private use.
(9) To have access to telephones in order to make and receive confidential calls, provided that such calls do not infringe upon the rights of other clients and do not restrict availability of the telephone during emergencies.
(A) The licensee shall be permitted to require reimbursement from the client or his/her authorized representative for long distance calls.
(B) The licensee shall be permitted to prohibit the making of long distance calls upon documentation that requested reimbursement for previous calls has not been received.
(10) To mail and receive unopened correspondence. 
(11) To receive assistance in exercising the right to vote. 
(12) To move from the facility.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
§81075. Health-Related Services.
Note     •     History

(a) In addition to section 80075, the following shall apply:
(b) The facility administrator shall ensure the development and implementation of a plan which insures assistance is provided to the clients in meeting their medical and dental needs.
(c) The facility administrator shall ensure the isolation of a client suspected of having a contagious or infectious disease and shall ensure that a physician is contacted to determine suitability of the client's retention in the facility.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Editorial correction of printing error in subsection (c) (Register 91, No. 32).
§81076. Food Service.
Note     •     History

(a) In addition to section 80076, the following shall apply:
(b) The following requirements shall be met when serving food:
(1) Meals served on the premises shall be served in one or more dining rooms or similar areas in which the furniture, fixtures, and equipment necessary for meal service are provided.
(A) Such dining areas shall be located near the kitchen so that food may be served quickly and easily.
(2) Tray service shall be provided in case of emergency need.
(c) The licensee shall meet the following storage requirements:
(1) Supplies of staple nonperishable foods for a minimum of one week and fresh perishable foods for a minimum of two days shall be maintained on the premises.
(2) Freezers shall be large enough to accommodate required perishables and shall be maintained at a temperature of zero degrees F (-17.7 degrees C).
(3) Refrigerators shall be large enough to accommodate required perishables and shall maintain a maximum temperature of 45 degrees F (7.2 degrees C).
(4) Freezers and refrigerators shall be kept clean, and food storage shall permit the air circulation necessary to maintain the temperature specified in (2) and (3) above.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Editorial correction of printing error in subsection (b) (Register 91, No. 32).
§81078. Responsibility for Providing Care and Supervision.
Note     •     History

(a) Notwithstanding section 80078, the following shall apply:
(1) The licensee shall arrange for and/or provide those services identified in the client's needs and services plan as necessary to meet the client's needs.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
§81079. Activities.
Note     •     History

(a) The licensee shall ensure that planned recreational activities, which include the following, are provided for the clients:
(1) Activities that require group interaction.
(2) Physical activities including but not limited to games, sports, and exercises.
(b) Each client who is capable shall be given the opportunity to participate in the planning, preparation, conduct, clean-up and critique of the activities.
(c) The licensee shall ensure that clients are encouraged to participate in and shall make available community activities including but not limited to the following:
(1) Worship services and activities of the client's choice.
(2) Community service activities.
(3) Community events including but not limited to concerts, tours, dances, plays and celebrations of special events.
(4) Self-help organizations.
(5) Senior citizen groups, sports leagues, and service clubs.
(d) Notices of planned activities shall be posted in a central location readily accessible to clients, relatives, and representatives of placement and referral agencies.
(e) Activities shall be encouraged through provision of the space, equipment, and supplies specified in sections 81087.2, 81087.3 and 81088(f).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
§81080. Resident Councils.
Note     •     History

(a) Each facility, at the request of a majority of its residents, shall assist its residents in establishing and maintaining a resident-oriented facility council.
(1) The licensee shall provide space for, and post notice of, meetings, and shall provide assistance in attending council meetings for those residents who request it.
(A) If residents are unable to read the posted notice because of physical or functional disabilities, the licensee shall notify the residents in a manner appropriate to that disability including but not limited to verbal announcements.
(2) The licensee shall document notice of meetings, meeting times, and recommendations from council meetings.
(3) In order to permit a free exchange of ideas, at least part of each meeting shall be conducted without the presence of any facility personnel.
(4) Residents shall be encouraged, but shall not be compelled to attend council meetings.
(b) The licensee shall ensure that in providing for resident councils the requirements of the Health and Safety Code section 1520.2 are observed.
NOTE

Authority cited. Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501, 1502(a)(7), and 1520.2 Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Editorial correction of printing error in subsection (a)(1)(A) (Register 91, No. 32).
Article 7. Physical Environment
§81087. Buildings and Grounds.
Note     •     History

(a) In addition to section 80087, the following shall apply.
(b) Bedrooms must meet, at a minimum, the following requirements:
(1) No more than two clients shall sleep in a bedroom unless the program justifies a group living arrangement of more than two persons to a room and such arrangement is approved in writing by the licensing agency.
(2) Bedrooms must be large enough to allow for easy passage and comfortable use of any required client assistive devices including but not limited to wheel chairs, walkers, or oxygen equipment, between beds and other items of furniture specified in section 81088(c).
(3) No room commonly used for other purposes shall be used as a bedroom for any person.
(4) No client bedroom shall be used as a public or general passageway to another room, bath, or toilet.
(c) Stairways, inclines, ramps, open porches, and areas of potential hazard to clients whose balance or eyesight is poor shall not be used by clients unless such areas are well lighted and equipped with sturdy hand railings.
(d) Facilities shall meet the following requirements in laundry areas:
(1) Space and equipment for washing, ironing and mending of personal clothing.
(2) Space used for soiled linen and clothing shall be separated from the clean linen and clothing storage and handling area.
(e) There shall be space available in the facility to serve as an office for business, administration, and admission activities.
(f) The licensee shall have the authority to use a centralized service facility to provide laundry or food service to two or more licensed facilities if the use of the centralized facility does not result in a violation of California Code of Regulations, title 22, division 6, chapter 1, section 80076 or chapter 2, section 81088 and the licensing agency has issued prior written approval.
(g) Notwithstanding section 80087(h) firearms, weapons, and ammunition are not permitted in the facility or on the facility property.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Amendment of subsections (b) and (b)(2) filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§81087.2. Outdoor Activity Space.
Note     •     History

(a) The licensee shall ensure that outdoor activity areas are provided, are easily accessible to clients and protected from traffic.
(b) The licensee shall ensure that the outdoor activity areas are shaded, comfortable, and furnished for outdoor use.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
§81087.3. Indoor Activity Space.
Note     •     History

(a) As a condition of licensure, there shall be common rooms, including a living room, dining room, den or other recreation/activity room, which provide the necessary space and/or separation to promote activity programs within the facility and to prevent such activities from interfering with other functions.
(1) At least one such room shall be available to clients for relaxation and visitation with friends and/or relatives.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
§81088. Fixtures, Furniture, Equipment, and Supplies.
Note     •     History

(a) In addition to section 80088, as a condition of licensure, the following shall apply.
(b) Toilet, washbasin, and bath and shower fixtures shall at a minimum meet the following requirements:
(1) At least one toilet and washbasin shall be maintained for each six persons residing in the facility.
(2) At least one bathtub or shower shall be maintained for each six persons residing in the facility.
(3) Toilets and bathrooms shall be located near client bedrooms.
(4) Individual privacy shall be provided in all toilet, bath, and shower areas.
(5) The lock on bathroom doors shall allow for quick and easy opening from the outside.
(c) The licensee shall ensure provision to each client of the following furniture, equipment and supplies necessary for personal care and maintenance of personal hygiene.
(1) An individual bed, except that couples shall be allowed to share one double or larger size bed, maintained in good repair, and equipped with good bed springs, a clean mattress, and pillow(s).
(A) Fillings and covers for mattresses and pillows shall be flame retardant.
(B) No social rehabilitation facility shall have more beds for client use than required for the maximum capacity approved by the licensing agency.
(2) In addition to subsection (c)(1) above, each client shall have a chair, a night stand, and a lamp or lights necessary for reading.
(A) Two clients sharing a bedroom shall be permitted to share one night stand.
(3) Permanent or portable closets and drawer space in each bedroom to accommodate the client's clothing and personal belongings.
(A) A minimum of two drawers or eight cubic feet (.2664 cubic meters) of drawer space, whichever is greater, shall be provided for each client.
(4) Clean linen in good repair, including lightweight, warm blankets and bedspreads; top and bottom bed sheets; pillow cases; mattress pads; rubber or plastic sheeting, when necessary; and bath towels, hand towels, and washcloths.
(A) The quantity of linen provided shall permit changing the linen at least once each week or more often when necessary to ensure that clean linen is in use by clients at all times.
(B) The use of common towels and washcloths shall be prohibited.
(5) Feminine napkins, nonmedicated soap, toilet paper, toothbrush, toothpaste, and comb.
(d) If the facility maintains its own laundry equipment, necessary supplies shall be available and equipment shall be maintained in good repair.
(1) If the washing machine and/or dryer is coin operated, clients shall be provided with coins or tokens and laundry supplies.
(A) Coins and laundry supplies shall be provided to clients when public laundry equipment is used.
(B) The licensee shall be permitted to designate a safe location or locations, and/or times in which clients shall be permitted to iron.
(e) Emergency lighting, which shall include at a minimum working flashlights or other battery-powered lighting, shall be maintained and readily available in areas accessible to clients and staff.
(1) An open-flame type of light shall not be used.
(2) Night lights shall be maintained in hallways and passages to nonprivate bathrooms.
(f) The licensee shall provide and maintain the equipment and supplies necessary to meet the requirements of the planned activity program.
(1) Such supplies shall include but not be limited to daily newspapers, current magazines and a variety of reading materials.
(2) Special equipment and supplies necessary to accommodate physically handicapped persons or other persons with special needs shall be provided to meet the needs of handicapped clients.
(3) When not in use, recreational equipment and supplies shall be stored where they do not create a hazard to clients.
(g) All social rehabilitation facilities, except facilities with sprinkling systems, shall have an approved, commercially manufactured and battery operated smoke detector installed in the hallway(s) in each sleeping area in the home. The smoke detectors shall be audible in each bedroom or sleeping room.
(h) Facilities shall meet the following signal system requirements:
(1) Any facility certified as a Short-Term Crisis Residential Program and/or a Long-Term Residential Treatment Program with a licensed capacity of 15 or more clients, or having separate floors or separate buildings without full-time staff present on each floor or in each separate building when clients are present, shall have a signal system or shall have facility staff visually check on all clients no less than on an hourly basis.
(2) If a signal system is used, it shall meet the following requirements.
(A) Operation from each client's sleeping unit.
(B) Transmission of a visual and/or auditory signal to a central location, or production of an auditory signal at the client's living unit which is loud enough to summon staff.
(C) Identification of the specific client's sleeping unit from which the signal originates.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 5453 and 5458, Welfare and Institutions Code; Sections 1501 and 1502(a)(7), Health and Safety Code.
HISTORY

1. New section filed 1-7-91; operative 2-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12).
2. Editorial correction of printing error in subsections (e)(2) and (h) (Register 91, No. 32).
Chapter 3. Adult Day Programs
Article 1. General Requirements
§82000. General.
Note     •     History

Adult day programs, as defined in Health and Safety Code Section 1502(a)(2), shall be governed by the provisions specified in this chapter.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502(a)(2) and 1531, Health and Safety Code.
HISTORY

1. *Repealer of chapter 3 (articles 1-5, sections 82001-82200, not consecutive) and new chapter 3 (articles 1-7, sections 82000-82088.2, not consecutive) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42). For prior history, see Registers 80, No. 8; and 75, Nos. 48 and 35.
. *The reorganization of chapter 3 is printed as a repealer and adoption for clarity.
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28). 
3. Editorial correction of subsection (a) (Register 2002, No. 14).
4. Amendment of chapter heading and amendment of section and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82001. Definitions.
Note     •     History

For purposes of this chapter, the following definitions shall apply: 
(a)(1) “Activities of Daily Living” (ADLs) mean the following six activities: 
(A) Bathing: Cleaning the body using a tub, shower or sponge bath, including getting a basin of water, managing faucets, getting in and out of tub or shower, reaching head and body parts for soaping, rinsing and drying. 
(B) Dressing: Putting on and taking off, fastening and unfastening garments and undergarments and special devices such as back or leg braces, corsets, elastic stockings/garments and artificial limbs or splints. 
(C) Toileting: Getting on and off a toilet or commode, emptying a commode, managing clothes, wiping and cleaning the body after toileting, and using and emptying a bedpan and urinal. 
(D) Transferring: Moving from one sitting or lying position to another sitting or lying position (e.g., from bed to or from a wheelchair, or sofa, coming to a standing position and/or repositioning to promote circulation and to prevent skin breakdown). 
(E) Continence: Ability to control bowel and bladder as well as to use ostomy and/or catheter receptacles, and to apply diapers and disposable barrier pads. 
(F) Eating: Reaching for, picking up, grasping a utensil and cup; getting food on a utensil; bringing food, utensil, and cup to mouth; manipulating food on plate; and cleaning face and hands as necessary following meal. 
(2) “Administrator” means the licensee, or the adult designated by the licensee to act in his/her behalf in the overall management of the day program. 
(3) “Adult” means a person who is 18 years of age or older. 
(4) “Adult Community Care Facility” (Adult CCF) means Adult Residential Facilities (ARF), Social Rehabilitation Facilities (SRF), and Adult Day Programs, as defined in Health and Safety Code Sections 1502(a)(1), (2), and (7). 
(5) “Adult Day Program” means any community-based facility or program as defined in Health and Safety Code Section 1502(a)(2). 
(6) “Applicant” means any adult, firm, partnership, association, corporation, county, city, public agency or other government entity that has made application for an initial community care facility license. 
(7) “Assessment” means a written evaluation which identifies the client's strengths and his/her social and other related needs. 
(8) “Authorized Representative” means any person or entity authorized by law to act on behalf of any client. Such person or entity may include, but not be limited to a conservator. 
(9) “Automated External Defibrillator” (AED) means a light-weight, portable device used to administer an electric shock through the chest wall to the heart. Built-in computers assess the patient's heart rhythm, determine whether defibrillation (electrical shock) is needed and then administer the shock. Audible and/or visual prompts guide the user through the process. 
(b)(1) “Basic Rate” means the rate charged by a licensee to provide basic services. 
(2) “Basic Services” means those services required by applicable law and regulation to be provided by the licensee in order to obtain and maintain a community care facility license. 
(c)(1) “California Clearance” means an individual has no felony or misdemeanor convictions reported by the California Department of Justice. However, the individual may have been arrested with no criminal conviction or convicted of a minor traffic or juvenile offenses. 
(2) “Capacity” means the maximum number of persons authorized to be provided care and supervision at any one time in any licensed adult day program. 
(3) “Care and Supervision” means any one or more of the following activities provided by a person or day program to meet the needs of the clients: 
(A) Assistance in dressing, grooming, bathing and other personal hygiene. 
(B) Assistance with taking medication, as specified in Section 82075. 
(C) Central storing or distribution of medications, as specified in Section 82075. 
(D) Arrangement of and assistance with medical and dental care. 
(E) Maintenance of day program rules for the protection of clients. 
(F) Supervision of client schedules and activities. 
(G) Maintenance or supervision of client cash resources or property. 
(H) Monitoring food intake or special diets. 
(I) Providing basic services as defined in Section 82001(b). 
(4) “Careprovider” means any person or institution having the responsibility for the client's primary care needs outside the adult day program. 
(5) “Cash Resources” means: 
(A) Monetary gifts. 
(B) Tax credits and/or refunds. 
(C) Earnings from employment or workshops. 
(D) Personal and incidental needs allowances from funding sources including, but not limited to, SSI/SSP. 
(E) Any other similar resources as determined by the licensing agency. 
(6) “Client” means an adult who is receiving care and supervision in an adult day program. 
(7) “Client Who Relies Upon Others To Perform All Activities of Daily Living” means a client who is unable to perform all six activities of daily living without physical assistance. 
(8) “Close Friend” means a person who is attached to another by feelings of personal regard as indicated by both parties involved. 
(9) “Community Care Facility” means any day program, place or building where nonmedical care and supervision, as defined in Section 82001(c), are provided. 
(10) “Conservator” means a person appointed by the Superior Court pursuant to the provisions of Section 1801 of the Probate Code or Section 5350 of the Welfare and Institutions Code. 
(11) “Consultant” means a person professionally qualified by training or experience to provide expert information on a particular subject and/or to provide services not otherwise available through the day program's personnel. 
(12) “Control of Property” means the right to enter, occupy, and maintain the operation of the adult day program property within regulatory requirements. Evidence of control of property may include, but is not limited to, the following: 
(A) A Grant Deed showing ownership; or 
(B) The lease agreement or rental agreement; or 
(C) A court order or similar document which shows the authority to control the property pending outcome of a probate proceeding or an estate settlement. 
(13) “Conviction” means: 
(A) A criminal conviction in California; or 
(B) Any criminal conviction of another state, federal, military or other jurisdiction, which if committed or attempted in California, would have been punishable as a crime in California. 
(14) “Criminal Record Clearance” means an individual has a California clearance and a Federal Bureau of Investigation (FBI) clearance. 
(d)(1) “Day” means calendar day unless otherwise specified. 
(2) “Deficiency” means any failure to comply with any provision of the Community Care Facilities Act (Health and Safety Code, Section 1500 et seq.) or regulations adopted by the Department pursuant to the Act. 
(3) “Department” means the California Department of Social Services, as defined in Health and Safety Code Section 1502(b). 
(4) “Developmental Disability” means a disability as defined in Welfare and Institutions Code Section 4512(a). 
(5) “Dietitian” means a person who is a member of, or registered by, the American Dietetics Association. 
(6) “Direct Care Staff” means those persons in the center who provide care and supervision to clients at least 70 percent of the hours of program operations per month or who supervise direct care staff. 
(7) “Director” means the Director of the California Department of Social Services as defined in Health and Safety Code Section 1502(c). 
(e)(1) “Emergency Approval to Operate” (LIC 9117) means a temporary approval to operate a day program for no more than 60 days pending the Department's decision to either approve or deny a provisional license pursuant to Section 82035(c). 
(2) “Evaluator” means any person who is a duly authorized officer, employee or agent of the Department. 
(3) “Evidence of Licensee's Death” shall include, but is not limited to, a copy of the death certificate, obituary notice, certification of death from the decedent's mortuary or a letter from the attending physician or coroner's office verifying the licensee's death. 
(4) “Exception” means a written authorization issued by the licensing agency to use alternative means which meet the intent of a specific regulation and which are based on the unique needs or circumstances of a specific client or staff person. Exceptions are granted for particular client or staff person and are not transferable or applicable to other client, staff person, day programs or licensees. 
(5) “Exemption” means an exception to the requirements of Health and Safety Code Section 1522 and applicable regulations. Exemptions are not transferable. 
(6) “Existing Facility” means any community care facility operating under a valid license. 
(f)(1) “Federal Bureau of Investigation (FBI) Clearance” means an individual has no felony or misdemeanor convictions reported by the FBI. The individual may also have been arrested with no criminal conviction or convicted of minor traffic or juvenile offenses.
(2) “Formal Supports” means the formal network of social, health, financial, and other services offered by public and private agencies. 
(3) “Functionally Impaired Adult” means an adult who does not require continuous onsite medical supervision, and has a limited capacity for independence in the following: 
(A) Activities of daily living. 
(B) Instrumental activities of daily living. 
(g) (Reserved) 
(h)(1) “Health Condition Relocation Order” means written notice by the Department to a licensee requiring the relocation of a client from an adult day program because either the licensee is not providing adequate care for a client's health condition as required by the regulations or the client cannot be cared for within the limits of the license or the client requires in-patient care in a health facility or has a prohibited health condition, as specified in Section 82091. 
(2) “Home Economist” means a person who holds a baccalaureate degree in home economics with a specialization in either foods and nutrition or dietetics. 
(3) “Hours of Operation” means the period of time that the day program is providing services to clients. 
(i)(1) “Inhalation-assistive Device” means equipment that assists a client to breathe including, but not limited to, nebulizers, humidifiers, incentive spirometry devices, positive airway pressure devices, and positive expiratory pressure devices, and intermittent positive pressure breathing (IPPB) machines. This does not include metered-dose aerosols and dry-powder inhalers. 
(2) “Instrumental Activities of Daily Living” shall include, but not be limited to, the following: 
(A) Paying bills. 
(B) Cooking. 
(C) Shopping. 
(D) Laundry. 
(E) Using the telephone. 
(3) “Interdisciplinary Team” (IDT) means a team that assists the Department in evaluating the need for relocating a client when the client requests a review of the Department's Health Condition Relocation Order. This team consists of a nurse practitioner and a social worker, both designated by the Department, with experience in the needs of the client population. Persons selected for an IDT shall not have been involved in the initial decision to issue a relocation order for the client in question. 
(j) (Reserved) 
(k) (Reserved) 
(l)(1) “License” means authorization to operate a community care facility and to provide care and supervision. The license is not transferable. 
(2) “Licensed Professional” means a person who is licensed in California to provide medical care or therapy. This includes physicians and surgeons, physician assistants, nurse practitioners, registered nurses, licensed vocational nurses, psychiatric technicians, physical therapists, occupational therapists and respiratory therapists, who are operating within their scope of practice. 
(3) “Licensee” means the adult, firm, partnership, association, corporation, county, city, public agency, or other governmental entity having the authority and responsibility for the operation of a licensed community care facility. 
(4) “Licensing Agency” means the California Department of Social Services, Community Care Licensing Division. 
(m)(1) “Medical Professional” means an individual who is licensed or certified in California to perform the necessary medical procedures within his/her scope of practice. This includes, but is not limited to, Medical Doctor (MD), Registered Nurse (RN) and Licensed Vocational Nurse (LVN). 
(2) “Mental Disorder” means any of the disorders set forth in the Diagnostic and Statistical Manual of Mental Disorders (Fourth Edition) of the American Psychiatric Association and a degree of functional impairment which renders a person eligible for the services enumerated under the Lanterman-Petris-Short Act, commencing with Section 5000 of the Welfare and Institutions Code. 
(n)(1) “Needs and Services Plan” means a written plan that identifies the specific needs of an individual client, including those items specified in Section 82068.2 and delineates those services necessary to meet the client's identified needs. 
(2) “Nonambulatory Person” means a person as defined in Health and Safety Code Section 13131. 
(A) A person who uses postural supports as specified in Section 82072(a)(8) is deemed nonambulatory. 
(B) A person is not deemed nonambulatory solely because he/she is deaf, blind, or prefers to use a mechanical aid. 
(3) “Nutritionist” means a person who holds a master's degree in food and nutrition, dietetics, or public health nutrition, or who is employed as a nutritionist by a county health department. 
(o) (Reserved)  
(p)(1) “Participant” means any adult admitted to an adult day program. Participant is equivalent to “client” as defined in Section 82001(c). 
(2) “Physician” means a person licensed as a physician and surgeon by the California Board of Medical Examiners or by the California Board of Osteopathic Examiners. 
(3) “Placement Agency” is defined in Health and Safety Code Sections 1536.1 and 1569.47(a). 
(4) “PRN Medication” (pro re nata) means any nonprescription or prescription medication which is to be taken as needed. 
(5) “Provision” or “Provide” means whenever any regulation requires that provisions be made for or that there be provided any service, personnel, or other requirement, the licensee shall do so directly or present evidence to the licensing agency that the requirement has been met by some other means. 
(6) “Provisional License” means a license which is temporary, nonrenewable, and issued for a period not to exceed 12 months. A provisional license is issued in accordance with the criteria as specified in Section 82030. 
(q) (Reserved) 
(r)(1) “Rehabilitation” means the effort to reestablish good character since the date of the last conviction, including, but not limited to, education, counseling or therapy, training, stable employment, restitution, remorse, changes in lifestyle, or community service. 
(2) “Relative” means spouse, domestic partner as defined in Family Code Section 297, parent, stepparent, son, daughter, brother, sister, stepbrother, stepsister, half-brother, half-sister, uncle, aunt, niece, nephew, first cousin or such person denoted by the prefix “grand” or “great” or the spouse or domestic partner of any of the persons specified in this definition, even after the marriage, or domestic partnership, has been terminated by death or dissolution. 
(3) “Responsible Person” means that individual or individuals, including a relative or placement agency, who assists the client or prospective client in placement or assumes varying degrees of responsibility for the client's well-being. A responsible person cannot act on behalf of a client unless authorized by law. 
(s)(1) “Serious Deficiency” means any deficiency that presents an immediate or substantial threat to the physical health, mental health or safety of the day program clients. 
(2) “Sexual Orientation” means, for the purpose of this chapter, the identification of any individual as heterosexual, gay, lesbian, or bisexual. 
(3) “Simplified Exemption” means an exemption granted on the Department's own motion, as authorized in Health and Safety Code Section 1522(c)(4), if the individual's criminal history meets specific criteria established by Department regulation. 
(4) “Social Worker” means a person who has a graduate degree from an accredited school of social work. 
(5) “SSI/SSP” means the Supplemental Security Income/State Supplemental Program which is a federal/state program that provides financial assistance to aged, blind and/or disabled residents of California. 
(6) “Substantial Compliance” means the absence of any serious deficiencies. 
(7) “Substantiated Complaint” means a complaint which has been investigated by the licensing agency, and as a result, a violation of regulations has been found. 
(t) (Reserved) 
(u)(1) “Universal Precautions” means an approach to infection control that treats all human blood and body fluids as if they are infectious. Generally, Universal Precautions consist of regular hand-washing after coming into contact with another person's body fluids (mucous, saliva, urine, etc.) and includes the use of gloves when handling blood or body fluids that contain blood. Specifically, Universal Precautions consist of the following four basic infection guidelines: 
(A) Hand-washing -- Staff should wash their hands: 
1. After assisting with incontinent care or wiping a client's nose. 
2. Before preparing or eating foods. 
3. After using the toilet. 
4. Before and after treating or bandaging a cut. 
5. After wiping down surfaces, cleaning spills, or any other housekeeping. 
6. After being in contact with any body fluids from another person, even if they wore gloves during contact with body fluids. 
(B) Gloves -- Staff should always wear gloves: 
1. When they come into contact with blood or body fluids. 
2. When they have cuts or scratches on their hands. 
3. When assisting with incontinent care or when cleaning up urine, stool, or vomit. 
4. When administering first aid for a cut, a bleeding wound, or a bloody nose. 
5. Use gloves only one time, for one incident or client. 
a. Staff must air dry their hands prior to putting on a new pair of gloves. 
6. Dispose of used gloves immediately after use. 
(C) Cleaning with a disinfectant -- Staff should clean with a disinfectant: 
1. On all surfaces and on an “as needed” basis on any surface that has come into contact with blood. 
2. Such as a basic bleach solution, made fresh daily by mixing: 
a. 1/4 cup household liquid chlorine bleach in one gallon of tap water, or one tablespoon bleach in one quart of water. 
(D) Proper disposal of infectious materials -- Staff should dispose of infectious materials by: 
1. Placing them in a plastic trash bag, tying it with a secure tie, and disposing of it out of reach of clients and visitors. 
(2) “Unlicensed Community Care Facility” means an unlicensed facility day program that is maintained and operated to provide nonmedical care and not exempt from licensure and meets any one of the following conditions. 
(A) A day program that is “providing care and supervision” as defined in Section 82001(c) includes, but is not limited to, one in which an individual has been placed by a placement agency or family members for temporary or permanent care. 
(B) A day program that is “held out as or represented as providing care or supervision” includes, but is not limited to: 
1. A day program license that has been revoked or denied, but continued care is provided for the same or different clients with similar needs. 
2. A day program where a change of ownership has occurred and the same clients are retained. 
3. A licensed day program that moves to a new location. 
4. A day program that advertises as providing care and/or supervision. 
(C) A day program that “accepts or retains clients who demonstrate the need for care or supervision” includes, but is not limited to: 
1. A day program where it is apparent that care and/or supervision are being provided by virtue of the client's needs being met. 
(3) “Urgent Need” means a situation where prohibiting the operation of the day program would be detrimental to a client's physical health, mental health, safety, or welfare. Circumstances constituting urgent need include, but are not limited to, the following: 
(A) A change in day program location when clients are in need of services from the same operator at the new location. 
(B) A change of day program ownership when clients are in need of services from a new operator. 
(v) (Reserved) 
(w)(1) “Waiver” means a nontransferable written authorization issued by the licensing agency to use alternative means which meet the intent of a specific regulation and which are based on a program-wide need or circumstance. 
(x) (Reserved) 
(y) (Reserved) 
(z) (Reserved) 
NOTE

Authority cited: Sections 1502 and 1530.1, Health and Safety Code. Reference: Section 51, Civil Code; Section 297, Family Code; Section 12921, Government Code; Sections 1500, 1501, 1502, 1503, 1503.5, 1505, 1507, 1508, 1509, 1511, 1520, 1522, 1524, 1525, 1525.5, 1526, 1531, 1533, 1534, 1536.1, 1537, 1550, 1556, 1569.47 and 13131, Health and Safety Code; Section 1800, Probate Code; Sections 4512, 5000 et seq. and 5350, Welfare and Institutions Code; and 29 CFR 1910.1030.
HISTORY

1. New section filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
2. Amendment of section and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82003. Definitions -- Forms.
Note     •     History

(a) The following forms, which are incorporated by reference, apply to the regulations in Title 22, Division 6, Chapter 3 (Adult Day Programs): 
(1) LIC 195 (10/05) -- Notice of Operation in Violation of Law. 
(2) LIC 200 (8/04) -- Application for a Community Care Facility or Residential Care Facility for the Elderly License. 
(3) LIC 300A (9/03) -- Removal Confirmation -- Exemption Needed. 
(4) LIC 300B (9/03) -- Removal Confirmation -- Denial. 
(5) LIC 300C (9/03) -- Removal Confirmation -- Rescinded. 
(6) LIC 300D (9/03) -- Removal Confirmation -- Non-Exemptible. 
(7) LIC 301E (7/03) -- Reference Request Form. 
(8) LIC 309 (6/01) -- Administrative Organization 
(9) LIC 400 (1/99) -- Affidavit Regarding Client/Resident Cash Resources. 
(10) LIC 508 (1/03) -- Criminal Record Statement. 
(11) LIC 602 (10/99) -- Physician's Report for Community Care Facilities. 
(12) LIC 9054 (3/99) -- Local Fire Inspection Authority Information 
(13) LIC 9117 (2/00) -- Emergency Approval to Operate. 
(14) LIC 9158 (11/04) -- Telecommunications Device Notification. 
(15) LIC 9182 (4/02) -- Criminal Background Clearance Transfer Request. 
(16) LIC 9188 (9/03) -- Criminal Record Exemption Transfer Request. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1508, 1520, 1522, 1540 and 1541, Health and Safety Code; and Section 2881, Public Utilities Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Article 2. Licensing
§82005. License Required.
Note     •     History

Unless a day program is exempt from licensure as specified in Section 82007, Exemption from Licensure, no adult, firm, partnership, association, corporation, county, city, public agency or other governmental entity shall operate, establish, manage, conduct or maintain an adult day program, or hold out, advertise or represent by any means to do so, without first obtaining a current valid license from the licensing agency. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1505, 1508, 1509, 1513 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82006. Operation Without a License.
Note     •     History

(a) An unlicensed day program, as defined in Section 82001(u), is in violation of Health and Safety Code Section 1503.5 or 1508 unless exempted from licensure pursuant to Section 82007. 
(b) If the day program is alleged to be in violation of Health and Safety Code Section 1503.5 or 1508, the licensing agency shall conduct a site visit or evaluation of the day program pursuant to Health and Safety Code Section 1538. 
(c) If the day program is operating without a license, the licensing agency shall issue a notice of operation in violation of law and may refer the operator for criminal prosecution and civil proceedings. 
(d) The licensing agency shall have the authority to issue an immediate civil penalty pursuant to Section 82058, Unlicensed Day Program Penalties, and Health and Safety Code Section 1547. 
(e) Sections 82006(c) and (d) shall be applied pursuant to Health and Safety Code Section 1549. 
(f) The licensing agency shall notify the appropriate placement or protective service agency if either of the following conditions exist: 
(1) There is an immediate threat to the clients' health and safety. 
(2) The program operator has not submitted an application for licensure within 15 calendar days of being served a Notice of Operation in Violation of Law (LIC 195). 
NOTE

Authority cited: Section 1530 and 1530.1, Health and Safety Code. Reference: Sections 1503.5, 1505, 1508, 1533, 1538, 1540, 1540.1, 1541, 1547 and 1549, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82007. Exemption from Licensure.
Note     •     History

(a) The adult day program regulations contained in this chapter shall not apply to any of the following: 
(1) Any health facility, as defined by Health and Safety Code Section 1250. 
(2) Any clinic, as defined by Health and Safety Code Section 1200. 
(3) Any day program conducted by and for the adherents of any well-recognized church or religious denomination for the purpose of providing facilities for the care or treatment of the sick who depend upon prayer or spiritual means for healing in the practice of the religion of such church or denomination. 
(4) Any arrangement for the receiving of care and supervision of persons by a relative, as defined in Section 82001(r), or conservator, as defined in Section 82001(c). 
(5) Any arrangement for the receiving of care and supervision of persons from only one family by a close friend of the recipient, parent, or conservator, provided the following are met. 
(A) The close friend is not a licensee or current employee of an Adult Residential Facility, an Adult Day Program or a Residential Care Facility for the Elderly. 
(B) The arrangement is not of a business nature, in that the provider does not represent himself or herself as being in the business of providing care, and any compensation that may be paid to the provider is only for the value of the services rendered. 
(C) The arrangement occurs and continues only as long as the needs for care and supervision of the recipient are being adequately met. 
(6) Any placement agency as defined in Health and Safety Code Section 1536.1 or an individual who places individuals for care in a day program licensed to receive and care for such persons. 
(7) The Department. 
(8) Any similar facility as determined by the Director. 
NOTE

Authority cited: Section 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502, 1505, 1508, 1530.5 and 1536.1, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82009. Posting of License.
Note     •     History

(a) In day programs with a licensed capacity of seven or more, the license shall be posted in a prominent publicly accessible location in the facility.
(b) In day programs with a licensed capacity of six or fewer, the license shall be retained in the facility and be available for review upon request.
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82010. Limitations on Capacity.
Note     •     History

A licensee shall not operate a day program beyond the conditions and limitations specified on the license, including the capacity limitation. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82012. False Claims.
Note     •     History

(a) No licensee, officer, or employee of a licensee shall make or disseminate any false or misleading statement regarding the day program or any of the services provided by the day program. 
(b) No licensee, officer, or employee of a licensee shall alter a license, or disseminate an altered license. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1508 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Article 3. Application Procedures
§82017. Nondiscrimination of Applicants.
Note     •     History

Any adult shall be permitted to apply for a license regardless of age, sex or gender, race, religion, color, political affiliation, national origin, disability, marital status, actual or perceived sexual orientation, or ancestry. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Section 1520, Health and Safety Code; and Section 51, Civil Code. 
HISTORY

1. New article 3 (sections 82017-82036) and new section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82018. Application for License.
Note     •     History

(a) Prior to filing an application, the applicant shall attend an orientation designed for the adult day program and provided by the licensing agency. 
(1) The orientation shall cover, but not be limited to, the following areas: 
(A) Completion of the application for license. 
(B) Scope of operation subject to regulation by the Department. 
(2) An applicant, who is already licensed to operate an adult day program, shall not be required to attend an orientation if the last orientation attended was for an adult day program and within two (2) years of the next scheduled orientation. 
(3) An applicant applying for more than one adult day program license shall be required to attend only one orientation. 
(b) Any adult, firm, partnership, association, corporation, limited liability company, county, city, public agency, or other governmental entity desiring to obtain a license shall file with the licensing agency a verified application on form LIC 200 furnished by the licensing agency, and containing the following information: 
(1) Name or proposed name and address of day program. 
(2) Name, and residence and mailing addresses of applicant. 
(3) Name and address of owner of the day program premises if the applicant is leasing or renting. 
(4) The category of facility to be operated. 
(5) Maximum number of persons to be served. 
(6) Hours or periods of day program operation. 
(c) Additional documents supporting the application shall contain the following: 
(1) If the applicant is a corporation or association, licensing form LIC 309 must be completed and the following information must be provided: 
(A) The name, title and principal business address of each officer, executive director and member of the governing board. 
(B) The name and address of each person owning more than 10 percent of stock if the applicant is a corporation that issues stock. 
(C) A copy of the articles of incorporation, constitution, and bylaws. 
(2) If the applicant is a corporation, each member of the board of directors, executive director, and any officer shall list the name of all facilities which they have been licensed to operate, employed by, or a member of the board of directors, executive director or an officer. 
(3) Age range, sex or gender, and the categories of persons to be served including, but not limited to, persons with developmental disabilities, mental disorders, or physical handicaps. 
(4) Name of administrator. 
(5) Information required by Health and Safety Code Section 1520(d). 
(6) Information required by Health and Safety Code Section 1520(e). 
(7) Licensing form LIC 9054, providing the name, and address of the city or county fire department, the district providing fire protection services, or the State Fire Marshal's Office having jurisdiction in the area where the day program is located. 
(8) A plan of operation as specified in Section 82022, Plan of Operation. 
(9) Fingerprints as specified in Section 82019, Criminal Record Clearance. 
(10) The bonding affidavit as specified in Section 82025(a). 
(11) A health screening report on the applicant as specified in Section 82065(g). 
(12) The fee for processing the application by the requested capacity as specified in Section 82036, Licensing Fees. 
(d) The applicant shall cooperate with the licensing agency in providing verification or documentation as requested by the licensing agency. 
(e) The application shall be signed by the applicant. 
(1) If the applicant is a partnership, the application shall be signed by each partner. 
(2) If the applicant is a firm, association, corporation, limited liability company, county, city, public agency, or other governmental entity, the application shall be signed by the chief executive officer or authorized representative. 
(f) The application shall be filed with the licensing agency's Adult Care Program Office that serves the geographical area in which the day program is located. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1520, 1520.11, 1522, 1522.1, 1523.1 and 1560, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82019. Criminal Record Clearance.
Note     •     History

(a) The Department shall conduct a criminal record review of all individuals specified in Health and Safety Code Sections 1522(a) and (b)(1) and shall have the authority to approve or deny a day program license, employment, residence, or presence in the program, based on the results of the review. 
(b) The following persons, who are not licensees or employees of the licensee, are exempt from the requirement to submit fingerprints: 
(1) A medical professional, as defined in Section 82001(m), who holds a valid license or certification from the individual's governing California medical care regulatory entity and who is not retained or contracted by the licensee, if all of the following apply: 
(A) The criminal record of the individual has been cleared as a condition of licensure or certification by the individual's California medical care regulatory entity. 
(B) The individual is providing time-limited specialized clinical care or services. 
(C) The individual is providing care or services within the individual's scope of practice. 
(2) A third-party repair person, or similar retained contractor, if all of the following apply: 
(A) The individual is hired for a defined, time-limited job. 
(B) The individual is not left alone with clients. 
(C) When clients are present in the room in which the repairperson or contractor is working, a staff person who has a criminal record clearance or exemption is also present. 
(3) Employees of a licensed home health agency and other members of licensed hospice interdisciplinary teams who have a contract with a client, and are in the day program at the request of that client or the client's legal decision maker. 
(4) Clergy and other spiritual caregivers who are performing services in common areas of the day program, or who are advising an individual client at the request of, or with the permission of, the client. 
(5) Members of fraternal, service and similar organizations who conduct group activities for clients, if all of the following apply: 
(A) Members are not left alone with the clients. 
(B) Members do not transport clients off the day program premises. 
(C) The same group does not conduct such activities more often than four times a month not to exceed two hours each time. 
(6) The following persons, unless contraindicated by the client's individualized program plan (IPP), or needs and services plan: 
(A) A client's relative or close friend who is visiting the client. 
(B) An attendant or facilitator providing direct care and supervision for a client with a developmental disability if the attendant or facilitator is not retained or contracted by the licensee. 
(C) A volunteer, if all of the following apply: 
1. The volunteer is supervised by the licensee or a day program employee with a criminal record clearance or exemption. 
2. The volunteer is never left alone with clients. 
3. The volunteer does not provide any client assistance with dressing, grooming, bathing or personal hygiene other than washing of hands. 
(7) Nothing in this paragraph shall prevent a licensee from requiring a criminal record clearance of any individual exempt from the requirements of this section, provided that the individual has client contact. 
(c) Prior to the Department issuing a license, the applicant and administrator shall obtain a California criminal record clearance or exemption as specified in Health and Safety Code Section 1522(a)(1). 
(d) All individuals subject to a criminal record review shall be fingerprinted and sign a Criminal Record Statement (LIC 508) under penalty of perjury with the following information. 
(1) Declare whether he/she has been convicted of a crime, other than a minor traffic violation as specified in Section 82019(i) regardless of whether the individual was granted a pardon for the conviction, received an expungement pursuant to Penal Code 1203.4 or the individual's record was sealed as a result of a court order. 
(2) If convicted of a crime other than a minor traffic violation, provide information regarding the conviction. 
(3) The licensee shall submit these fingerprints to the California Department of Justice, along with a second set of fingerprints for the purpose of searching the records of the Federal Bureau of Investigation, or comply with the requirements of Section 82019(e), prior to the individual's employment or initial presence in the day program. 
(A) Fingerprints shall be submitted to the California Department of Justice by the licensee, or sent by electronic transmission to the California Department of Justice by a fingerprinting entity approved by the Department. 
(e) Prior to working, residing or volunteering in a licensed day program, all individuals subject to a criminal record review pursuant to Health and Safety Code Section 1522 shall do the following: 
(1) Obtain a California clearance or a criminal record exemption as required by the Department; or 
(2) Request the licensee or applicant for a license to request a transfer of a criminal record clearance as specified in Section 82019(f); or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 82019.1(r), unless, upon request for the transfer, the Department permits the individual to be employed, reside or be present at the day program. 
(f) A licensee or applicant for a license may request of a transfer of a criminal record clearance from one state licensed facility to another, or from TrustLine to a state licensed facility by providing the following documents to the Department: 
(1) A signed Criminal Background Clearance Transfer Request (LIC 9182). 
(2) A copy of the individual's: 
(A) Driver's license, or 
(B) Valid identification card issued by the Department of Motor Vehicles, or 
(C) Valid photo identification issued by another state or the United States government if the individual is not a California resident. 
(3) Documentation required by the Department on form LIC 508, Criminal Record Statement and job description. 
(g) Violation of Section 82019(e) shall result in an immediate assessment of civil penalties of one hundred dollars ($100) per violation per day for maximum of five (5) days by the Department. 
(1) Subsequent violations within a twelve (12) month period shall result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days. 
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1548. 
(h) Violation of Section 82019(e) may result in a denial of the license application or suspension and/or revocation of the license. 
(i) If the criminal record transcript of the individuals specified in Health and Safety Code Sections 1522(a) and (b) discloses a plea or verdict of guilty or a conviction following a plea of nolo contendere for a crime other than a minor traffic violation for which the fine was less than $300, and an exemption pursuant to Section 82019.1(k) has not been granted, the Department shall take the following actions: 
(1) For initial applicants, deny the application. 
(2) For current licensees, the Department may institute an administrative action, including but not limited to, revocation of the license. 
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1558, and deny the application or revoke the license if the individual continues to provide services at the day program. 
(4) For convicted individuals residing at the day program, including spouses of the applicant, licensee, or employee, exclude the affected individual pursuant to Health and Safety Code Section 1558 and deny the application or revoke the license, if the individual continues to reside at the day program. 
(j) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of employees in the individual's personnel file as required in Section 82066, Personnel Records. 
(k) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of volunteers that require fingerprinting. 
(1) The licensing agency shall have the authority to inspect, audit, and copy this documentation upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the requirements specified in Sections 82066(c). 
(l) The Department may seek verification from a law enforcement agency or court of an individual's criminal record as reported to the Department from any member of the public or affected individual. 
(1) Upon obtaining confirmation from a law enforcement agency or court of the offense, the Department shall proceed as if this criminal record information was provided by the California Department of Justice. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1522, 1531, 1540, 1549 and 1564, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82019.1. Criminal Record Exemption.
Note     •     History

(a) While the Department considers granting or denying an exemption, the Department shall notify a licensee to act immediately to remove from the day program or bar from entering the day program any of the following persons: 
(1) A person who has been convicted of, or is awaiting trial for, a sex offense against a minor; 
(2) A person who has been convicted of a felony; 
(3) A person who has been convicted of an offense specified in Sections 243.4, 273a, 273d, 273g, or 368 of the Penal Code or any other crime specified in Health and Safety Code Section 1522(c)(3); 
(4) A person who has been convicted of any crime specified below: 
(A) Battery 
(B) Shooting at Inhabited Dwelling 
(C) Corporal Injury on Spouse/Cohabitant 
(D) Discharging Firearm with Gross Negligence 
(E) Exhibiting Weapon/Firearm 
(F) Threat to Commit a Crime Resulting in Gross Bodily Injury or Death 
(G) Criminal Threat to Harm or Injure Another Person 
(H) Cruelty to Animals 
(I) Willful Harm or Injury to Child; or 
(5) Any other person ordered to be removed by the Department. 
(b) In addition to the requirements of Section 82019.1(a), the licensee must return the confirmation of removal form that is sent by the Department, within five (5) days of the date of the form, that confirms under penalty of perjury that the individual has been removed from the day program. 
(1) Confirmation must be made on either a Removal Confirmation -- Exemption Needed, LIC 300A, Removal Confirmation -- Denial, LIC 300B, Removal Confirmation -- Rescinded, LIC 300C, or Removal Confirmation -- Nonexemptible, LIC 300D. 
(c) After a review of the criminal record transcript, the Department may grant an exemption if: 
(1) The applicant/licensee requests an exemption in writing for himself or herself; or 
(2) The applicant/licensee requests an exemption in writing for an individual associated with the day program; or 
(3) The applicant/licensee chooses not to seek an exemption on the affected individual's behalf, however the affected individual requests an individual exemption in writing; and 
(4) The affected individual presents substantial and convincing evidence satisfactory to the Department that he/she has been rehabilitated and presently is of such good character as to justify being issued or maintaining a license, employment, or presence in a licensed day program. 
(d) To request a criminal record exemption, a licensee or license applicant must submit information that indicates that the individual meets the requirements of Section 82019.1(c)(4). The Department shall notify the licensee or license applicant and the affected individual, in concurrent, separate notices, that the affected individual has a criminal conviction and needs to obtain a criminal record exemption. 
(1) The notice to the affected individual shall include a list of the conviction(s) that the Department is aware of at the time the notice is sent that must be addressed in an exemption request. 
(2) The notice shall list the information that must be submitted to request a criminal record exemption. 
(3) The information must be submitted within forty-five (45) days of the date of the Department's notice. 
(A) Individuals who submit a criminal record exemption request shall cooperate with the Department by providing any information requested by the Department including, but not limited to, police reports and certified court documents to process the exemption request, pursuant to Section 82019.1(e). 
(B) If the individual for whom the criminal record exemption is requested is an employee or resident other than a spouse or a dependent family member and the licensee or license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may cease processing the exemption request and close the case. 
(C) If the individual for whom the criminal record exemption is requested is an applicant, licensee, spouse or dependent family member and the licensee or license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may deny the exemption request. 
(D) Individuals may request a criminal record exemption on their own behalf if the licensee or license applicant; 
1. Chooses not to request an exemption, and 
2. Chooses not to employ or terminates the individual's employment after receiving notice of the individual's criminal history. 
(e) The Department shall consider factors including, but not limited, to the following as evidence of good character and rehabilitation: 
(1) The nature of the crime including, but not limited to, whether it involved violence or a threat of violence to others. 
(2) Period of time since the crime was committed and number of offenses. 
(3) Circumstances surrounding the commission of the crime that would demonstrate the unlikelihood of repetition. 
(4) Activities since conviction, including employment, or participation in therapy or education, that would indicate changed behavior. 
(5) Granting by the Governor of a full and unconditional pardon. 
(6) Character references. 
(A) All character references shall be on a Reference Request form (LIC 301E). 
(7) A certificate of rehabilitation from a superior court. 
(8) Evidence of honesty and truthfulness as revealed in exemption application documents. 
(A) Documents include, but are not limited to: 
1. A Criminal Record Statement (LIC 508) and 
2. The individual's written statement/explanation of the conviction and the circumstances about the arrest. 
(9) Evidence of honesty and truthfulness as revealed in exemption application interviews and conversations with the Department. 
(f) The Department shall also consider the following factors in evaluating a request for an exemption: 
(1) Facility and type of association. 
(2) The individual's age at the time the crime was committed. 
(g) The Department may deny an exemption request if: 
(1) The licensee and/or the affected individual fails to provide documents requrested by the Department, or 
(2) The licensee and/or the affected individual fails to cooperate with the Department in the exemption process. 
(h) The reasons for any exemption granted or denied shall be in writing and kept by the Department. 
(1) Exemption denial notices shall specify the reason the exemption was denied. 
(i) The Department has the authority to grant a criminal record exemption that places conditions on the individual's continued licensure, and employment or presence in a licensed day program. 
(j) It shall be conclusive evidence that the individual is not of such good character as to justify issuance of an exemption if the individual: 
(1) Makes a knowingly false or misleading statement regarding: 
(A) Material relevant to their application for a criminal record clearance or exemption, 
(B) His or her criminal record clearance or exemption status to obtain employment or permission to be present in a licensed facility, after the Department has ordered that he or she be excluded from any or all licensed facilities, or 
(C) His or her criminal record clearance or exemption status in order to obtain a position with duties that are prohibited to him/her by a conditional exemption; or 
(2) Is on probation or parole. 
(A) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the Department may, in its discretion, grant a criminal record exemption notwithstanding Section 82019.1(j)(2). 
(k) The Department shall consider granting a criminal record exemption if the individual's criminal history meets all of the applicable criteria specified in Sections 82019.1(k)(1) through (6) and the individual provides the Department with substantial and convincing evidence of good character as specified in Section 82019.1(c)(4). For purposes of this section, a violent crime is a crime that, upon evaluation of the code section violated or the reports regarding the underlying offense, presents a risk of harm or violence. 
(1) The individual has been convicted of one nonviolent misdemeanor, and one year has lapsed since completing the most recent period of incarceration or probation. 
(2) The individual has been convicted of two or more nonviolent misdemeanors and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(3) The individual has been convicted of one or more violent misdemeanors and 15 consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(4) The individual has been convicted of one nonviolent felony and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(5) The individual has been convicted of two or more nonviolent felonies and ten consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(6) The individual has not been convicted of a violent felony. 
(7) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the period of lapsed time required in Sections 82019.1(k)(1) through (5) above shall begin from the last date of conviction(s). 
(l) It shall be a rebuttable presumption that an individual is not of such good character as to justify the issuance of an exemption if the individual fails to meet the requirements specified in Sections 82019.1(k)(1) through (6). 
(m) The Department shall not grant an exemption if the individual has a conviction for any offense specified in Section 1522(g)(1) of the Health and Safety Code. 
(n) The Department shall consider granting a simplified criminal record exemption only if the individual has the following criminal history profile: 
(1) The individual does not have a demonstrated pattern of criminal activity; 
(2) The individual has no more than one conviction;  
(3) The conviction is a misdemeanor and is a crime that is nonviolent and does not pose a risk of harm to an individual; and 
(4) It has been at least five consecutive years since the completion of the most recent period of incarceration or supervised probation. 
(o) At the Department's discretion, an individual who is otherwise eligible for a simplified exemption may be required to go through the standard exemption process if the Department determines such action will help to protect the health and safety of clients. 
(p) If the Department denies or cannot grant a criminal record exemption, the Department shall: 
(1) For initial applicants, deny the application. 
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license. 
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1558, deny the application or revoke the license, if the individual continues to provide services and/or reside at the day program. 
(4) For individuals residing in the day program, including spouses of the applicant, licensee, or employee, exclude the affected individual pursuant to Health and Safety Code Section 1558, deny the application or revoke the license, if the individual continues to provide services and/or reside at the day program. 
(q) If a request for an exemption has been denied, the individual shall be excluded for a period of two years unless the individual has been convicted of a crime for which no exemption may be granted pursuant to Section 82019.1(m). If a request for an exemption has been denied based on a conviction of a crime for which no exemption may be granted, the individual shall be excluded for the remainder of the individual's life. 
(1) If the Department determines during the review of an exemption request, that the individual was denied an exemption for a conviction of a crime for which an exemption may be granted within the preceding two years, the Department shall cease any further review of the request until two years have elapsed from the date of the denial. In cases where the individual requested a hearing on an exemption denial, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department upholding the denial. In cases where the individual submitted a petition for reinstatement or reduction in penalty pursuant to Government Code Section 11522 that was denied, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department denying the petition. 
(2) An exclusion order based solely upon a denied exemption shall remain in effect and the individual shall not be employed in or present in a licensed facility unless either a petition or an exemption is granted. 
(3) If an individual who has previously been denied an exemption re-applies after the relevant time period described in Section 82019.1(q)(1), the Department may, according to the provisions in Sections 82019.1(e) through (l), grant or deny the subsequent request for an exemption. 
(4) If an individual submits a petition pursuant to Government Code Section 11522 for reinstatement or reduction of penalty for an exclusion, an individual must submit his/her fingerprints through an electronic fingerprinting system approved by the Department and submit to the Department a statement of the reason why the individual should be permitted to work or be present in a day program, along with all information required of an individual requesting a criminal record exemption as provided in Sections 82019.1(c)(4), (d)(1), and (e). If it is determined, based upon information provided by the Department of Justice, that the individual has been convicted of a crime for which no exemption may be granted, the petition shall be denied. An individual's failure to submit fingerprints or other information as requested by the Department, shall be grounds for denial of the petition. The burden shall be on the petitioner to prove sufficient rehabilitation and good character to justify the granting of the petition. 
(r) A licensee or applicant for a license may request a transfer of a criminal record exemption from one state licensed facility to another by providing the following documents to the Department: 
(1) A signed Criminal Record Exemption Transfer Request (LIC 9188). 
(2) A copy of the individual's: 
(A) Driver's license, or 
(B) Valid identification card issued by the Department of Motor Vehicles, or 
(C) Valid photo identification issued by another state or the United States Government if the individual is not a California resident. 
(3) Any other documentation required by the Department (e.g., Criminal Record Statement -- LIC 508 and job description). 
(s) The Department may consider factors including, but not limited to, the following in determining whether or not to approve an exemption transfer: 
(1) The basis on which the Department granted the exemption; 
(2) The nature and frequency of client contact in the new position;  
(3) The category of facility where the individual wishes to transfer; 
(4) The type of clients in the facility where the individual wishes to transfer; 
(5) Whether the exemption was appropriately evaluated and granted in accordance with existing exemption laws or regulations; or 
(6) Whether the exemption meets current exemption laws or regulations. 
(t) If the Department denies the individual's request to transfer a criminal record exemption, the Department shall provide the individual and the licensee with written notification that states the Department's decision and informs the affected individual of their right to an administrative hearing to contest the Department's decision. 
(u) At the Department's discretion, an exemption may be rescinded if it is determined that: 
(1) The exemption was granted in error, or 
(2) The exemption does not meet current exemption laws or regulations, or 
(3) The conviction for which an exemption was granted subsequently becomes nonexemptible by law. 
(v) The Department may rescind an individual's criminal record exemption if the Department obtains evidence showing that the individual engaged in conduct that is inconsistent with the good character requirement of a criminal record exemption, as evidenced by factors including, but not limited to, the following: 
(1) Violations of licensing laws or regulations; 
(2) Any conduct by the individual that indicates that the individual may pose a risk to the health and safety of any individual who is or may be a client; 
(3) Nondisclosure of a conviction or evidence of lack of rehabilitation that the individual failed to disclose to the Department, even if it occurred before the exemption was issued; or 
(4) The individual is convicted of a subsequent crime. 
(w) If the Department rescinds an exemption, the Department shall: 
(1) Notify the licensee and the affected individual in writing; and 
(2) Initiate an administrative action. 
(x) If the Department learns that an individual with a criminal record clearance or exemption has been convicted of a subsequent crime, the Department, at its sole discretion, may immediately initiate an administrative action to protect the health and safety of clients. 
NOTE

Authority cited: Sections 1503.1, 1522, 1530 and 1530.1, Health and Safety Code. Reference: Sections 1522 and 1531, Health and Safety Code; and Gresher v. Anderson (2005) 127 Cal. App. 4th 88. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82020. Fire Clearance.
Note     •     History

All day programs shall secure through the licensing agency and maintain a fire clearance approved by the city or county fire department, the district providing fire protection services, or the State Fire Marshal. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82021. Water Supply.
Note     •     History

(a) All adult day programs where water for human consumption is from a private source shall meet the following requirements: 
(1) As a condition of initial licensure, the applicant shall provide evidence of an on-site inspection of the source of the water and a bacteriological analysis which establishes the safety of the water, conducted by the local health department, the California Department of Health Services or a licensed commercial laboratory. 
(2) Subsequent to initial licensure, the licensee shall provide evidence of a bacteriological analysis of the private water supply as frequently as is necessary to ensure the safety of the clients, but no less frequently than specified in the following table: 

		Periodic 
Licensed 	Analysis 	Subsequent 
Capacity 	Required 	Analysis 

6 or fewer 	Initial Licensing 	Not required unless evidence 
		supports the need for such analysis
 		to protect clients. 

7 through 15 	Initial Licensing 	Annually 

16 through 24 	Initial Licensing 	Semiannually 

25 or more 	Initial Licensing 	Quarterly 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82022. Plan of Operation.
Note     •     History

(a) Each licensee of an adult day program shall have and maintain on file a current, written, definitive plan of operation. 
(b) The plan and related materials shall contain the following: 
(1) Statement of purposes, and program methods and goals. 
(2) Statement of admission policies and procedures regarding acceptance of clients. 
(3) Description of services to be provided. 
(4) Hours of operation consistent with the plan of operation and program purpose and goals. 
(5) Description of the client group to be served. 
(6) A copy of the admission agreement. 
(7) Administrative organization, if applicable. 
(8) Staffing plan, qualifications, and duties. 
(9) Plan for in-service education of staff, if required by regulations. 
(10) A sketch of the building(s) to be occupied, including a floor plan which describes the capacities of the buildings for the uses intended, room dimensions, and a designation of the rooms to be used for nonambulatory clients, if any. 
(11) A sketch of the grounds showing buildings, driveways, fences, storage areas, pools, gardens, recreation areas, and other space used by the clients. 
(A) The sketch shall include the dimensions of all areas which will be used by the clients. 
(12) In day programs providing meals to clients, sample menus and a schedule for one calendar week indicating the time of day that meals and snacks are to be served. 
(13) Transportation arrangements for clients who do not have independent arrangements. 
(14) Fee policy including, but not limited to, policy on refunds. 
(15) Consultant and community resources to be utilized as part of its program. 
(16) A statement of the program's policy concerning family visits and other communications with the client pursuant to Health and Safety Code Section 1512. 
(c) If the licensee intends to admit or care for one or more clients who have a restricted health condition specified in Section 82092, the program policies and a program description shall be included. At a minimum, the information related to those clients and their needs shall specify all of the following: 
(1) The type of restricted health condition that the licensee plans to admit. 
(2) The licensee's plans for serving that client. 
(A) If the licensee plans to admit or care for one or more clients who have a staph or other serious, communicable infection, the plan must include: 
1. A statement that all staff will receive training in universal precautions within the first 10 days of employment, and before providing care to these clients. 
2. A statement of how the licensee will ensure that the training is obtained, and the name and qualifications of the person or organization that will provide the training. 
(3) The services that will be provided. 
(4) Staffing adjustments, if needed in order to provide the proposed services. 
(A) This may include increased staffing, hiring staff with additional or different qualifications, utilizing licensed professionals as consultants, or hiring licensed professionals. 
(d) If the licensee intends to admit or care for one or more clients who rely upon others to perform all activities of daily living, the plan of operation must also include a statement that demonstrates the licensee's ability to care for these clients. The evidence or ability may include, but not be limited to: 
(1) The licensee's experience in providing care to these clients. 
(2) The licensee's experience providing care to a family member with this condition. 
(3) The licensee's plan to hire staff who have experience providing care to these clients, and documentation of what the staff person's experience has been. 
(4) Documentation of training that the licensee and/or staff have completed specific to the needs of these clients. 
(5) History of continued placements by a regional center. 
(e) If the licensee intends to admit and/or specialize in care for one or more clients who have a propensity for behaviors that result in harm to self or others, the program plan of operation shall include a description of precautions that will be taken to protect that client and all other clients. 
(f) A plan for internal evaluation of its operation and services. The plan shall include a timetable for completing an annual evaluation, the areas that will be addressed in this evaluation, and the methodology to be used. A copy of the final annual evaluation shall be kept on file at the center and shall be available to the licensing agency during site visits. 
(g) Any changes in the plan of operation which affect the services to clients shall be subject to licensing agency approval and shall be reported as specified in Section 82061, Reporting Requirements. 
(h) The day program shall operate in accordance with the terms specified in the plan of operation and may be cited for not doing so. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1507, 1520 and 1531, Health and Safety Code. 
HISTORY

1. Renumbering of former section 82522 to new section 82022, including amendment of section and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82023. Disaster and Mass Casualty Plan.
Note     •     History

(a) Each licensee shall have and maintain on file a current, written disaster and mass casualty plan of action. 
(b) The plan shall be subject to review by the licensing agency and shall include: 
(1) Designation of administrative authority and staff assignments. 
(2) Contingency plans for action during fires, floods, and earthquakes including, but not limited to, the following: 
(A) Means of exiting. 
(B) Transportation arrangements. 
(C) Relocation sites which are equipped to provide safe temporary accommodation for clients. 
(D) Arrangements for supervision of clients during evacuation or relocation, and for contact after relocation to ensure that relocation has been completed as planned. 
(E) Means of contacting local agencies including, but not limited to, the fire department, law enforcement agencies, and civil defense and other disaster authorities. 
(c) The licensee shall instruct all clients, age and abilities permitting, all staff, and/or volunteers in their duties and responsibilities under the plan. 
(d) Disaster drills shall be conducted at least every six months. 
(1) Completion of such drills shall not require travel away from the day program grounds or contact with local disaster agencies. 
(2) The drills shall be documented and the documentation maintained in the day program for at least one year. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82024. Waivers and Exceptions.
Note     •     History

(a) Unless prior written licensing agency approval is received as specified in Section 82024(b), all licensees shall maintain continuous compliance with the licensing regulations. 
(b) The licensing agency shall have the authority to approve the use of alternate concepts, programs, services, procedures, techniques, equipment, space, personnel qualifications or staffing ratios, or the conduct of experimental or demonstration projects under the following circumstances: 
(1) Such alternatives shall be carried out with provisions for safe and adequate services, and shall in no instance be detrimental to the health and safety of any program client. 
(2) The applicant or licensee shall submit to the licensing agency a written request for a waiver or exception, with substantiating evidence supporting the request. 
(3) The licensing agency shall provide written approval or denial of the request. 
(c) Within 30 days of receipt of a request for a waiver or an exception, the licensing agency shall notify the applicant or licensee, in writing, of one of the following: 
(1) The request with substantiating evidence has been received and accepted for consideration. 
(2) The request is deficient, needing additional information as described for the request to be acceptable and a time frame for submitting this information. 
(A) Failure of the applicant or licensee to submit the requested information within the time specified shall result in denial of the request. 
(d) Within 30 days of the licensing agency's acceptance of a completed request for a waiver or an exception, the licensing agency shall notify the applicant or licensee, in writing, whether the request has been approved or denied. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1509 and 1531, Health and Safety Code; and Section 15376, Government Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82025. Bonding.
Note     •     History

(a) The licensee shall submit an affidavit, on form LIC 400 provided by the licensing agency, stating whether there are or will be safeguards for cash resources of clients and the maximum amount of cash resources to be safeguarded for all clients or each client in any month. 
(b) All licensees, other than governmental entities, who are entrusted to care for and control clients' cash resources, shall file or have on file with the licensing agency, a bond issued by a surety company to the State of California as principal. 
(c) The amount of the bond shall be according to the following schedule: 

	Amount Safeguarded Per Month 	Bond Required 

	$750 or less 	$1,000
	$751 to $1,500 	$2,000
	$1,501 to $2,500 	$3,000 
Every further increment of $1,000 or fraction thereof shall require an additional $1,000 on the bond. 
(d) The licensee shall submit a new affidavit on form LIC 400 and a new bond to the licensing agency prior to the licensee safeguarding amounts of clients' cash resources in excess of the current bond. 
(e) Whenever the licensing agency determines that the amount of the bond is insufficient to provide necessary protection of clients' cash resources, or whenever the amount of any bond is impaired by any recovery against the bond, the licensing agency shall have the authority to require the licensee to file an additional bond in such amount as the licensing agency determines to be necessary to protect the clients' cash resources. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1560 and 1561, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82026. Safeguards for Cash Resources, Personal Property, and Valuables.
Note     •     History

(a) A licensee shall not be required to accept for admission or continue to care for any client whose incapacities, as documented by the initial or subsequent needs appraisals, would require the licensee to handle such client's cash resources. 
(b) If such a client is accepted for or maintained in care, his/her cash resources, personal property, and valuables not handled by a person outside the day program who has been designated by the client or his/her authorized representative shall be handled by the licensee or day program staff, and shall be safeguarded in accordance with the requirements specified in (c) through (n) below. 
(c) Except where provided for in approved continuing care agreements, no licensee or employee of a licensee shall: 
(1) accept appointment as a conservator of the person and/or estate of any client; 
(2) accept any general or special power of attorney except for Medi-Cal or Medicare claims for any client; 
(3) become the substitute payee for any payments made to any client; 
(A) This requirement does not apply to a licensee who is appointed by the Social Security Administration as representative payee for the client. 
(4) become the joint tenant on any account specified in Section 82026(i) with a client. 
(d) Cash resources, personal property, and valuables of clients handled by the licensee shall be free from any liability the licensee incurs. 
(e) Cash resources, personal property, and valuables of clients shall be separate and intact, and shall not be commingled with day program funds or petty cash. 
(1) The above requirement shall not prohibit the licensee from providing advances or loans to clients from day program funds. 
(A) Documentation of such transactions shall be maintained in the day program. 
(f) The licensee or employee of a licensee shall not make expenditures from clients' cash resources for any basic services as defined in Section 82001(b), or for any basic services identified in a contract/admission agreement between the client and the licensee. 
(1) This requirement does not apply to a licensee who is appointed by the Social Security Administration as representative payee for the clients. 
(g) The licensee shall not commingle cash resources and valuables of clients with those of another community care facility of a different license number regardless of joint ownership. 
(h) Each licensee shall maintain accurate records of accounts of cash resources, personal property, and valuables entrusted to his/her care, including, but not limited to the following: 
(1) Records of clients' cash resources maintained as a drawing account, which shall include a current ledger accounting, with columns for income, disbursements and balance, for each client. Supporting receipts for purchases shall be filed in chronological order. 
(A) Receipts for cash provided to any client from his/her account(s) shall include the client's full signature or mark, or authorized representative's full signature or mark, and a statement acknowledging receipt of the amount and date received, as follows: 
“(full signature of client) accepts (dollar amount) (amount written cursive), this date (date), from (payor).” 
(B) The store receipt shall constitute the receipt for purchases made for the client from his/her account. 
(C) The original receipt for cash resources, personal property or valuables entrusted to the licensee shall be provided to the client's authorized representative, if any, otherwise to the client. 
(2) Bank records for transactions of cash resources deposited in and drawn from the account specified in (i) below. 
(i) Immediately upon admission of a client, all of his/her cash resources entrusted to the licensee and not kept in the licensed facility shall be deposited in any type of bank, savings and loan, or credit union account meeting the following requirements: 
(1) The account shall be maintained as a trust account separate from the personal or business accounts of the licensee. 
(2) The account title shall clearly note that the account contains client cash resources. 
(3) The licensee shall provide access to the cash resources upon demand by the client or his/her authorized representative.
(4) The account shall be maintained in a local bank, savings and loan or credit union authorized to do business in California, the deposits of which are insured by a branch of the Federal Government. 
(A) A local public agency shall have the authority to deposit such cash resources with the public treasurer. 
(j) Cash resources entrusted to the licensee and kept on the facility premises, shall be kept in a locked and secure location. 
(k) Upon discharge of a client, all cash resources, personal property, and valuables of that client which have been entrusted to the licensee shall be surrendered to the client, or his/her authorized representative, if any. 
(1) The licensee shall obtain and retain a receipt signed by the client or his/her authorized representative. 
(l) Upon the death of a client, all cash resources, personal property and valuables of that client shall immediately be safeguarded in accordance with the following requirements: 
(1) All cash resources shall be placed in an account as specified in (i) above. 
(2) The executor or the administrator of the estate shall be notified by the licensee of the client's death, and the cash resources, personal property, and valuables shall be surrendered to said party in exchange for a signed, itemized receipt. 
(3) If no executor or administrator has been appointed, the authorized representative, if any, shall be notified by the licensee of the client's death, and the cash resources, personal property, and valuables shall be surrendered to said person in exchange for a signed, itemized receipt. 
(4) If the licensee is unable to notify a person as specified in (2) or (3) above, the licensee shall give immediate written notice of the client's death to the public administrator of the county as provided in Section 7600.5 of the California Probate Code. 
(m) The following requirements shall be met whenever there is a proposed change of licensee: 
(1) The licensee shall notify the licensing agency of any pending change of licensee, and shall provide the licensing agency an accounting of each client's cash resources, personal property and valuables entrusted to his/her care. 
(2) Provided the licensing agency approves the application for the new licensee, the form specified in (1)(A) above shall be updated, signed by both the former and new licensee, and forwarded to the licensing agency. 
(n) The licensee shall maintain a record of all monetary gifts and of any other gift exceeding an estimated value of $100, provided by or on behalf of a client to the licensee, administrator or staff. 
(1) The record shall be attached to the account(s) specified in (h) above if the client's cash resources, personal property or valuables have been entrusted to the licensee. 
(2) Monetary gifts or valuables given by the friends or relatives of a deceased client shall not be subject to the requirement specified in (n) and (n)(1) above. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.1, 1531 and 1560, Health and Safety Code; and 20 CFR 416.601. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82027. Initial Application Review.
Note     •     History

(a) Within 90 days of receipt of the signed application and all supporting documents described in Section 82018(d), the licensing agency shall give written notice to the applicant of one of the following: 
(1) The application and supporting documents have been received and accepted for consideration. 
(2) The application is deficient, describing additional information required within thirty (30) days. 
(A) If the applicant does not submit the required information within the thirty (30) days the application shall be deemed withdrawn unless either the licensing agency has denied the application or the adult day program facility is under construction. 
(b) The licensing agency shall cease review of any application under the conditions as specified in Health and Safety Code Section 1520.3. 
(1) If cessation of review occurs, the application shall be returned to the applicant. It shall be the responsibility of the applicant to request resumption of review as specified in Health and Safety Code Section 1520.3. 
(c) The circumstances and conditions in which the licensing agency may continue to review a previously denied application shall include, but are not limited to, the following: 
(1) A fire clearance previously denied, but now approved; 
(2) An administrator who did not meet the minimum qualifications, but now fulfills the qualifications; or 
(3) A person with a criminal record, which was the basis for license denial, is no longer associated with the day program. 
(d) The application review shall not constitute approval of the application. 
(e) The licensing agency shall complete the following as part of the application review process: 
(1) A site visit to the proposed day program and a determination of the qualifications of the applicant. 
(2) A determination that the applicant has secured an appropriate fire clearance from the State Fire Marshal, if required. 
(3) A determination that the applicant has the ability to comply with the provisions of the Community Care Facilities Act and the regulations in Chapter 3. 
(4) A determination that the day program complies with the provisions of the Community Care Facilities Act and the regulations in Chapter 3.
(f) The licensing fee shall be non-refundable as specified in Section 82036(d). 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1520, 1520.3, 1524, 1525 and 1531, Health and Safety Code; and Section 15376, Government Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82028. Capacity Determination.
Note     •     History

(a) A license shall be issued for a specific capacity. 
(b) The number of persons for whom the day program is licensed to provide care and supervision shall be determined on the basis of the application review by the licensing agency, taking into consideration the following: 
(1) The fire clearance as specified in Section 82020. 
(2) The licensee's/administrator's ability to comply with applicable law and regulation. 
(3) Physical features of the day program, including available living activity space, which are necessary in order to comply with regulations. 
(4) Number of available staff to meet the care and supervision needs of the clients. 
(5) Any restrictions pertaining to the specific category of day program. 
(c) When the license is issued for fewer clients than requested, the licensee shall be notified in writing of the reasons for the limitation and of the licensee's rights to appeal the decision as specified in Section 82040, Denial of Initial License. 
(d) The licensing agency shall have the authority to decrease existing licensed capacity with the licensee's agreement, when there is a change in any of the factors as specified in Section 82028(b). 
(1) If the licensee does not agree to the decrease in capacity, the licensing agency shall have the authority to initiate revocation action as specified in Section 82042, Revocation or Suspension of License. 
(e) The licensing agency shall be authorized to restrict care to specific individuals. 
(1) If care and supervision is limited to specific individuals, the licensing agency shall specify the names of the individuals in a letter to the licensee. 
(2) Except where the limitation is requested by the licensee, the licensee shall be notified in writing of the reasons for such limitation and of the licensee's right to appeal the decision as specified in Section 82040, Denial of License. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code; and Section 10554, Welfare and Institutions Code. Reference: Sections 1501, 1524 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82029. Withdrawal of Application.
Note     •     History

(a) An applicant shall have the right to withdraw in writing an application. 
(1) The fee shall be nonrefundable as specified in Section 82036(d). 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1520, 1523.1 and 1553, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82030. Provisional License.
Note     •     History

(a) The licensing agency shall have the authority to issue a provisional license to an applicant, pending action under Section 82031, Issuance of License, or Section 82040, Denial of License, if it determines that all of the following circumstances exist: 
(1) The day program is in substantial compliance with applicable law and regulation. 
(2) An urgent need for licensure exists. 
(3) A corporate applicant's board of directors, executive director and officer are eligible for licensure as specified in Health and Safety Code Section 1520.11(b). 
(b) The capacity of a provisional license shall be limited to the number of clients for whom urgent need has been established, or the capacity established for the specific day program, whichever is less. 
(c) The licensing agency shall have the authority to issue a provisional license for a maximum of six months when it determines that full compliance with licensing regulations will be achieved within that time period. 
(d) The licensing agency shall have the authority to issue a provisional license for a maximum of 12 months when it determines, at the time of application, that more than six months is required to achieve full compliance with licensing regulations due to circumstances beyond the control of the applicant. 
(e) If, during the provisional license period, the licensing agency discovers any serious deficiencies, the Department shall have the authority to institute administrative action or civil proceedings, or to refer the matter for criminal prosecution. 
(f) A provisional license shall not be renewable and shall terminate on the date specified on the license, or upon denial of the application, whichever is earlier. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1520, 1520.11, 1524, 1525, 1525.5, 1550 and 1553, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82031. Issuance of License.
Note     •     History

(a) Within 90 days of the licensing agency's acceptance of the application and documents specified in Section 82027(a)(1), the licensing agency shall give written notice to the applicant of one of the following: 
(1) The application has been approved. 
(2) The application has been denied. 
(A) The notice of denial shall include the information as specified in Section 82040(b). 
(b) Upon approval of the application, the licensing agency shall issue the license. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1509, 1520, 1525, 1526 and 1553, Health and Safety Code; and Section 15376, Government Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82034. Submission of a New Application.
Note     •     History

(a) A licensee shall file a new application as required by Section 82018(d) whenever there is a change in conditions or limitations described on the current license, or other changes including, but not limited to, the following: 
(1) Any change in the location of the day program. 
(2) Any change of licensee, including but not limited to the following when the licensee is a corporation: 
(A) Sale or transfer of the majority of stock. 
(B) Separating from a parent company. 
(C) Merger with another company. 
(3) Any increase in capacity. 
(A) The licensing agency shall have the authority to grant capacity increases without resubmission of an application following a licensing agency review and the securing of an appropriate fire clearance. 
(4) A permanent change in any client from ambulatory to non-ambulatory status. 
(b) Whenever an applicant fails to complete a previous application within the time limit required by Section 82027(a)(2), a new application as required by Section 82018(d) shall be filed if the applicant chooses to continue the application process. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1520, 1523.1 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82035. Conditions for Forfeiture of a License.
Note     •     History

(a) A license shall be forfeited by operation of law, pursuant to Section 1524 of the Health and Safety Code. 
(b) The licensee is considered to have abandoned the facility if either of the following conditions occur: 
(1) The licensee informs the licensing agency that the licensee no longer accepts responsibility for the day program, or 
(2) The licensing agency is unable to determine the licensee's whereabouts after the following: 
(A) The licensing agency requests information of the licensee's whereabouts from the day program staff if any staff can be contacted; and 
(B) The licensing agency has made at least one (1) phone call per day, to the licensee's last telephone number of record, for five (5) consecutive workdays with no response; and 
(C) The licensing agency has sent a certified letter, requesting the licensee to contact the licensing agency, to the licensee's last mailing address of record with no response within seven (7) calendar days. 
(c) If the licensee dies, an adult relative who has control of the property shall be permitted to operate a previously licensed day program under an Emergency Approval to Operate (LIC 9117) providing the following conditions are met: 
(1) The relative or an adult acting on the relative's behalf notifies the Department by telephone during the first working day after the licensee's death that the relative intends to operate the adult day program. 
(2) The relative files with the Department within five days of the licensee's death an Application for License (LIC 200) and evidence of the licensee's death as defined in Section 82001(e). 
(A) Notwithstanding the instructions on the Application for License (LIC 200), the Department shall permit the relative to submit only the information on the front side of that form. 
(3) The relative files with the California Department of Justice within five calendar days of the licensee's death his/her fingerprints. 
(d) If the adult relative complies with Sections 82035(c)(1) and (2), he/she shall not be considered to be operating an unlicensed day program pending the Department's decision on whether to approve a provisional license. 
(e) Within 60 days after granting an emergency approval to operate, the Department shall make a decision whether to issue a provisional license pursuant to Section 82030(a). 
(1) A provisional license shall be granted only if the Department is satisfied that the conditions as specified in Section 82030, Provisional License, have been met and that the health and safety of the clients of the day program will not be jeopardized. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1520, 1522, 1524, 1525.5 and 1526, Health and Safety Code; and Section 15376, Government Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82036. Licensing Fees.
Note     •     History

(a) An applicant or a licensee shall be charged fees as specified in Health and Safety Code Section 1523.1. 
(b) An additional fee shall be charged when the licensee requests an increase or decrease in capacity as specified in Health and Safety Code Section 1523.1(b)(1)(C). 
(c) When a licensee moves a day program from one location to another, the relocation fee shall be as specified in Health and Safety Code Section 1523.1(b)(1)(A). 
(1) To receive the relocation fee the following shall apply: 
(A) The licensee shall have notified the licensing agency before actually relocating the day program. 
(B) The categorical type of program shall remain the same when relocating the day program. 
(C) The fee shall be based on the requested capacity at the new location. 
(d) The fees shall be nonrefundable. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1523.1 and 1524, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Article 4. Administrative Actions and Inspection Authority
§82040. Denial of License.
Note     •     History

(a) An application for licensure shall be denied as specified in Health and Safety Code Sections 1520.11(b), (d), 1523.1(e) and 1550. 
(b) If the application for a license is denied, the licensing agency shall mail the applicant a written notice of denial stating the reasons for the denial, and advising the applicant of the right to appeal, pursuant to Health and Safety Code Section 1526. 
(c) If the application for a license is denied, the licensing fee shall not be refunded pursuant to Section 82036(d). 
(d) Notwithstanding any appeal, the day program is unlicensed and shall not operate pending adoption by the director of a decision on the denial. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1520, 1520.11, 1525, 1526, 1547, 1548 and 1551, Health and Safety Code. 
HISTORY

1. Amendment of article 4 heading, adoption of article 4 (sections 82040-82046) and new section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82042. Forefeiture, Revocation or Suspension of License.
Note     •     History

(a) The Department shall have the authority to forefeit any license pursuant to Health and Safety Code Section 1523.1(e), or suspend or revoke any license on any of the grounds specified in Health and Safety Code Sections 1550 and 1550.5(a). 
(b) Proceedings to hear a revocation action or a revocation and temporary suspension action shall be conducted pursuant to the provisions of Health and Safety Code Section 1551. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1520.11, 1550, 1550.5 and 1551, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82044. Evaluation Visits and Inspection Authority of the Licensing Agency.
Note     •     History

(a) The licensing agency shall evaluate and inspect Adult Day Programs pursuant to the authority specified in Health and Safety Code Sections 1526.5, 1533, 1534, and 1538. 
(b) The licensing agency shall have the authority to interview clients or staff members without prior consent. 
(1) The licensee shall ensure that provisions are made for private interviews with any clients or any staff members. 
(c) The licensing agency shall have the authority to inspect, audit, and copy client or facility records upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the requirements specified in Sections 82066(c) and 82070(d). 
(1) The licensee shall ensure that provisions are made for the examination of all records relating to the operation of the facility. 
(d) The licensing agency shall have the authority to observe the physical condition of the client, including conditions which could indicate abuse, neglect, or inappropriate placement, and to have a licensed medical professional physically examine the client. 
(e) The licensing agency shall have the authority to make any number of other visits to a day program in order to determine compliance with applicable laws and regulations. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1526.5, 1531, 1533, 1534 and 1538, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82046. Exclusions.
Note     •     History

(a) The Department may prohibit an individual from serving as a member of a board of directors, executive director, or officer; or from being employed or present in a licensed adult day program, as specified in Health and Safety Code Sections 1558 and 1558.1. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1558 and 1558.1, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Article 5. Enforcement Provisions
§82051. Serious Deficiencies.
Note     •     History

(a) The following are examples of regulations that, if not complied with, nearly always result in a serious deficiency. 
(1) Section 82010, Limitations on Capacity. 
(2) Section 82019, Criminal Record Clearance. 
(3) Section 82020, Fire Clearance. 
(4) Section 82021, Water Supply. 
(5) Section 82072, Personal Rights. 
(6) Section 82073, Telephones. 
(7) Sections 82075(c) through (f) relating to storing and dispensing medications. 
(8) Section 82076, Food Service. 
(9) Section 82087, Buildings and Grounds. 
(10) Sections 82088(e)(1), (2), and (3) relating to hot water temperature and bathroom facilities. 
(11) Section 82088(f) relating to storage and disposal of solid waste. 
(12) Any other regulation, the violation of which is deemed by the licensing agency to constitute a serious deficiency as defined in Section 82001(s). 
NOTE

Authority cited: Sections 1530, 1530.1 and 1534(a)(2), Health and Safety Code. Reference: Sections 1501, 1507, 1531 and 1534, Health and Safety Code. 
HISTORY

1. Repealer and new article 5 heading, adoption of article 5 (sections 82051-82058) and new section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82052. Deficiencies in Compliance.
Note     •     History

(a) When the licensing agency determines that a deficiency exists pursuant to Health and Safety Code Section 1534(a)(2), it shall issue a notice of deficiency, unless the deficiency is not serious and is corrected during the visit. 
(b) Prior to completion of an evaluation or other licensing visit, the licensee, administrator, operator, or other person in charge of the day program shall meet with the evaluator to discuss any deficiencies noted, to jointly develop a plan for correcting each deficiency, and to acknowledge receipt of the notice of deficiency. 
(c) The notice of deficiency is provided to the licensee at the completion of the visit by one of the following methods: 
(1) Personal delivery to the licensee; 
(2) If the licensee is not at the day program site, a copy of the notice shall be left with the person in charge of the day program and shall be mailed to the licensee. 
(3) If the licensee or the person in charge of the day program refuses to accept the notice, a notation of the refusal shall be written on the notice and a copy shall be left at the day program and shall be mailed to the licensee. 
(d) The notice of deficiency shall be in writing and shall include the following: 
(1) Citation of the statute or regulation which has been violated. 
(2) A description of the nature of the deficiency stating the manner in which the licensee failed to comply with a specified statute or regulation, and the particular place or area of the day program in which it occurred. 
(3) The plan developed, as specified in Section 82052(b), for correcting each deficiency. 
(4) A date by which each deficiency shall be corrected. 
(A) In determining the date for correcting a deficiency, the evaluator shall consider the following factors: 
1. The potential hazard presented by the deficiency. 
2. The number of clients affected. 
3. The availability of equipment or personnel necessary to correct the deficiency. 
4. The estimated time necessary for delivery, and for any installation, of necessary equipment. 
(B) The date for correcting a deficiency shall not be more than 30 calendar days following service of the notice of deficiency, unless the evaluator determines that the deficiency cannot be completely corrected in 30 calendar days. 
(C) If the date for correcting the deficiency is more than 30 calendar days following service of the notice of deficiency, the notice shall specify the corrective actions which must be taken within 30 calendar days to begin correction. 
(D) The evaluator shall require correction of the deficiency within 24 hours and shall specify on the notice the date by which the correction must be made whenever immediate penalties are assessed pursuant to Sections 82054(c), (d), (e) and (f). 
(5) The amount of penalty being assessed, if any, and the date the penalty begins. 
(6) The address and telephone number of the licensing office responsible for reviewing notices of deficiencies for the day program. 
(e) Each licensee/applicant shall have the right, without prejudice, to bring to the attention of the licensing agency, or both, any alleged misapplication or capricious enforcement of regulations by any licensing representative, or any differences in opinion between the licensee and any licensing representative concerning the proper application of these regulations. 
NOTE

Authority cited: Sections 1530, 1530.1 and 1548(e), Health and Safety Code. Reference: Sections 1531, 1534 and 1548, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82053. Follow-Up Visits to Determine Compliance.
Note     •     History

(a) A follow-up visit shall be conducted to determine compliance with the plan of correction specified in the notice of deficiency. 
(1) At a minimum, a follow-up visit shall be conducted within 10 working days following the dates of corrections specified in the notice of deficiency, unless the licensee has demonstrated that the deficiency was corrected as required. 
(2) No penalty shall be assessed unless a follow-up visit is conducted as specified in Sections 82053(a) and (a)(1). 
(b) If a follow-up visit indicates that a deficiency was not corrected on or before the date specified in the notice of deficiency, the evaluator shall issue a notice of penalty. 
(c) A notice of penalty shall be in writing and shall include: 
(1) The amount of penalty assessed, and the date the payment is due. 
(2) The name and address of the agency responsible for collection of the penalty. 
(d) When an immediate penalty has been assessed pursuant to Sections 82054(c), (d), (e), and (f) and correction is made when the evaluator is present, a follow-up visit is not required. 
NOTE

Authority cited: Sections 1530, 1530.1 and 1548(e), Health and Safety Code. Reference: Sections 1533, 1534 and 1548, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82054. Penalties.
Note     •     History

(a) A penalty of $50 per violation per day, up to a maximum of $150 per day shall be assessed for serious deficiencies that are not corrected by the date specified in the notice of deficiency, as permitted by Section 1548(b) of the Health and Safety Code. 
(b) Notwithstanding Section 82054(a), an immediate penalty of $100 per cited violation per day for a maximum of five (5) days shall be assessed if any individual required to be fingerprinted under Health and Safety Code Section 1522(b) has not obtained a California clearance or a criminal record exemption, requested a transfer of a criminal record clearance or requested and be approved for a transfer of an exemption as specified in Section 82019(e) prior to working, residing or volunteering in the facility. 
(1) Subsequent violations within a twelve (12) month period shall result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of (30) days. 
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1548. 
(3) Progressive civil penalties specified in Sections 82054(d) and (e) shall not apply. 
(c) Notwithstanding Section 82054(a), an immediate penalty of $150 per day shall be assessed for any sickness, injury, or death of a client as a result of the deficiency. 
(d) When a day program is cited for a deficiency and violates the same regulation subsection within a 12-month period, an immediate penalty assessment of $150 and $50 per day thereafter shall be assessed until the deficiency is corrected. 
(e) A deficiency subject to the immediate penalty assessment in Section 82054(d) that is repeated within a 12-month period of the last deficiency citation shall be cited and assessed an immediate penalty of $150 per day until the deficiency is corrected. 
(f) If any deficiency is not corrected by the date specified in the notice of deficiency, a penalty shall be assessed for each day following that date until compliance has been demonstrated. 
(1) Immediate penalty assessment as specified in Sections 82054(b), (c), (d), and (e), shall begin on the day the deficiency is cited. 
(g) If licensees or their representatives report to the licensing agency that a deficiency has been corrected, the penalty shall cease as of the day the licensing agency receives notification that the correction was made. 
(1) If the deficiency has not been corrected, civil penalties shall continue to accrue from the date of the original citation. 
(2) If it can be verified that the correction was made prior to the date of notification, the penalty shall cease as of that earlier date. 
(h) If necessary, a site visit shall be made immediately or within five working days to confirm the deficiency has been corrected. 
(i) If an immediate civil penalty is assessed, and the deficiency is corrected on the same day, the penalty shall still be assessed for that day. 
(j) All penalties shall be due and payable upon receipt of notice for payment from the licensing agency, and shall be paid only by check or money order made payable to the Department. 
(k) The licensing agency shall have the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in Section 82054(j). 
NOTE

Authority cited: Sections 1530, 1530.1 and 1548(e), Health and Safety Code. Reference: Sections 1522, 1534 and 1548, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82055. Administrative Review.
Note     •     History

(a) Licensees or their designated representatives shall have the right to request a review of a notice of deficiency and/or notice of penalty within 10 working days of receipt of such notice. 
(1) If the deficiency has not been corrected, civil penalties shall continue to accrue during the review process. 
(b) The review shall be conducted by a higher level staff person than the evaluator who issued the notice. 
(c) If the reviewer determines that a notice of deficiency or notice of penalty was not issued or assessed in accordance with applicable statutes and regulations of the Department, or that other circumstances existed, he/she shall have the authority to amend or dismiss the notice. 
(d) The reviewer shall have the authority to extend the date specified for correction of a deficiency if warranted by the facts or circumstances presented to support a request for extension. 
NOTE

Authority cited: Sections 1530, 1530.1 and 1548(e), Health and Safety Code. Reference: Section 1534 and 1548, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82055.1. Responsibility for Civil Penalties.
Note     •     History

(a) The licensee shall be responsible for paying civil penalties. 
(1) Unless otherwise provided, the transfer, surrender, forfeiture or revocation of a license shall not affect the licensee's responsibility for paying any civil penalties accrued while the license was in effect. 
NOTE

Authority cited: Sections 1530, 1530.1 and 1548(e), Health and Safety Code. Reference: Sections 1522, 1534, 1548 and 1551, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82056. Exemption from Civil Penalties.
Note     •     History

(a) Civil penalties shall not be assessed against any governmental entity, including a state or city holding a community care facility license. 
NOTE

Authority cited: Sections 1530, 1530.1 and 1548(e), Health and Safety Code. Reference: Section 1534 and 1548, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82058. Unlicensed Adult Day Program Penalties.
Note     •     History

(a) A penalty of $200 per day shall be assessed for the operation of an unlicensed day program under either of the following conditions: 
(1) The operator has not submitted a completed application for licensure (form LIC 200) within 15 calendar days of issuance of the Notice of Operation in Violation of Law (form LIC 195) pursuant to Section 82006, Operating Without a License, and continues to operate. 
(A) For purposes of this section, an application shall be deemed completed if it includes the information required in Section 82018(d). 
(B) The completed application shall be deemed to be submitted when received by the licensing agency. 
(2) Unlicensed operation continues after denial of the initial application. 
(A) Notwithstanding any appeal action, day program operation must cease within 10 calendar days of the mailing of the notice of denial or upon the operator's receipt of the denial notice whichever occurs first. 
(b) The $200 per day penalty shall be assessed for the continued operation of an unlicensed day program as follows: 
(1) On the 16th calendar day after the operator has been issued the Notice of Operation in Violation of Law (form LIC 195), and has not submitted a completed application as required. 
(A) The $200 per day penalty shall continue until the operator ceases operation, or submits a completed application pursuant to Sections 82058(a)(1)(A) and (B). 
(2) Within 10 calendar days of the mailing of the notice of denial or upon the operator's receipt of the denial notice whichever occurs first. 
(A) The $200 per day penalty shall continue until the operator ceases operation. 
(c) If the unlicensed operator reports to the licensing agency that unlicensed operation, as defined in Health and Safety Code Section 1503.5, has ceased, the penalty shall cease as of the day the licensing agency receives the notification. 
(1) A site visit shall be made immediately or within five working days to verify that the unlicensed day program operation has ceased. 
(2) Notwithstanding Section 82058(c), if the unlicensed day program operation has not ceased, penalties shall continue to accrue without interruption from the date of initial penalty assessment. 
(d) All penalties shall be due and payable upon receipt of the Notice for Payment from the licensing agency, and shall be paid by check or money order made payable to the agency indicated in the notice. 
(e) The licensing agency shall have the authority to file a claim in an appropriate court or to take other appropriate action for failure to pay penalties as specified in Section 82058(d). 
(f) Payment of civil penalties or application for licensure in response to a citation under this section does not permit the operation of an adult day program without a license. 
NOTE

Authority cited: Sections 1530, 1530.1 and 1547(c), Health and Safety Code. Reference: Sections 1503.5, 1520, 1533, 1540, 1540.1, 1547 and 1549, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82059. Unlicensed Day Program Administrative Appeal.
Note     •     History

(a) An unlicensed day program operator shall have the right to appeal the penalty assessment within 10 working days after service of the penalty assessment. 
(1) If the unlicensed day program operation has not ceased, the $200 per day penalty shall continue to accrue during the appeal process. 
(b) The appeal review shall be conducted by a higher level staff person than the evaluator who issued the penalty. 
(c) If the reviewer of the appeal determines that the penalty assessment was not issued in accordance with applicable statutes and regulations of the Department, he/she shall have the authority to amend or dismiss the penalty assessment. 
NOTE

Authority cited: Sections 1530, 1530.1 and 1547(c), Health and Safety Code. Reference: Sections 1503.5, 1508 and 1547, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Article 3. Application Procedures (Reserved)
Article 4. Administrative Actions (Reserved)
Article 5. Civil Penalties  (Reserved)
Article 6. Continuing Requirements
§82061. Reporting Requirements.
Note     •     History

(a) Upon the occurrence, during the hours the day program is providing services to the client, of any of the events specified in Section 82061(a)(1), a report shall be made to the licensing agency within the agency's next working day during its normal business hours. In addition, a written report containing the information specified in Section 82061(a)(2) shall be submitted to the licensing agency within seven days following the occurrence of the event. 
(1) Events reported shall include, but not be limited to, the following: 
(A) Death of any client from any cause; 
(B) Any injury to any client which requires medical treatment; 
(C) The use of an Automated External Defibrillator;
(D) Any unusual incident which threatens the physical or emotional health or safety of any client; 
(E) Any suspected physical or psychological abuse of any client; 
(F) Epidemic outbreaks; 
(G) Poisonings; 
(H) Catastrophes; and 
(I) Fires or explosions which occur in or at the program site. 
(2) Information provided shall include the following: 
(A) Client's name, age, sex or gender, and date of admission; 
(B) Date and nature of event; 
(C) Attending physician's name, findings, and treatment, if any; and
(D) Disposition of the case. 
(b) The items below shall be reported to the licensing agency within 10 working days following the occurrence. 
(1) The organizational changes specified in Section 82034(a)(2). 
(2) Any change in the licensee's or applicant's mailing address. 
(3) Any change of the chief executive officer of a corporation or association. 
(A) Such notification shall include the new chief executive officer's name and address. 
(B) Fingerprints shall be submitted as specified in Section 82019(d). 
(4) Any changes in the plan of operation which affect the services to clients. 
(c) The items specified in Sections 82061(b)(1)(A) through (I) also shall be reported to the client's authorized representative, if any. 
(d) The items specified in Sections 82061(b)(1)(F) and (G) also shall be reported to the local health officer when appropriate pursuant to Title 17, California Code of Regulations, Sections 2500 and 2502. 
(e) The item specified in Section 82061(b)(1)(I) also shall be reported immediately to the local fire authority. In areas not having organized fire services, a report shall be made to the State Fire Marshal within 24 hours. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1507, 1520 and 1531, Health and Safety Code.  
HISTORY

1. New section filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
2. Amendment of section heading, section and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82062. Finances.
Note     •     History

(a) The licensee shall meet the following financial requirements: 
(1) Development and maintenance of a financial plan which ensures resources necessary to meet operating costs for care and supervision of clients. 
(2) Maintenance of financial records. 
(3) Submission of financial reports as required upon the written request of the licensing agency. 
(A) The written request shall explain the necessity for disclosure. 
(B) The licensing agency shall have the authority to reject any financial report, and to request, examine, if necessary, and copy additional information including interim financial statements. The reason for rejection of the report shall be in writing. 
(C) The licensing agency may remove additional information, if necessary for copying. Removal shall be subject to the following requirements: 
1. Prior to removal, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
2. Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82063. Accountability.
Note     •     History

(a) The licensee, whether an individual or other entity, is accountable for the general supervision of the licensed day program, and for the establishment of policies concerning its operation. 
(1) If the licensee is a corporation or an association, the governing body shall be active and functioning in order to ensure such accountability. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82064. Administrator--Qualifications and Duties.
Note     •     History

(a) All adult day programs shall have an administrator who meets either of the following requirements: 
(1) A baccalaureate degree in psychology, social work or a related human services field and a minimum of one year experience in the management of a human services delivery system, or 
(2) Three years of experience in a human services delivery system including at least one year in a management or supervisory position and two years of experience or training in one of the following: 
(A) Care and supervision of clients in a licensed adult day program, or an adult day health care facility. 
(B) Care and supervision of one or more of the categories of persons to be served by the day program. 
(b) Administrators of adult day programs employed prior to January 1, 2007, shall remain qualified provided that they have no break in employment as an adult day program administrator exceeding three consecutive years. 
(c) In addition to the requirements in Section 82064(a), the administrator shall: 
(1) Be at least 21 years of age. 
(2) Know the requirements for providing the type of care and supervision needed by clients, including communication with clients. 
(3) Provide for continuous supervision of clients. 
(4) Supervise the operation of the day program. 
(5) Communicate with the licensing agency as required by applicable laws and regulations. 
(6) Comply with applicable laws and regulations. 
(7) Maintain or supervise the maintenance of financial and other records. 
(8) Direct the work of others, when applicable. 
(9) Establish the policy, program and budget. 
(10) Recruit, employ, train, and evaluate qualified day program staff, and terminate employment of staff. 
(11) Acknowledge the receipt of the Department's correspondence, deficiency notices, or field reports when the Department has requested a response. 
(12) Ensure the timely correction of all cited deficiencies. 
(13) Adjust the program to accommodate the needs of all clients. 
(14) Coordinate all activities and services. 
(15) Provide initial orientation for all staff and ongoing educational and training programs for the direct care staff. 
(16) Arrange for special provision for the care and supervision, including health, safety, and guidance, of clients who have special needs. 
(A) These provisions may include additional staff to supervise clients who wander, to maintain mechanical medical aids, and to monitor toileting schedules. 
(B) Other special needs may include safety and emergency information in large lettering or in braille and lights. 
(d) The administrator shall receive and document a minimum of 30 clock hours of continuing education every 24 months of employment. 
(1) Continuing education shall include completion of courses related to roles and responsibilities of the administrator position including, but not limited to, workshops, seminars, and academic classes.
(e) When the administrator is absent from the day program site, there shall be coverage by a substitute designated by the licensee, who meets the qualifications of Section 82065, Personnel Requirements, who shall be capable of and responsible and accountable for management and administration of the day program in compliance with applicable laws and regulations. 
(f) The licensee, if an individual, or any member of the governing board of the licensed corporation or association, shall be permitted to be the administrator provided that he/she meets the qualifications specified in this section. 
(g) The administrator shall be at the program site the number of hours necessary to manage and administer the program in compliance with applicable laws and regulations. 
(h) If an administrator is responsible for two or more adult day programs, there shall be at each site an employee who is responsible for the day-to-day operation of the program and who meets the following qualifications: 
(1) A baccalaureate degree in psychology, social work or a related human services field; or 
(2) A minimum of one year of experience in a supervisory or management position in the human services delivery system. 
(i) When the administrator is absent from the day program for more than 30 consecutive days, the licensee shall designate a substitute who meets the qualifications of an administrator as specified in Sections 82064(a), (b) and (c). 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502.2, 1531 and 1562, Health and Safety Code.
HISTORY

1. Amendment of subsection (g)(8) filed 6-6-94; operative 7-6-94 (Register 94, No. 23).
2. Amendment of section, including renumbering of portions of former section 82564 to section 82064, and amendment of Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82065. Personnel Requirements.
Note     •     History

(a) Program personnel shall be competent to provide the services necessary to meet individual client needs and shall, at all times, be employed in numbers necessary to meet such needs. 
(b) The licensing agency shall have the authority to require any licensee to provide additional staff whenever the licensing agency determines and documents that additional staff are required for the provision of services necessary to meet client needs. The licensee shall be informed in writing of the reasons for the licensing agency's determination. The following factors shall be taken into consideration in determining the need for additional staff. 
(1) Needs of the particular client; 
(2) Extent of the services provided by the day program; 
(3) Physical arrangements of the particular day program; and 
(4) Existence of a state of emergency or disaster. 
(c) The licensee shall be permitted to utilize volunteers provided that such volunteers are supervised, and are not included in the day program staffing plan. 
(d) The following day program personnel staff shall be at least 18 years of age: 
(1) Persons who supervise employees and/or volunteers. 
(2) Persons, including volunteers, who provide any element of care and supervision to clients. 
(e) The licensee shall provide for direct supervision of clients during participation in or presence at potentially dangerous activities or areas in the day program. 
(1) An adult who has been fingerprinted and has completed and signed a Criminal Record Statement (form LIC 508) as required by Section 82019(d) shall be present at all times when a client is using a pool or other body of water from which rescue requires the rescuer's ability to swim. 
(2) Adults who supervise while clients are using a pool or other body of water from which rescue requires the rescuer's ability to swim, shall have a valid water safety certificate which may be obtained from the American Red Cross, the YMCA, or other qualified agencies. 
(f) All personnel shall be given on-the-job training or shall have related experience providing knowledge of and skill in the following areas, as appropriate to the job assigned and as evidenced by safe and effective job performance. 
(1) Principles of nutrition, food preparation and storage and menu planning. 
(2) Housekeeping and sanitation principles. 
(3) Provision of client care and supervision, including communication. 
(4) Assistance with prescribed medications which are self-administered. 
(5) Recognition of early signs of illness and the need for professional assistance. 
(6) Availability of community services and resources. 
(7) Universal precautions as defined in Section 82001(u). 
(A) Training in universal precautions may be provided at the program site or staff may attend training provided by a local health facility, county health department, or other local resources. 
(8) Emergency procedures. 
(9) Mandated reporting requirements for dependent adult and elder abuse, as required by Welfare and Institutions Code Section 15630(b). 
(g) All personnel, including the licensee, administrator, and volunteers, shall be in good health, and shall be physically, mentally, and occupationally capable of performing assigned tasks. 
(1) The good physical health of each employee and individual licensee shall be verified by a health screening, including negative test results for tuberculosis, performed by or under the supervision of a physician not more than one year prior to or seven days after employment or licensure. 
(A) A health screening report signed by the person performing the screening shall indicate the following: 
1. The person's physical qualifications to perform the duties to be assigned. 
2. The presence of any health condition that would create a hazard to the person, clients or other staff members. 
(B) The good physical health of each volunteer who works in the program shall be verified by: 
1. A statement signed by each volunteer affirming that he/she is in good health. 
2. Negative test results for tuberculosis performed not more than one year prior to or seven days after initial presence in the program. 
(h) Personnel with evidence of physical illness that poses a threat to the health and safety of clients shall be relieved of their duties. 
(i) Prior to employment or initial presence in the day program, all employees and volunteers subject to a criminal record review shall: 
(1) Obtain a California clearance or a criminal record exemption as required by law or Department regulations or 
(2) Request a transfer of a criminal record clearance as specified in Section 82019(f) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 82019.1(r), unless, upon request for the transfer, the Department permits the individual to be employed, reside or be present at the day program. 
(j) Clients shall not be used as substitutes for required staff but shall be permitted, as a voluntary part of their program of activities, to participate in tasks suited to the client's needs and abilities. 
(1) Such tasks shall be identified in the client's needs and services plan as specified in Section 82068.2. 
(k) When regular staff members are absent, there shall be coverage by personnel capable of performing assigned tasks as evidenced by on-the-job performance. 
(l) Personnel shall provide for the care and safety of persons without physical or verbal abuse, exploitation, or prejudice. 
(m) All personnel shall be instructed to report observations or evidence of violations of any of the personal rights specified in Section 82072. 
(n) The licensee shall provide for an overlap of staff at each shift change to ensure continuity of care.
(o) There shall be at least two persons on duty, at least one of whom is a direct care staff member, at all times when there are two or more clients in the day program.
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1502, 1522, 1531 and 1562, Health and Safety Code; and Section 15630, Welfare and Institutions Code.
HISTORY

1. Amendment of section, including redesignation and amendment of former 82565(b) as new 82065(o), and amendment of Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82065.1. Personnel Qualifications and Duties.
Note     •     History

(a) The following requirements shall apply to direct care staff as defined in Section 82001(d): 
(1) Direct care staff shall be responsible for care and supervision of clients, as defined in Section 82001(c). 
(2) Direct care staff shall not be assigned to any of the support staff duties specified in Section 82065.1(b) unless the care and supervision needs of clients have been met. 
(b) Support staff duties include, but shall not be limited to: 
(1) Office work, including clerical, bookkeeping, and accounting; 
(2) Cooking; 
(3) Housecleaning; 
(4) Maintenance of program buildings, grounds, fixtures, furniture, equipment, and supplies; and 
(5) Administrative support. 
(c) During the performance of support staff duties, a direct care staff member shall not be counted in the staff-to-client ratio specified in Section 82065.5.
(d) The licensee shall develop, maintain, and implement a written plan for the orientation, continuing education, on-the-job training and development, supervision, and evaluation of all direct care staff. 
(1) Direct care staff shall receive a minimum of 8 hours a year of training, documented. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1531 and 1562, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
2. Amendment of section, including renumbering of portions of former section 82565.1 to section 82065.1, and amendment of Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82065.5. Staff-Client Ratios.
Note     •     History

(a) Whenever a client who relies upon others to perform all activities of daily living is present, the following minimum staffing requirements shall be met:
(1) For Regional Center clients, staffing shall be maintained as specified by the Regional Center.
(2) For all other clients, there shall be a staff-client ratio of no less than one direct care staff to four such clients.
(b) There shall be an overall ratio of not less than one direct care staff member providing care and supervision for each group of eight clients, or fraction thereof, present. 
(1) Volunteers may be included in the staff-to-client ratio if the volunteer meets the requirements for direct care staff as specified in Section 82001(d). 
NOTE

Authority cited: Sections 1530 and 1503.1, Health and Safety Code. Reference: Sections 1531 and 1562, Health and Safety Code.
HISTORY

1. New subsections (b)-(b)(2) and amendment of Note filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
2. Amendment of section, including renumbering of portions of former section 82565.5 to section 82065.5, and amendment of Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82066. Personnel Records.
Note     •     History

(a) The licensee shall ensure that personnel records are maintained on the licensee, administrator, and each employee. Each personnel record shall contain the following information: 
(1) Employee's full name. 
(2) Driver's license number if the employee is to transport clients. 
(3) Date of employment. 
(4) A statement signed by the employee that he/she is at least 18 years of age. 
(5) Home address and phone number. 
(6) Documentation of the educational background, prior and on-going training and/or experience. 
(7) Past experience, including types of employment and former employers. 
(8) Duties of the employee. 
(9) Termination date if no longer employed by the day program. 
(10) A health screening, as specified in Section 82065(g). 
(11) Tuberculosis test results, as specified in Section 82065(g)(1). 
(12) For employees that are required to be fingerprinted pursuant to Section 82019(a): 
(A) A signed statement regarding their criminal record history as required by Section 82019(d). 
(B) Documentation of either a criminal record clearance or exemption as required by Section 82019(e). 
1. For Certified Administrators, a copy of their current and valid Administrator Certification meets this requirement. 
(b) Personnel records shall be maintained for all volunteers and shall contain the following information: 
(1) A health statement as specified in Section 82065(g)(1)(B). 
(2) Tuberculosis test results as specified in Section 82065(g)(1)(B). 
(3) For volunteers that are required to be fingerprinted pursuant to Section 82019(a), 
(A) A signed statement regarding their criminal record history as required by Section 82019(d). 
(B) Documentation of either a criminal record clearance or exemption as required by Section 82019(e). 
(c) All personnel records shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove any current emergency and health-related information for current personnel unless the same information is otherwise readily available in another document or format. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
(d) All personnel records shall be maintained at the program site. 
(1) The licensee shall be permitted to retain these records in a central administrative location provided that they are readily available to the licensing agency at the program site as specified in Section 82066(c). 
(e) In all cases, personnel records shall document the hours actually worked. 
(f) All personnel records shall be retained for at least three years following termination of employment. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1531 and 1562, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82068. Admission Agreements.
Note     •     History

(a) The licensee shall complete and maintain an individual written admission agreement with each client and the client's authorized representative, if any. 
(b) Admission agreements must specify the following: 
(1) Basic services; 
(2) Available optional services; 
(3) Payment provisions, including the following: 
(A) Basic rate; 
(B) Optional services rates; 
(C) Payor; 
(D) Due date; and 
(E) Frequency of payment. 
(4) Modification conditions, including requirement for provision of at least 30 calendar days prior written notice to the client or his/her authorized representative of any basic rate change. 
(5) Refund conditions. 
(6) Right of the licensing agency to perform the duties authorized in Sections 82044(b) and (c). 
(7) Conditions under which the agreement may be terminated. 
(A) The client's refusal to cooperate with the licensee's implementation of his/her Needs and Services Plan, as specified in Section 82068.2 or 82068.3, must be one of the conditions. 
(8) The program's policy concerning family involvement and participation with clients. 
(c) Agreements shall be dated and signed, acknowledging the contents of the document, by the client and the client's authorized representative and the licensee or the licensee's designated representative, no later than seven calendar days following admission. 
(d) Modifications to the original agreement shall be made whenever circumstances covered in the agreement change, and shall be dated and signed by the persons specified in Section 82068(c). 
(e) The licensee shall retain in the client's file the original of the initial admission agreement and all subsequent modifications. 
(1) The licensee shall provide a copy of the current admission agreement to the client and the client's authorized representative, if any. 
(f) The licensee shall comply with all terms and conditions set forth in the admission agreement. 
(g) The admission agreement shall be automatically terminated by the death of the client. No liability or debt shall accrue after the date of death, unless ordered by a court. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82068.2. Needs and Services Plan.
Note     •     History

(a) Prior to admission, the licensee shall determine whether the day program can meet the prospective client's service needs.
(b) If the client is to be admitted and has no restricted health condition(s) as specified in Section 82092, then, no later than 30 days after admission, the licensee shall complete a written Needs and Services Plan.
(c) If the client is to be admitted, and has a restricted health condition as specified in Section 82092, then the licensee shall develop the Needs and Services Plan prior to admission and must include a Restricted Health Condition Care Plan, as specified in Section 82092.2 in addition to the requirements in Section 82068.2(f).
(d) If the client has an existing needs appraisal or individual program plan (IPP) completed by a placement agency, or a consultant for the placement agency, the Department may consider the plan to meet the requirements of this section provided that: 
(1) The needs appraisal or IPP is not more than one year old. 
(2) The licensee and the placement agency agree that the client's physical, mental and emotional status has not significantly changed since the assessment. 
(e) The written Needs and Services Plan specified in Section 82068.2(f), shall be maintained in the client's file. 
(f) The completed Needs and Services Plan shall include: 
(1) The client's desires and background and formal supports, obtained from the client's family or his/her authorized representative, if any, regarding the following: 
(A) Admission to the facility. 
(B) A written medical assessment including primary physician, health problems and medical history, prescribed medications and their strength, quantity, frequency required and purpose as specified in Section 82069(b)(3). 
(C) Mental and emotional functioning. 
(D) Functional limitations including physical impairments or concerns as follows: 
1. Bathing. 
a. Does not bathe or shower self. 
b. Performs some bathing or showering tasks. 
c. Bathes or showers self independently. 
2. Dressing: 
a. Does not dress self. 
b. Puts on some clothing by self. 
c. Dresses self completely. 
3. Grooming: 
a. Does not tend to own personal hygiene. 
b. Tends to some personal hygiene tasks. 
c. Tends to own personal hygiene. 
4. Toileting: 
a. Not toilet trained. 
b. Does not toilet by self. 
c. Goes to toilet by self. 
5. Transferring: 
a. Unable to move in and out of a bed or chair. 
b. Needs assistance to transfer. 
c. Is able to move in and out of a bed or chair. 
6. Repositioning: 
a. Unable to reposition. 
b. Repositions from side to side. 
c. Repositions from front to back and back to front. 
7. Wheelchair: 
a. Unable to sit without support. 
b. Sits without support. 
c. Needs assistance moving wheelchair. 
d. Moves wheelchair independently. 
e. Does not use wheelchair. 
8. Continence: 
a. No bowel and/or bladder control. 
b. Some bowel and/or bladder control. 
c. Use of assistive devises, such as a catheter. 
d. Complete bowel and/or bladder control. 
9. Eating: 
a. Does not feed self. 
b. Feeds self with assistance from another person. 
c. Feeds self completely. 
10. Vision: 
a. Severe/profound impairment. 
b. Mild/moderate impairment. 
c. No vision impairment. 
11. Hearing: 
a. Severe/profound loss. 
b. Mild/moderate loss. 
c. No hearing loss. 
12. Communication: 
a. Does not express nonverbally. 
b. Does not express verbally. 
c. Expresses by sounds or movements. 
d. Expresses self well, both verbally and nonverbally. 
13. Walking: 
a. Does not walk. 
b. Walks with support. 
c. Walks well alone. 
14. Medical history and conditions. 
15. Need for prescribed and non-prescribed medications. 
16. Mental and emotional conditions. 
17. Socialization and cognitive status. 
18. Propensity for behaviors that result in harm to self or others and that require supervision. 
19. Ability to manage his/her own finances and cash resources. 
(E) A social history. 
(F) Identification of formal support systems. 
(2) A description of limitation of activities of daily living skills. 
(3) Scheduled days of attendance. 
(4) A summary of the assessment findings in Sections 82069(b)(1) through (5) and plans for providing services to meet the identified needs, including: 
(A) A plan to provide, arrange, or assist in transportation of the client to and from the day program. 
(B) Time-limited goals and objectives of the care and services to be provided, with provisions for review and modifications as needed. 
(C) An individual activity plan designed to meet the needs of the client for psychosocial and recreational activities. 
(D) Recommendations for referrals to other service providers and therapy which the adult day program will coordinate. 
(5) Specific service needs, if any. 
(g) The licensee shall involve the following persons in the development of the Needs and Services Plan: 
(1) The client and his/her authorized representative, if any. 
(2) Any relative or other care provider participating in placement. 
(3) The placement or referral agency, if any. 
(4) The licensee or his/her designee. 
(5) A direct care staff person as defined in Section 82001(d). 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
2. Amendment of section, including renumbering of portions of former section 82568.2 to section 82068.2, and amendment of Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82068.3. Modifications to Needs and Services Plan.
Note     •     History

(a) The licensee shall ensure that each client's written Needs and Services Plan is updated as often as necessary, but at least annually, to ensure its accuracy, and to document significant occurrences that result in changes in the client's physical, mental, psychological, and/or social functioning.
(1) An updated list of medications currently taken by the client shall be included in the reassessment. 
(2) These reassessments shall be maintained in the client's file. 
(b) If the licensee determines that the client's needs cannot be met, the licensee shall inform the client, and his/her authorized representative, if any, and the placement agency, if any, and request that the client relocate where needed services can be provided. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
2. Amendment of section, including renumbering of portions of former section 82568.3 to section 82068.3, and amendment of Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82068.5. Procedures for Discharge.
Note     •     History

(a) A minimum of two weeks' notice shall be given to a client and his/her family and care providers if the Adult Day Program determines that the day program can no longer meet the needs of the client, and he/she must be discharged from the day program. 
(b) The immediate discharge of an individual shall be allowed when it is determined that the individual's condition has suddenly changed and participation in the day program is likely to cause danger to self or others. 
(1) The licensing agency shall be notified by telephone within the agency's next working day during normal business hours and in writing within seven days when a client is discharged without the two weeks' notice. 
(c) The licensee shall refer the client to other agencies for continuing care and follow-up, as needed. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. Renumbering of former section 82568.5 to new section 82068.5, including amendment of section and Note, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82069. Client Medical Assessments.
Note     •     History

(a) Prior to or within 30 calendar days following the acceptance of a client, the licensee shall obtain a written medical assessment of the client that determines the licensee's ability to provide necessary health-related services to the client. The assessment shall be used in developing the Needs and Services Plan. 
(1) The assessment shall be performed by a licensed physician or designee, who is also a licensed professional, and the assessment shall not be more than one year old when obtained. 
(b) The medical assessment shall include the following: 
(1) The results of an examination for communicable tuberculosis and other contagious/infectious diseases. 
(2) Identification of the client's special problems and needs. 
(3) Identification of any prescribed medications being taken by the client. 
(4) A determination of the client's ambulatory status, as defined by Section 82001(n). 
(5) Identification of physical restrictions, including any medically necessary diet restrictions. 
(c) The licensing agency shall have the authority to require the licensee to obtain a current written medical assessment, if such an assessment is necessary to verify the appropriateness of a client's placement. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82070. Client Records.
Note     •     History

(a) The licensee shall ensure that a separate, complete, and current record is maintained in the facility for each client. A separate, complete, and current record shall be maintained at the program site for each client. 
(b) Each record must contain information including, but not limited to, the following: 
(1) Name of client. 
(2) Birthdate. 
(3) Sex or Gender. 
(4) Date of admission. 
(5) Names, addresses, and telephone numbers of the authorized representative. 
(6) A signed copy of the admission agreement specified in Section 82068. 
(7) Name, address, and telephone number of physician and dentist, and other medical and mental health providers, if any. 
(8) Medical assessment, including ambulatory status, as specified in Section 82069(b). 
(9) Record of any illness or injury requiring treatment by a physician or dentist and for which the day program provided assistance to the client in meeting his/her necessary medical and dental needs. 
(10) Record of current medications, including the name of the prescribing physician, and instructions, if any, regarding control and custody of medications. 
(11) Restricted health condition care plan, if required for the client by Section 82092.2. 
(12) Date of termination of services. 
(13) In those cases in which the licensee handles the client's cash, an account of the client's cash resources, personal property, and valuables entrusted as specified in Sections 82026(h) through (k). 
(14) Needs and Services Plan as specified in Section 82068.2. 
(15) Modifications to the Needs and Services Plan as specified in Section 82068.3. 
(16) Authorization, signed and dated by the client or his/her authorized representative, to specific individuals/agencies for release of medical information, or a statement signed and dated by the client or authorized representative, that the client or authorized representative will not sign an authorization. 
(17) Authorization, signed and dated by the client or his/her authorized representative, for the client to receive emergency medical care, if necessary, or a statement signed and dated by the client or authorized representative, that the client will not sign an authorization. 
(18) Correspondence and incident reports relating to the client. 
(19) Reason for discharge from the center. 
(c) All information and records obtained from or regarding clients shall be confidential. 
(1) The licensee shall be responsible for safeguarding the confidentiality of client records contents. 
(2) Except as specified in Section 82070(d), or as otherwise authorized by law, the licensee and all employees shall not reveal or make available confidential information. 
(d) All client records shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove the following current records for current clients unless the same information is otherwise readily available in another document or format: 
(A) Name, address, and telephone number of the authorized representative(s) as specified in Section 82070(b)(5). 
(B) Name, address, and telephone number of a client's physician and dentist, and any other medical and mental health providers, as specified in Section 82070(b)(7). 
(C) Medical assessment, including ambulatory status, as specified in Section 82070(b)(8). 
(D) Record of any current illness or injury as specified in Section 82070(b)(9). 
(E) Record of current medications as specified in Section 82070(b)(10). 
(F) Restricted Health Condition Care Plan as specified in Section 82070(b)(11). 
(G) Any other records containing current emergency or health-related information for current clients. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
(e) A client's records shall also be open to inspection by the client's authorized representative, if any. 
(f) The information specified in Sections 82070(b)(1)-(13) must be updated as necessary to ensure the accuracy of the client's record. 
(g) Original client records or photographic reproductions shall be retained for at least three years following termination of service to the client. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code. 
HISTORY

1. Renumbering of former section 82570 to new section 82070, including amendment of section and Note, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82071. Register of Clients.
Note     •     History

(a) The licensee shall maintain in the program site a register of all clients. The register shall be updated as needed; shall be immediately available to, and copied for, licensing staff upon request; and must contain current information on the following: 
(1) Client's name and ambulatory status as specified in Sections 82070(b)(1) and (8). 
(2) Name, address, and telephone number of client's attending physician. 
(3) Authorized representative information as specified in Section 82070(b)(5). 
(4) Client's restricted health condition(s) as specified in Section 82092(b). 
(A) The licensee may keep a separate client register with this information. 
(b) The licensee shall keep the register in a central location. 
(1) Registers are confidential, as specified in Section 82070(c). 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1507 and 1557.5, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82072. Personal Rights.
Note     •     History

(a) Each client shall have personal rights which include, but are not limited to, the following: 
(1) To be accorded dignity in his/her personal relationships with staff and other persons. 
(2) To be accorded safe, healthful and comfortable accommodations, furnishings and equipment to meet his/her needs. 
(3) To be free from corporal or unusual punishment, infliction of pain, humiliation, intimidation, ridicule, coercion, threat, mental abuse, or other actions of a punitive nature, including but not limited to: interference with the daily living functions, including eating, sleeping, or toileting; or withholding of shelter, clothing, medication, or aids to physical functioning. 
(4) To be informed, and to have his/her authorized representative, if any, informed, by the licensee of the provisions of law in Health and Safety Code Section 1538 regarding confidential or anonymous complaints and of the address and telephone number of the applicable licensing agency.
(5) To be free to attend religious services or activities of his/her choice and to have visits from the spiritual advisor of his/her choice. 
(A) Attendance at religious services, in or outside of the day program, shall be on a completely voluntary basis. 
(6) To leave or depart the day program at any time. 
(A) The licensee shall not be prohibited by this provision from setting house rules for the protection of clients. 
(B) This provision shall not apply to clients for whom a conservator, or other legal representative with authority to prohibit the client's departure, has been appointed. 
(7) Not to be locked in any room, building, or day program site. 
(A) The licensee shall not be prohibited by this provision from locking exterior doors and windows or from establishing rules for the protection of clients, provided the clients are able to exit the day program. 
(B) The licensee shall be permitted to utilize egress control devices as specified in Section 82087.5(a). 
(8) Not to be placed in any restraining device. Postural supports may be used under the following conditions: 
(A) Postural supports shall be limited to appliances or devices including braces, spring release trays, or soft ties, used to achieve proper body position and balance, to improve a client's mobility and independent functioning, or to position rather than restrict movement including, but not limited to, preventing a client from falling out of bed, a chair, etc. 
1. Physician-prescribed orthopedic devices such as braces or casts used for support of a weakened body part or correction of body parts are considered postural supports. 
(B) A written order from the client's physician indicating the need for postural supports shall be maintained in the client's record. The licensing agency shall be authorized to require additional documentation if needed to verify the order. 
(C) Postural supports shall be fastened or tied in a manner which permits quick release by the client. 
(D) Under no circumstances shall postural supports include tying of, or depriving or limiting the use of, a client's hands or feet. 
(E) Protective devices including, but not limited to, helmets, elbow guards, and mittens that do not prohibit a client's mobility but rather protect the client from self-injurious behavior are not to be considered restraining devices for the purpose of this regulation. Protective devices may be used if they are approved in advance by the licensing agency as follows: 
1. All requests to use protective devices shall be in writing and include a written order of a physician indicating the need for these devices. The licensing agency shall be authorized to require additional documentation including, but not limited to, the Individual Program Plan (IPP) as specified in Welfare and Institutions Code Section 4646, and the written consent of the authorized representative, in order to evaluate the request. 
2. The licensing agency shall have the authority to grant conditional and/or limited approvals to use protective devices. 
(9) To receive or reject medical care, or health-related services, except for clients for whom a conservator, or other legal authority has been appointed. 
(10) To be informed of the program's policy concerning family involvement and participation with clients. 
(b) At admission, a client and the client's authorized representative shall be personally advised of and given a list of the rights specified in Sections 82072(a)(1) through (10). 
(c) The information specified in Section 82072(b), in addition to the policy for visitors as stated in the admissions agreement, shall be prominently posted in areas accessible to clients and their visitors. 
(d) The licensee shall ensure that each client is accorded the personal rights as specified in this section. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1531 and 1538, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82073. Telephones.
Note     •     History

(a) All day programs shall have telephone service at the program site. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Section 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82074. Transportation.
Note     •     History

(a) Only drivers licensed for the type of vehicle operated shall be permitted to transport clients. 
(b) The manufacturer's rated seating capacity of the vehicles shall not be exceeded. 
(c) Motor vehicles used to transport clients shall be maintained in a safe operating condition. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Section 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82075. Health-Related Services.
Note     •     History

(a) The licensee shall ensure that each client receives necessary first aid and other needed medical or dental services, including arrangement for and/or provision of transportation to the nearest available services. 
(b) Clients shall be assisted as needed with self-administration of prescription and nonprescription medications. 
(1) Program staff who receive training from a licensed professional, may assist clients with metered-dose inhalers, and dry powder inhalers if the following requirements are met: 
(A) The licensee obtains written documentation from the licensed professional, outlining the procedures and the names of program staff whom they have trained in those procedures. 
(B) The licensee ensures that the licensed professional, reviews staff performance as necessary, but at least annually. 
(C) All staff training shall be documented in the facility personnel files. 
(2) Program staff, except those authorized by law, shall not administer injections but staff designated by the licensee shall be authorized to assist clients with self-administration of injections as needed. 
(3) Assistance with self-administration does not include forcing a client to take medications, hiding or camouflaging medications in other substances without the client's knowledge and consent, or otherwise infringing upon a client's right to refuse to take a medication as specified in Section 82072(a)(9). 
(4) If the client's physician has stated in writing that the client is able to determine and communicate his/her need for a prescription or nonprescription PRN medication, program staff shall be permitted to assist the client with self-administration of their PRN medication. 
(5) If the client's physician has stated in writing that the client is unable to determine his/her own need for nonprescription PRN medication, but can communicate his/her symptoms clearly, program staff designated by the licensee shall be permitted to assist the client with self-administration, providing all of the following requirements are met: 
(A) There is a written direction from a physician, on a prescription blank, specifying the name of the client, the name of the medication, instructions regarding a time or circumstance (if any) when it should be discontinued, and an indication of when the physician should be contacted for a medication reevaluation. 
(B) Once ordered by the physician the medication is given according to the physician's directions. 
(C) A record of each dose is maintained in the client's record. The record shall include the date and time the PRN medication was taken, the dosage taken, and the client's response. 
(6) If the client is unable to determine his/her own need for a prescription or nonprescription PRN medication, and is unable to communicate his/her symptoms clearly, program staff designated by the licensee, shall be permitted to assist the client with self-administration, provided all of the following requirements are met: 
(A) Staff shall contact the client's physician, physician assistant, or nurse practitioner prior to each dose, describe the client's symptoms, and receive direction to assist the client in self-administration of that dose of medication. 
(B) The date and time of each contact with the physician, physician assistant, or nurse practitioner and his or her directions, shall be documented and maintained in the client's record. 
(C) The date and time the PRN medication was taken, the dosage taken, and the client's response, shall be documented and maintained in the client's record. 
(c) A separate room or area specified in Section 82087(d) shall be used when separation from others is required. 
(d) There shall be privacy for first aid treatment of minor injuries and for examination or treatment by a medical professional if required. 
(e) When a client requires oxygen the licensee is responsible for the following: 
(1) Monitoring the client's ongoing ability to operate and care for the equipment in accordance with the physician's instructions, or if the client is unable to do so: 
(A) Ensuring that an adequate number of program staff persons are designated to operate and care for the equipment and that those staff persons receive training from the client's family or primary caregiver. 
1. The licensee shall maintain, in the client's file, documentation of the training and which staff members were trained. 
(2) Ensuring that the following conditions are met if oxygen equipment is in use: 
(A) The licensee makes a written report to the local fire jurisdiction that oxygen is in use at the day program. 
(B) “No Smoking -- Oxygen in Use” signs shall be posted in appropriate areas. 
(C) Smoking is prohibited where oxygen is in use. 
(D) All electrical equipment is checked for defects that may cause sparks. 
(E) Oxygen tanks that are not portable are secured either in a stand or to the wall. 
(F) Plastic tubing from the nasal canula (mask) to the oxygen source is long enough to allow the client movement but does not constitute a hazard to the client or others. 
(G) Clients use oxygen from a portable source when they are moving about in the day program. 
(H) Equipment is operable. 
(I) Program staff have knowledge and ability to operate and care for the oxygen equipment. 
(J) Equipment is removed from the day program when no longer in use by the client. 
(f) Staff responsible for providing direct care and supervision shall receive and maintain current training in first aid and cardiopulmonary resuscitation from persons qualified by agencies including, but not limited to, the American Red Cross. 
(1) Ensure that at least one full-time staff member who has a current certificate in cardiopulmonary resuscitation is present during operating hours. 
(g) If the day program has no medical unit at the program site, first aid supplies shall be maintained and be readily available in a central location. 
(1) The supplies shall include at least the following: 
(A) A current edition of a first aid manual approved by the American Red Cross, the American Medical Association or a state or federal health agency. 
(B) Sterile first aid dressings. 
(C) Bandages or roller bandages. 
(D) Adhesive tape. 
(E) Scissors. 
(F) Tweezers. 
(G) Thermometers. 
(H) Antiseptic solution. 
(h) There shall be at least one person in the day program at all times, who is capable of and responsible for communicating with emergency personnel. The following information shall be readily available to that person: 
(1) The name, address, and telephone number of each client's physician and dentist, and other medical and mental health providers, if any. 
(2) The name, address, and telephone number of each emergency agency, including, but not limited to the police department, the fire department, or paramedic unit. There shall be at least one medical resource available to be called at all times. 
(3) The name and telephone number of an ambulance service. 
(i) The licensee shall obtain, from the client or his/her authorized representative, an authorization to secure for the client necessary emergency medical services. 
(1) Such authorization shall be maintained on file in the facility. 
(2) The licensee shall not be required to obtain such an authorization from clients who adhere to a religious faith practicing healing by prayer or other spiritual means. 
(A) Under such circumstances, the licensee shall obtain a statement from the client or his/her authorized representative which states the adherence to such religion. 
(j) When a client requires prosthetic devices, or vision or hearing aids, the staff shall be familiar with the use of these devices and aids and shall assist the client with their utilization as needed. 
(k) Medications shall be centrally stored under the following circumstances: 
(1) Preservation of the medication requires refrigeration. 
(2) Any medication determined by the physician to be hazardous if kept in the personal possession of the client for whom it was prescribed. 
(3) Because of physical arrangements and the condition or the habits of persons in the day program, the medications are determined by either the administrator or by the licensing agency to be a safety hazard. 
(l) The following requirements shall apply to medications which are centrally stored: 
(1) Medication shall be kept in a safe and locked place that is not accessible to persons other than employees responsible for the supervision of the centrally stored medication. 
(2) Each container shall identify the items specified in Sections 82075(l)(7)(A) through (H). 
(3) All medications shall be labeled and maintained in compliance with label instructions and state and federal laws. 
(4) No person other than the dispensing pharmacist shall alter a prescription label. 
(5) Each client's medication shall be stored in its originally received container. 
(6) No medications shall be transferred between containers. 
(7) The licensee shall ensure the maintenance, for each client, of a record of centrally stored prescription medications which is retained for at least one year and includes the following: 
(A) The name of the client for whom prescribed. 
(B) The name of the prescribing physician. 
(C) The drug name, strength, and quantity. 
(D) The date filled. 
(E) The prescription number and the name of the issuing pharmacy. 
(F) Expiration date. 
(G) Number of refills. 
(H) Instructions, if any, regarding control and custody of the medication. 
(m) Prescription medications which are not taken with the client upon termination of services, or which are not to be retained shall be destroyed by the administrator, or a designated substitute, and one other adult who is not a client. 
(1) Both shall sign a record, to be retained for at least one year, which lists the following: 
(A) Name of the client. 
(B) The prescription number and the name of the pharmacy. 
(C) The drug name, strength, and quantity destroyed. 
(D) The date of destruction. 
(n) The adult day program shall notify the family/care provider and/or physician of any significant changes in the client's physical, emotional, or cognitive condition. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1531, Health and Safety Code. 
HISTORY

1. Amendment of section, including renumbering of portions of former section 82575 to section 82075, and amendment of Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82075.1. Daily Inspection for Illness.
Note     •     History

(a) The licensee shall ensure daily that clients with obvious symptoms of illness are not accepted in the day program unless they are separated from other clients.
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82075.2. Automated External Defibrillators (AEDs).
Note     •     History

(a) A licensee is permitted to maintain and operate an AED at the day program if all of the following conditions are met: 
(1) The licensee shall notify the district office in writing that an AED is at the program site and will be used in accordance with all applicable federal and other state requirements. 
(2) The AED shall be used in accordance with all applicable federal and other state requirements. 
(3) The licensee shall maintain at the program site the following: 
(A) A training manual from an American Heart Association- or American Red Cross-recognized AED training class. 
(B) A log of checks of operation of the AED containing the dates checked and the name of person checking. 
(C) A copy of a valid AED operator's certificate for any employee(s) authorized by the licensee to operate the AED. The certificate shall indicate that the AED training course completed complies with the standards of the American Heart Association or the American Red Cross. If it does not, then other evidence indicating that the AED training course completed complies with the standards of the American Heart Association or the American Red Cross shall be available at the facility. 
(4) AED use is limited to staff who are certified by the American Red Cross, American Heart Association, or other training organizations that meet the standards established by either the American Red Cross or American Heart Association. 
(5) A supply kit shall be maintained and be readily available for use with the AED. The kit shall contain at least the following: 
(A) A back-up battery set. 
(B) An extra set of pads. 
(C) A safety razor for shaving chest hair when necessary to apply the pads. 
(D) A cardiovascular pulmonary resuscitation barrier (a face shield or mask) for protection from transmission of infectious disease. 
(E) Two pairs of unused medical examination gloves (latex or non-latex). 
(6) Use of an AED shall be reported as specified in Section 82061(b)(1)(C). 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1507, 1531 and 1797.196, Health and Safety Code.  
HISTORY

1. New section filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
2. Amendment of section and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82076. Food Service.
Note     •     History

(a) In day programs providing meals to clients, the following shall apply:
(1) All food shall be selected, stored, prepared and served in a safe and healthful manner. All meals shall be of the quality and in the quantity necessary to meet the needs of the clients, and the requirements recommended by the U.S. Department of Agriculture, as specified in Title 7, Code of Federal Regulations, Section 226.20(c). 
(2) Where meal service within a day program is elective, arrangements shall be made to ensure availability of a daily food intake meeting the requirement of Section 82076(a)(1) for all clients who, in their admission agreement, elect meal service. 
(3) Between meal nourishment or snacks shall be available for all clients unless limited by dietary restrictions prescribed by a physician. 
(4) Menus shall be written at least one week in advance and copies of the menus as served shall be dated and kept on file for at least 30 days. Menus shall be made available for review by the clients or their authorized representatives and the licensing agency upon request. 
(5) Modified diets prescribed by a client's physician as a medical necessity shall be provided. 
(A) The licensee shall obtain and follow instructions from the physician or dietitian on the preparation of the modified diet. 
(6) Commercial foods shall be approved by appropriate federal, state and local authorities. All foods shall be selected, transported, stored, prepared and served so as to be free from contamination and spoilage and shall be fit for human consumption. Food in damaged containers shall not be accepted, used or retained. 
(7) Where indicated, food shall be cut, chopped or ground to meet individual needs. 
(8) Powdered milk shall not be used as a beverage, but shall be allowed in cooking and baking. Milk given to clients shall be pasteurized. 
(9) Except upon written approval by the licensing agency, meat, poultry and meat food products shall be inspected by state or federal authorities. Written evidence of such inspection shall be available for all products not obtained from commercial markets. 
(10) Home canned foods shall not be used. 
(11) If food is prepared off the day program premises, the following shall apply: 
(A) The preparation source shall meet all applicable requirements for commercial food services. 
(B) The day program shall have the equipment and staff necessary to receive and serve the food and for cleanup. 
(C) The day program shall maintain the equipment necessary for in-house preparation, or have an alternate source for food preparation, and service of food in emergencies. 
(12) All persons engaged in food preparation and service shall observe personal hygiene and food services sanitation practices which protect the food from contamination. 
(13) All foods or beverages capable of supporting rapid and progressive growth of microorganisms which can cause food infections or food intoxications shall be stored in covered containers at 45 degrees F (7.2 degrees C) or less. 
(14) Pesticides and other similar toxic substances shall not be stored in food storerooms, kitchen areas, food preparation areas, or areas where kitchen equipment or utensils are stored. 
(15) Soaps, detergents, cleaning compounds or similar substances shall be stored in areas separate from food supplies. 
(16) All kitchen, food preparation, and storage areas shall be kept clean, free of litter and rubbish, and measures shall be taken to keep all such areas free of rodents, and other vermin. 
(17) All food shall be protected against contamination. Contaminated food shall be discarded immediately. 
(18) All equipment, fixed or mobile, dishes, and utensils shall be kept clean and maintained in safe condition. 
(19) All dishes and utensils used for eating and drinking and in the preparation of food and drink, shall be cleaned and sanitized after each usage. 
(A) Dishwashing machines shall reach a temperature of 165 degrees F (74 degrees C) during the washing and/or drying cycle to ensure that dishes and utensils are cleaned and sanitized. 
(B) Day programs not using dishwashing machines shall clean and sanitize dishes and utensils by an alternative comparable method. 
(20) Equipment necessary for the storage, preparation and service of food shall be provided, and shall be well-maintained. 
(21) Tableware and tables, dishes, and utensils shall be provided in the quantity necessary to serve the clients. 
(22) Adaptive devices shall be provided for self-help in eating as needed by clients. 
(b) The licensing agency shall have the authority to require the licensee to provide written information, including menus, regarding the food purchased and used over a given period when it is necessary to determine if the licensee is in compliance with the food service requirements in the regulations in this Division. 
(1) The licensing agency shall specify in writing the written information required from the licensee. 
(c) A client in care for less than eight hours shall be provided meals and snacks so that no more than three and a half hours elapses between food service.
(d) A client in care for a period of eight hours or longer, shall be provided a midmorning snack, lunch and a midafternoon snack.
(e) A licensee who accepts a client at 7:00 a.m. or earlier shall include a provision in the admission agreement of that client, stating whether or not breakfast will be provided by the day program.
(f) Clients shall be permitted to bring their own food to the day program.
(1) If the client brings all or part of his/her own food to the day program, the licensee shall ensure that the food service requirements specified in Sections 82076(c) and (d) are met.
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 6-6-94; operative 7-6-94 (Register 94, No. 23).
2. Amendment of section and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82077. Personal Services.
Note     •     History

(a) Information and referral services shall be available to the clients and their families. 
(b) The adult day program shall establish linkages with other community agencies and instructions to staff to coordinate services. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. Renumbering of former section 82577 to new section 82077, including amendment of section and Note, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82077.2. Care for Clients Who Rely Upon Others to Perform All Activities of Daily Living.
Note     •     History

(a) A licensee may accept or retain a client who relies upon others to perform all activities of daily living for them. 
(b) Prior to accepting such a client into care, the licensee shall complete the following: 
(1) An approved plan of operation demonstrating the licensee's ability to care for these clients as specified in Section 82022(d). 
(2) A Needs and Services Plan, as required by the program-specific regulations, that includes all of the following: 
(A) A plan to monitor the client's skin condition, including: 
1. Specific guidelines for turning the client (time, method, acceptable positions). 
2. Skin breakdown. 
3. Objective symptoms, observable by a lay person, indicating when a licensed professional must be contacted. 
(B) A method for feeding the client and providing him/her with hydration. 
(C) A method for determining the client's needs. 
(D) A method for communicating with the client. 
(E) A list of emergency contacts and a list of readily observable conditions that indicate when emergency intervention is necessary. 
(F) A list of persons to contact in the event of nonemergency client distress or discomfort and a list of readily observable conditions that indicate when the licensee is to contact those persons. 
(G) A description of the client-specific training that program staff will receive. 
1. The training may be provided by the client's health care provider (physician or nurse), the client's physical or mental health therapist, social worker, or placement worker, within their individual scopes of practice. 
2. The training must include the client's needs and objective symptoms that indicate when the licensee is to obtain health care or other type of assistance.
3. The training may be provided by the client's primary caregiver, including the client's family or the administrator of the client's residential or health facility providing the primary caregiver has received training as specified in Sections 82077.2(b)(2)(G)1. and 2. 
(H) The licensee's agreement to document significant occurrences that result in changes in the client's physical, mental, and/or functional capabilities. This documentation must be retained in the client's record and be readily available for review by the client's health care providers and the Department. 
(c) The Department may require any additional information it considers necessary to ensure the safety of clients. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82077.4. Care for Clients With Incontinence.
Note     •     History

(a) A licensee may accept or retain a client who has bowel and/or bladder incontinence. 
(b) If a licensee accepts or retains a client who has bowel and/or bladder incontinence, the licensee is responsible for all of the following: 
(1) Ensuring that incontinent care products appropriate to the needs of a client are used whenever they are needed. 
(2) Ensuring that a client who can benefit from scheduled toileting is assisted or reminded to go to the bathroom at regular intervals rather than being diapered. 
(3) Assisting a client with self-care. 
(4) Ensuring that a client is kept clean and dry, and that the day program remains free of odors. 
(5) Ensuring that, where prescribed, bowel and/or bladder programs are designed by a licensed professional or designee. The person designing the program must have training and experience in care of persons with bowel and/or bladder dysfunction and development of retraining programs for establishing normal patterns of continence. 
(A) The licensee shall ensure that a client is assisted with a structured bowel and/or bladder retraining program if one has been designed. 
(B) The licensee shall ensure that staff responsible for implementing the program receive training from the licensed professional or his/her designee who designed the program. 
(C) The licensee obtains from the licensed professional or his/her designee written instructions to staff outlining the procedures and shall document the names of staff who received the training. 
(D) The licensee shall ensure that the licensed professional or his/her designee evaluates the effectiveness of the program and staff as the licensed professional or designee deems appropriate, but at least annually. 
(6) Ensuring that the condition of the skin exposed to urine and stool is evaluated regularly to ensure that skin breakdown is not occurring. 
(7) Ensuring privacy when care is provided. 
(8) Providing needed incontinence supplies when the client or a third party is unable to do so. 
(9) Ensuring that fluids are not withheld to control incontinence. 
(10) Ensuring that a client is not catheterized to control incontinence for the convenience of the licensee or program staff. 
(11) The licensee shall obtain a change of clothing from a client in case clothing becomes wet or soiled. 
(12) After each incontinent elimination, washcloths, towels, soiled bedding, clothing, and any cloths used for cleansing shall be placed in a sealed container and shall be laundered and sanitized. 
(13) Disposable diapers, panty shield products, and disposables used for cleansing shall be disposed of in a sealed bag. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section, including renumbering of portions of former section 82588 to new subsections 82077.4(b)(11)-(13), filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82077.5. Care for Clients With Contractures.
Note     •     History

(a) A licensee may accept or retain a client who has contractures. 
(b) If a licensee accepts or retains a client who has contractures, the licensee is responsible for all of the following: 
(1) Monitoring the client's ongoing ability to care for his/her contractures in accordance with the physician's instructions. 
(2) Ensuring that care is provided by a licensed professional or trained program staff when the client is unable to provide self-care. 
(A) The licensee shall ensure that program staff responsible for assisting with range of motion exercises or other exercise(s) prescribed by the physician or therapist receive supervision and training from a licensed professional. 
(B) The licensee obtains from the licensed professional written documentation outlining the procedures for the exercises and the names of program staff who received the training. 
(C) The licensee shall ensure that the licensed professional reviews staff performance as the licensed professional deems necessary, but at least once a year. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82078. Responsibility for Providing Care and Supervision.
Note     •     History

(a) The licensee shall provide care and supervision necessary to meet the client's needs and all services specified in the admission agreement.
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82079. Planned Activities.
Note     •     History

(a) The licensee shall provide opportunities for, and encourage participation in activities, including but not limited to:
(1) Activities that require group interaction.
(2) Daily living skills, including grooming, personal hygiene, social skills, cooking and simple homemaking tasks, and opportunities to learn about the community.
(3) Physical activities, including, but not limited to, games, sports and exercise unless contraindicated by the medical assessment specified in Sections 82069(b) and 82068.2, Needs and Services Plan.
(4) Leisure time to pursue personal interests.
(5) Education through special instruction and projects.
(b) The licensee shall provide the equipment and supplies necessary to meet the requirements of the planned activity program. 
(1) Equipment shall be safe and sanitary. 
(2) A variety of games, reading material, crafts and other materials shall be provided. 
(c) Provision shall be made for client rest periods which are required based on the medical assessment specified in Section 82069 or as desired by the client. 
(d) Activities shall be encouraged through provision of space, equipment and supplies as specified in Sections 82079(b), 82087.2, Outdoor Activity Space, and 82087.3, Indoor Activity Space.
(e) Activities shall be designed to meet the client's specific needs and interests, as determined by the Needs and Services Plan, and shall be consistent with the program's plan of operation. 
(1) Activities shall be planned by the administrator or the direct care staff allowing input from clients, family, careproviders, or volunteers. 
(2) A written plan of activities shall be consistent with the program goals. The plan is an on-going process, and shall be reviewed and revised as necessary to assure that the program and clients' goals are being met. 
(3) All program activities shall be supervised by direct care staff. 
(4) A schedule of activities shall be made available upon request. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section, including renumbering of portions of former sections 82088 and 82579 to section 82079, and amendment of Note, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Article 7. Physical Environment
§82086. Alterations to Existing Buildings or New Facilities.
Note     •     History

(a) Prior to construction or alterations, all licensees shall notify the licensing agency of the proposed change. 
(b) The licensing agency shall have the authority to require that the licensee have a building inspection by a local building inspector if the agency suspects that a hazard to the clients' health and safety exists. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82087. Buildings and Grounds.
Note     •     History

(a) The program site shall be clean, safe, sanitary and in good repair at all times for the safety and well-being of clients, employees and visitors. 
(1) The licensee shall take measures to keep the site free of flies and other insects. 
(2) The licensee shall provide for the safe disposal of water and other chemicals used for cleaning purposes. 
(3) Disinfectants, cleaning solutions, poisons, and other items which could pose a danger if readily available to clients shall be stored where inaccessible to clients. 
(A) Storage areas for poisons shall be locked. 
(b) All clients shall be protected against hazards within the program site through provision of the following: 
(1) Protective devices including, but not limited to, nonslip material on rugs. 
(c) All outdoor and indoor passageways, stairways, inclines, ramps, open porches, and other areas of potential hazard shall be kept free of obstruction. 
(d) The licensee shall provide a separate room or area for use by ill clients. 
(e) General permanent or portable storage space shall be available for the storage of equipment and supplies. 
(1) Program equipment and supplies shall be stored in this space and shall not be stored in space used to meet other requirements as specified in Sections 82087(h) and (i), 82087.4, Storage Space, and 82087.3, Indoor Activity Space. 
(f) Licensees serving clients who have physical handicaps, mental disorders, or developmental disabilities shall ensure the inaccessibility of pools, including swimming pools (in-ground and above-ground), fixed-in-place wading pools, hot tubs, spas, fish ponds or similar bodies of water through a pool cover or by surrounding the pool with a fence. 
(1) Fences shall meet the requirements of Health and Safety Code Section 115923. 
(A) If licensed prior to June 1, 1995, program sites with existing pool fencing shall be exempt from the fence requirements until the fence is replaced or structurally altered. If the licensee replaces or alters the fence, it shall meet the requirements. 
(2) Fence gates shall swing away from the pool, self-close and have a self-latching device located no more than six inches from the top of the gate. 
(3) Pool covers shall be strong enough to completely support the weight of an adult and shall be placed on the pool and locked while the pool is not in use. 
(4) Where an above-ground pool structure is used as the fence or where the fence is mounted on top of the pool structure, the pool shall be made inaccessible when not in use by removing or making the ladder inaccessible or erecting a barricade to prevent access to decking. If a barricade is used, the barricade shall meet the requirements of Section 82087(f)(1). 
(g) All in-ground pools, and above-ground pools which cannot be emptied after each use shall have an operative pump and filtering system. 
(h) There shall be office space available at the program site for private interviews conducted by staff. 
(i) Rooms or areas for rest periods shall be provided.
(j) Sufficient parking area shall be available for safe arrival and departure of clients. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section, including redesignation and amendment of former subsection 82587(e) as 82087(j), and amendment of Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82087.2. Outdoor Activity Space.
Note     •     History

(a) If outdoor activity space is provided, it shall: 
(1) Be free of hazards. 
(2) Provide protection from traffic. 
(3) Provide a shaded rest area for the clients. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New subsection (c) filed 6-6-94; operative 7-6-94 (Register 94, No. 23).
2. Repealer of section and renumbering of former section 82587.2 to section 82087.2, including amendment of section and Note, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82087.3. Indoor Activity Space.
Note     •     History

(a) The licensee shall ensure safe and healthy indoor activity space for clients. 
(b) A space shall be provided for clients not actively participating in the planned activity programs. 
(1) This area may be a library, study room, or place adjacent to the activity. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Repealer of section and renumbering of former section 82587.3 to section 82087.3, including amendment of section and Note, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82087.4. Storage Space.
Note     •     History

(a) There shall be space available for storage of clients' personal belongings.
(b) There shall be space available for storage of equipment and supplies necessary to implement the planned activity program.
(c) There shall be space available for storage of staff members' personal belongings.
(d) There shall be space available on the premises for storage of the program records as specified in Sections 82066, Personnel Records, 82068(e), 82068.2, Needs and Services Plan, 82068.3, Modifications to Needs and Services Plan, 82070, Client Records, and 82071, Register of Clients. 
(e) Storage space may be either permanent or portable. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. Amendment of section and new Note filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82087.5. Delayed Egress Devices.
Note     •     History

(a) To utilize the option of delayed egress devices on exterior doors or perimeter fence gates, the licensee must meet the following initial and continuing requirements: 
(1) The licensee shall notify the licensing agency immediately after determining the date that the device will be installed. 
(2) The licensee shall ensure that the fire clearance includes approval of delayed egress devices. 
(3) Fire and earthquake drills shall be conducted at least once every three months on each shift and shall include, at a minimum, all direct care staff. 
(4) Without violating Section 82072(a)(6), program staff shall attempt to redirect a client who attempts to leave the program. 
(5) Clients who continue to indicate a desire to leave the program site following redirection shall be permitted to do so. 
(6) For each incident in which a client wanders away from the program site unsupervised, the licensee shall report the incident to the licensing agency, the client's conservator and/or other responsible person, if any, and to any family member who has requested notification. The report shall be made by telephone no later than the next working day and in writing within seven calendar days. 
(7) Delayed egress devices shall not substitute for trained staff in sufficient numbers to meet the care and supervision needs of all clients and to escort clients who leave the program. 
NOTE

Authority cited: Sections 1530, 1530.1 and 1531.2(a), Health and Safety Code. Reference: Sections 1501, 1502, 1531 and 1531.2(c), Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82088. Fixtures, Furniture, Equipment, and Supplies.
Note     •     History

(a) A comfortable temperature for clients shall be maintained at all times. 
(1) The licensee shall maintain the temperature in rooms that clients occupy between a minimum of 68 degrees F (20 degrees C) and a maximum of 85 degrees F (30 degrees C). 
(A) In areas of extreme heat, the maximum shall be 30 degrees F (16.6 degrees C) less than the outside temperature. 
(b) All window screens shall be in good repair and be free of insects, dirt and other debris. 
(c) Fireplaces and open-faced heaters shall be made inaccessible to clients to ensure protection of the clients' safety. 
(1) The use of a fireplace screen or similar barrier will meet this requirement. 
(d) The licensee shall provide lamps or lights as necessary in all rooms and other areas to ensure the comfort and safety of all persons in the day program. 
(e) Faucets used by clients for personal care shall deliver hot water. 
(1) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures to attain a hot water temperature of not less than 105 degrees F (40.5 degrees C) and not more than 120 degrees F (48.8 degrees C). 
(2) Taps delivering water at 125 degrees F (51.6 degrees C) or above shall be prominently identified by warning signs. 
(3) All toilets, hand washing and bathing facilities shall be maintained in safe and sanitary operating condition. Additional equipment, aids, and/or conveniences shall be provided in day programs accommodating physically handicapped clients who need such items. 
(f) Solid waste shall be stored, located and disposed of in a manner that will not transmit communicable diseases or odors, create a nuisance, or provide a breeding place or food source for insects or rodents. 
(1) All containers, including movable bins, used for storage of solid wastes shall have tight-fitting covers kept on the containers; shall be in good repair, shall be leakproof and rodent-proof. 
(2) Solid waste containers, including movable bins, receiving putrescible waste shall be emptied at least once per week or more often if necessary. 
(3) Each movable bin shall provide for suitable access and a drainage device to allow complete cleaning at the storage area. 
(g) The licensee shall provide linens of various kinds necessary to meet the services being offered by the day program. 
(h) Based upon the total licensed capacity, one handwashing facility, and one toilet providing individual privacy, shall be maintained for every 15 clients, or fraction thereof. 
(1) Adult day programs licensed prior to July 1989 shall be permitted to continue operations with the toilet facilities previously approved. 
(i) Use of common towels and washcloths shall be prohibited. 
(j) If beds are provided for resting, they shall be arranged to allow for unobstructed passage of personnel and of clients with assistive devices including, but not limited to, wheelchairs and walkers. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. Amendment of section heading and section, including renumbering of portions of former section 82088 to section 82079, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82088.2. Drinking Water.
Note     •     History

(a) Drinking water from a noncontaminating fixture or container shall be readily available both indoors and outdoors. 
(1) Clients shall be permitted to drink water whenever they wish. 
(2) Bottled water or portable containers shall be permitted provided that: 
(A) The water and containers are kept free of contaminations. 
(B) Bottled water containers are secured to prevent tipping and breaking. 
(3) All water used for drinking shall be safe for human consumption. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. Amendment of subsection (a) filed 6-6-94; operative 7-6-94 (Register 94, No. 23).
2. Repealer of section and renumbering of former section 82588.2 to section 82088.2, including amendment of section and Note, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Article 8. Incidental Medical Services
§82090. Health and Safety Services.
Note     •     History

(a) Waivers or exceptions will not be granted to accept or retain clients who have health conditions prohibited by Section 82091(a). 
(b) The Department may grant an exception allowing acceptance or retention of a client who has a medical or health condition not listed in Section 82092, Restricted Health Conditions, if all of the following requirements are met: 
(1) Either the condition is chronic and stable, or it is temporary in nature and is expected to return to a condition normal for that client. 
(2) The client must be under the medical care of a licensed professional. 
(3) The licensee has developed a plan of care for the client as specified in Sections 82068.2(f) and 82092.2(a). 
(4) The client is able to care for all aspects of the condition. 
(5) If the client is unable to care for all aspects of the condition, a licensed professional, or facility staff who receive supervision and training from a licensed professional, may assist the client in the care of the condition. 
(A) Training shall include hands-on instruction in both general procedures and client-specific procedures. 
(B) The licensee obtains from the licensed professional written documentation outlining the procedures and the names of facility staff who received the training. 
(C) The licensee ensures that the licensed professional reviews staff performance as the licensed professional deems necessary, but at least once a year. 
(6) The licensee agrees in writing to comply with all aspects of the client's care plans. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code. 
HISTORY

1. New article 8 (sections 82090-82093) and section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82091. Prohibited Health Conditions.
Note     •     History

(a) Clients who require health services or have a health condition including, but not limited to, those specified below shall not be admitted or retained. 
(1) Naso-gastric and naso-duodenal tubes. 
(2) Active, communicable TB. 
(3) Conditions that require 24-hour nursing care and/or monitoring. 
(4) Stage 3 and 4 pressure sores (dermal ulcers). 
(5) Any other condition or care requirements which would require the day program to be licensed as a health facility as defined by Health and Safety Code Section 1250. 
(b) Waivers and exceptions will not be granted to accept or retain clients who have health conditions prohibited by Section 82091(a). 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092. Restricted Health Conditions.
Note     •     History

(a) Adult day programs may accept or retain clients who have the conditions listed in Section 82092(b) only if all requirements of Article 8, Incidental Medical Services, are met. 
(b) Care for the following health conditions must be provided only as specified in Sections 82092.1 through 82092.11. 
(1) Use of inhalation-assistive devices as specified in Section 82092.3. 
(2) Colostomy/ileostomies as specified in Section 82092.4. 
(3) Requirement for fecal impaction removal, enemas, and suppositories, only as specified in Section 82092.5. 
(4) Use of catheters as specified in Section 82092.6. 
(5) Staph or other serious, communicable infections as specified in Section 82092.7. 
(6) Insulin-dependent Diabetes as specified in Section 82092.8. 
(7) Stage 1 and 2 pressure sores (dermal ulcers) as specified in Section 82092.9. 
(8) Wounds as specified in Section 82092.9. 
(9) Gastrostomies as specified in Section 82092.10. 
(10) Tracheostomies as specified in Section 82092.11. 
(c) Conditions not listed in Section 82092(b) may be allowed if the requirements of Section 82090(b) are met. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.1. General Requirements for Restricted Health Conditions.
Note     •     History

(a) A client with a restricted health condition specified in Section 82092 may be admitted or retained if all of the following requirements are met: 
(1) The licensee is willing to provide the needed care. 
(2) Care is provided as specified in this article. 
(3) The client's medical condition is chronic and stable, or is temporary in nature and expected to return to a condition normal for that client. 
(4) The client must be under the medical care of a licensed professional. 
(5) Prior to admission of a client with a restricted health condition specified in Section 82092, the licensee shall: 
(A) Communicate with all other persons who provide care to that client to ensure consistency of care for the medical condition. 
(B) Ensure that program staff who will participate in meeting the client's specialized care needs complete training provided by a licensed professional sufficient to meet those needs. 
1. Training shall include hands-on instruction in both general procedures and client-specific procedures. 
(6) All new program staff who will participate in meeting the client's specialized care needs shall complete the training prior to providing services to the client. 
(7) The licensee shall ensure that program staff receive instruction in recognizing objective symptoms observable by a lay person, and responding to that client's health problems, including whom to contact. The instruction shall be from the client's physician or other licensed professional. 
(8) The licensee shall monitor the client's ability to provide self-care for the restricted health condition, document any change in that ability, and inform the persons identified in Section 82092.2(a)(1) of that change. 
(9) Should the condition of the client change, all staff providing care and services shall complete any additional training required to meet the client's new needs, as determined by the client's physician or a licensed professional designated by the physician. 
(10) If the licensed professional delegates routine care, the following requirements must be met for health conditions specified in Section 82092.3, 82092.4 and 82092.6: 
(A) The licensee obtains written documentation from the licensed professional outlining the procedures and the names of the program staff who have been trained in those procedures. 
(B) The licensee ensures that the licensed professional reviews staff performance as often as necessary, but at least annually. 
(11) All training shall be documented in the personnel files. 
(12) The licensee shall ensure that the client's health-related service needs are met and shall follow the approved plan for each client. 
(13) The licensee shall document any significant occurrences that result in changes in the client's physical, mental and/or functional capabilities and report these changes to the client's physician and authorized representative. 
(14) The licensee shall demonstrate compliance with the restricted health condition care plan by maintaining all relevant documentation at the program site. 
(15) The licensee shall report any substantive deviation from the care plan to the client's authorized representative. 
(b) The duty established by this section does not infringe on a client's right to receive or reject medical care or services, as allowed in Section 82072, Personal Rights. 
(1) If a client refuses medical services specified in the care plan, the licensee shall immediately notify all persons identified in Section 82092.2(a)(1) and shall participate in developing a plan for meeting the client's needs. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502, 1507 and 1530, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.2. Restricted Health Condition Care Plan.
Note     •     History

(a) The licensee who chooses to care for a client with a restricted health condition may use a copy of the Restricted Health Care Plan from the client's residential setting provided that the information required in Section 82092.2(a)(4), specific to the day program, is added. If the client does not have a Restricted Health Condition Care Plan, the licensee must develop a plan. The plan must include all of the following: 
(1) Documentation that the client and the client's authorized representative, if any, the client's physician or a licensed professional designated by the physician, and the placement agency, if any, participated in the development of the plan. 
(2) Documentation by the client's physician or a licensed professional designated by the physician, of the following: 
(A) Stability of the medical condition. 
(B) Medical conditions that require services or procedures. 
(C) Specific services needed. 
(D) Client's ability to perform the procedures. 
(E) The client does not require 24-hour nursing care and/or monitoring. 
(3) Identification of a licensed professional who will perform procedures if the client needs medical assistance. 
(4) Identification of the person(s) who will perform incidental medical assistance that does not require a licensed professional. 
(5) Name and telephone number of emergency medical contacts. 
(6) A date specified by the client's physician or designee, who is also a licensed professional, when the plan must be reviewed by all parties identified in Section 82092.2(a)(1). At a minimum, the plan shall be reassessed every 12 months, as required by Section 1507(c)(2)(B) of the Health and Safety Code. 
(7) A signed statement from the client's physician that the plan meets medical scope of practice requirements. 
(8) For clients of a placement agency, a signed statement from a representative of the placement agency that he/she has reviewed and approved the plan and that the placement agency will monitor implementation of the plan. 
(9) The Restricted Health Condition Care Plan shall neither require nor recommend that the licensee or any program personnel or any other person providing care, other than a physician or licensed professional, implement any health care procedure that may legally be provided only by a physician or licensed professional. 
NOTE

Authority cited: Sections 1530, 1507 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.3. Inhalation-Assistive Devices.
Note     •     History

(a) A licensee may accept or retain a client who requires the use of an inhalation-assistive device, as defined in Section 82001(i), if all of the following conditions are met: 
(1) The licensee is in compliance with Section 82092.1, General Requirements for Restricted Health Conditions. 
(2) The licensee monitors the client's ongoing ability to operate and care for the device in accordance with the physician's instructions. 
(3) The licensee ensures that either: 
(A) The device is operated and cared for by a licensed professional when the client is unable to operate the device, or determine his/her own need; or 
(B) The device can legally be operated by an unlicensed person and is cared for by program staff who receive training from a licensed professional as required by Section 82092.1(a)(5)(B). 
(4) The licensee ensures that: 
(A) The device is functional; and 
(B) The device is removed from the day program when no longer prescribed for use by the client. 
(5) The licensee ensures that the room containing the device is large enough both to accommodate it and to allow easy passage of clients and staff. 
(6) The licensee ensures that program staff have the knowledge of and ability to care for the device. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.4. Colostomy/Ileostomy.
Note     •     History

(a) A licensee may accept or retain a client who has a colostomy or ileostomy if all of the following conditions are met: 
(1) The client is mentally and physically capable of providing all routine care for his/her ostomy, and the physician has documented that the ostomy is completely healed. 
(2) A licensed professional provides assistance in the care of the ostomy. 
(3) The licensee is in compliance with Section 82092.1, General Requirements for Restricted Health Conditions. 
(4) The licensee monitors the client's ongoing ability to provide care for his/her ostomy in accordance with the physician's instructions. 
(5) The licensee ensures that: 
(A) A licensed professional provides ostomy care when the client is unable to provide self-care; and 
(B) The ostomy bag and adhesive may be changed by program staff who receive training from the licensed professional as required by Section 82092.1(a)(5)(B). 
(6) The licensee ensures that used bags are discarded as specified in Section 82088(f). 
(7) The licensee ensures privacy when ostomy care is provided. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.5. Fecal Impaction Removal, Enemas, or Suppositories.
Note     •     History

(a) A licensee may accept or retain a client who requires manual fecal impaction removal, enemas, or use of suppositories if all of the following conditions are met: 
(1) The licensee is in compliance with Section 82092.1, General Requirements for Restricted Health Conditions. 
(2) The licensee monitors the client's ongoing ability to provide his/her own routine care in accordance with the physician's instructions. 
(3) The licensee ensures that a licensed professional administers the fecal impaction removal, the enemas, or suppositories when the client is unable to do so for himself/herself. 
(4) The licensee ensures that a licensed professional performs manual fecal impaction removal whenever it is necessary. 
(5) The licensee ensures privacy when care is being provided. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.6. Indwelling Urinary Catheter/Catheter Procedure.
Note     •     History

(a) A licensee may accept or retain a client who requires an indwelling catheter if all of the following conditions are met: 
(1) The client is physically and mentally capable of caring for all aspects of the condition except insertion, removal and irrigation. 
(A) Irrigation shall only be performed by a licensed professional in accordance with the physician's orders. 
(B) Insertion and removal shall only be performed by a licensed professional. 
(2) The licensee is in compliance with Section 82092.1, General Requirements for Restricted Health Conditions. 
(3) The licensee monitors the client's ongoing ability to care for his/her catheter in accordance with the physician's instructions. 
(4) The licensee ensures that catheter care is provided by a licensed professional when the client is unable to provide self-care. The catheter bag may be emptied by program staff who receive training from the licensed professional as required by Section 82092.1(a)(5)(B). 
(5) The licensee ensures that insertion, removal and irrigation of the catheter, or any required catheter care other than that specified in Section 82092.6(a)(4), are performed by a licensed professional. 
(6) The licensee ensures that waste materials are disposed of as specified in Section 82088(f). 
(7) The licensee ensures privacy when care is provided. 
NOTE

Authority cited: Section 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code.
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.7. Staph or Other Serious, Communicable Infections.
Note     •     History

(a) A licensee may accept or retain a client who has a staph or other serious communicable infection if all of the following conditions are met: 
(1) The licensee is in compliance with Section 82092.1, General Requirements for Restricted Health Conditions. 
(2) The licensee has obtained a statement from the client's physician that the infection is not a risk to other clients. 
(3) The licensee monitors the client's ongoing ability to care for his/her own condition by complying with the instructions of the licensed professional who is managing the client's care. 
(A) The licensed professional may delegate certain aspects of the care providing the program staff responsible for providing the care receive training from a licensed professional as required by Section 82092.1(a)(5)(B) prior to providing care. 
(4) The licensee ensures that a licensed professional assesses the infection and evaluates the treatment at intervals set by the physician or a licensed professional designated by the physician. 
(5) The licensee ensures that prior to providing care, staff are trained in and follow Universal Precautions and any other procedures recommended by the licensed professional for the protection of the client who has the infection and other clients and staff. 
(6) The licensee ensures that all aspects of care performed in the program by the licensed professional and program staff are documented in the client's file. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.8. Diabetes.
Note     •     History

(a) A licensee may accept or retain a client who has diabetes if all of the following conditions are met: 
(1) The licensee is in compliance with Section 82092.1, General Requirements for Restricted Health Conditions. 
(2) The client is mentally and physically capable of administering his/her own medication and performing his/her own glucose testing if applicable or a licensed professional administers the tests and injections. 
(A) The licensed professional may delegate to trained program staff glucose testing provided all of the following conditions are met: 
1. The blood glucose monitoring test is performed with a blood glucose monitoring instrument that has been approved by the federal Food and Drug Administration for over-the-counter sale. 
2. The licensee ensures that program staff responsible for glucose testing receive training from a licensed professional as required by Section 82092.1(a)(5)(B). 
3. Program staff comply with the instructions of the licensed professional regarding the performance of the test and the operation of the blood glucose monitoring instrument. 
4. Program staff immediately notify the client's physician if the results are not within the normal range for the client. 
5. The licensee ensures that the results of each blood glucose test performed by program staff are documented and maintained in the client's record. 
(3) The licensee ensures that sufficient amounts of medicines, testing equipment, syringes, needles, and other supplies are maintained and stored at the program site. 
(4) The licensee ensures that injections are administered immediately after a syringe is filled unless the client is using prefilled syringes prepared by a registered nurse, pharmacist or drug manufacturer. 
(5) The licensee ensures that syringes and needles are disposed of in accordance with Title 8, California Code of Regulations, Section 5193. 
(6) The licensee provides a modified diet as prescribed by a client's physician, as specified in Section 82076(a)(5). Any substitutions shall be made by the program dietitian or in consultation with a registered dietician or the client's physician or medical provider. 
(A) Where food is provided, the licensee shall provide a modified diet as specified by the client's physician or family or primary caregiver. 
(7) The licensee ensures that all program staff who provide care receive training in recognizing the signs and symptoms of hyperglycemia and hypoglycemia and in taking appropriate action for client safety. 
(b) For clients who provide self-care, the licensee shall: 
(1) Monitor the client's ongoing ability to perform his/her glucose testing and administer his/her medication in accordance with the physician's instructions; and 
(2) Assist clients with self-administered medication, as specified in Section 82075, Health Related Services. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.9. Wounds.
Note     •     History

(a) A licensee may accept or retain a client who has a serious wound if all of the following conditions are met: 
(1) The licensee is in compliance with Section 82092.1, General Requirements for Restricted Health Conditions. 
(2) The wound is either an unhealed, surgically closed incision or wound, or determined by the physician or a licensed professional designated by the physician to be a Stage 1 or 2 pressure sore (dermal ulcer) and is expected by the physician or designated professional to completely heal. 
(3) The licensee ensures that a licensed professional provides the wound care in accordance with the physician's instructions. 
(A) The licensed professional may delegate simple dressing to program staff who receive training from a licensed professional as required by Section 82092.1(a)(5)(B). 
(4) The licensee ensures that a licensed professional assesses the wound at intervals set by the physician, or a licensed professional designated by the physician, to evaluate treatment and progress toward healing. 
(5) The licensee ensures that all aspects of care performed by the licensed professional and program staff are documented in the client's file. 
(b) Nonserious wounds, which include, but are not limited to, minor cuts, punctures, lacerations, abrasions, and first-degree burns are not affected by this section. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.10. Gastrostomy Feeding, Hydration, and Care.
Note     •     History

(a) A licensee may accept or retain a client who requires gastrostomy care, feeding, and/or hydration if all of the following conditions are met: 
(1) The licensee is in compliance with Section 82092.1, General Requirements for Restricted Health Conditions. 
(2) The physician has documented that the gastrostomy is completely healed. 
(3) The licensee monitors the client's ongoing ability to provide all routine feeding, hydration and care for his/her gastrostomy in accordance with the physician's instructions. 
(4) The licensee ensures that gastrostomy feeding, hydration, medication administration through the gastrostomy, and stoma cleaning are provided by a licensed professional when the client is unable to provide his/her own feeding, hydration and care. 
(A) The licensed professional may delegate the following tasks to program staff who receive training from a licensed professional as specified in Section 82092.1(a)(5)(B): 
1. Gastrostomy feeding, hydration, and stoma cleaning. 
2. For routine medications, trained staff may add medication through the gastrostomy per physician's or nurse practitioner's orders. 
3. For PRN medications, trained staff may add medications through the gastrostomy in accordance with Sections 82075(b) through (d). 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82092.11. Tracheostomies.
Note     •     History

(a) A licensee may accept or retain a client who has a tracheostomy if all of the following conditions are met: 
(1) The licensee is in compliance with Section 82092.1, General Requirements for Restricted Health Conditions. 
(2) The client is mentally and physically capable of providing all routine care for his/her tracheostomy and the physician has documented that the tracheostomy is completely healed, or assistance in the care of the tracheostomy is provided by a licensed professional. 
(A) The licensed professional may delegate routine care for the tracheostomy to program staff who receive supervision and training from the licensed professional as specified in Section 82092.1(a)(5)(B). 
1. Suctioning shall not be delegated to facility staff. 
(3) The licensee monitors the client's ongoing ability to provide all routine care for his/her tracheostomy in accordance with the physician's instructions. 
(4) The licensee ensures that tracheostomy care is provided by a licensed professional when the client is unable to provide self-care. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1502 and 1507, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82093. Department Review of Health-Related Conditions.
Note     •     History

(a) The Department may review actual or suspected health-related conditions, including those specified in Section 82092, Restricted Health Conditions, to determine if a client is appropriately placed in the day program and if the client's health-related needs are being met. The Department will inform the licensee that the client's health-related condition requires review and will specify documentation that the licensee shall submit to the Department. 
(1) Documentation includes, but is not limited to, the following: 
(A) Restricted Health Condition Care Plan, if applicable. 
(B) Needs and Services Plan. 
(C) Copies of prescriptions for medical services and/or medical equipment. 
(2) The licensee shall submit the documentation to the Department within 10 working days. 
(b) If the Department determines that the client has a restricted health condition, as specified in Section 82092, the licensee shall provide care to the client in accordance with conditions specified in Sections 82092.1(a)(1)-(15) and applicable requirements in Sections 82092.3 through 82092.11. If the licensee is not able to provide adequate care, the client shall be relocated. 
(c) This section does not entitle the licensee to a full evidentiary hearing, state hearing, or any other administrative review beyond that set forth in this section. 
NOTE

Authority cited: Sections 1530 and 1530.1, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Chapter 3.5. Adult Day Support Center
Article 1. General Requirements
§82500. General.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
4. Repealer filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82501. Definitions.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, title 1, California Code of Regulations; (Register 91, No. 11).
3. Change without regulatory effect amending lettering and correcting cross- references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
4. Editorial correction of printing error in subsection (a)(1) (Register 91, No. 32).
5. Repealer of subsection (i)(1), new subsection (n)(1) and amendment of Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
6. Repealer of subsection (i)(1), new subsection (n)(1) and amendment of Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
7. Repealer of subsection (i)(1), new subsection (n)(1) and amendment of Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
8. Repealer of subsection (i)(1), new subsection (n)(1) and amendment of Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
10. Repealer of subsection (i)(1), new subsection (n)(1) and amendment of Note  refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 3-23-98 order, including reformatting of subsection designators and amendment of subsection (n)(1), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
12. Repealer of section, including renumbering of portions of former section 82501 to section 82001, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Article 2. Licensing (Reserved)
Article 3. Application Procedures [Repealed]
§82522. Plan of Operation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1520 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Renumbering of former section 82522 to new section 82022 filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Article 4. Administrative Actions (Reserved)
Article 5. Civil Penalties  (Reserved)
Article 6. Continuing Requirements
§82564. Administrator--Qualifications and Duties. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Editorial correction of subsections (b)(1) and (d)(2)(A) (Register 2002, No. 14).
4. Repealer of section, including renumbering of portions of former section 82564 to section 82064, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82565. Personnel Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Repealer of section, including redesignation and amendment of former 82565(b) as new 82065(o), filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82565.1. Personnel Qualifications and Duties. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
4. Repealer of section, including renumbering of portions of former section 82565.1 to section 82065.1, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82565.5. Staff-Participant Ratio. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1507, 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Amendment of heading, new subsections (b)-(b)(2), subsection relettering and amendment of Note filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
4. Repealer of section, including renumbering of portions of former section 82565.5 to section 82065.5, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82568.2. Needs and Services Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Editorial correction of Note (Register 97, No. 5).
4. Amendment of section heading and section filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading and section refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading and section refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
9. Amendment of section heading and section refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-23-98 order, including further amendment of section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
11. Repealer of section, including renumbering of portions of former section 82568.2 to section 82068.2, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82568.3. Modifications to the Needs and Services Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Amendment of section heading and subsection (a) filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and subsection (a) refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and subsection (a) refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and subsection (a) refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
7. Amendment of section heading and subsection (a)  refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-23-98 order, including further amendment of subsection (a), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
9. Repealer of section, including renumbering of portions of former section 82568.3 to section 82068.3, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82568.5. Procedures for Discharge. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Renumbering of former section 82568.5 to new section 82068.5, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82570. Participant's Records. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Amendment of subsections (b)(1)-(2) and Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b)(1)-(2) and Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (b)(1)-(2) and Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (b)(1)-(2) and Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
8. Amendment of subsections (b)(1)-(2) and Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-23-98 order, including further amendment of subsections (b)(1)-(2), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
10. Renumbering of former section 82570 to new section 82070 filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82575. Health-Related Services. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, Title 1, California Code of Regulations; operative 2-4-91 (Register 91, No. 11).
3. Repealer of section, including renumbering of portions of former section 82575  to section 82075, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82575.1. Daily Inspections for Illness. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
3. Repealer filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82576. Food Services. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 11).
3. Editorial correction of printing error in subsection (e) (Register 91, No. 32).
4. Repealer filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
§82577. Personal Services.
Note     •     History

(a) When necessary, personal care assistance and supervision shall be provided to participants. This service shall include, but is not limited to, assistance with activities of daily living, such as walking, eating, grooming, toileting, and supervision of personal hygiene.
(b) Psychosocial support services shall be available to each participant and his/her family.
(1) The center shall assist participants and careproviders to understand and provide for each other's needs.
(2) The center shall inform the family and careprovider of changes in the participant's physical, emotional, or cognitive status.
(3) The center shall help the careprovider to understand any changes in the participant and make referrals as necessary.
(c) Information and referral services shall be available to the participants and their families.
(d) The center shall establish linkages with other community agencies and instructions to staff to coordinate services.
(e) Participants who are incontinent shall be taken to the toilet every two hours or as scheduled in the individual plan of care.
(f) After incontinent elimination, the participant shall be cleaned and towel-dried.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, Title 1, California Code of Regulations (Register 91, No. 11).
§82579. Activities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502.2, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 2-24-89; operative 3-26-89 (Register 89, No. 10).
2. Change without regulatory effect amending section filed 2-4-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 11).
3. Amendment of subsections (a) and (c) and Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a) and (c) and Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (c) and Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a) and (c) and Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
8. Amendment of subsections (a) and (c) and Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-23-98 order, including further amendment of subsections (a) and (c), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
10. Repealer of section, including renumbering of portions of former section 82579 to section 82079, filed 12-13-2006; operative 1-12-2007 (Register 2006, No. 50).
Article 7. Physical Environment [Repealed]
HISTORY

1. Repealer of article 7 (sections 82587-82588.2) filed 12-13-2007; operative 1-12-2007 (Register 2006, No. 50). For prior history of article 7, see Register 89, No. 10 and Register 91, No. 11.
Chapter 4. Small Family Homes
Article 1. General Requirements and Definitions
§83000. General.
Note     •     History

(a) Small family homes, as defined in section 80001(s)(3), shall be governed by the provisions specified in this chapter. In addition, such small family homes, except where specified otherwise shall be governed by chapter 1. General Requirements.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1502, 1530 and 1531, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former chapter 4 (articles 1 and 2, sections 83001-83181, not consecutive) to chapter 9, and new *chapter 4 (articles 1-7, sections 83000-83088, not consecutive) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42). For prior history see Registers 80, No. 8; 77, No. 2; and 76, No. 41.
. *The reorganization of various sections in division 6 into new chapter 4 is printed as an adoption for clarity.
2. Change without regulatory effect amending subsection (a) filed 1-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 8).
3. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
4. Amendment of subsection (a) filed 2-6-2012; operative 3-7-2012 (Register 2012, No. 6).
§83001. Definitions.
Note     •     History

In addition to section 80001, the following shall apply.
a. (1) “Assistant Caregiver” means an adult who assists the licensee of a specialized small family home caring for four or more children in the administration of specialized in-home health care.
b. (Reserved)
c. (1) “Child” means a person who is under 18 placed with a caregiver in a licensed small family home by a regional center, a parent or guardian, or a public child placement agency with or without a court order. “Child” also means a person who is:
(A) 18 or 19, meets the requirements of Welfare and Institutions Code section 11403, and continues to be provided with care and supervision by the caregiver in the home, or
(B) 18-22 as specified in the definition for “child with special health care needs” under subsection (c)(2) and continues to be provided with care and supervision by the caregiver in the home.
(2) “Child with Special Health Care Needs” means a person who is 22 years of age or younger, who meets the requirements of Welfare and Institutions Code section 17710, subsection (a) and all of the following conditions:
(A) Has a medical condition that requires specialized in-home health care and
(B) Is one of the following:
1. A child who has been adjudged a dependent of the court under Welfare and Institutions Code section 300.
2. A child who has not been adjudged a dependent of the court under Welfare and Institutions Code section 300, but who is in the custody of the county welfare department.
3. A child with a development disability who is receiving services and case management from a regional center.
d. (2) “Disability” means a condition which makes a person developmentally disabled, mentally disordered or physically handicapped and for whom special care and supervision is required as a result of their condition.
e. (Reserved)
f. (1) “Family Health Care” means health care which does not require the skills of qualified technical or professional personnel and is provided to a child by the foster parent in accordance with Section 83075(e). When these requirements are met, the family health care that may be provided includes, but is not limited to the following:
(A) Routine administration of medications such as the administration of suppositories, ointments, lotions, pills, enemas or medications given by liquid medication dispenser, puffer, dropper or nebulizer.
(B) Changing ostomy or indwelling urinary catheter bags.
(C) Urine and blood glucose testing using a monitoring kit approved for home use.
(D) Heart and apnea monitoring when it is simply the case of providing stimulation to the infant/child when the cardiac or respiratory rate falls below a specified rate and not a matter of interpreting a monitor pattern with the intervention based on that interpretation.
(E) Assistance with procedures self-administered by older children free of severe mental or physical disabilities such as insulin injection and oxygen administration.
g. (Reserved)
h. (1) “Health Care Professional” means a physician or an individual who is licensed or certified under Division 2 of the Business and Professions Code to perform the necessary client care procedures prescribed by a physician. Such health care professionals include the following: Registered Nurse, Public Health Nurse, Licensed Vocational Nurse, Psychiatric Technician, Physical Therapist, Occupational Therapist and Respiratory Therapist.
(2) “Home” means a licensed small family home.
i. (1) “Individualized Health Care Plan” means the written plan developed by an individualized health care plan team and approved by the team physician, or other health care professional designated by the physician to serve on the team, for the provision of specialized in-home health care.
(2) “Individualized Health Care Plan Team” means those individuals who develop an individualized health care plan for a child with special health care needs. This team must include the child's primary care physician or other health care professional designated by the physician, any involved medical team, the county social worker or regional center caseworker, and any health care professional designated to monitor the specialized in-home health care provided to the child as stated in the child's individualized health care plan. The individualized health care plan team may include, but shall not be limited to, a public health nurse, representatives from the California Children's Services Program or the Child Health and Disability Prevention Program, regional centers, the county mental health department and where reunification is the goal, the parent or parents, if available. In addition, the individualized health care plan team may include the prospective specialized licensees who shall not participate in any team determination required by Sections 83010.1(a)(1)(C) and (2)(C), and 83065.1(a)(1)(B).
j. (Reserved)
k. (Reserved)
l. (1) “Licensee's Family” means any relative as defined in section 80001.r.(1) any adopted children, and any person under guardianship or conservatorship, of the licensee, or the licensee's spouse, who resides in the home.
m. (1) “Medical Conditions Requiring Specialized In-Home Health Care” means, provided that care may be safely and adequately administered in the home:
(A) A dependency upon one or more of the following when, but for the fact that trained foster parents may provide these services under Welfare and Institutions Code Section 17736, the skills of qualified technical or professional personnel would be required: enteral feeding tube, total parenteral feeding, a cardiorespiratory monitor, intravenous therapy, a ventilator, oxygen support, urinary catheterization, renal dialysis, ministrations imposed by tracheostomy, colostomy, ileostomy, ileal conduit, or other medical or surgical procedures or special medication regimens, including injection, and intravenous medication; or
(B) Conditions such as AIDS, premature birth, congenital defects, severe seizure disorders, severe asthma, bronchopulmonary dysplasia, and severe gastroesophageal reflux when, because his/her condition could rapidly deteroriate causing permanent injury or death, the child requires in-home health care other than, or in addition to, family health care.
n. (1) “Needs and Services Plan” means a time-limited, goal-oriented written plan implemented by the licensee which identifies the specific needs of an individual child, including but not limited to the items specified in section 83068.2, and delineates those service needs necessary in order to meet the child's identified needs.
o. (1) “On-Call Assistant” means an adult who is available to respond to a specialized small family home in case of emergency, but who need not otherwise be physically present at the home.
p. (1) “Physical Restraining Device” means any physical or mechanical device, material, or equipment attached or adjacent to a child's body which the child cannot remove easily and which restricts the child's freedom of movement. Restraining devices include leg restraints, arm restraints, soft ties or vests, wheel chair safety bars, and full length bedrails.
q. (Reserved)
r. (Reserved)
s. (1) “Specialized In-Home Health Care” means health care, other than family health care, identified by the child's physician as appropriately administered in the home by a health care professional or by a licensee or staff trained by health care professionals.
(2) “Specialized Small Family Home” means a licensed small family home which provides specialized in-home health care to children.
t. (Reserved)
u. (Reserved)
v. (Reserved)
w. (Reserved)
x. (Reserved)
y. (Reserved)
z. (Reserved)
NOTE

Authority cited: Section 1530, Health and Safety Code; and Section 17730, Welfare and Institutions Code. Reference: Sections 1501, 1502, 1507, 1507.2, 1530 and 1531, Health and Safety Code; and Sections 1140.3, 17710, 17731(c), 17732(b) and 17732.1, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
2. Amendment of section and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Amendment of subsection c.(1), new subsections c.(1)(A)-(B) and amendment of subsections c.(2) and c.(2)(B)1.-2. and Note filed 2-6-2012; operative 3-7-2012 (Register 2012, No. 6).
Article 2. Licensing
§83009. Availability of License.
Note

(a) The license shall be retained in the home and shall be available for review upon request.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§83010. Limitations on Capacity and Ambulatory Status.
Note

(a) In addition to Section 80010, the following shall apply.
(b) The licensee shall not accept more than two infants, including infants in the licensee's family, without obtaining additional household help.
NOTE

Authority cited: Section 130, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§83010.1. Limitations on Capacity for Specialized Small Family Homes.
Note     •     History

(a) No more than two children with or without special health care needs shall reside even on a temporary basis in a specialized small family home, with the following exceptions:
(1) A specialized small family home may accept a third child with or without special health care needs provided that the licensed capacity, as determined by the licensing agency under Section 80028 is not exceeded, and all of the following conditions are met:
(A) The county social worker, regional center caseworker or authorized representative responsible for the placement of the child determines the following:
1. That in the county or, if the child is a regional center client, the regional center catchment area, in which the home is physically located,
a. No other specialized small family home, foster family home or certified family home is available to meet the needs of the child without exceeding the two child limit; and
b. If the child does not have special health care needs, that no other nonspecialized small family home, foster family home or certified family home is available to meet the needs of the child.
(B) Each child's county social worker, regional center caseworker or authorized representative determines that the specialized small family home can meet the psychological and social needs of the child.
1. New determinations are required each time there is an increase or turnover in children and the two-child capacity limit is exceeded.
(C) The individualized health care plan team for each child with special health care needs determines that the two-child capacity limit may be exceeded without jeopardizing the health and safety of the child.
1. New determinations are required each time there is an increase or turnover in children and the two-child capacity limit is exceeded.
(2) Children with or without special health care needs may be accepted in excess of three children and up to the licensed capacity as determined by the licensing agency under Section 80028, if all of the following conditions are met:
(A) For each child placed in excess of the two-child limit, the county social worker, regional center caseworker or authorized representative responsible for the placement of the child determines the following at the time of placement:
1. That in the county or, if the child is a regional center client, the regional center catchment area in which the home is physically located,
a. No other specialized small family home, foster family home or certified family home is available to meet the needs of the child without exceeding the two-child limit; and
b. If the child does not have special health care needs, that no other nonspecialized small family home, foster family home or certified family home is available to meet the needs of the child.
(B) Each child's county social worker, regional center caseworker or authorized representative determines that the specialized small family home can meet the psychological and social needs of the child.
1. New determinations are required each time there is an increase or turnover in children and the two-child capacity limit is exceeded.
(C) The individualized health care plan team for each child with special health care needs determines that the two-child capacity limit may be exceeded without jeopardizing the health and safety of the child.
1. New determinations are required each time there is an increase or turnover in children and the two-child capacity limit is exceeded.
(D) At least one of the children in the home is receiving monitoring and case management services from a regional center. The child does not have to be a child with special health care needs.
(E) The licensee is assisted by one or more assistant caregivers.
1. An assistant caregiver shall be present in the home whenever four or more children, one of which has special health care needs, are present except for those hours, including night hours, during which none of these children requires the services of a health care provider to administer specialized in-home health care as required by Section 83069.1(a)(5)(A).
2. The licensee shall obtain any additional assistant caregivers determined by the licensing agency, in accordance with Sections 80065(b) through (b)(4) and after consultation with the appropriate regional centers and any appropriate individualized health care plan teams, to be required for the provision of adequate care and supervision for children with special health care needs.
3. In specialized small family homes subject to Section 83010(b), the provision of an assistant caregiver shall fulfill the extra household help requirement unless the licensing agency determines that additional help is required under Section 83010.1(a)(2)(F)2.
(F) An on-call assistant shall be available to respond in case of an emergency. The on-call assistant shall be available at all times four or more children are present and at least one of these children has special health care needs.
1. Each on-call assistant, when on call, shall be in addition to any assistant caregiver on duty in the home.
2. On-call assistance shall be in addition to any local emergency services used by the home.
3. While on call, an on-call assistant shall be capable of arriving at the home within 30 minutes.
(G) The specialized small family home is of sufficient size to accommodate the needs of all children in the home.
1. Private bedrooms shall be provided for assistant caregivers and other staff who sleep at the home.
2. Sections 83087(b)(1), (2), (3), (4) and (5) shall apply to bedrooms used by children of assistant caregivers or by children of other staff.
3. Sections 83087(b)(3) and (4) shall apply to bedrooms used by assistant caregivers or other staff residing in the home.
(b) A licensee shall not accept a child requiring in-home health care other than family health care, unless the child is a child with special health care needs.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17732(a) and (b) and 17736(b), Welfare and Institutions Code; and Sections 1502(a) and 1507, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§83010.2. Prohibition of Dual Licensure for Specialized Small Family Homes.
Note     •     History

(a) A small family home licensee shall not hold any day care, other residential or health care home license for the same premises as the small family home while caring for children with special health care needs.
(1) Any small family home licensee planning to care for a child with special health care needs who holds a license as specified in Section 83010.2(a) shall surrender the license to the licensing agency prior to accepting a child with special health care needs.
(2) The provisions specified in Sections 83010.2(a) and (a)(1) shall not apply to existing licensed small family homes that meet both of the following:
(A) All children with special health care needs were accepted prior to the effective date of this Section 83010.2(a)(2); and
(B) No application for a day care, other residential or health care home license was approved for the premises on or after the effective date of this Section 83010.2(a)(2).
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Sections 1300 and 1530, Health and Safety Code. Reference: Section 17732, Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
Article 3. Application Procedures
§83017. Applicant Qualifications.
Note     •     History

(a) An applicant for a license shall:
(1) Attend and complete an orientation provided by the licensing agency.
(2) Be educated, trained, or experienced in providing family home care and supervision appropriate to the type of children to be served.
(A) Applicable education shall be documented through submission, to the licensing agency, of a copy of a certificate, transcript or credentials.
(B) Applicable training shall be documented through submission, to the licensing agency, of a copy of a certificate of training.
(C) Applicable experience shall be documented in writing, by a person other than the applicant, and submitted to the licensing agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code.
HISTORY

1. Repealer of subsection (a) and subsection relettering filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§83018. Application for License.
Note     •     History

(a) In addition to section 80018, the following shall apply.
(b) The application shall contain a health screening report on the applicant, meeting the standards required in section 80065(g).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 5-30-90; operative 6-29-90 (Register 90, No. 28).
2. Editorial correction of printing error restoring subsection (a) (Register 91, No. 32).
§83020. Fire Clearance.
Note

(a) Notwithstanding Section 80020, small family homes shall be required to request a fire clearance only prior to accepting one or more disabled children or deciding to continue to provide services to a child determined after placement, to have a disability.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code.
§83026. Safeguards for Cash Resources, Personal Property, and Valuables.
Note

(a) Notwithstanding Section 80026(c), a licensee shall be permitted to accept appointment and serve as guardian for the person, or estate, or person and estate, of a child.
(1) Such appointment shall be reported to the licensing agency as specified in Section 83061(c).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§83032. Term of an Initial or Renewal License. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1524 and 1525, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing section filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
Article 4. Administrative Actions (Reserved)
Article 5. Enforcement Provisions
§83051. Serious Deficiencies.
Note     •     History

(See Manual of Policies and Procedures.)
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section (Manual of Policy and Procedures handbook only) filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
Article 6. Continuing Requirements
§83061. Reporting Requirements.
Note

(a) In addition to Section 80061, the following shall apply.
(b) The licensee shall notify the licensing agency and the child's authorized representative in advance when he/she intends to be absent from the home for 48 hours or longer.
(1) Notification shall be in writing, or by telephone, and shall include:
(A) Dates of intended absence.
(B) Whether the child will accompany the licensee or remain in the home.
(C) Telephone number where licensee may be contacted.
(D) Name, address, telephone number of the substitute specified in Section 83064(c).
(c) The licensee shall report all changes in family composition which would affect the services provided children to the licensing agency in writing or by telephone within ten working days. These changes shall include, but not be limited to:
(1) Any additions to the licensee's family, including when the licensee becomes guardian or conservator for any individual.
(2) The departure of an adult who was providing care to the children.
(d) Any unexplained absence of a child shall be reported to the licensing agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§83064. Licensee Duties and Responsibilities.
Note     •     History

(a) The licensee shall be responsible for:
(1) Participating with the child in activities.
(2) Participating with agencies and other responsible persons in planning for the needs of the child.
(3) Ensuring that the child is clean and providing the child with training in personal cleanliness and hygiene.
(4) Protecting the child from home accidents.
(5) Making provisions for the child to attend available community treatment or training programs when the child has needs which can be met by such programs.
(6) Participating in activities which increase the licensee's own understanding of, and skill in, caring for children.
(7) Providing for and meeting service needs of the child as identified in the needs and services plan required by section 83068.2.
(8) Assisting the child in the development of goals and encouraging him/her to reach those goals.
(9) Supervising the provision of basic services within the home.
(10) Unless restricted by the case plan adopted by the court or other court order, the licensee shall permit and facilitate connections between the child and the child's family and non-relative extended family members. Nothing in this section shall be interpreted to require a foster care provider to take any action that would impair the health and safety of children in out-of-home placement.
(b) The licensee shall be regularly present in the home when children are in the home full time.
(1) If all children are involved in out of home programs, such as school or day care, the licensee shall be permitted to be regularly absent during those hours.
(2) When the licensee is absent from the home while children are present he/she shall provide for supervision of the children by a responsible adult unless otherwise agreed to in advance by the licensing and placing agencies.
(c) The licensee shall not hire or require a child in placement to baby-sit children residing in the facility, including children who are members of the licensee's family, guardianship children, and children in placement.
(d) For children 16 years of age or older, the licensee shall allow access to existing information regarding available vocational and postsecondary educational options as specified in Section 83072(c)(29).
(1) The information may include, but is not limited to:
(A) Admission criteria for universities, community colleges, trade or vocational schools and financial aid information for these schools.
(B) Informational brochures on postsecondary or vocational schools/programs.
(C) Campus tours.
(D) Internet research on postsecondary or vocational schools/programs, sources of financial aid, independent living skills program offerings, and other local resources to assist youth.
(E) School-sponsored events promoting postsecondary or vocational schools/programs.
(F) Financial aid information, including information about federal, state and school-specific aid, state and school-specific scholarships, grants and loans, as well as aid available specifically to current or former foster youth and contact information for the Student Aid Commission.
(e) The licensee shall ensure that caregivers meet initial and ongoing training requirements regarding the child's right to nondiscriminatory care as outlined below:
(1) Fair and equal access to all available services, placement, care, treatment, and benefits.
(2) To not be subject to discrimination or harassment on the basis of actual or perceived race, ethnic group identification, ancestry, national origin, color, religion, sex, sexual orientation, gender identity, mental or physical disability, or HIV status.
(f) The licensee shall ensure that individuals, who provide care and supervision of a child in a facility, have training on the existing laws and procedures regarding the safety of foster youth at school as contained in the California Student Safety and Violence Prevention Act of 2000. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 51, Civil Code; Sections 1501, 1529.1, 1529.2, 1530.91, 1531 and 1562, Health and Safety Code; and Sections 366.1, 366.21 and 16001.9, Welfare and Institutions Code; and California Student Safety and Violence Prevention Act of 2000 (Article 3.6 (commencing with Section 32228) of Chapter 2 of Part 19 of Division 1 of Title 1 of the Education Code.
HISTORY

1. Amendment of subsection (c)(2) and new subsection (d) filed 5-30-90; operative 6-29-90 (Register 90, No. 28).
2. New subsections (e)-(e)(1)(F) and amendment of Note filed 1-17-2007; operative 2-16-2007 (Register 2007, No. 3).
3. Repealer of subsection (a), subsection relettering, new subsections (a)(10) and (e)-(e)(2) and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
4. New subsection (f) and amendment of Note filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
§83065. Personnel Requirements.
Note     •     History

(a) In addition to Section 80065, the following shall apply.
(b) Physician reports from general practitioners or specialists may be required after licensure if the licensing agency has reason to believe that a licensee's or staff member's physical and/or mental health is not adequate to carry out responsibilities under these regulations.
(1) The licensing agency shall provide the licensee a written explanation of the need for the additional report.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§83065.1. Additional Personnel Requirements for Specialized Small Family Homes.
Note     •     History

(a) The licensee, assistant caregivers, on-call assistance and any other persons providing specialized in-home health care shall comply with the following requirements:
(1) Prior to caring for a child with special health care needs or when the child's needs change, the in-home health care provider shall complete training in specialized in-home health care provided by a health care professional as required by the child's individualized health care plan, except when
(A) The in-home health care provider is a licensed health care professional; and
(B) The child's individualized health care plan team determines that completion of specialized in-home health care training for the child is unnecessary on the basis of the in-home health care provider's medical qualifications and expertise.
(b) Volunteers caring for children in a specialized small family home shall meet the health screening requirements in Sections 80065(g)(1) and (g)(2).
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17731(c), 17732(b) and 17736(a), Welfare and Institutions Code; and Sections 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§83066. Personnel Records for Specialized Small Family Homes.
Note     •     History

(a) The licensee shall ensure that the personnel records of all persons subject to the requirements of Section 83065.1(a) contain the following:
(1) For any training or additional training from which the licensee or other in-home health care provider is exempt:
(A) Documentation that the child's individualized health care plan team has determined that it is not necessary for the licensee or other in-home health care provider to complete the specialized in-home health care training or additional training.
1. Documentation may be provided in different ways, including, but not limited to, a written statement from a member designated by the team that the team has been notified and has determined that the training or additional training is unnecessary.
(B) A copy of a valid license or certificate indicating that he/she is a licensed health care professional.
(2) For any training or additional training from which the licensee or other in-home health care provider is not exempt:
(A) Documentation, by a health care professional providing the training, that he/she has successfully completed the specialized in-home health care training specified in Section 83065.1(a)(1).
(b) The licensee of a specialized small family home caring for more than three children shall keep a current and dated work schedule for assistant caregivers and on-call assistants.
(c) For each on-call assistant, the licensee shall keep on file a telephone number at which that person can be reached while on call.
(d) For each volunteer caring for children in a specialized small family home, the licensee shall have on file the record of a health screening and test for tuberculosis as specified in Section 83065.1(b). The health screening shall be used in place of the volunteer statement specified in Section 80065(g)(3)(A).
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17731 and 17732(b), Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§83068.1. Admission Procedures.
Note

(a) The licensee shall develop, maintain and implement admission procedures which shall meet the requirements specified in this section.
(b) Upon placement the licensee or designated person shall:
(1) Request the information specified in Section 83068.2.
(2) Obtain the information specified in Section 80070(b)(1) through (b)(5), (b)(7), (b)(8) and (b)(10), and 83070(b)(1) through (b)(8).
(3) Complete, and have signed, an admission agreement as specified in Section 80068.
(c) As soon as the information specified in (b)(1) above is available, the licensee or designated person, shall review the information and determine:
(1) The licensee's ability to meet the individual needs of the child.
(2) The licensee's ability to simultaneously continue meeting the needs of other children and the licensee's family.
(d) If it is determined after review that the home cannot meet the service needs of the child, the licensee shall:
(A) Inform the child's authorized representative.
(B) Request that the child be placed elsewhere.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§83068.2. Needs and Services Plan.
Note

(a) At the time of placement, the licensee or a designated person shall request for each child, a needs and services plan which describes the child's service needs.
(1) Such plan shall be requested from the child's authorized representative.
(2) The licensee shall use a form approved by the licensing agency.
(b) The needs and services plan shall contain at a minimum the following information:
(1) Name.
(2) Age.
(3) Physical limitations.
(4) History of infections or contagious diseases.
(5) History of other medical, emotional, behavioral and physical problems.
(6) Capability of the child to handle his/her own cash resources.
(7) Current service needs related to (3), (4), (5), and (6) above.
(8) Any applicable needs appraisal or individual program plans completed by a placement agency or consultant.
(9) Plans for providing services to meet the individual needs identified above.
(10) Signature of the person or representative of the agency providing the information.
(c) If the licensee is not given the child's record with the above information at the time of placement, the licensee shall make telephone and/or written requests for the information to the child's authorized representative, and shall record and retain the details of those requests.
(1) If the information is not received within 15 calendar days, the licensee shall obtain an assessment of current service needs from other sources.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§83068.3. Modifications to Needs and Services Plan.
Note

(a) The written needs and services plan shall be updated at least annually and:
(1) As frequently as necessary to ensure accuracy and to document determination of a disability.
(2) As frequently as determined necessary by the child's authorized representative.
(b) If modifications to the plan identify unmet needs the following requirements shall be met:
(1) It shall be determined whether the licensee has the ability to meet the needs of the child.
(A) If it is determined that the identified needs can be met by the licensee, a written plan to meet the needs shall be developed and maintained in the home.
(B) If it is determined that the identified needs cannot be met by the licensee, the licensee shall give notice to the child's authorized representative to remove the child from the home.
(c) The licensee shall permit the participation of the child's authorized representative in modification to the needs and services plan.
(1) Such participation shall be verified by his/her signature on the needs and services plan.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§83069.1. Individualized Health Care Plans for Specialized Small Family Homes.
Note     •     History

(a) The licensee shall not accept a child with special health care needs unless the licensee has obtained an individualized health care plan for the child. The plan shall include the following information:
(1) The name, address, and phone number of the health care professional responsible for monitoring the child's ongoing health care.
(2) The appropriate number of hours of on-site supervision and monitoring, and the appropriate number of hours of off-site supervision and monitoring, needed to be provided by the monitor designated in Section 83069.1(a)(1).
(3) Documentation by the child's individualized health care plan team identifying the specialized in-home health care to be administered by a health care professional or responsible adult trained by a health care professional.
(4) Arrangements for in-home health support services if required.
(5) Specific responsibilities of the licensee for the provision of specialized in-home health care, including any required training and/or additional training.
(A) If the specialized small family home has, or will have, four or more children in placement, the individualized health care plan shall include the hours, if any, during which the child will not require an in-home health care provider to deliver specialized in-home health care.
(6) Identification of any available and funded medical services that are to be provided to the child in the home which may include, but is not limited to, assistance from health care professionals.
(7) Identification of any psychological, emotional, behavioral, or medical problems that will be identified in the child's needs and services plan or the medical assessment specified in Section 80069.
(b) The individualized health care plan for each child with special health care needs shall be updated at least every six months or sooner if the needs of the child change.
(c) For any child with special health care needs the hospital discharge plan may be adopted by the individualized health care plan team as the child's individualized health care plan.
(d) The individualized health care plan may be combined with the child's needs and services plan or regional center individual program plan provided that all the information required by each plan is included.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17731(c), Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§83070. Child's Records.
Note

(a) In addition to Section 80070, the following shall apply.
(b) Each child's record shall contain at least the following:
(1) A copy of the child's birth certificate if available.
(2) Date of placement in the home.
(3) Name, address and telephone number of the placement agency, if any.
(4) Name, address and telephone number of person(s) to be contacted in an emergency when the child's authorized representative cannot be contacted.
(5) Written consent which authorizes the licensee to obtain other than ordinary medical and dental care in an emergency if the authorized representative cannot be located.
(6) Names of all persons authorized to take the child from the home.
(7) Dental and medical history, if available, including immunization records and any physician's orders for any medically necessary diet as specified in Section 80076(a)(6).
(8) Religious preference, and the name and address of clergyman or religious adviser, if any.
(9) A copy of the child's needs and services plan and any modifications thereto specified in Section 83068.2 and 83068.3.
(10) A record of the continuing health needs and services received while the child is in the home, including but not limited to, physical therapy and counseling.
(c) The original or photographic reproductions of the child's record shall be given to the placement agency or the child's authorized representative when the child is moved from the home, and one copy retained in compliance with Section 80070(f).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§83070.1. Additional Children's Records for Specialized Small Family Homes.
Note     •     History

(a) The licensee shall ensure that records for each child with special health care needs contain the following:
(1) Documentation that the child has been adjudged a dependent of the court under Section 300 of the Welfare and Institutions Code or has not been adjudged a dependent of the court under Section 300 of the Welfare and Institutions Code but is in the custody of the county welfare department, or has a developmental disability and is receiving services and case management from a regional center.
(2) A copy of the child's individualized health care plan as specified in Section 83069.1.
(3) A copy of the written reassessment of the child's individualized health care plan as specified in Section 83069.1(b).
(b) The licensee of a specialized small family home not exceeding the two-child capacity limit shall ensure that each child's needs and services plan contains the following information in addition to the information required in Sections 83068.2 and 83068.3:
(1) Documentation by the child's county social worker, regional center caseworker or authorized representative that the needs of the child can be met by the facility.
(A) New documentation shall be obtained for all children and placed in the respective needs and services plans each time there is an increase or turnover in children and the home meets the conditions described in above Section 83070.1(b).
(c) If a third child is placed in a specialized small family home, the licensee shall ensure that:
(1) The needs and services plan for the third child documents the determination specified in Section 83010.1(a)(1)(A).
(2) The needs and services plan for each child in the home documents the determinations specified in Section 83010.1(a)(1)(B) and (B)1.
(3) The individualized health care plan for each child with special health care needs documents the determinations specified in Sections 83010.1(a)(1)(C) and (C)1.
(A) Documentation may be provided in different ways, including, but not limited to, a written statement from a member designated by the team that the team has been notified and has determined that the two-child limit may be exceeded.
(d) If more than three children are placed in a small family home caring for children with special health care needs, the licensee shall ensure that:
(1) The needs and services plan for each child placed in excess of the two-child limit documents the determinations specified in Section 83010.1(a)(2)(A).
(2) The needs and services plan for each child in the home documents the determinations specified in Section 83010.1(a)(1)(B) and (B)1.
(3) The individualized health care plan for each child with special health care needs documents the determinations specified in Sections 83010.1(a)(2)(C) and (C)1.
(A) Documentation may be provided in different ways, including, but not limited to, a written statement from a member designated by the team that the team has been notified and has determined that the two child limit may be exceeded.
(4) Records for at least one of the children contains a regional center placement agreement documenting that the child is a regional center client as specified in Section 83010.1(b)(2)(D).
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17710(a), 17731(c) and 17732(a) and (b), Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§83072. Personal Rights.
Note     •     History

(a) Each facility licensed to provide foster care for six or more children shall post a listing of a foster child's rights.
(b) Each facility shall provide each school age child, who is placed in foster care, and his or her authorized representative with an age and developmentally appropriate orientation that includes an explanation of the rights of the child and addresses the child's questions and concerns.
(c) At admission, each child, and his/her authorized representative, shall be personally advised of and given a copy of the child's rights as specified below:
(1) To have visitors, provided the rights of others are not infringed upon, including:
(A) Brothers and sisters, unless prohibited by court order.
1. Other relatives, unless prohibited by court order or by the child's authorized representative.
(B) Authorized representative.
(C) Other visitors unless prohibited by court order or by the child's authorized representative.
(2) To wear his/her own clothes.
(3) To possess and control his/her own cash resources, maintain an emancipation bank account and manage personal income consistent with the child's age and developmental level, unless otherwise agreed to in the child's needs and services plan and by the child's authorized representative.
(4) To possess and use his/her own personal possessions, including toilet articles.
(5) To have access to individual storage space for his/her private use.
(6) To make and receive confidential telephone calls, unless prohibited by court order.
(A) Reasonable restrictions to telephone use may be imposed by the licensee. The licensee shall be permitted to:
1. Restrict the making of long distance calls upon documentation that requested reimbursement for previous long distance calls has not been received;
2. Restrict phone use in accordance with the facility's discipline program;
3. Impose restrictions to ensure that phone use does not infringe on the rights of others or restrict the availability of the phone during emergencies.
(B) All restrictions shall be documented in the child's needs and services plan or the facility's discipline policies, and be signed by the child's authorized representative.
(C) Calls permitted to be restricted by subsections (A)1. and (A)2. above shall not include calls to the child's authorized representative, placement agency, family members (except by court order), social workers, attorneys, Court Appointed Special Advocates (CASA), probation officers, Community Care Licensing Division of the California Department of Social Services or the State Foster Care Ombudsperson.
(7) To have access to letter writing material and to send and receive unopened correspondence unless prohibited by court order.
(8) To be accorded dignity in his/her personal relationships with staff and other persons.
(9) To live in a safe, healthy and comfortable home where he or she is treated with respect, in accordance with Section 83072(c)(11).
(10) To be free of physical, sexual, emotional, or other abuse, and corporal punishment.
(11) To have fair and equal access to all available services, placement, care, treatment, and benefits, and to not be subjected to discrimination or harassment on the basis of actual or perceived race, ethnic group identification, ancestry, national origin, color, religion, sex, sexual orientation, gender identity, mental or physical disability, or HIV status.
(12) To receive adequate and healthy food, and adequate clothing.
(A) Clothing and personal items provided shall be in accordance with Section 83072(c)(11).
(13) To receive medical, dental, vision, and mental health services.
(14) To be free of the administration of medication or chemical substances, unless authorized by a physician.
(15) To contact family members (including brothers and sisters), unless prohibited by court order, and social workers, attorneys, foster youth advocates and supporters, Court Appointed Special Advocates (CASA), and probation officers.
(16) To contact the Community Care Licensing Division of the California Department of Social Services or the State Foster Care Ombudsperson regarding violations of rights, to speak to representatives of these offices confidentially, and to be free from threats or punishment for making complaints.
(17) To be informed, and to have his or her authorized representative informed by the licensee of the provisions of law regarding complaints including, but not limited to, the address and telephone number of the complaint receiving unit of the licensing agency, and of information regarding confidentiality.
(18) To be free to attend religious services or activities of his/her choice and to have visits from the spiritual advisor of his/her choice. Attendance at religious services, in or outside of the facility, shall be on a completely voluntary basis.
(19) To not be locked in any room, building, or facility premises at any time.
(A) The licensee shall not be prohibited by this provision from locking exterior doors and windows or from establishing house rules for the protection of clients provided the clients are able to exit the facility.
(B) The licensee shall be permitted to utilize means other than those specified in (A) above for securing exterior doors and windows only provided the clients are able to exit the facility and with the prior approval of the licensing agency.
(20) To attend school and participate in extracurricular, cultural, and personal enrichment activities consistent with the child's age and developmental level, in accordance with Section 83072(c)(11).
(21) To work and develop job skills at an age-appropriate level that is consistent with state law.
(22) To have social contacts with people outside of the foster care system, such as teachers, church members, mentors, and friends, in accordance with Section 83072(c)(11).
(23) To attend Independent Living Program classes and activities if he or she meets age requirements.
(24) To attend court hearings and speak to the judge.
(25) To review his or her own case plan if he or she is over 12 years of age and to receive information about his or her out-of-home placement and case plan, including being told of changes to the plan.
(26) To be free from unreasonable searches of personal belongings.
(27) To confidentiality of all juvenile court records consistent with existing law.
(28) Not to be placed in any restraining device. Postural supports may be used if they are approved in advance by the licensing agency as specified in (A) through (F) below.
(A) Postural supports shall be limited to appliances or devices including braces, spring release trays, or soft ties used to achieve proper body position and balance, to improve a client's mobility and independent functioning, or to position rather than restrict movement including, but not limited to, preventing a client from falling out of bed, a chair, etc.
1. Physician-prescribed orthopedic devices such as braces or casts used for support of a weakened body part or correction of body parts are considered postural supports.
(B) All requests to use postural supports shall be in writing and include a written order of a physician indicating the need for such supports. The licensing agency shall be authorized to require other additional documentation in order to evaluate the request.
(C) Approved postural supports shall be fastened or tied in a manner which permits quick release by the child.
(D) The licensing agency shall approve the use of postural supports only after the appropriate fire clearance, as required by Section 80020(a) or (b), has been secured.
(E) The licensing agency shall have the authority to grant conditional and/or limited approvals to use postural supports.
(F) Under no circumstances shall postural supports include tying of, or depriving or limiting the use of, a child's hands or feet.
1. A bed rail that extends from the head half the length of the bed and used only for assistance with mobility shall be allowed with prior licensing approval. Bed rails that extend the entire length of the bed are prohibited.
(G) Protective devices including, but not limited to, helmets, elbow guards, and mittens which do not prohibit a client's mobility but rather protect the client from self-injurious behavior are not to be considered restraining devices for the purpose of this regulation. Protective devices may be used if they are approved in advance by the licensing agency as specified below.
1. All requests to use protective devices shall be in writing and include a written order of a physician indicating the need for such devices. The licensing agency shall be authorized to require additional documentation including, but not limited to, the Individual Program Plan (IPP) as specified in Welfare and Institutions Code Section 4646, and the written consent of the authorized representative, in order to evaluate the request.
2. The licensing agency shall have the authority to grant conditional and/or limited approvals to use protective devices.
(H) Under no circumstances shall postural supports or protective devices be used for disciplinary purposes.
(29) At 16 years or older, to have access to existing information regarding available educational options, including, but not limited to, coursework necessary for vocational and postsecondary educational programs, and financial aid information for these programs.
(d) Nothing in this section shall be interpreted to require a foster care provider to take any action that would impair the health and safety of children in out-of-home placement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.91 and 1531, Health and Safety Code; and Section 16001.9, Welfare and Institutions Code.
HISTORY

1. Amendment of section and Note filed 8-16-2004; operative 9-15-2004 (Register 2004, No. 34).
2. Amendment filed 1-17-2007; operative 2-16-2007 (Register 2007, No. 3).
§83072.1. Discipline.
Note

(a) Any form of discipline which violates a child's personal rights as specified in Sections 80072 and 83072 shall be prohibited.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§83072.2. Additional Personal Rights for Children with Special Health Care Needs.
Note     •     History

(a) Except as specified in this section, Section 80072(a)(8) shall not apply to children with special health care needs.
(b) A child with special health care needs has the right to be free from any restraining/postural support device imposed for purposes of discipline or convenience, and not required to treat the child's specific medical symptoms.
(1) Physical restraining devices may be used for the protection of a child with special health care needs during treatment and diagnostic procedures such as, but not limited to, intravenous therapy or catheterization procedures. The restraining device, which shall not have a locking device, shall be applied for no longer than the time required to complete the treatment and shall be applied in conformance with the child's individualized health care plan. The child's individualized health care plan shall include all of the following:
(A) The specific medical symptom(s) that require use of the restraining device.
(B) An evaluation of less restrictive therapeutic interventions and the reason(s) for ruling out these other practices as ineffective.
(C) A written order by the child's physician. The order must specify the duration and circumstances under which the restraining device is to be used.
(2) Postural supports, as specified in Sections 80072(a)(8)(A) and (A)1., half-length bed rails, and protective devices as specified in Section 80072(a)(8)(G), may be used if prescribed in the individualized health care plan. The use of a postural support or protective device and the method of application shall be specified in the child's individualized health care plan and approved in writing by the child's physician.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17736, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§83074. Transportation.
Note     •     History

(a) In addition to Section 80074, the following shall apply.
(b) When transporting children in a private motor vehicle the licensee shall secure the children as specified below:
(1) Infants shall be secured in a car seat designed for infants.
(2) All children between two and four years of age and all children who weigh less than 40 pounds, or who have disabilities which prevent them from sitting unassisted, shall be secured in a car seat or harness designed for such children.
(3) Children over four years of age and who weigh over 40 pounds who are able to sit unassisted shall be secured in the vehicle's regular seat belt/harness.
(c) The caregiver and his/her staff are prohibited from smoking, or permitting any person from smoking a pipe, cigar or cigarette containing tobacco or any other plant in a motor vehicle when minor children are present. This prohibition applies when the motor vehicle is moving or at rest.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1531 and 118948, Health and Safety Code.
HISTORY

1. New subsection (c) and amendment of Note filed 2-4-2010; operative 3-6-2010 (Register 2010, No. 6).
§83075. Health Related Services.
Note     •     History

(a) In addition to Section 80075, the following shall apply.
(b) When a child shows signs of serious illness or injury, the licensee shall have the nature of the illness or injury determined by a physician as quickly as possible.
(c) Whenever a child is exposed to a serious communicable disease, or has any illness or injury which requires medical treatment or for which the cause is unknown, the licensee shall be responsible for ensuring that the child's immediate medical needs are met.
(1) As soon as the child's immediate needs are met, the licensee shall notify the child's authorized representative.
(d) Notwithstanding the requirements of Section 80075(d), when a child is unable to determine and/or communicate his/her need for a prescription or nonprescription PRN medication, the licensee may assist the child without contacting the child's physician prior to each dose provided that all of the following conditions are met:
(1) The child's physician has recommended or prescribed the medication and provided written instructions for its use in at least the level of detail specified in Sections 80075(c)(1) and (e).
(2) The date, time and content of the physician contact required in Section 83075(d)(1) shall be documented and maintained in the child's file.
(3) The date and time each PRN medication dosage was taken, the exact symptoms for which it was given, the dosage taken and the child's response shall be documented and maintained in the child's record.
(4) The medication is given according to the physician's directions.
(e) When providing family health care, the licensee shall ensure that the child's physician or designated registered nurse has assigned the specific task(s) and has provided adequate practical and written instruction.
(1) The date, time and content of the initial contact with the physician or nurse shall be documented and maintained in the child's file.
(f) Any time a child is in the home, at least one of the persons providing regular and routine direct care and supervision to the child shall have received current training in First Aid and Cardio Pulmonary Resuscitation (CPR). Training shall be obtained from an agency offering such training including, but not limited to, the American Red Cross, and shall be appropriate to the child's age and needs.
(1) The caregiver shall complete First Aid and CPR training in addition to training which increases understanding of, and skill in, caring for children.
(2) The licensee shall maintain copies of current First Aid and CPR certificates.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1530.6 and 1531, Health and Safety Code.
HISTORY

1. New subsections (e)-(f)(1) filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
2. New subsections (d)-(d)(4) and amendment of Note filed 5-15-97; operative 6-15-97 (Register 97, No. 20).
3. Amendment of subsection (f), new subsection (f)(1), subsection renumbering and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§83076. Food Service.
Note

(a) In addition to Section 80076, the following shall apply.
(b) There shall always be fresh perishable and nonperishable food in the home in a quantity to meet the needs of the next three meals and the between meal snacks.
(c) Food served to the child shall be of the same quality as that served to other family members.
(d) If the child is out of the home during a normal meal time, the licensee shall ensure that alternative arrangements are made for the child to receive a meal.
(e) If the licensee has been informed, or has observed, that the child has an allergy to any food, the licensee shall not serve such food to the child.
(1) If there is doubt about whether a child has an allergy, the licensee shall seek medical verification.
(f) Infants younger than seven months shall be held during bottle feeding.
(g) Notwithstanding the requirement of Section 80076(a)(5) licensed small family homes shall not be required to prepare daily written menus.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§83078. Responsibility for Providing Care and Supervision.
Note     •     History

(a) In addition to Section 80078, the following shall apply:
(1) The licensee shall provide those services identified in each child's needs and services plan and in the individualized health care plan for each child with special health care needs as necessary to meet the child's needs.
(b) The licensee is responsible for ensuring care and supervision of the child(ren) of any minor parent in placement.
(1) Direct care and supervision of the child(ren) of a minor parent is to be provided during the hours that the minor parent is unavailable or unable to provide such care and supervision.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 11465 and 17731, Welfare and Institutions Code; and Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New subsection (b) filed 2-27-89 as an emergency; operative 2-28-89 (Register 89, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-28-89.
2. New subsection (b) refiled 7-25-89 as an emergency; operative 7-25-89 (Register 89, No. 30). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-22-89.
3. Certificate of Compliance as to 7-25-89 ordered transmitted to OAL 11-16-89 and filed 12-15-89 (Register 89, No. 51). 
4. Amendment of subsections (a)-(a)(1) and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§83079. Activities.
Note

(a) The licensee shall provide opportunity for, and encourage participation in, activities, including but not limited to, the following:
(1) Activities that require group interaction.
(2) Physical activities including but not limited to games, sports, and exercise.
(3) Leisure time for the children, and participation with other members of the licensee's family in leisure time activities.
(4) Education through enrollment in public, private or special schools and assistance with school work.
(5) Learning of daily living skills, including but not limited to bathing, dressing, grooming, manners, shopping, cooking, money management, and use of public transportation.
(b) The child shall not be required to perform duties which interfere with school, training, treatment programs or family visits.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
Article 7. Physical Environment
§83087. Buildings and Grounds.
Note     •     History

(a) In addition to section 80087, the following shall apply.
(b) The licensee shall provide bedrooms in the home which shall meet, at a minimum, the following requirements:
(1) No more than two children shall share a bedroom.
(2) Children of the opposite sex shall not share a bedroom unless each child is under five years of age.
(3) No room commonly used for other purposes shall be used as a bedroom, except as permitted pursuant to section 80024.
(A) Such rooms shall include but not be limited to halls, stairways, unfinished attics or basements, garages, storage areas and sheds or similar detached buildings.
(4) No bedroom shall be used as a public or general passageway to another room.
(5) Except for infants, children shall not share a bedroom with an adult.
(A) In bedrooms shared by adults and infants, no more than one infant and no more than two adults shall share the room.
(B) If two children have been sharing a bedroom and one of them turns 18, they may continue to share the bedroom as long as they remain compatible and the licensing agency has granted an exception, pursuant to section 80024.
(6) Subsections 83087(b)(1), (2), (3), (4) and (5) apply to all bedrooms used by all children residing in the facility, including children who are members of the licensee's family, guardianship children, and children in placement.
(7) sections 83087(b)(3) and (4) apply to all bedrooms used by the licensee(s) and all other adults residing in the facility.
(c) The licensee who accepts a child with a disability shall make necessary specific provisions including but not limited to changes to the buildings and grounds as required to protect and assist the child and maximize the child's potential for self-help.
(d) The licensee shall prohibit smoking in the facility and on the grounds of the facility.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and “The Health Consequences of Involuntary Exposure to Tobacco Smoke”: A Report of the Surgeon General (2006).
HISTORY

1. Amendment of subsection (b) filed 5-30-90; operative 6-29-90 (Register 90, No. 28).
2. New subsections (b)(5)(A) and subsection relettering filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. New subsection (d) and amendment of Note filed 2-4-2010; operative 3-6-2010 (Register 2010, No. 6).
§83087.1. Additional Buildings and Grounds Requirements for Specialized Small Family Homes.
Note     •     History

(a) Areas in the home, including bedrooms, bathrooms, toilets, dining areas, passageways and recreational spaces used by a child with special health care needs shall be large enough to accommodate any medical equipment needed by the child therein.
(1) Bedrooms occupied by children with special health care needs shall be large enough to allow the storage of each child's personal items and any required medical equipment or assistive devices, including wheelchairs, adjacent to the child's bed.
(A) The bedroom shall be large enough to permit unobstructed bedside ministration of medical procedures and medications.
(b) Notwithstanding Section 83087(b)(1), a bedroom used by a child with special health care needs shall not be shared with another minor residing in the facility if the child's need for medical services or the child's medical condition would be incompatible with the use and enjoyment of the bedroom by each minor.
(c) When required by the child's individualized health care plan, the licensee(s) or other adult caring for the child, shall sleep in a bedroom adjacent or in close proximity to the child's room.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17732, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§83087.2. Outdoor Activity Space.
Note     •     History

(a) The licensee shall provide outdoor activity space which is free from hazards to life and health.
(1) The outdoor activity space shall include, but not be limited to, activity centers and public parks where the licensee resides in an apartment, condominium, or similar housing arrangement which does not have separate yard space.
(2) A sketch of the physical plant as required in the plan of operation, pursuant to section 80022, shall include the location(s) of outdoor activity space.
(3) The outdoor activity space shall not include any area made inaccessible by fencing pursuant to Section 80087(f). 
(4) Where natural or man-made hazards such as canals, cliffs, condemned buildings, creeks, ditches, lakes, ocean fronts, mines, power lines, quarries, rivers, ravines, swamps, watercourses, and areas subject to flooding lie on or adjacent to the facility premises, the outdoor activity space shall be inaccessible to such hazards.
(A) Where a fence or wall is used to make the outdoor activity space inaccessible, the requirements of Section 80087(f)(1) shall be met.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New subsections (a)(1) and (2) filed 5-30-90; operative 6-29-90 (Register 90, No. 28).
2. New subsections (a)(3)-(a)(4)(A) filed 8-14-96; operative 9-13-96 (Register 96, No. 33).
§83087.4. Storage Space. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 5-21-85; effective thirtieth day thereafter (Register 85, No. 21).
§83088. Fixtures, Furniture, Equipment, and Supplies.
Note     •     History

(a) In addition to Section 80088, the following shall apply.
(b) The licensee shall maintain at least one toilet, sink, and tub or shower in the home.
(c) The licensee shall provide each child with an individual bed which is equipped with a clean, comfortable mattress, clean linens, blankets, and pillows, as needed, all in good repair.
(1) No small family home shall have more beds for children's use than required for the maximum capacity approved by the licensing agency.
(A) This requirement shall not apply to the beds made available for ill--ness or separation in an isolation room or area as specified in Section 80087(d).
(2) Linen shall be changed at least once per week or more often when necessary to ensure that clean linen is in use by children at all times.
(3) Beds shall be arranged to allow easy passage between beds and easy entrance into the room.
(d) The licensee shall provide each infant with a safe and sturdy bassinet or crib, appropriate to the child's age and size.
(e) Bunk beds of more than two tiers shall not be used.
(1) Bunk beds shall have railings on the upper tier to prevent falling.
(2) Children under 5 years of age or those who are unable to climb into or out of the upper tier unassisted shall not be permitted to use the upper tier.
(f) The licensee shall provide toys, games, books and recreational and educational materials for the children, based upon their ages, and mental and physical development.
(g) Each bedroom shall have portable or permanent closets and drawer space to accommodate the child's clothing and personal belongings.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
Chapter 5. Group Homes
Article 1. General Requirements and Definitions
§84000. General.
Note     •     History

(a) Group homes, as defined in section 80001.g.(1), shall be governed by the provisions specified in this chapter and in chapter 1. General Requirements.
(b) Group homes shall not accept for placement children who are under the age of six years, unless the facility is licensed for that age group and meets the requirements of Subchapter 2, beginning with Section 84200.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1530, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. *New chapter 5 (articles 1-7, sections 84000-84088.3, not consecutive) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42). For prior history, see Register 83, No. 10.
. *The reorganization of various sections in division 6 into chapter 5 is printed as an adoption for clarity.
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. New subsection (b) and amendment of Note filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84001. Definitions.
Note     •     History

In addition to section 80001, the following shall apply:
(a)(1) “Approved schools, colleges or universities, including correspondence courses offered by the same,” means those approved/authorized by the U.S. Department of Education, Office of Postsecondary Education or by the California Department of Consumer Affairs, Bureau for Private Postsecondary and Vocational Education, pursuant to Education Code Sections 94900 or 94915.
(2) “Accredited schools, colleges or universities, including correspondence courses offered by the same,” means those educational institutions or programs granted public recognition as meeting established standards and requirements of an accrediting agency authorized by the U.S. Secretary of Education.
(3) “Affiliated with licensee” means members of board of directors, executive director, officers and individuals paid by the group home licensee as staff, consultant or contractor used to fulfill the plan of operation.
(4) “Assaultive Behavior” means violent, physical actions which are likely to cause immediate physical harm or danger to an individual or others.
(A) Verbal Assault is not considered a form of assaultive behavior.
(b)(1) “Behavior Management Consultant”, for the purpose of this Chapter, means a person who designs and/or implements behavior modification intervention services and meets one of the following requirements as specified in California Code of Regulations, Title 17, Sections 54344(d).
(c)(1) “Certificate holder” means a person who has a current administrator's certificate issued by the Department regardless of whether the person is employed as an administrator in a group home.
(2) “Child” means a person who is under 18 placed in a licensed group home by a regional center, a parent or guardian, or a public child placement agency with or without a court order. “Child” also means a person who is:
(A) 18 or 19, meets the requirements of Welfare and Institutions Code section 11403, and continues to be provided with care and supervision by the group home, or
(B) 18-22 as specified in the definition for “child with special health care needs” under subsection (c)(3) and continues to be provided with care and supervision by the group home.
(3) “Child with Special Health Care Needs” means a person who is 22 years of age or younger, who meets the requirements of Welfare and Institutions Code section 17710, subsection (a) and all of the following conditions:
(A) Has a medical condition that requires specialized in-home health care and
(B) Is one of the following:
1. A child who has been adjudged a dependent of the court under Welfare and Institutions Code section 300.
2. A child who has not been adjudged a dependent of the court under Welfare and Institutions Code section 300, but who is in the custody of the county welfare department.
3. A child with a developmental disability who is receiving services and case management from a regional center.
(4) “Complete Request” means the vendor applicant has submitted and the Department has received all required information and materials necessary to approve or deny the request for certification program and/or course approval.
(5) “Continuing Education Training Program Vendor” means a vendor approved by the Department to provide Continuing Education training courses to group home administrators and certificate holders to qualify them for renewal of their group home administrator certificate.
(d)(1) “Discipline” means a penalty assessed by the facility against a child for his/her violation of the group home's rules, commitment of illegal actions or damage to property.
(e)(1) “Early Intervention” means the use of non-physical, de-escalation interventions to control injurious behavior. Techniques include, but are not limited to, suggesting alternative behavior, crisis communication and evasive techniques.
(2) “Emergency Intervention” means the justified use of early interventions and/or otherwise prohibited manual restraints to protect the child or others from harm.
(3) “Emergency Intervention Plan” means a written plan which addresses how emergency intervention techniques will be implemented by the licensee in compliance with the requirements specified in Section 84322.
(4) “Emergency Intervention Staff Training Plan” means a written plan which specifies the training provided to group home personnel regarding the use of emergency interventions, as specified in Section 84322(g). The emergency intervention staff training plan is a component of the Emergency Intervention Plan.
(f)(1) “Facility Manager” as defined in Health and Safety Code section 1522.4(a)(1).
(g)(1) “Group Home” means a facility which provides 24-hour care and supervision to children, provides services specified in this chapter to a specific client group, and maintains a structured environment, with such services provided at least in part by staff employed by the licensee. The care and supervision provided by a group home shall be nonmedical except as permitted by Welfare and Institutions Code Section 17736(b). Since small family and foster family homes, by definition, care for six or fewer children only, any facility providing 24-hour care for seven or more children must be licensed as a group home.
(2) “Group Home Program Statement” means a written plan which identifies the client population, program structure and supervision, and provides specific program information. The group home program statement must contain all the elements required in the plan of operation, as specified in Section 84022.
(h)(1) “Health Care Professional” means a physician or an individual who is licensed or certified under Division 2 of the Business and Professions Code to perform the necessary client care procedures prescribed by a physician. Such health care professional include the following: Registered Nurse, Public Health Nurse, Licensed Vocational Nurse, Psychiatric Technician, Physical Therapist, Occupational Therapist and Respiratory Therapist.
(i)(1) “Incident Report” means a written report required by the Department to report incidents as specified in Sections 80061 and 84061.
(2) “Individualized Health Care Plan” means the written plan developed by an individualized health care plan team and approved by the team physician, or other health care professional designated by the physician to serve on the team, for the provision of specialized in-home health care.
(3) “Individualized Health Care Plan Team” means those individuals who develop an individualized health care plan for a child with special health care needs. This team must include the child's primary care physician or other health care professional designated by the physician, any involved medical team, the county social worker or regional center caseworker, and any health care professional designated to monitor the specialized in-home health care provided to the child as stated in the child's individualized health care plan. The individualized health care plan team may include, but shall not be limited to, a public health nurse, representatives from the California Children's Services Program or the Child Health and Disability Prevention Program, regional centers, the county mental health department and where reunification is the goal, the parent or parents, if available. In addition, the individualized health care plan team may include the prospective specialized group home licensee who shall not participate in any team determination required by Sections 84065.1(a)(1)(B) and (b)(2).
(4) “Initial Certification Training Program Vendor” means a vendor approved by the Department to provide the initial forty (40) hour certification training program to persons who do not posses a valid group home administrator certificate.
(j) (Reserved)
(k) (Reserved)
(l) (Reserved)
(m)(1) “Manual Restraint” means the use of a hands-on or other physically applied technique to physically limit the freedom of movement of a child. Techniques include, but are not limited to, forced escorts; holding; prone restraints; or other containment techniques, including protective separation.
(2) “Manual Restraint Plan” means a written plan which address how manual restraints will or will not be implemented by the licensee in compliance with the requirements specified in Sections 84322(e) and (f). The manual restraint plan is a component of the emergency intervention plan.
(3) “Mechanical Restraint” means any physical device or equipment which restricts the movement of the whole or a portion of a child's body, including, but not limited to, handcuffs, restraining sheets, restraining chairs, leather cuffs and belts or any other similar method.
(4) “Medical Conditions Requiring Specialized In-Home Health Care” means, provided that care may be safely and adequately administered in the home:
(A) A dependency upon one or more of the following: enteral feeding tube, total parenteral feeding, a cardiorespiratory monitor, intravenous therapy, a ventilator, oxygen support, urinary catheterization, colostomy, ileostomy, ileal conduit, or other medical or surgical procedures or special medication regimens, including injection, and intravenous medication; or
(B) Conditions such as AIDS, premature birth, congenital defects, severe seizure disorders, severe asthma, bronchopulmonary dysplasia, and severe gastroesophageal reflux when his/her condition could rapidly deteriorate causing permanent injury or death.
(5) “Minor parent program” means a group home program that serves pregnant minors and minor parents with children younger than six years of age, who are dependents of the court, nondependents, voluntary and/or regional center placements, and reside in the group home with the minor parent, who is the primary caregiver of the young child.
(n)(1) “Needs and Services Plan” means a time-limited, goal-oriented written plan, implemented by the licensee, which identifies the specific needs of an individual child, including those items specified in Sections 84068.2 and 84168.3; and delineates those services necessary in order to meet the child's identified needs.
(o) (Reserved)
(p)(1) “Physical Restraining Device” means any physical or mechanical device, material, or equipment attached or adjacent to a child's body which the child cannot remove easily and which restricts the child's freedom of movement. Restraining devices include leg restraints, arm restraints, soft ties or vests, wheel chair safety bars. and full length bedrails.
(2) “Protective Separation” means the voluntary or involuntary removal of a child for the purpose of protecting the child from injuring himself, herself or others.
(3) “Protective Separation Room” means an unlocked room specifically designated and designed for the involuntary separation of a child from other children for a limited time period for the purpose of protecting the child from injuring or endangering himself, herself or others.
(q)(1) “Qualified Mental Retardation Professional” means a person described in Title 22, division 5, chapter 8, section 76834.
(r)(1) “Reasonable and Prudent Parent Standard” means the standard characterized by careful and sensible parental decisions that maintain the child's health, safety, and best interest, that an administrator or facility manager, or his or her responsible designee, shall use when determining whether to allow a child in care to participate in extracurricular, enrichment and social activities. 
(2) “Runaway” means a child who absents himself or herself from the facility without permission from facility personnel.
(3) “Runaway Plan” means a written plan which addresses how the licensee will respond to runaway situations.
(s)(1) “Satellite Home” means a facility which is owned by, contracted with, or otherwise controlled by the licensee of another group home. The primary function of the satellite home is to provide residential services to children who are former clients of the primary group home and/or to children who receive direct services from the primary group home. As specified in section 80008(b), each satellite home is required to independently meet regulations applicable to its licensed category.
(2) “Social Work Staff” means at least one social worker or other professional person trained in the behavioral sciences who provides, either through employment or alternative means, those services specified in this chapter.
(3) “Specialized Group Home” means a licensed group home which provides specialized in-home health care to children.
(4) “Specialized In-Home Health Care” means health care identified by the child's physician as appropriately administered in the facility by a health care professional or by a licensee or staff trained by health care professionals pursuant to the child's individualized health care plan. For a child with special health care needs placed in a group home after November 1, 1993, these services must be provided by a health care professional.
(A) Such alternative means shall include services provided by the social work staff of placement agencies only when such services are within the scope of the duties assigned to the worker by his/her agency.
(t) (Reserved)
(u) (Reserved)
(v) (1) “Vendor” means a Department-approved institution, association, individual(s), or other entity that assumes full responsibility or control over a Department-approved Initial Certification Training Program and/or a Continuing Education Training Program.
(2) “Vendor Applicant” means any institution, association, individual(s), or other entity that submits a request for approval of an Initial Certification Training Program and/or a Continuing Education Training Program.
(w) (Reserved)
(x) (Reserved)
(y) (Reserved)
(z) (Reserved)
NOTE

Authority cited: Sections 1522.41(j), 1530, 1530.8 and 1530.9, Health and Safety Code; and Section 17730, Welfare and Institutions Code. Reference: Sections 1501, 1502, 1503, 1507, 1507.2, 1522.4, 1522.41, 1522.41(j), 1530.8 and 1531, Health and Safety Code; Sections 362.04(a)(2), 362.05(a), 727(a)(4)(A), 11331.5(d), 11403, 11406(c), 17710, 17731, 17732.1, 17736(a) and 17736(b), Welfare and Institutions Code; and 45 CFR Section 1351.1(k).
HISTORY

1. Amendment filed 2-11-87; effective thirtieth day thereafter (Register 87, No. 7).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Editorial correction restoring inadvertently omitted language (Register 97, No. 20).
4. Amendment of section and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
5. Amendment of subsection n.(1) and Note filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
6. New subsections a.(1)-(2) filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
7. Amendment of section and Note filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
8. New subsection c.(1), subsection renumbering, new subsections c.(4)-(5), i.(4) and v.(1)-(2) and amendment of Note filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
9. New subsection a.(3) and subsection renumbering filed 1-26-2000; operative 1-26-2000 (Register 2000, No. 4).  
10. New subsection c.(1), subsection renumbering, new subsections c.(4)-(5), i.(4) and v.(1)-(2) and amendment of Note refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 3-9-2000 order transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
12. Amendment of subsections (e)(3)-(4) and (m)(2) filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
13. Reinstatement of section as it existed prior to 1-17-2002 emergency amendment by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
14. Change without regulatory effect amending subsections (e)(3)-(4) and (m)(2) filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
15. New subsection (a)(5) and amendment of Note filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
16. New subsection (r)(1), subsection renumbering and amendment of Note filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
17. Renumbering of subsection (a)(5) to subsection (m)(5), amendment of subsection (c)(2), new subsections (c)(2)(A)-(B) and amendment of subsections (c)(3) and (c)(3)(B)1.-2. and Note filed 2-6-2012; operative 3-7-2012 (Register 2012, No. 6).
§84002. Definitions--Forms.
Note     •     History

The following forms are incorporated by reference:
(a) LIC 9165 (2/99), Board of Directors Statement.
(b) PUB 326 (4/99), Facts You Need to Know, Group Home Board of Directors.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1520.1(b)(1) and (2), Health and Safety Code.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 7-1-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 2). 
3. Certificate of Compliance as to 6-24-99 order transmitted to OAL 12-1-99 and filed 1-12-2000 (Register 2000, No. 2).
Article 2. Licensing
§84009. Posting of License.
Note

(a) The license shall be posted in a prominent, publicly accessible location in the facility.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§84010.1. Term Limits for Specialized Group Homes.
Note     •     History

(a) Group homes may provide care and supervision to children with special health care needs provided that either:
(1) The child was placed in the group home before January 1, 1992, and has since resided continuously in the home; or
(2) The child was or will be placed in the group home on or after January 1, 1992, and all of the following conditions are met:
(A) The child has not spent more than 120 calendar days in any group home or combination of group homes while having special health care needs.
1. The 120-day limitation may not be extended except with the written approval of the District or his/her designee.
(B) The placement is on an emergency basis for the purpose of arranging a subsequent placement in a less restrictive setting, such as with the child's natural parents or relatives, with a foster parent or foster family agency, or with another appropriate person or facility.
(C) The county social worker, regional center caseworker or authorized representative for each child in the home determines that the specialized group home can meet the specific needs of his/her child.
(b) The licensee of a group home shall not accept a child requiring in-home health care, other than incidental medical services pursuant to Section 1507 of the Health and Safety Code, unless the child is a child with special health care needs.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17732(a), (d) and (e) and 17736(a), Welfare and Institutions Code; and Section 1507, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§84010.2. Prohibition of Dual Licensure for Specialized Group Homes.
Note     •     History

(a) A group home licensee shall not hold any day care, other residential or health care facility license for the same premises as the group home while the home is providing care and supervision to children with special health care needs.
(1) Any group home licensee planning to provide care and supervision to a child with special health care needs who holds a license as specified in Section 84010.2(a) shall surrender the license to the licensing agency prior to accepting a child with special health care needs.
(2) The provisions specified in Sections 84010.2(a) and (a)(1) shall not apply to existing licensed group homes that meet both of the following:
(A) All children with special health care needs were accepted prior to the effective date of this section; and
(B) No application for a day care, other residential or health facility license was approved for the premises on or after the effective date of this section.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17732(e), Welfare and Institutions Code; and Sections 1300, 1531 and 1524(c), Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§84012. False Claims; Ineligibility.
Note     •     History

If a person is determined to have made, disseminated, participated in making, or caused to be made a false or misleading statement pursuant to Section 80012(a), and that statement has resulted in a group home overpayment being assessed pursuant to the Manual of Policies and Procedures Section 11-402.6 et seq., then such person shall not be eligible for a new license under Division 6 or Division 12 and shall not be eligible to serve as an officer or employee of a new or subsequent licensee under Division 6 or Division 12 until the group home overpayment is fully repaid or otherwise discharged.
NOTE

Authority cited: Section 1550, Health and Safety Code. Reference: Section 1550, Health and Safety Code; and Sections 11466.22(a), (b), (e) and (f), Welfare and Institutions Code.
HISTORY

1. New section filed 11-5-96; operative 12-5-96 (Register 96, No. 45).
Article 3. Application Procedures
§84018. Application for License.
Note     •     History

(a) In addition to Section 80018, the following shall apply.
(b) Each applicant shall submit the following to the licensing agency:
(1) A financial plan of operation on forms provided or approved by the department.
(A) Start-up funds shall be available and shall include funds for the first three months of operation.
(B) Start-up funds shall be independent of prospective client fees. In cases of a change of ownership, expected income from clients currently in placement shall be considered.
(C) Start-up funds shall not include funds designated for or used for construction costs.
(D) The licensing agency shall have the authority to require written verification of the availability of the funds specified in (A) above.
(2) A written plan for training of child care staff, as specified in Section 84065(h), and facility managers, as specified in Section 84065(k).
(3) A written plan for activities as specified in Sections 84079(a) through (a)(5).
(4) The name and residence and mailing addresses of the facility administrator, a description of the administrator's background and qualifications, and documentation verifying required education and administrator certification.
(c) Each corporate applicant shall obtain a signed form, LIC 9165 from each member of the board of directors. A copy of each signed LIC 9165 shall be submitted to the Department.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1501, 1520, 1522.41(b), 1531 and 1562, Health and Safety Code.
HISTORY

1. New subsection (b)(1)(B) and (b)(1)(C) and subsection relettering filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
2. Amendment of subsection (b)(2) filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
3. New subsection (c) filed 6-24-99 as an emergency; operative 7-1-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b)(2) filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day. 
5. New subsection (b)(4) and amendment of Note filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day. 
6. Editorial correction adding inadvertently omitted subsection (c), adding History 3, and renumbering Histories (Register 2000, No. 2). 
7. Certificate of Compliance as to 6-24-99 order transmitted to OAL 12-1-99 and filed 1-12-2000 (Register 2000, No. 2).
8. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-14-99 and filed 1-26-2000 (Register 2000, No. 4).
9. New subsection (b)(4) and amendment of Note refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-9-2000 order transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84022. Plan of Operation.
Note     •     History

(a) In addition to Section 80022, the following shall apply.
(b) The plan of operation shall include the following:
(1) A statement regarding the types of children to be served by the facility, including dependent, neglected, delinquent, predelinquent, physically handicapped, developmentally disabled, mentally disordered, or emotionally disturbed children.
(2) A description of services to be provided by the facility which shall include the following:
(A) Procedures for development of a needs and services plan which addresses each child's needs and the services required to meet such needs.
(B) Procedures for review and evaluation of the needs and services plan.
(C) Policy regarding participation f the child and his/her authorized representative(s) in the development of the needs and services plan.
(D) Procedures for implementation and modification of the needs and services plan.
(E) Policies and procedures for the child's discharge when he/she reaches age 18; after needs and services plan goals have been reached; when the needs and services plan has proven to be ineffective; or when it has been determined that the child's continued placement in the facility is detrimental to the child or other children in the facility.
(3) The administrative policies and procedures to be used to implement the facility's plan of operation.
(4) A written Emergency Intervention Plan as specified in Section 84322.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New subsection (b)(4) filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Amendment of subsection (b)(4) filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2003, No. 4).
4. Reinstatement of section as it existed prior to 1-17-2002 emergency amendment by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
5. Change without regulatory effect amending subsection (b)(4) filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84026. Safeguards for Cash Resources, Personal Property, and Valuables.
Note     •     History

(a) In addition to Section 80026, the following shall apply.
(b) The licensee shall have written policies and procedures meeting the requirements in (c) below approved in advance by the licensing agency.
(c) The licensee shall ensure that a child's cash resources are not taken in the form of fines unless the following requirements are met:
(1) All fines levied shall be recorded and explained in the child's file, including the amount of the fine and the reason for the fine.
(2) Such fines shall be maintained in an account separate from the personal or business accounts of the licensee or facility.
(A) Records shall be maintained accounting for any interest earned and expenditures from the account.
(3) All fines collected shall be used for the benefit of the individual child or all children in placement.
(4) The circumstances under which fines are to be imposed shall be specified in writing.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations renumbering former section 84027 to Section 84026 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. New subsection (b) and subsection relettering of former subsection (b) to subsection (c) with amendments filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
§84027. Safeguards for Cash Resources, Personal Property, and Valuables. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of Section 84026 to Section 84027 filed 12-22-87; operative 1-21-88 (Register 88, No. 2).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 84027 to Section 84026 filed 1-9-89 (Register 89, No. 3).
§84030. Provisional License (Group Home).
Note     •     History

(a) The provisions in the General Licensing Requirements, Sections 80030(a) through 80030(f) and 80031, shall not apply to group home licensees and applicants. The provisional license requirements in Sections 84030.1, 84031, 84031.1, and 84031.2 shall apply to all group home licensees and applicants.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520, 1520.1, 1524, 1525.5 and 1531, Health and Safety Code.
HISTORY

1. New section filed 7-1-99 as an emergency pursuant to section 73 of Chapter 311 of the Statutes of 1998; operative 7-1-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-1-99 order, including amendment of section and Note, transmitted to OAL 12-3-99 and filed 1-14-2000 (Register 2000, No. 2).
§84030.1. Provisional License.
Note     •     History

(a) All group home license applicants who complete an application and who meet the regulatory and statutory requirements shall receive a provisional license for the first twelve months. After eight months of operation, the licensing agency shall conduct a comprehensive review of the facility for compliance with all applicable laws and regulations and shall assist the applicant to develop a plan of correction, when necessary.
(1) Before the first business day of the thirteenth month of operation, if the Department determines that the group home is in substantial compliance with licensing standards, the Department shall issue a permanent group home license except as provided in Section 84030.1(b).
(b) If the Department determines that the group home is in substantial compliance with licensing standards, the Department may extend the provisional license for up to an additional six months for either of the following reasons:
(1) The group home requires additional time to be in full compliance with licensing standards.
(2) After twelve months of operation, the group home is not operating at fifty percent of its licensed capacity.
(c) By no later than the first business day of the seventeenth month of operation, the Department shall conduct an additional review of a facility for which a provisional license is extended pursuant to Section 84030.1(b), to determine whether a permanent license should be issued.
(d) Under the following conditions, a group home licensee with a permanent license may apply for a provisional license:
(1) A temporary change in facility location of not more than six months due to unforseen circumstances beyond the control of the licensee (i.e. flood, earthquake, etc.).
(A) The licensing agency shall have the authority to authorize a temporary facility change following a licensing agency review, a finding of substantial compliance with licensing standards, and the securing of an appropriate fire clearance.
(e) If, during the provisional license period, the licensing agency discovers any serious deficiencies, the Department shall have the authority to institute administrative action, or civil proceedings, or to refer the case for criminal prosecution. As one of the options under the administrative action process, the Department may deny a group home license application at any time during the term of the provisional license to protect the health and safety of clients. If the Department denies the application, the group home shall cease operation immediately. Continued operation of the facility after the Department denies the application or after the provisional license expires shall constitute unlicensed operation.
(f) A provisional license shall not be renewable and shall terminate on the date specified on the license or upon denial of the application, whichever is earlier.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520, 1520.1, 1524, 1525.5 and 1531, Health and Safety Code.
HISTORY

1. New section filed 7-1-99 as an emergency pursuant to section 73 of Chapter 311 of the Statutes of 1998; operative 7-1-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-1-99 order, including amendment of subsection (d)(1) and Note, transmitted to OAL 12-3-99 and filed 1-14-2000 (Register 2000, No. 2).
§84031. Issuance of a License (Group Home).
Note     •     History

(a) All group home license applicants who complete an application and who meet the regulatory and statutory requirements shall receive a provisional license for the first twelve (12) months of operation and during that period shall be evaluated for a permanent license.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1509, 1520, 1520.1, 1520.5, 1525 and 1531.5, Health and Safety Code.
HISTORY

1. New section filed 7-1-99 as an emergency pursuant to section 73 of Chapter 311 of the Statutes of 1998; operative 7-1-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-1-99 order, including amendment of Note, transmitted to OAL 12-3-99 and filed 1-14-2000 (Register 2000, No. 2).
§84031.1. Issuance of a Provisional License (Group Home).
Note     •     History

(a) For the time frames of the initial review of the application for completeness, see Section 80027.
(b) Within ninety (90) days of the date that a completed application, as defined in Section 80001(c)(10), has been received, the licensing agency shall give written notice to the group home applicant of one of the following:
(1) A provisional license has been approved for the first twelve months of operation pending a comprehensive review and final evaluation for a permanent group home license.
(2) The application has been denied.
(A) The notice of denial shall include the information specified in Section 80040(b)(1).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1509, 1520, 1520.1, 1520.5, 1525, 1526 and 1531.5, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. New section filed 7-1-99 as an emergency pursuant to section 73 of Chapter 311 of the Statutes of 1998; operative 7-1-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-1-99 order, including amendment of subsection (b)(2)(A) and repealer of subsection (c), transmitted to OAL 12-3-99 and filed 1-14-2000 (Register 2000, No. 2).
§84031.2. Issuance of a Permanent License (Group Home).
Note     •     History

(a) Before the first business day of the thirteenth month (up to nineteen months, if an extension was granted in accordance with Section 84030.1(b)) after the effective date of the provisional license, as defined in Section 84030.1, the licensing agency shall give written notice to the group home applicant of one of the following:
(1) A permanent license has been approved.
(2) The application has been denied.
(A) The notice of denial shall include the information specified in Section 80040(b)(1).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1509, 1520, 1520.1, 1520.5, 1525, 1526 and 1531.5, Health and Safety Code.
HISTORY

1. New section filed 7-1-99 as an emergency pursuant to section 73 of Chapter 311 of the Statutes of 1998; operative 7-1-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-1-99 order, including amendment of subsection (a)(2)(A) and repealer of subsection (b), transmitted to OAL 12-3-99 and filed 1-14-2000 (Register 2000, No. 2).
§84040. Denial of Initial License.
Note     •     History

(a) An application for licensure shall be denied when the applicant does not provide an LIC 9165 signed by each member of the board of directors, that includes the statement specified in Health and Safety Code Section 1520.1(b)(1).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1520.1(b)(1), Health and Safety Code.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 7-1-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 2). 
3. Certificate of Compliance as to 6-24-99 order transmitted to OAL 12-1-99 and filed 1-12-2000 (Register 2000, No. 2).
Article 4. Administrative Actions
§84044. Inspection Authority of the Department or Licensing Agency.
Note     •     History

(a) In addition to Section 80044, licensees providing care and supervision to six or fewer clients shall comply with the provision of Health and Safety Code Section 1522.4(a)(5).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1522.4, Health and Safety Code.
HISTORY

1. New section filed 2-11-87; effective thirtieth day thereafter (Register 87, No. 7).
§84045. Evaluation Visits.
Note     •     History

(a) In addition to Section 80045, the following shall apply.
(b) The licensee shall maintain licensing reports as specified in Health and Safety Code Section 1538.5(a)(2).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1538.5, Health and Safety Code.
HISTORY

1. New section filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
Article 5. Enforcement Provisions
§84051. Serious Deficiencies.
Note     •     History

(b) Failure to operate according to the plan of operation, as specified in Section 84222, may result in a citation for a serious deficiency.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. Amendment of section and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
2. New subsection (b) and amendment of Note filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
Article 6. Continuing Requirements
§84061. Reporting Requirements.
Note     •     History

(a) In addition to Section 80061, the following shall apply.
(b) The licensee shall ensure that the child's authorized representative is notified no later than the next working day if the following circumstances have occurred without the authorized representative's participation:
(1) The child has been placed in the facility under emergency circumstances.
(2) The child has been removed from the facility.
(3) Each time the child has been placed in a manual restraint, to be reported as required in Section 84361.
(c) The licensee shall ensure that the child's authorized representative is sent prior written notification regarding the need for nonemergency relocation of the child to another facility, including a satellite home.
(d) The licensee shall ensure that the child's authorized representative is notified if the child is not enrolled in or regularly attending school.
(e) Effective January 1, 2000, the licensee shall notify the Department, in writing, within ten (10) days of any change in the facility administrator.
(f) The licensee shall notify the licensing agency in writing within ten working days of acquiring a new member of the board of directors. The notification shall include the following:
(1) Name and mailing address of the new member of the board of directors;
(2) Date he or she joined the board of directors, and
(3) A copy of the LIC 9165 signed by the new member of the board of directors.
(g) The licensee shall notify the Department, in writing, within ten (10) days of the hiring of a new administrator. The notification shall include the following:
(1) Name, and residence and mailing addresses of the new administrator.
(2) Date he/she assumed his/her position.
(3) Description of his/her background and qualifications, including documentation of required education and administrator certification.
(A) A photocopy of the documentation shall be permitted.
(h) Incident Reports must include the following:
(1) Date, time, duration and location of the incident.
(2) A detailed narrative, describing the incident and the events leading up to incident.
(3) Analysis of the incident:
(A) Other reportable incidents involving the same child in the preceding six months.
(B) Description of other incidents.
1. Dates of previous incidents.
2. Types of incidents.
3. Action taken by facility personnel in response to incidents.
(C) Are there commonalities between this incident and other incidents involving the same child in the preceding six months.
(4) Description of the facility's plan for the child, in response to the incident, including modifications to the child's needs and services plan. If the child has been involved in previous incidents, explain what the previous modifications were to the child's needs and services plan. 
(5) What action was taken by facility personnel to re-integrate the child into the general population after the incident.
(6) When the Incident Report is used to report the use of manual restraints, the report must include the following:
(A) Date and time of other manual restraints involving the same child in the past 24 hours.
(B) A description of the child's behavior that required the use of manual restraints, and description of the precipitating factors which led to the intervention.
(C) Description of what manual restraints were used, and how long the child was restrained.
(D) Description of what non-physical interventions were utilized prior to the restraint; explanation of why more restrictive interventions were necessary.
(E) Description of injuries sustained by the child or facility personnel. What type of medical treatment was sought and where was child taken. Explanation if medical treatment not sought for injuries.
(F) Name(s) of facility personnel who provided the manual restraint.
(G) Name(s) of facility personnel who witnessed the child's behavior and the restraint.
(H) The child's verbal response and physical appearance, including a description of any injuries at the completion of the restraint.
(I) If it is determined by the post incident review, as required in Section 84368.3, that facility personnel did not attempt to prevent the manual restraint, a description of what action should have been taken by facility personnel to prevent the manual restraint incident. What corrective action will be taken or not taken and why.
(J) If law enforcement was involved, a detailed description of the incident.
(K) Documentation that the child's authorized representative has been notified of the incident. 
(7) When the Incident Report is used to report a runaway situation, the report must include the following:
(A) When and how was the child's absence first noted.
(B) If known, child's last known activities.
(C) What were the circumstances surrounding the child's absence.
(D) What action did the facility personnel take to discourage the child from leaving; and what interventions were utilized, if any.
(E) What action was taken by facility personnel to locate the child.
(F) If a manual restraint was used, and if it is determined by the post incident review, as required in Section 84368.3, that facility personnel did not attempt to prevent the manual restraint, a description of what action should have been taken by facility personnel to prevent the manual restraint incident. What corrective action will be taken or not taken and why.
(G) If law enforcement was involved in the incident, a detailed description of the incident.
(H) Documentation that the child's authorized representative has been notified of the incident.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1522.41(b)(4), 1531 and 1562, Health and Safety Code; and Section 11406(c), Welfare and Institutions Code.
HISTORY

1. New subsections (b)(3) and (f)-(f)(7)(H) filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. New subsections (g)-(g)(3) and amendment of Note filed 6-24-99 as an emergency; operative 7-1-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. New subsection (e), amendment of subsections (g) and (g)(3) and amendment of Note filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
4. Change without regulatory effect relettering subsections (f)-(f)(7)(H) to (h)-(h)(7)(H) and relettering subsections (g)-(g)(3) adopted 6-24-99 to (f)-(f)(3) filed 12-20-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 52).
5. Editorial correction of History 2 (Register 2000, No. 2). 
6. Certificate of Compliance as to 6-24-99 order transmitted to OAL 12-1-99 and filed 1-12-2000 (Register 2000, No. 2).
7. New subsection (e), amendment of subsections (g) and (g)(3) and amendment of Note refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-9-2000 order transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
9. Amendment of subsections (h)(6)(I) and (h)(7)(F) filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
10. Reinstatement of section as it existed prior to 1-17-2002 emergency amendment by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
11. Change without regulatory effect amending subsections (h)(6)(I) and (h)(7)(F) filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
12. Amendment of subsection (b)(3) filed 2-6-2012; operative 3-7-2012 (Register 2012, No. 6).
§84063. Accountability.
Note     •     History

(a) The board of directors shall be active in ensuring accountability; and shall perform, at a minimum, the following duties:
(1) Establish and approve policies and procedures governing the operation of the group home;
(2) Approve and monitor the corporation's operating budget;
(3) Assess and maintain the level of funds necessary to cover the costs of operating the group home;
(4) Review and approve the facility's emergency intervention plan as specified in Section 84322(k);
(5) Employ an administrator who meets the requirements of Section 84064;
(6) Complete a written statement describing the duties delegated to the administrator. Provide a copy of this statement to the administrator and maintain a copy in the facility's file;
(7) Require that the Chief Executive Officer, administrator, or a designee be present at all board of directors meetings during which the operation or the policies of the group home(s) are discussed;
(8) Conduct board of directors meetings at least on a quarterly basis to review and discuss the group home's operation and documents as specified in Health and Safety Code Section 1520.1(f), and based upon the review, ensure that the group home complies with all applicable regulations;
(9) Ensure that minutes are kept for all board of directors meetings and retained as a permanent record. The minutes shall reflect the board's discussion of the documents specified in Health and Safety Code Section 1520.1(f);
(10) Ensure that all minutes of board of directors' meetings are available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Minutes may be removed if necessary for copying. Removal of minutes shall be subject to the following requirements: 
(A) Prior to removing any minutes, a licensing representative shall prepare a list of the minutes to be removed, sign and date the list upon removal of the minutes, and leave a copy of the list with the administrator or designee. 
(B) Licensing representatives shall return the minutes undamaged and in good order within three business days following the date the minutes were removed. 
(11) Submit copies of all corporate documents to the licensing agency at the time documents are submitted to the Secretary of State.
(b) The licensee shall provide each board of directors member with the “Facts You Need To Know, Group Home Board of Directors” (PUB 326) booklet furnished by the Department.
(c) The licensee shall require that each board of directors member sign and date the form, LIC 9165) as specified in Section 84018(c). The signed original form shall be maintained in the corporation's principal California office.
(1) The signed form shall be obtained from each board of directors member by the next scheduled board of directors meeting after July 1, 1999.
(2) A signed form shall be obtained from a prospective board of directors member before joining the board of directors.
(3) A permanent license shall not be issued until all members of the board of directors have signed the form.
(4) The LIC 9165 specified in (c) above shall be made available for review by the Department upon request.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1520.1(f) and 1520.11(c), Health and Safety Code.
HISTORY

1. New section filed 6-24-99 as an emergency; operative 7-1-99 (Register 99, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 2). 
3. Certificate of Compliance as to 6-24-99 order transmitted to OAL 12-1-99 and filed 1-12-2000 (Register 2000, No. 2).
4. Amendment of subsection (a)(4) filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
5. Reinstatement of section as it existed prior to 1-17-2002 emergency amendment by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
6. Change without regulatory effect amending subsection (a)(4) filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
7. Amendment of subsections (a) and (a)(10) and new subsections (a)(10)(A)-(B) filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§84064. Administrator Qualifications and Duties.
Note     •     History

(a) In addition to section 80064, the following shall apply.
(b) Effective January 1, 2000, all group homes shall have a certified  administrator.
(1) Between January 1, 2000 and July 1, 2001 only, where good faith efforts to employ a certified administrator are unsuccessful, applicants for a license to operate a group home may be granted a provisional license pursuant to the provisions of regulation Section 84030.1. The Department may deny the license if the licensee fails to employ a certified administrator pursuant to the terms and conditions of the provisional license.
(2) In the event a certified administrator is not employed within ten (10) days of the departure of the former administrator, a written “Plan of Correction” shall be developed to bring the group home into compliance with the requirements of this section.
(3) In those cases where the individual is both the licensee and the administrator of a group home, the individual shall comply with all of the licensee and certified administrator requirements.
(4) The Department may revoke the license of a group home for failure to comply with all requirements regarding certified administrators.
(5) Unless otherwise provided, a certified administrator may administer more than one licensed group home.
(c) The administrator shall be on the premises for the number of hours necessary to manage and administer the facility in compliance with applicable law and regulation.
(d) When the administrator is absent, one of the following requirements shall be met:
(1) In facilities with a licensed capacity of 12 or fewer children, there shall be coverage by a designated staff person.
(2) In facilities with a licensed capacity of 13 or more children, there shall be coverage by a designated substitute who has the following qualifications:
(A) Graduation from high school or equivalent.
(B) One year of administrative or supervisory experience over social work, child care and/or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of seven or more.
(e) The administrator shall meet the requirements specified below:
(1) The administrator of a facility with a licensed capacity of 12 or fewer children shall meet one of the following requirements:
(A) Have a master's degree in a behavioral science from an accredited college or university, plus a minimum of one year of employment as a social worker, as defined in section 80001(a)(47), in an agency serving children or in a group residential program for children.
(B) Have a bachelor's degree from an accredited college or university, plus at least one year of administrative experience or supervisory experience over social work, child care, and/or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of seven or more.
(C) Have completed at least two years at an accredited college or university, plus at least two years administrative experience or supervisory experience over social work, child care, and/or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of seven or more.
(D) Have completed high school, or equivalent, plus at least three years administrative experience or supervisory experience over social work, child care, and/or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of seven or more.
(2) The administrator of a facility with a licensed capacity of 13 or more children shall meet one of the following requirements:
(A) Have a master's degree in a behavioral science from an accredited college or university, plus at least one year of administrative experience or supervisory experience over social work, child care, and/or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of seven or more.
(B) Have a master's degree in a behavioral science from an accredited college or university, plus two years of employment as a social worker, as defined in section 80001s.(4), in an agency serving children or in a group residential program for children.
(C) Have a bachelor's degree from an accredited college or university, plus at least three years administrative experience or supervisory experience over social work, child care, and/or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of seven or more.
(D) Have completed at least two years at an accredited college or university, plus at least five years administrative experience or supervisory experience over social work, child care, and/or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of seven or more.
(f) The administrator shall perform the following duties:
(1) Direction and evaluation of a group home facility within the limits of the functions and policies established by the licensee.
(2) Preparation of the facility's budget and management of expenditures according to the facility's budget limitations.
(3) Organization of the work of the facility and delegation of responsibility to staff members.
(4) Assessment of the facility operations and program; and reporting to the licensee and making recommendations to address identified problems.
(5) Recruitment, appointment, evaluation, and termination of staff.
(6) Development of a plan for the orientation, development and training of staff, as specified in section 84065(g).
(7) Review of complaints made by children or their authorized representative(s) as specified in section 84072.2(a), and deciding upon the action to be taken to handle the complaint.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1501, 1522.41(b), 1531 and 1562, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (e)(2)(B) filed 1-9-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 8).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Amendment of subsection (e)(1)(A) and new subsection (f)(1) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
4. Editorial correction of subsection (e)(2)(B) (Register 98, No. 36).
5. Amendment of section and Note filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-9-2000 order transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84064.1. Additional Administrator Qualifications and Duties in Specialized Group Homes.
Note     •     History

(a) The administrator shall ensure the provision of services to children with special health care needs with appropriate regard for the child's physical and mental well-being and needs, including those services identified in the child's individualized health care plan.
NOTE

Authority cited:Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 1501, 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§84064.2. Administrator Certification Requirements.
Note     •     History

(a) An individual employed on or after January 1, 2000, shall be a certificate holder prior to being employed as an administrator.
(1) An individual employed as an administrator on December 31, 1999 shall be permitted to take the standardized written test administered by the Department in lieu of completing the forty (40) hours of Initial Certification Training Program classroom instruction. If a passing score is not achieved after two (2) attempts, the administrator must complete a forty (40) hour Initial Certification Training Program and pass the test no later than December 31, 2000.
(2) An individual who, though not an administrator, is employed by a group home on December 31, 1999 shall be permitted to take the standardized written test administered by the Department in lieu of completing the forty (40) hours of Initial Certification Training Program classroom instruction provided that he/she meets the following conditions:
(A) The individual must have been employed as a group home administrator for at least four (4) of the last eight (8) years, and
(B) While employed as an administrator, the individual must have had a record of administering the facility for which he/she was responsible in substantial compliance as defined in Section 80001(s)(6).
(b) To receive his/her certificate an applicant shall:
(1) Successfully complete a Department approved Initial Certification Training Program, except as specified in Section 84064.2(a)(1) above.
(2) Pass a written test administered by the Department within sixty (60) days of completion of an Initial Certification Training Program.
(3) Submit an application form to the Department's certification section within thirty (30) days of being notified of having passed the test. The application shall contain the following:
(A) Proof that the applicant has successfully completed a Department approved Initial Certification Training Program or proof of employment as an administrator on December 31, 1999.
(B) A statement certifying that the applicant is at least twenty-one (21) years of age.
(C) Fingerprint cards, or evidence that the applicant has submitted fingerprints to the Department of Justice at a livescan facility, or a statement that the applicant has a current criminal record clearance on file with the Department.
(D) A one hundred dollar ($100) processing fee.
(c) The Department shall not issue a certificate until it receives notification from the Department of Justice that the applicant has a criminal record clearance pursuant to Health and Safety Code Section 1522 or is able to transfer a current criminal record clearance pursuant to Health and Safety Code Section 1522(b)(1).
(d) It shall be unlawful for any person not certified under this section to misrepresent himself or herself as a certified administrator. Any person willfully making any false representation as being a certified group home administrator is guilty of a misdemeanor.
(e) Certificates issued under this section shall be renewed every two (2) years provided the certificate holder has complied with all renewal requirements.
(f) Certificates shall be valid for a period of two (2) years and expire on either the anniversary date of initial issuance or on the individual's birthday during the second calendar year following certification.
(1) The certificate holder shall make an irrevocable election to have his or her recertification date for any subsequent recertification either on the date two years from the date of issuance of the certificate or on the individual's birthday during the second calendar year following certification.
(g) Time deadlines specified in Section 84064.2(b)(2) and (3) above may be extended for good cause as determined by the Department. Any request for extension of time shall be in writing and shall contain a statement of all facts the applicant believes constitute good cause to extend time.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1522.41(b) through (f), Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including new subsections (a)(2)-(a)(2)(B), transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84064.3. Administrator Recertification Requirements.
Note     •     History

(a) Administrators shall complete at least forty (40) classroom hours of continuing education during the two-year certification period. Continuing education hours must relate to the Core of Knowledge and be completed through any combination of the following:
(1) Courses provided by vendors approved by the Department, or
(2) Accredited educational institutions offering courses that are consistent with the requirements of this section, or
(3) Courses offered by vendors approved by other California State agencies provided that:
(A) The approval and enforcement procedures of the State agency are comparable to the approval and enforcement procedures of the Department, and
(B) The course relates to the Core of Knowledge as specified in Section 84090(h)(1)(A) through (I).
(4) Certified administrators required to complete continuing education hours required by regulations of the Department of Developmental Services, and approved by the Regional Center, may have up to twenty-four (24) of the required continuing education course hours credited toward the forty (40) hour continuing education requirement.
(A) Community college course hours approved by the Regional Center shall be accepted by the Department for recertifcation.
(B) Any continuing education course hours in excess of twenty-four (24) hours offered by the Department of Developmental Services and approved by the Regional Center may be credited toward the forty (40) hour requirement provided the courses are not duplicative and relate to the core of knowledge as specified in Section 84090(h)(1)(A) through (I).
(5) Continuing education hours must enhance the core of knowledge. Continuing education credit will not be provided for any Initial Certification Training Program course.
(b) Courses approved for continuing education credit shall require the physical presence of the certificate holder in a classroom setting except that:
(1) The Department may approve courses where technology permits the simultaneous and interactive participation of the certificate holder, provided such participation is verifiable.
(c) To apply for recertification prior to the expiration date of the certificate, the certificate holder shall submit:
(1) A written request to recertify post-marked prior to the certificate expiration date.
(2) Evidence of completion of forty (40) continuing education hours as specified in Section 84064.3(a) above.
(3) Payment of a one hundred dollar ($100) processing fee.
(d) To apply for recertification after the expiration date of the certificate, but within four (4) years of the certificate expiration date, the certificate holder shall submit:
(1) A written request to recertify.
(2) Evidence of completion of the required continuing education hours as specified in Section 84064.3(a) above. The total number of hours required for recertification shall be determined by computing the number of continuing education hours the certificate holder would have been required to complete if they had remained certified. The date of computation shall be the date the written request for recertification is received by the Department.
(3) Payment of a delinquency fee equal to three times the renewal fee, or three hundred dollar ($300).
(e) Certificates not renewed within four (4) years of their expiration date shall not be renewed, restored, reissued or reinstated.
(1) Holders of certificates not renewed within four (4) years of their expiration date shall complete an Initial Certification Training Program as specified in Section 84064.2(b).
(f) Certificate holders, as a condition of recertification, shall have a current criminal record clearance.
(g) A processing fee of twenty-five dollar ($25) shall be paid for the replacement of a lost certificate.
(h) A certificate holder shall report any change of mailing address within thirty (30) days to the Department's administrator certification section.
(i) Whenever a certified administrator assumes or relinquishes responsibility for administering a group home facility, he or she shall provide written notice within ten (10) days to:
(1) The licensing District Office(s) responsible for receiving information regarding personnel changes at the licensed facilities with whom the certificate holder is or was associated, and
(2) The Department's administrator certification section.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Section 1522.41(f), Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including amendment of subsection (a) and new subsection (a)(5), transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84064.4. Denial or Revocation of a Certificate.
Note     •     History

(a) The Department may deny or revoke any administrator certificate upon any of the grounds specified in Health and Safety Code Section 1550 and for any of the following:
(1) The certificate holder procured a certificate by fraud or misrepresentation.
(2) The certificate holder knowingly made or gave a false statement or information in conjunction with the application for a certificate.
(3) The Department has issued an exclusion order against the certificate holder pursuant to Health and Safety Code Sections 1558, 1568.092, 1569.58 or 1596.8897 after the Department issued the certificate, and:
(A) The certificate holder did not appeal the exclusion order or,
(B) After the appeal, the Department issued a decision and order that upheld the exclusion order.
(4) The certificate holder does not have a current criminal record clearance.
(5) The certificate holder fails to comply with certificate renewal requirements.
(A) The Department may reinstate a certificate that has been revoked for failure to comply with certificate renewal requirements provided all conditions for recertification have been satisfied, including payment of all appropriate renewal and delinquency fees.
(b) Any denial or revocation of an administrator certificate may be appealed as provided by Health and Safety Code Section 1551.
(c) Unless otherwise ordered by the Department, any application for an administrator certificate submitted after a denial or revocation action shall be processed in accordance with the provisions of Health and Safety Code Section 1520.3.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1520.3, 1522.41(f) and (g), 1550 and 1551, Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including new subsection (c) and amendment of Note, transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84064.5. Forfeiture of a Certificate.
Note     •     History

(a) Unless otherwise ordered by the Department, the certificate shall be considered forfeited under any of the following conditions:
(1) The Department has revoked any license held by the certificate holder after the Department issued the certificate.
(2) The Department has issued an exclusion order against the certificate holder pursuant to Health and Safety Code Sections 1558, 1568.092, 1569.58 or 1596.8897, after the Department issued the certificate, and:
(A) The certificate holder did not appeal the exclusion order or,
(B) After the appeal, the Department issued a decision and order that upheld the exclusion order.
(b) Unless otherwise ordered by the Department, any application for an administrator certificate submitted after a certificate has been forfeited shall be processed in accordance with the provisions of Health and Safety Code Sections 1520.3, 1558(h) and/or 1558.1.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1520.3, 1522.41(g), 1558(h) and 1558.1, Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including new subsection (b) and amendment of Note, transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84065. Personnel Requirements.
Note     •     History

(a) In addition to Section 80065, the following shall apply.
(b) The licensee shall employ those administrative, child care, social work and support staff necessary to perform the assigned duties specified in applicable law and regulation.
(c) The licensee shall ensure provision of the services specified in Section 84065.2(c)(1) through (4) by social work staff.
(d) The licensee shall designate at least one facility manager to be present at the facility at all times when children are present:
(1) The facility manager shall meet one of the following requirements prior to employment:
(2) This requirement does not apply to facilities with a licensed capacity of six or less which were licensed prior to January 1, 1985.
(A) One year of full-time experience, or its equivalent, working with the client group to be served.
1. Experience shall be verified as having been performed as a paid or volunteer staff person whose duties required direct supervision and care of the client group served.
(B) Two years experience as a member of the social work staff in a group home performing those duties specified in Section 84065.2(c).
(C) Completion with a passing grade, from an accredited or approved college or university, of 15 college semester or equivalent quarter units in behavioral sciences, 9 units of which must be in courses relating to children with behavioral problems which may be the result of abuse, neglect, or emotional trauma. The courses may include, but are not limited to curriculums in Corrections, Psychology, Social Work, or Social Welfare.
(3) Prior to assuming the duties and responsibilities of the facility manager, the individual shall complete a minimum of one hour of training as specified in Section 84065(k), in addition to training required in Sections 84065(i) and (j).
(A) Facility managers only working in community treatment facilities governed by Title 22, Division 6, Chapter 5, Subchapter 1, who have completed the training required by Section 84165(f), are exempt from the training required in Sections 84065(i) and (j).
(B) Facility managers only working in group homes that care for children under the age of six years governed by Title 22, Division 6, Chapter 5, Subchapter 2, who have completed the training required by Sections 84265(c) and (h) are exempt from the training required in Sections 84065(i) and (j).
(4) Any person willfully making any false representation as being a facility manager is guilty of a misdemeanor.
(e) In facilities with a licensed capacity of 13 or more children, one employee shall be designated by the administrator to have primary responsibility for planned activities, and shall be given assistance as necessary to ensure that all children participate in accordance with their needs, interests, and abilities.
(1) Such employee shall develop, organize, implement, and evaluate the facility activity program, and shall possess the following qualifications:
(A) Completion of or enrollment in a related education or training program.
(B) Six months' experience in organizing and providing planned activities.
(f) The licensee of a group home providing care and supervision to children diagnosed by a physician, psychiatrist, psychologist or licensed clinical social worker as mentally disordered shall make provision for at least monthly consultation from a psychiatrist, or clinical psychologist, or licensed clinical social worker regarding the program of services.
(1) The licensee shall maintain on file copies of reports signed by any such consultant, noting the types and hours of services provided.
(g) The licensee of a group home providing care and supervision to children diagnosed by a physician, psychiatrist or psychologist as developmentally disabled shall make provision for at least monthly consultation from a qualified mental retardation professional regarding the program of services.
(1) The licensee shall maintain on file copies of reports signed by any such consultant, noting the types and hours of services provided.
(h) The licensee shall develop, maintain, and implement a written plan for the supervision, evaluation, and training of all child care staff.
(1) The child care staff training plan, as specified in Sections 84065(i) and (j) shall be incorporated in the group home's program statement.
(2) The training plan shall address the initial 24 hour training for newly hired child care staff.
(A) When the training plan includes job shadowing activities as described in Section 84065(i)(1), the following shall be included in the training plan:
1. Specific activities;
2. Job classification of the individual being shadowed;
3. Time spent on each activity; and
4. Skill to be developed through each job shadowing activity.
(3) The training plan shall address the annual training for newly hired and existing child care staff.
(4) The training plan shall include for each training session the following:
(A) Course title and subject matter;
(B) Learning objectives and activities:
(C) Number of hours per training session;
(D) Qualification of the trainer; and
(E) Training evaluation.
1. Each session shall include an evaluation of the trainer and course content to determine if the training is meeting the needs of child care staff.
(5) The training plan shall be appropriate for the client population and the training needs and skill level of child care staff.
(A) The licensee shall amend the training plan, when necessary, to meet the needs of child care staff and the client population.
(6) Amendments to the staff training plan, shall be submitted to the Department within ten days of the occurrence.
(i) Notwithstanding Section 80065(f)(1) through (6), new child care staff hired on or after July 1, 1999, shall complete a minimum of 24 hours of initial training comprised of the 8 and 16 hour training as specified in (1) and (2) below:
(1) 8-Hour Training
(A) Training shall be completed before new child care staff are:
i. left alone with children, and
ii. counted in the staff to child ratio required in Sections 84065.5 and 84065.7.
(B) Until the 8 hours of training is completed, new child care staff shall be visually supervised at all times by child care staff who meet the training requirements specified in this subsection and (2) below.
(C) A maximum of 4 hours of the training requirement may be satisfied by successful completion of job shadowing.
1. For the purpose of this regulation, job shadowing means a process whereby new child care staff follow and observe experienced facility personnel performing a specific job. The purpose of job shadowing is to gain information related to a specific job including, materials used, physical demands, necessary skills and knowledge.
2. During shadowing, the experienced facility personnel being shadowed must be performing child care duties and counted in the staff to child ratios, as required in Sections 84065.5 and 84065.7.
3. Job shadowing shall promote the development of specific skills, and shall consist of specific activities for a specific time period.
4. Successful completion of job shadowing shall be verified by a statement completed by the experienced facility personnel being shadowed affirming: a) specific activity observed; b) dates and times of shadowing; and, c) training topic listed in Section 84065(i)(3)(A) through (R) that is satisfied by the job shadowing activity.
(D) Within 7 calendar days of completion of the 8 hour training, the administrator or administrator's designee shall assess if each child care staff understands and can apply the training.
1. The assessment may include observation of performance, post-testing or demonstrated hands-on competency.
2. The assessment shall be documented in each child care staff personnel record.
3. When the administrator or administrator's designee determines a child care staff does not understand and cannot apply the training, re-training is required.
(2) Sixteen hours of training shall be completed by new child care staff within 90 days of hire.
(A) New child care staff who work a maximum of 20 hours per week shall complete the additional minimum 16 hours of training within 180 days of hire.
(B) Within 30 days of completion of the 16 hour training, the administrator or administrator's designee shall assess if each newly hired child care staff understands and can apply the training.
1. The assessment may include observation of performance, post-testing or demonstrated hands-on competency.
2. The assessment shall be documented in each child care staff personnel record.
3. When the administrator or administrator's designee determines a child care staff does not understand and cannot apply the training, re-training is required.
(3) Training shall include, at a minimum, all of the following topics. The licensee shall determine how much time is spent on each topic, and shall ensure that child care staff have appropriate skills necessary to supervise the children in care.
(A) Overview of the client population served by the group home;
(B) Facility's program and services, including program philosophy, activities and community resources;
(C) Facility's policies and procedures, including reporting requirements to the Department and as a mandated child abuse reporter;
(D) Child care workers' job description, including roles and responsibilities;
(E) Child care workers' self awareness;
(F) Role of other facility personnel in service delivery, including case staffing;
(G) Discipline policies and procedures;
(H) Disaster response;
(I) Medical emergency response;
(J) Teamwork and interpersonal communication among facility personnel and clients and client family members;
(K) Teamwork and intra-facility communication;
(L) The role of placement workers;
(M) Medication procedures, assistance with medication, universal precautions, recognition of early signs of illness and the need for professional assistance, and other health related issues;
(N) Group home children's adjustment to group care;
(O) Housekeeping and sanitation principles; principles of nutrition, food preparation and storage and menu planning;
(P) California Code of Regulations, Title 22;
(Q) Availability of community services and resources; and
(R) Recreation activities and resources.
(S) The child's right to have fair and equal access to all available services, placement, care, treatment, and benefits, and to not be subjected to discrimination or harassment on the basis of actual or perceived race, ethnic group identification, ancestry, national origin, color, religion, sex, sexual orientation, gender identity, mental or physical disability, or HIV status.
(4) The training requirement shall be satisfied by successful completion of course work conducted in a workshop, seminar, classroom setting, individual or small group setting.
(A) Proof of successful completion of course work shall be limited to official grade slips or transcripts from colleges or adult education departments; or certificates or signed documentation issued by bona fide educational institutions or organizations, or licensee associations, or courses offered or approved by accredited educational institutions, or qualified individuals who possess the necessary skills, knowledge and experience to train others in a particular subject area.
1. A qualified individual shall possess: a) a master's degree in a behavioral science from an accredited college or university and one year experience as an administrator, social worker, child care staff, or independent contractor providing direct social work activities in a group home; or, b) a master's degree and one year of work experience with the client population or a bachelor's degree and two years of work experience with the client population; or, c) a licensed mental health professional, as defined in California Code of Regulations Title 9, Chapter 12, Section 1901(p) or, d) a certificate or credential from an accredited course of study or educational institution in the subject matter for which the individual will be providing training; e) or, an individual who has provided training to group home child care staff for three years and has at least three years work experience in the subject matter of the training.
(5) Documentation of successful completion of training shall be maintained in the personnel record for each child care staff.
(6) The 24 hour Initial training is in addition to first aid and CPR training, and other training as required in Sections 84065.1, and 84365.
(A) Initial 24 hour training does not apply to child care staff only working in community treatment facilities governed by Title 22, Division 6, Chapter 5, Subchapter 1 who have successfully completed the training required in Section 84165(f), and child care staff only working in group homes that care for children under the age of six years governed by Title 22, Division 6, Chapter 5, Subchapter 2 who have successfully completed training required in Section 84265(h).
(j) Annual Training
(1) Notwithstanding Sections 80065(f)(1) through (6), all child care staff shall complete a minimum of 20 hours of annual training, except as specified in (2) below.
(A) At least 5 hours of the annual training shall consist of course work from an entity other than the group home such as an accredited educational institution, workshops, seminars, or other direct training provided by a qualified individual, who meets the requirements specified in Section 84065(i)(4)(A)1, who is not affiliated with the group home licensee.
(2) Notwithstanding Section 80065(f)(1) through (6), newly hired child care staff, hired on or after July 1, 1999, shall complete a minimum of 16 hours of annual training within the first 12 months of employment, for a total of 40 hours of initial and annual training. After the first 12 months of employment, child care staff shall comply with (1) above.
(A) At least 4 hours of the annual training shall consist of course work from an entity other than the group home such as an accredited educational institution, workshops, seminars, or other direct training provided by a qualified individual who meets the requirements specified in Section 84065(i)(4)(A)1., who is not affiliated with the group home licensee.
(3) Training may include but is not limited to, the following topics:
(A) Neglect/abuse issues;
(B) Attachment issues;
(C) Behavior problems/psychological disorders;
(D) Mental health/behavioral interventions;
(E) Developmental disabilities;
(F) Substance abuse issues;
(G) Cultural diversity;
(H) Child and adolescent development;
(I) Child empowerment;
(J) Discharge and emancipation;
(K) Importance of sibling and family relationships;
(L) Placement agencies and the placement process;
(M) Needs and service plan/treatment planning and review;
(N) Employee training handbook; and
(O) Topics listed in Sections 84065(i)(3)(A) through (S).
(4) Training topics shall be appropriate for the client population and services provided by the facility.
(5) The training requirement may be satisfied by successful completion of course work conducted in a workshop, seminar, or classroom setting, individual or small group setting.
(A) Proof of successful completion of course work shall be limited to official grade slips or transcripts; or, certificates or signed documentation issued by colleges, or adult education departments, bona fide educational institutions or organizations, or licensee associations, or courses offered or approved by accredited educational institutions, or qualified individuals who possess the necessary skills, knowledge and experience to train others in a particular subject area.
1. The qualified individual shall meet the requirements specified in Section 84065(i)(4)(A)1.
(6) Documentation of successful completion of training shall be maintained in the personnel record for each child care staff.
(7) Annual training is in addition to first aid and CPR training, and other training as required in Sections 84065.1 and 84365.
(A) Annual training does not apply to child care staff only working in community treatment facilities governed by Title 22, Division 6, Chapter 5, Subchapter 1 who have successfully completed the training required in Section 84165(f), and child care staff only working in group homes that care for children under the age of six years governed by Title 22, Division 6, Chapter 5, Subchapter 2 who have successfully completed the training required in Section 84265(h).
(k) The licensee shall develop, maintain and implement a written plan for the training of facility managers.
(1) The facility manager training plan shall be incorporated in the group home's program statement.
(2) The training plan shall include the following for each training session:
(A) Course title and subject matter;
(B) Learning objectives and activities;
(C) Number of hours per training session;
(D) Qualifications of the trainer; and
(E) Training evaluation.
1. Each session shall include an evaluation of the trainer and course content to determine if the training is meeting the needs of facility personnel acting as facility managers.
(3) The training plan shall be appropriate for the client population and shall consider the training needs and skill level of staff.
(A) The licensee shall amend the training plan, as necessary, to meet the needs of facility personnel acting as facility managers and the client population.
(4) Amendments to the staff training plan, shall be submitted to the Department within ten days.
(5) Training shall include, but not be limited to, the following. The licensee may determine how much time is spent on each topic:
(A) Interaction with the Department, including inspection authority;
(B) Licensee appeal rights; and
(C) Interaction with placement agencies, neighbors, mental health agencies, law enforcement, medical/emergency personnel, client family members.
(6) The training requirement may be satisfied by successful completion of course work conducted in a workshop, seminar, or classroom setting, individual or small group setting.
(A) Proof of successful completion of course work shall be limited to official grade slips or transcripts; or, certificates or signed documentation issued by colleges, or adult education departments, bona fide educational institutions or organizations, or licensee associations, or courses offered or approved by accredited educational institutions, or qualified individuals who possess the necessary skills, knowledge and experience to train others in a particular subject area.
1. The qualified individual shall meet the requirements specified in Section 84065(i)(4)(A)1.
(7) Documentation of successful completion of training shall be maintained in the personnel record for each staff member.
(8) Facility manager training is in addition to first aid and CPR training, and other training as required in Sections 84065.1 and 84365.
(l) All employees shall be given a copy of the job description specified in Section 84066(b)(1) which is relevant to their duties, and shall have access to all other job descriptions.
(m) The staff assignment information specified in Section 84066(b)(2) shall be provided to all applicants during interviews for employment; to all staff during orientation or when changes are made which affect job assignments; and upon request to placement agencies.
(n) Upon employment, the group home shall make available for review by all group home personnel, an employee training handbook that shall include the following: facility's program philosophy; facility's policies and procedures; disaster response procedures; lines of authority and communication; Title 22 regulations; and reporting requirements.
(1) The employee training handbook shall be maintained at the facility and updated as needed.
(o) Upon employment, staff shall receive copies of the removal and/or discharge policies and procedures specified in Section 84068.4(a); of the discipline policies and procedures specified in Section 84072.1(a), and of the complaint procedures specified in Section 84072.2(a).
(p) Physician reports from general practitioners or specialists may be required after licensure if the licensing agency has reason to believe that a licensee's or staff member's physical and/or mental health is not adequate to carry out responsibilities under these regulations.
(1) The licensing agency shall provide the licensee with a written explanation of the need for any additional report.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Section 51, Civil Code; Sections 1501, 1522.4, 1531 and 1562, Health and Safety Code; and Section 16001.9, Welfare and Institutions Code.
HISTORY

1. Relettering of former subsections (d)-(j) to subsections (e)-(k) and new subsection (d) filed 2-11-87; effective thirtieth day thereafter (Register 87, No. 7).
2. Change without regulatory effect correcting cross-references in subsections (c) and (d)(2)(B) filed 5-23-88; operative 5-23-88 pursuant to Section 100, Title 1, California Code of Regulations (Register 88, No. 22).
3. Amendment of subsections (b), (d) and (h)(1) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
4. Amendment of subsections (c) and (d)(2)(B) and new subsections (l) and (l)(1) filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
5. New subsections (d)(3)-(d)(3)(B), amendment of subsection (h), repealer of subsections (h)-(h)(2)(F), new subsections (h)(1)-(k)(8) and (n) and relettering of former subsections (i), (j), (k) and (l) to new subsections (l), (m), (o) and (p), respectively, filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
6. New subsection (d)(4) and amendment of Note filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-28-99 order, including further amendment of section, transmitted to OAL 12-14-99 and filed 1-26-2000 (Register 2000, No. 4).
8. New subsection (d)(4) and amendment of Note refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-9-2000 order transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
10. Amendment of subsections (i)(6), (j)(7) and (k)(8) filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
11. Reinstatement of section as it existed prior to 1-17-2002 emergency amendment by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
12. Change without regulatory effect amending subsections (i)(6), (j)(7) and (k)(8) filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
13. Amendment of subsection (i)(3), new subsection (i)(3)(S), amendment of subsection (j)(3)(O) and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§84065.1. Additional Personnel Requirements for Specialized Group Homes.
Note     •     History

(a) Any person who provides specialized in-home health care to a child placed in the group home as of November 1, 1993, shall comply with the following requirements:
(1) Prior to caring for the child or when the child's needs change, the in-home health care provider shall complete training in specialized in-home health care provided by a health care professional as required by the child's individualized health care plan, except when
(A) The in-home health care provider is a licensed health care professional; and
(B) The child's individualized health care plan team determines that completion of specialized in-home health care training for the child is unnecessary on the basis of the in-home health care provider's medical qualifications and expertise.
(b) No person shall provide specialized in-home health care to a child placed in the home after November 1, 1993, unless
(1) He/she is a licensed health care professional; and
(2) The child's individualized health care plan team determines that he/she has the necessary medical qualifications and expertise to meet the child's in-home health care needs.
(A) The child's individualized health care plan team shall make a new determination each time the child's in-home health care needs change.
(c) Volunteers caring for children in a specialized group home shall meet the health screening requirements in Sections 80065(g)(1) and (g)(2).
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17731(c) and 17736(a) and (b), Welfare and Institutions Code; and Sections 1501, 1531 and 1562, Health and Safety Code.
HISTORY

1. Relettering of former subsections (a)-(d) to subsections (b)-(e) and new subsection (a) filed 2-11-87; effective thirtieth day thereafter (Register 87, No. 7).
2. New subsections (e)(1) and (e)(2) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
3. Editorial correction repealing duplicative section (Register 94, No. 39).
4. Renumbering of former section 84065.1 to new section 84065.2 and new section 84065.1 filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§84065.2. Personnel Duties.
Note     •     History

(a) The facility manager(s) shall:
(1) Meet the requirements of Health and Safety Code Section 1522.4(a)(1) through (3).
(b) Child care staff shall perform the following duties:
(1) Supervision, protection and care of children individually and in groups at all times.
(2) Assistance to each child in working with a group and in handling individual problems.
(3) Administration of discipline and setting of limits for behavior.
(4) Notation of the child's progress; identification of the possible need for professional services; and communication of such findings to professional staff.
(5) Until they complete the 8 hours of training as required in Section 84065(i)(1), new child care staff hired on or after July 1, 1999 shall perform the duties as defined in Subsections (1) through (4) above while under visual supervision.
(c) Social work staff shall complete or assist in the completion of the following for each child:
(1) An intake study, as specified in Section 84068.1.
(2) A needs and services plan, as specified in Sections 84068.2(a) and 84068.3.
(3) A discharge plan, as specified in Section 84068.4.
(4) Obtaining, developing, and recording of the information necessary for the completion of (1) through (3) above, as specified in Section 84070.
(d) Support staff shall perform the following duties:
(1) Office work.
(2) Cooking.
(3) Housecleaning.
(4) Laundering.
(5) Maintenance of facility buildings, grounds, fixtures, furniture, equipment and supplies.
(e) Support staff duties shall not be assigned to child care staff unless such assignments are directly related to the care of the children, and do not interfere with the performance of their child care duties.
(1) Household duties directed towards development of self-help skills may be performed by the children in placement. Participation in these duties shall be voluntary and specified in the needs and service plan.
(2) No household duties shall go undone because a child refuses to  participate.
NOTE

Authority cited: Sections 1530 and 1530.8, Health and Safety Code. Reference: Sections 1501, 1522.4, 1530.8 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 84065.1 to new section 84065.2 filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
2. New subsection (b)(5) filed 1-26-2000; operative 1-26-2000 (Register 2000, No. 4).  
3. Amendment of subsection (a)(1) and amendment of Note filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84065.5. Staff/Child Ratios.
Note     •     History

(a) From 7 a.m. to 10 p.m., there shall be one on-duty child care staff person to each ten children, or fraction thereof, present.
(b) From 7 a.m. to 7 p.m., in minor parent programs, there shall be one on-duty child care staff person to each ten children, or fraction thereof, present.
(1) In minor parent programs, children shall include all children present in the facility, including minor parents and their child(ren). When the minor parent is not providing direct care and supervision to his or her child(ren), the facility shall provide that care and supervision.
(2) At any time the facility provides direct care and supervision of the minor parents' children, there shall be one staff for every four children of minor parents, or fraction thereof.
(c) If the children require special care and supervision because of age, problem behavior or other factors, the number of on-duty child care staff shall be increased.
NOTE

Authority cited: Sections 1530 and 1530.8, Health and Safety Code. Reference: Section 11465, Welfare and Institutions Code; and Sections 1501, 1530.8 and 1531, Health and Safety Code.
HISTORY

1. New subsection (b) and relettering of former subsection (b) to subsection (c) filed 2-27-89 as an emergency; operative 2-28-89 (Register 89, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-28-89.
2. New subsection (b) and relettering of former subsection (b) to subsection (c) refiled 7-25-89 as an emergency; operative 7-25-89 (Register 89, No. 30). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-22-89.
3. Certificate of Compliance as to 7-25-89 order transmitted to OAL 11-16-89 and filed 12-15-89 (Register 89, No. 51). 
4. Repealer of subsection (b), new subsections (b)-(b)(2) and amendment of Note filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84065.6. Additional Staff/Child Ratios for Specialized Group Homes.
Note     •     History

(a) The licensee shall ensure that staff providing specialized in-home health care are responsible for the provision of care and supervision to no more than three children, with or without special health care needs.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17732(a) and (b), Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b)(1) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
2. Renumbering of former section 84065.6 to new section 84065.7 and new section 84065.6 filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§84065.7. Night Supervision.
Note     •     History

(a) In group homes providing care and supervision to 12 or fewer children, there shall be one child care staff person on duty from 10 p.m. to 7 a.m.; for minor parent programs this requirement shall be from 7 p.m. to 7 a.m.
(b) In group homes providing care and supervision to 13 to 30 children, there shall be one child care staff person awake and on duty from 10 p.m. to 7 a.m.; for minor parent programs this requirement shall be from 7 p.m. to 7 a.m.
(1) Another person shall be on call and capable of arriving at the facility site within 30 minutes.
(c) In group homes providing care and supervision to 31 or more children, there shall be one child care staff person awake and on duty from 10 p.m. to 7 a.m. for the first 30 children; and one child care staff person awake and on duty for each additional 30 children or fraction of that amount; for minor parent programs this requirement shall be from 7 p.m. to 7 a.m.
(d) For purposes of determining the appropriate staff to children ratio, children shall include all children present in the facility.
(e) In facilities required to have a signal system as specified in Sections 84088(d) through (d)(3), at least one staff person shall be responsible for responding to such system.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 84065.6 to new section 84065.7 filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
2. Amendment of subsections (a)-(c), new subsection (d), subsection relettering and amendment of Note filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84066. Personnel Records.
Note     •     History

(a) In addition to Section 80066, the following shall apply.
(b) The licensee shall maintain the following personnel records:
(1) Complete job descriptions on all positions within the facility.
(2) A description of all staff assignments, including information regarding lines of authority and staff responsibilities.
(3) A dated employee time schedule developed at least monthly; displayed conveniently for employee reference; and containing the following information for each employee:
(A) Name.
(B) Job title.
(C) Hours of work.
(D) Days off.
(4) Documentation of the completion by each child care staff person and facility manager of the training specified in Sections 84065(h) through (k) inclusive.
(5) Documentation that the administrator has met the certification requirements specified in Section 84064.2.
(6) A record of each work performance evaluation and any correspondence with the employee.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1501, 1522.41, 1531 and 1562, Health and Safety Code.
HISTORY

1. Amendment of subsection (b)(4) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
2. Amendment of subsection (b)(4) filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. New subsection (b)(5), subsection renumbering, and amendment of Note filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-14-99 and filed 1-26-2000 (Register 2000, No. 4).
5. New subsection (b)(5), subsection renumbering, and amendment of Note refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-9-2000 order transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84066.1. Additional Personnel Records for Specialized Group Homes.
Note     •     History

(a) The licensee shall ensure that the personnel records of all persons subject to the requirements of Section 84065.1(a) contain the following:
(1) For any training or additional training from which the licensee or other in-home health care provider is exempt:
(A) Documentation that the child's individualized health care plan team has determined that it is not necessary for the in-home health care provider to complete the specialized in-home health care training or additional training.
1. Documentation may be provided in different ways, including but not limited to, a written statement from a member designated by the team that the team has been notified and has determined that the training or additional training is unnecessary.
(B) A copy of a valid license or certificate indicating that he/she is a licensed health care professional.
(2) For any training or additional training from which the in-home health care provider is not exempt:
(A) Documentation, by a health care professional providing the training, that he/she has successfully completed the specialized in-home health care training specified in Section 84065.1(a)(1).
(b) The licensee shall ensure that the personnel records of all persons subject to the requirements of Section 84065.1(b) contain the following:
(1) Documentation that the child's individualized health care plan team has determined that the in-home health care provider has the necessary medical qualifications and expertise to meet the child's specialized in-home health care needs.
(A) Documentation shall be updated each time the child's specialized in-home health care needs change.
(B) Documentation may be provided in different ways, including, but not limited to, a written statement from a member designated by the team that the team has been notified and has determined that the in-home health care provider has the necessary medical qualification to meet the child's specialized in-home health care needs.
(2) A copy of a valid license or certificate indicating that he/she is a licensed health care professional.
(c) For each volunteer caring for children in a specialized group home, the licensee shall have on file the record of a health screening and test for tuberculosis as specified in Section 84065.1(c). The health screening shall be used in place of the volunteer statement specified in Section 80065(g)(3)(A).
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17731, Welfare and Institutions Code; and Sections 1501, 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§84067. Reasonable and Prudent Parent Standard.
Note     •     History

(a) The administrator or facility manager, or his or her responsible designee, shall apply the “Reasonable and Prudent Parent Standard,” as defined in Section 84001(r)(1) and specified in Welfare and Institutions Code sections 362.05 and 727, in determining whether to allow a child to participate in age-appropriate, developmentally-appropriate extracurricular, enrichment, and social activities. 
(b) When applying the “Reasonable and Prudent Parent Standard,” the administrator or facility manager, or his or her responsible designee, shall consider: 
(1) The child's age, maturity, and developmental level to ensure the overall health and safety of the child is maintained. 
(2) The potential risk factors and the appropriateness of the extracurricular, enrichment, and social activity. 
(3) The best interest of the child based on information known by the administrator or facility manager, or his or her designee. 
(c) Application of the “Reasonable and Prudent Parent Standard” shall not result in the denial of the rights of a child as specified in Welfare and Institutions Code section 16001.9, or contradict court orders or the needs and services plan of the child.
NOTE

Authority cited: Sections 1501, 1530 and 1531, Health and Safety Code. Reference: Sections 362.04, 362.05, 727 and 16001.9, Welfare and Institutions Code; and Assembly Bill 2096 (Chapter 483 Statutes of 2008).
HISTORY

1. New section filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
§84068.1. Intake Procedures.
Note

(a) The licensee shall develop, maintain, and implement intake procedures which meet the requirements specified in this section.
(b) When a child is being considered for nonemergency placement in a group home, the following requirements shall be met prior to the child's placement in the home.
(1) The information specified in Sections 80070(b)(1) through (5), (7), (8) and (10), and Sections 84070(b)(1) through (10) shall be obtained from the placement agency, if any, or from the child's authorized representative(s).
(A) If the information is not completed by a placement agency, the licensee shall make telephone and/or written requests for the information to the child's placement agency and/or authorized representative; and shall record and retain the details of those requests.
(B) If the information is not received within 15 days of the requests specified in (A) above, the licensee shall obtain the information necessary to complete a standard appraisal form from other sources.
(C) When the information is received, social work staff shall complete a standard appraisal for the child on a form approved and/or furnished by the licensing agency.
(2) The needs and services plan shall be completed as specified in Section 84068.2.
(3) The information specified in (1) and (2) above shall be reviewed by the social work staff to determine whether the facility can provide the services necessary to meet the child's needs.
(A) If it is determined that the facility cannot provide necessary services, applicable discharge procedures specified in Sections 84068.4(b), (c), and (e); and 84070(d) through (d)(3) shall be followed.
(4) If the child is accepted for placement, the following requirements shall be met:
(A) An admission agreement shall be completed and signed as specified in Section 80068.
(B) The administrator or his/her designee, and the child and/or his/her authorized representative(s), shall sign copies of the removal and/or discharge policies and procedures specified in Section 84068.4(a); of the discipline policies and procedures specified in Section 84072.1(a); and of the complaint procedures specified in Section 84072.2(a), to verify the receipt of such information.
(C) Information specified in Sections 80070 and 84070 necessary to complete the child's file shall be obtained.
(D) Needs and services plan requirements specified in Section 84068.2 which were not addressed on the standard appraisal form, if used, shall be met.
(c) If the child is placed in the facility under emergency circumstances, the licensee shall ensure that the following requirements are met:
(1) Placement of the child in the facility shall not result in the facility exceeding its licensed capacity.
(2) The admission agreement and other procedures specified in (b)(4)(A) and (B) above shall be completed no later than seven days following the emergency placement.
(3) If it is determined, following emergency placement of the child in the facility, that the facility cannot continue to provide necessary services, applicable discharge procedures specified in Sections 84068.4(b), (c) and (e); and 84070(d) through (d)(3) shall be followed.
(4) If the child is continued in placement, the following requirements shall be met no later than 30 days following the emergency placement:
(A) Information specified in Sections 84070(b) and 84068.2 shall be obtained.
(B) The information specified in (A) above, and the needs and services plan specified in Section 84068.2, shall be reviewed by social work staff to determine whether the facility can continue to provide services necessary to meet the child's needs.
(C) The admission agreement shall be modified as specified in Section 80068(d), if necessary.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§84068.2. Needs and Services Plan.
Note     •     History

(a) Social work staff shall obtain the information specified in Section 84070, and shall develop an individual needs and services plan for the child which meets the requirements specified in (b) through (d) below.
(1) A needs and services plan is not required for children who are placed in the facility on an emergency basis and who will remain in placement for less than seven days as documented in the child's record.
(b) The needs and services plan shall identify the child's needs in the following areas:
(1) Reason for placement.
(2) Education.
(A) If the information specified in Section 84070(b)(4) is not available, the plan shall specify a method for determining such needs.
(3) Training.
(4) Personal care and grooming.
(5) Ability to manage his/her own money, including the maximum amount of money the child shall be permitted to have in his/her possession at any one time.
(6) Visitation, including the frequency of and any other limitations on visits to the family residence and other visits inside and outside the facility.
(7) Other specific services, including necessary services to the child's parent(s) or guardian(s).
(c) The needs and services plan shall include the following information regarding services necessary to meet the child's needs:
(1) Types of services necessary.
(2) The facility's ability to provide the necessary services based upon the following information provided in the plan of operation:
(A) The facility's purposes, program methods, and goals.
(B) The facility's admission policies and procedures.
(C) Services to be provided by the facility in cooperation with community resources.
(3) Planned length of placement, including the discharge plan specified in Section 84068.4(b).
(4) Financial arrangements for provision of services to the child.
(d) The licensee shall ensure that the child and his/her authorized representative(s) are offered the opportunity to participate in the development of the needs and services plan.
(1) The licensee shall not implement a needs and services plan unless prior written approval of the plan has been obtained from the child's authorized representative(s).
(e) Unless restricted by the case plan adopted by the court or other court order, the licensee shall permit and facilitate connections between the child and the child's family and non-relative extended family members. Nothing in this section shall be interpreted to require a foster care provider to take any action that would impair the health and safety of children in out-of-home placement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Sections 366.1, 366.21 and 16001.9, Welfare and Institutions Code.
HISTORY

1. New subsection (a)(1) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
2. New subsection (e) and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§84068.3. Modifications to Needs and Services Plan.
Note     •     History

(a) The needs and services plan specified in Section 84068.2 shall be updated at least every six months to determine the following:
(1) The child's need for continuing services.
(2) The facility's recommendation regarding the feasibility of the child's return to his/her home; placement in another facility; or move to independent living.
(3) The need for modification in services.
(b) The licensee shall ensure that the child and his/her authorized representative(s) are offered the opportunity to participate in such modifications.
(1) The licensee shall not implement any plan modifications unless prior written approval of such modifications has been obtained from the child's authorized representative(s).
(c) In order to determine the need to modify the child's needs and services plan, the licensee shall conduct an analysis of each incident reported pursuant to Sections 80061 and 84061 which occurred in the six months preceding the biannual review of the needs and services plan.
(1) The analysis shall consist of the following:
(A) If there were multiple incidents:
(1) Was it the same situation.
(2) Was it a different situation.
(3) Did the other incidents involve the same facility personnel.
(4) Was it the same resolution.
(5) Was it a different resolution.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New subsections (c)-(c)(5) filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
§84068.4. Removal and/or Discharge Procedures.
Note

(a) The licensee shall develop, maintain and implement written policies and procedures governing a child's removal and/or discharge from the facility.
(1) Children and their authorized representative(s) shall receive copies of such policies and procedures.
(2) Signed copies of such policies and procedures shall be maintained in the child's record, as specified in Section 84070(c)(2).
(b) The licensee shall ensure that the child and his/her authorized representative(s) are offered the opportunity to participate in the development of a discharge plan for the child.
(1) (See Manual of Policies and Procedures)
(2) The licensee shall not discharge a child unless prior written approval of the discharge has been obtained from the child's authorized representative(s).
(c) If it is determined that the facility cannot meet the needs of the child, the licensee shall notify the authorized representative(s) of the determination and request that the child be placed elsewhere.
(d) (See Manual of Policies and Procedures)
(e) Social work staff shall develop and maintain a written removal or discharge record containing the information specified in Sections 84070(d) through (d)(3).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§84069.1. Immunizations.
Note     •     History

(a) A child for whom vaccination against the following diseases cannot be verified shall receive the first doses of the appropriate vaccines within 30 calendar days of placement in the facility and shall receive follow-up doses as recommended by the physician who administered the first doses.
(1) Poliomyelitis.
(2) Diphtheria.
(3) Pertussis, i.e., whooping cough.
(4) Tetanus.
(5) Measles.
(6) Rubella, i.e., German measles.
(7) Mumps.
(b) Notes from parents, guardians, etc., are not acceptable documentation.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
§84069.2. Individualized Health Care Plans for Specialized Group Homes.
Note     •     History

(a) The licensee shall not accept any child with special health care needs unless the licensee has obtained an individualized health care plan for the child. The plan shall include the following information:
(1) The name, address, and phone number of the health care professional responsible for monitoring the child's ongoing health care.
(2) The appropriate number of hours of on-site supervision and monitoring, and the appropriate number of hours of off-site supervision and monitoring, needed to be provided by the monitor designated in Section 84069.2(a)(1).
(3) For children with special health care needs placed as of November 1, 1993:
(A) Documentation by the child's individualized health care plan team identifying the specialized in-home health care to be administered by a health care professional or responsible adult trained by a health care professional.
(B) Specific responsibilities of staff for the provision of specialized in-home health care.
(C) Identification of any available and funded medical services that are to be provided to the child in the home which may include, but is not limited to, assistance from health care professionals.
(4) For children with special health care needs placed after November 1, 1993:
(A) Documentation by the child's individualized health care plan team identifying the specialized in-home health care to be administered by one or more health care professionals.
(B) Specific responsibilities of the health care professional(s) for the provision of specialized in-home health care.
(C) Identification of any available and funded medical services that are to be provided to the child in the home including the name, address and telephone number of each health care professional or agency that is to provide medical services to the child in the home.
(5) Arrangements for in-home health support services if required.
(6) Identification of any psychological, emotional, behavioral, or medical problems that will be identified in the child's needs and services plan or the medical assessment specified in Section 80069.
(b) The individualized health care plan for each child with special health care needs shall be updated at least every six months or sooner if the needs of the child change.
(c) For any child with special health care needs the hospital discharge plan may be adopted by the individualized health care plan team as the child's individualized health care plan.
(d) The individualized health care plan may be combined with the child's needs and services plan or regional center individual program plan provided that all the information required by each plan is included.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17731(c) and 17710(h), Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
2. Editorial correction of section heading (Register 2007, No. 3).
§84070. Children's Records.
Note     •     History

(a) In addition to Section 80070, the following shall apply.
(b) The following information regarding the child shall be obtained and maintained in the child's record:
(1) The name, address, and telephone number of all adults with whom the child was living immediately prior to the current placement.
(2) The name, address, and telephone number of the child's parent(s), if known.
(3) The name, address, and telephone number of the placement worker and placement agency.
(4) Educational records, if available, describing the child's present academic level, including his/her grade or performance level, and any previous school-related problems.
(5) Dental and medical history, if available, including immunization records; and physician's orders for any medically necessary diet as specified in Section 80076(a)(6).
(6) The child's court status, if applicable, including a copy of any custody orders and agreements with parent(s) or person(s) having legal custody.
(7) The placement agency's list of persons who should or should not be allowed to visit.
(8) Medical, psychiatric and psychological reports that identify special needs of children diagnosed as mentally disordered or developmentally disabled.
(9) Medical and dental insurance coverage information, or information regarding the agency or person responsible for medical and dental costs.
(10) Consent forms, completed by the child's authorized representative(s), to permit the facility to authorize medical care.
(11) A copy of the standard appraisal form specified in Section 84068.1(b)(1)(C), if used.
(c) If it is determined that the facility can provide the services necessary to meet the child's needs, the following additional information shall be maintained in the child's record:
(1) A copy of the child's original needs and services plan; verification, signed by the child and his/her authorized representative(s), that they were offered the opportunity to participate in plan development; and verification that the authorized representative(s) have approved the plan.
(2) Signed copies of the facility's policies and procedures regarding the child's removal and/or discharge; discipline; and complaints.
(3) Documentation that vaccinations have been obtained as specified in Section 84069.1, if immunization records are not available prior to placement.
(4) Records and documentation regarding any fines levied as specified in Sections 84026(c)(1) through (4).
(5) Copies of any modifications to the child's needs and services plan; verification, signed by the child and his/her authorized representative(s), that they were offered the opportunity to participate in any such modifications; and verification that the authorized representative(s) have approved such modifications.
(d) If it is determined that the child is to be removed or discharged from the facility, the following information shall be maintained in the child's record:
(1) Date the child's authorized representative(s) was notified of the necessity for the child's removal or discharge.
(2) The name, address, and relationship to the child of the person to whom the child was released.
(3) Reason for the child's removal or discharge.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsections (b)(1) and (c )(4) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
§84070.1. Additional Children's Records for Specialized Group Homes.
Note     •     History

(a) The licensee of a specialized group home shall ensure that records for each child with special health care needs contain the following:
(1) Documentation that the child has been adjudged a dependent of the court under Section 300 of the Welfare and Institutions Code or has not been adjudged a dependent of the court pursuant to Section 300 of the Welfare and Institutions Code but is in the custody of the county welfare department, or has a developmental disability and is receiving services and case management from a regional center.
(2) A copy of the child's individualized health care plan as specified in Section 84069.2.
(3) A copy of the written reassessment of the child's individualized health care plan as specified in Section 84069.2(b).
(b) The licensee of a group home caring for children with special health care needs placed on or after January 1, 1992, shall ensure that:
(1) The needs and services plan for each child in the home documents the determinations required by Section 84010.1(a)(2)(C).
(2) For each child with special health care needs placed on or after January 1, 1992, the child's records contain the following:
(A) In the child's needs and services plan, a description  of the emergency necessitating that the child be placed in the group home and a written plan of relocation specifying the arrangements for subsequent placement in a less restrictive setting as required by Section 84010.1(a)(2)(B); and
(B) In the child's admission agreement,
1. If the 120 calendar day limitation period specified in Section 84010.1(a)(2)(A) has not been exceeded, the number of calendar days the child may remain in the group home without exceeding the limitation period; or
2. If the 120 calendar day limitation period has been exceeded, the number of calendar days the child may remain in the group home as stated in the extension approved under Section 84010.1(a)(2)(A)1.
a. The child's records shall also contain a copy of the letter from the Director or his/her designee approving the extension.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17710(a), 17731(c) and 17732(d) and (e), Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§84072. Personal Rights.
Note     •     History

(a) Each facility licensed to provide foster care for six or more children shall post a listing of a foster child's rights.
(b) Each facility shall provide each school age child, who is placed in foster care, and his or her authorized representative with an age and developmentally appropriate orientation that includes an explanation of the rights of the child and addresses the child's questions and concerns.
(c) At admission each child, and his/her authorized representative, shall be personally advised of and given a copy of the child's rights as specified below:
(1) To visit the facility with his/her relatives and/or authorized representative(s) prior to admission.
(2) To file a complaint with the facility, as specified in Section 84072.2.
(3) To have the facility inform his/her authorized representative(s) of his/her progress at the facility.
(4) To have communications to the facility from his/her relatives and/or authorized representative(s) answered promptly and completely.
(5) To have visitors visit privately during waking hours without prior notice, provided that such visitations are not prohibited by the child's needs and services plan; do no infringe upon the rights of other children; do not disrupt planned activities; and are not prohibited by court order or by the child's authorized representative(s).
(A) Rules regarding visitation hours, sign-in rules and visiting rooms can be established but shall apply to all visitors.
(B) Visits by the child's brothers and sisters can only be prohibited by court order.
(6) To wear his/her own clothes.
(7) To possess and use his/her own toilet articles.
(8) To possess and use his/her own cash resources except as specified in Section 84026, and to maintain an emancipation bank account and manage personal income consistent with the child's age and developmental level, unless prohibited by the case plan.
(9) To possess and use his/her own personal items unless prohibited as part of a discipline program.
(10) To have access to individual storage space for his/her private use.
(11) To make and receive confidential telephone calls, unless prohibited by court order.
(A) Reasonable restrictions to telephone use may be imposed by the licensee. The licensee shall be permitted to:
1. Restrict the making of long distance calls upon documentation that requested reimbursement for previous long distance calls has not been received;
2. Restrict phone use in accordance with the facility's discipline program;
3. Impose restrictions to ensure that phone use does not infringe on the rights of others or restrict the availability of the phone during emergencies.
(B) All restrictions shall be documented in the child's needs and services plan or the facility's discipline policies, and be signed by the child's authorized representative.
(C) Calls permitted to be restricted by subsections (A)1. and (A)2. above shall not include calls to the child's authorized representative, placement agency, family members (except by court order), social workers, attorneys, Court Appointed Special Advocates (CASA), probation officers, Community Care Licensing Division of the California Department of Social Services or the State Foster Care Ombudsperson.
(12) To send and receive unopened correspondence unless prohibited by court order.
(13) To be accorded dignity in his or her personal relationships with staff and other persons.
(14) To live in a safe, healthy, and comfortable home where he or she is treated with respect, in accordance Section with 84072(c)(16).
(15) To be free of physical, sexual, emotional, or other abuse, and corporal punishment.
(16) To have fair and equal access to all available services, placement, care, treatment, and benefits, and to not be subjected to discrimination or harassment on the basis of actual or perceived race, ethnic group identification, ancestry, national origin, color, religion, sex, sexual orientation, gender identity, mental or physical disability, or HIV status.
(17) To receive adequate and healthy food, adequate clothing, and an allowance.
(A) Clothing and personal items provided shall be in accordance with Section 84072(c)(16).
(18) To receive medical, dental, vision, and mental health services.
(19) To be free of the administration of medication or chemical substances, unless authorized by a physician.
(20) To contact family members (including brothers and sisters), unless prohibited by court order, and social workers, attorneys, foster youth advocates and supporters, Court Appointed Special Advocates (CASA), and probation officers.
(21) To contact the Community Care Licensing Division of the California Department of Social Services or the State Foster Care Ombudsperson regarding violations of rights, to speak to representatives of these offices confidentially, and to be free from threats or punishment for making complaints.
(22) To be informed, and to have his/her authorized representative, if any, informed, by the licensee of the provisions of law regarding complaints including, but not limited to, the address and telephone number of the complaint receiving unit of the licensing agency, and of information regarding confidentiality.
(23) To be free to attend religious services or activities of his/her choice and to have visits from the spiritual advisor of his/her choice. Attendance at religious services, in or outside of the facility, shall be on a completely voluntary basis.
(24) To not be locked in any room, building, or facility premises at any time.
(A) The licensee shall not be prohibited by this provision from locking exterior doors and windows or from establishing house rules for the protection of clients provided the clients are able to exit the facility.
(B) The licensee shall be permitted to utilize means other than those specified in (A) above for securing exterior doors and windows only provided the clients are able to exit the facility and with the prior approval of the licensing agency.
(25) To attend school and participate in extracurricular, cultural, and personal enrichment activities consistent with the child's age and developmental level, in accordance with Section 84072(c)(16).
(26) To work and develop job skills at an age-appropriate level that is consistent with state law.
(27) To have social contacts with people outside of the foster care system, such as teachers, church members, mentors, and friends, in accordance with Section 84072(c)(16).
(28) To attend Independent Living Program classes and activities if he or she meets age requirements.
(29) To attend court hearings and speak to the judge.
(30) To review his or her own case plan if he or she is over 12 years of age and to receive information about his or her out-of-home placement and case plan, including being told of changes to the plan.
(31) To be free from unreasonable searches of personal belongings.
(32) To confidentiality of all juvenile court records consistent with existing law.
(33) Not to be placed in any restraining device. Postural supports may be used if they are approved in advance by the licensing agency as specified in (A) through (F) below.
(A) Postural supports shall be limited to appliances or devices including braces, spring release trays, or soft ties used to achieve proper body position and balance, to improve a client's mobility and independent functioning, or to position rather than restrict movement including, but not limited to, preventing a client from falling out of bed, a chair, etc.
1. Physician-prescribed orthopedic devices such as braces or casts used for support of a weakened body part or correction of body parts are considered postural supports.
(B) All requests to use postural supports shall be in writing and include a written order of a physician indicating the need for such supports. The licensing agency shall be authorized to require other additional documentation in order to evaluate the request.
(C) Approved postural supports shall be fastened or tied in a manner which permits quick release by the child.
(D) The licensing agency shall approve the use of postural supports only after the appropriate fire clearance, as required by Section 80020(a) or (b), has been secured.
(E) The licensing agency shall have the authority to grant conditional and/or limited approvals to use postural supports.
(F) Under no circumstances shall postural supports include tying of, or depriving or limiting the use of, a child's hands or feet.
1. A bed rail that extends from the head half the length of the bed and used only for assistance with mobility shall be allowed with prior licensing approval. Bed rails that extend the entire length of the bed are prohibited.
(G) Protective devices including, but not limited to, helmets, elbow guards, and mittens which do not prohibit a client's mobility but rather protect the client from self-injurious behavior are not to be considered restraining devices for the purpose of this regulation. Protective devices may be used if they are approved in advance by the licensing agency as specified below.
1. All requests to use protective devices shall be in writing and include a written order of a physician indicating the need for such devices. The licensing agency shall be authorized to require additional documentation including, but not limited to, the Individual Program Plan (IPP) as specified in Welfare and Institutions Code Section 4646, and the written consent of the authorized representative, in order to evaluate the request.
2. The licensing agency shall have the authority to grant conditional and/or limited approvals to use protective devices.
(H) Under no circumstances shall postural supports or protective devices be used for disciplinary purposes.
(34) At 16 years or older, to have access to existing information regarding available educational options, including, but not limited to, coursework necessary for vocational and postsecondary educational programs, and financial aid information for these programs.
(d) Nothing in this section shall be interpreted to require a foster care provider to take any action that would impair the health and safety of children in out-of-home placement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.91 and 1531, Health and Safety Code; and Section 16001.9, Welfare and Institutions Code.
HISTORY

1. New subsection (b)(5)(A) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
2. Amendment of section and Note filed 8-16-2004; operative 9-15-2004 (Register 2004, No. 34).
3. Amendment filed 1-17-2007; operative 2-16-2007 (Register 2007, No. 3).
§84072.1. Discipline Policies and Procedures.
Note     •     History

(a) The licensee shall develop, maintain and implement written facility discipline policies and procedures meeting the requirements specified in (b) and (c) below.
(1) Staff, children, and authorized representatives shall receive copies of such policies and procedures, as specified in Sections 84065(o) and 84068.1(b)(4)(B).
(2) Signed copies of such policies and procedures shall be maintained in the child's record, as specified in Section 84070(c)(2).
(b) Any form of discipline which violates a child's personal rights as specified in Sections 80072 and 84072 shall be prohibited.
(c) Acceptable forms of discipline shall include the following:
(1) Exclusion in an unlocked living, sleeping, or play area.
(2) Institution of fines as specified in Section 84026(c).
(3) Prohibition against attendance at or participation in planned activities.
(4) Prohibition against use of entertainment devices including but not limited to telephones, televisions, radios and phonographs.
(5) Performance of additional duties related to training needs identified in the child's needs and services plan.
(6) Any other form of discipline approved in writing, in advance by the licensing agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsections (a)(1) and (c)(2) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
2. Amendment of subsection (a)(1) filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-14-99 and filed 1-26-2000 (Register 2000, No. 4).
§84072.2. Complaint Procedures.
Note     •     History

(a) The licensee of a group home shall develop, maintain and implement written complaint procedures by which children or their authorized representatives are permitted to file complaints, without fear of retaliation, with the facility administrator regarding facility staff or operations.
(1) Staff, children, and authorized representatives shall receive copies of such procedures, as specified in Sections 84065(o) and 84068.1(b)(4)(B).
(2) Signed copies of such procedures shall be maintained in each child's record, as specified in Section 84070(c)(2).
(3) Such procedures shall be posted in a location in the facility which is accessible to children and their authorized representatives.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
2. Amendment of subsection (a)(1) filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-14-99 and filed 1-26-2000 (Register 2000, No. 4).
§84072.3. Personal Rights for Children with Special Health Care Needs.
Note     •     History

(a) Except as specified in this section, Section 80072(a)(8) shall not apply to children with special health care needs.
(b) A child with special health care needs has the right to be free from any restraining/postural support device imposed for purposes of discipline or convenience, and not required to treat the child's specific medical symptoms.
(1) Physical restraining devices may be used for the protection of a child with special health care needs during treatment and diagnostic procedures such as, but not limited to, intravenous therapy or catheterization procedures. The restraining device, which shall not have a locking device, shall be applied for no longer than the time required to complete the treatment and shall be applied in conformance with the child's individualized health care plan. The child's individualized health care plan shall include all of the following:
(A) The specific medical symptom(s) that require use of the restraining device.
(B) An evaluation of less restrictive therapeutic interventions and the reason(s) for ruling out these other practices as ineffective.
(C) A written order by the child's physician. The order must specify the duration and circumstances under which the restraining device is to be used.
(2) Postural supports, as specified in Sections 80072(a)(8)(A) and (A)1., half-length bed rails, and protective devices as specified in Section 80072(a)(8)(G), may be used if prescribed in the individualized health care plan. The use of a postural support or protective device and the method of application shall be specified in the child's individualized health care plan and approved in writing by the child's physician.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17730, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§84074. Transportation.
Note     •     History

(a) In addition to Section 80074, the following shall apply:
(b) The licensee and his/her staff are prohibited from smoking, or permitting any person from smoking a pipe, cigar or cigarette containing tobacco or any other plant in a motor vehicle when minor children are present. This prohibition applies when the motor vehicle is moving or at rest.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1531 and 118948, Health and Safety Code.
HISTORY

1. New section filed 2-4-2010; operative 3-6-2010 (Register 2010, No. 6).
§84075. Health-Related Services.
Note

(a) In addition to Section 80075, the following shall apply.
(b) The licensee shall ensure that all prescribed medications are centrally stored, as provided in Section 80075(h)(3).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
§84076. Food Service.
Note     •     History

(a) In addition to Section 80076, the following shall apply.
(b) Written menus shall be posted weekly in an area accessible to the staff and children.
(c) The licensee shall meet the following food supply and storage requirements:
(1) Supplies of staple nonperisable foods for a minimum of one week and fresh perishable foods for a minimum of two days shall be maintained on the premises.
(2) Freezers shall be large enough to accommodate required perishables and shall be maintained at a temperature of zero degrees F (-17.7 degrees C).
(3) Refrigerators shall be large enough to accommodate required perishables and shall maintain a maximum temperature of 45 degrees F (7.2 degrees C).
(4) Freezers and refrigerators shall be kept clean, and food storage shall permit the air circulation necessary to maintain the temperatures specified in (2) and (3) above.
(5) Kitchen appliances and utensils shall be made accessible to a child when he or she is participating in age-appropriate, and developmentally-appropriate activities related to food preparation, cooking, and other related kitchen and dining activities. The administrator or facility manager, or his or her responsible designee, shall: 
(A) Apply the “Reasonable and Prudent Parent Standard,” as specified in Section 84067, when allowing a child to use kitchen appliances and utensils for food preparation and cooking. 
(B) Ensure that the child is properly trained to safely use the kitchen appliances and utensils. 
(C) Not require a child to participate in meal preparation.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Sections 361.2(j)(2), 727 and 16001.9, Welfare and Institutions Code.
HISTORY

1. New subsections (c)(5)-(c)(5)(C) and amendment of Note filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
§84077. Personal Services.
Note     •     History

(a) The licensee shall ensure the following:
(1) Provision of basic laundry services, including but not limited to washing, drying, and ironing of children's personal clothing.
(A) Children shall be permitted to participate in the performance of such services provided that the requirements specified in Section 80065(j) are met.
(2) Provision of an allowance to all children no less frequently than once per month except:
(A) If the child in placement is an infant as defined in Section 80001.
(B) If the child is unable to manage his/her own money because of age or if the authorized representative determines that the child cannot manage his/her own money.
(1) If the authorized representative considers the child incapable of money management, it must be specified in the needs and services plan.
(3) Portions of a child's allowance may be withheld through a fining system as specified in Section 84026.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
§84078. Responsibility for Providing Care and Supervision.
Note     •     History

(a) In addition to Section 80078, the following shall apply.
(b) The licensee shall provide those services identified in each child's needs and services plan and in the individualized health care plan for each child with special health care needs as necessary to meet the child's needs.
(c) The licensee is responsible for ensuring care and supervision of the child(ren) of any minor parent(s) in placement.
(1) Direct care and supervision of the child(ren) of a minor parent is to be provided during the hours that the minor parent is unavailable or unable to provide such care and supervision.
(d) The licensee shall ensure each child's attendance at an educational program in accordance with state law.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 11465 and 17731, Welfare and Institutions Code; and Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New subsection (c) and relettering of former subsection (c) to subsection (d) filed 2-27-89 as an emergency; operative 2-28-89 (Register 89, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-28-89.
2. New subsection (c) and relettering of former subsection (c) to subsection (d) refiled 7-25-89 as an emergency; operative 7-25-89 (Register 89, No. 30). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-22-89.
3. Certificate of Compliance as to 7-25-89 order transmitted to OAL 11-16-89 and filed 12-15-89 (Register 89, No. 51). 
4. Amendment of subsection (b) and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§84079. Planned Activities.
Note     •     History

(a) The licensee shall develop, maintain, and implement a written plan to ensure that indoor and outdoor activities which include but are not limited to the following are provided for all children:
(1) Activities that require group interaction.
(2) Physical activities, including but not limited to games, sports and exercise.
(3) Leisure time.
(4) Educational activities, including attendance at an educational program in accordance with state law, and supervision of afterschool study as specified in Section 84078(c).
(5) Activities which meet the training, money management, and personal care and grooming needs identified in the children's needs and services plans, as specified in Section 84068.2(c)(3) through (5).
(b) Each child who is capable shall be given the opportunity to participate in the planning, preparation, conduct, cleanup, and critique of planned activities.
(c) The administrator or facility manager, or his or her designee, shall:
(1) Allow a child to participate in age-appropriate and developmentally-appropriate extracurricular, enrichment, and social activities. 
(2) Apply the “Reasonable and Prudent Parent Standard” as specified in Section 84067, when determining whether to allow a child to participate in age-appropriate and developmentally-appropriate extracurricular, enrichment, and social activities. 
(d) In facilities with a licensed capacity of 13 or more children, a schedule of the planned activities shall be posted on at least a weekly basis in a central facility location readily accessible to children, relatives, and representatives of placement and referral agencies.
(1) Copies of schedules shall be retained in the facility's files for at least six months.
(e) For children 16 years of age or older, the licensee shall allow access to existing information regarding available vocational and postsecondary educational options as specified in Section 84072(c)(34). The information may include, but is not limited to:
(1) Admission criteria for universities, community colleges, trade or vocational schools and financial aid information for these schools.
(2) Informational brochures on postsecondary or vocational schools/programs.
(3) Campus tours.
(4) Internet research on postsecondary or vocational schools/programs, sources of financial aid, independent living skills program offerings, and other local resources to assist youth.
(5) School-sponsored events promoting postsecondary or vocational schools/programs.
(6) Financial aid information, including information about federal, state and school-specific aid, state and school-specific scholarships, grants and loans, as well as aid available specifically to current or former foster youth and contact information for the Student Aid Commission.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; Sections 361.2(j)(2), 362.04, 362.05, 727 and 16001.9, Welfare and Institutions Code; and Assembly Bill 2096, (Chapter 483 Statutes of 2008).
HISTORY

1. Amendment of subsection (a)(5) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
2. New subsections (e)-(e)(6) and amendment of Note filed 1-17-2007; operative 2-16-2007 (Register 2007, No. 3).
3. Amendment of subsections (c)-(c)(2), repealer of subsection (c)(3) and amendment of Note filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
§84080. Resident Councils.
Note     •     History

(a) Each facility, at the request of a majority of its residents, shall assist its residents in establishing and maintaining a resident-oriented facility council.
(1) The licensee shall provide space and post notice for meetings, and shall provide assistance in attending council meetings for those residents who request it.
(A) If residents are unable to read the posted notice because of a physical or functional disability, the licensee shall notify the residents in a manner appropriate to that disability including but not limited to verbal announcements.
(2) The licensee shall document notice of meetings, meeting times, and recommendations from council meetings.
(3) In order to permit a free exchange of ideas, at least part of each meeting shall be conducted without the presence of any facility personnel.
(4) Residents shall be encouraged, but shall not be compelled to attend council meetings.
(b) The licensee shall ensure that in providing for resident councils the requirements of Section 1520.2 of the Health and Safety Code are observed.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1520.2, Health and Safety Code.
HISTORY

1. New section filed 11-10-86; effective thirtieth day thereafter (Register 86, No. 46).
Article 7. Physical Environment
§84087. Buildings and Grounds.
Note     •     History

(a) In addition to Section 80087, the following shall apply.
(b) Bedrooms shall meet, at a minimum, the following requirements:
(1) Not more than two children shall sleep in a bedroom.
(2) Bedrooms shall be large enough to allow for easy passage and comfortable use of any required assistive devices, including but not limited to wheelchairs, between beds and other items of furniture.
(3) Children of the opposite sex shall not share a bedroom unless each child is under five years of age.
(4) No room commonly used for other purposes shall be used as a bedroom.
(A) Such rooms shall include but not be limited to halls, stairways, unfinished attics or basements, garages, storage areas, and sheds or similar detached buildings.
(5) No bedroom shall be used as a public or general passageway to another room, bath or toilet.
(6) Except for infants, children shall not share a bedroom with an adult.
(A) In bedrooms shared by adults and infants, no more than one infant and no more than two adults shall share the room.
(B) If two children have been sharing a bedroom and one of them turns 18 they may continue to share the bedroom as long as they remain compatible and the licensing agency has granted as exception pursuant to Section 80024.
(7) Private bedrooms, separate from the children's bedrooms shall be provided for staff or other adults who sleep at the facility.
(A) Staff bedrooms are to be located near the children's sleeping area.
(8) Subsections (1), (2), (3), (4), (5), and (6) apply to all bedrooms used by all children in the facility including children who are members of the licensee's family, children of staff members and children in placement.
(9) Subsections (4), (5) and (7) apply to all bedrooms used by the licensee(s), staff and any other adults in the facility.
(c) The licensee shall prohibit smoking in the facility and on the grounds of the facility.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and “The Health Consequences of Involuntary Exposure to Tobacco Smoke”: A Report of the Surgeon General (2006).
HISTORY

1. Amendment of subsection (b) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
2. New subsections (b)(6)(A) and (b)(6)(B) filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. New subsection (c) and amendment of Note filed 2-4-2010; operative 3-6-2010 (Register 2010, No. 6).
§84087.1. Additional Buildings and Grounds Requirements for Specialized Group Homes.
Note     •     History

(a) Areas in the home, including bedrooms, bathrooms, toilets, dining areas, passageways and recreational spaces used by a child with special health care needs shall be large enough to accommodate any medical equipment needed by the child therein.
(1) Bedrooms occupied by children with special health care needs shall be large enough to allow the storage of each child's personal items and any required medical equipment or assistive devices, including wheelchairs, adjacent to the child's bed.
(A) The bedroom shall be large enough to permit unobstructed bedside ministration of medical procedures and medications.
(b) Notwithstanding Section 84087(b)(1), a bedroom used by a child with special health care needs shall not be shared with another minor residing in the facility if the child's need for medical services or the child's medical condition would be incompatible with the use and enjoyment of the bedroom by each minor.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17732, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§84087.2. Outdoor Activity Space.
Note     •     History

(a) Children shall have access to safe outdoor activity space.
(1) Outdoor activity space meeting the requirement of (a) above shall include but not be limited to activity centers and public parks.
(2) A sketch of the physical plant as required in the plan of operation pursuant to Section 80022, shall include the location(s) of outdoor activity space.
(3) The outdoor activity space shall not include any area made inaccessible by fencing pursuant to Section 80087(f). 
(4) Where natural or man-made hazards such as canals, cliffs, condemned buildings, creeks, ditches, lakes, ocean fronts, mines, power lines, quarries, rivers, ravines, swamps, watercourses, and areas subject to flooding lie on or adjacent to the facility premises, the outdoor activity space shall be inaccessible to such hazards.
(A) Where a fence or wall is used to make the outdoor activity space inaccessible, the requirements of Section 80087(f)(1) shall be met.
(5) The administrator or facility manager, or his or her responsible designee, shall apply the “Reasonable and Prudent Parent Standard,” as specified in Section 84067, when determining whether to allow a “child” to have access to fish ponds, fountains, and similar bodies of water. 
(A) The licensee shall ensure safeguards that include but are not limited to; familiarity of the surroundings, and staff trained in water safety as specified in Section 80065(e)(2). 
(b) As a condition of licensure, the areas around and under high climbing equipment, swings, slides and other similar equipment shall be cushioned with material which absorbs falls.
(1) Sand, woodchips, peagravel or rubber mats commercially produced for this purpose, shall be permitted.
(2) The use of cushioning material other than that specified in (1) above shall be approved by the licensing agency in advance of installation.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Sections 361.2(j)(2), 362.04, 362.05 and 727, Welfare and Institutions Code.
HISTORY

1. New subsections (a)(1) and (a)(2) filed 7-26-91; operative 8-26-91 (Register 91, No. 51).
2. Editorial correction of subsection (a)(1) (Register 95, No. 44).
3. New subsections (a)(3)-(a)(4)(A) filed 8-14-96; operative 9-13-96 (Register 96, No. 33).
4. New subsections (a)(5)-(a)(5)(A) and amendment of Note filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
§84087.3. Indoor Activity Space.
Note

(a) As a condition of licensure, there shall be common rooms, including a living room, dining room, den or other recreation/activity room, which provide the necessary space and/or separation to promote and facilitate the program of planned activities specified in Section 84079; and to prevent such activities from interfering with other functions.
(1) At least one such room shall be available to children for relaxation and visitation with friends and/or relatives.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§84088. Fixtures, Furniture, Equipment, and Supplies.
Note     •     History

(a) In addition to Section 80088, the following shall apply.
(b) As a condition of licensure, toilets, wash basin, bath and shower fixtures shall, at a minimum, meet the following requirements:
(1) There shall be at least one toilet and wash basin maintained for each six persons residing in the facility, including children and personnel.
(2) There shall be at least one shower or bathtub maintained for each ten persons residing in the facility, including children and personnel.
(3) Toilets and bathrooms shall be located so that children do not have to go out-of-doors to have access to such accommodations.
(4) Individual privacy shall be provided in all toilet, bath, and shower areas.
(c) The licensee shall provide and make readily available to each child the following furniture, equipment and supplies necessary for personal care and maintenance of personal hygiene:
(1) An individual bed maintained in good repair; equipped with good springs and a clean mattress; and supplied with pillow(s) which are clean and in good repair.
(A) No group home shall have more beds for children's use than required for the maximum capacity approved by the licensing agency.
1. This requirement shall not apply to the bed(s) made available for ill--ness or separation of others in an isolation room or area as specified in Section 80075(b).
(B) Fillings and covers for mattresses and pillows shall be flame retardant.
(C) The use of cots, trundle, or bunk beds shall be prohibited.
(2) Clean linen in good repair, including lightweight, warm blankets and bedspreads; top and bottom bed sheets; pillow cases; mattress pads; and bath towels, hand towels and wash cloths.
(A) The quantity of linen provided shall permit changing the linen at least once each week, or more often when indicated to ensure that clean linen is in use by children at all times.
(B) Use of common towels and wash cloths shall be prohibited.
(3) Items used to maintain basic personal hygiene practices, including but not limited to shampoo, feminine napkins, nonmedicated soap, toilet paper, toothbrush, toothpaste, and comb.
(4) Portable or permanent closets and drawer space in the child's bedroom to accommodate the child's clothing and personal belongings.
(A) A minimum of two drawers or eight cubic feet (.2264 cubic meters) of drawer space, whichever is greater, shall be provided for each child.
(d) The administrator or facility manager, or his or her responsible designee, shall: 
(1) Apply the “Reasonable and Prudent Parent Standard,” as specified in Section 84067, when determining whether a child should have access to disinfectants and cleaning solutions; and
(2) Ensure that the child is properly trained to safely use disinfectants and cleaning solutions. 
(e) The following facilities shall maintain a signal system which meets the requirements specified in (e) and (f) below. Such system shall be used by children to summon staff during an emergency:
(1) All facilities with a licensed capacity of 31 or more children.
(2) All facilities having separate floors and not providing full-time staff on each floor whenever children are present.
(3) All facilities having separate buildings and not providing full-time staff in each building whenever children are present.
(f) The signal system shall have the ability to meet the following requirements:
(1) Operation from each children's living unit.
(2) Transmission of a visual and/or auditory signal to a central location, or production of an auditory signal at the specific children's living unit which is loud enough to summon staff.
(3) Identification of the specific children's living unit from which the signal originates.
(g) Facilities having more than one wing, floor or building shall be allowed to have a separate signal system in each component provided that each such system meets the requirements specified in (e) above.
(h) The licensee shall provide and maintain the supplies, equipment and reading material necessary to implement the planned activities.
(i) The licensee shall provide and make readily available to each child well-lighted desk or table space and necessary supplies, including reference materials, for school-related study.
(j) Construction or other equipment, including but not limited to incinerators and air conditioning equipment, shall be made inaccessible to children.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Sections 361.2(j)(2), 362.04, 362.05 and 727, Welfare and Institutions Code.
HISTORY

1. New subsections (d)-(d)(2), subsection relettering and amendment of Note filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
§84088.3. Outdoor Activity Equipment.
Note

(a) Outdoor activity equipment shall be securely anchored to the ground unless it is portable by design.
(1) Equipment shall be maintained in a safe condition free of sharp, loose or pointed parts.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
Article 9. Administrator Certification Training Programs
§84090. Initial Certification Training Program Approval Requirements.
Note     •     History

(a) Initial Certification Training Programs shall be approved by the Department prior to being offered to applicants seeking certification.
(b) Any vendor applicant seeking approval of an Initial Certification Training Program shall submit a written request to the Department. The request shall contain the following:
(1) Name, address and phone number of the vendor applicant requesting approval and the name of the person in charge of the program.
(2) Subject title, classroom hours, proposed dates, duration, time, location and proposed instructor of each component.
(3) Written description and educational objectives for each component.
(4) Qualifications of each proposed instructor as specified in Section 84090(i)(6).
(5) Geographic areas in which the Training Program will be offered.
(6) Types of records to be maintained as required by Section 84090(i)(4) below.
(7) A statement of whether or not the vendor applicant held or currently holds a license, certification or other approval as a professional in a specified field and the certificate or license number(s).
(8) A statement of whether or not the vendor applicant held or currently holds a community care facility license or was or is employed by a licensed community care facility and the license number.
(9) A statement of whether or not the vendor applicant was the subject of any administrative, legal or other action involving licensure, certification or other approvals as specified in (7) and (8) above.
(10) A processing fee of one hundred-fifty dollars ($150).
(c) Initial Certification Training Program approval shall expire two (2) years from the date the program is approved.
(d) A written request for renewal of the Initial Certification Training Program shall be submitted to the Department and shall contain the information and processing fee specified in Section 84090(b) above.
(e) If a request for approval or renewal of an Initial Certification Training Program is incomplete, the Department shall, within thirty (30) days of receipt, give written notice to the vendor applicant that:
(1) The request is deficient, describing which documents or information are outstanding and/or inadequate, and informing the vendor applicant that the information must be submitted within thirty (30) days of the date of notice.
(f) If the vendor applicant does not submit the requested information within thirty (30) days, the request for approval or renewal shall be deemed withdrawn provided that the department has not denied or taken action to deny the request.
(g) Within thirty (30) days of receipt of a complete request for an approval, the Department shall notify the vendor applicant in writing whether the request has been approved or denied.
(h) The Initial Certification Training Program shall consist of the following components:
(1) A minimum of forty (40) classroom hours on a uniform Core of Knowledge with the following basic curriculum:
(A) Six (6) hours of instruction in laws, regulations, and policies and procedural standards that impact the operations of the type of facility for which the applicant will be an administrator.
(B) Four (4) hours of instruction in business operations.
(C) Four (4) hours of instruction in management and supervision of staff.
(D) Four (4) hours of instruction in the psychosocial and educational needs of the facility residents.
(E) Four (4) hours of instruction in the use of community and support services to meet residents' needs.
(F) Two (2) hours of instruction in the physical needs of facility residents.
(G) Six (6) hours of instruction in the administration, storage, prevention of misuse and interaction of medication used by facility residents.
(H) Five (5) hours of instruction on admission, retention, and assessment procedures, and nondiscrimination policies, including the child's right to fair and equal access to all available services, placement, care, treatment and benefits, and to not be subjected to discrimination or harassment on the basis of actual or perceived race, ethnic group identification, ancestry, national origin, color, religion, sex, sexual orientation, gender identity, mental or physical disability, or HIV status.
(I) Four (4) hours of instruction on nonviolent, emergency intervention and reporting requirements.
(J) One (1) hour of instruction on existing laws and procedures regarding the safety of foster youth at school as contained in the California Student Safety and Violence Prevention Act of 2000. 
(2) A standardized test administered by the Department.
(A) Individuals completing an Initial Certification Training Program must pass the test with a minimum score of seventy percent (70%).
(B) The test questions shall reflect the hour value of the nine (9) Core of Knowledge areas specified in Section 84090(h)(1)(A) through (I) above.
(i) Initial Certification Training Program vendors shall:
(1) Offer all forty (40) classroom hours required for certification.
(A) A minimum of ten (10) hours of instruction must be provided by an instructor(s) who meets the criteria specified in Section 84090(i)(6)(D).
(2) Establish a procedure to allow participants to make up any component necessary to complete the program.
(3) Submit to the Department within seven (7) days of determination the names of individuals who have completed forty (40) hours of classroom instruction.
(4) Maintain and ensure that written records are available for review by Department representatives. Records shall be maintained for three (3) years. The records shall include the following information:
(A) Course schedules, dates and descriptions.
(B) List of instructors and documentation of qualifications of each, as specified in Section 84090(i)(6).
(C) Names of registered participants and documentation of completion of the program.
(5) Ensure that all classes are open to monitoring and inspection by Department representatives.
(6) Have instructors who have knowledge and/or experience in the subject area to be taught and who meet the following criteria:
(A) Possession of a four (4) year college degree and two (2) years experience relevant to the course(s) to be taught, or
(B) Four (4) years experience relevant to the course to be taught, or
(C) Be a professional, in a related field, with a valid license to practice in California, or
(D) Have at least (4) years experience in California as an administrator of a group home, within the last eight (8) years, and with a record of administering facilities in substantial compliance, as defined in Section 80001(s)(6).
(j) Initial Certification Training Program vendors shall allow Department representatives to monitor and inspect training programs.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Section 1 of Assembly Bill (AB) 458 (Chapter 331, Statutes of 2003); Sections 1501, 1522.41 and 1531, Health and Safety Code; Section 16001.9, Welfare and Institutions Code; and Article 3.6 (commencing with Section 32228) of Chapter 2 of Part 19 of Division 1 of Title 1 of the Education Code.
HISTORY

1. New article 9 (sections 84090-84091.4) and section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New article 9 (sections 84090-84091.4) and section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including amendment of subsection (i)(6)(C), transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
4. Amendment of subsection (h)(1)(H) and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
5. Amendment of subsection (h)(1)(H), new subsection (h)(1)(J) and amendment of Note filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
§84090.1. Denial of Request for Approval of an Initial Certification Training Program.
Note     •     History

(a) The Department may deny a request for approval of an Initial Certification Training Program in accordance with Section 1522.41(h)(1) of the Health and Safety Code. The Department shall provide the applicant with a written notice of the denial.
(b) The applicant may appeal the denial of the application in accordance with Section 1551 of the Health and Safety Code.
(c) Any request for approval submitted by a vendor applicant whose application has been previously denied shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1520.3(b).
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1520.3(b), 1522.41(h) and 1551, Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including new subsection (c) and amendment of Note, transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84090.2. Revocation of an Initial Certification Training Program.
Note     •     History

(a) The Department may revoke an Initial Certification Training Program approval and remove the vendor from the list of approved vendors if the vendor does not provide training consistent with Section 84090 or:
(1) Is unable to provide training due to lack of staff, funds, or resources, or
(2) Misrepresents or makes false claims regarding the training provided, or
(3) Demonstrates conduct in the administration of the program that is illegal, inappropriate, or inconsistent with the intent or requirements of the program, or
(4) Misrepresents or makes false statements in the vendor application.
(b) The vendor may appeal the revocation in accordance with Health and Safety Code Section 1551.
(c) Any applicant for approval of an Initial Certification Training Program submitted by a vendor applicant whose approval has been previously revoked shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1520.3.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1520.3, 1522.41(h) and 1551, Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including new subsection (c) and amendment of Note, transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84091. Continuing Education Training Program Vendor Requirements.
Note     •     History

(a) Any vendor applicant seeking approval as a vendor of a Continuing Education Training Program shall obtain vendor approval by the Department prior to offering any course to certificate holders.
(b) Any vendor applicant seeking approval to become a vendor of a Continuing Education Training Program shall submit a written request to the Department. The request shall contain the following:
(1) Name, address and phone number of the vendor applicant requesting approval and the name of the person in charge of the Program.
(2) A statement of whether or not the vendor applicant held or currently holds a license, certification, or other approval as a professional in a specified field and the license or certificate number.
(3) A statement of whether or not the vendor applicant held or currently holds a community care facility license or was or is employed by a licensed community care facility and the license number.
(4) A statement of whether or not the vendor applicant was the subject of any administrative, legal or other action involving licensure, certification or other approvals as specified in Section 84091(b)(2) and (3) above.
(5) A processing fee of one hundred dollars ($100).
(c) Continuing Education Training Program vendor approval shall expire two (2) years from the date the vendorship is approved by the Department.
(d) A written request for renewal of the Continuing Education Training Program shall be submitted to the Department and shall contain the information and processing fee specified in Section 84091(b).
(e) If the request for approval or renewal of a Continuing Education Training Program is incomplete, the Department shall, within thirty (30) days of receipt, give written notice to the vendor applicant that:
(1) The request is deficient, describing which documents or information are outstanding and/or inadequate and informing the vendor applicant that the information must be submitted within thirty (30) days of the date of the notice.
(f) If the vendor applicant does not submit the requested information above within thirty (30) days, the request for approval or renewal shall be deemed withdrawn, provided that the Department has not denied or taken action to deny the request.
(g) Within thirty (30) days of receipt of a complete request for an approval or renewal, the Department shall notify the vendor applicant in writing whether the request has been approved or denied.
(h) Continuing Education Training Program vendors shall:
(1) Maintain and ensure that written records are available for review by Department representatives. Records shall be maintained for three (3) years. The records shall include the following:
(A) Course schedules, dates and descriptions.
(B) List of instructors and documentation of qualifications of each, as specified in Section 84091(h)(2).
(C) Names of registered participants and documentation of completion of the courses.
(2) Have instructors who have knowledge and/or experience in the subject area to be taught and who meet at least one of the following criteria:
(A) Possession of a four (4) year college degree and two (2) years experience relevant to the course(s) to be taught, or
(B) Four (4) years experience relevant to the course to be taught, or
(C) Be a professional, in a related field, with a valid and current license to practice in California, or
(D) Have at least four (4) years experience in California as an administrator of a group home, within the last eight (8) years, and with a record of administering facilities in substantial compliance as defined in Section 80001(s)(6).
(i) Courses approved for continuing education credit shall require the physical presence of the certificate holder in a classroom setting, except that:
(1) The Department may approve courses where technology permits the simultaneous and interactive participation of the certificate holder, provided that such participation is verifiable.
(j) Any changes to courses previously approved by the Department must be submitted and approved by the Department prior to being offered.
(k) Continuing Education Training Program vendors shall allow Department representatives to monitor and inspect Training Programs.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Section 1522.41(h), Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including amendment of subsection (h)(2), transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84091.1. Continuing Education Training Program Course Approval Requirements.
Note     •     History

(a) Any Continuing Education Training Program course shall be approved by the Department prior to being offered to certificate holders.
(b) Any vendor seeking approval of a Continuing Education Training Program shall submit a written request to the Department. The request shall contain the following:
(1) Subject title, classroom hours, scheduled dates, duration, time, location, and proposed instructor of each course.
(2) Written description and educational objectives for each course.
(3) Qualifications of each proposed instructor, as specified in Section 84091(h)(2).
(4) Types of records to be maintained as required by Section 84091(h)(1).
(5) A statement of whether or not the proposed instructor held or currently holds a license, certification or other approval as a professional in a specified field and the license or certificate number.
(6) A statement of whether or not the proposed instructor held or currently holds a community care facility license or was or is employed by a licensed community care facility and the license number.
(7) A statement of whether or not the proposed instructor was the subject of any administrative, legal or other action involving licensure, certification or other approvals as specified in Section 84091.1(b)(5) and (6) above.
(c) Course approval shall expire on the expiration date of the vendor's Continuing Education Training Program vendorship approval as provided in Section 84091(c).
(1) To renew a course, the vendor shall submit a written request to the Department which shall contain the information specified in Section 84091.1(b).
(d) If a request for approval or renewal of a Continuing Education Training Program course is incomplete, the Department shall, within thirty (30) days of receipt, given written notice to the vendor applicant that:
(1) The request is deficient, describing which documents or information are outstanding and/or inadequate and informing the vendor applicant that the information must be submitted within thirty (30) days of the date of the notice.
(e) If the vendor applicant does not submit the requested information within thirty (30) days, the request for approval or renewal shall be deemed withdrawn, provided that the Department has not denied or taken action to deny the request.
(f) Within thirty (30) days of receipt of a complete request for an approval or renewal, the Department shall notify the vendor applicant in writing whether the course has been approved or denied.
(g) Any changes to previously approved courses must be submitted to the Department for approval prior to being offered.
(h) Continuing Education Training Program vendors shall allow Department representatives to monitor and inspect Training Courses.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Section 1522.41(h), Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84091.2. Administrative Review of Denial of a Request for Approval of a Continuing Education Course.
Note     •     History

(a) A vendor may seek administrative review of the denial of course approval as follows:
(1) The vendor must request administrative review, in writing, within ten (10) days of the receipt of the Department's notice denying course approval.
(2) The administrative review shall be conducted by a higher-level staff person than the person who denied course approval. 
(3) If the reviewer determines that the denial of course approval was not issued in accordance with applicable statutes and regulations of the Department, or that other circumstances existed, he/she shall have the authority to amend the denial of course approval.
(4) The decision of the higher-level staff person shall be final.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Section 1522.41(h), Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including amendment of subsection (a)(1), transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84091.3. Denial of a Request for Approval of a Continuing Education Training Program.
Note     •     History

(a) The Department may deny a request for approval of a Continuing Education Training Program in accordance with Health and Safety Code Section 1522.41(h)(1). The Department shall provide the applicant with a written notice of the denial.
(b) The vendor applicant may appeal the denial in accordance with Health and Safety Code Section 1551.
(c) Any request for approval submitted by a vendor applicant whose application has been previously denied shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1520.3(b).
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1520.3(b), 1522.41(h)(1) and 1551, Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including new subsection (c) and amendment of Note, transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84091.4. Revocation of a Continuing Education Training Program.
Note     •     History

(a) The Department may revoke a Continuing Education Training Program approval and remove the vendor from the list of approved vendors if the vendor does not provide training consistent with Sections 84091 and 84091.1, or:
(1) Is unable to prove training due to lack of staff, funds, or resources; or
(2) Misrepresents or make false claims regarding the training provided; or
(3) Demonstrates conduct in the administration of the program that is illegal, inappropriate, or inconsistent with the intent of the program; or
(4) Misrepresents or makes false statements in the vendor application.
(b) The vendor may appeal the revocation in accordance with Health and Safety Code Section 1551.
(c) Any application for approval of an Continuing Education Training Program submitted by a vendor applicant whose approval has been previously revoked shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1520.3.
NOTE

Authority cited: Sections 1522.41(j) and 1530, Health and Safety Code. Reference: Sections 1520.3, 1522.41(h) and 1551, Health and Safety Code.
HISTORY

1. New section filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-9-2000 order, including new subsection (c) and amendment of Note, transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
Subchapter 1. Community Treatment Facilities
Article 1. General Requirements and Definitions
§84110. General.
Note     •     History

(a) Community treatment facilities, as defined in Section 80001(c)(11), shall be governed by the provisions specified in this subchapter. In addition, community treatment facilities, except where specified otherwise, shall be governed by Title 22, Division 6, Chapter 5, Group Homes, Articles 1 through 7, and Chapter 1, General Licensing Requirements.
(b) In addition to Section 84110(a), community treatment facilities shall be governed by the provisions specified in the California Code of Regulations, Title 9, Chapter 11, Sections 1900 through 1938.
NOTE

Authority cited: Section 1530.9, Health and Safety Code. Reference: Sections 1501, 1502, 1530, 1530.9 and 1531, Health and Safety Code; and Section 4094, Welfare and Institutions Code.
HISTORY

1. New subchapter 1 (articles 1-7), article 1 (sections 84110-84111) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
2. Change without regulatory effect amending subsection (a) filed 11-8-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
§84111. Definitions.
Note     •     History

In addition to Section 84001, the following shall apply:
(a)(1) “Advocate” means the person or persons authorized to provide advocacy services pursuant to Section 5520 et seq. of the Welfare and Institutions Code.
(b) (Reserved)
(c)(1) “Certified” means a community treatment facility that has been approved by the Department of Mental Health as complying with the standards established for that program.
(2) “Child” means a person under 18 years of age who is seriously emotionally disturbed as defined in Section 5600.3 of the Welfare and Institutions Code, including those individuals 18 through 21 years of age as specified in Section 1924(b) of the California Code of Regulations, Title 9, Chapter 11.
(3) “Conservator” means a person appointed pursuant to Section 5350 of the Welfare and Institutions Code. In the event a child has a conservator and a parent(s), the conservator shall take precedence.
(d) (Reserved)
(e)(1) “Emergency” as defined in Section 1901(k) of the California Code of Regulations, Title 9, Chapter 11.
(f) (Reserved)
(g) (Reserved)
(h) (Reserved)
(i)(1) “Interagency Placement Committee” (IPC) means a committee established by the county, with a membership that includes at least the county placement agency and a licensed mental health professional from the county department of mental health pursuant to Section 4096(c) of the Welfare and Institutions Code.
(j) (Reserved)
(k) (Reserved)
(l)(1) “Licensed Mental Health Professional” as defined in Section 1901(p) of the California Code of Regulations, Title 9, Chapter 11.
(m)(1) “Mental Health Program Director” means the licensed mental health professional who has been designated by a community treatment facility licensee to oversee and implement the overall mental health treatment program.
(n) (Reserved)
(o) (Reserved)
(p)(1) “Physical Restraint” as defined in Section 1901(v) of the California Code of Regulations, Title 9, Chapter 11.
(q) (Reserved)
(r) (Reserved)
(s)(1) “Seclusion” as defined in Section 1901(dd) of the California Code of Regulations, Title 9, Chapter 11.
(2) “Secure Portion of the Facility” as defined in Section 1901(ee) of the California Code of Regulations, Title 9, Chapter 11.
(3) “Seriously Emotionally Disturbed” as defined in Section 5600.3(a)(2) of the Welfare and Institutions Code.
(t) (Reserved)
(u) (Reserved)
(v) (Reserved)
(w) (Reserved)
(x) (Reserved)
(y) (Reserved)
(z) (Reserved)
NOTE

Authority cited: Sections 1502, 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Article 2. Licensing (Reserved)
Article 3. Application Procedures
§84118. Application for License.
Note     •     History

(a) In addition to Section 84018, with the exception of Sections 84018(b)(2) and (3), the following shall apply.
(b) Prior to licensure each applicant shall submit to the Department evidence of a current community treatment facility mental health program certification, which shall be signed by an authorized representative of the Department of Mental Health.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code; and Section 4094(b), Welfare and Institutions Code.
HISTORY

1. New article 3 (sections 84118-84134) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84120. Fire Clearance.
Note     •     History

(a) In addition to Section 80020, the following shall apply:
(b) The applicant shall notify the Department if the facility plans to use the following:
(1) Mechanical restraint devices.
(2) Seclusion room(s).
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 4094.5(d), Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84122. Plan of Operation.
Note     •     History

(a) In addition to Section 84022, the following shall apply.
(b) The plan of operation shall include the following:
(1) A utilization review plan and program to monitor the appropriateness of a child's admission and continued stay or discharge, and to establish the basis for identifying and assessing the utilization of mental health program services and continued need for placement.
(A) The utilization review plan shall include a description of the procedures to be used by the facility to determine the placement, continued stay, or transfer of a child into either the secure or nonsecure portion of the facility.
(B) These procedures shall include documentation of approval of the proposed change of a child's placement within the facility and continued stay.
(2) A description of the array of mental health treatment services that can be made available to a child during their placement with the community treatment facility.
(3) A listing of and copies of all agreements, contracts, or memorandums of understanding with participating private or public mental health and health providers.
(4) A quality assurance program designed to enhance services and care through an objective assessment of the facility's overall programs to ensure the correction of identified problems.
(A) The quality assurance program shall include procedures for insuring the accountability of the facility's licensed mental health professional(s) and child care workers for the services and care provided to residents of the facility, and implementation of indicated changes.
(5) The name of the proposed mental health program director and his or her professional license number(s).
(6) A description of procedures and policies which shall include:
(A) Policies and procedures for the daily recording of observations and interactions with each child, psychotropic medication control, monthly review of each child's needs and services plan, and seclusion and restraint procedures.
(B) Procedures for ensuring a child's due process rights as specified in Section 84172(c).
(C) Policies and procedures for providing access to community resources to be utilized, as necessary, in the delivery of prescribed services, including medical and crisis intervention, inpatient psychiatric hospitalization, and education placements and classes.
(7) A written plan for the orientation, continuing education, on-the-job training, supervision, and evaluation of staff as required by Section 84165(f).
(8) A written plan for activities as specified in Sections 84079(a) through (a)(5).
(9) A written description of the facility's security features and procedures.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 1919, Title 9, Chapter 11, Article 5, California Code of Regulations.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84128. Capacity Determination.
Note     •     History

(a) In addition to Section 80028, the following shall apply.
(b) A license for a community treatment facility shall not exceed the Department of Mental Health's certification of specified number of beds.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Section 1531, Health and Safety Code; and Section 4094.7(b), Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84134. Submission of New Application.
Note     •     History

(a) In addition to Section 80034, the following shall apply.
(b) The Department may only approve capacity increases that have been approved by the Department of Mental Health.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Section 1531, Health and Safety Code; and Section 4094.7(b), Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Article 4. Administrative Actions
§84140. Denial of License.
Note     •     History

(a) In addition to Section 80040, the following shall apply.
(b) An application shall be denied if it is determined that the applicant has not been certified by the Department of Mental Health as specified in Section 84118(b).
(1) A single proceeding to hear an appeal for denial of an application will be held jointly with the Department of Mental Health and conducted by the Department.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1520 and 1525, Health and Safety Code; and Section 4094(b), Welfare and Institutions Code.
HISTORY

1. New article 4 (sections 84140-84145) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84142. Revocation or Suspension of License.
Note     •     History

(a) In addition to Section 80042, the following shall apply.
(b) The Department shall suspend or revoke the license of a community treatment facility upon written notification from the Department of Mental Health that the facility's certification has been revoked or suspended.
(1) A single proceeding to hear a revocation or a temporary suspension action will be held jointly with the Department of Mental Health and conducted by the Department.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 4094(b) and (c), Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84145. Evaluation Visits.
Note     •     History

(a) The Department shall notify the Department of Mental Health when there is reasonable cause to believe that a community treatment facility is not in compliance with program standards as specified in the California Code of Regulations, Title 9, Chapter 11, Article 5 and 6.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Section 4094(c)(4), Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Article 5. Enforcement Provisions
§84151. Serious Deficiencies.
Note     •     History

(a) In addition to Section 80051, with the exception of Section 84051, the following are regulations which, if not complied with, nearly always result in a serious deficiency.
(1) Sections 84164 and 84164.1 -- related to the qualification and duties of the administrator and mental health program director.
(2) Section 84165(b) -- related to personnel requirements.
(3) Sections 84165.5 and .6 -- related to staff/child ratios.
(4) Section 84168.1 -- related to admission criteria.
(5) Section 84168.3 -- related to the needs and services plan for the child.
(6) Section 84172 -- related to personal rights.
(7) Section 84172.2 -- related to complaint procedures.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New article 5 (section 84151) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Article 6. Continuing Requirements
§84161. Reporting Requirements.
Note     •     History

(a) In addition to Section 84061, the following shall apply.
(b) The licensee shall furnish a report to the licensing agency and the admitting parent(s), conservator, or the person designated by the court to manage the placement as specified in Section 80061(b) for all occurrences of a physical restraint as specified in Section 84175.2(a).
(c) The licensee shall notify the child's parent(s), conservator or person designated by the court to manage placement before the child is transferred between the nonsecure and secure program, except in an emergency.
(1) In an emergency, notification shall occur within 24 hours if the child has been transferred between the nonsecure and secure program without the participation of the parent(s), conservator, or person designated by the court to manage placement.
(d) The licensee shall notify the Department in writing, within 10 working days, of a change of mental health program director. The notification of a change shall include the following:
(1) Name, residence, and mailing address of the new employee.
(2) Effective date of position change.
(3) Description of the new employee's background and qualification, including documentation of required education. A photocopy of the documentation shall be permitted.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1531 and 1562, Health and Safety Code; and Section 11406(c), Welfare and Institutions Code.
HISTORY

1. New article 6 (sections 84161-84175.2) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84164. Administrator Qualifications and Duties.
Note     •     History

(a) In addition to Sections 84064(a) and (f), with the exception of Sections 84064(b) through (e), the following shall apply.
(b) All community treatment facilities shall have an administrator.
(c) The administrator shall be on the premises for the number of hours necessary to manage and administer the facility in compliance with applicable law and regulation.
(d) The administrator shall meet one of the following requirements:
(1) Have a master's degree in a behavioral science from an accredited college or university, and one year of full-time administrative or supervisory experience over social work, child care, and/or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of seven or more.
(2) Have a master's degree in a behavioral science from an accredited college or university, and two years of full-time employment as a mental health professional or social worker, as defined in Section 80001s.(4), in an agency serving children or in a group residential program serving children.
(3) Have a bachelor's degree from an accredited college or university, and three years of full-time administrative or supervisory experience over social work, child care, and/or support staff providing direct care services to children in an agency or in a community care facility with a licensed capacity of seven or more.
(e) When the administrator is absent, there shall be coverage by a designated substitute whose qualifications are at minimum, a bachelor's degree from an accredited college or university, plus at least two years of full-time administrative experience or supervisory experience over social work, child care, and/or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of seven or more.
(f) The administrator shall perform the duties as specified in Section 84064(f) and the following:
(1) Development of a plan for the orientation, development, and training of child care staff, as specified in Section 84165(f).
(2) Review of complaints made by children or on behalf of children, a specified in Section 84172.2(b), and the determination of the action to be taken to handle the complaint.
NOTE

Authority cited: Sections 1522.41(j), 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501, 1522.41(h), 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
2. Amendment of subsections (a) and (f) and amendment of Note filed 9-22-99 as an emergency; operative 9-22-99 (Register 99, No. 39). A Certificate of Compliance must be transmitted to OAL by 3-20-2000 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a) and (f) and amendment of Note refiled 3-9-2000 as an emergency; operative 3-22-2000 (Register 2000, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-18-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-9-2000 order transmitted to OAL 4-12-2000 and filed 5-24-2000 (Register 2000, No. 21).
§84164.1. Mental Health Program Director Qualifications and Duties.
Note     •     History

(a) All community treatment facilities shall have a Mental Health Program Director that meets the qualifications and responsibilities as specified in Section 1920 of the California Code of Regulations, Title 9, Chapter 11.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501, 1531 and 1562, Health and Safety Code; and Section 4094(d), Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84165. Personnel Requirements.
Note     •     History

(a) In addition to Section 80065, Section 84065(k) shall apply.
(b) The licensee shall employ administrative, child care, licensed mental health professional, and support staff necessary to perform the assigned duties specified in Sections 84164(f), 84164.1, and 84165.1.
(c) The licensee shall designate at least one facility manager to be present at the facility at all times when children are present.
(1) The facility manager shall meet one of the following minimum requirements prior to employment:
(A) Have two years of full-time experience as a social worker staff person in a group home performing those duties specified in Sections 84165.1(b)(1) through (3).
(B) Have an associate of arts or science degree from an accredited college or university and four years providing full-time direct care to children in an agency serving children or in a group residential program serving children.
(C) Have two years of full-time residential child care experience and completion, with a passing grade, of 18 college semester or equivalent quarter units on behavioral science from an accredited or approved college or university. Nine of those units must be in courses relating to children with behavioral problems which may be the result of abuse, neglect, or emotional trauma. The courses may include, but are not limited to, curriculums in corrections, psychology, social work, or social welfare.
(d) The licensee shall ensure that all child care staff meet one of the following minimum qualifications prior to employment:
(1) Have two years of full-time residential child care experience and an associate of arts or science degree from an accredited or approved college or university, with a major or emphasis in behavioral science. Nine of those units must be in courses relating to children with behavioral problems which may be the result of abuse, neglect, or emotional trauma. The courses may include, but are not limited to, curriculums in corrections, psychology, social work, or social welfare.
(2) Have two years of full-time work experience in a program serving persons with mental disabilities and be currently a licensed psychiatric technician by the Board of Vocational Nurse and Psychiatric Technician Examiners.
(e) Child care staff, employed by the facility prior to the effective date of these regulations, who do not have the required degree or semester units or equivalent quarter units relating to children with behavioral problems as specified in Section 84165(d), shall successfully complete the required units within one year of the effective date of these regulations.
(f) The licensee shall develop, maintain, and implement a written plan for the orientation, continuing education, on-the-job training and development, supervision, and evaluation of all child care staff.
(1) The plan shall require child care staff to receive and document a minimum of 20 hours of continuing education during the first 12 months of employment and during each year thereafter.
(A) Continuing education shall include completion of courses related to the principles and practices of child care, mental health and care of the mentally ill including, but not limited to, workshops, seminars, and academic classes.
(B) Continuing education, training, and classes may be provided at the facility.
(C) Proof of course attendance and completion shall be limited to official grade slips, transcripts, certificates, or signed documentation from a college, adult education department, a bona fide educational institution/organization, or licensee association.
(2) The on-the-job training and development program shall include training in the following areas:
(A)  Assaultive behavior management and preventing assaultive behavior training course which shall be approved by the Department of Mental Health. Staff shall complete at least 16 hours of a basic assaultive behavior and prevention training course prior to their participation in the containment, seclusion, and/or restraint of a child. The staff shall also participate in a four-hour semiannual review course.
1. The behavior management training courses shall be pre-approved by the Department of Mental Health.
(B) Recognition of possible side effects of psychotropic medication.
(C) Children's personal rights, including the child's right to fair and equal access to all available services, placement, care, treatment and benefits, and to not be subjected to discrimination or harassment on the basis of actual or perceived race, ethnic group identification, ancestry, national origin, color, religion, sex, sexual orientation, gender identity, mental or physical disability, or HIV status.
(D) Due process rights and procedures for accessing due process and personal rights.
(E) Staff responsibilities.
(F) The facility's emergency and safety procedures including, but not limited to, fire drills and disaster plan procedures.
(g) During orientation or when changes are made which affect job assignments, and upon request to placement agencies, all employees shall be given a copy of the job description and staff assignment information specified in Sections 84066(b)(1) and (2) which is relevant to their duties. All employees shall have access to all other job descriptions.
(h) Upon employment, staff shall receive copies of the discharge policies and procedures specified in Section 84168.5, due process procedures specified in Section 84172(c), complaint procedures specified in Section 84172.2, and the restraint policies specified in Section 84175.2.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Section 51, Civil Code; Sections 1501, 1522.4, 1531 and 1562, Health and Safety Code; and Section 16001.9, Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
2. Amendment of subsection (a) filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-14-99 and filed 1-26-2000 (Register 2000, No. 4).
4. Amendment of subsection (f)(2)(C), new subsections (f)(2)(D)-(E), subsection relettering and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§84165.1. Personnel Duties.
Note     •     History

(a) In addition to Section 84065.1, with the exception of Section 84065.1(c), the following shall apply.
(b) Licensed mental health professional staff shall complete or perform the following for each child:
(1) An intake report and admission assessment as specified in Sections 84168.2(c) and (d)(1).
(2) A needs and services plan, as specified in Sections 84168.3 and 84168.4.
(3) A discharge plan, discharge summary, and discharge report as specified in Section 84168.5.
(4) The medication report and Monthly Clinical Review report as specified in Section 84175.1.
(5) The required procedures for denying a child's personal right as specified in Section 1934 of the California Code of Regulations, Title 9, Chapter 11.
(6) An authorization to initiate and document any form of restraint and/or seclusion as specified in Section 84175.2.
(7) Progress notes or descriptions documenting the client's participation and responses to the implementation of prescribed mental health treatment services.
(8) Administration and monitoring of the mental health treatment services.
(9) Develop and record the information necessary for the completion of Sections 84165.1(b)(1) through (8) as specified in Section 84170.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501, 1522.4 and 1531, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84165.5. Staff/Child Ratios.
Note     •     History

(a) Section 84065.5 is not applicable to community treatment facilities.
(b) In community treatment facilities, there shall be one child care person awake and on duty for each five children, or fraction thereof, present from 7 a.m. to 10 p.m.
(c) If the children require special care and supervision because of age, problem behavior, or other factors, the number of on-duty child care staff shall be increased to meet the needs of the children in accordance with Section 80065(a).
(d) Each community treatment facility shall meet health treatment full-time staffing to client census ratio as specified in Sections 1921(a) and (e) of the California Code of Regulations, Title 9.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84165.6. Night Supervision.
Note     •     History

(a) Section 84065.7 is not applicable to community treatment facilities.
(b) In community treatment facilities providing care and supervision to, 10 or fewer children, there shall be one child care staff person awake and on duty from 10 p.m. to 7 a.m.
(1) Another staff person shall be on call and capable of arriving at the facility site within 30 minutes.
(c) In community treatment facilities providing care and supervision to 11 or more children, there shall be two child care staff persons awake and on duty from 10 p.m. to 7 a.m. for the first 20 children, and one child care staff person awake and on duty for each additional 20 children or fraction of that amount.
(d) In facilities required to have a signal system as specified in Section 84088(d), at least one staff person shall be responsible for responding to such system.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84168.1. Admission Criteria.
Note     •     History

(a) The licensee shall develop, maintain, and implement admission procedures which only admit children who meet the criteria specified in this section.
(b) Prior to admitting a child, the facility shall obtain and keep in each child's record the following documentation which substantiates that the appropriate requirements have been met:
(1) A written statement, signed by an appropriate licensed mental health professional, certifying that the child is seriously emotionally disturbed, as defined in Section 84111(s)(3); requires periods of containment to participate in and benefit from mental health treatment; that a proposed treatment program is reasonably expected to improve the child's mental disorder; and meets one of the following requirements:
(A) The child's records must indicate that the child has participated in other less restrictive mental health interventions.
1. Less restrictive interventions include, but are not limited to, outpatient therapy, family counseling, case management, family preservation efforts, special education classes, or nonpublic schooling.
(B) The child is currently placed in a psychiatric or state hospital or a facility outside the state for mental health treatment.
(2) A written consent to treatment on behalf of each child in one of the following forms:
(A) An application for a child of any age under the jurisdiction of juvenile court and the court's consent to treatment shall be documented by a copy of the juvenile court ruling making the findings specified in Section 6552 of the Welfare and Institutions Code, together with the child's application for treatment.
(B) An application made by the conservator for a child of any age in custody of a conservator appointed in accordance with Section 5350 of the Welfare and Institutions Code, shall be documented by the court papers appointing the conservator and delineating the conservator's authorization to place the child in a community treatment facility as well as any other powers that may be relevant in this setting along with the conservator's written consent for treatment.
(C) An application made by the parent(s) of a child under the age of 14 shall be documented by a written consent to treatment signed by both parents or the admitting parent must submit a court order demonstrating that they have sole legal custody and control of the child.
(D) An application for a child 14 through 17 years of age not within the jurisdiction of the juvenile court shall be documented by a written consent to treatment signed by both parents or the admitting parent must submit a court order demonstrating that they have sole legal custody and control of the child and one of the following:
1. A statement signed by the child and the child's attorney or patients' rights advocate that the child has made a knowing and voluntary waiver of his or her right to a pre-admission administrative hearing after being advised by the attorney or notified by the advocate of his or her rights to a pre-admission hearing in accordance with In re Roger S. (1977) 19 Cal. 3d 921. If the child waives his or her right to a pre-admission hearing based on the notification of rights by the advocate the child's statement must also indicate that he or she has been notified of his or her right to receive the advice of an attorney and has made a knowing and voluntary waiver of that right; or
2. The findings and order from a pre-admission hearing conducted in accordance with Section 1923(b)(4)(B) of the California Code of Regulations, Title 9, Chapter 11, pursuant to Section 4094(g) of the Welfare and Institutions Code that specifies all of the following findings:
(i) The child suffers a mental disorder;
(ii) There is a substantial probability that treatment will significantly improve the minor's mental disorder;
(iii) The proposed placement is the least restrictive setting necessary to achieve the purposes of the treatment; and
(iv) There is no suitable alternative to the community treatment facility placement.
(3) A written authorization from the placing county's Interagency Placement Committee certifying that the child is in need of the level of care and services provided by the community treatment facility and to the appropriateness of the following documentation:
(A) The written statement by a licensed mental health professional demonstrates that the child meets the requirements of Section 84168.1(b)(1).
(B) Informed consent is given by the child, the child's parents, or the parent having sole legal custody and control of the child or conservator as specified in Sections 84168.1(b)(2)(A) through (D)(1).
(C) The findings and order by the pre-admission administrative hearing officer specifying that all of the findings specified in Sections 84168.1(b)(2)(D)2.(i) through (iv) have been made for a child 14-17 years of age under parental custody who has not waived their right to a pre-admission hearing.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Section 1502.4, Health and Safety Code; and Sections 4094(f) and (g), 4094.5(a) and (e)(1), Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84168.2. Intake Procedures.
Note     •     History

(a) Section 84068.1 is not applicable to community treatment facilities.
(b) The licensee shall develop, maintain, and implement intake procedures which meet the requirements specified in this section.
(c) Before a child can be admitted to a community treatment facility, the facility must obtain sufficient information to determine whether the facility can provide the services necessary to meet the child's needs. This information shall be recorded in the intake report. Admission decisions shall be made by the licensed mental health professional who shall sign and date the intake report. The intake report shall be typed and include at a minimum:
(1) The child's name, birth date, and sex;
(2) The name, address, and telephone numbers of the parents, conservator, or if applicable, the person and agency designated by the court to manage the child's placement;
(3) A medical assessment, including ambulatory status as specified in Section 80069.
(4) The child's presenting problems;
(5) The child's current Diagnostic and Statistical Manual of Mental Disorders (DSM) diagnosis;
(6) An assessment of the child's danger to self and others;
(7) Medications;
(8) The child's immediate educational, service, and treatment needs;
(9) Certification that the child is seriously emotionally disturbed and meets the requirements as specified in Section 84168.1(b)(1);
(10) Consent to treatment as specified in Section 84168.1(b)(2); and
(11) Authorization from the placing county's Interagency Placement Committee as specified in Section 84168.1(b)(3).
(d) When the child is accepted for placement, the following requirements shall be met:
(1) An admission assessment shall be completed and signed as specified in Sections 1927(c) and (d) of the California Code of Regulations, Title 9, Chapter 11.
(2) An admission agreement shall be completed and signed as specified in Section 80068.
(3) The administrator or his/her designee, the child, and his/her parent(s), conservator, or person designated to manage the placement shall sign copies of documentation of the following:
(A) Procedures regarding the continuing stay criteria as specified in Section 84168.2(e);
(B) Procedures regarding transfer of a child to and from secure and nonsecure portions of the facility as specified in Section 84122(b)(1)(A);
(C) Due process rights procedures as specified in Section 84172(c);
(D) Discharge procedures as specified in Section 84168.5;
(E) Discipline policies and procedures as specified in Section 84072.1;
(F) Complaint procedures as specified in Section 84172.2; and
(G) Informed consent of prescribed psychotropic medications as specified in Section 84175.1.
(4) Any other information specified in Sections 80070 and 84170 necessary to complete the child's record shall be obtained.
(e) Continuing stay criteria shall be met as specified in Section 1924 of the California Code of Regulations, Title 9, Chapter 11.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 4094.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84168.3. Needs and Services Plan.
Note     •     History

(a) The licensed mental health professional(s) shall complete the needs and services plan and include the information required by Section 84068.2 and Section 1927(e) of the California Code of Regulations, Title 9, Chapter 11.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84168.4. Modifications to Needs and Services Plan.
Note     •     History

(a) Section 84068.3 is not applicable to community treatment facilities.
(b) The needs and services plan specified in Section 84168.3 shall be updated at least every 30 days to determine the following:
(1) The child's need for continuing services.
(2) The types and intensity of services provided to the child including the use of secure containment and the impact of these services upon treatment goals, changes in or continuation of treatment plan objectives. 
(3) The progress of the child toward his or her discharge goals.
(c) The licensee shall ensure that the child and his or her admitting parent, conservator, or person authorized by the court to manage the placement are offered the opportunity to participate in the modification of the child's needs and services plan.
(1) Modifications to the needs and services plan shall not be implemented until written approval is provided by the child's admitting parent, conservator, or person designated by the court to manage the placement.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 5699.3, Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84168.5. Discharge Procedures.
Note     •     History

(a) In addition to Section 84068.4, the following are applicable.
(b) If it is determined that the facility cannot meet the needs of the child, the licensee shall notify the child's parent(s), conservator, or person designated by the court to manage the placement of the determination and shall request that the child be placed elsewhere.
(c) When it is deemed clinically appropriate, a child shall be discharged after completing normal discharge procedures.
(d) When it is not deemed clinically appropriate for a child to be discharged from the facility, a child shall be released as specified in Section 1925(b) of the California Code of Regulations, Title 9, Chapter 11.
(e) The licensed mental health professional staff shall complete and provide to the child's parent, conservator, or person designated by the court to manage the placement a typed discharge summary and discharge report as specified in Sections 1927(i) and (j) of the California Code of Regulations, Title 9, Chapter 11.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84170. Children's Records.
Note     •     History

(a) In addition to Section 84070, the following shall apply.
(b) The following information regarding the child shall be obtained and maintained in the child's record:
(1) Signed copies of the facility's policies and procedures regarding the child's transfer to and from secure and nonsecure portions of the facility, due process rights, and the continued stay criteria as specified in Section 84168.2(d)(3).
(2) A complete mental health record as specified in Section 1927(a) of the California Code of Regulations, Title 9, Chapter 11.
(3) A copy of a child's request for release and any notification documents to the superior court as specified in Section 84172(c).
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84172. Personal Rights.
Note     •     History

(a) Sections 80072 and 84072 are not applicable to community treatment facilities.
(b) The licensee shall ensure that every child admitted to a community treatment facility is informed and afforded the personal rights as specified in Sections 5325, 5325.1, 5325.2, 5326, and 16001.9 of the Welfare and Institutions Code; Section 1530.91 of the Health and Safety Code; Sections 865 and 867 of the California Code of Regulations, Title 9, Chapter 4; and Sections 1934, 1935, 1936, and 1937 of the California Code of Regulations, Title 9, Chapter 11.
(c) Every child has a right to a hearing by writ of habeas corpus. The licensee shall develop, maintain and implement written procedures that shall meet the following requirements:
(1) Any member of the facility staff to whom a request is made shall promptly do the following:
(A) Provide the child making the request with a form for a request for release or mark a copy of the form for the child. The form shall be substantially as follows:
(Name of the Facility) ______________________ day of ____ 19 __
I, _______________________________ (member of the community treatment facility staff) have today received a request for the release of __________________________ (name of patient) from the undersigned patient on his or her own behalf or from the undersigned person on behalf of the patient.

	Signature or mark of patient making request for 
	release

	Signature or mark of patient making request 
	for release on behalf of patient

	Signature of staff person receiving request 
	for release
(B) Deliver the completed request form to the Administrator and note the request in the child's facility record.
(2) Submit the request for release form to the superior court for the county in which the facility is located by the next working day of the request for release.
(3) Inform the person who admitted the child of the request for release within 24 hours of the request for release.
(4) Maintain a copy of the child's request for release as specified in Section 84172(c)(1)(A) along with notification documents to the superior court in the child's record.
(5) The facility's administrator shall ensure that the child is informed as soon as possible of the date, time, and location of the hearing.
(6) The child shall be permitted to communicate with counsel confidentially and to prepare for and attend the judicial hearing demanding his or her release.
(d) The facility's policy concerning family visits and other communications with clients shall be provided as specified in Section 1512 of the Health and Safety Code.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501, 1530.91 and 1531, Health and Safety Code; and Sections 4096(g), 4094.6, 5275 and 16001.9, Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
2. Amendment of subsection (b) and Note filed 8-16-2004; operative 9-15-2004 (Register 2004, No. 34).
§84172.2. Complaint Procedures.
Note     •     History

(a) Section 84072.2 is not applicable to community treatment facilities.
(b) The licensee of a community treatment facility shall develop, maintain, and implement written complaint procedures by which children or their authorized representatives are permitted to file, without fear of retaliation, complaints regarding facility staff or operations with the facility administrator or mental health program director, an advocate, and/or the Department.
(c) The following information shall be posted, in English and Spanish, in all wards and common living areas of the facility.
(1) A list of the personal rights in Sections 5325, 5325.1, and 5325.2 of the Welfare and Institutions Code.
(2) A statement that any child admitted to a community treatment facility has the right to a hearing by writ of habeas corpus pursuant to Section 4094.6 of the Welfare and Institutions Code.
(3) The facility's complaint procedures which shall include the following: 
(A) The name, address and telephone number for filing a complaint with the Department.
(B) The information on filing a complaint with a Patients' Advocate as specified in Section 1933 of California Code of Regulations, Title 9, Chapter 11.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 4094.6, Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84175.1. Medication Control/Monitoring.
Note     •     History

(a) The licensee shall develop, maintain, and implement medication control and monitoring procedures/protocols which meet the requirements specified in the California Code of Regulations, Title 9, Chapter 11, Section 1928.
NOTE

Authority cited: Section 1530 and 1530.9, Health and Safety Code. Reference: Section 1501 and 1531, Health and Safety Code; and Section 4094(d), Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84175.2. Restraint and Seclusion.
Note     •     History

(a) The licensee shall develop, maintain, and implement seclusion and restraint policies and procedures which meet the requirements specified Section 1929 of the California Code of Regulations, Title 9, Chapter 11.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 4094(d), Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Article 7. Physical Environment
§84187. Buildings and Grounds.
Note     •     History

(a) In addition to Section 84087, the following shall apply.
(b) A room used for seclusion as defined in Section 84111(s)(1), shall meet the following requirements:
(1) No room door shall include locking or jamming devices.
(2) A control for the lighting shall be located outside the room.
(3) The room shall be absent of any hazards such as objects which can be broken or used by a child to inflict injury to himself/herself or others.
(c) The licensee shall meet the local building code requirements for any fence enclosures of outside spaces and recreational areas that are associated with the facility.
(d) The licensee shall secure and maintain a fire clearance approval for locking devices and their use on exterior doors, windows, and perimeter fence gates.
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New article 7 (sections 84187-84188) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§84188. Fixtures, Furniture, Equipment, and Supplies.
Note     •     History

(a) In addition to Section 84088, the following shall apply.
(b) No community treatment facility shall have more beds for children's use than required for the maximum license capacity except for the bed(s) made available for seclusion room(s) as specified in Section 84187(b).
NOTE

Authority cited: Sections 1530 and 1530.9, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Subchapter 2. Care for Children Under the Age of Six Years
Article 1. General Requirements and Definitions
§84200. General.
Note     •     History

(a) The provisions in this subchapter shall govern group homes that care for children under the age of six years who are dependents of the court, regional center placements, or voluntary placements and who are not accompanied by the minor parent, unless otherwise specified. In addition, the provisions in Title 22, Chapter 1, General Licensing Requirements, and in Title 22, Chapter 5, Group Homes, shall govern such facilities, unless specified otherwise.
(1) The provisions of this subchapter shall also govern group homes that care for minor parents and their child(ren) who are dependents of the court, nondependents, voluntary, and/or regional center placements, unless otherwise specified.
(b) The provisions of Title 22, Chapter 1, General Licensing Requirements; Title 22, Chapter 5, Group Homes; and this subchapter 2, Care for Children Under the Age of Six Years, shall govern minor parent programs, unless otherwise specified.
(1) Minor parent programs are exempt from the “family group,” “family-like setting,” and “houseparent” requirements as defined in Sections 84201(f)(1), (f)(2), and (h)(1) respectively.
(2) Minor parent programs are exempt from the “primary caregiver” requirements as defined in Sections 84201(p)(2) and (3), but shall comply with the provisions of Section 84065.2(b).
(3) Minor parent programs are exempt from the staff to child ratio requirements of Sections 84265.5 and 84265.7, but shall comply with the provisions of Sections 84065.5 and 84065.7.
(4) Minor parent programs are exempt from the facility manager training requirements of Section 84265(b), but shall comply with the provisions of Section 84065(d)(3).
(5) Minor parent programs are exempt from the training plan requirements of Section 84265(i), but shall comply with the provisions of Section 84065(h).
(c) Those group homes that operate solely as a county-operated or county-contracted emergency shelter care facility and retain children under the age of six years for no more than 30 days, shall be exempt from the licensing standards specified in Sections 84201(f)(2), 84201(h)(1), 84222(a)(1) through (3), 84265(g) and (i), 84268.1(e) and (f), and 84270(a)(7).
(1) These facilities shall also be exempt from Section 84268.2, but must provide for the immediately known needs and services of the child.
(2) When children are awake, the care and supervision must be provided by houseparents, as described at Section 84201(h)(1), or primary caregivers, as described at Section 84201(p)(2).
(3) These facilities may employ child care staff who meet the qualifications specified in Section 80065 to provide the care and supervision of children who are sleeping.
(d) A group home that accepts children with special health care needs is also governed by the provisions of Sections 84001c.(2), g., h.(1), i.(1) and (2), m.(1), p.(1), and s.(3) and (4); 84010.1(a) and (b); 84010.2(a)(1) and (2); 84064.1(a); 84065.1(a) through (c); 84065.6(a); 84066.1(a) through (c); 84069.2(a) through (d); 84070.1(a) and (b); 84072.3(a) and (b); 84078; 84087(b)(6)(A) and (B); and 84087.1(a) and (b).
(e) Group home applicants, who intend to accept children described in Section 84200(a)  above, shall meet the standards of this subchapter and all other regulations specified in (a) above, as of the effective date of the regulations.
(f) Group home licensees, who accept children described in Section 84200(a) above, are exempted from the education requirements for houseparents as specified in Section 84265(d) and (h) and the requirements of Sections 84222(a)(1) and (2) for one year from the effective date of the regulations.
(1) For one year from the effective date of the regulations, in the absence of a houseparent, all duties of the houseparent shall be by individuals qualified to provide the services identified in Section 84265.1(d).
(g) Group home licensees, who accept children described in Section 84200(a) above, must meet the standards of this subchapter and all other regulations specified in (a) above, other than those specified in Section 84200(d) above, within 30 days of the effective date of the regulations.
NOTE

Authority cited: Section 1530, Health and Safety Code; and Section 17730, Welfare and Institutions Code. Reference: Sections 1501, 1502, 1530.8 and 1531, Health and Safety Code; and Sections 11467.1, 17710, 17730, 17731, 17732 and 17736, Welfare and Institutions Code.
HISTORY

1. New subchapter 2, article 1 (sections 84200-84201) and section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsections (a)-(a)(1), new subsections (b)-(b)(5) and subsection relettering filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84201. Definitions.
Note     •     History

(a)-(d) (Reserved)
(e)(1) “Early childhood education” means course work regarding children under the age of six years completed with a passing grade from an approved or accredited school, college or university.
(f)(1) “Family Group” means no more than six children, under the age of six years, and the houseparent(s).
(2) “Family-like setting” means a physical environment that is an individual house, cottage, or similar building with a capacity for no more than six children and two adults.
(3) “Family member” means a child's relative as defined in Section 80001r.(1) or another caring adult who is significant to the child, such as a foster parent, family friend, or court advocate.
(g) (Reserved)
(h)(1) “Houseparent” means the consistent, nurturing adult(s) who resides with the family group, provides daily care for no more than three children, and is involved in the long-range planning for those children during the group home placement.
(i)-(m) (Reserved)
(n)(1) “Needs and Services Plan” means that plan and services defined in Section 84001(n)(1) and includes those items specified in Section 84068.2 and Section 84268.2.
(o) (Reserved)
(p)(1) “Health and safety training” includes pediatric cardiopulmonary resuscitation, pediatric first aid, recognition, management, and prevention of infectious diseases, including immunizations, and prevention of childhood injuries.
(2) “Primary Caregiver” means the facility staff who performs the duties described in Section 84201(p)(3) during normal working hours for no more than three specific children under the age of six for the duration of their stay in a county-operated or county-contracted emergency shelter care facility.
(3) “Primary Caregiver Duties” means the major portion of daily care provided to three specifically assigned children and includes meeting their needs in the areas of physical health and well-being, self-care, motor skills, social skills, emotional development, cognition, language and communication, and other child care worker duties as defined at Section 84065.2(b).
(q)-(t) (Reserved)
(u)(1) “Universal health precautions” means a set of precautions designed to prevent transmission of human immunodeficiency virus (HIV), hepatitis B virus (HBV), and other bloodborne pathogens when providing first aid or health care.
(v)(1) “Voluntary placement” means the type of placement defined in Welfare and Institutions Code Section 11400(n).
(w)-(z) (Reserved)
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1596.866, Health and Safety Code; and Sections 11400(n) and 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (p)(1) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
Article 3. Application Procedures
§84222. Plan of Operation.
Note     •     History

(a) The plan of operation shall include the following:
(1) A description of the family-like setting in which the children will live.
(2) A description of the staffing pattern, including:
(A) The provision of care by houseparents.
(B) The provision for breaks, vacations, and sick days for the houseparents while ensuring that another qualified houseparent cares for the children.
(3) The policies and procedures for family member involvement in the needs and services plan and in the caregiving.
(4) The toilet training policies and procedures.
(5) The plan for indoor and outdoor activities designed to meet the developmental and therapeutic needs of these children.
(A) This plan must include quiet and active play, rest and relaxation, eating, toileting, individual attention from the houseparent or child care worker, and activities that foster the child's cognitive development.
(B) In minor parent programs, the plan must include time for the parent to spend with his or her child in activities appropriate to the child's development and to the parent's development of parenting skills.
(6) The plan for therapeutic interventions by trained professionals to evaluate and address each child's needs and to alleviate the effects of past trauma.
(7) A list and copies of all agreements and contracts with participating private or public service providers.
(8) Description of quality assurance procedures to ensure accountability of the facility's service providers.
(9) The policies and procedures for discipline and guidance.
(10) The policies and procedures to prevent disease and control infection.
(11) The procedures to prepare children for transitions, such as changes in daily schedules or in caregiving.
(12) The plan for providing appropriate parenting education to the minor parents.
(13) The plan for assuring that each minor parent complies with the requirements in Sections 84276, 84277, and 84278.1 when caring for his or her child.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New article 3 (section 84222) and section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (a)(5)(A) and new subsections (a)(5)(B) and (a)(12)-(13) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
Article 6. Continuing Requirements
§84261. Reporting Requirements.
Note     •     History

(a) Before implementing any changes in the plan of operation, the licensee shall obtain written approval from the Department.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530.8, 1531 and 1562, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New article 6 (sections 84261-84279) and section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84265. Personnel Requirements.
Note     •     History

(a) Sections 84065(d)(2), (h), (i), (j), (l), (m), (n), (p), and (q) do not apply.
(b) The facility manager shall have completed one of the following before employment:
(1) Fifteen (15) semester or equivalent quarter units in behavioral science with a passing grade from an accredited or approved college or university. In addition, the facility manager must have four years of experience providing full-time direct care to children in an agency, or a group residential program, serving children.
(A) At least three of the semester units, or equivalent quarter units, shall include coursework in the care of infants.
(B) At least nine semester units, or equivalent quarter units, shall include coursework in abused and drug-exposed children.
(C) At least three semester units, or equivalent quarter units, shall include coursework in administration.
(2) An AA degree from an accredited or approved college or university with a major or emphasis in early childhood education or child development and at least two years of full-time direct care to children in an agency, or a group residential program, serving children.
(A) At least three semester units, or equivalent quarter units, shall include coursework in administration.
(B) At least nine semester units, or equivalent quarter units, shall include coursework in abused and drug-exposed children.
(3) A bachelor's degree from an accredited or approved college or university with a major or emphasis in early childhood education or child development and at least one year providing full-time direct care to children in an agency, or a group residential program, serving children.
(A) At least three semester units, or equivalent quarter units, shall include coursework in administration.
(B) At least nine semester units, or equivalent quarter units, shall include coursework in abused and drug-exposed children.
(4) A Child Development Site Supervisor Permit issued by the California Commission for Teacher Preparation and Licensing pursuant to California Code of Regulations, Title 5, Sections 80105 through 80116.
(A) At least nine semester units, or equivalent quarter units, shall include coursework in abused and drug-exposed children.
(c) Each facility manager shall complete 15 hours of health and safety training.
(1) The training shall include pediatric cardiopulmonary resuscitation, pediatric first aid, recognition, management, and prevention of infectious diseases, including immunizations, and prevention of childhood injuries.
(A) Training shall be completed through on-the-job training, workshops, or classes.
(B) A home study course does not meet the 15-hour requirement.
(C) The pediatric cardiopulmonary resuscitation and pediatric first aid training shall be current as determined by the expiration date on the card.
(D) Training in health and safety (preventative health practices) is a one-time-only requirement.
(2) The following training shall not substitute for the training specified in Section 84265(c)(1):
(A) Sanitary food handling, child nutrition, emergency preparedness and evacuation, caring for children with special needs, and identification and reporting of signs and symptoms of child abuse.
(3) The training requirements shall be met in courses conducted by the American Red Cross, or in courses conducted by the American Heart Association, or any course approved by the Emergency Medical Services Authority (EMSA), or any course offered or approved by an accredited college or university.
(4) The facility manager shall maintain verification of completed health and safety training in the facility files.
(A) Verification of completion of pediatric cardiopulmonary resuscitation and pediatric first aid training shall be a current, unexpired card issued by the American Red Cross, the American Heart Association or a training program approved by the State Emergency Medical Services Authority (EMSA).
(B) Verification of completion of health and safety training shall be a course completion card issued by a training program approved by the EMSA.
(C) Verification of completion of health and safety (preventive health practices) training taken on or before September 20, 1998, shall be a certificate of completion or certified copies of transcripts that identify the number of hours and the specific course or courses.
(D) If health and safety training is taken at an accredited college or university, on or after September 21, 1998, verification shall be a certificate of course completion, course completion cards, or certified copies of transcripts that identify the number of hours and specified course(s) taken.
(5) Facility managers employed before the effective date of these regulations shall complete the training within 90 days of the effective date of this regulation.
(d) The houseparent shall have one of the following education and experience qualifications:
(1) Completion of 12 postsecondary semester units, or equivalent quarter units, with a passing grade, in early childhood education or child development at an accredited or approved college or university and 6 months of work experience in a licensed group home, licensed infant care center, or comparable group child care program.
(A) At least three semester units, or equivalent quarter units, shall include coursework in the care of infants.
(B) At least three semester units, or equivalent quarter units, shall include coursework in abused and drug-exposed children.
(C) The written verification of experience shall include statements that the individual worked satisfactorily for at least 3 hours per day for 50 days in a 6-month period, as a paid or volunteer staff member, and that a person who would qualify as a houseparent under these regulations supervised the experience.
(2) A current and valid Child Development Associate (CDA) credential, with the appropriate age level endorsement issued by the CDA National Credentialing Program, and at least six months of on-the-job training and/or work experience in a licensed child care center or comparable group child care program.
(A) The houseparent shall provide verification of the work experience, as specified in Section 84265(d)(1)(C) above, from the National Credentialing Program, 1718 Connecticut Avenue, Northwest, Suite 500, Washington, D.C. 20009, (1-800-424-4310).
(B) At least three semester units, or equivalent quarter units, shall include coursework in abused and drug-exposed children.
(3) A current and valid Child Development Associate Teacher Permit issued by the California Commission on Teacher Credentialing pursuant to California Code of Regulations, Title 5, Sections 80105 through 80116.
(A) At least three semester units, or equivalent quarter units, shall include coursework in abused and drug-exposed children.
(e) The child care worker in a minor parent program shall meet the education and experience qualifications specified at Section 84265(d), except for the following:
(1) The specific courses and work experience shall include infant care, child development or early childhood education, adolescent development, parenting skills, and other courses appropriate to the care and supervision of the client population of pregnant minors and their children.
(f) Facility managers, houseparents employed before September 24, 1998, and child care workers in a minor parent program employed before the effective date of these regulations for a minor parent program, who do not meet the requirements of Sections 84265(b), (d), and (e) respectively, shall remain qualified, provided they maintain continuous enrollment in an accredited college or university, and complete, with a passing grade, at least three semester units, or equivalent quarter units, each semester or quarter until the appropriate educational requirement is met.
(g) Houseparents, and child care workers in a minor parent program,  shall have a current and valid certificate verifying successful completion of pediatric first aid and pediatric cardiopulmonary resuscitation issued by the American Red Cross, the American Heart Association, a training program approved by the State Emergency Medical Service Authority, or effective September 21, 1998, from an accredited college or university.
(h) The licensee shall employ or contract with a social worker with a master's degree in a behavioral science from an accredited college or university.
(1) The social worker shall carry no more than 12 children's cases. For minor parent programs, the social worker may consider the minor parent and child as one case and shall carry no more than 12 cases.
(i) The licensee shall develop, maintain and implement a written plan for the orientation, continuing education, on-the-job training and development, supervision, and evaluation of all houseparents.
(1) Houseparents shall have a minimum of 24 hours of training and orientation before working with children under 6 years of age.
(A) The training shall include instruction regarding childhood illnesses, symptoms of illnesses, and infection control procedures.
(2) An experienced houseparent shall accompany a new houseparent for a minimum of 20 hours before the new houseparent works alone with children.
(A) The facility manager shall assure that the new houseparent can provide all aspects of appropriate caregiving, before allowing that new houseparent to work alone with children under six years of age.
(3) The written plan shall require houseparent to receive and document a minimum of four clock hours a month of continuing education.
(A) Continuing education shall include completion of courses in the neurological and psychosocial development of children from birth through five; bonding and attachment; language acquisition; basic life support including best methods of toilet training; cultural competency; separation; grieving; discipline and limit setting; the dynamics of trauma and brain damage; compensatory caregiving techniques for children with significant disorders; sexual abuse; interdisciplinary team work; communication enhancement; preventive health practices, and the dynamics of various causes and effects of family function and dysfunction.
(B) Documentation of training shall include the date of training, the location, the title, a brief description of the training, names and signatures of staff attending onsite training, independent third-party verification of offsite training (i.e., official grade slips, transcripts, certificates, signed documentation from an approved or accredited institution or a licensee association), hours of training, name and qualifications of trainer(s), list of materials distributed and used by the trainer, type of training (i.e., in-person, video, onsite, offsite), and the provider-paid costs, such as employee wages and benefits and any travel.
(j) Training for all staff shall address the child's right to have fair and equal access to all available services, placement, care, treatment, and benefits, and to not be subjected to discrimination or harassment on the basis of actual or perceived race, ethnic group identification, ancestry, national origin, color, religion, sex, sexual orientation, gender identity, mental or physical disability, or HIV status.
(k) Children shall be cared for in family groups, as defined in Section 84201(f)(1).
(1) Each child shall remain in the same family group for the duration of the placement, unless the needs and services plan documents reasons that this is not in the best interests of the child.
(2) Siblings shall be in the same family group, unless the needs and services plan documents reasons that this living arrangement is not in the best interest of each child.
(3) Persons unknown to the children shall not perform any caregiving.
(l) Personnel and consultants subject to occupational licensing shall have a current and active license issued by the appropriate State of California licensing board.
(m) Upon employment, staff shall receive copies of the removal and/or discharge procedures specified in Section 84268.4, the discipline policies and procedures specified in Section 84272.1, and the complaint procedures specified in Section 84072.2.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 51, Civil Code. Sections 1530.8, 1531, 1562 and 1596.866, Health and Safety Code; and Sections 11467.1 and 16001.9, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (a) filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order, including further amendment of subsection (a), transmitted to OAL 12-14-99 and filed 1-26-2000 (Register 2000, No. 4).
4. Amendment filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
5. New subsection (j), subsection relettering and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§84265.1. Personnel Duties.
Note     •     History

(a) Section 84065.2(c) does not apply.
(b) The social worker shall complete and record the following for each child:
(1) An intake study, as specified in Section 84268.1.
(2) A needs and services plan, as specified in Sections 84268.2 and 84268.3.
(3) A discharge plan, as specified in Section 84068.4.
(c) Volunteers shall not perform houseparent duties and shall be supervised by the houseparent when around the children.
(d) Houseparents shall perform the following duties, as well as those specified in Section 84065.2(b):
(1) Teach social skills.
(2) Teach motor skills.
(3) Teach self-care skills.
(e) Houseparents shall not perform support staff duties, as specified in Section 84065.2(d), unless such assignments are directly related to the care of the children and do not interfere with the performance of the child care duties.
(f) The administrator, facility manager, and houseparent or child care worker in a minor parent program may be the same person, if the applicable education and experience standard is met for the position being performed.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Repealer of subsections (f)-(f)(7), subsection relettering, amendment of newly designated subsection (f) and amendment of Note filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84265.5. Staff/Child Ratios.
Note     •     History

(a) Section 84065.5 does not apply.
(b) Licensees shall maintain a staffing level of one houseparent for each group of no more than three children.
(c) In the family-like setting, the on-duty houseparent may sleep when the children are asleep.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1530.8, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84265.7. Sleep Supervision.
Note     •     History

(a) Sections 84065.6(a) through (c) do not apply.
(b) Licensees shall maintain a staffing level of one houseparent for each group of no more than three children.
(c) In the family-like setting, the on-duty houseparent may sleep when the children are asleep.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84266. Personnel Records.
Note     •     History

(a) Section 84066(b)(4) does not apply.
(b) Licensees shall maintain documentation for each staff person of the requirements specified in Section 84265.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530.8, 1531 and 1562, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84268.1. Intake Procedures.
Note     •     History

(a) Sections 84068.1(b)(1)(B), 84068.1(b)(4)(B), 84068.1(c)(2), and 84068.1(c)(3) do not apply to group homes that care only for children under the age of six years.
(1) The licensee shall complete an appraisal form within five days of a child's placement.
(b) A group home shall not accept a child under the age of six years who has received psychiatric services, unless the placing agency provides the following information, if known, before the child's admission:
(1) All available psychiatric hospitalization summaries.
(2) All reports from the previous treating psychiatrist with diagnosis and recommendation for further treatment.
(3) The name and telephone number of the previous treating psychiatrist.
(4) All psychological and educational testing.
(5) A list of current psychotropic medications, dosages, and length of time on each medication.
(6) An appointment with the treating psychiatrist before the supply of medication is exhausted.
(c) A group home that cares for children under the age of six years shall not accept older children in the same family-like setting, unless the needs and services plan of a younger sibling recommends the presence of that older sibling.
(1) The needs and services plan of each child in the family group must document the older child's compatibility, and
(2) A licensee shall not accept an older child, if the older child has a history of sexually threatening behavior with other children or has engaged in any conduct that may represent a threat to younger children.
(d) In addition to the information required at Section 84068.1, with the exception of those subsections specified in Section 84268.1(a) above, the intake staff shall obtain information regarding any special treatment needs due to illness, injury, or trauma.
(e) If the social worker determines that the facility cannot provide the necessary services, the discharge procedures specified in Sections 84268.4, 84068.4, and 84070(d)(1) through (3) shall be followed.
(f) Notwithstanding Sections 84068.1(b)(4)(C-D), if a child is accepted for placement, the licensee shall meet the following requirements:
(1) Verify receipt of specified information by the child's authorized representative or designee and the child's parent(s) or family member(s), if involved, by obtaining their signatures and that of the administrator or designee on copies of:
(A) The removal/discharge policies and procedures specified in Sections 84068.4 and 84268.4.
(B) The discipline policies and procedures specified in Sections 84072.1 and 84272.1.
(C) The complaint procedures specified in Section 84072.2.
(2) Obtain the information specified in Sections 84070 and 84270.
(3) Ensure completion of a needs and services plan, as specified in Sections 84068.2 and 84268.2.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530.8 and 1531, Health and Safety Code; and Sections 361.2 and 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (a) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84268.2. Needs and Services Plan.
Note     •     History

(a) The licensee's social worker shall complete the needs and services plan within 30 days of admission.
(1) The plan shall be consistent with the placement agency's case plan.
(b) The plan shall contain information from the following:
(1) Therapeutic and medical staff.
(2) The child's parent(s) or involved family member(s), if appropriate.
(3) The child's authorized representative.
(4) Others with an interest in or with information about the child.
(c) The authorized representative and involved parent(s) or family member(s) shall sign the needs and services plan to verify participation.
(d) The needs and services plan shall contain the following:
(1) Plans for family preservation and reunification, including:
(A) Plans for sibling contact.
(B) Assessment of the parent(s)' capacity to meet the needs of the child.
(C) Needs of involved parent(s) or family members.
(D) Any plans for parental or family member involvement in the care of the child.
(2) The reason for placement, including:
(A) Presenting problems.
(B) Precipitating events.
(C) Family history.
(D) Child's developmental status.
(E) Assessment of the child's mental status.
(F) If available, the child's diagnosis using the terminology and criteria of psychiatric diagnostic manuals generally approved and accepted nationally by practitioners in the field of psychiatric medicine, such as, the Diagnostic and Statistical Manual of Mental Disorders (DSM), published by the American Psychiatric Association.
(3) Types of services needed, including:
(A) Therapeutic interventions to alleviate the effects of past trauma.
(B) The social, emotional, cognitive, and physical developmental needs of the child.
(C) Special bedtime routines to prepare the child for sleeping.
(4) Goals, implementation plans, and the timeline for each goal.
(5) The specific interval for developmental screening by medical staff.
(e) In addition to the requirements of Sections 84268.2(a) through (d) above, an infant's needs and services plan shall include the feeding plan.
(f) In addition to the requirements of Sections 84268.2(a) through (d) above, each child's needs and services plan shall include the toilet training plan, if appropriate.
(g) The licensee or designee shall provide a copy of the needs and services plan and any subsequent updates to all participants in the development and to all persons responsible for implementation of that plan.
(1) A copy of that plan and any updates shall be provided to the above specified individuals within seven days of completion.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84268.3. Modifications to Needs and Services Plan.
Note     •     History

(a) Section 84068.3(a) does not apply to children under the age of six years who are not accompanied by the minor parent and are dependents of the court, regional center placements, or voluntary placements.
(1) Minor parent programs are exempt from the requirements of Section 84268.3, but shall comply with the provisions of Section 84068.3.
(b) All participants of the initial needs and services plan, as specified in Section 84268.2, and the child's houseparent shall review and update that plan as follows:
(1) Weekly for children from birth through three years of age.
(2) Biweekly for children four to five years old.
(c) The updates to the needs and services plan shall contain the following:
(1) The date of the meeting.
(2) A list of participants.
(3) The progress toward achieving each case plan goal.
(4) The barriers to progress and actions planned to reduce or remove those barriers.
(5) The child's need for continuing services.
(6) The modified plan.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (a) and new subsection (a)(1) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84268.4. Removal and/or Discharge Procedures.
Note     •     History

(a) The licensee or designee shall cooperate with the placement agency in developing a discharge plan for the child.
(b) The following items shall accompany the child to the new placement:
(1) Copies of case files, assessments, the discharge plan, the daily activity schedule, and the child's medical history.
(2) The child's prognosis and the facility's recommendations for further treatment, education, and placement.
(A) The discharge plan may include this information.
(3) Personal clothing, toys and objects and the child's scrapbook.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84269.1. Immunizations.
Note     •     History

(a) In addition to Section 84069.1, the licensee shall cooperate with the placing agency in obtaining vaccination against haemophilus influenzae type B.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1507, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84270. Children's Records.
Note     •     History

(a) The licensee or designee shall obtain and maintain the following information in the child's record:
(1) A recent photograph and physical description of the child.
(2) The child's initial and modified needs and services plan.
(3) Any prescribed psychotropic medication, including:
(A) The name, address, telephone number, and contact date with the physician who prescribed the medication.
(B) The dates that the prescribing physician monitors the continuing appropriateness of the psychotropic medication.
(4) An assessment of the child's danger to self and others.
(5) Daily records of emotional state, dietary patterns, and accomplishments.
(6) Social worker notes, e.g., family member contacts, visitations, and legal documentation.
(7) The child's scrapbook, reflecting significant events and accomplishments during the placement.
(8) The name, address, and telephone number of the involved family member(s), if any.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84272. Personal Rights.
Note     •     History

(a) Sections 84072(c)(5), (26), (28), and (30) do not apply to children under six years of age.
(b) When family member involvement is part of the child's needs and services plan, visiting shall be allowed as indicated in the plan. Visiting does not include the time spent by a minor parent as the primary caregiver for his or her child.
(1) Visiting shall be only under the supervision of the social work staff, a houseparent or child care worker, or a facility manager, unless the case plan provides for unsupervised visits.
(c) The licensee shall impose differing visiting rules, depending on the visitor, that person's role in the child's needs and services plan, and the need to protect the child from that person.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection subsections (b)-(b)(1) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
3. Amendment of subsection (a) and Note filed 8-16-2004; operative 9-15-2004 (Register 2004, No. 34).
4. Amendment of subsection (a) filed 1-17-2007; operative 2-16-2007 (Register 2007, No. 3).
§84272.1. Discipline Policies and Procedures.
Note     •     History

(a) Discipline for children under the age of six years shall be education-based, consistent among caregivers, and include the following:
(1) Redirecting the child's attention.
(2) Focusing on the rule to learn and the reason for the rule.
(3) Providing acceptable alternatives.
(4) Providing time away from the precipitating situation.
(5) Arranging the environment to allow safe testing of limits.
(b) Discipline shall not include confinement to cribs, high chairs, playpens or other similar furniture or equipment.
(c) The licensee or designee shall provide a copy of the discipline policies and procedures to involved parents and family members, staff, children, and authorized representatives.
(d) The licensee shall prohibit any form of discipline that violates a child's personal rights as specified in Sections 80072, 84072, and 84272.
(e) The licensee shall assure that the minor parent disciplines his or her child in a manner consistent with the requirements of Sections 84272.1(a), (b), and (d).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (a) and new subsection (e) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84272.2. Complaint Procedures.
Note     •     History

(a) The licensee or designee shall provide a copy of the complaint procedures to the involved parent(s) and family member(s) and the child's authorized representative.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84274. Transportation.
Note     •     History

(a) Individuals who transport children shall be at least 18 years old and have a valid California driver's license.
(b) Vehicles used to transport children shall contain a first aid kit containing at a minimum the supplies specified at Section 80075(i)(1).
(c) The licensee or designee shall secure children in the vehicle in an appropriate restraint device according to the California Vehicle Code and, if applicable, the manufacturers' instructions for the infant car seat(s).
(1) The licensee or designee shall use other restraint or protective devices that are required due to the child's disabilities or physical and medical condition.
(2) The licensee or designee shall secure children in the vehicle so that the child is not in danger of being injured by the vehicle's airbag.
(3) When a minor parent accompanies his or her child in a vehicle, the licensee or designee shall supervise the minor parent in securing his or her child as required by California Vehicle Code Section 27360(a).
(d) The licensee or designee shall maintain the staff-child ratio whether the vehicle is moving or parked.
(e) No child shall be left unattended in a vehicle.
(f) The licensee and his/her staff are prohibited from smoking, or permitting any person from smoking a pipe, cigar or cigarette containing tobacco or any other plant in a motor vehicle when minor children are present. This prohibition applies when the motor vehicle is moving or at rest.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8, 1531 and 118948, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (c) and new subsection (c)(3) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
3. New subsection (f) and amendment of Note filed 2-4-2010; operative 3-6-2010 (Register 2010, No. 6).
§84275. Health-Related Services.
Note     •     History

(a) The licensee shall cooperate with the placing agency or the person making a voluntary placement to ensure that children have a thorough physical examination by a pediatrician within 30 days of admission according to Section 31-206.36 of the Department's Child Welfare Services Manual of Policies and Procedures.
(1) Each child's needs and services plan shall contain a time frame for the medical services determined necessary by this physical examination.
(2) Each child's needs and services plan shall contain specific intervals for developmental screening by medical staff.
(b) The licensee shall cooperate with the placing agency or the person making a voluntary placement to ensure that children who have prescriptions for psychotropic medications at the time of placement receive a reevaluation with the child's physician to determine whether the need for the medication continues.
(1) The child shall receive a reevaluation of the medication within 60 days of the date the prescription was filled.
(c) Child care staff shall monitor the minor parent's administration of medication to self and child according to the needs and services plan, when the minor parent is capable of doing so and when approved by a physician, psychiatrist, or psychologist.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (a) and new subsection (c) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84276. Food Service.
Note     •     History

(a) The facility staff shall prepare menus in consultation with a licensed nutritionist, dietitian, home economist, or physician.
(1) For children under the age of six years, a nutritionist, dietitian, home economist, or physician, as appropriate, shall reevaluate the meals/formulas every three months.
(A) The licensee or designee shall kept a record of the frequency and nature of the initial consultation and the reevaluation.
(2) Meals shall be age-appropriate for food groups, special needs, and portion control.
(3) Meals shall vary weekly for children no longer on an infant bottle as a primary source of nutrition.
(4) Children who are not bottle-fed, as a primary source of nutrition, shall be given at least three nutritious snacks daily.
(5) Staff shall not serve a child food to which the child has an allergy or as indicated in the child's record.
(6) The facility shall not serve honey or corn syrup to any infant.
(b) Houseparents and child care workers supervising children under the age of six years shall wash their hands with antibacterial soap and water before each meal as follows:
(1) Using only soap in a dispenser, either liquid or powder.
(2) Using only disposal paper towels or an air drying machine for hand drying.
(c) The facility shall serve meals in a family-like setting with houseparents eating with the children.
(1) Mealtimes shall be flexible and children shall be allowed to eat frequently and on demand, as indicated in the child's individual feeding plan.
(2) Commercially prepared baby food in jars shall be transferred to a dish before being fed to an infant.
(A) The staff shall discard any food left over in the dish at the end of the meal.
(d) The staff shall use appropriate seating equipment while feeding children under the age of six years.
(1) Children under the age of six years who are unable to sit unassisted shall be held by the houseparent, child care worker or minor parent.
(2) If staff or minor parents use high chairs or feeding tables, the high chairs or feeding tables shall have the following:
(A) A wide base.
(B) A safety strap that the houseparent, child care worker or minor parent shall properly secure around the child or a tray that the houseparent, child care worker or minor parent shall properly latch on both sides.
(3) Houseparents, child care workers and minor parents shall not allow an infant to pull on, climb on, climb into, or stand up in a high chair.
(e) There shall be an individual feeding plan for each infant that includes the following:
(1) Instructions from the child's physician that address:
(A) The feeding schedule.
(B) The kind of milk or formula.
(C) The schedule for introduction of solid and new foods.
(D) Food consistency.
(E) Food likes and dislikes.
(F) Food allergies.
(G) Schedule for introduction of cups and utensils.
(f) Staff or the minor parent  shall feed an infant according to the individual plan.
(1) The houseparent, child care worker or minor parent shall hold the infant while bottle-feeding, unless it is necessary to protect the infant from overstimulation during mealtimes.
(2) If an infant holds the bottle, it shall be unbreakable and the child shall not be allowed to carry a bottle while ambulating.
(3) At no time shall a bottle be propped for an infant.
(g) The facility shall not use the food preparation area for the following:
(1) Children's play activities, unless such activities are part of a supervised food education program.
(2) Napping.
(3) Children's passageway, while food is being prepared or served.
(4) Bathing infants or rinsing diapers or clothing.
(h) Bottles and nipples shall be sterilized using any of the following methods after each use:
(1) Boiled for a minimum of five minutes and air dried.
(2) Soaked for a minimum of one minute in a  sterilizing solution of 1/2 cup bleach and five gallons of water and air dried.
(3) Washed and sterilized using a commercial bottle sterilizer according to the manufacturer's directions or a dishwasher.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84277. Personal Services.
Note     •     History

(a) The staff shall keep children under the age of six years clean and dry at all times.
(1) When the minor parent is the primary caretaker of his or her child, the staff shall supervise the minor parent to ensure that his or her child is clean and dry.
(b) The staff shall wash his/her hands with soap and water before and after each diaper change or toilet training session.
(1) Staff shall use only soap in a dispenser, either liquid or powder.
(2) Staff shall use only disposable paper towels in an appropriate holder or dispenser or an air drying machine, for hand drying.
(c) Staff shall diaper each infant on a changing table, or on a changing pad placed on the floor, which meets the following specifications:
(1) Has a padded surface no less than one inch thick, covered with washable vinyl or plastic.
(2) Is in good repair and safe condition.
(3) Is located outside the kitchen/food preparation area.
(4) Is disinfected after each use, even when disposable covers are used.
(5) If disposal paper towels or similar materials cover infant changing tables or pads, they shall be discarded following each diaper change.
(6) Changing tables shall have raised sides at least three inches high.
(7) Changing tables and pads shall be placed within arms reach of a sink, when in use.
(d) Children shall be toilet trained according to a written toilet training plan.
(1) The written plan shall be developed by the licensee and placing agency in consultation with the child's physician and include:
(A) The method of toilet training.
(B) How to introduce and use appropriate training equipment.
(C) How to introduce and use appropriate clothing.
(D) Specifications regarding whether to use diapers.
(2) If children use potty chairs, staff shall assure the following:
(A) Potty chairs are placed on the floor and used according to the manufacturer's instructions.
(B) Contents are emptied into a flushing toilet promptly after each use.
(C) The surfaces are thoroughly cleaned and disinfected after each use.
(D) Children do not play with potty chairs.
(3) Staff shall instruct and help children in handwashing after use of the toilet.
(e) Sleeping arrangements shall meet the following requirements:
(1) Only one child at a time shall occupy a crib, floor mat, cot, or bed.
(2) Licensees shall provide houseparents with backup staff, if necessary, to help children who have difficulty preparing to sleep.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (a) and new subsection (a)(1) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84278. Responsibility for Providing Care and Supervision.
Note     •     History

(a) A houseparent shall supervise at all times a child under the age of six years who is not accompanied by the minor parent.
(b) The licensee shall not allow visiting by an apparently intoxicated individual or one who disrupts the child care function of the facility.
(c) If a parent or family member picks up and transports a child for a home visit, allowed pursuant to the needs and services plan, the licensee shall maintain a log with the following:
(1) The parent or family member's legal identification type and identifying number.
(2) The vehicle type, license plate number, and the state which issued the license plate.
(d) The licensee shall provide each child a personal, seasonally-appropriate wardrobe.
(e) Staff shall inventory and label each child's clothing and personal belongings.
(f) The licensee may give outgrown clothing to another child, if this does not create feelings of deprivation by either child.
(g) For minor parent programs, the licensee shall not allow the minor parent and his or her infant to sleep in the same bed.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Sections 11465 and 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (a) and new subsection (g) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84278.1. Sanitation Requirements.
Note     •     History

(a) The licensee shall ensure that staff use universal health precautions and preventive health practices including the following:
(1) Wear latex gloves and eye protective gear when dealing with bleeding wounds and/or handling objects contaminated with blood.
(2) Wash hands before and after diapering, after handling objects contaminated with secretions (saliva, blood, nasal discharge) or excreta, and before and after meals.
(3) Assure that the children wash their hands after toileting and before meals.
(4) Thoroughly wash bedding, towels, and washcloths used on or by infants daily or more often, if necessary.
(5) Thoroughly wash toys.
(A) Clean and disinfect daily all frequently touched toys in rooms occupied by diapered children.
(B) Clean and disinfect weekly, and when soiled, toys in rooms occupied by nondiapered children.
(6) Dispose of potentially infectious waste in containers closed and inaccessible to children.
(7) Cover open wounds, cuts or sores with bandages.
(8) Wipe noses with disposable, one-use tissues.
(9) Clean up blood spills promptly with a freshly prepared solution of 1/4 cup household bleach to one gallon of water or equally effective commercial disinfecting solution.
(10) Dispose of all blood and secretion contaminated items in containers that cannot be opened by the children.
(11) Keep all items used by animals beyond the reach of infants.
(b) Maintenance staff shall clean those areas used by infant care staff or to which infants have access as follows:
(1) Vacuum or sweep, and mop with a disinfectant the uncarpeted floors at least daily or more often if soiled.
(2) Vacuum carpeted floors and large unwashable throw rugs at least daily and clean them at least every six months or more often if soiled.
(3) Shake or vacuum small washable rugs at least daily and wash them at least weekly or more often if soiled.
(4) Wash walls and portable partitions with a disinfectant at least weekly or more often if soiled.
(5) Wash and disinfect high chairs, feeding tables, food preparation areas, bathtubs, changing areas, toilets, and potty chairs at least daily.
(6) Wash and disinfect at least daily, or more often if soiled, objects mouthed by infants, such as but not limited to, toys and blankets.
(7) Use washing/disinfecting solutions as follows:
(A) Freshly prepare it each day, using 1/4 cup of bleach per gallon of water, or
(B) Use commercial disinfecting solutions according to label directions.
(c) The bedding of infants shall meet the following standards:
(1) Each infant shall have bedding replaced when wet or soiled.
(2) Staff shall wipe crib mattresses with a detergent/disinfectant daily and when soiled or wet.
(3) Staff shall place soiled bedding in a suitable container, inaccessible to children.
(d) Staff shall handle soiled disposable diapers as follows:
(1) Discard them as recommended on the packaging, or
(2) Place them in an airtight container for daily disposal outside the facility and
(3) Sanitize any soiled diaper containers daily.
(e) Staff shall handle soiled cloth diapers as follows:
(1) Place them in an airtight container.
(2) Rinse, wash, and sanitize them daily.
(3) If the facility uses a diaper service, staff shall place the diapers in the diaper service company's container for pickup, as instructed by the diaper service.
(f) After each diaper change, staff shall wash and disinfect soiled items and surfaces around the diaper changing area, including but not limited to the following:
(1) Walls and floors surrounding the immediate diaper changing area.
(2) Dispensers for talc, lotion, soap and paper towels.
(3) Countertops, sinks, drawers and cabinets.
(4) Sinks used to wash infants or to rinse soiled clothing or diapers.
(g) When the minor parent is the primary caretaker of his or her child, the staff shall supervise the minor parent to ensure he or she complies with the sanitation requirements of Section 84278.1.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsections (c)(2)-(3), new subsection (g) and amendment of Note filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84279. Planned Activities.
Note     •     History

(a) The licensee shall provide a variety of developmental activities designed to meet the physical, cognitive, social, and emotional needs of the children including the following:
(1) Therapeutic interventions by trained professionals.
(2) Parental or family member involvement in the caregiving, if this involvement is in the needs and services plan.
(3) Predictable and consistent daily scheduling that balances the following:
(A) Group and individual activities.
(B) Active and quiet play.
(C) Structured and flexible play.
(D) Rest.
(E) Eating.
(F) Toileting.
(G) Individual attention to the child under the age of six years from the houseparent or child care worker. In the minor parent programs, individual attention from the minor parent to his or her child.
(H) If in the needs and services plan of a child under the age of six years, holding by the houseparent, child care worker, or minor parent.
(4) Opportunity for ever increasing self-care.
(5) Preparation for transitions in daily activities and changes in the daily schedule.
(6) The opportunity to nap/sleep without distraction or disturbance from other activities.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsections (a)(3)(G)-(H) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
Article 7. Physical Environment
§84287. Buildings and Grounds.
Note     •     History

(a) The facility shall comply with all regulations of the county health department and other local governing ordinances concerning building and health and safety codes.
(b) Stairways, incliners, ramps, and open porches shall have hand railings and gates to prevent unsupervised climbing and shall be well lighted.
(c) Surfaces accessible to children shall be free of lead paint.
(d) Houseparents shall have a room to rest with a day bed or couch and space for storage of personal belongings. This requirement does not apply to minor parent programs.
(e) The licensee shall prohibit smoking in the facility or on the grounds.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New article 7 (sections 84287-84288) and section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (d) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84287.2. Outdoor Activity Space.
Note     •     History

(a) If the licensee has an outdoor activity space, it shall be arranged to assure the following:
(1) Safe access by the children.
(2) Separation of children under six years from older children, except for minor parents when they are with their child(ren).
(A) The separation may be by the time scheduled for use of the outdoor activity space by separate age groups.
(3) Inaccessibility to the children of any construction or equipment that causes a hazardous situation, including but not limited to incinerators, air-conditioning equipment, water heaters, or fuse boxes.
(4) The absence of hazards from conflicting activities.
(A) Houseparents shall place playpens so that they are not hazards to other individuals in the outdoor play area.
(b) The licensee shall equip the outdoor activity space with a variety of developmentally appropriate toys and equipment.
(A) The equipment shall be age appropriate and used in accordance with the manufacturers' instructions.
(c) The licensee shall maintain the outdoor activity area in a safe condition for the activities planned.
(1) Staff shall visually inspect equipment, gates, and surfaces before children enter to assure that the area is free of hazards.
(A) Staff shall inspect sand boxes daily and keep them free of hazardous or foreign materials.
(2) The licensee shall cover with impact-absorbing material areas where children may jump or fall from playground equipment.
(d) The licensee shall enclose the outdoor activity area with a fence to provide protection for children and to keep them in the outdoor activity area.
(1) The fence shall be at least four feet in height.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
2. Amendment of subsection (a)(2) filed 11-18-2003; operative 12-18-2003 (Register 2003, No. 47).
§84287.3. Indoor Activity Space.
Note     •     History

(a) The licensee shall equip the indoor activity space with a variety of equipment, materials, and toys that meet the following requirements:
(1) Are appropriate to the developmental needs of the children.
(2) Are maintained in good condition.
(3) Are sufficient in quantity to allow children to fully participate in planned activities and have opportunities for flexible play.
(4) Are stored safely in the facility.
(b) The floors of all rooms shall have a surface that is safe and clean.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
§84288. Fixtures, Furniture, Equipment, and Supplies.
Note     •     History

(a) The licensee shall provide safe fixtures, furniture, equipment, supplies, and toys.
(1) They shall be free from toxic materials or substances.
(2) They shall be in good condition, free of sharp, loose, or pointed parts.
(3) Baby walkers are prohibited in accordance with Health and Safety Code Sections 1596.846.
(b) The licensee shall provide furniture which is age appropriate in type, height, and size as follows:
(1) Tables and chairs.
(2) High chairs, low wheeled feeding tables, or other furniture used for feeding an infant which meets the following requirements:
(A) Has broad base legs.
(B) Has seats and backrests made of washable, moisture resistant material.
(C) Has a safety strap and/or tray to secure a seated infant.
(3) Changing tables or changing pads.
(4) For each infant who is unable to climb from a crib, a standard crib that meets the following requirements:
(A) Spaces between the crib slats are no more than 2 3/8 inches.
(B) Crib mattresses and any bumper pads are covered with moisture resistant material.
(C) Bumper pads, if any, are around the entire inner portion of the crib and tied or snapped into place in at least six places.
(D) The crib, mattress, and any bumper pads, are in a safe condition with no exposed foam, batting, or coils.
(E) Is equipped with a sheet to cover the mattress and a blanket and/or sheet to cover the child, depending on the temperature.
(F) When an infant is in the crib, the mattress is at its lowest position and the side rail is in its highest position.
(G) Is arranged so that staff can see the child.
(H) Allows a child to stand upright.
(I) Are not stacked or tiered with other cribs.
(5) An age-appropriate bed shall be provided for each child who can climb from a crib.
(c) The licensee shall provide equipment as follows:
(1) Equipment purchased already assembled shall not be modified.
(2) Toy containers shall meet the following requirements:
(A) Boxes or chests shall not have lids or the hardware used to hinge lids.
(B) All edges and corners shall be rounded and padded.
(C) The container shall be well ventilated.
(D) The container shall not be lockable.
(E) The container shall be in good repair and safe condition.
(F) Metal toy boxes shall not have rough or sharp edges and wooden toy boxes shall not have splinters and other rough areas.
(d) The licensee shall provide the following fixtures and/or supplies:
(1) Readily available drinking water from a noncontaminating fixture.
(A) Children shall be free to drink water as they wish.
(B) The facility may use bottled water or portable containers if (1) the water and containers are free of contamination, and (2) bottled water containers are secured to prevent tipping and breaking.
(C) All water for drinking shall be potable as defined in California Administrative Code, Title 24, Part 5.
(2) Pacifiers that have a shield or guard large enough so that infants cannot choke on them.
(e) The licensee shall provide toys that meet the following requirements:
(1) Are appropriate to the developmental needs of the children.
(2) Are sufficient in quantity to avoid excessive competition and long waits by the children.
(3) Are free from sharp points, edges, or splinters.
(4) Are made of parts too large to be swallowed.
(A) Any rattles are large enough so that they cannot become lodged in an infant's throat and constructed so that they will not separate into small pieces.
(5) Are sufficient in variety to enhance the following:
(A) Intellectual and creative development.
(B) Social development.
(C) Auditory development.
(D) Visual development.
(E) Gross and fine motor development.
(6) Are clean and safe for the children.
(f) The licensee shall arrange furniture and equipment as follows:
(1) So that no exit is blocked.
(A) Placement of cribs, mats or cots, and beds shall not hinder entrance to or exit from the sleeping area.
(2) So that toilets, potty chairs, and handwashing sinks for children are near indoor and outdoor activity spaces.
(3) So there is a walkway and workspace between the sleeping furniture (cribs, mats or cots, and beds).
(A) Staff must be able to reach each child without having to step or reach over any other child.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530.8, 1530 and 1596.846, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-24-98; operative 9-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 39).
Subchapter 3. Emergency Intervention in Group Homes
Article 1. General Requirements
§84300. General Provisions.
Note     •     History

(a) Group homes, as defined in Section 80001g.(1) and 84001g.(1), which utilize or it is reasonably foreseeable that they will utilize, emergency interventions to prevent a child who exhibits assaultive behavior from injuring or endangering himself, herself or others, shall be governed by the provisions of this Article in addition to Chapter 1, General Licensing Requirements and Chapter 5, Group Homes, which prohibit the use of restraint.
(b) Group home staff may be justified/excused in using emergency interventions which include restraint if:
(1) The restraint is reasonably applied to prevent a child exhibiting assaultive behavior from exposure to immediate injury or danger to himself, herself or others; and
(2) The force used does not exceed that reasonably necessary to avert the injury or danger; and
(3) The danger of the force applied does not exceed the danger being averted; and
(4) The duration of the restraint ceases as soon as the danger of harm has been averted.
(c) The licensee must use a continuum of interventions, starting with the least restrictive intervention. More restrictive interventions may be justified when less restrictive techniques have been attempted and were not effective and the child continues to present an imminent danger for injuring or endangering himself, herself or others. 
(d) An emergency intervention plan as specified in Section 84322, is required for all group homes, and must be submitted to, and approved by the Department prior to use by the group home. 
(1) The Department shall review and approve the emergency intervention plan as specified in Sections 84322(l) and 84322(l)(1).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1522.41(c)(1)(I), 1531 and 1563(c)(4), Health and Safety Code.
HISTORY

1. New subchapter 3 (articles 1-6, sections 84300-84369), renumbering of former subchapter 2, article 8 to subchapter 3, article 1 (sections 84300-84300.1) and renumbering and amendment of former section 84800 to section 84300 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. New subchapter 3 (articles 1-6, sections 84300-84369), renumbering of former subchapter 2, article 8 to subchapter 3, article 1 (sections 84300-84300.1) and renumbering and amendment of former section 84800 to section 84300 repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
3. Change without regulatory effect adopting new subchapter 3 (articles 1-6, sections 84300-84369), renumbering of former subchapter 2, article 8 to subchapter 3, article 1 (sections 84300-84300.1) and renumbering and amendment of former section 84800 to section 84300 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84300.1. Emergency Intervention Prohibition.
Note     •     History

(a) The following emergency interventions techniques must not be used on a child at any time.
(1) Mechanical Restraints, except postural supports as specified in Section 80072(a)(8).
(2) Aversive behavior modification interventions including, but not limited to, body shaking, water spray, slapping, pinching, ammonia vapors, sensory deprivation and electric shock.
(3) Intentionally producing pain to limit the child's movement, including but not limited to, arm twisting, finger bending, joint extensions and headlocks.
(4) Methods of restricting a child's breathing or circulation.
(5) Corporal Punishment.
(6) Placing blankets, pillows, clothing or other items over the child's head or face; body wraps with sheets or blankets.
(A) Pillows or padding, placed under the head of a thrashing child to prevent injury are permitted.
(7) The use of psychotherapeutic or behavior modifying drugs as punishment or for the convenience of facility personnel to control a child who is exhibiting assaultive behavior.
(8) Techniques that can reasonably be expected to cause serious injuries to the child that require medical treatment provided by a health practitioner, licensed under Division 2 of the Business and Professions Code. A health practitioner would include a physician, surgeon, osteopath, dentist, licensed nurse, optometrist, etc.
(9) Verbal abuse or physical threats by facility personnel.
(10) The isolation of a child in a room which is locked by means of: key lock; deadbolt; security chain; flush, edge or surface bolt; or similar hardware which is inoperable by the child inside the room.
(11) Manual restraints for more than 15 consecutive minutes in a 24-hour period, unless as specified in Section 84322. 
(12) Manual restraints for more than four (4) cumulative hours in a 24-hour period.
(b) In addition to techniques specified in Section 84300.1, any emergency intervention technique not approved for use as part of the licensee's emergency intervention plan must not be used at any time.
(c) Manual restraints must never be used for the following purposes:
(1) Punishment or discipline.
(2) Replacement for on-duty child care staff.
(3) Convenience of facility personnel.
(4) As a substitute for, or as part of a treatment program.
(5) As a substitute for, or as part of a behavior modification program.
(6) Harassment or humiliation.
(7) To prevent a child from leaving the facility, except as specified in Section 84322.2.
(d) Manual restraints must not be used when a child's medical assessment, as specified in Section 80069, documents that he or she has a medical condition that would contraindicate the use of manual restraints; and when the child's current condition contraindicates the use of manual restraints.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502 and 1531, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 84801 to section 84300.1 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
3. Change without regulatory effect renumbering and amending former section 84801 to section 84300.1 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
Article 3. Application Procedures
§84322. Emergency Intervention Plan.
Note     •     History

(a) The emergency intervention plan is to be designed and approved, in conjunction with the licensee, by an individual with the qualifications of a behavior management consultant as defined in Section 84001(b)(1).
(1) The plan must be appropriate for the client population served by the group home;
(2) The plan must be appropriate for the staff qualifications and staff emergency intervention training.
(b) The emergency intervention plan is to be included in the group home program statement.
(c) In addition to Sections 80022 and 84022, the written emergency intervention plan must be submitted to, and approved by the Department prior to implementation. The plan must include the requirements specified in Sections 84322(d) through (h) of Section 84322.
(d) General Provisions:
(1) Name(s) of facility personnel trained to use emergency interventions.
(2) A description of the continuum of emergency interventions, commencing with early interventions, specifying the emergency intervention techniques to be utilized. For each type of emergency intervention, the plan must include the following:
(A) A description of each emergency intervention technique to be used.
(B) Maximum time limits for each emergency intervention technique, not to exceed maximum time limits as specified in Section 84322(f) and 84300(b)(4).
(C) In what situations each emergency intervention technique is not to be used.
(D) Expected outcome, benefits to the child.
(3) A statement specifying what emergency interventions will never be used.
(4) A description of the circumstances and the types of behaviors that may require the use of emergency intervention.
(5) Procedures for using age and size appropriate emergency intervention techniques.
(6) Procedures for using emergency interventions if more than one child requires the use of emergency intervention at the same time.
(7) Procedures for ensuring care and supervision is maintained in the facility when all available facility personnel are required for the use of emergency interventions.
(8) Procedures for re-integrating the child back into the facility routine after an emergency intervention technique has been used.
(9) Criteria for assessing when an emergency intervention plan needs to be modified or terminated.
(10) Criteria for assessing when the facility does not have adequate resources to meet the needs of a specific child.
(e) The manual restraint plan is to be included as a component of the emergency intervention plan. If the facility will not use manual restraints, the plan must include the following:
(1) Procedures for responding to a crisis situation to prevent a child who is exhibiting assaultive behavior from injuring or endangering himself, herself or others.
(A) The external community resources to be used to assist facility personnel must be identified and listed in the plan.
(f) The manual restraint plan is to be included as a component of the emergency intervention plan. If the facility will use, or it is reasonably foreseeable that the facility will use, manual restraints, the plan must include the following:
(1) Procedures for ensuring a child's safety when a manual restraint is being used including, but not limited to, the titles of facility personnel responsible for checking the child's breathing and circulation.
(A) Procedures for determining when a medical examination is needed during a manual restraint, as specified in Section 84369.
(2) Procedures for ensuring that: (a) the amount of time a child is restrained is limited to the amount of time when the child is presenting an immediate danger to himself/herself or others; (b) restraints will not cause injury to the child. Such procedures must include provisions that ensure the following:
(A) A child does not remain in a manual restraint for more than 15 consecutive minutes, unless written approval to continue the restraint after the initial 15 minutes is obtained from the administrator or administrator's designee.
1. The individual who approves the continuation of restraint must be a person other than the individual who restrained the child.
2. The individual who visually checks the child after 15 minutes to ensure the child is not injured and that the child's personal needs, such as access to toilet facilities, are being met, must be a person other than the individual restraining the child.
3. After the initial 15 minutes, the individual who approves the continuation of the manual restraint observes the child's behavior while the child is being restrained to determine whether continued use of the manual restraint is justified.
4. Written approval to continue a manual restraint beyond 15 consecutive minutes must be documented in the child's record.
(B) A child does not remain in a manual restraint for more than 30 consecutive minutes in a 24- hour period unless the child is still presenting a danger to himself, herself or others and written approval to continue the restraint after the initial 30 minutes is obtained from the administrator or administrator's designee and the facility social work staff. If facility social work staff are not onsite to provide written approval, the facility may obtain verbal approval. Written approval must be obtained within 24 hours of the verbal approval.
1. The individual who approves the continuation of the restraint must be a person other than the individual who restrained the child.
2. The child is visually checked after the initial 30 minutes, by persons other than the individuals who restrained the child, to ensure the child is not injured and that the child's personal needs, such as access to toilet facilities, are being met.
3. After the initial 30 minutes, the individuals who approve the continuation of the restraint observe the child's behavior while the child is being restrained to determine whether continued use of the manual restraint is justified.
4. Written approval to continue the use of the manual restraint must be documented in the child's record.
(C) After the initial 30 minutes, a child placed in a manual restraint must be visually checked every 15 minutes until the manual restraint is terminated, to ensure the child is not injured, that personal needs are being met, and that the continued use of the manual restraint is justified.
1. This visual check must be documented in the child's record.
2. The person conducting the check must not be the individual who restrained the child.
(D) After the initial 30 minutes, and at 30 minute intervals, if the child is still presenting a danger to himself, herself or others, the administrator or administrator's designee and facility social work staff must evaluate whether the facility has adequate resources to meet the child's needs.
(E) Manual restraints used in excess of 60 consecutive minutes must be approved, every 30 minutes, in writing by the administrator or administrator's designee, facility social work staff and the child's authorized representative. If the child's authorized representative is not available to provide written approval, the facility may obtain verbal approval. Written approval must be obtained within 24 hours of the verbal approval. The continued use of a manual restraint shall be documented in the child's record.
(F) Within 48 hours of a manual restraint of 60 cumulative minutes or longer, in a 24-hour period, the child's needs and services plan must be reviewed by the facility administrator or administrator's designee, facility social work staff and the child's authorized representative, and modified as needed.
(G) Manual restraints must not exceed four (4) cumulative hours in a 24-hour period.
1. If a child continues to present an immediate danger of injuring or endangering himself, herself or others, the facility must inform the child's authorized representative; and contact community emergency services to determine whether or not the child should be removed from the facility.
(H) If a manual restraint exceeds two (2) hours, at regular intervals not exceeding two (2) hours, the child must be allowed to access liquids, meals and toileting and range of motion exercises.
(I) Staff must make provisions for responding promptly and appropriately to a child's request for services and assistance and repositioning the child when appropriate.
(3) Procedures for documenting each use of manual restraints in the child's record.
(4) Procedures for reviewing each use of manual restraints with the child and authorized representative or parent.
(5) Procedures for accessing community emergency services, including, but not limited to, the police/sheriff departments if the use of emergency interventions is not effective or appropriate.
(6) Procedures for requiring a licensed professional, as defined in Section 80001(l)(2), to approve the initiation and continued use of manual restraints, if the licensee chooses to require this authorization.
(g) The Emergency Intervention Staff Training Plan is to be included as a component of the emergency intervention plan. The plan must include the following:
(1) The type, title, and a brief description of the training that all facility personnel have completed.
(2) Training requirements for new personnel.
(3) The ongoing training required for existing personnel.
(4) Training curriculum as specified in Section 84365(b).
(5) Training schedule which identifies when staff training will be offered and provided.
(6) The name(s) and qualification(s) of the instructor(s) who will provide the training.
(h) Procedures for an internal biannual review of the use of emergency interventions must be developed. Such procedures must include at least the following:
(1) A review is to be conducted by the administrator or the administrator's designee.
(2) Analysis of patterns/trends of use of emergency interventions in the previous six (6) month period, based on:
(A) Review of all records related to the use of emergency interventions for accurancy and completeness.
(B) Review of the use, effectiveness and duration of each emergency intervention including, a determination of the effectiveness and appropriateness of the intervention techique used in each situation.
(C) Review of the frequency of emergency interventions in the previous six (6) month period.
(3) Corrective action plan, if needed.
(4) The biannual review and corrective action plan must be submitted to the Department no later than the fifth (5th) day of the month following the review.
(5) The licensee shall provide a copy of the biannual review and corrective action plan, if applicable, to the authorized representative upon request.
(i) In addition to the requirements in Section 80068, the admission agreement must include a written statement regarding the type(s) of emergency interventions the licensee has been approved to use.
(1) The facility's policy regarding the use of emergency intervention must be reviewed with the child and the authorized representative at the time of admission.
(A) The licensee shall provide a copy of the approved emergency intervention plan to the authorized representative, upon request.
(j) Only trained facility personnel as specified in Section 84365 will be allowed to use emergency interventions on children.
(k) Prior to using the emergency intervention plan, the licensee's Board of Directors must approve the plan, and any subsequent amendments. The approval must be documented in the minutes of the Board of Directors meeting. Each board member must receive a copy of the plan prior to its use and any modifications to it.
(l) The Department must review the emergency intervention plan, including any amendments, and notify the licensee within 30 days of the receipt of the plan, whether the plan has been approved or denied or if additional information is needed.
(1) If the plan is disapproved, the licensee may appeal the decision using the procedures specified in Section 80040(d).
(m) If the Department determines that the licensee has not complied with the emergency intervention plan requirements as specified in Subdivisions (a) through (k) of Section 84322, the licensee must discontinue the use of emergency interventions immediately upon written notice of deficiency by the Department.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New article 3 (sections 84322-84322.2) and renumbering of former section 84802 to section 84322 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
3. Change without regulatory effect renumbering and amending former section 84802 to section 84322 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84322.1. Protective Separation Room.
Note     •     History

(a) In addition to Section 84322, any licensee with an approved emergency intervention plan which includes the use of a protective separation room, must comply with the following requirements:
(1) No protective separation room may be used for another purpose, e.g. bedroom, bathroom, storage.
(2) No protective separation room may be used without a fire clearance from the local fire authority.
(A) The request for the fire clearance must be made through and maintained by the Department.
(3) No protective separation room may be used without prior inspection and approval by the Department.
(4) Protective separation rooms must be safe and free of hazards such as objects or fixtures which can be broken or used by a child to inflict injury to himself, herself or others.
(5) Procedures regarding the use of the protective separation room must be included in the manual restraint plan component of the emergency intervention plan. These procedures must include the following to ensure a child's safety when placed in a protective separation room:
(A) Facility personnel must maintain direct visual contact with the child at all times, and be free from other responsibilities, to ensure the child's safety while in the room.
1. Facility personnel must remain in the room, when necessary, to prevent injury to the child.
(B) Facility personnel must ensure that there are no objects in the child's possession that could be used to inflict injury to himself/herself or others while in the protective separation room.
(C) No more than one child shall be placed in the protective separation room at any one time.
(D) Physical abuse, corporal punishment, threats or prohibited restraints may not be used as a method for placing a child in the protective separation room.
(6) In addition to Section 84322(i), facility social work personnel and the child's authorized representative must indicate, in writing, in the child's needs and services plan if the child may be placed in the protective separation room.
(7) A child placed in a protective separation room may not be deprived of eating, sleeping, toileting or other basic daily living functions.
(8) Exiting from a protective separation room may not be prevented by the use of locking or jamming devices.
(A) The door may be held shut in a manner that allows for immediate release upon removal of a staff member's foot, hand, and/or body.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 84802.1 to section 84322.1 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
3. Change without regulatory effect renumbering and amending former section 84802.1 to section 84322.1 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84322.2. Runaway Plan.
Note     •     History

(a) The licensee must develop and maintain a written runaway plan that describes how the facility will respond to the following:
(1) Runaway child(ren).
(2) Child(ren) outside of the facility property without permission, but within view of the facility personnel.
(b) The runaway plan must be appropriate for the age, size, emotional, behavioral and developmental level of the child(ren).
(c) The runaway plan must include the following:
(1) Time frames for determining when a child is absent without permission.
(2) Continuum of interventions.
(3) Actions taken by facility personnel to locate the child.
(4) Staff training plan, to include non-physical interventions, strategies to de-escalate a situation.
(5) Plan to include involvement of law enforcement, when appropriate.
(6) Plan to notify the child's authorized representative.
(d) The runaway plan must be included in the group home program statement.
(e) The runaway plan described in Section 84322.2(a), must be provided to, and discussed with each child and their authorized representative at the time of admission.
(1) If during the discussion, it is determined that the child has a history of running away from placement, then the following must occur:
(A) The facility social work personnel and the child's authorized representative must develop an individualized plan for that particular child.
(B) The individualized plan must be included in the child's needs and services plan.
(f) Manual restraints must only be used if the facility has an approved manual restraint plan, in accordance with Section 84322.
(g) The licensee is prohibited from preventing a child from leaving the facility by locking the child in a room or any part of the facility.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 84808 to section 84322.2 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
3. Change without regulatory effect renumbering and amending former section 84808 to section 84322.2 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
Article 6. Continuing Requirements
§84361. Documentation and Reporting Requirements.
Note     •     History

(a) Each use of manual restraints must be reported to the Department and the child's authorized representative by telephone no later than the next working day following the incident. A written incident report must be submitted to the Department within seven (7) days, as required in Section 80061.
(1) If a child is restrained more than once in a 24-hour period, each use of manual restraints must be reported.
(b) Any report of the use of manual restraints must be reviewed, for accuracy and completeness, and signed by the administrator or administrator's designee no later than the next working day following the incident.
(c) A copy of the written incident report must be maintained in the child's record.
(d) The information required in Section 84361(a) must be documented immediately following the use of manual restraints or no later than the end of the working shift of the staff member(s) who participated in the manual restraint.
(e) The child's record must be available for review by the Department, as required in Section 80070.
(f) The licensee must maintain a monthly log of each use of manual restraints. The log must include:
(1) Name of each child.
(2) Date and time of the intervention.
(3) Duration of the intervention.
(4) Name(s) of facility staff member(s) who participated in the manual restraint.
(5) Description of the intervention and type used.
(6) Result of licensee review.
(g) The monthly log must be available for review, and subject to reproduction by the Department upon request during normal business hours.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New article 6 (sections 84361-84369) and renumbering and amendment of former section 84805 to section 84361 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 84361-84369) and renumbering and amendment of former section 84805 to section 84361 repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
3. Change without regulatory effect adopting new article 6 (sections 84361-84369) and renumbering and amending former section 84805 to section 84361 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84365. Emergency Intervention Staff Training.
Note     •     History

(a) No facility personnel must use emergency intervention techniques on a child unless the training instructor has certified in writing that the facility personnel have successfully completed the emergency intervention training required in Section 84365(b). 
(1) All new and existing facility personnel who use or participate in emergency interventions, as well as the facility administrator and the administrator's designee must complete the training.
(b) The emergency intervention training curriculum must address the following areas:
(1) Techniques of group and individual behavior management, including, but not limited to, crisis prevention, precipitating factors leading to assaultive behavior and crisis intervention.
(2) Methods of de-escalating volatile situations, including non-physical intervention techniques such as crisis communication, evasive techniques, alternative behavior.
(3) Alternative methods of handling aggressive and assaultive behavior.
(4) If the licensee chooses to use manual restraints, the physical techniques of applying manual restraints in a safe and effective manner ranging from the least to most restrictive type(s) of restraints including, but not limited to, escorting, wall restraint, and prone containment.
(5) Techniques for returning the child to the planned activity following completion of the emergency intervention.
(6) The training must include a written and hands-on competency test as part of the training program.
(c) The training must be provided by an individual who holds a valid instructor certificate from a program of managing assaultive behavior, that is consistent with the regulations.
(d) The licensee must maintain a written record of the facility staff training.
(1) Documentation of training received must be maintained in the personnel record for each staff member and must include:
(A) Dates, hours, and description of the training completed.
(B) Name and training certificate of the instructor who provided the training.
(C) Certification from the instructor that the staff member has successfully completed the competency test.
(2) The staff training record must be made available for review by the Department upon request.
(e) Facility personnel must receive on-going training to maintain certification.
(f) When an inappropriate manual restraint technique is used during an emergency intervention, the licensee must develop a corrective action plan, and as part of the plan may require facility personnel to repeat the appropriate emergency intervention training.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1531 and 1562, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 84803 to section 84365 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
3. Change without regulatory effect renumbering and amending former section 84803 to section 84365 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84365.5. Staffing Requirements.
Note     •     History

(a) The administrator or administrator's designee must oversee the emergency intervention program.
(b) All facility personnel who will use emergency interventions, must be trained in the appropriate emergency intervention techniques approved to be used by the licensee.
(c) A minimum of two (2) trained facility personnel must be available and responsible for using each manual restraint if the restraint technique requires the use of two people.
(d) Additional facility personnel must be available to supervise the other children in placement when the trained facility personnel are required to use manual restraints as specified in Section 84322(d)(7).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1531 and 1562, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 84804 to section 84365.5 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
3. Change without regulatory effect renumbering and amending former section 84804 to section 84365.5 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84368.3. Review of Manual Restraint Use.
Note     •     History

(a) The administrator or administrator's designee must discuss the use of the manual restraints with the facility personnel involved no later than the next working day following the incident.
(b) The administrator or administrator's designee must determine whether the emergency intervention action taken by the staff member(s) was consistent with the emergency intervention plan, and document the findings in the child's record and facility monthly log as specified in Section 84361. The manual restraint review must evaluate the following:
(1) Did the staff member(s) attempt to de-escalate the situation. What interventions were utilized. Did the staff member(s) attempt at least two non-physical interventions.
(A) If the use of any de-escalation technique causes an escalation of the child's behavior, the use of the technique must be evaluated for its effectiveness. De-escalation techniques which are ineffective or counter-productive must not be used.
(2) Were manual restraints utilized only after less restrictive techniques were utilized and proven to be unsuccessful.
(3) Was the child restrained for the minimum amount of time, limited to when the child is presenting an immediate danger to himself/herself or others.
(c) The administrator or administrator's designee, the child's authorized representative or parent and facility social work staff must assess whether it is necessary to amend the child's needs and services plan. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 84806 to section 84368.3 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
3. Change without regulatory effect renumbering and amending former section 84806 to section 84368.3 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84369. Medical Examination.
Note     •     History

(a) The administrator or the social work staff shall be responsible for obtaining a physical examination during or after an incidence of emergency intervention when it is determined that:
(1) There is physical injury to a child, or
(2) There is a suspected injury to a child.
(b) The administrator or the social work supervisor must see and talk with the child before a determination can be made.
(c) If no physical examination is necessary, this decision must be documented in the child's record.
(d) Any post emergency intervention injury or suspected injury observed by facility personnel, or any complaint of injury reported to facility personnel must be reported immediately to the administrator or social work staff.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 84807 to section 84369 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
3. Change without regulatory effect renumbering former section 84807 to section 843689 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
Subchapter 4. Transitional Shelter Care Facilities
Article 1. General Requirements
§84400. General.
Note     •     History

NOTE

Authority cited: Sections 1501, 1502(a)(11) and 1530, Health and Safety Code. Reference: Sections 1502(a)(11) and 1502.3, Health and Safety Code. 
HISTORY

1. New subchapter 4 (articles 1-3, sections 84400-84478), article 1 (sections 84400-84401) and section filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. New subchapter 4 (articles 1-3, sections 84400-84478), article 1 (sections 84400-84401) and section repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
§84401. Definitions.
Note     •     History

NOTE

Authority cited: Sections 1502(a)(11) and 1502.3, Health and Safety Code. Reference: Sections 1501, 1502, 13108, 13143, 13143.6 and 13211, Health and Safety Code; and Sections 11403 and 16501, Welfare and Institutions Code.  
HISTORY

1. New section filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
Article 2. License
§84410. Limitations on Capacity and Ambulatory Status.
Note     •     History

NOTE

Authority cited: Sections 1502(a)(11), 1502.3(g) and 1530 Health and Safety Code. Reference: Sections 1501, 1523, 1524, 1528 and 1531, Health and Safety Code; and Sections 10554 and 11465, Welfare and Institutions Code.   
HISTORY

1. New article 2 (section 84410) and section filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (section 84410) and section repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
Article 3. Application Procedures
§84422. Plan of Operation.
Note     •     History

NOTE

Authority cited: Section 1502(a)(11), Health and Safety Code. Reference: Sections 1502(a)(11) and 1502.3, Health and Safety Code.  
HISTORY

1. New article 3 (sections 84422-84478) and section filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 84422-84478) and section repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
§84461. Reporting Requirements.
Note     •     History

NOTE

Authority cited: Section 1502(a)(11), Health and Safety Code. Reference: Section 1502.3, Health and Safety Code.
HISTORY

1. New section filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
§84465. Personnel Requirements.
Note     •     History

NOTE

Authority cited: Section 1502(a)(11), Health and Safety Code. Reference: Sections 1502(a)(11) and 1502.3, Health and Safety Code.  
HISTORY

1. New section filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
§84468.1. Intake Procedures.
Note     •     History

NOTE

Authority cited: Section 1502(a)(11), Health and Safety Code. Reference: Sections 1502(a)(11) and 1502.3, Health and Safety Code.
HISTORY

1. New section filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
§84468.2. Needs And Services Plan.
Note     •     History

NOTE

Authority cited: Section 1502(a)(11), Health and Safety Code. Reference: Sections 1502(a)(11) and 1502.3, Health and Safety Code.
HISTORY

1. New section filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
§84468.4. Removal and/or Discharge Procedures.
Note     •     History

NOTE

Authority cited: Sections 1502(a)(11) and 1502.3(f), Health and Safety Code. Reference: Sections 1502(a)(11) and 1502.3, Health and Safety Code.
HISTORY

1. New section filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
§84478. Responsibility for Providing Care and Supervision.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1511, 1528, 1531 and 1556, Health and Safety Code. 
HISTORY

1. New section filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2003, No. 4).
§84800. General Provisions.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502 and 1531, Health and Safety Code.
HISTORY

1. New article 8 (sections 84800-84808) and section filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Renumbering of former subchapter 2, article 8 to subchapter 3, article 1 and renumbering of former section 84800 to section 84300 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-17-2002 emergency renumbering by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
4. Change without regulatory effect renumbering former subchapter 2, article 8 to subchapter 3, article 1 and renumbering former section 84800 to section 84300 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84801. Emergency Intervention Prohibition.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502 and 1531, Health and Safety Code.
HISTORY

1. New section filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Renumbering of former section 84801 to section 84300.1 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-17-2002 emergency renumbering by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
4. Change without regulatory effect renumbering former section 84801 to section 84300.1 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84802. Emergency Intervention Plan.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Renumbering of former section 84802 to section 84322 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-17-2002 emergency renumbering by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
4. Change without regulatory effect renumbering former section 84802 to section 84322 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84802.1. Protective Separation Room.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Renumbering of former section 84802.1 to section 84322.1 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-17-2002 emergency renumbering by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
4. Change without regulatory effect renumbering former section 84802.1 to section 84322.1 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84803. Emergency Intervention Staff Training.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Renumbering of former section 84803 to section 84365 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-17-2002 emergency renumbering by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
4. Change without regulatory effect renumbering former section 84803 to section 84365 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84804. Staffing Requirements.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Renumbering of former section 84804 to section 84365.5 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-17-2002 emergency renumbering by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
4. Change without regulatory effect renumbering former section 84804 to section 84365.5 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84805. Documentation and Reporting Requirements.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Renumbering of former section 84805 to section 84361 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-17-2002 emergency renumbering by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
4. Change without regulatory effect renumbering former section 84805 to section 84361 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84806. Review of Manual Restraint Use.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Renumbering of former section 84806 to section 84368.3 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-17-2002 emergency renumbering by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
4. Change without regulatory effect renumbering former section 84806 to section 84368.3 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84807. Medical Examination.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. New section filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Renumbering of former section 84807 to section 84369 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-17-2002 emergency renumbering by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
4. Change without regulatory effect renumbering former section 84807 to section 84369 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
§84808. Runaway Plan.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New section filed 10-13-98; operative 11-12-98 (Register 98, No. 42).
2. Renumbering and amendment of former section 84808 to section 84322.2 filed 1-17-2002 as an emergency; operative 2-1-2002 (Register 2002, No. 3). A Certificate of Compliance must be transmitted to OAL by 6-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Reinstatement of section as it existed prior to 1-17-2002 emergency renumbering by operation of Government Code section 11346.1(f) (Register 2003, No. 4).
4. Change without regulatory effect renumbering former section 84808 to section 84322.2 filed 1-24-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 4).
Chapter 6. Adult Residential Facilities
Article 1. General Requirements and Definitions
§85000. General.
Note     •     History

(a) Adult residential facilities, as defined in section 80001.a.(5) shall be governed by the provisions specified in this chapter and in chapter 1. General Requirements.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1530 and 1531, Health and Safety Code.
HISTORY

1. * Repealer of chapter 6 (articles 1-7, sections 85001-85175, not consecutive) and new chapter 6 (articles 1-7, sections 85000-85088, not consecutive) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42). For prior history, see Registers 81, Nos. 31 and 6; 80, Nos. 39, 23 and 5; and 79, Nos. 41 and 17.
. * The reorganization of chapter 6 is printed as a repealer and adoption for clarity.
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
§85001. Definitions.
Note     •     History

In addition to Section 80001, the following shall apply.
(a)(1) “Adult protective services agency” means a county welfare department, as defined in Welfare and Institutions Code Section 15610.13.
(2) “Advance Health Care Directive” means a written instruction that relates to the provision of health care when the individual is incapacitated. An Advance Health Care Directive includes, but is not limited to, a Power of Attorney for Health Care; an Individual Health Care Instruction; a Request to Forego Resuscitative Measures; or a Do-Not-Resuscitate form. In this written instruction, a person states choices for medical treatment and/or designates who should make treatment choices if the person creating the advance directive should lose decision-making capacity. 
(3) “Allowable Health Condition” means any health condition that the licensee is allowed to care for either in accordance with a specific regulation or with an exception approved by the licensing agency. 
(4) “Appropriately Skilled Professional” means an individual that has training and is licensed to perform the necessary medical procedures prescribed by a physician. This term includes, but is not limited to, the following: Registered Nurse (RN); Licensed Vocational Nurse (LVN); Physical Therapist (PT); Occupational Therapist (OT); and Respiratory Therapist (RT). These professionals may include, but are not limited to, those persons employed by a home health agency, the resident, or adult residential facilities. 
(b) (Reserved)
(c)(1) “Certificate holder” means a person who has a current administrator's certificate issued by the Department regardless of whether the person is employed as an administrator in an adult residential facility. 
(2) “Certified administrator” means a person who has been issued an Administrator Certification by the Department and whose certification is current.
(3) “Classroom Hour” means sixty (60) minutes of classroom instruction with or without a break. It is recommended that no more than twenty (20) minutes of break time be included every four (4) hours of instruction. No credit is given for meal breaks. 
(4) “Co-locate” means that a vendor applicant is approved for more than one program type, i.e., ARF, RCFE, GH, and has received approval to teach specific continuing education courses at the same time and at the same location. Co-location is allowed for Continuing Education Training Program vendors only. 
(5) “Complete Request” means the vendor applicant has submitted and the Department has received all required information and materials necessary to approve or deny the request for certification program and/or course approval. 
(6) “Continuing Education Training Program Vendor” means a vendor approved by the Department to provide Continuing Education training courses to adult residential facility administrators and certificate holders to qualify them for renewal of their adult residential facility administrator certificate. 
(7) “Course” means either, (1) a quarter-or-semester-long structured sequence of classroom instruction covering a specific subject, or (2) a one-time seminar, workshop or lecture of varying duration.
(d)(1) “Do-Not-Resuscitate (DNR) Form” means the pre-hospital do-not-resuscitate forms developed by the California Emergency Medical Services Authority and by other local emergency medical services agencies. These forms, when properly completed by a client or, in certain instances, a client's Health Care Surrogate Decision Maker, and by a physician, alert pre-hospital emergency medical services personnel to the client's wish to forego resuscitative measures in the event of the client's cardiac or respiratory arrest. 
(e) (Reserved)
(f)(1) “Facility Hospice Care Waiver” means a waiver from the limitation on retention of clients who require more care and supervision than ordinarily would be permitted in an Adult Residential Facility, and clients who are bedridden other than for a temporary illness. This waiver granted by the Department will permit the licensee to retain a designated maximum number of terminally ill clients who are receiving services from a Hospice Agency. The waiver will apply only to those clients who are receiving hospice care in compliance with a Hospice Care Plan meeting the requirements of Section 85075.1.
(g) (Reserved)
(h)(1) “Health Care Provider” means that person or persons described in Probate Code Section 4621.
(2) “Health Care Surrogate Decision Maker” means an individual who participates in health care decision-making on behalf of an incapacitated client. This individual may be formally appointed (e.g., by the client in an Advance Health Care Directive or by a court in a conservatorship proceeding) or be recognized by virtue of a relationship with the client (e.g., the client's next of kin). The licensee or any staff member of the facility shall not be appointed by any client to be a Health Care Surrogate Decision Maker. 
(3) “Hospice or Hospice Agency” means an entity that provides hospice services to terminally ill persons. This entity is Medicare certified and holds either a Hospice license or a Home Health Agency license from the California Department of Health Services. The definition includes any organization(s), appropriately skilled professional(s), or other professional person(s) or entity(ies) that are subcontracted by the hospice to provide services to the client. The hospice agency providing services in an Adult Residential Facility shall not subcontract with the licensee or any facility staff for the provision of services. 
(4) “Hospice Care Plan” means the hospice's written plan of care for a terminally ill client. The hospice shall retain overall responsibility for the development and maintenance of the plan and quality of hospice services delivered. 
(i)(1) “Initial Certification Training Program Vendor” means a vendor approved by the Department to provide the initial thirty-five (35) hour certification training program to persons who do not possess a valid adult residential facility administrator certification. 
(2) “Initial Vendor Application” means the application form, LIC 9141, used to request approval from the Department to become a vendor for the first time. 
(j) (Reserved)
(k) (Reserved)
(l)(1) “Licensed Mental Health Professional” means a licensed clinical psychologist; a psychiatrist; a licensed clinical social worker; or a licensed marriage, family and child counselor.
(m) (Reserved)
(n)(1) “Needs and Services Plan” means a written plan that identifies the specific needs of an individual client, including those items specified in Sections 80068.2 and 85068.2, and delineates those services necessary to meet the client's identified needs.
(o) (Reserved)
(p) (Reserved)
(q) (Reserved)
(r)(1) “Renewal Vendor Application” means the application form, LIC 9141, used to request approval from the Department to continue another two (2) years as an approved vendor.
(s) (Reserved)
(t)(1) “Terminally Ill Client” means a client who has a prognosis by his/her attending physician that the client's life expectancy is six months or less if his/her illness or condition runs its normal course.
(u) (Reserved)
(v)(1) “Vendor” means a Department-approved institution, association, individual(s), or other entity that assumes full responsibility or control over a Department-approved Initial Certification Training Program and/or a Continuing Education Training Program. 
(2) “Vendor Applicant” means any institution, association, individual(s) or other entity that submits a request for approval of an Initial Certification Training Program and/or a Continuing Education Training Program.
(w) (Reserved)
(x) (Reserved)
(y) (Reserved)
(z) (Reserved)
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1501, 1502.2, 1507, 1530, 1531 and 1562.3, Health and Safety Code; Section 15610.13, Welfare and Institutions Code and Sections 1800, 4605 and 4753, Probate Code.
HISTORY

1. Amendment of section and Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. New subsection (c)(1) filed 12-29-95 as an emergency; operative 1-1-96. Certificate of Compliance as to 12-29-95 order filed 6-10-96; operative 6-10-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 and filed 4-23-97 (Register 97, No. 17).
3. Editorial correction restoring inadvertently omitted text (Register 97, No. 21).
4. Amendment of section and Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
8. Amendment of section and Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-23-98 order, including new subsection (l)(1),  amendment of subsection (n)(1) and amendment of Note, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
10. New subsections (c)(1) and (c)(3)-(7), subsection renumbering, new subsections (i)(1)-(2), (r)(1) and (v)(1)-(2) and amendment of Note filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
11. New subsection (a)(1) and amendment of Note filed 10-25-2001 as an emergency; operative 10-25-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-22-2002 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 10-25-2001 order transmitted to OAL 2-22-2002 and filed 4-8-2002 (Register 2002, No. 15).
13. New subsections (a)(2)-(4), (d)(1), (f)(1), (h)(1)-(4) and (t)(1) and amendment of Note filed 12-17-2003; operative 1-16-2004 (Register 2003, No. 51).
§85002. Definitions--Forms.
Note     •     History

The following forms, which are incorporated by reference, apply to the regulations in Title 22, Division 6, Chapter 6 (Adult Residential Facilities). 
(a) LIC 9139 (2/01) -- Renewal of Continuing Education Course Approval, Administrator Certification Program. 
(b) LIC 9140 (6/01) -- Request for Course Approval, Administrator Certification Program. 
(c) LIC 9141 (5/01) -- Vendor Application/Renewal, Administrator Certification Program. 
(d) LIC 9142a (2/01) -- Roster of Participants -- For Vendor Use Only -- 35/40 Hour Initial Or CEU Courses, Administrator Certification Program. 
NOTE

Authority Cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1562.3, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. New section filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
2. Change without regulatory effect amending section filed 11-8-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
Article 2. Licensing
§85009. Posting of License.
Note

(a) In facilities with a licensed capacity of seven or more, the license shall be posted in a prominent, publicly accessible location in the facility.
(b) In facilities with a licensed capacity of six or fewer the license shall be retained in the facility and be available for review upon request.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
Article 3. Application Procedures
§85018. Application for License.
Note     •     History

(a) In addition to Section 80018, the following shall apply.
(b) Each applicant shall submit a financial plan of operation on forms provided or approved by the department.
(1) Start-up funds shall be available which shall include funds for the first three months of operation.
(c) The licensing agency shall have the authority to require written verification of the availability of the funds required in (b)(1) above.
(d) Each applicant shall submit the name and residence and mailing addresses of the facility administrator, a description of the administrator's background and qualifications, and documentation verifying the required education and administrator certification.
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1501, 1528, 1531, 1562.3 and 1562.4, Health and Safety Code.
HISTORY

1. New subsections (d) and (e) and amendment of Note filed 12-29-95 as an emergency; operative 1-1-96. Certificate of Compliance as to 12-29-95 order filed 6-10-96; operative 6-10-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 and filed 4-23-97 (Register 97, No. 17).
2. Repealer of subsection (d), subsection relettering, amendment of newly designated subsection (d) and amendment of Note filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85022. Plan of Operation.
Note

(a) In addition to Section 80022, the following shall apply.
(b) The plan of operation shall contain written evidence of arrangements for any consultants and community resources which are to be utilized to meet regulatory requirements or requirements of the facility's plan of operation.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1528 and 1531, Health and Safety Code.
Article 4. Administrative Actions (Reserved)
Article 5. Enforcement Provisions
§85051. Serious Deficiencies.
Note

(See Manual of Policies and Procedures)
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1534, Health and Safety Code.
Article 6. Continuing Requirements
§85060. Basic Services.
Note     •     History

(a) For SSI/SSP recipients who are residents, the basic services shall be provided and/or made available at the basic rate with no additional charge to the resident.
(1) This shall not preclude the acceptance by the facility of voluntary contributions from relatives or others on behalf of an SSI/SSP recipient.
(2) An extra charge to the resident shall be allowed for a private room if a double room is made available but the resident prefers a private room, provided the arrangement is documented in the admissions agreement and the charge is limited to 10% of the Board and Room portion of the SSI/SSP grant.
(3) An extra charge to the resident shall be allowed for provision of special food services or products beyond that specified in Section 80076(a)(2) and (a)(4) when the resident wishes to purchase the services and agrees to the extra charge in the admissions agreement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 12350, Welfare and Institutions Code.
HISTORY

1. New section filed 3-20-96; operative 4-19-96 (Register 96, No. 12).
§85061. Reporting Requirements.
Note     •     History

(a) In addition to Section 80061, the following shall apply.
(b) The licensee shall notify the Department, in writing, within thirty (30) days of a change of administrator. The notification shall include the following:
(1) Name, and residence and mailing addresses of the new administrator.
(2) Date he/she assumed his/her position.
(3) Description of his/her background and qualifications, including documentation of required education and administrator certification.
(A) A photocopy of the documentation shall be permitted.
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1501, 1531, 1562.3 and 1562.4, Health and Safety Code.
HISTORY

1. New subsections (b) and (b)(3) and amendment of Note filed 12-29-95 as an emergency; operative 1-1-96. Certificate of Compliance as to 12-29-95 order filed 6-10-96; operative 6-10-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 and filed 4-23-97 (Register 97, No. 17).
2. Amendment of subsections (b) and (b)(3) and amendment of Note filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85064. Administrator Qualifications and Duties.
Note     •     History

(a) In addition to Section 80064, the following shall apply.
(b) All adult residential facilities shall have a certified administrator.
(c) The administrator shall be at least 21 years of age.
(d) Have a high school diploma or pass a general educational development test (GED).
(1) Administrators employed prior to July 1, 1996 are exempt from this requirement.
(e) The administrator shall be on the premises the number of hours necessary to manage and administer the facility in compliance with applicable law and regulation.
(f) When the administrator is absent from the facility there shall be coverage by a designated substitute, who meets the qualifications of Section 80065, who shall be capable, of, and responsible and accountable for, management and administration of the facility in compliance with applicable law and regulation.
(g) The administrator of a facility for seven to 15 clients shall have one year of work experience in residential care.
(h) The administrator of a facility for 16 to 49 clients shall have graduated from high school, or possess a GED, and shall have one of the following prior to employment:
(1) Completion, with a passing grade, of 15 college or continuing education semester or equivalent quarter units, three of which shall be in nutrition, human behavior, administration, or staff relations.
(2) One year of work experience in residential care.
(i) The administrator of a facility for 50 or more clients shall have graduated from high school, or possess a GED, and shall have one of the following prior to employment.
(1) Completion, with a passing grade, of 60 college or continuing education semester or equivalent quarter units, six of which shall be in administration or staff relations.
(2) Three years work experience in residential care, one year of which shall have been providing direct care to clients or assisting in facility administration.
(j) The administrator shall perform the following duties:
(1) Where applicable, advise the licensee on the operation of the facility and advise the licensee on developments in the field of care and supervision.
(2) Development of an administrative plan and procedures to define lines of responsibility, workloads, and staff supervision.
(3) Recruitment, employment and training of qualified staff, and termination of staff.
(4) Provision of, or insurance of the provision of, services to the clients, required by applicable law and regulation, including those services identified in the client's individual needs and services plans.
(A) The licensing agency shall have authority to approve the use of a centralized service facility to provide any required services to two or more licensed facilities. Prior approval shall be obtained in writing.
(5) Arrangement for special provisions for the care and supervision and safety and guidance of clients with disabilities including visual or auditory deficiencies.
(6) Arrangement for the clients to attend available community programs, when clients have needs, identified in the needs and services plan, which cannot be met by the facility but can be met by community programs.
(A) Such arrangements shall include, but not be limited to, arranging for transportation.
(k) Within six months of becoming an administrator, the individual shall receive training on HIV and TB required by Health and Safety Code Section 1562.5. Thereafter, the administrator shall receive updated training every two years. 
(l) Administrators employed prior to July 1, 1996 shall be exempt from the requirements of Sections 85064(d), (h), and (i) above, provided that they have no break in employment as an adult residential facility administrator exceeding three (3) consecutive years.
(m) In those cases where the individual is both the licensee and the administrator of an adult residential facility, the individual shall comply with all of the licensee and certified administrator requirements. 
(n) The Department may revoke the license of an adult residential facility for failure to comply with all requirements regarding certified administrators. 
(o) Unless otherwise provided, a certified administrator may administer more than one licensed adult residential facility. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1501, 1531, 1562, 1562.3, 1562.4 and 1562.5, Health and Safety Code.
HISTORY

1. Repealer of former subsection (e), new subsections (c)-(e), subsection relettering and amendment of Note filed 12-29-95 as an emergency; operative 1-1-96. Certificate of Compliance as to 12-29-95 order filed 6-10-96; operative 6-10-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 and filed 4-23-97 (Register 97, No. 17).
2. Amendment of section and Note filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85064.2. Administrator Certification Requirements.
Note     •     History

(a) An individual shall be a certificate holder prior to being employed as an Administrator. 
(b) To receive his/her certificate an applicant shall: 
(1) Successfully complete a Department approved Initial Certification Training Program. 
(2) Pass a written test administered by the Department within sixty (60) days of completion of an Initial Certification Training Program. 
(3) Submit an application form to the Department's certification section within thirty (30) days of being notified of having passed the test. The application shall contain the following: 
(A) Proof that the applicant has successfully completed a Department approved Initial Certification Training Program. 
(B) A statement certifying that the applicant is at least twenty-one (21) years of age. 
(C) Fingerprint cards, or evidence that the applicant has submitted fingerprints to the Department of Justice at a livescan facility, or a statement that the applicant has a current criminal record clearance on file with the Department. 
(D) A one hundred dollar ($100) processing fee. 
(c) The Department shall not issue a certificate until it receives notification from the Department of Justice that the applicant has a criminal record clearance pursuant to Health and Safety Code Section 1522 or is able to transfer a current criminal record clearance pursuant to Health and Safety Code Section 1522(h)(1). 
(d) It shall be unlawful for any person not certified under this Section to misrepresent himself or herself as a certified administrator. Any person willfully making any false representation as being a certified adult residential facility administrator is guilty of a misdemeanor. 
(e) Certificates issued under this Section shall be renewed every two (2) years provided the certificate holder has complied with all renewal requirements. 
(f) Certificates shall be valid for a period of two (2) years and expire on either the anniversary date of initial issuance or on the individual's birthday during the second calendar year following certification. 
(1) The certificate holder shall make an irrevocable election to have his or her recertification date for any subsequent recertification either on the date two years from the date of issuance of the certificate or on the individual's birthday during the second calendar year following certification. 
(g) Time deadlines specified in Section 85064.2(b)(2) and (3) above may be extended for good cause as determined by the Department. Any request for extension of time shall be in writing and shall contain a statement of all facts the applicant believes constitute good cause to extend time. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1501, 1531, 1562, 1562.3 and 1562.4, Health and Safety Code.
HISTORY

1. New section filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85064.3. Administrator Recertification Requirements.
Note     •     History

(a) Administrators shall complete at least forty (40) classroom hours of continuing education during the two-year certification period. Continuing education hours must relate to the Core of Knowledge and be completed through any combination of the following: 
(1) Courses provided by vendors approved by the Department, or 
(2) Accredited educational institutions offering courses that are consistent with the requirements of this Section, or
(3) Courses offered by vendors approved by other California State agencies provided that: 
(A) The approval and enforcement procedures of that State agency are comparable to the approval and enforcement procedures of the Department, and 
(B) The course relates to the Core of Knowledge as specified in Section 85090(h)(1)(A) through (I).
(4) Certified administrators required to complete continuing education hours required by regulations of the Department of Developmental Services, and approved by the Regional Center, may have up to twenty-four (24) of the required continuing education course hours credited toward the forty (40) hour continuing education requirement. 
(A) Community college course hours approved by the Regional Center shall be accepted by the Department for recertification. 
(B) Any continuing education course hours in excess of twenty-four (24) hours offered by the Department of Developmental Services and approved by the Regional Center may be credited toward the forty (40) hour requirement provided the courses are not duplicative and relate to the core of knowledge as specified in Sections 85090(h)(1)(A) through (I). 
(5) Continuing education hours must enhance the core of knowledge. Continuing education credit will not be provided for any Initial Certification Training Program course. 
(b) Courses approved for continuing education credit shall require the physical presence of the certificate holder in a classroom setting except that: 
(1) The Department may approve courses where technology permits the simultaneous and interactive participation of the certificate holder, provided such participation is verifiable. 
(c) To apply for recertification prior to the expiration date of the certificate, the certificate holder shall submit: 
(1) A written request to recertify post-marked on or before the certificate expiration date. 
(2) Evidence of completion of forty (40) continuing education hours as specified in Section 85064.3(a) above. 
(3) Payment of a one hundred dollar ($100) processing fee. 
(d) To apply for recertification after the expiration date of the certificate, but within four (4) years of the certificate expiration date, the certificate holder shall submit: 
(1) A written request to recertify. 
(2) Evidence of completion of the required continuing education hours as specified in Section 85064.3 (a) above. The total number of hours required for recertification shall be determined by computing the number of continuing education hours the certificate holder would have been required to complete if he/she had remained certified. The date of computation shall be the date the written request for recertification is received by the Department. 
(3) Payment of a delinquency fee equal to three times the renewal fee, or three hundred dollars ($300). 
(e) Certificates not renewed within four (4) years of their expiration date shall not be renewed, restored, reissued or reinstated. 
(1) Holders of certificates not renewed within four (4) years of their expiration date shall complete an Initial Certification Training Program as specified in Section 85064.2(b). 
(f) Certificate holders, as a condition of recertification, shall have a current criminal record clearance. 
(g) A processing fee of twenty-five dollars ($25) shall be paid for the replacement of a lost certificate. 
(h) A certificate holder shall report any change of mailing address within thirty (30) days to the Department's administrator certification section. 
(i) Whenever a certified administrator assumes or relinquishes responsibility for administering an adult residential facility, he or she shall provide written notice within thirty (30) days to: 
(1) The licensing District Office(s) responsible for receiving information regarding personnel changes at the licensed facilities with whom the certificate holder is or was associated, and 
(2) The Department's administrator certification section. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Section 1562.3, Health and Safety Code.
HISTORY

1. New section filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85064.4. Denial or Revocation of a Certificate.
Note     •     History

(a) The Department may deny or revoke any administrator certificate upon any of the grounds specified in Health and Safety Code Section 1550 and/or for any of the following: 
(1) The certificate holder procured a certificate by fraud or misrepresentation. 
(2) The certificate holder knowingly made or gave a false statement or information in conjunction with the application for a certificate. 
(3) The Department has issued an exclusion order against the certificate holder pursuant to Health and Safety Code Sections 1558, 1568.092, 1569.58 or 1596.8897 after the Department issued the certificate, and: 
(A) The certificate holder did not appeal the exclusion order, or 
(B) After the appeal, the Department issued a decision and order that upheld the exclusion order. 
(4) The certificate holder does not have a current criminal record clearance. 
(5) The certificate holder fails to comply with certificate renewal requirements. 
(A) The Department may reinstate a certificate that has been revoked for failure to comply with certification renewal requirements provided all conditions for recertification have been satisfied, including payment of all appropriate renewal and delinquency fees. 
(b) Any denial or revocation of an administrator certificate may be appealed as provided by Health and Safety Code Section 1551. 
(c) Unless otherwise ordered by the Department, any application for an administrator certificate submitted after a denial or revocation action shall be processed in accordance with the provisions of Health and Safety Code 1520.3. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1520.3, 1550, 1551, 1562.3 and 1562.4, Health and Safety Code.
HISTORY

1. New section filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85064.5. Forfeiture of a Certificate.
Note     •     History

(a) Unless otherwise ordered by the Department, the certificate shall be considered forfeited under any of the following conditions: 
(1) The Department has revoked any license held by the certificate holder after the Department issued the certificate. 
(2) The Department has issued an exclusion order against the certificate holder pursuant to Health and Safety Code Sections 1558, 1568.092, 1569.58, or 1596.8897, after the Department issued the certificate, and: 
(A) The certificate holder did not appeal the exclusion order or, 
(B) After the appeal, the Department issued a decision and order that upheld the exclusion order. 
(b) Unless otherwise ordered by the Department, any application for an administrator certificate submitted after a certificate has been forfeited shall be processed in accordance with the provisions of Health and Safety Code Sections 1520.3, 1558(h) and/or 1558.1.
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1520.3, 1558, 1558.1 and 1562.3, Health and Safety Code.
HISTORY

1. New section filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85065. Personnel Requirements.
Note

(a) In addition to Section 80065, the following shall apply.
(b) The licensee shall employ staff as necessary to ensure provision of care and supervision to meet client needs.
(c) The licensee shall employ support staff as necessary to perform office work, cooking, house cleaning, laundering, and maintenance of buildings, equipment and grounds.
(d) The licensee shall ensure that the following personnel requirements are met in the provision of planned activities:
(1) In facilities with a licensed capacity of 16 to 49 clients, one employee shall be designated by the administrator to have primary responsibility for the organization, conduct and evaluation of planned activities.
(A) The designated employee shall possess at least six months of experience in organizing and providing planned group activities.
(2) In facilities with a licensed capacity of 50 or more clients, one employee shall have full-time responsibility for the organization, conduct and evaluation of planned activities, and shall be given assistance as necessary in order to ensure that all clients participate in accordance with their interests and abilities.
(A) The designated employee shall possess at least one year of experience in organizing and providing planned group activities, and shall be knowledgeable in the evaluation of client needs, the supervision of other employees, and the training of volunteers.
(3) Participation of volunteers in planned activities shall be encouraged.
(A) Such volunteers shall be under the direction and supervision of the employee designated as responsible for the activity program.
(e) The licensee shall ensure that the following personnel requirements are met in the provision of food service:
(1) Employment, training and scheduling of food service personnel shall ensure that client's food service needs are met by the facility.
(2) In facilities with a licensed capacity of 16 or more clients an employee shall be designated to have primary responsibility for food planning, preparation and service.
(A) The designated employee shall receive on-the-job training or shall have related experience as evidenced by safe and effective job performance.
(3) In facilities with a licensed capacity of 50 or more clients, and which provide three meals per day, an employee shall be designated to have full-time responsibility for the operation of the food service program and shall possess either:
(A) One year of experience in food preparation and service accommodating 50 or more persons.
(B) Two years of experience in food preparation and service accommodating 16 to 49 persons.
(4) If the employee designated in a facility for 50 or more clients is not a nutritionist, dietitian, or a home economist, provision shall be made for regular consultation from a person so qualified.
(A) Such consultation shall be during at least one meal preparation and service, on the day of the consultation, and shall include review and approval of the facility's food planning, preparation and service procedures.
(B) A written record of the frequency, nature and duration of the consultant's visits shall be secured from the consultant and maintained in the facility.
(C) The licensing agency shall have authority to require more frequent consultation than the licensee is having, when the licensing agency determines and documents the need for such additional consultation.
(f) The licensee shall ensure that all direct services to clients requiring specialized skills are performed by personnel who are licensed or certified to perform the service.
(1) Where no license or certification is available for a particular skill, prior approval of the licensing agency shall be obtained for the provision of the service by an unlicensed or uncertified person.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1531 and 1562, Health and Safety Code.
§85065.5. Day Staff-Client Ratio.
Note     •     History

(a) Whenever a client who relies upon others to perform all activities of daily living is present, the following minimum staffing requirements shall be met:
(1) For Regional Center clients, staffing shall be maintained as specified by the Regional Center but no less than one direct care staff to three such clients.
(2) For all other clients, there shall be a staff-client ratio of no less than one direct care staff to three such clients.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§85065.6. Night Supervision.
Note     •     History

(a) Night supervisory staff shall meet the personnel requirements specified in Section 80065, and the requirements below.
(b) Employees providing night supervision from 10:00 p.m. to 7:00 a.m., as specified in (c) through (f) below, shall be available to assist in the care and supervision of clients in the event of an emergency, and shall have received training in the following:
(1) The facility's planned emergency procedures.
(2) First aid, as specified in Section 80075.
(c) In facilities providing care and supervision for 15 or fewer clients, there shall be at least one person on call on the premises.
(d) In facilities providing care and supervision for 16 to 100 clients, there shall be at least one person on duty, on the premises and awake. Another person shall be on call and capable of responding within 30 minutes.
(e) In facilities providing care and supervision for 101 to 200 clients, at least one person shall be on call, on the premises; another qualified person shall be on duty, on the premises and awake; and another person shall be on call and capable of responding within 30 minutes.
(f) In facilities providing care to seven or more clients who rely upon others to perform all activities of daily living, there shall be at least one person on duty, on the premises and awake.
(1) For every additional 14 such clients, there shall be one additional person on duty, on the premises and awake.
(g) In facilities providing care to Regional Center clients who rely upon others to perform all activities of daily living, night supervision shall be maintained as required by the Regional Center, but no less than the staff-client ratio specified in Sections 85065.6(f) and (f)(1).
(h) For every additional 100 clients, or fraction thereof, for whom care and supervision is being provided, there shall be one additional person on duty, on the premises and awake.
(i) In facilities required to have a signal system, as specified in Section 85088, at least one staff person shall be responsible for responding to the signal system.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. New subections (f)-(g), subsection relettering and amendment of Note filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§85066. Personnel Records.
Note     •     History

(a) In addition to Section 80066, the following shall apply.
(b) A dated employee time schedule shall be developed at least monthly, shall be displayed conveniently for employee reference and shall contain the following information for each employee:
(1) Name.
(2) Job title.
(3) Hours of work.
(4) Days off.
(c) The licensee shall maintain documentation that the administrator has met the certification requirements specified in Section 85064.2. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1501, 1562.3 and 1562.4, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
2. New subsection (c) and amendment of Note filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85068. Admission Agreements.
Note     •     History

(a) In addition to Section 80068, the following shall apply.
(b) The admission agreement must specify the following:
(1) Payment provisions, including the client's funding source.
(A) Such disclosure shall be at the client's discretion.
(2) General facility policies which are intended to ensure that no client, in the exercise of his/her personal rights, infringes upon the personal rights of any other client.
(3) The current arrangement with the client regarding the provision of food service.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. Repealer of subsection (b)(3), subsection renumbering, and amendment of Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. Repealer of subsection (b)(3), subsection renumbering, and amendment of Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. Repealer of subsection (b)(3), subsection renumbering, and amendment of  Note refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 5).
5. Repealer of subsection (b)(3), subsection renumbering, and amendment of Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
7. Repealer of subsection (b)(3), subsection renumbering, and amendment of Note  refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-23-98 order, including amendment of subsection (b), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§85068.1. Admission Procedures.
Note     •     History

(a) The licensee shall develop, maintain, and implement admission procedures which shall meet the requirements specified in this section.
(b) No client may be admitted prior to a determination of the facility's ability to meet the needs of the client, which must include an appraisal of his/her individual service needs as specified in Sections 80068.2 and 85068.2.
(c) Prior to accepting a client for care and supervision, the person responsible for admissions shall:
(1) Interview the prospective client, and his/her authorized representative, if any.
(A) The interview shall provide the prospective client with information about the facility, including the information contained in the Admission Agreement and any additional policies and procedures, house rules, and activities.
(2) Develop a Needs and Services Plan as specified in Sections 80068.2 and 85068.2.
(d) The facility shall obtain the medical assessment, performed as specified in Section 80069.
(e) If admission is agreed to, the facility shall obtain the signature of the client, or his/her authorized representative, if any, on the Admission Agreement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsections (b) and (c)(2) filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsections (b) and (c)(2) refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (b) and (c)(2) refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b) and (c)(2) refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. Amendment of subsections (b) and (c)(2) refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of subsections (b) and (c)(2), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§85068.2. Needs and Services Plan.
Note     •     History

(a) Prior to admission, the licensee shall determine whether the facility's program can meet the prospective client's service needs.
(b) If the client is to be admitted, then prior to admission, the licensee shall complete a written Needs and Services Plan, which shall include:
(1) The client's desires and background, obtained from the client's family or his/her authorized representative, if any, and licensed professional, where appropriate, regarding the following:
(A) Entrance to the facility.
(B) Specific service needs, if any.
(C) The written medical assessment specified in Section 80069.
(D) Mental and emotional functioning.
(E) The written mental health intake assessment, if any, specified in Section 85069.3.
(F) The written functional capabilities assessment specified in Section 80069.2.
(2) Facility plans for providing services to meet the individual needs identified above.
(c) If the client has a restricted health condition specified in Section 80092, the Needs and Services Plan must include the Restricted Health Condition Care Plan specified in Section 80092.2.
(d) The licensee shall involve the following persons in the development of the Needs and Services Plan:
(1) The client, or his/her authorized representative, if any.
(2) Any relative participating in the placement.
(3) The placement or referral agency, if any.
(4) The person responsible for facility admissions.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. Repealer  filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. Repealer refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. Repealer refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including adoption of new section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§85068.3. Modifications to Needs and Services Plan.
Note     •     History

(a) The written Needs and Services Plan specified in Section 85068.2 shall be updated as frequently as necessary to ensure its accuracy, and to document significant occurrences that result in changes in the client's physical, mental and/or social functioning.
(b) If modifications to the plan identify an individual client service need which is not being met by the general program of facility services, the following requirements shall be met:
(1) Consultation shall be secured from a dietitian, physician, social worker, psychologist, or other consultant as necessary to assist in determining if such needs can be met by the facility within the facility's program of services.
(2) If it is determined that the client's needs can be met, the licensee in conjunction with the consultant shall develop and maintain in the facility a written Needs and Services Plan that must include the following:
(A) Objectives, within a time frame, that relate to the client's problems and/or needs.
(B) Plans for meeting the objectives.
(C) Identification of any individuals or agencies responsible for implementing and evaluating each part of the plan.
(D) Method of evaluating progress.
(3) If it is determined that the client's needs cannot be met, the licensee shall inform the client and/or his/her authorized representative, if any, or responsible person, if there is no authorized representative, of this fact and shall request that the client relocate.
(A) If the client refuses to relocate, the licensee may evict the client in accordance with Section 80068.5.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. Repealer  filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. Repealer refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. Repealer refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including adoption of new section, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§85068.4. Acceptance and Retention Limitations.
Note     •     History

(a) The licensee shall not accept or retain the following:
(1) Persons with prohibited health conditions specified in Section 80091.
(2) Persons who require inpatient care in a health facility.
(3) Persons who have needs that are in conflict with the needs of other clients or the program of services offered.
(4) Persons who require more care and supervision than is provided by the facility.
(5) Any person whose primary need is acute psychiatric care due to a mental disorder.
(b) The licensee may admit or retain persons who are 60 years of age or older whose needs are compatible with those of other clients if they require the same level of care and supervision as the other clients in the facility and the licensee is able to meet their needs.
(c) When a licensee admits or retains any person 60 years of age or older, the licensee shall ensure that all of the following information is contained in the person's file:
(1) Completed Functional Capabilities Assessment, required by Section 80069.2.
(2) Completed Needs and Services Plan, required by Section 85068.2. If one or more age-related care needs are identified by the provider or the referring source, the licensee shall ensure that the Needs and Services Plan specified how such need(s) will be addressed.
(3) Documentation of a medical assessment, signed by a physician, made within the last year.
(4) A letter of support from the person's conservator with placement authority, if applicable.
(5) Letters of support, if any, from the person's placement officer, social worker, and/or mental health professional, if applicable, documenting that the Adult Residential Facility is the most appropriate setting for the person.
(d) The licensee shall ensure that the Needs and Services Plan for each client 60 years of age or older is updated at least annually and in accordance with Section 85068.3.
(e) The licensee shall ensure that the medical assessment for each client 60 years of age or older is updated at least annually and in accordance with the regulations addressing medical assessments in Residential Care Facilities for the Elderly (RCFE) [California Code of Regulations, Title 22, Sections 87458(b) and (c)].
(f) The Department may require the licensee to comply with various regulations applicable to RCFEs if the Department determines that compliance with any such specific regulations is necessary to protect the health and safety of clients 60 years of age or older. Such regulations may include, but not be limited to, those pertaining to the training of staff members who assist clients with personal activities of daily living; the regular observation of clients for changes in physical, mental, emotional, and social functioning; and the notification of the client's physician and responsible person and/or authorized representative, if any, of documented changes.
(g) If acceptance or retention of an individual 60 years of age or older would result in the number of persons 60 years of age or older exceeding 50 percent of the census in facilities with a capacity of six or fewer clients, or 25 percent of the census in facilities with a capacity over six, the licensee must request an exception in order to accept or retain the individual. The exception request must be made in accordance with Section 80024. The documentation specified in Section 85068.4(c) must be submitted with the exception request.
(h) Retention of all clients shall be in accordance with each client's Needs and Services Plan, required by Section 85068.2, and the criteria specified in Section 80092, Restricted Health Conditions.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code; and Joint Stipulation and Order for Settlement in the matter of California Association of Mental Health Patients' Rights Advocates v. Cliff Allenby, et al., Santa Clara County Superior Court, No. 106-CV061397, issued November 14, 2008.
HISTORY

1. Repealer  and new subsection (a)(1) filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. Repealer and new subsection (a)(1) refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new subsection (a)(1) refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new subsection (a)(1) refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. Repealer and new subsection (a)(1) refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order transmitted to OAL 7-21-98 and filed 9-1-98 (Register 98, No. 36).
8. New subsections (b)-(c) filed 10-4-2005; operative 11-3-2005 (Register 2005, No. 40).
9. Amendment of section and Note filed 7-31-2009; operative 8-30-2009 (Register 2009, No. 31).
§85068.5. Eviction Procedures.
Note     •     History

(a) The licensee shall be permitted to evict a client by serving the client with a 30-day written notice to quit for any of the following reasons:
(1) Nonpayment of the rate for basic services within ten days of the due date.
(2) Failure of the client to comply with state or local law after receiving written notice of the alleged violation.
(3) Failure of the client to comply with the general facility policies as specified in the Admission Agreement.
(4) A needs and services plan modification has been performed, as specified in Section 85068.3, which determined that the client's needs cannot be met by the facility and the client has been given an opportunity to relocate as specified in Section 85068.3(b)(3).
(5) Change of use of the facility.
(b) The licensee shall be permitted to evict a client by serving the client with a three-day written notice to quit provided that both of the following requirements have been met:
(1) The licensing agency has granted prior written and/or documented telephone approval for the eviction.
(A) The licensing agency shall reply to a request for such approval within two working days.
(B) Failure of the licensing agency to reply within two working days shall be considered approval.
(2) The client has engaged or is engaging in behavior which is a threat to his/her mental and/or physical health or safety, or to the health and safety of others in the facility.
(c) The licensee shall set forth in the notice to quit the reasons for the eviction, with specific facts including the date, place, witnesses, and circumstances.
(d) The licensee shall, upon completion of the procedures specified in (a) or (b) above, notify or mail a copy of the notice to quit to the client's authorized representative if any.
(e) A written report of any eviction processed in accordance with (a) above shall be sent to the licensing agency within five days of the eviction.
(f) Nothing in this section is intended to preclude the licensee or client from invoking any other available remedy.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Repealer  filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. Repealer refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. Repealer refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 1-31-97 emergency action by operation of Government Code section 11346.1(g) (Register 98, No. 36).
§85069.3. Mental Health Intake Assessment.
Note     •     History

(a) In order to determine his/her ability to provide the services needed by a client with mental illness, the licensee of an ARF shall ensure that a written intake assessment is prepared as required by Health and Safety Code Section 1562.6(a).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507, 1530, 1531 and 1562.6, Health and Safety Code.
HISTORY

1. Renumbering and amendment of heading and section of former section 80069.3 to section 85069.3, transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§85070. Client Records.
Note     •     History

(a) In addition to Section 80070, each client record must contain the following information:
(1) Last known address.
(2) Religious preference, and name and address of clergyman or religious advisor, if any.
(3) Needs and Services Plan and any modifications thereto, as specified in Sections 80068.2, 80068.3, 85068.2 and 85068.3.
(4) Mental Health Intake Assessment specified in Section 85069.3
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1531, 1533, 1534 and 1538, Health and Safety Code.
HISTORY

1. Amendment of subsection (b)(3) and Note filed 1-31-97 as an emergency; operative 2-1-97 (Register 97, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-2-97 or emergency language will be repealed by operation of law on the following day.
2. Amendment of subsection (b)(3) and Note refiled 5-21-97 as an emergency; operative 6-1-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-97 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b)(3) and Note  refiled 9-29-97 as an emergency; operative 9-29-97 (Register 97, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-27-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b)(3) and Note refiled 1-26-98 as an emergency; operative 1-27-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-27-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-26-98 order transmitted to OAL 2-6-98; disapproved 3-23-98 (Register 98, No. 13).
6. Amendment of subsection (b)(3) and Note refiled 3-23-98 as an emergency; operative 3-23-98 (Register 98, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-21-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-23-98 order, including further amendment of subsections (a) and (a)(3) and new subsection (a)(4), transmitted to OAL 7-21-98 and filed 9-1-98; amendments operative per agency request 10-1-98 (Register 98, No. 36).
§85072. Personal Rights.
Note

(a) In addition to Section 80072, the following shall apply.
(b) The licensee shall insure that each client is accorded the following personal rights.
(1) To visit the facility with his/her relatives or authorized representative prior to admission.
(2) To have the facility inform his/her relatives and authorized representative, if any, of activities related to his/her care and supervision, including but not limited to notification of any modifications to the needs and services plan.
(3) To have communications to the facility from his/her relatives or authorized representative answered promptly and completely.
(4) To have visitors, including advocacy representatives, visit privately during waking hours, provided that such visitations do not infringe upon the rights of other clients.
(5) To wear his/her own clothes.
(6) To possess and use his/her own personal items, including his/her own toilet articles.
(7) To possess and control his/her own cash resources.
(8) To have access to individual storage space for his/her private use.
(9) To have access to telephones in order to make and receive confidential calls, provided that such calls do not infringe upon the rights of other clients and do not restrict availability of the telephone during emergencies.
(A) The licensee shall be permitted to require reimbursement from the client or his/her authorized representative for long distance calls.
(B) The licensee shall be permitted to prohibit the making of long distance calls upon documentation that requested reimbursement for previous calls has not been received.
(10) To mail and receive unopened correspondence.
(11) To receive assistance in exercising the right to vote.
(12) To move from the facility in accordance with the terms of the Admission Agreement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§85075. Health-Related Services.
Note

(a) In addition to Section 80075, the following shall apply.
(b) The facility shall develop and implement a plan which ensures that assistance is provided to the clients in meeting their medical and dental needs.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
§85075.1. Hospice Care.
Note     •     History

(a) A licensee shall be permitted to retain terminally ill clients who receive hospice services from a hospice agency if all of the following conditions (1) through (7) are met: 
(1) The licensee has received a facility hospice care waiver from the Department. 
(2) The licensee remains in substantial compliance with the requirements of this section, and those provisions of Chapters 1 and 6, Division 6, of Title 22, California Code of Regulations (CCR), governing Adult Residential Facilities, and with all terms and conditions of the waiver. 
(3) Hospice services are contracted for by each terminally ill client individually or, if the client is incapacitated, by the client's Health Care Surrogate Decision Maker. The licensee shall not contract for hospice services on behalf of a client. The hospice must be licensed by the state and certified by the federal Medicare program to provide hospice services. 
(4) A written plan is developed for each terminally ill client by that client's hospice. Prior to the initiation of hospice services for that client, the plan must be agreed upon by the licensee and the client, or the client's Health Care Surrogate Decision Maker. All plans must be fully implemented by the licensee and by the hospice. 
(5) Retention of any terminally ill client in the facility does not represent a threat to the health and safety of any facility client or violate result the personal rights of any facility client. 
(6) The hospice and the client agree to provide the licensee with all information necessary to allow the licensee to comply with all regulations and to assure that the client's needs are met. 
(7) The hospice agrees to provide necessary medical intervention related to the client's terminal illness. 
(A) The medical intervention shall not exceed the care and supervision for a residential facility, as defined in Chapters 1 and 6, Division 6, of Title 22, CCR, governing Adult Residential Facilities. 
(b) A current and complete plan shall be maintained in the facility for each hospice client and include the following: 
(1) The name, office address, business telephone number, and 24-hour emergency telephone number of the hospice and the client's physician. 
(2) A description of the services to be provided in the facility by the hospice, including, but not limited to, the type and frequency of services to be provided. 
(3) The designation of the client's primary contact person at the hospice, and the client's primary and alternate care-giver at the facility. 
(4) A description of the licensee's responsibility for implementing the plan including, but not limited to, facility staff duties, record keeping, and communication with the hospice, the client's physician, and the client's responsible person, if any. This description shall include the type and frequency of the tasks to be performed by facility staff. 
(A) The plan shall specify all procedures to be implemented by the licensee regarding the storage and handling of medications or other substances, and the maintenance and use of medical supplies, equipment, or appliances. 
(B) The plan shall specify, by name or job function, the licensed health care professional on the hospice staff who will control and supervise the storage and administration of all controlled drugs (Schedule II-V, as defined in Health and Safety Code Sections 11055-11058) for the client. Facility staff may assist clients with self-medications without hospice personnel being present. 
(C) The plan shall neither require nor recommend that the licensee, or any facility staff, other than a physician or appropriately skilled professional, implement any health care procedure that may legally be provided only by a physician or appropriately skilled professional. 
(5) A description of all hospice services to be provided or arranged in the facility by persons other than the licensee, facility staff, or the hospice. These persons include but are not limited to clergy and the client's family members and friends. 
(6) Identification of the training needed, which staff members need this training, and who will provide the training related to the licensee's responsibilities for implementing the plan. 
(A) The training shall include, but not be limited to, the needs of hospice patients, such as hydration, infection control, and turning and incontinence care to prevent skin breakdown. 
(B) The hospice will provide training specific to the current and ongoing needs of the individual client receiving hospice care. The training must be completed before hospice care to the client begins. 
(7) Any other information deemed necessary by the Department, on an individual basis, to ensure that the terminally ill client's needs for health care, personal care, and supervision are met. 
(c) The licensee shall ensure that the plan complies with the requirements of this section and those provisions of Chapters 1 and 6, Division 6, of Title 22, CCR, governing Adult Residential Facilities. 
(d) The licensee shall ensure that the plan is current, accurately matches the services being provided, and that the client's care needs are being met at all times. 
(e) The Department may require that the licensee obtain a revision of the plan if the plan is not fully implemented, or if the Department has determined that the plan should be revised to protect the health and safety of any facility client. 
(f) The licensee shall maintain a record of all hospice-related training provided to the licensee or facility staff for a period of three years. 
(1) The record of each training session shall specify the names and credentials of the trainer, the persons in attendance, the subject matter covered, and the date and duration of the training session. 
(2) The Department shall be entitled to inspect, audit, remove if necessary, and copy the record upon demand during normal business hours. 
(g) In addition to meeting the reporting requirements specified in Sections 80061 and 85061, the licensee shall submit a report to the Department when a client's hospice services are interrupted or discontinued for any reason other than the death of the client. The licensee shall also report any deviation from the client's plan, or other incident, which threatens the health and safety of any client. 
(1) Such reports shall be made by telephone within one working day, and in writing within five working days, and shall specify all of the following: 
(A) The name, age, and gender of each affected client. 
(B) The date and nature of the event and explanatory background information leading up to the event. 
(C) The name and business telephone number of the hospice. 
(D) Actions taken by the licensee and any other parties to resolve the incident and to prevent similar occurrences. 
(h) For each client receiving hospice services, the licensee shall maintain the following in the client's record: 
(1) The client's or the client's Health Care Surrogate Decision Maker's written request for retention and hospice services in the facility, and his/her Advance Health Care Directive, if any. 
(2) The name, address, telephone number, and 24-hour emergency telephone number of the hospice and the client's Health Care Surrogate Decision Maker, if any, in a manner that is readily available to the client, the licensee, and facility staff. 
(3) A copy of the written certification statement of the client's terminal illness from the medical director of the hospice or the physician in the hospice interdisciplinary group, and the client's attending physician, if any. 
(4) A copy of the client's current plan approved by the licensee, the hospice, and the client or the client's Health Care Surrogate Decision Maker, if the client is incapacitated. 
(5) A statement signed by the client's roommate, if any, indicating his or her acknowledgment that the client intends to receive hospice care in the facility for the remainder of the client's life, and the roommate's voluntary agreement to grant access to the shared living space to hospice staff, and the client's family members, friends, clergy, and others. 
(A) If the roommate withdraws the agreement verbally or in writing, the licensee shall make alternative arrangements which fully meet the needs of the hospice client. 
(i) Prescription medications no longer needed shall be disposed of in accordance with Section 80075(o). 
(j) Care for the client's health condition is addressed in the plan. 
(1) No facility staff, other than an appropriately skilled health professional, shall perform any health care procedure that, under law, may only be performed by an appropriately skilled professional. 
(k) The licensee shall maintain a record of dosages of medications that are centrally stored for each client receiving hospice in the facility. 
(l) Clients receiving hospice who are bedridden as defined in Section 1569.72(b) of the Health and Safety Code may reside in the facility provided that within 48 hours of the individual's bedridden status, the licensee ensures that the local fire authority is notified of the estimated length of time the client will be bedridden. 
(m) Nothing contained in this section precludes the Department from requiring a client to be relocated when the client's needs for care and supervision or health care are not being met in the facility. 
NOTE

Authority Cited: Section 1530, Health and Safety Code. Reference: Sections 1507.3 and 1569.72(b), Health and Safety Code. 
HISTORY

1. New section filed 12-17-2003; operative 1-16-2004 (Register 2003, No. 51).
§85075.2. Facility Hospice Care Waiver.
Note     •     History

(a) In order to retain terminally ill clients and permit them to receive care from hospice, the licensee shall have obtained a Facility Hospice Care Waiver from the Department. To obtain this waiver the licensee shall submit a written request including, but not be limited, to the following: 
(1) The maximum number of terminally ill clients that the facility will care for at any one time. 
(2) A statement by the licensee or designated representative that this section, and all other requirements within Chapters 1 and 6, Division 6, of Title 22, CCR, governing Adult Residential Facilities, have been read and that the licensee will ensure compliance with these requirements. 
(3) A statement that the licensee shall comply with the terms and conditions of all plans which are designated as the responsibility of the licensee or under the control of the licensee. 
(4) A statement that hospice services will be provided only to individuals who are clients of the facility prior to the initiation of hospice services. 
(b) The Department shall deny a waiver request if the licensee is not in substantial compliance with the provisions of Chapters 1 and 6, Division 6, of Title 22, CCR, governing Adult Residential Facilities. 
(c) The Department shall not approve a waiver request unless the licensee: 1) demonstrates the ability to meet the care and supervision needs of clients, and 2) states a willingness to provide additional care staff if required by the plan. 
(d) Any waiver granted by the Department shall include terms and conditions necessary to ensure the well-being of clients and/or all other clients. These terms and conditions shall include, but not be limited to, the following requirements: 
(1) A written request shall be signed by each client or the client's Health Care Surrogate Decision Maker to allow the client's retention in the facility while receiving hospice services. 
(A) The request shall be maintained in the client's record at the facility as specified in Section 85075.1(h)(1). 
(2) The licensee shall notify the Department in writing within five working days of the initiation of hospice care services in the facility for any client. The notice shall include the client's name and date of admission to the facility and the name and address of the hospice. 
(e) Within 30 calendar days of receipt of a completed request for a waiver, the Department shall notify the applicant or licensee, in writing, of one of the following: 
(1) The request with substantiating evidence has been received and accepted for consideration. 
(2) The request is deficient, needing additional described information for the request to be acceptable, and a time frame for submitting this information. 
(A) Failure of the applicant or licensee to submit the requested information within the time shall result in denial of the request. 
(3) Within 30 days of accepting a request for a waiver, the licensing agency shall notify the applicant or licensee, in writing, whether the request has been approved or denied.
NOTE

Authority Cited: Section 1530, Health and Safety Code. Reference: Section 1507.3, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2003; operative 1-16-2004 (Register 2003, No. 51).
§85075.3. Advance Health Care Directives.
Note     •     History

(a) A client shall be permitted to have an Advance Health Care Directive in the client's file. 
(b) If a client experiences a medical emergency and has an Advance Health Care Directive on file, the facility staff shall do one of the following: 
(1) Immediately telephone 9-1-1, present the Advance Health Care Directive to the responding emergency medical personnel and identify the client as the person to whom the Directive refers; or
(2) Immediately give the Advance Health Care Directive to a physician, RN or LVN if he or she is in the client's presence at the time of the emergency and if he or she assumes responsibility. 
NOTE

Authority Cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1507, Health and Safety Code; and Section 4605, Probate Code. 
HISTORY

1. Renumbering of former section 85075.3 to section 85075.4 and new section 85075.3 filed 12-17-2003; operative 1-16-2004 (Register 2003, No. 51).
§85075.4. Observation of the Client.
Note     •     History

(a) The licensee shall regularly observe each client for changes in physical, mental, emotional and social functioning.
(b) The licensee shall provide assistance when observation reveals needs which might require a change in the existing level of service, or possible discharge or transfer to another type of facility.
(c) The licensee shall bring observed changes, including but not limited to unusual weight gains or losses, or deterioration of health condition, to the attention of the client's physician and authorized representative, if any.
(d) A client suspected of having a contagious or infectious disease shall be isolated and a physician contacted to determine suitability of the client's retention in the facility.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1507.3, 1521 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 85075.3 to new section 85075.4, including amendment of Note, filed 12-17-2003; operative 1-16-2004 (Register 2003, No. 51).
§85076. Food Service.
Note

(a) In addition to Section 80076, the following shall apply.
(b) The licensee shall meet the food service personnel requirements specified in Section 85065(e).
(c) The following requirements shall be met when serving food:
(1) Meals served on the premises shall be served in one or more dining rooms or similar areas in which the furniture, fixtures and equipment necessary for meal service are provided.
(A) Such dining areas shall be located near the kitchen so that food may be served quickly and easily.
(2) Tray service shall be provided in case of temporary need.
(d) The licensee shall meet the following food supply and storage requirements:
(1) Supplies of staple nonperishable foods for a minimum of one week and fresh perishable foods for a minimum of two days shall be maintained on the premises.
(2) Freezers shall be large enough to accommodate required perishables and shall be maintained at a temperature of zero degrees F (-17.7 degrees C).
(3) Refrigerators shall be large enough to accommodate required perishables and shall maintain a maximum temperature of 45 degrees F (7.2 degrees C).
(4) Freezers and refrigerators shall be kept clean, and food storage shall permit the air circulation necessary to maintain the temperatures specified in (2) and (3) above.
(e) Clients shall be encouraged to have meals with other clients.
(f) Clients who do not elect to have all meals provided by the facility as specified in Section 80076(a)(3), but whose conditions subsequently change so that self-purchase of foods and self-preparation of meals is no longer a viable alternative, shall receive full meal service.
NOTE

Authority cited: Sections 1501 and 1531, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§85077. Personal Services.
Note

(a) Licensees shall provide necessary personal assistance and care, as indicated in the needs and services plan, with activities of daily living including but not limited to dressing, eating, and bathing.
(b) Licensees shall provide basic laundry services, including washing and drying of clients' personal clothing.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§85078. Responsibility for Providing Care and Supervision.
Note

(a) In addition to Section 80078, the following shall apply:
(1) The licensee shall provide those services identified in the client's needs and services plan as necessary to meet the client's needs.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1527, 1530 and 1531, Health and Safety Code.
§85079. Activities.
Note

(a) The licensee shall ensure that planned recreational activities, which include the following, are provided for the clients:
(1) Activities that require group interaction.
(2) Physical activities including but not limited to games, sports and exercise.
(b) Each client who is capable shall be given the opportunity to participate in the planning, preparation, conduct, clean-up and critique of the activities.
(c) The licensee shall ensure that clients are given the opportunity to attend and participate in community activities including but not limited to the following:
(1) Worship services and activities of the client's choice.
(2) Community Service activities.
(3) Community events, including but not limited to concerts, tours, dances, plays, and celebrations of special events.
(4) Self-help organizations.
(5) Senior citizen groups, sports leagues and service clubs.
(d) In facilities with a licensed capacity of seven or more clients, notices of planned activities shall be posted in a central facility location readily accessible to clients, relatives, and representatives of placement and referral agencies.
(1) Copies of such notices shall be retained in facility files for at least six months.
(e) In facilities with a licensed capacity of 50 or more clients, a current, written program of activities shall be planned in advance and made available to all clients.
(f) Activities shall be encouraged through provision of the space, equipment and supplies specified in Sections 85087.2, 85087.3 and 85088(g).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§85080. Resident Councils.
Note     •     History

(a) Each facility, at the request of a majority of its residents, shall assist its residents in establishing and maintaining a resident-oriented facility council.
(1) The licensee shall provide space and post notice for meetings, and shall provide assistance in attending council meetings for those residents who request it.
(A) If residents are unable to read the posted notice because of a physical or functional disability, the licensee shall notify the residents in a manner appropriate to that disability including but not limited to verbal announcements.
(2) The licensee shall document notice of meetings, meeting times, and recommendations from council meetings.
(3) In order to permit a free exchange of ideas, at least part of each meeting shall be conducted without the presence of any facility personnel.
(4) Residents shall be encouraged, but shall not be compelled to attend council meetings.
(b) The licensee shall ensure that in providing for resident councils the requirements of Section 1520.2 of the Health and Safety Code are observed.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1520.2, Health and Safety Code.
HISTORY

1. New section filed 11-10-86; effective thirtieth day thereafter (Register 86, No. 46).
§85081. Requirements for Emergency Adult Protective Services Placements.
Note     •     History

(a) The licensee shall be permitted to accept emergency placements by an adult protective services (APS) agency, if the licensee has received approval from the Department to provide emergency shelter services. 
(1) To obtain approval, the licensee shall submit a written request to the Department. The request shall include, but not be limited to, the following: 
(A) A letter of interest from the county APS agency stating that if the request to provide emergency shelter services is approved, the APS agency may enter into an agreement with the licensee to provide such services. 
1. A copy of the written agreement between the APS agency and the licensee, listing the responsibilities of each party, shall be sent to the Department within seven calendar days of signing. 
(B) A written addendum to the Plan of Operation, specified in Sections 80022 and 85022, that includes procedures for the intake of an APS emergency placement. The addendum shall specify how the licensee will meet the needs of a client placed on an emergency basis, such as on-call staff, additional staff and training. 
1. The procedures shall include, but not be limited to, provisions for a private room. 
a. The licensee shall provide a private room for the client until an individual program plan or a Needs and Services Plan has been completed, specified in Sections 80068.2 and 85068.2. 
b. The Department may approve an alternative to a private room, such as awake or additional staff, but an alternative shall not be approved if it displaces staff or other clients of the facility. 
(C) A licensee of an adult residential facility may accept an elderly client, 60 years of age or older, for emergency placement under the following conditions: 
1. The APS agency has written a statement indicating a local need exists for the licensee to accept elderly emergency placements. 
a. The licensee attaches this APS statement of local need [Section 85081(a)(1)(C)1.] to the written request, specified in Section 85081(a)(1). 
b. The licensee must request a statement each year from the APS agency, indicating a local need still exists as specified in Section 85081(a)(1)(C)1., and submit the statement to the Department. 
(b) The Department shall provide written approval or denial of a licensee's request to provide emergency shelter services within 15 working days of its receipt. 
(c) The licensee shall comply with the regulations in Title 22, Division 6, Chapter 1 (General Licensing Requirements) and Chapter 6 (Adult Residential Facilities), unless otherwise stated in Section 85081. These regulations include, but are not limited to, the following: 
(1) The licensee shall not exceed the capacity limitations specified on the license and shall not allow rooms approved only for ambulatory clients to be used by nonambulatory clients, as specified in Section 80010. 
(2) The licensee shall meet the requirements in Section 80020(b) on fire clearance if the licensee has accepted a nonambulatory client, defined in Section 80001n.(2). 
(d) The licensee shall not accept the following persons as APS emergency placements: 
(1) Individuals who use metered-dose and dry powder inhalers [Section 80075(a)(2)(A)]. 
(2) Individuals who require oxygen [Section 80075(h)]. 
(3) Individuals who rely upon others to perform all activities of daily living [Section 80077.2]. 
(4) Individuals who lack hazard awareness or impulse control [Section 80077.3]. 
(5) Individuals who have contractures [Section 80077.5]. 
(6) Individuals who have prohibited health conditions [Section 80091]. 
(7) Individuals who have restricted health conditions [Section 80092]. 
(8) Individuals who require inpatient care in a health facility [Section 85068.4(a)(2)]. 
(9) Any individual whose primary need is acute psychiatric care due to a mental disorder [Section 85068.4(a)(5)]. 
(10) Individuals who are receiving hospice care. 
(e) The licensee shall not admit an APS emergency placement unless the APS worker is present at the facility at the time of admission. 
(f) Prior to acceptance of an APS emergency placement, the licensee shall obtain and keep on file the following information received from the APS worker: 
(1) Client's name. 
(2) Client's ambulatory status. 
(3) Name(s) and telephone number(s) of the client's physician(s). 
(4) Name(s), business address(es), and telephone number(s) of the APS worker responsible for the client's placement and the APS case worker, if known. 
(5) Name, address, and telephone number of any person responsible for the care of the client, if available. 
(g) At the time of the APS emergency placement, the licensee shall ensure receipt of a mental health intake assessment, specified in Section 85069.3, for mentally ill clients. 
(h) Within seven calendar days of an APS emergency placement, the licensee shall obtain other client information specified in Sections 80070 and 85070. 
(1) The client must have a tuberculosis test [Section 80069(c)(1)] by the seventh day of placement even though the test results may not be available by the seventh day of placement. 
(i) The licensee shall contact the client's attending physician or the person authorized to act for the physician to identify all of the client's prescribed medications and usage instructions [Section 80069(c)(3)] by the next working day, but no later than 72 hours from the initial APS emergency placement. 
(1) The attending physician or the person acting for the physician shall have access to the client's records to determine whether the full medication regimen is accounted for and accurate. 
(2) If medication verification, as specified in Section 85081(i), has not been obtained within 72 hours from the client's initial placement, the licensee shall contact the APS worker to request that the client be relocated, as specified in Section 85081(j). 
(j) The licensee shall contact the APS worker to request that the client be relocated immediately when the licensee identifies that needs cannot be met or that the client has a condition specified in Section 85081(d). 
(1) The licensee cannot retain a client aged 60 years or older beyond 30 calendar days from initial placement by the APS agency unless the following requirement is met: 
(A) The licensee must request an exception, specified in Section 80024(b)(2), within 30 calendar days of initial placement, but the client must be relocated if the Department denies the request. 
(k) Within seven calendar days of the licensee making any changes to an agreement with an APS agency, the licensee shall notify the Department in writing of these changes, which may include a renewed agreement, amended language and/or notification of a terminated agreement. 
(l) All emergency placements are subject to the same record requirements as set forth in Section 80070(f). 
NOTE

Authority cited: Sections 1530 and 1531, Health and Safety Code; Section 15763(a), (a)(2) and (d), Welfare and Institutions Code; and Senate Bill 2199 (Chapter 946, Statutes of 1998), Section 14 uncodified. Reference: Section 15610.13, Welfare and Institutions Code; and Sections 1501, 1502, 1507, 1507.3, 1520, 1531.1, 1533, 1536.1, 1536.3, 1557.5, 1562.6 and 13131, Health and Safety Code. 
HISTORY

1. New section filed 10-25-2001 as an emergency; operative 10-25-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-22-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-25-2001 order transmitted to OAL 2-22-2002 and filed 4-8-2002 (Register 2002, No. 15).
Article 7. Physical Environment
§85087. Buildings and Grounds.
Note     •     History

(a) In addition to Section 80087, bedrooms must meet, at a minimum, the following requirements:
(1) Not more than two clients shall sleep in a bedroom.
(2) Bedrooms must be large enough to allow for easy passage and comfortable use of any required client-assistive devices, including but not limited to wheelchairs, walkers, or oxygen equipment, between beds and other items of furniture specified in Section 85088(c).
(3) No room commonly used for other purposes shall be used as a bedroom for any person.
(A) Such rooms shall include but not be limited to halls, stairways, unfinished attics or basements, garages, storage areas, and sheds, or similar detached buildings.
(4) No client bedroom shall be used as a public or general passageway to another room, bath or toilet.
(b) Stairways, inclines, ramps, open porches, and areas of potential hazard to clients whose balance or eyesight is poor shall not be used by clients unless such areas are well lighted and equipped with sturdy hand railings.
(c) Facilities shall meet the following requirements in laundry areas:
(1) Space and equipment for washing, ironing and mending of personal clothing.
(2) Space used for soiled linen and clothing shall be separated from the clean linen and clothing storage and handling area.
(3) In facilities with a licensed capacity of 16 or more clients, space used to do the laundry shall not be part of an area used for storage of any item other than items necessary for laundry activities.
(d) Facilities with a licensed capacity of 16 or more clients shall meet the following requirements:
(1) There shall be space available in the facility to serve as an office for business, administration and admission activities.
(2) There shall be a private office in which the administrator may conduct private interviews.
(3) There shall be a reception area and a restroom facility designated for use by visitors.
(e) Dining rooms or similar areas for food service shall be provided as specified in Section 85076.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code.
HISTORY

1. Combination and amendment of subsections (a) and (b), amendment of newly designated subsection (a)(2), subsection relettering and amendment of Note  filed 9-1-98; operative 10-1-98 (Register 98, No. 36).
§85087.2. Outdoor Activity Space.
Note

(a) Outdoor activity areas shall be provided which are easily accessible to clients and protected from traffic.
(b) The outdoor activity area shall provide a shaded area, and shall be comfortable, and furnished for outdoor use.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§85087.3. Indoor Activity Space.
Note

(a) As a condition of licensure, there shall be common rooms, including a living room, dining room, den or other recreation/activity room, which provide the necessary space and/or separation to promote and facilitate the program of planned activities specified in Section 85079, and to prevent such activities from interfering with other functions.
(1) At least one such room shall be available to clients for relaxation and visitation with friends and/or relatives.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
§85088. Fixtures, Furniture, Equipment, and Supplies.
Note

(a) In addition to Section 80088, as a condition of licensure, the following shall apply.
(b) Toilet, washbasin, bath and shower fixtures shall at a minimum meet the following requirements:
(1) At least one toilet and washbasin shall be maintained for each six persons residing in the facility, including clients, family and personnel.
(2) At least one bathtub or shower shall be maintained for each ten persons residing in the facility, including clients, family and personnel.
(3) Toilets and bathrooms shall be located near client bedrooms.
(4) Individual privacy shall be provided in all toilet, bath and shower areas.
(c) The licensee shall ensure provision to each client of the following furniture, equipment and supplies necessary for personal care and maintenance of personal hygiene.
(1) An individual bed, except that couples shall be allowed to share one double or larger sized bed, maintained in good repair, and equipped with good bed springs, a clean mattress and pillow(s).
(A) Fillings and covers for mattresses and pillows shall be flame retardant.
(B) No adult residential facility shall have more beds for client use than required for the maximum capacity approved by the licensing agency.
1. This requirement shall not apply to beds made available for illness or separation of others in the isolation room or area as required by Section 80075.
(2) Bedroom furniture including, in addition to (c)(1) above, for each client, a chair, a night stand, and a lamp or lights necessary for reading.
(A) Two clients sharing a bedroom shall be permitted to share one night stand.
(3) Portable or permanent closets and drawer space in each bedroom to accommodate the client's clothing and personal belongings.
(A) A minimum of two drawers or eight cubic feet (.2264 cubic meters) of drawer space, whichever is greater, shall be provided for each client.
(4) Clean linen in good repair, including lightweight, warm blankets and bedspreads; top and bottom bed sheets; pillow cases; mattress pads; rubber or plastic sheeting, when necessary; and bath towels, hand towels and wash cloths.
(A) The quantity of linen provided shall permit changing the linen at least once each week or more often when necessary to ensure that clean linen is in use by clients at all times.
(B) The use of common towels and washcloths shall be prohibited.
(5) Feminine napkins, nonmedicated soap, toilet paper, toothbrush, toothpaste, and comb.
(d) If the facility operates it own laundry, necessary supplies shall be available and equipment shall be maintained in good repair.
(1) Clients who are able, and who so desire, shall be allowed to use at least one washing machine and iron for their personal laundry, provided that the equipment is of a type and in a location which can be safely used by the clients.
(A) If that washing machine is coin operated, clients on SSI/SSP shall be provided with coins or tokens and laundry supplies.
(B) The licensee shall be permitted to designate a safe location or locations, and/or times in which clients shall be permitted to iron.
(e) Emergency lighting, which shall include at a minimum working flashlights or other battery-powered lighting, shall be maintained and readily available in areas accessible to clients and staff.
(1) An open-flame type of light shall not be used.
(2) Night lights shall be maintained in hallways and passages to nonprivate bathrooms.
(f) Facilities shall meet the following signal system requirements:
(1) In all facilities with a licensed capacity of 16 or more clients, and all facilities having separate floors or separate buildings without full-time staff there shall be a signal system which has the ability to meet the following requirements:
(A) Operation from each client's living unit.
(B) Transmission of a visual and/or auditory signal to a central location, or production of an auditory signal at the client's living unit which is loud enough to summon staff.
(C) Identification of the specific client's living unit from which the signal originates.
(2) Facilities having more than one wing, floor or building shall be allowed to have a separate signal system in each component provided that each such system meets the criteria specified in (1)(A) through (C) above.
(g) The licensee shall provide and maintain the equipment and supplies necessary to meet the requirements of the planned activity program.
(1) Such supplies shall include daily newspapers, current magazines and a variety of reading materials.
(2) Special Equipment and supplies necessary to accommodate physically handicapped persons or other persons with special needs shall be provided to meet the needs of the handicapped clients.
(3) When not in use, recreational equipment and supplies shall be stored where they do not create a hazard to clients.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530 and 1531, Health and Safety Code.
Article 9. Administrator Certification Training Programs
§85090. Initial Certification Training Program Approval Requirements.
Note     •     History

(a) Initial Certification Training Programs shall be approved by the Department prior to being offered to applicants seeking certification.
(b) Any vendor applicant seeking approval of an Initial Certification Training Program shall submit a written request to the Department using forms LIC 9140 and LIC 9141, or a replica. The request shall be signed under penalty of perjury and contain the following:
(1) Name, address and phone number of the vendor applicant requesting approval and the name of the person in charge of the program.
(2) Subject title, classroom hours, proposed dates, duration, time, location and proposed instructor of each component.
(3) Written description and educational objectives for each component.
(4) Qualifications of each proposed instructor as specified in Section 85090(i)(6) below.
(5) Geographic areas in which the Training Program will be offered.
(6) Types of records to be maintained, as required by Section 85090(i)(4) below.
(7) A statement of whether or not the vendor applicant held or currently holds a license, certification or other approval as a professional in a specified field and the certificate or license number(s). 
(8) A statement of whether or not the vendor applicant held or currently holds a community care facility license or was or is employed by a licensed community care facility and the license number. 
(9) A statement of whether or not the vendor applicant was the subject of any administrative, legal or other action involving licensure, certification or other approvals as specified in Sections 85090(b)(7) and (8) above. 
(10) A processing fee of one hundred-fifty dollars ($150). 
(c) Initial Certification Training Program approval shall expire two (2)  years from the date the program is approved.
(d) A written request for renewal of the Initial Certification Training Program shall be submitted to the Department using forms LIC 9140 and LIC 9141, or a replica, and shall contain the information and processing fee specified in Section 85090(b) above.
(e) If a request for approval or renewal of an Initial Certification Training Program is incomplete, the Department shall, within thirty (30) days of receipt, give written notice to the vendor applicant that: 
(1) The request is deficient, describing what documents are outstanding and/or inadequate, and informing the vendor applicant that the information must be submitted within thirty (30) days of the date of notice.
(f) If the vendor applicant does not submit the requested information within thirty (30) days, the request for approval or renewal shall be deemed withdrawn provided that the Department has not denied or taken action to deny the request.
(g) Within thirty (30) days of receipt of a complete request for an approval, the Department shall notify the vendor applicant in writing whether the request has been approved or denied.
(h) The Initial Certification Training Program shall consist of the following components:
(1) A minimum of thirty-five (35) classroom hours on a uniform Core of Knowledge with the following basic curriculum:
(A) Six (6) hours of instruction in laws, including residents' personal rights, regulations, policies, and procedural standards that impact the operations of adult residential facilities.
(B) Three (3) hours of instruction in business operations.
(C) Three (3) hours of instruction in management and supervision of staff.
(D) Four (4) hours of instruction in the psychosocial needs of the facility residents.
(E) Three (3) hours of instruction in the use of community and support services to meet residents' needs.
(F) Four (4) hours of instruction in the physical needs of facility residents.
(G) Four (4) hours of instruction in the administration, storage, use, prevention of misuse and interaction of drugs commonly used by facility residents.
(H) Four (4) hours of instruction on admission, retention, and assessment procedures.
(I) Four (4) hours of instruction on nonviolent crisis intervention techniques and reporting requirements.
(2) A standardized test administered by the Department.
(A) Individuals completing an Initial Certification Training Program must pass the test with a minimum score of seventy percent (70%).
(B) The test questions shall reflect the hour value of the nine (9) Core of Knowledge areas specified in Section 85090(h)(1)(A) through (I) above.
(i) Initial Certification Training Program vendors shall:
(1) Offer all thirty-five (35) of the classroom hours required for certification.
(A) A minimum of ten (10) hours of instruction must be provided by instructor(s) who meets the criteria specified in Section 85090(i)(6)(D). 
1. Where good faith efforts to employ an instructor who meets the criteria specified in Section 85090(i)(6)(D) are unsuccessful, vendors may apply to the administrator certification section for a waiver of this requirement. 
(2) Establish a procedure to allow participants to make up any component necessary to complete the program.
(3) Submit to the Department within seven (7) days of determination the names of individuals who have completed thirty-five (35) hours of classroom instruction. 
(4) Maintain and ensure that written records are available for review by Department representatives. Records shall be maintained for three (3) years. The records shall include the following information:
(A) Course schedules, dates and descriptions.
(B) List of instructors and documentation of qualifications of each, as specified in Section 85090(i)(6) below.
(C) Names of registered participants and documentation of completion of the program.
(D) Evaluations by participants of courses and instructors. 
(5) Ensure that all classes are open to monitoring and inspection by Department representatives.
(6) Have instructors who have knowledge and/or experience in the subject area to be taught and who meet at least one of the following criteria:
(A)  Possession of a four (4) year college degree and two (2) years experience relevant to the course(s) to be taught, or
(B) Four (4) years experience relevant to the course(s) to be taught, or 
(C) Be a professional in a related field with a valid license to practice in California, or
(D) Have at least four (4) years experience in California as an administrator of an adult residential facility, within the last eight (8) years, and with a record of administering facilities on substantial compliance, as defined in Section 80001s.(6).
(j) Initial Certification Training Program Vendors shall allow Department representatives to monitor and inspect training programs. 
(k) Initial Certification Training Program vendors shall not instruct or “co-locate” more than one program type (ARF, RCFE, GH) at one time. 
(l) Initial Certification Training Program vendors that are also seeking certification shall not be permitted to receive credit for attending the vendor's own Initial Certification Training Program. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code; and Section 15376, Government Code. Reference: Sections 1551 and 1562.3, Health and Safety Code.
HISTORY

1. New article 9 (sections 85090-85092) and section filed 12-29-95 as an emergency; operative 1-1-96. Certificate of Compliance as to 12-29-95 order filed 6-10-96; operative 6-10-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 and filed 4-23-97 (Register 97, No. 17).
2. Amendment of article heading, section heading, section and Note filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85090.1. Denial of Request for Approval of an Initial Certification Training Program.
Note     •     History

(a) The Department may deny a request for approval of an Initial Certification Training Program in accordance with Section 1562.3(h)(1) of the Health and Safety Code. The Department shall provide the applicant with a written notice of the denial. 
(b) The applicant may appeal the denial of the application in accordance with Section 1551 of the Health and Safety Code. 
(c) Any request for approval submitted by a vendor applicant whose application has been previously denied shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1520.3(b).
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1520.3, 1551 and 1562.3, Health and Safety Code.
HISTORY

1. Renumbering of former section 85091 to section 85090.1, including amendment of section heading, section and Note, filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85090.2. Revocation of an Initial Certification Training Program.
Note     •     History

(a) The Department may revoke an Initial Certification Training Program approval and remove the vendor from the list of approved vendors if the vendor does not provide training consistent with Section 85090, or:
(1) Is unable to provide training due to lack of staff, funds or resources, or
(2) Misrepresents or makes false claims regarding the training provided, or
(3) Demonstrates conduct in the administration of the program that is illegal, inappropriate, or inconsistent with the intent or requirements of the program, or
(4) Misrepresents or makes false statements in the vendor application. 
(b) The vendor may appeal the revocation in accordance with Health and Safety Code Section 1551. 
(c) Any application for approval of an Initial Certification Training Program submitted by a vendor applicant whose approval has been previously revoked shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1520.3. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1520.3, 1551 and 1562.3, Health and Safety Code.
HISTORY

1. Renumbering of former section 85092 to section 85090.2, including amendment of section heading, section and Note, filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85091. Continuing Education Training Program Vendor Requirements.
Note     •     History

(a) Any vendor applicant seeking approval as a vendor of a Continuing Education Training Program shall obtain vendor approval by the Department prior to offering any course to certificate holders. 
(b) Any vendor applicant seeking approval to become a vendor of a Continuing Education Training Program shall submit a written request to the Department using the Initial Vendor Application form, LIC 9141, or a replica. The request shall be signed under penalty of perjury and contain the following: 
(1) Name, address and phone number of the vendor applicant requesting approval and the name of the person in charge of the Program. 
(2) A statement of whether or not the vendor applicant held or currently holds a license, certification or other approval as a professional in a specified field and the license or certificate number. 
(3) A statement of whether or not the vendor applicant held or currently holds a community care facility license or was or is employed by a licensed community care facility and the license number. 
(4) A statement of whether or not the vendor applicant was the subject of any administrative, legal or other action involving licensure, certification or other approvals as specified in Section 85091(b)(2) and (3) above. 
(5) A processing fee of one hundred dollars ($100). 
(c) Continuing Education Training Program vendor approval shall expire two (2) years from the date the vendorship is approved by the Department. 
(d) A written request for renewal of the Continuing Education Training Program shall be submitted to the Department using the Renewal Vendor Application form, LIC 9141, or a replica, and shall contain the information and processing fee specified in Section 85091(b) above. 
(e) If a request for approval or renewal of a Continuing Education Training Program is incomplete, the Department shall, within thirty (30) days of receipt, give written notice to the vendor applicant that: 
(1) The request is deficient, describing which documents or information are outstanding and/or inadequate and informing the vendor applicant that the information must be submitted within thirty (30) days of the date of the notice. 
(f) If the vendor applicant does not submit the requested information above within thirty (30) days, the request for approval or renewal shall be deemed withdrawn, provided that the Department has not denied or taken action to deny the request. 
(g) Within thirty (30) days of receipt of a complete request for an approval or renewal, the Department shall notify the vendor applicant in writing whether the request has been approved or denied. 
(h) Continuing Education Training Program vendors shall: 
(1) Maintain and ensure that written records are available for review by Department representatives. Records shall be maintained for three (3) years. The records shall include the following: 
(A) Course schedules, dates and descriptions. 
(B) List of instructors and documentation of qualifications of each, as specified in Section 85091(h)(2) below. 
(C) Names of registered participants and documentation of completion of the courses. 
(D) Evaluations by participants of courses and instructors. 
(2) Have instructors who have knowledge and/or experience in the subject area to be taught and who meet at least one of the following criteria: 
(A) Possession of a four (4) year college degree and two (2) years experience relevant to the course(s) to be taught, or 
(B) Four (4) years experience relevant to the course to be taught, or 
(C) Be a professional, in a related field, with a valid license to practice in California, or 
(D) Have at least four (4) years experience in California as an administrator of an adult residential facility, within the last eight (8) years, and with a record of administering facilities in substantial compliance as defined in Section 80001s. (6). 
(i) Courses approved for continuing education credit shall require the physical presence of the certificate holder in a classroom setting, except that: 
(1) The Department may approve courses where technology permits the simultaneous and interactive participation of the certificate holder, provided that such participation is verifiable. 
(j) Any changes to courses previously approved by the Department must be submitted and approved by the Department prior to being offered. 
(k) Continuing Education Training Program vendors shall allow Department representatives to monitor and inspect Training Programs. 
(l) Continuing Education Training Program vendors who teach courses that the Department has approved for more than one program type (ARF, RCFE, GH), may provide “multiple crediting,” that is, more than one certification for the course, to those who complete the course satisfactorily. 
(m) Continuing Education Training Program vendors that the Department has approved for more than one program type (ARF, RCFE, GH), may “co-locate” or instruct specified courses for more than one program type. 
(n) Continuing Education Training Program vendors who are also certificate holders shall not be permitted to receive credit for attending the vendor's own Continuing Education Training Program courses. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Section 1562.3, Health and Safety Code.
HISTORY

1. New section filed 12-29-95 as an emergency; operative 1-1-96. Certificate of Compliance as to 12-29-95 order filed 6-10-96; operative 6-10-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 and filed 4-23-97 (Register 97, No. 17).
2. Renumbering of former section 85091 to section 85090.1 and new section 85091 filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85091.1. Continuing Education Training Program Course Approval Requirements.
Note     •     History

(a) Any Continuing Education Training Program course shall be approved by the Department prior to being offered to certificate holders. 
(1) At the sole discretion of the Department, continuing education credit may be granted for training provided by the Department's licensing staff. 
(b) Any vendor seeking approval of a Continuing Education Training Program course shall submit a written request to the Department using the Request for Course Approval form, LIC 9140, or a replica. The request shall be signed under penalty of perjury and contain the following: 
(1) Subject title, classroom hours, scheduled dates, duration, time, location, and proposed instructor of each course. 
(2) Written description and educational objectives for each course, teaching methods, course content and a description of evaluation methods. 
(3) Qualifications of each proposed instructor, as specified in Section 85091(h)(2). 
(4) Types of records to be maintained, as required by Section 85091(h)(1). 
(5) A statement of whether or not the proposed instructor held or currently holds a license, certification, or other approval as a professional in a specified field and the license or certificate number. 
(6) A statement of whether or not the proposed instructor held or currently holds a community care facility license or was or is employed by a licensed community care facility and the license number. 
(7) A statement of whether or not the proposed instructor was the subject of any administrative, legal, or other action involving licensure, certification or other approvals as specified in Sections 85091.1(b)(5) and (6) above. 
(c) Course approval shall expire on the expiration date of the vendor's Continuing Education Training Program vendorship approval, as provided in Section 85091(c). 
(1) To renew a course, the vendor shall submit a written request to the Department, using the Renewal of Continuing Education Course Approval form, LIC 9139, or a replica. 
(d) If a request for approval or renewal of a Continuing Education Training Program course is incomplete, the Department shall, within thirty (30) days of receipt, give written notice to the vendor that: 
(1) The request is deficient, describing which documents or information are outstanding and/or inadequate and informing the vendor applicant that the information must be submitted within thirty (30) days of the date of the notice. 
(e) If the vendor applicant does not submit the requested information within thirty (30) days, the request for approval or renewal shall be deemed withdrawn, provided that the Department has not denied or taken action to deny the request. 
(f) Within thirty (30) days of receipt of a complete request for an approval or renewal, the Department shall notify the vendor applicant in writing whether the course has been approved or denied. 
(g) Any changes to previously approved courses must be submitted to the Department for approval prior to being offered, and the request for the change shall contain the information specified in Section 85091.1(b). 
(h) Continuing Education Training Program vendors shall allow Department representatives to monitor and inspect training courses. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Section 1562.3, Health and Safety Code. 
HISTORY

1. New section filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85091.2. Administrative Review of Denial or Revocation of a Continuing Education Course.
Note     •     History

(a) A vendor may seek administrative review of the denial or revocation of course approval as follows: 
(1) The vendor must request an administrative review in writing, within ten (10) days of receipt of the Department's notice denying or revoking course approval. 
(2) The administrative review shall be conducted by a higher-level staff person than the person who denied or revoked course approval. 
(3) If the reviewer determines that the denial or revocation of course approval was not issued in accordance with applicable statutes and regulations of the Department, or that other circumstances existed, that would have led to a different decision, he/she shall have the authority to affirm, amend or reverse the denial or revocation of course approval. 
(A) The Department shall give written notice of its decision within 10 working days. 
(4) The decision of the higher-level staff person shall be final. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Section 1562.3, Health and Safety Code.
HISTORY

1. New section filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85091.3. Denial of a Request for Approval of a Continuing Education Training Program.
Note     •     History

(a) The Department may deny a request for approval of a Continuing Education Training Program in accordance with Health and Safety Code Section 1562.3(h)(1). The Department shall provide the applicant with a written notice of the denial. 
(b) The vendor applicant may appeal the denial in accordance with Health and Safety Code Section 1551. 
(c) Any request for approval submitted by a vendor applicant whose application has been previously denied shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1520.3(b). 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1551 and 1562.3, Health and Safety Code.
HISTORY

1. New section filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85091.4. Revocation of  a Continuing Education Training Program.
Note     •     History

(a) The Department may revoke a Continuing Education Training Program approval and remove the vendor from the list of approved vendors if the vendor does not provide training consistent with Sections 85091 and 85091.1, or: 
(1) Is unable to provide training due to lack of staff, funds or resources; or 
(2) Misrepresents or makes false claims regarding the training provided; or 
(3) Demonstrates conduct in the administration of the program that is illegal, inappropriate, or inconsistent with the intent of the program; or 
(4) Misrepresents or makes false statements in the vendor application. 
(b) The vendor may appeal the revocation in accordance with Health and Safety Code Section 1551. 
(c) Any application for approval of an Continuing Education Training Program submitted by a vendor applicant whose approval has been previously revoked shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1520.3. 
NOTE

Authority cited: Sections 1530 and 1562.3(i), Health and Safety Code. Reference: Sections 1520.3, 1562.3 and 1551, Health and Safety Code.
HISTORY

1. New section filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
§85092. Revocation of a Certification Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1562.3, Health and Safety Code.
HISTORY

1. New section filed 12-29-95 as an emergency; operative 1-1-96. Certificate of Compliance as to 12-29-95 order filed 6-10-96; operative 6-10-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 and filed 4-23-97 (Register 97, No. 17).
2. Renumbering of former section 85092 to section 85090.2 filed 1-5-2001; operative 1-5-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 1).
Chapter 7. Transitional Housing Placement Program
Article 1. General Requirements
§86000. General.
Note     •     History

(a) A Transitional Housing Placement Program (THPP) as defined in Section 86001t(1) shall be governed by the provisions specified in this chapter. In addition, such THPPs, except where specified otherwise, shall be governed by Chapter 1, General Licensing Requirements. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Section 1502, Health and Safety Code; and Section 16522, Welfare and Institutions Code. 
HISTORY

1. New chapter 7 (sections 86000-86088), article 1 (sections 86000-86001) and section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day. For prior history of chapter 7, articles 1-7, sections 86000-86088, see Register 91, No. 8.
2. New chapter 7 (sections 86000-86088), article 1 (sections 86000-86001) and section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86001. Definitions.
Note     •     History

In addition to Section 80001, the following shall apply: 
(a)(1) “Administrative Office” means the central administrative headquarters of the licensee and is the component of the THPP Program that is licensed by the licensing agency. 
(b) (Reserved) 
(c)(1) “Certificate of Approval” means the county approval as a condition of licensure according to Welfare and Institutions Code Section 16522.1. 
(2) “Certificate of Compliance” means the document generated and retained by the licensee that verifies that the single housing unit meets the requirements of Health and Safety Code Section 1501(b)(5) and may be used as living quarters for THPP participant(s). 
(3) “Child” means a person who is under 18 placed in a licensed transitional housing placement program by a regional center, a parent or guardian, or a public child placement agency with or without a court order. “Child” also means a person who is:
(A) 18 or 19, meets the requirements of Welfare and Institutions Code section 11403, and continues to be provided with care and supervision by the transitional housing placement facility. 
(d)(1) “Department-Approved County THPP Plan” means a county THPP plan that is submitted by the county to the Department that states that the county's Independent Living Program will actively participate in the screening and supervision of THPP participants in accordance with Welfare and Institutions Code Section 16522.5. 
(e) (Reserved) 
(f) (Reserved) 
(g) (Reserved) 
(h)(1) “Host County” means a county without a Department-approved plan that gives approval to a licensed THPP in another county to provide services to THPP participants in that host county. 
(2) “Host County Letter” means a county letter authorizing a THPP provider licensed in an adjacent county to operate in the host county that does not have a Department approved THPP plan. 
(3) “Host Family” is a variant of the remote site model and means a living situation where the THPP participant resides in a single housing unit with one or more adults approved by the THPP. 
(i)(1) “Independent Living Program (ILP)” means the program authorized under Title 42, Section 677(a)(1) of the U.S. Code (Social Security Act), for services and activities to assist children age 16 or older who are either a dependent (Welfare and Institutions Code Section 300) or a ward (Welfare and Institutions Code Sections 601 and 602) of the court to make the transition to independent living. 
(j) (Reserved) 
(k) (Reserved) 
(l) (Reserved) 
(m) (Reserved) 
(n) (Reserved) 
(o) (Reserved) 
(p) (Reserved) 
(q) (Reserved) 
(r)(1) “Remote Site Model” means a single housing unit where the participant lives independently and where licensee staff do not live in the same building as the participant. 
(s)(1) “Single Housing Unit” means a living unit such as an apartment, single family dwelling, or condominium intended to house a THPP participant(s). 
(2) “Sub-Administrative Office” means any additional, independently licensed office set up by the THPP to supplement the services provided by the administrative office. 
(t)(1) “Transitional Housing Placement Program” means the licensed components, as well as the components that are certified by the THPP as meeting licensing requirements. 
(A) The licensed components of the THPP are the administrative office that provides THPP administrative and operational functions, and the sub-administrative offices. 
(B) The certified components of the THPP are the THPP units and the THPP staff residential units that also may house or allow access to THPP participants. 
(2) “Transitional Housing Program-Plus (THP-Plus)” means a transitional housing placement program not licensed by the Department, but, certified by counties to provide housing and supportive services, as needed, to THP-Plus tenants and THP participants who are aged 18 to 21 pursuant to Welfare and Institutions Code Section 11403.2(a)(2). 
(3) “Transitional Housing Placement Program Participant” (participant) means an individual placed in a THPP unit. 
(4) “Transitional Housing Placement Program Participant Living Unit” (THPP Participant Living Unit) means the single housing unit where the THPP participant resides as specified in Health and Safety Code Section 1559.110(d). 
(5) “Transitional Housing Placement Program Staff Residential Unit” (THPP staff residential unit) means the residential unit where only the adult employee(s) and their child(ren) reside(s) as specified in Health and Safety Code Sections 1559.110(d)(2) and (3). 
(6) “Transitional Independent Living Plan (TILP)” means the written service delivery plan, available on the Child Welfare Services Case Management Services (CWS/CMS) that identifies the youth's current level of functioning, emancipation goals and the specific skills needed to prepare the youth to live independently upon leaving foster care. The plan is mutually agreed upon by the youth and the social worker/probation officer. 
(u) (Reserved) 
(v) (Reserved) 
(w) (Reserved) 
(x) (Reserved) 
(y) (Reserved) 
(z) (Reserved) 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: 42 USC Section 677; Sections 1559.110 and 1559.115, Health and Safety Code; and Sections 11400, 11401, 11403, 16522.1 and 16522.5, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (i)(1), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
4. New subsections (c)(3)-(c)(3)(A) and amendment of Note filed 2-6-2012; operative 3-7-2012 (Register 2012, No. 6).
Article 2. License Required
§86005. License Required.
Note     •     History

(a) In addition to 80005, the following shall apply, except as specified in the Health and Safety Code Section 1559.110(c) and (e). 
(1) No individual, organization or governmental entity shall provide THPP services as described in Health and Safety Code Section 1559.110 without first obtaining a Transitional Housing Placement Program license from the licensing agency. 
(2) A certified THPP as defined in Health and Safety Code Sections 1559.110(c) and (e) is exempt from licensure.
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1503, 1505, 1508, 1509, 1520, 1559.110 and 1559.115 Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New article 2 (sections 86005-86010) and section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 86005-86010) and section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86009. Availability of License.
Note     •     History

(a) The current license shall be posted in a prominent, publicly accessible location in the administrative office of the licensee. 
(b) A photocopy of the current license shall be retained in the THPP staff residential unit, if applicable. 
(c) A photocopy of the current license shall be posted in a prominent, publicly accessible location in the sub-administrative office. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1508 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86010. Limitations on Capacity and Ambulatory Status.
Note     •     History

(a) In addition to Section 80010 the following shall apply: 
(1) Residents of a THPP participant living unit shall be limited to the THPP participant, children of participants, THPP employees and their children, if applicable, and persons approved by the licensee, and authorized by the Department's Community Care Licensing Division, to remain in the THPP Unit. 
(2) Other persons, as authorized by the Department's Community Care Licensing Division, may live in the remote site as described in Health and Safety Code Section 1559.110(d)(3).
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1531 and 1559.110, Health and Safety Code; and Section 16522, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (a)(1) and new subsection (a)(2), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
Article 3. Application Procedures
§86018. Application for Licensure.
Note     •     History

(a) Prior to applying for a license, and in a county that has a Department-approved THPP plan, the applicant must submit to the county department of social services or the county probation department a program plan that meets the criteria outlined in the county THPP plan and includes the provisions of Welfare and Institutions Code Sections 16522 and 16522.1. 
(b) In addition to Section 80018, the following shall apply: 
(1) The application shall be filed with the licensing agency designated to serve the THPP proposed geographic area of service. 
(2) An applicant can be licensed to operate a THPP only in counties that have a Department-approved THPP plan. 
(3) If a county does not have a Department-approved THPP plan the THPP provider may provide services in that county only if the provider has: 
(A) A host county letter authorizing the THPP provider to provide services in that host county; and 
(B) A license in an adjacent county that does have a Department-approved THPP plan. 
(4) The application shall contain a Certificate of Approval from either the county department of social services or the county probation department, approving the applicant's plan of operation. The Certificate of Approval shall verify that the plan of operation meets the criteria outlined in the county THPP plan and includes the provisions of Welfare and Institutions Code Sections 16522 and 16522.1 as specified in Health and Safety Code Section 1559.115.
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1520, 1520.11, 1525.3, 1559.110 and 1559.115, Health and Safety Code; Sections 11401, 11402, 11403, 16522, 16522.1, 16522.2, 16522.5 and 16522.6, Welfare and Institutions Code; and 29 U.S.C., Section 1501 et. seq. 
HISTORY

1. New article 3 (sections 86018-86036) and section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 86018-86036) and section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of section and Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86020. Fire Clearance.
Note     •     History

(a) THPP licensees are not subject to the provisions in Section 80020. Instead, THPP licensees are subject to the following and the THPP shall secure and maintain for each THPP participant living unit any fire clearance required by and approved by the fire authority having jurisdiction. 
(b) The THPP shall request a fire clearance for the THPP participant living unit prior to residence of a non-ambulatory individual. 
(1) The non-ambulatory individual may be the participant, persons approved by the licensee and authorized by the licensing agency to remain in the apartment, the child of a THPP participant, a THPP employee, or the employee's child(ren). 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1520, 1531, 1531.2, 1531.4, 13234 and 13235, Health and Safety Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsections (a) and (b)(1), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86022. Plan of Operation.
Note     •     History

(a) In addition to Section 80022, excluding Section 80022(b)(9) and (b)(11), the plan of operation shall contain the following: 
(1) The street address and mailing address, if different, for the administrative office and sub-administrative office; street address for the THPP staff residential unit(s) if applicable; and the THPP participant living units. 
(2) The licensee shall provide the licensing agency the business telephone number and the 24-hour emergency telephone number of the THPP licensee or designee. 
(3) Complete job descriptions of all THPP employees, including number of staff, classification, qualifications and duties, information regarding lines of authority and staff responsibilities. 
(4) A comprehensive program statement including: 
(A) Goals of the THPP. 
(B) Description of the youth to be served. 
(C) Admission criteria for THPP participants, as specified in Welfare and Institutions Code Section 16522.1(a). 
(D) Staff training plan shall include the following: 
1. Training new employees. 
2. Ongoing training. 
3. Training topics. 
4. Qualifications of the trainer. 
(E) Detailed plan for monitoring the THPP participants. 
(F) Procedures for responding to complaints and emergencies on a 24-hour basis. 
(G) Contract to be used between the THPP and the THPP participant. The contract shall include: 
1. The rights of each party; and 
2. Responsibilities of each party. 
(H) The procedures for determining the amount of allowance provided to each THPP participant, and the schedule for disbursement. 
(I) Procedures for payment or monitoring of utilities, telephone, and rent including the consequences for those participants who are unwilling or unable to meet their financial obligations or whose behavior is disruptive to the program and infringes on the rights of other participants in the program.
(J) Program policies, as specified in Welfare and Institutions Code Section 16522.1(h). 
(K) Description of proposed THPP participant living unit furnishings, and policy regarding disposition of furnishings when the THPP participant completes the program. 
(L) Procedures for evaluating the THPP participant's progress. 
(M) Description of linkages with Job Training Partnership Act programs. 
(5) Procedures for the development, review, implementation and modification of the needs and services plan for participants placed in the THPP. 
(6) Separate rules and program design for youth who are in the foster care system and for youth who are no longer in the foster care system, but who are participating in the THPP.
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1520, 1531 and 1559.110, Health and Safety Code; and Sections 11401 and 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (a)(4)(I), new subsection (a)(6) and amendment of Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86023. Emergency Plan.
Note     •     History

(a) THPP licensees are not subject to the provisions in Section 80023. Instead, THPP licensees are subject to the following and the following shall apply: 
(1) Each licensee shall develop and provide a current, emergency plan for the THPP participants. 
(2) The emergency plan shall include emergency information, instructions and telephone numbers, including a 24-hour emergency number for the licensee and the participant's responsible party. 
(3) The licensee shall ensure that each staff and resident understands and is capable of implementing the plan. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (a), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86024. Department Approval for Remote Site Model.
Note     •     History

(a) Unless prior written licensing agency approval is received as specified in Section 86024(b) below, no licensee may place a participant in a remote site model as described in Section 86001(t)(4)(C). 
(b) The licensing agency shall have the authority to approve the use of a remote site model after considering a written plan submitted by the licensee that ensures at least the following: 
(1) The remote site model shall be utilized with provisions for safe and adequate services, and shall not be detrimental to the health and safety of any participant. 
(2) The licensee shall submit a written request to utilize the remote site model together with the following supporting information: 
(A) Support may include, but is not limited to alternate and supplemental services, procedures, techniques, personnel, and staffing ratios that provide protective health and safety measures equal to those in the models described in Section 1559.110(d)(1) and (d)(2). 
(B) Support shall consider the individual characteristics and maturity of the participant that renders this model safe and consistent with the participant's TILP. 
(c) The licensing agency shall, within 30 days of receipt of a written request to utilize a remote site model, do one of the following: 
(1) Notify the licensee in writing that the written request is deficient and specify what additional information is needed; or 
(2) Notify the licensee in writing whether the written request was denied or approved. A denial shall specify the reason(s) for denial 
(d) If the written request is denied at a level below the Regional Manager, the licensee has the right to request review by the Regional Manager, within 15 days of the date of the denial. 
(e) The Regional Manager shall review the denial and respond in writing to the written request and uphold or overturn the denial within 30 days of receipt of the request for review. 
(f) If the Regional Manager upholds the denial, the licensee has the right, within 15 days of the date of the Regional Manager's denial, to request, in writing, a final review by the Program Administrator. 
(g) The Program Administrator shall review and respond in writing to approve or deny the request to overturn the denial within 30 days. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (a), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86028. Capacity Determination.
Note     •     History

(a) In addition to Section 80028, a license shall be issued for a specific capacity based on the licensee's available or projected THPP participant living units and the Plan of Operation. 
(b) A THPP licensee may request a change in capacity based upon the change in the number of available or projected THPP participant living units. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86030.5. Identification of Transitional Housing Placement Program Participant Living Units.
Note     •     History

(a) The administrator of the THPP, or his or her designee, shall complete and sign a Certificate of Compliance for each THPP participant living unit, as defined in Section 86001(c)(2), that verifies that the participant living unit meets the requirements of the Health and Safety Code Section 1501(b)(5). 
(b) The licensee shall retain this Certificate of Compliance for review by the Department. 
(c) The Certificate of Compliance shall include the following: 
(1) The capacity for which each THPP participant living unit has been certified. 
(2) Any limitations, including ambulatory status. 
(3) Date of issuance. 
(4) Date of expiration, not to exceed one year from the date of issuance. 
(5) Statement that each THPP participant living unit meets licensing requirements as specified in these regulations. 
(d) Prior approval shall be obtained by the licensee from the licensing agency when a remote site model is planned as part of the program. The approval required pursuant to Health and Safety Code Section 1559.110(d)(3) must be obtained prior to the issuance of a Certificate of Compliance for any remote site unit.
(e) A copy of the Certificate of Compliance shall be maintained in the licensee's administrative office. 
(f) Copies of the Certificate of Compliance shall also be maintained in the sub-administrative office responsible for the THPP participant living unit and/or the staff residential unit, if applicable 
(g) The Certificate of Compliance is not transferable and shall be void upon a change of location of the participant living unit. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1502 and 1559.115, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86031.5. Notification.
Note     •     History

(a) The licensee shall notify the licensing agency when a THPP participant living unit is approved for use, and when a THPP participant living unit is no longer used. 
(b) The licensee shall provide the licensing agency with a list of all current addresses and telephone numbers of all THPP participant living units and THPP staff residential units. The licensee shall provide the licensing agency an updated list whenever a change is made. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1531 and 1559.115, Health and Safety Code; and Section 16522, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (a), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86036. Application Processing And Annual License Fees.
Note     •     History

(a) The Department shall charge applicants and licensees fees in accordance with Health and Safety Code Section 1523.1. 
(b) The application-processing fee shall be nonrefundable except as provided in Government Code Section 13143. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1523.1 and 1524, Health and Safety Code; and Section 13143, Government Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (a), repealer of subsections (b)-(d)(2), subsection relettering, amendment of newly designated subsection (b) and amendment of Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
Article 4. Administrative Actions
§86044. Inspection Authority of the Licensing Agency.
Note     •     History

(a) In addition to Section 80044, the licensing agency has the authority to inspect the administrative office, sub-administrative office, the THPP participant living units, and the THPP staff residential units that also house or allow access to THPP participants, in compliance with Health and Safety Code Sections 1533, 1534 and 1538. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1509, 1526.5, 1531, 1533, 1534 and 1538, Health and Safety Code. 
HISTORY

1. New article 4 (sections 86044-86045) and section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 86044-86045) and section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86044.5. Decertification Authority of the Licensing Agency.
Note     •     History

(a) When the licensing agency determines that the THPP participant living unit is not in compliance with applicable statutes and regulations, the licensing agency may decertify the THPP participant living unit. 
(b) When the licensing agency determines that the THPP staff residential unit, which may house or allow access to THPP participants, is not in compliance with applicable statutes and regulations, the licensing agency may require the licensee to discontinue use of the staff residential unit. 
(c) The licensee may appeal the decertification to the Department in writing and be provided with an administrative hearing pursuant to Section 1551 of the Health and Safety Code. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1531, 1551 and 1559.115, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86045. Evaluation Visits.
Note     •     History

(a) The licensing agency shall have the authority to inspect the participant living unit used by the THPP as often as necessary to ensure the quality of care being provided. 
(b) The licensing agency shall select the participant living units to be inspected. 
(c) A representative of the THPP may accompany the licensing evaluator on an evaluation inspection. 
(1) For complaint investigations, the licensing agency shall determine whether to have a THPP representative accompany the licensing evaluator. 
(d) The THPP shall inform the THPP participant of the licensing agency authority to conduct inspections of the participant living unit as provided by Health and Safety Code Section 1534. 
NOTE

Authority cited: Section 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1509, 1530, 1533, 1534 and 1538, Health and Safety Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including new subsection (c)(1), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
Article 5. Enforcement Provisions (Reserved)
Article 6. Continuing Requirements
§86061. Reporting Requirements.
Note     •     History

(a) In addition to Section 80061, the following shall apply: 
(1) All THPP personnel, volunteers, licensees, and child care custodians are required to report suspected child abuse and neglect to a child protective agency and this licensing agency in accordance with Penal Code Section 11164 et seq. 
(A) All THPP personnel and volunteers, licensees, and child care custodians shall sign a statement acknowledging their reporting responsibilities. 
(2) The licensee shall notify the THPP participant's authorized representative and placement entity when it is necessary to relocate the participant. 
(3) The licensee shall notify the THPP participant's authorized representative and placement entity no later than the next working day when the participant has been removed from the THPP participant living unit under emergency circumstances without the authorized representative's participation. 
(A) Within three working days following relocation, the licensee shall notify the THPP participant's authorized representative and placement entity of the THPP participant's new address and telephone number. 
(4) The licensee shall notify the THPP participant's authorized representative and placement entity of all incidents reported to the licensing agency as required in Section 80061(b)(1)(A) through (J). 
(5) The licensee shall notify the licensing agency, within ten working days, of a change of administrator. The notification shall include the following: 
(A) The name and mailing and residence address of the new administrator; 
(B) Date the administrator assumed the position; 
(C) Verification of the administrator's required education, experience and qualifications. 
(6) The licensee shall report to the licensing agency, the participant's authorized representative, and placement entity within 24 hours, any unexplained absence of a THPP participant, unless otherwise specified in the participant's needs and services plan. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1531, 1538 and 1538.5, Health and Safety Code. 
HISTORY

1. New article 6 (sections 86061-86078) and section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 86061-86078) and section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (a)(4), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86064. Administrator Qualifications and Duties.
Note     •     History

(a) In addition to Section 80064, the following shall apply: 
(1) All licensees shall have an administrator who meets one of the following requirements: 
(A) Have a Master's Degree in a behavioral science from an accredited graduate school, as defined in Section 94302 of the Education Code, or a graduate program approved by the California Private Post-Secondary and Vocational Education Bureau, plus at least one year of administrative experience or supervisory experience over social work, child care, or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of six or more.
(B) Have a Master's Degree in a behavioral science from an accredited college or university, as defined in Section 94302 of the Education Code, plus two years of employment as a social worker, in an agency serving children or in a group residential program for children in an agency or in a community care facility with a licensed capacity of six or more.
(C) Have a Bachelor's Degree from an accredited college or university, as defined in Section 94302 of the Eduction Code, plus at least three years of administrative experience or supervisory experience over social work, child care, or support staff providing direct services to children in an agency or in a community care facility with a licensed capacity of six or more.
(2) The administrator shall be responsible for the operation of the THPP. 
(A) The administrator shall be present or readily available in the THPP during regular business hours (e.g. 8:00 a.m. to 5:00 p.m.). 
(B) When the administrator is absent during regular business hours, from the THPP, there shall be coverage by the administrator's designee. If the designee does not meet the administrator qualifications there shall be immediate access to the administrator or someone who meets the administrator requirements. The administrator's designee shall have: 
1. Knowledge of the THPP operations. 
2. Training in programs provided by the THPP. 
3. Authority to correct deficiencies that constitute immediate threats to the health and safety of children in the THPP. 
(3) Additional duties of the administrator shall include: 
(A) Appointing and dismissing staff. 
(B) Organizing and administering a program of staff development for all staff. 
(4) The administrator may also serve in another personnel capacity, provided he or she meets the applicable qualifications of both positions. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1531 and 1559.115, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of section and Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86065. Personnel Requirements.
Note     •     History

(a) In addition to Section 80065, excluding Subsections 80065(c) and (e) the following shall apply: 
(1) All THPP personnel shall, at a minimum, receive training that provides knowledge of and skill in the following areas, as evidenced by safe and effective job performance: 
(A) All THPP personnel shall complete a minimum of one-hour training in the area of child abuse identification and reporting. 
(2) All THPP personnel shall, at a minimum, receive training about the characteristics of persons 16-21 years of age, placed in long-term foster care pursuant to Welfare and Institutions Code Section 16522.1(c). 
(3) Training for all personnel shall address the child's right to have fair and equal access to all available services, placement, care, treatment, and benefits, and to not be subjected to discrimination or harassment on the basis of actual or perceived race, ethnic group identification, ancestry, national origin, color, religion, sex, sexual orientation, gender identity, mental or physical disability, or HIV status.
(4) The THPP shall employ personnel necessary to perform the duties as follows: 
(A) An administrator as specified in Section 86064. 
(B) A social work supervisor as specified in Section 86065.2. 
(C) Social work personnel as specified in Section 86065.3. 
(5) The THPP shall have qualified social work personnel available on a 24-hour basis to respond to any emergency. 
(6) The THPP shall employ or retain qualified consultants necessary to implement the plan of operation. 
(7) THPP personnel, who provide care and supervision of foster youth, shall be trained on existing laws and procedures regarding the safety of foster youth at school as specified in the California Student Safety and Violence Prevention Act of 2000. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Section 51, Civil Code; Sections 1501, 1506, 1529.2, 1531 and 1559.115, Health and Safety Code; Sections 16001.9 and 16522.1, Welfare and Institutions Code; and Article 3.6 (commencing with Section 32228) of Chapter 2 of Part 19 of Division 1 of Title 1 of the Education Code.
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsections (a)(1) and (a)(2) and amendment of Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
4. New subsection (a)(3), subsection renumbering and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
5. New subsection (a)(7) and amendment of Note filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
§86065.2. Social Work Supervisor.
Note     •     History

(a) Each social work supervisor in a THPP shall be responsible for, but not limited to, the following duties: 
(1) Orientation and training of new social work personnel. 
(2) Review and oversight of assigned social work personnel to ensure compliance with applicable laws, regulations, policies and procedures. 
(b) Social work supervisors shall meet the following education and experience requirements: 
(1) A Master's Degree from an accredited graduate school, as defined in Section 94302 of the Education Code, or a graduate program approved by the California Private Post-Secondary adn Vocational Education Bureau in one or more of the following areas: 
(A) Social work or social welfare; 
(B) Marriage, family and child counseling; 
(C) Child psychology, child development; 
(D) Counseling psychology, social psychology; 
(E) Clinical psychology or Educational psychology, consistent with the scope of practice as described in Section 4986.10 of the Business and Professions Code; 
(F) Education with a counseling emphasis; or 
(G) Equivalent Master's Degree in human services or behavioral science degree as determined by the Department. 
(2) In addition to the degree specifications, all of the following coursework and field practice or experience shall be completed prior to employment: 
(A) At least three semester units or 100 days of internship, field practice or experience in a public or private social service agency setting at the Master's Degree level. 
(B) At least nine semester units of coursework related to children and families or 18 months experience working with children and families. 
(C) At least three semester units in working with minority populations; or six months of experience in working with minority populations; or six months in-service training in working with minority populations within the first year of employment as a condition of employment. 
(D) At least three semester units in child welfare, or two years experience in a public or private child welfare social services setting. 
(3) Three years of full-time social work or casework employment in the field of family or child welfare services. 
(c) Documentation of the completed education and experience requirements shall be maintained in the personnel file. 
(d) The licensing agency may approve a waiver of this section when a county is the licensee and county department of social services or probation department personnel performs the duties of the social work supervisor. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1506, 1531 and 1559.115, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (b)(1) and amendment of Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86065.3. Social Work Personnel.
Note     •     History

(a) Social work personnel shall be employed to provide the social services of the THPP. 
(b) Social work personnel shall meet the following education and experience requirements: 
(1) Master's Degree from an accredited graduate school, as defined in Section 94302 of the Education Code or a graduate program approved by the California Private Post-Secondary and Vocational Education Bureau, in one of the following areas: 
(A) Social work or social welfare; 
(B) Marriage, family and child counseling; 
(C) Child psychology, child development; 
(D) Counseling psychology, social psychology; 
(E) Clinical psychology or Educational psychology, consistent with the scope of practice as described in Section 4986.10 of the Business and Professions Code; 
(F) Education with an emphasis on counseling; or 
(G) Equivalent Master's Degree in human services or behavioral science degree as determined by the Department. 
(c) In addition to the degree specifications, all of the following coursework and field practice or experience shall be completed prior to employment: 
(1) At least three semester units or 100 days of field practice or experience in a public or private social service agency setting at the Master's Degree level. 
(2) At least nine semester units of coursework related to children and families or 18 months of experience working with children and families. 
(3) At least three semester units in working with minority populations; or six months of experience in working with minority populations; or six months in-service training in working with minority populations within the first year of employment as a condition of employment. 
(4) At least three semester units in child welfare, or two years of experience in a public or private child welfare social services setting. 
(d) Documentation of the required education and experience requirements shall be maintained in the personnel file. 
(e) For social work personnel who do not meet the Master's Degree requirements specified in Section 86065.3(b)(1) above, the licensee may apply to the Department for an exception, if all of the following exist: 
(1) A supervisor who meets the requirements of Section 86065.2 supervises the social work personnel. 
(2) The social work personnel have completed the coursework and field practice or experience requirements specified in Section 86065.3 (c) above. 
(3) The personnel in question have at least a Baccalaureate Degree in a human services or a behavioral science from an accredited school. 
(f) Social work personnel shall be responsible for the following: 
(1) Evaluation and assessment of the eligible youth for participation in the THPP program. 
(2) Supervision of the placement of participants in the THPP participant living unit. 
(3) Development and updating of the needs and services plan of THPP participants. 
(4) Provision of support services to THPP participants. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1506, 1531 and 1559.115, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of section and Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86065.4. Social Work Supervisor/Social Worker Ratio.
Note     •     History

(a) The THPP shall employ: 
(1) One full-time social work supervisor for every eight social workers, or fraction thereof. 
(2) A social work supervisor may function as a social worker when fewer than eight social workers are supervised and the supervisor shall be allowed to carry only three cases in place of supervising one social worker. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86065.5. Social Worker Ratios.
Note     •     History

(a) The THPP shall have a social worker on call 24 hours per day.
(b) The THPP shall employ the equivalent of one full-time social worker for every 25 participants.
(c) Regardless of how many THPPs or other facilities a social worker is employed by, his or her entire caseload shall not exceed 25. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 16522, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of section, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86066. Personnel Records.
Note     •     History

(a) In addition to Section 80066, the following shall apply: 
(1) The THPP shall maintain the following personnel records: 
(A) Documentation that THPP personnel have completed the required training. 
(B) Documentation that THPP personnel meet the education and experience requirements. 
(C) A record of THPP personnel annual performance evaluations. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86068.1. Intake Procedures.
Note     •     History

(a) The THPP shall develop, maintain and implement intake procedures that meet the requirements specified in Welfare and Institutions Code Section 16522.1. 
(b) Upon placement, THPP social work personnel shall obtain the following: 
(1) The needs and services plan and transitional independent living plan (TILP) as specified in Section 86068.2; 
(2) Other information specified in Section 80070; 
(3) Signed admission agreement, as specified in Section 80068. 
(c) THPP social work personnel shall review the information and determine: 
(1) The THPP's ability to meet the individual needs of the participant; 
(2) The THPP's ability to continue meeting the needs of other participants in placement. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1507 and 1559.110, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86068.2. Needs and Services and Transitional Independent Living Plan (TILP).
Note     •     History

(a) At the time of placement, the THPP social work personnel in consultation with the authorized representative shall commence a needs and services plan for each participant. The needs and services plan describes the following: 
(1) Participant's name; 
(2) Age; 
(3) Physical limitations; 
(4) History of infections or contagious diseases; 
(5) History of other medical, emotional, behavioral and physical problems; 
(6) Ability of participant to manage his or her own cash resources; 
(7) Visitation, including limitations on visits to the family residence and other visits inside and outside the transitional housing unit; 
(8) Limitations on written and telephonic communication, if ordered by a court; 
(9) Current service needs; 
(10) Planned length of placement. 
(11) Any applicable collateral needs appraisals or individualized program plans completed by the placement agency or consultant. 
(12) Plans for providing services to meet the individual needs identified above. 
(13) Signature of the participant's authorized representative. 
(14) Signature of the participant. 
(b) Social work personnel shall obtain and utilize the TILP in completing the needs and services plan. 
(1) If the THPP is unable to obtain the TILP, the participant's file shall document the efforts to obtain the TILP. 
(c) The needs and services plan shall be completed within 30 calendar days from the date of placement in the transitional housing unit. 
(d) The THPP shall provide the participant and his/her authorized representative with a copy of the modified needs and services plan. 
(e) Unless restricted by the case plan adopted by the court or other court order, connections between the participant and the participant's family and non-relative extended family members shall be permitted. Nothing in this section shall be interpreted to require a foster care provider to take any action that would impair the health and safety of children in out-of-home placement.
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1507, 1531 and 1559.110, Health and Safety Code; Sections 366.1, 366.21, 16001.9 and 16522.1, Welfare and Institutions Code; and Sections 675 and 677, Title 42 United States Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsections (a) and (a)(8) and amendment of Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
4. New subsection (e) and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§86068.3. Modifications to Needs and Services and  Transitional Independent Living Plans.
Note     •     History

(a) The needs and services plan and TILP specified in Section 80068.2 shall be reviewed at least every six months to determine the following: 
(1) The participant's need for continuing services; 
(2) The need for modification in services. 
(A) All needs for modification shall be documented in writing. 
(B) If it is determined that the TILP requires modification, THPP social work personnel shall contact the participant's authorized representative to request a new TILP. 
(b) The licensee shall ensure the participant and his or her authorized representative are offered the opportunity to participate in each review. 
(1) Modifications of the needs and services plan shall not be implemented unless prior written approval of the plan has been obtained from the participant's authorized representative. 
(c) The THPP shall provide the participant and his/her authorized representative with a copy of the modified needs and services plan. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1507, 1531 and 1559.110, Health and Safety Code; Section 16522.1, Welfare and Institutions Code; and Title 42 U.S.C., Sections 675 and 677, Social Security Act. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86068.4. Removal and/or Discharge Procedures.
Note     •     History

(a) The licensee shall develop, maintain and implement written policies and procedures governing a THPP participant's removal and/or discharge from a THPP. 
(1) Pursuant to Welfare and Institutions Code Section 16522.1(h)(21), grounds for termination may include, but shall not be limited to, illegal activities or harboring runaways. 
(b) The licensee shall ensure the participant and his/her authorized representative are offered the opportunity to participate in the development of a discharge plan for the participant. 
(1) The THPP shall provide the participant and his/her authorized representative with a copy of the discharge plan. 
(c) When the licensee determines the THPP can no longer meet the needs of the participant, the licensee shall notify the authorized representative of the determination and provide written notification that the participant shall be removed within seven days. 
(d) THPP personnel shall not prevent the removal of the participant from the THPP participant living unit under emergency circumstances by an authorized representative. 
(1) Emergency circumstances include but are not limited to: 
(A) Removal by law enforcement officer(s) when a participant is arrested or when the participant in the home is endangered by his/her continued presence in the home; 
(B) Removal for emergency medical or psychiatric care; 
(C) Relocation by the participant's authorized representative. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86070. Participant Records.
Note     •     History

(a) In addition to Section 80070, the following shall apply: 
(b) Each THPP participant's record shall contain at least the following: 
(1) Copy of important documents, including but not limited to a certified birth certificate; a social security card; an identification card and/or driver's license; a proof of citizenship or residency status (for undocumented aliens, receipt of a completed application for Special Immigrant Juvenile Status (SIJ) pursuant to 8 C.F.R. Section 204.11 or other naturalization process); death certificate(s) of parent or parents; a proof of county dependency status for education aid applications; school records; immunization records; medical records; a Health and Education Passport; a work permit; written information concerning the child's dependency case including: information about the child's family history; the child's placement history; the names, phone numbers and addresses of siblings and other relatives; the procedures for inspecting the documents described under Welfare and Institutions Code Section 827; information regarding jurisdiction termination hearings and the potential consequences of a failure to attend.the participant's birth certificate, if available. 
(2) Date of placement in the THPP participant living unit. 
(3) Name, address and telephone number of person(s) to be contacted in an emergency when the participant's authorized representative cannot be contacted. 
(4) Name of the participant's current employer and current phone number and address of employment. 
(5) Written consent that authorizes the licensee to obtain other than ordinary medical and dental care in an emergency when the authorized representative is unavailable. 
(6) Names of all persons specifically prohibited pursuant to Welfare and Institutions Code Sections 16001.9(a)(6) and (7) to take the participant out of the THPP participant living unit. 
(7) Religious preference and the name and address of clergyman or religious advisor if any. 
(8) A copy of the participant's needs and services plan and TILP and any modifications. 
(9) A record of the continuing health needs and services received while the participant is in the THPP, including but not limited to, physical therapy and counseling. 
(c) A copy of the participant's child(ren)'s record shall be maintained in the THPP office and staff residential unit, if applicable. 
(d) When the participant is transferred from the program, the original or photographic reproduction of the participant's and the participant's child(ren)'s record shall be: 
(1) Given to the participant's primary placing agency, and; 
(2) A copy to any other participant authorized representative, if applicable, and; 
(3) The participant. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1507 and 1531, Health and Safety Code; Sections 16001.9 and 16522.1, Welfare and Institutions Code; and Title 42 U.S.C., Sections 675 and 677, Social Security Act. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (b)(6) and amendment of Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86072. Personal Rights.
Note     •     History

(a) THPP licensees are not subject to the provisions in Section 80072. Instead, THPP licensees are subject to the following and the following shall apply: 
(b) The licensee shall ensure that each participant is accorded the personal rights specified in this section. 
(c) Each participant, and his/her authorized representative, shall be personally advised and given at admission a copy of the rights specified below. 
(d) Each participant shall have personal rights, which include but are not limited to the following: 
(1) To be accorded the greatest level of independence consistent with safety and the participant's ability and maturity level as outlined in the participant's Needs and Services Plan or TILP in order to prepare the participant for self-sufficiency. 
(2) To be accorded safe, healthful and comfortable home accommodations, furnishings and equipment that are appropriate to his/her needs. 
(3) To be treated with respect and to be free from physical, sexual, emotional or other abuse in accordance with Section 86072(d)(5). 
(A) Clothing and personal items provided shall be in accordance with Section 84072(c)(16).
(4) To be free from corporal or unusual punishment, infliction of pain, humiliation, intimidation, ridicule, coercion, threat, mental abuse, or other actions of a punitive nature including but not limited to interference with the daily living functions of eating, sleeping, or toileting, or withholding of shelter, clothing, or aids to physical functioning. 
(5) To have fair and equal access to all available services, placement, care, treatment, and benefits, and to not be subjected to discrimination or harassment on the basis of actual or perceived race, ethnic group identification, ancestry, national origin, color, religion, sex, sexual orientation, gender identity, mental or physical disability, or HIV status.
(6) To receive necessary medical, dental, vision, and mental health services. 
(7) To contact Community Care Licensing Division of the State Department of Social Services regarding violations of rights, to speak to representatives of the office confidentially and to be free from threats or punishments for making complaints. 
(8) To have social contacts with people outside of the foster care system, such as teachers, church members, mentors and friends, in accordance with Section 86072(d)(5). 
(9) To contact family members, unless prohibited by court order. 
(10) To visit and contact brothers and sisters, unless prohibited by court order. 
(11) To contact social workers, attorneys, foster youth advocates and supporters, Court Appointed Special Advocates (CASA), and probation officers. 
(12) To have visitors, provided the rights of others are not infringed upon. 
(13) To attend religious services and activities of his or her choice. 
(14) To be free to attend court hearings and speak to the judge. 
(15) To have all his/her juvenile court records be confidential, consistent with existing law. 
(16) To be accorded dignity in his/her personal relationships with other persons in the home. 
(A) To be free from unreasonable searches of person. 
(B) To be free from unreasonable searches of personal belongings. 
(17) To have visitors as specified by the licensee's policies, in accordance with Welfare and Institutions Code Section 16522.1(h), including: 
(A) Relatives, including parents unless prohibited by court order or by the participant's authorized representative. 
(B) Authorized representative and placing agency. 
(C) Other visitors unless prohibited by court order or by the participant's authorized representative or placing agency. 
(18) To possess and control his/her own cash resources unless otherwise agreed to in the participant's needs and services or TILP and by the participant's placing agency and authorized representative. 
(19) To possess and use his/her own personal possessions, including toilet articles. 
(A) Clothing and personal items provided shall be in accordance with Section 86072(d)(5).
(20) To have access to a telephone to make and receive confidential calls. 
(21) To send and receive unopened correspondence. 
(22) To have access to existing information regarding available educational options, including, but not limited to, coursework necessary for vocational and postsecondary educational programs, and financial aid information for these programs.
(23) In addition to the personal rights as specified in this section, all participants shall be entitled to all personal rights specified in Welfare and Institutions Code Section 16001.9. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code; and Section 16522, Welfare and Institutions Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Sections 16001.9, 16500 and 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsections (a) and (d)(1), repearler of subsections (d)(19)(A)-(B) and amendment of Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
4. Amendment of section and Note filed 1-17-2007; operative 2-16-2007 (Register 2007, No. 3).
§86072.1. Educational Options.
Note     •     History

(a) The licensee shall allow access to existing information regarding available vocational and postsecondary educational options as specified in Section 86072(d)(22). The information may include, but is not limited to, any of the following:
(1) Admission criteria for universities, community colleges, trade or vocational schools and financial aid information for these schools;
(2) Informational brochures on postsecondary or vocational schools/programs;
(3) Campus tours;
(4) Internet research on postsecondary or vocational schools/programs, sources of financial aid, independent living skills program offerings, and other local resources to assist youth;
(5) School sponsored events promoting postsecondary or vocational schools/programs; and
(6) Financial aid information, including information about federal, state and school-specific aid, state and school-specific scholarships, grants and loans, as well as aid available specifically to current or former foster youth and contact information for the Student Aid Commission.
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 16001.9, Welfare and Institutions Code.
HISTORY

1. New section filed 1-17-2007; operative 2-16-2007 (Register 2007, No. 3).
§86073. Telephone Service.
Note     •     History

(a) In addition to Section 80073 the following shall apply: 
(1) The licensee shall ensure that the THPP administrative office, sub-administrative office, staff residential living unit and the participant living unit have telephone service on the premises at all times. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86074. Transportation.
Note     •     History

(a) In addition to Section 80074, the following shall apply: 
(1) When transporting participants, the licensee shall ensure the participants and the participant's children are secured in a safety restraint system in accordance with Vehicle Code Sections 27315(e) and 27360(a).
(2) The licensee and his/her staff are prohibited from smoking, or permitting any person from smoking a pipe, cigar or cigarette containing tobacco or any other plant in a motor vehicle when minor children are present. This prohibition applies when the motor vehicle is moving or at rest.
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1531 and 118948, Health and Safety Code; Section 16522.1, Welfare and Institutions Code; and Sections 27315 and 27360, Vehicle Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of section and amendment of Note, transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
4. New subsection (a)(2) and amendment of Note filed 2-4-2010; operative 3-6-2010 (Register 2010, No. 6).
§86075. Health-Related Services.
Note     •     History

(a) THPP licensees are not subject to the provisions in Section 80075. Instead, THPP licensees are subject to the following and shall ensure that:
(b) Each THPP participant shall receive all necessary medical, dental, vision and mental health services. 
(c) The THPP participant's physician has stated, in writing, that the THPP participant is able to determine and administer his/her own prescription or nonprescription PRN medication. 
(d) First aid supplies shall be maintained in the THPP participant living unit and staff residential unit. 
(1) Supplies shall include at least the following: 
(A) Current edition of a first aid manual approved by the American Red Cross, the American Medical Association or a state or federal health agency. 
(B) Sterile first aid dressings. 
(C) Bandages or roller bandages. 
(D) Adhesive tape. 
(E) Scissors. 
(F) Tweezers. 
(G) Thermometers. 
(H) Antiseptic solution. 
(2) THPP employees responsible for providing direct care and supervision of participants shall receive training in CPR and First Aid, and should maintain an age appropriate certification in CPR from persons qualified to provide such training. 
(3) Participants with children residing in the living unit shall receive training in First Aid and an age appropriate CPR from persons qualified to provide such training. 
(4) Proof of successful completion of training and current certification shall be maintained in the personnel and participants' records. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1507, 1522.42 and 1531, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsections (a)-(b), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86078. Responsibility for Providing Care and Supervision.
Note     •     History

(a) THPP licensees are not subject to the provisions in Section 80078. Instead, THPP licensees are subject to the following and the following shall apply:
(1) The licensee shall provide those services identified in the THPP participant's needs and services plan and transitional independent living plan as necessary to meet the participant's needs. 
(2) The licensee is responsible for ensuring that the THPP participant provides care and supervision for the participant's child(ren). 
(3) No social work staff shall have participants who are located more than two hours' travel by automobile from the THPP office in their caseload. 
(b) The licensing agency retains the authority to require additional staff, including social workers when the agency determines it is necessary to provide for the appropriate care and supervision of the participants. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1507, 1531 and 1559.110, Health and Safety Code; Section 16522.1, Welfare and Institutions Code; and Title 42 U.S.C., Sections 675 and 677, Social Security Act. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsections (a) and (a)(2), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
Article 7. Physical Environment
§86087. Buildings and Grounds.
Note     •     History

(a) THPP licensees are not subject to the provisions in Section 80087. Instead, THPP licensees are subject to the following and the following shall apply:
(1) The licensee shall ensure the THPP participant living unit meets, at a minimum, the following requirements: 
(A) No more than two THPP participants shall share a bedroom. 
(B) THPP participants of the opposite sex shall not share a bedroom. 
(C) No area commonly used for other purposes shall be used as a bedroom. 
(1) Such areas include but are not limited to halls, stairways, unfinished attics or basements, garages, storage areas or sheds, or similar detached buildings. 
(D) No bedroom shall be used as a public or general passageway to another room. 
(1) When the THPP participant living unit is a studio apartment, the licensing agency may grant an exception pursuant to Section 80024(b) only when the studio apartment is occupied exclusively by the THPP participant, or the participant and his or her own child(ren). 
(b) A THPP participant may share a bedroom with his or her own child(ren), regardless of the ages of the participant and his or her own child(ren). 
(1) THPP participants shall not share a bedroom with an adult who is not a THPP participant unless the adult is a THP-Plus participant. 
(2) The licensing agency may approve an exception when all of the following conditions are met: 
(A) Two minor THPP participants have been sharing a bedroom and one of the participants turns 18 years of age; 
(B) One of the participants otherwise meets all of the requirements of Welfare and Institutions Code Section 11403; 
(C) Both are participants; 
(D) The participants remain compatible. 
(3) Subsections 86087(a)(1)(A) through 86087(b)(4) apply to all bedrooms used by all persons residing in the THPP, including the participants in placement and their own children, and the THPP employees. 
(4) THPP employees shall not share a bedroom with THPP participants. 
(c) When a THPP participant has a disability, the licensee shall make necessary specific provisions, including but not limited to, alterations to the building and grounds as required to protect and to assist the participant and maximize the participant's potential for self sufficiency. 
(d) Notwithstanding Section 80087(h), firearms and other weapons shall not be stored in the THPP participant living units. 
(e) Notwithstanding Section 80087(h), disinfectants, cleaning solutions, poisons and other items that could pose a danger when accessible shall be stored where inaccessible when the following conditions exist: 
(1) The child(ren) of a THPP participant resides in the THPP participant living unit; or, 
(2) When required by a participant's needs and services plan. 
(f) The licensee shall prohibit smoking in the facility and on the grounds of the facility.
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501, 1531 and 1559.110, Health and Safety Code; Section 16522.1, Welfare and Institutions Code; and “The Health Consequences of Involuntary Exposure to Tobacco Smoke”: A Report of the Surgeon General (2006).
HISTORY

1. New article 7 (sections 86087-86088) and section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New article 7 (sections 86087-86088) and section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsections (a) and (b), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
4. New subsection (f) and amendment of Note filed 2-4-2010; operative 3-6-2010 (Register 2010, No. 6).
§86087.1. Administrative Office/Sub-Administrative Offices.
Note     •     History

(a) The THPP licensee shall maintain an administrative office that provides privacy for confidential interviews. 
(1) All participant records shall be maintained in a secure area or locked file cabinets in the administrative office. 
(2) Copies of confidential records maintained in a THPP staff residential unit shall be kept in a secure area or in a locked file cabinet. 
(b) The administrative office shall maintain the following records: 
(1) Participant records; 
(2) Personnel records; and 
(3) Listing of all THPP participants and living units. 
(c) The administrative office shall not be located more than two hours' travel by automobile from the THPP participant living units. 
(d) A sub-administrative office shall meet all of the same requirements of Sections 86087.1(a) through (c) above. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsections (b)(3) and (d), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
§86088. Fixtures, Furniture, Equipment and Supplies.
Note     •     History

(a) THPP licensees are not subject to the provisions in Section 80088. Instead, THPP licensees are subject to the following and the following shall apply:
(1) The licensee shall ensure that each THPP participant living unit and the THPP staff residential unit which also may house or allow access to THPP participants, has at least one toilet, sink and tub or shower, all in working order. 
(2) The licensee shall ensure that each THPP participant and his or her minor child(ren) are provided with household essentials including, but not limited to: cooking utensils, furniture, equipment, supplies, and linens. 
(A) All of the essential items above shall be age and developmental stage appropriate to the participants and his/her children as applicable. 
NOTE

Authority cited: Sections 1530 and 1559.110, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code; and Section 16522.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-27-2003 as an emergency; operative 10-27-2003 (Register 2003, No. 44). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 4-26-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). Pursuant to section 13 of Assembly Bill No. 427 (Stats. 2001, ch. 125) this regulatory action and its first readoption are deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL, and remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-25-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (a), transmitted to OAL 9-22-2004 and filed 11-4-2004 (Register 2004, No. 45). 
Chapter 7.3. Crisis Nurseries
Article 1. General Requirements and Definitions
§86500. General.
Note     •     History

(a) A Crisis Nursery, as defined in Section 86501(c), shall be governed by the provisions specified in Chapter 7.3. 
(b) The provisions of Chapter 1, General Licensing Requirements shall not apply to Chapter 7.3, Crisis Nurseries. 
(c) The provisions of Chapter 7.3 shall remain in effect until January 1, 2014, unless a statute is enacted before January 1, 2014, which deletes or extends that date. 
NOTE

Authority cited: Sections 1516(k) and 1530, Health and Safety Code. Reference: Sections 1501, 1502 and 1516, Health and Safety Code. 
HISTORY

1. New chapter 7.3 (articles 1-7, sections 86500-86588), article 1 (sections 86500-86501) and section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New chapter 7.3 (articles 1-7, sections 86500-86588), article 1 (sections 86500-86501) and section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2007, No. 32).
4. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
5. New chapter 7.3 (articles 1-7, sections 86500-86588), article 1 (sections 86500-86501) and section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 8-7-2007 order, including amendment of section and Note, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
7. Amendment of subsection (c) and Note filed 9-29-2011; operative 10-29-2011 (Register 2011, No. 39).
§86501. Definitions.
Note     •     History

(a)(1) “Accredited schools, colleges or universities, including correspondence courses offered by the same,” means those educational institutions or programs granted public recognition as meeting established standards and requirements of an accrediting agency authorized by the U.S. Secretary of Education. 
(A) Authorized accrediting agencies include the Accrediting Commission, National Home Study, the Accrediting Bureau of Health Education Schools, the Association of Independent Colleges and Schools, the National Association of Trade and Technical Schools, and the Western Association of Schools and Colleges.
(2) “Administrator” means the adult designated by the licensee who meets the requirements of Section 86564 to act in the licensee's behalf in the overall management of the crisis nursery. 
(A) “Administrator Designee means a lead caregiver as specified in Section 86565(p) designated by the administrator to act on his or her behalf in the overall management of the crisis nursery. 
(3) “Adult” means a person who is 18 years of age or older. 
(4) “Applicant” means any corporation specified in Health and Safety Code Section 1516(b), that has made an application for licensure of a crisis nursery. 
(5) “Approved schools, colleges or universities, including correspondence courses offered by the same,” means those approved/authorized by the U.S. Department of Education, Office of Postsecondary Education or by the California Department of Consumer Affairs, Bureau for Private Postsecondary and Vocational Education. 
(6) “Authorized Representative” means any person or entity authorized by law to act on behalf of any child. Such person or entity may include, but not be limited to, a minor's parent, a legal guardian, or a public placement agency. 
(b)(1) “Basic Rate” means the rate charged by the crisis nursery to provide basic services. 
(2) “Basic Services” means those services required by applicable law and regulation to be provided by the licensee in order to obtain and maintain a crisis nursery license. 
(c)(1) “California Clearance” means an individual has no felony or misdemeanor convictions reported by the California Department of Justice. However, the individual may have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(2) “Capacity” means the maximum number of children authorized to be provided care and supervision at any one time in a crisis nursery. 
(3) “Care and Supervision” means one or more of the following activities provided by a person or the crisis nursery to meet the needs of the children: 
(A) Assistance in feeding, dressing, grooming, bathing and other personal hygiene. 
(B) Assistance with taking medication, as specified in Section 86575(b). 
(C) Central storing and/or distribution of medications, as specified in Section 86575(b). 
(D) Arrangement of and assistance with medical, dental, and vision care including transportation, as specified in Section 86575(a). 
(E) Maintenance of house rules for the protection of children. 
(F) Supervision of children's schedules and activities. 
(G) Maintenance or supervision of children's cash resources or property. 
(H) Monitoring food intake or special diets. 
(I) Providing basic services as defined in Section 86501(b). 
(4) “Caregiver” means a crisis nursery staff person who performs the duties and responsibilities as specified in section 86565.2, Personnel Duties, for no more than three specific children under the age of six. 
(5) “Child” means a person who is under 6 years of age who is being provided care and supervision in a crisis nursery, except where specified otherwise in Chapter 7.3. 
(6) “Child Abuse Central Index” (CACI) means the California Department of Justice maintained statewide, multi-jurisdictional, centralized index of child abuse investigation reports. These reports pertain to alleged incidents of physical abuse, sexual abuse, mental/emotional abuse and/or severe neglect. Each child protection agency (police, sheriff, county welfare and probation departments) is required by law to forward to the California Department of Justice a report of every child abuse incident it investigates, unless an incident is determined to be unfounded. 
(7) “Child Abuse Central Index Clearance” means that the California Department of Justice has conducted a name search of the index and the search did not result in a match or the search resulted in a match but the California Department of Social Services determined after an investigation that the allegation of child abuse or neglect was not substantiated. 
(8) “Child with Special Health Care Needs” means a child who meets the requirements of Welfare and Institutions Code Section 17710(a). 
(9) “Community Care Facility” means any facility, place or building where non-medical care and supervision, as defined in Section 86501(c) are provided. 
(10) “Complaint” means any notice of an alleged violation of any applicable regulation in Chapter 7.3 or state statute, including, but not limited to, the Penal Code. 
(11) “Completed Application” means: 
(A) The applicant has submitted and the Department has received all required materials, including: an approved fire clearance from the appropriate fire authority having jurisdiction, a Child Abuse Central Index clearance, and a criminal record clearance or a criminal record exemption on the individuals specified in Section 86519(c). 
(B) The Department has completed a site visit to the crisis nursery. 
(12) “Control of Property” means the right to enter, occupy, and maintain the operation of the crisis nursery property within regulatory requirements. Evidence of control of property may include, but is not limited to the following: 
(A) A Grant Deed showing ownership; or 
(B) A lease agreement or rental agreement; or 
(C) A court order or similar document which shows the authority to control the property pending outcome of a probate proceeding or an estate settlement. 
(13) “Conviction” means: 
(A) A criminal conviction in California; or 
(B) Any criminal conviction of another state, federal, military or other jurisdiction, which if committed or attempted in California, would have been punishable as a crime in California. 
(14) “County Placement” means a child who is in the protective custody of the county and placed directly by the county child welfare services agency. 
(15) “Criminal Record Clearance” means an individual has a California clearance and an FBI clearance. 
(16) “Crisis Nursery” means a facility licensed by the Department pursuant to Health and Safety Code Section 1516 to provide short-term, 24-hour non-medical residential care and supervision for children under six years of age, who are either: 
(A) Voluntarily placed, as defined in Section 86501(v), by a parent or legal guardian due to a family crisis or a stressful situation, for no more than 30 days, or 
(B) Temporarily placed by the county child welfare services agency, as defined Section 86501(c), for no more than 14 days, unless the Department issues an exception. 
(17) “Crisis Day Care” means any place or building licensed as a crisis nursery in which child day care services are provided to children under six years of age for less than 30 calendar days in a six-month period for families in crisis or experiencing a stressful situation. 
(d)(1) “Deficiency” means any failure to comply with any provision of the Community Care Facilities Act (Health and Safety Code, Section 1500 et seq.) or regulations in Chapter 7.3.
(2) “Department” means the California Department of Social Services. 
(3) “Developmental Disability” means a disability as defined in Welfare and Institutions Code Section 4512(a).
(4) “Director” means the director of the California Department of Social Services. 
(5) “Disability” means a condition that makes a child developmentally disabled, mentally disordered or physically handicapped, and for whom special care and supervision is required as a result of his/her condition. 
(e)(1) “Exception” means a written authorization issued by the Department to use alternative means that meet the intent of a specific regulation(s) and which are based on the unique needs or circumstances of a specific child(ren) or staff person(s). Exceptions are granted for particular children or staff person(s) and are not transferable or applicable to other children, staff person(s), facilities or licensees. 
(2) “Exemption” means an exception to the requirements of Health and Safety Code Section 1522 and applicable regulations.
(f)(1) “Federal Bureau of Investigation (FBI) Clearance” means an individual has no felony or misdemeanor convictions reported by the FBI. However, the individual may have been arrested with no criminal conviction, convicted of a minor traffic offense, or adjudicated as a juvenile. 
(2) “Family Crisis or Stressful Situation” means a crucial time or an unstable situation that has reached a critical phase where the parent or legal guardian has made a determination that temporary out-of-home care is in the child's best interest and is necessary for the parent or legal guardian to fulfill other responsibilities to improve or maintain the parenting function. 
(g)(1) “Guardian” means a person appointed pursuant to Probate Court Section 1514 or Welfare and Institutions Code Section 360 to care for the person, or estate, or the person and estate of another. 
(h) (Reserved) 
(i)(1) “Incident Report” means a report required by the Department as specified in Section 86561, Reporting Requirements. 
(2) “Infant” means a child under two years of age. 
(3) “Initial Assessment Plan” means a time-limited, goal-oriented written plan implemented by the licensee that identifies the specific needs of an individual child and the child's family, including those items specified in Section 86568.2, Initial Assessment Plan, and delineates those services necessary to meet those needs. 
(j) (Reserved) 
(k) (Reserved) 
(l)(1) “Lead Caregiver” means a person who meets the education, experience and training requirements specified in Section 86565(q) and (r) and is on the premises at all times when children are present and has the authority and responsibility necessary to manage and control the day-to-day operation of a crisis nursery. 
(2) “License” means written authorization to operate a crisis nursery to provide care and supervision. The license is not transferable. 
(3) “Licensee” means the corporation, having the authority and responsibility for the operation of a crisis nursery. 
(4) “Licensing Agency” means the California Department of Social Services. 
(5) “Licensing Program Analyst” (LPA) means any person who is a duly authorized officer, employee or agent of the Department. 
(m)(1) “Medical Professional” means an individual who is licensed or certified in California to perform the necessary medical procedures within his/her scope of practice. This includes, but is not limited to, Medical Doctor (MD), Registered Nurse (RN) and Licensed Vocational Nurse (LVN). 
(n)(1) “Nonambulatory Person” means a person as defined in Health and Safety Code Section 13131. 
(A) A person who uses postural supports as specified in Section 86572(a)(18) is deemed nonambulatory. 
(B) A person is not deemed nonambulatory solely because he/she is deaf, blind, or prefers to use a mechanical aid. 
(o) (Reserved) 
(p)(1) “Physician” means a person licensed as a physician and surgeon by the Medical Board of California or by the Osteopathic Medical Board of California. 
(2) “Placement agency” is defined in Health and Safety Code Section 1536.1(a). 
(3) “PRN Medication” (pro re nata) means any nonprescription or prescription medication that is to be taken as needed. 
(q) (Reserved) 
(r)(1) “Rehabilitation” means the efforts to reestablish good character since the date of the last conviction, including but not limited to education, counseling or therapy, training, stable employment, restitution, remorse, changes in lifestyle, or community service. 
(2) “Relative” means spouse, domestic partner as defined in Family Code Section 297, parent, stepparent, son, daughter, brother, sister, stepbrother, stepsister, half-brother, half-sister, uncle, aunt, niece, nephew, first cousin or such person denoted by the prefix “grand” or “great” or the spouse or domestic partner of any of these persons, even after the marriage has been terminated by death or dissolution. 
(3) “Responsible person” means that individual or individuals, including a relative, health care surrogate decision maker, or placement agency, that assists the child or prospective child in placement or assumes varying degrees of responsibility for the child's well-being. A responsible person cannot act on behalf of a child unless authorized by law. 
(s)(1) “Serious Deficiency” means any deficiency that presents an immediate or substantial threat to the physical health, mental health or safety of any child in a crisis nursery. 
(2) “Simplified Exemption” means an exemption granted on the Department's own motion, as authorized in Health and Safety Code Section 1522(c)(4), if the individual's criminal history meets specific criteria established by Department regulation. 
(3) “Social Worker” means a person who has a graduate degree from an accredited school of social work or social welfare. 
(4) “Substantial Compliance” means the absence of any serious deficiencies. 
(5) “Substantiated Complaint” means a complaint that has been investigated by the Department, and, as a result, a violation of regulations or statute has been found. 
(t) (Reserved) 
(u)(1) “Unlicensed Community Care Facility” means a facility as defined in Health and Safety Code Section 1503.5. 
(v)(1) “Voluntary placement,” means a child who meets the requirements of Health and Safety Code Section 1516(c).
(2) “Volunteer” is a non-paid crisis nursery staff person who meets the training requirements as specified in Section 86565(w). 
(w)(1) “Waiver” means a nontransferable written authorization issued by the Department to use alternative means that meet the intent of a specific regulation and are based on a facility-wide need or circumstance. 
(x) (Reserved) 
(y) (Reserved) 
(z) (Reserved) 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 297, Family Code; Sections 1501, 1502, 1503, 1503.5, 1511, 1516, 1520, 1522, 1525, 1526, 1526.8, 1531, 1533, 1534, 1536.1, 1538 and 1538.5, Health and Safety Code; and Sections 11400 and 17710, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section and Note, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
6. Amendment of subsection (v)(1) filed 9-29-2011; operative 10-29-2011 (Register 2011, No. 39).
§86501.5. Definitions -- Forms.
Note     •     History

(a) The following forms, which are incorporated by reference, apply to the regulations in Title 22, Division 6, Chapter 7.3 (Crisis Nurseries).
(1) LIC 165 (8/07) -- Board of Directors Statement
(2) LIC 198 (2/01) -- Child Abuse Central Index Check for County Licensed Facilities.
(3) LIC 198A (8/07) -- Child Abuse Central Index Check for State Licensed Facilities.
(4) LIC 200 (8/04) -- Application for a Community Care Facility or Residential Care Facility for the Elderly License.
(5) LIC 300A (9/03) --  Removal Confirmation -- Exemption Needed
(6) LIC 300B (9/03) --  Removal Confirmation -- Denial
(7) LIC 300C (9/03) --  Removal Confirmation -- Rescinded
(8) LIC 300D (9/03) --  Removal Confirmation -- Non-Exemptible
(9) LIC 301E (7/03) -- Reference Request
(10) LIC 309 (6/01) -- Public Administrative Organization.
(11) LIC 400 (1/99) Public -- Affidavit Regarding Client/Resident Cash Resources.
(12) LIC 401 (3/01) -- Monthly Operating Statement.
(13) LIC 403 (11/02) -- Balance Sheet.
(14) LIC 403A (12/02) -- Balance Sheet Supplemental Schedule.
(15) LIC 404 (7/99) (Personal) -- Financial Information Release and Verification.
(16) LIC 508 (1/03) -- Criminal Record Statement.
(17) LIC 9182 (12/06) -- Criminal Background Clearance Transfer Request.
(18) LIC 9188 (12/06) -- Criminal Record Exemption Transfer Request.
(19) LIC 9219 (10/06) -- Crisis Nursery Monthly Report.
(20) LIC 9219A (10/06) -- Crisis Day Care Sign-In/Sign-Out Sheet.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1520, 1522 and 1522.1, Health and Safety Code. 
HISTORY

1. New section filed 12-31-2007; operative 12-31-2007 (Register 2008, No. 1).
Article 2. License Required
§86505. License Required.
Note     •     History

(a) No adult, firm, partnership, association, corporation, county, city, public agency or other governmental entity shall operate, establish, manage, conduct or maintain a crisis nursery or hold out, advertise or represent by any means to do so without first obtaining a current valid license from the Department. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1508, 1509, 1513, 1516 and 1531, Health and Safety Code; and Section 11400, Welfare and Institutions Code. 
HISTORY

1. New article 2 (sections 86505-86512) and section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 86505-86512) and section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New article 2 (sections 86505-86512) and section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86505.1. Crisis Nursery License Requirements.
Note     •     History

(a) A crisis nursery shall be organized and operated on a nonprofit basis by a private nonprofit corporation or nonprofit public benefit corporation. 
(b) A crisis nursery license shall be issued only if a facility meets one of the following conditions: 
(1) The facility is operating currently as a group home for children under six years of age, or has an application on file with the Department as of September 1, 2004, intending to operate as a crisis nursery in any of the following counties: 
(A) Contra Costa 
(B) Nevada 
(C) Placer 
(D) Sacramento 
(E) San Joaquin 
(F) Stanislaus 
(G) Yolo 
(2) The crisis nursery meets an urgent, significant, and unmet need for temporary care of children under the age of six years. 
(A) A letter from the host county indicating that the crisis nursery is necessary, as specified in Section 86505.1(b)(2), shall be provided to the Department. 
(3) The facility provides temporary emergency shelter and services only to children under the age of six years who are voluntarily placed, as defined in Section 86501(v) by a parent or guardian, and the facility does not accept county placements as defined in Section 86501(c). 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1508, 1509, 1513, 1516 and 1531, Health and Safety Code; and Section 11400, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86506. Operation Without a License.
Note     •     History

(a) An unlicensed facility as defined in Section 86501(u), is in violation of Health and Safety Code Section 1503.5 or 1508 unless exempted from licensure pursuant to Section 86507. 
(b) If the facility is alleged to be in violation of Health and Safety Code Section 1503.5 or 1508, the Department shall conduct a site visit or evaluation of the facility pursuant to Health and Safety Code Section 1538. 
(c) If the facility is operating without a license, the Department shall issue a notice of operation in violation of law and shall refer the case for criminal prosecution or civil proceedings or both. 
(d) The Department shall have the authority to issue an immediate civil penalty pursuant to Section 86558, Unlicensed Facility Penalties, and Health and Safety Code Section 1547. 
(e) Section 86506(c) and (d) shall be applied pursuant to Health and Safety Code Section 1549. 
(f) The Department shall notify the appropriate placement or protective service agency if either of the following conditions exist: 
(1) There is an immediate threat to childrens' health and safety. 
(2) The unlicensed operator does not submit an application for licensure within 15 calendar days of being served a notice of operation in violation of the law. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1503, 1503.5, 1505, 1508, 1516, 1524, 1533, 1536.1, 1538, 1540, 1540.1, 1541, 1547 and 1549, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86507. Exemption from Licensure.
Note     •     History

(a) The provisions of Chapter 7.3 shall not apply to facilities and arrangements specified in Health and Safety Code Section 1505.
(b) The provisions of Chapter 7.3 shall not apply to the following additional situations: 
(1) Any care and supervision of persons from only one family by a close friend of the parent, guardian or conservator, provided that such arrangement is not for financial profit and does not exceed 10 hours per week. 
(A) Provision of longer hours of care shall not be precluded when provided for brief periods of time for reasons including, but not limited to, family emergencies, vacation, and military leave. 
(2) Any home exclusively used by a licensed or exempt Foster Family Agency and issued a certificate of approval by that agency. 
(A) Such families shall not be required to obtain a license, but shall comply with all other applicable requirements set forth in this division. The home's compliance with requirements shall be monitored through and assured by the Foster Family Agency. An exclusive-use facility shall mean a nonlicensed residential facility that has been certified by a licensed Foster Family Agency as conforming to the regulations pertaining to the Small Family Home Category. A home that is exclusively used by a licensed Foster Family Agency shall accept children placed by the agency that certified the home. 
(3) A home that meets all of the following criteria: 
(A) Approved by a licensed adoption agency or the Department for the adoptive placement of a child; and 
(B) The child is legally free for adoption; and 
(C) The agency or the Department is providing supervision of the placement pending finalization of the adoption. 
(4) A home that meets all of the following criteria: 
(A) Placement for adoption by a birth parent; and 
(B) A petition for adoption has been filed by the prospective adoptive parents, and is pending; and 
(C) A final decision on the petition has not been rendered by the court. 
(5) Any care and supervision of children by a guardian or relative, including individuals specified in Health and Safety Code Section 1505(k). 
NOTE

Authority cited: Section 1530, Health and Safety Code; and Section 17730, Welfare and Institutions Code. Reference: Sections 1503, 1505, 1506, 1508, 1516, 1524, 1530.5, 1531, 1536.1, 1540, 1540.1, 1541 and 1547, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section and Note, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86508. Licensing of Integral Facilities.
Note     •     History

(a) Upon written application from the licensee, the Department shall have the authority to issue a single license for separate buildings which might otherwise require separate licenses provided that all of the following requirements are met: 
(1) Separate buildings or portions of the crisis nursery are integral components of a single program. 
(2) All components of the program are managed by the same licensee. 
(3) All components of the program are conducted at a single site with a common address. 
(b) If Section 86508(a) does not apply, each separately licensed component of a single program shall be capable of independently meeting the provisions of applicable regulations as determined by the Department. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1508, 1509, 1513 and 1516, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86509. Availability of a License.
Note     •     History

(a) The license shall be posted in a prominent, publicly accessible location in the crisis nursery. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1503, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86510. Limitations on Capacity and Ambulatory Status.
Note     •     History

(a) A licensee shall not permit a crisis nursery to operate beyond the conditions and limitations specified on the license, including the capacity limitation. 
(b) Facilities or rooms approved for ambulatory only shall not be used by children who are  nonambulatory. 
(1) Children whose condition becomes nonambulatory shall not use rooms or areas restricted to children who are ambulatory. 
(2) The Department shall have the authority to require children who use ambulatory sections of the crisis nursery to demonstrate that they are ambulatory. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86511. Advertisements and License Number.
Note     •     History

(a) Licensees shall ensure that each crisis nursery license number is revealed in all advertisements in accordance with Health and Safety Code Section 1514.
(b) Correspondence shall be considered a form of advertisement if the intent is to attract clients. 
(c) Licensees who operate more than one crisis nursery and use a common advertisement for these crisis nurseries shall be required to list each crisis nursery license number in accordance with Health and Safety Code Section 1514. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1514 and 1516, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of subsection (a), transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86512. False Claims.
Note     •     History

(a) The licensee shall ensure that no officer or employee of the licensee makes or disseminates any false or misleading statement regarding the crisis nursery or any of the services provided by the crisis nursery. 
(1) If a person is determined to have made, disseminated, participated in making, or caused to be made a false or misleading statement and that statement has resulted in a crisis nursery overpayment being assessed pursuant to the Manual of Policies and Procedures Section 11-402.6 et seq., then such person shall not be eligible to be a licensee, an officer, or an employee of, a new or subsequent licensee under Title 22, Division 6 or Division 12 until the crisis nursery overpayment is fully repaid or otherwise discharged. 
(b) The licensee shall ensure that no officer or employee of a licensee alters a license or disseminates an altered license. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1508, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
Article 3. Application Procedures
§86517. Nondiscrimination of Applicant.
Note     •     History

Any adult shall be permitted to apply on the applicant's behalf for a license regardless of age, sex, race, religion, color, political affiliation, national origin, disability, marital status, actual or perceived sexual orientation, gender identity, HIV status, or ancestry. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 51, Civil Code; Sections 1516, 1520 and 1530, Health and Safety Code; and Section 16013, Welfare and Institutions Code. 
HISTORY

1. New article 3 (sections 86517-86536) and section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 86517-86536) and section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New article 3 (sections 86517-86536) and section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section heading and section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
6. Amendment of section and Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§86518. Application for a License.
Note     •     History

(a) Prior to filing an application, the applicant shall attend a crisis nursery orientation provided by the Department. 
(1) The orientation shall cover, but not be limited to, the following areas: 
(A) Completion of the application for license. 
(B) Scope of operation subject to regulation by the Department. 
(2) An applicant who is already licensed for a crisis nursery shall not be required to attend an orientation if the last orientation attended was for a crisis nursery and was within two (2) years of the next scheduled orientation. 
(3) An applicant applying for more than one crisis nursery license shall be required to attend only one orientation. 
(b) An applicant desiring to obtain a license shall file with the Department a verified application on form LIC 200. 
(c) Additional documents supporting the application shall contain the following:
(1) A copy of the articles of incorporation, constitution and bylaws.
(2) The name, title and principal business address of each officer, executive director and member of the governing board.
(3) A signed form, LIC 165 from each member of the board of directors. 
(4) Each member of the board of directors, executive director, and any officer shall list the name of facilities that they have been licensed to operate, employed by or a member of the board of the directors, executive director or an officer. 
(5) Information required by Health and Safety Code Section 1520(e). 
(6) Procedures for responding to incidents and complaints, as follows: 
(A) The crisis nursery shall provide a procedure approved by the Department for immediate response to incidents and complaints. This procedure shall include a method of assuring that the person designated by the proposed licensee is notified of the incident, has personally investigated the matter, and notifies the person making the complaint or reporting the incident of action taken or a reason why no action needs to be taken. 
(B) In order to assure the opportunity for complaints to be made directly to the person designated by the proposed licensee, and available to meet residents and learn of problems in the neighborhood, the crisis nursery shall establish a fixed time on a weekly basis when the person designated by the proposed licensee will be present. 
(7) Name, address and telephone number of the city or county fire department, the district providing fire protection services, or the State Fire Marshal's Office having jurisdiction in the area where the crisis nursery is located. 
(8) A plan of operation as specified in Section 86522(b). 
(A) The description of the children served shall include categories including, but not limited to, children with developmental disabilities, mental disorders, or physical handicaps.
(9) A financial plan of operation on forms LIC 401, LIC 403, LIC 403A, and LIC 404 or a financial statement that contains the same information as on these forms. 
(A) Start-up funds shall be available and shall include funds for the first three months of operation. 
1. The Department shall have the authority to require written verification of the availability of the funds. 
(B) Start-up funds shall be independent of prospective fees. In cases of a change of ownership, expected income from current placements shall be considered. 
(C) Start-up funds shall not include funds designated for or used for construction costs. 
(10) A written plan for training of staff and volunteers, as specified in Section 86565. 
(11) A written plan for activities as specified in Section 86579, Planned Activities. 
(12) The name and residence and mailing addresses of the crisis nursery administrator, a description of the administrator's background and qualifications, and documentation verifying required education and experience requirements. 
(13) Fingerprint images as specified in Section 86519, Criminal Record Clearance. 
(14) Information required by Health and Safety Code Section 1522.1.
(15) The fee for processing the application, as specified in Section 86536(a). 
(16) Other information required pursuant to Health and Safety Code Section 1520(g). 
(d) The applicant shall cooperate in providing verification or documentation requested by the Department. 
(e) The application shall be signed by the chief executive officer or authorized representative.
(f) The application shall be filed with the Department's Children's Residential Program licensing office that serves the geographical area where the crisis nursery is located. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1520, 1522, 1522.1, 1523.1 and 1524.5, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86519. Criminal Record Clearance.
Note     •     History

(a) The Department shall conduct a criminal record review of all individuals specified in Health and Safety Code Section 1522(a) and (b)(1) and shall have the authority to approve or deny a crisis nursery license, or employment, residence, or presence in the crisis nursery, based upon the results of such review. 
(1) Volunteers in a crisis nursery shall be fingerprinted for the purpose of conducting a criminal record review as specified in Health and Safety Code Section 1526.8(b)(1).
(b) Pursuant to Health and Safety Code Section 1522(b)(2) the following persons are exempt from the requirement to submit fingerprints: 
(1) A medical professional, as defined in Section 86501(m), who holds a valid license or certification from the individual's governing California medical care regulatory entity and who is not employed, retained, or contracted by the licensee, if all of the following apply: 
(A) The criminal record of the individual has been cleared as a condition of licensure or certification by the individual's California medical care regulatory entity. 
(B) The individual is providing time-limited specialized clinical care or services. 
(C) The individual is providing care or services within the individual's scope of practice. 
(D) The individual is not a community care facility licensee or an employee of the crisis nursery. 
(2) A third-party repair person, or similar retained contractor, if all of the following apply: 
(A) The individual is hired for a defined, time-limited job. 
(B) The individual is not left alone with children. 
(C) When children are present in the room in which the repair person or contractor is working, a staff person who has a criminal record clearance or exemption is also present. 
(3) Employees of a licensed home health agency and other members of licensed hospice interdisciplinary teams who have a contract for a child of the crisis nursery, and are in the crisis nursery at the request of that child's authorized representative. 
(A) The exemption shall not apply to a person who is a licensee or an employee of the crisis nursery. 
(4) Clergy and other spiritual caregivers who are performing services in common areas of the crisis nursery, or who are advising an individual child at the request of, or with the permission of, the child's authorized representative. 
(A) This exemption shall not apply to a person who is a licensee or an employee of the crisis nursery. 
(5) Members of fraternal, service and similar organizations who conduct group activities for children in care, if all of the following apply: 
(A) Members are not left alone with the children. 
(B) Members do not take children off the crisis nursery premises. 
(C) The same group does not conduct such activities more often than once a month. 
(6) A licensee is not prohibited from requiring a criminal record clearance of any individual exempt from the requirements to submit fingerprints, provided that the individual has contact with children in care. 
(c) Prior to the Department issuing a license, the applicant, administrator and any employee/volunteer of the crisis nursery shall obtain a California criminal record clearance or exemption as specified in Health and Safety Code Section 1522(a)(4).
(d) All individuals subject to criminal record review shall be fingerprinted and sign a Criminal Record Statement (LIC 508 [Rev. 1/03]) under penalty of perjury and shall: 
(1) Declare whether he or she has been convicted of a crime, other than a minor traffic violation as specified in Section 86519(i) regardless of whether the individual was granted a pardon for the conviction, received an expungement pursuant to Penal Code Section 1203.4 or the individual's record was sealed as a result of a court order. 
(2) If convicted of a crime other than a minor traffic violation, provide information regarding the conviction. 
(3) The licensee shall submit these fingerprints to the California Department of Justice, along with a second set of fingerprints for the purpose of searching the records of the Federal Bureau of Investigation, or to comply with the requirements of Section 86519(e), prior to the individual's employment, residence, or initial presence in the crisis nursery. 
(A) Fingerprints shall be submitted to the California Department of Justice by the licensee, or sent by electronic transmission to the California Department of Justice by a fingerprinting entity approved by the Department. 
(e) All individuals subject to a criminal record review pursuant to Health and Safety Code Section 1522 shall prior to working, residing or volunteering in a licensed crisis nursery: 
(1) Obtain a California clearance or a criminal record exemption as required by the Department or 
(2) Request a transfer of a criminal record clearance as specified in Section 86519(f) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 86519.1(r), unless, upon request for the transfer, the Department permits the individual to be employed, reside or be present at the crisis nursery. 
(f) A licensee or applicant for a license may request a transfer of a criminal record clearance from one state licensed facility to another, or from TrustLine to a state licensed facility by providing the following documents to the Department: 
(1) A signed Criminal Background Clearance Transfer Request, LIC 9182. 
(2) A copy of the individual's: 
(A) Driver's license, or 
(B) Valid identification card issued by the Department of Motor Vehicles, or 
(C) Valid photo identification issued by another state or the United States government if the individual is not a California resident. 
(3) Any other documentation required by the Department [e.g., Criminal Record Statement -- LIC 508, which is incorporated by reference, and job description]. 
(g) Violation of Section 86519(e) shall result in a citation of a deficiency and an immediate assessment of civil penalties of one hundred dollars ($100) per violation per day for a maximum of five (5) days by the Department. 
(1) Subsequent violations within a twelve (12) month period shall result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days. 
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1548. 
(h) Violation of Section 86519(e) may result in denial of the license application or suspension or revocation of the license. 
(i) If the criminal record transcript of any of the individuals specified in Health and Safety Code Section 1522(b) discloses a plea or verdict of guilty or a conviction following a plea of nolo contendere for any crime other than a minor traffic violation for which the fine was less than $300, and an exemption pursuant to Section 86519.1 has not been granted, the Department shall take the following actions: 
(1) For initial applicants, denial of the application. 
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license. 
(3) For current employees or volunteers, exclude the affected individual pursuant to Health and Safety Code Section 1558, and deny the application or revoke the license, if the individual continues to provide services or resides at the crisis nursery. 
(j) The Department shall notify the licensee and the affected individual associated with the crisis nursery, in concurrent, separate letters, that the affected individual has a criminal conviction and needs to obtain a criminal record exemption. 
(k) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of employees and volunteers in the individual's personnel file as required in Section 86566(a)(11). 
(1) Documentation shall be available for inspection by the Department as specified in Section 86566(c). 
(l) The Department may seek verification from a law enforcement agency or court of an individual's criminal record as reported to the Department from any member of the public or affected individual. 
(1) Upon obtaining confirmation from a law enforcement agency or court of the offense, the Department shall proceed as if this criminal record information was provided by the California Department of Justice. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1503.5, 1505, 1508, 1522, 1526.8, 1531, 1533, 1538, 1540, 1540.1, 1547, 1548 and 1549, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86519.1. Criminal Record Exemption.
Note     •     History

(a) While considering allowing or denying an exemption, the Department shall notify a licensee to act immediately to remove from the crisis nursery or bar from entering the crisis nursery any of the following persons:
(1) Any person who has been convicted of, or is awaiting trial for, a sex offense against a minor; 
(2) Any person who has been convicted of a felony; 
(3) Any person who has been convicted of an offense specified in Penal Code Sections 243.4, 273a, 273d, 273g, or 368; 
(4) In addition to Health and Safety Code Section 1522(c)(3), any person who has been convicted of any of the following crimes: 
(A) Battery;
(B) Shooting at Inhabited Dwelling;
(C) Corporal Injury on Spouse/Cohabitant; 
(D) Discharging Firearm with Gross Negligence; 
(E) Exhibiting Weapon/Firearm;
(F) Threat to Commit a Crime Resulting in Gross Bodily Injury or Death;
(G) Criminal Threat to Harm or Injure Another Person;
(H) Cruelty to Animals;
(I) Willful Harm or Injury to Child; or 
(5) Any other person ordered to be removed by the Department. 
(b) In addition to the removing an individual from the crisis nursery, the licensee must return the confirmation of removal form that is sent by the Department, confirming under penalty of perjury that the individual has been removed from the crisis nursery. This form must be returned to the Department within five days of the date on the form.
(1) Confirmation must be made on either a Removal Confirmation -- Exemption Needed, LIC 300A, Removal Confirmation -- Denial, LIC 300B, Removal Confirmation -- Rescinded, LIC 300C, or Removal Confirmation -- Nonexemptible, LIC 300D. 
(c) After a review of the criminal record transcript, the Department may grant an exemption if: 
(1) The applicant/licensee requests an exemption in writing for himself or herself, or 
(2) The applicant/licensee requests an exemption in writing for an individual associated with the crisis nursery, or 
(3) The applicant/licensee chooses not to seek an exemption on the affected individual's behalf, the affected individual requests an individual exemption in writing, and 
(4) The affected individual presents substantial and convincing evidence to the Department that he/she has been rehabilitated and presently is of such good character as to justify being issued or maintaining a license, employment, or presence, in a licensed crisis nursery. 
(d) To request a criminal record exemption, a licensee or license applicant shall submit information that indicates that the individual meets the requirements of Section 86519.1(c)(4). The Department shall notify the licensee or license applicant and the affected individual, in concurrent, separate notices, that the affected individual has a criminal conviction and needs to obtain a criminal record exemption. 
(1) The notice to the affected individual shall include a list of the conviction(s) that the Department is aware of at the time the notice is sent that must be addressed in an exemption request. 
(2) The notice shall list the information that must be submitted to request a criminal record exemption. 
(3) The information must be submitted within forty-five (45) days of the date of the Department's notice. 
(A) Individuals who submit a criminal record exemption request shall cooperate with the Department by providing any information requested by the Department including, but not limited to, police reports and certified court documents to process the exemption request. 
(B) If the individual for whom the criminal record exemption is requested is an employee or resident other than a spouse or a dependent family member and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may cease processing the exemption request and close the case. 
(C) If the individual for whom the criminal record exemption is requested is an applicant, licensee, spouse or dependent family member and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may deny the exemption request. 
(D) Individuals may request a criminal record exemption on their own behalf if the licensee or license applicant: 
1. Chooses not to request the exemption and 
2. Chooses not to employ or terminates the individual's employment after receiving notice of the individual's criminal history, or 
3. Removes the individual who resides in the crisis nursery after receiving notice of the individual's criminal history. 
(e) The Department shall consider factors including, but not limited to, the following as evidence of good character and rehabilitation: 
(1) The nature of the crime including, but not limited to, whether it involved violence or a threat of violence to others. 
(2) Period of time since the crime was committed and number of offenses. 
(3) Circumstances surrounding the commission of the crime that would demonstrate the unlikelihood of repetition. 
(4) Activities since conviction, including employment or participation in therapy or education, that would indicate changed behavior. 
(5) Granting by the Governor of a full and unconditional pardon. 
(6) Character references. 
(A) All character references shall be on a Reference Request form (LIC 301E -- Exemptions). 
(7) A certificate of rehabilitation from a superior court. 
(8) Evidence of honesty and truthfulness as revealed in exemption application documents. 
(A) Documents include, but are not limited to: 
1. A Criminal Record Statement (LIC 508) and 
2. The individual's written statement/explanation of the conviction and the circumstances about the arrest. 
(9) Evidence of honesty and truthfulness as revealed in exemption application interviews and conversations with the Department. 
(f) The Department shall also consider the following factors in evaluating a request for an exemption: 
(1) Position held in the crisis nursery. 
(2) The individual's age at the time the crime was committed. 
(g) The Department may deny an exemption request if: 
(1) The licensee and/or the affected individual fails to provide documents requested by the Department, or 
(2) The licensee and/or the affected individual fails to cooperate with the Department in the exemption process. 
(h) The reasons for any exemption granted or denied shall be in writing and kept by the Department. 
(1) Exemption denial notices shall specify the reason the exemption was denied. 
(i) The Department has the authority, pursuant to Health and Safety Code Section 1522(g), to grant a criminal record exemption that places conditions on the individual's continued licensure, and employment or presence in a licensed crisis nursery. 
(j) It shall be conclusive evidence that the individual is not of such good character as to justify issuance of an exemption if the individual: 
(1) Makes a knowingly false or misleading statement regarding: 
(A) Material relevant to their application for a criminal record clearance or exemption, 
(B) His or her criminal record clearance or exemption status to obtain employment or permission to be present in a licensed crisis nursery, after the Department has ordered that they be excluded from any or all licensed facilities, or 
(C) His or her criminal record clearance or exemption status in order to obtain a position with duties that are prohibited to him/her by a conditional exemption; or 
(2) Is on probation or parole. 
(A) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the Department may, in its discretion, grant a criminal record exemption. 
(k) The Department shall consider granting a criminal record exemption if the individual's criminal history meets all of the applicable criteria specified in Sections 86519.1(k)(1) through (6) and the individual provides the Department with substantial and convincing evidence of good character as specified in Section 86519.1(c)(4). For purposes of this section, a violent crime is a crime that, upon evaluation of the code section violated or the reports regarding the underlying offense, presents a risk of harm or violence. 
(1) The individual has been convicted of one nonviolent misdemeanor, and one year has lapsed since completing the most recent period of incarceration or probation. 
(2) The individual has been convicted of two or more nonviolent misdemeanors and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(3) The individual has been convicted of one or more violent misdemeanors and 15 consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(4) The individual has been convicted of one nonviolent felony and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(5) The individual has been convicted of two or more nonviolent felonies and ten consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(6) The individual has not been convicted of a violent felony. 
(7) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the period of lapsed time required in Sections 86519.1(k)(1) through (5) above shall begin from the last date of conviction(s). 
(l) It shall be a rebuttable presumption that an individual is not of such good character as to justify the issuance of an exemption if the individual fails to meet the requirements specified in Sections 86519.1(k)(1) through (6). 
(m) Except as specified in Health and Safety Code Section 1522(g)(1)(A)(ii), the Department shall not grant an exemption if the individual has a conviction for any offense specified in Health and Safety Code Section 1522(g)(1). The Department shall notify the licensee or license applicant and the affected individual, in concurrent, separate notices, that the affected individual has a non-exemptible criminal conviction and may not work, reside or have contact with clients of any community care facility.
(1) The notice to the affected individual shall list the nature and date of the non-exemptible conviction(s) that the Department is aware of at the time the notice is sent.
(n) The Department shall consider granting a simplified criminal record exemption only if the individual has the following criminal history profile: 
(1) The individual does not have a demonstrated pattern of criminal activity; 
(2) The individual has no more than one conviction; 
(3) The conviction is a misdemeanor and is a crime that is nonviolent and does not pose a risk of harm to an individual; and 
(4) It has been at least five consecutive years since the completion of the most recent period of incarceration or supervised probation. 
(o) At the Department's discretion, an individual who is otherwise eligible for a simplified exemption may be required to go through the standard exemption process if the Department determines such action will help to protect the health and safety of children. 
(p) If the Department denies or cannot grant a criminal record exemption the Department shall: 
(1) For initial applicants, deny the application. 
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license. 
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1558, deny the application or revoke the license, if the individual continues to provide services at the crisis nursery. 
(4) For individuals residing in the crisis nursery, exclude the affected individual pursuant to Health and Safety Code Section 1558, deny the application or revoke the license, if the individual continues to provide services at the crisis nursery. 
(q) If a request for an exemption has been denied, the individual shall be excluded for a period of two years unless the individual has been convicted of a crime for which no exemption may be granted pursuant to Section 86519.1(m). If a request for an exemption has been denied based on a conviction of a crime for which no exemption may be granted, the individual shall be excluded for the remainder of the individual's life. 
(1) If the Department determines during the review of an exemption request, that the individual was denied an exemption for a conviction of a crime for which an exemption may be granted within the preceding two years, the Department shall cease any further review of the request until two years have elapsed from the date of the denial. In cases where the individual requested a hearing on an exemption denial, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department upholding the denial. In cases where the individual submitted a petition for reinstatement or reduction in penalty pursuant to Government Code Section 11522 that was denied, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department denying the petition. 
(2) An exclusion order based solely upon a denied exemption shall remain in effect and the individual shall not be employed in or present in a licensed crisis nursery, unless either a petition or an exemption is granted. 
(3) If an individual who has previously been denied an exemption re-applies after the relevant time period described in Section 86519.1(q)(1), the Department may, according to the provisions in Section 86519.1, grant or deny the subsequent request for an exemption. 
(4) If an individual submits a petition pursuant to Government Code Section 11522 for reinstatement or reduction of penalty for an exclusion, an individual must submit his/her fingerprints through an electronic fingerprinting system approved by the Department and submit to the Department a statement of the reason why the individual should be permitted to work or be present in a crisis nursery, along with all information required of an individual requesting a criminal record exemption as provided in Section 86519.1. If it is determined, based upon information provided by the Department of Justice, that the individual has been convicted of a crime for which no exemption may be granted, the petition shall be denied. An individual's failure to submit fingerprints or other information as requested by the Department, shall be grounds for denial of the petition. The burden shall be on the petitioner to prove sufficient rehabilitation and good character to justify the granting of the petition. 
(r) A licensee or applicant for a crisis nursery license may request a transfer of a criminal record exemption from one state licensed facility to another by providing the following documents to the Department: 
(1) A signed Criminal Record Exemption Transfer Request, LIC 9188. 
(2) A copy of the individual's: 
(A) Driver's license, or 
(B) Valid identification card issued by the Department of Motor Vehicles, or 
(C) Valid photo identification issued by another state or the United States Government if the individual is not a California resident. 
(3) Any other documentation required by the Department, such as a job duty statement, job description for the prospective position, resume or a document that justifies the transfer. 
(s) The Department may consider factors including, but not limited to, the following in determining whether or not to approve an exemption transfer: 
(1) The basis on which the Department granted the exemption; 
(2) The nature and frequency of contact with children in the new position; 
(3) The category of facility where the individual wishes to transfer; 
(4) The type of clients in the facility where the individual wishes to transfer; 
(5) Whether the exemption was appropriately evaluated and granted in accordance with existing exemption laws or regulations; or 
(6) Whether the exemption meets current exemption laws or regulations. 
(t) If the Department denies the individual's request to transfer a criminal record exemption, the Department shall provide the individual and the licensee with written notice that states the Department's decision and informs the affected individual of their right to an administrative hearing to contest the Department's decision. 
(u) At the Department's discretion, an exemption may be rescinded if it is determined that: 
(1) The exemption was granted in error, or 
(2) The exemption does not meet current exemption laws or regulations, or 
(3) The conviction for which an exemption was granted subsequently becomes non-exemptible by law. 
(v) The Department may rescind an individual's criminal record exemption if the Department obtains evidence showing that the individual engaged in conduct that is inconsistent with the good character requirement of a criminal record exemption, as evidenced by factors including, but not limited to, the following: 
(1) Violations of licensing laws or regulations; 
(2) Any conduct by the individual that indicates that the individual may pose a risk to the health and safety of a child; 
(3) Nondisclosure of a conviction or evidence of lack of rehabilitation that the individual failed to disclose to the Department, even if it occurred before the exemption was issued; or 
(4) The individual is convicted of a subsequent crime. 
(w) If the Department rescinds an exemption the Department shall: 
(1) Notify the licensee and the affected individual in writing; and 
(2) Initiate an administrative action. 
(x) If the Department learns that an individual with a criminal record clearance or exemption has been convicted of a subsequent crime, the Department, at its sole discretion, may immediately initiate an administrative action to protect the health and safety of children in a crisis nursery. 
NOTE

Authority cited: Sections 1522 and 1530, Health and Safety Code. Reference: Sections 1516, 1522 and 1531, Health and Safety Code; Gresher v. Anderson (2005) 127 Cal. App. 4th 88; and Glesmann v. Saenz (2006) 140 Cal.App.4th 960.
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section and Note, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86519.2. Child Abuse Central Index.
Note     •     History

(a) Prior to issuing a crisis nursery license, the Department shall conduct a Child Abuse Central Index (CACI) review pursuant to Health and Safety Code Section 1522.1 and Penal Code Section 11170(b)(3). The Department shall check the CACI for all individuals subject to a criminal record review, pursuant to Health and Safety Code Section 1522(b) and shall approve or deny a crisis nursery license, employment, residence, or presence in the crisis nursery based on the results of the review. 
(1) The applicant shall submit the Child Abuse Central Index check (LIC 198A), which is incorporated by reference for state licensed facilities, and LIC 198, which is incorporated by reference for county licensed, facilities), for all individuals required to be checked, directly to the California Department of Justice at the same time that the individual's fingerprints are submitted for a criminal background check as required by Section 86519, Criminal Record Clearance. 
(A) Individuals who have submitted the Child Abuse Central Index check (LIC 198A) with fingerprints on or after January 1, 1999 need not submit a new check if they can transfer their criminal record clearance or exemption pursuant to Section 86519(f) or Section 86519.1(r). 
(2) The Department shall investigate any reports received from the CACI. The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protection agency that investigated the child abuse report. The Department shall not deny a license based upon a report from the CACI unless the Department substantiates the allegation of child abuse. 
(b) Subsequent to licensure, all individuals subject to a criminal record review, pursuant to Health and Safety Code Section 1522(b), shall complete a Child Abuse Central Index check (LIC 198A) prior to employment, residence, or initial presence in the crisis nursery. 
(1) The licensee shall submit the Child Abuse Central Index checks (LIC 198A) directly to the California Department of Justice at the same time that the individuals' fingerprints are submitted for a criminal background check as required by Section 86519(d). 
(A) Individuals who have submitted the Child Abuse Central Index check (LIC 198A) with fingerprints on or after January 1, 1999 need not submit a new check if they can transfer their criminal record clearance or exemption pursuant to Section 86519(e) or Section 86519.1(f). 
(2) The Department shall check the CACI pursuant to Penal Code Section 11170(b)(3), and shall investigate any reports received from the CACI. The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report. The Department shall not deny a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse. 
(3) The Department shall investigate any subsequent reports received from the CACI. The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report. The Department shall not revoke a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1516, 1521, 1522, 1522.04 and 1531, Health and Safety Code.  
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86520. Fire Clearance.
Note     •     History

(a) All crisis nurseries shall secure and maintain a fire clearance approved by the city or county fire department, or the district providing fire protection services, or the State Fire Marshal. 
(1) The request for fire clearance shall be made through and maintained by the Department. 
(b) The applicant shall notify the Department if the crisis nursery plans to admit children who are non ambulatory as defined in Section 86501(n), so that an appropriate fire clearance, approved by the city or county fire department, or the district providing fire protection services, or the State Fire Marshal, can be obtained prior to the acceptance of such children.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86521. Water Supply.
Note     •     History

(a) All crisis nurseries where water for human consumption is from a private water source shall meet the following requirements: 
(1) As a condition of initial licensure, the applicant shall provide evidence of an on-site inspection of the private water source and a bacteriological analysis which establishes the safety of the water, conducted by the local health department, the California Department of Public Health, or a licensed commercial laboratory. 
(2) Subsequent to initial licensure, the licensee shall provide evidence of a bacteriological analysis of the private water source as frequently as necessary to ensure childrens' safety, but no less frequently than specified in the following table: 

		PERIODIC
LICENSED	ANALYSIS	SUBSEQUENT
CAPACITY	REQUIRED	ANALYSIS

6 or fewer 	Initial Licensing 	Not required unless 
		evidence supports the 
		 need for such analysis
		  to  protect clients.

7 through 14 	Initial Licensing 	Annually 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section heading and section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86522. Plan of Operation.
Note     •     History

(a) Each licensee shall have and maintain on file a current, written, definitive plan of operation. 
(b) The plan and related materials shall contain the following: 
(1) Statement of purposes, and program methods and goals. 
(2) Statement of admission policies and procedures regarding acceptance of children. 
(3) Description of services to be provided.
(4) Description of children to be served.
(5) A copy of the admission form as specified in Section 86568.1(c)(2) and, for county placed children, of the admission agreement as specified in Section 86568.1(d). 
(6) Administrative organization. 
(7) Staffing plan, description of staffing pattern, qualifications and duties. 
(A) The provision of care by the lead caregiver. 
(B) The provision for breaks, vacations, and sick days for the lead caregiver while ensuring that another qualified lead caregiver cares for the children. 
(8) Plan for in-service education of staff. 
(9) A sketch of the building(s) to be occupied, including a floor plan which describes the capacities of the buildings for the uses intended, room dimensions, and a designation of the rooms to be used for nonambulatory children, if any 
(10) A sketch of the grounds showing buildings, driveways, fences, storage areas, pools, gardens, recreation areas and other space used by the children. 
(A) The sketch shall include the dimensions of all areas which will be used by the children. 
(11) Sample menus and a schedule for one calendar week indicating the time of day that meals and snacks are to be served. 
(12) A statement whether or not the licensee will handle the child's personal property, or valuables. If personal property, or valuables will be handled, the method for safeguarding that shall ensure compliance with Section 86526, Safeguards for Personal Property and Valuables. 
(13) Description of consultant and community resources to be utilized by the crisis nursery as part of its program. 
(14) A statement of the crisis nursery's policy concerning family visits and other communications with the child pursuant to Health and Safety Code Section 1512, that shall permit flexible visitation hours allowing family member's daily visitation and the opportunity to participate in caregiving.
(15) Transportation arrangements for children who do not have independent arrangements. 
(16) Procedures for responding to complaints and emergencies on a 24-hour basis. 
(17) The policies and procedures for family member involvement in caregiving. 
(18) The toilet training policies and procedures. 
(19) The plan for indoor and outdoor activities designed to meet the developmental and therapeutic needs of children. 
(A) This plan must include quiet and active play, rest and relaxation, eating, toileting, individual attention from the lead caregiver or caregiver staff, and activities that foster the child's cognitive development. 
(20) The policies and procedures for discipline and guidance. 
(21) The policies and procedures to prevent disease and control infection. 
(22) The necessary steps to be taken to reduce stress to the child(ren) that may result in transfer trauma, such as admission and discharge, and changes in staffing pattern. 
(23) The policies and procedures that ensure consistency and continuity of care to children by minimizing the number of different caregivers or volunteers who would provide care and supervision, including, but not limited to, developing a consistent work schedule. 
(c) If the licensee intends to admit or specialize in care for one or more child(ren) who has a propensity for behaviors that result in harm to self or others, the plan of operation shall include a description of precautions that will be taken to protect that child and all other children. 
(d) Any changes in the plan of operation which affect the services to children shall be subject to Department approval and shall be reported as specified in Section 86561(d). 
(e) The crisis nursery shall operate in accordance with the terms specified in the plan of operation and may be cited for not doing so. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1512, 1516, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section and Note, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86523. Emergency Plan.
Note     •     History

(a) The licensee shall develop and provide a current, written emergency plan to the Department and post a copy of the emergency plan in the crisis nursery.
(b) The emergency plan shall include instructive procedures and information, telephone numbers for local emergency agencies, and a 24-hour emergency number for the licensee and the child's authorized representative.
(c) The licensee shall ensure that staff understand and are capable of implementing the emergency plan. 
(d) Emergency training exercises shall be conducted at least every six months. 
(1) Completion of such training exercises shall not require travel away from the crisis nursery grounds or contact with local emergency agencies. 
(2) Emergency training exercises shall be documented, signed and maintained on file in the crisis nursery for at least one year. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86524. Waivers and Exceptions.
Note     •     History

(a) Unless prior written Department approval is received as specified in Section 86524(d), the licensee shall maintain continuous compliance with the licensing regulations. 
(b) The Department shall have the authority to waive or grant an exception to a specific regulation(s) if the request demonstrates how the intent of the regulation(s) will be met and under the following circumstances: 
(1) A waiver or exception shall in no instance be detrimental to the health and safety of any child. 
(2) The Administrator or Administrator Designee shall submit to the Department a written request for a waiver or exception, together with substantiating evidence supporting the request. 
(c) Within 30 days of receipt of a request for a waiver or an exception, the Department shall notify the crisis nursery, in writing, or one of the following:
(1) The request with substantiating evidence has been received and accepted for consideration.
(2) The request is deficient, needing additional information as described for the request to be acceptable and a time frame for submitting this information.
(A) Failure to submit the requested information within the time specified shall result in denial of the request.
(d) Within 30 days of the Department's acceptance of a completed request for a waiver or an exception, the Department shall notify the applicant or licensee, in writing, whether the request has been approved or denied.
(1) The licensee shall retain the Department's written approval or denial of the request in the crisis nursery file. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1509, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86526. Safeguards for Personal Property and Valuables.
Note     •     History

(a) Each child's personal property and valuables shall be separate and intact. 
(b) The licensee shall ensure that accurate records of personal property and valuables entrusted to the crisis nursery are maintained.
(c) When a child leaves placement in the crisis nursery, the administrator or designee shall surrender all of the child's personal property and valuables to the child's authorized representative. 
(1) The administrator or designee shall obtain and retain a receipt signed by the authorized representative. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86527. Initial Review of Application.
Note     •     History

(a) Within 90 days of receipt by the Department of the application and supporting documents described in Section 86518, Application For A License, the Department shall give written notice to the applicant of one of the following: 
(1) The application is complete and accepted for consideration. 
(2) The application is deficient, describing what documents are missing or inadequate, and informing the applicant that the information must be submitted within 30 days of the date of the notice. 
(A) If the applicant does not submit the requested information within the 30 days, the application shall be deemed withdrawn unless either the Department has denied the application or the crisis nursery is under construction. 
(b) The Department shall cease review of any application under the conditions specified in Health and Safety Code Section 1520.3. 
(c) If cessation of review occurs, the application shall be returned to the applicant. It shall be the responsibility of the applicant to request resumption of review as specified in Health and Safety Code Section 1520.3(b)(3). 
(1) The application processing fee shall be nonrefundable as specified in Section 86536(b). 
(d) The circumstances and conditions in which the Department may continue to review a previously denied application shall include, but are not limited to, the following: 
(1) A fire clearance previously denied, but now approved; 
(2) An Administrator who did not meet the minimum qualifications, but now fulfills the qualifications; or 
(3) A person with a criminal record, which was the basis for license denial, is no longer associated with the crisis nursery. 
(e) The application review shall not constitute approval of the application. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1516, 1520 and 1520.3, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section heading and section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86528. Capacity Determination.
Note     •     History

(a) A crisis nursery license shall be issued for a specific capacity. 
(1) The maximum licensed capacity for a crisis nursery shall be 14. 
(2) Any facility licensed on or before January 1, 2004, as a group home for children under the age of six years with a licensed capacity of greater than 14, but less than 21, that provides crisis nursery services, shall be allowed to retain its capacity if issued a crisis nursery license until the time there is a change in the licensee's program, location, or client population. 
(b) The number of children for whom the crisis nursery is licensed to provide care and supervision shall be determined on the basis of the application review by the Department, which shall take into consideration the following: 
(1) The fire clearance specified in Section 86520, Fire Clearance. 
(2) The licensee's/administrator's ability to comply with applicable law and regulation. 
(3) Physical features of the crisis nursery, including available living space, which are necessary in order to comply with regulations. 
(4) Number of available staff to meet the care and supervision needs of the children. 
(5) Any restrictions pertaining to the crisis nursery. 
(c) The Department shall be authorized to issue a license for fewer children than requested based upon determinations made pursuant to Section 86528(b). 
(d) When the license is issued for fewer clients than requested, the licensee shall be notified in writing of the reasons for the limitation and of the licensee's rights to appeal the decision as specified in Section 86540, Denial of a  License. 
(e) The Department shall have the authority to decrease existing licensed capacity with the licensee's agreement, when there is a change in any of the factors specified in Section 86528(b). 
(1) If the licensee does not agree to the decrease in capacity, the Department shall have the authority to initiate revocation action as specified in Section 86542, Revocation or Suspension of a License. 
(f) County placements shall be limited to no more than one-third of a crisis nursery's licensed capacity. 
(1) One-third of a crisis nursery capacity for the purpose of accepting county placements shall be interpreted as follows: 
(A) 

	Crisis	Nursery	Allowable	County
	Licensed Capacity		Placements

	1-2		0
	3-5		1
	6-8		2
	9-11		3
	12-14		4 
(2) The length of stay for a county placed child shall not exceed 14 days unless the Department issues an exception. 
(3) A county placed child receiving child day care services shall be counted in the capacity limitation as specified in Section 86528(f). 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86529. Withdrawal of an Application.
Note     •     History

(a) An applicant shall have the right to withdraw an application. 
(1) Withdrawal of an application shall be in writing. 
(2) The application fee in Section 86536(a) shall be forfeited. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1516, 1520, 1523.1 and 1553, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86531. Issuance of a License.
Note     •     History

(a) Within 90 days of the date that a completed application, as defined in Section 86501(c), has been received, the Department shall give written notice to the applicant of one of the following: 
(1) The application has been approved. 
(2) The application has been denied. 
(A) The notice of denial shall include the information specified in Section 86540(b)(1). 
(b) The Department shall notify the applicant, in writing, of the issuance of the provisional license. 
(1) Issuance of the license itself shall constitute written notification of approval. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1509, 1516, 1520, 1520.5, 1525, 1526 and 1553, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86531.1. Issuance of a Provisional License.
Note     •     History

(a) All crisis nursery license applicants who complete an application and meet regulatory and statutory requirements shall receive a provisional license for the first 12 months of operation. After eight months of operation, the Department shall conduct a comprehensive review of the crisis nursery for compliance with all applicable laws and regulations and shall assist the applicant to develop a plan of correction when necessary. 
(1) Before the first business day of the thirteenth month of operation, if the Department determines that the crisis nursery is in substantial compliance with licensing standards, the Department shall issue a permanent crisis nursery license, except as follows:
(A) If the Department determines that the crisis nursery is in substantial compliance with licensing standards, the Department may extend the provisional license for up to an additional six months if the crisis nursery requires additional time to be in full compliance with licensing standards. 
1. By no later than the first business day of the seventeenth month of operation, the Department shall conduct an additional review of a crisis nursery for which the provisional license is extended, to determine whether a permanent license should be issued. 
(b) A crisis nursery licensee with a permanent license may apply for a provisional license under the following conditions: 
(1) A temporary change in location of not more than six months due to unforeseen circumstances beyond the control of the licensee (i.e. flood, earthquake, etc). 
(A) The Department shall have the authority to authorize a temporary facility change following a Department review, a finding of substantial compliance with licensing standards, and the securing of an appropriate fire clearance. 
(c) If, during the provisional license period, the Department discovers any serious deficiencies, the Department shall have the authority to institute administrative action or civil proceedings, or refer the case for criminal prosecution. The Department may deny a crisis nursery license application at any time during the term of the provisional license to protect the health and safety of children. 
(d) If the Department denies the application, the crisis nursery shall cease operation immediately. Continued operation of the crisis nursery after the Department denies the application or after the provisional license expires shall constitute unlicensed operation. 
(e) A provisional license shall not be renewable and shall terminate on the date specified on the license or upon denial of the application, whichever is earlier. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1520, 1524, 1525.5 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86531.2. Issuance of a Permanent License.
Note     •     History

(a) Before the first business day of the thirteenth month (up to nineteen months, if an extension was granted in accordance with Section 86531.1(a)(1)(A)) after the effective date of the provisional license, pursuant to Section 86531.1, Issuance of a Provisional License, the Department shall give written notice to the crisis nursery applicant of one of the following: 
(1) A permanent license has been approved. 
(2) A permanent license has been denied. 
(A) The notice of denial shall include the information specified in Section 86540(b)(1). 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1509, 1516, 1520, 1520.5, 1525, 1525.5 and 1526, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86534. Submission of a New Application.
Note     •     History

(a) A licensee shall file a new application as required by Section 86518, Application for a License, whenever there is a change in conditions or limitations described on the current license, or other changes including, but not limited to, the following: 
(1) Any change in the location of the crisis nursery. 
(2) Any change of licensee, including but not limited to, the following: 
(A) Separating from a parent corporation. 
(B) Merger with another corporation. 
(3) Any change in facility category. 
(4) Any increase in capacity. 
(5) A permanent change in any child in care from ambulatory to nonambulatory status. 
(b) A new application as required by Section 86518, Application for a License, shall be filed whenever an applicant fails to complete a new application within the time limit required by Section 86527(a), if the applicant chooses to continue the application process. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1520, 1523.1 and 1531, Health and Safety Code.
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86535. Conditions for Forfeiture of a Crisis Nursery License.
Note     •     History

(a) Conditions for forfeiture of a crisis nursery license may be found in Health and Safety Code Section 1524. 
(1) “Licensee abandons the crisis nursery” shall mean the licensee informs the Department that the licensee no longer accepts responsibility for the crisis nursery, or the Department is unable to determine the licensee's whereabouts after making at least one (1) phone call per day, to the licensee's last telephone number of record, for five (5) consecutive workdays with no response; and sending a certified letter, requesting the licensee to contact the Department, to the licensee's last mailing address of record with no response within seven (7) calendar days. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1516, 1524 and 1524(e), Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86536. Licensing Fees.
Note     •     History

(a) The Department shall charge applicants and licensees fees in accordance with Health and Safety Code Section 1523.1.
(b) The application and annual fees shall be nonrefundable, except as provided in Government Code Section 13143. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1523.1 and 1524, Health and Safety Code; and Section 13143, Government Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section heading and subsection (b), transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
Article 4. Administrative Actions
§86540. Denial of a License.
Note     •     History

(a) Except as specified in Section 86531.1, Issuance of a Provisional License, the Department shall deny an application for an initial license if it is determined that the applicant is not in compliance with applicable law and regulation. 
(1) The Department shall have the authority to deny an application for an initial license if the applicant has failed to pay any civil penalty assessments pursuant to Section 86558, Unlicensed Facility Penalties, or in accordance with a final judgment issued by a court of competent jurisdiction, unless payment arrangements acceptable to the Department have been made. 
(2) An application for licensure shall be denied as specified in Health and Safety Code Sections 1520.11(b), (d) and 1550. 
(b) If the application for an initial license is denied, the Department shall mail the applicant a written notice of denial. 
(1) The notice shall inform the applicant of and set forth the reasons for denial, and shall advise the applicant of the right to appeal. 
(c) If the application for an initial license is denied, the application processing fee shall be forfeited. 
(d) An applicant shall have the right to appeal the denial of the application pursuant to Health and Safety Code Section 1526. 
(e) Notwithstanding any appeal action, the facility is unlicensed and shall not operate pending adoption by the director of a decision on the denial action. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1516, 1520, 1520.11, 1525, 1526, 1547 and 1548, Health and Safety Code. 
HISTORY

1. New article 4 (sections 86540-86546) and section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 86540-86546) and section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New article 4 (sections 86540-86546) and section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86542. Revocation or Suspension of a License.
Note     •     History

(a) The Department shall have the authority to suspend or revoke a crisis nursery license on any of the grounds specified in Health and Safety Code Sections 1550 and 1550.5. 
(b) Proceedings to hear a revocation action or a revocation and temporary suspension action shall be conducted pursuant to the provisions of Health and Safety Code Section 1551. 
(c) For a revocation and temporary suspension action, the Director shall request the Office of Administrative Hearings to hold the hearing as soon as possible but not later than 30 calendar days after receipt of the notice of defense. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1516, 1550, 1550.5 and 1551, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86544. Inspection Authority of the Department.
Note     •     History

(a) The Department shall have the inspection authority specified in Health and Safety Code Sections 1526.5, 1533, 1534 and 1538.
(b) The Department shall have the authority to interview children or staff. 
(1) The licensee shall make provisions for private interviews with any children or any staff member. 
(c) The Department shall have the authority to observe the physical condition of the children, including conditions which could indicate abuse, neglect, or inappropriate placement, and to have a medical professional physically examine the child(ren). 
(d) The Department shall have the authority to inspect, audit, and copy child or crisis center records upon demand during normal business hours. Records may be removed, if necessary, for copying. Removal of records shall be subject to the requirements specified in Section 86566(c) and Section 86570(d).
(1) The licensee shall ensure that provisions are made for the examination of all records relating to the operation of the crisis nursery.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1526.5, 1531, 1533, 1534 and 1538, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section heading and section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86545. Evaluation Visits.
Note     •     History

(a) Crisis Nurseries shall be evaluated as specified in Health and Safety Code Section 1534. 
(b) The Department shall have the authority to make any number of other visits to a crisis nursery in order to determine compliance with applicable law and regulation. 
(c) Any duly authorized officer, employee, or agent of the Department may, upon presentation of proper identification, enter and inspect any place providing personal care, supervision, and services at any time, with or without advance notice, to secure compliance with, or to prevent a violation of, any provision of Chapter 7.3. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1516, 1533, 1534 and 1538, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section and Note, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86546. Exclusions.
Note     •     History

(a) An individual can be prohibited from serving as a member of a board of directors, executive director, or officer; from being employed or allowing an individual in a crisis nursery as specified in Health and Safety Code Sections 1558 and 1558.1. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1516, 1558 and 1558.1, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
Article 5. Enforcement Provisions
§86552. Deficiencies in Compliance.
Note     •     History

(a) When a licensing evaluation is conducted and the licensing program analyst determines that a deficiency exists, the licensing program analyst shall issue a notice of deficiency, unless the deficiency is not serious and is corrected during the visit. 
(b) Prior to completion of a visit, the administrator, or other person in charge of the crisis nursery, shall meet with the licensing program analyst to discuss any deficiencies noted, to jointly develop a plan for correcting each deficiency, and to acknowledge receipt of the notice of deficiency. 
(c) The licensing program analyst shall provide notice of deficiency to the licensee by one of the following: 
(1) Personal delivery to the administrator, at the completion of the visit. 
(2) If the administrator is not at the crisis nursery site, the notice shall be given to the person in charge of the crisis nursery at the completion of the visit and mailed to the licensee.
(3) If the administrator or the person in charge of the crisis nursery refuses to accept the notice, a notation of the refusal shall be written on the notice and a copy left at the crisis nursery and mailed to the licensee. 
(d) The notice of deficiency shall be in writing and shall include the following: 
(1) Citation of the statute or regulation which has been violated. 
(2) A description of the nature of the deficiency that states the manner in which the licensee failed to comply with a specified statute or regulation and the particular place or area of the crisis nursery in which it occurred. 
(3) The plan developed, as specified in Section 86552(b), for correcting each deficiency. 
(4) A date by which each deficiency shall be corrected. 
(A) In determining the date for correcting a deficiency, the licensing program analyst shall consider the following factors: 
1. The potential hazard presented by the deficiency. 
2. The number of children affected. 
3. The availability of equipment or personnel necessary to correct the deficiency. 
4. The estimated time necessary for delivery, and for any installation, of necessary equipment. 
(B) The date for correcting a deficiency shall not be more than 30 calendar days following service of the notice of deficiency, unless the licensing program analyst determines that the deficiency cannot be completely corrected in 30 calendar days. 
(C) If the date for correcting the deficiency is more than 30 calendar days following service of the notice of deficiency, the notice shall specify the corrective actions which must be taken within 30 calendar days to begin correction. 
(D) The licensing program analyst shall require correction of the deficiency within 24 hours and shall specify on the notice the date by which the correction must be made whenever penalties are assessed pursuant to Section 86554(g). 
(5) The amount of penalty being assessed and the date the penalty begins. 
(6) The address and telephone number of the licensing office responsible for reviewing notices of deficiencies for the area in which the crisis nursery is located. 
(e) The following are examples of regulations that, if not complied with, nearly always result in a serious deficiency. 
(1) Section 86510 relating to limitations on capacity or ambulatory status of children in crisis nurseries. 
(2) Section 86519 relating to criminal record clearance. 
(3) Section 86520 relating to fire clearance. 
(4) Section 86521 relating to water supply. 
(5) Section 86572 relating to personal rights. 
(7) Section 86575 relating to storing and dispensing medications. 
(8) Section 86576 relating to food storage, preparation and service. 
(9) Section 86587 relating to safety of child(ren) accommodations. 
(10) Section 86588 relating to hot water temperature, toilet facilities, storage, and disposal of solid wastes. 
(11) Any other regulation, the violation of which is deemed by the Department to constitute a serious deficiency as defined in Section 86501(s)(1). 
(f) Failure to operate according to the plan of operation, as specified in Section 86522, may result in a citation for a serious deficiency. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1531, 1534 and 1548, Health and Safety Code. 
HISTORY

1. New article 5 (sections 86552-86559) and section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 86552-86559) and section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New article 5 (sections 86552-86559) and section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86553. Follow-Up Visits to Determine Compliance.
Note     •     History

(a) A follow-up visit shall be conducted to determine compliance with the plan of correction specified in the notice of deficiency. 
(1) At a minimum, a follow-up visit shall be conducted within ten working days following the dates of corrections specified in the notice of deficiency, unless the licensee has demonstrated that the deficiency was corrected as required. 
(2) No penalty shall be assessed unless a follow-up visit is conducted. 
(b) If a follow-up visit indicates that a deficiency was not corrected on or before the date specified in the notice of deficiency, the licensing program analyst shall issue a notice of penalty. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1516, 1533, 1534 and 1548, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86554. Penalties.
Note     •     History

(a) A notice of penalty shall be in writing and include: 
(1) The amount of penalty assessed and the date payment is due. 
(2) The name and address of the agency responsible for collecting the penalty. 
(b) A penalty of $50 per day, per cited violation, shall be assessed for serious deficiencies that are not corrected by the date specified in the notice of deficiency, up to a maximum of $150 per day. 
(c) Notwithstanding Section 86554(b), an immediate penalty of $100 per cited violation per day for a maximum of five (5) days shall be assessed if any individual required to be fingerprinted under Health and Safety Code Section 1522(b) has not obtained a California clearance or a criminal record exemption, requested a transfer of a criminal record clearance or requested and be approved for a transfer of an exemption as specified in Section 86519(e) prior to working, residing, or volunteering in the crisis nursery. 
(1) Subsequent violations within a twelve (12) month period shall result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days. 
(A) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1522. 
(B) Progressive civil penalties specified in Sections 86554(e), (f) and (g) shall not apply. 
(d) Notwithstanding Section 86554(b), an immediate penalty of $150 per day shall be assessed for any of the following: 
(1) A child's sickness, injury or death has occurred as a result of the deficiency. 
(e) When a crisis nursery is cited for a deficiency and violates the same regulation subsection within a 12-month period, the crisis nursery shall be cited and an immediate penalty of $150 per cited violation shall be assessed for one day only. Thereafter a penalty of $50 per day, per cited violation, shall be assessed until the deficiency is corrected. 
(f) When a crisis nursery that was cited for a deficiency subject to the immediate penalty assessment in Section 86554(e), violates the same regulation subsection within a 12-month period of the last violation, the crisis nursery shall be cited and an immediate penalty of $150 per cited violation shall be assessed for one day only. Thereafter, a penalty of $150 per day, per cited violation, shall be assessed until the deficiency is corrected. 
(1) For purposes of Sections 86554(e) and (f), a regulation subsection is the regulation denoted by a lower-case letter after the main regulation number. An example of the same regulation subsections are Section 87218(a)(2) and (a)(5). Section 87218(a) and (b) are not the same regulatory subsection. 
(g) If any deficiency is not corrected by the date specified in the notice of deficiency, a penalty shall be assessed for each day following that date until compliance has been demonstrated. 
(1) Immediate penalty assessment as specified in Section 86554(e) and (f) shall begin on the day the deficiency is cited. 
(h) If a licensee or designated representative notifies the Department that a deficiency has been corrected, the penalty shall cease as of the day the Department receives notification that the correction was made. 
(1) If the deficiency has not been corrected, civil penalties shall continue to accrue from the date of the original citation. 
(2) If it can be verified that the correction was made prior to the date of notification, the penalty shall cease as of the earlier date. 
(i) If necessary, a site visit shall be made immediately or within five working days to confirm that the deficiency has been corrected. 
(j) When an immediate penalty has been assessed pursuant to this section and correction is made when the licensing program analyst is present, a follow-up visit is not required. 
(k) If an immediate civil penalty is assessed, and the deficiency is corrected on the same day, the penalty shall still be assessed for that day. 
(l) Unless otherwise ordered by the Department all penalties are due and payable upon receipt of notice for payment, and shall be paid only by check or money order made payable to the agency indicated on the notice. 
(m) The Department shall have the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in Section 86544(l). 
NOTE

Authority cited: Sections 1530 and 1548, Health and Safety Code. Reference: Sections 1516, 1522, 1534 and 1548, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86555. Administrative Review.
Note     •     History

(a) A licensee or designated representative shall have the right to request a review of a notice of deficiency and notice of penalty within 10 working days of receipt of such notice(s). 
(1) If the deficiency has not been corrected, civil penalties shall continue to accrue during the review process. 
(b) The review shall be conducted by Department management. 
(c) If the reviewer of the appeal determines that a notice of deficiency or notice of penalty was not issued or assessed in accordance with applicable statutes and regulations of the Department, the reviewer shall have the authority to amend or dismiss the notice. 
(d) The reviewer shall have the authority to extend the date specified for correction of a deficiency if warranted by the facts or circumstances presented to support a request for extension. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1516 and 1534, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86555.1. Denial or Revocation of a License for Failure to Pay Civil Penalties.
Note     •     History

(a) The licensee shall be responsible for paying civil penalties. 
(1) Unless otherwise provided, the transfer, surrender, forfeiture or revocation of a license shall not affect the licensee's responsibility for paying any civil penalties accrued while the license was in effect. 
(b) The Department shall have the authority to deny or revoke any license for failure to pay civil penalty assessments. 
(1) The Department shall have the authority to approve payment arrangements acceptable to the Department. 
(2) The Department shall have the authority to approve the form of payment. 
(3) The licensee's failure to pay civil penalty assessments pursuant to a payment plan approved by the Department may result in the denial or revocation of any license, and/or any other appropriate action. 
(c) Any denial or revocation of the license for failure to pay civil penalties may be appealed as provided by Health and Safety Code Section 1551. 
NOTE

Authority cited: Sections 1530 and 1548, Health and Safety Code. Reference: Sections 1516, 1522, 1534, 1548 and 1551, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86558. Unlicensed Facility Penalties.
Note     •     History

(a) A penalty of $200 per day shall be assessed for the operation of an unlicensed facility under either of the following conditions: 
(1) The operator has not submitted a completed application for licensure within 15 calendar days of issuance of the Notice of Operation in Violation of Law pursuant to Section 86506, Operation Without A License, and continues to operate. 
(A) For purposes of this section, an application shall be deemed completed if it includes the information required in Section 86518, Application for a License. 
(B) The completed application shall be deemed to be submitted when received by the Department. 
(2) Unlicensed operation continues after denial of the initial application. 
(A) Notwithstanding any appeal action, facility operation must cease within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first. 
(b) The $200 per day penalty shall be assessed for the continued operation of an unlicensed crisis nursery as follows: 
(1) On the 16th calendar day after the operator has been issued the Notice of Operation in Violation of Law and has not submitted a completed application as required. 
(A) The $200 per day penalty shall continue until the operator ceases operation or submits a completed application pursuant to Sections 86558(a)(1)(A) and (B). 
(2) Within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first. 
(A) The $200 per day penalty shall continue until the operator ceases operation. 
(c) If the unlicensed operator or designated representative reports to the Department that unlicensed operation, as defined in Health and Safety Code Section 1503.5, has ceased, the penalty shall cease as of the day the Department receives the notification. 
(1) A site visit shall be made immediately or within five working days to verify that the unlicensed crisis nursery operation has ceased. 
(2) Notwithstanding Section 86558(c), if the unlicensed crisis nursery operation has not ceased, penalties shall continue to accrue without interruption from the date of initial penalty assessment. 
(d) All penalties shall be due and payable upon receipt of the Notice for Payment from the Department, and shall be paid by check or money order made payable to the Department. 
(e) The Department shall have the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in Section 86558(d). 
(f) Payment of civil penalties or application for licensure in response to a citation under this section do not permit the operation of a crisis nursery without a license.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1503.5, 1508, 1516, 1520, 1533, 1538, 1540, 1540.1, 1541, 1547 and 1549, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86559. Unlicensed Facility Administrative Appeal.
Note     •     History

(a) An unlicensed crisis nursery operator or designated representative shall have the right to appeal the penalty assessment within 10 working days after service of the penalty assessment. 
(1) If the unlicensed crisis nursery operation has not ceased, the $200 per day penalty shall continue to accrue during the appeal process. 
(b) The appeal review shall be conducted by Department management. 
(c) If the reviewer of the appeal determines that the penalty assessment was not issued in accordance with applicable statutes and regulations of the Department, the reviewer shall have the authority to amend or dismiss the penalty assessment. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1503.5, 1508, 1516, 1547 and 1548, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
Article 6. Continuing Requirements
§86561. Reporting Requirements.
Note     •     History

(a) The licensee shall report to the Department within the next business day during normal business hours (8 a.m. to 5 p.m.), and in writing seven days, of the occurrence of any of the following incidents:
(1) Death of any child in care from any cause, regardless of where the death occurred including in route to or from a hospital, or visiting away from the crisis nursery. 
(A) The licensee shall obtain a certified copy of the child's death certificate as soon as it is available, maintain it in the child's file, and send a copy to the Department as soon as it is obtained. 
(2) Any injury to any child that requires treatment by a medical professional. 
(3) Any unusual incident or child absence which threatens the physical or emotional health or safety of any child. 
(A) When reporting a child's absence, the report must include the following: 
1. When and how the child's absence was first noted. 
2. The child's last known activities. 
3. The circumstances surrounding the child's absence. 
4. Action taken by crisis nursery personnel to locate the child. 
5. Whether law enforcement was involved, and if so, the extent of involvement.
6. Documentation that the child's authorized representative or legal guardian has been notified of the incident. 
(4) Any suspected physical or psychological abuse or neglect as defined in Penal Code Section 11165.6 of any child in care, in addition to reporting requirements pursuant to Penal Code Section 11166.
(5) A communicable disease outbreak when determined by the local health authority.
(6) Poisonings. 
(7) Fires or explosions that occur in or on the premises. 
(A) Within 24 hours the licensee additionally shall report to the local fire authority, or in areas not having organized fire services, to the State Fire Marshal. 
(b) As soon as possible, but not later than the next business day, the licensee additionally shall report the incidents specified in Section 86561(a)(1) through (a)(7) that affect a child to that child's authorized representative. 
(c) The licensee shall include the following information on the written report: 
(1) Child's name, age, sex, and date of admission. 
(2) A detailed narrative of the incident and the events leading up to the incident, including the date, time, and location.
(3) Attending physician's name, findings, and treatment, if any. 
(4) Disposition of the case, including the description of the crisis nursery plan for the child, in response to the incident. 
(5) Analysis of the incident compared to other reportable incidents involving the same child, if any, and including the following information:
(A) Description of other incidents. 
1. Dates of previous incidents. 
2. Types of incidents. 
3. Action taken by crisis nursery personnel in response to incidents. 
(B) The commonalities with other incidents involving the same child. 
(d) Within 10-working days following the occurrence, the licensee shall report to the Department the following changes:
(1) The organizational changes specified in Section 86534(a)(2). 
(2) Any change in the licensee's mailing address. 
(3) Any change of the chief executive officer of a corporation or association, including the new chief executive officer's name and address. 
(4) A new member of the board of directors including the following information: 
(A) Name and mailing address of the new member.
(B) Date he/she joined the board of directors. 
(5) Any change in the administrator, including the following information: 
(A) Name, residence, and mailing addresses of the new administrator. 
(B) Date position was assumed. 
(C) Description of background and qualifications, including documentation of required education. 
1. Photocopied of the documentation shall be permitted. 
(6) Any changes in the plan of operation, specified in Section 86522(b) through (c), that affect the services to children. 
(A) Before implementing any changes to the plan of operation, the licensee shall obtain written approval from the Department. 
(e) The licensee shall send to parents, legal guardians, board members of the crisis nursery, child rights advocates or placement agencies, as designated in each child's placement agreement, copies of substantiated complaints, in accordance with Health and Safety Code Section 1538.5(b). 
(f) The licensee shall ensure that the child's authorized representative is notified no later than the next business day if the following circumstances have occurred without the authorized representative's participation: 
(1) The child has been placed in the crisis nursery under emergency circumstances. 
(2) The child has been removed from the crisis nursery. 
(g) The licensee shall ensure that the child's authorized representative is sent prior written notification regarding the need for non-emergency relocation of the child. 
(h) The licensee shall submit to the Department by the fifth day of each month a report on LIC 9219 that indicates the total number of children placed in the crisis nursery, and shall include the following information: 
(1) Whether each child is a voluntary county placement.
(2) The length of stay for each child in the crisis nursery. 
(3) The number of children receiving crisis day care services. 
(4) LIC 9219 reports shall be maintained at the crisis nursery for at least three years and available to the Department pursuant to Section 86544(d).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1516, 1520.1, 1522.41(b)(4), 1531, 1538.5, 1558.1 and 1562, Health and Safety Code; and Section 11406(c), Welfare and Institutions Code. 
HISTORY

1. New article 6 (sections 86561-86580) and section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 86561-86580) and section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New article 6 (sections 86561-86580) and section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86562. Finances.
Note     •     History

(a) The licensee shall meet the following financial requirements: 
(1) Development and maintenance of a financial plan which ensures resources necessary to meet operating costs for care and supervision of children. 
(2) Maintenance of financial records. 
(3) Submission of financial reports as required upon the written request of the Department. 
(A) Such request shall explain the necessity for disclosure. 
(B) The Department shall have the authority to reject any financial report, and to request and examine additional information including interim financial statements. The reason(s) for rejection of the report shall be in writing. 
(C) The Department may remove additional information, if necessary for copying. Removal shall be subject to the following requirements:
1. Prior to removal, the Department representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or administrator designee.
2. The Department representative shall return the records undamaged and in good order within three business days following the date the records were removed.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1520 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86563. Accountability.
Note     •     History

(a) The licensee is accountable for the general supervision of the crisis nursery and for the establishment of policies concerning its operation. 
(1) The governing body of the crisis nursery shall be active and functioning in order to ensure such accountability. 
(b) The board of directors shall be active in ensuring accountability and shall perform at a minimum, the following duties: 
(1) Establish and approve policies and procedures governing the operation of the crisis nursery; 
(2) Approve and monitor the corporation's operating budget; 
(3) Assess and maintain the level of funds necessary to cover the costs of operating the crisis nursery; 
(4) Employ an administrator who meets the requirements of Section 86564(d); 
(5) Complete a written statement describing the duties delegated to the administrator. Provide a copy of this statement to the administrator and maintain a copy in the crisis nursery's file; 
(6) Require that the administrator, or a designee be present at all board of directors meetings during which the operation or the policies of the crisis nursery are discussed; 
(7) Conduct board of directors meetings at least on a quarterly basis to review and discuss the crisis nursery's operation, licensing reports, financial and program audit reports of the crisis nursery operation, special incident reports, and any administrative action against the licensee or its employees. Based upon the review, ensure that the crisis nursery complies with all applicable regulations; 
(8) Ensure that minutes are kept for all board of directors meetings and retained as a permanent record. The minutes shall reflect the board's discussion of the documents specified in Section 86563(b)(7); 
(9) Ensure that all minutes of board of directors meetings are available for review by the Department; and 
(10) Submit copies of all corporate documents to the Department at the time documents are submitted to the Secretary of State. 
(c) The licensee shall provide each member of the board of directors with the “Facts You Need To Know, Crisis Nursery Board of Directors” (PUB 414) booklet made available by the Department. 
(d) The licensee shall require that each member of the board of directors sign and date the form LIC 165 as specified in Section 86518(c). The signed original form shall be maintained in the crisis nursery's administrative office. 
(1) A signed form shall be obtained from a prospective member of the board of directors before joining the board of directors. 
(2) A permanent license shall not be issued until all members of the board of the directors have signed the form. 
(3) Form LIC 165 shall be made available for review by the Department upon request. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86564. Administrator Qualifications and Duties.
Note     •     History

(a) Any member of the governing board of the licensed corporation shall be permitted to be the administrator provided that he or she meets the qualifications specified in this section. 
(b) The administrator shall have the following qualifications and shall perform the following duties: 
(1) Knowledge of the requirements for providing the type of care and supervision needed by children in crisis nurseries, including ability to communicate with such children. 
(2) Knowledge of and ability to comply with applicable law and regulation. 
(3) Ability to maintain or supervise the maintenance of financial and other records and the preparation of the crisis nursery's budget and management of expenditures. 
(4) Ability to direct the work of others. 
(5) Ability to establish the crisis nursery's policy, program and budget. 
(6) Ability and responsibility to recruit, employ, train, and evaluate qualified staff, and to terminate employment of staff when necessary. 
(7) Review of complaints made by children or their authorized representative(s), comply with applicable reporting requirements, and take appropriate action. 
(c) The administrator shall be on the premises for the number of hours necessary to manage and administer the crisis nursery in compliance with applicable law and regulation. 
(d) All licensees shall have an administrator who meets one of the following requirements: 
(1) A Master's Degree from an accredited graduate school or a state-approved graduate school. The Master's Degree shall be in social work or social welfare, marriage, family and child counseling, counseling psychology or human services. In addition, the administrator shall have documented ability and leadership through a minimum of three years of experience in the field of child or family services, two years of which have been in an administrative or managerial position. 
(2) A Bachelor's Degree in a behavioral science from an accredited college or university. In addition, the administrator shall have demonstrated ability and leadership through a minimum of five years of experience in the field of child or family services, two years of which have been in an administrative or managerial position. 
(e) At all other times, when the administrator is absent from the crisis nursery, there shall be coverage by the lead caregiver. If the lead caregiver does not meet the administrator qualifications, there shall be immediate access to the administrator or one who meets the administrator requirements. The lead caregiver shall have: 
(1) Knowledge of the crisis nursery operations. 
(2) Training in programs provided by the crisis nursery. 
(3) Authority to correct deficiencies that constitute immediate threats to the health and safety of children in the crisis nursery. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1531, 1538 and 1562, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86565. Personnel Requirements.
Note     •     History

(a) The licensee shall employ those administrative, lead caregiver, caregiver, and volunteer and support staff necessary to perform the assigned duties specified in applicable law and regulation. 
(1) The Department shall have the authority to require any licensee to provide additional staff whenever the Department determines and documents that additional staff are required for the provision of services necessary to meet the child(ren)'s needs. The licensee shall be informed in writing of the reasons for the Department's determination. 
(b) All personnel shall be given a copy of their job duties and responsibilities, and shall have access to all other job duties and responsibilities. 
(c) The licensee shall be permitted to utilize trained volunteers as specified in Section 86565(w). 
(d) Crisis nursery personnel shall be at least 18 years of age. 
(e) The licensee shall ensure direct supervision that meets the needs of children or infants during participation in or presence at potentially dangerous activities. 
(f) There shall be a ratio of not less than one adult who has a valid water-safety certificate on file at the crisis nursery to two infants, or to every six children or fraction thereof, during activities in or near any of the following bodies of water:
(1) Swimming pool.
(2) Any portable pool with sides so high that children using the pool cannot step out unassisted by a person or device (including a ladder).
(3) Natural bodies of water including, but not limited oceans, lakes, rivers and streams.
(g) All personnel shall be given on-the-job training or shall have related experience that provides knowledge of and skill in the following areas, as appropriate to the job assigned and as evidenced by safe and effective job performance.
(1) Early childhood development.
(2) Principles of nutrition, food preparation and storage and menu planning. 
(3) Housekeeping and sanitation principles. 
(4) Care and supervision of children, including communication. 
(5) Recognition of early signs of illness and the need for professional assistance. 
(6) Availability of community services and resources. 
(7) Emergency preparedness and evacuation. 
(8) Recognition, identification and reporting of signs and symptoms of child abuse. 
(h) All personnel, including the administrator and volunteers, shall be in good health, and shall be physically, mentally, and occupationally capable of performing assigned tasks. 
(1) A health screening report, including a test for tuberculosis, performed by or under the supervision of a physician not more than one year prior to, or seven days after employment, signed by the person performing the screening shall indicate the following: 
(A) The person's physical qualifications to perform the duties to be assigned. 
(B) The presence of any health condition that would create a hazard to the person, child or other staff members. 
(2) The good physical health of each volunteer who works in the crisis nursery shall be verified by: 
(A) A statement signed by each volunteer affirming that he or she is in good health. 
(B) A test for tuberculosis performed not more than one year prior to or seven days after initial presence in the crisis nursery. 
(i) Personnel with evidence of physical illness that poses a threat to the health and safety of child(ren) shall be relieved of their duties. 
(j) Prior to employment or initial presence in the crisis nursery, all staff and volunteers subject to a criminal record review shall: 
(1) Obtain a California clearance or a criminal record exemption as required by Section 86519(c) and Health and Safety Code Section 1522, or 
(2) Request a transfer of a criminal record clearance as specified in Section 86519(f), or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 86519.1(r). 
(k) At all times, there shall be coverage by qualified personnel to perform assigned tasks. 
(l) Personnel shall provide for the care and safety of children without physical or verbal abuse, exploitation or prejudice. 
(m) All personnel shall be instructed to report observations or evidence of violations of any of the personal rights specified in Section 86572(a). 
(n) Lead caregivers, caregivers, and volunteers shall have a current and valid certificate verifying successful completion of pediatric first aid and pediatric cardiopulmonary resuscitation issued by the American Red Cross, the American Heart Association, a training program approved by the State Emergency Medical Service Authority, or from an accredited college or university. 
(o) The licensee shall develop, maintain and implement a written staff training plan for the orientation, continuing education, on-the-job training and development, supervision, and evaluation of all lead caregivers, caregivers, and volunteers. The licensee shall incorporate the training plan in the crisis nursery plan of operation. 
(p) The licensee shall designate at least one lead caregiver to be present at the crisis nursery at all times when children are present. 
(q) The lead caregiver shall have one of the following education and experience qualifications: 
(1) Completion of 12 postsecondary semester units, or equivalent quarter units, with a passing grade, in early childhood education or child development at an accredited or approved college or university and 6 months of work experience in a licensed group home, licensed infant care center, or comparable group child care program. 
(A) At least three semester units, or equivalent quarter units, shall include coursework in the care of infants. 
(B) At least three semester units, or equivalent quarter units, shall include coursework in the study of abused and drug-exposed children. 
(C) The written verification of experience shall include statements that the individual worked satisfactorily for at least three hours per day for 50 days in a six-month period, as a paid or volunteer staff member, and that a person who would qualify as a lead caregiver supervised the experience. 
1. Verification shall be provided from the National Credentialing Program, 2460 16th Street, Northwest, Washington, D.C. 20009, (1-800-424-4310).
(2) A current and valid Child Development Associate (CDA) credential, with the appropriate age level endorsement issued by the CDA National Credentialing Program, and at least six months of on-the-job training and/or work experience in a licensed child care center or comparable group child care program. 
(A) At least three semester units, or equivalent quarter units, shall be in coursework that includes the study of abused and drug-exposed children. 
(3) A current and valid Child Development Associate Teacher Permit issued by the California Commission on Teacher Credentialing pursuant to California Code of Regulations, Title 5, Sections 80105 through 80116. 
(A) At least three semester units, or equivalent quarter units, shall be in coursework that includes the study of abused and drug-exposed children. 
(r) Lead caregivers shall have a minimum of 24 hours of training and orientation before working with children. 
(s) The written staff training plan shall require the lead caregiver to receive and document a minimum of 24 hours of annual training. 
(A) Annual training may include the following topics: the development of children from birth through five; bonding and attachment; language acquisition; basic life support including best methods of toilet training; cultural competency; separation; grieving; discipline and limit setting; sexual abuse; communication enhancement; preventive health practices, and the dynamics of various causes and effects of family function and dysfunction; family counseling techniques; family education and support. 
(B) Documentation of training shall include the date of training, the location, the title, a brief description of the training, names and signatures of staff attending onsite training, independent third-party verification of offsite training (i.e., official grade slips, transcripts, certificates, signed documentation from an approved or accredited institution or a licensee association), hours of training, name and qualifications of trainer(s). 
(t) Caregiver staff shall complete a minimum of 24 hours of initial training and shall be included in the written staff training plan. 
(1) The training plan shall include caregiver job shadowing activities, that include: 
(A) A description of specific activities observed; 
(B) Job classification of the individual being shadowed; 
(C) Time spent on each activity; and 
(D) Skill to be developed through each job shadowing activity. 
(2) The training plan shall include for each training session the following: 
(A) Course title and subject matter; 
(B) Learning objectives and activities; 
(C) Number of hours per training session; 
(D) Qualifications of the trainer; and 
(E) Training evaluation. 
(u) The initial 24 hours of training for caregiver staff shall be comprised of the eight- and 16-hour training as follows: 
(1) Eight-Hour Training 
(A) Training shall be completed before new caregiver staff are: 
1. Responsible for supervising children, 
2. Left alone with children, and 
3. Counted in the staff to child ratio required by Sections 86565.5(b) through (d). 
(B) Until the eight hours of training are completed, new caregiver staff shall be visually supervised at all times by the lead caregiver. 
(C) A maximum of four hours of the training requirement shall be satisfied by successful completion of job shadowing. 
1. For purposes of this regulation, job shadowing means a process whereby new caregiver staff follow and observe experienced crisis nursery personnel performing a specific job. The purpose of job shadowing is to gain information related to a specific job including, materials used, physical demands, necessary skills and knowledge. 
2. During shadowing, the experienced crisis nursery personnel being shadowed must be performing child care duties and counted in the staff to child ratios, as required by Section 86565.5(b) through (d). 
3. Job shadowing shall promote the development of specific skills. 
(D) Successful completion of job shadowing shall be verified by a statement completed by the experienced crisis nursery personnel being shadowed. 
(E) Within seven-calendar days of completion of the eight-hour training, the administrator or administrator's designee shall assess if each caregiver staff understands and can apply the training. 
1. The assessment may include observation of performance, post-testing or demonstrated hands-on competency. 
2. The assessment shall be documented in each caregiver staff personnel record. 
3. When the administrator or administrator's designee determines a caregiver staff does not understand and cannot apply the training, re-training is required. 
(2) Sixteen hours of training shall be completed by new caregiver staff within 90 days of hire. 
(A) Within 30 days of completion of the 16-hour training, the administrator or administrator's designee shall assess if each newly hired caregiver staff understands and can apply the training. 
1.The assessment may include observation of performance, post-testing or demonstrated hands-on competency. 
2. The assessment shall be documented in each caregiver staff personnel record. 
3. When the administrator or administrator's designee determines a caregiver staff does not understand and cannot apply the training, re-training is required. 
(B) Training shall include, at a minimum, the following topics. The licensee shall determine how much time is spent on each topic, and shall ensure that caregiver staff have appropriate skills necessary to supervise the children in care. 
1. Overview of the child population served; 
2. The crisis nursery's program and services, including program philosophy, activities and community resources; 
3. The crisis nursery's policies and procedures, including reporting requirements to the Department and as a mandated child abuse reporter; 
4. Caregiver workers' job description, including roles and responsibilities; 
5. Role of other crisis nursery personnel; 
6. Discipline policies and procedures; 
7. Emergency response as specified in the emergency plan; 
8. Teamwork and interpersonal communication among crisis nursery personnel and children and the child's family members; 
9. Teamwork and intra-crisis nursery communication; 
10. The role of placement workers and the role of the parent or legal guardian when a child is placed; 
11. Medication procedures, assistance with medication, universal precautions, recognition of early signs of illness and the need for professional assistance, and other health related issues; 
12. Crisis nursery children's adjustment to group care; 
13. Housekeeping and sanitation principles; principles of nutrition, food preparation and storage and menu planning; 
14. California Code of Regulations, Title 22, Division 6, Chapter 7.3, Crisis Nurseries; 
15. Availability of community services and resources; 
16. Recreation activities and resources; and 
17. Families in crisis and stressful family situations. 
(C) The training requirement shall be satisfied by successful completion of course work conducted in a workshop, seminar, classroom setting, individual or small group setting by a qualified individual. 
1. A qualified individual shall possess: a) a master's degree in a behavioral science from an accredited college or university and one year experience as an administrator, social worker, child care staff, or independent contractor providing direct social work activities in a residential care facility for children; or, b) a master's degree and one year of work experience with the child population served or a bachelor's degree and two years of work experience with the child population served; or, c) a licensed mental health professional, as defined in California Code of Regulations Title 9, Chapter 12, Section 1901(p) or, d) a certificate or credential from an accredited course of study or educational institution in the subject matter for which the individual will be providing training; e) or, an individual who has provided training to staff in a residential care facility for children for three years and has at least three years work experience in the subject matter of the training. 
(D) Documentation of successful completion of training shall be maintained in the personnel record for each caregiver staff. 
(3) The 24-hour initial training is in addition to first aid and CPR training. 
(v) All caregiver staff shall complete a minimum of 20 hours of annual training. 
(1) At least 5 hours of the annual training shall consist of course work from an entity other than the crisis nursery, such as an accredited educational institution, workshops, seminars, or other direct training provided by a qualified individual who meets the requirements specified in Section 86565(u)(2)(C)1., who is not affiliated with the crisis nursery licensee. 
(2) Annual training may include, but is not limited to, the following topics: 
(A) Neglect/abuse issues; 
(B) Attachment issues; 
(C) Behavior problems/psychological disorders; 
(D) Mental health/behavioral interventions; 
(E) Substance abuse issues; 
(F) Cultural diversity; 
(G) Child development; 
(H) Importance of sibling and family relationships; 
(I) Placement agencies and the placement process; 
(J) Topics listed in Sections 86565(u)(2)(B)1. through 17. 
(3) Training topics shall be appropriate for the population of children served and services provided. 
(4) The training requirement may be satisfied by successful completion of course work conducted in a workshop, seminar, or classroom setting, individual or small group setting by a qualified individual. 
(5) Documentation of successful completion of training shall be maintained in the personnel record for each caregiver staff. 
(6) Annual training is in addition to first aid and CPR training. 
(w) The training plan shall address the initial 28 hours training requirements for volunteers. Volunteers shall complete eight- and 20-hour training as follows:
(1) Prior to assuming the duties and responsibilities of caring for children in a crisis nursery and being counted in the staff-to-child ratio, volunteers shall complete at least eight hours of initial training, as follows: 
(A) Four hours of crisis nursery job shadowing with a trained and experienced caregiver or lead caregiver. Successful completion of job shadowing shall be verified by a statement completed by the experienced staff being shadowed. The training shall include the following: 
1. Specific activities; 
2. Time spent on each activity; and 
3. The type of skill developed through each job shadowing activity. 
(B) Two hours of review of Title 22, Division 6, Chapter 7.3, Crisis Nursery regulations. 
(C) Two hours of review of a crisis nursery program, including: 
1. The crisis nursery mission statement and 
2. The goals and objectives, and special needs of the child population served. 
(2) Within 90 days, volunteers who are included in the staff-to-child ratio shall complete at least 20 hours of training, as follows: 
(A) Twelve hours of pediatric first aid, and pediatric cardiopulmonary resuscitation. 
(B) Eight hours of child care health and safety issues, which may include the topics specified in Section 86565(u)(2)(B)1. through 17. above. 
(3) Within 30 calendar days of completion of both the eight-hour and 20-hour training, the administrator or administrator's designee shall assess if each volunteer understands and can apply the training. 
(A) The assessment may include observation of performance, post testing or demonstrated hands-on competency. 
(B) The assessment shall be documented in each volunteer staff personnel record. 
(C) When the administrator or administrator's designee determines a caregiver staff member does not understand and cannot apply the training, retraining is required. 
(x) Volunteers who have completed a background check, CACI check, and TB test, but have not completed the 28 hours of training may assist a trained caregiver or lead caregiver in performing child care duties. 
(1) Volunteers who have not completed the 28 hours of training shall have the following restrictions: 
(A) Shall not be left alone with children. 
(B) Shall always be under the direct supervision and observation of a trained caregiver or lead caregiver. 
(C) Shall not be counted in meeting the minimum staff-to-child ratio requirements as specified in Section 86565.5(c) through (e). 
(y) Volunteers shall meet the annual training requirements as specified in Section 86565(v). 
(z) Documentation of successful completion of volunteer training shall be maintained in the personnel record for each volunteer. 
(aa) Upon employment, staff shall receive copies of the procedures specified in Section 86568.4, Removal and Discharge Procedures, Section 86572.1, Discipline Policies and Procedures, and Section 86572.2, Complaint Procedures. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1522, 1531, 1526.8, 1562 and 1596.866, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86565.2. Personnel Duties.
Note     •     History

(a) Lead caregiver, caregiver and volunteer staff shall perform, at a minimum, the following duties: 
(1) Supervision, protection and care of children individually and in groups at all times. 
(2) Assistance to each child in working with a group and in handling individual problems. 
(3) Administration of discipline and setting of limits for behavior. 
(4) Notation of the child's progress, identification of the possible need for professional services, and communication of such findings to professional staff. 
(b) Support staff duties may include, but not be limited to, the following: 
(1) Office work, including bookkeeping, clerical and accounting.
(2) Cooking. 
(3) Housecleaning. 
(4) Laundering. 
(5) Maintenance of crisis nursery buildings, grounds, fixtures, furniture, equipment and supplies. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1526.8 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86565.5. Staff to Child Ratios.
Note     •     History

(a) There shall be at least one fully qualified and employed lead caregiver on site at all times. 
(b) There shall be at least one employed staff person present for every volunteer caregiver used by the crisis nursery for the purpose of meeting the minimum caregiver staffing requirements. 
(c) There shall be at least one employed staff or volunteer caregiver for each group of three children, or fraction thereof, from 7 a.m. to 7 p.m. 
(d) There shall be at least one paid caregiver or volunteer caregiver for each group of four children, or fraction thereof, from 7 p.m. to 7 a.m. 
(e) There shall be at least one staff person or volunteer caregiver awake at all times from 7 p.m. to 7 a.m. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1526.8 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of subsection (a), transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86566. Personnel Records.
Note     •     History

(a) Personnel records shall be maintained on the licensee, administrator, lead caregiver, caregiver, volunteer caregiver, and any other employee of the crisis nursery and shall contain the following information: 
(1) Employee's full name. 
(2) Driver's license number if the employee is to transport children. 
(3) Date of employment. 
(4) Duties of the employee. 
(5) A statement signed by the employee/volunteer that he/she is at least 18 years of age. 
(6) Home address and phone number. 
(7) Documentation of the educational background, training and experience of employees and volunteers. 
(8) Past experience, including types of employment and former employers. 
(9) A health screening specified in Section 86565(h). 
(10) Tuberculosis test documents as specified in Section 86565(h). 
(11) For employees required to be fingerprinted pursuant to Section 86519, Criminal Record Clearance: 
(A) A signed statement regarding their criminal record history. 
(B) Documentation of either a criminal record clearance or exemption. 
(b) All personnel records shall be retained for at least three years following termination of employment including the termination date. 
(c) All personnel records shall be available to the Department to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Department representatives shall not remove any current emergency and health-related information for current personnel unless the same information is otherwise readily available in another document or format. 
(2) Prior to removing any records, a Department representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Department representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
(d) In all cases, personnel records shall document the hours actually worked. 
(e) All personnel records shall be maintained at the crisis nursery. 
(1) The licensee shall be permitted to retain such records in a central administrative location provided that they are readily available to the Department at the crisis nursery. 
(f) The licensee shall also ensure the following information is maintained in personnel records: 
(1) Complete job descriptions on all positions within the crisis nursery. 
(2) A description of all staff assignments, including information regarding lines of authority and staff responsibilities. 
(3) A dated employee time schedule developed at least monthly, displayed conveniently for employee reference, and containing the following information for each employee: 
(A) Name. 
(B) Job title. 
(C) Hours of work. 
(D) Days off. 
(4) A record of each work performance evaluation and any correspondence with the employee. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1531 and 1562, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86568.1. Intake Procedures.
Note     •     History

(a) The licensee shall develop, maintain, and implement intake procedures that include initial assessment and admission procedure.
(b) Information obtained during an initial assessment by telephone shall include the following information: 
(1) Parent's name and phone number. 
(2) A description of  the family crisis or stressful situation, or circumstances necessitating the child's placement.
(3) The age and physical and mental health of the child. 
(4) A preliminary determination that the crisis nursery is able to meet the needs of the child. 
(5) The child's expected length of stay. 
(c) At the time of admission or placement, the crisis nursery shall:
(1) Obtain the information and signed consent forms specified in Sections 86570(b)(1) through (16). 
(A) For county placements, if some of the information is not obtained at the time of placement, the administrator shall make telephone or written requests for the information to the child's authorized representative, and shall record and retain the details of those requests. 
(2) Complete an admission form that includes a description of the family history, child health information, emergency information, dietary requirements, daily needs, habits or routines, and the disciplinary methods used by the parent(s) or guardian. 
(3) Complete the initial assessment plan as specified in Section 86568.2(a). 
(4) Ensure that the authorized representatives understand, sign, and receive a copy of the following: 
(A) Personal rights as specified in Section 86572(a). 
(B) Discipline policies and procedures as specified in Section 86572.1(a). 
(C) Complaint procedures as specified in Section 86572.2(a). 
(D) Removal and Discharge procedures as specified in Section 86568.4(a). 
(d) No later than seven calendar days following county placement of a child, an admission agreement shall be signed and dated acknowledging the contents of the document, by the child's authorized representative and the licensee's designated representative and at a minimum shall contain the following information: 
(1) Basic services. 
(2) Available optional services. 
(3) Payment provisions, including the following: 
(A) Basic rate. 
(B) Optional services rates. 
(C) Payor. 
(D) Due date. 
(E) Frequency of payment. 
(4) Right of the Department to perform the duties authorized in Section 86544(b) and (c). 
(5) Conditions under which the agreement may be terminated. 
(6) The crisis nursery's policy concerning family visits and other communication with children, pursuant to Health and Safety Code Section 1512.
(e) Modifications to the admission agreement shall be made whenever circumstances covered in the agreement change, and shall be signed and dated by the licensee's designated representative and the child's authorized representative. 
(1) The crisis nursery shall provide a copy of the current admission agreement and any modifications to the child's authorized representative. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86568.2. Initial Assessment Plan.
Note     •     History

(a) The licensee shall ensure that at the time of placement, an Initial Assessment Plan which identifies the immediate needs of the child is developed and includes the following: 
(1) Name. 
(2) Age. 
(3) Physical limitations. 
(4) History of infections or contagious diseases, if known. 
(5) History of other medical, emotional, behavioral or physical problems, if known. 
(6) Plan for providing services to meet the individual needs identified above. 
(7) Planned length of stay. 
(b) Within seven days of placement, the initial assessment plan shall also address and work towards alleviating the family crisis or stressful situation by including the following: 
(1) Identify the family crisis or stressful situation 
(2) Identify the services to be provided by the crisis nursery in cooperation with community resources. These services may include referrals to appropriate family treatment, counseling, and prevention services. 
(3) Visitation, including the frequency of and any limitations on visits inside and outside the crisis nursery. 
(c) The licensee shall ensure that the child's parent, guardian, or authorized representative(s) are offered the opportunity to participate in the development of the initial assessment plan. 
(d) Once the initial assessment plan is completed, the signatures of the parents, legal guardians or authorized representatives of the child and the signature of the licensee or the licensee's designee is required. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of subsection (a), transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86568.4. Removal and Discharge Procedures.
Note     •     History

(a) The licensee shall ensure that written policies and procedures governing a child's removal or discharge from the crisis nursery are developed, maintained, and implemented. 
(1) The child's parent, guardian, or authorized representative(s) shall receive copies of such policies and procedures. 
(2) Signed copies of such policies and procedures shall be maintained in the child's record, as specified in Section 86570. 
(b) If it is determined that the crisis nursery cannot meet the needs of the child, the licensee shall ensure that the child's parent, guardian, or authorized representative(s) are notified of the determination and request that the child be placed elsewhere. 
(c) Nothing in this section is intended to prevent the child's removal from the crisis nursery under emergency circumstances by an authorized person or agency. 
(d) Crisis nursery staff shall develop and maintain a written removal or discharge record containing the information specified in Section 86570(g). 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86570. Children's Records.
Note     •     History

(a) A separate, complete, and current record shall be maintained in the crisis nursery for each child. 
(b) Each record must contain information for the child including, but not limited to, the following: 
(1) Name. 
(2) A recent photograph and physical description. 
(3) Birth date. 
(4) Sex. 
(5) Name, address, and telephone number of the authorized representative. 
(6) A signed copy of the admission agreement and subsequent modifications for county placements. 
(7) Name, address and telephone number of physician and dentist, and other medical and mental health providers, if any. 
(8) Record of current medications, including the name of the prescribing physician, and instructions, if any, regarding control and custody of medications. 
(9) The name, address, and telephone number of all adults with whom the child was living immediately prior to the current placement. 
(10) Dental and medical history, if available, including immunization records; and physician's orders for any medically necessary diet as specified in Section 86576(a)(4). 
(11) The child's court status, if applicable, including a copy of any custody orders and agreements with parent(s) or person(s) having legal custody. 
(12) A request in writing that a parent not be allowed to visit a child or take a child from the crisis nursery provided the custodial parent has shown a certified copy of a court order. 
(13) A list of persons who should not be allowed to visit. 
(14) Consent forms, completed by the child's authorized representative(s), to permit the crisis nursery to authorize medical care and administration of medication.
(15) Date of admission. 
(16) The child's initial assessment plan. 
(c) All information and records regarding the child shall be confidential except as authorized by law. 
(1) A child's records shall be open to inspection by the child's authorized representative. 
(d) All child records shall be available to the Department to inspect, audit, and copy upon demand during normal business hours. Records may be removed, if necessary, for copying. Removal of records shall be subject to the following requirements:
(1) The Department shall not remove the following current records for children currently in care unless the same information is otherwise readily available in another document or format.
(A) Contact information for the child's authorized representative, as specified in Section 86570(b)(5).
(B) Contact information for the child's medical and mental health providers, as specified in Section 86570(b)(7).
(C) Medication record, as specified in Section 86570(b)(8).
(D) Initial assessment plan, as specified in Section 86570(b)(16).
(E) Any other records containing current emergency or health-related information.
(2) Prior to removing any records, the Department shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee.
(3) The Department shall return the records undamaged and in good order within three business days following the date the records were removed.
(e) The information specified in Sections 86570(b)(1)-(15) must be updated as necessary to ensure the accuracy of the child's record. 
(f) All child records shall be retained for at least three years following termination of service to the child. 
(g) If it is determined that the child is to be removed or discharged from the crisis nursery, the following information shall be maintained in the child's record: 
(1) Date the child's authorized representative(s) was notified of the necessity for the child's removal or discharge. 
(2) The name, address, and relationship to the child of the person to whom the child was released. 
(3) Reason for the child's removal or discharge. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1507, 1516 and 1531 Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86572. Personal Rights.
Note     •     History

(a) The licensee shall ensure that each child is accorded the following personal rights:
(1) To be accorded safe, healthful and comfortable accommodations, furnishings and equipment that are appropriate to his/her age and needs. 
(2) To be treated with respect and to be free from physical, sexual, emotional or other abuse. 
(3) To have fair and equal access to all available services, placement, care, treatment, and benefits, and to be treated with respect and to be free from discrimination, intimidation or harassment based on sex, actual or perceived race, ethnic group identification, gender identity, color, religion, ancestry, national origin, mental or physical disability, medical condition, HIV status, or sexual orientation or perception. 
(4) To be free from corporal or unusual punishment, infliction of pain, humiliation, intimidation, ridicule, coercion, threat, mental abuse, or other actions of a punitive nature including but not limited to interference with the daily living functions of eating, sleeping, or toileting, or withholding of shelter, clothing, or aids to physical functioning. 
(5) To receive adequate and healthy food. 
(6) To be provided adequate clothing and personal items. 
(A) To wear his/her own clothes. 
(7) To receive necessary medical, dental, vision, and mental health services. 
(8) To be free of the administration of medication or chemical substances, unless authorized by a physician and, if required, by court order. 
(9) To have social contacts with people outside of the crisis nursery, such as teachers, church members, mentors and friends. 
(10) To contact and visit family members, unless prohibited by court order. 
(11) To contact social workers, attorneys, foster youth advocates and supporters, Court Appointed Special Advocates (CASA), and probation officers. 
(12) To have visitors, provided the rights of others are not infringed upon, including: 
(A) Relatives, during waking hours, unless prohibited by court order, or by the child's authorized representative. 
(B) Authorized representative. 
(C) Other visitors, unless prohibited by court order or by the child's authorized representative. 
(13) To contact Community Care Licensing Division of the California Department of Social Services, or the State Foster Care Ombudsman regarding violations of rights, to speak to representatives of these offices confidentially and to be free from threats or punishments for making complaints. 
(A) The child's authorized representative shall be informed of the provisions of law regarding complaints including, but not limited to, the address and telephone number of the complaint receiving unit of the Department and of information regarding the confidentiality of complainants. 
(14) To make and receive confidential telephone calls and send and receive unopened mail, unless prohibited by court order. 
(A) Reasonable restrictions may be imposed by the placement worker or caregiver to calls and correspondence. 
(B) Other reasonable time, place, or manner restrictions may be imposed. 
(D) To have access to letter writing material. 
(15) To be free to attend religious services and activities of his or her choice and to have visits from the spiritual advisor of his or her choice. 
(16) To be accorded the independence appropriate to the child's age, maturity, and capability, and to attend and participate in extracurricular, cultural, and personal enrichment activities, consistent with the child's age and developmental level. 
(17) Not to be locked in any room, or building. 
(A) The licensee shall not be prohibited from locking exterior doors and windows or from establishing house rules for the protection of the children so long as the children can exit from the crisis nursery. 
(18) Not to be placed in any restraining device. Postural supports may be used if they are approved in advance by the Department as follows:
(A) Postural supports shall be limited to appliances or devices including braces, spring release trays, or soft ties, used to achieve proper body position and balance, to improve a child's mobility and independent functioning, or to position rather than restrict movement including, but not limited to, preventing a child from falling out of bed, a chair, etc. 
1. Physician-prescribed orthopedic devices such as braces or casts used for support of a weakened body part or correction of body parts are considered postural supports. 
(B) All requests to use postural supports shall be in writing and include a written order of a physician indicating the need for such supports. The Department shall be authorized to require other additional documentation in order to evaluate the request. 
(C) Approved postural supports shall be fastened or tied in a manner that permits quick release by the resident. 
(D) The Department shall approve the use of postural supports only after the appropriate fire clearance, as required by Section 86520(a) or (b), has been secured. 
(E) The Department shall have the authority to grant conditional or limited approvals to use postural supports. 
(F) Under no circumstances shall postural supports include tying of, or depriving or limiting the use of, a child's hands or feet. 
1. A bed rail that extends from the head half the length of the bed and used only for assistance with mobility shall be allowed with prior departmental approval. Bed rails that extend the entire length of the bed are prohibited. 
(G) Protective devices including, but not limited to, helmets, elbow guards, and mittens which do not prohibit a child's mobility but rather protect the child from self-injurious behavior are not to be considered restraining devices. Protective devices may be used if they are approved in advance by the Department as follows:
1. All requests to use protective devices shall be in writing and include a written order of a physician indicating the need for such devices. The Department shall be authorized to require additional documentation including, but not limited to, the Individual Program Plan (IPP) as specified in Welfare and Institutions Code Section 4646, and the written consent of the authorized representative, in order to evaluate the request. 
2. The Department shall have the authority to grant conditional or limited approvals to use protective devices. 
(H) Under no circumstances shall postural supports or protective devices be used for disciplinary purposes. 
(19) To be free to attend court hearings and speak to the judge. 
(20) To be accorded dignity in his/her personal relationships with other persons in the crisis nursery. 
(A) To be free from unreasonable searches of person. 
(B) To be free from unreasonable searches of personal belongings. 
(21) To have all the child's court records be confidential, consistent with existing law. 
(b) Each child's authorized representative, shall be personally advised, and given at admission, a copy of the rights specified in Section 86572(a). 
(c) In ensuring childrens' personal rights the licensee is not required to take any action that would impair the health and safety of children. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code; Section 16001.9, Welfare and Institutions Code; and Section 51, Civil Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86572.1. Discipline Policies and Procedures.
Note     •     History

(a) The licensee shall ensure that a written discipline policies and procedures plan is developed, maintained and implemented. 
(b) The licensee shall ensure that a copy of the discipline policies and procedures is provided to parents, staff, legal guardians, and authorized representatives. 
(c) Discipline for children shall be education-based, consistent among caregivers, and include the following: 
(1) Redirecting the child's attention. 
(2) Focusing on the rule to learn and the reason for the rule. 
(3) Providing acceptable alternatives. 
(4) Providing time away from the precipitating situation. 
(5) Arranging the environment to allow safe testing of limits. 
(d) Discipline shall not include confinement to cribs, high chairs, playpens or other similar furniture or equipment. 
(e) The licensee shall prohibit any form of discipline that violates a child's personal rights as specified in Section 86572, Personal Rights. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of subsections (a)-(c) and (e), transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86572.2. Complaint Procedures.
Note     •     History

(a) The licensee shall ensure that written complaint procedures by which children, parents, legal guardians, or authorized representatives are permitted to file complaints, without fear of retaliation, with the crisis nursery regarding crisis nursery staff or operations are developed, maintained, and implemented.
(1) Parents, staff, legal guardian, or authorized representatives shall receive copies of such procedures. 
(2) Signed copies of such procedures shall be maintained in each child's record. 
(3) Such procedures shall be posted in a location in the crisis nursery that is accessible to children, their parents, legal guardians or authorized representatives. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of subsections (a) and (a)(3), transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86574. Transportation.
Note     •     History

(a) The licensee shall ensure that all transportation provided for children in their care is provided in vehicles that are in safe operating condition and that drivers comply with all applicable laws. 
(b) No child shall be left unattended in a vehicle. 
(c) The licensee shall ensure that children are secured in the vehicle in an appropriate restraint device according to the California Vehicle Code and, if applicable, the manufacturers' instructions for the infant car seat(s). 
(1) The licensee shall ensure the use of other restraint or protective devices that are required due to the child's disabilities or physical and medical condition. 
(2) The licensee shall ensure that children are secured in the vehicle so that the child is not in danger of being injured by the vehicle's airbag. 
(d) The licensee and his/her staff are prohibited from smoking, or permitting any person from smoking a pipe, cigar or cigarette containing tobacco or any other plant in a motor vehicle when minor children are present. This prohibition applies when the motor vehicle is moving or at rest.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516, 1531 and 118948, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
6. New subsection (d) and amendment of Note filed 2-4-2010; operative 3-6-2010 (Register 2010, No. 6).
§86575. Health Related Services.
Note     •     History

(a) The licensee shall ensure that each child receives necessary first aid and other needed medical or dental services, including arrangement for or provision of transportation to the nearest available services. 
(b) When a child has a health condition that requires medication, the licensee shall ensure that the caregiver shall: 
(1) Assist children with the taking of medication as needed. 
(2) Ensure that instructions are followed as outlined by the appropriate medical professional. 
(3) Medication shall be stored as instructed in the original container with the original unaltered label in a locked and safe area that is not accessible to children. 
(4) Prescription medication must be administered as directed on the label or as advised by the physician in writing. 
(5) Non-prescription medication must be administered as directed by the appropriate medical professional and documented by the caregiver. 
(6) The administration of PRN medication shall also require documentation by the caregiver of the date, time and dose of medication administered. 
(7) If the child can not determine his or her own need, the caregiver shall determine need in accordance with medical instructions. 
(c) Prescription medications that are not taken with the child upon termination of services, or which are not to be retained shall be destroyed by the crisis nursery administrator, or a designee, and one other adult. 
(1) Both shall sign a record, to be retained for at least one year, which lists the following: 
(A) Name of the child.
(B) The prescription number and the name of the pharmacy. 
(C) The medication name, strength and quantity destroyed. 
(D) The date of destruction. 
(d) Staff responsible for providing direct care and supervision shall receive training in pediatric first aid and pediatric CPR from persons qualified by agencies including but not limited to the American Red Cross. 
(1) The licensee shall ensure that copies of unexpired pediatric first aid and pediatric CPR certificates documenting the required training are maintained.
(e) First aid supplies shall be maintained and be readily available in an easily identifiable location in the crisis nursery. 
(1) These supplies shall include at least the following: 
(A) A current edition of a first aid manual approved by the American Red Cross, the American Medical Association, or a state or federal health agency. 
(B) Sterile first aid dressings. 
(C) Bandages or roller bandages. 
(D) Adhesive tape. 
(E) Scissors. 
(F) Tweezers. 
(G) Thermometers. 
(H) Antiseptic solution. 
(f) There shall be at least one person capable of and responsible for communicating with emergency personnel in the crisis nursery at all times. The following information shall be readily available: 
(1) The name, address, and telephone number of each child's physician and dentist, and other medical and mental health providers, if any. 
(2) The name, address and telephone number of each emergency agency, including but not limited to the fire department, crisis center or paramedic unit. There shall be at least one medical resource available to be called at all times. 
(3) The name and telephone number of an ambulance service. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1502, 1507, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86576. Food Service.
Note     •     History

(a) Crisis nurseries shall provide meals to children, as follows: 
(1) All food shall be selected, stored, prepared and served in a safe and healthful manner. All meals shall be of the quality and in the quantity necessary to meet the needs of the children and the requirements recommended by the U.S. Department of Agriculture as specified in Title 7, Code of Federal Regulations, Section 226.20(b)-(c). 
(2) Arrangements shall be made so that each child has available at least three meals per day. 
(A) Not more than 15 hours shall elapse between the third meal of one day and first meal of the following day. 
(3) Menus shall be written at least one week in advance and copies of the menus as served shall be dated and kept on file for at least 30 days. Menus shall be made available for review by the child's parent, legal guardian or authorized representative and the Department upon request. 
(4) Modified diets prescribed by a child's physician as a medical necessity shall be provided. 
(A) The licensee shall obtain and follow instructions from the physician or dietitian on the preparation of the modified diet. 
(5) Commercial foods shall be approved by appropriate federal, state and local authorities. All foods shall be selected, transported, stored, prepared and served so as to be free from contamination and spoilage and shall be fit for human consumption. Food in damaged containers shall not be accepted, used or retained. 
(6) Meat, poultry and meat food products shall be inspected by state or federal authorities. Written evidence of such inspection shall be available for all products not obtained from commercial markets. 
(7) Home canned foods from outside sources shall not be used. 
(8) If food is prepared off the crisis nursery premises, the following shall apply: 
(A) The preparation source shall meet all applicable requirements for commercial food services. 
(B) The crisis nursery shall have the equipment and staff necessary to receive and serve the food and for cleanup. 
(C) The crisis nursery shall maintain the equipment necessary for in-house preparation, or have an alternate source for food preparation, and service of food in emergencies. 
(9) All persons engaged in food preparation and service shall observe personal hygiene and food services sanitation practices which protect the food from contamination. 
(10) All foods or beverages capable of supporting rapid and progressive growth of microorganisms which can cause food infections or food intoxications shall be stored in covered containers at 45 degrees F (7.2 degrees C) or less. 
(11) Pesticides and other similar toxic substances shall not be stored in food storerooms, kitchen areas, food preparation areas, or areas where kitchen equipment or utensils are stored. 
(12) Soaps, detergents, cleaning compounds or similar substances shall be stored in areas separate from food supplies. 
(13) All kitchen, food preparation, and storage areas shall be kept clean, free of litter and rubbish, and measures shall be taken to keep all such areas free of rodents, and other vermin. 
(14) All food shall be protected against contamination. Contaminated food shall be discarded immediately. 
(15) All equipment, fixed or mobile, dishes, and utensils shall be kept clean and maintained in safe condition. 
(16) All dishes and utensils used for eating and drinking and in the preparation of food and drink shall be cleaned and sanitized after each usage. 
(A) Dishwashing machines shall reach a temperature of 165 degrees F (74 degrees C) during the washing and/or drying cycle to ensure that dishes and utensils are cleaned and sanitized. 
(B) Crisis nurseries not using dishwashing machines shall clean and sanitize dishes and utensils by an alternative comparable method. 
(17) Equipment necessary for the storage, preparation and service of food shall be provided, and shall be well-maintained. 
(18) Tableware and tables, dishes, and utensils shall be provided in the quantity necessary to serve the children. 
(19) The Department shall have the authority to require the crisis nursery to provide written information, including menus, regarding the food purchased and used over a given period when it is necessary to determine if the licensee is in compliance with the food service requirements in this section. 
(A) The Department shall specify in writing the written information required from the licensee. 
(b) Written menus shall be posted weekly in an area accessible to the staff and children. 
(c) The licensee shall meet the following food supply and storage requirements: 
(1) Supplies of staple nonperishable foods for a minimum of one week and fresh perishable foods for a minimum of two days shall be maintained on the premises. 
(2) Freezers shall be large enough to accommodate required perishables and shall be maintained at a temperature of zero degrees F (-17.7 degrees C). 
(3) Refrigerators shall be large enough to accommodate required perishables and shall maintain a maximum temperature of 45 degrees F (7.2 degrees C). 
(d) Meals shall be age-appropriate for food groups, special needs, and portion control. 
(e) Meals shall vary weekly for children no longer on an infant bottle as a primary source of nutrition. 
(f) Children who are not bottle-fed, as a primary source of nutrition, shall be given at least three nutritious snacks daily. 
(g) Staff shall follow any dietary restrictions or plans noted in the child's record and not serve a child food to which the child has an allergy. 
(h) The crisis nursery shall not serve honey or corn syrup to any infant. 
(i) Crisis nursery staff supervising children shall wash their hands with antibacterial soap and water before each meal as follows: 
(1) Using only soap in a dispenser, either liquid or powder. 
(2) Using only disposable paper towels or an air drying machine for hand drying. 
(j) To the extent possible meals shall be served in a group setting. 
(1) Mealtimes shall be flexible and children shall be allowed to eat frequently. 
(2) Commercially prepared baby food in jars shall be transferred to a dish before being fed to an infant. 
(A) The staff shall discard any food left over in the dish at the end of the meal. 
(k) The staff shall use appropriate seating equipment while feeding children. 
(1) Children who are unable to sit unassisted shall be held by crisis nursery staff. 
(2) If staff use high chairs or feeding tables, the high chairs or feeding tables shall have the following: 
(A) A wide base. 
(B) A safety strap shall be properly secured around the child or a tray that properly latches on both sides. 
(3) Staff shall not allow an infant to pull on, climb on, climb into, or stand up in a high chair. 
(l) There shall be an individual feeding plan for each infant that includes the following: 
(1) The feeding schedule. 
(2) The kind of milk or formula. 
(3) The schedule for introduction of solid and new foods. 
(4) Food consistency. 
(5) Food likes and dislikes. 
(6) Food allergies. 
(7) Schedule for introduction of cups and utensils. 
(8) Information from the previous caregiver shall be shared at staff shift changes.
(m) Staff shall feed an infant according to the individual plan. 
(1) Staff shall hold the infant while bottle-feeding, unless it is necessary to protect the infant from over stimulation during mealtimes. 
(2) If an infant holds the bottle, it shall be unbreakable and the infant shall not be allowed to carry a bottle while ambulating. 
(3) At no time shall a bottle be propped. 
(4) Information from the previous caregiver shall be shared at staff shift changes.
(n) The crisis nursery shall not use the food preparation area for the following: 
(1) Children's play activities, unless such activities are part of a supervised food education program. 
(2) Napping. 
(3) Children's passageway, while food is being prepared or served. 
(4) Bathing infants or rinsing diapers or clothing. 
(o) Bottles and nipples shall be sterilized using any of the following methods after each use: 
(1) Boiled for a minimum of five minutes and air dried. 
(2) Soaked for a minimum of one minute in a sterilizing solution using one-half cup bleach and five gallons of water and air dried. 
(3) Washed and sterilized using a commercial bottle sterilizer according to the manufacturer's directions or a dishwasher. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section heading and section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86577. Personal Services.
Note     •     History

(a) Staff shall keep crisis nursery children clean and dry at all times. 
(b) Staff shall wash their hands with soap and water before and after each diaper change or toilet training session. 
(1) Staff shall use only soap in a dispenser, either liquid or powder. 
(2) Staff shall use only disposable paper towels in an appropriate holder or dispenser or an air drying machine, for hand drying. 
(c) Staff shall diaper each infant on a changing table, or on a changing pad placed on the floor, which meets the following specifications: 
(1) Has a padded surface no less than one inch thick, covered with washable vinyl or plastic. 
(2) Is in good repair and safe condition. 
(3) Is located outside the kitchen/food preparation area. 
(4) Is disinfected after each use, even when disposable covers are used. 
(5) If disposable paper towels or similar materials cover infant changing tables or pads, they shall be discarded following each diaper change. 
(6) Changing tables shall have raised sides at least three inches high. 
(7) Changing tables and pads shall be placed within arms reach of a sink, when in use. 
(8) No infant shall be left unattended while on a changing table 
(d)  Children shall be toilet trained according to a written toilet training plan. 
(1) The written plan shall be developed by the licensee and placing agency in consultation with the child's parent, legal guardian or authorized representative and include: 
(A) The method of toilet training. 
(B) How to introduce and use appropriate training equipment. 
(C) How to introduce and use appropriate clothing. 
(D) Specifications regarding whether to use diapers. 
(2) If children use potty chairs, staff shall assure the following: 
(A) Potty chairs are placed on the floor and used according to the manufacturer's instructions. 
(B) Contents are emptied into a flushing toilet promptly after each use. 
(C) The surfaces are thoroughly cleaned and disinfected after each use. 
(D) Children do not play with potty chairs. 
(E) No child shall be left unattended while on a potty chair or seat. 
(3) Staff shall instruct and help children in hand washing after use of the toilet. 
(e) Sleeping arrangements shall meet the following requirements: 
(1) Only one child at a time shall occupy a crib, floor mat, cot, or bed. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of subsections (a) and (b), transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86578. Responsibility for Providing Care and Supervision.
Note     •     History

(a) The licensee shall ensure care and supervision as necessary to meet the children's needs at all times. 
(b) The licensee shall ensure the provision of services identified in each child's initial assessment plan. 
(c) The licensee shall ensure that visits are not allowed by an apparently intoxicated individual or one who engages in behavior that disrupts the care provided to crisis nursery children. 
(d) When necessary, the licensee shall ensure each child a personal, seasonally-appropriate wardrobe. 
(e) Staff shall inventory and label each child's clothing and personal belongings. 
(f) During shift changes, input of the child's previous caregiver shall be obtained to assist with the transition from one caregiver to another.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86578.1. Sanitation Requirements.
Note     •     History

(a) The licensee shall ensure that staff use universal health precautions and preventive health practices including the following: 
(1) Wear latex gloves and eye protective gear when dealing with bleeding wounds or handling objects contaminated with blood. 
(2) Wash hands before and after diapering, after handling objects contaminated with secretions (saliva, blood, nasal discharge) or excreta, and before and after meals. 
(3) Ensure that the children wash their hands after toileting and before meals. 
(4) Thoroughly wash bedding, towels, and washcloths used on or by infants daily or more often, if necessary. 
(5) Thoroughly wash toys. 
(A) Clean and disinfect daily all frequently touched toys in rooms occupied by diapered children. 
(B) Clean and disinfect weekly, and when soiled, toys in rooms occupied by non-diapered children. 
(6) Dispose of potentially infectious waste in containers that are closed and inaccessible to children. 
(7) Cover open wounds, cuts, or sores with bandages. 
(8) Wipe noses with disposable, one-use tissues. 
(9) Clean up blood spills promptly with a freshly prepared solution of 1/4 cup household bleach to one gallon of water or equally effective commercial disinfecting solution. 
(10) Dispose of all blood and secretion contaminated items in containers that cannot be opened by the children. 
(11) Keep all items used by animals beyond the reach of infants. 
(b) Staff shall clean those areas used by staff that care for infants or which infants have access as follows: 
(1) Vacuum or sweep, and mop with a disinfectant the uncarpeted floors at least daily or more often if soiled. 
(2) Vacuum carpeted floors and large unwashable throw rugs at least daily and clean them at least every six months or more often if soiled. 
(3) Shake or vacuum small washable rugs at least daily and wash them at least weekly or more often if soiled. 
(4) Wash walls and portable partitions with a disinfectant at least weekly or more often if soiled. 
(5) Wash and disinfect high chairs, feeding tables, food preparation areas, bathtubs, changing areas, toilets, and potty chairs at least daily. 
(6) Wash and disinfect at least daily, or more often if soiled, objects mouthed by infants, including but not limited to, toys and blankets. 
(7) Use washing/disinfecting solutions as follows: 
(A) Freshly prepare the solution each day, using 1/4 cup of bleach per gallon of water, or 
(B) Use commercial disinfecting solutions according to label directions. 
(c) Infant bedding shall meet the following standards: 
(1) Each infant shall have bedding replaced when wet or soiled. 
(2) Staff shall wipe crib mattresses with a detergent/disinfectant daily and when soiled or wet. 
(3) Staff shall place soiled bedding in a suitable container that is inaccessible to children. 
(d) Staff shall handle soiled disposable diapers as follows: 
(1) Discard them as recommended on the packaging, or 
(2) Place them in an airtight container for daily disposal outside the crisis nursery and 
(3) Sanitize any soiled diaper containers daily. 
(e) Staff shall handle soiled cloth diapers as follows: 
(1) Place them in an airtight container. 
(2) Rinse, wash, and sanitize them daily. 
(3) If the crisis nursery uses a diaper service, staff shall place the diapers in the diaper service company's container for pickup, as instructed by the diaper service. 
(f) After each diaper change, staff shall wash and disinfect soiled items and surfaces around the diaper changing area, including, but not limited to, the following: 
(1) Walls and floors surrounding the immediate diaper changing area. 
(2) Dispensers for talc, lotion, soap, and paper towels. 
(3) Countertops, sinks, drawers, and cabinets. 
(4) Sinks used to wash infants or to rinse soiled clothing or diapers. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86579. Planned Activities.
Note     •     History

(a) The licensee shall ensure that a variety of developmental activities designed to meet the physical, cognitive, social, and emotional needs of the children including, but not limited to, the following are provided: 
(1) Parent, legal guardian, or family member involvement in the care giving, if appropriate. 
(2) Predictable and consistent daily scheduling that balances the following: 
(A) Group and individual activities. 
(B) Active and quiet play. 
(C) Structured and flexible play. 
(D) Rest. 
(E) Eating. 
(F) Toileting. 
(G) Individual attention to the child by crisis nursery staff. 
(H) Holding, if in the initial assessment plan. 
(3) Opportunity for increasing self-care. 
(4) Preparation for transitions in daily activities and changes in the daily schedule. 
(5) The opportunity to nap or rest without distraction or disturbance from other activities. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code; and Section 11467.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of subsections (a) and (a)(3), transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86580. Crisis Day Care.
Note     •     History

(a) A crisis nursery may provide crisis day care services, as defined in Section 86501(c), for children under the age of six years at the same site as the crisis nursery. 
(1) A child may not receive day care services at a crisis nursery for more than 30 calendar days in a six-month period unless the Department issues an exception. 
(2) A child who is receiving day care services shall be counted in the licensed capacity. 
(3) A child placed by the county and receiving day care services shall be counted in the limitation on county placements as specified in Section 86528(f). 
(b) A crisis nursery offering day care services shall be governed by all the provisions in this chapter, including the following: 
(1) The licensee shall maintain and implement a written procedure to sign the child in and out of the crisis day care and shall, at a minimum, include the following: 
(A) The person who brings the child to, and removes the child from, day care shall sign the child in and out. 
(2) The authorized person as specified in Section 86570(b)(5) who signs the child in/out shall use his/her full legal signature and shall record the time of day. 
(3) The licensee may use LIC 9219A as a sign in and out form. 
(4) The sign-in and sign-out sheets with the signatures required by this section shall be maintained by the crisis nursery for one month and available to the Department pursuant to Section 86544(d). 
(5) The licensee shall ensure that children with obvious symptoms of illness including, but not limited to, fever or vomiting, are not accepted. 
(6) The licensee shall ensure that a written acceptance procedure is developed and implemented and includes the following: 
(A) No child shall be accepted without contact between crisis nursery staff and the person bringing the child to the crisis nursery. 
(B) The person bringing the child to the crisis day care shall remain until the child is accepted. 
1. After the child has been determined to be without obvious signs of illness and has been accepted, the crisis nursery shall require that the person sign the child in. 
(7) A crisis nursery shall be equipped to isolate and care for any child who becomes ill during the day. The isolation area shall:
(A) Be located to afford easy supervision of children by staff. 
(B) Be equipped with a mat, cot, couch, crib or bed for each ill child. 
(C) Not be located in the kitchen area or the general-use toilet area. 
(8) When the child becomes ill enough to require isolation, the licensee shall ensure that every effort is made to immediately notify the child's parent, legal guardian or authorized representative, and shall ask to have the child removed from the crisis nursery as soon as possible. 
(9) Any unusual behavior, any injury or signs of illness requiring assessment or administration of first aid by staff shall be reported to the child's parent, legal guardian or authorized representative and documented and the document placed in the child's file. 
(10) Crisis day care napping equipment shall meet the following requirements: 
(A) Cots used for napping shall be maintained in a safe condition. 
(B) Floor mats used for napping shall be: 
1. Constructed of foam at least 3/4 inch thick. 
2. Covered with vinyl or similar material that can be wiped. 
3. Marked or colored so that the sleeping side can be distinguished from the floor side. 
4. Wiped with a detergent/disinfectant weekly or when soiled or wet. 
5. Maintained in a safe condition with no exposed foam. 
(C) Each cot or mat shall be equipped with a sheet to cover the cot or mat and, depending on the weather, a sheet and blanket to cover the child. 
1. Bedding shall not be shared by different children without first laundering the bedding. 
2. Bedding shall be individually stored so that each child's bedding is identifiable and no child's used bedding comes into contact with other bedding. 
3. Sheets shall be washed weekly or when soiled or wet. 
4. Blankets shall be cleaned or changed when soiled. 
(D) Napping equipment shall be arranged so that each child has access to a walkway without having to walk on or over the cots or mats of other children. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 1516, 1531 and 1596.792, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
Article 7. Physical Environment
§86586. Alterations to Existing Buildings or New Facilities.
Note     •     History

(a) Prior to construction or alterations, the licensee shall ensure that the Department is notified of the proposed change. 
(b) The Department shall have the authority to require that the licensee have a building inspection by a local building inspector if the Department suspects that a hazard to the children's health and safety exists. 
(c) Prior to construction or alterations, the licensee shall obtain building permits as required by state or local law. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New article 7 (sections 86586-86588) and section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New article 7 (sections 86586-86588) and section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New article 7 (sections 86586-86588) and section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86587. Building and Grounds.
Note     •     History

(a) The crisis nursery shall be clean, safe, sanitary and in good repair at all times for the safety and well-being of the children, staff, and visitors. 
(1) The licensee shall take measures to keep the crisis nursery free of flies and other insects. 
(2) The licensee shall ensure the safe disposal of water and other chemicals used for cleaning purposes. 
(b) All children shall be protected against hazards the crisis nursery through provision of protective devices including, but not limited to, non-slip material on rugs. 
(c) All outdoor and indoor passageways, stairways, inclines, ramps, and open porches shall be kept free of obstruction. 
(d) General permanent or portable storage space shall be available for the storage of crisis nursery equipment and supplies. 
(1) Crisis nursery equipment and supplies shall be stored in this space and shall not be stored in space used to meet other requirements specified in this chapter. 
(e) Crisis nurseries shall ensure the inaccessibility of pools, including swimming pools (in-ground and above-ground), fixed-in-place wading pools, hot tubs, spas, fish ponds or similar bodies of water through a pool cover, or by surrounding the pool with a fence. 
(1) Fences shall be constructed so that the fence does not obscure the pool from view and shall meet the requirements of Health and Safety Code Section 115923.
(2) Gates shall swing away from the pool, self-close, and have a self-latching device located no more than six inches from the top of the gate. 
(3) Pool covers shall be strong enough to completely support the weight of an adult, shall be placed on the pool, and locked while the pool is not in use. 
(4) Where an above-ground pool structure is used as the fence or where the fence is mounted on top of the pool structure, the pool shall be made inaccessible when not in use by removing or making the ladder inaccessible or erecting a barricade to prevent access to decking. If a barricade is used, the barricade shall meet the requirements of Section 86587(e)(1). 
(5) Fencing for inflatable or other portable plastic wading pools shall have sides low enough for children using the pool(s) to step out unassisted. These pools shall be emptied after each use 
(f) All in-ground pools, and above-ground pools that cannot be emptied after each use shall have an operative pump and filtering system. 
(g) Disinfectants, cleaning solutions, poisons, and other items that could pose a danger to children as specified on the product label shall be made inaccessible. 
(1) Storage areas for these items shall be locked. 
(2) Medicines shall be stored separately from these items, and as specified in Section 86587(b)(3).
(3) These items shall not be stored in food storage areas or in storage areas used by or for children. 
(4) Firearms and other weapons shall not be allowed onto or stored on the crisis nursery premises. 
(h) Bedrooms shall meet, at a minimum, the following requirements: 
(1) No more than three children shall sleep in a bedroom when only cribs and toddler beds are used. 
(2) No more than two children shall sleep in a bedroom when a twin bed is used in combination with a crib, toddler bed, or another twin bed. 
(3) Bedrooms shall be large enough to allow for easy passage and comfortable use of any required assistive devices, including, but not limited to, wheelchairs, between beds and other furniture. 
(4) Children of the opposite sex shall not share a bedroom unless each child is under five years of age. 
(5) No room commonly used for other purposes shall be used as a bedroom. 
(A) Such rooms shall include, but not be limited to, halls, stairways, unfinished attics or basements, garages, storage areas, and sheds or similar detached buildings. 
(6) No bedroom shall be used as a public or general passageway to another room, bath, or toilet. 
(7) No child's bedroom shall be used as a napping area by the Crisis Day Care. 
(i) Stairways, inclines, ramps, and open porches shall have hand railings and gates to prevent unsupervised climbing and shall be well lighted. 
(j) Surfaces accessible to children shall be free of lead paint. 
(k) The licensee shall prohibit smoking in or on the grounds of the crisis nursery. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86587.1. Outdoor Activity Space.
Note     •     History

(a) Children shall have access to safe outdoor activity space that is free from hazards to life and health. 
(1) The licensee shall ensure that any construction or equipment that causes a hazardous situation including, but not limited to, incinerators, air-conditioning equipment, water heaters, or fuse boxes, is inaccessible to children.
(2) Hazards include, but are not limited to, holes, broken glass, and other debris, and dry grasses that pose a fire hazard. 
(3) Sandboxes shall be inspected daily and kept free of hazardous foreign materials. 
(b) The areas around and under high climbing equipment, swings, slides and other similar equipment shall be cushioned with material which absorbs falls. 
(1) Sand, woodchips, pea gravel, or rubber mats commercially produced for this purpose, shall be permitted. 
(2) The use of cushioning material other than that specified in (1) above shall be approved by the Department in advance of installation. 
(c) The licensee ensure that the outdoor activity space with a variety of developmentally appropriate toys and equipment. 
(1) The equipment shall be age appropriate and used in accordance with the manufacturers' instructions. 
(d) The licensee shall ensure that the outdoor activity area is enclosed with a fence to provide protection for children and to keep them in the outdoor activity area. 
(1) The fence shall be at least four feet in height. 
(e) Outdoor activity equipment shall be securely anchored to the ground unless it is portable by design. 
(1) Equipment shall be maintained in a safe condition free of sharp, loose or pointed parts. 
(f) The outdoor activity space shall provide a shaded rest area for the children. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86587.2. Indoor Activity Space.
Note     •     History

(a) As a condition of licensure, there shall be common rooms, including a living room, dining room, den or other recreation or activity room, that provide the necessary space and separation to promote and facilitate the program of planned activities specified in Section 86579, Planned Activities, and to prevent such activities from interfering with other functions. 
(1) At least one such room shall be available to children for relaxation and visitation with friends and relatives. 
(2) All children shall be given an opportunity to nap or rest without distraction or disturbance from other activities at the crisis nursery. 
(b) The licensee shall ensure that the indoor activity space is equipped with a variety of equipment, materials, and toys that are: 
(1) Appropriate to the developmental needs of the children. 
(2) Maintained in good and clean condition. 
(3) Sufficient in quantity to allow the children to fully participate in planned activities and have opportunities for flexible play. 
(4) Stored safely in the crisis nursery. 
(c) The floors of all rooms shall have a surface that is safe and clean. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
§86588. Fixtures, Furniture, Equipment, and Supplies.
Note     •     History

(a) A comfortable temperature for children shall be maintained at all times. 
(1) In rooms that children occupy, the licensee shall ensure that the temperature is maintained between a minimum of 68 degrees F (20 degrees C) and a maximum of 85 degrees F (30 degrees C). 
(b) All window screens shall be in good repair and be free of insects, dirt and other debris. 
(c) Fireplaces and open-faced heaters shall be made inaccessible to children to ensure protection of their safety. 
(1) The use of a fireplace screen or similar barrier will meet this requirement. 
(d) The licensee shall provide lamps or lights as necessary in all rooms and other areas to ensure the comfort and safety of all persons in the crisis nursery. 
(e) Faucets used by children for personal care and grooming shall deliver hot water. 
(1) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures used by children to attain a hot water temperature of not less than 105 degrees F (40.5 degrees C) and not more than 120 degrees F (48.8 degrees C). 
(2) Taps delivering water at 125 degrees F (51.6 degrees C) or higher shall be prominently identified by warning signs. 
(3) All toilets, hand washing and bathing facilities shall be maintained in safe and sanitary operating condition. Additional equipment, aids, and conveniences shall be provided in crisis nurseries that accommodate children with physical handicaps who need such items. 
(f) Solid waste shall be stored, located and disposed of in a manner that will not transmit communicable diseases or odors, create a nuisance, or provide a breeding place or food source for insects or rodents. 
(1) All containers, including movable bins used for storage of solid wastes shall have tight-fitting covers kept on the containers, shall be in good repair, shall be leak proof, and shall be rodent-proof. 
(2) Solid waste containers, including movable bins that receive decaying waste, shall be emptied at least once per week, or more often if necessary. 
(3) Each movable bin shall provide for suitable access and a drainage device to allow complete cleaning at the storage area. 
(g) Toilet, wash basin, bath, and shower fixtures shall, at a minimum, meet the following requirements. 
(1) There shall be at least one toilet and wash basin maintained for each six persons residing in the crisis nursery, including children and staff. 
(2) There shall be at least one shower or bathtub maintained for each ten persons residing in the crisis nursery, including children and staff. 
(3) Toilets and bathrooms shall be located so that children do not have to go outdoors to have access to such accommodations. 
(4) Individual privacy shall be provided in all toilet, bath, and shower areas. 
(h) The licensee shall provide to each child the following furniture, equipment and supplies necessary for personal care and maintenance of personal hygiene: 
(1) An individual bed maintained in good repair, equipped with good springs and a clean mattress, and supplied with pillow(s) that are clean and in good repair. 
(A) Fillings and covers for mattresses and pillows shall be flame retardant. 
(B) The use of trundle or bunk beds shall be prohibited. 
(2) Clean linen in good repair, including lightweight, warm blankets and bedspreads, top and bottom bed sheets, pillow cases, mattress pads, and bath towels, hand towels and wash cloths. 
(A) The quantity of linen provided shall permit changing the linen at least once each week, or more often when indicated to ensure that clean linen is in use by children at all times. 
(B) Use of common towels and wash cloths shall be prohibited. 
(C) Rubber or plastic sheeting or bed coverings should be provided when necessary. 
(3) Items used to maintain basic personal hygiene practices, including, but not limited to, shampoo, non-medicated soap, toilet paper, toothbrush, toothpaste, and comb. 
(4) Portable or permanent closets or drawer space to accommodate the child's clothing and personal belongings. 
(i) The licensee shall provide and maintain the supplies, equipment and reading material necessary to implement planned activities. 
(j) The licensee shall ensure that safe fixtures, furniture, equipment, supplies, and toys are provided.
(1) They shall be free from toxic materials or substances. 
(2) They shall be in good condition, free of sharp, loose, or pointed parts. 
(3) Any platform, step or stool used by the crisis nursery that enables children to reach shall be broad based or anchored. 
(4) Baby walkers are prohibited. 
(k) The licensee shall ensure that furniture which is age appropriate in type, height, and size is provided as follows: 
(1) Tables and chairs. 
(2) High chairs, low wheeled feeding tables, or other furniture used for feeding an infant which meets the following requirements: 
(A) Has broad base legs. 
(B) Has seats and backrests made of washable, moisture resistant material. 
(C) Has a safety strap and/or tray to secure a seated infant. 
(3) Changing tables or changing pads. 
(4) For each infant who is unable to climb from a crib, a standard crib that meets the following requirements: 
(A) Spaces between the crib slats are no more than 2 3/8 inches. 
(B) Crib mattresses and any bumper pads are covered with moisture resistant material. 
(C) Bumper pads, if any, are around the entire inner portion of the crib and tied or snapped into place in at least six places. 
(D) The crib, mattress, and any bumper pads are in safe condition with no exposed foam, batting, or coils. 
(E) Is equipped with a sheet to cover the mattress and a blanket and/or sheet to cover the child, depending on the temperature. 
(F) When an infant is in the crib, the mattress is at its lowest position and the side rail is in its highest position. 
(G) Is arranged so that staff can see the child. 
(H) Allows a child to stand upright. 
(I) Are not stacked or tiered with other cribs. 
(5) An age-appropriate bed shall be provided for each child who can climb from a crib. 
(l) The licensee shall provide equipment as follows: 
(1) Equipment purchased already assembled shall not be modified. 
(2) Toy containers shall meet the following requirements: 
(A) Boxes or chests shall not have lids or the hardware used to hinge lids. 
(B) All edges and corners shall be rounded and padded. 
(C) The container shall be well ventilated. 
(D) The container shall not be lockable. 
(E) The container shall be in good repair and safe condition. 
(F) Metal toy boxes shall not have rough or sharp edges and wooden toy boxes shall not have splinters and other rough areas. 
(m) The licensee shall ensure that the following fixtures and supplies are provided: 
(1) Readily available drinking water from a non-contaminating fixture. 
(A) Children shall be free to drink water as they wish. 
(B) The crisis nursery may use bottled water or portable containers if (1) the water and containers are free of contamination, and (2) bottled water containers are secured to prevent tipping and breaking. 
(2) Pacifiers that have a shield or guard large enough so that infants cannot choke on them. 
(n) The licensee shall provide toys that are: 
(1) Appropriate to the developmental needs of the children. 
(2) Sufficient in quantity to avoid excessive competition and long waits by the children. 
(3) Free from sharp points, edges, or splinters. 
(4) Made of parts too large to be swallowed. 
(A) Any rattles shall be large enough so that they cannot become lodged in an infant's throat and constructed so that they will not separate into small pieces. 
(5) Sufficient in variety to enhance the following: 
(A) Intellectual and creative development. 
(B) Social development. 
(C) Auditory development. 
(D) Visual development. 
(E) Gross and fine motor development. 
(6) Clean and safe for the children.
(o) The licensee shall arrange furniture and equipment as follows: 
(1) No exit shall be blocked. 
(A) Placement of cribs, mats or cots, and beds shall not hinder entrance to or exit from the sleeping area. 
(2) Toilets, potty chairs, and hand washing sinks for children shall be near indoor and outdoor activity spaces. 
(3) A walkway and workspace shall be between the sleeping furniture (cribs, mats or cots, and beds). 
(A) Staff must be able to reach each child without having to step or reach over any other child. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1516 and 1531, Health and Safety Code. 
HISTORY

1. New section filed 10-26-2006 as an emergency; operative 10-26-2006 (Register 2006, No. 43). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 2-23-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-23-2007 as an emergency; operative 2-23-2007 (Register 2007, No. 8). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, exempt from review by OAL. A Certificate of Compliance must be transmitted to OAL by 6-25-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 2-23-2007 order transmitted to OAL 6-25-2007 and disapproved 8-7-2007; Notice of Disapproval of Certificate of Compliance and Order of Deletion filed 8-7-2007 (Register 2007, No. 32).
4. New section refiled 8-7-2007 as an emergency; operative 8-7-2007 (Register 2007, No. 32). Pursuant to Statutes 2004, chapter 664, section 11 (SB 855) this regulatory action is deemed to be an emergency and necessary for the immediate preservation of the public peace, health, safety, or general welfare, and is exempt from OAL review and approval. A Certificate of Compliance must be transmitted to OAL by 12-5-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-7-2007 order, including amendment of section, transmitted to OAL 11-21-2007 and filed 12-31-2007 (Register 2008, No. 1).
Chapter 7.5. Foster Family Homes
Article 1. General Requirements and Definitions
§87000. General.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1502, 1530, 1530.5 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former Sections 87000 and 87001 in Chapter 8 to Sections 87100 and 87101, and new Chapter 7.5 (Articles 1-7, Sections 87000-87088, not consecutive) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42).
2. Renumbering of former section 87000 to section 89200 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87000 to section 89200 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87001. Definitions.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 319(d), 17710, 17710(a) and (g), 17731, 17731(c) and 17736(a), Welfare and Institutions Code; and Sections 1337, 1501, 1502, 1503.5, 1505, 1507, 1507.5, 1520, 1522, 1524, 1524(e), 1526, 1526.5, 1527, 1530, 1530.5, 1530.6, 1531, 1531.5, 1533, 1534, 1536.1, 1537, 1550, 1551, 1727(c) and 11834.11, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(38) filed 8-10-87; operative 9-9-87 (Register 87, No. 33).
2. Amendment filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
3. Change without regulatory effect of subsection (a)(30)(A) pursuant to section 100(b)(3), title 1, California Code of Regulations filed 6-8-90; operative 7-8-90 (Register 90, No. 33).
4. Change without regulatory effect amending lettering and correcting cross-references filed 5-25-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
5. New subsections c.(6), h.(1), i.(1)-(2), and s.(3) and renumbering, amendment of subsection f.(1), new subsection m.(1) and NOTE, filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
6. New subsections (c)(9)-(c)(9)(C), (e)(2), (e)(3) and (s)(5), subsection renumbering, and amendment of Note filed 6-15-93; operative 7-15-93 (Register 93, No. 25).
7. Amendment of section and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
8. New subsection (p)(3), subsection renumbering, and amendment of Note filed 5-15-97; operative 6-15-97 (Register 97, No. 20).
9. Amendment of subsection (r)(1) and new subsections (r)(1)A.-C. filed 10-27-97; operative 11-26-97 (Register 97, No. 44).
10. Amendment of subsections (f)(2) and (r)(1)(A)-(C) filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsections (f)(2) and (r)(1)(A)-(C) refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 11-24-98 order, including amendment of subsections (r)(1)(A)-(r)(1)(A)1. and amendment of Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
13. Change without regulatory effect amending subsection (a)(2) and Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
14. Renumbering of former section 87001 to section 89201 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
15. Renumbering of former section 87001 to section 89201 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
Article 2. License
§87005. License Required.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1503.5, 1505, 1508, 1509, 1513 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Renumbering of former section 87005 to section 89205 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87005 to section 89205 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87006. Operation Without a License.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1503.5, 1505, 1508, 1533, 1538, 1540, 1549, 1541 and 1547, Health and Safety Code.
HISTORY

1. Amendment filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Renumbering of former section 87006 to section 89206 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87006 to section 89206 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87007. Exemption from Licensure.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1505, 1505(k), 1506, 1508, 1530, 1530.5 and 1536.1, Health and Safety Code; Sections 226.2, 226.5 and 226.6, Civil Code; and Sections 319(d), 362, 727 and 16100, Welfare and Institutions Code.
HISTORY

1. Repealer of subsections (b) and (c) and new subsections (a)(13)-(a)(15) filed 3-25-87; effective thirtieth day thereafter (Register 87, No. 13).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Amendment of subsection (a)(10) filed 7-30-98 as an emergency; operative 8-1-98 (Register 98, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-30-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(10) refiled 11-24-98 as an emergency; operative 11-29-98 (Register 98, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-29-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-24-98 order, including amendment of Note, transmitted to OAL 3-25-99 and filed 5-3-99 (Register 99, No. 19).
6. Renumbering of former section 87007 to section 89207 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
7. Renumbering of former section 87007 to section 89207 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87007.1. Certified License Pending Homes.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Sections 1530 and 1530.5, Health and Safety Code. Reference: Section 1505, Health and Safety Code; and Sections 362, 362.5, 727 and 17710(i), 17736 and 17736(b), Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
2. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87009. Availability of License.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87009 to section 89209 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87009 to section 89209 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87010. Limitations on Capacity and Ambulatory Status.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1507.5 and 1531, Health and Safety Code.
HISTORY

1. New subsection (d) filed 8-10-87; operative 9-9-87 (Register 87, No. 33).
2. Renumbering of former section 87010 to section 89410 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87010 to section 89410 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87010.1. Limitations on Capacity for Specialized Foster Family Homes.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17732, 17732(a) and 17736(b), Welfare and Institutions Code; and Sections 1502(a), 1507 and 1507.5, Health and Safety Code.
HISTORY

1. New section filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
2. Amendment of section heading, repealer and new section, and amendment of  Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Renumbering of former section 87010.1 to section 89510.1 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87010.1 to section 89510.1 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87010.2. Prohibition of Dual Licensure for Specialized Foster Family Homes.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17732, Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87010.2 to section 89510.2 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87010.2 to section 89510.2 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87012. False Claims.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1508 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87012(a) to section 89388(b) and repealer of 87012(b) filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87012(a) to section 89388(b) and repealer of 87012(b) refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
Article 3. Application Procedures
§87017. Applicant Qualifications.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87017(a)(c)(2)(C) to section 89317 and renumbering of former section 87017(d) to section 89405(b) filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87017(a)(c)(2)(C) to section 89317 and renumbering of former section 87017(d) to section 89405(b) refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87018. Application for License.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1520, 1522.1 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) filed 12-30-87 as an emergency; operative 1-1-88 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-2-88.
2. Certificate of Compliance transmitted to OAL 4-28-88 and filed 5-31-88 (Register 88, No. 30).
3. Amendment of subsection (c)(12) filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
4. Amendment of subsection (c) filed 11-18-88; operative 12-18-88 (Register 88, No. 49).
5. Editorial correction of Register Number in HISTORY 4. (Register 89, No. 6).
6. Amendment of subsection (c) and NOTE filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
7. Repealer of subsection (c)(3), subsection renumbering, and amendment of Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
8. Renumbering of former section 87018 to section 89218 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
9. Renumbering of former section 87018 to section 89218 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87019. Criminal Record Clearance.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1522 and 1531, Health and Safety Code; and Section 42001, Vehicle Code.
HISTORY

1. Amendment of subsection (e) filed 6-5-87; operative 7-5-87 (Register 87, No. 25).
2. Amendment of subsection (b) filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
3. Amendment of subsection (c)(1) filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
4. Editorial correction of printing error in subsection (c) (Register 91, No. 32).
5. Change without regulatory effect amending subsection (b) filed 3-10-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 15).
6. New subsections (e)-(e)(2)(A) and relettering filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
7. Amendment filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of History 7 (Register 2000, No. 38). 
9. Certificate of Compliance as to 5-18-2000 order, including further amendment of section, transmitted to OAL 11-14-2000 and filed 12-19-2000, and new subsections (b)-(b)(8) filed 12-19-2000; operative 1-1-2001 (Register 2000, No. 51).
10. Renumbering of former section 87019 to section 89219 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
11. Renumbering of former section 87019 to section 89219 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87019.1. Criminal Record Exemption.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1522, 1531 and 14564, Health and Safety Code.
HISTORY

1. New section filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 38). 
3. Certificate of Compliance as to 5-18-2000 order transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
4. Renumbering of former section 87019.1 to section 89219.1 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 87019.1 to section 89219.1 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87019.2. Child Abuse Central Index.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1522, 1531 and 14564, Health and Safety Code.
HISTORY

1. New section filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 38). 
3. Certificate of Compliance as to 5-18-2000 order, including further amendment of subsection (a)(1), transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
4. Renumbering of former section 87019.2 to section 89219.2 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 87019.2 to section 89219.2 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87020. Fire Clearance.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 12-30-87 as an emergency; operative 1-1-88 (Register 88, No. 2).
2. Certificate of Compliance transmitted to OAL 4-28-88 and filed 5-31-88 (Register 88, No. 30).
3. Editorial correction of printing error restoring subsection (a) (Register 91, No. 32).
4. Renumbering of former section 87020 to section 89420(a) filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 87020 to section 89420(a) refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87021. Water Supply Clearance.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87021 to section 89421 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87021 to section 89421 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87022. Plan of Operation.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (b)(7) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
2. New subsection (b) (9) filed 12-30-87; operative 1-29-88 (Register 88, No. 2).
3. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87023. Disaster and Mass Casualty Plan.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87024. Waivers and Exceptions.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1509 and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 80024 to Section 80036, and renumbering Section 87025 to Section 87024 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Renumbering of former section 87024 to section 89224 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87024 to section 89224 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87025. Bonding.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1560 and 1561, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 87025 to Section 87024, and renumbering Section 87026 to Section 87025 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87026. Safeguards for Cash Resources, Personal Property, and Valuables.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1525.5, 1531 and 1560, Health and Safety Code; and Section 11006.9, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (j) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 87026 to Section 87025, and renumbering of Section 87027 to Section 87026 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
3. Renumbering of former section 87026 to section 89226 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87026 to section 89226 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87027. Application Review.
Note     •     History

NOTE

Authority cited: Sections 1524, 1530 and 1530.5, Health and Safety Code. Reference: Sections 1520, 1520.3, 1523.1 and 1524, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations renumbering former section 87027 to section 87026, and renumbering of section 87028 to section 87027 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Amendment of subsection (c) and NOTE filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
3. Change without regulatory effect repealing subsection (c)(2), renumbering subsections and amending Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
4. Renumbering of former section 87027 to section 89227 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 87027 to section 89227 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87028. Capacity Determination.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Section 11465, Welfare and Institutions Code; and Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 87028 to Section 87027, and renumbering of Section 87029 to Section 87028 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Amendment filed 2-27-89 as an emergency; operative 2-28-89 (Register 89, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-28-89.
3. Amendment refiled 7-25-89 as an emergency; operative 7-25-89 (Register 89, No. 30). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-22-89.
4. Certificate of Compliance as to 7-25-89 order transmitted to OAL 11-16-89 and filed 12-15-89 (Register 89, No. 51). 
5. Renumbering of former section 87028(a) to section 89231(c) and renumbering of remainder of former section 87028 to section 89228 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 87208(a) to section 89231(c) and renumbering of remainder of former section 87028 to section 89228 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87029. Withdrawal of Application.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1520 and 1553, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 87029 to Section 87028, and renumbering of Section 87030 to Section 87029 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Change without regulatory effect amending subsection (a) filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
3. Renumbering of former section 87029 to section 89229 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87029 to section 89229 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87030. Provisional License.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Section 1525.5, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations renumbering former section 87030 to section 87029, and renumbering of section 87031 to section 87030 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87031. Issuance of License.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1509, 1520, 1520.5, 1524, 1525, 1526 and 1531.5, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 87031 to Section 87030 and renumbering of Section 87032 to Section 87031 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Renumbering of former section 87031 to section 89231 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87031 to section 89231 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87032. Term of an Initial or Renewal License.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1524 and 1525, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 87032 to Section 87031 and renumbering of Section 87033 to Section 87032 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Change without regulatory effect repealing section filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87033. Application for Renewal of License.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1520, 1524 and 1525, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 87033 to Section 87032 and renumbering of Section 87034 to Section 87033 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Change without regulatory effect repealing section filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87034. Submission of New Application.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1520 and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 87034 to Section 87033 and renumbering of Section 87035 to Section 87034 filed 1-9-89 (Register 89, No. 3). For prior history, see Register 88, No. 2.
2. Change without regulatory effect repealing subsection (c) filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
3. Renumbering of former section 87034(a)-(a)(1) to section 89234 and renumbering of former section 87034(b) to section 89227(b)(2) filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87034(a)-(a)(1) to section 89234 and renumbering of former section 87034(b) to section 89227(b)(2) refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87035. Conditions for Forfeiture of a Foster Family Home License.
Note     •     History

NOTE

Authority Cited: Sections 1523, 1524(e), 1530 and 1530.5, Health and Safety Code. Reference: Sections 1523, 1524 and 1524(e), Health and Safety Code. 
HISTORY

1. Change without regulatory effect pursuant to section 100, title 1, California Code of Regulations renumbering former section 87035 to section 87034 and renumbering of section 87036 to section 87035 filed 1-9-89 (Register 89, No. 3). For prior history, see Registers 88, No. 10 and 88, No. 2.
2. Amendment of subsection (a) and adoption of NOTE filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
3. New subsections (b)-(d)(1) and amendment of Note filed 6-15-93; operative 7-15-93 (Register 93, No. 25).
4. Renumbering of former section 87035 to section 89235 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 87035 to section 89235 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87036. Application/Annual Processing Fee.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1524, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations renumbering former Section 87036 to Section 87035, and renumbering of Section 87024 to Section 87036 filed 1-9-89 (Register 89, No. 3). For prior history, see Registers 88, No. 10 and 88, No. 2.
2. Change without regulatory effect amending section heading, section and Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
3. Renumbering of former section 87036 to section 89218(f) filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87036 to section 89218(f) refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
Article 4. Administrative Actions
§87040. Denial of Initial License.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1520, 1525, 1526, 1547 and 1550, Health and Safety Code.
HISTORY

1. New subsection (a)(1) filed 6-5-84; effective thirtieth day thereafter (Register 84, No. 23).
2. Amendment of subsection (a) filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
3. New subsection (a)(2) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
4. Repealer of article 4 (sections 87040-87056) and renumbering of former section 87040 to section 89240 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Repealer of article 4 (sections 87040-87056) and renumbering of former section 87040 to section 89240 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87041. Denial of a Renewal License.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1520, 1524, 1525, 1526 and 1531.5, Health and Safety Code.
HISTORY

1. New subsection (f) filed 6-5-84; effective thirtieth day thereafter (Register 84, No. 23).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Change without regulatory effect repealing section filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87042. Revocation or Suspension of License.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1531 and 1550, Health and Safety Code.
HISTORY

1. Amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
2. Renumbering of former section 87042 to section 89242 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87042 to section 89242 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87043. Licensee/Applicant Complaints.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87044. Inspection Authority of the Department or Licensing Agency.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1531, 1533, 1534 and 1538, Health and Safety Code.
HISTORY

1. Renumbering of former section 87044 to section 89244 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87044 to section 89244 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87045. Evaluation Visits.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1507.5, 1530.5, 1531, 1533, 1534 and 1538, Health and Safety Code.
HISTORY

1. New subsection (c) filed 8-10-87; operative 9-9-87 (Register 87, No. 33).
2. Amendment of subsection (c) and NOTE filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
3. Repealer of subsection (c) and amendment of Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
4. Renumbering of former section 87045 to section 89245 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 87045 to section 89245 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87046. Exclusions.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Section 1558, Health and Safety Code.
HISTORY

1. New section filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
2. Renumbering of former section 87046 to section 89246 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87046 to section 89246 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87051. Serious Deficiencies.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
2. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87052. Deficiencies in Compliance.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Section 1534, Health and Safety Code.
HISTORY

1. Renumbering of former section 87052 to section 89252 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87052 to section 89252 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87053. Follow-up Visits to Determine Compliance.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1534 and 1553, Health and Safety Code.
HISTORY

1. Renumbering of former section 87053 to section 89252(d)(6) filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87053 to section 89252(d)(6) refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87054. Penalties.
Note     •     History

NOTE

Authority cited: Sections 1522, 1530 and 1548, Health and Safety Code. Reference: Sections 1534 and 1548, Health and Safety Code. 
HISTORY

1. New section filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
2. Renumbering of former section 87054 to section 89254 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87054 to section 89254 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87055. Unlicensed Facility Penalties.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1503.5, 1508, 1520, 1533, 1538, 1540, 1540.1, 1541, 1547 and 1549, Health and Safety Code.
HISTORY

1. New section filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Renumbering of former section 87055 to section 89255 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87055 to section 89255 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87055.1. Denial or Revocation of License for Failure to Pay Civil Penalties.
Note     •     History

NOTE

Authority cited: Sections 1522, 1530 and 1548, Health and Safety Code. Reference: Sections 1534, 1548 and 1551, Health and Safety Code. 
HISTORY

1. New section filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
2. Renumbering of former section 87055.1 to section 89255.1, including amendment of Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87055.1 to section 89255.1, including amendment of Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87056. Unlicensed Facility Administrative Appeal.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1503.5, 1508 and 1547, Health and Safety Code.
HISTORY

1. New section filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Renumbering of former section 87056 to section 89256 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87056 to section 89256 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
Article 6. Continuing Requirements
§87061. Reporting Requirements.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (h) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
2. Amendment of subsection (g)(1)(D) and NOTE filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
3. Amendment of subsection (g)(1)(D) and amendment of Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
4. Renumbering of former section 87061(b) to section 89261 and renumbering of remainder of section 87061 to section 89361 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 87061(b) to section 89261 and renumbering of remainder of section 87061 to section 89361 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87064. Licensee Duties and Responsibilities.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1507.5 and 1531, Health and Safety Code.
HISTORY

1. New subsection (b)(6)(A) filed 8-10-87; operative 9-9-87 (Register 87, No. 33).
2. Renumbering of former section 87064(c)(1) to section 89379(g) and repealer of remainder of section 87064 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87064(c)(1) to section 89379(g) and repealer of remainder of section 87064 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87064.1. Licensee Duties and Responsibilities for Foster Family Homes Caring for Children with Special Health Care Needs.
Note     •     History

NOTE

Authority cited:  Section 1530, Health and Safety Code. Reference: Section 17731, Welfare and Institutions Code.
HISTORY

1. New section filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
2. Repealer filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§87065. Personnel Requirements.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsections (d)(1), (e) and (f) filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
2. Amendment of subsection (f) and new subsection (g) filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Renumbering of former section 87065 to section 89465 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87065 to section 89465 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87065.1. Personnel Requirements for Specialized Foster Family Homes.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17731(c), Welfare and Institutions Code; and Sections 1531 and 1562, Health and Safety Code.
HISTORY

1. New section filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
2. Amendment of section heading, section and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Editorial correction restoring inadvertently omitted subsection (a)(1) (Register 2000, No. 38).
4. Renumbering of former section 87065.1 to section 89565.1 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 87065.1 to section 89565.1 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87066. Personnel Records for Specilaized Foster Family Homes.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17731, Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. New section filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
2. Amendment of section heading, section and and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Renumbering of former section 87066 to section 89566 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87066 to section 89566 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87068. Admission Agreements.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1512, 1524.7 and 1531, Health and Safety Code; and Section 2881, Public Utilities Code.
HISTORY

1. Amendment of subsection (b) filed 12-30-87; operative 1-29-88 (Register 88, No. 2).
2. New subsection (b), subsection relettering, and amendment of Note filed 11-12-98; operative 12-12-98 (Register 98, No. 46).
3. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87068.1. Admission Procedures.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87068.1 to section 89468 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87068.1 to section 89468 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87068.2. Needs and Services Plan.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1507.5 and 1531, Health and Safety Code.
HISTORY

1. New subsection (c)(9)(A) filed 8-10-87; operative 9-9-87 (Register 87, No. 33).
2. Renumbering of former section 87068.2 to section 89468 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87068.2 to section 89468 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87068.3. Modifications to Needs and Services Plan.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87068.2 to section 89468 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87068.2 to section 89468 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87068.4. Needs and Services Plan for Foster Family Homes Caring for Children with Special Health Care Needs.
Note     •     History

NOTE

Authority cited: Section 1530,  Health and Safety Code. Reference: Section 17732, Welfare and Institutions Code.
HISTORY

1. New section filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
2. Repealer filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§87069. Children's Medical Assessments.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87069 to section 89469 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87069 to section 89469 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87069.1. Individualized Health Care Plans for Specialized Foster Family Homes.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17731(c), Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
2. Renumbering of former section 87069.1 to section 89569.1 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87069.1 to section 89569.1 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87070. Children's Records.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New subsection (b)(17) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
2. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87070.1. Additional Children's Records for Specialized Foster Family Homes.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17710, 17731 and 17732(a), Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. New section filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
2. Amendment of section heading, section and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Renumbering of former section 87070.1 to section 89570.1 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87070.1 to section 89570.1 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87072. Personal Rights.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(14)(C) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
2. Amendment of subsections (a) and (c) filed 12-30-87; operative 1-29-88 (Register 88, No. 2).
3. Amendment of subsection (a)(7) filed 5-3-90; operative 6-2-90 (Register 90, No. 26).
4. Renumbering of former section 87072(a)(7)-(a)(7)(C) and (a)(7)(E)(G) to section 89372(c)(19)-(c)(19)(F), renumbering of section 87072(a)(7)(D) to section 89420(b) and repealer of remainder of section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 87072(a)(7)-(a)(7)(C) and (a)(7)(E)(G) to section 89372(c)(19)-(c)(19)(F), renumbering of section 87072(a)(7)(D) to section 89420(b) and repealer of remainder of section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87072.1. Discipline.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87072.2. Personal Rights for Children with Special Health Care Needs.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17730 and 17736, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
2. Renumbering of former section 87072.2 to section 89572.2, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87072.2 to section 89572.2, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87073. Telephones.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87073 to section 89373 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87073 to section 89373 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87074. Transportation.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87075. Health Related Services.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1507, 1507.5, 1530.6 and 1531, Health and Safety Code; and Section 2727(a), Business and Professions Code.
HISTORY

1. Amendment of subsections (c), (e) and (h) filed 8-10-87; operative 9-9-87 (Register 87, No. 33).
2. Amendment of subsection (e), new subsection (e)(1), subsection renumbering, new subsections (g)(-(g)(1) and subsection relettering filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Amendment of subsections (d)-(d)(1), new subsections (e)-(f)(7)(B), subsection relettering, and amendment of Note filed 5-15-97; operative 6-15-97 (Register 97, No. 20).
4. Renumbering of portions of former section 87075 to section 89475 and repealer of remainder of section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of portions of former section 87075 to section 89475 and repealer of remainder of section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87075.1. Health Related Services for Foster Family Homes Caring for Children with Special Health Care Needs.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section  17731, Welfare and Institutions Code.
HISTORY

1. New section filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
2. Repealer filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87076. Food Service.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealer refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87078. Responsibility for Providing Care and Supervision.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 11465 and 17731, Welfare and Institutions Code; and Sections 1501 and 1531, Health and Safety Code. 
HISTORY

1. New subsection (b) filed 2-27-89 as an emergency; operative 2-28-89 (Register 89, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 6-28-89.
2. New subsection (b) refiled 7-25-89 as an emergency; operative 7-25-89 (Register 89, No. 30). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-22-89.
3. Certificate of Compliance as to 7-25-89 order transmitted to OAL 11-16-89 and filed 12-15-89 (Register 89, No. 51). 
4. Amendment of subsection (a) and NOTE filed 8-27-92; operative 9-28-92 (Register 92, No. 35).
5. New subsection (a), subsection relettering, amendment of newly designated subsection (b) and amendment of Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
6. Renumbering of former section 87078 to section 89378 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
7. Renumbering of former section 87078 to section 89378 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87079. Activities.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 151 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87079 to section 89379 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87079 to section 89379 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
Article 7. Physical Environment
§87086. Alterations to Existing Foster Family Homes.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Repealer of article 7 and renumbering of former section 87086 to section 89286 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Repealer of article 7 and renumbering of former section 87086 to section 89286 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87087. Buildings and Grounds.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsections (d)-(d)(2) filed 8-14-96; operative 9-13-96 (Register 96, No. 33).
2. Amendment of subsections (a), (a)(2) and (a)(3) and new subsections (a)(5)(A)-(a)(7) filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Renumbering of former section 87087 to section 89387 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87087 to section 89387 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87087.1. Additional Buildings and Grounds Requirements for Specialized Foster Family Homes.
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17732, Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
2. Renumbering of former section 87087.1 to section 89587.1 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87087.1 to section 89587.1, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87087.2. Outdoor Activity Space.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. New subsections (a)(1)-(a)(4)(A) filed 8-14-96; operative 9-13-96 (Register 96, No. 33).
2. Renumbering of former section 87087.2 to section 89387.1 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former section 87087.2 to section 89387.1 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87087.4. Storage Space.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 5-21-85; effective thirtieth day thereafter (Register 85, No. 21).
2. Amendment of subsection (b) filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Renumbering of former section 87087.4 to section 89387.2 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Renumbering of former section 87087.4 to section 89387.2 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§87088. Fixtures, Furniture, Equipment, and Supplies.
Note     •     History

NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsections (b) and (e) and new subsection (m) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
2. Renumbering of portions of former section 87088 to section 89379 and repealer of remainder of section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of portions of former section 87088 to section 89379 and repealer of remainder of section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
Chapter 8. Residential Care Facilities for the Elderly (RCFE)
Article 1. Definitions and Forms
§87100. General.
Note     •     History

The provisions of Chapter 1, Division 6, shall not apply to the provisions of Chapter 8, Residential Care Facilities for the Elderly (RCFE).
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.2, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former Section 87100 to Section 87101, and renumbering of former Section 87101 to Section 87100 filed 11-17-88 (Register 88, No. 49). For prior history, see Registers 88, No. 34 and 83, No. 42.
2. Amendment filed 3-12-2001; operative 3-12-2001 pursuant to Government Code Section 11343.4 (Register 2001, No. 11).
3. Change without regulatory effect amending article heading filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87101. Definitions.
Note     •     History

(a)(1) “Administrator” means the individual designated by the licensee to act in behalf of the licensee in the overall management of the facility. The licensee, if an individual, and the administrator may be one and the same person.
(2) “Adult” means a person who is eighteen (18) years of age or older.
(3) “Adult protective services agency” means a county welfare department, as defined in Welfare and Institutions Code section 15610.13.
(4) “Advance Health Care Directive” means a written instruction that relates to the provision of health care when the individual is incapacitated. Advance directives include, but are not limited to, a Durable Power of Attorney for Health Care, an Individual Health Care Instruction, a Request to Forego Resuscitative Measures, or a Do Not Resuscitate Form. In an advance directive, a person states choices for medical treatment and/or designates who should make treatment choices if the person creating the advance directive should lose decision-making capacity.
(5) “Allowable Health Condition” means any health condition that the licensee is allowed to care for either in accordance with a specific regulation, or with an exception approved by the licensing agency. This includes restricted health conditions as specified in Section 87612, Restricted Health Conditions.
(6) “Ambulatory Person” means a person who is capable of demonstrating the mental competence and physical ability to leave a building without assistance of any other person or without the use of any mechanical aid in case of an emergency.
(7) “Automated External Defibrillator” (AED) means a light-weight, portable device used to administer an electric shock through the chest wall to the heart. Built-in computers assess the patient's heart rhythm, determine whether defibrillation (electrical shock) is needed and then administer the shock. Audible and/or visual prompts guide the user through the process. 
(8) “Applicant” means any individual, firm, partnership, association, corporation, county, city, public agency or other government entity that has made application for a residential care facility for the elderly license, administrator certificate, or special permit.
(9) “Appropriately Skilled Professional” means an individual that has training and is licensed to perform the necessary medical procedures prescribed by a physician. This includes but is not limited to the following: Registered Nurse (RN), Licensed Vocational Nurse (LVN), Physical Therapist (PT), Occupational Therapist (OT) and Respiratory Therapist (RT). These professionals may include, but are not limited to, those persons employed by a home health agency, the resident, or facilities and who are currently licensed in California.
(b)(1) “Basic Rate” means the SSI/SSP established rate, which does not include that amount allocated for the recipient's personal and incidental needs.
(2) “Basic Services” means those services required to be provided by the facility in order to obtain and maintain a license and include, in such combinations as may meet the needs of the residents and be applicable to the type of facility to be operated, the following: safe and healthful living accommodations; personal assistance and care; observation and supervision; planned activities; food service; and arrangements for obtaining incidental medical and dental care.
(c)(1) “California Clearance” means an individual has no felony or misdemeanor convictions reported by the California Department of Justice. However, the individual may have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(2) “Capacity” means that maximum number of persons authorized to be provided services at any one time in any licensed facility.
(3) “Care and Supervision” means those activities which if provided shall require the facility to be licensed. It involves assistance as needed with activities of daily living and the assumption of varying degrees of responsibility for the safety and well-being of residents. “Care and Supervision” shall include, but not be limited to, any one or more of the following activities provided by a person or facility to meet the needs of the residents:
(A) Assistance in dressing, grooming, bathing and other personal hygiene;
(B) Assistance with taking medication, as specified in Section 87465, Incidental Medical and Dental Care Services;
(C) Central storing and distribution of medications, as specified in Section 87465, Incidental Medical and Dental Care Services;
(D) Arrangement of and assistance with medical and dental care. This may include transportation, as specified in Section 87465, Incidental Medical and Dental Care Services;
(E) Maintenance of house rules for the protection of residents;
(F) Supervision of resident schedules and activities;
(G) Maintenance and supervision of resident monies or property;
(H) Monitoring food intake or special diets.
(4) “Certificate holder” means a person who has a current administrator's certificate issued by the Department regardless of whether the person is employed as an administrator in a residential care facility for the elderly. 
(5) “Certified administrator” means an administrator who has been issued a residential care facility for the elderly administrator certificate by the Department and whose certificate is current. 
(6) “Classroom Hour” means sixty (60) minutes of classroom instruction with or without a break. It is recommended that no more than twenty (20) minutes of break time be included in every four (4) hours of instruction. No credit is given for meal breaks. 
(7) “Close friend” means a person who is attached to another by feelings of personal regard as indicated by both parties involved.
(8) “Co-locate” means that a vendor applicant is approved for more than one program type, i.e., ARF, RCFE, GH, and has received approval to teach specific continuing education courses at the same time and at the same location. Co-location is allowed for Continuing Education Training Program vendors only. 
(9) “Community Care Facility” means any facility, place or building providing nonmedical care and supervision, as defined in Section 87101(c)(2).
(10) “Complete request” means the vendor applicant has submitted, and the Department has received, all required information and materials necessary to approve or deny the request for certification program and/or course approval. 
(11) “Conservator” means a person appointed by the Superior Court pursuant to Probate Code section 1800 et. seq. or Welfare and Institutions Code section 5350, to care for the person, or estate, or person and estate, of an adult.
(12) “Consultant” means a person professionally qualified by training and experience to provide expert information on a particular subject.
(13) “Continuing Care Contract” is defined in Health and Safety Code section 1771(c)(8).
(14) “Continuing Education Training Program Vendor” means a vendor approved by the Department to provide continuing education training courses to residential care facility for the elderly administrators and certificate holders to qualify them for renewal of their residential care facility for the elderly administrator certificate. 
(15) “Control of Property” means the right to enter, occupy, and maintain the operation of the facility property within regulatory requirements. Evidence of control of property shall include, but is not limited to, the following:
(A) A Grant Deed showing ownership; or
(B) The Lease Agreement or Rental Agreement; or
(C) A court order or similar document which shows the authority to control the property pending outcome of probate proceeding or estate settlement.
(16) “Conviction” means: 
(A) A criminal conviction in California; or 
(B) Any criminal conviction of another state, federal, military or other jurisdiction, which if committed or attempted in California, would have been punishable as a crime in California. 
(17) “Course” means either, (1) a quarter- or semester-long structured sequence of classroom instruction covering a specific subject, or (2) a one-time seminar, workshop, or lecture of varying duration. 
(18) “Criminal Record Clearance” means an individual has a California clearance and an FBI clearance. 
(d)(1) “Day” means calendar day unless otherwise specified. 
(2) “Deficiency” means any failure to comply with any provision of the Residential Care Facilities Act for the Elderly and regulations adopted by the Department pursuant to the Act.
(3) “Delayed Egress Device” means a special egress-control device of the time delay type as specified in Health and Safety Code section 1569.699(a).
(4) “Dementia” means the loss of intellectual function (such as thinking, remembering, reasoning, exercising judgement and making decisions) and other cognitive functions, sufficient to interfere with an individual's ability to perform activities of daily living or to carry out social or occupational activities. Dementia is not a disease itself, but rather a group of symptoms that may accompany certain conditions or diseases, including Alzheimer's Disease. Symptoms may include changes in personality, mood, and/or behavior. Dementia is irreversible when caused by disease or injury, but may be reversible when caused by depression, drugs, alcohol, or hormone/vitamin imbalances.
(5) “Department” is defined in Health and Safety Code section 1569.2(c).
(6) “Dietician” means a person who is eligible for registration by the American Dietetic Association.
(7) “Direct care staff” means the licensee, or those individuals employed by the licensee, who provide direct care to the residents, including, but not limited to, assistance with activities of daily living. 
(8) “Director” is defined in Health and Safety Code section 1569.2(d).
(9) “Do-Not-Resuscitate (DNR) Form” means the pre-hospital do-not-resuscitate forms developed by the California Emergency Medical Services Authority and by other local emergency medical services agencies. These forms, when properly completed by a resident or (in certain instances) a resident's Health Care Surrogate Decision Maker, and by a physician, alert pre-hospital emergency medical services personnel to the resident's wish to forego resuscitative measures in the event of the resident's cardiac or respiratory arrest.
(10) “Documentation” means written supportive information including but not limited to the Licensing Report (Form LIC 809).
(e)(1) “Egress Alert Device” means a wrist band or other device which may be worn by a resident or carried on a resident's person, which triggers a visual or auditory alarm when the resident leaves the facility building or grounds.
(2) “Elderly Person” means, for purposes of admission into a Residential Care Facility for the Elderly, a person who is sixty (60) years of age or older.
(3) “Emergency Approval to Operate” (EAO) means a temporary approval to operate a facility for no more than 60 days pending the issuance or denial of a license by the licensing agency.
(4) “Evaluator” means any person who is a duly authorized officer, employee or agent of the Department including any officer, employee or agent of a county or other public agency authorized by contract to license community care facilities.
(5) “Evidence of Licensee's Death” shall include, but is not limited to, a copy of the death certificate, obituary notice, certification of death from the decedent's mortuary, or a letter from the attending physician or coroner's office verifying the death of the licensee.
(6) “Exception” means a variance to a specific regulation based on the unique needs or circumstances of a specific resident or staff person. Requests for exceptions are made to the licensing agency by an applicant or licensee. They may be granted for a particular facility, resident or staff person, but cannot be transferred or applied to other individuals.
(7) “Existing Facility” means any facility operating under a valid license on the date of application for a new license.
(f)(1) “Facility Hospice Care Waiver” means a waiver from the limitation on retention of residents who require more care and supervision than other residents and residents who are bedridden other than for a temporary illness. The Hospice Care Waiver granted by the Department will permit the retention in a facility of a designated maximum number of terminally ill residents who are receiving hospice services from a hospice agency. The Facility Hospice Care Waiver will apply only to those residents who are receiving hospice care in compliance with a hospice care plan meeting the requirements of Section 87633, Hospice Care for Terminally Ill Residents.
(2) “Federal Bureau of Investigation (FBI) Clearance” means an individual has no felony or misdemeanor convictions reported by the FBI. The individual may also have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(g)(1) “Guardian” means a person appointed by the Superior Court pursuant to Probate Code section 1500 et seq. to care for the person, or person and estate, of a child.
(h)(1) “Healing wounds” include cuts, stage one and two dermal ulcers as diagnosed by a physician, and incisions that are being treated by an appropriate skilled professional with the affected area returning to its normal state. They may involve breaking or laceration of the skin and usually damage to the underlying tissues.
(2) “Health Care Provider” means those persons described in Probate Code section 4621: “an individual licensed, certified, or otherwise authorized or permitted by the law of this state to provide health care in the ordinary course of business or practice of a profession.”
(3) “Health Care Surrogate Decision Maker” means an individual who participates in health care decision making on behalf of an incapacitated resident. Health care surrogate decision maker may be formally appointed (e.g., by the resident in a Durable Power of Attorney for Health Care or by a court in a conservatorship proceeding) or, in the absence of a formal appointment, may be recognized by virtue of a relationship with the resident (e.g., the resident's next of kin). The licensee or any staff member of the facility shall not be appointed health care surrogate decision maker.
(4) “Health Condition Relocation Order” means written notice by the Department to a licensee requiring the relocation of a resident from a residential care facility for the elderly because the resident has a health condition which cannot be cared for within the limits of the license, requires inpatient care in a health facility or has a prohibited health condition as specified in Section 87615, Prohibited Health Conditions.
(5) “Home Economist” means a person who holds a baccalaureate or higher degree in home economics and who specialized in either food and nutrition or dietetics.
(6) “Hospice or Hospice Agency” means an entity which provides hospice services to terminally ill persons, is Medicare certified for hospice, and holds either a Hospice license or a Home Health Agency license from the California Department of Health Services. Any organizations, appropriately skilled professionals, or other professional persons or entities that are subcontracted by the hospice or hospice agency for the provision of specified hospice services to the resident are included within the definition. The hospice agency providing services in an RCFE shall not subcontract with the licensee or any facility staff for the provision of services.
(7) “Hospice Care Plan” means the hospice agency's written plan of care for a terminally ill resident. The hospice shall retain overall responsibility for the development and maintenance of the plan and quality of hospice services delivered.
(i)(1) “Immediate Need” means a situation where prohibiting the operation of the facility would be detrimental to a resident's physical health, mental health, safety, or welfare. Examples of immediate need include but are not limited to:
(A) A change in facility location when residents are in need of services from the same operator at the new location;
(B) A change of facility ownership when residents are in need of services from the new operator.
(2) “Initial Certification Training Program Vendor” means a vendor approved by the Department to provide the initial forty (40) hour certification training program to persons who do not possess a valid residential care facility for the elderly administrator certificate. 
(3) “Initial Vendor Application” means the application form, LIC 9141, used to request approval from the Department to become a vendor for the first time. 
(4) “Instruction” means to furnish an individual with knowledge or to teach, give orders, or direction of a process or procedure.
(5) “Interdisciplinary Team” means a team that shall assist the Department in evaluating the need for relocating a resident of a residential care facility for the elderly when the resident has requested a review of the Department's health-condition relocation order. This team shall consist of the Department's nurse consultant and a social worker, designated by the Department, with experience in the needs of the elderly. Persons selected for an interdisciplinary team review shall not have been involved in the initial decision to issue a relocation order for the resident in question.
(j) (Reserved)
(k) (Reserved)
(l)(1) “License” is defined in Health and Safety Code section 1569.2(g).
(2) “Licensed Professional” means a person who is licensed in California to provide medical care or therapy. This includes physicians and surgeons, physician assistants, nurse practitioners, registered nurses, licensed vocational nurses, psychiatric technicians, physical therapists, occupational therapists and respiratory therapists, who are operating within his/her scope of practice.
(3) “Licensee” means the individual, firm, partnership, corporation, association or county having the authority and responsibility for the operation of a licensed facility.
(4) “Licensing Agency” means a state, county or other public agency authorized by the Department to assume specified licensing, approval or consultation responsibilities pursuant to Health and Safety Code section 1569.13.
(m)(1) “Medical Professional” means an individual who is licensed or certified in California to perform the necessary medical procedures within his/her scope of practice. This includes, but is not limited to, Medical Doctor (MD), Registered Nurse (RN) and Licensed Vocational Nurse (LVN). 
(2) “Mild cognitive impairment” (MCI) refers to people whose cognitive abilities are in a “conditional state” between normal aging and dementia. Normal age-related memory changes can include forgetting a person's name or the location of an object, however, individuals with MCI have difficulty with short-term memory loss. MCI is a state in which at least one cognitive function, usually short-term memory, is impaired to an extent that is greater than would be anticipated in the normal aging process. MCI is characterized by short-term memory problems, but no other symptoms of dementia (e.g., problems with language, judgment, changes in personality or behavior) that affect a person's daily functioning. Individuals with MCI may experience some difficulty with intellectually demanding activities, but lack the degree of cognitive and functional impairment required to meet diagnostic criteria for dementia.
(n)(1) “New Facility” means any facility applying for an initial license whether newly constructed or previously existing for some other purpose.
(2) “Nonambulatory Person” means a person who is unable to leave a building unassisted under emergency conditions. It includes, but is not limited to, those persons who depend upon mechanical aids such as crutches, walkers, and wheelchairs. It also includes persons who are unable, or likely to be unable, to respond physically or mentally to an oral instruction relating to fire danger and, unassisted, take appropriate action relating to such danger.
(3) “Non-Compliance Conference” means a meeting initiated by the Department that takes place between the licensing agency and the licensee to afford the licensee an opportunity to correct licensing violations other than those that pose an immediate danger to residents and that may result in a corrective plan of action. Its purpose is to review the existing deficiencies and to impress upon the licensee the seriousness of the situation prior to the agency requesting administrative action to revoke the license. The Department may initiate administrative action without a non-compliance conference.
(4) “Nutritionist” means a person holding a master's degree in food and nutrition, dietetics, or public health nutrition, or who is employed by a county health department in the latter capacity.
(o) (Reserved)
(p)(1) “Physician” means a person licensed as a physician and surgeon by the California Board of Medical Examiners or by the California Board of Osteopathic Examiners.
(2) “Placement Agency” as defined in Health and Safety Code section 1569.47(a), means any county welfare department, county social services department, county mental health department, county public guardian, general acute care hospital discharge planner or coordinator, state-funded program or private agency providing placement or referral services, and regional center for persons with developmental disabilities which is engaged in finding homes or other places for the placement of elderly persons for temporary permanent care.
(3) “PRN Medication” (pro re nata) means any nonprescription or prescription medication which is to be taken as needed.

(4) “Provision” or 	“Provide.” Whenever any regulation specifies that provision be made for or that there be provided any service, personnel or other requirement, it means that if the resident is not capable of doing so himself, the licensee shall do so directly or present evidence satisfactory to the licensing agency of the particular arrangement by which another provider in the community will do so.
(5) “Provisional License” means a temporary, nonrenewable license, issued for a period not to exceed twelve months which is issued in accordance with the criteria specified in Section 87162, Provisional License.
(q) (Reserved)
(r)(1) “Rehabilitation” means the effort to reestablish good character since the date of the last conviction, including, but not limited to, education, counseling or therapy, training, stable employment, restitution, remorse, changes in lifestyle, or community service. 
(2) “Relative” means spouse, parent, stepparent, son, daughter, brother, sister, half-brother, half-sister, uncle, aunt, niece, nephew, first cousin or any such person denoted by the prefix “grand” or “great,” or the spouse of any of the persons specified in this definition, even if the marriage has been terminated by death or dissolution.
(3) “Renewal Vendor Application” means the application form, LIC 9141, used to request approval from the Department to continue another two (2) years as an approved vendor. 
(4) “Request to Forego Resuscitative Measures” is defined in Probate Code section 4780.
(5) “Residential Care Facility for the Elderly” means a housing arrangement chosen voluntarily by the resident, the resident's guardian, conservator or other responsible person; where 75 percent of the residents are sixty years of age or older and where varying levels of care and supervision are provided, as agreed to at time of admission or as determined necessary at subsequent times of reappraisal. Any younger residents must have needs compatible with other residents.
(6) “Responsible Person” means that individual or individuals, including a relative, health care surrogate decision maker, or placement agency, who assist the resident in placement or assume varying degrees of responsibility for the resident's well-being. 
(7) “Room and Board” means a living arrangement where care and supervision is neither provided nor available.
(s)(1) “Serious Deficiency” means any deficiency that presents an immediate or substantial threat to the physical health, mental health, or safety of the residents or clients of a community care facility.
(2) “Shall” means mandatory. “May” means permissive.
(3) “Significant Other” means a person, including a person of the same gender, with whom a resident was sharing a partnership prior to his/her placement in a Residential Care Facility for the Elderly (RCFE). The partnership involves two adults who have chosen to share one another's lives in an intimate and committed relationship of mutual caring.
(4) “Simplified Exemption” means an exemption granted on the Department's own motion, as authorized in Health and Safety Code section 1569.17(c)(4), if the individual's criminal history meets specific criteria established by Department regulation. 
(5) Singular-Plural. Whenever in these regulations the singular is used, it can include the plural.
(6) “Social Worker” means a person who has a graduate degree from an accredited school of social work or who has equivalent qualifications as determined by the Department.
(7) “SSI/SSP” means the Supplemental Security Income/State Supplemental Program.
(8) Standard Precautions. See “Universal Precautions.”
(9) “Substantial Compliance” means the absence of any deficiencies which would threaten the physical health, mental health, safety or welfare of the residents. Such deficiencies include, but are not limited to, those deficiencies referred to in Section 87758, Serious Deficiencies -- Examples, and the presence of any uncorrected serious deficiencies for which civil penalties could be assessed.
(10) “Supervision” means to oversee or direct the work of an individual or subordinate but does not necessarily require the immediate presence of the supervisor.
(t)(1) “Terminally Ill Resident” means that the resident has a prognosis by his/her attending physician that the resident's life expectancy is six months or less if his/her illness or condition runs its normal course.
(2) “Transfer trauma” means the consequences of the stress and emotional shock caused by an abrupt, involuntary relocation of a resident from one facility to another.
(u)(1) “Universal Precautions” means an approach to infection control that treats all human blood and body fluids as if they are infectious. Generally, universal precautions consist of regular hand washing after coming into contact with another person's body fluids (mucous, saliva, urine, etc.) and includes use of gloves when handling blood or body fluids that contain blood. Specifically, universal precautions consist of the following four basic infection control guidelines:
(A) Hand washing -- Staff should wash their hands in the following situations, but not limited to these situations:
1. After assisting with incontinent care or wiping a resident's nose.
2. Before preparing or eating food.
3. After using the toilet.
4. Before and after treating or bandaging a cut.
5. After wiping down surfaces, cleaning spills, or any other housekeeping.
6. After being in contact with any body fluids from another person, even if they wore gloves during contact with body fluids.
(B) Gloves
1. Use gloves only one time, for one incident or resident.
(i) Air dry the hands or dry the hands on a single-use paper towel prior to putting on a new pair of gloves.
(ii) Dispose of used gloves immediately after use.
2. Staff should always wear gloves in the following situations, but not limited to these situations:
(i) When they come into contact with blood or body fluids.
(ii) When they have cuts or scratches on their hands.
(iv) When administering first aid for a cut, a bleeding wound, or a bloody nose.
(C) Cleaning with a disinfectant -- Staff should clean with a disinfectant:
1. On all surfaces and in the resident's room and on an “as needed” basis on any surface that has come into contact with blood.
2. Such as a basic bleach solution, made fresh daily by mixing 1/4 cup household liquid chlorine bleach in one gallon of tap water, or one tablespoon bleach in one quart of water.
(D) Proper disposal of infectious materials -- Staff should dispose of infectious materials by placing them in a plastic trash bag, tying the bag with a secure tie, and disposing of it out of reach of residents and children.
(2) “Unlicensed Residential Facility for the Elderly” means a facility as defined in Health and Safety Code section 1569.44.
(A) A facility which is “providing care and supervision” as defined in section 87101(c)(2) includes, but is not limited to, one in which individual has been placed by a placement agency or family members.
(B) A facility which is “held out as or represented as providing care and supervision” includes, but is not limited to:
(1) A facility whose license has been revoked or denied, but the individual continues to provide care for the same or different clients with similar needs.
(2) A facility where change of ownership has occurred and the same clients are retained.
(3) A licensed facility that moves to a new location.
(4) A facility which advertises as providing care and supervision.
(C) A facility which “accepts or retains residents who demonstrate the need for care and supervision” includes, but is not limited to:
(1) A facility with residents requiring care and supervision, even though the facility is providing board and room only, or board only, or room only.
(2) A facility where it is apparent that care and supervision are being provided by virtue of the client's needs being met.
(v)(1) “Vendor” means a Department-approved institution, association, individual(s), or other entity that assumes full responsibility or control over a Department-approved Initial Certification Training Program or a Continuing Education Training Program. 
(2) “Vendor applicant” means any institution, association, individual(s), or other entity that submits a request for approval of an Initial Certification Training Program or a Continuing Education Training Program. 
(3) “Voluntary” means resulting from free will.
(w)(1) “Waiver” means a variance to a specific regulation based on a facility-wide need or circumstance which is not typically tied to a specific resident or staff person. Requests for waivers are made to the licensing agency, in advance, by an applicant or licensee.
(x) (Reserved)
(y) (Reserved)
(z) (Reserved)
NOTE

Authority cited: Sections 1569.23, 1569.30, 1569.616 and 1569.698, Health and Safety Code. Reference: 42 CFR 418.3; Sections 1569.1, 1569.2, 1569.5, 1569.10, 1569.145, 1569.15, 1569.153, 1569.157, 1569.158, 1569.17, 1569.19, 1569.191, 1569.193, 1569.20, 1569.21, 1569.23, 1569.31, 1569.312, 1569.33, 1569.38, 1569.44, 1569.47, 1569.54, 1569.616, 1569.626, 1569.699, 1569.73, 1569.74, 1569.82, 1771 and 1797.196, Health and Safety Code; Sections 5350 and 15610.13, Welfare and Institutions Code; and Sections 1500, 1800 and 4780, Probate Code.
HISTORY

1. Change without regulatory effect renumbering former section 87101 to section 87100, and renumbering and amendment of former section 87100 to section 87101 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. New subsections (a)(5) and (a)(23) and renumbering of following subsections filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
3. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment of subsections (a)(5) and (a)(23) and new subsections (a)(26) and (47) filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
4. Certificate of Compliance as to 9-14-89 order including amendment of subsection (a)(5) transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9).
5. Renumbering former subsections (a)(48) through (a)(50) to subsections (a)(49) through (a)(51) and new subsection (a)(48) filed 10-26-90; operative 11-25-90 (Register 90, No. 49).
6. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
7. Editorial correction to section (Register 91, No. 43).
8. Amendment of section filed 7-10-91; operative 8-9-91 (Register 91, No. 43).
9. New subsections (h)(2), (i)(3) and (p)(2), subsection renumbering, and amendment of subsection (r)(3) filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
10. New subsections (d)(2) and (r)(2), subsection renumbering, and amendment of Note filed 11-16-95 as an emergency; operative 11-16-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 5-14-96 pursuant to Health and Safety Code section 1569.698(c) or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 11-16-95 order including renumbering of subsection r.(2) to new subsection e.(1), renumbering of newly designated subsections r.(2)-r.(4) and amendment of Note transmitted to OAL 5-13-96 and filed 6-18-96 (Register 96, No. 25).
12. New subsections a.(3), d.(6), f.(1), h.(2)-(3), h.(6)-(7), r.(2) and t.(1), subsection renumbering, amendment of newly designated subsections r.(3) and r.(4) and amendment of Note filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
13. New subsection (p)(3) and subsection renumbering filed 5-16-97; operative 6-15-97 (Register 97, No. 20).
14. Amendment of subsection c.(4), new subsection d.(3), subsection renumbering, and amendment of Note filed 11-12-98; operative 12-12-98 (Register 98, No. 46).
15. New subsection (c)(3) and subsection renumbering filed 5-23-2000 as an emergency; operative 6-1-2000 (Register 2000, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-2000 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 5-23-2000 order transmitted to OAL 9-18-2000 and filed 10-16-2000 (Register 2000, No. 42).
17. Change without regulatory effect amending subsection (e)(2) filed 11-8-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 45).
18. Amendment of section and Note filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
19. Editorial correction providing correct placement of subsections (c)(13)(A)-(C) (Register 2001, No. 14).
20. Change without regulatory effect amending subsection (e)(7) and amending Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
21. Amendment of subsection (a)(3), new subsection (a)(4), subsection renumbering, and amendment of subsection (d)(8) filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
22. New subsection (a)(3), subsection renumbering and amendment of Note filed 10-25-2001 as an emergency; operative 10-25-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-22-2002 or emergency language will be repealed by operation of law on the following day.
23. Certificate of Compliance as to 10-25-2001 order transmitted to OAL 2-22-2002 and filed 4-8-2002 (Register 2002, No. 15).
24. New subsection (s)(3), subsection renumbering and amendment of Note filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
25. Amendment of section and Note filed 8-1-2002; operative 8-31-2002 (Register 2002, No. 31).
26. New subsection (a)(7), subsection renumbering and amendment of Note filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
27. Amendment of section and Note filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
28. Amendment of section and Note refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
29. New subsection (n)(3), subsection renumbering and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
30. Amendment of section and Note refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
31. Amendment of subsection (d)(4), new subsections (d)(8) and (m)(2), subsection renumbering and amendment of Note filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
32. Certificate of Compliance as to 12-29-2003 order, including new subsection (l)(2), subsection renumbering and amendment of subsection (n)(3), transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
33. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
34. Change without regulatory effect amending section and Note filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87102. Descriptions of Forms.
Note     •     History

The following forms, which are incorporated by reference, apply to the regulations in Title 22, Division 6, Chapter 8 (Residential Care Facilities for the Elderly).
(a) LIC 9139 (2/01) - Renewal of Continuing Education Course Approval, Administrator Certification Program.
(b) LIC 9140 (6/01) - Request for Course Approval, Administrator Certification Program.
(c) LIC 9141 (5/01) - Vendor Application/Renewal, Administrator Certification Program.
(d) PUB 325 (3/99) - Your Right To Make Decisions About Medical Treatment.
(e) Core of Knowledge Guidelines (6/01/01) - RCFE 40-Hour Initial Certification.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. New subsection (d) and subsection relettering filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
3. Change without regulatory effect amending subsections (a)-(c) filed 11-8-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
4. Amendment of subsection (e) filed 2-21-2002; operative 2-21-2002 (Register 2002, No. 8).
5. Change without regulatory effect amending section heading and Note filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
6. Change without regulatory effect moving article 2 heading from preceding section 87102 to preceding section 87105 filed 10-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 44).
§87104. Integral Facilities.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1530, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87104 to Section 87108 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
Article 2. License
§87105. License Required.
Note     •     History

(a) Pursuant to Health and Safety Code, Section 1569.10, any individual or legal entity providing or intending to provide care and supervision to the elderly in a residential facility shall obtain a current valid license pursuant to the provisions of this chapter. This shall not require an adult residential facility to relocate a resident who becomes 60 nor to change licensing category, provided that the resident's needs remain compatible with those of other residents, and the licensing agency has approved an exception request.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.10, 1569.44 and 1569.45, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87102 to Section 87105 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect moving article 2 heading from preceding section 87102 to preceding section 87105 filed 10-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 44).
§87106. Operation Without a License.
Note     •     History

(a) An unlicensed facility as defined in Section 87101(u)(2) is in violation of section 1569.10, 1569.44 and/or 1569.45 of the Health and Safety Code unless the facility is exempted from licensure under Section 87101(a).
(b) If the facility is alleged to be in violation of section 1569.10 and/or 1569.44 and/or 1569.45 of the Health and Safety Code, the licensing agency shall conduct a site visit and/or evaluation of the facility pursuant to Health and Safety Code section 1569.35.
(c) If the facility is operating without a license, the licensing agency shall issue a Notice of Operation in Violation of Law, and shall refer the case for criminal prosecution and/or civil proceedings.
(d) The licensing agency shall issue an immediate civil penalty pursuant to Section 87768, Unlicensed Facility Penalties and Health and Safety Code section 1569.485.
(e) Sections 87106(c) and (d) shall be applied in any combination deemed appropriate by the licensing agency.
(f) The licensing agency shall notify the appropriate local or state Ombudsman, placement, or adult protective service agency if either of the following conditions exist:
(1) There is an immediate threat to the resident's health and safety.
(2) The facility does not submit an application for licensure within 15 calendar days of being served a Notice of Operation in Violation of Law.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.10, 1569.145, 1569.19, 1569.335, 1569.35, 1569.40, 1569.405, 1569.41, 1569.42, 1569.43, 1569.44, 1569.45, 1569.47, 1569.485 and 1569.495, Health and Safety Code.
HISTORY

1. Amendment filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Change without regulatory effect filed 11-17-88 (Register 88, No. 49).
3. Change without regulatory effect of subsection (a) pursuant to section 100, title 1, California Code of Regulations filed 10-31-89 (Register 89, No. 49).
4. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
5. Change without regulatory effect amending subsections (a) and (d) filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87107. Exemption from Licensure.
Note     •     History

(a) The following shall be allowed to operate without being licensed as a residential facility for the elderly.
(1) Any health facility, as defined by Health and Safety Code Section 1250.
(2) Any clinic, as defined by Health and Safety Code Section 1200.
(3) Any facility conducted by and for the adherents of any well-recognized church or religious denomination for the purpose of providing facilities for the care or treatment of the sick who depend on prayer or spiritual means for healing in the practice of the religion of such church or denomination. Such facilities shall be limited to those facilities or portions thereof which substitute prayer for medical/nursing services which would otherwise be provided for or required by residents in a health facility, as defined by Sections 1200 or 1250 of the Health and Safety Code.
(4) Any house, institution, hotel, or other similar place that supplies board and room only, or room only, or board only, if no element of care and/or supervision, as defined by this chapter, is provided, made available, or contractually promised, such as in a life care agreement or program agreement with a facility. However, this shall not preclude care and/or supervision provided for brief and irregular periods of time for reasons such as temporary illnesses or emergencies provided that such is determined to be minor and temporary and does not require twenty-four (24) hour supervision of the resident(s).
(5) Recovery houses or other similar facilities providing group living arrangements for persons recovering from alcoholism or drug addiction where the facility provides no care and supervision.
(6) Any alcoholism recovery facility as defined by Health and Safety Code section 11834.02(a) relating to alcohol programs.
(7) Any care and supervision of persons by a family member. For purposes of this section “family member” means any spouse, by marriage or otherwise, child or stepchild, by natural birth or by adoption, parent, brother, sister, half-brother, half-sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, first cousin, or any person denoted by the prefix “grand” or “great”, or the spouse of any of these persons, even if the marriage has been terminated by death or dissolution.
(8) Any arrangement for the care and supervision of a person or persons from only one family by a close friend who is not a licensee or current employee of a Residential Care Facility for the Elderly or of an Adult Residential Facility, and whose friendship pre-existed a provider/recipient relationship, and all of the following conditions are met:
(A) The care and supervision is provided in a home or residence chosen by the recipient, regardless of who owns the home or residence.
(B) The arrangement is not of a business nature, in that the provider does not represent himself or herself as being in the business of provision of care, and any compensation that may be paid to the provider is only for the value of the services rendered.
(C) The arrangement occurs and continues only as long as the needs for care and supervision of the recipient are being adequately met.
(9) Any housing project for elderly or disabled individuals that meets federal requirements as specified in Health and Safety Code Section 1569.145(g).
(10) Any similar facility as determined by the Director.
NOTE

Authority cited: Sections 1569.145 and 1569.30, Health and Safety Code. Reference: Sections 1505, 1569.145 and 11834.02, Health and Safety Code; and Grimes v. CDSS (1999) 70 Cal.App.4th 1065.
HISTORY

1. Change without regulatory effect renumbering section 87400 to section 87107 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect amending subsection (a)(7) and Note filed 3-14-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 11).
3. Repealer and new subsection (a)(8), new subsections (a)(8)(A)-(a)(8)(C) and amendment of Note filed 5-23-2000 as an emergency; operative 6-1-2000 (Register 2000, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-29-2000 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-23-2000 order transmitted to OAL 9-18-2000 and filed 10-16-2000 (Register 2000, No. 42).
5. Amendment of subsection (a)(7), new subsection (a)(9), subsection renumbering and amendment of Note filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
6. Change without regulatory effect amending subsection (a)(6) filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87108. Integral Facilities.
Note     •     History

(a) Upon written application, the licensing agency may issue a single license to integral facilities conducting multiple, related programs which would otherwise require separate licenses provided all of the following requirements are met:
(1) Separate buildings or portions of the facility shall be integral components of a single program.
(2) All components of the program shall be managed by the same licensee
(3) All components of the program shall be conducted at a single site.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.30, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former Section 87108 to Section 87113, and renumbering of former Section 87104 to Section87108 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
§87109. Transferability of License.
Note     •     History

(a) The license shall not be transferable.
(b) The licensee shall notify the licensing agency and all residents receiving services, or their responsible persons, in writing as soon as possible and in all cases at least sixty (60) days prior to the effective date that any change in ownership of the facility occurs as required by Health and Safety Code section 1569.191(a)(1).
(c) In all other instances, including a change in licensee, type of license, or location of the facility, the licensee shall notify the licensing agency and all residents receiving services, or their responsible persons, in writing as soon as possible and in all cases at least thirty (30) days prior to the effective date of that change.
(d) In the case of change of ownership or licensee a new application for license shall be submitted by the prospective new licensee.
NOTE

Authority cited: Section 1569.30(a), Health and Safety Code. Reference: Sections 1569.11 and 1569.191, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87113 to new section 87109, including amendment of section heading and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87110. Limitations--Capacity and Ambulatory Status. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former Section 87100 to Section 87114, and renumbering of former Section 87137 to Section 87110 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect renumbering former section 87110 to section 87204 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87111. Continuation of License Under Emergency Conditions or Sale of Property.
Note     •     History

(a) The licensing agency may consent to a change of location and continuation of the existing license of any facility for a reasonable period of time when the change is requested because of the accidental destruction of the licensed premises or similar emergency conditions, so long as the new location or place of performance conforms to building, fire and life safety standards.
(b) In the event of a licensee's death, an adult who has control of the property, and had been designated by the licensee as the party responsible to continue operation of the facility upon a licensee's death shall:
(1) notify the Department by the next working day of the licensee's death;
(2) inform the Department within five working days if the designee decides not to apply for licensure.
(A) If the designee decides not to apply, the Department will help the designee develop and implement a relocation plan for facility residents.
(c) The Department may permit a designee to continue operation of a previously licensed facility, and grant an Emergency Approval to Operate (EAO) to a facility for up to 60 days pending issuance or denial of a license, provided the following requirements of Health and Safety Code section 1569.193 are met:
(1) The designee notifies the Department during the next working day following the death of the licensee, that he/she will continue to operate the facility.
(2) A notarized designation of the adult, authorized by the licensee, to continue operation of the facility in the event of the licensee's death, was filed by the licensee with the Department.
(A) The notarized statement was signed by the designee, and indicated acceptance of the designation.
(B) The notarized statement contains, or is accompanied by a declaration under penalty of perjury, regarding any criminal convictions of the designee.
(3) The designee is able to operate the facility to the satisfaction of the Department.
(4) The designee files an application for licensure, and provides a copy of the licensee's death certificate, obituary notice, certification of death from the decedent's mortuary, or a letter from the attending physician or coroner's office verifying the death of the licensee, within 20 working days of the licensee's death.
(5) The applicant who is issued an EAO shall perform all the duties, functions, and responsibilities required of a licensee.
(A) Failure to comply with licensing laws and regulations under Section 87111(b) as determined by the licensing agency, shall result in the denial of the application for license. This denial shall also constitute termination of the EAO.
(B) The licensing agency shall provide written notification of the denial and this notice shall be effective immediately upon receipt.
(C) The licensing agency shall provide written notification of the denial and this notice shall be effective immediately upon receipt.
(d) The Department shall determine within 60 days after receipt of the completed application whether a license will be issued.
(e) Following receipt of a completed application, the designee shall not be considered to be operating an unlicensed facility while the Department decides whether to grant the license.
(f) In the event of the sale and transfer of property and business, the applicant (buyer) shall be issued an EAO if the applicant (buyer) complies with Health and Safety Code section 1569.191.
(g) “A bona-fide offer”, as specified in Health and Safety Code section 1569.191(a)(1), shall mean a proposal by the buyer to purchase the facility with definite terms in writing communicated to the seller and accompanied by a cash deposit.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.15, 1569.191 and 1569.193, Health and Safety Code.
HISTORY

1. New section filed 4-24-91; operative 5-24-91 (Register 91, No. 24). 
2. Amendment of subsection (a) and Note filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
3. Change without regulatory effect renumbering former section 87111 to section 87206 and renumbering former section 87114 to section 87111, including amendment of section heading, section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87112. Conditions for Forfeiture of a License.
Note     •     History

(a) Conditions for forfeiture of a residential care facility for the elderly license shall be as specified in Health and Safety Code section 1569.19.
(1) “Licensee abandons the facility” shall mean either of the following:
(A) The licensee informs the licensing agency that the licensee no longer accepts responsibility for the facility, or
(B) The licensing agency is unable to determine the licensee's whereabouts after the following:
1. The licensing agency requests information of the licensee's whereabouts from an adult at the facility if an adult can be contacted; and
2. The licensing agency has made at least one (1) phone call per day, to the licensee's last telephone number of record, for five (5) consecutive workdays with no response; and
3. The licensing agency has sent a certified letter, requesting the licensee to contact the licensing agency, to the licensee's last mailing address of record with no response within seven (7) calendar days.
NOTE

Authority Cited: Section 1569.30, Health and Safety Code. Reference 1569.19, Health and Safety Code.
HISTORY

1. Change without regulatory effect filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect renumbering former section 87112 to new section 87207 and renumbering former section 87236 to section 87112, including amendment of section heading and section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87113. Posting of License.
Note     •     History

The license shall be posted in a prominent location in the licensed facility accessible to public view.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.45, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87108 to section 87113 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Amendment of section filed 7-10-91; operative 8-9-91 (Register 91, No. 43).
3. Change without regulatory effect renumbering former section 87113 to new section 87109 and renumbering former section 87115 to section 87113, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87114. Applicant or Licensee Mailing Address.
Note     •     History

The applicant or licensee shall file his/her mailing address, in writing, with the licensing agency and shall notify the agency, in writing, of any change within 10 calendar days.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15, 1569.20, 1569.22 and 1569.51, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87114 to section 87115, and renumbering former section 87110 to section 87114 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Amendment  filed 7-10-91; operative 8-9-91 (Register 91, No. 43).
3. Change without regulatory effect amending subsection (c)(2) filed 12-26-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
4. Amendment of section heading, section and Note filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
5. Change without regulatory effect renumbering former section 87114 to section 87111 and renumbering former section 87117 to section 87114, including amendment of section heading and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87115. Posting of License. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.30, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87114 to Section 87115 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect renumbering former 87115 to section 87113 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87116. Program Flexibility. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1530, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former Section 87116 to Section 87342, and renumbering of former Section 87118 to Section 87116 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect renumbering former 87116 to section 87209 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87117. Applicant/Licensee Mailing Address. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15, 1569.20, 1569.22, 1569.30 and 1569.51, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87122 to Section 87117 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
2. Change without regulatory effect renumbering former section 87117 to section 87114 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87118. Nondiscrimination.
Note     •     History

(a) Any adult shall be permitted to apply for a license regardless of age, sex, race, religion, color, political affiliation, national origin, disability, marital status, actual or perceived sexual orientation, or ancestry.
(b) All licensed facilities shall receive persons on a nondiscriminatory basis according equal treatment and services without regard to race, color, religion, national origin, actual or perceived sexual orientation or ancestry.
(c) An exception shall be made in the case of any bona fide nonprofit religious, fraternal or charitable organization which can demonstrate to the satisfaction of the Department or the licensing agency that its primary or substantial purpose is not to evade this section.
(1) It may establish reception policies limiting or giving preference to its own members or adherents, provided, however, such membership is nondiscriminatory and such policies shall not be construed as a violation of this section.
(2) Any reception of nonmembers or nonadherents shall be subject to the requirements of this section.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.31, Health and Safety Code; and Section 51, Civil Code.
HISTORY

1. Change without regulatory effect renumbering former Section 87118 to Section 87116, and renumbering of former Section 87128 to Section 87118 filed 11-17-88 (Register 88, No. 49). For prior history, see Registers 88, No. 34 and 87, No. 47.
2. Amendment of subsection (a) filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
3. Change without regulatory effect adding new subsection (a), relettering subsections and amending Note filed 12-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 50).
4. Change without regulatory effect amending Note filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87120. Licensee Complaints.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1530, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87120 to Section 87343 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
§87122. Applicant/Licensee Mailing Address.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1503, 1508, 1513, and 1520, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87122 to Section 87117 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
§87124. Inspection Authority.
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.24, 1569.33, 1569.34 and 1569.35, Health and Safety Code.
HISTORY

1. New subsection (c) filed 11-16-87; operative 12-16-87 (Register 87, No. 47).
2. Change without regulatory effect renumbering Section 87124 to Section 87344 filed 11-17-88 (Register 88, No. 49).
§87124.1. Facility Hospice Care Waiver.
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.10, 1569.11, 1569.15, 1569.30, 1569.31, 1569.312, 1569.54 and 1569.73, Health and Safety Code.
HISTORY

1. New section filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
2. Renumbering of former section 87124.1 to section 87716.1 filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
§87126. Evaluation Visit.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1534, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87126 to Section 87345 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
§87128. Nondiscrimination.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1530, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87128 to Section 87118 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
§87130. Disaster and Mass Casualty Plan.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87130 to Section 87223 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
§87132. Motor Vehicles Used in Transporting Residents.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87132 to Section 87574 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
§87134. Telephones.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87134 to Section 87573 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
§87136. Capacity.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87136 to Section 87229 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 25.
§87137. Limitations--Capacity and Ambulatory Status.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87137 to Section 87110 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 25.
§87138. Safeguards for Cash Resources, Personal Property, and Valuables of Residents.
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.15, 1569.30, 1569.31, 1569.60 and 1569.61, Health and Safety Code; and Section 11006.9, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (c)(1) filed 6-15-87; operative 7-15-87 (Register 87, No. 25).
2. Change without regulatory effect renumbering Section 87138 to Section 87227 filed 11-17-88 (Register 88, No. 49).
§87140. Bonding.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1561, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87140 to Section 87226 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
§87142. Commingling of Money.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, 1531, 1560, and 1561, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87142 to Section 87225 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
§87144. Personal Rights.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1569.1, 1569.30, 1569.31 and 1569.313, Health and Safety Code.
HISTORY

1. Amendment filed 12-30-87; operative 1-29-88 (Register 88, No. 2).
2. Change without regulatory effect renumbering Section 87144 to Section 87572 filed 11-17-88 (Register 88, No. 49). 
Article 3. Application Procedures
§87155. Application for License.
Note     •     History

(a) Any individual, firm, partnership, association, corporation or governmental entity desiring to obtain a license shall file with the licensing agency an application on forms furnished by the licensing agency. The licensee shall cooperate with the licensing agency in providing verification and/or documentation as requested by the licensing agency. The application and supporting documents shall contain the following:
(1) Name or proposed name and address of facility.
(2) Name and address of the applicant and documentation verifying completion by the applicant of certification requirements as specified in Section 87406, Administrator Certification Requirements.
(A) This section shall apply to all applications for license, unless the applicant has a current license for another residential care facility for the elderly which was initially licensed prior to July 1, 1989, or has successfully completed an approved certification program within the prior five years.
(B) If the applicant is a firm, partnership, association, or corporation, the chief executive officer or person serving in a like capacity or the designated administrator of the facility shall meet the requirements of this section.
(3) If the applicant is a partnership, the name, signature and principal business address of each partner.
(4) If the applicant is a corporation or association, the name, title and principal business address of each officer, executive director, and member of the governing board. The application shall be signed by the chief executive officer or authorized representative. In addition, a copy of the Articles of Incorporation, Constitution and By-laws, and the name and address of each person owning more than 10 percent of stock in the corporation shall be provided.
(5) If the applicant is a corporation, each member of the board of directors, executive director, and any officer shall list the name of all facilities which they have been licensed to operate, employed by or a member of the board of the directors, executive director or an officer.
(6) Procedures as required pursuant to Section 1569.175 of the Health and Safety Code.
(7) Name and address of owner of facility premises if applicant is leasing or renting.
(8) The category of facility to be operated.
(9) Maximum number to be served.
(10) The name, residence and mailing addresses of the facility administrator, a description of the administrator's background and qualifica--

tions, and documentation verifying the required education and administrator certification.
(11) Copy of the current organizational chart showing type and number of positions and line of authority. However, facilities for less than sixteen persons may furnish, in lieu of an organization chart, a list of positions and the periods of time that persons in these positions will be providing services at the facility.
(12) Evidence pursuant to Health and Safety Code, section 1520(b).
(13) A financial plan of operation on forms provided or approved by the Department. Start-up funds shall be sufficient to meet a minimum of three (3) months operating costs. In addition:
(A) Where construction is anticipated to meet the requirements for a license, sufficient financing for the construction shall be available.
(B) The scope of the applicant's services shall be such that an adequate quality of service will be permitted from available funds. The licensing agency shall have the right to verify the availability of these funds.
(14) When there is a change of licensee, the required documentation shall include the information specified in Section 87217(k).
(15) Information concerning insurance carried by the applicant relating to the operation of the facility.
(16) A plan of Operation as specified in Section 87208, Plan of Operation.
(17) The fee for processing the application for the requested capacity as specified in Section 87156, Licensing Fees.
(18) Name, address and telephone number of the city or county fire department, the district providing fire protection services, or the State Fire Marshal's Office having jurisdiction in the area where the facility is located.
(19) Such other information as may be required by the licensing agency for the proper administration and enforcement of the licensing law and regulations.
(b) An application shall be filed with the licensing agency which serves the area in which the facility is located.
NOTE

Authority cited: Sections 1569.23, 1569.30 and 1569.616, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.10, 1569.15, 1569.151, 1569.1515, 1569.16, 1569.17, 1569.185, 1569.19, 1569.20, 1569.21, 1569.22, 1569.23, 1569.24, 1569.312, 1569.45, 1569.60, 1569.616 and 1569.62, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting new article 3 (sections 87155-87163) and renumbering section 87218 to new section 87155, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87156. Licensing Fees.
Note     •     History

(a) An applicant or licensee shall be charged fees as specified in Health and Safety Code Section 1569.185.
(b) The annual fee shall be according to existing licensed capacity unless the licensee requests a lower or higher capacity.
(c) An additional fee shall be charged when the licensee requests an increase or decrease in capacity as specified in Health and Safety Code Section 1569.185(b)(1)(C).
(d) When a licensee moves a facility from one location to another, the relocation fee shall be as specified in Health and Safety Code Section 1569.185(b)(1)(A).
(1) To qualify for the relocation fee the following shall apply:
(A) The licensee shall have notified the licensing agency before actually relocating the facility.
(B) The categorical type of facility shall remain the same when relocating the facility.
(C) The fee shall be by requested capacity at the new location.
(e) The fees shall be nonrefundable.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.185 and 1569.19, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87224 to new section 87156 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87157. Application Review.
Note     •     History

(a) No initial license shall be issued until the licensing agency has completed the following:
(1) A review which includes an on-site survey of the proposed premises and a determination of the qualifications of the applicant.
(2) A determination that the applicant has secured a fire clearance from the State Fire Marshal.
(3) A determination that the applicant and facility comply with the provisions of Chapter 3 (commencing with Section 1569) of Division 2 of the Health and Safety Code, and the regulations in this chapter.
(b) The licensing agency shall cease review of any application as specified in Health and Safety Code section 1569.16.
(1) “Application was denied within the last year” as specified in Health and Safety Code section 1569.16(b) shall include initial applications.
(2) If cessation of review occurs the application shall be returned to the applicant. It shall be the responsibility of the applicant to request resumption of review as specified in Health and Safety Code section 1569.16.
(3) The application fee shall be nonrefundable as specified in Section 87156(e).
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15, 1569.16, 1569.17, 1569.20 and 1569.205, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87228 to new section 87157, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87158. Capacity.
Note     •     History

(a) A license shall be issued for a specific capacity which shall be the maximum number of residents which can be provided care at any given time. The capacity shall be exclusive of any members of the licensee's own family who reside at the facility. However, the licensing agency shall consider the presence of other family members or other persons who reside in the facility in determining capacity in order to ensure and promote proper living arrangements for both the licensee's family and the residents and to ensure the provision of adequate care and supervision for the residents.
(b) The number of persons that the facility is licensed to admit shall be determined on the basis of the application review by the licensing agency which shall consider:
(1) Physical energy and skills of the licensee as it relates to their ability to meet the needs of the residents.
(2) Any other household members who may reside at the facility and their individual needs.
(3) Physical features of the facility, such as available living space, which are necessary in order to comply with regulations.
(4) Number of available staff to meet the care needs of the residents.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87229 to new section 87158 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87159. Withdrawal of Application.
Note     •     History

(a) The applicant may withdraw an application. However, unless the licensing agency consents in writing to such withdrawal, the Department or licensing agency shall not be deprived of its authority to institute or continue a proceeding against the applicant for the denial of the license upon any ground provided by law or to enter an order denying the license upon any such ground.
(b) The fee for processing the application shall be forfeited.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.185, 1569.20, 1569.22, 1569.50, 1569.51 and 1569.52, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87230 to new section 87159, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87161. Resubmission of Application.
Note     •     History

(a) A new application shall be made whenever there is any change in conditions or limitations described n the current license, including, but not limited to:
(1) Any change in the location of the facility.
(2) Any change in the licensee.
(3) Failure to complete a new application within the required time limit.
(4) Any increase in capacity.
(A) Minor capacity increases may be granted following an evaluation by the licensing agency without the need for resubmission of an application.
(5) A corporate organizational change, including but not limited to, change in structure, sale or transfer of the majority of stock, separating from a parent company, or merger with another company. The licensee shall notify the licensing agency of such organizational change within forty-eight (48) hours.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.3, 1569.10, 1569.11, 1569.15 and 1569.19, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87235 to new section 87161 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87162. Provisional License.
Note     •     History

(a) The licensing agency may issue a provisional license to an applicant who has submitted a completed application for an initial license if the licensing agency determines that there are no life safety risks, that the facility is in substantial compliance, as defined in Section 87101(s)(6), with applicable law and regulations, and an immediate need for licensure exists as defined in Section 87101(i)(3).
(1) A provisional license shall not be issued as specified in Health and Safety Code section 1569.1515(b).
(b) The capacity of a provisional license shall be limited to the number of residents for whom immediate need has been established, or the capacity established for the specific facility, whichever is less.
(c) A provisional license shall not be renewable and shall terminate on the date specified on the license, or upon denial of the application, whichever is earlier.
(1) A provisional license may be issued for a maximum of six (6) months when the licensing agency determines that full compliance with licensing regulations will be achieved within that time period.
(2) A provisional license may be issued for a maximum of twelve (12) months when the licensing agency determines, at the time of application, that more than six (6) months is required to achieve full compliance with licensing regulations due to circumstances beyond the control of the applicant.
(d) If, during the provisional licensing period, the licensing agency discovers deficiencies which threaten the physical health, mental health, safety or welfare of the residents, the Department may exercise its discretion to institute administrative action or civil proceedings or to refer for criminal prosecution.
(e) If the licensing agency determines after its review, specified in Section 87157, Application Review, that the licensee does not meet the licensing requirements, the application shall be denied, as specified in Section 87163, Denial of License Application.
(f) If the licensing agency denies the application for an initial license, the applicant may appeal the denial, as provided in Section 87163, Denial of License Application. Until the Director adopts a decision on the denial action, the facility shall be unlicensed.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15, 1569.1515, 1569.17, 1569.20, 1569.21, 1569.22, 1569.23 and 1569.24, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87231 to new section 87162, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87163. Denial of License Application.
Note     •     History

(a) Except as specified in Section 87162(a), which provides that the applicant may be issued a provisional license based upon substantial compliance and immediate need, the licensing agency shall deny an application for an initial license if it is determined that the applicant is not in compliance with applicable law and regulations.
(b) The licensing agency shall have the authority to deny an application for an initial license if the applicant has failed to pay any civil penalty assessments pursuant to Section 87768, Unlicensed Facility Penalties, and in accordance with a final judgment issued by a court of competent jurisdiction, unless payment arrangements acceptable to the licensing agency have been made.
(c) The licensing agency shall have the authority to deny an initial application if the applicant does not comply with Sections 87155(a)(2) and (9), and Health and Safety Code sections 1569.1515(b) and 1569.50.
(d) If the application for an initial license is denied, the application processing fee shall be forfeited.
(e) If the application for an initial license is denied, the licensing agency shall send a written notice of denial by certified mail. The notification shall inform the applicant of the denial; set forth the reasons for the denial; and advise the applicant of the right to appeal.
(f) An applicant may appeal the denial of the application by sending a written notice of appeal to the licensing agency within 15 days of the postmark date of the denial notice.
(g) The licensing agency shall, upon receipt of the notice of appeal, advise the applicant in writing of the appeal procedure.
(h) The proceedings to review such denial shall be conducted pursuant to the provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.15, 1569.1515(b), 1569.17, 1569.185, 1569.20, 1569.21, 1569.22, 1569.23(a) and (e), 1569.485, 1569.49, 1569.50, 1569.51, 1569.52 and 1569.53, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87340 to section 87163, including amendment of section heading, section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87200. Alterations to Existing Buildings or New Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, 1531, and 1537, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87200 to Section 87686 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. Change without regulatory effect removing article 3 heading filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 4. Operating Requirements
§87202. Fire Clearance.
Note     •     History

(a) All facilities shall maintain a fire clearance approved by the city, county, or city and county fire department or district providing fire protection services, or the State Fire Marshal. Prior to accepting or retaining any of the following types of persons, the applicant or licensee shall notify the licensing agency and obtain an appropriate fire clearance approved by the city, county, or city and county fire department or district providing fire protection services, or the State Fire Marshal:
(1) Nonambulatory persons.
(2) Bedridden persons
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.312 and 1569.72, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting article 4 heading and renumbering former section 87220 to section 87202, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10). For prior history of section 87202, see Register 88, No. 2.
2. Amendment of section and Note filed 7-9-2010; operative 8-8-2010 (Register 2010, No. 28).
§87203. Fire Safety.
Note     •     History

All facilities shall be maintained in conformity with the regulations adopted by the State Fire Marshal for the protection of life and property against fire and panic.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87689 to new section 87203, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87204. Limitations--Capacity and Ambulatory Status.
Note     •     History

(a) A licensee shall not operate a facility beyond the conditions and limitations specified on the license, including specification of the maximum number of persons who may receive services at any one time. An exception may be made in the case of catastrophic emergency when the licensing agency may make temporary exceptions to the approved capacity.
(b) Resident rooms approved for 24-hour care of ambulatory residents only shall not accommodate nonambulatory residents. Residents whose condition becomes nonambulatory shall not remain in rooms restricted to ambulatory residents.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87110 to section 87204 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10). For prior history of section 87204, see Register 88, No. 2.
§87205. Accountability of Licensee Governing Body.
Note     •     History

(a) The licensee, whether an individual or other entity, shall exercise general supervision over the affairs of the licensed facility and establish policies concerning its operation in conformance with these regulations and the welfare of the individuals it serves.
(b) If the licensee is a corporation or an association, the governing body shall be active, and functioning in order to assure accountability.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.15, 1569.16, 1569.17, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87560, subsections (a) and (b) to section 87205, including amendment of section heading,  filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87206. Advertisements and License Number.
Note     •     History

(a) In accordance with Health and Safety Code Sections 1569.68 and 1569.681, licensees shall reveal each facility license number in all public advertisements, including Internet, or correspondence.
(b) Licensees who operate more than one facility and use a common advertisement for these facilities shall be required to list each facility license number in accordance with Health and Safety Code sections 1569.681 and 1569.68.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.68 and 1569.681, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87111 to section 87206 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10). For prior history of section 87206, see Register 88, No. 2. 
§87207. False Claims.
Note     •     History

No licensee, officer or employee of a licensee shall make or disseminate any false or misleading statement regarding the facility of any of the services provided by the facility.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.44, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87112 to new section 87207, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87208. Plan of Operation.
Note     •     History

(a) Each facility shall have and maintain a current, written definitive plan of operation. The plan and related materials shall be on file in the facility and shall be submitted to the licensing agency with the license application. Any significant changes in the plan of operation which would affect the services to residents shall be submitted to the licensing agency for approval. The plan and related materials shall contain the following:
(1) Statement of purposes and program goals.
(2) A copy of the Admission Agreement, containing basic and optional services.
(3) Statement of admission policies and procedures regarding acceptance of persons for services.
(4) Administrative organization.
(5) Staffing plan, qualifications and duties.
(6) Plan for training staff, as required by Section 87411(c).
(7) Sketches, showing dimensions, of the following:
(A) Building(s) to be occupied, including a floor plan that describes the capacities of the buildings for the uses intended and a designation of the rooms to be used for nonambulatory residents and for bedridden residents, other than for a temporary illness or recovery from surgery as specified in Sections 87606(d) and (e).
(B) The grounds showing buildings, driveways, fences, storage areas, pools, gardens, recreation area and other space used by the residents. 
(8) Transportation arrangements for persons served who do not have independent arrangements.
(9) A statement whether or not the applicant will handle residents' money or valuables. If money or valuables will be handled, the method for safeguarding pursuant to Sections 87215, Commingling of Money, 87216, Bonding and 87217, Safeguards for Resident Cash, Personal Property, and Valuables.
(10) A statement of the facility's policy concerning family visits and other communication with clients, as specified in Health and Safety Code Section 1569.313.
(11) If the licensee intends to admit and/or specialize in care for one or more residents who have a documented history of behaviors that may result in harm to self or others, the facility plan of operation shall include a description of precautions that will be taken to protect that resident and all other residents. 
(b) A licensee who advertises or promotes dementia special care, programming or environments shall include additional information in the plan of operation as specified in Section 87706(a)(2). 
(c) A licensee who accepts or retains residents diagnosed by a physician to have dementia shall include additional information in the plan of operation as specified in Section 87705(b).
(d) A licensee who accepts or retains bedridden persons shall include additional information in the plan of operation as specified in Section 87606(f). 
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15, 1569.157, 1569.175, 1569.2, 1569.31, 1569.312, 1569.313, 1569.316, 1569.626, 1569.627 and 1569.72, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87222 to section 87208, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10). For prior history of section 87208, see Register 88, No. 2. 
2. Amendment of subsection (a)(7)(A), new subsection (d) and amendment of Note filed 7-9-2010; operative 8-8-2010 (Register 2010, No. 28).
§87209. Program Flexibility.
Note     •     History

(a) The use of alternate concepts, programs, services, procedures, techniques, equipment, space, personnel qualifications or staffing ratios, or the conduct of experimental or demonstration projects shall not be prohibited by these regulations provided that:
(1) Such alternatives shall be carried out with provisions for safe and adequate services.
(2) A written request for a waiver or exception and substantiating evidence supporting the request shall be submitted in advance to the licensing agency by the applicant or licensee.
(3) Prior written approval of the licensing agency shall be received.
(A) In determining the merits of each request, the licensing agency shall use as guidelines the standards utilized or recommended by well-recognized state and national organizations as appropriate.
(B) The licensing agency shall provide written approval or denial.
(b) Unless prior written approval of the licensing agency is received, all community care facilities shall maintain continuous compliance with the licensing regulations.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1530, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former 87116 to section 87209 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87211. Reporting Requirements.
Note     •     History

(a) Each licensee shall furnish to the licensing agency such reports as the Department may require, including, but not limited to, the following:
(1) A written report shall be submitted to the licensing agency and to the person responsible for the resident within seven days of the occurrence of any of the events specified in (A) through (D) below. This report shall include the resident's name, age, sex and date of admission; date and nature of event; attending physician's name, findings, and treatment, if any; and disposition of the case.
(A) Death of any resident from any cause regardless of where the death occurred, including but not limited to a day program, a hospital, en route to or from a hospital, or visiting away from the facility.
(B) Any serious injury as determined by the attending physician and occurring while the resident is under facility supervision.
(C) The use of an Automated External Defibrillator. 
(D) Any incident which threatens the welfare, safety or health of any resident, such as physical or psychological abuse of a resident by staff or other residents, or unexplained absence of any resident.
(2) Occurrences, such as epidemic outbreaks, poisonings, catastrophes or major accidents which threaten the welfare, safety or health of residents, personnel or visitors, shall be reported within 24 hours either by telephone or facsimile to the licensing agency and to the local health officer when appropriate.
(3) Fires or explosions which occur in or on the premises shall be reported immediately to the local fire authority; in areas not having organized fire services, within 24 hours to the State Fire Marshal; and no later than the next working day to the licensing agency.
(b) The licensee shall notify the Department, in writing, within thirty (30) days of the hiring of a new administrator. The notification shall include the following: 
(1) Name and residence and mailing addresses of the new administrator. 
(2) Date he/she assumed his/her position. 
(3) Description of his/her background and qualifications, including documentation of required education and administrator certification. 
(A) A photocopy of the documentation is acceptable.
(c) Any change in the chief corporate officer of an organization, corporation or association shall be reported to the licensing agency in writing within fifteen (15) working days following such change. Such notification shall include the name, address and the fingerprint card of the new chief executive officer, as required by Section 87355, Criminal Record Clearance.
NOTE

Authority cited: Sections 1569.30 and 1569.616, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312, 1569.616 and 1797.196, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87561 and former section 87560, subsection (c) to new section 87211 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87212. Emergency Disaster Plan.
Note     •     History

(a) Each facility shall have a disaster and mass casualty plan of action. The plan shall be in writing and shall be readily available.
(b) The plan shall be subject to review by the Department and shall include:
(1) Designation of administrative authority and staff assignments.
(2) Plan for evacuation including:
(A) Fire safety plan. 
(B) Means of exiting. 
(C) The assembly of residents to a predetermined evacuation site. 
(D) Transportation arrangements. 
(E) Relocation sites which are equipped to provide safe temporary accommodations for residents. 
(F) Supervision of residents during evacuation or relocation and contact after relocation to assure that relocation has been completed as planned. 
(G) Means of contacting local agencies such as fire department, law enforcement agencies, civil defense and other disaster authorities. 
(3) Provision for notifying a resident's hospice agency, if any, in the event of evacuation and/or relocation.
(c) Emergency exiting plans and telephone numbers shall be posted.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312 and 13131, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87223 to section 87212, including amendment of section heading, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
2. New subsections (b)(2)(A)-(G) and repealer of subsections (b)(3)(A)-(F) filed 7-9-2010; operative 8-8-2010 (Register 2010, No. 28).
§87213. Finances.
Note     •     History

The licensee shall have a financial plan that conforms to the requirements of Section 87155, Application for License, and that assures sufficient resources to meet operating costs for care of residents; shall maintain adequate financial records; and shall submit such financial reports as may be required upon the written request of the licensing agency. Such request shall explain the need for disclosure. The licensing agency reserves the right to reject any financial report and to request additional information or examination including interim financial statements.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2 and 1569.15, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87562 to new section 87213, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87215. Commingling of Money.
Note     •     History

Money and valuables of residents entrusted to the licensee of one community care facility licensed under a particular license number shall not be commingled with those of another community care facility of a different license number, regardless of joint ownership.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.31, 1569.60 and 1569.61, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87225 to new section 87215, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87216. Bonding.
Note     •     History

(a) Each licensee, other than a county, who is entrusted to safeguard resident cash resources, shall file or have on file with the licensing agency a copy of a bond issued by a surety company to the State of California as principal.
(1) The amount of the bond shall be in accordance with the following schedule:

Total Safeguarded Per Month	Bond Required
$750 or less 	 $1,000  
$751 to $1,500 	 $2,000  
$1,501 to $2,500 	 $3,000  
Every further increment of $1,000 or fraction thereof shall require an additional $1,000 on the bond.
(b) Whenever the licensing agency determines that the amount of the bond is insufficient to adequately protect the money of residents, or

whenever the amount of any bond is impaired by any recovery against the bond, the licensing agency may require the licensee to file an additional bond in such amount as the licensing agency determines to be necessary to adequately protect the residents' money.
(c) Each application for a license or renewal of license shall be accompanied by an affidavit on a form provided by the licensing agency. The  affidavit shall state whether the applicant/licensee will be entrusted/is entrusted to safeguard or control cash resources of persons and the maximum amount of money to be handled for all persons in any month.
(d) No licensee shall either handle money of a resident or handle amounts greater than those stated in the affidavit submitted by him or for which his bond is on file without first notifying the licensing agency and filing a new or revised bond as required by the licensing agency.
(e) A written request for a variance from the bonding requirement may be made to the licensing agency. Approval by the licensing agency of a variance shall be in writing. The request shall include a signed statement from the licensee indicating:
(1) That the bonding requirement is so onerous that as a result the facility will cease to operate.
(2) The place of deposit in which the resident's funds are to be held.
(3) That withdrawals will be made only on the authorization of the resident or his responsible person.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.15, 1569.31, 1569.312, 1569.60 and 1569.61, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87226 to new section 87216, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87217. Safeguards for Resident Cash, Personal Property, and Valuables.
Note     •     History

(a) A licensee shall not be required to handle residents' cash resources. However, if a resident incapable of handling his own cash resources, as documented by the initial or subsequent appraisal, is accepted for care, his cash resource shall be safeguarded in accordance with the regulations in this section. 
(b) Every facility shall take appropriate measures to safeguard residents' cash resources, personal property and valuables which have been entrusted to the licensee or facility staff. The licensee shall give the residents receipts for all such articles or cash resources. 
(c) Every facility shall account for any cash resources entrusted to the care or control of the licensee or facility staff.
(1) Cash resources include but are not limited to monetary gifts, tax credits and/or refunds, earnings from employment or workshops, and personal and incidental need allowances from funding sources such as SSI-SSP.
(d) Except as provided in approved continuing care agreements, no licensee or employee of a facility shall:
(1) accept appointment as a guardian or conservator of the person and/or estate of any resident; 
(2) accept any general or special power of attorney for any such person; 
(3) become substitute payee for any payments made to any persons;
(A) This requirement does not apply to a licensee who is appointed by the Social Security Administration as representative payee for the resident.
(4) become the joint tenant on any account specified in Section 87217(h) with a resident. 
(e) Cash resources and valuables of residents which are handled by the licensee for safekeeping shall not be commingled with or used as the facility funds or petty cash, and shall be separate, intact and free from any liability the licensee incurs in the use of his own or the facility's funds and valuables. This does not prohibit the licensee from providing advances or loans to residents from facility money. 
(f) No licensee or employee of a facility shall make expenditures from residents' cash resources for any basic service specified in this Chapter, or for any basic services identified in a contract/admission agreement between the resident and facility. 
(1) This requirement does not apply to a licensee who is appointed by the Social Security Administration as representative payee for the resident.
(g) Each licensee shall maintain adequate safeguards and accurate records of cash resources and valuables entrusted to his care, including, but not limited to the following:
(1) Records of residents' cash resources maintained as a drawing account shall include a ledger accounting (columns for income, disbursements and balance) for each resident, and supporting receipts filed in chronological order. Each accounting shall be kept current.
(A) An acceptable receipt where cash is provided to residents from their respective accounts, includes: the resident's signature or mark, or responsible party's full signature, and a statement acknowledging receipt of the amount and date received. An acceptable form of receipt would include: 
“(full signature of resident) accepts (dollar amount) (amount written in cursive), this date (date), from (payor).”
(B) An acceptable receipt where purchases are made for the resident, from his account, is the store receipt.
(2) Records of residents' cash resources and other valuables entrusted to the licensee for safekeeping shall include a copy of the receipt furnished to the resident as specified in (b) above or to his responsible person. The receipt provided to the resident for money or valuables entrusted to the licensee shall be original and include the resident's and/or his responsible person's signature.
(3) Bank records for transactions of cash resources deposited in and drawn from the account as specified in (h) below.
(h) Immediately upon admission, residents' cash resources entrusted to the licensee and not kept in the licensed facility shall be deposited in any type of bank, savings and loan or credit union account, which is maintained separate from the personal or business accounts of the licensee, provided that the account title clearly notes that it is residents' money and the resident has access to the money upon demand to the licensee. 
(1) Such accounts shall be maintained in a local bank, savings and loan or credit union authorized to do business in California, the deposits of which are insured by a branch of the Federal Government; except, however, that a local public agency may deposit such funds with the public treasurer.
(2) Cash resources entrusted to the licensee for residents and kept on the facility premises shall be kept in a locked and secure location.
(i) Upon discharge of a resident, all cash resources, personal property and valuables of that resident which have been entrusted to the licensee shall be surrendered to the resident, or his responsible person. A signed receipt shall be obtained.
(j) Upon the death of a resident, all cash resources, personal property, and valuables of that resident shall immediately be safeguarded.
(1) All cash resources shall be placed in an account as specified in (g) above.
(2) The executor or the administrator of the estate shall be notified by the licensee, and the cash resources, personal property, and valuables surrendered to said party.
(3) If no executor or administrator has been appointed, the responsible person shall be notified, and the cash resources, personal property, and valuables shall be surrendered to said person in exchange for a signed itemized receipt.
(4) If the licensee is unable to notify a responsible party as specified above, immediate written notice of the resident's death shall be given to the public administrator of the county as provided by Section 1145 of the California Probate Code.
(k) Whenever there is a change of licensee, the licensee shall:
(1) notify the licensing agency of any pending change of licensee, and
(2) shall provide the licensing agency an accounting of all residents' cash resources, personal property and valuables entrusted to his/her care. Such accounting shall be made on a form provided or approved by the Department.
(l) When the licensing agency approves the application for the new licensee, the form specified in (2) above shall be updated, signed by both parties, and forwarded to the licensing agency.
(m) All monetary gifts, and any gift exceeding an estimated value of $100, which are given to a licensee by or on behalf of a resident shall be recorded. The record shall be attached to the account specified in (f) above. This shall not include monetary gifts or valuables given by the friends or relatives of a deceased resident.
NOTE

Authority cited: Section 1569.3, Health and Safety Code. Reference: Sections 1569.1, 1569.15, 1569.31, 1569.60 and 1569.61, Health and Safety Code; Section 11006.9, Welfare and Institutions Code; and Title 20 Code of Federal Regulations, Section 416.601.
HISTORY

1. Change without regulatory effect renumbering section 87227 to new section 87217, including amendment of section heading, subsection (d)(4) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87218. Theft and Loss.
Note     •     History

(a) The licensee shall ensure an adequate theft and loss program as specified in Health and Safety Code Section 1569.153.
(1) The initial personal property inventory shall be completed by the licensee and the resident or the resident's representative.
(2) A licensee who fails to make reasonable efforts to safeguard resident property, shall reimburse a resident for or replace stolen or lost resident property at its current value. The licensee shall be presumed to have made reasonable efforts to safeguard resident property if there is clear and convincing evidence of efforts to meet each requirement specified in Section 1569.153.
(A) A civil penalty shall be levied if the licensee or facility staff have not implemented a theft and loss program, or if the licensee has not shown clear and convincing evidence of its efforts to meet all of the requirements set forth in Section 1569.153.
(3) The facility contract of admission, including all documents a resident or his or her representative must sign as a condition of admission, shall not require or suggest a lesser standard of responsibility for the personal property of residents than the law requires.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.152, 1569.153 and 1569.154, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87402 to section 87218 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 30.
2. Amendment of subsection (a) filed 11-18-88; operative 12-18-88 (Register 88, No. 49).
3. Amendment of subsections (a)(2) and (a)(9) and Note filed 1-16-92; operative 1-16-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 12).
4. Amendment of subsection (a)(4), new subsection (a)(5), subsection renumbering and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
5. Amendment of subsection (a)(2), repealer of subsections (a)(10)-(a)(10)(B), new subsection (a)(10) and amendment of Note filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
6. Change without regulatory effect amending subsections (a) and (a)(17) and amending Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
7. Amendment of subsections (a) and (a)(14) and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
9. Change without regulatory effect renumbering section 87218 to new section 87155 and renumbering section 87227.1 to section 87218 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87219. Planned Activities.
Note     •     History

(a) Residents shall be encouraged to maintain and develop their fullest potential for independent living through participation in planned activities. The activities made available shall include:
(1) Socialization, achieved through activities such as group discussion and conversation, recreation, arts, crafts, music, and care of pets.
(2) Daily living skills/activities which foster and maintain independent functioning.
(3) Leisure time activities cultivating personal interests and pursuits, and encouraging leisure-time activities with other residents.
(4) Physical activities such as games, sports and exercise which develop and maintain strength, coordination and range of motion.
(5) Education, achieved through special classes or activities.
(6) Provision for free time so residents may engage in activities of their own choosing.
(b) Residents served shall be encouraged to contribute to the planning, preparation, conduct, clean-up and critique of the planned activities.
(c) The licensee shall arrange for utilization of available community resources through contact with organizations and volunteers to promote resident participation in community-centered activities which may include:
(1) Attendance at the place of worship of the resident's choice.
(2) Service activities for the community.
(3) Community events such as concerts, tours and plays.
(4) Participation in community organized group activities, such as senior citizen groups, sports leagues and service clubs.
(d) In facilities licensed for seven (7) or more persons, notices of planned activities shall be posted in a central location readily accessible to residents, relatives, and representatives of placement and referral agencies. Copies shall be retained for at least six (6) months.
(e) In facilities licensed for sixteen (16) to forty-nine (49) persons, one staff member, designated by the administrator, shall have primary responsibility for the organization, conduct and evaluation of planned activities. This person shall have had at least six (6) month's experience in providing planned activities or have completed or be enrolled in an appropriate education or training program.
(f) In facilities licensed for fifty (50) persons or more, one staff member shall have full-time responsibility to organize, conduct and evaluate planned activities, and shall be given such staff assistance as necessary in order for all residents to participate in accordance with their interests and abilities. The program of activities shall be written, planned in advance, kept up-to-date, and made available to all residents. The responsible employee shall have had at least one year of experience in conducting group activities and be knowledgeable in evaluating resident needs, supervising other employees, and in training volunteers.
(1) An exception to this requirement may be made by the licensing agency upon the facility's presentation in writing of a satisfactory alternative plan.
(2) Where the facility can demonstrate that its residents are self-directed to the extent that they are able to plan, organize and conduct the facility's activity program themselves, this requirement may be reduced or waived by the licensing agency.
(g) Participation of volunteers in planned activities shall be encouraged, and such volunteers shall be under the direction and supervision of the employees responsible for the activity program.
(h) Facilities shall provide sufficient space to accommodate both indoor and outdoor activities. Activities shall be encouraged by provision of:
(1) A comfortable, appropriately furnished area such as a living room, available to all residents for their relaxation and for entertaining friends and relatives.
(2) Outdoor activity areas which are easily accessible to residents and protected from traffic. Gardens or yards shall be sufficient in size, comfortable, and appropriately equipped for outdoor use.
(i) Facilities shall provide sufficient equipment and supplies to meet the requirements of the activity program including access to daily newspapers, current magazines and a variety of reading materials. Special equipment and supplies necessary to accommodate physically handicapped persons or other persons with special needs shall be provided as appropriate.
(1) When not in use, recreational equipment and supplies shall be stored where they do not create a hazard to residents.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87404 to section 87219 filed 11-17-88 (Register 88, No. 49). For prior history, see Registers 88, No. 34 and 87, No. 25.
2. Change without regulatory effect amending subsection (c)(2) filed 3-10-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 15).
3. Amendment filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2000, No. 38). 
5. Certificate of Compliance as to 5-18-2000 order, including further amendment of section, transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
6. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
10. Amendment of subsection (f), new subsection (f)(1), subsection renumbering and amendment of Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
11. Change without regulatory effect renumbering former section 87219 to new section 87355 and renumbering renumbering former section 87579 to new section 87219, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87219.1. Criminal Record Exemption. [Renumbered]
Note     •     History

NOTE

Authority Cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.17, Health and Safety Code; and Gresher v. Anderson (2005) 127 Cal. App. 4th 88.
HISTORY

1. New section filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 38). 
3. Certificate of Compliance as to 5-18-2000 order transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
4. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
8. Amendment of section and Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
9. Change without regulatory effect renumbering former section 87219.1 to new section 87356 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87220. Fire Clearance. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.30 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87406 to Section 87220 filed 11-17-88 (Register 88, No. 49). For prior history, see Registers 88, No. 34 and 88, No. 30.
2. Change without regulatory effect renumbering former section 87220 to section 87202 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87221. Resident Councils.
Note     •     History

The facility shall permit the formation of a resident council by interested residents, provide space and post notice for meetings, and provide assistance in attending meetings for those residents who request it. In order to permit a free exchange of ideas, at least part of each meeting shall be allowed to be conducted without the presence of any facility personnel. Residents shall be encouraged, but shall not be compelled to attend. The purpose of such an organization shall be to work with the administration in improving the quality of life for all residents by enriching the activity program and to discuss the services offered by the facility and make recommendations regarding identified problems.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87592 to new section 87221, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87222. Requirements for Emergency Adult Protective Services Placements.
Note     •     History

(a) The licensee shall be permitted to accept emergency placements by an adult protective services (APS) agency, if the licensee has received approval from the Department to provide emergency shelter services. 
(1) To obtain approval, the licensee shall submit a written request to the Department. The request shall include, but not be limited to, the following: 
(A) A letter of interest from the county APS agency stating that if the request to provide emergency shelter services is approved, the APS agency may enter into an agreement with the licensee to provide such services. 
1. A copy of the written agreement between the APS agency and the licensee, listing the responsibilities of each party, shall be sent to the Department within seven calendar days of signing. 
(B) A written addendum to the Plan of Operation, specified in Section 87208, Plan of Operation that includes procedures for the intake of an APS emergency placement. The addendum shall specify how the licensee will meet the needs of a resident placed on an emergency basis, such as on-call staff, additional staff and training. 
1. The procedures shall include, but not be limited to, provisions for a private room. 
a. The licensee shall provide a private room for the resident until a pre-admission appraisal of the resident's individual service needs has been completed, specified in Section 87457, Pre-admission Appraisal. 
b. The Department may approve an alternative to a private room, such as awake or additional staff, but an alternative shall not be approved if it displaces staff or other residents of the facility. 
(C) A licensee of a residential care facility for the elderly may accept an adult resident, 18 through 59 years of age, for emergency placement under the following conditions: 
1. The APS agency has written a statement indicating a local need exists for the licensee to accept emergency placements of adults 18 through 59 years of age. 
a. The licensee attaches this APS statement of local need [Section 87222(a)(1)(C)1.] to the written request, specified in Section 87222(a)(1). 
b. The licensee must request a statement each year from the APS agency, indicating a local need still exists as specified in Section 87222(a)(1)(C)1., and submit the statement to the Department. 
(b) The Department shall provide written approval or denial of a licensee's request to provide emergency shelter services within 15 working days of its receipt. 
(c) The licensee shall comply with the regulations in Title 22, Division 6, Chapter 8 (Residential Care Facilities for the Elderly), unless otherwise stated in Section 87222, Requirements for Emergency Adult Protective Services Placements. These regulations include, but are not limited to, the following: 
(1) The licensee shall not exceed the capacity limitations specified on the license and shall not allow rooms approved only for ambulatory residents to be used by nonambulatory residents, as specified in Section 87204, Limitations -- Capacity and Ambulatory Status. 
(2) The licensee shall meet the requirements in Section 87202 on fire clearance if the licensee has accepted a nonambulatory resident, defined in Section 87101(n). 
(d) The licensee shall not accept the following persons as APS emergency placements: 
(1) Individuals with prohibited health conditions [Section 87615, Prohibited Health Conditions]. 
(2) Individuals with restricted health conditions [Section 87612, Restricted Health Conditions]. 
(A) The licensee may accept an APS emergency placement who is incontinent when the requirements in Section 87625, Managed Incontinence, are met. 
(3) Individuals who are receiving hospice care [Section 87633, Hospice Care for Terminally Ill Residents]. 
(4) Individuals who have active communicable tuberculosis [Section 87455(c)(1)]. 
(5) Individuals who require 24-hour, skilled nursing or intermediate care [Section 87455(c)(2)]. 
(6) Individuals whose primary need for care and supervision results from an ongoing behavior, caused by a mental disorder, that would upset the general resident group [Section 87455(c)(3)(A)].
(7) Individuals who are bedridden, as defined in Section 87455(d). 
(e) If a licensee accepts an APS emergency placement with dementia, the licensee shall meet the requirements in Section 87705, Care of Persons with Dementia.
(f) The licensee shall not admit an APS emergency placement unless the APS worker is present at the facility at the time of admission. 
(g) Prior to acceptance of an APS emergency placement, the licensee shall obtain and keep on file the following information received from the APS worker: 
(1) Resident's name. 
(2) Resident's ambulatory status. 
(3) Name(s) and telephone number(s) of the resident's physician(s). 
(4) Name(s), business address(es), and telephone number(s) of the APS worker responsible for the resident's placement and the APS case worker, if known. 
(5) Name, address, and telephone number of any person responsible for the care of the resident, if available. 
(h) Within seven calendar days of an APS emergency placement, the licensee shall obtain other resident information specified in Section 87506, Resident Records. 
(1) The resident must have a tuberculosis test [Section 87458(b)(1)] by the seventh day of placement even though the test results may not be available by the seventh day of placement. 
(i) The licensee shall contact the resident's attending physician or the person authorized to act for the physician to identify all of the resident's prescribed medications and usage instructions [Section 87458(b)(3)] by the next working day, but no later than 72 hours from the initial APS emergency placement. 
(1) The attending physician or the person acting for the physician shall have access to the resident's records to determine whether the full medication regimen is accounted for and accurate. 
(2) If medication verification, as specified in Section 87222(i), has not been obtained within 72 hours from the resident's initial placement, the licensee shall contact the APS worker to request that the resident be relocated, as specified in Section 87222(j). 
(j) The licensee shall contact the APS worker to request that the resident be relocated immediately when the licensee identifies that needs cannot be met or that the resident has a condition specified in Section 87222(d). 
(1) A licensee cannot retain a resident under age 60 beyond 30 calendar days from initial placement by the APS agency, unless the acceptance and retention requirement provided in Section 87455(b)(6) is met. 
(k) Within seven calendar days of the licensee making any changes to an agreement with an APS agency, the licensee shall notify the Department in writing of these changes, which may include a renewed agreement, amended language and/or notification of a terminated agreement. 
(l) All emergency placements are subject to the same record requirements as set forth in Section 87506(d). 
NOTE

Authority cited: Section 1569.30, Health and Safety Code; and Senate Bill 2199 (Chapter 946, Statutes of 1998), Section 14 uncodified. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312, 1569.315, 1569.316, 1569.47, 1569.54, 1569.698, 1569.699, 1569.71, 1569.72 and 1569.73, Health and Safety Code; and Sections 15610.13 and 15763, Welfare and Institutions Code. 
HISTORY

1. Change without regulatory effect renumbering Section 87504 to Section 87222 filed 11-17-88 (Register 88, No. 49). for prior history, see Registers 88, No. 34 and 88, No. 2.
2. Change without regulatory effect amending subsection (a)(6) filed 6-1-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 22).
3. Amendment of subsection (a)(6), new subsection (a)(11) and amendment of Note filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
4. Amendment of subsection (a)(7), new subsections (a)(7)(A)-(B), (b) and (c) and amendment of Note filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
5. Change without regulatory effect renumbering former section 87222 to section 87208 and renumbering former section 87593 to new section 87222, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87223. Relocation of Resident.
Note     •     History

(a) When a resident must be relocated by Department order whether individual health-condition relocations pursuant to Section 87637, Health Condition Relocation Order, or temporary suspension orders pursuant to Section 87775(c), the licensee shall not obstruct the relocation process and shall cooperate with the Department in the relocation process. Such cooperation shall include, but not be limited to, the following activities:
(1) Identifying and preparing for removal of the medications, Medi-Cal or Medicare or other medical insurance documents. clothing, safeguarded cash resources, valuables and other belongings of the resident.
(2) Contacting the person responsible for the resident to assist in transporting him or her, if necessary.
(3) Contacting other suitable facilities for placement, if necessary.
(4) Providing access to resident's files when required by the Department.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569, 1569.1, 1569.2, 1569.31, 1569.312 and 1569.54, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87130 to Section 87223 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
2. Amendment of subsection (b), new subsection (b)(3), and amendment of Note filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
3. Change without regulatory effect renumbering former section 87223 to section 87212 and renumbering former section 87342.1 to section 87223, including amendment of section heading, section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87224. Eviction Procedures.
Note     •     History

(a) The licensee may, upon thirty (30) days written notice to the resident, evict the resident for one or more of the following reasons:
(1) Nonpayment of the rate for basic services within ten days of the due date.
(2) Failure of the resident to comply with state or local law after receiving written notice of the alleged violation.
(3) Failure of the resident to comply with general policies of the facility. Said general policies must be in writing, must be for the purpose of making it possible for residents to live together and must, be made part of the admission agreement.
(4) If, after admission, it is determined that the resident has a need not previously identified and a reappraisal has been conducted pursuant to Section 87463, and the licensee and the person who performs the reappraisal believe that the facility is not appropriate for the resident.
(5) Change of use of the facility.
(b) The licensee may, upon obtaining prior written approval from the licensing agency, evict the resident upon three (3) days written notice to quit. The licensing agency may grant approval for the eviction upon a finding of good cause. Good cause exists if the resident is engaging in behavior which is a threat to the mental and/or physical health or safety of himself or to the mental and/or physical health or safety of others in the facility.
(c) The licensee shall, in addition to either serving thirty (30) days notice or seeking approval from the Department and serving three (3) days notice on the resident, notify or mail a copy of the notice to quit to the resident's responsible person.
(d) The licensee shall set forth in the notice to quit the reasons relied upon for the eviction with specific facts to permit determination of the date, place, witnesses, and circumstances concerning those reasons.
(1) The notice to quit shall include the following information: 
(A) The effective date of the eviction. 
(B) Resources available to assist in identifying alternative housing and care options which include, but are not limited to, the following: 
1. Referral services that will aid in finding alternative housing. 
2. Case management organizations which help manage individual care and service needs. 
(C) A statement informing residents of their right to file a complaint with the licensing agency, as specified in Section 87468, subsection (a)(4), including the name, address and telephone number of the licensing office with whom the licensee normally conducts business, and the State Long Term Care Ombudsman office. 
(D) The following exact statement as specified in Health and Safety Code Section 1569.683(a)(4): “In order to evict a resident who remains in the facility after the effective date of the eviction, the residential care facility for the elderly must file an unlawful detainer action in superior court and receive a written judgment signed by a judge. If the facility pursues the unlawful detainer action, you must be served with a summons and complaint. You have the right to contest the eviction in writing and through a hearing.” 
(e) Upon the request of a resident, or his/her designated representative, the Department shall, pursuant to the provisions of Section 1569.35 of the Health and Safety Code, investigate the reasons given for the eviction.
(f) A written report of any eviction shall be sent to the licensing agency within five (5) days.
(g) This section shall not apply to a particular resident who has entered into a continuing care contract with a facility pursuant to Health and Safety Code, Chapter 10, Division 2.
(h) Nothing in this section is intended to preclude the licensee or resident from invoking any other available remedy.
(i) Nothing in Section 87224 precludes the licensee from initiating the urgent relocation to a licensed health facility of a terminally ill resident receiving hospice services when the resident's condition has changed and a joint determination has been made by the Department, the resident or resident's health care surrogate decision maker, the resident's hospice agency, a physician, and the licensee, that the resident's continued retention in the facility poses a health and safety risk to the resident or any other facility resident.
(1) The licensee shall follow the procedures specified in Section 87637(b)(2) to reduce the risk of transfer trauma.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312, 1569.315, 1569.54, 1569.683 and 1569.73, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87424 to Section 87224 filed 11-17-88 (Register 88, No. 49). For prior history, see Registers 88, No. 34 and 88, No. 2.
2. Change without regulatory effect amending section heading, section and Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
3. Change without regulatory effect amending section heading and section filed 6-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 24).
4. Change without regulatory effect renumbering section 87224 to new section 87156 and renumbering former section 87589 to new section 87224, including amendment of subsections (i)-(i)(1) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
5. Amendment of subsection (a)(4), new subsections (d)(1)-(d)(1)(D) and amendment of Note filed 8-20-2012; operative 9-19-2012 (Register 2012, No. 34).
§87225. Commingling of Money. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, 1531, 1560, and 1561, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87142 to Section 87225 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. Change without regulatory effect renumbering section 87225 to new section 87215 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87226. Bonding. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.15, 1569.30, 1569.31, 1569.312, 1569.60 and 1569.61, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87140 to Section 87226 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. Editorial correction of section number in Reference (Register 89, No. 6).
3. Change without regulatory effect renumbering section 87226 to new section 87216 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87227. Safeguards for Cash Resources, Personal Property, and Valuables of Residents. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.15, 1569.30, 1569.31, 1569.60 and 1569.61, Health and Safety Code; Section 11006.9, Welfare and Institutions Code; and 20 CFR 416.601.
HISTORY

1. Change without regulatory effect renumbering section 87138 to section 87227 filed 11-17-88 (Register 88, No. 49). For prior history, see Registers 88, No. 2 and 87, No. 25.
2. Change without regulatory effect amending section filed  3-14-94 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 22).
3. Editorial correction implementing amendments referenced in History 2 and adding history note (Register 94, No. 11).
4. Change without regulatory effect amending subsection (d) filed 3-14-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 11).
5. New subsection (d)(3)(A), amendment of subsections (d)(4) and (f), new subsection (f)(1), subsection relettering and amendment  of newly designated subsection (g)(3) and Note filed 8-21-95; operative 9-20-95 (Register 95, No. 34).
6. Editorial correction amending Note (Register 2008, No. 10).
7. Change without regulatory effect renumbering section 87227 to new section 87217 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87227.1. Theft and Loss. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.152, 1569.153 and 1569.154, Health and Safety Code.
HISTORY

1. New section filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
2. Change without regulatory effect renumbering section 87227.1 to new section 87218 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87228. Application Review. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15, 1569.16, 1569.17, 1569.20 and 1569.205, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87410 to section 87228 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. New subsection (b) and NOTE filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
3. Change without regulatory effect amending subsection (b)(4) filed 6-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 24).
4. Change without regulatory effect renumbering section 87228 to new section 87157 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87229. Capacity. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87136 to Section 87229 filed 11-17-88 (Register 88, No. 49).
2. Change without regulatory effect renumbering section 87229 to new section 87158 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87230. Withdrawal of Application. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1569.185, 1569.20, 1569.22, 1569.30, 1569.50, 1569.51 and 1569.52, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87408 to Section 87230 filed 11-17-88 (Register 88, No. 49). For prior history, see Registers 88, No. 34 and 88, No. 2.
2. Change without regulatory effect amending section and Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
3. Change without regulatory effect renumbering section 87230 to new section 87159 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87231. Provisional License. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15, 1569.1515(b), 1569.17, 1569.18, 1569.20, 1569.21, 1569.22, 1569.23 and 1569.24, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87412 to section 87231 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. New subsection (a)(1) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
4. Change without regulatory effect renumbering section 87231 to new section 87162 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87233. Term of an Initial or Renewal License.
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.19, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87422 to Section 87233 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect repealing section filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
§87234. Application for Renewal of License.
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15 and 1569.19, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87418 to Section 87234 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Editorial correction (Register 95, No. 44).
3. Change without regulatory effect repealing section filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
§87235. Resubmission of Application. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.3, 1569.10, 1569.11, 1569.15 and 1569.19, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87416 to Section 87235 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Editorial correction of subsection (a)(5) (Register 95, No. 44).
3. Change without regulatory effect amending subsection (a)(3) filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
4. Change without regulatory effect renumbering section 87235 to new section 87161 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87236. Conditions for Forfeiture of a Residential Care Facility for the Elderly License. [Renumbered]
Note     •     History

NOTE

Authority Cited: Section 1569.30, Health and Safety Code. Reference 1569.19, Health and Safety Code.
HISTORY

1. New section filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
2. Change without regulatory effect renumbering former section 87236 to section 87112 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87300. Serious Deficiencies-Examples.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1534, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87300 to Section 87451 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 25.
2. Change without regulatory effect removing article 4 heading filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10). For prior history of sections 87302-87311, see Register 88, No. 34 and Register 88, No. 49.
Article 5. Physicial Environment and Accommodations
§87303. Maintenance and Operation.
Note     •     History

(a) The facility shall be clean, safe, sanitary and in good repair at all times. Maintenance shall include provision of maintenance services and procedures for the safety and well-being of residents, employees and visitors.
(1) Floor surfaces in bath, laundry and kitchen areas shall be maintained in a clean, sanitary, and odorless condition.
(b) A comfortable temperature for residents shall be maintained at all areas.
(1) The facility shall heat rooms that residents occupy to a minimum of 68 degree F, (20 degree C).
(2) The facility shall cool rooms to a comfortable range, between 78 degrees F (26 degrees C) and 85 degrees F (30 degrees C), or in areas of extreme heat to 30 degrees F less than the outside temperature.
(3) Nothing in this section shall prohibit residents from adjusting individual thermostatic controls.
(c) All window screens shall be clean and maintained in good repair.
(d) There shall be lamps or light appropriate for the use of each room and sufficient to ensure the comfort and safety of all persons in the facility.
(e) Water supplies and plumbing fixtures shall be maintained as follows:
(1) All community care facilities where water for human consumption is from a private source shall:
(A) As a condition of initial licensure, provide evidence of an on-site inspection of the source of the water and a bacteriological analysis by a local or state health department or other qualified public or private laboratory which establishes the safety of the water.
(B) Following licensure, provide a bacteriological analysis of the private water supply as frequently as is necessary to assure the safety of the residents, but no less frequently than the time intervals shown in the table below. However, facilities licensed for six or fewer residents shall be required to have a bacteriological analysis subsequent to initial licensure only if evidence supports the need for such an analysis to protect residents.

		Periodic
Licensed Capacity 	Analysis Required	Subsequent Analysis
Under 6	Initial Licensing	Upon evidence of need
7 through 15	Initial Licensing 	Annually
16 through 24	Initial Licensing	Every six months
25 or more	Refer to the county health department for 
	 compliance with the California Safe
	 Drinking Water Act, Health and Safety Code,
	 Division 5, Part 1, Chapter 7, Water and Water			 Systems.
(2) Faucets used by residents for personal care such as shaving and grooming shall deliver hot water. Hot water temperature controls shall be maintained to automatically regulate the temperature of hot water used by residents to attain a temperature of not less than 105 degree F (41 degree C) and not more than 120 degree F (49 degree C).
(3) Taps delivering water at 125 degree F (52 degree C) or above shall be prominently identified by warning signs.
(4) Grab bars shall be maintained for each toilet, bathtub and shower used by residents.
(5) Non-skid mats or strips shall be used in all bathtubs and showers.
(6) Toilet, handwashing and bathing facilities shall be maintained in operating condition. Additional equipment shall be provided in facilities accommodating physically handicapped and/or nonambulatory residents, based on the residents' needs.
(f) Solid waste shall be stored and disposed of as follows:
(1) Solid waste shall be stored, located and disposed of in a manner that will not permit the transmission of a communicable disease or of odors, create a nuisance, provide a breeding place or food source for insects or rodents.
(2) Syringes and needles are disposed of in accordance with the California Code of Regulations, Title 8, Section 5193 concerning bloodborne pathogens.
(3) All containers, except movable bins, used for storage of solid wastes shall have tight-fitting covers on the containers; shall be in good repair; shall have external handles; and shall be leakproof and rodent-proof.
(4) Movable bins when used for storing or transporting solid wastes from the premises shall have tight-fitting covers on the containers; shall be in good repair; and shall be rodent-proof unless stored in a room or screened enclosure.
(5) Solid waste containers, including movable bins, receiving putrescible waste shall be emptied at least once per week or more often if necessary. Such containers shall be maintained in a clean and sanitary condition.
(6) Each movable bin shall provide for suitable access and a drainage device to allow complete cleaning at the storage area.
(g) Facilities which have machines and do their own laundry shall:
(1) Have adequate supplies available and equipment maintained in good repair. Space used to sort soiled linen shall be separate from the clean linen storage and handling area. Except for facilities licensed for fifteen (15) residents or less, the space used to do laundry shall not be part of an area used for storage of anything other than clean linens and/or other supplies normally associated with laundry activities. Steam, odors, lint and objectionable laundry noise shall not reach resident or employee areas.
(2) Make at least one machine available for use by residents who are able and who desire to do their own personal laundry. This machine shall be maintained in good repair. Equipment in good repair shall be provided to residents who are capable and desire to iron their own clothes.
(h) Emergency lighting shall be maintained. At a minimum this shall include flashlights, or other battery powered lighting, readily available in appropriate areas accessible to residents and staff. Open-flame lights shall not be used.
(i) Facilities shall have signal systems which shall meet the following criteria:
(1) All facilities licensed for 16 or more and all residential facilities having separate floors or buildings shall have a signal system which shall:
(A) Operate from each resident's living unit.
(B) Transmit a visual and/or auditory signal to a central staffed location or produce an auditory signal at the living unit loud enough to summon staff.
(C) Identify the specific resident living unit.
(2) Facilities having more than one wing, floor or building shall be permitted to have a separate system in each, provided each meets the above criteria.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1 and 1569.31, Health and Safety Code; and Title 8, California Code of Regulations, Section 5193.
HISTORY

1. Change without regulatory effect adopting article 5 heading and renumbering former section 87691 to section 87303, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87305. Alterations to Existing Buildings or New Facilities.
Note     •     History

(a) Prior to construction or alterations, all facilities shall obtain a building permit.
(b) The licensing agency may require the facility to acquire a local building inspection where the agency determines that a suspected hazard to health and safety exists.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.1, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87686 to new section 87305 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87307. Personal Accommodations and Services.
Note     •     History

(a) Living accommodations and grounds shall be related to the facility's function. The facility shall be large enough to provide comfortable living accommodations and privacy for the residents, staff, and others who may reside in the facility. The following provisions shall apply:
(1) There shall be common rooms such as living rooms, dining rooms, dens or other recreation/activity rooms. They shall be of sufficient space and/or separation to promote and facilitate the program of activities and to prevent such activities from interfering with other functions.
(2) Resident bedrooms shall be provided which meet, at a minimum, the following requirements:
(A) Bedrooms shall be large enough to allow for easy passage between and comfortable usage of beds and other required items of furniture specified below, and any resident assistant devices such as wheelchairs or walkers.
(B) No room commonly used for other purposes shall be used as a sleeping room for any resident. This includes any hall, stairway, unfinished attic, garage, storage area, shed or similar detached building.
(C) No bedroom of a resident shall be used as a passageway to another room, bath or toilet.
(D) Not more than two residents shall sleep in a bedroom.
(3) Equipment and supplies necessary for personal care and maintenance of adequate hygiene practice shall be readily available to each resident. The resident may provide the following items; however, if the resident is unable or chooses not to provide them, the licensee shall assure provision of:
(A) A bed for each resident, except that married couples may be provided with one appropriate sized bed. Each bed shall be equipped with good springs, a clean and comfortable mattress, available pillow(s) and lightweight warm bedding. Fillings and covers for mattresses and pillows shall be flame retardant. Rubber sheeting shall be provided when necessary.
(B) Bedroom furniture, which shall include, for each resident, a chair, night stand, a lamp, or lights sufficient for reading, and a chest of drawers.
(C) Clean linen, including blankets, bedspreads, top bed sheets, bottom bed sheets, pillow cases, mattress pads, bath towels, hand towels and wash cloths. The quantity shall be sufficient to permit changing at least once per week or more often when indicated to ensure that clean linen is in use by residents at all times. The linen shall be in good repair. The use of common wash cloths and towels shall be prohibited.
(D) Hygiene items of general use such as soap and toilet paper.
(E) Portable or permanent closets and drawer space in the bedrooms for clothing and personal belongings. A minimum of eight (8) cubic feet (.743 cubic meters) of drawer space per resident shall be provided.
(F) Basic laundry service (washing, drying, and ironing of personal clothing).
(b) Toilets and bathrooms shall be conveniently located. The licensed capacity shall be established based on Section 87158, Capacity, and the following:
(1) At least one toilet and washbasin for each six (6) persons, which include residents, family and personnel.
(2) At least one bathtub or shower for each ten (10) persons, which includes residents, family and live-in personnel.
(c) Individual privacy shall be provided in all toilet, bath and shower areas.
(d) The following space and safety provisions shall apply to all facilities:
(1) Sufficient room shall be available to accommodate persons served in comfort and safety.
(2) The premises shall be maintained in a state of good repair and shall provide a safe and healthful environment.
(3) All persons shall be protected against hazards within the facility through provision of the following:
(A) Protective devices such as nonslip material on rugs.
(B) Information and instruction regarding life protection and other appropriate subjects.
(4) Stairways, inclines, ramps and open porches and areas of potential hazard to residents with poor balance or eyesight shall be made inaccessible to residents unless equipped with sturdy hand railings and unless well-lighted.
(5) Night lights shall be maintained in hallways and passages to nonprivate bathrooms.
(6) All outdoor and indoor passageways and stairways shall be kept free of obstruction.
(7) Fireplaces and open-faced heaters shall be adequately screened.
(e) Facilities providing services to residents who have physical or mental disabilities shall assure the inaccessibility of fishponds, wading pools, hot tubs, swimming pools or similar bodies of water, when not in active use by residents, through fencing, covering or other means.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87577 to new section 87307, including amendment of subsection (b), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87308. Resident and Support Services.
Note     •     History

(a) Nothing in these regulations shall prohibit the provision of required services from a centralized service facility serving two or more licensed facilities when approved in writing by the licensing agency.
(b) Administrative offices or area shall be maintained in facilities having a capacity of sixteen (16) persons or more, which includes space for business, administration and admission activities, a reception area and restroom facilities which may be used by visitors. Appropriate equipment shall be available, including a telephone. A private office shall be maintained for the administrator or other professional staff as appropriate.
(c) General storage space shall be maintained for equipment and supplies as necessary to ensure that space used to meet other requirements of these regulations is not also used for storage.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87308 to Section 87455 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect renumbering former section 87690 to new section 87308, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87309. Storage Space.
Note     •     History

(a) Disinfectants, cleaning solutions, poisons, firearms and other items which could pose a danger if readily available to clients shall be stored where inaccessible to clients.
(1) Storage areas for poisons, and firearms and other dangerous weapons shall be locked.
(2) In lieu of locked storage of firearms, the licensee may use trigger locks or remove the firing pin.
(A) Firing pins shall be stored and locked separately from firearms.
(3) Ammunition shall be stored and locked separately from firearms.
(b) Medicines shall be stored as specified in Section 87465(c) and separately from other items specified in (a) above.
(c) The items specified in (a) above shall not be stored in food storage areas or in storage areas used by or for clients.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87692 to new section 87309, including amendment of subsection (b) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87311. Telephones.
Note     •     History

All facilities shall have telephone service on the premises. Facilities with a capacity of sixteen (16) or more persons shall be listed in the telephone directory under the name of the facility.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Change without regulatory effect renumbering Section 87311 to Section 87458 filed 11-17-88 (Register 88, No. 49). 
3. Change without regulatory effect renumbering former section 87573 to new section 87311 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87312. Motor Vehicles Used in Transporting Residents.
Note     •     History

Only drivers licensed for the type of vehicle operated shall be permitted to transport residents. The rated seating capacity of the vehicles shall not be exceeded. Any vehicle used by the facility to transport residents shall be maintained in a safe operating condition.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87574 to new section 87312 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87340. Denial of Initial License. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.15, 1569.1515(b), 1569.17, 1569.185, 1569.20, 1569.21, 1569.22, 1569.23(a) and (e), 1569.30, 1569.485, 1569.49, 1569.50, 1569.51, 1569.52 and 1569.53, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87414 to section 87340 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect of subsection (b) pursuant to section 100, title 1, California Code of Regulations filed 10-31-89 (Register 89, No. 49).
3. New subsection (c) and renumbering and amendment of Note filed 1-16-92; operative 1-16-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 12).
4. Amendment of subsection (c) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
5. Change without regulatory effect amending subsection (d) and amending Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
6. Change without regulatory effect renumbering former section 87340 to section 87163 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87341. Denial of a Renewal License.
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15, 1569.18, 1569.19, 1569.20, 1569.22, 1569.23, 1569.30, 1569.50, 1569.51, 1569.52 and 1569.615(c), Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87420 to section 87341 filed 11-17-88 (Register 88, No. 49). For prior history, see Registers 88, No. 34 and 88, No. 2.
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. New subsection (d) and renumbering and amendment of Note filed 1-16-92; operative 1-16-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 12).
4. Change without regulatory effect repealing section and amending Note filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
§87342. Revocation or Suspension of License. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1515(c), 1569.50, 1569.51, 1569.52 and 1569.53, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87116 to Section 87342 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Amendment of subsection (a) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
3. Change without regulatory effect renumbering former section 87342 to new section 87775 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87342.1. Relocation of Resident--General. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569, 1569.1, 1569.2, 1569.30, 1569.31, 1569.312 and 1569.54, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former subsections 87582(j)-(j)(4) to new section 87342.1 and adoption of section heading and Note filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
2. Change without regulatory effect renumbering former section 87342.1 to section 87223 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87343. Licensee Complaints. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.30 and 1569.335, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87120 to Section 87343 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
2. Change without regulatory effect renumbering former section 87343 to new section 87757 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87344. Inspection Authority of the Licensing Agency. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.24, 1569.33, 1569.34 and 1569.35, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87124 to section 87344 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
2. Editorial correction restoring inadvertently omitted text and correcting History 1 (Register 96, No. 33).
3. Amendment of section heading and section filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
4. Change without regulatory effect renumbering former section 87344 to new section 87755 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87345. Evaluation Visit. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.11, 1569.24, 1569.32, 1569.33, 1569.34 and 1569.35, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87126 to Section 87345 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
2. Amendment filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
3. Change without regulatory effect renumbering former section 87345 to new section 87756, subsections (a) and (b) filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87346. Exclusions. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.58 and 1569.59, Health and Safety Code.
HISTORY

1. New section filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
2. Change without regulatory effect renumbering former section 87346 to new section 87777 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 6. Background Check
§87355. Criminal Record Clearance.
Note     •     History

(a) The Department shall conduct a criminal record review of all individuals specified in Health and Safety Code Section 1569.17 and shall have the authority to approve or deny a facility license, or employment, residence, or presence in the facility, based upon the results of such review.
(b) Prior to the Department issuing a license, the applicant, administrator and any adults other than a client, residing in the facility shall have a criminal record clearance or exemption.
(c) A licensee or applicant for a license may request a transfer of a criminal record clearance from one state licensed facility to another, or from TrustLine to a state licensed facility by providing the following documents to the Department: 
(1) A signed Criminal Background Clearance Transfer Request, LIC 9182 (Rev. 4/02). 
(2) A copy of the individual's:
(A) Driver's license, or
(B) Valid identification card issued by the Department of Motor Vehicles, or
(C) Valid photo identification issued by another state or the United States government if the individual is not a California resident.
(3) Any other documentation required by the Department (e.g., LIC 508, Criminal Record Statement [Rev. 1/03] and job description).
(d) All individuals subject to a criminal record review shall be fingerprinted and sign a Criminal Record Statement (LIC 508 [Rev. 1/03]) under penalty of perjury.
(1) A person signing the LIC 508 must: 
(A) Declare whether he/she has been convicted of a crime, other than a minor traffic violation as specified in Section 87355(h) regardless of whether the individual was granted a pardon for the conviction, received an expungement pursuant to Penal Code 1203.4 or the individual's record was sealed as a result of a court order. 
(B) If convicted of a crime other than a minor traffic violation as specified in Section 87355(h), provide information regarding the conviction. 
(2) If the signed statement indicates a conviction for any crime other than a minor traffic violation for which the fine was $300 or less, the licensee shall immediately notify the Department and the Department shall take appropriate action as specified in 87355(h). The Department shall take the same actions as would be taken in Health and Safety Code section 1569.17(c) if a criminal record transcript had been received.
(3) The licensee shall submit these fingerprints to the California Department of Justice, along with a second set of fingerprints for the purpose of searching the records of the Federal Bureau of Investigation, or comply with Section 87355(c), prior to the individual's employment, residence, or initial presence in the facility.
(e) All individuals subject to a criminal record review pursuant to Health and Safety Code Section 1569.17(b) shall prior to working, residing or volunteering in a licensed facility: 
(1) Obtain a California clearance or a criminal record exemption as required by the Department or 
(2) Request a transfer of a criminal record clearance as specified in Section 87355(c) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 87356(r), unless, upon request for a transfer, the Department permits the individual to be employed, reside or be present at the facility. 
(f) Violation of Section 87355(e) shall result in a citation of a deficiency and an immediate assessment of civil penalties of one hundred dollars ($100) per violation per day for a maximum of five (5) days by the Department. 
(1) Subsequent violations within a twelve (12) month period will result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days.
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1569.49. 
(g) Violation of Section 87355(e) may result in a denial of the license application or suspension and/or revocation of the license. 
(h) If the criminal record transcript of any individuals specified in Health and Safety Code section 1569.17(b) discloses a plea or verdict of guilty or a conviction following a plea of nolo contendere for any crime other than a minor traffic violation for which the fine was less than $300 and an exemption pursuant to Section 87356(a) has not been granted, the Department shall take the following actions specified in Health and Safety Code section 1569.17(c).
(1) For an initial applicant, the Department may deny the application. 
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license.
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1569.58 and deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility.
(4) For individuals residing in the facility, including spouses of the applicant, licensee, or employee, exclusion of the affected individual pursuant to Health and Safety Code Section 1569.58 and denial of the application or revocation of the license, if the individual continues to provide services and/or reside in the facility.
(i) The Department shall notify the licensee and the affected individual associated with the facility, in concurrent, separate letters, that the affected individual has a criminal conviction and needs to obtain a criminal record clearance.
(j) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of employees in the individual's personnel file as required in Section 87412, Personnel Records.
(k) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of volunteers that require fingerprinting and non-client adults residing in the facility.
(1) Documentation shall be available at the facility for inspection by the Department.
(l) The Department may seek verification from a law enforcement agency or court of an individual's criminal record as reported to the Department from any member of the public or affected individual. 
(1) Upon obtaining confirmation from a law enforcement agency or court of the offense, the Department shall proceed as if this criminal record information was provided by the California Department of Justice. 
NOTE

Authority cited: Sections 1569.30 and 1569.49(d), Health and Safety Code. Reference: Sections 1569.17 and 1569.49, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting new article 6 (sections 87355-87356) and renumbering former section 87219 to new section 87355, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87356. Criminal Record Exemption.
Note     •     History

(a) The Department shall notify a licensee to act immediately to terminate the employment of, remove from the facility or bar from entering the facility any person described in Sections 87356(a)(1) through (5) below while the Department considers granting or denying an exemption. Upon notification, the licensee shall comply with the notice. 
(1) Any person who has been convicted of, or is awaiting trial for, a sex offense against a minor; 
(2) Any person who has been convicted of a felony; 
(3) Any person who has been convicted of an offense specified in Sections 243.4, 273a, 273d, 273g, or 368 of the Penal Code or any other crime specified in Health and Safety Code Section 1569.17(c)(3); 
(4) Any person who has been convicted of any crime specified below: 
(A) Battery 
(B) Shooting at Inhabited Dwelling 
(C) Corporal Injury on Spouse/Cohabitant 
(D) Discharging Firearm with Gross Negligence 
(E) Exhibiting Weapon/Firearm 
(F) Threat to Commit a Crime Resulting in Gross Bodily Injury or Death 
(G) Criminal Threat to Harm or Injure Another Person 
(H) Cruelty to Animals 
(I) Willful Harm or Injury to Child; or 
(5) Any other person ordered to be removed by the Department. 
(b) In addition to the requirements of Section 87356(a), the licensee must return the confirmation of removal form that is sent by the Department, within five (5) days of the date of the form, that confirms under penalty of perjury that the individual has been removed from the facility. 
(1) Confirmation must be made on either a Removal Confirmation -- Exemption Needed, LIC 300A (Rev. 9/03), Removal Confirmation -- Denial, LIC 300B (Rev. 9/03), Removal Confirmation -- Rescinded, LIC 300C (Rev. 9/03), or Removal Confirmation -- Nonexemptible, LIC 300D (Rev. 9/03). 
(c) After a review of the criminal record transcript, the Department may grant an exemption if: 
(1) The applicant/licensee requests an exemption in writing for himself or herself, or
(2) The applicant/licensee requests an exemption in writing for an individual associated with the facility, or
(3) The applicant/licensee chooses not to seek an exemption on the affected individual's behalf, the affected individual requests an individual exemption in writing, and
(4) The affected individual presents substantial and convincing evidence satisfactory to the Department that he/she has been rehabilitated and presently is of such good character as to justify being issued or maintaining a license, employment or residence in a licensed facility.
(d) To request a criminal record exemption, a licensee or license applicant must submit information that indicates that the individual meets the requirements of Section 87356(c)(4). The Department will notify the licensee or license applicant and the affected individual, in concurrent, separate notices, that the affected individual has a criminal conviction and needs to obtain a criminal record exemption.
(1) The notice to the affected individual shall include a list of the conviction(s) that the Department is aware of at the time the notice is sent that must be addressed in an exemption request.
(2) The notice will list the information that must be submitted to request a criminal record exemption. 
(3) The information must be submitted within forty-five (45) days of the date of the Department's notice. 
(A) Individuals who submit a criminal record exemption request shall cooperate with the Department by providing any information requested by the Department, including, but not limited to, police reports and certified court documents to process the exemption request, pursuant to Section 87356(e). 
(B) If the individual for whom the criminal record exemption is requested is an employee or resident other than a spouse or dependent family member and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may cease processing the exemption request and close the case. 
(C) If the individual for whom the criminal record exemption is requested is an applicant, licensee, spouse or dependent family member, and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may deny the exemption request.
(D) Individuals may request a criminal record exemption on their own behalf if the licensee or license applicant:
1. Chooses not to request the exemption and
2. Chooses not to employ or terminates the individual's employment after receiving notice of the individual's criminal history, or
3. Removes the individual who resides in the facility after receiving notice of the individual's criminal history.
(e) The Department shall consider factors including, but not limited to, the following as evidence of good character and rehabilitation:
(1) The nature of the crime including, but not limited to, whether it involved violence or a threat of violence to others. 
(2) Period of time since the crime was committed and number of offenses.
(3) Circumstances surrounding the commission of the crime that would demonstrate the unlikelihood of repetition.
(4) Activities since conviction, such as employment or participation in therapy or education, that would indicate changed behavior.
(5) Granting by the Governor of a full and unconditional pardon.
(6) Character references.
(A) All character references shall be on a Reference Request form (LIC 301E -- Exemptions [Rev. 7/03]).
(7) A certificate of rehabilitation from a superior court.
(8) Evidence of honesty and truthfulness as revealed in exemption application documents.
(A) Documents include, but are not limited to:
1. A Criminal Record Statement (LIC 508, Criminal Record Statement [Rev. 1/03]) and
2. The individual's written statement/explanation of the conviction and the circumstances about the arrest.
(9) Evidence of honesty and truthfulness as revealed in exemption application interviews and conversations with the Department.
(f) The Department shall also consider the following factors in evaluating a request for an exemption: 
(1) Facility and type of association. 
(2) The individual's age at the time the crime was committed. 
(g) The Department may deny an exemption request if:
(1) The licensee and/or the affected individual fails to provide documents requested by the Department, or
(2) The licensee and/or the affected individual fails to cooperate with the Department in the exemption process.
(h) The reasons for any exemption granted or denied shall be in writing and kept by the Department.
(1) Exemption denial notices shall specify the reason the exemption was denied.
(i) The Department has the authority to grant a criminal record exemption that places conditions on the individual's continued licensure, and employment or presence in a licensed facility.
(j) It shall be conclusive evidence that the individual is not of such good character as to justify issuance of an exemption if the individual: 
(1) Makes a knowingly false or misleading statement regarding: 
(A) Material relevant to their application for a criminal record clearance or exemption, 
(B) His or her criminal record clearance or exemption status to obtain employment or permission to be present in a licensed facility, after the Department has ordered that they be excluded from any or all licensed facilities, or 
(C) His or her criminal record clearance or exemption status in order to obtain a position with duties that are prohibited to him/her by a conditional exemption; or 
(2) Is on probation or parole. 
(A) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the Department may, in its discretion, grant a criminal record exemption notwithstanding Section 87356(j)(2). 
(k) The Department shall consider granting a criminal record exemption if the individual's criminal history meets all of the applicable criteria specified in Sections 87356(k)(1) through (6) and the individual provides the Department with substantial and convincing evidence of good character as specified in Section 87356(c)(4). For purposes of this section, a violent crime is a crime that, upon evaluation of the code section violated and/or the reports regarding the underlying offense, presents a risk of harm or violence. 
(1) The individual has been convicted of one nonviolent misdemeanor, and one year has lapsed since completing the most recent period of incarceration or probation. 
(2) The individual has been convicted of two or more nonviolent misdemeanors and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(3) The individual has been convicted of one or more violent misdemeanors and 15 consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(4) The individual has been convicted of one nonviolent felony and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(5) The individual has been convicted of two or more nonviolent felonies and ten consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(6) The individual has not been convicted a violent felony. 
(7) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the period of lapsed time required in Sections 87356(k)(1) through (5) above shall begin from the last date of conviction(s). 
(l) It shall be a rebuttable presumption that an individual is not of such good character as to justify the issuance of an exemption if the individual fails to meet the requirements specified in Sections 87356(k)(1) through (6). 
(m) The Department shall not grant an exemption if the individual has a conviction for any offense specified in Section 1569.17(f)(1) of the Health and Safety Code.
(n) The Department shall consider granting a simplified criminal record exemption if the individual has the criminal history profile outlined in Sections 87356(n)(1) through (4) below : 
(1) The individual does not have a demonstrated pattern of criminal activity; 
(2) The individual has no more than one conviction; 
(3) The conviction is a misdemeanor and is a crime that is nonviolent and does not pose a risk of harm to an individual; and 
(4) It has been at least five consecutive years since the completion of the most recent period of incarceration or supervised probation. 
(o) At the Department's discretion, an individual who is otherwise eligible for a simplified exemption may be required to go through the standard exemption process if the Department determines such action will help to protect the health and safety of clients. 
(p) If the Department denies or cannot grant a criminal record exemption the Department shall:
(1) For initial applicants, deny the application.
(2) For current licensees, the Department may institute an administrative action, including but not limited to, revocation of the license.
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1569.58, deny the application or revoke the license if the individual continues to provide services and/or reside at the facility.
(4) For individuals residing in the facility or the licensee, exclude the affected individual pursuant to Health and Safety Code Section 1569.58, deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility.
(q) If a request for an exemption has been denied, the individual shall be excluded for a period of two years unless the individual has been convicted of a crime for which no exemption may be granted pursuant to Section 87356(m). If a request for an exemption has been denied based on a conviction of a crime for which no exemption may be granted, the individual shall be excluded for the remainder of the individual's life. 
(1) If the Department determines during the review of an exemption request, that the individual was denied an exemption for a conviction of a crime for which an exemption may be granted within the preceding two years, the Department shall cease any further review of the request until two years have elapsed from the date of the denial. In cases where the individual requested a hearing on an exemption denial, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department upholding the denial. In cases where the individual submitted a petition for reinstatement or reduction in penalty pursuant to Government Code Section 11522 that was denied, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department denying the petition. 
(2) An exclusion order based solely upon a denied exemption shall remain in effect and the individual shall not be employed in or present in a licensed facility or certified home, unless either a petition or an exemption is granted. 
(3) If an individual who has previously been denied an exemption re-applies after the relevant time period described in Section 87356(q)(1) above, the Department may, in accordance with the provisions in Section 87356 et seq., grant or deny the subsequent request for an exemption. 
(4) If an individual submits a petition pursuant to Government Code section 11522 for reinstatement or reduction of penalty for an exclusion, an individual must submit his/her fingerprints through an electronic fingerprinting system approved by the Department and submit to the Department a statement of the reason why the individual should be permitted to work or be present in a facility, along with all information required of an individual requesting a criminal record exemption as provided in Section 87356. If it is determined, based upon information provided by the Department of Justice, that the individual has been convicted of a crime for which no exemption may be granted, the petition shall be denied. An individual's failure to submit fingerprints or other information as requested by the Department, shall be grounds for denial of the petition. The burden shall be on the petitioner to prove sufficient rehabilitation and good character to justify the granting of the petition. 
(r) A licensee or applicant for a license may request a transfer of a criminal record exemption from one state licensed facility to another by providing the following documents to the Department: 
(1) A signed Criminal Record Exemption Transfer Request, LIC 9188 (Rev. 9/03). 
(2) A copy of the individual's: 
(A) Driver's license, or 
(B) Valid identification card issued by the Department of Motor Vehicles, or 
(C) Valid photo identification issued by another state of the United States Government if the individual is not a California resident. 
(3) Any other documentation required by the Department (e.g., LIC 508, Criminal Record Statement [Rev. 1/03] and job description). 
(s) The Department may consider factors including, but not limited to, the following in determining whether or not to approve the transfer of an exemption from one facility to another: 
(1) The basis on which the Department granted the exemption; 
(2) The nature and frequency of client contact in the new position; 
(3) The category of facility where the individual wishes to transfer; 
(4) The type of clients in the facility where the individual wishes to transfer; 
(5) Whether the exemption was appropriately evaluated and granted in accordance with existing exemption laws or regulations; or 
(6) Whether the exemption meets current exemption laws or regulations. 
(t) If the Department denies the individual's request to transfer a criminal record exemption, the Department shall provide the individual and the licensee with written notification that states the Department's decision and informs the affected individual of their right to an administrative hearing to contest the Department's decision. 
(u) At the Department's discretion, an exemption may be rescinded if it is determined that: 
(1) The exemption was granted in error, or 
(2) The exemption does not meet current exemption laws or regulations, or 
(3) The conviction for which an exemption was granted subsequently becomes non-exemptible by law. 
(v) The Department may rescind an individual's criminal record exemption if the Department obtains evidence showing that the individual engaged in conduct which is inconsistent with the good character requirement of a criminal record exemption, as evidenced by factors including, but not limited to, the following: 
(1) Violations of licensing laws or regulations; 
(2) Any conduct by the individual that indicates that the individual may pose a risk to the health and safety of any individual who is or may be a client; 
(3) Nondisclosure of a conviction or evidence of lack of rehabilitation that the individual failed to disclose to the Department, even if it occurred before the exemption was issued; or 
(4) The individual is convicted of a subsequent crime. 
(w) If the Department rescinds an exemption the Department shall: 
(1) Notify the licensee and the affected individual in writing; and 
(2) Initiate an administrative action. 
(x) If the Department learns that an individual with a criminal record clearance or exemption has been convicted of a subsequent crime, the Department, at its sole discretion, may immediately initiate an administrative action to protect the health and safety of clients. 
NOTE

Authority Cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.17, Health and Safety Code; and Gresher v. Anderson (2005) 127 Cal. App. 4th 88.
HISTORY

1. Change without regulatory effect renumbering former section 87219.1 to new section 87356, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87400. Exemption from Licensure. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1505 and 11834.11, Health and Safety Code.
HISTORY

1. Renumbering of former subsections (a)(6)-(a)(8) to subsections (a)(7)-(a)(9) and new subsection (a)(6) filed 2-21-86; effective thirtieth day thereafter (Register 86, No. 8).
2. Change without regulatory effect renumbering Section 87400 to Section 87107 filed 11-17-88 (Register 88, No. 49). For prior history, see Registers 88, No. 34. and 86, No. 8.
3. Change without regulatory effect removing article 5 heading filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10). For prior history of sections 87402-87424, see Register 88, No. 34 and Register 88, No. 49.
Article 7. Personnel
§87405. Administrator--Qualifications and Duties.
Note     •     History

(a) All facilities shall have a certified administrator. The licensee and the administrator may be one and the same person. The administrator shall have sufficient freedom from other responsibilities and shall be on the premises a sufficient number of hours to permit adequate attention to the management and administration of the facility as specified in this section. When the administrator is not in the facility, there shall be coverage by a designated substitute who shall have qualifications adequate to be responsible and accountable for management and administration of the facility as specified in this section. The Department may require that the administrator devote additional hours in the facility to his/her responsibilities when the need for such additional hours is substantiated by written documentation.
(b) The administrator of a facility or facilities shall have the responsibility and authority to carry out the policies of the licensee.
(c) Failure to comply with all licensing requirements pertaining to certified administrators may constitute cause for revocation of the license of the facility.
(d) The administrator shall have the qualifications specified in Sections 87405(d)(1) through (7). If the licensee is also the administrator, all requirements for an administrator shall apply.
(1) Knowledge of the requirements for providing care and supervision appropriate to the residents.
(2) Knowledge of and ability to conform to the applicable laws, rules and regulations.
(3) Ability to maintain or supervise the maintenance of financial and other records.
(4) When applicable, the ability to direct the work of others.
(5) Good character and a continuing reputation of personal integrity.
(6) Have a high school diploma or equivalent, such as a General Education Development (GED) certificate. 
(7) Be at least 21 years of age. 
(e) The administrator of a facility licensed for sixteen (16) to forty-nine (49) residents shall have completed, with a passing grade, at least fifteen (15) college or continuing education semester or equivalent quarter units; and shall have at least one year's experience providing residential care to the elderly; or equivalent education and experience as approved by the Department.
(f) The administrator in facilities licensed for fifty (50) or more shall have two years of college; at least three years experience providing residential care to the elderly; or equivalent education and experience as approved by the licensing agency.
(g) All administrators shall be required to complete at least 20 clock hours of continuing education per year in areas related to aging and/or administration.
(h) Administrators employed/licensed prior to July 1, 1982, shall not be required to comply with the college and continuing education requirements in Section 87405(e) or the college requirements in Section 87405(f) provided that they have no break in employment as a Residential Care Facility for the Elderly administrator exceeding three (3) consecutive years. 
(i) The administrator shall have the responsibility to: 
(1) Administer the facility in accordance with these regulations and established policy, program and budget.
(2) Where applicable, report to the licensee on the operation of the facility, and provide the licensee with necessary interpretations of recognized standards of care and supervision.
(3) Develop an administrative plan and procedures to ensure clear definition of lines of responsibility, equitable workloads, and adequate supervision.
(4) Recruit, employ and train qualified staff, and terminate employment of staff who perform in an unsatisfactory manner.
(5) Provide or ensure the provision of services to the residents with appropriate regard for the residents' physical and mental well-being and needs, including those services identified in the residents' pre-admission appraisal, specified in Section 87457, Pre-admission Appraisal.
(6) Make special provisions for the safety and guidance of residents with visual or auditory deficiencies.
(7) Make provision for the resident with unmet needs to attend available community programs, including but not limited to, arranging for transportation.
(8) Have the personal characteristics, physical energy and competence to provide care and supervision and, where applicable, to work effectively with social agencies.
(j) In those cases where the individual is both the licensee and the administrator of a residential care facility for the elderly, the individual shall comply with all of the licensee and certified administrator requirements.
NOTE

Authority cited: Sections 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.17, 1569.31, 1569.312, 1569.315, 1569.613, 1569.616 and 1569.62, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting new article 7 heading and renumbering former section 87564 to new section 87405, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87406. Administrator Certification Requirements.
Note     •     History

(a) All individuals shall be certificate holders prior to being employed as an administrator, or shall have submitted to the Department the documentation required to obtain a certificate pursuant to Section 87406(b). 
(1) Administrators who possess a valid Nursing Home Administrator license, issued by the California Board of Nursing Home Administrators, shall be exempt from completing an approved Initial Certification Training Program and taking a written test, provided the individual completes twelve (12) hours of classroom instruction in the following uniform Core of Knowledge areas: 
(A) Laws, regulations, policies, and procedural standards that impact the operations of residential care facilities for the elderly. 
(B) The use, misuse, and interaction of medication commonly used by the elderly in a residential setting. 
(C) Resident admission, retention, and assessment procedures. 
(2) Individuals who were both the licensee and administrator on or before July 1, 1991, shall complete an Initial Certification Training Program but shall not be required to take the written test. Individuals exempted from the written test shall be issued a conditional certification valid only for the administrator of the facility for which the exemption was granted. 
(A) As a condition to becoming a certified administrator of another facility, a holder of a conditional certificate issued pursuant to Section 87406(a)(2) shall be required to pass the written test. 
(B) As a condition to applying for a new facility license, the holder of a conditional certificate issued pursuant to Section 87406(a)(2) shall be required to pass the written test. 
(3) An applicant for licensure shall be subject to the same application process for Initial Certification of Administrators as set forth in Section 87406(b). 
(b) To receive his/her certificate an applicant shall: 
(1) Unless exempted by Section 87406(a)(1), successfully complete a Department-approved Initial Certification Training Program. 
(2) Unless exempted by Section 87406(a)(1) or (a)(2), pass a written test administered by the Department within sixty (60) days of completion of an Initial Certification Training Program. 
(3) Submit an application to the Department's certification section within thirty (30) days of being notified of having passed the test, or if the applicant is exempt from taking the written test, within 30 days of completing the certification training. The application shall contain the following: 
(A) Proof that the applicant has successfully completed a Department-approved Initial Certification Training Program or, in the case of a Nursing Home Administrator, proof of completion of 12 hours of classroom instruction as specified in Section 87406(a)(1). 
(B) Documentation of passing the written test or qualifying for an exemption pursuant to Section 87406(a)(1) or (a)(2). 
(C) A statement certifying that the applicant is at least twenty-one (21) years of age. 
(D) Fingerprint cards, or evidence that the applicant has submitted fingerprints to the Department of Justice at a livescan facility, or a statement that the applicant has a current criminal record clearance on file with the Department. 
(E) A one hundred dollar ($100) processing fee. 
(F) A copy of the front and back of his/her current nursing home wallet license, or equivalent, if the applicant is a current Nursing Home Administrator. 
(c) The Department shall not issue a certificate until it receives notification from the Department of Justice that the applicant has a criminal record clearance pursuant to Health and Safety Code Section 1569.17 or is able to transfer a current criminal record clearance pursuant to Health and Safety Code Section 1569.17(g)(1). 
(d) It shall be unlawful for any person not certified under this section to hold himself or herself out as a certified administrator. Any person willfully making any false representation as being a certified administrator is guilty of a misdemeanor. 
(e) Certificates issued under this section shall be renewed every two (2) years provided the certificate holder has complied with all renewal requirements. 
(f) Certificates shall be valid for a period of two (2) years and expire on either the anniversary date of initial issuance or on the individual's birthday during the second calendar year following certification. 
(1) The certificate holder shall make an irrevocable election to have his or her recertification date for any subsequent recertification either on the date two (2) years from the date of issuance of the certificate or on the individual's birthday during the second calendar year following certification. 
(g) Time deadlines specified in Sections 87406(b)(2) and (3) may be extended for good cause as determined by the Department. Any request for an extension of time shall be in writing and shall contain a statement of all facts the applicant believes constitute good cause to extend a time deadline.
NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.17, 1569.171, 1569.23, 1569.315, 1569.613 and 1569.616, Health and Safety Code.
HISTORY

1. Amendment filed 12-30-87 as an emergency; operative 1-1-88 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-2-88.
2. Certificate of Compliance transmitted to OAL 4-28-88 and filed 5-31-88 (Register 88, No. 30).
3. Change without regulatory effect renumbering Section 87406 to Section 87220 filed 11-17-88 (Register 88, No. 49).
4. Change without regulatory effect renumbering former section 87564.2 to new section 87406, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87407. Administrator Recertification Requirements.
Note     •     History

(a) Administrators shall complete at least forty (40) classroom hours of continuing education during each two (2)-year certification period. 
(1) Administrators who renew their administrator certification on or after January 1, 2003, shall submit proof of having completed at least eight (8) hours of the 40-hour continuing education requirement in subjects related to serving residents with Alzheimer's Disease and other dementias, including, but not limited to, instruction related to direct care, physical environment, and admissions procedures and assessment.
(A) This instruction may be taken as a single eight (8)-hour class or in smaller increments that total at least eight (8) hours within each two (2)-year renewal period.
(b) Continuing education hours must be related to the Core of Knowledge and be completed through any combination of the following: 
(1) Courses provided by vendors approved by the Department, or 
(2) Accredited educational institutions offering courses that are consistent with the requirements of this section, or
(3) Courses offered by vendors approved by other California State agencies provided that: 
(A) The approval and enforcement procedures of the state agency are comparable to the approval and enforcement procedures of the Department, and 
(B) The course relates to the Core of Knowledge as specified in Sections 87785(h)(1)(A) through (I).
(c) Courses approved for continuing education credit shall require the physical presence of the certificate holder in a classroom setting, except that: 
(1) The Department may approve courses where technology permits the simultaneous and interactive participation of the certificate holder, provided such participation is verifiable. 
(d) To apply for recertification prior to the expiration date of the certificate, the certificate holder shall submit: 
(1) A written request to recertify post-marked on or before the certificate expiration date. 
(2) Evidence of completion of forty (40) continuing education hours as specified in Section 87407(a). 
(3) Payment of a one hundred dollar ($100) processing fee. 
(e) To apply for recertification after the expiration date of the certificate, but within four (4) years of the certificate expiration date, the certificate holder shall submit: 
(1) A written request to recertify. 
(2) Evidence of completion of the required continuing education hours as specified in Section 87407(a). The total number of hours required for recertification shall be determined by computing the number of continuing education hours the certificate holder would have been required to complete if they had remained certified. The date of computation shall be the date the written request for recertification is received by the Department. 
(3) Payment of a delinquency fee equal to three times the renewal fee, or three hundred dollars ($300). 
(f) Certificates not renewed within four (4) years of their expiration date shall not be renewed, restored, reissued or reinstated. 
(1) Holders of certificates not renewed within four (4) years of their expiration date shall complete an Initial Certification Training Program as specified in Section 87406(b). 
(g) Certificate holders who possess a valid Nursing Home Administrator license shall be required to complete only twenty (20) of the required forty (40) hours of continuing education. 
(h) Certificate holders, as a condition of recertification, shall have a current criminal record clearance. 
(i) A processing fee of twenty-five dollars ($25) shall be paid for the replacement of a lost certificate. 
(j) A certificate holder shall report any change of mailing address within thirty (30) days of the change to the Department's administrator certification section. 
(k) Whenever a certified administrator assumes or relinquishes responsibility for administering a residential care facility for the elderly, he or she shall provide written notice, within thirty (30) days, to: 
(1) The licensing District Office responsible for receiving information regarding personnel changes at the licensed facility with whom the certificate holder is or was associated, and 
(2) The Department's administrator certification section.
NOTE

Authority cited: Sections 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.17, 1569.171, 1569.23, 1569.315, 1569.613 and 1569.616, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87564.3 to new section 87407, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87408. Administrator Certificate Denial or Revocation.
Note     •     History

(a) The Department may deny or revoke any administrator certificate for violation of licensing regulations or for any of the following grounds: 
(1) The certificate holder procured a certificate by fraud or misrepresentation. 
(2) The certificate holder knowingly made or gave a false statement or information in conjunction with the application for a certificate. 
(3) The Department has issued an exclusion order against the certificate holder pursuant to Health and Safety Code Sections 1558, 1568.092, 1569.58 or 1596.8897 after the Department issued the certificate, and; 
(A) The certificate holder did not appeal the exclusion order, or 
(B) After the appeal, the Department issued a decision and order that upheld the exclusion order. 
(4) The certificate holder does not have a current criminal record clearance. 
(5) The certificate holder fails to comply with certificate renewal requirements. 
(A) The Department may reinstate a certificate that has been revoked for failure to comply with certificate renewal requirements provided all conditions for recertification have been satisfied, including payment of all appropriate renewal and delinquency fees. 
(6) The certificate holder engaged in conduct which is inimical to the health, morals, welfare, or safety of either an individual in or receiving services from the facility or the people of the State of California. 
(b) Any denial or revocation of an administrator certificate may be appealed as provided by Health and Safety Code Section 1569.51. 
(c) Unless otherwise ordered by the Department, any application for an administrator certificate submitted after a denial or revocation action shall be processed in accordance with the provisions of Health and Safety Code Section 1569.16.
NOTE

Authority cited: Sections 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.16, 1569.51, 1569.613 and 1569.616, Health and Safety Code.
HISTORY

1. Amendment filed 12-22-87; operative 1-21-88 (Register 88, No. 2).
2. Change without regulatory effect renumbering Section 87408 to Section 87230 filed 11-17-88 (Register 88, No. 49).
3. Change without regulatory effect renumbering former section 87564.4 to new section 87408, including amendment of section heading, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10). For prior history of section 87408, see Register 88, No. 49. 
§87409. Administrator Certificate Forfeiture.
Note     •     History

(a) Unless otherwise ordered by the Department, the certificate shall be considered forfeited under any of the following conditions: 
(1) The Department has revoked any license held by the certificate holder after the Department issued the certificate. 
(2) The Department has issued an exclusion order against the certificate holder pursuant to Health and Safety Code sections 1558, 1568.092, 1569.58 after the Department issued the certificate, and; 
(A) The certificate holder did not appeal the exclusion order or, 
(B) After the appeal, the Department issued a decision and order that upheld the exclusion order. 
(b) Unless otherwise ordered by the Department, any application for an administrator certificate submitted after a certificate has been forfeited shall be processed in accordance with the provisions of Health and Safety Code Sections 1569.16 and/or 1569.58(h).
NOTE

Authority cited: Sections 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1558, 1568.092, 1569.16, 1569.50, 1569.58, 1569.616 and 1569.8897, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87564.5 to new section 87409, including amendment of section heading, section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87411. Personnel Requirements--General.
Note     •     History

(a) Facility personnel shall at all times be sufficient in numbers, and competent to provide the services necessary to meet resident needs. In facilities licensed for sixteen or more, sufficient support staff shall be employed to ensure provision of personal assistance and care as required in Section 87608, Postural Supports. Additional staff shall be employed as necessary to perform office work, cooking, house cleaning, laundering, and maintenance of buildings, equipment and grounds. The licensing agency may require any facility to provide additional staff whenever it determines through documentation that the needs of the particular residents, the extent of services provided, or the physical arrangements of the facility require such additional staff for the provision of adequate services.
(b) All persons who supervise employees or who supervise or care for residents shall be at least eighteen (18) years of age.
(c) All RCFE staff who assist residents with personal activities of daily living shall receive at least ten hours of initial training within the first four weeks of employment and at least four hours annually thereafter.
(1) Staff providing care shall receive appropriate training in first aid from persons qualified by such agencies as the American Red Cross.
(2) This training shall be administered on the job, in a classroom setting, or any combination of the two.
(3) The training shall include, but not be limited to, the following:
(A) The aging process and physical limitations and special needs of the elderly. At least two (2) of the required ten (10) hours shall cover this subject.
(B) Importance and techniques of personal care services, including but not limited to, bathing, grooming, dressing, feeding, toileting, and universal precautions. At least three (3) of the required ten (10) hours shall cover this subject.
(C) Residents' rights, as specified in Section 87468, Personal Rights.
(D) Policies and procedures regarding medications, including the knowledge in Section 87411(d)(4). At least two (2) of the required ten (10) hours shall cover this subject. Any on-the-job training provided for the requirements in Section 87411(d)(4) may also count towards the requirement in this subsection.
(E) Psychosocial needs of the elderly, such as recreation, companionship, independence, etc.
(F) Recognizing signs and symptoms of dementia in individuals.
(4) All training shall be conducted by a person who is knowledgeable in a subject that is relevant to the subject area in which training is to be provided, and who satisfies at least one of the following criteria related to education and experience:
(A) Both a four-year college degree, graduate degree or professional degree, and two (2) years of experience in an area relevant to caring for the needs of the elderly, or
(B) License to work as a health care provider in California, or
(C) At least two years of experience in California as an administrator of an RCFE, within the last eight years, and with a record of administering facilities in substantial compliance, as defined in Section 87101(s).
(5) Training may include use of books, video instruction tapes, interactive CD-ROMs and similar materials, upon the approval of that material by a trainer who satisfies the criteria of Section 87411(c)(3).
(6) The licensee shall maintain documentation pertaining to staff training in the personnel records, as specified in Section 87412(c)(2). For on-the-job training, documentation shall consist of a statement or notation, made by the trainer, of the content covered in the training. Each item of documentation shall include a notation that indicates which of the criteria of Section 87411(c)(3) is met by the trainer.
(d) All personnel shall be given on the job training or have related experience in the job assigned to them. This training and/or related experience shall provide knowledge of and skill in the following, as appropriate for the job assigned and as evidenced by safe and effective job performance:
(1) Principles of good nutrition, good food preparation and storage, and menu planning.
(2) Housekeeping and sanitation principles.
(3) Skill and knowledge required to provide necessary resident care and supervision, including the ability to communicate with residents.
(4) Knowledge required to safely assist with prescribed medications which are self-administered.
(5) Knowledge necessary in order to recognize early signs of illness and the need for professional help.
(6) Knowledge of community services and resources.
(e) In facilities licensed for sixteen (16) or more, the requirements of Section 87411(d) shall be met with planned on the job training program that utilizes orientation, skill training and continuing education.
(f) All personnel, including the licensee and administrator, shall be in good health, and physically and mentally capable of performing assigned tasks. Good physical health shall be verified by a health screening, including a chest x-ray or an intradermal test, performed by a physician not more than six (6) months prior to or seven (7) days after employment or licensure. A report shall be made of each screening, signed by the examining physician. The report shall indicate whether the person is physically qualified to perform the duties to be assigned, and whether he/she has any health condition that would create a hazard to him/herself, other staff members or residents. A signed statement shall be obtained from each volunteer affirming that he/she is in good health. Personnel with evidence of physical illness or emotional instability that poses a significant threat to the well-being of residents shall be relieved of their duties.
(g) Prior to employment or initial presence in the facility, all employees and volunteers subject to a criminal record review shall:
(1) Obtain a California clearance or a criminal record exemption as required by law or Department regulations or 
(2) Request a transfer of a criminal record clearance as specified in Section 87355(c) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 87356(r), unless, upon request for a transfer, the Department permits the individual to be employed, reside or be present at the facility. 
(h) All services requiring specialized skills shall be performed by personnel qualified by training or experience in accordance with recognized professional standards.
(i) Residents shall not be used as substitutes for required staff but may, as a voluntary part of their program of activities, participate in household duties and other tasks suited to the resident's needs and abilities.
(j) Volunteers may be utilized but may not be included in the facility staffing plan. Volunteers shall be supervised.
NOTE

Authority cited: Sections 1569.30 and 1569.625, Health and Safety Code. Reference: Sections 1569.17, 1569.31, 1569.312 and 1569.625, Health and Safety Code; and Section 42001, Vehicle Code.
HISTORY

1. Change without regulatory effect renumbering former section 87565 to new section 87411, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87412. Personnel Records.
Note     •     History

(a) The licensee shall ensure that personnel records are maintained on the licensee, administrator and each employee. Each personnel record shall contain the following information:
(1) Employee's full name.
(2) Social Security number.
(3) Date of employment.
(4) Written verification that the employee is at least 18 years of age, including, but not necessarily limited to, a copy of his/her birth certificate or driver's license.
(5) Home address and telephone number.
(6) Educational background.
(A) For administrators this shall include verification that he/she meets the educational requirements in 87405(b) and (c).
(7) Past experience, including types of employment and former employers.
(8) Type of position for which employed.
(9) Termination date if no longer employed by the facility.
(10) Reasons for leaving.
(11) A health screening as specified in Section 87411, Personnel Requirements -- General.
(12) Hazardous health conditions documents as specified in Section 87411, Personnel Requirements -- General.
(13) For employees that are required to be fingerprinted pursuant to Section 80355, Criminal Record Clearance:
(A) A signed statement regarding their criminal record history as required by Section 87355(d). 
(B) Documentation of either a criminal record clearance or a criminal record exemption as required by Section 87355(e). 
1. For Certified Administrators, a copy their current and valid Administrative Certification meets this requirement.
(b) Personnel records shall be maintained for all volunteers and shall contain the following: 
(1) A health statement as specified in Section 87411(e). 
(2) Health screening documents as specified in Section 87411(e). 
(3) For volunteers that are required to be fingerprinted pursuant to Section 87355, Criminal Record Clearance: 
(A) A signed statement regarding their criminal record history as required by Section 87355(d). 
(B) Documentation of either a criminal record clearance or a criminal record exemption as required by Section 87355(e). 
(c) Licensees shall maintain in the personnel records verification of required staff training and orientation. 
(1) The following staff training and orientation shall be documented: 
(A) For staff who assist with personal activities of daily living, there shall be documentation of at least ten hours of initial training within the first four weeks of employment, and at least four hours of training annually thereafter in one or more of the content areas as specified in Section 87411(c)(2).
(B) For staff who provide direct care to residents with dementia in a facility in which the licensee advertises dementia special care, programming, and/or environments, the licensee shall document the following: 
1. The orientation received as specified in Section 87707(a)(1). 
2. The in-service training received as specified in Section 87707(a)(2). 
(2) Documentation of staff training shall include: 
(A) Trainer's full name; 
(B) Subject(s) covered in the training; 
(C) Date(s) of attendance; and 
(D) Number of training hours per subject. 
1. If the training is provided by a trainer in a classroom setting, documentation shall consist of notices of course completion signed by the trainer. 
2. If the educational hours/units are obtained through an accredited educational institution, documentation shall include a copy of a transcript or official grade slip showing a passing mark. 
3. If the educational hours/units are obtained through continuing education, documentation shall include a transcript or official grade slip showing a passing mark, if applicable, or a Certificate of Completion. 
(d) The licensee shall maintain documentation that an administrator has met the certification requirements specified in Section 87406, Administrator Certification Requirements or the recertification requirements in Section 87407, Administrator Recertification Requirements. 
(e) In all cases, personnel records shall demonstrate adequate staff coverage necessary for facility operation by documenting the hours actually worked.
(f) All personnel records shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove any current emergency or health-related information for current personnel unless the same information is otherwise readily available in another document or format. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
(g) All personnel records shall be maintained at the facility. 
(1) The licensee shall be permitted to retain such records in a central administrative location provided that they are readily available to the licensing agency at the facility as specified in Section 87412(f). 
(h) All personnel records shall be retained for at least three (3) years following termination of employment.
NOTE

Authority cited: Sections 1569.30 and 1569.616, Health and Safety Code. Reference: Sections 1569.17(c), 1569.31, 1569.312, 1569.613, 1569.616, 1569.625 and 1569.626, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87412 to Section 87231 filed 11-17-88 (Register 88, No. 49).
2. Change without regulatory effect renumbering former section 87566 to new section 87412, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87413. Personnel--Operations.
Note     •     History

(a) In each facility:
(1) When regular staff members are absent, there shall be coverage by personnel with qualifications adequate to perform the assigned tasks.
(2) Care and supervision of residents shall be provided without physical or verbal abuse, exploitation or prejudice.
(3) The licensee shall provide for and encourage all personnel to report observations or evidence of such abuse, exploitation or prejudice.
(b) If the facility is licensed for sixteen (16) persons or more, there shall be a dated weekly employee time schedule displayed conveniently for employee reference. The schedule shall contain employee's name, job title, hours of work, and days off.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code; and Sections 15600-15637, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering former section 87580 to new section 87413, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87415. Night Supervision.
Note     •     History

(a) The following persons providing night supervision from 10:00 p.m. to 6:00 a.m. shall be familiar with the facility's planned emergency procedures, shall be trained in first aid as required in Section 87465, Incidental Medical and Dental Care Services, and shall be available as indicated below to assist in caring for residents in the event of an emergency:
(1) In facilities caring for less than sixteen (16) residents, there shall be a qualified person on call on the premises.
(2) In facilities caring for sixteen (16) to one hundred (100) residents at least one employee shall be on duty on the premises, and awake. Another employee shall be on call, and capable of responding within ten minutes.
(3) In facilities caring for one hundred one (101) to two hundred (200) residents, one employee shall be on call, on the premises; one employee shall be on duty on the premises and awake; and one employee shall be on call and capable of responding within 10 minutes.
(4) Every additional 100 residents, or fraction thereof, shall require an additional one (1) staff person on duty, on the premises and awake.
(5) In facilities required to have a signal system, specified in Section 87303, Maintenance and Operation, at least one night staff person shall be located to enable immediate response to the signal system. If the signal system is visual only, that person shall be awake.
(6) The requirements of this section shall not prohibit compliance with additional supervisory requirements required by the State Fire Marshal.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87581 to new section 87415, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87451. Serious Deficiencies--Examples. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31, 1569.312, 1569.315, 1569.335, 1569.485, 1569.49 and 1569.54, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87300 to Section 87451 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. New subsection (a)(17) and amendment of Note filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
3. Amendment of subsections (a)(5), (a)(10), (a)(14) and (a)(15), and amendment of Note filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
4. Amendment of subsection (a)(5) filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
5. Change without regulatory effect renumbering former section 87451 to new section 87758 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 8. Resident Assessments, Fundamental Services and Rights
§87452. Deficiencies in Compliance. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.49, Health and Safety Code. Reference: Sections 1569.30, 1569.31, 1569.312, 1569.315, 1569.335, 1569.485 and 1569.49, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87302 to section 87452 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Amendment of subsections (c) and (d) filed 12-21-90; operative 1-20-91 (Register 91, No. 7).
3. Change without regulatory effect adopting new article 8 heading and renumbering former section 87452 to new section 87756, subsections (c)-(e) filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87453. Follow-up Visits to Determine Compliance. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.49, Health and Safety Code. Reference: Sections 1569.33, 1569.335, 1569.35, 1569.485 and 1569.49, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87304 to section 87453 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Amendment of subsection (d) filed 12-21-90; operative 1-20-91 (Register 91, No. 7).
3. Change without regulatory effect renumbering former section 87453 to new section 87759 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87454. Penalties. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.49(a), Health and Safety Code. Reference: Sections 1569.17, 1569.33, 1569.335, 1569.35, 1569.485 and 1569.49, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87306 to section 87454 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Amendment of subsection (a) and repealer of subsection (c) filed 12-21-90; operative 1-20-91 (Register 91, No. 7).
3. Editorial correction of printing error (Register 91, No. 17).
4. Amendment of section and Note filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
5. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsections (b) and (b)(1) and repealer of subsection (b)(1)(A), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
9. Amendment of subsection (b), new subsection (b)(1), subsection renumbering, amendment of newly designated subsection (b)(2) and amendment of Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
10. Change without regulatory effect renumbering former section 87454 to new section 87761 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87455. Acceptance and Retention Limitations.
Note     •     History

(a) Acceptance or retention of residents by a facility shall be in accordance with the criteria specified in this article 8 and Section 87605, Health and Safety Protection, and the following.
(b) The following persons may be accepted or retained in the facility:
(1) Persons capable of administering their own medications.
(2) Persons receiving medical care and treatment outside the facility or who are receiving needed medical care from a visiting nurse.
(3) Persons who because of forgetfulness or physical limitations need only be reminded or to be assisted to take medication usually prescribed for self-administration.
(4) Persons with problems including, but not limited to, forgetfulness, wandering, confusion, irritability, and inability to manage money.
(5) Persons with mild temporary emotional disturbance resulting from personal loss or change in living arrangement.
(6) Persons who are bedridden provided the requirements of Section 87606 are met.
(7) Persons who are under 60 years of age whose needs are compatible with other residents in care, if they require the same amount of care and supervision as do the other residents in the facility.
(c) No resident shall be accepted or retained if any of the following apply:
(1) The resident has active communicable tuberculosis.
(2) The resident requires 24-hour, skilled nursing or intermediate care as specified in Health and Safety Code Sections 1569.72(a) and (a)(1).
(3) The resident's primary need for care and supervision results from either:
(A) An ongoing behavior, caused by a mental disorder, that would upset the general resident group; or 
(B) Dementia, unless the requirements of Section 87705, Care of Persons with Dementia, are met. 
(d) A resident suspected of having a contagious or infectious disease shall be isolated, and a physician contacted to determine suitability of the resident's retention in the facility.
NOTE

Authority cited: Sections 1569.30 and 1569.698, Health and Safety Code. Reference: Sections 1250, 1569.1, 1569.2, 1569.31, 1569.312, 1569.54, 1569.699 and 1569.72, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87308 to Section 87455 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. New subsection (a)(1) and amendment of section heading, subsection (a) and Note filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
3. Change without regulatory effect renumbering former section 87455 to new section 87763 and renumbering former section 87582 to section 87455, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
4. New subsection (b)(6), subsection renumbering, amendment of subsection (c)(2), repealer of subsections (c)(4)-(g) and subsection relettering filed 7-9-2010; operative 8-8-2010 (Register 2010, No. 28).
§87455.1. Denial or Revocation of License for Failure to Pay Civil Penalties. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.49, Health and Safety Code. Reference: Sections 1569.17, 1569.33, 1569.335, 1569.35, 1569.485, 1569.49 and 1569.51, Health and Safety Code.
HISTORY

1. New section filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
2. Change without regulatory effect renumbering former section 87455.1 to new section 87766 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87456. Evaluation of Suitability for Admission.
Note     •     History

(a) Prior to accepting a resident for care and in order to evaluate his/her suitability, the facility shall, as specified in this article 8:
(1) Conduct an interview with the applicant and his responsible person.
(2) Perform a pre-admission appraisal.
(3) Obtain and evaluate a recent medical assessment.
(4) Execute the admissions agreement.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87567 to new section 87456, including amendment of section heading, section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87457. Pre-Admission Appraisal.
Note     •     History

(a) Prior to admission, the prospective resident and his/her responsible person, if any, shall be interviewed by the licensee or the employee responsible for facility admissions.
(1) Sufficient information about the facility and its services shall be provided to enable all persons involved in the placement to make an informed decision regarding admission.
(2) The prospective resident's desires regarding admission, and his/her background, including any specific service needs, medical background and functional limitations shall be discussed.
(b) No person shall be admitted without his/her consent and agreement, or that of his/her responsible person, if any.
(c) Prior to admission a determination of the prospective resident's suitability for admission shall be completed and shall include an appraisal of his/her individual service needs in comparison with the admission criteria specified in Section 87455, Acceptance and Retention Limitations.
(1) The appraisal shall include, at a minimum, an evaluation of the prospective resident's functional capabilities, mental condition and an evaluation of social factors as specified in Sections 87459, Functional Capabilities and 87462, Social Factors.
(A) The licensee shall be permitted to use the form LIC 603 (Rev. 6/87), Preplacement Appraisal Information, to document the appraisal.
(2) Except as provided in Section 87638(g)(3), if an  initial appraisal or any reappraisal identifies an individual resident service need which is not being met by the general program of facility services, advice shall then be obtained from a physician, social worker, or other appropriate consultant to determine if the needs can be met by the facility. If so, the licensee and the consultant shall develop a plan of action which shall include:
(A) Objectives, within a time frame, which relate to the resident's problems and/or unmet needs.
(B) Plans for meeting the objectives.
(C) Identification of any individuals or agencies responsible for implementing each part of the plan.
(D) Method of evaluating progress.
(3) The prospective resident, or his/her responsible person, if any, shall be involved in the development of the appraisal.
(4) If a needs assessment has already been completed by a placement agency or consultant, this shall be obtained and included in the facilities appraisal.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87310 to section 87457 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect of subsection(b)(1)(A) pursuant to Section 100, Title 1, California Code of Regulations filed 10-31-89 (Register 89, No. 49).
3. Amendment of section filed 7-10-91; operative 8-9-91 (Register 91, No. 43).
4. Change without regulatory effect renumbering former section 87457 to new section 87768 and renumbering former section 87583 to section 87457, including amendment of section heading, section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87458. Medical Assessment.
Note     •     History

(a) Prior to a person's acceptance as a resident, the licensee shall obtain and keep on file, documentation of a medical assessment, signed by a physician, made within the last year. The licensee shall be permitted to use the form LIC 602 (Rev. 9/89), Physician's Report, to obtain the medical assessment.
(b) The medical assessment shall include, but not be limited to:
(1) A physical examination of the resident indicating the physician's primary diagnosis and secondary diagnosis, if any and results of an examination for communicable tuberculosis, other contagious/infectious or contagious diseases or other medical conditions which would preclude care of the person by the facility.
(2) Documentation of prior medical services and history and current medical status including, but not limited to height, weight, and blood pressure.
(3) A record of current prescribed medications, and an indication of whether the medication should be centrally stored, pursuant to Section 87465(h)(1).
(4) Identification of physical limitations of the person to determine his/her capability to participate in the programs provided by the licensee, including any medically necessary diet limitations.
(5) The determination whether the person is ambulatory or nonambulatory as defined in Section 87101(a) or (n), or bedridden as defined in Section 87455(d). The assessment shall indicate whether nonambulatory status is based upon the resident's physical condition, mental condition or both. 
(6) Information applicable to the pre-admission appraisal specified in Section 87457, Pre-admission Appraisal.
(c) The licensee shall obtain an updated medical assessment when required by the Department.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312, 1569.315 and 1569.54, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87311 to Section 87458 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect renumbering former section 87458 to section 87769 and renumbering former section 87609 to section 87458, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87459. Functional Capabilities.
Note     •     History

(a) The facility shall assess the person's need for personal assistance and care by determining his/her ability to perform specified activities of daily living. Such activities shall include, but not be limited to:
(1) Bathing, including need for assistance:
(A) In getting in and out of the bath.
(B) In bathing one or more parts of the body.
(C) Through use of grab bars.
(2) Dressing and grooming, including the need for partial or complete assistance.
(3) Toileting, including the need for:
(A) Assistance equipment.
(B) Assistance of another person.
(4) Transferring, including the need for assistance in moving in and out of a bed or chair.
(5) Continence, including:
(A) Bowel and bladder control.
(B) Whether assistive devices such as a catheter are used.
(6) Eating, including the need for:
(A) Adaptive devices.
(B) Assistance from another person.
(7) Physical condition, including:
(A) Vision.
(B) Hearing.
(C) Speech.
(D) Walking with or without equipment or other assistance.
(E) Dietary limitations.
(F) Medical history and problems.
(G) Need for prescribed medications.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1250, 1569.1, 1569.2, 1569.31, 1569.312 and 1569.315, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87584 to section 87459, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87461. Mental Condition.
Note     •     History

(a) The licensee shall determine the amount of supervision necessary by assessing the mental status of the prospective resident to determine if the individual: 
(1) tends to wander; 
(2) is confused or forgetful;
(3) is capable of managing his/her own cash resources;
(4) actively participates in social activities or is withdrawn;
(5) has a documented history of behaviors which may result in harm to self or others.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312 and 1569.316, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87585 to section 87461, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87462. Social Factors.
Note     •     History

The facility shall obtain sufficient information about each person's likes and dislikes and interests and activities, to determine if the living arrangements in the facility will be satisfactory, and to suggest the program of activities in which the individual may wish to participate.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87586 to section 87462, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87463. Reappraisals.
Note     •     History

(a) The pre-admission appraisal shall be updated, in writing as frequently as necessary to note significant changes and to keep the appraisal accurate. The reappraisals shall document changes in the resident's physical, medical, mental, and social condition. Significant changes shall include but not be limited to:
(1) A physical trauma such as a heart attack or stroke.
(2) A mental/social trauma such as the loss of a loved one.
(3) Any illness, injury, trauma, or change in the health care needs of the resident that results in a circumstance or condition specified in Sections 87455(c) or 87615, Prohibited Health Conditions.
(b) The licensee shall immediately bring any such changes to the attention of the resident's physician and his family or responsible person.
(c) The licensee shall arrange a meeting with the resident, the resident's representative, if any, appropriate facility staff, and a representative of the resident's home health agency, if any, when there is significant change in the resident's condition, or once every 12 months, whichever occurs first, as specified in Section 87467, Resident Participation in Decision Making.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.156, 1569.2, 1569.31, 1569.312 and 1569.315, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering former section 87587 to section 87463, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87464. Basic Services.
Note     •     History

(a) The services provided by the facility shall be conducted so as to continue and promote, to the extent possible, independence and self-direction for all persons accepted for care. Such persons shall be encouraged to participate as fully as their conditions permit in daily living activities both in the facility and in the community.
(b) As used in this chapter, basic services are those services required to be provided in order to obtain and maintain a license.
(c) The admission agreement shall specify which of the basic services are desired and/or needed by, and will be provided for, each resident.
(d) A facility need not accept a particular resident for care. However, if a facility chooses to accept a particular resident for care, the facility shall be responsible for meeting the resident's needs as identified in the pre-admission appraisal specified in Section 87457, Pre-admission Appraisal and providing the other basic services specified below, either directly or through outside resources.
(e) If the resident is an SSI/SSP recipient, then the basic services shall be provided and/or made available at the basic rate at no additional charge to the resident.
(1) This shall not preclude the acceptance by the facility of voluntary contributions from relatives or others on behalf of an SSI/SSP recipient.
(2) An extra charge to the resident shall be allowed for a private room if a double room is made available but the resident prefers a private room, provided the arrangement is documented in the admissions agreement and the charge is limited to 10% of the Board and Room portion of the SSI/SSP grant.
(3) An extra charge to the resident shall be allowed for provision of special food services or products beyond that specified in (f)(2) below, when the resident wishes to purchase the services and agrees to the extra charge in the admission agreement.
(f) Basic services shall at a minimum include:
(1) Safe and healthful living accommodations and services, as specified in Section 87307, Personal Accommodations and Services.
(2) Three nutritionally well-balanced meals and snacks made available daily, including low salt or other modified diets prescribed by a doctor as a medical necessity, as specified in Section 87555, General Food Service Requirements.
(3) Personal assistance and care as needed by the resident and as indicated in the pre-admission appraisal, with those activities of daily living such as dressing, eating, bathing, and assistance with taking prescribed medications, as specified in Section 87608, Postural Supports.
(4) Regular observation of the resident's physical and mental condition, as specified in Section 87466, Observation of the Resident.
(5) Arrangements to meet health needs, including arranging transportation, as specified in Section 87465, Incidental Medical and Dental Care Services.
(6) A planned activities program which includes social and recreational activities appropriate to the interests and capabilities of the resident, as specified in Section 87219, Planned Activities.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312 and 1569.313, Health and Safety Code; and Section 12350, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering former section 87590 to new section 87464, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87465. Incidental Medical and Dental Care Services.
Note     •     History

(a) A plan for incidental medical and dental care shall be developed by each facility. The plan shall encourage routine medical and dental care and provide for assistance in obtaining such care, by compliance with the following:
(1) The licensee shall arrange, or assist in arranging, for medical and dental care appropriate to the conditions and needs of residents.
(2) The licensee shall provide assistance in meeting necessary medical and dental needs. This includes transportation which may be limited to the nearest available medical or dental facility which will meet the resident's need. In providing transportation the licensee shall do so directly or make arrangements for this service.
(3) There shall be arrangements for separation and care of residents whose illness requires separation from others.
(4) When residents require prosthetic devices, vision and hearing aids, the staff shall be familiar with the use of these devices, and shall assist such persons with their utilization as needed.
(5) The licensee shall assist residents with self-administered medications as needed. 
(6) Facility staff, except those authorized by law, shall not administer injections, but staff designated by the licensee may assist persons with self-administration as needed. Assistance with self-administered medications shall be limited to the following:
(A) Medications usually prescribed for self-administration which have been authorized by the person's physician.
(B) Medications during an illness determined by a physician to be temporary and minor.
(C) Assistance required because of tremor, failing eyesight and similar conditions.
(D) Assistance with self-administration does not include forcing a resident to take medications, hiding or camouflaging medications in other substances without the resident's knowledge and consent, or otherwise infringing upon a resident's right to refuse to take a medication.
(7) When requested by the prescribing physician or the Department, a record of dosages of medications which are centrally stored shall be maintained by the facility.
(8) There shall be adequate privacy for first aid treatment of minor injuries and for examination by a physician if required.
(9) If a facility has no medical unit on the grounds, a complete first aid kit shall be maintained and be readily available in a specific location in the facility. The kit shall be a general type approved by the American Red Cross, or shall contain at least the following:
(A) A current edition of a first aid manual approved by the American Red Cross, the American Medical Association or a state or federal health agency.
(B) Sterile first aid dressings.
(C) Bandages or roller bandages.
(D) Scissors.
(E) Tweezers.
(F) Thermometers.
(b) If the resident's physician has stated in writing that the resident is able to determine and communicate his/her need for a prescription or nonprescription PRN medication, facility staff shall be permitted to assist the resident with self-administration of his/her PRN medication.
(c) If the resident's physician has stated in writing that the resident is unable to determine his/her own need for nonprescription PRN medication, but can communicate his/her symptoms clearly, facility staff designated by the licensee shall be permitted to assist the resident with self-administration, provided all of the following requirements are met:
(1) There is written direction from a physician, on a prescription blank, specifying the name of the resident, the name of the medication, all of the information specified in Section 87465(e), instructions regarding a time or circumstance (if any) when it should be discontinued, and an indication of when the physician should be contacted for a medication reevaluation.
(2) Once ordered by the physician the medication is given according to the physician's directions.
(3) A record of each dose is maintained in the resident's record. The record shall include the date and time the PRN medication was taken, the dosage taken, and the resident's response.
(d) If the resident is unable to determine his/her own need for a prescription or nonprescription PRN medication, and is unable to communicate his/her symptoms clearly, facility staff designated by the licensee, shall be permitted to assist the resident with self-administration, provided all of the following requirements are met:
(1) Facility staff shall contact the resident's physician prior to each dose, describe the resident's symptoms, and receive direction to assist the resident in self-administration of that dose of medication.
(2) The date and time of each contact with the physician, and the physician's directions, shall be documented and maintained in the resident's facility record.
(3) The date and time the PRN medication was taken, the dosage taken, and the resident's response shall be documented and maintained in the resident's facility record.
(e) For every prescription and nonprescription PRN medication for which the licensee provides assistance there shall be a signed, dated written order from a physician on a prescription blank, maintained in the resident's file, and a label on the medication. Both the physician's order and the label shall contain at least all of the following information.
(1) The specific symptoms which indicate the need for the use of the medication.
(2) The exact dosage.
(3) The minimum number of hours between doses.
(4) The maximum number of doses allowed in each 24-hour period.
(f) Emergency care requirements shall include the following:
(1) The name, address, and telephone number of each resident's physician and dentist shall be readily available to that resident, the licensee, and facility staff.
(2) The name, address and telephone number of each emergency agency to be called in the event of an emergency, including but not limited to the fire department, crisis center or paramedical unit or medical resource, shall be posted in a location visible to both staff and residents.
(3) The name and telephone number of an ambulance service shall be readily available.
(g) The licensee shall immediately telephone 9-1-1 if an injury or other circumstance has resulted in an imminent threat to a resident's health including, but not limited to, an apparent life-threatening medical crisis except as specified in Sections 87469(c)(2) or (c)(3).
(h) The following requirements shall apply to medications which are centrally stored:
(1) Medications shall be centrally stored under the following circumstances:
(A) The preservation of medicines requires refrigeration, if the resident has no private refrigerator.
(B) Any medication is determined by the physician to be hazardous if kept in the personal possession of the person for whom it was prescribed.
(C) Because of potential dangers related to the medication itself, or due to physical arrangements in the facility and the condition or the habits of other persons in the facility, the medications are determined by either a physician, the administrator, or Department to be a safety hazard to others.
(2) Centrally stored medicines shall be kept in a safe and locked place that is not accessible to persons other than employees responsible for the supervision of the centrally stored medication.
(3) Each container shall carry all of the information specified in (6)(A) through (E) below plus expiration date and number of refills.
(4) All centrally stored medications shall be labeled and maintained in compliance with state and federal laws. No persons other than the dispensing pharmacist shall alter a prescription label.
(5) Each resident's medication shall be stored in its originally received container. No medications shall be transferred between containers.
(6) The licensee shall be responsible for assuring that a record of centrally stored prescription medications for each resident is maintained for at least one year and includes:
(A) The name of the resident for whom prescribed.
(B) The name of the prescribing physician.
(C) The drug name, strength and quantity.
(D) The date filled.
(E) The prescription number and the name of the issuing pharmacy.
(F) Instructions, if any, regarding control and custody of the medication.
(i) Prescription medications which are not taken with the resident upon termination of services, not returned to the issuing pharmacy, nor retained in the facility as ordered by the resident's physician and documented in the resident's record nor disposed of according to the hospice's established procedures or which are otherwise to be disposed of shall be destroyed in the facility by the facility administrator and one other adult who is not a resident. Both shall sign a record, to be retained for at least three years, which lists the following:
(1) Name of the resident.
(2) The prescription number and the name of the pharmacy.
(3) The drug name, strength and quantity destroyed.
(4) The date of destruction.
(j) In all facilities licensed for sixteen (16) persons or more, one or more employees shall be designated as having primary responsibility for assuring that each resident receives needed first aid and needed emergency medical services and for assisting residents as needed with self-administration of medications. The names of the staff employees so responsible and the designated procedures shall be documented and made known to all residents and staff.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312 and 1569.73, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87575 to new section 87465, including amendment of section heading, section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87466. Observation of the Resident.
Note     •     History

The licensee shall ensure that residents are regularly observed for changes in physical, mental, emotional and social functioning and that appropriate assistance is provided when such observation reveals unmet needs. When changes such as unusual weight gains or losses or deterioration of mental ability or a physical health condition are observed, the licensee shall ensure that such changes are documented and brought to the attention of the resident's physician and the resident's responsible person, if any.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87591 to new section 87466, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87467. Resident Participation in Decisionmaking.
Note     •     History

(a) Prior to, or within two weeks of the resident's admission, the licensee shall arrange a meeting with the resident, the resident's representative, if any, appropriate facility staff, and a representative of the resident's home health agency, if any, and any other appropriate parties, to prepare a written record of the care the resident will receive in the facility, and the resident's preferences regarding the services provided at the facility.
(1) At a minimum the written record shall include the date of the meeting, name of individuals who participated and their relationship to the resident, and the agreed-upon services to be provided to the resident.
(2) If the resident has a regular physician, the licensee shall send a copy of the record to the physician.
(3) The licensee shall arrange a meeting with the resident and appropriate individuals identified in Section 87467(a)(1) to review and revise the written record as specified, when there is a significant change in the resident's condition, or once every 12 months, whichever occurs first. Significant changes shall include, but not be limited to occurrences specified in Section 87463, Reappraisals.
(4) The meeting and documentation described in this section may be used to satisfy the reappraisal requirements of Section 87463, Reappraisals.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.156 and 1569.80, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87583.1 to section 87467, including amendment of subsections (a)(3)-(4) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations2(Register 2008, No. 10).
§87468. Personal Rights.
Note     •     History

(a) Each resident shall have personal rights which include, but are not limited to, the following:
(1) To be accorded dignity in his/her personal relationships with staff, residents, and other persons.
(2) To be accorded safe, healthful and comfortable accommodations, furnishings and equipment.
(3) To be free from corporal or unusual punishment, humiliation, intimidation, mental abuse, or other actions of a punitive nature, such as withholding of monetary allowances or interfering with daily living functions such as eating or sleeping patterns or elimination.
(4) To be informed by the licensee of the provisions of law regarding complaints and of procedures to confidentially register complaints, including, but not limited to, the address and telephone number of the complaint receiving unit of the licensing agency.
(5) To have the freedom of attending religious services or activities of his/her choice and to have visits from the spiritual advisor of his/her choice. Attendance at religious services, either in or outside the facility, shall be on a completely voluntary basis.
(6) To leave or depart the facility at any time and to not be locked into any room, building, or on facility premises by day or night. This does not prohibit the establishment of house rules, such as the locking of doors at night, for the protection of residents; nor does it prohibit, with permission of the licensing agency, the barring of windows against intruders.
(7) To visit the facility prior to residence along with his/her family and responsible persons.
(8) To have his/her family or responsible persons regularly informed by the facility of activities related to his care or services including ongoing evaluations, as appropriate to the resident's needs.
(9) To have communications to the facility from his/her family and responsible persons answered promptly and appropriately.
(10) To be informed of the facility's policy concerning family visits and other communications with residents, as specified in Health and Safety Code Section 1569.313.
(11) To have his/her visitors, including ombudspersons and advocacy representatives permitted to visit privately during reasonable hours and without prior notice, provided that the rights of other residents are not infringed upon.
(12) To wear his/her own clothes; to keep and use his/her own personal possessions, including his/her toilet articles; and to keep and be allowed to spend his/her own money.
(13) To have access to individual storage space for private use.
(14) To have reasonable access to telephones, to both make and receive confidential calls. The licensee may require reimbursement for long distance calls.
(15) To mail and receive unopened correspondence in a prompt manner.
(16) To receive or reject medical care, or other services.
(17) To receive assistance in exercising the right to vote.
(18) To move from the facility.
(b) At admission, a resident and the resident's responsible person or conservator shall be personally advised of and given a list of these rights. The licensee shall have each resident and the resident's responsible person or conservator sign a copy of these rights, and the signed copy shall be included in the resident's record.
(c) Facilities licensed for seven (7) or more shall prominently post, in areas accessible to the residents and their relatives, the following:
(1) Procedures for filing confidential complaints.
(2) A copy of these rights or, in lieu of a posted copy, instructions on how to obtain additional copies of these rights.
(d) The information in (c) above shall be posted in English, and in facilities where a significant portion of the residents cannot read English, in the language they can read.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.31, 1569.312 and 1569.313, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87572 to section 87468, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations2(Register 2008, No. 10).
§87469. Advanced Health Care Directives, Requests to Forego Resuscitative Measures, and Do-Not-Resuscitate Forms.
Note     •     History

(a) Upon admission, a facility shall provide each resident, and representative or responsible person of each resident, with written information about the right to make decisions concerning medical care. This information shall include, but not be limited to, the department's approved brochure entitled “Your Right To Make Decisions About Medical Treatment,” PUB 325, (3/99) and a copy of Sections 87469(b) and (c) of the regulations.
(b) Residents shall be permitted to have a Request to Forego Resuscitative Measures, an Advance Health Care Directive and/or a Do-Not-Resuscitate (DNR) Form in their facility file.
(c) If a resident who has a Request to Forego Resuscitative Measures, and/or an Advance Health Care Directive and/or a DNR form on file experiences a medical emergency, facility staff shall do one of the following:
(1) Immediately telephone 9-1-1, present the Request to Forego Resuscitative Measures, Advance Health Care Directive and/or DNR form to the responding emergency medical personnel and identify the resident as the person to whom the order refers.
(2) Immediately give the Request to Forego Resuscitative Measures, and/or Advance Health Care Directive and/or DNR form to a physician, registered nurse or licensed vocational nurse if the physician or nurse is in the resident's presence at the time of the emergency and assumes responsibility.
(3) Facilities that employ health care providers, other than Home Health Agencies or Hospice Agencies, may comply with Health and Safety Code Section 1569.74.
(d) After following the procedure in Section 87469(c)(1), (2), or (3), facility staff shall notify the resident's hospice agency and health care surrogate decision maker, if applicable.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.74 and 1569.156, Health and Safety Code; and Sections 4753 and 4670, Probate Code.
HISTORY

1. Change without regulatory effect renumbering former section 87575.1 to new section 87469, including amendment of subsections (a) and (d) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87502. Governing Body. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1503, 1508, 1513, 1522, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87502 to Section 87560 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect removing article 6 heading filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10). For prior history of former sections 87504-87522, see Register 88, No. 49. 
Article 9. Resident Records
§87505. Documentation and Support.
Note     •     History

Each facility shall document in writing the findings of the pre-admission appraisal and any reappraisal or assessment which was necessary in accordance with Sections 87457, Pre-Admission Appraisal, and 87463, Reappraisals. If supporting documentation from a physician is required, this input shall also be obtained and may be the same assessment as required in Section 87458, Medical Assessment.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.156, 1569.2, 1569.31, 1569.312 and 1569.315, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting new article 9 (sections 87505-87508) and renumbering former section 87588 to new section 87505, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87506. Resident Records.
Note     •     History

(a) The licensee shall ensure that a separate, complete, and current record is maintained for each resident in the facility or in a central administrative location readily available to facility staff and to licensing agency staff.
(b) Each record shall contain at least the following information:
(1) Resident's name and Social Security number.
(2) Dates of admission and discharge.
(3) Last known address.
(4) Birthdate.
(5) Religious preference, if any, and name and address of clergyman or religious advisor, if any.
(6) Names, addresses, and telephone numbers of responsible persons, as defined in Section 87101(r), to be notified in case of accident, death or other emergency.
(7) Name, address and telephone number of physician and dentist to be called in an emergency.
(8) Reports of the medical assessment specified in Section 87458 Medical Assessment, and of any special problems or precautions.
(9) The documentation required by Section 87611(a) for residents with an allowable health condition.
(10) Ambulatory status.
(11) Continuing record of any illness, injury, or medical or dental care, when it impacts the resident's ability to function or the services he needs.
(12) Current centrally stored medications as specified in Section 87465, Incidental Medical and Dental Care Services.
(13) The admission agreement and pre-admission appraisal, specified in Sections 87507, Admission Agreements and 87457, Pre-admission Appraisal.
(14) Records of resident's cash resources as specified in Section 87217, Safeguards for Resident Cash, Personal Property, and Valuables.
(15) Documents and information required by the following: 
(A) Section 87457, Pre-Admission Appraisal; 
(B) Section 87459, Functional Capabilities; 
(C) Section 87461, Mental Condition; 
(D) Section 87462, Social Factors; 
(E) Section 87463, Reappraisals; and 
(F) Section 87505, Documentation and Support.  
(c) All information and records obtained from or regarding residents shall be confidential.
(1) The licensee shall be responsible for storing active and inactive records and for safeguarding the confidentiality of their contents. The licensee and all employees shall reveal or make available confidential information only upon the resident's written consent or that of his designated representative.
(d) All resident records shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove the following current records for current residents unless the same information is otherwise readily available in another document or format: 
(A) Religious preference, if any, and name and address of clergyman or religious advisor, if any, as specified in Section 87506(b)(5). 
(B) Name, address, and telephone number of responsible person(s) as specified in Section 87506(b)(6). 
(C) Name, address, and telephone number of the resident's physician and dentist as specified in Section 87506(b)(7). 
(D) Information relating to the resident's medical assessment and any special problems or precautions as specified in Section 87506(b)(8). 
(E) Documentation required for residents with an allowable health condition as specified in Section 87506(b)(9). 
(F) Information on ambulatory status as specified in Section 87506(b)(10). 
(G) Continuing record of any illness, injury, or medical or dental care when it affects the resident's ability to function, or services needed, as specified in Section 87506(b)(11). 
(H) Records of current medications as specified in Section 87506(b)(12). 
(I) Any other records containing current emergency or health-related information for current residents. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
(e) Original records or photographic reproductions shall be retained for a minimum of three (3) years following termination of service to the resident.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312 and 1569.315, Health and Safety Code; and Section 11006.9, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering Section 87506 to Section 87562 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect renumbering former section 87570 to section 87506, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87507. Admission Agreements.
Note     •     History

(a) The licensee shall complete an individual written admission agreement with each resident and that resident's responsible person or conservator, if any.
(b) The licensee shall complete and maintain in the resident's file a Telecommunications Device Notification form (LIC 9158, 5/97) for each resident whose pre-admission appraisal or medical assessment indicates he/she is deaf, hearing-impaired, or otherwise disabled.
(c) Agreements shall specify the following:
(1) Basic services to be made available.
(2) Optional services which are available.
(3) Payment provisions, including the following:
(A) Basic services rate, including any exempt-income-allowance, if the resident agrees to such charge.
(B) Optional services costs.
(C) Payor.
(D) Due date.
(E) Funding source, provided that the resident may refuse to disclose such source.
(4) Modification conditions, including requirement for provision of at least 30 days prior written notice to the resident of any basic rate change, or for SSI/SSP rate changes, as soon as the facility is notified.
(A) Agreements involving persons whose care is funded at government-prescribed rates may specify that operative dates of government modifications shall be considered operative dates for basic service rate modifications.
(5) Refund conditions.
(A) When the Department orders relocation of a resident under the provisions of Section 87612(a), the resident shall not be held responsible for meeting any advance notice requirement imposed by the licensee in the admission agreement. The licensee shall refund any money to which the resident would have been entitled had notice been given as required by the admission agreement.
(6) That the department or licensing agency has the authority to examine residents' records as a part of their evaluation of the facility.
(7) General facility policies which are for the purpose of making it possible for residents to live together.
(8) Those actions, circumstances, or conditions specified in Section 87224, Eviction Procedures, which may result in the resident's eviction from the facility. Except for general facility policies developed pursuant to Section 87224(a)(3), the eviction provisions shall not be modified.
(9) The facility's policy concerning family visits and other communication with residents, pursuant to Health and Safety Code Section 1569.313.
(10) Other conditions under which the agreement may be terminated.
(d) If additional services are available through the facility to be purchased by the residents, such as cosmetology, and these are not specified in the admission agreement, a list of these services and charges shall be posted in a location accessible to residents.
(e) Such agreements shall be dated and signed, acknowledging the contents of the document, by the resident and the resident's responsible person or conservator and the licensee or the licensee's designated representative no later than seven days following admission. Attachments to the agreement may be utilized as long as they are also dated and signed.
(f) The licensee shall retain in the resident's file the original of the initial admission agreement and all subsequent modifications.
(1) The licensee shall provide a copy of the current admission agreement to the resident and the resident's responsible person or conservator,  if any.
(g) The licensee shall comply with all terms and conditions set forth in the admission agreement. No written or oral contract with any other person shall release the licensee from responsibility for provision of safe and healthful facilities, equipment, and accommodations.
(h) The agreement shall be automatically terminated by the death of the resident, whose relatives shall not be liable for any payment beyond that due at the date of death, unless agreed to in writing or ordered by the court.
(i) No licensee shall enter into any continuing care contract with any person without approval by the Department in accordance with Health and Safety Code, Chapter 10, Division 2.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.159, 1569.31, 1569.312, 1569.313 and 1569.54, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87568 to section 87507, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87508. Register of Residents.
Note     •     History

(a) The licensee shall ensure that a current register of all residents in the facility is maintained and contains the following updated information:
(1) The resident's name and ambulatory status as specified in Section 87506(b)(1) and (b)(10).
(2) Information on the resident's attending physician as specified in Section 87506(b)(7).
(3) Information on the resident's responsible person as specified in Section 87506(b)(6).
(b) Registers of residents shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Registers may be removed if necessary for copying. Removal of registers shall be subject to the following requirements: 
(1) Licensing representatives shall not remove current registers unless the same information is otherwise readily available in another document or format. 
(2) Prior to removing any registers, a licensing representative shall prepare a list of the registers to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the registers undamaged and in good order within three business days following the date the records were removed. 
(c) The register of current residents shall be kept in a central location at the facility.
(1) The register shall be treated as confidential information pursuant to Section 87506(c).
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.315, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87508 to Section 87561 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect renumbering former section 87571 to section 87508, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87509. Register of Residents.
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.315, Health and Safety Code.
HISTORY

1. New section filed 1-8-87; effective thirtieth day thereafter (Register 87, No. 2).
2. Change without regulatory effect renumbering Section 87508 to Section 87561 filed 11-17-88 (Register 88, No. 49).
§87510. Personnel Requirements--General.
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.17, 1569.30 and 1569.31, Health and Safety Code; and Section 42001, Vehicle Code.
HISTORY

1. Relettering of subsections (f)-(h) to subsections (g)-(i) and new subsection (f) filed 7-10-85; effective thirtieth day thereafter (Register 85, No. 28).
2. Amendment of subsection (f) filed 6-5-87; operative 7-5-87 (Register 87, No. 25).
3. Change without regulatory effect renumbering Section 87510 to Section 87565 filed 11-17-88 (Register 88, No. 49).
§87512. Personnel--Operations.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87512 to Section 87580 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 25.
§87514. Night Supervision.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87514 to Section 87581 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
§87516. Provision for Administrator.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1522, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87516 to Section 87563 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
§87518. Administrator--Qualifications and Duties.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87518 to Section 87564 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
§87520. Personnel Records.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530, and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87520 to Section 87566 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
§87522. Resident Records.
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.315, 1569.32 and 1569.54, Health and Safety Code; and Section 11006.9, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b)(6) filed 1-8-87; effective thirtieth day thereafter (Register 87, No. 2).
2. Change without regulatory effect renumbering Section 87522 to Section 87570 filed 11-17-88 (Register 88, No. 49).
Article 10. Food Services
§87555. General Food Service Requirements.
Note     •     History

(a) The total daily diet shall be of the quality and in the quantity necessary to meet the needs of the residents an shall meet the Recommended Dietary Allowances of the Food and Nutrition Board of the National Research Council. All food shall be selected, stored, prepared and served in a safe and healthful manner.
(b) The following food service requirements shall apply:
(1) Where all food is provided by the facility arrangements shall be made so that each resident has available at least three meals per day. Exceptions may be allowed on weekends and holidays providing the total daily food needs are met. Not more than fifteen (15) hours shall elapse between the third and first meal.
(2) Where meal service within a facility is elective, arrangements shall be made to assure availability of an adequate daily food intake for all residents who, in their admission agreement, elected meal service. If a resident's condition changes so that he is no longer able to cook or purchase his own meals, the admission agreement shall be modified and the resident provided full meal service.
(3) Between-meal nourishment or snacks shall be made available for all residents unless limited by dietary restrictions prescribed by a physician.
(4) Meals on the premises shall be served in a designated dining area suitable for the purpose and residents encouraged to have meals with other residents. Tray service shall be provided in case of temporary need.
(5) Meals shall consist of an appropriate variety of foods and shall be planned with consideration for cultural and religious background and food habits of residents.
(6) In facilities for sixteen (16) persons or more, menus shall be written at least one week in advance and copies of the menus as served shall be dated and kept on file for at least 30 days.
Facilities licensed for less than sixteen (16) residents shall maintain a sample menu in their file. Menus shall be made available for review by the residents or their designated representatives and the licensing agency upon request.
(7) Modified diets prescribed by a resident's physician as a medical necessity shall be provided.
(8) All food shall be of good quality. Commercial foods shall be approved by appropriate federal, state and local authorities. Food in damaged containers shall not be accepted, used or retained.
(9) Procedures which protect the safety, acceptability and nutritive values of food shall be observed in food storage, preparation and service.
(10) Where indicated, food shall be cut, chopped or ground to meet individual needs.
(11) Powdered milk shall not be used as a beverage but may be used in cooking or baking. Raw milk shall not be used. Milk shall be pasteurized.
(12) Except upon written approval by the licensing agency, meat, poultry and meat food products shall be inspected by state or federal authorities. Written evidence of such inspection shall be available for all products not purchased from commercial markets.
(13) Home canned foods shall not be used.
(14) If food is prepared off the facility premises, the preparation source shall meet all applicable requirements for commercial food services. The facility shall have adequate equipment and staff to receive and serve the food and for cleanup, and shall maintain adequate equipment for in-house preparation and service of food in emergencies.
(15) All persons engaged in food preparation and service shall observe personal hygiene and food services sanitation practices which protect the food from contamination.
(16) In facilities licensed for sixteen (16) to forty-nine (49) residents, one person shall be designated who has primary responsibility for food planning, preparation and service. This person shall be provided with appropriate training.
(17) In facilities licensed for fifty (50) or more, and providing three (3) meals per day, a full-time employee qualified by formal training or experience shall be responsible for the operation of the food service. If this person is not a nutritionist, a dietitian, or a home economist, provision shall be made for regular consultation from a person so qualified. The consultation services shall be provided at appropriate times, during at least one meal. A written record of the frequency, nature and duration of the consultant's visits shall be secured from the consultant and kept on file in the facility.
(18) Sufficient food service personnel shall be employed, trained and their working hours scheduled to meet the needs of residents.
(19) There shall be one or more dining rooms or similar areas suitable for serving residents at a meal service, in shifts where appropriate. The dining areas shall be convenient to the kitchen so that food may be served quickly and easily and shall be attractive and promote socialization among the diners.
(20) The ventilating systems in food preparation areas shall be maintained in working order and shall be operated when food is being prepared. Food preparation equipment shall be placed to provide aisles of sufficient width to permit easy movement of personnel, mobile equipment and supplies.
(21) Freezers of adequate size shall be maintained at a temperature of 0 degree F (-17.7 degree C), and refrigerators of adequate size shall maintain a maximum temperature of 40 degree F. (4 degree C). They shall be kept clean and food stored to enable adequate air circulation to maintain the above temperatures.
(22) Adequate space shall be maintained to accommodate equipment, personnel and procedures necessary for proper cleaning and sanitizing of dishes and other utensils.
(23) All readily perishable foods or beverages capable of supporting rapid and progressive growth of micro-organisms which can cause food infections or food intoxications shall be stored in covered containers at appropriate temperatures.
(24) Pesticides and other toxic substances shall not be stored in food storerooms, kitchen areas, or where kitchen equipment or utensils are stored.
(25) Soaps, detergents, cleaning compounds or similar substances shall be stored in areas separate from food supplies.
(26) Supplies of nonperishable foods for a minimum of one week and perishable foods for a minimum of two days shall be maintained on the premises.
(27) All kitchen areas shall be kept clean and free of litter, rodents, vermin and insects.
(28) All food shall be protected against contamination. Contaminated food shall be discarded immediately upon discovery.
(29) All equipment, fixed or mobile, and dishes, shall be kept clean and maintained in good repair and free of breaks, open seams, cracks or chips.
(30) All utensils used for eating and drinking and in preparation of food and drink, shall be cleaned and sanitized after each usage.
(31) Dishes and utensils shall be disinfected:
(A ) In facilities using mechanical means, by either maintaining hot water at a minimum temperature of 170 degree F (77 degree C) at the final rinse cycle of dishwashing machines, or by disinfecting as specified in (B) below.
(B) In facilities not using mechanical means, by an alternative comparable method approved by the licensing agency or by the local health department, such as the addition of a sanitation agent to the final rinse water.
(32) Equipment of appropriate size and type shall be provided for the storage, preparation and service of food and for sanitizing utensils and tableware, and shall be well maintained.
(33) Tableware and tables, dishes, and utensils shall be sufficient in quantity to serve the residents.
(34) Adaptive devices shall be provided for self help in eating as needed by residents.
(c) The licensing agency may require the facility to provide written information as to the foods purchased and used over a given period when, based upon documentation, there is reason to believe that the food service requirements are not being met.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting new article 10 (section 87555) and renumbering former section 87576 to section 87555, including amendment of section heading and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87560. Governing Body. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.15, 1569.16, 1569.17, 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87502 to Section 87560 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect renumbering former section 87560, subsections (a) and (b) to new section 87205 and renumbering former section 87560, subsection (c) to new section 87211 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87561. Reporting Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.616, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312, 1569.616 and 1797.196, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87508 to Section 87561 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Amendment of section heading, new subsections (b)-(b)(3) and amendment of Note filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
3. Amendment of subsection (a)(1)(A) filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
4. Amendment of subsection (a)(1), new subsection (a)(1)(C), subsection relettering and amendment of Note filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
5. Amendment of subsection (a)(2) and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
7. Change without regulatory effect renumbering former section 87561 to section 87211 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87562. Finances. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2 and 1569.15, Health and Safety Code; and Section 11006.9, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering Section 87506 to Section 87562 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 34.
2. Change without regulatory effect renumbering former section 87562 to new section 87213 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87563. Provision for Administrator.
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.17, 1569.30, 1569.31, 1569.62, 1569.312 and 1569.615, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87516 to section 87563 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
2. Amendment of subsection (c) and adoption of subsection (c)(5) and amendment of Note filed 1-16-92; operative 1-16-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 12).
3. Renumbering and amendment of section 87563 to section 87564(a)-(c) filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§87564. Administrator--Qualifications and Duties. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.17, 1569.30, 1569.31, 1569.312, 1569.315, 1569.613, 1569.616 and 1569.62, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87518 to section 87564 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
2. New subsection (a), renumbering and amendment of Note filed 1-16-92; operative 1-16-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 12).
3. Amendment of section and Note, including renumbering and amendment of section 87563 to section 87564(a)-(c) filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
4. Change without regulatory effect renumbering former section 87564 to new section 87405 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87564.2. Administrator Certification Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.17, 1569.171, 1569.23, 1569.30, 1569.315, 1569.613 and 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Change without regulatory effect renumbering former section 87564.2 to new section 87406 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87564.3. Administrator Recertification Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.17, 1569.171, 1569.613 and 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Amendment filed 5-23-2001 as an emergency; operative 5-23-2001 (Register 2001, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-20-2001 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 9-19-2001 as an emergency; operative 9-19-2001 (Register 2001, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-19-2001 order transmitted to OAL 1-17-2002 and filed 2-21-2002 (Register 2002, No. 8).
5. Change without regulatory effect renumbering former section 87564.3 to new section 87407 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87564.4. Denial or Revocation of a Certificate. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.16, 1569.51, 1569.613 and 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Change without regulatory effect renumbering former section 87564.4 to new section 87408 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87564.5. Forfeiture of a Certificate. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1558, 1568.092, 1569.16, 1569.58, 1569.616 and 1569.8897, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Change without regulatory effect renumbering former section 87564.5 to new section 87409 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87565. Personnel Requirements--General. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.625, Health and Safety Code. Reference: Sections 1569.17, 1569.30, 1569.31, 1569.312 and 1569.625, Health and Safety Code; and Section 42001, Vehicle Code.
HISTORY

1. Change without regulatory effect renumbering Section 87510 to Section 87565 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 25.
2. New subsections (c)-(c)(5), subsection relettering, amendment of newly designated subsection (e) and amendment of Note filed 8-1-2002; operative 8-31-2002 (Register 2002, No. 31).
3. Amendment of subsection (g), repealer of subsections (g)(1)-(g)(2)(A) and new subsections (g)(1)-(3) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (g), repealer of subsections (g)(1)-(g)(2)(A) and new subsections (g)(1)-(3) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (g), repealer of subsections (g)(1)-(g)(2)(A) and new subsections (g)(1)-(3) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (c), (c)(3)(C) and (c)(5) and amendment of Note filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
7. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsection (g)(1), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
8. Change without regulatory effect renumbering former section 87565 to new section 87411 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87566. Personnel Records. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.616, Health and Safety Code. Reference: Sections 1569.17(c), 1569.31, 1569.312, 1569.613, 1569.616, 1569.625 and 1569.626, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87520 to Section 87566 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
2. New subsection (c), subsection relettering and amendment of Note filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
3. New subsection (c), subsection relettering and amendment of Note filed 8-1-2002; operative 8-31-2002 (Register 2002, No. 31).
4. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
8. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
9. Amendment of subsections (a) and (a)(4), new subsections (f)-(f)(3), subsection relettering, amendment of newly designated subsection (g)(1), repealer of newly designated subsection (g)(2) and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
10. Change without regulatory effect renumbering former section 87566 to new section 87412 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87567. General. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87700 to Section 87567 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Change without regulatory effect renumbering former section 87567 to new section 87456 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87568. Admissions Agreements. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.159, 1569.30, 1569.31, 1569.312, 1569.313, 1569.54 and 1770 et seq., Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87718 to Section 87568 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. Change without regulatory effect of subsection (h) pursuant to Section 100, Title 1, California Code of Regulations filed 1-9-89 (Register 89, No. 3).
3. New subsection (b)(5)(A) and amendment of Note filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
4. Amendment of section Note filed 11-12-98; operative 12-12-98 (Register 98, No. 46).
5. New subsection (i) and amendment of Note filed 8-1-2002; operative 8-31-2002 (Register 2002, No. 31).
6. Change without regulatory effect renumbering former section 87568 to section 87507 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87569. Medical Assessment. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31, 1569.312, 1569.315 and 1569.54, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87712 to section 87569 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Amendment of section and Note filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
4. Change without regulatory effect amending subsections (b)(3) and (b)(5) filed 6-1-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 22).
5. Amendment of subsection (b)(5) filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
6. Change without regulatory effect renumbering former section 87569 to section 87458 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87570. Resident Records. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312 and 1569.315, Health and Safety Code; and Section 11006.9, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering section 87522 to section 87570 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Amendment of subsection (a), new subsections (a)(9) and (a)(10), subsection renumbering, and amendment of Note filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
4. Repealer of subsection (b)(10) and subsection renumbering filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
5. Amendment of subsection (b)(6) and new subsections (b)(15)-(b)(15)(F) filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
6. Amendment of subsections (a) and (b)(6), relettering of former subsection (d) to subsection (e), relettering and amendment of former subsection (e) to subsection (d), new subsections (d)(1)-(d)(3) and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
7. Change without regulatory effect renumbering former section 87570 to section 87506 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87571. Register of Residents. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.315, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87509 to Section 87571 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
2. Amendment filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
3. Editorial correction of subsection (a)(1) (Register 2008, No. 10). 
4. Change without regulatory effect renumbering former section 87571 to section 87508 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87572. Personal Rights. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.30, 1569.31, 1569.312 and 1569.313, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87572 to Section 87144 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. Amendment of subsection (b) filed 11-12-98; operative 12-12-98 (Register 98, No. 46).
3. Change without regulatory effect renumbering former section 87572 to section 87468 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations2(Register 2008, No. 10).
§87573. Telephones. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87134 to Section 87573 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
2. Change without regulatory effect renumbering former section 87573 to new section 87311 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87574. Motor Vehicles Used in Transporting Residents. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87132 to Section 87574 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 47.
2. Change without regulatory effect renumbering former section 87574 to new section 87312 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87575. Incidental Medical and Dental Care. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1250, 1569.1, 1569.2, 1569.30, 1569.31, 1569.312 and 1569.73, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87610 to Section 87575 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Amendment of section and Note filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
3. Amendment filed 5-16-97; operative 6-15-97 (Register 97, No. 20).
4. Editorial correction of subsection (c) (Register 98, No. 8).
5. Change without regulatory effect amending subsection (f)(5) filed 6-1-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 22).
6. Repealer of subsections (a)(8) and (f)(2), subsection renumbering, and amendment of subsection (g) filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
7. Change without regulatory effect renumbering former section 87575 to new section 87465 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87575.1. Advanced Health Care Directives, Requests to Forego Resuscitative Measures, and Do-Not-Resuscitate Forms. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.74 and 1569.156, Health and Safety Code; and Section 4753, Probate Code.
HISTORY

1. New section filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
2. Amendment of section heading, section and Note filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
3. Amendment filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
5. Change without regulatory effect renumbering former section 87575.1 to new section 87469 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87575.2. Automated External Defibrillators (AEDs). [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1250, 1569.1, 1569.2, 1569.30, 1569.312, 1569.73 and 1797.196, Health and Safety Code.  
HISTORY

1. New section filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
2. Change without regulatory effect renumbering former section 87575.2 to new section 87607 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87576. Food Service. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87604 to Section 87576 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Change without regulatory effect renumbering former section 87576 to new section 87555 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87577. Personal Accommodations and Services.  [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87602 to Section 87577 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Amendment of subsection (a)(3)(E) and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
4. Change without regulatory effect renumbering former section 87577 to new section 87307 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87578. Personal Assistance and Care. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87606 to section 87578 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Amendment of subsection (a) filed 5-3-90; operative 6-2-90 (Register 90, No. 26). 
3. Amendment of section and Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
5. Change without regulatory effect renumbering former section 87578 to new section 87608 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87579. Planned Activities. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87612 to Section 87579 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Change without regulatory effect renumbering former section 87579 to new section 87219 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87580. Personnel--Operations. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31 and 1569.312, Health and Safety Code; and Sections 15600-15637, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering Section 87512 to Section 87580 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 25.
2. Change without regulatory effect renumbering former section 87580 to new section 87413 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87581. Night Supervision. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87514 to Section 87581 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
2. Change without regulatory effect renumbering former section 87581 to new section 87415 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87582. Acceptance and Retention Limitations. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.698, Health and Safety Code. Reference: Sections 1250, 1569.1, 1569.2, 1569.30, 1569.31, 1569.312, 1569.54, 1569.699 and 1569.72, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering section 87702 to section 87582 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. New subsections (e) and (f) filed 10-26-90; operative 11-25-90 (Register 90, No. 49).
3. Editorial correction of printing error in subsection (e)(1)(E) (Register 91, No. 32).
4. Change without regulatory effect amending subsections (c)-(c)(4) and Note, adopting new subsections (c)(5), (d)-(d)(2), (e), (f)-(f)(3) and (g) and subsection relettering filed 7-21-92; operative 7-21-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 30).
5. Renumbering of subsection (i) to new section 87701.1,  renumbering of subsection (j) to new section 87342.1, and amendment of subsections (a) and (b)(6) filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
6. Amendment of subsections (c) and (c)(4) and Note filed 11-16-95 as an emergency; operative 11-16-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 5-14-96 pursuant to Health and Safety Code section 1569.698(c) or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-16-95 order including  amendment of Note transmitted to OAL 5-13-96 and filed 6-18-96 (Register 96, No. 25).
8. Amendment of subsections (b), (b)(4) and (c), repealer of former subsection (c)(3), subsection renumbering, amendment of newly designated subsections (c)(3)(A)-(B) and amendment of Note filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
9. Editorial correction repealing subsections (i) and (j) (Register 2008, No. 10).
10. Change without regulatory effect renumbering former section 87582, subsections (a)-(h) to section 87455, renummbering former section 87582, subsection (i) to section 87701.3 and renumbering former section 87582, subsection (j) to section 87637  filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87583. Pre-Admission Appraisal--General. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87704 to Section 87583 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Amendment filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
3. Change without regulatory effect renumbering former section 87583 to section 87457 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87583.1. Resident Participation in Decisionmaking. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.80 and 1569.156, Health and Safety Code.
HISTORY

1. New section filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
2. Change without regulatory effect renumbering former section 87583.1 to section 87467 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations2(Register 2008, No. 10).
§87584. Functional Capabilities. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1250, 1569.1, 1569.2, 1569.30, 1569.31, 1569.312 and 1569.315, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87706 to Section 87584 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Change without regulatory effect renumbering former section 87584 to section 87459 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87585. Mental Condition. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31, 1569.312 and 1569.316(a), Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87708 to Section 87585 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Amendment of section and Note filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
3. Change without regulatory effect renumbering former section 87585 to section 87461 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87586. Social Factors. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87710 to Section 87586 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Change without regulatory effect renumbering former section 87586 to section 87462 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87587. Reappraisals. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.156, 1569.2, 1569.30, 1569.31, 1569.312 and 1569.315, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering Section 87714 to Section 87587 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. New subsection (a)(3) filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
3. Amendment of section heading and subsections (a) and (a)(3) filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
4. New subsection (c) and amendment of Note filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
5. Change without regulatory effect renumbering former section 87587 to section 87463 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87588. Documentation and Support. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.30 and 1569.31, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87716 to Section 87588 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. Change without regulatory effect renumbering former section 87588 to new section 87505 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87589. Eviction Procedures. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31, 1569.312, 1569.315, 1569.54, 1569.73 and 1770 et seq. Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87720 to Section 87589 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. Change without regulatory effect of subsection (g) pursuant to Section 100, Title 1, California Code of Regulations filed 1-9-89 (Register 89, No. 3).
3. New subsections (i) and (i)(1) and amendment of Note filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
4. Amendment of subsection (g) filed 8-1-2002; operative 8-31-2002 (Register 2002, No. 31).
5. Change without regulatory effect renumbering former section 87589 to new section 87224 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87590. Basic Services. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31, 1569.312 and 1569.313, Health and Safety Code; and Section 11006.9 and Section 12350, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering Section 87600 to Section 87590 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 2.
2. Editorial correction of subsection (d) (Register 95, No. 44).
3. New subsection (e)(1) and subsection renumbering, and amendment of newly designated subsections (e)(2)-(3) and Note filed 3-20-96; operative 4-19-96 (Register 96, No. 12).
4. Change without regulatory effect renumbering former section 87590 to new section 87464 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87591. Observation of the Resident. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87608 to Section 87591 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Amendment filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
3. Amendment filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
4. Change without regulatory effect renumbering former section 87591 to new section 87466 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87592. Resident Councils. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87614 to Section 87592 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 82, No. 10.
2. Change without regulatory effect renumbering former section 87592 to new section 87221 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87593. Requirements for Emergency Adult Protective Services Placements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.31, Health and Safety Code; and Senate Bill 2199 (Chapter 946, Statutes of 1998), Section 14 uncodified. Reference: Sections 15610.13 and 15763, Welfare and Institutions Code; and Sections 1569.1, 1569.2, 1569.312, 1569.315, 1569.316, 1569.47, 1569.54, 1569.698, 1569.699, 1569.71, 1569.72 and 1569.73, Health and Safety Code. 
HISTORY

1. New section filed 10-25-2001 as an emergency; operative 10-25-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-22-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-25-2001 order, including amendment of subsection (d)(6), transmitted to OAL 2-22-2002 and filed 4-8-2002 (Register 2002, No. 15).
3. Amendment of subsections (d)(6) and (e), repealer of subsection (e)(1) and amendment of Note filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
4. Change without regulatory effect renumbering former section 87593 to new section 87222 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 11. Health-Related Services and Conditions
§87605. Health and Safety Protection.
Note     •     History

(a) Acceptance by the licensee of residents with incidental medical needs shall be in accordance with the conditions specified in this article.
(b) The provisions of this article 11 shall be applicable and in conjunction with Articles 1 through 10 and 12 through 13 of this chapter 8.
(c) Licensees who employ or permit health care practitioners to provide care to residents shall post a visible notice in a prominent location that states, “Section 680 of the Business and Professions Code requires health care practitioners to disclose their name and license status on a name tag in at least 18-point type while working in this facility.”
NOTE

Authority cited: Sections 1569.30 and 1569.698(c), Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code; and Section 680, Business and Professions Code. 
HISTORY

1. Change without regulatory effect adopting article 11 (sections 87605-87639) and renumbering former section 87700 to new section 87605, including amendment of subsection (b) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87606. Care of Bedridden Residents.
Note     •     History

(a) Unless otherwise specified, this section applies to licensees who accept or retain residents who are bedridden. The licensee shall be permitted to accept and retain residents who are or shall become bedridden, if all the following conditions are met. 
(b) A facility shall notify the local fire jurisdiction within 48 hours of accepting or retaining any bedridden person, as specified in Health and Safety Code Section 1569.72(f). 
(c) To accept or retain a bedridden person, other than for a temporary illness or recovery from surgery, a facility shall obtain and maintain an appropriate fire clearance as specified in Section 87202(a). 
(d) For the purposes of this section, “temporary illness” is defined in Health and Safety Code Section 1569.72(d)(1). 
(e) A facility may retain a bedridden resident for more than 14 days if all of the requirements of Health and Safety Code Section 1569.72(e) are met. 
(1) If it is determined that a resident will be temporarily bedridden for more than 14 days, the facility shall notify the fire authority having jurisdiction of the revised estimated length of time that the resident will be bedridden, as required in Section 87606(b). 
(f) To accept or retain a bedridden person, a facility shall ensure the following:
(1) The facility's Plan of Operation includes a statement of how the facility intends to meet the overall health, safety and care needs of bedridden persons. 
(A) The facility's Emergency Disaster Plan, addresses fire safety precautions specific to evacuation of bedridden residents in the event of an emergency or disaster. 
(B) In addition to the requirements specified in Care of Persons with Dementia, the needs of residents with dementia who are bedridden, shall be met. 
(C) The needs of residents who are terminally ill and who are bedridden shall be met. 
(2) Each bedridden resident's record includes sufficient documentation to demonstrate that the facility is meeting the needs of the individual resident as specified in Section 87506. 
(3) Staff records include documentation of staff training specific to Care of Bedridden Residents. 
(4) The facility's Register of Residents shall include: 
(A) compliance with Section 87508, 
(B) information related to resident room locator,
(C) register of residents be made available, upon request, to emergency personnel, and
(D) facility staff have knowledge of the location of the register of residents at all times. 
(g) Nothing contained in this section or in Chapter 8 precludes the licensing agency from requiring the relocation of a bedridden resident whose needs are not being met in a facility, or whose needs are beyond the scope of care of the facility. 
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312, 1569.54, 1569.62, 1569.625, 1569.72 and 1569.80, Health and Safety Code. 
HISTORY

1. New section filed 7-9-2010; operative 8-8-2010 (Register 2010, No. 28).
§87607. Automated External Defibrillators (AEDs).
Note     •     History

(a) A licensee is permitted to maintain and operate an AED at the facility if all of the following requirements are met: 
(1) The licensee shall notify the licensing agency in writing that an AED is in the facility and will be used in accordance with all applicable federal and other state requirements. 
(2) The AED shall be used in accordance with all applicable federal and other state requirements. 
(3) The licensee shall maintain at the facility the following: 
(A) A copy of the required physician's prescription for the AED. 
(B) A training manual from an American Heart Association- or American Red Cross-recognized AED training class. 
(C) A log of checks of operation of the AED containing the dates checked and the name of person checking. 
(D) A copy of a valid AED operator's certificate for any employee(s) authorized by the licensee to operate the AED. The certificate shall indicate that the AED training course completed complies with the standards of the American Heart Association or the American Red Cross. If it does not, then other evidence indicating that the AED training course completed complies with the standards of the American Heart Association or the American Red Cross shall be available at the facility. 
(E) A log of quarterly proficiency demonstrations for each holder of an AED operator's certificate who is authorized by the licensee to operate the AED. The log shall contain the dates of the demonstrations and the manner of demonstration. 
(4) A supply kit shall be maintained at the facility and be readily available for use with the AED. The kit shall contain at least the following: 
(A) A back-up battery set. 
(B) An extra set of pads. 
(C) A safety razor for shaving chest hair when necessary to apply the pads. 
(D) A cardiovascular pulmonary resuscitation barrier (a face shield or mask) for protection from transmission of infectious disease. 
(E) Two pairs of unused medical examination gloves (latex or non-latex). 
(5) Use of an AED shall be reported as specified in Section 87211, Reporting Requirements. 
(6) Requests to Forego Resuscitative Measures, Advance Directives and Do-Not-Resuscitate Orders shall be observed as specified in Section 87469, Advance Health Care Directives, Requests to Forego Resuscitative Measures, and Do-Not-Resuscitate Forms. 
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1250, 1569.1, 1569.2, 1569.31, 1569.312, 1569.73 and 1797.196, Health and Safety Code.  
HISTORY

1. Change without regulatory effect renumbering former section 87575.2 to new section 87607, including amendment of subsections (a)(5)-(6) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87608. Postural Supports.
Note     •     History

(a) Based on the individual's preadmission appraisal, and subsequent changes to that appraisal, the facility shall provide assistance and care for the resident in those activities of daily living which the resident is unable to do for himself/herself. Postural supports may be used under the following conditions.
(1) Postural supports shall be limited to appliances or devices such as braces, spring release trays, or soft ties, used to achieve proper body position and balance, to improve a resident's mobility and independent functioning, or to position rather than restrict movement including, but not limited to, preventing a resident from falling out of bed, a chair, etc.
(A) Physician-prescribed orthopedic devices such as braces or casts, used for support of a weakened body part or correction of body parts, are considered postural supports.
(2) Postural supports shall be fastened or tied in a manner that permits quick release by the resident.
(3) A written order from a physician indicating the need for the postural support shall be maintained in the resident's record. The licensing agency shall be authorized to require other additional documentation if needed to verify the order.
(4) Prior to the use of postural supports that change the ambulatory status of a resident to non-ambulatory, the licensee shall ensure that the appropriate fire clearance, as required by Section 87202, Fire Clearance has been secured.
(5) Under no circumstances shall postural supports include tying, depriving, or limiting the use of a resident's hands or feet.
(A) A bed rail that extends from the head half the length of the bed and used only for assistance with mobility shall be allowed. 
(B) Bed rails that extend the entire length of the bed are prohibited except for residents who are currently receiving hospice care and have a hospice care plan that specifies the need for full bed rails.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87578 to new section 87608, including amendment of section heading and subsection (a)(4), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87609. Allowable Health Conditions and the Use of Home Health Agencies.
Note     •     History

(a) A licensee shall be permitted to accept or retain persons who have a health condition(s) which requires incidental medical services including, but not limited to, the conditions specified in Section 87612, Restricted Health Conditions.
(b) Incidental medical care may be provided to residents through a licensed home health agency provided the following conditions are met:
(1) The licensee is in substantial compliance with the requirements of Health and Safety Code Sections 1569-1569.87, and of Chapter 8, Division 6, of Title 22, CCR, governing Residential Care Facilities for the Elderly.
(2) The licensee provides the supporting care and supervision needed to meet the needs of the resident receiving home health care.
(3) The licensee informs the home health agency of any duties the regulations prohibit facility staff from performing, and of any regulations that address the resident's specific condition(s).
(4) The licensee and home health agency agree in writing on the responsibilities of the home health agency, and those of the licensee in caring for the resident's medical condition(s).
(A) The written agreement shall reflect the services, frequency and duration of care.
(B) The written agreement shall include day and evening contact information for the home health agency, and the method of communication between the agency and the facility, which may include verbal contact, electronic mail, or logbook.
(C) The written agreement shall be signed by the licensee or licensee representative, and representative of the home health agency, and placed in the resident's file.
(c) The use of home health agencies to care for a resident's medical condition(s) does not expand the scope of care and supervision that the licensee is required to provide.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.312 and 1569.725, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87702 to new section 87609, including amendment of subsection (a), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87611. General Requirements for Allowable Health Conditions.
Note     •     History

(a) Prior to accepting or retaining a resident with an allowable health condition as specified in Section 87618, Oxygen Administration -- Gas and Liquid; Section 87619, Intermittent Positive Pressure Breathing (IPPB) Machine; Section 87621, Colostomy/Ileostomy; Section 87626, Contractures; or Section 87631, Healing Wounds; licensees who have, or have had, any of the following within the last two years, shall obtain Department approval:
(1) Probationary license;
(2) Administrative action filed against them;
(3) A Non-Compliance Conference as defined in Section 87101(n) that resulted in a corrective plan of action; or
(4) A notice of deficiency concerning direct care and supervision of a resident with a health condition specified in Section 87612, Restricted Health Conditions, that required correction within 24 hours.
(b) The licensee shall complete and maintain a current, written record of care for each resident that includes, but is not limited to, the following:
(1) Documentation from the physician of the following:
(A) Stability of the medical condition(s);
(B) Medical condition(s) which require incidental medical services;
(C) Method of intervention;
(D) Resident's ability to perform the procedure; and
(E) An appropriately skilled professional shall be identified who will perform the procedure if the resident needs assistance.
(2) The names, address and telephone number of vendors, if any, and all appropriately skilled professionals providing services.
(3) Emergency contacts.
(c) In addition to Section 87411(d), facility staff shall have knowledge and the ability to recognize and respond to problems and shall contact the physician, appropriately skilled professional, and/or vendor as necessary.
(d) In addition to Section 87463, Reappraisals and Section 87466, Observation of the Resident, the licensee shall monitor the ability of the resident to provide self care for the allowable health condition and document any change in that ability.
(e) In addition to Sections 87465(a) and 87464(d), the licensee shall ensure that the resident is cared for in accordance with the physicians orders and that the resident's medical needs are met.
(f) The duty established by this section does not infringe on the right of a resident to receive or reject medical care or services as allowed in Section 87468(a)(16).
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87702.1 to new section 87611, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87612. Restricted Health Conditions.
Note     •     History

(a) The licensee may provide care for residents who have any of the following restricted health conditions, or who require any of the following health services:
(1) Administration of oxygen as specified in Section 87618.
(2) Catheter care as specified in Section 87623.
(3) Colostomy/ileostomy care as specified in Section 87621.
(4) Contractures as specified in Section 87626.
(5) Diabetes as specified in Section 87628.
(6) Enemas, suppositories, and/or fecal impaction removal as specified in Section 87622.
(7) Incontinence of bowel and/or bladder as specified in Section 87625.
(8) Injections as specified in Section 87629.
(9) Intermittent Positive Pressure Breathing Machine use as specified in Section 87619.
(10) Stage 1 and 2 pressure sores (dermal ulcers) as specified in Section 87631(a)(3).
(11) Wound care as specified in Section 87631.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.312 and 1569.72, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87701.1 to new section 87612, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87613. General Requirements for Restricted Health Conditions.
Note     •     History

(a) Prior to admission of a resident with a restricted health condition, the licensee shall:
(1) Communicate with all other persons who provide care to that resident to ensure consistency of care for the condition.
(2) Ensure that facility staff who will participate in meeting the resident's specialized care needs complete training provided by a licensed professional sufficient to meet those needs.
(A) Training shall include hands-on instruction in both general procedures and resident-specific procedures.
(B) Training shall be completed prior to the staff providing services to the resident.
(b) Should the condition of the resident change, all facility staff providing care to that resident shall complete any additional training required to meet the resident's new needs, as determined by the resident's physician or a licensed professional designated by the physician.
(c) The licensee shall document any significant occurrences that result in changes in the resident's physical, mental and/or functional capabilities and immediately report these changes to the resident's physician and authorized representative.
(d) A resident's right to receive or reject medical care or services, as specified in Section 87468, Personal Rights, shall not be affected by this section.
(1) If a resident refuses medical services the licensee shall immediately notify the resident's physician or licensed professional designated by the physician and the resident's authorized representative, if any, and shall participate in developing a plan for meeting the resident's needs.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.312 and 1569.72, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87701.2 to new section 87613, including amendment of subsection (d), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87615. Prohibited Health Conditions.
Note     •     History

(a) In addition to Section 87455(c), the following persons who require health services for or have a health condition including, but not limited to, those specified below shall not be admitted or retained in a residential care facility for the elderly:
(1) Stage 3 and 4 pressure sores (dermal ulcers).
(2) Gastrostomy care.
(3) Naso-gastric tubes.
(4) Staph infection or other serious infection.
(5) Residents who depend on others to perform all activities of daily living for them as set forth in Section 87459, Functional Capabilities.
(6) Tracheostomies.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.312 and 1569.72, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87701 to new section 87615, including amendment of subsections (a) and (a)(5), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87616. Exceptions for Health Conditions.
Note     •     History

(a) As specified in Section 87209, Program Flexibility, the licensee may submit a written exception request if he/she agrees that the resident has a prohibited and/or restrictive health condition but believes that the intent of the law can be met through alternative means.
(b) Written requests shall include, but are not limited to, the following:
(1) Documentation of the resident's current health condition including updated medical reports, other documentation of the current health, prognosis, and expected duration of condition.
(2) The licensee's plan for ensuring that the resident's health related needs can be met by the facility.
(3) Plan for minimizing the impact on other residents.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1250, 1569.2(a), (e) and (j), 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87721 to new section 87616, including amendment of section heading, subsection (a) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87617. Departmental Review of Health Conditions.
Note     •     History

(a) Certain health conditions as specified in Sections 87618, Oxygen Administration--Gas and Liquid, through 87631, Healing Wounds, may require review by Department staff to determine if the resident will be allowed to remain in the facility. The Department shall inform the licensee that the health condition of the resident requires review and shall specify documentation which the licensee shall submit to the Department.
(1) Documentation shall include, but not be limited to the following:
(A) Physician's assessment(s).
(B) Pre-admission appraisal.
(C) Copies of prescriptions for incidental medical services and/or medical equipment.
(2) The documentation shall be submitted to the Department within 10 days.
(b) If the Department determines that the resident has an allowable health condition, the licensee shall provide care and supervision to the resident in accordance with the conditions specified in Sections 87618, Oxygen Administration--Gas and Liquid, through 87631, Healing Wounds.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2(a), (e) and (j) and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87722 to new section 87617, including amendment of section heading, section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87618. Oxygen Administration -- Gas and Liquid.
Note     •     History

(a) Except as specified in Section 87611(a), the licensee shall be permitted to accept or retain a resident who requires the use of oxygen gas administration under the following circumstances: 
(1) If the resident is mentally and physically capable of operating the equipment, is able to determine his/her need for oxygen, and is able to administer it him/herself. 

OR 
(2) If intermittent oxygen administration is performed by an appropriately skilled professional. 
(b) In addition to Section 87611(b), the licensee shall be responsible for the following: 
(1) Monitoring of the resident's ongoing ability to operate the equipment in accordance with the physician's orders. 
(2) Ensuring that oxygen administration is provided by an appropriately skilled professional should the resident require assistance. 
(3) Ensuring that the use of oxygen equipment meets the following requirements: 
(A) A report shall be made in writing to the local fire jurisdiction that oxygen is in use at the facility. 
(B) “No Smoking-Oxygen in Use” signs shall be posted in the appropriate areas. 
(C) Smoking shall be prohibited where oxygen is in use. 
(D) All electrical equipment shall be checked for defects which may cause sparks. 
(E) Oxygen tanks that are not portable shall be secured in a stand or to the wall. 
(F) Plastic tubing from the nasal canula or mask to the oxygen source shall be long enough to allow the resident movement within his/her room but does not constitute a hazard to the resident or others.
(G) Oxygen from a portable source shall be used by residents when they are outside of their rooms. 
(H) Equipment shall be operable. 
(I) Equipment shall be removed from the facility when no longer in use by the resident. 
(4) Determining that room size can accommodate equipment in accordance with Section 87307, Personal Accommodations and Services. 
(5) Ensuring that facility staff have knowledge of, and ability in the operation of the oxygen equipment. 
(c) The licensee shall be permitted to accept or retain a resident who requires the use of liquid oxygen under the following circumstances:
(1) The licensee obtains prior approval from the licensing agency.
(2) If the resident is mentally and physically capable of operating the equipment, is able to determine his/her need for oxygen, and is able to administer it him/herself.
NOTE

Authority cited: Section 1569.30, Health and Safety Code, Reference: Sections 1569.2 and 1569.312, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering former section 87703 to new section 87618, including amendment of subsections (a), (b) and (b)(4), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87619. Intermittent Positive Pressure Breathing (IPPB) Machine.
Note     •     History

(a) Except as specific in Section 87611(a), the licensee shall be permitted to accept or retain a resident who requires the use of an IPPB machine under the following circumstances:
(1) If the resident is mentally and physically capable of operating his/her own equipment and is able to determine his/her own need. 

OR 
(2) If the device is operated and cared for by an appropriately skilled professional. 
(b) In addition to Section 87611(b), the licensee shall be responsible for the following: 
(1) Monitoring of the resident's ongoing ability to operate the equipment in accordance with the physician's orders. 
(2) Ensuring that the procedure is administered by an appropriately skilled professional should the resident require assistance. 
(3) Ensuring that the use of the equipment meets the following requirements: 
(A) Equipment shall be operable. 
(B) Equipment shall be removed from the facility when no longer in use by the resident. 
(4) Determining that room size can accommodate equipment in accordance with Section 87307(a)(2)(A). 
(5) Ensuring that facility staff have knowledge of and ability in the operation of the equipment. 
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering former section 87704 to new section 87619, including amendment of subsections (a), (b) and (b)(4), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87621. Colostomy/Ileostomy.
Note     •     History

(a) Except as specified in Section 87611(a), the licensee shall be permitted to accept or retain a resident who has a colostomy or ileostomy under the following circumstances:
(1) If the resident is mentally and physically capable of providing all routine care for his/her ostomy, and the physician has documented that the ostomy is completely healed. 

OR
(2) If assistance in the care of the ostomy is provided by an appropriately skilled professional.
(b) In addition to Section 87611(b), the licensees shall be responsible for the following:
(1) Ensuring that ostomy care is provided by an appropriately skilled professional.
(A) The ostomy bag and adhesive may be changed by facility staff who have been instructed by the professional.
(B) There shall be written documentation by an appropriately skilled professional outlining the instruction of the procedures delegated and the names of the facility staff who have been instructed.
(C) The professional shall review the procedures and techniques no less than twice a month.
(2) Ensuring that used bags are discarded as specified in Section 87303(f)(1).
(3) Privacy shall be afforded when ostomy care is provided.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87705 to new section 87621, including amendment of subsections (a), (b) and (b)(2), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87622. Fecal Impaction Removal, Enemas and/or Suppositories.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires manual fecal impaction removal, enemas, or use of suppositories under the following circumstances:
(1) Self care by the resident.
(2) Manual fecal impaction removal, enemas, and/or suppositories shall be permitted if administered according to physician's orders by either the resident or an appropriately skilled professional.
(b) In addition to Section 87611, General Requirements for Allowable Health Conditions, the licensee shall be responsible for the following:
(1) Ensuring that the administration of enemas or suppositories or manual fecal impaction removal is performed by an appropriately skilled professional should the resident require assistance.
(2) Privacy shall be afforded when care is being provided.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2(a), (e) and (j) and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87706 to new section 87622, including amendment of section heading, subsection (b) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87623. Indwelling Urinary Catheter.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires the use of an indwelling catheter under the following circumstances:
(1) If the resident is physically and mentally capable of caring for all aspects of the condition except insertion and irrigation.
(A) Irrigation shall only be performed by an appropriately skilled professional in accordance with the physician's orders.
(B) A catheter shall only be inserted and removed by an appropriately skilled professional under physician's orders.
(b) In addition to Section 87611, General Requirements for Allowable Health Conditions, the licensee shall be responsible for the following:
(1) Ensuring that insertion and irrigation of the catheter shall be performed by an appropriately skilled professional.
(2) Ensuring that the bag and tubing are changed by an appropriately skilled professional should the resident require assistance.
(A) The bag may be emptied by facility staff who receive instruction from an appropriately skilled professional.
(B) There shall be written documentation by an appropriately skilled professional outlining the instruction of the procedures delegated and the names of the facility staff who have been instructed.
(C) The licensee shall ensure that the professional reviews staff performance as often as necessary, but at least annually.
(3) Ensuring that waste materials shall be disposed of as specified in Section 87303(f)(1).
(4) Privacy shall be maintained when care is provided.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87707 to new section 87623, including amendment of section heading and subsections (b) and (b)(3), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87625. Managed Incontinence.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who has a manageable bowel and/or bladder incontinence condition under the following circumstances:
(1) The condition can be managed with any of the following:
(A) Self care by the resident.
(B) A structured bowel and/or bladder retraining program to assist the resident in restoring a normal pattern of continence.
(C) A program of scheduled toileting at regular intervals.
(D) The use of incontinent care products.
(b) In addition to Section 87611, General Requirements for Allowable Health Conditions, the licensee shall be responsible for the following:
(1) Ensuring that residents who can benefit from scheduled toileting are assisted or reminded to go to the bathroom at regular intervals rather than being diapered.
(2) Ensuring that incontinent residents are checked during those periods of time when they are known to be incontinent, including during the night.
(3) Ensuring that incontinent residents are kept clean and dry and that the facility remains free of odors from incontinence.
(4) Ensuring that bowel and/or bladder programs are designed by an appropriately skilled professional with training and experience in care of elderly persons with bowel and/or bladder dysfunction and development of retraining programs for restoration of normal patterns of continence.
(5) Ensuring that the appropriately skilled professional developing the bowel and/or bladder program provide training to facility staff responsible for implementation of the program.
(6) Ensuring that re-assessment of the resident's condition and the evaluation of the effectiveness of the bowel and/or bladder program be performed by an appropriately skilled professional.
(7) Ensuring that the condition of the skin exposed to urine and stool is evaluated regularly to ensure that skin breakdown is not occurring.
(8) Privacy shall be afforded when care is provided.
(9) Ensuring that fluids are not withheld to control incontinence.
(10) Ensuring that an incontinent resident is not catheterized to control incontinence for the convenience of the licensee.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87708 to new section 87625, including amendment of section heading and subsection (b), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87626. Contractures.
Note     •     History

(a) Except as specified in Section 87611(a), the licensee shall be permitted to accept or retain a resident who has contractures under the following circumstances:
(1) If the contractures do not severely affect functional ability and the resident is able to care for the contractures by him/herself. 

OR
(2) If the contractures do not severely affect functional ability and care and/or supervision is provided by an appropriately skilled professional.
(b) In addition to Section 87611(b), licensee shall be responsible for the following:
(1) Ensuring that range of motion or other exercise(s), if prescribed by the physician or physical therapist, are performed by an appropriately skilled professional or by facility staff who receive instruction from an appropriately skilled professional.
(2) Ensuring that prior to facility staff performing range of motion or other prescribed exercises, there shall be written documentation by the appropriately skilled professional, outlining instruction on the procedures and the names of the facility staff receiving instruction.
(3) Ensuring that the professional reviews staff performance as often as necessary, but at least annually.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87709 to new section 87626, including amendment of subsections (a) and (b), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87628. Diabetes.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who has diabetes if the resident is able to perform his/her own glucose testing with blood or urine specimens, and is able to administer his/her own medication including medication administered orally or through injection, or has it administered by an appropriately skilled professional.
(b) In addition to Section 87611, General Requirements for Allowable Health Conditions, the licensee shall be responsible for the following:
(1) Assisting residents with self-administered medication as specified in Section 87465, Incidental Medical and Dental Care Services.
(2) Ensuring that sufficient amounts of medicines, testing equipment, syringes, needles and other supplies are maintained and stored in the facility as specified in Section 87465(c).
(3) Ensuring that syringes and needles are disposed of as specified in Section 87303(f)(2).
(4) Providing modified diets as prescribed by a resident's physician as specified in Section 87555(b)(7).
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87710 to new section 87628, including amendment of subsections (b)-(b)(4), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87629. Injections.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires intramuscular, subcutaneous, or intradermal injections if the injections are administered by the resident or by an appropriately skilled professional.
(b) In addition to Section 87611, General Requirements for Allowable Health Conditions, the licensees who admit or retain residents who require injections shall be responsible for the following:
(1) Ensuring that injections are administered by an appropriately skilled professional should the resident require assistance.
(2) Ensuring that sufficient amounts of medicines, test equipment, syringes, needles and other supplies are maintained in the facility and are stored as specified in Section 87465(c).
(3) Ensuring that syringes and needles are disposed of as specified in Section 87303(f)(2).
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87711 to new section 87629, including amendment of subsections (b) and (b)(2)-(b)(3), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87631. Healing Wounds.
Note     •     History

(a) Except as specified in Section 87611(a), the licensee shall be permitted to accept or retain a resident who has a healing wound under the following circumstances:
(1) When care is performed by or under the supervision of an appropriately skilled professional.
(2) When the wound is the result of surgical intervention and care is performed as directed by the surgeon.
(3) Residents with a stage one or two pressure sore (dermal ulcer) must have the condition diagnosed by an appropriately skilled professional.
(A) The resident shall receive care for the pressure sore (dermal ulcer) from an appropriately skilled professional.
(B) All aspects of care performed by the medical professional and facility staff shall be documented in the resident's file.
(b) A skin tear is not a healing wound.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87713 to new section 87631, including amendment of subsection (a), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87632. Hospice Care Waiver.
Note     •     History

(a) In order to retain terminally ill residents and permit then to receive care from a hospice agency, the licensee shall have obtained a facility hospice care waiver from the Department. To obtain this waiver the licensee shall submit a written request for a waiver to the Department on behalf of any future residents who may request retention and hospice services in the facility. The request shall include, bur not be limited to the following:
(1) Specification of the maximum number of terminally ill residents which the facility wants to have at any one time.
(2) A statement by the licensee that they have read, Section 87633, Hospice Care for Terminally Ill Residents, this section, and all other requirements within Chapter 8 of Title 22 of the California Code of Regulations governing Residential Care Facilities for the Elderly and that they will comply with these requirements.
(3) A statement by the licensee that the terms and conditions of all hospice care plans which are designated as the responsibility of the licensee, or under the control of the licensee, shall be adhered to by the licensee.
(4) A written statement from the licensee that hospice services will only be provided to individuals who are residents of the facility, prior to the initiation of hospice services.
(b) The Department shall deny a waiver request if the licensee is not in substantial compliance with the provisions of the Residential Care Facilities for the Elderly Act (Health and Safety Code Section 1569 et seq.) and the requirements of Chapter 8 of Title 22 of the California Code of Regulations governing Residential Care Facilities for the Elderly.
(c) No waiver request will be approved unless the facility demonstrates the ability to meet the care and supervision needs of terminally ill residents, and states a willingness to provide additional care staff if required by the hospice care plan.
(d) If the Department grants a hospice care waiver it shall stipulate terms and conditions of the waiver as necessary to ensure the well-being of terminally ill residents and of all other facility residents, which shall include, but not be limited to, the following requirements:
(1) A written request shall be signed by each terminally ill resident or the resident's health care surrogate decision maker to allow his or her retention in the facility while receiving hospice services.
(A) The request shall be maintained in the resident's record at the facility, as specified in Section 87633(h)(1).
(2) The licensee shall notify the Department in writing within five working days of the initiation of hospice care services in the facility for any terminally ill resident. The notice shall include the resident's name and date of admission to the facility and the name and address of the hospice.
(e) Within 30 days of receipt of an acceptable request for a hospice care waiver, the department shall notify the applicant or licensee, in writing of one of the following:
(1) The request with substantiating evidence has been received and accepted for consideration.
(2) The request is deficient, describing additional information required for the request to be acceptable and a time frame for submitting this information.
(A) Failure of the applicant or licensee to comply within the time specified in (2) above shall result in denial of the request.
(3) Within 30 days of receipt of an acceptable request for a waiver, the licensing agency shall notify the applicant or licensee, in writing, whether the request has been approved or denied.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.10, 1569.11, 1569.15, 1569.31, 1569.312, 1569.54 and 1569.73, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87716.1 to new section 87632, including amendment of section heading, subsections (a) and (d)(1)(A) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87633. Hospice Care for Terminally Ill Residents.
Note     •     History

(a) The licensee shall be permitted to retain terminally ill residents who receive hospice services from a hospice agency in the facility if all of the following conditions are met:
(1) The licensee has received a hospice care waiver from the department.
(2) The licensee remains in substantial compliance with the requirements of this section, with the provisions of the Residential Care Facilities for the Elderly Act (Health and Safety Code Section 1569 et seq.), all other requirements of Chapter 8 of Title 22 of the California Code of Regulations governing Residential Care Facilities for the Elderly, and with all terms and conditions of the waiver.
(3) Hospice agency services are contracted for by each terminally ill resident individually, or the resident's Health Care Surrogate Decision Maker if the resident is incapacitated, not by the licensee on behalf of a resident. These hospice agency services must be provided by a hospice agency both licensed by the state and certified by the federal Medicare program.
(4) A written hospice care plan is developed for each terminally ill resident by that resident's hospice agency and agreed to by the licensee and the resident, or the resident's Health Care Surrogate Decision Maker, if any, prior to the initiation of hospice services in the facility for that resident, and all hospice care plans are fully implemented by the licensee and by the hospice(s).
(5) The retention of any terminally ill resident in the facility does not represent a threat to the health and safety of any facility resident, or result in a violation of the personal rights of any facility resident.
(6) The hospice agency and the resident agree to provide the licensee with all information necessary to allow the licensee to comply with all regulations and to assure that the resident's needs are met.
(b) A current and complete hospice care plan shall be maintained in the facility for each hospice resident and include the following:
(1) The name, office address, business telephone number, and 24-hour emergency telephone number of the hospice agency and the resident's physician.
(2) A description of the services to be provided in the facility by the hospice agency, including but not limited to the type and frequency of services to be provided.
(3) Designation of the resident's primary contact person at the hospice agency, and resident's primary and alternate care giver at the facility.
(4) A description of the licensee's area of responsibility for implementing the plan including, but not limited to, facility staff duties; record keeping; and communication with the hospice agency, resident's physician, and the resident's responsible person(s), if any. This description shall include the type and frequency of the tasks to be performed by the facility.
(A) The plan shall specify all procedures to be implemented by the licensee regarding the storage and handling of medications or other substances, and the maintenance and use of medical supplies, equipment, or appliances.
(B) The plan shall specify, by name or job function, the licensed health care professional on the hospice agency staff who will control and supervise the storage and administration of all controlled drugs (Schedule II-V) for the hospice client. Facility staff can assist hospice residents with self-medications without hospice personnel being present.
(C) The plan shall neither require nor recommend that the licensee or any facility personnel other than a physician or appropriately skilled professional implement any health care procedure which may legally be provided only be a physician or appropriately skilled professional.
(5) A description of all hospice services to be provided or arranged in the facility by persons other than the licensee, facility personnel, or the hospice agency including, but not limited to, clergy and the resident's family members and friends.
(6) Identification of the training needed, which staff members need this training, and who will provide the training relating to the licensee's responsibilities for implementation of the hospice care plan.
(A) The training shall include but not be limited to typical needs of hospice patients, such as turning and incontinence care to prevent skin breakdown, hydration, and infection control.
(B) The hospice agency will provide training specific to the current and ongoing needs of the individual resident receiving hospice care and that training must be completed before hospice care to the resident begins.
(7) Any other information deemed necessary by the Department to ensure that the terminally ill resident's needs for health care, personal care, and supervision are met.
(c) The licensee shall ensure that the hospice care plan complies with the requirements of this section, with the provisions of the Residential Care Facilities for the Elderly Act (Health and Safety Code Section 1569 et seq.), and all other requirements of Chapter 8 of Title 22 of the California Code of Regulations governing Residential Care Facilities for the Elderly.
(d) The licensee shall ensure that the hospice care plan is current, accurately matches the services actually being provided, and that the client's care needs are being met at all times.
(e) The Department may require that the licensee obtain a revision of the hospice care plan if the plan is not fully implemented, or if the Department has determined that revision of the plan is necessary to protect the health and safety of any facility resident.
(f) The licensee shall maintain a record of all hospice-related training provided to the licensee or facility personnel for a period of three years. This record shall be available for review by the Department.
(1) The record of each training session shall specify the names and credentials of the trainer, the persons in attendance, the subject matter covered, and the date and duration of the training session.
(g) In addition to the reporting requirements specified in Section 87211, Reporting Requirements, the licensee shall submit a report to the Department when a terminally ill resident's hospice services are interrupted or discontinued for any reason other than the death of the resident, including refusal of hospice care or discharge from hospice. The licensee shall also report any deviation from the resident's hospice care plan, or other incident, which threatens the health and safety of any resident.
(1) Such reports shall be made by telephone within one working day, and in writing within five working days, and shall specify all of the following:
(A) The name, age, sex of each affected resident.
(B) The date and nature of the event and explanatory background information leading up to the event.
(C) The name and business telephone number of the hospice agency.
(D) Actions taken by the licensee and any other parties to resolve the reportable event and to prevent similar occurrences in the future.
(h) For each terminally ill resident receiving hospice services in the facility, the licensee shall maintain the following in the resident's record:
(1) The resident's or the resident's Health Care Surrogate Decision Maker's written request for retention and hospice services in the facility, along with any Advance Health Care Directive, Request to Forego Resuscitative Measures, and/or Do-Not-Resuscitate Form executed by the resident or (in certain instances) the resident's Health Care Surrogate Decision Maker.
(2) The name, address, telephone number, and 24-hour emergency telephone number of the hospice agency and the resident's Health Care Surrogate Decision Maker, if any, in a manner that is readily available to the resident, the licensee, and facility staff.
(3) A copy of the written certification statement of the resident's terminal illness from the medical director of the hospice or the physician member of the hospice interdisciplinary group and the individual's attending physician, if the individual has an attending physician.
(4) A copy of the resident's current hospice care plan approved by the licensee, the hospice agency, and the resident, or the resident's Health Care Surrogate Decision Maker if the resident is incapacitated.
(5) A statement signed by the resident's roommate, if any, indicating his or her acknowledgement that the resident intends to receive hospice care in the facility for the remainder of the resident's life, and the roommate's voluntary agreement to grant access to the shared living space to hospice caregivers, and the resident's support network of family members, friends, clergy, and others.
(A) If the roommate withdraws the agreement verbally or in writing, the licensee shall make alternative arrangements which fully meet the needs of the hospice resident.
(i) Prescription medications no longer needed shall be disposed of in accordance with Section 87465(i).
(j) Approval from the Department is not needed for any of the restricted health conditions listed in Section 87612, Restricted Health Conditions, provided the resident is currently receiving hospice care, and the restricted health condition is addressed in the hospice care plan.
(1) In caring for a resident's health condition, facility staff, other than appropriately skilled health professionals, shall not perform any health care procedure that under law may only be performed by an appropriately skilled professional.
(k) The licensee shall maintain a record of dosages of medications that are centrally stored for each resident receiving hospice services in the facility.
(l) Residents receiving hospice care who are bedridden, may reside in the facility provided the facility meets the requirements of Section 87606, Care of Bedridden Residents.
(m) Nothing contained in this section or in Chapter 8 precludes the Department from requiring the relocation of a terminally ill resident whose needs for personal care and supervision or health care are not being met in the facility.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312, 1569.54, 1569.72 and 1569.73, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87716 to new section 87633, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
2. Amendment of subsection (l) and Note filed 7-9-2010; operative 8-8-2010 (Register 2010, No. 28).
§87637. Health Condition Relocation Order.
Note     •     History

(a) If a resident has a health condition which cannot be cared for within the limits of the license, requires inpatient care in a health facility, or has a health condition prohibited by Section 87455(c) or Section 87615, Prohibited Health Conditions, the Department shall order the licensee to relocate the resident.
(b) When the Department orders the relocation of a resident, the following shall apply:
(1) The Department shall give written notice to the licensee ordering the relocation of the resident and informing the licensee of the resident's right to an interdisciplinary team review of the relocation order as specified in Section 87638, Resident Request for Review of Health Condition Relocation Order. Notice of the health condition relocation order and information about the right to request an interdisciplinary team review of the relocation order shall be given to the resident, by the Department, and sent to the resident's responsible person, if any.
(A) If the resident has no responsible person, as defined in Section 87101, the relocation order shall be sent to the representative payee, if any. In such cases, the Department shall also notify the State Long-Term Care Ombudsman of the relocation order by telephone.
(B) The notice shall advise that the licensee may request an administrative review of the health condition relocation order, and may request that an exception or waiver be granted or reinstated by the Department to allow retention of the resident in the facility.
(2) The licensee shall prepare a written relocation plan in any instance where the Department does not suspend the facility license. The plan shall contain all necessary steps to be taken to reduce stress to the resident which may result in transfer trauma, and shall include but not be limited to:
(A) A specific date for beginning and a specific date for completion of the process of safely relocating the resident. The time frame for relocation may provide for immediate relocation but shall not exceed 30 days.
(B) A specific date when the resident and the resident's responsible person, if any, shall be notified of the need for relocation.
(C) A specific date when consultation with the resident's physician, and hospice agency, if any, shall occur to obtain a current medical assessment of the resident's health needs, to determine the appropriate facility type for relocation and to ensure that the resident's health care needs continue to be met at all times during the relocation process.
(D) The method by which the licensee shall participate in the identification of an acceptable relocation site with the resident and the responsible person, if any. The licensee shall advise the resident and/or the responsible person that if the resident is to be moved to another residential care facility for the elderly, a determination must be made that the resident's needs can be legally met in the new facility before the move is made. If the resident's needs cannot be legally met in the new facility, the resident must be moved to a facility licensed to provide the necessary care.
(E) A list of contacts made or to be made by the licensee with community resources, including but not limited to, social workers, family members, Long Term Care Ombudsman, clergy, Multipurpose Senior Services Programs and others as appropriate to ensure that services are provided to the resident before, during and after the move. The need for the move shall be discussed with the resident and the resident assured that support systems will remain in place.
(F) Measures to be taken until relocation to protect the resident and/or meet the resident's health and safety needs.
(G) An agreement to notify the Department when the relocation has occurred, including the resident's new address, if known.
(3) The relocation plan shall be submitted in writing to the Department within the time set forth in the LIC 809 (Rev. 5/88) Licensing Report by the Department that the resident requires health services that the facility cannot legally provide.
(4) Any changes in the relocation plan shall be submitted in writing to the Department. The Department shall have the authority to approve, disapprove or modify the plan.
(5) If relocation of more than one (1) resident is required, a separate plan shall be prepared and submitted in writing for each resident.
(6) The licensee shall comply with all terms and conditions of the approved plan. No written or oral contract with any other person shall release the licensee from the responsibility specified in this section or Section 87223, Relocation of Residents, for relocating a resident who has a health condition(s) which cannot be cared for in the facility and/or which requires inpatient care in a licensed health facility, nor from taking all necessary actions to reduce stress to the resident.
(7) In cases where the Department determines that the resident is in imminent danger because of a health condition(s) which cannot be cared for in the facility or which requires inpatient care in a licensed health facility, the Department shall order the licensee to immediately relocate the resident.
(A) No written relocation plan is necessary in cases of immediate relocation.
(c) In all cases when a resident must be relocated, the licensee shall not obstruct the relocation process and shall cooperate with the Department in the relocation process. Such cooperation shall include, but not be limited to, the following activities:
(1) Identifying and preparing for removal of the medications, Medi-Cal or Medicare or other medical insurance documents, clothing, safeguarded cash resources, valuables and other belongings of the resident.
(2) Contacting the person responsible for the resident to assist in transporting him or her, if necessary.
(3) Contacting other suitable facilities for placement, if necessary.
(4) Providing access to resident's files when required by the Department.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1250, 1569.1, 1569.2, 1569.31, 1569.312, 1569.54 and 1569.73, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87701.3 and former subsection 87582(j) to new section 87637, including amendment of subsections (a), (b)(1) and (b)(6), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87638. Resident Request for Review of Health Condition Relocation Order.
Note     •     History

(a) A resident, or the resident's responsible person, if any, shall be permitted to request a review and determination of the Department's health condition relocation order by the interdisciplinary team.
(1) If the resident has no responsible person, as defined in Section 87101, the Long-Term Care Ombudsman and/or the resident's representative payee, if any, shall be permitted to submit a request for review and determination on behalf of the resident.
(b) The resident, or the resident's responsible person, if any, shall have three (3) working days, from receipt of the relocation order, to submit to the licensee a written, signed and dated request for a review and determination by the interdisciplinary team.
(1) For purposes of this section, a working day is any day except Saturday, Sunday or an official state holiday.
(c) The licensee shall mail or deliver such a request to the Department within two (2) working days of receipt.
(1) Failure or refusal to do so may result in civil penalties, as provided in Section 87761, Penalties.
(d) The Department shall give written notification to the resident, or the resident's responsible person, if any, acknowledging receipt of the resident's request for review of the relocation order. Notification shall occur within three (3) working days of receipt by the Department of the request for review.
(e) Within ten (10) working days from the date of the resident's review request, the licensee shall submit to the Department the documentation specified in Section 87638(g) to complete the resident's review request.
(f) The licensee shall cooperate with the resident, or the resident's responsible person, if any, in gathering the documentation to complete the resident's review request.
(g) The documentation to complete the resident's review request shall include, but not be limited to, the following:
(1) The reason(s) for disagreeing that the resident has the health condition identified in the relocation order and why the resident believes he/she may legally continue to reside in a residential care facility for the elderly.
(2) A current medical assessment signed by the resident's physician.
(A) For purposes of this section, this assessment shall include the information specified in Sections 87611(a)(1)(A) through (E).
(B) For purposes of this section “current” shall mean a medical assessment completed on or after the date of the relocation order.
(3) An appraisal or reappraisal of the resident as specified in Sections 87457(c)(1) and 87463, Reappraisals.
(A) The licensee shall be permitted to use the form LIC 603 (Rev. 6/87), Preplacement Appraisal Information, to document the appraisal or reappraisal.
(4) A written statement from a placement agency, if any, currently involved with the resident, addressing the relocation order.
(h) The Department shall inform the resident and/or the resident's responsible person, if any, in writing, of the interdisciplinary team's determination and the reason for that determination not more than 30 days after the resident or his/her responsible person, if any, is notified of the need to relocate.
(i) The resident's right to a review of a health condition relocation order issued by the Department shall not:
(1) Nullify a determination by the Department that the resident must be relocated in order to protect the resident's health and safety as specified in Section 87637(a).
(2) Apply to eviction under Section 87224, Eviction Procedures.
(3) Imply a right to a state hearing or any other administrative review beyond that set forth in this section.
(4) Apply if the facility license has been temporarily suspended as specified in Section 87775(c).
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.54, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87701.5 to new section 87638, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87639. Administrative Review--Health Conditions.
Note     •     History

(a) For purposes of this article, any request for administrative review of a  notice of deficiency, notice of penalty, or health condition relocation order shall be submitted by the licensee or his/her designated representative in writing to the Department and, in addition to the requirements of Section 87763, Appeal Process, shall include the following:
(1) The reason(s) the licensee disagrees with the notice or order.
(2) Information about the resident as specified in Section 87611(a).
(3) A current appraisal or reappraisal of the resident as specified in Sections 87457(c)(1) and 87463, Reappraisals.
(4) A written statement from the resident's placement agency, if any, addressing the notice or order.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2(a), (e) and (j), 1569.312 and 1569.54, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87720 to new section 87639, including amendment of section heading, section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 7. Physical Environment
§87686. Alterations to Existing Buildings or New Facilities. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.1, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending article 7 heading and renumbering Section 87200 to Section 87686 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. Editorial correction inserting inadvertently omitted article heading, amending History 1, and removing renumbered sections 87600-87614 (Register 98, No. 8). For prior history of sections 87600-87614 see Register 88, No. 49.
3. Change without regulatory effect removing article 7 heading and renumbering former section 87686 to new section 87305 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87689. Fire Safety. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87202 to Section 87689 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
2. Change without regulatory effect renumbering former section 87689 to section 87203 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87690. Resident and Support Services. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87204 to Section 87690 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2. 
2. Change without regulatory effect renumbering former section 87690 to new section 87308 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87691. Maintenance and Operation. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1 and 1569.31, Health and Safety Code; and California Code of Regulations, Title 8, Section 5193.
HISTORY

1. Change without regulatory effect renumbering Section 87206 to Section 87691 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 87, No. 25.
2. Amendment of subsection (f)(2) and Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
4. Change without regulatory effect renumbering former section 87691 to new section 87303 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87692. Storage Space. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.30, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering Section 87208 to Section 87692 filed 11-17-88 (Register 88, No. 49). For prior history, see Registers 87, No. 25 and 85, No. 21.
2. Change without regulatory effect renumbering former section 87692 to new section 87309 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 8. Incidental Medical Services
§87700. Health and Safety Protection. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30(a) and 1569.698(c), Health and Safety Code. Reference: Sections 1569.2, 1569.30 and 1569.312, Health and Safety Code; and Section 680, Business and Professions Code. 
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89. For history of former section, see Registers 88, No. 49 and 82, No. 10.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis and filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9).
4. New subsection (c) and amendment of Note filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
5. Change without regulatory effect removing article 8 heading and renumbering former section 87700 to new section 87605 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87701. Prohibited Health Conditions. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.312 and 1569.72, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment of subsections (a), (a)(6) and (a)(18), and new subsection (a)(14) filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Change without regulatory effect amending subsection (a) and Note, repealing subsection (a)(2) and renumbering subsections filed 7-21-92; operative 7-21-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 30).
5. Repealer of subsection (a)(15), subsection renumbering, and amendment of Note filed 11-16-95 as an emergency; operative 11-16-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 5-14-96 pursuant to Health and Safety Code section 1569.698(c) or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-16-95 order including  amendment of Note transmitted to OAL 5-13-96 and filed 6-18-96 (Register 96, No. 25).
7. Repealer of subsection (a)(1) and subsection renumbering filed 5-16-97; operative 6-15-97 (Register 97, No. 20).
8. Repealer of subsections (a)(1)-(17), new subsections (a)(1)-(7) and amendment of Note filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
9. Amendment of subsection (a)(1), repealer of subsection (a)(3), subsection renumbering and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
11. Change without regulatory effect renumbering former section 87701 to new section 87615 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87701.1. Restricted Health Conditions. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.312 and 1569.72, Health and Safety Code.
HISTORY

1. Renumbering of former subsections 87582(i)(1)-(6) to subsections 87701.1(a)(2)-(7)(A) with amendments, new section heading, new subsections (a)-(a)(1)(A) and Note filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
2. Amendment of section and Note filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
3. Renumbering of former section 87701.1 to section 87701.2 and new section 87701.1 filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
4. Amendment of subsections (a) and (a)(9)-(10) and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-29-2003 order, including amendment of subsection (a)(9), transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
6. Change without regulatory effect renumbering former section 87701.1 to new section 87612 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87701.2. General Requirements for Restricted Health Conditions. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.312 and 1569.72, Health and Safety Code.
HISTORY

1. Renumbering of former section 87701.1 to section 87701.2 filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
2. Renumbering of former section 87701.2 to section 87701.3 and new section 87701.2 filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
4. Change without regulatory effect renumbering former section 87701.2 to new section 87613 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87701.3. Health Condition Relocation Order.
Note     •     History

(a) Except as provided in section 87582(e)(6)(A), in any instance where the Department does not suspend the facility license and the Department requires that a resident be relocated because the resident has a health condition(s) which cannot be cared for within the limits of the license of the facility or which requires inpatient care in a licensed health facility the licensee shall prepare a written relocation plan. The plan shall contain all necessary steps to be taken to reduce stress to the resident which may result in transfer trauma.
(1) The written relocation plan shall include, but not be limited to the following.
(A) A specific date for beginning and a specific date for completion of the process of safely relocating the resident. The time frame for relocation may provide for immediate relocation but shall not exceed 30 days.
(B) A specific date when the resident and the resident's responsible person, if any, shall be notified of the need for relocation.
(C) A specific date when consultation with the resident's physician shall occur to obtain a current medical assessment of the resident's health needs, to determine the appropriate facility type for relocation and to ensure that the resident's health care needs continue to be met at all times during the relocation process.
(D) The method by which the licensee shall participate in the identification of an acceptable relocation site with the resident and the responsible person, if any. The licensee shall advise the resident and/or the responsible person that if the resident is to be moved to another residential care facility for the elderly, a determination must be made that the resident's needs can be legally met in the new facility before the move is made. If the resident's needs cannot be legally met in the new facility, the resident must be moved to a facility licensed to provide the necessary care.
(E) A list of contacts made or to be made by the licensee with community resources, including but not limited to, social workers, family members, Long Term Care Ombudsman, clergy, Multipurpose Senior Services Programs and others as appropriate to ensure that services are provided to the resident before, during and after the move. The need for the move shall be discussed with the resident and the resident assured that support systems will remain in place.
(F) Measures to be taken until relocation to protect the resident and/or meet the resident's health and safety needs.
(G) An agreement to notify the Department when the relocation has occurred, including the resident's new address, if known.
(2) The relocation plan shall be submitted in writing to the Department within the time set forth in the written notice by the Department that the resident requires health services that the facility cannot legally provide.
(3) Any changes in the relocation plan shall be submitted in writing to the Department. The Department shall have the authority to approve, disapprove or modify the plan.
(4) If relocation of more than one (1) resident is required, a separate plan shall be prepared and submitted in writing for each resident.
(5) The licensee shall comply with all terms and conditions of the approved plan. No written or oral contract with any other person shall release the licensee from the responsibility specified in sections 87582(e) and (f) for relocating a resident who has a health condition(s) which cannot be cared for in the facility and/or which requires inpatient care in a licensed health facility, nor from taking all necessary actions to reduce stress to the resident.
(6) In cases where the Department determines that the resident is in imminent danger because of a health condition(s) which cannot be cared for in the facility or which requires inpatient care in a licensed health facility, the Department shall order the licensee to immediately relocate the resident.
(A) No written relocation plan is necessary in cases of immediate relocation.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1250, 1569.1, 1569.2, 1569.31, 1569.312, 1569.54 and 1569.73, Health and Safety Code.
HISTORY

1. Renumbering of former section 87701.2 to new section 87701.3, including amendment of Note, filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
3. Change without regulatory effect renumbering former section 87701.3 to new section 87637 and renumbering former subsection 87582(i) to section 87701.3 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87701.5. Resident Request for Review of Health Condition Relocation Order. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.30 and 1569.54, Health and Safety Code.
HISTORY

1. New section filed 2-4-93; operative 3-3-93 (Register 93, No. 6).
2. Change without regulatory effect amending subsection (i)(1) filed 6-1-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 22).
3. Change without regulatory effect renumbering former section 87701.5 to new section 87638 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87702. Allowable Health Conditions and the Use of Home Health Agencies. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.312 and 1569.725, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89. For history of former section, see Registers 88, No. 49 and 82, No. 10.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment of subsection (a) filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Amendment of subsection (a) and Note filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
5. Amendment of section heading, new subsections (b)-(c) and amendment of Note filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
6. Amendment of section and Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
8. Change without regulatory effect renumbering former section 87702 to new section 87609 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87702.1. General Requirements for Allowable Health Conditions. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment of subsection (a) filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order including new subsection (e) transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9).
4. Editorial correction of printing error restoring subsection (e) (Register 91, No. 32).
5. Change without regulatory effect amending subsection (e) filed 6-1-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 22).
6. New subsections (a)-(a)(4), subsection relettering, amendment of newly designated subsections (b)(2), (c) and (d) and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-29-2003 order, including amendment of subsections (a), (a)(3)-(4) and (d), transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
8. Change without regulatory effect renumbering former section 87702.1 to new section 87611 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87703. Oxygen Administration -- Gas and Liquid. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code, Reference: Sections 1569.2 and 1569.312, Health and Safety Code. 
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89. 
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90. 
3. Certificate of Compliance as to 9-14-89 order including amendment of subsection (b)(3)(F) transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Amendment of section heading, section and Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-29-2003 order, including amendment of subsection (b)(3)(F), transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
6. Change without regulatory effect renumbering former section 87703 to new section 87618 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87704. Intermittent Positive Pressure Breathing (IPPB) Machine. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code. 
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89. For history of former section, see Registers 88, No. 49 and 82, No. 10. 
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment of subsection (b) filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90. 
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Amendment of section heading, section and Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-29-2003 order, including amendment of section heading and subsection (a), transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
6. Change without regulatory effect renumbering former section 87704 to new section 87619 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 12. Dementia
§87705. Care of Persons with Dementia.
Note     •     History

(a) This section applies to licensees who accept or retain residents diagnosed by a physician to have dementia. Mild cognitive impairment, as defined in Section 87101(m), is not considered to be dementia. 
(b) In addition to the requirements as specified in Section 87208, Plan of Operation, the plan of operation shall address the needs of residents with dementia, including: 
(1) Procedures for notifying the resident's physician, family members and responsible persons who have requested notification, and conservator, if any, when a resident's behavior or condition changes. 
(2) Safety measures to address behaviors such as wandering, aggressive behavior and ingestion of toxic materials. 
(c) Licensees who accept and retain residents with dementia shall be responsible for ensuring the following: 
(1) The facility has a nonambulatory fire clearance for each room that will be used to accommodate a resident with dementia who is unable to or unlikely to respond either physically or mentally to oral instructions relating to fire or other dangers and to independently take appropriate actions during emergencies or drills. 
(2) The Emergency Disaster Plan, as required in Section 87212, addresses the safety of residents with dementia. 
(3) In addition to the on-the-job training requirements in Section 87411(d), staff who provide direct care to residents with dementia shall receive the following training as appropriate for the job assigned and as evidenced by safe and effective job performance: 
(A) Dementia care including, but not limited to, knowledge about hydration, skin care, communication, therapeutic activities, behavioral challenges, the environment, and assisting with activities of daily living; 
(B) Recognizing symptoms that may create or aggravate dementia behaviors, including, but not limited to, dehydration, urinary tract infections, and problems with swallowing; and 
(C) Recognizing the effects of medications commonly used to treat the symptoms of dementia. 
(4) There is an adequate number of direct care staff to support each resident's physical, social, emotional, safety and health care needs as identified in his/her current appraisal. 
(A) In addition to requirements specified in Section 87415, Night Supervision, a facility with fewer than 16 residents shall have at least one night staff person awake and on duty if any resident with dementia is determined through a pre-admission appraisal, reappraisal or observation to require awake night supervision. 
(5) Each resident with dementia shall have an annual medical assessment as specified in Section 87458, Medical Assessment, and a reappraisal done at least annually, both of which shall include a reassessment of the resident's dementia care needs. 
(A) When any medical assessment, appraisal, or observation indicates that the resident's dementia care needs have changed, corresponding changes shall be made in the care and supervision provided to that resident. 
(6) Appraisals are conducted on an ongoing basis pursuant to Section 87463, Reappraisals. 
(7) An activity program shall address the needs and limitations of residents with dementia and include large motor activities and perceptual and sensory stimulation. 
(d) In addition to requirements specified in Section 87303, Maintenance and Operation, safety modifications shall include, but not be limited to, inaccessibility of ranges, heaters, wood stoves, inserts, and other heating devices to residents with dementia. 
(e) Swimming pools and other bodies of water shall be fenced and in compliance with state and local building codes. 
(f) The following shall be stored inaccessible to residents with dementia: 
(1) Knives, matches, firearms, tools and other items that could constitute a danger to the resident(s). 
(2) Over-the-counter medication, nutritional supplements or vitamins, alcohol, cigarettes, and toxic substances such as certain plants, gardening supplies, cleaning supplies and disinfectants. 
(g) As required by Section 87468(a)(12), residents with dementia shall be allowed to keep personal grooming and hygiene items in their own possession, unless there is evidence to substantiate that the resident cannot safely manage the items. 
(1) Evidence means documentation from the resident's physician that the resident is at risk if allowed direct access to personal grooming and hygiene items. 
(h) Outdoor facility space used for resident recreation and leisure shall be completely enclosed by a fence with self-closing latches and gates, or walls, to protect the safety of residents. 
(i) The licensee may use wrist bands or other egress alert devices worn by the resident, with the prior written approval of the resident or conservator, provided that such devices do not violate the resident's rights as specified in Section 87468, Personal Rights. 
(j) The licensee shall have an auditory device or other staff alert feature to monitor exits, if exiting presents a hazard to any resident. 
(k) The following initial and continuing requirements must be met for the licensee to utilize delayed egress devices on exterior doors or perimeter fence gates:
(1) The licensee shall notify the licensing agency immediately after determining the date that the device will be installed.
(2) The licensee shall ensure that the fire clearance includes approval of delayed egress devices.
(3) Fire and earthquake drills shall be conducted at least once every three months on each shift and shall include, at a minimum, all direct care staff.
(4) Without violating Section 87468, Personal Rights, facility staff shall attempt to redirect a resident who attempts to leave the facility.
(5) Residents who continue to indicate a desire to leave the facility following redirection shall be permitted to do so with staff supervision.
(6) Without violating Section 87468, Personal Rights, facility staff shall ensure the continued safety of residents if they wander away from the facility.
(7) For each incident in which a resident wanders away from the facility unsupervised, the licensee shall report the incident to the licensing agency, the resident's conservator and/or other responsibile person, if any, and to any family member who has requested notification. The report shall be made by telephone no later than the next working day and in writing within seven calendar days.
(8) Delayed egress devices shall not substitute for trained staff in sufficient numbers to meet the care and supervision needs of all residents and to escort residents who leave the facility.
(9) The licensee shall not accept or retain residents determined by a physician to have a primary diagnosis of a mental disorder unreleated to dementia.
(l) The following initial and continuing requirements shall be met for the licensee to lock exterior doors or perimeter fence gates:
(1) Licensees shall notify the licensing agency of their intention to lock exterior doors and/or perimeter fence gates.
(2) The licensee shall ensure that the fire clearance includes approval of locked exterior doors or locked perimeter fence gates.
(3) The licensee shall obtain a waiver from Section 87468(a)(6), to prevent residents from leaving the facility.
(A) Facility staff shall attempt to redirect any unaccompanied resident(s) leaving the facility. 
(4) The licensee shall maintain either of the following documents in the resident's record at the facility:
(A) The conservator's written consent for admission for each resident who has been conserved under the Probate Code or the Lanterman-Petris-Short Act; or
(B) A written statement signed by each non-conserved resident that states the resident understands that the facility has exterior door locks or perimeter fence gate locks and that the resident voluntarily consents to admission.
(5) Interior and exterior space shall be available on the facility premises to permit residents with dementia to wander freely and safely.
(6) Locked exterior doors or perimeter fences with locked gates shall not substitute for trained staff in sufficient numbers to meet the care and supervision needs of all residents.
(7) The licensee shall not accept or retain residents determined by a physician to have a primary diagnosis of a mental disorder unrelated to dementia.
(8) Fire and earthquake drills shall be conducted at least once every three months on each shift and shall include, at a minimum, all direct care staff.
NOTE

Authority cited: Sections 1569.30 and 1569.698, Health and Safety Code. Reference: Sections 1569.2, 1569.31, 1569.312, 1569.698, 1569.699 and 13131, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order including amendment of subsections (b)(1)(A)-(C) transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Amendment of subsections (a), (a)(2), (b) and (b)(1)(A) and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-29-2003 order, including amendment of subsection (b)(1)(B), transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
6. Change without regulatory effect adopting article 12 heading, renumbering former section 87705 to new section 87621 and renumbering former section 87724 to section 87705, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87706. Advertising Dementia Special Care, Programming, and Environments.
Note     •     History

(a) In addition to the requirements in Section 87705, Care of Persons with Dementia, licensees who advertise, promote, or otherwise hold themselves out as providing special care, programming, and/or environments for residents with dementia or related disorders shall meet the following requirements: 
(1) The licensee shall ensure that direct care staff who provide care to any resident(s) with dementia meet the training requirements in Section 87707, Training Requirements if Advertising Dementia Special Care, Programming, and Environments, including six hours of resident care orientation within the first four weeks of employment and eight hours of in-service training per year on the subject of serving residents with dementia. 
(A) Direct care staff includes staff used for staff mealtime and break relief. 
(B) Direct care staff may provide dementia special care to residents in the facility or in designated areas of the facility. 
(2) In addition to the requirements specified in Sections 87208(a) and 87705(b), the licensee shall include in the plan of operation a brief narrative description of the following facility features: 
(A) Philosophy, including, but not limited to, program goals/objectives in relation to meeting the needs of residents with dementia. 
(B) Pre-admission assessment, including the types of assessment tools used to determine residents' dementia care needs and who will participate in the assessment. 
(C) Admission, including the following items that must be addressed when admitting a resident who requires dementia special care: 
1. Specification of the designated areas in the facility where dementia special care is provided, which may be the entire facility or only parts of it. 
2. Services available specific to residents with dementia. 
3. Procedures in place to ensure that the plan of operation is available for review upon request, as required by Section 87706(a)(3). 
(D) Assessment(s), including the following as they pertain to residents receiving dementia special care: 
1. Types of assessments used; 
2. Who will participate in resident assessments and procedures for ensuring the opportunity for resident and family involvement; and 
3. Frequency of assessments. 
(E) Activity program for residents with dementia, including, but not limited to: 
1. Types of activities; 
a. Activities may include cognitive/mental stimulation (e.g., crafts, reading, writing, music, current events, reminiscences, movies); physical activities (e.g., gross and fine motor skills); work activities and life skills; social activities; cultural/religious activities; sensory activities; individual/group activities (e.g., games); pet care; and outdoor activities (e.g., field trips, gardening). 
2. Frequency of activities; and 
3. The process to determine what types of activities shall be planned to encompass residents' needs. 
a. These needs are based on personal preferences, age, beliefs, culture, values, attention span, and life experiences (e. g., family and friend involvement, favorite pastimes, occupations, and geographic areas lived in and visited). 
(F) Staff qualifications. Describe the experience and education required for prospective direct care staff who will provide dementia special care. 
(G) Staff training. Describe the required training for direct care staff who provide dementia special care. At a minimum, the description shall include information on the time frame for training, as specified in Section 87707(a)(2), and the training topics, as specified in Section 87707(a)(2)(A). 
(H) Physical environment, including environmental factors that ensure a safe, secure, familiar and consistent environment for residents with dementia. 
1. Environmental factors that may be considered include: bedroom decor; architectural and safety features (e. g., wide hallways, handrails, delayed egress, secured perimeters); lighting; colors and visual contrasts; types of furniture; signs; noise factors; memory boxes; nourishment and hydration stations; and functional outdoor space and exercise pathways. 
(I) Changes in condition. Procedures to be followed when a resident's condition changes, including, but not limited to, an explanation of: 
1. When a new care plan is required; 
2. At what point a physician (if any) is involved in developing a care plan; 
3. Special techniques/programs (if any) used for managing specific types of behavior; and 
4. The conditions that would require a resident to be relocated. 
(J) Success indicators, including procedures to: 
1. Ensure an ongoing review of facility programs pertaining to care of residents with dementia; 
2. Make necessary adjustments to better meet residents' needs; and 
3. Assess the program's overall effectiveness/success. 
a. Examples of areas that may be reviewed include incident reports, staffing levels, input from others, and resident participation in program activities. 
(3) The admission agreement, as specified in Section 87507(e), shall inform the resident and the resident's responsible person, if any, or the conservator, that the facility features, as specified in Section 87706(a)(2), are described in the facility's plan of operation and that the plan of operation is available for review upon request. 
(4) The licensee shall maintain copies of all facility advertisements and marketing/promotional material that indicate the licensee provides special care, programming, and/or environments for residents with dementia or related disorders, and shall maintain the information for a minimum of three years. 
(A) This material shall be available to the public upon request. 
(B) This material shall also be available to the licensing agency to inspect, audit, copy, and remove (if necessary for copying) upon demand during normal business hours as specified in Section 87755(c). 
(b) Licensees who will discontinue advertising, promoting, or otherwise holding themselves out as providing special care, programming, and/or environments for residents with dementia or related disorders shall: 
(1) Provide written notification to the licensing agency and to the resident and the responsible person, if any, or the conservator, at least 30 calendar days prior to discontinuing advertising or promoting dementia special care, programming, and/or environments. 
(A) The notification shall specify the date that the licensee will cease advertising or promoting dementia special care, programming, and/or environments; and, therefore, shall no longer be required to meet the requirements specified in Section 87706(a) and the training requirements in Section 87707, Training Requirements if Advertising Dementia Special Care, Programming, and Environments.
(B) The licensee shall maintain a copy of the written notification in each resident's records. 
(2) On the date specified in the notification, cease all advertisements, publications, and/or announcements that pertain to dementia special care including, but not limited to, those in magazines, newspapers, consumer reports, telephone directory yellow pages, professional or service directories, Internet, radio and/or television commercials. 
(A) Long-term advertisements, such as yellow pages, shall be removed at the next renewal date. 
(3) On the date specified in the notification, remove all written references that indicate that the licensee provides dementia special care, programming, and/or environments from all promotional material, advertisements, and/or printed material, including admission agreements and the plan of operation. 
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15, 1569.22, 1569.31, 1569.312, 1569.33, 1569.355, 1569.62, 1569.625, 1569.626 and 1569.627, Health and Safety Code. 
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89. For history of former section, see Registers 88, No. 49 and 82, No. 10.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Change without regulatory effect amending subsection (a)(2) filed 6-1-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 22).
5. Change without regulatory effect renumbering former section 87706 to new section 87622 and renumbering former section 87725 to section 87706, including amendment of section heading and section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87707. Training Requirements If Advertising Dementia Special Care, Programming, and Environments.
Note     •     History

(a) Licensees who advertise, promote, or otherwise hold themselves out as providing special care, programming, and/or environments for residents with dementia or related disorders shall ensure that all direct care staff, described in Section 87706(a)(1), who provide care to residents with dementia, meet the following training requirements: 
(1) Direct care staff shall complete six hours of orientation specific to the care of residents with dementia within the first four weeks of working in the facility. 
(A) This orientation shall be repeated if either of the following occur: 
1. An employee returns to work for the same licensee after a break in service of more than 180 consecutive calendar days; or 
2. An employee goes to work for another licensee to provide dementia special care. 
(B) This orientation shall be separate from other training and be exclusively on the care of residents with dementia. 
(C) Various methods of instruction may be used, including, but not limited to, presenters knowledgeable about dementia; video instruction tapes; interactive material; books; and/or other materials approved by organizations or individuals specializing in dementia as specified in Section 87707(a)(2)(C). 
1. Instruction may include up to two hours of mentoring and hands-on training from direct care staff who have completed six hours of orientation specific to the care of residents with dementia and eight hours of in-service training on the subject of serving residents with dementia as specified in Sections 87707(a)(1) and (2). 
(D) The licensee shall maintain in the personnel records documentation on the orientation that includes the date(s), the hours provided, the names of staff in attendance, and the method(s) of instruction used. 
(2) Direct care staff shall complete at least eight hours of in-service training on the subject of serving residents with dementia within 12 months of working in the facility and in each succeeding 12-month period. Direct care staff hired as of July 3, 2004 shall complete the eight hours of in-service training within 12 months of that date and in each succeeding 12-month period. 
(A) A minimum of two of the following training topics shall be covered annually, and all topics shall be covered within a three-year period: 
1. Effects of medications on the behavior of residents with dementia; 
2. Common problems, such as wandering, aggression, and inappropriate sexual behavior; 
3. Positive therapeutic interventions and activities such as exercise, sensory stimulation, activities of daily living, and social, recreational and rehabilitative activities; 
4. Communication skills (resident/staff relations); 
5. Promoting resident dignity, independence, individuality, privacy and choice; and 
6. End of life issues, including hospice. 
(B) Training may be provided at the facility or offsite and may include a combination of observation and practical application. 
(C) The training shall be developed by, or in consultation with, an individual(s) or organization(s) with expertise in dementia care and with knowledge on the training topic areas specified in Section 87707(a)(2)(A). 
1. Examples of organizations that specialize in dementia care include, but are not limited to: the Alzheimer's Association, Alzheimer's Disease Diagnostic and Treatment Centers affiliated with the University of California, Family Caregiver Alliance and Caregiver Resource Centers, American Society on Aging, colleges and universities, and individuals with educational and professional qualifications specific to dementia. 
a. If the consultant and trainer are the same person(s), the documentation requirements specified in Sections 87707(a)(2)(D) and (F) shall both be met. 
(D) The licensee shall maintain the following documentation for the consultant(s) described in Section 87707(a)(2)(C): 
1. Name, address, and telephone number; 
2. Date(s) when consultation was provided; 
3. Organization affiliation (if any), as specified in Section 87707(a)(2)(C), and/or educational and professional qualifications specific to dementia; and 
4. The training topics, specified in Section 87707(a)(2)(A), for which consultation was provided. 
(E) All trainers shall meet the following education and experience requirements: 
1. A minimum of eight hours of certifiable continuing education or three semester units, or the equivalent, from an accredited educational institution, on topics relevant to caring for individuals with dementia. 
a. Examples of acceptable instruction include, but are not limited to, classes in aging, gerontology, geriatrics, and/or psychosocial needs of the elderly. 
2. One of the following experience requirements: 
a. Current employment as a consultant with expertise in dementia care, as specified in Section 87707(a)(2)(C). 
b. Two years full-time experience, or the equivalent, within the last four years, as an RCFE administrator or as a direct care provider for individuals with dementia. 
(F) The licensee shall maintain the following documentation on the trainer(s) described in Section 87707(a)(2)(E): 
1. Name, address, and telephone number; 
2. Topics/subject matter taught; 
3. Dates/hours of training provided; 
4. Notation that indicates which of the criteria for experience the trainer meets, as specified in Section 87707(a)(2)(E)2., and maintain verification of qualifying criteria; and 
5. Proof of completion of the educational requirements, as specified in Section 87707(a)(2)(E)1., which may include the following: 
a. If the educational hours/units are obtained through an accredited educational institution, documentation shall include a copy of a transcript or official grade slip showing a passing mark. 
b. If the educational hours/units are obtained through continuing education, documentation shall include a transcript or official grade slip showing a passing mark, if applicable, or a Certificate of Completion. 
(G) The documentation required in Sections 87707(a)(2)(D) and (F) shall be retained for at least three years following the date consultation services/training were provided. 
1. This documentation shall be available to the licensing agency to inspect, audit, copy, and remove (if necessary for copying) upon demand during normal business hours as specified in Section 87755(c). 
(H) The licensee shall maintain in the personnel records documentation on the in-service training required in Section 87707(a)(2) for direct care staff and include the training topic(s) covered, as required in Section 87707(a)(2)(A). 
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.31, 1569.33, 1569.62, 1569.625 and 1569.626, Health and Safety Code. 
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Amendment of subsections (b) and (b)(2)(A)-(B), new subsection (b)(2)(C) and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
6. Change without regulatory effect renumbering former section 87707 to new section 87623 and renumbering former section 87725.1 to section 87707, including amendment of section heading and section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87708. Managed Bowel and Bladder Incontinence. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2, 1569.31 and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89. For history of former section, see Registers 88, No. 49 and 82, No. 10.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Amendment of subsections (a)(1), (a)(1)(D), (b) and (b)(3), new subsection (b)(7), subsection renumbering and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
6. Change without regulatory effect renumbering former section 87708 to new section 87625 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87709. Contractures. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9).
4. Amendment of section and Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
6. Change without regulatory effect renumbering former section 87709 to new section 87626 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87710. Diabetes. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89. For history of former section, see Registers 88, No. 49 and 82, No. 10.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order including amendment of subsection (b)(4) transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9).
4. Amendment of subsections (b) and (b)(4) and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-29-2003 order, including amendment of subsection (b)(4), transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
6. Certificate of Compliance as to 12-29-2003 order, including amendment of subsection (b)(4), transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
7. Change without regulatory effect renumbering former section 87710 to new section 87628 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87711. Injections. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Amendment of subsection (b) and amendment of Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-29-2003 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
6. Change without regulatory effect renumbering former section 87711 to new section 87629 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87712. Protective Supervision. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30(a), Health and Safety Code. Reference: Sections 1569.2(a), (e) and (j), 1569.30(b) and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89. For history of former section, see Registers 88, No. 49 and 88, No. 2.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9).
4. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
5. Editorial correction of subsection (b)(4) (Register 92, No. 3).
6. Renumbering and amendment of former section 87712 to new section 87724 filed 11-16-95 as an emergency; operative 11-16-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 5-14-96 pursuant to Health and Safety Code section 1569.698(c) or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 11-16-95 order transmitted to OAL 5-13-96 and filed 6-18-96 (Register 96, No. 25).
§87713. Healing Wounds. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.2 and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
2. Certificate of Compliance transmitted 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Amendment of section and Note filed 12-29-2003 as an emergency; operative 1-1-2004 (Register 2004, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-29-2004 order transmitted to OAL 4-30-2004 and filed 6-10-2004 (Register 2004, No. 24).
6. Change without regulatory effect renumbering former section 87713 to new section 87631 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87714. Transfer Dependency. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1569.30(a), Health and Safety Code. Reference: Sections 1569.2(a), (e) and (j), 1569.30(b) and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89. For history of former section, see Registers 88, No. 49 and 88, No. 2.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Repealer filed 7-21-92; operative 7-21-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 30).
§87715. PRN Medications. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1569.30(a), Health and Safety Code. Reference: Sections 1569.2(a), (e) and (j), 1569.30(b) and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order including amendment of subsections (a)(2), (b), (c) and (c)(2) transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Editorial correction (Register 95, No. 33).
5. Repealer filed 5-16-97; operative 6-15-97 (Register 97, No. 20).
§87716. Hospice Care for Terminally Ill Residents. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31, 1569.312, 1569.54 and 1569.73, Health and Safety Code.
HISTORY

1. New section filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3). For prior history, see Register 88, No. 49.
2. Amendment of section and Note filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
3. Change without regulatory effect renumbering former section 87716 to new section 87633 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87716.1. Facility Hospice Care Waiver. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.10, 1569.11, 1569.15, 1569.30, 1569.31, 1569.312, 1569.54 and 1569.73, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 87124.1 to section 87716.1 filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
2. Change without regulatory effect renumbering former section 87716.1 to new section 87632 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87718. Admission Agreements. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.30, 1569.31, 1569.313 and 1770 et seq., Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 12-30-87; operative 1-29-88 (Register 88, No. 2).
2. Change without regulatory effect renumbering Section 87718 to Section 87568 filed 11-17-88 (Register 88, No. 49). For prior history, see Register 88, No. 2.
§87720. Administrative Review--Incidental Medical Services. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.30(a), Health and Safety Code. Reference: Sections 1569.2(a), (e) and (j), 1569.30, 1569.30(b), 1569.312 and 1569.54, Health and Safety Code.
HISTORY

1. Repealer and new section filed 2-4-93; operative 3-3-93 (Register 93, No. 6). For prior history, see Register 90, No. 9.
2. Change without regulatory effect renumbering former section 87720 to new section 87639 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87721. Incidental Medical Related Services Exceptions. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30(a), Health and Safety Code. Reference: Sections 1569.2(a), (e) and (j), 1569.30(b) and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis, with prior subsection (b) deleted and subsection (d) renumbered to subsection (b) and amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Amendment of subsection (a) filed 9-24-2001; operative 9-24-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 39).
5. Change without regulatory effect renumbering former section 87721 to new section 87616 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87722. Department Review. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2(a), (e) and (j), 1569.30(b) and 1569.312, Health and Safety Code.
HISTORY

1. New section filed 4-18-89 as an emergency; operative 4-18-89 (Register 89, No. 16). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-16-89.
2. Certificate of Compliance transmitted to OAL 8-15-89 and disapproved by OAL 9-14-89, and section readopted on an emergency basis with amendment filed 9-14-89 as an emergency; operative 9-14-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-16-90.
3. Certificate of Compliance as to 9-14-89 order transmitted to OAL 1-12-90 and filed 2-13-90 (Register 90, No. 9). 
4. Amendment of section heading and subsections (a), (a)(2) and (b), repealer of subsections (c) and (c)(1), and amendment of Note filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
5. Change without regulatory effect renumbering former section 87722 to new section 87617, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87724. Care of Persons with Dementia. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.30 and 1569.698, Health and Safety Code. Reference: Sections 1569.2, 1569.30, 1569.31, 1569.312, 1569.698, 1569.699 and 13131, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 87712 to new section 87724 filed 11-16-95 as an emergency; operative 11-16-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 5-14-96 pursuant to Health and Safety Code section 1569.698(c) or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-16-95 order including amendment of  section and Note transmitted to OAL 5-13-96 and filed 6-18-96 (Register 96, No. 25).
3. Change without regulatory effect amending subsections (b) and (c) filed 6-1-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 22).
4. Amendment of section and Note filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
5. Change without regulatory effect renumbering former section 87724 to section 87705 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87725. Advertising Dementia Special Care, Programming, and/or Environments. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.15, 1569.22, 1569.31, 1569.312, 1569.33, 1569.355, 1569.62, 1569.625, 1569.626 and 1569.627, Health and Safety Code. 
HISTORY

1. New section filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
2. Amendment of subsection (a)(4)(B) filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
3. Change without regulatory effect renumbering former section 87725 to section 87706 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87725.1. Training Requirements If Advertising Dementia Special Care, Programming, and/or Environments. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.31, 1569.33, 1569.62, 1569.625 and 1569.626, Health and Safety Code. 
HISTORY

1. New section filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
2. Amendment of subsection (a)(2)(G) filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
3. Change without regulatory effect renumbering former section 87725.1 to section 87707 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87725.2. Advertising Dementia Special Care, Programming, and/or Environments as of July 3, 2004. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.31, 1569.33, 1569.62, 1569.625, 1569.626 and 1569.627, Health and Safety Code. 
HISTORY

1. New section filed 6-3-2004; operative 7-3-2004 (Register 2004, No. 23).
2. Change without regulatory effect repealing section filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 9. Administrator Certification Training Programs
§87730. Initial Certification Training Program Approval Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code Reference: Sections 1569.23 and 1569.616, Health and Safety Code.
HISTORY

1. New section filed 1-16-92; operative 1-16-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 12).
2. New article 9 heading, amendment of subsections (e), (f) and (g), and amendment of Note filed 1-13-97; operative 1-13-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 3).
3. Amendment of article heading, section heading, section and Note filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
4. Amendment of subsection (h)(1)(A), new subsection (h)(1)(I) and amendment of subsection (h)(2)(B) filed 5-23-2001 as an emergency; operative 5-23-2001 (Register 2001, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-20-2001 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (h)(1)(A), new subsection (h)(1)(I) and amendment of subsection (h)(2)(B) refiled 9-19-2001 as an emergency; operative 9-19-2001 (Register 2001, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-17-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-19-2001 order transmitted to OAL 1-17-2002 and filed 2-21-2002 (Register 2002, No. 8).
7. Change without regulatory effect removing article 9 heading and renumbering former section 87730 to new section 87785 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87730.1. Denial of Request for Approval of an Initial Certification Training Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.16, 1569.23 and 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Change without regulatory effect renumbering former section 87730.1 to new section 87786 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87730.2. Revocation of an Initial Certification Training Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.16, 1569.51 and 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Change without regulatory effect renumbering former section 87730.2 to new section 87787 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87731. Continuing Education Training Program Vendor Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Section 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Change without regulatory effect renumbering former section 87731 to new section 87788 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87731.1. Continuing Education Training Program Course Approval Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Section 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Change without regulatory effect renumbering former section 87731.1 to new section 87789 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87731.2. Administrative Review of Denial or Revocation of a Request for Approval of a Continuing Education Course. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Section 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Change without regulatory effect renumbering former section 87731.2 to new section 87791 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87731.3. Denial of a Request for Approval of a Continuing Education Training Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.16, 1569.51 and 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Change without regulatory effect renumbering former section 87731.3 to new section 87792 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87731.4. Revocation of a Continuing Education Training Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.16, 1569.51 and 1569.616, Health and Safety Code.
HISTORY

1. New section filed 3-12-2001; operative 3-12-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. Change without regulatory effect renumbering former section 87731.4 to new section 87793 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 13. Enforcement
§87755. Inspection Authority of the Licensing Agency.
Note     •     History

(a) Any duly authorized officer, employee or agent of the licensing agency may, upon proper identification and upon stating the purpose of his/her visit, enter and inspect the entire premises of any place providing services at any time, with or without advance notice.
(b) The licensee shall ensure that provisions are made for private interviews with any resident or any staff member; and for the examination of all records relating to the operation of the facility.
(c) The licensing agency shall have the authority to inspect, audit, and copy resident or facility records upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the requirements in Sections 87412(f), 87506(d), and 87508(b). 
(d) The licensing agency shall have the inspection authority specified in Health and Safety Code Sections 1569.24, 1569.32, 1569.33 and 1569.35.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.24, 1569.33, 1569.34 and 1569.35, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting new article 13 (sections 87755-87769) and renumbering former section 87344 to new section 87755, including amendment of subsection (c), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87756. Evaluation Visit.
Note     •     History

(a) Every residential care facility for the elderly shall be evaluated as specified in Health and Safety Code Section 1569.33.
(b) Any number of other visits may be made to a facility for various purposes as determined to be necessary by the licensing agency to determine compliance with applicable laws and regulations.
(c) When a routine visit, evaluation or investigation of a complaint is conducted and the evaluator determines that a deficiency exists, the evaluator shall issue a notice of deficiency, unless the deficiency is minor and corrected during the visit.
(d) Prior to completion of a visit, evaluation or investigation, the evaluator shall meet with the licensee, administrator, operator, or other person in charge of the facility to discuss any deficiencies noted. At the meeting, a plan for correcting each deficiency shall be developed and included in the notice of deficiency. Prior to completion of the visit, the evaluator shall serve the notice of deficiency on the licensee by either:
(1) Personal delivery to the licensee, or
(2) If the licensee is not at the facility site, leaving the notice with the person in charge of the facility and also mailing a copy to the licensee.
(3) If the licensee or the person in charge of the facility refuses to accept the notice, a notation of the refusal shall be written on the notice and a copy left at the facility.
(A) Under such circumstances, a copy of the notice shall also be mailed to the licensee.
(e) The notice of deficiency shall be in writing and shall include:
(1) A reference to the statute or regulation upon which the deficiency is premised.
(2) A factual description of the nature of the deficiency fully stating the manner in which the licensee failed to comply with specified statute or regulation, and the particular place or area of the facility in which it occurred.
(3) The plan developed, as specified in (d) above, for correcting each deficiency.
(4) A date by which each deficiency shall be corrected.
(A) In prescribing the date for correcting a deficiency, the evaluator shall consider the following factors:
1. The seriousness of the deficiency.
2. The number of residents affected.
3. The availability of equipment or personnel necessary to correct the deficiency.
4. The estimated time necessary for delivery and any installation of necessary equipment.
(B) The evaluator shall require correction of the deficiency within 24 hours and shall specify on the notice the date by which the correction must be made whenever penalties are assessed pursuant to Sections 87761(c), (d) and (e).
(C) The date for correcting a deficiency shall not be more than 30 calendar days following service of the notice of deficiency, unless the evaluator determines that the deficiency cannot be completely corrected in 30 calendar days. If the date for correcting the deficiency is more than 30 days following service of the notice of deficiency the notice shall specify action which must be taken within 30 calendar days to begin correction.
(5) The amount of penalty which shall be assessed and the date the penalty shall begin if the deficiency is not corrected by the specific due date.
(6) The address and telephone number of the licensing office responsible for reviewing notices of deficiencies for the area in which the facility is located.
NOTE

Authority cited: Sections 1569.30 and 1569.49, Health and Safety Code. Reference: Sections 1569.11, 1569.24, 1569.31, 1569.315, 1569.32, 1569.33, 1569.335, 1569.34, 1569.35 and 1569.485, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87345 to new section 87756, subsections (a) and (b) and renumbering former section 87452 to new section 87756, subsections (c)-(e), including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87757. Licensee Complaints.
Note     •     History

(a) Each licensee shall have the right, without prejudice, to bring to the attention of the Department or the licensing agency, or both, any alleged misapplication or capricious enforcement of regulations by any licensing representative, or any substantial differences in opinion as may occur between the licensee and any licensing representative concerning the proper application of the Residential Care Facilities for the Elderly Act or of these regulations.
(b) Where applicable, a review of the complaint shall be conducted in accordance with Section 87763, Appeals Process.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Section 1569.335, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87343 to new section 87757, including amendment of subsection (b) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87758. Serious Deficiencies--Examples.
Note     •     History

(a) Regulations including, but not limited, to the following may result in serious deficiencies when a failure to comply presents an immediate or substantial threat to the physical health, mental health, or safety of the residents:
(1) Section 87355 relating to criminal record clearance.
(2) Section 87202 relating to fire clearance.
(3) Section 87204 relating to limitations on the number or types of facility residents.
(4) Section 87311 relating to telephone service.
(5) Sections 87455(c)(1) or (2), or (4), or Section 87615 relating to persons with communicable diseases, persons requiring inpatient health care, persons who are bedridden, or persons with a prohibited health condition.
(6) Section 87204(b) relating to nonambulatory residents.
(7) Section 87468(a)(3) relating to resident rights.
(8) Section 87608(a) relating to restraints.
(9) Sections 87307(d)(3) through (7) or (e) relating to safety of resident accommodations.
(10) Sections 87555(b)(24), (25), or (27) relating to storage, preparation and service of food.
(11) Section 87465(b)(3) relating to medical and dental care of residents.
(12) Section 87465(c) relating to storing and dispensing medications.
(13) Section 87303(e)(2) relating to hot water temperature.
(14) Sections 87303(e)(4), (5), or (6) relating to toilet, handwashing and bathing accommodations.
(15) Sections 87303(f)(1) or (2) relating to storage and disposal of solid wastes, syringes and needles.
(16) Section 87415 relating to night supervision.
(17) Section 87638 relating to licensees forwarding to the Department a resident's request for review by an interdisciplinary team of a health condition relocation order.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1, 1569.2, 1569.31, 1569.312, 1569.315, 1569.335, 1569.485, 1569.49 and 1569.54, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87451 to new section 87758, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87759. Follow-up Visits to Determine Compliance.
Note     •     History

(a) A follow-up visit shall be conducted within 10 working days following the latest date of correction specified in the notice of deficiency, unless the licensee has demonstrated that the deficiency was corrected as required in the notice of deficiency. No penalty shall be assessed unless a follow-up visit is conducted.
(b) If a follow-up visit indicates that a deficiency was not corrected on or before the date specified in the notice of deficiency, the evaluator shall issue a notice of penalty.
(c) A notice of penalty shall be in writing and shall include:
(1) The amount of penalty assessed, and the date the payment is due.
(2) The name and address of the agency responsible for collection of the penalty.
(d) When an immediate penalty has been assessed pursuant to sections 87761(c), (d), (e) and (f) and correction is made when the evaluator is present, a follow-up visit is not required.
NOTE

Authority cited: Sections 1569.30 and 1569.49, Health and Safety Code. Reference: Sections 1569.33, 1569.335, 1569.35, 1569.485 and 1569.49, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87453 to new section 87759, including amendment of subsection (d), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87761. Penalties.
Note     •     History

(a) A penalty of $50 per day, per cited violation, shall be assessed for all serious deficiencies that are not corrected by the date specified in the notice of deficiency, up to a maximum of $150 per day.
(b) Notwithstanding Section 87761(a) above, an immediate penalty of $100 per cited violation per day for a maximum of five (5) days shall be assessed if any individual required to be fingerprinted under Health and Safety Code Section 1569.17(b) has not obtained a California clearance or a criminal record exemption, requested a transfer of a criminal record clearance or requested and be approved for a transfer of an exemption as specified in Section 87355(e) prior to working, residing or volunteering in the facility. 
(1) Subsequent violations within a twelve (12) month period will result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days.
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1569.49. 
(3) Progressive civil penalties specified in Sections 87761(d) and (e) shall not apply. 
(c) Notwithstanding Section 87761(a) above, an immediate penalty of $150 per day shall be assessed for any of the following:
(1) Sickness, injury or death of a client has occurred as a result of the deficiency.
(d) When a facility is cited for a deficiency and violates the same regulation subsection within a 12-month period, the facility shall be cited and an immediate penalty assessment of $150 per cited violation shall be assessed for one day only. Thereafter a penalty of $50 per day, per cited violation, shall be assessed until the deficiency is corrected.
(e) When a facility that was cited for a deficiency subject to the immediate penalty assessment specified in Section 87761(d) above violates the same regulation subsection within a 12-month period of the last violation the facility shall be cited and an immediate penalty of $1,000 per cited violation shall be assessed for one day only. Thereafter, a penalty of $100 per day, per cited violation, until the deficiency is corrected.
(1) For purposes of Sections 87761(d) and (e) above, a regulation subsection is the regulation denoted by a lower-case letter after the main regulation number. 
(f) If any deficiency is not corrected by the date specified in the notice of deficiency, a penalty shall be assessed for each day following that date until compliance has been demonstrated.
(1) Immediate penalty assessment as specified in (c), (d) and (e) above, shall begin on the day the deficiency is cited.
(g) If a licensee or his/her representative reports to the licensing agency that a deficiency has been corrected, the penalty shall cease as of the day the licensing agency receives notification that the correction was made.
(1) If the deficiency has not been corrected, civil penalties shall continue to accrue.
(2) If it can be verified that the correction was made prior to the date of notification, the penalty shall cease as of that earlier date.
(h) If necessary, a site visit shall be made immediately or within five working days to confirm that the deficiency has been corrected.
(i) If an immediate civil penalty is assessed and the deficiency is corrected on the same day, the penalty shall still be assessed for that day.
(j) Unless otherwise ordered by the Department all penalties are due and payable upon receipt of notice for payment, and shall be paid only by check or money order made payable to the agency indicated in the notice.
(k) The licensing agency shall have the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in (j) above.
NOTE

Authority cited: Sections 1569.30 and 1569.49(a), Health and Safety Code. Reference: Sections 1569.17, 1569.33, 1569.335, 1569.35, 1569.485 and 1569.49, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87454 to new section 87761, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87763. Appeal Process.
Note     •     History

(a) A licensee or his/her representative may request in writing a review of a notice of deficiency, notice of penalty and/or health condition relocation order within 10 working days of receipt of the notice or order. This review shall be conducted by a higher level staff person other than the evaluator who issued the notice of deficiency, notice of penalty, and/or health condition relocation order.
(1) Additional review requirements pertaining to Incidental Medical Services are specified in Section 87639, Administrative Review -- Health Conditions.
(b) If the reviewer determines that a notice of deficiency or notice of penalty was not issued in accordance with applicable statutes and regulations of the Department, he/she shall amend or dismiss the notice. In addition, the reviewer may extend the date specified for correction of a deficiency if warranted by the facts or circumstances presented to support a request for extension.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.33, 1569.335, 1569.35, 1569.485, 1569.49 and 1569.54, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87455 to new section 87763, including amendment of section heading, subsection (a)(1) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87766. Denial or Revocation of License for Failure to Pay Civil Penalties.
Note     •     History

(a) The licensee shall be responsible for paying civil penalties. 
(1) Unless otherwise provided, the transfer, surrender, forfeiture or revocation of a license shall not affect the licensee's responsibility for paying any civil penalties accrued while the license was in effect. 
(b) The Department shall have the authority to deny or revoke any license for failure to pay civil penalty assessments. 
(1) The Department shall have the authority to approve payment arrangements acceptable to the Department. 
(2) The Department shall have the authority to approve the form of payment. 
(3) The licensee's failure to pay civil penalty assessments pursuant to a payment plan approved by the Department may result in the denial or revocation of any license, and/or any other appropriate action. 
(c) Any denial or revocation of the license for failure to pay civil penalties may be appealed as provided by Health and Safety Code Section 1569.51. 
NOTE

Authority cited: Sections 1569.30 and 1569.49, Health and Safety Code. Reference: Sections 1569.17, 1569.33, 1569.335, 1569.35, 1569.485, 1569.49 and 1569.51, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87455.1 to new section 87766 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87768. Unlicensed Facility Penalties.
Note     •     History

(a) A penalty of $100 per day per resident shall be assessed for the operation of an unlicensed facility under either of the following conditions:
(1) The operator has not submitted a completed application for licensure within 15 calendar days of issuance of the Notice of Operation in Violation of Law pursuant to Section 87106.
(A) For purposes of this section, an application shall be deemed completed if it includes the information required in Section 87155, Application for License.
(B) The completed application shall be deemed to be submitted when received by the licensing agency.
(2) Unlicensed operation continues after denial of the initial application.
(A) Notwithstanding any appeal action, facility operation must cease within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first.
(b) A $200 per day per resident penalty shall be assessed for the continued operation of an unlicensed facility as follows:
(1) On the 16th calendar day after the operator has been issued the Notice of Operation in Violation of Law, and has not submitted a completed application as required.
(A) The $200 per day per resident penalty shall continue until the operator ceases operation, or submits a completed application pursuant to Section 87768(a)(1)(A) and (B).
(2) Within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first.
(A) The $200 per day per resident penalty shall continue until the operator ceases operation.
(c) If the unlicensed operator or his/her representative reports to the licensing agency that unlicensed operation, as defined in 1569.44 of the Health and Safety Code, has ceased, the penalty shall cease as of the day the licensing agency receives the notification.
(1) A site visit shall be made immediately or within five working days to verify that the unlicensed facility operation has ceased.
(2) Notwithstanding (c) above, if the unlicensed facility operation has not ceased, penalties shall continue to accrue without interruption from the date of initial penalty assessment.
(d) All penalties shall be due and payable upon receipt of the Notice of Payment from the licensing agency, and shall be paid by cheek or money order made payable to the agency indicated in the notice.
(e) The licensing agency shall have the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in (d) above.
NOTE

Authority cited: Section 1569.30a, Health and Safety Code. Reference: Sections 1569.10, 1569.44, 1569.45 and 1569.485, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87457 to new section 87768, including amendment of subsections (a)(1), (a)(1)(A) and (b)(1)(A), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87769. Unlicensed Facility Administrative Appeal.
Note     •     History

(a) An unlicensed facility operator or his/her representative shall have the right to appeal the penalty assessment within 10 working days after service of the penalty assessments.
(1) If the unlicensed facility operation has not ceased, the $200 per day penalty shall continue to accrue during the appeal process.
(b) The appeal review shall be conducted by a higher level staff person than the evaluator who issued the penalty.
(c) If the reviewer of the appeal determines that the penalty assessment was not issued in accordance with applicable statutes and regulations of the Department, he/she shall have the authority to amend or dismiss the penalty assessment.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.10, 1569.44, 1569.45 and 1569.485, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87458 to new section 87769 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 14. Administrative Actions -- General
§87775. Revocation or Suspension of License.
Note     •     History

(a) Pursuant to the provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2, of the Government Code, the Department may suspend or revoke any license on any of the grounds stipulated in Health and Safety Code Sections 1569.1515(c) and 1569.50.
(b) When the Director intends to seek revocation of a license, the Director shall notify the licensee of the proposed action and at the same time shall serve such person with an accusation. The licensee has a right to a hearing prior to the revocation or suspension of a license, except as provided in (c) below.
(c) The Director may temporarily suspend any license prior to any hearing when in the Director's opinion such action is necessary to protect the residents in the facility from any physical or mental abuse or any other substantial threat to health or safety. When the Director intends to temporarily suspend a license prior to a hearing, the Director shall notify the licensee of the temporary suspension and the effective date thereof and at the same time serve the licensee with an accusation.
(d) For either a revocation action or a revocation and temporary suspension action, the Director shall within fifteen (15) days of receipt of notice of defense ask the Office of Administrative Hearings to set the matter for hearing.
(e) For a revocation and temporary suspension action, the Director shall ask the Office of Administrative Hearings to hold the hearing as soon as possible but not later than thirty (30) days after receipt of the Notice of Defense.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.1515, 1569.50, 1569.51, 1569.52 and 1569.53, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting new article 14 (sections 87775-87777) and renumbering former section 87342 to new section 87775, including amendment of Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87777. Exclusions.
Note     •     History

(a) The Department may prohibit an individual from serving as a board of directors, executive director, or officer; being employed or allowed in a licensed facility as specified in Health and Safety Code Sections 1569.58 and 1569.59.
NOTE

Authority cited: Section 1569.30, Health and Safety Code. Reference: Sections 1569.58 and 1569.59, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87346 to new section 87777 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 15. Administrator Certification Training Programs -- Vendor Information
§87785. Initial Certification Training Program Approval Requirements.
Note     •     History

(a) Initial Certification Training Programs shall be approved by the Department prior to being offered to applicants for licensure or administrator certification.
(b) Any vendor applicant seeking approval of an Initial Certification Training Program shall submit a written request to the Department using the forms LIC 9140 and LIC 9141, or a replica. The request shall be signed under penalty of perjury and contain the following:
(1) Name, address, and phone number of the vendor applicant requesting approval and the name of the person in charge of the program.
(2) Subject title, classroom hours, proposed dates, duration, time, location, and proposed instructor of each component.
(3) Written description and educational objectives for each component.
(4) Qualifications of each proposed instructor as specified in Section 87785(i)(6).
(5) Geographic areas in which the Training Program will be offered.
(6) Types of records to be maintained, as required by Section 87785(i)(4). 
(7) A statement of whether or not the vendor applicant held or currently holds a license, certification or other approval as a professional in a specified field and the certificate or license number(s). 
(8) A statement of whether or not the vendor applicant held or currently holds a community care facility license or was or is employed by a licensed community care facility and the facility number. 
(9) A statement of whether or not the vendor applicant was the subject of any administrative, legal or other action involving licensure, certification or other approvals as specified in Sections 87785(b)(7) and (8). 
(10) A processing fee of one hundred-fifty dollars ($150). 
(c) Initial Certification Training Program approval shall expire two (2)  years from the date the program is approved.
(d) A written request for renewal of the Initial Certification Training Program shall be submitted to the Department using the forms LIC 9140 and LIC 9141, or a replica, and shall contain the information and processing fee specified in Section 87785(b). 
(e) If a request for approval or renewal of an Initial Certification Training Program is incomplete, the Department shall, within thirty (30) days of receipt, give written notice to the vendor applicant that: 
(1) The request is deficient, describing which documents or information are outstanding and/or inadequate, and informing the vendor applicant that the information must be submitted within thirty (30) days of the date of the notice.
(f) If the vendor applicant does not submit the requested information within thirty (30) days, the request for approval or renewal shall be deemed withdrawn provided that the Department has not denied or taken action to deny the request.
(g) Within thirty (30) days of receipt of a complete request for an approval, the Department shall notify the vendor applicant in writing whether the request has been approved or denied.
(h) The Initial Certification Training Program shall consist of the following components:
(1) A minimum of forty (40) classroom hours with the following Core of Knowledge curriculum:
(A) Eight (8) hours of instruction in laws, including residents' personal rights, regulations, policies, and procedural standards that impact the operations of residential care facilities for the elderly.
(B) Three (3) hours of instruction in business operations.
(C) Three (3) hours of instruction in management and supervision of staff.
(D) Five (5) hours of instruction in the psychosocial needs of the elderly.
(E) Five (5) hours of instruction in the physical needs of the elderly.
(F) Two (2) hours of instruction in the use of community and support services to meet residents' needs.
(G) Five (5) hours of instruction in the use, misuse, and interaction of drugs commonly used by the elderly.
(H) Five (5) hours of instruction on admission, retention, and assessment procedures.
(I) Four (4) hours of instruction in the care of residents with Alzheimer's Disease and other dementias.
(2) A standardized test administered by the Department.
(A) Individuals completing an Initial Certification Training Program must pass the test with a minimum score of seventy percent (70%).
(B) The test questions shall reflect the hour value of the nine (9) Core of Knowledge areas specified in Sections 87785(h)(1)(A) through (I). 
(i) Initial Certification Training Program vendors shall: 
(1) Offer all forty (40) of the classroom hours required for certification.
(2) Establish a procedure to allow participants to make up any component necessary to complete the program.
(3) Within seven (7) days of determination that an individual has completed 40 hours of class instruction, submit the participant's name to the Department.
(4) Maintain and ensure that written records are available for review by Department representatives. Records shall be maintained for three (3) years. These records shall include the following information: 
(A) Class schedules, dates and descriptions
(B) List of instructors and documentation of qualifications of each, as specified in Section 87785(i)(6). 
(C) Names of registered participants and documentation of completion of the program.
(D) Evaluations by participants of courses and instructors. 
(5) Ensure that all classes are open to monitoring and inspection by Department representatives.
(6) Have instructors who have knowledge and/or experience in the subject area to be taught and who meet at least one of the the following criteria:
(A) Possession of a four (4) year college degree and two (2) years' experience relevant to the course(s) to be taught, or 
(B) Four (4) years' experience relevant to the course(s) to be taught, or 
(C) Be a professional, in a related field, with a valid license to practice in California, or 
(D) Have at least four (4) years' experience in California as an administrator of a residential care facility for the elderly, within the last eight (8) years, and with a record of administering facilities in substantial compliance, as defined in Section 87101(s)(6). 
(7) A minimum of ten (10) hours of instruction must be provided by an instructor(s) who meet(s) the criteria specified in Section 87785(i)(6)(D). 
(A) Where good faith efforts to employ an instructor who meets the criteria specified in Section 87785(i)(6)(D) are unsuccessful, vendors may apply to the administrator certification section for a waiver of this requirement. 
(j) Initial Certification Training Program Vendors shall allow Department representatives to monitor and inspect Training Programs. 
(k) Initial Certification Training Program Vendors shall not instruct or “co-locate” more than one program type (ARF, RCFE, GH) at one time. 
(l) Initial Certification Training Program Vendors that are also seeking certification shall not be permitted to receive credit for attending the vendor's own Initial Certification Training Program.
NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code Reference: Sections 1569.23 and 1569.616, Health and Safety Code.
HISTORY

1. Change without regulatory effect adopting article 15 heading and renumbering former section 87730 to new section 87785, including amendment of section and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87786. Denial of Request for Approval of an Initial Certification Training Program.
Note     •     History

(a) The Department may deny a request for approval of an Initial Certification Training Program in accordance with Section 1569.616(i)(l) of the Health and Safety Code. The Department shall provide the applicant with a written notice of denial
(b) The applicant may appeal the denial of the application in accordance with Section 1569.51 of the Health and Safety Code. 
(c) Any request for approval submitted by a vendor applicant whose application has been previously denied shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1569.16(b).
NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.16, 1569.23 and 1569.616, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87730.1 to new section 87786 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87787. Revocation of an Initial Certification Training Program.
Note     •     History

(a) The Department may revoke an Initial Certification Training Program approval and remove the vendor from the list of approved vendors if the vendor does not provide training consistent with Section 87785, Initial Certification Training Program Approval Requirements, or 
(1) Is unable to provide training due to lack of staff, funds or resources, or 
(2) Misrepresents or makes false claims regarding the training provided, or 
(3) Demonstrates conduct in the administration of the program that is illegal, inappropriate, or inconsistent with the intent or requirements of the program, or 
(4) Misrepresents or makes false statements in the vendor application. 
(b) The vendor may appeal the revocation in accordance with Health and Safety Code Section 1569.51. 
(c) Any application for approval of an Initial Certification Training Program submitted by a vendor applicant whose approval has been previously revoked shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1569.16.
NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.16, 1569.51 and 1569.616, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87730.2 to new section 87787, including amendment of subsection (a), filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87788. Continuing Education Training Program Vendor Requirements.
Note     •     History

(a) Any vendor applicant seeking approval as a vendor of a Continuing Education Training Program shall obtain vendor approval by the Department prior to offering any course to certificate holders. 
(b) Any vendor applicant seeking approval to become a vendor of a Continuing Education Training Program shall submit a written request to the Department using the forms LIC 9140 and LIC 9141, or a replica. The request shall be signed under penalty of perjury and contain the following: 
(1) Name, address and phone number of the vendor applicant requesting approval and the name of the person in charge of the Program. 
(2) A statement of whether or not the vendor applicant held or currently holds a license, certification or other approval as a professional in a specified field and the license or certificate number. 
(3) A statement of whether or not the vendor applicant held or currently holds a community care facility license or was or is employed by a licensed community care facility and the license number. 
(4) A statement of whether or not the vendor applicant was the subject of any administrative, legal or other action involving licensure, certification or other approvals as specified in Sections 87788(b)(2) and (3). 
(5) A processing fee of one hundred dollars ($100). 
(c) Continuing Education Training Program vendor approval shall expire two (2) years from the date the vendorship is approved by the Department. 
(d) A written request for renewal of the Continuing Education Training Program shall be submitted to the Department using the forms LIC 9140 and LIC 9141, or a replica, and shall contain the information and processing fee specified in Section 87788(b). 
(e) If a request for approval or renewal of a Continuing Education Training Program is incomplete, the Department shall, within thirty (30) days of receipt, give written notice to the vendor applicant that: 
(1) The request is deficient, describing which documents or information are outstanding and/or inadequate and informing the vendor applicant that the information must be submitted within thirty (30) days of the date of the notice. 
(f) If the vendor applicant does not submit the requested information within thirty (30) days, the request for approval or renewal shall be deemed withdrawn, provided that the Department has not denied or taken action to deny the request. 
(g) Within thirty (30) days of receipt of a complete request for an approval or renewal, the Department shall notify the vendor applicant in writing whether the request has been approved or denied. 
(h) Continuing Education Training Program vendors shall: 
(1) Maintain and ensure that written records are available for review by Department representatives. Records shall be maintained for three (3) years. The records shall include the following: 
(A) Course schedules, dates and descriptions. 
(B) List of instructors and documentation of qualifications of each as specified in Section 87788(h)(2). 
(C) Names of registered participants and documentation of completion of the courses. 
(D) Evaluations by participants of courses and instructors. 
(2) Have instructors who have knowledge and/or experience in the subject area to be taught and who meet at least one of the following criteria: 
(A) Possession of a four (4) year college degree and two (2) years experience relevant to the course to be taught, or 
(B) Four (4) years experience relevant to the course to be taught, or 
(C) Be a professional, in a related field, with a valid license to practice in California, or 
(D) Have at least four (4) years experience in California as an administrator of a residential care facility for the elderly, within the last eight (8) years, and with a record of administering facilities in substantial compliance as defined in Section 87101(s)(6). 
(i) Courses approved for continuing education credit shall require the physical presence of the certificate holder in a classroom setting, except that: 
(1) The Department may approve courses where the technology permits the simultaneous and interactive participation of the certificate holder, provided such participation is verifiable. 
(j) Any changes to courses previously approved by the Department must be submitted and approved by the Department prior to being offered. 
(k) Continuing Education Training Program vendors shall allow Department representatives to monitor and inspect Training Programs. 
(l) Continuing Education Training Program vendors who teach courses that the Department has approved for more than one program type (ARF, RCFE, GH), may provide “multiple crediting,” that is, more than one certification for the course, to those who complete the course satisfactorily. 
(m) Continuing Education Training Program vendors that the Department has approved for more than one program type (ARF, RCFE, GH), may “co-locate” or instruct specified courses for more than one program type. 
(n) Continuing Education Training Program vendors who are also certificate holders shall not be permitted to receive credit for attending the vendor's own Continuing Education Training Program courses.
NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Section 1569.616, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87731 to new section 87788, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87789. Continuing Education Training Program Course Approval Requirements.
Note     •     History

(a) Any Continuing Education Training Program course shall be approved by the Department prior to being offered to certificate holders. 
(1) At the sole discretion of the Department, continuing education credit may be granted for training provided by the Department's licensing staff. 
(b) Any vendor applicant seeking approval of a Continuing Education Training Program course shall submit a written request to the Department using the forms LIC 9140 and LIC 9141, or a replica. The request shall be signed under penalty of perjury and contain the following: 
(1) Subject title, classroom hours, scheduled dates, duration, time, location, and proposed instructor of each course. 
(2) Written description and educational objectives for each course, teaching methods, course content and a description of evaluation methods. 
(3) Qualifications of each proposed instructor, as specified in Section 87788(h)(2). 
(4) Types of records to be maintained, as required in Section 87788(h)(1). 
(5) A statement of whether or not the instructor held or currently holds a license, certification or other approval as a professional in a specified field and the license or certificate number. 
(6) A statement of whether or not the instructor held or currently holds a community care facility license or was, or is, employed by a licensed community care facility and the facility number. 
(7) A statement of whether or not the proposed instructor was the subject of any administrative, legal or other action involving licensure, certification or other approvals as specified in Sections 87789(b)(5) and (6). 
(c) Course approval shall expire on the expiration date of the vendor's Continuing Education Training Program vendorship approval, as provided in Section 87788(c). 
(1) To renew a course, the vendor applicant shall submit a written request to the Department using the forms LIC 9139 and LIC 9141, or a replica. 
(d) If a request for approval or renewal of a Continuing Education Training Program course is incomplete, the Department shall, within thirty (30) days of receipt, give written notice to the vendor applicant that: 
(1) The request is deficient, describing which documents or information are outstanding and/or inadequate and informing the vendor applicant that the information must be submitted within thirty (30) days of the date of the notice. 
(e) If the vendor applicant does not submit the requested information within thirty (30) days, the request for approval or renewal shall be deemed withdrawn, provided that the Department has not denied or taken action to deny the request. 
(f) Within thirty (30) days of receipt of a complete request for an approval or renewal, the Department shall notify the vendor applicant in writing whether the course has been approved or denied. 
(g) Any changes to previously approved courses must be submitted to the Department for approval prior to being offered, which shall contain the information specified in Section 87789(b). 
(h) Continuing Education Training Program vendors shall allow Department representatives to monitor and inspect the training courses.
NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Section 1569.616, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87731.1 to new section 87789, including amendment of section, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87791. Administrative Review of Denial or Revocation of a Request for Approval of a Continuing Education Course.
Note     •     History

(a) A vendor may seek administrative review of the denial or revocation of course approval as follows: 
(1) The vendor must request administrative review in writing within ten (10) days of the receipt of the Department's notice denying or revoking course approval. 
(2) The administrative review shall be conducted by a higher-level staff person than the person who denied or revoked course approval. 
(3) If the reviewer determines that the denial or revocation of course approval was not issued in accordance with applicable statutes and regulations of the Department, or that other circumstances existed, he/she shall have the authority to amend the denial or revocation of course approval. 
(4) The decision of the higher-level staff person shall be final.
NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Section 1569.616, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87731.2 to new section 87791 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87792. Denial of a Request for Approval of a Continuing Education Training Program.
Note     •     History

(a) The Department may deny a request for approval of a Continuing Education Training Program in accordance with Health and Safety Code Section 1569.616(i)(l). The Department shall provide the applicant with a written notice of the denial.
(b) The vendor applicant may appeal the denial of the application in accordance with Health and Safety Code Section 1569.51. 
(c) Any request for approval submitted by a vendor applicant whose application has been previously denied shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1569.16(b).
NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.16, 1569.51 and 1569.616, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87731.3 to new section 87792 filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§87793. Revocation of a Continuing Education Training Program.
Note     •     History

(a) The Department may revoke a Continuing Education Training Program approval and remove the vendor from the list of approved vendors if the vendor does not provide training consistent with Sections 87788, Continuing Education Training Program Vendor Requirements, and 87789, Continuing Education Training Program Course Approval Requirements.
(1) Is unable to provide training due to lack of staff, funds or resources; or 
(2) Misrepresents or makes false claims regarding the training provided; or 
(3) Demonstrates conduct in the administration of the program that is illegal or inconsistent with the intent of the program; or 
(4) Misrepresents or makes false statements in the vendor application. 
(b) The vendor may appeal the revocation in accordance with Health and Safety Code Section 1569.51. 
(c) Any application for approval of a Continuing Education Training Program submitted by a vendor applicant whose approval has been previously revoked shall be processed by the Department in accordance with the provisions of Health and Safety Code Section 1569.16.
NOTE

Authority cited: Sections 1569.23(d), 1569.30 and 1569.616(j), Health and Safety Code. Reference: Sections 1569.16, 1569.23, 1569.51 and 1569.616, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 87731.4 to new section 87793, including amendment of subsection (a) and Note, filed 3-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Chapter 8.5. Residential Care Facilities for the Chronically Ill
Article 1. License
§87800. General.
Note     •     History

The provisions of Chapters 1 and 8, Division 6 of Title 22 of the California Code of Regulations shall not apply to the provisions of Chapter 8.5, Division 6, Residential Care Facilities For the Chronically Ill.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction (Register 2002, No. 14).
Article 2. Definitions
§87801. Definitions.
Note     •     History

(a) The following definitions shall apply wherever the terms are used throughout Division 6, Chapter 8.5, except where specifically noted otherwise.
(1) “Activities of daily living” mean various chores that must be completed by or for a person on a daily basis to meet his/her personal needs.
(A) Such chores shall include but not be limited to housework, meal preparation, laundry of clothes/linens and other washable items, taking medication, money management, transportation for personal or medical appointments, communicating with others either through telephone or in writing, dressing, eating, toileting, bathing, grooming, and ambulation.
(2) “Administrator” means the licensee, or the adult designated by the licensee to act in his/her behalf in the overall management of the facility.
(3) “Adult” means a person who is 18 years of age or older.
(4) “Ambulatory Person” means a person who is capable of demonstrating the mental competence and physical ability to leave a building without the assistance of any other person and without the use of any mechanical aid in case of an emergency.
(5) “Applicant” means any adult, firm, partnership, association, corporation, county, city, public agency or other governmental entity that has applied for a Residential Care Facility for the Chronically Ill license.
(6) “Appropriately Skilled Professional” means an individual who is licensed in California to perform the necessary medical procedures within his/her scope of practice as prescribed by a physician. This includes, but is not limited to, the following:
Registered Nurse (RN),
Licensed Vocational Nurse (LVN),
Physical Therapist (PT),
Occupational Therapist (OT) and
Respiratory Therapist (RT).
These professionals may include, but are not limited to, those persons employed by a home health agency, the resident, or the facility.
(7) “Authorized Representative” means any person or entity authorized by law to act on behalf of any resident. Such person or entity includes, but is not limited to a conservator, a public placement agency, or the person who has durable power of attorney for health care for the resident.
(8) “Automated External Defibrillator” (AED) means a light-weight, portable device used to administer an electric shock through the chest wall to the heart. Built-in computers assess the patient's heart rhythm, determine whether defibrillation (electrical shock) is needed and then administer the shock. Audible and/or visual prompts guide the user through the process. 
(b)(1) “Basic Rate” means the rate charged by a facility to provide basic services. For SSI/SSP recipients, the basic rate means the established nonmedical out-of-home care rate which includes any exempt income allowance but does not in include that amount allocated for the recipient's personal and incidental needs.
(2) “Basic Services” means those services specified in Section 87860 required by applicable laws and regulations, which are to be provided by the licensee in order to obtain and maintain a license to operate a Residential Care Facility for the Chronically Ill.
(c)(1) “California Clearance” means an individual has no felony or misdemeanor convictions reported by the California Department of Justice. However, the individual may have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(2) “Capacity” means the maximum number of persons authorized to be provided care and supervision at any one time in any licensed facility.
(3) “Care and Supervision” means any one or more of the following activities provided or promised to be provided in the future by a person or facility to meet the needs of the residents:
(A) Assistance in dressing, grooming, bathing and other personal hygiene.
(B) Assistance with taking medication.
(C) Central storing and/or distribution of medications.
(D) Arrangement of and assistance with medical and dental care.
(E) Maintenance of house rules for the protection of residents.
(F) Arrangement and managing of resident schedules and activities.
(G) Maintenance and/or management of resident cash resources or property.
(H) Monitoring food intake or special diets.
(I) Providing basic services as defined in Subsection (b)(2) above.
(4) “Cash Resources” means:
(A) Monetary gifts.
(B) Tax credits and/or refunds.
(C) Earnings from employment or workshops.
(D) Personal and incidental need allowances from funding sources including but not limited to, SSI/SSP.
(5) “Chronic, Life-Threatening Illness” means HIV disease or AIDS.
(6) “Close Friend” means a person who is attached to another by feelings of personal regard as indicated by both parties involved.
(7) “Completed Application” means:
(A) The applicant has submitted and the Department has received all required materials including: an approved fire clearance from the appropriate fire authority, a criminal record clearance on the applicant and any other individuals subject to such clearance.
(8) “Conservator” means a person appointed by the Superior Court pursuant to the provisions of Section 1800 et seq. of the Probate Code or Section 5350 of the Welfare and Institutions Code, to care for the person, or estate, or person and estate, of another.
(9) “Consultant” means a person professionally qualified by training or experience to provide expert information on a particular subject.
(10) “Control of Property” means the right to enter, occupy, and maintain the operation of the facility property within regulatory requirements. Evidence of control of property may include, but is not limited to the following:
(A) a Grant Deed showing ownership; or
(B) the lease agreement or rental agreement; or
(C) a court order or similar document which shows the authority to control the property pending outcome of a probate proceeding or an estate settlement.
(11) “Conviction” means: 
(A) A criminal conviction in California; or 
(B) Any criminal conviction of another state, federal, military or other jurisdiction, which if committed or attempted in California, would have been punishable as a crime in California. 
(12) “Criminal Record Clearance” means an individual has a California Department of Justice clearance and an FBI clearance. 
(13) “Culturally Appropriate Services” mean those services which are planned, offered, and provided by taking into consideration such characteristics of the residents as ethnic/racial group; primary language; preferred foods/diet and meal preparation; preferred manner of dress and clothing; religious affiliation; sexual preference; and educational background.
(d)(1) “Deficiency” means any failure to comply with any provision of the Residential Care Facilities for Persons with Chronic, Life-Threatening Illness statute (Health and Safety Code, Section 1568.01, et seq.) and/or regulations adopted by the Department pursuant to this statute.
(2) “Dementia” means a deterioration of intellectual function and other cognitive skills, leading to a decline in one's ability to perform activities of daily living.
(3) “Department” means the California State Department of Social Services.
(4) “Developmental Disability” means a disability which originates before an individual attains age 18, continues, or can be expected to continue, indefinitely and constitutes a substantial handicap for such individual, as specified in Welfare and Institutions Code Section 4512(a).
Persons who are developmentally disabled shall include persons who have been diagnosed as having mental retardation, cerebral palsy, epilepsy, autism, or who have handicapping conditions found to be closely related to mental retardation or to require treatment similar to that required for mentally retarded individuals, but shall not include other handicapping conditions that are solely physical in nature.
(5) “Direct Care Attendant” means an individual, employed by a Home Health Agency, who renders direct care services to a resident.
(6) “Direct Care Services” means the assistance with or performance of services to meet the needs of the resident, including but not limited to, activities of daily living.
(7) “Direct Care Staff”'means those individuals employed by the facility and who provide direct care services to the residents including, but not limited to, assistance with activities of daily living.
(8) “Director” means the Director of the California State Department of Social Services.
(9) “Documentation” means written information required to be completed and maintained at the facility by the licensee.
(10) “Do Not Resuscitate Directive” means the written directions of the resident or the person who holds Durable Power of Attorney for Health Care for the resident to the resident's primary care physician to withhold emergency resuscitation should the resident stop breathing and to request the issuance of a Do Not Resuscitate Order by the physician.
(11) “Do Not Resuscitate Order” means the order of the resident's primary care physician to alert appropriately skilled professionals that the resident does not want measures to be taken to resuscitate him/her and to withhold emergency resuscitation should the resident stop breathing.
(12) “Durable Power of Attorney for Health Care” means a power given to a person to act on behalf of another person in the event that the resident becomes unable to give informed consent to health care as specified in California Civil Code, sections 2430 et seq.
(e)(1) “Emergency Approval to Operate” (LIC 9117 4/93) (EAO) means a temporary approval to operate a facility for no more than 60 days pending the Department's decision on whether to approve or deny a provisional license.
(2) “Evaluator” means any person who is a duly authorized officer, employee or agent of the Department.
(3) “Evidence of Licensee's Death” shall include, but is not limited to, a copy of the death certificate, obituary notice, certification of death from the decedent's mortuary or a letter from the attending physician or coroner's office verifying the licensee's death.
(4) “Exception” means a written authorization issued by the Department to use alternative means which meet the intent of a specific regulation(s) and which are based on the unique needs or circumstances of a specific resident (s) or staff person(s). Exceptions are granted for particular resident(s) or staff person(s) and are not transferable or applicable to other residents, staff persons, facilities or licensees.
(5) “Exemption” means an exception to the requirements of Health and Safety Code Section 1568.09 and applicable regulations. Exemptions are not transferable.
(f)(1) “Family unit” means a group composed of at least one parent or guardian and at least one of that person's minor children and in which at least one adult or child, or both, has HIV disease or AIDS.
(2) “Federal Bureau of Investigation (FBI) Clearance” means an individual has no felony or misdemeanor convictions reported by the FBI. The individual may also have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(g) (Reserved)
(h)(1) “Hazardous Waste” means “medical waste” as defined by Health and Safety Code Section 25023.2 and “hazardous waste” as defined in Health and Safety Code Section 25117.
(2) “Home Health Agency” means a provider licensed by the Department of Health Services in accordance with Health and Safety Code Section 1725 et seq. to perform various health related services to a person in his/her own home or in a licensed or exempt facility.
(i)(1) “Individual Services Plan” means the documentation of the needs and services required by the resident as specified in Section 87896.
(2) “Individual Services Team” means those individuals who are involved in the planning and/or delivery of services or care to the resident as specified in Section 87896(b).
(3) “Instruct” means to furnish an individual with knowledge or to teach, give orders, or directions regarding a process or procedure.
(4) “Intermittent Home Health Care” is the treatment and/or observation of a resident by an appropriately skilled professional for a maximum of eight (8) hours per day per resident in the facility.
(j) (Reserved)
(k) (Reserved)
(l)(1) “License” means written authorization to operate a Residential Care Facility for the Chronically Ill and to provide care and supervision. The license is not transferable.
(2) “Licensee” means the adult, firm, partnership, association, corporation, county, city, public agency, or other governmental entity having the authority and responsibility for the operation of a licensed Residential Care Facility for the Chronically Ill.
(m)(1) “Medical Professional” means an individual who is licensed or certified in California to perform the necessary medical procedures within his/her scope of practice. This includes, but is not limited to, Medical Doctor (MD), Registered Nurse (RN) and Licensed Vocational Nurse (LVN). 
(2) “Mental Disorder” means any of the disorders which render a person eligible for the services enumerated under the Lanterman-Petris-Short Act, commencing with Section 5000 of the Welfare and Institutions Code.
(n)(1) “Nonambulatory persons” means persons unable to leave a building unassisted under emergency conditions. It includes any person who is unable, or likely to be unable, to physically and mentally respond to a sensory signal approved by the State fire Marshal, or an oral instruction relating to fire danger, and persons who depend upon mechanical aids such as crutches, walkers, and wheelchairs. A person is not deemed nonambulatory solely because he/she is deaf, blind or prefers to use a mechanical aid.
(2) “Nutritionist” means a person who has a master's degree in food and nutrition, dietetics, or public health nutrition, or who is employed as a nutritionist by a county health department.
(o) (Reserved)
(p)(1) “Physician” means a person licensed as a physician by the California Medical Board or by the California Board of Osteopathic Examiners.
(2) “Provision” or “Provide” means the licensee shall make available any service, personnel, or meet other requirements, directly or present evidence to the Department that the requirement has been met by some other means.
(3) “Provisional License” means a license which is temporary, nonrenewable and issued for a period not to exceed twelve months.
(4) “Psychosocial Support Services” means counseling services provided to the resident to enable him/her to accept/acknowledge his/her chronic illness and its probable cause and outcome.
(q) (Reserved)
(r)(1) “Registered Nurse Case Manager” means the registered nurse who is responsible for coordinating the delivery of services as identified in the Individual Services Plan.
(2) “Rehabilitation” means the effort to reestablish good character since the date of the last conviction, including, but not limited to, education, counseling or therapy, training, stable employment, restitution, remorse, changes in lifestyle, or community service. 
(3) “Relative” means the resident's spouse, parent, stepparent, son, daughter, brother, sister, stepbrother, stepsister, half-brother, half-sister, uncle, aunt, niece, nephew, first cousin or any such person denoted by the prefix “grand” or “great” or the spouse of any of the persons specified in this definition, even after the marriage has been terminated by death or dissolution. Such relationships include kinships formed by birth or adoption.
(4) “Resident” means any or all of the following: any adult receiving care and supervision, any emancipated minor receiving care and supervision, and any adult or unemancipated minor in a family unit.
(5) “Residential Care Facility for the Chronically Ill” means any place, building, or housing arrangement which is maintained and operated to provide care and supervision to all or any of the following:
(A) Adults with HIV disease or AIDS,
(B) Emancipated minors with HIV disease or AIDS, or
(C) Family units as defined in Section 87801(f)(1) with adults or children or both with HIV disease or AIDS.
(s)(1) “Serious Deficiency” means any deficiency that presents an immediate or substantial threat to the physical health, mental health or safety of the residents of Residential Care Facilities for the Chronically Ill.
(2) “Shall” means mandatory.
(3) “Significant Other” means a person, including a person of the same sex, with whom a resident was sharing a partnership prior to his/her placement in Residential Care Facility for the Chronically Ill. The partnership involves two adults who have chosen to share one another's lives in an intimate and committed relationship of mutual caring.
(4) “Simplified Exemption” means an exemption granted on the Department's own motion, as authorized in Health and Safety Code Section 1568.09(c)(5), if the individual's criminal history meets specific criteria established by Department regulation. 
(5) “Social Worker” means a person who has a graduate degree from an accredited school of social work or social welfare.
(6) “SSI/SSP” means the Supplemental Security Income/State Supplementary Program which is a federal/state program that provides financial assistance to aged, blind and/or disabled residents of California.
(7) “Substantial Compliance” means the absence of any serious deficiencies.
(8) “Substantiated Complaint” means a complaint which has been investigated by the Department, and as a result, a violation of regulations or statute has been found.
(9) “Supervision” means to oversee or direct the activity of a subordinate but does not necessarily require the immediate presence of the supervisor.
(10) “Support Staff” means those individuals working in the facility, in an ancillary position, including but not limited to, housekeeper, cook, or maintenance personnel.
(t)(1) “Transfer Trauma” means the consequences of the stress and emotional shock caused by an abrupt, involuntary relocation of a resident from one facility to another.
(2) “Tuberculin Skin Test” means using the Mantoux technique and recording test results in millimeters of induration (swelling).
(u)(1) “Unlicensed Residential Care Facility for the Chronically Ill” means a facility is providing or has promised to provide care and supervision, as defined in Subsection (c)(2) above. Examples of unlicensed facilities shall include, but not be limited to, any one of the following circumstances:
(A) The facility accepts or retains residents who demonstrate the need for care or supervision, without being licensed as a Residential Care Facility for the Chronically Ill. Such unlicensed facilities shall include, but not be limited to:
(1) A facility whose license has been revoked or denied, but the facility continues to provide care for the same residents or different residents with similar needs.
(2) A facility where a change of ownership has occurred and the same residents are retained and the new owner has not filed an application for license.
(3) A licensed facility which moves to a new location without filing a new application for license.
(4) An unlicensed facility which advertises as providing care and/or supervision.
(5) A facility with residents requiring care and/or supervision, even though the facility is providing board and room only, or board only, or room only.
(6) A facility, where it is apparent that care and/or supervision are being provided by virtue of the resident's needs being met.
(2) “Urgent Need” means a situation where prohibiting the operation of the facility would be detrimental to the residents' physical health, mental health, safety, or welfare. Circumstances constituting urgent need include, but are not limited to, the following:
(A) A change in facility location when residents are in need of services from the same operator at the new location.
(B) A change of facility ownership when residents are in need of services from a new operator.
(v) “Voluntary” means resulting from free will.
(w)(1) “Waiver” means a nontransferable written authorization by the Department to use alternative means which meet the intent of a specific regulation and which are based on a facility-wide need or circumstance.
(2) “Wound” means a surgical incision, laceration of the skin, Stage I or II decubitus ulcers, skin eruptions or skin lesions.
(x) (Reserved)
(y) (Reserved)
(z) (Reserved)
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.01, 1568.02, 1568.03, 1568.061, 1568.064, 1568.072 and 1797.196, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of section transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. New subsections (c)(10)-(c)(10)(C), (e)(1) and (e)(3), subsection renumbering, and amendment of Note filed 6-15-93; operative 7-15-93 (Register 93, No. 25).
5. Amendment of subsection (a)(5), new subsection (f)(1), amendment of subsections (r)(3) and (r)(4), new subsections (r)(4)(A)-(C), and amendment of Note filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
6. New subsection (d)(2) and subsection renumbering filed 11-12-98; operative 12-12-98 (Register 98, No. 46).
7. Editorial correction (Register 2002, No. 14).
8. New subsection (a)(8) and amendment of Note filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
9. New subsections (c)(10)-(11), (d)(4), (f)(2), (m)(1), (r)(2) and (s)(4) and related subsection renumbering throughout filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
10. New subsections (c)(10)-(11), (d)(4), (f)(2), (m)(1), (r)(2) and (s)(4) and related subsection renumbering throughout refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
11. New subsections (c)(10)-(11), (d)(4), (f)(2), (m)(1), (r)(2) and (s)(4) and related subsection renumbering throughout refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§87805. License Required.
Note     •     History

(a) Unless a facility is exempt from licensure as specified in Section 87807, no adult, firm, partnership, association, corporation, county, city, public agency or other governmental entity shall operate, establish, manage, conduct or maintain a Residential Care Facility for the Chronically Ill, or hold out, advertise or represent by any means to do so, without first obtaining a current valid license from the Department.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.03, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction (Register 2002, No. 14).
§87806. Operation Without a License.
Note     •     History

(a) An unlicensed facility, as defined in Section 87801(u)(1), is in violation of Section 1568.03(a) of the Health and Safety Code unless exempted from licensure pursuant to Section 87807.
(b) If the facility is alleged to be operating without a license in violation of Section 1568.03 of the Health and Safety Code, the Department shall conduct a site visit and evaluation of the facility to determine if it is operating without a license.
(c) If the facility is operating without a license, the Department shall issue a notice of operation in violation of law.
(d) The Department shall have the authority to assess an immediate penalty to unlicensed operations as specified in Section 87858.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03, 1568.072 and 1568.0821, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (a), (b) and (d) (Register 2002, No. 14).
§87807. Exemption from Licensure.
Note     •     History

(a) The Residential Care Facility for the Chronically Ill regulations contained in this chapter shall not apply to any of the following:
(1) Any health facility, as defined by Section 1250 of the Health and Safety Code.
(2) Any clinic, as defined by Section 1200 of the Health and Safety Code.
(3) Any house, institution, hotel, share housing project, or other similar place that supplies board and room only, or board only, which provides no element of care and supervision and no resident requires any element of care and supervision or protective supervision.
(4) Any arrangement for the receiving of care and supervision provided to one person with a chronic, life-threatening illness or to one family unit as defined in Section 87801(f)(1) by a relative, guardian, conservator, significant other, or close friend.
(5) Any arrangement for the receiving of care and supervision of one person with chronic, life-threatening illness or of one family unit as defined in Section 87801(f)(1) from only one family as respite for the relative, conservator, significant other, or a close friend, if the arrangement is not for financial profit and does not exceed 48 hours per month.
(6) Any housing project for elderly or disabled individuals that meets federal requirements specified in Health and Safety Code Section 1568.03(c)(5).
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsection (a)(4), repealer of subsections (a)(5) and (a)(6), subsection renumbering, and amendment of newly designated subsection (a)(5) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Editorial correction of subsections (a)(1) and (a)(2) (Register 2002, No. 14).
6. New subsection (a)(6) filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
§87808. Licensing of Integral Facilities.
Note     •     History

(a) Upon written application from the licensee, the Department shall have the authority to issue a single license for separate buildings which might otherwise require separate licenses, provided that all of the following requirements are met:
(1) Separate buildings or portions of the facility are integral components of a single program.
(2) All components of the program are managed by the same licensee.
(3) All components of the program are conducted at a single site with a common address.
(b) If (a) above does not apply, each separately licensed component of a single program shall be capable of independently meeting the provisions of applicable regulations, as determined by the Department.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87809. Prohibition of Dual Licensure.
Note     •     History

NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Repealer filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87810. Limitations on Capacity and Ambulatory Status.
Note     •     History

(a) A licensee shall not operate a facility beyond the conditions and limitations specified on the license.
(1) Unemancipated minors who are not residing in the facility with a guardian or custodial parent shall be prohibited from residing in the facility.
(2) The maximum capacity for which a license may be issued shall not exceed 50 persons, including all of the following:
(A) adults with HIV disease or AIDS,
(B) adults in residence as members of family units whether or not they have HIV disease or AIDS,
(C) emancipated minors with HIV disease or AIDS, and
(D) children as members of family units whether or not they have HIV disease or AIDS.
(b) Facilities or rooms restricted to ambulatory residents only shall not be used by nonambulatory residents.
(1) Residents whose status becomes nonambulatory shall not use rooms or areas restricted to ambulatory residents.
(2) The Department shall have the authority to require licensees to demonstrate that only ambulatory residents use rooms restricted to ambulatory residents.
(c) The facility capacity shall not exceed 25 residents.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.01, 1568.02, 1568.072, 1568.083 and 13143, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (b)(2) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsection (a)(1), new subsections (a)(2)-(a)(2)(D), and amendment of Note filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87812. False Claims.
Note     •     History

(a) No licensee, officer, or employee of a licensee shall make or disseminate any false or misleading statement regarding the facility or any of the services provided by the facility.
(b) No licensee, officer, or employee of a licensee shall alter a license, or disseminate an altered license.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
Article 3. Application Procedures
§87817. Applicant Qualifications.
Note     •     History

(a) Any adult shall be permitted to apply for a license regardless of age, sex, race, religion, color, political affiliation, national origin, disability, marital status, actual or perceived sexual orientation, or ancestry.
(b) Prior to filing an application, the applicant shall attend an orientation program provided by the Department.
(1) The orientation shall cover, but not be limited to, the following areas:
(A) Completion of the application for license.
(B) Scope of responsibility for operation of a Residential Care Facility for the Chronically Ill.
(C) Information pertaining to community services and resources.
(D) Applicable laws and regulations.
(2) If the applicant is a partnership, the orientation shall be attended by a general partner.
(3) If the applicant is a firm, corporation, county, city, public agency or other governmental entity, the orientation shall be attended by a chief executive officer or authorized representative.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.06 and 1568.072, Health and Safety Code; and Section 51, Civil Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including adoption of subsections (b)(2)-(3) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsection (b) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Change without regulatory effect amending subsection (a) and Note filed 12-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 50).
§87818. Application for License.
Note     •     History

(a) Any adult, firm, partnership, association, corporation, county, city, public agency or other governmental entity desiring to obtain a license shall file with the Department a verified application on forms specified below and furnished by the Department:
(1) Application -- LIC 200 (9/87)
(2) Applicant Information -- LIC 215 (8/87)
(3) Designation of Administrative Responsibility -- LIC 308 (3/87)
(4) Administrative Organization -- LIC 309 (8/86)
(5) Affidavit Regarding Client Cash Resources -- LIC 400 (9/86)
(6) Estimated Operating Budget -- LIC 401 (11/82)
(7) Surety Bond -- LIC 402 (1/87)
(8) Financial Statement -- LIC 403 (3/83)
(9) Financial Information Release and Verification -- LIC 404 (10/86)
(10) Personnel Report -- LIC 500 (10/86)
(11) Personnel Record -- LIC 501 (8/87)
(12) Health Screening Report - Facility Personnel -- LIC 503 (9/86)
(13) Disaster and Mass Casualty Plan -- LIC 610 (10/88)
(b) The applicant/licensee shall cooperate with the Department in providing verification and/or documentation as requested by the Department.
(c) The application and supporting documents shall contain the following:
(1) Name or proposed name and address of facility.
(2) Name, and residence and mailing addresses of applicant.
(A) If the applicant is a partnership, the name, and principal business address of each partner.
(B) If the applicant is corporation or association, the name, title and principal business address of each officer, executive director and member of the governing board.
(C) If the applicant is a corporation, each member of the board of directors, executive director, and any officer shall list the name of all facilities which they have been licensed to operate, employed by or a member of the board of the directors, executive director or an officer.
(D) If the applicant is a corporation which issues stock, the name and address of each person owning more than 10 percent of stock in such corporation.
(E) If the applicant is a corporation, a copy of the articles of incorporation and bylaws.
(F) If the applicant is an association, a copy of the bylaws.
(3) Name and address of owner of facility premises, if applicant is leasing or renting.
(4) The category of facility to be operated.
(5) Capacity requested.
(6) Age range, sex and target group of persons to be served.
(7) Name of administrator.
(8) Information regarding the applicant's prior or present service as an administrator, general partner, corporate officer or director of, or as a person who has held or holds a beneficial ownership of 10 percent or more in any community care facility, residential care facility for the chronically ill, residential care facility for the elderly, or child day care facility, or in any facility licensed pursuant to Chapter 1 (commencing with Section 1200), Chapter 2 (commencing with Section 1250), or Chapter 3 (commencing with Section 1500) of the Health and Safety Code.
(9) Information regarding any revocation or disciplinary action taken or in the process of being taken against a license held or previously held by the entities as specified in Subsection (8) above.
(10) Facility Transfer Agreement with an acute care hospital for the care of residents who require a higher level of care.
(11) Copy of contract with a hazardous waste disposal company for disposal of hazardous materials.
(12) Copy of contract with a Nutritionist.
(13) Copy of contract with a home health agency for case management of the residents and other services as needed.
(14) Copy of contract with a psychologist, psychiatrist, social worker, or other appropriately skilled professional to provide psychosocial support services to the residents, unless the facility will be staffed to provide such services.
(15) Copy of contract with an individual or agency which provides substance abuse counseling, unless the facility will be staffed to provide such services.
(16) Specification of the services to be provided to the targeted population.
(17) Name, address and telephone number of the city or county fire department, the district providing fire protection services, or the State Fire Marshal's Office having jurisdiction in the area where the facility is located.
(18) A plan of operation as specified in Section 87822.
(19) Fingerprint cards as specified in Section 87819(b).
(20) The bonding affidavit specified in Section 87825.
(21) A health screening report on the applicant.
(22) The fee for processing the application as specified in Section 87836.
(23) Such other information as may be required by the Department.
(d) The application shall be signed by the applicant(s).
(1) If the applicant is a partnership, the application shall be signed by each general partner.
(2) If the applicant is a firm, association, corporation, county, city, public agency or other governmental entity, the application shall be signed by the chief executive officer or authorized representative.
(e) The application shall be filed with the licensing office of the Department which serves the geographical area in which the facility is located.
(1) Within 60 days of receipt of the completed application, the Department shall complete a site visit to the facility.
(f) For licensees of existing licensed facilities, the Department shall not require the licensee to complete the entire application process when he/she applies for a new license due to a change in the facility location.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.04, 1568.042, 1568.05 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including adoption of subsection (e)(1) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsections (c)(8) and (c)(22) and amendment of Note filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Amendment of subsection (c)(2)(B), new subsection (c)(2)(C), subsection relettering and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
6. Editorial correction of subsections (c)(8), (c)(9) and (c)(18)-(c)(20) (Register 2002, No. 14).
§87819. Criminal Record Clearance.
Note     •     History

(a) The Department shall conduct a criminal record review of all the persons listed in Subsection (b) below and shall have the authority to approve or deny a facility license, or employment, residence, or presence in the facility based upon the results of such review.
(1) Prior to the Department issuing a license, the applicant, administrator and any adults, other than a client residing in the facility shall obtain a California criminal record clearance or exemption.
(2) A licensee or applicant for a license may request a transfer of a criminal record clearance from one state licensed facility to another, or from TrustLine to a state licensed facility by providing the following documents to the Department:
(A) A signed Criminal Background Clearance Transfer Request, LIC 9182 (Rev. 4/02).
(B) A copy of the individual's: 
1. Driver's license, or 
2. Valid identification card issued by the Department of Motor Vehicles, or
3. Valid photo identification issued by another state or the United States government if the individual is not a California resident.
(C) Any other documentation required by the Department (e.g., LIC 508, Criminal Record Statement [Rev. 1/03] and job description).
(3) All individuals subject to criminal record review shall be fingerprinted and sign a Criminal Record Statement (LIC 508 [Rev. 1/03]) under penalty of perjury. 
(A) A person signing the LIC 508 must: 
1. Declare whether he/she has been convicted of a crime, other than a minor traffic violation as specified in Section 87819(g) regardless of whether the individual was granted a pardon for the conviction, received an expungement pursuant to Penal Code 1203.4 or the individual's record was sealed as a result of a court order. 
2. If convicted of a crime other than a minor traffic violation, as specified in Section 87819(g), provide information regarding the conviction. 
(4) The licensee shall submit the fingerprints to the California Department of Justice, along with a second set of fingerprints for the purpose of searching the records of the Federal Bureau of Investigation, or complying with Section 87819(a)(2) prior to the individual's employment, residence, or initial presence in the facility.
(A) Fingerprints shall be submitted to the California Department of Justice by the licensee or sent by electronic transmission to the California Department of Justice by a fingerprinting entity approved by the California Department of Social Services.
(b) The following persons and any other adults specified in Health and Safety Code Section 1568.09 shall be required to be fingerprinted and comply with applicable criminal records requirements:
(1) The applicant for the license.
(A) If the applicant is a firm, partnership, association, or corporation, the chief executive officer or other person serving in like capacity.
(2) Adults responsible for administration or direct supervision of staff.
(3) Any person, other than a resident, residing in the facility.
(4) Any facility personnel who provides resident assistance in dressing, grooming, bathing, or personal hygiene. Any nurse assistant or home health aide meeting the requirements of Health and Safety Code Section 1338.5 or 1736.6, respectively, who is not employed, retained or contracted by the licensee, and who has been certified or recertified on or after July 1, 1998, shall be deemed to meet the criminal record clearance requirements of this section.  A certified nurse assistant and certified  home health aide who will be providing client assistance and who fall under this exemption shall provide one copy of his or her current certification, prior to providing care, to the adult community care facility.  Nothing in this paragraph restricts the right of the Department to exclude a certified nurse assistant or certified home health aide from a licensed community care facility pursuant to Health and Safety Code Section 1558.
(5) Any staff person or employee who has contact with the residents.
(c) The following individual's are exempt from the requirements applicable under Section 87819(b). 
(1) A medical professional, as defined in Section 87801(m)(1), who holds a valid license or certification from the individual's governing California medical care regulatory entity and who is not employed, retained, or contracted by the licensee if all of the following apply: 
(A) The criminal record of the individual has been cleared as a condition of licensure or certification by the individual's governing California medical care regulatory entity. 
(B) The individual is providing time-limited specialized clinical care or services. 
(C) The individual is providing care or services within the individual's scope of practice. 
(D) The individual is not a community care facility licensee or an employee of the facility. 
(2) A third-party repair person or similar retained contractor, if all of the following apply: 
(A) The individual is hired for a defined, time-limited job. 
(B) The individual is not left alone with clients. 
(C) When clients are present in the room in which the repair person or contractor is working, a staff person who has a criminal record clearance or exemption is also present. 
(3) Employees of a licensed home health agency and other members of licensed hospice interdisciplinary teams who have a contract with a client of the facility, and are in the facility at the request of that client or client's legal decision maker. 
(A) The exemption shall not apply to an individual who is a community care facility licensee or an employee of the facility. 
(4) Clergy and other spiritual caregivers who are performing services in common areas of the residential care facility, or who are advising an individual client at the request of, or with permission of, the client. 
(A) The exemption shall not apply to an individual who is a community care facility licensee or an employee of the facility. 
(5) Members of fraternal, service and similar organizations who conduct group activities for clients if all of the following apply: 
(A) Members are not left alone with the clients. 
(B) Members do not transport clients off the facility premises. 
(C) The same group does not conduct such activities more often than once a month. 
(6) A volunteer if all of the following apply: 
(A) The volunteer is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. 
(B) The volunteer is never left alone with clients. 
(C) The volunteer does not provide any client assistance with dressing, grooming, bathing or personal hygiene. 
(7) The following individuals unless contraindicated by the client's needs and service plan: 
(A) A spouse, relative, significant other, or close friend of a client. 
(B) An attendant or facilitator if the attendant or facilitator is not employed, retained or contracted by the licensee. 
(C) The exemptions in Sections 87819(d)(7)(A) or (B) apply only if the individual is visiting the client or providing direct care and supervision to that client only. 
(8) Nothing in this paragraph shall prevent a licensee from requiring a criminal record clearance of any individual exempt from the requirements of this section, provided that the individual has client contact. 
(d) All individuals subject to a criminal record review pursuant to Health and Safety Code Section 1568.09 shall prior to working, residing or volunteering in a licensed facility: 
(1) Obtain a California clearance or a criminal record exemption as required by the Department or 
(2) Request a transfer of a criminal record clearance as specified in Section 87819(a)(2) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 87819.1(r), unless, upon request for a transfer, the Department permits the individual to be employed, reside or be present at the facility. 
(e) Violation of Section 87819(d) will result in a citation of a deficiency and an immediate assessment of civil penalties of one hundred dollars ($100) per violation per day for a maximum of five (5) days by the Department. 
(1) Subsequent violations within a twelve (12) month period will result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days.
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1568.0822. 
(f) Violation of Section 87819(d) may result in a denial of the license application or suspension and/or revocation of the license. 
(g) If the criminal record transcript of any individuals specified in the Health and Safety Code Section 1568.09 discloses a plea or verdict of guilty or a conviction following a plea of nolo contendere for a crime other than a minor traffic violation, for which the fine was less than $300, and an exemption pursuant to Section 87219.1(a) has not been granted, the Department shall take the following actions:
(1) For initial applicant, denial of the application.
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license.
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1568.092 and deny the application or revoke the license if the individual continues to provide services and/or reside at the facility.
(4) For individuals residing in the facility, including spouses of the applicant, licensee, or employee, exclusion of the affected individual pursuant to Health and Safety Code Section 1568.092 and denial of the application or revocation of the license if the individual continues to provide services and/or reside in the facility.
(h) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of employees in the individual's personnel file as required in Section 87866.
(i) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of volunteers that require fingerprinting and non-client adults residing in the facility.
(1) Documentation shall be available for inspection by the Department.
(j) The Department may seek verification from a law enforcement agency or court of an individual's criminal record as reported to the Department from any member of the public or affected individual. 
(1) Upon obtaining confirmation from a law enforcement agency or court of the offense, the Department shall proceed as if this criminal record information was provided by the California Department of Justice. 
NOTE

Authority cited: Section 1568.072 and 1568.0822(e), Health and Safety Code. Reference: Sections 1568.072, 1568.09 and 1568.22, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Change without regulatory effect amending subsection (a)(3) filed 3-10-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 15).
4. Certificate of Compliance as to 12-3-91 order including amendment of subsection (c)(3) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
5. Amendment filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of History 5 (Register 2000, No. 38). 
7. Certificate of Compliance as to 5-18-2000 order, including further amendment of section, transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
8. Editorial correction of subsections (a), (a)(3) and (b) (Register 2002, No. 14).
9. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
10. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
13. Amendment of subsection (e), new subsection (e)(1), subsection renumbering, repealer of subsection (h), subsection relettering and amendment of Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§87819.1. Criminal Record Exemption.
Note     •     History

(a) The Department will notify a licensee to act immediately to terminate the employment of, remove from the facility or bar from entering the facility any person described in Sections 87819.1(a)(1) through (5) below while the Department considers granting or denying an exemption. Upon notification, the licensee shall comply with the notice. 
(1) Any person who has been convicted of, or is awaiting trial for, a sex offense against a minor; 
(2) Any person who has been convicted of a felony; 
(3) Any person who has been convicted of an offense specified in Sections 243.4, 273a, 273d, 273g, or 368 of the Penal Code or any other crime specified in Health and Safety Code Section 1568.09(c)(4); 
(4) Any person who has been convicted of any crime specified below: 
(A) Battery 
(B) Shooting at Inhabited Dwelling 
(C) Corporal Injury on Spouse/Cohabitant 
(D) Discharging Firearm with Gross Negligence 
(E) Exhibiting Weapon/Firearm 
(F) Threat to Commit a Crime Resulting in Gross Bodily Injury or Death 
(G) Criminal Threat to Harm or Injure Another Person 
(H) Cruelty to Animals 
(I) Willful Harm or Injury to Child; or 
(5) Any other person ordered to be removed by the Department. 
(b) In addition to the requirements of Section 87819.1(a), the licensee must return the confirmation of removal form that is sent by the Department, within five (5) days of the date of the form, that confirms under penalty of perjury that the individual has been removed from the facility. 
(1) Confirmation must be made on either a Removal Confirmation -- Exemption Needed, LIC 300A (Rev. 9/03), Removal Confirmation -- Denial, LIC 300B (Rev. 9/03), Removal Confirmation -- Rescinded, LIC 300C (Rev. 9/03), or Removal Confirmation -- Nonexemptible, LIC 300D (Rev. 9/03). 
(c) After a review of the criminal record transcript, the Department may grant an exemption if:
(1) The applicant/licensee requests an exemption for himself or herself, or
(2) The applicant/licensee requests an exemption in writing for an individual associated with the facility, or
(3) The applicant/licensee chooses not to seek an exemption on the affected individual's behalf, the affected individual requests an individual exemption in writing, and
(4) The affected individual presents substantial and convincing evidence satisfactory to the Department that he/she has been rehabilitated and presently is of such good character as to justify being issued or maintaining a license, employment or residence in a licensed facility.
(d) To request a criminal record exemption, a licensee or license applicant must submit information that indicates that the individual meets the requirements of Section 87819.1(c)(4). The Department will notify the licensee or license applicant and the affected individual, in concurrent, separate notices, that the affected individual has a criminal conviction and needs to obtain a criminal record exemption.
(1) The notice to the affected individual shall include a list of the conviction(s) that the Department is aware of at the time the notice is sent that must be addressed in an exemption request.
(2) The notice will list the information that must be submitted to request a criminal record exemption. 
(3) The information must be submitted within forty-five (45) days of the date of the Department's notice. 
(A) Individuals who submit a criminal record exemption request shall cooperate with the Department by providing any information requested by the Department, including, but not limited to, police reports and certified court documents to process the exemption request, pursuant to Section 87819.1(e). 
(B) If the individual for whom the criminal record exemption is requested is an employee or resident other than a spouse or dependent family member and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may cease processing the exemption request and close the case. 
(C) If the individual for whom the criminal record exemption is requested is an applicant, licensee, spouse or dependent family member and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may deny the exemption request. 
(D) Individuals may request a criminal record exemption on their own behalf if the licensee or license applicant:
1. Chooses not to request the exemption and
2. Chooses not to employ or terminates the individual's employment after receiving notice of the individual's criminal history, or
3. Removes the individual who resides in the facility after receiving notice of the individual's criminal history.
(e) The Department shall consider factors including, but not limited to, the following as evidence of good character and rehabilitation:
(1) The nature of the crime including, but not limited to, whether it involved violence or a threat of violence to others.
(2) Period of time since the crime was committed and number of offenses.
(3) Circumstances surrounding the commission of the crime that would demonstrate the unlikelihood of repetition.
(4) Activities since conviction, including employment or participation in therapy or education, that would indicate changed behavior.
(5) Granting by the Governor of a full and unconditional pardon.
(6) Character references.
(A) All character references shall be on a Reference Request form (LIC 301E -- Exemptions [Rev. 7/03]). 
(7) A certificate of rehabilitation from a superior court.
(8) Evidence of honesty and truthfulness as revealed in exemption application documents.
(A) Documents include, but are not limited to:
1. A Criminal Record Statement (LIC 508, Criminal Record Statement [Rev. 1/03]) and
2. The individual's written statement/explanation of the conviction and the circumstances about the arrest.
(9) Evidence of honesty and truthfulness as revealed in exemption application interviews and conversations with the Department.
(f) The Department shall also consider the following factors in evaluating a request for an exemption: 
(1) Facility and type of association. 
(2) The individual's age at the time the crime was committed. 
(g) The Department may deny the individual's exemption request if:
(1) The licensee and/or the affected individual fails to provide documents requested by the Department, or
(2) The licensee and/or the affected individual fails to cooperate with the Department in the exemption process.
(h) The reasons for any exemption granted or denied shall be in writing and shall be kept by the Department.
(1) Exemption denial notices shall specify the reason the exemption was denied.
(i) The Department has the authority to grant a criminal record exemption that places conditions on the individual's continued licensure, and employment or presence in a licensed facility.
(j) It shall be conclusive evidence that the individual is not of such good character as to justify issuance of an exemption if the individual: 
(1) Makes a knowingly false or misleading statement regarding: 
(A) Material relevant to their application for a criminal record clearance or exemption, 
(B) His or her criminal record clearance or exemption status to obtain employment or permission to be present in a licensed facility, after the Department has ordered that they be excluded from any or all licensed facilities, or 
(C) His or her criminal record clearance or exemption status in order to obtain a position with duties that are prohibited to him/her by a conditional exemption; or 
(2) Is on probation or parole. 
(A) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the Department may, in its discretion, grant a criminal record exemption notwithstanding Section 87819.1(j)(2). 
(k) The Department shall consider granting a criminal record exemption if the individual's criminal record history meets all of the applicable criteria specified in Sections 87819.1(k)(1) through (6) and the individual provides the Department with substantial and convincing evidence of good character as specified in Section 87819.1(c)(4). For purposes of this section, a violent crime is a crime that, upon evaluation of the code section violated and/or the reports regarding the underlying offense, presents a risk of harm or violence. 
(1) The individual has been convicted of one nonviolent misdemeanor, and one year has lapsed since completing the most recent period of incarceration or probation. 
(2) The individual has been convicted of two or more nonviolent misdemeanors and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(3) The individual has been convicted of one or more violent misdemeanors and 15 consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(4) The individual has been convicted of one nonviolent felony and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(5) The individual has been convicted of two or more nonviolent felonies and ten consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(6) The individual has not been convicted of a violent felony. 
(7) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the period of lapsed time required in Sections 87819.1(k)(1) through (5) above shall begin from the last date of conviction(s). 
(l) It shall be a rebuttable presumption that an individual is not of such good character as to justify the issuance of an exemption if the individual fails to meet the requirements specified in Sections 87819.1(k)(1) through (6). 
(m) The Department shall not grant an exemption if the individual has a conviction for any offense specified in Section 1568.09(f)(1) of the Health and Safety Code.
(n) The Department shall consider granting a simplified criminal record exemption if the individual has the criminal history profile outlined in Sections 87819.1(n)(1) through (4) below: 
(1) The individual does not have a demonstrated pattern of criminal activity; 
(2) The individual has no more than one conviction; 
(3) The conviction is a misdemeanor and is a crime that is nonviolent and does not pose a risk of harm to an individual; and 
(4) It has been at least five consecutive years since the completion of the most recent period of incarceration or supervised probation. 
(o) At the Department's discretion, an individual who is otherwise eligible for a simplified exemption may be required to go through the standard exemption process if the Department determines such action will help to protect the health and safety of clients. 
(p) If the Department denies or cannot grant a criminal record exemption the Department shall: 
(1) For initial applicants, deny the application. 
(2) For current licensees, the Department may institute an administrative action including, but not limited to, revocation of the license. 
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1568.092, deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility. 
(4) For individuals residing in the facility or the licensee, exclude the affected individual pursuant to Health and Safety Code Section 1568.092, deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility. 
(q) If a request for an exemption has been denied, the individual shall be excluded for a period of two years unless the individual has been convicted of a crime for which no exemption may be granted pursuant to Section 87819.1(m). If a request for an exemption has been denied based on a conviction of a crime for which no exemption may be granted, the individual shall be excluded for the remainder of the individual's life. 
(1) If the Department determines during the review of an exemption request, that the individual was denied an exemption for a conviction of a crime for which an exemption may be granted within the preceding two years, the Department shall cease any further review of the request until two years have elapsed from the date of the denial. In cases where the individual requested a hearing on an exemption denial, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department upholding the denial. In cases where the individual submitted a petition for reinstatement or reduction in penalty pursuant to Government Code Section 11522 that was denied, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department denying the petition. 
(2) An exclusion order based solely upon a denied exemption shall remain in effect and the individual shall not be employed in or present in a licensed facility or certified home, unless either a petition or an exemption is granted. 
(3) If an individual who has previously been denied an exemption re-applies after the relevant time period described in Section 87819.1(q)(1) above, the Department may, in accordance with the provisions in Section 87819.1 et seq., grant or deny the subsequent request for an exemption. 
(4) If an individual submits a petition pursuant to Government Code Section 11522 for reinstatement or reduction of penalty for an exclusion, an individual must submit his/her fingerprints through an electronic fingerprinting system approved by the Department and submit to the Department a statement of the reason why the individual should be permitted to work or be present in a facility, along with all information required of an individual requesting a criminal record exemption as provided in this section. If it is determined, based upon information provided by the Department of Justice, that the individual has been convicted of a crime for which no exemption may be granted, the petition shall be denied. An individual's failure to submit fingerprints or other information as requested by the Department, shall be grounds for denial of the petition. The burden shall be on the petitioner to prove sufficient rehabilitation and good character to justify the granting of the petition. 
(r) A licensee or applicant for a license may request a transfer of a criminal record exemption from one state licensed facility to another by providing the following documents to the Department: 
(1) A signed Criminal Record Exemption Transfer Request, LIC 9188 (Rev. 9/03). 
(2) A copy of the individual's: 
(A) Driver's license, or 
(B) Valid identification card issued by the Department of Motor Vehicles, or 
(C) Valid photo identification issued by another state or the United States government if the individual is not a California resident. 
(3) Any other documentation required by the Department (e.g., LIC 508, Criminal Record Statement [Rev. 1/03] and job description). 
(s) The Department may consider factors including, but not limited to, the following in determining whether or not to approve the transfer of an exemption from one facility to another: 
(1) The basis on which the Department granted the exemption; 
(2) The nature and frequency of client contact in the new position; 
(3) The category of facility where the individual wishes to transfer; 
(4) The type of clients in the facility where the individual wishes to transfer; 
(5) Whether the exemption was appropriately evaluated and granted in accordance with existing exemption laws or regulations. 
(6) Whether the exemption meets current exemption laws or regulations. 
(t) If the Department denies the individual's request to transfer a criminal record exemption, the Department shall provide the individual and the licensee with written notification that states the Department's decision and informs the affected individual of their right to an administrative hearing to contest the Department's decision. 
(u) At the Department's discretion, an exemption may be rescinded if it is determined that: 
(1) The exemption was granted in error or 
(2) The exemption does not meet current exemption laws or regulations or 
(3) The conviction for which an exemption was granted subsequently becomes non-exemptible by law. 
(v) The Department may rescind an individual's criminal record exemption if the Department obtains evidence showing that the individual engaged in conduct which is inconsistent with the good character requirement of a criminal record exemption, as evidenced by factors including, but not limited to, the following: 
(1) Violations of licensing laws or regulations; 
(2) Any conduct by the individual that indicates that the individual may pose a risk to the health and safety of any individual who is or may be a client; 
(3) Nondisclosure of a conviction or evidence of lack of rehabilitation that the individual failed to disclose to the Department, even if it occurred before the exemption was issued; or 
(4) The individual is convicted of a subsequent crime. 
(w) If the Department rescinds an exemption the Department shall: 
(1) Notify the licensee and the affected individual in writing; and 
(2) Initiate an administrative action. 
(x) If the Department learns that an individual has been convicted of a crime after obtaining a criminal record clearance or exemption, the Department, at its sole discretion, may immediately initiate an administrative action to protect the health and safety of clients. 
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.072, 1568.082, 1568.09 and 1568.092, Health and Safety Code; and Gresher v. Anderson (2005) 127 Cal. App. 4th 88.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (a) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of section heading, section and Note filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 4 (Register 2000, No. 38). 
6. Certificate of Compliance as to 5-18-2000 order transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
7. Amendment of section and Note filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section and Note refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
11. Amendment of section and Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§87820. Fire Clearance.
Note     •     History

(a) All facilities shall secure and maintain a fire clearance approved by the city or county fire department, the district providing fire protection services, or the State Fire Marshal.
(1) The Department shall maintain a copy of the request and the fire clearance report in the facility file.
(b) The applicant shall notify the Department if the facility plans to admit either of the following categories of residents, so that an appropriate fire clearance, approved by the city or county, fire department, the district providing fire protection services, or the State Fire Marshal, can be obtained prior to the acceptance of such residents:
(1) Persons who are bedridden.
(2) Persons who are nonambulatory, as defined in Section 87801(n)(1).
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.072 and 13143, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (b)(1) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (b)(2) (Register 2002, No. 14).
§87821. Water Supply Clearance.
Note     •     History

(a) All facilities where water for human consumption is from a private source shall meet the following requirements:
(1) As a condition of initial licensure, the applicant shall provide evidence of an on-site inspection of the source of the water and a bacteriological analysis which establishes the safety of the water, conducted by the local health department, the State Department of Health Services or a licensed commercial laboratory.
(2) Subsequent to initial licensure, the licensee shall provide evidence of a bacteriological analysis of the private water supply as frequently as necessary to ensure the safety of the residents, but no less frequently than specified in the following table:

	LICENSED	ANALYSIS	PERIODIC
	CAPACITY	REQUIRED	SUBSEQUENT
			ANALYSIS

6 or fewer	Initial Licensing	Not required unless evidence
		supports the need for such
		analysis to protect residents.

7 through 15	Initial Licensing	Annually 
16 through 25	Initial Licensing	Semiannually
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87822. Plan of Operation.
Note     •     History

(a) Each licensee shall maintain on file a current, written plan of operation.
(b) The plan and related materials shall contain the following:
(1) Statement of purposes, and program methods and goals.
(2) Statement of admission policies and procedures regarding acceptance of residents.
(3) A copy of the admission agreement.
(4) A copy of the planned facility's house rules.
(5) Administrative organization, if applicable.
(6) Staffing plan, qualifications and duties.
(7) Plan for inservice training and continuing educational training of staff.
(8) A sketch of the building(s) to be occupied, including a floor plan which describes the capacities of the buildings for the uses intended, room dimensions, and designation of the rooms to be used for nonambulatory residents, if any.
(9) A sketch of the grounds showing buildings, driveways, fences, storage areas, pools and other bodies of water, gardens, recreation areas and other space used by the residents.
(A) The sketch shall include the dimensions of all areas which will be used by the residents.
(10) A sample menu for one calendar week indicating the time of day that meals and snacks are to be served.
(11) Transportation arrangements for residents who do not have independent arrangements for medical, dental appointments and other appointments for professional services as required by this chapter.
(12) Rate setting policy including, but not limited to, policy on refunds.
(13) A statement whether or not the licensee will handle the residents' money, personal property, and/or valuables. If money, personal property, and/or valuables will be handled, the method for safeguarding shall ensure compliance with Section 87826.
(14) Consultant and community resources to be utilized by the facility as part of its program.
(15) The facility's policy regarding visiting hours, including the conditions under which a visit may be prohibited.
(16) The facility's policy regarding the resident's use of the telephone and receiving written communication.
(17) The facility's policy regarding the designated smoking area.
(18) The facility's policy governing the use of alcohol and prohibition of illegal drug use.
(19) A statement regarding whether the facility will accept persons who request a “DO NOT Resuscitate Order.”
(20) If the facility will accept such persons, a plan for ensuring that the “DO NOT Resuscitate Order” as stipulated by the resident or the person who has durable power of attorney for health care is carried out by the appropriately skilled professional.
(21) The facility's plan for the internal handling of hazardous waste.
(22) The facility's plan for relocating children when the adult members of their family units are hospitalized, relocate, become unable to meet the child's needs, or die.
(c) The plan of operation shall include the name, address, telephone number, qualifications, licenses and credentials of the persons or agencies who will provide the following services for the residents, if not provided by the facility:
(1) Counseling regarding chronic, life-threatening illness, current information on treatment of the illness, and the possible effects of the illness on the resident's physical and/or mental health.
(2) Psychosocial support services.
(3) Death and dying counseling which must focus, at least in part, on the grieving process.
(4) Consultation on housing, health benefits, financial support, community-based and county services system.
(5) Home health care services.
(6) Alternative language services for residents who do not speak English, if not provided by the facility.
(7) Culturally appropriate services.
(8) Assistance for residents who have physical disabilities, including but not limited to hearing and motor impairments.
(d) Any changes in the plan of operation which affect the services to residents shall be subject to Department approval and shall be reported.
(e) The facility shall operate in accordance with the terms specified in the plan of operation.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (b)(19) and new subsection (b)(20) and renumbering transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. New subsection (b)(22) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Editorial correction of subsection (a)(13) (Register 2002, No. 14).
§87823. Disaster and Mass Casualty Plan.
Note     •     History

(a) Each licensee shall have and maintain on file a current, written disaster and mass casualty plan of action.
(b) The plan shall be subject to review by the Department and shall include:
(1) Designation of administrative authority and staff assignments.
(2) Contingency plans for action in case of fires, floods, and earthquakes, including, but not limited to, the following:
(A) Means of exiting.
(B) Transportation arrangements.
(C) Relocation sites which are equipped to provide safe temporary accommodation for residents.
(D) Arrangements for supervision of residents during evacuation and/or relocation, and for contact after relocation to ensure that relocation has been completed as planned.
(E) Means of contacting local agencies, including, but not limited to, the fire department, law enforcement agencies, and civil defense and other disaster authorities.
(c) The licensee shall instruct all residents, age and abilities permitting, all staff, and/or members of the household in their duties and responsibilities under the plan.
(d) Disaster drills shall be conducted at least every six months.
(1) Completion of such drills shall not require travel away from the facility grounds or contact with local disaster agencies.
(2) The drills shall be documented and the documentation maintained in the facility for at least one year.
(3) Residents who are too ill to participate in the drills shall be excluded.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87824. Waivers and Exceptions.
Note     •     History

(a) Unless prior written approval is granted by the Department, as specified in (b) below, all licensees shall maintain continuous compliance with licensing regulations.
(b) The Department shall have the authority to approve the use of alternate concepts, programs, services, procedures, techniques, equipment, space, personnel qualifications or staffing ratios, or the conducting of experimental or demonstration projects under the following circumstances:
(1) Such alternatives shall be carried out with provisions for safe and adequate services, and shall in no instance be detrimental to the health and safety of any facility resident.
(2) The applicant or licensee shall submit to the Department a written request for a waiver or exception, together with substantiating evidence supporting the request.
(3) The Department shall provide written approval or denial of the request.
(c) Within 30 days of receipt of a request for a waiver or an exception, the Department shall notify the applicant or licensee in writing of one of the following:
(1) The request with substantiating evidence has been received and accepted for consideration.
(2) The request is deficient, describing additional information required for the request to be acceptable and a time frame for submitting this information.
(A) Failure of the applicant or licensee to comply within the time specified shall result in denial of the request.
(d) Within 30 days of notification of an acceptable request for a waiver or exception, the Department shall notify the applicant or licensee in writing whether the request has been approved or denied.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 15376, Government Code and Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87825. Bonding.
Note     •     History

(a) The licensee shall submit an affidavit, on a form (Surety Bond -- LIC 402 (1/87)) provided by the Department, stating whether he/she safeguards or will safeguard cash resources of residents and the maximum amount of cash resources to be safeguarded for all residents or each resident in any month.
(b) All licensees who are entrusted to care for and control residents' cash resources shall file or have on file with the Department, a bond issued by a surety company to the State of California as principal.
(c) The amount of the bond shall be according to the following schedule:

AMOUNT SAFEGUARDED PER MONTH	BOND REQUIRED

	$750 or less		$1,000
	$751 to $1,500		$2,000
	$1,501 to $2,500		$3,000

Every further increment of $1,000 or fraction thereof shall require an additional $1,000 on the bond.
(d) The licensee shall submit a new affidavit and bond to the Department prior to the licensee safeguarding amounts of residents' cash resources in excess of the current bond.
(e) Whenever the Department determines that the amount of the bond is insufficient to provide necessary protection of residents' cash resources, or whenever the amount of any bond is impaired by any recovery against the bond, the Department shall have the authority to require the licensee to file an additional bond in such amount as the Department determines to be necessary to protect the residents' cash resources.
(f) The provisions of this section shall not apply if the licensee handles money of residents in amounts less than fifty dollars ($50) per person and less than five hundred dollars ($500) for all residents in any month.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.021 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (a) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87826. Safeguards for Cash Resources, Personal Property, and Valuables.
Note     •     History

(a) A licensee shall not be required to accept for admission or continue to care for any resident whose incapacities, as documented by the initial or subsequent needs appraisals, would require the licensee to handle such resident's cash resources.
(b) If such a resident is accepted for or maintained in care, his/her cash resources, personal property. and valuables not handled by a person outside the facility who has been designated by the resident or his/her authorized representative shall be handled by the licensee or facility staff, and shall be safeguarded in accordance with the requirements specified in (c) through (n) below.
(c) No licensee or employee of a licensee shall accept appointment as a conservator of the person, or estate, or person and estate of any resident nor accept any general or special power of attorney except for Medi-Cal or Medicare claims for any resident; nor become the substitute payee for any payments made to any resident, except:
(1) a licensee who is appointed by the Social Security Administration may be representative payee for a resident.
(d) Cash resources, personal property, and valuables of residents handled by the licensee shall be free from any liability the licensee incurs.
(e) Cash resources, personal property, and valuables of residents shall be separate and intact, and shall not be commingled with facility funds or petty cash.
(1) The above requirement shall not prohibit the licensee from providing advances or loans to residents from facility funds.
(A) Documentation of such transactions shall be maintained in the facility.
(f) The licensee or employee of a licensee shall not make expenditures from residents' cash resources for any basic services required by these regulations, or for any basic services identified in a contract/admission agreement between the resident and the licensee.
(g) The licensee shall not commingle cash resources and valuables of residents with those of another residential care facility of a different license number, regardless of joint ownership.
(h) Each licensee shall maintain accurate records of accounts of cash resources, personal property, and valuables entrusted to his/her care, including, but not limited to, the following:
(1) Records of residents' cash resources maintained as a drawing account, which shall include a current ledger accounting, with columns for income, disbursements and balance, for each resident. Supporting receipts for purchases shall be filed in chronological order.
(A) Receipts for cash provided to any resident from his/her account(s) shall include the resident's full signature or mark, or authorized representative's full signature or mark, and a statement acknowledging receipt of the amount and date received, as follows:
“(full signature of resident) accepts (dollar amount) (amount written cursive), this date (date), from (payor).”
(B) The store receipt shall constitute the receipt for purchases made for the resident from his/her account.
(C) The original receipt for cash resources, personal property or valuables entrusted to the licensee shall be provided to the resident's authorized representative, if any, otherwise to the resident.
(2) Bank records for transactions of cash resources deposited in and drawn from the account specified in (i) below.
(i) Immediately upon admission of a resident, all of his/her cash resources entrusted to the licensee and not kept in the licensed facility shall be deposited in any type of bank, savings and loan, or credit union account meeting the following requirements:
(1) The account shall be maintained as a trust account separate from the personal or business accounts of the licensee.
(2) The account title shall clearly note that the account contains resident cash resources.
(3) The licensee shall provide access to the cash resources upon demand by the resident or his/her authorized representative.
(4) The account shall be maintained in a local bank, savings and loan or credit union authorized to do business in California, the deposits of which are insured by a branch of the Federal Government.
(A) A local public agency shall have the authority to deposit such cash resources with the public treasurer.
(j) Cash resources entrusted to the licensee and kept on the facility premises, shall be kept in a locked and secure location.
(k) Upon discharge of a resident, all cash resources, personal property, and valuables of that resident which have been entrusted to the licensee shall be surrendered to the resident, or his/her authorized representative, if any.
(1) The licensee shall obtain and retain a receipt signed by the resident or his/her authorized representative.
(l) Upon the death of a resident, all cash resources, personal property and valuables of that resident shall immediately be safeguarded in accordance with the following requirements:
(1) All cash resources shall be placed in an account as specified in (i) above.
(2) The executor or the administrator of the estate shall be notified by the licensee of the resident's death, and the cash resources, personal property, and valuables shall be surrendered to said party in exchange for a signed, itemized receipt.
(3) If no executor or administrator has been appointed, the authorized representative, if any, shall be notified by the licensee of the resident's death, and the cash resources, personal property, and valuables shall be surrendered to said person in exchange for a signed, itemized receipt.
(4) If the licensee is unable to notify a responsible party as specified in (2) or (3) above, the licensee shall give immediate written notice of the resident's death to the public administrator of the county as provided in section 1145 of the California Probate Code.
(m) The following requirements shall be met whenever there is a proposed change of licensee:
(1) The licensee shall notify the Department of any pending change of licensee, and shall provide the Department an accounting of each resident's cash resources, personal property and valuables entrusted to his/her care.
(A) Such accounting shall be made on a form (Accounting Record for Change Of Licensee -- LIC 424 (1/84)) provided or approved by the Department.
(2) Provided the Department approves the application for the new licensee, the form specified in (1)(A) above shall be updated, signed by both the former and new licensee, and forwarded to the Department.
(n) The licensee shall maintain a record of all monetary gifts and of any other gift exceeding an estimated value of $100, provided by or on behalf of a resident to the licensee, administrator or staff.
(1) The record shall be attached to the account(s) specified in (h) above if the resident's cash resources, personal property or valuables have been entrusted to the licensee.
(2) Monetary gifts or valuables given by the friends or relatives of a deceased resident shall not be subject to the requirement specified in (n) and (n)(1) above.
(o) The licensee shall not become joint tenant on any account specified in Section 87826(i) with a resident.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code; and 20 CFR 416.601.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (m)(1)(A) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsection (c), new subsections (c)(1) and (o) and amendment of Note filed 8-21-95; operative 9-20-95 (Register 95, No. 34).
§87827. Initial Application Review.
Note     •     History

(a) Within 90 days of receipt by the Department of the application specified in Section 87818, the Department shall give written notice to the applicant of one of the following:
(1) The application is complete.
(2) The application is deficient, describing what documents are outstanding and/or inadequate, and informing the applicant that the information must be submitted within 30 days of the date of the notice.
(b) If the applicant does not submit the requested information within the 30 days specified in (a)(2) above, the application shall be deemed withdrawn, provided that the Department has not denied or taken action to deny the application.
(1) If the applicant plans to continue the application process, the applicant shall be required to submit a new application Form LIC 200 as specified in Section 87834(b).
(2) The above requirement shall not apply to applications for facilities under construction.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code and Section 15376, Government Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including adoption of subsection (b)(1) and renumbering transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (a) (Register 2002, No. 14).
§87828. Capacity Determination.
Note     •     History

(a) A license shall be issued for a specific capacity not to exceed 50 persons.
(b) The number of persons for whom the facility is licensed to provide care and supervision shall be determined on the basis of the application review by the Department, which shall take into consideration the following:
(1) Whether the appropriate fire clearance has been approved.
(2) The applicant's/licensee's ability to comply with applicable laws and regulations.
(3) Any other household members who reside at the facility and their individual needs.
(A) The applicant's/licensee's responsibilities to other persons in the home may preclude his/her ability to care for residents.
(4) Physical features of the facility, including available living spaces, which are necessary in order to comply with regulations.
(5) Number of qualified staff available to meet the care and supervision needs of the residents.
(c) The Department shall have the authority to issue a license for fewer residents than is requested based upon determinations made pursuant to Section 87828(b) above.
(d) When the license is issued for fewer residents than requested, the licensee shall be notified in writing of the reasons for the limitation and of the licensee's rights to appeal the decision.
(e) The Department shall have the authority to decrease existing licensed capacity when there is a change in any of the factors specified in (b) above.
(1) If the licensee does not comply with the decrease in capacity, the Department shall have the authority to initiate revocation action.
(f) The Department shall have the authority to restrict care to specific individuals:
(1) If care and supervision is limited to specific individuals, the Department shall specify the names of the individuals in a letter to the licensee.
(2) Except where the limitation is requested by the licensee, the licensee shall be notified in writing of the reasons for such limitation and of the licensee's right to appeal the decision.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). 
3. Certificate of Compliance as to 12-3-91 order including amendment of subsections (b)(1)-(2), (b)(5), (c), (e) and (e)(1) and new subsection (b)(3)(A) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsection (a) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87829. Withdrawal of Application.
Note     •     History

(a) An applicant shall have the right to withdraw an application for a license.
(1) Such withdrawal shall be in writing.
(2) The fee for processing the application shall be forfeited.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.05 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsections (a) and (a)(2) and amendment of Note filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87830. Provisional License.
Note     •     History

(a) The Department shall have the authority to issue a provisional license to an applicant, pending action on a completed application for an initial license, if it determines that all of the following circumstances exist:
(1) The facility is in substantial compliance with applicable law and regulation.
(2) An urgent need for licensure exists.
(3) A corporate applicant's board of directors, executive director and officer are eligible for licensure as specified in Health and Safety Code Section 1568.042(b).
(b) The capacity of a provisional license shall be limited to the number of residents for whom urgent need has been established, or the capacity established for the specific facility, whichever is less.
(c) The Department shall have the authority to issue a provisional license for a maximum of six months when it determines that full compliance with licensing regulations will be achieved within that time period.
(d) The Department shall have the authority to issue a provisional license for a maximum of 12 months when it determines, at the time of application, that more than six months is required to achieve full compliance with licensing regulations due to circumstances beyond the control of the applicant.
(e) If, during the provisional license period, the Department discovers any serious deficiencies, the Department shall have the authority to institute administrative action or civil proceedings.
(f) A provisional license shall not be renewable and shall terminate on the date specified on the license, or upon denial of the application, whichever is earlier.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.042(b), 1568.062 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. New subsection (a)(3) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
§87831. Issuance of License.
Note     •     History

(a) Within 90 days of the date that a completed application, as defined in Section 87801(c)(6), has been received, the Department shall give written notice to the applicant of one of the following:
(1) The application has been approved.
(2) The application has been denied.
(A) The notice of denial shall include the information specified in Section 87840.
(b) The Department shall notify the applicant in writing of the issuance of the license.
(1) Issuance of the license shall constitute written notification of license approval.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.062 and 1568.072, Health and Safety Code and Section 15376, Government Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (a) and (a)(2)(A) (Register 2002, No. 14).
§87832. Term of An Initial or Renewal License.
Note     •     History

NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.061 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Repealer filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87833. Application for Renewal of a License.
Note     •     History

NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.061 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsections (a) and (c) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Repealer filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87834. Submission of New Application.
Note     •     History

(a) A licensee shall file a new application as required by Section 87818 whenever there is a change in conditions or limitations described on the current license, including, but not limited to, the following:
(1) Any change in the location of the facility.
(A) Under these circumstances, the licensee shall be required to pay the reduced fee as specified in Section 87836(c).
(2) Any change of licensee, including, but not limited to, the following when the licensee is a corporation.
(A) Sale or transfer of the majority of stock.
(B) Separating from a parent company.
(C) Merger with another company.
(3) Any change in facility category.
(4) Any increase in capacity.
(A) The Department shall have the authority to grant capacity increases without resubmission of a total application package, following a Department review and the securing of an appropriate fire clearance.
(B) The applicant shall pay the fee as specified in Health and Safety Code Section 1568.05(b)(1)(C).
(5) A permanent change in the number of nonambulatory residents.
(b) A new application Form LIC 200 as required by Section 87818 shall be filed whenever an applicant fails to submit the information necessary to complete the application within the time limit required by Section 87827(a) if the applicant chooses to continue the application process.
(c) The Department shall not require the completion of the entire application process when a licensee applies for a new license due to a change in the facility location as specified in Section 87818(f).
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.061 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (b) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsection (a)(5) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Change without regulatory effect repealing subsection (c) and relettering subsection filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
6. Editorial correction (Register 2002, No. 14).
7. Change without regulatory effect amending subsection (a)(4)(B) filed 6-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 24).
§87835. Conditions for Forfeiture of a Residential Care Facility for the Chronically Ill License.
Note     •     History

(a) The facility license shall be forfeited when the licensee:
(1) Sells or otherwise transfers the facility or facility property, except when change of ownership applies to transferring of stock when the facility is owned by a corporation, and when such transfer of stock does not constitute a majority change of ownership.
(2) Surrenders the license to the department.
(3) Moves a facility from one location to another.
(4) Is convicted of any crime specified in Sections 220, 243.4 or 264.1, or paragraph (1) of Section 273a, Section 273d, 288, or 289 of the Penal Code, or is convicted of another crime specified in subdivision (c) of Section 667.5 of the Penal Code.
(5) Dies.
(b) If the facility licensee dies, an adult relative who has control of the property shall be permitted to operate a previously licensed facility under an Emergency Approval to Operate (LIC 9117 4/93) (EAO) providing the following conditions are met:
(1) The relative or an adult acting on the relative's behalf notifies the Department by telephone during the first working day after the licensee's death that the relative intends to operate the community care facility.
(2) The relative files with the Department within five calendar days of the licensee's death an Application for License (LIC 200 7/91) and evidence of the licensee's death as defined in Section 87801(e)(3).
(A) Notwithstanding the instructions on the Application for License (LIC 200 7/91), the Department shall permit the relative to submit only the information on the front side of that form.
(3) The relative files with the California Department of Justice within five calendar days of the licensee's death his/her fingerprint cards.
(c) If the adult relative complies with (b)(1) and (2) above, he/she shall not be considered to be operating an unlicensed facility pending the Department decision on whether to approve a provisional license.
(d) The Department shall make a decision within 60 days after the application is submitted on whether to issue a provisional license pursuant to Section 87830.
(1) A provisional license shall be granted only if the Department is satisfied that the conditions specified in (b) above and Section 87830 have been met and that the health and safety of the residents of the facility will not be jeopardized.
NOTE

Authority cited: Section 1568.072, Health and Safety Code Reference: Sections 1568.061, 1568.061(e), 1568.064 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsections (b), (d) and (d)(1), repealer and new subsections (b)(1) and (b)(2), new subsections (b)(2)(A) and (b)(3), and amendment of Note filed 6-15-93; operative 7-15-93 (Register 93, No. 25).
5. Editorial correction of subsections (a)(4) and (d) (Register 2002, No. 14).
§87836. Licensing Fees.
Note     •     History

(a) The applicant or licensee shall pay fees charged by the Department as specified in Health and Safety code Section 1568.05.
(b) A fee shall be charged at the time of application and annually thereafter according to capacity.
(c) When a licensee moves a facility from one location to another, the relocation fee shall be as specified in Health and Safety Code Section 1568.05(b)(1)(A).
(1) The relocation fee shall be charged under either of the following conditions:
(A) The facility moves from one location to another and notifies the Department at least 30 calendar days before actual relocation.
OR
(B) The facility relocates due to an emergency.
(2) The fee shall be based on requested capacity at the new location.
(d) The fees shall be nonrefundable.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.05, 1568.061 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of section heading, section and Note filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Change without regulatory effect amending section heading and section filed 6-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 24).
Article 4. Administrative Actions
§87840. Denial of Initial License.
Note     •     History

(a) Except as specified in Section 87830, the Department shall deny an application for an initial license if the applicant is not in compliance with applicable laws and regulations.
(1) The Department shall have the authority to deny an application for an initial license if the applicant has failed to pay any penalty assessments pursuant to Section 87854 and Section 87858 in accordance with a final judgment issued by a court of competent jurisdiction, unless payment arrangements acceptable to the Department have been made.
(2) An application for licensure shall be denied as specified in Health and Safety Code Section 1568.042(b).
(b) If the application for an initial licensee is denied, the Department shall mail the applicant a written Notification of Initial Application Denial -- LIC 192 (10/89).
(1) The notification shall inform the applicant of and set forth the reasons for the denial, and shall advise the applicant of the right to appeal.
(c) An applicant shall have the right to appeal the denial of the application.
(1) The applicant must make any request for a hearing by mailing or delivering a written request to the Department within 15 days after the Department mails the notice of denial.
(2) The appeal hearing shall be conducted in accordance with chapter 5 commencing with Section 11500 of Part 1 of Division 3 of Title 2 of the Government Code.
(d) Notwithstanding any appeal action, the facility is unlicensed and shall not operate pending adoption by the director of a decision on the denial action.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.042(b), 1568.062, 1568.063 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). 
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (a)(1) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. New subsection (a)(2) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
5. Editorial correction (Register 2002, No. 14).
§87841. Denial of a Renewal License.
Note     •     History

NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.062, 1568.063 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Repealer filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87842. Revocation or Suspension of License.
Note     •     History

(a) The Department shall have the authority to suspend or revoke any license under any of the following conditions:
(1) Violation by the licensee of any of the provisions of Health and Safety Code, Division 2, Chapter 3.01 (commencing with Section 1568.01) or applicable regulations.
(2) Aiding, abetting, or permitting the violation by the licensee of any provision of Health and Safety Code, Division 2, Chapter 3.01 (commencing with Section 1568.01) and applicable regulations promulgated under this chapter.
(3) Conduct which is inimical to the health, welfare, or safety of either an individual in or receiving services from the facility or the people of the State of California.
(4) The provision of services beyond the level the facility is authorized to provide, or accepting or retaining residents who require services of a higher level than the facility is authorized to provide.
(5) Engaging in acts of financial malfeasance concerning the operation of a facility, including, but not limited to, improper use or embezzlement of client moneys and property or fraudulent appropriation for personal gain of facility moneys and property, or willful or negligent failure to provide services.
(6) A corporate licensee having a member of the board of directors, an executive director, or an officer who is not eligible for licensure as specified in Health and Safety Code Section 1568.042(c).
(b) The Department may temporarily suspend any license prior to any hearing, if the action is necessary to protect residents of the facility from physical or mental abuse, abandonment, or any other substantial threat to health or safety.
(1) The Department shall notify the licensee of the temporary suspension and the effective date of the temporary suspension and at the same time shall serve such licensee with an accusation.
(2) Upon receipt of a notice of defense to the accusation from the licensee, the Department shall, within 15 days, set the matter for hearing.
(3) The hearing shall be held as soon as possible but not later than 30 days after receipt of such notice.
(4) The temporary suspension shall remain in effect until the hearing is completed and the Department has made a final determination on the merits.
(A) The temporary suspension shall be deemed vacated if the Department fails to make a final determination on the merits within 30 days after the original hearing has been completed.
(c) Proceedings to hear a revocation action or a revocation and temporary suspension action shall be conducted pursuant to the provisions of Government Code Section 11500 et seq.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.042(c), 1568.072 and 1568.082, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsections (a)(2) and (b)(4) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsections (a)(1)-(2), new subsections (a)(5)-(6) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
5. Editorial correction of subsection (c) (Register 2002, No. 14).
§87843. Licensee/Applicant Complaints.
Note     •     History

(a) Each licensee/applicant shall have a right, without prejudice, to notify the Department of any alleged misapplication or capricious enforcement of regulations by any licensing representative, or of any differences in opinion between the licensee and any licensing representative concerning the proper application of these regulations.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87844. Inspection Authority of the Department.
Note     •     History

(a) The Department shall have the authority to conduct an inspection of any licensed residential care facility or residential care facility which has applied to be licensed at any time.
(1) The Department shall conduct an inspection of the licensed facility within 90 days after the date of issuance of a license.
(2) Any duly authorized officer, employee, or agent of the Department may, upon presentation of proper identification, enter and inspect any place providing personal care, supervision and services at any time, with or without advance notice, to secure compliance with, or to prevent a violation of, any provision of this chapter.
(b) An inspection of a Residential Care Facility for the Chronically Ill as a result of a request for inspection shall be governed by the following provisions:
(1) Any person may request an inspection of the facility. The request may be made anonymously.
(2) The request for an inspection may be made to the Department either orally or in writing.
(3) The Department shall act upon a request for inspection as specified below if the request alleges a violation of applicable statute or regulation by the facility:
(A) If the complaint does not allege a denial of a statutory right of access to the facility the Department shall do the following:
1. Make a preliminary review of the complaint to determine if it is willfully intended to harass the licensee or is without any reasonable basis.
2. If the complaint is neither willfully intended to harass the licensee nor is without any reasonable basis, inspect the facility and investigate the complaint within 10 days after receiving the complaint. Notwithstanding the preceding sentence, the Department shall not be required to inspect the facility within 10 days after receiving the complaint if doing so would adversely affect the Department's investigation or the investigation of another agency.
3. Promptly inform the complainant, if not anonymous, of the Department's proposed course of action in response to the complaint.
(B) If the complaint alleges denial of a statutory right of access to the facility the Department shall do the following:
1. Review the complaint.
2. Promptly inform the complainant, if not anonymous, of the Department's proposed course of action in response to the complaint.
(4) The Department shall not be required to act upon a request for inspection if the request does not allege a violation of an applicable statute or regulation by the facility.
(5) The Department shall not disclose the identity of the complainant or of any other person named in the complaint unless the complainant authorizes disclosure of those identities.
(6) The Department shall provide the substance of the complaint to the licensee of the facility at a time no sooner than at the time of the inspection made in response to the complaint.
(c) The Department shall have the authority to interview residents or staff members without prior consent.
(1) The licensee shall ensure that provisions are made for private interviews with any residents or staff members.
(d) The Department shall have the authority to inspect, audit, and copy resident or facility records upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the requirements in Sections 87866(c) and 87870(d). 
(1) The licensee shall make provisions for the examination of all records relating to the operation of the facility. 
(e) The Department shall have the authority to observe the physical condition of the resident, including conditions which could indicate abuse, neglect, or inappropriate placement, and to have a licensed medical professional physically examine the resident.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.07, 1568.071 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsections (a) and (b)(4) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of section heading and subsections (c)-(c)(1), new subsections (d)-(d)(1) and subsection relettering filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§87845. Evaluation Visits.
Note     •     History

(a) All facilities shall be evaluated periodically and inspected by the Department to determine compliance with applicable laws and regulations.
(b) The Department shall have the authority to conduct evaluations and inspections at least once per year or more often if deemed necessary by the Director.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.07 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87846. Exclusions.
Note     •     History

(a) The Department may prohibit an individual from serving as a member of the board of directors, executive director, or officer; being employed or allowing in a licensed facility as specified in Health and Safety Code Sections 1568.092 and 1568.093.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.092 and 1568.093, Health and Safety Code.
HISTORY

1. New section filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
Article 5. Enforcement Provisions
§87852. Deficiencies in Compliance.
Note     •     History

(a) When a licensing evaluation is conducted and the evaluator determines that a deficiency exists, the evaluator shall issue a notice of deficiency, unless the deficiency is not serious and is corrected during the visit.
(b) Prior to completion of an evaluation or other licensing visit, the licensee, administrator, or other person in charge of the facility shall meet with the evaluator to discuss any deficiencies noted, to jointly develop a plan for correcting each deficiency, and to acknowledge receipt of the notice of deficiency.
(c) The notice of deficiency shall be in writing and shall include the following:
(1) Citation of the law or regulation which has been violated.
(2) A description of the nature of the deficiency stating the manner in which the licensee failed to comply with a specified law or regulation, and the particular place or area of the facility in which it occurred.
(3) The plan developed, as specified in (b) above, for correcting each deficiency.
(4) A date by which each deficiency shall be corrected.
(A) In determining the date for correcting a deficiency, the evaluator shall consider the following factors:
1. The potential hazard presented by the deficiency.
2. The number of residents affected.
3. The availability of equipment or personnel necessary to correct the deficiency.
4. The estimated time necessary for delivery and for any installation of necessary equipment.
(B) The time limit for correcting a deficiency shall not be more than 30 calendar days following the date the notice of deficiency was served.
(C) The Department shall have the authority to require the deficiency to be corrected before the 30 calendar day time limit for serious deficiencies.
(D) The Department shall have the authority to require the correction of serious deficiencies within 24 hours or less if they present an immediate threat to the health and safety of the residents.
(5) The amount of the penalty being assessed and the date the penalty begins.
(6) The address and telephone number of the Department office responsible for reviewing notices of deficiencies for the area in which the facility is located.
(d) The evaluator shall notify the licensee in writing of all deficiencies identified by one of the following means:
(1) Personal delivery to the licensee at the completion of the visit.
(2) If the licensee is not at the facility site, by leaving the notice with the person in charge of the facility at the completion of the visit.
(A) Under such circumstances, a copy of the notice shall also be mailed to the licensee.
(3) If the licensee or the person in charge of the facility refuses to accept the notice or the notice cannot be completed during the visit, mailing the notice to the licensee.
(e) Reports on the results of each inspection and evaluation or consultation shall be maintained by the Department and made available for public review.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.07 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (d)(3) (Register 2002, No. 14).
§87853. Follow-up Visits to Determine Compliance.
Note     •     History

(a) A follow-up visit shall be conducted to determine compliance with the plan of correction specified in the notice of deficiency.
(1) The follow-up visit shall be conducted within ten working days following the dates of corrections specified in the notice of deficiency, unless the licensee has demonstrated that the deficiency was corrected as required.
(2) Except as specified in Section 87854, no penalty shall be assessed unless a follow-up visit is conducted.
(b) If a follow-up visit indicates that a deficiency was not corrected on or before the date specified in the notice of deficiency, the evaluator shall issue a notice of penalty (Facility Civil Penalty Assessment - LIC 421 (10/89)).
(c) A notice of penalty shall be in writing and shall include:
(1) The amount of penalty assessed, and the date the payment is due.
(2) The name and address of the agency responsible for collection of the penalty.
(d) When an immediate penalty has been assessed and the correction is made while the evaluator is present, a follow-up visit is not required.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.07 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (b)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (a)(2) (Register 2002, No. 14).
§87854. Penalties.
Note     •     History

(a) A penalty of $50 per day, per cited violation, shall be assessed for serious deficiencies that are not corrected by the date specified in the notice of deficiency, up to a maximum of $150 per day.
(b) An immediate penalty of $100 per cited violation per day for a maximum of five (5) days shall be assessed if any individual required to be fingerprinted under Health and Safety Code Section 1568.09(b) has not obtained a California clearance or a criminal record exemption, requested a transfer of a criminal record clearance or requested and be approved for a transfer of an exemption as specified in Section 87819(d) prior to working, residing or volunteering in the facility. 
(1) Subsequent violations, within a twelve (12) month period will result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days.
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1568.0822. 
(3) Progressive civil penalties specified in Sections 87854(c) and (d) below shall not apply. 
(c) When a facility is cited for a deficiency and violates the same regulation subsection within a 12-month period, the facility shall be cited and an immediate penalty of $150 per cited violation shall be assessed for one day only. Thereafter a penalty of $50 per day, per cited violation, shall be assessed until the deficiency is corrected.
(d) When a facility that was cited for a deficiency subject to the immediate penalty assessment specified in Section 87854(c) above, violates the same regulation subsection within a 12-month period of the last violation, the facility shall be cited and an immediate penalty of $1,000 per cited violation shall be assessed for one day only. Thereafter a penalty of $100 per day violation shall be assessed until the deficiency is corrected.
(1) For purposes of Sections 87854(c) and (d) above, a regulation subsection is the regulation denoted by a lower-case letter after the main regulation number. 
(e) If any deficiency is not corrected by the date specified in the notice of deficiency, a penalty shall be assessed for each day following that date until compliance has been demonstrated.
(1) Immediate penalty assessments specified in (b), (c) and (d) above shall begin on the day the deficiency is cited.
(2) If an immediate penalty is assessed and the deficiency is corrected on the same day, the penalty shall still be assessed for that day.
(f) If a licensee or his/her representative reports to the Department that a deficiency has been corrected, the penalty shall cease as of the day the Department receives notification that the correction was made.
(1) If necessary, a site visit shall be made immediately or within five working days to confirm that the deficiency has been corrected.
(2) If it is verified that the deficiency has not been corrected, penalties shall continue to accrue.
(3) If it is verified that the correction was made prior to the date of notification, the penalty shall cease as of that earlier date.
(g) Unless otherwise ordered by the Department all penalties are due and payable upon receipt of notice for payment, and shall be paid only by check or money order made payable to the agency indicated in the notice.
(h) The Department shall have the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in (g) above.
NOTE

Authority cited: Sections 1568.072 and 1568.0822(e), Health and Safety Code. Reference: Sections 1568.072, 1568.0822 and 1568.09, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of section and Note filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
5. Amendment of subsection (d) filed 7-23-2002; operative 8-22-2002 (Register 2002, No. 30).
6. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsections (b) and (b)(1) and repealer of subsection (b)(1)(A), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
10. Amendment of subsection (b), new subsection (b)(1), subsection renumbering, amendment of newly designated subsection (b)(2) and amendment of Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§87855. Administrative Review.
Note     •     History

(a) A licensee or his/her representative shall have the right to request a review of a notice of deficiency and/or notice of penalty, within 10 working days of receipt of such notice(s).
(1) If the deficiency has not been corrected, penalties shall continue to accrue during the review process.
(b) The review shall be conducted by a higher level staff person than the evaluator who issued the notice(s).
(c) If the reviewer determines that a notice of deficiency or notice of penalty was not issued or assessed in accordance with applicable statutes and regulations of the Department, or that other circumstances existed, he/she shall have the authority to amend or dismiss the notice.
(d) The reviewer shall have the authority to extend the date specified for correction of a deficiency, if warranted by the facts or circumstances presented to support a request for extension.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.07 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87855.1. Denial or Revocation of License for Failure to Pay Civil Penalties.
Note     •     History

(a) The licensee shall be responsible for paying civil penalties. 
(1) Unless otherwise provided, the transfer, surrender, forfeiture or revocation of a license shall not affect the licensee's responsibility for paying any civil penalties accrued while the license was in effect. 
(b) The Department shall have the authority to deny or revoke any license for failure to pay civil penalty assessments. 
(1) The Department shall have the authority to approve payment arrangements acceptable to the Department. 
(2) The Department shall have the authority to approve the form of payment. 
(3) The licensee's failure to pay civil penalty assessments pursuant to a payment plan approved by the Department may result in the denial or revocation of any license, and/or any other appropriate action. 
(c) Any denial or revocation of the license for failure to pay civil penalties may be appealed as provided by Health and Safety Code Section 1568.065. 
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.065, 1568.072, 1568.0822 and 1568.09, Health and Safety Code. 
HISTORY

1. New section filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
§87858. Unlicensed Facility Penalties.
Note     •     History

(a) An immediate penalty of $100 per resident per day shall be assessed for the operation of an unlicensed facility under the following condition:
(1) The operator has not submitted a completed application for licensure within 15 calendar days of issuance of the Notice of Operation in Violation of Law, (LIC 195 (9/87)) pursuant to Section 87806, and continues to operate.
(A) For purposes of this section, an application shall be deemed complete if it includes the information required in Section 87818.
(B) The completed application shall be deemed to be submitted when received by the Department.
(b) A penalty of $200 per resident per day shall be assessed for the continued operation of an unlicensed facility as follows:
(1) On the 16th calender day after the operator has been issued the Notice of Operation in Violation of Law, and has not submitted a completed application as required.
(A) The penalty of $200 per resident per day shall continue until the operator ceases operation, or submits a completed application pursuant to Section 87818.
(2) Unlicensed operation continues after denial of the initial application.
(A) Notwithstanding any appeal action, facility operation must cease within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first.
(B) The penalty of $200 per resident per day shall continue until the operator ceases operation.
(c) If the operator of the unlicensed facility or his/her representative reports to the Department that unlicensed operation, as defined in Sections 87801(u)(1) and 87806, has ceased, the penalty shall cease as of the day the Department receives the notification.
(1) A site visit shall be made immediately or within five working days to verify that the unlicensed facility operation has ceased.
(2) Notwithstanding (c) above, if the unlicensed facility operation has not ceased, penalties shall continue to accrue without interruption from the date of initial penalty assessment.
(d) All penalties shall be due and payable upon receipt of the Notice for Payment from the Department, and shall be paid by check or money order made payable to the agency indicated in the notice.
(e) The Department shall have the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in (d) above.
(f) Payment of penalties or application for a license in response to a citation under this section does not permit the operation without a license of a Residential Care Facility for the Chronically Ill.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.072 and 1568.0821, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction (Register 2002, No. 14).
§87859. Unlicensed Facility Administrative Appeal.
Note     •     History

(a) The operator of an unlicensed facility or his/her representative shall have the right to appeal the penalty assessment within 10 working days after service of the penalty assessment.
(1) If the unlicensed facility operation has not ceased, the penalty shall continue to accrue during the appeal process.
(b) The appeal review shall be conducted by a higher level staff person than the evaluator who issued the penalty.
(c) If the reviewer of the appeal determines that the penalty assessment was not issued in accordance with applicable statutes and regulations of the Department, he/she shall have the authority to amend or dismiss the penalty assessment.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.072 and 1568.0821, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of printing error inserting  (1) to second paragraph  (Register 92, No. 9).
4. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
Article 6. Continuing Requirements
§87860. Basic Services to Be Provided by the Facility.
Note     •     History

(a) All licensees of Residential Care Facilities for the Chronically Ill shall ensure the provision of the basic services specified below:
(1) Safe and healthful living accommodations and services.
(A) The resident shall have securable storage space for personal items.
(2) Three nutritious, well-balanced meals and snacks, made available daily, including modified diets prescribed by the physician.
(A) Kitchen space with adequate refrigerator space in the facility for residents who desire and are capable of preparing their own meals.
(B) The licensee shall ensure that nutrition consultation is made available to the resident for dietary needs.
(3) Registered nurse case management for health and social services.
(A) The registered nurse case manager may be an employee of the home health agency, the facility, or another organization with a contract with the facility.
(4) The development, implementation, monitoring and modification of the Individual Services Plan, as specified in section 87896, which outlines the resident's needs.
(5) Personal assistance and care as needed by the resident and as indicated in Section 87895.
(6) Regular observation of the resident's physical and mental condition.
(7) Discharge assistance including, but not limited to, referral of residents to other available placements, if needed.
(8) Intermittent home health care services.
(9) Common areas including recreation areas.
(10) Arrangement to meet health needs as identified in the resident's Individual Services Plan as specified in Section 87896.
(A) Arrangements to meet the residents' health needs shall comply with the requirements specified in Sections 87890 and 87891.
(11) The arranging of transportation for medical, dental, therapeutic and counseling services.
(12) Social and emotional support services of the resident's own choice.
(b) For SSI/SSP recipients who are residents, the basic services shall be provided and/or made available at the basic rate with no additional charge to the resident.
(1) This shall not preclude the acceptance by the facility of voluntary contributions from relatives or others on behalf of an SSI/SSP recipient.
(2) An extra charge to the resident shall be allowed for a private room if a double room is made available but the resident prefers a private room, provided the arrangement is documented in the admission agreement and the charge is limited to 10% of the board and room portion of the SSI/SSP grant.
(3) An extra charge to the resident shall be allowed for special food services or products beyond that specified in Subsection (a)(2) above when the resident wishes to purchase the services and agrees to the extra charge in the admissions agreement.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code and Section 12350, Welfare and Institutions Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (a)(3) and adoption of subsection (a)(10)(A)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. New subsection (b)(1) and subsection renumbering, and amendment of newly designated subsections (b)(2)-(3) and Note filed 3-20-96; operative 4-19-96 (Register 96, No. 12).
5. Amendment of subsection (a)(3) and new subsection (a)(3)(A) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
6. Editorial correction of subsections (a)(5), (a)(10) and (b)(3) (Register 2002, No. 14).
§87861. Reporting Requirements.
Note     •     History

(a) Each licensee or applicant shall furnish information to the Department as required by the Department in order to carry out its statutory and regulatory responsibilities, including, the information specified in this section.
(b) Upon the occurrence, during the operation of the facility, of any of the events specified in (1) below, a report shall be made to the Department on the same day or within the Department's next working day during its normal business hours. In addition, a written report containing the information specified in (2) below shall be submitted to the Department within seven days following the occurrence of such event.
(1) Events reported shall include the following:
(A) Death of any resident from any cause.
(B) Any injury to any resident which requires medical treatment.
(C) The use of an Automated External Defibrillator. 
(D) Any unusual incident or resident abuse which threatens the physical or emotional health or safety of any resident.
(E) Any suspected physical or psychological abuse of any resident.
(F) Poisonings.
(G) Catastrophes.
(H) Communicable diseases, as specified in California Code of Regulations, Title 17, Section 2502.
(I) Fires or explosions which occur in or on the premises.
(2) Information provided shall include the following:
(A) Resident's name, age, sex, and date of admission.
(B) Date and nature of event.
(C) Attending physician's name, findings, and treatment, if any.
(D) Disposition of the case.
(c) The items below shall be reported to the Department within 10 working days following the occurrence.
(1) Organizational changes.
(2) Any change in the licensee's or applicant's mailing address.
(3) Any change of the chief executive officer of a corporation or association.
(A) Such notification shall include the new chief executive officer's name and address.
(B) Fingerprints shall be submitted as specified in Section 87819.
(4) Any changes in the plan of operation which affect the services to residents.
(d) The items specified in (b)(1)(A) through (I) above shall also be reported to the resident's authorized representative, if any.
(e) The items specified in (b)(1)(E) through (G) above shall also be reported to the local health officer, when appropriate, pursuant to Title 17, California Code of Regulations, Sections 2500, 2502 and 2503, including:
(1) Report to the local health department any resident, licensee, administrator, employee or volunteer whose tuberculin skin test converts from negative to positive.
(2) Report to the local health department any current resident who is currently taking medications for tuberculosis.
(3) Report to the local health department any resident who is currently taking medication for tuberculosis and plans to relocate or has relocated.
(f) Fires or explosions which occur in or on the premises shall be reported immediately to the local fire authority; in areas not having organized fire services, to the State Fire Marshal within 24 hours; and to the Department no later than the next working day.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.072 and 1797.196, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). 
3. Certificate of Compliance as to 12-3-91 order including amendment of subsections (a), (d) and (e), repealer of subsection (b)(1)(E) and relettering and adoption of subsections (e)(1)-(3) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (b)(1)(G), (c)(3)(B), (d) and (e) (Register 2002, No. 14).
5. New subsection (b)(1)(C), subsection relettering, amendment of subsection (d) and amendment of Note filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
6. Amendment of subsection (c)(3)(B) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (c)(3)(B) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (c)(3)(B) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-11-2004 order transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§87862. Finances.
Note     •     History

(a) The licensee shall meet the following financial requirements:
(1) Development and maintenance of a financial plan which ensures resources necessary to meet operating costs for care and supervision of residents.
(2) Maintenance of financial records.
(3) Submission of financial reports as required, upon the written request of the Department.
(A) Such request shall explain the necessity for disclosure.
(B) The Department shall have the authority to reject any financial report, and to request and examine additional information including interim financial statements. The reason(s) for rejection of the report shall be in writing.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87863. Accountability.
Note     •     History

(a) The licensee, whether an individual or other entity, shall be accountable for the general supervision of the licensed facility, and for the establishment of policies concerning its operation.
(1) If the licensee is a corporation or an association, the governing body shall be active and functioning in order to ensure such accountability.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL by 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction restoring History 2 and renumbering following History Note (Register 95, No. 25).
§87864. Administrator-Qualifications and Duties.
Note     •     History

(a) All Residential Care Facilities for the Chronically Ill shall have an administrator who has the following educational background and work experience specified in either Subsection (1), (2), or (3) below:
(1) A baccalaureate degree in psychology, social work or a related human services field, or be a registered nurse or medical doctor.
(2) A baccalaureate degree in any field with a minimum of one year of experience in a supervisory or management position in human services.
(3) A minimum of four years of experience in a supervisory or management position in human services.
(b) The licensee, if an individual, may be the administrator if he/she has the qualifications specified in this section.
(c) The administrator shall have the following qualifications:
(1) The ability to read, write, speak and understand English.
(2) Attainment of at least 18 years of age.
(3) Knowledge of the requirements for providing the type of care and supervision needed by residents, including the ability to communicate with such residents.
(4) Knowledge of and ability to comply with applicable law and regulation.
(5) Ability to maintain or supervise the maintenance of financial and other records.
(6) Ability to direct the work of others, when applicable.
(7) Ability to establish the facility's policy, program and budget.
(8) Ability to recruit, employ, train, and evaluate qualified staff, and to terminate employment of staff, if applicable to the facility.
(9) Knowledge of basic food nutrition.
(d) The administrator shall have a combination of 40 hours of documented training. The training shall be in areas selected from the following: resident-related health conditions, signs and symptoms of substance abuse, business administration, death and dying, self-help and coping when caring for the terminally ill, community resources, food purchasing, personnel supervision and relations, personality conflict and facility management.
(1) The training must be given by a person who possesses the necessary credentials to substantiate that he/she is qualified to provide the training.
(2) The administrator shall have the documentation which outlines the date and the type of training completed.
(3) The licensee shall maintain a copy of the training documentation in the facility personnel file.
(4) A minimum of 20 hours of the training required by (d) above shall focus on HIV Disease/AIDS and early recognition and the prevention of tuberculosis.
(e) The administrator shall:
(1) Provide for supervision of all residents, as needed to meet the needs of individual residents.
(2) Administer the applicable policies of the facility.
(3) Comply with applicable laws and regulations.
(4) Communicate with the Department as required by applicable laws and regulations.
(5) Acknowledge the receipt of the Department's correspondence, notices, or field reports when the Department has requested a response.
(6) Assure the timely correction of all cited deficiencies.
(7) Adjust the program to accommodate the needs of all residents.
(8) Coordinate all activities and services.
(9) Recruit, hire, and supervise all staff.
(10) Provide initial orientation for all staff and ongoing educational and training programs for the direct care staff.
(f) The licensee, if an individual, or any member of the governing board of the licensed corporation or association, shall be permitted to be the administrator provided that he/she meets the qualifications specified in this section.
(g) Each licensee shall make provision for continuing operation and carrying out of the administrator's responsibilities during any absence of the administrator.
(1) When the administrator is absent from the facility, there shall be coverage by a substitute designated by the licensee who meets the qualifications specified in Section 87864.1, who is on site, and who shall be capable of, and responsible and accountable for the management and administration of the facility in compliance with applicable laws and regulations.
(A) When the administrator is absent from the facility for more than 30 consecutive days, the licensee shall designate a substitute who meets the qualifications of an administrator as specified in Section 87864(c).
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including adoption of subsections (d)(1)-(4) and amendment of subsection (e) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Repealer and new subsection (b) and amendment of Note filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Editorial correction of subsections (a), (g)(1) and (g)(1)(A) (Register 2002, No. 14).
§87864.1. Facility Manager.
Note     •     History

(a) Each Residential Care Facility for the Chronically Ill shall have a Facility Manager.
(1) If the administrator is responsible for more than two facilities, the facility manager shall meet the requirements of this section and also of Sections 87864(c) and (d).
(2) An assistant Facility Manager shall be designated to act in the capacity of the facility manager during the hours when he/she is absent from the facility, including the evening and night hours.
(b) Each Facility Manager shall be able to read, write, speak and understand English.
(c) The Facility Manager shall have the following qualifications:
(1) One year of work experience in a residential care facility that served persons with chronic, life threatening illnesses or equivalent experience as determined by the Director.
(2) A combination of 40 hours of documented training. The training shall be in areas selected from the following: resident-related health conditions, signs and symptoms of substance abuse, death and dying, copying when caring for the terminally ill, community resources, food purchasing, personnel supervision and relations, personality conflict and facility management courses.
(A) The training must be given by a person who possesses the necessary credentials to substantiate that he/she is qualified to provide the training.
(B) The facility manager shall have the documentation which outlines the date and type of training completed.
(C) The licensee shall maintain a copy of the training documentation in the facility personnel file.
(D) A minimum of 20 hours of the training required by (c)(2) above shall focus on HIV Disease/AIDS and early recognition and the prevention of tuberculosis.
(3) Written documentation that he/she has completed either of  the California Nursing Assistant or the Home Health Aides' program.
(d) The  facility manager shall be responsible for the following:
(1) Communication with the administrator concerning the operation of the facility.
(2) Assisting the administrator with the coordination of all activities and services.
(3) Supervising the maintenance and daily operation of the facility.
(e) The licensee, if an individual, may be the facility manager if he/she has the qualifications specified in this section.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including adoption of subsections (c)(2)(A)-(D) and (d)-(d)(3) and amendment of subsection (c)(3) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsection (a)(1), new subsection (e) and amendment of Note filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87865. Personnel Requirements.
Note     •     History

(a) There shall be at least one staff person at the facility at all times who is able to read, write, speak and understand English.
(b) Facility personnel shall be competent to provide the services necessary to meet individual resident needs and shall, at all times, be employed in numbers necessary to meet such needs.
(c) The Department shall have the authority to require any licensee to provide additional staff whenever the Department determines that additional staff are required for the provision of services necessary to meet resident needs. The following factors shall be taken into consideration in determining the need for additional staff.
(1) Needs of the particular residents.
(2) Extent of the services provided by the facility.
(3) Physical arrangements of the particular facility.
(4) Existence of a state of emergency or disaster.
(d) The licensee shall be permitted to utilize volunteers provided that such volunteers are supervised, and are not included in the facility staff plan.
(e) The following facility staff shall be at least 18 years of age:
(1) Persons who supervise employees and/or volunteers.
(2) Persons, including volunteers, who provide any element of care and supervision to residents.
(f) The licensee shall provide for direct supervision of residents during participation in or presence at potentially dangerous activities or areas on the facility premises.
(1) Adults who supervise while residents are using a pool or other body of water shall have a valid water safety certificate.
(g) All direct care facility staff shall be given on-the-job training or shall have related experience which provides knowledge of and skill in the following areas, as appropriate to the resident population served and, to the job assigned:
(1) Principles of nutrition, food preparation and storage and menu planning.
(2) Housekeeping and sanitation principles.
(3) Provision of resident care and supervision, including communication.
(4) Assistance with prescribed medications which are self-administered.
(5) Recognition of early signs of illness and the need for professional assistance.
(6) Availability of community services and resources.
(7) All direct care staff shall have 20  hours of on-the-job training on AIDS-related conditions and the early recognition and prevention of tuberculosis, within three months after employment.
(8) Written documentation that he/she has completed the Certified Nursing Assistant or Home Health Aides' program or has equivalent experience or training including, but not limited to, the following areas:
(A) Basic information on blood borne infections.
(B) Early recognition and universal precautions for preventing the contacting and spreading of infections and tuberculosis.
(C) Personal protective equipment and their use for avoiding the contacting and spreading of infections.
(D) Practices used in the work place for avoiding the contracting and spreading of infections including but not limited to:
1. Handwashing.
2. Handling syringes and needles.
3. Handling body fluids and waste.
4. Disposal of hazardous waste.
(9) The training specified in (g) above must be given by the appropriately skilled professional.
(A) The direct care facility staff shall have documentation signed by the appropriately skilled professional which outlines the date completed and the type of training completed.
(B) The licensee shall maintain a copy of the training documentation in the facility personnel file.
(h) All personnel, including the licensee, administrator, and facility managers shall be in good health, and shall be physically, mentally, and occupationally capable of performing assigned tasks.
(1) Except for volunteers, good physical health shall be verified by a health screening performed by or under the supervision of a physician not more than one year prior to or seven days after employment or licensure.
(2) A health screening report signed by the person performing such screening shall be made on each person specified in (h) above, and shall indicate the following:
(A) The person's physical qualifications to perform the duties to be assigned.
(B) The presence of any health condition that would create a hazard to the person, residents or other staff members.
(C) For each volunteer, his/her good physical health shall be documented by his/her written statement affirming that he/she is in good health.
(3) All persons specified in (h) above and volunteers shall comply with the following tuberculosis testing requirements:
(A) Obtain a Mantoux tuberculin skin test recorded in millimeters and dated no more than three months prior to licensure or his/her employment or presence into the facility.
(1)  If the Mantoux tuberculin skin test is positive, he/she shall obtain a chest x-ray and be examined by a physician and obtain  the physician's written statement verifying that he/she does not have communicable tuberculosis.
(2) A person who has had a previously positive reaction shall not be required to obtain a Mantoux tuberculin skin test but shall only be required to obtain the chest x-ray results and a physician's statement that he/she does not have communicable tuberculosis.
(B) The Mantoux tuberculin skin test shall be updated at least once per year, except for persons who have had a previous positive reaction.
(1) A person who has had a previously positive reaction shall not be required to obtain a Mantoux tuberculin skin test but shall only be required to obtain the chest x-ray results and a physician's statement that he/she does not have communicable tuberculosis.
(4) The  licensee shall ensure that a current log is maintained for all persons specified in (h) above and volunteers which includes the dates and results of Mantoux tuberculin skin tests recorded in millimeters and chest x-rays and the physician's statement verifying that the person does not have communicable tuberculosis.
(5) Each direct care staff shall be informed that if he/she has HIV Disease, he/she is at an increased risk of developing tuberculosis.
(i) Personnel with evidence of physical illness that poses a threat to the health and safety of residents shall be relieved of their duties.
(j) Prior to employment or initial presence in the facility, all employees and volunteers subject to a criminal record review shall: 
(1) Obtain a California clearance or a criminal record exemption as required by law or Department regulations or 
(2) Request a transfer of a criminal record clearance as specified in Section 87819(a)(2) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 87819.1(r), unless, upon request for a transfer, the Department permits the individual to be employed, reside or be present at the facility.
(k) Residents shall not be used as substitutes for required staff but shall be permitted, as a voluntary part of their program of activities, to participate in household duties and other tasks suited to the resident's needs and abilities.
(1) Such duties and tasks shall be specified in the resident's needs and services plan.
(l) When regular staff members are absent, there shall be coverage by personnel capable of performing assigned tasks as evidenced by on-the-job performance.
(m) Personnel shall provide for the care and safety of persons without physical or verbal abuse, exploitation or prejudice.
(n) All personnel shall be instructed to report observations or evidence of violations of any of the personal rights specified in Section 87872.
(o) Support staff shall be employed as necessary to perform the following duties:
(1) Office work.
(2) Cooking.
(3) House Cleaning.
(4) Laundering.
(5) Maintenance of buildings, equipment and grounds.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsections (g)(7)-(8), (g)(8)(B), (g)(9)(A) and (h) transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsections (g)(8) and (g)(8)(A) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Editorial correction of subsections (g)(8)(D)3., (j)-(j)(2)(A) and (n) (Register 2002, No. 14).
6. Amendment of subsection (j), repealer of subsections (j)(1)-(j)(2)(A) and new subsections (j)(1)-(3) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (j), repealer of subsections (j)(1)-(j)(2)(A) and new subsections (j)(1)-(3) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (j), repealer of subsections (j)(1)-(j)(2)(A) and new subsections (j)(1)-(3) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsection (j)(1), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§87865.1. Staffing Ratios for Day and Night Care and Supervision.
Note     •     History

(a) There shall be a minimum of one direct care staff person on duty whenever residents are present.
(b) For daytime hours, the minimum staffing ratio shall be one direct care staff person up, awake, and on duty for every ten residents on the premises.
(c) For evening and night hours, the minimum staffing ratio shall be one direct care staff person up, awake, and on duty for every fifteen residents on the premises
(1) For evening and night hours, at least one direct care staff person shall be on call within 30 minutes of the facility in case of an emergency.
(d) For residents who are unable to assist in the performance of activities of daily living and for residents whose death is imminent as specified in the resident's Individual Services Plan or as observed by the Department, the minimum staffing ratio shall be one direct care staff person to every three residents.
(e) The staffing ratio specified in this section shall exclude the support staff as specified in Section 87865(o) but may include the following:
(1) The administrator if he/she meets the qualifications specified in Sections 87864 and 87865.
(2) The facility manager if her/she meets the qualifications specified in Sections 87864.1 and 87865.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsections (a)(1)(A), (a)(2)(A)-(B) and (c)(1)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of section and Note filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Editorial correction of subsection (e) (Register 2002, No. 14).
§87866. Personnel Records.
Note     •     History

(a) The licensee shall ensure that personnel records are maintained on the licensee, administrator and each employee. Each personnel record shall contain the following information:
(1) Employee's full name.
(2) Driver's license number if the employee is to transport residents.
(3) Date of employment.
(4) A statement signed by the employee that he/she is at least 18 years of age.
(5) Home address and phone number.
(6) Documentation of educational background, continuing education hours, training and/or experience, as specified in Section 87865.
(7) Past work experience, including types of employment and former employers.
(8) Duties of the employee.
(9) Termination date, if no longer employed by the facility.
(10) Documentation of first aid training.
(11) Criminal record statement signed by the employee, as required by Section 87819.
(12) Documentation of either a criminal record clearance or a criminal record exemption as required by Section 87819(d). 
(13) A health screening as specified in Section 87865(h).
(14) Tuberculosis test documents as specified in Section 87865(h). 
(b) Personnel records shall be maintained for all volunteers and shall contain the following: 
(1) A health statement as specified in Section 87865(h)(2)(C). 
(2) Tuberculosis test documents as specified in Section 87865(h). 
(3) For volunteers that are required to be fingerprinted pursuant to Section 87819: 
(A) A signed statement regarding their criminal record history as required by Section 87819(a)(3). 
(B) Documentation of either a criminal record clearance or a criminal record exemption as required by Section 87819(d). 
(c) All personnel records shall be available to the Department to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove any current emergency or health-related information for current personnel unless the same information is otherwise readily available in another document or format. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
(d) All personnel records shall be retained for at least three years following termination of employment.
(e) All personnel records shall be maintained at the facility site.
(1) The licensee shall be permitted to retain such records in a central administrative location provided that they are readily available to the Department at the facility site as specified in Section 87866(c). 
(f) In all cases, personnel records shall document the hours actually worked.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (b) and new subsections (c)-(c)(1)(C) and relettering of following subsections  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (a)(6) and (a)(11) (Register 2002, No. 14).
5. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
6. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsections (a)(12) and (b)(3)(A)-(B), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
9. Amendment of subsection (a), new subsections (c)-(c)(3), subsection relettering and amendment of newly designated subsections (e)-(e)(1) filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§87868. Admissions Agreements.
Note     •     History

(a) The licensee shall complete an individual written admission agreement with each resident and the resident's authorized representative, if any.
(b) The licensee shall complete and maintain in the resident's file a Telecommunications Device Notification form (LIC 9158, 5/97) for each resident whose pre-admission appraisal or medical assessment indicates he/she is deaf, hearing-impaired, or otherwise disabled.
(c) Admission agreements shall specify the following:
(1) Basic services.
(2) Available optional services,
(3) Payment provisions, including the following:
(A) Basic rate.
(B) Optional services rates.
(C) Payor.
(D) Due date.
(E) Frequency of payment.
(4) Modification conditions, including requirement for provision of at least 30 calendar days prior written notice to the resident or his/her authorized representative of any basic rate change.
(A) It shall be acceptable for agreements involving residents whose care is funded at government-prescribed rates to specify that the effective date of government rate change shall be considered the effective date for basic service rate change and that no prior notice is necessary.
(5) Refund conditions.
(6) Right of the Department to perform the duties authorized in Section 87844.
(7) Conditions under which the agreement may be terminated.
(8) The facility's policy concerning family visits and other communication with residents.
(9) That the resident is required to designate a person to have Durable Power of Attorney for health care for the resident.
(d) Admission agreements shall be dated and signed, acknowledging the contents of the document, by the resident and the resident's authorized representative and the licensee or the licensee's designated representative no later than seven calendar days following admission.
(e) Modifications to the original agreement shall be made whenever circumstances covered in the agreement change, and shall be dated and signed by the persons specified in (c) above.
(f) The licensee shall retain in the resident's file the original of the initial admission agreement and all subsequent modifications.
(1) The licensee shall provide a copy of the current admission agreement to the resident and the resident's authorized representative, if any.
(g) The licensee shall comply with all terms and conditions set forth in the admission agreement.
(h) The admission agreement shall be automatically terminated by the death of the resident. No liability or debt shall accrue after the date of death.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1524.7 and 1568.072, Health and Safety Code; and Section 2881, Public Utilities Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including adoption of subsection (b)(9)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of section and Note filed 11-12-98; operative 12-12-98 (Register 98, No. 46).
5. Editorial correction of subsections (c)(4)(A) and (c)(6) (Register 2002, No. 14).
§87868.1. Resident Eviction Procedures.
Note     •     History

(a) The licensee shall be permitted to evict a resident with 30 days written notice for any of the following reasons:
(1) Nonpayment of the basic rate for the provision of basic services within ten days of the due date.
(2) Failure of the resident to comply with the provisions of the Admission Agreement.
(b) The licensee shall evict the resident if he/she refuses to relocate within thirty (30) days of a written notice under the following circumstances:
(1) Modifications to the resident's Individual Services Plan specified in Section 87896 indicate that the resident's needs can no longer be met by the facility.
(A) Under these circumstances, the resident shall be given an opportunity to voluntarily relocate.
(B) The facility shall assist the resident to relocate, if needed.
(2) The resident's needs can no longer be met in the facility and his/her continued placement is inappropriate due to a change in the facility license or facility program.
(c) The licensee shall be permitted to evict a resident with three days prior written notice if the resident has engaged in behavior which poses a threat to himself/herself, other residents, and/or the facility personnel.
(1) Prior to an eviction, the following requirements shall be met:
(A) The Individual Services Team has submitted written approval to the licensee which concurs with the decision to evict the resident.
(B) The licensee has received prior written and/or documented telephone approval for the notice of eviction from the Department.
(C) The Department shall approve or deny the request within two working days of receipt.
(D) The licensee shall maintain a copy of the documentation in the resident file.
(E) The licensee shall assist the resident to  relocate, if needed.
(F) The licensee shall document the action taken to assist the resident to relocate and where the resident was relocated.
(d) The licensee shall set forth in the notice the reasons for the eviction, with specific facts including the date, place, witnesses, and circumstances.
(e) The licensee shall, upon providing the resident with notification of eviction as specified in (a) or (b) above, mail a copy of the eviction notice to the resident's authorized representative, if any.
(f) The licensee shall send to the Department a copy of the 30-day written notice in accordance with (a) above within five days of giving the notice to the resident.
(g) Alternatives to the eviction procedures specified in this section include voluntary relocation, hospitalization, arrest, and other actions not prohibited by applicable laws and regulations.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92, including new subsection (b) (with relettering) and (C)(1)(F), and renumbering of former subsections (a)(3) and (a)(4) to (b)(1) and (b)(2), respectively (Register 92, No. 23).
4. New subsection (g) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Editorial correction of subsection (b)(1) (Register 2002, No. 14).
§87868.2. Resident Relocation Plan.
Note     •     History

(a) In any instance where the Department does not suspend the facility license and the Department requires that a resident be relocated because the resident has a health condition(s) which cannot be cared for within the limits of the license of the facility or which requires inpatient care in a licensed health facility, the licensee shall prepare a written relocation plan. The plan shall contain all necessary steps to be taken to reduce stress to the resident which may result in transfer trauma. 
(1) The written relocation plan shall include, but not be limited to, the following:
(A) A specific date for beginning and a specific date for completion of the process of safely relocating the resident. The time frame for relocation may provide for immediate relocation but shall not exceed 30 days.
(B) A specific date when the resident and the resident's authorized representative, if any, shall be notified of the need for relocation.
(C) A specific date when consultation with the resident's physician shall occur to obtain a current medical assessment of the resident's health needs, to determine the appropriate facility type for relocation and to ensure that the resident's health care needs continue to be met at all times during the relocation process.
(D) The method by which the licensee will participate in the identification of an acceptable relocation site with the resident and the authorized representative, if any. The licensee shall advise the resident and/or the authorized representative that if the resident is to be moved to another Residential Care Facility for the Chronically Ill, a determination must be made that the resident's needs can be legally met in the new facility before the move is made. If the resident's needs cannot be met in the new facility, the resident must be moved to a facility licensed to provide the necessary care.
(E) A list of contacts made or to be made by the licensee with community resources, including but not limited to, social workers, family members, clergy, to ensure that services are provided to the resident before, during and after the move. The need for the move shall be discussed with the resident to assure the resident that support systems will remain in place.
(F) Measures to be taken until relocation to protect the resident and/or meet the resident's health and safety needs.
(G) An agreement to notify the Department when the relocation has occurred, including the resident's new address, if known.
(2) The relocation plan shall be submitted in writing to the Department within the time set forth in the written notice by the Department that the resident requires health services that the facility cannot legally provide.
(3) Any changes in the relocation plan shall be submitted in writing to the Department. The Department shall have the authority to approve, disapprove or modify the plan.
(4) If relocation of more than one (1) resident is required, a separate plan shall be prepared and submitted in writing for each resident.
(5) The licensee shall comply with all terms and conditions of the approved plan. No written or oral contract with any other person shall release the licensee from the responsibility specified in (a) and (b) of this section for relocating a resident who has a health condition(s) which cannot be cared for in the facility and/or which requires inpatient care in a licensed health facility, nor from taking necessary actions to reduce the likelihood of transfer trauma to the resident.
(6) In cases where the Department determines that the resident is in imminent danger because of a health condition(s) which cannot be cared for in the facility or which requires inpatient care in a licensed health facility, the Department shall require the licensee to immediately relocate the resident.
(A) No written relocation plan is necessary in cases of immediate relocation.
(b) In all cases when a resident must be relocated, the licensee shall not obstruct the relocation process and shall cooperate with the Department in the relocation process. Such cooperation shall include, but not be limited to, the following activities:
(1) Identifying and preparing for removal of the medications, Medi-Cal or Medicare or other medical insurance documents, clothing, safeguarded cash resources, valuables and other belongings of the resident.
(2) Contacting the resident's authorized representative to assist in transporting him/her, if necessary.
(3) Contacting other suitable facilities for placement, if necessary.
(4) Providing access to resident's files, when required by the Department.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.07, 1568.072 and 1568.073, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of printing error in subsection (a) (Register 92, No. 9).
4. Certificate of Compliance as to 12-3-91 order including amendment of subsection (a)(1)(E)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87868.3. Department Relocation Determination.
Note     •     History

(a) The Department shall require the relocation of a resident to the inpatient care unit of a licensed health facility if it is determined that the resident, due to his/her physical and/ or mental health condition, requires a higher level of care than the facility can legally provide.
(1) The Department shall obtain an assessment of the resident's physical and/or mental health condition from the appropriately skilled professional.
(A) The assessment shall include input from the resident, his/her authorized representative, his/her physician and/or surgeon, and the registered Nurse Case Manager.
(B) The assessment shall specify the type of illness or health condition which the resident is experiencing, whether the illness or health condition is episodic or continuous, and whether the resident's need for a higher level of care is temporary or permanent.
(b) The Department shall give notice to the resident and/or his/her authorized representative to relocate if the assessment supports the Department's determination that the resident requires inpatient care in a health facility.
(1) The Department shall send copies of the Written Notice to Relocate to the licensee, resident's physician and surgeon and the Registered Nurse Case Manager.
(2) The Written Notice to Relocate shall specify a deadline date for the licensee to submit the plan for relocation and carry out the relocation procedures specified in Section 87868.2.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.07, 1568.072, and 1568.073, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (a)(1)(B)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (b)(2) (Register 2002, No. 14).
§87868.4. Resident Requests for Review of Relocation Decision.
Note     •     History

(a) A resident and/or his/her authorized representative may request a review and determination of the Department's Written Notice to Relocate specified in Section 87868.3(b).
(1) The resident's right to a review of the Written Notice to Relocate by the Department shall not:
(A) Nullify a determination by the Department that the resident's health and safety are in immediate danger and immediate relocation is required.
(B) Apply to the eviction procedures outlined in Section 87868.1.
(C) Authorize a right to a fair hearing or any other review process not specified in this chapter.
(2) The resident and/or his/her authorized representative shall file the request for review with the licensee within three working days after his/her receipt of the Department's Written Notice to Relocate.
(3) The licensee shall forward the request to the Department within two (2) working days of receipt of the resident's request for review.
(4) The Department shall not refuse to consider the request if the licensee fails or refuses to submit the request as specified in Subsection (a)(3) above.
(b) The Department shall have 30 days from the date that the resident was initially informed by the Department to relocate in which to complete the review and make a determination on the request.
(1) The Department shall notify the resident and/or his/her authorized representative of that determination.
(2) If the determination is made that the resident must relocate, the Department shall send a revised Written Notice to Relocate to the resident and/or his/her authorized representative.
(A) The Department shall send copies of the Written Notice to Relocate to the licensee, resident's physician and surgeon and the Registered Nurse Case Manager.
(B) The Written Notice to Relocate shall include a plan for transfer which specifies the date for completion of the relocation.
(C) The Written Notice to Relocate shall specify that the licensee shall follow procedures to minimize transfer trauma for the resident during the relocation, as specified in Section 87868.2.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.072 and 1568.073, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (a), (a)(1)(B), (a)(4) and (b)(2)(C) (Register 2002, No. 14).
§87870. Resident Records.
Note     •     History

(a) The licensee shall ensure that a separate, complete, and current record is maintained in the facility for each resident.
(b) Each record shall contain information including, but not limited to, the following;
(1) Name of resident.
(2) Birthdate.
(3) Sex.
(4) Date of admission.
(5) Names, addresses, and telephone numbers of the authorized representative.
(6) A signed copy of the admission agreement specified in Section 87868.
(7) Name, address and telephone number of physician, surgeon and dentist, and other medical and mental health providers, if any.
(8) Medical assessment, including ambulatory status.
(9) Copy of tests for tuberculosis:
(A) Results of a Mantoux tuberculin skin test recorded in millimeters and dated no more than three months prior to the resident's placement into the facility, excluding residents who have had a previously positive reaction.
(1) For a resident who has had a previously positive reaction, there shall be written documentation to verify that he/she tested positive for tuberculosis.
(B) Results of chest x-ray dated no more than three months prior to the resident's placement into the facility.
(C) If the chest x-ray is abnormal or the Mantoux tuberculin skin test  is positive, a copy of the physician's statement verifying that the resident does not have communicable tuberculosis.
(D) Copy of the test results updated once per year, if applicable, as specified in Section 87894(d).
(10) Record of any illness or injury requiring treatment by a physician or dentist and for which the facility provided assistance to the resident in meeting his/her necessary medical and dental needs.
(11) Record of current medications, including the name of the prescribing physician, and instructions, if any, regarding control and custody of medications.
(12) Date of termination of services.
(13) An accounting of the resident's cash resources, personal property, and valuables entrusted to the licensee.
(14) The name, address, and telephone number of any person or agency responsible for the care of a resident, including, but not limited to, persons who have been granted durable power of attorney for the resident or conservators for the resident and/or his/her estate as specified in Section 87868(b)(9).
(15) Weekly weight record.
(16) Copy of the “DO NOT Resuscitate Order”, provided the resident has agreed to and signed the order.
(17) Copy of the Durable Power of Attorney for Health Care document signed by the resident.
(18) Information regarding the resident's individual services plan/team as specified in Section 87896.
(19) Copy of the current log as specified in Section 87894(f).
(c) All information and records obtained from or regarding the resident shall be confidential.
(1) The licensee shall be responsible for safeguarding the confidentiality of resident records.
(2) Except as specified in (d) below, or as otherwise authorized by law, the licensee and all employees shall not reveal or make available confidential information.
(d) All resident records shall be available to the Department to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove the following current records for current residents unless the same information is otherwise readily available in another document or format: 
(A) Name, address, and telephone number of the resident's authorized representative(s), if any, as specified in Section 87870(b)(5) and defined in Section 87801(a). 
(B) Name, address, and telephone number of the resident's physician, surgeon and dentist, and other medical and mental health providers, if any, as specified in Section 87870(b)(7). 
(C) Medical assessment, including ambulatory status, as specified in Section 87870(b)(8). 
(D) Results of tuberculosis skin tests, including a current log of the results of tuberculosis skin tests, as specified in Sections 87870(b)(9) and (b)(19). 
(E) Record of any current illness or injury requiring treatment by a physician or dentist for which the facility provided assistance as specified in Section 87870(b)(10). 
(F) Record of current medications as specified in Section 87870(b)(11). 
(G) Name, address, and telephone number of any person or agency responsible for the care of a resident as specified in Section 87870((b)(14). 
(H) Weekly weight record as specified in Section 87870(b)(15). 
(I) Copy of signed “DO NOT Resuscitate Order” as specified in Section 87870(b)(16) and defined in Section 87801(d). 
(J) Copy of signed Durable Power of Attorney for Health Care as specified in Section 87870(b)(17) and defined in Section 87801(d). 
(K) Information regarding the resident's individual services plan/team as specified in Section 87870(b)(18) and defined in Section 87801(i). 
(L) Any other records containing current emergency or health-related information for current residents. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
(e) A resident's records shall be open to inspection by the resident's authorized representative, if any.
(f) The information specified in (b) above shall be updated as necessary to ensure the accuracy of the resident's record.
(g) Original resident records or photographic reproductions shall be retained for at least three years following termination of service to the resident.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.072 and 1568.08, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92, including new subsections (a)(9)-(a)(9)(D) (with renumbering) and (a)(18)-(19), and amendment of subsection (a)(14) (Register 92, No. 23).
4. Editorial correction of subsection (a)(6) (Register 2002, No. 14).
5. Amendment of subsections (a) and (d), new subsections (d)-(d)(3), redesignation and amendment of former subsection (d)(1) as subsection (e), subsection relettering and amendment of newly designated subsection (g) filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§87872. Personal Rights.
Note     •     History

(a) Each resident shall have personal rights which include, but are not limited to, the following:
(1) To be accorded dignity in his/her personal relationships with staff and other persons.
(2) To be accorded safe, healthful and comfortable accommodations, furnishings, and equipment to meet his/her needs.
(3) To be free from corporal or unusual punishment, infliction of pain, humiliation, intimidation, ridicule, coercion, threat, mental abuse, or other actions of a punitive nature, including but not limited to interference with daily living functions, including eating, sleeping, or toileting; or withholding of shelter, clothing, medication or aids to physical functioning.
(4) To be informed, and to have his/her authorized representative, if any, informed by the licensee of the provisions of law regarding complaints including, but not limited to, the address and telephone number of the complaint receiving unit of the Department, and of information regarding confidentiality.
(5) To be free to attend religious services or activities of his/her choice and to have visits from the spiritual advisor of his/her choice.
(A) Attendance at religious services, in or outside the facility, shall be on a completely voluntary basis.
(6) To leave or depart the facility at any time.
(A) The licensee shall not be prohibited by this provision from setting curfews or other house rules for the protection of residents.
(7) Not to be locked in any room, building, or facility premises by day or night.
(A) The licensee shall not be prohibited by this provision from locking exterior doors and windows or from establishing house rules for the protection of residents provided the residents are able to exit the facility.
(B) The licensee shall be permitted to utilize means other than those specified in (A) above for securing exterior doors and windows only with the prior approval of the Department.
(8) Not to be placed in any restraining device.
(9) To receive or reject medical care, or health-related services.
(10) To be informed of the facility's policy concerning family visits and other communication with residents.
(11) To have access to telephones in order to make and receive confidential calls, provided that such calls do not infringe upon the rights of other residents and do not restrict availability of the telephone during emergencies.
(A) The licensee shall be permitted to require reimbursement from the resident or his/her authorized representative for long distance calls.
(B) The licensee shall be permitted to prohibit the making of long distance calls upon documentation that requested reimbursement for previous call(s) has not been received.
(12) To mail and receive unopened correspondence in a prompt manner.
(13) To receive assistance in exercising the right to vote.
(14) To move from the facility.
(b) At admission, a resident and the resident's authorized representative, shall be personally advised of and given a list of the rights specified in Sections 87872(a)(1) through (14).
(c) The information specified in (b) above including the visiting policy as stated in the admissions agreement shall be prominently posted in areas accessible to residents, their relatives and visitors. The posted information shall also include:
(1) Procedures for filing confidential complaints.
(2) A copy of the personal rights or, in lieu of a posted copy, instructions on how to obtain additional copies of these rights.
(d) The licensee shall ensure that each resident is accorded the personal rights as specified in this section.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of printing error in subsection (a)(8) (Register 92, No. 9).
4. Certificate of Compliance as to 12-3-91 order including amendment of subsection (b)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
5. Amendment of subsection (b) filed 11-12-98; operative 12-12-98 (Register 98, No. 46).
§87873. Telephones.
Note     •     History

(a) All facilities shall have telephone service on the premises.
(1) There shall be a telephone available for use by residents which may be a pay telephone.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87874. Transportation.
Note     •     History

(a) Only drivers licensed for the type of vehicle operated shall be permitted to transport residents.
(b) The manufacturer's rated seating capacity of the vehicles shall not be exceeded.
(c) Motor vehicles used to transport residents shall be maintained in a safe operating condition.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87876. Food Service.
Note     •     History

(a) In all residential care facilities the following shall apply:
(1) All food shall be nutritious, protected from contamination and of the quality and in the quantity necessary to meet the needs of the residents. Each meal shall include, at a minimum, the amount of food components as specified by Title 7, Code Federal Regulations, Part 226.20, Requirements for Meals, for the age group served. All food shall be selected, stored, prepared and served in a safe and healthful manner.
(2) Where all food is provided by the facility, arrangements shall be made so that each resident has available at least three meals per day.
(A) Not more than 15 hours shall elapse between the third meal of one day and the first meal of the following day.
(3) Where meal service within a facility is elective, arrangements shall be made to ensure availability of a daily food intake meeting the requirement of (a)(1) above for all residents who, in their admission agreement, elect meal service.
(4) Between meal nourishment or snacks shall be available for all residents unless limited by dietary restrictions prescribed by a physician.
(5) Menus shall be in writing and shall be posted at least one week in advance and copies of the menus as served shall be dated and kept on file for at least 30 days. Menus shall be made available for review by the residents or their authorized representatives and the Department upon request.
(6) Modified diets prescribed by a resident's physician as a medical necessity shall be provided.
(A) The licensee shall obtain and follow instructions from the physician or dietitian on the preparation of the modified diet.
(7) Commercial foods shall be approved by appropriate federal, state and local authorities. All foods shall be selected, transported, stored, prepared and served so as to be free from contamination and spoilage and shall be fit for human consumption. Food in damaged containers shall not be accepted, used or retained.
(8) Where indicated, food shall be cut, chopped or ground to meet individual needs.
(9) Powdered milk shall not be used as a beverage but shall be allowed in cooking and baking. Raw milk, as defined in Division 15 of the California Food and Agricultural Code shall not be used. Milk shall be pasteurized.
(10) Except upon written approval by the Department, meat, poultry and meat food products shall be inspected by state or federal authorities. Written evidence of such inspection shall be available for all products not obtained from commercial markets.
(11) All home canned foods shall be processed in accordance with standards of the University of California Agricultural Extension Service. Home canned foods from outside sources shall not be used.
(12) If food is prepared off the facility premises, the following shall apply:
(A) The preparation source shall meet all applicable requirements for commercial food services.
(B) The facility shall have the equipment and staff necessary to receive and serve the food and for cleanup.
(C) The facility shall maintain the equipment necessary for in-house preparation, or have an alternate source for food preparation, and service of food in emergencies.
(13) All persons engaged in food preparation and service shall observe personal hygiene and food services sanitation practices which protect the food from contamination.
(14) All foods or beverages capable of supporting rapid and progressive growth of microorganisms which can cause food infections or food intoxications shall be stored in covered containers at 45 degrees F (7.2 degrees C) or less.
(15) Pesticides and other similar toxic substances shall not be stored in food storerooms, kitchen areas, food preparation areas, or areas where kitchen equipment or utensils are stored.
(16) Soaps, detergents, cleaning compounds or similar substances shall be stored in areas separate from food supplies.
(17) All kitchen, food preparation, and storage areas shall be kept clean, free of litter and rubbish, and measures shall be taken to keep all such areas free of rodents, and other vermin.
(18) All food shall be protected against contamination. Contaminated food shall be discarded immediately.
(19) All equipment, fixed or mobile, dishes, and utensils shall be kept clean and maintained in safe condition.
(20) Each facility shall use a dishwasher to clean and sanitize all dishes and utensils used for eating and drinking and in the preparation of food and drink.
(A) Dishwashing machines shall reach a temperature of 165 degrees F (74 degrees C) during the washing and/or drying cycle to ensure that dishes and utensils are cleaned and sanitized.
(B) Bleach shall be added to rinse cycle to sanitize the dishes and utensils when the dishwashing machine temperature does not reach 165 degrees F (74 degrees C).
(21) Equipment necessary for the storage, preparation and service of food shall be provided, and shall be well-maintained.
(22) Tableware and tables, dishes, and utensils shall be provided in the quantity necessary to serve the residents.
(23) Adaptive devices shall be provided for self-help in eating as needed by residents.
(b) The Department shall have the authority to require the facility to retain memos and receipts for a period of 60 days for food obtained  and used for resident's consumption.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (b) and repealer of subsection (b)(1)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (a)(1) and (a)(9) (Register 2002, No. 14).
§87877. Personal Services (Reserved).

NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87878. Responsibility for Providing Care and Supervision.
Note     •     History

(a) The licensee shall provide care and supervision as necessary to meet the resident's needs.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87879. Activities (Reserved).

NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day. 
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
Article 7. Physical Environment
§87886. Alterations to Existing Buildings or New Facilities.
Note     •     History

(a) Prior to construction or alterations, all licensees shall notify the Department of the proposed change.
(b) The Department shall have the authority to require that the licensee have a building inspection by a local building inspector if the Department suspects that a hazard to the residents' health and safety exists.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Section 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87887. Buildings and Grounds.
Note     •     History

(a) The facility shall be clean, safe sanitary and in good repair at all times for the safety and well-being of residents, employees, volunteers and visitors.
(1) The licensee shall take measures to keep the facility free of flies and other insects.
(2) The licensee shall provide for the safe disposal of water and other chemicals used for cleaning purposes.
(b) All residents shall be protected against hazards within the facility through provision of the following:
(1) Protective devises including but not limited to nonslip material on rugs.
(c) All outdoor and indoor passageways, stairways, inclines, ramps, open porches and other areas of potential hazard shall be kept free of obstruction.
(d) Bedrooms shall meet, at a minimum, the following requirements;
(1) Not more than two residents shall sleep in a bedroom.
(2) Securable storage space for personal items.
(e) General permanent or portable storage space shall be available for storage of facility equipment and supplies.
(1) Facility equipment and supplies shall be stored in this space and shall not be stored in space used to meet other requirements specified in this chapter.
(f) All licensees serving residents who have physical handicaps, mental disorders, or developmental disabilities shall ensure the inaccessibility of swimming pools, wading pools, fish ponds or similar bodies of water through fencing, covering or other means when not in use.
(1) Licensees serving residents as specified in (f) above shall have at least a five-foot fence around swimming pools or shall have a pool covering inspected and approved by the Department. Fencing shall be so constructed that it does not obscure the pool from view, and is self-latching at the top of the gate.
(2) Above ground pools shall be made inaccessible when not in use by removing or making the ladder inaccessible or erecting a barricade to prevent access to decking.
(g) All in-ground pools, and above-ground pools which cannot be emptied after each use shall have an operative pump and filtering system.
(h) Disinfectants, cleaning solutions, poisons, firearms and other items which could pose a danger if readily available to residents shall be stored where inaccessible to residents.
(1) Storage areas for poisons, and firearms and other dangerous weapons shall be locked.
(2) In lieu of locked storage of firearms, the licensee may use trigger locks or remove the firing pins.
(A) Firing pins shall be stored and locked separately from firearms.
(3) Ammunition shall be stored and locked separately from firearms.
(i) Medications shall be stored as specified in Sections 87915 and 87920.
(j) The items specified in Subsection (h) above shall not be stored in food storage areas or in storage areas used by or for residents.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (i) and (j) (Register 2002, No. 14).
§87888. Fixtures, Furniture, Equipment and Supplies.
Note     •     History

(a) A comfortable temperature for residents shall be maintained at all times.
(1) The licensee shall maintain the temperature in rooms that residents occupy between a minimum of 68 degrees F (20 degrees C) and a maximum of 85 degrees F (30 degrees C).
(A) In areas of extreme heat the maximum shall be 30 degrees F (16.6 degrees C) less than the outside temperature.
(2) Nothing in this section shall prohibit residents from adjusting individual thermostatic controls.
(b) All window screens shall be in good repair and be free of insects, dirt and other debris,
(c) Fireplaces and open-faced heaters shall be made inaccessible to residents to ensure protection of the residents' safety.
(d) The licensee shall provide lamps or lights as necessary in all rooms and other areas to ensure the comfort and safety of all persons in the facility.
(e) Faucets used by residents for personal care such as shaving and grooming shall deliver hot water.
(1) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures used by residents to attain a hot water temperature of not less than 105 degrees F (40.5 degrees C) and not more than 120 degrees F (48.8 degrees C).
(2) Taps delivering water at 125 degrees F (51.6 degrees C) or above shall be prominently identified by warning signs.
(3) All toilets, handwashing and bathing facilities shall be maintained in safe and sanitary operating condition. Additional equipment, aids, and/or conveniences shall be provided in facilities accommodating physically handicapped residents who need such items.
(f) Toilet, washbasin, bath and shower fixtures shall at a minimum meet the following requirements:
(1) At least one toilet and washbasin shall be provided for each six persons residing in the facility, including residents, family and personnel.
(2) At least one bathtub or shower shall be provided for each ten persons residing in the facility, including residents, family and facility personnel.
(3) Toilets and bathrooms shall be located near residents bedrooms.
(4) Individual privacy shall be provided in all toilet, bath and shower areas.
(g) Solid waste shall be stored, located and disposed of in a manner that will not transmit communicable diseases or odors, create a nuisance, or provide a breeding place or food source for insects or rodents.
(1) All containers, including movable bins, used for storage of solid wastes shall have tight-fitting covers kept on the containers; shall be in good repair, shall be leakproof and rodent-proof.
(2) Solid waste containers, including movable bins shall be emptied at least once per week or more often if necessary to comply with subsection (f) above.
(3) Each movable bin shall provide for suitable access and a drainage device to allow complete cleaning at the storage area.
(h) The licensee shall ensure provision to each resident of the following furniture, equipment and supplies necessary for personal care and maintenance of personal hygiene.
(1) An individual bed, except that couples shall be allowed to share one double or larger sized bed, maintained in good repair, and equipped with good bed springs, a clean mattress and pillow(s).
(A) Filling and covers for mattresses and pillows shall be flame retardant.
(B) No Residential Care Facility for the Chronically Ill shall have more beds for resident use than required for the maximum capacity approved by the Department.
(2) Bedroom furniture including, in addition to (1) above, for each resident, a chair, a night stand, and a lamp or lights necessary for reading.
(A) Two residents sharing a bedroom shall be permitted to share one night stand.
(3) Portable or permanent closets and drawer space in each bedroom to accommodate the resident's clothing and personal belongings.
(A) A minimum of two drawers or eight cubic feet (.2264 cubic meters) of drawer space, whichever is greater, shall be provided for each resident.
(4) Feminine napkins, nonmedicated soap, toilet paper, toothbrush, toothpaste, and comb.
(i) The licensee shall provide clean linen in good repair, including lightweight, warm blankets and bedspreads; top and bottom bed sheets; pillow cases; mattress pads; and bath towels, hand towels and washcloths.
(1) The use of common towels and washcloths shall be prohibited.
(2) All bed linens must be changed every four days or more frequently as needed.
(A) The quantity of linens shall be a minimum of 3 sets per bed to allow for frequent changing of beds.
(B) All beds shall have mattress covers when necessary.
(C) All bed pillows shall be washable and protected by covers.
(3) The licensee shall ensure that:
(A) Bleach and/or other disinfectants are available in sufficient supply and used for general cleaning and laundry.
(B) Disposable plastic gloves are available and used by staff for general cleaning to prevent the spread of communicable illnesses.
(j) If the facility operates its own laundry, necessary supplies shall be available and equipment shall be maintained in good repair.
(1) Residents who are able, and who so desire, shall be allowed to use at least one washing machine and iron for their personal laundry, provided that the equipment is of a type and in a location which can be safely used by the residents.
(A) If that washing machine is coin operated, residents on SSI/SSP shall be provided with coins or tokens and laundry supplies.
(B) The licensee shall be permitted to designate a safe location or locations, and/or times in which residents shall be permitted to iron.
(k) Emergency lighting, which shall include at a minimum working flashlights or other battery-powered lighting, shall be maintained and readily available in areas accessible to residents and staff.
(1) An open-flame type of light shall not be used.
(2) Night lights shall be maintained in hallways and passages to nonprivate bathrooms.
(l) Facilities shall meet the following signal system requirements:
(1) In all facilities with a licensed capacity of 16 or more residents, and all facilities having separate floors or separate buildings without full-time staff there shall be a signal system which has the ability to meet the following requirements:
(A) Operation from each resident's living unit.
(B) Transmission of a visual and/or auditory signal to a central location, or production of an auditory signal at the resident's living unit which is loud enough to summon staff.
(C) Identification of the specific resident's living unit from which the signal originates.
(2) Facilities having more than one wing, floor or building shall be allowed to have a separate signal system in each component provided that each such system meets the criteria specified in (1)(A) through (C) above.
(m) The licensee shall provide and maintain necessary equipment and supplies.
(1) Such supplies shall include daily newspapers, current magazines and a variety of reading materials.
(2) Special equipment and supplies necessary to accommodate physically handicapped residents or other residents with special needs shall be provided.
(3) Recreational equipment and supplies shall be stored where they do not create a hazard to residents when not in use.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (i)(3)(B)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87889. Safety and Sanitation.
Note     •     History

(a) Contaminated and hazardous waste, such as soiled diapers, used needles and syringes, soiled surgical dressings, disposable wipes, gloves and other items and/or equipment used for the hygienic care and treatment of residents shall be disposed of by a hazardous waste company.
(1) Needles and syringes shall be disposed of in a “container for sharps” provided by the hazardous waste company.
(2) The collection of the waste shall occur at least twice a month or more often if needed.
(3) Contaminated and hazardous waste shall be double bagged and stored in a locked bin/shed or other area.
(4) The exterior of the storage bins/sheds or other area designated for storing the contaminated waste shall be clearly labeled “contaminated”.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87889.1. Animals and Pets in Facilities.
Note     •     History

(a) Animals and pets shall be permitted in the facility under the following conditions:
(1) Litter boxes shall not be kept in residents' bedrooms or bathrooms, kitchens or dining rooms.
(2) Litter boxes shall be cleaned daily.
(3) Residents shall not be allowed to clean the litter boxes.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
Article 8. Medical and Health Related Care
§87890. Allowable Conditions.
Note     •     History

(a) A licensee may accept or retain the following residents whose condition has been diagnosed as chronic and life threatening and who require different levels of care, except those conditions as specified in Section 87891:
(1) Residents whose illness is in a state of remission.
(2) Residents whose illness is intensifying and causing a deterioration in their condition, provided they do not require inpatient care in an Acute Care Hospital or a skilled nursing facility as determined by the resident's physician.
(3) Residents whose condition has deteriorated to a point where death is imminent.
(4) Residents who have in addition to (a) above, other medical conditions or needs or require the use of medical equipment including the following:
(A) Diabetes
(B) Colostomy
(C) Ileostomy
(D) Tracheotomy
(E) Gastrostomy
(F) Total Parenteral Nourishment
(G) Intermittent Intravenous Therapy
(H) Wounds
(I) Dermal Ulcers
(J) Nasal Gastric Tube Feeding
(K) Indwelling Catheters
(L) Intermittent Catheterization
(M) External Catheters
(N) Incontinence
(O) Oxygen Administration
(P) Dementia
(Q) Other medical conditions which may confine the residents to bed.
(R) Noncommunicable Tuberculosis
(5) The licensee shall request an approval to accept or retain residents who have medical conditions or needs or require use of medical equipment not specified in (4) above.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.01, 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsections (a)(2), (a)(4) and (a)(4)(7) and adoption of subsections (a)(4)(R) and (a)(5)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (a) (Register 2002, No. 14).
§87891. Prohibited Conditions.
Note     •     History

(a) The licensee shall not accept or retain a resident who:
(1) Requires in-patient care in an acute hospital.
(2) Requires treatment and/or observation by the appropriately skilled professionals for more than eight hours per day in the facility.
(3) Has communicable tuberculosis or any other reportable disease as specified in Title 17, California Code of Regulations, Sections 2500, 2502 and 2503.
(A) This requirement is not applicable to AIDS.
(4) Requires 24-hour intravenous therapy.
(5) Has a psychiatric condition(s) and is exhibiting behaviors which could present a danger to self or others.
(6) Has a stage III or greater decubitus ulcer.
(7) Requires renal dialysis treatment in the facility.
(8) Requires life support systems, including, but not limited to, ventilators and respirators.
(9) Has a diagnosis that does not include one denoting a chronic life-threatening illness.
(10) Has a primary diagnosis of Alzheimers.
(11) Has a primary diagnosis of Parkinson's Disease.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.01, 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (a)(3) and adoption of subsection (a)(3)(A)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87893. General Requirements for Allowable Conditions.
Note     •     History

(a) The licensee shall complete and maintain a current, written record of the medical care for each resident that includes, but is not limited to, the following:
(1) Documentation from the physician of the following:
(A) Condition(s) which requires medical services;
(B) Treatment ordered;
(C) Resident's ability to perform the required medical procedure; and
(D) The classification of the appropriately skilled professional who will perform the medical procedure, if the resident needs assistance.
(2) Name, address and telephone number of vendors and appropriately skilled professionals providing services.
(3) Emergency contacts.
(b) The medical record specified in (a) above shall be available to the facility personnel who are involved in the care of the resident.
(c) In addition to Section 87865(g), the facility personnel shall have knowledge and the ability to recognize and respond to problems and shall contact the physician, appropriately skilled professional, and/or vendor as necessary.
(d) In addition to Section 87865(g), the facility personnel shall monitor the ability of the resident to provide self care for the allowable health condition and document any change in that ability.
(e) The licensee shall ensure that services are delivered and that the Registered Nurse Case Manager is notified of any service delivery problems.
(f) Disposable plastic gloves and other protective garments shall be available to and be used by facility personnel when providing hands-on care to residents, handling contaminated waste and cleaning residential units.
(1) These disposable items shall be discarded after each use, as specified in Section 87889(a).
(g) Bleach and/or other disinfecting agents recommended by the county health department or the Department of Health Services, Office of AIDS shall be available and used to sanitize beds, bedding, equipment, toilets and floors.
(h) The duties established by this section shall not infringe on the right of a resident to receive or reject medical care or services as allowed in Section 87872.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02, 1568.072 and 1568.08, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of printing error in subsection (c) (Register 92, No. 9).
4. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
5. Editorial correction of subsections (c), (d), (f)(1) and (h) (Register 2002, No. 14).
§87894. Resident Medical Assessments.
Note     •     History

(a) Prior to or within 30 days of the acceptance of a resident, the licensee shall obtain a written medical assessment of the resident which enables the licensee to determine his/her ability to provide the necessary health-related services required by to the resident's medical condition.
(1) Such assessment shall be performed by, or under the supervision of, a licensed physician, and shall not be more than three months old when obtained.
(b) The medical assessment shall provide the following:
(1) A record of any infectious or contagious disease which would preclude care of the person by the licensee.
(2) A test for tuberculosis by:
(A) Chest X-ray which was obtained no more than three months prior to placement; or,
(B) Mantoux tuberculin skin test recorded in millimeters which was performed no more than three months prior to placement.
(C) A person who has had a previously positive reaction shall not be required to obtain a Mantoux tuberculin skin test but shall only be required to obtain the chest x-ray results and a physician's statement that he/she does not have communicable tuberculosis.
(3) A record of all prescriptions and over-the-counter medications being taken by the resident.
(4) Identification of the resident's special medical problems.
(5) Ambulatory status of the resident.
(c) If the facility is unable to obtain the resident's medical assessment prior to placement, the licensee shall ensure that a Registered Nurse Case Manager completes the following before the person is placed:
(1) A review of the person's health history to determine his/her ambulatory status.
(2) A determination as to whether the person requires immediate health care which would preclude placement.
(A) If it is determined that the person requires immediate health care, the licensee shall ensure that the person is referred to the appropriate health facility and that a medical assessment is performed.
(3) For each person, obtain the results of a chest x-ray and Mantoux tuberculin skin test recorded in millimeters.
(A) The chest x-ray and the Mantoux tuberculin skin test shall be obtained no more than three months prior to placement.
(B) A person who has had a previously positive reaction shall not be required to obtain a Mantoux tuberculin skin test but shall only be required to obtain the chest x-ray results and a physician's statement that he/she does not have communicable tuberculosis.
(d) The Mantoux tuberculin skin test shall be updated once per year, except for residents who have had a previously positive reaction.
(1) If the resident's Mantoux tuberculin skin test results are positive, in order to remain in placement, the licensee shall ensure that the resident is examined by his/her physician and obtain a statement from the physician that he/she does not have communicable tuberculosis.
(2) A resident who has had a previously positive reaction shall not be required to obtain a Mantoux tuberculin test but shall only be required to obtain the chest x-ray results and a physician's statement that he/she does not have communicable tuberculosis.
(e) The Department shall have the authority to require the licensee to obtain a current written medical assessment, if such an assessment is necessary to verify the appropriateness of a resident's placement.
(f) The licensee shall ensure that a current log is maintained for all residents which includes the dates and results of Mantoux tuberculin skin tests measured in millimeters and chest x-rays and the physician's statement verifying that the resident does not have communicable tuberculosis.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.072 and 1568.08, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of section transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsection (b)(2)(A) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87895. Functional Capabilities.
Note     •     History

(a) The licensee shall ensure that an assessment of the person's functional capabilities is completed, including activities of daily living, which include, but are not limited to the following:
(1) Bathing, including need for assistance:
(A) In getting in and out of the bath/shower.
(B) In bathing one or more parts of his/her body.
(2) Dressing and grooming, including the need for partial or complete assistance.
(3) Toileting, including the need for:
(A) Assistive devices.
(B) Assistance of another person.
(4) Transferring, including the need for assistance in moving in and out of a bed or chair.
(5) Continence, including:
(A) Bowel and bladder control.
(B) Whether assistive devices such as a catheter are used.
(6) Eating, including the need for:
(A) Adaptive devices.
(B) Assistance from another person.
(7) Physical condition, including:
(A) Visual impairment.
(B) Hearing impairment.
(C) Speech impairment.
(D) Walking with or without equipment or other assistance.
(E) Dietary limitations.
(F) Medical history and problems.
(G) Need for prescribed medications.
(8) Mental condition, including:
(A) Potential for violence.
(B) Potential for wandering.
(C) Level of confusion, if any.
(D) Ability to manage his/her own cash resources.
(E) Suicidal risk.
(F) Depression.
(9) Substance abuse history.
(b) The licensee shall ensure that the:
(1) Determinations of a resident's functional capabilities will be completed by the Individual Services Team.
(2) Services are provided to residents, as required.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.072 and 1568.08, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsections (a) and (b) and adoption of subsections (b)(1)-(2)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87896. Resident Individual Services Plan/Team.
Note     •     History

(a) The licensee shall ensure that there is an Individual Services Plan for each resident, developed by the Individual Services Team, as specified in Subsection (b).
(1) The licensee shall ensure that there shall be a Registered Nurse Case Manager who is responsible for the coordination and/or the provisions of the services specified in the Individual Services Plan.
(b) In addition to the Registered Nurse Case Manager, the following persons shall constitute the Individual Services Team and shall be involved in the development and updating of the resident's Individual Services Plan.
(1) The resident and/or his/her authorized representative.
(2) The resident's physician.
(3) Facility administrator/designee.
(4) Facility house manager.
(5) Direct care personnel.
(6) Social worker/placement worker.
(7) Pharmacist, if needed.
(8) For each unemancipated minor, the child's parent or guardian and the person who will assume legal custody and control of the child upon the hospitalization, incapacitation, or death of the parent or guardian.
(9) Others, as deemed necessary.
(c) The plan shall include, but not be limited to:
(1) Current health status.
(2) Current mental status.
(3) Current functional limitations.
(4) Current medications.
(5) Medical treatment/therapy.
(6) Specific services needed.
(7) Intermittent home health care required.
(8) Agencies or persons assigned to carry out services.
(9) “DO NOT Resuscitate Order”, if applicable.
(10) For each unemancipated minor, the specific legal means of ensuring continuous care and custody when the parent or guardian is hospitalized, relocates, becomes unable to meet the child's needs, or dies.
(A) The interdisciplinary team shall develop a relocation plan for each unemancipated minor in anticipation of one or more of the events in Section 87896(c)(10).
(B) The interdisciplinary team shall immediately initiate the relocation plan following one or more of the events in Section 87896(c)(10).
(C) No unemancipated minor shall remain in the facility more than 24 hours after one or more of the events in Section 87896(c)(10).
(D) An immediate referral shall be made to a local child welfare services agency for case management services, if an unemancipated minor cannot be relocated with 24 hours of one or more of the events in Section 87896(c)(10) or if no person has been appointed to take legal custody and control of the child.
(d) The plan shall be updated every three months or more frequently as the resident's condition warrants.
(e) The Registered Nurse Case Manager shall document all contacts made with the Individual Services Team members pertaining to a resident.
(1) This documentation shall be maintained in the resident file and shall be made available to the Department upon request.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02, 1568.072 and 1568.08, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including adoption of subsection (c)(7) and renumbering and amendment of subsections (c)(9) and (e)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. New subsections (b)(8), subsection renumbering, and new subsections (c)(10)-(c)(10)(D) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Editorial correction of subsection (a) (Register 2002, No. 14).
§87896.1. Resident Services.
Note     •     History

(a) The licensee shall ensure that, in addition to the services required in the Resident's Individual Services Plan, each resident's weight shall be taken and documented in the resident's record, as specified in Section 87870:
(b) The licensee shall ensure that any resident who has to be transferred to an acute hospital or transported to the emergency room of an acute hospital is either:
(1) Accompanied by a facility staff person, who can either provide information verbally or written documentation which will ensure continuity of care to the resident.
OR
(2) If the resident is not accompanied by a facility staff person, the licensee must ensure that written documentation is sent with him/her which will ensure continuity of care.
(c) For a resident who is incapable of identifying his/her needs or responding to relevant questions pertaining to his/her health care needs, the resident shall either be taken by a health care agency  or accompanied by an individual capable of providing the information.
(d) In addition to Subsection (b)(2) above, written documentation shall be sent with the resident to all medical, dental, therapeutic appointments and hospital transfers to ensure continuity of care.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsections (b)(1)-(2) and (d) and adoption of subsection (c) and relettering  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (a) and (d) (Register 2002, No. 14).
§87897. Oxygen Administration.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires the use of oxygen administration, under the following circumstances:
(1) The resident is mentally and physically capable of operating the equipment, is able to determine his/her need for oxygen, and is able to administer it him/herself.
OR
(2) The administration of the oxygen is under the supervision of an appropriately skilled professional.
(b) In addition to Section 87878, the licensee shall be responsible for the following:
(1) Monitoring the resident's ongoing ability to operate the equipment in accordance with the physician's orders.
(2) Ensuring that oxygen administration is under the supervision of an appropriately skilled professional, if the resident requires assistance.
(3) Ensuring that the use of oxygen equipment meets the following requirements:
(A) A report shall be made in writing to the local fire jurisdiction that oxygen is in use at the facility.
(B) “No Smoking-Oxygen in Use” signs shall be posted in the appropriate areas.
(C) Smoking shall be prohibited where oxygen is in use.
(D) All electrical equipment shall be checked for defects which may cause sparks.
(E) Oxygen tanks shall be secured in a stand or to the wall.
(F) Oxygen from a portable source shall be used by residents when they are outside of their rooms.
(G) Oxygen equipment shall be operable.
(H) Oxygen equipment shall be removed from the facility when the physician has ordered the discontinuance of its use by the resident.
(I) A determination shall be made that the room size can safely accommodate oxygen equipment.
(J) Facility personnel shall have knowledge of and the ability to operate the oxygen equipment.
(c) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (b) (Register 2002, No. 14).
§87898. Colostomy/Ileostomy.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who has a colostomy or ileostomy under the following circumstances:
(1) The resident is mentally and physically capable of providing all routine care for his/her ostomy, and the physician/surgeon has documented that the ostomy is completely healed.
OR
(2) Assistance in the care of the ostomy is provided by an appropriately skilled professional.
(b) In addition, the licensee shall be responsible for the following:
(1) Ensuring that ostomy checking is supervised by an appropriately skilled professional.
A. The ostomy and adhesive may be changed by direct care staff who have been instructed by an appropriately skilled professional.
B. There shall be written documentation by the appropriately skilled professional outlining the instructions of the procedures specified in (A) above and the names of the direct care staff receiving the instruction.
C. The appropriately skilled professional shall review the procedures with direct care staff no less than twice a month.
(2) Ensuring that used bags are discarded as specified in Section 87889.
(3) Ensuring that privacy is afforded when ostomy care is being provided.
(c) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (b)(1) and adoption of subsections (b)(1)A-C  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (b)(2) (Register 2002, No. 14).
§87899. Enema and/or Suppository and Fecal Impaction Removal.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires manual fecal impaction removal, enemas, or use of suppositories under the following circumstances:
(1) The resident is capable of self-care.
(2) Manual fecal impaction, enemas, and/or suppositories shall be permitted if administered according to physician's orders by either the resident or an appropriately skilled professional.
(b) In addition to Section 87878, the licensee shall be responsible for ensuring that:
(1) The administration of enemas or suppositories or manual fecal impaction removal is performed by an appropriately skilled professional, if the resident requires assistance.
(2) Privacy is afforded when care is being provided.
(c) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (b) (Register 2002, No. 14).
§87900. Indwelling Urinary Catheter/Catheter Procedure/Intermittent Catheterization.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires the use of an indwelling catheter and/or intermittent catheterization under the following circumstances:
(1) The resident is physically and mentally capable of caring for all aspects of the condition except insertion and irrigation.
OR
(2) The care is performed by the appropriately skilled professional.
(A) Irrigation shall only be performed by the appropriately skilled professional in accordance with the physician's orders.
(B) A catheter shall only be inserted and removed by an appropriately skilled professional in accordance with physician's orders.
(b) In addition to Section 87878, the licensee shall be responsible for ensuring that:
(1) Insertion and irrigation of the catheter are performed by an appropriately skilled professional.
(2) The bag and tubing are changed by an appropriately skilled professional, if the resident requires assistance.
(A) The bag may be emptied by facility staff who receive supervision and instruction from the appropriately skilled professional.
(B) There shall be written documentation by the appropriately skilled professional outlining the instruction of the procedures to facility staff.
(3) Waste materials shall be disposed of as specified in Section 87889.
(4) Privacy is afforded when care is provided.
(c) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (b) and (b)(3) (Register 2002, No. 14).
§87901. External Catheters.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires the use of an external catheter under the following circumstances:
(1) The resident is physically and mentally capable of self care.
OR
(2) The direct care staff have been instructed by the appropriately skilled professional in the application and care of the appliance.
(b) In addition to Section 87878, the licensee shall be responsible for ensuring that:
(1) Waste materials are disposed of as specified in Section 87889.
(2) Privacy is afforded when care is provided.
(c) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (b) and (b)(1) (Register 2002, No. 14).
§87902. Managed Bowel and/or Bladder Incontinence.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who has a manageable bowel and/or bladder incontinence condition if the condition can be managed by:
(1) Self-care by the resident.
(2) A program of scheduled toileting at regular intervals.
(3) The use of incontinent care products to keep the resident clean and dry at all times.
(b) In addition, the licensee shall be responsible for ensuring that:
(1) Residents who can benefit from scheduled toileting are assisted or reminded to go to the bathroom at regular intervals rather than being diapered.
(2) Incontinent residents are checked during those periods of time when they are known to be incontinent, including during the night.
(3) Incontinent residents are kept clean and dry.
(4) Privacy is afforded when care is being provided.
(5) Fluids are not withheld to control incontinence.
(c) The direct care staff shall document all aspects of care given to the resident in the resident's file.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87903. Diabetes.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who has diabetes under the following circumstances:
(1) The resident is physically and mentally capable of self-care, which includes:
(A) The ability to perform his/her own glucose testing of blood or urine specimens; and
(B) The ability to administer his/her own medication, orally or by injection.
OR
(2) All of the procedures specified in (1) above are performed by the appropriately skilled professional.
(b) In addition, the licensee shall be responsible for the following:
(1) Assisting residents with self-administered medication as specified in Section 87916.
(2) Ensuring that sufficient amounts of medicines, testing equipment, syringes, needles and other supplies are maintained and stored in the facility, as specified in Section 87915.
(3) Ensuring that syringes and needles are disposed of, as specified in Section 87889.
(4) Providing modified diets as prescribed by the resident's physician, as specified in Section 87876(a)(6). Substitutions shall be made by the facility Nutritionist or in accordance with the recognized food exchange recommendations contained in the current publication “Exchange Lists For Meal Planning”, published by the American Diabetes Association, Inc. and the American Dietetic Association.
(c) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsections (b)-(b)(4) (Register 2002, No. 14).
§87904. Injections.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires intravenous, intramuscular, subcutaneous, or intradermal injections under the following circumstances:
(1) The resident is physically and mentally capable of administering his/her own injections; or
(2) The resident's injections are administered by the appropriately skilled professional.
(b) In addition, licensees who admit or retain residents who require injections shall be responsible for ensuring that:
(1) Injections are administered by the appropriately skilled professional, if the resident requires assistance.
(2) Sufficient amounts of medicines, test equipment, syringes, needles and other supplies are maintained in the facility and are stored properly.
(3) Syringes and needles are disposed of as specified in Section 87889.
(c) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (b)(3) (Register 2002, No. 14).
§87905. Wounds.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who has a wound under the following circumstances:
(1) When care is performed by or under the supervision of the appropriately skilled professional.
(2) If the wound becomes infected, all aspects of care must be performed by the appropriately skilled professional.
(3) For residents with Stage I or II decubitus ulcer, the condition must be diagnosed by a physician and care for the decubitus ulcer must be given by the appropriately skilled professional.
(b) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
(c) All used dressing shall be disposed of as specified in Section 87889.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (c) (Register 2002, No. 14).
§87906. Transfer Dependency.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who cannot independently transfer to and from bed and/or chair, under the following circumstances:
(1) An appropriate fire clearance is obtained.
(2) Sufficient direct care staff are available to meet the special needs of the resident.
(3) The local fire department is notified by the licensee and the dates and times of these contacts are documented.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87907. Dementia.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who has been diagnosed as having “dementia”, under the following circumstances:
(1) The resident does not present a danger to him/herself.
(2) The resident's behavior does not pose a threat or danger to other residents or the facility staff.
(b) The licensee shall ensure that direct care staff who are giving care to these residents have knowledge of the signs, symptoms and effects of dementia upon the resident's behavior.
(c) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87908. Tracheostomy.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who has had a tracheostomy tube inserted if the resident is physically and mentally able to perform all aspects of care or all aspects of care of the tracheostomy, including suctioning, are performed by an appropriately skilled professional as defined in Section 87801(a)(6).
(b) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87909. Total Parenteral Nourishment.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who receives nourishment through a Hickman Tube (or equivalent), under the following circumstances:
(1) The resident is physically and mentally able to perform all aspects of the procedure him/herself.
OR
(2) All aspects of the feeding and tube care are performed by the appropriately skilled professional.
(A) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
(b) The facility's Nutritionist shall document the diet ordered by the physician and the instructions given to the facility personnel and the Nutritionist's impressions of the resident's condition.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87910. Gastrostomy Tube Feeding.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires feeding through a gastrostomy tube, under the following circumstances:
(1) The resident is physically and mentally able to perform all aspects of the procedure him/herself.
OR
(2) All aspects of the feeding and tube care are performed by the appropriately skilled professional.
(A) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
(b) The facility's Nutritionist shall document the diet ordered by the physician and the instructions given to the facility personnel.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87911. Naso-Gastric Tube Feeding.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires feeding through a naso gastric tube, under the following circumstances:
(1) The resident is physically and mentally able to perform all aspects of the procedure him/herself.
OR
(2) All aspects of the feeding and tube care are performed by the appropriately skilled professional.
(A) The appropriately skilled professional shall document in the resident's file all aspects of care performed.
(b) The facility's Nutritionist shall document the diet ordered by the physician and the instructions given to the facility personnel.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87912. Care of Residents Confined To Bed.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who is confined to bed, if the requirements of (a)(1) and (2) below are met.
(1) All licensees shall ensure that the equipment and appliances are available to assist and protect the residents who are confined to bed.
(2) The equipment and appliances shall include, but not be limited to:
(A) An egg-crate mattress (or equivalent to relieve pressure).
(B) Heel and elbow protectors.
(C) Partial bed rails.
(D) Screens and/or curtains to ensure privacy if the resident shares a room with another resident.
(E) Over-bed table.
(F) Bedside commode.
(G) Urinal.
(H) Bed Pan.
(I) Wheelchair.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87913. Smoking.
Note     •     History

(a) The licensee shall prohibit smoking in the facility, except in a designated area.
(1) This prohibition shall be applicable to both residents and facility personnel.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87914. Medications.
Note     •     History

(a) In facilities which accept or retain residents who require assistance with the taking of medications, the following shall apply.
(b) Assistance with medications shall be given by:
(1) The licensee, if he/she has the qualifications specified in Section 87865.
(2) The administrator, if he/she has the qualifications specified in Section 87865.
(3) The facility house manager.
(4) Paid direct care staff.
(c) Administration of medications shall only be performed by an appropriately skilled professional.
(d) Direct care staff shall be allowed to assist the resident with self-administered medications.
(1) Direct care staff who provide such assistance shall have knowledge of the medications and possible side effects and on-the-job training in the facility's medications practices as specified in Section 87865(g)(4).
(e) A current medication reference shall be maintained at the facility which describes resident's medications and their side effects.
(1) This reference shall be made available for use by direct care staff.
(f) The licensee may arrange with the pharmacy to have the medication prepackaged under the following conditions:
(1) There is a written contract with the pharmacy to accept the responsibility for prepackaging the medications.
(2) The unit or multi-dose containers display all the information as required in Section 87915(a)(5).
(3) There is written information from the pharmacy outlining the plan for filling after hours prescriptions, handling of new prescriptions, PRN medications and delivery times.
(4) The pharmacy gives training to direct care staff as required.
(5) The resident has the right to use the pharmacy of his/her choice.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (d)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsections (b)(1) and (b)(2) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
5. Editorial correction of subsection (f)(2) (Register 2002, No. 14).
§87915. Storage of Medications.
Note     •     History

(a) The following requirements shall apply to medications which are centrally stored:
(1) Medications shall be kept in a safe and locked place that is not accessible to persons other than employees responsible for the supervision of the centrally stored medication.
(A) Keys used to secure the medications shall not be accessible to residents.
(B) Medications which require refrigeration shall be stored in a locked container.
(2) All medications shall be labeled and maintained in compliance with label instructions and state and federal laws.
(3) No person other than the dispensing pharmacist shall alter a prescription label.
(4) Each resident's medication shall be stored in its originally received container.
(5) The licensee shall ensure that each medication container includes the following information and shall maintain for each resident a record of centrally stored prescription medications which are to be retained for at least three years:
(A) Name and address of pharmacy.
(B) Prescribing physician's name.
(C) Prescription number.
(D) Resident's name.
(E) Date prescription was dispensed.
(F) Drug name (generic and manufacturer).
(G) Strength and number of pills dispensed.
(H) Directions for taking.
(I) Refill number.
(J) Expiration date.
(K) Dietary warnings or special instructions.
(b) Sample medications, if given by the prescribing physician, may be used, providing there is a label which contains the information as required in (6) above, excluding items (A), (C), (I), and (J).
(c) A new label shall be prepared by the dispensing pharmacist when there is a change in the originally prescribed medication.
(d) Stock bottles of over-the-counter medications shall be used under the following conditions:
(1) There is a written physician's order for the medication indicating:
(A) The name of the resident.
(B) The dose to be given.
(C) The number of dosages allowed in a 24-hour period.
(D) The reason for the medication.
(E) The manufacturer's label is included on the stock bottle.
(2) This documentation shall be made available to facility personnel who assist with the medications.
(3) The physician's order shall be maintained in the resident's file.
(e) Medications discontinued by the physician for a period of time not to exceed three months, may be held by the facility and shall be centrally stored under the following conditions:
(1) There is a written order from the physician to HOLD the medications.
(2) The written order is noted in the Resident's Individual Services Plan.
(3) A piece of adhesive tape is placed around and over the top of the medication container and is marked with the word “HOLD” and the date of the “HOLD” order.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (d)(3)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87916. Self-Administered Medications.
Note     •     History

(a) Residents who are physically and mentally able to be responsible for their own medications shall be permitted to do so under the following circumstances:
(1) All members of the Individual Services Team are in agreement.
(2) The resident's Individual Services Plan includes a statement that the resident is capable of self administration of medication.
(3) The licensee provides the resident with a locked container in which to store the medications.
(4) There is more than one key to the container. One key shall be given to the resident and the others kept by direct care staff.
(b) The licensee shall consider the safety of all residents in the facility when making a decision regarding self-administered medications.
(c) There shall be a written agreement between the licensee and the resident that he/she will self-administer the medication. A copy of this agreement shall be kept in the resident's file.
(1) The agreement shall state who will be responsible for the reordering of such medications.
(2) Direct care staff shall notify the physician and the Registered Nurse Case Manager of any change in the resident's capability to self-administer medications.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of printing error in subsection (a) (Register 92, No. 9).
4. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87918. Medication Procedures.
Note     •     History

(a) The appropriately skilled professional shall not pre-pour medication which has not been prepackaged pursuant to Section 87914(f) more than 12 hours prior to being taken by the resident.
(b) Pre-poured medications shall be stored in a locked area.
(c) The name of the resident shall be on each medication cup and/or other utensil used in the distribution of medications.
(d) Direct care staff shall observe the taking of the medication by the resident.
(e) No resident shall be forced to take any medication.
(f) Medication shall not be disguised in food or liquid without the resident's knowledge and permission.
(g) The appropriately skilled professional shall not give more medication than prescribed or make any decisions to withhold medications without consultation with the physician.
(1) When the resident refuses medication, it shall be documented on the resident's medication record and the prescribing physician and the Registered Nurse Case Manager shall be contacted.
(h) All medication side effects observed by the facility personnel or reported to the personnel by residents, their authorized representative, significant other, relative, or friend shall be reported to the physician immediately.
(1) There shall be documentation of the date and time the report is made to the physician.
(2) There shall be documentation of the side effects noted.
(3) There shall be documentation reflecting the continued monitoring of the resident's condition until stabilized.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (g)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsection (a) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87919. Medication Documentation.
Note     •     History

(a) The licensee shall ensure the maintenance, for each resident, of a record of centrally stored medications other than scheduled and controlled drugs/medications which is retained for at least three years and includes the following:
(1) The name of the resident for whom the medication is prescribed.
(2) The name of the prescribing physician.
(3) The medication name, strength and quantity.
(4) The date filled.
(5) The prescription number and the name of the issuing pharmacy.
(6) Expiration date.
(7) Number of refills.
(b) A separate medication record shall be maintained in the facility for each resident for a period of three years. This record shall contain, but not be limited to, the following information:
(1) Resident's name.
(2) Medication name.
(3) Dose.
(4) Time and date medications are taken.
(5) Side effects noted.
(6) The names and initials of direct care staff assisting with medications.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of printing error in subsection (b) (Register 92, No. 9).
4. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87920. Scheduled and Controlled Drugs/Medications.
Note     •     History

(a) For medications/drugs determined by the Drug Enforcement Administration to be in the categories of “Scheduled or Controlled”, the following shall apply:
(1) The licensee shall be responsible for obtaining a list from the pharmacist of the scheduled and/or controlled drugs in use in the facility.
(2) All such drugs/medications shall be centrally stored.
(3) All such drugs shall be kept in a locked container inside a safe locked place.
(4) There shall be one key only for the locked container which is held by the administrator or designated person who is on the premises at the time.
(5) At the change of shift the incoming staff person shall count the medications/drugs with the outgoing staff person and obtain the key for the locked medication.
(6) There shall be a separate medication record maintained regarding the giving of the medication/drug which shall contain:
(A) Name of the resident.
(B) Name of medication/drug, strength and dosage.
(C) Prescribing physician.
(D) Dispensing pharmacist.
(E) Number of pills dispensed.
(F) Time and date medication/drug was taken.
(G) Results of pain medication/drug.
(H) Side effects, if any.
(b) Copies of all documents pertaining to scheduled and controlled drugs/medications shall be maintained in the resident's file for three years.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87920.1. Disposal of Scheduled and Controlled Drugs/Medications.
Note     •     History

(a) There shall be written instructions regarding the disposition of scheduled and controlled drugs/medication under the following conditions:
(1) The resident's physician orders that the resident discontinue taking the medications.
(2) The resident's facility placement is terminated.
(b) The licensee shall have the disposal instructions reviewed and approved by the pharmacist.
(c) The following instructions shall be carried out by the residents' Registered Nurse Case Manager and the facility administrator or facility manager.
(1) Both parties shall sign the required form (LIC 622 (8/92)).
(2) Copies of all documents pertaining to the disposition of scheduled and controlled drugs/medications shall be maintained in the resident's file for three years.
OR
(d) The Registered Nurse Case Manager, facility administrator or facility manager shall, under the direction of the pharmacy, send the drugs to the Drug Enforcement Administration.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Amendment of subsection (c)(1) filed 11-4-96; operative 12-4-96 (Register 96, No. 45).
§87921. PRN Medications.
Note     •     History

(a) The licensee shall be permitted to accept or retain a resident who requires PRN medications (as needed medications) including prescription or nonprescription medications under one of the following circumstances:
(1) The resident is able to determine his/her own need for the PRN medication.
OR
(2) There is a Registered Nurse or a Licensed Vocational Nurse on the facility premise and available to make the determination for the PRN medication if the resident cannot determine his/her own need prior to each dose being taken by the resident.
OR
(3) A physician is contacted to make the determination for the PRN medication if the resident cannot determine his/her own need prior to each dose being taken by the resident.
(b) There shall be written detailed instructions on the prescription label for all PRN medications, including the symptoms which might require the use of the medication, the exact dose, exact time frames between doses and the maximum dosage to be taken in a 24-hour period.
(c) In addition to Section 87878, if a resident cannot determine his/her own need for a PRN medication, the licensee shall be responsible for the following:
(1) Documenting date and time of the contacts with the physician.
(2) Maintaining a record that indicates the name of the PRN medication and the date and time the PRN medication was taken and the resident's response.
OR
(3) When the determination regarding the PRN medication is made by the Registered Nurse or Licensed Vocational Nurse who is on the premises, there shall be documentation by the registered nurse or licensed vocational nurse regarding:
(A) Date and time the medication was administered.
(B) Effects of medication.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order including amendment of subsection (c)(3)  transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (c) (Register 2002, No. 14).
§87922. Disposal of Routine Prescription Medications.
Note     •     History

(a) Prescription medications which are not taken with the resident upon termination of placement, or which are not to be retained shall be destroyed by the facility administrator and the facility manager.
(1) Both shall sign a record, to be retained for at least three years, which lists the following:
(A) Name of the resident.
(B) The prescription number and the name of the pharmacy.
(C) The medication name, strength and quantity destroyed.
(D) The date of destruction.
(E) Method of destruction.
(2) Signed documentation by the pharmacy shall be on file in the facility when prepackaged medication is returned by the facility.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87923. First Aid Requirements.
Note     •     History

(a) All direct care staff and the facility manager shall have first aid training from persons qualified by agencies including, but not limited to, the American Red Cross.
(1) A copy of the current First Aid card shall be maintained in the personnel record.
(b) First Aid supplies shall be maintained and be readily available for use by all staff.
(c) First Aid supplies shall include, but not be limited to, the following:
(1) A current edition of a first aid manual approved by the American Red Cross, the American Medical Association or a state or federal health agency.
(2) Sterile first aid dressings.
(3) Bandages or roller bandages.
(4) Adhesive tape.
(5) Scissors.
(6) Tweezers.
(7) Antiseptic Solution.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
§87924. Do Not Resuscitate Order.
Note     •     History

(a) A licensee shall not be required to accept or retain a resident who has or requests a Do Not Resuscitate Order.
(b) All of the following conditions shall be met in order for a licensee to ensure that the Do Not Resuscitate Order is implemented:
(1) The resident or the individual who holds Durable Power of Attorney for Health Care of the resident has signed and dated a Do Not Resuscitate Directive.
(A) The resident or the individual who holds Durable Power of Attorney for Health Care of the resident shall have the right to rescind the Do Not Resuscitate Directive.
1. The rescinding statement may be given either verbally or in writing. For verbal rescinding statements, the licensee shall ensure that the rescission is documented immediately in the resident's record.
2. Effective immediately upon the rescinding of the Do not Resuscitate Directive, the Do Not Resuscitate Order shall no longer be applicable.
3. The licensee shall ensure that the resident s primary care physician is contacted immediately to rescind the Do Not Resuscitate Order and the contact is documented in the resident's record.
(2) A standing Do Not Resuscitate Order is signed and dated by the resident's primary care physician.
(3) The appropriately skilled professional is present to carry out the Do Not Resuscitate Order.
(A) For the purpose of this subsection, the appropriately skilled professional is limited to an M.D., R.N., L.V.N., or Nurse Practitioner.
(B) The licensee shall ensure that the appropriately skilled professional documents all factual and medical aspects pertaining to the enactment of the Do Not Resuscitate Order.
(c) The licensee shall ensure that emergency medical care is summoned immediately when a resident stops breathing and any of the conditions specified in (b) above are not met.
(d) The licensee shall ensure that contacts with emergency medical care providers as specified in (c) above are documented in the resident's record.
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.03 and 1568.072, Health and Safety Code.
HISTORY

1. New section filed 6-7-91 as an emergency; operative 6-7-91 (Register 91, No. 38). A Certificate of Compliance must be transmitted to OAL by 10-7-91 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-3-91 as an emergency; operative 12-3-91 (Register 92, No. 9). A Certificate of Compliance must be transmitted to OAL 4-1-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-3-91 order transmitted to OAL 4-1-92 and filed 5-13-92 (Register 92, No. 23).
4. Editorial correction of subsection (b)(2) (Register 2002, No. 14).
§87925. Automated External Defibrillators (AEDs).
Note     •     History

(a) A licensee is permitted to maintain and operate an AED at the facility if all of the following requirements are met: 
(1) The licensee shall notify the licensing agency in writing that an AED is in the facility and will be used in accordance with all applicable federal and other state requirements. 
(2) The AED shall be used in accordance with all applicable federal and other state requirements. 
(3) The licensee shall maintain at the facility the following: 
(A) A copy of the required physician's prescription for the AED. 
(B) A training manual from an American Heart Association- or American Red Cross-recognized AED training class. 
(C) A log of checks of operation of the AED containing the dates checked and the name of person checking. 
(D) A copy of a valid AED operator's certificate for any employee(s) authorized by the licensee to operate the AED. The certificate shall indicate that the AED training course completed complies with the standards of the American Heart Association or the American Red Cross. If it does not, then other evidence indicating that the AED training course completed complies with the standards of the American Heart Association or the American Red Cross shall be available at the facility. 
(E) A log of quarterly proficiency demonstrations for each holder of an AED operator's certificate who is authorized by the licensee to operate the AED. The log shall contain the dates of the demonstrations and the manner of demonstration. 
(4) A supply kit shall be maintained at the facility and be readily available for use with the AED. The kit shall contain at least the following: 
(A) A back-up battery set. 
(B) An extra set of pads. 
(C) A safety razor for shaving chest hair when necessary to apply the pads. 
(D) A cardiovascular pulmonary resuscitation barrier (a face shield or mask) for protection from transmission of infectious disease. 
(E) Two pairs of unused medical examination gloves (latex or non-latex). 
(5) Any use of an AED shall be reported as specified in Section 87861(b). 
(6) Requests to Forego Resuscitative Measures, Advance Directives and Do-Not-Resuscitate Orders shall be observed as specified in Section 87924. 
NOTE

Authority cited: Section 1568.072, Health and Safety Code. Reference: Sections 1568.02, 1568.072 and 1797.196, Health and Safety Code. 
HISTORY

1. New section filed 8-9-2002; operative 9-8-2002 (Register 2002, No. 32).
Chapter 8.8 Foster Family Agencies
Article 1. General Requirements and Definitions
§88000. General.
Note     •     History

(a) Foster family agencies as defined in Section 88001(f)(1) shall be governed by the provisions in this chapter. In addition, such foster family agencies, except where specified otherwise in this chapter, shall be governed by Chapter 1, General Licensing Requirements.
(b) Where the term, “facility,” is used in Chapter 1, General Licensing Requirements, it includes all components of a foster family agency program including its administrative function, the operation of certified family homes and the subsequent placement of children.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1502, 1506 and 1530, Health and Safety Code.
HISTORY

1. New chapter 8.8 and section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88001. Definitions.
Note     •     History

In addition to Section 80001, the following shall apply:
(a)(1) “Administrative Office” means the central administrative headquarters of the foster family agency and specified on the license(s) as such.
(2) “Administrator” means the person designated by the Board of Directors to be responsible for the operation of the foster family agency.
(b) (Reserved)
(c)(1) “Caseload” means the total number of children assigned to a foster family agency employee.
(2) “Certificate of Approval” means the document issued by a licensed foster family agency which authorizes a home to operate as a certified family home to be used exclusively by that foster agency.
(3) “Certified Family Home” means a family residence certified by a licensed foster family agency and issued a certificate of approval by that agency as meeting licensing standards, and used only by that foster family agency for placements.
(4) “Certified Parent” means the adult(s) residing in the home certified by the foster family agency to provide care and supervision to children placed exclusively by that foster family agency.
(c)(5) “Child” means a person who is under 18 placed with a foster family agency by a regional center, a parent or guardian, or a public child placement agency with or without a court order for subsequent placement with a caregiver in a certified family home. “Child” also means a person who is: 
(A) 18 or 19, meets the requirements of Welfare and Institutions Code section 11403, and continues to be provided with care and supervision by the caregiver in the home, or
(B) 18-22 as specified in the definition for “child with special health care needs” under subsection (c)(6) and continues to be provided with care and supervision by the caregiver in the home.
(6) “Child with Special Health Care Needs” means a person who is 22 years of age or younger, who meets the requirements of Welfare and Institutions Code section 17710, subsection (a) and all of the following conditions:
(A) Has a medical condition that requires specialized in-home health care and
(B) Is one of the following:
1. A child who has been adjudged a dependent of the court under Welfare and Institutions Code section 300.
2. A child who has not been adjudged a dependent of the court under Welfare and Institutions Code section 300, but who is in the custody of the county welfare department. 
3. A child with a developmental disability who is receiving services and case management from a regional center.
(7) “Client” means each individual child placed with the foster family agency.
(8) “Complaint” means any notice of an alleged violation of any regulation or statute of this state, including but not limited to, Title 22 regulations and Penal Code violations.
(d) (Reserved)
(e) (Reserved)
(f)(1) “Family Health Care” means health care which does not require the skills of qualified technical or professional personnel and is provided to a child by the foster parent in accordance with Section 83075(e). When these requirements are met, the family health care that may be provided includes, but is not limited to the following:
(A) Routine administration of medications such as the administration of suppositories, ointments, lotions, pills, enemas or medications given by liquid medication dispenser, puffer, dropper or nebulizer.
(B) Changing ostomy or indwelling urinary catheter bags.
(C) Urine and blood glucose testing using a monitoring kit approved for home use.
(D) Heart and apnea monitoring when it is simply the case of providing stimulation to the infant/child when the cardiac or respiratory rate falls below a specified rate and not a matter of interpreting a monitor pattern with the intervention based on that interpretation.
(E) Assistance with procedures self-administered by older children free of severe mental or physical disabilities such as insulin injection and oxygen administration.
(2) “Foster Family Agency” means any organization engaged in the recruiting, certifying, and training of, and providing professional support to, certified parent(s), or in finding homes for placement of children for temporary or permanent care who require that level of care as an alternative to a group home. Private foster family agencies shall be organized and operated on a nonprofit basis.
(3) “Foster Family Home” means any residential facility providing 24-hour care for six or fewer foster children which is owned, leased, or rented and is the residence of the foster parent or parents, including their family, in whose care the foster children have been placed. The placement may be by a public or private child placement agency or by a court order, or by voluntary placement by a parent, parents, or guardian.
(4) “Full-Time” means employment of a total of 40 hours for one week or a total of 173 hours for one month.
(g)(1) “Geographic Area” means the area served by the foster family agency administrative office and suboffice(s), if any.
(h)(1) “Health Care Professional” means a physician or an individual who is licensed or certified under Division 2 of the Business and Professions Code to perform the necessary client care procedures prescribed by a physician. Such health care professionals include the following: Registered Nurse, Public Health Nurse, Licensed Vocational Nurse, Psychiatric Technician, Physical Therapist, Occupational Therapist and Respiratory Therapist.
(i)(1) “Individualized Health Care Plan” means the written plan developed by an individualized health care plan team and approved by the team physician, or other health care professional designated by the physician to serve on the team, for the provision of specialized in-home health care.
(2) “Individualized Health Care Plan Team” means those individuals who develop an individualized health care plan for a child with special health care needs. This team must include the child's primary care physician or other health care professional designated by the physician, any involved medical team, the county social worker or regional center caseworker, and the registered nurse employed by or under contract with the foster family agency to supervise and monitor the specialized in-home health care provided to the child as stated in the child's individualized health care plan. The individualized health care plan team may include, but shall not be limited to, a public health nurse, representatives from the California Children's Services Program or the Child Health and Disability Prevention Program, regional centers, the county mental health department and where reunification is the goal, the parent or parents, if available. In addition, the individualized health care team may include the prospective specialized certified parent(s) who shall not participate in any team determination required by Sections 83010.1(a)(1)(C), 83065.1(a)(1)(B) and 88030.1(c)(1)(B).
(j) through (l) (Reserved)
(m)(1) “Medical Conditions Requiring Specialized In-Home Care” means, provided that care may be safely and adequately administered in the home:
(A) A dependency upon one or more of the following when, but for the fact that trained foster parents may provide these services under Welfare and Institutions Code Section 17736, the skills of qualified technical or professional personnel would be necessary: enteral feeding tube, total parenteral feeding, a cardiorespiratory monitor, intravenous therapy, a ventilator, oxygen support, urinary catheterization, renal dialysis, ministrations imposed by tracheostomy, colostomy, ileostomy, ileal conduit, or other medical or surgical procedures or special medication regimens, including injection, and intravenous medication; or
(B) Conditions such as AIDS, premature birth, congenital defects, severe seizure disorders, severe asthma, bronchopulmonary dysplasia, and severe gastroesophageal reflux when, because his/her condition could rapidly deteriorate causing permanent injury or death, the child requires in-home health care other than, or in addition to, family health care.
(n)(1) “Nontreatment Agency” means any foster family agency that certifies a home for placement of a child(ren) pending the adoption of the child(ren) by that family. A nontreatment agency does not provide therapeutic services such as those specified in the definition of a treatment agency at Section 88001t.(1).
(o) (Reserved)
(p)(1) “Placement Hold” means a foster family agency stops placing children into a certified family home as a result of any of the following:
(A) Pending or substantiated violations of licensing regulations.
(B) Failure to meet the standards of the foster family agency.
(2) “Private Foster Family Agency” means a foster family agency organized and operated as a nonprofit corporation and not part of any governmental entity.
(3) “Public Foster Family Agency” means a governmental entity designated by the appropriate governing body as an agency through which foster family agency services shall be offered.
(q) (Reserved)
(r) (Reserved)
(s)(1) “Specialized Certified Family Home” means a certified family home which provides specialized in-home health care to children.
(2) “Specialized In-Home Health Care” means health care, other than family health care, identified by the child's physician as appropriately administered in the home by a health care professional or by a certified parent or staff trained by health care professionals.
(3) “Social Work Personnel” means employees who provide those services specified in Section 88065.3.
(4) “Suboffice” means any additional office set up by the foster family agency to supplement the services provided by the administrative office.
(t)(1) “Treatment Agency” means any foster family agency that provides therapeutic services to children who reside in certified family homes. The services, which are identified by social work staff assessing the child(ren)'s needs, may include, but not be limited to, education and mental health services, sexual or physical abuse counseling, alcohol or drug abuse counseling, and vocational training, and determining the appropriate individual case plan to ensure those needs are met.
(u) through (z) (Reserved)
NOTE

Authority cited: Section 1530, Health and Safety Code; and Section 17730, Welfare and Institutions Code. Reference: Sections 1502, 1506, 1506.7, 1507.2, 1530.5 and 1538, Health and Safety Code; and Sections 11403, 17710, 17731(c), 17732(b) and 17732.1, Welfare and Institutions Code.
HISTORY

1. New  section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of section and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Redesignation of subsections a.-z. to (a)-(z), new subsections (p)(1)-(p)(1)(A)-(B), subsection renumbering and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
4. Amendment of section and Note filed 2-6-2012; operative 3-7-2012 (Register 2012, No. 6).
Article 2. License
§88005. License Required.
Note     •     History

(a) In addition to 80005, the following shall apply:
(1) No individual, organization or governmental entity shall engage in recruiting and certifying homes for placement of children for temporary or permanent care without first obtaining a license from the licensing agency.
(A) A public foster family agency shall be designated by the appropriate governing body as a public foster family agency.
(B) A private foster family agency shall be a corporation organized and operated on a nonprofit basis.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1502, 1508 and 1530, Health and Safety Code.
HISTORY

1. Renumbering and amendment of subsection 89001(a) to subsection 88005(a)(1), renumbering and amendment of subsections 89004(b)(1)-(2) to subsections 88005(a)(1)(A)-(B), and new article 2 and section head filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88008. Licensing of Integral Program Components.
Note     •     History

(a) Notwithstanding Section 80008, the licensing agency shall have the authority to issue separate licenses to a single foster family agency to operate its program in various regions of the state as determined by the Department.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1509, 1530 and 1534, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88009. Posting of License.
Note     •     History

(a) The current, valid license(s) shall be posted in a prominent, publicly accessible location in the administrative office and copies of the applicable license shall be posted in each suboffice of the foster family agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference:  Section 1508, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
Article 3. Application Procedures
§88010. Limitations of License.
Note     •     History

(a) In addition to Section 80010, the following shall apply:
(1) The license shall specifically indicate whether the foster family agency is authorized to operate a treatment and/or nontreatment program.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference:  Sections 1506 and 1508, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Editorial correction of section number (Register 2002, No. 14).
§88018. Application for Licensure.
Note     •     History

(a) In addition to Section 80018, excluding Sections 80018(d)(6) and (13), the following shall apply:
(1) The application shall be filed with the licensing agency designated to serve the foster family agency proposed geographic area of service.
(2) The application shall be signed by the chief executive officer or other authorized member of the Board of Directors and shall be accompanied by written authorization of the governing board granting him/her authority to apply for the license.
(3) The application shall contain a written resolution from the governing board stating that it shall operate the foster family agency program in full conformity with applicable statutes and regulations.
(4) A private foster family agency shall submit copies of its articles of incorporation, bylaws (which must include provisions for control by a responsible governing board), annual statement filed with the Secretary of State, corporate charter (if applicable) and evidence certifying nonprofit status.
(5) The application shall include a written statement describing the manner in which the Board of Directors shall perform the duties specified at Section 88063(c).
(6) The application shall include a written plan of operation as defined in Section 88022.
(7) As a requirement for licensure, the chief executive officer or other authorized member of the Board of Directors and the administrator shall attend an orientation given by the licensing agency which outlines the applicable rules and regulations for operation of a foster family agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1520 and 1525.3, Health and Safety Code.
HISTORY

1. New article 3 and section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of subsection (b)(5), repealer of subsections (b)(5)(A)-(M) and amendment of Note filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
§88019. Criminal Record Clearance.
Note     •     History

(a) In addition to Section 80019, the following shall apply:
(1) Prior to certification by the foster family agency, the applicant and all adults residing in the home shall obtain a criminal record clearance or exemption as specified in Health and Safety Code Section 1522.
(2) Prior to being alone with or having supervisory control of children, all foster family agency personnel shall obtain a California criminal record clearance or exemption as specified in Health and Safety Code Section 1522.
(3) In addition to the requirements of 80019(d)(1)(A), all individuals subject to criminal record review pursuant to Health and Safety Code Section 1522 shall, declare whether he/she has been arrested for any crime against a child, spousal cohabitant abuse or for any crime as provided in 80019.1(m).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1522 and 1522.07, Health and Safety Code.
HISTORY

. 1.New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of section and Note filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2000, No. 38). 
4. Certificate of Compliance as to 5-18-2000 order transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
5. Amendment of section and Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§88019.1. Child Abuse Index Clearance. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1522.1, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Renumbering of former section 88019.1 to section 88019.2 filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2000, No. 38). 
4. Certificate of Compliance as to 5-18-2000 order transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
§88019.2. Child Abuse Central Index.
Note     •     History

(a) Prior to certifying a home, the foster family agency shall ensure that the Department has conducted a Child Abuse Central Index (CACI) review pursuant to Health and Safety Code Section 1522.1 and Penal Code Section 11170(b)(3). The Department shall check the CACI for the applicant(s) and all individuals subject to a criminal record review pursuant to Health and Safety Code Section 1522(d) and shall have the authority to approve or deny certification, employment, residence or presence in the licensed facility based on the results of the review.
(1) The foster family agency shall submit the Child Abuse Central Index check (LIC 198A [3/99]) for all individuals required to be checked directly to the California Department of Justice at the same time that the individual's fingerprints are submitted for a criminal background check as required by Section 88019(a).
(A) Individuals who have submitted the Child Abuse Central Index check (LIC 198A [3/99]) with fingerprints on or after January 1, 1999 need not submit a new check if the individual can transfer their criminal record clearance or exemption pursuant to Section 80019(e) or Section 80019.1(f).
(2) The Department shall investigate any reports received from the CACI.  The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report.  Certification of a home shall not be denied based upon a report from the CACI unless the Department substantiates an allegation of child abuse.
(b) The foster family agency shall submit Child Abuse Central Index checks (LIC 198A [3/99]) directly to the California Department of Justice for all foster family agency personnel who have contact with children in accordance with Health and Safety Code Section 1522.1.
(c) Subsequent to certification, all individual's subject to a criminal record review, pursuant to Health and Safety Code Section 1522(b), shall complete a Child Abuse Central Index check (LIC 198A [3/99]), prior to employment, residence or initial presence in the certified home.
(1) The foster family agency shall submit the Child Abuse Central Index check (LIC 198A [3/99]) directly to the California Department of Justice with the individual's fingerprints as required by Section 88019(a) prior to the individual's employment, residence or initial presence in the home.
(2) The Department shall check the CACI pursuant to Penal Code Section 11170(b)(3), and shall investigate any reports received from the CACI.  The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report. The Department shall not deny a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
(3) The Department shall investigate any subsequent reports received from the CACI.  The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report.  The Department shall not revoke a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 1522.1, Health and Safety Code.
HISTORY

1. Renumbering of former section 88019.1 to section 88019.2, including amendment of section heading and section, filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 38). 
3. Certificate of Compliance as to 5-18-2000 order, including further amendment of subsection (a)(1), transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
§88022. Plan of Operation.
Note     •     History

(a) In addition to Section 80022, excluding Sections 80022(b)(7) and (8), the plan of operation shall contain the following:
(1) A description of the administrative organization, including the parent organization, if applicable.
(2) The location, including street address and mailing address, if different, for the administrative office and all suboffices.
(3) Complete job descriptions of all foster family agency positions, including number, classification, qualifications and duties, and information regarding lines of authority and staff responsibilities.
(4) A comprehensive program statement including:
(A) Goals of the foster family agency program.
(B) The types of children to be served.
(C) A description of the services to be provided to children, certified parent(s) and foster family home licensee(s) including the treatment services to be provided by the foster family agency program.
(D) A description of emergency response services to be provided by the foster family agency including weekends, holidays and evenings.
(5) A written description of the foster family agency training plan including:
(A) Employee orientations and ongoing training.
(B) Initial and ongoing training of certified parent(s) shall include training in child abuse identification, prevention, and treatment. The training plan shall also include training required by Health and Safety Code Section 1529.2.
(C) Initial and ongoing training in child abuse identification, prevention, and treatment for foster family agency personnel who provide services to children, certified parent(s), and foster family home licensee(s).
(D) Initial and ongoing training of foster family agency staff in the child's right to have fair and equal access to all available services, placement, care, treatment, and benefits, and to not be subjected to discrimination or harassment on the basis of actual or perceived race, ethnic group identification, ancestry, national origin, color, religion, sex, sexual orientation, gender identity, mental or physical disability, or HIV status.
(E) The types of training to be provided, who will conduct the training, and who will attend.
(6) A statement regarding how the foster family agency will coordinate with community resources.
(7) Procedures for the development, review, implementation and modification of the needs and services plan for children placed with the foster family agency.
(8) Procedures for the development, maintenance and implementation of removal and discharge procedures for children placed with the foster family agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 51, Civil Code; Sections 1506, 1506.7, 1520 and 1529.2, Health and Safety Code; Section 11174.1, Penal Code; and Section 16001.9, Welfare and Institutions Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of subsection (a), repealer of subsections (a)(7) and (b), subsection renumbering and amendment of Note filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
4. Amendment of subsection (a)(5)(B), new subsection (a)(5)(D), subsection relettering and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
Article 4. Certification and Use of Homes
§88030. Identification of Certified Family Homes.
Note     •     History

(a) All licensed foster family agencies shall accept applications from adult applicants, evaluate applicants for certification, or decertify homes, on a nondiscriminatory basis without regard to age, sex, race, religion, color, political affiliation, national origin, disability, marital status, actual or perceived sexual orientation, or ancestry.
(b) Each certified family home used by a licensed foster family agency shall be provided with a Certificate of Approval, properly completed and signed by the administrator of the foster family agency or his/her designee.
(c) The Certification of Approval shall include the following:
(1) The capacity for which the home has been certified.
(2) The age range of children to be served.
(3) Any limitations of the home, including ambulatory status.
(4) Any preferences requested by the home.
(5) Date of issuance.
(6) Date of expiration not to exceed one year from the date of issuance.
(d) A copy of the Certificate of Approval shall be kept in the certified family home case records maintained by the foster family agency.
(e) A Certificate of Approval is not transferable and shall be void upon a change of location or certified parent(s) except under emergency conditions as specified in Section 88033.
(f) Certified family homes shall conform to the regulations for “Foster Family Homes,” Chapter 9.5, commencing with Section 89200.
NOTE

Authority cited: Sections 1501 and 1530, Health and Safety Code. Reference: Sections 1502, 1506, 1530 and 1530.5, Health and Safety Code; and Section 51, Civil Code.
HISTORY

1. Renumbering and amendment of section 89188 to subsections 88030(a), (c) and (e), renumbering and amendment of section 89203 to subsection 88030(d), and new article 4 and section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of subsection (e) filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Change without regulatory effect adding new subsection (a), relettering subsections and amending Note filed 12-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 50).
4. Amendment of subsection (f) and Note filed 10-11-2010; operative 11-10-2010 (Register 2010, No. 42).
§88030.1. Limitation on Use of Specialized Certified Family Homes.
Note     •     History

(a) The foster family agency may place children with special health care needs in certified family homes but not licensed foster family homes, however, no more than two children shall be placed in a specialized certified family home with the following exception:
(1) The foster family agency may place a third child with or without special health care needs provided that the capacity, as determined by the foster family agency under Section 80028 is not exceeded, and the conditions specified in Sections 83010.1(a)(1)(A), (B) and (C) are met.
(b) The foster family agency shall not place any child with special health care needs in a certified family home unless the certified parent has completed specialized in-home health care training as required by Section 83065.1(a).
(c) The foster family agency shall not place a child if the child requires in-home health care other than family health care, unless the child is a child with special health care needs.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17731(c), 17732(a) and 17736(a), Welfare and Institutions Code; and Sections 1502(a) and 1507, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§88030.2. Prohibition of Licensure for Specialized Certified Family Homes.
Note     •     History

(a) The foster family agency shall not place or permit the continued placement of children with special health care needs in a specialized certified family home for which the certified parent holds any day care or health care facility license for the same premises as the specialized certified family home.
(1) If the foster family agency plans to place a child with special health care needs in a specialized certified family home whose certified parent holds a license as specified in Section 88030.2(a), the foster family agency shall verify that the certified parent has surrendered the license to the licensing agency prior to placing the child.
(2) The provisions specified in Sections 88030.2(a) and (a)(1) shall not apply to existing placements of children with special health care needs in certified family homes that meet the conditions specified in Sections 83010.2(a)(2)(A) and (B).
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section  17732(a), Welfare and Institutions Code; and Sections 1300, 1506(a), 1524(c) and 1531, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§88031. Application for Certification.
Note     •     History

(a) The foster family agency application for certification shall require an applicant to provide the following:
(1) Whether the applicant has been denied certification by a foster family agency and, if so, by which agency.
(2) Whether the applicant has been put on a placement hold by a county and, if so, by which county.
(3) Information required by Health and Safety Code Section 1506.7(a).
(4) A declaration required by Health and Safety Code Section 1506.7(b)(2).
(b) In its application, the foster family agency shall provide applicants with notice required by Health and Safety Code Section 1506.7(b)(1) and 1506.7(b)(2).
(c) Before certifying an applicant, the foster family agency shall make contacts and conduct a reference check as required by Health and Safety Code Section 1506.8, 1506.9(b) and 1536(c).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference:  Sections 1506.7, 1506.8, 1506.9 and 1536, Health and Safety Code.
HISTORY

1. New section filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28). For prior history, see Register 2000, No. 5.
§88033. Emergency Condition - Continuation of Certification.
Note     •     History

(a) The foster family agency may consent to a change of location and continuation under the existing Certificate of Approval of any certified family home, when the change is required because of the destruction of the premises or similar emergency conditions so long as the new location or place of residence conforms to all requirements.
(1) The foster family agency shall verify compliance with applicable statutes and regulations by conducting a site visit to the new location.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference:  Sections 1506, 1530 and 1531, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 89206 to new section 88033 and new subsection (a)(1) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88035. Use of County Licensed Foster Family Homes.
Note     •     History

(a) A foster family agency shall place in a county licensed foster family home as provided:
(1) Foster family agencies shall not use foster family homes licensed by a county without the approval of the licensing county. When approval is granted, a written agreement between the foster family agency and the county shall specify the nature of administrative control and case management responsibility and the nature and number of children to be served in the home.
(2) Before a foster family agency may use a licensed foster family home it shall review and, with the exception of a new fingerprint clearance, qualify the home in accordance with Health and Safety Code Section 1506.
(3) When approval is given, and for the duration of the agreement permitting the foster family agency use of its licensed foster family home, no child shall be placed in that home except through the foster family agency.
(4) Nothing in this section shall transfer or eliminate the responsibility of the placing agency for the care, custody, or control of the child. Nothing in this section shall relieve a foster family agency of its responsibilities for or on behalf of a child placed with it.
(b) The county licensing agency shall continue to monitor the home as a licensed foster family home and shall maintain authority over all licensing activities.
(c) The foster family agency shall approve the county licensed foster family home by documenting that the home is willing and able to meet any additional conditions required by the foster family agency in order to provide the appropriate level of services to the children placed in that home.
(d) The foster family agency shall provide social work services to both the foster parents and children placed by the foster family agency into a county licensed foster family home.
(e) The foster family agency shall maintain the following material on file for all county licensed foster family homes utilized by the agency for placement:
(1) A copy of the written agreement between the county licensing agency and the foster family agency as provided in Health and Safety Code Section 1506.5(a).
(2) A copy of the foster family home license.
(3) A copy of the written agreement with the foster family home licensee documenting that it is willing and able to conform to all foster family agency conditions imposed upon the home.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1506, 1506.5 and 1530, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
Article 5. Administrative Actions
§88044. Inspection Authority of the Licensing Agency.
Note     •     History

(a) The licensing agency has the authority to inspect foster family agencies in compliance with Health and Safety Code Sections 1526.5, 1533, 1534, and 1538.
(b) The licensing agency has the authority to inspect certified family homes in compliance with Health and Safety Code Sections 1533, 1534, and 1538.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1526.5, 1533, 1534 and 1538, Health and Safety Code.
HISTORY

1. New article 5 and section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of section and Note filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
§88044.5. Decertification Authority of the Licensing Agency.
Note     •     History

(a) If the licensing agency determines that a certified family home is out of compliance with applicable statutes and regulations, the licensing agency may require a foster family agency to decertify a certified family home.
(1) The certified family home may appeal the decertification to the Department and be provided an administrative hearing pursuant to Section 1551 of the Health and Safety Code.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530, 1534 and 1551, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88045. Evaluation Visits.
Note     •     History

(a) The licensing agency shall have the authority to inspect the certified family homes used by the foster family agency as often as necessary to ensure the quality of care being provided.
(b) The licensing agency shall select the certified family homes to be inspected.
(c) A representative of the foster family agency shall accompany the licensing evaluator on an evaluation inspection.
(d) The foster family agency shall inform the certified family homes at the time of certification of the licensing agency authority to conduct inspections of the certified family homes as provided by Health and Safety Code Section 1534.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530, 1530.5, 1533 and 1534, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of subsection (c) filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
§88046. Denial or Revocation of License for Failure to Pay Civil Penalties.
Note     •     History

(a) In addition to Section 80055.1(a), the Foster Family Agency licensee shall be responsible for paying civil penalties for violations cited against the agency's certified homes. 
NOTE

Authority cited: Sections 1530 and 1548, Health and Safety Code. Reference: Sections 1522, 1534, 1548 and 1551, Health and Safety Code. 
HISTORY

1. New section filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
Article 6. Complaints
§88050. Investigations of Child Abuse or Neglect Complaints. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11174.1, Penal Code; and Section 1530, Health and Safety Code. Reference: Section 11174.1, Penal Code; and Sections 1530 and 1533, Health and Safety Code.
HISTORY

1. New article 6 and section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Repealer of article 6 (sections 88050-88051) and section filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
§88051. Investigation of Complaints Other than Child Abuse or Neglect. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1506 and 1530, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Repealer filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
§88054. Civil Penalties.
Note     •     History

(a) In addition to Section 80054, the following penalties shall apply:
(1) The department shall assess an immediate civil penalty of $50.00 when the agency fails to provide the department with a log of certified and decertified homes for any month by the tenth day of the following month. After each citation, the department shall assess a penalty of $50.00 per day until the date the agency provides the department with the log.
(2) The department shall assess an immediate civil penalty of $50.00 when the agency fails to notify the department within one business day that it has decertified a family home for any reason specified in Section 88061(h)(1). After each citation, the department shall assess a penalty of $50.00 per day until the date the agency notifies the department about the decertification.
(3) If the agency is cited for repeating the same violation within 12 months, the department shall additionally assess immediate civil penalties pursuant to Section 80054(d) or (e), in accordance with Health and Safety Code Sections 1548(c) and (d).
NOTE

Authority cited: Sections 1530 and 1548(e), Health and Safety Code. Reference: Sections 1536 and 1548, Health and Safety Code.
HISTORY

1. New section filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
Article 7. Continuing Requirements
§88061. Reporting Requirements.
Note     •     History

(a) Each licensee or applicant shall furnish to the licensing agency reports as required by the Department, including, but not limited to, those specified in this section.
(b) All foster family agency personnel shall report suspected child abuse and neglect to a child protective agency in accordance with Penal Code Sections 11164 et seq.
(c) If any of the following incidents occur in a certified family home or in the foster family agency, the foster family agency shall report it to the Department by the Department's next working day during the normal business hours by telephone or fax:
(1) Any suspected physical or psychological abuse of any child.
(2) Death of any child from any cause.
(3) Any injury to any child that requires treatment by a health care practitioner.
(A) This includes a permanent change in any child from ambulatory to nonambulatory status, if serving this nonambulatory child is inconsistent with the Plan of Operation or if a fire clearance has not been obtained.
(4) Any unusual incident or child absence that threatens the physical or emotional health or safety of any child.
(A) Report suicide threats or attempts regardless of injury or treatment.
(B) Report temporary absences if a personal history or the needs and services plan indicate that the child may be in jeopardy when absent beyond the approved time.
(5) Epidemic outbreaks.
(6) Poisonings.
(7) Catastrophes.
(8) Fires or explosions that occur in or on the premises.
(9) Complaints associated with a certified family home's or foster family agency's compliance with applicable licensing laws and regulations.
(d)  Within seven days of the above reported incident, submit to the Department a written report that contains the following:
(1) Name, address, and telephone number of the certified family parent(s) involved.
(2) Child's name, age, sex, and date of admission.
(3) Name, address, and telephone number of the foster family agency or other personnel involved.
(4) Date and nature of the incident.
(5) Whether abuse report was required and filed.
(6) Attending physician's name, findings, and treatment, if any.
(7) Disposition of the case.
(e) If the analysis of the incident reported takes longer than seven working days, send an interim written report to the Department within seven days and follow-up with the final written report within ten days of concluding the analysis.
(f) The foster family agency shall report the following to the Department within ten working days:
(1) A change in the licensee's or applicant's mailing address.
(A) Report the individual's name, old address, new address, and date of the change.
(2) A change in the administrator or chief executive officer.
(A) Include the name, mailing and residence address of the new individual.
(B) Submit the individual's beginning date.
(C) Send verification of the administrator's education, experience, and qualifications.
(g) The foster family agency shall report as follows to the child's authorized representative and placement agency:
(1) Report the following events no later than the next working day:
(A) The items specified in Sections 88061(c)(1) through (8).
(B) The placement or removal of a child in a certified family home or licensed foster family home, under emergency circumstances and without the authorized representative's participation.
(C) A determination that the child must be relocated to another placement facility, because the foster family agency cannot meet the needs of the child.
(2) Report the following within seven days:
(A) The determination that the child must be relocated to another certified family home or licensed foster family home.
(B) Information that the child is not enrolled in or regularly attending school.
(h) The foster family agency shall provide to the Department a log of family homes certified and decertified during the month by the tenth day of the following month.
(1) During the month, the foster family agency shall notify the Department within one business day of determining it necessary to decertify a certified family home due to any of the following actions by the certified family parent.
(A) Violating licensing rules and regulations.
(B) Aiding, abetting, or permitting the violation of licensing rules and regulations.
(C) Conducting oneself in a way that is inimical to the health, morals, welfare, or safety of a child placed in that certified family home.
(D) Being convicted of a crime while a certified family parent.
(E) Knowingly allowing any child to have illegal drugs or alcohol.
(F) Committing an act of child abuse or neglect or act of violence against another person.
(2) Notify the Department by the most expeditious means, including, but not limited to, telephone, fax, e-mail, or letter.
(i) The foster family agency shall notify the Department before any of the following occurs:
(1) The establishment of a suboffice.
(2) A change in location of the administrative office or any suboffice.
(3) A change in the conditions or limits described on the license.
(4) Any changes in the plan of operation that affect services to children.
(5) A change of licensee, as required by Health and Safety Code Sections 1524 and 1524.1, including the following:
(A) Sale or transfer of the majority of stock.
(B) Separation from a parent company.
(C) Merger with another company.
(j) The foster family agency shall notify the local health officer, as set forth in Title 17, California Code of Regulations, Section 2500, regarding the items specified in Sections 88061(c)(5) through (7) above.
(1) The licensee shall report to the local health officer all outbreaks or suspected outbreaks involving two or more children of any communicable disease listed in Handbook Section 88061(j)(1)(A).
(k) The foster family agency shall report immediately to the local fire authority any fires or explosions in or on the premises of a foster family agency, certified family home, or foster family home used by the foster family agency.
(1) In areas not having organized fire services, the foster family agency shall report to the State Fire Marshal within 24 hours.
(l) The foster family agency shall send, by certified mail, copies of substantiated complaints to the persons designated in each child's placement agreement, as required by Health and Safety Code Section 1538.5(b).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 11174.1, Penal Code; and Sections 1501, 1524, 1524.1, 1538, 1538.5 and 1550, Health and Safety Code.
HISTORY

1. New article 7 and section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Repealer and new section and amendment of Note filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order, including amendment of subsection (j)(1), transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
§88063. Accountability.
Note     •     History

(a) The licensee is accountable for the general supervision of the licensed facility and the certified family homes, for the establishment of policies concerning operations, and for ensuring operations comply with applicable regulations and statutes.
(1) The licensee shall establish internal procedures to ensure that certified family homes report incidents, complaints, and alleged child abuse to the foster family agency.
(2) The licensee shall establish internal procedures to ensure that reports specified in Section 88063(a)(1) by certified family homes are reported to the Department.
(b) Upon substantiation of a complaint against a certified family home, the licensee shall ensure that appropriate action is taken.
(1) In the case of a substantiated child abuse complaint, the appropriate action may include removal of the child(ren), removal of a household member or decertification of the home, even though there were not sufficient grounds to warrant criminal prosecution.
(2) In the case of some other type of substantiated complaint, the appropriate action must ensure that the certified family home complies with applicable statutes and regulations.
(c) The board of directors shall actively ensure accountability and perform, at a minimum, the following responsibilities:
(1) Establish and approve policies and procedures governing the operation of the foster family agency.
(2) Approve and monitor a budget for the foster family agency.
(3) Access and maintain the level of funds necessary to cover the costs of operating the foster family agency.
(4) Adopt a plan of operation and program statement for the foster family agency that will ensure the services provided by the foster family agency correspond to the needs of the community.
(5) Employ an administrator who meets the requirements of Section 88064 and Section 88065.
(6) Maintain in the foster family agency files a written statement describing the duties delegated to the administrator.
(7) Ensure that the administrator receives a copy of the statement describing the duties delegated to the administrator.
(8) Review all licensing and incident reports provided by the administrator, and based upon such review, ensure that the foster family agency and its certified family homes thereafter comply with all applicable regulations.
(9) Conduct board meetings on at least a quarterly basis to review and discuss the operation of the foster family agency.
(10) Require that the chief executive officer, administrator, or designee be present at all board of directors meetings during which the operation or the policies of the foster family agency are discussed.
(11) Ensure that minutes are recorded for all board of directors meetings and retained by the foster family agency as a permanent record of all board meetings.
(12) Ensure that all minutes for board of directors meetings are available for review by the licensing agency and include an acknowledgment by the board members that they have received, reviewed, and discussed the licensing and incident reports provided to the board of directors by the administrator.
(13) Submit copies of all corporate documents to the licensing agency at the time documents are submitted to the Secretary of State.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501 and 1550, Health and Safety Code.
HISTORY

1. New section filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-28-99 order, including amendment of subsection (c)(8), transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
§88064. Administrator--Qualifications and Duties.
Note     •     History

(a) In addition to Section 80064, the following shall apply:
(1) All foster family agencies shall have an administrator who shall meet one of the following requirements:
(A) A Master's Degree from an accredited or state approved graduate school, as defined in Section 94310 of the Education Code, in social work or social welfare, marriage, family and child counseling, counseling psychology, social psychology or equivalent education and experience as determined by the licensing agency. In addition, the administrator shall have demonstrated ability and leadership through a minimum of three years of experience in the field of child or family services, two years of which have been in an administrative or managerial position.
(B) A Bachelor's Degree in behavioral science from an accredited college or university. In addition, the administrator shall have demonstrated ability and leadership through a minimum of five years of experience in the field of child or family services, two years of which have been in an administrative or managerial position.
(2) Foster family agency administrators hired before October 30, 1993, who do not meet the education and experience requirements shall remain qualified, provided they have no break exceeding three consecutive years in employment as a foster family agency administrator.
(3) The administrator shall be responsible for the operation of the foster family agency, including the following duties:
(A) Designating a staff person to perform the duties of the administrator in his/her absence from the facility who has the following qualifications.
1. Knowledge of the foster family agency operations.
2. Training in programs provided by the foster family agency.
3. Designation as the authorized person to correct deficiencies that constitute immediate threats to the health and safety of children in the foster family agency certified family homes.
(B) Appointing and dismissing staff.
(C) Ensuring attendance at each board meeting by the chief executive officer, administrator, or designee.
(D) Mailing copies of all alleged child abuse or neglect, substantiated complaint, licensing, and incident reports to the Board of Directors.
(E) Organizing and carrying out a program of staff development for all staff members.
(F) Ensuring the maintenance of a file of all foster family agency incident investigation reports and Department complaint investigation reports, including the foster family agency action taken.
(G) Ensuring that incident and complaint investigation reports are kept confidential as required by Health and Safety Code Section 1538(b).
(b) The administrator may also serve in another personnel capacity provided he/she meets the applicable qualifications of both positions.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1531 and 1538, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of section and Note filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
§88065. Personnel Requirements.
Note     •     History

(a) In addition to Section 80065, excluding Sections 80065(e), (f) and (j), the following shall apply:
(1) No foster family agency administrator, supervisor, social worker or Board of Director(s) member shall be a certified parent of the foster family agency with which he/she is affiliated.
(A) Individuals certified before October 30, 1993, shall be allowed to continue as certified parent(s) until the children currently in placement are removed from the certified parent(s)'s home.
1. Individuals shall not accept additional placements from the foster family agency after October 30, 1993.
(2) For any other employee or consultant of the foster family agency who is also a certified parent of that foster family agency there shall be a clear separation of that individual's employment responsibilities and his/her responsibilities as a certified parent.
(3) No administrator, supervisor or social worker employed by the foster family agency shall enter into any independent financial relationship or transaction with a certified parent of a home certified by the foster family agency, including but not limited to, rental agreements, personal cash loans, or sale, trade or transfer of property, unless:
(A) The independent financial relationship or transaction is found by the administrator and the Board of Directors to not represent a conflict of interest for the foster family agency or the individual; and
(B) The written finding and a full description of the relationship or transaction are recorded in both the personnel and certified family home files.
(4) All foster family agency personnel who have direct contact with children shall complete a minimum of one-hour training in the area of child abuse identification and reporting.
(5) All foster family agency personnel shall complete the training specified in Section 88022(a)(5).
(6) All foster family agency personnel, who provide care and supervision of a child, shall be trained on the existing laws and procedures regarding the safety of foster youth at school as contained in the California Student Safety and Violence Prevention Act of 2000. 
(7) All foster family agency personnel shall sign the following statements:
(A) A statement acknowledging the provisions of Health and Safety Code Section 1540.2.
(B) A statement acknowledging the child abuse and neglect reporting responsibilities in Penal Code Section 11164 et seq.
(8) The foster family agency shall employ staff necessary to perform the duties as follows:
(A) An administrator as specified in Section 88064.
(B) A social work supervisor meeting the qualifications specified in Section 88065.2.
(C) Social work personnel meeting the qualifications specified in Section 88065.3 and the ratios outlined in Section 88065.5.
(9) Each suboffice shall maintain social work personnel who meet requirements specified in Sections 88065.3 and 88065.4 to perform the functions of the suboffice.
(10) The foster family agency shall have qualified social work personnel available on a 24-hour basis to respond to any emergencies within a two-hour period.
(11) The foster family agency shall employ or retain professionals and consultants necessary to implement the plan of operation.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 11166.5 and 11174.1, Penal Code; Sections 1529.2, 1530 and 1540.2, Health and Safety Code; and Article 3.6 (commencing with Section 32228) of Chapter 2 of Part 19 of Division 1 of Title 1 of the Education Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of section and Note filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
4. New subsection (a)(6), subsection renumbering and amendment of Note filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
§88065.1. Additional Personnel Requirements for Foster Family Agencies Placing Children with Special Health Care Needs.
Note     •     History

(a) Any foster family agency placing a child with special health care needs shall employ or contract with a registered nurse(s) to supervise and monitor the child's specialized in-home health care.
(1) The cumulative total of the supervisory hours specified in the individualized health care plan of each child assigned to a registered nurse as part of his/her regular caseload, shall not exceed 40 hours per week.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17731(c), Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§88065.2. Social Work Supervisor.
Note     •     History

(a) Each social work supervisor in a foster family agency shall be responsible for, but not limited to, the following duties:
(1) Orientation and training of new social work personnel.
(2) Review of oversight of social work personnel casework.
(3) Ensure that assigned social work personnel perform their duties in compliance with applicable laws, regulations, policies and procedures.
(b) Social work supervisors shall meet the following education and experience requirements:
(1) A Master's Degree from an accredited or state approved graduate school, as defined in Section 94310 of the Education Code, in social work or social welfare, marriage, family, and child counseling, child psychology, child development, counseling psychology, or social psychology.
(2) In addition to the degree specifications in Subsection (b)(1) above, all of the following coursework and field practice or experience shall be required of all new hires effective January 1, 1993:
(A) At least three semester units or 100 days of field practice or experience in a public or private social service agency setting at the Master's Degree level.
(B) At least nine semester units of coursework related to children and families or 18 months experience in working with children and families.
(C) At least three semester units in working with minority populations; six months of experience in working with minority populations; or six months in-service training in working with minority populations within the first year of employment as a condition of employment.
(D) At least three semester units in child welfare, or two years experience in a public or private child welfare social services setting.
(3) Experience as follows:
(A) Three years of full-time social work or casework employment in the field of family or child welfare services; or
(B) Two years of full-time social work or casework employment in a licensed foster family or adoption agency.
(c) Social work supervisors who do not meet the Master's Degree requirements specified in Subsection (b)(1) above may be granted an exception provided he/she completes the coursework and field practice or experience requirements specified in Subsection (b)(2) above.
(1) Exceptions granted by the Department prior to January 1, 1993, shall remain in effect.
(d) Social work supervisors who are hired on or after January 1, 1992, but prior to January 1, 1993, who do not meet the requirements listed in Subsection (b)(2) above shall be required to successfully meet those requirements by December 31, 1994, in order to remain employed as a social work supervisor in a foster family agency.
(e) Social work supervisors who were hired prior to January 1, 1992, shall not be required to meet the requirements of Section 88065.2 in order to remain employed in a foster family agency.
(f) Documentation of the required education and experience requirements shall be maintained in the personnel file.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1506 and 1530, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88065.3. Social Work Personnel.
Note     •     History

(a) Social work personnel shall be employed to provide the social services of the foster family agency.
(b) Social work personnel shall meet the following education and experience requirements:
(1) A Master's Degree from an accredited or state approved graduate school, as defined in Section 94310 of the Education Code, in social work or social welfare, marriage, family, and child counseling, child psychology, child development, counseling psychology or social psychology.
(2) In addition to the degree specifications in Subsection (b)(1) above, all of the following coursework and field practice or experience shall be required of all new hires effective January 1, 1993:
(A) At least three semester units or 100 days of field practice or experience in a public or private social service agency setting at the Master's Degree level.
(B) At least nine semester units of coursework related to children and families, or 18 months experience in working with children and families.
(C) At least three semester units in working with minority populations; six months of experience in working with minority populations; or six months in-service training in working with minority populations within the first year of employment as a condition of employment.
(D) At least three semester units in child welfare, or two years experience in a public or private child welfare social services setting.
(c) Social work personnel who do not meet the Master's Degree requirements specified in Subsection (b)(1) above may apply for an exception provided he/she completes the coursework and field practice or experience requirements specified in Subsection (b)(2) above.
(1) Exceptions granted by the Department prior to January 1, 1993, shall remain in effect.
(d) Social work personnel who are hired on or after January 1, 1992, but prior to January 1, 1993, who do not meet the requirements listed in  this section shall be required to successfully meet those requirements by December 31, 1994, in order to remain employed as social work personnel in a foster family agency.
(e) Social work personnel who were hired prior to January 1, 1992, shall not be required to meet the requirements of this section in order to remain employed in a foster family agency.
(f) Documentation of the required education and experience requirements shall be maintained in the personnel file.
(g) Social work personnel shall be responsible for the following:
(1) Orientations of potential certified family home applicants.
(2) Evaluation and assessment of the application of the potential certified family home.
(3) Evaluation and assessment of a child for placement and continued placement in a certified family home or licensed foster family home.
(4) Placement of the child in the certified family home or licensed foster family home.
(5) Development and updating of the child's needs and services plan, including identifying individuals who are important to the child as required by Welfare and Institutions Code Section 366.1(g).
(6) Supervision of the placement of the child including direct contact with the child and the certified parent(s) or foster family home licensee(s).
(7) Provision of support services to certified parents or foster family home licensees assigned to the social worker.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1506 and 1530, Health and Safety Code; and Sections 366.1 and 366.21, Welfare and Institutions Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of subsection (g)(5) and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§88065.4. Social Work Supervisor/Social Worker Ratios.
Note     •     History

(a) The foster family agency shall employ:
(1) One full-time social work supervisor for every six social workers or fraction thereof in a treatment agency.
(2) One full-time social work supervisor for every eight social workers or fraction thereof in a nontreatment agency.
(b) A social work supervisor may function as a social worker only under the following conditions:
(1) When fewer than six social workers are supervised in a treatment agency, the supervisor shall be allowed to carry three cases in place of supervising one social worker.
(2) When fewer than eight social workers are supervised in a nontreatment agency, the supervisor shall be allowed to carry three cases in place of supervising one social worker.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88065.5. Social Worker Ratios.
Note     •     History

(a) The foster family agency shall employ, for treatment agencies, one full-time social worker for every 15 children or fraction thereof in placement.
(b) The foster family agency shall employ, for nontreatment agencies, one full-time social worker for every 25 children or fraction thereof in placement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88066. Personnel Records.
Note     •     History

(a) In addition to Section 80066, the following shall apply:
(1) The foster family agency shall maintain the following personnel records:
(A) Documentation that the foster family agency personnel has completed the required training.
(B) Documentation that the foster family agency personnel meets the education and experience requirements specified in Sections 88064, 88065, 88065.2 and 88065.3.
(C) A record of performance evaluation and any correspondence with each employee.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88066.1. Additional Personnel Records for Foster Family Agencies Placing Children with Special Health Care Needs.
Note     •     History

(a) Any foster family agency placing a child with special health care needs shall maintain the following personnel records for the registered nurse(s) required by Section 88065.1:
(1) A copy of a valid license authorizing him/her to practice as a registered nurse in California.
(2) A current list of children with special health care needs assigned to the registered nurse as part of his/her regular caseload. For each child, the list shall provide:
(A) The child's name and address.
(B) The number of supervisory hours required in the child's individualized health care plan.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17731(c), Welfare and Institutions Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§88068. Admission Agreements.
Note     •     History

(a) In addition to Section 80068, the following shall apply:
(1) The foster family agency shall complete and maintain current admission agreements with each certified parent(s) or foster family home licensee(s) with whom the child is placed.
(A) Agreements shall be dated and signed by the foster family agency and the certified parent(s) or foster family home licensee(s) prior to the placement of any child.
(B) The foster family agency shall retain the original copy of the agreement and shall provide copies to the certified family home or licensed foster family home.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88068.1. Intake Procedures.
Note     •     History

(a) The foster family agency shall develop, maintain and implement intake procedures which meet the requirements specified in this section.
(b) The following requirements shall be met within 30 calendar days of the child's placement in the home.
(1) The information specified in Sections 80070 and 88070 shall be obtained from the child's authorized representative(s).
(A) If the information is not completed by a placement agency, the foster family agency shall make telephone and/or written requests for the information to the child's placement agency and/or authorized representative, and shall record and retain the details of those requests.
(B) If the information is not received within 30 calendar days of the requests specified in Subsection (A) above, the foster family agency shall obtain from other sources the information necessary to complete the foster family agency appraisal form.
(2) When the information is received, social work personnel shall complete a needs and services plan as specified in Section 88068.2.
(3) The information specified in Subsections (b)(1) and (2) above shall be reviewed by the social work personnel to determine whether the foster family agency can provide the services necessary to meet the child's needs.
(4) If the child is accepted for placement, the following requirements shall be met:
(A) A foster family agency agreement shall be signed by the authorized representative(s) and the foster family agency as specified in Section 80068(c).
(B) The foster family agency shall develop an admission agreement that shall be dated and signed by the certified parent(s) or foster family home licensee(s) and the foster family agency as specified in Section 88068(a)(1).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88068.2. Needs and Services Plan.
Note     •     History

(a) The needs and services plan shall identify the child's needs in the following areas:
(1) Reason for placement.
(2) Education.
(3) Training.
(4) Personal care and grooming.
(5) Ability to manage his/her own money including the maximum amount of money the child shall be permitted to have in his/her possession at any one time.
(6) Visitation, including the frequency of and any other limitations on visits to the family residence and other visits inside and outside the certified family home or licensed foster family home.
(7) Other specific services, including necessary services to the child's parent(s) or guardian(s).
(8) Types of services necessary, including treatment plan for placement with a treatment agency.
(9) Planned length of placement including the removal and/or discharge plan specified in Section 88068.4.
(b) The foster family agency shall ensure that the child, age and maturity permitting, his/her authorized representative(s), the certified parent(s) or the foster family home licensee(s) are offered the opportunity to participate in the development of the needs and services plan.
(1) The needs and services plan shall not be implemented unless prior written approval of the plan has been obtained from the child's authorized representative.
(c) The foster family agency shall provide the certified parent(s) or the foster family home licensee(s) and the child's authorized representative with a copy of the needs and services plan.
(d) A needs and services plan shall be completed within 30 calendar days from the date of placement for all children in a certified family home or licensed foster family home.
(e) Unless restricted by the case plan adopted by the court or other court order, the foster family agency, certified parent, and foster family home licensee shall permit and facilitate connections between the child and the child's family and non-relative extended family members. Nothing in this section shall be interpreted to require a foster care provider to take any action that would impair the health and safety of children in out-of-home placement.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1530 and 1531, Health and Safety Code; and Sections 366.1, 366.21 and 16001.9, Welfare and Institutions Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. New subsection (e) and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§88068.3. Modifications to Needs and Services Plan.
Note     •     History

(a) The needs and services plan specified in Section 88068.2 shall be updated at least every six months to determine the following:
(1) The child's need for continuing services.
(2) The need for modification in services.
(3) The foster family agency recommendation regarding the feasibility of the child's return to his/her home, placement in another facility or move to independent living.
(b) The foster family agency shall ensure that the child, age permitting, and his/her authorized representative(s), the certified parent(s) or the foster family home licensee(s) are offered the opportunity to participate in such review.
(1) Modifications of the needs and services plan shall not be implemented unless prior written approval of the plan has been obtained from the child's authorized representative(s).
(c) The foster family agency shall provide the certified foster parent(s) or the foster family home licensee(s) and the child's authorized representative(s) with a copy of the modified need(s) and services plan.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88068.4. Removal and/or Discharge Procedures.
Note     •     History

(a) The foster family agency shall develop, maintain and implement written policies and procedures governing a child's removal and/or discharge from a certified family home or licensed foster family home.
(1) Child, age and maturity permitting, and his/her authorized representative(s) shall receive copies of the procedures.
(2) Copies of the procedures, signed by the child's authorized representative(s), shall be maintained in the child's record.
(b) The foster family agency shall ensure that the child, age and maturity permitting, and his/her authorized representative(s) are offered the opportunity to participate in the development of a discharge plan for the child.
(c) If the foster family agency determines that it cannot continue to meet the needs of the child, the foster family agency shall notify the authorized representative(s) of the determination and provide written notification that the child shall be removed within seven days.
(d) The foster family agency shall not prevent the child's removal from the certified family home or licensed foster family home under emergency circumstances by an authorized person.
(1) Emergency circumstances include, but are not limited to:
(A) Removal by law enforcement officer(s) when a child is arrested or when the child(ren) in the home is endangered by his/her continued presence in the home.
(B) Removal for emergency medical or psychiatric care.
(C) Relocation by the child's authorized representative(s).
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88069. Children's Medical Assessment.
Note     •     History

(a) In addition to Section 80069, the following shall apply:
(1) The foster family agency shall provide the certified parent(s) or foster family home licensee(s) with a copy of each child's current medical assessment.
(2) If a current medical assessment cannot be obtained, the foster family agency shall ensure that a current medical assessment is completed within 30 days of placement of the child.
(A) If the medical assessment cannot be completed within 30 days, a medical appointment date shall be obtained by the foster family agency within 30 days of placement of the child.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§88069.1. Individualized Health Care Plans for Specialized Certified Family Homes.
Note     •     History

(a) The foster family agency shall not place a child with special health care needs in a specialized certified family home unless the foster family agency has obtained an individualized health care plan for the child. The plan shall include the following information:
(1) The name, address, and phone number of the registered nurse specified in Section 88065.1.
(2) The appropriate number of hours of on-site supervision and monitoring, and the appropriate number of hours of off-site supervision and monitoring, needed to be provided by the nurse specified in Section 88069.1(a)(1).
(3) Documentation by the child's individualized health care plan team identifying the specialized in-home care to be administered by a health care professional or responsible adult trained by a health care professional.
(4) Arrangements for in-home health support services if required.
(5) Specific responsibilities of the certified parent for the provision of specialized in-home health care, including any required training and/or additional training.
(6) Identification of any available and funded medical services that are to be provided to the child in the home which may include, but is not limited to, assistance from health care professionals.
(7) Identification of any psychological, emotional, behavioral, or medical problems that will be identified in the child's needs and services plan or the medical assessment specified in Sections 80069 and 88069.
(b) The individualized health care plan for each child with special health care needs shall be updated at least every six months or sooner if the needs of the child change.
(c) For any child with special health care needs the hospital discharge plan may be adopted by the individualized health care plan team as the child's individualized health care plan.
(d) The individualized health care plan may be combined with the child's needs and services plan or regional center individual program plan provided that all the information required by each plan is included.
(e) The foster family agency shall provide the certified parent(s) with a copy of the child's individualized health care plan prior to placing the child. The foster family agency shall also provide the certified parent(s) with a revised copy of the plan, whenever the plan is updated.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Section 17731(c), Welfare and Institutions Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Renumbering of former section 88069.1 to section 88069.2 and new section 88069.1 filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§88069.2. Health Protection of Children - General Requirements.
Note     •     History

(a) Each foster family agency shall ensure the provision of preventive and remedial medical care by a qualified physician or a medical clinic. The medical care provided shall include:
(1) For infants, well baby care; for all other children, medical interventions as required.
(A) Physical examinations must be conducted at least annually or more often as recommended by a physician.
(2) Prompt treatment of remediable physical conditions.
(3) Necessary laboratory tests and immunizations.
(4) Tuberculin test or chest X-ray, and when indicated, provision for nose and throat culture and appropriate tests for sexually transmitted disease(s) for each child.
(5) Care in case of illness or accident, including provision for medical care and hospitalization as required.
(6) Dental examinations annually followed by necessary treatment; and arrangements for orthodontic care for the child when funding and services are available.
(7) Continuing observation of the child's progress and discussion with the physician of any changes from satisfactory conditions.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Renumbering of former section 88069.2 to new section 88069.3 and renumbering of former section 88069.1 to section 88069.2 filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§88069.3. Immunizations.
Note     •     History

(a) A child for whom vaccination against the following diseases cannot be verified shall receive the first dose of the appropriate vaccines as determined by a physician within 30 calendar days of placement in the home and shall receive follow-up doses as recommended by a physician.
(1) Poliomyelitis.
(2) Diptheria.
(3) Pertussis, i.e., whooping cough.
(4) Tetanus.
(5) Measles.
(6) Rubella, i.e., German measles.
(7) Mumps.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Renumbering of former section 88069.2 to new section 88069.3 filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§88069.7. Content of Certified Family Home or Licensed Foster Family Home Case Record.
Note     •     History

(a) Each foster family agency shall maintain a case record for each certified family home or licensed foster family home used by the foster family agency.
(b) Each certified family home or licensed foster family home case record shall include the following information on each home:
(1) A copy of the completed application that includes information required by Section 88031, Application for Certification.
(2) A written record of the home study.
(3) Medical reports.
(4) Correspondence.
(5) Applicable legal documents.
(6) Verifications of required information, including a signed statement acknowledging the child abuse and neglect reporting responsibilities of Penal Code Section 11164 et seq.
(7) Evaluation of findings.
(8) Decisions reached.
(9) Actions taken.
(10) Contacts with references.
(11) A record of each child placed in the home and the dates the child was in care.
(c) In addition to Subsection (b) above, each case record of a certified family home shall include:
(1) Fingerprint clearances.
(2) Child Abuse Index Check Clearances.
(3) Any necessary fire clearances as specified in Section 83020.
(4) A copy of the Certificate of Approval.
(5) Documentation of the required 12 hours of annual training for certified parents as required by Section 1506(b)(2) of the Health and Safety Code.
(6) A copy of any complaint investigation report, the findings of that report, and the action taken by the foster family agency.
(d) All information in case records shall be confidential and shall be available only to the licensing agency; and to placement agency staff and foster family agency personnel that need access to the information to perform their duties.
(1) This requirement does not relieve the foster family agency of the responsibility for transmitting copies of substantiated complaints to specified parties, as required by section 88061(l).
(e) All case records shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove any current emergency or health-related information for current foster children unless the same information is otherwise readily available in another document or format. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1506.7, 1522, 1522.1 and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of subsection (b)(6) and new subsections (c)(6) and (d)(1) filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
4. Amendment of subsections (d)-(d)(1), new subsections (e)-(e)(3) and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
5. Amendment of subsections (b)-(b)(2) and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
§88069.8. Additional Content of Certified Family Home Case Records for Specialized Certified Family Homes.
Note     •     History

(a) The foster family agency shall ensure that the case record for each specialized certified family home includes the documentation required in Sections 83066(a)(1) and/or (2), and (d).
NOTE

Authority cited: Section Section 17730, Welfare and Institutions Code; and 1530, Health and Safety Code. Reference: Section 17731, Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
§88070. Children's Case Records.
Note     •     History

(a) In addition to Section 80070, the following shall apply:
(1) The following information regarding the child shall be obtained and maintained by the foster family agency:
(A) The name, address, and telephone number of the adults with whom the child was living immediately prior to the current placement.
(B) The name, address, and telephone number of the child's parent(s), if known.
(C) The name, address, and telephone number of the placement worker and placement agency.
(D) Educational records, if available, describing the child's present academic level, including his/her grade or performance level, and any previous school-related problems.
(E) Dental and medical history, if available, including immunization records and physician's orders for any medically necessary diet.
(F) The child's court status, if applicable, including a copy of any custody orders and agreements with parent(s) or person(s) having legal custody.
(G) The list of persons who should or should not be allowed to visit and any limitations on visitation.
(H) Medical, psychiatric and psychological reports that identify special needs of the child diagnosed as mentally disordered or developmentally disabled.
(I) Medical and dental insurance coverage information including the placement agency or person responsible for medical and dental costs.
(J) Consent forms, completed by the child's authorized representative(s), to permit the foster family agency, certified parent(s) or foster family home licensee(s) to authorize medical and dental care.
(K) A copy of the child's original, and any modified, needs and services plan.
(L) Signed copies of the foster family agency policies and procedures regarding the termination of the child's placement, discipline, and complaints.
(M) Documentation that vaccinations have been obtained as specified in Section 88069.3, if immunization records are not available prior to placement.
(N) Copy of the foster family agency agreement with authorized representative(s).
(O) Copy of the foster family agency agreement with the certified parents or foster family home licensees.
(2) The following information shall be maintained in the child's record if it is determined that the child is to be removed or discharged from the foster family agency:
(A) Date the child's authorized representative(s) was notified of the necessity for the child's removal or discharge.
(B) The name, address and relationship to the child of the person to whom the child was released.
(C) Reason for the child's removal or discharge.
(3) All information in children's case records shall be confidential and shall be available only to the licensing agency; and to placement agency staff and foster family agency personnel that need access to the information to perform their duties.
(4) All children's case records shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(A) Licensing representatives shall not remove any current emergency or health-related information for current foster children unless the same information is otherwise readily available in another document or format. 
(B) Prior to removing any case records, a licensing representative shall prepare a list of the case records to be removed, sign and date the list upon removal of the case records, and leave a copy of the list with the administrator or designee. 
(C) Licensing representatives shall return the case records undamaged and in good order within three business days following the date the case records were removed. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1506(b) and 1531, Health and Safety Code.
HISTORY

1. New section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of section heading, subsection (a)(1)(M) and Note filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
3. Amendment of subsection (a)(3), new subsections (a)-(a)(4)(C) and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§88070.1. Additional Children's Records for Specialized Certified Family Homes.
Note     •     History

(a) The foster family agency shall ensure that case records for each child with special health care needs contain the following additional information:
(1) Documentation that the child has been adjudged a dependent of the court under Section 300 of the Welfare and Institutions Code or has a developmental disability and is receiving services and case management from a regional center.
(2) A copy of the child's individualized health care plan as specified in Section 88069.1.
(3) A copy of the written reassessment of the child's individualized heath care plan as specified in Section 88069.1(b).
(b) The foster family agency shall ensure that the needs and services plan of each child placed in a specialized certified family home not exceeding the two-child capacity limit contains the following information in addition to the information required in Sections 88068.2 and 88068.3:
(1) Documentation by the child's county social worker, regional center caseworker or authorized representative that the needs of the child can be met by the facility.
(A) New documentation shall be obtained for all children and placed in the respective needs and services plans each time there is an increase or turnover in children and the home meets the conditions described in above Section 88070.1(b).
(c) If a third child is placed in a specialized certified family home the foster family agency shall ensure that:
(1) The needs and services plan for the third child documents the determination specified in Section 83010.1(a)(1)(A).
(2) The needs and services plan for each child in the home documents the determinations specified in Sections 83010.1(a)(1)(B) and (B)1.
(3) The individualized health care plan for each child with special health care needs documents the determinations specified in Sections 83010.1(a)(1)(C) and (C)1.
(A) Documentation may be provided in different ways, including, but not limited to, a written statement from a member designated by the team that the team has been notified and has determined that the two-child limit may be exceeded.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; and Section 1530, Health and Safety Code. Reference: Sections 17710(a), 17731(c) and 17732(a), Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. New section filed 5-14-97; operative 6-13-97 (Register 97, No. 20).
Article 8. Physical Environment
§88087. Administrative Office/Suboffice(s).
Note     •     History

(a) Notwithstanding Section 80087, the foster family agency shall be housed in an administrative office/suboffice(s) which provide privacy for interviewing and are conveniently located for the public.
(1) The office(s) shall have a separate and secure area if the foster family agency is located in a building that is also used for nonfoster family agency purposes.
(b) All confidential foster family agency records shall be maintained in locked file cabinets in the administrative office/suboffice(s).
(c) The administrative office shall maintain the following records:
(1) Case records for the children, certified family homes and licensed foster family homes served by this office;
(2) All personnel records.
(3) The foster family agency shall develop and maintain current administrative records that include an index of the location of all children in placement and all certified family homes and licensed foster family homes used by the foster family agency.
(d) Each suboffice shall maintain:
(1) The case records for the children in placement and the certified family homes and licensed foster family homes used by the suboffice.
(e) No foster family agency shall provide services to children or homes which are located more than two hours by car from the administrative office or suboffice(s) providing the service.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1530, 1531 and 1557.5, Health and Safety Code.
HISTORY

1. New article 8 and section filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Repealer and new subsection (c)(3) and amendment of Note filed 6-28-99 as an emergency; operative 6-28-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-27-99 pursuant to section 73, chapter 311, Statutes of 1998 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-28-99 order transmitted to OAL 12-22-99 and filed 2-1-2000 (Register 2000, No. 5).
Chapter 9. Adoption Agencies
Article 1. License
§89001. License Required.
Note     •     History

(a) No individual, organization or county shall place persons for adoption without first obtaining a license from the Department.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1506, 1508, 1530 and 1531, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Chapter 4 (Articles 1 and 2, Sections 83001-83181, not consecutive) to Chapter 9 (Articles 1 and 2, Sections 89001-89221, not consecutive) filed 10-7-83; designated effective 1-1-84 (Register 83, No. 42).
2. Amendment of chapter heading, renumbering of subsection (a) to 88005(a)(1) and relettering filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89002. Nondiscrimination.
Note     •     History

(a) Any adult shall be permitted to apply for a license regardless of age, sex, race, religion, color, political affiliation, national origin, disability, marital status, actual or perceived sexual orientation, or ancestry.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1508, 1530 and 1531, Health and Safety Code; and Section 51, Civil Code.
HISTORY

1. Change without regulatory effect adopting section filed 12-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 50).
§89004. Agency Eligibility for Licensure.
Note     •     History

(a) Each agency shall conform to all applicable rules and regulations of the Department and shall make provision for resources, either in the agency or in the community, for support of persons accepted for care;  and for medical and psychiatric services for persons as needed. The agency shall coordinate its services with other community social services.
(b) The following types of agencies shall be subject to licensure:
(1) County Adoption Agency. A county adoption agency shall be designated by the county Board of Supervisors as the single public adoption agency in the county through which adoption services will be offered. When a county is planning to make application to provide adoption services, the county shall file with the Department a letter of intent or resolution signed by the chairman of the Board of Supervisors authorizing the chairman to sign the application and to enter into agreements with the Department.
(2) Private Adoption Agency. A private adoption agency shall be organized and operated on a nonprofit philanthropic basis.
(c) An adoption agency shall be considered for licensure only if there are no other licensed adoption placement services available in the community or if the services provided by the other adoption agencies are not sufficient to serve the parents applying for service of the children who are in need of it. The agency shall make provision for resources in the community from which to obtain financial assistance, including medical and hospital expenses, for mothers who need it; support of children accepted for study or awaiting adoptive placement; and adequate number of foster homes for children under study or awaiting adoptive placement; and medical and psychiatric services for children as needed.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1506, 1508, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (a), renumbering of subsections (b)(1)-(2) to subsection 88005(a)(1)(A)-(B) and subsection renumbering filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89007. Exemption from Licensure.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1530 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 3-25-87; effective thirtieth day thereafter (Register 87, No. 13).
§89010. Placement of Persons in Nonlicensed Facilities by a County Agency.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1530 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89013. Licensing Procedure--Application Forms.
Note     •     History

Application for a license as an  adoption agency shall be filed in duplicate on forms prescribed by the Department.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89016. Licensing Procedure--Location.
Note     •     History

Public and private adoption agencies shall apply to Department headquarters.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89019. Application for Licensure.
Note     •     History

(a) A new application from a public agency shall be signed by the chairman of the Board of Supervisors of the county, and a copy of the resolution of the Board authorizing the chairman to sign the application shall be attached. In authorizing the application, the Board shall show its intent to operate the adoption program in full conformity with the statutes and the Department regulations.
(b) A new application from a private agency shall be signed by the presiding officer of the Board of Directors and the executive officer of the agency, if already appointed, or a second officer of the Board of Directors if the executive officer has not yet been appointed. A copy of the authorization by the Board to its representative to apply for such a license shall accompany the application.
(c) An adoption agency application shall be in the legal name of the agency, stating the geographic area to be served and the adoption services for which the license is requested. A licensed county adoption agency may regularly serve children, parents and applicants in an unlicensed county subject to prior approval from the Department and a written agreement between the Boards of Supervisors of the counties concerned. A copy of such agreement shall be filed with the Department with the request for approval. However, the request for approval shall be unnecessary if the adoption service provided in another county is performed only occasionally and infrequently.
(d) Every new application for an adoption agency shall be accompanied by:
(1) A written plan of operation, covering the following:
(A) Statement of program goals and description of services.
(B) Administrative organization--narrative and chart of total agency.
(C) Personnel--number, classification, qualifications and duties.
(D) Physical facilities and office arrangement--diagrams.
(E) Budget and financing, by item.
(F) Forms and clerical system--samples.
(2) Statement of facts on which need for service was determined and plans for coordination with other community welfare services.
(3) If a private agency, a copy of its constitution and bylaws and, if it is incorporated, a list of membership of the governing board and any advisory committee showing lengths of term and interest or qualifications on which selection was based and indicating which persons serve as officers and in which position, a copy of the Articles of Incorporation and bylaws, a copy of the proposed budget and plan for financing the agency.
(4) For a private adoption agency, a statement as to how the agency will provide for:
(A) Assistance with maternity care for mothers not eligible for Medi-Cal benefits or other means for paying for medical care.
(B) Services and assistance to mothers not eligible for public services and funds.
(C) Coordination and utilization of public social services as required by policy and procedures of Department.
(e) Denial of License. An applicant may contest the denial of a  license by filing a written petition with the Department as provided in Section 1526 of the Health and Safety Code. The proceedings to review such denial shall be conducted pursuant to the provision of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code.
(f) Amended License. Proposed major changes in program or organization shall be submitted to the Department for review and possible issuance of an amended license.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1506, 1508, 1530 and 1531, Health and Safety Code.
HISTORY

1. Editorially corrects section number printing error (Register 85, No. 21).
2. Amendment of section heading and text filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
3. Change without regulatory effect repealing subsections (g)-(g)(2) filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
§89034. Criminal Record Clearance.
Note     •     History

(a) Personnel of private adoption agencies shall submit fingerprints as required in Section 80019 of Chapter 1 of these regulations.
(b) The regulations in Section 80019 of Chapter 1 of these regulations shall apply to personnel of private adoption agencies.
(c) Personnel of public adoption agencies, members of the County Board of Supervisors and administrators of private adoption agencies shall be exempt from the provisions of Section 80019.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1506, 1508, 1522, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of subsection (a), new subsection (b), subsection relettering, and amendment of Note filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2000, No. 38). 
4. Certificate of Compliance as to 5-18-2000 order transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
§89037. Application Review.
Note     •     History

No license shall be issued to an adoption agency unless and until the Department or licensing agency has reviewed and evaluated the plan of operation to determine if there is compliance with the statutes and regulations and other standards of the Department.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89040. Terms of License.
Note     •     History

(a) Adoption services which a licensee may render shall be limited to those specified on the license. 
(b) If the Department delegates responsibility to a public agency for an independent adoption program, it shall be so indicated on the license.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment subsection (a) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89043. Termination.
Note     •     History

(a) The license of an adoption agency may be terminated by the Department if the agency fails to meet the standards and regulations contained in this Chapter, or at the agency's request. Closing of an adoption agency shall be in conformity with established law and Department regulations.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1506, 1524, 1530 and 1531, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section heading and section filed 6-29-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 26).
Article 2. Administration
§89101. Administrative Responsibility.
Note     •     History

Legal responsibility for an adoption agency or service shall be clearly defined and administrative responsibility specifically placed in accordance with these regulations.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89104. Coordination with Social Service Programs.
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89107. Incorporation--Private Adoption Agencies.
Note     •     History

The Articles of Incorporation of a private agency stating the purpose of the agency in broad terms, shall be filed with the Secretary of State in Sacramento. Copies of the Articles of Incorporation and amendments made thereto shall be filed with the Department.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading  filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89110. Constitution and By-Laws--Private Adoption Agencies.
Note     •     History

(a) A private agency, whether or not incorporated, shall have a constitution and by-laws which makes provision for control by a responsible governing body.
(b) The constitution and by-laws shall contain the following information:
(1) The name of the organization.
(2) The purpose of the organization.
(3) The relationship of the adoption service to the general membership, to the total function of the organization and to auxiliaries, if any.
(4) Location of the administrative authority for operation of the adoption program.
(5) The powers and duties of the governing body.
(6) The size, composition and method of selection of the Board and the terms of office established for its members.
(7) The organization of the Board, including the officers, the method of their selection, their term of office and their duties.
(8) The plan for regular meetings of the Board and the number of members necessary for a quorum.
(9) The methods of financing the agency or service.
(10) The methods by which changes can be made in constitution and by-laws.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading  and subsections (b)(3)-(4) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89113. Board Membership--Private Adoption Agencies.
Note     •     History

(a) Board members shall be selected on the basis of demonstrated interest in the welfare of children and adults, a concern for social conditions in the community and sufficient time to discharge their obligations as Board members. They shall also be persons representative of the community in which the agency operates. The board shall include in its membership persons representing a variety of interests, talents and professions to insure different points of view. Membership shall be so arranged that no single interest group or profession shall have a controlling vote.
(b) Board members shall serve without compensation but may be reimbursed for expenses. No Board member shall profit financially by reason of his membership nor be employed by the agency regularly either full-time or part-time.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89116. Election of Board Members--Private  Adoption Agencies.
Note     •     History

Members shall be elected by the supporting membership or by a representative body for a definite term of office, with expiration of terms so arranged that a rotating Board results. Provision shall be made for the replacement of members who become inactive for a protracted period of time.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89119. Board Meetings--Private Adoption Agencies.
Note     •     History

(a) Minutes shall be kept of Board meetings and shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Minutes may be removed if necessary for copying. Removal of minutes shall be subject to the following requirements: 
(1) Prior to removing any minutes, a licensing representative shall prepare a list of the minutes to be removed, sign and date the list upon removal of the minutes, and leave a copy of the list with the executive director or designee. 
(2) Licensing representatives shall return the minutes undamaged and in good order within three business days following the date the minutes were removed. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of section and Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§89122. Duties and Functions of the Board--Private  Adoption Agencies.
Note     •     History

(a) The Board shall formally adopt a written statement of the responsibilities to which the members agree. These shall include:
(1) Accountability to the community for adequate services to the persons under care.
(2) Interpretation of services of the agency to the community, and needs of the community to the staff of the agency.
(3) Establishment of the policies to be followed by the agency.
(4) Exercise of trusteeship for property and investments.
(5) Approval of the budget and responsibility for obtaining and receiving adequate funds.
(6) Employment of a well-qualified executive director for the agency, and delegation to the executive director of responsibility for administration and employment of other staff members.
(7) Maintenance of an informed, alert and interested membership.
(8) Maintenance of a full membership.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89125. Committees of the Board--Private  Adoption Agencies.
Note     •     History

Provision shall be made for the appointment of standing committees and such temporary or special committees as are needed.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89128. Relationship Between Board and Executive--Private Adoption Agencies.
Note     •     History

There shall be an appropriate division of responsibility between the Board and the executive director to provide efficient administration. The Board shall delegate to the executive director the responsibility for administration, but the Board shall determine the major policies and the general plan of operation based upon its knowledge of agency problems and community needs. The general policy of the Board shall be to include the executive director at all regular meetings.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89131. Reports and Records--Public and Private  Adoption Agencies.
Note     •     History

(a) Reports shall be submitted as required by the Department.
(b) All adoption case records shall be confidential and maintained in the adoption agency's locked files.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89134. Finances--Private Adoption Agencies.
Note     •     History

(a) The agency shall be financially able to provide the services which it offers. If budget limitations exist, the scope and size of the agency's services shall be curtailed to a point that will permit available funds to maintain an adequate quality of service.
(b) The agency may solicit funds but this shall not be a condition of placement of a child for adoption.
(c) Sufficient funds shall be available to provide continuing care for children relinquished to the adoption agency who may require prolonged study or treatment before placement, for children who may be returned to it prior to completion of the adoption, and for relinquished children who cannot be placed for adoption.
(d) Policies and practices governing receipt and expenditures of money shall be in accord with sound budgeting, disbursement and audit control procedures.
(e) Financial records shall be maintained of receipts, disbursements, assets and liabilities. Financial records shall be kept in accordance with accepted accounting practices.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89137. Adoption Agency Fees.
Note

(a) Public Adoption Agency. A fee of $500 shall be charged by a public adoption agency (see Section 225p of the Civil Code).
A county adoption agency or the Department may waive, defer or reduce the fee when its payment would cause economic hardship to the adopting parents, would be detrimental to the adopted child, or if necessary to obtain the placement of a hard-to-place child. If the fee is waived, reduced or deferred, the case record shall reflect the basis upon which the decision is made.
(b) Private Adoption Agency. No private adoption agency shall charge or collect any fee for its services unless and until it has submitted to and obtained the approval of the Department with respect to both the maximum fee that may be charged and the agency's fee payment plan.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Section 225p, Civil Code; Sections 1501, 1506, 1530 and 1531, Health and Safety Code.
§89140. General Personnel Requirements.
Note     •     History

The number of staff shall be adequate for the scope of the adoption agency's services.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89143. Professional Staff Qualifications.
Note     •     History

Staff members shall be qualified for their responsibilities by education, training, experience, personality and health.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89146. Executive Director Qualifications--Private  Adoption Agencies.
Note     •     History

(a) The executive director shall have professional training in the field of child or family welfare, or have demonstrated ability and leadership through experience as an executive in the field of child or family welfare.
(b) When the function of the agency requires it, the executive director shall be qualified for the additional duties he may have to assume, such as supervision of casework services.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89149. Executive Director Responsibility and Duties--Private and Public Adoption Agencies.
Note     •     History

(a) Private and Public Agencies. The executive director shall be responsible for the operation of the agency and shall be held accountable for it. He may delegate his authority but not his responsibility.
(b) Private Agencies. The duties of the executive director shall include:
(1) Appointing and dismissing staff, and working closely with the personnel committee of the Board.
(2) Attending all regular Board meetings and committee meetings of the Board, making reports concerning agency activities, and interpreting recognized standards of adoption services to the Board.
(3) Holding regular staff meetings to discuss plans and policies.
(4) Organizing and carrying out a program of staff development for all staff members, and arranging for attendance of staff at social work conferences and other meetings which assist in professional growth and effectiveness.
(5) Carrying out an adoptive program in conformity with recognized standards.
(6) Providing leadership and stimulation in community planning for child and family welfare.
(c) Public Agencies. The duties of the executive director shall include all responsibilities listed for the executive director of a private agency where applicable.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading and subsections (b)(2) and (5) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89152. Supervisory Personnel.
Note     •     History

(a) Responsibility. Each supervisory employee in an adoption agency shall be responsible for the performance of assigned staff.
(b) Qualification Requirements. Supervisory employees shall have the following qualifications:
(1) Public Agency. Supervisors shall be qualified for their responsibilities by education and experience, the minimum of which shall be either:
(A) Possession of a master's degree from an accredited graduate school of social work or completion of all work toward a degree except the thesis, and three years of full-time social work employment; or
(B) One year of experience as a Social Service Practitioner II or two years of experience as a Social Service Practitioner I, or their equivalent, in a California county welfare department.
(2) Private Agency. Supervisors shall be qualified for their responsibilities by education and experience, the minimum of which shall be possession of a master's degree from an accredited graduate school of social work or completion of all wok toward the degree except the thesis, and either:
(A) Three years of full-time social work employment in the field of family or child welfare; or
(B) Two years of full-time social work employment in a licensed foster family agency or adoption agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsections (a), (b)(2) and (b)(2)(B) and repealer of subsection (b)(3) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89155. Social Work Personnel.
Note     •     History

(a) Social workers shall be employed to provide the social services in the agency's adoption program.
(b) Except as otherwise provided, the minimum educational requirement for social worker shall be a master's degree from an accredited graduate school of social work or completion of all work toward a degree except the thesis. There shall be no waiver of this requirement as a condition of initial licensure. Waivers of the graduate education may be authorized by the Department if the agency has demonstrated a substantial and consistent effort to recruit and retain an adequate number of social workers with graduate training, and a selective certification or hiring plan is in effect whereby social workers possessing the qualifications shall be employed first.
(c) Optional Requirements--Public Agencies. Upon approval of waiver and except as provided in this section, the Department may authorize a public adoption agency to use one or more of the following optional qualification requirements in the order given:
(1) Graduation from college, and either:
(A) One year of experience as a Social Service Worker II, or its equivalent, in a California county welfare department; or
(B) Two years of social work experience in a public welfare agency; one year of graduate education which was completed as part of the candidacy for a master's degree in social work may be substituted for one year of the required experience.
(2) Graduation from college with a major in social welfare; or graduation from college with a major other than social welfare and either:
(A) One year of experience in a public or private agency performing duties comparable to a Social Service Worker I. One year of graduate study which was completed as part of the candidacy for a master's degree in social work may be substituted for the required experience; or
(B) One year of experience as a Social Service Worker I, or its equivalent, in a California county welfare department. Completion of a Department approved in-service training course or completion of an undergraduate major in a field closely related to social welfare may be substituted for six months of the required experience.
(d) Optional Requirements--Private Agencies. Upon approval of waiver, and except as provided in this section, the Department may authorize a private adoption agency to use the optional requirement of graduation from college and two years of social work experience in a social service agency. One year of graduate education in social work, or completion of an undergraduate major in social welfare may be substituted for one year of the required experience. Completion of a Department approved in-service training course, or completion of an undergraduate major in a field closely related to social welfare may be substituted for six months of the required experience. In all cases, however, a minimum of one year of experience shall be required under these substitution patterns.
(e) Additional Waiver Option for Both Public and Private Adoption  Agencies. Graduation from college as the only requirement for social work personnel may be authorized if the agency has Department approved in-service training and staff development programs for staff recruited at this level.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment  of  subsections (a) and (c)-(d), repealer of  subsection (e), and  relettering and amendment of former subsection (f) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89158. Number of Staff.
Note     •     History

Professional and clerical staff shall be sufficient in number to perform the functions of the adoption agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment  filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89161. Personnel Policies.
Note     •     History

(a) In addition to the general requirements there shall be written personnel policies for adoption agencies which include, but are not limited to the following:
(1) Employment and tenure of staff shall be based solely on competence.
(2) Copies of all regulatory material needed in the performance of their functions shall be available.
(3) Staff shall be appropriately used through the development of a staffing plan based on all classifications used and showing the functions of each classification. The plan shall show the way aides and volunteers are to be used and to whom they are responsible.
(4) Personnel policies, salaries and working conditions shall be such as to attract and hold competent, well-qualified staff.
(5) Regular in-service training shall be provided.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89164. Office Facilities.
Note     •     History

(a) The agency shall be housed in offices which are adequately equipped, which provide privacy for interviewing and which are conveniently located for the public. Requirements shall include the following:
(1) A separate reception area and waiting area shall be provided when the operations are carried on in the same building with other welfare programs.
(2) Separate waiting rooms for adoptive parents and for natural parents shall be provided.
(3) A play and viewing room shall be provided when extensive child placing activities are conducted.
(4) Storage space shall be provided for equipment and furnishings needed to carry out the activities of an adoptions unit.
(5) An exception to the above requirements for adoption services may be made by the Department for those licensed public adoption agencies which average less than ten relinquishments and ten placements per month, provided adequate provisions are made for assuring the privacy of the parties to the adoption and the confidentiality of the process.
(6) Adoption case records shall be maintained in locked files in the agency.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89167. Homefinding and Placement Services. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89170. Initial Study.
Note

(a) The decision to accept a client for service shall be based upon:
(1) Clearly defined but flexible agency policy, and
(2) A complete social study of the client's total situation to determine what will best serve his ultimate welfare.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
§89173. Placement and Supervision.
Note     •     History

(a) The religious preference of applicants shall be respected insofar as possible in deciding among the available foster homes the home best suited to the individual. When an alternate home is used, steps shall be taken to ensure religious observance in accordance with the client's stated preference.
(b) In a placement program for children, children of the same family shall be kept together whenever possible unless it has been determined that this is not beneficial.
(c) The selection of a foster home or of a group home for a particular client shall be based upon consideration of the client's total health, educational, religious, recreational, social and emotional needs and how well the particular foster home or group home can meet the client's needs and potentialities. This shall include the ability of the foster home or group home to accept and respect individuals of any race, creed, color, religion or national ancestry.
(d) Every effort shall be made to strengthen family relationships and to help parents make a responsible plan for the permanent care of their children, unless the child has been permanently removed from the custody of his parents, or the plan is placement in an adoptive home.
(e) The agency shall make certain that adequate and appropriate clothing, recreational allowances and continuing medical and dental care are provided for each client in placement.
(f) The agency shall maintain adequate supervision through sufficiently frequent visits to the client, the caretaker and the client's own family. The frequency of such visits shall be determined by the circumstances of each case and the discretion of the agency.  If the worker carries other responsibilities such as recruitment or foster home finding, intake, work with clients with serious emotional disturbances, or work with clients in their own families, or if the geographical area to be covered is widespread, the caseload should be proportionately reduced.
(g) Psychological study, direct treatment by a psychiatrist or psychiatric consultation to aid the caseworker in treatment shall be provided by the agency for those clients accepted for care who require such specialized professional services.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of section heading and subsection (f) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89176. Termination of Foster Care. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1506, 1530 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89179. Case Records--General Requirements.
Note     •     History

(a) The adoption agency shall maintain adequate case records which include:
(1) Separate records for each client and for each placement facility studied and used by the agency.
(2) Current administrative records in such a form as to provide an index to all cases, including location of all clients under care and of all placement facilities in use.
(b) Adoption case records shall be retained by the agency indefinitely. In the event of an agency terminating its adoption services, full case records on all completed adoptions, placements for adoption and children relinquished for adoption shall be forwarded to the Department for permanent filing and reference. Records and documents shall include those regarding the natural parents, the child and the adoptive parents. Such forwarding by the terminating agency shall be conducted in the manner prescribed by the Department.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89182. Content of Case Record.
Note     •     History

(a) Each adoption agency shall maintain a case record for each family unit or individual served in its program.
(b) Each case record shall include:
(1) A face sheet or application form.
(2) A typewritten record of the study.
(3) Medical and other reports.
(4) Correspondence.
(5) Applicable legal documents.
(6) Verifications.
(7) Evaluation of findings
(8) Decisions reached.
(9) Actions taken.
(10) Court Reports.
(c) All information in case records shall be confidential. Adoption records shall be available only to authorized adoption agency personnel; and to the licensing agency as specified in Section 89182(d). 
(d) All case records shall be available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Prior to removing any case records, a licensing representative shall prepare a list of the case records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the executive director or designee. 
(2) Licensing representatives shall return the case records undamaged and in good order within three business days following the date the case records were removed. 
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Amendment of subsection (c), new subsections (d)-(d)(2) and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§89185. Health Protection of Clients--General Requirement.
Note     •     History

(a) Each adoption agency shall provide adequate preventive and remedial medical care through a qualified physician, or through a medical clinic organized to provide the necessary medical service. The medical care provided shall include:
(1) Complete physical examination.
(2) Prompt treatment of remediable physical conditions.
(3) Necessary laboratory tests and immunizations.
(4) Immunization of children over six months of age against diphtheria; immunization of children under six years of age against whooping cough.
(5) Provisions for tuberculin test or chest X-ray for each client; and provision for nose and throat culture and appropriate tests for venereal disease when indicated.
(6) For infants, continuing medical supervision; for older children and adults, physical examination at least annually or more often as recommended by the client's physician or as the client's condition indicates.
(7) Care in case of illness or accident, including provision for medical care and hospitalization as required.
(8) Dental examinations semi-annually followed by necessary treatment, and arrangements for orthodontic care for children as required.
(9) Continuing observation of the client's progress and discussion with the physician of any deviations from satisfactory conditions.
NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 89221 to section 89185 filed 4-9-2003; operative 4-9-2003 pursuant to Government Code Section 11343.4 (Register 2003, No. 15). For prior history of section 89185, see Register 93, No. 40.
§89188. Identification of Exclusive Use Foster Homes. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former  section 89188 to subsections  88030(a), (c) and (e) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89191. Notification. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of subsections (a)  and (b) to subsections 88031(a) and (c) and repealer of subsections (c)-(c)(2) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89194. Confidential Nature of Records and Information. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
§89197. Local Ordinances. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Repealer filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
Chapter 9.5. Foster Family Homes
Article 1. General Requirements,  Definitions, and Forms
§89200. General.
Note     •     History

(a) The caregiver shall ensure compliance with all applicable laws and regulations. 
(b) General Licensing Requirements, Chapter 1, shall not apply to Foster Family Homes, Chapter 9.5. 
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1502, 1530, 1530.5 and 1531, Health and Safety Code. 
HISTORY

1. New chapter 9.5 (sections 89200-89587.1), article 1 (sections 89200-89202) and renumbering of former section 87000 to section 89200, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day. For prior history of sections 89200-89218, see Register 93, No. 40. 
2. New chapter 9.5 (sections 89200-89587.1), article 1 (sections 89200-89202) and renumbering of former section 87000 to section 89200, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day. 
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89201. Definitions.
Note     •     History

The following definitions shall apply whenever the terms are used throughout this chapter. 
(a)(1) “Adult” means a person who is 18 or over, except:
(A) A “child” who is 18 or 19 as specified in the definition for “child” under subsection (c)(7), and
(B) A “child” who is 18-22 as specified in the definition for “child with special health care needs” under subsection (c)(10).
(2) “Age-Appropriate” means activities or items that are generally accepted as suitable for children of the same chronological age or level of maturity. Age appropriateness is based on the development of cognitive, emotional, physical, and behavioral capacity that is typical for an age or age group.
(3) “Alternative Caregiver” means a person who cares for a “child” in the caregiver's licensed or approved home when the caregiver is away for more than 24 hours at a time as specified in Section 89378, subsection (a)(1)(B).
(4) “Applicant” means any adult who has applied for a foster family home license or to be an approved home.
(5) “Approval Agency” means the child-placing agency that is responsible for approving the homes of relative and nonrelative extended family members that meet the same standards as those in Article 3. 
(6) “Approved Home” means the home of a relative or nonrelative extended family member that is exempt from licensure and is approved as meeting the same standards as those in Article 3. 
(7) “Authorized Representative” means the person or entity authorized by law to act on behalf of a “child.” The person or entity may include, but not be limited to, a parent or attorney of a “child,” Court Appointed Special Advocates (CASA), a legal guardian, a conservator, or a public placement agency. 
(b)(1) “Basic Rate” means the amount of money that is paid to the licensed or approved caregiver for providing care and supervision of an Aid to Families with Dependent Children-Foster Care (AFDC-FC) “child” as specified in Welfare and Institutions Code section 11461.
(c)(1) “California Department of Justice Clearance” means a person has no felony or misdemeanor convictions, other than a minor traffic violation, reported by the California Department of Justice. 
(2) “Capacity” means the number of “children” for whom the foster family home is licensed to provide care and supervision.
(3) “Care and Supervision” is defined in Welfare and Institutions Code section 11460, subsection (b) and includes, but is not limited to, any one or more of the following activities provided by a caregiver to meet the needs of a “child”:
(A) Assistance in dressing, grooming, bathing, and other personal hygiene.
(B) Central storage for or distribution of medicine, and assistance with taking medicine, as specified in section 89475, subsection (c).
(C) Arrangement of and assistance with medical and dental care. This may include transportation.
(D) Maintenance of house rules for protection.
(E) Supervision of schedules and activities.
(F) Maintenance and supervision of the child's cash resources or property where appropriate.
(G) Monitoring food intake or special diets.
(4) “Caregiver” means the person who is licensed or approved to have authority and responsibility for the care and supervision of a “child” and operation of the home. 
(5) “Caregiver's Family” means the caregiver's spouse, any relative, adopted child, or person under guardianship or conservatorship of the caregiver who resides in the home. 
(6) “Cash Resources” means:
(A) Gifts of money.
(B) Tax credits and/or refunds.
(C) Earnings from employment or workshops.
(D) Money for personal and incidental need allowances from sources of income including, but not limited to, SSI/SSP.
(E) Allowance paid to a “child.”
(F) Any other similar resources as decided by the licensing agency.
(7) “Child” means a person who is under 18 placed with a caregiver in a licensed foster family home or approved home by a regional center, a parent or guardian, or a public child placement agency with or without a court order. “Child” also means a person who is:
(A) 18 or 19, meets the requirements of Welfare and Institutions Code section 11403, and continues to be provided with care and supervision by the caregiver in the home, or
(B) 18-22 as specified in the definition for “child with special health care needs” under subsection (c)(10) and continues to be provided with care and supervision by the caregiver in the home.
(8) “Child Abuse Central Index (CACI)” means the California Department of Justice maintained statewide, multi-jurisdictional, centralized index of child abuse investigation reports. These reports pertain to alleged incidents of physical abuse, sexual abuse, mental/emotional abuse or severe neglect. Each child protection agency (police, sheriff, county welfare and probation departments) is required by law to forward to the California Department of Justice a report of every child abuse incident it investigates, unless an incident is determined to be unfounded. 
(9) “Child Abuse Central Index (CACI) Clearance” means that the California Department of Justice has conducted a name search of the index and the search did not result in a match, or if there is a match, the allegation(s) was not substantiated by the Department after independent review and investigation pursuant to Health and Safety Code section 1522.1. 
(10) “Child with Special Health Care Needs” means a person under 18 or 22 and younger, who meets the requirements of Welfare and Institutions Code section 17710, subsection (a) and all of the following conditions:
(A) Has a medical condition that requires specialized in-home health care and
(B) Is one of the following:
1. A child who has been adjudged a dependent of the court under Welfare and Institutions Code section 300.
2. A child who has not been adjudged a dependent of the court under Welfare and Institutions Code section 300, but who is in the custody of the county welfare department.
3. A child with a developmental disability who is receiving services and case management from a regional center.
(11) “Completed Application” means: 
(A) The applicant has submitted and the licensing agency has received, all required information and materials that are required for a license. A completed application includes an approved fire clearance from the local fire authority, if a fire clearance for the home is required. It also includes a Child Abuse Central Index (CACI) clearance and a California criminal record clearance or exemption, or evidence of compliance with the FBI requirements specified in Health and Safety Code section 1522(d)(4)(D), for the applicant and any other person specified in Section 89219, Criminal Record Clearance, and
(B) The licensing agency has completed a site visit to the home.
(12) “Conservator” means a person appointed by the Superior Court pursuant to the provisions commencing with Probate Code section 1800 or Welfare and Institutions Code section 5350, to care for the person, or the estate, or the person and estate, of another. 
(13) “Control of Property” means the legal right to enter, occupy, and maintain the operation of the home as verified by documents that are provided to the Department or approval agency upon request. Such documents may include:
(A) A Grant Deed showing ownership,
(B) A lease or rental agreement,
(C) A court order or similar document which shows authority to control the property pending the outcome of a probate proceeding or an estate settlement, or
(D) Any other document that is acceptable to the Department, to include, but not be limited to, utility bills, insurance statement, etc.
(14) “Conviction” means: 
(A) A criminal conviction in California, or 
(B) Any criminal conviction of another state, federal, military, or other jurisdiction, which if committed or attempted in California, would have been punishable as a crime in California. 
(15) “Criminal Record Clearance” means a person has a California Department of Justice clearance and an FBI clearance or evidence of compliance with FBI requirements as specified in Health and Safety Code section 1522, subsection (d)(4)(D). 
(d)(1) “Deficiency” means any failure to comply with any provision of the Community Care Facilities Act beginning with Health and Safety Code section 1500 or regulations adopted by the Department pursuant to the Act. 
(2) “Department” is defined in Health and Safety Code section 1502, subsection (b) as the State Department of Social Services.
(3) “Director” is defined in Health and Safety Code section 1502, subsection (c) as the Director of the State Department of Social Services.
(4) “Disability” means a developmental, mental, or physical condition for which a “child” requires special care and supervision. 
(5) “Documented Alternative Plan (DAP)” means a written plan that the licensing or approval worker reviews and approves on a case-by-case basis as another, but equally protective, way to meet the intent of a specific regulation in Article 3. 
(e)(1) “Evaluator” means any person who is a duly authorized officer, employee, or agent of the Department, county or other public agency, such as a Licensing Program Analyst (LPA), who makes licensing visits to a foster family home.
(2) “Evidence of Caregiver's Death” shall include, but is not limited to, a copy of the death certificate, obituary notice, certification of death from the decedent's mortuary, or a letter from the attending physician or coroner's office verifying the caregiver's death. 
(3) “Exception” means a “child”-specific, nontransferable, written authorization issued by the licensing agency that approves an equally protective manner of complying with the intent of a specific regulation(s) based on documentation of the unique needs or circumstances of a specific “child” placed in the home. 
(4) “Exemption” means the granting of an exemption to the disqualification for a license, employment or presence in a home, as allowed under Health and Safety Code section 1522, subsection (g) for a person who does not have a criminal records clearance.
(f)(1) “Family Health Care” means health care which does not require the skills of qualified technical or professional health care personnel and is provided to a “child” by the caregiver in accordance with Section 89475, Health Related Services. 
(2) “Federal Bureau of Investigation (FBI) Clearance” means a person has no felony or misdemeanor convictions, other than a minor traffic violation, reported by the FBI. 
(3) “Foster Family Home (FFH)” means the home owned, leased, or rented by the caregiver(s) as their residence and where the caregiver(s) is licensed or approved to provide 24-hour care and supervision for six or fewer foster children as defined in Health and Safety Code section 1502, subsection (a)(5). A foster family home may provide sibling care for up to eight children provided the requirements of Health and Safety Code section 1505.2 are met.
(g)(1) “Gender Identity” means a person's internal identification or self-image as male or female.
(2) “Guardian” means a person who is appointed by the Superior Court pursuant to the provisions commencing with Probate Code section 1500 or Welfare and Institutions Code sections 360 or 366.26 to care for the person, or the estate, or the person and estate, of another. 
(h)(1) “Health and Education Passport” means a summary of health and education information or records for a “child” that includes mental health information or records, as provided in Welfare and Institutions Code section 16010.
(2) “Health Care Professional” means a physician or person who is licensed or certified under Business and Professions Code Division 2 to perform necessary care that is prescribed by a physician. These health care professionals include the following: Registered Nurse, Public Health Nurse, Licensed Vocational Nurse, Psychiatric Technician, Physical Therapist, Occupational Therapist, and Respiratory Therapist.
(3) “Home” means a Foster Family Home. 
(i)(1) “Inconclusive” means that although the allegation may have happened or is valid, there is not a preponderance of the evidence to prove that the alleged violation occurred.
(2) “Independent Living Program (ILP)” means the program authorized under 42 USC section 677 to provide services and activities to assist children 16 or older in foster care in making the transition from foster care to independent living. 
(3) “Individualized Health Care Plan” means the written plan developed by an individualized health care plan team and approved by the team physician, or other health care professional designated by the physician to serve on the team, for the provision of specialized in-home health care to a “child with special health care needs.” A hospital discharge plan may be used in place of the individualized health care plan as specified in Section 89569.1, subsection (c).
(4) “Individualized Health Care Plan Team” means those persons who develop an individualized health care plan for a “child with special health care needs.” These persons include the primary care physician for a “child” or other health care professional chosen by the physician to serve on the team, the county social worker or regional center caseworker for the “child,” and any health care professional chosen to monitor the specialized in-home health care provided to a “child” pursuant to the individualized health care plan. 
(5) ``Infant'' means a child under 2.
(j) (Reserved)
(k) (Reserved)
(l)(1) “Licensing Agency” means the California Department of Social Services (CDSS) or any state, county or other public agency that is authorized by the Department to assume specific licensing responsibilities pursuant to Health and Safety Code section 1511. 
(2) “Licensed Home” means a home that is licensed by the California Department of Social Services (CDSS), Community Care Licensing Division or a county. 
(m)(1) “Medical Assessment” means a written medical evaluation by a health care professional which documents the health of a “child”, including any possible medical problems.
(2) “Medical Conditions That Require Specialized In-Home Health Care” means health conditions that a “child” may have that a caregiver who has received training can care for safely when in the home.
(3) “Medical Professional” means a health care professional as defined in subsection (h)(2).
(n)(1) “Nonrelative Extended Family Member (NREFM)” means any adult caregiver as defined in Welfare and Institutions Code section 362.7.
(2) “Nonambulatory Person” means a person as defined in Health and Safety Code section 13131. 
(A) A person who uses postural supports as specified in section 89475.2, subsection (a)(1) is nonambulatory.
(B) A person is not considered nonambulatory solely because he or she is deaf, blind, or prefers to use an aid for assistance.
(o)(1) “Occasional Short-Term Babysitter” means a person who cares for a “child” in or out of the caregiver's licensed or approved home on an occasional basis for no more than 24 hours at a time as specified in Section 89378, subsection (a)(1)(A).
(p)(1) “Personal Property” means items that a “child” brings to or obtains while in foster care, such as clothes, gifts, and personal effects.
(2) ``Physician'' means a person who is licensed by the Medical Board of California or by the Osteopathic Medical Board of California as a physician or surgeon.
(3) “Postural Support” means appliances or devices that are used to achieve proper body position and balance for a “child,” improve mobility and independent functioning for a “child,” position a “child,” or prevent a “child” from falling or injury as specified in Section 89475.2, Postural Supports and Protective Devices.
(4) “Pre-Placement Questionnaire” means the set of questions specified in Section 89468, Admission Procedures and the Pre-Placement Questionnaire (LIC 9225). 
(5) “PRN Medication” (pro re nata) means any nonprescription or prescription medication that is to be taken as needed.
(6) “Protective Devices” means items that protect a “child” from getting hurt and are prescribed by a physician as specified in Section 89475.2, Postural Supports and Protective Devices.
(7) “Provision” or “Provide” means whenever any regulation requires that provision be made for or that there be provided any service, personnel, or other requirement, the caregiver shall do so directly or present evidence to the licensing agency that the requirement has been met by some other means. 
(8) “Prudent Parent” or “Reasonable and Prudent Parent Standard” is defined in Welfare and Institutions Code section 362.04, subsection (a)(2) and specified in Section 89377, Reasonable and Prudent Parent Standard.
(q) (Reserved) 
(r)(1) “Rehabilitation” means that period of time, together with any education, counseling or therapy, training, stable employment, restitution, remorse, changes in lifestyle, or community service, which assist a person in reestablishing good character. 
(2) ``Relative'' means:
(A) A person related to the “child” by birth or adoption within the fifth degree of kinship who, regardless of whether a parent's rights to a “child” have been terminated or relinquished, is one of the following:
1. Parent (mother, father), sibling (brother, sister), half-sibling (half-brother, half-sister), nephew, niece, uncle, aunt, first cousin, first cousin once removed, or is in an earlier generation denoted by the prefixes grand, great, great-great, or great-great-great.
(B) Stepfather, stepmother, stepbrother, or stepsister; or
(C) The spouse of any person named in (A) or (B) above, even if the marriage has been terminated by death or dissolution.
(3) “Restraining Device” means any physical or mechanical item that is attached or next to the body of a “child” that a “child” cannot remove easily and keeps the “child” from moving freely as specified in Section 89475.2, Postural Supports and Protective Devices.
(s)(1) “Self Administer” means the act of a “child” administering or giving him or herself medicine or injections as specified in Sections 89475.1, Emergency Medical Assistance, Injections, and Self-Administration of Medications and 89475, Health Related Services.
(2) ``Serious Deficiency'' means any deficiency that presents an immediate or substantial threat to the physical health, mental health, or safety of any child in a home.
(3) “Sexual Orientation” means the actual or perceived identification of any person as heterosexual, gay, lesbian, or bisexual.
(4) “Shared Responsibility Plan” means a written plan that describes the duties, rights, and responsibilities of the teen parent and the caregiver with regard to the teen parent's child as defined in Welfare and Institutions Code section 16501.25 and specified in Section 89378, Responsibility for Providing Care and Supervision.
(5) ``Social Worker'' means a person who:
(A) Has a graduate degree from an accredited school of social work, or
(B) Is employed by a public agency and designated by that agency as a social worker providing services to a “child” and his or her family.
(6) “Specialized Foster Family Home” means a licensed foster family home that provides specialized in-home health care to a “child” pursuant to Health and Safety Code section 1507 and Welfare and Institutions Code section 17710, subsection (i). 
(7) “Specialized In-Home Health Care” means health care identified by the child's primary physician as appropriately administered in the home by a health care professional, a caregiver, or any person trained by health care professionals as defined in Welfare and Institutions Code section 17710, subsection (h).
(8) ``SSI/SSP'' means the Supplemental Security Income/State Supplemental Program, which is a federal or state government program that provides financial assistance to aged, blind or disabled residents of California.
(9) “Substantiated” means that the allegation is valid because the preponderance of the evidence standard has been met.
(t)(1) “Transitional Independent Living Plan (TILP)” means the written plan that describes programs, services, and activities that a “child” is participating in to prepare to make the transition from foster care to independent living.
(u)(1) “Unfounded” means that the allegation is false, could not have happened, or is without a reasonable basis.
(2) “Unlicensed Community Care Facility” means a facility as defined in Health and Safety Code section 1503.5, subsection (a) and section 1505.
(A) A home which is providing “care and supervision” as defined in subsection (c)(3) includes, but is not limited to, one in which an unemancipated minor has been placed for temporary or permanent care. 
(B) A home which is held out as or represented as providing “care and supervision” includes, but is not limited to: 
(1) A home which has been revoked or denied as follows: 
a. a license, if licensed as a foster family home; or 
b. an approval, if approved as a relative or nonrelative extended family member home; or 
c. a certificate, if certified by a Foster Family Agency as a foster home; and, 
d. the person continues to provide care for the same or different clients with similar needs. 
(2) A home where change of ownership has occurred and the same clients are retained. 
(3) A licensed home that moves to a new location. 
(C) A home which “accepts or retains residents who demonstrate the need for care and supervision” includes, but is not limit to a home which houses unemancipated minors, even though the home is providing board and room only, or board only, or room only. 
(v)(1) “Volunteer” means a person who provides unpaid support services to the home and does not replace required staff. 
(w)(1) “Waiver” means a home-wide nontransferable written authorization issued by the licensing agency that approves an equally protective manner of complying with the intent of a specific regulation and which is based on a demonstration of the unique needs or circumstances of the home. 
(2) “Whole Family Foster Home (WFFH)” means a licensed or approved foster family home or certified family home where the caregiver provides care for a minor parent and the minor parent's child as defined in Welfare and Institutions Code section 11400, subsection (t).
(3) “Written Plan Identifying the Specific Needs and Services of the Child”, formerly referred to as the “Needs and Services Plan”, means a time-limited, goal-oriented written plan that identifies the specific needs of an individual “child”. This plan shall contain information on the background and needs of a “child” that the placing social worker deems necessary for the effective care of the “child.”
(x) (Reserved)
(y) (Reserved)
(z) (Reserved)
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill 1695 (Chapter 653, Statutes of 2001). Reference: California Fair Employment and Housing Act, Sections 12921, 12926 and 12926.1(c), Government Code; Section 51931(a), Education Code; Sections 1337, 1500, 1501, 1502, 1503, 1503.5, 1505, 1505.2, 1507, 1507.5, 1520, 1522, 1522.1, 1524, 1526, 1526.5, 1527, 1530, 1530.5, 1530.6, 1531, 1531.5, 1533, 1534, 1536.1, 1537, 1550, 1551, 1558, 1558.1, 1559.110, 1727(c), 11834.11 and 13131, Health and Safety Code; Unruh Civil Rights Act, Section 51, Civil Code; Sections 309, 319(d), 361.2(j)-(j)(2), 362.04, 362.05, 362.7, 366.26, 11400(t), 11403, 11460, 11461, 16501.25, 16522, 17710, 17710(a), 17710(g), 17710(h), 17710(i), 17731, 17731(c) and 17736(a), Welfare and Institutions Code; and 42 U.S.C.A. Section 1305.
HISTORY

1. Renumbering of former section 87001 to section 89201, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87001 to section 89201, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order, including amendment of subsection (c)(13), new subsections (c)(13)(A)-(D), amendment of subsection (e)(4), new subsection (s)(2), subsection renumbering and amendment of Note, transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89202. Definitions -- Forms.
Note     •     History

The following forms, which are incorporated by reference, apply to the regulations in Title 22, Division 6, Chapter 9.5 (Foster Family Homes). 
(a) LIC 195 (10/07) -- Notice of Operation in Violation of Law.
(b) LIC 198 (2/01) -- Child Abuse Central Index Check for County Licensed Facilities. 
(c) LIC 198A (9/07) -- Child Abuse Central Index Check for State Licensed Facilities. 
(d) LIC 283 (1/03) -- Foster Family Home Application.
(e) LIC 508D (12/07) -- Out-Of-State Disclosure and Criminal Record Statement (Foster Family Homes, Small Family Homes, Certified Family Homes).
(f) LIC 973 (4/03) -- Documented Alternative Plan, Foster Family Homes (Bedrooms).
(g) LIC 974 (4/03) -- Documented Alternative Plan, Foster Family Homes (Telephones).
(h) LIC 9182 (12/07) -- Criminal Background Clearance Transfer Request. 
(i) LIC 9188 (12/07) -- Criminal Record Exemption Transfer Request. 
(j) LIC 9225 (8/08) -- Pre-Placement Questionnaire.
(k) PUB 396 (4/07) -- Foster Youth Rights.
NOTE

Authority cited: Section 1530, Health and Safety Code; and Section 21 of Assembly Bill 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1522 and 1522.1, Health and Safety Code; and Section 16001.9, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order, including new subsection (f), transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
Article 2. Administrative
§89205. License Required.
Note     •     History

Unless a home is exempt from licensure as specified in Section 89207, Exemption from Licensure, no person shall operate, establish, manage, conduct or maintain a foster family home, or hold out, advertise or represent by any means to do so, without first obtaining a current valid license from the licensing agency. 
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1503, 1503.5, 1505, 1508, 1509, 1524, 1531, 1536.1, 1540, 1540.1, 1541 and 1547, Health and Safety Code. 
HISTORY

1. New article 2 (sections 89205-89286) and renumbering of former section 87005 to section 89205, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 89205-89286) and renumbering of former section 87005 to section 89205, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89206. Operation Without a License.
Note     •     History

(a) If the home is alleged to be in violation of Health and Safety Code sections 1503.5 or 1508, the licensing agency shall conduct a site visit, and an evaluation of the home pursuant to Health and Safety Code section 1533.
(b) If the home is operating without a license, the licensing agency shall issue a Notice of Operation in Violation of Law (LIC 195) and shall refer the case for criminal prosecution or civil proceedings.
(c) The licensing agency shall issue an immediate civil penalty as specified in Section 89255, Penalties for Unlicensed Homes.
(d) Subsections (b) and (c) may be applied pursuant to Health and Safety Code section 1549.
(e) The licensing agency shall notify the appropriate placement or protective service agency if either of the following conditions exist:
(1) There is an immediate threat to the health and safety of children.
(2) The unlicensed home does not submit an application for licensure to the licensing agency within 15 calendar days of being served a Notice of Operation in Violation of the Law (LIC 195). 
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1503, 1503.5, 1505, 1508, 1531, 1533, 1536.1, 1538, 1540, 1540.1, 1541 and 1549, Health and Safety Code. 
HISTORY

1. Renumbering of former section 87006 to section 89206, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day. For prior history of section 89206, see Register 93, No. 40. 
2. Renumbering of former section 87006 to section 89206, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89207. Exemption from Licensure.
Note     •     History

(a) The provisions of this chapter shall not apply to facilities, homes, and arrangements specified in Health and Safety Code section 1505. 
(b) The provisions of this chapter shall not apply to any school dormitory or similar facility where all of the following conditions exist: 
(1) The school is certified or registered by the State Department of Education.
(2) The school and the school dormitory are on the same grounds.
(3) All children accepted by the school are 6 or over.
(4) The program operates only during normal school terms unless the academic program runs year-round.
(5) The school's function is educational only.
(6) The school program is not designated as providing rehabilitative or treatment services.
(7) The school's function does not intend to provide community care services, and the facility does not accept children who are in need of such services, including but not limited to children with developmental disabilities, mental disorders or physical handicaps; juveniles declared dependents of the court under Welfare and Institutions Code section 300; and juveniles declared wards of the court under Welfare and Institutions Code sections 601 and 602.
(8) The facility does not receive any public funds designated for care including but not limited to AFDC-FC and SSI/SSP. The facility shall be permitted to receive public funds intended for educational programs.
(9) No public or private agency, including but not limited to county welfare departments and probation offices, provides social services to children in the facility.
(c) The provisions of this chapter shall not apply to the following situations: 
(1) Any care and supervision of a person from only one family by a close friend of the parent, guardian or conservator, provided that such arrangement is not for financial profit and does not exceed 10 hours per week.
(A) Providing of longer hours of care shall not be precluded when care is provided for brief periods of time for reasons that include, but are not limited to, family emergencies, vacation, and military leave.
(2) Any family home that is exclusively used by a licensed or exempt Foster Family Agency and has a certificate of approval from that agency. 
(A) The home shall not be required to obtain a license, but shall be in compliance with all other requirements in this division. The home's compliance with these requirements shall be monitored through and assured by the Foster Family Agency. For the purposes of this section, an exclusive-use home shall mean a nonlicensed home that has been approved by a licensed Foster Family Agency as conforming to the regulations for the Small Family Home category. A home exclusively used by a licensed Foster Family Agency shall only accept a child placed by the agency which approved the home. 
(3) A home that meets all of the following criteria:
(A) Approved by a licensed adoption agency, or the Department, for the adoptive placement of a child; and
(B) The child is legally free for adoption; and
(C) The agency or the Department is providing supervision of the home pending finalization of the adoption.
(4) A home that meets all of the following criteria:
(A) Placement for adoption by a birth parent; and
(B) A petition for adoption has been filed by the prospective adoptive parents, and is pending; and
(C) A final decision on the petition has not been rendered by the court.
(5) Any care and supervision of a “child” by a relative, guardian, or conservator. A relative, for purposes of this section, shall include persons as specified in Health and Safety Code section 1505, subsection (k).
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; Section 17730, Welfare and Institutions Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1503, 1503.5, 1505, 1506, 1508, 1524, 1530, 1530.5, 1531, 1536.1, 1540.1, 1541 and 1547, Health and Safety Code; Sections 226.2, 226.5 and 226.6, Civil Code; and Sections 319(d), 362, 727, 16100, 17710(i) and 17736, Welfare and Institutions Code. 
HISTORY

1. Renumbering of former section 87007 to section 89207, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87007 to section 89207, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89209. Availability of License.
Note     •     History

(a) The licensing agency shall have the authority to request review of the license. 
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1503 and 1531, Health and Safety Code. 
HISTORY

1. Renumbering of former section 87009 to section 89209, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day. For prior history of section 87209, see Register 93, No. 40.
2. Renumbering of former section 87009 to section 89209, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
§89218. Application for License.
Note     •     History

(a) The licensing agency shall have the authority to require any applicant to file a verified Foster Family Home Application (LIC 283). 
(b) The applicant/caregiver shall cooperate with the licensing agency in providing verification and documentation as requested by the licensing agency.
(c) In addition to the Foster Family Home Application (LIC 283), supporting documents shall contain the following:
(1) Name and address of the owner of the premises if the applicant is leasing or renting.
(2) A copy of document(s) that establish that the applicant has control of the property to be licensed. 
(3) Information that is required by Health and Safety Code section 1520.
(4) Name, address and telephone number of the city or county fire department, or district providing fire protection services, or the State Fire Marshal's Office having jurisdiction in the area where the home is located.
(5) Fingerprint cards and identifying information as specified in Section 89319, Criminal Record Clearance Requirement.
(6) Information required by Health and Safety Code section 1522.1.
(d) No caregiver shall alter or provide false or misleading information to obtain any foster family home license. 
(e) The applicant shall sign the application.
(f) The application shall be filed with the licensing agency which serves the geographical area where the home is located.
(g) No application processing fee shall be charged to foster family homes. 
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1503, 1503.5, 1508, 1520, 1520.3, 1521.5, 1522, 1522.1, 1523.1, 1524, 1525.25, 1525.3, 1531, 1536.1, 1540, 1540.1, 1541 and 1547, Health and Safety Code.
HISTORY

1. Renumbering of former section 87018 to section 89218, including amendment of section and Note, and renumbering and amendment of former section 87036 to section 89218(f) filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day. For prior history of section 89218, see Register 93, No. 40.
2. Renumbering of former section 87018 to section 89218, including amendment of section and Note, and renumbering and amendment of former section 87036 to section 89218(f) refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day. 
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section, including renumbering of former section 89231, subsection (b) to section 89218, subsection (d), and amendment of Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89219. Criminal Record Clearance.
Note     •     History

(a) The Department shall conduct a criminal record review of all persons specified in Health and Safety Code section 1522, subsection (b) and shall have the authority to approve or deny a foster family home license, or employment, residence, or presence in the home, based upon the results of such review.
(b) The following persons are exempt from the requirement to submit fingerprints:
(1) A medical professional, as defined by the Department in regulations, who holds a valid license or certification from the person's governing California medical care regulatory entity and who is not employed, retained, or contracted by the caregiver, if all of the following apply:
(A) The criminal record of the person has been cleared as a condition of licensure or certification by the individual's California medical care regulatory entity.
(B) The person is providing time-limited specialized clinical care or services.
(C) The person is providing care or services within the person's scope of practice.
(D) The person is not a foster family home caregiver or an employee of the home.
(2) A third-party repair person, or similar retained contractor, if all of the following apply:
(A) The person is hired for a defined, time-limited job.
(B) The person is not left alone with a “child.”
(C) When a “child” is present in the room in which the repairperson or contractor is working, a staff person who has a criminal record clearance or exemption is also present.
(3) Employees of a licensed home health agency and other members of licensed hospice interdisciplinary teams who have a contract for a “child” of the home, and are in the home at the request of the legal decision maker for a “child.”
(A) The exemption shall not apply to a person who is a foster home caregiver or an employee of the home.
(4) Clergy and other spiritual caregivers who are performing services in common areas of the home, or who are advising an individual “child” at the request of, or with the permission of, the “child” or the legal decision maker for the “child.”
(A) This exemption shall not apply to a person who is a foster family home caregiver or an employee of the home.
(5) Members of fraternal, service and similar organizations who conduct group activities for a “child,” if all of the following apply:
(A) Members are not left alone with  a “child.”
(B) Members do not take a “child” from the home.
(C) The same group does not conduct such activities more often than once a month.
(6) Adult friends and family of the caregiver who come into the home to visit, for a length of time no longer than one month, provided they are not left alone with a “child.”
(7) Parents of friends of a “child” when a “child” is visiting the friend's home and the friend, caregiver or both are also present.
(8) Occasional short-term babysitters.
(9) Nothing in this paragraph shall prevent a caregiver from requiring a criminal record clearance of any person exempt from the requirements of this section, provided that the person has contact with a “child.”
(c) Prior to the Department issuing a license or special permit to any person or person's to operate or manage a foster family home, the applicant and any adults residing in the home shall, unless exempt under subsection (b), obtain a California criminal record clearance or exemption, and shall comply with FBI requirements as specified in Health and Safety Code section 1522, subsection (d)(4)(D).
(d) Prior to presence in the home, the persons specified in subsection (a) shall, unless exempt under subsection (b), obtain a California criminal record clearance or exemption and shall comply with FBI requirements as specified in Health and Safety Code section 1522, subsection (d)(4)(D).
(e) Prior to employment, residence or initial presence in a foster family home, all persons subject to criminal record review, in order to meet the requirements of subsections 89219(c) and (d), shall be fingerprinted and sign a declaration under penalty of perjury regarding any prior criminal convictions and arrests for any crime against a child, spousal cohabitant abuse, or for any crime for which the Department cannot grant an exemption. The declaration shall acknowledge and explain criminal convictions and arrests. The declaration shall also acknowledge that his or her continued employment, residence or presence in the home is subject to approval of the Department.
(1) A foster family home applicant/caregiver shall submit the fingerprints to the California Department of Justice along with a second set of fingerprints for the purpose of searching the records of the Federal Bureau of Investigation and shall comply with subsection (e), prior to the person's employment, residence, or initial presence in the home.
(A) Fingerprints shall be submitted to the California Department of Justice by the caregiver or sent by electronic transmission to the California Department of Justice by a fingerprinting entity approved by the Department.
(B) A caregiver's failure to submit fingerprints to the California Department of Justice or to comply with subsection (e) shall result in the citation of a deficiency and an immediate assessment of civil penalties of one hundred dollars ($100) per violation.
1. The caregiver shall then submit the fingerprints to the California Department of Justice for processing.
(C) The Department shall notify the caregiver of criminal records clearances and where there is not a clearance, the Department shall notify both the caregiver and the affected person associated with the home, in concurrent, separate letters, that the affected person has a criminal conviction and needs to obtain a criminal record exemption.
(f) To continue to be employed, reside, or be present in a home, each person shall continue to meet the requirements of subsections (c) and (d). 
(g) If the criminal record transcript of any of the persons specified in Health and Safety Code section 1522, subsection (b) discloses a plea or verdict of guilty or a conviction following a plea of nolo contendere for any crime other than a minor traffic violation, for which the fine was less than $300, and an exemption pursuant to Section 89219.1, subsection (a) has not been granted, the Department shall take the following actions:
(1) For initial applicants, denial of the application.
(2) For current caregivers, the Department may institute an administrative action, including, but not limited to, revocation of the license.
(3) For other persons, exclusion of the affected person pursuant to Health and Safety Code section 1558, and denial of the application or revocation of license, if the person continues to provide service and/or reside in the home.
(h) A transfer of a criminal record clearance from one state licensed facility to another, or from TrustLine to a state licensed facility may be requested by a person or a caregiver by providing the following documents to the Department:
(1) A signed Criminal Background Clearance Transfer Request (LIC 9182). 
(2) A copy of the person's valid identification, such as: 
(A) California driver's license; or 
(B) California identification card issued by the Department of Motor Vehicles; or 
(C) Photo identification issued by another state or the United States government if the person is not a California resident.
(3) Any other documentation required by the Department (i.e., LIC 508D, Criminal Record Statement and job description).
(i) The caregiver shall maintain documentation of criminal record clearances or criminal record exemptions of employees and volunteers that require fingerprinting and non-client adults residing in the home.
(1) Documentation shall be available for inspection by the Department.
NOTE

Authority cited: Sections 1530, 1530.5 and 1531, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Section 729, Business and Professions Code; Sections 1501.1, 1520, 1522, 1522(b)(3)(C), 1522.01, 1522.04, 1524, 1531, 1558 and 14564, Health and Safety Code; Sections 361.2(j)-(j)(1)(B) and 362.04, Welfare and Institutions Code; Section 8712, Family Code; Section 15376, Government Code; and Sections 136.1, 186.22, 187, 190-190.4, 192(a), 203, 206, 207, 208, 209, 209.5, 210, 211, 212, 212.5, 213, 214, 215, 220, 243.4, 261(a), (a)(1)-(4) or (a)(6), 262(a)(1) or (a)(4), 264.1, 266, 266c, 266h(b), 266i(b), 266j, 267, 269, 272, 273a(a) [or 273a(1) if the conviction was prior to January 1, 1994], 273d, 285, 286, 288, 288a, 288.2, 288.5(a), 289, 290(a), 311.2(b), (c) or (d), 311.3, 311.10, 311.11, 314(1) or (2), 347(a), 368(b) or (c) if after January 1, 1999, 417(b), 451(a) or (b), 460(a), 186.22, 518, 647.6 or prior to 1987 former Sections 207, 208, 209, 209.5, 210, 647a, 653f(c), 664.187, 667.5(c)(7), 667.5(c)(8), 667.5(c)(13), 667.5(c)(14), 667.5(c)(22),  12022.53, 12308, 12309 or 12310, Penal Code; and Section 42001, Vehicle Code.
HISTORY

1. Renumbering of former section 87019 to section 89219, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87019 to section 89219, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order, including amendment of subsection (g), transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89219.1. Criminal Record Exemption.
Note     •     History

(a) After a review of the criminal record transcript, the Department may grant an exception from disqualification for a license, employment or presence in a home pursuant to Section 89219, subsection (g) if:
(1) The applicant/caregiver requests an exemption in writing for himself or herself, or
(2) The applicant/caregiver requests an exemption in writing for a person associated with the home, or
(3) The applicant/caregiver does not seek an exemption for the affected person, the affected person may request an individual exemption in writing, if the conditions set forth in Health and Safety Code section 1522, subsection (c)(5) are met; and
(4) The affected person presents substantial and convincing evidence satisfactory to the Department that he/she has been rehabilitated and presently is of such good character as to justify being issued or maintaining a license, employment, presence, or residence in a licensed home.
(b) The Department shall consider factors including, but not limited to, the following as evidence of good character and rehabilitation:
(1) The nature of the crime.
(2) Period of time since the crime was committed and number of offenses.
(3) Circumstances surrounding the commission of the crime that would demonstrate that repetition is not likely.
(4) Activities since conviction, including employment or participation in therapy or education, that would indicate changed behavior.
(5) Granting by the Governor of a full and unconditional pardon.
(6) Character references.
(7) A certificate of rehabilitation from a superior court.
(8) Evidence of honesty and truthfulness as revealed in exemption application documents and interviews.
(A) Documents include, but are not limited to:
1. A Criminal Record Statement (LIC 508D, Criminal Record Statement); and
2. The person's written statement/explanation of the conviction and the circumstances surrounding the arrest.
(9) Evidence of honesty and truthfulness as revealed in the exemption application interviews and conversations between the person or others and the Department. 
(c) No exemption shall be granted for a crime that is listed in Health and Safety Code section 1522, subsection (g).
(d) The Department may deny an exemption request if:
(1) The caregiver and/or the affected person fails to provide documents requested by the Department, or
(2) The caregiver and/or the affected person fails to cooperate with the Department in the exemption process.
(e) The reasons for any exemption granted or denied shall be in writing and kept by the Department.
(f) The Department may grant a criminal record exemption that places conditions on the person's continued licensure, and employment or presence in a licensed home.
(g) A person shall be permitted to transfer a current criminal record exemption from one state-licensed facility to another provided the exemption has been processed through a state licensing regional office and the following are met:
(1) A signed Criminal Record Exemption Transfer Request (LIC 9188). 
(2) The request is in writing to the Department and includes:
(A) A copy of the person's valid identification, such as:
1. California driver's license; or
2. California identification card issued by the Department of Motor Vehicles; or
3. Photo identification issued by another state or the United States government if the person is not a California resident.
(B) Any other documentation required by the Department (i.e., LIC 508D, Criminal Record Statement and job description).
(h) If the Department denies the person's request to transfer a conditional criminal record exemption, the Department shall provide the individual with a right to an administrative hearing to contest the Department's decision.
(i) The Department shall take the following actions if a criminal record exemption is not or cannot be granted:
(1) For initial applicants, denial of the application.
(2) For current caregivers, the Department may institute an administrative action, including, but not limited to, revocation of the license.
(3) For current or prospective employees, exclusion of the affected person pursuant to Health and Safety Code section 1558, and denial of the application or revocation of the license, if the individual continues to provide services and/or reside in the home.
(4) For persons residing in the home, caregiver or employee, exclusion of the affected individual pursuant to Health and Safety Code section 1558, and denial of the application or revocation of the license, if the individual continues to provide services and/or reside at the home.
NOTE

Authority cited: Sections 1530, 1530.5 and 1531, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Section 729, Business and Professions Code; Sections 1520, 1522, 1522.01, 1522.04, 1524, 1531 and 14564, Health and Safety Code; Section 15376, Government Code; and Sections 136.1, 186.22, 187, 190-190.4, 192(a), 203, 206, 207, 208, 209, 209.5, 210, 211, 212, 212.5, 213, 214, 215, 220, 243.4, 261(a), (a)(1)-(4) or (a)(6), 262(a)(1) or (a)(4), 264.1, 266, 266c, 266h(b), 266i(b), 266j, 267, 269, 272, 273a(a) [or 273a(1) if the conviction was prior to January 1, 1994], 273d, 285, 286, 288, 288a, 288.2, 288.5(a), 289, 290(a), 311.2(b), (c) or (d), 311.3, 311.10, 311.11, 314(1) or (2), 347(a), 368(b) or (c) if after January 1, 1999, 186.22, 417(b), 451(a) or (b), 460(a), 518, 647.6 or prior to 1987 former Sections 207, 208, 209, 209.5, 210, 647a, 653f(c), 664.187, 667.5(c)(7), 667.5(c)(8), 667.5(c)(13), 667.5(c)(14), 667.5(c)(22), 12022.53, 12308, 12309 or 12310, Penal Code.
HISTORY

1. Renumbering of former section 87019.1 to section 89219.1, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87019.1 to section 89219.1, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order, including further amendments, transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of subsections (a), (a)(2)-(4), (b)(8)1.-(c), (d)(1)-(2), (f)-(g)(1), (g)(2)(A), (g)(2)(A)3.-(B), (h) and (i)(3)-(4) filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89219.2. Child Abuse Central Index.
Note     •     History

(a) Prior to the Department issuing a license or special permit  for a foster family home, the Department shall conduct a Child Abuse Central Index (CACI) review pursuant to Health and Safety Code section 1522.1 and Penal Code section 11170, subsection (b)(3). The Department shall check the CACI for the applicant(s) and all persons subject to a criminal record review, pursuant to Health and Safety Code section 1522, subsection (d) and shall have the authority to approve or deny a home license, permit, certificate, employment, residence, or presence in the home based on the results of the review.
(1) The applicant shall submit the Child Abuse Central Index Check for State Licensed Facilities (LIC 198A) for all persons required to be checked directly to the California Department of Justice at the same time that the person's fingerprints are submitted for a criminal background check as required by Section 89219, subsection (c).
(A) Persons who have submitted the Child Abuse Central Index Check for State Licensed Facilities (LIC 198A) with fingerprints on or after January 1, 1999 need not submit a new check if the person can transfer their criminal record clearance or exemption pursuant to Section 89219, subsection (f).
(2) The Department shall investigate any reports received from the CACI. The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report. The Department shall not deny a license based upon a report form the CACI unless the Department substantiates the allegation of child abuse.
(b) Subsequent to licensure, all persons subject to a criminal record review, pursuant to Health and Safety Code section 1522, subsection (b), shall complete a Child Abuse Central Index Check for State Licensed Facilities (LIC 198A), prior to employment, residence, or initial presence in the home that cares for children.
(1) The caregiver shall submit the Child Abuse Central Index Check  for State Licensed Facilities (LIC 198A) directly to the California Department of Justice with the person's fingerprints as required by Section 89219, subsection (d) prior to the person's employment, residence or initial presence in the home.
(A) Persons who have submitted the Child Abuse Central Index Check for State Licensed Facilities (LIC 198A) with fingerprints on or after January 1, 1999 need not submit a new check if the person can transfer their criminal record clearance or exemption pursuant to Section 89219, subsection (f) or Section 89219.1, subsection (c).
(2) The Department shall check the CACI pursuant to Penal Code section 11170, subsection (b)(3), and shall investigate any reports received from the CACI. The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report. The Department shall not deny a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
(3) The Department shall investigate any subsequent reports received from the CACI. The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report. The Department shall not revoke a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
(c) A person shall be permitted to transfer a current CACI clearance from one state-licensed facility to another in the following manner: 
(1) If the initial CACI (LIC 198A) was submitted prior to January 1, 1999, the person must submit a new CACI (LIC 198A) to be processed through a state licensing regional office; or 
(2) If the CACI (LIC 198A) was submitted after January 1, 1999 the person's CACI clearance will be transferred along with the transfer of either the criminal record clearance or exemption in accordance with Sections 89219, Criminal Record Clearance, or 89219.1, Criminal Record Exemptions. 
NOTE

Authority cited: Sections 1530, 1530.5 and 1531, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1520, 1522, 1522.01, 1522.1, 1524, 1531, 1558 and 14564, Health and Safety Code; and Section 11170, Penal Code.
HISTORY

1. Renumbering of former section 87019.2 to section 89219.2, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87019.2 to section 89219.2, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89221. Health Protection of Clients--General Requirement. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code. Reference: Sections 1501, 1505, 1506, 1520, 1530 and 1531, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (a)(2) filed 9-30-93; operative 11-1-93 (Register 93, No. 40).
2. Renumbering of former section 89221 to section 89185 filed 4-9-2003; operative 4-9-2003 pursuant to Government Code Section 11343.4 (Register 2003, No. 15).
§89224. Exceptions and Waivers.
Note     •     History

(a) Unless prior written licensing agency approval is received as specified in subsection (d) below, a caregiver shall maintain continuous compliance with the licensing regulations.
(b) The licensing agency shall have the authority to grant an exception or waiver for a specific regulation(s) if the request: 
(1) Demonstrates how the intent of the regulation(s) will be met;
(2) Is not detrimental to the health and safety of any child; and
(3) Is submitted by the applicant or caregiver to the licensing agency as a written request for a waiver or exception, together with substantiating evidence supporting the request.
(c) No waiver or exception, pursuant to this section, shall be granted for any provision of Article 3, under this chapter. 
(d) The caregiver shall retain the licensing agency's written approval or denial of the exception or waiver request on file in the home.
(e) A Documented Alternative Plan (LIC 973 and LIC 974), as defined in Section 89201, Definitions, shall only be used for regulations specified in Article 3:
(1) Section 89387, Buildings and Grounds for bedrooms, and 
(2) Section 89373, Telephones.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1509, 1525.25 and 1531, Health and Safety Code; and Sections 361.2(j)-(j)(1)(C), Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87024 to section 89224, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87024 to section 89224, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section heading, section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89226. Safeguards for Cash Resources, Personal Property, and Valuables.
Note     •     History

(a) The caregiver shall make an itemized inventory list of cash resources, personal property, and valuables that a “child” brings into care and review this list with the “child.”
(1) This list shall be kept in the records for a “child” as specified in Section 89370, Children's Records.
(b) The caregiver shall safeguard the cash resources, personal property, and valuables of a “child” by:
(1) Keeping the cash resources, personal property, and valuables of each “child” separate and intact, and
(2) Maintaining accurate records of the cash resources, personal property, and valuables belonging to a “child” and entrusted to the caregiver.
(c) The caregiver shall allow a “child” to have access to and control of his or her cash resources, personal property, and valuables in a manner that is age and developmentally appropriate.
(d) When a “child” leaves the home, the caregiver shall surrender cash resources, personal property, and valuables that belong to the “child” to the “child,” if age and developmentally appropriate, to the placement agency or other authorized representative who is responsible for the care and custody of the “child,” with an itemized inventory list of these items.
(1) The caregiver, a “child,” and the authorized representative for the “child” shall inspect the itemized inventory list to ensure that all personal belongings of the “child” are being surrendered, and
(2) The caregiver shall request and retain a receipt that is signed and dated by the authorized representative for a “child,” the new caregiver, or a “child” if age and developmentally appropriate.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1520 and 1531, Health and Safety Code; and Sections 361.2(j)-(j)(2) and 11006.9, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87026 to section 89226, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87026 to section 89226, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89227. Application Review.
Note     •     History

(a) The licensing agency shall complete the following as part of the application review process:
(1) Conduct a site visit to the proposed foster family home to:
(A) Determine that all of the requirements of Article 3 of this chapter have been met.
(B) Conduct interviews as specified in Health and Safety Code section 1521.5.
(2) Make a determination that:
(A) The applicant has the ability to comply with the provisions of the Community Care Facilities Act and the regulations in this chapter as specified in Health and Safety Code section 1520.
(B) The home complies with the provisions of the Community Care Facilities Act and the regulations in this chapter.
(C) The applicant has secured a fire clearance from the State Fire Marshal, if required.
(b) If the applicant has not submitted all materials specified in Section 89218, Application for License, within 90 days of receipt of the application by the licensing agency, the licensing agency shall give written notice to the applicant that the application is incomplete.
(1) If the applicant does not complete the application within 30 days after such notice, the application shall be deemed withdrawn, provided that the licensing agency has not denied or taken action to deny the application.
(2) If the application has been deemed denied, the applicant shall file a new application as required by Section 89218, Application for License. 
(c) The licensing agency shall cease review of any application under the conditions specified in Health and Safety Code section 1520.3.
(1) (Reserved)
(2) The circumstances and conditions in which the licensing agency may continue to review a previously denied application shall include, but are not limited to, the following:
(A) A fire clearance previously denied, but now approved;
(B) A caregiver who did not meet the minimum qualifications, but now fulfills the qualifications; or
(C) A person with a criminal record, which was the basis for license denial, is no longer associated with the home.
(3) This review shall not constitute approval of the application.
(4) If cessation of review occurs, the application shall be returned to the applicant. It shall be the responsibility of the applicant to request resumption of review as specified in Health and Safety Code section 1520.3.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1520, 1520.3, 1521.5, 1521.6, 1523.1, 1525, 1526, 1531, 1550, 1558.1, 13131 and 13143, Health and Safety Code; and Section 16518, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87027 to section 89227, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87027 to section 89227, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89228. Capacity Determination.
Note     •     History

(a) The number of children for whom the home is licensed to provide care and supervision shall be established on the basis of the application review by the licensing agency.
(1) For licenses granted after January 1, 2010, this number shall not exceed six children, including a “child” and biological, adoptive, and guardianship children. 
(A) For existing homes in which the number of children exceeds six, including a “child,” biological, adoptive, and guardianship children, no new placements shall be accepted until the number of children in the home does not exceed six, unless authorized by the licensing agency.
(2) If it is determined that the home can meet the needs of all children in the home, the licensing agency may grant a waiver or exception for the home to provide care to more than six children.
(3) Provided that all the conditions of Health and Safety Code section 1505.2 and the conditions for homes with a capacity of more than six children specified in Section 89420, subsection (b) are met, the licensing agency may authorize a home to care for up to eight children to accommodate a sibling group. A sibling group includes, but is not limited to, biological, step-siblings, and half-siblings.
(b) When determining the capacity of the home, the licensing agency shall take into consideration the following:
(1) The caregiver's ability to comply with applicable laws and regulations.
(2) How many children, in addition to the children already living in the home, the caregiver is capable of providing care and supervision to and that the home can accommodate.
(3) Any other household members, including but not limited to, children under guardianship or conservatorship, who already live in the home and their individual needs.
(4) Homes which accept a minor parent and his or her child(ren) shall have such child(ren) included in the home's licensed capacity.
(5) Physical features of the home, including available living space, which are necessary in order to comply with regulations.
(c) The licensing agency may issue a license for fewer children than is requested when the licensing agency determines that the caregiver's responsibilities to other persons in the home, including persons under guardianship and conservatorship, would not allow the caregiver to provide the care and supervision required by these regulations.
(d) When the licensing agency issues a license for fewer children than requested by the applicant, the licensing agency shall notify the applicant in writing of the reasons for the limitation and of the applicant's right to appeal the decision as specified in Section 89240, Denial of a License.
(e) The licensing agency may decrease the existing licensed capacity of a foster family home, with the caregiver's agreement, when there is a change in any of the factors specified in subsection (b).
(1) If the caregiver does not agree to the decrease in capacity, the licensing agency shall have the authority to initiate revocation action as specified in Section 89242, Revocation or Suspension of a License.
(2) If the licensing agency initiates revocation action, the caregiver has the right to request an administrative hearing.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Section 361.2(j)(1)(A), Welfare and Institutions Code; and Sections 1501, 1501.1, 1502, 1505.2, 1507, 1520, 1526.75, 1531, 1531.2, 1533, 1534, 1538 and 1562, Health and Safety Code.
HISTORY

1. Renumbering of former section former section 87208 to section 89228, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section former section 87208 to section 89228, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section, including renumbering of former section 89228, subsection (d) to section 89410, subsection (d), and amendment of Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89229. Withdrawal of Application.
Note     •     History

(a) An applicant shall have the right to withdraw, in writing, an application.
(b) The Department must consent in writing to the withdrawal.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes 2001). Reference: Sections 1503, 1503.5, 1508, 1520, 1531, 1536.1, 1540, 1540.1, 1541, 1547 and 1553, Health and Safety Code.
HISTORY

1. Renumbering of former section 87029 to section 89229, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87029 to section 89229, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89231. Issuance of License.
Note     •     History

(a) The licensing agency shall issue a license to the applicant after an application has been completed, an in-home visit has been made pursuant to Section 89227, subsection (a)(1), and upon determination that all licensing requirements set forth in Article 3 of this chapter have been met.
(b) The license shall be issued for a specific capacity consistent with Section 89228, subsections (a) and (c). 
(c) The licensing agency shall notify the applicant in writing of such issuance.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1503, 1503.5, 1508, 1509, 1520, 1525, 1526 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87031 to section 89231(a)-(b) and (d)-(e) and renumbering of former section 87208(a) to section 89231(c), including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87031 to section 89231(a)-(b) and (d)-(e) and renumbering of former section 87208(a) to section 89231(c), including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section, including renumbering of former section 89231, subsection (b) to section 89218, subsection (d), and amendment of Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89234. Changes to License.
Note     •     History

(a) Whenever there is a change in conditions or limitations described on the current license, the caregiver shall submit a new application to the licensing agency with updated information as required in Section 89218, Application for License. 
(b) Changes which require a new application to be filed include:
(1) Any change in the home licensing category.
(2) Any change that affects the capacity of the home.
(3) A permanent change in any “child” in the home from ambulatory to nonambulatory status.
(c) A new application shall be submitted to the licensing agency within 30 days before or after there is a change in conditions that affect the license.
(d) The caregiver shall provide the licensing agency with reasonable notice prior to any change in the location of the home as specified in Section 89361, subsection (d).
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1520, 1525.25 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87034(a)-(a)(1) to section 89234, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87034(a)-(a)(1) to section 89234, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89235. Conditions for Forfeiture of a Foster Family Home License.
Note     •     History

(a) Conditions for forfeiture of a license are specified in Health and Safety Code section 1524.
(b) The caregiver abandons the home when:
(1) The caregiver informs the licensing agency that the caregiver no longer accepts responsibility for the home, or
(2) The licensing agency is unable to determine the caregiver's whereabouts after the licensing agency has:
(A) Requested information of the caregiver's whereabouts from an adult at the home if an adult can be contacted, and
(B) Made at least one phone call per day to the caregiver's last telephone number of record for five consecutive workdays with no response, and
(C) Sent a certified letter to the caregiver's last mailing address of record requesting that the caregiver contact the licensing agency with no response within seven calendar days.
(c) If the caregiver dies or abandons the home and a responsible adult with control of the property continues to operate the home, he or she shall file a new application and include evidence of the caregiver's death if applicable. The responsible adult shall be subject to Section 89206, Operation Without A License if a new license is not obtained.
NOTE

Authority cited: Sections 1524, 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1503, 1503.5, 1508, 1520, 1521.5, 1524 and 1531, Health and Safety Code. 
HISTORY

1. Renumbering of former section 87035 to section 89235, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87035 to section 89235, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89240. Denial of a License.
Note     •     History

(a) The licensing agency shall deny an application for a license if it is determined that the applicant is not in compliance with applicable laws and regulations.
(1) The licensing agency shall have the authority to deny an application for a license if the applicant has failed to pay any civil penalty for unlicensed operation assessed pursuant to Section 89255, Penalties for Unlicensed Homes, and in accordance with a final judgment issued by a court of competent jurisdiction, unless payment arrangements acceptable to the licensing agency have been made.
(2) The Department may deny any license as specified in Health and Safety Code section 1550.
(3) An application for a license shall not be denied solely on the basis that the applicant is a parent who has administered or will continue to administer corporal punishment that does not constitute child abuse as defined in Penal Code sections 11165.6, 273a, and 273d, or Health and Safety Code section 1531.5, subsection (c) to his or her own child(ren).
(b) If the application for a license is denied, the licensing agency shall mail the applicant a written notice of denial.
(1) The notification shall inform the applicant of the denial, set forth the reasons for the denial, and advise the applicant of the right to appeal.
(c) An applicant shall have the right to appeal the denial of the application pursuant to Health and Safety Code section 1526 and in accordance with Health and Safety Code section 1551.
(d) Proceedings to hear an appeal of a denial shall be conducted pursuant to Health and Safety Code section 1551(a).
(e) Notwithstanding any appeal action, the home that has been denied a license is unlicensed and shall not operate pending adoption of a decision on the denial action by the Director.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1520, 1520.3, 1522, 1522.1, 1522.2, 1525, 1526, 1531, 1531.5, 1547, 1550, 1551, and 1558.1, Health and Safety Code; Sections 273a, 273d, 11165, 11165.1, 11165.2, 11165.3, 11165.4 and 11165.6, Penal Code; and Sections 11500, et seq., Government Code.
HISTORY

1. Renumbering of former section 87040 to section 89240, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87040 to section 89240, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89242. Revocation or Suspension of License.
Note     •     History

(a) The Department shall have the authority to suspend or revoke any license on any of the grounds specified in Health and Safety Code section 1550.
(b) Proceedings to hear a revocation action or a revocation and temporary suspension action shall be conducted pursuant to the provisions of  Health and Safety Code section 1551.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1522, 1522.1, 1522.2, 1531, 1534, 1550 and 1551, Health and Safety Code; and Sections 11500, et seq., Government Code.
HISTORY

1. Renumbering of former section 87042 to section 89242, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87042 to section 89242, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89244. Inspection and Evaluation Authority of the Licensing Agency.
Note     •     History

(a) The licensing agency shall have the authority to inspect and evaluate the home as specified in Health and Safety Code sections 1533, 1534, and 1538.
(b) The licensing agency shall have the authority to interview any “child” in the home without prior consent.
(1) The caregiver shall make provisions for private interviews with any “child.”
(c) The licensing agency shall have the authority to inspect, audit, and copy records that pertain to a “child” or the home upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the requirements in Sections 89370, subsection (b) and 89566, subsection (d). 
(1) The caregiver shall make all records relating to the operation of the foster family home available for review. 
(d) The licensing agency shall have the authority to observe the physical condition of a “child,” including conditions which could indicate abuse, neglect, or inappropriate placement, and to have a licensed medical professional physically examine the “child.”
(e) The licensing agency shall have the authority to make additional visits to the home in order to determine compliance with applicable laws and regulations.
NOTE

Authority cited: Section 1530, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1530.5, 1531, 1533, 1534 and 1538, Health and Safety Code.
HISTORY

1. Renumbering of former section 87044 to section 89244, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87044 to section 89244, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section heading, section and Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
5. Amendment of section heading, section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89245. Evaluation Visits. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1530, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1507.5, 1530.5, 1531, 1533, 1534 and 1538, Health and Safety Code.
HISTORY

1. Renumbering of former section 87045 to section 89245, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87045 to section 89245, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
5. Repealer filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89246. Exclusions.
Note     •     History

(a) A person can be prohibited from being employed, allowed in, and having contact with a “child” licensed home as specified in Health and Safety Code section 1558.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1522, 1522.2, 1531, 1558 and 1558.1, Health and Safety Code; and Sections 11500 et seq., 11506 and 11522, Government Code. 
HISTORY

1. Renumbering of former section 87046 to section 89246, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87046 to section 89246, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89252. Deficiencies in Compliance.
Note     •     History

(a) When a licensing agency visits a home and determines that a deficiency exists, the licensing agency shall issue a notice of deficiency unless the deficiency is not serious and is corrected during the visit.
(b) Prior to completion of a visit, the caregiver or other person in charge of the home shall meet with the licensing agency to discuss any deficiencies noted, jointly develop a plan for correcting each deficiency, and acknowledge receipt of the notice of deficiency.
(c) The licensing agency shall provide a notice of deficiency to the caregiver by one of the following:
(1) Personal delivery to the caregiver at the completion of the visit.
(2) If the caregiver is not at the home, the notice shall be given to the person in charge at the completion of the visit, and mailed to the caregiver.
(3) If the caregiver refuses to accept the notice or the notice cannot be completed during the visit, the notice shall be mailed to the caregiver.
(d) The notice of deficiency shall be in writing and shall include the following:
(1) Citation of the statute or regulation which has been violated.
(2) A description of the nature of the deficiency that states the manner in which the caregiver failed to comply with a specified statute or regulation, and the particular place or area of the home in which it occurred.
(3) The plan developed, as specified in subsection (b), for correcting each deficiency.
(4) A date by which each deficiency shall be corrected.
(A) In determining the date for correcting a deficiency, the licensing agency shall consider the following factors:
1. The potential hazard presented by the deficiency.
2. The number of children affected.
3. The availability of equipment or personnel necessary to correct the deficiency.
4. The estimated time necessary for delivery, and for any installation, of necessary equipment.
(B) The date for correcting a deficiency shall not be more than 30 calendar days following service of the notice of deficiency, unless the licensing agency determines that the deficiency cannot be completely corrected in 30 calendar days.
(C) If the date for correcting the deficiency is more than 30 calendar days following service of the notice of deficiency, the notice shall specify corrective actions which must be taken within 30 calendar days to begin correction.
(D) The licensing agency shall have the authority to require correction of a deficiency within 24 hours or less if there is an immediate threat to the health or safety of children.
(5) The address and telephone number of the licensing office responsible for reviewing notices of deficiencies for the area in which the home is located.
(6) A follow-up visit shall be conducted to determine compliance with the plan of correction specified in the notice of deficiency.
(e) If the caregiver disagrees with a citation or civil penalty assessed by the licensing agency, the caregiver has the right to appeal.
(1) The caregiver shall begin their appeal with the Licensing Program Manager listed on the licensing report, or county first level manager, in writing within 10 days from the date the caregiver receives the report or penalty assessment notice.
(2) If the caregiver disagrees with the decision made by the Licensing Program Manager or county first level manager, the second level of appeal shall be made to the Regional Manager or county second level manager. The appeal shall be made in writing after the caregiver receives the written decision from the Licensing Program Manager or county first level manager.
(3) If the caregiver disagrees with the decision made by the Regional Manager or county second level manager, the third level of appeal shall be made to the Program Administrator or county third level manager. The appeal shall be made in writing after the caregiver receives the written decision from the Regional Manager or county second level manager.
(4) If the caregiver disagrees with the decision made by the Program Administrator or county third level manager, the fourth level of appeal shall be made to the Deputy Director, Community Care Licensing Division, California Department of Social Services. The appeal shall be made in writing after the caregiver receives the written decision from the Program Administrator or county third level manager.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; Section 17730, Welfare and Institutions Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1531, 1533, 1534, 1538 and 1553, Health and Safety Code; and Sections 17731 and 17732, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87052 to section 89252(a)-(d)(5) and renumbering of former section 87053 to section 89252(d)(6), including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87052 to section 89252(a)-(d)(5) and renumbering of former section 87053 to section 89252(d)(6), including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89254. Civil Penalties.
Note     •     History

(a) The licensing agency shall assess civil penalties for the following deficiencies:
(1) Not submitting an application for licensure required by Section 89218, Application for License, within 15 calendar days of being served a Notice of Operation in Violation of Law (LIC 195).
(2) Not obtaining the fingerprint clearances required for licensure by Health and Safety Code section 1522, subsection (b) as stated in Section 89219, Criminal Record Clearance. Civil penalties shall be assessed as specified in Health and Safety Code section 1522, subsection (c).
(b) Repeat penalties for repeating the same violation as set forth in Health and Safety Code section 1548, subsections (d) and (e) shall not apply. 
(c) Unless otherwise provided, all penalties are due and payable upon receipt of notice for payment, and shall be paid only by check or money order made payable to the agency indicated in the notice. 
NOTE

Authority cited: Sections 1522, 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1522, 1531, 1533, 1534, 1538 and 1548, Health and Safety Code. 
HISTORY

1. Renumbering of former section 87054 to section 89254, including amendment of Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87054 to section 89254, including amendment of Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section heading, section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89255. Penalties for Unlicensed Homes.
Note     •     History

(a) A penalty of $200 per day shall be assessed for the operation of an unlicensed home under either of the following conditions:
(1) The operator has not submitted a completed application for licensure within 15 calendar days of issuance of the Notice of Operation in Violation of Law (LIC 195) and continues to operate.
(A) For purposes of this section, an application shall be deemed completed if it includes the information required in Section 89218, Application for License.
(B) The completed application shall be deemed to be submitted when received by the licensing agency.
(2) Unlicensed operation continues after denial of the initial application.
(A) Notwithstanding any appeal action, home operation must cease within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first.
(b) The $200 per day penalty shall be assessed for the continued operation of an unlicensed home as follows:
(1) On the 16th calendar day after the operator has been issued the Notice of Operation in Violation of Law (LIC 195), and has not submitted a completed application as required.
(A) The $200 per day penalty shall continue until the operator ceases operation or submits a completed application pursuant to subsections 89255(a)(1)(A) and (B).
(2) Within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial or upon receipt of the denial notice by the operator, whichever occurs first.
(A) The $200 per day penalty shall continue until the operator ceases operation.
(c) If the unlicensed operator or his/her representative reports to the licensing agency that unlicensed operation, as defined in Health and Safety Code section 1503.5 has ceased, the penalty shall cease as of the day the licensing agency receives the notification.
(1) A site visit shall be made immediately or within five working days to verify that the unlicensed home operation has ceased.
(2) Notwithstanding (c) above, if the unlicensed home operation has not ceased, penalties shall continue to accrue without interruption from the date of initial penalty assessment.
(d) All penalties shall be due and payable upon receipt of the Notice for Payment from the licensing agency, and shall be paid by check or money order made payable to the agency indicated in the notice.
(e) The licensing agency shall have the authority to file a claim in a court of competent jurisdiction to take other appropriate action for failure to pay penalties as specified in (d) above.
(f) Payment of civil penalties or application for licensure in response to a citation under this section do not permit the operation of a foster family home without a license.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1503, 1503.5, 1508, 1520, 1531, 1533, 1534, 1538, 1540, 1540.1, 1541, 1547 and 1549, Health and Safety Code.
HISTORY

1. Renumbering of former section 87054 to section 89255, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87054 to section 89255, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section heading, section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89255.1. Denial or Revocation of License for Failure to Pay Civil Penalties.
Note     •     History

(a) The caregiver shall be responsible for paying civil penalties. 
(1) Unless otherwise provided, the transfer, surrender, forfeiture or revocation of a license shall not affect the caregiver's responsibility for paying any civil penalties that accrued while the license was in effect. 
(b) The Department shall have the authority to deny or revoke any license for failure to pay civil penalty assessments. 
(1) The Department shall have the authority to approve payment arrangements acceptable to the Department. 
(2) The Department shall have the authority to approve the form of payment. 
(3) The caregiver's failure to pay civil penalty assessments pursuant to a payment plan approved by the Department may result in the denial or revocation of any license, and/or any other appropriate action. 
(c) Any denial or revocation of the license for failure to pay civil penalties may be appealed as provided by Health and Safety Code section 1551. 
NOTE

Authority cited: Sections 1530 and 1548, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1531, 1534, 1548 and 1551, Health and Safety Code. 
HISTORY

1. Renumbering of former section 87055.1 to section 89255.1, including amendment of Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87055.1 to section 89255.1, including amendment of Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89256. Unlicensed Home Administrative Appeal.
Note     •     History

(a) An unlicensed home operator or his/her representative shall have the right to appeal the penalty assessment to the licensing agency within 10 working days after service of the penalty assessment.
(1) If unlicensed operation has not ceased, the $200 per day penalty shall continue to accrue during the appeal process.
(b) The appeal review shall be conducted by a higher level staff person at the licensing agency than the staff person at the licensing agency who issued the penalty.
(c) If the higher level staff person at the licensing agency who reviews the appeal determines that the penalty assessment was not issued in accordance with applicable statues and regulations of the Department, he or she shall have the authority to amend or dismiss the penalty assessment.
NOTE

Authority cited: Sections 1530, 1530.5 and 1547, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1503.5, 1508, 1531, 1536.1, 1540, 1541, 1541.1 and 1547, Health and Safety Code.
HISTORY

1. Renumbering of former section 87056 to section 89256, including amendment of Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87056 to section 89256, including amendment of Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section heading, section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89261. Reporting Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1530, 1530.5 and 1531, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1507, 1530.6, 1531, 1538, 1550.5 and 1557.5, Health and Safety Code.
HISTORY

1. Renumbering of former section 87061(b) to section 89261, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87061(b) to section 89261, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Repealer filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89286. Alterations to Existing Foster Family Homes.
Note     •     History

(a) The licensing agency shall have the authority to require that the caregiver have a building inspection by a local building inspector if the agency suspects that a hazard to health and safety exists.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87086 to section 89286, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87086 to section 89286, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
Article 3. Core Requirements for Caregivers, Relatives, and Nonrelative Extended Family Members
§89317. Nondiscrimination of Applicants.
Note     •     History

Any adult shall be permitted to apply for a license or approval regardless of age, sex, race, religion, color, political affiliation, national origin, disability, marital status, actual or perceived sexual orientation, gender identity, HIV status, or ancestry.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Section 51, Civil Code; Section 1520, Health and Safety Code; and Section 16013, Welfare and Institutions Code.
HISTORY

1. New article 3 (sections 89317-89388) and renumbering of former section 87017(a)-(c)(2)(C) to section 89317, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 89317-89388) and renumbering of former section 87017(a)-(c)(2)(C) to section 89317, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Change without regulatory effect amending subsection (a) and Note filed 12-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 50).
5. Repealer and new section heading, repealer of subsection (a) designator and subsections (b)-(c), amendment of first paragraph and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
6. Amendment of article heading and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89318. Applicant Qualifications.
Note     •     History

(a) An applicant shall have the knowledge, ability, and willingness to comply with the applicable laws and regulations and:
(1) Provide care and supervision appropriate to a “child,” including communicating with the “child,”
(2) Maintain or supervise the maintenance of all records that pertain to a “child” as specified in Section 89226, Safeguards for Cash Resources, Personal Property, and Valuables, and Section 89370, Children's Records,
(3) Direct the work of others in providing care when applicable,
(4) Apply the reasonable and prudent parent standard as specified in Welfare and Institutions Code sections 362.04, 362.05, 727, and Section 89377, Reasonable and Prudent Parent Standard,
(5) Promote a normal, healthy, balanced, and supported childhood experience and treat a “child” as part of the family, to the extent possible,
(6) Prepare a “child” for adulthood, and
(7) Attend training and professional development.
(b) An applicant for a foster family home license shall complete an orientation provided by the licensing or approval agency.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code. Reference: Sections 1501, 1501.1, 1507, 1507.2, 1507.5, 1520, 1525.3, 1529.1, 1529.2, 1531 and 1562, Health and Safety Code; and Sections 362.04, 362.05 and 727, Welfare and Institutions Code.
HISTORY

1. New section filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
2. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89319. Criminal Record Clearance Requirement.
Note     •     History

All persons subject to criminal record review shall obtain a criminal record clearance from the California Department of Social Services or county as appropriate. Such review will require submission of completed fingerprints pursuant to Health and Safety Code section 1522. The licensing or approval agency will also conduct a search of the Child Abuse Clearance Index and child abuse records. The licensing or approval agency may conduct an authorized search of the California Law Enforcement Telecommunications System (CLETS). 
NOTE

Authority cited: Sections 1530, 1530.5 and 1531, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1522 and 1522.1, Health and Safety Code. 
HISTORY

1. New section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89323. Emergency Procedures.
Note     •     History

(a) The caregiver shall post emergency telephone numbers in a prominent location.
(1) The caregiver shall discuss and practice emergency procedures with a “child” as age and developmentally appropriate at time of new placement and every six months. 
(2) The caregiver shall ensure that occasional short-term babysitters, as defined in Section 89201, subsection (o)(1), and alternative caregivers as defined in Section 89201, subsection (a)(3), know the location of the emergency numbers.
(A) The caregiver shall review the emergency procedures with the babysitter or alternative caregiver.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501 and 1531, Health and Safety Code; and Section 362.04, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section heading, section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89361. Reporting Requirements.
Note     •     History

(a) The caregiver shall report to the licensing or approval agency and the person or agency responsible for placing a “child” when any of the following events occur. This report shall be made by telephone, e-mail, or fax within 24 hours after the event occurs or within the agency's next business day.
(1) Death of any child.
(2) Any suspected child abuse or neglect, as defined in Penal Code section 11165.6.
(3) Any injury to or illness of a “child” that requires emergency medical treatment or hospitalization.
(4) Any unusual incident or absence of a “child” which threatens the physical or emotional health or safety of any child in the home.
(5) Communicable disease outbreak as reported to the caregiver by a health professional or by the local health authority. 
(6) Poisonings.
(7) Fires or explosions which occur in or on the premises.
(8) If the caregiver operates a family day care home as defined in Health and Safety Code section 1596.78.
(9) All changes in household composition including, but not limited to:
(A) An addition to the caregiver's family, including when the caregiver becomes guardian or conservator for any child or other person.
(B) Any adult moving in or out of the home.
(C) Except for a “child” under the jurisdiction of the court and placed by the county, anyone living in the home who reaches their 18th birthday.
(b) The caregiver shall submit a written report to the licensing or approval agency and the person or agency responsible for placing a “child” when any of the events specified in subsection (a)(1) through (9) occur and the initial report was made by phone or did not include all of the information required on the written report. This written report shall be submitted within 7 calendar days after the event occurs and include the following information:
(1) The name, age, sex, and date of admission of the “child.”
(2) Date and nature of the incident.
(3) Attending physician's name, findings, and treatment, if any.
(4) Current status of the incident.
(c) When there is a change in the caregiver's mailing address that does not also include a change in the location of the home, the caregiver shall notify the licensing or approval agency and the person or agency responsible for placing a “child,” by telephone, e-mail or fax within 10 working days following the change.
(d) When there is a change in the location of the home, the caregiver shall notify the licensing or approval agency and the person or agency responsible for placing a “child,” by telephone, e-mail or fax 30 days prior to the move or as soon as the information is available. 
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1507, 1507.2, 1507.5, 1530.6, 1531, 1557.5 and 1596.78, Health and Safety Code; Sections 11165.6, 11165.7, 11165.9 and 11166, Penal Code; and Section 361.2(j)(1)(A), Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87061(a) and 87061(b)(1)-(h)(2) to section 89361, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87061(a) and 87061(b)(1)-(h)(2) to section 89361, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89370. Children's Records.
Note     •     History

(a) For each “child” in the home, the caregiver shall maintain a separate, complete, and current record or file that includes the following:
(1) The name of the “child,” birth date, and date of placement in the home.
(2) If provided, a summary of the health and education information and records, including mental health information or records as described in Welfare and Institutions Code section 16010.
(A) The summary may be maintained in the form of a health and education passport as defined in Section 89201, subsection (h)(1), or a comparable format designed by the placing county.
(B) The caregiver shall be responsible for maintaining information and records provided by physicians and educators including, but not limited to, immunization records and any official grade or progress reports.
(3) Written authorization for the caregiver to obtain medical and dental care in an emergency if the person or agency responsible for placing a “child” cannot be reached. 
(4) If provided, a written plan identifying the specific needs and services of the “child.”
(5) If the written plan identifying the specific needs and services of the “child” is not provided at the time of placement, pre-placement information as specified in Section 89468, subsection (b). This information shall be kept on file regardless of whether the written plan is received at a later date.
(6) Itemized inventory list of cash resources, personal property, and valuables of a “child” as specified in Section 89226, subsections (a) and (d).
(b) All records for a “child” shall be available to the Department, licensing or approval agency to inspect, audit, and copy upon demand during business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) The Department, licensing or approval agency representatives shall not remove any current emergency or health-related records for a “child” unless the same information is readily available in another document or format. 
(2) Prior to removing any records, the Department, licensing or approval agency representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the caregiver. 
(3) The Department, licensing or approval agency representatives shall return the records to the home undamaged and in good order within three business days following the date the records were removed. 
(c) All information and records regarding a “child” shall be confidential except as otherwise authorized by law. 
NOTE

Authority cited: Section 1530, Health and Safety Code; Section 16001.9, Welfare and Institutions Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1531 and 1557.5, Health and Safety Code; and Sections 361.2(j)(1)(A) and 16010, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of subsection (c), new subsections (c)(1)-(3) and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
5. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89372. Personal Rights.
Note     •     History

(a) The caregiver shall ensure that each “child” is accorded the personal rights specified in Welfare and Institutions Code section 16001.9. In addition, the caregiver shall ensure that each “child” is accorded the following personal rights:
(1) To be free from corporal or unusual punishment, infliction of pain, humiliation, intimidation, ridicule, coercion, threat, mental abuse, or other actions of a punitive nature including but not limited to interference with the daily living functions of eating, sleeping, or toileting, or withholding of shelter, clothing, or aids to physical functioning. 
(2) To be provided with and allowed to possess and use adequate personal items, which includes their own:
(A) Clothes, provided the clothes are age-appropriate as defined in Section 89201, subsection (a)(2), do not violate school standards when worn during school activities, and are in accordance with the gender identity of the “child.”
(B) Toiletries and personal hygiene products, including enclosed razors used for shaving, as age and developmentally appropriate.
(C) Belongings, including items that were a gift to the “child.”
(3) Provided the rights of others are not infringed upon, to have visitors that include:
(A) Relatives, unless prohibited by court order. 
(B) The authorized representative for the “child.”
(C) Other visitors, unless prohibited by court order or by the authorized representative for the “child.” 
(4) To be informed and to have his or her authorized representative informed, by the caregiver of the provisions of law regarding complaints, including the address and telephone number of the licensing agency and about the confidentiality of complaints. 
(5) To make and receive confidential telephone calls, and send and receive unopened mail and electronic communication, unless prohibited by court order. 
(A) Reasonable restrictions may be imposed by the caregiver, social worker, or probation officer on calls and correspondence. 
(B) Other reasonable restrictions may be imposed. The caregiver may: 
1. Request reimbursement for the cost of long distance calls made by the “child” from the “child” or his or her authorized representative,
2. Deny the making of long distance calls by the “child” upon verification that previous long distance calls have not been paid,
3. Ensure that telephone use does not infringe upon the rights of others, nor tie up the phone during emergencies, and
4. Restrict the telephone use of the “child” as reasonable discipline except as provided in (D) below, and shall be subject to social worker or probation officer review. 
5. Restrict Internet usage when appropriate.
(C) No restrictions shall be applied to telephone calls, mail, and electronic communication with relatives, including brothers and sisters, unless prohibited by court order.
(D) No restrictions shall be applied to telephone calls, mail, and electronic communication with social workers, authorized representatives, attorneys, foster youth advocates and supporters, Court Appointed Special Advocates (CASA), and probation officers. 
(6) To have access to letter writing material. 
(7) To be accorded the independence appropriate to the age, maturity, and capability of the “child” consistent with the written plan identifying the specific needs and services of the “child” or the Transitional Independent Living Plan (TILP) of the “child,” if applicable. 
(8) Not to be restrained or placed in any restraining device other than as specified in Section 89475.2, Postural Supports and Protective Devices. 
(9) To be accorded dignity in their personal relationships with other persons in the home. 
(A) To be free from unreasonable searches of person. 
(10) To have private or personal information including, but not limited to, any medical condition or treatment, psychiatric diagnosis or treatment, history of abuse, school reports reflecting poor performance or behavior, and information relating to the biological family of the “child,” maintained in confidence.
(A) The caregiver shall disclose information about the “child” to the biological family, Juvenile Court, the minor's social worker, placement worker, probation officer, physician, psychiatrist, CASA, attorney, authorized representative, and licensing or approval agency, unless such disclosure is prohibited by court order.
(B) As needed to ensure appropriate care, supervision, or education of the “child,” the caregiver shall disclose information to respite care providers, occasional short-term babysitters, alternative caregivers, school officials, and other persons, unless such disclosure is prohibited by court order.
(b) In ensuring the rights of a “child,” the caregiver is not required to take any action that would impair the health and safety of a “child” or household members.
(1) Caregivers are not prohibited from locking exterior doors and windows or from establishing house rules for the protection of a “child” or household members so long as a “child” can exit the home.
(c) At the time of placement, the caregiver shall ensure a “child” is verbally notified, in an age and developmentally appropriate manner, of the rights specified in this section and provided with a written copy of these rights and information regarding agencies a “child” may contact concerning violations of these rights and other complaints.
NOTE

Authority cited: Sections 1530, 1530.5 and 1531, Health and Safety Code; Section 16001.9, Welfare and Institutions Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: California Constitution, Article 1, Section 13; Sections 1501, 1501.1, 1520, 1530.91 and 1531, Health and Safety Code; Sections 361.2(j)-(j)(2), 369.5, 727(a)(3), 827 and 16001.9, Welfare and Institutions Code; Section 51, Civil Code; and Section 12921, Government Code.
HISTORY

1. New section, including renumbering and amendment of former section 87072(a)(7)-(a)(7)(C) and (a)(7)(E)(G) to section 89372(c)(19)-(c)(19)(F), filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New section, including renumbering and amendment of former section 87072(a)(7)-(a)(7)(C) and (a)(7)(E)(G) to section 89372(c)(19)-(c)(19)(F), refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order, including new subsection (c)(3), subsection renumbering and amendment of Note, transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Change without regulatory effect amending subsection (b) filed 7-1-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 27).
5. Amendment of subsections (c)(3), (c)(6), (c)(10), (c)(18) and (c)(18)(E), new subsection (c)(25) and amendment of Note filed 1-17-2007; operative 2-16-2007 (Register 2007, No. 3).
6. Amendment of section, including renumbering of portions of section 89372 to section 89475.2, and amendment of Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89373. Telephones.
Note     •     History

Telephone service shall be readily accessible in the home at all times, unless alternative telephone access is approved and documented by the licensing or approval agency using a Documented Alternative Plan (LIC 974) as defined in Section 89201, subsection (d)(5).
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1520 and 1531, Health and Safety Code; and Section 361.2(j)(1)(A), Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87073 to section 89373, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87073 to section 89373, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89374. Transportation.
Note     •     History

(a) The caregiver shall ensure that persons who transport a “child” use vehicles that are in safe operating condition.
(1) The caregiver and his/her staff are prohibited from smoking, or permitting any person from smoking a pipe, cigar or cigarette containing tobacco or any other plant in a motor vehicle when minor children are present. This prohibition applies when the motor vehicle is moving or at rest.
(b) The caregiver shall not allow a “child” to be transported by a person the caregiver knows or reasonably should know does not have a valid California or other state driver's license.
(c) Unless other arrangements are specified in the written plan identifying the specific needs and services of a “child” or included in the written placement agreement between the caregiver and the placing agency, the caregiver shall ensure transportation is provided for the following situations:
(1) Medical appointments,
(2) School, and
(3) Extracurricular, enrichment and social activities, provided the transportation to these activities is reasonable.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1531 and 118948, Health and Safety Code; and Section 362.05, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment designating first paragraph as subsection (a), new subsection (a)(1) and amendment of Note filed 2-4-2010; operative 3-6-2010 (Register 2010, No. 6).
5. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89376. Food Service.
Note     •     History

(a) The caregiver shall provide or ensure at least three nutritious meals per day, have between-meal snacks available, provide food as necessary, and meet any special dietary needs documented in the written plan identifying the specific needs and services of the “child,” unless the physician of a “child” advises otherwise.
(1) The quantity and quality of food available to household members shall be equally available to a “child.”
(b) A “child” shall be invited to participate in all household meals.
(c) An infant who is unable to hold a bottle shall be held during bottle-feeding. At no time shall a bottle be propped for an infant. A bottle given to an infant able to hold his or her own bottle shall be unbreakable.
(d) The caregiver may encourage a “child,” as age and developmentally appropriate, to learn meal preparation, but shall not require a “child” to prepare meals.
(1) A “child” may use kitchen knives and appliances to learn meal preparation.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1530 and 1531, Health and Safety Code; and Sections 361.2(j)-(j)(2) and 362.05, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89377. Reasonable and Prudent Parent Standard.
Note     •     History

(a) The caregiver shall be responsible for applying the Reasonable and Prudent Parent Standard as defined in Welfare and Institutions Code section 362.04 and specified in sections 362.05 and 727.
(b) Application of the reasonable and prudent parent standard shall not result in the denial of the rights of a “child” as specified in Welfare and Institutions Code section 16001.9, or contradict court orders or the written plan identifying the specific needs and services of the “child.”
(c) In applying the reasonable and prudent parent standard, the caregiver shall consider:
(1) The age, maturity, and developmental level of a “child,”
(2) The nature and inherent risks of harm, and
(3) The best interest of a “child” based on information known by the caregiver.
(d) If the foster family home has dual licensure as a family child care home, the caregiver shall not use the reasonable and prudent parent standard as specified in subsections (a) through (c) to make decisions for children in the family day care.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Section 1531, Health and Safety Code; and Sections 362.04, 362.05 and 727, Welfare and Institutions Code.
HISTORY

1. New section filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89378. Responsibility for Providing Care and Supervision.
Note     •     History

(a) The caregiver shall provide care and supervision as necessary to meet the needs of a “child.” At a minimum, the caregiver shall provide those services as specified in the written plan identifying the specific needs and services of the “child,” placement agreement, and Transitional Independent Living Plan (TILP) if applicable.
(1) The caregiver may arrange for other care and supervision as follows:
(A) Occasional Short-term Babysitter.
1. If the caregiver anticipates being absent from the home for no more than 24 hours at a time, on an occasional basis, the caregiver is permitted to arrange for an occasional short-term babysitter to provide care and supervision to a “child.”
2. The caregiver shall apply the reasonable and prudent parent standard specified in Welfare and Institutions Code section 362.04 and Section 89377, Reasonable and Prudent Parent Standard, in determining and selecting appropriate babysitters for occasional short-term use.
3. An occasional short-term babysitter may be under 18 years of age, but shall have the maturity, experience, and ability necessary to provide adequate care and supervision to a “child.”
a. A “child” may act as an occasional short-term babysitter, however the caregiver shall apply the reasonable and prudent parent standard as specified in Section 89377, Reasonable and Prudent Parent Standard, to determine whether that is appropriate. Under no circumstances shall a “child” be required to babysit.
4. When a “child” is in the care of an occasional short-term babysitter, the caregiver shall ensure that the babysitter knows how to contact the caregiver in case of an emergency.
(B) Alternative Caregiver.
1. If the caregiver anticipates being absent from the home for longer than 24 hours, on an occasional basis, the caregiver is permitted to arrange for an alternative caregiver to provide care and supervision to a “child” unless prohibited by the social worker, probation officer, court order, or the licensing or approval agency.
2. The caregiver shall apply the reasonable and prudent parent standard specified in Welfare and Institutions Code section 362.04 and Section 89377, Reasonable and Prudent Parent Standard, in determining and selecting appropriate alternative caregivers.
a. At a minimum, the alternative caregiver shall meet the following requirements:
i. Is 18 years of age or older.
ii. Have a criminal record clearance and a child abuse central index clearance as specified in Welfare and Institutions Code section 1522 and Section 89319, Criminal Record Clearance Requirement.
iii. Have the willingness and ability to and shall comply with applicable statutes and regulations.
iv. Have the willingness and ability to provide care and supervision to a “child”, taking into consideration the age, maturity, behavioral tendencies, mental and physical health, medications abilities and limitations, developmental level of, and court orders for a “child.”
3. The care and supervision during the caregiver's absence shall occur in the caregiver's home.
4. The caregiver shall provide the alternative caregiver with the following information before leaving the home:
a. Information about the emotional, behavioral, medical or physical conditions of a “child,” if any.
b. Any medication that should be administered to a “child” during the time the “child” is being supervised by the alternative caregiver, consistent with physician's instructions, when available.
c. The name and telephone number of the social worker for a “child” and the caregiver's emergency contact information.
5. The caregiver shall provide verbal or written notification to the social worker or probation officer for a “child” prior to the caregiver's absence from the home. Notification shall include:
a. The dates the caregiver plans to be absent from the home.
b. The name of the alternative caregiver.
c. An emergency number where the caregiver may be reached in their absence.
6. The caregiver shall receive prior approval from the social worker or probation officer for a “child” for any absence that exceeds 72 hours.
(C) Respite Care.
1. The caregiver may use respite care as defined in Welfare and Institutions Code section 16501, subsection (b) and Division 31 Manual of Policies and Procedures Section 31-002, subsection (r).
a. Respite care shall not exceed 72 hours per session as specified in Welfare and Institutions Code section 16501, subsection (b) and Division 31 Manual of Policies and Procedures Section 31-002, subsection (r).
2. Respite care shall be provided by a licensed, approved or certified caregiver.
(D) Leaving a “child” alone without adult supervision.
1. If the caregiver anticipates being absent from the home on an occasional basis, the caregiver is permitted to leave a “child” alone without adult supervision, but shall not leave a “child” unsupervised overnight.
2. The caregiver shall apply the reasonable and prudent parent standard as set forth in Section 89377, Reasonable and Prudent Parent Standard, to determine the appropriateness of leaving a “child” alone without adult supervision.
a. Before leaving a “child” alone, the caregiver shall ensure the following:
i. A “child” knows where the emergency numbers are posted.
ii. A “child” knows emergency procedures.
iii. A “child” knows where and how to contact the caregiver.
(E) Licensed child care facility as defined in Health and Safety Code section 1596.750. 
(F) The participation of a “child” in extracurricular, enrichment, and social activities, as specified in Welfare and Institutions Code section 362.05, provided the caregiver has applied the reasonable and prudent parent standard as set forth in Welfare and Institutions Code section 362.04 and Section 89377, Reasonable and Prudent Parent Standard.
(b) If the caregiver chooses to leave a “child” in a parked vehicle, consistent with the requirements of Vehicle Code section 15620, the caregiver shall apply the reasonable and prudent parent standard as specified in Section 89377, Reasonable and Prudent Parent Standard, to determine the appropriateness of leaving any “child” in a parked vehicle.
(1) If the foster family home has dual licensure as a family child care home, the caregiver shall not leave a day care child alone in a vehicle as specified in Title 22, California Code of Regulations Division 12, Section 102417, subsection (k).
(c) The caregiver is responsible for ensuring care and supervision of the child(ren) of any minor parent placed in the home.
(1) Direct care and supervision of the child(ren) of a minor parent is to be provided during the hours that the minor parent is unavailable or unable to provide such care and supervision.
(2) If the home is a Whole Family Foster Home as defined in Welfare and Institutions Code section 11400, subsection (t), the caregiver shall work with the minor parent and a representative from the county child welfare agency or probation department to develop a shared responsibility plan as set forth in Welfare and Institutions Code sections 11465, subsection (d)(3) and 16501.25, subsection (b).
(d) Unless restricted by the case plan adopted by the court or other court order, the caregiver shall permit and facilitate connections between a “child” and a child's family and non-relative extended family members. Nothing in this section shall be interpreted to require a caregiver to take any action that would impair the health and safety of a “child.”
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1507.25, 1522, 1530.6, 1531, 1559.110 and 1596.750, Health and Safety Code; USC Section 677 of the Social Security Act; Sections 362.04, 362.05, 366.1, 366.21, 11400(t), 11465, 16001.9, 16002.5, 16501(b) and 16501.25, Welfare and Institutions Code; and Section 15620, Vehicle Code.
HISTORY

1. Renumbering of former section 87078 to section 89378, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87078 to section 89378, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. New subsection (d) and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
5. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89379. Activities.
Note     •     History

(a) A “child” shall be entitled to participate in age and developmentally appropriate extracurricular, enrichment, and social activities.
(b) The caregiver shall promote participation by a “child” in extracurricular, enrichment, and social activities as specified in Welfare and Institutions Code sections 362.05 and 727 and apply the reasonable and prudent parent standard as specified in Section 89377, Reasonable and Prudent Parent Standard.
(c) For a “child” age 16 or older, the caregiver shall allow access to existing information regarding available vocational and postsecondary educational options as specified in Welfare and Institutions Code section 16001.9, subsection (a)(24) and emancipation programs. The information may include, but is not limited to, any of the following:
(1) Admission criteria for universities, community colleges, trade or vocational schools and financial aid information for these schools.
(2) Informational brochures on postsecondary or vocational schools/programs.
(3) Campus tours.
(4) Internet research on postsecondary or vocational schools/programs, sources of financial aid, independent living skills program offerings, and other local resources to assist youth.
(5) School-sponsored events promoting postsecondary or vocational schools or programs.
(6) Financial aid information, including information about federal, state and school-specific aid, state and school-specific scholarships, grants and loans, as well as aid available specifically to a current or former  “child” and contact information for the Student Aid Commission.
(7) Requirements for participation in Transitional Housing Program (THP)-Plus.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1530.6, 1531 and 1559.110(c)-(e), Health and Safety Code; and Sections 362.04, 362.05, 727, 11403.2(a)(2), 16001.9, 16522(b) and 16522(d), Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87079 to section 89379, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87079 to section 89379, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. New subsections (c)-(c)(6) and amendment of Note filed 1-17-2007; operative 2-16-2007 (Register 2007, No. 3).
5. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89387. Buildings and Grounds.
Note     •     History

(a) The caregiver shall provide bedrooms in the home which shall meet, at a minimum, the following requirements unless a Documented Alternative Plan (LIC 973) is approved:
(1) No more than two children shall share a bedroom.
(2) Children of the opposite sex shall not share a bedroom unless each child is under five years of age.
(A) A minor parent may share a bedroom with the minor parent's child of the opposite sex.
(B) Nothing in this section shall preclude a caregiver from requesting a Documented Alternative Plan (LIC 973) permitting a “child” to be in a bedroom based on their gender identity.
(3) Except for infants, children shall not share a bedroom with an adult.
(A) In bedrooms shared by an adult and infant, no more than two infants and two adults shall share the room.
(B) A “child” who turns 18 and meets the requirements specified in Section 89201, subsection (c)(7)(A) or (B) is not considered an adult for purposes of this section and may continue to share a bedroom with another “child.”
(4) No room commonly used for other purposes shall be used as a bedroom.
(A) Such rooms shall include but not be limited to halls, stairways, unfinished attics or basements, garages, storage areas and sheds or similar detached buildings.
(5) No bedroom shall be used as a public or general passageway to another room.
(6) Each bedroom shall have at least one operable window or door that ensures safe, direct, emergency exit to the outside. If security window bars are used, the window is considered operable only if the window bars have a safety release device that meets all state and local requirements. If the caregiver's home is in a high rise building, the caregiver is subject to the rules and regulations set forth by the State Fire Marshal.
(7) The caregiver shall provide each “child” with an individual bed which is equipped with a clean, comfortable mattress, clean linens, blankets, and pillows, as needed, all in good repair.
(A) Linen shall be changed at least once per week or more often when necessary to ensure that clean linen is in use by a “child” at all times.
(B) Beds shall be arranged to allow easy passage between beds and easy entrance into the room.
(8) Bunk beds of more than two tiers shall not be used.
(A) Bunk beds shall have railings on both sides of the upper tier to prevent falling.
(B) A “child” under six years of age or who is unable to climb into or out of the upper tier unassisted shall not be permitted to use the upper tier.
(9) The caregiver shall provide each infant with a safe and sturdy bassinet or crib, appropriate to the age and size of a “child.” The following shall apply to cribs:
(A) Tiered or stacked cribs shall not be permitted.
(B) Crib slats shall not pose the danger of an infant being trapped.
(C) Crib mattresses shall be clean, comfortable and fit properly in the crib.
(D) Linen shall be changed at least once per week or more often when necessary to ensure that clean linen is in use by infants at all times.
(E) An infant who can climb out of a crib shall be provided with an age-appropriate bed.
(10) Each bedroom shall have portable or permanent closets and drawer space to accommodate the child's clothing and personal belongings.
(11) Subsections (a)(1) through (a)(10) apply to all bedrooms used by all children residing in the home, including children who are members of the caregiver's family, guardianship children, children of a minor parent, and children in care.
(12) Subsections (a)(4) and (a)(5) apply to all bedrooms used by the caregiver and all other adults residing in the home.
(b) The home shall be clean, safe, sanitary, and in good repair at all times.
(1) The licensee shall take measures to keep the home reasonably free of flies and other insects.
(c) All outdoor and indoor passageways, stairways, inclines, ramps, and open porches shall be kept free of obstruction.
(d) A caregiver who accepts a “child” under 10 years of age or a “child” who is developmentally, mentally, or physically disabled shall ensure that swimming pools, fixed-in-place wading pools, hot tubs, spas, or similar bodies of water are inaccessible.
(1) The caregiver shall use the reasonable and prudent parent standard as defined in Welfare and Institutions Code section 362.04, subsection (a)(2) and as specified in Section 89377, Reasonable and Prudent Parent Standard, when deciding whether a “child” should have access to fish ponds, fountains, creeks, and similar bodies of water.
(2) Inaccessibility shall be assured by using at least one of the following safety features in subsections (A) or (B) below:
(A) The pool shall be isolated from access to the home by an enclosure, as defined in Health and Safety Code section 115921, subsection (c) and as specified in section 115923 and does not obscure the pool from view. 
1. If removable mesh pool fencing is used as the enclosure as provided in Health and Safety Code section 115922, subsection (a)(2), the caregiver shall ensure that it is installed and maintained according to the manufacturer's specifications.
(B) The pool shall be equipped with an approved safety pool cover as defined in Health and Safety Code section 115921, subsection (d). A pool safety net that meets the American Society for Testing and Materials standards is considered an approved safety pool cover. Pool covers shall be supported by flotation devices.
1. If a foster family home has dual licensure as a family child care home, a pool safety net shall not be permitted.
(C) When the licensing or approval agency determines that it is not possible for the caregiver to comply with subsections (A) or (B) above, the home shall be equipped with exit alarms, as defined in Health and Safety Code section 115921, subsection (e), on doors or windows that provide direct access to the pool. 
1. All windows in rooms that provide direct access from the home to the pool or body of water shall be secured so that they cannot open more than 4 inches. 
(D) The caregiver may use other means of protection, if the degree of protection afforded is equal to or greater than that afforded by any of the devices set forth in subsections (A) to (C). The other means of protection must be approved in writing by the licensing or approval agency. 
1. If licensed or approved prior to June 1, 1995, homes with existing pool fencing shall be exempt from the fence requirements specified in subsection (d)(1)(A) until such fence is replaced or structurally altered. When the caregiver replaces or alters the fence, it shall be required to meet the fence requirements specified in subsection (d)(1)(A).
(e) If the home has an above-ground pool, the pool shall be made inaccessible when not in use by removing or making the ladder inaccessible and if the pool is less than 60 inches in height, by the use of a barricade. Any barricade, whether or not it includes the above-ground pool structure itself, shall meet the requirements of subsection (d)(1)(A). 
(f) All pools that cannot be emptied after each use shall have an operative pump and filtering system.
(g) An adult who has the ability to swim shall provide supervision at all times when “a child” is using a pool or a body of water from which rescue requires the rescuer's ability to swim.
(h) If the caregiver provides a yard or outdoor activity space, it shall be free from hazards that endanger the health and safety of a “child.”
(i) The caregiver who accepts a “child” with a disability shall make necessary specific provisions including, but not limited to, changes to the buildings and grounds as required to protect and assist a “child” and to maximize the potential of a “child” for self-help.
(j) The caregiver shall maintain at least one toilet, sink, and tub or shower in safe, clean operating condition.
(1) If age and developmentally appropriate, individual privacy shall be provided to a “child” in all toilet, bath, and shower areas.
(2) Bathrooms shall be located inside the home.
(k) The caregiver shall maintain a safe and comfortable temperature for a “child” in the home at all times.
(l) The caregiver shall ensure the safety of a “child” in a home that has fireplaces, open-faced heaters, or woodstoves.
(m) The caregiver shall provide lighting as necessary in all rooms and other areas to ensure comfort and safety in the home.
(n) Faucets used by a “child” for personal care and grooming shall deliver hot water at a safe temperature.
(o) Waste shall be stored, located, and disposed of in a manner that will not permit the transmission of communicable disease or odors, create a nuisance, provide a breeding place or food source for insects or rodents.
(p) Except a home with a sprinkler system, a home shall have an approved, commercially manufactured, and functioning smoke detector installed in the hallway(s) in each sleeping area in the home. The smoke detectors shall be audible in each bedroom or sleeping room.
NOTE

Authority cited: Sections 1530, 1530.5 and 115926, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1531, 1531.4, 115921, 115922(a) and 115923, Health and Safety Code; Sections 361.2(j)-(j)(1)(B), 361.2(j)(2), 362.04, 11403, 16001.9 and 17710, Welfare and Institutions Code; and Commercial Practices, 16 C.F.R. Section 1513.6.
HISTORY

1. Renumbering of portions of former sections 87064, 87087 and 87088 to section 89379, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of portions of former sections 87064, 87087 and 87088 to section 89379, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order, including further amendments, transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Change without regulatory effect amending subsection (d)(1)(C) filed 7-1-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 27).
5. Amendment of section, including renumbering and amendment of former section 89387.1 to subsection (h), and amendment of Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89387.1. Outdoor Activity Space. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1530, 1530.5 and 1531, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87087.2 to section 89387.1, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87087.2 to section 89387.1, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Renumbering of former section 89387.1 to section 89837, subsection (h) filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89387.2. Storage Space.
Note     •     History

(a) Except as specified in subsections (b)(1) through (3), medicines, disinfectants, cleaning solutions, poisons, firearms, and other dangerous items shall be stored where inaccessible to a “child.”
(1) Storage areas for poisons, firearms, and other dangerous weapons shall be locked.
(2) In lieu of locked storage of firearms, the caregiver may use trigger locks or remove the firing pin.
(A) Firing pins shall be stored and locked separately from firearms.
(3) Ammunition shall be stored and locked separately from firearms.
(b) The caregiver shall apply the reasonable and prudent parent standard, as specified in Section 89377, Reasonable and Prudent Parent Standard, in determining if it is age and developmentally appropriate for a “child” to have access to and use items specified in subsections (b)(1) through (3).
(1) Household kitchen knives and appliances do not need to be locked or inaccessible to a “child” who is of sufficient age and maturity to use such items.
(2) Medications shall be stored where inaccessible to a “child,” except as specified in Section 89475.1, Emergency Medical Assistance, Injections, and Self-Administration of Medications.
(3) Disinfectants and cleaning solutions shall be stored where inaccessible to a “child,” except as follows:
(A) Before allowing a “child” to have access to or use disinfectants and cleaning solutions, the caregiver shall ensure that a “child” knows how to safely handle and use these products.
(c) In allowing a “child” to have access to and use items specified in subsections (b)(1) through (3), the caregiver shall ensure that the safety of a “child” and others in the home is maintained.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501 and 1531, Health and Safety Code; Sections 361.2(j)-(j)(2) and 16001.9, Welfare and Institutions Code; and 42 USC Section 677 of the Social Security Act.
HISTORY

1. Renumbering of former section 87087.4 to section 89387.2, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87087.4 to section 89387.2, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89388. Cooperation and Compliance.
Note     •     History

(a) The caregiver shall maintain and comply with all caregiver standards.
(b) No caregiver shall make or disseminate any false or misleading statement associated with the application for licensure or approval, including, but not limited to, information regarding the applicant, family members, family home, persons who provide, or may provide, care or supervision to a “child,” or any of the services provided by the caregiver. 
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1520 and 1531, Health and Safety Code; and Section 361.2(j)(1)(A), Welfare and Institutions Code. 
HISTORY

1. New section, including renumbering and amendment of former section 87012(a) to section 89388(b), filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New section, including renumbering and amendment of former section 87012(a) to section 89388(b), refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
Article 4. Placement
§89400. Licensure Is Not an Entitlement to Placement.
Note     •     History

(a) A license is required before placement, but the license does not entitle the caregiver to placement of a “child” pursuant to Welfare and Institutions Code section 16507.5, subsection (b).
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1 and 1531, Health and Safety Code; and Section 16507.5, Welfare and Institutions Code. 
HISTORY

1. New article 4 (sections 89400-89475) and section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 89400-89475) and section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89405. Training Requirements.
Note     •     History

(a) The caregiver is required to complete training as specified in Health and Safety Code section 1529.2, subsection (b).
(1) The following courses, seminars, conferences, or training accepted by the licensing agency to meet the training requirements in Health and Safety Code section 1529.2, subsections (b)(3) and (4) include, but are not limited to:
(A) Child development,
(B) Recognizing and assisting a “child” with learning disabilities,
(C) Infant care and stimulation,
(D) Parenting skills,
(E) Complexities, demands and special needs of children in the home,
(F) Building self-esteem of a “child,”
(G) Recordkeeping,
(H) Caregiver rights, responsibilities, and grievance process,
(I) Licensing and placement regulations, and
(J) Existing laws and procedures regarding the safety of foster youth at school as specified in the California Student Safety and Violence Prevention Act of 2000. 
(b) In addition to the training specified in subsection (a), the caregiver shall complete current training in first aid and Cardiopulmonary Resuscitation (CPR). 
(1) Training shall be obtained from an agency offering such training including, but not limited to, the American Red Cross, the American Heart Association, a training program approved by the State Emergency Medical Services Authority (EMSA), or a course offered by an accredited college or university.
(2) The caregiver shall maintain copies of unexpired first aid and CPR certificates. These certificates shall be appropriate to the age and needs of a “child.”
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and  Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1506, 1506.7, 1529.1, 1529.2, 1531 and 1562, Health and Safety Code; Section 16001.9, Welfare and Institutions Code; and Article 3.6 (commencing with Section 32228) of Chapter 2 of Part 19 of Division 1 of Title 1 of the Education Code. 
HISTORY

1. New section filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order, including amendment of section,  transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(J) and amendment of Note filed 7-9-2008; operative 8-8-2008 (Register 2008, No. 28).
5. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
6. Amendment of subsections (a)(1)(H)-(I), new subsection (h)(1)(J) and amendment of Note filed 9-3-2010; operative 10-3-2010 (Register 2010, No. 36).
§89410. Limitations on Capacity and Ambulatory Status.
Note     •     History

(a) The caregiver shall not operate a home beyond the conditions and limitations specified in the license, including the capacity determination, as specified in Section 89228, Capacity Determination.
(b) The caregiver shall not accept more than two infants, including infants in the caregiver's family, without additional help.
(c) Unless the licensing agency approves an increase before placement, a social worker or placing agency does not have the authority to place more children in a home than the capacity stated on the home's license or waiver.
(d) The caregiver shall not allow a “child” who is nonambulatory to be placed in or remain in any room approved to accommodate only children who are ambulatory.
(1) The licensing agency may require a “child” who is accommodated in an ambulatory room to demonstrate that they are ambulatory.
(e) The licensing agency may limit care to specific children.
(1) If care is limited to specific children, the licensing agency shall specify the names of the children in a letter to the caregiver.
(2) Except where the limitation is requested by the caregiver, the caregiver shall be notified in writing of the reasons for such limitation and of the caregiver's right to appeal the decision as specified in Section 89240, subsections (c) and (d).
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1507.5 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87010 to section 89410, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87010 to section 89410, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section, including renumbering of former section 89228, subsection (d) to section 89410, subsection (e), and amendment of Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
5. Editorial correction removing duplicative subsections (e)-(e)(1) (Register 2010, No. 12).
§89420. Fire Clearance.
Note     •     History

(a) Before accepting a “child”who is non-ambulatory, or deciding to continue to provide services to a “child” determined after placement to be non-ambulatory, the caregiver shall notify the licensing agency so that a fire clearance, approved by the local fire authority having jurisdiction, can be obtained. 
(1) This requirement shall not apply to placement of infants.
(b) A caregiver who is licensed for a capacity of more than six children who are ambulatory or requests an increase in capacity to more than six children who are ambulatory shall obtain an appropriate fire clearance.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1507.2, 1531, 13113, 13131, 13143 and 13143.6, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former section 87020 to section 89420(a) and renumbering and amendment of former section 87072(a)(7)(D) to section 89420(b) filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering and amendment of former section 87020 to section 89420(a) and renumbering and amendment of former section 87072(a)(7)(D) to section 89420(b) refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89421. Water Supply Clearance.
Note     •     History

(a) Any home where water for human consumption is from a private source shall meet the following requirements: 
(1) Before the caregiver accepts the first placement, the caregiver shall provide evidence of an on-site inspection of the source of water and a bacteriological analysis which establishes the safety of the water, conducted by the local health department, the State Department of Public Health, or a licensed commercial laboratory. 
(2) After the caregiver accepts the first placement, the caregiver shall be required to provide additional analyses of the source of water only when the licensing agency documents the need for an analysis to assure the health and safety of children. 
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1 and 1531, Health and Safety Code. 
HISTORY

1. Renumbering of former section 87021 to section 89421, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87021 to section 89421, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89465. Caregiver Requirements.
Note     •     History

(a) The licensing agency shall have the authority to require any caregiver to provide additional help whenever the agency determines that additional help is required to provide necessary services to children.
(1) The following factors shall be used in determining the need for additional help:
(A) Needs of the particular children,
(B) Extent of the services provided by the home,
(C) Physical arrangements of the particular home, and
(D) Any change in the considerations listed in Section 89231, subsection (b).
(2) The licensing agency shall specify in writing the reasons for its determination.
(b) The caregiver and additional help shall be in good physical and mental health and able to comply with this chapter.
(1) Good health shall be verified by a health screening, including a test for tuberculosis not more than one year old, and performed by or under the supervision of a physician.
(2) The report, signed by the person performing the health screening, shall indicate the following:
(A) The presence of any health condition that would create a hazard to the caregiver or children.
(c) Physician reports from general practitioners or specialists may be required after licensure if the licensing agency has reason to believe that the physical or mental health of the caregiver or additional help is not adequate to carry out responsibilities specified in this chapter.
(1) The licensing agency shall provide the caregiver with a written explanation of the need for any additional report.
(2) The licensing agency shall specify in writing what written information is required from the caregiver.
(d) All adults regularly present in the home shall submit their test results for tuberculosis performed no more than one year before placement of the first child in the home.
(e) Occasional short-term babysitters and alternative caregivers as specified in Section 89378, Responsibility for Providing Care and Supervision, are exempt from the requirements of this section.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1507, 1507.2 and 1531, Health and Safety Code; and Sections 361.2(j)-(j)(1)(B) and 362.04(e), Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87065 to section 89465 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87065 to section 89465 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order, including amendment of subsection (d), transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89468. Admission Procedures.
Note     •     History

(a) At the time of placement for each “child,” the caregiver shall request the Health and Education Passport for a “child” and a written plan identifying the specific needs and services of the “child” from the placement worker if they are not immediately provided.
(b) If the caregiver does not receive the Health and Education Passport for a “child” and the written plan identifying the specific needs and services of the “child” at the time of placement, the caregiver shall ask the placement social worker the name and age of the “child” and, at a minimum, all of the following Pre-Placement Questionnaire questions:
(1) Does the “child” have any allergies? (i.e. any medications, peanuts, strawberries, dogs, cats, etc.)
(2) Does the “child” have a history of infections or contagious diseases?
(3) Is the “child” taking any prescription medications?
(4) Does the “child” have physical limitations?
(A) Is any special care needed?
(5) Does the “child” have any medical conditions I should know about? (i.e. diabetes, epilepsy, etc.)
(6) Does the “child” have any mental health conditions I should know about? (i.e. schizophrenia, bi-polar disorder, etc.)
(7) Does the “child” have a history of suicide attempts?
(8) Does the “child” have any behavioral problems? (i.e. drug abuse, running away, or starting fires, etc.)
(9) Does the “child” have a history of physical or sexual abuse?
(10) Does the “child” act out sexually?
(c) The caregiver may use the Pre-Placement Questionnaire, (LIC 9225), or any other written format developed by the caregiver, to obtain the information.
(d) The caregiver shall use the pre-placement information to determine if the caregiver can meet the needs of a “child.”
(1) If the caregiver believes that they cannot meet the needs of a “child,” the caregiver shall request that a “child” not be placed in the home.
(e) When the written plan identifying the specific needs and services of the “child” and Health and Education Passport for a “child” are received, the caregiver shall review the information and determine: 
(1) The caregiver's ability to meet the individual needs of a “child.” 
(2) The caregiver's ability to continue meeting the needs of other children and the caregiver's family. 
(f) If the caregiver determines after review of the written plan identifying the specific needs and services of the “child” and the Health and Education Passport for a “child” that the home cannot meet the service needs of a “child,” the caregiver shall:
(1) Inform the person or agency responsible for placing a “child.”
(2) Request that a “child” be placed elsewhere.
(g) The caregiver shall keep a current copy of the written plan identifying the specific needs and services of the “child,” Transitional Independent Living Plan (TILP), and the Health and Education Passport for a “child” and comply with the requirements set forth in these documents.
(h) The caregiver shall provide an orientation of the personal rights specified in Section 89372, Personal Rights to every “child,” in an age and developmentally appropriate manner, and to his or her authorized representative, as specified in Health and Safety Code section 1530.91.
(1) In addition to the requirements of subsection (h), when the home is licensed to provide care for six or more children, the caregiver shall also post a list of the personal rights (PUB 396, Foster Youth Rights). The list of personal rights shall be posted in an area of the home that is accessible to a “child” and his or her authorized representative.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1507, 1507.2, 1520, 1530.6, 1530.91, 1531 and 1557.5, Health and Safety Code; and Section 361.2(j)(1)(A), Welfare and Institutions Code.
HISTORY

1. Renumbering of former sections 87068.1 and 87068.2, including amendment of section and Note, to section 89468 filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former sections 87068.1 and 87068.2, including amendment of section and Note, to section 89468 refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order, including new subsections (f) and (f)(1) and amendment of Note, transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89469. Children's Medical Assessments.
Note     •     History

(a) Within 30 days of accepting a “child,” the caregiver shall obtain a recent written medical assessment.  
(1) A recent medical assessment shall not be more than a year old, and
(2) A medical assessment for a “child” shall include the results of an examination for communicable tuberculosis (TB) and other contagious or infectious diseases.
(b) The licensing agency may require the caregiver to obtain a current written medical assessment for a “child,” if such an assessment is necessary to verify the appropriateness of a home for a “child.”
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1507, 1507.2, 1507.5, 1520, 1530.6, 1531 and 1557.5, Health and Safety Code.
HISTORY

1. Renumbering of former section 87069 to section 89469, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87069 to section 89469, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89475. Health Related Services.
Note     •     History

(a) Family health care, as defined in Section 89201, shall be administered by the caregiver to a “child” as outlined in writing by the appropriate medical professional. 
(1) The caregiver shall ask the medical professional to provide adequate and practical written instructions. 
(b) The caregiver shall maintain first aid supplies appropriate to the needs of a “child.” 
(c) When a “child” has a health condition that requires medication, the caregiver shall comply with the following: 
(1) Assist a “child” with self-administration as needed.
(A) If the physician of a “child” gives permission as specified in Section 89475.1, subsection (f), the “child” may self-administer medication or injections.
(2) Ensure that instructions are followed as outlined by the appropriate medical professional. 
(3) Medication shall be stored in the original container with the original unaltered label. 
(4) Prescription medication must be administered to a “child” as directed on the label or as directed in writing by the physician. 
(5) Non-prescription medication must be administered to a “child” as directed on the label or as directed by the appropriate medical professional. 
(6) The administration of prescription PRN medication to a “child” shall require caregiver documentation of the date, time, and dose of medication administered. 
(7) If a “child” can not determine his or her own need for medication, the caregiver shall determine the need of a “child” in accordance with medical instructions. 
(d) Under no circumstances shall a “child” be required to take psychotropic medication without a court order as specified in Section 89475.1, subsection (g).
(e) The caregiver shall provide emergency medical assistance and injections to a “child” as specified in Section 89475.1, Emergency Medical Assistance, Injections, and Self-Administration of Medications.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 1501, 1501.1, 1507, 1507.2, 1507.25, 1507.5, 1530.6 and 1531, Health and Safety Code; Sections 361.2(j)-(j)(1)(C), 369.5 and 739.5, Welfare and Institutions Code; and Section 2727(a), Business and Professions Code. 
HISTORY

1. Renumbering of portions of former section 87075 to section 89475, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of portions of former section 87075 to section 89475, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89475.1. Emergency Medical Assistance, Injections, and Self-Administration of Medications.
Note     •     History

(a) A caregiver shall ensure that persons who provide emergency medical assistance and injections to a “child” are trained as specified in Health and Safety Code section 1507.25.
(b) Emergency medical assistance and injections for severe diabetic hypoglycemia and anaphylactic shock may be provided to a “child” as specified in Health and Safety Code section 1507.25.
(c) Subcutaneous injections of other medications, including insulin, as prescribed by the physician of a “child,” may be provided as specified in Health and Safety Code section 1507.25.
(d) The caregiver shall ensure the date, time and dose of all injections administered to a “child,” including injections self-administered by a “child,” are documented by the person giving the injection as specified in Health and Safety Code section 1507.25.
(e) The caregiver shall ensure the date, time and results of glucose testing and monitoring are documented by the person assisting with the testing as specified in Health and Safety Code section 1507.25.
(f) Unless prohibited by court order, a “child” may self-administer medication or injections if the physician of a “child” gives permission. The caregiver shall ensure that a “child” knows how to:
(1) Self-administer their medication and injections,
(2) Document when they self-administer their medication and injections, and
(3) Properly store the medication so that it is not accessible to other children.
(g) Psychotropic medication shall only be given if the Juvenile court has approved a medication request by a physician, as provided in Welfare and Institutions Code sections 369.5, subsection (a) and 739.5, subsection (a).
(h) The caregiver shall maintain all documentation of injections and glucose testing and monitoring specified in subsections (d) and (e) in the current record or file for a “child.”
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Section 1507.25, Health and Safety Code; and Sections 369.5 and 739.5, Welfare and Institutions Code.
HISTORY

1. New section filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89475.2. Postural Supports and Protective Devices.
Note     •     History

(a) Except for postural supports and protective devices as provided in this section, the caregiver shall not restrain or use any restraining devices on a “child.”
(1) Postural supports for a “child” shall be limited to appliances or devices used to achieve proper body position and balance, to improve mobility and independent functioning, or to prevent injury.
(A) Postural supports may include braces, spring release trays, or soft ties. Physician-prescribed orthopedic devices such as braces or casts used for support of a weakened body part or correction of body parts are also considered postural supports.
(B) Approved postural supports shall be fastened or tied in a manner which permits quick release by a “child.”
(C) Under no circumstances shall postural supports include tying, depriving, or limiting a “child” from use of hands or feet.
(2) Protective devices are used to protect a “child” from self-injurious behavior and to provide assistance with, but not prohibit, mobility. They are not considered restraining devices for the purpose of this section. 
(A) Protective devices may include physician-prescribed or recommended helmets, elbow guards, mittens, and a bed rail that extends half the length of the bed. Bed rails that extend the entire length of the bed are prohibited.
(b) The caregiver shall contact the licensing or approval agency when a “child” needs postural supports or protective devices.
(1) Before the caregiver accepts placement of a “child” who requires postural supports or protective devices, the caregiver shall seek approval from the licensing or approval agency.
(2) If a “child” develops a condition that requires a “child” to use postural supports or protective devices after placement in the home, the caregiver shall ask the licensing or approval agency if the home can still operate under the current license or approval.
(c) All caregiver requests to use postural supports or protective devices shall be in writing to the licensing or approval agency and include a written order from a physician indicating the need for such supports or devices. 
(1) In order to evaluate the request, the licensing or approval agency shall be authorized to require additional documentation including, but not limited to, the Individual Program Plan (IPP) as specified in Welfare and Institutions Code section 4646, and the written consent of the person or agency responsible for placing a “child.”
(d) The licensing or approval agency may grant conditional or limited approvals to use postural supports or protective devices.
NOTE

Authority cited: Sections 1530 and 1530.5, Health and Safety Code; and Section 16001.9, Welfare and Institutions Code. Reference: Sections 1501, 1501.1 and 1531, Health and Safety Code; Sections 361.2(j)(1)(A), 4646 and 16001.9, Welfare and Institutions Code; and Unruh Civil Rights Act, Civil Code Section 51.
HISTORY

1. Renumbering and amendment of portions of former section 89372 to new section 89475.2 filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
Article 5. Special Health Care Needs
§89510.1. Limitations on Capacity for Specialized Foster Family Homes.
Note     •     History

(a) No more than two children with or without special health care needs shall reside even on a temporary basis in a specialized foster family home with the following exceptions.
(b) A specialized foster family home shall not care for more than two children with or without special health care needs as provided in Welfare and Institutions Code section 17732.
(1) A specialized foster family home may accept a third “child” with or without special health care needs provided that the licensed capacity, as determined by the licensing agency under Section 89228, Capacity Determination, is not exceeded, and all of the following conditions are met:
(A) The county social worker, regional center caseworker, or person or agency responsible for placing a third “child” determines that:
1. The county or the regional center service area in which the specialized foster family home is physically located has no other:
a. Specialized foster family home, nonspecialized foster family home, small family home, or certified family home available to care for a “child” with or  without special health care needs.
(B) The county social worker, regional center caseworker, or person or agency responsible for placing each “child” determines that the specialized foster family home can meet their psychological and social needs.
1. New determinations are required each time there is an increase or turnover in children and the two-“child” capacity limit is exceeded.
(C) The individualized health care plan team for each “child with special health care needs” in the specialized foster family home determines that placement of a third “child” will not jeopardize their health and safety.
1. New determinations are required each time there is an increase or turnover in children and the two-“child” capacity limit is exceeded.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 361.2(j)(1)(A), 17710, 17731, 17732 and 17736(b), Welfare and Institutions Code; and Sections 1502(a), 1507, 1507.2, 1507.5, 1530.6 and 1531, Health and Safety Code.
HISTORY

1. New article 5 (sections 89510.1-89587.1) and renumbering of former section 87010.1 to section 89510.1, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 89510.1-89587.1) and renumbering of former section 87010.1 to section 89510.1, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89510.2. Prohibition of Dual Licensure for Specialized Foster Family Homes.
Note     •     History

(a) A caregiver licensed to operate a specialized foster family home  shall not hold any day care, other residential, or health care home license for the same premises as the specialized foster family home.
(1) A caregiver who plans to care for a “child with special health care needs” and holds any license as specified in (a) above shall surrender the license prior to accepting a “child with special health care needs.”
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Section 17732, Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87010.2 to section 89510.1, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87010.2 to section 89510.1, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89565.1. Caregiver Requirements for Specialized Foster Family Homes.
Note     •     History

(a) The caregiver and any other person who provides specialized in-home health care to a “child with special health care needs” as specified in Welfare and Institutions Code section 17731, subsections (c)(3) and (5) shall comply with applicable regulations in Section 89465, Caregiver Requirements and the requirements of this section.
(b) Before caring for a “child with special health care needs” or when a child's needs change, the caregiver and any other person, as specified in subsection (a), who provides care to a “child with special health care needs” shall complete training provided by a health care professional as required by a child's individualized health care plan, except when:
(1) The caregiver and any other person who provides care to a “child with special health care needs” is a licensed health care professional, and
(2) A child's individualized health care plan team determines that completion of specialized in-home health care training is unnecessary based on the medical qualifications and expertise of the caregiver and any other person who provides care to a “child with special health care needs.”
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 362.04 and 17731, Welfare and Institutions Code; and Sections 1531 and 1562, Health and Safety Code.
HISTORY

1. Renumbering of former section 87065.1 to section 89565.1, including amendment of section heading, section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87065.1 to section 89565.1, including amendment of section heading, section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89566. Additional Records for Specialized Foster Family Homes.
Note     •     History

(a) The caregiver shall ensure that the records for the caregiver and any other person as specified in Section 89565.1, Caregiver Requirements for Specialized Foster Family Homes, who provides care to a “child with special health care needs,” contain the following:
(1) The caregiver shall have documentation verifying completion of training specified in Section 89565.1, subsection (b), or 
(2) Documentation that the caregiver or any other person who provides care to a “child with special health care needs” is exempt from training as specified in Section 89565.1, subsections (b)(1) and (2). Documentation shall include:
(A) A copy of a valid license or certificate including that the caregiver or any other person who provides care to a “child with special health care needs” is a licensed health care professional, and
(B) A written statement that the individualized health care plan team for a “child” has been notified and has determined that the specialized in-home health care training specified in Section 89565.1, subsection (b) is unnecessary. This documentation shall be provided by a member designated by the team.
(b) If the caregiver decides to have additional help to care for a “child with special health care needs,” the following information shall be obtained from all additional help and kept in the records for the specialized home:
(1) Full name.
(2) Copy of the Driver's License of any person who will transport a “child.”
(3) Date the person started providing additional help in the home. 
(4) Home address and phone number.
(5) Past related experience and where this experience was obtained.
(6) Duties.
(7) Date the person last worked, if no longer working in the home.
(c) The caregiver shall keep records of health screenings and tests for tuberculosis required by Section 89465, subsection (b)(1) on file.
(d) The caregiver shall maintain all records at the home and shall make them available to the licensing agency to inspect, audit, and copy upon demand during normal business hours. The licensing agency may remove records from the home if necessary for copying. Removal of records by the licensing agency shall be subject to the following requirements: 
(1) Licensing representatives shall not remove any current emergency or health-related information for current caregivers unless the same information is readily available in another document or format. 
(2) Prior to removing any children's records from a home, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the caregiver. 
(3) Licensing representatives shall return the children's records to the caregiver undamaged and in good order within three business days following the date the records were removed. 
(e) The caregiver shall retain all records that pertain to persons who provide additional help for at least three years after they no longer work in the home.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Section 17731, Welfare and Institutions Code; and Sections 1501, 1501.1, 1507, 1507.2, 1530.5 and 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87066 to section 89566, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87066 to section 89566, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of subsection (d), new subsections (d)(1)-(3) and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
5. Amendment of section heading and section filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89569.1. Individualized Health Care Plans for Specialized Foster Family Homes.
Note     •     History

(a) The caregiver shall not accept a “child with special health care needs” unless the caregiver has obtained an individualized health care plan for the “child.” The caregiver shall maintain a copy of the individualized health care plan for a “child,” which shall include the following information:
(1) The name, address, and phone number of the health care professional responsible for monitoring ongoing health care for a “child.”
(2) The appropriate number of hours of on-site and off-site supervision and monitoring that needs to be provided by the health care professional responsible for monitoring ongoing health care for a “child.”
(3) Documentation by the individualized health care plan team for a “child” that identifies the specialized in-home care to be administered by a health care professional or responsible adult trained by a health care professional.
(4) Arrangements for in-home health support services if required.
(5) Specific responsibilities of the caregiver for providing of specialized in-home health care, including any required training or additional training.
(6) Identification of any available and funded medical services that are to be provided to a “child” in the specialized foster family home which may include, but is not limited to, assistance from health care professionals.
(7) Identification of any psychological, emotional, behavioral, or medical problems that are identified in the written plan identifying the specific needs and services of the “child,” the Pre-Placement Questionnaire as specified in Section 89468, Admission Procedures, or the medical assessment specified in Section 89469, Children's Medical Assessments.
(b) The individualized health care plan for each “child with special health care needs” shall be updated at least every six months or sooner if the needs of a “child” change.
(1) The caregiver shall maintain a copy of the updated individualized health care plan for each “child” as specified in Section 89370, Children's Records.
(c) The hospital discharge plan may be adopted by the individualized health care plan team as the individualized health care plan for a “child.”
(d) The individualized health care plan for a “child” may be combined with the written plan identifying the specific needs and services of the “child,” the Pre-Placement Questionnaire as specified in Section 89468, Admission Procedures, or the individual program plan from the regional center for a “child” provided that all the information required by each plan is included.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Section 1531, Health and Safety Code; and Sections 361.2(j)(1)(A), 17710, 17731, 17731(c) and 17732(a), Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87069 to section 89569.1, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87069 to section 89569.1, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89570.1. Additional Children's Records for Specialized Foster Family Homes. [Repealed]
Note     •     History

NOTE

Authority cited: Section 17730, Welfare and Institutions Code; Section 1530, 1530.5 and 1531, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 17710, 17731 and 17732(a), Welfare and Institutions Code; and Section 1531, Health and Safety Code.
HISTORY

1. Renumbering of former section 87070.1 to section 89570.1, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87070.1 to section 89570.1, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Repealer filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89572.2. Personal Rights for Children with Special Health Care Needs.
Note     •     History

(a) A “child with special health care needs” is afforded all of the personal rights specified in Section 89372, Personal Rights. Additionally, the following personal rights shall be afforded:
(1) A “child with special health care needs” has the right to be free of the administration of medication or chemical substances except as specifically provided in the individualized health care plan for a “child.”
(2) A “child with special health care needs” has the right to be free from any restraining or postural support device except as required to treat the specific medical symptoms of a “child” and addressed or outlined in the individualized health care plan for the “child.”
(A) Physical restraining devices may be used for the protection of a “child with special health care needs” during treatment and diagnostic procedures. The restraining device, which shall not have a locking device, shall be applied for no longer than the time required to complete the treatment and shall be applied in conformance with the individualized health care plan for a “child.” The individualized health care plan for a “child” shall include all of the following:
1. The specific medical symptom(s) that require use of the restraining device.
2. An evaluation of less restrictive therapeutic interventions and the reason(s) for ruling out these other practices.
3. A written order by the physician for a “child.” The order must specify the duration and circumstances under which the restraining device is to be used.
(B) Postural supports, as specified in Section 89475.2, subsections (a)(1)(A) through (C), and protective devices as specified in Section 89475.2, subsection (a)(2)(A), may be used if prescribed in the individualized health care plan for a “child.” The method of application shall be specified in the individualized health care plan for a “child” and approved in writing by the physician for a “child.”
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; Section 1530, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Sections 361.2(j)(1)(A), 16001.9, 17730 and 17736, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87072.2 to section 89572.2, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87072.2 to section 89572.2, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order, including further amendments, transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Change without regulatory effect amending subsection (a)(1) filed 7-1-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 27).
5. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
§89587.1. Additional Buildings and Grounds Requirements for Specialized Foster Family Homes.
Note     •     History

(a) Areas in the home that include, but are not limited to, bedrooms, bathrooms, toilets, dining areas, passageways, and recreational spaces used by a “child with special health care needs” shall be large enough to accommodate any medical equipment that a “child” needs.
(1) A bedroom that is occupied by a “child with special health care needs” shall be large enough to allow storage of each child's personal items and any required medical equipment or assistive devices, including wheelchairs, adjacent to a child's bed.
(A) The bedroom shall be large enough to permit unobstructed bedside assistance with medical procedures and medications.
(b) Notwithstanding Section 89387, subsection (a)(1), a bedroom used by a “child with special health care needs” shall not be shared with another child who resides in the home if a child's need for medical services or a child's medical condition would be incompatible with each child's use and enjoyment of the bedroom.
(c) When required by the individualized health care plan for a “child,” the caregiver(s) or other adult caring for a “child” shall sleep in a bedroom adjacent or in close proximity to the child's room or use a monitoring device to alert the caregiver.
NOTE

Authority cited: Section 17730, Welfare and Institutions Code; Sections 1530 and 1530.5, Health and Safety Code; and Section 21 of Assembly Bill (AB) 1695 (Chapter 653, Statutes of 2001). Reference: Section 1531, Health and Safety Code; and Sections 361.2(j)-(j)(1)(C) and 17732, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 87078.1 to section 89587.1, including amendment of section and Note, filed 6-26-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 87087.1 to section 89587.1, including amendment of section and Note, refiled 10-28-2002 as an emergency; operative 10-29-2002 (Register 2002, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-28-2002 order transmitted to OAL 2-25-2003 and filed 4-9-2003 (Register 2003, No. 15).
4. Amendment of section and Note filed 3-4-2010; operative 4-3-2010 (Register 2010, No. 10).
Chapter 10. Regulations Regarding Supervision of Life Care Contracts [Repealed]
HISTORY

1. Repeal of chapter 10, sections 89501-89945 filed 12-19-91 pursuant to section 100, subdivision (b)(2), title 1, California Code of Regulations; operative 1-1-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 9). For prior history of sections 89949-89950, see Register 88, No. 42.
Division 7. Health Planning and Facility Construction

(Originally Printed 10-9-76)
Chapter 1. Health Planning and Resources Development
Article 1. Definitions
§90001. Addition. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437, 437.2, 437.5, 437.6, 437.7, 437.8, 437.9, 437.10, 437.11, 437.12, 437.13, 438, 438.1, 438.2, 438.3, 438.4, 438.5, 438.6, 438.8, 438.9, 438.10, 438.11, 438.12, 438.13, 1250.1 and 1268, Health and Safety Code, and Sections 11500 et seq., Government Code. Reference: Chapter 854, Statutes of 1976.
HISTORY

1. New Division 7, Chapter 1 (Sections 90001-90605, not consecutive) filed 10-5-76 as an emergency; effective upon filing (Register 76, No. 41).
2. Repealer and new Division 7, Chapter 1 (Sections 90001-90905, not consecutive) filed 11-9-76 as an emergency; effective upon filing (Register 76, No. 46).
3. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90002. Applicant. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90003. Application. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90005. Adjacent. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90007. Area Agency.
Note     •     History

“Area agency” means an area health planning agency designated by the Council.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 437.6, 437.7, 437.8, 437.15, 438.2, 438.3, 438.4, 438.5, 438.8, 439.5 and 439.6, Health and Safety Code.
HISTORY

1. New NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90009. Area Plan.
Note     •     History

“Area Plan” means an area agency's plan found to be in conformance by the Council.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.7, Health and Safety Code.
HISTORY

1. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90009.5. Capital Expenditure Threshold. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.10 and 438.6, Health and Safety Code. Reference: Sections 437.10 and 438.6, Health and Safety Code.
HISTORY

1. New section filed 4-10-78; effective thirtieth day thereafter (Register 78, No. 15).
2. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90010. Cardiovascular Surgery Service. [Repealed]
History

HISTORY

1. New section filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90011. Certified Cost Estimate.
Note     •     History

“Certified cost estimate” means an estimate of the total cost of a project certified by a qualified individual as specified in the applicable Office form.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 437.10 and 437.11, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(3) filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90013. Certificate of Exemption. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90015. Certificate of Need. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90017. Community Need.
Note     •     History

“Community Need” means the facility health resources required to serve a given service area as set forth in the Statewide Health Facilities and Services Plan.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 437.7 and 437.8, Health and Safety Code.
HISTORY

1. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90019. Commencement of Construction. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90021. Comparable Arrangement. [Repealed]
Note     •     History

NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.10, Health and Safety Code.
HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90023. Consumer.
Note     •     History

“Consumer” means a person who is not a provider as defined in Section 90051.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 437, 437.7, 438.10 and 439.7, Health and Safety Code.
HISTORY

1. New NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90025. Council. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90027. Days.
Note     •     History

“Days” means calendar days unless otherwise specified.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 438.2 and 438.5, Health and Safety Code.
HISTORY

1. New NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90029. Department. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437, 437.2, 437.5-437.13, 438, 438.1-438.6, 438.8-438.13, 1250.1, 1268 and 1275, Health and Safety Code; Section 11500 et seq., Government Code. Reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
3. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90031. Director. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437, 437.2, 437.5-437.13, 438, 438.1-438.6, 438.8-438.13, 1250.1, 1268 and 1275, Health and Safety Code; Sections 11500 et seq., Government Code. Reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
3. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90032. Division.
Note     •     History

“Division” means that division within the Office of Statewide Health Planning and Development which has responsibility for reviewing applications for certificates of need.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 438.5, Health and Safety Code.
HISTORY

1. New section filed 5-17-83; designated effective 4-22-83 pursuant to Government Code Section 11349.3 (Register 83, No. 21).
2. Amendment of NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
3. Amendment filed 2-28-85; effective thirtieth day thereafter (Register 85, No. 9).
§90033. Effective Date. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90035. Facility.
Note     •     History

“Facility” means either a health facility or a specialty clinic.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 437.6, 437.8, 437.10, 437.12, 437.13 and 438, Health and Safety Code.
HISTORY

1. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90037. Facility Health Resources. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90038. Functionally Related.
Note     •     History

“Functionally related” means operationally interdependent or normally used together in the performance of a single procedure.
NOTE

Authority cited: Sections 437.6 and 446.2, Health and Safety Code. Reference: Sections 437.10 and 437.13, Health and Safety Code.
HISTORY

1. New section filed 3-1-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90039. Health Facility.
Note     •     History

“Health facility” means a facility described in Health and Safety Code Section 1250, or a psychiatric health facility, as described in Health and Safety Code Section 1275.1, or a chemical dependency recovery hospital, as described in Health and Safety Code Section 1250.3.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 437.6, 437.8, 437.10, 437.12 and 437.13, Health and Safety Code.
HISTORY

1. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90041. Health Planning Area. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90043. Health Systems Agency. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90044. Immediately Adjacent. [Repealed]
Note     •     History

NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.13, Health and Safety Code.
HISTORY

1. New section filed 3-1-78; effective thirtieth day thereafter (Register 78, No. 9).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
3. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
§90045. Local Area. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90046. Local Agency. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90047. Modernization. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90049. Person.
Note     •     History

“Person” includes a natural person, firm, business, trust, partnership, association, corporation, organization, or public entity.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 19 and 438.9, Health and Safety Code.
HISTORY

1. New NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90051. Provider.
Note     •     History

(a) “Provider” includes but shall not be limited to the following types of individuals who:
(1) Are engaged in the provision of health care to individuals, in the administration of health facilities, or in the administration of related health organizations. Such individuals shall, when required by law, be licensed in California or certified by the appropriate national professional association or have received professional education or training in preparation for licensure or certification.
(2) Hold a fiduciary position with or has fiduciary interest in one of the following:
(A) Health facilities or related health organizations engaged in the provision of health care.
(B) Educational institutions engaged in health related research and education.
(C) Manufacturer or producer, including related associations and organizations, of drugs or health related articles.
(3) Receive directly or through a spouse more than 10 percent of their gross annual income from any one or combination of the following:
(A) Fees or other compensations received from an educational institution for performing research or instruction related to the provision of health care.
(B) Health facilities, related health organizations engaged in the provisions of health care and education institutions engaged in health related research and education.
(C) Manufacturers or producers, including related associations and organizations, of drugs or health related articles.
(4) Are engaged in issuing any health insurance policy or contract for individuals, group medical service benefits, health facilities or related health organizations.
(5) Are members of the immediate family of an individual defined as a provider.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 437, 437.7 and 439.7, Health and Safety Code.
HISTORY

1. New NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90052. Replacement. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.6 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 437.10 and 437.13, Health and Safety Code.
HISTORY

1. New section filed 5-17-83; designated effective 4-22-83 pursuant to Government Code Section 11349.3 (Register 83, No. 21).
2. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
§90053. Service Area. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90057. Services. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90058. Specialty Clinic. [Repealed]
Note     •     History

NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 437.6 and 437.10, Health and Safety Code.
HISTORY

1. New section filed 5-17-83; designated effective 4-22-83 pursuant to Government Code Section 11349.3 (Register 83, No. 21).
2. Amendment of NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
3. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
§90059. Statewide Health Facilities and Services Plan. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90060. Undertake.
Note     •     History

(a) “Undertake” means any of the following:
(1) Remodeling, installing, operating, continuing, acquiring, any combination of the aforementioned, or otherwise proceeding with a project or any part of a project.
(2) The obligation of an expenditure, an expenditure, or commitment of funds for a project which shall include but not be limited to:
(A) Construction of the project.
(B) Equipment orders, purchases, leases or acquisition through other comparable arrangements or donation.
(C) Provision of services through contract, lease or comparable arrangement.
(D) Development of preliminary plans and outline specifications anticipated to cost more than the capital expenditure threshold.
(E) Obtaining financing for a specified project where the financing is not contingent upon certificate of need or certificate of exemption approval.
(F) Executing contracts for the project which are not contingent upon certificate of need or certificate of exemption approval.
(b) The expenditure or commitment of funds to develop applications, studies, reports, schematics, long range planning or preliminary plans and outline specifications anticipated to cost not more than the capital expenditure threshold shall not be considered to be the undertaking of a project.
NOTE

Authority cited: Section 437.6, Health and Safety Code; Reference: Section 438.6, Health and Safety Code.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment of subsection (a)(2) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Amendment of subsections (a)(2)(D) and (b) filed 4-10-78; effective thirtieth day thereafter (Register 78, No. 15).
5. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90061. Voluntary Area Health Planning Agency. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code 11346.2(d) (Register 83, No. 42).
§90063. Voluntary Local Health Planning Agency. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
Article 2. Advisory Health Council
§90101. Council Functions. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90103. Designation of Health Planning Area. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90105. Designation of Area Agency.
Note     •     History

The Council shall evaluate and designate at least annually, but no later than June 30, one area agency for each health planning area of the State.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.7, Health and Safety Code.
HISTORY

1. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90107. Criteria for Designation of Area Agencies.
Note     •     History

(a) The Council, in designating area agencies, shall consider but not be limited to the following criteria. Area agencies shall:
(1) Have Office-approved written policies relating to the performance of functions under this chapter which shall include but not be limited to provisions for:
(A) A board of directors, or governing body including the duties, number, and qualifications of members.
(B) Membership composition of the board of directors or governing body which sets forth that:
1. Both the consumer membership and the provider membership shall be broadly representative of the community and to the maximum extent possible shall be representative of social, economic, linguistic, and racial populations in the proportion in which they exist in the population of the area.
2. The membership should be broadly representative of the provider community and the major purchasers of health care in the area.
3. Members shall be residents of the area and be broadly representative of geographic subdivisions.
(C) Replacement of members, including term of office, replacement due to expiration of term, vacancies, removals, absenteeism, resignation, and death.
(D) Standing committees and ad hoc or task force groups.
(E) Conflict of interest and incompatible activities, including:
1. A statement substantially similar to the Office's Incompatible Activities Statement.
2. A mechanism for financial disclosure by designated officers, employees, and consultants substantially similar to that found in the Office's Conflict of Interest Code.
3. A disqualification mechanism substantially similar to that found in the Office's Conflict of Interest Code.
(F) Training of volunteers serving on review and planning committees.
(G) Responsibilities of the board of directors or governing body, including provisions that the governing body shall:
1. Have adequate resources to augment the funds allocated by the Office to perform the functions required by this chapter. Such resources shall not be from any nongovernmental source which has a financial, fiduciary, or other interest in the development, expansion, operation, maintenance, or support of health resources unless the source is an entity described in Section 509(a) of the Internal Revenue Code of 1954 and the entity is not directly engaged in the provision of health care in the agency area.
2. Have separate budgets for planning and for project review.
3. Demonstrate a capability for fulfilling satisfactorily the functions set forth in this chapter.
4. Assure to the greatest extent possible community support.
5. Have an affirmative action plan and a policy of nondiscrimination in performing the activities of the agency in accordance with the provisions of this chapter.
(2) Be able and willing to contract with the Office.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.7, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(1)(B) and new subsection (a)(2) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90109. Criteria for Evaluation of Area Agencies.
Note     •     History

(a) The Council shall make at least an annual evaluation of area agencies for the purpose of designating such area agencies. The evaluation shall determine if the area agency:
(1) Performs satisfactorily all functions required by this chapter.
(2) Carries out activities in accordance with Office policies regarding health care cost containment, and unnecessary duplication of facilities, services, and equipment.
(3) Follows the approved affirmative action employment plan.
(4) Demonstrates an effective and efficient expenditure for planning and project review.
(5) Meets coordinated work schedules established by the Office in developing health facilities and services plans.
(6) Demonstrates and shows evidence of cooperation with:
(A) Governmental entities, such as county health agencies.
(B) Nonprofit health planning entities and community organizations.
(7) Follows written policies as prescribed by Section 90107.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.7, Health and Safety Code.
HISTORY

1. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90110. Nondiscrimination and Affirmative Action.
Note     •     History

(a) Area agencies shall take affirmative action to ensure that employees and applicants for employment are not discriminated against on the basis of their race, color, religion, creed, national origin, sex, age, or physical or mental handicap, or any other factors which may unlawfully place an individual or group at a disadvantage while employed or while seeking employment. Such affirmative action shall include, but not be limited to, the following:
(1) Employment.
(2) Promotion.
(3) Demotion or transfer.
(4) Recruitment or recruitment advertising.
(5) Layoff or termination.
(6) Rates of pay or other forms of compensation.
(7) Selection for training.
(b) Area agencies shall follow standardized hiring procedures as defined below by the Office. Such procedures shall include but not be limited to:
(1) Length of time for filing notices of vacancies.
(2) Length of time for advertising positions.
(3) Number and types of advertising to be done.
(4) Procedures for providing fair consideration to all applicants.
(c) Area agencies shall initially submit an affirmative action plan to the Office. Thereafter, area agencies shall annually submit modifications, if any, to the Office of Statewide Health Planning and Development. The affirmative action plan shall include, but not be limited to, the following:
(1) A demographic statistical summary of the ethnic groups in the area served by the area agency.
(2) A requirement that existing area agency offices, meeting places, and related premises, and existing area agency facilities to be remodeled, shall be accessible to and useable by the handicapped, including individuals in wheelchairs.
(3) An accessibility review-report prepared by the Mobility Barriers Section of the Department of Rehabilitation or by an appropriate local organization certified by this section. An acceptable defense for failure to meet the requirement of this paragraph is the Department of Rehabilitation's failure to compile such a report.
(4) Procedures to ensure that reasonable job accommodations are made for disabled employees and applicants.
(5) Provision for the accessibility to offices, meeting places, and related premises and transportation.
(6) Procedures to ensure that there are no communication barriers that would exclude the disabled. For the purposes of this section, communication barriers shall include the absence of such things as Braille markings on elevators and amplification equipment for telephones.
(7) Evidence that meetings are public and are accessible to the public.
(8) Evidence that advisory committees, governing bodies or boards of directors are composed of persons representative of the service area including ethnic minorities, women, aged, and the handicapped.
(9) Evidence that the area agency posts in a conspicuous place available to employees notices of the policy of nondiscrimination.
(10) Name of person within the area agency who will be responsible for the implementation of the affirmative action plan. The responsible person shall:
(A) Assist the governing body or board of directors in developing a policy statement.
(B) Assist in identifying problem areas.
(C) Assist line management in implementing the plan.
(D) Design and implement a reporting system that will measure the effectiveness of the affirmative action plan.
(11) A work force analysis which identifies for each job title or classification the total number of male and female incumbents in each of the following groups: Blacks, Spanish-Speaking/Spanish Surname, American Indians, Asian and Pacific people (specify), Filipinos, the handicapped, and others. An analysis shall include an explanation if minorities, women, or handicapped persons are currently being under-utilized in any one or more job classifications.
(12) Employment goals which are attainable and which are designed to achieve timely results with respect to the employment deficiencies identified in the workplace analysis. Such goals and timetable with supporting data and the analysis thereof shall also be a part of the area agency's written affirmative action plan and shall be available to the public at the area agency office.
(d) Area agency affirmative action plans shall establish a mechanism for the prompt investigation and resolution of all complaints of discrimination in employment practices. Initial attempts at resolution should take place at the area agency. The area agency shall make this complaint process available to all employees or applicants for employment. The complainant shall have the right of appeal from the local decision to the Civil Rights Office of the Office. The area agencies shall, subject to the approval of the Office, establish procedures under which complainants are informed of their rights to file a complaint alleging discrimination in either employment or service in violation of their civil rights with the Office. This notice shall be posted in the languages of significant numbers (5% or more) of the population residing in the area. Complaints nor resolved at the area agency level alleging discrimination in employment by the area agency because of race, color, national origin, creed, sex, age, or physical or mental handicap, will be resolved by the Office's Affirmative Action Complaint Process.
(e) If the area agency has not developed an acceptable affirmative action plan, the Civil Rights Officer shall notify the Director. The Director will declare the area agency's affirmative action plan non-responsive and notify the Council. If the area agency fails to show good cause for its failure or fails to remedy that failure by developing and implementing an acceptable action plan, the Office shall take appropriate action.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.7, Health and Safety Code. 
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment of subsection (c) filed 1-11-82; effective thirtieth day thereafter (Register 82, No. 3).
4. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Section Code 11346.2(d) (Register 83, No. 42).
§90111. Approval of Local Health Planning Areas. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
Article 3. Area Health Planning Agencies [Repealed]
§90201. Area Agency Functions. [Repealed]
History

HISTORY

1. Repealer of Article 3 (Sections 90201-90205, not consecutive) filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42). For prior history, see Register 77, No. 37.
Article 4. Office Functions
§90301. Functions of the Department. [Repealed]
History

HISTORY

1. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90303. Responsibilities Relating to Statewide Policies. [Repealed]
History

HISTORY

1. Amendment filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90304. Plan Development Guidelines.
Note     •     History

(a) The 1980-81 Plan Development Guidelines as adopted by the Office of Statewide Health Planning and Development in accordance with requirements of this division are incorporated in this article by this reference.
(b) Such Guidelines shall be reviewed, and revised as necessary, by the Office, on an annual basis in accordance with the provisions of the Administrative Procedures Act.
(c) Copies of the adopted guidelines may be reviewed in the Office of Statewide Health Planning and Development, 714 “P” Street, Room 1050, Sacramento, California 95814. It having been found that the printing of the regulation constituting the 1980-81 Plan Development Guidelines would be impractical and that the regulation would be of limited and particular application, pursuant to Government Code, Section 11409(a), the regulation is not published in full in the California Administrative Code.
NOTE

Authority cited: Sections 208, 437.6, and 437.8, Health and Safety Code, and Section 21000 et seq., Public Resources Code. Reference: Section 437.8, Health and Safety Code, Section 21102, Public Resources Code; and Chapter 854, Statutes of 1976 as amended by Chapter 429, Statutes of 1978 and Chapter 1186, Statutes of 1979.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Amendment filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
5. New subsection (a)(14) filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
6. Repealer and new section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
7. Amendment filed 2-6-81; effective thirtieth day thereafter (Register 81, No. 6).
8. Amendment filed 4-30-81; effective thirtieth day thereafter (Register 81, No. 18).
§90305. Policies for Facility and Services Planning. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.8, 1203, 1255, Health and Safety Code. Reference: Chapter 854, Statutes of 1976 as amended by Chapter 429, Statutes of 1978 and Chapter 1186, Statutes of 1979.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§90307. Policies Relating to Health Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.8, 1203, 1255, Health and Safety Code. Reference: Chapter 854, Statutes of 1976 as amended by Chapter 429, Statutes of 1978 and Chapter 1186, Statutes of 1979.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§90309. Statewide Policies for General Acute Care. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 207 and 437.8, Health and Safety Code. Reference: Chapter 854, Statutes of 1976 as amended by Chapter 429, Statutes of 1978 and Chapter 1186, Statutes of 1979.
HISTORY

1. New Section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Repealer filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§90311. Statewide Policies for Acute Psychiatric Care. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 437.8, Health and Safety Code. Reference: Chapter 854, Statutes of 1976 as amended by Chapter 429, Statutes of 1978 and Chapter 1186, Statutes of 1979.
HISTORY

1. New section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Repealer filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§90313. Statewide Policies for Special and Supplemental Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 437.8, Health and Safety Code. Reference: Chapter 854, Statutes of 1976 as amended by Chapter 429, Statutes of 1978 and Chapter 1186, Statutes of 1979.
HISTORY

1. New section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Repealer filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§90315. Statewide Policies for Health Facilities Providing Long-Term Care. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 437.8, Health and Safety Code. Reference: Chapter 854, Statutes of 1976 as amended by Chapter 429, Statutes of 1978 and Chapter 1186, Statutes of 1979.
HISTORY

1. New section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Repealer filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§90317. Statewide Method for Calculating Resource Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 437.8, Health and Safety Code. Reference: Chapter 854, Statutes of 1976 as amended by Chapter 429, Statutes of 1978 and Chapter 1186, Statutes of 1979.
HISTORY

1. New section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Editorial correction (Register 78, No. 40).
3. Repealer filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
Article 5. Certificate of Need
§90401. Projects Requiring a Certificate of Need. [Repealed]
Note     •     History

NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.10, Health and Safety Code.
HISTORY

1. Amendment of subsections (c)(4) and (c)(10)(A) filed 3-1-78; effective thirtieth day thereafter (Register 78, No. 9). For prior history, see Register 77, No. 22.
2. Editorial correction (Register 78, No. 9).
3. Amendment of subsections (c)(10) and (c)(11)(A) filed 4-10-78; effective thirtieth day thereafter (Register 78, No. 15).
4. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
5. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
§90403. Projects Exempt from Certificate of Need Review Procedures. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90407. Projects Necessary Because of Disaster or Other Emergency. [Repealed]
Note     •     History

NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.11, Health and Safety Code.
HISTORY

1. Amendment of subsections (d) and (h) filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Amendment of subsection (f) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
3. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
4. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
§90409. Projects to Comply with Law or Regulation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.11, Health and Safety Code.
HISTORY

1. Amendment of subsection (c)(4) filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22).
4. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
5. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
§90411. Projects Under the Capital Expenditure Threshold. [Repealed]
Note     •     History

NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.10, Health and Safety Code.
HISTORY

1. Amendment filed 4-10-78; effective thirtieth day thereafter (Register 78, No. 15).
2. Amendment filed 10-14-83; designated effective 10-17-83; pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
3. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
§90412. Establishment and Adjustment of the Capital Expenditure Threshold. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.6, 437.10 and 446.2, Health and Safety Code; Section 11152, Government Code. Reference: Section 437.10, Health and Safety Code.
HISTORY

1. New section filed 4-10-78; effective thirtieth day thereafter (Register 78, No. 15).
2. Amendment filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
3. Amendment restoring subsection (b) (inadvertently repealed by 4-26-79 order) filed 5-4-79; effective thirtieth day thereafter (Register 79, No. 17).
4. Amendment of subsection (a) filed 7-11-80; effective thirtieth day thereafter (Register 80, No. 28).
5. Amendment of subsection (a) filed 8-26-81; effective thirtieth day thereafter (Register 81, No. 35).
6. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90413. Notice of Intent.
Note     •     History

(a) Except as provided in Health and Safety Code Section 437.15 any person with an intent to apply for a certificate of need shall submit a notice of intent to the Office and the appropriate area agency at least 30 days prior to the submission of an application.
(b) The notice of intent shall be delivered or sent to the Office of Statewide Health Planning and Development, at 1600 9th Street, Sacramento, California 95814.
(c) The notice of intent shall include:
(1) Description of the project, including location.
(2) Estimated cost.
(3) Anticipated filing date of application.
(4) If available, information concerning the status of any EIR (Environmental Impact Report) or negative declaration prepared, in preparation, or planned with respect to the project.
(5) Names of lead agency and responsible agencies designated with respect to the project, if known.
(d) The notice of intent shall expire after six months, except that upon the applicant's written request to the Office and concurrent notification of the area agency the notice will be extended for an additional six months. Such request shall be valid only if received by the Office before expiration of the notice.
(e) The Office, for good cause shown, may shorten or waive the period in subdivision (a) above.
NOTE

Authority cited: Section 437.6 and 438.3, Health and Safety Code. Reference: Section 438.3, Health and Safety Code.
HISTORY

1. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Repealer of subsection (g) filed 4-9-82; effective thirtieth day thereafter (Register 82, No. 15).
4. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
5. Amendment of subsections (a) and (e) filed 2-28-85; effective thirtieth day thereafter (Register 85, No. 9).
§90415. Application Fee.
Note     •     History

(a) Each application for a certificate of need shall be accompanied by a remittance, except those exempted by law, the amount to be the sum of the appropriate base fee and project fee, as indicated below:
(1) Base fee:

General Acute Care Hospital 	 $500.00
Acute Psychiatric Hospital 	 $500.00
Special Hospital 	 $500.00
General Acute Care/Rehabilitation Hospital 	 $500.00
Psychiatric Health Facility 	 $500.00
Chemical Dependency Recovery Hospital 	 $500.00
Skilled Nursing Facility 	 $350.00
Intermediate Care Facility 	 $350.00
Small Intermediate Care Facility/
Developmentally Disabled Habilitative 	 $350.00
Specialty Clinic 	 $200.00
(2) Project fee, applicable to all facilities except small intermediate care facility/developmentally disabled habilitative:

Project Cost	Fee
$0 to $1,999,999 	 $1,000
$2,000,000 to $2,999,999 	 $2,000
$3,000,000 to $3,999,999 	 $3,000
$4,000,000 to $4,999,999 	 $4,000
$5,000,000 and over 	 $4,500
(b) The project fee shall be adjusted when the Office verifies the cost estimate for the project.
(c) The applicant shall submit any additional project fee required following the verification by the Office of the cost estimate for the project.
NOTE

Authority cited: Sections 437.6 and 438.1, Health and Safety Code. Reference: Section 438.1, Health and Safety Code.
HISTORY

1. Amendment filed 11-19-81; effective thirtieth day thereafter (Register 81, No. 47).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90416. Fee for Preparation of EIR or Negative Declaration.
Note     •     History

The Office may require a fee, in addition to that required under Section 90415, to pay costs of preparing an EIR or a negative declaration for any project not found to be exempt from CEQA and for which the Office is the lead agency. The applicant shall remit this fee, in accordance with the Office's estimate of costs, before the application is declared complete. The fee shall be adjusted as necessary to reflect actual costs of preparing the EIR or negative declaration. Any excess shall be promptly refunded to the applicant.
NOTE

Authority cited: Sections 437.6 and 438.1, Health and Safety Code; and Section 21089, Public Resources Code. Reference: Section 438.1, Health and Safety Code; and Section 21089, Public Resources Code.
HISTORY

1. New section filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90417. Special Fees.
Note     •     History

(a) Health Facilities, except those exempt by law and long-term care facilities (as defined by Section 97005(d), California Code of Regulations), shall be charged a special fee as follows:
(1) For the last fiscal year ending on or before June 30, of the preceding calendar year the fee shall be 0.027 percent of the gross operating cost for the provision of health care services as determined by the Office.
(b) Long-term care facilities (as defined by Section 97005(d), California Code of Regulations), except those exempt by law, shall be charged a special fee as follows:
(1) For the last fiscal year ending on or before June 30, of the preceding calendar year, the fee shall be 0.025 percent of the gross operating cost for the provision of health care services as determined by the Office.
(c) Freestanding ambulatory surgery clinics as defined in Health and Safety Code 128700(e) shall be charged a special fee that shall be established at an amount equal to the number of ambulatory surgery data records submitted to the Office pursuant to Section 128737 for encounters in the preceding calendar year multiplied by fifty cents ($.50).
NOTE

Authority cited: Sections 127150, 127280, 128700 and 128810, Health and Safety Code. Reference: Sections 127280 and 128737, Health and Safety Code.
HISTORY

1. Amendment filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Repealer and new section filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
3. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
4. Amendment filed 6-8-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 23).
5. Amendment of subsection (a)(1) filed 6-21-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 25).
6. Amendment of subsection (a)(1) filed 6-24-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 26).
7. Amendment of subsection (a)(1) filed 6-10-87; operative 6-10-87 (Register 87, No. 25).
8. Amendment of Subsection (a)(1) filed 2-15-89; operative 3-12-89 (Register 89, No. 8).
9. Amendment of subsections (a) and (a)(1), new subsections (b) and (b)(1), and amendment of Note filed 3-31-99 as an emergency; operative 3-31-99 (Register 99, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-29-99 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of subsection (b) (Register 99, No. 21).
11. Certificate of Compliance as to 3-31-99 order transmitted to OAL 6-11-99 and filed 7-2-99 (Register 99, No. 27).
12. Amendment of subsections (a)(1) and (b)(1) filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-24-2004 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 7-13-2004 and filed 8-5-2004 (Register 2004, No. 32).
14. Amendment of subsections (a)(1) and (b)(1) filed 6-30-2005; operative 6-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 26).
15. New subsection (c) and amendment of Note filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
16. Amendment of subsections (a)(1) and (b)(1) filed 5-24-2012; operative 5-24-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 21). 
§90419. Application Submission.
Note     •     History

(a) Any person may submit to the Office an application for a certificate of need, provided that the required notice period has passed since the receipt by the Office of a notice of intent for the project or provided the Office has waived the notice of intent requirement.
(b) A single application may be filed for a project that includes more than one action listed individually in Health and Safety Code Section 437.10 when the entire project can be shown by the applicant to be interdependent. As used in this section, “interdependent” shall mean inseverable for purposes of making a decision.
(c) An applicant may submit two or more applications simultaneously and request the Office to process the applications together. For each application submitted a separate fee shall be paid.
(d) The applicant shall submit an original and the required copies of the application (not to exceed five copies) to the specific address identified by the Office. Such application shall be on the forms and in the manner prescribed by the Office and shall be accompanied by the required fee.
(e) The applicant shall, concurrently with submission to the Office, submit the number of copies required by the area agency, not to exceed ten copies.
(f) The applicant shall submit with the application evidence regarding all of the applicable criteria set forth in Article 11.
(g) The applicant's failure to respond within six months to notification that the application is incomplete shall constitute withdrawal of the application.
NOTE

Authority cited: Sections 437.6, 438, 438.1, 438.3, 439 and 446.2, Health and Safety Code. Reference: Sections 438, 438.1, 438.3 and 439, Health and Safety Code.
HISTORY

1. Amendment filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22).
2. Amendment of subsection (d) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
3. Amendment of subsection (d) filed 1-11-82; effective thirtieth day thereafter (Register 82, No. 3).
4. Repealer of subsection (f) filed 4-9-82; effective thirtieth day thereafter (Register 82, No. 15).
5. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90420. Projects Not Directly Related to Patient Care. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.6, 437.15 and 438, Health and Safety Code. Reference: Sections 437.15 and 438.3, Health and Safety Code.
HISTORY

1. New section filed 5-17-83; designated effective 4-22-83 pursuant to Government Code Section 11349.3 (Register 83, No. 21).
2. Amendment of NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
3. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
§90421. Incomplete Application. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.6, 438.1, 438.2, and 438.4, Health and Safety Code; and Sections 21089 and 21100, Public Resources Code. Reference: Sections 438.1 and 438.2, Health and Safety Code; and Sections 21082, 21089 and 21100, Public Resources Code.
HISTORY

1. Amendment of subsections (c) and (d) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90422. Projects for Sole Community Providers or Long Term Care.
Note     •     History

(a) For purposes of this section and Health and Safety Code Section 437.15 a sole community provider is any general acute care hospital eligible to be designated as a primary health service hospital pursuant to Health and Safety Code Section 1339.9.
(b) An application eligible for consideration under Health and Safety Code Section 437.15 shall be filed on the forms specified by the Office for such projects.
(c) Upon receipt of an application on forms specified by the Office, the Division shall evaluate the application to determine whether the project is for a sole community provider or long term care.
(d) If the Division determines that the project is for a sole community provider or long term care the Division shall publish the notice required by paragraph 2 of subdivision (c) of Health and Safety Code Section 437.15.
(e) If the Division determines that the project is not for a sole community provider or long term care the Division shall so notify the applicant and shall treat the application as a notice of intent pursuant to Health and Safety Code Section 438.3.
NOTE

Authority cited: Sections 437.6, 437.15 and 438, Health and Safety Code. Reference: Sections 437.15 and 438.3, Health and Safety Code.
HISTORY

1. New section filed 2-28-85; effective thirtieth day thereafter (Register 85, No. 9).
§90423. Complete Application.
Note     •     History

The application shall be considered to be filed as a complete application on the date the notice of completeness is sent to the applicant or the sixteenth day following the Office's receipt of the application, whichever is earlier, or, when the applicant has made a request pursuant to Health and Safety Code Section 438.2(b), on the fifth business day following receipt by the Office of the request, unless the Office makes a timely determination that the application may not be declared complete.
NOTE

Authority cited: Sections 437.6 and 438.2, Health and Safety Code. Reference: Sections 438.2 and 438.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 5-17-83; designated effective 4-22-83 pursuant to Government Code Section 11349.3 (Register 83, No. 21).
3. Amendment of NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90425. Verification of Certified Cost Estimates. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90427. Public Inspection. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90429. Amendments to Applications.
Note     •     History

(a) Amendments to an application shall be submitted in writing to the Office and the appropriate area agency.
(b) An application with amendments shall be treated as a new application, unless:
(1) The amendments do not materially affect the scope, location, or cost of the proposed project, or change the identity of the proposed licensee; and
(2) Extensive additional analysis of the application is not necessitated by the amendments.
(c) The applicant may be required to pay additional fees as determined by the office.
NOTE

Authority cited: Sections 437.6, 438, 438.1 and 438.2, Health and Safety Code. Reference: Section 438, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90431. Withdrawal of Applications. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90433. Area Agency Review. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.6, 437.7, 437.8, 437.15 and 438.4, Health and Safety Code. Reference: Sections 437.7 and 438.4, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
5. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
Article 6. Hearing Procedure on Applications for a Certificate of Need
§90501. Time and Place of Hearing. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90503. Notice of Hearing. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90504. Informal Hearings.
Note     •     History

(a) A request for an informal hearing, in lieu of and in the alternative to the formal procedures described in Health and Safety Code Section 438.5, shall be made in writing and addressed to the Division of Health Planning and Review, Fourth Floor, 1600 Ninth Street, Sacramento, CA 95814.
(b) The request shall be made after the Office has ordered a hearing pursuant to Health and Safety Code Section 438.5 and shall be made prior to commencement of the formal hearing.
(c) The request may be delivered prior to issuance of an order for a formal hearing by the Office. If so, the request shall be deemed to have been received, for purposes of the five day period within which the Office must order an informal hearing, on the earlier of:
(1) the last day the Office is allowed to issue an order for a formal hearing; or
(2) the date the Office issues the order for the informal hearing.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 438.51, Health and Safety Code.
HISTORY

1. New section filed 2-28-85; effective thirtieth day thereafter (Register 85, No. 9).
§90505. Service of Papers. [Repealed]
History

HISTORY

1. Amendment of subsection (b) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90507. Parties. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90509. Obligations of the Parties Prior to the Hearing.
Note     •     History

(a) In preparing the intended position, the Division shall take into account any significant environmental effects identified in a final EIR on the project, if available, and shall, whenever appropriate, consider feasible alterations in the project to mitigate or avoid the significant environmental effects. The Division shall, if necessary, revise an intended position to account for information in a final EIR or negative declaration submitted after preparation of the initial intended position.
(b) At least 15 days prior to the hearing each party shall serve upon each of the other parties and upon the hearing officer a list of witnesses intended to be presented together with estimated time for direct examination of each witness. The list shall include the name, address, and title of each intended witness.
NOTE

Authority cited: Sections 437.6 and 438.5, Health and Safety Code; and Sections 21000(g), 21081 and 21100, Public Resources Code. Reference: Section 438.5, Health and Safety Code; and Section 21081, Public Resources Code.
HISTORY

1. Amendment of subsection (b) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
4. Amendment filed 2-28-85; effective thirtieth day thereafter (Register 85, No. 9).
§90511. Requests for Depositions. [Repealed]
History

HISTORY

1. Amendment of subsection (a) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90512. Witnesses and Subpoenas. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment of subsections (d) and (e) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90513. Hearing Procedure. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.6, and 438.5, Health and Safety Code. Reference: Section 438.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
3. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90515. Basis for Decisions on Projects.
Note     •     History

(a) The basis for decisions by the Office on applications for Certificates of Need shall be:
(1) The Statewide Health Facilities and Services Plan specified in Health and Safety Code Section 437.7, Subdivision (b).
(2) The Statewide Policies developed and adopted pursuant to Health and Safety Code Section 437.8, including the review criteria established in Article 11.
(b) In deciding upon a project for which an environmental impact report has been prepared, the Office shall consider and make written findings with respect to that report.
(1) If the report identifies one or more significant environmental effects of the project, the Office shall not approve the project unless the Office makes one or more of the following written findings, accompanied by a statement of facts supporting each finding:
(A) Changes or alterations which mitigate or avoid the significant environmental effects of the project identified in the final EIR have been required or incorporated into the project.
(B) Changes or alterations which would mitigate or avoid the significant environmental effects of the project identified in the final EIR are within the responsibility and jurisdiction of another public agency and not of the Office. Such changes have been adopted by such other agency or can and should be adopted by such other agency.
(C) Specific economic, social, or other considerations make infeasible the mitigation measures or project alternatives identified in the final EIR.
(2) The findings required by (1) shall be supported by substantial evidence in the record.
(3) The finding described in (1)(B) shall not be made if the Office has concurrent jurisdiction with another agency to deal with identified feasible mitigation measures or alternatives.
NOTE

Authority cited: Sections 437.6, 437.9 and 438.5, Health and Safety Code; and Sections 21000, 21001, 21002.1 and 21082, Public Resources Code. Reference: Section 438.5, Health and Safety Code.
HISTORY

1. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Editorial correction removing subsections (b) and (c), and correcting previous history note (Register 78, No. 24).
3. New subsection (b) filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
4. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90517. Decisions. [Repealed]
History

HISTORY

1. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
Article 7. Appeals
§90551. Appeals.
Note     •     History

(a) The operation of the administrative appeals process for certificate of need applications established b Health and Safety Code Sections 438.8 to 438.12, inclusive, and implemented by this Article is suspended.
(b) No petition for appeal shall be accepted by the Council after the effective date of this regulation.
(c) Any appeal pending as of the date this suspension becomes effective shall be processed in accordance with Article 7 as it stood immediately before that date.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Section 437.6, Health and Safety Code.
HISTORY

1. Repealer and new section filed 5-17-83; designated effective 4-22-83 pursuant to Government Code Section 11349.3 (Register 83, No. 21).
2. Amendment of NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
3. Amendment of subsection (a) filed 2-28-85; effective thirtieth day thereafter (Register 85, No. 9).
§90553. Appeal Filing Procedures. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90555. Service of Papers. [Repealed]
History

HISTORY

1. Repealer filed 10-14083; designated effective 10-17-83, pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90557. Certification of Oral Arguments. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90559. Notice of Hearing. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90561. Appeal Hearing Procedure. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90563. Notice of Meeting. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90565. Decisions on Appeal. [Repealed]
History

HISTORY

1. Repealer 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90567. Disqualification. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
Article 8. Certificate of Exemption [Repealed]
HISTORY

1. Repealer of article 8 (sections 90601-90609) filed 7-11-1984; operative 8-10-1984 (Register 84, No. 28). For prior history, see Register 83, No. 42. 
Article 9. Terms and Conditions
§90701. Notice of Decision. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90703. Effective Date of Final Decisions. [Repealed]
History

HISTORY

1. Amendment of subsections (a), (e) and new subsection (f) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90704. Transferability of Certificates.
Note     •     History

(a) A certificate of need or certificate of exemption is particular to one specific existing or proposed facility and is not transferable or assignable to another facility.
(b) A certificate of need or certificate of exemption pertaining to a project for an existing facility is not invalidated by transfer of ownership of that facility.
(c) A certificate of need for establishment of a new facility may not be transferred to a person other than the applicant.
NOTE

Authority cited: Section 437.6, Health and Safety Code. Reference: Sections 437.10 and 437.8, Health and Safety Code.
HISTORY

1. New section filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90705. Expiration of Certificates.
Note     •     History

(a) A certificate of need or a certificate of exemption shall expire 18 months after the effective date unless one of the following occurs:
(1) The certificate holder has commenced the project covered by the certificate and is diligently pursuing the project to completion as determined by the Office.
(A) Commencement of the project for purposes of this subsection shall mean that the applicant has executed a written contract for completion of the project or has submitted to the Office preliminary drawings and outline specifications which fully comply with applicable requirements of Title 24.
(B) Diligently pursuing the project to completion for purposes of this section means that the project is progressing toward completion according to a reasonable time schedule and, where applicable, that construction of the project has commenced in accordance with the schedule submitted in the application for the certificate.
(2) The expiration date of the certificate has been extended by the Director upon a showing of good cause in accordance with Subsection (c). Extension shall not cumulatively exceed a total of 12 months beyond the original expiration date of the certificate.
(b) A certificate of exemption issued under Health and Safety Code Section 437.117 shall expire 12 months after issuance unless the project has been completed or the expiration date has been extended in accordance with subdivision (c). For purposes of this subdivision, completion of the project shall be the date the Department of Health Services approves the equipment or space for use. In order for the project to be determined complete for the purposes of this section, the facility must submit evidence of completeness to the Office of Statewide Health Planning and Development.
(c) The Director may extend the time for commencement or completion of a project if the holder of the certificate satisfies the Director that the delay is the result of an unpreventable or unexpected occurrence such as an emergency, strike, disaster, unforeseen shortage of materials, required governmental agency review or other such unforeseen event.
(d) Applicants requesting extensions under this section shall submit a request at least 30 days prior to the expiration date of the certificate.
(e) Before making a final determination that a certificate of need or a certificate of exemption has expired, the Office shall afford an opportunity for a hearing to any applicant whose certificate of need or certificate of exemption appears to have expired.
NOTE

Authority cited: Sections 437.6 and 438.6, Health and Safety Code; and Section 11180, Government Code. Reference: Section 438.6, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 3-1-78; effective thirtieth day thereafter (Register 78, No. 9).
3. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
4. Amendment filed 2-28-85; effective thirtieth day thereafter (Register 85, No. 9).
§90705.1. Extensions Necessitated by Uncertainty of Government Revenue Source. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 438.6 and 437.14, Health and Safety Code. Reference: Sections 438.6 and 437.14, Health and Safety Code.
HISTORY

1. New section filed 8-2-78 as an emergency; effective upon filing (Register 78, No. 31).
2. Certificate of Compliance filed 11-29-78 (Register 78, No. 48).
3. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90707. Revocation of Certificates. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
Article 10. Development of Plans
§90801. Area Plans.
Note     •     History

(a) Each area agency shall develop an area plan in accordance with the requirements of this chapter and such other statewide procedures, specifications, and format as my be established by the Office.
(b) An area plan shall be for the entire health planning area served by the agency.
(c) Each area agency shall establish resource requirements, consistent with statewide policies, and the Plan Development Guidelines which have been incorporated by reference into these regulations by Section 90304.
(d) In using data and methods in accordance with the Plan Development Guidelines, incorporated by reference into these regulations by Section 90304, area agencies shall consider but are not limited to the following:
(1) Current and projected civilian population of the service area.
(2) Utilization of existing facility health resources.
(3) Appropriate utilization levels of facility health resources.
(4) Optimal capacity of facility health resources.
(5) The service area for the specified types of facility health resources.
(e) In developing the area plan, the area agency shall utilize the data and methods provided by the Office. The area agency may review such data and methods in public meeting and may propose alternate data sources that are more responsive to the needs of the health planning area and may use such data sources with the approval of the Office.
(f) The area agency may propose alternate methods, consistent with cost effective utilization of health facilities, if the area agency determines with the concurrence of the office that the alternative methods will be more responsive to the needs of the health planning area.
(g) Area plans shall identify and quantify existing resources and community needs for each bed classification and project type required by the Office to be addressed.
NOTE

Authority cited: Sections 437.6, 437.7 and 437.8, Health and Safety Code. Reference: Sections 437.7 and 437.8, Health and Safety Code.
HISTORY

1. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90803. Data and Methods of Area Plans. [Repealed]
History

HISTORY

1. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90807. General Requirements for Recommended Actions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.6, 437.7 and 437.8, Health and Safety Code. Reference: Sections 437.7 and 437.8, Health and Safety Code.
HISTORY

1. New section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90809. Area Agency Alternative Methods and Rates. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 437.8, Health and Safety Code. Reference: Chapter 854, Statutes of 1976 as amended by Chapter 429, Statutes of 1978 and Chapter 1186, Statutes of 1979.
HISTORY

1. New section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Repealer filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§90811. Health Facility Planning Areas.
Note     •     History

(a) The Office shall designate health facility planning areas to be used by area agencies for the planning and review of facilities, services, and equipment.
(b) In designating health facility planning areas, the Office shall consider at least the following factors:
(1) Size and distribution of resident and transient population and demographic characteristics.
(2) Population base required to support specified types of facility health resources.
(3) Natural geographic boundaries.
(4) Governmental jurisdictions.
(5) Transportation routes and travel time.
(6) Trade patterns.
(7) Number and distribution of major providers.
(8) Customary health service delivery patterns.
(9) Location of existing facilities and services.
(10) Climatic conditions that affect the use of health resources.
(11) Patterns of patient origin.
(c) Health facility planning areas shall, to the extent possible, not divide county boundaries, individual health planning areas, or census tracts.
(d) Health facility planning areas should encompass the largest population base possible to assure economic feasibility and quality of care.
(e) Changes in health facility planning areas may be proposed to the Office by area agencies at any time; however, the Office shall consider such proposals on an annual basis with the advice of the Council.
NOTE

Authority cited: Sections 437.6, 437.7 and 437.8, Health and Safety Code. Reference: Sections 437.7 and 437.8, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90813. Inventory and Utilization Data of Health Resources. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90815. Population to Be Used in Area Planning.
Note     •     History

(a) The Office shall annually prepare population estimates and projections to be used in area plans.
(b) Population estimates and projections prepared by the Office for counties shall be based on estimates provided by the California Department of Finance.
NOTE

Authority cited: Sections 437.6, 437.7 and 437.8, Health and Safety Code. Reference: Sections 437.7 and 437.8, Health and Safety Code.
HISTORY

1. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90819. Statewide Health Facilities and Services Plan. [Repealed]
History

HISTORY

1. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90821. Procedures for Adoption of Area Plans.
Note     •     History

(a) Each area agency shall conduct at least one public meeting on its proposed area plan prior to its adoption. interested parties shall be given the opportunity to submit their views orally at the meeting and in writing before or during the meeting.
(b) At least 30 days before the meeting the agency shall publish a notice of the hearing in at least two newspapers of general circulation throughout the health planning area. The notice shall:
(1) Identify the time and place of the meeting and the availability and location of the proposed plan for public review.
(2) Be expressed in the predominant languages used in the health planning area, using words of plain meaning. Predominant languages shall be English and any other language used as a primary language by three percent or more of the population in the health planning area if a newspaper of general circulation is available which will reach persons with such predominant languages.
(c) The governing body of the area agency shall adopt the area plan in a public meeting. Notice shall conform to all of the criteria contained in (b) above.
(d) Each area agency shall forward to the Office of Statewide Health Planning and Development a copy of the minutes of the meeting at which the area plan was adopted and five copies of the plan. One copy of the plan shall be forwarded to the Advisory Health Council.
NOTE

Authority cited: Sections 437.6, 437.7 and 437.8, Health and Safety Code. Reference: Sections 437.7 and 437.8, Health and Safety Code.
HISTORY

1. New section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Amendment of subsection (d) filed 1-11-82; effective thirtieth day thereafter (Register 82, No. 3).
3. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90823. Adoption of Statewide Health Facilities and Services Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Section 437.7(b), Health and Safety Code. Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 3-23-79; effective 3-21-79 pursuant to Section 437.7(b), Health and Safety Code, and Section 11422(a), Government Code (Register 79, No. 13).
2. Amendment filed 4-4-80; designated effective 3-28-80 pursuant to Section 437.7(b), Health and Safety Code, and Section 11422(a), Government Code (Register 80, No. 14).
3. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
Article 11. Review Criteria
§90901. Criteria for Determining the Desirability of Projects.
Note     •     History

(a) Except as otherwise provided in Health and Safety Code Section 437.12, the Office shall not issue a certificate of need for any project unless the project is found to be desirable in accordance with this section and, for a surgical clinic, Section 90927.
(b) Except as otherwise provided in Health and Safety Code Section 437.12, no project shall be found to be desirable unless the applicant establishes by a preponderance of the evidence that the project meets all of the following:
(1) The project will fill an unmet community need identified in the Statewide Health Facilities and Services Plan, if the type of project is addressed in the Plan.
(2) The project will not have a substantial adverse effect on the utilization of other facilities offering the same or similar services or such adverse effect is outweighed by the benefits of the project to the population to be served.
(3) The project will be optimally utilized within a reasonable time period in a financially feasible and economically efficient manner.
(4) Financial resources exist to successfully complete and implement the project.
(5) The project and the facility comply with applicable federal, state, and local laws and regulations.
(6) The applicant is capable of completing and implementing the project.
(7) As applicable there is community support for the facility and the project.
(8) The project will, as applicable, enhance accessibility of health services to the population to be served.
(9) The project will benefit the population to be served.
(10) The project will not adversely affect the indigent population of the area.
NOTE

Authority cited: Sections 437.6, 437.8 and 437.9, Health and Safety Code. Reference: Sections 437.8 and 437.9, Health and Safety Code.
HISTORY

1. Amendment of subsections (a), (b) and (d) filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
3. Amendment filed 2-28-85; effective thirtieth day thereafter (Register 85, No. 9).
§90902. Criteria for Projects Not Directly Related to Patient Care. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.6, 437.8, 437.9 and 437.15, Health and Safety Code. Reference: Sections 437.8, 437.9 and 437.15, Health and Safety Code.
HISTORY

1. New section filed 5-17-83; designated effective 4-22-83 pursuant to Government Code Section 11349.3 (Register 83, No. 21). For history of former section, see Registers 77, No. 37; 77, No. 11 and 76, No. 50.
2. Amendment of NOTE filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
3. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
§90903. Criteria for Comprehensive Group Practice Prepayment Health Care Service Plans. [Repealed]
History

HISTORY

1. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Editorial correction of printing error (Register 83, No. 30).
3. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90904. Criteria for Equipment Replacement Projects Not Exempt Under Section 90607 Solely Because of Section 90607(c)(6). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 437.6, 437.8 and 437.9, Health and Safety Code. Reference: Sections 437.8 and 437.9, Health and Safety Code.
HISTORY

1. New section filed 4-26-79; effective thirtieth day thereafter (Register 79, No. 17).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
3. Repealer filed 7-11-84; effective thirtieth day thereafter (Register 84, No. 28).
§90905. Criteria for Projects for Which Special Justification is Claimed. [Repealed]
History

HISTORY

1. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90906. Review of Competing Applications.
Note     •     History

(a) When concurrently considering similar applications for certificates of need to serve substantially the same geographic area and population, the Office shall approve only the application or applications which most appropriately meet the needs of the area and population to be served. The Office may approve or disapprove all applications under consideration.
(b) The Office shall seek the cooperation of the applicants in reviewing and making determinations with respect to competing applications. The Office shall not unreasonably delay action on an application for a certificate of need and shall meet requirements of time imposed by statute and regulations unless parties to all affected applications have filed written waivers of time requirements in order to permit concurrent reviews and decisions. If an applicant refuses to waive time limitations, the testimony of any competing applicants shall be taken at the hearing.
(c) In determining which application or applications most appropriately meet the needs of the area and population to be served, the Office shall consider all relevant factors, including but not limited to the following:
(1) Location.
(2) Travel time and transportation costs.
(3) Medical feasibility of utilizing the proposed facilities or services or facility beds, taking into consideration the medical condition of the patients proposed to be served and other relevant information.
(4) Current utilization patterns.
(5) All applicable review criteria.
NOTE

Authority cited: Sections 437.6, 437.7, 437.8 and 437.9, Health and Safety Code. Reference: Sections 437.7, 437.8 and 437.9, Health and Safety Code.
HISTORY

1. New section filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
2. Amendment filed 10-14-83; designated effective thirtieth day thereafter (Register 83, No. 42).
§90907. Criteria for a Burn Center. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90909. Criteria for Cardiovascular Surgery Service. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90911. Criteria for Chronic Dialysis Stations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 437.8, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: 437.10(b) and (c), Health and Safety Code.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Amendment of subsection (a) filed 11-18-77; effective thirtieth day thereafter (Register 77, No. 47).
5. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90913. Criteria for a Computerized Tomography (CT) Scanner. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90915. Criteria for Emergency Medical Service, Basic. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90917. Criteria for Emergency Medical Service, Comprehensive. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90919. Criteria for Intensive Care Newborn Nursery Service. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90921. Criteria for Psychiatric Service. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90923. Criteria for Radiation Therapy Service. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90925. Criteria for Renal Transplant Service. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90927. Criteria for Surgical Clinics.
Note     •     History

(a) An applicant for a new surgical clinic shall establish by a preponderance of evidence that:
(1) The surgical clinic will have at least two operating rooms.
(2) The surgical clinic, as a condition of granting staff privileges, will require the physicians to maintain comparable clinical privileges in local general acute care hospitals.
(3) The applicant has an appropriate utilization review plan and quality assurance plan.
(4) The applicant has acceptable written procedures for the transfer of surgical clinic patients and their records in an emergency to an appropriate general acute care hospital in the service area.
(5) The surgical clinic can achieve and maintain a minimum of 240 operating room minutes (not including preparation and clean up time) per operating room per day within three years of commencement and will not cause the utilization at existing surgical clinics to drop below or fail to attain the minimum of 240 operating room minutes per operating room per day. For purposes of this section, surgical operating room minutes shall be calculated on the basis of five days per week and fifty weeks per year.
(6) There will be a sufficient number of physicians in the service area who will use the surgical clinic and will have staff privileges and will enable the clinic to meet the minimum operating room time.
(7) It will be an appropriate facility in the service area, considering equipment, staff, location, and other relevant factors.
(8) The clinic will make provision to serve those who are unable to pay all or a substantial portion of the clinic's fee in advance of the provision of services.
(b) Notwithstanding Section 90901(b)(1), with respect to the determination of unmet need in the community, and notwithstanding Section 90901(b)(2), with respect to the determination of adverse effect, the applicant may demonstrate that area hospitals are not making efforts to fully utilize their ambulatory surgical capacity or providing ambulatory surgical services at a reasonable cost to the community. With respect to the determination of unmet community need for purposes of Section 90901(b)(1), and with respect to the determination of adverse effect under Section 90901(b)(2), the Office shall not consider any hospital in the service area which the applicant demonstrates does not meet both of the following criteria:
(1) The hospital has a functioning, organized ambulatory surgery program with staff, approved policies, procedures, quality of care standards, and other documentation associated with an organized ambulatory surgery program.
(2) The hospital is making good faith efforts to utilize its ambulatory surgical capacity and to provide ambulatory surgical services at a reasonable cost to the community.
NOTE

Authority cited: Sections 437.6, 437.7, 437.8 and 437.9, Health and Safety Code. Reference: Sections 437.7, 437.8 and 437.9, Health and Safety Code.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer and new section filed 5-17-83; designated effective 4-22-83 pursuant to Government Code Section 11349.3 (Register 83, No. 21).
5. Repealer and new section filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90929. Criteria for a Basic, Supplemental, Required or Optional Service. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90931. Criteria for a Capital Expenditure. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 437.7-437.11, 437.13, 438.5, 438.6, 1203 and 1255, Health and Safety Code; Chapter 854 (Statutes of 1976). Reference: AB 4001, Chapter 854, Statutes of 1976.
HISTORY

1. New section filed 12-8-76 as an emergency; effective upon filing (Register 76, No. 50).
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
3. Amendment filed 9-8-77; effective thirtieth day thereafter (Register 77, No. 37).
4. Repealer filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
Article 12. Procedures and Requirements Relating to the California Environmental Quality Act
§90950. Statement of Policy.
Note     •     History

(a) It is the policy of the Office of Statewide Health Planning and Development, in carrying out its responsibilities under Part 1.5 of Division 1, Health and Safety Code, to follow all applicable procedures and requirements of the California Environmental Quality Act and of Chapter 3, Division 6, Title 14, California Administrative Code, which implements CEQA.
(b) When acting as a lead agency the Office shall follow procedures established by the California Environmental Quality Act and by Chapter 3 of Title 14, California Administrative Code.
(c) Procedures and requirements set forth in sufficient detail and with sufficient clarity in CEQA and its implementing regulations shall not be reiterated herein.
NOTE

Authority cited: Section 437.6, Health and Safety Code; and Section 21082, Public Resources Code. Reference: Section 437 et seq., Health and Safety Code; and Section 21082, Public Resources Code.
HISTORY

1. New Article 12 (Sections 90950-90962, not consecutive) filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
2. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90952. General Procedures Relating to CEQA.
Note     •     History

(a) As early as practicable in the Certificate of Need process the Office shall determine whether a project is exempt from CEQA according to Section 90955. A determination made on the basis of information in a notice of intent shall be reevaluated if the description of the project in the application differs materially from the description in the notice of intent.
(b) If the Office does not find a project to be exempt from CEQA the Office shall keep a copy of the negative declaration or final EIR on file with the application.
NOTE

Authority cited: Sections 437.6, 437.15, 438, 438.2 and 438.3, Health and Safety Code; and Section 21082, Public Resources Code. Reference: Sections 437.15, 438, 438.2 and 438.3, Health and Safety Code; and Section 21082, Public Resources Code.
HISTORY

1. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90955. Categorical Exemption.
Note     •     History

(a) The following list summarizes, within relevant categories established in Title 14, California Administrative Code, commencing with Section 15101, types of projects which are or may be subject to Certificate of Need requirements but which are categorically exempt from the requirements of CEQA. These types of projects involve no significant environmental impacts.
(1) Class 1: existing facilities. This class consists of the operation, repair, maintenance, or minor alteration of existing structures, facilities, equipment, or topographical features, involving little or no expansion of use.
(A) Change of facility bed classification.
(B) Change of license category.
(C) Establishment of a new service within an existing facility, utilizing existing buildings.
(D) Acquisition of equipment to be used within existing buildings.
(E) Acquisition by a facility of any previously existing building or other capital item or of land when the type of use is not to be significantly changed.
(F) Addition of beds or dialysis stations within an existing building or buildings of a facility, if the capacity of the facility is not increased by more than 25 percent.
(G) Remodeling of existing buildings.
(2) Class 2: replacement or reconstruction. This class consists of replacement or reconstruction in whole or in part of an existing facility on the same site, as long as the replacement or reconstruction does not increase capacity more than 50 percent and the use of the facility does not materially change.
(3) Class 3: new construction of small structures. This class consists of construction and location of single, new, small structures (including those appurtenant to existing structures) and installation of small new equipment.
(b) Any project which is not specifically described above but which is, in the judgment of the Certificate of Need Division, clearly within the scope of any exempt lass described in Title 14, California Administrative Code, commencing with Section 15101, shall be deemed to be exempt from the requirements of CEQA.
(c) A written explanation for a finding that a project is categorically exempt shall be prepared by the Certificate of Need Division and shall be available for public inspection.
NOTE

Authority cited: Sections 437.6 and 467.2, Health and Safety Code; and Section 21084, Public Resources Code. Reference: Sections 437.15 and 438.2, Health and Safety Code; and Section 21084, Public Resources Code.
HISTORY

1. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
§90957. Ministerial Projects.
Note     •     History

Projects exempted from the requirements of Health and Safety Code Sections 438 to 438.13, are ministerial projects with respect to the certificate of need and certificate of exemption processes. No negative declaration, EIR, or finding that the project is categorically exempt shall be necessary in order for the Office to act on such projects.
NOTE

Authority cited: Sections 437.6, 437.11 and 437.119, Health and Safety Code; and Section 21080, Public Resources Code. Reference: Sections 437.11 and 437.119, Health and Safety Code; and Section 21080, Public Resources Code.
HISTORY

1. Amendment filed 10-14-83; designated effective 10-17-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 42).
2. Amendment filed 2-28-85; effective thirtieth day thereafter (Register 85, No. 9).
§90962. Requirements for Office Acting As Responsible Agency.
Note

(a) The Office shall be a responsible agency under CEQA with respect to any project which requires a certificate of need, which is not exempt from the requirements of CEQA, which is not ministerial with respect to the certificate of need/exemption process, and for which the Office is not the lead agency.
(b) When acting as a responsible agency, the Office shall provide to the lead agency such consultation and comments as may be requested, in accordance with the requirements of Chapter 3, Division 6, Title 14, California Administrative Code. Whenever possible and appropriate, the Office shall propose changes in a project which would mitigate any significant environmental effect of the project.
NOTE

Authority cited: Section 437.6, Health and Safety Code; and Sections 21002, 21069, 21080.3, 21080.4, 21104 and 21153, Public Resources Code. Reference: Sections 21002, 21069, 21080.3, 21080.4, 21104 and 21153, Public Resources Code.
Chapter 2. Eminent Domain Procedures for Nonprofit Hospitals
Article 1. Definitions
§91001. Certificate of Necessity.
Note     •     History

“Certificate of Necessity” means the document certifying the Director's determination that a nonprofit hospital has applied for such certification pursuant to the provisions of Section 91017 and 91019 and has been judged in compliance with the provisions of Section 91023 of this chapter.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. New Chapter 2 (Sections 91001-91023, not consecutive) filed 8-3-77; effective thirtieth day thereafter (Register 77, No. 32).
2. Editorial correction of NOTE filed 2-23-83 (Register 83, No. 9).
§91003. Department.
Note     •     History

“Department” means the Office of Statewide Health Planning and Development.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
3. Amendment filed 3-26-79 as procedural and organizational; effective upon filing (Register 79, No. 13).
4. Editorial correction of NOTE filed 2-23-83 (Register 83, No. 9).
§91005. Director.
Note     •     History

“Director” means the Director of the Office of Statewide Health Planning and Development.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
2. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
3. Amendment filed 3-26-79 as procedural and organizational; effective upon filing (Register 79, No. 13).
4. Editorial correction of NOTE filed 2-23-83 (Register 83, No. 9).
§91007. Final Environmental Impact Report.
Note     •     History

“Final Environmental Impact Report” means an Environmental Impact Report in compliance with Section 21061 of the Public Resources Code and Section 15146 of Title 14 of the California Administrative Code, and certified in accordance with Section 15085 (g) of Title 14 of the California Administrative Code.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91009. Interested Party.
Note     •     History

(a) “Interested party” means:
(1) All owners and occupants of real property affected.
(2) The nonprofit hospital.
(3) The area health planning agency or health systems agency in the area within which the hospital is located.
(4) A representative of any group of 15 or more individuals or organizations who reside or are located in the area within which the hospital is located, if the group shows to the satisfaction of the hearing officer that said group will be affected by the environmental impact of the proposed project, or by the impact of the proposed project on the delivery of health care services in the community.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. Editorial correction of (a)(4) and new NOTE filed 2-23-83 (Register 83, No. 9).
§91011. Nonprofit Hospital. [Repealed]
History

HISTORY

1. Repealer filed 6-10-83; effective thirtieth day thereafter (Register 83, No. 24).
§91013. Owners of Real Property Affected.
Note     •     History

(a) “Owners of real property affected” means those persons, and the spouses of any such persons, having any legal interest in the real property which is the subject of procedures under this chapter. Such persons shall include but not be limited to:
(1) Owners in fee, as sole owners, joint tenants, tenants-in-common or by purchase of sale agreements.
(2) Lessees or tenants.
(3) Holders of easements or rights of way.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
Article 2. General Provisions and Procedures
§91015. Applicability.
Note     •     History

The provisions of this chapter shall apply to nonprofit hospitals exercising the right of eminent domain under Title 7 of the Code of Civil Procedure and Section 1260 of the Health and Safety Code.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91017. Existing Facility Application for Certificate of Necessity.
Note     •     History

(a) Pursuant to the provisions of Section 1260 of the Health and Safety Code, the right of eminent domain exercised by an existing nonprofit hospital shall be initiated by filing with the Department an application for a Certificate of Necessity on forms provided by the Department. A written notice of such application and of the intention to exercise the right of eminent domain shall be given to:
(1) All owners of real property affected.
(2) All reasonably discernible occupants of real property affected.
(3) All reasonably discernible occupants of property within 1000 yards of the real property affected.
(b) The written notice shall specify a location in the area within which the hospital is located where a copy of the application and supporting documents shall be maintained for public inspection.
(c) At least one copy of the application and supporting documents shall be available for public inspection at the place specified between the hours of 8:00 a.m. to 12:00 noon and 1:00 p.m. to 5:00 p.m. for a period of at least 15 days previous to the hearing.
(d) If 10 percent or more of the residents of the area in which the hospital is located speak a language other than English as their primary language, such written notice shall be in both English and the other language.
(e) Enclosures to the application shall include:
(1) Copy of Treasury Department and Franchise Tax Board certification of hospital's nonprofit status and exemption from federal and state income tax.
(2) The following information regarding existing property:
(A) Official map showing legal description and boundaries, and a written and pictorial description of the present property, including location and size of existing buildings.
(B) Date property was acquired.
(C) Capital investment of property.
(D) Appraised value of property.
(3) The following information regarding community patient service provided by present hospital:
(A) Licensed bed capacity.
(B) Brief description of types of service available.
(C) Admissions and patient days per year by place of residence.
(D) Outpatient clinic visits (if applicable) per year.
(E) Number of staff physicians and geographic areas from which physicians are drawn.
(F) Number of other employees in each job classification.
(G) Maximum number of employees on hospital property at one time.
(4) The following information regarding inadequacy of the present property and of alternatives to acquisition.
(A) Detailed description of the deficiencies of the present physical property in relation to the function it performs or proposes to perform.
(B) Detailed explanation of the ability or inability to perform such functions.
(C) Description of the effect of the deficiencies of the present property on the delivery of health care services in the community.
(D) Description of reasonably available alternatives to the project and the proposed location which might correct or alleviate the effect of such deficiencies and explanation for rejection of each alternative.
(E) Description of other property owned or held under long-term lease by the hospital within the county in which the proposed project is located, and explanation for the rejection of that property for construction of the proposed project.
(5) The following information regarding the property on which condemnation is desired:
(A) Official map showing legal description, boundaries and relationships to present property.
(B) Buildings and other improvements, and a detailed description of their current use.
(C) Detailed description of proposed use of property, including specific activities to be conducted on the site and projected completion date of any construction necessary should acquisition take place.
(D) Detailed description of efforts to acquire property without condemnation, including:
1. Duration of negotiations.
2. Individuals involved.
3. Amounts and dates of any offers or counteroffers made on sale price of property.
4. Available information on appraised value of property.
5. Property owner's reasons for refusal to sell if other than disagreement on price.
6. Description of projected plans for development or expansion by the hospital to be commenced within 10 years from application other than those presented in the application.
(6) Resolution of hospital board of directors including:
(A) Statement of board's opinion that public interest and necessity require acquisition of property.
(B) Statement of board's familiarity with content of application, including all attachments thereto.
(C) Board's authorization for application.
(7) Report of impact of proposed expansion upon delivery of health care services in community.
(8) Final Environmental Impact Report, or Negative Declaration pursuant to Section 15083 of Title 14 of the California Administrative Code.
(9) Affidavit of service of notice as required in (a) above.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (e)(2)(A) and new NOTE filed 2-23-83 (Register 83, No. 9).
§91019. New Facility Application for Certificate of Necessity.
Note     •     History

(a) Pursuant to the provisions of Section 1260 of the Health and Safety Code, the right of eminent domain exercised by a newly formed nonprofit hospital applying to condemn property for the initial establishment of the facility shall be initiated by filing with the Department an application for a Certificate of Necessity on forms provided by the Department. A written notice of such application and of the intention to exercise the right of eminent domain shall be given to:
(1) All owners of real property affected.
(2) All reasonably discernible occupants of real property affected.
(3) All reasonably discernible occupants of property within 1000 yards of the real property affected.
(b) The written notice shall specify a location in the area within which the hospital is located where a copy of the application and supporting documents shall be maintained for public inspection.
(c) At least one copy of the application and supporting documents shall be available for public inspection at the place specified between the hours of 8:00 a.m. to 12:00 noon and 1:00 p.m. to 5:00 p.m. for a period of at least 15 days previous to the hearing.
(d) If 10 percent or more of the residents of the area in which the hospital is located speak a language other than English as their primary language, such written notice shall be in both English and the other language.
(e) Enclosures to the application shall include:
(1) Copy of the Treasury Department and Franchise Tax Board certification of hospital's nonprofit status and exemption from federal and state income tax.
(2) The following information regarding community patient service planned to be provided by the new hospital:
(A) Planned licensed bed capacity.
(B) Brief description of types of service planned.
(C) Expected admissions and patient days per year.
(D) Expected outpatient clinic visits (if applicable) per year.
(E) Expected number of staff physicians and geographic areas from which physicians will be drawn.
(F) Expected number of other employees in each job classification.
(G) Expected maximum number of employees on hospital property at one time.
(3) The following information regarding the property on which condemnation is desired:
(A) Official map showing legal description and boundaries.
(B) Buildings and improvements, and a detailed description of their current use.
(C) Detailed description of proposed use of property, including specific activities to be conducted on the site and projected completion date of any construction necessary should acquisition take place.
(D) Detailed description of efforts to acquire property without condemnation, including:
1. Duration of negotiations.
2. Individuals involved.
3. Amounts and dates of any offers or counteroffers made on sale price of property.
4. Available information on appraised value of property.
5. Property owner's reasons for refusal to sell if other than disagreement on price.
(4) Resolution of hospital board of directors including:
(A) Statement of board's opinion that public interest and necessity require acquisition of property.
(B) Statement of board's familiarity with content of application, including all attachments thereto.
(C) Board's authorization for application.
(5) Report of impact of proposed hospital upon delivery of health care services in the community.
(6) Final Environmental Impact Report, or Negative Declaration pursuant to Section 15083 of Title 14 of the California Administrative Code.
(7) Affidavit of service of notice as required in (a) above.
(8) Detailed description of deficiencies in the delivery of health care services in the community which the proposed project will correct or alleviate.
(9) Description of reasonably available alternatives to the project or the proposed location which might correct or alleviate such deficiencies and explanation for rejection of each alternative.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (d) and new NOTE filed 2-23-83 (Register 83, No. 9).
§91021. Public Hearing.
Note     •     History

(a) A public hearing shall be conducted to determine the necessity of property acquisition.
(b) The Department shall provide 100 days prior written notice of the hearing to all interested parties and the local legislative body and city planning authority.
(c) The Department shall publish notice of the hearing in a newspaper of general circulation in the area within which the hospital is located on three separate occasions within the 30 days immediately prior to the hearing.
(d) The area health planning agency or health systems agency shall make recommendations after public meeting of the area agency regarding the application to the hearing officer within 90 days of receipt of notice and such recommendations shall be entered into the record of the public hearing. A copy of the recommendations of the area agency to the hearing officer shall at the same time be submitted to the hospital.
(e) Upon receipt of the agency's recommendations prior to expiration of the 90 day maximum response period, the Department may reschedule the hearing for conduct at a date earlier than that originally specified. The Department shall provide 10 day prior written notice of any hearing so rescheduled to all parties set forth in (b) above.
(f) The hearing shall:
(1) Be conducted prior to certification of necessity pursuant to the provisions of Sections 91017, 91019 and 91023 of this chapter.
(2) Be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the California Government Code.
(3) Be conducted in the area within which the hospital is located.
(4) Take under consideration the impact of the proposed expansion upon the delivery of health care services in the community.
(5) Take into consideration the Final Environmental Impact Report.
(6) Assure the right of the nonprofit hospital, and all interested parties to the acquisition, to the following:
(A) Representation by counsel.
(B) Presentation of oral and written evidence.
(C) Confrontation and cross-examination of opposing witnesses.
(7) Be transcribed and the hearing record filed with the Department as a public document.
(g) The hearing officer shall file with the Department, within 10 days after the hearing, his findings, recommendations and proposed decision.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (e) and new NOTE filed 2-23-83 (Register 83, No. 9).
§91023. Action upon Application.
Note     •     History

(a) The Director may certify, no later than 90 days after the public hearing required by Section 91021, that:
(1) The acquisition of the property sought to be condemned is necessary for the establishment, operation, or expansion of the nonprofit hospital.
(2) The public interest and necessity require the proposed project.
(3) The proposed project is planned or located in the manner that will be most compatible with the greatest public good and the least private injury.
(b) The Director shall decline to certify if the above is not established by substantial evidence in the record.
(c) In making such determination, the Director shall take into consideration and evaluate the following information:
(1) Application for Certificate of Necessity with attachments.
(2) Public hearing record.
(3) Recommendation of the area health planning agency or health systems agency.
(4) Hearing officer's findings, recommendations and proposed decision.
(d) Notwithstanding any other provision of these regulations, the Director shall decline to certify according to this Section unless and until a Certificate of Exemption or Certificate of Need, if required for the project by Section 437.10 of the Health and Safety Code, has been issued. However, the Director shall issue a letter of intent to certify according to this Section conditioned on the above requirement.
(e) The Director may reconsider, revoke or suspend a certificate, prior to entry of a final court judgment of condemnation, upon proof of false or incorrect application information. The Director may suspend the certificate pending a new hearing at any time prior to the commencement of the trial on the merits of the action for condemnation of the property at issue, on his own motion or on the motion of any interested party, based upon evidence presented to the Director under penalty of perjury which with reasonable diligence could not have been produced at the hearing and which reasonably leads the Director to determine that had this evidence been produced, his original determination would have more probably than not been a denial of certification. Where the certificate is suspended under this section, a new hearing pursuant to the provision of 91021 shall be held within 90 days. No new application shall be required.
(f) Any interested party may request the Director to reconsider the decision to certify or decline to certify pursuant to this Section, based on the materials listed in (c), by submitting written argument in support thereof.
NOTE

Authority cited: Sections 103, 446.2 and 1260, Health and Safety Code; and Section 11152, Government Code. Reference: Section 1260, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
Chapter 3. Freestanding Cardiac Catheterization Pilot Project [Repealed]
HISTORY

1. Change without regulatory effect repealing chapter 3, articles 1-6 (sections 91100-91160) filed 3-27-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 13).
Chapter 4. Fire Protection Loans
Article 1. Definitions
§91301. Basic Services.
Note     •     History

“Basic services” means those services required to be provided by the facility in order to obtain and maintain a license and include, in such combinations as may be applicable to the type of facility to be operated, the following: personal care, protection, supervision, assistance, guidance or training, planned activities, food service and incidental medical and dental care.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. New Chapter 4 (Sections 91301-91343, not consecutive) filed 7-25-78; effective thirtieth day thereafter (Register 78, No. 30).
2. Editorial correction of NOTE filed 2-23-83 (Register 83, No. 9).
§91303. Construction Costs.
Note     •     History

“Construction costs” means the cost of installation of automatic sprinkler systems or detectors responding to invisible products of combustion other than heat in accordance with the standards and regulations of the State Fire Marshal. Also included in such costs are architectural, engineering, consultation, plan check, permits, testing, inspection, title and recording costs and fees, and all other costs necessary or incidental to effect the construction project.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91305. Department.
Note     •     History

“Department” means the Office of Statewide Health Planning and Development.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91307. Facility.
Note     •     History

“Facility” means a building or portion thereof maintained and used by a children's institution providing basic services and licensed to operate as a “Group Home--Children,” or a building or portion thereof maintained and used by an institution housing the aged and providing basic services and licensed to operate as a “Group Home--Adults.”
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91309. Housing for the Aged.
Note     •     History

“Housing for the aged” means a facility which devotes at least 70 percent of its licensed capacity to housing persons who are either 65 years of age or older, or 50 years of age or older if such persons are blind or totally disabled, or who are any combination of the above classifications.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91311. Project Property.
Note     •     History

“Project property” means the real property upon which the facility is located and upon which construction improvements are made.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91313. Trustee.
Note     •     History

“Trustee” means a third-party to whom funds are legally committed in trust, under an express trust or escrow agreement between the borrower, trustee and the Department.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
Article 2. General Provisions
§91314. Advisory Loan Committee.
Note     •     History

(a) The Advisory Loan Committee shall advise the Department regarding the borrower's financial capability to service the loan.
(b) The Committee shall be appointed by the Director and shall consist of seven members as follows:
(1) Four shall be appointed from outside State Government.
(2) Three shall be appointed from state departments. One such member shall be from the Division of Facilities Development of the Department.
(c) The members shall be highly qualified in the field of financial analysis of the operation of, capital outlay for, and construction of health facilities.
(d) The members shall file statements of economic interest in accordance with the provisions of the Department's conflict of interest code.
(e) No member may participate in any manner, including voting, in the decision of the Committee regarding a health facility in which such member has an economic interest.
(f) Members appointed from outside State Government shall be entitled to claim travel expenses equivalent to those of which state employees are entitled.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction of subsections (b)(2), (c) and new NOTE filed 2-23-83 (Register 83, No. 9).
§91315. General.
Note     •     History

The Department shall, in accordance with the provisions of this chapter, grant loans to facilities for the purpose of installation of fire protection equipment therein. To qualify for a loan, facilities shall be in compliance with all state laws and local ordinances relating to health, sanitation, building safety and licensing.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91317. Priority of Applications.
Note     •     History

Priority shall be given to applications for loans for facilities in existence and licensed prior to the effective date of these regulations and in the order in which the initial stage of the applications are perfected by the applicant in accordance with the provisions of Section 91337 of these regulations. Loans shall be awarded by the Department according to their priority only to the extent funds remain available.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91319. Maximum Loan.
Note     •     History

The maximum amount of the loan shall be no greater than that which is determined by the Department as necessary to effect compliance with Section 13113 of the Health and Safety Code. The actual amount of each loan shall be determined by the Department, in the exercise of its discretion, considering the most equitable means of achieving the purpose of the program within available funds, taking into account the sums needed by each applicant and those needs anticipated for all potential applicants.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91321. Length and Maturity of Loans.
Note     •     History

(a) The repayment period for loans shall be limited to the lesser of the following:
(1) Thirty years from the beginning of amortization.
(2) Seventy-five percent of the Department's estimate of the economic life of the facility.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91323. Interest Rate. [Repealed]
History

HISTORY

1. Repealer filed 6-10-83; effective thirtieth day thereafter (Register 83, No. 24).
§91325. Repayment of the Loan.
Note     •     History

(a) Unless otherwise approved by the Department, the loan shall be repayable in uniform total monthly installments of principal and interest.
(b) First repayment installment shall be due and payable as specifically set forth in the loan agreement, and in no case shall such date be more than 60 days subsequent to the issuance by the State of the total loan proceeds to the trustee.
(c) The State shall cause to be issued a Direct Reduction Loan Amortization Schedule based upon monthly installment payments and showing:
(1) Total amount of the loan.
(2) Term of the loan.
(3) The interest rate.
(4) Total monthly installment payment.
(5) Breakdown of monthly interest and principal.
(6) Balance of loan.
(d) An installment payment received by the State more than 15 days after due date shall be deemed to be delinquent. Upon such delinquency a late payment charge of 10 percent of the installment payment may be charged to the borrower. The decision on the late charge will be made by the Department after a review of the circumstances involved.
(e) The borrower may at any time make additional installment payments in advance or pay the whole outstanding balance of the loan without prepayment penalty.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91327. Security for the Loan.
Note     •     History

(a) Loans may be secured by a first trust deed on the real property of the facility upon which the work of construction is performed, or such other alternative security as the Department may find necessary to protect the financial interests of the State provided that such other security agreed upon is sufficient to afford protection of the Department's investment.
(b) The Department shall not accept alternative security in lieu of a first trust deed on the real property of the facility unless:
(1) The borrower applies to the Department for consideration of alternative security arrangements;
(2) The borrower substantiates in writing to the Department that if the Department requires a first trust deed on the project property of the facility, the project would be economically unfeasible; and
(3) The Department determines and substantiates that the project is economically unfeasible without a waiver of the requirement for a first trust deed on the project property of the facility.
(c) The beneficiary of the security shall be the Department.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91329. Disbursement of Loan Proceeds.
Note     •     History

(a) The proceeds of the loan shall be used exclusively for the construction as approved by the Department.
(b) Upon issuance of the loan by the State, the proceeds of the loan shall be deposited with a trustee acceptable to the State who shall operate under an express trust agreement.
(c) Subsequent to execution of the loan agreement and other correlative documents, the State shall forward the whole amount of the loan to the trustee to be deposited in a special construction account from which all disbursements shall be made.
(d) The trustee may invest proceeds of the loan in short-term insured securities so long as sufficient funds are held available for timely payment of valid claims. Income from such investment shall, after deducting agreed charges and costs in favor of the trustee, insure to the benefit of the trust loan corpus.
(e) Prior to valid claims being paid from the construction account and upon request by the borrower, a Department representative shall examine the borrower's disbursement records and shall certify, on forms furnished by the Department with respect to such payment to be made, that all work, services and materials are incorporated in the project and are in compliance with agreements, and regulations and statutes determined applicable by the Department.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91331. Regulations and Code.
Note     •     History

Any loan agreement entered into pursuant to the Health and Safety Code Section 13111.3 and these regulations shall be deemed to include, as part of its terms and conditions, all of the provisions of Section 13111.3 of the Health and Safety Code and of this chapter.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91333. Events of Default.
Note     •     History

(a) The Department may declare a default upon the following conditions:
(1) Failure by the borrower to comply with all the terms and conditions of the Loan Agreement, the Note, and such other security instruments executed by the borrower.
(2) The borrower's noncompliance with laws and regulations pertaining to the operation and condition of the facility.
(3) Failure of the borrower to maintain sufficient funds in a trust account to prosecute the work of the improvements.
(4) The borrower's abandonment of the work, property or operation of the facility.
(5) Failure of the borrower to tender an installment payment for a period greater than 30 days from due date.
(6) The borrower's change of license category without the written consent of the Department, conveyance of title to the property, transfer of possession or purported change of obligor on the loan without express approval of the Department.
(7) Failure of the facility, during the term of the loan, to maintain in effect its license in the category of facility under which the loan was issued.
(8) Where the borrower files for relief under any chapter of the Federal Bankruptcy Act or where an action is filed against the borrower under any chapter of the Federal Bankruptcy Act.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91335. Remedies.
Note     •     History

(a) Upon declaration of default by the Department:
(1) All remaining funds in the trust construction improvement account shall revert to the State.
(2) The total loan balance with accrued interest shall be immediately due and payable.
(b) The Department shall have the right to initiate legal proceedings against all obligors and sureties on the loan, and to foreclose upon any security given therefor.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91337. Applications, Procedures and Approvals.
Note     •     History

(a) Before a loan from the Department may be obtained, the facility shall complete and submit an application to the Department.
(b) Applications shall be processed by the Department in three stages, as follows:
(1) The initial stage material shall be submitted by the applicant to determine eligibility of the proposed project and shall consist of the following:
(A) Department form LIC-1000, Part A, showing project description and costs, applicant's property interest and loan amount.
(B) Department form LIC-1001, Part B, showing financial assets and liabilities, and projected income and expenses.
(C) Department form LIC-1002, Part C, showing nonprofit status and resolution to borrow.
The submission by the applicant of complete and accurate initial stage documentation shall constitute perfection of the application for purposes of scheduling priority of the application.
Subsequent to affirmative action by loan committee, applicant will be sent a loan commitment.
(2) The second stage material in four copies shall be submitted no later than three weeks subsequent to the Department's mailing of the loan commitment. Failure to submit complete and accurate second stage documentation within the time allotted shall subject the application to loss of priority. The second stage material shall consist of the following:
(A) Architect or engineer's agreement, if required by the Department.
(B) Plans and specifications for the work approved by the Office of the State Fire Marshal.
(C) Valid contractor's bid offer or an executed contract for the work. Verification of competitive bidding shall be required.
(D) Form of contractor's performance and payment bond.
(E) Completed state form showing a detailed estimate of costs of all items for which the loan proceeds will be used.
(F) Trustee agreement signed by the parties.
(G) Loan agreement signed and acknowledged by the applicant.
(H) Security instrument signed and acknowledged by the applicant.
(I) Executed promissory note.
(3) The final stage of the application consists of the following:
(A) Prior to the closing, the applicant shall submit substantiation of the following insurance coverage for work in progress or work to be constructed:
1. Statutory workmen's compensation and employer's liability.
2. Bodily injury and property damage liability.
3. Fire and extended coverage for all work performed under the contract and other improvements on the site against loss or damage to the minimum extent of replacement value covered by the standard coverage insurance endorsement. The policies shall include a standard mortgage clause making loss payable to the State of California as its interests may appear.
(B) Prior to the closing, the contractor performing the work shall provide both performance and payment bonds each in the amount of 100 percent of the penal sum of the contract.
(C) The closing of the loan shall take place at such time and place as agreed upon by all parties consistent with the completion of all necessary document reviews and financial arrangements.
(D) Actions taken at the closing are to effect a single transaction and all documents to be executed and delivered are to be consistent with the completion of all necessary document reviews and financial arrangements.
(E) All real property security documents are to be recorded with the county recorder in the county in which the secured property is located prior to closing.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91339. Maintenance of Records.
Note     •     History

Commencing with the start of construction, the borrower shall maintain detailed records, upon forms approved by the Department, of all expenditures made relating to the project construction.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91341. Audit.
Note     •     History

(a) Upon completion of the project, the Department shall cause an audit to be made of all project-related expenditure records of the borrower.
(b) Such audited records shall be maintained by the borrower for the term of the loan.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
§91343. Insurance.
Note     •     History

(a) The borrower, upon completion of any improvements upon the project property made pursuant to a loan granted under these regulations, shall maintain fire insurance with standard extended coverage endorsement on all improvements on the property, equal to the current market value of such improvements, for the term of the loan.
(b) Policies shall contain the standard lender's benefit clauses and shall name the State of California as joint beneficiary. Copies of periodic renewal endorsement certificates shall be provided to the Department.
NOTE

Authority cited: Sections 103, 446.2 and 446.3, Health and Safety Code; and Section 11152, Government Code. Reference: Section 13111.3, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 2-23-83 (Register 83, No. 9).
Chapter 5. Health Facility Construction Loan Insurance
Article 1. Definitions
§91401. Advisory Loan Committee.
Note     •     History

“Advisory loan committee” means that committee appointed by the Director to advise the Office regarding the borrower's financial capability to service the loan.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. New Chapter 5 (Articles 1-7, Sections 91401-91547, not consecutive) filed 6-13-79; effective thirtieth day thereafter (Register 79, No. 25).
2. Amendment of NOTE (Sections 91401-91547, not consecutive) filed 6-21-79 as procedural and organizational; designated effective 7-13-79 (Register 79, No. 25).
3. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91403. Affirmative Action. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Repealer filed 3-7-96; operative 3-7-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 10).
§91405. Applicant.
Note     •     History

“Applicant” means a political subdivision or a nonprofit corporation which intends to secure a loan for the construction of a health facility or has secured a loan for the construction of a health facility and has applied for loan insurance under the Health Facility Construction Loan Insurance Law (Section 436 et seq. of the Health and Safety Code and Section 32127.2 of the Health and Safety Code: See also Article XVI, Section 4 of the Constitution of California).
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 436.9, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91407. Bondholder. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91409. Borrower. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91411. California Health Facilities Construction Loan Insurance Program--State Plan. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.3 and 436.4, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91413. Contract of Insurance.
Note     •     History

“Contract of insurance” means a document executed by the borrower and the Office providing for loan insurance under Section 436 et seq. of the Health and Safety Code and Section 32127.2 of the Health and Safety Code. See also Article XVI, Section 4 of the Constitution of California.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 32127.2, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91415. Construction. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91417. Council. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91419. Days.
Note     •     History

“Days” means calendar days unless otherwise specified.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91421. Debenture. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91423. Office. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91425. Director. [Repealed]
Note     •     History

NOTE

Authority cited: Section 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91427. Fund. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91429. Health Facility. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91431. Health Facility Construction Loan Insurance Law.
Note     •     History

“Health Facility Construction Loan Insurance Law” means Section 436, et seq., of the Health and Safety Code and Section 32127.2 of the Health and Safety Code.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91433. Lender. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91435. Loan. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91437. Loan Insurance.
Note     •     History

“Loan insurance” means the insurance of a loan by the Office pursuant to the California Health Facility Construction Loan Insurance Law.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91439. Maturity Date. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91441. Federal Program Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 436.3, Health and Safety Code. Reference: Section 14000, et seq., Welfare and Institutions Code.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91443. Mortgage. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91445. Mortgagee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91447. Mortgagor. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91449. Nonprofit Corporation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91451. Political Subdivision. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Section 32127.2, Health and Safety Code.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91453. Project.
Note     •     History

“Project” means a plan for and the construction, improvement, expansion, acquisition, or refinancing of a health facility.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code, and Section 11152, Government Code. Reference: Sections 436.3, 436.8 and 436.9, Health and Safety Code.
HISTORY

1. Amendment filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91455. Project Property. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91457. Public Health Facility. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.2 and 436.3, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91459. Statewide Health Facilities and Services Plan.
Note     •     History

“Statewide Health Facilities and Services Plan” means the plan which reflects statewide needs and desirability for health facility projects and services.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 437.7, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91461. Title.
Note     •     History

“Title” means clear title free of all liens and encumbrances with the exception of utility easements and governmental assessments of records and other exceptions approved by the Director.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
Article 2. General Provisions
§91462. Prohibition Against Transactions with a Conflict of Interest.
Note     •     History

No present or former officer, director, member, employee or relative of any officer, director, member or employee of the borrower or an affiliate of the borrower or incorporator shall receive any benefit, either directly or indirectly, as a result of the application for, or insurance of, a loan insured by the office, other than the continuation of salaries and employee benefits.
NOTE

Authority cited: Sections 129015 and 127020, Health and Safety Code. Reference: Sections 5231 and 5233, Corporations Code; Sections 1090 and 1091.5, Government Code; and Section 129015, Health and Safety Code.
HISTORY

1. New section filed 6-26-96; operative 7-26-96 (Register 96, No. 26).
§91463. Types of Loans Eligible for Insurance. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.3 and 436.8, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91465. Security for Loans.
Note     •     History

(a) The Office maintains discretion to require additional security in each individual case and to require funded depreciation.
(b) No security agreements shall be entered into by the borrower affecting the project property without prior approval by the Office.
(c) Loans to city, county, city and county or hospital district may be evidenced by a duly authorized bond issue. The Office may require additional security of the city, county, city and county or hospital district including a mortgage, trust indenture or lien on the project property. Where the borrower is a joint powers entity, the loan shall be secured by the first mortgage or first lien on the project property. The Office maintains discretion to require additional security in each individual case.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 436.8, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91467. Determination of Need for Project. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.3, 436.4 and 436.45, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91469. Applications, Procedures and Approvals.
Note     •     History

(a) The applicant shall complete and submit an application to the Office.
(b) Applications shall be processed by the Office in three stages as follows:
(1) The initial stage material shall be submitted by the applicant to determine eligibility of the proposed projects as follows:
(A) Office Form No. OSH-FD-136 showing project costs and health facility category.
(B) Office Form No. OSH-FD-137 showing financial assets of applicants.
(C) Office Form No. OSH-FD-135 showing the applicant's interest in the site.
(D) A brief narrative outlining the scope of the project and services to be rendered upon completion of the project.
(E) Drawings, small scale or schematics which include a minimum of the following:
1. Map of community showing location of site.
2. Plot plan showing property lines and existing and proposed new structures positioned on the site.
3. Floor plans of new and remodeled structures.
4. Brief construction materials outline specification.
(2) If the initial stage material shows that the proposed project is preliminarily eligible for loan insurance, the Office shall notify the applicant that the initial stage material submitted is sufficient.
(3) The second stage material shall be submitted by the applicant subsequent to the Office's notification as to preliminary eligibility. The applicant may submit the second stage material with the initial stage material. The second stage materials shall be processed as follows:
(A) A standard comprehensive health facility feasibility study shall be submitted containing at least the following:
1. Detailed program narrative describing the need for the health services to be provided, scope of such service, existing services, educational or research programs, individual departmental functions, staffing requirements, working relations and coordinating services with other facilities in the community.
2. Detailed financial statements showing audited annual balance sheet, income and expenses, source and application of funds for preceding three years, and income and expense budget projected for succeeding five years. New facilities need only submit the projected budget. Depreciation schedule shall be included.
3. An opinion of legal counsel regarding the nonprofit status of the applicant and the corporate relationships involving the applicant.
4. Completed Office Form No. OSH-FD-133 showing corporate relationships and nonprofit status.
5. List of consultants preparing feasibility study.
(B) Following the analysis of initial and second stage materials by the Office and their approval thereof, the initial and second stage materials will be formally presented to the Advisory Loan Committee for its recommendation regarding the applicant's financial capability to service the loan.
(C) Upon review of the initial and second stage materials by the Advisory Loan Committee and receipt of their written recommendation regarding the application, the materials shall be reviewed by the Advisory Health Council upon receipt in writing of a letter from the Office informing it that an application for loan insurance is ready for closing (the third stage). Upon receipt of such letter the Council shall give notice to the applicant in writing of the date, place and time of a hearing on the application.
1. The Council shall, after public review, advise the Director on insuring the loan.
(D) The application shall then be reviewed by the Office.
(E) Upon the Office's review of the initial and second stage materials and approval thereof, it may:
1. Issue a preliminary conditional commitment letter for insurance valid for a term not to exceed 12 months and renewable for a term not to exceed 12 months where the Office has determined that project need exists, that the project is eligible for loan insurance and that the project is financially feasible. A commitment shall not be renewed more than once. Renewals may be issued only upon request in writing by the applicant and only upon a showing of good cause as determined by the Office. Expiration of the term of the commitment, applicant's Certificate of Exemption or Certificate of Need shall void the application and the commitment.
(F) The preliminary conditional commitment letter shall contain at least the following information:
1. Type, term and amount of loan for which the commitment was issued.
2. Term of the commitment.
3. Date as of which need for the project was established.
4. Timetable for completion of the project.
(G) The decision to grant the loan insurance is within the discretion of the Director. Showing need for the project or meeting the eligibility requirements for loan insurance or establishing financial feasibility of the project does not create any entitlement to loan insurance.
(4) The final stage of the application consists of preparing and scheduling the loan closing. The applicant shall submit to the Office for review two loan closing document packages containing completed copies of all state forms and legal documents necessary to effect the closing of the loan. No later than one week prior t date of loan closing, the applicant shall submit to the Office two copies of the loan closing document package as revised.
(c) Before closing of the loan, the borrower shall have obtained such architectural, engineering, geologic, licensing and environmental approvals as may be required for the specific type of health facility covered by the project.
(d) The health facility shall be designed, the plans and specifications shall be reviewed and the work shall be constructed in accordance with all applicable laws and regulations.
(e) Prior to the closing of the loan, the borrower shall submit evidence that the following insurance coverage is in effect for work in progress or work to be performed or a commitment to provide such before construction begins:
(1) Statutory worker's compensation and employer's liability.
(2) Bodily injury and property damage liability.
(3) Fire and extended coverage for all work performed under contract and other improvements on the site against loss or damage to the extent of replacement value covered by the standard extended coverage insurance endorsement. The policies shall include a standard mortgage clause making loss payable to the mortgagee and the State of California as their interests may appear.
(4) The contractor performing the work shall provide both performance and payment bonds in the amount of 100 percent of the total sum of the contract. A combined performance and payment bond may be provided.
(f) Prior to closing the architect shall have submitted preliminary plans for the entire project.
(g) Prior to closing the borrower shall have a fixed limit of construction cost for the entire project, based on an outline of the scope of the project or approved plans and specifications, or; a contract to complete a project with a guaranteed maximum price, which fully indicates the entire scope of the project.
(h) No construction will be commenced on any increment of a project until at least that increment of the project has received final approval of the plans and specifications by the Office.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 436.9, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Repealer of subsection (i) filed 3-7-96; operative 3-7-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 10).
§91471. Disbursement of Loan Proceeds.
Note     •     History

(a) Upon issuance of insurance of the loan by the State, the proceeds of the loan and other funds as required by the Office shall be deposited with a trustee pursuant to a written agreement which shall contain such terms and conditions as approved by the Office.
(b) The trustee shall, with the Office's approval, disburse such deposited funds in the following order or priority:
(1) Payment of existing liens necessary to effect clear title.
(2) Deposits into special funds or accounts, as required by the Office or the lender under the mortgage or deed of trust.
(3) Payment of valid existing claims, including title and recording fees, legal fees, financing charges, consultant fees, architectural and engineering fees but excluding construction claims set forth in (4) below.
(4) Payment of valid existing claims for the construction, equipment and other charges connected with construction, which shall be paid from a construction account established for that purpose.
(c) Prior to release of funds for payment of claims pursuant to paragraph (b)(4) above, the trustee shall have received from the Office:
(1) A certification that the work, services, and materials for which payment is claimed have been incorporated into the project.
(2) Office approval of the proposed release of funds. The amount of insured loan proceeds released for payment of each claim shall not exceed that percentage of such claim that the total of the insured loan proceeds is to the total project cost. An exception may be made for good cause when the borrower can clearly demonstrate that total funds for project completion will be available on a timely basis.
NOTE

Authority cited: Sections 436.3, 436.5, and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 436.5, Health and Safety Code.
HISTORY

1. Amendment filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91473. Certification and Inspection Fees.
Note     •     History

The Office may consider reduction of the certification and inspection fee when construction is completed prior to insuring the loan and when existing debt is retired under the insured loan. When the entire project consists of refinancing only, there will not be a certification and inspection fee.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 436.6, Health and Safety Code.
HISTORY

1. Amendment filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91475. Application Fee. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.3 and 436.9, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91477. Insurance Premiums.
Note     •     History

(a) Subject to subsection (b) below, the premium rate charged for the insurance of loans by the Office shall be three percent (3%) of the total amount of principal and interest payable over the term of the loan, unless the borrower requests and qualifies for a lower premium rate under subsection (c) below.
(b) Borrowers that use proceeds of a loan newly insured by the Office to refinance a prior loan insured by the Office, or refund bonds insured by the Office, the proceeds of which were used to fund a prior loan (the “Prior Insured Loan”) on which the Borrower paid a one time nonrefundable premium shall pay a Refinancing Proceeds Premium rate of 2.2% of the total amount of the principal and interest thereon payable over the term of the loan, which term shall be the same as the remaining term of the loan refinanced, unless the borrower requests and qualifies for a lower Refinancing Proceeds Premium rate under subsection (c). If a portion of the proceeds of the loan or bonds to be newly insured is to be used to refinance the principal balance of a Prior Insured Loan (the “Refinanced Principal”) and a portion for new construction, improvements or expansion, reimbursements, or refinancing other debt, the Refinancing Proceeds Premium rate will be applied to the Refinancing Proceeds Principal (defined below) and the applicable premium under subsection (a) or (c) shall be applied to the balance of proceeds of the newly insured loan or bonds. The amount of Refinancing Proceeds Principal shall be determined by applying a fraction, the numerator of which is the dollar amount of Refinanced Principal and the denominator of which is equal to the sum of the Refinanced Principal plus the dollar amount of proceeds used for new construction, improvements or expansion (including related contingency funds and capitalized interest), reimbursements, or refinancing other debt, to the total amount of proceeds of the newly insured loan or bonds including proceeds used for debt service reserve funds, costs of issuance, counsel fees, underwriter's discount, original issue discount, and Cal-Mortgage insurance premiums and fees.
(c) Borrowers that choose to obtain and do obtain a credit rating of CCC or higher from one of the three rating agencies listed below shall qualify for the Discounted Premium rate or the Refinancing Proceeds Premium, as applicable, rate, as applicable, corresponding to the rating. If the Office determines that it is in its best interest, it may allow the use of a credit assessment, credit opinion or equivalent from one of the three rating agencies listed below, using the rating assigned therein instead of the credit rating for this purpose. The borrower shall direct the credit rating agency to send the rating (or credit assessment, opinion, or equivalent) to the Office, with a copy to the borrower.

		Rating Agencies			Refinancing
				Discounted	Proceeds
	Standard & Poor's	Moody's	Fitch	Premium	Premium

	AAA	Aaa	AAA	--	--
	AA+	Aa1	AA+	0.80%	0.50%

	AA	Aa2	AA	0.85%	0.55%

	AA-	Aa3	AA-	0.90%	0.60%

	A+	A1	A+	1.15%	0.65%

	A	A2	A	1.20%	0.70%

	A-	A3	A-	1.25%	0.75%

	BBB+	Baa1	BBB+	1.80%	1.00%

	BBB	Baa2	BBB	1.85%	1.05%

	BBB-	Baa3	BBB-	1.90%	1.10%

		Below Investment Grade:
	BB+	Ba1	BB+	2.65%	1.85%

	BB	Ba2	BB	2.70%	1.90%

	BB-	Ba3	BB-	2.75%	1.95%

	B+	B1	B+	2.80%	2.00%

	B	B2	B	2.85%	2.05%

	B-	B3	B-	2.90%	2.10%

	CCC	CCC	CCC	2.95%	2.15%

		Lower than CCC		3.00%	2.20%
(d) The rating will be used only to determine what premium rate the Office will charge that borrower, if the Office decides to insure a loan to that borrower. The fact that a borrower is able to obtain a CCC rating or above does not entitle that borrower to insurance.
(e) The Office has determined the use of the procedures set forth in (b) and (c) above constitute a system for assessing the relative financial risk of a borrower in compliance with Health and Safety Code section 129051.
NOTE

Authority cited: Sections 127010 and 129015, Health and Safety Code; and Section 11152, Government Code. Reference: Section 129040, Health and Safety Code.
HISTORY

1. Amendment filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Repealer and new section filed 3-20-2001; operative 3-20-2001. Amendments filed without review by OAL pursuant to the exemption for regulations which establish or fix rates, prices, or tariffs (Government Code section 11340.9(g)) (Register 2001, No. 12).
3. Amendment filed 6-28-2012; operative 6-28-2012. Submitted to OAL for printing only pursuant to Government Code section 11343.8, as exempt from the APA and OAL review pursuant to Government Code section 11340.9(g) (Register 2012, No. 26).
§91479. Opinion of Legal Counsel.
Note     •     History

(a) At the time the loan is closed or at the initial loan closing if the loan is in stages, the borrower shall furnish to the Office the opinion of legal counsel with respect to the following:
(1) The borrower's legal interest in the property.
(2) The borrower's authority to finance, construct and maintain the project, to issue any proposed obligation and to pledge or mortgage the assets and project property offered to secure the loan for which insurance is sought.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 436.8, Health and Safety Code.
HISTORY

1. Amendment filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91481. Closing of the Loan.
Note     •     History

(a) The closing of the loan shall take place at such time and place as agreed upon by all parties consistent with the completion of all necessary document reviews and financial arrangements.
(b) Actions taken at the closing shall constitute a single transaction and all documents to be executed and delivered or monies to be delivered shall be considered as having been delivered simultaneously.
(c) All real property security documents shall be recorded prior to closing with the county recorder in the county in which the secured property is located.
(d) An executed American Land Title Association (ALTA) title policy, written in an amount not less than the principal amount of the loan to be insured, with the State designated as an additional insured, shall be delivered to the State. After delivery of such title policy, the Office shall deliver to the borrower the contract of insurance executed by all parties.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 436.8, Health and Safety Code.
HISTORY

1. Amendment of subsection (e) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Order of Repeal of subsection (e) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§91483. Bidding Procedures.
Note     •     History

(a) (Reserved)
(b) Construction contract awards shall be made to the lowest responsible bidder, based upon competitive lump sum bids for the entire project, or bidding in increments as approved by the Office.
(c) Details of the method of bidding and contracting shall be submitted to the Office for approval prior to the execution of the construction contract.
(d) The method of bidding and contracting selected shall provide a fixed maximum cost of the construction work prior to closing of the loan.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Order of Repeal of subsection (a) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§91485. Affirmative Action. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Repealer filed 3-7-96; operative 3-7-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 10).
§91487. Maintenance of Records.
Note     •     History

During the period of construction and for a minimum of three years thereafter, the borrower shall maintain detailed records on forms approved by the Office of all expenditures made relating to completion of the project. No insured loan proceeds will be advanced until documented evidence of work performed is provided with a completed copy of Office Form OSH-FD-134.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91489. Equipment.
Note     •     History

(a) The borrower shall fully equip the facility and shall maintain the equipment so as to provide for continuous efficient operation of the facility and adequate service to the patients. Equipment included in the contract shall not be acquired by installment contract or lease.
(b) The borrower shall submit for review and approval a detailed list, description and estimated cost of all equipment to be installed or placed in the facility. Accompanying such list, description and estimated cost shall be Certificates of Need or Exemption where required.
(c) Where equipment, not included in the project is acquired by the facility at a date subsequent to the closing by installment contract or lease, such equipment contract must be approved by the Office and shall not prohibit assignment of the contract in the event of default or insolvency of the original purchaser.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Order of Repeal of subsection (d) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§91491. Operation upon Completion of Facility.
Note     •     History

The facility shall be operated or licensed only in the category of facility stated in the application for loan insurance, except that a facility may seek to operate as and be licensed under another category of facility upon approval of the State and acquisition of a Certificate of Need permitting such change.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91493. Insurance Coverage.
Note     •     History

(a) The borrower shall upon completion of construction of any improvement upon the property continue to maintain for the term of the loan fire insurance with standard extended coverage endorsement on all improvements on the property equal to the current market value of such improvements.
(b) The insurance policy shall contain the standard mortgagee benefit clauses and shall name the State of California as additional insured.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 436.8, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51.)
§91495. Final Audit.
Note     •     History

Subsequent to payment and satisfaction of all claims regarding the completion of construction of the facility, an audit shall be made and copies of such audit shall be forwarded to the Office by the borrower. This audit shall be made by an independent auditing agency, acceptable to the Office within six months after project completion.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health ad Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91497. Financial Statements.
Note     •     History

The borrower shall submit annually to the Office for the term of the insured loan an audited financial statement of the financial status of the health facility. Such financial statement shall be prepared by independent certified public accountants according to accepted accounting principles.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
§91499. Advisory Loan Insurance Committee.
Note     •     History

(a) The Advisory Loan Insurance Committee (“Committee”) shall advise the Office regarding the borrower's financial capability to service the loan.
(b) The Committee shall be appointed by the Director of the Office and shall consist of nine members as follows:
(1) Seven shall be appointed from outside State Government.
(2) Two from inside State Government.
(c) The members of the Committee shall be qualified in the field of financial analysis of the operation of, capital outlay for, or construction of health facilities or in the health care professions or by experience in the management of non-profit health facilities eligible for insurance under the California Health Facility Construction Loan Insurance Law.
(d) The members shall file statements of economic interest in accordance with the provisions of the Office's conflict of interest code.
(e) No member may participate in any manner, including voting, in the decision of the Committee regarding a health facility in which such member has an economic interest.
(f) Members appointed from outside State Government shall be entitled to claim travel expenses equivalent to those of which state employees are entitled.
NOTE

Authority cited: Sections 436.3 and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Section 436.3, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
2. Amendment of section heading and subsections (a)-(c) filed 3-27-95; operative 4-26-95 (Register 95, No. 13).
§91550. Fee for the Performance of Feasibility Studies for Federal Loan Insurance Programs.
Note     •     History

(a) For the purposes of this section, “study” means a study of market need and feasibility for any federal mortgage insurance program for health-related facilities, including the HUD 242 loan insurance program.
(b) The administrative cost of commissioning a study is a fee of five thousandths of one per cent (.005%) of the principal amount of the loan applied for by the health-related facility applying for the study; except that the minimum fee is $1,000 and the maximum fee is $5,000.
(c) At the time of requesting a study, the applicant shall pay to the Office one-half (1/2) of the fee owed to the Office, calculated pursuant to subsection (b) above. This amount is non refundable.
(d) After the Office selects a consultant, and before the Office executes a contract with the consultant for the performance of the study, the applicant:
(1) shall pay to the Office the remaining one-half (1/2) of the fee owed to the Office calculated pursuant to subsection (b) above; and
(2) shall deposit with the Office an amount sufficient to reimburse the Office for the maximum cost of the study to be charged by the consultant, as set forth in the proposed contract for the performance of the study.
(e) After the consultant and the Office sign the contract for the study, no part of the fee paid to the Office to cover the administrative costs of the Office shall be refundable, even if the applicant cancels or terminates its request for the study prior to the completion of the study.
(f) If for any reason the study is not completed after the consultant and the Office sign the contract for the study, no part of the deposit for use by the Office to pay the consultant shall be refundable to the applicant until after the applicant requests the Office in writing to stop the study and the consultant agrees that no additional fees are owed to the consultant.
(g) If, after the study is completed, the final cost of the study by the consultant is less than the amount deposited by the applicant with the Office for that purpose, the Office shall refund the balance to the applicant.
NOTE

Authority cited: Sections 129015 and 127010, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 129048 and 129049, Health and Safety Code.
HISTORY

1. New section filed 3-19-2001; operative 4-18-2001 (Register 2001, No. 12).  
Article 3. California Health Facilities Construction Loan Insurance Program--State Plan [Repealed]
NOTE

Authority cited: Sections 436.3, 436.4, and 446.2, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 436.3 and 436.4, Health and Safety Code.
HISTORY

1. Repealer of Article 3 (Sections 91501-91511, not consecutive) and renumbering of Article 7 (Sections 91545 and 91547) to Article 3 (Sections 91545 and 91547) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51). For prior history, see Register 79, No. 25.
2. Amendment filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51).
3. Order of Repeal of Article 3 (Sections 91545 and 91547) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
Article 4. Defaults [Repealed]
NOTE

Authority cited: Sections 436.3 and 436.13, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer of Article 4 (Sections 91513-91531, not consecutive) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51). For prior history, see Register 79, No. 25.
Article 5. Termination of Insurance [Repealed]
NOTE

Authority cited: Sections 436.3 and 436.23, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer of Article 5 (Sections 91533-91537, not consecutive) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51). For prior history, see Register 79, No. 25.
Article 6. Health Facility Construction Loan Insurance Fund [Repealed]
NOTE

Authority cited: Sections 436.3 and 436.26, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Repealer of Article 6 (Sections 91539-91543, not consecutive) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51). For prior history, see Register 79, No. 25.
Article 7. California Health Facilities Construction Loan Insurance Program--State Plan [Repealed]
NOTE

Authority cited: Sections 436.3 and 436.4, Health and Safety Code. Reference: Sections 436.2 and 436.9, Health and Safety Code, Statutes of 1973.
HISTORY

1. Renumbering of Article 7 (Sections 91545 and 91547) to Article 3 (Sections 91545 and 91547) filed 12-18-81; effective thirtieth day thereafter (Register 81, No. 51). For prior history, see Register 79, No. 25.
Chapter 6. Health Workforce Pilot Project Program
Article 1. Definitions
§92001. Deputy Director.
Note     •     History

Deputy Director means the Deputy Director of the Healthcare Workforce and Community Development Division of the Office of Statewide Health Planning and Development.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. New Chapter 6 (Articles 1-7, Sections 92001-92604, not consecutive) filed 2-13-80; effective thirtieth day thereafter (Register 80, No. 7).
2. Repealer and new section filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
3. Change without regulatory effect amending chapter heading, section heading, section and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92002. Clinical Phase.
Note     •     History

“Clinical Phase” means instructor supervised experience with patient during which the trainee applies knowledge presented by an instructor.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Repealer and new section filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92003. Didactic Phase.
Note     •     History

“Didactic Phase” means an organized body of knowledge presented by an instructor.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Repealer and new section filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92004. Employment/Utilization Phase.
Note     •     History

“Employment/Utilization Phase” means ongoing application of didactic and clinical knowledge and skills in an employment setting under the supervision of the supervisor.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128155 and 128180, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92005. Employment/Utilization Site.
Note     •     History

“Employment/Utilization Site” means health facility or any clinical setting where health care services are provided.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128135 and 128180, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92006. Instructor.
Note     •     History

“Instructor” means a person certified or licensed in California to practice or teach the knowledge or skills, or both, the trainee is to learn.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92007. Program.
Note     •     History

“Program” means the Health Workforce Pilot Project Program administered by the Office of Statewide Health Planning and Development.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending section and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92008. Program Staff.
Note     •     History

“Program Staff” means the staff of the Office of Statewide Health Planning and Development with responsibility for the Health Workforce Pilot Projects.
NOTE

Authority cited: Sections 127010 and 128165, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128165, Health and Safety Code.
HISTORY

1. Repealer and new section filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending section and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92009. Project.
Note     •     History

“Project” means a Health Workforce Pilot Project approved by the Director.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Repealer and new section filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending section and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92010. Project Director.
Note     •     History

“Project Director” means the individual designated by the sponsor to have responsibilities for the conduct of the project staff, instructors, supervisors, and trainees.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Repealer and new section filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92011. Sponsor.
Note     •     History

“Sponsor” means a community hospital or clinic, nonprofit educational institution, or governmental agency engaged in health or educational activities.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128135, Health and Safety Code.
HISTORY

1. Repealer and new section filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending section filed 11-16-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 47).
3. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92012. Training Program.
Note     •     History

“Training Program” means an organized educational program that includes at least a didactic phase, clinical phase, and usually an employment/utilization phase. All or portions of the didactic and clinical phases may be concurrent.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Repealer and new section filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92013. Training Program. [Repealed]
Note     •     History

NOTE

Authority cited: Section 429.76, Health and Safety Code. Reference: Section 429.71, Health and Safety Code.
HISTORY

1. Repealer filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
Article 2. Minimum Standards
§92101. Minimum Standards.
Note     •     History

Each pilot project shall:
(a) Provide for patient safety.
(b) Provide qualified instructors to prepare trainees.
(c) Assure that trainees have achieved a minimal level of competence before they entered the employment/utilization phase.
(d) Inform trainees that there is no assurance of a future change in law or regulations to legalize their role.
(e) Demonstrate that the project has sufficient staff to monitor trainee performance and to monitor trainee supervision during the employment/utilization phase.
(f) Possess the potential for developing new or alternative roles for health care personnel or for developing a reallocation of health care tasks, which would improve the effectiveness of health care delivery systems.
(g) Demonstrate the feasibility of achieving the project objectives.
(h) Comply with the requirements of the Health Workforce Pilot Projects statute and regulations.
(i) Comply with at least one of the eligibility criteria provided in Sections 128130, 128135, and 128160 of Article 1, Chapter 3, Part 3, Division 107, of the Health and Safety Code.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128165, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending subsections (h) and (i) and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
Article 3. Application Procedure
§92201. Application Forms.
Note     •     History

(a) The application forms and a copy of the Health Workforce Pilot Project statute and regulations shall be obtained from program staff. The forms shall be filled out completely.
(b) The sponsor and project director shall certify in writing that they:
(1) Will not discriminate on the basis of age, sex, creed, disability, race, or ethnic origin.
(2) Will comply with the requirements of the Health Workforce Pilot Project statute and regulations.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending subsections (a) and (b)(2) and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92202. Application Instructions.
Note     •     History

The application instructions shall include, but not be limited to, the following:
(a) Number of copies of completed applications to be submitted to the program.
(b) Name, address and telephone number of person to whom the completed applications are to be submitted.
(c) The time period for submission, when applicable.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
Article 4. Content of Application
§92301. Abstract.
Note     •     History

An abstract shall be submitted with each application. This provides a brief description of the information included in the proposal's narrative.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92302. Purpose and Objectives.
Note     •     History

These brief statements describe:
(a) The purpose(s) of the project.
(b) The objectives to meet the purpose(s).
(c) The time plan for accomplishing the objectives.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92303. Background Information.
Note     •     History

Background information shall include, but not be limited to the following:
(a) Documentation of the need for this project.
(b) A description of the types of patients or clients likely to be seen or treated.
(c) A description of the skills trainees are to learn.
(d) An identification of existing laws or regulations, or both, that, in the absence of Health Workforce Pilot Project statute Section 128125, et seq., of the Health and Safety Code, would prevent the preparation and utilization of trainees as proposed in this project.
(e) A description of employment opportunities for trainees after the project terminates.
(f) An identification of other educational programs or groups conducting similar projects.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128155 and 128165, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending subsection (d) and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92304. Sponsor Information.
Note     •     History

Sponsor information shall include, but not be limited to the following:
(a) A description of the sponsor, including a copy of an organizational chart that identifies the project's relationship to the sponsor.
(b) A copy of a document verifying the sponsor's status as a community hospital or clinic, or non-profit educational institution.
(c) A description of functions of the project director, instructors and other project staff.
(d) A description of funding source(s) for the project.
(e) A description of sponsor's previous experience in preparing health care workers.
(f) A description of the composition and functions of an advisory group if one currently exists or will be developed to advise the project.
(g) An identification of collaborative arrangements with other educational institutions and/or health care facilities, or both.
(h) A description and location of facilities used in the didactic and clinical phases. This shall include the availability of support services such as library, equipment, etc.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128135 and 128155, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending subsection (b) and Note filed 11-16-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 47).
3. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92305. Participant Selection Information.
Note     •     History

Participant selection information shall include at least the following:
(a) Trainee Information.
(1) Criteria used to select trainees.
(2) Plan to inform trainees of their responsibilities and limitations under the Health Workforce Pilot Project statute and regulation.
(3) Number of proposed trainees.
(b) Supervisor Information.
(1) Criteria used to select supervisors.
(2) Plan to orient supervisors to their roles and responsibilities.
(3) Number of proposed supervisors.
(c) Employment/Utilization Site Information.
(1) Criteria used to select an employment/utilization site.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128155 and 128180, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending subsection (a)(2) and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92306. Curriculum.
Note     •     History

The curriculum plan shall include, but not be limited to the following:
(a) A description of the minimum level of competence the trainee shall achieve before entering the employment/utilization phase of the project.
(b) A description of the content required to meet this minimal competency.
(c) A description of the methodology utilized in the didactic and clinical phases.
(d) A description of the evaluation process used to determine when trainees have achieved the minimum level of competence.
(e) An identification in hours and months of the time required to complete the didactic and clinical phases.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128155 and 128180, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92307. Evaluation.
Note     •     History

The evaluation plan shall include, but not be limited to the following:
(a) A description of the baseline data and information collected about the availability or provision of health care delivery, or both, prior to utilization of trainee. The actual baseline data shall be collected and submitted in writing to the program within six (6) months after the project is initially approved.
(b) A description of baseline data and information to be collected about trainee performance, acceptance, and cost effectiveness.
(c) A description of the methodology to be used in collecting and analyzing the data about trainee performance, acceptance, and cost effectiveness.
(d) The data required in (b) and (c) shall be submitted in writing to the program at least annually or as requested by program staff.
(e) The evaluation plan shall include provision for reviewing and modifying the project's objectives and methodology at least annually. Results of this evaluation and project modification shall be reported to program staff in writing.
(f) The evaluation plan shall include provision for retaining for two (2) years after completion of the pilot project all raw data about trainees and the implementation of the project.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128155 and 128165, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92308. Monitoring.
Note     •     History

The monitoring plan shall include, but not be limited to the following:
(a) A description of the provisions for protecting patients' safety.
(b) A description of the methodology used by the project director and project staff to provide at least quarterly monitoring of the following:
(1) Trainee competency.
(2) Supervisor fulfillment of role and responsibilities.
(3) Employment/utilization site compliance with selection criteria.
(c) Acknowledgement that project staff or their designee shall visit each employment/utilization site at least semi-annually.
(d) The monitoring plan shall also identify a methodology for reporting information to program staff.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128155 and 128180, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92309. Informed Consent.
Note     •     History

The plan used to obtain prior informed consent from patients to be treated by trainees or those legally able to give informed consent for the patients shall be described. It shall include, but not be limited to the following:
(a) A description of the content of the informed consent.
(1) Explanation of the role and status of the trainee, including the ready availability of the trainee's supervisor for consultation.
(2) Assurance that the patient can refuse care from a trainee without penalty for such a request.
(3) Identification that consenting to treatment by a trainee does not constitute assumption of risk by the patient.
(b) Provision that the content of the informed consent, either written or oral, shall be provided in a language in which the patient is fluent.
(c) Documentation in the patient record that informed consent has been obtained prior to providing care to the patient.
(d) Provision for obtaining witnesses to informed consent. Written informed consent must be witnessed. Oral informed consent obtained by the trainee shall have a third party document in writing that he/she has witnessed the oral consent.
(e) Informed consent need be obtained only for those tasks, services, or functions to be provided as a pilot project trainee.
(f) A copy of the language of the informed consent shall be included in the application.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128150 and 128155, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92310. Costs.
Note     •     History

A plan for determining estimated or projected costs shall include, but not be limited to the following:
(a) An identification of the average cost of preparing a trainee. This shall include cost information related to instruction, instructional materials and equipment, space for conducting didactic and clinical phases, and other pertinent costs.
(b) An identification of the average cost per patient visit for similar care rendered by a current provider of care.
(c) An identification of predicted average cost per patient visit for the care rendered by a trainee.
(d) Specific information relative to these estimated or projected costs shall be provided to program staff at the time of annual renewal or as otherwise requested.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128155 and 128165, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92311. Trainee Information.
Note     •     History

A plan to provide information to program staff regarding trainees in the employment/utilization phase shall be described. It shall include, but not be limited to the following:
(a) Name, work address and telephone number of the trainee.
(b) Name, work address and telephone number and license number of the supervisor.
(c) This information shall be submitted in writing to program staff within five (5) days of the date trainee enters the employment/utilization phase.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128155 and 128180, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92312. Modifications.
Note     •     History

Any modifications or additions to an approved project shall be submitted in writing to program staff. Modifications include, but are not limited to the following:
(a) Changes in the scope or nature of the project.
(b) Changes in selection criteria for trainees, supervisors, or employment/utilization sites.
(c) Changes in project staff or instructors.
(1) This change will not require prior approval by program staff, but shall be reported to program staff within two (2) weeks after the change occurs.
(2) Curriculum vitae are required on all project staff and instructors.
(d) All other modifications require program staff approval prior to implementation.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92313. Legal Liability.
Note     •     History

Sponsors and other participants are advised to ascertain the legal liability they assume when participating in a pilot project.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128145 and 128155, Health and Safety Code.
HISTORY

1. Amendment of NOTE filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
Article 5. Application Review Process
§92401. Review Process for New Applications.
Note     •     History

The review process of a completed application shall include, but not be limited to the following:
(a) An initial review conducted by program staff to determine the appropriateness and completeness of the application.
(b) Review and comment by technical consultant(s) selected by program staff for review and comment within forty-five (45) calendar days from the date on which the application was distributed for review.
(c) Review and comment by appropriate Healing Arts Boards and professional associations within forty-five (45) calendar days from the date on which the application was distributed for review.
(d) An abstract of the application shall be made available to any interested party upon request.
(e) A complete application shall be available for review in program offices during normal working hours.
(f) A public meeting shall be scheduled on a date that is no sooner than forty-five (45) calendar days from the date on which the applications were distributed for review to discuss the application and comments of consultants, reviewers, healing arts boards, professional associations, and other interested parties with the applicant.
(g) Review for state agency applications shall be as noted in this section with the additional procedure of Section 128175 of the Health and Safety Code.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128135, 128155 and 128175, Health and Safety Code.
HISTORY

1. Amendment filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending subsection (g) and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92402. Review for State Agency Application. [Repealed]
Note     •     History

NOTE

Authority cited: Section 429.76, Health and Safety Code. Reference: Section 429.80, Health and Safety Code.
HISTORY

1. Repealer filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
Article 6. Project Approval
§92501. Initial Approval.
Note     •     History

(a) The Director has the exclusive authority to grant approval or deny approval to a pilot project applicant.
(b) Approval may be for one year or less or until the project is completed, whichever is sooner.
(c) The Director's decision shall be transmitted in writing to the applicant with copies to interested parties.
(d) A sponsor whose project has been denied may resubmit a modified application after a sixty (60) day waiting period.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128135, Health and Safety Code.
HISTORY

1. Repealer of Article 6 (Sections 92501-92504) and new Article 6 (Section 92501) filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
Article 7. Program Responsibilities
§92601. Records.
Note     •     History

The program shall maintain the following records:
(a) A copy of the application, related documents and evaluation data on all projects for a minimum of three (3) years after termination of a project. These shall be available for public review in the program office during regular working hours.
(b) A list of all trainees who are in the employment/utilization phase. This shall be updated at least semi-annually by the sponsors except as provided for in Section 92311(c).
(c) Information about project applications, approved projects and the status of trainees who are in the employment/utilization phase shall be provided to appropriate State regulatory bodies.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128155 and 128165, Health and Safety Code.
HISTORY

1. Repealer of Article 7 (Sections 92601-92604) and new Article 7 (Sections 92601-92604) filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92602. Project Evaluation.
Note     •     History

The evaluation of approved projects shall include, but not be limited to, the following:
(a) Written information shall be requested periodically by program staff to ascertain the progress of the project in meeting its stated objectives and in complying with program statutes and regulations. 
(b) Periodic site visits shall be conducted to project offices, locations, or both, where trainees are being prepared or utilized as noted in Section 128165.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128125 and 128165, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (b) and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92603. Site Visits.
Note     •     History

Site visits shall include at least the following:
(a) Determination that adequate patient safeguards are being utilized.
(b) Validation that the project is complying with the approved or amended application.
(c) Interviews with project participants and recipients of care.
(d) An interdisciplinary team composed of representatives of the healing arts boards, professional organizations, and other State regulatory bodies shall be invited to participate in a site visit. They will receive at least fourteen (14) calendar days written notice.
(e) Written notification of the date, purpose, and principal members of the site visit team shall be sent to the project director at least fourteen (14) calendar days prior to the date of the site visit.
(f) Plans to interview trainees, supervisors and patients or to review patient records shall be made in advance through the project director.
(g) Site visits by program staff may be scheduled, after consultation with the project sponsor or director, on less than twenty-four (24) hours notice when questions of patient or trainee safety necessitate.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128125 and 128165, Health and Safety Code.
HISTORY

1. Editorial correction of Reference cite (Register 95, No. 25).
2. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92604. Continuing Approval.
Note     •     History

(a) Continuing approval shall be contingent upon review of written information submitted by the project of the project's progress in meeting stated objectives and its compliance with plans described in the approval or amended application.
(b) Approval may be granted for periods of time up to one year as determined by the Director.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128155 and 128180, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
Article 8. Project Completion/Termination
§92701. Completion of Project.
Note     •     History

(a) An approved project shall indicate its intention in writing to discontinue its status as a Health Workforce Pilot Project.
(b) A closing report shall be submitted. This report shall include at least the following:
(1) The reasons for discontinuation as a pilot project.
(2) A summary of pilot project activities including the number of persons who entered the employment/utilization phase.
(3) A description of the plan to inform trainees of the project's discontinuation, and that they are precluded from performing the skills authorized under the pilot project after discontinuation unless the role has been legalized.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128155, Health and Safety Code.
HISTORY

1. New Article 8 (Sections 92701 and 92702) filed 7-29-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Change without regulatory effect amending subsection (a) and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
§92702. Termination of Project.
Note     •     History

A pilot project may be terminated during the term of approval in the following way:
(a) In the event of a general or non-critical failure to comply with the program's statute, regulations or conditions of the approved application, a written notice of intent to terminate, stating with specificity the reasons for the intended termination, shall be served on the project director and sponsor thirty (30) calendar days before the termination is to become effective.
(1) If a project director or sponsor desires to protest the termination, that director or sponsor shall, within seven (7) calendar days after service of notice of intent to terminate, serve upon the program, written notice requesting that an informal conference be scheduled to review the matter with the Deputy Director.
(2) The Deputy Director, or designee, shall hold, within fourteen (14) calendar days from the service of the request, an informal conference.
(A) The project director or sponsor shall have the right to be represented by legal counsel and to present oral or written evidence or other information in its behalf at the informal conference.
(B) The representatives of the program shall attend the conference and present evidence or information, oral or written, in substantiation of the recommended termination.
1. The conference shall be a simple, informal proceeding and shall not be conducted in the manner of a judicial hearing or as a hearing under the Administrative Procedure Act (Chapter 5, commencing with Section 11500 of Part 1 of Division 3 of the Government Code), and need not be conducted according to technical rules relating to evidence and witnesses.
2. Neither the project director, sponsor, nor the program, shall have the right to subpoena any witnesses to attend the conference, or to formally cross-examine any person testifying at the conference. However, the project director or sponsor and the program may present any witnesses on their behalf at the conference.
(C) Within three (3) calendar days of the conclusion of the informal conference the Deputy Director shall either recommend the termination or withdraw the notice of intent to terminate. The Deputy Director shall state the decision in writing and shall immediately transmit a copy of the decision to the project director or sponsor.
(D) If the project director or sponsor desires to contest the decision made after the informal conference, that director or sponsor shall serve written notice on the Deputy Director within seven (7) calendar days after service of the decision of the informal conference.
(E) If the project director or sponsor fails to notify the Deputy Director  of the intention to contest the decision of the informal conference within the specified time, the decision by the Deputy Director shall be deemed a final order of the Director and shall not be subject to further administrative review.
(F) Upon notifying the Deputy Director, in writing, of the intention to contest the decision of the informal conference the project director or sponsor shall, within seven (7) calendar days of the service of the decision of informal conference, serve upon the Director and the program a memorandum or brief which sets forth, with particularity, the specific grounds for contesting the decision and the support for these grounds.
(G) Within seven (7) calendar days of the service of the project director's or sponsor's memorandum or brief, the program may serve a memorandum or brief containing its arguments in support of the decision of the informal conference on the Director and the project director or sponsor.
(H) Within seven (7) calendar days from the service of the program's arguments, the project director or sponsor may serve a reply memorandum or brief containing its arguments to the program's position of the Director and the program. The project director or sponsor shall notify the Director in writing within seven (7) calendar days from the service of the program's memorandum or brief, if no reply will be filed.
(I) The Director shall, within seven (7) calendar days from the service of the project director's or sponsor's counter arguments, or within seven (7) calendar days from the service of the notice that no reply brief will be filed, render a decision to either terminate the project or to withdraw the notice of intent to terminate. The decision shall be in writing and shall state the reasons for the decision. The decision shall be immediately transmitted to the project director or sponsor. This decision shall be deemed a final order of the Director and shall not be subject to further administrative review.
(b) In the event of non-compliance with the program's statute, regulations, or conditions of the approved application, which constitute a threat to patient health or safety, project approval shall be immediately suspended. Notice of suspension, together with a notice of intent to terminate project approval, shall be provided the project director or sponsor. Notice of the suspension and of the intent to terminate may be given in writing and must state, with particularity, the reasons for the suspension and the intended termination; or notice may be given orally, but must be followed within seven (7) calendar days, by a written notice which states, with particularity, the reasons for the suspension and the intended termination. A threat to patient health or safety occurs when the physical or mental well-being of a patient is in jeopardy from continued performance by the pilot project trainee(s).
(1) If the project director or sponsor desires to protest the suspension or intended termination, that director or sponsor shall, within seven (7) calendar days after service of the written notice, serve upon the program written notice requesting that an informal conference be scheduled to review the matter with the Deputy Director.
(2) The Deputy Director, or designee, shall hold an informal conference within fourteen (14) calendar days after service of the project director's or sponsor's request.
(3) The conference and appeals procedure shall be identical to the procedure established in Subsections 92702(a)(2)(A) through (I) of Title 22, of the California Administrative Code, except that these provisions shall also apply:
(A) If the decision of the informal conference is that there is no basis for the termination of the project approval, the Deputy Director's written decision shall contain, in addition to the reasons for the decision, an order lifting the suspension of project approval and withdrawing the notice of intent to terminate project approval.
(B) If the decision of the Director is that there is no basis for the termination of project approval, the Director's written decision shall contain, in addition to the reasons for the decision, an order lifting the suspension of project approval and withdrawing the notice of intent to terminate project approval.
(C) If the project director or sponsor fails to protest, in writing, the suspension or the intended termination within seven (7) calendar days after service of the written notice of suspension or intended termination, the Deputy Director shall order the termination of the project approval and shall serve upon the director or sponsor a notice stating that project approval has been terminated and stating the reasons for the termination. The decision by the Deputy Director shall be deemed a final order of the Director and shall not be subject to further administrative review.
(D) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination on the merits provided. However, the temporary suspension shall be deemed vacated if the Director fails to make a final determination on the merits within seventy (70) days after the original hearing has been completed.
(c) All appropriate regulatory bodies shall be immediately informed in writing when procedure to terminate has been instituted by program staff.
(d) Program staff shall notify the project's trainees and trainee's supervising professional(s), in writing, of the suspension of the project and the outcome of any hearing relative to that suspension.
(e) Trainees are precluded from performing the skills authorized under the pilot project when a project is suspended or terminated.
NOTE

Authority cited: Sections 127010 and 128155, Health and Safety Code; and Section 11152, Government Code. Reference: Sections 128125, 128140 and 128155, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (b)(3) filed 9-23-83 (Register 83, No. 39).
2. Change without regulatory effect amending section and Note filed 2-28-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 9).
Chapter 7. Seismic Structural Safety Standards [Repealed]
HISTORY

1. Change without regulatory effect repealing chapter 7 (articles 1-16, sections 94001-94602) filed 4-8-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 15).
Chapter 8. Clinic Renovation (Construction) Grant and Loan Program [Repealed]
HISTORY

1. Change without regulatory effect repealing chapter 8 (articles 1-7, sections 95000-95260) filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
Chapter 9. Hospital Charges and Fair Pricing Policies Reporting
Article 1. Hospital Charge Description Master Reporting
§96000. Definitions.
Note     •     History

For the purposes of this article, the following definitions from California Health and Safety Code Section 1339.51 apply:
(a) “Charge description master” means a uniform schedule of charges represented by the hospital as its gross billed charge for a given service or item, regardless of payer type.
(b) “Hospital” means a hospital, as defined in subdivision (a), (b), or (f) of California Health and Safety Code Section 1250, that uses a charge description master.
(c) “Office” means the Office of Statewide Health Planning and Development.
NOTE

Authority cited: Section 11152, Government Code. Reference: Sections 1339.55 and 1339.56, Health and Safety Code.
HISTORY

1. Amendment of chapter 9 heading, repeal of article 1 heading and new section filed 3-23-2005; operative 4-22-2005 (Register 2005, No. 12). For prior history of chapter 9 (articles 1-3, sections 96000-96150), see Register 96, No. 17.
2. Repealer and new chapter 9 heading and new article 1 heading filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§96005. Charge Description Master Reporting.
Note     •     History

On July 1, 2005, and annually on July 1 thereafter, each hospital shall file with the Office a copy of the hospital's charge description master as of June 1 of the same calendar year in one of the following electronic file formats: Microsoft Excel (.xls) or Comma Separated Value (.csv). Hardcopy documents are not acceptable.
NOTE

Authority cited: Section 11152, Government Code. Reference: Section 1339.55, Health and Safety Code.
HISTORY

1. New section filed 3-23-2005; operative 4-22-2005 (Register 2005, No. 12). For prior history, see Register 96, No. 17.
§96010. List of Common Outpatient Procedures Reporting.
Note     •     History

On July 1, 2006, and annually on July 1 thereafter, each hospital shall file with the Office a list of its average charges for 25 common outpatient procedures as of June 1 of the same calendar year in one of the following electronic file formats: Microsoft Excel (.xls) or Comma Separated Value (.csv). Hardcopy documents are not acceptable.
NOTE

Authority cited: Section 11152, Government Code. Reference: Section 1339.56, Health and Safety Code.
HISTORY

1. New section filed 3-23-2005; operative 4-22-2005 (Register 2005, No. 12).
2. Amendment of section heading and section filed 5-8-2006; operative 5-8-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 19). 
§96015. Estimate of Revenue Increase Reporting.
Note     •     History

On July 1, 2006, and annually on July 1 thereafter, each hospital shall file with the Office an estimate of the percentage increase in the hospital's gross revenue due to any price increase for charges for patient services during the 12-month period beginning with the effective date of the previous charge description master filed with the Office. The estimate shall include the estimate calculation and supporting documentation in one of the following electronic file formats: Microsoft Excel (.xls) or Comma Separated Value (.csv). Hardcopy documents are not acceptable.
NOTE

Authority cited: Section 11152, Government Code. Reference: Section 1339.55, Health and Safety Code.
HISTORY

1. New section filed 3-23-2005; operative 4-22-2005 (Register 2005, No. 12).
§96020. Methods of Submission.
Note     •     History

Each hospital shall submit the documents required by Sections 96005, 96010, and 96015 together as attachments to one e-mail to the Office at chargemaster@oshpd.ca.gov. Alternatively, each hospital may submit the electronic files required by Sections 96005, 96010, and 96015 together on one Compact Disc (CD) by mail to: 

OFFICE OF STATEWIDE HEALTH PLANNING AND DEVELOPMENT, 
ACCOUNTING AND REPORTING SYSTEMS SECTION, 
818 K STREET, ROOM 400, 
SACRAMENTO, CA, 95814. 
Hardcopy documents are not acceptable.
NOTE

Authority cited: Section 11152, Government Code. Reference: Sections 1339.55 and 1339.56, Health and Safety Code.
HISTORY

1. New section filed 3-23-2005; operative 4-22-2005 (Register 2005, No. 12).
§96025. Request for Modifications to Requirements.
Note     •     History

To obtain modifications to the requirements specified for electronic file formats, effective date of the documents, submission date of the documents, or methods of submitting electronic files, hospitals shall file written requests for modification with the Office. Hospitals shall have an Office-approved modification prior to implementation of any change to the applicable requirements. Modification requests shall specify the precise changes being requested and the reason(s) the changes are needed. The Office shall either approve or disapprove requests for modification on a case-by-case basis.
NOTE

Authority cited: Section 11152, Government Code. Reference: Sections 1339.55 and 1339.56, Health and Safety Code.
HISTORY

1. New section filed 3-23-2005; operative 4-22-2005 (Register 2005, No. 12).
Article 2. Hospital Fair Pricing Policies Reporting
§96040. Definitions.
Note     •     History

For the purposes of this article, the following definitions apply:
(a) “Hospital” means any facility that is required to be licensed under subdivision (a), (b), or (f) of California Health and Safety Code Section 1250, except a facility operated by the State Department of Mental Health or the Department of Corrections.
(b) “Office” means the Office of Statewide Health Planning and Development.
(c) “Discount payment” means that part of the hospital's charges that a financially qualified patient is expected to pay in accordance with Health and Safety Code Sections 127405 (b) and 127405 (d). That portion of the hospital's charges for which payment is not expected from the patient due to the patient's inability to pay is accounted for and reported as partial charity care.
NOTE

Authority cited: Section 11152, Government Code; and Section 127435, Health and Safety Code. Reference: Sections 127400, 127405 and 127435, Health and Safety Code.
HISTORY

1. New article 2 (sections 96040-96050) and section filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§96041. Hospital Discount Payment and Charity Care Policies Reporting.
Note     •     History

Each hospital shall submit a copy of its discount payment policy, charity care policy, eligibility procedures for those policies, review process, and application form for charity care or discount payment programs to the Office. This information is due January 1, 2008, and biennially on January 1 thereafter. If a hospital makes no significant change to its discount payment policy, charity care policy, eligibility procedures for those policies, review process, or application form for charity care or discounted payment programs previously submitted to the Office, the hospital may notify the Office of the lack of change in accordance with Section 96046 instead of submitting the information. The significance of the change shall be evaluated from the perspective of the anticipated impact on the population intended to benefit from California Health and Safety Code Section 127435.
NOTE

Authority cited: Section 11152, Government Code; and Section 127435, Health and Safety Code. Reference: Sections 127405 and 127435, Health and Safety Code.
HISTORY

1. New section filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§96042. Electronic Reporting of Hospital Discount Payment and Charity Care Policies, Eligibility Procedures, and Review Process.
Note     •     History

Each hospital shall submit its discount payment policy, charity care policy, eligibility procedures for those policies, and review process to the Office as one electronic file in Microsoft Word (.doc). The electronic file must clearly identify the hospital's discount payment policy, charity care policy, eligibility procedures for those policies, and review process in separate, distinct sections of the file. Hardcopy documents are not acceptable.
NOTE

Authority cited: Section 11152, Government Code; and Section 127435, Health and Safety Code. Reference: Sections 127405 and 127435, Health and Safety Code.
HISTORY

1. New section filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§96043. Electronic Reporting of Hospital Application Form for Charity Care or Discount Payment Programs.
Note     •     History

Each hospital shall submit its application form for charity care or discounted payment programs to the Office as one electronic file in one of the following file types: Microsoft Word (.doc), or Portable Document Format (.pdf). Hardcopy documents are not acceptable.
NOTE

Authority cited: Section 11152, Government Code; and Section 127435, Health and Safety Code. Reference: Sections 127405 and 127435, Health and Safety Code.
HISTORY

1. New section filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§96044. Reporting Significant Changes to Hospital Discount Payment and Charity Care Policies.
Note     •     History

Whenever a hospital makes a significant change to its discount payment policy, charity care policy, eligibility procedures for those policies, or review process, the hospital must submit a complete copy of the entire discount payment policy, charity care policy, eligibility procedures for those policies, and review process to the Office in accordance with Sections 96042 and 96046. The significance of the change shall be evaluated from the perspective of the anticipated impact on the population intended to benefit from California Health and Safety Code Section 127435.
NOTE

Authority cited: Section 11152, Government Code; and Section 127435, Health and Safety Code. Reference: Sections 127405 and 127435, Health and Safety Code.
HISTORY

1. New section filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§96045. Reporting Significant Changes to Hospital Charity Care or Discount Payment Programs Application Forms.
Note     •     History

Whenever a hospital makes a significant change to its application form for charity care or discount payment programs, the hospital must submit a complete copy of the entire application form for charity care or discount payment programs to the Office in accordance with Sections 96043 and 96046. The significance of the change shall be evaluated from the perspective of the anticipated impact on the population intended to benefit from California Health and Safety Code Section 127435.
NOTE

Authority cited: Section 11152, Government Code; and Section 127435, Health and Safety Code. Reference: Sections 127405 and 127435, Health and Safety Code.
HISTORY

1. New section filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§96046. Method of Submission of Fair Pricing Documents and Notifications.
Note     •     History

Each hospital shall submit its discount payment policy, charity care policy, eligibility procedures for those policies, review process, and application form for charity care or discount payment programs as electronic files identified in Sections 96042 and 96043 using the Office's internet System for Fair Price Hospital Reporting located on the Office's web site at: https://syfphr.oshpd.ca.gov/. Hospitals shall use a Microsoft Internet Explorer web browser that supports a secure internet connection utilizing the Secure Hypertext Transfer Protocol (HTTPS or https) and 128-bit cypher strength Secure Socket Layer (SSL) to utilize the Office's internet System for Fair Price Hospital Reporting.
If there are no significant changes to a hospital's discount payment policy, charity care policy, eligibility procedures for those policies, review process, or application form for charity care or discounted payment programs previously submitted to the Office and the hospital chooses to notify the Office of the lack of changes to the information, the hospital shall use the Office's internet System for Fair Price Hospital Reporting to notify the Office of the lack of changes.
NOTE

Authority cited: Section 11152, Government Code; and Section 127435, Health and Safety Code. Reference: Sections 127405 and 127435, Health and Safety Code.
HISTORY

1. New section filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§96050. Request for Modifications to Requirements.
Note     •     History

To obtain modifications for electronic file types or method of submitting electronic files or notifications, hospitals shall file written requests for modification with the Office. Hospitals shall have an Office-approved modification prior to implementation of any change to the applicable requirements. Modification requests shall specify the precise changes being requested and the reason(s) the changes are needed. The Office shall either approve or disapprove requests for modification on a case-by-case basis.
NOTE

Authority cited: Section 11152, Government Code; and Section 127435, Health and Safety Code. Reference: Sections 127405 and 127435, Health and Safety Code.
HISTORY

1. New section filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
Chapter 10. Health Facility Data
Article 1. General
§97003. Accounting System Requirements.
Note     •     History

(a) The hospital accounting system prescribed by this Chapter shall be used by all hospitals licensed pursuant to Chapter 2 (commencing with Section 1250) of Division 2, Health and Safety Code.
(b) The  long-term care facility accounting system prescribed by this Chapter shall be used by all skilled nursing facilities,  intermediate care facilities, intermediate care facilities/developmentally disabled, and congregate living health facilities licensed pursuant to Chapter 2 (commencing with Section 1250) of Division 2, Health and Safety Code.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128760, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former title 4, chapter 10 (sections 7003, 7005, 7007 and 7008) to title 22,  division 7 (sections 97003, 97005, 97007 and 97008) filed 11-5-85; designated effective 1-1-86 (Register 85, No. 45). For prior history, see Register 83, No. 16.
2. Amendment of subsection (b) filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
3. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97005. Definitions.
Note     •     History

As used in this Chapter:
(a) “Act” means the Health Data and Advisory Council Consolidation Act set forth in Chapter 1, Part 5 of Division 107 (commencing with Section 128675) of the Health and Safety Code.
(b) “Unrestricted funds” means funds which bear no external restrictions as to use or purpose: i.e., funds which can be used for any legitimate purpose designated by the governing board as distinguished from funds restricted externally.
(c) “Restricted funds” means funds restricted by donors or grantors for specific purposes. The term refers to plant replacement and expansion, specific purpose and endowment funds.
(d) “Long-term care facility” and “long-term care facilities” mean all skilled nursing facilities, intermediate care facilities, intermediate care facilities/developmentally disabled, and congregate living heath facilities licensed pursuant to Chapter 2 (commencing with Section 1250) of Division 2, Heath and Safety Code.
(e) “Preponderance” means 51 percent or more of gross in-patient revenue. This definition also applies to Section 128760 of the Health and Safety Code.
(f) “Director” means the Director of the Office of Statewide Health Planning and Development.
(g)  “Health facility” or “health facilities” means all health facilities required to be licensed pursuant to Chapter 2 (commencing with Section 1250) of Division 2 of the Health and Safety Code.
(h) “Health facility gross operating cost for the provision of health care services” (Section 127280(a), Health and Safety Code) means total patient-related operating expenses as reported to the Office for the fiscal years ending on or before June 30 of the previous calendar year on:
(1) Hospital disclosure report CHC 7041 d-1, column 1, line 200, for hospitals, and
(2) Long-term care facility disclosure report CHFC 7041 d-1, column 1, line 200, for long-term care facilities.
(i) “New health facility” means any health facility beginning or resuming operations for the first time within a 12-month period.
(j)  Disclosure reports, extension requests, appeal petitions, and other items are deemed to have been “filed” or “submitted” with the Office:
(1) as of the date they are postmarked by the United States Postal Service if properly addressed and postage prepaid;
(2) as of the date they are dated by a commercial carrier if properly addressed and delivery fee prepaid;
(3) when received by the Office via FAX machine or other electronic device;
(4) when received by the Office via hand delivery; or
(5) when otherwise received by the Office.
(k) “Hospital accounting manual,” “manual for hospitals” and “hospital manual” mean the “Accounting & Reporting Manual for California Hospitals” published by the Office and more particularly described by Section 97018 of this Chapter.
(l) “Long-term care manual,”  “manual for long-term care facilities,” and “LTC manual” mean the “Accounting and Reporting Manual for California Long-term Care Facilities” published by the Office and more particularly described by Section 97019 of this Chapter.
(m) “Owner” means any individual or organization having a five percent or more equity interest, direct or indirect, in the entity licensed as a health facility.
(n) “Office” and “OSHPD” mean the Office of Statewide Health Planning and Development.
(o) “Licensee” means the person, firm, partnership, association, corporation, political subdivision of the state, or other governmental agency within the state licensed to operate a health facility.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128700, 128730, 128735, 128736, 128737, 128738, 128740, 128745, 128748, 128750, 128755, 128760, 128765, 128766, 128770, 128775, 128782 and 128785, Health and Safety Code.
HISTORY

1. Change without regulatory effect of subsection (h) filed 11-28-88 (Register 88, No. 51).
2. Amendment section and Note filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
3. Editorial correction of printing error in subsection (k) (Register 93, No. 51).
4. Amendment of subsection (h)(2) filed 9-7-95; operative 10-7-95 (Register 95, No. 36).
5. Change without regulatory effect amending subsections (a), (e) and (h) and amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
6. Change without regulatory effect amending subsection (a), repealing subsection (o), relettering subsections and amending Note filed 10-25-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 43).
§97007. Notice of Change in Health Facility Fiscal Year, Licensure, Name, Address, or Closure.
Note     •     History

(a) Each license of a health facility shall notify the Office in writing whenever the health facility fiscal year is changed. Notification shall be made within 30 days of such action by the health facility. The notice shall include the health facility name, street address, and both old and new fiscal year ending dates.
(b) Each licensee of a health facility shall notify the Office in writing within 30 days of the effective date of any change of licensee of the health facility. Such notice shall include the following, as applicable: the old and new names of the health facility, the names of the former and new licensees, permanent or forwarding street and mailing addresses of the former and new licensees, old and new telephone numbers of the health facility, the telephone number of the former licensee if available to the new licensee, the telephone number of the new licensee, the names of the owners having a five percent or more interest in the health facility, the names of the chair and members of the governing body, and the name of the individual in charge of the day-to-day operation of the health facility.
(c) Each licensee of a  health facility shall notify the Office in writing within 30 days of any change in the name, or telephone number. or street and mailing addresses of the health facility. Such notice shall include the old and new names of the health facility and/or the old and new street and mailing addresses of the health facility, and old and new telephone numbers.
(d) Each licensee of a health facility shall notify the Office in writing within 30 days of any change in the owners having a five percent or more interest in the health facility, in the chair and members of the governing body, and in the individual in charge of the day-to-day operation of the health facility.
(e) Each licensee of a health facility shall notify the Office in writing within 30 days of the facility's closure. Such notice shall include the last date patient care was provided, the final date of licensure, the street and mailing address of the health facility, the permanent or forwarding mailing address of the health facility licensee, the telephone number of the health facility licensee.
(f)  Each licensee of a hospital shall notify the Office in writing within 30 days of the date the license is placed in  suspense. Such notice shall include the last date patient care was provided, the date the license was placed in suspense, the street and mailing address of the health facility, the permanent or forwarding mailing address of the health facility licensee, and the telephone number of the health facility licensee.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 127280, 128735, 128740, 128755 and 128760, Health and Safety Code.
HISTORY

1. Amendment filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
3. Editorial correction of printing error in subsections (b) and  (f)  (Register 93, No. 51).
4. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97008. Notice of New Health Facility Operations.
Note     •     History

Each licensee of a health facility beginning operations, whether in a newly constructed facility or in an existing facility, pursuant to a new license or a license previously in suspense, shall provide the Office the following information in writing within seven days after the effective date of the license: name of health facility, name of licensee, street and mailing addresses of the health facility and the licensee, telephone numbers of the health facility and the licensee including area codes, fiscal year ending date, date when first patients are expected to be admitted, names of the owners having a five percent or more interest in the health facility, names of the chair and members of the governing body, and name of the individual in charge of the day-to-day operation of the health facility.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 127280, 128735, 128740, 128755 and 128760, Health and Safety Code.
HISTORY

1. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
2. Editorial correction of printing error  (Register 93, No. 51).
3. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
Article 2. Accounting System Requirements
§97015. Chart of Accounts.
Note     •     History

(a) All hospitals shall use in their books of account the Chart of Accounts set forth in the “Accounting and Reporting Manual for California Hospitals,” as specified by section 97018, except as provided herein. If individual requirements for information make further breakdown of an account necessary, hospitals may use subaccounts provided they can be combined into the prescribed account framework for reporting purposes.
(b) All long-term care facilities shall use in their books of account the Chart of Accounts set forth in the “Accounting and Reporting Manual for California Long-term Care Facilities” as specified by Section 97019, except as provided herein. If individual requirements for information make further breakdown of an account necessary, long-term care facilities may use subaccounts provided they can be combined into the prescribed account framework for reporting purposes.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128760, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former title 4, chapter 10 (sections 7015-7019) to title 22, division 7 (sections 97015-97019) filed 11-5-85; designated effective 1-1-86 (Register 85, No. 45). For prior history, see Register 83, No. 16.
2. Amendment filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
3. Amendment of subsection (b) filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
4. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97016. Accrual Accounting.
Note     •     History

A full accrual basis of accounting for revenue and expenses is required for all health facilities. Revenues shall be given recognition in the period during which the service is provided. Except as may be provided in the long-term care manual prescribed by Section 97019, patient revenue shall be recorded at the full established rates regardless of the amounts actually paid to the health facility by or on behalf of the patients. Revenue deductions in all health facilities shall be given accounting recognition in the same period that the related revenues are recorded. Health facility expenses shall be given recognition in the period in which there is (1) a direct identification or association with the revenue of the period, as in the case of services rendered to patients; (2) an indirect association with revenue of the period, as in the case of salaries or rent; or (3) a measurable expiration of asset costs even though not associated with the production of revenue for the current period, as in the case of losses from fire.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128760, Health and Safety Code.
HISTORY

1. Amendment filed 4-16-92; operative 5-18-92 (Register 92, No. 18).
2. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97017. Special Accounting Requirements and Account Codes.
Note     •     History

(a) Health facilities shall segregate accounts between unrestricted funds and restricted funds. Within the restricted fund classification shall be such funds as specific purpose funds, endowment funds, plant replacement and expansion funds, and other special purpose funds.
(b) All hospitals shall use in their books and records the account coding structure specified in the “Accounting and Reporting Manual for California Hospitals” as specified by Section 97018.
(c) All long-term care facilities shall use in their books and records the account coding structure specified in the “Accounting and Reporting Manual for California Long-term Care Facilities,” as specified by Section 97019.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128760, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) filed 4-16-92; operative 5-18-92 (Register 92, No. 18).
2. Amendment of subsection (b) filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
3. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97018. Accounting and Reporting Manual for California Hospitals.
Note     •     History

(a) To assure uniformity of accounting and reporting procedures among California hospitals, the Office shall publish an “Accounting and Reporting Manual for California Hospitals,” which shall be supplemental to the system adopted by this Chapter.  The “Accounting and Reporting Manual for California Hospitals,” as amended March 10, 2009, shall not be published in full in the California Code of Regulations, but is hereby incorporated by reference.  All hospitals must comply with systems and procedures detailed in the hospital manual. Copies of the “Accounting and Reporting Manual for California Hospitals” may be obtained from the Office at 400 R Street, Suite 250, Sacramento CA 95811. The Office shall provide each new hospital with a copy of the hospital manual. The hospital manual published by the Office shall be the official and binding interpretations of accounting and reporting treatment within the hospital accounting and reporting system.
(b) Requests for modifications to the accounting and reporting systems as set forth by the hospital manual shall be filed as provided under Section 97050.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128760, Health and Safety Code.
HISTORY

1. Amendment of sections 2210.1, 2220.1, 2410.1 and 4020 of the “Accounting and Reporting Manual for California Hospitals” filed 8-7-86; effective thirtieth day thereafter (Register 86, No. 34).
2. Amendment of subsection (a) and “Accounting and Reporting Manual for California Hospitals,” section 2420.2 (7140, 7150 and 7160), and editorial correction of subsections (b) and (c) filed 5-23-88; operative 6-22-88 (Register 88, No. 22).
3. Amendment filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
4. Editorial correction of subsection (a) and NOTE (Register 91, No. 30).
5. Amendment of subsection (a) and Accounting and Reporting Manual for California Hospitals -- First Edition filed 8-6-92; operative 9-7-92 (Register 92, No. 32).
6. Amendment of subsection (a) and Accounting and Reporting Manual for California Hospitals -- Second Edition filed 8-6-92; operative 9-7-92 (Register 92, No. 32).
7. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
8. Amendment of section and Accounting and Reporting for California Hospitals -- Second Edition filed 9-28-93; operative 10-28-93 (Register 93, No. 40).
9. Editorial correction filed 9-28-94 (Register 94, No. 39).
10. Amendment of subsection (a) and Accounting and Reporting Manual for California Hospitals -- Second Edition filed 9-29-94; operative 10-31-94 (Register 94, No. 39).
11. Amendment of subsection (a) and Accounting and Reporting Manual for California Hospitals -- Second Edition filed 3-1-95; operative 3-31-95 (Register 95, No. 9).
12. Amendment of subsection (a) and Accounting and Reporting Manual for California Hospitals--Second Edition filed 9-27-95; operative 10-27-95 (Register 95, No. 39).
13. Amendment of subsection (a) and Accounting and Reporting Manual for California Hospitals--Second Edition filed 11-5-96; operative 12-5-96 (Register 96, No. 45).
14. Editorial correction (Register 96, No. 50).
15. Editorial correction (Register 97, No. 19).
16. Amendment of subsection (a) and Note filed 9-22-98; operative 10-22-98 (Register 98, No. 39).
17. Amendment of subsection (a) and the Accounting and Reporting Manual for California Hospitals (incorporated by reference) filed 3-20-2000; operative 4-19-2000. Submitted to OAL for printing only (Register 2000, No. 12).  
18. Amendment of the Accounting and Reporting Manual for California Hospitals (incorporated by reference) and amendment of section filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
19. Amendment of subsection (a) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97019. Accounting and Reporting Manual for California Long-Term Care Facilities.
Note     •     History

(a) To assure uniformity of accounting and reporting procedures among long-term care facilities, the Office shall publish an “Accounting and Reporting Manual for California Long-term Care Facilities,” which will be supplemental to the system adopted by this Chapter. The “Accounting and Reporting Manual for California Long-term Care Facilities,” Second Edition (Manual) as amended October 2012, shall not be published in full in the California Code of Regulations, but is hereby incorporated by reference. All long-term care facilities must comply with the systems and procedures detailed in the Manual. Copies of  the Manual may be obtained from the Office at 400 R Street, Suite 250, Sacramento, CA 95811. The Office shall provide each new long-term care facility with a copy of the “Accounting and Reporting Manual for California Long-term Care Facilities.” The Manual published by the Office shall be the official and binding interpretations of accounting and reporting treatment within the long-term care facility accounting and reporting system.
(b) Requests for modifications to the accounting and reporting systems as set forth by the Manual shall be filed as provided under Section 97050.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128760, Health and Safety Code.
HISTORY

1. Amendment of sections 2012, 2230 and 3230 of the “Accounting and Reporting Manual for California Long-Term Care Facilities” filed 7-28-86; effective thirtieth day thereafter (Register 86, No. 31).
2. Amendment of sections 1050, 1110, 2210.1, 2220.1, 3210.1 and 3220.1 of the “Accounting and Reporting Manual for California Long-Term Care Facilities” filed 8-7-86; effective thirtieth day thereafter (Register 86, No. 34).
3. Amendment of subsections (a) and (c) and sections 1050, 1110, 2210.1, 2210.2, 2220.1, 2220.4, 3210.1, 3210.2, 3220.1 and 3220.4 of the “Accounting and Reporting Manual for California Long-Term Care Facilities” filed 11-15-88; operative 12-15-88 (Register 88, No. 47).
4. Amendment of subsections (a) and (c) filed 4-16-92; operative 5-18-92 (Register 92, No. 18).
5. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
6. Editorial correction of printing errors (Register 93, No. 51).
7. Amendment of subsection (a) and Accounting and Reporting Manual for California Long-term Care Facilities -- Second Edition filed 9-29-94; operative 10-31-94 (Register 94, No. 39).
8. Amendment of subsection (a) and Accounting and Reporting Manual for California Long-Term Care Facilities -- Second Edition filed 3-1-95; operative 3-31-95 (Register 95, No. 9).
9. Amendment of subsection (a) and Accounting and Reporting Manual for California Long-term Care Facilities -- Second Edition (incorporated by reference) filed 9-7-95; operative 10-7-95 (Register 95, No. 36).
10. Amendment of subsection (a) and Accounting and Reporting Manual for California Long-Term Care Facilities--Second Edition (incorporated by reference) filed 7-22-96 as an emergency; operative 7-22-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-96 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (a) and Accounting and Reporting Manual for California Long-Term Care Facilities--Second Edition (incorporated by reference) filed 12-2-96 as an emergency; operative 12-2-96 (Register 96, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-1-97 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsection (a) and Accounting and Reporting Manual for California Long-Term Care Facilities--Second Edition (incorporated by reference) filed 12-11-96; operative 1-10-97 (Register 96, No. 50).
13. Editorial correction of History 10 (Register 96, No. 51).
14. Certificate of Compliance as to 7-22-96 order transmitted to OAL 11-4-96 and filed 12-17-96 (Register 96, No. 51).
15. Certificate of Compliance as to 12-2-96 order transmitted to OAL 3-27-97 and filed 5-8-97 (Register 97, No. 19).
16. Amendment filed 10-1-98; operative 10-31-98 (Register 98, No. 40).
17. Amendment of subsection (a) filed 11-17-99; operative 12-17-99 (Register 99, No. 47).
18. Change without regulatory effect amending subsection (a) filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
19. Amendment of subsection (a) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
20. Change without regulatory effect amending subsection (a) filed 10-25-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 43).
§97020. Delayed Implementation of LTC Accounting Manual Second Edition. [Repealed]
Note     •     History

NOTE

Authority cited: Section 443.45, Health and Safety Code. Reference: Section 443.34, Health and Safety Code.
HISTORY

1. New section filed 4-16-92; operative 5-18-92 (Register 92, No. 18).
2. Editorial correction of printing error in Note (Register 93, No. 51).
3. Repealer filed 10-1-98; operative 10-31-98 (Register 98, No. 40).
§97030. Failure to Meet Accounting Requirements.
Note     •     History

(a) If the Office determines either by routine desk audit, on-site audit, or other means that a health facility is not substantially using on a day-to-day basis in its books and records the system of accounting prescribed by this Article, considering all modifications granted by the Office pursuant to Section 97050 and the special accounting provisions provided to health facilities by this Chapter and the Act, then the health facility shall be considered to be out of compliance with the prescribed system of accounting. If such a determination is made, the Office shall begin the following process:
(1) The Office shall notify the licensee at the mailing address of the health facility of the determination of noncompliance and the licensee shall have 90 days in which to file the following in writing with the Office:
(A) A copy of the health facility's current Chart of Accounts with account codes and titles certified by an official of the facility that it is the Chart of Accounts that is used on a day-to-day basis by the health facility and
(B) A detailed plan of action for the health facility to come into full compliance with the Office`s specified system of accounting, including the planned date of implementation.
(2) The Office shall have 30 days from receipt of the Chart of Accounts and the plan of action required in (a)(1)(A) and (B) of this Section in which to review and respond in writing to the licensee regarding acceptance or rejection of the filed Chart of Accounts and plan of action.
(3) If the proposed plan of action is not approved by the Office, then the licensee shall be notified at the mailing address of the health facility that the licensee has a maximum of 30 days in which to file a revised plan of action.
(4) The Office shall have 30 days from receipt of the revised plan of action in which to review and respond in writing to the licensee regarding the revised plan's approval. With approval, the Office shall include a modification consistent with the approved plan of action.
(5) If the licensee fails to meet either of the deadlines established in (a)(1) or (a)(3), then the licensee shall be liable for a civil penalty, to be assessed and recovered in a civil action brought in the name of the people of the State of California by the Office, of one hundred dollars ($100) a day for each day either deadline is missed. For each determination of non-compliance described in this subsection, the total amount the health facility can be penalized is not to exceed five thousand dollars ($5,000). Within fifteen days after a penalty begins to accrue, the Office shall notify the licensee at the mailing address of the health facility of the penalty accrual and potential liability. The notification will include the licensee's right to appeal the penalty pursuant to Section 97052.
(b) After a health facility has been determined to be non-compliant and has failed to develop an approved plan of action to implement the prescribed system of accounting, the health facility shall be liable for a penalty of five thousand ($5,000) each time the health facility files a report pursuant to either Section 128735(a) through (e) or Section 128740 of the Health and Safety Code. Within fifteen days after each penalty is determined, the Office shall notify the licensee at the mailing address of the health facility of the potential liability. The notification will include the licensee's right to appeal the penalty pursuant to Section 97052.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128735, 128740, 128760 and 128770, Health and Safety Code.
HISTORY

1. New section filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
2. Change without regulatory effect amending subsection (b) and Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
Article 3. Reporting Requirements
§97040. Required Annual Reports.
Note     •     History

(a) The licensee of each health facility, shall submit the following reports, except as provided in Section 97044, to the Office within four months after the end of each reporting period:
(1) A balance sheet for the unrestricted (general) funds.
(2) A balance sheet for the restricted funds.
(3) A statement of changes in equity (fund balances) for both unrestricted and restricted funds.
(4) A statement of income and expense.
(5) A statement of cash flows for the unrestricted funds.
(6) A cost finding report.
(7) A detailed statistical report.
(8) That data required for Medi-Cal cost reimbursement pursuant to Section 14170 of the Welfare and Institutions Code (skilled nursing, intermediate care and congregate living health facilities only).
(9) A statement detailing patient revenue by payor and revenue center except, that hospitals authorized to report as a group pursuant to subdivision (d) of section 128760 of the Health and Safety Code are not required to report by revenue center.
(10) And such other reports and worksheets as the Office enacts through the regulation process to constitute accurate and sufficiently detailed statistical reports and to enable proper completion of the above reports as set forth in the Office's “Accounting and Reporting Manual for California Hospitals,” as specified in Section 97018, and the Office's “Accounting and Reporting Manual for California Long-Term Care Facilities,” as specified in Section 97019.
(b) A reporting period ends:
(1) at the close of the health facility's annual accounting period (fiscal year),
(2) on the last day of patient care when the health facility  no longer accepts patients,
(3) on the last day of patient care at the old facility when the health facility closes to relocate to a new facility, 
(4) on the last day of licensure of the entity relinquishing the license when there is a change in licensee, or
(5) on the last day of patient care when the license is placed in suspense.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128735 and 128740, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former title 4, chapter 10 (sections 7040-7045) to title 22, division 7 (sections 97040-97045) filed 11-5-85; designated effective 1-1-86 (Register 85, No. 45). For prior history, see Register 83, No. 16.
2. Amendment filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
3. Editorial correction of printing error in subsections (a), (b)(3) and (4) (Register 91, No. 32).
4. Amendment of subsections (a)(1), (a)(3) and (a)(10) filed 4-16-92; operative 5-18-92 (Register 92, No. 18).
5. Amendment of section and Note filed 9-7-93; operative 10-6-93 (Register  93, No. 37).
6. Editorial correction of printing errors in subsections (a), (a)(8) and (a)(10)  (Register 93, No. 51).
7. Change without regulatory effect amending subsection (a)(9) and Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97041. Report Procedure.
Note     •     History

(a) Health facilities shall report to the Office on forms or other media prescribed by the Office.
(1) Health facilities shall file the annual reports required by subsections (a) through (e) of Section 128735, Health and Safety Code, with the Office in a standard electronic format as approved by the Office pursuant to subsection (4). Health facilities may file requests for modifications to this reporting requirement, as provided under Section 97050, where meeting this requirement would not be cost-effective for the facility.
(2) Hospitals shall file the quarterly reports required by Section 128740, Health and Safety Code, with the Office in a standard electronic format using the Internet Hospital Quarterly Reporting System available on Office's internet web site at: www.oshpd.state.ca.us/ihqrs. Hospitals must have internet access and use Microsoft Internet Explorer version 5.0 to use the Internet Hospital Quarterly Reporting System. Hospitals may file requests for modifications to this reporting requirement, as provided under Section 97050, where meeting this requirement would not be cost-effective for the hospital.
(3) To meet the requirement of subsection (1), health facilities shall use a program approved pursuant to subsection (4), which can be either a third-party program or their own program. Health facilities intending to use a third-party program are not required to notify the Office of that intent. The Office shall notify all health facilities and third parties with Office-approved electronic reporting programs of any change in the electronic reporting requirements. The Office shall maintain and make available a list of all programs approved pursuant to subsection (4).
(4) Programs to be used for filing reports in a standard electronic format pursuant to subsection (1) must be approved by the Office in advance and must meet the Office's specifications for electronic reporting, including dial-up via personal computer and personal computer diskettes. To be approved, electronic reporting programs must be able to apply Office-specified edits to the data being reported and must be able to produce a standardized output file that meets the Office's specified electronic formats. Specifications for submitting hospital annual reports in a standard electronic format shall be provided by the Office upon request and shall include file and record formats, editing criteria, and test case requirements, as published by the Office in the July 2002 issue of “Instructions and Specifications for Developing Approved Software to Submit the California Hospital Annual Disclosure Report on Personal Computer Diskette,” and herein incorporated by reference in its entirety. Specifications for submitting LTC facility annual reports in a standard electronic format shall be provided by the Office upon request and shall include file and record formats, editing criteria, and test case requirements, as published by the Office in the November 2001 issue of “Instructions and Specifications for Developing Approved Software to Submit the California Long-term Care Facility Integrated Disclosure & Medi-Cal Cost Report on Personal Computer (PC) Diskette,” and herein incorporated by reference in its entirety. To obtain approval for an electronic reporting program, a request, together with the Office's specified test case and a signed statement certifying that the program includes all Office-specified edits, must be filed with the Office at 400 R Street, Suite 250, Sacramento, CA 95811, at least 90 days prior to the end of the reporting period to which the program applies. The Office shall review the test case and respond within 60 days by either approving or disapproving the request. The Office may limit the approval of the electronic reporting program to a specified period of time or reporting period(s). If disapproved, the Office shall set forth the basis for a denial. The Office may seek additional information from the requestor in evaluating the request. Changes to the Office's electronic reporting specifications may require the programs used for filing reports in a standard electronic format to be re-approved.
(b) The Office shall develop forms and instructions related to their use, and related specifications for filing reports in an electronic format, and make such administrative revisions to the above items as may be necessary to assure uniform and appropriate reporting.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections  128680, 128730, 128735 and 128740, Health and Safety Code.
HISTORY

1. New subsections (a)(1)-(4) and amendment of subsection (b) filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
2. Amendment of subsection (a)(4) filed 9-29-94; operative 10-31-94 (Register 94, No. 39).
3. Amendment of subsections (a)(1), (a)(2) and (a)(4) and amendment of Note filed 9-22-98; operative 10-22-98 (Register 98, No. 39).
4. Amendment of subsections (a)(2) and (a)(4) filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
5. Change without regulatory effect amending subsection (a)(4) filed 10-25-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 43).
§97042. Comparative Reports.
Note     •     History

Each health facility, except for new health facilities, shall include prior year comparative figures when reporting balance sheet-unrestricted funds, balance sheet-restricted funds, statement of cash flows-unrestricted funds, and statement of income and expense.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code.
HISTORY

1. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
2. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97043. Form of Authentication.
Note     •     History

Each health facility report as specified by Sections 128735(a) through (e) and Section 128740 of the Health and Safety Code will be accompanied by a statement of authentication signed by a duly authorized official of the health facility that certifies under penalty of perjury that, as applicable, the Office of Statewide Health Planning and Development's accounting and reporting system as set forth in either the Office's “Accounting and Reporting Manual for California Hospitals” or “Accounting and Reporting Manual for California Long-term Care Facilities” has been implemented by the health facility; that the data in the accompanying report are based on the appropriate system; and that to the best of the official's knowledge and information, each statement and amount in the accompanying report is believed to be true and correct.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128735, 128740 and 128760, Health and Safety Code;  and Section 14107.4, Welfare and Institutions Code.
HISTORY

1. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
2. Editorial correction of printing error (Register 93, No. 51).
3. Change without regulatory effect amending section and Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97044. Exceptions to Required Reports.
Note     •     History

County hospitals and State health facilities not operating under an enterprise system of accounting are not required to submit balance sheet statements, statement of changes in equity, or a statement of cash flows. However, all County and State health facilities are encouraged to move toward full compliance with all regulatory reporting requirements.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code.
HISTORY

1. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
2. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97045. Failure to File Required Reports.
Note     •     History

Any health facility which does not file with the Office any report completed as required by this Article is liable for a civil penalty of one hundred dollars ($100) a day to be assessed and recovered in a civil action brought in the name of the people of the State of California by the Office for each day the filing of such report with the Office is delayed,  considering all approved extensions of the due date as provided in Section 97051. Assessed penalties may be appealed pursuant to Section 97052. Within fifteen days after the date the reports are due, the Office shall notify the health facility of reports not yet received, the amount of liability, and potential future liability for failure to file said reports when due.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128770 and 128760, Health and Safety Code.
HISTORY

1. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
2. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
3. Amendment of section and Note filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
Article 4. Modification, Extension, and Appeal Processes
§97050. Request for Modifications to Approved Accounting and Reporting Systems.
Note     •     History

(a) To obtain modifications to the uniform accounting and reporting systems specified by Sections 97017, 97018, and 97019, including modifications to the account coding structure, health facilities must file a written request for modifications with the Office. Health facilities must have an Office-approved modification prior to implementation of any change to the applicable uniform accounting system. Modification requests shall specify the precise changes being requested and the reason(s) the changes are needed. Requests from health facilities for modification to the applicable uniform accounting system, including requests to use an alternate coding scheme, shall be accompanied by (1) a cross reference between the facility's proposed account codes and titles, and the account codes and titles in the applicable accounting and reporting manual and (2) the facility's account definitions. The Office shall either approve or disapprove requests for modification within 60 days of the date the request was filed with the Office by the health facility, or the request shall be considered approved as submitted. However, if additional information is required from the health facility to evaluate the request, the Office shall have 30 days from the receipt of the additional information to approve or disapprove the request. The Office may also seek additional information from other appropriate sources to evaluate the request. Approved requests for systems modifications are subject to annual review and renewal by the Office.
(b) The Office shall grant modifications upon written application to licensed health facilities that are an integral part of a residential care complex to permit accounting and reporting for assets, liabilities, and equity for the entire residential care complex rather than require separate accounting and reporting for health care related assets, liabilities, and equity. Requests for modifications under this paragraph shall be submitted prior to the start of the accounting period to which the modifications are to apply and shall specify the proposed balance sheet account related modifications.
(c) The Office may grant modifications, upon  written request, to licensees operating and maintaining more than one physical plant on separate premises under a single consolidated hospital license, issued pursuant to Health and Safety Code Section 1250.8, to file separate annual disclosure reports and quarterly financial and utilization reports for each location. The Office may also grant modifications, upon written request, to licensees of hospitals to file annual disclosure reports and quarterly financial and utilization reports for their mental health or rehabilitation care operations separately from the rest of the hospital operations. Licensees granted modifications under this paragraph shall be responsible for all regulatory requirements for each separate report. Separate extension requests, filed under the provisions of Section 97051, shall be required for each report, and penalties, assessed pursuant to Section 97045, shall be assessed on each delinquent report.
(d) In determining what modifications will be granted to health facilities under (a) or (c), the Office may take into account, but not be limited to the following factors:
(1) the data reported are comparable to data reported from other health facilities to the maximum extent feasible as determined by the Office;
(2) the report substantially complies with the purposes of the Health Data and Advisory Council Consolidation Act;
(3) the facility has considered and has a plan for the eventual or gradual implementation of the general accounting and reporting systems prescribed by the Office; and
(4) the burden on the health facility to report otherwise required data is sufficiently great that the cost to the health facility of preparing these data would outweigh the benefit to the people of the State of California.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128760, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former title 4, chapter 10 (sections 7050-7052) to title 22, division 10 (sections 97050-97052) filed 11-5-85; designated effective 1-1-86 (Register 85, No. 45). For prior history, see Register 83, No. 16.
2. Amendment of subsections (a) and (b) filed 4-16-92; operative 5-18-92 (Register 92, No. 18).
3. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
4. Editorial correction of printing error in subsection (b) (Register 93, No. 51).
5. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97051. Requests for Extension Time to File Required Reports.
Note     •     History

Any licensee of a health facility may file with the Office requests for reasonable extensions of time to file any or all of the  reports required pursuant to subdivisions (a) through (e) of Section 128735, Section 128740, or Section 128755, Health and Safety Code. Licensees of health facilities are encouraged to file extension requests as soon as it is apparent that the required reports will not be completed for submission on or before their due date. The requests for extension shall be supported by justification which may provide good and sufficient cause for the approval of the extension requests. To provide the Office a basis to judge good and sufficient cause, the letter of justification shall include a factual statement indicating (1) the actions taken by the health facility to produce the disclosure reports by the required deadline, (2) those factors which prevent completion of the reports by the deadline, and (3) those actions and the time (days) needed to accommodate those factors.
The Office shall respond within 10 calendar days of receipt of the request by either granting what the Office determines to be a reasonable extension or disapproving the request. If disapproved, the Office shall set forth the basis for a denial in a notice sent by certified mail to the health facility. The Office may seek additional information from the requesting health facility. The Office may grant extensions but not to exceed an accumulated total, for all extensions and corrections, of 90 days for annual reports required by Section 97040 and 30 days for quarterly reports required by Health and Safety Code Section 128740. A health facility which wishes to contest any decision of the Office shall have the right to appeal in accordance with the provisions of Section 97052.
The civil penalty of one hundred dollars ($100) a day, provided for in Section 97045, shall commence the day after the report due date notwithstanding the filing of a petition to review the Office's denial of a request for an extension of time in which to file required reports or the filing of a request for an extension of time in which to file required reports.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128755 and 128770, Health and Safety Code.
HISTORY

1. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
2. Change without regulatory effect amending section and Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97052. Appeal Procedure.
Note     •     History

(a) Any health facility affected by any determination made under the Act by the Office may appeal the decision. This appeal shall be filed with the Office within 15 business days after the date the notice of the decision is received by the health facility and shall specifically describe the matters which are disputed by the petitioner.
(b) A hearing on an appeal shall, at the discretion of the Director, be held before either of the following:
(1) An employee of the Office appointed by the Director to act as hearing officer.
(2) A hearing officer employed by the Office of Administrative Hearings.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128775, Health and Safety Code.
HISTORY

1. Repealer and new section filed 4-9-87; effective thirtieth day thereafter (Register 87, No. 15). For prior history, see Register 85, No. 45.
2. Editorial correction of printing error in subsection (a) (Register 91, No. 32).
3. Amendment filed 9-7-93; operative 10-6-93 (Register 93, No. 37).
4. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
5. Change without regulatory effect amending subsection (b) and repealing subsection (b)(3) filed 10-25-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 43).
§97053. Conduct of Hearing.
Note     •     History

(a) The hearing, when conducted by an employee of the Office appointed by the Director to serve as hearing officer, shall not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs.
(b) When the hearing is conducted by an employee of the Office, the hearing shall be recorded by a tape recording, unless the appellant agrees to provide a certified shorthand reporter at the appellant's expense. If the appellant provides a certified shorthand reporter, the original of the transcript shall be provided directly to the Office.
(c) A copy of the tape recording or of the transcript, if made, shall be available to any person so requesting who has deposited with the Office an amount of money which the Director has determined to be sufficient to cover the costs of the copy of the tape recording or transcript.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128775, Health and Safety Code.
HISTORY

1. New section filed 4-9-87; effective thirtieth day thereafter (Register 87, No. 15).
2. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
3. Change without regulatory effect amending subsections (a) and (b) filed 10-25-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 43).
§97054. Decision on Appeal.
Note     •     History

(a) The employee or hearing officer shall prepare a recommended decision which includes findings of fact and conclusions of law.
(b) This proposed decision shall be presented to the Office for its consideration.
(c) The Office may adopt the proposed decision, or reject it and decide the matter as described in paragraph 1 below.
(1) If the Office does not adopt the proposed decision as presented, it will furnish a Notice of Rejection of Proposed Decision along with a copy of the proposed decision to appellant and, if applicable, appellant's authorized representative. The Office will provide appellant the opportunity to present written arguments to the Office. The decision of the Office will be based on the record, including the hearing record, and such additional information as is provided by the appellant.
(d) The decision of the Office shall be in writing. It shall be made within 60 calendar days after the conclusion of the hearing and shall be final.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128775, Health and Safety Code.
HISTORY

1. New section filed 4-9-87; effective thirtieth day thereafter (Register 87, No. 15).
2. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
3. Change without regulatory effect amending subsection (a) filed 10-25-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 43).
Article 5. Collection of Special Fees
§97062. Notice of Assessment.
Note     •     History

The Office shall  mail a notice of special fee assessment and a remittance advice form to each health facility immediately after the assessment rate is set by the Office. The remittance advice form shall be completed by each health facility and returned to the Office with full payment of the special fee amount.
NOTE

Authority cited: Sections 127150 and 128810, Health and Safety Code. Reference: Section 127280, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former title 4, chapter 10 (sections 7062-7065) to title 22, division 7 (sections 97062-97065) filed 11-5-85; designated effective 1-1-86 (Register 85, No. 45). For prior history, see Register 83, No. 16.
2. Amendment of section and Note filed 9-7-93; operative 10-6-93 (Register  93, No. 37).
3. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97063. Basis of Assessment.
Note     •     History

The basis of assessment is the total gross operating expenses obtained from the disclosure reports filed for the report period which ended on or before June 30 of the previous calendar year, as more particularly described in Section 97005(h).
NOTE

Authority cited: Sections 127150 and 128810, Health and Safety Code. Reference: Section 127280, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 9-7-93; operative 10-6-93 (Register  93, No. 37).
2. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97064. Exceptions to the Basis of Assessment.
Note     •     History

(a) New health facilities which have no fiscal years ending on or before June 30 of the preceding calendar year are not liable for the special fee.
(b) New health facilities which have a fiscal year ending during the twelve month period preceding and including June 30 of the previous calendar year but which is less than 12 months, shall be liable for the special fee based on the gross operating expenses of the partial fiscal year.
(c) If a health facility does not have a fiscal year ending during the twelve month period preceding and including June 30 of the previous calendar year due to a change in licensee, the special fee shall be based on the gross operating expenses of the previous licensee's last completed fiscal year, expanded to 12 months if applicable. If the gross operating expenses of the previous licensee's last fiscal year are not available to the current licensee, the special fee shall be the last special fee paid by the previous licensee plus ten percent. The Office shall furnish the amount

of the last special fee paid by the previous licensee upon request of the affected health facility.
(d) If a health facility does not have a complete fiscal year ending during the twelve month period preceding and including June 30 of the previous calendar year due to a change in licensee, the special fee shall be based on the gross operating expenses of the partial fiscal year expanded to 12 months. The partial fiscal year is those months from the start of health facility operations under the new licensee to the end of the fiscal year.
(e) If a health facility does not have a complete fiscal year ending during the 12 month period preceding and including June 30 of the previous calendar year due to a change in fiscal year, the special fee shall be based on the gross operating expenses of the partial fiscal year expanded to 12 months. The partial fiscal year is those months from the close of the last complete fiscal year to the end of the new partial fiscal year.
(f) The Office shall determine the basis of assessment for special fee amounts due from health facilities in those circumstances not specifically covered above.
NOTE

Authority cited: Sections 127150 and 128810, Health and Safety Code. Reference: Section 127280, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 9-7-93; operative 10-6-93 (Register  93, No. 37).
2. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97065. Delinquent Special Fees.
Note     •     History

To enforce payment of delinquent special fees, the Office shall notify the State Department of Health Services not to issue a license and not to renew the existing license of the delinquent health facility until the special fees have been paid, pursuant to Section 127280, Health and Safety Code. A copy of the Office notice to the State Department of Health Services shall be sent to the delinquent health facility.
NOTE

Authority cited: Sections 127150 and 128810, Health and Safety Code; and Section 11152, Government Code. Reference: Section 127280, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section and Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
Article 6. Public Availability of Disclosure Materials
§97110. Place and Time of Availability.
Note     •     History

Copies of available disclosure materials may be inspected by and copied for any person upon request during regular business hours at the Office of Statewide Health Planning and Development in Sacramento.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128680 and 128765, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Title 4, Chapter 10 (Sections 7110, 7115 and 7125) to Title 22, Division 7 (Sections 97110, 97115 and 97125) filed 11-5-85; designated effective 1-1-86 (Register 85, No. 45). For prior history, see Register 78, No. 40.
2. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97115. Manner of Requesting Disclosure Materials.
Note     •     History

(a) Requests for disclosure materials shall be filed in writing with the Office. A request shall contain sufficient information to enable the Office to determine what specific materials are being requested.
(b) No disclosure materials shall be provided, except as may be specifically authorized by the Director, without prior payment of a fee sufficient to cover costs of production and provision of the materials.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128680 and 128765, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
§97125. Protection of Records.
Note     •     History

(a) No person may, without permission of the Office, remove from the Office any disclosure materials made available for inspection or copying.
(b) Only photocopies of the original disclosure materials shall be available for public inspection except as authorized by the Director.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128680 and 128765, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending Note filed 10-31-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 44).
Article 7. CABG Data Reporting Requirements
§97170. Definitions, as Used in this Article.
Note     •     History

(a) California CABG Outcomes Reporting Program (CCORP). California CABG Outcomes Reporting Program means the Office's program charged with collecting coronary artery bypass graft (CABG) surgery data and publishing reports on the risk-adjusted outcomes for the procedure. 
(b) Cardiac Online Reporting for California (CORC). CORC means the OSHPD Cardiac Online Reporting for California system that is the online transmission system through which reports are submitted using an Internet web browser either by file transfer or data entry. It is a secure means of electronic transmission of data in an automated environment. 
(c) Computer system date. Computer system date means the date that exists on the computer system used for data automation at the time of data entry. 
(d) Coronary artery bypass graft (CABG) surgery. CABG surgery means a procedure performed to bypass blockages or obstructions of the coronary arteries, and includes both isolated CABG surgeries and non-isolated CABG surgeries, as defined by Subsection (a)(2) of Section 97174. 
(e) Days. Days are defined as calendar days unless otherwise specified. 
(f) Designee. Designee means the person authorized by the Chief Executive Officer of the hospital to sign the CCORP Hospital Certification Form (OSH-CCORP 416 (New 10/02). 
(g) Discharge. A discharge means a person who was formally admitted to a hospital as an inpatient for observation, diagnosis, or treatment, with the expectation of remaining overnight or longer, and who is released from the hospital under one of the following circumstances: 
(1) is formally released from the care of the hospital and leaves the hospital, 
(2) transfers within the hospital from one type of care to another type of care, as defined in Section 97212 of Title 22 of the California Code of Regulations, or 
(3) has died. 
(h) Facility identification number. Facility identification number means a unique six-digit number assigned to each hospital by CCORP. 
(i) Licensee. Licensee means an entity that has been issued a license to operate a hospital, as defined in the Health and Safety Code Section 128700. 
(j) Record. Record means the set of data elements required to be reported for each CABG surgery, as set forth in Section 97174. 
(k) Report. Report means the collection of all required records filed by a hospital for a reporting period, pursuant to Section 97172. 
(l) Responsible surgeon. Responsible surgeon means the principle surgeon who performs a coronary artery bypass procedure. If a trainee performs this procedure, then the responsible surgeon is the physician responsible for supervising this procedure performed by the trainee. In situations in which a responsible surgeon cannot otherwise be determined, the responsible surgeon is the surgeon who bills for the coronary artery bypass procedure. 
(m) User Account Administrator. A hospital representative responsible for maintaining the hospital's CORC user accounts and user account contact information.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New article 7 (sections 97170-97198) and section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of subsections (f)-(f)(1) filed 2-2-2006; operative 3-4-2006 (Register 2006, No. 5).
3. Amendment of subsection (b), subsection relettering, amendment of newly designated subsection (h) and new subsection (m) filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97172. Required Reporting.
Note     •     History

(a) A hospital where coronary artery bypass graft (CABG) surgery is performed shall file a report semiannually with the Office. This Section shall not apply to a hospital where all CABG surgeries performed are on patients under 18 years of age on the date of surgery. 
(b) A report shall contain a record for each CABG surgery patient 18 years or older on the date of surgery who was discharged from the hospital during the reporting period, pursuant to Section 97176. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of subsection (a) filed 2-2-2006; operative 3-4-2006 (Register 2006, No. 5).
3. Amendment of subsection (a) filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97174. Required Data Elements.
Note     •     History

(a) For patients discharged on or after July 01, 2011, a hospital shall submit the following data elements for each CABG surgery according to the format, valid value, category and definitions/descriptions listed herein. For all data elements categorized as postoperative events, report only if the postoperative event occurred during the hospitalization for CABG surgery.
(1) Medical Record Number: 
(A) Format: Alphanumeric, length 12 
(B) Valid Values: Free text 
(C) Category: Demographics 
(D) Definition/Description: Indicate the patient's medical record number at the hospital where surgery occurred. 
(2) Isolated Coronary Artery Bypass Graft (CABG): 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Operative 
(D) Definition/Description: Answer `No' if any of the procedures listed in Subsection (a)(2)(D)(i) was performed during coronary artery bypass graft surgery. 
(i) When any of the procedures listed in this Subsection is performed concurrently with the coronary artery bypass surgery, the surgery will be considered non-isolated and the data element coded `No.' It is not possible to list all procedures because cases can be complex and clinical definitions are not always precise. When in doubt, the data abstractor should first seek an opinion from the responsible surgeon and then consult CCORP. 
(a) Valve repairs or replacements
(b) Operations on structures adjacent to heart valves (papillary muscle, chordae tendineae, traebeculae carneae cordis, annuloplasty, infundibulectomy)
(c) Ventriculectomy when diagnosed preoperatively as a rupture, aneurysm or remodeling procedure. Excludes 1) sites intra-operatively diagnosed, 2) patch applications for site oozing discovered during surgery and 3) prophylactic patch applications to reduce chances of future rupture
(d) Repair of atrial and ventricular septa, excluding closure of patent foramen ovale
(e) Excision of aneurysm of heart
(f) Head and neck, intracranial endarterectomy
(g) Other open heart surgeries, such as aortic arch repair, pulmonary endarterectomy
(h) Endarterectomy of aorta
(i) Thoracic endarterectomy (endarterectomy on an artery outside the heart) 
(j) Heart transplantation 
(k) Repair of certain congenital cardiac anomalies, excluding closure of patent foramen ovale (e.g., tetralology of fallot, atrial septal defect (ASD), ventricular septal defect (VSD), valvular abnormality) 
(l) Implantation of cardiomyostimulation system (Note: Refers to cardiomyoplasty systems only; not other heart-assist systems such as pacemakers or internal cardiac defibrillators) 
(m) Any aortic aneurysm repair (abdominal or thoracic) 
(n) Aorta-subclavian-carotid bypass 
(o) Aorta-renal bypass 
(p) Aorta-iliac-femoral bypass 
(q) Caval-pulmonary artery anastomosis 
(r) Extracranial-intracranial (EC-IC) vascular bypass 
(s) Coronary artery fistula 
(t) Resection of a lobe or segment of the lung (e.g., lobectomy or segmental resection of lung). Does not include simple biopsy of lung nodule in which surrounding lung is not resected, biopsy of a thoracic lymph node, or excision or stapling of an emphysematous bleb. 
(u) Pleural decortication
(v) Mastectomy for breast cancer (not simple breast biopsy) 
(w) Amputation of any part of an extremity (e.g., foot or toe) 
(ii) If a procedure listed in this subsection is performed concurrently with the coronary artery bypass surgery, the surgery will be considered an isolated CABG and the data element coded `Yes,' unless a procedure listed in Subsection (a)(2)(D)(i) is performed during the same surgery. These particular procedures are listed because the Office has received frequent questions regarding their coding. 
(a) Transmyocardial laser revascularization (TMR)
(b) Pericardiectomy and excision of lesions of heart
(c) Repair/restoration of the heart or pericardium
(d) Coronary endarterectomy
(e) Pacemakers
(f) Internal cardiac defibrillators (ICDs)
(g) Fem-fem cardiopulmonary bypass (a form of cardiopulmonary bypass that should not be confused with aortofemoral bypass surgery listed in Subsection (a)(2)(D)(i)
(h) Thymectomy
(i) Thyroidectomy 
(j) All Maze procedures. 
(3) Date of Surgery: 
(A) Format: Numeric, length 8 
(B) Valid Values: mmddyyyy 
(C) Category: Hospitalization 
(D) Definition/Description: Indicate the date of index cardiac surgical procedure. Index cardiac surgical procedure is defined as the initial major cardiac surgical procedure of the hospitalization.
(4) Date of Birth: 
(A) Format: Numeric, length 8 
(B) Valid Values: mmddyyyy
(C) Category: Demographics 
(D) Definition/Description: Indicate the patient's date of birth using 4-digit format for year. 
(5) Patient Age: 
(A) Format: Numeric, length 3 
(B) Valid Values: 18 - 110 
(C) Category: Demographics 
(D) Definition/Description: Indicate the patient's age in years, at time of surgery. This should be calculated from the date of birth and the date of surgery, according to the convention used in the USA (the number of birthdate anniversaries reached by the date of surgery). 
(6) Sex: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Male; 2 = Female 
(C) Category: Demographics 
(D) Definition/Description: Indicate the patient's sex at birth as either male or female. 
(7) Race -- White: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Demographics 
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes White. This includes a person having origins in any of the original peoples of Europe, the Middle East, or North Africa. 
(8) Race -- Black/African American: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Demographics 
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes Black / African American. This includes a person having origins in any of the black racial groups of Africa. Terms such as “Haitian” or “Negro” can be used in addition to “Black or African American.”
(9) Race -- Asian: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Demographics 
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes Asian. This includes a person having origins in any of the original peoples of the Far East, Southeast Asia, or the Indian subcontinent including, for example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand, and Vietnam. 
(10) Race -- American Indian/Alaskan Native: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Demographics 
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes American Indian / Alaskan Native. This includes a person having origins in any of the original peoples of North and South America (including Central America), and who maintains tribal affiliation or community attachment. 
(11) Race -- Native Hawaiian/Pacific Islander: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Demographics 
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes Native Hawaiian / Pacific Islander. This includes a person having origins in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands. 
(12) Race -- Other: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Demographics 
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes any other race. 
(13) Race -- Hispanic or Latino or Spanish Ethnicity: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Demographics 
(D) Definition/Description: Indicate if the patient is of Hispanic, Latino or Spanish ethnicity as reported by the patient / family. 
(14) Date of Discharge: 
(A) Format: Numeric, length 8
(B) Valid Values: mmddyyyy 
(C) Category: Hospitalization 
(D) Definition/Description: Indicate the date the patient was discharged from the hospital (acute care) even if the patient is going to a rehab or hospice or similar extended care unit within the same physical facility. If the patient died in the hospital, the discharge date is the date of death. 
(15) Discharge Status: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Alive; 2 = Dead 
(C) Category: Mortality 
(D) Definition/Description: Indicate whether the patient was alive or dead AT discharge from the hospitalization in which surgery occurred. 
(16) Date of Death:
(A) Format: Numeric, length 8
(B) Valid Values: mmddyyyy 
(C) Category: Mortality 
(D) Definition/Description: Indicate the date the patient was declared dead. 
(17) Responsible Surgeon Name (3 separate fields): 
(A) Format: Surgeon Last Name text length 25 (alpha) Surgeon First Name text length 20 (alpha) Surgeon Middle Initial text length 1(alpha) 
(B) Valid Values: Free Text 
(C) Category: Operative 
(D) Definition/Description: The responsible surgeon is the surgeon as defined in Section 97170. 
(18) Responsible Surgeon CA License Number:
(A) Format: Alphanumeric, length 8
(B) Valid Values: Free text
(C) Category: Operative
(D) Definition/Description: California physician license number of responsible surgeon, assigned by the Medical Board of California of the Department of Consumer Affairs.
(19) Weight (kg):
(A) Format: Numeric, length 4
(B) Valid Values: 10.0-250.0 kg
(C) Category: Risk Factors
(D) Definition/Description: Indicate the weight of the patient in kilograms closest to the date of procedure.
(20) Height (cm):
(A) Format: Numeric, length 4
(B) Valid Values: 20.0 - 251.0 cm
(C) Category: Risk Factors
(D) Definition/Description: Indicate the height of the patient in centimeters.
(21) INR:
(A) Format: Numeric, length 3
(B) Valid Values: 0.5 - 30.0
(C) Category: Risk Factors
(D) Definition/Description: Indicate the International Normalized Ratio (INR) closest to the date and time prior to surgery but prior to anesthetic management (induction area or operating room).
(22) Total Bilirubin:
(A) Format: Numeric, length 3
(B) Valid Values: 0.1 - 50.0
(C) Category: Risk Factors
(D) Definition/Description: Indicate the total Bilirubin closest to the date and time prior to surgery but prior to anesthetic management (induction area or operating room).
(23) Total Albumin:
(A) Format: Numeric, length 3
(B) Valid Values: 1.0 - 10.0
(C) Category: Risk Factors
(D) Definition/Description: Indicate the total albumin closest to the date and time prior to surgery but prior to anesthetic management (induction area or operating room).
(24) Last Creatinine Level: 
(A) Format: Numeric, length 3 
(B) Valid Values: 0.1 - 30.0 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate the creatinine level closest to the date and time prior surgery but prior to anesthetic management (induction area or operating room).
(i) A creatinine level should be collected on all patients, even if they have no prior history. A creatinine value is a high predictor of a patient's outcome and is used in the predicted risk models. 
(25) Diabetes: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether patient has a history of diabetes diagnosed and/or treated by a physician. The American Diabetes Association criteria include documentation of the following:
(i) A1c >=6.5%;
(ii) Fasting plasma glucose >=126 mg/dl (7.0 mmol/l);
(iii) Two-hour plasma glucose >=200 mg/dl (11.1 mmol/l) during an oral glucose tolerance test;
(iv) In a patient with classic symptoms of hyperglycemia or hyperglycemic crisis, a random plasma glucose >=200 mg/dl (11.1 mmol/l)
1. It does not include gestational diabetes.
(26) Diabetes Control:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = None; 2 = Diet; 3 = Oral; 4 = Insulin; 5 = Other
(C) Category: Risk Factors
(D) Definitions/Descriptions: Indicate the control method the patient presented with on admission. Patients placed on a preprocedure diabetic pathway of insulin drip at admission but were previously controlled by diet or oral method are not coded as insulin treated. Choose the most aggressive therapy used prior to admission.
(27) Dialysis: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether the patient is currently undergoing dialysis.
(28) Hypertension: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether the patient has a diagnosis of hypertension, documented by one of the following:
(i) documented history of hypertension diagnosed and treated with medication, diet and/or exercise;
(ii) prior documentation of blood pressure >140 mmHg systolic or 90 mmHg diastolic for patients without diabetes or chronic kidney disease, or prior documentation of blood pressure >130 mmHg systolic or 80 mmHg diastolic on at least 2 occasions for patients with diabetes or chronic kidney disease;
(iii) currently on pharmacologic therapy to control hypertension. 
(29) Infectious Endocarditis: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether the patient has a history of infectious endocarditis documented by one of the following:
(i) positive blood cultures; 
(ii) vegetation on echocardiography and/or other diagnostic modality;
(iii) documented history of infectious endocarditis
(30) Infectious Endocarditis Type:
(A) Format: Numeric, Length 1
(B) Valid Values: 1 = Treated; 2 = Active
(C) Category: Risk Factors
(D) Indicate the type of endocarditis the patient has. If the patient is currently being treated for endocarditis, the disease is considered active. If no antibiotic medication (other than prophylactic medication) is being given at the time of surgery, then the infection is considered treated.
(31) Chronic Lung Disease: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = No; 2 = Mild; 3 = Moderate; 4 = Severe 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether the patient has chronic lung disease, and the severity level according to the following classification:
(i) No;
(ii) Mild: FEV1 60% to 75% of predicted, and/or on chronic inhaled or oral bronchodilator therapy;
(iii) Moderate: FEV1 50% to 59% of predicted, and/or on chronic steroid therapy aimed at lung disease;
(iv) Severe: FEV1 <50% predicted, and/or Room Air pO2 < 60 or Room Air pCO2 > 50. 
(32) Liver Disease
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Risk Factors
(D) Definition/Description: Indicate whether the patient has a history of hepatitis B, hepatitis C, cirrhosis, portal hypertension, esophageal varices, chronic alcohol abuse or congestive hepatopathy.
(33) Immunocompromise: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether immunocompromise is present due to immunosuppressive medication therapy within 30 days preceding the operative procedure or existing medical condition (see training manual). This includes, but is not limited to systemic steroid therapy, anti-rejection medications and chemotherapy. This does not include topical steroid applications, one time systemic therapy, inhaled steroid therapy or preoperative protocol. 
(34) Peripheral Arterial Disease: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether the patient has a history of peripheral arterial disease (includes upper and lower extremity, renal, mesenteric, and abdominal aortic systems). This can include:
(i) claudication, either with exertion or at rest;
(ii) amputation for arterial vascular insufficiency;
(iii) vascular reconstruction, bypass surgery, or percutaneous intervention to the extremities (excluding dialysis fistulas and vein stripping);
(iv) documented aortic aneurysm with or without repair;
(v) positive noninvasive test (e.g., ankle brachial index = <0.9 ultrasound, magnetic resonance or computed tomography imaging of > 50% diameter stenosis in any peripheral artery, i.e., renal, subclavian, femoral, iliac) or angiographic imaging.
1. Peripheral arterial disease excludes disease in the carotid or cerebrovascular arteries.
(35) Cerebrovascular Disease: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether the patient has Cerebro-Vascular Disease, documented by any one of the following: CVA (symptoms > 24 hrs after onset, presumed to be from vascular etiology); TIA (recovery within 24 hrs); Non-invasive carotid test with > 79% diameter occlusion.; or Prior carotid surgery or stenting or prior cerebral aneurysm clipping or coil. Does not include neurological disease processes such as metabolic and/or anoxic ischemic encephalopathy.
(36) Prior Cerebrovascular Accident: 
(A) Format: Numeric, length 1 
(B) Valid Values:1 = Yes; 2 = No 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether the patient has a history of stroke (i.e., any confirmed neurological deficit of abrupt onset caused by a disturbance in blood flow to the brain) that did not resolve within 24 hours. 
(37) Prior Cerebrovascular Accident When: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Recent (<=2 wk.); 2= Remote (>2 wk.) 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate when the CVA events occurred. Those events occurring within two weeks of the surgical procedure are considered recent, while all others are considered remote.
(38) CVD -- TIA: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether the patient has a history of a Transient Ischemic Attack (TIA): Patient has a history of loss of neurological function that was abrupt in onset but with complete return of function within 24 hours. 
(39) CVD -- Carotid Stenosis:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = None; 2 = Right; 3 = Left; 4 = Both
(C) Category: Risk Factors 
(D) Definition/Description: Indicate which carotid artery was determined from any diagnostic test to be more than 79% stenotic. 
(40) CVD -- Prior Carotid Surgery: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Risk Factors 
(D) Definition/Description: Indicate whether the patient has a history of previous carotid artery surgery and/or stenting. 
(41) Previous Coronary Artery Bypass Graft
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Previous Cardiac Interventions 
(D) Definition/Description: Indicate whether the patient had a previous Coronary Bypass Graft prior to the current admission. 
(42) Previous Valve: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Previous Cardiac Interventions 
(D) Definition/Description: Indicate whether the patient had a previous surgical replacement and/or surgical repair of a cardiac valve. This may also include percutaneous valve procedures. 
(43) Previous PCI:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Previous Cardiac Interventions 
(D) Definition/Description: Indicate whether a previous Percutaneous Cardiac Intervention (PCI) was performed any time prior to this surgical procedure. PCI refers to those treatment procedures that unblock narrowed coronary arteries without performing surgery. PCI may include, but is not limited to:
(i) Balloon Catheter Angioplasty, Percutaneous Transluminal Coronary Angioplasty (PTCA);
(ii) Rotational Atherectomy;
(iii) Directional Atherectomy;
(iv) Extraction Atherectomy;
(v) Laser Atherectomy;
(vi) Intracoronary Stent Placement
(44) Previous PCI -- Interval: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 =  <=6 Hours; 2 => 6 Hours 
(C) Category: Previous Cardiac Interventions 
(D) Definition/Description: Indicate the interval of time between the previous PCI and the current surgical procedure. 
(45) Prior Myocardial Infarction: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Cardiac Status 
(D) Definition/Description: Indicate if the patient has had at least one documented previous myocardial infarction at any time prior to this surgery. An acute myocardial infarction is evidenced by any of the following: 
(46) Myocardial Infarction When: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = <=6 Hrs.; 2 = >6 Hrs but <24 Hrs; 3 = 1 to 7 Days; 4 = 8 to 21 Days; 5 = >21 Days.
(C) Category: Preoperative Cardiac Status 
(D) Definition/Description: Indicate the time period between the last documented myocardial infarction and surgery. 
(47) Heart Failure within 2 weeks: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Cardiac Status 
(D) Definition/Description: Indicate if there is physician documentation or report that the patient has been in a state of heart failure within the past 2 weeks.
(i) Heart failure is defined as physician documentation or report of any of the following clinical symptoms of heart failure described as unusual dyspnea on light exertion, recurrent dyspnea occurring in the supine position, fluid retention; or the description of rales, jugular venous distension, pulmonary edema on physical exam, or pulmonary edema on chest x-ray presumed to be cardiac dysfunction. A low ejection fraction alone, without clinical evidence of heart failure does not qualify as heart failure. 
(48) Classification -- NYHA: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Class I; 2 = Class II; 3 = Class III; 4 = Class IV 
(C) Category: Preoperative Cardiac Status 
(D) Definition/Description: Indicate the patient's worst dyspnea or functional class, coded as the New York Heart Association (NYHA) classification within the past 2 weeks.
(i) Class I: Patient has cardiac disease but without resulting limitations of ordinary physical activity. Ordinary physical activity (e.g., walking several blocks or climbing stairs) does not cause undue fatigue, palpitation, dyspnea, or anginal pain. Limiting symptoms may occur with marked exertion.
(ii) Class II: Patient has cardiac disease resulting in slight limitation of ordinary physical activity. Patient is comfortable at rest. Ordinary physical activity such as walking more than two blocks or climbing more than one flight of stairs results in limiting symptoms (e.g., fatigue, palpitation, dyspnea, or anginal pain).
(iii) Class III: Patient has cardiac disease resulting in marked limitation of physical activity. Patient is comfortable at rest. Less than ordinary physical activity (e.g., walking one to two level blocks or climbing one flight of stairs) causes fatigue, palpitation, dyspnea, or anginal pain.
(iv) Class IV: Patient has dyspnea at rest that increases with any physical activity. Patient has cardiac disease resulting in inability to perform any physical activity without discomfort. Symptoms may be present even at rest. If any physical activity is undertaken, discomfort is increased.
(49) Cardiogenic Shock: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Cardiac Status 
(D) Definition/Description: Indicate whether the patient was, at the time of procedure, in a clinical state of end organ hypoperfusion due to cardiac failure according to the following criteria: persistent hypotension (Systolic BP < 80-90 or mean arterial pressure 30 mmhg lower than baseline) and severe reduction in Cardiac Index (< 1.8 without support or <2.2 with support).
(50) Resuscitation: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Cardiac Status 
(D) Definition/Description: Indicate whether the patient required cardiopulmonary resuscitation within one hour before the start of the operative procedure which includes the institution of anesthetic management. 
(51) Arrhythmia When: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = None; 2 = Remote (> 30 days); 3 = Recent (<= 30 days)
(C) Category: Preoperative Cardiac Status 
(D) Definition/Description: Indicate when the patient had a preoperative history of arrhythmia (sustained ventricular tachycardia, ventricular fibrillation, or sudden cardiac death presumed to be lethal arrhythmia, atrial fibrillation, atrial flutter, third degree heart block, second degree heart block, sick sinus syndrome) that has been treated with any of the following modalities:
(i) ablation therapy;
(ii) AICD;
(iii) pacemaker;
(iv) pharmacological treatment;
(v) electrocardioversion;
(vi) defibrillation
(52) Arrhythmia Type -- Vtach/Vfib: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Cardiac Status 
(D) Definition/Description: Indicate whether sustained ventricular tachycardia or fibrillation was present within thirty days of the procedure. 
(53) Arrhythmia Type -- 3rd Degree Heart Block: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Cardiac Status 
(D) Definition/Description: Indicate whether third degree heart block was present within thirty days of the procedure. 
(54) Arrhythmia Type -- Afib/Aflutter: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Cardiac Status 
(D) Definition/Description: Indicate whether atrial fibrillation or flutter was present within thirty days of the procedure. 
(55) Meds -- Coumadin (within 24 hours):
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Medications
(D) Definition/Description: Indicate whether the patient received Coumadin within 24 hours preceding surgery.
(56) Warfarin Use (within 5 days):
(A) Format: Numeric, Length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Medications
(D) Definition/Description: Indicate whether the patient received warfarin (Coumadin) within 5 days preceding surgery.
(57) Number of Diseased Coronary Vessels: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = None; 2 = One; 3 = Two; 4 = Three 
(C) Category: Hemodynamics / Cath / Echo
(D) Definition/Description: Indicate the number of diseased major native coronary vessel systems: LAD system, Circumflex system, and/or Right system with >= 50% narrowing of any vessel preoperatively.
(i) NOTE: Left main disease (>=50%) is counted as TWO vessels (LAD and Circumflex, which may include a Ramus Intermedius). For example, left main and RCA would count as three total.. 
(58) Left Main Disease:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Hemodynamics / Cath / Echo
(D) Definition/Description: Indicate whether the patient has Left Main Coronary Disease. Left Main Coronary Disease is present when there is >= 50% compromise of vessel diameter preoperatively. 
(59) Ejection Fraction Done: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Hemodynamics / Cath / Echo
(D) Definition/Description: Indicate whether the Ejection Fraction was measured prior to the induction of anesthesia. 
(60) Ejection Fraction (%): 
(A) Format: Numeric, length 3 
(B) Valid Values: 1.0 - 99.0 
(C) Category: Hemodynamics / Cath / Echo
(D) Definition/Description: Indicate the percentage of the blood emptied from the left ventricle at the end of the contraction. Use the most recent determination prior to the surgical intervention documented on a diagnostic report.
(i) Enter a percentage in the range of 1 - 99. If a percentage range is reported, report a whole number using the “mean” (i.e., 50-55%, is reported as 53%). Values reported as:
1. Normal = 60%;
2. Good function = 50%;
3. Mildly reduced = 45%;
4. Fair function = 40%;
5. Moderately reduced = 30%;
6. Poor function = 25%;
7. Severely reduced = 20%.
a. NOTE: If no diagnostic report is in the medical record, a value documented in the progress record is acceptable.
(61) Ejection Fraction Method: 
(A) Format: Numeric, length 1 
(B) Valid Values: 2 = LV Gram; 3 = Radionucleotide; 4 = Estimate; 5 = ECHO; 6 = MRI/CT; 9 = Other 
(C) Category: Hemodynamics / Cath / Echo
(D) Definition/Description: Indicate how the Ejection Fraction measurement information was obtained preoperatively.
(62) PA Systolic Pressure Measured:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Hemodynamics / Cath / Echo
(D) Definition/Description: Indicate whether the PA systolicpressure was measured prior to incision. 
(63) PA Systolic Pressure:
(A) Format: Numeric, length 4 
(B) Valid Values: 1.0 - 150.0 
(C) Category: Hemodynamics / Cath / Echo
(D) Definition/Description: Capture the highest PA systolic pressure recorded prior to incision. 
(64) Insufficiency -- Mitral: 
(A) Format: Numeric, length 1 
(B) Valid Values: 0 = None; 1 = Trivial/Trace; 2 = Mild; 3 = Moderate; 4 = Severe
(C) Category: Hemodynamics / Cath / Echo
(D) Definition/Description: Indicate whether there is evidence of Mitral valve regurgitation. Enter level of valve function associated with highest risk (i.e., worst performance).
(i) Enter the highest level recorded in the chart. “Moderately severe” should be coded as “Severe”. 
(65) Incidence: 
(A) Format: Numeric, length 1 
(B) Valid Values:1 = First cardiovascular surgery; 2 = First re-op cardiovascular surgery; 3 = Second re-op cardiovascular surgery; 4 = Third re-op cardiovascular surgery; 5 = Fourth or more re-op cardiovascular surgery 
(C) Category: Operative 
(D) Definition/Description: Indicate if this is the patient's:
(i) First cardiovascular surgery;
(ii) First re-op cardiovascular surgery;
(iii) Second re-op cardiovascular surgery;
(iv) Third re-op cardiovascular surgery;
(v) Fourth or more re-op cardiovascular surgery 
(66) Status: 
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Elective; 2 = Urgent; 3 = Emergent; 4 = Emergent Salvage
(C) Category: Operative 
(D) Definition/Description: Indicate the clinical status of the patient prior to entering the operating room: 
(i) Elective: The patient's cardiac function has been stable in the days or weeks prior to the operation. The procedure could be deferred without increased risk of compromised cardiac outcome.
(ii) Urgent: Procedure required during same hospitalization in order to minimize chance of further clinical deterioration. Examples include but are not limited to: Worsening, sudden chest pain, CHF, acute myocardial infarction (AMI), anatomy, IABP, unstable angina (USA) with intravenous (IV) nitroglycerin (NTG) or rest angina.
(iii) Emergent: Patients requiring emergency operations will have ongoing, refractory (difficult, complicated, and/or unmanageable) unrelenting cardiac compromise, with or without hemodynamic instability, and not responsive to any form of therapy except cardiac surgery. An emergency operation is one in which there should be no delay in providing operative intervention.
(iv) Emergent Salvage: The patient is undergoing CPR en route to the OR or prior to anesthesia induction or has ongoing ECMO to maintain life. 
(67) Emergent Reason:
(A) Format: Numeric, length 2
(B) Valid Values: 1 = Shock with Circulatory Support; 2 = Shock without Circulatory Support; 3 = Pulmonary Edema; 4 = AEMI; 5 = Ongoing Ischemia; 6 = Valve Dysfunction; 7 = Aortic Dissection; 8 = Angiographic Accident; 9 = Cardiac Trauma; 10 = Infected Device; 11 = Syncope; 12 = PIC/CABG Hybrid; 13 = Anatomy
(C) Category: Operative 
(D) Definition/Description: Indicate the PRIMARY reason why the patient had Emergent Status.
(i) Patients requiring emergency operations will have ongoing, refractory (difficult, complicated, and/or unmanageable) unrelenting cardiac compromise, with or without hemodynamic instability, and not responsive to any form of therapy except cardiac surgery. An emergency operation is one in which there should be no delay in providing operative intervention.
(68) CPB Utilization:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = None; 2 = Combination; 3 = Full 
(C) Category: Operative 
(D) Definition/Description: Indicate the level of CPB or coronary perfusion used during the procedure:
(i) None: No CPB or coronary perfusion used during the procedure.
(ii) Combination: With or without CPB and/or with or without coronary perfusion at any time during the procedure (capture conversions from off-pump to on-pump only):
1. At start of procedure: No CPB/No Coronary Perfusion -> conversion to -> CPB,
2. At start of procedure: No CPB/No Coronary Perfusion -> conversion to -> Coronary perfusion, or
3. At start of procedure: No CPB/No Coronary Perfusion -> conversion to -> Coronary perfusion -> conversion to -> CPB.
(iii) Full: CPB or coronary perfusion was used for the entire procedure. 
(69) CPB Utilization-Combination Plan:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Planned; 2 = Unplanned 
(C) Category: Operative 
(D) Definition/Description: Indicate whether the combination procedure from off-pump to on-pump was a planned or an unplanned conversion.
(i) Planned: The surgeon intended to treat with any of the combination options described in “CPB utilization”.
(ii) Unplanned: The surgeon did not intend to treat with any of the combination options described in “CPB utilization”.
(70) Internal Mammary Artery (IMA) Used:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Left IMA; 2 = Right IMA; 3 = Both IMAs; 4 = No IMA 
(C) Category: Coronary Bypass 
(D) Definition/Description: Indicate which, if any, Internal Mammary Artery(ies) (IMA) were used for grafts
(71) Left Anterior Descending (LAD) Artery Bypassed:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Coronary Bypass 
(D) Definition/Description: Indicate whether any part of the Left Anterior Descending artery (Proximal; Mid; Distal; Diagonal) was bypassed for this surgical intervention. 
(72) Valve Procedure:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Operative 
(D) Definition/Description: Indicate whether a surgical procedure was done on the Aortic, Mitral, Tricuspid or Pulmonic valves. 
(73) Aortic Valve:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Valve Surgery
(D) Definition/Description: Indicate whether an aortic valve procedure was performed. 
(74) Aortic Valve Procedure:
(A) Format: Numeric, length 2 
(B) Valid Values: 1 = Replacement; 2 = Repair/Reconstruction; 3 = Root Reconstruction with Valved Conduit; 4 = Replacement and Insertion Aortic Non-Valved Conduit; 5 = Resuspension AV without Replacement of Ascending Aorta; 6 = Resuspension with Replacement of Ascending Aorta; 7 = Apico-Aortic Conduit (Aortic Valve Bypass); 8 = Autograft with pulmonary valve - Ross Procedure; 9 = Homograft; 10 = Valve Sparing Root Reimplementation; 11 = Valve Sparing Root Remodeling (Yacoub)
(C) Category: Valve Surgery 
(D) Definition/Description: Indicate procedure performed on aortic valve and/or ascending aorta.
(75) Mitral Valve:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Valve Surgery 
(D) Definition/Description: Indicate whether a mitral valve procedure was performed. 
(76) Mitral Valve Procedure:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Repair; 2 = Replacement
(C) Category: Valve Surgery
(D) Definition/Description: Indicate the type of procedure that was performed on the mitral valve
(77) Tricuspid Procedure:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = No; 2 = Annuloplasty Only; 3 = Replacement; 4 = Reconstruction with Annuloplasty; 5 = Reconstruction without Annuloplasty; 6 = Valvectomy
(C) Category: Valve Surgery 
(D) Definition/Description: Indicate whether a surgical procedure was done or not done on the Tricuspid Valve.
(78) Pulmonic Procedure:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = No; 2 = Replacement; 3 = Reconstruction; 4 = Valvectomy
(C) Category: Valve Surgery 
(D) Definition/Description: Indicate whether a surgical procedure was done or not done on the Pulmonic Valve.
(79) Reoperation for Bleed:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Postoperative Events 
(D) Definition/Description: Indicate whether the patient was reexplored for mediastinal bleeding with or without tamponade either in the ICU or returned to the operating room. 
(80) Reintervention -- Graft Occlusion:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Postoperative Events
(D) Definition/Description: Indicate whether the patient returned to the operating room or the cath lab for intervention of coronary graft occlusion due to acute closure, thrombosis, technical or embolic origin. 
(81) Deep Sternal Infection
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Postoperative Events
(D) Definition/Description: Indicate whether the patient, within 30 days postoperatively, had a deep sternal infection involving muscle, bone, and/or mediastinum REQUIRING OPERATIVE INTERVENTION.
(i) Must have ALL of the following conditions:
1. Wound opened with excision of tissue (I&D) or re-exploration of mediastinum;
2. Positive culture unless patient on antibiotics at time of culture or no culture obtained;
3. Treatment with antibiotics beyond perioperative prophylaxis.
(82) Neuro -- Stroke Permanent:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Postoperative Events
(D) Definition/Description: Indicate whether the patient has a postoperative stroke (i.e., any confirmed neurological deficit of abrupt onset caused by a disturbance in blood supply to the brain) that did not resolve within 24 hours.
(83) Pulm -- Ventilation Prolonged:
(A) Format: Numeric, length 1 
(B) Valid Values:1 = Yes; 2 = No 
(C) Category: Postoperative Events
(D) Definition/Description: Indicate whether the patient had prolonged pulmonary ventilator > 24 hours.
(i) Include (but not limited to) causes such as ARDS, pulmonary edema, and/or any patient requiring mechanical ventilation > 24 hours postoperatively.
(84) Renal -- Renal Failure:
(A) Format: Numeric, length 1 
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Postoperative Events
(D) Definition/Description: Indicate whether the patient had acute renal failure or worsening renal function resulting in ONE OR BOTH of the following:
(i) Increase of serum creatinine to >=4.0 or 3X baseline. 
(ii) A new requirement for dialysis postoperatively. 
(85) Renal -- Dialysis Requirement:
(A) Format: Numeric, length 1 
(B) Valid Values:1 = Yes; 2 = No 
(C) Category: Postoperative Events
(D) Definition/Description: Indicate whether the patient had a new requirement for dialysis postoperatively, which may include hemodialysis, peritoneal dialysis. 
(86) Other -- Atrial Fib:
(A) Format: Numeric, length 1 
(B) Valid Values:1 = Yes; 2 = No 
(C) Category: Postoperative Events
(D) Definition/Description: Indicate whether the patient had a new onset of atrial fibrillation/flutter (AF) requiring treatment. Does not include recurrence of previously documented AF which had been present preoperatively.
(87) Facility Identification Number:
(A) Format: Numeric, length 6 
(B) Valid Values: Free Text 
(C) Category: Hospitalization 
(D) Definition/Description: The six-digit facility identification number assigned by the Office, as defined in Section 97170. 
(b) If a value for a data element, other than data elements specified in Subsection (b)(1), is unknown or not applicable, a hospital may submit the record without a value for that data element.
(1) A valid value must be submitted for the following data elements: Medical Record Number, Isolated Coronary Artery Bypass Graft (CABG), Date of Surgery, Sex, Date of Discharge, Discharge Status, Responsible Surgeon Name, Responsible Surgeon CA License Number, Dialysis, Previous PCI, Status, Reoperation for Bleed, Reintervention - Graft Occlusion, Deep Sternal Infection, Neuro - Stroke Permanent, Pulm - Ventilation Prolonged, Renal - Renal Failure, Renal - Dialysis Requirement, Other - Atrial Fib, and Facility Identification Number.
(c) For patients discharged through June 30, 2011 a hospital shall submit the following data elements for each CABG surgery according to the format, valid value, category and definitions/descriptions listed herein. For all data elements categorized as complications, report only if the complication occurred during the hospitalization for CABG surgery.
(1) Medical Record Number:
(A) Format: Text, length 12 (alphanumeric)
(B) Valid Values: Free text
(C) Category: Demographics 
(D) Definition/Description: Indicate the patient medical record number at the hospital where surgery occurred.
(2) Isolated CABG: 
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: CCORP
(D) Definition/Description: Answer `No' if any of the procedures listed in Subsection (a)(2)(D)(i) was performed during coronary artery bypass graft surgery. 
(i) When any of the procedures listed in this Subsection is performed concurrently with the coronary artery bypass surgery, the surgery will be considered non-isolated and the data element coded `No.' It is not possible to list all procedures because cases can be complex and clinical definitions are not always precise. When in doubt, the data abstractor should first seek an opinion from the responsible surgeon and then consult CCORP.
(a) Valve repairs or replacements
(b) Operations on structures adjacent to heart valves (papillary muscle, chordae tendineae, traebeculae carneae cordis, annuloplasty, infundibulectomy)
(c) Ventriculectomy when diagnosed preoperatively as a rupture, aneurysm or remodeling procedure. Excludes 1) sites intra-operatively diagnosed, 2) patch applications for site oozing discovered during surgery and 3) prophylactic patch applications to reduce chances of future rupture 
(d) Repair of atrial and ventricular septa, excluding closure of patent foramen ovale
(e) Excision of aneurysm of heart 
(f) Head and neck, intracranial endarterectomy
(g) Other open heart surgeries, such as aortic arch repair, pulmonary endarterectomy
(h) Endarterectomy of aorta
(i) Thoracic endarterectomy (endarterectomy on an artery outside the heart)
(j) Heart transplantation
(k) Repair of certain congenital cardiac anomalies, excluding closure of patent foramen ovale (e.g., tetralology of fallot, atrial septal defect (ASD), ventricular septal defect (VSD), valvular abnormality)
(l) Implantation of cardiomyostimulation system (Note: Refers to cardiomyoplasty systems only; not other heart-assist systems such as pacemakers or internal cardiac defibrillators)
(m) Any aortic aneurysm repair (abdominal or thoracic)
(n) Aorta-subclavian-carotid bypass
(o) Aorta-renal bypass
(p) Aorta-iliac-femoral bypass
(q) Caval-pulmonary artery anastomosis
(r) Extracranial-intracranial (EC-IC) vascular bypass
(s) Coronary artery fistula
(t) Resection of a lobe or segment of the lung (e.g., lobectomy or segmental resection of lung). Does not include simple biopsy of lung nodule in which surrounding lung is not resected, biopsy of a thoracic lymph node, or excision or stapling of an emphysematous bleb.
(u) Mastectomy for breast cancer (not simple breast biopsy)
(v) Amputation of any part of an extremity (e.g., foot or toe)
(ii) If a procedure listed in this subsection is performed concurrently with the coronary artery bypass surgery, the surgery will be considered an isolated CABG and the data element coded `Yes,' unless a procedure listed in Subsection (a)(2)(D)(i) is performed during the same surgery. These particular procedures are listed because the Office has received frequent questions regarding their coding.
(a) Transmyocardial laser revascularization (TMR)
(b) Pericardiectomy and excision of lesions of heart
(c) Repair/restoration of the heart or pericardium
(d) Coronary endarterectomy
(e) Pacemakers
(f) Internal cardiac defibrillators (ICDs)
(g) Fem-fem cardiopulmonary bypass (a form of cardiopulmonary bypass that should not be confused with aortofemoral bypass surgery listed in Subsection (a)(2)(D)(i)
(h) Thymectomy 
(i) Thyroidectomy
(j) All Maze procedures.
(3) Date of Surgery: 
(A) Format: Date, length 8 (numeric)
(B) Valid Values: mm/dd/yyyy 
(C) Category: Hospitalization
(D) Definition/Description: Indicate the date of surgery (the date the patient enters the operating room)
(4) Date of Birth: 
(A) Format: Date, length 8 (numeric)
(B) Valid Values: mm/dd/yyyy 
(C) Category: Demographics
(D) Definition/Description: Indicate the patient's date of birth using 4-digit format for year. 
(5) Patient Age:
(A) Format: Numeric, length 3 
(B) Valid Values: 18 - 100 
(C) Category: Demographics
(D) Definition/Description: Indicate patient's age in years, at time of surgery. This should be calculated from the Date of Birth and the Date of Surgery, according to convention used in the USA (the number of birth date anniversaries reached by the date of surgery). 
(6) Sex: 
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Male; 2 = Female
(C) Category: Demographics
(D) Definition/Description: Indicate patient's sex at birth as either male or female.
(7) Race -- White: 
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Demographics
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes White. This includes a person having origins in any of the original peoples of Europe, the Middle East, or North Africa.
(8) Race -- Black/African American:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Demographics
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes Black/African American. This includes a person having origins in any of the black racial groups of Africa. Terms such as “Haitian” or “Negro” can be used in addition to “Black or African American”.
(9) Race -- Asian:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Demographics 
(D) Definition/Description Indicate whether the patient's race, as determined by the patient or family, includes Asian. This includes a person having origins in any of the original peoples of the Far East, Southeast Asia, or the Indian subcontinent including, for example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand, and Vietnam.
(10) Race -- American Indian/Alaskan Native:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Demographics
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes American Indian/Alaskan Native. This includes a person having origins in any of the original peoples of North and South American (including Central America), and who maintains tribal affiliation or community attachment.
(11) Race -- Native Hawaiian/Pacific Islander:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Demographics
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes Native Hawaiian/Pacific Islander. This includes a person having origins in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands.
(12) Race -- Other:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Demographics
(D) Definition/Description: Indicate whether the patient's race, as determined by the patient or family, includes any other race.
(13) Hispanic or Latino Ethnicity:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Demographics
(D) Definition/Description: Indicate if the patient is of Hispanic or Latino ethnicity as determined by the patient/family. Hispanic or Latino ethnicity includes patient report of Cuban, Mexican, Puerto Rican, South or Central American, or other Spanish culture or origin, regardless of race.
(14) Date of Discharge: 
(A) Format: Date, length 8 (numeric)
(B) Valid Values: mm/dd/yyyy
(C) Category: Hospitalization
(D) Definition/Description: Indicate the date the patient was discharged from the hospital. If the patient died in the hospital, the discharge date is the date of death. 
(15) Discharge Status:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Alive; 2 = Dead
(C) Category: Mortality
(D) Definition/Description: Indicate whether the patient was alive or dead at discharge from the hospitalization in which surgery occurred.
(16) Date of Death:
(A) Format: Date, length 8 (numeric)
(B) Valid Values: mm/dd/yyyy
(C) Category: Mortality
(D) Definition/Description: Indicate the date the patient was declared dead.
(17) Responsible Surgeon Name (3 separate fields): 
(A) Format: Surgeon Last Name text length 25 (alpha)Surgeon First Name text length 20 (alpha) Surgeon Middle Initial text length 1(alpha)
(B) Valid Values: Free Text. 
(C) Category: CCORP
(D) Definition/Description: The responsible surgeon is the surgeon as  defined in Section 97170 (k).
(18) Responsible Surgeon California License Number:
(A) Format: Text length 8 (alphanumeric)
(B) Valid Values: Free text
(C) Category: CCORP
(D) Definition/Description: California physician license number of responsible surgeon, assigned by the Medical Board of California of the Department of Consumer Affairs.
(19) Height (cm):
(A) Format: Numeric, length 4
(B) Valid Values: 20.0 - 251.0 cm 
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate the height of the patient in centimeters.
(20) Weight (kg):
(A) Format: Numeric, length 4
(B) Valid Values: 10.0-250.0 kg 
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate the weight of the patient in kilograms (closest to the date of surgery).
(21) Diabetes:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has a history of diabetes, regardless of duration of disease or need for anti-diabetic agents. Includes on admission or preoperative diagnosis. Does not include gestational diabetes. 
(22) Hypertension:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has a diagnosis of hypertension, documented by one of the following: 
(i) Documented history of hypertension diagnosed and treated with, medication, diet and/or exercise
(ii) Prior documentation of blood pressure >140 mmHg systolic or 90 mmHg diastolic for patients without diabetes or chronic kidney disease, or prior documentation of blood pressure >130 mmHg systolic or 80 mmHg diastolic on at least 2 occasions for patients with diabetes or chronic kidney disease
(iii) Currently on pharmacologic therapy to control hypertension
(23) Infectious Endocarditis:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has a history of infectious endocarditis documented by one of the following: 
(i) positive blood cultures
(ii) vegetation on echocardiography and/or other diagnostic modality
(iii) documented history of infectious endocarditis
(24) Peripheral Arterial Disease:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has a history of peripheral arterial disease (includes upper and lower extremity, renal, mesenteric, and abdominal aortic systems). This can include: 1) claudication, either with exertion or at rest, 2) amputation for arterial vascular insufficiency, 3) vascular reconstruction, bypass surgery, or percutaneous intervention to the extremities (excluding dialysis fistulas and vein stripping), 4) documented aortic aneurysm with or without repair, 5) positive noninvasive test (e.g., ankle brachial index = <0.9, ultrasound, magnetic resonance or computed tomography imaging of >50% diameter stenosis in any peripheral artery, i.e. renal, subclavian, femoral, iliac). Peripheral arterial disease excludes disease in the carotid or cerebrovascular arteries. 
(25) Cerebrovascular Disease: 
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has Cerebrovascular Disease (CVD), documented by any one of the following: Cerebrovascular Accident (CVA) (symptoms >24 hours after onset, presumed to be from vascular etiology); Transient Ischemic Attack (TIA) (recovery within 24 hours); non-invasive carotid test with >79% diameter occlusion; or prior carotid surgery. Does not include neurological disease processes such as metabolic and/or anoxic ischemic encephalopathy.
(26) CVD Type -- Unresponsive Coma:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has a history of Unresponsive Coma greater than 24 hours: patient experienced complete mental unresponsiveness and no evidence of psychological or physiologically appropriate responses to stimulation. 
(27) CVD Type -- TIA:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has a history of a Transient Ischemic Attack (TIA): patient has a history of loss of neurological function that was abrupt in onset but with complete return of function within 24 hours. 
(28) CVD Type -- Non Invasive > 79%
(A) Format: Numeric, length 1
(B) Valid Values:1 = Yes; 2 = No
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has a history of Non-invasive/invasive carotid test with greater than 79% occlusion. 
(29) CVD Type -- Prior Carotid Surgery:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has a history of previous carotid artery surgery and/or stenting. 
(30) Cerebrovascular Accident:
(A) Format: Numeric, length 1
(B) Valid Values:1 = Yes; 2 = No
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has a history of stroke (i.e., any confirmed neurological deficit of abrupt onset caused by a disturbance in cerebral blood supply) that did not resolve within 24 hours.
(31) Cerebrovascular Accident Timing:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Recent (<=2 wk.); 2= Remote (>2 wk.)
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate when the (most recent) event occurred. Events occurring within two weeks of the surgical procedure are considered recent (<=2 weeks); all others are considered remote (>2 weeks).
(i) Recent (<=2 weeks)
((ii) Remote (>2 weeks)
(32) Chronic Lung Disease:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = No; 2 = Mild; 3 = Moderate; 4 = Severe
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has chronic lung disease by use of the following severity level classifications: 
(i) No: No chronic lung disease present.
(ii) Mild: Forced expiratory volume in one second (FEV1) 60% to 75% of predicted, and/or on chronic inhaled or oral bronchodilator therapy.
(iii) Moderate: FEV1 50%-59% of predicted, and/or on chronic steroid therapy aimed at lung disease.
(iv) Severe: FEV1 <50% predicated, and/or room air partial pressure of oxygen (pO2) < 60 or room air partial pressure of carbon dioxide (pCO2) > 50.
(33) Immunosuppressive Treatment:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient has used any form of immunosuppressive therapy within 30 days preceding the operative procedure. This includes, but is not limited to inhaled or systemic steroid therapy and chemotherapy. This does not include topical applications, one time systemic therapy, or preoperative protocol.
(34) Dialysis:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No 
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate whether the patient is currently undergoing dialysis. 
(35) Last Creatinine Level Preop (mg/dl):
(A) Format: Numeric, length 3
(B) Valid Values: 0.1 - 30.0
(C) Category: Preoperative Risk Factors
(D) Definition/Description: Indicate the creatinine level recorded closest to the date and time prior to surgery. A creatinine level should be collected on all patients for consistency, even if they have no prior history. A creatinine value is a high predictor of a patient's outcome and is used in the predicted risk models. 
(36) Previous CABG
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Previous Cardiovascular Interventions
(D) Definition/Description: Indicate whether the patient had a previous Coronary Bypass Graft prior to the current admission.
(37) Previous Valve
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Previous Cardiovascular Interventions
(D) Definition/Description: Indicate whether the patient had a previous surgical replacement and/or surgical repair of a cardiac valve. This may also include percutaneous valve procedures.
(38) Prior Percutaneous Coronary Intervention (PCI):
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Previous Cardiovascular Interventions
(D) Definition/Description: Indicate whether a previous Percutaneous Cardiac Intervention (PCI) was performed any time prior to this surgical procedure. PCI refers to those treatment procedures that unblock narrowed coronary arteries without performing surgery. PCI may include, but is not limited to: 
(i) Balloon Catheter Angioplasty, Percutaneous Transluminal Coronary Angioplasty (PTCA)
(ii) Rotational Atherectomy
(iii) Directional Atherectomy
(iv) Extraction Atherectomy
(v) Laser Atherectomy
(vi) Intracoronary Stent Placement
(39) PCI Interval:
(A) Format: Numeric, length 1
(B) Valid Values: 1 =  <=6 Hours; 2 = > 6 Hours
(C) Category: Previous Cardiovascular Interventions
(D) Definition/Description: Indicate the interval of time between the previous PCI and the current surgical procedure:
(i) <= 6 Hours
(ii) > 6 Hours
(40) Previous Myocardial Infarction:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Cardiac Status
(D) Definition/Description: Indicate if the patient has had at least one documented previous myocardial infarction at any time prior to this surgery. An acute myocardial infarction is evidenced by any of the following:
(i) A rise and fall of cardiac biomarkers (preferably troponin) with at least one of the values in the abnormal range for that laboratory [typically above the 99th percentile of the upper reference limit (URL) for normal subjects] together with at least one of the following manifestations of myocardial ischemia:
(a) Ischemic symptoms;
(b) ECG changes indicative of new ischemia (new ST-T changes, new left bundle branch block, or loss of R wave voltage),
(c) Development of pathological Q waves in 2 or more contiguous leads in the ECG (or equivalent findings for true posterior MI);
(d) Imaging evidence of new loss of viable myocardium or new regional wall motion abnormality;
(e) Documentation in the medical record of the diagnosis of acute myocardial infarction based on the cardiac biomarker pattern in the absence of any items enumerated in (a)-(d) due to conditions that may mask their appearance (e.g., peri-operative infarct when the patient cannot report ischemic symptoms; baseline left bundle branch block or ventricular pacing)
(ii) Development of new pathological Q waves in 2 or more contiguous leads in the ECG, with or without symptoms.
(iii) Imaging evidence of a region with new loss of viable myocardium at rest in the absence of a non-ischemic cause. This can be manifest as:
a. Echocardiographic, CT, MR, ventriculographic or nuclear imaging evidence of left ventricular thinning or scarring and failure to contract appropriately (i.e., hypokinesis, akinesis, or dyskinesis)
b. Fixed (non-reversible) perfusion defects on nuclear radioisotope imaging (e.g., MIBI, thallium)
(iv) Medical records documentation of prior myocardial infarction. 
(41) Myocardial Infarction Timing:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = <=6 Hrs.; 2 = >6 Hrs but <24 Hrs; 3 = 1 to 7 Days; 4 = 8 to 21 Days; 5 = >21 Days.
(C) Category: Preoperative Cardiac Status
(D) Definition/Description: Indicate the time period between the last documented myocardial infarction and the surgery (hours (Hrs) and days). 
(42) Heart Failure:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Cardiac Status
(D) Definition/Description: Indicate whether, within 2 weeks prior to the initial surgical procedure, a physician has diagnosed that the patient is currently in heart failure (HF). HF can be diagnosed based on careful history and physical exam, or by one of the following criteria:
(i) Paroxysmal nocturnal dyspnea (PND);
(ii) Dyspnea on exertion (DOE) due to heart failure;
(iii) Chest X-ray (CXR) showing pulmonary congestion;
(iv) Pedal edema or dyspnea, and receiving diuretics; 
(v) Pulmonary edema.
(43) NYHA Classification:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Class I; 2 = Class II; 3 = Class III; 4 = Class IV
(C) Category: Preoperative Cardiac Status
(D) Definition/Description: Indicate the patient's highest New York Heart Association (NYHA) classification within 2 weeks prior to surgery. NYHA classification represents the overall functional status of the patient in relationship to both heart failure and angina.
Choose one of the following:
(i) Class I: Patient has cardiac disease but without resulting limitations of ordinary physical activity. Ordinary physical activity (e.g., walking several blocks or climbing stairs) does not cause undue fatigue, palpitation, dyspnea, or anginal pain. Limiting symptoms may occur with marked exertion.
(ii) Class II: Patient has cardiac disease resulting in slight limitation of ordinary physical activity. Patient is comfortable at rest. Ordinary physical activity such as walking more than two blocks or climbing more than one flight of stairs results in limiting symptoms (e.g., fatigue, palpitation, dyspnea, or anginal pain).
(iii) Class III: Patient has cardiac disease resulting in marked limitation of physical activity. Patient is comfortable at rest. Less than ordinary physical activity (e.g., walking one to two level blocks or climbing one flight of stairs) causes fatigue, palpitation, dyspnea, or anginal pain.
(iv) Class IV: Patient has dyspnea at rest that increases with any physical activity. Patient has cardiac disease resulting in inability to perform any physical activity without discomfort. Symptoms may be present even at rest. If any physical activity is undertaken, discomfort is increased
(44) STS Cardiogenic Shock:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Cardiac Status
(D) Definition/Description: Indicate whether the patient was, at the time of procedure, in a clinical state of hypoperfusion sustained for greater than 30 minutes, according to either of the following Society of Thoracic Surgeons (STS) criteria:
(i) Systolic Blood Pressure (BP) < 80 and/or Cardiac Index (CI) < 1.8 despite maximal treatment.
(ii) Intravenous inotropes and/or Intra-Aortic Balloon Pump (IABP) necessary to maintain Systolic BP > 80 and/or CI > 1.8.
(45) Resuscitation
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Cardiac Status
(D) Definition/Description: Indicate whether the patient required cardiopulmonary resuscitation within one hour before the start of the operative procedure. 
(46) Arrhythmia:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Cardiac Status
(D) Definition/Description: Indicate whether there is a history of preoperative arrhythmia (sustained ventricular tachycardia, ventricular fibrillation, atrial fibrillation, atrial flutter, third degree heart block) that has been treated with any of the following treatment modalities: 
(i) Ablation therapy
(ii) Automatic Implanted Cardioverter Defibrillator (AICD)
(iii) Pacemaker
(iv) Pharmachological treatment
(v) Electrocardioversion
(47) Arrhythmia Type -- Vtach/Vfib:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Cardiac Status
(D) Definition/Description: Indicate whether sustained ventricular tachycardia or fibrillation is present within two weeks of the procedure.
(48) Arrhythmia Type - Third Degree Heart Block:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Cardiac Status
(D) Definition/Description: Indicate whether third degree heart block is present within two weeks of the procedure.
(49) Arrhythmia Type - Afib/Aflutter:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Preoperative Cardiac Status
(D) Definition/Description: Indicate whether atrial fibrillation is present within two weeks of the procedure.
(50) Number of Diseased Coronary Vessels:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = None; 2 = One; 3 = Two; 4 = Three
(C) Category: Hemodynamics and Heart Catheterization
(D) Definition/Description: Indicate the number of diseased major native coronary vessel systems: Left anterior descending (LAD) system, Circumflex system, and/or Right system with >=50% narrowing of any vessel preoperatively.
(51) Left Main Disease (% Stenosis):
(A) Format: Numeric, length 3
(B) Valid Values: 0 - 100
(C) Category: Hemodynamics and Heart Catheterization
(D) Definition/Description: Indicate the percentage of compromise of vessel diameter in any preoperative angiographic view.
(52) Ejection Fraction Done:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Hemodynamics and Heart Catheterization
(D) Definition/Description: Indicate whether the Ejection Fraction was measured prior to the induction of anesthesia.
(53) Ejection Fraction (%):
(A) Format: Numeric, length 3
(B) Valid Values: 1.0-99.0
(C) Category: Hemodynamics and Heart Catheterization
(D) Definition/Description: Indicate the percentage of the blood emptied from the ventricle at the end of the contraction. Use the most recent determination prior to the surgical intervention documented on a diagnostic report.
(54) Ejection Fraction Method:
(A) Format: Numeric, length 1
(B) Valid Values: 2 = LV Gram; 3 = Radionucleotide; 4 = Estimate; 5 = ECHO; 6 = MRI/CT; 9 = Other
(C) Category: Hemodynamics and Heart Catheterization
(D) Definition/Description: Indicate how the ejection fraction measurement information was obtained preoperatively: 
(i) LV Gram: Left Ventriculogram
(ii) Radionucleotide: MUGA Scan
(iii) Estimate: From other calculations, based upon available clinical data.
(iv) ECHO: Echocardiogram
(v) MRI/CT
(vi) Other
(55) Mean PA Pressure Done:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Hemodynamics and Heart Catheterization
(D) Definition/Description: Indicate whether the mean pulmonary artery (PA) pressure in mmHg, was recorded from catheterization data or Swan-Ganz catheter BEFORE the induction of anesthesia.
(56) PA Mean (mm Hg):
(A) Format: Numeric, length 3
(B) Valid Values: 1.0-99.0
(C) Category: Hemodynamics and Heart Catheterization
(D) Definition/Description: Indicate the mean pulmonary artery pressure (PA) in mmHg, recorded from catheterization data or Swan-Ganz catheter BEFORE the induction of anesthesia.
(57) Mitral Insufficiency:
(A) Format: Numeric, length 1
(B) Valid Values: 0 = None; 1 = Trivial; 2 = Mild; 3 = Moderate; 4 = Severe; 5 = N/A
(C) Category: Hemodynamics and Heart Catheterization
(D) Definition/Description: Indicate whether there is evidence of mitral valve regurgitation. Enter level of valve function associated with highest risk (i.e. worst performance). Enter highest level recorded in the chart preoperatively. If data not available or study suboptimal, enter N/A. 
(58) Incidence:
(A) Format: Numeric, length 1
(B) Valid Values:1 = First cardiovascular surgery; 2 = First re-op cardiovascular surgery; 3 = Second re-op cardiovascular surgery; 4 = Third re-op cardiovascular surgery; 5 = Fourth or more re-op cardiovascular surgery
(C) Category: Operative 
(D) Definition/Description: Indicate if this is the patient's:
(i) First cardiovascular surgery
(ii) First re-op cardiovascular surgery
(iii) Second re-op cardiovascular surgery
(iv) Third re-op cardiovascular surgery
(v) Fourth or more re-op cardiovascular surgery
(59) Status of the Procedure:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Elective; 2 = Urgent; 3 = Emergent; 4 = Emergent Salvage; 
(C) Category: Operative
(D) Definition/Description: Indicate the clinical status of the patient prior to entering the operating room:
(i) Elective: The patient's cardiac function has been stable in the days or weeks prior to the operation. The procedure could be deferred without increased risk of compromised cardiac outcome.
(ii) Urgent: Procedure required during same hospitalization in order to minimize chance of further clinical deterioration. Examples include but are not limited to: Worsening, sudden chest pain, congestive heart failure (CHF), acute myocardial infarction (AMI), anatomy, IABP, unstable angina (USA) with intravenous (IV) nitroglycerin (NTG) or rest angina.
(iii) Emergent: Patients requiring emergency operations will have ongoing, refractory (difficult, complicated, and/or unmanageable) unrelenting cardiac compromise, with or without hemodynamic instability, and not responsive to any form of therapy except cardiac surgery. An emergency operation is one in which there should be no delay in providing operative intervention. The patient's clinical status includes any of the following:
(a) Ischemic dysfunction (any of the following): 
(1) Ongoing ischemia including rest angina despite maximal medical therapy (medical and/or IABP));
(2) Acute Evolving Myocardial Infarction within 24 hours before surgery; or 
(3) pulmonary edema requiring intubation.
(b) Mechanical dysfunction (either of the following): 
(1) shock with circulatory support; 
(2) shock without circulatory support.
(iv) Emergent Salvage: The patient is undergoing CPR en route to the OR or prior to anesthesia induction. 
(60) Emergent Reason:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Shock Circ Support; 2 = Shock No Circ Support; 3 = Pulmonary Edema; 4 = AEMI; 5 = Ongoing Ischemia; 6 = Valve Dysfunction; 7 = Aortic Dissection; 8 = Angiographic Accident; 9 = Cardiac Trauma 
(C) Category: Operative 
(D) Definition/Description: Patients requiring emergency operations will have ongoing, refractory (difficult, complicated, and/or (unmanageable) unrelenting cardiac compromise, with or without hemodynamic instability, and not responsive to any form of therapy except cardiac surgery. An emergency operation is one in which there should be no delay in providing operative intervention. Indicate which one of the following applies as the reason why the patient had Emergent Status? (Select one valid value):
(i) Shock with circulatory support
(ii) Shock without circulatory support
(iii) Pulmonary edema requiring intubation
(iv) Acute Evolving Myocardial Infarction (AEMI) within 24 hours before surgery
(v) Ongoing ischemia including rest angina despite maximal medical therapy (medical and/or intra-aortic balloon pump (IABP))
(vi) Valve Dysfunction -- Acute Native or Prosthetic
(vii) Aortic Dissection
(viii) Angiographic Accident
(ix) Cardiac Trauma
(61) CPB Utilization: 
(A) Format: Numeric, length 1
(B) Valid Values: 1 = None; 2 = Combination; 3 = Full
(C) Category: Operative
(D) Definition/Description: Indicate the level of cardiopulmonary bypass (CPB) or coronary perfusion used during the procedure.
(i) None: no CPB or coronary perfusion used during the procedure
(ii) Combination: Either (a), (b), or (c) has to occur: 
(a) At start of procedure: No CPB/No coronary perfusion; followed by CPB 
(b) At start of procedure: No CPB/No coronary perfusion; followed by coronary perfusion
(c) At start of procedure: No CPB/No coronary perfusion; followed by coronary perfusion; then convert to CPB
(iii) Full: CPB or coronary perfusion was used for the entire procedure.
(62) CPB Utilization-Combination:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Planned; 2 = Unplanned
(C) Category: Operative
(D) Definition/Description: Indicate whether the combination procedure from off-pump to on-pump was a planned or an unplanned conversion.
(i) Planned: The surgeon intended to treat with any of the combination options described in “CPB utilization”
(ii) Unplanned: The surgeon did not intend to treat with any of the combination options described in “CPB utilization”.
(63) Cardioplegia:
(A) Format: Numeric, length 1
(B) Valid Values:1 = Yes; 2 = No 
(C) Category: Operative
(D) Definition/Description: Indicate whether Cardioplegia was used.
(64) Internal Mammary Artery(ies) Used as Grafts:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Left IMA; 2 = Right IMA; 3 = Both IMAs; 4 = No IMA 
(C) Category: Coronary Bypass
(D) Definition/Description: Indicate which, if any, Internal Mammary Artery(ies) (IMA) was/were used for grafts: 
(i) Left IMA
(ii) Right IMA
(iii) Both IMAs
(iv) No IMA
(65) Radial Artery Used:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = No Radial; 2 = Left Radial; 3 = Right Radial; 4 = Both Radials
(C) Category: Coronary Bypass
(D) Definition/Description: Indicate which, if any, radial artery(ies) was/were used for grafts:
(i) No Radial artery
(ii) Left Radial artery
(iii) Right Radial artery
(iv) Other Radial arteries
(66) Left Anterior Descending Artery Bypassed:
(A) Format: Numeric
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Coronary Bypass 
(D) Definition/Description: Indicate whether any part of the Left Anterior Descending artery (Proximal; Mid; Distal; Diagonal) was bypassed for this surgical intervention.
(67) Valve Procedure:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Operative
(D) Definition/Description: Indicate whether a surgical procedure was done on the Aortic, Mitral, Tricuspid or Pulmonic valves.
(68) Aortic Valve Procedure:
(A) Format: Numeric, length 2
(B) Valid Values: 1 = No; 2 = Replacement; 3 = Repair/Reconstruction; 4 = Root Reconstruction with Valve Conduit; 5 = Root Reconstruction with Valve Sparing; 6 = (no longer a valid value) 7 = Resection Sub-Aortic Stenosis; 8 = Replacement + Aortic Graft Conduit (not valve conduit); 9 = Resuspension Aortic Valve with Replacement of Ascending aorta; 10 = Resuspension Aortic Valve without Replacement of Ascending aorta.
(C) Category: Valve Surgery
(D) Definition/Description: Indicate whether a surgical procedure was done or not done on the Aortic Valve. Select one of the following valid values:
(i) 1 = No
(ii) 2 = Replacement
(iii) 3 = Repair/Reconstruction
(iv) 4 = Root Reconstruction with Valve Conduit
(v) 5 = Root Reconstruction with Valve Sparing
(vi) 6 = (no longer a valid value)
(vii) 7 = Resection Sub-Aortic Stenosis
(viii) 8 = Replacement + Aortic Graft Conduit (not valve conduit)
(ix) 9 = Resuspension Aortic Valve with Replacement of Ascending aorta
(x) 10 = Resuspension Aortic Valve without Replacement of Ascending aorta
(69) Mitral Valve Procedure:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = No; 2 = Annuloplasty Only; 3 = Replacement; 4 = Reconstruction with Annuloplasty; 5 = Reconstruction without Annuloplasty
(C) Category: Valve Surgery
(D) Definition/Description: Indicate whether a surgical procedure was done or not done on the Mitral Valve. Select one of the following valid values:
(i) No
(ii) Annuloplasty only
(iii) Replacement
(iv) Reconstruction with Annuloplasty
(v) Reconstruction without Annuloplasty
(70) Tricuspid Valve Procedure:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = No; 2 = Annuloplasty Only; 3 = Replacement; 4 = Reconstruction with Annuloplasty; 5 = Reconstruction without Annuloplasty; 6 = Valvectomy
(C) Category: Valve Surgery
(D) Definition/Description: Indicate whether a surgical procedure was done or not done on the Tricuspid Valve. Select one of the following valid values:
(i) No
(ii) Annuloplasty Only
(iii) Replacement
(iv) Reconstruction with Annuloplasty
(v) Reconstruction without Annuloplasty
(vi) Valvectomy
(71) Pulmonic Valve Procedure:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = No; 2 = Replacement; 3 = Reconstruction
(C) Category: Valve Surgery
(D) Definition/Description: Indicate whether a surgical procedure was done or not done on the Pulmonic Valve. Select one of the following valid values:
(i) No
(ii) Replacement
(iii) Reconstruction
(72) Reoperation for Bleed/Tamponade:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Complications
(D) Definition/Description: Indicate whether the patient returned to the operating room for mediastinal bleeding/tamponade.
(73) Reoperation for Graft Occlusion:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Complications
(D) Definition/Description: Indicate whether the patient returned to the operating room for coronary graft occlusion due to acute closure, thrombosis, technical or embolic origin.
(74) Deep Sternal Wound Infection 
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Complications
(D) Definition/Description: Indicate whether the patient, within 30 days postoperatively, had a deep sternal infection involving muscle, bone, and/or mediastinum REQUIRING OPERATIVE INTERVENTION. Must have ALL of the following conditions:
(i) Wound was opened with excision of tissue (I&D) or re-exploration of mediastinum
(ii) Positive culture
(iii) Treatment with antibiotics
(75) Postoperative Stroke: 
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Complications
(D) Definition/Description: Indicate whether the patient had a postoperative stroke (i.e., any confirmed neurological deficit of abrupt onset caused by a disturbance in cerebral blood supply) that did not resolve within 24 hours.
(76) Continuous Coma >=24 hours:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Complications
(D) Definition/Description: Indicate whether the patient had a new postoperative coma that persisted for at least 24 hours secondary to anoxic/ischemic and/or metabolic encephalopathy, thromboembolic event or cerebral bleed. 
(77) Prolonged Ventilation:
(A) Format: Numeric, length 1
(B) Valid Values:1 = Yes; 2 = No
(C) Category: Complications
(D) Definition/Description: Indicate whether the patient had prolonged pulmonary ventilator > 24 hours. Include (but not limited to) causes such as Acute Respiratory Distress Syndrome, pulmonary edema, and/or any patient requiring mechanical ventilation > 24 hours postoperatively.
(78) Postoperative Renal Failure:
(A) Format: Numeric, length 1
(B) Valid Values: 1 = Yes; 2 = No
(C) Category: Complications
(D) Definition/Description: Indicate whether the patient had acute or worsening renal failure resulting in one or more of the following:
(i) Increase of serum creatinine to > 2.0 and 2x most recent preoperative creatinine level. 
(ii) A new requirement of dialysis postoperatively. 
(79) Postoperative Dialysis:
(A) Format: Numeric, length 1
(B) Valid Values:1 = Yes; 2 = No
(C) Category: Complications
(D) Definition/Description: Indicate whether the patient had a new requirement for dialysis postoperatively, which may include hemodialysis, peritoneal dialysis, and any form of ultrafiltration.
(80) Postoperative Atrial Fibrillation:
(A) Format: Numeric, length 1
(B) Valid Values:1 = Yes; 2 = No
(C) Category: Complications
(D) Definition/Description: Indicate whether the patient had a new onset of atrial fibrillation/flutter (AF) requiring treatment. Does not include recurrence of AF which had been present preoperatively.
(81) Facility Identification Number:
(A) Format: Numeric, length 6
(B) Valid Values: Free Text
(C) Category: CCORP
(D) Definition/Description: The six-digit facility identification number assigned by the Office, as defined in Section 97170. 
(d) If a value for a data element, other than data elements specified in Subsection (d)(1), is unknown or not applicable, a hospital may submit the record without a value for that data element.
(1) A valid value must be submitted for the following data elements: Facility Identification Number, Medical Record Number, Responsible Surgeon Name, Responsible Surgeon California License Number, Isolated CABG, Date of Surgery, Date of Discharge, Discharge Status, Sex, Status of the Procedure, Dialysis, Prior PCI, Reoperation for Bleed/Tamponade, Reoperation for Graft Occlusion, Deep Sternal Wound Infection, Postoperative Stroke, Continuous Coma >=24 hours, Prolonged Ventilation, Postoperative Renal Failure, Postoperative Dialysis, and Postoperative Atrial Fibrillation. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment filed 2-2-2006; operative 3-4-2006 (Register 2006, No. 5).
3. New subsections (a)-(a)(85)(D), subsection relettering and amendment of newly designated subsection (b) filed 1-29-2009; operative 2-28-2009 (Register 2009, No. 5).
4. Repealer of subsections (b)-(b)(59)(C), subsection relettering and amendment of newly designated subsections (b) and (b)(1) filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
5. New subsections (a)-(b)(1), subsection relettering and amendment of newly designated subsections (c) and (d) filed 4-11-2012; operative 4-11-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 15).
§97176. Reporting Periods and Due Date.
Note     •     History

(a) During each calendar year there are two reporting periods. The first reporting period is January 1 through June 30; the second period is July 1 through December 31. 
(b) If there has been a change in the licensure of a hospital, the effective date of a change in licensee shall constitute the start of the reporting period for the new licensee, and this first reporting period shall end on June 30 or December 31, whichever occurs first. The final day of the reporting period for the previous licensee shall be the last day their licensure was effective. 
(c) A hospital shall file a report by the date the report is due. The due date is 90 days after the end of a reporting period. For 2009 only, the report for the first reporting period will not be due until the report for the second reporting period is due. The two reports will have the same due date but must be filed separately. Hospitals may file their reports for the first reporting period of 2009 earlier, based on system availability, but the reports will not be considered delinquent until after the due date.
(d) When a report due date is a Saturday, Sunday, or a state observed holiday, a report shall be considered timely if filed on the next business day. 
(e) When a hospital has been granted an extension to submit a report, the ending date of the extension shall constitute the new due date for that report.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of subsection (c) and new subsection (e) filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.10. Extensions to File Report.
Note     •     History

For discharges beginning January 1, 2009:
(a) Extensions for additional time are available to a hospital that is unable to file a report by the due date. The Office shall grant extensions no more than a cumulative total of 28 days per report.
(b) Requests for extension shall be filed on or before the required due date of the report by using the extension request screen available through the CORC system to indicate the number of days requested or by submitting the Extension Request Form (OSH-CCORP 418 (Revised 06/09)) and hereby incorporated by reference. 
(c) If a hospital files a report before an extended due date, the days not used will be applied to the number of available extension days for the report.
(d) The Office shall respond within 5 days of receipt of the extension request by either granting a hospital what is determined to be a reasonable extension or disapproving the request. Hospitals which are granted an extension shall be notified by the Office of the new due date for the report. 
(e) If a report is rejected on, or within 7 days before, or at any time after, any due date established by Subsections (c) or (d), of Section 97176, the Office shall grant, if available, an extension of 7 days. If fewer than 7 days are available, all available extension days will be granted.
(f) Notices regarding extension days and revised due dates will be e-mailed to the primary CCORP data contact person designated by the hospital. These notices will also be available to hospital CORC users on the CORC Data Status page.
(g) If the Office determines that the CORC system was unavailable for data submission for one or more periods of 4 or more continuous supported hours during the 4 State working days before a due date established pursuant to Section 97176, the Office shall extend the due date by 7 days.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.15. Method of Data Transmission.
Note     •     History

For discharges beginning January 1, 2009:
A hospital shall use the CORC system for transmitting reports, utilizing a Microsoft Internet Explorer web browser that supports a secure Internet connection utilizing the Secure Hypertext Transfer Protocol (HTTPS or https) and 128-bit cipher strength Secure Socket Layer (SSL) through either: 
(a) Online transmission of a report as an electronic data file, or 
(b) Online entry of individual records as a batch submission.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.20. CORC System Training.
Note     •     History

For discharges beginning January 1, 2009:
Hospitals shall ensure all CORC users have completed the Computer Based Training (CBT) for the CORC system provided on the OSHPD website prior to system use.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.25. Report Format.
Note     •     History

For discharges beginning January 1, 2009:
(a) A hospital shall submit a report to the Office for discharges occurring on or after January 1, 2009 in compliance with the Office's Format and File Specifications for California Coronary Artery Bypass Graft (CABG) Outcomes Reporting Program (CCORP) Version 4.0, dated July 20, 2009 and hereby incorporated by reference.
(b) The Office's Format and File Specifications are available for download from the OSHPD website. The Office will make a hardcopy available to a hospital on request.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.30. Data Transmittal Requirements.
Note     •     History

For discharges beginning January 1, 2009:
Hospitals submitting a report shall include the following information to transmit each report: the hospital name, the facility identification number, the report period, the number of records in the report and the following statement of certification:
I certify under penalty of perjury that I am an official of this hospital and am duly authorized to transmit these data; and that, to the extent of my knowledge and information the accompanying records are true and correct, and that the applicable definitions of the data elements as set forth in Article 7, of Chapter 10 of Division 7 of Title 22 of the California Code of Regulations, have been followed by this hospital.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.35. Report Acceptance Criteria.
Note     •     History

For discharges beginning January 1, 2009:
The following requirements must be met for the Office to accept a report:
(a) Complete transmittal information must be submitted with each report, as required by Section 97177.30.
(b) The facility identification number in each of the records in the report must be consistent with the facility identification number stated in the transmittal information.
(c) The patient discharge date in each of the records in the report is consistent with the report period.
(d) The number of records stated in the transmittal information must be consistent with the number of records contained in the report.
(e) All records required to be reported pursuant to 97172 must be reported.
(f) The data must be reported in compliance with the format and file specifications in Section 97177.25. 
(g) All records must include valid values for the data elements specified in 97174(b)(1). 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.45. Data Testing.
Note     •     History

For discharges beginning January 1, 2009:
Data entered through the CORC system for testing will not be accepted as a report.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.50. Report Acceptance or Rejection.
Note     •     History

For discharges beginning January 1, 2009:
(a) The Office shall accept or reject each report within 15 days of receipt. A report shall be considered not filed on the date that a hospital receives notice from the Office that a report has been rejected. Notification of acceptance or rejection of any report submitted online shall not take more than 15 days unless there is a documented CORC system failure. 
(b) Notices regarding acceptance and rejection of a report will be emailed to the primary CCORP data contact person designated by the hospital. These notices will also be available to the hospital CORC users on the CORC Data Status page. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.55. Report Supplemental Documents.
Note     •     History

For discharges beginning January 1, 2009:
Hospitals shall provide documentation to support data element values as required by the office. Documentation shall be faxed to the Office.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.60. Correction of Data.
Note     •     History

For discharges beginning January 1, 2009:
(a) After OSHPD completes the initial processing of reports for each report period, hospitals will be allowed a 21 day period to make report revisions. Hospitals will be notified by email of the beginning and end dates of this period. 
(b) Hospitals shall use the CORC system for transmitting corrected reports. Each corrected report shall meet the acceptance criteria specified in section 97177.35. 
(c) If a hospital fails to provide a valid value, or provides no value, for a data element for which, pursuant to Section 97174(b)(1), a valid value is required, by the end of the 21-day period, the Office shall assign the data element in the record the lowest risk value as observed in the most current risk adjustment model. Hospitals shall provide documentation to support data element values as required by the office. Documentation shall be faxed to the Office.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.65. Final Correction.
Note     •     History

For discharges beginning January 1, 2009:
(a) After the 21 day data correction period and before the Office determines which hospitals are selected for audit, hospitals will be allowed a 30-day period to make final corrections. Hospitals will be notified by email of the beginning and end dates of this period. 
(b) Hospitals shall use the CORC system for transmitting corrected reports. 
(1) Each corrected report shall meet the acceptance criteria specified in section 97177.35. 
(2) If a hospital fails to provide a valid value or provides no value, for a data element for which, pursuant to Section 97174(b)(1), a valid value is required, by the end of the 30-day period, the Office shall assign the data element in the record the lowest risk value as observed in the most current risk adjustment model. Hospitals shall provide documentation to support data element values as required by the office. Documentation shall be faxed to the Office.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.67. Final Report and Surgeon Certification.
Note     •     History

For discharges beginning January 1, 2009:
(a) Within the 30-day period specified in section 97177.65, each hospital shall complete correction of its report and notify CORC that its last accepted report is its final report. Once a report has been designated as final, no further changes may be made by the hospital. 
(b) Each surgeon identified as a responsible surgeon in a final hospital report shall attest to the accuracy of the data for his or her CABG surgeries in that report by completing a Surgeon Certification Form (OSH-CCORP 415 (Revised 06/09)) and hereby incorporated by reference. 
(1) A hospital shall file with the Office, via fax, all completed and signed Surgeon Certification Forms (OSH-CCORP 415 (Revised 06/09)). These shall also be file within the 30-day period.
(2) The Surgeon Certification Form (OSH-CCORP 415 (Revised 06/09)) shall include the following information: the surgeon's name, the surgeon's California physician license number, the hospital name, the facility identification number, as defined in Section 97170, the reporting period's beginning and ending dates, the number of surgeon specific records in the report presented to them by the hospital. The statement portion of the certification is to be signed and dated by the surgeon prior to filing with the Office.
(3) The surgeon's name and physician license number specified on the Surgeon Certification Form (OSH-CCORP 415 (Revised 06/09)) shall be consistent with the surgeon's name and physician license number as provided in the submitted hospital records, and match the California Medical Board licensing information. 
(4) If a surgeon does not sign a Surgeon Certification Form (OSH-CCORP 415 (Revised 06/09)), the hospitals shall submit an unsigned surgeon certification form that includes the information identified in subsection (2). The hospital shall include the reason the form was unsigned. 
(5) A hospital may obtain copies of the Surgeon Certification Form (OSH-CCORP 415 (Revised 06/09)) from the CORC system or on the OSHPD website.
(c) If a hospital does not designate a final report by the end of the 30-day period, the last accepted report for that hospital shall be considered the final report.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.70. Hospital Data Contact Person, User Account Administrator.
Note     •     History

For discharges beginning January 1, 2009:
(a) Each hospital at which CABG surgeries are performed shall designate a primary CCORP data contact person. A hospital shall notify CCORP of the designation in writing, by electronic mail or through the Cardiac Online Reporting for California (CORC) system within 30 days of the effective date of this regulation or within 30 days of beginning or resuming operation. A notification shall include the designated person's name, title, telephone number(s), mailing address, and electronic mail address.
(b) A hospital shall notify CCORP in writing, by electronic mail or through the CORC system within 30 days after any change in the person designated as the primary CCORP data contact person, or in the title, telephone number(s), mailing address, or electronic mail address, of the individual.
(c) Each hospital shall designate up to three User Account Administrators pursuant to Subsection (l) of Section 97170. For each User Account Administrator there must be an original signed CORC User Account Administrator Agreement Form (OSH-CCORP 757 (Rev: 04/30/09)) and hereby incorporated by reference, submitted to the Office. Each hospital shall notify CCORP in writing, by electronic mail or through the CORC system within 30 days after any change in a designated User Account Administrator's name, title, telephone number(s), mailing address, or electronic mail address.
(d) Each hospital is responsible for submitting its own online data report to CCORP. The hospital shall be responsible for ensuring compliance with regulations and reporting requirements when a third party vendor assists a hospital with CCORP data.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97177.75. Failure to File a CABG Report.
Note     •     History

For discharges beginning January 1, 2009:
(a) A civil penalty of one hundred dollars ($100) per day shall be assessed to a hospital that does not file an online report as required by this Article by the date it is due. No penalty shall be imposed during an extension period as provided in Section 97177.10.
(b) Within 15 days after the date a report is due, unless an extension has been granted as specified in Section 97177.10, the Office shall notify a hospital that has not filed its online report of the penalties. 
(c) Assessed penalties may be appealed pursuant to Section 97052 of Title 22 of the California Code of Regulations.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128745 and 128770, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97178. Extensions to File Report for Discharges Before 2009.
Note     •     History

For discharges beginning January 1, 2006 through December 31, 2008:
(a) Extensions are available to a hospital that is unable to file a report by the due date. The Office shall grant in extensions no more than a cumulative total of 30 days per report. 
(b) If a hospital files a report before the due date of an extension, the days not used will be applied to the number of remaining extension days for the report. 
(c) The Office shall grant to a hospital one automatic extension of 10 days for a report that has not been filed by a due date established pursuant to Section 97176 or Subsection (b) of Section 97186, to the extent that extension time is available. 
(d) In addition to the automatic extensions provided for in Subsection (c), a hospital may request extensions. A request for an extension shall be filed on or before the due date of a report and supported by a written justification that provides sufficient cause for the approval of the extension request. The Office may seek additional information from a requesting hospital. To provide the Office a basis to determine sufficient cause, a written justification shall include a factual statement indicating: 
(1) the actions taken by the hospital to produce the report by the due date; 
(2) those factors that prevent completion of the report by the due date; and 
(3) the actions and the time (days) needed to accommodate those factors. 
(e) The Office shall respond in writing by either granting a hospital what is determined to be a reasonable extension or disapproving the request. If a hospital has been granted an extension, the Office shall notify the hospital of the new due date for the report. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of subsection (a) filed 2-2-2006; operative 3-4-2006 (Register 2006, No. 5).
3. Amendment of section heading and new first paragraph filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97180. Method of Data Collection for Discharges Before 2009.
Note     •     History

For discharges beginning January 1, 2006 through December 31, 2008:
(a) A hospital shall use one of the following methods to collect the required data elements, as specified in Section 97174, for a report: 
(1) The CCORP data collection tool for the report period, 
(2) A National Society of Thoracic Surgeons (STS) approved software vendor tool developed for collection of CCORP data, or 
(3) Another data collection system that generates an electronic report, which meets the data requirements in Section 97174 and the format specifications in Section 97182. 
(b) A hospital not using the CCORP data collection tool shall submit to the Office a test report before it files its first report using an alternate system if any of the following conditions are met:
(1) there is a change in the data requirements in Section 97174 or in the format specifications in Section 97182
(2) the data collection tool used by the hospital has been modified by the vendor or is different from the one used in the prior data collection period, or
(3) a hospital using an STS approved software changes to a different STS software program.
(c)The test report should contain at least one record that meets the data requirements in Section 97174 and the format specifications in Section 97182. The hospital should provide the Office the test report 90 days prior to the due date for the hospital's next report. The Office will notify the hospital whether the submitted test report met the data requirements in Section 97174 and the format specifications in Section 97182. 
(d) The Office shall furnish each hospital, upon request and at no cost, a copy of the CCORP data collection tool. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of subsections (a)(1) and (b), new subsections (b)(1)-(3), redesignation of portion of former subsection (b) as subsection (c), and subsection relettering filed 2-2-2006; operative 3-4-2006 (Register 2006, No. 5).
3. Amendment of section heading and new first paragraph filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97182. Report Format for Discharges Before 2009.
Note     •     History

For discharges beginning January 1, 2006 through December 31, 2008:
(a) A hospital shall file a report to the Office on one of the following media: 
(1) IBM PC-compatible diskette, or 
(2) compact disk (CD). 
(b) A hospital shall file a report in a comma-delimited ASCII file with the following format specifications: 
(1) Labels identifying each data element on the first data row, and 
(2) Data elements listed in the order set forth in Section 97174. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of section heading and new first paragraph filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97184. Report Acceptance Criteria for Discharges Before 2009.
Note     •     History

For discharges beginning January 1, 2006 through December 31, 2008:
The following requirements must be met for the Office to accept a report: 
(a) The Office is able to read the diskette or compact disk (CD) on which the report is submitted. 
(b) The diskette or CD contains data for only one hospital and one reporting period. 
(c) All required completed and signed CCORP Surgeon Certification Forms are included with the report, pursuant to Section 97188. 
(d) A completed and signed CCORP Hospital Certification Form is included with the report, pursuant to Section 97190. 
(e) The facility identification number on each of the records in the report is consistent with the facility identification number specified on the CCORP Hospital Certification Form. 
(f) The patient discharge date on each of the records in the report is consistent with the report period specified on the CCORP Hospital Certification Form. 
(g) The report contains data for the specified reporting period, and contains the number of records stated on the CCORP Hospital Certification Form. 
(h) Each record in the report contains data values for the data elements specified in Subsection (b)(1) of Section 97174. 
(i) The report complies with the format specifications set forth in Sections 97182. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of subsections (c)-(d) filed 2-2-2006; operative 3-4-2006 (Register 2006, No. 5).
3. Amendment of section heading and new first paragraph filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97186. Report Acceptance or Rejection for Discharges Before 2009.
Note     •     History

For discharges beginning January 1, 2006 through December 31, 2008:
(a) The Office shall accept or reject each report within 60 days of receipt. A report shall be considered not filed on the date that a hospital receives notice from the Office that a report has been rejected. 
(b) When the Office rejects a report upon initial submission by a hospital, the Office shall provide a hospital 10 days to resubmit the report. The Office shall notify a hospital of the new due date for the report. 
(c) When the Office rejects a report a second or subsequent time, the Office may provide a hospital 5 days to resubmit the report. The Office shall notify a hospital of the new due date for the report. 
(d) For additional time to resubmit a report, a hospital also may request extensions, pursuant to Section 97178. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of section heading and new first paragraph filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97188. Surgeon Certification of Data for Discharges Before 2009.
Note     •     History

For discharges beginning January 1, 2006 through December 31, 2008:
(a) Each surgeon identified as a responsible surgeon in a report shall attest to the accuracy of the reported data for his or her CABG surgeries using the CCORP Surgeon Certification Form (OSH-CCORP 415 (Revised 05/05)). 
(b) The CCORP Surgeon Certification Form (OSH-CCORP 415 (Revised 05/05)) shall include the following information: the surgeon's name, the surgeon's California physician license number, the hospital name, the facility identification number, as defined in Section 97170, the reporting period's beginning and ending dates, the number of records in the report, and the following Statement of Certification, to be signed by the surgeon: 
I, (name of surgeon) , affirm that the cases assigned to me in this California CABG Outcomes Reporting Program report are accurate, and that I have reviewed these data for accuracy and completeness. I also understand that these data, after any corrections or revisions required by the Office of Statewide Health Planning and Development, will be used to compute my risk-adjusted mortality rate for coronary artery bypass graft surgery, and that the Office of Statewide Health Planning and Development will assign data elements with invalid or missing values the lowest risk value as observed in the most current risk-adjustment model for predicting mortality. 
Name: . . . . . . . . . . . . . . . . . . . . . . . . .
Address: . . . . . . . . . . . . . . . . . . . . . . . 
Telephone: . . . . . . . . . . . . . . . . . . . . . . 
Email: . . . . . . . . . . . . . . . . . . . . . . . . . 
Signature: . . . . . . . . . . . . . . . . . . . . . . . 
Dated: . . . . . . . . . . . . . . . . . . . . . . . . . .
(c) The surgeon's name and physician license number specified on the CCORP Surgeon Certification Form (OSH-CCORP 415 (Revised 05/05)) shall be consistent with the surgeon's name and physician license number as provided in the submitted hospital records, and match the California Medical Board licensing information.
(d) If a responsible surgeon does not complete and sign a CCORP Surgeon Certification Form (OSH-CCORP 415 (Revised 05/05)), a hospital shall provide the surgeon's name, physician license number, and number of cases reported for the surgeon as part of the CCORP Hospital Certification Form (OSH-CCORP 416 (Revised 05/05)), pursuant to Section 97190. 
(e) With a report, a hospital shall file with the Office all completed and signed CCORP Surgeon Certification Forms (OSH-CCORP 415 (Revised 05/05)). 
(f) A hospital may obtain copies of the CCORP Surgeon Certification Form (OSH-CCORP 415 (Revised 05/05)) on the Office's web site or by contacting the Office. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment filed 2-2-2006; operative 3-4-2006 (Register 2006, No. 5).
3. Amendment of section heading and new first paragraph filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97190. Hospital Certification of Data for Discharges Before 2009.
Note     •     History

For discharges beginning January 1, 2006 through December 31, 2008:
(a) With a report, a hospital shall file with the Office a completed CCORP Hospital Certification Form (OSH-CCORP 416 (Revised 05/05)), including the following information: the hospital name, the facility identification number, as defined in Section 97170, the reporting period's beginning and ending dates, the number of records in the report, the data collection tool used (CCORP, Society of Thoracic Surgeons (including name of vendor), or other), the number of signed and complete CCORP Surgeon Certification Forms (OSH-CCORP 415 (Revised 05/05)) included with the report, the number of responsible surgeons who did not sign and complete a CCORP Surgeon Certification Form for the report, and the Statement of Certification, to be signed by the hospital's Chief Executive Officer or designee, as defined in Subsection (e) of Section 97170. 
(b) If a responsible surgeon does not complete and sign a CCORP Surgeon Certification Form (OSH-CCORP 415 (Revised 05/05)) pursuant to Section 97188, a hospital shall provide the surgeon's name, physician license number, and number of cases reported for the surgeon on the CCORP Hospital Certification Form (OSH-CCORP 416 (Revised 05/05)), as part of the Statement of Certification. The surgeon's name and physician license number provided in the CCORP Hospital Certification Form (OSH-CCORP 416 (Revised 05/05)) shall be consistent with the surgeon's name and physician license number as submitted in the hospital report, and match the California Medical Board licensing information.
(c) If all responsible surgeons complete and sign a CCORP Surgeon Certification Form (OSH-CCORP 415 (Revised 05/05)) pursuant to Section 97188, a hospital shall affirm that no surgeons failed to complete and sign a CCORP Surgeon Certification Form by writing `none' on the CCORP Hospital Certification Form (OSH-CCORP 416 (Revised 05/05)), as part of the Statement of Certification. 
(d) The Statement of Certification, to be signed by the hospital's Chief Executive Officer (CEO) or designee shall state: 
I, (name of CEO or designee), certify under penalty of perjury as follows: That I am an official of (name of hospital) and am duly authorized to submit this California CABG Outcomes Reporting Program report, and that, to the extent of my knowledge and information, the accompanying data are true and correct, and that the definitions of data elements as set forth in Section 97174 of Title 22 of the California Code of Regulations have been followed by this hospital. 
I certify that the following surgeon(s), if any, did not complete a CCORP Surgeon Certification Form and that each was provided the data for the cases assigned to him or her in this California CABG Outcomes Reporting Program report and was given an opportunity to review the data for accuracy and completeness. 
(Surgeon name) (California physician license number) (Number of cases reported)
I also certify that each surgeon(s) listed above was informed that the data for his or her cases, after any corrections or revisions required by the Office of Statewide Health Planning and Development, will be used to compute his or her risk-adjusted mortality rate for coronary artery bypass graft surgery, and that the Office of Statewide Health Planning and Development will assign data elements with invalid or missing values the lowest risk value as observed in the most current risk-adjustment model for predicting mortality. 
Name: . . . . . . . . . . . . . . . . . . . . . . . . .
Title: . . . . . . . . . . . . . . . . . . . . . . . . . .
Address: . . . . . . . . . . . . . . . . . . . . . . . 
Telephone: . . . . . . . . . . . . . . . . . . . . . . 
Email: . . . . . . . . . . . . . . . . . . . . . . . . . 
Signature: . . . . . . . . . . . . . . . . . . . . . . 
Dated: . . . . . . . . . . . . . . . . . . . . . . . . . 
(e) A hospital may obtain copies of the CCORP Hospital Certification Form (OSH-CCORP 416 (Revised 05/05)) on the Office's web site or by contacting the Office. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment filed 2-2-2006; operative 3-4-2006 (Register 2006, No. 5).
3. Amendment of section heading and new first paragraph filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97192. Correction of Data for Discharges Before 2009.
Note     •     History

For discharges beginning January 1, 2006 through December 31, 2008:
(a) After a report has been accepted pursuant to Section 97186, a hospital may be required to provide the Office with data to replace invalid or missing data element values. 
(b) The Office shall notify each hospital of its final opportunity to make corrections and revisions to submitted data at least 60 days before the Office conducts analyses to identify hospitals and surgeons for possible audit. From the date of notification, a hospital shall have 30 days to submit all corrections and revisions to the Office. The Office may require documentation to support data changes requested by a hospital. 
(c) If a hospital fails to provide a valid value, as set forth in Section 97174, or provides no value for a data element in a record, by the end of the 30-day period, the Office shall assign the data element in the record the lowest risk value as observed in the most current risk adjustment model. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128745 and 128748, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of section heading and new first paragraph filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97194. Audit Procedure. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128745 and 128748, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Renumbering of former section 97194 to section 97199 filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97196. Hospital Data Contact Person for Discharges Before 2009.
Note     •     History

For discharges beginning January 1, 2006 through December 31, 2008:
(a) Each hospital at which CABG surgeries are performed shall designate a CCORP data contact person. A hospital shall notify CCORP in writing (hardcopy or electronic mail) within 30 days of the effective date of this regulation or within 30 days of beginning or resuming operation. A notification shall include the designated person's name, title, telephone number(s), mailing address, and electronic mail address. 
(b) A hospital shall notify CCORP in writing (hardcopy or electronic mail) within 30 days after any change in the person designated as the CCORP data contact person, or in the title, telephone number(s), mailing address, or electronic mail address, of the individual. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code. 
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of section heading and new first paragraph filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97198. Failure to File a CABG Report for Discharges Before 2009.
Note     •     History

For discharges beginning January 1, 2006 through December 31, 2008:
(a) A civil penalty of one hundred dollars ($100) per day shall be assessed to a hospital that does not file a report as required by this Article by the date it is due. No penalty shall be imposed during an extension period as provided in Section 97178 or a resubmission period as provided in Section 97186. 
(b) Within 15 days after the date a report is due, unless an extension has been granted as specified in Section 97178, the Office shall notify a hospital that has not filed its report of the penalties. 
(c) Assessed penalties may be appealed pursuant to Section 97052 of Title 22 of the California Code of Regulations. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 4-29-2003; operative 4-29-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 18). 
2. Amendment of subsection (b) filed 2-2-2006; operative 3-4-2006 (Register 2006, No. 5).
3. Amendment of section heading and new first paragraph filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97199. Audit Procedure.
Note     •     History

(a) The Office may conduct periodic audits of a hospital's patient medical records for its CABG surgery patients. Audits may, at the Office's discretion, be performed at the hospital location. 
(b) The Office shall notify a hospital a minimum of 2 weeks before the date of an audit. Upon notification that an audit is planned, a hospital shall designate a person to serve as the audit contact person. A hospital shall provide to the Office the contact person's name, title, telephone number, and electronic mail address. 
(c) A hospital shall retrieve and make available the requested patient medical records for an audit, and if requested by the Office, provide a reasonable space in which the Office may conduct an audit. 
(d) Data abstracted during an audit may, at the Office's discretion, replace data for a given record submitted in a report filed by a hospital. Replacement data shall be used in calculating risk-adjusted mortality rates for hospitals and physicians. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128745 and 128748, Health and Safety Code. 
HISTORY

1. Renumbering of former section 97194 to new section 97199, including amendment of Note, filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97199.50. Hours of Operation.
Note     •     History

The CORC System is designed for use 24 hours a day. System maintenance may cause intermittent CORC system unavailability. Contact CCORP's Hotline to report possible CORC transmission problems.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128745 and 128748, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
§97200. Contacts.
Note     •     History

(a) Hospitals may use any of the following methods to communicate with CCORP:
(1) Hotline: 916-326-3865
(2) Email: CCORP@oshpd.ca.gov
(3) Fax: 916-445-7534
(b) The OSHPD website address is www.oshpd.ca.gov
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128745, Health and Safety Code.
HISTORY

1. New section filed 2-24-2010; operative 2-24-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 9). 
Article 8. Patient Data Reporting Requirements
§97210. Contact Person, User Account Administrator, Designated Agent, and Facility Identification Number.
Note     •     History

(a) Each reporting facility shall designate a primary contact person and shall notify the Office's Patient Data Program in writing, by electronic mail or through the Medical Information Reporting for California (MIRCal) system of the designated person's name, title, telephone number(s), mailing address, and electronic mail address. The designated person will be sent time-sensitive electronic mail regarding the facility's data submission, including reminder notices, acceptance and rejection notifications, and extension information.
(b) Each reporting facility shall notify the Office's Patient Data Program in writing, by electronic mail, or through the MIRCal system within 15 days after any change in the person designated as the primary contact person, or in the designated primary person's name, title, telephone number(s), mailing address or electronic mail address.
(c) Each reporting facility beginning or resuming operations, whether in a newly constructed facility or in an existing facility, shall notify the Office's Patient Data Program in writing, by electronic mail or through the MIRCal system within 30 days after its first day of operation of the designated primary contact person and the facility administrator.
(d) Each reporting facility shall designate up to three User Account Administrators pursuant to Subsection (f) of Section 97246. Each reporting facility shall notify the Office's Patient Data Program in writing, by electronic mail or through the MIRCal system within 15 days after any change in a designated user account administrator's name, title, telephone number(s), mailing address, or electronic mail address. 
(e) Each reporting facility may submit its own data report to the Office's Patient Data Program, or it may designate an agent for this purpose. The reporting facility shall be responsible for ensuring compliance with regulations and reporting requirements when an agent is designated pursuant to Subsection (b) of Section 97246. 
(f) Each reporting facility shall be provided a facility identification number that shall be used to submit data to the Office. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128700, 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former title 4, chapter 10 (sections 7210-7216) to title 22, division 7 (sections 97210-97216) filed 11-5-85; designated effective 1-1-86 (Register 85, No. 45). For prior history, see Register 85, No. 19.
2. Amendment of subsection (a) filed 7-30-86; effective thirtieth day thereafter (Register 86, No. 31).
3. Amendment of section heading and text filed 10-14-93; operative 11-15-93 (Register 93, No. 42).
4. Amendment of subsections (b) and (c) and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
5. Amendment of subsections (b) and (c) filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
6. Amendment of section heading and section filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
7. Amendment of article heading, section and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
8. Amendment of subsection (a) filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
§97211. Reporting Periods and Due Dates.
Note     •     History

(a) The prescribed reporting periods are:
(1) Calendar semiannual for Hospital Discharge Abstract Data reports, which means that there are two reporting periods each year, consisting of discharges occurring January 1 through June 30 and discharges occurring July 1 through December 31. 
(2) Calendar quarterly for Emergency Care Data reports, which means there are four reporting periods each year, consisting of encounters occurring January 1 through March 31, encounters occurring April 1 through June 30, encounters occurring July 1 through September 30, and encounters occurring October 1 through December 31. 
(3) Calendar quarterly for Ambulatory Surgery Data reports, from a hospital or from a freestanding ambulatory surgery clinic, which means there are four reporting periods each year, consisting of encounters occurring January 1 through March 31, encounters occurring April 1 through June 30, encounters occurring July 1 through September 30, and encounters occurring October 1 through December 31. 
(b) Where there has been a change in the licensee, the effective date of the change shall constitute the start of the reporting period for the new licensee. The end of the first reporting period for the new licensee shall be the end of the prescribed reporting period. The final day of the reporting period for the previous licensee shall be the last day their licensure was effective.
(c) Report due dates: 
(1) For Hospital Discharge Abstract Data reports, for discharges occurring on or after January 1, 2003, and all subsequent report periods, the report due date shall be three months after the end of each reporting period; thus the due date for the January 1 through June 30 reports is September 30 of the same year and the due date for the July 1 through December 31 reports is March 31 of the following year. 
(2) For Emergency Care Data reports, for encounters occurring on or after October 1, 2004, and all subsequent report periods, the report due date shall be 45 days after the end of each reporting period; thus the due date for the January 1 through March 31 reports is May 15 of the same year, the due date for the April 1 through June 30 reports is August 14 of the same year, the due date for the July 1 through September 30 reports is November 14 of the same year, and the due date for the October 1 through December 31 reports is February 14 of the following year. 
(3) For Ambulatory Surgery Data reports, for encounters occurring on or after October 1, 2004, and all subsequent report periods, the report due date shall be 45 days after the end of each reporting period; thus the due date for the January 1 through March 31 reports is May 15 of the same year, the due date for the April 1 through June 30 reports is August 14 of the same year, the due date for the July 1 through September 30 reports is November 14 of the same year, and the due date for October 1 through December 31 reports is February 14 of the following year. 
(d) Data reports shall be filed, as defined by Subsection (j) of Section 97005, by the date the data report is due. Where a reporting facility has been granted an extension, pursuant to Section 97241, the ending date of the extension shall constitute the new due date for that data report.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. Repealer and new section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). For prior history, see Register 86, No. 31.
2. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
4. Amendment of section and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97212. Definitions, as Used in This Article.
Note     •     History

(a) Ambulatory Surgery (AS) Data Record. The Ambulatory Surgery Data Record consists of the set of data elements related to an encounter, as specified in Subsection (a) of Section 128737 of the Health and Safety Code and as defined in Sections 97251-97265 and 97267 of the California Code of Regulations.
(b) CPT-4. The Current Procedural Terminology, 4th Edition, is published and maintained by the American Medical Association. It is a standard medical code set for healthcare services or procedures in non-inpatient settings. 
(c) Days. Days, as used in this article, are defined as calendar days unless otherwise specified.
(d) Designated Agent. An entity designated by a reporting facility to submit that reporting facility's data records to the Office's Patient Data Program. 
(e) Discharge. A discharge is defined as an inpatient who: 
(1) is formally released from the care of the hospital and leaves the hospital, or 
(2) is transferred within the hospital from one type of care to another type of care, as defined by Subsection (x) of Section 97212, or 
(3) leaves the hospital against medical advice, without a physician's order or is a psychiatric patient who is discharged as away without leave (AWOL), or 
(4) has died. 
(f) Do Not Resuscitate (DNR) Order. A DNR order is a directive from a physician in a patient's current inpatient medical record instructing that the patient is not to be resuscitated in the event of a cardiac or pulmonary arrest. In the event of a cardiac or pulmonary arrest, resuscitative measures include, but are not limited to, the following: cardiopulmonary resuscitation (CPR), intubation, defibrillation, cardioactive drugs, or assisted ventilation. 
(g) Emergency Care Data Record. The Emergency Care Data Record consists of the set of data elements related to an encounter, as specified in Subsection (a) of Section 128736 of the Health and Safety Code and as defined in Sections 97251-97265 and 97267. 
(h) Emergency Department (ED). Emergency Department means, in a hospital licensed to provide emergency medical services, the location in which those services are provided, as specified in Subsection (c) of Section 128700 of the Health and Safety Code. For the purposes of this chapter, this includes emergency departments providing standby, basic, or comprehensive services. 
(i) Encounter. An encounter is a face-to-face contact between an outpatient and a provider. 
(j) Error. Error means any record found to have an invalid entry or to contain incomplete data or to contain illogical data. 
(k) Facility Identification Number. A unique six-digit number that is assigned to each facility and shall be used to identify the facility.
(l) Freestanding Ambulatory Surgery Clinic. Freestanding ambulatory surgery clinic means a surgical clinic that is licensed by the state under paragraph (1) of subdivision (b) of Section 1204 of the Health and Safety Code. This type of facility is commonly known as a freestanding ambulatory surgery center. 
(m) Hospital Discharge Abstract Data Record: The Hospital Discharge Abstract Data Record consists of the set of data elements related to a discharge, as specified in Subsection (g) of Section 128735 of the Health and Safety Code and as defined by Sections 97216-97234 for Inpatients. 
(n) ICD-9-CM. The International Classification of Diseases, 9th Revision, Clinical Modification, published by the U.S. Department of Health and Human Services. Coding guidelines and annual revisions to ICD-9-CM are made nationally by the “cooperating parties” (the American Hospital Association, the Centers for Medicare and Medicaid Services, the National Center for Health Statistics, and the American Health Information Management Association). 
(o) Inpatient. An inpatient is defined as a baby born alive in this hospital or a person who was formally admitted to the hospital for observation, diagnosis, or treatment, with the expectation of remaining overnight or longer. 
(p) Licensee. Licensee means an entity that has been issued a license to operate a facility as defined by Subsection (e) or (g) of Section 128700 of the Health and Safety Code. 
(q) MIRCal. MIRCal means the OSHPD Medical Information Reporting for California system that is the online transmission system through which reports are submitted using an Internet web browser either by file transfer or data entry. It is a secure means of electronic transmission of data in an automated environment and allows facilities to edit and correct data held in a storage database until reports meet or exceed the Approval Criteria specified in Section 97247. 
(r) MS-DRG. Medicare Severity Diagnosis Related Groups is a classification scheme with which to categorize inpatients according to clinical coherence and expected resource intensity, as indicated by their diagnoses, procedures, sex, and disposition. It was established and is revised annually by the U.S. Department of Health and Human Services (DHHS) Centers for Medicare and Medicaid Services (CMS). 
(s) Outpatient. An outpatient means: 
(1) a person who has been registered or accepted for care but not formally admitted as an inpatient and who does not remain over 24 hours, as specified in Subsection (a)(2) of Section 70053 of Title 22 of the California Code of Regulations, or 
(2) a patient at a freestanding ambulatory surgery clinic who has been registered and accepted for care. 
(t) Provider. A provider is the person who has primary responsibility for assessing and treating the condition of the patient at a given contact and exercises independent judgment in the care of the patient. This would include a practitioner licensed as a Medical Doctor (M.D.), a Doctor of Osteopathy, (D.O.), a Doctor of Dental Surgery (D.D.S.), or a Doctor of Podiatric Medicine (D.P.M.). 
(u) Record. A record is defined as the set of data elements specified in Subsection (g) of Section 128735, Subsection (a) of Section 128736, or Subsection (a) of Section 128737 of the Health and Safety Code, for one discharge or for one encounter. 
(v) Report. A report is defined as the collection of all Hospital Discharge Abstract Data Records, or all Emergency Care Data Records, or all Ambulatory Surgery Data Records required to be submitted by a reporting facility for one reporting period. A report contains only one type of record. 
(w) Reporting Facility. Reporting facility means a hospital or a freestanding ambulatory surgery clinic required to submit data records, as specified in Subsection (g) of Section 128735, or Subsection (a) of Section 128736, or Subsection (a) of Section 128737 of the Health and Safety Code. 
(x) Type of Care. Type of care in hospitals is defined as one of the following: 
(1) Skilled nursing/intermediate care. Skilled nursing/intermediate care means inpatient care that is provided to inpatients occupying beds appearing on a hospital's license in the classifications of skilled nursing or intermediate care, as defined by paragraphs (2), (3), or (4) of Subdivision (a) of Section 1250.1 of the Health and Safety Code. Skilled nursing/intermediate care also means inpatient care that is provided to inpatients occupying general acute care beds that are being used to provide skilled nursing/intermediate care to those inpatients in an approved swing bed program. 
(2) Physical rehabilitation care. Physical rehabilitation care means inpatient care that is provided to inpatients occupying beds included on a hospital's license within the general acute care classification, as defined by paragraph (1) of Subdivision (a) of Section 1250.1 of the Health and Safety Code, and designated as rehabilitation center beds, as defined by Subsection (a) of Section 70034 and by Section 70595 of Title 22 of the California Code of Regulations. 
(3) Psychiatric care. Psychiatric care means inpatient care that is provided to inpatients occupying beds appearing on a hospital's license in the classification of acute psychiatric beds, as defined by paragraph (5) of Subdivision (a) Section 1250.1 of the Health and Safety Code, and psychiatric health facility, as defined by Subdivision (a) of Section 1250.2 of the Health and Safety Code. 
(4) Chemical dependency recovery care. Chemical dependency recovery care means inpatient care that is provided to inpatients occupying beds appearing on a hospital's license as chemical dependency recovery beds, as defined by paragraph (7) of Subdivision (a) of Section 1250.1 of the Health and Safety Code and Subdivisions (a), (c), or (d) of Section 1250.3 of the Health and Safety Code. 
(5) Acute care. Acute care, as defined by paragraph (1) of Subdivision (a) of Section 1250.1 of the Health and Safety Code, means all other types of inpatient care provided to inpatients occupying all other types of licensed beds in a hospital, other than those defined by paragraphs (1), (2), (3) and (4) of Subsection (x) of this section. 
(y) User Account Administrator. A healthcare facility representative responsible for maintaining the facility's MIRCal user accounts and user account contact information. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 1250, 1250.1, 128700, 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. New section applicable to all discharges after December 31, 1996 filed 7-15-96; operative 8-14-96 (Register 96, No. 29).
2. Editorial correction of subsections (c)(2) and (g)(2) (Register 97, No. 19).
3. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
4. Repealer of version of section 97212 applicable through 12-31-96 and amendment of version of section applicable beginning 1-1-97 filed 9-21-98; operative 10-21-98 (Register 98, No. 39). For prior history see Register 97, No. 30.
5. Amendment filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
6. Repealer and new section and amendment of Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
7. Change without regulatory effect amending subsection (p) filed 8-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 32).
8. Change without regulatory effect amending subsection (a), repealing subsection (f), relettering subsections, amending newly designated subsections (g) and (m) and adding subsection (r) filed 8-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 34).
§97213. Required Reporting.
Note     •     History

(a) (1) Hospital Discharge Abstract Data: Each hospital shall submit a hospital discharge abstract data record, as specified in Subdivision (g) of Section 128735 of the Health and Safety Code, for each inpatient discharged during the semiannual reporting period, according to the format specified in Subsection (a) of Section 97215 and by the dates specified in Subsection (c)(1) of Section 97211.
(2) Emergency Care Data: Each hospital shall submit an emergency care data record, as specified in Subsection (a) of Section 128736 of the Health and Safety Code, for each encounter during the quarterly reporting period, according to the format specified in Subsection (b) of Section 97215 and by the dates specified in Subsection (c)(2) of Section 97211. A hospital shall not report an Emergency Care Data Record if the encounter resulted in a same-hospital admission. 
(3) Ambulatory Surgery Data: Each hospital and freestanding ambulatory surgery clinic shall submit an ambulatory surgery data record, as specified in Subsection (a) of Section 128737 of the Health and Safety Code, for each encounter during which at least one ambulatory surgery procedure is performed, during the quarterly reporting period, according to the format specified in Subsection (c) of Section 97215 and by the dates specified in Subsection (c)(3) of Section 97211. An ambulatory surgery procedure is defined by Subsection (a) of Section 128700 of the Health and Safety Code as those procedures performed on an outpatient basis in the general operating rooms, ambulatory surgery rooms, endoscopy units, or cardiac catheterization laboratories of a hospital or a freestanding ambulatory surgery clinic. A hospital shall not report an Ambulatory Surgery Data Record if the encounter resulted in a same-hospital admission. 
(b) A hospital shall separately identify records of inpatients being discharged from the acute care type of care, as defined by paragraph (5) of Subsection (x) of Section 97212. The hospital shall identify these records by recording a “1” on each of these records as specified in the Format and File Specifications for MIRCal Online Transmission: Inpatient Data in Section 97215.
(c) A hospital shall separately identify records of inpatients being discharged from the skilled nursing/intermediate care type of care, as defined by paragraph (1) of Subsection (x) of Section 97212. The hospital shall identify these records by recording a “3” on each of these records as specified in the Format and File Specifications for MIRCal Online Transmission: Inpatient Data in Section 97215.
(d) A hospital shall separately identify records of inpatients being discharged from the psychiatric care type of care, as defined by paragraph (3) of Subsection (x) of Section 97212. The hospital shall identify these records by recording a “4” on each of these records as specified in the Format and File Specifications for MIRCal Online Transmission: Inpatient Data in Section 97215.
(e) A hospital shall separately identify records of inpatients being discharged from the chemical dependency recovery care type of care, as defined by paragraph (4) of Subsection (x) of Section 97212. The hospital shall identify these records by recording a “5” on each of these records as specified in the Format and File Specifications for MIRCal Online Transmission: Inpatient Data in Section 97215.
(f) A hospital shall separately identify records of inpatients being discharged from the physical rehabilitation care type of care, as defined by paragraph (2) of Subsection (x) of Section 97212. The hospital shall identify these records by recording a “6” on each of these records as specified in the Format and File Specifications for MIRCal Online Transmission: Inpatient Data in Section 97215.
(g) Licensees operating and maintaining more than one physical plant on separate premises under a single consolidated license who choose to file separate data reports for each location must request, in writing, a modification to file separate data reports for each location. A licensee granted a modification under this paragraph shall be responsible for all regulatory requirements for each separate report. Separate extension requests, filed under the provisions of Section 97241, shall be required for each report, and penalties, assessed pursuant to Section 97250, shall be assessed on each delinquent report. 
NOTE

Authority cited: Section 128810 Health and Safety Code. Reference: Sections 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. New section applicable to all discharges after December 31, 1996 filed 7-15-96; operative 8-14-96 (Register 96, No. 29).
2. Editorial correction of subsection (d) (Register 97, No. 19).
3. Editorial correction of subsection (d) (Register 97, No. 30).
4. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
5. Repealer of version of section 97213 applicable through 12-31-96 and amendment of version of section 97213 applicable beginning 1-1-97 filed 9-21-98; operative 10-21-98 (Register 98, No. 39). For prior history see Register 97, No. 30.
6. Amendment filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
7. Amendment of section and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
8. Change without regulatory effect amending subsections (b)-(f) filed 8-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 34).
§97214. Form of  Authentication. [Repealed]
Note     •     History

NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section  128735, Health and Safety Code.
HISTORY

1. New section applicable to all discharges after December 31, 1996 filed 7-15-96; operative 8-14-96 (Register 96, No. 29).
2. Amendment filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Repealer of version of section 97214 applicable through 12-31-96 and amendment of version of section 97214 applicable beginning 1-1-97 filed 9-21-98; operative 10-21-98 (Register 98, No. 39). For prior history see Register 97, No. 30.
4. Repealer filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
§97215. Format.
Note     •     History

(a) Hospital Discharge Abstract Data reports for discharges occurring on or after July 1, 2008 shall comply with the Office's Format and File Specifications for MIRCal Online Transmission: Inpatient Data, as revised on March 20, 2008 and hereby incorporated by reference. 
(b) Emergency Care Data reports for encounters occurring on or after January 1, 2009 shall comply with the Office's Format and File Specifications for MIRCal Online Transmission: Emergency Care and Ambulatory Surgery Data, as revised on March 20, 2008 and hereby incorporated by reference.
(c) Ambulatory Surgery Data reports for encounters occurring on or after January 1, 2009 shall comply with the Office's Format and File Specifications for MIRCal Online Transmission: Emergency Care and Ambulatory Surgery Data, as revised on March 20, 2008. 
(d) The Office's Format and File Specifications for MIRCal Online Transmission as named in (a), (b), and (c) are available for download from the MIRCal website. The Office will make a hardcopy of either set of Format and File Specifications for MIRCal Online Transmission available to a reporting facility or designated agent upon request. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128735, 128736 and 128737, Health and Safety Code. 
HISTORY

1. Amendment of subsections (c) and (d) filed 2-22-90; operative 3-24-90 (Register 90, No. 9). 
2. Renumbering of former section 97215 to new section 97242 and new section 97215 filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
3. Editorial correction of  printing errors (Register 94, No. 17).
4. Amendment of first and second paragraphs filed 11-27-95; operative 1-1-96 (Register 95, No. 48).
5. Amendment of first three paragraphs and Note filed 7-15-96; operative 8-14-96 (Register 96, No. 29).
6. Amendment filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
7. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
8. Repealer and new section filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
9. Amendment of section and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
10. Amendment filed 11-13-2008; operative 11-13-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 46).
11. Amendment of subsections (a)-(c) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97216. Definition of Data Element for Inpatients--Date of Birth.
Note     •     History

The patient's birth date shall be reported in numeric form as follows: the 2-digit month, the 2-digit day, and the 4-digit year of birth. The numeric form for days and months from 1 to 9 must have a zero as the first digit. When the complete date of birth is unknown, as much of the date as is known shall be reported. At a minimum, an appropriate year of birth shall be reported. If only the age is known, the estimated year of birth shall be reported, and the month and day shall be reported as 01 for month and 01 for day. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. Renumbering of former section 97216 to new section 97243 and new section 97216 filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of  Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
5. Amendment filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97217. Definition of Data Element for Inpatients--Sex.
Note     •     History

The patient's gender shall be reported as male, female, other or unknown. “Other” includes sex changes, undetermined sex and live births with congenital abnormalities that obscure sex identification. “Unknown” indicates that the patient's sex was not available from the medical record.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97218. Definition of Data Element for Inpatients--Race.
Note     •     History

Effective with discharges on January 1, 1995, the patient's ethnic and racial background shall be reported as one choice from the following list of alternatives under ethnicity and one choice from the following list of alternatives under race:
(a) Ethnicity:
(1) Hispanic. A person who identifies with or is of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin.
(2) Non-Hispanic
(3) Unknown
(b) Race:
(1) White. A person having origins in or who identifies with any of the original caucasian peoples of Europe, North Africa, or the Middle East.
(2) Black. A person having origins in or who identifies with any of the black racial groups of Africa.
(3) Native American/Eskimo/Aleut. A person having origins in or who identifies with any of the original peoples of North America, and who maintains cultural identification through tribal affiliation or community recognition.
(4) Asian/Pacific Islander. A person having origins in or who identifies with any of the original oriental peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands. Includes Hawaii, Laos, Vietnam, Cambodia, Hong Kong, Taiwan, China, India, Japan, Korea, the Philippine Islands, and Samoa.
(5) Other. Any possible options not covered in the above categories.
(6) Unknown.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment of subsection (b)(4) filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97219. Definition of Data Element for Inpatients--ZIP Code.
Note     •     History

The “ZIP Code,” a unique code assigned to a specific geographic area by the U.S. Postal Service, for the patient's usual residence shall be reported for each patient discharge. Foreign residents shall be reported as “YYYYY” and unknown ZIP Codes shall be reported as “XXXXX.” If the city of residence is known, but not the street address, report the first three digits of the ZIP Code, and the last two digits as zeros. Hospitals shall distinguish the “homeless” (patients who lack a residence) from other patients lacking a numeric ZIP Code of residence by reporting the ZIP Code of homeless patients as “ZZZZZ.” If the patient has a 9-digit ZIP Code, only the first five digits shall be reported.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97220. Definition of Data Element for Inpatients--Patient Social Security Number.
Note     •     History

The patient's social security number is to be reported as a 9-digit number. If the patient's social security number is not recorded in the patient's medical record, the social security number shall be reported as “not in medical record,” by reporting the social security number as “000000001.” The number to be reported is to be the patient's social security number, not the social security number of some other person, such as the mother of a newborn or the insurance beneficiary under whose account the hospital's bill is to be submitted.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97221. Definition of Data Element for Inpatients--Admission Date.
Note     •     History

The patient's date of admission shall be reported in numeric form as follows: the 2-digit month, the 2-digit day and the 4-digit year. The numeric form for days and months from 1 to 9 must have a zero as the first digit. For discharges representing a transfer of a patient from one level of care within the hospital to another level of care within the hospital, as defined by Subsection (x) of Section 97212 and reported pursuant to Section 97212, the admission date reported shall be the date the patient was transferred to the level of care being reported on this record.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section applicable to all discharges after December 31, 1996 filed 7-15-96; operative 8-14-96 (Register 96, No. 29).
2. Amendment filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Repealer of version of section 97221 applicable through 12-31-96 and amendment of version of section 97221 applicable beginning 1-1-97 filed 9-21-98; operative 10-21-98 (Register 98, No. 39). For prior history see Register 97, No. 30.
4. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97222. Definition of Data Element for Inpatients--Source of Admission.
Note     •     History

Effective with discharges on or after January 1, 1997, in order to describe the patient's source of admission, it is necessary to address three aspects of the source: first, the site from which the patient originated; second, the licensure of the site from which the patient originated; and, third, the route by which the patient was admitted. One alternative shall be selected from the list following each of three aspects:
(a) The site from which the patient was admitted.
(1) Home. A patient admitted from the patient's home, the home of a relative or friend, or a vacation  site, whether or not the patient was seen at a physician's office, or a clinic not licensed or certified as an ambulatory surgery facility, or had been receiving home health services or hospice care at home.
(2) Residential Care Facility. A patient admitted from a facility in that the patient resides and that provides special assistance to its residents in activities of daily living, but that provides no organized health care.
(3) Ambulatory Surgery. A patient admitted after treatment or examination in an ambulatory surgery facility, whether hospital-based or a freestanding licensed ambulatory surgery clinic or certified ambulatory surgery center. Excludes physicians' offices and clinics not licensed or certified as an ambulatory surgery facility.
(4) Skilled Nursing/Intermediate Care. A patient admitted from skilled nursing care or intermediate care, whether freestanding or hospital-based, or from a Congregate Living Health Facility.
(5) Acute Hospital Care. A patient who was an inpatient at a hospital, and who was receiving inpatient hospital care of a medical/surgical nature, such as a perinatal, pediatric, intensive care, coronary care, respiratory care, newborn intensive care, or burn unit of a hospital.
(6) Other Hospital Care. A patient who was an inpatient at a hospital, and who was receiving inpatient hospital care not of a medical/surgical nature, such as in a psychiatric, physical medicine rehabilitation, or chemical dependency recovery treatment unit.
(7) Newborn. A baby born alive in this hospital.
(8) Prison/Jail. A patient admitted from a correctional institution.
(9) Other. A patient admitted from a source other than mentioned above. Includes patients admitted from an inpatient hospice facility.
(b) Licensure of the site.
(1) This Hospital. The Ambulatory Surgery, Skilled Nursing/Intermediate Care, Acute Hospital Care, or Other Hospital Care from which the patient was admitted was operated as part of the license of this hospital. Includes all newborns.
(2) Another Hospital. The Ambulatory Surgery, Skilled Nursing/Intermediate Care, Acute Hospital Care, or Other Hospital Care from which the patient was admitted was operated as part of the license of some other hospital.
(3) Not a Hospital. The site from which the patient was admitted was not operated under the license of a hospital. Includes all patients admitted from Home, Residential Care, Prison/Jail, and Other sites. Includes patients admitted from Ambulatory Surgery or Skilled Nursing/Intermediate Care sites that were not operated under the authority of the license of any hospital. Excludes all patients admitted from Acute Hospital Care or Other Hospital Care.
(c) Route of admission.
(1) Your Emergency Room. Any patient admitted as an inpatient after being treated or examined in this hospital's emergency room. Excludes patients seen in the emergency room of another hospital.
(2) Not Your Emergency Room. Any patient admitted as an inpatient without being treated or examined in this hospital's emergency room. Includes patients seen in the emergency room of some other hospital and patients not seen in any emergency room.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Editorial correction of  printing errors in subsection  (a)(5) (Register 94, No. 17).
3. Amendment of subsection (b), new subsections (c)-(c)(3)(B) and amendment of Note filed 7-15-96; operative 8-14-96 (Register 96, No. 29).
4. Editorial correction of subsection (b)(1)(G) (Register 97, No. 19).
5. Amendment filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
6. Repealer of subsections (a)-(a)(3)(B), subsection relettering, and amendment of remainder of section filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
7. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
8. Amendment of subsections (a)(1), (a)(3)-(4) and (a)(9) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97223. Definition of Data Element for Inpatients--Type of Admission.
Note     •     History

Effective with discharges on January 1, 1995, the patient's type of admission shall be reported using one of the following categories:
(a) Scheduled. Admission was arranged with the hospital at least 24 hours prior to the admission.
(b) Unscheduled. Admission was not arranged with the hospital at least 24 hours prior to the admission.
(c) Infant. An infant less than 24 hours old.
(d) Unknown. Nature of admission not known. Does not include stillbirths.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Editorial correction of  printing errors in subsections  (a)(1)  and (b) (Register 94, No. 17).
3. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
4. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97224. Definition of Data Element for Inpatients--Discharge Date.
Note     •     History

The patient's date of discharge shall be reported in numeric form as follows: the 2-digit month, the 2-digit day, and the 4-digit year. The numeric form for days and months from 1 to 9 must have a zero as the first digit.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97225. Definition of Data Element for Inpatients-- Principal Diagnosis and Present on Admission Indicator.
Note     •     History

(a) The patient's principal diagnosis, defined as the condition established, after study, to be the chief cause of the admission of the patient to the facility for care, shall be coded according to the ICD-9-CM.
(b) Effective with discharges on or after July 1, 2008, whether the patient's principal diagnosis was present on admission shall be reported as one of the following:
(1) Y. Yes. Condition was present at the time of inpatient admission. 
(2) N. No. Condition was not present at the time of inpatient admission. 
(3) U. Unknown. Documentation is insufficient to determine if the condition was present on admission. 
(4) W. Clinically undetermined. Provider is unable to clinically determine whether the condition was present on admission or not.
(5) (blank) Exempt from present on admission reporting. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of section heading and section filed 11-27-95; operative 1-1-96 (Register 95, No. 48).
3. Amendment of Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
4. Amendment of subsections (a) and (b) filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
5. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
6. Amendment of section heading and subsection (b) and new subsections (c)-(c)(5) filed 11-13-2008; operative 11-13-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 46).
7. Repealer of subsections (b)-(b)(3) and subsection relettering filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97226. Definition of Data Element for Inpatients--Other Diagnoses and Present on Admission Indicator.
Note     •     History

(a) The patient's other diagnoses are defined as all conditions that coexist at the time of admission, that develop subsequently during the hospital stay, or that affect the treatment received and/or the length of stay. Diagnoses that relate to an earlier episode that have no bearing on the current hospital stay are to be excluded. Diagnoses shall be coded according to the ICD-9-CM. ICD-9-CM codes from the Supplementary Classification of External Causes of Injury and Poisoning (E800-E999) and codes from Morphology of Neoplasms (M800-M997 codes) shall not be reported as other diagnoses.
(b) Effective with discharges on or after July 1, 2008, whether the patient's other diagnosis was present on admission shall be reported as one of the following: 
(1) Y. Yes. Condition was present at the time of inpatient admission. 
(2) N. No. Condition was not present at the time of inpatient admission. 
(3) U. Unknown. Documentation is insufficient to determine if the condition was present on admission. 
(4) W. Clinically undetermined. Provider is unable to clinically determine whether the condition was present on admission or not. 
(5) (blank) Exempt from present on admission reporting. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of section heading and section filed 11-27-95; operative 1-1-96 (Register 95, No. 48).
3. Amendment of subsection (a) and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
4. Amendment of subsections (a) and (b) filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
5. Amendment of section heading and subsection (a) filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
6. Amendment of section heading and subsection (b) and new subsections (c)-(c)(5) filed 11-13-2008; operative 11-13-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 46).
7. Repealer of subsections (b)-(b)(3) and subsection relettering filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97227. Definition of Data Element for Inpatients--External Cause of Injury and Present on Admission Indicator.
Note     •     History

(a) The external cause of injury consists of the ICD-9-CM codes E800-E999 (E-codes), that are codes used to describe the external causes of injuries, poisonings, and adverse effects. If the information is available in the medical record, E-codes sufficient to describe the external causes shall be reported for records with a principal and/or other diagnoses classified as injuries or poisonings in Chapter 17 of the ICD-9-CM (800-999), or where a code from Chapters 1-16 of the ICD-9-CM (001-799) indicates that an additional E-code is applicable. An E-code is to be reported on the record for the first episode of care reportable to the Office during which the injury, poisoning, and/or adverse effect was diagnosed and/or treated. If the E-code has been previously reported on a discharge or encounter record to the Office, the E-code should not be reported again on the discharge record. To assure uniform reporting of E-codes, when multiple codes are required to completely classify the cause, the first (principal) E-code shall describe the mechanism that resulted in the most severe injury, poisoning, or adverse effect. If the principal E-code does not include a description of the place of occurrence of the most severe injury or poisoning, an E-code shall be reported to designate the place of occurrence, if available in the medical record. Additional E-codes shall be reported, if necessary to completely describe the mechanisms that contributed to, or the causal events surrounding, any injury, poisoning, or adverse effect.
(b) Effective with discharges on or after July 1, 2008, whether the patient's External Cause of Injury was present on admission shall be reported as one of the following: 
(1) Y. Yes. Condition was present at the time of inpatient admission. 
(2) N. No. Condition was not present at the time of inpatient admission. 
(3) U. Unknown. Documentation is insufficient to determine if the condition was present on admission. 
(4) W. Clinically undetermined. Provider is unable to clinically determine whether the condition was present on admission or not.
(5) (blank) Exempt from present on admission reporting. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading and section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
5. Amendment filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
6. Amendment of section heading, redesignation of section as subsection (a) and new subsections (b)-(b)(5) filed 11-13-2008; operative 11-13-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 46).
7. Amendment of subsection (a) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97228. Definition of Data Element for Inpatients--Principal Procedure and Date.
Note     •     History

The patient's principal procedure is defined as one that was performed for definitive treatment rather than one performed for diagnostic or exploratory purposes, or was necessary to take care of a complication. If there appear to be two procedures that are principal, then the one most related to the principal diagnosis should be selected as the principal procedure. Procedures shall be coded according to the ICD-9-CM. If only non-therapeutic procedures were performed, then a non-therapeutic procedure should be reported as the principal procedure, if it was a significant procedure. A significant procedure is one that is surgical in nature, or carries a procedural risk, or carries an anesthetic risk, or is needed for MS-DRG assignment. The date the principal procedure was performed shall be reported in numeric form as follows: the 2-digit month, the 2-digit day and the 4-digit year. The numeric form for days and months from 1 to 9 must have a zero as the first digit.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
5. Change without regulatory effect amending section filed 8-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 34).
§97229. Definition of Data Element for Inpatients--Other Procedures and Dates.
Note     •     History

All significant procedures are to be reported. A significant procedure is one that is surgical in nature, or carries a procedural risk, or carries an anesthetic risk, or is needed for MS-DRG assignment.  Procedures shall be coded according to the ICD-9-CM. The dates shall be recorded with the corresponding other procedures and be reported in numeric form as follows: the 2-digit month, the 2-digit day, and the 4-digit year. The numeric form for days and months from 1 to 9 must have a zero as the first digit.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
5. Change without regulatory effect amending section filed 8-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 34).
§97230. Definition of Data Element for Inpatients--Total Charges.
Note     •     History

The total charges are defined as all charges for services rendered during the length of stay for patient care at the facility, based on the hospital's full established rates. Charges shall include, but not be limited to, daily hospital services, ancillary services and any patient care services. Hospital-based physician fees shall be excluded. Prepayment (e.g. deposits and prepaid admissions) shall not be deducted from Total Charges. If a patient's length of stay is more than 1 year (365 days), report Total Charges for the last year (365 days) of stay only.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97231. Definition of Data Element for Inpatients--Disposition of Patient.
Note     •     History

Effective with discharges on or after January 1, 1997, the patient's disposition, defined as the consequent arrangement or event ending a patient's stay in the reporting facility, shall be reported as one of the following:
(a) Routine Discharge. A patient discharged from this hospital to return home or to another private residence. Patients scheduled for follow-up care at a physician's office or a clinic not licensed or certified as an ambulatory surgery facility shall be included. Excludes patients referred to a home health service.
(b) Acute Care Within This Hospital. A patient discharged to inpatient hospital care that is of a medical/surgical nature, such as to a perinatal, pediatric, intensive care, coronary care, respiratory care, newborn intensive care, or burn unit within this reporting hospital.
(c) Other Type of Hospital Care Within This Hospital. A patient discharged to inpatient hospital care not of a medical/surgical nature and not skilled nursing/intermediate care, such as to a psychiatric, physical medicine rehabilitation, or chemical dependency recovery treatment unit within this reporting hospital.
(d) Skilled Nursing/Intermediate Care Within This Hospital. A patient discharged to a Skilled Nursing/Intermediate Care Distinct Part within this reporting hospital.
(e) Acute Care at Another Hospital. A patient discharged to another hospital to receive inpatient care that is of a medical/surgical nature, such as to a perinatal, pediatric, intensive care, coronary care, respiratory care, newborn intensive care, or burn unit of another hospital.
(f) Other Type of Hospital Care at Another Hospital. A patient discharged to another hospital to receive inpatient hospital care not of a medical/surgical nature and not skilled nursing/intermediate care, such as to a psychiatric, physical medicine rehabilitation, or chemical dependency recovery treatment unit of another hospital.
(g) Skilled Nursing/Intermediate Care Elsewhere. A patient discharged from this hospital to a Skilled Nursing/Intermediate Care type of care, either freestanding or a distinct part within another hospital, or to a Congregate Living Health Facility.
(h) Residential Care Facility. A patient discharged to a facility that provides special assistance to its residents in activities of daily living, but that provides no organized health care.
(i) Prison/Jail. A patient discharged to a correctional institution.
(j) Against Medical Advice. Patient left the hospital against medical advice without a physician's discharge order. Psychiatric patients discharged from away without leave (AWOL) status are included in this category.
(k) Died. All episodes of inpatient care that terminated in death. Patient expired after admission and before leaving the hospital.
(l) Home Health Service. A patient referred to a licensed home health service program.
(m) Other. A disposition other than mentioned above. Includes patients discharged to an inpatient hospice facility.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment of subsection (b), new subsections (c)-(c)(13) and amendment of Note filed 7-15-96; operative 8-14-96 (Register 96, No. 29).
3. Amendment filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
4. Repealer of subsections (a)-(a)(13), subsection relettering, and amendment of remainder of section filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
5. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
6. Amendment of subsections (a), (g) and (m) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97232. Definition of Data Element for Inpatients--Expected Source of Payment.
Note     •     History

Effective with discharges on or after January 1, 1999, the patient's expected source of payment shall be reported using the following:
(1) Payer Category: The type of entity or organization which is expected to pay or did pay the greatest share of the patient's bill.
(A) Medicare. A federally administered third party reimbursement program authorized by Title XVIII of the Social Security Act. Includes crossovers to secondary payers.
(B) Medi-Cal. A state administered third party reimbursement program authorized by Title XIX of the Social Security Act.
(C) Private Coverage. Payment covered by private, non-profit, or commercial health plans, whether insurance or other coverage, or organizations. Included are payments by local or organized charities, such as the Cerebral Palsy Foundation, Easter Seals, March of Dimes, or Shriners.
(D) Workers' Compensation. Payment from workers' compensation insurance, government or privately sponsored.
(E) County Indigent Programs. Patients covered under Welfare and Institutions Code Section 17000. Includes programs funded in whole or in part by County Medical Services Program (CMSP), California Healthcare for Indigents Program (CHIP), and/or Realignment Funds whether or not a bill is rendered.
(F) Other Government. Any form of payment from government agencies, whether local, state, federal, or foreign, except those in Subsections (a)(1)(A), (a)(1)(B), (a)(1)(D), or (a)(1)(E) of this section. Includes funds received through the California Children Services (CCS), the Civilian Health and Medical Program of the Uniformed Services (TRICARE), and the Veterans Administration.
(G) Other Indigent. Patients receiving care pursuant to Hill-Burton obligations or who meet the standards for charity care pursuant to the hospital's established charity care policy. Includes indigent patients, except those described in Subsection (a)(1)(E) of this section.
(H) Self Pay. Payment directly by the patient, personal guarantor, relatives, or friends. The greatest share of the patient's bill is not expected to be paid by any form of insurance or other health plan.
(I) Other Payer. Any third party payment not included in Subsections (a)(1)(A) through (a)(1)(H) of this section. Included are cases where no payment will be required by the facility, such as special research or courtesy patients.
(2) Type of Coverage. For each Payer Category, Subsections (a)(1)(A) through (a)(1)(F) of this section, select one of the following Types of Coverage:
(A) Managed Care--Knox-Keene/Medi-Cal County Organized Health System. Health care service plans, including Health Maintenance Organizations (HMO), licensed by the Department of Corporations under the Knox-Keene Health Care Service Plan Act of 1975. Includes Medi-Cal County Organized Health Systems.
(B) Managed Care--Other. Health care plans, except those in Subsection (a)(2)(A) of this section, which provide managed care to enrollees through a panel of providers on a pre-negotiated or per diem basis, usually involving utilization review. Includes Preferred Provider Organization (PPO), Exclusive Provider Organization (EPO), Exclusive Provider Organization with Point-of-Service option (POS).
(C) Traditional Coverage. All other forms of health care coverage, including the Medicare prospective payment system, indemnity or fee-for-service plans, or other fee-for-service payers.
(3) Name of Plan. 
For discharges occurring on or after January 1, 2010, report the names of those plans which are licensed under the Knox-Keene Health Care Service Plan Act of 1975 or designated as a Medi-Cal County Organized Health System. For Type of Coverage, Subsection (2)(A) of this section, report the plan code number representing the name of the Knox-Keene licensed plan or the Medi-Cal County Organized Health System as shown in Table 1. 

Table 1. Plan Code Numbers for Knox-Keene Licensed Plans and Medi-Cal County Organized Health Systems: 
For use with discharges occurring on or after January 1, 2010 

Plan Names		Plan Code Numbers

Aetna Health Plans of California, Inc.	0176
AIDS Healthcare Foundation	0432
Alameda Alliance for Health	0328
Alameda Alliance Joint Powers Authority (QIF)	0440
American Family Care	0322
Arcadian Health Plan, Inc.	0468

Arta Medicare Health Plan Inc.	0441
Association Health Care Management Inc.	0420
Avante Behavioral Health Plan	0397
Blue Cross of California	0303
Blue Cross of California Partnership Plan (QIF)	0415
Blue Shield of California	0043
Caloptima (Orange County)	0394
Care 1st Health Plan	0326
Care 1st Health Plan Partner (QIF)	0443
CareMore Insurance Services, Inc	0408
Central Coast Alliance For Health	0401
 (Santa Cruz County/Monterey County)
Central Health Plan	0404
Chinese Community Health Plan	0278
CHG Foundation/Community Health Group	0431
 Partnership Plan (QIF)
Choice Physicians Network Inc.	0470
Cigna Behavioral Health of California	0298
Cigna HealthCare of California, Inc.	0152
Cigna HealthCare Pacific, Inc.	0325
Community Health Group	0200
Community Health Plan (County of Los Angeles)	0248
Concern	0402
Contra Costa Health Plan	0054
Contra Costa County Medical Services (QIF)	0424
Easy Choice Health Plan, Inc.	0457
EPIC Health Plan	0483
Fresno-Kings-Madera Regional Health Authority	0484
GemCare Health Plan, Inc.	0445
Golden State Medicare Health Plan	0474
Great-West Healthcare of California, Inc.	0325
HAI, Hai-Ca	0292
Health and Human Resource Center	0319
Health Net of California, Inc.	0300
Health Net Community Solutions Inc. (QIF)	0426
Health Plan of America (HPA)	0126
(The) Health Plan of San Joaquin	0338
Health Plan of San Joaquin Joint Powers Authority	0442
 (QIF)
Health Plan of San Mateo	0358
Heritage Provider Network, Inc.	0357
HHRC, Integrated Insights	0319
Holman Professional Counseling Centers	0231 
Honored Citizens Choice Health Plan, Inc.	0414
Humana Health Plan of California, Inc.	0476
IEHP Health Access (QIF)	0428
Inland Empire Health Plan (IEHP)	0346
Inter Valley Health Plan	0151
Kaiser Foundation Health Plan, Inc.	0055
Kern Health Systems Group Health Plan (QIF)	0425
Kern Health Systems Inc	0335
KP Cal, LLC (QIF) Kaiser	0438
LA Care Health Plan	0355
Magellan Health Services of California	0102
Managed Health Network	0196
MD Care, Inc.	0462
Medcore HP	0390
Molina Healthcare of California	0322
Molina Healthcare of California Partner Plan, Inc.	0427
Monarch Health Plan	0453
On Lok Senior Health Services	0385
PacifiCare Behavioral Health of California	0301
PacifiCare of California	0126
Partnership HealthPlan of California	0416

Premier Health Plan Services Inc.	0473
Primecare Medical Network, Inc.	0367
Positive Healthcare	0432
Robert T. Dorris & Associates	0409
San Francisco Community Health Authority	0423
San Francisco Community Health Authority (QIF)	0349
San Mateo Community Health Plan (QIF)	0439
San Miguel Health Plan	0459
Santa Barbara San Luis Obispo Regional Health Authority	0400
Santa Clara Community Health Authority (QIF)	0444
Santa Clara Family Health Plan	0351
Santa Clara Valley Med. Ctr.	0236
SCAN Health Plan	0212
Scripps Clinic Health Plan Services, Inc.	0377
Secure Horizons	0126
Sharp Health Plan	0310
Simnsa Health Care	0393
Sistemas Medicos Nacionales, S.A. De C.V.	0393
The Capella Group, Inc	0463
The Health Plan of San Joaquin	0338
UHC (UnitedHealthcare) of California	0126
UHP Healthcare	0008
Universal Care	0209
USA Healthcare Savings	0463
U.S. Behavioral Health Plan, California	0259
Valley Health Plan	0236
ValueOptions of California, Inc.	0293
Ventura County Health Care Plan	0344
WATTSHealth Foundation, Inc.	0008
Western Health Advantage	0348
Western Health Advantage Community Health Plan-(QIF)	0429
Other	8000 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment of section, including new subsection (a)(3)(A), filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Editorial correction of History 3 (Register 2000, No. 20). 
5. Change without regulatory effect repealing subsections (a)-(a)(14), renumbering subsections, amending newly designated subsections (a)(1)(F), (a)(1)(G), (a)(1)(I), (a)(2), (a)(2)(B) and (a)(3)(A), and adopting new subsection (a)(2)(B) filed 5-17-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 20).
6. Change without regulatory effect repealing subsection (a)(3)(A), relettering subsections, amending newly designated subsection (a)(3)(A) and adopting new subsection (a)(3)(B) filed 3-8-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 11).
7. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
8. Change without regulatory effect amending subsection (a)(1)(C), repealing subsection (a)(3)(A), relettering former subsection (a)(3)(B) to new subsection (a)(3)(A) and adopting new subsection (a)(3)(B) filed 8-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 32).
9. Amendment filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
10. Change without regulatory effect amending section filed 7-21-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 30).
11. Change without regulatory effect amending subsection (3) -- Table 1 filed 8-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 34).
12. Change without regulatory effect amending subsection (3) -- Table 1 filed 12-28-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§97233. Definition of Data Element for Inpatients--Prehospital Care and Resuscitation.
Note     •     History

Effective with discharges on or after January 1, 1999, information about resuscitation orders in a patient's current medical record shall be reported as follows:
(a) Yes, a DNR order was written at the time of or within the first 24 hours of the patient's admission to the hospital.
(b) No, a DNR order was not written at the time of or within the first 24 hours of the patient's admission to the hospital.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code.
HISTORY

1. New section filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
2. Amendment of section heading filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97234. Definition of Data Element for Inpatients-- Principal Language Spoken.
Note     •     History

Effective with discharges occurring on or after January 1, 2011, the patient's principal language spoken shall be reported using one of the following three alternatives: 
(a) If the patient's principal language spoken is known and is included in the following list of alternatives, report the three letter code from the list: 
ENG -- English 
AMH -- Amharic
ARA -- Arabic 
ARM -- Armenian
YUE -- Cantonese (Yue Chinese) 
CHI -- Chinese 
HRV -- Croatian 
PES -- Farsi
FRE -- French
CPF -- French Creole
GER -- German 
GRE -- Greek 
GUJ -- Gujarati 
HEB -- Hebrew 
HIN -- Hindi
HMN -- Hmong 
HUN -- Hungarian 
ILO -- Ilocano (Iloko) 
IND -- Indonesian
ITA -- Italian 
JPN -- Japanese 
KOR -- Korean 
LAO -- Lao
CMN -- Mandarin 
IUM -- Mien (Iu Mien) 
MKH -- Mon-Khmer
NAV -- Navajo
PAN -- Panjabi (Punjabi) 
PER -- Persian 
POL -- Polish
POR -- Portuguese 
RUS -- Russian
SMO -- Samoan 
SRP -- Serbian
SGN -- Sign Language
SPA -- Spanish 
SWA -- Swahili 
TGL -- Tagalog 
TEL -- Telugu 
THA -- Thai
TON -- Tonga 
UKR -- Ukrainian 
URD -- Urdu
VIE -- Vietnamese 
YID -- Yiddish
YOR -- Yoruba 
(b) Other. If the principal language spoken is known, but is not listed in subsection (a), report the full name of the language. 
(c) If the principal language spoken is unknown, report the three digit code 999. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 11-13-2008; operative 11-13-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 46).
2. Amendment of subsection (a) and repealer of subsection (a)(1)-(30) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
3. Amendment of first paragraph and subsection (a) filed 10-26-2010; operative 1-1-2011 pursuant to Government Code section 11343.4(b) (Register 2010, No. 44).
§97239. Hospital Identification Number. [Repealed]
Note     •     History

NOTE

Authority cited: Section 128765, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. New section filed 10-14-93; operative 11-15-93 (Register 93, No. 42). 
2. Amendment filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Repealer filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
§97240. Request for Modifications to Patient Data Reporting.
Note     •     History

(a) Reporting facilities may file a request with the Office for modifications to Hospital Discharge Abstract Data, Emergency Care Data, or Ambulatory Surgery Data reporting requirements. The modification request shall be supported by a detailed justification of the hardship that full reporting of data would have on the reporting facility; an explanation of attempts to meet data reporting requirements; and a description of any other factors that might justify a modification. Modifications may be approved for no more than one year. Modifications to the data reporting requirements must be approved before data to which they apply will be accepted. Any modifications to reporting requirements are subject to disclosure to data users.
(b) In determining whether a modification to data reporting requirements will be approved, the Office shall consider the information provided pursuant to subsection (a) and evaluate whether the requested modifications would impair the Office's ability to process the data or interfere with the purposes of the data reporting programs under the Act.
(c) Reporting facilities that did not have any discharges or encounters that are required to be reported pursuant to Section 97213(a) for a specific report period must complete and submit a separate No Data to Report form (OSH-HID 772) as Revised January 2011 on or before the required due date of the report either by using the online screen available through the MIRCal system or by printing the online No Data to Report form and mailing or faxing it to the Office for that report period.
(d) Any facility that is not licensed to provide inpatient care, or does not provide Emergency Care encounters, or does not provide outpatient procedures, or is not licensed as a surgical clinic, and from whom such reporting is not therefore expected, is not required to file a No Data to Report form.
NOTE

Authority cited: Sections 128760 and 128810, Health and Safety Code. Reference: Sections 128735, 128736, 128737 and 128760, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 97213 to new section 97240 filed 10-14-93; operative 11-15-93 (Register 93, No. 42).
2. Amendment of subsection (a) filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment of subsection (b)(2) filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading, section and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
5. New subsections (c)-(d) filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
6. Amendment of subsection (c) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
7. Change without regulatory effect amending subsection (c) filed 8-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 34).
8. Change without regulatory effect amending subsection (a) and Note filed 12-28-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
9. Amendment of subsection (a), repealer and new subsection (b) and repealer of subsections (b)(1)-(3) filed 10-18-2012; operative 11-17-2012 (Register 2012, No. 42).
§97241. Extensions of Time to File Reports.
Note     •     History

(a) Extensions are available to reporting facilities that are unable to complete the  submission of reports by the due date prescribed in Section 97211. 
(1) Requests for extension shall be filed on or before the required due date of the report by using the extension request screen available through the MIRCal system or by using the Patient Data Reporting Extension Request (form OSH-HID 770) as revised January 2011. Notices regarding the use of extension days, and new due dates, as well as notices of approval and rejection, will be e-mailed to the primary contact and Administrator e-mail addresses provided by the facility. If a Designated Agent e-mail contact address has been provided by the facility, this contact will also be notified.
(2) The Office shall respond within 5 days of receipt of the request by either granting what is determined to be a reasonable extension or disapproving the request. The Office shall not grant extensions that exceed the maximum number of days available for the report period for all extensions. If a reporting facility submits the report prior to the due date of an extension, those days not used will be applied to the number of remaining extension days. A reporting facility that wishes to contest any decision of the Office shall have the right to appeal, pursuant to Section 97052.
(b) A maximum of 14 extension days will be allowed for all extensions and resubmittals of reports with discharges or encounters occurring on or after January 1, 2005. 
(c) If a report is rejected on, or within 7 days before, or at any time after, any due date established by Subsections (c), or (d), of Section 97211, the Office shall grant, if available, an extension of 7 days. If less than 7 days are available all available extension days will be granted. 
(d) If the Office determines that the MIRCal system was unavailable for data submission for one or more periods of 4 or more continuous supported hours during the 4 State working days before a due date established pursuant to Section 97211, the Office shall extend the due date by 7 days. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128770, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 97214 to new section 97241 filed 10-14-93; operative 11-15-93 (Register 93, No. 42).
2. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
3. Amendment of last paragraph filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
4. Amendment of section heading and section filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
5. Amendment of section heading, section and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
6. Change without regulatory effect repealing subsections (b) and (c) and relettering subsections filed 8-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 32).
7. Amendment of subsections (a)(1) and (a)(2), repealer of subsections (a)(1)(A)-(C) and amendment of Note filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
8. Amendment of subsection (a)(1) filed 11-13-2008; operative 11-13-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 46).
9. Amendment of subsection (a)(1) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
10. Change without regulatory effect amending subsection (a)(1) filed 8-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 34).
§97242. Error Tolerance Levels. [Repealed]
Note     •     History

NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former section 97215 to new section 97242 filed 10-14-93; operative 11-15-93 (Register 93, No. 42).
2. Editorial correction of  printing errors in  tables 1 and 2 (Register 94, No. 17).
3. Amendment of Tables 1 and 2, newly designated subsection (d)(5)(A) and new subsection (d)(5)(B) filed 11-27-95; operative 1-1-96 (Register 95, No. 48).
4. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
5. Amendment of section, including repealer of table 2, filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
6. Repealer filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
§97243. Acceptance Criteria. [Repealed]
Note     •     History

NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Section 128735, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 97216 to new section 97243 filed 10-14-93; operative 11-15-93 (Register 93, No. 42).
2. Editorial correction of printing errors in subsection (b) (Register 94, No. 17).
3. Amendment of section and Note filed 7-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 30).
4. Amendment filed 9-21-98; operative 10-21-98 (Register 98, No. 39).
5. Repealer filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
§97244. Method of Submission.
Note     •     History

(a) Reporting facilities shall use the MIRCal system for submitting reports. Data shall be reported utilizing a Microsoft Internet Explorer web browser that supports a secure Internet connection utilizing the Secure Hypertext Transfer Protocol (HTTPS or https) and 128-bit cypher strength Secure Socket Layer (SSL) through either: 
(1) Online transmission of data reports as electronic data files, or 
(2) Online entry of individual records. 
(b) For Hospital Discharge Abstract Data reports: If an approved exemption is on file with the Office, pursuant to Health and Safety Code Section 128755, a hospital may report discharges occurring on or after January 1, 2009, by diskette or compact disk provided the hospital complies with the Office's Format and File Specifications for MIRCal Online Transmission: Inpatient Data, as revised on March 20, 2008.
(c) For Emergency Care Data reports: If an approved exemption is on file with the Office, pursuant to Health and Safety Code Section 128755, a hospital may report encounters on or after January 1, 2009 by diskette or compact disk provided the hospital complies with the Office's Format and File Specifications for MIRCal Online Transmission: Emergency Department and Ambulatory Surgery, revised March 20, 2008.
(d) For Ambulatory Surgery Data reports: If an approved exemption is on file with the Office, pursuant to Health and Safety Code Section 128755, a hospital may report encounters on or after January 1, 2009 by diskette or compact disk provided the hospital or freestanding ambulatory surgery clinic complies with the Office's Format and File Specifications for MIRCal Online Transmission: Emergency Department and Ambulatory Surgery, revised March 20, 2008. 
NOTE

Authority cited: Section 128755, Health and Safety Code. Reference: Sections 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. New section filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
2. Amendment of section and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
3. Amendment of subsections (c)-(d) filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
4. Amendment filed 11-13-2008; operative 11-13-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 46).
5. Amendment filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97245. Online Test Option.
Note     •     History

Reports may be tested before formal submission to the Office using the online test option. Online testing of the format and reports through the MIRCal online test option, before formal transmission, is the recommended means of ensuring compliant data that meets the standards established by the Office before the due date. Reports tested through the online test option will be subject to the same processing and will generate the same reports as data that is formally submitted. The format and reports may be tested through the test option as many times as needed to assure that the reports meet the standards established by the Office in Section 97247. 
NOTE

Authority cited: Section 128755, Health and Safety Code. Reference: Sections 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. New section filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
2. Amendment of Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
3. Amendment filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97246. Data Transmittal Requirements.
Note     •     History

(a) Reporting facilities submitting their own data online must use the MIRCal Online Data Transmittal by Facility method to file or submit each report. The following information must be included: the facility name, the unique identification number specified in Section 97210, the beginning and ending dates of the report period, the number of records in the report and the following statement of certification: 
I certify under penalty of perjury that I am an official of this facility and am duly authorized to submit these data; and that, to the extent of my knowledge and information, the accompanying records are true and correct, and that the applicable definitions of the data elements as set forth in Article 8 (Patient Data Reporting Requirements) of Chapter 10 (Health Facility Data) of Division 7 of Title 22 of in the California Code of Regulations, have been followed by this facility. 
(b) Reporting facilities that choose to designate an agent to submit their records must submit a hardcopy Agent Designation Form (OSH-HID 771, Revised: January 2011), hereby incorporated by reference, to the Office's Patient Data Program. Receipt of a subsequent hardcopy Agent Designation Form supercedes the previous designation. Each reporting facility shall notify the Office's Patient Data Program within 15 days after any change in designated agent. 
(c) An agent who has been designated by a reporting facility to submit that facility's data online must use the MIRCal Online Data Transmittal  by Agent method to file or submit reports. The following information must be included: the facility name, the facility identification number specified in Section 97210, the beginning and ending dates of the report period, and the number of records in the report. 
(d) Reporting facilities with an approved exemption to submit records using a diskette, or a compact disk must submit a hardcopy Individual Facility Transmittal Form (OSHPD 1370.1, Revised: March 10, 2009), hereby incorporated by reference. The Individual Facility Transmittal Form shall accompany the report. 
(e) Agents who have been designated by a reporting facility to submit a facility's report in accordance with an approved exemption as described in (d) above must submit a hardcopy Designated Agent Transmittal Form (OSHPD 1370.2, Revised: 06/09/2005), hereby incorporated by reference. The Designated Agent Transmittal Form shall accompany the facility's report. 
(f) A facility's administrator may designate no more than 3 User Account Administrators. For each User Account Administrator there must be an original signed Facility User Account Administrator Agreement Form (OSH-HID 773, Revised: February 2011), and hereby incorporated by reference, submitted to the Office. 
(g) A signed Designated Agent User Agreement Form (OSH-HID 774, Revised: February 2011), hereby incorporated by reference, must be submitted to the Office by an agent who has been designated to submit data online. 
(h) Reporting facilities and designated agents may obtain copies of the forms from the OSHPD web site at www.oshpd.ca.gov or by contacting the Office's Patient Data Program at (916) 326-3920 or (916) 326-3935. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. New section filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
2. Amendment of section and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
3. Amendment of subsections (b) and (d)-(g) filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
4. Amendment of subsections (b), (d) and (f)-(h) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
5. Change without regulatory effect amending subsections (b), (f) and (g) filed 8-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 34).
§97247. Approval Criteria.
Note     •     History

(a) The following requirements must be met for a report to be approved by the Office: 
(1) Complete transmittal information must be submitted with each report. 
(2) The facility identification number stated in the transmittal information must be consistent with the facility identification number on each of the records in the report. 
(3) The report period stated in the transmittal information must be consistent with all of the records in the report. 
(4) The number of records stated in the transmittal information must be consistent with the number of records contained in the report. 
(5) All records required to be reported pursuant to 97213(a) must be reported. 
(6) The data must be reported in compliance with the format specifications in Section 97215. 
(7) The data must be at, or below, the Error Tolerance Level specified in Section 97248. 
(8) The data must be consistent with the reporting facility's anticipated trends and comparisons, except as in (A) below: 
(A) If data are correctly reported and yet fail to meet approval criteria due to inconsistency with the reporting facility's anticipated trends and comparisons, the reporting facility may submit to the Office, in writing, a detailed explanation of why the data are correct as reported. The Office may determine, upon review of a written explanation, that it will approve a report. 
(9) Each report must contain only one type of record as specified in Subsections (1), (2), and (3) of Subsection (a) of Section 97213. 
(b) The Office shall approve or reject each report within 15 days of receiving it. The report shall be considered not filed as of the date that the facility is notified that the report is rejected. Notification of approval or rejection of any report submitted online shall not take more than 15 days unless there is a documented MIRCal system failure. 
NOTE

Authority cited: Sections 128810 and 128755, Health and Safety Code. Reference: Sections 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. Amendment of subsections (a)(5), (a)(8) and (a)(8)(A), new subsection (a)(9) and amendment of Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
2. Change without regulatory effect amending subsection (a)(8) filed 12-28-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§97248. Error Tolerance Level.
Note     •     History

(a) The Error Tolerance Level (ETL) for data reported to the Office shall be no more than 2%. Errors as defined in Subsection (j) of Section 97212, must be corrected to the ETL. 
(b) For hospital discharge abstract data reports that do not exceed the Error Tolerance Level specified in Subsection (a) of this Section, defaults will be as shown in Table 1 for discharges reported on and after July 1, 2008. 

Table 1. Hospital Discharge Abstract Data Record Defaults

	Invalid Data Element	Default

Admission date	delete record
Principal Diagnosis	799.9
All other data elements	blank or zero
(c) For emergency care data reports that do not exceed the Error Tolerance Level specified in Subsection (a) of this Section, defaults will be as shown in Table 2. 

Table 2: Emergency Care Data Record Defaults

	Invalid Data Element	Default

Service date	delete record
Principal Diagnosis	799.9
All other data elements	blank or zero
(d) For ambulatory surgery data reports that do not exceed the Error Tolerance Level specified in Subsection (a) of this Section, defaults will be as shown in Table 3. 

Table 3: Ambulatory Surgery Data Record Defaults

	Invalid Data Element	Default

Service date	delete record
Principal Diagnosis	799.9
All other data elements	blank or zero
NOTE

Authority cited: Section 128755, Health and Safety Code. Reference: Sections 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. New section filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
2. Amendment of section and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
3. Amendment of subsection (b), including redesignation of Table 1 as Table 1A and new Table 1B, filed 11-13-2008; operative 11-13-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 46).
4. Change without regulatory effect amending subsections (a)-(b) filed 8-23-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 34).
§97249. Hours of Operation.
Note     •     History

The MIRCal System will be supported from 8:00 a.m. to 5:00 p.m., Monday through Friday (except for Official State Holidays). System maintenance may cause intermittent MIRCal system unavailability. Contact the Patient Data Program at (916) 326-3920 or (916) 326-3935 to report possible MIRCal transmission problems. 
NOTE

Authority cited: Section 128755, Health and Safety Code. Reference: Sections 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. New section filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
2. Amendment of section and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
3. Amendment filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97250. Failure to File a Data Report.
Note     •     History

Any health facility which does not file any report completed as required by this article is liable for a civil penalty of one hundred dollars ($100) a day to be assessed and recovered in a civil action brought in the name of the people of the State of California by the Office for each day that the filing of the report is delayed, considering all approved extensions of the due date as provided in Section 97241. Assessed penalties may be appealed pursuant to Section 97052. Within fifteen days after the date the reports are due, the Office shall notify the health facility of reports not yet received, the amount of the liability, and potential future liability for failure to file reports when due. Sixty days after an original report due date as specified in Section 97211(c), the MIRCal system will close for that report period. No report for the period will be accepted after the MIRCal system closure. No additional penalties will accrue for outstanding reports after the MIRCal system closure for a report period.
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128735, 128736 and 128737, Health and Safety Code.
HISTORY

1. New section filed 9-23-2003; operative 9-23-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 39).
2. Amendment of section heading and Note filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
3. Amendment filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
§97251. Definition of Data Element for ED and AS--Date of Birth.
Note     •     History

(a) For online transmission of data reports as electronic data files, the patient's date of birth shall be reported in numeric form as follows: the 4-digit year, the 2-digit month, and the 2-digit day. The numeric form for days and months from 1 to 9 must have a zero as the first digit. 
(b) For online entry of individual records, the patient's date of birth shall be reported in numeric form as follows: the 2-digit month, the 2-digit day, and the 4-digit year. The numeric form for days and months from 1 to 9 must have a zero as the first digit. 
(c) When the complete date of birth is unknown, as much of the date as is known shall be reported. At a minimum, an approximate year of birth shall be reported. If only the age is known, the estimated year of birth shall be reported and the month and day can be reported as 01 for month and 01 for day. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97252. Definition of Data Element for ED and AS--Sex.
Note     •     History

The patient's gender shall be reported as male, female or unknown. Unknown indicates that the patient's sex was undetermined or not available from the medical record. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97253. Definition of Data Element for ED and AS--Race.
Note     •     History

The race shall be as self-reported by the patient or patient's guardian in cases where the patient is not capable of providing the information. The patient's race shall be reported as one choice from the following list of alternatives under race: 
(a) American Indian or Alaska Native 
(b) Asian 
(c) Black or African American 
(d) Native Hawaiian or Other Pacific Islander 
(e) White 
(f) Other Race 
(g) Unknown 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97254. Definition of Data Element for ED and AS--Ethnicity.
Note     •     History

The ethnicity shall be as self-reported by the patient or patient's guardian in cases where the patient is not capable of providing the information. The patient's ethnicity shall be reported as one choice from the following list of alternatives under ethnicity: 
(a) Hispanic or Latino Ethnicity 
(b) Non-Hispanic or Non-Latino Ethnicity 
(c) Unknown 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97255. Definition of Data Element for ED and AS--ZIP Code.
Note     •     History

The “ZIP Code,” a unique code assigned to a specific geographic area by the U.S. Postal Service, for the patient's usual residence shall be reported for each record. If the patient has a 9-digit ZIP Code, only the first five digits shall be reported. Do not report the ZIP Code of the hospital, third party payer, or billing address if it is different from the usual residence of the patient. If the patient's ZIP Code is not recorded in the patient's medical record, the patient's ZIP Code shall be reported as “not in medical record,” by reporting the unknown ZIP Code as “99999.” 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97256. Definition of Data Element for ED and AS--Patient Social Security Number.
Note     •     History

The patient's social security number is to be reported as a 9-digit number. If the patient's social security number is not recorded in the patient's medical record, the social security number shall be reported as “not in medical record,” by reporting the social security number as “000000001.” The number to be reported is to be the patient's social security number, not the social security number of some other person, such as the mother of a newborn or the insurance beneficiary under whose account the hospital's bill is to be submitted. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97257. Definition of Data Element for ED and AS--Service Date.
Note     •     History

(a) For online transmission of data reports as electronic data files, the patient's service date shall be reported in numeric form as follows: the 4-digit year, the 2-digit month, and the 2-digit day. The numeric form for days and months from 1 to 9 must have a zero as the first digit. 
(b) For online entry of individual records, the patient's service date shall be reported in numeric form as follows: the 2-digit month, the 2-digit day, and the 4-digit year. The numeric form for days and months from 1 to 9 must have a zero as the first digit. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97258. Definition of Data Element for ED and AS--Principal Diagnosis.
Note     •     History

The patient's principal diagnosis, defined as the condition, problem, or other reason established to be the chief cause of the encounter for care, shall be coded according to the ICD-9-CM. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97259. Definition of Data Element for ED and AS--Other Diagnoses.
Note     •     History

The patient's other diagnoses are defined as all conditions that coexist at the time of the encounter for emergency or ambulatory surgery care, that develop subsequently during the encounter, or that affect the treatment received. Diagnoses shall be coded according to the ICD-9-CM. ICD-9-CM codes from the Supplementary Classification of External Causes of Injury and Poisoning (E800-E999) and codes from Morphology of Neoplasms (M800-M997 codes) shall not be reported as other diagnoses. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97260. Definition of Data Element for ED and AS--Principal External Cause of Injury.
Note     •     History

The external cause of injury consists of the ICD-9-CM codes E800-E999 (E-codes), that are codes used to describe external causes of injuries, poisonings, and adverse effects. If the information is available in the medical record, E-codes sufficient to describe the external causes shall be reported on records with a principal and/or other diagnoses classified as injuries or poisonings in Chapter 17 of the ICD-9-CM (800-999), or where a code from Chapters 1-16 of the ICD-9-CM (001-799) indicates that an E-code is applicable. An E-code is to be reported on the record for the first episode of care reportable to the Office during which the injury, poisoning, and/or adverse effect was diagnosed and/or treated. If the E-code has been previously reported on a discharge or encounter record to the Office, the E-code should not be reported again on the encounter record. To assure uniform reporting of E-codes, when multiple codes are required to completely classify the cause, the first (principal) E-code shall describe the mechanism that resulted in the most severe injury, poisoning, or adverse effect. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
2. Amendment filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
3. Amendment filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97261. Definition of Data Element for ED and AS--Other External Cause of Injury.
Note     •     History

The external cause of injury consists of the ICD-9-CM codes E800-E999 (E-codes), that are codes used to describe the external causes of injuries, poisonings, and adverse effects. If the information is available in the medical record, E-codes sufficient to describe the external causes shall be reported for records with a principal and/or other diagnoses classified as injuries or poisonings in Chapter 17 of the ICD-9-CM (800-999), or where a code from Chapters 1-16 of the ICD-9-CM (001-799) indicates that an additional E-code is applicable. An E-code is to be reported on the record for the first episode of care reportable to the Office during which the injury, poisoning, and/or adverse effect was first diagnosed and/or treated. If the E-code has been previously reported on a discharge or encounter record to the Office, the E-code should not be reported again on the encounter record. If the principal E-code does not include a description of the place of occurrence of the most severe injury or poisoning, an E-code shall be reported to designate the place of occurrence, if available in the medical record. Additional E-codes shall be reported, if necessary to completely describe the mechanisms that contributed to, or the causal events surrounding, any injury, poisoning, or adverse effect. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
2. Amendment filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
3. Amendment filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§97262. Definition of Data Element for ED and AS--Principal Procedure.
Note     •     History

The patient's principal procedure is one that is surgical in nature, or carries a procedural risk, or carries an anesthetic risk. The procedure related to the principal diagnosis, as the chief reason for the encounter, shall be selected as the principal procedure. The procedure shall be coded according to the Current Procedural Terminology, Fourth Edition (CPT-4). 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97263. Definition of Data Element for ED and AS--Other Procedures.
Note     •     History

All significant procedures are to be reported. A significant procedure is one that is surgical in nature, or carries a procedural risk, or carries an anesthetic risk. Procedures shall be coded according to the Current Procedural Terminology, Fourth Edition (CPT-4). 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97264. Definition of Data Element for ED and AS--Disposition of Patient.
Note     •     History

The patient's disposition, defined as the consequent arrangement or event ending a patient's encounter in the reporting facility, shall be reported as one of the following: 
(a) Discharged to home or self care (routine discharge). 
(b) Discharged/Transferred to a short-term general hospital for inpatient care 
(c) Discharged/Transferred to a skilled nursing facility (SNF) with Medicare certification in anticipation of covered skilled care. 
(d) Discharged/Transferred to a facility that provides custodial or supportive care (includes intermediate care facility).
(e) Discharged/Transferred to a Designated Cancer Center or Children's Hospital. 
(f) Discharged/Transferred to home under care of an organized home health service organization in anticipation of covered skilled care. 
(g) Left against medical advice or discontinued care. 
(h) Expired. 
(i) Discharged/Transferred to Court/Law Enforcement. 
(j) Discharged/Transferred to a Federal health care facility. 
(k) Discharged home with hospice care. 
(l) Discharged to a medical facility with hospice care. 
(m) Discharged/Transferred to a hospital-based Medicare approved swing bed. 
(n) Discharged/Transferred to an inpatient rehabilitation facility (IRF) including a rehabilitation distinct part unit of a hospital. 
(o) Discharged/Transferred to a Medicare certified long term care hospital (LTCH). 
(p) Discharged/Transferred to a nursing facility certified under Medicaid (Medi-Cal), but not certified under Medicare. 
(q) Discharged/Transferred to a psychiatric hospital or psychiatric distinct part unit of a hospital. 
(r) Discharged/Transferred to a Critical Access Hospital (CAH).
(s) Discharged/Transferred to another type of health care institution not defined elsewhere in this code list. 
(t) Other. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
2. Amendment of subsections (c), (e) and (f), repealer of subsection (h), subsection relettering and repealer and new subsection (q) filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
3. Amendment of subsection (e), new subsections (i) and (s) and subsection relettering filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
4. Amendment of subsection (d) filed 10-26-2010; operative 1-1-2011 pursuant to Government Code section 11343.4(b) (Register 2010, No. 44).
§97265. Definition of Data Element for ED and AS--Expected Source of Payment.
Note     •     History

The patient's expected source of payment, defined as the type of entity or organization which is expected to pay or did pay the greatest share of the patient's bill, shall be reported using the following categories: 
(a) Self-pay. Payment directly by the patient, guarantor, relatives or friends. The greatest share of the patient's bill is not expected to be paid by any form of insurance or other third party. 
(b) Other Non-Federal Programs. Include any form of payment from local, county, or state government agencies. Include payments from county funds, whether from county general funds or from other funds used to support county health programs. Include County Indigent Programs, County Medical Services Program (CMSP), California Healthcare for Indigent Program (CHIP), County Children's Health Initiative Program (C-CHIP), and Short-Doyle funds. Also include the State Children's Health Insurance Program (SCHIP), Managed Risk Medical Insurance Board (MRMIB), Healthy Families Program (HFP), and Access for Infants and Mothers (AIM). 
(c) Preferred Provider Organization (PPO). 
(d) Point of Service (POS). 
(e) Exclusive Provider Organization (EPO). 
(f) Health Maintenance Organization (HMO) Medicare Risk. Medicare is defined by Title XVIII of the Social Security Act (42 USC 1395 et seq.) and Title I of the Federal Medicare Act (PL 89-97). Include Medicare patients covered under an HMO arrangement. 
(g) Automobile Medical. Include PPO, POS, EPO, HMO and Fee for Service or any other payment resulting from automobile coverage. 
(h) Blue Cross/Blue Shield. Include only Fee for Service payments. Report PPO, POS, EPO, and HMO under the appropriate stated categories. 
(i) CHAMPUS (TRICARE). Include any PPO, POS, EPO, HMO, Fee for Service, or other payment from the Civilian Health and Medical Program of the Uniformed Services or from TRICARE. 
(j) Commercial Insurance Company. Report payment from insurance carriers on a Fee for Service basis. Exclude PPO, POS, and EPO, payments. 
(k) Disability. 
(l) Health Maintenance Organization (HMO). Report HMO payors. Include Knox-Keene licensed plans as well as out of State HMO plans. No Plan Code Number or Plan Code Name is required for ED or AS records. Report Medicare payments covered under an HMO arrangement as Health Maintenance Organization (HMO) Medicare Risk. Report Medi-Cal payments covered under an HMO arrangement as Medicaid. 
(m) Medicare Part A. Defined by Title XVIII of the Social Security Act. Covers inpatient hospital stays, care in a skilled nursing facility, hospice care, and some home health care. 
(n) Medicare Part B. Defined by Title XVIII of the Social Security Act. Covers some outpatient hospital care and some home health services. 
(o) Medicaid. Medicaid is called Medi-Cal in California. Defined by Title XIX of the Social Security Act and Title I of the Federal Medicare Act (PL 89-97). Report all Medi-Cal including Fee for Service, PPO, POS, EPO, and HMO. 
(p) Other Federal Program. Report federal programs not covered by any other category. 
(q) Title V. Defined by the Federal Medicare Act (PL 89-97) for Maternal and Child Health. Title V of the Social Security Act is administered by the Health Resources and Services Administration, Public Health Service, Department of Health and Human Services. Include a Maternal and Child Health program payment that is not covered under Medicaid (Medi-Cal). California Children Services (CCS) payments should be reported here. 
(r) Veterans Affairs Plan. Include any PPO, POS, EPO, HMO, Fee for Service, or other payment resulting from Veterans Administration coverage. 
(s) Workers' Compensation Health Claim. Payment from Workers' Compensation Health Claim insurance should be reported under this category. 
(t) Other. Include payment by governments of other countries. Include payment by local or organized charities, such as the Cerebral Palsy Foundation, Easter Seals, March of Dimes, Shriners, etc. Include payments not listed in other categories. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code.
HISTORY

1. New section filed 5-5-2005; operative 5-5-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 18). 
§97266. Freestanding Ambulatory Surgery Encounter Fee Assessment.
Note     •     History

(a) The Office shall mail an annual notice of special fee assessment, as provided in Section 90417, and a remittance advice form to each freestanding ambulatory surgery clinic. The annual notice of special fee assessment and remittance advice form shall be mailed at least 20 days before the fee due date. The remittance advice form shall be completed by each surgical clinic and returned to the Office with full payment of the special fee amount. The fee shall be due on July 1st and delinquent on July 31st of each year. The basis of assessment is the number of ambulatory surgery data records submitted to the Office for encounters in the preceding calendar year.
(b) New surgical clinics which had no encounters in the previous calendar year are not liable for the initial special fee.
(c) New surgical clinics that have been operating for less than 12 months in the previous calendar year are liable for the special fee based on the number of ambulatory surgery data records submitted to the Office for encounters during the period of their licensed operations in the previous calendar year.
(d) Where there was a change in licensee during the prior calendar year, the current licensee shall be assessed a special fee based on the number of ambulatory surgery data records submitted to the Office for encounters that occurred during the time of their licensure.
(e) The Office shall determine the basis of assessment for special fee amounts due from surgical clinics in those circumstances not specifically covered above.
(f) To enforce payment of delinquent special fees, the Office shall notify the State Department of Health Services not to issue a license and not to renew the existing license of the delinquent surgical clinic until the special fees have been paid, pursuant to Section 127280, Health and Safety Code. A copy of the Office notice to the State Department of Health Services shall be sent to the delinquent surgical clinic.
NOTE

Authority cited: Sections 127150, 127280 and 128810, Health and Safety Code. Reference: Sections 127280 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 11-21-2006; operative 11-21-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 47).
§97267. Definition of Data Element for ED and AS--Principal Language Spoken.
Note     •     History

Effective with encounters occurring on or after January 1, 2011, the patient's principal language spoken shall be reported using one of the following three alternatives: 
(a) If the patient's principal language spoken is known and is included in the following list of alternatives, report the code from the list: 
ENG -- English 
AMH -- Amharic
ARA -- Arabic 
ARM -- Armenian
YUE -- Cantonese (Yue Chinese) 
CHI -- Chinese 
HRV -- Croatian 
PES -- Farsi
FRE -- French
CPF -- French Creole
GER -- German 
GRE -- Greek 
GUJ -- Gujarati 
HEB -- Hebrew 
HIN -- Hindi
HMN -- Hmong 
HUN -- Hungarian 
ILO -- Ilocano (Iloko) 
IND -- Indonesian
ITA -- Italian 
JPN -- Japanese 
KOR -- Korean 
LAO -- Lao
CMN -- Mandarin 
IUM -- Mien (Iu Mien) 
MKH -- Mon-Khmer
NAV -- Navajo
PAN -- Panjabi (Punjabi) 
PER -- Persian 
POL -- Polish
POR -- Portuguese 
RUS -- Russian
SMO -- Samoan 
SRP -- Serbian
SGN -- Sign Language
SPA -- Spanish 
SWA -- Swahili 
TGL -- Tagalog 
TEL -- Telugu 
THA -- Thai
TON -- Tonga 
UKR -- Ukrainian 
URD -- Urdu
VIE -- Vietnamese 
YID -- Yiddish
YOR -- Yoruba 
(b) Other. If the principal language spoken is known, but is not listed in subsection (a), report the full name of the language. 
(c) If the principal language spoken is unknown, report the three digit code 999. 
NOTE

Authority cited: Section 128810, Health and Safety Code. Reference: Sections 128736 and 128737, Health and Safety Code. 
HISTORY

1. New section filed 11-13-2008; operative 11-13-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 46).
2. Amendment of subsection (a) and repealer of subsections (a)(1)-(30) filed 12-31-2009; operative 12-31-2009 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
3. Amendment of first paragraph and subsection (a) filed 10-26-2010; operative 1-1-2011 pursuant to Government Code section 11343.4(b) (Register 2010, No. 44).
Chapter 11. Alzheimer's Disease Institute Demonstration Project [Repealed]
HISTORY

1. New chapter 11 (subchapters 1-13, sections 97300.1-97434.9) filed 4-6-87 as an emergency; operative 4-6-87. This chapter was adopted on an interim basis as authorized by Health and Safety Code section 1312.7 and is repealed by operation of that same section effective 7-1-90 (Register 87, No. 15).
2. Change without regulatory effect removing repealed chapter 11 (subchapters 1-13, sections 97300.1-97434.9) filed 7-26-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 31).
Chapter 12. Postsurgical Recovery Care Demonstration Project
Article 1. Definitions
§97500.1. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New chapter 12 (sections 97500.1-97570.5, not consecutive) filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m). For history of former chapter 12, see Register 79, No. 46. 2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.3. Accredited Record Technician.
Note     •     History

Accredited record technician means a person who is accredited as such by the American Medical Record Association.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.5. Administrator.
Note     •     History

Administrator means that person who is appointed, in writing, by the governing body of the facility to carry out the policies of the facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88,No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.7. Alteration.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.9. Attending Surgeon.
Note     •     History

Attending surgeon means a physician, podiatrist or dentist who practices surgery and who is on the staff of the facility or who has staff privileges and who has the responsibility for the medical care of an individual facility patient.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.11. Autoclaving.
Note     •     History

Autoclaving means the process of sterilization by steam under pressure.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.13. Authorized Representative.
Note     •     History

Authorized representative means a person authorized by law, by court order, or by a written statement signed by the patient, unless the patient has been legally deemed incompetent, to act on behalf of the patient.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.15. Biological.
Note     •     History

Biological means a virus, serum, toxin, antitoxin or analogous product derived from living matter, which is applicable to the prevention, treatment or cure of disease or injury in humans.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.17. Cleaning.
Note     •     History

Cleaning means the process employed to free a surface from dirt or other extraneous materials.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.19. Consultant.
Note     •     History

Consultant means a qualified person who gives professional advice or service, with or without remuneration.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.21. Controlled Drugs.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.23. Dangerous Drug.
Note     •     History

Dangerous drug means any drug defined as such in section 4211 of the Business and Professions Code.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.25. Defined.
Note     •     History

Defined means explained in writing. 
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.27. Dentist.
Note     •     History

Dentist means a person who is licensed as a dentist by the California Board of Dental Examiners.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.29. Designation Agreement.
Note     •     History

Designation agreement means the document containing the approval and authority for a facility to participate in the Postsurgical Recovery Care Demonstration Project.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.31. Designee.
Note     •     History

Designee means the legal entity, corporation, joint venture, partnership or individual that has been designated by the Office to operate a facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.33. Dietetic Service.
Note     •     History

Dietetic service means the provision of safe, satisfying and nutritionally adequate food for patients.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.35. Director.
Note     •     History

Director means the Director of the Office of Statewide Health Planning and Development.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.37. Director of Nursing.
Note     •     History

Director of Nursing means the registered nurse who has the responsibility for supervising nursing services provided in the facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.39. Distinct Part.
Note     •     History

Distinct part means an identifiable unit of a health facility accommodating beds or patients, including but not limited to contiguous rooms, a wing, floor or building that is approved by the Office for use as a project site.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.41. Drug.
Note     •     History

(a) Drug means a medication.
(b) Legend drug means any of the following:
(1) Any drug labeled with the statement “Caution: Federal Law prohibits dispensing without prescription” or words of similar import.
(2) Any dangerous drug as defined by section 4211 of the Business and Professions Code.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.43. Drug Administration.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.45. Drug Dispensing.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.47. Facility.
Note     •     History

Facility means a Postsurgical Recovery Care Facility designated by the Office.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.49. Freestanding.
Note     •     History

Freestanding means a building standing alone or on its own foundation free of architectural or supporting frame or attachment to an adjacent or pre-existing health facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.51. Full-Time Equivalent.
Note     •     History

Full-time equivalent (F.T.E.) means a summing of hours worked by several part-time staff and divided by the 40 hours of a normal work week. The result can be expressed as numbers of F.T.E. staff.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.53. General Acute Care Hospital.
Note     •     History

General acute care hospital means a general acute care hospital as defined in Health and Safety Code section 1250, which is licensed as such by the California Department of Health Services.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.55. Governing Body.
Note     •     History

Governing body means the person, persons, board of trustees, board of directors, or other body in whom the final authority and responsibility is vested for operation of the Postsurgical Recovery Care Facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.57. Health Facility.
Note     •     History

Health facility means any health facility licensed pursuant to chapter 2 (commencing with section 1250) of division 2 of the Health and Safety Code.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.59. Hospital.
Note     •     History

Hospital means a general acute care hospital.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.61. Infectious Wastes.
Note     •     History

Infectious wastes means:
(1) Significant laboratory wastes including pathological specimens which shall include all tissues, specimens of blood elements, excrete and secretions obtained from patients, and disposable articles or objects which may harbor or transmit pathogenic organisms.
(2) Equipment, instruments, utensils and articles or objects of a disposable nature, from the treatment, recovery and holding areas of patients with suspected or diagnosed communicable disease who, by nature of the disease, are required to be isolated by public health agencies.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.63. Inspection Visit.
Note     •     History

Inspection visit means the inspection conducted by representatives of the Office as appropriate to monitor compliance with this chapter.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.65. Licensed Nurse.
Note     •     History

Licensed nurse means a registered nurse or licensed vocational nurse.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.67. Licensed Vocational Nurse.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.69. Maintenance.
Note     •     History

Maintenance means the upkeep of a building and equipment to preserve the original functional and operational state.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.71. Medical Director.
Note     •     History

Medical Director means the physician who is designated to assume the overall responsibility for the medical service.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88,No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.73. Medical Emergency.
Note     •     History

Medical emergency means a medical condition manifesting itself by acute symptoms of sufficient severity, including severe pain, such that the absence of immediate medical attention could reasonably be expected to result in placing the patient's health in serious jeopardy, serious impairment to bodily functions, or serious dysfunction of any bodily organ or part.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.75. Medical Staff.
Note     •     History

Medical staff means the facility's Medical Director and all physicians, podiatrists and dentists who have staff privileges at the facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.77. Medication.
Note     •     History

Medication means any chemical compound, remedy or biological substance, which may be administered to patients by any route as an aid in the diagnosis, treatment, or prevention of disease or other abnormal condition, for relief of pain or suffering, or to control or improve any psychological or pathological condition. Products which contain medications but which are primarily used for cosmetic or other non-therapeutic purposes are not medications as defined above.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.79. New Construction.
Note     •     History

New construction means any of the following:
(a) Construction of new facilities.
(b) Additions to existing buildings.
(c) Conversions of an existing building or portions thereof not currently licensed as a health facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.81. Nurses' Notes.
Note     •     History

Nurses' notes means a written record which relates, reports or reviews facts about a patient and which includes but is not limited to observations of patients, patients' reactions to care, and patients' responses to treatment.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.83. Nursing Service.
Note     •     History

Nursing service means the organized provision of direct and indirect patient care measures.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.85. Nursing Unit.
Note     •     History

Nursing unit means a designated patient care area of a facility which is planned, organized, operated and maintained to function as a unit. It includes patients' rooms with adequate support accommodations, services, and personnel providing nursing care and necessary management of patients.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.87. Office.
Note     •     History

Office means the Office of Statewide Health Planning and Development.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.89. Outpatient Surgical Procedure.
Note     •     History

Outpatient surgical procedure, for purposes of this chapter, means any surgical procedure performed on a person in a site where surgery may be legally performed and where postsurgical recovery care does not require admission to a general acute care hospital.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.91. Overnight.
Note     •     History

Overnight means the time period that elapses between the admission of a patient to the facility prior to midnight and discharge of the same patient after 6:00 a.m. of the following morning and within a 24 hour period.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88,No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.93. Patient.
Note     •     History

A patient means an individual admitted by a Postsurgical Recovery Care Facility to receive services.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.95. Patient Chart.
Note     •     History

Patient chart means the total record of a patient's care in the facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.97. Participation Agreement.
Note     •     History

Participation agreement means the document which specifies the terms and arrangements for the transfer and admission of patients from a participating surgery program to a Postsurgical Recovery Care Facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.99. Participating Surgery Program.
Note     •     History

Participating surgery program means an outpatient surgery unit which has a participation agreement with the facility for the transfer and admission of patients to the facility. An outpatient surgery unit is any place where outpatient surgery can lawfully be performed.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.101. Pediatric Patient.
Note     •     History

Pediatric patient means a patient under the age of 14 years.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.103. Pharmacist.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.105. Pharmaceutical Service.
Note     •     History

Pharmaceutical service means the procuring, manufacturing, compounding, dispensing, distributing, storing, administering and disposal of drugs, biologicals and chemicals by lawfully authorized staff who have adequate space, equipment and supplies. Pharmaceutical service also includes the provision of drug information to other health professionals and patients.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.107. Physician.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.109. Podiatrist.
Note     •     History

Podiatrist means a person licensed as such by the California Board of Medical Quality Assurance.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.111. Postsurgical Recovery Care Facility.
Note     •     History

Postsurgical Recovery Care Facility means a designated demonstration project site as contemplated by Health and Safety Code section 1250.9 which is either freestanding or a distinct part of a licensed health facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.113. Registered Dietitian.
Note     •     History

Registered dietitian means a person who is registered as such by the American Dietetic Association.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.115. Registered Nurse.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.117. Respiratory Care Practitioner.
Note     •     History

Respiratory care practitioner means a person who is certified by the Division of Allied Health Professions of the California Board of Medical Quality Assurance to practice respiratory care.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.119. Service Area.
Note     •     History

Service area means that geographic region comprised of those zip code areas from where an applicant, as contemplated by Health and Safety Code section 1250.9, with the concurrence of the Office, reasonably estimates that a preponderance of its patients will originate. The service area shall be determined by an analysis of current patient origin patterns of those physicians, dentists and podiatrists who have agreed to refer postsurgical care patients to the facility or distinct part.
In determining which zip code areas to include in defining a service area, an applicant shall begin with that zip code area with the highest number of projected patients, then add the area with the next highest number, and continue to do this, using only areas which have at least five (5) percent of the number of projected patients, until the total reaches or exceeds sixty-five (65) percent or until the only remaining areas have less than five (5) percent of the number of projected patients. The zip code areas need not be contiguous.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.121. Sterilization.
Note     •     History

Sterilization means the process employed to destroy all living organisms.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.123. Supervision.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97500.125. Therapeutic Diet.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
Article 2. Required Services
§97510.1. Required Services.
Note     •     History

Each Postsurgical Recovery Care Facility shall provide, but shall not be limited to, the following services: nursing, pharmaceutical and dietary.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.3. Medical Staff.
Note     •     History

(a) Each facility shall have a medical staff, chaired by the Medical Director, responsible to the governing body for the adequacy and quality of the medical care rendered to patients. The medical staff shall be composed of the Medical Director and all physicians, podiatrists and dentists who have admitting privileges at the facility.
(b) Physicians, podiatrists or dentists shall only be eligible for admitting privileges at the facility if they have admitting privileges at a participating surgery program and have admitting privileges at a general acute care hospital for the identical surgical procedures to be performed on the patient.
(c) The medical staff, with the approval of the governing body, shall adopt written by-laws which provide written procedures for the evaluation of staff applications and credentials, appointments, assignment of privileges, appeals mechanisms, and such other subjects or conditions which the medical staff and governing body deem appropriate. The by-laws shall include a provision for the formal organization of the medical staff. The medical staff shall abide by and establish a means of enforcement of its by-laws.
(d) The medical staff shall meet regularly, at least quarterly. Minutes of each meeting shall be retained and filed at the facility.
(e) The medical staff shall provide in its by-laws, rules and regulations for appropriate practices and procedures to be observed in the facility.
(f) The medical staff shall provide for the availability of a staff physician for emergencies in the event that the attending surgeon or, if applicable, his/her alternate, is not available.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.5. Medical Director.
Note     •     History

(a) Each facility shall have a Medical Director who shall be a physician and shall be responsible for standards, coordination, monitoring and evaluation, and planning for improvement of medical care in the facility.
(b) The Medical Director shall:
(1) Ensure that the facility admits only those patients for whom it can provide adequate care and that the facility complies with sections 97520.1, 97520.3 and 97520.5.
(2) Act as a liaison between the medical staff, the Administrator, and the Governing Body.
(3) Be responsible for reviewing, evaluating and approving patient care policies and procedures.
(4) Act as a consultant to the Director of Nursing in matters relating to patient care.
(5) Be responsible for reviewing employees' health examination reports.
(c) The Medical Director shall not be prohibited from providing medical care.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.7. Nursing Administration.
Note     •     History

The provision of nursing services shall be under supervision of a Director of Nursing who shall be a registered nurse with at least two years of experience in nursing administration within the last five years, and shall be employed at the facility at least 8 hours a day, 5 days a week. The Director of Nursing is not prohibited from providing nursing care.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.9. Nursing Staff Levels.
Note     •     History

(a) Each facility shall develop and adopt a method for determining nursing staff requirements. The method shall be approved by the Office prior to use and shall be maintained as part of the records of the nursing service.
(b) The method for determining nursing staff requirements shall be based on an assessment of patient needs. This assessment shall take into consideration at least the following:
(1) The ability of the patient to care for him or herself.
(2) The surgical procedures performed on the patient.
(3) The level of skill required in patient care.
(c) There shall be daily documentation of nursing staff which shall include:
(1) Total numbers of staff, including full-time and full-time equivalents.
(2) The available nursing care hours for each patient.
(3) The categories of staff for patient care.
(d) The documentation shall be retained at the facility and be available for review by the Office at any time.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.11. Minimum Nursing Staff.
Note     •     History

Each facility shall have, at any time there are one or more patients in the facility, at least two licensed nurses on duty, one of whom shall be a registered nurse certified for advanced cardiopulmonary life support. All nursing staff shall be certified for basic cardiopulmonary life support and shall have a minimum of two years experience within the last five years in the post anesthesia recovery unit or medical/surgical unit of an acute care hospital or in an outpatient surgery center.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.13. Patient Care Policies and Procedures.
Note     •     History

Written policies and procedures for patient care shall be developed and maintained by the Director of Nursing in consultation with the Medical Director, other appropriate health professionals and the Administrator. If the facility plans to treat pediatric patients, policies and procedures shall specifically address the care of these patients. The responsibility and accountability of the nursing service to the medical staff shall be through the Medical Director and the Administrator and shall be defined in the patient care policies. Policies shall be approved by the governing body and the Office. Procedures shall be approved by the Office, the Administrator, and by the Medical Director where appropriate.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.15. Patient Recovery Care Plan.
Note     •     History

At the time of admission, nursing staff shall develop a written patient recovery care plan for each patient. This plan shall be based on the attending surgeon's written orders for treatment, and shall reflect the special problems or needs of the patient, including dietary needs, and specific nursing or other interventions to address these needs or problems.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.17. Nurses' Notes.
Note     •     History

(a) Nurses' notes shall be kept for all patients and included in the patients' records.
(b) Nurses' notes shall include, but not be limited to, the following:
(1) A concise and accurate record of nursing care administered.
(2) A record of pertinent observations including psychosocial and physical manifestations as well as incidents and unusual occurrences, and relevant nursing interpretation of such observations.
(3) Name, dosage, time, and route of administration of medications and treatment. If administration is by injection, site of injection shall be recorded.
(4) Record of vital signs.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.19. Nursing Service--Administration of Medications and Treatments.
Note     •     History

(a) Medications and treatments shall be administered as follows:
(1) No medication or treatment shall be administered except on the order of a person lawfully authorized to give such order.
(2) Medications and treatments shall be administered as prescribed.
(3) Tests and taking of vital signs, upon which administration of medications or treatments are conditioned, shall be performed as required and the results recorded.
(4) Preparation of doses for more than one scheduled administration time shall not be permitted.
(5) All medications and treatments shall be administered only by appropriately licensed personnel.
(6) Medications shall be administered as soon as possible, but no more than two hours after doses are prepared, and shall be administered by the same person who prepares the doses for administration. Doses shall be administered within one hour of the prescribed time unless otherwise indicated by the prescriber.
Patients shall be identified prior to administration of a drug or treatment.
(b) No medication shall be used for any patient other than the patient for whom it was prescribed.
(c) The date, time and dose of the drug or treatment administered to the patient shall be recorded in the patient's record by the person who administers the drug or treatment. Initials may be used, provided that the signature of the person administering the medication or treatment is also recorded in the medication or treatment record.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.21. Nursing Service--Cleaning, Disinfecting and Sterilizing.
Note     •     History

(a) Each facility shall adopt a written manual on cleaning, disinfecting and sterilizing procedures. The manual shall include procedures to be used in the care of utensils, instruments, solutions, dressings, articles and surfaces and shall be available for use by facility personnel. All procedures shall be carried out in accordance with the manual.
(b) Each facility shall make provisions for the cleaning and disinfecting of contaminated articles and surfaces which cannot be sterilized.
(c) Bedside equipment including but not limited to washbasins, emesis basins, bedpans and urinals shall be sanitized only by one of the following methods:
(1) Submersion in boiling water for a minimum of 30 minutes.
(2) Autoclaving at 15 pounds pressure and 121oC (250oF) for 20 minutes.
(3) Gas sterilization.
(d) Chemicals shall not be used as a substitute for the methods specified in (c) above.
(e) Electronic thermometers shall be cleaned and disinfected according to the manufacturer's instructions. Glass thermometers shall be cleaned and disinfected for at least 20 minutes with 70 percent ethyl alcohol or 90 percent isopropyl alcohol with 0.2 percent iodine. Oral and rectal thermometers shall be stored separately in clean, labeled containers with fitted lids.
(f) Individual patient care supply items designed and identified by the manufacturer to be disposable shall not be reused.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.23. Nursing Service--Space.
Note     •     History

(a) A nursing station shall be maintained in each nursing unit, floor and/or building.
(b) Each nursing station shall have a cabinet, a desk, space for records, a bulletin board, an ice machine, a sink with water connections for care of equipment and handwashing, a telephone, and a specifically designated and well illuminated medication storage compartment with a lockable door. If a separate medication room is maintained, it shall have a lockable door.
(c) A refrigerator shall be provided at each nursing station, and shall meet the following standards:
(1) Be located in a clean area not subject to contamination by human waste.
(2) Maintain temperatures at or below 7oC (45oF) for chilling.
(3) Maintain the freezer at minus 18oC (0oF).
(4) Contain an accurate thermometer at all times.
(5) No foods shall be retained in the medication refrigerator.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.25. Pharmaceutical Service--Staff.
Note     •     History

Each facility shall retain a consultant pharmacist to develop policies for, coordinate, supervise, and review the pharmaceutical service. There shall be a written agreement between the consultant pharmacist and the facility which includes the duties and responsibilities of both.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.27. Pharmaceutical Service--Policies and Procedures.
Note     •     History

(a) Each facility shall adopt written policies and procedures governing the provision of pharmaceutical services. The policies shall be approved by the Office, the governing body, the Administrator, the Medical Director, and the consultant pharmacist. Procedures shall be approved by the Office, the Administrator, the Medical Director, and the consultant pharmacist.
(b) Policies shall address at least the following:
(1) Who shall be responsible for the pharmaceutical service and to whom they shall be accountable.
(2) Drugs and supplies to be maintained by the facility, specifically addressing the issue of drugs for emergencies.
(3) The procurement, storage, and handling of drugs and supplies maintained by the facility, specifically addressing the issue of controlled drugs.
(4) Ordering, dispensing, and administering drugs.
(5) The method of handling drugs brought into the facility by a patient.
(6) Disposition of a patient's prescribed drugs upon that patient's discharge.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.29. Pharmaceutical Service--General Requirements.
Note     •     History

(a) There shall be a system assuring the availability of prescribed medications 24 hours a day.
(b) Supplies of drugs for emergency use only shall be immediately available at each nursing unit as required by facility policy.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.31. Order and Administration of Drugs.
Note     •     History

(a) Drugs shall only be administered by authorized licensed personnel and upon the order of a person lawfully authorized to prescribe. This shall not preclude the administration of aerosol drugs by respiratory care practitioners.
(b) The order for drugs shall include the name of the drug, the dosage and the frequency of administration, the route of administration, if other than oral, and the date, time and signature of the prescriber.
(c) Orders for drugs should be written by the prescriber. Verbal orders for drugs shall be given only to a registered nurse, licensed vocational nurse, or pharmacist by a person lawfully authorized to prescribe and shall be recorded promptly in the patient's medical record, noting the name of the person giving the verbal order and the signature of the individual receiving the order. The prescriber shall countersign the order within 48 hours.
(d) Unless the ordered drug has been brought with or by the patient, orders for drugs shall be transmitted orally or in writing to a pharmacy by the prescriber, registered nurse, licensed vocational nurse or pharmacist.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.33. Disposition of Drugs.
Note     •     History

(a) Drugs which have been dispensed for individual patient use and are labeled in conformance with State and Federal law for outpatient use shall be furnished to patients on discharge unless:
(1) The discharging physician specifies otherwise, or
(2) The drug was discontinued prior to discharge, or
(3) The labeled directions for use are not substantially the same as the most current orders for the drug in the patient's record.
(b) A record of the drugs sent with the patient shall be made in the patient's record.
(c) Patient's drugs supplied by prescription which have been discontinued and those which remain in the facility after discharge of the patient shall be destroyed in the following manner:
(1) Drugs listed in Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970, as amended, shall be destroyed in the presence of two pharmacists or a pharmacist and a registered nurse employed by the facility. The name of the patient, the name and strength of the drug, the prescription number, the amount destroyed, the date of destruction and the signatures of the witnesses required above shall be recorded in the patient's medical record or in a separate log. Such log shall be retained for at least three years.
(2) Drugs not listed under Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970, as amended, shall be destroyed in the presence of a pharmacist.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.35. Pharmaceutical Service--Quality Control Procedures.
Note     •     History

(a) The consultant pharmacist shall develop and implement written quality control procedures for all drugs which are supplied to patients in the facility. The consultant pharmacist shall develop and conduct an inservice training program for the professional staff to assure compliance therewith.
(b) The consultant pharmacist shall be consulted on proper methods for repackaging and labeling of bulk cleaning agents, solvents, chemicals and poisons used throughout the facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.37. Pharmaceutical Service--Equipment and Supplies.
Note     •     History

(a) There shall be adequate equipment and supplies for the provision of pharmaceutical services within the facility.
(b) Reference materials containing monographs on all drugs in use in the facility shall be available in each nursing unit. Such monographs must include information concerning generic and brand names, if applicable, available strengths and dosage forms, and pharmacological data including indications, side effects, adverse effects and drug interactions.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.39. Pharmaceutical Service--Space.
Note     •     History

(a) Adequate space shall be available at each nursing station for the storage of drugs and preparation of medication doses for administration.
(b) All spaces and areas used for the storage of drugs shall be lockable and accessible to authorized personnel only.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.41. Dietetic Service--Staff.
Note     •     History

Each facility shall retain a registered dietitian as a consultant to develop policies for, coordinate, supervise, and review the dietetic service. There shall be a written agreement between the dietitian and the facility which includes the duties and responsibilities of each.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.43. Dietetic Service--Policies and Procedures.
Note     •     History

(a) Policies and procedures to govern the provision of dietetic services shall be developed and maintained by the consultant dietitian in consultation with representatives of the medical staff, nursing staff and administration. Policies and procedures shall be approved by the Medical Director, Administrator and the Office.
(b) Policies shall address but not be limited to the following:
(1) Who shall be responsible for the dietetic service and to whom they shall be accountable. 
(2) Who is responsible for identifying patients' dietary needs.
(3) Who is responsible for the development of menus to meet patients' needs.
(4) Preparation and storage of food.
(5) Dietetic service staffing.
(6) Dietetic service sanitation.
(7) Dietetic service record keeping.
(8) Supplies and equipment-requirements, procurement, and storage.
(9) Dietetic service space.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.45. Dietetic Service--General Requirements.
Note     •     History

(a) The dietetic service shall provide food of the quality and quantity to meet the patient's needs in accordance with physicians' orders and, to the extent medically possible, to meet the daily Recommended Dietary Allowances, 1980 Edition, adopted by the Food and Nutrition Board of the National Research Council of the National Academy of Sciences, 2107 Constitution Avenue, Washington, DC 20418.
(b) Patient food preferences shall be respected as much as possible and substitutes shall be offered through use of a selective menu or substitutes from appropriate food groups.
(c) Diet orders shall be integrated in the patient recovery care plan.
(d) Observations and information pertinent to dietetic treatment shall be recorded in patients' medical records.
(e) If appropriate, dietary records shall be included in patients' transfer or discharge records to ensure continuity of nutritional care.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97510.47. Dietetic Service--Outside Food Service.
Note     •     History

(a) A facility may contract to have food supplied by an outside food service.
(b) If food is provided by an outside food service, all applicable requirements herein set forth shall be met.
(c) If food is provided by an outside food service, the facility shall maintain adequate space, equipment and staple food supplies to provide patient food service in emergencies.
(d) The Office retains the right to inspect outside food service providers for compliance with requirements.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
Article 3. General Requirements
§97520.1. Admission.
Note     •     History

(a) All admissions to the facility shall be planned prior to admission, in accordance with section 97520.3.
(b) Admission shall be limited to persons needing postsurgical care who have had outpatient surgical procedures performed and who will need to stay at least overnight but not more than 48 hours at the facility.
(c) Admission shall be limited to persons recovering from outpatient surgical procedures whose condition would require them to be cared for on an inpatient basis if Postsurgical Recovery Care Facilities did not exist.
(d) No person under the age of one year shall be admitted to the facility.
(e) No person with a communicable disease shall be admitted to or cared for in the facility.
(f) No person shall be admitted without written orders for treatment signed by the attending surgeon.
(g) No person shall be admitted to the facility unless examined, immediately prior to the transfer, by a physician or, if the surgery performed was podiatric or dental, the podiatrist or dentist. Such examination shall be documented and a copy placed in the patient's record.
(h) If the facility has any outbreak or undue prevalence of communicable or parasitic disease or infestation such as must be reported to the local health officer pursuant to section 97530.33, the facility shall not admit new patients until authorized to do so by the Director.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97520.3. Admission Planning.
Note     •     History

(a) The plan for admission to the facility shall be developed by the attending surgeon, and where appropriate the anesthesiologist, and the patient. The plan shall be signed prior to admission by the patient and the attending surgeon and must be concurred to in writing by the Medical Director of the facility.
(b) The plan for admission, which shall be included in the patient's record, shall include, but not be limited to, the following:
(1) Certification that the patient meets the requirements of section 97520.1.(b) and (c).
(2) A summary of the patient's pre-surgical physical examination.
(3) The planned surgical procedure(s).
(4) Date of surgery and location at which surgery is to be performed.
(5) Expected length of stay at the facility.
(6) Name of the attending surgeon and the anesthesiologist.
(c) A copy of the plan shall be submitted to the facility prior to admission.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97520.5. Admission Procedures.
Note     •     History

(a) Postsurgical Recovery Care Facilities shall have written procedures for admission governing:
(1) Postsurgical assessment on admission--such assessment shall be conducted by the Medical Director or a registered nurse in order to determine the condition of the patient at the time of admission.
(2) Criteria for refusing admission.
(3) Modes of transportation of patients.
(b) The procedures for admission shall identify the individual(s) responsible for patient admission.
(c) The admission procedures shall be reviewed and approved by the Office.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97520.7. Post Admission Procedures.
Note     •     History

(a) Every patient must be properly identified immediately upon admission. Identification shall consist of a wrist identification bracelet indicating the patient's name, attending surgeon and chart number. The patient must verify that their identification is correct, and each person working with the patient must assure that the name and chart number on the bracelet matches the patient's chart.
(b) An inventory and identification of each patient's personal possessions, equipment and valuables shall be made on admission and shall be maintained by the facility during the patient's stay.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97520.9. Extended Stay.
Note     •     History

(a) A patient shall be permitted to remain in a Postsurgical Recovery Care Facility for more than 48 hours but not more than 72 hours if the attending surgeon certifies that the additional period of recovery care is medically necessary and the Medical Director concurs.
(b) The need for the additional stay shall be documented in the patient's medical record. Documentation shall include:
(1) The reason for the additional stay.
(2) The reason it was not originally anticipated.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97520.11. Patient Discharge.
Note     •     History

(a) Each facility shall have a written discharge procedure.
(b) The procedure shall provide for the preparation of a discharge report. The discharge report shall be signed by the attending surgeon and shall include at least the following:
(1) A summary of significant events of the patient stay.
(2) The patient's condition upon discharge.
(3) Any special care needs of the patient.
(4) The arrangements for future care.
(c) The procedure shall include provisions to assure that the medical record is checked, that discharge instructions are complete, that patients discharged with prescribed drugs are advised on the proper use and storage of those drugs, that discharge instructions are acknowledged by the patient with a signature, and that all items listed on the inventory required by section 97520.7(b) are in the possession of the patient upon discharge. The procedure shall also address the disposition of prescribed drugs.
(d) Any discharge shall be authorized in writing by the attending surgeon, except in the case of emergency transfers.
(e) Each patient must be discharged to a responsible, accompanying adult after being escorted from the facility by a member of the nursing staff.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97520.13. Patient Transfer.
Note     •     History

(a) Each facility shall have a written transfer procedure to govern both scheduled and emergency transfers. This procedure shall be reviewed and approved by the Office.
(b) The procedures for emergency transfer shall be coordinated with the local Emergency Medical Services Authority.
(c) The procedure shall require that appropriate medical records, including complete and accurate patient information in sufficient detail to provide for continuity of care, shall accompany the patient upon transfer.
(d) The procedure shall address at least the following:
(1) Who is responsible for making transfer decisions.
(2) Who shall make the actual transfer arrangements.
(3) General guidelines for transfers.
(e) Each facility shall have a written agreement for patient transport with a licensed ambulance service.
(f) When a transfer is made, the patient's medical record shall note the date, time, condition of the patient, and reason for the transfer, and appropriate discharge records shall be completed, in accordance with section 97520.11.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97520.15. Patient Rights.
Note     •     History

(a) Each facility shall adopt a written policy on patient rights.
(b) A list of these patient rights shall be prominently posted in both Spanish and English, and any other language prevalent to the area, within the facility so that such rights may be read by patients. This list shall include but not be limited to the patients' rights to:
(1) Exercise these rights without regard to sex, age, race, or cultural, economic, educational, or religious background or the source of payment for care.
(2) Considerate and respectful care.
(3) Knowledge of the name of the attending surgeon and the names and professional relationships of other physicians and nonphysicians who will see the patient.
(4) Receive information about the surgery performed and the recovery care to be provided in terms that the patient can understand.
(5) Receive as much information about any proposed treatment or procedure as the patient may need in order to give informed consent or to refuse this course of treatment. Except in emergencies, this information shall include a description of the procedure or treatment, the medically significant risks involved in this treatment, alternate courses of treatment or nontreatment and the risks involved in each and to know the name of the person who will carry out the procedure or treatment.
(6) Participate actively in decisions regarding medical care. To the extent permitted by law, this includes the right to refuse treatment.
(7) Full consideration of privacy concerning the medical care program. Case discussion, consultation, examination and treatment are confidential and should be conducted discreetly. The patient has the right to be advised as to the reason for the presence of any individual.
(8) Confidential treatment of all communications and records pertaining to the care and the stay in the facility. Written permission shall be obtained before the medical records can be made available to anyone not directly concerned with the care of the patient with the exception of authorized staff of the Office.
(9) Reasonable response to any reasonable request made for service.
(10) Leave the facility even against the advice of the attending surgeon.
(11) Reasonable continuity of care and to know in advance the time and location of an appointment as well as the identity of persons providing the care.
(12) Be informed of continuing health care requirements following discharge from the facility.
(13) Examine and receive an explanation of the bill regardless of source of payment.
(14) Know which rules and policies apply to the patient's conduct while a patient.
(15) Have all patients' rights apply to the person who may have legal responsibility to make decisions regarding medical care on behalf of the patient.
(16) Have all personnel observe patients' rights.
(c) A procedure shall be established whereby patient complaints are forwarded to the facility administration for appropriate response.
(d) All facility personnel shall observe these patient's rights.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97520.17. Consumer Information to be Posted.
Note     •     History

Each facility shall post notice that it is participating in the Postsurgical Recovery Care Demonstration Project. Such notice shall be conspicuously posted in a prominent location accessible to the public.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
Article 4. Administration
§97530.1. Governing Body.
Note     •     History

(a) Each facility shall be under the direction of a governing body. The governing body shall:
(1) Adopt written bylaws in accordance with legal requirements and its community responsibility which shall include but not be limited to provision for:
(A) Identification of the purposes of the Postsurgical Recovery Care Facility and the means of fulfilling them.
(B) Formal organization of the medical staff with appropriate officers and bylaws.
(C) Membership for the medical staff which shall be restricted to physicians, podiatrists and dentists, competent in their respective fields and worthy in character and in professional ethics.
(D) Self-government by the medical staff with respect to the professional work performed in the facility and for periodic meetings of the medical staff to review and analyze the clinical experience of its members based on review and analysis of the patients' medical records.
(E) Provide for the security, completeness and accuracy of the medical records.
(2) Be responsible for compliance with the requirements of the designation agreement and for the organization, management, operation and control of the facility.
(3) Provide for the appointment and reappointment of members of the medical staff.
(4) Appoint an Administrator whose qualifications, authority and duties shall be defined in writing. The written statement of qualifications, authority and duties for the position of Administrator shall be approved by the Office.
(5) Provide appropriate physical resources and personnel required to meet the needs of the patients.
(6) Conform to all applicable federal, state and local laws and regulations.
(7) Provide for the control and use of the physical and financial resources of the facility.
(8) Assure that the medical staff establishes controls that are designed to ensure the achievement and maintenance of high standards of professional ethical practices.
(9) Assure that each member of the medical staff be required to demonstrate his/her ability to practice competently and to the satisfaction of the credentials committee of the staff, at the time original application for appointment to the staff is made and at least every two years thereafter.
(10) Assure that medical staff by-laws, rules and regulations are subject to governing body approval, which approval shall not be withheld unreasonably.
(11) Be responsible for the quality of care provided in the facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.3. Administrator.
Note     •     History

(a) Each facility shall employ or otherwise provide an Administrator to carry out the policies of the governing body.
(b) The Administrator shall be responsible for the administration and management of only one facility.
(c) The Administrator shall assure that all employees serving patients or the public shall wear name and title badges.
(d) A copy of the current regulations contained in this chapter shall be maintained by the Administrator and shall be available to all personnel.
(e) The Administrator shall be responsible for informing appropriate staff of the applicable additions, deletions and changes in postsurgical recovery care facility regulations.
(f) The Administrator shall be responsible for informing the Office via telephone within 24 hours of any unusual occurrences as defined in section 97530.35. If the unusual occurrence involves the discontinuance or disruption of services occurring during other than regular business hours of the Office, a telephone report shall be made immediately upon the resumption of business hours of the Office.
(g) The Administrator shall notify the Office within 24 hours of any deaths or medical emergencies occurring in the facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.5. Medical Records.
Note     •     History

The Administrator shall appoint a person with experience and/or training in medical records to supervise the medical records service. If the appointed supervisor is not accredited by the American Medical Records Association, the facility shall contract with an accredited record technician to advise the medical records supervisor.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.7. Content of Medical Records.
Note     •     History

Each patient's medical record shall consist of at least the following:
(1) Identification sheet including but not limited to:
(A) Name.
(B) Address.
(C) Identification number, if applicable.
(D) Age.
(E) Sex.
(F) Date and time of admission. 
(G) Date and time of discharge.
(H) Name, address, and telephone number of person or agency responsible for patient.
(I) Name of patient's attending surgeon.
(J) Identification of participating surgery program at which surgery was performed.
(2) Consent forms.
(3) Copy of patient's written medical records from the participating surgery program at which the surgery was performed that are available at the time of admission to the facility.
(4) Copy of the written report of the patient's pre-surgical physical examination.
(5) Copy of the signed plan for admission described in section 97520.3.
(6) Copy of the postsurgical pre-admission examination.
(7) Order sheet including medication, treatment and diet orders.
(8) Attending surgeon's notes.
(9) Reports of all laboratory tests performed during the patient's stay at the facility.
(10) Patient recovery care plan.
(11) Nurses' notes.
(12) Discharge report.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.9. Patient Record Keeping.
Note     •     History

(1) Records shall be kept on all patients admitted. All required patient health records, either as originals or accurate reproductions of the contents of such originals, shall be maintained in such form as to be legible and readily available upon the request of:
(A) The attending surgeon.
(B) Any authorized representative of the facility.
(C) Any authorized representative of the Office.
(D) Any other person authorized by law to make such a request.
(2) The medical record is the property of the facility and is maintained for the benefit of the patient, the medical staff and the facility. The facility shall safeguard the information in the record against loss, defacement, tampering or use by unauthorized persons.
(3) Patient records shall be preserved safely for a minimum of seven years following discharge of the patient, except that the records of unemancipated minors shall be kept at least one year after such minor has reached the age of 18 years and, in any case, not less than seven years.
(4) If a facility ceases operation, the Office shall be informed within 48 hours of the arrangements made for safe preservation of patient records as required.
(5) Medical records shall be filed in an easily accessible manner in the facility or in an approved medical record storage facility off the facility premises.
(6) Medical records shall be completed promptly and authenticated or signed by the attending surgeon within two weeks following the patient's discharge.
(7) Medical records shall be indexed according to patient's name, surgical procedure and attending surgeon.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.11. Infection Control Program.
Note     •     History

(a) A written infection control program shall be adopted and approved by the Office. The program shall include a system for reporting infections which shall include and identify infections which are:
(1) Evident at the time of admission;
(2) Possibly acquired and evident during the patient's stay;
(3) Possibly acquired during the patient's stay and evident following discharge;
(b) Activities of the program shall include concurrent surveillance of patients and staff, prevention techniques, treatment and reporting of infections.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.13. Quality Assurance Program.
Note     •     History

(a) Each facility shall have a quality assurance program designed to monitor and evaluate the quality and appropriateness of patient care, pursue alternatives to improve patient care and resolve identified problems.
(b) The Quality Assurance Program shall be implemented by a Quality Assurance Committee imposed of the Administrator, Medical Director, Director of Nursing, two physicians from participating surgery programs and a staff nurse.
(c) The Quality Assurance Committee shall adopt written procedures, for fulfilling their responsibilities. The procedures shall be reviewed by the Administrator and the Medical Director, and approved by the Governing Body and the Office.
(d) The Quality Assurance Committee shall:
(1) Review the appropriateness of the medical and nursing care provided in the facility.
(2) Identify opportunities for improving patient care. 
(3) Review the pharmaceutical service and the appropriateness of medication usage for patients in the facility in conjunction with the consultant pharmacist.
(4) Identify and review the records of all patients requiring a third day of care.
(5) Review within 72 hours all patient cases where medical emergencies or deaths occur. The Quality Assurance Committee shall submit to the Office a written report of their findings in such cases.
(6) Review the availability of resources necessary to respond to medical emergencies.
(7) Review the procedures or surveillance techniques for minimizing the source and transmission of infection.
(8) Review the accuracy and completeness of information contained in the patients' medical records.
(9) Review the appropriateness of patient admissions to the facility.
(e) The Quality Assurance Committee shall meet at least quarterly and report its findings and activities to the facility's governing body and medical staff. The medical staff shall assure that appropriate follow-up and action results. Notes shall be taken at each meeting and retained at the facility. Such notes shall be made available to the Office.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.15. Equipment and Supplies.
Note     •     History

(a) Equipment and supplies in each facility shall be of the quality and in the quantity necessary for care of patients as ordered or indicated.
(b) In addition, each facility shall have all equipment and supplies necessary for life support, including but not limited to, airway control and ventilation equipment, suction devices, cardiac monitor defibrillator, apparatus to establish central venous pressure monitoring, intravenous fluids and administration devices.
(c) Each facility shall develop written procedures, approved by the Office, for the inventory, inspection and testing of all equipment. Such procedures shall also address the inspection and testing of equipment and the frequency thereof.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.17. Personnel Policies.
Note     •     History

Each facility shall have written policies concerning qualifications, responsibilities, and conditions of employment for each type of personnel. Such policies shall include but not be limited to:
(a) Wage scales, hours of work, and all employee benefits.
(b) A plan for an orientation for all new staff to the Postsurgical Recovery Care Demonstration Project and the policies and objectives of the facility.
(c) Provision for on the job training where necessary.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.19. Employee Personnel Records.
Note     •     History

(a) Each facility shall maintain current, complete and accurate personnel records for all employees. 
(1) The record shall include:
(A) Full name.
(B) Social Security number.
(C) Professional license or registration number and date of expiration, if applicable.
(D) Employment classification.
(E) Information as to past employment and qualifications.
(F) Date of beginning of employment.
(G) Date of termination of employment.
(H) Documentation of orientation to the project and the facility.
(1) Performance evaluations. All employees shall be evaluated on at least a yearly basis.
(2) Such records shall be retained for at least three years following termination of employment. Employee personnel records shall be maintained in a confidential manner, and shall be made available to authorized representatives of the Office upon request.
(b) Records of hours and dates worked by all employees during at least the most recent 12-month period shall be kept on file at the place of employment or at a central location within California. Upon request such records shall be made available, at a time and location specified by the Office.
(c) A permanent log of the temporary health services personnel employed in the facility shall be kept for three years, and shall include the following:
(1) Employee's full name.
(2) Employment classification.
(3) Name of temporary health services personnel agency.
(4) Professional license or registration number and date of expiration, if applicable.
(5) Verification of health status.
(6) Record of hours and dates worked.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.21. Employees' Health Examination and Health Records.
Note     •     History

(a) All employees working in the facility, including the Administrator, shall have a health examination within 90 days prior to employment or within seven days after employment and at least annually thereafter by a person lawfully authorized to perform such a procedure. Each such examination shall include a medical history and physical evaluation. The report signed by the examiner shall indicate that the person is sufficiently free of disease to perform assigned duties and does not have any health condition that would create a hazard for that person, fellow employees, patients or visitors.
(b) The initial health examination and subsequent annual examination shall include a purified protein derivative intermediate strength intradermal skin test for tuberculosis. A chest X-ray is indicated if the employee has previously had a positive reaction to a tuberculosis skin test or is currently being treated for tuberculosis. Positive reaction to the skin test shall be followed by a 35.56 cm x 43.18 cm (14” x 17”) chest X-ray. Evidence of tuberculosis screening within 90 days prior to employment shall be considered as meeting the intent of this section.
(c) The facility shall maintain a health record of the Administrator and for each employee which includes reports of all employment-related health examinations. Such records shall be kept for a minimum of three years following termination of employment.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.23. Housekeeping.
Note     •     History

Each facility shall have written policies and procedures for its housekeeping service which shall provide for the maintenance of a clean environment for patients, employees and the public.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.25. Laundry.
Note     •     History

Each facility shall have written policies and procedures pertaining to the handling, storage, transportation and processing of linens, both clean and soiled.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.27. External Disaster and Mass Casualty Program.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.29. Fire and Internal Disasters.
Note     •     History

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

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.31. Reporting of Communicable Diseases.
Note     •     History

All cases of reportable communicable diseases shall be reported to the local health officer in accordance with section 2500, part 1, chapter 4, subchapter 1, article 1 of Title 17 of the California Code of Regulations and shall also be reported to the Office.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.33. Reporting of Outbreaks.
Note     •     History

Any outbreak or undue prevalence of infectious or parasitic disease or infestation shall be reported to the local health officer in accordance with section 2502, part 1, chapter 4, subchapter 1, article 1 of Title 17 of the California Code of Regulations, and shall also be reported to the Office.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.35. Unusual Occurrences.
Note     •     History

Occurrences such as epidemic outbreaks, poisonings, fires, major accidents or death from unnatural causes, or other catastrophes and unusual occurrences which threaten the welfare, safety or health of patients, personnel or visitors, shall be reported by the facility within 24 hours either by telephone (and confirmed in writing) or by telegraph to the local health officer and the Office. An incident report shall be retained on file by the facility for one year. The facility shall furnish such other pertinent information related to such occurrences as the local health officer or the Office may require. Every fire or explosion which occurs in or on the premises shall be reported within 24 hours to the local fire authority or, in areas not having an organized fire service, to the State Fire Marshal.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97530.37. Program Flexibility.
Note     •     History

The Director may consider and approve in writing a written proposal from an applicant or designee who wishes to use alternative concepts, methods, procedures, techniques, equipment or personnel qualifications, while providing safe and adequate care to the patient. Such written approval will exempt the applicant or designee from compliance with conflicting provisions of this chapter.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
Article 5. Fees
§97540.1. Fees.
Note     •     History

The Office shall determine the amount of the annual fee for each Postsurgical Recovery Care Facility and shall mail a notice of assessment at the time of designation and by July 1 of each year. The fee shall be due July 1 and shall be delinquent by July 30 unless alternative payment arrangements are approved by the Office. Delinquency in fee payment shall provide grounds for suspension or withdrawal of demonstration project designation pursuant to section 97560.15.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
Article 6. Operational Requirements
§97550.1. Approval to Begin Operation.
Note     •     History

No facility shall admit patients until a final review of the facility has been conducted by the Office, and the Office has in writing notified the facility that it may admit patients.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97550.3. Compliance with Other Laws and Regulations.
Note     •     History

In addition to meeting the requirements of this chapter, each Postsurgical Recovery Care Facility is responsible for complying with all other applicable laws and regulations.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
Article 7. Monitoring and Compliance
§97560.1. Patient Data.
Note     •     History

Each facility shall maintain, on forms provided by the Office, those patient data and other patient information required by the Office which shall include, but need not be limited to, the following:
(1) For each patient, a Discharge Abstract Data Record which includes all of the items set forth in Health and Safety Code section 443.31(g). This information shall include procedures and diagnoses relating to the outpatient surgery the patient received prior to admission to the facility.
(2) For each patient, a record which shows the:
(A) Planned length of stay.
(B) Actual length of stay.
(3) For any patient who stays longer than 48 hours, the following shall be listed:
(A) The reason for the additional stay.
(B) The reason it was not originally anticipated.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97560.3. Cost and Charge Data.
Note     •     History

Each facility shall provide to the Office such information and data on patient and facility costs and charges as is required by the Office. Such data shall include charges related to the surgery causing admission to the facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97560.5. Administrative Data.
Note     •     History

Each facility shall keep such administrative records and statistical data as are required by the Office in a format approved by the Office.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97560.7. Data Reporting.
Note     •     History

Data specified in sections 97560.1, 97560.3, and 97560.5 and additional data required by the Office shall be provided to the Office at such times as the Office may require, in accordance with procedures developed by the Office to protect confidentiality of patient information.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97560.9. Access to Records and Facility Sites.
Note     •     History

Any duly authorized officer, employee, or agent of the Office may, upon presentation of proper identification, enter and inspect any building or premises, and inspect any records, of the facility, at any reasonable time to secure compliance with, or to prevent a violation of, the provisions of Health and Safety Code section 1250.9 and this chapter.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97560.11. Access to Surgery Programs.
Note     •     History

A Postsurgical Recovery Care Facility shall provide in the participation agreement with each participating surgery program that authorized representatives of the Office may, at any reasonable time, enter the premises of the participating surgery program for the purpose of examining patient records, inspecting the surgery program, and reviewing procedures and reports of quality review committees and other records as necessary.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97560.13. Inspection of Facilities.
Note     •     History

(a) All facilities which have been designated by the Office shall be inspected periodically by a representative or representatives of the Office.
(b) Inspections shall be conducted as frequently as necessary but not less than once each year to assure that the facility is in compliance with this chapter and the designation agreement. 
(c) At the time of inspection, the facility shall be notified of any failure to comply with this chapter or the designation agreement.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97560.15. Reasons for Suspending/Withdrawing Project Designation.
Note     •     History

The Office may suspend or withdraw demonstration project designation for any violation of this chapter, any violation of the designation agreement, or any act or omission which has or had the effect of endangering patient safety.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97560.17. Methods of Withdrawing or Suspending Demonstration Project Designation.
Note     •     History

(a) The Office may withdraw or suspend, in whole or in part, demonstration project designation by the service of an accusation upon an authorized representative of a facility. The accusation shall state facts that give rise to the withdrawal or suspension. The withdrawal or suspension shall take effect 30 calendar days after receipt of service, unless the facility requests a hearing pursuant to subdivision (b) of this section.
(b) If a facility wants to contest a withdrawal or suspension, in whole or in part, of its demonstration project designation, it may request an administrative hearing. A request for an administrative hearing shall be mailed to the Director by certified mail, return receipt requested, within 20 calendar days of receipt of the accusation. The Director shall then cause a hearing to be held within 30 calendar days after receipt of the request for hearing.
(c) The Director may temporarily suspend, in whole or in part, demonstration project designation without the right to a prior administrative hearing when in the Director's opinion such action is necessary to protect the public health and safety. The Director shall notify an authorized representative of a facility of the effective date of a temporary suspension by service of an accusation which clearly states that it includes a temporary suspension. The temporary suspension shall remain in effect until conclusion of the administrative hearing process described in section 97560.19, if an administrative hearing is requested. At the conclusion of the administrative hearing process the temporary suspension shall either be lifted in its entirety, modified or made permanent. If no administrative hearing is requested, the temporary suspension shall remain in effect until the Director determines whether the temporary suspension shall be lifted in its entirety, modified or made permanent.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97560.19. Hearing Procedures.
Note     •     History

(a) The hearing shall be held by an employee of the Office delegated the responsibility to conduct the hearing by the Director. The formal rules of evidence shall not apply. A facility may but need not be represented by counsel.
The hearing will be tape recorded by the Office. The facility may bring a certified shorthand reporter instead, if it agrees to provide the Office with a copy of the transcript at no charge. The hearing shall proceed as follows:
(1) One or more representatives of the Office shall present the evidence that was the basis for the accusation.
(2) The facility through its authorized representatives shall be given its opportunity to present its side of the case.
(3) Both parties shall summarize their respective positions.
(4) The case shall then be submitted to the hearing officer for a Proposed Decision.
(b) The hearing officer shall prepare a Proposed Decision with findings of fact and conclusions of law for submittal to the Director within 10 calendar days of the conclusion of the hearing.
(c) The Director shall then have 10 calendar days to adopt or reject the Proposed Decision.
(d) If the Director does not adopt the Proposed Decision, he or she will furnish a Notice of Rejection of Proposed Decision along with a copy of the Proposed Decision to the facility through the facility's authorized representative. The Director will provide the facility the opportunity to present written arguments to the Office within a reasonable period of time. The Director may also provide the facility an opportunity to present additional oral arguments before the Office. The decision of the Director will be based on the record, including the hearing record and such additional information as is provided by the facility. The decision of the Director shall be made within 30 calendar days of the rejection of the Proposed Decision.
(e) Nothing in this section or section 97560.15 or 97560.17 shall be construed as preventing the Office from informally settling the issues surrounding the proposed suspension or withdrawal of designation either before, during or after the hearing.
(f) The decision of the Director shall be final upon service of a copy of the decision on an authorized representative of the facility.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
Article 8. Physical Plant
§97570.1. Physical Plant and Spatial Standards.
Note     •     History

Each freestanding Postsurgical Recovery Care Facility shall comply with the building standards for skilled nursing facilities found in chapter 2-10B of part 2 of Title 24 of the California Code of Regulations, and those provisions of Parts 3, 4, and 5 of Title 24 made applicable to skilled nursing facilities by chapter 2-10B, with the following exceptions: 
(a) The isolation room or rooms otherwise required in nursing service space by sections 2-1004B(a) and 2-1015A(f) need not be provided.
(b) The activity program space otherwise required in nursing service space by section 2-1007B need not be provided.
(c) The exception under section 2-1011(b) otherwise applicable to acute care facilities shall be applicable to a Postsurgical Recovery Care Facility.
(d) Air distribution system details shall conform to those standards required for skilled nursing facilities. However, for purposes of this chapter, section 4-2203(a) of part 4 of Title 24 shall be supplemented to include the following additional exception:
The section 4-2103(a) requirement for continuous operation shall refer to air distribution zones continuously occupied. Independent air distribution zones which will be entirely unoccupied for more than twelve continuous hours may operate at levels below minimums stated in Table 4-2203(a), and below minimum design temperatures, provided that the remaining zones, which are occupied, shall be maintained in full compliance with the Building Standards Code. Before re-occupancy, the zone must be stabilized at minimum standards for both Table 4-2203(a) and design temperature. Access to controls for air distribution systems shall be limited to authorized personnel.
(e) Whenever there are practical difficulties involved in carrying out the requirements of this article, the Office may grant modifications for individual cases, provided the Office finds that a special individual reason makes the strict letter of the applicable provision of the State Building Standards Code impractical. Whenever a modification or waiver from a code requirement is granted, the reasons for granting the modification or waiver shall be recorded by the Office, as well as any substantiating justifications.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97570.3. Application for Plan Approval.
Note     •     History

(a) No new construction of, or alteration to, a freestanding Postsurgical Recovery Care Facility shall be undertaken by a designee until the plans and specifications have been reviewed and approved by the Office in accordance with the policies and procedures for plan review set forth in chapter 7 of division 7 of Title 22, which was adopted pursuant to chapter 1 (commencing with section 15000) of division 12.5 of the Health and Safety Code.
(b) No new construction of, or alteration to, a Postsurgical Recovery Care Facility which is a distinct part of a health facility shall be undertaken by a designee until the plans and specifications have been reviewed and approved by the Office in accordance with the policies and procedures for plan review set forth in chapter 7 of division 7 of Title 22, which was adopted pursuant to chapter 1 (commencing with section 15000) of division 12.5 of the Health and Safety Code.
(c) No new construction of, or alteration to, a freestanding Postsurgical Recovery Care Facility shall be approved by the Office unless compliance with environmental impact and local zoning ordinances is demonstrated. Each facility shall also demonstrate evidence of compliance with the fire and life safety requirements of the State Fire Marshal for skilled nursing facilities, and with local fire safety requirements, prior to the approval by the Office of new construction or alteration.
(d) For purposes of plan review, the issuance of building permits, construction inspection, the issuance of certificates of completion, and the assessment of plan review and inspection fees, Postsurgical Recovery Care Facilities shall be treated as skilled nursing facilities.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Sections 1250.9 and 15071, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21).
§97570.5. Continuous Safe Structural Operation.
Note     •     History

Each Postsurgical Recovery Care Facility shall be maintained in a safe structural condition. If the Office determines in a written report submitted to the designee that an evaluation of the structural condition is necessary, the designee may be required to submit a report by a licensed structural engineer which shall establish a basis for eliminating or correcting the structural conditions which may be hazardous to occupants. The designee shall eliminate or correct any hazardous conditions.
NOTE

Authority cited: Section 1250.9, Health and Safety Code. Reference: Section 1250.9, Health and Safety Code.
HISTORY

1. New section filed 3-7-88 as an emergency; operative 3-7-88 (Register 88, No. 12). No Certificate of Compliance required pursuant to the provisions of Health and Safety Code section 1250.9(m).
2. Editorial correction of HISTORY No. 1 (Register 90, No. 21). 
Chapter 13. Mobile Cardiac Catheterization Pilot Project
Article 1. Definitions
§97600.1. Mobile Van.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97600.3. Pilot Program.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.32, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency, pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97600.5. Interim Program.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.32, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97600.7. Designation Agreement.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.32, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97600.9. Interim Program Authorization Agreement.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.32, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
Article 2. Relationship Between Base and Host Hospital During Pilot Program Operation
§97601.1. Base Hospital and Host Hospital.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency, pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97601.3. Base and Host Hospital Patient Safety Assurance Procedures.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97601.5. Separate Requirements for Each Host Hospital.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.36, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency, pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
Article 3. General Provisions
§97602.1. Mobile Cardiac Catheterization Laboratory (Van) Physical Requirements.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(e); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97602.3. Staffing Requirements.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97602.5. Equipment Requirements.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97602.7. Drug Requirements.
Note     •     History

NOTE

Authority, cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97602.9. Emergency Protocol Requirements.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97603.1. Criteria for the Selection and Exclusion of Patients.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97603.3. Permitted Procedures and Minimums.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97603.5. Written Informed Consent.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97603.7. Maintenance and Update.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
Article 4. Interim Program Use of Mobile Lab When Replacing a Hospital Based Cardiac Catheterization Laboratory
§97604.1. Interim Use of Mobile Labs.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
Article 5. Monitoring and Record Keeping
§97605.1. Data and Patient Utilization.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97605.3. Access to Records and Facility Site.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97605.5. Reasons for Suspending/Withdrawing Project Approval.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97605.7. Methods of Suspending/Withdrawing Project Approval.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
§97605.9. Hearing Procedure.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
Article 6. Fees
§97606.1. Fees.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency Pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
Article 7. Operational Requirement
§97607.1. Operational Requirement.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
Article 8. Compliance with Other Laws and Regulations
§97608.1. Compliance with Other Laws and Regulations.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 444.41, Health and Safety Code. Reference: Section 444.30, Health and Safety Code.
HISTORY

1. New section filed 10-23-89 as an emergency pursuant to Health and Safety Code section 444.41(c); operative 10-23-89 (Register 89, No. 45). Section remains in effect until January 1, 1991 pursuant to Health and Safety Code section 444.41(c) unless amended or repealed.
2. Expired by own terms on 1-1-91 (Register 91, No. 19).
Chapter 14. Minority Health Professions Education Foundation
Article 1. Definitions
§97700.1. Academic Year.
Note     •     History

“Academic year” means a period of time, usually eight or nine months, during which a full-time college or university student would normally be expected to complete the equivalent of two semesters, or three quarters of instruction.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.2. Areas Deficient in Primary Care Services.
Note     •     History

“Areas deficient in primary care services” means medically underserved areas.
NOTE

Authority cited: Section 69801, Education Code. Reference: Section 1, Chapter 1307, Statutes of 1987; and Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.3. Associate Degree Nursing Program.
Note     •     History

“Associate degree nursing program” means an education program with two or three year curriculum which includes nursing theory and clinical course work that leads to an associate degree of nursing. Graduates of associate degree programs are eligible to take the state board examination to become registered nurses in California.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.4. Baccalaureate Degree Nursing Program.
Note     •     History

For the purpose of this chapter, “Baccalaureate degree nursing program” means any of the following:
(a) An education program for nurses which requires a minimum of four years for completion and leads to a baccalaureate of science in nursing degree. The curriculum emphasizes nursing theory and clinical practice and also requires general education in the humanities and the behavioral and biological sciences. The general education requirements may be required to be completed after admission to the program, or they may be required prior to admission; or,
(b) An external degree program offered by institutions accredited by the National League for Nursing where students study part-time while working as nurses and, at the conclusion of the program, are awarded baccalaureate degrees in nursing.
Graduates of baccalaureate degree nursing programs are eligible to take the state board examination to become registered nurses in California.
NOTE

Authority cited: Sections 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.5. Black.
Note     •     History

For purposes of this chapter, “Black” means a person from any of the Black racial groups of the African continent, who is not also Hispanic/Latino.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.6. Contract or “Agreement.”
Note     •     History

“Contract” or “Agreement” means a written agreement between the Office and a recipient of a scholarship or a participant in the loan repayment program which obligates the recipient or participant, in exchange for financial assistance, to practice his or her profession for a specified period of time after graduation in a medically underserved area in the state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69898 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.7. Default.
Note     •     History

“Default” means the failure to make one or more payments on an educational loan where the governmental or commercial lender has accelerated payments and the total outstanding balance has been made presently due and owing.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.8. Demographically Underrepresented Group.
Note     •     History

“Demographically underrepresented group” includes Blacks, Hispanic/Latinos, and Native Americans. It also includes other minority groups whose representation in any one or more health profession in the state, as determined by the Office, is less than their representation in the general population of the state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.13. Dentist.
Note     •     History

“Dentist” means a person licensed to practice dentistry under the Dental Practices Act, Business and Professions Code section 1600, et seq.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.15. Direct Financial Assistance.
Note     •     History

“Direct Financial Assistance” means a scholarship or loan repayment made to an individual or school, training institution, lender or note holder, on an individual's behalf.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development. 
§97700.17. Direct Patient Care.
Note     •     History

“Direct patient care” means the provision of health care services directly to individuals being treated for, or suspected of having, physical or mental illnesses. Direct patient care includes preventive care. The first line supervision of direct patient care shall also be considered “direct patient care.”
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.18. Director.
Note     •     History

“Director” means Director of the Office of Statewide Health Planning and Development.
NOTE

Authority cited: Section 69801, Education Code. Reference: Section 69795, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.19. Economically Disadvantaged.
Note     •     History

“Economically disadvantaged” means a person whose gross family income at the time of application and the immediately preceding 2 years, fell below 150 percent of the federally recognized poverty level. For the purpose of determining the poverty level, the Office shall use the table entitled, “Weighted Average Poverty Levels Based on Money Income for Families and Individuals,” published by the U.S.Department of Commerce, Bureau of Census, in the most recent statistical Abstract of the United States. The Office shall adjust the table to account for inflation.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69795, 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.20. Educational Loan.
Note     •     History

“Educational loan” means a loan of money by a commercial lender or a governmental entity, which requires repayment with interest, and which was obtained by an individual for the purpose of defraying the costs associated with health professions education, or any prerequisite to study in a health profession.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.21. Family Practice.
Note     •     History

“Family practice” means the specialty of medicine called family practice which is recognized by the American Medical Association. Physicians in the specialty of family practice complete a three-year residency program certified by the American Board of Family Practice.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.23. Full-Time Student.
Note     •     History

“Full-time student” means a student who is enrolled in a semester, trimester or quarter program of not less than 12 (twelve) credit hours or units or their equivalent, and can reasonably expect to graduate, if the student progresses in good standing, in the recognized number of academic years it takes a full-time student to graduate.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.25. Graduated Health Professional.
Note     •     History

“Graduated health professional” means a person who has completed a health education program and is licensed to practice a health profession in the state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.26. Graduate Training Program or Postgraduate Training Program.
Note     •     History

“A graduate training program” or a “postgraduate training program” means an organized course of study, which is not required for basic licensure, in a recognized specialty of medicine, dentistry, optometry, podiatry, or pharmacy (or other health profession), in this state, except in the instance of the immediate postgraduate training requirement (internship) for physicians.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.27. Health Manpower Shortage Area.
Note     •     History

“Health manpower shortage area” means a medically underserved area.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 442.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.29. Hispanic/Latino.
Note     •     History

For purposes of this chapter, “Hispanic/Latino” means a person whose ancestry can be readily traced to Mexico, Puerto Rico, the Caribbean basin, or any other country of Central or South America where Spanish is the recognized official language. A person shall not be considered Hispanic/Latino solely on the basis of possession of a Spanish surname.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69795, 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.31. Letter of Understanding.
Note     •     History

“Letter of Understanding” means a document signed by an applicant for financial assistance that indicates the applicant's awareness that the scholarship or loan repayment program requires a binding commitment to practice a health profession for a specified period of time in a medically underserved area of the state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development. 
§97700.32. Loan Repayment Commitment.
Note     •     History

“Loan repayment commitment” means a promise by the Office to repay all or part of an educational loan in return for a twelve month period of practice (or longer) by an individual in a medically underserved area.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.33. Loan Repayment Program.
Note     •     History

“Loan repayment program” means that program of the Office wherein the Office may repay government or commercial educational loans of an eligible individual who practices his or her profession for a period of time in a medically underserved area of the state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.35. Medically Underserved Area.
Note     •     History

“Medically underserved area” means a geographic area designated by the Director of the Office of Statewide Health Planning and Development which meets one of the following sets of criteria:
(a) A medical service study or urban subdivision of a medical service study area as designated by the California Health Manpower Policy Commission which has fewer than one primary care physician per 3,000 persons. Primary care physicians are licensed physicians in California who practice principally in general or family practice, general internal medicine, pediatrics or obstetrics and gynecology.
(b) A primary care health manpower shortage area as designated by the Secretary of the U.S. Department of Health and Human Services under the authority of section 254e of Title 42 of the United States Code Annotated.
(c) A facility determined by the Director to have a shortage of nursing personnel under section 447.42 of the Health and Safety Code.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.41. Native American Indian.
Note     •     History

For the purposes of this chapter, “Native American Indian” means a person who presents acceptable written documentation as determined by the Director that he/she is either:
(a) a member of an American Indian tribe or band which is under the jurisdiction of the Federal Government as shown on the list of recognized tribes and bands maintained by the Federal Bureau of Indian Affairs, or
(b) has at least one-quarter American Indian Blood quantum of tribes or bands indigenous to the United States and/or Canada.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69795, 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.43. Other Health Professions.
Note     •     History

“Other health professions” means health professions other than allopathic or osteopathic medicine, dentistry and nursing for which the need, as determined by the Office, is greater than the available supply in medically underserved areas of the state. Other health professions include, but need not be limited to, optometry, podiatry and pharmacy.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69795, 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.45. Other Persons Underrepresented.
Note     •     History

“Other persons underrepresented” means a person or persons from a group described in section 97700.8 of this chapter.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69795, 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.47. Participating School or Institution.
Note     •     History

“Participating school or institution” means an accredited university, training institution, school, college or program that has agreed with the Office to provide timely data and information on students who are in attendance and have applied (or are applying) for financial assistance under this chapter.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.49. Persons Who Agree in Writing.
Note     •     History

“Persons who agree in writing” means those persons in the Registered Nurse Education Program, who are not necessarily members of a group demographically underrepresented as defined in section 97700.8, but who agree, in exchange for a scholarship or loan repayment commitment, to practice the profession of nursing after graduation for a specified period of time in a medically underserved area of the state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.51. “Physician and Surgeon” or “Physician.”
Note     •     History

“Physician and Surgeon” or “Physician” means any person holding a valid and unrevoked physician's and surgeon's certificate or certificate to practice medicine and surgery, issued by the Medical Board or the Board of Osteopathic Examiners of this state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.53. Primary Care Services.
Note     •     History

“Primary care services” means those services routinely provided by physicians who practice principally in general or family practice general internal medicine, pediatrics or obstetrics and gynecology.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.55. Registered Nurse.
Note     •     History

“Registered nurse” means a person licensed to practice nursing under the Nursing Practice Act (Business and Professions Code section 2700, et seq.), and who is authorized to place letters “R.N.” after his/her name.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.57. Registered Nurse Education Program.
Note     •     History

“Registered Nurse Education Program” means the program of educational financial assistance for registered nurses or registered nursing students authorized in article 4 (commencing with section 447.40) of part 1.95 of division 1 of the Health and Safety Code.
NOTE

Authority cited: Section 69801, Education Code. Reference: Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.59. Service Obligation.
Note     •     History

“Service obligation” or “obligated service” means that contractual obligation agreed to by a recipient of a scholarship or loan repayment commitment where the recipient agrees to practice his or her profession for a specified period of time in a medically underserved area of the state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799 Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.61. Scholarship.
Note     •     History

“Scholarship” means financial assistance provided to an eligible individual who agrees, in return for the assistance, to practice his or her profession for a specified period of time in a medical underserved area of the state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Section 69798 and 69799 Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.63. Underrepresented Minority Groups.
Note     •     History

“Underrepresented minority groups” means Blacks, Hispanic/Latinos, Native American Indians and those groups listed in section 97700.8 of this chapter.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97700.65. Underrepresented Person.
Note     •     History

“Underrepresented person” means a person from a group listed in section 97700.8 of this chapter.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code; and Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
Article 2. General Provisions
§97720. Application Process for Financial Assistance.
Note     •     History

(a) Each person desiring a scholarship or loan repayment commitment shall submit a completed application, available from the Office, which will require the following information:
(1) Written documentation that the applicant complies with the provisions of section 97730 if applying for a scholarship, or section 97740 if applying for a loan repayment commitment;
(2) The dollar amount requested for scholarship expenses, with justification for the amount requested, or the dollar amount requested for loan repayment assistance, with details on outstanding educational loans including the current outstanding loan balances;
(3) An official copy of college transcripts for all postsecondary institutions attended; 
(4) The applicant's work experience (if any);
(5) Community background, including any residence in a medically underserved area;
(6) The applicant's career goals;
(7)Financial need;
(8) Length of time before the applicant would be available to provide services in a medically underserved area;
(9) The medically underserved area where the applicant would propose to practice, and potential employers from whom the applicant would seek employment;
(10) Community involvement, including extra curricular activities;
(11) A personal statement by the applicant indicating any other qualifications, attributes or characteristics which would increase the likelihood the applicant will continue to practice in a medically underserved area after the service obligation has ended;
(12) A signed Letter of Understanding, which is an acknowledgement by the applicant that financial assistance requires a binding commitment from those applicants selected for a scholarship or loan repayment commitment to practice their health professions in a medically underserved area of the state for a specified period of time;
(13) Health care license number (if applicable); and
(14) Any other information the applicant believes is relevant.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97722. Selection Process.
Note     •     History

(a) In deciding which applicants will receive financial assistance, the Office shall take into consideration those factors which it determines indicate the greatest probability of program success, the needs of the state in general, and the needs of each specific medically underserved area.
(b) Special consideration may be given to:
(1) Allopathic and osteopathic students intending to enter family practice internal medicine, pediatrics or osteopathic general practice;
(2) Those applicants who indicate an intent to pursue other types of clinical practice or specialized training for which the Office has identified a particular need;
(3) Those applicants who come from an ethnic group or underrepresented group for which high representational disparity exists in the state;
(4) With regard to applicants seeking loan repayment, applicants who have the required degree, have completed all needed postgraduate training, have an unrestricted license, and are immediately ready to provide services.
NOTE

Authority cited: Section 69801 Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97724. Incompatible Existing Obligations.
Note     •     History

(a) Any applicant who owes a conflicting obligation for professional practice to another entity entered into before filing an application under this chapter shall be ineligible for a scholarship or loan repayment commitment.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97726. Conditions Under Which a Scholarship or Loan Repayment Obligation May Be Canceled, Reduced Waived or Suspended.
Note     •     History

(a) Any obligation of a recipient for service or payment shall be canceled upon the death of the recipient.
(b) A recipient may seek a waiver, suspension, reduction, or delay of the service or payment obligations incurred under this chapter by written request to the Office setting forth the bases, circumstances, and causes which support the requested action. The Office may approve a request for a suspension for a period of not more than 1 year. A renewal of this suspension may also be granted.
(c) The Office may waive, suspend, reduce or delay any service or payment obligation incurred by a recipient whenever compliance by the recipient is impossible, or would involve extreme hardship to the recipient, and if the enforcement of the service or payment obligation would be against equity and good conscience. The Office shall give special consideration to the unique requirements of pregnancy.
(d) Compliance by a recipient with a service or payment obligation shall be considered impossible if the Office determines, on the basis of information and documentation, that the participant suffers from a physical or mental disability resulting in the permanent (or near-permanent) inability of the recipient to perform the service or other activities which would be necessary to comply with the obligation.
(e) In determining whether to waive, suspend, reduce or delay any or all of the service or payment obligations of a recipient as imposing an undue hardship and being against equity and good conscience, the Office may consider:
(1) The recipient's present financial resources and obligations;
(2) The recipient's estimated future financial resources and obligations; and,
(3) The extent to which the recipient has problems of a personal nature, such as physical or mental disabilities, or terminal illness in the immediate family, which so intrude on the recipient's present and future ability to perform as to raise a presumption that the individual will be unable to perform the obligation incurred.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
Article 3. Scholarships
§97730. Eligibility Criteria for Scholarship Assistance.
Note     •     History

(a) To be eligible for a scholarship under this chapter, an applicant must:
(1) Be accepted, or be enrolled, as a full-time student in a school or training institution, properly accredited by the appropriate accrediting authority, to prepare the applicant to provide health professional services in the state; and,
(2) Be pursuing, or planning to pursue, a course of study leading to a degree in allopathic or osteopathic medicine, dentistry, nursing or other health profession determined by the Office to be needed in medically underserved areas of the state; and,
(3) Be willing to commit to practice his or her profession, after graduation, for a specific period of time, in a medically underserved area in the state; and,
(4) Except in those instances where the applicant is applying for a scholarship under the Registered Nurse Education Program, be a member of a group listed as a demographically underrepresented group in section 97700.8; and,
(5) Be at least 18 years of age.
(b) A prospective health professions student need not be accepted by, or enrolled in, a health professions training program to apply for a scholarship. Evidence of acceptance will be required before a scholarship is awarded.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97731. Duration of Scholarship Awards.
Note     •     History

(a) Subject to the availability of funds, the Office will award scholarships under this chapter for one academic year at a time.
(b) Subject to the availability of funds, the Office may award additional scholarships for additional academic years (up to a total of four) if:
(1) The recipient applies for an additional scholarship;
(2) The additional scholarship will not extend the total period of financial assistance beyond four academic years;
(3) The ongoing academic performance of the recipient is reported by the program, school or institution to be acceptable; and,
(4) The recipient otherwise continues to be eligible for participation in the program.
NOTE

Authority cited: Section 69801 Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97732. Permissible Scholarship Costs and Amounts.
Note     •     History

(a) A scholarship for each academic year may consist of:
(1) Tuition (which may be limited to a maximum amount, but will never be approved for more than that actually charged by a participating school or institution); and,
(2) Reasonable educational expenses including required fees, books, supplies and educational equipment (also subject to a maximum or actual limitation); and,
(3) A monthly stipend for the period beginning with the first month of each academic year in which the individual is a participant, and ending with the last month of the academic year.
(b) The Office will periodically publicize and update the maximum amounts that will be permitted for tuition, reasonable educational expenses, and the monthly stipend.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97734. Scholarship Payment and Suspension Provisions.
Note     •     History

(a) The Office may provide scholarship assistance directly to the student, or the Office may enter into an agreement with the participating school or institution at which the student scholarship recipient is enrolled for the direct payment of tuition and reasonable educational expenses on the recipient's behalf.
(b) The monthly stipend will be mailed monthly to the student, at an address of the student's choosing.
(c) The Office may suspend scholarship payments to or on behalf of a student if any of the following occurs:
(1) The participating school or institution approves a leave-of-absence for the student for health, personal or other reasons, and the leave, or the reasons for the leave, significantly decrease the probability that the student would complete his or her studies in a reasonable period of time;
(2) The participating school or institution requires the student to repeat course work for which scholarship payments have previously been made. However, if the repeated course work does not delay the recipient's graduation date, scholarship payments shall continue except for any additional costs relating in the repeated course work; or
(3) The student abandons the course or study in mid-academic year, is suspended by the school, or fails to pursue the course work for any other reason not excused by this Office.
(d) The Office may require a scholarship recipient (or the participating school or institution) to supply any relevant information, during an academic year, which demonstrates satisfactory school performance, and which validates the recipient's continuing eligibility for the scholarship payments.
NOTE

Authority cited: Section 69801 Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97735. Obligations of the Scholarship Recipient.
Note     •     History

(a) Except for individuals who are members of a group referred to in section 97700.8 of this chapter, and are recipients of a scholarship under the Registered Nurse Education Program, in return for a scholarship under this chapter, each recipient shall be obligated to practice his or her health profession in direct patient care for a specified period of time in a medically underserved area in the state.
(b) Except for recipients who receive a deferral under paragraph (d) of this section, a scholarship recipient shall commence the practice of his or her health profession in a medically underserved area of the state as soon as possible following the completion of the recipient's approved course of study or by such later date as may have been agreed to by the Office and the applicant in writing.
(c) The period which the recipient is obligated to serve shall be 12 months for each academic year for which the recipient received a scholarship under this chapter, or 24 months, whichever is greater.
(d) The Office may defer the beginning date of a service obligation to allow a scholarship recipient to pursue additional postgraduate training. The period of this deferment shall not exceed:
(1) Four years for any scholarship recipient receiving a degree from a school of medicine or osteopathy; or,
(2) One year for any other scholarship recipient, except that this time period may be extended for additional postgraduate training.
(e) Each scholarship recipient receiving a degree in medicine or osteopathy who does not intend to apply for a residency shall still complete at least one year of approved postgraduate training to qualify for licensure, before beginning the period of obligated service. This one year of training shall be in:
(1) An allopathic flexible first-year program with training in family practice, internal medicine, pediatrics, or an allopathic categorical first-year program in family practice or internal medicine; or,
(2) A rotating internship in osteopathic medicine.
(f) Any recipient receiving a degree in medicine or osteopathy who fails to complete any postgraduate training that is a minimum requirement of licensure shall be subject to the default penalties of subdivision (a) of section 97737.
(g) A scholarship recipient shall request the approval of the Office before altering the length or type of approved postgraduate training for which the period of obligated service was deferred under this section.
(h) Any recipient whose period of obligated service has been deferred under this section shall begin and complete the obligate service following the completion of the requested or required postgraduate training.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97737. Penalties for Non-Compliance by a Scholarship Recipient.
Note     •     History

(a) When a scholarship recipient fails to maintain an acceptable level of academic standing (as established by the participating school or institution), is dismissed from school for disciplinary reasons, or voluntarily terminates the course of study or program for which the scholarship was awarded, then the recipient shall be liable to repay the amount that has been paid by the Office, plus interest. Interest shall be computed at the rate of 7 percent per year. The interest shall begin accruing from the date the Office determines the course of study ceased. Repayment shall be required in quarterly installments, in amounts calculated by the Office to permit total repayment in seven years.
(b) If a scholarship recipient fails to begin or complete the service obligation, the Office shall be entitled to recover from the individual an amount determined by the following formula, plus interest:

View Graphic
in which “A” is the amount the Office is entitled to recover; “F” is the sum of the amounts paid under this chapter; “T” is the total number of months in the individual's period of obligated service; and “S” is the number of months of such period already served by the individual. Interest shall be charged on the outstanding principal at the rate of 10 percent per year. Interest shall begin to accrue from the date the service obligation was to begin, or when it prematurely ceased, as determined by the Office. Repayment shall be required in quarterly installments, in amounts calculated by the Office to permit total repayment in seven years.
(c) If a scholarship recipient fails to accept payment or instructs the participating school or institution not to accept payment of the scholarship provided by the Office, for any reason not listed in paragraph (a), then the recipient must, in addition to repaying the Office any amounts already provided, plus interest, pay to the Office the amount of $1,500.00 liquidated damages. The liquidated damages shall be due and owing within 30 days of the date on which the participant fails to accept payment of the scholarship award or instructs the school not to accept payment. Interest shall be computed at the rate of 10 percent per year. Repayment of any scholarship monies, and interest, shall be required in quarterly installments, in amounts determined by the Office to permit repayment in seven years.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
Article 4. Loan Repayment Program
§97740. Eligibility Criteria for the Loan Repayment Program.
Note     •     History

(a) To be eligible to participate in the loan repayment program, an applicant shall:
(1) Be a full-time student in a properly accredited school, in the final year of a course of study or program leading to a degree in allopathic or osteopathic medicine, dentistry, nursing, or other health profession determined by the Office to be needed in medically underserved areas of the state; or
(2) Be enrolled in a medical or osteopathic internship, or a medical or osteopathic residency in family practice; or,
(3) Be a licensed health professional in a health profession determined by the Office to be needed in a medically underserved area; and,
(4) Be willing to commit to practice his or her profession, for a specified period of time after licensure, in a medically underserved area of the state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97743. Loan Repayment Program Provisions.
Note     •     History

(a) Subject to the availability of funds, the Office may contract to repay educational loans in return for services health professionals provide in medically underserved areas. The loan repayment commitment made by the Office shall consist of a promise to repay, on behalf of a program participant, the principal, interest and related expense on outstanding governmental and commercial educational loans, not in default, received by the participants for:
(1) Tuition expenses; and,
(2) Other reasonable educational and living expenses incurred while a participant attended school (subject to approval as to eligibility by the Office).
(b) The service obligation of the participant shall be 12 months for each loan repayment contract entered into with the Office. However, a service obligation in a medially underserved area shall not be for a period of less than 24 months. The service obligation must be fulfilled on a full-time basis. “Full-time basis” means a forty hour work week, minus normal time off for vacation (not to exceed 4 weeks per year) and sick leave. The service obligation must be in direct patient care.
(c) After each 12 month period when a recipient has fulfilled his or her service obligation, the Office shall pay up to $20,000 in retirement of the outstanding educational debt. The precise terms and conditions of the loan repayment commitment and the service obligation shall be detailed in the agreement entered into between the Office and the participant.
(d) The Office may enter into a collateral agreement with a lender (or note holder) to repay directly a loan or loans. Repayment shall be conditioned on satisfactory performance of the service obligation by the participant. The repayments shall be made in accordance with a schedule agreed to between the Office and the program participant. The Office may agree to repay all of a particular loan, or only partially repay a loan. If an individual has more than one eligible loan outstanding, the Office may select which loan it will repay. Nothing in this paragraph shall prohibit the Office from paying a participant directly, instead of a lender or note holder.
(e) During the period of service obligation, the participant shall continue to make any required periodic payments on all outstanding loans. The Office shall require periodic reports substantiating service in a medially underserved area (and other information) prior to releasing funds to a participant or a lender (or note holder).
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97745. Additional Loan Repayment Commitment Contracts.
Note     •     History

The Office may enter into additional loan repayment commitment contracts if:
(1) The participant requests an additional contract;
(2) The additional loan repayment commitment will not extend the total service obligation beyond 48 months;
(3) The performance of the participant in the medically underserved area is determined by the Office to be acceptable; and,
(4) The participant otherwise continues to be eligible for participation in the program.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97747. Penalties for Non-Compliance by a Loan Repayment Program Participant.
Note     •     History

(a) If a participant or student breaches the contract with the Office by failing to either begin the service obligation or to complete it, the Office shall be entitled to recover from the individual an amount determined by the following formula, plus interest: 

View Graphic

in which “A” is the amount the Office is entitled to recover; “F” is the sum of the amounts paid under this chapter to or on behalf of the individual; “T” is the total number of months in the individual's period of obligated service; and “S” is the number of months of such period already served by the individual. Interest shall be charged on the outstanding principal at the rate of 10 percent per year. Interest shall begin to accrue from the date of the breach, as determined by the Office. Repayment shall be required in quarterly installments, in amounts calculated by the Office to permit repayment in seven years.
NOTE

Authority cited: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
Article 5. Registered Nurse Education Program
§97750. Eligibility Criteria for Financial Assistance Under the Registered Nurse Education Program.
Note     •     History

(a) To be eligible for a scholarship under the Registered Nurse Education Program, an applicant shall:
(1) Be pursuing or planning to pursue, a course of study leading to a baccalaureate degree in nursing;
(2) Be a member of a group defined in section 97700.8, except that an applicant may not be required to be a member if he or she agrees to practice nursing for a specified period of time in direct patient care in a medically underserved area of the state; and,
(3) Be nominated by the program director or designee of the baccalaureate degree nursing program to which the applicant has applied (or intends to apply), or the program director or designee of an associate degree nursing program the applicant has attended, if either program director has agreed to make nominations to the Office. In making the nominations, the nursing program directors or their designees shall take into account the following:
(A) The nominee's work experience;
(B) The community background of the nominee, including residence in a medically underserved area;
(C) The nominee's career goals;
(D) Prior academic performance, and potential for future academic success; and,
(E) Financial need.
If an applicant is not applying to, and has not attended a school that has agreed to make nominations, then the applicant shall provide at least three letters of recommendation from former teachers or other community representatives.
(4) Priority consideration shall be given by the Office to individuals who have graduated from an Associate Degree Nursing Program. Priority shall also be given to full-time students, or less than full-time students who can complete their baccalaureate degree requirements in the shortest time.
(b) To be eligible for a loan repayment award under the Registered Nurse Education Program, an applicant shall:
(1) Be in the final year of the course of study leading to a baccalaureate degree in nursing; or,
(2) Currently possess a baccalaureate degree in nursing and have a valid license as a registered nurse; and,
(3) Be willing to practice nursing for a specified period of time in direct patient care in a medically underserved area of the state.
Priority shall be given by the Office to individuals whose commitment or ethnic and cultural background indicates the likelihood of successful long-term employment in a medically underserved area even after the service obligation has ended.
NOTE

Authority cited: Section 69801, Education Code. Reference: Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97752. Obligation of Registered Nurse Education Program Scholarship Recipient.
Note     •     History

(a) Each recipient of a scholarship under the Registered Nurse Education Program, except for those recipients who are members of a group included in section 97700.8 of this chapter, shall agree to practice nursing for a specified period of time in direct patient care in a medically underserved area of the state.
NOTE

Authority cited: Section 69801, Education Code. Reference: Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97755. Loan Repayment Provisions of the Registered Nurse Education Program.
Note     •     History

(a) The maximum loan repayment commitments of the Office for the Registered Nurse Education Program shall be $4,000 for the first 12 months during which a program participant practices nursing in a medically underserved area, then $4,000, $5,000 and $6,000 respectively, for the 2nd, 3rd, and 4th, 12 month periods.
NOTE

Authority cited: Section 69801, Education Code. Reference: Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97757. General Provisions for the Registered Nurse Education Program.
Note     •     History

The provisions of articles 1, 2, 3, 4, and 6 shall be applicable to the Registered Nurse Education Program, unless contrary to a section in this article.
NOTE

Authority cited: Section 69801, Education Code. Reference; Section 447.42, Health and Safety Code.
HISTORY

1. New section filed 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
§97759. Pilot Project for Associate Degree Nurses.
Note     •     History

(a) Not more than five percent of funds available under the Registered Nurse Education Program shall be available from a pilot program to encourage nursing students in associate degree nursing programs to complete a baccalaureate degree nursing program.
(b) To be eligible for scholarship aid under the pilot program for associate degree nurses, an applicant shall meet the eligibility criteria in article 2, except that the person shall be enrolled in a course of study leading to an Associate Degree in Nursing and agree to obtain a Baccalaureate of Science Degree in Nursing within five years of obtaining an associate degree in nursing.
(c) If the recipient fails to obtain a Baccalaureate of Science Degree within the five year period, he or she shall be responsible to repay any scholarship assistance within seven years, with no interest.
NOTE

Authority cited: Section 69801, Education Code. Reference: Section 447.42, Heath and Safety Code.
HISTORY

1. New section field 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
Article 6. Appeals
§97760. Appeals.
Note     •     History

(a) Any person adversely affected by any decision of the Office under this chapter may petition the Office for a review of the decision. This petition shall be filed with the Office within 15 business days of the notice of adverse decision, and shall specifically describe the matters which are disputed by the petitioner. The Office may immediately respond to the petition, and the response shall be a final administrative decision, or it may refer the matter to an employee appointed to act as a hearing officer.
(b) If the matter is referred to an employee for a hearing, a hearing shall be scheduled and conducted informally. The formal rules of evidence shall not apply. The employee hearing officer may accept into the record any information or evidence upon which reasonable people could rely. The employee hearing officer shall then prepare a proposed decision, and shall submit it to the Director, or the Director's designee, for final administrative action.
NOTE

Authority: Section 69801, Education Code. Reference: Sections 69798 and 69799, Education Code.
HISTORY

1. New section field 5-24-90 as an emergency; operative 5-24-90 (Register 90, No. 27). Section remains in effect pursuant to Education Code section 69801 unless amended or repealed by the Office of Statewide Health Planning and Development.
Article 7. Citizenship and Alien Verification Requirements
§97770. Limitations on the Public Benefits of Scholarships, Loans or Loan Repayments for Aliens.
Note     •     History

(a) All eligibility requirements contained herein shall be applied without regard to the race, creed, color, gender, religion, or national origin of the individual applying for the public benefit.
(b) Pursuant to Section 411 of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub. L. No. 104-193 (PRWORA)), (8 U.S.C., Section 1621), and notwithstanding any other provision of this division, aliens who are not qualified aliens, nonimmigrant aliens under the Immigration and Nationality Act (INA) (8 U.S.C., Section 1101 et seq.), or aliens paroled into the United States under Section 212(d)(5) of the INA (8 U.S.C., Section 1182(d)(5)) for less than one year, are not eligible to receive a scholarship, loan or loan repayment as set forth in Chapter 5 of Part 3 of Division 107 of the Health and Safety Code (otherwise known as those programs administered by the Minority Health Professions Education Foundation), except as provided in 8 U.S.C. 1621(c)(2).
(c) A qualified alien is an alien who, at the time he or she applies for, receives, or attempts to receive a public benefit, is, under Section 431(b) and (c) of the PRWORA (8 U.S.C., Section 1641(b) and (c)), any of the following:
(1) An alien who is lawfully admitted for permanent residence under the INA (8 U.S.C., Section 1101 et seq.).
(2) An alien who is granted asylum under Section 208 of the INA (8 U.S.C., Section 1158).
(3) A refugee who is admitted to the United States under Section 207 of the INA (8 U.S.C., Section 1157).
(4) An alien who is paroled into the United States under Section 212 (d) (5) of the INA (8 U.S.C., Section 1182 (d) (5)) for a period of at least one year.
(5) An alien whose deportation is being withheld under Section 243(h) of the INA (8 U.S.C., Section 1253(h)) (as in effect immediately before the effective date of Section 307 of division C of Public Law 104-208) or Section 241(b)(3) of such Act (8 U.S.C., Section 1251(b)(3)) (as amended by Section 305(a) of division C of Public Law 104-208).
(6) An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980. (8 U.S.C., Section 1153(a)(7)) (See editorial note under 8 U.S.C., Section 1101, “Effective Date of 1980 Amendment.”)
(7) An alien who is a Cuban or Haitian entrant (as defined in Section 501 (e) of the Refugee Education Assistance Act of 1980 (8 U.S.C., Section 1522 note)).
(8) An alien who meets all of the conditions of subparagraphs (A), (B), (C), and (D) below:
(A) The alien has been battered or subjected to extreme cruelty in the United States by a spouse or a parent, or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent of the alien consented to, or acquiesced in, such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence.
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Office of Statewide Health Planning and Development. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided. 
1. The benefits are needed to enable the alien to become self-sufficient following separation from the abuser.
2. The benefits are needed to enable the alien to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien from the abuser.
3. The benefits are needed due to a loss of financial support resulting from the alien's separation from the abuser.
4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien to lose his or her job or to earn less or to require the alien to leave his or her job for safety reasons.
5. The benefits are needed because the alien requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into a day care for fear of being found by the abuser).
7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien had when living with the abuser.
(C) The alien has a petition that has been approved or has a petition pending which sets for a prima facie case for:
1. status as a spouse or child of a United States citizen pursuant to clause (ii), (iii), or (iv) of Section 204(a)(1)(A) of the INA (8 U.S.C., Section 1154(a)(1)(A)(ii), (iii) or (iv)), 
2. classification pursuant to clause (ii) or (iii) of Section 204(a)(1)(B) of the INA (8 U.S.C., Section 1154(a)(1)(B)(ii) or (iii),
3. Suspension of deportation and adjustment of status pursuant to section 244 (a) (3) of the INA (8 U.S.C. sec. 1254) as in effect prior to April 1, 1997 [Pub.L. 104-208, sec. 501 (effective Sept. 30, 1996, pursuant to sec. 591); Pub.L. 104-208, sec. 304 (effective April 1, 1997, pursuant to sec. 309); Pub.L. 105-33, sec. 5581 (effective pursuant to sec. 5582)] (incorrectly codified as “cancellation of removal under section 240A of such Act [8 U.S.C. Section 1229b (as in effect prior to April 1, 1997),”
4. status as a spouse or child of a United States citizen pursuant to clause (I) of Section 204(a)(1)(A) of the INA (8 U.S.C., Section 1154(a)(1)(A)(I)) or classification pursuant to clause (I) of Section 204(a)(1)(B) of the INA (8 U.S.C., Section 1154(a)(1)(B)(I)), or
5. cancellation of removal pursuant to section 240A(b)(2) of the INA (8 U.S.C., Section 1229b(b)(2)).
(D) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(9) An alien who meets all of the conditions of subparagraphs (A), (B), (C), (D) and (E) below:
(A) The alien has a child who has been battered or subjected to extreme cruelty in the United States by a spouse or a parent of the alien (without the active participation of the alien in the battery or cruelty), or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence.
(B) The alien did not actively participate in such battery or cruelty.
(C) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Office of Statewide Health Planning and Development. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1. The benefits are needed to enable the alien's child to become self-sufficient following separation from the abuser.
2. The benefits are needed to enable the alien's child to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien's child from the abuser.
3. The benefits are needed due to a loss of financial support resulting from the alien's child's separation from the abuser.
4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien's child to lose his or her job or to earn less or to require the alien's child to leave his or her job for safety reasons.
5. The benefits are needed because the alien's child requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's child's parent's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser).
7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien's child and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien's child had when living with the abuser. 
(D) The alien meets the requirements of subsection (c)(8)(C) above.
(E) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(10) An alien child who meets all of the conditions of subparagraphs (A), (B), and (C) below:
(A) The alien child resides in the same household as a parent who has been battered or subjected to extreme cruelty in the United States by that parent's spouse or by a member of the spouse's family residing in the same household as the parent and the spouse consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered acts of violence.
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Office of Statewide Health Planning and Development. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1. The benefits are needed to enable the alien child's parent to become self-sufficient following separation by the abuser.
2. The benefits are needed to enable the alien child's parent to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien child's parent from the abuser.
3. The benefits are needed due to a loss of financial support resulting from the alien child's parent's separation from the abuser.
4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien child's parent to lose his or her job or to earn less or to require the alien child's parent to leave his or her job for safety reasons.
5. The benefits are needed because the alien child's parent requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien child's parent's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser).
7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien child's parent and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien child's parent had when living with the abuser.
(C) The alien child meets the requirements of subsection (c)(8)(C) above.
(d) For purposes of this section, “nonimmigrant” is defined the same as in Section 101(a)(15) of the INA (8 U.S.C., Section 1101(a)(15)).
(e) For purposes of establishing eligibility for a scholarship, loan or loan repayment as set forth in Chapter 5 of Part 3 of Division 107 of the Health and Safety Code (otherwise known as those programs administered by the Minority Health Professions Education Foundation), all of the following must be met:
(1) The applicant must declare himself or herself to be a citizen of the United States, a qualified alien under subsection (c), a nonimmigrant alien under subsection (d), or an alien paroled into the United States for less than one year under Section 212(d)(5) of the INA (8 U.S.C., Section 1182(d)(5)). The applicant shall declare that status through use of the “Statement of Citizenship, Alienage, and Immigration Status for State Public Benefits,” Form 1A, which is printed in its entirety in Section 97771.
(2) The applicant must present documents of a type acceptable to the Immigration and Naturalization Service (INS) which serve as reasonable evidence of the applicant's declared status. Documents meeting this definition or other acceptable evidence are listed in Section 97772. A document must be an original or certified copy. The Office will make every effort to return any documents sent to the Office within 60 days of receipt. A fee receipt from the INS for replacement of a lost, stolen, or unreadable INS document is reasonable evidence of the alien's declared status.
(3) The applicant must complete and sign Form 1A.
(4) Where the documents presented do not on their face appear to be genuine or to relate to the individual presenting them, the government entity that originally issued the documents should be contacted for verification. With regard to naturalized citizens and derivative citizens presenting certificates of citizenship and aliens, the INS is the appropriate government entity to contact for verification. The Office of Statewide Health Planning and Development shall request verification from the INS by filing INS Form G-845 with copies of the pertinent documents provided by the applicant with the local INS office. If the applicant has lost his or her original documents or presents expired documents or is unable to present any documentation evidencing his or her immigration status, the applicant shall be referred to the local INS office to obtain documentation.
(5) The type of documentation referred to the INS for verification pursuant to INS Form G-845 shall include the following:
(A) The document presented indicates immigration status but does not include an alien registration or alien admission number.
(B) The document is suspected to be counterfeit or to have been altered.
(C) The document includes an alien registration number in the A60 000 000 ( not yet issued) or A80 000 000 (illegal border crossing ) series.
(D) The document is one of the following: an INS Form I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Record of Permanent Residence, an Arrival-Departure Creation of Record of Permanent Residence, an Arrival-Departure Record (INS Form I-94) or a foreign passport stamped “PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE” that INS issued more than one year before the date of application for a scholarship, loan or loan repayment.
(6) If the INS advises that the applicant has citizenship status or immigration status which makes him or her a qualified alien, a nonimmigrant or alien paroled for less than one year under section 212(d)(5) of the INA, the INS verification shall be accepted. If the INS advises that it cannot verify that the applicant has citizenship status or an immigration status that makes him or her a qualified alien, a nonimmigrant or an alien paroled for less than one year under section 212(d)(5) of the INA, benefits shall be denied and the applicant notified pursuant to the Office's regular procedures of his or her rights to appeal the denial of benefits pursuant to Article 6 (Section 97760).
(f) Pursuant to Section 434 of the PRWORA (8 U.S.C., Section 1644), where the Office of Statewide Health Planning and Development reasonably believes that an alien is unlawfully in the State based on the failure of the alien to provide reasonable evidence of the alien's declared status, after an opportunity to do so, said alien shall be reported to the Immigration and Naturalization Service.
(g) Provided that the alien has completed and signed Form 1A under penalty of perjury, eligibility for a scholarship, loan or loan repayment shall not be delayed, denied, reduced or terminated while the status of the alien is verified.
(h) Pursuant to Section 432(d) of the PRWORA (8 U.S.C, Section 1642 (d)), a nonprofit charitable organization that provides federal, state or local public benefits shall not be required to determine, verify, or otherwise require proof of eligibility of any applicant or beneficiary with respect to his or her immigration status or alienage.
(i) Nothing in this section shall be construed to withdraw eligibility for any program described in SECTION 411(b) OF THE PRWORA, 8 U.S.C., Section 1621(b).
(j) Any applicant who is determined to be ineligible pursuant to subsection (b) and (e) or who was made eligible for a scholarship, loan or loan repayment, whose services are terminated, suspended, or reduced pursuant to subsections (b) and (e), is entitled to a hearing, pursuant to Article 6 (Section 97760).
NOTE

Authority cited: Section 128360, Health and Safety Code. Reference: 8 U.S.C., Sections 1621, 1641 and 1642 and Chapter 5 of Part 3 of Division 107, Health and Safety Code.
HISTORY

1. New article 7 (sections 97770-97772) and section filed 3-16-98 as an emergency; operative 3-16-98 (Register 98, No. 12). Pursuant to Health and Safety Code section 128360, this regulation is exempt from repeal pursuant to Government Code section 11346.1(e), (f) and (g). For prior history of articles 7 and 8 (sections 97607.1 and 97608.1) see Register 91, No. 19.
§97771. Form 1A.
Note     •     History

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NOTE

Authority cited: Section 128360, Health and Safety Code. Reference: 8 U.S.C., Sections 1621, 1641 and 1642 and Chapter 5 of Part 3 of Division 107, Health and Safety Code.
HISTORY

1. New section filed 3-16-98 as an emergency; operative 3-16-98 (Register 98, No. 12). Pursuant to Health and Safety Code section 128360, this regulation is exempt from repeal pursuant to Government Code section 11346.1(e), (f) and (g). 
§97772. Acceptable Documentation.
Note     •     History

(a) LIST A
A person who is a citizen or national of the United States must submit the original or a certified copy of one of the following described documents in addition to completing Form 1A.
(1) Primary Evidence
(A) A Birth certificate showing birth in one of the 50 States, the District of Columbia, Puerto Rico (on or after January 13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917), American Samoa, Swain's Island or the Northern Mariana Islands, unless the person was born to foreign diplomats residing in the United States.
Note: If the document shows that the individual was born in Puerto Rico, the U.S. Virgin Islands or the Northern Mariana Islands before these areas became part of the U.S., the individual may be a collectively naturalized citizen -- see Paragraph C below.
(B) United States passport (except limited passports, which are issued for less than five years:
(C) Report of birth abroad of a U.S. citizen (FS-240)(issued by the Department of State to U.S. citizens):
(D) Certificate of Birth (FS-545) (issued by foreign service post) or Certification of Report of birth (DS-1350) (issued by the Department of State), copies of which are available from the Department of State:
(E) Certificate of Naturalization (N-550 or N-570) (issued by the INS through a Federal or State court, or through administrative naturalization after December 1990 to individuals who are individually naturalized: the N-570 is a replacement certificate issued when the N-550 has been lost or mutilated or the individual's name has been changed):
(F) Certificate of Citizenship (N-560 or N-561) (issued by the INS to individuals who derive U.S. citizenship through a parent: the N-561 is a replacement certificate issued when the N-560 has been lost or mutilated or the individual's name has been changed):
(G) United States Citizen Identification Card (I-197) (issued by the INS until April 7, 1983 to U.S. citizens living near the Canadian or Mexican Border who needed it for frequent border crossings) (formerly Form I-179, last issued in February 1974):
(H) Northern Mariana Identification Card (issued by the INS to collectively naturalized citizen of the U.S. who was born in the Northern Mariana Islands before November 3, 1986):
(I) Statement provided by a U.S. consular officer certifying that the individual is a U.S. citizen (this is given to an individual born outside the U. S. Who derives citizenship through a parent but does not have an FS-240, FS-545 or DS-1350): or
(J) American Indian Card with a classification code “KIC” and a statement on the back (identifying U.S. citizen members of the Texas Band of Kickapoos living near the U.S./Mexican border).
(2) Secondary Evidence
If the applicant cannot present one of the documents listed in A above, the following may be relied upon by the Office to establish U. S. Citizenship or nationality:
(A) Religious record recorded in one of the 50 States, the District of Columbia, Puerto Rico (on or after January 13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917)), American Samoa, Swain's Island or the Northern Mariana Islands (unless the person was born to foreign diplomats residing in such a jurisdiction) within three months after birth showing that the birth occurred in such jurisdiction and the date of birth or the individual's age at the time the record was made:
(B) Evidence of civil service employment by the U.S. government before June 1, 1976:
(C) Early school records (preferably from the first school) showing the date of admission to the school, the child's date and place of birth, and the name(s) and place(s) of birth of the parent(s):
(D) Census record showing name, U.S. citizenship or a U. S. Place of birth, and date of birth or age of applicant:
(E) Adoption Finalization Papers showing the child's name and place of birth in one of the 50 States, the District of Columbia, Puerto Rico (on or after January 13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917), American Samoa, Swain's Island or the Northern Mariana Islands, (unless the person was born to foreign diplomats residing in such a jurisdiction) or, where adoption is not finalized and the State or other jurisdiction listed above in which the child was born will not release a birth certificate prior to final adoption, a statement from a state-approved adoption agency showing the child's name and place of birth in one of such jurisdictions: or
(F) Any other document that establishes a U.S. place of birth or in some way indicates U. S. Citizenship (e.g., a contemporaneous hospital record of birth in that hospital in one of the 50 States, the District of Columbia, Puerto Rico (on or after January 13, 1941), Guam, the U.S. Virgin Islands (on or after January 17, 1917), American Samoa, Swain's Island or the Northern Mariana Islands, (unless the person was born to foreign diplomats residing in such a jurisdiction). 
(3) Collective Naturalization 
If the applicant cannot present one of the documents listed in A or B above, the following will establish U.S. citizenship for collectively naturalized individuals:
(A) Puerto Rico:
1. Evidence of birth in Puerto Rico on or after April 11, 1899 and the applicant's statement that he or she was residing in the U.S., a U.S. possession or Puerto Rico on January 13, 1941: or
2. Evidence that the applicant was a Puerto Rican citizen and the applicant's statement that he or she was residing in Puerto Rico on March 1, 1917 and that he or she did not take an oath of allegiance to Spain.
(B) U.S. Virgin Islands:
1. Evidence of birth in the Virgin Islands and the applicant's statement of residence in the U.S., a U.S. possession or the U. S. Virgin Islands on February 25, 1927:
2. The applicant's statement indicating residence in the U.S. Virgin Islands as a Danish citizen on January 17, 1917 and residence in the U.S., a U.S. possession or the U.S. Virgin Islands on February 25, 1927, and that he or she did not make a declaration to maintain Danish citizenship: or
3. Evidence of birth in the U.S. Virgin Islands and the applicant's statement indicating residence in the U.S., a U.S. possession or territory or the Canal Zone on June 28, 1932.
(C) Northern Mariana Islands (NMI) (formerly part of the Trust Territory of the Pacific Islands (TTPI):
1. Evidence of birth in the NMI, TTPI citizenship and residence in the NMI, the U.S., or a U.S. territory or possesion on November 3, 1986 (NMI local time) and the applicant's statement that he or she did not owe allegiance to a foreign state on November 4, 1986 (NMI local time):
2. Evidence of TTPI citizenship, continuous residence in the NMI since before November 3, 1981 (NMI local time), voter registration prior to January 1, 1975 and the applicant's statement that he or she did not owe allegiance to a foreign state on November 4, 1986 (NMI local time): or
3. Evidence of continuous domicile in the NMI since before January 1, 1974 and the applicant's statement that he or she did not owe allegiance to a foreign state on November 4, 1986 (NMI local time). Note: If a person entered the NMI as a nonimmigrant and lived in the NMI since January 1, 1974, this does not constitute continuous domicile and the individual is not a U.S. citizen.
(4) Derivative Citizenship
If the applicant cannot present one of the documents listed in A, B, or C above, the following may be relied upon by the Office to establish U.S. citizenship or nationality.
(A) Applicant born abroad to two U.S. citizen parents:
1. Evidence of the U.S. citizenship of the parents and the relationship of the applicant to the parents, and evidence that at least one parent resided in the U. S. Or an outlying possession prior to the applicant's birth.
(B) Applicant born abroad to a U.S. citizen parent and a U. S. non-citizen national parent:
1. Evidence that one parent is a U.S. citizen and that the other is a U.S. non-citizen national, evidence of the relationship of the applicant to the U. S. Citizen parent, and evidence that the U.S. citizen parent resided in the U.S., a U.S. possession, American Samoa or Swain's Island for a period of at least one year prior to the applicant's birth.
(C) Applicant born out of wedlock abroad to a U.S. citizen mother:
1. Evidence of the U.S. citizenship of the mother, evidence of the relationship to the applicant and, for births on or before December 24, 1952, evidence that the mother resided in the U.S. prior to the applicants birth or, for births after December 24, 1952, evidence that the mother had resided, prior to the child's birth, in the U.S. or a U.S. possession for a period of one year.
(D) Applicant born in the Canal Zone or the Republic of Panama:
1. A Birth certificate showing birth in the Canal Zone on or after February 26, 1904 and before October 1, 1979 and evidence that one parent was a U.S. citizen at the tome of the applicant's birth: or
2. A birth certificate showing birth in the Republic of Panama on or after February 26, 1904 and before October 1, 1979 and evidence that at least one parent was a U.S. citizen and employed by the U.S. government or the Panama Railroad Company or its successor in title.
(E) If an applicant still believes he or she is a U.S. citizen and has none of the listed documentation, he or she should go to the local INS Office or the State Department for a citizenship determination.
(5) Adoption of Foreign-Born Child by U.S. Citizen
(A) If the birth certificate shows a foreign place of birth and the applicant cannot be determined to be a naturalized citizen under any of the above criteria, the applicant may obtain other evidence of U.S. citizenship:
(6) U.S. Citizenship by Marriage
(A) Evidence of U.S. citizenship of the husband, and evidence showing the marriage occured before September 22, 1922.
(b) LIST B
If the applicant is an alien claiming eligibility on Form 1A, at least one of the following documents must accompany the declaration:
(1) Documentation Evidencing an Appproved Petition or Application
(A) INS Form I-551 (“resident Alien Card” or Alien Registration Receipt Card”, commonly known as a “green Card”) with one of the following INS class of admission (“COA”) codes printed on the front of a white card or the back of a pink card: AR1, AR6, C20 through C29, CF1, CF2, CR1, CR2, CR6, CR7, CX1 through CX3, CX6 through CX8, F20 through F29, FX1 through FX3, FX6 through FX8, IF1, IF2, IR1 through IR4, IR6 through IR9, IW1, IW2, IW6, IW7, MR6, MR7, P21 through P23, or P26 through P28.
(B) INS Form I-551 with one of the following COA codes stamped on the lower left side of the back of a pink card: IB1 through IB3, IB6 through IB8, B11, B12, B16, B17, B20 through B29, B31 through B33, B36 through B38, BX1 through BX3, or BX6 through BX8.
(C) INS Form I-551 with COA code Z13.
(D) Unexpired Temporary I-551 stamp in foreign passport or on INS Form I-94 with one of the COA codes specified in the Subsections (1)-(3), above.
(E) INS Form I-797 indicating approval of an INS I-130 petition (only I-130 petitions describing the following relationships may be accepted: husbands or wives of U.S. citizens or Lawful Permanent Residents (LPRs), unmarried children under 21 years old of U.S. citizens or LPRs, or unmarried children 21 or older of LPRs), or approval of an I-360 petition (only I-360 approvals based on status as a widow/widower of a U.S. Citizen or as a self-petitioning spouse or child of an abusive U.S. citizen or LPR may be accepted).
(F) A final order of an Immigration Judge or the Board of Immigration Appeals granting suspension of deportation under section 244(a)(3) of the INA as in effect prior to April 1, 1997, or cancellation of removal under section 240A(b)(2) of the INA.
(2) Documentation Demonstrating that the Applicant has Established a Prima Facie Case
(A) INS Form I-797 indicating that the applicant has established a prima facie case: or
(B) An immigration court or Board of Immigration Appeals order indicating that the applicant has established a prima facie case for suspension of deportation under INA section 244(a)(3) as in effect prior to April 1, 1997, or cancellation of removal under section 240A(b)(2) of the INA.
(3) Documentation Indicating that the Applicant has Filed a Petition or that a Petition has been Filed on the Applicant's Behalf, as Applicable, but with no Evidence of Approval of the Petition or Establishment of a Prima Facie Case
(A) INS Form I-797 indicating filing of the I-360 petition by “self-petitioning spouse [or child] of abusive U.S.C. or LPR,” a file-stamped copy of the petition, or other document demonstrating filing (including a cash register or computer-generated receipt indicating filing of Form I-360).
(B) INS Form I-797 indicating filing of the I-360 petition.
(4) Documentation Indicating that the Applicant has filed a Petition or that a Petition was filed on His or Her Behalf, as Applicable
(A) INS Form I-797 indicating filing of the I-130 petition, a file-stamped copy of the petition, or other document demonstrating filing (including a cash register or computer-generated receipt indicating filing of Form I-130).
(B) For self-petitioning widows or widowers: a file-stamped copy of the INS I-360 petition, or another document demonstrating filing (including a cash register or computer-generated receipt indicating filing of Form I-360).
(5) Documentation Indicating that the INS has Initiated Deportation or Removal Proceedings in which Relief may be available
(A) An “Order to Show Cause”:
(B) A “Notice to Appear”: or
(C) A “Notice of Hearing in Deportation Proceedings.”
(6) Minimal or no Documentation Regarding the Claimed Filing
(A) If the applicant has some documentation, but it is insufficient to demonstrate filing, establishment of prima facie case or approval of a petition, the Office will fax the INS Request Form on agency letterhead, as well as a copy of any document(s) provided by the applicant, to the INS Vermont Service Center in order to determine the applicant's status. If the applicant has no documentation, but is certain that a petition has been filed by his or her spouse or parent, the applicant should fax the INS Request Form to the INS Vermont Service Center.
NOTE

Authority cited: Section 128360, Health and Safety Code. Reference: 8 U.S.C., Sections 1621, 1641 and 1642 and Chapter 5 of Part 3 of Division 107, Health and Safety Code.
HISTORY

1. New section filed 3-16-98 as an emergency; operative 3-16-98 (Register 98, No. 12). Pursuant to Health and Safety Code section 128360, this regulation is exempt from repeal pursuant to Government Code section 11346.1(e), (f) and (g). 
Chapter 15. Associate Degree Nursing Scholarship Program
§97800. Chapter Definitions.
Note     •     History

The following definitions shall apply to the regulations contained in this Chapter:
(a) “Academic year” means a period of time, usually eight or nine months, during which a full-time college or university student would normally be expected to complete the equivalent of two semesters or three quarters of instruction. 
(b) “Associate degree nursing program” means an education program with a two or three year curriculum, which includes nursing theory and clinical coursework that leads to an associate degree of nursing. Graduates of associate degree programs are eligible to take the state board examination to become registered nurses in California. 
(c) “Contract” means a written agreement between the Office and a recipient of a scholarship that obligates the recipient, in exchange for scholarship(s), to practice their nursing profession for a specified period of time after graduation in a medically underserved area in California. 
(d) “Cultural and linguistic skills and abilities” means possessing cultural and linguistic competence. Cultural and linguistic competency means the ability to understand and respond effectively to the cultural and linguistic needs brought by patients to health care encounters. 
(e) “Direct patient care” means the provision of health care services directly to individuals being treated for, or suspected of having, physical or mental illness. Direct patient care includes preventative care. The first line supervision of direct patient care shall be considered “direct patient care.”
(f) “Director” means the Director of the Office of Statewide Health Planning and Development. 
(g) “Economic need” means having an income of two hundred (200) percent or less of federal poverty index based on family size. 
(h) “Federal poverty index” means the federal poverty threshold updated annually by the U.S. Department of Commerce, Bureau of the Census. 
(i) “Foundation” means the Health Professions Education Foundation. 
(j) “Full-time student” means a student who is enrolled in a semester, trimester, or quarter program of not less than twelve (12) credit hours or units or their equivalent, and can reasonably expect to graduate, if the student progresses in good standing, in the recognized number of academic years it takes a full-time student to graduate. 
(k) “Medically underserved area” means any of the following: 
(1) A Medically Underserved Area or Medically Underserved Population (MUA or MUP) as designated by the U.S. Department of Health and Human Services, Health Resources and Services Administration, Bureau of Health Professions' Shortage Designation Branch. 
(2) A Primary Care Health Professional Shortage Area (HPSA) as designated by the U.S. Department of Health and Human Services, Health Resources and Services Administration, Bureau of Health Professions' Shortage Designation Branch. 
(3) A California Primary Care Shortage Area as designated by the California Healthcare Workforce Policy Commission. 
(4) A facility determined by the Director pursuant to section 128385 of the Health and Safety Code to be an eligible county health facility or an eligible state-operated health facility. 
(l) “Office” means the Office of Statewide Health Planning and Development. 
(m) “Part-time student” means a student who is enrolled in a semester, trimester, or quarter program of not less than six (6) credit hours or units or their equivalent. 
(n) “Registered nurse” means a person licensed to practice nursing under the Nursing Practice Act (Business and Professions Code section 2700 et seq.) and who is authorized to place the letters “R.N.” after their name. 
(o) “Registered Nurse Education Fund” means the fund established pursuant to section 128400 of the Health and Safety Code. 
(p) “Reside” refers to one's place of residence as described in section 244 of the Government Code. 
(q) “Scholarship” means financial assistance provided to an eligible individual who agrees, in return for the assistance, to practice their nursing profession for a specified period of time in a medically underserved area in California. 
(r) “Service obligation” means the contractual obligation agreed to by a recipient of a scholarship where the recipient agrees to practice their profession for a specified period of time in a medically underserved area in California. 
NOTE

Authority cited: Section 128401, Health and Safety Code. Reference: Section 128401, Health and Safety Code.
HISTORY

1. New chapter 15 (sections 97800-97890) and section filed 8-10-2005; operative 8-10-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 32). 
§97810. Available Funding.
Note     •     History

The Office shall award scholarships to eligible applicants, subject to the availability of funds allocated by the Foundation. 
NOTE

Authority cited: Section 128401, Health and Safety Code. Reference: Section 128401, Health and Safety Code.
HISTORY

1. New section filed 8-10-2005; operative 8-10-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 32). 
§97820. Duration of Scholarship Awards.
Note     •     History

(a) The Office will award scholarships under this Chapter for not more than one (1) academic year at a time. 
(b) The Office may enter into additional scholarship contracts if: 
(1) The recipient applies for an additional scholarship; 
(2) The additional scholarship will not extend the total period of financial assistance beyond three (3) academic years or quarter/semester equivalent; and, 
(3) The recipient is reported by the program, school, or institution to have maintained a cumulative grade point average of 2.0 or above. 
NOTE

Authority cited: Section 128401, Health and Safety Code. Reference: Section 128401, Health and Safety Code.
HISTORY

1. New section filed 8-10-2005; operative 8-10-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 32). 
§97830. Permissible Scholarship Costs.
Note     •     History

(a) A scholarship for each academic period may consist of: 
(1) Tuition (shall not exceed the amount actually charged by a participating school or institution); 
(2) Reasonable educational expenses including required fees, books, supplies, and educational equipment; and 
(3) A monthly stipend. 
(b) The total scholarship amount per academic year shall not exceed the estimated annual average cost per student of associate degree nursing programs throughout California for that academic year, as provided by the California Student Aid Commission. 
NOTE

Authority cited: Section 128401, Health and Safety Code. Reference: Section 128401, Health and Safety Code.
HISTORY

1. New section filed 8-10-2005; operative 8-10-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 32). 
§97840. Application Process.
Note     •     History

(a) Each person desiring a scholarship shall submit a completed application, which shall include information and documentation to establish the following: 
(1) County of residence; 
(2) Acceptance to or enrollment as a part-time or full-time student in an associate degree nursing program, verified by nursing program director or designee; 
(3) Official transcripts for all coursework related to nursing education; 
(4) Health-related work experience; 
(5) Community background, including current or prior residence in a medically underserved area in California;
(6) Career goals; 
(7) Economic need, documented by either a current: 
(A) Student Aid Report (SAR) or 
(B) Federal tax return and all W-2s; 
(8) The scholarship amount requested with justification for amount requested; 
(9) Length of time before the applicant would be able to provide services in a medically underserved area in California where the applicant would propose to practice; 
(10) Community involvement, including extracurricular activities; 
(11) Commitment to practice as a registered nurse for a specific period of time in a medically underserved area in California; 
(12) Cultural and linguistic skills and abilities; 
(13) Two (2) letters of recommendation, dated within six (6) months of the application deadline, including author's name, mailing address, phone number, and relationship to applicant. It is recommended that at least one (1) letter be from a faculty member. It is useful if letters indicate an applicant's academic performance, work experience, community service, volunteer activities, memberships in clubs, or other experience that indicates the applicant's likelihood of program success. 
(14) A personal statement indicating qualifications, attributes, or characteristics that would increase the likelihood the applicant would continue to practice in a medically underserved area in California after service obligation has ended; and 
(15) Any other information the applicant believes is relevant, such as certificates, honors, and awards. 
(b) There shall be two (2) scholarship application deadlines per year, March 24 and September 11. 
(1) Applications for scholarships for academic periods that begin on or after August 1 and by December 31 shall be filed by the previous March 24. 
(2) Applications for scholarships for academic periods that begin on or after January 1 and by July 31 shall be filed by the previous September 11. 
NOTE

Authority cited: Section 128401, Health and Safety Code. Reference: Section 128401, Health and Safety Code.
HISTORY

1. New section filed 8-10-2005; operative 8-10-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 32). 
§97850. Selection Process.
Note     •     History

(a) Only persons who reside in a county in need and who are accepted to or enrolled as a part-time or full-time student in an associate degree nursing program may be eligible for this scholarship program. 
(b) Consideration shall be given to: 
(1) An applicant's economic need; and 
(2) Applicants who demonstrate cultural and linguistic skills and abilities. 
(c) In deciding which applicants are eligible to receive scholarships, the Foundation shall also consider those factors which it determines indicate the greatest probability of program success and the nursing workforce needs of the state in general and of each medically underserved area. 
(d) An applicant who has signed a contract or written agreement with another entity to practice their health profession in exchange for financial assistance, including tuition reimbursement, scholarship, loans, or loan repayment, shall be ineligible to receive a scholarship under this Chapter until the obligation owed to this other entity has been fulfilled. 
NOTE

Authority cited: Section 128401, Health and Safety Code. Reference: Section 128401, Health and Safety Code.
HISTORY

1. New section filed 8-10-2005; operative 8-10-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 32). 
§97860. Obligations of the Scholarship Recipient.
Note     •     History

(a) Each recipient shall agree to a service obligation to practice nursing in direct patient care for a specified period of time in a medically underserved area in California. 
(b) The period that the recipient is obligated to serve shall be twenty four (24) months. 
NOTE

Authority cited: Section 128401, Health and Safety Code. Reference: Section 128401, Health and Safety Code.
HISTORY

1. New section filed 8-10-2005; operative 8-10-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 32). 
§97870. Commencement of Service Obligation.
Note     •     History

Each recipient shall commence the practice of nursing in a medically underserved area in California within six (6) months after completing their associate degree nursing program and upon obtaining their license with the Board of Registered Nursing. 
NOTE

Authority cited: Section 128401, Health and Safety Code. Reference: Section 128401, Health and Safety Code.
HISTORY

1. New section filed 8-10-2005; operative 8-10-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 32). 
§97880. Penalties for Failure to Comply with Requirements of Program.
Note     •     History

Penalties for failure to comply with the requirements of this program shall be as specified in Section 97737 of Chapter 14 of this Division, except that total repayment shall be required in monthly installments within seven (7) years. 
NOTE

Authority cited: Section 128401, Health and Safety Code. Reference: Section 128401, Health and Safety Code.
HISTORY

1. New section filed 8-10-2005; operative 8-10-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 32). 
§97890. Exceptions to Service or Payment Obligations.
Note     •     History

Service or payment obligation may be cancelled, waived, suspended, reduced, or delayed as specified in Section 97726 of Chapter 14 of this Division. 
NOTE

Authority cited: Section 128401, Health and Safety Code. Reference: Section 128401, Health and Safety Code.
HISTORY

1. New section filed 8-10-2005; operative 8-10-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 32). 
Chapter 16. Vocational Nurse Scholarship and Loan Repayment Program
Article 1. General Provisions
§97900. Chapter Definitions.
Note     •     History

The following definitions shall apply to the regulations contained in this Chapter: 
(a) “Academic year” means a period of time, usually eight or nine months, which a full-time college or university student would normally be expected to complete the equivalent of two semesters or three quarters of instruction. 
(b) “Associate degree nursing program” means an education program with a two or three year curriculum that includes nursing theory and clinical coursework that leads to an associate degree of nursing. Graduates of associate degree nursing programs are eligible to take the state board examination to become registered nurses in California. 
(c) “Contract” means a written agreement between the Office and a recipient of a scholarship or loan repayment, which obligates the recipient, in exchange for financial assistance, to practice their profession in a medically underserved area in California for a specified period of time after graduation. 
(d) “Direct patient care” means the provision of health care services directly to individuals being treated for, or suspected of having, physical or mental illness. Direct patient care includes preventative care. The first line supervision of direct patient care shall be considered “direct patient care.”
(e) “Director” means the Director of the Office of Statewide Health Planning and Development. 
(f) “Educational loan” means a loan of money by a commercial lender or a government entity, which requires repayment with interest, and was obtained by an individual for the purpose of defraying the costs associated with vocational nursing education. 
(g) “Full-time student” means a student who is enrolled in a semester, trimester, or quarter program of not less than twelve (12) credit hours or units or their equivalent, and can reasonably expect to graduate, if the student progresses in good standing, in the recognized number of academic years it takes a full-time student to graduate. 
(h) “Part-time student” means a student who is enrolled in a semester, trimester, or quarter program of not less than six (6) credit hours or units or their equivalent. 
(i) “Medically underserved area” means any of the following: 
(1) A Medically Underserved Area or Medically Underserved Population (MUA or MUP) as designated by the U.S. Department of Health and Human Services, Health Resources and Services Administration, Bureau of Health Professions' Shortage Designation Branch. 
(2) A Primary Care Health Professional Shortage Area (HPSA) as designated by the U.S. Department of Health and Human Services, Health Resources and Services Administration, Bureau of Health Professions' Shortage Designation Branch. 
(3) A California Primary Care Shortage Area as designated by the California Healthcare Workforce Policy Commission. 
(4) A facility determined by the Director to have a shortage of nursing personnel under section 128385 of the Health and Safety Code. 
(j) “Office” means the Office of Statewide Health Planning and Development. 
(k) “Registered Nurse Education Program” (RNEP) means the program established pursuant to Section 128385 of the Health and Safety Code. 
(l) “Scholarship” means financial assistance provided to an eligible individual who agrees, in return for the assistance, to practice their nursing profession for a specified period of time in a medically underserved area in California. 
(m) “Service obligation” means the contractual obligation agreed to by a recipient of a scholarship or loan repayment where the recipient agrees to practice their nursing profession for a specified period of time in a medically underserved area in California. 
(n) “Vocational nurse” means a person licensed to practice nursing under the Vocational Nursing Practice Act (commencing with Business and Professions Code Section 2840). 
(o) “Vocational nursing program” means a fourteen- to twenty four-month education program, which includes nursing theory and clinical coursework that leads to the state certification exam to become a licensed vocational nurse. 
(p) “Vocational Nurse Education Fund” means the fund established pursuant to Section 128500 of the Health and Safety Code. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New chapter 16 (articles 1-3, sections 97900-97927), article 1 (sections 97900-97902) and section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97901. Available Funding.
Note     •     History

The Office shall award scholarships and loan repayments to eligible applicants, subject to the availability of funds in the Vocational Nurse Education Fund. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350, 128485 and 128500, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97902. Exceptions to Service or Payment Obligations.
Note     •     History

Service or payment obligations may be cancelled, waived, suspended, reduced, or delayed as specified in Section 97726 of Chapter 14 of this Division. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128345, 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
Article 2. Scholarship Program Provisions
§97910. Scholarship Eligibility.
Note     •     History

(a) An applicant for a vocational nurse scholarship must be: 
(1)(A) Accepted or enrolled as a part-time or full-time student in a vocational nursing program that is accredited by the Board of Vocational Nursing and Psychiatric Technicians, or 
(B) A licensed vocational nurse accepted or enrolled as a part-time or full-time student in an associate degree nursing program that is accredited by the Board of Registered Nursing. 
(2) Willing to commit to serve in direct patient care in a medically underserved area in California for twenty-four months. 
(b) A licensed vocational nurse applicant who is eligible to apply for the Registered Nurse Education Program (RNEP) must first apply for that program, and if rejected, will then be considered eligible to apply for the Vocational Nurse scholarship under this Chapter. Applications for the Vocational Nurse scholarship must be made within twelve (12) months of rejection for the RNEP. 
(c) An applicant who has signed a contract or written agreement with another entity to practice their vocational nursing profession in exchange for financial assistance, including tuition reimbursement, scholarship, loans, or loan repayment, shall be ineligible to receive a scholarship under this Chapter until the obligation to this other entity has been fulfilled. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New article 2 (sections 97910-97917) and section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97911. Duration and Terms of Scholarship Awards.
Note     •     History

(a) The Office will award a scholarship for not more than one (1) academic year at a time. 
(b) The Office may enter into an additional scholarship contract if: 
(1) The recipient applies for an additional scholarship; 
(2) The additional scholarship will not extend the total period of financial assistance beyond three (3) academic years or quarter/semester equivalent; and 
(3) The ongoing academic performance of the recipient is reported by the program, school, or institution to be a minimum cumulative grade point average of 2.0. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97912. Permissible Scholarship Costs.
Note     •     History

(a) A scholarship for each academic year may consist of: 
(1) Tuition; and 
(2) Reasonable educational expenses, including required fees, books, supplies, and educational equipment. 
(b) For a scholarship that supports the vocational nursing student, the total scholarship amount per year shall not exceed the estimated annual average cost to attend vocational programs throughout California for that academic year, as provided by the California Student Aid Commission. 
(c) For a scholarship that supports the licensed vocational nurse who is an associate degree nursing student, the total scholarship amount per year shall not exceed the estimated annual average cost to attend associate degree programs throughout California for that academic year, as provided by the California Student Aid Commission. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97913. Scholarship Application Process.
Note     •     History

(a) Each person desiring a scholarship shall submit a completed application. 
(b) For an applicant who is a vocational nursing student, a completed scholarship application shall include information and documentation to establish the following: 
(1) Acceptance to or enrollment as a part-time or full-time student in a vocational nursing program; 
(2) Official transcripts for highest educational level obtained; 
(3) Health-related work experience; 
(4) Community background, including current or prior residence in a medically underserved area in California; 
(5) Career goals; 
(6) Financial need, documented by either a current: 
(A) Student Aid Report (SAR) or 
(B) Federal tax return and all W-2s; 
(7) The scholarship amount requested with justification for amount requested; 
(8) Expected date of graduation and vocational nurse licensure; 
(9) Community involvement, including extracurricular activities; 
(10) Commitment to practice as a licensed vocational nurse for twenty-four months in a medically underserved area in California; 
(11) Two (2) letters of recommendation, dated within six (6) months of the application deadline, including author's title, employer, mailing address, phone number, and relationship to applicant. It is recommended that at least one (1) letter be from a faculty member. It is useful if letters indicate an applicant's academic performance, work experience, community service, volunteer activities, memberships in clubs, or other experience that indicate the applicant's likelihood of program success; 
(12) A personal statement indicating qualifications, attributes, or characteristics that would increase the likelihood the applicant would continue to practice in a medically undeserved area in California after service obligation has ended; and 
(13) Any other information the applicant believes is relevant, such as certificates, honors and awards. 
(c) For an applicant who is a licensed vocational nurse accepted into or enrolled in an associate degree nursing program, a completed scholarship application shall include information and documentation to establish the following: 
(1) Acceptance to or enrollment as a part-time or full-time student in an associate degree nursing program; 
(2) Proof of vocational nursing licensure, including license number issued by the California Board of Vocational Nurses and Psychiatric Technicians; 
(3) Official copy of transcripts for all coursework related to nursing education; 
(4) Health-related work experience; 
(5) Community background, including current or prior residence in a medically underserved area in California; 
(6) Career goals; 
(7) Financial need, documented by either a current: 
(A) Student Aid Report (SAR) or 
(B) Federal tax return and all W-2s; 
(8) Expected date of graduation and registered nurse licensure; 
(9) Length of time before the applicant would be able to provide services in a medically underserved area in California where the applicant would propose to practice; 
(10) Community involvement, including extracurricular activities; 
(11) Commitment to practice in direct patient care for twenty-four months in a medically underserved area in California; 
(12) Two (2) letters of recommendation, dated within six (6) months of the application deadline, including author's name, mailing address, phone number, and relationship to applicant. It is recommended that at least one (1) letter be from a faculty member. It is useful if letters indicate an applicant's academic performance, work experience, community service, volunteer activities, memberships in clubs, or other experience that indicates the applicant's likelihood of program success. 
(13) A personal statement indicating qualifications, attributes, or characteristics that would increase the likelihood the applicant would continue to practice in a medically undeserved area in California after service obligation has ended; and 
(14) Any other information the applicant believes is relevant, such as certificates, honors and awards. 
(d) There shall be two (2) scholarship application deadlines per year, March 24 and September 11. 
(1) Applications for scholarships for academic periods that begin on or after August 1 and by December 31 shall be filed by the previous March 24. 
(2) Applications for scholarships for academic periods that begin on or after January 1 and by July 31 shall be filed by the previous September 11. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97914. Selection Process.
Note     •     History

In selecting scholarship recipients, the Health Professions Education Foundation shall take into consideration those factors that it determines indicate the greatest probability of program success and the nursing or vocational nursing workforce needs of the state in general and of each medically underserved area. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128345, 128350, and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97915. Disbursement of Scholarship Award.
Note     •     History

(a) The scholarship award shall be issued on behalf of the recipient to the educational institution where the recipient is enrolled. 
(b) The educational institution shall deduct tuition and other fees charged by the school and then issue a check for any balance of the scholarship award to the recipient. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97916. Service Obligation Provisions for Scholarship Recipient.
Note     •     History

(a) Each scholarship recipient shall agree to a service obligation of twenty-four months to practice nursing in direct patient care in a medically underserved area in California. The service obligation must be fulfilled on a full-time basis. “Full-time” basis means a work week of not less than thirty-two (32) hours. 
(b) Each vocational nursing scholarship recipient shall commence the practice of vocational nursing in a medically underserved area in California within twelve (12) months after completing their vocational nursing program and obtaining their license with the Board of Vocational Nurses and Psychiatric Technicians. 
(c) Each licensed vocational nurse scholarship recipient who is an associate degree nursing student shall commence the practice of nursing in a medically underserved area in California within six (6) months after completing their associate degree nursing program and obtaining their license with the Board of Registered Nursing. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97917. Penalties for Failure to Comply with Requirements of Program.
Note     •     History

(a) Penalties for failure to comply with the requirements of this scholarship program shall be as specified in Section 97737 of Chapter 14 of this Division, except that total repayment shall be required in monthly installments within seven (7) years. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
Article 3. Loan Repayment Program Provisions
§97920. Loan Repayment Eligibility.
Note     •     History

(a) To be eligible for loan repayment, an applicant must: 
(1) Be a licensed vocational nurse, and 
(2) Practice as a vocational nurse in direct patient care in a medically underserved area of California. 
(b) An applicant who has signed a contract or written agreement with another entity to practice their health profession in exchange for financial assistance, including tuition reimbursement, scholarship, loans, or loan repayment, shall be ineligible to receive a loan repayment under this Chapter until the obligation to this other entity has been fulfilled. 
NOTE

Authority cited: Sections127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New article 3 (sections 97920-97927) and section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97921. Loan Repayment Awards.
Note     •     History

(a) The Office will contract to repay a specified amount, on behalf of the program recipient, toward the principal, interest, and related expenses on outstanding governmental and commercial educational loans, not in default, related to the recipient's vocational nurse education. 
(b) A loan repayment award amount shall not exceed the estimated annual average cost to attend vocational programs throughout California, as provided by the California Student Aid Commission, for the academic year in which the repayment application has been submitted. 
(c) The loan repayment amount awarded shall not exceed the total amount of debt owed on outstanding governmental and commercial educational loans for vocational nurse education. 
(d) The Office may agree to repay all of a particular loan, or only partially repay a loan. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97922. Loan Repayment Contracts.
Note     •     History

(a) The Office will enter into one (1) loan repayment contract per recipient at a time. 
(b) The Office may enter into an additional loan repayment contract if: 
(1) The recipient applies for an additional loan repayment; 
(2) The recipient has fulfilled the terms and conditions of the previously-awarded loan repayment contract; and 
(3) The recipient otherwise continues to be eligible to participate in the program. 
(c) The Office shall not award more than three (3) contracts to any recipient. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97923. Terms of Loan Repayment.
Note     •     History

(a) Loan repayments shall be made on a quarterly basis. 
(b) Loan repayments shall be conditioned upon the recipient providing: 
(1) Quarterly reports substantiating service in a medically underserved area in California, and 
(2) Updated lender statements. 
(c) The recipient shall continue to make any required periodic payments concurrently with payments made by the Office to avoid defaulting on outstanding loans. 
(d) Nothing in this section shall prohibit the Office from paying a recipient directly, instead of a lender or note holder. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97924. Loan Repayment Application Process.
Note     •     History

(a) Each person desiring a loan repayment shall submit a completed application. 
(b) The completed loan repayment application shall include information and documentation to establish the following: 
(1) An official copy of transcripts or coursework with vocational nurse certificate of completion posted; 
(2) Current employment as a vocational nurse in direct patient care; 
(3) Proof of vocational nursing licensure, including license number issued by the California Board of Vocational Nurses and Psychiatric Technicians; 
(4) Community background, including current or prior residence in a medically underserved area in California; 
(5) Career goals; 
(6) Financial need, documented by either a current: 
(A) Student Aid Report (SAR) or 
(B) Federal tax return and all W-2s; 
(7) The loan repayment amount requested with documentation on outstanding educational loans including the current outstanding loan balances(s); 
(8) Community involvement, including extracurricular activities; 
(9) Commitment to practice as a licensed vocational nurse for twenty four (24) months in a medically underserved area in California; 
(10) Two (2) letters of recommendation, dated within six (6) months of the application deadline, including author's name, mailing address, phone number, and relationship to applicant. It is recommended that at least one (1) letter be from a faculty member. It is useful if letters indicate an applicant's academic performance, work experience, community service, volunteer activities, memberships in clubs, or other experience that indicate the applicant's likelihood of program success; 
(11) A personal statement indicating qualifications, attributes, or characteristics that would increase the likelihood the applicant would continue to practice in a medically undeserved area in California after service obligation has ended; and 
(12) Any other information the applicant believes is relevant, such as certificates, honors, and awards. 
(c) There shall be two (2) loan application deadlines per year, March 24 and September 11. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97925. Selection Process.
Note     •     History

In selecting loan repayment recipients, the Foundation shall take into consideration the vocational nursing workforce needs of the state in general and of each medically underserved area. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128345, 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97926. Service Obligation Provisions for Loan Repayment Recipient.
Note     •     History

(a) For each loan repayment contract, the recipient shall agree to a service obligation to practice vocational nursing in direct patient care for twenty-four months in a medically underserved area in California. The service obligation must be fulfilled on a full-time basis. “Full-time” basis means a work week of not less than thirty-two (32) hours. 
(b) The service obligation for each loan repayment contract shall become effective and shall commence upon the signing of the contract between the Office and the recipient. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
§97927. Penalties for Failure to Comply with Requirements of Program.
Note     •     History

Penalties for failure to comply with the requirements of this loan repayment program shall be as specified in Section 97747 of Chapter 14 of this Division, except that total repayment shall be required in monthly installments within seven (7) years. 
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128350 and 128485, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006; operative 7-24-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 30). 
Chapter 17. Licensed Mental Health Service Provider Education Program
§97930. Chapter Definitions.
Note     •     History

The following definitions shall apply to the regulations in this Chapter:
(a) “Contract” means a written agreement between the Office of Statewide Health Planning and Development (hereinafter “Office”) and a recipient of a loan repayment that obligates the recipient, in exchange for financial assistance, to practice their profession for a specified period of time.
(b) “Cultural and linguistic competence” means the ability to understand and respond effectively to the cultural and linguistic needs brought by patients to mental health care encounters.
(c) “Direct patient care” means the provision of health care services directly to individuals being treated for, or suspected of having, physical or mental illness. Direct patient care includes preventative care. The first line supervision of direct patient care shall be considered “direct patient care.”
(d) “Director” means the Director of the Office of Statewide Health Planning and Development.
(e) “Educational loan” means a loan of money by a commercial lender or government entity that requires payment, and was obtained by an individual for the purpose of defraying costs associated with their mental health service provider education.
(f) “Foundation” means the Health Professions Education Foundation.
(g) “Licensed mental health service provider” means a psychologist licensed by the Board of Psychology, registered psychologist, postdoctoral psychological assistant, postdoctoral psychology trainee employed in an exempt setting pursuant to Section 2910 of the Business and Professions Code, or employed pursuant to a Department of Mental Health waiver pursuant to Section 5751.2 of the Welfare and Institutions Code, marriage and family therapist, marriage and family therapist intern, licensed clinical social worker, and associate clinical social worker.
(h) “Mental Health Practitioner Education Fund” means the fund established pursuant to section 128458 of the Health and Safety Code.
(i) “Mental Health Professional Shortage Area” means an area designated as such by the U.S. Department of Health and Human Services, Health Resources and Service Administration, Bureau of Health Professions' Shortage Designation Branch.
(j) “Qualified facility” means one of the following:
(1) “A publicly funded facility,” which means a health facility, as defined by Health and Safety Code Sections 1200, 1200.1, and 1250, conducted, maintained, or operated by this state or by any of its political subdivisions or districts, or by any city.
(2) “A publicly funded or public mental health facility,” which means a hospital, clinic, or long-term care facility licensed and/or certified by the California Department of Mental Health and/or the California Department of Health Services that is conducted, maintained, or operated by this state or by any of its political subdivisions or districts, or by any city, and that provides mental health services.
(3) “A non-profit private mental health facility,” which means a hospital, clinic, or long-term care facility licensed and/or certified by the California Department of Mental Health and/or the California Department of Health Services that is operated by a non-profit entity that contracts with a county mental health entity or facility to provide mental health services.
(k) “Service obligation” means the contractual obligation agreed to by the recipient of a loan repayment where the recipient agrees to practice their profession for a specified period of time in or through a qualified facility or a mental health professional shortage area.
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Section 128454, Health and Safety Code.
HISTORY

1. New chapter 17 (sections 97930-97930.10) and section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
§97930.1. Available Funding.
Note     •     History

(a) The Office shall award loan repayment to eligible applicants, subject to the availability of funds in the Mental Health Practitioner Education Fund.
(b) Fees collected from the different licensed providers shall be kept separate and shall fund loan repayment awards for recipients from the corresponding licensed provider group.
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128454 and 128458, Health and Safety Code.
HISTORY

1. New section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
§97930.2. Loan Repayment Eligibility.
Note     •     History

(a) To be eligible for loan repayment, an applicant must:
(1) Be a licensed mental health service provider.
(2) Practice as a licensed mental health service provider who provides direct patient care in or through a qualified facility or in a mental health professional shortage area.
(b) An applicant who has signed a contract or written agreement with another entity to practice their mental health profession in exchange for financial assistance, including tuition reimbursement, scholarship, loans, or loan repayment, shall be ineligible to receive a loan repayment under this Chapter until the obligation to this other entity has been fulfilled.
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code; and Section 11152, Government Code. Reference: Section 128454, Health and Safety Code.
HISTORY

1. New section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
§97930.3. Loan Repayment Awards.
Note     •     History

(a) The Office will contract to repay a specified amount, on behalf of the program recipient, towards the principal, interest, and related expenses on outstanding governmental and commercial educational loans, not in default, related to the recipient's education required to become a licensed mental health service provider.
(b) The loan repayment award amount for each provider group shall not exceed the estimated annual average cost to attend the respective mental health education program throughout California, as provided by the California Student Aid Commission, for the academic year in which the repayment application has been submitted.
(c) The loan repayment amount awarded shall not exceed the total amount of debt owed on outstanding governmental and commercial education loans for mental health profession education related to pursuing a career as a licensed mental health service provider.
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Sections 128454 and 128458, Health and Safety Code.
HISTORY

1. New section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
§97930.4. Loan Repayment Contracts.
Note     •     History

(a) The Office will enter into one (1) loan repayment contract per recipient at a time.
(b) The Office may enter into an additional loan repayment contract if:
(1) The recipient applies for an additional loan repayment;
(2) The recipient has fulfilled the terms and conditions of the previously-awarded loan repayment contract; and
(3) The recipient otherwise continues to be eligible for participation in the program.
(c) The Office shall not award more than two (2) contracts to any recipient.
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Section 128454, Health and Safety Code.
HISTORY

1. New section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
§97930.5. Terms of Loan Repayment.
Note     •     History

(a) Loan repayments shall be made on a quarterly basis.
(b) Loan repayments shall be conditioned upon the recipient providing:
(1) Quarterly reports substantiating service in or through a qualified facility or in a mental health professional shortage area in California, and
(2) Updated lender statements.
(c) The recipient shall continue to make any required periodic payments concurrently with payments made by the Office to avoid defaulting on outstanding loans.
(d) Nothing in this section shall prohibit the Office from paying a recipient directly, instead of a lender or note holder.
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Section 128454, Health and Safety Code.
HISTORY

1. New section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
§97930.6. Loan Application Process.
Note     •     History

(a) Each person desiring a loan repayment shall submit a completed application.
(b) The completed loan repayment application shall include information and documentation to establish the following:
(1) Proof of licensure, including license number issued by the California Board of Behavioral Sciences or the California Board of Psychology, or proof of registration, including registration number issued by the California Board of Behavioral Sciences, or a unique identification number issued by the California Board of Psychology.
(2) Current employment as a licensed mental health service provider providing direct patient care in or through a qualified facility or in a mental health professional shortage area.
(3) The loan repayment amount requested with documentation on outstanding educational loans related to education required to become a licensed mental health service provider, including the current outstanding loan balance(s);
(4) Community background and involvement;
(5) Career goals;
(6) Cultural and linguistic competence;
(7) Two (2) letters of recommendation, dated within six (6) months of the application deadline, including author's name, mailing address, phone number, and relationship to applicant. Letters may comment on applicant's work experience, community service, volunteer activities, memberships in clubs, and/or attributes that indicate the applicant's likelihood to continue to practice in or through a qualified facility or in a mental health professional shortage area after service obligation has ended;
(8) A personal statement indicating qualifications, attributes, or characteristics that would increase the likelihood the applicant would continue to provide direct patient care in or through a qualified facility or in a mental health professional shortage area in California after service obligation has ended; and
(9) Any other information the applicant believes is relevant.
(c) For the first calendar year of implementation, applications shall be due the fourth Friday in September. From the second year on, deadlines for the two (2) annual loan application cycles, shall be March 24 and September 11.
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Section 128454, Health and Safety Code.
HISTORY

1. New section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
§97930.7. Selection Process.
Note     •     History

In recommending loan repayment recipients to the Office, the Foundation shall take into consideration the mental health workforce needs, including cultural and linguistic, of the state in general and the needs of qualified facilities and mental health professional shortage areas.
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Section 128454, Health and Safety Code.
HISTORY

1. New section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
§97930.8. Service Obligation Provisions for Loan Repayment Recipient.
Note     •     History

(a) For each loan repayment contract, the recipient shall agree to a service obligation to practice their mental health profession in direct patient care for twenty-four (24) months in or through a qualified facility or in a mental health professional shortage area in California. The service obligation must be fulfilled on a full-time basis. “Full time basis” means a regular work week of not less than thirty-two (32) hours.
(b) The service obligation for each loan repayment contract shall become effective and shall commence upon the signing of the contract between the Office and the recipient.
NOTE

Authority cited: Section 127010, Health and Safety Code. Reference: Section 128454, Health and Safety Code.
HISTORY

1. New section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
§97930.9. Penalties for Failure to Comply with Requirements of Program.
Note     •     History

Penalties for failure to comply with the requirements of this loan repayment program shall be as specified in Section 97747 of Chapter 14 of this Division, except that total repayment shall be required in monthly installments within seven (7) years.
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Section 128454, Health and Safety Code.
HISTORY

1. New section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
§97930.10. Exceptions to Service or Payment Obligations.
Note     •     History

Service or payment obligation may be cancelled, waived, suspended, reduced, or delayed as specified in Section 97726 of Chapter 14 of this Division.
NOTE

Authority cited: Sections 127010 and 127015, Health and Safety Code. Reference: Section 128454, Health and Safety Code.
HISTORY

1. New section filed 12-6-2007; operative 12-6-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 49).
Division 8. Nondiscrimination in State-Supported Programs and Activities
Chapter 1. Purpose, General Definitions and General Provisions
Article 1. Purpose and General Provisions
§98000. Purpose of This Division.
Note     •     History

The purpose of this Division is to implement Article 9.5 of Chapter 1 of Part 1 of Division 3 of Title 2 of the Government Code, Sections 11135 through 11139.5, inclusive, which provides, inter alia, that:
No person in the State of California shall, on the basis of ethnic group identification, religion, age, sex, color, or physical or mental disability, be unlawfully denied the benefits of, or be unlawfully subjected to discrimination under, any program or activity that is funded directly by the state or receives any financial assistance from the state.
Article 9.5 requires the Secretary of the Health and Welfare Agency with the advice and concurrence of the Fair Employment Practice Commission (hereinafter referred to as the Fair Employment and Housing Commission or “FEHC” in accordance with the terms of the Governor's Reorganization Plan Number 1 (1980)), to establish standards for determining which persons are protected by Article 9.5 and guidelines for determining what practices are discriminatory. This Division establishes such standards and guidelines.
Article 9.5 also requires the Secretary of the Health and Welfare Agency, with the cooperation of the Fair Employment and Housing Commission, to assist State agencies in coordinating their programs and activities and consult with such agencies, as necessary, to ensure that consistent policies, practices and procedures are utilized by such agencies with respect to the enforcement of Article 9.5. This Division establishes guidelines regarding such policies, practices and procedures in order to eliminate conflicting interpretations and standards of enforcement; increase efficiency and ensure that the ultimate beneficiaries of Article 9.5 have a clear understanding of their rights and the means by which to enforce them.
NOTE

Authority cited: Sections 11135, 11139.5, Government Code. Reference: Sections 11135, 11139.5, Government Code.
HISTORY

1. New Division 8 (Chapters 1-5, Sections 98000-98413, not consecutive and Exhibit A) filed 7-9-80; effective thirtieth day thereafter (Register 80, No. 28).
§98001. Legal Scope.
Note

The rights and remedies under this Division are not exclusive and do not affect rights and remedies provided elsewhere by law or contract.
NOTE

Authority cited: Section 11139.5, Government Code. Reference: Section 11139, Government Code.
§98002. Private Right of Action.
Note

Except as provided in Section 98003, nothing in this Division shall be construed to preclude or restrict a person from judicially enforcing rights accruing under this Division pursuant to California Code of Civil Procedure Section 1094.5.
NOTE

Authority cited: Section 11139.5, Government Code. Reference: Section 11139, Government Code.
§98003. Exhaustion of Administrative Remedies.
Note

Exhaustion of administrative remedies available under this Division or implementing regulations shall not be a prerequisite to the bringing of actions for judicial enforcement of violations of Chapters 2 and 3 or regulations implementing such Chapters if a showing is made that the state agency involved has not adhered to the time limit set forth in Section 98346 of this Division.
NOTE

Authority cited: Section 11139.5, Government Code. Reference: Section 11139, 11139.5, Government Code.
§98004. Applicability of This Division by Operation of Law.
Note

The procedures set forth in this Division govern all disputes relating to compliance with responsibilities under this Division by operation of law.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, Government Code.
§98005. Preemption of Local Law.
Note

To the extent that any local law, regulation, ordinance, resolution, policy or practice is in conflict with Article 9.5, this Division or implementing regulations, insofar as it affords less protection to persons of a particular ethnic group identification, religion, age, sex, color or physical or mental disability than Article 9.5, this Division, or implementing regulations, it shall be superseded by this Division and implementing regulations.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, Government Code.
§98006. Duration of Obligation: Real Property.
Note

(a) In the case of State support extended in the form of real property or to acquire or improve real property, the recipient, or in the case of a subsequent transfer, the subsequent transferee, shall comply with this Division and implementing regulations for the period during which the real property is used for the purpose for which the State support was extended, or for another purpose involving the provision of similar services or benefits.
(b) In the case of State support extended in the form of real property or to acquire or improve real property, the instrument effecting or recording such transfer shall contain a covenant of nondiscrimination running with the land assuring nondiscrimination for the period during which the property is used for the purpose for which the State support was extended, or for another purpose involving the provision of similar services or benefits.
(c) In the case of real property acquired or improved with State support, the instrument effecting any subsequent disposition by the recipient shall contain a covenant running with the land assuring nondiscrimination for the period during which the real property is used for the purpose for which the State support was extended, or for another purpose involving the provision of similar services or benefits.
(d) If a recipient or a transferee of a recipient fails to comply with Subsections (b) and (c) of this Section, the covenants required by those Subsections shall be deemed to be a part of any instrument effecting or recording disposition of the real property involved.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, Government Code.
§98007. Duration of Obligation: Personal Property.
Note

In the case of State support extended to acquire personal property, or in the form of personal property, the recipient shall be obligated to comply with this Division and implementing regulations for the period during which it retains ownership or possession of the property.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, Government Code.
§98008. Duration of Obligation: Other Cases.
Note

In all other cases, the recipient shall be obligated to comply with this Division and implementing regulations for the period during which State support is received.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, Government Code.
§98009. Severability.
Note

If any provision of this Division, or any portion thereof, is adjudged to be invalid by a court of competent jurisdiction, or if any provision of this Division, or a portion thereof, loses its force or effect as a result of legislative action, that judgment or action does not affect the remainder of the provisions of this Division.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, Government Code.
Article 2. General Definitions
§98010. Definitions.
Note

As used in this Division, the following definitions shall govern the meaning of terms defined, unless the terms are otherwise defined or modified in the context in which they are used:
“Benefit” means anything contributing to an improvement in condition, including, but not limited to, the aid or services provided as a result of State support.
“Contract” means any agreement, upon sufficient consideration, to do or not do a particular act.
“Contractor” means, unless otherwise indicated, a person or local agency which receives State support under contract or subcontract, and includes prime contractors and subcontractors at any tier.
“DFEH” means the Department of Fair Employment and Housing as defined in Section 1413.1 of the California Labor Code.
“Facility” means all or any portion of buildings, structures, vehicles, equipment, vessels, roads, walks, parking lots or other real or personal property, or interests in such property, such as a life estate.
“FEHC” means the Fair Employment and Housing Commission, as defined in Section 1414 of the California Labor Code.
“Funded directly by the State” means any payment, transfer, or allocation of State funds to any recipient.
“Grant” means an agreement to provide State support.
“Grantee” means a person or local agency which receives State support under grant or subgrant, and includes prime grantees and subgrantees at any tier.
“Local agency” means a public district, public corporation, authority, agency, board, commission, county, city, city and county, school district, or other public entity.
“May” means permissive.
“Person” means an individual, proprietorship, firm, partnership, joint venture, syndicate, corporation, association, committee, legal representative, trustee, trustee in bankruptcy, receiver and any other organization or group of persons acting in concert.
“Program or activity” means any project, action or procedure undertaken directly by recipients of State support or indirectly by recipients through others by contracts, arrangements or agreements, with respect to the public generally or with respect to any private or public entity. Such programs or activities include, but are not limited to, the provisions of employment or goods; the procurement of goods or services; the provision of education, training, health, welfare, rehabilitation, housing, or other services; the provision of cash or loan assistance; or the provision of facilities for furnishing services, financial aid or other benefits. The services, financial aid or other benefits provided under such programs or activities shall be deemed to include:
(1) any services, financial aid or other benefits provided with the aid of State support, or with the aid of other funds or resources required to be expended or made available for the program to meet matching requirements or other conditions which must be met in order for the recipients to receive the State support; or
(2) any service, financial aid or other benefit provided in or through a facility which is or was provided with the aid of State support or other funds or resources.
“Real property” means land, structures on land, fixtures attached to structures, interests in such property and space on, over or under such property.
“Recipient” means any contractor, local agency, or person, who regularly employs five or more persons and who receives State support, as defined in this Section, in an amount in excess of $10,000 in the aggregate per State fiscal year or in an amount in excess of $1000 per transaction, by grant, contract or otherwise, directly or through another recipient, including any successor, assignee, or transferee of a recipient, but excluding the ultimate beneficiary of the State support. “Recipient” does not include State agencies. However, State agencies may look to this Division for guidance in the administration of their programs and activities.
“Secretary” means the Secretary of the Health and Welfare Agency, as defined in Part 2.5 of Division 3 of Title 2 of the Government Code, or the Secretary's designee.
“Services to be provided to the public” means the aid or benefits provided directly to the public by a recipient of State support.
“Shall” means mandatory.
“Should” means advisory.
“State agency” means an administrative subdivision or instrumentality of State government, including, but not limited to, agencies, departments, offices, commissions, boards, bureaus and divisions, which has the statutory or constitutional authority to provide State support to any person.
“State financial assistance” means any grant, entitlement, loan, cooperative agreement, contract or any other arrangement by which a State agency provides or otherwise makes available aid to recipients in the form of:
(1) funds;
(2) services of State personnel; or
(3) real or personal property or any interest in or use of such property, including:
(A) transfers or leases of property for less than fair market value or for reduced consideration; or
(B) proceeds from a subsequent transfer or lease of property if the State share of its fair market value is not returned to the State.
“State support” means the funds or financial assistance provided by the State to a recipient which:
(1) is “Funded directly by the State” as defined in this Section; or
(2) receives “State financial assistance” as defined in this Section.
“State supported program” means any program or activity which receives State support, in whole or in part.
“Ultimate beneficiary” means a person identified in Government Code Section 11135 who receives, applies for, or is unlawfully deterred from receiving or applying for, the benefits of, or employment under a program of activity which receives State support.
NOTE

Authority cited: Sections 11135-11139.5, Government Code. Reference: Sections 11135-11139.5, Government Code.
Article 3. Applicability
§98020. Applicability of This Division.
Note

(a) The provisions of this Division are applicable as of the effective date of this Division and shall not be interpreted to be retroactive.
(b) Except as set forth in this Subsection, the provisions of this Division do not apply to recipients who do not provide services to the public as defined in Section 98010. Such recipients shall comply with the regulations of the FEHC and shall be deemed to be “employers” for purposes of such regulations. For purposes of such recipients, the regulations of the FEHC with respect to “employees” or “applicants” shall be deemed to refer to “ultimate beneficiaries” as defined in Section 98010.
NOTE

Authority cited: Sections 11139, 11139.5, Government Code. Reference: Sections 11139, 11139.5, Government Code.
Chapter 2. Discriminatory Practices Relating to All Groups Protected by Article  9.5
Article 1. General Prohibitions Against Discrimination
§98100. General Prohibition.
Note

No person in the State of California shall, on the basis of ethnic group identification, religion, age, sex, color, or a physical or mental disability, be unlawfully denied the benefits of, or be unlawfully subjected to discrimination under any program or activity funded directly by the State or receiving any financial assistance from the State.
NOTE

Authority cited: Section 11139.5, Government Code. Reference: Section 11135, Government Code.
§98101. Discriminatory Practices Applicable to All Persons.
Note

It is a discriminatory practice for a recipient, in carrying out any program or activity directly, or through contractual, licensing or other arrangements, on the basis of ethnic group identification, religion, age, sex, color, or a physical or mental disability:
(a) to deny a person the opportunity to participate in, or benefit from an aid, benefit or service;
(b) to afford a person the opportunity to participate in or benefit from an aid, benefit or service that is not equal to that afforded others;
(c) to provide a person with an aid, benefit or service that is not as effective in affording an equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement as that provided to others. In some situations, identical treatment may be discriminatory;
(d) to provide different or separate aid, benefits or services to a person, or to any class of persons, than is provided to others, or to provide aid, benefits or services at a different time, unless such action is clearly necessary to provide such persons with an equal opportunity to receive as truly effective aid, benefits or services as those provided to others;
(e) to aid or perpetuate discrimination by transferring State support to another recipient that discriminates in providing any aid, benefit or service;
(f) to exclude a person from participation as a member of a planning or advisory board. Under this requirement, it is a discriminatory practice for a recipient to fail to make reasonable efforts to achieve a representative board. However, such requirement is not deemed to impose adherence to a quota system;
(g) to otherwise limit a person in the enjoyment of any right, privilege, advantage or opportunity enjoyed by others receiving any aid, benefit or service resulting from the program or activity;
(h) to deny a person the opportunity to participate in programs or activities that are not separate or different, despite the existence of permissibly separate or different programs or activities;
(i) to utilize criteria or methods of administration that:
(1) have the purpose or effect of subjecting a person to discrimination on the basis of ethnic group identification, religion, age, sex, color, or a physical or mental disability;
(2) have the purpose or effect of defeating or substantially impairing the accomplishment of the objectives of the recipient's program with respect to a person of a particular ethnic group identification, religion, age, sex, color, or with a physical or mental disability; or
(3) perpetuate discrimination by another recipient on the basis of ethnic group identification, religion, age, sex, color, or a physical or mental disability.
(j) to make or permit selections of sites or locations of facilities:
(1) that have the purpose or effect of excluding persons from, denying them the benefits of, or otherwise subjecting them to discrimination under any program or activity;
(2) that have the purpose or effect of defeating or substantially impairing the accomplishment of the objectives of the program or activity with respect to a person of a particular ethnic group identification, religion, age, sex, color, or with a physical or mental disability.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98102. Interpretation of Section 98101.
Note

The provisions of Section 98101 are not intended:
(a) to limit, by the enumeration of specific forms of prohibited discrimination, the general prohibition against discrimination set forth in Section 98100;
(b) to adversely affect lawful programs which benefit persons of a particular ethnic group identification, religion, age, sex, color, or with a physical or mental disability to overcome the effects of conditions that result or have resulted in limited participation in, or receipt of benefits from, any State supported program or activity; or
(c) to prohibit or require actions or practices otherwise allowed or not required under Chapter 3 of this Division.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
Article 2. Mandatory and Permissive Remedial Action
§98110. Mandatory Remedial Action.
Note

(a) If the responsible State agency finds a recipient has violated this Division or other implementing regulations the recipient shall take such remedial action as the responsible State agency deems necessary to overcome the effects of such violation.
(b) Where a recipient is found to have violated this Division or implementing regulations and where another recipient exercises control over such recipient, either or both recipients shall be required to take such remedial action as deemed appropriate by the responsible State agency.
NOTE

Authority cited: Sections 11135, 11137, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11139, Government Code.
§98111. Permissive Remedial Action.
Note

(a) A State agency may, where necessary to overcome the effects of discrimination in violation of this Division or implementing regulations:
(1) require a recipient to take remedial action with respect to persons who are no longer participants in the recipient's program or activity but who were participants in the program when such discrimination occurred; and
(2) require a recipient to take remedial action with respect to persons who would have been participants in the program or activity had the discrimination not occurred.
(b) Even in the absence of a finding of discrimination, a recipient may be permitted by a State agency to take voluntary steps in addition to any action that is required by this Division or implementing regulations to overcome the effects of conditions that resulted in limited participation in the recipient's program or activity by persons of a particular ethnic group identification, religion, age, sex, color, or with a physical or mental disability.
NOTE

Authority cited: Sections 11135, 11137, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11139, Government Code.
Chapter 3. Discriminatory Practices Relating to Specific Groups Protected by Article  9.5
Article 1. Purpose of This Chapter
§98200. Specific Discriminatory Practices.
Note

The purpose of this Chapter is to identify discriminatory practices applicable to particular groups of persons protected by Article 9.5.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
Article 2. Color and Ethnic Group Identification
§98210. Definitions.
Note

(a) “Alternative communication services” means the method used or available for purposes of communicating with a person unable to read or speak or write in the English language. “Alternative communication services” include, but are not limited to, the provision of the services of a multilingual employee or an interpreter for the benefit of an ultimate beneficiary and the provision of written materials in a language other than English.
(b) “Color or ethnic group identification” means the possession of the racial, cultural or linguistic characteristics common to a racial, cultural or ethnic group or the country or ethnic group from which a person or his or her forebears originated.
(c) “Interpreter” means a qualified person capable of translating a language, orally or in writing, between people who speak, read or write a different language.
(d) “Multilingual employee” means an employee of a recipient who, in addition to his or her other duties, is also proficient in the oral communication skills and such minimal reading and writing skills, where applicable, as are necessary to accurately and readily interpret in a second language. A multilingual employee need not be proficient in reading or writing skills in a second language except where such skills are a job-related necessity.
(e) “Non-English-speaking persons” means persons who either do not speak English or are unable to effectively communicate in English because English is not their native language.
(f) “Primary language” means the language used most frequently by a person to communicate, including sign language.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98211. Discrimination Prohibited.
Note

It is a discriminatory practice for a recipient:
(a) to discriminate against a person because of such person's association with persons of a particular color or ethnic group identification;
(b) to discriminate against a person because of such person's membership in an organization identified with, or seeking to promote the interests of persons of a specific color or ethnic group identification or because a person's name, or that of his or her spouse, is believed to reflect a given color or ethnic group identification;
(c) to fail to take appropriate steps to ensure that alternative communication services are available to ultimate beneficiaries, except where the State agency determines that such a requirement would place an undue hardship on the recipient.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
Article 3. Religion
§98220. Religion Defined.
Note

The term “religion' includes all aspects of religious observance, practice and belief, including duties of the clergy or elders. A belief is religious if sincerely held and, in the scheme of the believer, holds a place analogous to that filled by the deity of those people whose religion may be more orthodox or more widely accepted.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98221. Reasonable Accommodation.
Note

It is a discriminatory practice where a recipient of State support fails to make reasonable accommodation to the religious belief of an ultimate beneficiary where such accommodation can be made without undue hardship on the recipient or other ultimate beneficiaries.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98222. Exemption of Religious Organizations.
Note

Neither this Division nor implementing regulations apply to the religious activities of a religious corporation or association not organized for profit.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98223. Discrimination Prohibited.
Note

It is a discriminatory practice for a recipient of State support to discriminate against an ultimate beneficiary based on the nature of the ultimate beneficiary's religious beliefs.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
Article 4. Age
§98230. Definitions.
Note

(a) “Action” means any activity, policy, rule, standard, or method of administration undertaken by a recipient; or the use of any policy, rule, standard, or method of administration by a recipient.
(b) “Age” means how old a person is, or the number of elapsed years from the date of a person's birth.
(c) “Age distinction” means any action using age or an age-related term.
(d) “Age-related term” means a word or words which necessarily imply a particular age or range of ages (for example: “children,” “adult,” “older persons,” but not “student”).
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98231. Statutory Exceptions to the Rules Against Age Discrimination.
Note

It is not a discriminatory practice for a recipient to take any action otherwise prohibited by Sections 98100-98101 if such action is based on a Federal statute or regulation, State statute or regulation, or local ordinance consistent with this Division adopted by an elected, general purpose legislative body and which:
(a) provides any benefits or assistance to persons based on age;
(b) establishes criteria for participation in age-related terms; or
(c) describes intended beneficiaries or target groups in age-related terms.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98232. Definition of “Normal Operation” and “Statutory Objective.”
Note

For purposes of Sections 98233 and 98234, the terms “normal operation” and “statutory objective” have the following meanings:
(a) “Normal operation” means the operation of a program or activity without significant changes that would impair the recipient's ability to meet the objectives of such program or activity.
(b) “Statutory objective” means any purpose of a program or activity expressly stated in any Federal statute, State statute, or local statute or ordinance consistent with this Division adopted by an elected general purpose legislative body.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98233. Exceptions to the Rules Against Age Discrimination: Normal Operation or Statutory Objective of Any Program or Activity.
Note

It is not a discriminatory practice for a recipient to take an action, otherwise prohibited by Sections 98100-98101, if the action reasonably takes into account age as a factor necessary to the normal operation or the achievement of any statutory objective of a program or activity. An action reasonably takes into account age as a factor necessary to the normal operation or the achievement of any statutory objective of a program or activity, if:
(a) age is used as a measure or approximation of one or more other characteristics;
(b) the other characteristic(s) must be measured or approximated in order for the normal operation of the program or activity to continue, or to achieve any statutory objective of the program or activity;
(c) the other characteristic(s) can be reasonably measured or approximated by the use of age; and
(d) the other characteristic(s) are impractical to measure directly on an individual basis.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98234. Exceptions to the Rules Against Discrimination: Reasonable Factors Other Than Age.
Note

It is not a discriminatory practice for a recipient to take an action otherwise prohibited by Sections 98100-98101 which is based on a factor other than age, even though that action may have a disproportionate effect on persons of different ages, provided that such other factor bears a direct and substantial relationship to the normal operation of the program or activity or to the achievement of a statutory objective.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98235. Burden of Proof.
Note

The burden of proving that an age distinction falls within the exceptions of Sections 98231, 98233 or 98234 is on the recipient of State support.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98236. State Agency Review of Policies and Procedures.
Note

(a) Each State agency shall conduct a review of the age distinctions it imposes on its recipients by regulation, policy, or administrative practice. The purpose of this review is to identify how age distinctions are used by each State agency and whether such age distinctions are permissible under this Division.
(b) No later than 12 months from the date a State agency adopts implementing regulations, such agency shall submit a report to the Secretary containing:
(1) the results of the review conducted under subsection (a) of this section;
(2) a list of the age distinctions which re to be continued; and
(3) the justification under Section 98231, 98233 or 98234 for each age distinction to be continued.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98237. Recipient Review of Age Distinctions.
Note

No later than 18 months following the effective date of implementing regulations, each recipient should be required by the responsible State agency to submit a report to such State agency analyzing the results of a review equivalent to that referred to in subsection 98236 (a). Such report should list by program or activity the age distinctions to be continued, together with an explanation of why such distinctions satisfy the terms of Section 98231, 98233, or 98234, and the age distinctions to be eliminated.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98238. State Agency Review of Recipient Age Distinctions.
Note

No later than 24 months following the effective date of implementing regulations, each State agency will be requested to submit a report to the Secretary analyzing the results of the review referred to in Section 98237.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
Article 5. Sex
§98240. Parental, Family or Marital Status.
Note

Any rule, policy or practice of a recipient concerning the actual or potential parental, family or marital status of an ultimate beneficiary which has the purpose or effect of differentiating on the basis of sex is a discriminatory practice.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98241. Personal Information.
Note

In determining whether a person satisfies any criteria for receipt of an aid or benefit or participation in a program or activity, it is a discriminatory practice for a recipient to differentiate on the basis of sex in inquiring about the family or marital status of such person. However, such person may be required to provide information relevant and necessary for determining whether such person satisfies validly imposed criteria for the aid or benefit, or participation in the program or activity in question, including any other former names by which such person has been known.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98242. Pregnancy, Childbirth or Termination of Pregnancy.
Note

Any rule, policy or practice of a recipient concerning disability due to pregnancy, childbirth, recovery from childbirth or termination of pregnancy, or other physiological conditions related to the capacity to bear children not applied under the same terms and conditions, and in the same manner, as any other rule, policy or practice relating to any other temporary disability is a discriminatory practice; except as otherwise provided by the Fair Employment Practice Act.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98243. Statistical Stereotypes.
Note

Any rule, policy or practice which treats men and women differently for purposes of any program or activity on the basis of aggregate statistical characteristics of men or women, whether founded in fact, belief or statistical probability is a discriminatory practice.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98244. Sex Pressure Prohibited.
Note

Any rule, policy, practice or incident by a recipient is a discriminatory practice where a supervisor, superior, or other person subject to the control of a recipient of State support, conditions the receipt of benefits of a program or activity upon entering into, or maintaining, a sexual relationship or participation in sexual activity or subjects an ultimate beneficiary to sexual harassment or intimidation such as unwelcome sexual advances, requests for sexual favors, or other verbal or physical conduct of a sexual nature.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
Article 6. Physical or Mental Disability
§98250. Definitions.
Note

(a) “Disabled person” means any person who has a physical or mental impairment which substantially limits one or more major life activities, has a record of such an impairment, or is regarded as having such an impairment.
(b) As used in subsection (a) of this section, the phrase “physical or mental impairment” means:
(1) any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: neurological; musculoskeletal; special sense organs; respiratory, including speech organs; cardiovascular; reproductive; digestive; genitourinary; hemic and lymphatic; skin; and endocrine; or
(2) any mental or psychological disorder, such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities. The term “physical or mental impairment” includes, but is not limited to such diseases and conditions as orthopedic, visual, speech and hearing impairment, cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, diabetes, mental retardation, emotional illness, and drug addiction and alcoholism.
(3) “Major life activities” means functions such as caring for one's self, performing manual tasks, walking, seeing, hearing, speaking, breathing, learning and working.
(4) “Has a record of such an impairment” means has a history of, or has been misclassified as having, a mental or physical impairment that substantially limits one or more major life activities.
(5) “Is regarded as having an impairment” means:
(A) has a physical or mental impairment that does not substantially limit major life activities but is treated by a recipient as constituting such a limitation;
(B) has a physical or mental impairment that substantially limits major life activities only as a result of the attitudes of others toward such impairment; or
(C) has none of the impairments defined in subsection (b) (1) of this section but is treated by a recipient as having such an impairment.
(c) “Disability” means any condition or characteristic that renders a person a disabled person as defined in subsection (a) of this section.
(d) “Qualified disabled person” means:
(1) with respect to employment, a disabled person who, with reasonable accommodation, can perform the essential functions of the job in question, but the term does not include any individual who is an alcoholic or drug abuser whose current use of alcohol or drugs prevents such person from performing the duties of the job in question or whose employment, by reason of such current alcohol or drug abuse, would constitute a direct threat to property or the safety of others; and
(2) with respect to other programs or activities, a disabled person who meets the essential eligibility requirements of such programs or activities.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98251. Self-Evaluation.
Note

(a) With regard to disabled persons, a recipient with 15 or more employees should be required by the responsible State agency, within one year of the effective date of implementing regulations to:
(1) evaluate, with the assistance of interested persons, including disabled persons or organizations representing disabled persons, its current policies and practices and the effects thereof that do not or may not meet the provisions of such regulations and this Division;
(2) modify, after consultation with interested persons, including disabled persons or organizations representing disabled persons, any policies and practices that do not meet the provisions of such regulations and this Division;
(3) take, after consultation with interested persons, including disabled persons or organizations representing disabled persons, appropriate remedial steps to eliminate the effects of any discrimination that resulted from adherence to such policies and practices; and
(4) for at least three years following completion of the evaluation referred to in subsection (a) (1) of this section, maintain on file, make available for public inspection, and provide to the responsible State agency upon request:
(A) a list of the interested persons consulted;
(B) a description of the areas examined and any problems identified; and
(C) a description of any modifications made and of any remedial steps taken.
(b) A self-evaluation performed by a recipient as required by a federal agency under the provisions of Section 504 of the Rehabilitation Act of 1973 should be permitted to satisfy the provisions of subsection (a) (1) of this section.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98252. Integrated Setting.
Note

It is a discriminatory practice for a recipient of State support to fail to administer programs and activities in the most integrated setting appropriate to the needs of qualified disabled persons.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98253. Communications.
Note

It is a discriminatory practice where a recipient of State support fails to take appropriate steps to ensure that communications with their applicants and beneficiaries are available to persons with impaired vision or hearing.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98254. Program Accessibility.
Note

(a) Except as set forth in subsection (b) below, it is a discriminatory practice where a qualified disabled person, because a recipient's facilities are inaccessible to or unusable by such person, is denied the benefits of, or excluded from participation in, or otherwise subjected to discrimination under any program or activity to which this Division applies. It is a discriminatory practice for a recipient to fail to operate each program or activity to which this Division applies in such a manner that the program or activity, when viewed in its entirety, is readily accessible to disabled persons. This section does not require a recipient to make each of its existing facilities or every part of a facility accessible to and usable by disabled persons.
(b) It is a discriminatory practice for recipients operating fixed route bus systems or paratransit systems to fail to adhere to the program accessibility requirements set forth in Title 49, Part 27 of the Code of Federal Regulations.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98255. Methods of Ensuring Program Accessibility.
Note

A recipient may comply with the provisions of Section 98254 through such means as redesign of equipment, reassignment of classes or other services to accessible buildings, assignments of aides to beneficiaries, home visits, delivery of services at alternate accessible sites, alteration of existing facilities, or other methods that result in making its program or activities accessible to disabled persons. A recipient is not required to make structural changes in existing facilities where other methods are effective in achieving compliance with Section 98254. In choosing among available methods for meeting the provisions of Section 98254, it is a discriminatory practice for a recipient to fail to give priority to those methods that offer programs and activities to disabled persons in the most integrated setting appropriate.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code. 
§98256. Methods for Small Recipients.
Note

If a recipient with fewer than fifteen employees finds, after consultation with a disabled person seeking its services, that there is no method of complying with Section 98254 other than by making a significant alteration to its existing facilities, the recipient may, as an alternative, be permitted by the responsible State agency to refer the disabled person to other providers whose services are accessible.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98257. Time Period for Compliance.
Note

It is discriminatory practice for a recipient to fail to comply with the requirement of Section 98254 within sixty days of the effective date of implementing regulations, except that where structural changes in facilities are necessary, such changes may be made within three years of such effective date, but in any event, as expeditiously as possible.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98258. Transition Plan.
Note

In the event that structural changes to facilities are necessary to meet the provisions of Section 98254, a recipient should be required by the responsible State agency to develop, within six months of the effective date of implementing regulations, a transition plan setting forth the steps necessary to complete such changes. The plan should be developed with the assistance of interested persons, including disabled persons or organizations representing disabled persons. A copy of the transition plan should be made available for public inspection. The plan should, at a minimum:
(a) identify physical obstacles in the recipient's facilities that limit the accessibility of its program or activity to disabled persons;
(b) describe in detail the methods that will be used to make the facilities accessible;
(c) specify the schedule for taking the steps necessary to achieve full program accessibility and, if the time period of the transition plan is longer than one year, identify steps that will be taken during each year of the transition period; and
(d) indicate the person responsible for implementation of the plan.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98259. Notice of the Availability of Accessible Facilities.
Note

Each recipient which is unable to comply with the provisions of Section 98254 within the sixty day period set forth in Section 98257 should be required by the responsible State agency to adopt and implement procedures to ensure that interested persons, including persons with impaired vision or hearing, can obtain information as to the existence and location of services, activities, and facilities that are accessible to and usable by disabled persons.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98260. New Construction.
Note

(a) Except as set forth in subsection (b) below, it is a discriminatory practice where a facility or part of a facility constructed by, on behalf of, or for the use of a recipient is designed or constructed in such manner that the facility or part of the facility is not readily accessible to and usable by disabled persons if the construction was commenced after the effective date of implementing regulations.
(b) It is a discriminatory practice for recipients operating fixed route bus systems or paratransit systems to fail to adhere to the accessibility requirements for new vehicles set forth in Title 49, Part 27 of the Code of Federal Regulations.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98261. Alteration.
Note

(a) Except as set forth in subsection (b) below, it is a discriminatory practice where each facility or part of a facility which is altered by, on behalf of, or for the use of a recipient after the effective date of implementing regulations in a manner that affects or could affect the usability of the facility or part of the facility is not to the maximum extent feasible, altered in such manner that the altered portion of the facility is readily accessible to and usable by disabled persons.
(b) It is a discriminatory practice for recipients operating fixed route bus systems or paratransit systems to fail to adhere to the accessibility requirements for alterations of vehicles set forth in Title 49, Part 27 of the Code of Federal Regulations.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98262. Accessibility Standards.
Note

Design, construction, or alteration of facilities in conformity with the current “American National Standard Specifications for Making Buildings and Facilities Accessible to, and Usable by, the Physically Handicapped,” published by the American National Standards Institute, Inc., or the regulations promulgated by the Office of the State Architect pursuant to Chapter 7 (commencing with Section 4450) Division 5 of Title I of the Government Code, constitutes compliance with Sections 98260 and 98261. Departures from particular requirements of these two standards by the use of other methods by a recipient are permitted when it is clearly evident that equivalent access to the facility or part of the facility is thereby provided.
NOTE

Authority and Reference cited: Sections 11135, 11139, Government Code.
§98263. Consideration of Accessible Public Transportation.
Note

It is a discriminatory practice for a recipient, in carrying out any program or activity directly, or through contractual, licensing or other arrangements, to make or permit selections of sites or locations of facilities that fail to consider and allow for the availability, or lack thereof, of accessible public transportation for persons with a physical or mental disability.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
Chapter 4. Compliance and Enforcement
Article 1. State Agency Enforcement System
§98300. Cooperation and Assistance.
Note

Each State agency should to the fullest extent practicable seek the cooperation of recipients in obtaining compliance with this Division and implementing regulations and provide assistance and guidance to recipients to help them comply voluntarily.
NOTE

Authority cited: Sections 11135, 11136, 11137, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11137, 11139, 11139.5, Government Code.
§98301. Internal Compliance.
Note

Each State agency should designate a person at the management level to ensure that the policies, practices and procedures of such agency are consistent with the provisions of Article 9.5 and this Division.
NOTE

Authority cited: Sections 11135, 11136, 11137, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11137, 11139, 11139.5, Government Code.
§98302. Requirements for Adopting Regulations.
Note

Those State agencies subject to the provisions of Government Code Section 11138 shall, within 180 days of the effective date of this Division, adopt such additional rules and regulations as are necessary to carry out the purposes and provisions of Article 9.5 and this Division. The Secretary, for good cause shown, may allow State agencies additional time in which to adopt such rules and regulations, provided that the total additional time so allowed shall not exceed 180 days.
NOTE

Authority cited: Sections 11135, 11138, 11139, 11139.5, Government Code. Reference: Sections 11138, 11139, 11139.5, Government Code.
§98303. State Agencies Not Required to Adopt Regulations.
Note     •     History

State agencies not required by Government Code Section 11138 to adopt regulations shall pursue policies, practices and procedures in accordance with the provisions of Article 9.5 and this Division.
NOTE

Authority cited: Sections 11135, 11138, 11139, 11139.5, Government Code. Reference: Sections 11138, 11139, 11139.5, Government Code.
HISTORY

1. Editorial correction of Authority cite (Register 95, No. 25).
§98304. Process for Adopting Regulations.
Note

Each State agency required to adopt regulations pursuant to Government Code Section 11138 shall submit such proposed regulations, and any amendments thereto, to the Secretary for review and comment at least 30 days before such regulations, or amendments thereto, are proposed to be noticed for public hearings pursuant to the Administrative Procedure Act. Such proposed regulations or amendments shall not be noticed for public hearings prior to the completion of the Secretary's review. The Secretary shall review and comment on such proposals in order to further the purposes of coordination and consistency as set forth in Government Code Section 11139.5. Upon completion of the Secretary's review, such State agency shall proceed in accordance with the provisions of Government Code Section 11139.
NOTE

Authority cited: Sections 11135, 11138, 11139, 11139.5, Government Code. Reference: Sections 11138, 11139, 11139.5, Government Code.
§98305. Secretary's Review of State Agency Regulations.
Note

In conducting the review set forth in Section 98304, the Secretary shall utilize at least the following criteria:
(a) the extent to which the proposed regulations will ensure that their implementation will fulfill the fundamental purposes of Article 9.5;
(b) the extent to which the proposed regulations conform to this Division;
(c) the extent to which the procedural aspects of the proposed regulations will ensure expeditious, fair, and effective resolution of complaints;
(d) the extent to which the proposed regulations make sufficiently specific the general provisions of this Division with regard to the programs or activities administered by the State agency and enable a recipient to interpret with some certainty the application of the State agency's proposed regulations to the program or activity for which the recipient receives State support.
NOTE

Authority cited: Sections 11135, 11138, 11139, 11139.5, Government Code. Reference: Sections 11138, 11139, 11139.5, Government Code.
§98306. State Agencies Subject to Government Code Section 11138 in the Future.
Note

Each State agency not required to adopt regulations as set forth in Government Code Section 11138 upon the effective date of this Division, but which becomes subject to such section at a later date, shall:
(a) within 180 days of such later date, adopt such additional rules and regulations as are necessary to carry out the provisions of Article 9.5 and this Division; and
(b) at least 30 days before such regulations or amendments thereto are proposed to be noticed for public hearings pursuant to the Administrative Procedure Act, submit such regulations and any amendments thereto to the Secretary for review and comment in accordance with Sections 98304 and 98305. Such proposed regulations or amendments shall not be noticed for public hearings prior to the completion of the Secretary's review.
NOTE

Authority cited: Sections 11135, 11138, 11139, 11139.5, Government Code. Reference: Sections 11138, 11139, 11139.5, Government Code.
Article 2. Compliance Reports and Compliance Information
§98310. Primary Recipient Compliance Reports.
Note

Each recipient should be required to keep such records and submit to the responsible State agency such timely, complete and accurate compliance reports at such times, and in such form and containing such information, as the responsible State agency determines to be necessary to ascertain whether the recipient has complied or is complying with Article 9.5. Recipients should be required to have available, at a minimum, data showing the extent to which persons of a particular ethnic group identification, religion, age, sex, color, or with a physical or mental disability are ultimate beneficiaries of State supported programs or activities; except that such reports and such information should not be routinely required of all recipients, but only where necessary to enforcement of the provisions of Article 9.5.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98311. Non-Primary Recipient Compliance Reports.
Note

In the case of any program or activity under which a primary recipient transfers State support to any other recipient, such other recipient should also be required to submit such compliance reports to the primary recipient as may be necessary to enable the primary recipient to carry out its obligation under this Division and implementing regulations.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98312. Substitute or Complementary Compliance Reports.
Note

Where the responsible State agency determines that pre-existing records and reports required by other State or Federal agencies meet requisite reporting and evaluation needs, such State agency should accept submission of such reports as a substitute, or if needed, as a complement to the reports referred to in Section 98310. Complementary reports should not require duplicate answers or data but should only be addressed to any additional needs of such State agency.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98313. State Agency Access to Recipient Compliance Information.
Note

Each recipient should be required to permit access by representatives of the responsible State agency during normal business hours to such of its books, records, accounts, other sources of information, and its facilities as may be pertinent to ascertain compliance with Article 9.5. Where any information required of a recipient is in the exclusive possession of any other agency, institution or person and that agency, institution or person, fails or refuses to furnish such information, the recipient should be required to so certify and set forth the efforts it has made to obtain such information and the basis for the withholding of such information.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98314. Noncompliance with Reporting Requirements.
Note

Failure by a recipient to file timely, complete and accurate reports or to permit access to compliance information should be considered noncompliance with the recipient's obligation under Article 9.5 and grounds for the imposition of appropriate sanctions by the responsible State agency as set forth in Section 98370.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
Article 3. Information to Beneficiaries, the Public, Recipients and Employees on Rights and Responsibilities
§98320. General Purpose of This Article.
Note

Experience has proven that the fulfillment of the goal of nondiscrimination is best achieved--particularly in the long run--through voluntary means and that a necessary component of voluntary compliance is information to beneficiaries, the public, State agencies, and recipients of State support regarding their respective rights and responsibilities. Sections 98321 through 98326 set forth rudimentary procedures which should be followed in disseminating such information.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98321. State Agencies to Familiarize Employees with the Provisions of This Division.
Note

Each State agency should ensure that its employees are generally familiar with this Division and implementing regulations and should provide that when any employee, especially an employee conducting administrative hearings or performing audit or program review functions, during the course of performing his or her duties, has reason to believe that a recipient may have violated this Division or such regulations, such employee is to so advise the person referred to in Section 98301.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98322. State Agency Notification to the Secretary and to Recipients.
Note

(a) As soon as is reasonably possible, but within 60 days after the effective date of this Division, each State agency which determines that it is not required to adopt regulations pursuant to Government Code Section 11138 shall notify the Secretary of its determination, and the basis of such determination, and should:
(1) notify all recipients to whom such agency provides state support that such recipients are subject to this Division; and
(2) provide all such recipients with an informational summary of the rights of ultimate beneficiaries and the responsibilities of recipients under Article 9.5 and this Division. Such summary should acquaint such ultimate beneficiaries with the State agency's complaint, investigation and compliance review process.
(b) Each State agency which determines that it is not subject to the provisions of Subsection (a) of this section because it will be required to adopt regulations pursuant to Government Code Section 11138, shall file a notice of such determination with the Secretary within 60 days after the effective date of this Division and should as soon as possible, but within 90 days after the effective date of such regulations, notify all recipients to whom such agency provides State support, that such recipients are subject to this Division and to such regulations.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98323. State Agency Equal Rights Contract Clause.
Note

Each State agency providing State support subject to this Division shall include the equal rights clause in Exhibit “A” in each contract, grant, loan, or other document, (and modifications thereof, if not included in the original document) by which State support is provided.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98324. Information to Recipient Employees.
Note

As soon as practicable after the effective date of implementing regulations, each recipient should be required to ensure that its employees are made aware of the rights of ultimate beneficiaries and the responsibilities of recipients under Article 9.5 and be able to document the methods it has used for this purpose.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98325. Recipients to Designate an Employee to Handle Inquiries and Complaints.
Note

Each recipient of State support should be required by the responsible State agency to:
(a) designate an employee to whom initial complaint or inquiries regarding Article 9.5, this Division or implementing regulations can be directed, and
(b) keep a record of the name of such person for State agency and public review.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98326. Information to the Public, Applicants and Beneficiaries.
Note

Each recipient should be required by the responsible State agency to make available to ultimate beneficiaries and other interested persons information regarding the responsible State agency's procedures for the filing of a complaint and other information regarding the provisions of Article 9.5 and its applicability to the program for which the recipient receives State support, and make such information available to them in such manner, as the responsible State agency finds necessary to apprise such persons of the protections against discrimination assured them by Article 9.5, this Division and the responsible State agency's regulations.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
Article 4. Compliance Reviews and Complaints
§98340. State Agency Compliance Review Requirements.
Note

Each State agency should, as necessary, undertake reviews of recipients to determine their compliance with the provisions of this Division and the State agency's regulations. On-site reviews should be prioritized in such a manner as to achieve most effectively the purposes of Article 9.5 and to discover and remedy systemic discrimination. Selection for compliance review should be made on the basis of:
(a) the number and nature of complaints filed against a recipient;
(b) the scope of the problems revealed by an investigation commenced by the filing of a complaint;
(c) the relative disparity between the percentage of persons of a particular ethnic group identification, religion, age, sex, color, or with a physical or mental disability in the relevant labor market and the percentage of such persons employed by the recipient;
(d) the percentage of persons of a particular ethnic group identification, religion, age, sex, color, or with a physical or mental disability receiving benefits, services or financial assistance from a State supported program or activity;
(e) the amount of State support provided to the recipient; and
(f) the nature and scope of information provided by interested persons and the general public with respect to a recipient.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98341. Compliance Coordination.
Note

Where each of a number of recipients is receiving State support for similar or related purposes from two or more State agencies, or where two or more State agencies cooperate in administering State support for a given class of recipients, such State agencies should coordinate compliance review and enforcement activities. Any State agency conducting a compliance review or investigating a complaint should notify any other affected State agency upon discovery of that agency's concurrent jurisdiction. The Interagency Planning and Operations Committee established in Section 98382 will explore methods to minimize the workload involved in compliance reviews and enforcement activities through effective coordination and make recommendations for their incorporation into a coordinated compliance review and enforcement process.
NOTE

Authority cited: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code. Reference: Sections 11135, 11137, 11138, 11139, 11139.5, Government Code.
§98342. Compilation of Evidence.
Note

Whenever a State agency has, upon the basis of a complaint or upon the basis of information obtained during a compliance review, or otherwise has reasonable cause to believe that a recipient has violated this Division or implementing regulations, such State agency shall compile all relevant evidence to enable it to determine whether there is probable cause to believe that a violation has occurred.
NOTE

Authority cited: Sections 11135, 11136, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11139, 11139.5, Government Code.
§98343. Who May File a Complaint.
Note

State agencies should permit any person, including such person's duty authorized representative or an interested third party to file a complaint.
NOTE

Authority cited: Sections 11135, 11136, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11139, 11139.5, Government Code.
§98344. Time Period for Filing a Complaint.
Note

State agencies should require that no complaint may be filed after the expiration of one year from the date upon which the alleged violation occurred, except that this period should be extended for not to exceed 90 days following the expiration of that year if the complainant first obtained knowledge of the facts of the alleged violation after the expiration of one year from the date of its alleged occurrence.
NOTE

Authority cited: Sections 11135, 11136, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11139, 11139.5, Government Code.
§98345. Acknowledgement of Complaints.
Note

State agencies should acknowledge receipt of complaints to the complainant within 10 days of the date the complaint is received by the State agency. A copy of the complaint shall be forwarded by the State agency to the Secretary. If the complaint alleges discrimination in employment, the State agency shall forward a copy to the DFEH.
NOTE

Authority cited: Sections 11135, 11136, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11139, 11139.5, Government Code.
§98346. Compilation of Evidence Time Period and Process.
Note

The time period for compiling all relevant evidence under Section 98342 of this Division should not exceed 180 days from the date of the receipt of a complaint or other notice of a possible violation of this Division or implementing regulations. The compilation process should include, where appropriate:
(a) a review of the pertinent policies and practices of the recipient;
(b) a review of the circumstances under which the possible violation occurred;
(c) a full discussion with witnesses and the complainant, if any;
(d) an opportunity for parties to present evidence and information regarding the possible violation;
(e) a review of any other factors relevant to a determination as to whether there is probable cause to believe that the recipient has failed to comply with this Division or implementing regulations; and
(f) the informing of the complainant, if any, of the substance of any negotiations, determinations, agreements or corrective action taken by the recipient.
NOTE

Authority cited: Sections 11135, 11136, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11139, 11139.5, Government Code.
§98347. Resolution of Possible Violations Prior to Hearing.
Note

During the period permitted for the compilation of all relevant evidence as set forth in Section 98346, the State agency should seek to informally resolve the possible violation. Any such resolution may; if the State agency determines that the substantial nature of the matters involved, the scope of the problems presented or the probability that the facts which gave rise to the matter will recur; be set forth in a written conciliation agreement which the complainant, if any, has had an opportunity to review at least 20 days prior to the execution of such agreement by the parties. A copy of all conciliation agreements shall be sent to the Secretary by the State agency.
NOTE

Authority cited: Sections 11135, 11136, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11139, 11139.5, Government Code.
§98348. State Agency Action upon Compilation of Evidence.
Note

As soon as possible, but no later than 7 days after the expiration of the 180 day evidence compilation period provided for in Section 98346, a State agency should, where the possible violation has not been informally resolved:
(a) file an accusation, pursuant to Section 11503 of the Government Code, on the basis of a finding that there is probable cause to believe that a violation has occurred, and the matter has not been resolved informally or through a written conciliation agreement. A copy of the accusation shall be provided to the Secretary and, in accordance with the Information Practices Act, should be provided to the complainant, the recipient and to any person or organization that has, in writing, requested from such agency copies of the accusation;
(b) issue notification to all interested parties that a conciliation agreement has been executed that has resolved the possible violation; or
(c) issue a letter of finding to all interested parties stating that, after diligent compilation of all relevant evidence, no probable cause exists for the filing of an accusation.
NOTE

Authority cited: Sections 11135, 11136, 11137, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11139, 11139.5, Government Code.
§98349. Retaliatory Action Prohibited.
Note

No recipient shall intimidate, threaten, coerce or take adverse action against any person for the purpose of interfering with rights secured by Article 9.5 or this Division, or because he or she has filed a complaint, certified, assisted or otherwise participated in an investigation, proceeding, hearing or any other activity undertaken to enforce this Division. Violations of this provision shall be considered to be a discriminatory practice subject to the sanctions set forth in Section 98370.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11139, 11139.5, Government Code.
Article 5. Hearing Process
§98360. Hearings to Be Conducted Pursuant to the Administrative Procedure Act.
Note

The accusation referred to in Subsection 98348 (a) shall initiate the hearing process referred to in Government Code Section 11136.
NOTE

Authority cited: Sections 11136, 11139, 11139.5, Government Code. Reference: Sections 11136, 11139.5, Government Code.
§98361. Parties to a Hearing.
Note

The State agency and the recipient should be parties to a hearing with respect to any accusation under this Division filed pursuant to Government Code Section 11503.
NOTE

Authority cited: Sections 11136, 11139, 11139.5, Government Code. Reference: Sections 11136, 11139.5, Government Code.
§98362. Amicus Curiae Participation.
Note

Any person or organization wishing to participate as amicus curiae should be permitted to file a petition to appear prior to the hearing with the Director of the Office of Administrative Hearings. Such petition should concisely state:
(a) the petitioner's interest;
(b) who will represent the petitioner; and
(c) the issues on which the petitioner intends to present argument.
NOTE

Authority cited: Sections 11136, 11139, 11139.5, Government Code. Reference: Sections 11136, 11139.5, Government Code.
§98363. Decision Regarding Amicus Curiae.
Note

The presiding officer should grant the petition to appear amicus curiae if he or she finds that the petitioner has a legitimate interest in the proceedings, that such participation will not unduly delay the outcome and may contribute materially to the proper disposition of the issues.
NOTE

Authority cited: Sections 11136, 11139, 11139.5, Government Code. Reference: Sections 11136, 11139.5, Government Code.
§98364. Expedited Hearings.
Note

Each State agency should establish procedures for expedited hearings where, in the discretion of the State agency, prompt hearings are needed to carry out more effectively the purposes of Article 9.5 and this Division. The time period for expedited hearings should not exceed thirty days from the date the accusation is filed. The decision should be issued within 30 days. Appropriate circumstances for such hearings may include:
(a) instances where the issues are not complex;
(b) instances where benefits, services or other opportunities for persons of a particular ethnic group identification, religion, age, sex, color, or with a physical or mental disability be lost due to discriminatory practices pending a hearing; or
(c) administrative resources would be wasted if a prolonged hearing were held.
NOTE

Authority cited: Sections 11136, 11139, 11139.5, Government Code. Reference: Sections 11136, 11139.5, Government Code.
§98365. Relief Pending Hearing.
Note

When a State agency determines that persons of a particular ethnic group identification, religion, age, sex, color, or with a physical or mental disability will undergo substantial ongoing harm during the period of time required to complete a hearing pursuant to Government Code Section 11500, and following, the matter should be immediately referred to the Attorney General or the State agency's own legal counsel to seek a temporary restraining order or a preliminary injunction pending the outcome of the administrative hearing.
NOTE

Authority cited: Sections 11136, 11139, 11139.5, Government Code. Reference: Sections 11136, 11139.5, 11500, Government Code.
§98366. Hearing Decisions to Be Forwarded to the Secretary.
Note

A copy of all decisions proposed by the hearing officer of the Office of Administrative Hearings and a copy of the decision adopted by the State agency shall be promptly transmitted to the Secretary.
NOTE

Authority cited: Sections 11136, 11139, 11139.5, Government Code. Reference: Sections 11136, 11139.5, Government Code.
Article 6. Sanctions
§98370. State Agency Enforcement Powers.
Note

Upon a determination by a State agency that a recipient has violated this Division or implementing regulations, the State agency, in addition to remedies provided by other laws, shall take one or more of the following actions to ensure compliance with Article 9.5 of this Division:
(a) termination of all or part of the recipient's State support;
(b) suspension of all or part of the recipient's State support;
(c) debarment from, or otherwise making the recipient ineligible for, future State support for a specified period of time or until specified remedial actions are taken by the recipient;
(d) probationary eligibility for future State support, or making future State support conditional upon compliance with specified conditions;
(e) placing conditions upon the continuation of present State support; and
(f) referral of the case to the Attorney General's Office or other appropriate law enforcement entities for any judicial relief at law or equity, including specific performance of agreements between the State agency and the recipient, enforcement of the requirements of Article 9.5 and this Division and enforcement of other applicable nondiscrimination laws.
NOTE

Authority cited: Sections 11136, 11137, 11139, 11139.5, Government Code. Reference: Sections 11136, 11137, 11139, 11139.5, Government Code.
Article 7. Enforcement System Evaluation and Coordination
§98380. State Agency Enforcement Evaluation.
Note

Beginning in 1981, each State agency will be annually provided a form to be developed by the Secretary, for purposes of the State agency's evaluation of its progress in enforcing the provisions of Article 9.5, progress and problems, if any, in applying the provisions of this Division and in coordinating the programs and activities as set forth in Section 11139.5 of Article 9.5 and recommendations on any improvements needed in the enforcement system.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98381. Secretary and FEHC Assistance and Consultation.
Note

In keeping with the provisions of Section 11139.5 of Article 9.5, the Secretary will, with the cooperation of the FEHC, monitor the impact of this Division in achieving the purposes of Article 9.5, make such changes as may be needed to better achieve such purposes and assist and consult with State agencies as needed so that consistent policies, practices and procedures are adopted with respect to the enforcement of Article 9.5.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98382. Interagency Planning and Operations Committee.
Note

The Secretary, with the cooperation of the FEHC, will establish an Interagency Planning and Operations Committee to foster cooperation in the statewide planning, development, evaluation and ongoing coordination of the activities provided for in this Division and to promote consistent policies, practices and procedures in the enforcement of Article 9.5.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
Chapter 5. Relationship Between the Secretary, DFEH and FEHC
Article 1. Incorporation of DFEH and FEHC Employment Discrimination Regulations by Reference
§98400. Incorporation of FEHC Definitions and Prohibitions by Reference.
Note

The definitions and prohibitions set forth in Chapter 3 of Title 8 and Division 4 of Title 2 of the California Administrative Code are hereby incorporated by reference. Any act or omission which is contrary to said definitions and prohibitions constitutes a violation of this Division and is subject to the sanctions provided for in this Division. In the event of any conflict between the definitions and prohibitions of the provisions incorporated by this reference and the definitions and prohibitions set forth in Chapters 1 through 4 of this Division, the definitions and prohibitions set forth in Chapters 1 through 4 shall prevail.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
Article 2. State Agency, DFEH and FEHC Roles
§98410. Discriminatory Practices Relating to Employment.
Note

Article 9.5 prohibits all recipients of State support from engaging in discriminatory practices. To the extent that a complaint alleges only employment discrimination, DFEH shall have the exclusive authority to investigate and the FEHC shall have the exclusive authority to adjudicate such a complaint. The findings of fact by FEHC shall be binding with respect to any State agency which is responsible for taking action under the provisions of Article 9.5 and this Division based upon the recipient's acts or omissions which were the subject of DFEH's investigation and FEHC's adjudication. Nothing herein contained shall be construed to limit FEHC's authority exclusive of Article 9.5 to fashion appropriate remedies to relieve any individual aggrieved by employment discrimination. The State agency shall, however, determine the appropriate action to be taken under the provisions of Article 9.5 based upon those findings of fact.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98411. Discriminatory Practices Relating to Both Employment and Other Areas Under Article  9.5.
Note

To the extent that a complaint alleges both employment discrimination and discrimination in other areas under Article 9.5, DFEH and FEHC shall proceed according to their own statutory authority with respect to the employment portion of the complaint, and the appropriate State agency shall proceed with regard to the portions of the complaint under other areas of Article 9.5 and this Division.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98412. Discriminatory Practices Relating Solely to Areas Under Article 9.5 Other Than Employment.
Note

To the extent that a discriminatory practice relates to areas under Article 9.5 other than employment, the State agency providing State support to the recipient in question has sole responsibility and this Division and the State agency's implementing regulations govern exclusively.
NOTE

Authority cited: Sections 11135, 11139, 11139.5, Government Code. Reference: Sections 11135, 11139, 11139.5, Government Code.
§98413. Filing of Employment Discrimination Complaints.
Note

A complaining party who alleges both discrimination in employment and discrimination in other areas under Article 9.5 must file separate complaints with DFEH and the responsible State agency for processing of the two types of charges.
NOTE

Authority cited: Sections 11135, 11136, 11139, 11139.5, Government Code. Reference: Sections 11135, 11136, 11139, 11139.5, Government Code. 

EXHIBIT A

ASSURANCE OF NONDISCRIMINATION IN STATE-SUPPORTED PROGRAMS AND ACTIVITIES
____________________ (Name of Recipient) (hereinafter called the “Recipient”) agrees that it will comply with Article 9.5 (commencing with Section 11135) of Chapter 1, Part 1, Division 3, Title 2, of the Government Code and the regulations adopted or actions taken by ____________________ (Name of State Agency) to implement such article to the end that no person in the State of California shall, on the basis of ethnic group identification, religion, age, sex, color, or physical or mental disability, be unlawfully denied the benefits of, or be unlawfully subjected to discrimination under, any program or activity that is funded directly by the state or receiving any financial assistance from the state.
In the case where the state support is to provide or improve or is in the form of real property or interest therein or structures thereon, this assurance shall obligate the Recipient, or, in the case of a subsequent transfer, the transferee, for the period during which the property is used for the purpose for which the state support was extended, or for another purpose involving the provision of similar services or benefits. In the case where state support is extended to provide personal property, or in the form of personal property, this assurance shall obligate the Recipient for the period during which it retains ownership or possession of the property. In all other cases, this assurance shall obligate the Recipient for the period during which the state support is extended to it.
Each Recipient shall ensure that each of its employees are aware of the rights of ultimate beneficiaries and the responsibilities of recipients under Article 9.5, and make available to ultimate beneficiaries and other interested persons information regarding the provisions of Article 9.5 and its applicability to the program or activity for which the Recipient receives state support.
Each Recipient shall permit access by representatives of ____________________ (Name of State Agency) at any time during normal business hours to such of its books, records, accounts, other sources of information, and its facilities as may be pertinent to ascertain compliance with Article 9.5.
The Recipient recognizes and agrees that state support will be extended in reliance upon the representations and agreements made in this assurance, and that the State of California shall have the right to seek administrative and judicial enforcement of this assurance. This assurance is binding on the Recipient, its successors, transferees, and assignees, and the person or persons whose signatures appear below are authorized to sign this assurance on behalf of the Recipient.

_______________________________	_________________________________________________________________
              (Date)	 (Name of Recipient)           
 	________________________________________________________________
	(President, Chairperson of Board,  
	or Comparable Authorized Official) 
	________________________________________________________________
	(Address)                     
Division 9. Prehospital Emergency Medical Services
Chapter 1. Emergency Medical Services Authority and Commission on Emergency Medical Services--Conflict of Interest Code
NOTE:It having been found, pursuant to Government Code Section 11344, that the printing of the regulations constituting the Conflict of Interest Code is impractical and these regulations being of limited and particular application are not published in full in the California Code of Regulations. The regulations are available to the public for review or purchase at cost at the following locations:

EMERGENCY MEDICAL SERVICES AUTHORITY
1600 NINTH STREET
SACRAMENTO, CA 95814

FAIR POLITICAL PRACTICES COMMISSION
1100 K STREET
SACRAMENTO, CA 95814

ARCHIVES
SECRETARY OF STATE
1020 “O” STREET
SACRAMENTO, CA 95814
The Conflict of Interest Code is designated as Chapter 1, Division 9 of Title 22 of the California Code of Regulations, and consists of sections numbered and titled as follows:

Chapter 1.  Emergency Medical Services Authority and Commission on Emergency Medical Services--Conflict of Interest Code

	Section
	100000.	General Provisions
		Appendix
NOTE

Authority cited: Section 87300, Government Code. Reference: Section 87300, Government Code.
HISTORY

1. New division 9 (chapter 2, articles 1-6, sections 100005-100055, not consecutive) filed 9-1-82; effective upon filing pursuant to Government Code section 11346.2(d) (Register 82, No. 36).
2. New chapter 1 (section 100000 and Appendix) filed 9-20-82; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 5-4-82 (Register 82, No. 39).
3. Editorial renumbering of division 9 to sections 100000-100055, not consecutive (Register 82, No. 39).
4. Amendment of section and Appendix filed 9-16-94; operative 10-17-94. Submitted to OAL for printing only pursuant to Government Code section 11346.2. Approved by Fair Political Practices Commission 8-10-94 (Register 94, No. 37).
Chapter 1.1 Training Standards for Child Care Providers
Article 1. Definitions
§100000.1. Child.
Note     •     History

“Child” means a person who is under 18 years of age who is being provided care and supervision in a child care facility.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.750, 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. New chapter 1.1 (articles 1-4, sections 100000.1-100000.24), article 1 (sections 100000.1-100000.7) and section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.1 to 100000.1 (Register 95, No. 8).
3. Editorial correction of History Note 1 (Register 95, No. 8).
4. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
5. Amendment of chapter heading and section filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-29-99 order, including amendment of Note, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.2. Child Care Facility.
Note     •     History

“Child  care facility” means a facility which provides nonmedical care to children under 18 years of age in need of personal services, supervision, or assistance essential for sustaining the activities of daily living or for the protection of the individual on less than a 24-hour basis. Child care facility includes child care centers and family child care homes.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.750, 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.2 to 100000.2 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment of section heading and section filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.3. Child Care Center.
Note     •     History

“Child care center” means any child care facility other than a family child care home, and includes infant centers, preschools, and extended child care facilities.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.750, 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.3 to 100000.3 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment of section heading and section filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.4. Family Child Care Home.
Note     •     History

“Family Child Care Home” means a home which regularly provides care, protection, and supervision of 14 or fewer children, in the provider's own home, for periods of less than 24 hours per day, while the parents or guardians are away, and includes the following:
(a) “Large family child care home” means a home that provides family child care for 7 to 14 children, inclusive, including children under the age of 10 years who reside at the home, as set forth in Section 1597.465 of the Health and Safety Code and as defined in Chapter 3 of Division 12 of Title 22 of the California Code of Regulations.
(b) “Small family child care home” means a home that provides family child care to eight or fewer children, including children under the age of 10 years who reside at the home, as set forth in Section 1597.44 of the Health and Safety Code and as defined in Chapter 3 of Division 12 of Title 22 of the California Code of Regulations.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.78, 1596.866, 1597.44, 1597.465 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.4 to 100000.4 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment of section heading, section and Note  filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including amendment of subsections (a) and (b), transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.5. Child Care Provider.
Note     •     History

“Child care provider” means a person who provides care to children in a child care facility that is licensed pursuant to Chapter 3.5 (commencing with Section 1596.90) or Chapter 3.6 (commencing with Section 1597.30) of the Health and Safety Code.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.791, 1596.90, 1597.30 and 1596.866, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.5 to 100000.5 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including amendment of section heading, section and Note, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.6. Training Program.
Note     •     History

“Training program” means a program that applies to the Emergency Medical Services Authority (EMS Authority) for review and approval of its child care pediatric first aid, CPR, and/or preventive health and safety training program.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.791, 1596.90, 1596.866 and 1597.30, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.6 to 100000.6 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.6 to section 100000.11 and new section 100000.6, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.7. Approved Training Program.
Note     •     History

“Approved training program, or approved program”, means a training program that is approved by the EMS Authority to provide pediatric first aid, CPR, and/or preventive health and safety training to child care providers.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.90, 1596.791, 1596.866 and 1597.30, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.7 to 100000.7 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.7 to section 100000.12 and new section 100000.7, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.8. Affiliate Program.
Note     •     History

“Affiliate program” means the training program that provides an approved child care pediatric first aid, CPR, or preventive health and safety training because of its association with a training program approved by the EMS Authority.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.791, 1596.90, 1596.866 and 1597.30, Health and Safety Code.
HISTORY

1. New article 2 (sections 100000.8-100000.18) and section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.8 to 100000.8 (Register 95, No. 8).
3. Editorial correction of History Note 1 (Register 95, No. 8).
4. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
5. Amendment of article heading filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-29-99 order, including relocation of article 2 heading to precede section 100000.17, renumbering of former section 100000.8 to section 100000.17, and new section 100000.8, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.9. Training Program Director.
Note     •     History

“Training program director” means the person who is named in the EMS Authority review and approval application as being the director of a pediatric first aid, CPR and/or preventive health and safety training program. This person is responsible for the administration of the child care pediatric first aid, CPR or preventive health and safety training program that has been approved by the EMS Authority.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.791, 1596.90, 1596.866 and 1597.30, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.9 to 100000.9 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order including amendment of subsection (b) transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.9 to section 100000.18 and new section 100000.9, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.10. Training Program Instructor.
Note     •     History

“Training program instructor” means a person who teaches the approved child care pediatric first aid, CPR, or preventive health and safety training to child care providers, pursuant to the Health and Safety Code Section 1596.866.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.791, 1596.90, 1596.866 and 1597.30, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.10 to 100000.10; and internal reference 10000.9 to 100000.9 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment of subsection (a) filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.10 to section 100000.19 and new section 100000.10, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.11. Pediatric First Aid.
Note     •     History

“Pediatric first aid” means the recognition of, and immediate care for injury or sudden illness, including medical emergencies, to an infant or child, prior to the availability of medical care by licensed or certified health care professionals.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.11 to 100000.11 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.11 to section 100000.20 and renumbering and amendment of former section 100000.6 to section 100000.11, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.12. Pediatric Cardiopulmonary Resuscitation.
Note     •     History

“Pediatric cardiopulmonary resuscitation” or “pediatric CPR” means establishing and maintaining, on an infant or child, an open airway, ensuring adequate respiration either spontaneously or by use of rescue breathing, and ensuring adequate circulation either spontaneously or by means of closed chest cardiac compression. Pediatric CPR includes adult CPR for purposes of children over eight years of age.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Section 1596.866, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.12 to 100000.12 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment of subsection (b) filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.12 to section 100000.21 and renumbering and amendment of former section 100000.7 to section 100000.12, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.13. Preventive Health and Safety.
Note     •     History

“Preventive health and safety” means the course required for child care providers that encompasses study in recognition, management, and prevention of infectious diseases, including immunizations, and prevention of childhood injuries among children in child care facilities.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Section 1596.866, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.13 to 100000.13 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Certificate of Compliance as to 6-29-99 order, including repealer and new section, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.14. Certificate of Approval.
Note     •     History

“Certificate of approval” means the certificate that is issued by the EMS Authority to the approved training program. The certificate shall state that the program is approved to provide child care pediatric first aid, CPR, or preventive health and safety training.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Section 1596.866, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.14 to 100000.14 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order including amendment of subsection (b) transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. New subsection (b) and subsection relettering filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (c) and new subsection (d) filed  7-26-99 as an emergency; operative 7-26-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-23-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.14 to section 100000.29 and new section 100000.14, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.15. Course Completion Document.
Note     •     History

“Course completion document” means the card, certificate, or other written document issued by an approved training program to a student who has completed the child care pediatric first aid, pediatric CPR, or the preventive health and safety training.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Section 1596.866, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.15 to 100000.15 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.15 to section 100000.30 and new section 100000.15, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.16. Course Completion Sticker.
Note     •     History

“Course completion sticker” means the EMS Authority sticker that is purchased by the approved training program and its affiliate for pediatric first aid, CPR, or the preventive health and safety training. An appropriate sticker shall be affixed to each course completion document issued by approved training programs and their affiliates for the pediatric first aid, CPR, or preventive health and safety training.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Section 1596.866, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.16 to 100000.16 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment of first paragraph filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.16 to section 100000.31 and new section 100000.16, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
Article 2. Training Requirements for Child Care Providers
§100000.17. Training Requirements for Child Care Providers.
Note     •     History

(a) The training requirements for pediatric first aid and CPR for child care providers shall be satisfied by maintaining current certification in pediatric first aid and CPR. Current certification is demonstrated by possession of the following:
(1) A current pediatric first aid course completion card issued either by the American Red Cross or by a training program that has been approved by the EMS Authority, and
(2) A current pediatric CPR course completion card issued either by the American Red Cross or the American Heart Association, or by a training program that has been approved by the EMS Authority.
(b) Retraining in pediatric first aid and CPR shall occur at least every two years.
(c) The training requirements for preventive health and safety for child care providers may be satisfied by completion of a course and certification in preventive health and safety. Certification in preventive health and safety is demonstrated by a child preventive health and safety course completion document issued by an approved training program.
(d) The requirement for taking the preventive health and safety training is one time only.
NOTE

Authority cited: Sections 1596.866, 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.17 to 100000.17 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Certificate of Compliance as to 6-29-99 order, including relocation and amendment of article 2 heading, renumbering of former section 100000.17 to section 100000.32,  and renumbering and amendment of former section 100000.8 to section 100000.17, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
Article 3. Training Program Approval
§100000.18. Application Process for Program Review and Approval.
Note     •     History

Training programs in pediatric first aid, pediatric CPR, and preventive health and safety shall submit to the EMS Authority the following information when applying for program review and approval:
(a) Name of the program, name of the business (if it is different than the name of the program), business address, telephone number and program director of the training program, institution, organization, or agency;
(b) A resume of the director's education and experience in methods, materials, and evaluation of instruction in the areas of child care training (pediatric first aid, CPR, and preventive health and safety);
(c) Completed application (Form EMS-App100-1/95 for the pediatric first aid and CPR program or Form EMS-App 102-1/99 for the child preventive health and safety program incorporated by reference) with the following attachments:
(1) A copy of the training course curriculum, including any workbooks, videos, textbooks, or handouts if used in the course;
(2) A detailed plan for evaluation of trainee competency;
(3) A detailed plan for evaluation of instructor competency;
(4) A detailed curriculum for instructor training in the pediatric first aid, and CPR, or the preventive health and safety training for child care providers;
(5) A list of all affiliated training programs;
(6) A copy of the business license (if licensed); and
(7) The required fees for program review and EMS Authority course completion stickers.
(d) All program materials specified in this chapter shall be subject to periodic review, evaluation and monitoring by the EMS Authority.
NOTE

Authority cited: Sections 1596.866 and 1797.107, Health and Safety Code. Reference: Sections 1596.866, 1797.113 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.18 to 100000.18; and internal reference 10000.8 to 100000.8 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including new article 3 heading, repealer of former section 100000.18 and renumbering and amendment of former section 100000.9 to section 100000.18, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.19. Program Approval Documentation.
Note     •     History

(a) The EMS Authority shall notify the training program within twenty working days of receiving its request for training program approval, that the request was received and contains the information requested in Section 100000.18 of this Chapter or shall specify what information is missing from the request.
(b) Program approval or disapproval shall be made in writing by the EMS Authority to the applying training program within sixty days of receiving all application information. The training program shall complete all modifications to an application or program required by the EMS Authority before approval can be given.
(c) The EMS Authority shall establish the effective date of training program approval in writing once the training program is reviewed and found in compliance with all program requirements. The EMS Authority shall issue a program approval certificate with the effective date and an expiration date.
(d) Program approval shall be for two years from the last day of the month in which the approval is given.
(e) Approved training programs shall notify the EMS Authority in writing, and within thirty days of any change in course content, hours of instruction, or program director. Advance notice shall be given whenever possible. All changes shall be reviewed and approved by the EMS Authority.
(f) Directors of training programs shall provide a copy of the EMS Authority certificate of training program approval to all of their affiliate programs.
(g) All training programs and their affiliate programs shall show a copy of their EMS Authority certificate of approval to students who are taking their child care provider first aid, CPR, or preventive health and safety training, and to the prospective child care training students who inquire about these training programs.
NOTE

Authority cited: Sections 1596.866 and 1797.107, Health and Safety Code. Reference: Sections 1596.750, 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. New article 3 (sections 100000.19-100000.23) and section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.19 to 100000.19 (Register 95, No. 8).
3. Editorial correction of History Note 1 (Register 95, No. 8).
4. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
5. Amendment of section heading and subsection (a) filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-29-99 order, including renumbering of former article 3 heading to article 4, renumbering of former section 100000.19 to section 100000.22, and renumbering and amendment of former section 100000.10 to section 100000.19, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.20. Withdrawal of Program Approval.
Note     •     History

Failure to comply with any requirement for program approval, use of any unqualified teaching personnel, or noncompliance with any other applicable provision of this Chapter may result in probation, suspension, revocation, or denial of renewal of program approval by the EMS Authority following the provisions of the Administrative Procedure Act, Section 11500 et. Seq. of the Government Code. An approved training program shall have no more than thirty (30) days from date of written notice to comply with this chapter.
NOTE

Authority cited: Sections 1596.866, 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.11 to 100000.11 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.20 to section 100000.24, and renumbering of former section 100000.11 to section 100000.20, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
Article 4. Training Program Director and Instructor Requirements
§100000.21. Director Requirements.
Note     •     History

Each training program shall have an approved program director who shall be qualified by education and experience in methods, materials, and evaluation of instruction. Duties of the program director shall include but not be limited to:
(a) Administering the training program.
(b) Approving course content.
(c) Approving all written and skills examinations.
(d) Coordinating all instructional activities related to the course.
(e) Approving and monitoring instructor training.
(f) Approving, monitoring, and evaluating all instructors and affiliate program directors.
(g) Notifying in writing their affiliate programs of all policies, curriculum changes, and regulations that are issued by the EMS Authority.
(h) Assuring that all aspects of the training program are in compliance with this Chapter and other related laws.
NOTE

Authority cited: Sections 1596.866 and 1797.107, Health and Safety Code. Reference: Sections 1596.750, 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.12 to 100000.12 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Amendment of subsection (b) filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including renumbering and amendment of former article 3 heading to article 4, renumbering of former section 100000.21 to section 100000.23, and renumbering and amendment of former section 100000.21 to section 100000.23, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.22. Requirements for Instructor Training for Pediatric First Aid and CPR.
Note     •     History

(a) Only instructors who possess a current pediatric first aid and CPR card shall teach EMSA-approved pediatric first aid and CPR training program courses.
(b) Approved training programs shall determine which of the following hours of training are required for instructors, based on competency in essential knowledge and skills and previous hours of training in relevant courses.
(1) Eight hours of training in the approved program curriculum are required for instructor certification/authorization after completion of first aid and CPR training and/or demonstrated competency in essential skills.
(2) Thirty-two hours of training are required for instructor certification/authorization if applicant has no prior training and/or demonstrated competency in essential skills.
(c) This training shall be provided by the approved training program that is hiring, franchising, or affiliating with an instructor. The training shall be given as a condition of hiring, franchising, or affiliating with an instructor, and shall include, but not be limited to, the course content specified in Section 100000.23 of this chapter.
(d) Each training organization shall maintain written verification of instructor qualifications for each certified instructor.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1597.866 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.22 to 100000.22 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order including amendment of subsection (b) transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Renumbering of former section 100000.22 to section 100000.24 and new section 100000.22 filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.22 to section 100000.25, and renumbering and amendment of former section 100000.19 to section 100000.22, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.23. Required Course Content for Pediatric First Aid and CPR Instructor Training.
Note     •     History

(a) The training program for instructors shall include, but not be limited to, the following topics:
(1) Teaching methods;
(2) Teaching presentation and student assessment;
(3) Child development impact and issues;
(4) Administrative and quality assurance;
(5) Participant health and safety, including care and use of manikins;
(6) Issues of cultural sensitivity;
(7) Assurance that child care context is part of all content areas; and
(8) Topics and skills specified in Section 100000.30(a).
(b) The training program for instructors shall also assess and evaluate an instructor's ability to teach the following essential skills:
(1) Primary assessment, including management of suspected head and neck injuries;
(2) Rescue breathing;
(3) Techniques for response to choking (conscious and unconscious children);
(4) Techniques for controlling bleeding;
(5) Pediatric CPR; and
(6) Splinting of fractures and sprains.
(c) The training program shall assess and evaluate an instructor's teaching presentation and competency at assessing student skills.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.798, 1596.866, 1596.8661 and 1797.191, Health and Safety Code; and Section 3765, Business and Professions Code.
HISTORY

1. New section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.23 to 100000.23 (Register 95, No. 8).
3. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
4. Renumbering of former section 100000.23 to new section 100000.25 and renumbering of former section 100000.21 to section 100000.23, including amendment of first paragraph, filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.23 to section 100000.26, and renumbering and amendment of former section 100000.21 to section 100000.23, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.24. Requirements for Instructor Training for Child Preventive Health and Safety.
Note     •     History

(a) Only instructors who possess a current pediatric first aid and CPR card shall teach approved child preventive health and safety training program courses. In addition, all child preventive health and safety instructors shall have completed a minimum of twenty-four hours of child preventive health and safety training that included, but is not limited to, the course content specified in Section 100000.30(b) of this chapter, within twelve months prior to beginning to teach an approved program. Until January 1, 2001, the twenty-four hours of training may include preventive health and safety training given by the instructor.
(b) Approved training programs shall determine which of the following hours of training are required for instructors, based on competency in essential knowledge and skills and previous hours of training in relevant courses.
(1) Eight hours of training in the approved program curriculum are required for instructor certification/authorization if applicant has previous instructor training after completion of first aid, CPR, and preventive health and safety training and/or demonstrated competency in essential skills.
(2) Twenty-four hours of training are required for instructor certification/authorization if applicant has no prior instructor training and/or demonstrated competency in essential skills.
(c) The training required in subsection (b) of this section shall be provided by the approved training program that is hiring, franchising or affiliating with an instructor. The training shall be given as a condition of hiring, franchising or affiliating with an instructor, and shall include, but not be limited to, the course content specified in Section 100000.25 of this chapter.
(d) Each training organization shall maintain written verification of instructor qualifications for each certified instructor.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.866, 1597.866 and 1797.191, Health and Safety Code.
HISTORY

1. New article 4 (section 100000.24) and section filed 1-26-95 as an emergency; operative 1-26-95 (Register 95, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-26-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction renumbering section 10000.24 to 100000.24; and internal reference 10000.8 to 100000.8 (Register 95, No. 8).
3. Editorial correction of History Note 1 (Register 95, No. 8).
4. Certificate of Compliance as to 1-26-95 order transmitted to OAL 5-17-95 and filed 6-29-95 (Register 95, No. 26).
5. Renumbering of former section 100000.24 to new section 100000.26, including repositioning of article 4 heading, and renumbering of former section 100000.22 to section 100000.24 filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.24 to section 100000.27, and renumbering and amendment of former section 100000.20 to section 100000.24, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.25. Required Course Content for Child Preventive Health and Safety Instructor Training.
Note     •     History

The training program for instructors shall include, but not be limited to the following topics:
(a) Teaching methods for adult students;
(b) Teaching presentation and student assessment;
(c) Child development impact and issues;
(d) Administrative and training quality assurance;
(e) Topics and skills specified in Section 100000.30(b);
(f) Issues of cultural awareness and sensitivity;
(g) Assurance that child care context is part of all content areas;
(h) Knowledge of child care; and
(i) Knowledge of child care statutes and regulations.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. Renumbering of former section 100000.23 to new section 100000.25 filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.25 to section 100000.28, and renumbering and amendment of former section 100000.22 to section 100000.25, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.26. Methodology for Evaluation of Instructor Competence.
Note     •     History

Methods to evaluate instructor competence shall include, but not be limited to, the following:
(a) Demonstration of mastery in all curriculum areas;
(b) Essential knowledge and skills assessment; and
(c) Use of problem solving scenarios as teaching tools.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. Renumbering of former section 100000.24 to new section 100000.26, including amendment and repositioning of article 4 heading, and repealer and new section  filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-99 order, including repealer of article 4 heading, renumbering of former section 100000.26 to section 100000.35, and renumbering of former section 100000.23 to section 100000.26, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.27. Instructor Certification/Authorization Requirements.
Note     •     History

(a) Approved training programs shall issue certification cards that document certification of instructors. Certification cards shall contain an expiration date not to exceed two years from the date of instructor certification.
(b) Approved training programs shall evaluate their instructors, determine the number of retraining hours needed, and provide retraining to their instructors in any of the course content specified in Sections 100000.23 and 100000.25.
(c) Approved training programs shall issue recertification cards upon expiration of original certification, to document recertification of qualified instructors. These recertification cards shall contain an expiration date not to exceed two years from the date of instructor recertification.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. New article 5 (sections 100000.27-100000.28) and section filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-99 order, including repealer of article 5 heading, repealer of former section 100000.27, and renumbering and amendment of former section 100000.24 to section 100000.27, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.28. Monitoring of Instructors.
Note     •     History

(a) Methods to monitor certified instructors by training organizations shall include, but not be limited to, review of student evaluations and periodic direct observation of provider training.
(b) Training organizations shall have an agreement of understanding with their program instructors specifying that the instructors shall teach according to the stated organization standards. These agreements shall be signed by the program instructor and program director.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-99 order, including renumbering of former section 100000.28 to section 100000.33, and renumbering and amendment of former section 100000.25 to section 100000.28, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
Article 5. Course Hours and Class Requirements
§100000.29. Course Hours and Class Size Requirements.
Note     •     History

(a) The initial course of instruction shall consist of not less than eight hours in pediatric first aid and pediatric CPR. Training programs teaching pediatric first aid only are allowed with instruction in pediatric first aid to consist of not less than four  hours in addition to a minimum of four hours of pediatric CPR. The eight hour course shall consist of no less than four hours of pediatric first aid and no less than four hours of pediatric CPR. Training programs may teach these four hour courses in pediatric first aid and pediatric CPR separately.
(b) Retraining in pediatric first aid and CPR shall consist of no less than four hours of pediatric first aid and no less than four hours of pediatric CPR. Retraining in pediatric first aid and CPR shall be completed at least every two years.
(c) The course of instruction in child preventive health and safety shall consist of no less than seven hours. The requirement for taking this course is one time only.
(d) The class size ratio for pediatric first aid and pediatric CPR shall not exceed one instructor to twelve students for the skills practice and evaluation components of the curriculum.
(e) The class size ratio for preventive health and safety training shall not exceed one instructor to thirty students.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. Certificate of Compliance as to 6-29-99 order, including new article 5 heading and renumbering and amendment of former section 100000.14 to new section 100000.29, transmitted to OAL 10-25-99 and filed 12-8-99  (Register 99, No. 50).
§100000.30. Required Course Content.
Note     •     History

(a) The course content for pediatric first aid and CPR shall include instruction to result in competence in the following topics and skills, which shall prepare personnel within the child care setting to recognize and treat the ill or injured child, as follows:
(1) Patient examination and injury assessment principles;
(2) Orientation and access to the emergency medical services system;
(3) Recognition and treatment of:
(A) Burns;
(B) Environmental exposure;
(C) Bleeding;
(D) Bites and stings (including human, animal, snake, insect and marine life);
(E) Fainting and seizures;
(F) Dental emergencies;
(G) Diabetic emergencies;
(H) Eye injuries and irritants;
(I) Head and neck injuries;
(J) Respiratory distress (including use of inhaled medications and nebulizers for children with lung diseases);
(K) Fractures and sprains;
(L) Exposure and response to toxic substances;
(M) Shock management; and
(N) Wounds (including cuts, bruises, scrapes, punctures, slivers, penetrating injuries from foreign objects, amputations and avulsions).
(4) Assembly and use of first aid kits and supplies;
(5) Understanding of standard precautions and personal safety in giving emergency care;
(6) First aid action plan within a group care setting (including classroom management while caring for an injured or ill child);
(7) Injury reporting;
(8) Reassuring parents and children in an emergency situation; and
(9) How to talk to young children about emergencies and instructing children in the emergency action plan.
(b) The course content for preventive health and safety training shall include instruction to result in competence in the following topics and skills, which shall prepare personnel to recognize, manage, and prevent infectious diseases and childhood injuries as follows:
(1) Prevention of Infectious Disease.
(A) Standard precautions.
1. Sanitation;
2. Hand washing; and
3. Use of gloves.
(B) Hygiene for children and care givers.
1. Hand washing; and
2. Diapering.
(C) Childhood immunizations; i.e., age and type requirements.
(D) Maintenance of health records and forms.
(E) Process for review of medical form information, including medication administration, allergies, immunizations, and health insurance; and
(F) Infectious disease policies.
1. Notices for exposure to disease;
2. Guidelines for the exclusion/inclusion of sick children;
3. Diseases that should be reported to local health agencies and to child care facility children's parents;
4. Guidelines for managing mildly ill children; and
5. Guidelines for staff health regarding potential risk of infectious diseases, including but not limited to cytomegalovirus (CMV) and Hepatitis B.
(G) Community Resources, to include information on local resources for services that deal with children's health and the prevention of infectious disease shall be given to trainees by the training instructor.
(2) Child Injury Prevention
(A) Risk of injury related to developmental stages (i.e., falling, choking, head injuries);
(B) Establishing and adhering to safety policies in the child care setting;
(C) Procedures to reduce the risks of Sudden Infant Death Syndrome (SIDS) and Shaken Baby Syndrome;
(D) Managing children's risky behaviors that can lead to injury;
(E) Regular assessments for the safety of indoor and outdoor child care environments and play equipment; and
(F) Transportation of children during child care.
1. Motor vehicle safety;
2. Child passenger safety;
3. Field trip safety; and
4. School bus safety.
(G) Community resources, to include information on local resources for services that deal with children's health and the prevention of childhood injuries shall be given to trainees by the training instructor.
(H) Child abuse resources, i.e., where to go in your community for help and information regarding child abuse.
(c) The course content for preventive health training may include instruction in the following:
(1) Children's nutrition, i.e., age-appropriate meal planning to ensure nutritional requirements and the correct portions of food for monitoring children's food intake.
(A) The food pyramind and how to apply it to children;
(B) Appropriate eating behaviors for children (i.e., snacking); and
(C) Specialized diets, including diet restrictions based upon medical needs. These medical needs include but are not limited to food allergies and diabetes.
(D) Awareness of feeding/growth problems such as failure-to-thrive.
(E) The connection between diet and dental decay in children.
(2) Environmental sanitation.
(A) Vector prevention;
(B) Kitchen cleanliness and sanitation practices;
(C) Toilet and diapering area sanitation.
(3) Air quality.
(A) Hazards of smoking (including, second hand smoke);
(B) Importance of keeping air filters clean;
(C) Importance of fresh air;
(D) Hazards of use of fireplaces; and
(E) The connection between allergens and children's respiratory illnesses, and how to reduce airborne allergens.
(4) Food quality.
(A) Safe food practices;
(B) Safe food handling;
(C) Cooking safety;
(D) Preparing foods safely (i.e., washing produce; keeping raw meats and utensils used on raw meats away from cooked foods or foods that will be eaten raw; the importance of keeping cold foods cold, and hot foods hot);
(E) Safe storage of food (including prevention of lead poisoning);
(F) Fully cooking meats and eggs;
(G) Use of only pasteurized fruit juices; and
(H) Dangers of e. coli and salmonella.
(5) Water quality.
(6) Children with special needs.
(A) Knowledge of resources for services for children with special health care needs; and
(B) Knowledge of the Americans with Disabilities Act, and how it pertains to children with special needs in child care.
(7) Community resources, knowledge of city, county and state resources, both non-profit and governmental, for services for children.
(8) Child abuse identification and prevention.
(A) Child abuse mandated reporting requirements;
(B) Signs of child abuse and neglect; and
(C) Care giver stress and the relation of this to abuse issues.
(9) Procedures to reduce the risks of the following injuries, including but not limited to: burns, choking, falls, poisonings (lead, iron, acetaminophen, and other medications), oral injury, suffocation, drowning, injuries from weapons, and injuries from animals.
(10) Earthquake and emergency preparedness.
(A) Preparing the child care for major disasters; and
(B) Community resources for gaining information regarding preparing for disasters and/or assistance in case of a disaster.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.798, 1596.8661, 1597.866 and 1797.191, Health and Safety Code; and Section 3765, Business and Professions Code.
HISTORY

1. Certificate of Compliance as to 6-29-99 order, including renumbering and amendment of former section 100000.15 to new section 100000.30, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.31. Essential Skills Practice and Evaluation.
Note     •     History

The pediatric first aid and CPR  training program shall include practice and evaluation of the following skills:
(a) Primary assessment, including management of suspected head and neck injuries.
(b) Care for pediatric choking victims, both conscious and unconscious.
(c) Control of bleeding.
(d) Splinting and care for fractures, sprains, strains and dislocated joints.
(e) Pediatric CPR.
(f) Pediatric rescue breathing.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1597.866 and 1797.191, Health and Safety Code.
HISTORY

1. Certificate of Compliance as to 6-29-99 order, including renumbering and amendment of former section 100000.16 to new section 100000.31, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.32. Methodology for Evaluation of Trainee Competency.
Note     •     History

Each training program shall develop, and submit as part of the course, a plan for evaluating trainee competence in all content and skills areas. Following are methods which may be used to evaluate competency:
(a) Self evaluation in conjunction with other methods.
(b) Demonstration of mastery other than written.
(c) Written skills test with option for oral testing.
(d) Use of problem solving scenarios.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1597.866 and 1797.191, Health and Safety Code.
HISTORY

1. Certificate of Compliance as to 6-29-99 order, including renumbering and amendment of former section 100000.17 to new section 100000.32, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
Article 6. Class Rosters, Course Completion Documents and Stickers
§100000.33. Class Rosters.
Note     •     History

Each EMS Authority-approved pediatric first aid and CPR training program and child preventive health and safety training program shall submit class rosters to the EMS Authority for each of the pediatric first aid and CPR training sessions and for each of the child preventive health and safety training sessions, within 30 calendar days of course completion. These class rosters shall include the name, address, and phone number of each student of the training. The rosters shall also include the serial number listed on the course completion sticker that is issued to each student upon the completion of the training.
NOTE

Authority cited: Sections 1797.107 and 1797.191, Health and Safety Code. Reference: Sections 1596.866 and 1797.191, Health and Safety Code.
HISTORY

1. Certificate of Compliance as to 6-29-99 order, including new article 6 heading and renumbering and amendment of former section 100000.28 to new section 100000.33, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
§100000.34. Course Completion Documents and Stickers.
Note     •     History

(a) Approved programs in pediatric first aid, CPR and preventive health and safety practices training shall place pre-printed stickers from the EMS Authority on their course completion documents. The stickers verify that the training program is EMS Authority-approved, indicate which training the student completed, and assigns a tracking number to the course completion document.
(b) Affiliate programs shall order their course completion stickers from the EMS Authority.
(c) Approved programs that have affiliate programs are responsible for providing a complete list of their affiliate programs, including the instructor names, program names, business addresses and business telephone numbers to the EMS Authority.
(d) Affiliate programs shall complete and submit to the EMS Authority the first page of the application (EMS-APP100-1/95, Rev. 3/99 and EMS-APP102-1/99, Rev. 10/99) and a course completion sticker order form (EMS-900, Rev. 8/99) and turn this into the EMS Authority prior to purchasing course completion stickers.
(e) Course completion documents with the appropriate EMS Authority course completion stickers for the child care training in pediatric first aid, CPR and preventive health and safety training shall be issued by the training program to the student within 21 calendar days after the training is completed.
(f) The course completion documents for pediatric first, CPR, and preventive health and safety training shall have the name of the program training director, the name and signature of the course instructor, the course completion date and expiration date.
NOTE

Authority cited: Sections 1797.107, 1797.113 and 1797.191, Health and Safety Code. Reference: Sections 1596.866, 1797.113 and 1797.191, Health and Safety Code.
HISTORY

1. New section filed 12-8-99; operative 12-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 50).
Article 7. Fees
§100000.35. Fees.
Note     •     History

Each training program submitting an application (Forms EMS-App 100-1/95, Rev. 3/99 and EMS-App 102-1/99, Rev. 10/99) for program review, shall be assessed a fee of:
(a) Two hundred and forty ($240) dollars for the initial training program review, for the pediatric first aid and CPR training course. Training programs that have been reviewed and approved by the EMS Authority will receive 40 course completion stickers, at no extra cost, for their $240 review fee.
(b) Two hundred and forty ($240) dollars for the initial training and program review of the preventive health and safety training course. Training programs that have been reviewed and approved by the EMS Authority will receive 40 course completion stickers, at no extra cost, for their $240 review fee.
(c) Two hundred and forty ($240) dollars for the biannual training review for the pediatric first aid and CPR training course. Training programs that have been reviewed and approved by the EMS Authority will receive 40 course completion stickers, at no extra cost, for their $240 review fee.
(d) Two hundred and forty ($240) dollars for the biannual training review for the preventive health training course. Training programs that have been reviewed and approved by the EMS Authority will receive 40 course completion stickers, at no extra cost, for their $240 review fee.
(e) Three dollars for each (pediatric first aid, pediatric CPR, and/or preventive health and safety) preprinted course completion sticker, to be issued by the approved program to students upon course completion.
NOTE

Authority cited: Sections 1797.107, 1797.113 and 1797.191, Health and Safety Code. Reference: Sections 1596.866, 1797.113 and 1797.191, Health and Safety Code.
HISTORY

1. Certificate of Compliance as to 6-29-99 order, including renumbering and amendment of former article 4 heading to new article 7, and renumbering and amendment of former section 100000.26 to new section 100000.35, transmitted to OAL 10-25-99 and filed 12-8-99 (Register 99, No. 50).
Chapter 1.2. First Aid Testing for School Bus Drivers
Article 1. Definitions
§100001. First Aid.
Note

“First Aid” means the recognition of and immediate care for injury or sudden illness prior to the availability of emergency medical care by licensed or certified health care professionals.
NOTE

Authority cited: Section 12522, Vehicle Code. Reference: Section 12522, Vehicle Code. (Section filed 8-29-86, operative 9-28-86; Register 86, No. 35)
§100002. Pre-Established Standard.
Note

Pre-established standard means a determined passing score established by the testing agency prior to the commencement of the examination.
NOTE

Authority cited: Section 12522, Vehicle Code. Reference: Section 12522, Vehicle Code. 
(Section filed 8-29-86, operative 9-28-86; Register 86, No. 35)
Article 2. General
§100003. Application of Chapter to School Bus Drivers.
Note

All school bus drivers shall demonstrate proficiency in first aid practices by successfully completing in accordance with pre-established standards, a competency based written examination administered by the California Highway Patrol, in addition to any other requirement for a school bus driver's certificate.
NOTE

Authority cited: Section 12522, Vehicle Code. Reference: Section 12522, Vehicle Code. 
(Section filed 8-29-86, operative 9-28-86; Register 86, No. 35)
Article 3. Examination Standards
§100004. First Aid Practices Proficiency.
Note

The examination administered by the California Highway Patrol in first aid practices shall test an applicant's ability to recognize and render first aid in the following emergency medical situations:
(a) Respiratory emergencies: obstructed airway and difficulty breathing;
(b) Cardiac arrest: severe allergic reaction and shock;
(c) Traumatic emergencies: open wounds, penetrating or blunt injuries of chest and abdomen, suspected fractures and dislocations; burns; suspected internal bleeding and suspected spinal injuries;
(d) Poisonings: drug or alcohol overdose;
(e) Altered consciousness: diabetic emergencies and convulsions;
(f) Environmental emergencies: heat illness and hypothermia; and
(g) Knowledge of EMS system access (utilization of emergency phone number: “9-1-1”).
NOTE

Authority cited: Section 12522, Vehicle Code. Reference: Section 12522, Vehicle Code. 
(Section filed 8-29-86, operative 9-28-86; Register 86, No. 35)
Chapter 1.5. First Aid Standards for Public Safety Personnel
Article 1. Definitions
§100005. Automated External Defibrillator or AED.
Note     •     History

“Automated External Defibrillator or AED” means an external defibrillator capable of cardiac rhythm analysis which will charge and deliver a shock either automatically or by user interaction after electronically detecting and assessing ventricular fibrillation or rapid ventricular tachycardia.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.52, 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
2. Amendment of section heading and section filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100006. Public Safety AED Service Provider.
Note     •     History

“Public Safety AED Service Provider” means an agency, or organization which is responsible for, and is approved to operate, an AED.
NOTE

Authority cited Sections 1797.107, 1797.182 and 1797.183, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
2. Renumbering of former section 100006 to section 100007 and new section 100006 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100007. Cardiopulmonary Resuscitation.
Note     •     History

“Cardiopulmonary resuscitation” or “CPR” means establishing and maintaining an open airway, ensuring adequate respiration either spontaneously or by use of rescue breathing, and ensuring adequate circulation either spontaneously or by means of closed chest cardiac compression, according to standards promulgated by the American Heart Association and/or the American Red Cross.
NOTE

Authority cited Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
2. Renumbering of former section 100007 to section 100008 and renumbering of former section 100006 to section 100007 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100008. Firefighter.
Note     •     History

“Firefighter” means any regularly employed and paid officer, employee or member of a fire department or fire protection or firefighting agency of the State of California, or any city, county, city and county, district or other public or municipal corporation or political subdivision of California or any member of an emergency reserve unit of a volunteer fire department or fire protection district.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Section 1797.182, Health and Safety Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
2. Renumbering of former section 100008 to section 100009 and renumbering of former section 100007 to section 100008 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100009. First Aid.
Note     •     History

“First aid” means the recognition of and immediate care for injury or sudden illness, including medical emergencies, prior to the availability of medical care by licensed or certified health care professionals.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
2. Renumbering of former section 100009 to section 100010 and renumbering of former section 100008 to section 100009 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100010. Lifeguard.
Note     •     History

“Lifeguard” means any regularly employed and paid officer, employee, or member of a public aquatic safety department or marine safety agency of the State of California, or any city, county, city and county, district or other public or municipal corporation or political subdivision of California.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Section 1797.182, Health and Safety Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
2. Repealer of former section 100010 and renumbering of former section 100009 to section 100010 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100011. Peace Officer.
Note     •     History

“Peace officer” means any city police officer, sheriff, deputy sheriff, peace officer member of the California Highway Patrol, marshal or deputy marshal or police officer of a district authorized by statute to maintain a police department or other peace officer required by law to complete the training specified in this Chapter.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Section 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
2. Amendment filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100012. Primarily Clerical or Administrative.
Note     •     History

“Primarily clerical or administrative” means the performance of clerical or administrative duties for ninety percent (90%) or more of the time worked within each pay period.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
§100013. Qualified Instructor.
Note     •     History

“Qualified instructor” is a trained individual who shall be certified to teach first aid and/or CPR by the approving authority specified in Section 100026 of this Chapter.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
§100014. Regularly Employed.
Note     •     History

“Regularly employed” means being given wages, salary, or other remuneration for the performance of those duties normally carried out by lifeguards, firefighters, or peace officers.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
Article 2. General Training Provisions
§100015. Application and Scope.
Note     •     History

Except those whose duties are primarily clerical or administrative, the following regularly employed public safety personnel shall be trained to administer first aid, and cardiopulmonary resuscitation, according to the standards set forth in this Chapter:
(a) lifeguard;
(b) firefighter;
(c) peace officer.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
2. Repealer of former section 100015 and renumbering of former section 100016 to section 100015 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100016. Training Programs in Operation.
Note     •     History

Training programs in operation prior to the effective date of these regulations shall submit evidence of compliance with this Chapter to the appropriate approving authority as specified in Section 100026 of this Chapter within six (6) months after the effective date of these regulations.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
2. Renumbering of former section 100016 to section 100015 and renumbering of former section 100017 to section 100016 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100017. Time Limitation for Initial Training.
Note     •     History

The initial training requirements specified in this Chapter shall be satisfactorily completed within one (1) year from the effective date of the individual's initial employment and, whenever possible, prior to assumption of regular duty in one of the personnel categories set forth in Section 100016 of this Chapter.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
2. Renumbering of former section 100017 to section 100016 and renumbering of former section 100018 to section 100017 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
Article 3. Training Standards
§100018. Scope of Course.
Note     •     History

(a) The initial course of instruction shall at a minimum consist of not less than fifteen (15) hours in first aid and six (6) hours in cardiopulmonary resuscitation.
(b) The course of instruction shall include, but need not be limited to, the following scope of course which shall prepare personnel specified in Section 100016 of this Chapter to recognize the injury or illness of the individual and render assistance:
(1) Emergency action principles which describe the basic problems of decision making in first aid;
(2) First aid for medical emergencies, including sudden illnesses;
(3) Cardiac and respiratory emergencies, including cardiac and/or respiratory failures in victims of all ages;
(4) First aid for traumatic injuries including wounds, and life threatening bleeding;
(5) First aid for specific injuries, including care for specific injuries to different parts of the body;
(6) Bandaging, including materials and guidelines used in bandaging;
(7) First aid for environmental emergencies including burns, heat and chemical burns, electrical emergencies and exposure to radiation, or climatic changes;
(8) First aid for injuries to bones, muscles, and joints;
(9) Emergency rescue and transfer;
(10) First aid for obstetrical emergencies.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
2. Renumbering of former section 100018 to section 100017 and renumbering of former section 100019 to section 100018 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100019. Required Topics.
Note     •     History

The content of the training course shall include at least the following topics and shall be skill-oriented:
(a) Examination and assessment of the victim;
(b) Orientation to the EMS System;
(c) Suspected heart attack or stroke;
(d) Fainting, convulsions, and/or suspected drug abuse;
(e) Heat exhaustion, heat stroke, hypothermia and frost bite;
(f) Mouth to mouth breathing and care for choking victims whether conscious or unconscious;
(g) Types of wounds and control of bleeding; 
(h) Shock, and its causes, infection and closed wounds;
(i) Eye, face, scalp, jaw and ear injuries;
(j) Injuries of the head, neck, back, trunk, arms and legs;
(k) Exposure to toxic substances;
(l) Bites and stings by snakes, marine life and insects;
(m) Bandaging techniques, first aid kits and supplies;
(n) Determination of the severity of burns, including first, second, and third degree burns;
(o) Fractures, both open and closed, splinting, and care for fractures, sprains, strains and dislocated joints;
(p) Techniques of cardiopulmonary resuscitation; and
(q) Obstetrical emergencies.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
2. Renumbering of former section 100019 to section 100018 and renumbering of former section 100020 to section 100019 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100020. Optional Skill.
Note     •     History

(a) In addition to the activities authorized by Section 100019 of this Chapter, public safety personnel may perform AED when authorized by a public safety AED service provider.
(1) Training for the AED shall consist of not less than four (4) hours and shall include the following topics and skills:
(A) Proper use, maintenance and periodic inspection of the AED.
(B) The importance of cardiopulmonary resuscitation (CPR), defibrillation, advanced life support (ALS), adequate airway care, and internal emergency response system, if applicable.
(C) Overview of the EMS system, the local EMS system's medical control policies, 9-1-1 access, and interaction with EMS personnel.
(D) Assessment of an unconscious patient, to include evaluation of airway, breathing, and circulation to determine cardiac arrest.
(E) Information relating to AED safety precautions to enable the individual to administer a shock without jeopardizing the safety of the patient or rescuers or other nearby persons.
(F) Recognition that an electrical shock has been delivered to the patient and that the defibrillator is no longer charged.
(G) Rapid, accurate assessment of the patient's post-shock status.
(H) The appropriate continuation of care following a successful defibrillation.
(b) In order to be authorized to utilize the defibrillator, an individual shall pass a written and skills examination with a pre-established standard, which tests the ability to assess and manage the specified conditions listed in subsection (a) of this section.
(c) A local EMS agency that approves public safety AED service providers shall:
(1) Approve and monitor training programs including refresher training within its jurisdiction to assure compliance with this Chapter.
(2) Approve the written and skills exam required for AED training course completion.
(3) Develop policies and procedures for approval of AED instructors by the local EMS agency medical director. To be authorized to instruct public safety personnel in the use of an AED, and AED instructor shall either:
(A) Complete an American Red Cross or American Heart Association recognized instructor course (or equivalent) including instruction and training in the use of an AED, or
(B) Be approved by the local EMS agency director and meet the following requirements:
1. Be AED accredited or able to show competency in the proper utilization of an AED, and
2. Be able to demonstrate competency in adult teaching methodologies.
(4) Establish policies and procedures for medical control pursuant to Section 1798 of the Health and Safety Code.
(5) Establish policies and procedures for the approval and designation of public safety AED service provider(s) which will include requirements that public safety AED service providers have policies and procedures, approved by the local EMS agency medical director, to
(A) provide orientation of AED accredited personnel to the AED,
(B) ensure continued competency of AED accredited personnel, and
(C) collect and report data, as required by the local EMS agency but no less than annually, to the local EMS agency, pursuant to Section 100021.
(6) Establish policies and procedures to collect, maintain and evaluate patient care records.
(7) Report annually to the EMS Authority on:
(A) The total number of patients, defibrillated, who were discharged from the hospital alive, and
(B) The data collected by public safety AED service providers pursuant to Section 100021 of this chapter.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.52, 1797.58, 1797.74, 1797.90, 1797.175, 1797.176, 1797.182, 1797.183, 1798, 1798.2, 1798.4, 1798.100, 1798.102 and 1798.104, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
2. Renumbering of former section 100020 to section 100019 and renumbering and amendment of former section 100021 to section 100020 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100021. Public Safety AED Service Provider.
Note     •     History

A public safety AED service provider is an agency or organization that employs individuals as defined in Section 100015, and who obtain AEDs for the purpose of providing AED services to the general public.
(a) A public safety AED service provider shall be approved by the local EMS agency, or in the case of state or federal agencies, the EMS Authority, prior to beginning service. In order to receive and maintain AED service provider approval, a public safety AED service provider shall ensure compliance with the requirements of this Chapter.
(b) Public Safety AED service provider approval may be revoked or suspended for failure to maintain the requirements of this section.
(c) A public safety AED service provider applicant shall be approved if they meet and provide the following:
(1) Provide orientation of AED authorized personnel to the AED;
(2) Ensure maintenance of AED equipment;
(3) Ensure initial training and continued competency of AED authorized personnel;
(4) Collect and report to the local EMS agency where the defibrillation occurred, as required by the local EMS agency but no less than annually, data that includes, but is not limited to:
(A) The number of patients with sudden cardiac arrest receiving CPR prior to arrival of emergency medical care,
(B) The total number of patients on whom defibrillatory shocks were administered, when cardiac arrest was witnessed (seen or heard) and not witnessed; and
(C) The number of these persons who suffered a witnessed cardiac arrest whose initial monitored rhythm was ventricular tachycardia or ventricular fibrillation.
(5) Authorize personnel and maintain a listing of all public safety AED service provider authorized personnel and provide upon request to the local EMS agency or the EMS Authority.
(d) An approved public safety AED service provider and its authorized personnel shall be recognized statewide.
NOTE

Authority cited: Sections 1797.107, 1797.182 and 1797.183, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
2. Renumbering of former section 100021 to section 100020 and new section 100021 filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100022. Testing.
Note     •     History

(a) The course of instruction shall include a written and skills examination which tests the ability to assess and manage all the conditions listed in Sections 100018 and 100019 of this Chapter.
(b) A passing standard shall be established by the training agency before administration of the examination.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
2. Amendment of subsection (a) filed 5-18-2000; operative 6-17-2000 (Register 2000, No. 20).
§100023. Training Instructor Requirements.
Note     •     History

(a) Training in first aid and CPR for the personnel specified in Section 100016 of this Chapter shall be conducted by an instructor who is:
(1) Proficient in the skills taught; and
(2) qualified to teach by education and/or experience.
(b) Determination of the instructor's qualifications shall be the responsibility of the agency whose training program has been approved by the Authority pursuant to Section 100026 of this Chapter.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
§100024. Validation of Course Completion.
Note     •     History

(a) Each trainee who successfully completes an approved course of instruction and successfully passes a proficiency test shall be given written verification to that effect by the institution, organization or agency which provides the instruction.
(b) Employing agencies which provide approved courses of instruction to their employees need not provide individual written verification but shall maintain a record of the names of trainees and the date(s) on which training courses have been completed for at least three (3) years.
(c) Such training records shall be made available for inspection by the local EMS agency upon request.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
§100025. Retraining Requirements.
Note     •     History

(a) The retraining requirements of this Chapter shall be satisfied by successful completion of either:
(1) An approved retraining course which includes a review of the topics and demonstration of skills prescribed in this Chapter and which consists of no less than twelve (12) hours; or
(2) A competency based written and skills pretest of the topics and skills prescribed in this Chapter with the following restrictions:
(A) That appropriate retraining be provided on those topics indicated necessary by the pretest, in addition to any new developments in first aid and CPR;
(B) A final test be provided covering those topics included in the retraining for those persons failing to pass the pretest; and
(C) The hours for the retraining may be reduced to those hours needed to cover the topics indicated necessary by the pretest.
(b) The entire retraining course or pretest may be offered yearly by the training agency, but in no event shall the retraining course or pretest be offered less than once every three (3) years.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
Article 4. Training Approval Options
§100026. Approved Courses.
Note     •     History

The training requirements of this Chapter may be satisfied by successfully completing any one of the following course options as determined by the employing agency:
(a) A course in first aid, including CPR, developed and/or authorized by the Fire Service Training Program of the Office of the State Fire Marshal and approved by the EMS Authority; or
(b) A course in first aid, including CPR, authorized by the Commission on Peace Officer's Standards and Training (POST) and approved by the EMS Authority; or
(c) A course in first aid, including CPR, developed and authorized by the California Department of Parks and Recreation and approved by the EMS Authority; or
(d) A course in first aid, including CPR, developed and authorized by the California Department of Forestry and Fire Protection and approved by the EMS Authority; or
(e) A course in first aid, including CPR, developed and authorized by the Department of the California Highway Patrol and approved by the EMS Authority; or
(f) A course in first aid, including CPR, sponsored and/or approved by the American Red Cross; or
(g) A course in first aid sponsored and/or approved by the American Red Cross and a course in CPR sponsored and/or approved by the American Heart Association; or
(h) The U.S. Department of Transportation's first responder course which includes first aid practices and CPR approved by the local EMS agency; or
(i) A course in first aid and/or CPR equivalent to the standards of the American Red Cross and/or American Heart Association and approved by the local EMS agency; or
(j) An EMT-I course which has been approved pursuant to Chapter 2 of this division; or
(k) An EMT-II course which has been approved pursuant to Chapter 3 of this division; or
(l) An EMT-P course which has been approved pursuant to Chapter 4 of this division.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
2. Change without regulatory effect amending subsection (d), adding  new subsection (e) and relettering subsections filed 3-31-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 14).
§100027. Course Approval Process.
Note     •     History

For those courses requiring approval, the following shall be submitted to the approving authority when requesting approval:
(a) Name of the sponsoring institution, organization, or agency;
(b) course outline;
(c) final written examination with pre-established scoring standards; and
(d) skill proficiency testing criteria, with pre-established scoring standards.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49). For prior history, see Register 87, No. 10.
§100028. Program Review.
Note     •     History

All course outlines, written tests, and proficiency testing criteria used in an approved program shall be subject to periodic review as determined by the approving authority.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.182 and 1797.183, Health and Safety Code; and Section 13518, Penal Code.
HISTORY

1. New section filed 11-30-87; operative 12-30-87 (Register 87, No. 49).
Chapter 1.8. Lay Rescuer Automated External Defibrillator Regulations
Article 1. Definitions
§100031. AED Service Provider.
Note     •     History

“AED Service Provider” means any agency, business, organization or individual who purchases an AED for use in a medical emergency involving an unconscious person who is not breathing. This definition does not apply to individuals who have been prescribed an AED by a physician for use on a specifically identified individual.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3). For prior history, see Register 87, No. 10.
2. Amendment of chapter heading, renumbering of former section 100031 to section 100032 and new section 100031 filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Amendment of chapter 1.8 heading and amendment of section and Note filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
§100032. Lay Rescuer.
Note     •     History

“Lay Rescuer” means any person, not otherwise licensed or certified to use the automated external defibrillator, who has met the training standards of this chapter.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3).
2. Renumbering of former section 100032 to section 100033 and renumbering of former section 100031 to section 100032, including amendment of section and Note, filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Amendment of section heading, section and Note filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
§100033. Automated External Defibrillator.
Note     •     History

“Automated external defibrillator” or “AED” means an external defibrillator that after user activation is capable of cardiac rhythm analysis and will charge and deliver a shock, either automatically or by user interaction, after electronically detecting and assessing ventricular fibrillation or rapid ventricular tachycardia.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3). For prior history, see Register 87, No. 10.
2. Renumbering of former section 100033 to section 100034 and renumbering of former section 100032 to section 100033, including amendment of section and Note, filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Amendment of Note filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
§100034. Cardiopulmonary Resuscitation.
Note     •     History

“Cardiopulmonary resuscitation” or “CPR” means a basic emergency procedure for life support, consisting of artificial respiration, manual external cardiac massage, and maneuvers for relief of foreign body airway obstruction.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3).
2. Renumbering of former section 100034 to section 100035 and renumbering of former section 100033 to section 100034, including amendment of section and Note, filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Amendment of Note filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
§100035. Internal Emergency Response Plan.
Note     •     History

“Internal Emergency Response Plan” means a written Internal Emergency Response Plan of action which utilizes responders within a facility to activate the “9-1-1” emergency system, and which provides for the access, coordination, and management of immediate medical care to seriously ill or injured individuals.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3). For prior history, see Register 87, No. 10.
2. Renumbering of former section 100035 to section 100036 and renumbering of former section 100034 to section 100035, including amendment of section and Note, filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Amendment of section heading, section and Note filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
§100036. Medical Director.
Note     •     History

“Medical Director” means a physician and surgeon, currently licensed in California, who provides medical oversight to the AED Service Provider as set forth in Section 100040.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3).
2. Renumbering of former section 100036 to section 100037 and renumbering of former section 100035 to section 100036, including amendment of section and Note, filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Amendment of section heading, section and Note filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
Article 2. General Training Provisions
§100037. Application and Scope.
Note     •     History

(a) Any training program, AED Service Provider or vendor may authorize a Lay Rescuer to apply and operate an AED on an unconscious person who is not breathing only if that Lay Rescuer has successfully completed a CPR and AED course according to the standards prescribed by this chapter.
(b) The training standards prescribed by this chapter shall apply to employees of the AED Service Provider and not to licensed, certified or other prehospital emergency medical care personnel as defined by section 1797.189 of the Health and Safety Code.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.189, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3). For prior history, see Register 87, No. 10.
2. Repealer of former section 100037 and renumbering of former section 100036 to section 100037, including amendment of section and Note, filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Amendment of section and Note filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
Article 3. AED Training Program Requirements
§100038. Required Topics and Skills.
Note     •     History

(a) CPR and AED training shall comply with the American Heart Association or American Red Cross CPR and AED guidelines. The training shall include the following topics and skills:
(1) basic CPR skills
(2) proper use, maintenance and periodic inspection of the AED;
(3) the importance of:
(A) early activation of an Internal Emergency Response Plan,
(B) early CPR,
(C) early defibrillation,
(D) early advanced life support, and
(E) internal emergency response plan, if applicable;
(4) overview of the local EMS system, including 9-1-1 access, and interaction with EMS personnel;
(5) assessment of an unconscious patient, to include evaluation of airway and breathing, to determine appropriateness of applying and activating an AED;
(6) information relating to defibrillator safety precautions to enable the individual to administer shock without jeopardizing the safety of the patient or the Lay Rescuer or other nearby persons to include, but not be limited to;
(A) age and weight restrictions for use of the AED,
(B) presence of water or liquid on or around the victim,
(C) presence of transdermal medications, and
(D) implantable pacemakers or automatic implantable cardioverter-defibrillators;
(7) recognition that an electrical shock has been delivered to the patient and that the defibrillator is no longer charged;
(8) rapid, accurate assessment of the patient's post-shock status to determine if further activation of the AED is necessary; and,
(9) the responsibility for continuation of care, such as continued CPR and repeated shocks, as indicated, until the arrival of more medically qualified personnel.
(b) The Lay Rescuer shall maintain current CPR and AED training, as prescribed in this Chapter.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3).
2. Amendment of article heading and amendment of section and Note filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Amendment of section heading, section and Note filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
§100039. Testing.
Note     •     History

CPR and AED training for Lay Rescuers shall include a competency demonstration of skills on a manikin, directly observed by an instructor which tests the specified conditions prescribed in Section 100038.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3).
2. Amendment of section and Note filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Repealer of former section 100039 and renumbering of former section 100040 to new section 100039, including amendment of section and Note, filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
Article 4. Operational AED Service Provider and Vendor Requirements
§100040. Medical Director Requirements.
Note     •     History

Any AED Service Provider shall have a physician Medical Director who:
(a) Meets the qualifications of a Medical Director per Section 100036 of this Chapter.
(b) Shall ensure that AED Service Provider's Lay Rescuer CPR and AED training meets the requirements of this Chapter.
(c) Shall review each incident where emergency care or treatment on a person in cardiac arrest is rendered and to ensure that the Internal Emergency Response Plan, along with the CPR and AED standards that the Lay Rescuer was trained to, were followed.
(d) Is involved in developing an Internal Emergency Response Plan and to ensure compliance for training, notification and maintenance as set forth in this Chapter.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3). 
2. Amendment of section and Note filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Renumbering of former section 100040 to section 100039, relocation and amendment of article 4 heading from preceding section 100042 to preceding section 100040 and new section 100040 filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
§100041. AED Service Provider Operational Requirements.
Note     •     History

(a) An AED Service Provider shall ensure their internal AED programs include all of the following:
(1) Development of a written Internal Emergency Response Plan which describes the procedures to be followed in the event of an emergency that may involve the use of an AED and complies with the regulations contained in this Chapter. The written Internal Emergency Response Plan shall include, but not be limited to, immediate notification of 9-1-1 and trained office personnel at the start of AED procedures.
(2) Maintain AEDs in working order and maintain current protocols on the AEDs.
(3) That all applicable local EMS policies and procedures are followed.
(4) That Lay rescuers complete a training course in CPR and AED use and maintain current CPR and AED training that complies with requirements of this Chapter at a minimum of every two years and are familiar with the Internal Emergency Response Plan.
(5) For every AED unit acquired up to five units, no less than one Lay Rescuer per AED unit shall complete a training course in CPR and AED use that complies with the requirements of this chapter. After the first five AED units are acquired, one Lay Rescuer shall be trained for each additional five AED units acquired. AED Service Providers shall have Lay Rescuers who should be on site to respond to an emergency that may involve the use of an AED unit during normal operating hours.
(6) That the defibrillator is maintained and regularly tested according to the operation and maintenance guidelines set forth by the manufacturer, and according to any applicable rules and regulations set forth by the governmental authority under the federal Food and Drug Administration and any other applicable state and federal authority.
(7) That the defibrillator is checked for readiness after each use and at least once every 30 days if the AED has not been used in the previous 30 days. Records of these periodic checks shall be maintained.
(8) That a mechanism exists to ensure that any person, either a Lay Rescuer as part of the AED service provider, or member of the general public who renders emergency care or treatment on a person in cardiac arrest by using the service provider's AED activates the emergency medical services system as soon as possible, and reports any use of the AED Medical Director and the local EMS agency.
(9) That there is involvement of a currently licensed California physician and surgeon that meets the requirements of Section 100040 of this Chapter.
(10) That a mechanism exists that will assure the continued competency of the CPR and AED trained individuals in the AED Service Provider's employ to include periodic training and skills proficiency demonstrations.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 12-6-90; operative 1-5-91 (Register 91, No. 3). For prior history, see Register 87, No. 10.
2. Amendment of section and Note filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
3. Repealer of former section 100041 and renumbering of former section 100042 to new section 100041, including amendment of section heading, section and Note, filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
§100042. AED Vendor Requirements.
Note     •     History

Any AED vendor who sells an AED to an AED Service Provider shall notify the AED Service Provider, at the time of purchase, both orally and in writing of the AED Service Provider's responsibility to comply with the regulations contained in the Chapter.
(a) Notify the local EMS agency of the existence, location, and type of AED at the time it is acquired.
(b) Provide to the acquirer of the AED all information governing the use, installation, operation, training, and maintenance of the AED.
NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190, 1797.196 and 104113, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New article 4 (sections 100042-100043) and section filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3).
2. Relocation of article 4 heading from preceding section 100042 to preceding section 100040, renumbering of former section 100042 to section 100041 and renumbering of former section 100043 to new section 100042, including amendment of section and Note, filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
§100043. AED Vendor Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107 and 1797.190, Health and Safety Code. Reference: Sections 1797.5, 1797.190 and 1797.196, Health and Safety Code; and Section 1714.21, Civil Code.
HISTORY

1. New section filed 1-13-2003; operative 2-12-2003 (Register 2003, No. 3). For prior history, see Register 87, No. 10.
2. Renumbering of former section 100043 to new section 100042 filed 12-9-2008; operative 1-8-2008 (Register 2008, No. 50).
Chapter 2. Emergency Medical Technician
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.109, 1797.170 and 1797.208, Health and Safety Code.
HISTORY

1. New Division 9 (Chapter 2, Articles 1-6, Sections 100005-100055, not consecutive) filed 9-1-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 36).
2. Editorial renumbering of Division 9 to Sections 100000-100055, not consecutive (Register 82, No. 39).
3. Editorial consolidation of HISTORY NOTES to reflect renumbering and amendment of Sections 100005-100027, not consecutive, to Sections 100057-100070, not consecutive, filed 2-6-87; operative 3-8-87 (Register 87, No. 52). For prior history of Sections 100005-100027, not consecutive, see Register 87, No. 10).
4. Editorial consolidation of HISTORY NOTES to reflect renumbering and amendment of Sections 100029-100041, not consecutive, to Sections 100071-100079, not consecutive filed 2-6-87; effective thirtieth day thereafter (Register 91, No. 3). For prior history, see Register 87, No. 10.
5. Editorial consolidation of HISTORY NOTES to reflect renumbering and amendment of Sections 100043-100055, not consecutive, to Sections 100080-100085, not consecutive filed 2-6-87; effective thirtieth day thereafter (Register 2003, No. 3). For prior history, see Register 87, No. 10.
6. Amendment of chapter heading filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 1. Definitions
§100056. Automated External Defibrillator or AED.
Note     •     History

“Automated external defibrillator or AED” means an external defibrillator capable of cardiac rhythm analysis that will charge and deliver a shock, either automatically or by user interaction, after electronically detecting and assessing ventricular fibrillation or rapid ventricular tachycardia.
NOTE

Authority cited: Sections 1797.107 and 1797.170, Health and Safety Code. Reference: Sections 1797.52, 1797.107 and 1797.170, Health and Safety Code.
HISTORY

1. New section filed 7-21-88; operative 7-21-88 (Register 88, No. 31).
2. Amendment of section heading and text filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of section heading and section filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
§100056.1. EMT AED Service Provider.
Note     •     History

An AED service provider means an agency or organization which is responsible for, and is approved to operate, an AED.
NOTE

Authority cited: Sections 1797.107 and 1797.170, Health and Safety Code. Reference: Sections 1797.52, 1797.107 and 1797.170, Health and Safety Code.
HISTORY

1. New section filed 7-21-88; operative 7-21-88 (Register 88, No. 31).
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Renumbering of former section 100056.1 to section 100056.2 and new section 100056.1 filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
§100056.2. Manual Defibrillator.
Note     •     History

“Manual Defibrillator” means a monitor/defibrillator that has no capability or limited capability for rhythm analysis and will charge and deliver a shock only at the command of the operator.
NOTE

Authority cited: Sections 1797.107 and 1797.170, Health and Safety Code. Reference: Sections 1797.52, 1797.107 and 1797.170, Health and Safety Code.
HISTORY

1. Renumbering of former section 100056.1 to section 100056.2 filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2). For prior history, see Register 94, No. 24.
§100057. Emergency Medical Technician Approving Authority.
Note     •     History

“Emergency Medical Technician (EMT) approving authority” means an agency or person authorized by this Chapter to approve an EMT training program, as follows:
(a) The EMT approving authority for an EMT training program conducted by a qualified statewide public safety agency shall be the director of the Emergency Medical Services Authority (Authority).
(b) The EMT approving authority for any other EMT training programs not included in subsection (a) shall be the local EMS agency (LEMSA) within that jurisdiction.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.94, 1797.109, 1797.170 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100005 to section 100057 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100058. California EMT Certifying Entity.
Note     •     History

“California EMT certifying entity”, or “EMT certifying entity”,  or “certifying entity” means a public safety agency or the Office of the State Fire Marshal, if the agency has a training program for EMT personnel that is approved pursuant to the standards developed pursuant to Section 1797.109 of the Health and Safety Code, or the medical director of a LEMSA.
NOTE

Authority cited: Sections 1797.62, 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.109, 1797.118, 1797.170, 1797.210 and 1797.216, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100007 to section 100058 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of subsection (a), new subsection (b) and subsection relettering filed 3-7-2006; operative 4-6-2006 (Register 2006, No. 10).
4. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
5. Amendment of section heading and section filed 1-25-2013; operative 4-1-2013 (Register 2013, No. 4). 
§100059. EMT Certifying Written Examination.
Note     •     History

“EMT Certifying Written Examination” means the National Registry of Emergency Medical Technicians EMT-Basic Written Examination to test an individual applying for certification as an EMT. Examination results will be valid for application purposes two (2) years from the date of examination. 
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.175, Health and Safety Code. Reference: Sections 1797.63, 1797.170, 1797.175, 1797.184, 1797.210 and 1797.216, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100009 to section 100059 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of section and Note filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Amendment of section heading, repealer and new section and amendment of Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100059.1. EMT Certifying Skills Examination.
Note     •     History

“Certifying Skills Examination” means the National Registry of Emergency Medical Technicians EMT-Basic Skills Examination to test an individual applying for certification as an EMT. Examination results will be valid for one (1) year for the purpose of being eligible for the National Registry of Emergency Medical Technicians EMT-Basic Written Examination.
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.175, Health and Safety Code. Reference: Sections 1797.63, 1797.170, 1797.175, 1797.184, 1797.210 and 1797.216, Health and Safety Code.
HISTORY

1. New section filed 7-21-88; operative 7-21-88 (Register 88, No. 31).
2. Amendment of section heading and text filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment filed 11-25-97 as an emergency; operative 11-25-97 (Register 97, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-25-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-25-97 order transmitted to OAL 3-16-98 and filed 4-24-98 (Register 98, No. 17).
5. Renumbering of former section 100056.1 to section 100056.2 filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2). For prior history, see Register 94, No. 24.
6. Amendment filed 4-16-2001 as an emergency; operative 4-16-2001 (Register 2001, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-2001 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 4-16-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2003, No. 10).  
8. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
9. Renumbering of former section 100059.1 to section 100059.2 and new section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100059.2. EMT Optional Skills Medical Director.
Note     •     History

“EMT Optional skills medical director” means a Physician and Surgeon licensed in California who is certified by or prepared for certification by either the American Board of Emergency Medicine or the Advisory Board for Osteopathic Specialties and is appointed by the LEMSA medical director to be responsible for any of the EMT Optional Skills that are listed in Section 100064 of this Chapter including medical control. Waiver of the board-certified requirement may be granted by the LEMSA medical director if such physicians are not available for approval.
NOTE

Authority cited: Sections 1797.107 and 1797.170, Health and Safety Code. Reference: Sections 1797.52, 1797.90, 1797.107, 1797.170, 1797.176 and 1797.202, Health and Safety Code.
HISTORY

1. Renumbering of former section 100059.1 to section 100059.2, including amendment of section heading and section, filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21). For prior history, see Register 2003, No. 10).
§100060. Emergency Medical Technician.
Note     •     History

“Emergency Medical Technician,” “EMT-Basic” or “EMT” means a person who has successfully completed an EMT course that meets the requirements of this Chapter, has passed all required tests, and has been certified by a California EMT certifying entity.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.61, 1797.80 and 1797.170, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100011 to section 100060 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10).
2. Amendment of section heading and text filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
5. Amendment filed 1-25-2013; operative 4-1-2013 (Register 2013, No. 4). 
§100061. EMT Local Accreditation.
Note     •     History

“Local accreditation” or “accreditation” or “accredited to practice” as used in this Chapter, means authorization by the LEMSA to practice the optional skill(s) specified in Section 100064. Such authorization assures that the EMT has been oriented to the LEMSA and trained in the optional skill(s) necessary to achieve the treatment standard of the jurisdiction.
NOTE

Authority cited: Sections 1797.107 and 1797.170, Health and Safety Code. Reference: Sections 1797.170, 1797.176, 1797.177, 1797.178, 1797.200, 1797.204, 1797.206, 1797.210 and 1797.214, Health and Safety Code.
HISTORY

1. New section filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10).
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100061.1. Emergency Medical Services Quality Improvement Program.
Note     •     History

“Emergency Medical Services Quality Improvement Program” or “EMSQIP” means methods of evaluation that are composed of structure, process, and outcome evaluations which focus on improvement efforts to identify root causes of problems, intervene to reduce or eliminate these causes, and take steps to correct the process, and recognize excellence in performance and delivery of care, pursuant to the provisions of Chapter 12 of this Division. This is a model program which will develop over time and is to be tailored to the individual organization's quality improvement needs and is to be based on available resources for the EMSQIP. 
NOTE

Authority cited: Sections 1797.103, 1797.107 and 1797.170, Health and Safety Code. Reference: Sections 1797.204 and 1797.220, Health and Safety Code.
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
2. Amendment filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100061.2. Authority.
Note     •     History

“Authority” means the Emergency Medical Services Authority. 
NOTE

Authority cited: Sections 1797.107 and 1797.170, Health and Safety Code. Reference: Section 1797.54, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 2. General Provisions
§100062. Application of Chapter to Operation of Ambulances.
Note     •     History

(a) Except as provided herein, the attendant on an ambulance operated in emergency service, or the driver if there is no attendant, shall possess a valid and current California EMT certificate. This requirement shall not apply during officially declared states of emergency and under conditions specified in Health and Safety Code, Section 1797.160.
(b) The requirements for EMT certification of ambulance attendants shall not apply, unless the individual chooses to be certified, to the following:
(1) Physicians currently licensed in California.
(2) Registered nurses currently licensed in California.
(3) Physicians' assistants currently licensed in California.
(4) Paramedics currently licensed in California.
(5) Advanced Emergency Medical Technicians (Advanced EMTs) currently certified in California.
(c) EMTs who are not currently certified in California may temporarily perform their scope of practice in California, when approved by the medical director of the LEMSA, in order to provide emergency medical services in response to a request, if all the following conditions are met:
(1) The EMTs are registered by the National Registry of Emergency Medical Technicians or licensed or certified in another state or under the jurisdiction of a branch of the Armed Forces including the Coast Guard of the United States, National Park Service, United States Department of the Interior--Bureau of Land Management, or the United States Forest Service; and
(2) The EMTs restrict their scope of practice to that for which they are licensed or certified.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.160 and 1797.170, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100013 to section 100062 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of subsection (b)(4) filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Amendment filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100063. Scope of Practice of Emergency Medical Technician.
Note     •     History

(a) During training, while at the scene of an emergency, during transport of the sick or injured, or during interfacility transfer, a certified EMT or supervised EMT student is authorized to do any of the following:
(1) Evaluate the ill and injured.
(2) Render basic life support, rescue and emergency medical care to patients.
(3) Obtain diagnostic signs to include, but not be limited to, temperature, blood pressure, pulse and respiration rates, pulse oximetry, level of consciousness, and pupil status.
(4) Perform cardiopulmonary resuscitation (CPR), including the use of mechanical adjuncts to basic cardiopulmonary resuscitation.
(5) Administer oxygen.
(6) Use the following adjunctive airway and breathing aids:
(A) Oropharyngeal airway;
(B) Nasopharyngeal airway;
(C) Suction devices;
(D) Basic oxygen delivery devices for supplemental oxygen therapy including, but not limited to, humidifiers, partial rebreathers, and venturi masks; and
(E) Manual and mechanical ventilating devices designed for prehospital use including continuous positive airway pressure.
(7) Use various types of stretchers and spinal immobilization devices.
(8) Provide initial prehospital emergency care of trauma, including, but not limited to:
(A) Bleeding control through the application of tourniquets;
(B) Use of hemostatic dressings from a list approved by the Authority;
(C) Spinal immobilization;
(D) Seated spinal immobilization;
(E) Extremity splinting; and
(F) Traction splinting.
(9) Administer over the counter medications when approved by the medical director of the LEMSA, including, but not limited to:
(A) Oral glucose or sugar solutions; and
(B) Aspirin.
(10) Extricate entrapped persons.
(11) Perform field triage.
(12) Transport patients.
(13) Mechanical patient restraint.
(14) Set up for ALS procedures, under the direction of an Advanced EMT or Paramedic.
(15) Perform automated external defibrillation.
(16) Assist patients with the administration of physician-prescribed devices including, but not limited to, patient-operated medication pumps, sublingual nitrogylcerin, and self-administered emergency medications, including epinephrine devices.
(b) In addition to the activities authorized by subdivision (a) of this Section, the medical director of the LEMSA may also establish policies and procedures to allow a certified EMT or a supervised EMT student in the prehospital setting and/or during interfacility transport to:
(1) Monitor intravenous lines delivering glucose solutions or isotonic balanced salt solutions including Ringer's lactate for volume replacement;
(2) Monitor, maintain, and adjust if necessary in order to maintain, a preset rate of flow and turn off the flow of intravenous fluid; 
(3) Transfer a patient, who is deemed appropriate for transfer by the transferring physician, and who has nasogastric (NG) tubes, gastrostomy tubes, heparin locks, foley catheters, tracheostomy tubes and/or indwelling vascular access lines, excluding arterial lines; and
(4) Monitor preexisting vascular access devices and intravenous lines delivering fluids with additional medications pre-approved by the Director of the Authority.  Approval of such medications shall be obtained pursuant to the following procedures:
(A) The medical director of the LEMSA shall submit a written request, Form #EMSA-0391, revised March 18, 2003, and obtain approval from the director of the Authority, who shall consult with a committee of LEMSA medical directors named by the Emergency Medical Services Medical Directors' Association of California, Inc. (EMDAC), for any additional medications that in his/her professional judgement should be approved for implementation of Section 100063(b)(4).
(B) The Authority shall, within fourteen (14) working days of receiving the request, notify the medical director of the LEMSA submitting the request that the request has been received, and shall specify what information, if any, is missing.
(C) The director of the Authority shall render the decision to approve or disapprove the additional medications within ninety (90) calendar days of receipt of the completed request.
(c) The scope of practice of an EMT shall not exceed those activities authorized in this Section, Section 100064, and Section 100064.1.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.170 and 1797.221, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100015 to section 100063 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment of section and Note filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. New subsection (a)(14) filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
4. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
5. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
6. Amendment filed 1-25-2013; operative 4-1-2013 (Register 2013, No. 4). 
§100063.1. EMT AED Service Provider.
Note     •     History

An EMT AED service provider is an agency or organization that employs individuals as defined in Section 100060, and who obtain AEDs for the purpose of providing AED services to the general public.
(a) An EMT AED service provider shall be approved by the LEMSA, or in the case of state or federal agencies, the Authority, prior to beginning service. The Authority shall notify LEMSAs of state or federal agencies approved as EMT AED service providers. In order to receive and maintain EMT AED service provider approval, an EMT AED service provider shall comply with the requirements of this section.
(b) An EMT AED service provider approval may be revoked or suspended for failure to maintain the requirements of this section.
(c) An EMT AED service provider applicant shall be approved if they meet and provide the following:
(1) Provide orientation of AED authorized personnel to the AED;
(2) Ensure maintenance of AED equipment;
(3) Prior to January 1, 2002, ensure initial training and, thereafter, continued competency of AED authorized personnel;
(4) Collect and report to the LEMSA where the defibrillation occurred, as required by the LEMSA but no less than annually, data that includes, but is not limited to:
(A) The number of patients with sudden cardiac arrest receiving CPR prior to arrival of emergency medical care.
(B) The total number of patients on whom defibrillatory shocks were administered, witnessed (seen or heard) and not witnessed; and
(C) The number of these persons who suffered a witnessed cardiac arrest whose initial monitored rhythm was ventricular tachycardia or ventricular fibrillation.
(5) Authorize personnel and maintain a current listing of all EMT AED service providers authorized personnel and provide listing upon request to the LEMSA or the Authority.
(d) An approved EMT AED service provider and their authorized personnel shall be recognized statewide.
(e) Authorized personnel means EMT personnel trained to operate an AED and authorized by an approved EMT AED service provider.
NOTE

Authority cited: Sections 1797.107 and 1797.170, Health and Safety Code. Reference: Sections 1797.170, 1797.178, 1797.196, 1797.200, 1797.202, 1797.204, 1797.220, 1798 and 1798.2, Health and Safety Code.
HISTORY

1. New section filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
2. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100064. EMT Optional Skills.
Note     •     History

(a) In addition to the activities authorized by Section 100063 of this Chapter, LEMSA may establish policies and procedures for local accreditation of an EMT student or certified EMT to perform any or all of the following optional skills specified in this section. 
(1) Accreditation for EMTs to practice optional skills shall be limited to those whose certificate is active and are employed within the jurisdiction of the LEMSA by an employer who is part of the organized EMS system.
(b) Use of perilaryngeal airway adjuncts.
(1) Training in the use of perilaryngeal airway adjuncts shall consist of not less than five (5) hours to result in the EMT being competent in the use of the device and airway control. Included in the above training hours shall be the following topics and skills:
(A) Anatomy and physiology of the respiratory system.
(B) Assessment of the respiratory system.
(C) Review of basic airway management techniques, which includes manual and mechanical.
(D) The role of the perilaryngeal airway adjuncts in the sequence of airway control.
(E) Indications and contraindications of the perilaryngeal airway adjuncts.
(F) The role of pre-oxygenation in preparation for the perilaryngeal airway adjuncts.
(G) perilaryngeal airway adjuncts insertion and assessment of placement.
(H) Methods for prevention of basic skills deterioration.
(I) Alternatives to the perilaryngeal airway adjuncts.
(2) At the completion of initial training a student shall complete a competency-based written and skills examination for airway management which shall include the use of basic airway equipment and techniques and use of perilaryngeal airway adjuncts.
(3) A LEMSA shall establish policies and procedures for skills competency demonstration that requires the accredited EMT to demonstrate skills competency at least every two (2) years, or more frequently as determined by EMSQIP.
(c) Administration of naloxone for suspected narcotic overdose.
(1) Training in the administration of naloxone shall consist of no less than two (2) hours to result in the EMT being competent in the administration of naloxone and managing a patient of a suspected narcotic overdose. Included in the training hours listed above shall be the following topics and skills:
(A) Common causative agents
(B) Assessment findings
(C) Management to include but not be limited to:
(D) Need for appropriate personal protective equipment and scene safety awareness
(E) Profile of Naloxone to include, but not be limited to:
1. Indications
2. Contraindications
3. Side/adverse effects
4. Routes of administration
5. Dosages
(F) Mechanisms of drug action
(G) Calculating drug dosages
(H) Medical asepsis
(I) Disposal of contaminated items and sharps
(2) At the completion of this training, the student shall complete a competency based written and skills examination for administration of naloxone which shall include:
(A) Assessment of when to administer naloxone,
(B) Managing a patient before and after administering naloxone,
(C) Using universal precautions and body substance isolation procedures during medication administration,
(D) Demonstrating aseptic technique during medication administration,
(E) Demonstrate preparation and administration of parenteral medications by a route other than intravenous.
(F) Proper disposal of contaminated items and sharps.
(3) A LEMSA shall establish policies and procedures for skills competency demonstration that requires the accredited EMT to demonstrate skills competency at least every two (2) years, or more frequently as determined by EMSQIP.
(d) Administration of epinephrine by auto-injector for suspected anaphylaxis and/or severe asthma.
(1) Training in the administration of epinephrine shall consist of no less than two (2) hours to result in the EMT being competent in the administration of epinephrine and managing a patient of a suspected anaphylactic reaction and/or experiencing severe asthma symptoms. Included in the training hours listed above shall be the following topics and skills:
(A) Common causative agents
(B) Assessment findings
(C) Management to include but not be limited to:
(D) Need for appropriate personal protective equipment and scene safety awareness
(E) Profile of epinephrine to include, but not be limited to:
1. Indications
2. Contraindications
3. Side/adverse effects
4. Administration by auto-injector
5. Dosages
6. Mechanisms of drug action
(F) Medical asepsis
(H) Disposal of contaminated items and sharps
(2) At the completion of this training, the student shall complete a competency based written and skills examination for administration of epinephrine which shall include:
(A) Assessment of when to administer epinephrine,
(B) Managing a patient before and after administering epinephrine,
(C) Using universal precautions and body substance isolation procedures during medication administration,
(D) Demonstrating aseptic technique during medication administration,
(E) Demonstrate preparation and administration of epinephrine by auto-injector.
(F) Proper disposal of contaminated items and sharps.
(3) A LEMSA shall establish policies and procedures for skills competency demonstration that requires the accredited EMT to demonstrate skills competency at least every two (2) years, or more frequently as determined by EMSQIP.
(e) Administer the medications listed in this subsection.
(1) Using prepackaged products, the following medications may be administered:
(A) Atropine
(B) Pralidoxime Chloride
(2) This training shall consist of no less than two (2) hours of didactic and skills laboratory training. In addition, basic weapons of mass destruction training is recommended. Training in the profile of medications listed in subsections (A and B) shall include, but not be limited to:
(A) Indications
(B) Contraindications
(C) Side/adverse effects
(D) Routes of administration
(E) Dosages
(F) Mechanisms of drug action
(G) Disposal of contaminated items and sharps
(H) Medication administration.
(3) At the completion of this training, the student shall complete a competency based written and skills examination for the administration of medications listed in this subsection which shall include:
(A) Assessment of when to administer these medications,
(B) Managing a patient before and after administering these medications,
(C) Using universal precautions and body substance isolation procedures during medication administration,
(D) Demonstrating aseptic technique during medication administration,
(E) Demonstrate the preparation and administration of medications by the intramuscular route.
(F) Proper disposal of contaminated items and sharps.
(4) A LEMSA shall establish policies and procedures for skills competency demonstration that requires the accredited EMT to demonstrate skills competency at least every two (2) years, or more frequently as determined by EMSQIP.
(f) The medical director of the LEMSA shall develop a plan for each optional skill allowed. The plan shall, at a minimum, include the following:
(1) A description of the need for the use of the optional skill.
(2) A description of the geographic area within which the optional skill will be utilized, except as provided in Section 100064(l).
(3) A description of the data collection methodology which shall also include an evaluation of the effectiveness of the optional skill.
(4) The policies and procedures to be instituted by the LEMSA regarding medical control and use of the optional skill.
(5) The LEMSA shall develop policies for accreditation action, pursuant to Chapter 6 of this Division, for individuals who fail to demonstrate competency.
(g) A LEMSA medical director who accredits EMTs to perform any optional skill shall:
(1) Establish policies and procedures for the approval of service provider(s) utilizing approved optional skills.
(2) Approve and designate selected base hospital(s) as the LEMSA deems necessary to provide direction and supervision of accredited EMTs in accordance with policies and procedures established by the LEMSA.
(3) Establish policies and procedures to collect, maintain and evaluate patient care records.
(4) Establish an EMSQIP. EMSQIP means a method of evaluation of services provided, which includes defined standards, evaluation of methodology(ies) and utilization of evaluation results for continued system improvement.  Such methods may include, but not be limited to, a written plan describing the program objectives, organization, scope and mechanisms for overseeing the effectiveness of the program.
(5) Establish policies and procedures for additional training necessary to maintain accreditation for each of the optional skills contained in this section, if applicable. 
(h) The LEMSA medical director may approve an optional skill medical director to be responsible for accreditation and any or all of the following requirements.
(1) Approve and monitor training programs for optional skills including refresher training within the jurisdiction of the LEMSA.
(2) Establish policies and procedures for continued competency in the optional skill which will consist of organized field care audits, periodic training sessions and/or structured clinical experience.
(i) The optional skill medical director may delegate the specific field care audits, training, and demonstration of competency, if approved by the LEMSA medical director, to a Physician, Registered Nurse, Physician Assistant, Paramedic, or Advanced EMT, licensed or certified in California or a physician licensed in another state immediately adjacent to the LEMSA jurisdiction.
(j) An EMT accredited in an optional skill may assist in demonstration of competency and training of that skill.
(k) In order to be accredited to utilize an optional skill, an EMT shall demonstrate competency through passage, by preestablished standards, developed and/or approved by the LEMSA, of a competency-based written and skills examination which tests the ability to assess and manage the specified condition.
(l) During a mutual aid response into another jurisdiction, an EMT may utilize the scope of practice for which s/he is trained, certified and accredited according to the policies and procedures established by his/her certifying or accrediting LEMSA.
NOTE

Authority cited: Sections 1797.107 and 1797.170, Health and Safety Code. Reference: Sections 1797.8, 1797.52, 1797.58, 1797.90, 1797.170, 1797.173, 1797.175, 1797.176, 1797.202, 1797.208, 1797.212, 1798, 1798.2, 1798.100, 1798.102 and 1798.104, Health and Safety Code.
HISTORY

1. New section filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10).
2. Amendment filed 7-21-88; operative 7-21-88 (Register 88, No. 31).
3. Amendment of section and Note filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
4. Amendment of subsection (a), new subsections (a)(3)-(a)(3)(C), and amendment of subsections (d)(3) and (h) and Note filed 11-25-97 as an emergency; operative 11-25-97 (Register 97, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-25-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-25-97 order, including additional amendment of subsections (a)(3)(C) and (d)(3), new subsection (g) and subsection relettering, transmitted to OAL 3-16-98 and filed 4-24-98 (Register 98, No. 17).
6. Amendment of section heading and section filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
7. Amendment of section and new form #EMSA-0391 (Rev. 1/94) filed 4-16-2001 as an emergency; operative 4-16-2001 (Register 2001, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-2001 or emergency language will be repealed by operation of law on the following day.
8. Reinstatement of section as it existed prior to 4-16-2001 emergency amendment (including repealer of form EMSA-0391) by operation of Government Code section 11346.1(f) (Register 2003, No. 10).  
9. Editorial correction restoring inadvertently deleted subsection (a)(3)(C) (Register 2004, No. 37).
10. Amendment of section and Note filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
11. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100064.1. EMT Trial Studies.
Note     •     History

An EMT may perform any prehospital emergency medical care treatment procedure(s) or administer any medication(s) on a trial basis when approved by the medical director of the LEMSA and the director of the Authority.  The medical director of the LEMSA shall review the medical literature on the procedure or medication and determine in his/her professional judgement whether a trial study is needed.
(a) The medical director of the LEMSA shall review a trial study plan which, at a minimum, shall include the following:
(1) A description of the procedure(s) or medication(s) proposed, the medical conditions for which they can be utilized, and the patient population that will benefit.
(2) A compendium of relevant studies and material from the medical literature.
(3) A description of the proposed study design, including the scope of study and method of evaluating the effectiveness of the procedure(s) or medication(s), and expected outcome.
(4) Recommended policies and procedures to be instituted by the LEMSA regarding the use and medical control of the procedure(s) or medication(s) used in the study.
(5) A description of the training and competency testing required to implement the study.  Training on subject matter shall be consistent with the related topic(s) and skill(s) specified in Section 100159, Chapter 4 (Paramedic regulations), Division 9, Title 22, California Code of Regulations.
(b) The medical director of the LEMSA shall appoint a local medical advisory committee to assist with the evaluation and approval of trial studies.  The membership of the committee shall be determined by the medical director of the LEMSA, but shall include individuals with knowledge and experience in research and the effect of the proposed study on the EMS system.
(c) The medical director of the LEMSA shall submit the proposed study and a copy of the proposed trial study plan at least forty-five (45) calendar days prior to the proposed initiation of the study to the director of the Authority for approval in accordance with the provisions of Section 1797.221 of the Health and Safety Code.  The Authority shall inform the Commission on EMS of studies being initiated.
(d) The Authority shall notify the medical director of the LEMSA submitting its request for approval of a trial study within fourteen (14) working days of receiving the request that the request has been received.
(e) The Director of the Authority shall render the decision to approve or disapprove the trial study within forty-five (45) calendar days of receipt of all materials specified in subsections (a) and (b) of this section.
(f) Within eighteen (18) months of the initiation of the procedure(s) or medication(s), the medical director of the LEMSA shall submit to the Commission on EMS a written report which includes at a minimum the progress of the study, number of patients studied, beneficial effects, adverse reactions or complications, appropriate statistical evaluation, and general conclusion.
(g) The Commission on EMS shall review the above report within two (2) meetings and advise the Authority to do one of the following:
(1) Recommend termination of the study if there are adverse effects or if no benefit from the study is shown.
(2) Recommend continuation of the study for a maximum of eighteen (18) additional months if potential but inconclusive benefit is shown.
(3) Recommend the procedure or medication be added to the EMT scope of practice.
(h) If option (g)(2) is selected, the Commission on EMS may advise continuation of the study as structured or alteration of the study to increase the validity of the results.
(i) At the end of the additional eighteen (18) month period, a final report shall be submitted to the Commission on EMS with the same format as described in (f) above.
(j) The Commission on EMS shall review the final report and advise the Authority to do one of the following:
(1) Recommend termination or further extension of the study.
(2) Accept the study recommendations.
(3) Recommend the procedure or medication be added to the EMT scope of practice.
(k) The Authority may require a trial study(ies) to cease after thirty-six (36) months.
NOTE

Authority cited: Section 1797.107 and 1797.170, Health and Safety Code.  Reference: Sections 1797.170 and 1797.221, Health and Safety Code.
HISTORY

1. New section filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
2. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 3. Program Requirements for EMT Training Programs
§100065. Approved Training Programs.
Note     •     History

(a) The purpose of an EMT training program shall be to prepare individuals to render prehospital basic life support at the scene of an emergency, during transport of the sick and injured, or during interfacility transfer within an organized EMS system.
(b) EMT training may be offered only by approved training programs. Eligibility for program approval shall be limited to:
(1) Accredited universities and colleges including junior and community colleges, school districts, and private post-secondary schools as approved by the State of California, Department of Consumer Affairs, Bureau of Private Postsecondary and Vocational Education.
(2) Medical training units of a branch of the Armed Forces including the Coast Guard of the United States.
(3) Licensed general acute care hospitals which meet the following criteria:
(A) Hold a special permit to operate a Basic or Comprehensive Emergency Medical Service pursuant to the provisions of Division 5; and
(B) provide continuing education to other health care professionals.
(4) Agencies of government including public safety agencies.
(5) LEMSAs.
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.173, Health and Safety Code. Reference: Sections 1797.170, 1797.173, 1797.208 and 1797.213 Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100017 to section 100065 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of subsection (b)(1) filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Amendment of article heading and subsections (a), (b) and (b)(5) filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100066. Procedure for EMT Training Program Approval.
Note     •     History

(a) Eligible training programs may submit a written request for EMT program approval to an EMT approving authority.
(b) The EMT approving authority shall review and approve the following prior to approving an EMT training program:
(1) A statement verifying usage of the U.S. Department of Transportation (DOT) National EMS Education Standards (DOT HS 811 077A, January 2009).
(2) A statement verifying CPR training equivalent to the current American Heart Association's Guidelines for Cardiopulmonary Resuscitation and Emergency Cardiovascular Care at the Healthcare Provider level is a prerequisite for admission to an EMT basic course.
(3) Samples of written and skills examinations used for periodic testing.
(4) A final skills competency examination.
(5) A final written examination.
(6) The name and qualifications of the program director, program clinical coordinator, and principal instructor(s).
(7) Provisions for clinical experience, as defined in Section 100068 of this Chapter.
(8) Provisions for course completion by challenge, including a challenge examination (if different from final examination).
(9) Provisions for a twenty-four (24) hour refresher course including subdivisions (1)-(6) above, required for recertification.
(A) A statement verifying usage of the United States Department of Transportation's EMT-Basic Refresher National Standard Curriculum, DOT HS 808 624, September 1996. The U.S. Department of Transportation's EMT-Basic Refresher National Standard Curriculum can be accessed through the U.S. Department of Transportation's website, http://www.nhtsa.gov/people/injury/ems/pub/basicref.pdf.
(10) The location at which the courses are to be offered and their proposed dates.
(11) Table of contents listing the required information listed in this subdivision, with corresponding page numbers.
(c) In addition to those items listed in subdivision (b) of this Section, the Authority shall assure that a statewide public safety agency meets the following criteria in order to approve that agency as qualified to conduct a statewide EMT training program:
(1) Has a statewide role and responsibility in matters affecting public safety.
(2) Has a centralized authority over its EMT training program instruction which can correct any elements of the program found to be in conflict with this Chapter.
(3) Has a management structure which monitors all of its EMT training programs.
(4) Has designated a liaison to the Authority who shall respond to problems or conflicts identified in the operation of its EMT training program.
(5) In addition, these agencies shall meet the following additional requirements:
(A) Designate the principal instructor as a liaison to the EMT approving authority for the county in which the training is conducted; and
(B) Consult with the EMT approving authority for the county in which the training is located in developing the EMS System Orientation portion of the EMT course.
(d) The EMT approving authority shall make available to the Authority, upon request, any or all materials submitted pursuant to this Section by an approved EMT training program in order to allow the Authority to make the determination required by Section 1797.173 of the Health and Safety Code.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.170, 1797.173, 1797.208 and 1797.213, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100019 to section 100066 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of subsection (b)(1), repealer of subsections (b)(2)-(3), new subsection (b)(2) and subsection renumbering filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Amendment of subsection (b)(9) filed 3-7-2006; operative 4-6-2006 (Register 2006, No. 10).
5. Amendment of subsection (b)(2) filed 2-22-2007; operative 3-24-2007 (Register 2007, No. 8).
6. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
7. Amendment of subsections (b)(1)-(2), (b)(9)-(b)(9)(A), (b)(11), (c) and (d) filed 1-25-2013; operative 4-1-2013 (Register 2013, No. 4). 
§100067. Didactic and Skills Laboratory.
Note     •     History

An approved EMT training program shall assure that no more than ten (10) students are assigned to one (1) principal instructor/teaching assistant during skills practice/laboratory sessions.
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.173, Health and Safety Code. Reference: Sections 1797.170, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. New section filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10).
2. Amendment filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100068. Clinical Experience for EMT.
Note     •     History

Each approved EMT training program shall have written agreement(s) with one or more general acute care hospital(s) and/or operational ambulance provider(s) or rescue vehicle provider(s) for the clinical portion of the EMT training course. The written agreement(s) shall specify the roles and responsibilities of the training program and the clinical provider(s) for supplying the supervised clinical experience for the EMT student(s).  Supervision for the clinical experience shall be provided by an individual who meets the qualifications of a principal instructor or teaching assistant. No more than three (3) students will be assigned to one (1) qualified supervisor during the supervised clinical experience.
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.173, Health and Safety Code. Reference: Sections 1797.170, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100021 to section 100068 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment of section heading and text filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100069. EMT Training Program Notification.
Note     •     History

(a) In accordance with Section 100057 the EMT Approving Authority shall notify the training program submitting its request for training program approval within seven (7) working days of receiving the request that:
(1) The request has been received,
(2) The request contains or does not contain the information requested in Section 100066 of this Chapter and,
(3) What information, if any, is missing from the request.
(b) Program approval or disapproval shall be made in writing by the EMT approving authority to the requesting training program within a reasonable period of time after receipt of all required documentation. This time period shall not exceed three (3) months.
(c) The EMT approving authority shall establish the effective date of program approval in writing upon the satisfactory documentation of compliance with all program requirements.
(d) Program approval shall be for four (4) years following the effective date of program approval and may be renewed every four (4) years subject to the procedure for program approval specified in this section.
(e) Approved EMT training programs shall also receive approval as a continuing education CE provider effective the same date as the EMT training program approval. The CE program expiration date shall be the same expiration date as the EMT training program. The CE provider shall comply with all of the requirements contained in Chapter 11 of this Division.
(f) The LEMSA shall notify the Authority concurrently with the training program of approval, renewal of approval, or disapproval of the training program, and include the effective date. This notification is in addition to the name and address of training program, name of the program director, phone number of the contact person, frequency and cost for both basic and refresher courses, student eligibility, and program approval/ expiration date of program approval.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.109, 1797.170, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100023 to section 100069 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. New subsection (e) filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100070. Teaching Staff.
Note     •     History

Each EMT training program shall provide for the functions of administrative direction, medical quality coordination, and actual program instruction. Nothing in this section precludes the same individual from being responsible for more than one of the following functions if so qualified by the provisions of this section:
(a) Each EMT training program shall have an approved program director who shall be qualified by education and experience in methods, materials, and evaluation of instruction which shall be documented by at least forty (40) hours in teaching methodology. The courses include but are not limited to the following examples:
(1) State Fire Marshall Instructor 1A and 1B,
(2) National Fire Academy's Instructional Methodology,
(3) Training programs that meet the United States Department of Transportation/National Highway Traffic Safety Administration 2002 Guidelines for Educating EMS Instructors such as the National Association of EMS Educators Course.
(b) Duties of the program director, in coordination with the program clinical coordinator, shall include but not be limited to:
(1) Administering the training program.
(2) Approving course content.
(3) Approving all written examinations and the final skills examination.
(4) Coordinating all clinical and field activities related to the course.
(5) Approving the principal instructor(s) and teaching assistants.
(6) Signing all course completion records.
(7) Assuring that all aspects of the EMT training program are in compliance with this Chapter and other related laws.
(c) Each training program shall have an approved program clinical coordinator who shall be either a Physician, Registered Nurse, Physician Assistant, or a Paramedic currently licensed in California, and who shall have two (2) years of academic or clinical experience in emergency medicine or prehospital care in the last five (5) years. Duties of the program clinical coordinator shall include, but not be limited to:
(1) Responsibility for the overall quality of medical content of the program;
(2) Approval of the qualifications of the principal instructor(s) and teaching assistant(s).
(d) Each training program shall have a principal instructor(s), who may also be the program clinical coordinator or program director, who shall be qualified by education and experience in methods, materials, and evaluation of instruction, which shall be documented by at least forty hours in teaching methodology. The courses include but are not limited to the following examples:
(1) State Fire Marshal Instructor 1A and 1B,
(2) National Fire Academy's Instructional Methodology,
(3) Training programs that meet the United States Department of Transportation/National Highway Traffic Safety Administration 2002 Guidelines for Educating EMS Instructor such as the National Association of EMS Educators Course. and who shall:
(A) Be a Physician, Registered Nurse, Physician Assistant, or Paramedic currently licensed in California; or,
(B) Be an Advanced EMT or EMT who is currently certified in California.
(C) Have at least two (2) years of academic or clinical experience in the practice of emergency medicine or prehospital care in the last five (5) years.
(D) Be approved by the program director in coordination with the program clinical coordinator as qualified to teach the topics to which s/he is assigned. All principal instructors from approved EMT Training Programs shall meet the minimum qualifications as specified in subsection (d) of this Section.
(e) Each training program may have teaching assistant(s) who shall be qualified by training and experience to assist with teaching of the course and shall be approved by the program director in coordination with the program clinical coordinator as qualified to assist in teaching the topics to which the assistant is to be assigned. A teaching assistant shall be supervised by a principal instructor, the program director and/or the program clinical coordinator.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.109, 1797.170 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100027 to section 100070 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Amendment filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100071. EMT Training Program Review and Reporting.
Note     •     History

(a) All program materials specified in this Chapter shall be subject to periodic review by the EMT approving authority.
(b) All programs shall be subject to periodic on-site evaluation by the EMT approving authority.
(c) Any person or agency conducting a training program shall notify the EMT approving authority in writing, in advance when possible, and in all cases within thirty (30) calendar days of any change in program director, program clinical coordinator, principal instructor, change of address, phone number, and contact person.
(d) For the purposes of this Chapter, student records shall be kept for a period of not less than four (4) years. 
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.109, 1797.170 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100029 to section 100071 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100072. Withdrawal of EMT Training Program Approval.
Note     •     History

(a) Noncompliance with any criterion required for program approval, use of any unqualified teaching personnel, or noncompliance with any other applicable provision of this Chapter may result in denial, probation, suspension or revocation of program approval by the EMT training program approving authority.
Notification of noncompliance and action to place on probation, suspend, or revoke shall be done as follows:
(1) An EMT training program approving authority shall notify the approved EMT training program course director in writing, by registered mail, of the provisions of this Chapter with which the EMT training program is not in compliance.
(2) Within fifteen (15) working days of receipt of the notification of noncompliance, the approved EMT training program shall submit in writing, by registered mail, to the EMT training program approving authority one of the following:
(A) Evidence of compliance with the provisions of this Chapter, or
(B) A plan for meeting compliance with the provisions of this Chapter within sixty (60) calendar days from the day of receipt of the notification of noncompliance.
(3) Within fifteen (15) working days of receipt of the response from the approved EMT training program, or within thirty (30) calendar days from the mailing date of the noncompliance notification if no response is received from the approved EMT training program, the EMT training program approving authority shall notify the Authority and the approved EMT training program in writing, by registered mail, of the decision to accept the evidence of compliance, accept the plan for meeting compliance, place on probation, suspend or revoke the EMT training program approval.
(4) If the EMT training program approving authority decides to suspend, revoke, or place an EMT training program on probation the notification specified in subsection (a)(3) of this section shall include the beginning and ending dates of the probation or suspension and the terms and conditions for lifting of the probation or suspension or the effective date of the revocation, which may not be less than sixty (60) calendar days from the date of the EMT training program approving authority's letter of decision to the Authority and the EMT training program.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.109, 1797.170 and 1797.208, Health and Safety Code; and Section 11505, Government Code.
HISTORY

1. Renumbering and amendment of former section 100031 to section 100072 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100073. Components of an Approved Program.
Note     •     History

(a) An approved EMT training program shall consist of all of the following:
(1) The EMT course, including clinical experience;
(2) Periodic and a final written and skill competency examinations;
(3) A challenge examination; and
(4) A refresher course required for recertification.
(b) The LEMSA may approve a training program that offers only refresher course(s).
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.175, Health and Safety Code. Reference: Sections 1797.109, 1797.170 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100033 to section 100073 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100074. EMT Training Program Required Course Hours.
Note     •     History

(a) The EMT course shall consist of not less than one hundred sixty (160) hours.  These training hours shall be divided into:
(1) A minimum of one hundred thirty-six (136) hours of didactic instruction and skills laboratory; and
(2) A minimum of twenty-four (24) hours of supervised clinical experience. The clinical experience shall include a minimum of ten (10) documented patient contacts wherein a patient assessment and other EMT skills are performed and evaluated.
(3) Existing EMT training programs approved prior to the effective date of this chapter shall have a maximum of twelve (12) months from the date that this provision becomes effective to meet the minimum hourly requirements specified in this Section. 
(b) The minimum hours shall not include the examinations for EMT certification.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.170 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100035 to section 100072 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Amendment of subsections (a)-(a)(1) filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
4. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
5. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
6. Amendment of subsections (a)-(a)(2) and new subsection (a)(3) filed 1-25-2013; operative 4-1-2013 (Register 2013, No. 4). 
§100075. Required Course Content.
Note     •     History

(a) The content of an EMT course shall meet the objectives contained in the U.S. Department of Transportation (DOT) National EMS Education Standards (DOT HS 811 077A, January 2009), incorporated herein by reference, to result in the EMT being competent in the EMT basic scope of practice specified in Section 100063 of this Chapter. The U.S. DOT National EMS Education Standards (DOT HS 811 077A, January 2009) can be accessed through the U.S. DOT National Highway Traffic Safety Administration at the following website address: http://ems.gov/pdf/811077a.pdf
(b) Training in the use of hemostatic dressings shall consist of not less than one (1) hour to result in the EMT being competent in the use of the dressing. Included in the training shall be the following topics and skills:
(1) Review of basic methods of bleeding control to include but not be limited to direct pressure, pressure bandages, tourniquets, and hemostatic dressings;
(2) Review treatment of open chest wall injuries;
(3) Types of hemostatic dressings; and
(4) Importance of maintaining normal body temperature. 
(c) At the completion of initial training, a student shall complete a competency-based written and skills examination for controlling bleeding and the use of hemostatic dressings.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.170 and 1797.173, Health and Safety Code.
HISTORY

1. New section filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Amendment filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
3. Change without regulatory effect amending subsections (b)(2)(D) and (b)(2)(E) filed 3-2-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 9).
4. Editorial correction of subsection (p)(8) (Register 95, No. 44).
5. Amendment of subsection (f)(2)(G) and new subsections (f)(2)(G)1.-6. filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
6. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
7. Amendment filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
8. Repealer and new section filed 1-25-2013; operative 4-1-2013 (Register 2013, No. 4). 
§100076. Required Testing.
Note     •     History

Each component of an approved program shall include periodic and final competency-based examinations to test the knowledge and skills specified in this Chapter. Satisfactory performance in these written and skills examinations shall be demonstrated for successful completion of the course. Satisfactory performance shall be determined by preestablished standards, developed and/or approved by the EMT approving authority pursuant to Section 100066 of this Chapter.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.109, 1797.170, 1797.208 and 1797.210, Health and Safety Code.
HISTORY

1. Repealer of former section 100076 and renumbering and amendment of former section 100078 to section 100076 filed 6-13-94; operative 7-13-94 (Register 94, No. 24). For prior history, see Register 87, No. 10.
2. Amendment filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100077. EMT Training Program Course Completion Record.
Note     •     History

(a) An approved EMT training program provider shall issue a tamper resistant course completion record to each person who has successfully completed the EMT course, refresher course, or challenge examination.
(b) The course completion record shall contain the following:
(1) The name of the individual.
(2) The date of course completion.
(3) Type of EMT course completed (i.e., EMT, refresher, or challenge), and the number of hours completed.
(4) The EMT approving authority.
(5) The signature of the program director.
(6) The name and location of the training program issuing the record.
(7) The following statement in bold print. “This is not an EMT certificate”.
(c) This course completion record is valid to apply for certification for a maximum of two (2) years from the course completion date and shall be recognized statewide.
(d) The name and address of each person receiving a course completion record and the date of course completion shall be reported in writing to the appropriate EMT certifying authority within fifteen (15) days of course completion.
(e) Approved EMT training programs which are also approved EMT Certifying Entities need not issue a Course Completion record to those students who will receive certification from the same agency.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.109, 1797.170 and 1797.208, Health and Safety Code.
HISTORY

1. Repealer of former section 100077 and renumbering and amendment of former section 100079 to section 100077 filed 6-13-94; operative 7-13-94 (Register 94, No. 24). For prior history, see Register 87, No. 10.
2. Amendment filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
3. Amendment of subsections (a), (b)(3), (c) and (d) filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100078. EMT Training Program Course Completion Challenge Process.
Note     •     History

(a) An individual may obtain an EMT course completion record  from an approved EMT training program by successfully passing by pre-established standards, developed and/or approved by the EMT approving authority pursuant to Section 100066 of this Chapter, a course challenge examination if s/he meets one of the following eligibility requirements:
(1) The individual is currently licensed in the United States as a Physician, Registered Nurse, Physician Assistant, Vocational Nurse, or Licensed Practical Nurse.
(2) The individual provides documented evidence of having successfully completed an emergency medical service training program of the Armed Forces of the United States within the preceding two (2) years that meets the U.S. DOT National EMS Education Standards (DOT HS 811 077A, January 2009). Upon review of documentation, the EMT certifying entity may also allow an individual to challenge if  the individual was active in the last two (2) years in a prehospital emergency medical classification of the Armed Services of the United States, which does not have formal recertification requirements. These individuals may be required to take a refresher course or complete CE courses as a condition of certification.
(b) The course challenge examination shall consist of a competency-based written and skills examination to test knowledge of the topics and skills as prescribed in this Chapter.
(c) An approved EMT training program shall offer an EMT challenge examination no less than once each time the EMT course is given (unless otherwise specified by the program's EMT approving authority).
(d) An eligible individual shall be permitted to take the EMT course challenge examination only one (1) time.
(e) An individual who fails to achieve a passing score on the EMT course challenge examination shall successfully complete an EMT course to receive an EMT course completion record.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.109, 1797.170, 1797.208 and 1797.210, Health and Safety Code.
HISTORY

1. Repealer of former section 100078 to section 100076 and renumbering and amendment of former section 100080 to section 100078 filed 6-13-94; operative 7-13-94 (Register 94, No. 24). For prior history, see Register 87, No. 10.
2. Amendment of subsection (a)(1) filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
3. Amendment of subsection (a)(1) filed 3-7-2006; operative 4-6-2006 (Register 2006, No. 10).
4. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
5. Amendment of subsections (a)(1)-(2), (c) and (d) filed 1-25-2013; operative 4-1-2013 (Register 2013, No. 4). 
Article 4. EMT Certification
§100079. EMT Initial Certification Requirements.
Note     •     History

(a) An individual who meets one of the following criteria shall be eligible for initial certification upon fulfilling the requirements of subdivision (b) of this Section:
(1) Pass the written examination and skills examination specified in Sections 100059 and 100059.1 of this Chapter and have either:  
(A) A valid EMT course completion record or other documented proof of successful completion of any initial EMT course approved pursuant to Section 100066 of this Chapter dated within the last two (2) years, 
(B) Documentation of successful completion of an approved out-of-state initial EMT training course, within the last two (2) years, that meets the requirements of this Chapter, or
(C) A current and valid out-of-state EMT certificate.
(2) Possess a current and valid National Registry EMT-Basic registration certificate.
(3) Possess a current and valid out-of-state or National Registry EMT-Intermediate or Paramedic certificate.
(4) Possess a current and valid California Advanced EMT or EMT-II certification or a current and valid California Paramedic license.
(b) In addition to meeting one of the criteria listed in subdivision (a), to be eligible for initial certification, an individual shall:
(1) Be eighteen (18) years of age or older;
(2) Complete the criminal history background check requirement as specified in Article 4, Chapter 10 of this Division; 
(3) Complete an application form that contains this statement: “I hereby certify under penalty of perjury that all information on this application is true and correct to the best of my knowledge and belief, and I understand that any falsification or omission of material facts may cause forfeiture on my part of all rights to EMT certification in the state of California. I understand all information on this application is subject to verification, and I hereby give my express permission for this certifying entity to contact any person or agency for information related to my role and function as an EMT in California.”;
(4) Disclose any certification or licensure action:
(A) Against an EMT, Advanced EMT, or EMT-II certificate, or any denial of certification by a LEMSA, including any active investigations;
(B) Against a Paramedic license, or any denial of licensure by the Authority, including any active investigations; 
(C) Against any EMS-related certification or license of another state or other issuing entity, including any active investigations; or
(D) Against any health-related license.
(5) Pay the established fee.
(c) The EMT certifying entity shall issue a wallet-sized certificate card, pursuant to Section 100344, subdivisions (c) and (d), of Chapter 10 of this Division, within forty-five (45) days to eligible individuals who apply for an EMT certificate and successfully complete the requirements of this Chapter.
(d) The effective date of initial certification shall be the day the certificate is issued. 
(e) The expiration date for an initial EMT certificate shall be as follows:
(1) For an individual who meets the criteria listed in subdivisions (a)(1)(A) or (a)(1)(B) of this Section, the expiration date shall be the last day of the month two (2) years from the effective date of the initial certification. 
(2) For an individual who meets the criteria listed in subdivisions (a)(1)(C), (a)(2), (a)(3) or (a)(4) of this Section, the expiration date shall be the lesser of the following:
(A) The last day of the month two (2) years from the effective date of the initial certification; or 
(B) The expiration date of the certificate or license used to establish eligibility under subdivision (a) of this Section. 
(f) The EMT shall be responsible for notifying the certifying entity of her/his proper and current mailing address and shall notify the certifying entity in writing within thirty (30) calendar days of any and all changes of the mailing address, giving both the old and the new address, and EMT registry number.
(g) An EMT shall only be certified by one (1) certifying entity during a certification period.
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.175, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.63, 1797.109, 1797.118, 1797.175, 1797.177, 1797.185, 1797.210 and 1797.216, Health and Safety Code.
HISTORY

1. Relocation of article 4 heading, renumbering of former section 100079 to section 100077 and renumbering and amendment of former section 100081 to section 100079 filed 6-13-94; operative 7-13-94 (Register 94, No. 24). For prior history, see Register 87, No. 10.
2. Change without regulatory effect amending subsections (b) and (j) filed 3-2-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 9).
3. New subsection (g)(2)(E) and subsection relettering filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
4. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
5. Editorial correction of subsection (d) (Register 2004, No. 43).
6. Amendment of subsections (a)(1)-(2) and (j)(1) filed 3-7-2006; operative 4-6-2006 (Register 2006, No. 10).
7. Repealer of subsection (h), subsection relettering and amendment of Note filed 2-22-2007; operative 3-24-2007 (Register 2007, No. 8).
8. Amendment of article heading, section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
9. Amendment filed 1-25-2013; operative 4-1-2013 (Register 2013, No. 4). 
Article 5. Maintaining EMT Certification and Recertification
§100080. EMT Recertification.
Note     •     History

(a) In order to recertify, an EMT shall:
(1) Possess a current EMT Certification issued in California.
(2) Obtain at least twenty-four (24) hours of continuing education hours (CEH) from an approved CE provider in accordance with the provisions contained in Chapter 11 of this Division, or successfully complete a twenty-four (24) hour refresher course from an approved EMT training program. An individual who is currently licensed in California as a Paramedic or certified as an Advanced EMT or EMT-II, or who has been certified within six (6) months of the date of application, may be given credit for CEH earned as a Paramedic, Advanced EMT or EMT-II to satisfy the CE requirement for EMT recertification as specified in this Chapter.
(3) Complete an application form and other processes as specified in Section 100079, subdivisions (b)(3)-(b)(5), of this Chapter.
(4) Complete the criminal history background check requirements as specified in Article 4, Chapter 10 of this Division.
(5) Submit a completed skills competency verification form, EMSA-SCV (08/10). Form EMSA-SCV (08/10) is herein incorporated by reference. Skills competency shall be verified by direct observation of an actual or simulated patient contact. Skills competency shall be verified by an individual who is currently certified or licensed as an EMT, AEMT, Paramedic, Registered Nurse, Physician's Assistant, or Physician and who shall be designated by an EMS approved training program (EMT training program, AEMT training program, Paramedic training program or CE provider) or an EMS service provider. EMS service providers include, but are not limited to, public safety agencies, private ambulance providers and other EMS providers. Verification of skills competency shall be valid for a maximum of two (2) years for the purpose of applying for recertification.
(b) The EMT certifying entity shall issue a wallet-sized certificate card, pursuant to Section 100344, subdivisions (c) and (d), of Chapter 10 of this Division, within forty-five (45) days to eligible individuals who apply for EMT recertification and successfully complete the requirements of this Chapter.
(c) If the EMT recertification requirements are met within six (6) months prior to the current certification expiration date, the EMT Certifying entity shall make the effective date of recertification the date immediately following the expiration date of the current certificate. The certification will expire two (2) years from the day prior to the effective date. 
(d) If the EMT recertification requirements are met greater than six (6) months prior to the expiration date, the EMT Certifying entity shall make the effective date of recertification the date the individual satisfactorily completes all certification requirements and has applied for recertification. The certification expiration date will be the last day of the month two (2) years from the effective date. 
(e) A California certified EMT who is a member of the Armed Forces of the United States and whose certification expires while deployed on active duty, or whose certification expires less than six (6) months from the date they return from active duty deployment, with the Armed Forces of the United States shall have six (6) months from the date they return from active duty deployment to complete the requirements of Section 100080, subdivisions (a)(2)-(a)(5). In order to qualify for this exception, the individual shall submit proof of their membership in the Armed Forces of the United States and documentation of their deployment starting and ending dates. Continuing education credit may be given for documented training that meets the requirements of Chapter 11 of this Division while the individual was deployed on active duty. The documentation shall include verification from the individual's Commanding Officer attesting to the training attended.
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.175, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.109, 1797.118, 1797.170, 1797.184, 1797.210 and 1797.216, Health and Safety Code; and United States Code, Title 10, Subtitle A, Chapter 1, Section 101.
HISTORY

1. Relocation and amendment of article 5 heading, renumbering of former section 100080 to section 100078 and new section filed 6-13-94; operative 7-13-94 (Register 94, No. 24). For prior history, see Register 87, No. 10.
2. Amendment of subsections (c) and (d)(2) filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
3. Amendment of article heading, section heading and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Amendment of article heading, section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
5. Change without regulatory effect amending subsection (g) filed 10-6-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 41).
6. Amendment filed 1-25-2013; operative 4-1-2013 (Register 2013, No. 4). 
§100081. Recertification of an Expired California EMT Certificate.
Note     •     History

(a) The following requirements apply to individuals who wish to be eligible for recertification after their California EMT Certificates have expired:
(1) For a lapse of less than six (6) months, the individual shall complete the requirements of Section 100080, subdivisions (a)(2)-(a)(5).
(2) For a lapse of six (6) months or more, but less than twelve (12) months, the individual shall:
(A) Complete the requirements of Section 100080, subdivisions (a)(2)-(a)(5), and
(B) Complete an additional twelve (12) hours of continuing education.
(3) For a lapse of twelve (12) months or more, but less than twenty-four (24) months, the individual shall:
(A) Complete the requirements of Section 100080, subdivisions (a)(2)-(a)(5), and
(B) Complete an additional twenty-four (24) hours of continuing education, and
(C) Pass the written and skills certification exams as specified in Sections 100059 and 100059.1.
(4) For a lapse of greater than twenty-four (24) months the individual shall meet the requirements of Section 100079, subdivisions (a) and (b).
(b) For individuals who meet the requirements of Section 100081, subdivision (a)(1), (a)(2), or (a)(3), the EMT certifying entity shall make the effective date of recertification the day the certificate is issued. The certification expiration date will be the last day of the month two (2) years from the effective date. For individuals who meet the requirements of Section 100081, subdivision (a)(4), the EMT certifying entity shall make the certification effective and expiration dates consistent with Section 100079, subdivisions (d) and (e).
(c) The EMT certifying entity shall issue a wallet-sized certificate card, pursuant to Section 100344, subdivisions (c) and (d), of Chapter 10 of this Division, within forty-five (45) days to eligible individuals who apply for EMT recertification and successfully complete the requirements of this Chapter. 
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.175, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.109, 1797.118, 1797.170, 1797.175, 1797.184, 1797.210 and 1797.216, Health and Safety Code; and United States Code, Title 10, Subtitle A, Chapter 1, Section 101.
HISTORY

1. Relocation of article heading, renumbering of former section 100081 to section 100079 and renumbering and amendment of former section 100084 to section 100081 filed 6-13-94; operative 7-13-94 (Register 94, No. 24). For prior history, see Register 87, No. 10.
2. Change without regulatory effect amending subsection (b) filed 3-2-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 9).
3. Amendment of subsection (a)(2) and new subsection (a)(4) filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
4. Amendment of section heading and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
5. Editorial correction of subsection (a)(4) (Register 2010, No. 15).
6. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
7. Amendment of section heading and section filed 1-25-2013; operative 4-1-2013 (Register 2013, No. 4). 
Article 6. Record Keeping and Fees
§100082. Record Keeping.
Note     •     History

(a) Each EMT approving authority shall maintain a list of approved training programs within its jurisdiction and provide the Authority with a copy. The Authority shall be notified of any changes in the list of approved training programs as such occur.
(b) Each EMT approving authority shall maintain a list of current EMT program directors, clinical coordinators and principal instructors within its jurisdiction.
(c) The Authority shall maintain a record of approved EMT training programs.
(d) A LEMSA may develop policies and procedures which require basic life support services to make available the records of calls maintained in accordance with Section 1100.7, Title 13 of the California Code of Regulations.
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.175, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.109, 1797.170, 1797.173, 1797.200, 1797.202, 1797.204, 1797.208, 1797.211 and 1797.220, Health and Safety Code.
HISTORY

1. Relocation of article 6 heading, repealer of former section 100082  and renumbering and amendment of former section 100085 to section 100082 filed 6-13-94; operative 7-13-94 (Register 94, No. 24). For prior history, see Register 87, No. 10.
2. New subsections (g)-(g)(2) filed 1-11-2000; operative 2-10-2000 (Register 2000, No. 2).  
3. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100083. Fees.
Note     •     History

A LEMSA may establish a schedule of fees for EMT training program review approval, EMT certification and EMT recertification in an amount sufficient to cover the reasonable cost of complying with the provisions of this Chapter.
NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.118, 1797.170, 1797.212, 1797.213 and 1798.217, Health and Safety Code.
HISTORY

1. Repealer of former section 100083 and renumbering and amendment of former section 100086 to section 100083 filed 6-13-94; operative 7-13-94 (Register 94, No. 24). For prior history, see Register 87, No. 10.
2. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100084. Recertification. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.175, Health and Safety Code. Reference: Sections 1797.109, 1797.170, 1797.175, 1797.210 and 1797.216, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100053 to section 100084 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Relocation of article heading and renumbering of former section 100084 to section 100081 filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
§100085. Record Keeping. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.170 and 1797.175, Health and Safety Code. Reference: Sections 1797.109, 1797.170, 1797.173, 1797.200, 1797.202, 1797.204 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100055 to section 100085 filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10). For prior history, see Register 82, Nos. 39 and 36.
2. Relocation of article heading and renumbering of former section 100085 to section 100082 filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
§100086. Fees. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.109 and 1797.170, Health and Safety Code. Reference: Sections 1797.170, 1797.212 and 1797.213, Health and Safety Code.
HISTORY

1. New section filed 2-6-87; effective thirtieth day thereafter (Register 87, No. 10).
2. Renumbering of former section 100086 to section 100083 filed 6-13-94; operative 7-13-94 (Register 94, No. 24).
Chapter 3. Advanced Emergency Medical Technician
Article 1. Definitions
§100101. Advanced Emergency Medical Technician Approving Authority.
Note     •     History

“Advanced Emergency Medical Technician (Advanced EMT) Approving Authority” means the local Emergency Medical Services Agency (LEMSA).
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.200, 1797.208 and 1797.218, Health and Safety Code.
HISTORY

1. New Chapter 3 (Sections 100101-100130) filed 1-3-85; effective thirtieth day thereafter (Register 85, No. 1).
2. Amendment of chapter heading, section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100102. Advanced EMT Certifying Entity.
Note     •     History

“Advanced EMT Certifying Entity” means the medical director of the LEMSA.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.62, 1797.82, 1797.118, 1797.171, 1797.210 and 1797.218, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100102.1. Emergency Medical Services Quality Improvement Program.
Note     •     History

“Emergency Medical Services Quality Improvement Program” or “EMSQIP” means methods of evaluation that are composed of structure, process, and outcome evaluations which focus on improvement efforts to identify root causes of problems, intervene to reduce or eliminate these causes, and take steps to correct the process, and recognize excellence in performance and delivery of care, pursuant to the provisions of Chapter 12 of this Division. This is a model program which will develop over time and is to be tailored to the individual organization's quality improvement needs and is to be based on available resources for the EMSQIP.
NOTE

Authority cited: Sections 1797.103, 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.204 and 1797.220, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100103. Advanced Emergency Medical Technician.
Note     •     History

“Advanced Emergency Medical Technician” or “Advanced EMT” means:
(a) a California certified EMT with additional training in limited advanced life support (LALS) according to the standards prescribed by this Chapter, and who has a valid Advanced EMT wallet-sized certificate card issued pursuant to this Chapter, or
(b) an individual who was certified as an EMT-II prior to the effective date of this chapter, whose scope of practice includes the LEMSA approved Advanced EMT Scope of Practice as well as the Local Optional Scope of Practice, and who was part of an EMT-II program in effect on January 1, 1994.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82 and 1797.171, Health and Safety Code.
HISTORY

1. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100103.1. Authority.
Note     •     History

“Authority” means the Emergency Medical Services Authority. 
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.54, 1797.82 and 1797.171, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100103.2. Limited Advanced Life Support Service Provider
Note     •     History

A “limited advanced life support service” or “LALS service” means a service provider approved by a LEMSA or state statute that utilizes Advanced EMT and/or EMT-II personnel.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.92 and 1797.171, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100104. Advanced EMT Certifying Examination.
Note     •     History

“Advanced EMT Certifying Examination,” as used in this Chapter, means an examination, developed by the Advanced EMT Certifying Entity and selected by the Authority, given to an individual applying for certification as an Advanced EMT. The examination shall include both written and skills testing portions designed to determine an individual's competence for certification as an Advanced EMT. Effective September 12, 2012, the National Registry of Emergency Medical Technicians Advanced EMT written and skills examination shall be the AEMT certifying examinations for AEMT certification.
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.175, Health and Safety Code. Reference: Sections 1797.171, 1797.175 and 1797.210, Health and Safety Code.
HISTORY

1. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. Amendment filed 8-13-2012; operative 9-12-2012 (Register 2012, No. 33).
Article 2. General Provisions
§100105. Application of Chapter; Displacement of Services.
Note     •     History

(a) Any LEMSA may approve an advanced life support (ALS), meaning Paramedic or LALS, meaning Advanced EMT program which provides services utilizing Advanced EMTs, or Paramedics, or any combination thereof. 
(b) Prior to considering and initiating a reduction of existing Paramedic services, or of existing services that utilize Advanced EMTs that are accredited in the local optional scope of practice, within the LEMSA's jurisdiction, the LEMSA shall prepare an impact evaluation report. The impact evaluation report shall indicate why the continuation of Paramedic services, or of services utilizing Advanced EMTs accredited in the local optional scope of practice, is not feasible or appropriate within that LEMSA's jurisdiction. The impact evaluation report shall only be required when existing Paramedic services, or services utilizing Advanced EMTs accredited in the local optional scope of practice, are displaced by initiating new Advanced EMT services. The impact evaluation report shall include, but not be limited to: 
(1) An evaluation describing why the geography, population density, and resources would not make the continuation of Paramedic services, or of services utilizing Advanced EMTs accredited in the local optional scope of practice, more appropriate or feasible. 
(2) The LEMSA shall hold a public hearing regarding the Paramedic services, or services utilizing Advanced EMTs accredited in the local optional scope of practice, that may be displaced by the new Advanced EMT services. The public hearing shall be for the purpose of allowing the public an opportunity to provide the LEMSA with written and/or verbal input regarding the displacement of Paramedic services, or of services utilizing Advanced EMTs accredited in the local optional scope of practice. The LEMSA may waive the public hearing if a public hearing was previously held that allowed the public an opportunity to provide written and/or verbal input regarding the displacement of Paramedic services, or of services utilizing Advanced EMTs accredited in the local optional scope of practice. 
(c) The governing body of a public safety agency that operates in the jurisdiction of a LEMSA and that may displace Paramedic services, or services utilizing Advanced EMTs accredited in the local optional scope of practice, by initiating new Advanced EMT services, shall meet the requirements of this subsection (c). The governing body of the public safety agency shall hold a public hearing prior to considering the displacement of Paramedic services, or of services utilizing Advanced EMTs accredited in the local optional scope of practice, by initiating Advanced EMT services. The public safety agency shall: 
(1) Provide the LEMSA in the jurisdiction in which it operates with written notice no less than six (6) months prior to the implementation date of the reduction of Paramedic services, or of services utilizing Advanced EMTs accredited in the local optional scope of practice; and 
(2) Provide the LEMSA in the jurisdiction in which it operates with an evaluation report no less than three (3) months prior to the implementation date of the reduction of Paramedic services, or of services utilizing Advanced EMTs accredited in the local optional scope of practice. The public safety agency's evaluation report shall contain, at a minimum, an evaluation describing why the geography, population density, and resources would not make the continuation of Paramedic services, or of services utilizing Advanced EMTs accredited in the local optional scope of practice, more appropriate or feasible. 
Upon receipt of the evaluation report from the public safety agency, the LEMSA may, but is not required to, prepare a separate evaluation report with the contents specified in subsection (b)(1). 
(d) If the LEMSA determines, pursuant to the impact evaluations from subsections (b) and/or (c) of this section, that the displacement of Paramedic services, or of services utilizing Advanced EMTs accredited in the local optional scope of practice, is not justified or feasible, the new Advanced EMT services shall not be approved. If the LEMSA determines, pursuant to the impact evaluations from subsections (b) and/or (c) of this section, that the displacement of Paramedic services, or of services utilizing Advanced EMT's accredited in the local optional scope of practice, is justified and feasible, then the new Advanced EMT services may be approved by the LEMSA. This approval by the LEMSA shall occur after the Advanced EMT service provider has met the requirements of Section 100126 of this Chapter. 
(e) Any LEMSA which approves an Advanced EMT training program, or a LALS service which provides services utilizing Advanced EMT personnel, shall be responsible for approving Advanced EMT training programs, Advanced EMT service providers, Advanced EMT base hospitals, and for developing and enforcing standards, regulations, policies, and procedures in accordance with this Chapter so as to provide for quality assurance, appropriate medical control and coordination of the Advanced EMT personnel and training program(s) within an EMS system.
(f) No person or organization shall offer an Advanced EMT training program or hold themselves out as offering an Advanced EMT training program, or provide LALS services, or hold themselves out as providing LALS services utilizing Advanced EMTs unless that person or organization is authorized by a LEMSA.
NOTE

Authority cited: Sections 1797.2, 1797.107, 1797.171 and 1797.218, Health and Safety Code. Reference: Sections 1797.2, 1797.82, 1797.171, 1797.178, 1797.200, 1797.201, 1797.204, 1797.206, 1797.208, 1797.218, 1797.220, 1798 and 1798.100, Health and Safety Code.
HISTORY

1. Amendment of section heading and repealer and new section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. Amendment of subsection (a) and new subsections (b)-(d) filed 12-15-2010; operative 1-14-2011 (Register 2010, No. 51).
§100106. Advanced EMT Scope of Practice.
Note     •     History

(a) An Advanced EMT may perform any activity identified in the scope of practice of an EMT in Chapter 2 of this Division.
(b) A certified Advanced EMT or an Advanced EMT trainee, as part of an organized EMS system,while caring for patients in a hospital as part of their training or continuing education, under the direct supervision of a Physician or Registered Nurse, or while at the scene of a medical emergency or during transport, or during interfacility transfer is authorized to do all of the following according to the policies and procedures approved by the LEMSA:
(1) Perform pulmonary ventilation by use of a perilaryngeal airway adjunct.
(2) Perform tracheo-bronchial suctioning of an intubated patient. 
(3) Institute intravenous (IV) catheters, saline locks, needle or other cannulae (IV lines), in peripheral veins.
(4) Administer the following intravenously: 
(A) Glucose solutions;
(B) Isotonic balanced salt solutions (including Ringer's lactate solution);
(C) Naloxone; 
(D) Intravenous administration of 50% dextrose for adult patients, and 10% or 25% dextrose for pediatric patients. 
(5) Establish and maintain intraosseous access in a pediatric patient. 
(6) Obtain venous and/or capillary blood samples for laboratory analysis.
(7) Use blood glucose measuring device.
(8) Administer the following drugs in a route other than intravenous:
(A) Sublingual nitroglycerine preparations;
(B) aspirin;
(C) glucagon;
(D) inhaled beta-2 agonists (bronchodilators);
(E) activated charcoal;
(F) naloxone;
(G) epinephrine.
(c) During a mutual aid response into another jurisdiction, an Advanced EMT may utilize the scope of practice for which s/he is trained and certified according to the policies and procedures established by his/her certifying LEMSA.
(d) The scope of practice of an Advanced EMT shall not exceed those activities authorized in this section except in those limited situations as approved in Section 100106.1.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 8615, 8617, 8631 and 8632, Government Code; and Sections 1797.82 and 1797.171, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. New subsections (b)(2) and (b)(5), repealer of subsection (b)(7), subsection renumbering, amendment of newly designated subsection (b)(4), new subsections (b)(4)(A)-(D) and amendment of newly designated subsection (b)(8)(G) filed 8-13-2012; operative 9-12-2012 (Register 2012, No. 33).
§100106.1. 1 Advanced EMT Local Optional Scope of Practice.
Note     •     History

(a) Advanced EMTs who were not certified as EMT-IIs prior to the effective date of this Chapter are not eligible for accreditation in the scope of practice items listed in this Section. 
(b) In addition to the activities authorized by Section 100106 of this Chapter, a LEMSA with an EMT-II program in effect on January 1, 1994, may establish policies and procedures for local accreditation of an individual previously certified, as an EMT-II, to perform any or all of the following optional skills specified in this section.
(1) Administer the Following Medications:
(A) Lidocaine hydrochloride
(B) Atropine sulfate
(C) Sodium bicarbonate
(D) Furosemide
(E) Epinephrine
(F) Morphine sulfate
(G) Benzodiazepines (midazolam) 
(2) Perform synchronized cardioversion and defibrillation.
(3) Utilize electrocardiographic devices and monitor electrocardiograms. 
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.171 and 1797.214, Health and Safety Code. 
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. New subsection (b)(3) filed 8-13-2012; operative 9-12-2012 (Register 2012, No. 33).
§100106.2. Advanced EMT Trial Studies.
Note     •     History

An Advanced EMT may perform any prehospital emergency medical care treatment procedure(s) or administer any medication(s) on a trial basis when approved by the medical director of the LEMSA and the Director of the Authority.
(a) The medical director of the LEMSA shall review a trial study plan, which at a minimum shall include the following:
(1) A description of the procedure(s) or medication(s) proposed, the medical conditions for which they can be utilized, and the patient population that will benefit.
(2) A compendium of relevant studies and material from the medical literature.
(3) A description of the proposed study design including the scope of the study and method of evaluating the effectiveness of the procedure(s) or medication(s), and expected outcome.
(4) Recommended policies and procedures to be instituted by the LEMSA regarding the use and medical control of the procedure(s) or medication(s) used in the study.
(5) A description of the training and competency testing required to implement the study. 
(b) The medical director of the LEMSA shall appoint a local medical advisory committee to assist with the evaluation and approval of trial studies. The membership of the committee shall be determined by the medical director of the LEMSA, but shall include individuals with knowledge and experience in research and the effect of the proposed study on the EMS system.
(c) The medical director of the LEMSA shall submit the proposed study and send a copy of the proposed trial study plan at least forty-five (45) calendar days prior to the proposed initiation of the study to the Director of the Authority for approval in accordance with the provisions of section 1797.221 of the Health and Safety Code. The Authority shall inform the Commission on EMS of studies being initiated.
(d) The Authority shall notify, within fourteen (14) working days of receiving the request, the medical director of the LEMSA submitting its request for approval of a trial study that the request has been received, and shall specify what information, if any, is missing.
(e) The Director of the Authority shall render the decision to approve or disapprove the trial study within forty-five (45) calendar days of receipt of all materials specified in subsections (a) and (b) of this section.
(f) The medical director of the LEMSA within eighteen (18) months of initiation of the procedure(s) or medication(s), shall submit a written report to the Commission on EMS which includes at a minimum the progress of the study, number of patients studied, beneficial effects, adverse reactions or complications, appropriate statistical evaluation, and general conclusion.
(g) The Commission on EMS shall review the above report within two meetings and advise the Authority to do one of the following:
(1) Recommend termination of the study if there are adverse effects or no benefit from the study is shown.
(2) Recommend continuation of the study for a maximum of eighteen (18) additional months if potential, but inconclusive benefit is shown.
(3) Recommend the procedure or medication be added to the Advanced EMT local optional scope of practice. Additions to the local optional scope of practice are only for those EMT-II programs that were in effect on January 1, 1994.
(h) If option (g)(2) is selected, the Commission on EMS may advise continuation of the study as structured or alteration of the study to increase the validity of the results.
(i) At the end of the additional eighteen (18) month period, a final report shall be submitted to the Commission on EMS with the same format as described in (f) above.
(j) The Commission on EMS shall review the final report and advise the Authority to do one of the following:
(1) Recommend termination or further extension of the study.
(2) Recommend the procedure or medication be added to the Advanced EMT local optional scope of practice. Additions to the local optional scope of practice are only for those EMT-II programs that were in effect on January 1, 1994.
(k) The Authority may require the trial study(ies) to cease after thirty-six (36) months.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.3, 1797.82, 1797.171 and 1797.221, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100107. Responsibility of the LEMSA.
Note     •     History

The LEMSA, which approves a LALS service provider, shall develop and maintain policies and procedures that comply with guidelines established by the Authority for training and maintenance of knowledge, skills and abilities contained in this Chapter which shall include, but not be limited to, the following:
(a) Development or approval, monitoring, and enforcement of standards, policies, and procedures for the EMS system which relates to the Advanced EMT.
(b) Approval, denial, revocation of approval, and suspension of training programs, Advanced EMT base and alternative base stations, and Advanced EMT service providers.
(c) Assurance of compliance of the Advanced EMT training program and the EMS system with the provisions of this Chapter.
(d) Submission annually to the Authority the names of approved Advanced EMT training programs.
(e) Monitoring and evaluation of the EMS system as it applies to Advanced EMT personnel.
(f) Development or approval, implementation and enforcement of policies for medical control and medical accountability for the Advanced EMT including:
(1) General treatment and triage protocols.
(2) Patient care record and reporting requirements.
(3) Field medical care protocols.
(4) Medical care audit system.
(5) Role and responsibility of the Advanced EMT base and alternative base stations and Advanced EMT service provider.
(g) System data collection and evaluation.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.178, 1797.200, 1797.202, 1797.204, 1797.206, 1797.208, 1797.210, 1797.211, 1797.220, 1798 and 1798.100, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100107.1. Advanced EMT Quality Improvement Program.
Note     •     History

(a) The LEMSA shall establish a system-wide quality improvement program (EMSQIP) as defined in Section 100102.1 of this Chapter.
(b) Each Advanced EMT service provider, as defined in Section 100126 and each Advanced EMT base hospital as defined in Section 100127, of this Chapter, shall have an EMSQIP approved by the LEMSA. 
(c) If, through the EMSQIP, the employer or medical director of the LEMSA determines that an Advanced EMT needs additional training, observation or testing, the employer and the medical director may create a specific and targeted program of remediation based upon the identified need of the Advanced EMT related to medical and patient care. If there is disagreement between the employer and the medical director, the decision of the medical director shall prevail. 
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.178, 1797.200, 1797.202, 1797.204, 1797.206, 1797.208, 1797.210, 1797.220, 1798 and 1798.100, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 3. Program Requirements for Advanced EMT Training Programs
§100108. Advanced EMT Approved Training Programs.
Note     •     History

(a) The purpose of an Advanced EMT training program shall be to prepare eligible EMTs to render prehospital LALS within an organized EMS system.
(b) Advanced EMT training shall be offered only by approved training programs. Eligibility for training program approval shall be limited to the following institutions:
(1) Accredited universities and colleges, including junior and community colleges, and private post-secondary schools as approved by the State of California, Department of Consumer Affairs, Bureau for Private Postsecondary Education.
(2) Medical training units of a branch of the Armed Forces or Coast Guard of the United States.
(3) Licensed general acute care hospitals which meet the following criteria:
(A) Hold a special permit to operate a Basic or Comprehensive Emergency Medical Service pursuant to the provisions of Division 5; and
(B) Provide continuing education to other health care professionals.
(4) Agencies of government.
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.173, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment of article heading, section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100109. Advanced EMT Training Program Teaching Staff.
Note     •     History

(a) Each program shall have an approved program medical director who shall be a physician currently licensed in the State of California, who has two (2) years academic or clinical experience in emergency medicine in the last five (5) years, and who is qualified by education or experience in methods of instruction. Duties of the program medical director shall include, but not be limited to:
(1) Approval of all course content.
(2) Approval of content of all written and skills examinations.
(3) Approval of provision for hospital clinical and field internship experiences.
(4) Approval of principal instructor(s) qualifications.
(b) Each program shall have an approved course director who shall be a Physician, Registered Nurse, or Paramedic currently licensed in the State of California, or an individual who holds a baccalaureate degree or equivalent in a related health field or equivalent. The course director shall have a minimum of one (1) year experience in an administrative or management level position and have a minimum of two (2) years academic or clinical experience in prehospital care education within the last five (5) years. The approved course director shall be qualified by education and experience in methods, materials, and evaluation of instruction which shall be documented by at least forty (40) hours in teaching methodology. The courses include, but are not limited to the following examples:
(1) State Fire Marshal Instructor 1A and 1B, 
(2) National Fire Academy's Instructional Methodology, 
(3) Training programs that meet the United States Department of Transportation/National Highway Traffic Safety Administration 2002 Guidelines for Educating EMS Instructors such as the National Association of EMS Educators Course. Duties of the course director shall include, but not be limited to:
(1) Administration of the training program.
(2) In coordination with the program medical director, approve the principal instructor, teaching assistants, field preceptors, clinical and internship assignments, and coordinate the development of curriculum.
(3) Ensure training program compliance with this Chapter and other related laws.
(4) Sign all course completion records.
(c) Each program shall have principal instructor(s) who may also be the program medical director or course director, who shall:
(1) Be a Physician, Registered Nurse, or a Physician Assistant currently licensed in the State of California; or
(2) Be a Paramedic or an Advanced EMT and/or EMT-II currently licensed or certified in the State of California.
(3) Have two (2) years academic or clinical experience in emergency medicine within the last five (5) years.
(4) Be approved by the course director in coordination with the program medical director as qualified to teach those sections of the course to which s/he is assigned.
(5) Be responsible for areas including, but not limited to, curriculum development, course coordination, and instruction.
(6) Be qualified by education and experience in methods, materials, and evaluation of instruction, which shall be documented by at least forty (40) hours in teaching methodology. The courses include, but are not limited to the following examples: 
(A) State Fire Marshal Instructor 1A and 1B, 
(B) National Fire Academy's Instructional Methodology, 
(C) Training programs that meet the United States Department of Transportation/National Highway Traffic Safety Administration 2002 Guidelines for Educating EMS Instructors such as the National Association of EMS Educators Course. 
(d) Each program may have a teaching assistant'(s) who shall be an individual(s) qualified by training and experience to assist with teaching of the course and shall be approved by the course director in coordination with the program medical director as qualified to assist in teaching the topics to which the assistant is to be assigned. A teaching assistant shall be directly supervised by a principal instructor, the course director, and/or the program medical director.
(e) Each program shall have a field preceptor(s) who shall:
(1) Be a Physician, Registered Nurse, or Physician Assistant currently licensed in the State of California; or
(2) Be a Paramedic or an Advanced EMT currently licensed or certified in the State of California; and
(3) Have two (2) years academic or clinical experience in emergency medicine within the last five (5) years.
(4) Be approved by the course director in coordination with the program medical director to provide training and evaluation of an Advanced EMT trainee during field internship with an authorized service provider.
(5) Be under the supervision of a principal instructor, the course director and/or program medical director.
(f) Each program shall have a hospital clinical preceptor(s) who shall:
(1) Be a Physician, Registered Nurse, or Physician Assistant who is currently licensed in the State of California.
(2) Have two (2) years academic or clinical experience in emergency medicine within the last five (5) years.
(3) Be approved by the course director in coordination with the program medical director to provide evaluation of an Advanced EMT trainee during the clinical training.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.171 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100110. Advanced EMT Training Program Didactic and Skills Laboratory.
Note     •     History

An approved Advanced EMT training program shall assure that no more than six (6) trainees are assigned to one (1) instructor/teaching assistant during the skills practice/laboratory sessions.
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.173, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100111. Advanced EMT Training Program Hospital Clinical Training.
Note     •     History

(a) An approved Advanced EMT training program shall provide for and monitor a supervised clinical experience at a hospital(s) which is licensed as a general acute care hospital. The clinical setting may be expanded to include areas commensurate with the skills experience needed. Such settings may include surgicenters, clinics, jails or any other areas deemed appropriate by the LEMSA. 
(b) Training programs in nonhospital institutions shall enter into a written agreement(s) with a licensed general acute care hospital(s) which holds a permit to operate a Basic or Comprehensive Emergency Medical Service for the purpose of providing this supervised clinical experience as well as a clinical preceptor(s) to instruct and evaluate the student.
(c) Advanced EMT clinical training hospital(s) shall provide clinical experience, supervised by a clinical preceptor(s) approved by the training program medical director. Hospitals providing clinical training and experience shall be approved by the program medical director, and shall provide for continuous assessment of student performance. No more than two (2) trainees will be assigned to one (1) preceptor during the supervised hospital clinical experience at any one time. The clinical preceptor may assign the trainee to another health professional for selected clinical experience. Clinical experience shall be monitored by the training program staff and shall include direct patient care responsibilities including the administration of additional drugs which are designed to result in the competencies specified in this Chapter. Clinical assignments shall include, but not be limited to: emergency, surgical, cardiac, obstetric, and pediatric patients.
(d) The Advanced EMT training program shall establish criteria to be used by clinical preceptors to evaluate trainees. Verification of successful performance in the prehospital setting shall be required prior to course completion or certification.
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.173, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100112. Advanced EMT Training Program Field Internship.
Note     •     History

(a) An approved Advanced EMT training program shall provide for and monitor a field internship with a designated Advanced EMT or Paramedic service provider(s) approved by the training program medical director.
(b) After obtaining the approval of the LEMSA, the Advanced EMT training program shall enter into a written agreement with an Advanced EMT or  Paramedic service provider(s) to provide for this field internship, as well as for a field preceptor(s) to directly supervise, instruct and evaluate students. The field internship shall include direct patient care responsibilities which, when combined with the other parts of the training program, shall result in the Advanced EMT competencies specified in this Chapter.
(c) The field internship shall be medically supervised and monitored in accordance with the policies of the LEMSA.
(d) No more than one (1) Advanced EMT trainee shall be assigned to an Advanced EMT response vehicle during the field internship.
(e) The Advanced EMT training program shall establish evaluation criteria to be used by field preceptors to evaluate trainees.
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.173, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100113. Advanced EMT Training Program Approval.
Note     •     History

(a) Eligible training programs as defined in Section 100108 of this Chapter, shall submit a written request for Advanced EMT program approval to the Advanced EMT Approving Authority.
(b) The  Advanced EMT Approving Authority shall receive and review the following prior to program approval:
(1) A statement verifying that the course content is equivalent to the U.S. Department of Transportation (DOT) National EMS Education Standards (DOT HS 811 077A, January 2009).
(2) A course outline.
(3) Performance objectives for each skill.
(4) The name and qualifications of the training program course director, program medical director, and principal instructors.
(5) Provisions for supervised hospital clinical training, including standardized forms for evaluating Advanced EMT trainees.
(6) Provisions for supervised field internship, including standardized forms for evaluating Advanced EMT trainees.
(7) The location at which the course(s) are to be offered and their proposed dates.
(8) Provisions for course completion by challenge, including a challenge examination (if different from the final examination).
(c) The Advanced EMT Approving Authority shall review the following prior to program approval:
(1) Samples of written and skills examinations used for periodic testing.
(2) A final skills competency examination.
(3) A final written examination.
(4) Evidence that the program provides adequate facilities, equipment, examination security, student record keeping, clinical training and field internship training.
(d) The Advanced EMT Approving Authority shall make available to the Authority, upon request, any or all materials submitted pursuant to this Section by an approved Advanced EMT training program in order to allow the Authority to make the determinations required by Section 1797.173 of the Health and Safety Code.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. Amendment of subsection (b)(1) filed 8-13-2012; operative 9-12-2012 (Register 2012, No. 33).
§100114. Advanced EMT Training Program Approval Notification.
Note     •     History

(a) Program approval or disapproval shall be made in writing by the Advanced EMT Approving Authority to the requesting training program within a reasonable period of time after receipt of all required documentation. This time period shall not exceed three (3) months.
(b) The Advanced EMT Approving Authority shall establish the effective date of program approval in writing upon the satisfactory documentation of compliance with all program requirements.
(c) Program approval shall be for four (4) years following the effective date of program approval and may be renewed every four (4) years subject to the procedure for program approval specified in this Chapter.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100115. Application of Regulations to Existing AEMT Training Programs.
Note     •     History

All AEMT training programs in operation prior to the effective date of these regulations shall submit evidence of compliance with this Chapter to the Advanced EMT Approving Authority for the county in which they are located within six (6) months after the effective date of these regulations. AEMT training programs that do not submit the information, as required by this section, shall not be approved as an Advanced EMT Training Program.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82 and 1797.171, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. Amendment of section heading and section filed 8-13-2012; operative 9-12-2012 (Register 2012, No. 33).
§100116. Advanced EMT Training Program Review and Reporting.
Note     •     History

(a) All program materials specified in this Chapter shall be subject to periodic review by the Advanced EMT Approving Authority.
(b) All programs shall be subject to periodic on-site evaluation by the Advanced EMT Approving Authority.
(c) Any person or agency conducting a training program shall notify the Advanced EMT Approving Authority in writing, in advance when possible, and in all cases within thirty (30) calendar days of any change in course content, hours of instruction, course director, program medical director, principal instructor(s), course locations and proposed dates, provisions for hospital clinical experience, or field internship.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.171 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100117. Advanced EMT Denial or Withdrawal of Training Program Approval.
Note     •     History

(a) Noncompliance with any criterion required for program approval, use of any unqualified teaching personnel, or noncompliance with any other applicable provision of this Chapter may result in denial, probation, suspension or revocation of program approval by the Advanced EMT Approving Authority. Notification of noncompliance and action to place on probation, suspend or revoke shall be done as follows:
(1) An Advanced EMT Approving Authority shall notify the approved Advanced EMT training program course director in writing, by registered mail, of the provisions of this Chapter with which the Advanced EMT training program is not in compliance.
(2) Within fifteen (15) working days of receipt of the notification of noncompliance, the approved Advanced EMT training program shall submit in writing, by registered mail, to the Advanced EMT Approving Authority one of the following:
(A) Evidence of compliance with the provisions of this Chapter, or
(B) A plan for meeting compliance with the provisions of this Chapter within sixty (60) calendar days from the day of receipt of the notification of noncompliance.
(3) Within fifteen (15) working days of receipt of the response from the approved Advanced EMT training program, or within thirty (30) calendar days from the mailing date of the noncompliance notification if no response is received from the approved Advanced EMT training program, the Advanced EMT Approving Authority shall notify the Authority and the approved Advanced EMT training program in writing, by registered mail, of the decision to accept the evidence of compliance, accept the plan for meeting compliance, place on probation, suspend or revoke the Advanced EMT training program approval.
(4) If the Advanced EMT Approving Authority decides to suspend or revoke the Advanced EMT training program approval or place the Advanced EMT training program on probation, the notification specified in subsection (a)(3) of this section shall include the beginning and ending dates of the probation or suspension and the terms and conditions for lifting of the probation or suspension or the effective date of the revocation, which may not be less than sixty (60) calendar days from the date of the Advanced EMT Approving Authority's letter of decision to the Authority and the Advanced EMT training program.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.208 and 1798.209, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100118. Advanced EMT Student Eligibility.
Note     •     History

(a) To be eligible to enter an Advanced EMT training program, an individual shall meet the following requirements:
(1) Possess a high school diploma or general education equivalent; and
(2) Possess a current EMT certificate in the State of California; and
(3) Possess a current Basic Life Support (CPR) card according to the American Heart Association 2005 Guidelines for Cardiopulmonary Resuscitation and Emergency Cardiovascular Care at the healthcare provider level. 
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.171 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100119. Advanced EMT Training Program Required Course Hours.
Note     •     History

(a) The Advanced EMT training program shall consist of not less than one-hundred and sixty (160) hours. These training hours shall be divided into:
(1) A minimum of eighty (80) hours of didactic instruction and skills laboratory;
(2) The hospital clinical training shall consist of no less than forty (40) hours and field internship shall consist of no less than forty (40) hours.
(b) The trainee shall have a minimum of fifteen (15) ALS patient contacts during the field internship. An ALS patient contact shall be defined as the performance of one or more of the skills specified in Section 100106(b) of this Chapter. Each ALS patient contact by an Advanced EMT student shall be documented in writing on a standard form and shall be signed by the training program medical director as verification of the fact that the ALS contact met the criteria set forth in this section.
(c) The trainee shall demonstrate competency in all skills listed in Section 100106(b) of this Chapter.
(d) During the field internship, the student shall demonstrate competency as the team leader while on-scene delivering patient care at least five (5) times. 
(e) Competency and success in the skills listed in subsections (c) and (d) of this section shall be evaluated and documented by the field preceptor. 
(f) The minimum hours shall not include the following:
(1) Course material designed to teach or test exclusively EMT knowledge or skills including CPR.
(2) Examination for student eligibility.
(3) The teaching of any material not prescribed in Section 100120 of this Chapter.
(4) Examination for Advanced EMT certification.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82 and 1797.171, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. Amendment of subsections (a)-(c), repealer of subsections (c)(1)-(c)(3)(F) and amendment of subsection (e) filed 8-13-2012; operative 9-12-2012 (Register 2012, No. 33).
§100120. Advanced EMT Training Program Required Course Content.
Note     •     History

The content of an Advanced EMT course shall meet the objectives contained in the U.S. Department of Transportation (DOT) National EMS Education Standards (DOT HS 811 077A, January 2009), incorporated herein by reference, to result in the Advanced EMT being competent in the Advanced EMT basic scope of practice specified in section 100106 of this Chapter. The U.S. Department of Transportation (DOT) National EMS Education Standards (DOT HS 811 077A, January 2009) can be accessed through the U.S. DOT National Highway Traffic Safety Administration at the following website address: http://ems.gov/pdf/811077a.pdf
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.82, 1797.171 and 1797.173, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. Amendment filed 8-13-2012; operative 9-12-2012 (Register 2012, No. 33).
§100121. Advanced EMT Training Program Required Testing.
Note     •     History

(a) An approved Advanced EMT training program shall include periodic examinations and final comprehensive competency-based examinations to test the knowledge and skills specified in this Chapter. 
(b) Successful performance in the clinical and field setting shall be required prior to course completion.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.63, 1797.82, 1797.171, 1797.208 and 1797.210, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. Repealer and new section filed 8-13-2012; operative 9-12-2012 (Register 2012, No. 33).
§100122. Advanced EMT Training Program Course Completion Record.
Note     •     History

(a) An approved Advanced EMT training program shall issue a course completion record to each person who has successfully completed the Advanced EMT training program.
(b) The course completion record shall contain the following:
(1) The name of the individual.
(2) The date of course completion.
(3) The type of course completed (i.e., Advanced EMT) and the number of hours completed.
(4) The following statement from an approved Advanced EMT training program: “The individual named on this record has successfully completed an approved Advanced EMT course”, to indicate the appropriate type of course completed.
(5) The name of the Advanced EMT Approving Authority.
(6) The signature of the course director.
(7) The name and location of the training program issuing the record.
(8) The following statement in bold print: “This is not an Advanced EMT certificate.”
(9) The following statement: “This course completion record is valid to apply for certification for a maximum of two (2) years from the course completion date and shall be recognized statewide.”
(c) The name and address of each person receiving a course completion record and the date on which the record was issued shall be reported in writing to the appropriate Advanced EMT Certifying Entity within fifteen (15) working days of course completion.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Section 1797.82, 1797.171, 1797.208 and 1797.210, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 4. Certification
§100123. Advanced EMT Initial Certification Requirements.
Note     •     History

(a) In order to be eligible for initial certification an individual shall:
(1) Possess a current EMT certificate issued in the State of California.
(2) Have an Advanced EMT course completion record or other documented proof of successful completion of the topics contained in an approved Advanced EMT training program.
(3) Pass, by preestablished standards  a competency based written and skills Advanced EMT certifying examination pursuant to Section 100104 of this Chapter.
(4) Beginning July 1, 2010, complete the criminal history background check requirements as specified in Article 4, Chapter 10 of this Division.
(5) Comply with other reasonable requirements, as may be established by the local Advanced EMT Certifying Entity, such as:
(A) Pay the established fee.
(B) Furnish a photograph for identification purposes.
(6) Complete an application that contains this statement, “I hereby certify under penalty of perjury that all information on this application is true and correct to the best of my knowledge and belief, and I understand that any falsification or omission of material facts may cause forfeiture on my part of all rights to Advanced EMT certification in the state of California. I understand all information on this application is subject to verification, and I hereby give my express permission for this certifying entity to contact any person or agency for information related to my role and function as an Advanced EMT in California.”
(7) Disclose any certification or licensure action: 
(A) Against any EMT-related certification or license in California, and/or entity per statutes and/or regulations of that state or other issuing entity, including active investigations, or
(B) Against an EMT certificate, Advanced EMT certificate or a Paramedic license, or health related license, or 
(C) Any denial of certification by a LEMSA or in the case of paramedic licensure a denial by the Authority. 
(8) Complete a precertification field evaluation.
(9) Complete the additional training specified in Section 100106.1 if applicable, of this Chapter.
(b) An individual who possesses a current California Advanced EMT certificate in one or more counties in California, shall be eligible for certification upon fulfilling the requirements of subsections (a)(2), (a)(3), (a)(4), (a)(5), (a)(6), (a)(7), and (a)(8) of this section and meets the following requirements.
(1) Provides satisfactory evidence that his/her training included the required course content as specified in Section 100120 of this Chapter.
(2) Successfully completes training and demonstrates competency in any additional prehospital emergency medical care treatment practice(s) required by the local Advanced EMT Certifying Entity pursuant to subsection 100106.1 of this Chapter.
(c) An individual currently licensed in California as a Paramedic is deemed to be certified as an Advanced EMT, except when the Paramedic license is under suspension, with no further testing required. In the case of a Paramedic license under suspension, the Paramedic shall apply to a LEMSA for Advanced EMT certification.
(d) In order for an individual, whose National Registry EMT-Intermediate or Paramedic or out-of-state EMT-Intermediate certification or Paramedic license/certification has lapsed, to be eligible for certification in California as an Advanced EMT the individual shall: 
(1) For a lapse of less than six (6) months, the individual shall comply with the requirements contained in Section 100124(b), (c), (d), (e) and (f) of this Chapter.
(2) For a lapse of six (6) months or more, but less than twelve (12) months, the individual shall comply with the requirements of Section 100125(a)(2) of this Chapter.
(3) For a lapse of twelve (12) months or more, but less than twenty-four (24) months, the individual shall comply with the requirements of Section 100125(a)(3) of this Chapter. 
(4) For a lapse of twenty-four (24) months or more, the individual shall complete an entire Advanced EMT course and comply with the requirements of subsection (a) of this Section.
(e) An individual who possesses a current and valid out-of-state or National Registry EMT-Intermediate certification or Paramedic license/certification shall be eligible for certification upon fulfilling the requirements of subsections (a)(3), (a)(4), (a)(5), (a)(6), (a)(7), and (a)(8) of this section.
(f) A Physician, Registered Nurse, or a Physician Assistant currently licensed by the State of California shall be eligible for Advanced EMT certification upon: 
(1) providing documentation of instruction in topics and skills equivalent to those listed in Section 100120.
(2) Successfully complete five (5) documented ALS contacts in a prehospital field internship as specified in Section 100119 (b).
(3) Fulfilling the requirements of Subsections (a)(3), (a)(4), (a)(5), (a)(6), (a)(7), and (a)(8) of this Section.
(g) Each Advanced EMT Certifying Entity shall provide for adequate certification tests to accommodate the eligible individuals requesting certification within their area of jurisdiction, but in no case less than once per year, unless otherwise specified by their Advanced EMT Approving Authority.
(h) The Advanced EMT Certifying Entity may waive portions of, or all of, the certifying examination for individuals who are currently certified as an Advanced EMT in California. In such situations, the Advanced EMT Certifying Entity shall issue a certificate, which shall have as its expiration date, a date not to exceed the expiration date on the individual's current certificate.
(i) An individual currently accredited by a California LEMSA in the EMT Optional Skills contained in Section 100064 of Chapter 2 of this Division may be given credit for training and experience for those topics and scope of practice items contained in Section 100106 of this Chapter. The LEMSA shall evaluate prior training and competence in the EMT Optional Skills and determine what, if any, supplemental training and certification testing is required for an individual to be certified as an Advanced EMT. This provision will sunset twelve (12) months after this Chapter becomes effective. 
(j) The Advanced EMT Certifying Entity shall issue a wallet-sized certificate card to eligible individuals, using the single Authority approved wallet-sized certificate card format. The wallet-sized certificate card shall contain the information contained in Section 100344(c) of Chapter 10 of this Division.
(k) All California issued EMT and Advanced EMT wallet-sized certificate cards shall be printed by the Advanced EMT Certifying Entity using the central registry criteria, pursuant to Chapter 10 of this Division. Upon the written request of an Advanced EMT Certifying Entity, the Authority shall print and issue an EMT or Advanced EMT wallet-sized certificate card for the Advanced EMT Certifying Entity.
l The effective date of certification, shall be the date the individual satisfactorily completes all certification requirements and has applied for certification. Certification as an Advanced EMT shall be valid for a maximum of two (2) years from the effective date of certification. The certification expiration date shall be the final day of the month of the two (2) year period.
(m) An individual currently certified as an Advanced EMT by the provisions of this section is deemed to be certified as an EMT with no further testing required.
(n) The Advanced EMT shall be responsible for notifying the Advanced EMT Certifying Entity of her/his proper and current mailing address and shall notify the Advanced EMT Certifying Entity in writing within thirty (30) calendar days of any and all changes of the mailing address, giving both the old and the new address, and Advanced EMT registry number.
(o) The Advanced EMT Certifying Entity shall issue, within forty-five (45) calendar days of receipt of a complete application as specified in Section 100123(j), a wallet-sized Advanced EMT certificate card to eligible individuals who apply for an Advanced EMT certificate and successfully complete the Advanced EMT certification requirements. 
(p) An Advanced EMT shall only be certified by one (1) Advanced EMT Certifying Entity during a certification period.
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.175, Health and Safety Code. Reference: Sections 1797.61, 1797.82, 1797.118, 1797.171, 1797.175, 1797.177, 1797.184 1797.210 and 1797.212, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. Amendment of subsection (a)(3), repealer of subsection (a)(8), subsection renumbering and amendment of subsections (b), (e) and (f)(3) filed 8-13-2012; operative 9-12-2012 (Register 2012, No. 33).
§100124. Advanced EMT Recertification.
Note     •     History

In order to recertify, an Advanced EMT shall: 
(a) Possess a current Advanced EMT Certification issued in California.
(b) Obtain at least thirty-six (36) hours of continuing education hours (CEH) from an approved continuing education (CE) provider in accordance with the provisions contained in the Prehospital Continuing Education Chapter, Chapter 11 of this Division.
(c) Complete an application form that contains this statement, “I hereby certify under penalty of perjury that all information on this application is true and correct to the best of my knowledge and belief, and I understand that any falsification or omission of material facts may cause forfeiture on my part of all rights to Advanced EMT certification in the state of California. I understand all information on this application is subject to verification, and I hereby give my express permission for this certifying entity to contact any person or agency for information related to my role and function as an Advanced EMT in California.”
(d) Disclose any certification or licensure action against an EMT, Advanced EMT, EMT-II certificate or a Paramedic license or any denial of certification by a LEMSA or in the case of Paramedic licensure, a denial by the Authority. 
(e) Starting July 1, 2010, complete the criminal history background check requirements as specified in Article 4, Chapter 10 of this Division.
(f) Submit a completed Advanced EMT Skills Competency Verification Form, EMSA-AEMT SCVF (01/07) incorporated herein by reference. Skills competency shall be verified by direct observation of an actual or simulated patient contact. Skills competency shall be verified by an individual who is currently certified or licensed as an Advanced EMT, Paramedic, Registered Nurse, Physician Assistant, or Physician and who shall be designated as part of a skills competency verification process approved by the LEMSA. The skills requiring verification of competency are:
(1) Injection (IM or SQ)
(2) Peripheral IV
(3) IV Push Medication 
(4) Inhaled medications
(5) Blood Glucose Determination
(6) Perilaryngeal Airway Adjunct
(g) If the Advanced EMT recertification requirements are met within six (6) months prior to the expiration date, the Advanced EMT Certifying Entity shall make the effective date of certification the date immediately following the expiration date of the current certificate. The certification expiration date will be the final day of the final month of the two (2) year period. 
(h) If the Advanced EMT recertification requirements are met greater than six (6) months prior to the expiration date, the Advanced EMT Certifying Entity shall make the effective date of certification the date the individual satisfactorily completes all certification requirements and has applied for certification. The certification expiration date shall not exceed two (2) years and shall be the final day of the final month of the two (2) year period. 
(i) An individual who is deployed for active duty with a branch of the Armed Forces of the United States, whose Advanced EMT or EMT-II certificate expires during the time the individual is on active duty or less than six (6) months from the date the individual is deactivated/released from active duty, may be given an extension of the expiration date of his/her Advanced EMT certificate for up to six (6) months from the date of the individual's deactivation/release from active duty in order to meet the renewal requirements for his/her Advanced EMT certificate upon compliance with the following provisions:
(1) Provide documentation from the respective branch of the Armed Forces of the United States verifying the individual's dates of activation and deactivation/release from active duty.
(2) If there is no lapse in certification, meet the requirements of subsection (a) through (f) of this Section. If there is a lapse in certification, meet the requirements of Section 100125 of this Chapter. 
(3) Provide documentation showing that the CE activities submitted for the certification renewal period were taken not earlier than thirty (30) days prior to the effective date of the individual's Advanced EMT or EMT-II certificate that was valid when he/she was activated for duty and not later than six (6) months from the date of deactivation/release from active duty.
(A) For an individual whose active duty required him/her to use his/her Advanced EMT or EMT-II skills, credit may be given for documented training that meets the requirements of Chapter 11, EMS CE Regulations (Division 9, Title 22, California Code of Regulations) while the individual was on active duty. The documentation shall include verification from the individual's Commanding Officer attesting to the classes attended.
(j) The Advanced EMT Certifying Entity shall issue a wallet-sized certificate card to eligible individuals who apply for Advanced EMT recertification. The wallet-sized certificate card shall contain the information specified in Section 100123(j). 
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.175, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.82, 1797.118, 1797.171, 1797.175, 1797.184, 1797.210, 1797.212 and 1797.214, Health and Safety Code; and United States Code, Title 10, Subtitle A, Chapter 1, Section 101.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100125. Advanced EMT Recertification After Lapse in Certification.
Note     •     History

(a) In order to be eligible for recertification, for an individual whose Advanced EMT Certification has lapsed, the following requirements shall apply:
(1) For a lapse of less than six (6) months, the individual shall comply with the requirements contained in Section 100124 (b), (c), (d), (e) and (f) of this Chapter.
(2) For a lapse of six (6) months or more, but less than twelve (12) months, the individual shall comply with the requirements of Section 100124(b), (c), (d), (e) and (f) of this Chapter, and complete an additional twelve (12) hours of continuing education for a total of forty-eight (48) hours of training.
(3) For a lapse of twelve (12) months or more, but less than twenty-four (24) months, the individual shall comply with the requirements of Section 100124(b), (c), (d), (e) and (f) of this Chapter and complete an additional twenty-four (24) hours of continuing education for a total of sixty (60) hours of training and the individual shall pass the written and skills certification exam as specified in Section 100123(a)(3).
(4) For a lapse of greater than twenty-four (24) months, the individual shall complete an entire Advanced EMT course and comply with the requirements of Section 100123(a).
(5) Individuals who are a member of the reserves and are deployed for active duty with a branch of the Armed Forces of the United States, whose Advanced EMT or EMT-II certificate expires during the time they are on active duty may be given an extension of the expiration date of their Advanced EMT or EMT-II certificate for up to six (6) months from the date of their deactivation/release from active duty in order to meet the renewal requirements for their Advanced EMT certificate upon compliance with the provisions of Section 100124(i) of this Chapter and the requirements of subsection (a) of this section.
(b) The effective date of recertification shall be the date the individual satisfactorily completes all certification requirements and has applied for recertification. The certification expiration date shall be the final day of the final month of the two (2) year period.
(c) The Advanced EMT Certifying Entity shall issue a wallet-sized certificate card to eligible individuals who apply for recertification and successfully complete the recertification requirements. The certificate shall contain the information specified in Section 100344(c) of Chapter 10 of this Division.
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.175, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.82, 1797.118, 1797.171, 1797.175, 1797.184, 1797.210 and 1797.212, Health and Safety Code; and United States Code, Title 10, Subtitle A, Chapter 1, Section 101.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 5. Operational Requirements
§100126. Advanced EMT Service Provider.
Note     •     History

(a) A LEMSA with a LALS system, shall establish policies and procedures for the approval, designation and evaluation through its EMSQIP of Advanced EMT service provider(s). These policies and procedures shall include provisions requiring an Advanced EMT to be affiliated with an approved Advanced EMT service provider in order to perform the scope of practice specified in this Chapter.
(b) An approved Advanced EMT service provider shall:
(1) Provide emergency medical service response on a continuous twenty-four (24) hours per day basis unless otherwise specified by the LEMSA, in which case there shall be adequate justification for the exemption (e.g., lifeguards, ski patrol personnel, etc.).
(2) Have and agree to utilize and maintain telecommunications as specified by the LEMSA.
(3) Maintain a drug and solution inventory, basic and LALS medical equipment and supplies as specified by the LEMSA.
(4) Have a written agreement with the LEMSA to participate in the LALS program and to comply with all applicable State regulations, and local policies and procedures, including participation in the LEMSA's EMSQIP as specified in Section 100107.1.
(5) Be responsible for assessing the current knowledge of their Advanced EMTs in local policies, procedures, and protocols and for assessing their Advanced EMTs skills competency.
(c) No Advanced EMT service provider shall advertise itself as providing ALS or Paramedic services unless it does, in fact, routinely provide ALS or Paramedic services on a continuous twenty-four (24) hours per day basis and meets the requirements of subsection (b) of this section.
(d) For Advanced EMT service providers, no responding unit shall advertise itself as providing ALS services unless it does, in fact, provide ALS services and meets the requirements of subsection (b) of this section.
(e) The LEMSA may deny, suspend, or revoke the approval of an Advanced EMT service provider for failure to comply with applicable policies, procedures, and regulations.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.2, 1797.82, 1797.171, 1797.178, 1797.180, 1797.204 and 1797.218, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100127. Advanced EMT and/or EMT-II Base Hospital.
Note     •     History

(a) A LEMSA with a LALS system shall designate an Advanced EMT and/or EMT-II base hospital(s) or alternative base stations to provide medical direction and supervision of Advanced EMT personnel. A Paramedic base hospital may serve as an Advanced EMT and/or EMT-II base hospital. 
(b) A designated Advanced EMT and/or EMT-II base hospital shall:
(1) Be licensed by the California Department of Public Health as a general acute care hospital.
(2) Have a special permit for Basic or Comprehensive Emergency Medical Service pursuant to the provisions of Division 5, or have been granted approval by the Authority for utilization as a base hospital pursuant to the provisions of Section 1798.101 of the Health and Safety Code.
(3) Be accredited by a Centers for Medicare and Medicaid Services approved deeming authority.
(4) Have and agree to utilize and maintain two-way telecommunications as specified by the LEMSA, capable of direct two-way voice communication with the Advanced EMT field units assigned to the hospital.
(5) Have a written agreement with the LEMSA indicating the concurrence of hospital administration, medical staff and emergency department staff to meet the requirements for program participation as specified in this Chapter and by the LEMSA's policies and procedures.
(6) Assure that a Physician, licensed in the State of California, experienced in emergency medical care, is assigned to the emergency department, and is available at all times to provide immediate medical direction to the Mobile Intensive Care Nurse, or Advanced EMT personnel. This Physician shall have experience in and knowledge of base hospital radio operations and LEMSA policies, procedures and protocols. 
(7) Assure that nurses giving radio direction to Advanced EMT personnel are trained and certified as Mobile Intensive Care Nurses by the medical director of the LEMSA.
(8) Designate an Advanced EMT base hospital medical director who shall be a Physician on the hospital staff, licensed in the State of California who is certified or prepared for certification by the American Board of Emergency Medicine. The requirement of board certification or prepared for certification may be waived by the medical director of the LEMSA. This Physician shall be regularly assigned to the emergency department, have experience in and knowledge of base hospital telecommunications and LEMSA policies and procedures and shall be responsible for functions of the base hospital including quality improvement as designated by the medical director of the LEMSA. 
(9) Identify a base hospital coordinator who is a California licensed Registered Nurse with experience in and knowledge of base hospital operations and LEMSA policies and procedures and is a prehospital liaison to the LEMSA.
(10) Ensure that a mechanism exists for replacing medical supplies and equipment used by LALS personnel during treatment of patients according to policies and procedures established by the LEMSA.
(11) Ensure a mechanism exists for initial supply and replacement of controlled substances administered by LALS personnel during treatment of patients according to policies and procedures established by the LEMSA.
(12) Provide for CE in accordance with the policies and procedures of the LEMSA.
(13) Agree to participate in the LEMSA's EMSQIP, which may include making available all relevant records for program monitoring and evaluation.
(c) If no qualified base hospital is available to provide medical direction, the medical director of the LEMSA may approve an alternative base station pursuant to Health and Safety Code Section 1798.105. 
(d) The LEMSA may deny, suspend, or revoke the approval of a base hospital for failure to comply with any applicable policies, procedures, and regulations.
NOTE

Authority cited: Sections 1797.107 and 1797.171, Health and Safety Code. Reference: Sections 1797.53, 1797.58, 1797.82, 1797.101, 1797.171, 1797.178, 1798, 1798.2, 1798.3, 1798.100, 1798.102, 1798.104 and 1798.105, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
2. Amendment of subsections (b)(3) and (b)(9) filed 8-13-2012; operative 9-12-2012 (Register 2012, No. 33).
§100128. Medical Control.
Note     •     History

The medical directorof a LEMSA shall establish and maintain medical control in the following manner:
(a) Prospectively, by assuring the development of written medical policies and procedures, to include at a minimum:
(1) Treatment protocols that encompass the Advanced EMT scope of practice.
(2) Local medical control policies and procedures as they pertain to the Advanced EMT base hospitals, alternative base stations, patient destination, and the LEMSA.
(3) Criteria for initiating specified emergency treatments on standing orders, which are consistent with this Chapter.
(4) Requirements to be followed when it is determined that the patient will not require transport to the hospital by ambulance or when the patient refuses transport. 
(5) Requirements for initiating, completing, reviewing and retaining patient care records as specified in this Chapter. These requirements shall address, but not be limited to:
(A) Initiation of a record for every patient contact.
(B) Responsibilities for record completion.
(C) Responsibilities for record review and evaluation.
(D) Responsibilities for record retention.
(E) Record distribution to include the LEMSA, receiving hospital, Advanced EMT and/or EMT-II base hospital, alternative base station, and Advanced EMT and/or EMT-II service provider. 
(b) Establish policies which provide for direct voice communication between an Advanced EMT and/or EMT-II and base hospital Physician or Mobile Intensive Care Nurse, as needed.
(c) Retrospectively, by providing for organized evaluation and CE for Advanced EMT and/or EMT-II personnel. This shall include, but need not be limited to:
(1) Review by a base hospital Physician or Mobile Intensive Care Nurse of the appropriateness and adequacy of ALS procedures initiated and decisions regarding transport.
(2) Maintenance of records of communications between the service provider(s) and the base hospital through audio recordings and through emergency department communication logs sufficient to allow for medical control and continuing education of the Advanced EMT and/or EMT-II.
(3) Organized field care audit(s).
(4) Organized opportunities for CE including maintenance and proficiency of skills as specified in this Chapter.
(d) In circumstances where use of a base hospital as defined in Section 100127 is precluded, alternative arrangements for complying with the requirements of this Section may be instituted by the medical director of the LEMSA if approved by the Authority.
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.176, Health and Safety Code. Reference: Sections 1797.82, 1797.90, 1797.171, 1797.202, 1797.220, 1798, 1798.2, 1798.3, 1798.101 and 1798.105, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 6. Record Keeping and Fees
§100129. Record Keeping.
Note     •     History

(a) Each Advanced EMT Approving Authority shall maintain a list of approved training programs within its jurisdiction and provide the Authority annually with the names, addresses, phone number, course director, frequency of classes, student eligibility requirements and cost of each class and date of expiration for each approved program. The Authority shall be notified of any changes in the list of approved training programs as such occurs.
(b) Each Advanced EMT Approving Authority shall maintain a list of current Advanced EMT program medical directors, course directors and principal instructors within its jurisdiction.
(c) The Authority shall maintain a record of approved Advanced EMT training programs.
(d) The Advanced EMT is responsible for accurately completing the patient care record referenced in 100128(a)(5) which shall contain, but not be limited to, the following information when such information is available to the Advanced EMT:
(1) The date and estimated time of incident.
(2) The time of receipt of the call (available through dispatch records).
(3) The time of dispatch to the scene.
(4) Time of unit enroute.
(5) Time of arrival at the scene.
(6) The location of the incident.
(7) The patient's:
(A) Name;
(B) age;
(C) gender;
(D) weight, if necessary for treatment;
(E) address;
(F) chief complaint; and
(G) vital signs.
(8) Appropriate physical assessment.
(9) The emergency care rendered and the patient's response to such treatment.
(10) Name of designated Physician and/or authorized Registered Nurse issuing orders.
(11) Patient disposition.
(12) The time of departure from scene.
(13) The time of arrival at receiving hospital (if transported).
(14) The name of receiving facility (if transported).
(15) The name(s) and unique identifier number(s) of the Advanced EMT(s).
(16) Signature(s) of Advanced EMT(s).
(e) A LEMSA utilizing computer or other electronic means of collecting and storing the information specified in subsection (d) of this section shall, in consultation with EMS providers, establish policies for the collection, utilization and storage of such data. 
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.175, Health and Safety Code. Reference: Sections 1797.82, 1797.171, 1797.173, 1797.200, 1797.202, 1797.204 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100130. Fees.
Note     •     History

A LEMSA may establish a schedule of fees for Advanced EMT training program review and approval, Advanced EMT certification, and the Advanced EMT recertification in an amount sufficient to cover the reasonable cost of complying with the provisions of this Chapter.
NOTE

Authority cited: Sections 1797.107, 1797.171 and 1797.212, Health and Safety Code. Reference: Sections 1797.61, 1797.82, 1797.171, 1797.184 and 1797.212, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Chapter 4. Emergency Medical Technician-Paramedic
Article 1. Definitions
§100135. Approved Testing Agency.
Note     •     History

“Approved Testing Agency” means an agency approved by the Emergency Medical Services Authority (Authority) to administer the licensure examination.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.185, Health and Safety Code. Reference: Sections 1797.172 and 1797.185, Health and Safety Code.
HISTORY

1. New section filed 7-10-89; operative 8-9-89 (Register 89, No. 29).
2. Amendment of chapter heading and section filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
3. Amendment filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100136. Emergency Medical Services System Quality Improvement Program.
Note     •     History

“Emergency Medical Services System Quality Improvement Program” or “EMSQIP” means methods of evaluation that are composed of structure, process, and outcome evaluations which focus on improvement efforts to identify root causes of problems, intervene to reduce or eliminate these causes, and take steps to correct the process and recognize excellence in performance and delivery of care, pursuant to the provisions of Chapter 12 of this Division. This is a model program which will develop over time and is to be tailored to the individual organization's quality improvement needs and is to be based on available resources for the EMSQIP.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.185, Health and Safety Code. Reference: Sections 1797.172 and 1797.204, Health and Safety Code.
HISTORY

1. Amendment filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Renumbering of former section 100136 to section 100137 and new section 100136 filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
3. Amendment of section heading and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Amendment filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100137. Paramedic Training Program Approving Authority.
Note     •     History

“Paramedic training program approving authority” means an agency or person authorized by this Chapter to approve a Paramedic training program and/or a Critical Care Paramedic (CCP) training program, as follows:
(a) The approving authority for a Paramedic training program and/or a Critical Care Paramedic (CCP) training program conducted by a qualified statewide public safety agency shall be the director of the Authority.
(b) The approving authority for any other Paramedic training program and/or a Critical Care Paramedic (CCP) training program not included in subsection (a) shall be the local EMS agency (LEMSA) which has jurisdiction in the area in which the training program is headquartered.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.172, 1797.200 and 1797.208, Health and Safety Code.
HISTORY

1. Amendment filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Amendment filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
4. 11-29-93 order refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
6. Editorial correction of History 1 (Register 95, No. 25).
7. Renumbering of former section 100137 to section 100138 and renumbering of former section 100136 to section 100137, including amendment of section heading and section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
8. Amendment filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100138. Paramedic Licensing Authority.
Note     •     History

“Paramedic Licensing Authority” means the director of the Authority.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.194, Health and Safety Code. Reference: Sections 1797.172, 1797.194 and 1797.210, Health and Safety Code.
HISTORY

1. New section filed 5-17-84; effective thirtieth day thereafter (Register 84, No. 20).
2. Editorial correction of History No. 1 (Register 89, No. 29).
3. Renumbering of former section 100138 to section 100139 and renumbering of former section 100137 to section 100138, including amendment of section heading, section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
4. Amendment filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100139. Paramedic.
Note     •     History

“Paramedic” or “EMT-P” or “mobile intensive care paramedic” means an individual who is educated and trained in all elements of prehospital advanced life support (ALS); whose scope of practice to provide ALS is in accordance with the standards prescribed by this Chapter, and who has a valid license issued pursuant to this Chapter.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.194, Health and Safety Code. Reference: Sections 1797.84, 1797.172 and 1797.194, Health and Safety Code.
HISTORY

1. Repealer and renumbering and amendment of former section 100140 to section 100139 filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 92, No. 10.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with amendment and filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100139 to section 100141 and renumbering of former section 100138 to section 100139, including amendment of section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Amendment of section heading and section filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100140. Licensure Skills Examination.
Note     •     History

“Skills or practical examination” means the National Registry of Emergency Medical Technicians (NREMT) EMT-Paramedic Practical Examination to test the skills of an individual applying for licensure as a paramedic. Examination results shall be valid for application purposes for two (2) years from the date of examination.
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.172, 1797.175, 1797.185 and 1797.194, Health and Safety Code.
HISTORY

1. Renumbering of former section 100140 to section 100139 and renumbering and amendment of former section 100141 to section 100140 filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 92, No. 10.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order  refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with amendment and filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100140 to section 100142 and renumbering of former section 100142 to section 100140, including amendment of section heading, section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. Amendment filed 6-26-2008; operative 7-26-2008 (Register 2008, No. 26).
9. Amendment filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100141. Licensure Written Examination.
Note     •     History

“Licensure Written Examination” means the NREMT EMT-Paramedic Written Examination to test an individual applying for licensure as a paramedic. Examination results shall be valid for application purposes for two (2) years from date of examination.
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.63, 1797.172, 1797.175, 1797.185, 1797.194 and 1797.210, Health and Safety Code.
HISTORY

1. Renumbering of former section 100141 to section 100140 and renumbering  of former section 100141.2 to section 100141 filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 89, No. 29.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
5. Repealer of former section 100141 and renumbering of former section 100139 to section 100141, including amendment of section heading, section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
6. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
7. Amendment filed 6-26-2008; operative 7-26-2008 (Register 2008, No. 26).
8. Amendment filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100141.2. Quality Assurance. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.185, Health and Safety Code. Reference: Sections 1797.172 and 1797.204, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
2. Renumbering of former section 100141.2 to section 100141 filed 11-29-93 as an emergency;  operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
4. Renumbering of former section 100141.2 to section 100141 refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
§100141.5. State EMT-P Application. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.63, 1797.172, 1797.185 and 1797.194, Health and Safety Code.
HISTORY

1. New section filed 12-20-89 as an emergency; operative 12-20-89 (Register 89, No. 52). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-19-90.
2. Certificate of Compliance as to 12-20-89 order transmitted to OAL 3-16-90 and filed 4-12-90 (Register 90, No. 18).
3. Amendment filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
4. Amendment of section heading and repealer and new text filed  11-29-93 as an emergency;  operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
6. 11-29-93 order refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
8. Renumbering of former section 100141.5 to section 100143 filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
§100142. Local Accreditation.
Note     •     History

“Local Accreditation” or “accreditation” or “accreditation to practice” means authorization by the LEMSA to practice as a paramedic within that jurisdiction. Such authorization indicates that the paramedic has completed the requirements of Section 100165 of this Chapter.
NOTE

Authority cited: Sections 1797.7, 1797.107, 1797.172 and 1797.185, Health and Safety Code. Reference: Sections 1797.172, 1797.178, 1797.185, 1797.194 and 1797.210, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100142 to section 100146, and new section 100142 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Amendment  filed  11-29-93 as an emergency;  operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
4. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 3 (Register 94, No. 21).
6. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with amendment and filed 10-24-94 (Register 94, No. 43).
7. Renumbering of former section 100142 to section 100140 and renumbering of former section 100140 to section 100142, including amendment of section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
8. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
9. Amendment filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100142.5. State Written Examination. [Repealed]
History

HISTORY

1. New section filed 12-20-89 as an emergency; operative 12-20-89 (Register 89, No. 52). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-19-90.
2. Editorial correction of HISTORY  1. to read “4-19-90” instead of “4-19-89” (Register 90, No. 18).
3. Certificate of Compliance as to 12-20-89 order transmitted to OAL 3-16-90 and filed 4-12-90 (Register 90, No. 18).
4. Repealer filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
§100143. State Paramedic Application.
Note     •     History

“State Paramedic Application” or “state application” means an application form provided by the Authority to be completed by an individual applying for a license or renewal of license, as identified in Section 100163.
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.63, 1797.172, 1797.185 and 1797.194, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100143 to section 100147, and renumbering and amendment of section 100140 to section 100143 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Editorial correction of printing error restoring section (Register 91, No. 32).
3. Amendment filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
4. Editorial correction of Note (Register 99, No. 12).
5. Renumbering of former section 100143 to section 100144 and renumbering of former section 100141.5 to section 100143, including amendment of section heading, section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
6. Editorial correction removing duplicative article 2 heading (Register 99, No. 14).
7. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. Amendment filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100144. Critical Care Paramedic.
Note     •     History

A “Critical Care Paramedic” (CCP) is an individual who is educated and trained in critical care transport, whose scope of practice is in accordance to the standards prescribed by this Chapter, holds a current certification as a CCP by the Board for Critical Care Transport Paramedic Certification (BCCTPC), who has a valid license issued pursuant to this Chapter, and is accredited by a LEMSA.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.194, Health and Safety Code. Reference: Sections 1797.84, 1797.172 and 1797.194, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100144 to section 100148, and renumbering and amendment of section 100141 to section 100144 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Editorial correction of printing error in subsections (b), (b)(3) and (b)(13)(Q) (Register 91, No. 32).
3. Amendment filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
4. Renumbering of former section 100144 to section 100145 and renumbering of former section 100143 to section 100144, including amendment of section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
5. Amendment of subsection (a) filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
6. Relocation of article 2 heading to precede section 100145, renumbering of former section 100144 to section 100145 and new section 100144 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
Article 2. General Provisions
§100145. Application of Chapter.
Note     •     History

(a) Any LEMSA that authorizes a paramedic training program or an ALS service that provides services utilizing paramedic personnel as part of an organized EMS system, shall be responsible for approving paramedic training programs, paramedic service providers, paramedic base hospitals, and for developing and enforcing standards, regulations, policies and procedures in accordance with this chapter to provide an EMS system quality improvement program, appropriate medical control, and coordination of paramedic personnel and training program(s) within an EMS system.
(b) No person or organization shall offer a paramedic training program, or hold themselves out as offering a paramedic training program, or hold themselves out as providing ALS services utilizing paramedics for the delivery of emergency medical care unless that person or organization is authorized by the LEMSA.
(c) A paramedic who is not licensed in California may temporarily perform his/her scope of practice in California on a mutual aid response, on routine patient transports from out of state into California, or during a special event, when approved by the medical director of the LEMSA, if the following conditions are met:
(1) The paramedic is licensed or certified in another state/country or under the jurisdiction of the federal government.
(2) The paramedic restricts his/her scope of practice to that for which s/he is licensed or certified.
(3) Medical control as specified in Section 1798 of the Health and Safety Code is maintained in accordance with policies and procedures established by the medical director of the LEMSA.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.195, Health and Safety Code. Reference: Sections 1797.172, 1797.178, 1797.185, 1797.195, 1797.200, 1797.204, 1797.206, 1797.208, 1797.218, 1797.220, 1798 and 1798.100, Health and Safety Code.
HISTORY

1. Renumbering of former section 100145 to section 100149, and renumbering and amendment of section 100141(b)(14) to section 100145 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Editorial correction of printing errors in subsections (b) and (f)(1) (Register 91, No. 32).
3. Amendment filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
4. Renumbering of former section 100145 to section 100146 and renumbering of former section 100144 to section 100145, including amendment of section heading, section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
5. Amendment of subsections (c)(1)(C), (c)(1)(H), (c)(1)(N)7. and (c)(1)(N)20., repealer of subsection (c)(1)(N)21. and amendment of subsections (c)(2)(B)-(D) and (d) filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
6. Relocation of article 2 heading from preceding section 100144 to precede section 100145, renumbering of former section 100145 to section 100146 and renumbering and amendment of former section 100144 to section 100145 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100146. Scope of Practice of Paramedic.
Note     •     History

(a) A paramedic may perform any activity identified in the scope of practice of an EMT in Chapter 2 of this Division, or any activity identified in the scope of practice of an Advanced EMT (AEMT) in Chapter 3 of this Division.
(b) A paramedic shall be affiliated with an approved paramedic service provider in order to perform the scope of practice specified in this Chapter.
(c) A paramedic student or a licensed paramedic, as part of an organized EMS system, while caring for patients in a hospital as part of his/her training or continuing education (CE) under the direct supervision of a physician, registered nurse, or physician assistant, or while at the scene of a medical emergency or during transport, or during interfacility transfer, or while working in a small and rural hospital pursuant to Section 1797.195 of the Health and Safety Code, may perform the following procedures or administer the following medications when such are approved by the medical director of the LEMSA and are included in the written policies and procedures of the LEMSA.
(1) Basic Scope of Practice:
(A) Utilize electrocardiographic devices and monitor electrocardiograms, including 12-lead electrocardiograms (ECG). 
(B) Perform defibrillation, synchronized cardioversion, and external cardiac pacing.
(C) Visualize the airway by use of the laryngoscope and remove foreign body(-ies) with Magill forceps.
(D) Perform pulmonary ventilation by use of lower airway multi-lumen adjuncts, the esophageal airway, perilaryngeal airways, stomal intubation, and adult oral endotracheal intubation.  
(E) Utilize mechanical ventilation devices for continuous positive airway pressure (CPAP)/bi-level positive airway pressure (BPAP) and positive end expiratory pressure (PEEP) in the spontaneously breathing patient.
(F) Institute intravenous (IV) catheters, saline locks, needles, or other cannulae (IV lines), in peripheral veins and monitor and administer medications through pre-existing vascular access.
(G) Institute intraosseous (IO) needles or catheters. 
(H) Administer IV or IO glucose solutions or isotonic balanced salt solutions, including Ringer's lactate solution.
(I) Obtain venous blood samples.
(J) Use laboratory devices, including point of care testing, for pre-hospital screening use to measure lab values including, but not limited to: glucose, capnometry, capnography, and carbon monoxide when appropriate authorization is obtained from State and Federal agencies, including from the Centers for Medicare and Medicaid Services pursuant to the Clinical Laboratory Improvement Amendments (CLIA).
(K) Utilize Valsalva maneuver.
(L) Perform percutaneous needle cricothyroidotomy.
(M) Perform needle thoracostomy.
(N) Perform nasogastric and orogastric tube insertion and suction.
(O) Monitor thoracostomy tubes.
(P) Monitor and adjust IV solutions containing potassium, equal to or less than 40 mEq/L.
(Q) Administer approved medications by the following routes: IV, IO, intramuscular, subcutaneous, inhalation, transcutaneous, rectal, sublingual, endotracheal, intranasal, oral or topical.
(R) Administer, using prepackaged products when available, the following medications:
1. 10%, 25% and 50% dextrose;
2. activated charcoal;
3. adenosine;
4. aerosolized or nebulized beta-2 specific bronchodilators;
5. amiodarone;
6. aspirin;
7. atropine sulfate;
8. pralidoxime chloride;
9. calcium chloride;
10. diazepam;
11. diphenhydramine hydrochloride;
12. dopamine hydrochloride;
13. epinephrine;
14. fentanyl;
15. glucagon;
16. ipratropium bromide;
17. lorazepam;
18. midazolam;
19. lidocaine hydrochloride;
20. magnesium sulfate;
21. morphine sulfate;
22. naloxone hydrochloride;
23. nitroglycerine preparations, except IV, unless permitted under (c)(2)(A) of this section;
24. ondansetron;
25. sodium bicarbonate.
(S) In addition to the approved paramedic scope of practice, the CCP may perform the following procedures and administer medications, as part of the basic scope of practice for interfacility transports, when a licensed and accredited paramedic has completed a Critical Care Paramedic (CCP) training program as specified in Section 100160(b) and successfully completed competency testing, holds a current certification as a CCP from the BCCTPC, and other requirements as determined by the medical director of the LEMSA.
1. set up and maintain thoracic drainage systems;
2. set up and maintain mechanical ventilators;
3. set up and maintain IV fluid delivery pumps and devices;
4. blood and blood products;
5. glycoprotein IIB/IIIA inhibitors;
6. heparin IV;
7. nitroglycerin IV;
8. norepinephrine;
9. thrombolytic agents;
10. maintain total parenteral nutrition;
(2) Local Optional Scope of Practice:
(A) Perform or monitor other procedure(s) or administer any other medication(s) determined to be appropriate for paramedic use, in the professional judgement of the medical director of the LEMSA, that have been approved by the Director of the Authority when the paramedic has been trained and tested to demonstrate competence in performing the additional procedures and administering the additional medications.
(B) The medical director of the LEMSA shall submit Form #EMSA-0391, Revised 03/18/03 to, and obtain approval from, the Director of the Authority in accordance with Section 1797.172(b) of the Health and Safety Code for any procedures or medications proposed  for use pursuant to this subsection prior to implementation of these medication(s) and or procedure(s).
(C) The Authority shall, within fourteen (14) days  of receiving the request, notify the medical director of the LEMSA submitting request Form #EMSA-0391 that the request form has been received, and shall specify what information, if any, is missing.
(D) The Director of the Authority, in consultation with the Emergency Medical Directors Association of California's Scope of Practice Committee, shall approve or disapprove the request for additional procedures and/or medications and notify the LEMSA medical director of the decision within ninety (90) days of receipt of the completed request. Approval is for a three (3) year period and may be renewed for another three (3) year period, based on evidence from a written request that includes at a minimum the utilization of the procedure(s) or medication(s), beneficial effects, adverse reactions or complications, appropriate statistical evaluation, and general conclusion.
(E) The Director of the Authority, in consultation with a committee of the LEMSA medical directors named by the Emergency Medical Directors Association of California, may suspend or revoke approval of any previously approved additional procedure(s) or medication(s) for cause.
(d) The medical director of the LEMSA may develop policies and procedures or establish standing orders allowing the paramedic to initiate any paramedic activity in the approved scope of practice without voice contact for medical direction from a physician or mobile intensive care nurse (MICN), provided that an EMSQIP, as specified in Chapter 12 of this Division, is in place.
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.185, 1797.192, 1797.195 and 1797.214, Health and Safety Code. Reference: Sections 1797.172 and 1797.185, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100146 to section 100150, and renumbering and amendment of section 100142 to section 100146 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Amendment of subsections (b) and (d) filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
3. Renumbering of former section 100146 to section 100147 and renumbering of former section 100145 to section 100146, including amendment of section heading and section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
4. Amendment of subsections (c)-(g), (g)(2), (i) and (k) filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
5. Renumbering of former section 100146 to section 100147 and renumbering and amendment of former section 100145 to section 100146 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100147. Paramedic Trial Studies.
Note     •     History

A paramedic may perform any prehospital emergency medical care treatment procedures(s) or administer any medication(s) on a trial basis when approved by the medical director of the LEMSA and the Director of the Authority.
(a) The medical director of the LEMSA shall review a trial study plan, which at a minimum shall include the following:
(1) A description of the procedure(s) or medication(s) proposed, the medical conditions for which they can be utilized, and the patient population that will benefit.
(2) A compendium of relevant studies and material from the medical literature.
(3) A description of the proposed study design including the scope of the study and method of evaluating the effectiveness of the procedure(s) or medication(s), and expected outcome.
(4) Recommended policies and procedures to be instituted by the LEMSA regarding the use and medical control of the procedure(s) or medication(s) used in the study.
(5) A description of the training and competency testing required to implement the study.
(b) The medical director of the LEMSA shall appoint a local medical advisory committee to assist with the evaluation and approval of trial studies. The membership of the committee shall be determined by the medical director of the LEMSA, but shall include individuals with knowledge and experience in research and the effect of the proposed study on the EMS system.
(c) The medical director of the LEMSA shall submit the proposed study and send a copy of the proposed trial study plan at least forty-five (45) days prior to the proposed initiation of the study to the Director of the Authority for approval in accordance with the provisions of section 1797.172 of the Health & Safety Code. The Authority shall inform the Commission on EMS (Commission) of studies being initiated.
(d) The Authority shall notify, within fourteen (14) days of receiving the request, the medical director of the LEMSA submitting its request for approval of a trial study that the request has been received, and shall specify what information, if any, is missing.
(e) The Director of the Authority shall render the decision to approve or disapprove the trial study within forty-five (45) days of receipt of all materials specified in subsections (a) and (b) of this section.
(f) The medical director of the LEMSA within eighteen (18) months of initiation of the procedure(s) or medication(s), shall submit a written report to the Commission which includes at a minimum the progress of the study, number of patients studied, beneficial effects, adverse reactions or complications, appropriate statistical evaluation, and general conclusion.
(g) The Commission shall review the above report within two (2) meetings and advise the Authority to do one of the following:
(1) Recommend termination of the study if there are adverse effects or no benefit from the study is shown.
(2) Recommend continuation of the study for a maximum of eighteen (18) additional months if potential but inconclusive benefit is shown.
(3) Recommend the procedure, or medication, be added to the paramedic basic or local optional scope of practice.
(h) If option (g)(2) is selected, the Commission may advise continuation of the study as structured or alteration of the study to increase the validity of the results.
(i) At the end of the additional eighteen (18) month period, a final report shall be submitted to the Commission with the same format as described in (f) above.
(j) The Commission shall review the final report and advise the Authority to do one of the following:
(1) Recommend termination or further extension of the study.
(2) Recommend the procedure or medication be added to the paramedic basic or local optional scope of practice.
(k) The Authority may require the trial study(ies) to cease after thirty-six (36) months.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.3, 1797.172 and 1797.221, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 100147 to Section 100151, and renumbering and amendment of Section 100143 to Section 100147 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Renumbering of former section 100147 to section 100148 and renumbering of former section 100146 to section 100147, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
3. Amendment of subsections (a) and (c)(3) filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Renumbering of former section 100147 to section 100148 and renumbering and amendment of former section 100146 to section 100147 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100148. Responsibility of the LEMSA.
Note     •     History

The LEMSA that authorizes an ALS program shall establish policies and procedures approved by the medical director of the LEMSA that shall include:
(a) Approval, denial, revocation of approval, suspension, and monitoring of training programs, base hospitals or alternative base stations, and paramedic service providers.
(b) Assurance of compliance with provisions of this Chapter by the paramedic program and the EMS system.
(c) Submission to the Authority, as changes occur, of the following information on the approved paramedic training programs:
(1) Name of program director and/or program contact;
(2) Address, phone number, and facsimile number;
(3) Date of approval, date classes will initially begin, and date of expiration.
(d) Development or approval, implementation and enforcement of policies for medical control, medical accountability, and an EMSQIP of the paramedic services, including:
(1) Treatment and triage protocols.
(2) Patient care record and reporting requirements.
(3) Medical care audit system.
(4) Role and responsibility of the base hospital and paramedic service provider.
(e) System data collection and evaluation.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.172, 1797.178, 1797.200, 1797.202, 1797.204, 1797.208, 1797.220, 1798 and 1798.100, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100148 to section 100152, and renumbering an amendment of section 100144 to section 100148 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Editorial correction of printing error in subsection (b) (Register 91, No. 32).
3. Amendment of subsections (b) and (c)(3) filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
4. Editorial correction of subsection (c)(3) (Register 99, No. 12).
5. Amendment of article heading, renumbering of former section 100148 to section 100149 and renumbering of former section 100147 to section 100148, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
6. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
7. Relocation of article 3 heading to precede section 100149, renumbering of former section 100148 to section 100149 and renumbering of former section 100147 to section 100148, including amendment of section heading and section, filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
Article 3. Program Requirements for Paramedic Training Programs
§100149. Approved Training Programs.
Note     •     History

(a) An approved paramedic training program or an institution eligible for paramedic training program approval, as defined in Section 100149(i) of this Chapter, may provide CCP training upon approval by the paramedic training program approving authority. The purpose of a paramedic training program shall be: 
The purpose of a paramedic training program shall be: 
(1) to prepare individuals to render prehospital ALS within an organized EMS system; and
(2) to prepare individuals to render critical care transport within an organized EMS system
(b) By January 1, 2004, all paramedic training programs approved by a paramedic training program approving authority prior to January 1, 2000, shall be accredited and maintain current accreditation by the Commission on Accreditation of Allied Health Education Programs (CAAHEP), upon the recommendation of the Committee on Accreditation of Educational Programs for the Emergency Medical Services Professions (CoAEMSP), in order to continue to operate as an approved paramedic training program.
(c) All paramedic training programs approved by a paramedic training program approving authority January 1, 2000, or thereafter shall submit their application, fee, and self study to CoAEMSP for accreditation within twelve (12) months of the start up of classes and receive and maintain CAAHEP accreditation no later than two (2) years from the date of application to CoAEMSP for accreditation in order to continue to operate as an approved paramedic training program.
(d) Paramedic training programs approved according to the provisions of this Chapter shall provide the following information to all their paramedic training program applicants prior to the applicants' enrollment in the paramedic training program:
(1) The date by which the paramedic training program must submit their application and self study for initial accreditation or their application for accreditation renewal to CoAEMSP.
(2) The date by which the paramedic training program must be initially accredited or have their accreditation renewed by CAAHEP.
(3) Failure of the paramedic training program to submit their application and self study or their accreditation renewal to CoAEMSP by the date specified will result in closure of the paramedic training program by their respective paramedic training program approving authority, unless the paramedic training program approving authority has approved a plan for meeting compliance as provided in Section 100157 of this Chapter. When a paramedic training program approval is revoked under this provision, the paramedic training program course director must demonstrate to the satisfaction of their respective paramedic training program approving authority that the deficiency for which the paramedic training program approval was revoked has been rectified before submitting a new application for paramedic training program approval.
(4) Failure of the paramedic training program to obtain or maintain CAAHEP accreditation by the required date will result in closure of the paramedic training program by their respective paramedic training program approving authority, unless the paramedic training program approving authority has approved a plan for meeting compliance as provided in Section 100157 of this Chapter. When a paramedic training program approval has been revoked under this provision, the paramedic training program course director must demonstrate to the satisfaction of their respective paramedic training program approving authority that the deficiency for which the paramedic training program approval was revoked has been rectified before submitting a new application for paramedic training program approval.
(5) Students graduating from a paramedic training program that fails to apply for accreditation with, receive accreditation from, or maintain accreditation with, CAAHEP by the dates required will not be eligible for state licensure as a paramedic.
(e) Paramedic training programs shall submit to their respective paramedic training program approving authority all documents submitted to, and received from, CoAEMSP and CAAHEP for accreditation, including but not limited to, the initial application and self study for accreditation and the documents required for maintaining accreditation.
(f) Paramedic training programs shall submit to the Authority the date their initial application was submitted to CoAEMSP and copies of documentation from CoAEMSP and/or CAAHEP verifying accreditation.
(g) Paramedic training program approving authorities shall revoke approval, in accordance with Section 100157 of this Chapter, of any paramedic training program which fails to comply with subsections (b) through (e) of this Section.
(h) Approved paramedic training programs shall participate in the EMSQIP of their respective paramedic training program approving authority. In addition, an approved paramedic training program, which is conducting a paramedic training program outside the jurisdiction of their approving authority, shall also agree to participate in the EMSQIP of the LEMSA which has jurisdiction where the paramedic training program is being conducted.
(i) Eligibility for program approval shall be limited to the following institutions:
(1) Accredited universities, colleges, including junior and community colleges, and private post-secondary schools as approved by the State of California, Department of Consumer Affairs, Bureau of Private Postsecondary Education.
(2) Medical training units of a branch of the Armed Forces or Coast Guard of the United States.
(3) Licensed general acute care hospitals which meet the following criteria:
(A) Hold a special permit to operate a basic or comprehensive emergency medical service pursuant to the provisions of Division 5;
(B) Provide continuing education (CE) to other health care professionals; and
(C) are accredited by a Centers for Medicare and Medicaid Services approved deeming authority.
(4) Agencies of government.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.173, Health and Safety Code. Reference: Sections 1797.172, 1797.173, 1797.208 and 1797.213, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 100149 to Section 100153, and renumbering of Section 100145 to Section 100149 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Renumbering of former section 100149 to section 100150 and renumbering of former section 100148 to section 100149, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
3. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Relocation of article 3 heading from preceding section 100148 to precede section 100149, renumbering of former section 100149 to section 100150 and renumbering and amendment of former section 100148 to section 100149 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100150. Teaching Staff.
Note     •     History

(a) Each training program shall have an approved program medical director who shall be a physician currently licensed in the State of California, who has two (2) years experience in prehospital care in the last five (5) years, and who is qualified by education or experience in methods of instruction. Duties of the program medical director shall include, but not be limited to:
(1) Review and approve educational content of the program curriculum, including training objectives for the clinical and field instruction, to certify its ongoing appropriateness and medical accuracy.
(2) Review and approve the quality of medical instruction, supervision, and evaluation of the students in all areas of the program.
(3) Approval of provision for hospital clinical and field internship experiences.
(4) Approval of principal instructor(s).
(b) Each training program shall have an approved course director who shall be licensed in California as a physician, a registered nurse who has a baccalaureate degree or a paramedic who has a baccalaureate degree, or shall be an individual who holds a baccalaureate degree in a related health field or in education. The course director shall be qualified by education and experience in methods, materials, and evaluation of instruction, and shall have a minimum of one (1) year experience in an administrative or management level position and have a minimum of three (3) years academic or clinical experience in prehospital care education within the last five (5) years. Duties of the course director shall include, but not be limited to:
(1) Administration, organization and supervision of the educational program.
(2) In coordination with the program medical director, approve the principal instructor, teaching assistants, field and hospital clinical preceptors, clinical and internship assignments, and coordinate the development of curriculum, including instructional objectives, and approve all methods of evaluation.
(3) Ensure training program compliance with this chapter and other related laws.
(4) Sign all course completion records.
(5) Ensure that the preceptor(s) are trained according to the curriculum in subsection (e)(4).
(c) Each training program shall have a principal instructor(s), who may also be the program medical director or course director if the qualifications in subsections (a) and (b) are met, who shall:
(1) Be a physician, registered nurse, physician assistant, or paramedic, currently certified or licensed in the State of California.
(2) Be knowledgeable in the course content of the United States Department of Transportation (U.S. DOT) National Emergency Medical Services Education Standards DOT HS 811 077A, January 2009, herein incorporated by reference; and
(3) Have six (6) years experience in an allied health field and an associate degree or two (2) years experience in an allied health field and a baccalaureate degree.
(4) Be responsible for areas including, but not limited to, curriculum development, course coordination, and instruction.
(5) Be qualified by education and experience in methods, materials, and evaluation of instruction, which shall be documented by at least forty (40) hours of instruction in teaching methodology. Following, but not limited to, are examples of courses that meet the required instruction in teaching methodology:
(A) California State Fire Marshal (CSFM) “Training Instructor 1A, 1B, and 1C”,
(B) National Fire Academy (NFA) “Fire Service Instructional Methodolgy” course, and
(C) A course that meets the U. S. Department of Transportation/National Highway Traffic Safety Administration 2002 Guidelines for Educating EMS Instructors, such as the National Association of EMS Educators' EMS Educator Course.
(d) Each CCP training program shall have a principal instructor(s) who shall be licensed in California as a physician and knowledgeable in the subject matter, a registered nurse knowledgeable in the subject matter, or a paramedic with current CCP certification or FP certification from the BCCTPC. 
(e) Each training program may have a teaching assistant(s) who shall be an individual(s) qualified by training and experience to assist with teaching of the course. A teaching assistant shall be supervised by a principal instructor, the course director and/or the program medical director.
(f) Each paramedic training program shall have a field preceptor(s) who shall:
(1) Be a certified or licensed paramedic; and
(2) Be working in the field as a certified or licensed paramedic for the last two (2) years; and
(3) Be under the supervision of a principal instructor, the course director and/or the program medical director.
(4) Have completed field preceptor training approved by the LEMSA and/or comply with the field preceptor guidelines approved by the LEMSA. Training shall include a curriculum that will result in the preceptor being competent to evaluate the paramedic student during the internship phase of the training program, and how to do the following in cooperation with the paramedic training program:
(A) Conduct a daily field evaluation of students.
(B) Conduct cumulative and final field evaluations of all students.
(C) Rate students for evaluation using written field criteria.
(D) Identify ALS contacts and requirements for graduation.
(E) Identify the importance of documenting student performance.
(F) Review field preceptor requirements contained in this Chapter.
(G) Assess student behaviors using cognitive, psychomotor, and affective domains.
(H) Create a positive and supportive learning environment.
(I) Measure students against the standard of entry level paramedics.
(J) Identify appropriate student progress.
(K) Counsel the student who is not progressing.
(L) Identify training program support services available to the student and the preceptor.
(M) Provide guidance and applicable procedures for dealing with an injured student or student who has had an exposure to illness, communicable disease or hazardous material.
(g) Each training program shall have a hospital clinical preceptor(s) who shall:
(1) Be a physician, registered nurse or physician assistant currently licensed in the State of California.
(2) Have worked in emergency medical care for the last two (2) years.
(3) Be under the supervision of a principal instructor, the course director, and/or the program medical director.
(4) Receive instruction in evaluating paramedic students in the clinical setting. Means of instruction may include, but need not be limited to, educational brochures, orientation, training programs, or training videos, and shall include how to do the following in cooperation with the paramedic training program:
(A) Evaluate a student's ability to safely administer medications and perform assessments.
(B) Document a student's performance.
(C) Review clinical precaptor requirements contained in this Chapter.
(D) Assess student behaviors using cognitive, psychomotor, and affective domains.
(E) Create a positive and supportive learning environment.
(F) Identify appropriate student progress.
(G) Counsel the student who is not progressing.
(H) Provide guidance and applicable procedures for dealing with an injured student or student who has had an exposure to illness, communicable disease or hazardous material.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.172 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100150 to section 100154, and renumbering and amendment of section 100146 to section 100150 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Amendment of subsection (a) filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
3. Renumbering of former section 100150 to section 100151 and renumbering of former section 100149 to section 100150, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
4. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
5. Renumbering of former section 100150 to section 100151 and renumbering and amendment of former section 100149 to section 100150 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100151. Didactic and Skills Laboratory.
Note     •     History

An approved paramedic training program and/or CCP training program shall assure that no more than six (6) students are assigned to one instructor/teaching assistant during skills practice/laboratory.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.173, Health and Safety Code. Reference: Sections 1797.172, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 100151 to Section 100155, and renumbering and amendment of Section 100147 to Section 100151 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Renumbering of former section 100151 to section 100152 and renumbering of former section 100150 to section 100151, including amendment of section heading and section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
3. Amendment of subsection (a), new subsection (b), subsection relettering and amendment of newly designated subsection (d) filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Renumbering of former section 100151 to section 100152 and renumbering and amendment of former section 100150 to section 100151 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100152. Hospital Clinical Education and Training for Paramedic.
Note     •     History

(a) An approved paramedic training program shall provide for and monitor a supervised clinical experience at a hospital(s) that is licensed as a general acute care hospital and holds a permit to operate a basic or comprehensive emergency medical service. The clinical setting may be expanded to include areas commensurate with the skills experience needed. Such settings may include surgicenters, clinics, jails or any other areas deemed appropriate by the LEMSA. The maximum number of hours in the expanded clinical setting shall not exceed forty (40) hours of the total clinical hours specified in Section 100159(a)(2).
(b) Hospital clinical training, for an approved CCP training program, should consist of no less than ninety-four hours (94) in the following areas:
(1) Labor & Delivery (8 hours),
(2) Neonatal Intensive Care (16 hours),
(3) Pediatric Intensive Care (16 hours),
(4) Adult Cardiac Care (16 hours),
(5) Adult Intensive Care (24 hours),
(6) Adult Respiratory Care (6 hours), and
(7) Emergency/ Trauma Care (8 hours).
(c) An approved paramedic training program and/or CCP training program shall not enroll any more students than the training program can commit to providing a clinical internship to begin no later than thirty (30) days after a student's completion of the didactic and skills instruction portion of the training program. The paramedic training program course director and/or CCP training program course director and a student may mutually agree to a later date for the clinical internship to begin in the event of special circumstances (e.g., student or preceptor illness or injury, student's military duty, etc.).
(d) Training programs, both paramedic and CCP, in nonhospital institutions shall enter into a written agreement(s) with a licensed general acute care hospital(s) that holds a permit to operate a basic or comprehensive emergency medical service for the purpose of providing this supervised clinical experience.
(e) Paramedic clinical training hospital(s) and other expanded settings shall provide clinical experience, supervised by a clinical preceptor(s). The clinical preceptor may assign the student to another health professional for selected clinical experience. No more than two (2) students shall be assigned to one preceptor or health professional during  the supervised clinical experience at any one time. Clinical experience shall be monitored by the training program staff and shall include direct patient care responsibilities, which may include the administration of any additional medications, approved by the LEMSA medical director and the director of the Authority, to result in competency. Clinical assignments shall include, but are not to be limited to, emergency, cardiac, surgical, obstetric, and pediatric patients.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.173, Health and Safety Code. Reference: Sections 1797.172, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100152 to section 100156, and renumbering and amendment of section 100148 to section 100152 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Amendment of subsections (b)(1) and (b)(2) filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
3. Renumbering of former section 100152 to section 100153 and renumbering of former section 100151 to section 100152, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
4. Amendment filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
5. Renumbering of former section 100152 to section 100153 and renumbering and amendment of former section 100151 to section 100152 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100153. Field Internship.
Note     •     History

(a) A field internship shall provide emergency medical care experience supervised at all times by an authorized field preceptor to result in the paramedic student being competent to provide the medical procedures, techniques, and medications specified in Section 100146, in the prehospital emergency setting within an organized EMS system.
(b) An approved paramedic training program shall enter into a written agreement with a paramedic service provider(s) to provide for field internship, as well as for a field preceptor(s) to directly supervise, instruct, and evaluate the students. The assignment of a student to a field preceptor shall be a collaborative effort between the training program and the provider agency. If the paramedic service provider is located outside the jurisdiction of the paramedic training program approving authority, then the training program shall do the following:
(1) in collaboration with the LEMSA in which the field internship will occur, ensure that the student has been oriented to that LEMSA, including local policies and procedures and treatment protocols,
(2) contact the LEMSA where the paramedic service provider is located and report to that LEMSA the name of the paramedic intern in their jurisdiction, the name of the EMS provider, and the name of the preceptor. The paramedic intern shall be under the medical control of the medical director of the LEMSA in which the internship occurs.
(c) The training program shall be responsible for ensuring that the filed preceptor has the experience and training as required in Section 100150(g)(1)-(4).
(d) The paramedic training program shall not enroll any more students than the training program can commit to providing a filed internship to begin no later than ninety (90) days after a student's completion of the hospital clinical education and training portion of the training program. The training program director and a student may mutually agree to a later date for the filed internship to begin in the event of special circumstances (e.g., student or preceptor illness or injury, student's military duty, etc.).
(e) For at least half of the ALS patient contacts specified in Section 100159(b), the paramedic student shall be required to provide the full continuum of care of the patient beginning with the initial contact with the patient upon arrival at the scene through release of the patient to a receiving hospital or medical care facility.
(f) All interns shall be continuously monitored by the training program, in collaboration with the assigned field preceptor, regardless of the location of the internship, as described in written agreements between the training program and the internship provider. The training program shall document a student's progress, based on the assigned field preceptor's input, and identify specific weaknesses of the student, if any, and/or problems encountered by, or with, the student. Documentation of the student's progress, including any identified weaknesses or problems, shall be provided to the student at least twice during the student's field internship.
(g) No more than one (1) EMT trainee, of any level, shall be assigned to a response vehicle at any one time during the paramedic student's field internship.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.173, Health and Safety Code. Reference: Sections 1797.172, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 100153 to Section 100157, and renumbering and amendment of Section 100149 to Section 100153 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Renumbering of former section 100153 to section 100154 and renumbering of former section 100152 to section 100153, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
3. Amendment of section heading and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Renumbering of former section 100153 to section 100154 and renumbering and amendment of former section 100152 to section 100153 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100154. Procedure for Training Program Approval.
Note     •     History

(a) Eligible training institutions shall submit a written request for training program approval to the paramedic training program approving authority. A paramedic training program approving authority may deem a training program approved that has been accredited by the CAAHEP upon submission of proof of such accreditation, without requiring the paramedic training program to submit for review the information required in subsections (b) and (c) of this section.
(b) The paramedic training program approving authority shall receive and review the following prior to program approval:
(1) A statement verifying that the course content meets the requirements contain in the U.S. DOT National Education Standards DOT HS 811 077A January 2009.
(2) A statement verifying that the CCP training program course content meets the requirements contained in Section 100160(b) of this Chapter. The CCP training program must also verify compliance with Subsections (b)(3)-(b)(6) and (b)(8)-(b)(9) of this Section.
(3) An outline of course objectives.
(4) Performance objectives for each skill.
(5) The names and qualifications of the training program course director, program medical director, and principal instructors.
(6) Provisions for supervised hospital clinical training including student evaluation criteria and standardized forms for evaluating paramedic students; and monitoring of preceptors by the training program.
(7) Provisions for supervised field internship including student evaluation criteria and standardized forms for evaluating paramedic students; and monitoring of preceptors by the training program.
(8) The location at which the courses are to be offered and their proposed dates.
(9) Written agreements between the paramedic training program and a hospital(s) and other clinical setting(s), if applicable, for student placement for clinical education and training.
(10) Written contracts or agreements between the paramedic training program and a provider agency(ies) for student placement for field internship training.
(c) The paramedic training program approving authority shall review the following prior to program approval:
(1) Samples of written and skills examinations administered by the training program for periodic testing.
(2) A final written examination administered by the training program.
(3) Evidence that the training program provides adequate facilities, equipment, examination security, and student record keeping.
(d) The paramedic training program approving authority shall submit to the Authority an outline of program objectives and eligibility on each training program being proposed for approval in order to allow the Authority to make the determination required by section 1797.173 of the Health and Safety Code. Upon request by the Authority, any or all materials submitted by the training program shall be submitted to the Authority.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.172, 1797.173 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100154 to section 100158, and renumbering and amendment of section 100150 to section 100154 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Amendment filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
3. Renumbering of former section 100154 to section 100155 and renumbering of former section 100153 to section 100154, including amendment of section heading, section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
4. Amendment of section heading and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
5. Renumbering of former section 100154 to section 100155 and renumbering of former section 100155 to section 100156, including amendment of section heading and section, filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100155. Paramedic Training Program Approval.
Note     •     History

(a) The paramedic training program approving authority shall, within thirty (30) working days of receiving a request for training program approval, notify the requesting training program that the request has been received, and shall specify what information, if any, is missing.
(b) Paramedic training program approval or disapproval shall be made in writing by the paramedic training program approving authority to the requesting training program after receipt of all required documentation. This time period shall not exceed three (3) months.
(c) The paramedic training program approving authority shall establish the effective date of program approval in writing upon the satisfactory documentation of compliance with all program requirements.
(d) Paramedic training program approval shall be for four (4) years following the effective date of approval and may be renewed every four (4) years subject to the procedure for program approval specified in this chapter.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.172, 1797.173 and 1797.208, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. Renumbering and amendment of former section 100155 to section 100159, and renumbering and amendment of section 100151 to section 100155 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Amendment of subsection (c) filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
3. Renumbering of former section 100155 to section 100156 and renumbering of former section 100154 to section 100155, including amendment of section heading and section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
4. Repealer of former section 100155 and renumbering and amendment of former section 100156 to section 100155 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
5. Renumbering of former section 100155 to section 100156 and renumbering of former section 100154 to section 100155, including amendment of section heading and section, filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100156. Program Review and Reporting.
Note     •     History

(a) All program materials specified in this Chapter shall be subject to periodic review by the paramedic training program approving authority and may also be reviewed upon request by the Authority.
(b) All programs shall be subject to periodic on-site evaluation by the paramedic approving authority and may also be evaluated by the Authority.
(c) Any person or agency conducting a training program shall notify the paramedic training program approving authority in writing, in advance when possible, and in all cases within thirty (30) days of any change in course objectives, hours of instruction, course director, program medical director, principal instructor, provisions for hospital clinical experience, or field internship.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.172 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 100156 to Section 100160, and renumbering and amendment of Section 100152 to Section 100156 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Renumbering of former section 100156 to section 100157 and renumbering of former section 100155 to section 100156 filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
3. Renumbering of former section 100156 to section 100155 and renumbering and amendment of former section 100157 to section 100156 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Renumbering of former section 100156 to section 100157 and renumbering and amendment of former section 100155 to section 100156 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100157. Withdrawal of Program Approval.
Note     •     History

(a) Noncompliance with any criterion required for program approval, use of any unqualified teaching personnel, or noncompliance with any other applicable provision of this Chapter may result in denial, probation, suspension or revocation of program approval by the paramedic training program approving authority. Notification of noncompliance and action to place on probation, suspend or revoke shall be done as follows:
(1) A paramedic training program approving authority shall notify the approved training program course director in writing, by certified mail, of the provisions of this Chapter with which the paramedic training program is not in compliance.
(2) Within fifteen (15) days of receipt of the notification of noncompliance, the approved training program shall submit in writing, by certified mail, to the paramedic training program approving authority one of the following:
(A) Evidence of compliance with the provisions of this Chapter, or
(B) A plan for meeting compliance with the provisions of this Chapter within sixty (60) days from the day of receipt of the notification of noncompliance.
(3) Within fifteen (15) days of receipt of the response from the approved training program, or within thirty (30) days from the mailing date of the noncompliance notification if no response is received from the approved training program, the paramedic training program approving authority shall notify the Authority and the approved training program in writing, by certified mail, of the decision to accept the evidence of compliance, accept the plan for meeting compliance, place on probation, suspend or revoke the training program approval.
(4) If the paramedic training program approving authority decides to suspend or revoke the training program approval, the notification specified in subsection (a)(3) of this section shall include the beginning and ending dates of the probation or suspension and the terms and conditions for lifting of the probation or suspension or the effective date of the revocation, which may not be less than sixty (60) days from the date of the paramedic training program approving authority's letter of decision to the Authority and the training program.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.172, 1797.208 and 1798.202, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 100157 to Section 100161, and renumbering and amendment of Section 100153 to Section 100157 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Renumbering of former section 100157 to section 100158 and renumbering of former section 100156 to section 100157 filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
3. Renumbering of former section 100157 to section 100156 and renumbering and amendment of former section 100158 to section 100157 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
4. Renumbering of former section 100157 to section 100158 and renumbering and amendment of former section 100156 to section 100157, including amendment of section heading and section, filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100158. Student Eligibility.
Note     •     History

(a) To be eligible to enter a paramedic training program an individual shall meet the following requirements:
(1) Possess a high school diploma or general education equivalent; and
(2) possess a current basic cardiac life support (CPR) card equivalent to the current American Heart Associations Guidelines for Cardiopulmonary Resuscitation and Emergency Cardiovascular Care at the healthcare provider level; and
(3) possess a current EMT certificate or NREMT-Basic registration; or
(4) possess a current AEMT certificate in the State of California; or
(5) be currently registered as an EMT-Intermediate with the NREMT.
(b) To be eligible to enter a CCP training program an individual shall be currently licensed, and accredited, in California as a paramedic with three (3) years of basic paramedic practice.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.172 and 1797.208, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100158 to section 100162, and renumbering and amendment of section 100154 to section 100158 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history see Register 84, No. 20.
2. Amendment of subsections (a), (a)(1) and (a)(2) filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
3. Renumbering of former section 100158 to section 100159 and renumbering of former section 100157 to section 100158 filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
4. Renumbering of former section 100158 to section 100157 and renumbering and amendment of former section 100159 to section 100158 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
5. Renumbering of former section 100158 to section 100159 and renumbering of former section 100157 to section 100158, including amendment of section, filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100159. Required Course Hours.
Note     •     History

(a) The total paramedic training program shall consist of not less than one thousand and ninety (1090) hours. These training hours shall be divided into:
(1) A minimum of four-hundred and fifty (450) hours of didactic instruction and skills laboratories;
(2) The hospital clinical training shall consist of no less than one-hundred and sixty (160) hours and the field internship shall consist of no less than four-hundred and eighty (480) hours.
(b) The student shall have a minimum of forty (40) ALS patient contacts during the field internship as specified in Section 100153. An ALS patient contact shall be defined as the student performance of one or more ALS skills, except cardiac monitoring and CPR, on a patient.
(c) The minimum hours shall not include the following:
(1) Course material designed to teach or test exclusively EMT knowledge or skills including CPR.
(2) Examination for student eligibility.
(3) The teaching of any material not prescribed in section 100160 of this Chapter.
(4) Examination for paramedic licensure.
(d) The total CCP training program shall consist of not less than two-hundred and two (202) hours. These training hours shall be divided into:
(1) A minimum of one-hundred and eight (108) hours of didactic and skills laboratories; and
(2) No less than ninety-four (94) hours of hospital clinical training as prescribed in Section 100152(b) of this Chapter. 
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Section 1797.172, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100159 to section 100164, and renumbering and amendment of section 100155 to section 100159 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Editorial correction of printing errors in subsections (b)(3)(B)3. and (d)(10)(B) (Register 91, No. 32).
3. Amendment of subsections (a)(6)(A), (a)(6)(A)3., (b)(2)(A)11., new subsection (b)(5)(E)11., amendment of subsections (c)(1)(C)4. and 5. with renumbering, (d)(10)(B)7. and NOTE filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
4. Renumbering of former section 100159 to section 100160 and renumbering of former section 100158 to section 100159, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
5. Renumbering of former section 100159 to section 100158 and renumbering and amendment of former section 100160 to section 100159 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
6. Amendment filed 5-19-2010; operative 6-18-2010 (Register 2010, No. 21).
7. Renumbering of former section 100159 to section 100160 and renumbering and amendment of former section 100158 to section 100159 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100160. Required Course Content.
Note     •     History

(a) The content of a paramedic course shall meet the objectives contained in the U.S. Department of Transportation (DOT) National Emergency Medical Services Education Standards, DOT HS 811 077A, January 2009, to result in the paramedic being competent in the paramedic basic scope of practice specified in Section 100146(a) of this Chapter. The DOT HS 811 077A can be accessed through the U.S. DOT National Highway Traffic Safety Administration at the following website address: http://www.ems.gov/education/nationalstandardandncs.html
(b) The content of the CCP course shall include:
1. Role of interfacility transport paramedic:
(A) Healthcare system 
(B) Critical care vs. 9-1-1 system
(C) Integration and cooperation with other health professionals
(D) Hospital documentation and charts
(E) Physician orders vs. ALS protocols
2. Medical - legal issues:
(A) Emergency Medical Treatment and Active Labor Act (EMTALA)
(B) Health Insurance Portability and Accountability Act (HIPAA)
(C) Review of California paramedic scope of practice
(D) Consent issues
(E) Do Not Resuscitate (DNR) and Physicians Orders for Life-Sustaining Treatment (POLST)
3. Transport Fundamentals, Safety and Survival
(A) Safety of the work environment
(B) Transport vehicle integrity checks
(C) Equipment functionality checks
(D) Transport mode evaluation, indications for critical care transport and policies
(E) Aircraft Fundamentals and Safety
(F) Flight Physiology
(G) Mission safety decisions
(H) Scene Safety and Post-accident duties at a crash site
(I) Patient Packaging for transport
(J) Crew Resource Management (CRM) & Air Medical Resource Management (AMRM) 
(K) Use of safety equipment while in transport
(L) Passenger safety procedures (e.g., specialty teams, family, law enforcement, observer) 
(M) Hazard observation and correction during transport vehicle operation
(N) Stressors related to transport (e.g., thermal, humidity, noise, vibration, or fatigue related conditions)
(O) Corrective actions for patient stressors related to transport
(P) Operational procedures:
(1) Dispatching and deployment
(2) Recognition of patients who require a higher level of care
a. What to do if you are not comfortable with a transport/ patient.
b. When a patient's needs exceed the staffing available on the unit.
(3) Review of specific county policies
(4) Obtaining and receiving reports from sending/ receiving facilities 
(5) Re-calculating hanging dose prior to accepting patient
(6) Notification to receiving hospital while en route (cell phone)
a. Patient status
b. Estimated time of arrival (ETA)
(7) What to do if the patient deteriorates
(8) Diversion issues
(9) Wait and return calls -- continuity of care issues
(10) Documentation
a. Patient consent forms
b. Physician order sheets
c. Critical care flow sheets
4. Shock and multi-system organ failure
(A) Pathophysiology of shock
(B) Types of shock
(C) Shock management
(D) Multi-system organ failure
1. Recognition and management of sepsis
2. Recognition and management of disseminated intravascular coagulation (DIC)
5. Basic Physiology for Critical Care Transport and Laboratory and Diagnostic Analysis
Laboratory values:
(A) Arterial blood gases
1. The potential hydrogen (pH) scale
2. Bodily regulation of acid-base balance
3. Practical evaluation of arterial blood gas results
(B) Review of the following to include normal and abnormal values and implications
1. Urinalysis
a. Normal ouput
b. Specific gravity
c. pH range
2. Complete blood count (CBC)
a. Hematocrit and Hemoglobin (H&H)
b. Red blood cell (RBC)
c. White blood cell (WBC) with differential
d. Platelets
3. Other
a. Albumin
b. Alkaline phosphate
c. Alanine transaminase (ALT)
d. Aspartate transaminase (AST)
e. Bilirubin
f. Calcium
g. Chloride
h. Creatine Kinase (CK) (total and fractions)
i. Creatinine
j. Glucose
k. Lactate
l. Lactic dehydrogenase (LDH)
m. Lipase
4. Magnesium
5. Phosphate
6. Potassium
7. Procalcitonin
8. Protein, total
9. Prothrombin Time (PT) and Activated Partial Thromboplastin Time (PTT)
10. Sodium
11. Troponin
12. Urea nitrogen
(C) Practical application of laboratory values to patient presentations
(D) Use of laboratory devices for point of care testing (eg: ISTAT)
(E) Radiographic Interpretation 
(F) Wherever appropriate, the above education should include information regarding radiographic findings, pertinent laboratory and bedside testing, and pharmacological interventions
6. Critical Care Pharmacology and Infusion Therapy
Pharmacology and infusion therapies:
(A) Review of common medications encountered in the critical care environment to include those in the following categories:
1. Analgesics
2. Antianginals
3. Antiarrhythmics
4. Antibiotics
5. Anticoagulants
6. Antiemetics
7. Anti-inflammatory agents
8. Antihypertensives
9. Antiplatelets
10. Antitoxins
11. Benzodiazepines
12. Bronchodilaters
13. Glucocorticoids
14. Glycoprotein IIb/IIIa inhibitors
15. Histamine Blockers (1 and 2)
16. Induction agents
17. Neuroleptics
18. Osmotic diuretics
19. Paralytics
20. Proton Pump Inhibitors
21. Sedatives
22. Thrombolytics
23. Total Parenteral Nutrition
24. Vasopressors
25. Volume expanders
(B) Review of drug calculation mathematics
1. IV bolus medication
2. IV infusion rates
a. By volume
b. By rate
(C) Detailed instruction (drug action and indications, dosages, IV calculation, adverse reactions, contraindications and precautions) on following medications:
1. IV nitroglycerin (NTG)
2. Heparin
3. Potassium chloride (KCI) infusion
4. Lidocaine
(D) Blood and blood products
1. Blood components and their uses in therapy
2. Administrative procedures
3. Administration of blood products
4. Transfusion reactions -- recognition, management
(E) Infusion pumps:
1. Set up and maintain IV fluid and medication delivery pumps and devices
2. Discussion of various pumps that may be encountered
3. Discussion of prevention of “run-away” IV lines while transitioning
4. Practical application of transfer of IV infusions, setting drip rates and troubleshooting
(F) Procedures to be used when re-establishing IV lines
1. Hemodynamic monitoring and invasive lines:
a. Non-invasive monitoring
1) Non-invasive blood pressure (NIBP)
2) Pulse oximetry
3) Capnography
4) Heart and bowel sound auscultation
b. Intraosseous (IO) access and infusion - the student must demonstrate competency in the skill of IO infusion
c. Central Venous Access 
1) Subclavian -- the student must demonstrate competency in the skill of subclavian access.
2). Internal jugular -- the student must demonstrate competency in the skill of internal jugular access.
3) Femoral approach -- the student must demonstrate competency in the skill of femoral access.
6. Respiratory Patient Management
(A) Pulmonary anatomy and physiology
1. Upper and lower airway anatomy
2. Mechanics of ventilation and oxygenation
3. Gas Exchange
4. Oxyhemoglobin dissociation
(B) Detailed assessment of the respiratory patient
1. Obtaining a relevant history
2. Physical exam 
3. Breath sounds
4. Percussion
(C) Causes, pathophysiology, and stages of respiratory failure
(D) Assessment and management of patients with respiratory compromise 
1. Respiratory failure
2. Atelectasis
3. Pneumonia
4. Pulmonary embolism
5. Pneumothorax
6. Spontaneous pneumothorax
7. Hemothorax
6. Pleural effusion
7. Pulmonary edema
8. Chronic obstructive pulmonary disease
9. Adult respiratory distress syndrome (ARDS)
(E) Differential diagnosis of acute and chronic conditions 
(F) Management of patient status using
1. Laboratory values, to include but not limited to,
a. Blood gas values, 
b. Use of ISTAT
2. Diagnostic equipment 
a. Pulse oximetry,
b. Capnography
c. Chest radiography
d. CO-Oximetry (carbon monoxide measurement)
(G) Application of pharmacologic agents for the respiratory patient
(H) Management of complications during transport of the respiratory patient
7. Advanced Airway and Breathing Management Techniques
(A) Indications for basic and advanced airway management
1. Crash airway assessment and management
2. Deteriorating airway assessment and management
(B) Indications, contraindications, complications, and management for specific airway and breathing interventions
1. Needle Cricothryoidotomy
2. Surgical Cricothyroidotomy -- the student must demonstrate competency in the skill of surgical cricothyroidotomy.
3. Tracheostomies 
a. Types of tracheostomies
b. Tracheostomy care
4. Endotracheal intubation -- adult, pediatric, and neonatal
a. Nasotracheal intubation
b. Rapid Sequence Intubation (RSI) -- the student must demonstrate competency in the skill of RSI.
c. Perilaryngeal airway devices
1) Combitube
2) King Airway
3) Supraglottic airway devices
4) Laryngeal mask airway devices
5. Pleural decompression 
6. Chest tubes
a. Set up and maintain thoracic drainage systems
b. Operation of and troubleshooting
c. Indications for and positioning of dependent tubing
d. Varieties available
e. Gravity drainage
f. Suction drainage
g. On-going assessments of drainage amount and color
7. Portable ventilators
a. Principles of ventilator operation
b. Set-up and maintain mechanical ventilation devices
c. Procedures for transferring ventilator patients
d. Complications of ventilator management
e. Troubleshooting and practical application
C. Perform advanced airway and breathing management techniques
1. Endotracheal intubation -- adult, pediatric, and neonatal
2. Nasotracheal intubation
3. Rapid Sequence Intubation (RSI)
4. Pleural decompression 
D. Failed airway management and algorithms
E. Perform alternative airway management techniques
1. Needle Cricothryoidotomy
2. Surgical Cricothroidotomy
3. Retrograde intubation
4. Perilaryngeal airway devices
5. Supraglottic airway devices
6. Laryngeal mask airway devices
F. Airway management and ventilation monitoring techniques during transport
G. Use of mechanical ventilation
H. Administer pharmacology agent for continued airway management
8. Cardiac Patient Management
(A) Cardiac Anatomy and Physiology and Pathophysiology
(B) Detailed Assessment of the Cardiac Patient
(C) Assessment and Management of patients with cardiac events 
1. Acute coronary syndromes, 
2. Heart failure, 
3. Cardiogenic shock, 
4. Primary arrhythmias,
5. Hemodynamic instability
6. Vascular Emergencies
(D) Invasive monitoring (use, care, and complication management)
1. Arterial
2. Central venous pressure (CVP)
(E) Vascular access devices usage and maintenance
(F) Dressing and site care
(G) Management of complications
(H) Manage patient's status using
1. laboratory values (e.g., blood gas values, ISTAT)
2. diagnostic equipment (e.g., pulse oximetry, chest radiography, capnography)
3. 12-lead EKG interpretation:
a. Essential 12-lead interpretation
b. Acquisition and transmission
c. Acute coronary syndromes
d. The high acuity patient
e. Bundle branch block and the imitators of acute coronary syndrome (ACS)
f. Theory and Use of cardiopulmonary support devices as part of patient management 
1) Ventricular assist devices, 
2) Transvenous pacer, 
3) Intra-aortic balloon pump
g. Application of Pharmacologic agents in Cardiac Emergencies
h. Management of complications of cardiac patients 
i. Implanted cardioverter defibrillators:
1) Eligible populations
2) Mechanism
3) Complications and patient management
j. Cardiac pacemakers
1) Normal operations, troubleshooting and loss of capture
a). Implanted devices
b). Unipolar and bipolar
(2) Temporary pacemakers
(3) Transcutaneous pacing
9. Trauma Patient Management 
(A) Differentiate injury patterns associated with specific mechanisms of injury
(B) Rate a trauma victim using the Trauma Score, to include but not be limited to glasgow coma score, injury severity score, and revised trauma score
(C) Identify patients who meet trauma center criteria
(D) Perform a comprehensive assessment of the trauma patient
(E) Initiate the critical interventions for the management of the trauma patient
1. Manage the patient with life-threatening thoracic injuries 
a. Tension pneumothorax,
b. Pneumothorax,
c. Hemothorax,
d. Flail chest, 
e. Cardiac tamponade, 
f. Myocardial rupture
2. Manage the patient with abdominal injuries 
a. diaphragm, 
b. liver,
c. spleen
3. Manage the patient with orthopedic injuries (e.g. pelvic, femur, spinal)
4. Manage the patient with neurologic injuries 
a. Subdural, 
b. Epidural, 
c. Increased ICP
(F) Manage patient's status using
1. laboratory values (e.g., blood gas values, ISTAT)
2. diagnostic equipment (e.g., pulse oximetry, chest radiography, capnography)
(G) Application of pharmacologic agents for trauma management
(H) Manage trauma patient emergencies and complications
1. the student must demonstrate competency in the skill of chest tube thoracostomy.
2. The student must demonstrate competency in the skill of pericardiocentesis,
(I) Administer blood and blood products
(J) Trauma considerations:
1. Trauma assessment,
2. Adult thoracic & abdominal trauma,
3. Vascular trauma,
4. Musculoskeletal trauma,
5. Burns,
6. Ocular trauma,
7. Maxillofacial trauma,
8. Penetrating & blunt trauma,
9. Distributive & hypovolemic shock states,
10 Trauma Systems & Trauma Scoring, and 
11. Kinematics of trauma & injury patterns.
10. Neurologic Patient Management
(A) Perform an assessment of the patient
(B) Conduct differential diagnosis of patients with coma
(C) Manage patients with seizures
(D) Manage patients with cerebral ischemia
(E) Initiate the critical interventions for the management of a patient with a neurologic emergency
(F) Provide care for a patient with a neurologic emergency
1.Trauma neurological emergencies
2. Medical neurological emergencies
3. Cerebrovascular Accidents,
4. Neurological shock states 
(G) Assess a patient using the Glasgow coma scale
(H) Manage patients with head injuries
(I) Manage patients with spinal cord injuries
(J). Manage patient's status using
1. laboratory values (e.g., blood gas values, ISTAT)
2. diagnostic equipment (e.g., pulse oximetry, chest radiography, capnography)
(K) Intracranial Pressure monitoring.
(L) Application of pharmacologic agents for neurologic patients
(M). Manage neurologic patient complications
11. Toxic Exposure and Environmental Patient Management
(A) Toxic Exposure Patient
1. Perform a detailed assessment of the patient
2. Decontaminate toxicological patients (e.g., chemical/biological/radiological exposure)
3. Administer poison antidotes
4. Provide care for victims of envenomation 
a. Snake bite, 
b. Scorpion sting, 
c. Spider bite
5. Manage patient's status using
a. Laboratory values (e.g., blood gas values, ISTAT)
b. Diagnostic equipment (e.g., pulse oximetry, chest radiography, capnography)
6. Administer pharmacologic agents
7. Manage toxicological patients 
a. Medication overdose, 
b. Chemical/biological/radiological exposure
8. Manage toxicological patient complications
(B) Environmental Patient
1. Perform an assessment of the patient
2. Manage the patient experiencing a cold-related illness 
a. Frostbite, 
b. Hypothermia, 
c. Cold water submersion
3. Manage the patient experiencing a heat-related illness 
a. Heat stroke, 
b. Heat exhaustion, 
c. Heat cramps
4. Manage the patient experiencing a diving-related illness 
a. Decompression sickness, 
b. Arterial gas emboli, 
c. Near drowning
5. Manage the patient experiencing altitude-related illness
6. Manage patient's status using
a. laboratory values (e.g., blood gas values, ISTAT)
b. diagnostic equipment (e.g., pulse oximetry, chest radiography, capnography)
7. Application for pharmacologic agents for toxic exposure and environmental patients
8. Treat patient with environmental complications
(C) Toxicology:
1. Toxic exposures, 
2. Poisonings, 
3. Overdoses, 
4. Envenomations, 
5.Anaphylactic shock, and
6. Infections diseases.
12. Obstetrical Patient Management
(A) Perform a detailed assessment of the patient
(B) Assess and Manage fetal distress
(C) Manage obstetrical patients
(D) Assess uterine contraction pattern
(E) Conduct interventions for obstetrical emergencies and complications 
1. Pregnancy induced hypertension, 
2. Hypertonic or titanic contractions, 
3. Cord prolapse, 
4. Placental abruption 
5. Severe preeclampsia involving hemolysis, elevated liver function, and low platelets (HELLP) syndrome.
(F) Determine if transport can safely be attempted or if delivery should be accomplished at the referring facility
(G) Manage patient's status using
1. laboratory values (e.g., blood gas values, ISTAT)
2. diagnostic equipment (e.g., pulse oximetry, chest radiography, capnography)
(H) Application of pharmacologic agents for obstetrical patient management
(I) Manage emergent delivery and post-partum complications
(J) Special Considerations in Obstetrics (OB)/ Gynecology (GYN) Patients 
1. Trauma in pregnancy,
2. Renal disorders,
3. Reproductive system disorders
13. Neonatal and Pediatric Patient Management
(A) Neonatal Patient
1. Perform a detailed assessment of the neonatal patient
a. Management & delivery of the full-term or pre-term newborn,
b. Management of the complications of delivery
2. Manage the resuscitation of the neonate, including
a. Umbilical artery catheterization - the student must demonstrate the skill of umbilical catheterization.
b. Neonatal Resuscitation Program & Pediatric Advanced Life Support.
3. Manage patient's status using diagnostic equipment (e.g., pulse oximetry, chest radiography, capnography)
4. Application of pharmacologic agents for neonatal patient management 
5. Manage neonatal patient complications
(B) Pediatric Patient
1. Perform a detailed assessment of the pediatric patient
2. Manage the pediatric patient experiencing a medical event
a. Respiratory 
b. Toxicity
c. Cardiac 
d. Environmental
e. Gastrointestinal (GI) 
f. Endocrine/Metabolic
f. Neurological
g. Infectious processes
3. Manage the pediatric patient experiencing a traumatic event
a. Single vs. multiple system
b. Burns
c. Non-accidental trauma
4. Manage patient's status using
a. laboratory values (e.g., blood gas values, ISTAT)
b. diagnostic equipment (e.g., pulse oximetry, chest radiography, capnography)
c. Application of pharmacologic agents for pediatric patient management
d. Treat patient with pediatric complications
5. Considerations for Special needs children.
14. Burn Patient Management
(A) Perform a detailed assessment of the patient
(B) Calculate the percentage of total body surface area burned
(C) Manage fluid replacement therapy
(D) Manage inhalation injuries in burn injury patients
(E) Manage patient's status using
1. laboratory values (e.g., blood gas values, ISTAT)
2. diagnostic equipment (e.g., pulse oximetry, chest radiography, capnography)
(F) Application of pharmacologic agents for burn patient management
(G) Provide treatment of burn complications - the student must demonstrate competency in the skill of escharotomy. 
15. General Medical Patient Management
(A) Perform an assessment of the patient
(B). Manage patients experiencing a medical condition 
1. Abdominal aortic aneurysm (AAA), 
2. GI bleed, 
3. Bowel obstruction, 
4. Hyperosmolar Hyperglycemic Non-Ketotic Coma (HHNC)
5. Septic shock,
6. Neurologic emergencies
7. Hypertensive emergencies,
8. Environmental emergencies,
9. Coagulopathies,
10. Endocrine emergencies,
(C) Use of invasive monitoring for the purpose of clinical management
(D) Manage patient's status using
1. laboratory values (e.g., blood gas values, ISTAT)
2. diagnostic equipment (e.g., pulse oximetry, chest radiography, capnography)
(E) Application of pharmacologic agents for general medical patient management
(F) Treat patient with general medical complications
(G). Transport considerations of patients with renal or peritoneal dialysis 
(H) Transport of Patients with Infection Diseases:
1 Pathogens
a. Human immunodeficiency virus (HIV)
b. Hepatitis
c. Vancomycin resistant enterococcus (VRE)
d. Multiple-antibiotic resistant bacteria (MRSA)
e. Tuberculosis (TB)
f. Immunocompromised
g. Others as appropriate
(I) Transport and Management of Patients with Indwelling tubes
1. Urinary
a. Foleys
b. Suprapubic
2. Nasogastric (NG)
3. Percutaneous endoscopic gastric (PEG)
4. Dobhoff tube
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.172, 1797.173, 1797.185 and 1797.213, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100160 to section 100165 and  renumbering  and amendment of section 100156 to section 100160 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Amendment of NOTE filed 11-4-91; operative 1-1-92 (Register 92, No. 10).
3. Renumbering of former section 100160 to section 100161 and renumbering of former section 100159 to section 100160 filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
4. Renumbering of former section 100160 to section 100159 and renumbering of former section 100161 to section 100160 filed 9-10-2004; operative 10-10-2004 
5. Renumbering of former section 100160 to section 100161 and renumbering and amendment of former section 100159 to section 100160 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100161. Required Testing.
Note     •     History

(a) Approved paramedic and CCP training programs shall include periodic examinations and final comprehensive competency-based examinations to test the knowledge and skills specified in this Chapter.
(b) Successful performance in the clinical and field setting shall be required prior to course completion.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.185, Health and Safety Code. Reference: Sections 1797.172, 1797.185, 1797.208, 1797.210 and 1797.213, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100161 to section 100166, and renumbering and amendment of section 100157 to section 100161 filed 7-10-89; operative 8-9-89 (Register 89, No. 29). For prior history, see Register 84, No. 20.
2. Repealer of subsection (c) filed  11-29-93 as an emergency;  operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
4. 11-29-93 order refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100161 to section 100162 and renumbering of former section 100160 to section 100161, including amendment of section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Renumbering of former section 100161 to section 100160 and renumbering and amendment of former section 100162 to section 100161 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. Renumbering of former section 100161 to section 100162 and renumbering and amendment of former section 100160 to section 100161 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100161.1. Additional Documentation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Section 1797.172, Health and Safety Code.
HISTORY

1. New section filed  11-29-93 as an emergency;  operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
6. Repealer filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
§100162. Course Completion Record.
Note     •     History

(a) Approved paramedic training program and/or CCP training program shall issue a tamper resistant course completion record to each person who has successfully completed the paramedic training program and/or CCP training program. The course completion record shall be issued no later than ten (10) working days from the date of the student's successful completion of the paramedic training program and/or CCP training program.
(b) The course completion record shall contain the following:
(1) The name of the individual.
(2) The date of completion.
(3) The following statement:
(A)  “The individual named on this record has successfully completed an approved paramedic training program”, or
(B) “The individual named on this record has successfully completed an approved Critical Care Paramedic training program
(4) The name of the paramedic training program or CCP training program approving authority, depending on the training program being taught.
(5) The signature of the course director.
(6) The name and location of the training program issuing the record.
(7) The following statement in bold print: “This is not a paramedic license.”
(8) For paramedic training, a list of optional scope of practice procedures and/or medications approved pursuant to subsection (c)(2)(A)-(D) of Section 100146 taught in the course.
(9) For CCP training, a list of procedures and medications approved pursuant to subsection (c)(1)(S)(1-10) of Section 100146 taught in the course.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Section 1797.172, Health and Safety Code.
HISTORY

1. Renumbering of article 4 to article 5, renumbering of former section 100162 to section 100163, and new article 4 and section  filed  11-29-93 as an emergency;  operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with amendment of subsection (c) and filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100162 to section 100163 and renumbering of former section 100161 to section 100162, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Renumbering of former section 100162 to section 100161 and renumbering and amendment of former section 100163 to section 100162 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. Relocation of article 4 heading to precede section 100163, renumbering of former section 100162 to section 100163 and renumbering and amendment of former section 100161 to section 100162 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100162.1. Written and Skills Examination. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.7, 1797.107, 1797.172, 1797.174 and 1797.185, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185, 1797.214 and 1798.207, Health and Safety Code.
HISTORY

1. New section filed  11-29-93 as an emergency;  operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with amendment of subsection (d)(2) and filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100162.1 to section 100164 filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
Article 4. Applications and Examinations
§100163. Date and Filing of Applications.
Note     •     History

(a) The Authority shall notify the applicant within thirty (30) days of receipt of the state application that the application was received and shall specify what information, if any, is missing. The types of applications which may be required to be submitted by the applicant are as follows:
(1) Application for Initial License (California Graduate), Form #L-01, Revised 7/2011, herein incorporated by reference.
(2) Application for Initial License of Out-of-State Candidates who are registered with the National Registry of Emergency Medical Technicians, Form #L-01A, Revised 7/2011, herein incorporated by reference.
(3) Application for License Renewal, Form #RL-01, Revised 6/2011, herein incorporated by reference.
(4) Application for Lapsed License Reinstatement:
(A) Lapsed Less than One Year, Form #RLL-01A, Revised 06/2012, herein incorporated by reference.
(B) Lapse of One Year or More, Form #RLL-01B, Revised 06/2012, herein incorporated by reference.
(5) Application for Challenge, Form #C L-01A, Revised 06/2012, herein incorporated by reference.
(6) Applicant fingerprint card, FD-258 dated 5/11/99 or a Request for Live Scan Applicant Submission Form, BCII 8016 (Rev 06/09), submitted to the California Department of Justice (DOJ), for a state and federal criminal history summary provided by the Department of Justice in accordance with the provisions of section 11105 et seq. of the Penal Code.
(7) Statement of Citizenship, Alienage, and Immigration Status For State Paramedic License Application /Renewal Form IS-01 (8/11), herein incorporated by reference. 
(b) Applications for renewal of license shall be postmarked, hand delivered, or otherwise received by the Authority at least thirty (30) calendar days prior to expiration of current license. Applications postmarked, hand delivered or otherwise received by the Authority less than thirty (30) days prior to the expiration date of the current license will not cause the license to lapse but will require the applicant to pay a $50 late fee, as specified in Section 100172(b)(4) of this Chapter.
(c) Eligible out-of-state applicants defined in section 100165(b) and eligible applicants defined in section 100165(c) of this Chapter who have applied to challenge the paramedic licensure process shall be notified by the Authority within forty-five (45) working days of receiving the application. Notification shall advise the applicant that the application has been received, and shall specify what information, if any, is missing.
(d) An application shall be denied without prejudice when an applicant does not complete the application, furnish additional information or documents requested by the Authority or fails to pay any required fees. An applicant shall be deemed to have abandoned an application if the applicant does not complete the requirements for licensure within one (1) year from the date on which the application was filed. An application submitted subsequent to an abandoned application shall be treated as a new application.
(e) A complete state application is a signed application submitted to the Authority that provides the requested information and is accompanied by the appropriate application fee(s). All statements submitted by or on behalf of an applicant shall be made under penalty of perjury.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Section 1797.172, Health and Safety Code.
HISTORY

1. Renumbering of article 4 to article 5 and renumbering and amendment of former section 100162 to section 100163 and renumbering of former section 100163 to section 100164 filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 92, No. 10.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with amendment of subsections (b), (f) and (g) filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100163 to section 100165 and renumbering of former section 100162 to 100163, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Renumbering of former section 100163 to section 100162 and renumbering and amendment of former section 100164 to section 100163 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. Amendment of subsection (d) filed 6-26-2008; operative 7-26-2008 (Register 2008, No. 26).
9. Relocation of article 4 heading from preceding section 100162 to precede section 100163, renumbering of former section 100163 to section 100164 and renumbering and amendment of former section 100162 to section 100163 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100164. Written and Skills Examination.
Note     •     History

(a) Applicants shall comply with the procedures for examination established by the Authority and the NREMT and shall not violate or breach the security of the examination. Applicants found to have violated the security of the examination or examination process as specified in Section 1798.207 of the Health and Safety Code, shall be subject to the penalties specified therein.
(b) Students enrolled in an accredited paramedic training program, or a paramedic training program with a current Letter of Review on file with the NREMT, shall be eligible to take the practical examination specified in Section 100140 of this chapter upon successful completion of didactic and skills laboratory, and shall be eligible to take the written examination specified in Section 100141 when they have successfully completed the didactic, clinical, and field training and have met all the provisions of the approved paramedic training program.
NOTE

Authority cited: Sections 1797.7, 1797.107, 1797.172, 1797.174 and 1797.185, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185, 1797.214 and 1798.207, Health and Safety Code.
HISTORY

1. Renumbering of former section 100163 to section 100164 and renumbering of former section 100164 to section 100165 and amendment of subsection (e) filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 92, No. 10.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100164 to section 100166 and renumbering of former section 100162.1 to section 100164, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Renumbering of former section 100164 to section 100163 and renumbering and amendment of former section 100165 to section 100164 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. Relocation of article 5 heading to precede section 100165, renumbering of former section 100164 to section 100165 and renumbering and amendment of former section 100163 to section 100164 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
Article 5. Licensure
§100165. Licensure.
Note     •     History

(a) In order to be eligible for initial paramedic licensure an individual shall meet the following requirements.
(1) Have a paramedic training program course completion record as specified in Section 100162 of this Chapter or other documented proof of successful completion of an approved paramedic training program within the last two years from the date of application to the Authority for paramedic licensure.
(2) Complete and submit the appropriate state application forms as specified in Section 100163.
(3) Provide documentation of successful completion of the paramedic licensure written and practical examinations specified in sections 100140, 100141, and 100164.
(4) Pay the established fees pursuant to Section 100172.
(b) An individual who possesses a current paramedic registration issued by the NREMT, shall be eligible for licensure when that individual fulfills the requirements of subsection (a)(2) and (4) of this section and successfully completes a field internship as defined in Sections 100153 and 1001589(b).
(c) A physician, registered nurse or physician assistant currently licensed shall be eligible for paramedic licensure upon:
(1) providing documentation that their training is equivalent to the DOT HS 811 077A specified in Section 100160;
(2) successfully completing a field internship as defined in Sections 100153(a) and 100159(b); and,
(3) fulfilling the requirements of subsection (a)(2) through (a)(4) of this section.
(d) All documentation submitted in a language other than English shall be accompanied by a translation into English certified by a translator who is in the business of providing certified translations and who shall attest to the accuracy of such translation under penalty of perjury.
(e) The  Authority shall issue within forty-five (45) calendar days of receipt of a complete application as specified in Section 100163(e) a wallet-sized license to eligible individuals who apply for a license and successfully complete the licensure requirements.
(f) The effective date of the initial license shall be the day the license is issued. The license shall be valid for two (2) years from the last day of the month in which it was issued.
(g) The paramedic shall be responsible for notifying the Authority of her/his proper and current mailing address and shall notify the Authority in writing within thirty (30) calendar days of any and all changes of the mailing address, giving both the old and the new address, and paramedic license number.
(h) A paramedic may request a duplicate license if the individual submits a request in writing certifying to the loss or destruction of the original license, or the individual has changed his/her name. If the request for a duplicate card is due to a name change, the request shall also include documentation of the name change. The duplicate license shall bear the same number and date of expiration as the replaced license.
(i) An individual currently licensed as a paramedic by the provision of this section is deemed to be certified as an EMT and an AEMT, except when the paramedic license is under suspension, with no further testing required. If certificates are issued, the expiration date of the EMT or AEMT certification shall be the same expiration date as the paramedic license, unless the individual follows the EMT, or AEMT certification/recertification process as specified in Chapters 2 and 3 of this Division.
(j) An individual currently licensed as a paramedic by the provisions of this section may voluntarily deactivate his/her paramedic license if the individual is not under investigation or disciplinary action by the Authority for violations of Health and Safety Code Section 1798.200. If a paramedic license is voluntarily deactivated, the individual shall not engage in any practice for which a paramedic license is required, shall return his/her paramedic license to the Authority, and shall notify any LEMSA with which he/she is accredited as a paramedic or with which he/she is certified as an EMT or AEMT that the paramedic license is no longer valid. Reactivation of the paramedic license shall be done in accordance with the provisions of Section 100167(b) of this Chapter.
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.175, 1797.185, 1797.194, 1798.200 and 1798.202, Health and Safety Code. Reference: Sections 1797.63, 1797.172, 1797.175, 1797.177, 1797.185, 1797.194 and 1798.200, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. Renumbering and amendment of former section 100164 to section 100165 and renumbering of former section 100165 to section  100166  filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 92, No. 10. 
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with amendment of subsection (d) and filed 10-24-94 (Register 94, No. 43).
5. Amendment of article 5 heading, renumbering of former section 100165 to section 100167 and renumbering of former section 100163 to section 100165, including amendment of section heading, section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
6. Renumbering of former section 100165 to section 100164 and renumbering and amendment of former section 100166 to section 100165 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
7. Relocation of article 5 heading from preceding section 100164 to precede section 100165, renumbering of former section 100165 to section 100166 and renumbering and amendment of former section 100164 to section 100165 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100165.1. EMT-P Continuing Education (CE) Records. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.175 and 1797.185, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.175, 1797.185 and 1797.214, Health and Safety Code.
HISTORY

1. New section  filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100165.1 to section 100168 filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
§100165.2. Approval of EMT-P Continuing Education (CE) Providers. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.175 and 1797.185, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.175, 1797.185 and 1797.214, Health and Safety Code.
HISTORY

1. New section  filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with amendment of section heading filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100165.2 to section 100169 filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
§100165.3. EMT-P Continuing Education (CE) Providers. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.175 and 1797.185, Health and Safety Code.  Reference: Sections 1797.7, 1797.172, 1797.175, 1797.185 and 1797.214, Health and Safety Code.
HISTORY

1. New section filed 11-29-93 as an emergency; operative 12/1/93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order  including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
5. Renumbering of former section 100165.3 to section 100170 filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
§100166. Accreditation to Practice.
Note     •     History

(a) In order to be accredited an individual shall:
(1) Possess a current California paramedic license.
(2) Apply to the LEMSA for accreditation.
(3) Successfully complete an orientation of the local EMS system as prescribed by the LEMSA which shall include policies and procedures, treatment protocols, radio communications, hospital/facility destination policies, and other unique system features. The orientation shall not exceed eight (8) classroom hours, except when additional hours are needed to accomplish subsection (a)(4) of this section, and shall not include any further testing of the paramedic basic scope of practice. Testing shall be limited to local policies and treatment protocols provided in the orientation.
(4) Successfully complete training in any basic and/or local optional scope of practice for which the paramedic has not been trained and tested.
(5) Pay the established local fee pursuant to Section 100172.
(6) In order for an individual to be eligible for accreditation, in the LEMSA's CCP scope of practice, the individual must obtain and maintain CCP certification from the BCCTPC by July 1, 2015.
(b) If the LEMSA requires a supervised field evaluation as part of the local accreditation process, the field evaluation shall consist of no more than ten (10) ALS patient contacts. The field evaluation shall only be used to determine if the paramedic is knowledgeable to begin functioning under the local policies and procedures.
(1) The paramedic accreditation applicant may practice in the basic scope of practice as a second paramedic until s/he is accredited.
(2) The paramedic accreditation applicant may only perform the local optional scope of practice while in the presence of the field evaluator who is ultimately responsible for patient care.
(c) The LEMSA medical director shall evaluate any candidate who fails to successfully complete the field evaluation and may recommend further evaluation or training as required to ensure the paramedic is competent. If, after several failed remediation attempts, the medical director has reason to believe that the paramedic's competency to practice is questionable, then the medical director shall notify the Authority.
(d) If the paramedic accreditation applicant does not complete accreditation requirements within thirty (30) calendar days, then the applicant may be required to complete a new application and pay a new fee to begin another thirty (30) day period.
(e) A LEMSA may limit the number of times that a paramedic applies for initial accreditation to no more than three (3) times per year.
(f) The LEMSA shall notify the individual applying for accreditation of the decision whether or not to grant accreditation within thirty (30) calendar days of submission of a complete application.
(g) Accreditation to practice shall be continuous as long as licensure is maintained and the paramedic continues to meet local requirements for updates in local policy, procedure, protocol and local optional scope of practice, and continues to meet requirements of the system-wide EMSQIP pursuant to Section 100168.
(h) An application and fee may only be required once for ongoing accreditation. An application and fee can only be required to renew accreditation when an accreditation has lapsed.
(i) The medical director of the LEMSA may suspend or revoke accreditation if the paramedic does not maintain current licensure or meet local accreditation requirements and the following requirements are met:
(1) The paramedic has been granted due process in accordance with local policies and procedures.
(2) The local policies and procedures provide a process for appeal or reconsideration.
(j) The LEMSA shall submit to the Authority the names and dates of accreditation for those individuals it accredits within twenty (20) working days of accreditation.
(k) During an interfacility transfer, a paramedic may utilize the scope of practice for which s/he is trained and accredited.
(l) During a mutual aid response into another jurisdiction, a paramedic may utilize the scope of practice for which s/he is trained and accredited according to the policies and procedures established by his/her accrediting LEMSA.
NOTE

Authority cited: Sections 1797.7, 1797.107, 1797.172, 1797.185 and 1797.192, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100165 to section 100166 filed 11-29-93 as an emergency; operative 12/1/93 (Register  93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.  For prior history, see Register 92, No. 10.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with amendment of subsections (a)(4) and (c)-(e)  filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100166 to section 100171 and renumbering of former section 100164 to section 100166, including amendment of section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Renumbering of former section 100166 to section 100165,  relocation and renumbering of former article 7 to article 6, and renumbering and amendment of former section 100171 to section 100166 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. New subsections (f)-(f)(3)(A) and amendment of Note filed 5-19-2010; operative 6-18-2010 (Register 2010, No. 21).
9. Relocation of article 6 heading to precede section 100167, renumbering of former section 100166 to section 100167 and renumbering and amendment of former section 100165 to section 100166 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
Article 6. License Renewal
§100167. License Renewal.
Note     •     History

(a) In order to be eligible for renewal of a non-lapsed paramedic license, an individual shall comply with the following requirements:
(1) Possess a current paramedic license issued in California.
(2) Complete forty-eight (48) hours of CE pursuant to the provisions of Chapter 11 of this Division.
(3) Complete and submit the state Paramedic Application for License Renewal, Form #RL-01, Revised 07/2011 including the Statement of Continuing Education located on the back of the license renewal application. EMSA will notify the paramedic, by mail, approximately six (6) months prior to their paramedic license expiration date on how to renew their license.
(4) Pay the appropriate fees as specified on the application in accordance with Section 100172 of this Chapter.
(b) In order for an individual whose license has lapsed to be eligible for license renewal, the following requirements shall apply:
(1) For a lapse of less than six (6) months, the individual shall comply with (a)(2), and (a)(4) of this section and complete and submit the state Paramedic Application specified in Section 100163(a)(4), including the Statement of Continuing Education located on the back of the lapsed license renewal application.
(2) For a lapse of six (6) months or more, but less than twelve (12) months, the individual shall comply with (a)(2), and (a)(4) of this section, complete an additional twelve (12) hours of CE, for a total of sixty (60) hours of CE, and complete and submit the state Paramedic Application specified in Section 100163(a)(4), including the Statement of Continuing Education located on the back of the lapsed license renewal application.
(3) For a lapse of twelve (12) months or more, but less than twenty-four (24) months, the individual shall pass the licensure examination specified in Sections 100140, 100141, and 100164 or possess a current paramedic registration issued by the NREMT, comply with (a)(2) and (a)(4) of this section, submit to the California DOJ an applicant fingerprint card, FD-258 dated 5/11/99 or a Request for Live Scan Service Applicant Submission Form, BCII 8016 (Rev 03/07), for a state summary criminal history provided by the DOJ in accordance with the provisions of Section 11105 et seq. of the Penal Code, complete an additional twenty-four (24) hours of CE, for a total of seventy-two (72) hours of CE and complete and submit a state Paramedic Application specified in Section 100163(a)(4), including the Statement of Continuing Education located on the back of the lapsed license renewal application.
(4) For a lapse of twenty-four (24) months or more, the individual shall comply with (a)(2) and (a)(4) and (b)(3) of this section. Documentation of the seventy-two (72) hours of CE shall include completion of the following courses, or their equivalent:
(A) Advanced Cardiac Life Support,
(B) Pediatric Advanced Life Support,
(C) Prehospital Trauma Life Support or International Trauma Life Support,
(D) CPR.
(c) Renewal of a license shall be for two (2) years. If the renewal requirements are met within six (6) months prior to the expiration date of the current license, the effective date of licensure shall be the first day after the expiration of the current license.  This applies only to individuals who have not had a lapse in licensure.
(d) For individuals whose license has lapsed, the licensure cycle shall be for two (2) years from the last day of the month in which all licensure requirements are completed and the license was issued.
(e) The Authority shall notify the applicant for license renewal within thirty (30) working days of receiving the application, that the application has been received and shall specify what information, if any, is missing.
(f) An individual, who is a member of the reserves and is deployed for active duty with a branch of the Armed Forces of the United States, whose paramedic license expires during the time the individual is on active duty or less than six (6) months from the date the individual is deactivated/released from active duty, has an additional six (6) months to comply with the CE requirements and the late renewal fee is waived upon compliance with the following provisions: 
(1) Provide documentation from the respective branch of the Armed Forces of the United States verifying the individual's dates of activation and deactivation/release from active duty. 
(2) Meet the requirements of Section 100167(a)(2) through (a)(4) of this Chapter, except the individual will not be subject to the $50 late renewal application fee specified in Section 100172(b)(4). 
(3) Provide documentation showing that the CE activities submitted for the license renewal period were taken not earlier than 30 days prior to the effective date of the individual's paramedic license that was valid when the individual was activated for active duty and not later than six months from the date of deactivation/release from active duty. 
(A) For an individual whose active duty required him/her to use his/her paramedic skills, credit may be given for documented training that meets the requirements of Chapter 11, EMS Continuing Education Regulations (California Code of Regulations, Title 22, Division 9). The documentation shall include verification from the individual's Commanding Officer attesting to the classes attended.
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.63, 1797.172, 1797.175, 1797.185, 1797.194 and 1797.210, Health and Safety Code; and Section 101, Chapter 1, Part 1, Subtitle A, Title 10, United States Code.
HISTORY

1. Relocation and renumbering of article heading and renumbering and amendment of text and Note of former section 100166 to section 100167 filed 11-29-93 as an emergency; operative 12/1/93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.  For prior history, see Register 93, No. 10.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of Note refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former article 6 to article 8, new article 6 heading, renumbering of former section 100167 to section 100172 and renumbering of former section 100165 to section 100167, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Repealer of article 6 (sections 100167-100170) and section, relocation and renumbering of former article 8 to article 7, and renumbering and amendment of former section 100173 to section 100167 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. Relocation of article 7 heading to precede section 100168, relocation of article 6 heading from preceding section 100166 to precede section 100167, renumbering of former section 100167 to section 100168 and renumbering and amendment of former section 100166 to section 100167 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
Article 7. System Requirements
§100168. Paramedic Service Provider.
Note     •     History

(a) A LEMSA with an ALS system shall establish policies and procedures for the approval, designation, and evaluation through its EMSQIP, of all paramedic service provider(s).
(b) An approved paramedic service provider shall:
(1) Provide emergency medical service response on a continuous twenty-four (24) hours per day basis, unless otherwise specified by the LEMSA, in which case there shall be adequate justification for the exemption (e.g., lifeguards, ski patrol personnel, etc.).
(2) Utilize and maintain telecommunications as specified by the LEMSA.
(3) Maintain a drug and solution inventory as specified by the LEMSA of equipment and supplies commensurate with the basic and local optional scope of practice of the paramedic.
(A) Ensure that security mechanisms and procedures are established for controlled substances, including, but not limited to:
1. controlled substance ordering and order tracking;
2. controlled substance receipt and accountability;
3. controlled substance master supply storage, security and documentation;
4. controlled substance labeling and tracking;
5. vehicle storage and security;
6. usage procedures and documentation;
7. reverse distribution;
8. disposal;
9. re-stocking procedures. 
(B) Ensure that mechanisms for investigation and mitigation of suspected tampering or diversion are established, including, but not limited to,;
10. controlled substance testing;
11. discrepancy reporting;
12. tampering, theft and diversion prevention and detection;
13. usage audits.
(4) Have a written agreement with the LEMSA to participate in the EMS system and to comply with all applicable State regulations and local policies and procedures, including participation in the LEMSA's EMSQIP as specified in Chapter 12 of this Division.
(5) Be responsible for assessing the current knowledge of their paramedics in local policies, procedures and protocols and for assessing their paramedics' skills competency.
(6) If, through the EMSQIP the employer or medical director of the LEMSA determines that a paramedic needs additional training, observation or testing, the employer and the medical director may create a specific and targeted program of remediation based upon the identified need of the paramedic. If there is disagreement between the employer and the medical director, the decision of the medical director shall prevail.
(c) No paramedic service provider shall advertise itself as providing paramedic services unless it does, in fact, routinely provide these services on a continuous twenty-four (24) hours per day basis and meets the requirements of subsection (b) of this section.
(d) No responding unit shall advertise itself as providing paramedic services unless it does, in fact, provide these services and meets the requirements of subsection (a) of this section.
(e) The LEMSA may deny, suspend, or revoke the approval of a paramedic service provider for failure to comply with applicable policies, procedures, and regulations.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1798, Health and Safety Code. Reference: Sections 1797.172, 1797.178, 1797.180, 1797.204 and 1797.218, Health and Safety Code.
HISTORY

1. Renumbering of former section 100167 to section 100168 and amendment of subsection (b)(4) and renumbering of former section 100168 to section 100169 filed 11-29-93 as an emergency; operative 12/1/93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.  For prior history, see Register 92, No. 10.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of Note refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100168 to section 100173 and renumbering of former section 100165.1 to section 100168, including amendment of section heading and section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Repealer of former section 100168 and renumbering and amendment of former section 100174 to section 100168 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. Relocation of article 7 heading from preceding section 100167 to precede section 100168, renumbering of former section 100168 to section 100169 and renumbering and amendment of former section 100167 to section 100168 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100169. Paramedic Base Hospital.
Note     •     History

(a) A LEMSA with an ALS system shall designate a paramedic base hospital(s) or alternative base station, pursuant to Health and Safety Code Section 1798.105 if no qualified base hospital is available to provide medical direction, to provide medical direction and supervision of paramedic personnel. 
(b) A designated paramedic base hospital shall be responsible for the provisions of subsections (b)(1) through (b)(13) of this section, and alternate base stations shall be responsible for the provisions of subsections (b)(4) through (b)(13) of this section.
(1) Be licensed by the California Department of Public Health as a general acute care hospital, or, for an out of state general acute care hospital, meet the relevant requirements for that license and the requirements of this section where applicable, as determined by the LEMSA which is utilizing the hospital in the local EMS system.
(2) Be accredited by a Centers for Medicare and Medicaid Services approved deeming authority.
(3) Have a special permit for basic or comprehensive emergency medical service pursuant to the provisions of Division 5, or have been granted approval by the Authority for utilization as a base hospital pursuant to the provisions of Section 1798.101 of the Health and Safety Code. Hospitals meeting requirements in this section shall be referenced in the EMS Plan of the approving LEMSA.
(4) Have and agree to utilize and maintain two-way telecommunications equipment, as specified by the LEMSA, capable of direct two-way voice communication with the paramedic field units assigned to the hospital.
(5) Both parties shall maintain a record of all online medical direction between the service provider and base hospital or alternative base station as specified by LEMSA policy.
(6) Have a written agreement, which is reviewed every three (3) years, with the LEMSA indicating the concurrence of hospital administration, medical staff, and emergency department staff to meet the requirements for program participation as specified in this Chapter and by the local LEMSA's policies and procedures.
(7) Have a physician licensed in the State of California, experienced in emergency medical care, assigned to the emergency department, available at all times to provide immediate medical direction to the MICN or paramedic personnel. This physician shall have experience in and knowledge of base hospital radio operations and LEMSA policies, procedures, and protocols.
(8) Assure that nurses giving medical direction to paramedic personnel are trained and authorized as MICNs by the medical director of the LEMSA.
(9) Designate a paramedic base hospital medical director who shall be a physician on the hospital staff, licensed in the State of California who is certified or prepared for certification by the American Board of Emergency Medicine. The requirement of board certification or prepared for certification may be waived by the medical director of the LEMSA when the medical director determines that an individual with these qualifications is not available. The base hospital medical director shall be regularly assigned to the emergency department, have experience in and knowledge of base hospital radio operations and LEMSA policies and procedures, and shall be responsible for functions of the base hospital including the EMSQIP.
(10) Identify a base hospital coordinator who is a currently licensed in California registered nurse with experience in and knowledge of base hospital operations and LEMSA policies and procedures. The base hospital coordinator shall serve as a liaison to the local EMS system.
(11) Ensure that a mechanism exists for prehospital providers to contract for the provision of medications, medical supplies and equipment used by paramedics according to policies and procedures established by the LEMSA.
(12) Provide for CE in accordance with the policies and procedures of the LEMSA.
(13) Agree to participate in the LEMSA's EMSQIP which may include making available all relevant records for program monitoring and evaluation.
(c) The LEMSA may deny, suspend, or revoke the approval of a base hospital or alternative base station for failure to comply with any applicable policies, procedures, and regulations.
NOTE

Authority cited: Sections 1797.107 and 1797.172, Health and Safety Code. Reference: Sections 1797.56, 1797.58, 1797.59, 1797.172, 1797.178, 1798, 1798.2, 1798.100, 1798.101, 1798.102 and 1798.104, Health and Safety Code.
HISTORY

1. Renumbering of former section 100168 to section 100169 and renumbering of former section 100169 to section 100170 filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.  For prior history, see Register 92, No. 10.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
5. Renumbering of former section 100169 to section 100174 and renumbering of former section 100165.2 to section 100169, including amendment of section heading, section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
6. Repealer of former section 100169 and renumbering and amendment of former section 100175 to section 100169 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
7. Renumbering of former section 100169 to section 100170 and renumbering and amendment of former section 100168 to section 100169 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100170. Medical Control.
Note     •     History

The medical director of the LEMSA shall establish and maintain medical control in the following manner:
(a) Prospectively, by assuring the development of written medical policies and procedures, to include at a minimum:
(1) Treatment protocols that encompass the paramedic scope of practice.
(2) Local medical control policies and procedures as they pertain to the paramedic base hospitals, alternative base stations, paramedic service providers, paramedic personnel, patient destination, and the LEMSA.
(3) Criteria for initiating specified emergency treatments on standing orders or for use in the event of communication failure that is consistent with this Chapter.
(4) Criteria for initiating specified emergency treatments, prior to voice contact, that are consistent with this Chapter.
(5) Requirements to be followed when it is determined that the patient will not require transport to the hospital by ambulance or when the patient refuses transport.
(6) Requirements for the initiation, completion, review, evaluation, and retention of a patient care record as specified in this Chapter. These requirements shall address but not be limited to:
(A) Initiation of a record for every patient response.
(B) Responsibilities for record completion.
(C) Record distribution to include LEMSA, receiving hospital, paramedic base hospital, alternative base station, and paramedic service provider.
(D) Responsibilities for record review and evaluation.
(E) Responsibilities for record retention.
(b) Establish policies which provide for direct voice communication between a paramedic and a base hospital physician or MICN, as needed.
(c) Retrospectively, by providing for organized evaluation and CE for paramedic personnel. This shall include, but not be limited to:
(1) Review by a base hospital physician or MICN of the appropriateness and adequacy of paramedic procedures initiated and decisions regarding transport.
(2) Maintenance of records of communications between the service provider(s) and the base hospital through tape recordings and through emergency department communication logs sufficient to allow for medical control and CE of the paramedic.
(3) Organized field care audit(s).
(4) Organized opportunities for CE including maintenance and proficiency of skills as specified in this Chapter.
(d) In circumstances where use of a base hospital as defined in Section 100169 is precluded, alternative arrangements for complying with the requirements of this Section may be instituted by the medical director of the LEMSA if approved by the Authority.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.176, Health and Safety Code. Reference: Sections 1797.90, 1797.172, 1797.202, 1797.220, 1798, 1798.2, 1798.3 and 1798.105, Health and Safety Code.
HISTORY

1. Renumbering of former section 100169 to section 100170 and amendment of subsection (d) and renumbering of former section 100170 to section 100171 filed 11-29-93 as an emergency; operative 12/1/93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.   For prior history, see Register 92, No. 10.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100170 to section 100175 and renumbering of former section 100165.3 to section 100170, including amendment of section heading, repealer and new section, and amendment of Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Repealer of former section 100170, relocation and renumbering of former article 9 to article 8 and renumbering of former section 100176 to section 100170 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. Relocation of article 8 heading to precede section 100171, renumbering of former section 100170 to section 100171 and renumbering and amendment of former section 100169 to section 100170 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
Article 8. Record Keeping and Fees
§100171. Record Keeping.
Note     •     History

(a) Each paramedic approving authority shall maintain a record of approved training programs within its jurisdiction and annually provide the Authority with the name, address, and course director of each approved program. The Authority shall be notified of any changes in the list of approved training programs.
(b) Each paramedic approving authority shall maintain a list of current paramedic program medical directors, course directors, and principal instructors within its jurisdiction.
(c) The Authority shall maintain a record of approved training programs.
(d) Each LEMSA shall, at a minimum, maintain a list of all paramedics accredited by them in the preceding five (5) years. 
(e) The paramedic is responsible for accurately completing the patient care record referenced in Section 100170(a)(6) which shall contain, but not be limited to, the following information when such information is available to the paramedic:
(1) The date and estimated time of incident.
(2) The time of receipt of the call (available through dispatch records).
(3) The time of dispatch to the scene.
(4) The time of arrival at the scene.
(5) The location of the incident.
(6) The patient's:
(A) Name;
(B) Age;
(C) Gender;
(D) Weight, if necessary for treatment;
(E) Address;
(F) Chief complaint; and
(G) Vital signs.
(7) Appropriate physical assessment.
(8) The emergency care rendered and the patient's response to such treatment.
(9) Patient disposition.
(10) The time of departure from scene.
(11) The time of arrival at receiving facility (if transported).
(12) The name of receiving facility (if transported).
(13) The name(s) and unique identifier number(s) of the paramedics.
(14) Signature(s) of the paramedic(s).
(f) A LEMSA utilizing computer or other electronic means of collecting and storing the information specified in subsection (e) of this section shall in consultation with EMS providers establish policies for the collection, utilization and storage of such data.
NOTE

Authority cited: Sections 1797.107, 1797.172 and 1797.185, Health and Safety Code. Reference: Sections 1797.172, 1797.173, 1797.185, 1797.200, 1797.204 and 1797.208, Health and Safety Code.
HISTORY

1. Relocation and renumbering of article heading, renumbering and amendment of former section 100170 to section 100171 filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.  For prior history, see Register 92, No. 10.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
5. Renumbering of former article 7 to article 9, new article 7 heading, renumbering of former section 100171 to section 100176 and renumbering of former section 100166 to section 100171, including amendment of section heading, section and Note, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
6. Renumbering of former article 7 to article 6, relocation of newly designated article 6 heading to precede section 100166, renumbering of section 100171 to section 100166 and renumbering and amendment of former section 100177 to section 100171 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
7. Amendment of subsections (a) and (b)(3)-(4) and amendment of Note filed 5-19-2010; operative 6-18-2010 (Register 2010, No. 21).
8. Relocation of article 8 heading from preceding section 100170 to precede section 100171, renumbering of former section 100171 to section 100172 and renumbering and amendment of former section 100170 to section 100171 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100172. Fees.
Note     •     History

(a) A LEMSA may establish a schedule of fees for paramedic training program review and approval, CE provider approval, and paramedic accreditation in an amount sufficient to cover the reasonable cost of complying with the provisions of this Chapter.
(b) The following are the licensing fees established by the Authority:
(1) The fee for initial application for paramedic licensure for individuals who have completed training in California through an approved paramedic training program shall be $50.00.
(2) The fee for initial application for paramedic licensure for individuals who have completed out-of-state paramedic training, as specified in Section 100165(b), or for individuals specified in Section 100165(c), shall be $100.00.
(3) The fee for licensure or licensure renewal as a paramedic shall be $195.00.
(4) The fee for failing to submit an application for renewal within the timeframe specified in Section 100163(b), or for an individual whose license has lapsed, as specified in Section 100167(b)(1), (2), (3) and (4) shall be $50.00.
(5) The fee for state summary criminal history shall be in accordance with the schedule of fees established by the California DOJ.
(6) The fee for replacement of a license shall be $10.00.
(7) The fee for approval and re-approval of an out-of-state CE provider shall be $200.00.
(8) The fee for administration of the provisions of Section 17520 of the Family Code shall be $5.00.
NOTE

Authority cited: Sections 1797.107, 1797.112, 1797.172, 1797.185 and 1797.212, Health and Safety Code. Reference: Sections 1797.172, 1797.185 and 1797.212, Health and Safety Code; and Section 11105, Penal Code.
HISTORY

1. Renumbering and amendment of text and Note of former section 100171 to section 100172 filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section and Note refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with amendment of subsection (a)(6) filed 10-24-94 (Register 94, No. 43).
6. Editorial correction of subsection (b)(2) (Register 99, No. 12).
7. Renumbering and amendment of former article 6 to article 8, renumbering of former section 100172 to section 100177 and renumbering of former section 100167 to section 100172, including amendment of section heading and section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
8. Renumbering of former article 8 to article 7, relocation of newly designated article 7 heading to precede section 100167, repealer of former section 100172, renumbering and relocation of former article 10 to article 9, and renumbering of former section 100178 to section 100172 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
9. Amendment of subsections (a), (c) and (d) and amendment of Note filed 6-26-2008; operative 7-26-2008 (Register 2008, No. 26).
10. Relocation of article 9 heading to precede section 100173, renumbering of former section 100172 to section 100173 and renumbering and amendment of former section 100171 to section 100172 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
Article 9. Discipline and Reinstatement of License
§100173. Proceedings.
Note     •     History

(a) Any proceedings by the Authority to deny, suspend or revoke the license of a paramedic or place any paramedic license holder on probation pursuant to Section 1798.200 of the Health and Safety Code, or impose an administrative fine pursuant to Section 1798.210 of the Health and Safety Code, shall be conducted in accordance with this article and pursuant to the provisions of the Administrative Procedure Act, Government Code, Section 11500 et seq.
(b) Before any disciplinary proceedings are undertaken, the Authority shall evaluate all information submitted to or discovered by the Authority including, but not limited to, a recommendation for suspension or revocation from a medical director of a LEMSA, for evidence of a threat to public health and safety pursuant to Section 1798.200 of the Health and Safety Code.
(c) The Authority shall use the “EMS Authority Recommended Guidelines for Disciplinary Orders and Conditions of Probation”, dated July 26, 2008 and incorporated by reference herein, as the standard in settling disciplinary matters when a paramedic applicant or license holder is found to be in violation of Section 1798.200 of Division 2.5 of the Health and Safety Code.
(d) The administrative law judge shall use the “EMS Authority Recommended Guidelines for Disciplinary Orders and Conditions of Probation”, dated July 26, 2008, as a guide in making any recommendations to the Authority for discipline of a paramedic applicant or license holder found in violation of Section 1798.200 of Division 2.5 of the Health and Safety Code.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1798.200, 1798.204 and 1798.210, Health and Safety Code.  Reference: Sections 1797.172, 1797.174, 1797.176, 1797.185, 1798.200, 1798.204 and 1798.210, Health and Safety Code; and Section 11500 et seq., Government Code.
HISTORY

1. New article 8 and section filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of  law on the following day.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order including amendment of section refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 94, No. 21).
5. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 with repealer of subsection (b) and subsection redesignation filed 10-24-94 (Register 94, No. 43).
6. Renumbering of former section 100173 to section 100178 and renumbering of former section 100168 to section 100173, including amendment of section heading and section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
7. Renumbering of former section 100173 to section 100167 and renumbering and amendment of former section 100178.1 to section 100173 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
8. Relocation of article 9 heading from preceding section 100172 to precede section 100173, renumbering of former section 100173 to section 100174 and renumbering and amendment of former section 100172 to section 100173 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100174. Denial/Revocation Standards.
Note     •     History

(a) The Authority shall deny/revoke a paramedic license if any of the following apply to the applicant:
(1) Has committed any sexually related offense specified under Section 290 of the Penal Code.
(2) Has been convicted of murder, attempted murder, or murder for hire.
(3) Has been convicted of two (2) or more felonies.
(4) Is on parole or probation for any felony.
(b) The Authority shall deny/revoke a paramedic license, if any of the following apply to the applicant:
(1) Has been convicted and released from incarceration for said offense during the preceding fifteen (15) years for the crime of manslaughter or involuntary manslaughter.
(2) Has been convicted and released from incarceration for said offense during the preceding ten (10) years for any offense punishable as a felony.
(3) Has been convicted of two (2) misdemeanors within the preceding five (5) years for any offense relating to the use, sale, possession, or transportation of narcotics or addictive or dangerous drugs.
(4) Has been convicted of two (2) misdemeanors within the preceding five (5) years for any offense relating to force, violence, threat, or intimidation.
(5) Has been convicted within the preceding five (5) years of any theft related misdemeanor.
(c) The Authority may deny/revoke a paramedic license if any of the following apply to the applicant:
(1) Has committed any act involving fraud or intentional dishonesty for personal gain within the preceding seven (7) years.
(2) Is required to register pursuant to Section 11590 of the Health & Safety Code.
(d) Subsections (a) and (b) shall not apply to convictions that have been pardoned by the governor, and shall only apply to convictions where the applicant/licensee was prosecuted as an adult. Equivalent convictions from other states shall apply to the type of offenses listed in (a) and (b). As used in this section, “felony” or “offense punishable as a felony” refers to an offense for which the law prescribes imprisonment in the state prison as either an alternative or the sole penalty, regardless of the sentence the particular defendant received.
(e) This section shall not apply to those paramedics who obtained their California Paramedic License prior to the effective date of this Section; unless:
(1) The licensee is convicted of any misdemeanor or felony subsequent to the effective date of this Section.
(2) The licensee committed any sexually related offense specified under Section 290 of the Penal Code.
(3) The licensee failed to disclose to the Authority any prior convictions when completing his/her application for initial paramedic license or license renewal.
(f) Nothing in this section shall prevent the Authority from taking licensure action pursuant to Health & Safety Code Section 1798.200.
(g) The Director of the Authority may grant a license to anyone otherwise precluded under subsections (a) and (b) of this section if the Director of the Authority believes that extraordinary circumstances exist to warrant such an exemption.
(h) Nothing in this section shall negate an individual's right to appeal the denial of a license or petition for reinstatement of a license pursuant to Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1798.200 and 1798.204, Health and Safety Code.  Reference: Sections 1797.172, 1797.174, 1797.176, 1797.185, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
5. Renumbering of former section 100174 to section 100179 and renumbering of former section 100169 to section 100174, including amendment of section heading and section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
6. Renumbering of former section 100174 to section 100168 and renumbering of former section 100179 to section 100174 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
7. Amendment of section heading, subsection (a) and Note filed 6-26-2008; operative 7-26-2008 (Register 2008, No. 26).
8. Renumbering of former section 100174 to section 100175 and renumbering and amendment of former section 100173 to section 100174 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100175. Substantial Relationship Criteria for the Denial, Placement on Probation, Suspension, Fine, or Revocation of a License.
Note     •     History

(a) For the purposes of denial, placement on probation, suspension, or revocation, of a license, pursuant to Section 1798.200 of the Health and Safety Code, or imposing an administrative fine pursuant to Section 1798.210 of the Health and Safety Code, a crime or act shall be substantially related to the qualifications, functions and/or duties of a person holding a paramedic license under Division 2.5 of the Health and Safety Code. A crime or act shall be considered to be substantially related to the qualifications, functions, or duties of a paramedic if to a substantial degree it evidences present or potential unfitness of a paramedic to perform the functions authorized by her/his license in a manner consistent with the public health and safety.
(b) For the purposes of a crime, the record of conviction or a certified copy of the record shall be conclusive evidence of such conviction. “Conviction” means the final judgement on a verdict or finding of guilty, a plea of guilty, or a plea of nolo contendere.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1798.200, 1798.210 and 1798.204, Health and Safety Code.  Reference: Sections 1797.172, 1797.174, 1797.176, 1797.185, 1798.200, 1798.204 and 1798.210, Health and Safety Code.
HISTORY

1. New section filed 11-29-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-29-93 order transmitted to OAL 3-30-94; disapproved by OAL and order of repeal as to 11-29-93 order filed on 5-11-94 (Register 94, No. 19).
3. 11-29-93 order refiled 5-12-94 as an emergency; operative 5-12-94 (Register 94, No. 19).  A Certificate of Compliance must be transmitted to OAL by 9-9-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-12-94 order transmitted to OAL 9-9-94 and filed 10-24-94 (Register 94, No. 43).
5. Renumbering of former section 100175 to section 100180 and renumbering of former section 100170 to section 100175, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
6. Renumbering of former section 100175 to section 100169 and renumbering and amendment of former section 100180 to section 100175 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
7. Renumbering of former section 100175 to section 100176 and renumbering of former section 100174 to section 100175 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). 
§100176. Rehabilitation Criteria for Denial, Placement on Probation, Suspension, Revocations, and Reinstatement of License.
Note     •     History

(a) At the discretion of the Authority, the Authority may issue a license subject to specific provisional terms, conditions, and review. When considering the denial, placement on probation, suspension, or revocation of a license pursuant to Section 1798.200 of the Health and Safety Code, or a petition for reinstatement or reduction of penalty under Section 11522 of the Government Code, the Authority in evaluating the rehabilitation of the applicant and present eligibility for a license, shall consider the following criteria:
(1) The nature and severity of the act(s) or crime(s).
(2) Evidence of any act(s) committed subsequent to the act(s) or crime(s) under consideration as grounds for denial, placement on probation, suspension, or revocation which also could be considered grounds  for denial, placement on probation, suspension, or revocation under Section 1798.200 of the Health and Safety Code.
(3) The time that has elapsed since commission of the act(s) or crime(s) referred to in subsection (1) or (2) of this section.
(4) The extent to which the person has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the person.
(5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.
(6) Evidence, if any, of rehabilitation submitted by the person.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1798.200 and 1798.204, Health and Safety Code.  Reference: Sections 1797.172, 1797.174, 1797.176, 1797.185, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100175 to section 100176 filed 2-11-2013; operative 4-1-2013 (Register 2013, No. 7). For prior history of section 100176, see Register 2004, No. 37.
§100177. Fees. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.112, 1797.172, 1797.185 and 1797.212, Health and Safety Code. Reference: Sections 1797.172, 1797.185 and 1797.212, Health and Safety Code; and Section 11105, Penal Code.
HISTORY

1. Renumbering of former section 100172 to section 100177, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
2. Amendment of subsection (b)(4) and renumbering of subsequent subsections filed 2-20-2003; operative 2-20-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 8). 
3. Renumbering of former section 100177 to section 100171 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100178. Proceedings. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176, 1798.200 and 1798.204, Health and Safety Code.  Reference: Sections 1797.172, 1797.174, 1797.176, 1797.185, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former article 8 to article 10, renumbering of former section 100173 to section 100178, including amendment of section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
2. New subsections (c) and (d) filed 6-10-2002; operative 7-10-2002 (Register 2002, No. 24).
3. Renumbering of former article 10 to article 9, relocation of newly designated article 9 heading to precede section 100172 and renumbering of former section 100178 to section 100172 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100178.1. Denial/Revocation Standards. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176, 1798.200 and 1798.204, Health and Safety Code.  Reference: Sections 1797.172, 1797.174, 1797.176, 1797.185, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 6-10-2002; operative 7-10-2002 (Register 2002, No. 24).
2. Renumbering of former section 100178.1 to section 100173 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100179. Substantial Relationship Criteria for the Denial, Placement on Probation, Suspension, or Revocation of a License. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176, 1798.200 and 1798.204, Health and Safety Code.  Reference: Sections 1797.172, 1797.174, 1797.176, 1797.185, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. Renumbering of former section 100174 to section 100179, including amendment of section heading and section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
2. Renumbering of former section 100179 to section 100174 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100180. Rehabilitation Criteria for Denial, Placement on Probation, Suspension, Revocations, and Reinstatement of License. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176, 1798.200 and 1798.204, Health and Safety Code.  Reference: Sections 1797.172, 1797.174, 1797.176, 1797.185, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. Renumbering of former section 100175 to section 100180, including amendment of section heading and section, filed 3-15-99; operative 4-14-99 (Register 99, No. 12).
2. Renumbering of former section 100180 to section 100175 filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Chapter 5. Process for Applicant Verification
§100190. Limitations on Paramedic Licenses for Aliens.
Note     •     History

(a) All eligibility requirements contained herein shall be applied without regard to the race, creed, color, gender, religion, or national origin of the individual applying for the public benefit. 
(b) Pursuant to Section 411 of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, (Pub. L. No. 104-193 (PRWORA)), (8 U.S.C. § 1621), and not withstanding any other provision of this division, aliens who are not qualified aliens, nonimmigrant aliens under the Immigration and Nationality Act (INA) (8 U.S.C. Section 1101 et seq.), or aliens paroled into the United States under Section 212(d)(5) of the INA (8 U.S.C. § 1182(d)(5)), for less than one year, are not eligible to receive a California paramedic license as set forth in Section 1797.172 of Division 2.5 of the Health and Safety Code, except as provided in 8 U.S.C. 1621(c)(2). 
(c) A qualified alien is an alien who, at the time he or she applies for, receives, or attempts to receive a public benefit, is, under Section 431(b) and (c) of the PWRORA (8 U.S.C. § 1641(b) and (c)), any of the following: 
(1) An alien who is lawfully admitted for permanent residence under the INA (8 U.S.C. § 1101 et seq.).
(2) An alien who is granted asylum under Section 208 in the INA (8 U.S.C. § 1158).
(3) A refugee who is admitted to the United States under Section 207 of the INA (8 U.S.C. § 1157).
(4) An alien who is paroled into the United States under Section 212(d) (5) of the INA (8 U.S.C. § 1182(d)(5)) for a period of at least one year.
(5) An alien whose deportation is being withheld under Section 243(h) of the INA (8 U.S.C. § 1253(h)) (as in effect immediately before the effective date of Section 307 of Division C of Public Law 104-208) or Section 241(b)(3) of such Act (8 U.S.C. Section 1251(b)(3)) (as amended by Section 305 (a) of Division C of Public Law 104-208).
(6) An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980. (8 U.S.C. Section 1153(a)(7)) (See editorial note under 8 U.S.C. Section 1101, “Effective Date of 1980 Amendment.”)
(7) An alien who is a Cuban or Haitian entrant (as defined in Section 501(e) of the Refugee Education Assistance Act of 1980 (8 U.S.C. Section 1522 note)).
(8) An alien who meets all of the conditions of subparagraphs (A), (B), (C), and (D) below:
(A) The alien has been battered or subjected to extreme cruelty in the United States by a spouse or a parent, or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent of the alien consented to, or acquiesced in, such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence.
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Emergency Medical Services Authority. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1. The benefits are needed to enable the alien to become self-sufficient following separation from the abuser.
2. The benefits are needed to enable the alien to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien from the abuser.
3. The benefits are needed due to a loss of financial support resulting from the alien's separation from the abuser.
4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien to lose his or her job or to earn less or to require the alien to leave his or her job for safety reasons.
5. The benefits are needed because the alien requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser).
7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien had when living with the abuser.
(C) The alien has a petition that has been approved or has a petition pending which sets forth a prima facie case for:
1. Status as a spouse or child of a United States citizen pursuant to clause (ii), (iii), or (iv) of Section 204(a)(1)(A) of the INA (8 U.S.C. § 1154(a)(1)(A)(ii), (iii) or (iv)),
2. Classification pursuant to clause (ii) or (iii) of Section 204(a)(1)(B) of the INA (8 U.S.C. § 1154(a)(1)(B)(ii) or (iii)),
3. Suspension of deportation and adjustment of status pursuant to section 214(a)(3) of the INA (8 U.S.C. sec. 1254) as in effect prior to April 1, 1997 [Pub.L. 104-208, sec. 501 (effective September 30, 1996, pursuant to sec. 591); Pub.L. 104-208, sec. 304 (effective April 1, 1997, pursuant to sec. 309); Pub.L. 105-33, sec. 5581 (effective pursuant to sec. 5582)] (incorrectly codified as “cancellation of removal under section 240A of such Act [8 U.S.C. § 1229b (as in effect prior to April 1, 1997),”
4. Status as a spouse or child of a United States citizen pursuant to clause (i) of Section 204(a)(1)(A) of the INA (8 U.S.C. § 1154(a)(1)(A)(i)) or classification pursuant to clause (i) of Section 204(a) (1) (B) of the INA (8 U.S.C. § 1154(a)(1)(B)(i)), or 
5. Cancellation of removal pursuant to Section 240A(b)(2) of the INA (8 U.S.C. Section 1229b(b)(2)).
(D) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(9) An alien who meets all of the conditions of subparagraphs (A), (B), (C), (D) and (E) below:
(A) The alien has a child who has been battered or subjected to extreme cruelty in the United States by a spouse or a parent of the alien (without the active participation of the alien in the battery or cruelty), or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence.
(B) The alien did not actively participate in such battery or cruelty.
(C) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Emergency Medical Services Authority. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1. The benefits are needed to enable the alien's child to become self-sufficient following separation from the abuser.
2. The benefits are needed to enable the alien's child to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien's child from the abuser.
3. The benefits are needed due to a loss of financial support resulting from the alien's child's separation from the abuser.
4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien's child to lose his or her job or to earn less or to require the alien's child to leave his or her job for safety reasons.
5. The benefits are needed because the alien's child requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's child's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser).
7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien's child and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien's child had when living with the abuser.
(D) The alien child meets the requirements of subsection (c)(8)(C) above.
(E) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(10) An alien child who meets all of the conditions of subparagraphs (A), (B), and (C) below:
(A) The alien child resides in the same household as a parent who has been battered or subjected to extreme cruelty in the United States by that parent's spouse or by a member of the spouse's family residing in the same household as the parent and the spouse consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence.
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Emergency Medical Services Authority. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1. The benefits are needed to enable the alien child's parent to become self-sufficient following separation from the abuser.
2. The benefits are needed to enable the alien child's parent to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien child's parent from the abuser.
3. The benefits are needed due to a loss of financial support resulting from the alien child's parent's separation from the abuser.
4. The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien child's parent to lose his or her job or to earn less or to require the alien child's parent to leave his or her job for safety reasons.
5. The benefits are needed because the alien child's parent requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6. The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien child's parent's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser).
7. The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien child's parent and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien child's parent had when living with the abuser.
(C) The alien child meets the requirements of subsection (c)(8)(C) above.
(d) For purposes of this section, “nonimmigrant” is defined the same as in Section 101(a)(15) of the INA (8 U.S.C. Section 1101(a)(15)).
(e) For purposes of establishing eligibility for paramedic licensure as described in Section 1797.172 of Division 2.5 of the Health and Safety Code, the following requirements must be met:
(1) The applicant must declare himself or herself to be a citizen of the United States or a qualified alien under subsection (c), a nonimmigrant alien under subsection (d), or an alien paroled into the United States for less than one year under Section 212(d)(5) of the INA (8 U.S.C. § 1182(d)(5)). The applicant shall declare that status through use of the “Statement of Citizenship, Alienage, and Immigration Status for State Public Benefits,” Form IS-01 (4/98, incorporated by reference).
(2) The applicant must present documents of a type acceptable to the Immigration and Naturalization Service (INS) which serve as a reasonable evidence of the applicant's declared status. A fee receipt from the INS for replacement of a lost, stolen, or unreadable INS document is reasonable evidence of the alien's declared status.
(3) The applicant must complete and sign Form IS-01.
(4) Where the documents presented do not on their face appear to be genuine or to relate to the individual presenting them, the government entity that originally issued the documents shall be contacted for verification. With regard to naturalized citizens and derivative citizens presenting certificates of citizenship and aliens, the INS is the appropriate government entity to contact for verification. The Emergency Medical Services Authority shall request verification from the INS by filing INS Form G-845 with copies of the pertinent documents provided by the applicant with the local INS office. If the applicant has lost his or her original documents or presents expired documents or is unable to present any documentation evidencing his or her immigration status, the applicant shall be referred to the local INS office to obtain documentation.
(5) The type of documentation referred to the INS for verification pursuant to INS Form G-845 shall include the following:
(A) The document presented indicates immigration status but does not include an alien registration or alien admission number.
(B) The document is suspected to be counterfeit or to have been altered.
(C) The document includes an alien registration number in the A60 000 000 (not yet issued) or A80 000 000 (illegal border crossing) series.
(D) The document is one of the following: an INS Form I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Record of Permanent Residence, an Arrival-Departure Record (INS Form I-94) or a foreign passport stamped “PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE” that INS issued more than one year before the date of application for paramedic licensure.
(6) If the INS advises that the applicant has citizenship status or immigration status which makes him or her a qualified alien, a nonimmigrant or alien paroled for less than one year under section 212(d)(5) of the INA, the INS verification shall be accepted. If the INS advises that it cannot verify that the applicant has citizenship status or an immigration status that makes him or her a qualified alien, a nonimmigrant or an alien paroled for less than one year under section 212(d)(5) of the INA, benefits shall be denied and the applicant notified pursuant to the paramedic licensure program's regular procedures of his or her rights to appeal the denial of benefits.
(f) Pursuant to Section 434 of the PRWORA (8 U.S.C. § 1644), where the Emergency Medical Services Authority reasonably believes that an alien is unlawfully in the state based on the failure of the alien to provide reasonable evidence of the alien's declared status, after an opportunity to do so, said alien shall be reported to the Immigration and Naturalization Service.
(g) Provided that the applicant has completed and signed all licensure applications pursuant to Section (e)(1) under penalty of perjury, and has met all state eligibility requirements, eligibility for paramedic licensure shall not be delayed, denied, reduced or terminated while the status of the applicant is verified.
(h) Any applicant who is eligible for paramedic licensure, and whose license is denied or revoked pursuant to subsections (b) and (e), is entitled to a hearing, pursuant to CCR Title 22, Division 9, Chapter 4, Section 100175, and Division 2.5 of the Health and Safety Code, Chapter 7, Sections 1798.204 and 1798.207. 
NOTE

Authority cited: Division 2.5, Sections 1797.107, 1797.172, 1798.204 and 1798.207, Health and Safety Code. Reference: Division 2.5, Sections 1798.204 and 1798.207, Health and Safety Code; and 8 U.S.C. Sections 1621, 1641 and 1642.
HISTORY

1. New chapter 5 (section 100190) and section filed 4-16-98 as an emergency; operative 4-16-98 (Register 98, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-14-98 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 98, No. 41).
3. New section filed 10-9-98; operative 10-9-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 41).
Chapter 6. Process for EMT and Advanced EMT Disciplinary Action
Article 1. Definitions
§100201. Certificate.
Note     •     History

“Certificate” means a valid Emergency Medical Technician (EMT) or Advanced EMT certificate issued pursuant to Division 2.5.
NOTE

Authority cited: Sections 1797.62, 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.80, 1797.82, 1797.184, 1797.210, 1797.211, 1797.216 and 1798.200, Health and Safety Code.
HISTORY

1. Amendment of chapter heading and new section filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
2. Amendment of chapter heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100202. Certifying Entity.
Note     •     History

“Certifying entity,” as used in this Chapter, means a public safety agency or the office of the State Fire Marshal if the agency has a training program for EMT personnel that is approved pursuant to the standards developed pursuant to Section 1797.109 of the Health and Safety Code, or the medical director of the local EMS agency (LEMSA).
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.210, 1797.216 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.184, 1797.211 and 1798.204, Health and Safety Code.
HISTORY

1. Renumbering of former section 100206 to section 100202, including amendment of section and Note, filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
2. Amendment of section heading and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100202.1. Disciplinary Cause.
Note     •     History

For the purposes of this Chapter, “Disciplinary Cause” means an act that is substantially related to the qualifications, functions, and duties of an EMT and/or Advanced EMT and is evidence of a threat to the public health and safety, per Health and Safety Code Section 1798.200.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184, 1797.210, 1797.216 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.62 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100203. Division 2.5.
Note     •     History

“Division 2.5” means Division 2.5 of the Health and Safety Code, the Emergency Medical Services System and Prehospital Emergency Medical Care Personnel Act.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Section 1798.204, Health and Safety Code.
HISTORY

1. Renumbering of former section 100207 to section 100203 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
2. Amendment of Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100204. Medical Director.
Note     •     History

For the purposes of this Chapter, “medical director” means the medical director of the LEMSA, pursuant to Section 1797.202(a) of the Health and Safety Code.
NOTE

Authority cited: Sections 1797.62, 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Section 1797.202, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100209 to section 100204 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
2. Repealer and new section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100205. Multiple Certificate Holder.
Note     •     History

“Multiple certificate holder” means a person who holds an EMT and Advanced EMT or EMT-II certificate issued pursuant to Division 2.5.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.80, 1797.82, 1797.210, 1797.216 and 1798.204, Health and Safety Code.
HISTORY

1. Renumbering of former section 100210 to section 100205, including amendment of section and Note, filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
2. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100206. Relevant Employer(s).
Note     •     History

“Relevant employer(s)” means those ambulance services permitted by the Department of the California Highway Patrol or a public safety agency, that the certificate holder works for or was working for at the time of the incident under review, as an EMT or Advanced EMT either as a paid employee or a volunteer.
NOTE

Authority cited: Sections 1797.107, 179.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Renumbering of former section 100206 to section 100202 and renumbering and amendment of former section 100213 to section 100206 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100206.1. Discipline.
Note     •     History

“Discipline” means either a disciplinary plan taken by a relevant employer pursuant to Section 100206.2 of this Chapter or certification action taken by a medical director pursuant to Section 100204 of this Chapter, or both a disciplinary plan and certification action. 
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100206.2. Disciplinary Plan.
Note     •     History

“Disciplinary Plan” means a written plan of action that can be taken by a relevant employer as a consequence of any action listed in Section 1798.200(c). 
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100206.3. Certification Action.
Note     •     History

“Certification Action” means those actions that may be taken by a medical director that include denial, suspension, revocation of a certificate, or placing a certificate holder on probation.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.204 and 1798.200, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100206.4. Model Disciplinary Orders.
Note     •     History

“Model Disciplinary Orders” (MDOs) means the “RECOMMENDED GUIDELINES FOR DISCIPLINARY ORDERS AND CONDITIONS OF PROBATION FOR EMT (BASIC) AND ADVANCED EMT” (EMSA document #134, 4/1/2010) which were developed to provide consistent and equitable discipline in cases dealing with disciplinary cause. 
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 2. General Provisions
§100207. Application of Chapter.
Note     •     History

(a) The certifying entity, relevant employer, or LEMSA shall adhere to the provisions of this Chapter, in applicable situations, when investigating or implementing any actions for disciplinary cause.
(b) In order to take disciplinary or certification action on an EMT, Advanced EMT, or EMT-II, it must first be determined that a disciplinary cause has occurred by the applicant or certificate holder and there exists a threat to the public health and safety, as evidenced by the occurrence of any of the actions listed in Section 1798.200(c) of the Health and Safety Code by the applicant or certificate holder.
(c) An application for certification or recertification shall be denied without prejudice and does not require an administrative hearing, when an applicant does not meet the requirements for certification or recertification, including but not limited to, failure to pass a certification or recertification examination, lack of sufficient continuing education or documentation of a completed refresher course, failure to furnish additional information or documents requested by the certifying entity, or failure to pay any required fees. The denial shall be in effect until all requirements for certification or recertification are met. If a certificate expires before recertification requirements are met, the certificate shall be deemed a lapsed certificate and subject to the provisions pertaining to lapsed certificates.
(d) Nothing in this chapter shall be construed to limit the authority of a base hospital medical director to provide supervision and medical control for prehospital emergency medical care personnel as specified in local medical control policies and procedures developed pursuant to requirements of Division 2.5 and Chapters 3 and 4 of this division for medical control and supervision.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.176, 1797.202, 1797.210, 1797.216, 1797.220, 1798, 1798.100, 1798.102, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Relocation of article 2 heading from section 100215 to section 100207, renumbering of former section 100207 to section 100203 and renumbering of former section 100215 to section 100207, including amendment of section and Note, filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100208. Substantial Relationship Criteria for the Denial, Placement on Probation, Suspension, or Revocation of a Certificate.
Note     •     History

(a) For the purposes of denial, placement on probation, suspension, or revocation of a certificate, pursuant to Section 1798.200(c) of the Health and Safety Code, a crime or act shall be considered to be substantially related to the qualifications, functions, or duties of a certificate holder if to a substantial degree it evidences unfitness of a certificate holder to perform the functions authorized by the certificate in that it poses a threat to the public health and safety.
(b) For the purposes of a crime, the record of conviction or a certified copy of the record shall be conclusive evidence of such conviction.
(1) “Crime” means any act in violation of the penal laws of this state, any other state, or federal laws. This also means violation(s) of any statute which impose criminal penalties for such violations.
(2) “Conviction” means the final judgement on a verdict of finding of guilty, a plea of guilty, or a plea of nolo contendere.
(c) The LEMSA, when determining the certification action to be imposed or reviewing a petition for reinstatement or reduction of penalty under Section 11522 of the Government Code, shall evaluate the rehabilitation of the applicant and present eligibility for certification of the respondent. When the certification action warranted is probation, denial, suspension, or revocation the following factors may be considered: 
1. Nature and severity of the act(s), offense(s), or crime(s) under consideration;
2. Actual or potential harm to the public;
3. Actual or potential harm to any patient;
4. Prior disciplinary record;
5. Prior warnings on record or prior remediation;
6. Number and/or variety of current violations;
7. Aggravating evidence;
8. Mitigating evidence;
9. Rehabilitation evidence;
10. In the case of a criminal conviction, compliance with terms of the sentence and/or court-ordered probation;
11. Overall criminal record;
12. Time that has elapsed since the act(s) or offense(s) occurred;
13. If applicable, evidence of expungement proceedings pursuant to Penal Code 1203.4.
14. In determining appropriate certification disciplinary action, the LEMSA medical director may give credit for prior disciplinary action imposed by the respondent's employer.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184, 1798.200 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.176, 1797.210, 1797.216, 1797.220 and 1798.200, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Repealer and new section filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100208.1. Responsibilities of Relevant Employer.
Note     •     History

Under the provisions of this Chapter, relevant employers:
(a) May conduct investigations, according to the requirements of this Chapter, to determine disciplinary cause.
(b) Upon determination of disciplinary cause, the relevant employer may develop and implement, a disciplinary plan, in accordance with the MDOs.
(1) The relevant employer shall submit that disciplinary plan, along with the relevant findings of the investigation related to disciplinary cause to the LEMSA that issued the certificate, within three (3) working days of adoption of the disciplinary plan. In the case where the certificate was issued by a non-LEMSA certifying entity, the disciplinary plan shall be submitted to the LEMSA that has jurisdiction in the county in which the headquarters of the certifying entity is located.
(2) The employer's disciplinary plan may include a recommendation that the medical director consider taking action against the holder's certificate to include denial of certification, suspension of certification, revocation of certification, or placing a certificate on probation.
(c) Shall notify the medical director that has jurisdiction in the county in which the alleged action occurred within three (3) working days after an allegation has been validated as potential for disciplinary cause.
(d) Shall notify the medical director that has jurisdiction in the county in which the alleged action occurred within three (3) working days of the occurrence of any of following: 
(1) The EMT or Advanced EMT is terminated or suspended for a disciplinary cause,
(2) The EMT or Advanced EMT resigns or retires following notification of an impending investigation based upon evidence that would indicate the existence of a disciplinary cause, or 
(3) The EMT or Advanced EMT is removed from EMT or Advanced EMT -related duties for a disciplinary cause after the completion of the employer's investigation.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184, 1798.200 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.176, 1797.200, 1797.210, 1797.211, 1797.220 and 1798.200, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100209. Jurisdiction of the Medical Director.
Note     •     History

(a) The medical director who issued the certificate, or in the case where the certificate was issued by a non-LEMSA certifying entity, the LEMSA medical director that has jurisdiction in the county in which the headquarters of the certifying entity is located, shall conduct investigations to validate allegations for disciplinary cause when the certificate holder is not an employee of a relevant employer or the relevant employer does not conduct an investigation. Upon determination of disciplinary cause, the medical director may take certification action as necessary against an EMT or Advanced EMT certificate. 
(b) The medical director may, upon determination of disciplinary cause and according to the provisions of this Chapter, take certification action against an EMT or Advanced EMT to deny, suspend, or revoke, or place a certificate holder on probation, upon the findings by the medical director of the occurrence of any of the actions listed in Health and Safety Code, Section 1798.200(c) and for which any of the following conditions are true: 
(1) The relevant employer, after conducting an investigation, failed to impose discipline for the conduct under investigation, or the medical director makes a determination that discipline imposed by the relevant employer was not in accordance with the MDOs and the conduct of the certificate holder constitutes grounds for certification action. 
(2) The medical director determines, following an investigation conducted in accordance with this Chapter, that the conduct requires certification action.
(c) The medical director, after consultation with the relevant employer or without consultation when no relevant employer exists, may temporarily suspend, prior to a hearing, an EMT or Advanced EMT certificate upon a determination of the following:
(1) The certificate holder has engaged in acts or omissions that constitute grounds for revocation of the EMT or Advanced EMT certificate; and 
(2) Permitting the certificate holder to continue to engage in certified activity without restriction poses an imminent threat to the public health and safety. 
(d) If the medical director takes any certification action the medical director shall notify the Authority of the findings of the investigation and the certification action taken by using Form EMSA-CRI (10/01) through June 30, 2010. Commencing July 1, 2010 and thereafter, this information shall be entered directly into the Central Registry by the LEMSA taking certification action.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.90, 1797.117, 1797.118, 1797.202, 1797.216, 1797.217, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Renumbering and amendment of former section 100209 to section 100204 and renumbering of former section 100217 to section 100209, including amendment of section and Note and new appendix I, filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Change without regulatory effect amending subsection (c) and amending Form EMSA-CRI filed 2-20-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 8).
4. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).

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Article 3. Evaluation and Investigation
§100210. Evaluation of Information.
Note     •     History

(a) A relevant employer who receives an allegation of conduct listed in Section 1798.200(c) of the Health and Safety Code against an EMT or Advanced EMT and once the allegation is validated, shall notify the medical director of the LEMSA that has jurisdiction in the county in which the alleged violation occurred within three (3) working days, of the EMT's or Advanced EMT's name, certification number, and the allegation(s). 
(b) A LEMSA that receives any complaint against an EMT or Advanced EMT shall forward the original complaint and any supporting documentation to the relevant employer for investigation pursuant to subsection (a) of this section, if there is a relevant employer, within three (3) working days of receipt of the information. If there is no relevant employer or the relevant employer does not wish to investigate the complaint, the medical director shall evaluate the information received from a credible source, including but not limited to, information obtained from an application, medical audit, or public complaint, alleging or indicating the possibility of a threat to the public health and safety by the action of an applicant for, or holder of, a certificate issued pursuant to Division 2.5. 
(c) The relevant employer or medical director shall conduct an investigation of the allegations in accordance with the provisions of this Chapter, if warranted.
(d) Statewide public safety agencies shall provide the Authority with current relevant employer contact information for their individual agencies. 
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.90, 1797.176, 1797.202, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Relocation and amendment of article 3 heading from section 100219 to section 100210, renumbering of former section 100210 to section 100205 and renumbering and amendment of former section 100219 to section 100210 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Amendment of section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100211. Investigations Involving Firefighters.
Note     •     History

(a) The rights and protections described in Chapter 9.6, Division 4 of Title 1 of the Government Code shall only apply to a firefighter during events and circumstances involving the performance of his or her official duties. 
(b) All investigations involving EMT s, Advanced EMT's, and EMT-IIs who are employed by a public safety agency as a firefighter shall be conducted in accordance with Chapter 9.6, Division 4 of Title 1 of the Government Code, Section 3250 et. seq. 
NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code; and Sections 3250 and 27727, Government Code. Reference: Sections 1797.90, 1797.176, 1797.202, 1797.220 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Repealer of former section 100211 and renumbering of former section 100222 to section 100211, including amendment of section heading, section and Note, filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Amendment of section heading, repealer and new section and amendment of Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100211.1. Due Process.
Note     •     History

The certification action process shall be in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
NOTE

Authority cited: Sections: 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections: 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 4. Determination and Notification of Action
§100212. Determination of Certification Action.
Note     •     History

(a) certification action relative to the individual's certificate(s) shall be taken as a result of the findings of the investigation.
(b) Upon determining the disciplinary or certification action to be taken as authorized by this Chapter, the relevant employer or medical director shall complete and place in the personnel file or any other file used for any personnel purposes by the relevant employer or LEMSA, a statement certifying the decision made and the date the decision was made. The decision must contain findings of fact and a determination of issues, together with the disciplinary plan and the date the disciplinary plan shall take effect. 
(c) In the case of a temporary suspension order pursuant to Section 100209 (c) of this Chapter, it shall take effect upon the date the notice required by Section 100213 of this Chapter is mailed to the certificate holder. 
(d) For all other certification actions, the effective date shall be thirty days from the date the notice is mailed to the applicant for, or holder of, a certificate unless another time is specified or an appeal is made. 
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.176, 1797.202, 1797.211, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Relocation of article 4 heading from section 100223 to section 100212, repealer of former section 100212 and renumbering of former section 100223 to section 100212, including amendment of section heading, section and Note, filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100213. Temporary Suspension Order.
Note     •     History

(a) A medical director may temporarily suspend a certificate prior to hearing if, the certificate holder has engaged in acts or omissions that constitute grounds for denial or revocation according to Section 100214.3 (c) and (d) of this Chapter and if in the opinion of the medical director permitting the certificate holder to continue to engage in certified activity would pose an imminent threat to the public health and safety.
(b) Prior to, or concurrent with, initiation of a temporary suspension order of a certificate pending hearing, the medical director shall consult with the relevant employer of the certificate holder.
(c) The notice of temporary suspension pending hearing shall be served by registered mail or by personal service to the certificate holder immediately, but no longer than three (3) working days from making the decision to issue the temporary suspension. The notice shall include the allegations that allowing the certificate holder to continue to engage in certified activities would pose an imminent threat to the public health and safety. 
(d) Within three (3) working days of the initiation of the temporary suspension by the LEMSA, the LEMSA and relevant employer shall jointly investigate the allegation in order for the LEMSA to make a determination of the continuation of the temporary suspension. 
(1) All investigatory information, not otherwise protected by the law, held by the LEMSA and the relevant employer shall be shared between the parties via facsimile transmission or overnight mail relative to the decision to temporarily suspend.
(2) The LEMSA shall serve within fifteen (15) calendar days an accusation pursuant to Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code (Administrative Procedures Act).
(3) If the certificate holder files a Notice of Defense, the administrative hearing shall be held within thirty (30) calendar days of the LEMSA's receipt of the Notice of Defense.
(4) The temporary suspension order shall be deemed vacated if the LEMSA fails to serve an accusation within fifteen (15) calendar days or fails to make a final determination on the merits within fifteen (15) calendar days after the Administrative Law Judge (ALJ) renders a proposed decision.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.90, 1797.160, 1797.176, 1797.200, 1797.202, 1797.211, 1797.220, 1798, 1798.100, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Renumbering of former section 100213 to section 100206 and renumbering of former section 100220 to section 100213, including amendment of section and Note, filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Amendment of section heading, section and Note filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100214. Final Determination of Certification Action by the Medical Director.
Note     •     History

Upon determination of certification action following an investigation, and appeal of certification action pursuant to Section 100211.1 of this Chapter, if the respondent so chooses, the medical director may take the following final actions on an EMT or Advanced EMT certificate:
(a) Place the certificate holder on probation
(b) Suspension
(c) Denial
(d) Revocation 
NOTE

Authority cited: Section 1797.184, Health and Safety Code. Reference: Section 1798.200, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 100224 to section 100214 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
2. Renumbering of former section 100214 to section 100214.1 and new section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100214.1. Placement of a Certificate Holder on Probation.
Note     •     History

Pursuant to Section 100207, the medical director may place a certificate holder on probation any time an infraction or performance deficiency occurs which indicates a need to monitor the certificate holder's conduct in the EMS system in order to protect the public health and safety. The term of the probation and any conditions shall be in accordance with MDOs established by the Authority. The medical director that placed the certificate holder on probation may revoke the EMT or Advanced EMT certificate if the certificate holder fails to successfully complete the terms of probation. 
NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.176, 1797.184, 1797.202, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. Renumbering of former section 1000214 to new section 100214.1, including amendment of section and Note, filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21). 
§100214.2. Suspension of a Certificate.
Note     •     History

(a) The medical director may suspend an individual's EMT or Advanced EMT certificate for a specified period of time for disciplinary cause in order to protect the public health and safety.
(b) The term of the suspension and any conditions for reinstatement, shall be in accordance with MDOs established by the Authority.
(c) Upon the expiration of the term of suspension, the individual's certificate shall be reinstated only when all conditions for reinstatement have been met. The medical director shall continue the suspension until all conditions for reinstatement have been met.
(d) If the suspension period will run past the expiration date of the certificate, the EMT or Advanced EMT shall meet the recertification requirements for certificate renewal prior to the expiration date of the certificate.
NOTE

Authority cited: Sections 1797.107, 1797.175, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.176, 1797.202, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. Renumbering of former section 100215 to new section 100214.2, including amendment of section and Note, filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21). 
§100214.3. Denial or Revocation of a Certificate.
Note     •     History

(a) A certifying entity, that is not a LEMSA, shall advise a certification or recertification applicant whose conduct indicates a potential for disciplinary cause, based on an investigation by the certifying entity prompted by a DOJ and/or FBI CORI, pursuant to Section 100210(a) of this Chapter, to apply to a LEMSA for certification or recertification. 
(b) The medical director may deny or revoke any EMT or Advanced EMT certificate for disciplinary cause that have been investigated and verified by application of this Chapter.
(c) The medical director shall deny or revoke an EMT or Advanced EMT certificate if any of the following apply to the applicant: 
(1) Has committed any sexually related offense specified under Section 290 of the Penal Code.
(2) Has been convicted of murder, attempted murder, or murder for hire.
(3) Has been convicted of two (2) or more felonies.
(4) Is on parole or probation for any felony.
(5) Has been convicted and released from incarceration for said offense during the preceding fifteen (15) years for the crime of manslaughter or involuntary manslaughter.
(6) Has been convicted and released from incarceration for said offense during the preceding ten (10) years for any offense punishable as a felony.
(7) Has been convicted of two (2) or more misdemeanors within the preceding five (5) years for any offense relating to the use, sale, possession, or transportation of narcotics or addictive or dangerous drugs.
(8) Has been convicted of two (2) or more misdemeanors within the preceding five (5) years for any offense relating to force, threat, violence, or intimidation.
(9) Has been convicted within the preceding five (5) years of any theft related misdemeanor.
(d) The medical director may deny or revoke an EMT or Advanced EMT certificate if any of the following apply to the applicant:
(1) Has committed any act involving fraud or intentional dishonesty for personal gain within the preceding seven (7) years.
(2) Is required to register pursuant to Section 11590 of the Health and Safety Code.
(e) Subsection (a) and (b) shall not apply to convictions that have been pardoned by the Governor, and shall only apply to convictions where the applicant/certificate holder was prosecuted as an adult. Equivalent convictions from other states shall apply to the type of offenses listed in (c) and (d). As used in this Section, “felony” or “offense punishable as a felony” refers to an offense for which the law prescribes imprisonment in the state prison as either an alternative or the sole penalty, regardless of the sentence the particular defendant received.
(f) This Section shall not apply to those EMT's, or EMT-IIs who obtain their California certificate prior to the effective date of this Section; unless:
(1) The certificate holder is convicted of any misdemeanor or felony after the effective date of this Section.
(2) The certificate holder committed any sexually related offense specified under Section 290 of the Penal Code.
(3) The certificate holder failed to disclose to the certifying entity any prior convictions when completing his/her application for initial EMT or Advanced EMT certification or certification renewal.
(g) Nothing in this Section shall negate an individual's right to appeal a denial of an EMT or Advanced EMT certificate pursuant to this Chapter.
(h) Certification action by a medical director shall be valid statewide and honored by all certifying entities for a period of at least twelve (12) months from the effective date of the certification action. An EMT or Advanced EMT whose application was denied or an EMT or Advanced EMT whose certification was revoked by a medical director shall not be eligible for EMT or Advanced EMT application by any other certifying entity for a period of at least twelve (12) months from the effective date of the certification action. EMT's or Advanced EMT's whose certification is placed on probation must complete their probationary requirements with the LEMSA that imposed the probation. 
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code; and Section 11522, Government Code. Reference: Sections 1797.61, 1797.62, 1797.118, 1797.176, 1797.202, 1797.216, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. Renumbering of former section 1000216 to new section 1000214.3, including amendment of section and Note, filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100215. Notification of Final Decision of Certification Action.
Note     •     History

(a) For the final decision of certification action, the medical director shall notify the applicant/certificate holder and his/her relevant employer(s) of the certification action within ten (10) working days after making the final determination.
(b) The notification of final decision shall be served by registered mail or personal service and shall include the following information:
(1) The specific allegations or evidence which resulted in the certification action;
(2) The certification action(s) to be taken, and the effective date(s) of the certification action(s), including the duration of the action(s);
(3) Which certificate(s) the certification action applies to in cases of holders of multiple certificates;
(4) A statement that the certificate holder must report the certification action within ten (10) working days to any other LEMSA and relevant employer in whose jurisdiction s/he uses the certificate; 
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.61, 1797.160, 1797.176, 1797.202, 1797.217, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Relocation of article 2 heading from section 100215 to section 100207, renumbering of former section 100215 to section 100207 and renumbering of former section 100225 to section 100215, including amendment of section heading and section, filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Renumbering of former section 100215 to new section 100214.2 and renumbering of former section 100217 to section 100215, including amendment of section heading, section and Note, filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21). 
Article 5. Local Responsibilities
§100216. Development of Local Policies and Procedures.
Note     •     History

Each Relevant Employer, Certifying Entity and LEMSA shall develop and adopt policies and procedures for local implementation of the provisions of this Chapter. All local policies and procedures so adopted must be in accordance with these provisions and must address all of the requirements of this Chapter, as applicable.
NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.176, 1797.202, 1797.220, 1798. 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Repealer of former section 100216 and renumbering of former section 100226 to section 100216, including amendment of section heading and section, filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Renumbering of former section 100216 to new section 100214.3 and renumbering and amendment of former section 100218 to section 100216 filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100217. Reimbursement for Administrative Law Judge Costs.
Note     •     History

(a) Actual fees paid by a LEMSA for the services of an ALJ, who is on the staff of the Office of Administrative Hearings, for disciplinary action appeals as required by this Chapter and in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code are eligible for reimbursement from the Emergency Medical Technician Certification Fund. 
(1) Each LEMSA that has paid for the services of an ALJ under this section during the preceding fiscal year shall submit, to the Authority, copies of invoices for fees charged and proof of the actual amount paid according to the provisions of (a)(2)(A) of this section.
(2) The Authority shall reimburse the LEMSAs no more than the actual payment made for the ALJ in accordance with the following:
(A) Invoices for fees incurred between July 1 and June 30 shall be due at the Authority no later than August 31. 
(B) The LEMSA has provided evidence of the costs to include an invoice, payment, the name and any other required identifying information for the emergency medical technician(s) whose disciplinary hearing was included in the costs.
(C) If there are insufficient monies available to reimburse each LEMSA the entire actual amount expended for ALJ services, then reimbursements will be allocated proportionately among all the LEMSAs for actual expenditures for ALJ services within that fiscal year.
NOTE

Authority cited: Sections 1797.107, 1797.176, 1797.184 and 1798.204, Health and Safety Code. Reference: Sections 1797.62, 1797.176, 1797.202, 1797.216, 1797.217, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Renumbering of former section 100217 to section 100209 and renumbering and amendment of former section 100227 to section 100217 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Renumbering of former section 100217 to section 100215 and new section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21). 
§100218. Development of Local Policies and Procedures. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.176, 1797.202, 1797.220, 1798. 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Relocation of article 5 heading from section 100228 to 100218 and renumbering and amendment of former section 100228 to section 100218 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
3. Renumbering of former section 100218 to section 100216 filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21). 
§100219. Evaluation of Information. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.90, 1797.176, 1797.202, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Relocation of article 3 heading from section 100219 to section 100210 and renumbering former section 100219 to section 100210 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
§100220. Immediate Suspension. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.90, 1797.160, 1797.176, 1797.202, 1797.220, 1798, 1798.2, 1798.100, 1798.102, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Renumbering of former section 100220 to section 100213 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
§100221. Notification of Formal Investigation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.90, 1797.160, 1797.176, 1797.202, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Repealer filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
§100222. Use of an Investigative Review Panel (IRP) When Suspension, Revocation, Denial, or Denial of Renewal of a Certificate May Occur. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.90, 1797.160, 1797.176, 1797.202, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Renumbering of former section 100222 to section 100211 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5). 
§100223. Determination of Appropriate Action by Medical Director. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.176, 1797.202, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Relocation of article 4 heading from section 100223 to section 100212 and renumbering former section 100223 to section 100212 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
§100224. Placement of a Certificate Holder on Probation. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.176, 1797.202, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Renumbering of former section 100224 to section 100214 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
§100225. Suspension of a Prehospital Emergency Medical Care Certificate. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.175, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.176, 1797.202, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Renumbering of former section 100225 to section 100215 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
§100226. Revocation, Denial, or Denial of Renewal of a Prehospital Emergency Medical Care Certificate. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.176, 1797.202, 1797.220, 1798. 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Renumbering of former section 100226 to section 100216 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
§100227. Notification of Action. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.160, 1797.176, 1797.202, 1797.220, 1798, 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Renumbering of former section 100227 to section 100217 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
§100228. Development of Local Policies and Procedures. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 1797.107, 1797.176 and 1798.204, Health and Safety Code. Reference: Sections 1797.176, 1797.202, 1797.220, 1798. 1798.200 and 1798.204, Health and Safety Code.
HISTORY

1. New section filed 5-3-88; operative 6-2-88 (Register 88, No. 19).
2. Relocation of article 5 heading from section 100228 to section 100218 and renumbering of former section 100228 to section 100218 filed 2-2-2000; operative 3-3-2000 (Register 2000, No. 5).
Chapter 7. Trauma Care Systems
Article 1. Definitions
§100236. Abbreviated Injury Scale.
Note     •     History

“Abbreviated Injury Scale” or “AIS” is an anatomic severity scoring system. For the purposes of data sharing, the standard to be followed is AIS 90. For the purpose of volume performance measurement auditing, the standard to be followed is AIS 90 using AIS code derived or computer derived scoring.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Repealer and new section filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100237. Immediately Available.
Note     •     History

“Immediately” or “immediately available” means:
(a) unencumbered by conflicting duties or responsibilities;
(b) responding without delay when notified; and
(c) being physically available to the specified area of the trauma center when the patient is delivered in accordance with local EMS agency policies and procedures.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Repealer of section 100237 and renumbering and amendment of former section 100238 to section 100237 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100238. Implementation.
Note     •     History

“Implementation” or “implemented” or “has implemented” means the development and activation of a trauma care system plan by a local EMS agency, including the actual triage, transport, and treatment of trauma patients in accordance with the plan.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100238 to section 100237 and renumbering and amendment of former section 100239 to section 100238 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100239. Injury Severity Score.
Note     •     History

“Injury Severity Score” or “ISS” means the sum of the squares of the Abbreviated Injury Scale score of the three most severely injured body regions.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100239 to section 100238 and new section 100239 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100240. On-Call.
Note     •     History

“On-call” means agreeing to be available to respond to the trauma center in order to provide a defined service.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Repealer of former section 100240 and renumbering of former section 100241 to section 100240 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100241. Promptly Available.
Note     •     History

“Promptly” or “promptly available” means
(a) responding without delay when notified and requested to respond to the hospital; and
(b) being physically available to the specified area of the trauma center within a period of time that is medically prudent and in accordance with local EMS agency policies and procedures.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100241 to section 100240 and renumbering and amendment of former section 100243 to section 100241 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100242. Qualified Specialist.
Note     •     History

(a) “Qualified specialist” or “qualified surgical specialist” or “qualified non-surgical specialist” means a physician licensed in California who is board certified in a specialty by the American Board of Medical Specialties, the Advisory Board for Osteopathic Specialities, a Canadian board or other appropriate foreign specialty board as determined by the American Board of Medical Specialties for that specialty.
(b) A non-board certified physician may be recognized as a “qualified specialist” by the local EMS agency upon substantiation of need by a trauma center if:
(1) the physician can demonstrate to the appropriate hospital body and the hospital is able to document that he/she has met requirements which are equivalent to those of the Accreditation Council for Graduate Medical Education (ACGME) or the Royal College of Physicians and Surgeons of Canada;
(2) the physician can clearly demonstrate to the appropriate hospital body that he/she has substantial education, training, and experience in treating and managing trauma patients which shall be tracked by the trauma quality improvement program; and
(3) the physician has successfully completed a residency program.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Repealer of former section 100242 and renumbering and amendment of former section 100244 to section 100242 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100243. Receiving Hospital.
Note     •     History

“Receiving hospital” means a licensed general acute care hospital with a special permit for basic or comprehensive emergency service, which has not been designated as a trauma center according to this Chapter, but which has been formally assigned a role in the trauma care system by the local EMS agency. In rural areas, the local EMS agency may approve standby emergency service if basic or comprehensive services are not available.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100243 to section 100241 and renumbering and amendment of former section 100245 to section 100243 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100244. Residency Program.
Note     •     History

“Residency program” means a residency program of the trauma center or a residency program formally affiliated with a trauma center where senior residents can participate in educational rotations, which has been approved by the appropriate Residency Review Committee of the Accreditation Council on Graduate Medical Education.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100244 to section 100242 and renumbering and amendment of former section 100246 to section 100244 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100245. Senior Resident.
Note     •     History

“Senior resident” or “senior level resident” means a physician, licensed in the State of California, who has completed at least three (3) years of the residency or is in their last year of residency training and has the capability of initiating treatment and who is in training as a member of the residency program as defined in Section 100244 of this Chapter, at the designated trauma center.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100245 to section 100243 and renumbering and amendment of former section 100247 to section 100245 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100246. Service Area.
Note     •     History

“Service area” means that geographic area defined by the local EMS agency in its trauma care system plan as the area served by a designated trauma center.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100246 to section 100244 and renumbering and amendment of former section 100248 to section 100246 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100247. Trauma Care System.
Note     •     History

“Trauma care system” or “trauma system” or “inclusive trauma care system” means a system that is designed to meet the needs of all injured patients. The system shall be defined by the local EMS agency in its trauma care system plan as described in Section 100256 of this Chapter.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.160 and 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100247 to section 100245 and renumbering and amendment of former section 100249 to section 100247 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100248. Trauma Center.
Note     •     History

“Trauma center” or “designated trauma center” means a licensed hospital, accredited by the Joint Commission on Accreditation of Healthcare Organizations, which has been designated as a Level I, II, III, or IV trauma center and/or Level I or II pediatric trauma center by the local EMS agency, in accordance with Articles 2 through 5 of this Chapter.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.160 and 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100248 to section 100246 and renumbering and amendment of former section 100250 to section 100248 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100249. Trauma Resuscitation Area.
Note     •     History

“Trauma Resuscitation Area” means a designated area within a trauma center where trauma patients are evaluated upon arrival.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100249 to section 100247 and renumbering and amendment of section heading and section of former section 100251 to section 100249 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100250. Trauma Service.
Note     •     History

A “trauma service” is a clinical service established by the organized medical staff of a trauma center that has oversight and responsibility of the care of the trauma patient. It includes, but is not limited to, direct patient care services, administration, and as needed, support functions to provide medical care to injured persons.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100250 to section 100248 and new section 100250 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100251. Trauma Team.
Note     •     History

“Trauma team” means the multidisciplinary group of personnel who have been designated to collectively render care for trauma patients at a designated trauma center. The trauma team consists of physicians, nurses and allied health personnel. The composition of the trauma team may vary in relationship to trauma center designation level and severity of injury which leads to trauma team activation.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100251 to section 100249 and renumbering and amendment of former section 100252 to section 100251 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100252. Triage Criteria.
Note     •     History

“Triage criteria” means a measure or method of assessing the severity of a person's injuries that is used for patient evaluation and that utilizes anatomic considerations, physiologic and/or mechanism of injury.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100252 to section 100251 and renumbering and amendment of former section 100253 to section 100252 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
Article 2. Local EMS Agency Trauma System Requirements
§100253. Application of Chapter.
Note     •     History

(a) A local EMS agency which has implemented or plans to implement a trauma care system shall develop a written trauma care system plan that includes policies and/or procedures to assure compliance of the trauma system with the provisions of this Chapter.
(b) A local EMS agency may specify additional requirements in addition to those specified in this Chapter.
(c) A local EMS agency that implements a trauma care system on or after the effective date of this Chapter shall submit its trauma system plan to the EMS Authority and have it approved prior to implementation.
(d) A local EMS agency that has implemented a trauma system prior to the effective date of the revisions to this Chapter shall submit its updated trauma system plan to the EMS Authority within two (2) years of the effective date of the revisions to this Chapter, which is August 12, 1999.
(e) The EMS Authority shall notify the local EMS agency submitting its trauma care system plan within fifteen (15) days of receiving the plan that:
(1) its plan has been received, and
(2) it contains or does not contain the information requested in Section 100255 of this Chapter.
(f) The EMS Authority shall:
(1) notify the local EMS agency either of approval or disapproval of its trauma system plan within sixty (60) days of receipt of the plan; and
(2) provide written notification of approval or the reasons for disapproval of a trauma system plan.
(g) If the EMS Authority disapproves a trauma system plan, the local EMS agency shall have six (6) months from the date of notification of the disapproval to submit a revised trauma system plan which conforms to this Chapter or to appeal the decision to the Commission on Emergency Medical Services (EMS) which shall make a determination within four (4) months of receipt of the appeal. If a revised trauma system plan is approved by the EMS Authority, the local EMS agency shall begin implementation of the plan within six (6) months of its approval.
(h) If the EMS Authority determines that a local EMS agency has failed to implement the trauma system in accordance with the approved plan, the approval of the plan may be withdrawn. The local EMS agency may appeal the decision to the Commission on EMS, which shall make a determination within six (6) months of the appeal.
(i) After approval of a trauma system plan, the local EMS agency shall submit to the EMS Authority for approval any significant changes to that trauma system plan prior to the implementation of the changes. In those instances where a delay in approval would adversely impact the current level of trauma care, the local EMS agency may institute the changes and then submit the changes to the EMS Authority for approval within thirty (30) days of their implementation.
(j) The local EMS agency shall submit a trauma system status report as part of its annual EMS Plan update. The report shall address, at a minimum, the status of trauma plan goals and objectives.
(k) No health care facility shall advertise in any manner or otherwise hold themselves out to be a trauma center unless they have been so designated by the local EMS agency, in accordance with this Chapter.
(l) No provider of prehospital care shall advertise in any manner or otherwise hold themselves out to be affiliated with the trauma system or a trauma center unless they have been so designated by the local EMS agency, in accordance with this Chapter.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.257, 1798.161, 1798.163 and 1798.166, Health and Safety Code.
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100253 to section 100252 and renumbering and amendment of former section 100254 to section 100253, including amendment and repositioning of article 2 heading to precede section 100253, filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100254. Trauma System Criteria.
Note     •     History

(a) A local EMS agency that plans to implement or modify a trauma system shall include with the trauma plan, a description of the rationale used for trauma system design planning for number and location of trauma centers including:
(1) projected trauma patient volume and projected number and level of trauma centers necessary to provide access to trauma care;
(A) No more than one (1) Level I or Level II trauma center shall be designated for each 350,000 population within the service area.
(B) Where geography and population density preclude compliance with subsection (a)(1)(A), exemptions may be granted by the EMS Authority with the concurrence of the Commission on EMS on the basis of documented local needs.
(2) resource availability to meet staffing requirements for trauma centers;
(3) transport times;
(4) distinct service areas; and
(5) coordination with neighboring trauma systems.
(b) The local EMS agency may authorize the utilization of air transport within its jurisdiction to geographically expand the primary service area(s) provided that the expanded service area does not encroach upon another trauma system, or that of another trauma center, unless written agreements have been executed between the involved local EMS agencies and/or trauma centers.
(c) A local EMS agency may require trauma centers to have helicopter landing sites. If helicopter landing sites are required, then they shall be approved by the Division of Aeronautics, Department of Transportation pursuant to Division 2.5, Title 21 of the California Code of Regulations.
(d) All prehospital emergency medical care personnel rendering trauma patient care within an organized trauma system shall be trained in the local trauma triage and patient care methodology.
(e) All trauma patient transport vehicles shall be equipped with two-way telecommunications equipment capable of accessing hospitals, in accordance with local EMS agency policies regarding communication.
(f) All prehospital providers shall have a policy approved by the local EMS agency for the early notification of trauma centers of the impending arrival of a trauma patient.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.161, 1798.162, 1798.163, 1798.165 and 1798.166 of the Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100254 to section 100253, including repositioning of article 2 heading to precede section 100253 and renumbering and amendment of former section 100255 to section 100254, filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100255. Policy Development.
Note     •     History

A local EMS agency planning to implement a trauma system shall develop policies which provide a clear understanding of the structure of the trauma system and the manner in which it utilizes the resources available to it. The trauma system policies shall address at least the following:
(a) system organization and management;
(b) trauma care coordination within the trauma system;
(c) trauma care coordination with neighboring jurisdictions, including EMS agency/system agreements;
(d) data collection and management;
(e) fees, including those for application, designation and redesignation, monitoring and evaluation;
(f) establishment of service areas for trauma centers;
(g) trauma center designation/redesignation process to include a written agreement between the local EMS agency and the trauma center;
(h) coordination with all health care organizations within the trauma system to facilitate the transfer of an organization member in accordance with the criteria set forth in Article 5 of this Chapter;
(i) coordination of EMS and trauma system for transportation including intertrauma center transfer and transfers from a receiving hospital to a trauma center;
(j) the integration of pediatric hospitals, if applicable;
(k) trauma center equipment;
(l) ensuring the availability of trauma team personnel;
(m) criteria for activation of trauma team;
(n) mechanism for prompt availability of specialists;
(o) quality improvement and system evaluation to include responsibilities of the multidisciplinary trauma peer review committee;
(p) criteria for pediatric and adult trauma triage, including destination;
(q) training of prehospital EMS personnel to include trauma triage;
(r) public information and education about the trauma system;
(s) marketing and advertising by trauma centers and prehospital providers as it relates to the trauma care system; and
(t) coordination with public and private agencies and trauma centers in injury prevention programs.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.161 and 1798.163, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100255 to section 100254 and renumbering and amendment of former section 100256 to section 100255 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100256. Trauma Plan Development.
Note     •     History

(a) The initial plan for a trauma care system that is submitted to the EMS Authority shall be comprehensive with objectives that shall be clearly stated. The initial trauma care system plan shall contain at least the following:
(1) Summary of the plan;
(2) organizational structure;
(3) needs assessment;
(4) inclusive trauma system design, which includes those facilities involved in the care of acutely injured patients, including coordination with neighboring agencies;
(5) documentation that any intercounty trauma center agreements have been approved by the EMS agencies of both counties;
(6) objectives;
(7) implementation schedule;
(8) fiscal impact of the system;
(9) policy and plan development process;
(10) written documentation of local approval; and
(11) table of contents identifying where the information in this Section and Sections 100254, 100255 and 100257 of this Chapter can be found in the plan.
(b) The system design shall address the operational implementation of the policies developed pursuant to Section 100255 and the following aspects of hospital service delivery:
(1) Critical care capability including but not limited to burns, spinal cord injury, rehabilitation and pediatrics;
(2) medical organization and management; and
(3) quality improvement.
(c) A local EMS agency shall advise the EMS Authority when there are changes or revisions in policy or plan development pursuant to the sections of this Article.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1797.258, 1798.161 and 1798.166, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100256 to section 100255 and renumbering and amendment of section heading and section of former section 100257 to section 100256 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100257. Data Collection.
Note     •     History

(a) The local EMS agency shall develop and implement a standardized data collection instrument and implement a data management system for trauma care.
(1) The system shall include the collection of both prehospital and hospital patient care data, as determined by the local EMS agency;
(2) trauma data shall be integrated into the local EMS agency and State EMS Authority data management system; and
(3) all hospitals that receive trauma patients shall participate in the local EMS agency data collection effort in accordance with local EMS agencies policies and procedures.
(b) The prehospital data shall include at least those data elements required on the EMT-II or EMT-P patient care record, as specified in Section 100129 of the EMT-II regulations and Section 100176 of the EMT-P regulations.
(c) The hospital data shall include at least the following, when applicable:
(1) Time of arrival and patient treatment in:
(A) Emergency department or trauma receiving area; and
(B) operating room.
(2) Dates for:
(A) Initial admission;
(B) intensive care; and
(C) discharge.
(3) Discharge data, including:
(A) Total hospital charges (aggregate dollars only);
(B) patient destination; and
(C) discharge diagnosis.
(4) The local EMS agency shall provide periodic reports to all hospitals participating in the trauma system.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100257 to section 100256 and renumbering and amendment of former section 100258 to section 100257 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100258. Trauma System Evaluation.
Note     •     History

(a) The local EMS agency shall be responsible for the development and ongoing evaluation of the trauma system. 
(b) The local EMS agency shall be responsible for the development of a process to receive information from EMS providers, participating hospitals and the local medical community on the evaluation of the trauma system, including but not limited to:
(1) trauma plan;
(2) triage criteria;
(3) activation of trauma team; and
(4) notification of specialists.
(c) The local EMS agency shall be responsible for periodic performance evaluation of the trauma system, which shall be conducted at least every two (2) years. Results of the trauma system evaluation shall be made available to system participants.
(d) The local EMS agency shall be responsible for ensuring that trauma centers and other hospitals that treat trauma patients participate in the quality improvement process contained in Section 100265.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100258 to section 100257 and renumbering and amendment of former section 100259 to section 100258 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
Article 3. Trauma Center Requirements
§100259. Level I and Level II Trauma Centers.
Note     •     History

(a) A Level I or II trauma center is a licensed hospital which has been designated as a Level I or II trauma center by the local EMS agency. While both Level I and II trauma centers are similar, a Level I trauma center is required to have staff and resources not required of a Level II trauma center. The additional Level I requirements are located in Section 100260. Level I and II trauma centers shall have appropriate pediatric equipment and supplies and be capable of initial evaluation and treatment of pediatric trauma patients. Trauma centers without a pediatric intensive care unit, as outlined in (e)(1) of this section, shall establish and utilize written criteria for consultation and transfer of pediatric patients needing intensive care. A Level I or Level II trauma center shall have at least the following:
(1) A trauma program medical director who is a board-certified surgeon, whose responsibilities include, but are not limited to, factors that affect all aspects of trauma care such as:
(A) recommending trauma team physician privileges;
(B) working with nursing and administration to support the needs of trauma patients;
(C) developing trauma treatment protocols;
(D) determining appropriate equipment and supplies for trauma care;
(E) ensuring the development of policies and procedures to manage domestic violence, elder and child abuse and neglect;
(F) having authority and accountability for the quality improvement peer review process;
(G) correcting deficiencies in trauma care or excluding from trauma call those trauma team members who no longer meet standards;
(H) coordinating pediatric trauma care with other hospital and professional services;
(I) coordinating with local and State EMS agencies;
(J) assisting in the coordination of the budgetary process for the trauma program; and
(K) identifying representatives from neurosurgery, orthopaedic surgery, emergency medicine, pediatrics and other appropriate disciplines to assist in identifying physicians from their disciplines who are qualified to be members of the trauma program.
(2) A trauma nurse coordinator/manager who is a registered nurse with qualifications including evidence of educational preparation and clinical experience in the care of the adult and/or pediatric trauma patient, administrative ability, and responsibilities that include but are not limited to:
(A) organizing services and systems necessary for the multidisciplinary approach to the care of the injured patient;
(B) coordinating day-to-day clinical process and performance improvement as it pertains to nursing and ancillary personnel; and
(C) collaborating with the trauma program medical director in carrying out the educational, clinical, research, administrative and outreach activities of the trauma program.
(3) A trauma service which can provide for the implementation of the requirements specified in this Section and provide for coordination with the local EMS agency.
(4) A trauma team, which is a multidisciplinary team responsible for the initial resuscitation and management of the trauma patient.
(5) Department(s), division(s), service(s) or section(s) that include at least the following surgical specialities, which are staffed by qualified specialists:
(A) general;
(B) neurologic;
(C) obstetric/gynecologic;
(D) opthalmologic;
(E) oral or maxillofacial or head and neck;
(F) orthopaedic;
(G) plastic; and
(H) urologic
(6) Department(s), division(s), service(s) or section(s) that include at least the following non-surgical specialities, which are staffed by qualified specialists:
(A) anesthesiology;
(B) internal medicine;
(C) pathology;
(D) psychiatry; and
(E) radiology;
(7) An emergency department, division, service or section staffed with qualified specialists in emergency medicine who are immediately available.
(8) Qualified surgical specialist(s) or specialty availability, which shall be available as follows:
(A) general surgeon capable of evaluating and treating adult and pediatric trauma patients shall be immediately available for trauma team activation and promptly available for consultation;
(B) On-call and promptly available:
1. neurologic;
2. obstetric/gynecologic;
3. ophthalmologic;
4. oral or maxillofacial or head and neck;
5. orthopaedic;
6. plastic;
7. reimplantation/microsurgery capability. This surgical service may be provided through a written transfer agreement; and
8. urologic.
(C) Requirements may be fulfilled by supervised senior residents as defined in Section 100245 of this Chapter who are capable of assessing emergent situations in their respective specialties.
When a senior resident is the responsible surgeon:
1. the senior resident shall be able to provide the overall control and surgical leadership necessary for the care of the patient, including initiating surgical care;
2. a staff trauma surgeon or a staff surgeon with experience in trauma care shall be on-call and promptly available;
3. a staff trauma surgeon or a staff surgeon with experience in trauma care shall be advised of all trauma patient admissions, participate in major therapeutic decisions, and be present in the emergency department for major resuscitations and in the operating room for all trauma operative procedures.
(D) Available for consultation or consultation and transfer agreements for adult and pediatric trauma patients requiring the following surgical services;
1. burns;
2.. cardiolthoracic;
3. pediatric;
4. reimplantation/microsurgery; and
5. spinal cord injury.
(9) Qualified non-surgical specialist(s) or specialty availability, which shall be available as follows:
(A) Emergency medicine, in-house and immediately available at all times. This requirement may be fulfilled by supervised senior residents, as defined in Section 100245 of this Chapter, in emergency medicine, who are assigned to the emergency department and are serving in the same capacity. In such cases, the senior resident(s) shall be capable of assessing emergency situations in trauma patients and of providing for initial resuscitation. Emergency medicine physicians who are qualified specialists in emergency medicine and are board certified in emergency medicine shall not be required by the local EMS agency to complete an advanced trauma life support (ATLS) course. Current ATLS verification is required for all emergency medicine physicians who provide emergency trauma care and are qualified specialists in a specialty other than emergency medicine.
(B) Anesthesiology. Level II shall be promptly available with a mechanism established to ensure that the anesthesiologist is in the operating room when the patient arrives. This requirement may be fulfilled by senior residents or certified registered nurse anesthetists who are capable of assessing emergent situations in trauma patients and of providing any indicated treatment and are supervised by the staff anesthesiologist. In such cases, the staff anesthesiologist on-call shall be advised about the patient, be promptly available at all times, and be present for all operations.
(C) Radiology, promptly available; and
(D) Available for consultation:
1. cardiology;
2. gastroenterology;
3. hematology;
4. infectious diseases;
5. internal medicine;
6. nephrology;
7. neurology;
8. pathology; and
9. pulmonary medicine.
(b) In addition to licensure requirements, trauma centers shall have the following service capabilities:
(1) Radiological service. The radiological service shall have immediately available a radiological technician capable of performing plain film and computed tomography imaging. A radiological service shall have the following additional services promptly available:
(A) angiography; and
(B) ultrasound.
(2) Clinical laboratory service. A clinical laboratory service shall have:
(A) a comprehensive blood bank or access to a community central blood bank; and
(B) clinical laboratory services immediately available.
(3) Surgical service. A surgical service shall have an operating suite that is available or being utilized for trauma patients and that has:
(A) Operating staff who are promptly available unless operating on trauma patients and back-up personnel who are promptly available; and
(B) appropriate surgical equipment and supplies as determined by the trauma program medical director.
(c) A Level I or Level II trauma center shall have a basic or comprehensive emergency service which has special permits issued pursuant to Chapter 1, Division 5 of Title 22. The emergency service shall:
(1) designate an emergency physician to be a member of the trauma team;
(2) provide emergency medical services to adult and pediatric patients; and
(3) have appropriate adult and pediatric equipment and supplies as approved by the director of emergency medicine in collaboration with the trauma program medical director.
(d) In addition to the special permit licensing services, a trauma center shall have, pursuant to Section 70301 of Chapter 1, Division 5 of Title 22 of the California Code of Regulations, the following approved supplemental services:
(1) Intensive Care Service:
(A) the ICU shall have appropriate equipment and supplies as determined by the physician responsible for the intensive care service and the trauma program medical director;
(B) The ICU shall have a qualified specialist promptly available to care for trauma patients in the intensive care unit. The qualified specialist may be a resident with two (2) years of training who is supervised by the staff intensivist or attending surgeon who participates in all critical decision making; and
(C) the qualified specialist in (B) above shall be a member of the trauma team.
(2) Burn Center. This service may be provided through a written transfer agreement with a Burn Center.
(3) Physical Therapy Service. Physical therapy services to include personnel trained in physical therapy and equipped for acute care of the critically injured patient.
(4) Rehabilitation Center. Rehabilitation services to include personnel trained in rehabilitation care and equipped for acute care of the critically injured patient. These services may be provided through a written transfer agreement with a rehabilitation center.
(5) Respiratory Care Service. Respiratory care services to include personnel trained in respiratory therapy and equipped for acute care of the critically injured patient.
(6) Acute hemodialysis capability.
(7) Occupational therapy service. Occupational therapy services to include personnel trained in occupational therapy and equipped for acute care of the critically injured patient.
(8) Speech therapy service. Speech therapy services to include personnel trained in speech therapy and equipped for acute care of the critically injured patient.
(9) Social Service.
(e) A trauma center shall have the following services or programs that do not require a license or special permit.
(1) Pediatric Service. In addition to the requirements in Division 5 of Title 22 of the California Code of Regulations, the pediatric service providing in-house pediatric trauma care shall have:
(A) a pediatric intensive care unit approved by the California State Department of Health Services' California Children Services (CCS); or a written transfer agreement with an approved pediatric intensive care unit. Hospitals without pediatric intensive care units shall establish and utilize written criteria for consultation and transfer of pediatric patients needing intensive care; and
(B) a multidisciplinary team to manage child abuse and neglect.
(2) Acute spinal cord injury management capability. This service may be provided through a written transfer agreement with a Rehabilitation Center;
(3) Protocol to identify potential organ donors as described in Division 7, Chapter 3.5 of the California Health and Safety Code;
(4) An outreach program, to include:
(A) capability to provide both telephone and on-site consultations with physicians in the community and outlying areas; and
(B) trauma prevention for the general public;
(4) Written interfacility transfer agreements with referring and specialty hospitals;
(5) Continuing education. Continuing education in trauma care shall be provided for:
(A) staff physicians;
(B) staff nurses;
(C) staff allied health personnel;
(D) EMS personnel; and
(E) other community physicians and health care personnel.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.161 and 1798.165, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Renumbering of former section 100259 to section 100258 and new article 3 (sections 100259-100264) and section 100259 filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100260. Additional Level I Criteria.
Note     •     History

In addition to the above requirements, a Level I trauma center shall have:
(a) One of the following patient volumes annually:
(1) a minimum of 1200 trauma program hospital admissions, or
(2) a minimum of 240 trauma patients per year whose Injury Severity Score (ISS) is greater than 15, or
(3) an average of 35 trauma patients (with an ISS score greater than 15) per trauma program surgeon per year.
(b) Additional qualified surgical specialists or specialty availability on-call and promptly available:
(1) cardiothoracic; and
(2) pediatrics;
(c) A surgical service that has at least the following:
(1) operating staff who are immediately available unless operating on trauma patients and back-up personnel who are promptly available.
(2) cardiopulmonary bypass equipment: and
(3) operating microscope.
(d) Anesthesiology immediately available. This requirement may be fulfilled by senior residents or certified registered nurse anesthetists who are capable of assessing emergent situations in trauma patients and of providing treatment and are supervised by the staff anesthesiologist.
(e) An intensive care unit with a qualified specialist in-house and immediately available to care for trauma patients in the intensive care unit. The qualified specialist may be a resident with two (2) years of training who is supervised by the staff intensivist or attending surgeon who participates in all critical decision making.
(f) A Trauma research program; and
(g) An ACGME approved surgical residency program.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.161 and 1798.165, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Repealer of article 5 (sections 100260-100262) and section and new section filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100261. Level I and Level II Pediatric Trauma Centers.
Note     •     History

(a) A Level I or II pediatric trauma center is a licensed hospital which has been designated as a Level I or II pediatric trauma center by the local EMS agency. While both Level I and II pediatric trauma centers are similar, a Level I pediatric trauma center is required to have staff and resources not required of a Level II pediatric trauma center. The additional Level I requirements for pediatric trauma centers are located in Section 100262. A Level I or Level II pediatric trauma center shall have at least the following:
(1) A pediatric trauma program medical director who is a board-certified surgeon with experience in pediatric trauma care (may also be trauma program medical director for adult trauma services), whose responsibilities include, but are not limited to, factors that affect all aspects of pediatric trauma care such as:
(A) recommending pediatric trauma team physician privileges;
(B) working with nursing and administration to support the needs of pediatric trauma patients;
(C) developing pediatric trauma treatment protocols:
(D) determining appropriate equipment and supplies for pediatric trauma care;
(E) ensuring the development of policies and procedures to manage domestic violence and child abuse and neglect;
(F) having authority and accountability for the pediatric trauma quality improvement peer review process;
(G) correcting deficiencies in pediatric trauma care or excluding from trauma call those trauma team members who no longer meet standards;
(H) coordinating pediatric trauma care with other hospital and professional services;
(I) coordinating with local and State EMS agencies;
(J) assisting in the coordination of the budgetary process for the trauma program; and
(K) identifying representatives from neurosurgery, orthopedic surgery, emergency medicine, pediatrics and other appropriate disciplines to assist in identifying physicians from their disciplines who have pediatric trauma care experience and who are qualified to be members of the pediatric trauma program.
(2) A pediatric trauma nurse coordinator/manager who is a registered nurse with qualifications (may also be trauma nurse coordinator/manager for adult trauma services) including evidence of educational preparation and clinical experience in the care of pediatric trauma patients, administrative ability, and responsibilities that include but are not limited to factors that affect all aspects of pediatric trauma care, including:
(A) organizing services and systems necessary for the multidisciplinary approach to the care of the injured child;
(B) coordinating day-to-day clinical process and performance improvement as it pertains to pediatric trauma nursing and ancillary personnel; and
(C) collaborating with the pediatric trauma program medical director in carrying out the educational, clinical, research, administrative and outreach activities of the pediatric trauma program.
(3) A pediatric trauma service which can provide for the implementation of the requirements specified in this section and provide for coordination with the local EMS agency.
(4) A pediatric trauma team, which is a multidisciplinary team responsible for the initial resuscitation and management of the pediatric trauma patient.
(A) the pediatric trauma team leader shall be a surgeon with pediatric trauma experience as defined by the trauma program medical director;
(B) the remainder of the team shall include physician, nursing and support personnel in sufficient numbers to evaluate, resuscitate, treat and stabilize pediatric trauma patients.
(5) Department(s), division(s), service(s) or section(s) that include at least the following surgical specialists and which are staffed by qualified specialists with pediatric experience:
A. neurologic;
B. obstetric/gynecologic (may be provided through a written transfer agreement with a hospital that has a department, division, service, or section that provides this service);
C. ophthalmologic;
D. oral or maxillofacial or head and neck;
E. orthopaedic;
F. pediatric;
G. plastic;
H. urologic; and
I. microsurgery/reimplantation (may be provided through a written transfer agreement with a hospital that has a department, division, service, or section that provides this service).
(6) Department(s), division(s), service(s), or section(s) that include at least the following non-surgical specialties which are staffed by qualified specialists with pediatric experience:
A. anesthesiology;
B. cardiology;
C. critical care;
D. emergency medicine;
E. gastroenterology;
F. general pediatrics;
G. hematology/oncology;
H. infectious disease;
I. neonatology;
J. nephrology;
K. neurology;
L. pathology;
M. psychiatry;
N. pulmonology;
O. radiology; and
P. rehabilitation/physical medicine. This requirement may be provided through a written agreement with a pediatric rehabilitation center.
(7) An emergency department, division, service or section staffed with qualified specialists in emergency medicine with pediatric trauma experience, who are immediately available.
(8) Qualified surgical specialist(s) or specialty availability, which shall be available as follows:
(A) Pediatric surgeon, capable of evaluating and treating pediatric trauma patients shall be immediately available for trauma team activation and promptly available for consultation. This requirement may be fulfilled by:
1. a staff pediatric surgeon with experience in pediatric trauma care; or
2. a staff trauma surgeon with experience in pediatric trauma care; or
3. a senior general surgical resident who has completed at least three clinical years of surgical residency training. When a senior resident is the responsible surgeon:
a. the senior resident shall be able to provide the overall control and surgical leadership necessary for the care of the patient, including initiating surgical care; and
b. a staff pediatric surgeon with experience in pediatric trauma care or a staff trauma surgeon with experience in pediatric trauma care shall be on-call and promptly available; and
c. a staff pediatric surgeon or a staff surgeon with experience in pediatric trauma care shall participate in major therapeutic decisions, be advised of all pediatric trauma patient admissions and be present in the emergency department for major resuscitations and in the operating room for all trauma operative procedures.
(B) On-call and promptly available with pediatric experience;
1. neurologic;
2. obstetric/gynecologic. This surgical service may be provided through a written transfer agreement;
3. ophthalmologic;
4. oral or maxillofacial or head and neck;
5. orthopaedic;
6. plastic;
7. reimplantation/microsurgery capability. This surgical service may be provided through a written transfer agreement;
8. urologic;
(C) Requirements may be fulfilled by supervised senior residents as defined in Section 100245 of this Chapter who are capable of assessing emergent situations in their respective specialties. When a senior resident is the responsible surgeon:
1. The senior resident shall be able to provide the overall control and surgical leadership necessary for the care of the patient, including initiating surgical care;
2. a staff trauma surgeon or a staff surgeon with experience in trauma care shall be on-call and promptly available;
3. a staff trauma surgeon or a staff surgeon with experience in trauma care shall be advised of all trauma patient admissions, participate in major therapeutic decisions, and be present in the emergency department for major resuscitations and in the operating room for all trauma operative procedures.
(D) Available for consultation or consultation and transfer agreements for pediatric trauma patients requiring the following surgical services;
1. burns;
2. cardiothoracic; and
3. spinal cord injury.
(9) Qualified nonsurgical specialist(s) or specialty availability, which shall be available as follows:
(A) Emergency medicine, in-house and immediately available at all times. This requirement may be fulfilled by a qualified specialist in pediatric emergency medicine; or a qualified specialist in emergency medicine with pediatric experience; or a subspecialty resident in pediatric emergency medicine who has completed at least one year of subspecialty residency education in pediatric emergency medicine. In such cases, the senior resident(s) shall be capable of assessing emergency situations in trauma patients and of providing for initial resuscitation. Emergency medicine physicians who are qualified specialists in emergency medicine and are board certified in emergency medicine or pediatric emergency medicine shall not be required by the local EMS agency to complete an advanced trauma life support course. Current ATLS verification is required for all emergency medicine physicians who provide emergency trauma care and are qualified specialists in a speciality other than emergency medicine. When a senior resident is the responsible emergency physician in-house:
1. a qualified specialist in pediatric emergency medicine, or emergency medicine with pediatric experience shall be promptly available; and
2. the qualified specialist on-call shall be notified of all patients who require resuscitation, operative surgical intervention, or intensive care unit admission.
(B) Anesthesiology, Level II shall be promptly available with a mechanism established to ensure that the anesthesiologist is in the operating room when the patient arrives. This requirement may be fulfilled by a senior resident or certified registered nurse anesthetists with pediatric experience who are capable of assessing emergent situations in pediatric trauma patients and of providing any indicated treatment and are supervised by the staff anesthesiologist. In such cases, the staff anesthesiologist with pediatric experience on-call shall be advised about the patient, be promptly available at all times, and be present for all operations.
(C) Radiology, promptly available; and
(D) Available for consultation or provided through transfer agreement, qualified specialists with pediatric experience:
a. adolescent medicine;
b. child development;
c. genetics/dysmorphology;
d. neuroradiology;
e. obstetrics;
f. pediatric allergy and immunology;
g. pediatric dentistry;
h. pediatric endocrinology;
i. pediatric pulmonology; and
j. rehabilitation/physical medicine.
(E) Pediatric critical care, in-house and immediately available. The in-house requirement may be fulfilled by:
1. a qualified specialist in pediatric critical care medicine; or
2. a qualified specialist in anesthesiology with experience in pediatric critical care;
3. a qualified surgeon with expertise in pediatric critical care; or
4. a physician who has completed at least two years of residency in pediatrics. When a senior resident is the responsible pediatric critical care physician then:
a. a qualified specialist in pediatric critical care medicine, or a qualified specialist in anesthesiology with experience in pediatric critical care, shall be on-call and promptly available; and;
b. the qualified specialist on-call shall be advised about all patients who may require admission to the pediatric intensive care unit and shall participate in all major therapeutic decisions and interventions;
(F) Qualified specialists with pediatric experience shall be on the hospital staff and available for consultation:
1. general pediatrics;
2. mental health;
3. neonatology;
4. nephrology;
5. pathology;
6. pediatric cardiology;
7. pediatric gastroenterology;
8. pediatric hematology/oncology;
9. pediatric infectious disease;
10. pediatric neurology; and
11. pediatric radiology.
(b) In addition to licensure requirements, pediatric trauma centers shall have the following service capabilities:
(1) Radiological service. The radiological service shall have in-house and immediately available a radiological technician capable of performing plain film and computed tomography imaging. A radiological service shall have the following additional services promptly available for children:
(A) angiography; and
(B) ultrasound.
(2) Clinical laboratory service. A clinical laboratory service shall have:
(A) a comprehensive blood bank or access to a community central blood bank; and
(B) clinical laboratory services immediately available with micro sampling capability.
(3) Surgical service. A surgical service shall have an operating suite that is available or being utilized for trauma patients and that has:
(A) Operating staff who are promptly available unless operating on a trauma patient and back up personnel who are promptly available; and
(B) appropriate surgical equipment and supplies as determined by the pediatric trauma program medical director.
(4) Nursing services that are staffed by qualified licensed nurses with education, experience, and demonstrated clinical competence in the care of critically ill and injured children.
(c) A Level I and II pediatric trauma center shall have a basic or comprehensive emergency service which have special permits issued pursuant to Chapter 1, Division 5 of Title 22. The emergency service shall:
(1) designate an emergency physician to be a member of the pediatric trauma team;
(2) provide emergency medical services to pediatric patients; and
(3) have appropriate pediatric equipment and supplies as approved by the director of emergency medicine in collaboration with the trauma program medical director.
(d) In addition to the special permit licensing services, a pediatric trauma center shall have, pursuant to Section 70301 of Chapter 1, Division 5 of Title 22 of the California Code of Regulations, the following approved supplemental services:
(1) Burn Center. This service may be provided through a written transfer agreement with a Burn Center;
(2) Physical Therapy Service. Physical therapy services to include personnel trained in pediatric physical therapy and equipped for acute care of the critically injured child;
(3) Rehabilitation Center. Rehabilitation services to include personnel trained in rehabilitation care and equipped for acute care of the critically injured patient. These services may be provided through a written transfer agreement with a rehabilitation center;
(4) Respiratory Care Service. Respiratory care services to include personnel trained in respiratory therapy and equipped for acute care of the critically injured patient;
(5) Acute hemodialysis capability;
(6) Occupational therapy service. Occupational therapy services to include personnel trained in pediatric occupational therapy and equipped for acute care of the critically injured child;
(7) Speech therapy service. Speech therapy services to include personnel trained in pediatric speech therapy and equipped for acute care of the critically injured child; and
(8) Social Service.
(e) A trauma center shall have the following services or programs that do not require a license or special permit.
(1) A Pediatric Intensive Care Unit (PICU) approved by the California State Department of Health Services California Children Services (CCS).
(A) The PICU shall have appropriate equipment and supplies as determined by the physician responsible for the pediatric intensive care service and the pediatric trauma program medical director;
(B) the pediatric intensive care specialist shall be promptly available to care for trauma patients in the intensive care unit; and
(C) the qualified specialist in (B) above shall be a member of the trauma team.
(2) Acute spinal cord injury management capability. This service may be provided through a written transfer agreement with a Rehabilitation Center;
(3) Protocol to identify potential organ donors as described in Division 7, Chapter 3.5 of the California Health and Safety Code;
(4) An outreach program, to include:
(A) capability to provide both telephone and on-site consultations with physicians in the community and outlying areas;
(B) trauma prevention for the general public;
(C) public education and illness/injury prevention education.
(5) written interfacility transfer agreements with referring and speciality hospitals; and
(6) continuing education. Continuing education in pediatric trauma care shall be provided for:
(A) staff physicians;
(B) staff nurses;
(C) staff allied health personnel;
(D) EMS personnel; and
(E) other community physicians and health care personnel.
(7) In addition to special permit licensing services, a pediatric trauma center shall have:
(A) outreach and injury prevention programs specifically related to pediatric trauma and injury prevention;
(B) a suspected child abuse and neglect team (SCAN);
(C) an aeromedical transport plan with designated landing site; and
(D) Child Life program.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.161 and 1798.165, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Repealer and new section filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100262. Additional Level I Pediatric Trauma Criteria.
Note     •     History

In addition to the above requirements, a Level I pediatric trauma center shall have:
(a) A pediatric trauma program medical director who is a board-certified pediatric surgeon, whose responsibilities include, but are not limited to, factors that affect all aspects of pediatric trauma care.
(b) Additional qualified pediatric surgical specialists or specialty availability on-call and promptly available:
(1) cardiothoracic;
(2) pediatric neurologic;
(3) pediatric ophthalmologic;
(4) pediatric oral or maxillofacial or head and neck; and
(5) pediatric orthopaedic,
(c) A surgical service that has at least the following:
(1) operating staff who are immediately available unless operating on trauma patients and back-up personnel who are promptly available.
(2) cardiopulmonary bypass equipment; and
(3) operating microscope.
(d) Additional qualified pediatric non-surgical specialist or specialty availability on-call and promptly available:
(1) pediatric anesthesiology;
(2) pediatric emergency medicine;
(3) pediatric gastroenterology;
(4) pediatric infectious disease;
(5) pediatric nephrology;
(6) pediatric neurology;
(7) pediatric pulmonology; and
(8) pediatric radiology.
(e)  the qualified pediatric PICU specialist shall be immediately available, advised about all patients who may require admission to the PICU, and shall participate in all major therapeutic decisions and interventions;
(f) Anesthesiology shall be immediately available. This requirement may be fulfilled by a senior resident or certified registered nurse anaesthetists who are capable of assessing emergent situations in trauma patients and providing treatment and are supervised by the staff anesthesiologist.
(g) Pediatric trauma research program.
(h) Maintain an education rotation with an ACGME approved and affiliated surgical residency program.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.161 and 1798.165, Health and Safety Code. 
HISTORY

1. New section filed 9-18-86, operative 10-18-86; Register 86, No. 38.
2. Repealer and new section filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100263. Level III Trauma Centers.
Note     •     History

A Level III trauma center is a licensed hospital which has been designated as a Level III trauma center by the local EMS agency. A Level III trauma center shall include equipment and resources necessary for initial stabilization and personnel knowledgeable  in the treatment of adult and pediatric trauma. A Level III trauma center shall have at least the following:
(a) A trauma program medical director who is a qualified surgical specialist, whose responsibilities include, but are not limited to, factors that affect all aspects of trauma care such as:
(1) recommending trauma team physician privileges;
(2) working with nursing administration to support the nursing needs of trauma patients;
(3) developing trauma treatment protocols;
(4) having authority and accountability for the quality improvement peer review process;
(5) correcting deficiencies in trauma care or excluding from trauma call those trauma team members who no longer meet the standards of the quality improvement program; and
(6) assisting in the coordination of budgetary process for the trauma program.
(b) A trauma nurse coordinator/manager who is a registered nurse with qualifications including evidence of educational preparation and clinical experience in the care of adult and/or pediatric trauma patients, administrative ability, and responsibilities that include, but are not limited to:
(1) organizing services and systems necessary for the multidisciplinary approach to the care of the injured patient;
(2) coordinating day-to-day clinical process and performance improvement as pertains to nursing and ancillary personnel, and
(3) collaborating with the trauma program medical director in carrying out the educational, clinical, research, administrative and outreach activities of the trauma program.
(c) A trauma service which can provide for the implementation of the requirements specified in this Section and provide for coordination with the local EMS agency.
(d) The capability of providing prompt assessment, resuscitation and stabilization to trauma patients.
(e) The ability to provide treatment or arrange for transportation to a higher level trauma center as appropriate.
(f) An emergency department, division, service, or section staffed so that trauma patients are assured of immediate and appropriate initial care.
(g) Intensive Care Service:
(1) the ICU shall have appropriate equipment and supplies as determined by the physician responsible for the intensive care service and the trauma program medical director;
(2) the ICU shall have a qualified specialist promptly available to care for trauma patients in the intensive care unit. The qualified specialist may be a resident with two (2) years of training who is supervised by the staff intensivist or attending surgeon who participates in all critical decision making; and
(3) the qualified specialist in (2) above shall be a member of the trauma team;
(h) A trauma team, which will be a multidisciplinary team responsible for the initial resuscitation and management of the trauma patient.
(i) Qualified surgical specialist(s) who shall be promptly available:
(1) general;
(2) orthopedic; and
(3) neurosurgery (can be provided through a transfer agreement)
(j) Qualified non-surgical specialist(s) or speciality availability, which shall be available as follows:
(1) Emergency medicine, in-house and immediately available; and
(2) Anesthesiology, on-call and promptly available with a mechanism established to ensure that the anesthesiologist is in the operating room when the patient arrives. This requirement may be fulfilled by senior residents or certified registered nurse anesthetists who are capable of assessing emergent situations in trauma patients and of providing any indicated emergent anesthesia treatment and are supervised by the staff anesthesiologist. In such cases, the staff anesthesiologist on-call shall be advised about the patient, be promptly available at all times, and be present for all operations.
(3) The following services shall be in-house or may be provided through a written transfer agreement:
(A) Burn care.
(B) Pediatric care.
(C) Rehabilitation services.
(k) The following service capabilities:
(1) Radiological service. The radiological service shall have a radiological technician promptly available.
(2) Clinical laboratory service. A clinical laboratory service shall have:
(A) a comprehensive blood bank or access to a community central blood bank; and
(B) clinical laboratory services promptly available.
(3) Surgical service. A surgical service shall have an operating suite that is available or being utilized for trauma patients and that has:
(A) Operating staff who are promptly available; and
(B) appropriate surgical equipment and supplies requirements which have been approved by the local EMS agency.
(l) Written transfer agreements with Level I or II trauma centers, Level I or II pediatric trauma centers, or other specialty care centers, for the immediate transfer of those patients for whom the most appropriate medical care requires additional resources.
(m) An outreach program, to include:
(1) capability to provide both telephone and on-site consultations with physicians in the community and outlying areas; and
(2) trauma prevention for the general public.
(n) Continuing education. Continuing education in trauma care, shall be provided for:
(1) staff physicians;
(2) staff nurses;
(3) staff allied health personnel;
(4) EMS personnel; and
(5) other community physicians and health care personnel.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.161 and 1798.165, Health and Safety Code. 
HISTORY

1. New section filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
§100264. Level IV Trauma Center.
Note     •     History

A Level IV trauma center is a licensed hospital which has been designated as a Level IV trauma center by the local EMS agency. A Level IV trauma center shall include equipment and resources necessary for initial stabilization and personnel knowledgeable in the treatment of adult and pediatric trauma. A Level IV trauma center shall have at least the following:
(a) A trauma program medical director who is a qualified specialist whose responsibilities include, but are not limited to, factors that affect all aspects of trauma care, including pediatric trauma care, such as:
(1) recommending trauma team physician privileges;
(2) working with nursing administration to support the nursing needs of trauma patients;
(3) developing treatment protocols;
(4) having authority and accountability for the quality improvement peer review process;
(5) correcting deficiencies in trauma care or excluding from trauma call those trauma team members who no longer meet the standards of the quality improvement program; and
(6) assisting in the coordination of the budgetary process for the trauma program.
(b) A trauma nurse coordinator/manager who is a registered nurse with qualifications including evidence of educational preparation and clinical experience in the care of adult and/or pediatric trauma patients, administrative ability, and responsibilities that include, but are not limited to:
(1) organizing services and systems necessary for the multidisciplinary approach to the care of the injured patient;
(2) coordinating day-to-day clinical process and performance improvement as it pertains to nursing and ancillary personnel; and
(3) collaborating with the trauma program medical director in carrying out the educational, clinical, research, administrative and outreach activities of the trauma program.
(c) A trauma service which can provide for the implementation of the requirements specified in this Section and provide for coordination with the local EMS agency.
(d) The capability of providing prompt assessment, resuscitation and stabilization to trauma patients.
(e) The ability to provide treatment or arrange transportation to higher level trauma center as appropriate.
(f) An emergency department, division, service, or section staffed so that trauma patients are assured of immediate and appropriate initial care.
(g) A trauma team, which will be a multidisciplinary team responsible for the initial resuscitation and management of the trauma patient.
(h) The following service capabilities:
(1) Radiological service. The radiological service shall have a radiological technician promptly available.
(2) Clinical laboratory service. A clinical laboratory service shall have:
(A) a comprehensive blood bank or access to a community central blood bank; and
(B) clinical laboratory services promptly available.
(i) Written transfer agreements with Level I, II or III trauma centers, Level I or II pediatric trauma centers, or other specialty care centers, for the immediate transfer of those patients for whom the most appropriate medical care requires additional resources.
(j) An outreach program, to include:
(1) capability to provide both telephone and on-site consultations with physicians in the community and outlying areas; and
(2) trauma prevention for the general public.
(k) Continuing education. Continuing education in trauma care, shall be provided for:
(1) staff physicians;
(2) staff nurses;
(3) staff allied health personnel;
(4) EMS personnel; and
(5) other community physicians and health care personnel.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.161 and 1798.165, Health and Safety Code. 
HISTORY

1. New section filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
Article 4. Quality Improvement
§100265. Quality Improvement.
Note     •     History

Trauma centers of all levels shall have a quality improvement process to include structure, process, and outcome evaluations which focus on improvement efforts to identify root causes of problems, intervene to reduce or eliminate these causes, and take steps to correct the process. In addition the process shall include:
(a) A detailed audit of all trauma-related deaths, major complications and transfers (including interfacility transfer);
(b) A multidisciplinary trauma peer review committee that includes all members of the trauma team;
(c) Participation in the trauma system data management system;
(d) Participation in the local EMS agency trauma evaluation committee; and
(e) Each trauma center shall have a written system in place for patients, parents of minor children who are patients, legal guardian(s) of children who are patients, and/or primary caretaker(s) of children who are patients to provide input and feedback to hospital staff regarding the care provided to the child.
(f) Following of applicable provisions of Evidence Code Section 1157.7 to ensure confidentiality.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Section 1798.161, Health and Safety Code. 
HISTORY

1. New article 4 (section 100265) and section filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
Article 5. Transfer of Trauma Patients
§100266. Interfacility Transfer of Trauma Patients.
Note     •     History

(a) Patients may be transferred between and from trauma centers providing that:
(1) any transfer shall be, as determined by the trauma center surgeon of record, medically prudent; and
(2) in accordance with local EMS agency interfacility transfer policies.
(b) Hospitals shall have written transfer agreements with trauma centers. Hospitals shall develop written criteria for consultation and transfer of patients needing a higher level of care.
(c) Hospitals which have repatriated trauma patients from a designated trauma center shall provide the information required by the system trauma registry, as specified by local EMS agency policies, to the transferring trauma center for inclusion in the system trauma registry.
(d) Hospitals receiving trauma patients shall participate in system and trauma center quality improvement activities for those trauma patients which have been transferred.
NOTE

Authority cited: Sections 1797.107 and 1798.161, Health and Safety Code. Reference: Sections 1798.160 and 1798.161, Health and Safety Code. 
HISTORY

1. New article 5 (section 100266) and section filed 7-13-99; operative 8-12-99 (Register 99, No. 29).
Chapter 8. Prehospital EMS Aircraft Regulations
Article 1. Definitions
§100276. Advanced Life Support.
Note     •     History

“Advanced life support” or “ALS” as used in this Chapter means any definitive prehospital emergency medical care role approved by the local EMS agency, in accordance with state regulations, which includes all of the specialized care services listed in Section 1797.52 of the Health and Safety Code.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.103, 1797.206, 1797.218, 1797.220, 1797.252, 1798.2 and 1798.102, Health and Safety Code.
HISTORY

1. New Chapter 8 (Articles 1-5, Sections 100276-100306, not consecutive) filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100277. Basic Life Support.
Note     •     History

“Basic life support” or “BLS” as used in this Chapter means those procedures and skills contained in the EMT-I scope of practice as listed in Section 100063, Title 22, California Code of Regulations.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.80, 1797.103, 1797.170 and 1797.252, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100278. Medical Flight Crew.
Note     •     History

“Medical flight crew” as used in this Chapter means the individual(s), excluding the pilot, specifically assigned to care for the patient during aircraft transport.
NOTE

Authority cited: Sections 1797.1, 1797.107, 1797.160, 1797.171 and 1797.172, Health and Safety Code. Reference: Sections 1797.80, 1797.82, 1797.84, 1797.103, 1797.160, 1797.170, 1797.171, 1797.172 and 1797.222, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100279. Emergency Medical Services Aircraft.
Note     •     History

“Emergency medical services aircraft” or “EMS aircraft” as used in this Chapter means any aircraft utilized for the purpose of prehospital emergency patient response and transport. EMS aircraft includes air ambulances and all categories of rescue aircraft.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.103, 1797.178, 1797.204, 1797.206 and 1797.222, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100280. Air Ambulance.
Note     •     History

“Air ambulance” as used in this Chapter means any aircraft specially constructed, modified or equipped, and used for the primary purposes of responding to emergency calls and transporting critically ill or injured patients whose medical flight crew has at a minimum two (2) attendants certified or licensed in advanced life support.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.52, 1797.82, 1797.84, 1797.103, 1797.171, 1797.172, 1797.206, 1797.218 and 1797.222, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100281. Rescue Aircraft.
Note     •     History

“Rescue aircraft” as used in this Chapter means an aircraft whose usual function is not prehospital emergency patient transport but which may be utilized, in compliance with local EMS policy, for prehospital emergency patient transport when use of an air or ground ambulance is inappropriate or unavailable. Rescue aircraft includes ALS rescue aircraft, BLS rescue aircraft and Auxiliary rescue aircraft.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.52, 1797.60, 1797.82, 1797.84, 1797.103, 1797.171, 1797.172, 1797.206 and 1797.218, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100282. Advanced Life Support Rescue Aircraft.
Note     •     History

“Advanced life support Rescue aircraft” or “ALS rescue aircraft” as used in this Chapter means a rescue aircraft whose medical flight crew has at a minimum one attendant certified or licensed in advanced life support.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.52, 1797.82, 1797.84, 1797.103, 1797.171, 1797.172, 1797.206, 1797.218 and 1797.222, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100283. Basic Life Support Rescue Aircraft.
Note     •     History

“Basic life support rescue aircraft” or “BLS rescue aircraft” as used in this Chapter means a rescue aircraft whose medical flight crew has at a minimum one attendant certified as an EMT-IA, or an EMT-I-NA with at least eight (8) hours of hospital clinical training and whose field/clinical experience specified in Section 100074(c) of Title 22, California Code of Regulations, is in the aeromedical transport of patients.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.60, 1797.80, 1797.103 and 1797.170, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100284. Auxiliary Rescue Aircraft.
Note     •     History

“Auxiliary rescue aircraft” as used in this Chapter means a rescue aircraft which does not have a medical flight crew, or whose medical flight crew do not meet the minimum requirements established in Section 100283.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Section 1797.103, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100285. Air Ambulance Service.
Note     •     History

“Air ambulance service” as used in this Chapter means an air transportation service which utilizes air ambulances.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.103, 1797.206, 1797.218 and 1797.222, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100286. Air Rescue Service.
Note     •     History

“Air rescue service” as used in this Chapter means an air service used for emergencies, including search and rescue.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.103, 1797.206 and 1797.218, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100287. Air Ambulance or Air Rescue Service Provider.
Note     •     History

“Air ambulance or air rescue service provider” as used in this Chapter means the individual or group that owns and/or operates an air ambulance or air rescue service.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.103, 1797.206, 1797.218 and 1797.222, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100288. Classifying EMS Agency.
Note     •     History

“Classifying EMS agency” or “classifying agency” as used in this Chapter means the agency which categorizes the EMS aircraft into the groups identified in Section 100300(c)(3). This shall be the local EMS agency in the jurisdiction of origin except for aircraft operated by the California Highway Patrol, the California Department of Forestry or the California National Guard which shall be classified by the EMS Authority.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.54, 1797.94, 1797.103, 1797.204 and 1797.206, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
2. Change without regulatory effect amending section filed 1-8-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 2).
§100289. Authorizing EMS Agency.
Note     •     History

“Authorizing EMS agency” or “authorizing agency” as used in this Chapter means the local EMS agency which approves utilization of specific EMS aircraft within its jurisdiction.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.84, 1797.103, 1797.204, 1797.206 and 1797.218, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100290. Jurisdiction of Origin.
Note     •     History

“Jurisdiction of origin” as used in this Chapter means the local EMS jurisdiction within which the authorized air ambulance or rescue aircraft is operationally based.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.94, 1797.103, 1797.204, 1797.206, 1797.218, 1797.222 and 1797.250, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
§100291. Designated Dispatch Center.
Note     •     History

“Designated dispatch center” as used in this Chapter means an agency which has been designated by the local EMS agency for the purpose of coordinating air ambulance or rescue aircraft response to the scene of a medical emergency within the jurisdiction of a local EMS agency.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.103, 1797.204, 1797.206, 1797.218, 1797.222, 1797.252 and 1798.6, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
Article 2. General Provisions
§100300. Application of Chapter.
Note     •     History

(a) It is the scope of this Chapter to establish minimum standards for the integration of EMS Aircraft and personnel into the local EMS prehospital patient transport system as a specialized resource for the transport and care of emergency medical patients.
(b) A local EMS agency may integrate aircraft into its prehospital patient transport system. Each local EMS agency choosing to integrate such aircraft into its prehospital care system shall develop a program which at minimum:
(1) Classifies EMS aircraft in accordance with Section 100300(c)(3).
(2) Incorporates into their EMS plan the utilization of EMS aircraft including but not limited to an inventory of:
(A) The number and type of authorized EMS aircraft.
(B) The patient capacity of authorized EMS aircraft.
(C) The level of patient care provided by EMS aircraft personnel.
(D) Receiving facilities with landing sites approved by the State Department of Transportation, Aeronautics Division.
(3) Establishes policies and/or procedures to assure compliance with the provisions of this Chapter.
(4) Develops written agreements with air ambulance or rescue aircraft providers specifying conditions to routinely serve their jurisdiction.
(c) In those jurisdictions where a local EMS agency has chosen to integrate aircraft into its prehospital patient transport system:
(1) No person or organization shall provide or hold themselves out as providing prehospital Air Ambulance or Air Rescue services unless that person or organization has aircraft which have been classified by a local EMS agency or in the case of the California Highway Patrol, California Department of Forestry, and California National Guard, the EMS Authority.
(2) All EMS Aircraft shall be classified.
(3) EMS aircraft classification shall be limited to the following categories:
(A) Air Ambulance
(B) ALS Rescue Aircraft
(C) BLS Rescue Aircraft
(D) Auxiliary Rescue Aircraft
(4) EMS Aircraft classification shall be reviewed in accordance with policies of the classifying agency. Reclassification shall occur if there is a transfer of ownership or a change in the aircraft's category.
(5) EMS aircraft must be authorized by the local EMS agency in order to provide prehospital patient transport within the jurisdiction of the local EMS agency.
A request from a designated dispatch center shall be deemed as authorization of aircraft operated by the California Highway Patrol, Department of Forestry, National Guard or the Federal Government.
(6) Air Ambulance and Air Rescue service providers including any company, lessee, agency (excluding agencies of the federal government), provider, owner, operator who provides or makes available prehospital air transport or medical personnel either directly or indirectly or any hospital where an EMS aircraft is based, housed, or stationed permanently or temporarily shall adhere to all federal, state, and local statutes, ordinances, policies, and procedures related to EMS aircraft operations, including qualifications of flight crews and aircraft maintenance.
(7) The local EMS agency may charge a fee to cover the costs directly associated with the classification and authorization of EMS aircraft.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.103, 1797.212, 1797.218, 1797.224 and 1797.252, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
2. Change without regulatory effect amending subsection (b)(1) filed 1-8-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 2).
Article 3. Personnel
§100302. Medical Flight Crew.
Note     •     History

(a) The medical flight crew of an EMS aircraft shall have training in aeromedical transportation as specified and approved by the authorizing EMS agency including but not limited to:
(1) General patient care in-flight.
(2) Changes in barometric pressure, and pressure related maladies.
(3) Changes in partial pressure of oxygen.
(4) Other environmental factors affecting patient care.
(5) Aircraft operational systems.
(6) Aircraft emergencies and safety.
(7) Care of patients who require special consideration in the airborne environment.
(8) EMS system and communications procedures.
(9) The prehospital care system(s) within which they operate including local medical and procedural protocols.
(10) Use of onboard medical equipment.
(b) All medical flight crews shall participate in such continuing education requirements as required by their licensure or certification. Continuing education in aeromedical transportation subjects may be required by the authorizing EMS agency.
(c) (Reserved)
(d) (Reserved)
(e) In situations where the medical flight crew is less medically qualified than the ground personnel from whom they receive patients they may assume patient care responsibility only in accordance with policies and procedures of the requesting local EMS agency.
(f) EMS aircraft that do not have a medical flight crew shall not transport patients except in accordance with the policies and procedures of the requesting local EMS agency.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.17, 1797.171, 1797.172, 1797.175, 1797.176, 1797.178, 1797.214, 1797.218, 1798 and 1798.6, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88. Subsections (c) and (d) were disapproved by OAL (Register 88, No. 16).
Article 4. System Operation
§100304. System Policies and Procedures.
Note     •     History

(a) Those local EMS agencies choosing to integrate aircraft into the prehospital patient transport system shall develop policies and procedures for:
(1) the authorization of EMS aircraft to be utilized in prehospital patient care.
(2) requesting EMS aircraft including but not limited to the types of personnel and/or organizations that may request or cancel EMS aircraft. EMS aircraft requests shall only be made through a dispatch center which has been designated by a local EMS agency.
(3) the dispatching of EMS aircraft. These policies and procedures shall include but not be limited to:
(A) Availability and appropriateness of transportation and medical personnel resources including:
1. Ground versus air transport as related to proximity and type of incident.
2. Medical capability of potential responders.
(B) Notification of and coordination with other responding agencies.
(C) Termination of EMS aircraft response.
(4) Determining EMS aircraft patient destination including consideration of an interim stop at a rural hospital and continuation of care until the responsibility is assumed by the emergency or other staff of a final destination hospital.
(5) Orientation of pilots and medical flight crews to the local EMS system.
(6) Addressing and resolving formal complaints regarding the integration of aircraft into the prehospital patient transport system.
(b) The local agency's policies and procedures for medical control shall apply to the medical flight crew. Such policies and procedures may be modified by the local EMS agency, if required by the uniqueness of EMS aircraft response.
(c) The authorizing EMS agency's policies and procedures for record keeping and quality assurance, shall apply to EMS aircraft operations. Current policies and procedures maybe modified if required by the uniqueness of EMS aircraft response.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.103, 1797.105, 1797.204, 1797.206, 1797.218, 1797.222 and 1797.252, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
Article 5. Equipment and Supplies, Aircraft Specifications
§100306. Space and Equipment.
Note     •     History

(a) All EMS Aircraft shall be configured so that:
(1) There is sufficient space in the patient compartment to accommodate one (1) patient on a stretcher and one (1) patient attendant. Air ambulances shall at a minimum have space to accommodate one (1) patient and two (2) patient attendants.
(2) There is sufficient space for medical personnel to have adequate access to the patient in order to carry out necessary procedures including CPR on the ground and in the air.
(3) There is sufficient space for medical equipment and supplies required by State regulations or authorizing EMS agency policy.
(4) Additional authorizing EMS agency requirements are met.
(b) Each EMS aircraft shall have adequate safety belts and tie-downs for all personnel, patient(s), stretcher(s) and equipment to prevent inadvertent movement.
(c) Each EMS aircraft shall have on-board equipment and supplies commensurate with the scope of practice of the medical flight crew as specified by the classifying EMS agency. This requirement may be fulfilled through the utilization of appropriate kits (cases/packs) which can be carried on a given flight to meet the needs of a specific type of patient and/or additional medical personnel not usually staffing the aircraft.
(d) Communications
(1) In accordance with authorizing EMS agency policies, all EMS aircraft shall have the capability of communicating with:
(A) Designated dispatch center(s).
(B) EMS ground units at the scene of an emergency.
(C) Designated base hospitals.
(D) Receiving hospitals.
(E) Other appropriate facilities or agencies.
(2) All EMS aircraft shall utilize appropriate radio frequencies for dispatch, routing and coordination of flights. This excludes use of Med 1-8 and HEAR (155.340 MHz and 155.280 MHz) for these purposes.
(3) Radio equipment may be inspected to assure compliance with the requirements of the authorizing EMS agency.
NOTE

Authority cited: Sections 1797.1 and 1797.107, Health and Safety Code. Reference: Sections 1797.103, 1797.204, 1797.206, 1797.220, 1797.222 and 1798.2, Health and Safety Code.
HISTORY

1. New section filed 3-29-88; operative 4-28-88 (Register 88, No. 16).
Chapter 9. Poison Control Center Regulations
Article 1. Definitions
§100321. Immediately Available.
Note     •     History

“Immediately available” means unencumbered by conflicting duties or responsibilities and being within the specified area of the poison control center.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Section 1798.180, Health and Safety Code.
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100322. On-Call.
Note     •     History

“On-call” means agreeing to be available by telephone or beeper to respond to the poison control center in order to provide a defined service.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Section 1798.180, Health and Safety Code.
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100323. Poison Control Center.
Note     •     History

“Poison control center” or “PCC” or “regional poison control center” or “regional poison center” means a facility designated by the EMS Authority that provides information and advice to the public and health professionals regarding the management of individuals who have or may have ingested or otherwise been exposed to poisonous or possibly toxic substances. This information and advice shall be given by the medical director, program director, specialist in poison information, poison information provider, or a poison center specialty consultant as defined in Section 100330.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Sections 1797.97, 1798.180 and 1799.105, Health and Safety Code.
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100324. Poison Control Center Service Area.
Note     •     History

“Poison control center service area” means the geographical service area of a regional poison control center as approved by the EMS Authority through designation.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Section 1798.180, Health and Safety Code.
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100325. Product Information Resources.
Note     •     History

“Product information resources” are resources that provide information regarding ingredients contained in commercial products.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Section 1798.180, Health and Safety Code.
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100326. Provisional Certificate.
Note     •     History

A “provisional certificate” shall be for two (2) years and may be given to a facility that does not meet the provisions of Section 100328(c) but that is otherwise in compliance with the requirements in this chapter as determined by an examination of the facility's application and/or by the site review. A provisional certificate gives the facility all the rights and privileges of a designated poison control center with the exception of eligibility for the California Regional Poison Control Centers' Funding Augmentation.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Sections 1797.97 and 1798.180, Health and Safety Code.
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100327. Temporary Designation.
Note     •     History

“Temporary designation” shall be for one (1) year and may be given to a facility that meets the provisions of Section 100328(c), but that is not in compliance with the other requirements in this chapter as determined by an examination of the facility's application and/or by the site review. Temporary designation gives the facility all the rights and privileges of a designated poison control center.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Sections 1797.97 and 1798.180, Health and Safety Code.
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
Article 2. General Provisions
§100328. Poison Control Center Criteria.
Note     •     History

The EMS Authority shall utilize the following criteria in designating facilities as poison control centers:
(a) No more than one (1) poison control center shall be designated for each two (2) million people.
(1) For those poison control center service areas with populations greater than two (2) million, additional facilities may be designated on the basis of a change in local need within that area as determined by the EMS Authority, including population, geographic distribution, and other factors affecting the efficiency and effectiveness of providing poison information services.
(b) The poison control center service area of a designated poison control center shall be distinct from that covered by any other designated poison control center.
(1) If an additional facility is designated pursuant to subsection (a)(1) of this Section, the poison control center service area may be redefined by the EMS Authority.
(c) The applicant has provided poison control information to the public and health professionals in its proposed service area for at least a two (2) year period.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Sections 1797.97 and 1798.180, Health and Safety Code.
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100329. Poison Control Center Responsibilities.
Note     •     History

(a) In order to be designated as a regional poison control center a facility shall:
(1) Be immediately available by a direct incoming telephone system to the public and health professionals within the poison control center service area;
(2) have staff as defined in Section 100330(c) immediately available twenty-four (24) hours a day to answer poison exposure calls;
(3) have, within the poison control center area, poison information resources which include at least the following:
(A) One (1) or more current product information resources;
(B) current texts covering both general and specific aspects of acute and chronic poisoning management available at the central telephone answering site; and
(C) a list of poison center specialty consultants available on an on-call basis through a written agreement.
(4) have access to journal articles and published studies regarding medical toxicology either in the poison control center or through access to a medical library.
(5) have written treatment and triage protocols that are developed and updated by the poison control center program director and approved by the medical director. Each written protocol shall include the following elements:
(A) Description and types of exposures which may need no medical intervention;
(B) description and types of exposures which may be managed at home by simple therapeutic procedures in the professional opinion of the medical director, and a treatment and triage protocol for such management;
(C) description and types of exposures which may require referral for medical evaluation and/or treatment;
(D) a protocol for initial patient management;
(E) a protocol for determining the need for patient transport to a facility in accordance with the policies and procedures of the local EMS agency; and
(F) a description of how the poison control center correlates with local EMS policies and procedures, including 9-1-1.
(6) develop and maintain a poisoning data collection and reporting system as defined in Section 100332 and as required by Title 17, Sections 2500 through 2653.
(7) develop and provide a poison oriented health education program for the public and health professionals to include at least physicians, nurses, prehospital emergency medical services personnel; and
(8) develop and maintain a quality assurance program as defined in Section 100331.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Section 1797.97 and 1798.180, Health and Safety Code.
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100330. Poison Control Center Staffing.
Note     •     History

(a) Each poison control center shall have a medical director who shall be a physician and surgeon currently licensed in the State of California, who has a minimum of two (2) years' postgraduate training in clinical toxicology and/or a minimum of three (3) years' clinical experience in the last five (5) years in toxicology or poison information sciences, and who devotes a minimum of ten (10) percent of his or her practice to treating poisoned patients. The medical director shall be on-call to the staff of the poison control center and shall participate in professional medical education programs pursuant to subsection (b)(4) of this Section. Duties of the medical director shall include, but not be limited to:
(1) Assisting the specialists in poison information upon request or in accordance with treatment and triage protocols;
(2) approving treatment and triage protocols as specified in Section 100329(a)(4) which are written and updated by the program director pursuant to subsection (b)(3) of this Section;
(3) reviewing the quality assurance program as specified in Section 100331;
(4) consulting with physicians on the treatment of poisoned patients as appropriate; and
(5) reviewing the poison center specialty consultant(s)' qualifications and approving or disapproving the consultation services applicant(s).
(b) Each poison control center shall have a program director who shall be a pharmacist, physician or registered nurse, licensed in the State of California, who has a minimum of two (2) years' postgraduate training in clinical toxicology and/or a minimum of three (3) years' clinical experience in the last five (5) years in toxicology and/or poison information sciences. The program director must have two (2) years' experience in the administration of a health related program. Duties of the program director shall be coordinated with the medical director and shall include, but not be limited to:
(1) Supervising the poison control center's organization, staff, funding and quality assurance;
(2) determining and ensuring the availability of staff identified in subsections (a), (c), (d) and (e) of this Section;
(3) developing and updating treatment and triage protocols as specified in Section 100329(a)(4) to be approved by the medical director pursuant to subsection (a)(2) of this Section;
(4) developing and/or approving poison oriented health education programs for the public and health professionals pursuant to Section 100329(a)(6). These education programs shall be coordinated with the local EMS agency(s);
(5) developing and maintaining a data collection system as specified in Section 100332; and
(6) assisting the specialists in poison information upon request or in accordance with treatment and triage protocols.
(c) Each poison control center shall have a specialist(s) in poison information who shall be a pharmacist, physician, or registered nurse currently licensed in the State of California, who has training or experience in toxicology and poison information sciences as defined by the medical and program director of the poison control center. Duties of the specialist in poison information shall include, but not be limited to:
(1) Answering incoming telephone calls, evaluating the poison exposure history, providing management information and determining the necessity for additional medical consultation;
(2) updating poison information files; and
(3) teaching poison oriented health education programs.
(d) Each poison control center may have a poison information provider(s) trained in reading, understanding and transmitting poison information. The poison information provider will be under the direct on-site supervision of a specialist in poison information.
(e) Each poison control center shall have a poison center specialty consultant(s) who is qualified by training and/or experience to provide specialized toxicology information related to the poisonings encountered in the area serviced by the poison control center. The poison center specialty consultant shall have a written agreement with the poison control center that is updated yearly to provide consultation services on an on-call basis.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Sections 1797.97 and 1798.180, Health and Safety Code. 
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100331. Quality Assurance Program.
Note     •     History

(a) A poison control center shall have a quality assurance program which shall include at a minimum:
(1) Case review of all deaths in which poison control center consultation was provided;
(2) case review and critique of a sample of cases;
(3) screenings of poisoning and exposure cases by type of poison; and
(4) either direct monitoring of a sample of calls or tape recordings of calls.
(b) The medical director shall conduct an audit and case review of poisoning cases at least quarterly.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Sections 1797.97 and 1798.180, Health and Safety Code. 
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100332. Data Collection.
Note     •     History

(a) A poison control center shall implement a data management system capable of collecting poison information data, which shall be available from poison control center case records.
(b) The data shall be submitted annually to the EMS Authority and shall include at least the number of incoming calls for each county in and outside of the poison control center service area from the public and health professionals.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Section 1798.180, Health and Safety Code. 
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
Article 3. Designation Process
§100333. Designation Process.
Note     •     History

(a) A facility that wishes to be designated as a poison control center shall submit a written application to the EMS Authority along with supporting documentation that explains how it meets the provisions of these regulations.
(b) The application for approval shall include at least the following:
(1) Organization chart;
(2) names, qualifications, duty statements, and hours available of:
(A) Medical director;
(B) program director or coordinator;
(C) specialist(s) in poison information;
(D) poison information provider(s); and
(E) poison center specialty consultants.
(3) written verification of contracts with poison center specialty consultants;
(4) information explaining how the responsibilities of Section 100329(a)(1) through 100329(a)(7) are being met;
(5) description of proposed service area and how it will be integrated with:
(A) the affected local EMS agencies' service area and system; and
(B) other poison control centers.
(6) intent to execute a written agreement with the EMS Authority committing the applicant to meet the requirements of this chapter.
(c) The EMS Authority shall notify the local EMS Agencies in the proposed poison control center service area within ten (10) working days of receiving the application that the facility is applying for designation.
(d) The EMS Authority shall notify the facility submitting its application for poison control center designation within thirty (30) working days of receiving the application that:
(1) The application has been received;
(2) the application contains or does not contain the information required by this Section; and
(3) what information is missing, if any.
(e) The EMS Authority shall conduct a site visit to determine that the facility's resources and capabilities described in its application are in compliance with these regulations.
(f) The EMS Authority shall:
(1) Notify the facility submitting an application for regional poison control center designation, and the EMS agencies in the proposed poison control center service area, that the facility either has been “designated,” received “temporary designation,” or received a “provisional certificate,” or has been “disapproved for designation” within 120 days of receipt of a complete application; and
(2) provide the reasons for disapproval of an application if disapproved for designation.
(g) A facility holding a temporary designation or a provisional certificate, must achieve full designation status on or before the conclusion of the temporary designation or provisional certificate, or cease operation. No further action of the EMS Authority is required.
(h) If the EMS Authority disapproves an application, the facility submitting the application shall have three (3) months from the date notification of the disapproval is received to submit a written appeal which states the reasons for objecting to the EMS Authority's decision.
(1) The EMS Authority will present the appeal package to the Commission on Emergency Medical Services. The appeal package shall include the following:
(A) The EMS Authority's written disapproval;
(B) The facility's written appeal;
(C) The facility's application and any documents the EMS Authority used to make the decision for disapproval.
(2) The Commission on EMS shall consider the appeal at their next regularly scheduled Commission meeting, at which time the facility shall have the opportunity to address the Commission. The Commission on EMS shall make a determination within one (1) year of receipt of the appeal.
(i) Poison control center designation shall be for four (4) years at which time a new application for continued poison control center designation shall be submitted.
(j) If a poison control center does not wish to continue being designated, it shall terminate its designation by notifying the EMS Authority at least sixty (60) days before the date of termination stating the reasons for its termination. The EMS Authority shall inform the local EMS agency(s) in the poison control center service area.
(k) The EMS Authority may conduct periodic evaluations of approved poison control centers. This may include a yearly site visit.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Sections 1797.97 and 1798.180, Health and Safety Code. 
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
§100334. Revocation of Designation.
Note     •     History

(a) If the EMS Authority determines that a designated poison control center has not implemented a program consistent with its designation requirements, its designation as a poison control center may be withdrawn.
(b) When the EMS Authority intends to withdraw a poison control center's designation, the Director shall:
(1) Notify the poison control center of the proposed action;
(2) concurrently serve the poison control center with a description of the deficiencies; and
(3) advise the poison control center of the right to a hearing.
(c) The EMS Authority may temporarily terminate designation prior to any hearing when in the opinion of the Director, the action is necessary to protect the public's health or safety. The Director shall:
(1) Notify the poison control center of the temporary suspension and the effective date thereof; and
(2) serve the poison control center with a description of the deficiencies.
(d) When a poison control center receives written notice or service of the EMS Authority's intent to withdraw the poison control center's designation, the poison control center shall have seven (7) working days from the date of receipt of the written notice or service to respond in writing to the EMS Authority's description of deficiencies. Upon receipt of a notice of defense to the allegation by the poison control center, the EMS Authority shall, within fifteen (15) days, set the matter for hearing. The hearing shall be held as soon as possible but not later than thirty (30) days after receipt of the notice.
(e) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination on the merits.
(f) The temporary suspension shall be deemed vacated if the Director fails to make a final determination on the merits within thirty (30) days after the original hearing has been completed.
NOTE

Authority cited: Sections 1797.1, 1797.107 and 1798.180, Health and Safety Code. Reference: Sections 1797.97 and 1798.180, Health and Safety Code.
HISTORY

1. New section filed 2-18-92; operative 3-19-92 (Register 92, No. 13).
Chapter 10. California EMT Central Registry
Article 1. Definitions
§100340. Authority.
Note     •     History

“Authority” means the Emergency Medical Services Authority.
NOTE

Authority cited: Sections 1797.107 and 1797.117, Health and Safety Code. Reference: Sections 1797.54, 1797.109 and 1797.217, Health and Safety Code.
HISTORY

1. New chapter 10 (articles 1-4, sections 100340-100349), article 1 (sections 100340-100343.3) and section filed 5-18-2010 (Register 2010, No. 21).
§100341. California Central Registry.
Note     •     History

“California Central Registry” or “Registry” means the single registry of EMT (Basic) and Advanced EMT certification information and EMT-P (Paramedic) licensure information. The Registry shall be used by certifying entities as part of the certification process and by the Authority as part of the licensure process for EMT-Ps. 
NOTE

Authority cited: Sections 1797.107, 1797.117 and 1797.170, Health and Safety Code. Reference: Sections 1797.117, 1797.172, 1797.184, 1797.210 and 1797.216, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100342. EMT Certifying Entity.
Note     •     History

“EMT certifying entity” means a public safety agency or the Office of the State Fire Marshal if the agency has a training program for EMT personnel that is approved pursuant to the standards developed pursuant to Section 1797.109 of the Health and Safety Code, or the medical director of a local EMS agency (LEMSA). 
NOTE

Authority cited: Sections 1797.107 and 1797.210, Health and Safety Code. Reference: Section 1797.62, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100343. Advanced EMT Certifying Entity.
Note     •     History

“Advanced EMT certifying entity” means the medical director of the LEMSA authorized to certify and recertify applicants for Advanced EMT. 
NOTE

Authority cited: Sections 1797.107, 1797.109, 1797.117, 1797.184(b) and 1797.184(c), Health and Safety Code. Reference: Sections 1797.82, 1797.109, 1797.117, 1797.171, 1797.184, 1797.210 and 1797.217, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100343.1. Criminal Offender Record Information (CORI).
Note     •     History

“Criminal Offender Record Information” or “CORI” means records and data compiled by criminal justice agencies for purposes of identifying criminal offenders and of maintaining as to each such offender a summary of arrests, pretrial proceedings, the nature and disposition of criminal charges, sentencing, incarceration, rehabilitation, and release.
NOTE

Authority cited: Sections 1797.107 and 1797.118, Health and Safety Code. Reference: Sections 1797.117, 1797.118 and 1797.172, Health and Safety Code; and Section 11075, Penal Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100343.2. Subsequent Arrest Notification Report.
Note     •     History

“Subsequent Arrest Notification Report” means reports issued by the Department of Justice (DOJ) to any agency authorized by Section 11105 of the Penal Code to receive state summary criminal history information to assist in fulfilling employment, licensing, or certification duties, upon the arrest of any person whose fingerprints are maintained on file at the DOJ as the result of an application for licensing, employment, or certification, or approval. The subsequent arrest notification shall consist only of any offense an individual is arrested for after the individual's original fingerprint date for an authorized applicant agency.
NOTE

Authority cited: Sections 1797.107 and 1797.118, Health and Safety Code. Reference: Section 1797.117, Health and Safety Code; and Section 11105.2(a), Penal Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100343.3. Live Scan Applicant Submission Form.
Note     •     History

“Live Scan Applicant Submission Form” means the California DOJ “Request for Live Scan Service” application, form “BCII 8016 (06/09).” This form is used to request a state and federal criminal history report upon an individual as authorized by statute. 
NOTE

Authority cited: Sections 1797.107, 1797.117 and 1797.118, Health and Safety Code. Reference: Section 1797.117, Health and Safety Code; and Sections 11075, 11105 and 11105.2, Penal Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 2. General Provisions
§100344. Registry Requirements.
Note     •     History

(a) All EMT and Advanced EMT certifying entities shall enter certification and recertification information, as specified in Section 100346, into the Registry for each certification applicant no later than 14 calendar days from the date the applicant successfully meets the certification or recertification requirements. 
(b) All EMT and Advanced EMT certifying entities shall provide the Authority with current contact information for their certification program that includes the following:
(1) The certifying entity's name.
(2) The certifying entity's address (business address, city, state, zip code).
(3) The certifying entity's telephone number. 
(4) The certifying entity's fax number.
(c) All California issued EMT and Advanced EMT wallet-sized certification cards shall be printed by the certifying entity or the Authority using the Registry. The wallet-sized certification card shall contain the following:
(1) Name of the individual certified.
(2) Date the certificate was issued.
(3) Date of expiration.
(4) Certification status.
(5) Registry number, generated by the registry.
(d) All EMT and Advanced EMT wallet-sized certification cards shall be printed using the single Authority approved format on cards provided by the Authority.
(1) Upon request of a certifying entity, the Authority shall print and issue the certificate. 
(2) A certifying entity that exercises the option in subsection (d)(1) of this section, shall issue a temporary certificate that shall be valid for 45-calendar days and shall contain the following:
(A) Name of the individual certified.
(B) Date the temporary certificate was issued.
(C) Date temporary certificate expires.
(D) Certification status.
(E) Registry number. 
(e) LEMSAs shall update the Registry on certification actions taken on any EMT or Advanced EMT certificate within three (3) working days of either mailing the notification or notifying the individual in person of the certification action imposed. 
(1) Certification action information, contained in the Registry, shall consist of the following for each applicant or certificate holder:
(A) Registry number, generated by the Registry.
(B) Last name.
(C) First name.
(D) Social security number.
(E) Certificate number, if applicable. 
(F) Certifying entity that issued the certificate. 
(G) LEMSA taking certification action. 
(H) Name of the medical director taking certification action.
(I) The type of certification action (denial, revocation, suspension, probation) 
(J) The effective date of certification action and if applicable, in the case of suspension or probation, the expiration date of the certification action. 
(K) Occurrence of any of the actions listed in Section 1798.200(c) of the Health and Safety Code. 
NOTE

Authority cited: Sections 1797.107, 1797.117, 1797.211 and 1797.217, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.117, 1797.211, 1797.217 and 1798.200, Health and Safety Code.
HISTORY

1. New article 2 (sections 100344-100345) and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100345. Fees.
Note     •     History

(a) All monies owed by the certifying entities shall be received by the Authority within thirty (30) days of the last day of the calendar month in which a certificate was issued, unless an agreement for some other payment plan has been made between the certifying entity and the Authority. The following fees shall apply:
(1) $75 per initial EMT or Advanced EMT certificate or per an applicant whose criminal background check from the DOJ is no longer active. 
(2) $37 per EMT or Advanced EMT certification renewal. 
(b) A certifying entity shall pay a penalty of fifteen percent (15%) of the fees owed as specified in Subsection (a) of this Section to the Authority if the fees are not transmitted to the Authority within ninety (90) days of the last day of the calendar month in which a certificate was issued, unless the certifying entity enters into an agreement with the Authority which specifies different terms. 
(c) The Authority may assess a penalty of $500 for failure to update the Registry, within three (3) working days of taking certification action on an EMT or Advanced EMT certificate. 
(d) Failure to comply with any provisions of this Chapter shall result in the suspension of the certifying entity's access to the Registry until such a time that the certifying entity comes into compliance including the receipt of any delinquent fees and/or penalties at the Authority. The process for suspending a certifying entity's access to the Registry will be as follows:
(1) The Authority will notify the certifying entity and their governing board in writing, by registered mail, of the provisions of this Chapter with which the certifying entity is not in compliance. 
(2) Within fifteen (15) working days of receipt of the notification of noncompliance, the certifying entity shall submit in writing, by registered mail, to the Authority one of the following:
(A) Evidence of compliance with the provisions of this Chapter, or
(B) A plan for meeting compliance with the provisions of this Chapter within thirty (30) calendar days from the day of receipt of the notification of noncompliance. 
(3) After thirty (30) calendar days from the mailing date of the noncompliance notification if no response pursuant to subsection (2) above is received from the certifying entity, the Authority shall suspend the certifying entity's access to the Registry and shall notify in writing, by registered mail, the certifying entity and their governing board of the suspension and the necessary steps that must be completed by the certifying entity in order to restore access to the Registry.
NOTE

Authority cited: Sections 1797.107, 1797.117, 1797.211 and 1797.217, Health and Safety Code. Reference: Sections 1797.62, 1797.211 and 1797.217, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 3. Central Registry Data Requirements
§100346. Certifying Entity Requirements.
Note     •     History

(a) Each EMT or Advanced EMT certifying entity shall directly enter the following certification information on each EMT or Advanced EMT applicant into the Registry:
(1) First name,
(2) Last name,
(3) Middle name, if available,
(4) Date of Birth,
(5) Phone number,
(6) Mailing address,
(7) Residential Address, if different from mailing address,
(8) City of residence,
(9) State of residence,
(10) Zip code of residence,
(11) Social security number,
(12) Relevant employer as defined in Chapter 6 of this division, if applicable,
(13) Prior certifying entity, if applicable, 
(14) Prior certification number, if applicable,
(15) Beginning on or after July 1, 2010, date that a live scan was completed for the DOJ CORI, or, if finger print images were previously submitted, a letter from either the employer or the certifying entity verifying CORI with subsequent arrest notification report was completed and that the individual is not precluded from EMT or Advanced EMT certification, 
(16) Date EMT or Advanced EMT certification was issued, 
(17) Expiration date of EMT or Advanced EMT certification,
(18) Current certification status:
(A) Active
(B) Expired
(C) Denied
(D) Revoked
(E) Suspended
1. Suspension effective date
2. Suspension expiration date
(F) Placed on probation
1. Probation effective date
2. Probation expiration date
(G) LEMSA that took certification action.
(b) EMT or Advanced EMT certification information available to EMT or Advanced EMT certifying entities:
(1) First name,
(2) Last name,
(3) Middle name, if available,
(4) Date of Birth,
(5) Phone number,
(6) Mailing address,
(7) Residential Address, if different from mailing address,
(8) City of residence,
(9) State of residence,
(10) Zip code of residence,
(11) Social security number,
(12) Relevant employer as defined in Chapter 6 of this division, if applicable,
(13) Registry number,
(14) Prior certifying entity, 
(15) Prior certification number,
(16) Beginning on or after July 1, 2010, date that a live scan was completed for the DOJ CORI, or if finger print images were previously submitted, a letter from either employer or certifying entity verifying CORI with subsequent arrest notification report was completed and that the individual is not precluded from EMT or Advanced EMT certification, 
(17) Date EMT or Advanced EMT certification was issued, 
(18) Expiration date of EMT or Advanced EMT certification,
(19) Current certification status:
(A) Active
(B) Expired
(C) Denied
(D) Revoked
(E) Suspended
1. Suspension effective date
2. Suspension expiration date
(F) Placed on probation
1. Probation effective date
2. Probation expiration date
(G) LEMSA that took certification action.
NOTE

Authority cited: Sections 1797.107, 1797.117, 1797.211 and 1797.217, Health and Safety Code. Reference: Sections 1797.61, 1797.62, 1797.117, 1797.211, 1797.217 and 1798.200, Health and Safety Code. 
HISTORY

1. New article 3 (sections 100346-100346.1) and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100346.1. Public Access to Central Registry Data.
Note     •     History

The following EMT or Advanced EMT certification information will be available to the public:
(a) First name,
(b) Last name,
(c) Middle name, if available,
(d) EMT or Advanced EMT certifying entity,
(e) Registry number,
(f) Current certification status:
(1) Active
(2) Expired
(3) Denied
(4) Revoked
(5) Suspended
(A) Suspension effective date
(B) Suspension expiration date
(6) Placed on probation
(A) Probation effective date
(B) Probation expiration date
(7) LEMSA that took certification action.
NOTE

Authority cited: Sections 1797.107 and 1797.117, Health and Safety Code. Reference: Section 1797.117, Health and Safety Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Article 4. Background Checks for EMT and Advanced EMT
§100347. Responsibility of the Initial and Recertification Applicant.
Note     •     History

(a) Starting July 1, 2010, unless all the requirements and conditions as specified below in Section 100348 are met, the EMT and Advanced EMT initial applicant or recertification applicant shall do all of the following:
(1) Submit a completed request for “Live Scan Applicant Submission Form, BCII 8016 (Rev 06/09),” to the California DOJ for a state and federal CORI search in accordance with the provisions of Section 11105 (p) (1) of the California Penal Code; and,
(2) The CORI request shall include a subsequent arrest notification report in accordance with the provisions of Section 11105.2 of the California Penal Code; and,
(3) The EMT and/or Advanced EMT applicant will designate that both the state and federal CORI search results and the subsequent arrest notification reports shall be reported to the certifying entity and the Authority. 
(b) If the requirements specified in subsection (a) are fulfilled, the fee for recertification shall be as specified in subsection 100345(a)(1) of this Chapter.
NOTE

Authority cited: Section 1797.107, Health and Safety Code. Reference: Sections 1797.117, 1797.118 and 1797.217, Health and Safety Code; and Sections 11075 and 11105.2, Penal Code.
HISTORY

1. New article 4 (sections 100347-100349) and section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100348. Responsibility of Certifying Entity and/or Employers Prior to July 1, 2010.
Note     •     History

(a) If prior to July 1, 2010, for the purposes of employment or EMT, Advanced EMT, or EMT-II certification/recertification, the certifying entity or an ambulance service permitted by the California Highway Patrol or a public safety agency that employs firefighters, lifeguards or peace officers (as defined in Chapter 1.5 of this Division) has fulfilled all the requirements specified within subsection 100348(a)(1)(2)(3), then the condition stated in the second sentence of subsection 100348(a)(3) may apply. To qualify for that subsection 100348(a)(3) condition eligibility, the certifying entity and/or employer entity must:
(1) Have conducted a previous state level CORI search on the EMT, Advanced EMT, or EMT-II certificate holder prior to July 1, 2010; 
(2) Be actively receiving subsequent arrest notification reports from the California DOJ prior to July 1, 2010 on the EMT, Advanced EMT, or EMT-II certificate holder, and must,
(3) Verify in writing to the Authority that a state level CORI search, including subsequent arrest notification report, has been conducted and that nothing in the CORI search precluded the applicant from obtaining EMT, Advanced EMT, or EMT-II certification/recertification pursuant to Section 100214.3(c) of Chapter 6, of this Division. Upon receipt of this written notification by the Authority, the requirement specified in subsection 100347(a) shall be deemed fulfilled so long as active subsequent arrest reports for the EMT, Advanced EMT, or EMT-II certificate holder are being received by the certifying entity and/or employer.
(b) If the requirements specified in subsection (a) are fulfilled, the fee for recertification shall be as specified in subsection 100345(a)(2) of this Chapter.
NOTE

Authority cited: Sections 1797.107 and 1797.118, Health and Safety Code. Reference: Sections 1797.117, 1797.118, 1797.216 and 1797.217, Health and Safety Code; and Sections 11075 and 11105.2, Penal Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
§100349. Responsibility of Certifying Entity and/or Employer After Terminating Certification or Employment Relationship.
Note     •     History

Certifying entities and/or employers that receive a CORI report, including a subsequent arrest notification report, that no longer certify/recertify or employ an EMT or an Advanced EMT shall notify the California DOJ using the “No Longer Interested Notification Form (BCII 8302, Rev 08/07)” within twelve months of the certification lapse that they no longer have a business need to receive the CORI on that individual. 
NOTE

Authority cited: Sections 1797.107 and 1797.118, Health and Safety Code. Reference: Sections 1797.117, 1797.210 and 1797.217, Health and Safety Code; and Sections 11075 and 11105.2, Penal Code.
HISTORY

1. New section filed 5-18-2010; operative 6-17-2010 (Register 2010, No. 21).
Chapter 11. EMS Continuing Education
Article 1. Definitions
§100390. Emergency Medical Services (EMS) Continuing Education (CE) Provider.
Note     •     History

EMS Continuing Education Provider means an individual or organization approved by the requirements of this Chapter, to conduct continuing education courses, classes, activities or experiences and issue earned continuing education hours to EMS Personnel for the purposes of maintaining certification/licensure or re-establishing lapsed certification or licensure. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New chapter 11 (articles 1-6), article 1 (sections 100390-100390.7) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100390.1. EMS Service Provider.
Note     •     History

EMS Service Provider means an organization employing certified EMT-I, certified EMT-II or licensed paramedic personnel for the delivery of emergency medical care to the sick and injured at the scene of an emergency, during transport, or during interfacility transfer. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100390.2. EMS System Quality Improvement Program.
Note     •     History

“Emergency Medical Services System Quality Improvement Program” or “QIP” means methods of evaluation that are composed of structure, process, and outcome evaluations which focus on improvement efforts to identify root causes of problems, intervene to reduce or eliminate these causes, and take steps to correct the process pursuant to Chapter 12 of Division 9, Title 22, California Code of Regulations. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100390.3. Continuing Education.
Note     •     History

Continuing education (CE) is a course, class, activity, or experience designed to be educational in nature, with learning objectives and performance evaluations for the purpose of providing EMS personnel with reinforcement of basic EMS training as well as knowledge to enhance individual and system proficiency in the practice of pre-hospital emergency medical care. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100390.4. Continuing Education Hour (CEH).
Note     •     History

(a) One continuing education hour (CEH) is any one of the following: 
(1) Every fifty minutes of approved classroom or skills laboratory activity. 
(2) Each hour of structured clinical or field experience when monitored by a preceptor assigned by an EMS training program, EMS service provider, hospital or alternate base station approved according to this Division. 
(3) Each hour of media based/serial production CE as approved by the CE provider approving authority. 
(b) Continuing Education courses or activities shall not be approved for less than one hour of credit. 
(c) For courses greater than one CEH, credit may be granted in no less than half hour increments. 
(d) Ten CEHs will be awarded for each academic quarter unit or fifteen CEHs will be awarded for each academic semester unit for college courses in physical, social or behavioral sciences (e.g., anatomy, physiology, sociology, psychology). 
(e) CE hours will not be awarded until the written and/or skills competency based evaluation, as required by Section 100391(c), has been passed. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100390.5. CE Provider Approving Authority.
Note     •     History

(a) Courses and/or CE providers approved by the Continuing Education Coordinating Board for Emergency Medical Services (CECBEMS) or approved by EMS offices of other states are approved for use in California and need no further approval. 
(b) Courses in physical, social or behavioral sciences offered by accredited colleges and universities are approved for CE and need no further approval. 
(c) The local EMS agency shall be the agency responsible for approving EMS Continuing Education Providers whose headquarters are located within the geographical jurisdiction of that local EMS agency if not approved according to subsections (a) or (b) of this section. 
(d) The EMS Authority shall be the agency responsible for approving CE providers for statewide public safety agencies and CE providers whose headquarters are located out-of-state if not approved according to subsections (a) or (b) of this Section. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100390.6. National Standard Curriculum.
Note     •     History

National Standard Curriculum means the curricula developed under the auspices of the United States Department of Transportation, National Highway Traffic Safety Administration for the specified level of training of EMS Personnel which includes the following incorporated herein by reference: Emergency Medical Technician-Basic: National Standard Curriculum, DOT HS 808 149, August 1994; Emergency Medical Technician-Intermediate: National Standard Curriculum, DOT HS 809 016, December 1999; and Emergency Medical Technician-Paramedic: National Standard Curriculum DOT HS 808 862, March 1999. These curricula are incorporated herein by reference and can be accessed at the U.S. Department of Transportation, National Highway Traffic Safety Administration website www.nhtsa.dot.gov/people/injury/ems/products.htm. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100390.7. Pre-Hospital Emergency Medical Care Personnel.
Note     •     History

For the purpose of this chapter, Pre-hospital Emergency Medical Care Personnel or EMS Personnel means EMT-I, EMT-II or EMT-Paramedic as defined in Health and Safety Code Sections 1797.80, 1797.82, and 1797.84, respectively. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Article 2. Approved Continuing Education
§100391. Continuing Education Topics.
Note     •     History

(a) Continuing education for EMS personnel shall be in any of the topics contained in the respective National Standard Curricula for training EMS personnel, except as provided in Section 100391.1(a)(8) of this Chapter. 
(b) In lieu of completing the required CEH, EMT-I certification can be maintained by successfully completing an approved refresher course pursuant to Section 100080 of Chapter 2, Division 9, Title 22, California Code of Regulations. 
(c) All approved CE shall contain a written and/or skills competency based evaluation related to course, class, or activity objectives. 
(d) Approved CE courses shall be accepted statewide. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New article 2 (sections 100391-100391.1) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100391.1. Continuing Education Delivery Formats and Limitations.
Note     •     History

(a) Delivery formats for CE courses shall be by any of the following: 
(1) Classroom -- didactic and/or skills laboratory where direct interaction with instructor is possible. 
(2) Organized field care audits of patient care records; 
(3) Courses offered by accredited universities and colleges, including junior and community colleges; 
(4) Structured clinical experience, with instructional objectives, to review or expand the clinical expertise of the individual. 
(5) Media based and/or serial productions (e.g. films, videos, audiotape programs, magazine articles offered for CE credit, home study, computer simulations or interactive computer modules). 
(6) Precepting EMS students or EMS personnel as a hospital clinical preceptor, as assigned by an EMS training program, an EMS service provider, a hospital or alternate base station approved according to this Division. In order to issue CE for precepting EMS students or EMS personnel, an EMS service provider, hospital or alternate base station must be a CE provider approved according to this Chapter. CE for precepting can only be given for actual time spent precepting a student or EMS personnel and must be issued by the EMS training program, EMS service provider, hospital or alternate base station that has an agreement or contract with the hospital clinical preceptor or with the preceptor's employer. 
(7) Precepting EMS students or EMS personnel as a field preceptor, as assigned by an EMS training program or an EMS service provider approved according to this Division. CE for precepting can only be given for actual time precepting a student and must be issued by the EMS training program or EMS service provider that has an agreement or contract with the field preceptor or with the preceptor's employer. In order to issue CE for precepting EMS students or EMS personnel, an EMS service provider must be a CE provider approved according to this Chapter. 
(8) Advanced topics in subject matter outside the scope of practice of the certified or licensed EMS personnel but directly relevant to emergency medical care (e.g. surgical airway procedures). 
(9) At least fifty percent of the required CE hours must be in a format that is instructor based, which means that instructor resources are readily available to the student to answer questions, provide feedback, provide clarification, and address concerns (e.g., on-line CE courses where an instructor is available to the student). This provision shall not include precepting or magazine articles for CE credit. The CE provider approving authority shall determine whether a CE course, class or activity is instructor based. 
(10) During a certification or licensure cycle, an individual may receive credit, one time only, for service as a CE course, class, or activity instructor. Credit received shall be the same as the number of CE hours applied to the course, class, or activity. 
(11) During a certification or licensure cycle, an individual may receive credit, one time only, for service as an instructor for one of the following, an approved EMT-I, EMT-II, or paramedic training program, except that the hours of service shall not exceed fifty percent of the total CE hours required in a single certification or licensure cycle. 
(12) When guided by the EMS service provider's QIP, an EMS service provider that is an approved CE provider may issue CEH for skills competency demonstrations to address any deficiencies identified by the service provider's QIP. Skills competency demonstration shall be conducted in accordance with the respective National Standard Curriculum skills outline or in accordance with the policies and procedures of the local EMS agency medical director. 
(b) An individual may receive credit for taking the same CE course, class, or activity no more than two times during a single certification or licensure cycle. 
(c) Local EMS agencies may not require additional continuing education hours for accreditation. 
(d) If it is determined through a QIP that EMS personnel working in a local EMS system need remediation or refresher in an area of the individual's knowledge and/or skills, a local EMS agency medical director or an EMS service provider may require the EMS personnel to take an approved CE course with learning objectives that addresses the remediation or refresher needed, as part of the individual's required hours of CE for maintaining certification or licensure. 
(e) Because paramedic license renewal applications are due to the EMS Authority thirty days prior to the expiration date of a paramedic license, a continuing education course(s) taken in the last month of a paramedic's licensure cycle, may be applied to the paramedic's subsequent licensure cycle, if that CE course(s) was not applied to the licensure cycle during which the CE course(s) was taken. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Article 3. Continuing Education Records
§100392. Continuing Education Records.
Note     •     History

(a) In order for CE to satisfy the requirements for maintaining EMS personnel certification or licensure, CE shall be completed during the current certification/licensure cycle, except as provided in Section 100391.1(e) of this Chapter, and shall be submitted to the appropriate certifying/licensing authority. 
(b) In order for CE to satisfy the requirements for renewal of a lapsed certificate/license, CE shall be valid for a maximum of two years prior to the date of a completed application for certificate/license renewal. 
(c) EMS personnel shall maintain for four years CE certificates issued to them by any CE provider. 
(d) CE certificates may be audited for cause by the certifying/licensing authority or as part of the certifying/licensing authority's continuing education verification process. 
(e) Approved CE provider record requirements are contained in Section 100395, sub-sections (b) and (l) of this Chapter. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New article 3 (section 100392) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Article 4. CE Provider Approval Process
§100393. Application for Approval.
Note     •     History

(a) In order to be an approved CE provider, an organization or individual shall submit an application packet for approval to the appropriate CE approving authority, along with the fee specified by that authority. 
(1) The fee assessed by the EMS Authority is specified in Section 100171(b)(7) of Chapter 4, Division 9, Title 22, California Code of Regulations. 
(b) The application packet shall include, but may not be limited to: 
(1) Name and address of the applicant; 
(2) Name of the program director, program clinical director, and contact person, if other than the program director or clinical director; 
(3) The type of entity or organization requesting approval; and, 
(4) The resumes of the program director and the clinical director. 
(c) The CE approving authority shall, within fourteen working days of receiving a request for approval, notify the CE provider that the request has been received, and shall specify what information, if any, is missing. 
(d) The CE approving authority shall approve or disapprove the CE request within sixty calendar days of receipt of the completed request. 
(e) If the CE request is approved, the CE approving authority shall issue a CE provider number according to the standardized sequence developed by the EMS Authority. 
(f) The CE approving authority may approve CE providers for up to four years, and may monitor the compliance of CE providers to the standards established by the CE approving authority. 
(g) When a CE provider is approved by either a local EMS agency or the EMS Authority, the CE provider is approved to conduct CE courses statewide. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New article 4 (sections 100393-100393.1) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100393.1. Application for Renewal.
Note     •     History

(a) The CE provider shall submit an application for renewal at least sixty calendar days before the expiration date of their CE provider approval in order to maintain continuous approval. 
(b) All CE provider requirements shall be met and maintained for renewal as specified in Section 100395 of this Chapter. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Article 5. CE Provider Denial/Disapproval Process
§100394. CE Provider Disapproval.
Note     •     History

(a) Noncompliance with any criterion required for CE provider approval, use of any unqualified teaching personnel, or noncompliance with any other applicable provision of this Chapter may result in denial, probation, suspension or revocation of CE provider approval by the CE approving authority. 
(b) Notification of noncompliance and action to place on probation, suspend or revoke shall be carried out as follows: 
(1) A CE approving authority shall notify the approved CE provider program director in writing, by certified mail, of the provision of this Chapter with which the CE provider is not in compliance. 
(2) Within fifteen days of receipt of the notification of noncompliance, the approved CE provider shall submit in writing, by certified mail, to the approving authority one of the following: 
(A) Evidence of compliance with the provisions of this Chapter, or 
(B) A plan for meeting compliance with the provisions of this Chapter within sixty days from the date of receipt of the notification of noncompliance. 
(3) Within fifteen days of receipt of the response from the approved CE provider, or within thirty days from the mailing date of the noncompliance notification if no response is received from the approved CE provider, the CE approving authority shall notify the EMS Authority and the approved CE provider in writing, by certified mail, of the decision to accept the evidence of compliance, accept the plan for meeting compliance, or place on probation, suspend or revoke the CE provider approval. 
(4) If the CE provider approving authority decides to place on probation, suspend or revoke the CE provider's approval, the notification specified in sub-section (b)(3) of this section shall include the beginning and ending dates of the probation or suspension and the terms and conditions for lifting of the probation or suspension or the effective date of the revocation, which may not be less than sixty days from the date of the CE approving authority's letter of decision to the EMS Authority and the CE provider. 
(c) If CE provider status is suspended or revoked, approval for CE credit shall be withdrawn for all CE programs scheduled after the date of action. 
(d) The CE approving authority shall notify the EMS Authority of each CE provider approved, placed on probation, suspended or revoked within its jurisdiction within thirty calendar days of action. 
(e) The EMS Authority shall maintain a list of all CE providers that are approved, placed on probation, suspended or revoked and shall post the listing on the EMS Authority's website. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code; and Section 15376, Government Code. 
HISTORY

1. New article 5 (section 100394) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Article 6. CE Providers for EMS Personnel
§100395. CE Provider Requirements.
Note     •     History

(a) In order to be approved as an EMS continuing education provider, the provisions in this Section shall be met. 
(1) The applicant shall submit an application packet as specified in Section 100393(b) of this Chapter and any required fee to the approving authority at least sixty calendar days prior to the date of the first educational activity. 
(b) An approved CE provider shall ensure that: 
(1) The content of all CE is relevant, designed to enhance the practice of EMS emergency medical care, and be related to the knowledge base or technical skills required for the practice of emergency medical care. 
(2) Records shall be maintained for four years and shall contain the following: 
(A) Complete outlines for each course given, including a brief overview, instructional objectives, comprehensive topical outline, method of evaluation and a record of participant performance; 
(B) Record of time, place, and date each course is given and the number of CE hours granted; 
(C) A curriculum vitae or resume for each instructor; 
(D) A roster signed by course participants, or in the case of media based/serial production courses, a roster of course participants, to include name and certificate or license number of EMS personnel taking any CE course, class, or activity and a record of any course completion certificate(s) issued. 
(c) The CE approving authority shall be notified within thirty calendar days of any change in name, address, telephone number, program director, clinical director or contact person. 
(d) All records shall be made available to the CE approving authority upon request. A CE provider shall be subject to scheduled site visits by the approving authority. 
(e) Individual classes, courses or activities shall be open for scheduled or unscheduled visits by the CE approving authority and/or the local EMS agency in whose jurisdiction the CE course, class or activity is being offered. 
(f) Each CE provider shall provide for the functions of administrative direction, medical quality coordination and actual program instruction through the designation of a program director, a clinical director and instructors. Nothing in this section precludes the same individual from being responsible for more than one of these functions. 
(g) Each CE provider shall have an approved program director, who is qualified by education and experience in methods, materials and evaluation of instruction, which shall be documented by at least forty hours in teaching methodology. Following, but not limited to, are examples of courses that meet the required instruction in teaching methodology: 
(1) California State Fire Marshal (CSFM) “Fire Instructor 1A and 1B”; or 
(2) National Fire Academy (NFA) “Fire Service Instructional Methodology” course; or 
(3) a training program that meets the U. S. Department of Transportation/National Highway Traffic Safety Administration 2002 Guidelines for Educating EMS Instructors, such as the EMS Educator Course of the National Association of EMS Educators. 
(4) Individuals with equivalent experience may be provisionally approved for up to two years by the approving authority pending completion of the above specified requirements. Individuals with equivalent experience who teach in geographic areas where training resources are limited and who do not meet the above program director requirements may be approved upon review of experience and demonstration of capabilities. 
(h) The duties of the program director shall include, but not be limited to: 
(1) Administering the CE program and ensuring adherence to state regulations and established local policies. 
(2) Approving course, class, or activity, including instructional objectives, and assigning CEH to any CE program which the CE provider sponsors; approving all methods of evaluation, coordinating all clinical and field activities approved for CE credit; approving the instructor(s) and signing all course, class, or activity completion records and maintaining those records in a manner consistent with these guidelines. The responsibility for signing course, class, or activity completion records may be delegated to the course, class, or activity instructor. 
(i) Each CE provider shall have an approved clinical director who is currently licensed as a physician, registered nurse, physician assistant, or paramedic. In addition, the clinical director shall have had two years of academic, administrative or clinical experience in emergency medicine or EMS care within the last five years. The duties of the clinical director shall include, but not be limited to, monitoring all clinical and field activities approved for CE credit, approving the instructor(s), and monitoring the overall quality of the EMS content of the program. 
(j) Each CE provider instructor shall be approved by the program director and clinical director as qualified to teach the topics assigned, or have evidence of specialized training which may include, but is not limited to, a certificate of training or an advanced degree in a given subject area, or have at least one year of experience within the last two years in the specialized area in which they are teaching, or be knowledgeable, skillful and current in the subject matter of the course, class or activity. 
(k) Continuing education credit shall be assigned on the following basis: 
(1) Classes or activities less than one CEH in duration will not be approved. 
(2) For courses greater than one CEH, credit may be granted in no less than half hour increments. 
(l) Each CE provider shall maintain for four years: 
(1) Records on each course, class, or activity including, but not limited to, title, objectives, outlines, qualification of instructors, dates of instruction, location, participant rosters, sample tests or other methods of evaluation, and records of course, class, or activity completions issued. 
(2) Summaries of test results, or other methods of evaluation. The type of evaluation used may vary according to the instructor, content of program, number of participants and method of presentation. 
(m) Providers shall issue to the participant a tamper resistant document or certificate of proof of successful completion of a course, class, or activity within thirty calendar days of completion of the course, class, or activity. The CE certificate or documentation of successful completion must contain the name of participant, certificate or license number, class title, CE provider name and address, date of course, class, or activity and signature of program director or class instructor. A digitally reproduced signature of the program director or class instructor is acceptable for media based/serial production CE courses. In addition, the following statements shall be printed on the certificate of completion with the appropriate information filled in: 
“This course has been approved for (number) hours of continuing education by an approved California EMS CE Provider and was (check one) ____ instructor-based, ____ non-instructor based”. “This document must be retained for a period of four years” 
“California EMS CE Provider # _______ - ___________” 
(n) Information disseminated by CE providers publicizing CE must include at a minimum the following: 
(1) CE provider's policy on refunds in cases of nonattendance by the registrant or cancellation by provider; 
(2) a clear, concise description of the course, class or activity content, objectives and the intended target audience (e.g. paramedic, EMT-II, EMT-I, First Responder or all); 
(3) CE provider name, as officially on file with the approving authority; and 
(4) specification of the number of CE hours to be granted. Copies of all advertisements disseminated to the public shall be sent to the approving authority and the local EMS agency in whose jurisdiction the course, class, or activity is conducted prior to the beginning of the course, class, or activity. However, the approving authority or the local EMS agency may request that copies of the advertisements not be sent to them. 
(o) When two or more CE providers co-sponsor a course, class, or activity, only one approved CE provider number will be used for that course, class, or activity and the CE provider, whose number is used, assumes the responsibility for meeting all applicable requirements of this Chapter. 
(p) An approved CE provider may sponsor an organization or individual that wishes to provide a single course, class or activity. The approved CE provider shall be responsible for ensuring the course, class, or activity meets all requirements and shall serve as the CE provider of record. The approved CE provider shall review the request to ensure that the course, class, or activity complies with the minimum requirements of this Chapter. 
NOTE

Authority cited: Sections 1797.107, 1797.172, 1797.174, 1797.175, 1797.185 and 1797.194, Health and Safety Code. Reference: Sections 1797.7, 1797.172, 1797.185 and 1797.214, Health and Safety Code. 
HISTORY

1. New article 6 (section 100395) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Chapter 12. EMS System Quality Improvement
Article 1. Definitions
§100400. Emergency Medical Services System Quality Improvement Program.
Note     •     History

“Emergency Medical Services System Quality Improvement Program” or EMS QI Program means methods of evaluation that are composed of structure, process, and outcome evaluations which focus on improvement efforts to identify root causes of problems, intervene to reduce or eliminate these causes, and take steps to correct the process and recognize excellence in performance and delivery of care.
NOTE

Authority cited: Sections 1797.103, 1797.107, 1797.174 and 1797.176, Health and Safety Code. Reference: Sections 1797.174, 1797.202, 1797.204, 1797.220 and 1798.175, Health and Safety Code.
HISTORY

1. New chapter 12 (articles 1-5), article 1 (sections 100400-100401) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
§100401. EMS Service Provider.
Note     •     History

“EMS Service Provider” means an organization employing certified EMT-I, certified EMT-II or licensed paramedic personnel for the delivery of emergency medical care to the sick and injured at the scene of an emergency, during transport, or during interfacility transfer.
NOTE

Authority cited: Sections 1797.107, 1797.174 and 1797.176, Health and Safety Code. Reference: Section 1797.174, Health and Safety Code.
HISTORY

1. New section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Article 2. EMS Service Provider
§100402. EMS Service Provider Responsibilities.
Note     •     History

(a) An EMS service provider shall:
(1) Develop and implement, in cooperation with other EMS system participants, a provider-specific written EMS QI program, as defined in Section 100400 of this Chapter. Such programs shall include indicators, as defined in Section III and Appendix E of the Emergency Medical Services System Quality Improvement Program Model Guidelines, which address, but are not limited to, the following:
(A) Personnel
(B) Equipment and Supplies
(C) Documentation
(D) Clinical Care and Patient Outcome
(E) Skills Maintenance/Competency
(F) Transportation/Facilities
(G) Public Education and Prevention
(H) Risk Management 
(2) Review the provider-specific EMS QI Program annually for appropriateness to the operation of the EMS provider and revise as needed.
(3) Participate in the local EMS agency's EMS QI Program that may include making available mutually agreed upon relevant records for program monitoring and evaluation.
(4) Develop, in cooperation with appropriate personnel/agencies, a performance improvement action plan when the EMS QI Program identifies a need for improvement. If the area identified as needing improvement includes system clinical issues, collaboration is required with the provider medical director and the local EMS agency medical director or his/her designee if the provider does not have a medical director.
(5) Provide the local EMS agency with an annual update, from date of approval and annually thereafter, on the provider EMS QI Program. The update shall include, but not be limited to, a summary of how the EMS provider's EMS QI Program addressed the program indicators.
(b) The EMS provider EMS QI Program shall be in accordance with the Emergency Medical Services Quality Improvement Program Model Guidelines (Rev. 3/04), incorporated herein by reference, and shall be approved by the local EMS agency. This is a model program which will develop over time and is to be tailored to the individual organization's quality improvement needs and is to be based on available resources for the EMS QI program.
(c) The provider EMS QI Program shall be reviewed by the local EMS agency at least every five years.
NOTE

Authority cited: Sections 1797.103, 1797.107, 1797.174 and 1797.176, Health and Safety Code. Reference: Sections 1797.174 and 1797.220, Health and Safety Code.
HISTORY

1. New article 2 (section 100402) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Article 3. Paramedic Base Hospital
§100403. Paramedic Base Hospital and Alternate Base Station Responsibilities.
Note     •     History

(a) A paramedic base hospital and alternate base station shall:
(1) Develop and implement, in cooperation with other EMS system participants, a hospital-specific written in EMS QI program, as defined in Section 100400 of this Chapter. Such programs shall include indicators, as defined in Section III and Appendix E of the Emergency Medical Services System Quality Improvement Program Model Guidelines, which address, but are not limited to, the following:
(A) Personnel
(B) Equipment and Supplies
(C) Documentation
(D) Clinical Care and Patient Outcome
(E) Skills Maintenance/Competency
(F) Transportation/Facilities
(G) Public Education and Prevention
(H) Risk Management
(2) Review hospital-specific EMS QI Program annually for appropriateness to the operation of the base hospital or alternative base station and revise as needed.
(3) Participate in the local EMS agency's EMS QI Program that may include making available mutually agreed upon relevant records for program monitoring and evaluation.
(4) Develop, in cooperation with appropriate personnel/agencies, a performance improvement action plan when the base hospital or alternative base station EMS QI Program identifies a need for improvement. If the area identified as needing improvement includes system clinical issues, collaboration with the base hospital medical director or his/her designee or alternate base station medical director or his/her designee is required.
(5) Provide the local EMS agency with an annual update, from date of approval and annually thereafter, on the hospital EMS QI Program. The update shall include, but not be limited to, a summary of how the base hospital/alternate base station's EMS QI Program addressed the program indicators.
(b) The base hospital/alternate base station EMS QI Program shall be in accordance with the Emergency Medical Services Quality Improvement Program Model Guidelines (Rev. 3/04), incorporated herein by reference, and shall be approved by the local EMS agency. This is a model program which will develop over time and is to be tailored to the individual organization's quality improvement needs and is to be based on available resources for the EMS QI program.
(c) The base hospital/alternate base station EMS QI Program shall be reviewed by the local EMS agency at least every five years.
NOTE

Authority cited: Sections 1797.103, 1797.107, 1797.174 and 1797.176, Health and Safety Code. Reference: Sections 1797.174, 1797.220 and 1798.2, Health and Safety Code.
HISTORY

1. New article 3 (section 100403) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Article 4. Local EMS Agency
§100404. Local EMS Agency.
Note     •     History

(a) The local EMS agency shall:
(1) Develop and implement, in cooperation with other EMS system participants, a system-wide written EMS QI program, as defined in Section 100400 of this Chapter. Such programs shall include indicators, as defined in Section III and Appendix E of the Emergency Medical Services System Quality Improvement Program Model Guidelines, which address, but are not limited to, the following:
(A) Personnel
(B) Equipment and Supplies
(C) Documentation
(D) Clinical Care and Patient Outcome
(E) Skills Maintenance/Competency
(F) Transportation/Facilities
(G) Public Education and Prevention
(H) Risk Management
(2) Review system-wide EMS QI Program annually for appropriateness to the system and revise as needed.
(3) Develop, in cooperation with appropriate personnel/agencies, a performance improvement action plan when the EMS QI Program identifies a need for improvement. If the area identified as needing improvement includes system clinical issues, collaboration is required with the local EMS agency medical director.
(4) Provide the EMS Authority with an annual update, from date of approval and annually thereafter, on the local EMS Agency's EMS QI Program. The update shall include, but not be limited to, a summary of how the local EMS Agency's EMS QI Program addressed the program indicators.
(b) The local EMS Agency EMS QI Program shall be in accordance with the Emergency Medical Services System Quality Improvement Program Model Guidelines (Rev. 3/04), incorporated herein by reference, and shall be approved by the EMS Authority. This is a model program which will develop over time and is to be tailored to the individual organization's quality improvement needs and is to be based on available resources for the EMS QI program.
(c) The local EMS Agency EMS QI Program shall be reviewed by the EMS Authority at least every five years.
NOTE

Authority cited: Sections 1797.103, 1797.107, 1797.174 and 1797.176, Health and Safety Code. Reference: Sections 1797.94, 1797.174, 1797.202, 1797.204, 1797.220 and 1798, Health and Safety Code.
HISTORY

1. New article 4 (section 100404) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Article 5. EMS Authority
§100405. EMS Authority.
Note     •     History

(a) The EMS Authority shall:
(1) Develop and implement, in cooperation with other EMS system participants, a state-wide written EMS QI program, as defined in Section 100400 of the Chapter. Such programs shall include indicators, as defined in Section III and Appendix E of the Emergency Medical Services System Quality Improvement Program Model Guidelines, which address, but are not limited to, the following:
(A) Personnel
(B) Equipment and Supplies
(C) Documentation
(D) Clinical Care and Patient Outcome
(E) Skills Maintenance/Competency
(F) Transportation/Facilities
(G) Public Education and Prevention
(H) Risk Management
(2) Review state EMS QI Program annually for appropriateness to the state and revise as needed.
(3) Develop, in cooperation with appropriate personnel/agencies, a performance improvement action plan when the EMS QI Program identifies a need for improvement. If the area identified as needing improvement includes clinical issues, collaboration is required with the EMS Authority medical consultant.
(4) Provide the local EMS Agencies with an annual update on the EMS Authority's EMS QI Program. The update shall include, but not be limited to, a summary of how the EMS Authority's EMS QI Program addressed the state indicators.
(b) The EMS Authority EMS QI Program shall be in accordance with the Emergency Medical Services System Quality Improvement Program Model Guidelines (Rev. 3/04), incorporated herein by reference. This is a model program which will develop over time and is to be tailored to the individual organization's quality improvement needs and is to be based on available resources for the EMS QI program.
NOTE

Authority cited: Sections 1797.103, 1797.107, 1797.174 and 1797.176, Health and Safety Code. Reference: Sections 1797.54 and 1797.174, Health and Safety Code.
HISTORY

1. New article 5 (section 100405) and section filed 9-10-2004; operative 10-10-2004 (Register 2004, No. 37).
Division 10. California Medical Assistance Commission
Chapter 1. Introduction
Article 1. Definitions
§100501. Definitions.
Note     •     History

Unless otherwise specified, as used in this Division:
(1) Commission. “Commission” means the California Medical Assistance Commission.
(2) Contract. “Contract” means a written agreement, or amendments to such an agreement, between a health care provider and the State of California, the terms, services, and rate(s) of which were negotiated by the commission, its executive director, or the Office of Special Health Care Negotiations, or an amendment or modification to such agreement.
(3) Contractor. “Contractor” means a health care provider who is a party to a contract or who is negotiating a proposed contract.
(7) Members, Chairperson, Executive Director. “Members,” “chairperson” and “executive director” mean respectively the members and chairperson of, and the executive director to the California Medical Assistance Commission.
NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14081, 14082.5, 14165, 14165.1 and 14165.3, Welfare and Institutions Code.
HISTORY

1. New Division 10 (Chapters 1-3, Sections 100501-100527, not consecutive) filed 6-30-83 as an emergency; designated effective 7-1-83 (Register 83, No. 27). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-29-83.
2. Certificate of Compliance including amendment transmitted to OAL 10-28-83 and filed 12-27-83 (Register 83, No. 52).
3. Amendment filed 8-26-85 as an emergency effective upon filing (Register 85, No. 36). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-24-85.
4. Certificate of Compliance as to 8-26-85 order transmitted to OAL 12-20-85 and disapproved; amendment refiled 1-23-86 as an emergency pursuant to Government Code Section 11346.1(h); effective upon filing (Register 86, No. 4). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-23-86.
5. Order of Repeal of 1-23-86 order filed 6-18-86 by OAL pursuant to Government Code Section 11349.6(d) (Register 86, No. 28).
Article 2. Commission Meetings
§100503. Meeting Schedule.
Note     •     History

The commission shall meet on a regular basis, once each month in Sacramento, California, or in such other location designated by the commission. Additional meetings may be scheduled or meetings rescheduled or cancelled or relocated by the chairperson or by vote of the commission.
NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165 and 14165.6, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance as to 6-30-83 order transmitted to OAL 10-28-83 and filed 12-27-83 (Register 83, No. 52).
§100505. Notice of Meetings.
Note     •     History

NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165, and 14165.6, Welfare and Institutions Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
§100507. Commission Decisions.
Note     •     History

NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165.6 and 14165.7, Welfare and Institutions Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
Article 3. Commission Staff
§100509. Hiring Staff.
Note     •     History

NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Section 14165.3, Welfare and Institutions Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
§100511. Supervision.
Note     •     History

NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165.3 and 14165.5, Welfare and Institutions Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
Chapter 2. Negotiation and Approval of Proposed Contracts
§100513. General Responsibility.
Note     •     History

NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165.5 and 14165.6, Welfare and Institutions Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
§100515. Approval of Contracts.
Note     •     History

(a) After a contract is negotiated, the executive director hall, in writing, recommend its approval to the commission. Such recommendation shall be mailed to each commissioner not more than twenty (20) and not less than 15 days prior to the next scheduled meeting of the commission. The timely mailing of such written recommendation shall constitute “approval of the executive director” set forth in Section 14165.5 of the California Welfare and Institutions Code.
NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165.5 and 14165.6, Welfare and Institutions Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order (subsection (b) only) filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
2. Certificate of Compliance including amendment of subsection (a) transmitted to OAL 10-28-83 and filed 12-27-83 (Register 83, No. 52).
§100517. Review by Legal Counsel.
Note     •     History

NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165.5 and 14165.6, Welfare and Institutions Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
§100519. Commission Review of Contract Recommendations.
Note     •     History

(a) At the meeting of the commission following the recommendation of the executive director in respect to any contract, the commission shall serve as a review body, and may, by majority vote:
(1) approve a proposed contract;
(2) disapprove a proposed contract;
(3) disapprove in part a proposed contract;
(4) disapprove a proposed contract subject to specified conditions;
(5) take other appropriate action upon the advise of the executive director.
(b) In the event the commission takes action pursuant to (a)(3) or (a)(4) above, such action is a disapproval of the entire proposed contract unless the contractor assents to such partial disapproval or specified conditions within ten (10) days following the commission meeting.
(c) Contracts shall be deemed approved by the commission if, within twenty (20) days after approval by the executive director, no action is taken by the commission pursuant to subparagraphs (1) through (4) above, unless such twenty days time limit is waived by the contractor.
NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165.5, 14165.6 and 14165.7, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment of subsections (a) and (b) transmitted to OAL 10-28-83 and filed 12-27-83 (Register 83, No. 52).
§100521. Waiver of Review.
Note     •     History

When the commission has disapproved a contract pursuant to Section 100519, it may, at its option, waive review of the contract renegotiated in accordance with its specified conditions. Such conditions, to the extent they limit or direct the executive director's negotiations, shall be confidential.
NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165.5, 14165.6 and 14165.7, Welfare and Institutions Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order (subsection (a) only) filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
2. Certificate of Compliance including amendment transmitted to OAL 10-28-83 and filed 12-27-83 (Register 83, No. 52).
§100523. Technical Alternations to Approved Contracts.
Note     •     History

NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165.5, 14165.6 and 14165.7, Welfare and Institutions Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
§100525. Contracts Not Limited to Inpatient Services.
Note     •     History

NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 14165.5, 14165.6, 14087.5 and 14089, Welfare and Institutions Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
Chapter 3. Confidentiality of Contract Negotiations
§100527. Confidentiality.
Note     •     History

(a) All matters set forth in Section 6254(q) of the Government Code including but not limited to the contract negotiations of the executive director, contract recommendations, and deliberations of the commission relating to contract approval or disapproval as set forth in these regulations and recommendations of the Department of Finance or Department of Health Services to the commission, shall be confidential, and considered by the commission in closed session.
NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code. Reference: Sections 6254(q) and 11127, Government Code.
HISTORY

1. Order of Repeal of 6-30-83 emergency order (subsection (b) only) filed 11-28-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 52).
2. Certificate of Compliance including amendment of subsection (a) transmitted to OAL 10-28-83 and filed 12-27-83 (Register 83, No. 52).
§100531. Procedure in Furtherance of Fair Competition in Contract Negotiations.
Note     •     History

(a) Prior to beginning contract negotiations with any hospital:
(1) The Executive Director shall request that the hospital certify in writing that no individual participating in the negotiation on behalf of the hospital is also representing, providing consultation to, negotiating on behalf of, or otherwise participating in the contract negotiations for any other competing hospital; and
(2) The Executive Director shall request that the hospital demonstrate that it has obtained reasonable written assurances from individuals participating in the negotiations on its behalf that they will not collaborate or discuss the negotiations with any other individual who is not participating in the negotiations on behalf of said hospital. Such other individuals shall include but not be limited to individuals who may be representing, consulting with, negotiating on behalf of, or otherwise participating in the contract negotiations for any other competing hospital. Such assurances shall be in the form of written declarations under penalty of perjury.
(b) For purposes of this section the following definitions of terms shall apply:
(1) Competing hospital. A competing hospital is any hospital, under a different ownership, which is located in the same or a contiguous Health Facility Planning Area which is also in the process of negotiating a Medi-Cal contract with the Executive Director.
(2) Participate in negotiations. An individual is considered to participate in the negotiations on behalf of a hospital if he or she attends the negotiation sessions or is involved in preparing, approving or giving advice with respect to the hospital's negotiating strategy or contract proposal. However, an individual shall not be considered to participate in negotiations as a result of rendering educational or consultative services which do not involve a communication between the hospital and the individual regarding the specific content of a term of the hospital's contract proposal, or the specific content of a term of the contract under negotiation.
(c) The Executive Director shall refuse to negotiate with any hospital which does not provide certification or reasonable assurances as requested in accordance with the foregoing. For good cause shown, the Executive Director may, in the exercise of his sound discretion, waive, in writing, such certification or assurances.
(d) This statement is not intended to prohibit or restrict the disclosure of the terms of a negotiated binding contract to the extent that such disclosure is in accordance with applicable law.
(e) This section shall not apply in situations where the Executive Director has invited a group of hospitals to negotiate a contract as a unit pursuant to Welfare and Institutions Code Section 14087.26.
NOTE

Authority cited: Sections 14081, 14082, 14082.5, 14087.26 and 14165.4, Welfare and Institutions Code. Reference: Sections 14081, 14165 and 14165.5, Welfare and Institutions Code.
HISTORY

1. New section filed 4-13-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 8-11-84.
2. Certificate of Compliance including amendment of subsections (a) and (b)(2) transmitted to OAL 8-10-84 and filed 9-5-84 (Register 84, No. 36).
Chapter 4. Conflict of Interest Code
§100540. General Provisions.
Note     •     History

The Political Reform Act, Government Code Sections 81000 et seq., requires state and local government agencies to adopt and promulgate Conflict of Interest Codes. The Fair Political Practices Commission has adopted a regulation, 2 Cal. Code Regs. Section 18730, which contains the terms of a standard Conflict of Interest Code, which can be incorporated by reference, and which m;ay be amended by the Fair Political Practices Commission after public notice and hearings. Therefore, the terms of California Code of Regulations, title 2, section 18730, and any amendments to it duly adopted by the Fair Political Practices Commission are hereby incorporated by reference and, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, constitute the Conflict of Interest Code of the California Medical Assistance Commission.
Designated employees shall file statements of economic interests with the California Medical Assistance Commission, and the California Medical Assistance Commission will make the statements available for public inspection and reproduction. (Gov. Code, §81008.) Upon receipt of the statements of the Commissioners and Executive Director, the California Medical Assistance Commission shall make and retain a copy and forward the original of these statements to the Fair Political Practices Commission. Original statements for all other designated employees will be retained by the California Medical Assistance Commission, and copies will be provided to the Office of the Governor.
NOTE

Authority cited: Sections 14082, 14082.5 and 14165.4, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 87300-87302 and 87306, Government Code.
HISTORY

1. New Chapter 4 (Section 100540 and Appendix) filed 4-27-88, operative 5-27-88. Approved by Fair Political Practices Commission 3-25-88 (Register 88, No. 18). For history of former Chapter 4 (Sections 100540-100559), see Register 86, No. 28.
2. Amendment of section and Appendix filed 2-23-2007; operative 3-25-2007. Approved by Fair Political Practices Commission 1-8-2007  (Register 2007, No. 8). 

Appendix A
A. Designated Employees
(1) Persons holding the following positions are “designated employees:”

	Assigned Disclosure Category
Commissioner	1
Executive Director	1
General Counsel	1
Supervising Negotiator	2
Senior Negotiator	2
Associate Negotiator	2
Director of Research	2, 3
Office Manager	4
Consultant*	1

B. Disclosure Categories
(1) A designated employee in this category shall report all interests in real property in the State of California, as well as investments, business positions and sources of income including gifts, loans, and travel payments.
(2) A designated employee in this category shall report all investments, business positions and income, including gifts, loans and travel payments from health care related sources, of the type negotiated by the California Medical Assistance Commission.
(3) A designated employee in this category shall report all investments, business positions and income, including gifts, loans and travel payments from sources that provide information technology systems including: hardware, software, equipment, or consulting services, of the type utilized or the California Medical Assistance Commission.
(4) A designated employee in this category shall report all investments, business positions and income, including gifts, loans and travel payments, from sources that provide goods, equipment, vehicles, machinery, leased facilities, or services, including training or consulting services, of the type utilized by the California Medical Assistance Commission.
*With respect to consultants, the Executive Director may determine in writing that a particular consultant, although a “designated position,” is by contract hired to perform a range of duties that is limited in scope and thus is not required to fully comply with the disclosure requirements described in this section. Such written determination shall include a description of the consultant's duties and based upon that description, a statement of the extent of disclosure requirements. The Executive Director's determination is a public record and shall be retained for public inspection in the same manner and location as the statements of economic interests filed under this conflict of interest code.
Division 11. Department of Community Services and Development
Chapter 1. Community Services Block Grant Regulations
§100601. Definitions.
Note     •     History

For the purposes of these regulations:
(a) “Affected public” means interested parties and eligible entities as defined in Government Code Section 12730(e).
(b) “CAA” means community action agency as defined in Government Code Section 12750(a).
(c) “CCSBG” means California Community Services Block Grant.
(d) “Contract” means a statement of grant action which when cosigned by authorized agents of the Department and the grantee, and subsequently approved by the Department of General Services pursuant to Section 10295 of the Public Contract Code, is deemed a valid, enforceable agreement.
(e) “CSA” means Community Services Administration.
(f) “CSBG” means Community Services Block Grant.
(g) “Indian tribe” and “tribal organization” means those tribes, bands, or other organized groups of Indians recognized in the State in which they reside or considered by the Secretary of the Interior to be an Indian tribe or an Indian organization for any purpose.
(h) “LPA” means limited purpose agency as defined in Government Code Section 12775(a).
(i) “MSFW” means Migrant and Seasonal Farmworker as defined in Section 100620 of these regulations.
(j) “DEO” means State Department of Economic Opportunity as defined in Government Code Section 12085.
(k) “Target Area” means a contiguous territory with a high incidence of poverty in which a grantee concentrates or desires to concentrate its operations.
(l) “Reasonable Opportunity” as used in Government Code Section 12730(k)(2), shall mean a period of 90 days from the date notice is sent to the designated CAA stating that it has failed to comply with the requirements of Government Code Section 12725 et. seq.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12725 et seq., Government Code.
HISTORY

1. New division 11 (sections 100601-100795, not consecutive) filed 12-12-85; designated effective 12-31-85 pursuant to Government Code section 11346.2(d) (Register 85, No. 50).
2. Change without regulatory effect amending subsections (b), (d), (h), (j), (l) and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
3. Change without regulatory effect amending division heading filed 1-28-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
§100605. Tripartite Board Composition.
Note     •     History

(a) Tripartite Board Composition.
(1) Any community action agency which is an eligible entity to receive funding under CSBG shall have a tripartite board as described in the Government Code Sections 12750(a)(2) and 12751.
(2) If an eligible CAA is a public CAA which has the additional requirements of a governing board composed of officials of the local political subdivision such as the county board of supervisors or city council, a community action board shall be established to satisfy the tripartite board requirement.
(3) The community action board shall have at least 12 members and not more than 30 members. The membership of the board shall be divisible by 3 in order to implement the tripartite requirement as stated in Government Code Section 12751.
(b) Public Sector Representation.
(1) For the purpose of Government Code Section 12751(a), appointive public officials are defined to include employees of agencies and members of boards established under State or local law who have the responsibility and authority to decide and carry out the policy of those agencies or boards.
(2) Public officials who are designated for representation on the community action board may choose representatives to serve on the board in their place or in their absence. The representatives need not be Public officials themselves so long as they are entitled to speak and act for the officials whom they represent in connection with the board's business.
(c) Low-Income Representatives.
(1) “Democratic selection process” for the purposes of this article, shall be defined as a methodology reflecting the choice(s) of the people.
(2) Although representatives of the poor need not themselves be poor, they must nonetheless be selected in a manner which ensures they truly represent the poor.
(3) Area Representatives of Low-Income Persons. Should a community action program be concerned primarily with compact geographic areas in which poverty is concentrated, such as neighborhoods or “target areas” of the community, the representatives of the low-income shall be selected by the residents of those neighborhoods or areas. All residents of any such neighborhood or area may participate in the selection process, but special emphasis and attention must be given to ensuring that those residents who are poor participate fully in the selection process. The number of representatives to be selected from each area of concentration of poverty, in relation to the total number of representatives of the low-income on the board, should be proportionate to the number of low-income persons in the area, as compared to the number of low-income persons in the community as a whole.
(4) Non-area Representatives of Low-Income Persons. In some communities or parts of communities it may not be feasible for some or all of the representatives of the poor to be selected on a neighborhood or target area basis (for example, in a rural community where poor persons are scattered throughout the entire area or, in an urban community where there may be a neighborhood in which poverty is concentrated, but where poor people reside outside such neighborhoods). In such cases, representatives of the low-income population shall be selected only by the low-income population, whom the community action program is intended to serve and who reside outside of areas where poverty is concentrated. The non-area representatives should themselves live outside of any target areas separately represented under subsection (3) of this section. The number of such “non-area” representatives, in relation to the total number of representatives of the low-income on the board, should also be proportionate to the number of low-income persons living outside geographic areas in which poverty is concentrated, as compared to the number of low-income persons in the community as a whole.
(5) Selecting Representatives of Low-Income Persons. In the selection process, whether for area or non-area representatives of the poor, to the maximum extent possible, the low-income groups and individuals to be represented should be involved. Among the selection processes that may be utilized, either alone or in combination, are:
(A) Nominations and elections, either within neighborhoods, or within the community as a whole.
(B) Selection at a meeting or conference to which all neighborhood residents, and especially those who are poor, are invited.
(C) Selection of representatives to a community-wide board by members of neighborhood or sub-area boards, who are themselves, selected by neighborhood or area residents.
(D) Selection, on a small area basis (such as a city block), of representatives who in turn select members for a community-wide board.
(E) Selection of representatives, either directly to a Community Action Board or for membership on a neighborhood board, by existing organizations whose membership is predominantly composed of low-income persons.
(F) This list is not intended to limit the variety of selection processes which may be used. Any democratic selection process ensuring the maximum feasible participation of the poor is potentially acceptable. In all cases attention should be given to the fair representation of significant minority groups within the community.
(6) The designating officials of a CAA shall select candidates for low-income seats, who are declared low-income over persons desiring to represent the low-income community, who are not declared low-income.
(d) Private Sector Representation.
(1) In choosing private sector participation CAA's shall select groups and interests to ensure that the board is securing broad community involvement.
(2) Once the groups and interests to be represented have been selected, their respective representatives on the board shall be chosen by those groups and interests.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12751, Government Code.
HISTORY

1. Change without regulatory effect amending subsections (a)(1), (b)(1) and Note and repealer of subsection (a)(4)  filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100610. Designation and Recognition of a New or an Alternate CAA.
Note     •     History

(a) Process for Designation. A political subdivision seeking designation of a new or alternate CAA, shall follow all the requirements set forth below as follows:
(1) Notice of Intent to Designate. A written notice of intent to designate shall be prepared by the political subdivision which shall designate a new or alternate community action agency. This notice shall be posted in a public place, mailed to the Department, and mailed to municipalities within the political subdivision and shall be placed in the newspaper having the widest circulation within the political subdivision. The notice shall clearly indicate the following:
(A) Indicate any specific proposal for designation.
(B) Indicate that testimony will be taken at the public hearing.
(C) The date, time and location of the public hearing to consider the question of CAA designation.
(D) Advise the public of the opportunity to submit written comments to the political subdivision prior to the public hearing.
Public Hearings. The public hearings for designation of recognition of a new or alternate CAA, shall be carried out pursuant to the local laws (i.e., statutes, ordinances, or regulations) governing public hearings, normally adhered to by the political subdivision to assure the public has an opportunity to comment on the CAA designation process.
(3) Legislative passage of an Act, Ordinance or Resolution of Designation. Having conducted at least one public hearing, the political subdivision shall make a designation in the same manner in which they normally exercise their legislative jurisdiction.
(4) Application for Recognition. After a political subdivision has made a designation, the designator shall submit to DEO two copies of an application for provisional recognition as a CAA. This application is composed of the following documents:
(A) Statement requesting recognition as a community action agency.
(B) The designation documents (i.e., act, ordinance, or resolution) together with the certification documents from the political subdivision.
(C) The notice of intent to designate and a list of the locations where such notice was posted as proof of newspaper publication.
(D) Minutes of the public hearing during which the CAA was designated.
(b) Granting of Recognition. After determining that all of the aforementioned requirements have been met, DEO will grant to the applicant agency provisional recognition.
(1) Upon receipt of the notification of provisional recognition status, the applicant shall proceed to organize itself, to select and appoint the members of its governing or administering board, to formally adopt bylaws and to otherwise prepare itself for final recognition.
(2) An applicant who has received provisional recognition shall submit a map of the area to be served by the applicant to DEO.
(3) Upon receipt of the above indicated items, DEO will review same to determine whether or not the applicant has complied with all pertinent requirements of Section 12750 et seq. of the Government Code and the Community Services Block Grant Program. Upon DEO's determination that the applicant has satisfied all compliance requirements, the Department will provide written notification to the applicant that final recognition has been granted.
NOTE

Authority cited: Sections 12781(d) and 12780, Government Code. Reference: Sections 12750 et seq. and 12781(c)(5), Government Code.
HISTORY

1. Change without regulatory effect amending subsections (a)(1),  (a)(4), (b), (b)(2)-(3) and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100615. Bylaws.
Note     •     History

Community action agencies shall submit to DEO a copy of their current bylaws. Any amendments to the bylaws shall be submitted to DEO prior to the adoption of such amendments. However, DEO approval of bylaw amendments is not required prior to the adoption of such amendments.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12753(a), Government Code.
HISTORY

1. Change without regulatory effect amending section and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100620. MSFW Beneficiaries.
Note     •     History

(a) For the purposes of these regulations “Migrant Farmworker” shall mean a seasonal farmworker who performs or has performed farmwork during the eligibility determination period (any consecutive 12-month period within the 24-month period preceding application for program benefits and/or services) which requires travel such that the worker is unable to return to his/her domicile (permanent place of residence) within the same day.
(b) For purposes of these regulations “Seasonal Farmworker” shall mean a person who during the eligibility determination period (any consecutive 12-month period within the 24-month period preceding application for program benefits and/or services) was employed at least 25 days in farmwork or earned at least $400 in farmwork; and who has been primarily employed in farmwork on a seasonal basis, without a constant year round salary.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12765, Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100651. Grant Application.
Note     •     History

The grant application shall include the local plan.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12747, Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100655. Determination of Services.
Note     •     History

Pursuant to the requirements specified in Section 12747 of the Government Code, local plans shall adhere to the format prescribed in the Request for Local Plan annually issued by the Department.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Sections 12747, Government Code.
HISTORY

1. Change without regulatory effect amending section and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100660. Accounting System Certification.
Note     •     History

All new grantees selected for funding under the CSBG program shall submit an accounting system report, prior to receiving funds on a form prescribed by the Department and signed by an independent certified public accountant or an independent State-licensed public accountant, or, in the case of a public agency, the financial officer responsible for providing required financial services to the grantee. The report shall state that the new grantee has established an adequate accounting system with reasonable assurance as to the internal controls to safeguard assets, check the accuracy and reliability of their accounting data, promote operating efficiency, and assure compliance with any other fiscal requirements provided for by law.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(c)(1)(A), Government Code.
HISTORY

1. Change without regulatory effect amending section and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100665. Discretionary Funds.
Note     •     History

The Department shall distribute discretionary funds set aside pursuant to Government Code Section 12786.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12786, Government Code.
HISTORY

1. Change without regulatory effect amending section and  Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100701. Discontinued Funding.
Note     •     History

No funds provided under CSBG shall be used to replace disallowed, reduced, or terminated state or local funds.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12761, Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100705. Delegation Agreement.
Note     •     History

Every delegate agency which enters into a delegation agreement, pursuant to Government Code Section 12750(c), shall adhere to the covenants and conditions contained in the statement of grant action governing the delegation of services and activities.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12750(c), Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100715. Budget Flexibility and Indirect Cost Rates.
Note     •     History

(a) The following provisions shall apply to budget flexibility:
(1) No originally approved budget line item may be increased or decreased by more than 10%, without prior DEO approval.
(2) This flexibility is the total flexibility to be allowed in any one program year without prior DEO approval.
(b) Changes made within flexibility (as well as those made beyond flexibility with DEO prior approval) must be reflected immediately on the quarterly Financial Progress Report.
(c) For purposes of allocating indirect costs, grantees may use current negotiated indirect cost rates that have been approved by a cognizant Federal agency.
(1) Grantees shall submit to the Department for review the approved cost allocation plans that support the indirect cost rates set forth in the proposed budget at the time the budget is submitted, and a copy of the letter of approval from the cognizant agency which includes date of approval and amount of rate.
(2) All expenditures distributed to indirect costs shall be subject to audit.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(c)(1)(C), Government Code.
HISTORY

1. Change without regulatory effect amending subsections (a)(2), (b), (c)(1) and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100720. Procurement Standards.
Note     •     History

Grantees shall comply with the procurement standards set forth in the Office of Management and Budget Circular (OMB) A-110, dated 7/30/76, Attachment O, Sections 1 through 4b and 4h through 4j, or OMB Circular A-102, dated 9/12/77, Attachment O, Section 1 through 4b and 4g through 4i, and other applicable federal laws or regulations which may supercede these procurement standards.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(c)(2), Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100725. Property Management/Disposition Standards and Procedures.
Note     •     History

Grantees shall comply with property management standards, set forth in the Office of Management and Budget (OMB) Circular A-110, dated 7/30/76, Attachment N, Sections 3 and 5 or OMB Circular A-102, dated 9/12/77, Attachment N, Sections 3 and 5, and other applicable federal laws or regulations which may supercede these property management/disposition standards.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(c)(3), Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100730. Monitoring and Periodic Evaluation.
Note     •     History

(a) Grantee's Responsibilities. Grantees shall constantly monitor their performance under grant supported activities to assure that time schedules are being met, projected work units by time periods are being accomplished, and other performance goals are being achieved. This review shall be made for each program, function, or activity of each grant as set forth in the approved grant agreement.
(1) Each grantee shall prepare a quarterly program progress report on the form designated by the Department. Each report shall be submitted to the Department no later than thirty calendar days following the subject quarter.
(2) The performance report for each goal shall include, but not be limited to the following:
(A) Description of actual accomplishments compared to the objective established for the reporting period. The result of activities should be quantified wherever possible.
(B) Reasons why established objectives were not met.
(C) Other information as appropriate.
(b) DEO shall monitor and evaluate the performance of functions, projects and activities supported by CSBG funds frequently enough to ensure that these grant supported activities are accomplished as set forth in the statement of grant action and that CSBG funds are properly disbursed.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(f), Government Code.
HISTORY

1. Change without regulatory effect amending subsections (a)(1), (b) and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100735. Financial Progress Reports and Audits.
Note     •     History

(a) Each grantee shall prepare a quarterly financial progress report for each CSBG grant award on a form prescribed by the Department. Each report shall be submitted to the Department no later than fifteen (15) calendar days following the applicable quarter.
(b) Within ninety (90) calendar days of the completion or termination of the contract the grantee shall submit three (3) copies of the report of financial and compliance grant audit.
(c) Financial and compliance audits shall be conducted in accordance with federal requirements issued by the Office of Management and Budget and in conformance with standards promulgated by the American Institute of Certified Public Accountants and those standards included in “Standards for Audit of Governmental Organizations, Programs, Activities and Functions,” issued by the Comptroller General of the United States.
(d) Agency-wide or single audits prepared in accordance with the Office of Management and Budget Circular A-102 (Attachment P) dated 9/12/77 for local governments, and Office of Management and Budget Circular A-110, dated 7/30/76, for nonprofit corporations, and other applicable federal laws or regulations which may be implemented will fulfill these audit requirements.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(c)(l)(B), Government Code.
HISTORY

1. Change without regulatory effect amending subsection (a) and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100740. Grant Closeouts for Terminated Grantees.
Note     •     History

(a) All grant closeouts shall be conducted in accordance with the guidelines set forth in the Office of Management and Budget Circular A-102 (Attachment L) dated 9/12/77 for public agencies, and Circular A-110 (Attachments K and L) dated 7/30/76 for nonprofit organizations, and other applicable federal laws or regulations which may supercede these grant closeout procedures.
(b) Grantee shall submit all grant closeout documents including final financial, performance, and other reports required as a condition of the statement of grant action no later than ninety (90) calendar days following the date of termination of the contract.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(e), Government Code.
HISTORY

1. Editorial correction of printing error in subsection (b) (Register 91, No. 32).
2. Change without regulatory effect amending Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100745. Substantial Noncompliance.
Note     •     History

For the purposes of Section 12781(c)(4) of the Government Code, “substantial noncompliance” shall mean a material breach of the terms and conditions of the CSBG contract. A breach of contract is material if it violates a substantial right or interest granted under the contract.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(c)(4), Government Code.
HISTORY

1. Change without regulatory effect amending section and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100751. Due Process Rights for Clients Denied Services.
Note     •     History

(a) Any person who has applied for benefits and/or services, provided under a contract or delegation agreement with the Department, whose application has been denied has the right to appeal such action to the grantee. For purposes of this section, the Department will consider that there has been a denial of assistance when:
(1) The benefits, services and/or funds currently are available and;
(2) The grantee has the authority to provide or disburse such benefits, services and/or funds and;
(3) The applicant meets or believes that he/she can prove that he/she meets program eligibility criteria.
(b) Each grantee shall establish and make known to all applicants, procedures for the review of partial or complete denial of assistance to any person or household. If the grantee has an existing appeal process which includes the following elements, its continued use will satisfy the requirements of this section. If, however, the grantee has a procedure which excludes any of the elements below it shall be amended to include those factors which are excluded.
(1) Provisions for notifying the applicant in writing of the reasons for denial of assistance and that he/she may request a review of the denial and may submit additional information (in writing or orally) which the applicant believes would warrant a favorable determination.
(2) Provisions for reviewing the denial of an application for assistance in an expeditious manner if such is requested by the applicant. This shall include the specific assignment of responsibility to a senior level official or standing committee other than the person making the initial determination.
(3) Provisions for expeditiously notifying the applicant in writing of the grantees final decision.
(4) The methods the agency will employ to publicize the existence of the appeals process.
(5) Provisions for ensuring that every effort will be made to provide persons who do not comprehend English with written materials and procedures in the appropriate languages.
(6) Provisions for the retention of documents relating to specific denials of assistance and action(s) taken by the grantee. Such records must be maintained in the grantee's files for three years and shall be available for review by DEO officials upon request.
(c) A written description of the aforementioned required procedures shall be maintained on file by the grantee and shall be available for public inspection.
(d) Any person who has applied for benefits and/or services, provided under a subgrant or contract with the Department, whose application has been denied and who has exhausted all grantee appeal rights, may appeal the denial of assistance to the Department. Should the appeal remain unresolved and the applicant desires to appeal further, the written appeal and all other supportive documentation must be received by the responsible Department official within twenty (20) calendar days of the grantee's final decision.
(e) Under no circumstances shall the grantee or the Department waive the applicant's right to appeal.
NOTE

Authority cited: Section 12781(d)(2), Government Code. Reference: Section 12781(d)(2), Government Code.
HISTORY

1. Change without regulatory effect amending subsections (a), (b)(6), (d), (e) and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100755. Partisan Political Activities.
Note     •     History

(a) Neither the Community Services Block Grant Program nor the funds provided therefore, nor the personnel employed in the administration of the program shall in any way or to any extent engage in the conduct of political activities in contravention of Chapter 15 of Title 5, United States Code and in accordance with Section 675(e) of Public Law 97-35 (42 U.S. 9904(e)).
(b) Neither the Community Services Block Grant Program nor the funds provided therefor, nor the personnel employed in the administration of the program, shall provide voters and prospective voters with transportation to the polls or provide similar assistance in connection with an election or any voter registration activity.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12736(i) and 12781(g), Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100760. Non-Discrimination.
Note     •     History

(a) A grantee will not discriminate against any employee or applicant for employment because of race, sex, creed, color, religion, or national origin. Also, prohibition against discrimination on the basis of age or with respect to an otherwise qualified handicapped individual shall apply. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, creed, color, religion, sex, age, handicap or national origin. Such action shall include, but shall not be limited to the following: Employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training including apprenticeship. The grantee agrees to post in conspicuous places available to employees and applicants for employment, notices to be provided by the contracting officer setting forth the provisions of this nondiscrimination clause.
(b) A grantee will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, creed, color, religion, handicap, age, sex or national origin.
(c) A grantee will send to each labor union representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided by the contracting officer, advising the labor union representative of the contractor's commitments under Section 202 of Executive Order No. 11246 of September24, 1985, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.
(d) A grantee will comply with all provisions of Executive Order No. 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the U.S. Secretary of Labor.
(e) Grantee will comply with all provisions of Title VI and VII of the Civil Rights Act of 1964, as amended.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(g), Government Code.
HISTORY

1. Change without regulatory effect amending subsection (c) and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100765. Public Access to Records.
Note     •     History

Any person who wishes to inspect or copy records regularly maintained by a grantee may do so after making a request. Information and records will be made available to the requestor in accordance with the Freedom of Information Act (5 U.S.C. 552), except for information and records which are exempt from the requirements of disclosure pursuant to the Federal Privacy Act of 1974, as amended.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(g), Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100770. Significant Numbers.
Note     •     History

(a) In ascertaining if “significant numbers” of eligible beneficiaries have petitioned the political subdivision for reconsideration of the subdivision's designation of a particular CAA, the political subdivision must consider the following factors when reviewing the petitions:
(1) The number of petitions which seek reconsideration;
(2) The relative frequency of petitions;
(3) The validity of the complaint in the petitions; and
(4) The gravity of the complaint contained in the petition.
(b) Each political subdivision must apply the aforementioned factors to each petition received charging noncompliance, on a case by case basis. If after reviewing all petition(s) received, the political subdivision is satisfied that the complaints contained in a reasonable number of petitions are valid then such political subdivision will be deemed to have been petitioned by a significant number.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12750.1(a)(3), Government Code.
HISTORY

1. Change without regulatory effect amending Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100775. Revocation of Recognition and Designation by DEO.
Note     •     History

The Director of the Department may revoke the recognition and/or the designation of a community action agency which has failed to comply with the requirements of Government Code Section 12725 et seq. only after complying with the following conditions:
(a) The grantee's contract has been terminated pursuant to California Code of Regulations Section 100780;
(b) The grantee has been provided a reasonable opportunity to comply with the requirements of this Article pursuant to California Code of Regulations Section 100601, and has failed to do such; and
(c) The Department has obtained authority to terminate the contract from the Secretary of the U.S. Department of Health and Human Services, if applicable, pursuant to Section 676 A of the Community Services Block Grant Act, (42 U.S.C. 9905A).
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(c) and (d), Government Code.
HISTORY

1. Change without regulatory effect amending opening paragraph, subsections (a)-(c) and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100780. Denial of Refunding, Suspension and Termination of Contract Procedures.
Note     •     History

(a) Purpose and Scope--This section establishes the rules and procedures governing the denial of refunding and the suspension and termination of contracts. This section shall not apply to any administrative action based upon any violation or alleged violation of Title VI of the Civil Rights Act of 1964. In case of such violations or alleged violations, the provisions of 45 CFR Part 1010 shall apply.
(b) Definitions.
(1) The term “termination” means the cancellation by the Department of state and or federal assistance in whole or in part, under a contract at any time prior to the time of completion.
(2) The term “suspension” means an action taken by the Department which temporarily suspends state and/or federal assistance under the contract, pending DEO's decision to terminate the contract.
(3) The term “responsible Department official” means the Director, Deputy Director, or any other official who is authorized to make the contract in questions, or the designee of any of these officials.
(c) Failure to Comply with Contract Terms and Conditions.
When a grantee has materially failed to comply with the contract terms and conditions, the Department may suspend the contract in whole or in part.
(d) Suspension Notice.
(1) The responsible Department official shall notify the grantee in writing that the Department intends to suspend a contract, in whole or in part, unless good cause is shown why the contract should not be suspended. The notice shall specify the grounds for the proposed suspension, the proposed effective date of suspension and the grantee's right to submit written material in opposition to the intended suspension and of its right to request an informal meeting at which the grantee may respond with an attempt to show cause why such suspension should not occur. The period of time within which the grantee may submit such written material or request the informal meeting shall be specified in the notice of intent to suspend and shall be no less than 5 days after the notice has been sent. If the grantee requests a meeting, the responsible Department official shall set a time and place for the meeting, which shall not be less than 5 days after the grantee's request is received by the Department. In lieu of the right of the grantee to request an informal meeting, the responsible Department official may on his/her own initiative establish a time and place for such a meeting. In no event, however, shall such a meeting be scheduled less than 7 days after the notice of intent to suspend has been sent to the grantee. The responsible Department official may extend the periods of time or dates previously referred to and shall notify the grantee of any such extension.
(2) At the time the responsible Department official sends the notice of intent to suspend the grantee, he/she shall also send a copy of it to any delegate agency whose activities or failure to act are a substantial cause of the proposed suspension, and shall inform such delegate agency that it shall be entitled to submit written material or to participate in the informal meeting referred to in subparagraph (d) (1) of this section. The responsible Department official may give such notice to any other delegate agency.
(3) Within 3 days of receipt of the notice, the grantee shall send a copy of these regulations to all delegate agencies which would be financially affected by the proposed suspension action. Any delegate agency which wishes to submit written material may do so within the time stated in the notice. Any delegate agency that wishes to participate in the informal meeting may request permission to do so from the responsible Department official, who may in his/her discretion, grant or deny such permission. In acting upon any such request from a delegate agency, the responsible Department official shall take into account the effect of the proposed suspension on the particular delegate agency, the extent to which the meeting would become unduly complicated as a result of granting such permission, and the extent to which the interest of the delegate agency requesting such permission appears to be adequately represented by other participants.
(4) In the notice of intent to suspend, the responsible Department official shall invite voluntary action to adequately correct the deficiency which led to the initiation of the suspension proceeding.
(5) The responsible Department official shall consider any timely material presented to him/her during the course of the informal meeting provided for in subparagraph (d) (1) of this section, as well as any showing that the grantee has adequately corrected the deficiency which led to the initiation of suspension proceedings. If after considering the material presented to him/her, the responsible Department official concludes the grantee has failed to show cause why the contract should not be suspended, he/she may suspend the grant in whole or in part and under such terms and conditions as he/she shall specify.
(6) Notice of such suspension shall be promptly transmitted to the grantee and shall become effective upon delivery. Suspension shall not exceed a 30 day period unless during such period of time, termination proceedings are initiated or unless the responsible DEO official and the grantee agree to a continuation of the suspension for an additional period of time. If termination proceedings are initiated, the suspension shall remain in full force and effect until such proceedings have been fully concluded.
(7) During a period of suspension, no new expenditures shall be made by the grantee and no new obligations shall be incurred in connection with the suspended program except as specifically authorized in writing by the responsible Department official. Expenditures to fulfill legally enforceable commitments made prior to the notice of suspension, in good faith and in accordance with the grantee's approved work program, and not in anticipation of suspension or termination, shall not be considered new expenditures. However, funds shall not be recognized as committed solely because the grantee has obligated them by contract or otherwise to a delegate agency.
(8) The responsible Department official may in his/her discretion modify the terms, condition and nature of the suspension or rescind the suspension action at any time on his/her own initiative or upon a showing satisfactory to him/her that the grantee has adequately corrected the deficiency which led to the suspension and that repetition is not threatened. A suspension partly or fully rescinded may, in the discretion of the responsible Department official, be reimposed with or without further proceeding. Provided, however, that the total time of suspension may not exceed 30 days unless termination proceedings are initiated in accordance with Department policies and procedures governing the termination of contracts or unless the responsible Department official and the grantee agree to a continuation of the suspension for an additional period of time. If termination proceedings are initiated, the suspension shall remain in full force and effect until such proceedings have been fully concluded.
(e) Notice and Pre-hearing Procedures.
(1) If the responsible DEO official believes a grantee's violation of the terms and conditions of its contract is sufficiently serious to warrant termination, whether or not the contract has been suspended, he/she shall state that there appears to be grounds which warrant termination and shall set forth the specific reasons therefor. If the reason(s) result in whole or substantial part from the activities of a delegate agency, the notice shall identify that delegate agency. The notice shall also advise the grantee that the matter has been set down for hearing at a stated time and place in accordance with paragraph (f) of this section. In the alternative, the notice shall advise the grantee of its right to request a hearing and shall fix a period of time which shall not be less than 10 days, in which the grantee may request such a hearing.
(2) Termination hearings shall be conducted in accordance with the provisions of paragraphs (g) and (h) of this section. They shall be scheduled for the earliest practicable date, but not later than 30 days after a grantee has requested such a hearing. Consideration shall be given to a request by a grantee to advance or postpone the date of a hearing scheduled by the Department. Any such hearing shall afford the grantee a full and fair opportunity to demonstrate that it is in compliance with all applicable laws, regulations, and other requirements. In any termination hearing, the Department shall have the burden of justifying the proposed termination. However, if the basis of the proposed termination is the failure of a grantee to take action required by law, regulation, or other requirement, the grantee shall have the burden of proving that such action was timely taken.
(3) If a grantee requests that the Department hold a hearing in accordance with subparagraph (e)(1) of this section, it shall send a copy of its request for such a hearing to all delegate agencies which would be financially affected by the termination and to each delegate agency identified in the notice pursuant to subparagraph (e)(1) of this section. This material shall be sent to these delegate agencies at the same time the grantee's request is made to the Department. The grantee shall promptly send the Department a list of the delegate agencies to which it has sent such material and the date on which it was sent.
(4) If the responsible Department official pursuant to subparagraph (e)(1) of this section informs a grantee that a proposed termination action has been set for hearing, the grantee shall, within 5 days of its receipt of this notice, send a copy of it to all delegate agencies which would be financially affected by the termination action and to each delegate agency identified in the notice pursuant to subparagraph (e)(1) of this section. The grantee shall send the responsible Department official a list of all delegate agencies notified and the dates of notification.
(5) If the responsible Department official has initiated termination proceedings because of the activities of a delegate agency, that delegate agency may participate in the hearing as a matter of right. Any other delegate agency, person, agency or organization that wishes to participate in the hearing may, in accordance with paragraph (g) of this section, request permission to do so from the presiding officer of the hearing. Such participation shall not, without the consent of the Department and the grantee, alter the time limitations for the delivery of papers or other procedures set forth in this section.
(6) The results of the proceeding and any measure taken thereafter by the Department pursuant to this section shall be fully binding upon the grantee and all its delegate agencies whether or not they actually participated in the hearing.
(7) A grantee may waive a hearing and submit written information and argument for the record. Such material shall be submitted to the responsible Department official within a reasonable period of time to be fixed by him/her upon the request of the grantee. The failure of a grantee to request a hearing, or to appear at a hearing for which a date has been set, unless excused for good cause, shall be deemed a waiver of the right to a hearing and consent to the making of a decision on the basis of such information as is then in the possession of the Department.
(8) The responsible Department official may attempt, either personally or through a representative, to resolve the issues in dispute by informal means prior to the date of any applicable hearing.
(f) Time and Place of Termination Hearings.
The termination hearing shall be held in Sacramento, CA, at a time and place fixed by the responsible Department official, unless he/she determines that the convenience of the Department or of the parties or their representatives requires that another place be selected.
(g) Termination Hearing Procedures.
(1) The termination hearing, the decision on termination and any review thereof shall be conducted in accordance with paragraph (g), (h) and (i) of this section.
(2) The presiding officer at the hearing shall be the responsible Department official. The presiding officer shall conduct a full and fair hearing, avoid delay, maintain order, and make a sufficient record for a full and true disclosure of the facts and issues. To accomplish these ends, the presiding officer shall have all powers authorized by law, and he/she may make all procedural and evidentiary rulings necessary for the conduct of the hearing. The hearing shall be open to the public unless the presiding officer, for good cause shown, determines otherwise.
(A) After the notice described in subparagraph (g)(6) of this section is filed with the presiding officer, he/she shall not consult any person or party on a fact in issue unless on notice and opportunity for all parties to participate. However, in performing his/her functions under this subparagraph the presiding officer may use the assistance and advise of an attorney designated by the General Counsel of the Department. The attorney designated to assist him/her however, must not have represented the Department or any other party or otherwise participated in a proceeding, recommendation, or decision in the particular matter.
(3) Both the Department and the grantee are entitled to present their cases by oral or documentary evidence, to submit rebuttal evidence and to conduct such examination and cross-examination as may be required for a full and true disclosure of the facts bearing on the issues. The issues shall be those stated in the notice required to be filed by subparagraph (g)(6) of this section, those stipulated in a pre-hearing conference or those agreed to by the parties.
(4) In addition to the Department, the grantee, and any delegate agencies which have a right to appear, the presiding officer, in his/her discretion, may permit the participation in the proceedings of such persons or organizations as he/she deems necessary for a proper determination of the issues involved. Such participation may be limited to those issues or activities which the presiding officer believes will meet the needs of the proceeding, and may be limited to the filing of written material.
(A) Any person or organization that wishes to participate in a proceeding may apply for permission to do so from the presiding officer. This application, which shall be made as soon as possible after the notice of proposed termination has been received by the grantee, shall state the applicant's interest in the proceeding, the evidence or arguments the applicant intends to contribute, and the necessity for the introduction of such evidence or arguments.
(B) The presiding officer shall permit or deny such participation and shall give notice of his/her decision to the applicant, the grantee, and the Department and, in the case of denial, a brief statement of the reasons therefor. The presiding officer may, however, subsequently permit such participation if, in his/her opinion, it is warranted by subsequent circumstances. If participation is granted, the presiding officer shall notify all parties of that fact and may, in appropriate cases, include in the notification a brief statement of the issues as to which participation is permitted.
(C) Permission to participate to any extent is not a recognition that the participant has any interest which may be adversely affected or that the participant may be aggrieved by any decision, but is allowed solely for the aid and information of the presiding officer.
(5) All papers and documents which are required to be filed shall be filed with the presiding officer. Prior to filing, copies shall be sent to the other parties.
(6) The responsible Department official shall send the grantee and any other party a notice which states the time, place, and nature of the hearing, and the legal authority and jurisdiction under which the hearing is to be held. The notice shall also identify with reasonable specificity the facts relied on in justifying termination and the Department requirements which it is contended the grantee has violated. The notice shall be filed and served not later than 10 days prior to the hearing and a copy therefor shall be filed with the presiding officer.
(7) The grantee and any other party which has a right or permission to participate in the hearing shall give written confirmation to the Department of its intention to appear at the hearing 3 days before it is scheduled to occur. Failure to do so may, at the discretion of the presiding officer, be deemed a waiver of the right to a hearing.
(8) All papers and documents filed or sent to a party shall be signed in ink by the appropriate party or his/her authorized representative. The date on which papers are filed shall be the day on which the papers or documents are deposited, postage prepaid in the U.S. mail, or are delivered in person. The effective date of the notice specifying the grounds which warrant termination shall be the date of its delivery or attempted delivery at the grantee's last known address as reflected in the records of the Department.
(9) Prior to the commencement of a hearing the presiding officer may, subject to the provisions of subparagraph (g)(2)(A) of this section, require the parties to meet with him/her or correspond with him/her con-

cerning the settlement of any matter which will expedite a quick and fair conclusion of the hearing.
(10) Technical rules of evidence shall not apply to hearings conducted pursuant to this section but the presiding officer shall apply rules or principles designed to assure production of relevant evidence and to subject testimony to such examination and cross-examination as may be required for a full and true disclosure of the facts. The presiding officer may exclude irrelevant, immaterial, or unduly repetitious evidence. A transcript shall be made of the oral evidence and shall be made available to any participant upon payment of the prescribed costs. All documents and other evidence submitted shall be open to examination by the parties and opportunity shall be given to refute facts and arguments advanced by either side on the issues.
(11) If the presiding officer determines that the interests of justice would be served, he/she may authorize the taking of depositions provided that all parties are afforded an opportunity to participate in the taking of the depositions. The party who requested the deposition shall arrange for a transcript to be made of the proceedings and shall upon request, and at his/her expense, furnish all other parties with copies of the transcript.
(12) Official notice may be taken of a public document, or part thereof, such as a statute, official report, decision, opinion or published scientific data issued by any agency of the Federal Government or a State or local government and such document or data may be entered on the record without further proof of authenticity. Official notice may also be taken of such matters as may be judicially noticed in the courts of the United States, State of California, or any other matter of established fact within the general knowledge of the Department. If the decision of the presiding officer rests on official notice of a material fact not appearing in evidence, a party shall on timely request be afforded an opportunity to show the contrary.
(13) After the hearing has concluded, but before the presiding officer makes his/her decision, he/she shall afford each participant a reasonable opportunity to submit proposed findings of fact and conclusions. After considering each proposed finding or conclusion the presiding officer shall state in his/her decision whether he/she has accepted or rejected them in accordance with the provisions of paragraph(h) and (i) of this section.
(h) Decision.
(1) Each decision of a presiding officer shall set forth his/her findings of fact, and conclusions, and shall state whether he/she has accepted or rejected each proposed finding of fact and conclusion committed by the parties, pursuant to subparagraph (g)(13) of this section. Findings of fact shall be based only upon evidence submitted to the presiding officer and matters of which official notice has been taken. The decision shall also specify the requirement or requirements with which it is found that the grantee has failed to comply.
(2) The decision of the presiding officer may provide for continued suspension or termination of the contract in whole or in part, and may contain such terms, conditions, and other provisions as are consistent with and will effectuate the purposes of the Community Services Block Grant Act, as amended.
(3) If the hearing is held by an independent hearing examiner rather than by the responsible Department official, he/she shall make an initial decision, and a copy of this initial decision shall be mailed to all parties. Any party may, within 20 days of the mailing of such initial decision or such longer period of time as the presiding officer specifies, file with the responsible Department official his/her exceptions to the initial decision and any supporting brief or statement. Upon the filing of such exceptions, the responsible Department official shall, within 20 days of the mailing of the exceptions, review the initial decision and issue his/her own decision thereon, including the reasons therefor. The decision of the responsible Department official may increase, modify, approve, vacate, remit, or mitigate any sanction imposed in the initial decision or may remand the matter to the presiding officer for further hearing or consideration.
(4) Whenever a hearing is waived, a decision shall be made by the responsible Department official and a written copy of the final decision of the reasonable Department official shall be given to the grantee.
(5) The grantee may request the Director to review a final decision made by the responsible Department official which provides for termination. Such a request must be made in writing within 15 days after the grantee has been notified of the decision in question and must state in detail the reasons for seeking the review. In the event the grantee requests such a review, the Director or his/her designee shall consider the reasons stated by the grantee for seeking the review and shall approve, modify, vacate or mitigate any sanction imposed by the responsible Department official or remand the matter to the responsible Department official for further hearing or consideration. The decision of the responsible Department official will be given great weight by the Director or his/her designee during the review. During the course of his/her review, the Director or his/her designee may, but is not required to, hold a hearing or allow the filing of briefs and arguments. Pending the decision of the Director or his/her designee, the grant shall remain suspended under the terms and the conditions specified by the responsible Department official unless the responsible Department official or the Director or his/her designee determines otherwise. Every reasonable effort shall be made to complete the review by the Director or his/her designee within 30 days of receipt of the grantee's request by the Director. The Director or his/her designee may, however, extend this period of time if he/she determines that additional time is necessary for an adequate review.
(6) The responsible Department official or the presiding officer of a termination hearing may alter, eliminate or modify any of the provisions of this section with the consent of the grantee and, in the case of a termination hearing, with the consent of all delegate agencies that have a right to participate in the hearing pursuant the subparagraph (e)(5) of this section. Such consent must be in writing or be recorded in the hearing transcript.
(7) The procedures established by this section shall not preclude the Department from pursuing other remedies authorized by law.
(i) Right to Counsel; Travel Expenses.
(1) The Department and the grantee shall have the right to be represented by counsel or other authorized representatives in all proceedings under this section. Any grantee or delegate agency if authorized by resolution of their Board of Directors, may transfer sufficient funds from their current operating grants to pay for fees, travel and per diem expenses of such attorney. The fees for such attorneys shall be the reasonable and customary fees for an attorney practicing in the locality of the attorney. However, such fees shall not exceed $100 per day, exclusive of travel costs and per diem, without the prior written approval of the Department.
(2) The Board of Directors of the grantee or any delegate agency which has a right to participate in an informal meeting pursuant to subparagraph (e)(8) of this section will also be authorized to designate two persons in addition to an attorney whose travel and per diem expenses to attend the meeting or hearing may be paid from the organization's current operating grant. Such travel and per diem expenses shall conform to the policies set forth in Office of Management and Budget (OMB) Circular A-110, dated 7/30/76, and OMB Circular A-102, dated 9/12/77, and other applicable federal laws or regulations which may supercede these policies.
(j) Denial of Refunding.
(1) No grantee shall be denied refunding by the Department without the Department first complying with paragraphs (e), (f), (g), (h) and (i) of this section.
(2) In addition to the general requirements of subsection (a), the Department shall obtain authority to terminate the contract of community action agency grantees or migrant and seasonal farmworker organization grantees from the Secretary of the U.S. Department of Health and Human Services pursuant to Section 676 A of the Community Services Block Grant Act, (42 U.S.C. 9905A), prior to a denial of refunding.
(k) Disposition of Unexpended Funds.
Upon termination, the disposition of unexpended CSBG funds and of property purchased with program funds shall be in accordance with the provisions of Section 100740 of Article 3 of these regulations, entitled Grant Closeouts for Terminated Grantees. Termination shall not affect expenditures or legally binding commitments made prior to the grantees receipt of notice of the termination provided such expenditures were made in good faith and are otherwise allowable.
NOTE

Authority cited: Section 12781(d)(1) and (e), Government Code. Reference: Section 12781(d)(1), Government Code.
HISTORY

1. Change without regulatory effect amending subsections (b)(1)-(c), (d)(1)-(8), (e)(1)-(f), (g)(2)-(4), (g)(4)(B), (g)(6)-(8), (g)(12), (h)(3)-(7), (i)(1), (j)(1)-(2)  and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100790. High Incidence of Poverty.
Note     •     History

NOTE

Authority cited: Section 12781(a), Government Code. Reference: Section 12758(b), Government Code.
HISTORY

1. Change without regulatory effect repealing section filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
§100795. Directory.
Note     •     History

The Department shall annually publish and distribute a directory of all current grantees providing services under the Community Services Block Grant and the Low-Income Home Energy Assistance Program.
NOTE

Authority cited: Section 12781(d), Government Code. Reference: Section 12781(i), Government Code.
HISTORY

1. Change without regulatory effect repealing section filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
2. Change without regulatory effect amending section and Note filed 12-20-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
Chapter 2. Low-Income Home Energy Assistance Program Regulations
§100800. Definitions.
Note     •     History

For the purposes of applying the Low-Income Home Energy Assistance Program regulations contained in Chapter 2:
(a) “Amendment” means any change to the terms or conditions outlined in the contract.
(b) “Community Action Agency” or “CAA” means a public or private nonprofit agency which fulfills all of the requirements of Government Code Section 12750.
(c) “Contract” means a written agreement between the Department and a contractor for the acquisition of property or the provision of services to accomplish a public purpose under a grant award.
(d) “Contractor” means an agency that may be a public or private nonprofit entity, which enters into a contract with the Department.
(e) “DEO” or “Department” means the California State Department of Economic Opportunity created pursuant to Government Code Section 12085 and designated in Government Code Section 16367.5 to administer the Low-Income Home Energy Assistance Program.
(f) “Dwelling Unit” means a house, including a stationary mobile home, an apartment, a group of rooms, or a single room occupied as separate living quarters.
(g) “ECIP” means Energy Crisis Intervention Program provided for pursuant to the Low-Income Home Energy Assistance Act of 1981, as amended.
(h) “Energy Crisis” means weather-related and supply shortage emergencies and other household energy-related emergencies.
(i) “Grant Award” means an award of financial assistance by the Department to a contractor.
(j) “Household” means any individual or group of individuals who are living together as one economic unit for whom residential energy is customarily purchased in common.
(k) “LIHEAP” means the Federal Low-Income Home Energy Assistance Program Block Grant, provided for pursuant to the Low-Income Home Energy Assistance Act of 1981, as amended (42 USC  8620 et seq.).
(l) “Poverty Level” means the income poverty line as prescribed and revised annually by the United States Office of Management and Budget.
(m) “Subcontract” means an award of financial assistance made under a contract by a contractor to a subcontractor.
(n) “Subcontractor” means the legal entity to which a subcontract is awarded and which is accountable to the contractor for the use of the funds provided.
(o) “Weatherization” means the installation of energy conservation measures identified in the contract that are cost effective and improve energy efficiency.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100805. Appeal Process.
Note     •     History

(a) Any person who has applied for benefits and/or services provided under a grant award from a contractor or a subcontractor whose application has been denied or not acted upon within fifteen (15) working days or has not received satisfactory performance according to the agreed upon program requirements of the contract has the right to first appeal such action to the contractor and, if not satisfied, subsequently appeal to DEO. For purposes of this section, DEO shall consider that there has been a denial of assistance when the following exists and a client has been refused service:
(1) The benefits, services and/or funds are currently available; and
(2) The contractor has the authority to provide or disburse such benefits, services and/or funds; and
(3) The applicant meets or believes that he/she can prove that he/she meets program eligibility criteria; and
(4) The applicant meets the conditions of the approved priority service plan.
(b) A written appeals process shall be established by each contractor and shall be provided to all applicants who are denied assistance.
(1) Procedures for the review of partial or complete denial of assistance to any person or household shall include the following:
(A) Provisions for notifying the applicant in writing of the reasons for denial of assistance and advising the applicant that he/she may request a review of the denial and may submit additional information (in writing or orally) which the applicant believes would warrant a favorable determination.
(B) Provisions for reviewing the denial of an application for assistance in an expeditious manner if such is requested by the applicant. This shall include the specific assignment of responsibility to a senior level official or standing committee other than the person making the initial determination.
(C) Provisions for notifying the applicant of the contractor's final decision.
(D) The methods the contractor will employ to notify applicant of the existence of the appeals process.
(E) Provisions for ensuring that every effort will be made to provide persons who do not comprehend English with written materials and/or procedures in the appropriate language(s).
(F) Provisions for the retention of documents relating to specific denials of assistance and action(s) taken by the contractor. Such records must be maintained in the contractor's files for three years and shall be available for review by DEO officials upon request.
(G) Provisions to inform applicants that an appeal to DEO may be requested as part of the fair hearing process and provisions for providing a description to the applicant of the process and criteria for appeal to DEO as outlined in subsections (c) and (d) of this section.
(2) A written description of the aforementioned required procedures shall be maintained on file by the contractor and shall be available for public inspection.
(c) Should the applicant decide to appeal to DEO, the applicant shall submit a written appeal request to DEO within ten (10) working days from the date of the contractor's final decision. Upon request from DEO, the contractor shall provide all supportive documentation to DEO, postmarked within ten (10) working days of the request.
(d) DEO shall provide an opportunity for an administrative fair hearing if an applicant's concern is not resolved by appeal to the contractor. Within five (5) working days, upon receipt of a request for a fair hearing, DEO shall schedule a fair hearing to be conducted no later than fifteen (15) working days from receipt of a request for a fair hearing. The fair hearing shall be conducted in accordance with the following criteria:
(1) The hearing shall be held in a place reasonably convenient to the applicant and open to the public.
(2) The applicant shall receive notification of the hearing no less than five (5) working days before the scheduled hearing, to enable a proper preparation of the applicant's appeal.
(3) The applicant shall have an opportunity to review his/her claim file, which contains all the evidence to be presented, prior to the hearing.
(4) The hearing officer shall be an impartial adjudicator who has not participated in the decision being appealed.
(5) The applicant is guaranteed the right to:
(A) Have a representative at the hearing;
(B) Present evidence, including oral and/or written statements on his/her behalf;
(C) Present witnesses; and
(D) Cross-examine witnesses.
(6) The applicant shall be given the opportunity to elect to have the matter determined through use of a declaration in lieu of personal appearance.
(7) The hearing officer shall issue a final decision, in writing, within thirty (30) calendar days following the conclusion of the fair hearing.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.55(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100810. Certification Requirements.
Note     •     History

(a) Prior to receiving funds, a new contractor selected for funding under LIHEAP shall submit an accounting system report, signed by an independent certified public accountant or an independent State-licensed public accountant, or, in the case of a public agency, the financial officer responsible for providing required financial services to the contractor.
(b) The report shall certify that the new contractor has established an adequate accounting system with internal controls to safeguard assets, check the accuracy and reliability of all accounting data, promote operating efficiency, and assure compliance with any other fiscal requirements provided for by law.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100815. Closeout Process.
Note     •     History

(a) A contractor shall submit all grant closeout documents, including final financial, performance, and other reports required as a condition of the grant award, no later than ninety (90) calendar days following the date of completion of the contract. Upon written request by the contractor, the Department may extend the submittal date. Required reports may include but are not limited to:
(1) Final performance or activity report.
(2) Final expenditure report and request for reimbursement.
(3) State-owned property report. The contractor must submit an inventory of all state-owned property (as distinct from property acquired with contract funds) for which it is accountable and request disposition instructions from the Department for property no longer needed.
(b) The Contractor must refund any unexpended funds to the Department.
(c) The Department will, within 90 days after receipt of reports in paragraph (a) of this section, make upward or downward adjustments to the allowable costs.
(d) The Department will make prompt payment to the contractor for allowable reimbursable costs which have not been reimbursed during the regular monthly billing process. This payment shall, however, be contingent upon receipt of the reports identified in paragraph (a) of this section.
(e) The Department will close out the contract when it determines that all applicable administrative actions and all required work have been completed.
(f) The close out of a contract does not affect:
(1) The Department's right to disallow costs and recover funds on the basis of a later audit or other review;
(2) The contractor's obligation to return any funds due as a result of later refunds, corrections, or other transactions;
(3) Records retention requirements;
(4) Property management requirements; and
(5) Audit requirements.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code. 
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100820. Designation of a New or Alternate Contractor.
Note     •     History

(a) In the event a contractor files for bankruptcy or in some other manner ceases operations or has its grant terminated in accordance with Section 100875 of this Chapter, DEO shall select a new contractor based on 42 United States Code, Section 8624. In all instances where a new contractor is identified, DEO shall, prior to selecting said contractor, determine that the agency involved meets program and fiscal requirements.
(b) The following procedure shall be used for selecting a successor:
(1) DEO shall seek out a private nonprofit or public agency which is located and currently providing services to the general low-income population in the subject area. The agency shall be given the opportunity to fill the vacancy. Should there be more than one such entity interested in serving, special consideration shall be given in accordance with 42 U.S.C., Section 8624(b)(6) as follows:
(A) A local public or private nonprofit agency which was receiving Federal funds under any low-income energy assistance program or weatherization program under the Economic Opportunity Act of 1964 or any other provision of law on August 12, 1981.
(B) Any successor public or private nonprofit agency which is operated in substantially the same manner and for substantially the same purpose as the predecessor agency as described in subsection (b)(1)(A) above.
(2) When no such eligible entity or public or private nonprofit agency exists in a subject area, an entity which is located and providing services in an area contiguous to the subject area shall be offered the opportunity to serve using the same priority order as specified in subsection (b)(1) above.
(3) When no such eligible entity or public or private nonprofit agency exists contiguous to the subject area, an eligible entity located closest to or within reasonable proximity to the subject area shall be offered the opportunity to serve using the same priority order as specified in subsection (b)(1) above.
(c) In the event that more than one eligible entity exists and is willing to perform services after applying the procedures for selection of a successor agency in subsection (b), DEO shall utilize a competitive process to select a new contractor. When a competitive process is required, the Department will provide, at a minimum, the following to all interested parties. This information will be provided at least thirty (30) calendar days prior to the deadline for request for consideration under the competitive process.
(1) The background and purpose of the need for the competitive process.
(2) A description of the work to be performed and the service area in which it must be performed.
(3) The eligibility criteria for participating in the competitive process.
(4) A description of the required format for the response.
(5) The timetable for submittal, review and evaluation of the responses.
(6) The criteria which will be used by the Department to select the successor contractor.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100825. Financial Statements and Audits.
Note     •     History

(a) Single agency-wide audits shall be conducted in accordance with Office of Management and Budget (OMB) Circular A-128 or OMB Circular A-133, which are hereby incorporated by reference, as specified in (a)(1), (a)(2) and (a)(3) of this section along with other applicable Federal laws or regulations which may be adopted.
(1) OMB Circular A-128 shall be used when the contractor is a state or local government or an Indian tribe as defined in the Circular.
(2) OMB Circular A-133 shall be used when the contractor is a nonprofit agency or an institution of higher education as defined in the Circular.
(3) Should a question arise regarding an entity's status as either a public or private nonprofit, the Department shall request and accept a decision from the State Controller's Office as to which OMB Circular should be used.
(b) Audited financial statements shall be prepared in accordance with generally accepted accounting principles; generally accepted government auditing standards; those audit standards that apply to financial and compliance audits set forth in the Government Auditing Standards, 1988 Revision, issued by the General Accounting Office, which is hereby incorporated by reference; along with any other applicable State and Federal guidelines. Additionally, the audit shall show receipt and expenditure of DEO funds separately by program component and contract award.
(c) Entities governed by OMB Circular A-128 shall submit to the State Controller's Office, Division of Audits, two (2) copies of the required audit report within one (1) year of the expiration of the contractor's fiscal year.
(d) Entities governed by OMB Circular A-133 shall submit to DEO two (2) copies of the required audit report within ninety (90) calendar days of the expiration of the contractor's fiscal year. Under extenuating circumstances and upon written request by the contractor, DEO may grant an extension of time for submittal of the audit report.
(e) Where services or funds under this Chapter are provided to, for, or by a wholly-owned or  -controlled subsidiary of a contractor, the contractor shall provide assurances that an audit will be performed of the subsidiary organization in accordance with this Chapter. The required audit report shall be made available to DEO upon request.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100830. Funding Formula.
Note     •     History

(a) Weatherization Services. The State shall designate service areas and provide funds to contractors for weatherization services based on the following factors:
(1) A service area shall contain no less than fifty thousand (50,000) people as established by the latest available United States Census, but in no case shall a currently established service area be reduced in size nor an agency presently funded under this Chapter which does not meet the criteria of this subsection be declared ineligible.
(2) A minimum funding level for each service area shall be no less than $65,000 except in the event of a federal grant reduction which exceeds twenty (20) percent of the prior year federal allocation. Should a federal grant reduction exceed twenty (20) percent of the prior year federal allocation, the minimum funding level shall be reduced.
(3) Funds may be targeted and made available to provide weatherization services to special population groups as needs are identified.
(4) The remaining funds shall be distributed by service area utilizing a formula which includes, at a minimum, the following:
(A) Low-income population;
(B) Energy costs; and
(C) Heating and cooling degree days.
(b) ECIP Services. The State shall designate service areas and provide funds to contractors for ECIP services based on the following factors:
(1) A service area shall contain no less than fifty thousand (50,000) people as established by the latest available United States Census, but in no case shall a currently established service area be reduced in size nor an agency presently funded under this Chapter which does not meet the criteria of this subsection be declared ineligible.
(2) A minimum funding level for each service area shall be no less than $85,000 except in the event of a federal grant reduction which exceeds twenty (20) percent of the prior year federal allocation. Should a federal grant reduction exceed twenty (20) percent of the prior year federal allocation, the minimum funding level shall be reduced.
(3) The remaining funds shall be distributed by service area utilizing a formula which includes, at a minimum, the following:
(A) Low-income population;
(B) Energy costs; and
(C) Heating and cooling degree days.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Sections 16367.6(b) and 16367.5(f), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100835. Contract Development Process.
Note     •     History

(a) Any contract that is being considered for a new program year shall be subject to review and comment.
(b) A notice of proposed changes to the provisions of the contract language shall be provided to the DEO Advisory Commission and all contractors for review and comment.
(c) Interested parties shall have no less than thirty (30) calendar days from the notice of proposed change to present written comments to the Department or oral comments at a scheduled DEO Advisory Commission meeting.
(d) The Department shall review and consider all written and public comments when finalizing the actual contract language.
(e) Any amendment other than those identified below shall be subject to the same processes identified in (b) and (c) of this section. The following types of amendments, or combination of amendments, shall not be subject to review and comment:
(1) Extension of term only.
(2) Funding increase.
(3) Amendments required as a result of a State or Federal law or regulation.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100840. Payment Process.
Note     •     History

(a) DEO shall issue an advance payment, if requested in writing, to a contractor in an amount not to exceed twenty-five (25) percent of the contractor's total award for each component contained in the contract.
(b) In the event a contract award is amended to increase the total dollar amount, a subsequent advance payment not to exceed twenty-five (25) percent of the increased amount may be authorized by DEO, if a contractor requests an advance payment in writing. The need for an additional advance payment shall be based upon an analysis of contractor's documented cash flow requirements as recorded on monthly reports.
(c) A contractor shall submit a monthly invoice to DEO based on a fixed fee or an actual cost/earned reimbursement basis, as specified in the contract, for LIHEAP weatherization services performed.
(1) Payment under a fixed fee contract shall be equivalent to the value of allowable activities performed at the rate stated in the contract. Any excess income generated as a result of actual costs being less than the fixed rate shall be used by the contractor for any valid low-income energy assistance/weatherization activity, in accordance with LIHEAP statutory and regulatory limits on expenditures. The allowable period for expenditure of the excess income shall be the same as that for expenditure of program income.
(2) Payment under an actual cost/earned reimbursement contract shall be equivalent to contractor's actual allowable expenditures provided that, no later than the termination date of the contract, this amount does not exceed the value of allowable activities performed as stated in the contract.
(d) A contractor shall submit a monthly invoice to DEO prepared on an actual cash expenditure basis for ECIP services performed.
(e) Payments to a contractor shall be processed through the State Controller's Office and shall be contingent upon receipt by DEO of all monthly reports required by the contract.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Sections 11019, 16367.6(b) and 16367.7, Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100845. Political Activities.
Note     •     History

(a) A contractor shall refrain from all political activities if the activities involve the use of any funds which are the subject of this Chapter or any other funds, programs, projects, or activities which originate from this Chapter.
(b) A contractor shall be prohibited from any activity which is designed to provide voters or prospective voters with transportation to the polls or to provide similar assistance in connection with an election if such activities involve the use of any funds which are subject to this Chapter.
(c) A contractor shall refrain from all lobbying activities if such activities involve the use of any funds which are the subject of this Chapter or any other funds, programs, projects, or activities which originate from this Chapter.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100850. Procurement Standards and Property Management.
Note     •     History

(a) A contractor shall comply with the procurement and property management standards set forth in the Common Rule, sections .30 through .37, Changes, Property, and Subawards, as published in Volume 53, Number 48, Federal Register, March 11, 1988, which is hereby incorporated by reference and other applicable Federal laws or regulations which may augment or supersede these standards.
(b) LIHEAP funds shall not be used for the purchase or improvement of land, construction, or permanent improvement of any building or other facility other than weatherization or energy- related minor home repairs for low-income households.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100855. Program and Interest Income.
Note     •     History

(a) All interest earned on deposited LIHEAP funds shall be treated as program income in accordance with the Intergovernmental Cooperation Act (31 U.S.C. 6501, et seq.).
(b) A contractor shall comply with the requirements and standards set forth in the Common Rule, Section .25, Program Income, as published in Volume 53, Number 48, Federal Register, March 11, 1988, which is hereby incorporated by reference and other applicable Federal laws or regulations which may be adopted.
(c) Program income is defined as gross income received by a contractor directly generated or earned as a result of grant activities during the term of the contract. If costs are incurred in generating program income, these costs may be deducted from the gross program income to identify reportable net program income.
(d) Program income shall be used in one of the following ways:
(1) Added to grant funds awarded by DEO to further program objectives;
(2) Used to finance the non-Federal share of cost sharing or matching requirements of other Federal programs, when approved by DEO; or
(3) Deducted from the total project costs in determining the total allowable expenditures.
(e) Program income earned during a grant period may be retained and used during the program year and/or subsequent program years for grant approved expenditures for energy, subject to the following conditions:
(1) A contractor shall maintain records which clearly identify the receipt and disposition of all grant-related income in the same manner as required for other DEO grant funds.
(2) A contractor shall identify in the grant closeout report all program income remaining over the expenditure of such income during the program year.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100860. Public Access to Records.
Note     •     History

Any person who wishes to inspect or copy records regularly maintained by a contractor may do so upon written request. Information and records shall be made available to the requestor in accordance with the Public Records Act (Government Code Section 6250, et seq.) except for information and records which are exempt from the requirements of disclosure pursuant to the Information Practices Act of 1977 (Civil Code, Section 1798, et seq.).
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100865. Recapture and Redistribution of Unexpended Funds.
Note     •     History

(a) Contract time extensions shall be approved when DEO determines that extenuating circumstances occurred beyond the control of the contractor. A contractor shall request the time extension in writing and provide justification for the request.
(b) In the event there are unexpended funds after determinations have been made regarding extensions, DEO shall offer recaptured funds to private nonprofit or public entities which are currently providing services and have met the goals and objectives as established in the existing contract. When distributing these funds, the Department shall give special consideration to the needs of the low-income population.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100870. Record Keeping.
Note     •     History

(a) A contractor shall comply with the record keeping standards set forth in the Common Rule, section .42, Retention and access requirements for records, as published in Volume 53, Number 48, Federal Register, March 11, 1988, which is hereby incorporated by reference, and other applicable Federal laws or regulations which may augment or supersede these standards.
(b) A contractor shall maintain all records required under LIHEAP for a minimum period of three (3) years following the submission of the final expenditure report. However, all records shall be maintained until resolution of all audit findings is completed.
(c) A contractor shall make all books, documents, papers and records relative to LIHEAP available to the State or any of its duly-authorized representatives, for examination or reproduction, upon a request thereof. The State shall pay contractor actual costs for any reproduction requested.
(d) Records shall be maintained in a confidential manner to assure compliance with the Information Practices Act of 1977 (Civil Code, Section 1798, et seq.).
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
§100875. Suspension and Termination.
Note     •     History

(a) High Risk. 
The Department may designate a contractor as a high risk agency and impose special conditions/restrictions on the agency's contract(s) if it is determined that one or more of the following conditions exists:
(1) The contractor has a history of unsatisfactory performance (noncompliance with contractual terms);
(2) The contractor is not financially stable;
(3) The contractor's management system does not meet the management standards set forth in regulatory standards for the administration of federally funded grants;
(4) The contractor has not conformed with terms and/or conditions of previous award(s); or
(5) The contractor is otherwise not responsible.
(b) Should a high risk designation be warranted because the conditions identified in subsection (a) are found to exist, the Department shall notify the contractor in writing of the following and grant the contractor thirty (30) days to implement corrective action or provide evidence which rebuts the designation.
(1) The rationale for the high risk designation;
(2) The nature of the special contract condition(s) and/or restriction(s) being imposed;
(3) The reason(s) for imposing the special condition(s) and/or restriction(s);
(4) The corrective actions which must be taken and the time allowed for completing the corrective actions before the special conditions are removed;
(5) The procedures for requesting reconsideration of the condition(s)/restriction(s) imposed.
(c) If the contractor fails to provide evidence warranting reconsideration of the designation within the time specified in subsection (b), the agency will be provided official notice of the high risk designation. Notification will also be distributed to all other known funding sources of the contractor.
(d) Should the Department determine that contract(s) will be awarded or continued once an agency has been designated high risk, special conditions and/or restrictions which correspond to the high risk condition shall be imposed. Special conditions or restrictions may include but are not limited to the following:
(1) Require payment on a reimbursement basis;
(2) Limit the term of the contract within the funding period;
(3) Require additional financial reports;
(4) Require frequent on-site review; or
(5) Require the contractor to obtain technical or management assistance.
If the Department is notified by a separate funding source that it has designated a contractor high risk, the Department may impose special conditions and/or restrictions on the contractor.
(e) The removal of the high risk designation can only be accomplished by the contractor providing proof of corrective action deemed satisfactory by the Department. DEO will notify other funding sources of the high risk designation removal.
(f) Notice of Intent to Suspend. Should a contractor fail to address and remedy the conditions which led to its high risk designation within the time frame specified pursuant to subsection (b)(4), DEO shall notify the contractor in writing that it intends to suspend a contract(s) in whole or in part, unless good cause is shown why the contract(s) should not be suspended. The notice shall specify the grounds for the proposed suspension, the proposed effective date of the suspension, the time frame within which the contractor must respond to the notice and the action necessary to adequately correct the deficiency which led to the initiation of the suspension process.
(g) Informal Meeting on Suspension. The contractor shall have a right to submit documentation in opposition to the intended suspension and to request an informal meeting to show cause why such suspension should not occur. The period of time within which the contractor may submit such documentation or request the informal meeting shall be specified in the notice of intent to suspend and shall be no less than five (5) working days after the notice has been sent. Should the contractor request a meeting, the responsible Department official shall set a time and place for the meeting, which shall not be less than five (5) working days following the receipt of the contractor's request. In lieu of the right of the contractor to request an informal meeting, the Department may on its own initiative establish a time and place for such a meeting. In no event, however, shall such a meeting be scheduled less than seven (7) working days after the notice of intent to suspend has been sent to the contractor. The Department official may extend the periods of time or dates previously referred to and shall notify the contractor, in writing, of any such extension.
(h) Department Review of Suspension Documents. DEO shall consider any material presented during the course of the informal meeting provided for in subsection (g) of this section, as well as any showing that the contractor has adequately corrected the deficiency which led to the initiation of suspension proceedings. If after considering the material presented the Department concludes that the contractor has failed to show cause why the contract should not be suspended, the Department may suspend the contract in whole or in part and under such terms and conditions as the Department may specify.
(i) Suspension. Should the Department determine suspension is warranted under subsection (h), notice of suspension shall be promptly transmitted to the contractor and shall become effective upon delivery. Suspension shall not exceed a ninety (90) calendar day period unless, during such period of time, termination proceedings are initiated or the Department and the contractor agree to a continuation of the suspension for an additional period of time.
(1) During the period of suspension, no new expenditures shall be made by the contractor, and no new obligations shall be incurred in connection with the suspended program except as specifically authorized in writing by DEO. Expenditures to fulfill legally enforceable commitments made prior to the notice of suspension, in good faith and in accordance with the contractor's approved work program and not in anticipation of suspension or termination, shall not be considered new expenditures. However, funds shall not be recognized as committed solely because the contractor has obligated them by contract or otherwise to another party.
(2) The Department may modify the terms, conditions and nature of the suspension or rescind the suspension action at any time upon the Department's initiative or upon a satisfactory showing that the contractor has adequately corrected the deficiency which led to the suspension and that repetition is not threatened. A suspension partly or fully rescinded may, at the discretion of DEO, be reimposed with or without further proceedings. However, the total time of suspension may not exceed ninety (90) calendar days unless termination proceedings are initiated in accordance with DEO policies and procedures governing the termination of contracts or unless DEO and the contractor agree to a continuation of the suspension for an additional period of time. If termination proceedings are initiated, the suspension shall remain in full force and effect until such proceedings have been fully concluded.
(j) Termination. Should a contractor substantially breach the terms and conditions of its contract so as to warrant termination, whether or not the contract has been suspended, the Department shall state that there appear to be grounds which warrant termination and shall set forth the specific reasons therefore.
(1) Notice of Termination. A notice shall advise the contractor that the matter has been set down for hearing at a stated time and place, the nature of the hearing, and the legal authority under which the hearing is to be held. The notice shall also specify the facts upon which the proposed termination has been based and the requirements which the contractor has allegedly violated.
(2) Termination Hearing. Hearings shall be scheduled for the earliest practicable date, but not less than thirty (30) days after issuance of the notice of termination. Any such hearing shall afford the contractor a full and fair opportunity to demonstrate that it is in compliance with all applicable laws, regulations, and other requirements. The hearing shall be open to the public unless the presiding officer, for good cause shown, determines otherwise. Both the Department and the contractor are entitled to present their case by oral or documentary evidence, to submit rebuttal evidence and to conduct such examination and cross-examination as may be required for a full and true disclosure of the facts bearing on the issues.
Any person or organization who wishes to participate in the hearing shall apply for permission to do so from the Department. The Department shall permit or deny such participation and shall give written notice of the decision to the applicant and the contractor, and, in the case of denial, a brief statement of the reasons therefore.
(3) The decision of the Department shall be made no later than ten (10) days following the hearing. The decision shall be in writing and shall set forth the findings of fact and conclusions. It shall state whether the Department has accepted or rejected each finding of fact or conclusions.
(4) In the event of termination, DEO may proceed to provide services in the area served by the terminated contractor in the manner prescribed in Section 100820 of this Chapter.
(5) DEO shall retain lien rights on all funds advanced and/or all property provided.
(6) Upon termination of any agreement, DEO, unless expressly granted in writing, shall not pay contractor for any obligations incurred after the effective date of such termination.
NOTE

Authority cited: Section 16367.6(b), Government Code. Reference: Section 16367.6(b), Government Code.
HISTORY

1. New section filed 5-8-92; operative 6-8-92 (Register 92, No. 20).
Chapter 3. Applicant Verification Regulations
§100900. Verification for Public Benefits for Noncitizens Under the Low-Income Home Energy Assistance Program and the Department of Energy Low-Income Weatherization Assistance Program.
Note     •     History

(a) All verification requirements contained herein shall be applied without regard to the race, creed, color, gender, religion, or national origin of the individual applying for the public benefit.
(b) The provisions of this section shall apply only to the following federally-funded grant programs administered by the Department: 
(1) The following components of the Low-Income Home Energy Assistance Program (LIHEAP): Specifically (a) the Home Energy Assistance Program (HEAP) component; (b) the Energy Crisis Intervention Program (ECIP) component; and (c) Weatherizing single-family dwellings (not multi-family dwellings) within the Weatherization component. 
(2) Weatherizing single-family dwellings (not multi-family dwellings) under the Department of Energy Low-Income Weatherization Assistance Program (DOE-LIWAP). 
NOTE

Authority cited: Sections 12781(d) and 16367.5, Government Code. Reference: Sections 1611, 1611(b), 1641, 1641(b) and (c), and 1642, 8 U.S.C.; Sections 12781(d) and 16367.5, Government Code; and 62 FR 61344 and 61370.
HISTORY

1. New section filed 2-24-98 as an emergency; operative 2-24-98 (Register 98, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-24-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-24-98 order, including amendment of subsections (e)(1), (e)(3), (g) and (j) and amendment of Note, transmitted to OAL 6-24-98 and filed 8-5-98 (Register 98, No. 32).
3. Change without regulatory effect relocating and amending chapter 3 heading from prior placement preceding section 10115 to new placement preceding section 100900 filed 1-28-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
4. Amendment of chapter heading,  section heading and subsection (a), repealer of subsections (b)-(j), new subsections (b)-(b)(2), and amendment of Note filed 6-14-2001 as an emergency; operative 6-14-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-12-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-14-2001 order transmitted to OAL 9-20-2001 and filed 11-2-2001 (Register 2001, No. 44).
§100901. Definitions.
Note     •     History

The following definitions shall apply to this subchapter: 
(a) “Applicant” means any person applying to the Department and/or its contracting agencies for a public benefit. 
(b) “Battered or subjected to extreme cruelty” means, but is not limited to, being the victim of any act or threatened act of violence, including any forceful detention, which results or threatens to result in physical or mental injury. Psychological or sexual abuse or exploitation, including rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence. Other abusive actions may also be acts of violence under this rule. Acts or threatened acts that, in and of themselves, may not initially appear violent may be part of an overall pattern of violence. 
(c) “Department” means the California Department of Community Services and Development. 
(d) “INA” means the Immigration and Nationality Act. 
(e) “INS” means the Immigration and Naturalization Service. 
(f) “Noncitizen” means any person not a citizen or national of the United States. 
(g) “Nonprofit charitable organization” for purposes of this subchapter, shall mean an organization which shall include, but not necessarily be limited to, organizations which have received a tax exemption from the Internal Revenue Service pursuant to Internal Revenue Code section 501(c)(3). An organization is “nonprofit” if it is organized and operated for purposes other than making gains or profits for the organization, its members or its shareholders, and is precluded from distributing any gains or profits to its members or shareholders. An organization is “charitable” if it is organized and operated for charitable purposes. The term “charitable” includes organizations dedicated to relief of the poor and distressed or the underprivileged, as well as religiously affiliated organizations and educational organizations. 
(h) “PRWORA” means the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, (P. L. 104-193). 
(i) “Qualified alien” means an alien who, at the time he or she applies for, receives, or attempts to receive a public benefit, is, under 8 U.S.C. § 1641(b) and (c), any of the following: 
(1) An alien lawfully admitted for permanent residence under the INA (8 U.S.C. § 1101 et seq.). 
(2) An alien who is granted asylum under Section 208 of the INA (8 U.S.C. § 1158). 
(3) A refugee who is admitted to the United States under Section 207 of the INA (8 U.S.C. § 1157). 
(4) An alien who is paroled into the United States under Section 212(d)(5) of the INA (8 U.S.C. § 1182(d)(5)) for a period of at least one year. 
(5) An alien whose deportation is being withheld under Section 243 (h) of the INA (8 U.S.C. § 1253(h)) (as in effect immediately before the effective date of Section 307 of division C of Public Law (P.L.) 104-208) or Section 241(b)(3) of such Act (8 U.S.C. § 1251(b)(3)) (as amended by Section 305(a) of division C of P.L. 104-208). 
(6) An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980 (8 U.S.C. § 1153(a)(7). 
(7) An alien who is a Cuban and Haitian entrant (as defined in Section 501 (e) of the Refugee Education Assistance Act of 1980). 
(8) An alien under 8 U.S.C. § 1641(c)(1) who: 
(A) has been battered or subjected to extreme cruelty in the United States by a spouse or a parent, or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent of the alien consented to, or acquiesced in, such battery or cruelty, and has the need for the benefits to be provided 
(B) and has a petition that has been approved or has a petition pending which sets forth a prima facie case for: 
(i) status as a spouse or child of a United States citizen pursuant to clause (ii), (iii), or (iv) of Section 204(a)(1)(A) of the INA (8 U.S.C. § 1154(a)(1)(A) (ii), (iii), or (iv)), 
(ii) status as a spouse or child of a lawful permanent resident pursuant to clause (ii) or (iii) of Section 204(a)(1)(B) of the INA (8 U.S.C. § 1154(a)(1)(B)(ii) or (iii)), 
(iii) suspension of deportation under section 244(a)(3) of the Immigration and Nationality Act (as in effect before the title III-A effective date in section 309 of the Illegal Immigration and Immigrant Responsibility Act of 1996, 
(iv) status as a spouse or child of a United States citizen pursuant to clause (i) of Section 204(a)(1)(A) of the INA (8 U.S.C. § 1154(a)(1)(A)(i)) or status as a spouse or child or unmarried son or daughter of a lawful permanent resident pursuant to clause (i) of Section 204(a)(1)(B) of the INA (8 U.S.C. § 1154(a)(1)(B)(i)), or 
(v) cancellation of removal under the INA (8 U.S.C. § 1229b(b)(2)). 
(9) An alien under 8 U.S.C. § 1641(c)(2) whose child: 
(A) has been battered or subjected to extreme cruelty in the United States by a spouse or a parent of the alien (without the active participation of the alien in the battery or cruelty), or by a member of the spouse or parent's family residing in the same household as the alien and the spouse or parent consented or acquiesced to such battery or cruelty, and the alien did not actively participate in such battery or cruelty, but only if (in the opinion of the Department of Community Services and Development and/or its contractors) there is a substantial connection between such battery or cruelty and the need for the benefits to be provided; and 
(B) who meets the requirements of subparagraph (B) of paragraph (8); or 
(10) An alien child under 8 U.S.C. § 1641(c)(3) who: 
(A) resides in the same household as a parent who has been battered or subjected to extreme cruelty in the United States by that parent's spouse or by a member of the spouse's family residing in the same household as the parent and the spouse consented or acquiesced to such battery or cruelty, but only if (in the opinion of the agency providing such benefits) there is a substantial connection between such battery or cruelty and the need for the benefits to be provided, and: 
(B) who meets the requirement of subparagraph (B) of paragraph (8) 
(11) and for the period for which benefits are sought, the individual responsible for the battery or cruelty to the individuals identified in Sections (8), (9) and (10) does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty. 
(12) and there is a substantial connection between such battery or cruelty to the individuals identified in Sections (8), (9) and (10) and the need for the benefits to be provided in the opinion of the Department of Community Services and Development and/or its contractors. 
NOTE

Authorities cited: Sections 12781(d) and 16367.5, Government Code. Reference: Sections 1101 et seq., 1551 et seq., 1601 et seq., 1641(b), (c) and (c)(2), 8 U.S.C.; 62 FR 61344 and 61369; and 63 FR 41662 and 41677.
HISTORY

1. New section filed 6-14-2001 as an emergency; operative 6-14-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-12-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-14-2001 order transmitted to OAL 9-20-2001 and filed 11-2-2001 (Register 2001, No. 44).
§100902. Eligibility for Federal Public Benefits.
Note     •     History

To be eligible to receive federal public benefits under the Department's programs: 
(a) The applicant must declare himself or herself to be a citizen or national of the United States or a qualified alien under 8 U.S.C. § 1641(b) or (c). 
(b) The applicant shall declare that status through use of the “Statement of Citizenship or Noncitizen Status for Public Benefits,” CSD Form 600, Revised 6/01. 
(c) The applicant must present documents of a type set forth in List A of CSD Form 600, Revised 6/01, in the case of an applicant who is a citizen or national or List B of CSD Form 600 in the case of an applicant who is a noncitizen, that serves as reasonable evidence of the applicant's declared status at the time of application. A fee receipt from the INS for replacement of a lost, stolen, or unreadable INS document is reasonable evidence of the noncitizen applicant's declared status. 
(d) The applicant must complete and sign CSD Form 600, Revised 6/01. 
(e) Where the documents presented appear to be questionable or do not appear to relate to the individual presenting them, the government entity that originally issued the documents shall be contacted for verification. With regard to naturalized citizens and derivative citizens presenting certificates of citizenship and noncitizens, the INS is the appropriate government entity to contact for verification. Contractors of the Department of Community Services and Development shall request verification from the INS by filing INS Form G-845 with copies of the pertinent documents provided by the applicant with the local INS office. If the applicant has lost his or her original documents or presents expired documents or is unable to present any documentation evidencing his or her immigration status, the applicant shall be referred to the local INS office to obtain documentation. 
(1) Inquiries regarding battered noncitizen petitions should be directed to the Vermont Service Center at (802) 527-3160. 
(2) Inquiries regarding applications for suspension of deportation and cancellation of removal statuses should be directed to the Executive Office for Immigration Review (EOIR). 
(f) Documents that should be referred to the INS for verification using the INS Form G-845 shall include the following: 
(1) The document presented indicates immigration status but does not include an alien registration or alien admission number. 
(2) The document is suspected to be counterfeit or to have been altered. 
(3) The document includes an alien registration number in the A60 000 000 (not yet issued) or A80 000 000 (illegal border crossing) series. 
(4) The document is one of the following: an INS Form I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Record of Permanent Residence, an Arrival-Departure Record (INS Form I-94) or a foreign passport stamped “PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE” that INS issued more than one year before the date of application for federal public benefits. 
(g) If the INS advises that the applicant has acquired citizenship status or has an immigration status which makes him or her a qualified alien, the INS verification shall be accepted. If the INS advises that it cannot verify that the applicant has acquired citizenship status or an immigration status that makes him or her a qualified alien, benefits shall be denied and the applicant notified pursuant to section 100905 of his or her rights to appeal the denial of benefits under the Low-Income Home Energy Assistance Program, and/or the Department of Energy Low-Income Weatherization Assistance Program. 
(h) An applicant who contends the INS made an erroneous determination of immigration status must be advised to contact the INS, and provided assistance as needed in how to contact the INS to contest the INS determination. 
(i) Provided that the noncitizen has completed and signed CSD Form 600, Revised 6/01, under penalty of perjury, eligibility for services under the Low-Income Home Energy Assistance Program, or the Department of Energy Low-Income Weatherization Assistance Program shall not be delayed, denied, reduced, or terminated while the status of the applicant is verified, or while the applicant pursues an appeal pursuant to (g) or (h) of this section. 
NOTE

Authorities cited: Sections 12781(d) and 16367.5, Government Code. Reference: 62 FR 61344 and 61366; and 63 FR 41662, 41666, 41678 and 41679.
HISTORY

1. New section filed 6-14-2001 as an emergency; operative 6-14-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-12-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-14-2001 order transmitted to OAL 9-20-2001 and filed 11-2-2001 (Register 2001, No. 44).
§100903. Self-Certification.
Note     •     History

Self-certification is allowed only under the LIHEAP Energy Crisis Intervention Program (ECIP) component pursuant to section 2604(c)(1) and (2) of the LIHEAP, P.L. 97-35, as amended, which requires that assistance in the form of a payment guarantee be provided not later than forty-eight (48) hours after a household applies for ECIP, and not later than eighteen (18) hours if the household is in a life-threatening situation. 
(a) An applicant may self-certify that he/she is a U.S. citizen or non-citizen national or a qualified alien by signing, under penalty of perjury, CSD Form 600, if he/she is not able to provide documentation. 
(b) Applicant must provide proof of citizenship or noncitizen status to provider within thirty (30) days. 
(c) If documentation is not received within 30 days, the applicant must be notified in writing that he/she is ineligible to receive future benefits until the proof is received. 
NOTE

Authorities cited: Sections 12781(d) and 16367.5, Government Code. Reference: P.L. 97-35 Section 2604(c)(1) and (2); Section 1642, 8 U.S.C.; and 63 FR 41662, 41663 Section 104.2 and 41666 Section 104.6.
HISTORY

1. New section filed 6-14-2001 as an emergency; operative 6-14-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-12-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-14-2001 order transmitted to OAL 9-20-2001 and filed 11-2-2001 (Register 2001, No. 44).
§100904. Exemptions.
Note     •     History

(a) Pursuant to 8 U.S.C. § 1642(d), a nonprofit charitable organization that provides federal, state, or local public benefits shall not be required to determine, verify, or otherwise require proof of eligibility of any applicant or beneficiary with respect to his or her immigration status. 
(b) Nothing in this section shall be construed to withdraw eligibility for the services under the applicable programs subject to these regulations under 8 U.S.C. § 1611(b) for short-term, non-cash, in-kind emergency disaster relief. 
NOTE

Authorities cited: Sections 12781(d) and 16367.5, Government Code. Reference: Sections 1611(b) and 1642(d), 8 U.S.C.; and 63 FR 41662 and 41664.
HISTORY

1. New section filed 6-14-2001 as an emergency; operative 6-14-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-12-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-14-2001 order transmitted to OAL 9-20-2001 and filed 11-2-2001 (Register 2001, No. 44).
§100904.5. Fair Hearing.
Note     •     History

Any applicant who is determined to be ineligible or who was made eligible for services under the Low-Income Home Energy Assistance Program, and/or the Department of Energy Low-Income Weatherization Assistance Program whose services are denied, terminated, suspended, or reduced is entitled to a hearing, pursuant to section 100805 of the Low-Income Home Energy Assistance Program regulations, Chapter 2, Division 11, Title 22; or the Department of Energy Low-Income Weatherization Assistance Program contract provisions. 
NOTE

Authorities cited: Sections 12781(d) and 16367.5, Government Code. Reference: Section 100805, Title 22, Div. 11; and 63 FR 41678. 
HISTORY

1. New section filed 6-14-2001 as an emergency; operative 6-14-2001 (Register 2001, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-12-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-14-2001 order transmitted to OAL 9-20-2001 and filed 11-2-2001 (Register 2001, No. 44).
Chapter 4. Naturalization Services Regulations
§100905. Matching Funds Requirement.
Note     •     History

In order to be eligible for funding under the Naturalization Services Program, citizenship assistance providers shall provide a 25 percent match, either through public or private funds or in-kind contributions, unless the Director of the Department of Community Services and Development waives the matching requirement based on the financial ability of the provider to meet the matching requirement. All contributions, including cash and third party in-kind, shall be accepted as part of the citizenship assistance provider's matching funds requirement when such contributions meet all of the following criteria:
(a) They are verifiable from the provider's records.
(b) They are not included as contributions for any other project or program.
(c) They are necessary and reasonable for proper and efficient accomplishment of project or program objectives.
(d) They are allowable under the applicable cost principles.
(e) They are authorized or not prohibited under federal, state, or local government laws or regulations.
NOTE

Authority cited: Item 4700-101-0001 2(h), Chapter 324, Statutes of 1998. Reference: Item 4700-101-0001 2(d)(1), Chapter 324, Statutes of 1998.
HISTORY

1. New chapter 4 (sections 100905-100915) and section filed 1-25-99 as an emergency; operative 1-25-99 (Register 99, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-25-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-25-99 order transmitted to OAL 5-20-99 and filed 7-1-99 (Register 99, No. 27).
§100910. Criteria for Waiver of Matching Funds Requirement.
Note     •     History

The conditions under which the Director of the Department of Community Services and Development may waive the requirement for matching funds are:
(a) A private, not-for-profit organization has submitted to CSD a certification from an independent certified public accountant or an independent State-licensed public accountant that it has insufficient or no other allowable funds or in-kind contributions; or
(b) A public agency has submitted to CSD a certification from the financial officer responsible for providing the agency with required financial services that it has insufficient or no other allowable funds or in-kind contributions; or
(c) A private, not-for-profit organization has submitted to CSD a certification from its board of directors that it has insufficient or no other allowable funds or in-kind contributions; or
(d) A public agency has submitted to CSD a certification from its governing authority that it has insufficient or no other allowable funds or in-kind contributions.
NOTE

Authority cited: Item 4700-101-0001 2(h), Chapter 324, Statutes of 1998. Reference: Item 4700-101-0001 2(d)(1), Chapter 324, Statutes of 1998.
HISTORY

1. New section filed 1-25-99 as an emergency; operative 1-25-99 (Register 99, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-25-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-25-99 order transmitted to OAL 5-20-99 and filed 7-1-99 (Register 99, No. 27).
§100915. Sunset of Regulations.
Note     •     History

Regulations in Chapter 4. shall sunset on December 31, 2001, unless otherwise amended.
NOTE

Authority cited: Item 4700-101-0001 2(h), Chapter 324, Statutes of 1998. Reference: Item 4700-101-0001 2(d)(1), Chapter 324, Statutes of 1998.
HISTORY

1. New section filed 1-25-99 as an emergency; operative 1-25-99 (Register 99, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-25-99 or emergency language will be repealed by operation of law on the following day.
2. Change without regulatory effect amending section filed 1-28-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
3. Certificate of Compliance as to 1-25-99 order transmitted to OAL 5-20-99 and filed 7-1-99 (Register 99, No. 27).
Chapter 5. Department of Community Services and Development--Conflict of Interest Code
NOTE: It having been found, pursuant to Government Code Section 11344, that the printing of the regulations constituting the Conflict of Interest Code is impractical and these regulations being of limited and particular application are not published in full in the California Code of Regulations. The regulations are available to the public for review or purchase at cost at the following locations:

DEPARTMENT OF COMMUNITY SERVICES AND DEVELOPMENT
700 NORTH 10TH STREET, ROOM 258
SACRAMENTO, CA 95814

FAIR POLITICAL PRACTICES COMMISSION 
428 “J” STREET, SUITE 800
SACRAMENTO, CA 95814

ARCHIVES SECRETARY OF STATE 
1020 “O” STREET 
SACRAMENTO, CA 95814
The Conflict of Interest Code is designated as Chapter 5, Division 11 of Title 22 of the California Code of Regulations, and consists of sections numbered and titled as follows:

Chapter 5. Department of Community Services and Development--
Conflict of Interest Code

	Section
	101115.	General Provisions
		Appendix
NOTE

Authority cited: Sections 87300 and 87304, Government Code. Reference: Section 87300, et seq., Government Code.
HISTORY

1. New chapter 2 (section 101115 and Appendix) filed 10-16-86, operative 11-15-86. Approved by Fair Political Practices Commission 9-9-86 (Register 86, No. 43).
2. Amendment of chapter number filed 7-1-91; operative 8-5-91. Approved by Fair Political Practices Commission 7-1-91 (Register 91, No. 43).
3. Amendment filed 2-16-94; operative 3-18-94. Submitted to OAL for printing only. Approved by Fair Political Practices Commission 9-7-93 (Register 94, No. 7).
4. Amendment of chapter heading, section and appendix filed 5-18-98; operative 6-17-98. Approved by Fair Political Practices Commission 3-12-98 (Register 98, No. 21).
5. Change without regulatory effect relocating chapter 3 heading to new placement preceding section 100900 and renumbering former chapter 3 to chapter 5, including corresponding amendments in text,  filed 1-28-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
6. Amendment of section and Appendix filed 1-3-2007; operative 2-2-2007. Approved by Fair Political Practices Commission 10-27-2006  (Register 2007, No. 1). 
7. Amendment of Appendix filed 1-15-2009; operative 2-14-2009. Approved by Fair Political Practices Commission 9-11-2008  (Register 2009, No. 3). 
Division 12. Child Care Facility Licensing Regulations
Chapter 1. Child Care Center General Licensing Requirements
Article 1. General Requirements and Definitions
§101151. General.
Note     •     History

(a) The general regulations in this chapter shall apply to all child care centers regulated by Division 12, except where specifically exempted. Additional or special requirements found in the corresponding subchapters pertaining to each category shall apply only to such individual child care center categories.
(b) The licensee shall ensure compliance with all applicable laws and regulations.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Editorial correction readopting Division 6, Chapter 1 (Articles 1-7, Sections 80000-80088, not consecutive) as new Division 12, Chapter 1 (Articles 1-7, Sections 101151-101239, not consecutive), filed 7-1-85; designated effective 7-1-85 (Register 85, No. 27).
2. Change without regulatory effect (Register 86, No. 29).
3. Amendment of chapter 1 heading and amendment of subsection (a) filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101152. Definitions.
Note     •     History

The following general definitions shall apply wherever the terms are used throughout Division 12, Chapter 1, except where specifically noted otherwise. Any additional definitions found at the beginning of any subchapter in this chapter shall apply only to such specific child care center category.
(a)(1) “Administrator” means the licensee, or the adult designated by the licensee to act in his/her behalf in the overall management of the facility.
(2) “Adult” means a person who is 18 years of age or older.
(3) “Applicant” means any adult, general partner(s) of a partnership, corporation, county, city, public agency or other governmental entity that has applied for a child care center license.
(4) “Assistant Infant Care Center Director” (“Assistant Director”) means the individual as specified in Section 101415.1 designated by the child care center director to act in his or her behalf in the overall management of an infant care center.
(5) “Authorized Representative” means any person or entity authorized by law to act on behalf of any child. Such person or entity may include but not be limited to a minor's parent, a legal guardian, a conservator or a public placement agency.
(b)(1) “Basic Services” means those services required by applicable laws and regulations to be provided by the licensee in order to obtain and maintain a child care center license.
(c)(1) “California Clearance” means an individual has no felony or misdemeanor convictions reported by the California Department of Justice. However, the individual may have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(2) “Capacity” means the maximum number of children authorized to be provided care and supervision at any one time in any licensed child care center.
(3) “Care and Supervision” means any one or more of the following activities provided by a person or child care center to meet the needs of children in care:
(A) Assistance in diapering, toileting, dressing, grooming, bathing and other personal hygiene.
(B) Assistance with taking medications as specified in Sections 101226(e)(3) and (e)(4).
(C) Storing and/or distribution of medications as specified in Section 101226(e).
(D) Arrangement of and assistance with medical and dental care.
(E) Maintenance of rules for the protection of children.
(F) Supervision of children's schedules and activities for the protection of children.
(G) Monitoring food intake or special diets.
(H) Providing basic services as defined in Section 101152.b.(1).
(4) “Child” means a person under 18 years of age who is being provided care and supervision in a child care center, except where specified otherwise.
(5) “Child Abuse Central Index” means the California Department of Justice maintained statewide, multi-jurisdictional, centralized index of child abuse investigation reports. These reports pertain to alleged incidents of physical abuse, sexual abuse, mental/emotional abuse and/or severe neglect. Each child protection agency (police, sheriff, county welfare and probation departments) is required by law to forward to the California Department of Justice a report of every child abuse incident it investigates, unless an incident is determined to be unfounded. 
(6) “Child Abuse Central Index Clearance” means that the California Department of Justice has conducted a name search of the index and the search did not result in a match or the search resulted in a match but the California Department of Social Services determined after an investigation that the allegation of child abuse or neglect was not substantiated. 
(7) “Child Care Center” or “Day Care Center” (or “center”) means any child care facility of any capacity, other than a family child care home as defined in Section 102352f.(1), in which less than 24-hour per day non-medical care and supervision are provided to children in a group setting. The term “Child Care Center” supersedes the term “Day Care Center” as used in previous regulations.
(8) “Child Care Center Director” or “Day Care Center Director” means the administrator of a child care center. The term “Child Care Center Director” supersedes the term “Day Care Center Director” as used in previous regulations.
(A) The term “head teacher” is an acceptable substitute for the term “child care center director” provided that the head teacher meets the qualifications of a child care center director and there is written delegation of responsibilities as specified in Section 101215.1(c)(1).
(9) “Child Care Facility” or “Child Day Care Facility” (or “facility”) means any place or building in which less than 24-hour per day nonmedical care and supervision, as defined in Section 101152c.(2), are provided to children in a group setting. The term “Child Care Facility” supersedes the term “Child Day Care Facility” as used in previous regulations.
(10) “Combination Center” means any combination of child care center, infant center, school-age child care center, and child care center for mildly ill children that is owned and operated by one licensee at a common address.
(11) “Completed Application” means:
(A) The applicant has submitted and the Department has received all required materials including: an approved fire clearance, if appropriate, from the State Fire Marshal; and a criminal record clearance on the applicant and any other individuals specified in Section 101170.
(B) The Department has completed a site visit to the child care center.
(12) “Control of Property” means the right to enter, occupy and maintain the operation of the child care center property within regulatory requirements. Evidence of control of property may include, but is not limited to, the following:
(13) “Conviction” means: 
(A) A criminal conviction in California; or 
(B) Any criminal conviction of another state, federal, military or other jurisdiction, which if committed or attempted in California, would have been punishable as a crime in California. 
(14) “Criminal Record Clearance” means an individual has a California Department of Justice clearance and an FBI clearance. 
(A) a Grant Deed showing ownership; or
(B) the lease agreement or rental agreement; or
(C) a court order or similar document that shows the authority to control the property pending outcome of a probate proceeding or an estate settlement.
(d)(1) “Deficiency” means any failure to comply with any provision of the California Child Day Care Act (Health and Safety Code, section 1596.70, et seq.) and/or regulations adopted by the Department pursuant to the Act.
(2) “Department” means the California Department of Social Services (CDSS) or any state, county or other public agency authorized by CDSS to assume specified licensing responsibilities pursuant to Health and Safety Code Sections 1596.77 and 1596.82. The term “Department” supersedes the term “Licensing Agency” as used in previous regulations.
(3) “Developmental Disability” means a disability as defined in Welfare and Institutions Code Section 4512(a).
(4) “Director” means the director of the California Department of Social Services.
(e)(1) “Emergency Approval to Operate” (EAO) (LIC 9117 [4/93]) means a temporary approval to operate a facility for no more than

60 days pending the Department's decision on whether to approve or deny a provisional license.
(2) “Emergency Substitute,” as described in Section 101216.3(h)(1), means a person at least 18 years of age.
(3) “Evaluator” means any person who is a duly authorized officer, employee or agent of the Department, including any officer, employee or agent of a county or other public agency authorized by the Department to license child care centers.
(4) “Evidence of Licensee's Death” shall include, but is not limited to, a copy of the death certificate, obituary notice, certification of death from the decedent's mortuary or a letter from the attending physician or coroner's office verifying the licensee's death.
(5) “Exception” means a written authorization issued by the Department to use alternative means which meet the intent of a specific regulation and that are based on the unique needs or circumstances of a specific child or staff person. Exceptions are not transferable or applicable to other children, staff persons, child care centers or licensees.
(6) “Exemption” means an exception to the requirements of Health and Safety Code Section 1596.871 and applicable regulations. Exemptions are not transferable.
(7) “Existing Child Care Center” means any child care center operating under a valid, unexpired license on the date this chapter becomes effective.
(f)(1) “Federal Bureau of Investigation (FBI) Clearance” means an individual has no felony or misdemeanor convictions reported by the FBI. The individual may also have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(g)(1) “Guardian” means any person appointed by the Superior Court, or court of competent jurisdiction, to care for the person, or estate, or the person and estate of another, as the legal guardian pursuant to law.
(h) (Reserved)
(i)(1) “Infant” means a child under two years of age.
(2) “Infant Care Center” means any child care center or part of a child care center of any capacity where less than 24-hour per day nonmedical care and supervision are provided to infants in a group setting.
(3) “Infant Care Center Director” means the administrator of an infant care center as specified in section 101415.
(4) “Infant Care Teacher” means a teacher as specified in section 101416.2.
(j) (Reserved)
(k) (Reserved)
(l)(1) “License” means a written authorization by the Department to operate a child care center and to provide care and supervision. A license is not transferable.
(2) “Licensee” means the adult, general partner(s) of a partnership, controlling partners in a limited liability corporation, corporation, county, city, public agency or other governmental entity having the authority and responsibility to operate a licensed child care center.
(3) “Licensing Agency” -- See “Department” as specified in Section 101152d.(2). The term “Department” supersedes the term “Licensing Agency” as used in previous regulations.
(m)(1) “Medical Professional” means an individual who is licensed or certified in California to perform the necessary medical procedures within his/her scope of practice. This includes, but is not limited to, Medical Doctor (MD), Registered Nurse (RN) and Licensed Vocational Nurse (LVN). 
(2) “Mental Disorder” means any of the disorders set forth in the Diagnostic and Statistical Manual of Mental Disorders (Third Edition),  published by the American Psychiatric Association, and a degree of functional impairment that renders a person eligible for the services enumerated under the Lanterman-Petris-Short Act (commencing with Section 5000 of the Welfare and Institutions Code).
(n)(1) “Nonambulatory Person” is defined in Health and Safety Code Section 13131.
(A) A person who uses supportive restraints as specified in Section 101223.1 is deemed nonambulatory.
(B) A person is not deemed nonambulatory solely because he/she is deaf, blind, or prefers to use a mechanical aid.
(o) (Reserved)
(p)(1) “Physician” means a person licensed as a physician and surgeon by the Medical Board of California or the Osteopathic Medical Board of California.
(2) “Preschool-age child” means a child as defined in Health and Safety Code Section 1597.059.
(3) “Provide” or “Provision” means to make available any service or personnel to meet licensing or other requirements.
(4) “Provisional License” means a temporary license issued in accordance with the criteria specified in Section 101181.
(q)(1) “Qualified Teacher Substitute” means a person at least 18 years of age with at least six postsecondary semester or equivalent quarter units in early childhood education or child development.
(r)(1) “Rehabilitation” means the effort to reestablish good character since the date of the last conviction, including, but not limited to, education, counseling or therapy, training, stable employment, restitution, remorse, changes in lifestyle, or community service. 
(2) “Relative” means spouse, parent, stepparent, son, daughter, brother, sister, stepbrother, stepsister, half-brother, half-sister, uncle, aunt, nephew, niece, first cousin or any such person denoted by the prefix “grand” or “great,” or the spouse of any of the persons specified in this definition even after the marriage has been terminated by death or dissolution.
(s)(1) “School-Age Child” means any child who meets one of the following:
(A) Has entered the first grade or above;
(B) Is in a child care program providing care and supervision exclusively to children enrolled in kindergarten and above.
(2) “School-Age Child Care Center” means any child care center or part of a child care center of any capacity where less than 24-hour per day nonmedical care and supervision are provided to school-age children in a group setting.
(3) “Serious Deficiency” means any deficiency that presents an immediate or substantial threat to the physical health, mental health or safety of the children in a child care center.
(4) “Simplified Exemption” means an exemption granted on the Department's own motion, as authorized in Health and Safety Code Section 1596.871(c)(3), if the individual's criminal history meets specific criteria established by Department regulation. 
(5) “Substantial Compliance” means the absence of any serious deficiencies.
(t)(1) “Toddler Component” means the component of a preschool or infant care program designed for children between the ages of 18 months and 30 months.
(u)(1) “Urgent Need” means a situation where prohibiting the operation of the child care center would be detrimental to a child's physical health, mental health, safety or welfare. Circumstances constituting urgent need include but are not limited to:
(A) A change in the location of the child care center when children are in need of services from the same operator at the new location.
(B) A change of ownership of the child care center when children are in need of services from a new operator.
(v) (Reserved)
(w)(1) “Waiver” means a nontransferable written authorization issued by the Department to use alternative means which meet the intent of a specific regulation and that are based on a facility-wide need or circumstance.
(x) (Reserved)
(y) (Reserved)
(z) (Reserved)
NOTE

Authority cited: Sections 1596.81 and 1596.858(e), Health and Safety Code. Reference: Sections 1502, 1596.72, 1596.73, 1596.74, 1596.75, 1596.750, 1596.76, 1596.77, 1596.770, 1596.78, 1596.79, 1596.790, 1596.791, 1596.81, 1596.858(e), 1596.955 and 1596.956, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Editorial correction of printing errors in subsections (a)(2),(c)(3) and (l)(1) (Register 92, No. 34).
4. New subsections (c)(6)-(c)(6)(C), (e)(1) and (e)(3), subsection renumbering, and amendment of Note filed 6-15-93; operative 7-15-93 (Register 93, No. 25).
5. New subsection (t)(1) and amendment of Note filed 8-22-94; operative 9-21-94 (Register 94, No. 34).
6. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
7. Editorial correction (Register 2002, No. 39).
8. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
9. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
10. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
Article 2. Licensing
§101156. License Required.
Note     •     History

(a) Unless a child care arrangement is exempt from licensure as specified in Section 101158, no adult, general partners of a partnership, controlling partners in a limited liability corporation, corporation, county, city, public agency or other governmental entity shall operate, establish, manage, conduct or provide care and supervision as defined in Section 101152c.(2) without a valid license from the Department.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.80, 1596.81(b), 1596.805, 1596.84 and 1596.85, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101157. Operation Without a License.
Note     •     History

(a) If an unlicensed child care center is providing care and supervision as defined in Section 101152c.(2), the center is in violation of Health and Safety Code Section 1596.80 unless exempted from licensure pursuant to Section 101158.
(b) If a child care center is alleged to be in violation of Health and Safety Code Section 1596.80, the Department shall conduct a site visit and/or evaluation of the center pursuant to Health and Safety Code section 1596.853.
(c) If a child care center is operating without a license, the Department shall issue a Notice of Operation in Violation of Law and shall refer the case for criminal prosecution and/or civil proceedings.
(d) The Department has the authority to issue an immediate civil penalty pursuant to Section 101198 and Health and Safety Code Section 1596.891.
(e) Sections 101157(c) and (d) shall be applied pursuant to Health and Safety Code Section 1596.892.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.792, 1596.80, 1596.81(b), 1596.89, 1596.890, 1596.891 and 1596.892, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (c) and new subsections (d) and (e) filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
3. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
4. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
5. Editorial correction (Register 2002, No. 39).
§101158. Exemption from Licensure.
Note     •     History

(a) As specified in Health and Safety Code Section 1596.792, the child care center regulations contained in this division shall not apply to any of the following:
(8) Public and private schools that operate a program before and/or after school for school-age children provided all of the following conditions are met:
(A) The program offered by a school must be operated by the school and run by qualified teachers employed by the school or the school district.
(B) An outside organization or individual using a public or private school site to operate a child care program is subject to licensure, even if the program is open only to the children enrolled at that school.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.792, 1596.793 and 1596.81(b), Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. New subsections (a)(6) and (a)(7) filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
3. Editorial correction of printing error inadvertently omitting text (Register 90, No. 36).
4. Change without regulatory effect amending subsection (a) filed 1-5-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 1).
5. Editorial correction deleting subsections (a)(1)-(a)(5) and (a)(7) and redesignating subsection (a)(6) to (a)(8) (Register 98, No. 38).
6. Amendment of subsections (a) and (a)(8) filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101159. Licensing of Integral Facilities.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.73 and 1596.80, Health and Safety Code.
HISTORY

1. Repealer filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101160. Posting of License.
Note     •     History

(a) The license shall be posted in a prominent, publicly accessible location in the center.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Renumbering of former section 101260 to new section 101160 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101161. Limitations on Capacity and Ambulatory Status.
Note     •     History

(a) A licensee shall not operate a child care center beyond the conditions and limitations specified on the license, including the capacity limitation.
(b) Child care centers or rooms approved for ambulatory children only shall not be used by nonambulatory children.
(1) Children whose condition becomes nonambulatory shall not use rooms or areas restricted to ambulatory children.
(2) The Department has the authority to require children who use ambulatory sections of the child care center to demonstrate that they are ambulatory.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81(b) and 1596.95, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101162. Advertisements and License Number.
Note     •     History

(a) No person or legal entity shall advertise or represent itself as a licensed child care center without first obtaining a current valid license from the Department.
(1) Licensees shall reveal each child care center license number in all advertisements in accordance with Health and Safety Code Section 1596.861.
(b) Correspondence is considered a form of advertisement only if the intent is to attract clients.
NOTE

Authority cited: Section 1596.81(a), Health and Safety Code. Reference: Section 1596.861, Health and Safety Code.
HISTORY

1. New section filed 4-26-91; operative 5-26-91 (Register 91, No. 24).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. Editorial correction of subsection (a)(1) and History 1 (Register 2002, No. 39).
§101163. False Claims.
Note     •     History

(a) No licensee, officer or employee of a licensee shall make or disseminate any false or misleading statement regarding the child care center or any of the services provided by the center.
(b) No licensee, officer or employee of a licensee shall alter a license, or disseminate an altered license.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1596.95, Health and Safety Code.
HISTORY

1. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 3. Application Procedures
§101167. Transfer and Sale.
Note     •     History

(a) A license is not transferable.
(1) If the sale of a licensed child care center will result in the issuance of a new license, the requirements of Health and Safety Code Section 1597.14 apply.
(2) In the event of the sale and transfer of property and business, the applicant (buyer) shall be issued an Emergency Approval to Operate (EAO) (LIC 9117 [4/93]) if the applicant (buyer) complies with Health and Safety Code Section 1597.14.
(3) The applicant (buyer) who is issued an EAO (LIC 9117 [4/93]) shall perform all the duties, functions and responsibilities required of a licensee.
(4) Failure to comply with licensing laws and regulations under this section, as determined by the Department, shall result in the denial of the application for a license. This denial shall also constitute termination of the EAO (LIC 9117 [4/93]).
(5) The Department shall provide to the applicant (buyer) written notification of the denial. This notice shall be effective immediately upon receipt.
(b) “A bona fide offer,” as specified in Health and Safety Code Section 1597.14(a)(1), means a proposal by the buyer to purchase the child care center with definite terms in writing communicated to the seller and accompanied by a cash deposit.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.14, Health and Safety Code.
HISTORY

1. New section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101168. Applicant Qualifications.
Note     •     History

(a) Any adult may apply for a license regardless of age, sex, race, religion, color, political affiliation, national origin, disability, marital status, actual or perceived sexual orientation, or ancestry.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code; and Section 51, Civil Code.
HISTORY

1. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
2. Editorial correction of Note (Register 2002, No. 39).
3. Change without regulatory effect amending subsection (a) and Note filed 12-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 50).
§101169. Application for License.
Note     •     History

(a) Any adult, partnership, corporation, county, city, public agency or other governmental entity wishing to obtain a license shall fill out and file with the Department an Application Booklet (LIC 281A [12/96]), as well as submit to the Department the documents specified in Section 101169(d) below.
(1) Applicants for licensure of a combination center may file one application.
(A) Licensees requesting the addition of a toddler component to their preschool or infant care program shall submit an amended application consisting of an Application for a Child Day Care Center License (LIC 200A [12/92]); a program description; a sketch of the center showing where the toddler component will be located; a schedule for outdoor activities; and, if necessary, a fire clearance. The toddler component is considered an extension of the preschool or infant care license.
(2) Each separately licensed component of a single program shall be capable of independently meeting the provisions of applicable regulations as determined by the Department.
(3) The Department has the authority to issue one license to a single program, or to a separately licensed component of a single program, that is located in multiple buildings at a common address.
(b) Prior to filing an LIC 281A (12/96) and the documents specified in Section 101169(d) below, the applicant shall attend an orientation provided by the Department.
(1) The orientation shall cover, but not be limited to, the following areas:
(A) How to complete the application process.
(B) Scope of child care center operation subject to regulation by the Department.
(2) A licensee applying for another child care center license need not attend another orientation within two years of completing a previous orientation.
(3) An applicant applying for more than one child care center license is only required to attend one orientation.
(c) The applicant/licensee shall cooperate with the Department in providing verification and/or documentation as requested by the Department.
(d) The LIC 281A (12/96) and supporting documents shall together contain the following:
(1) Name (or proposed name) and address of the child care center.
(2) Name, and residence and mailing addresses of applicant.
(A) If the applicant is a partnership, copies of the partnership agreement and all documents governing the partnership, as well as the name and principal business address of each partner.
(B) If the applicant is a corporation or association, the name, title and principal business address of each officer, executive director and member of the governing board.
(C) If the applicant is a corporation that issues stock, the name and address of each person owning more than 10 percent of stock in the corporation.
(D) If the applicant is a corporation, a copy of the articles of incorporation, the constitution, the bylaws, and the board resolution authorizing the submission of the application.
(E) If the applicant is a corporation, each member of the board of directors, executive director, and any officer shall list the name of all facilities which they have been licensed to operate, employed by or a member of the board of the directors, executive director or an officer.
(3) If the applicant is leasing or renting the premises of the child care center, a copy of the lease or rental agreement and the name, address and telephone number of the property owner.
(4) The category of child care center to be operated.
(5) Maximum number of children to be served.
(6) Age range and the categories of children to be served including, but not limited to, children with disabilities and/or nonambulatory children.
(7) Hours or periods of operation of the child care center.
(8) Name of administrator.
(9) Information required by Health and Safety Code Section 1596.95(d).
(10) Information required by Health and Safety Code Section 1596.95(e).
(11) Name, address and telephone number of the city or county fire department, the district providing fire protection services, or the State Fire Marshal's office with jurisdiction in the area where the child care center is located.
(12) A plan of operation as specified in Section 101173.
(13) Fingerprint cards as specified in Section 101170.
(14) Requests to check the Child Abuse Registry as required by Health and Safety Code Section 1596.877.
(15) A health-screening report on the applicant as specified in Section 101216(g).
(16) The processing fee for an application as specified in Section 101187.
(17) Water supply clearance as specified in Section 101172.
(18) Evidence that the applicant has posted signs at the entrance to the child care center that provide the telephone number of the local health department and information on child passenger restraint systems pursuant to Health and Safety Code Section 1596.95(g) and Vehicle Code Section 27360(b).
(A) The signs shall provide all of the following information:
1. Protect your child--it is the law.
2. Children under the age of four years, regardless of weight, or weighing less than 40 pounds, regardless of age, must be in an approved child passenger restraint system.
3. You may be cited for a violation of the child passenger restraint system provisions. In addition, your automobile insurance rates could be adversely affected as a result.
4. Call your local health department for more information.
(19) Such other information as may be required pursuant to Health and Safety Code Section 1596.95(h).
(20) Evidence regarding the applicant's reputable and responsible character as required by Health and Safety Code Section 1596.95(b).
(e) The application shall be signed by the applicant.
(1) If the applicant is a partnership, the application shall be signed by each partner.
(2) If the applicant is a corporation, county, city, public agency or other governmental entity, the application shall be signed by the chief executive officer or the authorized representative.
(f) The application shall be filed with the Department's office that serves the geographical area in which the child care center is located.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b), 1596.83, 1596.856, 1596.877, 1596.95, 1596.952(a), 1596.955 and 1596.956, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (a) filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
3. Amendment of subsection (c) filed 12-30-87 as an emergency; operative 1-1-88 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-2-88.
4. Certificate of Compliance transmitted to OAL 4-28-88 and filed 5-31-88 (Register 88, No. 30).
5. New subsection (b), amendment of subsection (d) and NOTE, and subsection renumbering filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
6. New subsection (a)(1)(A) and amendment of Note filed 8-22-94; operative 9-21-94 (Register 94, No. 34).
7. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
8. Amendment of subsection (d)(2)(B), new subsection (d)(2)(E) and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
9. Editorial correction of subsection (b)(1) (Register 2002, No. 39).
§101170. Criminal Record Clearance.
Note     •     History

(a) The Department shall conduct a criminal record review of all persons specified in Health and Safety Code Section 1596.871(b). The Department has the authority to approve or deny a facility license, or employment, residence or presence in the facility, based on the results of this review.
(b) The following individuals are exempt from the requirement to submit fingerprints: 
(1) A volunteer who is a relative, legal guardian, or foster parent of a child in the facility. 
(2) A volunteer that provides time-limited specialized services if all of the following apply: 
(A) The volunteer is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. 
(B) The volunteer spends no more than 16 hours per week at the facility. 
(C) The volunteer is not left alone with children in care. 
(3) A volunteer who is a senior citizen if all of the following apply: 
(A) The senior citizen participates in a Foster Grandparent Program under the authority of the National Senior Service Corps and administered by the Corporation for National Service. 
(B) The facility has an agreement with the foster grandparent program concerning the placement of the foster grandparent. 
(C) The foster grandparent is supervised by the licensee or a facility employee with a criminal record clearance or exemption. 
(D) The foster grandparent is not left alone with children in care. 
(4) A student who is enrolled or participating at an accredited educational institution if all of the following apply: 
(A) The student is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. 
(B) The facility has an agreement with the educational institution concerning the placement of the student. 
(C) The student spends no more than 16 hours per week at the facility. 
(D) The student is not left alone with the children in care. 
(5) A third-party repair person, or similar retained contractor, if all of the following apply: 
(A) The individual is hired for a defined, time-limited job. 
(B) The individual is not left alone with children. 
(C) When children are present in the room in which the repairperson or contractor is working, a staff person who has a criminal record clearance or exemption is also present. 
(6) A medical professional, as defined in Section 101152(m)(1), who holds a valid license or certification from the individual's governing California medical care regulatory entity if all of the following apply: 
(A) The criminal record of the individual has been cleared as a condition of licensure or certification by the individual's California medical care regulatory entity. 
(B) The individual is providing time-limited specialized clinical care or services. 
(C) The individual is providing care or services within the individual's scope of practice. 
(D) The individual is not a community care facility licensee and is not employed, retained, or contracted by the licensee. 
(7) Employees of a licensed home health agency who have a contract with a child's parent or guardian and are in the facility at the request of that parent or guardian. 
(A) The exemption shall not apply to an individual who is employed, retained or contracted by the licensee. 
(8) An attendant or facilitator for a child with a developmental disability who is visiting the child or providing direct care and supervision to the child. 
(A) The exemption shall not apply to an individual who is employed, retained or contracted by the licensee. 
(c) Prior to the Department issuing a license, the applicant and the administrator shall obtain a California criminal record clearance or exemption.
(d) All individuals subject to criminal record review shall, be fingerprinted and sign a Criminal Record Statement (LIC 508 [Rev. 1/03]) under penalty of perjury. 
(1) A person signing the LIC 508 must: 
(A) Declare whether he/she has been convicted of a crime, other than a minor traffic violation as specified in Section 101170(k) regardless of whether the individual was granted a pardon for the conviction, received an expungement pursuant to Penal Code 1203.4 or the individual's record was sealed as a result of a court order.
(B) If convicted of a crime other than a minor traffic violation as specified in Section 101170(k), provide information regarding the conviction. 
(2) The licensee shall submit these fingerprints to the California Department of Justice, along with a second set of fingerprints for the purpose of searching the records of the Federal Bureau of Investigation, or comply with Section 101170(e)(1), prior to the individual's employment or initial presence in the child care facility.
(A) Fingerprints shall be submitted to the California Department of Justice by the licensee or sent by electronic transmission to the California Department of Justice by a fingerprinting entity approved by the California Department of Social Services.
(e) All individuals subject to a criminal record review pursuant to Health and Safety Code Section 1596.871 shall prior to working, residing or volunteering in a licensed facility: 
(1) Obtain a California clearance or a criminal record exemption as required by the Department or 
(2) Request a transfer of a criminal record clearance as specified in Section 101170(f) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 101170.1(r), unless, upon request for a transfer, the Department permits the individual to be employed, reside or be present at the facility. 
(f) A licensee or applicant for a license may request a transfer of a criminal record clearance from one state licensed facility to another, or from TrustLine to a state licensed facility by providing the following documents to the Department: 
(1) A signed Criminal Background Clearance Transfer Request, LIC 9182 (Rev. 4/02).
(2) A copy of the individual's driver's license, or
(3) A valid identification card issued by the Department of Motor Vehicles, or
(4) A valid photo identification issued by another state or the United States government if the individual is not a California resident.
(5) Any other documentation required by the Department (e.g., LIC 508, Criminal Record Statement [Rev. 1/03] and job description).
(g) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of employees in the individual's personnel file as required in Section 101217.
(h) Violation of Section 101170(e) will result in a citation of a deficiency and an immediate assessment of civil penalties of one hundred dollars ($100) per violation per day for a maximum of five (5) days by the Department.
(1) Subsequent violations within a twelve (12) month period will result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days.
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1596.99. 
(i) Violation of Section 101170(e) may result in a denial of the license application or suspension and/or revocation of the license. 
(j) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of volunteers that require fingerprinting.
(1) Documentation shall be available for inspection by the Department.
(k) If the criminal record transcript of any individuals specified in the Health and Safety Code Section 1596.871(b) discloses a plea or verdict of guilty, or a conviction following a plea of nolo contendere, for any crime other than a minor traffic violation for which the fine was less than $300 and an exemption pursuant to Section 101170.1(a) has not been granted, the Department shall take the following actions:
(1) For initial applicants, denial of the application.
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license.
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1596.8897, and deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility. 
(4) For convicted individuals residing in the facility, licensee or employee, exclusion of the affected individual pursuant to Health and Safety Code Section 1596.8897, and denial of the application or revocation of the license, if the individual continues to provide services and/or reside at the facility.
(l) The Department may seek verification from a law enforcement agency or court of an individual's criminal record as reported to the Department from any member of the public or affected individual. 
(1) Upon obtaining confirmation from a law enforcement agency or court of the offense, the Department shall proceed as if this criminal record information was provided by the California Department of Justice. 
(m) If the Department determines that any licensee or individual specified in Health and Safety Code Section 1596.871(b) is arrested for a crime for which, if convicted, an individual is not eligible, by law, to receive an exemption, pending completion of its investigation into the facts underlying the arrest, the Department may take the following actions:
(1) If the arrested individual is a licensee, the Department may notify the licensee, by telephone or in writing, to immediately cease operation for up to 30 days.
(2) If the individual arrested is not a licensee, the Department may notify the licensee and the individual associated with the facility, by telephone or in writing, that the individual may not be present in the facility for up to 30 days.
(n) After the Department notifies the licensee, pursuant to Section 101170(o)(1), or the individual pursuant to Section 101170(o)(2), he or she may present a written appeal that:
(1) he or she is not the individual who was arrested,
(2) he or she has not been arrested for a crime that by law an individual is not eligible to receive an exemption, or
(3) he or she was arrested for a crime that by law an individual is not eligible to receive an exemption but the charges have been dropped or reduced to a crime that by law an individual would be eligible to receive an exemption.
The appeal shall contain the licensee's or individual's current address and telephone number. After the Department receives the appeal and any supporting documentation, it shall review the appeal and notify the licensee or individual of its decision within five (5) working days.
(o) Should the Department determine at any time during the 30 days referred to in Sections 101170(o)(1) and (o)(2) that the criminal charges have been dropped or reduced to a charge for a crime that by law an individual would be eligible to receive an exemption, the Department shall immediately rescind the notice.
(p) Nothing in this action shall be interpreted to supercede the Department's authority under Sections 1596.886 and 1596.8897 of the Health and Safety Code.
NOTE

Authority cited: Sections 1596.81 and 1596.98(c), Health and Safety Code. Reference: Sections 1596.81(b), 1596.871 and 1596.99, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (f) filed 6-5-87; operative 7-5-87 (Register 87, No. 25).
3. Amendment of subsection (c)(1) filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
4. Change without regulatory effect amending subsection (c)(1) filed 3-10-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 15).
5. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
6. Amendment filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of History 6 (Register 2000, No. 38). 
8. Certificate of Compliance as to 5-18-2000 order, including further amendment of section, transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
9. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
10. New subsections (o)-(r) filed 7-24-2003 as an emergency; operative 7-24-2003 (Register 2003, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2003 or emergency language will be repealed by operation of law on the following day.
11. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 7-24-2003 order transmitted to OAL 11-21-2003 and filed 12-30-2003 (Register 2004, No. 1).
13. Editorial correction of History 12 (Register 2004, No. 11).
14. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
16. Amendment of subsection (h), new subsection (h)(1), subsection renumbering, amendment of newly designated subsection (h)(2), repealer of subsection (l), subsection relettering and amendment of Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
16. Amendment of subsection (h), new subsection (h)(1), subsection renumbering, amendment of newly designated subsection (h)(2), repealer of subsection (l), subsection relettering and amendment of Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§101170.1. Criminal Record Exemption.
Note     •     History

(a) The Department will notify a licensee to act immediately to terminate the employment of, remove from the facility or bar from entering the facility any person described in Sections 101170.1(a)(1) through (5) below while the Department considers granting or denying an exemption. Upon notification, the licensee shall comply with the notice. 
(1) Any person who has been convicted of, or is awaiting trial for, a sex offense against a minor; 
(2) Any person who has been convicted of a felony; 
(3) Any person who has been convicted of an offense specified in Sections 243.4, 273a, 273d, 273g, or 368 of the Penal Code or any other crime specified in Health and Safety Code Section 1596.871(c)(2); 
(4) Any person who has been convicted of any crime specified below: 
(A) Battery 
(B) Shooting at Inhabited Dwelling 
(C) Corporal Injury on Spouse/Cohabitant 
(D) Discharging Firearm with Gross Negligence 
(E) Exhibiting Weapon/Firearm 
(F) Threat to Commit a Crime Resulting in Gross Bodily Injury or Death 
(G) Criminal Threat to Harm or Injure Another Person 
(H) Cruelty to Animals 
(I) Willful Harm or Injury to Child; or 
(5) Any other person ordered to be removed by the Department. 
(b) In addition to the requirements of Section 101170.1(a), the licensee must return the confirmation of removal form that is sent by the Department, within five (5) days of the date of the form, that confirms under penalty of perjury that the individual has been removed from the facility. 
(1) Confirmation must be made on either a Removal Confirmation -- Exemption Needed, LIC 300A (Rev. 9/03), Removal Confirmation -- Denial, LIC 300B (Rev. 9/03), Removal Confirmation -- Rescinded, LIC 300C (Rev. 9/03), or Removal Confirmation -- Nonexemptible, LIC 300D (Rev. 9/03). 
(c) After a review of the criminal record transcript, the Department may grant an exemption if:
(1) The applicant /licensee requests an exemption for himself or herself, or
(2) The applicant/licensee requests an exemption in writing for an individual associated with the facility, or
(3) The applicant/licensee chooses not to seek an exemption on the affected individual's behalf, the affected individual requests an individual exemption in writing, and
(4) The affected individual presents substantial and convincing evidence satisfactory to the Department that he/she has been rehabilitated and presently is of such good character as to justify being issued or maintaining a license, employment or residence in a licensed facility.
(d) To request a criminal record exemption, a licensee or license applicant must submit information that indicates that the individual meets the requirements of Section 101170.1(c)(4). The Department will notify the licensee or license applicant and the affected individual, in concurrent, separate notices, that the affected individual has a criminal conviction and needs to obtain a criminal record exemption.
(1) The notice to the affected individual shall include a list of the conviction(s) that the Department is aware of at the time the notice is sent that must be addressed in an exemption request.
(2) The notice will list the information that must be submitted to request a criminal record exemption. 
(3) The information must be submitted within forty-five (45) days of the date of the Department's notice. 
(A) Individuals who submit a criminal record exemption request shall cooperate with the Department by providing any information requested by the Department, including, but not limited to, police reports and certified court documents to process the exemption request, pursuant to Section 101170.1(e). 
(B) If the individual for whom the criminal record exemption is requested is an employee or resident other than a spouse or dependent family member and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may cease processing the exemption request and close the case. 
(C) If the individual for whom the criminal record exemption is requested is an applicant, licensee, spouse or dependent family member and and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may deny the exemption request. 
(D) Individuals may request a criminal record exemption on their own behalf if the licensee or license applicant:
1. Chooses not to request the exemption and
2. Chooses not to employ or terminates the individual's employment after receiving notice of the individual's criminal history, or
3. Removes the individual who resides in the facility after receiving notice of the individual's criminal history.
(e) The Department shall consider factors including, but not limited to, the following as evidence of good character and rehabilitation:
(1) The nature of the crime including, but not limited to, whether it involved violence or a threat of violence to others. 
(2) Period of time since the crime was committed and number of offenses.
(3) Circumstances surrounding the commission of the crime that would demonstrate the unlikelihood of repetition.
(4) Activities since conviction, including employment or participation in therapy or education, that would indicate changed behavior.
(5) A full and unconditional pardon granted by the Governor.
(6) Character references.
(A) All character references shall be on a Reference Request form (LIC 301E -- Exemptions [Rev. 7/03]). 
(7) A certificate of rehabilitation from a superior court.
(8) Evidence of honesty and truthfulness as revealed in exemption application documents.
(A) Documents include, but are not limited to:
1. A Criminal Record Statement (LIC 508, Criminal Record Statement [Rev. 1/03]) and
2. The individual's written statement/explanation of the conviction and the circumstances about the arrest.
(9) Evidence of honesty and truthfulness as revealed in exemption application interviews and conversations with the Department.
(f) The Department shall also consider the following factors in evaluating a request for an exemption: 
(1) Facility and type of association. 
(2) The individual's age at the time the crime was committed. 
(g) The Department may deny the individual's exemption request if:
(1) The individual fails to provide documents requested by the Department, or
(2) The individual fails to cooperate with the Department in the exemption process.
(h) The reasons for any exemption granted or denied shall be in writing and shall be kept by the Department.
(1) Exemption denial notices shall specify the reason the exemption was denied.
(i) The Department has the authority to grant a criminal record exemption that places conditions on the individual's continued licensure, and employment or presence in a licensed facility.
(j) It shall be conclusive evidence that the individual is not of such good character as to justify issuance of an exemption if the individual: 
(1) Makes a knowingly false or misleading statement regarding: 
(A) Material relevant to their application for a criminal record clearance or exemption, 
(B) His or her criminal record clearance or exemption status to obtain employment or permission to be present in a licensed facility, after the Department has ordered that they be excluded from any or all licensed facilities, or 
(C) His or her criminal record clearance or exemption status in order to obtain a position with duties that are prohibited to him/her by a conditional exemption; or 
(2) Is on probation or parole. 
(A) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the Department may, in its discretion, grant a criminal record exemption notwithstanding Section 101170.1(j)(2). 
(k) The Department shall consider granting a criminal record exemption for an individual when the individual's criminal record history meets all of the applicable criteria specified in Sections 101170.1(k)(1) through (6) and the individual provides the Department with substantial and convincing evidence of good character as specified in Section 101170.1(c)(4). For purposes of this section, a violent crime is a crime that, upon evaluation of the code section violated and/or the reports regarding the underlying offense, presents a risk of harm or violence. 
(1) The individual has been convicted of one nonviolent misdemeanor, and one year has lapsed since completing the most recent period of incarceration or probation. 
(2) The individual has been convicted of two or more nonviolent misdemeanors and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(3) The individual has been convicted of one or more violent misdemeanors and 15 consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(4) The individual has been convicted of one nonviolent felony and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(5) The individual has been convicted of two or more nonviolent felonies and ten consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(6) The individual has not been convicted of a violent felony. 
(7) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the period of lapsed time required in Section 101170.1(k)(1) through (5) above shall begin from the last date of conviction(s). 
(l) It shall be a rebuttable presumption that an individual is not of such good character as to justify the issuance of an exemption if the individual fails to meet the requirements specified in Sections 101170.1(k)(1) through (6). 
(m) The Department shall not grant an exemption if the individual has a conviction for any offense specified in Section 1596.871(f) of the Health and Safety Code.
(n) The Department shall consider granting a simplified criminal record exemption if the individual has the criminal history profile outlined in Sections 101170.1(n)(1) through (4) below: 
(1) The individual does not have a demonstrated pattern of criminal activity; 
(2) The individual has no more than one conviction; 
(3) The conviction is a misdemeanor and is a crime that is nonviolent and does not pose a risk of harm to an individual; and 
(4) It has been at least five consecutive years since the completion of the most recent period of incarceration or supervised probation. 
(o) At the Department's discretion, an individual who is otherwise eligible for a simplified exemption may be required to go through the standard exemption process if the Department determines such action will help to protect the health and safety of clients. 
(p) If the Department denies or cannot grant a criminal record exemption the Department shall: 
(1) For initial applicants, deny the application.
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license.
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1596.8897, deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility.
(4) For individuals residing in the facility, including spouses of the applicant or the licensee, exclude the affected individual pursuant to Health and Safety Code Section 1596.8897, deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility.
(q) If a request for an exemption has been denied, the individual shall be excluded for a period of two years unless the individual has been convicted of a crime for which no exemption may be granted pursuant to Section 101170.1(m). If a request for an exemption has been denied based on a conviction of a crime for which no exemption may be granted, the individual shall be excluded for the remainder of the individual's life. 
(1) If the Department determines during the review of an exemption request, that the individual was denied an exemption for a conviction of a crime for which an exemption may be granted within the preceding two years, the Department shall cease any further review of the request until two years have elapsed from the date of the denial. In cases where the individual requested a hearing on an exemption denial, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department upholding the denial. In cases where the individual submitted a petition for reinstatement or reduction in penalty pursuant to Government Code Section 11522 that was denied, the Department shall cease review of the request  for an exemption until two years from the effective date of the decision and order of the Department denying the petition. 
(2) An exclusion order based solely upon a denied exemption shall remain in effect and the individual shall not be employed in or present in a licensed facility or certified home, unless either a petition or an exemption is granted. 
(3) If an individual who has previously been denied an exemption re-applies after the relevant time period described in Section 101170.1(q)(1) above, the Department may, according to the provisions in Section 101170.1 et seq., grant or deny the subsequent request for an exemption. 
(4) If an individual submits a petition pursuant to Government Code Section 11522 for reinstatement or reduction of penalty for an exclusion, an individual must submit his/her fingerprints through an electronic fingerprinting system approved by the Department and submit to the Department a statement of the reason why the individual should be permitted to work or be present in a facility, along with all information required of an individual requesting a criminal record exemption as provided in Section 101170.1. If it is determined, based upon information provided by the Department of Justice, that the individual has been convicted of a crime for which no exemption may be granted, the petition shall be denied. An individual's failure to submit fingerprints or other information as requested by the Department, shall be grounds for denial of the petition. The burden shall be on the petitioner to prove sufficient rehabilitation and good character to justify the granting of the petition. 
(r) A licensee or applicant for a license may request a transfer of a criminal record exemption from one state licensed facility to another by providing the following documents to the Department: 
(1) A signed Criminal Record Exemption Transfer Request, LIC 9188 (Rev. 9/03). 
(2) A copy of the individual's: 
(A) Driver's license, or 
(B) Valid identification card issued by the Department of Motor Vehicles, or 
(C) Valid photo identification issued by another state or the United States Government if the individual is not a California resident. 
(3) Any other documentation required by the Department (e.g., LIC 508, Criminal Record Statement [Rev. 1/03] and job description). 
(s) The Department may consider factors including, but not limited to, the following in determining whether or not to approve the transfer of an exemption from one facility to another: 
(1) The basis on which the Department granted the exemption; 
(2) The nature and frequency of client contact in the new position; 
(3) The category of facility where the individual wishes to transfer; 
(4) The type of clients in the facility where the individual wishes to transfer; 
(5) Whether the exemption was appropriately evaluated and granted in accordance with existing exemption laws or regulations; or 
(6) Whether the exemption meets current exemption laws or regulations. 
(t) If the Department denies the individual's request to transfer a criminal record exemption, the Department shall provide the individual and the licensee with written notification that states the Department's decision and informs the affected individual of their right to an administrative hearing to contest the Department's decision. 
(u) At the Department's discretion, an exemption may be rescinded if it is determined that: 
(1) The exemption was granted in error or 
(2) The exemption does not meet current exemption laws or regulations or 
(3) The conviction for which an exemption was granted subsequently becomes non-exemptible by law. 
(v) The Department may rescind an individual's criminal record exemption if the Department obtains evidence showing that the individual engaged in conduct which is inconsistent with the good character requirement of a criminal record exemption, as evidenced by factors including, but not limited to, the following: 
(1) Violations of licensing laws or regulations; 
(2) Any conduct by the individual that indicates that the individual may pose a risk to the health and safety of any individual who is or may be a client; 
(3) Nondisclosure of a conviction or evidence of lack of rehabilitation that the individual failed to disclose to the Department, even if it occurred before the exemption was issued; or 
(4) The individual is convicted of a subsequent crime. 
(w) If the Department rescinds an exemption the Department shall: 
(1) Notify the licensee and the affected individual in writing; and 
(2) Initiate an administrative action. 
(x) If the Department learns that an individual has been convicted of a crime after obtaining a criminal record clearance or exemption, the Department, at its sole discretion, may initiate an administrative action to protect the health and safety of clients. 
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference:  Sections 1596.81(b), 1596.871, 1596.885 and 1596.8897, Health and Safety Code; and Gresher v. Anderson (2005) 127 Cal. App. 4th 88.
HISTORY

1. New section filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 38). 
3. Certificate of Compliance as to 5-18-2000 order transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
4. Amendment of section and Note filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
8. Amendment of section and Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§101170.2. Child Abuse Central Index.
Note     •     History

(a) Prior to granting a license for a child care center, the Department shall conduct a Child Abuse Central Index (CACI) review pursuant to Health and Safety Code Section 1596.877 and Penal Code Section 11170(b)(3).  The Department shall check the CACI for the applicant(s) and all individuals subject to a criminal record review, pursuant to Health and Safety Code Section 1596.871(a) and shall have the authority to approve or deny a facility license, employment, or presence in the facility based on the results of the review.
(1) The applicant shall submit the Child Abuse Central Index checks (LIC 198A [3/99]) for all individual's required to be checked directly to the California Department of Justice at the same time that the individual's fingerprints are submitted for a criminal background check as required by Section 101170(a).
(A) Individuals who have submitted the Child Abuse Central Index check (LIC 198A [3/99]) with fingerprints on or after January 1, 1999 need not submit a new check if the individual can transfer their criminal record clearance or exemption pursuant to Section 80019(e) or Section 80019.1(f).
(2) The Department shall investigate any reports received from the CACI.  The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report.  The Department shall not deny a license based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
(b) Subsequent to licensure, all individuals subject to a criminal record review, pursuant to Health and Safety Code Section 1596.871, shall complete a Child Abuse Central Index check (LIC 198A [3/99]) prior to employment or initial presence in the child care facility.
(1) The licensee shall submit the Child Abuse Central Index checks (LIC 198A [Rev. 3/99]) directly to the California Department of Justice at the same time that the individual's fingerprints are submitted for a criminal background check as required by Section 101170(d).
(A) Individuals who have submitted the Child Abuse Central Index check (LIC 198A [3/99]) with fingerprints on or after January 1, 1999 need not submit a new check if the individual can transfer their criminal record clearance or exemption pursuant to Section 80019(e) or Section 80019.1(f).
(2) The Department shall check the Child Abuse Central Index (CACI) pursuant to Penal Code Section 11170(b)(3).  The Department shall investigate any reports received from the CACI.  The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report.  The Department shall not deny a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
(3) The Department shall investigate any subsequent reports received from the CACI.  The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report.  The Department shall not revoke a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference:  Sections 1596.81(b) and 1596.871, Health and Safety Code.
HISTORY

1. New section filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 38). 
3. Certificate of Compliance as to 5-18-2000 order, including further amendment of subsection (a)(1), transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
4. Amendment of subsection (b)(1) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b)(1) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b)(1) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-11-2004 order transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§101171. Fire Clearance.
Note     •     History

(a) All child care centers shall secure and maintain a fire clearance approved by the city or county fire department, the district providing fire protection services, or the State Fire Marshal.
(1) The request for fire clearance shall be made through and maintained by the Department.
(b) The applicant shall notify the Department if the child care center plans to enroll children who are nonambulatory as defined in Section 101152n.(1), so that an appropriate fire clearance approved by the city or county fire department, the district providing fire protection services, or the State Fire Marshal can be obtained prior to the acceptance of such children.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.809, 1596.81, 1596.95 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 12-30-87 as an emergency; operative 1-1-88 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-2-88.
3. Certificate of Compliance transmitted to OAL 4-28-88 and filed 5-31-88 (Register 88, No. 30).
4. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
5. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
6. Editorial correction of subsection (b) and Note (Register 2002, No. 39).
§101172. Water Supply Clearance.
Note     •     History

(a) All child care centers where water for human consumption is from a private source shall meet the following requirements:
(1) As a condition of initial licensure, the applicant shall provide evidence of an onsite inspection of the source of the water and a bacteriological analysis that establishes the safety of the water. The inspection and the bacteriological analysis shall be conducted by the local health department, the California Department of Health Services or a licensed commercial laboratory.
(2) Subsequent to initial licensure, the licensee shall provide evidence of a bacteriological analysis of the private water supply as frequently as is necessary to ensure the safety of the children, but no less frequently than specified in the following table:

		PERIODIC
LICENSED	 ANALYSIS	 SUBSEQUENT
CAPACITY	 REQUIRED	 ANALYSIS

6 or fewer	Initial licensing	Not required unless evidence 
		supports the need for such 
		analysis to protect children.
7 through 15	Initial licensing	Annually
16 through 24 	Initial licensing	Semiannually
25 or more	Initial licensing	Quarterly

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.95 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101173. Plan of Operation.
Note     •     History

(a) Each licensee shall have and keep on file a current written, definitive plan of operation. A copy of the plan shall be submitted to the Department with the license application.
(b) The plan and related materials shall contain the following:
(1) Statement of purposes, and program methods and goals.
(2) Statement of admission policies and procedures.
(3) A copy of the admission agreement.
(4) Administrative organization, if applicable.
(5) Staffing plan, qualifications and duties, if applicable.
(6) Plan for in-service education of staff if required by regulations governing the specific child care center category.
(7) A sketch of the building(s) to be occupied, including a floor plan that describes the capacities of the buildings and the uses intended, the room dimensions, and the rooms to be used for nonambulatory children; and a sketch of the grounds that shows buildings, driveways, fences, storage areas, pools, gardens, recreation areas and other space used by the children. All sketches shall show dimensions.
(8) Sample menus and a schedule for one calendar week indicating the time of day that meals and snacks are to be served.
(9) Transportation arrangements provided by the applicant/licensee for children who do not have independent arrangements.
(10) Rate-setting policy including, but not limited to, a policy on refunds.
(11) Consultant and community resources to be utilized by the child care center as part of its program.
(c) Any proposed changes in the plan of operation that affect services to children shall be subject to departmental approval prior to implementation and shall be reported as specified in Section 101212.
(d) The child care center shall operate in accordance with the terms specified in the plan of operation.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.95 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. Editorial correction adding inadvertently omitted subsection (b)(3) (Register 2002, No. 39).
§101174. Disaster and Mass Casualty Plan.
Note     •     History

(a) Each licensee shall have a disaster and mass casualty plan of action. The plan shall be in writing and shall be readily available.
(b) The plan shall be subject to review by the Department and shall include:
(1) Designation of administrative authority and staff assignments.
(2) Contingency plans for action during fires, floods and earthquakes including, but not limited to, the following:
(A) Fire safety plan.
(B) Means of exiting.
(C) Transportation arrangements.
(D) Relocation sites that are equipped to provide safe temporary accommodations for children.
(E) Supervision of children during evacuation or relocation, and contact after relocation to ensure that relocation has been completed as planned.
(F) Means of contacting local agencies, including but not limited to the fire department, law enforcement agencies, and civil defense and other disaster authorities.
(3) Any special methods and procedures necessary for the evacuation and relocation of nonambulatory children.
(c) The licensee shall instruct all children, age and abilities permitting, and all child care personnel, including volunteers, in their duties and responsibilities under the plan.
(d) Disaster drills shall be conducted at least every six months.
(1) Completion of such drills shall not require travel away from the child care center grounds or contact with local disaster agencies.
(2) The drills shall be documented. This documentation shall be kept in the child care center for at least one year.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.95 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101175. Waivers and Exceptions for Program Flexibility.
Note     •     History

(a) Unless the licensee receives prior written departmental approval for a waiver or an exception as specified in (b) below, the licensee shall maintain continuous compliance with all licensing regulations.
(b) The Department has the authority to approve the use of alternate concepts, programs, services, procedures, techniques, equipment, space, personnel qualifications or staffing ratios, or the conduct of experimental or demonstration projects, under the following circumstances:
(1) Such alternatives shall be carried out with provisions for safe and adequate services, and shall in no instance be detrimental to the health and safety of any child in care.
(2) The applicant or licensee shall submit to the Department a written request for a waiver or an exception and substantiating evidence supporting the request.
(3) Within 30 days of the receipt of a request for a waiver or an exception, the Department shall notify the applicant or licensee in writing of the approval or denial of the request, or of the need for additional information to substantiate the request.
(A) The licensee shall maintain and make available for review, at the child care center, a copy of the written approval or denial.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of section heading and section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101178. Application Review.
Note     •     History

(a) If the applicant has not submitted all materials specified in Section 101169 within 90 days of the Department's receipt of the application, the Department shall notify the applicant in writing that the application is incomplete. This notice shall describe the materials that the applicant must submit to complete the application.
(1) If the applicant does not complete the application within 30 days after such notice, the application shall be deemed withdrawn provided that the Department has not denied or taken action to deny the application.
(A) The above requirement shall not apply to child care centers under construction.
(b) The Department shall cease review of any application under the conditions specified in Health and Safety Code Section 1596.851.
(2) The circumstances and conditions under which the Department may continue to review a previously denied application shall include, but not be limited to, the following:
(A) A fire clearance previously denied but now approved;
(B) An administrator who previously did not meet the minimum qualifications but now does; or
(C) A person with a criminal record previously associated with the center, which was the basis for license denial, but who is now no longer associated with the center.
(3) This review shall not constitute approval of the application.
(4) If the Department ceases review of an application, the application shall be returned to the applicant. The applicant shall be responsible for requesting the Department to resume reviewing the application pursuant to Health and Safety Code Section 1596.851.
(c) The application fee is nonrefundable.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.83, 1596.851 and 1596.95, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment of subsection (b) and adoption of NOTE filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
3. Amendment of section heading and section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
4. Change without regulatory effect amending subsection (c) filed 6-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 24).
§101179. Capacity Determination.
Note     •     History

(a) A license shall be issued for a specific capacity, which shall be the maximum number of children that can be cared for at any given time. The Department may issue a license for fewer children than requested.
(b) The number of children for which the child care center is licensed to provide care and supervision shall be determined on the basis of the Department's application review, which shall take into consideration the following:
(1) The fire clearance specified in Section 101171.
(2) The licensee's/administrator's ability to comply with applicable laws and regulations.
(3) Physical features of the child care center, including available space, that are necessary to comply with this chapter.
(4) Number of available staff to meet the care and supervision needs of the children.
(5) Any restrictions pertaining to the specific category of child care center.
(c) When the license is issued for fewer children than requested, the licensee shall be notified in writing of the reasons for the limitation and of the licensee's rights to appeal the decision as specified in Section 101205.
(d) The Department has the authority to decrease existing licensed capacity with the licensee's agreement, when there is a change in any of the factors specified in (b) above.
(1) If the licensee does not agree to the decrease in capacity, the Department has the authority to initiate revocation action as specified in Section 101206.
(e) The Department is authorized to restrict care to specific individuals.
(1) If care and supervision are limited to specific individuals, the Department shall specify the names of the individuals in a letter to the licensee.
(2) Except where the limitation is requested by the licensee, the licensee shall be notified in writing of the reasons for such limitation and of the licensee's right to appeal the decision as specified in Section 101205.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101180. Withdrawal of Application.
Note     •     History

(a) An applicant may withdraw an application for a license. The withdrawal of the application shall be in writing.
(1) The fee for processing the application shall be forfeited.
(b) As specified in Health and Safety Code Section 1596.854, the Department has the authority to take action against an applicant even if the applicant has withdrawn an application for a license.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.803 and 1596.854, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101181. Provisional License.
Note     •     History

(a) The Department has the authority to issue a provisional license pursuant to Health and Safety Code Sections 1596.84 and 1596.96 provided the child care center is in substantial compliance with applicable laws and regulations, as defined in Section 101152s.(4), and has submitted a completed application as specified in Section 101152c.(8).
(b) The Department shall not issue a provisional license if a corporate applicant's board of directors, executive director and officer are ineligible for licensure, as specified in Health and Safety Code Section 1596.952(b).
(c) The Department has the authority to issue a provisional license for a maximum of 90 days to otherwise qualified applicants who are not in compliance with the requirements for health and safety training as specified in Health and Safety Code Section 1596.866.
(d) During the provisional license period, if the Department discovers any deficiencies that threaten the physical health, mental health, safety or welfare of the children, the Department has the authority to institute administrative action or civil proceedings, or to refer the case for criminal prosecution.
(e) A provisional license terminates on the date specified on the provisional license or upon denial of the application, whichever is earlier.
(1) Health and Safety Code Section 1596.84 specified how long and under what circumstances a provisional license may last.
(f) If the Department determines after its review specified in Section 101178 that the provisional licensee does not meet licensing requirements, the application shall be denied as specified in Section 101205; the provisional license shall immediately terminate; and operation shall immediately cease.
(g) If the Department denies the application for a license, the applicant may appeal the denial as provided in Section 101205. Until the Director adopts a decision on the denial action, the child care center is unlicensed.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b), 1596.84, 1596.866, 1596.952(b) and 1596.96, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. New subsection (b), subsection relettering and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
§101182. Issuance/Term of a License.
Note     •     History

(a) The Department shall issue a license to an applicant in accordance with the provisions of Health and Safety Code Section 1597.13 after a completed application has been compiled and upon determination that all licensing requirements have been met.
(2) A separate license shall be issued for each component of a combination center.
(3) If the application is denied, the notice of denial shall include the information specified in Section 101205.
(b) Issuance of a license shall constitute written notice that the application is complete and has been granted.
(c) No limitation shall be imposed on the licensee or printed on the license solely because a licensee is a parent who has administered or will continue to administer corporal punishment not constituting child abuse, as defined in Penal Code Section 11165(g) or Health and Safety Code Section 1531.5(c), on his/her own child(ren).
(d) Except for provisional licenses as provided in Section 101181, a license remains in effect until it is:
(1) Forfeited or surrendered as specified in Sections 101186 through 101187 and in Health and Safety Code Section 1596.858.
(2) Suspended or revoked as specified in Section 101206.
(e) As a condition of licensure, child care personnel shall complete health and safety training pursuant to Health and Safety Code Section 1596.866.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.858, 1596.866, 1596.95, 1596.96 and 1596.97, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment of section heading, section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101184. Application for Renewal of a License.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1596.95, Health and Safety Code.
HISTORY

1. Repealer filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101185. Submission of New Application.
Note     •     History

(a) A licensee shall file a new Application Booklet (LIC 281A [12/96]) and supporting documents as specified in Section 101169 whenever there is a proposed change of any of the following types:
(1) Child care center category.
(A) Notwithstanding (a) and (a)(1) above, a licensee wishing to add a toddler component to its existing preschool or infant care program shall submit an amended application as specified in Section 101169(a)(1)(A). The toddler program component is considered an extension of the preschool or infant care license.
(2) Sale or transfer of the majority of stock.
(3) Separating from a parent company.
(4) Merger with another company.
(5) Change of licensee.
(b) When a licensee proposes a change in capacity, a change in the number of nonambulatory children or a change in location, the licensee may, in lieu of filing an entirely new LIC 281A (12/96) and supporting documents as specified in Section 101169, transfer documents from an existing application to a new application. In such a case, the new application documents must include:
(1) An Application for a Child Day Care Center License (LIC 200A [12/92]).
(2) A fire clearance, if necessary.
(3) An update of existing application documents affected by the change, as determined by the Department.
(d) A new LIC 281A (12/96) and supporting documents as specified in Section 101169 shall be filed whenever an applicant fails to complete a new application within the time limit required by Section 101178(a) if the applicant chooses to continue the application process.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.955 and 1596.956, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. New subsection (a)(3)(A) and amendment of Note filed 8-22-94; operative 9-21-94 (Register 94, No. 34).
3. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101186. Conditions for Forfeiture of a Child Care Center License.
Note     •     History

(a) Conditions for forfeiture of a child care center license shall be as specified in Health and Safety Code Section 1596.858.
(2) “Licensee abandons the facility [child care center]” shall mean either of the following:
(A) The licensee informs the Department that the licensee no longer accepts responsibility for the child care center; or
(B) The Department is unable to determine the licensee's whereabouts after the following:
1. The Department requests information about the licensee's whereabouts from the child care center staff, if any staff can be contacted; and
2. The Department has made at least one phone call per day to the licensee's last telephone number of record for five consecutive workdays with no response; and
3. The Department has sent a certified letter requesting the licensee to contact the Department to the licensee's last mailing address of record with no response within seven calendar days.
(b) If the licensee dies, an adult relative who has control of the property may operate a previously licensed child care center under an Emergency Approval to Operate (EAO) (LIC 9117 [4/93]) provided the following conditions are met:
(1) The relative, or an adult acting on the relative's behalf, notifies the Department by telephone during the first working day after the licensee's death that the relative intends to operate the child care center.
(2) The relative files with the Department within five calendar days of the licensee's death an Application for a Child Day Care Center License (LIC 200A [12/92]) and evidence of the licensee's death as specified in Section 101152e.(4).
(A) Notwithstanding the instructions on the LIC 200A (12/92), the Department shall permit the relative to submit only the information on the front side of the LIC 200A (12/92).
(3) The relative files his/her fingerprint cards with the Department of Justice within five calendar days of the licensee's death.
(c) If the adult relative complies with (b)(1) and (b)(2) above, he/she shall not be considered to be operating an unlicensed child care center pending the Department's decision on whether to approve a provisional license.
(d) The Department shall make a decision within 60 days after the application is submitted on whether to issue a provisional license pursuant to Section 101181.
(1) A provisional license shall be granted only if the Department is satisfied that the conditions specified in (b) above and Section 101181 have been met and that the health and safety of the children attending the child care center will not be jeopardized.
NOTE

Authority cited: Sections 1596.81 and 1596.858(e), Health and Safety Code. Reference: Sections 1596.845, 1596.858 and 1596.858(e), Health and Safety Code. 
HISTORY

1. New section filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
2. New subsections (b)-(d)(1) and amendment of Note filed 6-15-93; operative 7-15-93 (Register 93, No. 25).
3. Editorial correction of printing errors in subsections (a) and (a)(2)(B)2. (Register 93, No. 25).
4. Amendmentof section heading and section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101187. Licensing Fees.
Note     •     History

(a) An applicant or licensee shall be charged fees as specified in Health and Safety Code Section 1596.803.
(b) When a licensee moves a child care center from one location to another, the relocation fee shall be as specified in Health and Safety Code Section 1596.803(b)(1)(A).
(1) To qualify for the relocation fee, the following shall apply:
(A) The licensee has notified the Department before actually relocating the child care center.
(B) The child care center licensing category remains the same.
(C) The fee is based on the capacity requested for the new location.
(c) The fees are nonrefundable.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.803, Health and Safety Code. 
HISTORY

1. New section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
2. Change without regulatory effect amending section heading, section and Note filed 6-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 24).
§101191. Denial of Initial License.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81, 1596.856, 1596.95 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (a) filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
3. Amendment of subsection (a) filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
4. Editorial correction of printing error restoring subsection (a)(1) (Register 91, No. 32).
5. Editorial correction of subsection (a)(1) (Register 95, No. 44).
6. Renumbering of former article 4 to article 5 and renumbering of former section 101191 to section 101205 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 4. Enforcement Provisions
§101192. Denial of a Renewal License.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b), 1596.856, 1596.95 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Renumbering of former article 5 to article 4 and repealer of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101193. Deficiencies in Compliance.
Note     •     History

(a) If during a licensing evaluation the evaluator determines that a deficiency exists, the evaluator shall issue a notice of deficiency unless the deficiency is not serious and is corrected during the visit.
(b) Prior to completion of an evaluation or other licensing visit, the person in charge of the child care center shall meet with the evaluator to discuss any deficiencies noted, to jointly develop a plan for correcting each deficiency, and to acknowledge receipt of the notice of deficiency.
(c) The evaluator shall, at the completion of the visit, personally deliver the notice of deficiency to the licensee or the person in charge of the child care center. If the licensee is not present, the evaluator shall also mail a copy of the notice to the licensee.
(1) If the person in charge of the child care center refuses to accept the notice, the evaluator shall make a note of the refusal on the notice and leave a copy of the notice at the center. The evaluator shall also mail a copy of the notice to the licensee.
(d) The notice of deficiency shall be in writing and shall include the following:
(1) A citation of the law or regulation that has been violated.
(2) A description of the deficiency stating the manner in which the licensee failed to comply with a specified law or regulation and, if applicable, the particular place or area of the child care center in which the deficiency occurred.
(3) The plan developed, as specified in (b) above, for correcting each deficiency.
(4) A date by which each deficiency shall be corrected.
(A) In determining the date for correcting a deficiency, the evaluator shall consider the following factors:
1. The potential hazard presented by the deficiency.
2. The number of children affected.
3. The availability of equipment or personnel necessary to correct the deficiency.
4. The estimated time for delivery and/or installation of necessary equipment.
(B) The date for correcting a deficiency shall not be more than 30 calendar days following service of the notice of deficiency unless the evaluator determines that the deficiency cannot be completely corrected in 30 calendar days.
(C) If the date for correcting the deficiency is more than 30 calendar days following service of the notice of deficiency, the notice shall specify the corrective actions that must be taken within 30 calendar days to begin correction.
(D) If civil penalties are assessed, the evaluator shall require correction of the deficiency within 24 hours and shall specify on the notice of deficiency the date by which the correction must be made.
(5) The amount of the civil penalty assessed and the date the penalty begins.
(6) The address and telephone number of the Department's office responsible for reviewing notices of deficiencies for the area in which the child care center is located.
NOTE

Authority cited: Sections 1596.81 and 1596.99, Health and Safety Code. Reference: Sections 1596.81(b), 1596.98 and 1596.99, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Renumbering of former section 101193 to section 101206 and renumbering and amendment of former section 101203 to section 101193 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101194. Follow-up Visits to Determine Compliance.
Note     •     History

(a) A follow-up visit shall be conducted to determine compliance with the plan of correction specified in the notice of deficiency.
(1) A follow-up visit shall be conducted within 10 working days following the date(s) of correction specified in the notice of deficiency unless the licensee has demonstrated that the deficiency was corrected as required.
(2) No penalty shall be assessed unless a follow-up visit is conducted.
(b) If a follow-up visit indicates that a deficiency was not corrected on or before the date specified in the notice of deficiency, the evaluator shall issue a notice of penalty.
(c) A notice of penalty shall be in writing and shall include:
(1) The amount of the penalty assessed and the date the payment is due.
(2) The name and address of the agency responsible for collecting the penalty.
(d) When an immediate penalty has been assessed pursuant to sections 101195(c), (d) and (e), and correction is made when the evaluator is present, a follow-up visit is not required.
NOTE

Authority cited: Sections 1596.81 and 1596.99, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.852, 1596.853, 1596.98 and 1596.99, Health and Safety Code.
HISTORY

1. Renumbering of former section 101194 to section 101207 and renumbering and amendment of former section 101204 to section 101194 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101195. Penalties.
Note     •     History

(a) A penalty of $50 per day, per cited violation, shall be assessed for serious deficiencies that are not corrected by the date specified in the notice of deficiency, up to a maximum of $150 per day.
(b) Notwithstanding Section 101195(a) above, an immediate penalty of $100 per cited violation per day for a maximum of five (5) days shall be assessed if any individual required to be fingerprinted under Health and Safety Code Section 1596.871(b) has not obtained a California clearance or criminal record exemption, requested a transfer of a criminal record clearance or requested and be approved for a transfer of an exemption as specified in Section 101170(e) prior to working, residing or volunteering in the facility.
(1) Subsequent violations within a twelve (12) month period will result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days.
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1596.99. 
(3) Progressive civil penalties specified in Sections 101195(d) and (e) below shall not apply. 
(c) Notwithstanding (a) above, an immediate penalty of $150 per day shall be assessed if a child becomes sick, is injured or dies as a result of a deficiency.
(d) When a child care center is cited for a deficiency and violates the same regulation subsection within a 12-month period, the child care center shall be cited and an immediate penalty of $150 per cited violation shall be assessed for one day only. Thereafter, a penalty of  $50 per day, per cited violation, shall be assessed until the deficiency is corrected.
(e) When a child care center that was cited for a deficiency subject to the immediate penalty assessment specified in Section 101195(d) above violates the same regulation subsection within a 12-month period of the last violation, the child care center shall be cited and an immediate penalty of $150 per cited violation shall be assessed for one day only. Thereafter, a penalty of $150 per day, per cited violation, shall be assessed until the deficiency is corrected.
(1) For purposes of Sections 101195(d) and (e) above, a regulation subsection is the regulation denoted by a lower-case letter after the main regulation number. 
(f) If any deficiency is not corrected by the date specified in the notice of deficiency, a penalty shall be assessed for the notice of deficiency, a penalty shall be assessed for each day following that date until compliance has been demonstrated.
(1) Immediate penalty assessment as specified in Sections 101195(c), (d) and (e) shall begin on the day the deficiency is cited.
(g) If a licensee or his/her representative reports to the Department that a deficiency has been corrected, the penalty shall cease as of the day the Department receives either verbal or written notification that the correction was made.
(1) If the evaluator determines the deficiency was not corrected as reported, civil penalties shall continue to accrue from the date of the original citation.
(2) If it can be verified that the correction was made prior to the date of notification, the penalty shall cease as of that earlier date.
(h) If necessary, a site visit shall be made immediately or within five working days to confirm that the deficiency has been corrected.
(i) If an immediate civil penalty is assessed and the deficiency is corrected on the same day, the penalty shall still be assessed for that day.
(j) Unless otherwise ordered by the Department all penalties are due and payable upon receipt of the notice for payment, and shall be paid only by check or money order made payable to the agency indicated in the notice.
(k) The Department has the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in (j) above.
NOTE

Authority cited: Sections 1596.81 and 1596.893(b), Health and Safety Code. Reference: Sections 1596.81(b), 1596.871, 1596.893, 1596.98 and 1596.99, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Renumbering of former section 101195 to new section 101200 and renumbering and amendment of former section 101205 to section 101195 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. Amendment of section and Note filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
4. Editorial correction adding inadvertently omitted subsection (g)(2) (Register 2002, No. 39).
5. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (b), new subsections (b)(1)-(b)(1)(A) and subsection renumbering refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsections (b) and (b)(1) and repealer of subsection (b)(1)(A), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
9. Amendment of subsection (b), new subsection (b)(1), subsection renumbering, amendment of newly designated subsection (b)(2) and amendment of Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§101196. Review of Licensing Decisions.
Note     •     History

(a) Any person may request a review of a licensing decision against him/her within 10 working days of receipt of the written decision unless an administrative action pursuant to the California Administrative Procedure Act has commenced against the person.
(1) “Licensing decision” means a decision that applies to notices of deficiency, civil penalties, and waivers and exceptions.
(2) If the review is of a deficiency that has not been corrected, civil penalties continue to accrue during the review process.
(b) The review specified in (a) above shall be conducted by a higher-level staff person than the person who made the licensing decision and issued the related notice of deficiency, civil penalty, or waiver or exception.
(c) The reviewer may uphold, amend or dismiss the licensing decision; or may extend the date specified for the correction of a deficiency.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1596.842, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (a) filed 12-21-90; operative 1-20-91 (Register 91, No. 7).
3. Renumbering of former section 101196 to new section 101201 and renumbering of former section 101206, including amendment of section heading, section and Note, to section 101196 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101197. Exemption from Civil Penalties.
Note     •     History

(a) Civil penalties shall not be assessed against any governmental entity, including a state or city, holding a child care center license.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101207 to new section 101197 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101198. Unlicensed Facility Penalties.
Note     •     History

(a) A penalty of $200 per day shall be assessed for the operation of an unlicensed child care center under either of the following conditions:
(1) The operator has not submitted a completed application for licensure within 15 calendar days of issuance of a Notice of Operation in Violation of Law pursuant to Section 101157, and continues to operate.
(A) For purposes of this section, an application is deemed completed if it includes the information required in Section 101169.
(B) The completed application is deemed to be submitted when received by the Department.
(2) Unlicensed operation continues after denial of the initial application.
(A) Notwithstanding any appeal action, child care center operation must cease within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first.
(b) The $200 per day penalty shall be assessed for the continued operation of an unlicensed child care center as follows:
(1) On the 16th calendar day after the operator has been issued the Notice of Operation in Violation of Law and has not submitted a completed application as required.
(A) The $200 per day penalty shall continue until the operator ceases operation or submits a completed application pursuant to Section 101198(a)(1)(A) and (B).
(2) On the 10th calendar day after the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first.
(A) The $200 per day penalty shall continue until the operator ceases operation.
(c) If the unlicensed operator or his/her representative reports to the Department that unlicensed operation has ceased, the penalty shall cease as of the day the Department receives the notification.
(1) A site visit shall be made immediately or within five working days to verify that the unlicensed child care center operation has ceased.
(2) Notwithstanding (c) above, if the unlicensed child care center operation has not ceased, penalties shall continue to accrue without interruption from the date of initial penalty assessment.
(d) All penalties shall be due and payable upon receipt of the Notice for Payment from the Department, and shall be paid by check or money order made payable to the Department as indicated in the notice.
(e) The Department has the authority to file a claim in any court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in (d) above.
(g) A person assessed civil penalties may appeal the penalty under Section 101196.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.80, 1596.891 and 1596.892, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101209 to new section 101198 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101198.1. Denial or Revocation of License for Failure to Pay Civil Penalties.
Note     •     History

(a) The licensee shall be responsible for paying civil penalties. 
(1) Unless otherwise provided, the transfer, surrender, forfeiture or revocation of a license shall not affect the licensee's responsibility for paying any civil penalties accrued while the license was in effect. 
(b) The Department shall have the authority to deny or revoke any license for failure to pay civil penalty assessments. 
(1) The Department shall have the authority to approve payment arrangements acceptable to the Department. 
(2) The Department shall have the authority to approve the form of payment. 
(3) The licensee's failure to pay civil penalty assessments pursuant to a payment plan approved by the Department may result in the denial or revocation of any license, and/or any other appropriate action. 
(c) Any denial or revocation of the license for failure to pay civil penalties may be appealed as provided by Health and Safety Code Section 1596.887. 
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81, 1596.871, 1596.887, 1596.98 and 1596.99, Health and Safety Code. 
HISTORY

1. New section filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
§101200. Inspection Authority of the Department.
Note     •     History

(a) The Department has the inspection authority specified in Health and Safety Code Sections 1596.852, 1596.853 and 1596.8535.
(b) The Department has the authority to interview children or staff without prior consent.
(1) The licensee shall ensure that provisions are made for private interviews with any children or staff members.
(c) The Department has the authority to inspect, audit, and copy child or child care center records upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the requirements in Sections 101217(c) and 101221(d). 
(1) The licensee shall ensure that provisions are made for the examination of all records relating to the operation of the child care center. 
(d) The Department has the authority to observe the physical condition of the child(ren), including conditions that could indicate abuse, neglect or inappropriate placement.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.852, 1596.853 and 1596.8535, Health and Safety Code.
HISTORY

1. Renumbering of former section 101195, including amendment of section heading and section, to new section 101200 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
2. Amendment of section and Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§101201. Evaluation Visits.
Note     •     History

(a) Child care centers shall be evaluated as specified in Health and Safety Code Sections 1569.8535(a) [as referenced in Section 101200(a)], 1596.98, 1596.99, 1597.08 and 1597.09.
(b) The Department has the authority to make any number of other visits to a child care center in order to determine compliance with applicable laws and regulations.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b), 1596.98, 1596.99, 1597.08, 1597.09 and 1596.852, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101196 to new section 101201 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
2. Editorial correction of section and Note (Register 2002, No. 39).
3. Amendment of subsection (a) and Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§101202. Serious Deficiencies.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.852, 1596.853 and 1596.98, Health and Safety Code.
HISTORY

1. Renumbering of former article 5 to article 4 and repealer of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101203. Deficiencies in Compliance.
Note     •     History

NOTE

Authority cited: Sections 1596.81 and 1596.99, Health and Safety Code. Reference: Sections 1596.81(b), 1596.98 and 1596.99, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsections (c) and (d) filed 12-21-90; operative 1-20-91 (Register 91, No. 7).
3. Editorial correction of printing error (Register 91, No. 17).
4. Renumbering of former section 101203 to section 101193 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101204. Follow-up Visits to Determine Compliance.
Note     •     History

NOTE

Authority cited: Sections 1596.81 and 1596.99, Health and Safety Code. Reference: Sections 1596.852, 1596.853, 1596.98 and 1596.99, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 12-21-90; operative 1-20-91 (Register 91, No. 7).
2. Editorial correction of printing error (Register 91, No. 17).
4. Renumbering of former section 101204 to section 101194 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 5. Administrative Actions
§101205. Denial of License.
Note     •     History

(a) Except as specified in Section 101181, which provides for issuance of a provisional license based upon substantial compliance, the Department shall deny an application for a license if the applicant is not in compliance with applicable laws and regulations. The Department shall issue the denial in accordance with Health and Safety Code Section 1597.11,
(1) The Department shall deny an application if the applicant fails to pay any civil penalty assessments, unless payment arrangements acceptable to the Department have been made.
(2) The Department may deny an application for licensure or revoke a license if the applicant/licensee, staff and/or volunteers violate Health and Safety Code Section 1596.885.
(3) The Department shall deny an application for licensure for grounds specified in Health and Safety Code Section 1596.952(b).
(4) An application shall not be denied solely because the applicant is a parent who has administered or will continue to administer corporal punishment not constituting child abuse, as defined in Penal Code Section 11165(g) or Health and Safety Code Section 1531.5(c), on his/her own child(ren).
(b) If an application is denied, the Department shall inform the applicant of the denial in writing.
(1) The notice shall include the reasons for the denial. The notice shall also advise the applicant of the right to appeal as provided for by Health and Safety Code Section 1596.879.
(c) If the application for a license is denied, the application processing fee shall be forfeited.
(d) Notwithstanding any appeal action, the child care center is unlicensed and shall not operate pending adoption by the Director of a decision on the denial action.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81, 1596.856, 1596.885, 1596.891, 1596.95, 1596.952(b) and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Editorial correction of printing error (Register 91, No. 17).
3. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
4. Renumbering of former article 4 to article 5, renumbering of former section 101205 to section 101195, and renumbering and amendment of section heading and section of former section 101191 to section 101205 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
5. New subsection (a)(3), subsection renumbering and amendment of Note filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
6. Editorial correction of subsections (a) and (b)(1) (Register 2002, No. 39).
§101206. Revocation or Suspension of License.
Note     •     History

(a) The Department has the authority to suspend or revoke a license on any of the grounds specified in Health and Safety Code Section 1596.885.
(b) The Department has the authority to revoke a license pursuant to Health and Safety Code Section 1596.866, which requires child care personnel as specified to complete health and safety training.
(c) Proceedings to hear a revocation action, or a revocation and temporary suspension action, shall be conducted pursuant to Health and Safety Code Sections 1596.886 and 1596.887.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b), 1596.866, 1596.885 and 1596.886, Health and Safety Code.
HISTORY

1. Renumbering of former section 101206 to section 101196 and renumbering and amendment of section and Note of former section 101193 to section 101206 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101207. Licensee/Applicant Complaints.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Renumbering of former section 101207 to new section 101197 and renumbering of former section 10194 to section 10207 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101208. Exclusions.
Note     •     History

(a) The Department may prohibit an individual from serving as a member of the board of directors, executive director, or officer; being employed or allowed in a licensed facility, as specified in Health and Safety Code Sections 1596.8897 and 1596.8898.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.8897 and 1596.8898, Health and Safety Code.
HISTORY

1. New section filed 10-4-2000; operative 11-3-2000 (Register 2000, No. 40).
§101209. Unlicensed Facility Penalties.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.80, 1596.891 and 1596.892, Health and Safety Code.
HISTORY

1. New section filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Renumbering of former section 101209 to new section 101198 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101210. Unlicensed Facility Administrative Appeal.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.80, 1596.891 and 1596.893, Health and Safety Code.
HISTORY

1. New section filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Repealer filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 6. Continuing Requirements
§101212. Reporting Requirements.
Note     •     History

(a) Each licensee or applicant shall furnish to the Department reports as required by the Department including, but not limited to, the following:
(b) The name of the child care center director, and any fully qualified teacher(s) designated to act in the child care center director's absence, shall be reported to the Department within 10 days of a change of child care center director or designee(s).
(1) Whenever a change in child care center director is reported, in addition to his/her name, the report shall include the following:
(A) Verification of the completion of the course work required in Section 101215.1(h). A photocopy of a college transcript, or a photocopy of a Child Development Site Supervisor Permit or a Child Development Program Director Permit, shall meet this requirement.
(B) Verification of successful completion of high school. A photocopy of a high school diploma or GED shall meet this requirement.
(C) A summary of the experience required in Section 101215.1(h).
(c) The licensee shall notify the Department in writing of his/her intent prior to making any structural changes that reduce the total amount of indoor or outdoor activity space. Such structural changes shall include, but not be limited to, room additions.
(d) Upon the occurrence during the operation of the child care center of any of the events specified in (d)(1) below, a report shall be made to the Department by telephone or fax within the Department's next working day and during its normal business hours. In addition, a written report containing the information specified in (d)(2) below shall be submitted to the Department within seven days following the occurrence of such event.
(1) Events reported shall include the following:
(A) Death of any child from any cause.
(B) Any injury to any child that requires medical treatment.
(C) Any unusual incident or child absence that threatens the physical or emotional health or safety of any child.
(D) Any suspected physical or psychological abuse of any child.
(E) Epidemic outbreaks.
(F) Poisonings.
(G) Catastrophes.
(H) Fires or explosions that occur in or on the premises.
(2) Information provided shall include the following:
(A) Child's name, age, sex and date of admission.
(B) Date and nature of event.
(C) Attending physician's name, findings, and treatment, if any.
(D) Disposition of the case.
(e) The items below shall be reported to the Department within 10 working days following their occurrence:
(1) Organizational changes specified in Sections 101185(a)(2) through (a)(5).
(2) Any change in the licensee's or applicant's mailing address.
(3) Any change of the chief executive officer of a corporation, of the general partner(s) of a partnership, or of the controlling partners in a limited liability corporation.
(A) Such notification shall include the new chief executive officer's or partner's name and address.
(B) Fingerprints shall be submitted as specified in Section 101170(d).
(4) Any changes in the plan of operation that affect services to children.
(f) The items specified in (d)(1)(A) through (H) above shall also be reported to the child's authorized representative.
(g) The items specified in (d)(1)(E) through (G) above shall also be reported to the local health officer when appropriate pursuant to the California Code of Regulations, Title 17, Section 2500.
(1) The licensee shall report to the local health officer all outbreaks or suspected outbreaks involving two or more children of any communicable disease listed in (g)(2)(A) below (including diseases, such as head lice, not listed in Title 17, Section 2500).
(h) The item specified in (d)(1)(H) shall also be reported immediately to the local fire authority. In areas not having organized fire services, a report shall be made to the State Fire Marshal within 24 hours.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. Editorial correction of subsections (d) and (g)(1) (Register 2002, No. 39).
4. Amendment of subsection (e)(3)(B) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (e)(3)(B) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (e)(3)(B) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-11-2004 order transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§101213. Finances.
Note     •     History

(a) The licensee shall meet the following financial requirements:
(1) Develop and maintain a financial plan that ensures resources necessary to meet operating costs for the care and supervision of children.
(2) Maintain financial records.
(3) Submit financial reports to the Department when requested to do so by the Department in writing.
(A) The Department's request shall explain the need for the disclosure and shall include a due date for the licensee to submit the requested information.
(B) The Department has the authority to reject any financial report, and to request and examine additional information including interim financial statements. The Department will put its reason(s) for rejecting a report in writing.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101214. Accountability.
Note     •     History

(a) The licensee, whether an individual or other entity, is accountable for the general supervision of the licensed child care center and for the establishment of policies concerning its operation.
(1) If the licensee is a corporation, the governing body shall be active and functioning in order to ensure such accountability.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101215. Administrator Qualifications and Duties.
Note     •     History

(a) The administrator must be at least 18 years of age. The licensee, if an individual or any member of the governing board of the licensed corporation, may be the administrator provided that he/she meets the qualifications specified in this section and in applicable regulations elsewhere in this chapter.
(b) The administrator shall have the following qualifications:
(1) Knowledge of the requirements for providing the type of care and supervision children need, and the ability to communicate with such children.
(2) Knowledge of and ability to comply with applicable laws and regulations.
(3) Ability to maintain or supervise the maintenance of financial and other records.
(4) Ability to establish the center's policy, program and budget.
(5) Ability to recruit, employ, train, direct and evaluate qualified staff, and to terminate employment of staff.
(c) Each licensee shall make provision for continuing operation and carrying out of the administrator's responsibilities during any absence of the administrator.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101215.1. Child Care Center Director Qualifications and Duties.
Note     •     History

(a) In addition to Section 101215, the following shall apply:
(b) All child care centers shall have a director.
(1) Only one director shall be required in a combination center.
(c) The child care center director shall be responsible for the operation of the center, for compliance with regulations, and for communications with the Department; and has the authority to acknowledge receipt of deficiency notices and to correct deficiencies that constitute immediate threats to children's health and safety.
(1) There shall be a clear written statement of the administrative responsibility and authority delegated to the child care center director.
(A) A copy of this written statement shall be given to the child care center director and shall be made available to the Department upon request.
(d) The child care center director, or the substitute director as specified in (f) below, shall be on the premises during the hours the center is in operation.
(1) The child care center director shall not accept outside employment that interferes with the duties specified in this chapter.
(e) A child care center that offers an evening and/or nighttime program shall employ a director for each such program, as well as for the day program.
(f) When the child care center director is absent from the center, arrangements shall be made for a fully qualified teacher as specified in Section 101216.1(c) to act as a substitute. This substitute child care center director shall be aware of center operations, including total enrollment; shall be trained in program operation; and shall be designated as an authorized person to correct operational deficiencies that constitute immediate threats to children's health and safety.
(1) If the child care center director is absent for more than 30 consecutive calendar days, the substitute director shall meet the qualifications of a director.
(g) A licensee who is responsible for two or more centers may serve as the child care center director of one of the centers provided that he/she meets the qualifications specified in (h) below, or may serve as the executive director of all of the centers provided that a qualified child care center director is employed for each individual center.
(h) Child care center directors shall have completed one of the following prior to employment:
(1) High school graduation or GED; completion, with passing grades, of 15 semester or equivalent quarter units as specified in (h)(1)(A) and (h)(1)(B) below at an accredited or approved college or university; and at least four years of teaching experience in a licensed child care center or comparable group child care program.
(A) Three of the 15 units required in (h)(1) above shall be in administration or staff relations.
(B) Twelve of the 15 units required in (h)(1) above shall include courses that cover the general areas of child growth and development, or human growth and development; child, family and community, or child and family; and program/curriculum.
(2) An associate of arts degree from an accredited or approved college or university with a major or emphasis in early childhood education or child development; and at least two years of teaching experience in a licensed child care center or comparable group child care program.
(A) Three semester or equivalent quarter units shall be in administration or staff relations.
(3) A bachelor's degree from an accredited or approved college or university with a major or emphasis in early childhood education or child development; and at least one year of teaching experience in a licensed child care center or comparable group child care program.
(A) Three semester or equivalent quarter units shall be in administration or staff relations.
(4) A Child Development Site Supervisor Permit or a Child Development Program Director Permit issued by the California Commission on Teacher Credentialing.
(i) Approved schools, colleges or universities, including correspondence courses offered by the same, means those approved/authorized by the U.S. Department of Education, Office of Postsecondary Education, or by the California Department of Consumer Affairs, Bureau for Private Postsecondary and Vocational Education.
(j) Accredited schools, colleges or universities, including correspondence courses offered by the same, means those accredited by any one of the following recognized accrediting agencies:
(1) Accrediting Commission, Distance Education and Training Council.
(2) Western Association of Schools and Colleges.
(3) Accrediting Bureau of Health Education Schools.
(4) Association of Independent Colleges and Schools.
(5) National Association of Trade and Technical Schools.
(k) Units earned through correspondence courses from approved or accredited schools, colleges or universities shall be accepted for meeting educational requirements as specified in (h) above.
(l) Each year of experience required in (h)(1), (h)(2) or (h)(3) above shall be verified as having been performed satisfactorily, at least three hours per day for a minimum of 100 days in a calendar year, as a teacher under the supervision of a person who would qualify as a director under this chapter.
(m) A child care center director shall complete 15 hours of health and safety training if necessary pursuant to Health and Safety Code Section 1596.866.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.866, 1596.87, 1597.05 and 1597.055, Health and Safety Code.
HISTORY

1. Renumbering of former section 101315 to new section 101215.1, including amendment of section heading, section and Note, filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101216. Personnel Requirements.
Note     •     History

(a) Child care center personnel shall be competent to provide the services necessary to meet the individual needs of children in care and shall at all times be employed in numbers sufficient to meet those needs.
(b) The Department has the authority to require any licensee to provide additional staff whenever the Department determines and documents that additional staff are required for the provision of services necessary to meet the needs of children in care. The licensee shall be informed in writing of the reasons for the Department's determination. The following factors shall be taken into consideration in determining the need for additional staff:
(1) Needs of the children.
(2) Extent of the services provided by the center.
(3) Physical arrangements of the center.
(4) Existence of a state of emergency or disaster.
(c) The license may utilize volunteers provided that such volunteers are supervised and are not included in the center's staffing plan.
(d) The following child care center personnel shall be at least 18 years old:
(1) Persons who supervise employees and/or volunteers.
(2) Persons, including volunteers, who provide any element of care and supervision to children.
(e) All personnel shall be given on-the-job training in the areas listed below, or shall have related experience that demonstrates knowledge of and skill in those areas. Such training or experience shall be appropriate to the job assigned and shall be evidenced by safe and effective job performance.
(1) Principles of nutrition, food preparation and storage, and menu planning.
(2) Housekeeping and sanitation principles, including universal health precautions.
(3) Provision of child care and supervision, including communication.
(4) Assistance with prescribed medications that are self-administered.
(5) Recognition of early signs of illness and the need for professional assistance.
(6) Availability of community services and resources.
(f) At least one staff member who is trained in pediatric cardiopulmonary resuscitation and pediatric first aid pursuant to Health and Safety Code Section 1596.866 shall be present when children are at the child care center or offsite for center activities.
(g) All personnel, including the licensee, administrator and volunteers, shall be in good health and shall be physically and mentally capable of performing assigned tasks.
(1) Except as specified in (3) below, good physical health shall be verified by a health screening, including a test for tuberculosis, performed by or under the supervision of a physician not more than one year prior to or seven days after employment or licensure.
(2) Each person specified in (g) above shall have a health--screening report signed by the person performing the screening. This report shall indicate the following:
(A) The person's physical qualifications to perform the duties to be assigned.
(B) The presence of any health condition that would create a hazard to the person, children or other staff members.
(3) The good physical health of each volunteer who works in the center shall be verified by:
(A) A statement signed by each volunteer affirming that he/she is in good health.
(B) Results of a test for tuberculosis performed not more than one year prior to or seven days after initial presence in the center.
(h) Personnel that pose a threat to the health and safety of children shall be relieved of their duties.
(i) Prior to employment or initial presence in the child care center, all employees and volunteers subject to a criminal record review shall: 
(1) Obtain a California clearance or a criminal record exemption as required by law or Department regulations or 
(2) Request a transfer of a criminal record clearance as specified in Section 101170(f) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 101170.1(r), unless, upon request for a transfer, the Department permits the individual to be employed, reside or be present at the facility.
(j) Personnel shall provide for the care and safety of children without physical or verbal abuse, exploitation or prejudice.
(k) The licensee or designated individual shall instruct all personnel to report observations or evidence of violations of any of the personal rights specified in Section 101223.
(l) All personnel shall be informed of their rights pursuant to Sections 1596.881 and 1596.882 of the Health and Safety Code.
(1) The licensee shall provide each employee with a Notice of Employee Rights (LIC 9052 [11/94]).
(A) Each employee shall be asked to sign and date the LIC 9052 (11/94) to acknowledge receipt of the form.
(B) A copy of the signed LIC 9052 (11/94) shall be kept in the employee's personnel record.
(C) If the employee refuses to sign the LIC 9052 (11/94), a dated notation to that effect shall be kept in the employee's personnel record.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.871, 1596.880, 1596.881 and 1596.882, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (i) filed 6-5-87; operative 7-5-87 (Register 87, No. 25).
3. New subsection (m) filed 9-6-89; operative 10-6-89 (Register 89, No. 37).
4. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
5. Amendment of subsection (i), repealer of subsections (i)(1)-(i)(2)(A) and new subsections (i)(1)-(3) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (i), repealer of subsections (i)(1)-(i)(2)(A) and new subsections (i)(1)-(3) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (i), repealer of subsections (i)(1)-(i)(2)(A) and new subsections (i)(1)-(3) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsection (i)(1), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§101216.1. Teacher Qualifications and Duties.
Note     •     History

(a) In addition to Section 101216, the following shall apply:
(b) Prior to employment, a teacher shall meet the requirements of (b)(1) or (b)(2) below:
(1) A teacher shall have completed, with passing grades, at least six postsecondary semester or equivalent quarter units of the education requirement specified in (c)(1) below; or shall have obtained a Child Development Assistant Permit issued by the California Commission on Teacher Credentialing.
(A) After employment, a teacher hired under (b) above shall complete, with passing grades, at least two units each semester or quarter until the education requirement specified in (c)(1) below is met.
(2) A teacher shall meet the requirements of Health and Safety Code Section 1597.055.
(c) To be a fully qualified teacher, a teacher shall have one of the following:
(1) Twelve postsecondary semester or equivalent quarter units in early childhood education or child development completed, with passing grades, at an accredited or approved college or university; and at least six months of work experience in a licensed child care center or comparable group child care program.
(A) The units specified in (c)(1) above shall include courses that cover the general areas of child growth and development, or human growth and development; child, family and community, or child and family; and program/curriculum.
(B) Experience shall be verified as having been performed satisfactorily, at least three hours per day for a minimum of 50 days in a six-month period, as a paid or volunteer staff member under the supervision of a person who would qualify as a teacher or director under this chapter.
(2) A current and valid Child Development Associate (CDA) credential with the appropriate age-level endorsement issued by the CDA National Credentialing Program of the Council for Early Childhood Professional Recognition; and at least six months of on-the-job training and/or work experience in a licensed child care center or comparable group child care program.
(A) A CDA credential shall show the appropriate preschool or infant/toddler age-level endorsement to qualify an individual for employment in a preschool or infant care center.
(B) A CDA credential is valid for three years from the date of award. A renewal may be granted every five  years thereafter upon approval by the CDA National Credentialing Program.
(C) Experience shall be verified as having been performed satisfactorily, at least three hours per day for a minimum of 50 days in a six-month period, as a paid or volunteer staff member under the supervision of a person who would qualify as a teacher or director under this chapter.
1. Individuals who possess a CDA credential may have also completed the required six months of work experience specified in (c)(2)(C) above. This work experience shall be verified to confirm that the experience requirement has been met. 
(3) One of the following Child Development Permits issued by the California Commission on Teacher Credentialing:
(A) Child Development Associate Teacher Permit; or
(B) Child Development Teacher Permit; or
(C) Child Development Master Teacher Permit.
(d) Approved schools, colleges or universities, including correspondence courses offered by the same, means those approved/authorized by the U.S. Department of Education, Office of Postsecondary Education, or by the California Department of Consumer Affairs, Bureau for Private Postsecondary and Vocational Education.
(e) Accredited schools, colleges or universities, including correspondence courses offered by the same, means those accredited by any one of the following recognized accrediting agencies:
(1) Accrediting Commission, Distance Education and Training Council.
(2) Western Association of Schools and Colleges.
(3) Accrediting Bureau of Health Education Schools.
(4) Association of Independent Colleges and Schools.
(5) National Association of Trade and Technical Schools.
(f) Units earned through correspondence courses from approved or accredited schools, colleges or universities shall be accepted for meeting educational requirements as specified in (c) above.
(g) A photocopy of the teacher's Child Development Permit as specified in (c)(3) above, or a photocopy of the teacher's transcript(s) documenting successful completion of required course work, shall be maintained at the center.
(h) These education requirements shall not apply to teachers employed as teachers prior to May 1, 1970. A teacher who was employed prior to May 1, 1970, shall remain qualified provided that he/she has had no break in employment as a teacher in a child care center exceeding three consecutive years.
(i) A teacher shall complete 15 hours of health and safety training if necessary pursuant to Health and Safety Code Section 1596.866 and as specified in Section 101215.1(m)(1).
(j) Each teacher shall visually observe aides under his/her supervision whenever the aide is working with children, except as provided for in Sections 101216.2(e)(1) and 101230(c)(1).
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.866, 1596.87, 1597.05, 1597.055 and 1597.057, Health and Safety Code.
HISTORY

1. Renumbering of former section 101316.2 to new section 101216.1, including amendment of section and Note, filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101216.2. Teacher Aide Qualifications and Duties.
Note     •     History

(a) In addition to Section 101216, the following shall apply:
(b) Notwithstanding Section 101216(d), centers may use aides who are less than 18 years old provided they are either:
(1) High school graduates.
(2) Currently participating in an occupational program conducted by an accredited high school or college.
(c) Verification that an aide who is less than 18 years old meets the qualifications required in (b)(1) or (b)(2) above shall be obtained and kept at the center.
(d) An aide assisting a fully qualified teacher (as specified in Section 101216.1(c)) in the supervision of up to 18 preschool-age children pursuant to Section 101216.3 shall meet the following requirements:
(1) Completion of six postsecondary semester or equivalent quarter units in early childhood education or child development, or
(2) Completion of at least two postsecondary semester units or equivalent quarter units in early childhood education or child development each semester or quarter following initial employment, and
(3) Continuation in the educational program each semester or quarter until six units have been completed.
(e) An aide shall work only under the direct supervision of a teacher.
(1) An aide who is 18 years of age or older, and who meets the requirements of this section and Section 101216, may escort and/or assist children in going to the bathroom, and may supervise napping children as specified in Section 101230(c)(1), without being under the direct supervision of a teacher.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.87, 1597.05 and 1597.059, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101316.3 to new section 101216.2 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101216.3. Teacher-Child Ratio.
Note     •     History

(a) There shall be a ratio of one teacher visually observing and supervising no more than 12 children in attendance, except as specified in (b) and (c) below.
(1) The number of children in attendance shall not exceed licensed capacity.
(2) Whenever children are engaged in activities away from the center, no teacher shall be in charge of a group of more than 12 children.
(b) The licensee may use teacher aides in a teacher-child ratio of one teacher and one aide for every 15 children in attendance.
(1) A ratio of one fully qualified teacher (as specified in Section 101216.1(c)) and one aide for every 18 children in attendance in a preschool program is allowed when the aide meets the qualifications specified in Section 101216.2(d).
(A) This ratio does not apply to children enrolled in an infant care center or a school-age child care center.
(c) Child development programs funded by the California Department of Education and operating under Title 5 of the California Code of Regulations are not required to meet the teacher-child ratios specified in (a) and (b) above. Title 5 staffing ratios shall apply in such centers.
(d) The licensee may include the child care center director in the teacher-child ratio when the director is actually engaged in teaching a group of children.
(1) The licensee may include the substitute child care center director in the teacher-child ratio when the substitute director is actually engaged in teaching a group of children.
(e) Each licensee shall maintain an up-to-date list of qualified teacher substitutes as defined in Section 101152q.(1). Substitutes on this list shall be called immediately in case of emergency or illness to meet the teacher-child ratios required by this chapter.
(f) During nap periods the teacher-child ratio specified in Section 101230(c) shall apply.
(g) A teacher shall not be required to perform housekeeping or maintenance duties that prevent him/her from performing duties related to providing care and supervision to children.
(h) Persons employed for clerical, housekeeping and maintenance functions shall not be included as teachers in the teacher-child ratio.
(1) The licensee may use such persons as emergency substitutes for teachers while a qualified teacher substitute is being secured.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1597.05 and 1597.059, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101316.5 to new section 101216.3 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
2. Editorial correction of subsections (e) and (f) (Register 2002, No. 39).
§101216.4. Preschool Program with Toddler Component.
Note     •     History

(a) Licensees serving preschool-age children may create a special program component for children between the ages of 18 months and 30 months. The provisions of Sections 101151 through 101239.2 shall apply for children over 24 months, except as specified in Sections 101216.4(a)(1) through (6). The provisions of Sections 101351 through 101439.1 shall apply for children between the ages of 18 and 24 months participating in a preschool toddler component, except as specified in Sections 101216.4(a)(1) through (6).
(1) Child care centers with an existing preschool program wishing to establish a toddler component shall submit an amended application and obtain approval from the Department.
(2) Children in a child care center between the ages of 18 months and 30 months may be placed in the toddler program. A child older than 30 months may participate in the toddler program with written permission from the child's authorized representative. No child in the toddler program shall be placed in the preschool program before the age of 30 months without written permission from the child's authorized representative.
(3) It shall be permissible for a child whose developmental needs require continuation in a toddler component to remain in the toddler component up to a maximum age of three years.
(4) A ratio of six children to each teacher shall be maintained for all children in attendance in the toddler program. An aide who is participating in on-the-job-training may be substituted for a teacher when directly supervised by a fully qualified teacher.
(5) The maximum group size, with two teachers, or one fully qualified teacher and one aide, shall not exceed 12 toddlers.
(6) The toddler program shall be conducted in areas physically separate from those used by older or younger children. Space planning and usage for the toddler component shall be governed by the provisions of Section 101438.3. Plans to alternate use of outdoor play space must be approved by the Department.
(A) Requirements for physical separation between children in the toddler component and older or younger children need not apply when a planned activity is being conducted.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Section 1596.955, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101316.6 to new section 101216.4 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
2. Editorial correction of subsection (a) (Register 2002, No. 39).
§101216.5. Staffing--Parent-Cooperative Centers.
Note     •     History

(a) Parent-cooperative centers shall employ a full-time teacher in addition to the director and participating parents when the number of children reaches 25.
(b) There shall be at least one staff member or participating parent present for each five children in attendance.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101316.7 to new section 101216.5 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101216.6. Staffing for Water Activities.
Note     •     History

(a) There shall be at least one adult who has a valid water-safety certificate on file at the center present during water activities in or near any of the following bodies of water:
(1) Swimming pool.
(2) Any portable pool with sides so high that children using the pool cannot step out unassisted by a person or device (including a ladder).
(3) Potentially dangerous natural bodies of water including, but not limited to, oceans, lakes, rivers and streams.
(b) A ratio of not less than one adult, including teachers, to every six children, or fraction thereof, shall be maintained during water activities in or near any of the bodies of water specified in (a)(1) through (3) above.
(1) Lifeguards or personnel supervising anyone other than center children at the water activity site shall not be included in this ratio.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.87 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101316.8 to new section 101216.6 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101217. Personnel Records.
Note     •     History

(a) The licensee shall ensure that personnel records are maintained on the licensee, administrator and each employee. Each personnel record shall contain the following information: 
(1) Employee's full name.
(2) Driver's license number if the employee is to transport children.
(3) Date of employment.
(4) A statement signed by the employee that he/she is at least 18 years of age.
(5) Current home address and phone number.
(6) Documentation of the educational background, training and/or experience specified in this chapter.
(7) Past experience, including types of employment and former employers.
(8) Duties of the employee.
(9) Termination date if no longer employed by the child care center.
(10) A signed and dated copy of a Notice -- Employee Rights (LIC 9052 [3/03]).
(11) A health screening as specified in Section 101216(g). 
(12) Tuberculosis test documents as specified in Section 101216(g). 
(13) A signed statement regarding their criminal record history as required by Section 101170(d). 
(14) Documentation of either a criminal record clearance or a criminal record exemption as required by Section 101170(e). 
(b) Personnel records shall be maintained for all volunteers and shall contain the following: 
(1) A health statement as specified in Section 101216(g). 
(2) Tuberculosis test documents as specified in Section 101216(g)(3). 
(3) For volunteers that are required to be fingerprinted pursuant to Section 101170: 
(A) A signed statement regarding their criminal record history as required by Section 101170(d). 
(B) Documentation of either a criminal record clearance or a criminal record exemption as required by Section 101170(e).
(c) All personnel records shall be available to the Department to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove the following current records for current personnel unless the same information is otherwise readily available in another document or format. 
(A) Health-screening records and results of tuberculosis tests as specified in Section 101216(g). 
(B) Documentation of completion of health and safety training as specified in Sections 101215.1(m), 101216(f), and 101216.1(i). 
(C) Any other records containing current emergency or health-related information for current personnel. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
(d) All personnel records shall be maintained at the child care center and shall be available to the licensing agency for review.
(1) The licensee may keep such records in a central administrative location provided that they are readily available to the Department at the child care center site as specified in section 101217(c).
(e) In all cases, personnel records shall document the hours actually worked.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.880, 1596.881 and 1596.882, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. New subsection (a)(10) filed 9-6-89; operative 10-6-89 (Register 89, No. 37).
3. Editorial correction of NOTE (Register 89, No. 44).
4. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
5. Editorial correction of subsection (a)(6) (Register 2002, No. 39).
6. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsections (a)(13)-(14) and (b)(3)(A)-(B), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
10. Amendment of subsections (a) and (a)(10), new subsections (c)-(c)(3), amendment of subsection (d)(1) and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§101218. Admission Policies.
Note     •     History

(a) Every child care center shall have all admission policies in writing and available to the public. The policies shall coincide with the limitations stated on the license, and shall include, but not be limited to, the following:
(1) Written admission criteria designating those children whose needs can be met by the center's program and services.
(2) The ages of children who will be accepted.
(3) The program activities.
(4) The supplementary services provided, if any.
(5) Field-trip provisions, if any.
(6) Transportation arrangements, if any.
(7) Food-service provisions.
(8) Medical-assessment requirement.
(b) A licensee who provides care to a child with disabilities shall be able to meet the individual needs of the child.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101319 to section 101218 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101218.1. Admission Procedures and Parental and Authorized Representative's Rights.
Note     •     History

(a) In accordance with the child care center's individual program, policies and needs, the licensee shall develop, implement and maintain an admission procedure that enables the person in charge of admissions to:
(1) Determine that the child meets the child care center's admission criteria.
(2) Conduct one or more personal interviews with the child's parent or authorized representative that meets the following requirements:
(A) Enables the person responsible for admissions to understand the state of the child's health and physical and emotional development, and to assess whether the child care center can meet the child's needs.
(B) Provides the child's parent or authorized representative with information about the child care center that shall at least include the child care center's admission policies and procedures, activities, services, regulations, hours and days of operation, fees, procedures to be followed should the child become ill or injured while at the child care center, and procedures for conducting inspections for illness.
(3) Obtain all identifying information specified in Section 101221(b).
(4) Obtain all health information specified in Section 101220.
(b) At the time of acceptance of each child in care, the licensee shall inform each child's parent or authorized representative of his/her rights that include, but are not limited to, the following: 
(1) To enter and inspect the child care center in accordance with Health and Safety Code Section 1596.857.
(2) To file a complaint against the licensee with the local licensing office in accordance with Health and Safety Code Section 1596.853.
(3) To review the child care center's public file kept by the local licensing office in accordance with Health and Safety Code Section 1596.859.
(4) To review at the child care center, reports of licensing visits and substantiated complaints against the licensee made during the last three years in accordance with Health and Safety Code Section 1596.859.
(5) To complain to the local licensing office and inspect the child care center without discrimination or retaliation in accordance with Health and Safety Code Section 1596.857.
(6) To request in writing that a parent not be allowed to visit a child or take a child from the child care center provided the custodial parent has shown a certified copy of a court order pursuant to Health and Safety Code Section 1596.857.
(7) To receive from the licensee upon request the name, address and telephone number of the local licensing office in accordance with Health and Safety Code Section 1596.874.
(8) To be informed by the licensee, upon request, of the name and type of association to the child care center for any adult who has been granted a criminal record exemption, and that the name of the person may also be obtained by contacting the local licensing office.
(c) The licensee shall post the PUB 393 (8/02), Child Care Center Notification of Parents' Rights Poster in a prominent, publicly accessible area in the child care center at all times.
(d) The licensee shall provide to the parent or authorized representative the LIC 995E (8/02), Caregiver Background Check Process form.
(e) At the time of acceptance of each child into care and for all children in care on August 7, 2002, the licensee shall give each parent or authorized representative a copy of the Notification of Parents' Rights (LIC 995 [8/02]) and the LIC 995E, Caregiver Background Check Process form.
(1) The licensee shall request the child's parent or authorized representative to sign and date the notice acknowledgement-of-receipt statement at the bottom of the LIC 995 (8/02). The bottom portion of this form must be kept in the child's file as proof that the parent or authorized representative has been notified of his or her rights by the child care center and received a copy of the LIC 995E, Caregiver Background Check Process form.
(2) Whenever a parent or authorized representative makes a request pursuant to Section 101218.1(b)(8), the child care center shall note, date, and initial the request in the child's file. The child care center shall request that the parent or authorized representative also initial the notation documenting the request.
(3) Failure by the licensee to comply with the requirements in Sections 101218.1(b)(8), (c), (d), (e), (e)(1), or (e)(2) shall subject the licensee to civil penalties pursuant to Section 101195.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.853, 1596.857, 1596.859, 1596.874, 1597.05 and 1597.07, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101319.1 to section 101218.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
2. Amendment of section heading, section and Note filed 8-7-2002 as an emergency; operative 8-7-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-5-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 12-3-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-3-2002 order transmitted to OAL 4-1-2003 and filed 5-12-2003 (Register 2003, No. 20).
§101219. Admission Agreements.
Note     •     History

(a) The licensee and the child's authorized representative shall jointly complete a current individual written admission agreement for the child. This documentation shall be maintained at the child care center and shall be available for review.
(b) Admission agreements shall specify the following:
(1) Basic services.
(2) Available optional services.
(3) Payment provisions, including the following:
(A) Basic rate.
(B) Optional services rates.
(C) Payor.
(D) Due date.
(E) Frequency of payment.
(4) Modification conditions, including the requirement that the child's authorized representative be given at least 30-calendar-days prior written notice of any basic rate change.
(A) Agreements involving children whose care is funded at government-prescribed rates may specify that the effective date of a government rate change shall be considered the effective date for basic service rate modifications and that no prior notice is necessary.
(5) Refund conditions.
(6) Right of the Department to perform the duties authorized in Sections 101200(b) and (c).
(7) Conditions under which the agreement may be terminated.
(c) The licensee, or his/her designee, and the child's authorized representative shall sign and date the child's admission agreement no later than seven calendar days following admission.
(d) Modifications to the original admission agreement shall be made whenever circumstances covered in the agreement change, and shall be dated and signed by the persons specified in (c) above.
(e) The licensee shall keep the original copy of the admission agreement and give a photocopy to the child's authorized representative.
(f) The licensee shall comply with all terms and conditions set forth in the admission agreement.
(g) The admission agreement shall be automatically terminated by the death of the child. No liability or debt shall accrue after the date of death.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101220. Child's Medical Assessments.
Note     •     History

(a) Prior to, or within 30 calendar days following the enrollment of a child, the licensee shall obtain a written medical assessment of the child. This medical assessment enables the licensee to assess whether the center can provide necessary health-related services to the child.
(1) Such assessment shall be performed by, or under the supervision of, a licensed physician, and shall not be more than one year old when obtained.
(b) The medical assessment shall provide the following:
(1) A record of any infectious or contagious diseases that would preclude care of the child by the licensee.
(2) Results of a test for tuberculosis.
(3) Identification of the child's special problems and needs.
(4) Identification of any prescribed medications being taken by the child.
(5) Ambulatory status.
(c) The Department has the authority to require the licensee to obtain a current written medical assessment if such an assessment is necessary to verify the appropriateness of a client's placement.
(d) If a medical assessment is not available for a child and cannot be obtained within 30 days of admission:
(1) A medical appointment date shall be obtained from the authorized representative upon the child's admission.
(2) A TB test shall be obtained on the child within 30 days of admission.
(e) The licensee is not required to document medical assessments on children who are also enrolled in a public or private elementary school.
(f) A child whose authorized representatives adhere to a religious faith that practices healing by prayer or other spiritual means shall not be required to meet the requirements of this section provided the authorized representatives:
(1) Provide information on the child's health history.
(2) Sign a statement that indicates their:
(A) Acceptance of full responsibility for the child's health.
(B) Refusal to obtain a medical examination of the child.
(C) Request that no medical care be given to the child.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101220.1. Immunizations.
Note     •     History

(a) Prior to admission to a child care center, children shall be immunized against diseases as required by the California Code of Regulations, Title 17, commencing with Section 6000.
(1) Centers that meet the criteria of Health and Safety Code Section 1596.794 are not required to verify or document children's immunizations.
(e) The licensee shall be permitted to exempt a child from immunization requirements provided that one of the following criteria is met and the related documentation is kept in the child's file:
(1) A physician provides a written statement that an immunization(s)  should not be given to the child and specifies how long this exemption is expected to be needed.
(2) The child's authorized representative provides a written statement that immunizations are contrary to his/her personal or religious beliefs.
(f) As required by the California Code of Regulations, Title 17, Section 6035(b), a child who does not meet any of the requirements in Sections 101220.1(c), (d) or (e) above shall not be admitted to a child care center.
(g) The licensee shall document each child's immunizations and shall maintain such documentation in the center for as long as the child is enrolled.
(1) This requirement includes updating each child's immunization record when the child is due to receive required immunizations after enrollment in the child care center.
(i) The licensee is not required to document immunizations of children also enrolled in a public or private elementary school.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1597.05 and 1596.794, Health and Safety Code.
HISTORY

1. Renumbering of former section 101320.1 to new section 101220.1, including amendment of section and Note, filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101221. Child's Records.
Note     •     History

(a) The licensee shall ensure that a separate, complete and current record for each child is maintained in the child care center.
(b) Each record shall contain information including, but not limited to, the following:
(1) Name of child.
(2) Birthdate.
(3) Sex.
(4) Date of Admission.
(5) Name, address and telephone number of the child's authorized representative and of relatives or others who can assume responsibility for the child if the authorized representative cannot be reached when necessary.
(6) A signed copy of the admission agreement specified in Section 101219.
(7) Name, address and telephone number of the child's physician and dentist and any other medical/dental or mental health providers.
(8) Medical assessment, including ambulatory status as specified in Section 101220, and the following health information:
(A) Dietary restrictions and allergies.
(B) Instructions for action to be taken in case the child's authorized representative, or the physician designated by the authorized representative, cannot be reached in an emergency.
(C) A signed consent form for emergency medical treatment unless the child's authorized representative has signed the statement specified in Section 101220(f).
(9) Record of any illness or injury requiring treatment by a physician or dentist and for which the center provided assistance to the child in meeting his/her necessary medical or dental needs.
(10) Record of current medications, including the name of the prescribing physician, and instructions, if any, regarding control and custody of medications.
(11) Signed and dated authorization from the child's authorized representative for each activity away from the center.
(12) Date of termination of services.
(c) All information and records obtained from or regarding children shall be confidential.
(1) The licensee shall be responsible for safeguarding the confidentiality of record contents.
(2) Except as specified in (d) below, or as otherwise authorized by law, the licensee and all employees shall not reveal or make available confidential information.
(d) All children's records shall be available to the Department to inspect, audit, and copy upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove the following current records for current children in care unless the same information is otherwise readily available in another document or format: 
(A) Name, address and telephone number of the child's authorized representative, and of relatives or others who can assume responsibility for the child if the authorized representative cannot be reached, as specified in Section 101221(a)(5). 
(B) Name, address and telephone number of the child's physician, dentist and any other health-care providers as specified in Section 101221(a)(7). 
(C) Medical assessment and other information as specified in Section 101221(a)(8). 
(D) Records of any current illness or injury as specified in Section 101221(a)(9). 
(E) Record of current medications as specified in Section 101221(a)(10). 
(F) Any current authorizations for children's activities away from the center as specified in Section 101221(a)(11). 
(G) Immunization records as specified in Section 101220.1(g). 
(H) Any other records containing current emergency or health-related information for current children in care. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the administrator or designee. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
(e) A child's records shall also be open to inspection by the child's authorized representative. 
(f) The information specified in (b)(1) through (b)(12) above shall be updated as necessary to ensure the accuracy of the child's record.
(g) Originals or photocopies of all children's records shall be kept for at least three years following termination of service to the child.
(h) The licensee shall provide the name, address and telephone number of the child's authorized representative to a peace officer as specified in Health and Safety Code Section 1596.876.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.857, 1596.876 and 1597.05, Health and Safety Code; and Golden Day Schools, Inc. v. Pirillo (C.D. Cal 2000) 118 F.Supp.2nd 1037.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. Amendment of subsections (a) and (d)-(d)(1), new subsections (d)(1)(A)-(e), subsection relettering and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§101223. Personal Rights.
Note     •     History

(a) The licensee shall ensure that each child is accorded the following personal rights:
(1) To be accorded dignity in his/her personal relationships with staff and other persons.
(2) To be accorded safe, healthful and comfortable accommodations, furnishings and equipment to meet his/her needs.
(3) To be free from corporal or unusual punishment, infliction of pain, humiliation, intimidation, ridicule, coercion, threat, mental abuse or other actions of a punitive nature including but not limited to: interference with functions of daily living including eating, sleeping or toileting; or withholding of shelter, clothing, medication or aids to physical functioning.
(4) To be informed, and to have his/her authorized representative informed, by the licensee of the law regarding complaints including, but not limited to, information on confidentiality and the address and telephone number of the Department's complaint unit.
(5) To be free to attend religious services or activities of his/her choice.
(A) Attendance at religious services in or outside of the center shall be voluntary. The child's authorized representative shall make decisions about the child's attendance at religious services.
(6) Not to be locked in any room, building or center premises by day or night.
(A) The licensee is not prohibited by this provision from locking exterior doors and windows or from establishing rules for the protection of children provided the children are able to exit the center.
(B) The licensee shall obtain prior approval from the Department to utilize means other than those specified in (A) above for securing exterior doors and windows.
(7) Not to be placed in any restraining device. Postural supports may be used as specified in Section 101223.1.
(8) To receive or reject medical care, or health-related services, except for minors for whom a guardian, conservator or other legal authority has been appointed.
(b) The center shall inform each child's authorized representative of the rights specified in (a)(1) through (8) above.
(1) The center shall give each authorized representative a copy of the Personal Rights form (LIC 613A [9/96]).
(A) Each authorized representative shall be asked to sign and date the acknowledgment-of-receipt statement at the bottom of the LIC 613A (9/96). This documentation shall be kept in the child's file.
(2) The center shall post a copy of the LIC 613A (9/96) in a prominent, publicly accessible area in the center.
(c) The licensee shall ensure that each child is accorded the personal rights specified in this section.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of section, including renumbering of subsections (a)(7)(A)-(E) to new section 101223.1(a)(1)-(5), filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101223.1. Postural Supports/Protective Devices.
Note     •     History

(a) Postural supports may be used with prior approval by the Department as specified in (1) through (5) below.
(1) Supportive restraints shall be limited to appliances or devices, including straps, spring-release trays or soft ties, that are used to support a child in a bed, chair or wheelchair to prevent falling.
(2) All requests to use supportive restraints shall be in writing and shall include a written order from a physician indicating the need for such restraints. The Department is authorized to require additional documentation in order to evaluate the request.
(3) Approved supportive restraints shall be fastened or tied in a manner that permits quick release.
(4) The Department shall approve the use of supportive restraints only after the appropriate fire clearance, as required by Section 101171, has been secured.
(5) The Department has the authority to grant conditional and/or limited approvals to use supportive restraints.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. New section, including renumbering and amendment of section 101223(a)(7)(A)-(E) to new subsections (a)(1)-(5), filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101223.2. Discipline.
Note     •     History

(a) Any form of discipline or punishment that violates a child's personal rights as specified in Section 101223 shall not be permitted regardless of authorized representative consent or authorization.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101323.1 to new section 101223.2 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101224. Telephones.
Note     •     History

(a) All child care centers shall have working telephone service on the premises.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101225. Transportation.
Note     •     History

(a) Only drivers licensed for the type of vehicle operated shall be permitted to transport children.
(b) The manufacturer's rated seating capacity of the vehicles shall not be exceeded.
(c) Motor vehicles used to transport children shall be maintained in a safe operating condition.
(d) All vehicle occupants shall be secured in an appropriate restraint system.
(e) Children shall not be left in parked vehicles.
(f) The licensee shall post signs at the entrance to the child care center that provide the telephone number of the local health department and information on child passenger restraint systems pursuant to Health and Safety Code Section 1596.95(g) and Vehicle Code Section 27360(b).
(1) The signs shall provide all of the following information:
(A) Protect your child--it is the law.
(B) Children under the age of four years, regardless of weight, or weighing less than 40 pounds, regardless of age, must be in an approved child passenger restraint system.
(C) You may be cited for a violation of the child passenger restraint system provisions. In addition, your automobile insurance rates could be adversely affected as a result.
(D) Call your local health department for more information.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1596.95, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. New subsections (d)-(f)(1)(D) and amendment of Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101226. Health-Related Services.
Note     •     History

(a) The licensee shall immediately notify the child's authorized representative if the child becomes ill or sustains an injury more serious than a minor cut or scratch. The licensee shall obtain specific instructions from the authorized representative regarding action to be taken.
(1) In the case of an illness severe enough to require isolation of the child, the center shall follow the procedures specified in Section 101226.2.
(2) In the case of less serious injuries including, but not limited to, minor cuts, scratches and bites from other children requiring assessment and/or administration of first aid by staff, the licensee shall document the injury in the child's record and notify the child's authorized representative of the nature of the injury when the child is picked up from the center.
(b) The licensee shall make prompt arrangements for obtaining medical treatment for any child if necessary.
(c) The licensee shall obtain emergency medical treatment without specific instructions from the child's authorized representative if the authorized representative cannot be reached immediately, or if the nature of the child's illness or injury is such that there should be no delay in getting medical treatment for the child.
(1) The teacher supervising activities away from the center premises shall carry one of the following for each child engaged in such activities:
(A) A signed consent form for emergency medical treatment; or
(B) For a child not required to have a consent form for emergency medical treatment pursuant to Section 101220(f), the phone numbers of the authorized representative, relatives or others who can assume responsibility for the child in an emergency.
(d) The licensee shall maintain the following first-aid supplies in a location accessible to staff but inaccessible to children:
(1) A current edition of a first-aid manual.
(2) Sterile first-aid dressings.
(3) Bandages or roller bandages.
(4) Adhesive tape.
(5) Scissors.
(6) Tweezers.
(7) Thermometer.
(8) Antiseptic solution.
(e) In centers where the licensee chooses to handle medications:
(1) All prescription and nonprescription medications shall be centrally stored in accordance with the requirements specified below:
(A) Medications shall be kept in a safe place inaccessible to children.
(B) Each container shall have an unaltered label.
(C) A refrigerator shall be used to store any medication that requires refrigeration.
(2) All prescription and nonprescription medications shall be maintained with the child's name and shall be dated.
(3) Prescription medications may be administered if all of the following conditions are met:
(A) Prescription medications shall be administered in accordance with the label directions as prescribed by the child's physician.
(B) For each prescription medication, the licensee shall obtain, in writing, approval and instructions from the child's authorized representative for the administration of the medication to the child.
1. This documentation shall be kept in the child's record.
2. The instructions from the child's authorized representative shall not conflict with the label directions as prescribed by the child's physician.
(4) Nonprescription medications may be administered without approval or instructions from the child's physician if all of the following conditions are met:
(A) Nonprescription medications shall be administered in accordance with the product label directions on the nonprescription medication container(s).
(B) For each nonprescription medication, the licensee shall obtain, in writing, approval and instructions from the child's authorized representative for the administration of the medication to the child.
1. This documentation shall be kept in the child's record.
2. The instructions from the child's authorized representative shall not conflict with the product label directions on the nonprescription medication container(s).
(5) The licensee shall develop and implement a written plan to record the administration of prescription and nonprescription medications and to inform the child's authorized representative daily when such medications have been given.
(6) When no longer needed by the child, or when the child withdraws from the center, all medications shall be returned to the child's authorized representative or disposed of after an attempt to reach the authorized representative.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of section heading and section of former section 101326 to new section 101226 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
2. Editorial correction of subsection (e)(3) (Register 2002, No. 39).
§101226.1. Daily Inspection for Illness.
Note     •     History

(a) The licensee shall be responsible for ensuring that children with obvious symptoms of illness including, but not limited to, fever or vomiting, are not accepted.
(1) Additional attention shall be paid to children who:
(A) Have been absent because of illness.
(B) Have been exposed to a contagious disease.
(b) The licensee shall develop and implement a written inspection procedure that shall include the following:
(1) No child shall be accepted without contact between center staff and the person bringing the child to the center.
(2) The licensee shall require that the person bringing the child to the center remain until the child is accepted.
(A) After the child has been determined to be without obvious signs of illness and has been accepted, the center shall require that the person sign the child in.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101326.1 to new section 101226.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101226.2. Isolation for Illness.
Note     •     History

(a) A center shall be equipped to isolate and care for any child who becomes ill during the day.
(1) The isolation area shall be located to afford easy supervision of children by center staff.
(2) The isolation area shall be equipped with a mat, cot, couch or bed for each ill child.
(3) The isolation area shall not be located in the kitchen area or the general-use toilet area.
(4) In combination centers, only one isolation area that serves all licensed components is required.
(b) The child's authorized representative shall be notified immediately when the child becomes ill enough to require isolation, and shall be asked to have the child removed from the center as soon as possible.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101326.2 to new section 101226.2 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101226.3. Observation of the Child.
Note     •     History

(a) The behavior and health of the children shall be continually observed throughout the period of attendance.
(b) Any unusual behavior, any injury or any signs of illness requiring assessment and/or administration of first aid by staff shall be reported to the child's authorized representative and recorded in the child's record.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101326.3 to new section 101226.3 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101227. Food Service.
Note     •     History

(a) In child care centers providing meals to children, the following shall apply:
(1) All food shall be safe and of the quality and in the quantity necessary to meet the needs of the children. Each meal shall include, at a minimum, the amount of food components as specified by Title 7, Code of Federal Regulations, Part 226.20, (Revised January 1, 1990) Requirements for Meals, for the age group served. All food shall be selected, stored, prepared and served in a safe and healthful manner. 
(2) Where all food is provided by the center, arrangements shall be made so that each child has available at least three meals per day. 
(A) Not more than 15 hours shall elapse between the third meal of one day and first meal of the following day. 
(3) Where meal service within a center is elective, arrangements shall be made to ensure availability of a daily food intake meeting the requirements of (a)(1) above for all children who elect meal service in their admission agreement. 
(4) Between meals, snacks shall be available for all children unless the food a child may eat is limited by dietary restrictions prescribed by a physician. Each snack shall include at least one serving from each of two or more of the four major food groups.
(5) The following shall be offered daily:
(A) Full-day programs shall offer a midmorning and midafternoon snack.
(B) Full-day programs shall ensure that each child has a lunch.
1. The child's authorized representative may send meals and/or snacks for the child.
(C) Half-day programs shall offer a midmorning or midafternoon snack.
(6) Menus shall be in writing and shall be posted at least one week in advance in an area accessible for review by the child's authorized representative. Copies of the menus as served shall be dated and kept on file for at least 30 days. Menus shall be made available for review by the child's authorized representative and the Department upon request.
(7) Modified diets prescribed by a child's physician as a medical necessity shall be provided.
(A) The licensee shall obtain and follow instructions from the physician or dietitian on the preparation of the modified diet. 
(B) A child shall not be served any food to which the child's record indicates he/she has an allergy.
(8) Commercial foods shall be approved by appropriate federal, state and local authorities. All foods shall be selected, transported, stored, prepared and served so as to be free from contamination and spoilage and shall be fit for human consumption. Food in damaged containers shall not be accepted, used or retained.
(9) Where indicated, food shall be cut, chopped or ground to meet individual needs.
(10) Powdered milk shall not be used as a beverage but shall be allowed in cooking and baking. Raw milk, as defined in Division 15 of the California Food and Agricultural Code, shall not be used. Milk shall be pasteurized.
(11) Except upon written approval by the Department, meat, poultry and meat food products shall be inspected by state or federal authorities. Written evidence of such inspection shall be available for all products not obtained from commercial markets.
(12) All home-canned foods shall be processed in accordance with standards of the University of California Agricultural Extension Service. Home-canned foods from outside sources shall not be used. 
(13) If food is prepared off the center premises, the following shall apply:
(A) The preparation source shall meet all applicable requirements for commercial food services. 
(B) The center shall have the equipment and staff necessary to receive and serve food and to clean up.
(C) The center shall maintain the equipment necessary for in-house food preparation, or shall have an alternate source for food preparation and service in the event of an emergency. 
(14) All persons engaged in food preparation and service shall observe personal hygiene and food-service sanitation practices that protect food from contamination.
(15) All foods or beverages capable of supporting the rapid and progressive growth of microorganisms that can cause food infections or food intoxications shall be stored in covered containers at 45 degrees F (7.2 degrees C) or less.
(16) Pesticides and other similar toxic substances shall not be stored in food storerooms, kitchen areas, food-preparation areas, or areas where kitchen equipment or utensils are stored.
(17) Soaps, detergents, cleaning compounds or similar substances shall be stored in areas separate from food supplies. 
(18) All kitchen, food-preparation and storage areas shall be kept clean and free of litter and rubbish; and measures shall be taken to keep all such areas free of rodents and other vermin. 
(19) All food shall be protected against contamination. Contaminated food shall be discarded immediately. 
(20) All equipment (fixed or mobile), dishes and utensils shall be kept clean and maintained in safe condition.
(21) All dishes and utensils used for eating and drinking, and in the preparation of food and drink, shall be cleaned and sanitized after each use. 
(A) Dishwashing machines shall reach a temperature of 165 degrees F (74 degrees C) during the washing and/or drying cycle to ensure that dishes and utensils are cleaned and sanitized.
(B) Centers not using dishwashing machines shall clean and sanitize dishes and utensils by an alternative comparable method. 
(22) Equipment necessary for the storage, preparation and service of food or snacks shall be provided and shall be well-maintained. Necessary equipment shall include, but not be limited to:
(A) Sink.
(B) Hot and cold running water.
(C) Refrigeration.
(D) Storage space for food.
(23) Tables, dishes and utensils shall be provided in the quantity necessary to serve the children. 
(24) Adaptive devices shall be provided for self-help in eating as needed by children. 
(25) The food-preparation area shall not be used for:
(A) Children's play activities unless such activities are part of a supervised food-education program.
(B) Napping.
(C) A passageway for children while the area is being used for food preparation or service.
(b) The Department has the authority to require the center to provide documentation on food purchased and used over a given period, including menus, when necessary to determine if the licensee is complying with the food-service requirements in this chapter.
(1) The Department shall specify in writing the documentation required from the licensee. 
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsections (a) and (c) filed 5-16-91; operative 6-16-91 (Register 91, No. 27). 
3. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101228. Personal Services. (Reserved)

§101229. Responsibility for Providing Care and Supervision.
Note     •     History

(a) The licensee shall provide care and supervision as necessary to meet the children's needs.
(1) No child(ren) shall be left without the supervision of a teacher at any time, except as specified in Sections 101216.2(e)(1) and 101230(c)(1). Supervision shall include visual observation.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Renumbering and amendment of former subsection 101329(a) to new subsection 101229(a)(1) filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101229.1. Sign In and Sign Out.
Note     •     History

(a) In addition to the sign-in procedure requirement of Section 101226.1(b), the licensee shall develop, maintain and implement a written procedure to sign the child in/out of the child care center that shall, at a minimum, include the following:
(1) The person who signs the child in/out shall use his/her full legal signature and shall record the time of day.
(b) The person who brings the child to, and removes the child from, the center shall sign the child in/out.
(c) A person who removes the child from the center during the day, and returns the child to the center the same day, shall sign the child in/out.
(d) The sign--in and sign-out sheets with the signatures required by this section and by Section 101226.1 shall be kept for one month and shall be available at the center for review by the Department.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101329.1 to new section 101229.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101230. Activities/Napping.
Note     •     History

(a) Each center shall provide a variety of daily activities designed to meet the needs of children in care, including but not limited to:
(1) Quiet and active play.
(2) Rest and relaxation.
(3) Eating.
(4) Toileting.
(b) All children shall be given an opportunity to nap or rest without distraction or disturbance from other activities at the center.
(1) A napping space and a cot or mat shall be available for each child under the age of five.
(2) Centers that serve children in half-day programs are not required to schedule napping periods or have napping equipment for such children.
(3) No child shall be forced to stay awake or to stay in the napping area longer than the normal napping period.
(c) A teacher-child ratio of one teacher supervising 24 napping children is permitted provided that the remaining teachers necessary to meet the overall ratio specified in Section 101216.3(a) are immediately available at the center.
(1) An aide who is 18 years of age or older, and who meets the requirements of Sections 101216 and 101216.2, may supervise 24 napping children in place of a teacher if the conditions specified in (c) above are met.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Repealer of section and renumbering of former section 101330 to new section 101230, including amendment of section heading and section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101231. Smoking Prohibition.
Note     •     History

(a) Smoking is prohibited on the premises of a child care center as specified in Health and Safety Code Section 1596.795(b).
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.795, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. New section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 7. Physical Environment
§101237. Alterations to Existing Buildings or New Facilities.
Note     •     History

(a) Prior to construction or alterations, the licensee shall notify the Department of the proposed change(s).
(b) The Department has the authority to require the licensee to obtain a building inspection by a local building inspector if the Department suspects that a hazard to children's health and safety exists.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101238. Buildings and Grounds.
Note     •     History

(a) The child care center shall be clean, safe, sanitary and in good repair at all times to ensure the safety and well-being of children, employees and visitors.
(1) The licensee shall take measures to keep the center free of flies, other insects, and rodents.
(2) The licensee shall safely dispose of water and any disinfectants/solutions that have been used for cleaning.
(b) All children shall be protected against hazards within the center through provision of the following:
(1) Protective devices including but not limited to nonslip material on rugs.
(c) All outdoor and indoor passageways, stairways, inclines, ramps, open porches and other areas of potential hazard shall be kept free of obstruction.
(d) General permanent or portable storage space shall be available for the storage of the center's equipment and supplies.
(1) Such equipment and supplies shall be stored in this space and shall not be stored in space used to meet other requirements specified in this chapter.
(e) All licensees shall ensure the inaccessibility of pools, including swimming pools (in-ground and above-ground), fixed-in-place wading pools, hot tubs, spas, fish ponds or similar bodies of water, through a pool cover or by surrounding the pool with a fence.
(1) Fences shall be at least five feet high and shall be constructed so that the fence does not obscure the pool from view.  The bottom and sides of the fence shall comply with Division 1, Appendix Chapter 4 of the 1994 Uniform Building Code.  In addition to meeting all of the aforementioned requirements for fences, gates shall swing away from the pool, self-close and have a self-latching device located no more than six inches from the top of the gate.  Pool covers shall be strong enough to completely support the weight of an adult and shall be placed on the pool and locked while the pool is not in use.  
(A) If licensed prior to June 1, 1995, child care centers with existing pool fencing shall be exempt from the fence requirements specified in Section 101238(e)(1) until such fence is replaced or structurally altered.  If the licensee replaces or alters the fence, it shall meet the requirements specified in Section 101238(e)(1).
(2) Where an above-ground pool structure is used as the fence or where the fence is mounted on top of the pool structure, the pool shall be made inaccessible when not in use by removing or making the ladder inaccessible or erecting a barricade to prevent access to decking.  If a barricade is used, the barricade shall meet the requirements of Section 101238(e)(1).
(f) All in-ground pools, and all above-ground pools that cannot be emptied after each use shall have an operative pump and filtering system.
(g) Disinfectants, cleaning solutions, poisons and other items that could pose a danger if readily available to children shall be stored where inaccessible to children.
(1) Storage areas for poisons shall be locked.
(2) Firearms and other weapons shall not be allowed on or stored on the premises of a child care center.
(h) Medicines shall be stored as specified in Section 101226(e) and separately from items specified in Section 101238(g) above.
(i) The items specified in Section 101238(g) above shall not be stored in food-storage areas or in storage areas used by or for children.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, and 1596.81, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsections (f)-(f)(2) filed 8-14-96; operative 9-13-96 (Register 96, No. 33).
3. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101238.2. Outdoor Activity Space.
Note     •     History

(a) There shall be at least 75 square feet per child of outdoor activity space based on the total licensed capacity.
(1) The following areas shall not be included in the calculation of outdoor activity space:
(A) Swimming pools and adjacent pool decking.
(B) Natural or man-made hazards such as canals, cliffs, condemned buildings, creeks, lakes, ocean fronts, mines, power lines, quarries, rivers, ravines, swamps, watercourses and areas subject to flooding.
(b) The outdoor activity space shall be situated to:
(1) Provide a shaded rest area for the children.
(2) Permit children to reach the outdoor activity space safely.
(c) Equipment and activity areas shall be arranged so that there is no hazard from conflicting activities.
(d) The surface of the outdoor activity space shall be maintained:
(1) In a safe condition for the activities planned.
(2) Free of hazards including, but not limited to, holes, broken glass and other debris, and dry grasses that pose a fire hazard.
(e) As a condition of licensure, the areas around and under high climbing equipment, swings, slides and other similar equipment shall be cushioned with material that absorbs falls.
(1) Sand, woodchips and peagravel, or rubber mats commercially produced for the purposes of (e) above, are permitted.
(2) The use of cushioning material other than that specified in (e)(1) above shall be approved by the Department prior to installation.
(f) Sandboxes shall be inspected daily and kept free of hazardous foreign materials.
(g) The playground shall be enclosed by a fence to protect children and to keep them in the outdoor activity area. The fence shall be at least four feet high.
(h) Any construction or equipment that could pose a hazard in the outdoor activity area shall be made inaccessible to children in care. This shall include, but not be limited to, incinerators, air-conditioning equipment, water heaters and fuse boxes.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101338.2 to new section 101238.2 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101238.3. Indoor Activity Space.
Note     •     History

(a) There shall be at least 35 square feet of indoor activity space per child based on the total licensed capacity.
(1) Bathrooms, halls, offices, isolation areas, food-preparation areas and storage places shall not be included in the calculation of indoor activity space.
(2) Floor space occupied by shelves, permanent built-in cabinets, space used to meet the requirements of Section 101238.4, and office equipment shall not be included in the calculation of indoor activity space.
(3) Floor area under tables, desks, chairs and other equipment intended for use as part of children's activities shall be included in the calculation of indoor activity space.
(b) The floors of all rooms shall have a surface that is safe and clean.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101338.3 to new section 101238.3 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101238.4. Storage Space.
Note     •     History

(a) The licensee shall ensure that each child has an individual permanent or portable storage space for his/her clothing, personal belongings and/or bedding.
(b) There shall be permanent or portable storage space in the playrooms for play materials and equipment.
(1) The licensee may store outdoor play materials and equipment outdoors.
(c) Napping equipment shall be stored at the center when not in use.
(d) Combustibles, cleaning equipment and cleaning agents shall be stored in an area separate from food supplies in a locked cabinet or in a location inaccessible to children.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101338.4 to new section 101238.4 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101238.5. Wading Pools.
Note     •     History

(a) Notwithstanding the requirements of Section 101238(e), fencing is not required for inflatable or other portable plastic wading pools with sides low enough for children using the pool(s) to step out unassisted.
(1) These pools shall be emptied after each use.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101338.5 to new section 101238.5 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101239. Fixtures, Furniture, Equipment and Supplies.
Note     •     History

(a) A comfortable temperature for children shall be maintained at all times.
(1) The licensee shall maintain the temperature in rooms that children occupy between a minimum of 68 degrees F (20 degrees C) and a maximum of 85 degrees F (30 degrees C).
(A) In areas of extreme heat the maximum shall be 20 degrees F (11.1 degrees C) less than the outside temperature.
(b) All window screens shall be in good repair and free of insects, dirt and debris.
(c) Fireplaces and open-faced heaters shall be made inaccessible to children to ensure children's safety.
(d) The licensee shall provide lamps or lights as necessary in all rooms and other areas to ensure the comfort and safety of all persons in the child care center.
(e) Faucets used by children for personal care shall deliver hot water.
(1) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures used by children to attain a hot water temperature of not less than 105 degrees F (40.5 degrees C) and not more than 120 degrees F (48.8 degrees C).
(2) Taps delivering water at 125 degrees F (51.6 degrees C) or above shall be prominently identified by warning signs.
(3) Notwithstanding (e) and (e)(1) above, handwashing fixtures shall not be required to deliver hot water.
(4) All toilets, handwashing and bathing facilities shall be maintained in safe and sanitary operating condition. Additional equipment, aids and/or conveniences shall be provided as needed in centers that serve children with physical disabilities.
(f) Solid waste shall be stored, located and disposed of in a manner that will not transmit communicable diseases or odors, create a nuisance, or provide a breeding place or food source for insects or rodents.
(1) All containers used for storage of solid wastes, including moveable bins, shall have a tightfitting cover that is kept on; shall be in good repair; and shall be leakproof and rodent-proof.
(2) Solid-waste containers that hold decaying waste, including moveable bins, shall be emptied at least once per week, or more often if necessary to comply with (f) above.
(3) Each movable bin shall provide for suitable access and a drainage device to allow complete cleaning at the storage area.
(g) The licensee shall provide linens of various kinds as necessary to meet the program of services offered by the center and the requirements specified in this chapter.
(h) Based on the total licensed capacity, one toilet and one handwashing fixture shall be maintained for every 15 children or fraction thereof.
(1) Urinals may be used to meet the requirements of this section provided they are low enough for children to reach them, or broad-based platforms or anchored steps are provided to enable children to reach them.
(A) There shall be at least two toilets for each urinal counted.
(B) Centers with toilet-urinal ratios approved prior to December 31, 1983, are not required to meet the ratio in (h)(1)(A) above.
(i) There shall be one toilet and one handwashing fixture, separate from and in addition to the number of toilets and handwashing fixtures required in (h) above, designated for use by children who are ill, for use by staff, and for emergency use. This toilet and handwashing fixture shall be conveniently located in relation to the isolation area.
(1) Child care centers licensed prior to December 31, 1983, and operating continuously since then, are not required to make modifications to meet the requirement in (i) above.
(j) Common towels or washcloths are prohibited.
(k) Tables and chairs shall be provided to meet the needs of the children.
(1) Tables and chairs shall be scaled to the size of the children.
(l) There shall be a cot, couch or bed for each ill child as specified in Section 101226.2.
(m) All play equipment and materials used by children shall be age-appropriate.
(1) The licensee shall provide a variety of age-appropriate equipment, toys and materials in good condition and in sufficient quantity to allow children present to fully participate in planned activities.
(n) Furniture and equipment shall be maintained in good condition, free of sharp, loose or pointed parts.
(1) A baby walker shall not be allowed on the premises of a child care center in accordance with Health and Safety Code Sections 1596.846(b) and (c).
(o) Playground equipment shall be securely anchored to the ground unless it is portable by design.
(1) Equipment shall be maintained in a safe condition, free of sharp, loose or pointed parts.
(p) Furniture and equipment, including cots and mats used for napping, shall be arranged so that no exit is blocked.
(q) All materials and surfaces accessible to children, including toys, shall be free of toxic substances.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.846 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. Editorial correction reinstating inadvertently omitted subsection (h)(1)(A) (Register 2002, No. 39).
§101239.1. Napping Equipment.
Note     •     History

(a) Cots used for napping shall be maintained in a safe condition.
(b) Floor mats used for napping shall be:
(1) Constructed of foam at least 3/4 inch thick.
(2) Covered with vinyl or similar material that can be wiped.
(3) Marked or colored so that the sleeping side can be distinguished from the floor side.
(4) Wiped with a detergent/disinfectant weekly or when soiled or wet.
(5) Maintained in a safe condition with no exposed foam.
(c) Each cot or mat shall be equipped with a sheet to cover the cot or mat and, depending on the weather, a sheet and/or blanket to cover the child.
(1) Bedding shall not be shared by different children without first laundering the bedding.
(2) Bedding shall be individually stored so that each child's bedding is identifiable and no child's used bedding comes into contact with other bedding.
(3) Sheets shall be washed weekly or when soiled or wet.
(4) Blankets shall be cleaned or changed when soiled.
(d) Napping equipment shall be arranged so that each child has access  to a walkway without having to walk on or over the cots or mats of other children.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101339.1 to new section 101239.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101239.2. Drinking Water.
Note     •     History

(a) Drinking water from a noncontaminating fixture or container shall be readily available both indoors and in the outdoor activity area.
(1) Children shall be free to drink as they wish.
(2) Anchored steps or a broad-based platform shall be utilized when a drinking fountain is too high for the children in care.
(3) See Manual of Policies and Procedures.
(4) All water for drinking shall be potable as defined in the California Code of Regulations, Title 24, Part 5.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 101339.2 to new section 101239.2 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Subchapter 1. (Reserved)
Article 1. General Requirements and Definitions
§101251. General.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Editorial correction renumbering and amending former division 6, chapter 2 (subchapters 1 and 2, sections 81000-81187.3, not consecutive) to new division 12, chapter 2 (subchapters 1 and 2, sections 101251-101438, not consecutive) filed 7-1-85; designated effective 7-1-85 (Register 85, No. 27).
2. Change without regulatory effect (Register 86, No. 29).
3. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
4. Repealer of chapter 2 heading, subchapter 1 (articles 1-7), article 1 (sections 101251-101252) and section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101252. Definitions.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.74, 1596.75, 1596.76, 1596.81 and 1596.955, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (a) filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
3. Amendment filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
4. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
5. New subsection t.(1) and amendment of Note filed 8-22-94; operative 9-21-94 (Register 94, No. 34).
6. Amendment of subsection c.(1) filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
7. Renumbering of subsections c.1, d.2, e.1 and q.1 to section 101152 and repealer of remainder of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 2. Licensing
§101260. Posting of License.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Repealer of article 2 (section 101260) and renumbering of former section 101260 to new section 101160 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 3. Application Procedure
§101283. Terms of an Initial or Renewal License.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b), 1596.96 and 1596.97, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Repealer of article 3 (section 101283) and section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 4. Administrative Actions
§101296. Evaluation Visits.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b), 1596.852, 1597.05, 1597.08 and 1597.09, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Repealer of article 4 (section 101296) and section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 5. Enforcement Provisions (Reserved)
Article 6. Continuing Requirements
§101312. Reporting Requirements.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Renumbering of subsections (b)-(c) to portions of section 101212 and repealer of remainder of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101315. Day Care Center Directors, Qualifications and Duties.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.87 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (b) filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
3. Relettering of former subsections (i) and (j) to subsections (l) and (m) and new subsection (i)-(k) filed 6-20-88; operative 7-20-88 (Register 88, No. 26).
4. Renumbering of former section 101315 to new section 101215.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101316.2. Teacher Qualifications and Duties.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.87, 1597.05, 1597.055 and 1597.057, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsections (c)(1)(A), relettering of former subsections (d)-(f) to subsections (g)-(i) and new subsections (d)-(f) filed 6-20-88; operative 7-20-88 (Register 88, No. 26).
3. Renumbering of former subsection (c)(2) to subsection (c)(3) and new subsection (c)(2) filed 12-14-89; operative 1-13-90 (Register 89, No. 52).
4. Renumbering of former section 101316.2 to new section 101216.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101316.3. Teacher Aide Qualifications and Duties.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.87, 1597.05 and 1597.059, Health and Safety Code.
HISTORY

1. New subsections (d)-(d)(3), subsection redesignation and amendment of Note filed 8-22-94; operative 9-21-94 (Register 94, No. 34).
2. Renumbering of former section 101316.3 to new section 101216.2 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101316.5. Teacher-Child Ratio.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1597.05 and 1597.059, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. New subsections (b)(1)-(b)(1)(A)  and amendment of Note filed 8-22-94; operative 9-21-94 (Register 94, No. 34).
4. Renumbering of former section 101316.5 to new section 101216.3 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101316.6. Preschool Program with Toddler Component.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Section 1596.955, Health and Safety Code.
HISTORY

1. New section filed 8-22-94; operative 9-21-94 (Register 94, No. 34).
2. Renumbering of former section 101316.6 to new section 101216.4 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101316.7. Staffing--Parent-Cooperative Centers.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former section 101316.7 to new section 101216.5 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101316.8. Staffing for Water Activities.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.87 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former section 101316.8 to new section 101216.6 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101319. Admission Policies.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former section 101319 to new section 101218 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101319.1. Admission Procedures.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.857 and 1597.05, Health and Safety Code.
HISTORY

1. New subsection (c) filed 1-12-88; operative 2-11-88 (Register 88, No. 4).
2. Renumbering of former section 101319.1 to new section 101218.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101320. Medical Assessments.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of subsections (a)(1)-(c)(2)(C) to portions of section 101220 and repealer of remainder of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101320.1. Immunizations.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former section 101320.1 to new section 101220.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101321. Child's Records.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.857, 1596.876 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (d) and new subsection (e) filed 1-12-88; operative 2-11-88 (Register 88, No. 4).
3. Renumbering of former subsections (b)(1)-(c)(3) and (e) to portions of section 101221 and repealer of remainder of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101323.1. Discipline.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Renumbering of former section 101323.1 to new section 101223.2 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101326. Health Related Services.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (e)(3) filed 8-22-86; effective thirtieth day thereafter (Register 86, No. 34).
3. Renumbering former section 101326 to new section 101226 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101326.1. Daily Inspection for Illness.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Repealer of subsection (c) filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
3. Renumbering of former section 101326.1 to new section 101226.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101326.2. Isolation for Illness.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(2) filed 8-22-86; effective thirtieth day thereafter (Register 86, No. 34).
2. Renumbering of former section 101326.2 to new section 101226.2 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101326.3. Observation of the Child.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former section 101326.3 to new section 101226.3 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101327. Food Service.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former subsections (b)-(c), (e) and (f)(1)-(g)(3) to portions of section 101227 and repealer of remainder of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101329. Responsibility for Providing Care and Supervision.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former subsection 101329(a) to new subsection 101229(a)(1) and repealer of remainder of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101329.1. Sign In and Sign Out.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Repealer of subsection (b) and relettering of subsection (c) to subsection (b) filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Renumbering of former section 101329.1 to new section 101229.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101330. Activities.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Renumbering of former section 101330 to new section 101230 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 7. Physical Environment
§101338.2. Outdoor Activity Space.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, and 1597.05, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(1)(B) filed 8-14-96; operative 9-13-96 (Register 96, No. 33).
2. Repealer of article 7 (sections 101338.2-101339.2) and renumbering of former section 101338.2 to new section 101238.2 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101338.3. Indoor Activity Space.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former section 101338.3 to new section 101238.3 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101338.4. Storage Space.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Renumbering of former section 101338.4 to new section 101238.4 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101338.5. Wading Pools.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering amendment of former section 101338.5 to new section 101238.5 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101339. Fixtures, Furniture, Equipment and Supplies.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former subsections (b)-(k) to portions of section 101239 and repealer of remainder of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101339.1. Napping Equipment.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former section 101339.1 to new section 101239.1 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101339.2. Drinking Water.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering of former section 101339.2 to new section 101239.2 filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Subchapter 2. Infant Care Centers
Article 1. General Requirements and Definitions
§101351. General.
Note     •     History

(a) Child care centers providing group infant care shall be governed by the provisions specified in this subchapter. In addition, such centers, except where specified otherwise, shall be governed by Chapter 1, Child Care Center General Licensing Requirements.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101352. Definitions.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.75, 1596.750, 1596.76 and 1596.956, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. New subsection t.(1) and amendment of Note filed 8-22-94; operative 9-21-94 (Register 94, No. 34).
4. Renumbering of former subsections a.(1) and i.(1)-(3) to portions of section 101152 and repealer of remainder of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101361. Limitations on Capacity and Ambulatory Status.
Note     •     History

(a) It shall be permissible for a child whose developmental needs require continuation in an infant care center to remain in an infant care center up to a maximum age of three years.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
Article 2. Licensing  (Reserved)
Article 3. Application Procedures (Reserved)
Article 4. Enforcement Provisions (Reserved)
Article 5. Administrative Actions (Reserved)
Article 6. Continuing Requirements
§101415. Infant Care Center Director Qualifications and Duties.
Note     •     History

(a) In addition to Section 101215.1, the following shall apply:
(b) The experience requirement specified in Sections 101215.1(h)(1), (2) and (3) shall be completed in an infant care center or a comparable group child care program dealing with children under five years of age.
(c) At least three of the semester or equivalent quarter units required in Sections 101215.1(h)(1)(B), (h)(2) and (h)(3) shall be related to the care of infants.
(d) When the director of an infant care center or the director of a combination center is temporarily away from the center, the director has the authority to delegate his/her responsibilities as specified below:
(1) When an assistant director is required, arrangements shall be made for the assistant director to act as a substitute.
(A) Arrangements shall be made for a fully qualified infant care teacher to act as a substitute for the assistant director.
(2) When an assistant director is not required, arrangements shall be made for a fully qualified infant care teacher to act as a substitute.
(3) If the absence is for more than 30 consecutive calendar days, the substitute director shall meet the qualifications of a director.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.750, 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Editorial correction of subsections (b) and (c) (Register 97, No. 41).
3. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
4. Editorial correction of section heading (Register 2002, No. 39).
§101415.1. Assistant Infant Care Center Director Qualifications and Duties.
Note     •     History

(a) In addition to the director, an assistant director shall be present and on duty if the center has 25 or more infants in attendance.
(b) The assistant infant care center director shall meet the following qualifications:
(1) Be a fully qualified infant care teacher.
(2) Have completed, with passing grades, at least three postsecondary semester or equivalent quarter units in administration or employee relations at an accredited or approved college or university.
(A) The assistant director may complete the three units required in (b)(2) above within one year following initial employment as assistant director.
(B) The assistant director shall work under the direction and supervision of the infant or child care center director.
(C) Under the leadership of the director, the assistant director shall be responsible for the infant care center or the infant care component of a combination center.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. Repealer and new section filed 4-6-87; operative 5-6-87 (Register 87, No. 16). For prior history, see Register 85, No. 27.
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101416.2. Infant Care Teacher Qualifications and Duties.
Note     •     History

(a) Notwithstanding Section 101216.1, the following shall apply:
(b) Prior to employment, an infant care teacher shall have completed, with passing grades, at least three postsecondary semester or equivalent quarter units in early childhood education or child development, and three postsecondary semester or equivalent quarter units related to the care of infants, at an accredited or approved college or university.
(1) After employment, a teacher who has not completed the course work required in (c)(1) below shall complete, with passing grades, at least two units each semester or quarter until the education requirements are met.
(c) To be a fully qualified infant care teacher, a teacher shall have the following:
(1) Completion, with passing grades, of 12 postsecondary semester or equivalent quarter units in early childhood education or child development at an accredited or approved college or university.
(A) At least three of the units required in (c)(1) above shall be related to the care of infants or shall contain instruction specific to infants.
1. Examples of acceptable course work are pediatric nursing and postnatal care.
(2) At least six months of experience in a licensed infant care center or comparable group child care program for children under five years of age.
(A) Experience shall be verified as having been performed satisfactorily, at least three hours per day for a minimum of 50 days in a six-month period, as a paid or volunteer staff member under the supervision of a person who would qualify as a teacher or director under this chapter.
(d) A photocopy of each teacher's transcript(s) documenting successful completion of required course work shall be maintained at the center.
(e) Under the direction and supervision of the director and the assistant director, the infant care teacher shall provide direct care and supervision to infants at the center.
(f) Teachers shall visually observe aides whenever aides are working with infants, except as provided for in Section 101416.5(d)(1).
(g) An infant care teacher shall complete 15 hours of health and safety training if necessary pursuant to Health and Safety Code Section 1596.866 and as specified in Section 101215.1(m)(1).
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101416.3. Infant Care Aide Qualifications and Duties.
Note     •     History

(a) In addition to Section 101216.2, the following shall apply:
(b) An infant care aide shall work under the direct supervision of the director, the assistant director or a fully qualified teacher, except as provided for in Section 101416.5(d)(1).
(c) Aides shall participate in the on-the-job training programs provided by the licensee as specified in Section 101216(e).
(d) An aide shall provide direct care and supervision to infants.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101416.5. Staff-Infant Ratio.
Note     •     History

(a) In addition to Sections 101216.3(c), (e), (g) and (h), and notwithstanding Sections 101216.3(a), (b), (d) and (f), the following shall apply:
(b) There shall be a ratio of one teacher for every four infants in attendance.
(1) An aide may be substituted for a teacher when all of the following conditions are met:
(A) There is a fully qualified teacher directly supervising no more than 12 infants; and
(B) Each aide is responsible for the direct care and supervision of a group of no more than four infants.
(2) When engaged in activities away from the center, there shall be a minimum of one adult to every two infants in attendance.
(A) This ratio may include authorized representatives of infants in care and adult volunteers to supplement the staff-infant ratio.
(c) The director and the assistant director in an infant care center or a combination center may be counted in the staff-infant ratio when actually working with infants.
(d) There shall be one teacher to visually observe every 12 sleeping infants provided the remaining staff necessary to meet the ratios specified in (b) above are immediately available at the center.
(1) An aide who is 18 years of age or older, and who meets the requirements of Sections 101216 and 101216.2(e), may visually observe 12 sleeping infants in place of a teacher if the conditions specified in (d) above are met.
(e) There shall be provision for overlap of staff for different shifts so that continuity of care is assured.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 101416.3 to Section 101416.5 filed -6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101416.8. Staffing for Infant Water Activities.
Note     •     History

(a) In addition to Sections 101216.6(a) and 101416.5(b), and notwithstanding Section 101216.6(b), the following shall apply:
(b) A ratio of one adult to two infants shall be maintained during activities in or near any body of water specified in Sections 101216.6(a)(1) and (3).
(c) A ratio of one staff member to every four infants shall be maintained during activities in or near any container of water that a child can get into and get out of unassisted. This shall include, but not be limited to, wading pools, basins or water trays.
(1) This ratio may include authorized representatives of infants in care and adult volunteers to supplement the staff-infant ratio.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. Editorial correction of subsection (a) (Register 2002, No. 39).
§101417. Toddler Component in an Infant Care Center.
Note     •     History

(a) Licensees serving infants may create a special program component for children between the ages of 18 months and 30 months. The provisions of Sections 101239.2 and 101351 shall apply to infant care centers operating a toddler component, except as specified in Sections 101417(a)(1) through (6).
(1) Child care centers with an existing infant care program wishing to establish a toddler component shall submit an amended application as specified in Section 101169(a)(1)(A) and shall obtain approval from the Department.
(2) Children in a child care center between the ages of 18 months and 30 months may be placed in the toddler program. No child shall be placed in the toddler program before the age of 18 months.
(3) The infant care center shall obtain written permission from the child's authorized representative for the placement of the child in the toddler program.
(4) A ratio of six children to each teacher shall be maintained for all children in attendance in the toddler program. An aide who is participating in on-the-job-training may be substituted for a teacher when directly supervised by a fully qualified teacher.
(5) The maximum group size with two teachers, or one fully qualified teacher and one aide, shall not exceed 12 toddlers.
(6) The toddler program shall be conducted in areas physically separate from those used by older or younger children. Space planning and usage for the toddler component shall be governed by the provisions of Section 101438.3. Plans to alternate use of outdoor play space must be approved by the Department.
(A) Requirements for physical separation between children in the toddler component and older or younger children need not apply when a planned activity is being conducted.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Section 1596.956, Health and Safety Code.
HISTORY

1. New section filed 8-22-94; operative 9-21-94 (Register 94, No. 34).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101419. Admission Policies.
History

HISTORY

1. Repealer filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
§101419.2. Infant Needs and Services Plan.
Note     •     History

(a) Prior to the infant's first day at the center, the infant care center director or assistant director shall complete a needs and services plan for the infant.
(1) Such plan shall be completed with the assistance of the infant's authorized representative at the personal interview specified in Section 101218.1.
(2) The authorized representative shall sign the plan to verify that he/she has participated in preparing it.
(b) The needs and services plan shall be in writing and shall include the following:
(1) The individual feeding plan.
(2) The individual toilet-training plan, if applicable.
(3) Any services needed by the infant that are different from those provided by the center's normal program. Such items shall include but not be limited to:
(A) Any special exercises for infants with physical disabilities.
(4) A plan for subsequent personal interviews with the authorized representative.
(c) The authorized representative shall be provided with a copy of the needs and services plan and any subsequent updates.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Editorial correction of subsection (b) printing error (Register 87, No. 45).
3. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101419.3. Modifications to Infant Needs and Services Plan.
Note     •     History

(a) The written infant needs and services plan shall be updated at least quarterly, or as often as necessary to assure its accuracy.
(1) The director, the assistant director or a teacher shall update the plan with the assistance of the infant's authorized representative.
(2) The authorized representative shall sign the plan to verify that he/she has participated in updating it.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101423.1. Infant Care Discipline.
Note     •     History

(a) In addition to Section 101223.2, the following shall apply:
(b) Confinement to cribs, high chairs, playpens or other similar furniture or equipment shall not be permitted as a form of discipline or punishment.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment of subsection (a) filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101425. Infant Care Transportation.
Note     •     History

(a) In addition to Section 101225, the following shall apply:
(b) Only licensed drivers 18 years old or older shall be permitted to operate any vehicle used to transport infants.
(c) Motor vehicles used to transport infants shall contain a first-aid kit containing at least the supplies specified in Section 101226(d).
(1) When public transportation is used to transport infants, center staff shall have on hand, and available for use, a first-aid kit as specified in (c) above.
(d) When transporting infants in any motor vehicle, the licensee shall secure each infant in a child passenger restraint system, i.e., a car seat designed for an infant. The child passenger restraint system shall be secured in the vehicle in accordance with the manufacturer's instructions.
(1) The manufacturer's instructions shall be maintained in the center for as long as the infant car seat is in use.
(2) Vehicle Code Section 27360(b) requires that children as specified must be secured in a child passenger restraint system.
(e) The staff-infant ratio shall be maintained while transporting infants in motor vehicles.
(1) The required supervision ratios shall be maintained whether the vehicle is moving or parked.
(f) Infants in motor vehicles shall have constant adult supervision and shall not be left unattended under any circumstances.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101426. Health-Related Services.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Repealer filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
§101426.2. Infant Care Isolation for Illness.
Note     •     History

(a) In addition to Section 101226.2, the following shall apply:
(b) The isolation area shall be equipped with a crib, cot, mat or playpen for each ill infant.
(c) Any infant in the isolation area shall be under constant visual observation by a director, an assistant director, a teacher or an aide.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101427. Infant Care Food Service.
Note     •     History

(a) In addition to Section 101227, the following shall apply:
(b) There shall be an individual feeding plan for each infant.
(1) The plan shall be completed and available for use prior to the infant's first day at the center.
(2) The director or the assistant director, and the infant's authorized representative and/or physician, shall develop the plan.
(A) The authorized representative shall sign the plan to verify that he/she has participated in developing and updating it.
(3) The plan shall include the following items:
(A) Instructions from the infant's physician relating to special diet or feeding.
(B) Feeding schedule.
(C) Breast milk or kind of formula.
(D) Schedule for introduction of solid and new foods.
(E) Food consistency.
(F) Food likes and dislikes.
(G) Food allergies.
(H) Schedule for introduction of cups and utensils.
(4) The plan shall be updated as often as the authorized representative wants, or as necessary to reflect changes in any of the areas specified above.
(5) The infant care center director or assistant director shall discuss current feeding theory with the authorized representative. This discussion should cover the dangers of honey.
(c) The infant shall be fed in accordance with the individual plan.
(1) Bottle-fed infants shall be fed at least once every four hours.
(2) The infant care center shall have appropriate food available for the infant.
(A) Where the infant's authorized representative elects to provide food for the infant but forgets to bring it, the center shall provide appropriate food for the infant.
(3) Introduction of solid foods shall be in accordance with the individual plan.
(d) The infant care center shall provide only commercially prepared formulas for infants.
(1) Commercial formulas shall be stored and prepared in accordance with label directions.
(2) The specific brand of formula shall be specified in the feeding plan.
(3) Any change from one formula to another shall be reflected in advance on the feeding plan.
(e) The infant's authorized representative may provide formula or breast/mother's milk.
(1) Such formula or milk shall be bottled before being accepted by the center.
(A) Bottles shall be labeled.
(f) The infant care center may heat formula or breast/mother's milk.
(g) A supply of bottles and nipples shall be maintained at the infant care center. Bottles and nipples used by one infant shall not be shared with or used by another infant unless sterilized.
(h) Infants who are unable to hold a bottle shall be held by a staff person or other adult for bottle feeding. At no time shall a bottle be propped for an infant. An infant shall not be allowed to carry a bottle while ambulatory. A bottle given to an infant able to hold his/her own bottle shall be unbreakable.
(i) High chairs or other appropriate seating equipment shall be used to seat infants during feeding. Infants who are unable to sit unassisted in a high chair or other seating equipment shall be held by a staff person or other adult for feeding.
(j) Bottles, dishes and containers of food brought by the infant's authorized representative shall be labeled with the infant's name and the current date.
(1) Formula in a partially consumed bottle shall be discarded at the end of each day.
(2) Food shall be discarded if not consumed within 72 hours of the date on the container label.
(3) Bottles and dishes provided by the authorized representative shall be rinsed and returned to the authorized representative for sanitizing at the end of each day.
(k) The infant care center shall not serve honey or corn syrup to any infant.
(l) Commercially prepared baby food in jars shall be transferred to a dish before being fed to the infant.
(1) Any food left over in the dish at the end of the meal shall be discarded.
(m) If requested, arrangements for privacy shall be made for any mother who has reached an agreement with the infant care center to nurse her infant in the center.
(n) Bottles and nipples maintained by the infant care center shall be sterilized using any of the following methods after each use:
(1) Boiled for a minimum of five minutes and air-dried; or
(2) Soaked for a minimum of one minute in a sterilizing solution using 1/2 cup of bleach and five gallons of water and air-dried; or
(3) Bottles may be washed and sterilized using a dishwasher.
(o) Infants shall not be bathed in, and diapers or clothing shall not be rinsed in, the food-preparation area.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Amendment filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101428. Infant Care Personal Services.
Note     •     History

(a) There shall be a written toilet-training plan for infants being toilet trained.
(1) The infant's authorized representative and the director or the assistant director shall develop the plan.
(2) The plan shall include the following:
(A) Methods of toilet training;
(B) Introduction and use of appropriate training equipment; and
(C) Introduction and use of appropriate clothing.
(3) Infants who are being toilet trained shall not be required to wear diapers unless specifically indicated in the plan.
(4) The center shall follow the plan in toilet training the infant.
(5) Center staff shall have ready access to the toilet-training plan for infants in their care.
(b) The infant shall be kept clean and dry at all times.
(1) The infant care center shall ensure that the infant has sufficient changes of clothing and diapers so that his/her clothing and diapers can be clean and dry at all times.
(2) Each infant's clothing and diapers shall be changed as often as necessary to ensure that the infant is clean and dry at all times.
(c) Soiled or wet clothing or cloth diapers provided by the infant's authorized representative shall be placed in an airtight container and returned to the authorized representative at the end of each day.
(1) The airtight container shall prevent the escape of fluids and odors and be portable enough to give to the authorized representative.
(d) When changing an infant's diapers, the following shall apply:
(1) Each infant shall be diapered on a changing table.
(A) No infant shall be left unattended while on a changing table.
(2) Infants may be diapered on a changing pad placed on the floor that meets the requirements of Section 101439(h).
(3) Soiled disposable diapers shall either be disposed of as recommended on the packaging or placed in an airtight container for daily disposal outside of the center.
(A) Containers shall be sanitized daily.
(4) Soiled cloth diapers shall be placed in an airtight container.
(5) Diapers provided by the center, when soiled, shall be rinsed, washed and sanitized on a daily basis. If a diaper service is utilized, the diapers shall be placed in the diaper service company container, as instructed, for pickup by the diaper service.
(6) Towels and washcloths used for cleaning infants shall not be shared with other infants or staff and shall be washed after each use.
(7) The changing table and changing pads shall be disinfected after each use even when disposal covers are used.
(A) Infant changing tables may be  covered with disposable paper towels or a similar covering that shall be discarded after each diaper change.
(B) The floor space used for diaper changing, if soiled, shall be disinfected after each use.
(e) Whenever a potty chair is used, the following requirements shall be met:
(1) The potty chair shall be placed on the floor and used in accordance with the manufacturer's instructions.
(2) After each use, the potty chair shall be promptly emptied into a flushing toilet, and all surfaces shall be thoroughly cleaned and disinfected.
(3) No infant shall be left unattended while on a potty chair or seat.
(f) As part of toilet training, each infant shall receive instruction and assistance in handwashing after use of the toilet.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Amendment filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101429. Responsibility for Providing Care and Supervision for Infants.
Note     •     History

(a) In addition to Section 101229, the following shall apply:
(1) Each infant shall be constantly supervised and under direct visual observation and supervision by a staff person at all times. Under no circumstances shall ANY infant be left unattended.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101430. Infant Care Activities.
Note     •     History

(a) Notwithstanding Section 101230, the following shall apply:
(1) The infant care center shall develop, maintain and implement a written plan to ensure the provision of  indoor and outdoor activities designed to meet the needs of infants, including but not limited to:
(A) Quiet and active play.
(B) Rest and relaxation.
(C) Eating.
(D) Toileting.
(E) Individual attention.
(F) Being held by caregiver.
(2) The center shall ensure the participation of infants in the above activities.
(3) All infants shall be given the opportunity to nap/sleep without distraction or disturbance from other activities at the center whenever the infant desires.
(A) No infant shall be forced to sleep, to stay awake or to stay in the napping area.
1. The center is not prohibited from scheduling nap times for infants over 12 months old.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. Editorial correction of Note (Register 2002, No. 39).
Article 7. Physical Environment
§101438.1. Infant Care General Sanitation.
Note     •     History

(a) All items used by pets and animals shall be kept out of the reach of infants.
(b) Each caregiver shall wash his/her hands with soap and water before each feeding and after each diaper change.
(1) Only dispenser soap, such as liquid or powder in an appropriate dispenser, shall be used.
(2) Only disposable paper towels in an appropriate holder or dispenser shall be used for hand drying.
(c) Washing, cleaning and sanitizing requirements for areas used by staff with infants, or for areas that infants have access to, are as follows:
(1) Floors, except those carpeted, shall be vacuumed or swept and mopped with a disinfecting solution at least daily, or more often if necessary.
(2) Carpeted floors and large throw rugs that cannot be washed shall be vacuumed at least daily and cleaned at least every six months, or more often if necessary.
(A) Small rugs that can be washed shall be shaken or vacuumed at least daily and washed at least weekly, or more often if necessary.
Commercial-type cleaning machines commonly available through rental stores, grocery stores, etc., may be used to clean carpets and large rugs. A professional cleaning service may also be hired.
(3) Walls and portable partitions shall be washed with a disinfecting solution at least weekly, or more often if necessary.
(4) The diaper-changing area, where residue is splashed from soiled diapers and items and surfaces are touched by staff during the diaper-changing process, shall be washed and disinfected after each diaper change. Such areas, items and surfaces shall include but not be limited to:
(A) Walls and floors surrounding the immediate diaper-changing area.
(B) Dispensers for talc, lotion, soap and paper towels.
(C) Countertops, sinks, drawers and cabinets.
(5) Sinks used to wash infants, or to rinse soiled clothing or diapers, shall be disinfected after each use.
(d) Objects used by infants that are mouthed shall be washed and disinfected at least daily, or more often if necessary. Such objects shall include, but not be limited to, toys and blankets.
(e) Linens laundered by the center shall be washed and sanitized at least daily, or more often if necessary. Such linens shall include, but not be limited to, bedding, towels and washcloths used on or by infants.
(f) A disinfecting solution, which shall be used after surfaces and objects have been cleaned with a detergent or other cleaner, shall be freshly prepared each day using 1/4 cup of bleach per gallon of water. Commercial disinfecting solutions, including one-step cleaning/disinfecting solutions, may be used in accordance with label directions.
(g) All disinfectants, cleaning solutions and other hazardous materials shall be removed immediately and stored as specified in Section 101238.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Amendment filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101438.2. Outdoor Activity Space for Infants.
Note     •     History

(a) In addition to Section 101238.2, the following shall apply:
(b) Outdoor activity space shall be physically separate from space used by children in the child care center and school-age child care center components.
(c) Placement of playpens shall not create hazards to other infants or adults in the play area.
(d) The outdoor activity space shall be equipped with a variety of age-appropriate toys and equipment.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
3. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101438.3. Indoor Activity Space for Infants.
Note     •     History

(a) In addition to Section 101238.3, the following shall apply:
(b) Indoor activity space for infants shall be physically separate from space used by children in the child care center and school-age child care center components.
(1) The center may use moveable walls or partitions to separate the above groups in the same room provided that each group has the total amount of square footage in indoor activity space required by this chapter.
(2) Moveable walls or partitions, if used, shall be at least four feet high; shall be constructed of sound-absorbing material; and shall be designed to minimize the risk of injury to infants.
(c) The calculation of indoor activity space for infants shall not include space designated and used for cribs.
(1) The sleeping area for infants shall be physically separate from the indoor activity space. This separation shall be accomplished as specified in (b) above.
(d) The various child care center components in a combination center may share office space, food-preparation space, storage space and any other general-purpose space.
(e) The indoor activity space shall be equipped with a variety of age-appropriate washable toys and equipment.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. Amendment filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101439. Infant Care Center Fixtures, Furniture, Equipment and Supplies.
Note     •     History

(a) In addition to Section 101239, and notwithstanding Section 101239(h), the following shall apply:
(b) The infant care center shall be equipped with appropriate furniture and equipment including, but not limited to, cribs, cots or mats; changing tables; and feeding chairs.
(c) The type, height and size of furniture and equipment shall be age appropriate.
(d) Swings, playpens and all such equipment and furniture shall be assembled or installed according to the manufacturer's instructions, and shall be maintained in good repair and safe condition.
(1) Equipment that is purchased already assembled shall not be modified.
(2) A baby walker shall not be allowed on the premises of a child care center in accordance with Health and Safety Code Section 1596.846.
(e) High chairs or low-wheeled feeding tables and any such equipment used for seating an infant shall have broad-base legs.
(1) Seats and backrests shall be made of washable and moisture-resistant material.
(2) An infant shall not be permitted to pull on or climb on or into a high chair.
(3) Whenever an infant is in a high chair, the tray shall be properly latched on both sides.
(4) An infant shall not be permitted to stand up in a high chair.
(5) No infant shall be left unattended while in a high chair.
(f) All such equipment or furniture shall be washed with a detergent/disinfectant after each use as specified in Section 101438.1.
(g) Furniture shall be maintained in good repair and safe condition.
(h) Infant changing tables shall:
(1) Have a padded surface no less than one-inch thick and be covered with washable vinyl or plastic.
(2) Have raised sides at least three inches high.
(3) Be maintained in good repair and safe condition.
(4) While in use, be placed within arm's reach of a sink.
(5) Not be located in the kitchen/food-preparation area.
(i) There shall be a minimum of one handwashing sink to every 15 infants and one potty chair to every five infants being toilet trained.
(1) If sufficient potty chairs are not available for the number of infants being toilet trained, a combination of potty chairs and toilets with training seats may be used to meet the ratio specified in (i) above.
(2) Infants shall not be permitted to play with potty chairs.
(j) Toilets and potty chairs and handwashing sinks for infants shall be in close proximity to indoor and outdoor activity space.
(k) Toy storage containers shall meet the following requirements:
(1) Lids and the hardware used to hinge lids on boxes or chests shall be removed.
(2) All edges and corners shall be rounded and padded.
(3) The container shall be well ventilated.
(4) The container shall not be lockable.
(5) The container shall be maintained in good repair and safe condition.
(A) Metal toy boxes shall not have rough or sharp edges, and wooden toy boxes shall not have splinters and other rough areas.
(l) Toys shall be safe, and shall not have sharp points or edges or splinters, or be made of small parts that can be pulled off and swallowed.
(1) The combination of toys shall provide and encourage:
(A) Auditory stimulation.
(B) Visual stimulation.
(C) Tactile stimulation.
(D) Manipulative skills.
(2) Pacifiers shall have a shield or guard large enough so that infants cannot choke on them.
(3) Rattles shall be large enough so that they cannot become lodged in an infant's throat and constructed so that they will not separate into small pieces.
(m) Fixtures, furniture, equipment, supplies and toys shall not be made of or contain toxic materials or substances.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. Editorial correction of subsection (m) (Register 2002, No. 39).
§101439.1. Infant Care Center Napping Equipment.
Note     •     History

(a) In addition to Section 101239.1, the following shall apply:
(b) A standard size six-year crib or porta-crib meeting the following requirements shall be provided for each infant who is unable to climb out of a crib:
(1) Stacking wall cribs or cribs stacked one on top of another, often referred to as tiered cribs, shall not be permitted.
(2) Cribs shall not limit the ability of staff to see the infant.
(3) Cribs shall not limit the infant's ability to stand upright.
(4) Crib mattresses shall be:
(A) Covered with vinyl or similar moisture-resistant material.
(B) Wiped with a detergent/disinfectant daily and when soiled or wet.
(C) Maintained in a safe condition with no exposed foam, batting or coils.
(5) Cribs equipped with bumper pads shall be covered with vinyl or similar moisture-resistant material. Each crib shall have a sheet to cover the mattress and, depending on the temperature, a sheet and/or blanket to cover the infant.
(A) If bumper pads are used, they shall be installed around the entire inner portion of the crib and tied or snapped into place in at least six places.
(B) The mattress shall be set at its lowest position and the side rail shall be locked in its highest position.
(C) Cribs shall have spaces between crib slats of no more than 2 3/8 inches.
(c) Floor mats or cots that meet the requirements of Section 101239.1(b) shall be provided for all infants who have the ability to climb out of a crib.
(d) Each crib, mat or cot shall be occupied by only one infant at a time.
(e) Each infant's bedding shall be used for him/her only. Such bedding shall be replaced when wet or soiled, or when the crib, mat or cot is to be occupied by another infant.
(1) Bedding shall be changed daily, or more often if required by (e) above.
(A) Soiled bedding shall be placed in a suitable container and made inaccessible to infants until washed or picked up by a commercial laundering service.
(f) Cribs, mats or cots shall be arranged so as to provide a walkway and work space between the cribs, mats or cots sufficient to permit staff to reach each infant without having to step over or reach over any other infant.
(1) Placement of cribs, mats or cots shall not hinder entrance or exit to and from the napping space.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 4-6-87; operative 5-6-87 (Register 87, No. 16).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Subchapter 3. School-Age Child Care Center
Article 1. General Requirements and Definitions
§101451. General.
Note     •     History

(a) School-age child care centers providing group care to children shall be governed by the provisions specified in this subchapter. In addition, such centers, except where specified otherwise, shall be governed by Chapter 1, Child Care Center General Licensing Requirements.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment of subchapter 3 heading and section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
3. Editorial correction (Register 2002, No. 39).
§101452. Definitions.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Renumbering of former subsections a.(1)-(2) to portions of section 101152 and repealer of remainder of section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 2. Licensing (Reserved)
Article 3. Application Procedures
§101471. School-Age Child Care Center Fire Clearance.
Note     •     History

(a) In addition to Section 101171, the following shall apply:
(b) School-age child care centers located on a functioning schoolsite may submit verification of the school fire inspection from the city or county fire department, the district providing fire protection services, or the State Fire Marshal. The school fire inspection shall be accepted as sufficient fire clearance for licensing purposes.
(1) The school fire inspection shall not be accepted if any fire safety deficiencies are indicated.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.95 and 1597.21, Health and Safety Code.
HISTORY

1. New section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101482. Issuance of a School-Age Child Care Center License.
Note     •     History

(a) The Department shall issue a license to an applicant in accordance with the provisions of Health and Safety Code Section 1597.21, which apply only to school-age child care centers, after a completed application has been submitted and upon determination that all licensing requirements have been met.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.95 and 1597.21, Health and Safety Code.
HISTORY

1. New section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Article 4. Administrative Actions (Reserved)
Article 5. Enforcement Provisions (Reserved)
Article 6. Continuing Requirements
§101515. School-Age Child Care Center Director Qualifications and Duties.
Note     •     History

(a) In addition to Section 101215.1, the following shall apply:
(b) All school-age child care centers shall have a director.
(1) In a combination program that has a school-age child care center component, the director of the child care center component shall maintain ultimate responsibility, in the capacity as director, for the combined program; a separate director for the school-age child care center component is not required.
(A) In a combination program, the director shall designate a fully qualified teacher as specified in Section 101516.2 for the school-age child care center component.
(B) The director of the child care center component within the combination program shall maintain administrative responsibility for the overall program and shall provide direct supervision and guidance to the school-age child care center component.
(c) As an alternative educational prerequisite, any school-age director may substitute six of the units in early childhood education or child development required in Section 101215.1(h)(1)(B) with six units appropriate to elementary school-age children, on a unit-per-unit basis, in any one or a combination of the following:
(1) Recreation, which includes, but is not limited to, art, music and dance relevant to elementary school-age children.
(2) Physical education, which includes, but is not limited to, indoor and outdoor sports activities relevant to elementary school-age children.
(3) Units earned toward an elementary teaching credential.
(d) As an alternative educational prerequisite, the director of a school-age child care center that stands alone may, pursuant to Health and Safety Code Section 1597.21, substitute 20 training hours for each of the required units of education in Section 101215.1(h)(1). (This alternative shall not apply to a director of a combination program that includes a component for school-age children.) Units and training hours may be combined to meet the total educational requirement (15 units or 300 training hours, or any combination thereof).
(1) Health and Safety Code Section 1597.21(b) contains the alternative educational requirements that a director as specified in (d) above may meet.
(2) A director as specified in (d) above may also qualify by possessing any associate of arts or bachelor's degree from an accredited or approved college or university provided at least three units or 60 training hours are in early childhood education, child development or school-age child courses; and three units or 60 training hours are in administration or staff relations.
(3) In accordance with Health and Safety Code Section 1597.21(f), a director as specified in (d) above may use alternative approved sources of education.
(e) Verification of education allowed by Health and Safety Code Section 1597.21 shall be by transcript or certificate (with hours completed shown on the certificate). To verify course or training program approval, a certification on accredited educational institution letterhead that the course or training program has been approved shall accompany the completion certificate. This certification is only necessary for courses or training programs not offered by an accredited educational institution but approved by such an institution.
(f) A director as specified in (d) above may also complete alternative types of experience pursuant to Health and Safety Code Section 1597.21. Such experience shall be verified as having been performed at least three hours per day for a minimum of 100 days in a calendar year.
(1) Health and Safety Code Section 1597.21(e) contains the alternative types of experience that a director as specified in (d) above may complete.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.81, 1596.95, 1597.055 and 1597.21, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment of section heading, section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101516.2. School-Age Child Care Center Teacher Qualifications and Duties.
Note     •     History

(a) In addition to Section 101216.1, the following shall apply:
(b) As an alternative educational prerequisite, a school-age child care teacher may, pursuant to Health and Safety Code Section 1597.21, substitute 20 training hours for each of the required units of education in Section 101216.1. Units and training hours may be combined to meet the total educational requirement (12 units or 240 training hours, or any combination thereof).
(1) Health and Safety Code Section 1597.21(d) contains the alternative educational requirements that a teacher may meet.
(2) In accordance with Health and Safety Code Section 1597.21(f), a teacher may use alternative approved sources of education.
(c) Verification of education allowed by Health and Safety Code Section 1597.21 shall be by transcript or certificate (with hours completed shown on the certificate). To verify course or training program approval, a certification on accredited educational institution letterhead that the course or training program has been approved shall accompany the completion certificate. This certification is only necessary for courses or training programs not offered by an accredited educational institution but approved by such an institution.
(d) A school-age child care center teacher may also complete alternative types of experience pursuant to Health and Safety Code Section 1597.21. To be a fully qualified school-age teacher, such experience shall be verified as having been performed at least three hours per day for a minimum of 50 days in a six-month period.
(1) Health and Safety Code Section 1597.21(e) specifies the alternative types of experience that a teacher may complete.
(e) In a combination program, a fully qualified teacher as specified in Section 101216.1 shall be designated to work closely with the director in planning the daily activities of the school-age child care center component.
(1) The designated teacher shall maintain responsibility for the overall operation of the school-age child care center component under the direction and supervision of the director of the child care center component.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.81, 1597.055 and 1597.21, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment of section heading, section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101516.5. Teacher-Child Ratio.
Note     •     History

(a) In addition to Sections 101216.3(c), (e), (g) and (h), and notwithstanding Sections 101216.3(a), (b), (d) and (f), the following shall apply:
(b) There shall be a staffing ratio of one teacher and one aide present to every 28 children in attendance.
(1) A teacher shall supervise no more than 14 children or with an aide a maximum of 28 children.
(c) Staffing requirements for mixed-age groups shall be determined based on the age of the youngest child in the group.
(d) The director may be counted in the ratio when actually working with a group of children.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.81, 1596.869 and 1597.055, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment of section and Note filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101520. Medical Assessments.
Note     •     History

(a) Notwithstanding Section 101220, the following shall apply:
(b) The licensee is not required to document medical assessments on school-age children who are enrolled in a public or private school.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101520.1. Immunizations.
Note     •     History

(a) Notwithstanding Section 101220.1, the following shall apply:
(b) The licensee is not required to document immunizations of  children also enrolled in a public or private elementary school.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101521. Child's Records.
Note     •     History

(a) In addition to Section 101221 (except (b)(8)), the following shall apply:
(b) The licensee shall obtain from the child's authorized representative a health background related to the child's ability/inability to participate in center activities.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101526.1. Daily Inspection for Illness.
Note     •     History

(a) In addition to Section 101226.1, the following shall apply:
(b) Upon arrival at or admittance to the center, school-age children shall be observed for signs of illness.
(1) If a child is found to be ill, the procedure(s) specified in Section 101226(a), (b) or (c), or in Section 101226.2, shall be followed.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101527. Food Service.
Note     •     History

(a) In addition to Section 101227, the following shall apply:
(b) Center programs providing before- and/or after-school care shall make available and offer nutritious snacks to children.
NOTE

Authority cited: Section 156.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101529.1. Sign In and Sign Out.
Note     •     History

(a) In addition to Section 101229.1, the following shall apply:
(b) Center staff shall sign in a school-age child who arrives at the center on his/her own.
(c) Center staff shall sign out a school-age child whose authorized representative has agreed in writing to allow the child to leave the center on his/her own.
(1) The director and the child's authorized representative shall sign and date the agreement allowing the child to leave the center on his/her own.
(2) The signed agreement shall be filed in the child's record.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1597.05, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101538.2. Outdoor Activity Space for School-Age Children.
Note     •     History

(a) In addition to Section 101238.2, the following shall apply:
(b) In combination programs, outdoor activity space provided for school-age child care center children shall be physically separated from space provided for other child care center children.
(1) Physical separation between school-age and other child care center children shall not apply when a planned activity is being conducted.
(c) School-age child care programs that meet the requirements of Health and Safety Code Section 1596.806 are exempt from square-footage requirements for outdoor activity space.
(1) Health and Safety Code Sections 1596.806(b), (b)(1) and (d) pertain to the exemption from square-footage requirements for outdoor activity space for school-age child care programs that meet the requirements of Health and Safety Code Section 1596.806.
(d) The exemption from square-footage requirements for outdoor activity space is only valid if the entire program is operated in accordance with Health and Safety Code Section 1596.806.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.806 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment of section heading and section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101538.3. Indoor Activity Space for School-Age Children.
Note     •     History

(a) In addition to Section 101238.3, the following shall apply:
(b) In combination programs, indoor activity space provided for school-age child care center children shall be physically separate from space provided for infant care and child care center children.
(1) Moveable walls or partitions, if used, shall be at least four feet high and shall be safe for use around children.
(2) Physical separation between school-age and other child care center children shall not apply when a planned activity is being conducted.
(c) School-age child care programs that meet the requirements of Health and Safety Code Section 1596.806 are exempt from square-footage requirements for indoor activity space.
(1) Health and Safety Code Sections 1596.806(a), (a)(1), (a)(2) and (d) pertain to the exemption from square-footage requirements for indoor activity space for school-age child care programs that meet the requirements of Health and Safety Code Section 1596.806.
(d) The capacity per room for a school-age child care program that meets the requirements of Health and Safety Code Section 1596.806 shall not exceed the number of children for which a room of this size is commonly approved for school use during the school day.
(e) The exemption from square-footage requirements for indoor activity space is only valid if the entire program is operated in accordance with Health and Safety Code Section 1596.806. 
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.806 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment of section heading and section filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
§101539. Fixtures, Furniture, Equipment and Supplies.
Note     •     History

(a) In addition to Section 101239, the following shall apply:
(b) Toilets used by school-age children shall provide individual privacy.
(1) Toilet facilities shall not be used simultaneously by children of both sexes.
(c) School-age child care programs that meet the requirements of Health and Safety Code Section 1596.806 are exempt from toilet requirements.
(1) Health and Safety Code Sections 1596.806(a), (a)(1), (a)(2), (b), (b)(1) and (d) pertain to the exemption from toilet requirements for school-age child care programs that meet the requirements of Health and Safety Code Section 1596.806.
(d) The exemption from toilet requirements is only valid if the entire program is operated in accordance with Health and Safety Code Section 1596.806.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.806 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 2-5-88; operative 3-6-88 (Register 88, No. 8).
2. Amendment filed 9-14-98; operative 11-1-98 (Register 98, No. 38).
Subchapter 4. Child Care Center for Mildly Ill Children
Article 1. General Requirements and Definitions
§101551. General.
Note     •     History

(a) Child care centers providing care to mildly ill children shall be governed by the provisions specified in this subchapter. In addition, such centers, except where specified otherwise, shall be governed by Chapter 1, Child Care Center General Licensing Requirements; Subchapter 2, Infant Care Centers; and Subchapter 3, School-Age Child Day Care Centers.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New subchapter 4, article 1 and section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending subchapter 4 heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101552. Child Care Center for Mildly Ill Children--Definitions.
Note     •     History

In addition to Section 101152, the following shall apply:
(a) (Reserved)
(b) (Reserved)
(c) (Reserved)
(d)(1) “Child Care Center for Mildly Ill Children” means any child care center or part of a child care center of any capacity where less than 24-hour per-day nonmedical care and supervision are provided to mildly ill children in a group setting.
(e) (Reserved)
(f) (Reserved)
(g) (Reserved)
(h)(1) “Health Professional” means a physician licensed by the State of California, or a person licensed by the State of California to perform medical procedures prescribed by a physician. This shall include, but not be limited to, physician's assistants, registered nurses and licensed vocational nurses.
(i) (Reserved)
(j) (Reserved)
(k) (Reserved)
(l)(1) “Level I Child Care Center for Mildly Ill Children” means a child care center that provides care to mildly ill children and meets the following criteria:
(A) The program is a component of a licensed child care center that serves well children and only accepts mildly ill children who normally attend the center's component(s) for well children.
(B) The “qualified staff person” is a director as specified in Sections 101615(a) and (b), or a teacher as specified in Section 101616.2(b).
(C) The center may accept children with conditions/symptoms/illnesses as specified in Section 101626.1(e) if a health clearance is obtained as specified in Section 101626.1(f).
(D) The center does not serve children with conditions/symptoms/illnesses as specified in Sections 101626.1(g) and (h), including but not limited to:
1. Diarrhea due to confirmed shigella, salmonella or giardia.
2. Contagious stages of chicken pox, measles and mumps.
(2) “Level II Child Care Center for Mildly Ill Children” means a child care center that provides care to mildly ill children and meets the following criteria:
(A) The program may be licensed as either of the following:
1. A free-standing center that provides care only to mildly ill children.
2. A component of a licensed child care center that serves well children and may accept children who do not normally attend the center's component(s) for well children.
(B) The “qualified staff person” is a licensed health professional.
(C) The center may accept children with conditions/symptoms/illnesses as specified in Section 101626.1(e) if a health clearance is obtained as specified in Section 101626.1(f).
(D) The center may not accept children with the following conditions/symptoms/illnesses except as specified:
1. Diarrhea due to confirmed shigella, salmonella or giardia except as specified in Section 101626.1(i).
2. Contagious stages of chicken pox or mumps except as specified in Section 101626.1(j).
(E) The center does not serve children with conditions/symptoms/illnesses as specified in Section 101626.1(h).
(m)(1) “Mildly Ill Child” means any child who is prohibited from participating in a child care center as defined in Section 101152 due to discomfort, injury or symptoms of illness.
(A) A mildly ill child shall include but not be limited to:
1. A child who would otherwise be cared for and supervised by his/her authorized representative or a person without a medical background.
2. A child who is recovering from an illness such as a cold or the flu, or who needs nonmedical postoperative convalescent care.
(n) (Reserved)
(o) (Reserved)
(p) (Reserved)
(q)(1) “Qualified Staff Person” in a Level I child care center for mildly ill children means a director as specified in Sections 101615(a) and (b), or a teacher as specified in Sections 101616.2(a) and (b).
(2) “Qualified Staff Person” in a Level II child care center for mildly ill children means a licensed health professional.
(r) (Reserved)
(s) (Reserved)
(t) (Reserved)
(u) (Reserved)
(v) (Reserved)
(w) (Reserved)
(x) (Reserved)
(y) (Reserved)
(z) (Reserved)
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.74, 1596.75, 1596.750, 1596.76 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending subsections (d), (l)(1)-(m)(A)1. and (q)(1)-(2) filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
3. Editorial correction of section and History 2 (Register 2002, No. 39).
Article 2. Licensing
§101561. Child Care Center for Mildly Ill Children--Limitations on Capacity and Ambulatory Status.
Note     •     History

(a) In addition to Section 101161, the following shall apply:
(b) In a combination child care center with a Level I or Level II component for mildly ill children, facilities and rooms designated for, and used by, mildly ill children shall not be used by children or staff from any other child care center component except as specified in Section 101561(b)(1).
(1) When mildly ill children are not being cared for in the Level I or Level II component, staff and children from another child care center component may use facilities and rooms designated for, and used by, the Level I or Level II component if a qualified staff person approves and sanitation procedures as specified in Section 101638.1 are followed as determined to be necessary by the qualified staff person.
(c) To prevent the spread of illnesses in a combination center with a Level I or Level II component, mildly ill children who begin their day in the Level I or Level II component shall not transfer into any other child care center component for that day unless a qualified staff person approves and the criteria specified in Section 101626.1 are met.
(1) When a child is moved from a Level I or Level II component to another child care center component, the licensee shall document the move in the child's record.
(d) Staff who begin their day in the Level I or Level II component shall not transfer into any other child care center component for that day unless a qualified staff person approves and sanitation procedures as specified in Section 101638.1(d) are followed.
(1) The licensee shall document in the staff file when staff members must follow sanitation procedures as specified in Section 101638.1(d) to prevent the spread of illnesses.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81(b), Health and Safety Code.
HISTORY

1. New article 2 and section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
Article 3. Application Procedures
§101582. Child Care Center for Mildly Ill Children--Issuance of a License.
Note     •     History

(a) In addition to Section 101182, the following shall apply:
(b) Child care centers for mildly ill children shall be issued a separate license.
(1) This requirement shall apply even when a child care center for mildly ill children is a Level I or Level II component of a licensed combination child care center.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81 and 1596.95, Health and Safety Code.
HISTORY

1. New article 3 and section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
Article 4. Administrative Actions (Reserved)
Article 5. Enforcement Provisions (Reserved)
Article 6. Continuing Requirements
§101615. Child Care Center for Mildly Ill Children--Director Qualifications and Duties.
Note     •     History

(a) In addition to Sections 101215, 101215.1, 101216, 101415 and 101515, the following shall apply:
(b) The director of a Level I or Level II child care center for mildly ill children shall, prior to employment, meet the requirements of Section 101615(b)(1) OR (2).
(1) Complete three postsecondary semester or equivalent quarter units in the identification, transmission, control and care of common childhood illnesses and communicable diseases at an approved or accredited college or university; and, as specified in Health and Safety Code Section 1596.866, complete at least 15 hours of health and safety training, including pediatric cardiopulmonary resuscitation and pediatric first aid.
(A) Notwithstanding Health and Safety Code Section 1596.866(a), the director shall complete 15 hours of health and safety training.
(2) Notwithstanding Sections 101215.1(h) and (l), physicians, physician's assistants, registered nurses and licensed vocational nurses who wish to qualify as a director in a Level I or Level II child care center for mildly ill children shall possess a current and active license issued by the appropriate State of California licensing board; and shall:
(A) Complete at least six postsecondary semester or equivalent quarter units in early childhood education or child development at an approved or accredited college or university.
1. This requirement shall not apply provided a fully qualified teacher as specified in Sections 101616.2(a) and (c) is on the premises of the center at all times.
(B) Possess at a minimum one year of experience in pediatric health care obtained within the last five years.
(c) Verification of licensure required in Section 101615(b)(2) shall be included in an employee's personnel file and shall consist of the following:
(1) A photocopy of the license; and
(2) Documentation of written or verbal contact with the appropriate State of California licensing board to verify licensure status.
(d) Original certified copies of transcripts verifying the completion of units required in Sections 101615(b)(1) and (2) shall be filed in an employee's personnel file.
(e) In a combination child care center with a Level I or Level II component for mildly ill children, a separate director is not required for the Level I or Level II component.
(1) The director of the combination center shall designate a fully qualified teacher as specified in Sections 101616.2(a) and (c) for the Level I or Level II component.
(2) The director of the combination center shall maintain ultimate responsibility for the Level I or Level II component and shall provide guidance and supervision to the fully qualified teacher designated for the Level I or Level II component.
(f) Notwithstanding Section 101215.1(f), the following shall apply:
(1) When the director of a child care center for mildly ill children is absent, a fully qualified teacher as specified in Sections 101616.2(a) and (c) shall act as a substitute for the director.
(g) The director of a child care center for mildly ill children shall develop and implement a written training plan for the center's staff and volunteers.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New articles 4-6 and section filed  7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101616.2. Child Care Center for Mildly Ill Children--Teacher Qualifications and Duties.
Note     •     History

(a) In addition to Sections 101216, 101216.1, 101416.2 and 101516.2, the following shall apply:
(b) Notwithstanding Section 101216.1(b), prior to employment a teacher shall complete three postsecondary semester or equivalent quarter units in the identification, transmission, control and care of common childhood illnesses and communicable diseases; and shall complete three postsecondary semester or equivalent quarter units in early childhood education or child development. These units shall be completed at an approved or accredited college or university.
(1) After employment, a teacher hired under Section 101616.2(b) shall complete at least three units each semester or quarter until a total of 12 postsecondary semester or equivalent quarter units in early childhood education or child development is completed as specified in Section 101216.1(c).
(c) To be a fully qualified teacher in a child care center for mildly ill children, a fully qualified teacher as specified in Section 101216.1(c) shall complete three postsecondary semester or equivalent quarter units in the identification, transmission, control and care of common childhood illnesses and communicable diseases at an approved or accredited college or university; and, as specified in Health and Safety Code Section 1596.866, shall complete at least 15 hours of health and safety training, including pediatric cardiopulmonary resuscitation and pediatric first aid.
(1) Notwithstanding Health and Safety Code Section 1596.866(a), each fully qualified teacher shall complete 15 hours of health and safety training.
(d) Original certified copies of transcripts verifying the completion of the required units shall be filed in each teacher's personnel file.
(e) In a combination center with a Level I or Level II component for mildly ill children, a fully qualified teacher as specified in Sections 101616.2(a) and (c) shall work closely with the director in planning the daily activities of the Level I or Level II component.
(1) Under the guidance and supervision of the director, the fully qualified teacher as specified in Section 101616.2(e) shall be responsible for the overall operation of the Level I or Level II component.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72 and 1596.73, Health and Safety Code.
HISTORY

1. New section filed  7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101616.3. Child Care Center for Mildly Ill Children--Personnel Requirements.
Note     •     History

(a) In addition to Section 101216, the following shall apply:
(b) All staff and volunteers whose duties include the provision of care to, and the supervision and protection of, mildly ill children shall complete training on the practices and procedures of a child care center for mildly ill children.
(1) Training shall be completed within two weeks of a staff member's or volunteer's starting date.
(c) The training plan shall ensure the provision of at least 20 hours of training for each staff member or volunteer and shall include but not be limited to:
(1) Orientation to the center.
(2) Instruction on the identification, transmission and control of communicable diseases, including universal health precautions.
(3) Center practices and procedures for the care of mildly ill children, including those related to:
(A) Handwashing, feeding and diapering.
(B) Special care needs of mildly ill children including, as appropriate, the areas of nutrition and fluids, activities, taking temperatures and administering medications.
(C) Medical emergencies.
(D) Disaster preparedness and evacuation.
(d) Training shall be given by the director and/or a fully qualified teacher.
(e) Completion of training shall be documented in each participant's personnel file.
(1) Documentation shall include the name(s) of the trainer(s), the name(s) of staff members and volunteers receiving training, the date(s) training was completed, the subject area(s) of the training, and the duration of the training (number of hours).
(f) At least one staff member who is trained in pediatric cardiopulmonary resuscitation and pediatric first aid pursuant to Health and Safety Code Section 1596.866 shall be onsite at all times when children are present.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101616.5. Chid Care Center for Mildly Ill Children--Teacher-Child Ratios.
Note     •     History

(a) Notwithstanding Sections 101216.3, 101416.5 and 101516.5, the following shall apply:
(b) There shall be a ratio of one teacher to every three infants in attendance.
(1) An aide as specified in Section 101216.2 may be substituted for a teacher when all of the following criteria are met:
(A) A fully qualified teacher as specified in Sections 101616.2(a) and (c) is directly caring for and supervising no more than three infants; and has overall responsibility for supervising a total of no more than 12 infants, with the assistance of three aides as specified in Section 101616.5(b)(1)(B).
(B) Each aide is responsible for the direct care and supervision of no more than three infants.
(c) There shall be a ratio of one teacher to every six preschool-age children in attendance.
(1) An aide as specified in Section 101216.2 may be substituted for a teacher to care for preschool-age children when all of the following criteria are met:
(A) A fully qualified teacher as specified in Sections 101616.2(a) and (c) is directly caring for and supervising no more than six preschool-age children; and has overall responsibility for supervising a total of no more than 12 preschool-age children, with the assistance of one aide as specified in Section 101616.5(c)(1)(B).
(B) The aide is responsible for the direct care and supervision of no more than six preschool-age children.
(d) There shall be a ratio of one teacher to every eight school-age children in attendance.
(1) An aide as specified in Section 101216.2 may be substituted for a teacher to care for school-age children when all of the following criteria are met:
(A) A fully qualified teacher as specified in Sections 101616.2(a) and (c) is directly caring for and supervising no more than eight school-age children; and has overall responsibility for supervising a total of no more than 16 school-age children, with the assistance of one aide as specified in Section 101616.5(d)(1)(B).
(B) The aide is responsible for the direct care and supervision of no more than eight school-age children.
(e) Staffing requirements for mixed-age groups of children shall be determined based on the age of the youngest child in the group.
(f) The ratios specified in Sections 101616.5(b), (c), (d) and (e) shall also apply to napping infants, preschool-age children and school-age children except as follows:
(1) One teacher may supervise six napping infants without assistance provided that the remaining staff member(s) necessary to meet the overall ratio specified in Section 101616.5(b) is immediately available at the center.
(2) One teacher may supervise 12 napping preschool-age children without assistance provided that the remaining staff member(s) necessary to meet the overall ratio specified in Section 101616.5(c) is immediately available at the center.
(3) One teacher may supervise 16 napping school-age children without assistance provided that the remaining staff member(s) necessary to meet the overall ratio specified in Section 101616.5(d) is immediately available at the center.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101616.8. Child Care Center for Mildly Ill Children--Staffing for Water Activities.
Note     •     History

(a) Notwithstanding Section 101216.6, the following shall apply:
(b) Water activities in or near any of the following bodies of water shall not be permitted in a child care center for mildly ill children:
(1) Swimming pool.
(2) Any portable pool or wading pool, no matter how shallow.
(3) Potentially dangerous natural bodies of water including, but not limited to, oceans, lakes, rivers and streams.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101619. Child Care Center for Mildly Ill Children--Admission Policies.
Note     •     History

(a) In addition to Section 101218, the following shall apply:
(b) The written admission policies for child care centers for mildly ill children shall specify the conditions/symptoms/illnesses for which children will and will not be accepted for care.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101620. Child Care Center for Mildly Ill Children--Medical Assessments.
Note     •     History

(a) Notwithstanding Section 101220, the following shall apply:
(b) A written medical assessment for the child shall be obtained from the child's authorized representative if a qualified staff person determines that one is necessary based on the nature of the child's symptoms and/or illness.
(1) The medical assessment shall be performed by a physician or other health professional working under the supervision of a physician.
(2) The medical assessment shall include:
(A) Verification that the child's symptoms or illness does not pose a risk to the child or others at the center.
(B) Verification of the child's recent negative test for tuberculosis unless the child is concurrently enrolled in a licensed child care center or a public or private school.
(C) Identification of the child's special requirements.
(D) Identification of prescription and nonprescription medications that the child must take while at the center.
(E) Ambulatory status and restrictions on activities.
(3) Medical assessments shall be filed in the child's record.
(4) When a medical assessment is not required, the licensee shall make a dated notation to that effect in the child's record.
(c) The Department has the authority to require the licensee to obtain a current written medical assessment for any child if such an assessment is necessary to verify the appropriateness of the child's placement.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101621. Child Care Center for Mildly Ill Children--Child's Records.
Note     •     History

(a) In addition to Section 101221, the following shall apply:
(b) Each child's record shall include:
(1) A copy of the written medical assessment, when one has been required, as specified in Section 101620.
(A) If a medical assessment has not been required, a dated notation to that effect shall be made in the child's record.
(2) A copy of information regarding instances of authorized representative notification as specified in Sections 101626(b) and (b)(1).
(3) A copy of information regarding prescription and nonprescription medications that the child must take while at the center as specified in Section 101226(e).
(4) A copy of the child's plan of care as specified in Section 101626(c).
(5) A copy of the daily inspection form completed by the qualified staff person performing the daily inspection for illness as specified in Section 101626.1(b).
(6) Health clearances, when required, as specified in Section 101626.1(f).
(7) Observations of the child as specified in Section 101626.3(b).
(8) Information regarding any allergies the child may have.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101626. Child Care Centers for Mildly Ill Children--Health-Related Services.
Note     •     History

(a) In addition to Section 101226, and notwithstanding Section 101226(a), the following shall apply:
(b) If the child's illness or injury worsens to the point that it exceeds the maximum level of care specified in the admission policies and for which the center is licensed, the licensee shall immediately notify the child's authorized representative and require the authorized representative to remove the child from the center.
(1) Notification of the authorized representative shall be recorded in the child's record and shall include the date and time of notification and the name of the qualified staff person making the notification.
(c) A written plan of care shall be developed for each child and shall be updated daily.
(1) This plan shall be completed with the assistance of the child's authorized representative; shall be signed and dated by the authorized representative; and shall be maintained in the child's record.
(2) Each plan of care shall include but not be limited to:
(A) Type and frequency of observations of the child.
(B) Activity level.
(C) Dietary restrictions.
(D) Prescription and nonprescription medications that the child must take while at the center.
(E) Special procedures associated with the child's illness/injury, such as any relating to intake of food and liquid, stool and urine output, or temperature. This requirement may be omitted when the nature of the child's illness/injury warrants doing so.
(F) Developmental activities.
(d) Every center shall have provisions for continuing health consultation from a physician or registered nurse with a current and active license issued by the appropriate State of California licensing board. This health professional shall have pediatric experience/training obtained within the last five years.
(1) Health consultation may be provided by a staff member who is also a health professional as specified in Section 101626(d), as part of his/her staff duties; or by an outside consultant as specified in Section 101626(d).
(2) Health consultation shall include developing written plans and procedures and, if necessary, forms for the following, all of which shall be maintained at the center:
(A) Admissions criteria, center operating policies and procedures, daily inspection procedures, procedures for the surveillance of communicable diseases, and plans for the care of individual children.
(B) Liaison with local health departments.
(C) Recordkeeping and reporting of accidents and illnesses involving staff and children.
(D) Obtaining emergency health care, including provisions for listing emergency telephone numbers.
(E) Administration, handling and storage of medications.
(F) Emergency first-aid procedures and assurance of the availability of staff trained in such procedures.
(G) Establishment of an isolation area and development of related procedures.
(H) Provision of continuing health-care services to children in attendance who do not already have access to such services, which may include making referrals to community resources.
(I) Provision of staff training as specified in Section 101616.2.
(3) If health consultation is provided by an outside consultant, a written contract or letter of agreement between the consultant and the center shall be prepared. This documentation shall be maintained in the center's files.
(4) Each center shall maintain in its files each health consultant's name, address, telephone number, area of specialization and evidence of qualifications.
(A) Evidence of qualifications shall include, but not be limited to, verification of licensure required in Section 101626(d) as demonstrated by the following:
1. A photocopy of the license; and
2. Documentation of written or verbal contact with the appropriate State of California licensing board to verify licensure status.
(5) Health consultation shall occur quarterly or more often, if necessary, and not less than semiannually.
(A) After each consultation, the consultant shall prepare a written report of his/her findings and recommendations. These reports shall be maintained in the center's files.
(B) If consultation is not necessary during a quarter, a notation explaining why shall be made in the center's files.
(e) The licensee shall maintain the most current edition of a manual on the identification and control of communicable diseases.
(1) This manual shall be either the American Academy of Pediatrics' Report of the Committee on Infectious Diseases (Red Book) or another manual approved by the health consultant prior to use.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
3. Editorial correction of subsection (a) (Register 2002, No. 39).
§101626.1. Child Care Center for Mildly Ill Children--Daily Inspection for Illness.
Note     •     History

(a) Notwithstanding Section 101226.1, the following shall apply:
(b) Upon arrival each day at the center, each child shall have a daily inspection for illness to determine if the child is appropriate for placement in the center.
(1) A qualified staff person shall perform and document the completion of the daily inspection for illness.
(A) A qualified staff person for a Level I center shall be a director as specified in Sections 101615(a) and (b), or a teacher as specified in Sections 101616.2(a) and (b).
(B) A qualified staff person for a Level II center shall be a licensed health professional.
(2) As part of the daily inspection for illness, a child's body temperature shall be determined by using a thermometer with a disposable plastic (Probe) cover.
(3) The licensee shall require the child's authorized representative to remain in the center until the daily inspection for illness is completed and the child is accepted for care.
(c) The licensee shall develop and implement a written procedure for completing daily inspections for illness, which shall include developing a form to document that a daily inspection for illness has been completed prior to a child's acceptance for care.
(1) As required by Section 101626(d), the health consultant shall be consulted on the development of the procedure and form specified in Section 101626.1(c).
(d) This subchapter shall not be interpreted to require the exclusion of a child with a chronic condition protected under the Americans With Disabilities Act of 1990 (42 U.S. Code Section 12101 et seq.) unless the child also has a condition/symptom/illness as specified in Sections 101626.1(e), (g) and (h) that would independently exclude the child from care in a center.
(e) Except as specified in Section 101626.1(f), the licensee shall not accept or retain for care any child with any of the following conditions/symptoms/illnesses or combination thereof:
(1) Body temperature of 102 F (38.9 C) (oral) or 103 F (39.4 C) (rectal or by ear) or 101 F (38.3 C) (axillary), or higher.
(A) For an infant two months of age or under, body temperature of 101.5 F (38.6 C) (rectal or by ear) or higher.
(2) Rapid or labored breathing.
(3) Body temperature of 101 F (38.3 C) (oral) or 102 F (38.9 C) (rectal or by ear) or 100 F (37.8 C) (axillary), or higher, with stiff neck, lethargy, irritability or persistent crying.
(4) Asthmatic with upper respiratory infection and coughing that are interfering with the child's ability to drink, talk or sleep.
(5) Undiagnosed acute rash of two weeks or less in duration.
(6) Yellowing of the eyes or skin.
(7) Abdominal pain that is persistent or intermittent.
(8) Vomiting three or more times, or lasting over a six-hour period, or with signs of dehydration.
(9) Diarrhea (that is, five or more stools in an eight-hour period or an increased number of stools compared to the child's normal pattern, and with increased stool water and/or decreased form), in addition to one or more of the following:
(A) Signs of dehydration (for example, no urine produced for an eight-hour period).
(B) Blood or mucus in the stool unless a physician determines that at least one stool culture demonstrates absence of shigella, salmonella, campylobacter, pathogenic E. coli or other pathogens.
(C) Persistence beyond three days.
(10) Severe lethargy.
(11) Open lesions of the skin or mucous membranes.
(12) Other conditions as may be determined by a qualified staff person on an individual basis.
(f) A Level I or Level II center may accept a child with any of the conditions/symptoms/illnesses as specified in Section 101626.1(e) if the licensee has obtained a written health clearance stating that the child has been diagnosed and reexamined; and is not contagious or a health risk to the child or other children in care.
(1) The written health clearance, which shall be kept in the child's record, shall be obtained from a physician or other health professional working under the supervision of a physician.
(2) A licensee may accept a child for care under Section 101626.1(f) upon the verbal approval of a physician or other health professional working under the supervision of a physician if the required written health clearance is obtained within 24 hours.
(A) Receipt of verbal approval as specified in Section 101626.1(f)(2) shall be recorded immediately in the child's record. The notation shall include the name of the physician or other health professional who gave the verbal approval, the date and time the verbal approval was given, and the name of the qualified staff person who made the notation.
(g) The licensee shall not accept or retain for care any child with any of the following conditions/symptoms/illnesses except as specified:
(1) Diarrhea due to confirmed shigella, salmonella or giardia except as specified in Section 101626.1(i).
(2) Contagious stages of chicken pox or mumps except as specified in Section 101626.1(j).
(h) The licensee shall not, under any circumstances, accept or retain for care any child with any of the following conditions/symptoms/illnesses:
(1) Diarrhea due to campylobacter or cryptosporidium.
(2) Contagious stages of measles, rubella, pertussis, diphtheria or tuberculosis.
(3) Untreated infestation (such as head lice, scabies).
(i) A Level II center may accept a child with diarrhea due to confirmed shigella, salmonella or giardia 24 hours after treatment has been initiated if prior approval is obtained from the Department and the following conditions are met:
(1) In addition to Section 101626.1(b), prior to accepting the child the licensee shall obtain documentation from a physician or other health professional working under the supervision of a physician stating that, based on his/her knowledge of the isolation and separation procedures specified below, the child has been diagnosed and poses no serious health risk to the child or other children in care. This documentation shall be kept in the child's record.
(A) Verbal approval, with written follow-up, shall be acceptable if the procedures specified in Section 101626.1(f)(2) are followed.
(2) The licensee shall provide care for children with each illness in a specific area of a room or a room that is physically separate from those used by children with other illnesses.
(A) In addition to separate rooms, physical separation shall include, but not be limited to, moveable partitions and accordian wall dividers.
(3) Each separate area/room shall include:
(A) Separate toilet and handwashing facilities.
(B) Separate equipment and toys.
(C) Notwithstanding Section 101561(d), staff assigned exclusively to the care of children in each area/room.
(4) Sanitation procedures as specified in Section 101638.1 shall be followed.
(A) The licensee shall document, in the staff file, when staff must follow sanitation procedures as specified in Section 101638.1(d) to prevent the spread of illnesses.
(j) A Level II center may accept a child in the contagious stages of chicken pox or mumps if prior approval is obtained from the Department and the following conditions are met:
(1) In addition to Section 101626.1(b), prior to accepting the child the licensee shall obtain documentation from a physician or other health professional working under the supervision of a physician stating that, based on his/her knowledge of the isolation and separation  procedures specified below, the child has been diagnosed and poses no serious health risk to the child or other children in care. This documentation shall be kept in the child's record.
(A) Verbal approval, with written follow-up, shall be acceptable if the procedures specified in Section 101626.1(f)(2) are followed.
(2) The child shall be isolated from children with other illnesses and cared for in a separate room with children having the same illness.
(A) Children with chicken pox and mumps shall not be cared for simultaneously in the same isolation room.
(3) Each isolation room shall include:
(A) A separate door to the outside of the center.
(B) Floor-to-ceiling walls.
(C) A separate ventilation system, preferably a positive airflow system.
(D) Separate toilet and handwashing facilities.
(E) Separate equipment and toys.
(F) Notwithstanding Section 101561(d), staff assigned exclusively to the care of children in each isolation room.
(4) Sanitation procedures as specified in Section 101638.1 shall be followed.
(A) The licensee shall document, in the staff file, when staff must follow sanitation procedures as specified in Section 101638.1(d) to prevent the spread of illnesses.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101626.2. Child Care Center for Mildly Ill Children--Isolation for Illness.
Note     •     History

(a) Notwithstanding Section 101226.2, the following shall apply:
(b) A center shall be equipped with an isolation area to care for any child as specified in Section 101626.2(c).
(1) The isolation area shall be physically separate from the indoor activity area and shall be located to afford easy observation of, and access to, children requiring isolation.
(2) The isolation area shall be equipped with a bed, cot, floor mat or couch for each child requiring isolation; and with a crib, cot or floor mat for each infant requiring isolation.
(3) The isolation area shall not be located in the kitchen, food-preparation or toilet areas.
(4) In combination centers with a Level I or Level II component for mildly ill children, only one isolation area that serves all of the child care center components is required.
(c) A child shall be isolated when any one of the following occurs:
(1) The child's condition worsens enough to warrant notifying the child's authorized representative as specified in Section 101626(b); or
(2) The child is determined to have any one of, or combination of, the conditions/symptoms/illnesses as specified in Section 101626.1(e); or
(3) The child is determined to possibly have one of the communicable diseases as specified in Sections 101626.1(g) and (h).
(d) The center shall ensure the isolation of each child within the isolation area when more than one child is present in the isolation area.
(e) Children in the isolation area shall be under the constant observation of a teacher who is present in the isolation area itself.
(f) A child shall remain in the isolation area only until the child's authorized representative can remove the child from the center as specified in Section 101626(b).
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101626.3. Child Care Center for Mildly Ill Children--Observation of the Child.
Note     •     History

(a) In addition to Section 101226.3(a), and notwithstanding Section 101226.3(b), the following shall apply:
(b) Any changes in the child's behavior or any signs of the child's illness worsening shall be reported to the child's authorized representative and recorded in the child's record on the day they occur.
(c) If indicated by the nature of the child's illness at any time when the child is in care, staff shall record daily observations of the child's behavior and symptoms, including the date and time of the observation(s). The record of the observation(s) shall also include, but not be limited to, the following as appropriate:
(1) Behavior and activities, such as the child's state of alertness, type of complaints, frequency and length of sleep, and pattern of rest and play.
(2) Temperature.
(A) Any child with a body temperature of 100 F (37.8 C) (oral) or 101 F (38.3 C) (rectal or by ear) or 99 F (37.2 C) (axillary), or higher, shall have his/her body temperature taken during the day as follows:
1. For a child 0-1 years of age, within one hour of the original temperature; for a child 0-5 years of age, within two hours of the original temperature; and for a child 6-18 years of age, within three hours of the original temperature.
2. The child's temperature shall also be taken at intervals thereafter depending on the child's observed behavior and symptoms as specified in Section 101626.3(c).
(B) Body temperature shall be determined by using a thermometer with a disposable plastic (Probe) cover.
(3) Breathing.
(4) Vomiting.
(5) Amount of food and fluid intake.
(6) Color, consistency and number of bowel movements.
(7) Frequency of urination.
(A) Notations shall be made at least every four hours if the child has any of the following conditions/symptoms/illnesses:
1. Decreased appetite.
2. Vomiting.
3. Diarrhea as specified in Section 101626.1(e)(9).
(d) Recorded observations shall be in accordance with the center's admission policies and agreements; and in accordance with plans and procedures as specified in Section 101626, including the plan of care as specified in Section 101626(c).
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101627. Child Care Center for Mildly Ill Children--Food Service.
Note     •     History

(a) In addition to Sections 101227 and 101427, the following shall apply:
(b) For mildly ill children, individual meals and snacks shall be prepared in accordance with the requirements of each child's admission agreement and plan of care.
(c) For mildly ill infants, individual meals and snacks shall be prepared in accordance with the requirements of each infant's admission agreement, feeding plan and plan of care.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101628. Child Care Center for Mildly Ill Children--Personal Services.
Note     •     History

(a) In addition to Section 101428, the following shall apply:
(b) Only disposable diapers shall be used unless cloth diapers are specified in the infant's or child's plan of care.
(c) If cloth diapers are used, they shall be used with an outer waterproof cover.
(1) When cloth diapers are changed, the soiled diaper and outer cover shall be removed at the same time and replaced with a clean diaper and outer cover.
(d) Notwithstanding Section 101428(d)(5), soiled or wet clothing or cloth diapers shall not be rinsed in a sink.
(1) Soiled or wet clothing or cloth diapers provided by the child's authorized representative shall be handled as specified in Section 101428(c).
(2) Soiled cloth diapers provided by the center shall be laundered and sanitized daily. If a diaper service is utilized, the diapers shall be placed in the diaper service company container, as instructed, for pickup by the diaper service.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101629.1. Child Care Center for Mildly Ill Children--Sign in and Sign out.
Note     •     History

(a) Notwithstanding Section 101226.1(b)(2)(A), and in addition to Section 101229.1, the following shall apply:
(b) The licensee shall require that each child be signed in and out by his/her authorized representative.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101630. Child Care Center for Mildly Ill Children--Activities.
Note     •     History

(a) Notwithstanding Section 101230, the following shall apply:
(b) The licensee shall develop, maintain and implement a written plan to ensure the provision of indoor and outdoor activities designed to meet the needs of mildly ill children. Such activities shall include but not be limited to:
(1) Quiet and active play.
(2) Rest and relaxation.
(3) Eating.
(4) Toileting.
(5) Individual attention.
(6) Infants being held by care providers.
(c) The licensee shall ensure the participation of mildly ill children in the activities specified in Section 101630(b) as appropriate.
(d) Each child, unless it is not appropriate because of the nature of his/her illness, shall be given the opportunity to nap/sleep whenever he/she wishes without being disturbed by other activities at the center.
(1) No child shall be forced to sleep, to stay awake or to stay in the napping area.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
Article 7. Physical Environment
§101638.1. Child Care Center for Mildly Ill Children--General Sanitation.
Note     •     History

(a) Notwithstanding Section 101438.1, the following shall apply:
(b) Children shall not have access to items used by pets and animals.
(c) Staff and children shall wash their hands at appropriate times, including but not limited to:
(1) Before and after eating or handling food.
(2) After toileting or changing diapers.
(3) Whenever hands are contaminated with bodily fluids.
(d) The following handwashing procedures shall be used:
(1) Use soap and running water.
(A) Only dispenser soap, such as liquid or powder in an appropriate dispenser, shall be used.
(2) Rub hands together vigorously, washing all surfaces including wrists, backs of hands, between fingers and under fingernails.
(3) Rinse hands well.
(4) Dry hands with disposable paper towels.
(A) Only disposable paper towels in an appropriate holder or dispenser shall be used.
(5) When a water faucet can be turned off only by using hand controls, the faucet shall be turned off using a disposable paper towel instead of with bare hands only.
(6) The procedures specified in Sections 101638.1(d)(1) through (5) shall be posted at sinks used by staff.
(e) Washing, cleaning and sanitizing requirements for areas used by staff and children, or for areas that children have access to, shall include:
(1) Floors, except those carpeted, shall be vacuumed or swept and mopped with a disinfecting solution at least daily, or more often if necessary.
(2) Carpeted floors and large throw rugs that cannot be washed shall be vacuumed at least daily and cleaned at least every six months, or more often if necessary.
(A) Small rugs that can be washed shall be shaken or vacuumed at least daily and washed at least weekly, or more often if necessary.
(3) Walls and portable partitions shall be washed and disinfected at least monthly, or more often if necessary.
(4) When infants are in care, the diaper-changing area, where residue is splashed, shall be washed and disinfected after each diaper change. The immediate floor and wall areas shall also be kept clean.
(5) Sinks used to wash infants shall be washed and disinfected after each use.
(6) Sinks used for food preparation shall not be used to wash infants or to wash fecally contaminated hands.
(f) Objects used by children shall be washed and disinfected at least daily, or more often if necessary. Such objects shall include, but not be limited to, toys and blankets.
(g) Linens laundered by the center shall be washed and sanitized at least daily, or more often if necessary. Such linens shall include, but not be limited to, bedding, towels and washcloths used on or by children.
(1) Linens or clothing used on or by any child shall not be used on or by any other child without first being laundered and sanitized.
(h) A disinfecting solution, which shall be used after surfaces and objects have been cleaned with a detergent or other cleaner, shall be freshly prepared each day using 1/4 cup of bleach per gallon of water. Commercial disinfecting solutions, including one-step cleaning/disinfecting solutions, shall be permitted and shall be used in accordance with label directions.
(i) All disinfectants, cleaning solutions, poisons and other hazardous materials shall be stored as specified in Section 101238.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New article 7 and section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101638.2. Child Care Center for Mildly Ill Children--Outdoor Activity Space.
Note     •     History

(a) Notwithstanding Sections 101238.2(a), (e) and (f), the following shall apply:
(b) There shall be at least 20 square feet of outdoor activity space per child based on the total licensed capacity.
(c) In combination centers with a Level I or Level II component for mildly ill children, outdoor activity space for mildly ill children shall be physically separate from outdoor activity space for well children.
(1) Physical separation shall include but not be limited to:
(A) Fencing; or
(B) Supervision; or
(C) Scheduling.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101638.3. Child Care Center for Mildly Ill Children--Indoor Activity Space.
Note     •     History

(a) In addition to Section 101238.3, the following shall apply:
(b) In combination centers with a Level I or Level II component for mildly ill children, indoor activity space for the Level I or Level II component shall be physically separate from indoor activity space for any other child care center component.
(1) Physical separation shall include but not be limited to:
(A) Moveable partitions.
(B) Accordian wall dividers.
(C) Separate rooms.
(c) In the designated napping area, there shall be at least 15 square feet of indoor space for each child's bed, cot, floor mat or couch; and for each infant's crib, cot or floor mat.
(1) The square-footage requirement in Section 101638.3(c) shall be in addition to the requirement of 35 square feet of indoor activity space per child as specified in Section 101238.3.
(2) Napping equipment, unless separated by screens, shall be placed at least three feet apart when in use.
(3) The designated napping area shall be separate from the indoor activity area.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101639. Child Care Center for Mildly Ill Children--Fixtures, Furniture, Equipment and Supplies.
Note     •     History

(a) In addition to Sections 101239, 101439 and 101539, the following shall apply:
(b) In combination centers with a Level I or Level II component for mildly ill children, all fixtures, furniture, equipment and supplies designated for use in caring for mildly ill children, or for use by mildly ill children, shall not be shared with or used by any other child care center component unless the criteria specified in Section 101561(b)(1) are met.
(c) Beds, cots, floor mats or couches, as well as blankets and pillows, shall be available and accessible for use by mildly ill children whenever mildly ill children are present.
(d) Cribs, cots or floor mats, as well as blankets, shall be available and accessible for use by mildly ill infants whenever mildly ill infants are present.
(1) Mildly ill infants shall not have access to pillows.
(e) Notwithstanding Section 101239(h), the total licensed capacity of a center shall not exceed 10 mildly ill children for every toilet and handwashing sink.
(1) Toilet and handwashing facilities used by mildly ill children shall not be shared with or used by any other child care center component unless the criteria specified in Section 101561(b)(1) are met.
(2) Toilets used by mildly ill school-age children shall provide for individual privacy.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.806 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101639.1. Child Care Center for Mildly Ill Children--Napping Equipment.
Note     •     History

(a) In addition to Sections 101239.1 and 101439.1, the following shall apply:
(b) In combination centers with a Level I or Level II component for mildly ill children, napping equipment designated for use in caring for mildly ill children, or for use by mildly ill children, shall not be shared with or used by any other child care center component unless the criteria specified in Section 101561(b)(1) are met.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
§101639.2. Child Care Center for Mildly Ill Children--Drinking Water.
Note     •     History

(a) Notwithstanding Section 101239.2, the following shall apply:
(b) Each child shall use a cup or bottle labeled with his/her name, or a single-use disposable cup.
(c) Drinking water from a noncontaminating fixture or container shall be readily available to children both indoors and in the outdoor activity area.
(d) Each child shall be free to drink water as he/she wishes unless it is not appropriate because of the nature of the child's illness.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. New section filed 7-10-95; operative 8-9-95 (Register 95, No. 28).
2. Change without regulatory effect amending section heading and section filed 10-26-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 44).
Chapter 3. Family Day Car Homes for Children
Article 1. General Requirements and Definitions
§102351.1. Specific Exemption.
Note     •     History

The provisions of Chapter 1, General Requirements, shall not apply to family child care homes.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.81, Health and Safety Code.
HISTORY

1. Editorial correction renumbering and amending former division 6, chapter 8.5 (sections 88001-88070, not consecutive) to new division 12, chapter 3 (articles 1-4 and 6, sections 102351.1-102423, not consecutive) filed 7-1-85; designated effective 7-1-85 (Register 85, No. 27).
2. Change without regulatory effect amending section filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
3. Amendment filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§102352. Definitions.
Note     •     History

(a)(1) “Adult” or “Substitute Adult” means a person who is 18 years of age or older.
(2) “Applicant” means any person or persons making an application for a license to operate a family child care home.
(3) “Assistant Provider” means a person at least 14 years of age who is primarily involved in caring for children during the hours that the home provides care.
(b) (Reserved)
(c)(1) “California Clearance” means an individual has no felony or misdemeanor convictions reported by the California Department of Justice. However, the individual may have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(2) “Capacity” means the maximum number of children for whom care is authorized at any one time.
(3) “Child” means a person, including an infant, who has not yet reached his or her eighteenth birthday.
(4) “Child Abuse Central Index” means the California Department of Justice maintained statewide, multi-jurisdictional, centralized index of child abuse investigation reports. These reports pertain to alleged incidents of physical abuse, sexual abuse, mental/emotional abuse and/or severe neglect. Each child protection agency (police, sheriff, county welfare and probation departments) is required by law to forward to the California Department of Justice a report of every child abuse incident it investigates, unless an incident is determined to be unfounded. 
(5) “Child Abuse Central Index Clearance” means that the California Department of Justice has conducted a name search of the index and the search did not result in a match or the search resulted in a match but the California Department of Social Services determined after an investigation that the allegation of child abuse or neglect was not substantiated. 
(6) “Completed Application” means that all required information and documentation has been provided to the Department, including the completed application form and, for a large family child care home, a fire clearance; and that a home visit has been completed.
(7) “Conviction” means: 
(A) A criminal conviction in California, or 
(B) Any criminal conviction of another state, federal, military or other jurisdiction, which if committed or attempted in California, would have been punishable as a crime in California. 
(8) “Criminal Record Clearance” means an individual has a California clearance and an FBI clearance. 
(d)(1) “Deficiency” means any failure to comply with any provision of the California Child Day Care Act (Health and Safety Code, Section 1596.70 et seq.) and or regulations adopted by the Department pursuant to the Act.
(2) “Department” means the State Department of Social Services. This term supersedes the term “licensing agency” as used in previous regulations.
(3) “Director” means the Director of Social Services.
(e) (Reserved)
(f)(1) “Family Day Care” or “Family Child Care” means regularly provided care, protection and supervision of children, in the caregiver's own home, for periods of less than 24 hours per day, while the parents or authorized representatives are away. The term “Family Child Care” supersedes the term “Family Day Care” as used in previous regulations.
(A) “Small Family Child Care Home” means a home that provides family child care for up to six children, or for up to eight children if the criteria in Section 102416.5(b) are met. These capacities include children under age 10 who live in the licensee's home.
(B) “Large Family Child Care Home” means a home that provides family child care for up to 12 children, or for up to 14 children if the criteria in Section 102416.5(c) are met. These capacities include children under age 10 who live in the licensee's home and the assistant provider's children under age 10.
(2) “Federal Bureau of Investigation (FBI) Clearance” means an individual has no felony or misdemeanor convictions reported by the FBI. The individual may also have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. 
(g) (Reserved)
(h)(1) “Home” means the licensee's residence as defined by Government Code Section 244.
(i)(1) “Infant” means a child who has not yet reached his or her second birthday.
(j) (Reserved)
(k) (Reserved)
(l)(1) “License” means a written authorization by the Department or licensing agency to operate a family day care home.
(2) “Licensee” means an adult licensed to operate a Family Day Care Home and who is primarily involved in providing care for the children during the hours that the home provides care.
(3) “Licensing agency”. See definition for Department.
(m)(1) “Medical Professional” means an individual who is licensed or certified in California to perform the necessary medical procedures within his/her scope of practice. This includes, but is not limited to, Medical Doctor (MD), Registered Nurse (RN) and Licensed Vocational Nurse (LVN). 
(n) (Reserved)
(o) (Reserved)
(p)(1) “Parent” or “Authorized Representative” means any person or entity authorized by law to act on behalf or any child. Such person or entity may include but not be limited to a minor's parent, a legal guardian, a conservator or a public placement agency.
(2) “Provider” means anyone providing care to children as authorized by these regulations and includes the licensee, assistant provider or substitute adult.
(q) (Reserved)
(r)(1) “Rehabilitation” means the effort to reestablish good character since the date of the last conviction, including, but not limited to, education, counseling or therapy, training, stable employment, restitution, remorse, changes in lifestyle, or community service. 
(2) “Relative” means spouse, parent, stepparent, son, daughter, brother, sister, stepbrother, stepsister, half-brother, half-sister, uncle, aunt, niece, nephew, first cousin or any such person denoted by the prefix “grand” or “great” or the spouse of any of the persons specified in this definition, even after the marriage has been terminated by death or dissolution.
(s)(1) “Simplified Exemption” means an exemption granted on the Department's own motion, as authorized in Health and Safety Code Section 1596.871(c)(3), if the individual's criminal history meets specific criteria established by Department regulation. 
(t) (Reserved)
(u) (Reserved)
(v) (Reserved)
(w) (Reserved)
(x) (Reserved)
(y) (Reserved)
(z) (Reserved)
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.74, 1596.75, 1596.77, 1596.770, 1596.78, 1596.791, 1596.81(b), 1597.44 and 1597.465, Health and Safety Code; and Section 244, Government Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
3. Change without regulatory effect amending subsection (d)(1) and (2) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
4. Editorial correction of printing error in subsection a.(1) (Register 92, No. 24).
5. Amendment of section and Note filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
6. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
Article 2. Licensing
§102357. Operation Without a License.
Note     •     History

(a) If the Department has reason to believe that family child care is being provided without a license, the licensing agency shall:
(1) Conduct a site visit to:
(A) Determine whether the home is operating without a license.
(B) Determine whether continued operation of the facility will be dangerous to the health and safety of the children in care.
(2) Notify the unlicensed provider in writing of the requirements for such licensure.
(3) Issue a Notice of Operation in Violation of Law if it is found and documented that continued operation of the family child care home will be dangerous to the health and safety of the children. Situations endangering the health and safety of the children shall include, but not be limited to:
(A) Evidence of physical or mental abuse.
(B) Children left unattended or left with a minor.
(C) Clear evidence of unsanitary conditions.
(D) Fire safety/fire hazards.
(E) Unfenced or accessible pools or other bodies of water.
(F) Hazardous physical plant.
(4) Issue a Notice of Operation in Violation of Law if the unlicensed provider does not apply for a license within 15 working days from the date of notification.
(b) The Department shall have the authority to issue an immediate civil penalty pursuant to Section 102393 and Section 1596.891 of the Health and Safety Code which provides:
(1) A person who violates Section 1596.80 of the Health and Safety Code may be liable for an immediate assessment of civil penalties in the amount of two hundred dollars ($200) per day.
(2) The penalty specified in Section 102357(b)(1) shall be imposed if the operator of an unlicensed facility refuses to seek licensure or the operator seeks licensure and is denied but continues to operate.
(c) Section 102357 shall be applied pursuant to Section 1596.892 of the Health and Safety Code.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1597.61 and 1596.81(b), Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. New subsections (b) and (c) filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
3. Change without regulatory effect amending subsection (b) and adopting subsections (b)(1) and (b)(2) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
4. Amendment of subsections (a), (a)(3) and (b) filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§102358. License Exemptions.
Note     •     History

(a) Licensure is required before family child care is provided except in the following situations relative to family child care homes as specified in Health and Safety Code Section 1596.792:
(1) Any family day care home providing care for the children of only one family in addition to the operator's own children.
(2) Any cooperative arrangement between parents for the care of their children where no payment is involved and the arrangement meets all of the following conditions:
(A) In a cooperative arrangement, parents shall combine their efforts so that each parent, or set of parents, rotates as the responsible care giver with respect to all the children in the cooperative.
(B) Any person caring for children shall be a parent, legal guardian, stepparent, grandparent, aunt, uncle, or adult sibling of at least one of the children in the cooperative.
(C) There can be no payment of money or receipt of in-kind income in exchange for the provision of care. This does not prohibit in-kind contributions of snacks, games, toys, blankets for napping, pillows and other materials parents deem appropriate for their children. It is not the intent of this paragraph to prohibit payment for outside activities, the amount of which may not exceed the actual cost of the activity.
(D) No more than 12 children are receiving care in the same place at the same time.
(3) Any arrangement for the receiving and care of children by a relative.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.792 and 1596.81(b), Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Change without regulatory effect amending subsection (a) and adopting subsections (a)(1)-(D)(3) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No 20).
3. Change without regulatory effect amending subsection (a) filed 1-5-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 1).
4. Amendment of subsection (a) filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§102359. Advertisements and License Number
Note     •     History

(a) Licensees shall reveal each facility license number in all advertisements, publications, or announcements made with the intent to attract clients.
(1) Advertisements, publications, or announcements subject to the requirements of Section 102359(a) include, but are not limited to, those contained in the following:
(A) Newspaper or magazine.
(B) Consumer report.
(C) Announcement of intent to commence business.
(D) Telephone directory yellow pages.
(E) Professional or service directory.
(F) Radio or television commercial.
(b) Correspondence shall be considered a form of advertisement if the intent is to attract clients.
NOTE

Authority cited: Section 1596.81(a), Health and Safety Code. Reference: Section 1596.861, Health and Safety Code.
HISTORY

1. New section filed 4-24-91; operative 5-24-91 (Register 91, No. 24).
2. Change without regulatory effect amending subsection (a) and adopting subsections (a)(1)-(F) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
3. Repealer of subsection (c) filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
Article 3. Application Procedure
§102368. License.
Note     •     History

(a) The license shall be available in the facility upon request.
(b) The license shall not be transferred to other individuals or locations.
(c) Any person 18 years of age or over may apply for a license regardless of age, sex, race, religion, color, political affiliation, national origin, disabilities, marital status, actual or perceived sexual orientation, or ancestry.
(d) As a condition of licensure, the licensee shall comply with the requirements for training in preventive health practices, including pediatric cardiopulmonary resuscitation and pediatric first aid, as specified in Health and Safety Code Section 1596.866.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b), 1596.866 and 1597.57, Health and Safety Code; and Section 51, Civil Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (c), new subsection (d), and amendment of Note filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
3. Change without regulatory effect amending subsection (c) and Note filed 12-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 50).
§102369. Application for Initial License.
Note     •     History

(a) To apply for a license to operate a family child care home, an applicant shall file a written application with the Department, on forms provided or approved by the Department.
(b) The applicant shall provide all of the following information at the time of submission of the application:
(1) Name, address, telephone number and confirmation that the applicant is 18 years of age or over.
(2) Age and number of children to whom care will be provided.
(3) Name and age of every person residing in the home where care is to be provided.
(4) A statement that the applicant will comply with all regulations and laws governing family child care homes.
(5) When applying for a license as a large family child care home, substantiation that the provider has at least one year of experience as a regulated small family child care home operator; or one year of experience as an administrator or director of, or as a teacher at,  a licensed child care center.
(A) Waiver of this requirement shall be considered by the director upon finding that the applicant has sufficient qualifying experience.
(6) A brief statement confirming that the applicant is financially secure to operate a family child care home for children. The Department shall not require any other specific or detailed financial disclosure.
(7) Evidence that the small family child care home contains a fire extinguisher and smoke detector device which meet standards established by the State Fire Marshal under Section 1597.45(d) of the Health and Safety Code or evidence that the large family child care home meets the standards established by the State Fire Marshal under Section 1597.46(d) of the Health and Safety Code.
(8) Pursuant to Section 102370(a), the fingerprints of any applicant for a family day care home license, and the following adults:
(A) Any person, other than a child, residing in the facility.
(B) Any person who provides care and supervision to the children.
(C) Any staff person or employee who has contact with the children.
(9) Evidence of a current tuberculosis clearance, not more than one year prior to or seven days after initial presence in the home, for any adult in the home during the time that children are under care.
(10) Name, address and telephone number of the city or county fire department, the district providing fire protection services, or the State Fire Marshal's Office having jurisdiction where the Family Day Care Home is located.
(c) Prior to filing an application, the applicant shall attend an orientation provided by the licensing agency.
(1) The orientation shall cover, but not be limited to, the following areas:
(A) Completion of the application for license.
(B) Scope of operation subject to regulation by the Department.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.877, 1597.45, 1597.46, 1597.54 and 1597.57, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 12-30-87 as an emergency; operative 1-1-88 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-2-88.
2. Certificate of Compliance transmitted to OAL 4-28-88 and filed 5-31-88 (Register 88, No. 30).
3. Amendment of subsection (b) and adoption of subsection (c) filed 10-9-91; operative 11-8-91 (Register 92, No. 8).
4. Change without regulatory effect amending section filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
5. Amendment of subsection (b)(7) and Note filed 9-26-95; operative 10-26-95 (Register 95, No. 39).
6. Amendment of subsections (a), (b)(4), (b)(5), (b)(6), (b)(7) and (b)(9) filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
7. Amendment filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of History 7 (Register 2000, No. 38). 
9. Certificate of Compliance as to 5-18-2000 order transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
§102369.1. Pilot Project Registration.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Section 1597.54, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing Section 102369.1 (Register 86, No. 29).
§102370. Criminal Record Clearance.
Note     •     History

(a) Prior to the Department issuing a license, the applicant(s) and all adults residing in the home shall obtain a California criminal record clearance or exemption.
(b) The following individuals are exempt from the requirement to submit fingerprints: 
(1) A volunteer who is a relative, legal guardian, or foster parent of a child in the facility. 
(2) A volunteer that provides time-limited specialized services if all of the following apply: 
(A) The volunteer is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. 
(B) The volunteer spends no more than 16 hours per week at the facility. 
(C) The volunteer is not left alone with children in care. 
(3) A student who is enrolled or participating at an accredited educational institution if all of the following apply: 
(A) The student is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. 
(B) The facility has an agreement with the educational institution concerning the placement of the student. 
(C) The student spends no more than 16 hours per week at the facility. 
(D) The student is not left alone with the children in care. 
(4) A third-party repair person, or similar retained contractor, if all of the following apply: 
(A) The individual is hired for a defined, time-limited job. 
(B) The individual is not left alone with children. 
(C) When children are present in the room in which the repairperson or contractor is working, a staff person who has a criminal record clearance or exemption is also present. 
(5) A medical professional, as defined in Section 102352(m)(1), who holds a valid license or certification from the individual's governing California medical care regulatory entity if all of the following apply: 
(A) The criminal record of the individual has been cleared as a condition of licensure or certification by the individual's California medical care regulatory entity. 
(B) The individual is providing time-limited specialized clinical care or services. 
(C) The individual is providing care or services within the individual's scope of practice. 
(D) The individual is not a community care facility licensee and is not employed, retained, or contracted by the licensee. 
(6) Employees of a licensed home health agency who have a contract with a child's parent or guardian and are in the facility at the request of that parent or guardian. 
(A) The exemption shall not apply to an individual who is employed, retained or contracted by the licensee. 
(7) An attendant or facilitator for a child with a developmental disability who is visiting the client or providing direct care and supervision to the child. 
(A) The exemption shall not apply to an individual who is employed, retained or contracted by the licensee. 
(c) All individuals subject to a criminal record review shall be fingerprinted and sign a Criminal Record Statement (LIC 508 [Rev. 1/03]) under penalty of perjury.
(1) A person signing the LIC 508 must: 
(A) Declare whether he/she has been convicted of a crime, other than a minor traffic violation as specified in Section 102370(g) regardless of whether the individual was granted a pardon for the conviction, received an expungement pursuant to Penal Code 1203.4 or the individual's record was sealed as a result of a court order.
(B) If convicted of a crime other than a minor traffic violation as specified in Section 102370(g), provide information regarding the conviction. 
(2) The licensee shall submit these fingerprints to the California Department of Justice along with a second set of fingerprints for the purpose of searching the records of the Federal Bureau of Investigation, or comply with Section 102370(j) prior to the individual's employment, residence, or initial presence in the child care home.
(A) Fingerprints shall be submitted to the California Department of Justice by the licensee or sent by electronic transmission to the California Department of Justice by a fingerprinting entity approved by the California Department of Social Services.
(B) A licensee or an applicant for a license may not submit, or enable another to submit under the licensee's or the applicant's authority, the fingerprints of any person who does not, or whom the licensee or applicant reasonably believes will not reside, provide care and supervision to, or have contact with clients at the licensee's or applicant's facility. 
1. If the Department determines that the licensee or applicant has violated Section 102370(c)(2)(B), the Department may immediately cease processing criminal record and Child Abuse Central Index clearances for the facility until the licensee or applicant complies with this section or a disciplinary proceeding is completed. 
2. The licensee shall then submit the fingerprints to the California Department of Justice for processing.
(d) All individuals subject to a criminal record review pursuant to Health and Safety Code Section 1596.871 shall prior to working, residing or volunteering in a licensed facility: 
(1) Obtain a California clearance or a criminal record exemption as required by the Department or 
(2) Request a transfer of a criminal record clearance as specified in Section 102370(j) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 102370.1(p), unless, upon request for a transfer, the Department permits the individual to be employed, reside or be present at the facility. 
(e) Violation of Section 102370(d) will result in a citation of a deficiency and an immediate assessment of civil penalties of one hundred dollars ($100) per violation per day for a maximum of five (5) days by the Department. 
(1) Subsequent violations within a twelve (12) month period will result in a civil penalty of one hundred dollars ($100) pre violation per day for a maximum of thirty (30) days.
(2) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1596.99. 
(f) Violation of Section 102370(d) may result in a denial of the license application or suspension and/or revocation of the license. 
(g) If the criminal record transcript of any individuals specified in the Health and Safety Code Section 1596.871(b) discloses a plea or verdict of guilty or a conviction following a plea of nolo contendere for a crime other than a minor traffic violation for which the fine was less than $300, and an exemption pursuant to Section 102370.1(a) has not been granted, Department shall take the following actions:
(1) For initial applicants, denial of the application.
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license.
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1596.8897, and deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility.
(4) For individuals residing in the facility, licensee or employee, exclusion of the affected individual pursuant to Health and Safety Code Section 1596.8897, and denial of the application or revocation of the license, if the individual continues to provide services and/or reside in the facility.
(h) If the conviction was for another crime, except a minor traffic violation, the Department shall determine if the person shall be allowed to remain in the facility until a decision on the exemption is rendered.
(i) A licensee or applicant for a license may request a transfer of a criminal records clearance from one state licensed facility to another, or from TrustLine to a state licensed facility by providing the following documents to the Department: 
(1) A signed Criminal Background Clearance Transfer Request, LIC 9182 (Rev. 4/02). 
(2) A copy of the individual's: 
(A) Driver's license, or
(B) Valid identification card issued by the Department of Motor Vehicles, or
(C) Valid photo identification issued by another state or the United States government if the individual is not a California resident.
(3) Any other documentation required by the Department (e.g., LIC 508, Criminal Record Statement [Rev. 1/03] and job description).
(j) A criminal record clearance may be transferred between state and county licensing agencies or between county licensing agencies provided:
(1) The transfer is to the same facility type.
(2) The individual and the licensing agency that processed the clearance submit a Substitute Agency Notification Request (BCII 9002) to the receiving licensing agency.
(3) The receiving licensing agency submits the Substitute Agency Notification Request (BCII 9002) to the Department of Justice.
(4) The Department of Justice approves the request and returns a completed BCII 9002 to the receiving agency.
(k) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of employees, volunteers that require fingerprinting and non-client adults residing in the facility.
(1) Documentation shall be available for inspection by the Department.
(l) The Department may seek verification from a law enforcement agency or court of an individual's criminal record as reported to the Department from any member of the public or affected individual. 
(1) Upon obtaining confirmation from a law enforcement agency or court of the offense, the Department shall proceed as if this criminal record information was provided by the California Department of Justice. 
(n) If the Department determines that any licensee or individual specified in Health and Safety Code Section 1596.871(b) is arrested for a crime for which, if convicted, an individual is not eligible, by law, to receive an exemption, pending completion of its investigation into the facts underlying the arrest, the Department may take the following actions as it deems necessary:
(1) If the arrested individual is a licensee, the Department may notify the licensee, by telephone or in writing, to immediately cease operation for up to 30 days.
(2) If the individual arrested is not a licensee, the Department may notify the licensee and the individual associated with the facility, by telephone or in writing, that the individual may not be present in the facility for up to 30 days.
(3) If the individual arrested is the licensee's spouse or a dependent adult that resides in the licensee's home, the Department may notify the licensee, by telephone or in writing, to immediately cease operation for up to 30 days.
(o) After the Department notifies the licensee, pursuant to Section 102370(n)(1) or (n)(3), or the individual pursuant to Section 102370(n)(2), he or she may present a written appeal that:
(1) he or she is not the individual who was arrested,
(2) he or she has not been arrested for a crime that by law an individual is not eligible to receive an exemption, or
(3) he or she was arrested for a crime that by law an individual is not eligible to receive an exemption but the charges have been dropped or reduced to a crime that by law an individual would be eligible to receive an exemption.
The appeal shall contain the licensee's or individual's current address and telephone number. After the Department receives the appeal and any supporting documentation, it shall review the appeal and notify the licensee or individual of its decision within five (5) working days.
(p) Should the Department determine at any time during the 30 days referred to in Sections 102370(n)(1), (n)(2), and (n)(3) that the criminal charges have been dropped or reduced to a charge for a crime that by law an individual would be eligible to receive an exemption, the Department shall immediately rescind the notice.
(q) Nothing in this section shall be interpreted to supercede the Department's authority under Sections 1596.886 and 1596.8897 of the Health and Safety Code.
NOTE

Authority cited: Sections 1596.81 and 1596.98(c), Health and Safety Code. Reference: Sections 1596.871, 1596.99 and 1597.59, Health and Safety Code.
HISTORY

1. Change without regulatory effect adding new subsections (a), (c), (d), (e) and (f), and relettering of (a) to (b) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
2. Amendment of subsections (a), (c) and (d)(1) filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
3. Amendment filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2000, No. 38). 
5. Certificate of Compliance as to 5-18-2000 order, including further amendment of section, transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
6. Editorial correction of subsection (e) (Register 2001, No. 43).
7. Amendment filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
8. New subsections (n)-(q) and amendment of Note filed 7-24-2003 as an emergency; operative 7-24-2003 (Register 2003, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2003 or emergency language will be repealed by operation of law on the following day.
9. Amendment refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-24-2003 order transmitted to OAL 11-21-2003 and filed 12-30-2003 (Register 2004, No. 1).
11. Editorial correction of History 12 (Register 2004, No. 11).
12. Amendment refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
14. Amendment of subsection (e), new subsection (e)(1), subsection renumbering, amendment of newly designated subsection (e)(2), repealer of subsection (h), new subsections (j)-(j)(4), subsection relettering and amendment of Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§102370.1. Criminal Record Exemptions.
Note     •     History

(a) The Department will notify a licensee to act immediately to remove from the facility or bar from entering the facility any person described in Sections 102370.1(a)(1) through (5) below while the Department considers granting or denying an exemption. Upon notification, the licensee shall comply with the notice. 
(1) Any person who has been convicted of, or is awaiting trial for, a sex offense against a minor; 
(2) Any person who has been convicted of a felony; 
(3) Any person who has been convicted of an offense specified in Sections 243.4, 273a, 273d, 273g, or 368 of the Penal Code or any other crime specified in Health and Safety Code Section 1596.871(c)(2); 
(4) Any person who has been convicted of any crime specified below: 
(A) Battery 
(B) Shooting at Inhabited Dwelling 
(C) Corporal Injury on Spouse/Cohabitant 
(D) Discharging Firearm with Gross Negligence 
(E) Exhibiting Weapon/Firearm 
(F) Threat to Commit a Crime Resulting in Gross Bodily Injury or Death 
(G) Criminal Threat to Harm or Injure Another Person 
(H) Cruelty to Animals 
(I) Willful Harm or Injury to Child; or 
(5) Any other person ordered to be removed by the Department. 
(6) The Department may assess a civil penalty of $50 per day for failure to comply with Section 102370.1(a). 
(b) In addition to the requirements of Section 102370.1(a), the licensee must: 
(1) Return the confirmation of removal form that is sent by the Department, within five (5) days of the date of the form, that confirms under penalty of perjury that the individual has been removed from the facility. 
(A) Confirmation must be made on either a Removal Confirmation -- Exemption Needed, LIC 300A (Rev. 9/03), Removal Confirmation -- Denial, LIC 300B (Rev. 9/03), Removal Confirmation -- Rescinded, LIC 300C (Rev. 9/03), or Removal Confirmation -- Nonexemptible, LIC 300D (Rev. 9/03). 
(B) The Department may assess a civil penalty of $50 per day for failure to comply with Section 102370.1(b). 
(2) Provide a copy of the Addendum to Notification of Parent's Rights (Regarding Removal/Exclusion) (LIC 995B Rev. 05/03) to one parent or authorized representative of every child currently in care within one day of receipt of the addendum from the Department. 
(A) Upon notice from the Department that the individual may return to the facility, provide a copy of the Addendum to Notification of Parent's Rights (Regarding Reinstatement) (LIC 995C Rev. 05/03) to one parent or authorized representative of every child in care within one day of receipt of the notice and addendum from the Department. 
(3) Obtain a signed and dated receipt from one parent or authorized representative that acknowledges that he/she was given a copy of the addendum specified in 102370.1(b)(2) and (2)(A). 
(4) Maintain copies of the signed and dated receipt required in Section 102370.1(b)(3) in each child's file. Copies shall be made available to the Department upon request. 
(c) If it is found that the applicant or any other person residing at or regularly in the home during the hours of care, has ever been convicted of a crime other than a minor traffic infraction as specified in Section 102370.1(b), the application for licensure shall be denied or the license shall be revoked, unless the following apply:
(1) Such person has been granted a full and unconditional pardon for the offense, by the governor.
(2) After a review of the criminal record transcript, the Department may grant an exemption from Section 102370(d) if:
(A) The applicant/licensee requests an exemption for himself or herself, or
(B) The applicant/licensee requests an exemption in writing for a individual associated with the facility, or
(C) The applicant/licensee chooses not to seek an exemption on the affected individual's behalf, and the affected individual requests an individual exemption in writing, and
(D) The affected individual presents substantial and convincing evidence satisfactory to the Department that he/she has been rehabilitated and presently is of such good character as to justify being issued or maintaining a license, employment or residence in a licensed facility.
(3) The Department shall consider factors, including, but not limited to, the following, as evidence of good character and rehabilitation:
(A) The nature of the offense committed including, but not limited to, whether it involved violence or a threat of violence to others.
(B) Time elapsed since the offense was committed, and the number of offenses.
(C) Circumstances surrounding the commission of the crime that would demonstrate the unlikelihood of repetition.
(D) Activities since conviction, such as employment, education, or participation in therapy, that would indicate rehabilitation.
(E) Character references.
1. All character references shall be on a Reference Request form (LIC 301E -- Exemptions [Rev. 7/03]).
(F) A Certificate of Rehabilitation from a Superior Court.
(G) Evidence of honesty and truthfulness as revealed in exemption application documents.
1. Documents include, but are not limited to:
a. A Criminal Record Statement (LIC 508, Criminal Record Statement [Rev. 1/03]) and
b. The individual's written statement/explanation of the conviction and the circumstances about the arrest.
(H) Evidence of honesty and truthfulness as revealed in exemption application interviews and conversations with the Department.
(4) The Department shall also consider the following factors in evaluating a request for an exemption: 
(A) Facility and type of association. 
(B) The individual's age at the time the crime was committed. 
(d) To request a criminal record exemption, licensee or license applicants must submit information that indicates that the individual meets the requirements of Section 102370.1(c)(2)(D). The Department will notify the licensee or license applicant and the affected individual, in concurrent, separate notices, that the affected individual has a criminal conviction and needs to obtain a criminal record exemption. 
(1) The notice to the affected individual shall include a list of the conviction(s) that the Department is aware of at the time the notice is sent that must be addressed in an exemption request.
(2) The notice will list the information that must be submitted to request a criminal record exemption. 
(3) The information must be submitted within forty-five (45) days of the date of the Department's notice. 
(A) Individuals who submit a criminal record exemption request shall cooperate with the Department by providing the information required by Section 102370.1(c)(2)(D) and any information requested by the Department, including, but not limited to, police reports and certified court documents to process the exemption request, pursuant to Section 102370.1(c)(3). 
(B) If the individual for whom the criminal record exemption is requested is an employee or resident other than a spouse or dependent family member and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may cease processing the exemption request and close the case. 
(C) If the individual for whom the criminal record exemption is requested is an applicant, licensee, spouse or dependent family member and the licensee/license applicant does not submit the information listed in the Department's written notice within 45 days of the date of the notice, the Department may deny the exemption request. 
(D) Individuals may request a criminal record exemption on their own behalf if the licensee or license applicant:
1. Chooses not to request the exemption and
2. Chooses not to employ or terminates the individual's employment after receiving notice of the individual's criminal history, or
3. Removes the individual who resides in the facility after receiving notice of the individual's criminal history.
(e) The Department may deny an exemption request if:
(1) The licensee and/or the affected individual fails to provide documents requested by the Department or
(2) The licensee and/or the affected individual fails to cooperate with the Department in the exemption process.
(f) The reasons for any exemption granted or denied shall be in writing and kept by the Department.
(g) The Department has the authority to grant a criminal record exemption that places conditions on the individual's continued licensure, and employment or presence in a licensed facility.
(h) It shall be conclusive evidence that the individual is not of such good character as to justify issuance of an exemption if the individual: 
(1) Makes a knowingly false or misleading statement regarding: 
(A) Material relevant to their application for a criminal record clearance or exemption, 
(B) His or her criminal record clearance or exemption status to obtain employment or permission to be present in a licensed facility, after the Department has ordered that they be excluded from any or all licensed facilities, or 
(C) His or her criminal record clearance or exemption status in order to obtain a position with duties that are prohibited to him/her by a conditional exemption; or 
(2) Is on probation or parole. 
(A) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the Department may, in its discretion, grant a criminal record exemption notwithstanding Section 102370.1(h)(2). 
(i) The Department shall consider granting a criminal record exemption for an individual when the individual's criminal record history meets all of the applicable criteria specified in Sections 102370.1(i)(1) through (6) and the individual provides the Department with substantial and convincing evidence of good behavior as specified in Section 102370.1(c)(2)(D). For purposes of this section, a violent crime is a crime that, upon evaluation of the code section violated and/or the reports regarding the underlying offense, presents a risk of harm or violence. 
(1) The individual has been convicted of one nonviolent misdemeanor, and one year has lapsed since completing the most recent period of incarceration or probation. 
(2) The individual has been convicted of two or more nonviolent misdemeanors and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(3) The individual has been convicted of one or more violent misdemeanors and 15 consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(4) The individual has been convicted of one nonviolent felony and four consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(5) The individual has been convicted of two or more nonviolent felonies and ten consecutive years have lapsed since completing the most recent period of incarceration, probation or parole, whichever is latest. 
(6) The individual has not been convicted of a violent felony. 
(7) If the individual is currently on probation, and provides sufficient proof that the probationary period(s) is informal, unsupervised and no probation officer is assigned, the period of lapsed time required in Sections 102370.1(i)(1) through (5) above shall begin from the last date of conviction(s). 
(j) It shall be a rebuttable presumption that an individual is not of such good character as to justify the issuance of an exemption if the individual fails to meet the requirements specified in Sections 102370.1(i)(1) through (6). 
(k) The Department shall not grant an exemption if the individual has a conviction for any offense specified in Section 1596.871(f) of the Health and Safety Code.
(l) The Department shall consider granting a simplified criminal record exemption if the individual has the criminal history profile outlined in Sections 102370.1(l)(1) through (4) below: 
(1) The individual does not have a demonstrated pattern of criminal activity; 
(2) The individual has no more than one conviction; 
(3) The conviction is a misdemeanor and is a crime that is nonviolent and does not pose a risk of harm to an individual; and 
(4) It has been at least five consecutive years since the completion of the most recent period of incarceration or supervised probation. 
(m) At the Department's discretion, an individual who is otherwise eligible for a simplified exemption may be required to go through the standard exemption process if the Department determines such action will help to protect the health and safety of clients. 
(n) If the Department denies or cannot grant a criminal record exemption the Department will: 
(1) For initial applicants, deny the application.
(2) For current licensees, the Department may institute an administrative action, including, but not limited to, revocation of the license.
(3) For current employees, exclude the affected individual pursuant to Health and Safety Code Section 1596.8897, deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility.
(4) For individuals residing in the facility or the licensee, exclude the affected individual pursuant to Health and Safety Code Section 1596.8897, deny the application or revoke the license, if the individual continues to provide services and/or reside at the facility.
(5) Exemption denial notices shall specify the reason the exemption was denied.
(o) If a request for an exemption has been denied, the individual shall be excluded for a period of two years unless the individual has been convicted of a crime for which no exemption may be granted pursuant to Section102370.1(m). If a request for an exemption has been denied based on a conviction of a crime for which no exemption may be granted, the individual shall be excluded for the remainder of the individual's life. 
(1) If the Department determines during the review of an exemption request, that the individual was denied an exemption for a conviction of a crime for which an exemption may be granted within the preceding two years, the Department shall cease any further review of the request until two years have elapsed from the date of the denial. In cases where the individual requested a hearing on an exemption denial, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department upholding the denial. In cases where the individual submitted a petition for reinstatement or reduction in penalty pursuant to Government Code Section 11522 that was denied, the Department shall cease review of the request for an exemption until two years from the effective date of the decision and order of the Department denying the petition. 
(2) An exclusion order based solely upon a denied exemption shall remain in effect and the individual shall not be employed in or present in a licensed facility or certified home, unless either a petition or an exemption is granted. 
(3) If an individual who has previously been denied an exemption re-applies after the relevant time period described in Section 102370.1(o)(1) above, the Department may, in accordance with the provisions in Section 102370.1 et seq., grant or deny the subsequent request for an exemption. 
(4) If an individual submits a petition pursuant to Government Code Section 11522 for reinstatement or reduction of penalty for an exclusion, an individual must submit his/her fingerprints through an electronic fingerprinting system approved by the Department and submit to the Department a statement of the reason why the individual should be permitted to work or be present in a facility, along with all information required of an individual requesting a criminal record exemption as provided in Section 102370.1. If it is determined, based upon information provided by the Department of Justice, that the individual has been convicted of a crime for which no exemption may be granted, the petition shall be denied. An individual's failure to submit fingerprints or other information as requested by the Department, shall be grounds for denial of the petition. The burden shall be on the petitioner to prove sufficient rehabilitation and good character to justify the granting of the petition. 
(p) A licensee or applicant for a license may request a transfer of a criminal record exemption from one state licensed facility to another by providing the following documents to the Department: 
(1) A signed Criminal Record Exemption Transfer Request, LIC 9188 (Rev. 9/03). 
(2) A copy of the individual's: 
(A) Driver's license, or 
(B) Valid identification card issued by the Department of Motor Vehicles, or 
(C) Valid photo identification issued by another state or the United States Government if the individual is not a California resident. 
(3) Any other documentation required by the Department (e.g., LIC 508, Criminal Record Statement [Rev. 1/03] and job description). 
(q) The Department may consider factors including, but not limited to, the following in determining whether or not to approve the transfer of an exemption from one facility to another: 
(1) The basis on which the Department granted the exemption; 
(2) The nature and frequency of client contact in the new position; 
(3) The category of facility where the individual wishes to transfer; 
(4) The type of clients in the facility where the individual wishes to transfer; 
(5) Whether the exemption was appropriately evaluated and granted in accordance with existing exemption laws or regulations; or 
(6) Whether the exemption meets current exemption laws or regulations. 
(r) If the Department denies the individual's request to transfer a criminal record exemption, the Department shall provide the individual and the licensee with written notification that states the Department's decision and informs the affected individual of their right to an administrative hearing to contest the Department's decision. 
(s) A criminal record exemption may be transferred between state and county licensing agencies or between county licensing agencies provided:
(1) The transfer is to the same facility type.
(2) The individual and the licensing agency that processed the exemption submit a Substitute Agency Notification Request (BCII 9002) to the receiving licensing agency.
(3) The receiving licensing agency submits the Substitute Agency Notification Request (BCII 9002) to the Department of Justice.
(4) The Department of Justice approves the request and returns a completed BCII 9002 to the receiving agency.
(5) The licensing agency approves the exemption transfer after considering the following:
(A) The basis on which the licensing agency granted the exemption;
(B) Whether the exemption was appropriately evaluated and granted.
(t) At the Department's discretion, an exemption may be rescinded if it is determined that: 
(1) The exemption was granted in error or 
(2) The exemption does not meet current exemption laws or regulations or 
(3) The conviction for which an exemption was granted subsequently becomes non-exemptible by law. 
(u) The Department may rescind an individual's criminal record exemption if the Department obtains evidence showing that the individual engaged in conduct which is inconsistent with the good character requirement of a criminal record exemption, as evidenced by factors including, but not limited to, the following: 
(1) Violations of licensing laws or regulations; 
(2) Any conduct by the individual that indicates that the individual may pose a risk to the health and safety of any individual who is or may be a client; 
(3) Nondisclosure of a conviction or evidence of lack of rehabilitation that the individual failed to disclose to the Department, even if it occurred before the exemption was issued; or 
(4) The individual is convicted of a subsequent crime. 
(v) If the Department rescinds an exemption the Department shall: 
(1) Notify the licensee and the affected individual in writing; and 
(2) Initiate an administrative action. 
(w) If the Department learns that an individual has been convicted of a crime after obtaining a criminal record clearance or exemption, the Department, at its sole discretion, may initiate an administrative action to protect the health and safety of clients. 
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.871, 1596.885, 1596.8897 and 1597.59(b), Health and Safety Code; and Gresher v. Anderson (2005) 127 Cal. App. 4th 88.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment of subsection (a) filed 6-5-87; operative 7-5-87 (Register 87, No. 25).
3. Change without regulatory effect amending subsection (a) and adoption of subsections (b) and (c) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
4. Amendment of section heading and section filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 4 (Register 2000, No. 38). 
6. Certificate of Compliance as to 5-18-2000 order transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
7. Amendment of section and Note filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section and Note refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-11-2004 order, including further amendment of section, transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
11. Amendment of section and Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§102370.2. Child Abuse Central Index.
Note     •     History

(a) Prior to issuing a license for a family child care home, the Department shall check the Child Abuse Central Index (CACI) pursuant to Health and Safety Code Section 1596.877 and Penal Code Section 11170(b)(3).  The Department shall check the CACI for the applicant(s) and all individuals subject to a criminal record review pursuant to Health and Safety Code Section 1596.871(a) and shall have the authority to approve or deny a facility license, employment, residence or presence in the facility based on the results of the review.
(1) The applicant shall submit the Child Abuse Central Index checks (LIC 198A [3/99] for state licensed facilities and LIC 198 [02/01] for county licensed facilities) for all individuals required to be checked directly to the California Department of Justice at the same time that the individual's fingerprints are submitted for a criminal background check  as required by Section 102370(c)(2).
(A) Individuals who have submitted the Child Abuse Central Index check (LIC 198A [3/99]) for state licensed facilities and LIC 198 [4/99] for county licensed facilities) with fingerprints on or after January 1, 1999 need not submit a new check if the individual can transfer their criminal record clearance or exemption pursuant to Section 80019(e) or Section 80019.1(f).
(2) The Department shall investigate any reports received from the CACI.  The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report. The Department shall not deny a license based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
(b) Subsequent to licensure, all individuals subject to a criminal record review, pursuant to Health and Safety Code Section 1596.871 shall complete a Child Abuse Central Index check (LIC 198A [3/99]) for state licensed facilities and LIC 198 [02/01] for county licensed facilities), prior to employment, residence or initial presence in the family child care home.
(1) The licensee shall submit the Child Abuse Central Index checks (LIC 198A [3/99] for state licensed facilities and LIC 198 [02/01] for county licensed facilities) directly to the California Department of Justice at the same time that the individual's fingerprints are submitted for a criminal background check as required by Section 102370(c)(2).
(A) Individuals who have submitted the Child Abuse Central Index check (LIC 198A [3/99]) for state licensed facilities and LIC 198 [4/99] for county licensed facilities) with fingerprints on or after January 1, 1999 need not submit a new check if the individual can transfer their criminal record clearance or exemption pursuant to Section 80019(e) or Section 80019.1(f).
(2) The Department shall check the Child Abuse Central Index (CACI) pursuant to Penal Code Section 11170(b)(3).  The Department shall investigate any reports received from the CACI.  The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report.  The Department shall not deny a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
(3) The Department shall investigate any subsequent reports received from the CACI.  The investigation shall include, but not be limited to, the review of the investigation report and file prepared by the child protective agency that investigated the child abuse report.  The Department shall not revoke a license or take any other administrative action based upon a report from the CACI unless the Department substantiates the allegation of child abuse.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference:  Sections 1596.81(b) and 1596.871, Health and Safety Code
HISTORY

1. New section filed 5-18-2000 as an emergency; operative 5-18-2000 (Register 2000, No. 20). Pursuant to Section 73 of Senate Bill 933, Chapter 311, Statutes of 1998 a Certificate of Compliance must be transmitted to OAL by 11-14-2000 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2000, No. 38). 
3. Certificate of Compliance as to 5-18-2000 order, including further amendment of subsection (a)(1), transmitted to OAL 11-14-2000 and filed 12-19-2000 (Register 2000, No. 51).
4. Amendment of subsection (b)(1) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b)(1) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b)(1) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsection (b), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§102371. Fire Safety Clearance.
Note     •     History

(a) A fire safety clearance approved by the city or county fire department, the district providing fire protection services, or the State Fire Marshal shall be required for a large family child care home.
(1) For purposes of Section 102371, “nonambulatory persons” includes the following persons who would be unable to leave a building unassisted under emergency conditions:
(A) Any person who is unable, or likely to be unable, to physically and mentally respond to a sensory signal approved by the State Fire Marshal, or an oral instruction relating to fire danger; and
(B) Persons who depend upon mechanical aids such as crutches, walkers, and wheelchairs.
(2) The Director of Social Services or his/her designated representative, in consultation with the Director of Developmental Services or his/her designated representative, shall determine the ambulatory or nonambulatory status of persons with developmental disabilities.
(3) The Director of Social Services or his/her designated representative shall determine the ambulatory or nonambulatory status of all other disabled persons placed after January 1, 1984, who are not developmentally disabled.
(b) A fire clearance shall not be required for a small family child care home.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.78, 1596.81(b), 1597.44, 1597.45, 1597.465, 13131, 13131.3 and 13143, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 12-30-87 as an emergency; operative 1-1-88 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-2-88.
3. Certificate of Compliance transmitted to OAL 4-28-88 and filed 5-31-88 (Register 88, No. 30).
4. Change without regulatory effect amending subsection (a) and  adopting subsections (a)(1)-(b)(2) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
5. Amendment of subsections (a) and (b), repealer of subsections (b)(1) and (b)(2), and amendment of Note filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§102383. Term of a License.
Note     •     History

(a) Except as specified in Section 102368, a license remains in effect until it is:
(1) Forfeited or surrendered as specified in Health and Safety Code Section 1596.858.
(2) Suspended or revoked as specified in Section 102393.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Section 1596.858, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
2. Amendment of section heading, repealer and new section, and amendment of Note filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§102383.1. Expiration of Registration.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b) and 1597.62, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing Section 102383.1 (Register 86, No. 29).
§102384. Licensing Fees.
Note     •     History

(a) An applicant or licensee shall be charged fees as specified in Health and Safety Code Section 1596.803:
(b) When a licensee moves a facility from one location to another, the relocation fee shall be as specified in Health and Safety Code Section 1596.803(b)(1)(A).
(1) To qualify for the relocation fee, the following shall apply:
(A) The licensee has notified the Department before actually relocating the facility.
(B) The facility category remains the same when relocating the facility.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73 and 1596.803, Health and Safety Code.
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
2. Change without regulatory effect amending section heading, section and Note filed 6-15-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 24).
Article 4. Enforcement Provisions
§102391. Inspection Authority of the Department.
Note     •     History

(a) Any duly authorized officer, employee, or agent of the Department shall, upon presentation of proper identification, enter and inspect any place providing personal care, supervision, and services at any time, with or without advance  notice, to secure compliance with, or to prevent a violation of, the regulations adopted by the Department governing family child care homes, and in accordance with Section 102396.
(b) The licensee shall permit the Department to inspect the family child care home, and to privately interview children or staff, to determine compliance with or to prevent violations of family child care laws or regulations. The Department shall exercise this authority as specified in Health and Safety Code Section 1596.8535(a).
(c) The licensee shall permit the Department to inspect any part of the family child care home in which family child care services are provided or to which children have access.
(d) The licensee shall permit the Department to inspect, audit, and copy children's records or other family child care home records upon demand during normal business hours. Records may be removed if necessary for copying. Removal of records shall be subject to the following requirements: 
(1) Licensing representatives shall not remove the following current records unless the same information is otherwise readily available in another document or format: 
(A) Current emergency information cards for current children in care as specified in Section 102417(g)(7). 
(B) The current roster of children in care as specified in Section 102417(g)(8). 
(C) Children's immunization records as specified in Section 102418(g). 
(D) Documentation of completion of health and safety training by the licensee and other personnel as specified in Sections 102368(d) and 102416(c). 
(E) Any other records containing current emergency or health-related information for current children in care or staff. 
(2) Prior to removing any records, a licensing representative shall prepare a list of the records to be removed, sign and date the list upon removal of the records, and leave a copy of the list with the licensee or designated substitute. 
(3) Licensing representatives shall return the records undamaged and in good order within three business days following the date the records were removed. 
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.852, 1597.55a and 1597.55b, Health and Safety Code; Rush v. Obledo (9th Cir. 1985) 756 F.2d 713;  and Golden Day Schools, Inc. v. Pirillo (C.D. Cal. 2000) 118 F. Supp. 2nd 1037.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
3. Change without regulatory effect amending subsections (c), (d) and (e) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
4. Renumbering of former article 5 to article 4, renumbering of former section 102391 to new section 102401, and renumbering and amendment of former section 102395 to new section 102391 filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
5. Amendment of section heading and subsection (b), new subsections (d)-(d)(3) and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§102392. Site Visits.
Note     •     History

(a) Site visits to family child care homes shall be conducted as specified in Health and Safety Code Sections 1596.8535(a) [as referenced in Section 102391(b)] and 1597.55a. 
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b), 1596.852, 1597.55a and 1597.55b, Health and Safety Code; and Section 18285.5, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 102396 to new section 102392, including amendment of section and Note, filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
2. Repealer and new section and amendment of Note filed 5-9-2005; operative 6-8-2005 (Register 2005, No. 19).
§102393. Unlicensed Facility Penalties.
Note     •     History

(a) A penalty of $200 per day shall be assessed for the operation of an unlicensed facility under either of the following conditions:
(1) The operator has not submitted a completed application for licensure within 15 calendar days of issuance of a Notice of Operation in Violation of Law pursuant to Section 102357, and continues to operate.
(A) For purposes of this section, an application shall be deemed completed if it includes the information required in Section 102369.
(B) The completed application shall be deemed to be submitted when received by the licensing agency.
(2) Unlicensed operation continues after denial of the initial application.
(A) Notwithstanding any appeal action, facility operation must cease within 10 calendar days of the mailing of the notice of denial or upon receipt of the denial notice by the operator, whichever occurs first.
(b) The $200 per day penalty shall be assessed for the continued operation of an unlicensed facility as follows:
(1) On the 16th calendar day after the operator has been issued the Notice of Operation in Violation of Law, and has not submitted a completed application as required.
(A) The $200 per day penalty shall continue until the operator ceases operation or submits a completed application pursuant to Sections 102393(a)(1)(A) and (B).
(2) Within 10 calendar days of the mailing of notice of denial or upon receipt of the denial notice by the operator, whichever occurs first.
(A) The $200 per day penalty shall continue until the operator ceases operation.
(c) If the unlicensed operator or his/her representative reports to the Department that unlicensed operation has ceased, the penalty shall cease as of the day the Department receives the notification.
(1) A site visit shall be made immediately or within five working days to verify that the unlicensed facility operation has ceased.
(2) Notwithstanding (c) above, if the unlicensed facility operation has not ceased, penalties shall continue to accrue without interruption from the date of initial penalty assessment.
(d) All penalties shall be due and payable upon receipt of the Notice for Payment from the licensing agency, and shall be paid only by check or money order made payable to the agency indicated in the notice.
(e) The Department shall have the authority to file a claim in a court of competent jurisdiction or to take other appropriate action for failure to pay penalties as specified in (d) above.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.80, 1596.891 and 1596.892, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (a) and adopting subsections (a)(1)-(e)(1) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
2. Editorial correction of History 1 (Register 95, No. 25).
3. Subsection redesignation filed 9-26-95; operative 10-26-95 (Register 95, No. 39).
4. Renumbering of former section 102393 to new section 102402, and renumbering and amendment of former section 102402 to new section 102393 filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§102394. Unlicensed Facility Administrative Appeal.
Note     •     History

(a) An unlicensed facility operator or his/her representative shall have the right to appeal the penalty assessment within 10 working days after service of the penalty assessments.
(1) If the unlicensed facility operation has not ceased, the $200 per day penalty shall continue to accrue during the appeal process.
(b) The appeal review shall be conducted by a higher level staff person than the evaluator who issued the penalty.
(c) If the reviewer of the appeal determines that the penalty assessment was not issued in accordance with applicable statues and regulations of the Department, he/she shall have the authority to amend or dismiss the penalty assessment.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.80, 1596.891 and 1596.893, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Renumbering of former section 102394 to new section 102403, and renumbering of former section 102403 to new section 102394 filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§102395. Penalties.
Note     •     History

(a) An immediate penalty of $100 per cited violation per day for a maximum of five (5) days shall be assessed for the following: 
(1) Failure to obtain a California clearance or criminal record exemption, request a transfer of a criminal record clearance or request and be approved for a transfer of an exemption as specified in Section 102370(d) for any individual required to be fingerprinted under Health and Safety Code Section 1596.871 prior to allowing the individual to work, reside or volunteer in the facility. 
(A) Subsequent violations within a twelve (12) month period will result in a civil penalty of one hundred dollars ($100) per violation per day for a maximum of thirty (30) days.
(B) The Department may assess civil penalties for continued violations as permitted by Health and Safety Code Section 1596.99. 
(2) Failure to provide a copy of the “Addendum to Notification of Parent's Rights Regarding Exclusion” of an individual from the home, to one parent or authorized representative of every child in care. 
(A) The requirement to provide a copy shall include the parent of each new child enrolled as long as the exclusion is in effect. 
(B) The copy shall be provided on the next day that the child receives care. 
(3) Failure to provide a copy of the “Addendum to Notification of Parent's Rights Regarding Reinstatement” permitting an individual to return to the home, to every parent or authorized representative who received a copy of the “Addendum to Notification of Parent's Rights Regarding Exclusion” and whose child is still in care. 
(4) Failure to obtain, and keep in the home, a parent's or authorized representative's signature indicating that he/she has been provided with each Addendum. 
(A) This section shall be cited only if there is evidence that the parent or authorized representative was notified, but a signature was not obtained or was not maintained. 
(5) Failure to provide signed addenda to the Department, when requested. 
(b) For purposes of Sections 102395(a)(2), (3) and (4) above, a violation shall be cited for each parent or authorized representative that has not been notified or has not signed the form acknowledging receipt of the notice. 
(c) Progressive civil penalties specified in Health and Safety Code Section 1596.99 shall not apply to penalties assessed for violation of Sections 102395(a)(1) through (5) above. 
(d) Unless otherwise provided, all penalties are due and payable upon receipt of notice for payment, and shall be paid only by check or money order made payable to the agency indicated in the notice. 
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.871, 1596.8712(d) and 1596.99, Health and Safety Code. 
HISTORY

1. New section filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30). For prior history see Register 97, No. 41.
2. Amendment of subsection (a)(1) and new subsections (a)(1)(A)-(a)(1)(A)(i) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
3. Change without regulatory effect amending subsection (c) filed 9-8-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 37).
4. Amendment of subsection (a)(1) and new subsections (a)(1)(A)-(a)(1)(A)(i) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a)(1) and new subsections (a)(1)(A)-(a)(1)(A)(i) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsections (a) and (a)(1)(A) and repealer of subsection (a)(1)(A)(i), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
7. Amendment of subsections (a)-(a)(1), new subsection (a)(1)(A), subsection relettering, amendment of newly designated subsection (a)(1)(B) and amendment of Note filed 7-11-2006; operative 8-10-2006 (Register 2006, No. 28).
§102396. Site Visits.
Note     •     History

NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b), 1596.852, 1597.55 and 1597.62(d), Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Change without regulatory effect amending subsection (a) and adopting subsections (a)(1)-(a)(5)(B) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
3. Renumbering of section 102396 to section 102392 filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
Article 5. Administrative Actions
§102401. Denial of a License.
Note     •     History

(a) When the requirements for licensure are not met, the Department shall deny the application within 30 days after receipt of a completed application.
(b) The Department shall have the authority to deny an application for initial license, if the applicant has failed to pay any civil penalty assessments pursuant to Section 102393, and in accordance with a final judgment issued by a court of competent jurisdiction, unless payment arrangements acceptable to the Department have been made.
(c) Immediately upon the denial of any application for a license, the Department shall notify the applicant in writing. Within 15 days after the Department mails the notice, the applicant may present his or her written petition for a hearing to the Department. Upon receipt by the Department of the petition, the petition shall be set for hearing. The hearing shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(d) An application for licensure shall not be denied solely on the basis that the applicant is a parent who has administered or will continue to administer corporal punishment, not constituting child abuse, on his/her own child(ren).
(1) For the purposes of Section 102401(d), child abuse means a situation in which a child suffers from one or more of the following:
(A) Physical injury which is inflicted by other than accidental means on a child by another person.
(B) Sexual assault of a child or any act or omission described in Sections 102370(c)(4) and (5).
(C) Neglect of a child or abuse in out-of-home care.
(D) Serious physical injury inflicted upon the child by other than accidental means.
(E) Harm by reason of intentional neglect or malnutrition or sexual abuse.
(F) Going without necessary and basic physical care.
(G) Willful mental injury, negligent treatment, or maltreatment of a child under the age of 18 by a person who is responsible for the child's welfare under circumstances which indicate that the child's health or welfare is harmed or threatened thereby, as determined in accordance with regulations prescribed by the Director of Social Services.
(H) Any condition which results in the violation of the rights or physical, mental, or moral welfare of a child or jeopardizes the child's present or future health, opportunity for normal development, or capacity for independence.
(e) No limitation shall be imposed on the licensee or printed on the license solely on the basis of a written or oral admission by the licensee to the use of corporal punishment, not constituting child abuse pursuant to Section 102401(d)(1), on his/her own child(ren).
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1531.5, 1596.81(b), 1596.856, 1596.891 and 1597.59, Health and Safety Code.
HISTORY

1. Renumbering of former article 5 to new article 4 and renumbering of former article 4 to new article 5, and renumbering of former section 102391 to new section 102401, including amendment of section and Note, filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§102402. Revocation or Suspension of A License or Registration.
Note     •     History

(a) The Department shall have the authority to suspend or revoke any license for the following reasons:
(1) Violation by the licensee of any of the laws, rules and regulations governing family child care homes.
(2) Aiding, abetting, or permitting the violation of any of the laws, rules, and regulations governing family child care homes.
(3) Conduct in the operation of maintenance of a family day care home which is inimical to the health, morals, welfare, or safety of either an individual in or receiving services from the facility or the people of the State of California.
(4) The conviction of a licensee, or other person specified in Section 102369(b)(8), as any time during licensure, of a crime as defined in Sections 102370(b) and (c).
(5) Failure to comply with the requirements for training in preventive health practices, including pediatric cardiopulmonary resuscitation and pediatric first aid, as specified in Health and Safety Code Section 1596.866.
(b) The Director may temporarily suspend any license prior to any hearing when, in the opinion of the Director, the action is necessary to protect any child in a family child care home from physical or mental abuse, abandonment or any other substantial threat to health or safety.
(c) The Director shall notify the licensee of the temporary suspension and the effective date thereof and at the same time shall serve the provider with an accusation.
(1) Upon receipt of a notice of defense to the accusation by the licensee, the Director shall, within 15 days, set the matter for hearing, and the hearing shall be held as soon as possible, but not later than 30 days after receipt of the notice.
(d) The temporary suspension shall remain in effect until such time as the hearing is completed and the Director has made a final determination on the merits.
(1) The temporary suspension shall be deemed vacated if the Director fails to make a final determination of the merits within 30 days after the original hearing has been completed.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.866, 1596.885 and 1596.886, Health and Safety Code.
HISTORY

1. New section filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Renumbering of former section 102402 to new section 102393, and renumbering and amendment of former section 102393 to new section 102402 filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§102402.1. Denial or Revocation of License for Failure to Pay Civil Penalties.
Note     •     History

(a) The licensee shall be responsible for paying civil penalties. 
(1) Unless otherwise provided, the transfer, surrender, forfeiture or revocation of a license shall not affect the licensee's responsibility for paying any civil penalties accrued while the license was in effect. 
(b) The Department shall have the authority to deny or revoke any license for failure to pay civil penalty assessments. 
(1) The Department shall have the authority to approve payment arrangements acceptable to the Department. 
(2) The Department shall have the authority to approve the form of payment. 
(3) The licensee's failure to pay civil penalty assessments pursuant to a payment plan approved by the Department may result in the denial or revocation of any license, and/or any other appropriate action. 
(c) Any denial or revocation of the license for failure to pay civil penalties may be appealed as provided by Health and Safety Code Section 1596.887. 
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.871 and 1596.99, Health and Safety Code. 
HISTORY

1. New section filed 7-27-2001; operative 8-26-2001 (Register 2001, No. 30).
§102403. Licensee Complaints.
Note     •     History

(a) Each licensee shall have the right, without prejudice or risk of discriminatory treatment by the Department, to bring to the attention of the Department any action or behavior by the departmental representative that he/she believes is a wrongful application of these regulations, or capricious enforcement of them.
(b) The licensee shall have the right to complain to the Department regarding a review of any disputed issues.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.81(b) and 1597.56, Health and Safety Code.
HISTORY

1. New section filed 8-17-88; operative 9-16-88 (Register 88, No. 34).
2. Renumbering of former section 102403 to new section 102394, and renumbering and amendment of former section 102394 to new section 102403 filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
Article 6. Continuing Requirements
§102416. Personnel Requirements.
Note     •     History

(a) The licensee shall provide each employee with a copy of the Notice of Employee Rights (LIC 9052 (4/88)) form furnished by the Department.
(1) Each employee shall be requested to sign and date the notice form acknowledging receipt.
(2) A copy of the signed notice form shall be retained in the employee's personnel record.
(3) If the employee refuses to sign the notice form, a dated notation to that effect shall be retained in the employee's personnel record.
(b) A claim by the employee alleging the violation by the licensee of Section 102416(a) shall be presented to the licensee within 45 days after the action as to which complaint is made and presented to the Division of Labor Standards Enforcement not later than 90 days after the action as to which complaint is made.
(c) The licensee and other personnel as specified shall complete training on preventive health practices, including pediatric cardiopulmonary resuscitation and pediatric first aid, pursuant to Health and Safety Code Section 1596.866.
(d) Prior to employment or initial presence in the child care home, all employees and volunteers subject to a criminal record review shall: 
(1) Obtain a California clearance or a criminal record exemption as required by law or Department regulations or 
(2) Request a transfer of a criminal record clearance as specified in Section 102370(j) or 
(3) Request and be approved for a transfer of a criminal record exemption, as specified in Section 102370.1(p), unless, upon request for a transfer, the Department permits the individual to be employed, reside or be present at the facility.  
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.866, 1596.880, 1596.881 and 1596.882, Health and Safety Code.
HISTORY

1. New section filed 9-6-89; operative 10-6-89 (Register 89, No. 37).
2. Change without regulatory effect amending section filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
3. New subsection (c) and amendment of Note filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
4. New subsections (d)-(d)(3) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
5. New subsections (d)-(d)(3) refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
6. New subsections (d)-(d)(3) refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsection (d)(1), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§102416.1. Personnel Records.
Note     •     History

(a) Personnel records shall be maintained on each employee and shall contain the following information: 
(1) Employee's full name. 
(2) Driver's license number if the employee is to transport children. 
(3) Date of employment. 
(4) Date of birth. 
(5) Current home address and phone number. 
(6) Documentation of completion of training on preventative health practices as required by Section 102416(c). 
(7) Past experience, including types of employment and former employers. 
(8) Duties of the employee. 
(9) Termination date if no longer employed. 
(10) A signed and dated copy of the Notice of Employee Rights [LIC 9052, (Rev. 03/03)] as required by Section 102416(a) and Section 102417. 
(11) A signed statement regarding their criminal record history as required by Section 102370(c). 
(12) Documentation of either a criminal record clearance or a criminal record exemption as required by Section 102370(d). 
(b) Personnel records shall be maintained for all volunteers and shall contain the following: 
(1) For volunteers that are required to be fingerprinted pursuant to Section 102370: 
(A) A signed statement regarding their criminal record history as required by Section 102370(c). 
(B) Documentation of either a criminal record clearance or a criminal record exemption as required by Section 102370(d). 
(c) All personnel records shall be kept for at least three years following termination of employment/volunteer work. 
(d) All personnel records shall be maintained at the child care home and shall be available to the licensing agency for review. 
NOTE

Authority cited: Sections 1596.81 and 1596.871, Health and Safety Code. Reference: Sections 1596.81, 1596.871, 1596.885 and 1596.8897, Health and Safety Code. 
HISTORY

1. New section filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-11-2004 order transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§102416.2. Reporting Requirements.
Note     •     History

(a) The licensee shall report the following information to the Department by telephone or fax within the Department's next business day and during normal working hours (8am to 5pm).
(1) If the applicant or licensee operates a foster family home as defined in Health and Safety Code Section 1502(a)(5) or a certified family home as defined in Health and Safety Code Section 1506(d).
(2) Any change in household composition including adults moving in or out of the home and anyone living in the home who reaches his or her 18th birthday.
(b) The licensee shall report to the Department any of the events as specified in Health and Safety Code Sections 1597.467(b)(1)(A) through (b)(1)(C) that occur during the operation of the family child care home.
(1) Medical treatment means treatment by a medical professional, as defined in Section 101152(m).
(2) Any child absence means any instance where a child in care is missing. For example, any child in care who wanders away from the Family Child Care Home, is lost during an outing, or does not return from school, shall be reported even if the child is later found safe.
(c) In addition to the events specified in Health and Safety Code Sections 1597.467(b)(1)(A) through (b)(1)(C), the licensee shall report the following events to the Department:
(1) Any suspected child abuse or neglect, as defined in Penal Code Section 11165.6, of any child in care, in addition to reporting requirements pursuant to Penal Code Section 11166.
(2) Fires or explosions occurring in or on the premises of the family child care home.
(A) Within 24 hours, the licensee additionally shall report to the local fire authority, or in areas not having organized fire services, to the State Fire Marshal.
(3) A communicable disease outbreak when determined by the local health authority.
(4) Poisonings.
(d) The licensee shall report to the Department as provided by Health and Safety Code Sections 1597.467(b)(1) and (2).
(e) The written report shall be either Form LIC 624B (8/06) Unusual Incident/Injury Report--Family Child Care Home, or a letter that includes the following information, in addition to that required by Health and Safety Code Sections 1597.467(b)(2)(A) through (b)(2)(D):
(1) Child's date of birth.
(2) Child's or parent's primary language, (e.g. English, Spanish, Chinese, Russian).
(3) Time the incident or injury happened.
(4) Date that the parent or authorized representative was notified their child was injured or subjected to any act of violence.
(5) Description of how the incident or injury happened and name of the child(ren) or adult(s) that may have been involved as well as any steps taken to prevent the incident or injury from recurring.
(6) Name and telephone number of any physician or other health care provider that examined the child.
(7) Any agency notified, person contacted, date of the contact, and the telephone or fax number of that agency or person.
(f) As soon as possible but not later than the same business day, the licensee shall notify a child's parent or authorized representative of the injuries or acts that affect that child as specified in Health and Safety Code Section 1597.467(a).
(1) Any injury suffered by a child in care shall be reported to that child's parent or authorized representative regardless of treatment by a medical professional.
(2) Reportable acts of violence include, but are not limited to, those that occur whenever any child in care is a victim of, or subjected to witnessing, others' use of great physical force resulting in bodily harm, or dangerous activity, such as illegal drug use or gunfire.
(g) In addition to the requirements of Health and Safety Code Section 1597.467(a), no later than the same business day, the licensee shall notify a child's parent or authorized representative of the events to be reported to the Department pursuant to Sections 102416.2(b) and (c) that affect that child.
(h) The licensee shall keep a copy of the letter or completed LIC 624B (8/06) (Unusual Incident/Injury Report -- Family Child Care Home) in the child's record for the time period specified in Section 102421(a)(1).
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1502, 1506, 1596.72, 1596.73 and 1597.467, Health and Safety Code; Sections 11165.6 and 11166, Penal Code.
HISTORY

1. New section filed 8-11-2006; operative 9-10-2006 (Register 2006, No. 32).
§102416.3. Alterations to Existing Building or Grounds.
Note     •     History

(a) Prior to making alterations or additions to a family child care home or grounds, the licensee shall notify the Department of the proposed changes, including, but not limited to, the following:
(1) Conversion of a garage (either attached or detached) into a “child care” room.
(2) Room additions to the family child care home.
(3) Installation of in-ground or above-ground swimming pools, spas, fish ponds, decorative water feature, fountains or other bodies of water.
(4) Construction of exterior decks or porches.
(5) Construction of play equipment including swing sets/climbing structures.
(6) Any change from an area of the family child care home previously identified as “off limits” to an area where care and supervision will be provided to children in care.
(b) The licensee shall provide the Department with a copy of an inspection report when an inspection is requrired by the local building inspector as a result of the alteration, addition or construction.
NOTE

Authority cited: Section 1596.81, Health and Safety Code.  Reference: Sections 1596.72 and 1596.73, Health and Safety Code.
HISTORY

1. New section filed 8-11-2006; operative 9-10-2006 (Register 2006, No. 32).
§102416.5. Staffing Ratio and Capacity.
Note     •     History

(a) The capacity specified on the license shall be the maximum number of children for whom care can be provided.
(b) For a small family child care home, the maximum number of children for whom care shall be provided, including children under age 10 who live in the licensee's home, shall be one of the following:
(1) Four infants; or
(2) Six children, no more than three of whom may be infants; or
(c) For a large family child care home, the maximum number of children for whom care shall be provided when there is an assistant provider in the home, including children under age 10 who live in the licensee's home and the assistant provider's children under age 10, shall be either:
(1) Twelve children, no more than four of whom may be infants; or
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.78, 1597.44, 1597.465 and 1597.57, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (c) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
2. Amendment of subsections (a), (b) and Note filed 9-26-95; operative 10-26-95 (Register 95, No. 39).
3. Amendment of section and Note filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
§102417. Operation of a Family Child Care Home.
Note     •     History

(a) The licensee shall be present in the home and shall ensure that children in care are supervised at all times. When circumstances require the licensee to be temporarily absent from the home, the licensee shall arrange for a substitute adult to care for and supervise the children during his/her absence. Temporary absences shall not exceed 20 percent of the hours that the facility is providing care per day.
(b) The home shall be kept clean and orderly, with heating and ventilation for safety and comfort.
(c) The home shall maintain telephone service.
(d) The home shall provide safe toys, play equipment and materials.
(e) When a child shows signs of illness he/she shall be separated from other children and the nature of the illness determined. If it is a communicable disease he/she shall be separated from other children until the infectious stage is over.
(f) If food is brought from the children's homes, the container shall be labeled with the child's name and properly stored or refrigerated.
(g) The home shall be free from defects or conditions which might endanger a child. Safety precautions shall include but not be limited to:
(1) Fireplaces and open-face heaters shall be screened to prevent access by children. The home shall contain a fire extinguisher and smoke detector device which meet standards established by the State Fire Marshal.
(2) Gas heaters shall be properly vented and permanently installed.
(3) Where children less than five years old are in care, stairs shall be fenced or barricaded.
(4) Poisons, detergents, cleaning compounds, medicines , firearms and other items which could pose a danger if readily available to children shall be stored where they are inaccessible to children.
(A) Storage areas for poisons, firearms and other dangerous weapons shall be locked.
(B) In lieu of locked storage of firearms, the licensee may use trigger locks or remove the firing pin.
1. Firing pins shall be stored and locked separately from firearms.
(C) Ammunition shall be stored and locked separately from firearms.
(5) All licensees shall ensure the inaccessibility of pools (in-ground and above-ground), fixed-in-place wading pools, hot tubs, spas, fish ponds and similar bodies of water through a pool cover or by surrounding the pool with a fence.
(A) Fences shall be at least five feet high and shall be constructed so that the fence does not obscure the pool from view.  The bottom and sides of the fence shall comply with Division 1, Appendix Chapter 4 of the 1994 Uniform Building Code.  In addition to meeting all of the aforementioned requirements for fences, gates shall swing away from the pool, self-close and have a self-latching device located no more than six inches from the top of the gate.  Pool covers shall be strong enough to completely support the weight of an adult and shall be placed on the pool and locked while the pool is not in use.  
1. If licensed prior to June 1, 1995, facilities with existing pool fencing shall be exempt from the fencing requirements specified in Section 102417(g)(5)(A) until such fence is replaced or structurally altered.  If the licensee replaces or alters the fence, it shall be required to meet these requirements.
(B) Where an above-ground pool structure is used as the fence or where the fence is mounted on top of the pool structure, the pool shall be made inaccessible when not in use by removing or making the ladder inaccessible or erecting a barricade to prevent access to decking.  If a barricade is used, the barricade shall meet the requirements of Section 102417(g)(5)(A).
(6) Outdoor play areas shall either be fenced, or outdoor play areas shall be supervised by the licensee or caregiver.
(A) Outdoor play areas shall not include any area made inaccessible by fencing pursuant to Section 102417(g)(5).
(B) Where natural or man-made hazards such as canals, cliffs, condemned buildings, creeks, ditches, lakes, ocean fronts, mines, power lines, quarries, rivers, ravines, swamps, watercourses, and areas subject to flooding lie on or adjacent to the facility premises, the outdoor play area shall be inaccessible to such hazards.
1. Where a fence or wall is used to make the outdoor play area inaccessible, the requirements of Section 102417(5)(A) shall be met.
(7) An emergency information card shall be maintained for each child and shall include the child's full name, telephone number and location of a parent or other responsible adult to be contacted in an emergency, the name and telephone number of the child's physician and the parent's authorization for the licensee or registrant to consent to emergency medical care.
(8) Each family child care home shall have a current roster of children as specified in Health and Safety Code Section 1596.841.
(9) Each family child care home shall have a written disaster plan of action prepared on a form approved by the Department. All children, age and ability permitting, and the provider, the assistant provider, and other members of the household, shall be instructed in their duties under the disaster plan. As their age and ability permit, newly enrolled children shall be informed promptly of their duties as required in the plan.
(A) Each family child care home shall conduct fire drills and disaster drills at least once every six months.
1. The licensee shall document the drills, including the date and time of each drill. This documentation shall kept at the family child care home.
(10) A baby walker shall not be allowed on the premises of a family child care home in accordance with Health and Safety Code Sections 1596.846(b) and (c).
(h) Only drivers licensed for the type of vehicle to be operated shall be permitted to transport children in care.
(i) The manufacturer's rated seating capacity of the vehicle shall not be exceeded.
(j) Motor vehicles used to transport children in care shall be maintained in safe operating condition.
(k) All vehicle occupants must be secured in an appropriate restraint system.
(2) Children shall not be left in parked vehicles.
(l) When transporting infants in any motor vehicle, the licensee shall secure the infants in a car seat, designed for infants, which is secured in the vehicle in accordance with manufacturer's instructions.
(m) The licensee or registrant shall maintain one of the following:
(1) Liability insurance kept in force covering injury to clients and guests in the amount of at least one hundred thousand dollars ($100,000) per occurrence and three hundred thousand dollars ($300,000) in the total annual aggregate, sustained on account of the negligence of the licensee or its employees.
(2) A bond in the aggregate amount of three hundred thousand dollars ($300,000).
(3) A file of affidavits signed by each parent with a child enrolled in the home. The affidavit shall state that the parent has been informed that the family child care home does not carry liability insurance or a bond according to standards established by the state.
(A) If the provider does not own the premises used as the family child care home, the affidavit shall also state that the parent has been informed that the liability insurance, if any, of the owner of the property or the homeowners' association, as appropriate, may not provide coverage for losses arising out of, or in connection with, the operation of the family child care home, except to the extent that the losses are caused by , or result from, an act or omission by the owner of the property of the homeowners' association, for which the owner of the property or the homeowners' association would otherwise be liable under the law.
(B) These affidavits shall be on a form provided by the Department and shall be reviewed at each licensing inspection.
(C) For purposes of Sections 102417(m) and (n), “homeowners' association” is an association of a common interest development, as defined in Section 1351 of the Civil Code.
(n) A family child care home that maintains liability insurance or a bond pursuant to Section 102417(b)(1) or (2), and that provides care in premises that are renewed or leased or uses premises which share common space governed by a homeowners' association, shall name the owner of the property or the homeowners' association, as appropriate, as an additional insured party on the liability insurance policy or bond if all of the following conditions are met:
(1) The owner of the property or governing body of the homeowners' association makes a written request to be added as an additional insured party.
(2) The addition of the owner of the property or the homeowners' association does not result in cancellation or nonrenewal of the insurance policy or bond carried by the family day care home.
(3) Any additional premium assessed for this coverage is paid by the owner of the property or the homeowners' association.
(o) The licensee shall maintain proof of control of property at the family child care home for review by the Department.
(1) If the licensee owns or is buying the home, this is a copy of the property deed, the property tax statement, or a payment coupon from the mortgage company or bank.
(2) If the licensee is operating on rented or leased property, this is a copy of the rental agreement or lease.
(p) A licensee who operates on rented or leased property, and who wishes to increase the capacity of the family child care home as specified in Section 102416.5(b)(3) or Section 102416.5(c)(1), shall obtain the written consent of the property owner/landlord to increase the home's capacity to eight or 14 children.
(1) The original of the completed and signed consent form shall be attached to the family child care home's license and kept on file in the home.
(q) A signed and dated copy of LIC 9052 (4/88), Notice of Employee Rights, shall be maintained in the employee's personnel record.
(r) Upon notice from the Department to remove an individual from the home, pursuant to Health and Safety Code Section 1596.871(c)(2), or to exclude an individual from the home, pursuant to Health and Safety Code Section 1596.8897, the licensee shall; 
(1) Immediately remove the individual and prevent the individual from returning to the home or having contact with children in care. 
(2) Provide a copy of the Addendum to Notification of Parent's Rights (Regarding Removal/Exclusion) (LIC 995B, Rev. 05/03) to one parent or authorized representative of every child currently in care within one day of receipt of the notice and addendum from the Department. 
(A) Upon notice from the Department that the individual may return to the home, provide a copy of the Addendum to Notification of Parent's Rights (Regarding Reinstatement) (LIC 995C, Rev. 03/01) to one parent or authorized representative of every child currently in care within one day of receipt of the notice and addendum from the Department. 
(3) Obtain a signed and dated receipt from one parent or authorized representative that acknowledges that he/she was given a copy of the addendum specified in Section 102417(r)(2). 
(4) Maintain copies of the signed and dated receipt required in Section 102417(r)(3) in each child's file. Copies shall be made available to the Department upon request. 
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.78, 1596.81(b), 1596.841, 1596.846(b) and (c), 1596.880, 1596.881, 1596.882, 1597.30, 1597.44, 1597.45, 1597.46, 1597.465, 1597.531 and 1597.54(b)(2), Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. New subsections (h)-(k) filed 3-31-87; effective thirtieth day thereafter (Register 87, No. 14).
3. Change without regulatory effect of subsection (g) (Register 87, No. 43).
4. New subsection (m) filed 7-6-88; operative 8-5-88 (Register 88, No. 28).
5. New subsection (o) filed 9-6-89; operative 10-6-89 (Register 89, No. 37).
6. Editorial correction of NOTE (Register 89, No. 44).
7. Change without regulatory effect amending lettering and correcting cross-references filed 5-28-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 28).
8. Change without regulatory effect amending subsections (g) and (m) and adopting subsections (m)(1)-(n)(3) and relettering of subsection (n) to (o) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
9. Amendment of subsection (g)(1) and Note filed 9-26-95; operative 10-26-95 (Register 95, No. 39).
10. Amendment of subsections (g)(5)-(g)(5)(A), new subsections (g)(5)(A)1.-(g)(5)(B), amendment of subsection (g)(6) and new subsections (g)(6)(A)-(g)(6)(B)1. filed 8-14-96; operative 9-13-96 (Register 96, No. 33).
11. Editorial correction of subsection (g)(5)(A)1. (Register 97, No. 41).
12. Amendment of section heading, section and Note filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
13. New subsections (r)-(r)(4) and amendment of Note filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
14. New subsections (r)-(r)(4) and amendment of Note refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
15. New subsections (r)-(r)(4) and amendment of Note refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsection (r)(2), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
§102418. Immunizations.
Note     •     History

(a) Prior to admission to a family day care home, children shall be immunized against diseases as required by the California Code of Regulations, Title 17, beginning with Section 6000.
(e) The licensee shall be permitted to exempt a child from this requirement provided that one of the following requirements is met and the documentation is kept in the child's file:
(1) A physician provides a written statement that an immunization(s) should not be given to the child and specified how long this exemption is expected to be needed.
(2) The parents or guardians sign and date the back of the California School Immunization Record, PM 286 (6/95), which is also used for family day care homes, under the “Personal Beliefs Affidavit.”
(f) As required by the California Code of Regulations, Title 17, Section 6035(b), a child who does not meet any of the requirements in Sections 102418(c), (d), or (e), shall not be admitted to a family day care home.
(g) The licensee shall document each child's immunizations as required by the California Code of Regulations, Title 17, Section 6070, and shall maintain such documentation for as long as the child is enrolled.
(1) This requirement includes updating each child's PM 286 (6/95) when the child is due to receive required immunizations after enrollment in the family day care home.
(j) The licensee shall not be required to document immunizations of children also enrolled in a public or private elementary school.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.81, 1596.813, 1597.05, 1597.541 and 120325-120380, Health and Safety Code; and Sections 6000-6075, California Code of Regulations, Title 17.
HISTORY

1. New section filed 10-23-97; operative 11-22-97 (Register 97, No. 43).
§102419. Admission Procedures and Parental and Authorized Representative's Rights.
Note     •     History

(a) The licensee shall inform parents or authorized representatives of children in care of their rights, which include, but are not limited to, the following:
(1) To enter and inspect the family child care home in accordance with Health and Safety Code Section 1596.857.
(2) To file a complaint against the licensee with the local licensing office in accordance with Health and Safety Code Section 1596.853.
(3) To review the family child care home's public file kept by the local licensing office in accordance with Health and Safety Code Section 1596.859.
(4) To review at the family child care home, reports of licensing visits and substantiated complaints against the licensee made during the last three years in accordance with Health and Safety Code Section 1596.859.
(5) To complain to the local licensing office and inspect the family child care home without discrimination or retaliation in accordance with Health and Safety Code Section 1596.857.
(6) To request in writing that a parent not be allowed to visit a child or take a child from the family child care home, provided the custodial parent has shown a certified copy of a court order pursuant to Health and Safety Code Section 1596.857.
(7) To receive from the licensee the name, address and telephone number of the local licensing office in accordance with Section 1596.874.
(8) To be informed by the licensee, upon request, of the name and type of association to the family child care home for any adult who has been granted a criminal record exemption, and that the name of the person may also be obtained by contacting the local licensing office.
(b) The licensee shall post the PUB 394 (8/02), Family Child Care Home Notification of Parents' Rights Poster in a prominent, publicly accessible area in the family child care home at all times children are in care.
(c) The licensee shall provide to the parent or authorized representative the LIC 995E (6/05), Caregiver Background Check Process form.
(d) At the time of acceptance of each child into care, the licensee shall provide the child's parent or authorized representative with a copy of the notice Family Child Care Home Notification of Parents' Rights, LIC 995A (8/06), the Caregiver Background Check Process, LIC 995E (6/05), and the Family Child Care Consumer Awareness Information, LIC 9212 (10/05).
(1) The licensee shall request the child's parent or authorized representative to sign and date the bottom portion of the notice form LIC 995A (8/06), which acknowledges that the parent or authorized representative has received and read the LIC 995A. The bottom portion of this form must be kept in the child's file as proof that the parent or authorized representative has been notified of his or her rights and received a copy of the Caregiver Background Check Process, LIC 995E (6/05), and the Family Child Care Consumer Awareness Information, LIC 9212 (10/05).
(2) Whenever a parent or authorized representative makes a request pursuant to Section 102419(a)(8), the licensee shall note, date, and initial the request in the child's file. The licensee shall request that the parent or authorized representative also initial the notation documenting the request.
(3) Reserved
(A) Upon a finding of noncompliance with a plan of correction for violation of Sections 102419(a)(8), (b), (c), (d), (d)(1), or (d)(2), the Department shall impose a civil penalty of fifty dollars ($50) per day until the deficiency is corrected.
(B) Regardless of whether the licensee complies with an initial plan of correction in the time allotted, if the licensee subsequently violates any provision of Sections 102419(a)(8), (b), (c), (d), (d)(1), or (d)(2) within 12 months of the initial citation, the Department shall assess a civil penalty of $150 plus an assessment of $50 per day until the deficiency is corrected.
(C) Regardless of whether the licensee complies with the deficiency in Section 102419(b)(3)(B), if the licensee subsequently violates any provision of Sections 102419(a)(8), (b), (c), (d), (d)(1), or (d)(2) within 12 months of the citations and assessment in Section 102419(b)(3)(B), the Department shall assess a civil penalty of $150 plus an assessment of $150 per day until the deficienacy is corrected.
(e) Upon presenting identification, the parent or authorized representative of a child in care has the right to enter and inspect the family child care home without advance notice during the family child care home's normal operating hours.
(1) When inspecting the family child care home, the parent or authorized representatives shall be respectful of the children's routines and programmed activities.
(f) No family child care home shall discriminate or retaliate against any child or any child's parent or authorized representative because the parent or authorized representative has exercised his or her right to inspect the family child care home or has lodged a complaint with the Department against the family child care home.
(1) If the licensee denies a parent or authorized representative the right to enter and inspect the family child care home or retaliates against any child or any child's parent or authorized representative, the Department shall issue the licensee a warning citation.
(2) For any subsequent violation of this right, the Department shall take appropriate action including, but not limited to, license revocation and imposition of a civil penalty upon the home of fifty dollars ($50) per violation.
(3) The person present who is in charge of the family child care home shall determine whether to deny access to the following:
(A) An adult whose behavior presents a risk to children present in the home; and
(B) A parent who is subject to a court order denying him/her contact with the child if so requested by the child's parent or authorized representative.
(g) If a child's parent or authorized representative refuses to sign the LIC 995A (8/06), a dated notation to that effect, containing the parent or authorized representative's name and telephone number, shall be kept in the child's record.
(h) The licensee shall provide a copy of the Department issued Addendum to Notification of Parent's Rights (Regarding Removal/Exclusion) (LIC 995B Rev. 05/03) sent by the Department, that is still in effect, to one parent or authorized representative of every child when the parent or authorized representative arranges for child care services or on the first day the child receives care, whichever is first. 
(1) Upon notice from the Department that the excluded/removed individual may return to the facility, the licensee shall provide a copy of the Addendum to Notification of Parent's Rights (Regarding Reinstatement) (LIC 995C Rev. 03/01) to one parent or authorized representative of every child in care within one day of receipt of the notice and addendum from the Department. 
(2) The licensee may provide the parent or authorized representative with the Family Child Care Home Explanation of Removals/Exclusions and Reinstatement, LIC 995D (5/03).
(i) The licensee shall obtain a signed and dated receipt from one parent or authorized representative that acknowledges that he/she was given a copy of the addendum specified in Sections 102419(h) and (h)(1) and maintain copies of the receipt in each child's record for the time period specified in Section 102421(a)(1). 
(j) Copies of the signed receipt shall be available to the Department as provided in Section 102391(d).
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.853, 1596.857, 1596.859, 1596.874, 1597.07, 1597.30 and 1597.56, Health and Safety Code.
HISTORY

1. Amendment filed 1-12-88; operative 2-11-88 (Register 88, No. 4).
2. Change without regulatory effect amending subsections (b)-(b)(2) and adopting subsections (c)-(d)(3)(B) and relettering of subsection (c) to (e) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
3. Amendment filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
4. Amendment of section heading, section and Note filed 8-7-2002 as an emergency; operative 8-7-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-5-2002 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 12-3-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-3-2002 order transmitted to OAL 4-1-2003 and filed 5-12-2003 (Register 2003, No. 20).
7. New subsections (h)-(j) filed 7-14-2003 as an emergency; operative 7-16-2003 (Register 2003, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-13-2003 or emergency language will be repealed by operation of law on the following day.
8. New subsections (h)-(j) and amendment of Note refiled 11-12-2003 as an emergency; operative 11-12-2003 (Register 2003, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-11-2004 or emergency language will be repealed by operation of law on the following day.
9. New subsections (h)-(j) and amendment of Note refiled 3-11-2004 as an emergency; operative 3-11-2004 (Register 2004, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-9-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-11-2004 order, including further amendment of subsection (h), transmitted to OAL 7-9-2004 and filed 8-20-2004 (Register 2004, No. 34).
11. Amendment of section and Note filed 8-11-2006; operative 9-10-2006 (Register 2006, No. 32).
§102421. Child's Records.
Note     •     History

(a) The licensee shall maintain, in each child's record, the signed and dated notice form required in Section 102419(d).
(1) The licensee shall kept the signed and dated notice form for at least three years following termination of service to the child.
(b) The licensee shall maintain, in each child's record, a copy of the emergency information card required in Section 102417(g)(7).
(c) In any case in which a licensee releases a minor to a peace officer pursuant to Section 305 of the Welfare and Institutions Code, the licensee shall provide the peace officer with the address and telephone number of the minor's parent or authorized representative in order to enable the peace officer to make the notification required by Section 308 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Sections 1596.72, 1596.73, 1596.857, 1596.872, 1596.876 and 1597.30, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Amendment filed 1-12-88; operative 2-11-88 (Register 88, No. 4).
3. Change without regulatory effect amending subsection (c) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
4. Amendment filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
5. Amendment of subsections (a) and (c) filed 8-7-2002 as an emergency; operative 8-7-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-5-2002 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a) and (c) refiled 12-3-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-3-2002 order transmitted to OAL 4-1-2003 and filed 5-12-2003 (Register 2003, No. 20).
§102423. Personal Rights.
Note     •     History

(a) Each child receiving services from a family child care home shall have certain rights that shall not be waived or abridged by the licensee regardless of consent or authorization from the child's authorized representative. These rights include, but are not limited to, the following:
(1) To be treated with dignity in his/her personal relationship with staff and other persons.
(2) To receive safe, healthful, and comfortable accommodations, furnishings, and equipment.
(3) To have parents or guardians informed by the licensee of the provisions of the law regarding complaints and the procedures for registering complaints confidentially, including, but not limited to the address and telephone number of the licensing agency's complaint unit.
(4) To be free from corporal or unusual punishment, infliction of pain, humiliation, intimidation, ridicule, coercion, threat, mental abuse, or other actions of a punitive nature, including but not limited to: interference with eating, sleeping or toileting; or withholding shelter, clothing, medication or aids to physical functioning.
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Section 1597.30, Health and Safety Code.
HISTORY

1. Change without regulatory effect (Register 86, No. 29).
2. Change without regulatory effect amending subsection (a) filed 5-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 20).
3. Amendment filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
4. Repealer of subsection (b) and amendment of Note filed 8-11-2006; operative 9-10-2006 (Register 2006, No. 32).
§102424. Smoking Prohibition.
Note     •     History

(a) Smoking is prohibited on the premises of a family child care home as specified in Health and Safety Code Section 1596.795(a).
NOTE

Authority cited: Section 1596.81, Health and Safety Code. Reference: Section 1596.795(a), Health and Safety Code.
HISTORY

1. New section filed 10-6-97; operative 11-5-97 (Register 97, No. 41).
Article 7. Physical Environment [Reserved.]
Division 13. Department of Child Support Services
Chapter 1. Program Administration
Subchapter 1. Operations
Article 1. Definitions
§110000. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Shall means mandatory. May means permissive. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New division 13 (chapters 1-12, sections 110000-120222), chapter 1, subchapter 1 (articles 1-6, sections 110000-111543), article 1 (sections 110000-110661) and section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New division 13 (chapters 1-12, sections 110000-120222), chapter 1, subchapter 1 (articles 1-6, sections 110000-111543), article 1 (sections 110000-110661) and section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§110004. Abuse.
Note     •     History

“Abuse” means any of the following: 
(a) Intentionally or recklessly to cause or attempt to cause bodily injury. 
(b) Sexual assault. 
(c) To place a person in reasonable apprehension of imminent serious bodily injury to that person or to another. 
(d) To engage in any behavior that has been or could be enjoined pursuant to Section 6320, Family Code. 
(e) Battering or subjecting a victim to extreme cruelty, as specified in Section 11495.12, Welfare and Institution Code, by: 
(1) Physical acts that resulted in, or threatened to result in, physical injury. 
(2) Sexual abuse. 
(3) Sexual activity involving a child in the home. 
(4) Being forced to participate in nonconsensual sexual acts or activities. 
(5) Threats of, or attempts at, physical or sexual abuse. 
(6) Mental abuse. 
(7) Neglect or deprivation of medical care. 
(8) Stalking.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 112002 to new section 110004 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110028. Administrative Law Judge.
Note     •     History

“Administrative Law Judge” means a person designated by the Director to conduct child support state hearings, and who shall have been admitted to practice law in California, and shall possess such other qualifications as prescribed by the California State Personnel Board. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 120001 to new section 110028 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110041. Applicant.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 110041 to new section 110056 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110042. Application.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17406 and 17801, Family Code; Section 11478.1, Welfare and Institutions Code; and 45 Code of Federal Regulations, Sections 302.15, 302.33 and 303.2. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. Amendment filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 4 (Register 2002, No. 33).
6. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
7. Change without regulatory effect renumbering former section 110042 to new section 110060 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110046. Arrears or Arrearage or Arrearages.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code; and Section 695.210, Code of Civil Procedure. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110046 to new section 110064 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110048. Alternate Arrangement.
Note     •     History

“Alternate arrangement” means a written agreement approved by a court or tribunal between an obligee and obligor that provides for payment of a support obligation as ordered other than through the immediate service of an income withholding order, and that is signed by the local child support agency with jurisdiction over the case when: 
(a) Public assistance is being provided and there has been an assignment of support rights to the State. 
(b) No public assistance is being provided, but the local child support agency is providing Title IV-D services at the time the alternate arrangement is entered into. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 5260, Family Code; and 45 Code of Federal Regulations, Section 303.100(b)(3). 
HISTORY

1. Change without regulatory effect renumbering former section 116004 to new section 110048 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110056. Applicant.
Note     •     History

“Applicant” means an individual who submits an application for Title IV-D services. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110041 to new section 110056 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110060. Application.
Note     •     History

“Application” means a written or electronic document provided by a local child support agency in which an individual requests support services and which is signed by the individual.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17406 and 17801, Family Code; Section 11478.1, Welfare and Institutions Code; and 45 Code of Federal Regulations, Sections 302.15, 302.33 and 303.2. 
HISTORY

1. Change without regulatory effect renumbering former section 110042 to new section 110060 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110064. Arrears or Arrearage or Arrearages.
Note     •     History

“Arrears” or “arrearage” or “arrearages” means the unpaid child support payments for past periods owed by a parent who is obligated to pay by court order. The arrears or arrearage or arrearages include interest and are adjusted for the amount of any partial satisfactions of the judgment. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code; and Section 695.210, Code of Civil Procedure. 
HISTORY

1. Change without regulatory effect renumbering former section 110046 to new section 110064 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110068. Assets.
Note     •     History

“Assets” include, but are not limited to, the following:
(a) Cash on hand, money in checking or savings account, savings certificates, stocks or bonds.
(b) All other property, real or personal, excluding the applicant's primary residence and one vehicle used for transportation.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4053, 4058, 4059 and 17550, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 119003 to new section 110068 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110088. Business Day.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110088 to new section 110100 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110092. Authorized Representative.
Note     •     History

“Authorized representative” means an individual or a representative from an organization that has been authorized by a complainant to act on behalf of the complainant in any and all aspects of a state hearing.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 120002 to new section 110092 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110098. CalWORKs Recipient.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17402, Family Code; and 45 Code of Federal Regulations, Sections 302.33 and 303.2. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 110098 to new section 110112 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110099. Case.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110099 to new section 110116 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110100. Business Day.
Note     •     History

“Business day” means any day that is not a Saturday, Sunday, or holiday as specified in Sections 6700 and 6701 of the Government Code.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110088 to new section 110100 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110109. Case Record.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 45 Code of Federal Regulations, Section 303.2. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110109 to new section 110124 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110112. CalWORKs Recipient.
Note     •     History

“CalWORKs recipient” means an individual who is receiving public assistance benefits under the California Work Opportunity and Responsibility to Kids (CalWORKs) program, including KinGap, established pursuant to Welfare and Institutions Code, commencing with Section 11200. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17402, Family Code; and 45 Code of Federal Regulations, Sections 302.33 and 303.2. 
HISTORY

1. Change without regulatory effect renumbering former section 110098 to new section 110112, including amendments, filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110116. Case.
Note     •     History

“Case” means a noncustodial parent, whether mother, father, or alleged father, a custodial party, and a dependent child or children. The custodial party may be one of the child's parents, or other relative or caretaker including a foster parent. If both parents are absent and liable or potentially liable for the support of the child(ren), each parent is considered a separate case.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801 and 17802, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110099 to new section 110116 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110120. Case Closure.
Note     •     History

“Case closure” means that Title IV-D services will no longer be provided. Case closure shall not affect a child support order or arrears that have accrued under the order. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17531, Family Code; and 45 Code of Federal Regulations, Section 303.11. 
HISTORY

1. Change without regulatory effect renumbering former section 118020 to new section 110120 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110124. Case Record.
Note     •     History

“Case record” means a file containing all information and documents pertaining to the case, including all relevant facts, dates, and actions taken related to the case, and all contacts made and the results of those contacts. The case record is the property of the local child support agency. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 45 Code of Federal Regulations, Section 303.2. 
HISTORY

1. Change without regulatory effect renumbering former section 110109 to new section 110124 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110129. Child Support.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3600, 4054 et seq., 17212 and 17801, Family Code; and 42 U.S.C., Section 659. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110129 to new section 110144 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110132. Central Registry.
Note     •     History

“Central Registry” means a unit within each state responsible for receiving, screening, and distributing incoming interstate cases, and for responding to inquiries on incoming interstate cases. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4924, Family Code; and 45 Code of Federal Regulations, Section 303.7. 
HISTORY

1. Change without regulatory effect renumbering former section 117016 to new section 110132 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110135. Child Support Order.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17000, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110135 to new section 110148 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110140. Child Abuse.
Note     •     History

“Child abuse” means any of the following: 
(a) A physical injury which is inflicted by other than accidental means on a child by another person. 
(b) The sexual abuse of a child or any act or omission proscribed by Penal Code, Sections 273a(a) or 273d(a). 
(c) The neglect of a child or abuse in out-of-home care, as defined in Section 11165.5, Penal Code. 
(d) The willful cruelty or unjustifiable punishment of a child, as defined in Section 11165.3, Penal Code. 
(e) The unlawful corporal punishment or injury of a child, as defined in Section 11165.4, Penal Code. 
(f) The emotional or mental abuse of a child. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 112015 to new section 110140 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110144. Child Support.
Note     •     History

“Child support” means amounts required to be paid under a judgment, decree, or order, whether temporary, final, or subject to modification, for the support and maintenance of a child or children, which provides for any or all of the following: monetary support, health insurance coverage, arrears, and may include interest on delinquent child support obligations. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3600, 4054 et seq., 17212 and 17801, Family Code; and 42 U.S.C., Section 659. 
HISTORY

1. Change without regulatory effect renumbering former section 110129 to new section 110144 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110147. Complainant.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17800 and 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110147 to new section 110156 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110148. Child Support Order.
Note     •     History

“Child support order” means any court or administrative order for the payment of a set or determinable amount of support of a child by a parent, or a court order requiring a parent to provide for health insurance coverage for a child, or a court order requiring a parent to make payment of arrears. “Child support order” includes any court order for spousal support or for medical support to the extent these obligations are to be enforced by a single state agency for child support under Title IV-D of the federal Social Security Act (commencing with section 651 of Title 42 of the United States Code). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17000, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110148 to new section 110160 and renumbering former section 110135 to section 110148 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110150. Complaint Resolution Process.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17800, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110150 to new section 110168 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110156. Complainant.
Note     •     History

“Complainant” means a custodial party or noncustodial parent who has made a complaint to a local child support agency or requested a state hearing.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17800 and 17801, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110147 to new section 110156 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110160. Complaint.
Note     •     History

“Complaint” means the complainant's oral or written statement of an unresolved dispute and a request for resolution regarding any action or inaction of a local child support agency, or the Franchise Tax Board, concerning his/her child support case.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17800, 17801 and 17802, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110148 to new section 110160 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110164. Complaint Receipt Date.
Note     •     History

“Complaint receipt date” means the date when a local child support agency initially receives a complaint from a complainant, or receives a transferred complaint from another county. 
(a) A written complaint shall be deemed to be received in one of the following ways: 
(1) If mailed, five (5) business days from the date the request is postmarked. If the postmark is illegible, the date the request is received and date stamped by a local child support agency. 
(2) If hand delivered, the date the request is received and date stamped by a local child support agency. 
(b) An oral complaint shall be deemed to be received as of the date a complainant speaks to a local child support agency representative, asks to file a complaint, and provides the information that is the basis of a complaint to a local child support agency. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17800 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110164 to new section 110204 and renumbering former section 120003 to section 110164 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110168. Complaint Resolution Process.
Note     •     History

“Complaint resolution process” means the actions required by the local child support agency to resolve complaints as specified in Chapter 10, Article 2.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17800, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110150 to new section 110168 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110182. Custodial Party.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110182 to new section 110224 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110184. Compromise of Assigned Arrearages -- Family Reunification.
Note     •     History

“Compromise of Assigned Arrearages -- Family Reunification” means an agreement to reduce arrearages, including interest, owed to the state in cases where separation or desertion of both parents from a child resulted in aid being granted for the child in the form of Aid to Families with Dependent Children-Foster Care (AFDC-FC) payments or California Work Opportunity and Responsibility to Kids Act (CalWORKs) payments inclusive of payments for Kinship Guardianship Assistance Payment Program (KinGAP). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17550, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110184 to section 110228 and renumbering former section 119015 to section 110184 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110186. Customer.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110186 to new section 110232 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110192. Continuing, Exclusive Jurisdiction.
Note     •     History

“Continuing, exclusive jurisdiction” means the authority of a tribunal to modify a support order because at least one of the parties or the child who is the subject of the order remains a resident of the state issuing the order and written consent of the parties to confer continuing jurisdiction on another state has not been filed. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4909, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117019 to new section 110192 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110194. Day.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110194 to new section 110244 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110196. Controlling Order.
Note     •     History

“Controlling order” means the one support order issued in a judicial or administrative proceeding that governs the amount, duration, and other terms of a child support obligation prospectively. If multiple orders have been issued, only a tribunal can determine which order is the controlling order. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4911, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117021 to new section 110196 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110200. Department.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17000, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110200 to section 110248 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110204. County.
Note     •     History

“County” means one of the fifty-eight administrative subdivisions in the State of California.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110164 to new section 110204 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110208. County Welfare Worker.
Note     •     History

“County welfare worker” means a county worker providing social services in child welfare programs or a county worker determining eligibility for assistance programs. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17550, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 119019 to new section 110208 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110212. Credit Reporting Agencies.
Note     •     History

“Credit reporting agencies” means any entity which regularly engages in the practice of assembling or evaluating consumer credit information or other information on consumers for the purpose of furnishing consumer reports to third parties.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4701, Family Code; 42 USC, Section 666(a)(7); and 45 Code of Federal Regulations, Section 302.70(a)(7). 
HISTORY

1. Change without regulatory effect renumbering former section 116018 to new section 110212 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110220. Director.
Note     •     History

“Director” means the Director of the California Department of Child Support Services.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17000, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§110224. Custodial Party.
Note     •     History

“Custodial party” means the person having primary care, custody and control of the child(ren) and who is/are receiving or has applied to receive services under Title IV-D of the federal Social Security Act (commencing with Section 651 of Title 42 of the United States Code).  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110224 to new section 110276 and renumbering former section 110182 to section 110224 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110226. Disposable Earnings.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 110226 to new section 110280 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110228. Custody Determination.
Note     •     History

“Custody determination” means a judgment, decree or order of a court providing for the custody of a child.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110184 to new section 110228 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110230. Distributed or Distribution.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110230 to new section 110288 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110232. Customer.
Note     •     History

“Customer” means custodial parties, noncustodial parents, employers, and the public who make inquiries or raise questions about child support services.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110186 to new section 110232 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110242. Earnings.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 706.011(a), Code of Civil Procedure; and Sections 4901(e) and 5206, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 110242 to new section 110296 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110244. Day.
Note     •     History

“Day” means calendar day unless otherwise specified.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110194 to new section 110244 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110248. Department.
Note     •     History

“Department” means the California Department of Child Support Services.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17000, Family Code. 
HISTORY

2. Change without regulatory effect renumbering former section 110248 to new section 110307 and renumbering former section 110200 to section 110248 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110250. Employer.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3760, 5206 and 5210, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of Note, transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 110250 to new section 110311 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110251. Employment-Related Group Health Insurance.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 110251 to new section 110315 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110252. Enforcement.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212 and 17801, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
5. Change without regulatory effect renumbering former section 110252 to new section 110319 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110261. Establishment.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212 and 17801, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110261 to new section 110323 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110268. Direct Income Withholding.
Note     •     History

“Direct income withholding” means an income withholding order that has been issued in one state and sent to an employer in another state without filing a petition or comparable pleading, or registering the order with the tribunal in the other state. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4940, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117025 to new section 110268 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110276. Disbursed or Disbursement.
Note     •     History

“Disbursed” or “disbursement” means the dispensing or paying out of a collection.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110224 to new section 110276 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110280. Disposable Earnings.
Note     •     History

“Disposable earnings” means income that is subject to withholding left after making mandatory deductions for taxes including State, federal, local, Social Security, Medicare taxes and union dues, along with deductions for disability insurance and payments to public employees' retirement systems, provided that the deductions are required as a condition of employment.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110226 to new section 110280 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110284. Federal Case Registry.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Sections 653, 654 and 666; and 45 Code of Federal Regulations, Sections 302.35, 303.15 and 303.69. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 110284 to new section 110347 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110288. Distributed or Distribution.
Note     •     History

“Distributed” or “distribution” means the application of monies to specific accounts to determine the appropriate disbursement of monies. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110230 to new section 110288 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110289. Federal Parent Locator Service.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17212, Family Code; Section 11478.1, Welfare and Institutions Code; 42 United States Code, Section 653; and 45 Code of Federal Regulations, Section 301.1. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110289 to section 110355 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110292. Domestic Violence.
Note     •     History

“Domestic violence” means abuse perpetrated against any of the following persons: 
(a) A spouse or former spouse. 
(b) A cohabitant or former cohabitant, as defined in Section 6209, Family Code. 
(c) A person with whom the individual who perpetrated the act of domestic violence is having or has had a dating or engagement relationship. 
(d) A person with whom the individual who perpetrated the act of domestic violence has had a child, where the presumption applies that the male parent is the father of the child of the female parent under the Uniform Parentage Act (Part 3 of Division 12 commencing with Section 7600) of the Family Code. 
(e) A child of a party or a child who is the subject of an action under the Uniform Parentage Act, where the presumption applies that the male parent is the father of the child to be protected. 
(f) Any other person related by blood or marriage, such as grandparents, parents, aunts, uncles, and children. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 112025 to new section 110292 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110296. Earnings.
Note     •     History

“Earnings” means any of the following to the extent that they are subject to an income withholding order for support: 
(a) Wages, salary, bonuses, vacation pay, retirement pay and commissions. 
(b) Payments for services of independent contractors, interest, dividends, rents, royalties, residuals, patent rights, or mineral or other natural resource rights. 
(c) Payments or credits due or becoming due as a result of a written or oral contract for services or sales whether denominated as wages, salary, commission, bonus, or otherwise. 
(d) Payments due for workers' compensation temporary disability benefits. 
(e) Payments due from a disability or health insurance policy or program. 
(f) Any other payments or credits due or becoming due, regardless of the source. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 706.011(a), Code of Civil Procedure; and Sections 4901(e) and 5206, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110242 to new section 110296 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110299. Foster Care.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Section 654; and 45 Code of Federal Regulations, Section 302.33. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 110299 to new section 110383 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110307. Emancipation.
Note     •     History

“Emancipation”, “Emancipate” and “Emancipated” mean the age or circumstance in which a child is no longer entitled to current child support from a parent because of any one of the following:
(a) The child meets the conditions set forth in Family Code Section 3901.
(b) The judgment, decree or order directing the child support was terminated by order of the court.
(c) The judgment, decree or order directing the child support was terminated under the law of the issuing state.
(d) The child support ordered pursuant to Family Code Section 3587 has ceased or was terminated.
(e) The child meets at least one of the conditions set forth in Family Code Section 7002.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3901, 3587, 7002, 17306, 17310 and 17312, Family Code.
HISTORY

1. Change without regulatory effect renumbering former section 110248 to new section 110307 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110311. Employer.
Note     •     History

“Employer” means all of the following: 
(a) A person for whom an individual performs services as an employee, as defined in Section 706.011, Code of Civil Procedure. 
(b) The United States government and any public entity as defined in Section 811.2, Government Code. 
(c) Any person or entity paying the following types of earnings: 
(1) Wages, salary, bonus, money and benefits described in Sections 704.110, 704.113 and 704.115 of the Code of Civil Procedure. 
(2) Payments due for services of independent contractors, interest, dividends, rents, royalties, residuals, patent rights, or mineral or other natural resource rights. 
(3) Payments or credits due or becoming due as a result of written or oral contracts for services or sales whether denominated as wages, salary, commission, bonus, or otherwise. 
(4) Payments due for workers' compensation temporary disability benefits. 
(5) Payments due as a result of disability from benefits described in Section 704.130 of the Code of Civil Procedure. 
(6) Any other payments or credits due or becoming due, regardless of source. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3760, 5206 and 5210, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110250 to new section 110311 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110315. Employment-Related Group Health Insurance.
Note     •     History

“Employment-related group health insurance” means private group health insurance coverage provided through employment or membership in a union, trade association, or other organization. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110251 to new section 110315 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110319. Enforcement.
Note     •     History

“Enforcement” means actions taken to obtain payment of a child, family, medical, or spousal support obligation contained in a child support order.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212 and 17801, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110252 to new section 110319 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110323. Establishment.
Note     •     History

“Establishment” means the process of legally determining paternity and/or obtaining a court or administrative order to put a child support obligation in place.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212 and 17801, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110261 to new section 110323 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110336. Health Insurance Coverage.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3750 and 3760, Family Code; and 45 Code of Federal Regulations, Section 303.31. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 110336 to section 110410 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110337. Health Insurance Coverage at a Reasonable Cost.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3751(a)(2) and 17422(b)(3), Family Code; and 45 Code of Federal Regulations, Section 303.31. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 110337 to new section 110414 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110339. Family Violence.
Note     •     History

“Family violence” means domestic violence as defined in Section 110292, or child abuse as defined in Section 110140. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 112034 to new section 110339, including amendments, filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110341. Hearing Date.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801, 17802 and 17804, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110341 to new section 110418 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110343. Family Violence Indicator.
Note     •     History

“Family violence indicator” means the designation of a party in a case or order by a state that indicates that party is associated with an act of child abuse or domestic violence. This indicator resides in the Federal Case Registry and is used to prevent disclosure of the location of a party and/or a child believed by a state to be at risk of family violence. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Section 663. 
HISTORY

1. Change without regulatory effect renumbering former section 112035 to new section 110343 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110347. Federal Case Registry.
Note     •     History

“Federal Case Registry” means a national database of information on individuals in all Title IV-D cases, and on all non-Title IV-D orders entered or modified on or after October 1, 1998. The Federal Case Registry is part of the expanded Federal Parent Locator Service, which is maintained by the federal Office of Child Support Enforcement. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Sections 653, 654 and 666; and 45 Code of Federal Regulations, Sections 302.35, 303.15 and 303.69. 
HISTORY

1. Change without regulatory effect renumbering former section 110284 to new section 110347 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110355. Federal Parent Locator Service.
Note     •     History

“Federal Parent Locator Service (FPLS)” means a computerized national location network operated by the federal Office of Child Support Enforcement (OCSE) within the Department of Health and Human Services (DHHS). FPLS obtains address and employer information, as well as data on child support cases in every state, compares them and returns matches to the appropriate states. FPLS includes the Federal Case Registry (FCR) and the National Directory of New Hires (NDNH). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17212, Family Code; Section 11478.1, Welfare and Institutions Code; 42 United States Code, Section 653; and 45 Code of Federal Regulations, Section 301.1. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 110355 to section 110430 and renumbering former section 110289 to section 110355 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110374. Interstate Case.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17306, Family Code; and 45 Code of Federal Regulations, Section 303.7. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of section and Note, transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 110374 to section 110466 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110375. Foreign Order.
Note     •     History

“Foreign order” means an order issued by a tribunal of a jurisdiction outside of California. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4951, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117030 to new section 110375 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110383. Foster Care.
Note     •     History

“Foster care” means the 24-hour out-of-home care provided to children whose own families are unable or unwilling to care for them, and who are in need of temporary or long-term substitute parenting. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Section 654; and 45 Code of Federal Regulations, Section 302.33. 
HISTORY

1. Change without regulatory effect renumbering former section 110299 to new section 110383 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110385. Income Withholding Order.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4901 and 5208, Family Code. 
HISTORY

1. New section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-22-2002 as an emergency; operative 8-22-2002 (Register 2002, No. 34). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 2-18-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-22-2002 order, including repealer of section,  transmitted to OAL 2-13-2003 and filed 3-24-2003 (Register 2003, No. 13).
§110402. Guardian.
Note     •     History

“Guardian” means the legal guardian of the child, who assumed care and control of the child while the child was in the guardian's control, and who is not a biological or adoptive parent. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17550, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 119045 to new section 110402 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110410. Health Insurance Coverage.
Note     •     History

“Health insurance coverage” means the provisions for the delivery of both of the following: 
(a) Health care services by a fee for service, health maintenance organization, preferred provider organization, or any other type of health care delivery system under which medical services could be provided to a dependent child of an obligor. 
(b) Vision care and dental care services whether the vision care or dental care coverage is included in health insurance coverage or is issued as a separate policy or plan. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3750 and 3760, Family Code; and 45 Code of Federal Regulations, Section 303.31. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110410 to new section 110506 and renumbering former section 110336 to section 110410 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110411. Local Plan of Cooperation.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code. 
HISTORY

1. New section filed 5-2-2002 as an emergency; operative 5-2-2002 (Register 2002, No. 18). Pursuant to Family Code section 17306(e)(2), these emergency regulations remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-2-2002 order transmitted to OAL 10-16-2002 and filed 12-2-2002  (Register 2002, No. 49).
3. Change without regulatory effect renumbering former section 110411 to new section 110510 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110413. Locate or Location.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17502, 17505 and 17506, Family Code; 42 United States Code, Section 653; and 45 Code of Federal Regulations, Section 303.3. 
HISTORY

1. New section filed 9-4-2001 as an emergency pursuant to Family Code section 17306; operative 9-4-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-11-2002 as an emergency pursuant to Family Code section 17306; operative 3-6-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 27).
4. Certificate of Compliance as to 2-11-2002 order, including amendment of Note, transmitted to OAL 9-3-2002 and filed 9-30-2002 (Register 2002, No. 40). 
5. Change without regulatory effect renumbering former section 110413 to new section 110514 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110414. Health Insurance Coverage at a Reasonable Cost.
Note     •     History

“Health insurance coverage at a reasonable cost” means employment-related group health insurance or other group health insurance, regardless of the service delivery mechanism. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3751(a)(2) and 17422(b)(3), Family Code; and 45 Code of Federal Regulations, Section 303.31. 
HISTORY

1. Change without regulatory effect renumbering former section 110337 to new section 110414 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110418. Hearing Date.
Note     •     History

“Hearing date” means the date of the state hearing which shall be deemed to include the period from the opening of the record to the close of the record, including any continuances that may have been granted. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801, 17802 and 17804, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110341 to new section 110418 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110422. Home State.
Note     •     History

“Home state” means the state in which a child lived with a parent or a person acting as parent for at least six consecutive months immediately preceding the time of filing of a petition or comparable pleading for support, and, if a child is less than six months old, the state in which the child lived from birth with a parent or a person acting as the parent. A period of temporary absence of the child from the parent or person acting as the parent shall be counted as part of the six-month or other period. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117036 to new section 110422 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110428. Medi-Cal Program.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17400 and 17415, Family Code; and 45 Code of Federal Regulations, Sections 301.1 and 302.33. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 110428 to new section 110542 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110430. Income Withholding Order.
Note     •     History

“Income withholding order,” “assignment order,” “assignment order for support,” “earnings assignment order,” and “wage assignment order” means a court order or administrative notice for income withholding, or legal process directed to an obligor's employer, or other debtor of the obligor, to withhold from the income of the obligor an amount owed for support. Any income withholding order, or assignment order, or assignment order for support, or earnings assignment order, or wage assignment order issued by a local child support agency shall be issued on the federal form “Order/Notice to Withhold Income for Child Support,” FL-195 OMB Control No. 0970-0154 as adopted by the California Judicial Council. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. References: Sections 4901(f), 5208 and 5246, Family Code. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of section, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 110430 to new section 110546 and renumbering former section 110355 to section 110430 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110431. Medical Support.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3750, 3751, 4062, 4063, 17400 and 17415, Family Code; and 45 Code of Federal Regulations, Sections 302.80, 303.30 and 303.31.
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. Amendment of Note filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment of Note refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 4 (Register 2002, No. 33).
6. Certificate of Compliance as to 2-14-2002 order, including amendment of section and Note, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
7. Change without regulatory effect renumbering former section 110431 to section 110550 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
8. Editorial correction reinstating section and adding History 7 (Register 2006, No. 14).
§110434. Independent Contractor Registry.
Note     •     History

“Independent Contractor Registry” means a database maintained by the Employment Development Department which contains information regarding independent contractors reported in California, as required in Section 1088.8, Unemployment Insurance Code. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 5206, Family Code; and Section 1088.8, Unemployment Insurance Code. 
HISTORY

1. Change without regulatory effect renumbering former section 116036 to new section 110434 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110436. Modification.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110436 to new section 110562 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110445. National Directory of New Hires.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Section 653(h). 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of Note, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110445 to new section 110566 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110446. Initiating State.
Note     •     History

“Initiating state” means a state from which a proceeding is forwarded, or in which a proceeding is filed for forwarding, to a responding state. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117047 to new section 110446 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110449. National Medical Support Notice.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3760 and 3761, Family Code. 
HISTORY

1. New section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-22-2002 as an emergency; operative 8-22-2002 (Register 2002, No. 34). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 2-18-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-22-2002 order transmitted to OAL 2-13-2003 and filed 3-24-2003 (Register 2003, No. 13).
4. Change without regulatory effect renumbering former section 110449 to new section 110570 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110450. Initiating Tribunal.
Note     •     History

“Initiating tribunal” means the court, administrative agency, or quasi-judicial entity in an initiating state authorized to establish, enforce, or modify support orders or to determine paternity. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117049 to new section 110450 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110456. Noncustodial Parent.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17800, 17801, 17802 and 17803, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110456 to new section 110582 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110458. Intercounty Responding Case.
Note     •     History

“Intercounty responding case” means a case in which the noncustodial parent and the custodial party live in different counties within California and the county in which the noncustodial parent resides receives and responds to a child support action for the purpose of enforcement. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 116038 to new section 110458 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110466. Interstate Case.
Note     •     History

“Interstate case” means a case in which the dependent child(ren) and the custodial or noncustodial parent live or have lived in different states and California is either the initiating or responding state, or the state which has issued the controlling order. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17306, Family Code; and 45 Code of Federal Regulations, Section 303.7. 
HISTORY

1. Change without regulatory effect renumbering former section 110374 to section new section 110466 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110470. Intracounty Case.
Note     •     History

“Intracounty case” means a case in which only one county is providing Title IV-D services. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 116042 to new section 110470 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110473. Obligee.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of section, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 110473 to new section 110590 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110474. Issuing State.
Note     •     History

“Issuing state” means the state which has issued a support order or rendered a judgment determining parentage. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Amendment of Note filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of Note refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
7. Amendment of Note filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
8. Change without regulatory effect renumbering former section 110474 to new section 110594 and renumbering former section 117052 to section 110474 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110478. Issuing Tribunal.
Note     •     History

“Issuing tribunal” means the court, administrative agency, or quasi-judicial entity that issues a support order or renders a judgment determining parentage. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110478 to new section 110598 and renumbering former section 117054 to section 110478 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110479. Ombudsperson Program.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110479 to new section 110602 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110485. Other Group Health Insurance.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 110485 to new section 110606 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110506. Local Child Support Agency.
Note     •     History

“Local child support agency” means the county office or department that has entered into a cooperative agreement with the California Department of Child Support Services to secure child, spousal and medical support, and determine paternity.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17000, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110410 to new section 110506 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110510. Local Plan of Cooperation.
Note     •     History

“Local Plan of Cooperation” means a cooperative agreement between a local child support agency and another county agency that coordinates their respective roles and delineates responsibilities for establishing paternity, establishing, modifying, and enforcing child support, spousal support, and medical support, or otherwise carrying out the requirements of Title IV-D.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110411 to new section 110510 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110514. Locate or Location.
Note     •     History

“Locate” or “Location” means information concerning the physical whereabouts of the custodial party, non-custodial parent, noncustodial parent's employers, or the noncustodial parent's sources of income or assets which is used for the purpose of establishing paternity and establishing, modifying and/or enforcing a child support obligation. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17502, 17505 and 17506, Family Code; 42 United States Code, Section 653; and 45 Code of Federal Regulations, Section 303.3. 
HISTORY

1. Change without regulatory effect renumbering former section 110413 to new section 110514 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110518. Long Arm Jurisdiction.
Note     •     History

“Long arm jurisdiction” means the legal authority for one state to assert personal jurisdiction over someone who lives or is served with process in another state. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4905, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117064 to new section 110518 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110539. Public Assistance.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17000, 17400, 17406 and 17415, Family Code. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 110539 to new section 110682 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110542. Medi-Cal Program.
Note     •     History

“Medi-Cal program” means California's medical assistance program provided under the State Plan approved under Title XIX of the Social Security Act. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17400 and 17415, Family Code; and 45 Code of Federal Regulations, Sections 301.1 and 302.33. 
HISTORY

1. Change without regulatory effect renumbering former section 110428 to new section 110542 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110546. Medically Needy Only Recipient.
Note     •     History

“Medically needy only recipient” means an individual who is receiving only benefits under the Medi-Cal program. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17400 and 17415, Family Code; and 45 Code of Federal Regulations, Sections 302.80, 303.30 and 303.31. 
HISTORY

1. Change without regulatory effect renumbering former section 110430 to new section 110546 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110547. Quash.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 3765, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 110547 to new section 110686 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110550. Medical Support.
Note     •     History

“Medical support” means the court-ordered requirement that one or both parents provide health, vision, and dental coverage, for a dependent child.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3750, 3751, 4062, 4063, 17400 and 17415, Family Code; and 45 Code of Federal Regulations, Sections 302.80, 303.30 and 303.31. 
HISTORY

1. New section filed 9-4-2001 as an emergency pursuant to Family Code section 17306; operative 9-4-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-11-2002 as an emergency pursuant to Family Code section 17306; operative 3-6-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 27).
4. Certificate of Compliance as to 2-11-2002 order transmitted to OAL 9-3-2002 and filed 9-30-2002 (Register 2002, No. 40). 
5. Change without regulatory effect renumbering former section 110550 to new section 110690 and renumbering former section 110431 to section 110550 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110554. Recipient of Services.
Note     •     History

“Recipient of services” means the custodial party or noncustodial parent who has applied for, or is receiving, Title IV-D services, or has been referred to the Title IV-D agency. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 45 Code of Federal Regulation, Section 303.11. 
HISTORY

1. New section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-22-2002 as an emergency; operative 8-22-2002 (Register 2002, No. 34). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 2-18-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-22-2002 order transmitted to OAL 2-13-2003 and filed 3-24-2003 (Register 2003, No. 13).
§110562. Modification.
Note     •     History

“Modification” means a court-ordered change or alteration of a child support order.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110436 to new section 110562 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110566. National Directory of New Hires.
Note     •     History

“National Directory of New Hires” means a national database containing new hire and quarterly wage data from every state and federal agency and unemployment insurance data from state employment security agencies. Data contained is first reported to each state's State Directory of New Hires and then transmitted to the National Directory of New Hires. The Office of Child Support Enforcement maintains the National Directory of New Hires as part of the expanded Federal Parent Locator Service. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Section 653(h). 
HISTORY

1. Change without regulatory effect renumbering former section 110445 to new section 110566 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110570. National Medical Support Notice.
Note     •     History

“National Medical Support Notice” means the notice, “National Medical Support Notice (NMSA),” Part A, “Notice to Withhold for Health Care Coverage,”, OMB 0970-0222, and Part B, “Medical Support Notice to Plan Administrator,” OMB 1210-0113, directed to the obligor's employer pursuant to a medical support order requiring the obligor to provide health insurance coverage for the obligor's minor child(ren). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3760 and 3761, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110449 to new section 110570 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110582. Noncustodial Parent.
Note     •     History

“Noncustodial parent” means the parent of the child(ren) that may be or is obligated to pay child support.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17800, 17801, 17802 and 17803, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110456 to new section 110582 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110590. Obligee.
Note     •     History

“Obligee” means an individual, agency, or entity to whom a duty of support is owed. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110473 to new section 110590 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110594. Obligor.
Note     •     History

“Obligor” means an individual, or the estate of a decedent, who owes a duty of support.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 5216 and 17212, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110474 to new section 110594 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110598. Ombudsperson.
Note     •     History

“Ombudsperson” means the person designated within each local child support agency to be the lead administrator of the Ombudsperson Program.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110478 to new section 110598 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110602. Ombudsperson Program.
Note     •     History

“Ombudsperson Program” means the person, persons, or office so designated within each local child support agency to provide a means to resolve customer issues related to child support services. Issues may include inquiries, questions, or requests for assistance or facilitation in navigating the local complaint resolution and state hearing processes.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110479 to new section 110602 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110606. Other Group Health Insurance.
Note     •     History

“Other group health insurance” means private group health insurance coverage provided through an organization other than through an employment-related group health insurance. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110485 to new section 110606 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110609. Spousal Support.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17415, 17800 and 17801, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. Amendment of Note filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment of Note refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 4 (Register 2002, No. 33).
6. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
7. Change without regulatory effect renumbering former section 110609 to new section 110754 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110610. Spousal Support Order.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17800 and 17801, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110610 to new section 110758 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110615. State Directory of New Hires.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Section 653a. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 110615 to new section 110770 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110618. State Hearing.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801, 17802 and 17804, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110618 to new section 110778 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110625. State/County Plan of Cooperation.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code. 
HISTORY

1. New section filed 5-2-2002 as an emergency; operative 5-2-2002 (Register 2002, No. 18). Pursuant to Family Code section 17306(e)(2), these emergency regulations remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-2-2002 order transmitted to OAL 10-16-2002 and filed 12-2-2002  (Register 2002, No. 49).
3. Change without regulatory effect renumbering former section 110625 to new section 110766 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110654. Personal Jurisdiction.
Note     •     History

“Personal jurisdiction” means the legal authority of a tribunal to render judgment against a party to an action or a proceeding and subject a person to the decisions, rulings, and orders of the tribunal. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4905, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117074 to new section 110654 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110658. Placement.
Note     •     History

“Placement” means either the voluntary placement by an applicant who had custody of his/her child and placed the child in out-of-home care or the placement of a child in out-of-home care as a result of a child being declared a dependent child of the court under Welfare and Institutions Code Section 300. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 361(e) and 11400(k), Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110658 to new section 110842 and renumbering of former section 119069 to section 110658 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110659. Title IV-B.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate  of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110659 to new section 110846 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110660. Title IV-D.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17000(l), Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Amendment of Note filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of Note refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
7. Amendment of Note filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
8. Change without regulatory effect renumbering former section 110660 to new section 110850 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110661. Title IV-E.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 110661 to new section 110854 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110662. Plan Administrator.
Note     •     History

“Plan Administrator” for the purposes of Subchapter 6.1, Article 2, Medical Enforcement, means any person who collects any charge or premium from, or who adjusts or settles claims on, residents of California in connection with health insurance coverage. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 116061 to new section 110662 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110678. Proposed Decision.
Note     •     History

“Proposed decision” means the state hearing decision submitted by an Administrative Law Judge to the Director or Director's designee for adoption.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 120004 to new section 110678 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110682. Public Assistance.
Note     •     History

“Public assistance” means any amount paid under the CalWORKs program, as specified in Section 110112, or foster care, or any Medi-Cal benefit, for the benefit of any dependent child or the caretaker of a child. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17000, 17400, 17406 and 17415, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110539 to new section 110682, including amendments, filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110686. Quash.
Note     •     History

“Quash” means to cancel by judicial order. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 3765, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110547 to new section 110686 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110690. Quick Locate.
Note     •     History

“Quick locate” means a request for locate services from one state's parent locator service to another state's parent locator service with the responding state providing those services without opening a Title IV-D case. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110550 to new section 110690 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110694. Real Property.
Note     •     History

“Real property” means real estate or property, such as, land and buildings that are permanent, fixed, and immovable. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 116062 to new section 110694 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110698. Real Property Lien.
Note     •     History

“Real property lien” means a charge against real property, as defined in Section 110694, to secure payment of a support obligation at the time of sale or transfer of real property. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 116063 to new section 110698 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110710. Register.
Note     •     History

“Register” means a legal process by which a support order or judgment is filed with a tribunal in a state to give that tribunal authority to modify or enforce a support order. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4950, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117080 to new section 110710 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110718. Relative Caregiver.
Note     •     History

“Relative caregiver” means an adult who is related to the child by blood, adoption, or affinity within the fifth degree of kinship, including stepparents, stepsiblings, and all relatives whose status is preceded by the words “great,” “great-great,” or “grand” or the spouse of any of those persons even if the marriage was terminated by death or dissolution and who assumed primary responsibility for the child while the child was in the relative's care and control, and who is not a biological or adoptive parent. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17550, Family Code; and Section 11362(c), Welfare and Institutions Code. 
HISTORY

1. Change without regulatory effect renumbering former section 119076 to new section 110718 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110730. Responding State.
Note     •     History

“Responding state” means a state in which a proceeding to establish, enforce or modify a support order, or to determine paternity is filed or to which a proceeding is forwarded for filing from an initiating state. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117083 to new section 110730 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110734. Responding Tribunal.
Note     •     History

“Responding tribunal” means the court, administrative agency, or quasi-judicial entity in a responding state authorized to establish, enforce or modify support orders, or to determine paternity. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117085 to new section 110734 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110754. Spousal Support.
Note     •     History

“Spousal support” means a legally enforceable obligation assessed against an individual for the support of a spouse or former spouse who is living with a child or children for whom the individual also owes support.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17415, 17800 and 17801, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110609 to new section 110754 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110758. Spousal Support Order.
Note     •     History

“Spousal support order” means an order for the payment of spousal support to a spouse or former spouse of the obligor.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17800 and 17801, Family Code; and Section 11478.1, Welfare and Institutions Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110610 to new section 110758 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110762. State.
Note     •     History

“State” means a state of the United States, the District of Columbia, Puerto Rico, the United States Virgin Islands, or any territory or insular possession subject to the jurisdiction of the United States. The term “state” also includes both of the following: 
(a) An Indian tribe, including a Native Alaskan Village as defined in 42 United States Code, Section 619. 
(b) A foreign jurisdiction that has enacted a law or established procedures for issuance and enforcement of support orders which are substantially similar to the procedures under the Uniform Interstate Family Support Act specified in Chapter 6, of Part 5, of Division 9 (commencing with Section 4900) of the Family Code. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code; and 42 United States Code, Section 619(4)(A-B). 
HISTORY

1. Change without regulatory effect renumbering former section 117089 to new section 110762 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110766. State/County Plan of Cooperation.
Note     •     History

“State/County Plan of Cooperation” means the cooperative agreement between the Department and each local child support agency that identifies the local child support agency's roles and responsibilities for establishing paternity, establishing, modifying, and enforcing child support, spousal support, and medical support, or otherwise carrying out the requirements of Title IV-D.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110625 to new section 110766 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110770. State Directory of New Hires.
Note     •     History

“State Directory of New Hires (SDNH)” means a database maintained by each state that contains information regarding employees who are newly hired in the respective state. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Section 653a. 
HISTORY

1. Change without regulatory effect renumbering former section 110615 to new section 110770 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110778. State Hearing.
Note     •     History

“State hearing” means an administrative hearing mandated by state law whereby a complainant may obtain an impartial review of a local child support agency or Franchise Tax Board action or inaction regarding a child support case.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801, 17802 and 17804, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110618 to new section 110778 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110782. State Hearing Office.
Note     •     History

“State Hearing Office” means the division that conducts state hearings in the office or agency designated by the Department to carry out state hearings. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801, 17802, 17803 and 17804, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 120005 to new section 110782 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110794. Subject Matter Jurisdiction.
Note     •     History

“Subject matter jurisdiction” means a tribunal's authority to hear and determine the issues presented in a case brought before it. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4905, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117091 to new section 110794 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110842. Title IV-A.
Note     •     History

“Title IV-A” means Title IV of the federal Social Security Act, Part A, Block Grants to States for Temporary Assistance for Needy Families, codified at 42 USC, Section 601, et seq.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110658 to new section 110842 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110846. Title IV-B.
Note     •     History

“Title IV-B” means Title IV of the federal Social Security Act, Part B, Child and Family Services, codified at 42 USC, Section 620 et seq. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110659 to new section 110846 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110850. Title IV-D.
Note     •     History

“Title IV-D” means Title IV of the federal Social Security Act, Part D, Child Support and Establishment of Paternity, codified at 42 USC, Section 651 et seq.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17000(l), Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110660 to new section 110850 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110854. Title IV-E.
Note     •     History

“Title IV-E” means Title IV of the federal Social Security Act, Part E, Federal Payments for Foster Care and Adoption Assistance, codified at 42 USC, Section 670 et seq.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 110661 to new section 110854 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§110858. Tribunal.
Note     •     History

“Tribunal” means a court, administrative agency, or quasi-judicial entity authorized to establish, enforce, or modify support orders or to determine parentage. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4901 and 4902, Family Code. 
HISTORY

1. Change without regulatory effect renumbering former section 117094 to new section 110858 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
Article 2. (Reserved)
Article 3. Plans of Cooperation
§111110. Components of State/County Plan of Cooperation.
Note     •     History

(a) The Department shall annually develop and enter into a State/County Plan of Cooperation with each local child support agency. 
(b) The State/County Plan of Cooperation shall set forth the local child support agency's responsibilities for administering Title IV-D services and carrying out the state plan, including, but not limited to, locating custodial and non-custodial parents, establishment of paternity, the establishment, modification, and enforcement of child support and medical support orders, enforcement of spousal support orders, collection and distribution of child support, and the preparation of reports and maintenance of records 
(c) The State/County Plan of Cooperation shall, at a minimum, include all of the following: 
(1) A clear description of the specific duties, functions and responsibilities of each party. 
(2) Clear and definite standards of performance the local child support agency must meet. 
(3) A specific statement that the parties will comply with Title IV-D, implementing federal regulations and any other applicable state and federal laws, regulations and requirements. 
(4) The financial arrangements between the parties. 
(5) A description of records that shall be maintained and the methods that will be employed to safeguard these records as required by Article 5 of Subchapter 1 of this chapter relating to records management. 
(6) A statement of the specific dates on which the State/County Plan of Cooperation begins and ends. 
(7) A statement describing any conditions for revision or renewal, and the circumstances under which the State/County Plan of Cooperation may be terminated. 
(d) The State/County Plan of Cooperation shall also include the Annual Automation Cooperation Agreement between the Department and the local child support agency specifying the responsibilities, activities, milestones and consequences in regard to automation, as specified in Section 10081 of the Welfare and Institutions Code. 
(e) The Department may also include in the State/County Plan of Cooperation special contract provisions detailing the responsibility of the local child support agency for carrying out new initiatives or programs defined by the Department or necessary to address the need for program improvement by a local child support agency.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code; Section 10081, Welfare and Institutions Code; and 45 Code of Federal Regulations, Section 303.107. 
HISTORY

1. New article 3 (sections 111110-111230) and section filed 5-2-2002 as an emergency; operative 5-2-2002 (Register 2002, No. 18). Pursuant to Family Code section 17306(e)(2), these emergency regulations remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-2-2002 order, including amendment of subsections (c)(1), (d) and (e), transmitted to OAL 10-16-2002 and filed 12-2-2002  (Register 2002, No. 49).
§111120. General Requirements of State/County Plan of Cooperation.
Note     •     History

(a) The State/County Plan of Cooperation shall be one year in duration, commencing at the start of the federal fiscal year, and shall be subject to renewal or amendment as necessary to reflect new or revised state and federal laws, regulations and requirements. Failure of the parties to amend the State/County Plan of Cooperation to reflect new or revised state and federal laws and regulations does not relieve the local child support agency of the responsibility to act in accordance with those laws, regulations, and requirements. 
(b) The State/County Plan of Cooperation shall be signed by the director of the local child support agency and returned to the Department by the commencement of the federal fiscal year. 
(c) Failure to sign and return the State/County Plan of Cooperation by the start of each federal fiscal year may result in the withholding of part or all of the state or federal funds, including incentive funds, or other compliance actions authorized by state or federal law, regulation or policy. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code; and 45 Code of Federal Regulations, Section 303.107. 
HISTORY

1. New section filed 5-2-2002 as an emergency; operative 5-2-2002 (Register 2002, No. 18). Pursuant to Family Code section 17306(e)(2), these emergency regulations remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-2-2002 order, including amendment of section heading and section, transmitted to OAL 10-16-2002 and filed 12-2-2002  (Register 2002, No. 49).
§111210. Authority.
Note     •     History

(a) Each local child support agency shall have the authority to enter into a Local Plan of Cooperation with other county agencies, with approval by the Department, to assist in carrying out the local child support agency's responsibilities under the State/County Plan of Cooperation. 
(b) When a local child support agency, through a Local Plan of Cooperation, delegates responsibility to provide child support services to another county agency that is not a local child support agency, the local child support agency shall retain responsibility and accountability to the Department for operating, supervising, managing or overseeing Title IV-D functions of the local child support agency under the provisions of the Local Plan of Cooperation. 
(c) Nothing in this Article is intended to affect cooperative agreements entered into between local child support agencies and the superior court.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code. 
HISTORY

1. New section filed 5-2-2002 as an emergency; operative 5-2-2002 (Register 2002, No. 18). Pursuant to Family Code section 17306(e)(2), these emergency regulations remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-2-2002 order, including amendment of subsection (b) and new subsection (c), transmitted to OAL 10-16-2002 and filed 12-2-2002  (Register 2002, No. 49).
§111220. Requirements of Local Plan of Cooperation.
Note     •     History

(a) Each Local Plan of Cooperation shall, at a minimum, include all of the following: 
(1) A clear description of the specific duties, functions, and responsibilities of each party. 
(2) Clear and definite standards of performance the county agency that is entering into the Local Plan of Cooperation with the local child support agency must meet. 
(3) A specific statement that the parties shall comply with all state and federal laws, regulations and requirements relative to the subject of the Local Plan of Cooperation. 
(4) The financial arrangements between the parties. 
(5) A description of records that shall be maintained and the methods that will be employed to safeguard these records as required by Article 5 of Subchapter 1 of this chapter relating to records management. 
(6) A statement of the specific dates on which the Local Plan of Cooperation begins and ends. 
(7) A statement describing any conditions for termination, and revision or renewal upon written agreement of both parties, including a statement that any provision of the Local Plan of Cooperation which conflicts with new or revised state and federal laws, regulations, and requirements, shall be deemed to be amended consistent with those laws, regulations, and requirements. 
(8) Provisions for effective monitoring of the other county agency's performance under the Local Plan of Cooperation, including, but not limited to: 
(A) Periodic meetings between parties. 
(B) On-site review by the local child support agency. 
(C) Records review. 
(9) Provisions for corrective action when review of the other county agency's contract performance indicates a deficiency in performance. 
(b) A Local Plan of Cooperation shall not exceed three years in duration, subject to annual review and approval by the Department to ensure ongoing consistency with the State/County Plan of Cooperation. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code; and 45 Code of Federal Regulations, Section 303.107. 
HISTORY

1. New section filed 5-2-2002 as an emergency; operative 5-2-2002 (Register 2002, No. 18). Pursuant to Family Code section 17306(e)(2), these emergency regulations remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-2-2002 order transmitted to OAL 10-16-2002 and filed 12-2-2002  (Register 2002, No. 49).
§111230. Approval of Local Plan of Cooperation.
Note     •     History

(a) A local child support agency shall submit any Local Plan of Cooperation to the Department for review and approval. 
(1) Within 60 days of receipt of a Local Plan of Cooperation from the local child support agency, the Department shall either approve the Local Plan of Cooperation or notify the agency that the Local Plan of Cooperation is denied. 
(2) If the Department fails to respond in writing within 60 days of receipt of a Local Plan of Cooperation, the Local Plan of Cooperation shall be deemed approved. 
(3) If the local child support agency is notified that the Local Plan of Cooperation is denied, the agency may submit a revised Local Plan of Cooperation to the Department for further consideration. 
(b) The Department shall review a Local Plan of Cooperation for appropriateness, necessity, and cost reasonableness. 
(c) Costs associated with a Local Plan of Cooperation must be approved as part of the budget process. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code. 
HISTORY

1. New section filed 5-2-2002 as an emergency; operative 5-2-2002 (Register 2002, No. 18). Pursuant to Family Code section 17306(e)(2), these emergency regulations remain in effect for 180 days. A Certificate of Compliance must be transmitted to OAL by 10-29-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-2-2002 order transmitted to OAL 10-16-2002 and filed 12-2-2002  (Register 2002, No. 49).
Article 3. Plans of Cooperation (Reserved)
Article 4. Standards for Local Program Operations (Reserved)
Article 5. Records Management
§111420. Record Maintenance.
Note     •     History

Each local child support agency shall maintain records necessary for the administration of the Title IV-D program, and the date of each, including all of the following: 
(a) Applications for child support services. 
(b) Actions to locate noncustodial parents, to establish paternity and to obtain, modify, and enforce support orders, including medical support, and the costs incurred in such actions. This includes any relevant facts and actions taken by the local child support agency and the results of such action. 
(c) The amounts and sources of support collections and the distribution of these collections. 
(d) Any fees charged or paid for support enforcement services, or any other administrative costs. 
(e) Any statistical, fiscal, and other records necessary for reporting and accountability pursuant to 45 Code of Federal Regulations, Section 302.15(a)(7). 
(f) All records pertaining to complaint resolution specified in Chapter 10. 
(g) Any other information and documents not required by subsections (a) through (f) pertaining to the case. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 45 Code of Federal Regulations, Sections 302.15 and 303.2. 
HISTORY

1. New article 5 (sections 111420-111460) and section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 111420-111460) and section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of first paragraph and subsection (b), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§111430. Safeguarding and Confidentiality of Child and Spousal Support Information.
Note     •     History

(a) Child and spousal support information used in the administration of the Title IV-D Program shall be considered confidential and shall not be disclosed for any purpose not directly connected with the administration of the child and spousal support enforcement program, unless expressly authorized under this Article. For the purposes of this Article, information means all files, applications, papers, documents, and records including those maintained in an electronic format, on microfilm or microfiche. 
(b) Information considered confidential under this Article consists of: 
(1) Child and spousal support enforcement records related to: 
(A) Determination of paternity. 
(B) Establishment, modification, and/or enforcement of child support and medical support orders. 
(C) Establishment, modification, and/or enforcement of spousal support orders. 
(2) Information related to abducted children or the location of the concealing, detaining, or abducting person. 
(3) Information related to crimes against a child. 
(c) All records and information obtained from other sources such as the Federal Parent Locator Service, Department of Motor Vehicles, Department of Justice and private financial institutions shall be safeguarded in accordance with the requirements set forth by those sources. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17212, Family Code; Section 11478.1, Welfare and Institutions Code; and 42 United States Code, Section 654 (26). 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of subsection (a), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect amending Note filed 4-11-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 15).
§111440. Disclosure of Information.
Note     •     History

(a) Disclosure of information specified in Section 111430 is authorized as follows: 
(1) Information may be disclosed to public agencies for administrative, civil, or criminal investigations, actions, proceedings, or prosecutions directly related to the administration of the Title IV-D program, and other entities as permitted by state or federal law. 
(2) Information may be disclosed to the local agency responsible for the administration of the Title IV-D program in another state. 
(3) Information may be disclosed to the local agency responsible for the following programs funded under the federal Social Security Act: 
(A) Title IV-A. 
(B) Title IV-B. 
(C) Title IV-E. 
(4) A document requested by the person who wrote, prepared, or furnished the document may be disclosed to that person or his/her designee, if the designee has written authorization. 
(5) A payment history of an obligor pursuant to a support order may be disclosed to the obligor, court, or person on whose behalf enforcement actions are being taken or to his/her designee, if that designee has written authorization. 
(6) Income and expense information of either parent may be disclosed to the other parent or custodial party for the purpose of establishing or modifying a child support order. 
(7) Medical insurance information for a child may be disclosed to the other parent or person having custody of the child for the purpose of establishing, modifying, or enforcing a medical support order. 
(8) Any information required to be disclosed by a court order may be disclosed to the person designated in the court order. 
(9) Public records subject to disclosure under the Public Records Act may be disclosed. 
(10) Information may be disclosed to the courts for Title IV-D related activities. 
(11) Information may be disclosed to a district attorney, law enforcement agency, state or county child protective agency, or for use in any judicial proceeding, to the extent permitted by federal and state law and regulation, for the following purposes: 
(A) In aiding or assisting in the investigation or prosecution of cases involving child abduction. 
(B) The prosecution of a crime against a child. 
(C) For the protection of a child. 
(12) Information may be disclosed to individuals who are authorized access to information from the Federal Parent Locator Service. 
(b) Notwithstanding any other provision in these regulations, the disclosure of information on the whereabouts of one party or the child to the other party shall be prohibited in any of the following circumstances: 
(1) The local child support agency has reason to believe that release of the information may result in physical or emotional harm to the party or the child; or 
(2) A good cause claim, pursuant to Section 11477.04 or Section 14008.6, Welfare and Institutions Code, has been approved or is pending; or 
(3) A protective order has been issued by a court or administrative agency. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3752(c) and 17212, Family Code; and Sections 11477.04, 11478.1, and 14008.6, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section and Note, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§111450. Record Retention.
Note     •     History

All closed Title IV-D case records shall be retained for four years and four months from the date of case closure, except case records that are the subject of any of the following, which shall be retained until the closure of: 
(a) An open federal or State audit. 
(b) A pending civil litigation, or a court order requiring such records be maintained for an extended period. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 45 Code of Federal Regulations, Sections 302.15 and 303.11(d). 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§111460. Record Disposal.
Note     •     History

(a) Each local child support agency shall ensure that the records maintained pursuant to Section 111420 are disposed of as specified below. 
(b) Confidential records shall be destroyed in one of the following manners: 
(1) Shredding. 
(2) Recycling which results in destruction of the records. 
(3) Burning. 
(4) Erasure. 
(5) Obliteration. 
(6) Burial. 
(7) Permanently deleting, erasing, and/or purging electronic, microfilm, and microfiche records from computers, hard-drives, floppy disks, magnetic media, and other software programs. Electronic documents that have been printed or reproduced into a hard copy shall be destroyed as specified in subparagraphs (1) through (6) above. 
(c) Records destroyed as specified in subsection (b)(6), shall be obliterated in a manner that ensures the information contained in these records is indecipherable prior to burial. 
(d) Records containing criminal history information not related to the parents failure to provide support, shall be destroyed as specified in subsection (b) within four years and four months of the date the case was closed. 
(e) If the records specified in this Article are destroyed by a third party, a local child support agency shall include a confidentiality clause in the contract with the third party to ensure record confidentiality through destruction. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17531, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
Article 6. Customer Service
§111540. Ombudsperson Program -- General Requirements.
Note     •     History

Each local child support agency shall: 
(a) Adopt and maintain an ombudsperson program, as described in this Article. 
(b) Appoint a lead ombudsperson with the qualifications specified in Section 111541 who shall be responsible for the operations of the ombudsperson program. 
(c) Provide sufficient staff to operate the ombudsperson program. 
(d) Provide ombudsperson staff with access to local child support agency records to perform the duties and responsibilities of the ombudsperson program. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New article 6 (sections 111540-111543) and section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 111540-111543) and section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§111541. Lead Ombudsperson Qualifications.
Note     •     History

The lead ombudsperson shall possess knowledge of: 
(a) The principles of customer service. 
(b) The child support program. 
(c) The organizational structure, practices and procedures of the local child support agency. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§111542. Ombudsperson Responsibilities.
Note     •     History

(a) The ombudsperson program shall provide, as appropriate, assistance to custodial parties, noncustodial parents, employers and the public: 
(1) On inquiries about the child support program, local complaint resolution process and state hearings. 
(2) On issues regarding actions taken by the local child support agency and/or Franchise Tax Board. 
(3) By reviewing inquiries and issues and resolving them or making recommendations to resolve them prior to a complaint being filed. 
(4) By assisting custodial parties and noncustodial parents in navigating the local complaint resolution and state hearing processes. 
(5) By providing written, Department approved informational materials, related to the ombudsperson program, the local complaint resolution process, the state hearing process, and/or other child support related information. 
(6) By referring customers to the Family Law Facilitator, or local legal aid office, as appropriate or upon request.
(b) The Ombudsperson shall be the liaison with the State Hearing Office to arrange for a hearing facility in the county.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§111543. Data Collection and Information Reporting.
Note     •     History

The ombudsperson program shall: 
(a) Assess customer satisfaction with the local child support agency's actions regarding his/her inquiry, issue, dispute, or complaint with the local child support agency. 
(b) Compile, maintain and report to the Department within 15 business days after the end of the calendar quarter the number and type of inquiries, issues, disputes and/or complaints received by the ombudsperson. 
(c) Analyze the data required by subsection (b) and the complaint resolution information required by Section 120108, and identify and report systemic issues to the Department within 30 business days after the end of the calendar quarter. 
(d) Compile and maintain other information required by the Department upon request. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of subsections (a) and (b), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
Article 7. Staff Requirements
§111550. Bonding of Employees.
Note     •     History

(a) Each local child support agency shall:
(1) Obtain a surety bond against losses resulting from employee dishonesty for every employee who receives, disburses, handles, or otherwise has access to any child support funds or support collections under the child support enforcement program required by Title IV-D of the Social Security Act.
(2) Ensure surety bonds are established in amounts sufficient to protect the local child support agency against loss from employee dishonesty.
(3) Ensure compliance with the bonding requirements specified in this Section by any other public or private agencies with which a plan of cooperation or purchase of service agreement is established involving any cash handling and/or accounting function.
(b) Bonding requirements may be satisfied by a county's self-bonding or self-insurance program, as permitted by local ordinance, code or local government resolution, if the self-bond or self-insurance is adequate to cover any loss of child support funds or support collections as a result of employee dishonesty.
(c) Any local child support agency that uses a self-bonding or self-insurance program to protect against loss, shall identify a county official to certify the following to the Department: “This county is self-bonded or self-insured for an amount adequate to cover any loss of child support funds or support collections as a result of employee dishonesty.”
(d) Each local child support agency shall make available, upon the request of the Department, proof of bonding by providing:
(1) A copy of the bond that meets the requirement specified in subsection (a)(1) above; or
(2) The certification specified in subsection (b)(1) for self-bonded or self-insured counties.
(e) In no case shall any bonds or insurance acquired in compliance with this section reduce or limit the liability of the county or the local child support agency for losses of child support collections.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Section 654(14)(A); and 45 Code of Federal Regulations, Section 302.19.
HISTORY

1. New article 7 (section 111550) and section filed 7-22-2002 as an emergency pursuant to Family Code section 17306(e); operative 7-22-2002 (Register 2002, No. 30). A Certificate of Compliance must be transmitted to OAL by 1-20-2003 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2002, No. 33).
3. Certificate of Compliance as to 7-22-2002 order, including amendment of subsections (b)-(c), transmitted to OAL 10-29-2002 and filed 12-9-2002 (Register 2002, No. 50).
§111560. Director Qualifications.
Note     •     History

(a) Each local child support agency shall have a director who oversees the administration of the agency.
(b) The director shall be an employee of the county selected by the board of supervisors, or in the case of a city and county, selected by the mayor, or in the case of a regionalized agency, selected in accordance with the instrument, agreement, or other document governing the operation and organization of the regionalized agency.
(c) The director shall possess the equivalent to a bachelor's degree from an accredited college or university in business or public administration, psychology/sociology or related disciplines, or four years experience performing duties in a public agency of which two years were in a senior level administrative or management position.
(d) When considering a director appointment, the appointing authority as specified in subsection (b) shall also consider the following knowledge and abilities:
(1) Knowledge of government programs at the federal, state, or local level.
(2) Ability to direct and administer the local child support agency to assure its effective and efficient operation.
(3) Ability to work cooperatively with diverse interest groups, including advocacy groups, governmental organizations, and private entities.
(4) Knowledge of the applicable state and federal laws, rules and regulations relative to a child support program.
(5) Knowledge of applicable federal and state civil and criminal laws and regulations applicable to the delivery of child support services.
(6) Knowledge of the practices and procedures of the local courts relative to a child support program.
(7) Ability to carry out the county's personnel management program.
(8) Ability to direct and administer the county local child support agency activities to assure compliance with applicable state and federal laws, regulations and policies.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code.
HISTORY

1. New section filed 8-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 8-14-2002 (Register 2002, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-14-2002 order transmitted to OAL 12-19-2002 and filed 2-3-2003 (Register 2003, No. 6).
Subchapter 2. Fiscal Administration [Reserved]
Subchapter 3. Administrative Reporting
Article 1. Administrative Reports
§111900. Administrative Reporting.
Note     •     History

Each local child support agency shall submit data to the Department pursuant to this Article as required to meet federal and state reporting requirements. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17600, Family Code; 42 U.S.C., Section 669; and 45 Code of Federal Regulations, Section 302.15. 
HISTORY

1. New subchapter 3, article 1 (sections 111900-111920) and section filed 9-6-2001 as an emergency pursuant to Family Code section 17306; operative 9-6-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2002, No. 10).
3. New subchapter 3, article 1 (sections 111900-111920) and section refiled 3-5-2002 as an emergency pursuant to Family Code section 17306; operative 3-5-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-5-2002 order transmitted to OAL 8-29-2002 and filed 10-9-2002 (Register 2002, No. 41).
§111910. Collection/Distribution Reports.
Note     •     History

(a) The local child support agency shall accurately complete all required child, family, medical, and spousal support collection and distribution reports and submit them to the Department on a monthly basis, by the due date required for each report. These reports shall include, but not be limited to, the following: 
(1) “Child Support Services Monthly Report of Collections and Distributions,” form CS 34, dated (01/02), incorporated by reference herein. The local child support agency shall submit this report no later than the 15th calendar day after the end of the reporting month. 
(2) “Child Support Services Assistance Related Distribution/Disbursement Summary,” form CS 35, dated (01/02), incorporated by reference herein. The local child support agency shall submit this report no later than the 15th calendar day after the end of the reporting month.
(3) “Summary Report of Health Insurance Identified -- Non-AFDC” form CS 810, dated (1/00), incorporated by reference herein. The local child support agency shall submit this report no later than the 15th business day after the end of the report month. The local child support agency is not required to submit this report if no health insurance activity has occurred during the report month. 
(b) If the local child support agency fails to meet the reporting deadlines or to accurately report the required data, the Department shall send written notification to the director of the local child support agency of the missed reporting deadline or the inaccurate report, and require the report to be filed and/or accurately completed within 15 days. If the report has still not been received 15 calendar days after the deadline set forth above or if a report is not received timely for a subsequent reporting period, a written notification by the Department to the County Executive Officer/County Administrative Officer shall be sent. If the report has still not been received 30 calendar days after the deadline set forth above or if a report is not received timely on a third occasion, notification by the Department to the County Board of Supervisors and the State Legislature shall be sent. The local child support agency will also be sent copies of each notice. 
(c) If the local child support agency fails to meet the reporting deadline or fails to provide accurate data, the Department may use the data reported by that local child support agency from prior reporting periods as applicable, noted as such, in any Department reports. 
(d) The local child support agency shall submit all reports required by this section with a signature, under penalty of perjury, of the local child support agency director. The Department shall not disburse federal and state funds to the local child support agency if the report is not filed, or is filed without the required signature. 
(e) The local child support agency shall remit a copy of the monthly CS 35 report and payment for Federal and State shares of recoupment identified on the monthly CS 35 to the Department by the 15th calendar day following the reporting month. If the local child support agency fails to remit the state and federal share of the collections within the required timeframe, the Department shall send written notification to the director of the local child support agency, requiring remittance of the payment within 15 business days. In the event that the local child support agency does not remit the payment within 15 business days, the Department shall offset the next child support payment to the county. 
(f) The local child support agency shall complete all required case level detail reports requested for audit purposes and provide each report as requested by the Department, federal and/or state auditor and child support program reviewers. 
(g) The local child support agency shall, consistent with Sections 111430 and 111440, retain copies of all signed collection and distribution reports for four years and four months, provided there are not any outstanding issues in litigation, claims, financial management reviews or audits. If any issue is pending, the local child support agency shall retain the reports, relating to those issues, in any litigation, claim, financial management review, or audit involving the reports until the issue is resolved and final action has been completed. 
NOTE

Authority cited: Sections 17306, 17310, 17312 and 17704, Family Code. Reference: Section 17600, Family Code; 42 U.S.C., Section 669; and 45 Code of Federal Regulations, Section 302.15. 
HISTORY

1. New section filed 9-6-2001 as an emergency pursuant to Family Code section 17306; operative 9-6-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2002, No. 10).
3. New section refiled 3-5-2002 as an emergency pursuant to Family Code section 17306; operative 3-5-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-5-2002 order, including amendment of section, transmitted to OAL 8-29-2002 and filed 10-9-2002 (Register 2002, No. 41).
§111920. Activity and Statistical Reports.
Note     •     History

(a) The local child support agency shall accurately complete all required activity and statistical reports required by the Department on a quarterly, state fiscal year, and federal fiscal year basis, as applicable. These reports shall include, but not be limited to, the following: 
(1) “Child Support Services Quarterly State Performance Report” form CS 457 QTR, dated (1/02), incorporated by reference herein. 
(2) “Child Support Services Federal Fiscal Year Annual Data & Accounts Receivable Report” form CS 157 FFY, dated (10/00), incorporated by reference herein. 
(b) The local child support agency shall submit the reports to the Department, no later than 15 calendar days after the end of the reporting quarter, state and/or federal fiscal year, as applicable. If such day is not a business day the report shall be submitted the next business day. 
(c) If the local child support agency fails to meet the reporting deadlines or to accurately report the required data, the Department shall send written notification to the director of the local child support agency, of the missed reporting deadline or the inaccurate report, and require the report to be filed and/or accurately completed within 15 days. If the report has still not been received 15 calendar days after the deadline set forth above or if a report is not received timely for a subsequent reporting period, a written notification by the Department to the County Executive Officer/County Administrative Officer shall be sent. If the report has still not been received 30 calendar days after the deadline set forth above or if a report is not received timely on a third occasion, notification by the Department to the County Board of Supervisors and the State Legislature shall be sent. The local child support agency will also be sent copies of each notice. 
(d) If the local child support agency fails to meet the reporting deadline and/or fails to provide the requested data, the Department may use the data reported by that local child support agency from prior reporting periods, noted as such, in any Department reports. 
(e) The local child support agency shall submit electronically all reports required by this section with a signature, under penalty of perjury, of the local child support agency director or its equivalent using the directors' electronic approval code. The Department shall not disburse federal and state funds if the report is not filed, or filed without the required signature. 
(f) The local child support agency shall not be eligible to receive state incentive funds as specified in Section 17704 of the Family Code, if the local child support agency fails to report as required by Section 17600 of the Family Code. 
(g) The local child support agency shall complete all required case level detail reports requested for audit purposes and provide each report as requested by the Department, federal and/or state auditor and child support program reviewers. 
(h) The local child support agency shall, consistent with Sections 111430 and 111440, retain copies of all activity and statistical reports for four years and four months, provided there are not any outstanding issues in litigation, claims, financial management reviews or audits. If any issue is pending, the local child support agency shall retain the reports, relating to those issues, in any litigation, claim, financial management review, or audit involving the reports until the issue is resolved and final action has been completed.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17600, Family Code; 42 U.S.C., Sections 655(d) and 669; and 45 Code of Federal Regulations, Section 302.15. 
HISTORY

1. New section filed 9-6-2001 as an emergency pursuant to Family Code section 17306; operative 9-6-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2002, No. 10).
3. New section refiled 3-5-2002 as an emergency pursuant to Family Code section 17306; operative 3-5-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-5-2002 order, including amendment of section, transmitted to OAL 8-29-2002 and filed 10-9-2002 (Register 2002, No. 41).
Chapter 2. Case Intake
Article 1. Definitions
§112002. Abuse.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New chapter 2 (articles 1-6), article 1 (sections 112002-112035) and section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New chapter 2 (articles 1-6), article 1 (sections 112002-112035) and section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 112002 to new section 110004 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§112015. Child Abuse.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 112015 to new section 110140 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§112025. Domestic Violence.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 112025 to new section 110292 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§112034. Family Violence.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 112034 to new section 110339 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§112035. Family Violence Indicator.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42 United States Code, Section 663. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
5. Change without regulatory effect renumbering former section 112035 to new section 110343 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
Article 2. Application and Referral
§112100. General Requirements.
Note     •     History

Each local child support agency shall: 
(a) Make the application package for child support services, specified in Section 112110, available to the public and provide the application package on the day it is requested in person, or within five business days of a telephone or written request. 
(b) Accept an application for child support services on the day the application is received from an applicant who is not currently receiving public assistance including an applicant: 
(1) Reapplying for services after his/her case was closed pursuant to case closure criteria specified in 45 Code of Federal Regulations, Section 303.11. 
(2) Applying for services to collect spousal support, if both of the following conditions exist: 
(A) The obligee is living with the children for whom the spousal support obligor also owes child support. 
(B) The child support order is being enforced under the Title IV-D program. 
(c) Not require an application package from: 
(1) A current public assistance recipient that is referred from the county welfare department.
(2) A former public assistance recipient who became ineligible to receive assistance after being referred by the county welfare department, but still wishes to have child support services continue. 
(3) When a California local child support agency is the responding state in a interstate case. 
(d) Provide written notification to an applicant within five business days from receipt of an application, if the application is deficient in any one of the data elements specified in Section 112130(a)(2), identifying the deficiencies. 
(e) Accept all referrals of CalWORKs, Foster Care, and Medically Needy Only recipients from the county welfare department on the day they are received and provide to the recipient the information notice specified in Section 112110(i) within five business days of the referral. The referral process for CalWORKs and Medically Needy Only recipients shall include making local child support agency staff available to interview each recipient, in person or by telephone, at the time of the initial interview in each county welfare department. During the interview with the recipient, the local child support agency shall obtain all information necessary to complete: 
(1) The the “Referral to Local Child Support Agency” form CW 371, as required by the California Department of Social Services (CDSS), Manual of Policies and Procedures (MPP) Section 80-310(c)(11). 
(2) The the “Support Questionnaire” form CA 2.1Q, as required by CDSS, MPP Section 80-310(c)(2). 
(3) The “Attestation Statement,” form CS 870, dated (01/02), incorporated by reference herein, if applicable. 
(f) During the initial interview specified in subsection (e), a local child support agency shall also obtain all information necessary to complete the form specified in Section 112110(h), and offer to the recipient information on the availability of services designed to assist individuals to identify, escape, or stop future domestic abuse, as well as to deal with the effects of domestic abuse. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17406 and 17415, Family Code; Section 11477, Welfare and Institutions Code; and 45 Code of Federal Regulations, Sections 302.31, 302.33 and 303.2. 
HISTORY

1. New article 2 (sections 112100-112110) and section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 112100-112110) and section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of section and Note, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
§112110. Application Package for Child Support Services.
Note     •     History

The application package required by Section 112100 shall include each of the following which are incorporated by reference herein: 
(a) “Application for Support Services,” CSS 2101, dated (01/02). 
(b) “Information Regarding the Application for Support Services Package,” CSS 2103, dated (09/01/01). 
(c) “Child Care Verification,” CSS 2105, dated (09/01/01). 
(d) “Visitation Verification,” CSS 2107, dated (09/01/01). 
(e) “Declaration of Support Payment History,” CSS 2109, dated (09/01/01). 
(f) “Health Insurance Information,” CSS 2111, dated (09/01/01). 
(g) “Request for Support Services,” CSS 2115, dated (02/02). 
(h) “Child Support Domestic Violence Questionnaire,” CSS 2142, dated (01/02). 
(i) “Child Support Services Program Notice,” CS 196, dated (01/02). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17406, Family Code; and 45 Code of Federal Regulations, Sections 302.33 and 303.2. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of section, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
Article 3. Case Opening Requirements
§112130. Establishing the Case Record.
Note     •     History

Each local child support agency shall: 
(a) Open a case by establishing a case record within 20 days of receipt of either: 
(1) A referral of a CalWORKs, Foster Care or Medically Needy Only recipient from the county welfare department. 
(2) The application for services form, CSS 2101, if the minimum data elements necessary to open a case are provided. The minimum data elements shall include the name of an applicant and child(ren) and the signature of the applicant on the application. 
(b) Reopen a closed case upon receipt of an application for services or a referral from the county welfare department within the time frame specified in subsection (a), regardless of previous unsuccessful locate attempts. 
(c) Assess the case to determine necessary action(s) by considering: 
(1) The case type. 
(2) Whether the case already exists. 
(3) Whether paternity is at issue. 
(4) Whether the custodial or noncustodial parent's physical location is known. 
(5) Whether a child, medical or spousal support order already exists for the children or spouse for whom services are being requested. 
(d) Ensure the case record established pursuant to subsection (a) contains both of the following: 
(1) All information and documents pertaining to the case including the information contained on the forms specified in Section 112110. 
(2) All facts and dates relevant to the case, including a record of: 
(A) All actions taken, the reason and results of each action, and the name of the person taking the action. 
(B) Each contact made, the date(s) of contact, and the names of all persons contacted. 
(e) Solicit any additional information and initiate verification of information obtained, as necessary, to provide locate, establishment or enforcement services. 
(f) Open one case naming the most likely alleged father when paternity is at issue and if that alleged father is excluded, change the case record to reflect the next most likely alleged father. The local child support agency shall repeat this action for each alleged father until the father has been identified or all alleged fathers have been excluded. 
(g) Provide written notification to a CalWORKs and Medically Needy Only recipient, unless the recipient is a nonparent caretaker or other relative of the child(ren), of the requirement to cooperate in all required activities necessary to establish paternity and/or establish, modify, or enforce a support order, as specified in Section 112200, as a condition of continued eligibility for CalWORKs or Medi-Cal unless: 
(1) Only the children are receiving CalWORKs or Medi-Cal benefits, or 
(2) A good cause claim is pending or has been approved by the county welfare department, as specified in Sections 14008.6, or 11477.04, Welfare and Institutions Code, as applicable. 
(h) Mail written notification to the noncustodial parent, if his/her address is known, informing the noncustodial parent of the case opening. This notification shall include all of the following: 
(1) Any available identifying numbers such as, a court case number or a local child support agency case number. 
(2) Information regarding child support services including the noncustodial parent's rights and responsibilities. 
(3) An income package containing a cover letter requesting financial information and either a “Financial Statement (Simplified),” as required by the Rules of Court 1285.52, or a Income and Expense Declaration, as required by the Rules of Court 1285.50. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 45 Code of Federal Regulations, Sections 302.33 and 303.2. 
HISTORY

1. New article 3 (section 112130) and section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (section 112130) and section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of subsections (a)(2), (g) and (g)(2), transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
Article 4. Case Processing
§112140. Interviewing a Custodial Party/Noncustodial Parent.
Note     •     History

Each local child support agency shall: 
(a) Conduct an initial interview with a custodial party, unless the custodial party is a foster care agency, or a noncustodial parent if that individual is the applicant for Title IV-D services, within 10 business days of opening a case, unless an interview was conducted pursuant to Section 112100(e). During the initial interview the local child support agency shall: 
(1) Answer questions and provide information to the custodial party or noncustodial parent of his/her rights and responsibilities. 
(2) Review the forms specified in Section 112110 completed by the custodial party and/or noncustodial parent and solicit additional information as necessary. 
(b) Reinterview the custodial party or noncustodial parent to obtain information, when necessary. 
(c) Notwithstanding subsections (a) and (b), interview or reinterview a noncustodial parent only if the noncustodial parent is not represented by an attorney or his/her attorney has given a local child support agency permission to conduct an interview. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17400 and 17405, Family Code; and 45 Code of Federal Regulations 303.2. 
HISTORY

1. New article 4 (sections 112140-112155) and section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 112140-112155) and section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of subsection (a), transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
§112150. Case Processing--CalWORKs Referrals.
Note     •     History

(a) Upon receipt of a CalWORKs referral, each local child support agency shall seek to establish paternity, if necessary, and to obtain either or both of the orders specified in (1) and (2), below: 
(1) An order for current support which shall comply with the statewide uniform guideline specified in Article 2, of Part 2, of Division 9, of the Family Code, if either of the conditions specified below exist: 
(A) An order for support of all the minor child(ren) subject to the CalWORKs grant does not already exist and the family continues to receive CalWORKs. 
(B) Following the receipt of a CalWORKs referral a custodial party ceases to receive public assistance under the CalWORKs program, but continues to receive Title IV-D services. 
(2) An order for reimbursement of the costs of any public assistance under the CalWORKs program provided during the period of the noncustodial parent's absence, unless an order has already been established. A reimbursement order sought by a local child support agency shall comply with the statewide uniform guideline specified in Article 2, of Part 2, of Division 9, of the Family Code and shall be reduced by a local child support agency of a county in which a CalWORKs recipient is receiving CalWORKs by any amount actually paid by a noncustodial parent to a custodial party or to a local child support agency during the period of separation or desertion for the support and maintenance of the family. Such orders shall be subject to the following:
(A) For cases filed on or after January 1, 2000, the order for the support and maintenance of the family shall not exceed one year prior to the date of the filing of the petition or complaint.
(B) For cases filed prior to January 1, 2000, the order for the support and maintenance of the family shall not exceed three years prior to the date of the filing of the petition or complaint.
(b) Each local child support agency shall enforce any existing valid support order(s) established for the family and/or child(ren) subject to a CalWORKs grant. 
(c) When a CalWORKs recipient is no longer eligible for assistance under the CalWORKs program, a local child support agency shall continue to: 
(1) Provide Title IV-D services and notify the former CalWORKs recipient, in writing, within five business days of receipt of the county welfare department's notification of ineligibility, that Title IV-D services shall be continued unless the local child support agency is notified in writing by the former CalWORKs recipient that services should be discontinued. The notice shall inform the former CalWORKs recipient of his/her rights and responsibilities of continuing to receive Title IV-D services, including available services and distribution policies. 
(2) Collect any assigned arrearages that have accrued. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17400, 17415 and 17402, Family Code; Section 11477, Welfare and Institutions Code; and 45 Code of Federal Regulations, Sections 302.33, 302.50, 303.4 and 303.6. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of section and Note, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
§112152. Case Processing-Medically Needy Only Referrals.
Note     •     History

Each local child support agency shall: 
(a) Provide all Title IV-D services to a Medically Needy Only recipient unless he/she notifies the local child support agency that only services related to medical support are wanted.
(b) Establish paternity when appropriate.
(c) Seek to obtain an order for a noncustodial parent to provide medical support for his/her child(ren) receiving benefits under the Medi-Cal program.
(d) Enforce any existing valid medical support order for health insurance established for the child(ren) receiving benefits under the Medi-Cal program.
(e) Forward payments from a noncustodial parent for medical support to the Department of Health Services, if a local child support agency is enforcing a medical support order specifying a dollar amount for medical support. 
(f) Provide written notification to the county welfare department and to the Department of Health Services, Third Party Liability Branch, within five days of discovering that a Medically Needy Only recipient received a medical support payment directly from a noncustodial parent, if the local child support agency is enforcing a medical support order specifying a dollar amount for medical purposes.
(g) When a Medically Needy Only recipient is no longer eligible for assistance under the Medi-Cal program, a local child support agency shall continue to provide Title IV-D services, and notify the Medically Needy Only recipient in writing within five business days of receipt of the county welfare department's notification of ineligibility, that Title IV-D services shall be continued unless the local child support agency is notified in writing by the Medically Needy Only recipient that services should be discontinued. The notice shall inform the Medically Needy Only recipient of his/her rights and responsibilities of continuing to receive Title IV-D service, including available services and distribution policies.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17400 and 17415, Family Code; Section 14008.6, Welfare and Institutions Code; and 45 Code of Federal Regulations, Sections 302.31, 302.33, 302.51 and 303.31. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of section and Note, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
§112154. Case Processing-Foster Care Referrals.
Note     •     History

Each local child support agency shall: 
(a) Obtain the orders specified in Section 112150(a), as applicable. 
(b) Enforce any existing valid support order(s) established for the family and/or child(ren) subject to foster care assistance. 
(c) Continue to provide Title IV-D services as specified in Section 112150(c). 
(d) Petition the Superior Court to issue an order to show cause, as specified in Section 903.4(c)(1), Welfare and Institutions Code, why an order should not be entered for continuing support and reimbursement. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17400 and 17402, Family Code; Section 11477, Welfare and Institutions Code; 42 United States Code; Section 654; and 45 Code of Federal Regulations, Sections 302.33, 302.50, 303.4 and 303.6. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of subsection (b) and Note, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
§112155. Case Processing-Non Public Assistance Cases.
Note     •     History

(a) A local child support agency shall seek to establish paternity, if necessary, and to obtain an order for current support which shall comply with the statewide uniform guideline specified in Article 2, of Chapter 2, of Part 2, of Division 9, of the Family Code (commencing with Section 4050), and an order for medical support, unless such orders for support of all the minor children already exist. 
(b) A local child support agency shall enforce any existing valid support order(s) and/or medical support orders established for the family and/or child(ren) as specified in Division 9 of the Family Code (commencing with Section 3500); Division 17 of the Family Code (commencing with Section 17000); and Title 6.5 of Part 2 of the Code of Civil Procedure (commencing with Section 481.010), Title 9 of Part 2 of the Code of Civil Procedure (commencing with Section 680.010); Title 13 of Part 2 of the Code of Civil Procedure (commencing with Section 901); and Title 5 of Part 3 of the Code of Civil Procedure (commencing with Section 1209). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17400, Family Code; and 45 Code of Federal Regulations, Sections 302.33, 303.4 and 303.6. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of subsection (a) and Note, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
Article 5. Cooperation
§112200. Determining Cooperation.
Note     •     History

Each local child support agency shall: 
(a) Determine cooperation throughout case processing from a a CalWORKs or Medically Needy Only applicant or recipient who is receiving Title IV-D services. For the purposes of this Article the following definitions shall apply:
(1) “Applicant or recipient” means a custodial party who is the parent of a child(ren) and who has assigned to a county any rights to support.
(2) “Cooperation” means assistance by an applicant or recipient in all required activities necessary to establish paternity, or to establish, modify or enforce a medical or child support order, unless a finding of good cause has been made as specified in Section 112210. 
(b) The activities necessary for cooperation shall include all of the following: 
(1) Providing the name of the alleged father or noncustodial parent, as well as other information, if known, such as the alleged father's or noncustodial parent's address, Social Security Number, telephone number, place of employment or school, and the names and addresses of relatives. 
(2) Providing the information necessary to complete the “Support Questionnaire,” form CA 2.1 Q, for each alleged father or noncustodial parent, as required by CDSS, MPP Section 80-310(c)(2). 
(3) Appearing at interviews, hearings, and legal proceedings provided the applicant or recipient is provided with forty eight hours advance notice of the interview, hearing, or legal proceeding, unless otherwise governed by the court, and does not have good cause not to appear. The following shall be considered good cause for not appearing: 
(A) Death in the immediate family.
(B) Personal illness or injury to the applicant or recipient or authorized representative.
(C) Sudden and unexpected emergencies including but not limited to traffic accidents on the day of the interview, hearing, or legal proceeding and illness or injury of a household or family member who requires immediate care.
(4) Submitting to genetic tests if paternity is at issue. 
(5) Providing any additional information about the alleged father or noncustodial parent that is obtainable by the applicant or recipient. 
(c) Not require the applicant or recipient to sign a voluntary declaration of paternity, as specified in Sections 7570 through 7577, Family Code, as a condition of cooperation. 
(d) Make a finding regarding whether the applicant or recipient could reasonably be expected to assist in all required activities specified in subsection (b), if the applicant or recipient attests under penalty of perjury that he/she cannot provide such assistance. In making the finding, a local child support agency shall consider all of the following: 
(1) The age of the child(ren) for whom support is sought. 
(2) The circumstances surrounding the conception of the child. 
(3) The age or mental capacity of the applicant or recipient. 
(4) The time that has elapsed since the applicant or recipient last had contact with the alleged father or noncustodial parent. 
(e) Not make a finding of noncooperation for a CalWORKs or Medically Needy Only applicant or recipient before he/she is given the opportunity to attest, under penalty of perjury, that he/she has no further information about the noncustodial parent and the information already provided is complete and accurate to the best of his/her knowledge and belief. 
(f) Prepare and transmit the “Referral To Local Child Support Agency,” form CW 371, to the county welfare department as notice that the applicant or recipient has failed to cooperate. If the applicant or recipient subsequently cooperates, the local child support agency shall prepare and transmit form CW 371 to notify the county welfare department of that fact. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 11477 and 14008.6, Welfare and Institutions Code; and 45 Code of Federal Regulations, Section 264.30. 
HISTORY

1. New article 5 (sections 112200-112210) and section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 112200-112210) and section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of section and Note, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
§112210. Good Cause.
Note     •     History

(a) The local child support agency shall suspend Title IV-D services if, the custodial party requests a good cause review by the county welfare department. Services shall remain suspended until the custodial party requests the resumption of services, or the county welfare department declines to find good cause. 
(b) A local child support agency shall suspend Title IV-D services after the agency is notified by the county welfare department via the “Child Support-Good Cause For Noncooperation,” form CW 51, as required by CDSS, of a finding of good cause, as specified in, Sections 11477.04 and 14008.6 Welfare and Institutions Code. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 11477.02 and 14008.6, Welfare and Institutions Code; and 45 Code of Federal Regulations, Section 302.31. 
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of section, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
Article 6. Family Violence
§112300. Screening for Family Violence.
Note     •     History

(a) Each local child support agency shall screen all custodial parties and noncustodial parents for family violence, as specified below: 
(1) For all new cases, except interstate responding cases, screening shall occur either: 
(A) During the initial interview, specified in Sections 112100(e) and 112140; or 
(B) If the addresses of either a custodial party or noncustodial parent are unknown, within five business days of receiving locate information about a custodial party or a noncustodial parent. 
(2) For all existing, cases screening shall occur either: 
(A) Within 60 days of transitioning to an interim child support computer system; or 
(B) Within five days of first locating a custodial party or a noncustodial parent. 
(b) Except as specified in subsection(a)(1)(A), above, screening shall consist of: 
(1) Mailing to a custodial party and a noncustodial parent a domestic violence cover letter #1, “DVCVR #1”, CSS 2140, dated (09/01/01), incorporated by reference herein, and a “Child Support Domestic Violence Questionnaire,” form CSS 2142. If a child is in foster care, the forms shall be mailed to both noncustodial parents. 
(2) Requiring completion and submission of form 2142 to a local child support agency within 30 days of the date the form was mailed, if a custodial party or noncustodial parent believe that the release of identifying information about him/her to the federal government could result in physical or emotional harm to the party/parent(s), or to the children of the party/parent(s). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42, United States Code, Section 602(a)(7); and 45 Code of Federal Regulations, Section 260.52.
HISTORY

1. New article 6 (sections 112300-112302) and section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 112300-112302) and section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of subsection (b)(1) and Note, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
§112301. Determining Family Violence.
Note     •     History

(a) Each local child support agency shall determine whether there is, or has been, family violence based upon the information on form 2142 provided by a custodial party or a noncustodial parent. When determining family violence, a local child support agency shall consider the following related to the incident(s) of domestic violence and/or child abuse: 
(1) The date(s), time(s) and place(s) of each incident(s). 
(2) The names of persons who witnessed the incident(s). 
(3) Police, government agency or court records or files. 
(4) Documentation from a domestic abuse program. 
(5) Documentation from legal, clerical, medical, or other professionals from whom the custodial party or noncustodial parent sought assistance in dealing with domestic abuse or child abuse. 
(6) Physical evidence of abuse. 
(7) A statement from another individual with knowledge of the circumstances that provide the basis for the claim of abuse. 
(8) Protective orders issued. 
(9) Any other evidence that supports the incident(s) of domestic violence or child abuse. 
(b) If form 2142 is returned with the first box in Section III marked indicating the party is requesting nondisclosure of identifying information, but no detailed family violence information is provided in Section II of the form, a local child support shall mail both of the following to the party that submitted the incomplete form 2142: 
(1) A new blank form 2142. 
(2) A domestic violence cover letter #2, “DVCVR #2,” CSS 2144, dated (09/01/01), incorporated by reference herein. Form 2144 shall notify the party that the form 2142 initially submitted did not contain sufficient detail to stop release of information to the federal government and request completion and submission of a new form 2142 to the local child support agency within 30 days from the date of the letter. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42, United States Code, Section 602(a)(7); and 45 Code of Federal Regulations, Section 260.52.
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment of subsection (b)(2) and Note, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
§112302. Activating a Family Violence Indicator.
Note     •     History

(a) A family violence indicator shall be activated by a local child support agency for a custodial party or noncustodial parent and his/her child(ren) that are part of the same case as the parent against whom the custodial party or noncustodial parent is claiming family violence, if a local child support agency has received a completed form 2142 from either the custodial party or noncustodial parent and one of the following applies: 
(1) A request for good cause has been granted, as specified in Section 11477.04, Welfare and Institutions Code. 
(2) A party to the child support case, or custodial party's or noncustodial parent's child(ren), has/have obtained a protective order. 
(3) A party to the child support case, or custodial party's or noncustodial parent's child(ren), has/have indicated there is an increased risk of harm to self or to the child(ren), if information is released. 
(4) A local child support agency has reason to believe that the disclosure of information may result in physical or emotional harm to any of the individuals specified in subparagraphs (1) through (3), above. 
(b) A local child support agency shall record in its automated system its determination of the existence of family violence within five business days of receipt of a completed form 2142. 
(c) Within 30 days of the date a local child support agency records its determination of the existence of family violence in its automated system, or 30 days of the date by which a custodial party or noncustodial parent(s) should have returned the completed form 2142, but did not, a local child support agency shall submit child support case information, including whether a family violence indicator has been activated, to the Department for subsequent submission to the Federal Case Registry 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 42, United States Code, Section 602(a)(7); and 45 Code of Federal Regulations, Section 260.52.
HISTORY

1. New section filed 9-10-2001 as an emergency pursuant to Family Code section 17306; operative 9-10-2001 (Register 2001, No. 37). A Certificate of Compliance must be transmitted to OAL by 3-11-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-14-2002 as an emergency pursuant to Family Code section 17306(e); operative 2-14-2002 (Register 2002, No. 8). A Certificate of Compliance must be transmitted to OAL by 8-20-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 33).
4. Certificate of Compliance as to 2-14-2002 order, including amendment Note, transmitted to OAL 7-3-2002 and filed 8-15-2002 (Register 2002, No. 33).
Chapter 3. Locate
Article 1. Locate Requirements
§113100. Local Child Support Agency Responsibilities.
Note     •     History

(a) Each local child support agency shall: 
(1) Use all appropriate locate sources when the noncustodial parent's location is unknown. Appropriate locate sources include, but are not limited to: 
(A) California Parent Locator Service (CPLS) as the primary clearing house for accessing numerous data bases. 
(B) United States Postal Service. 
(C) Local telephone company. 
(D) Federal Parent Locator Service including the National Directory of New Hires and Federal Case Registry. 
(E) State agencies maintaining records of public assistance, wages and employment, unemployment insurance, income taxes, driver's licenses and vehicle registration, vital records and criminal records such as: 
1. Employment Development Department, including the State New Hire Registry. 
2. Secretary of State. 
3. Board of Equalization. 
4. Department of Consumer Affairs. 
5. Department of Motor Vehicles.
6. Franchise Tax Board.
7. Department of Health Services.
(F) Local agencies which administer public assistance, general assistance, medical assistance, and social services programs. 
(G) Financial institutions. 
(H) Current and past employers of the noncustodial parent. 
(I) Unions. 
(J) Fraternal organizations. 
(K) Police, parole, and probation offices. 
(L) Other sources such as: 
1. Interstate location networks, such as other state parent locator services, including quick locate requests. 
2. Multi-state financial institution data match. 
3. Public utilities. 
4. Providers of electronic digital pager communication. 
5. Providers of cellular telephone services. 
6. Credit reporting agencies. 
7. Internet. 
8. Voter registration. 
9. Friends and relatives of the noncustodial parent. 
10. Private locate sources when appropriate. 
(2) Use appropriate locate sources when a custodial party's address is unknown and the local child support agency has a child support collection to distribute as specified in subsection (h), or the local child support agency needs to contact the custodial party regarding his/her child support case. 
(b) Within no more than 75 calendar days of determining that a noncustodial parent needs to be located, a local child support agency shall: 
(1) Access all appropriate locate sources, unless information sufficient to take the next locate, establishment, or enforcement action in a case is otherwise obtained within the 75-calendar-day time frame.
(2) Ensure that location information received is sufficient to take the next locate, establishment or enforcement action, or initiate service of process. 
(c) For cases in which location attempts required by subsection (b) were unsuccessful, the local child support agency shall: 
(1) When new information which may aid with location is received, immediately initiate location by accessing all appropriate locate sources as specified in subsection (a)(1).
(2) When new information has not been received, repeat location attempts quarterly. Quarterly locate attempts may be limited to accessing automated locate sources when the noncustodial parent's name, date of birth, or social security number are known. Referral to an automated locate source shall include accessing both of the following locate sources: 
(A) Employment Development Department. 
(B) The California Parent Locator Service. 
(3) Not submit locate cases to the Federal Parent Locator Service for quarterly locate activity if the cases were previously submitted to the Federal Case Registry. 
(d) The local child support agency shall not be required to take independent action to access locate sources already accessed by CPLS.
(e) If an automated locate source updates its database less frequently than on a quarterly basis, the local child support agency shall refer cases to that source in accordance with how often that source updates its database, rather than every quarter. 
(f) If a local child support agency determines that a specific source of locate information is needed in a case, such as when only the noncustodial parent's earnings or assets need to be located, the local child support agency may refer those cases only to locate sources which provide that type of information. 
(g) A local child support agency shall use the quick locate method for locating or confirming the location of a noncustodial parent in another state by completing the federal form “Locate Data Sheet, OMB No. 0970-0085,” or the CPLS Form CR-60, as required by the California Department of Justice, and submitting it manually or electronically to the California Parent Locator Service for referral to the parent locator service in the state(s) in which the noncustodial parent is believed to be located.
(1) The quick locate method is appropriate for use in the following situations:
(A) When a local child support agency determines that a noncustodial parent might be in one of several states. 
(B) When a local child support agency intends to use this state's long arm jurisdiction to establish paternity or a support order, or to enforce an order and wants to use the quick locate method to confirm the noncustodial parent's location. 
(2) When the quick locate method is used, the time frames specified in subsection (b) shall apply. 
(h) Within 5 business days of determining that contact with a custodial party has been lost and that custodial party must be located because the local child support agency has a child support collection to distribute to that custodial party, the local child support agency shall attempt to locate that custodial party for 6 months using the locate resources specified in subsection (a)(1). 
(1) Contact with a custodial party shall be determined lost when all attempts by a local child support agency to telephone and correspond with a custodial party utilizing all known telephone numbers and addresses, including e-mail have failed. In addition to the locate resources specified in subsection (a)(1), the local child support agency shall attempt to locate the custodial party by contacting employers, relatives and friends of the custodial party, if known. 
(2) When a custodial party cannot be contacted after 6 months of locate attempts, a local child support agency shall return the undeliverable payment(s) to the noncustodial parent with written notification advising the noncustodial parent that the return of the support does not relieve the noncustodial parent of the support order, and the noncustodial parent should consider placing the funds aside for purposes of child support in case the custodial party appears and seeks collection of the undistributed payments. 
(i) Each local child support agency shall ensure the requirements of Article 5, Chapter 1, are met with respect to the safeguarding and disclosure of confidential information obtained through locate efforts. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17502, 17505, 17506, 17508, 17512 and 17514, Family Code; Section 11478.1, Welfare and Institutions Code; and 45 Code of Federal Regulations, Sections 302.35, 303.3, 303.7, 303.15, 303.69 and 303.70. 
HISTORY

1. New chapter 3 (articles 1-2), article 1 (section 113100) and section filed 9-4-2001 as an emergency pursuant to Family Code section 17306; operative 9-4-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
2. New chapter 3 (articles 1-2), article 1 (section 113100) and section refiled 2-11-2002 as an emergency pursuant to Family Code section 17306; operative 3-6-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 27).
4. Certificate of Compliance as to 2-11-2002 order, including amendment of section and Note, transmitted to OAL 9-3-2002 and filed 9-30-2002 (Register 2002, No. 40). 
Article 2. Federal Parent Locator Service
§113200. Non-Title IV-D Locate Only Requests.
Note     •     History

(a) Each local child support agency shall accept requests from authorized requestors to access the Federal Parent Locator Service for the purpose of establishing parentage or establishing, setting the amount of, modifying, or enforcing child support orders. 
(1) Authorized requestors under this section shall be limited to: 
(A) Any agent or attorney of any state who has the duty or authority to seek to recover any amounts owed as child and spousal support under Title IV-D. 
(B) The court which has authority to issue an order or to serve as the initiating court in an action to seek an order against a noncustodial parent for the support and maintenance of a child, or any agent of such court. 
(C) The custodial party, legal guardian, attorney, or agent of a child who is not receiving public assistance. 
(D) A California agency administering a program under either Title IV-B or Title IV-E. 
(2) The Federal Parent Locator Service shall be accessed only by the California Parent Locator Service on behalf of authorized requestors under this section. 
(3) Fees for Non-Title IV-D Locate Only requests shall: 
(A) Not be eligible for federal financial participation. 
(B) Be paid by the state and not charged to the requestor. 
(b) Upon receipt of a request from an authorized requestor pursuant to subsection (a), above, each local child support agency shall: 
(1) Complete the most current version of the “Parent Location and Asset Request for California Parent Locator Service,” form CR60, issued by the Department of Justice, in hard copy or electronic media for accessing only the Federal Parent Locator Service. The CR60 completed pursuant to this subparagraph shall: 
(A) Identify the request as a Non-Title IV-D Locate Only request. 
(B) Contain the following information: 
1. The name of the parent to be located. 
2. The parent's date of birth and/or Social Security Number, if known. 
3. Whether the parent is or has been in the armed services, if known. 
4. Whether the parent is receiving, or has received, federal compensation or benefits, if known. 
(2) Include a statement, as required by 45 CFR, Section 303.70(d), signed by the director of the local child support agency, or his or her designee, attesting that information is being sought by an authorized requestor for the purpose of establishing parentage or establishing, setting the amount of, modifying, or enforcing child support orders, or for determining who has or may have parental rights with respect to a child. Such statement shall also specify that information received through the Federal Parent Locator Service shall be treated as confidential and safeguarded in accordance with the requirements specified in Article 5, of Chapter 1. 
(c) Each local child support agency that submits a request to the California Parent Locator Service to access the Federal Parent Locator Service shall: 
(1) Ensure the requirements of Article 5, of Chapter 1, have been met with respect to safeguarding and disclosure of confidential information obtained from the Federal Parent Locator Service. 
(2) Provide the information obtained from the Federal Parent Locator Service, for the purpose specified in subsection (a), to only the requestor. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17506, 17508 and 17514, Family Code; Section 11478.1, Welfare and Institutions Code; 42, U.S.C., Section 653; and 45 Code of Federal Regulations, Sections 302.35, 303.3 and 303.70. 
HISTORY

1. New article 2 (sections 113200-113300) and section filed 9-4-2001 as an emergency pursuant to Family Code section 17306; operative 9-4-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 113200-113300) and section refiled 2-11-2002 as an emergency pursuant to Family Code section 17306; operative 3-6-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 27).
4. Certificate of Compliance as to 2-11-2002 order, including amendment of section and Note, transmitted to OAL 9-3-2002 and filed 9-30-2002 (Register 2002, No. 40). 
§113300. Non-Title IV-D Parental Kidnapping/Child Custody Locate Only Requests.
Note     •     History

(a) Each local child support agency shall accept requests from authorized requestors to access the Federal Parent Locator Service to determine the whereabouts of any parent or any child for the purpose of enforcing any state or federal law pertaining to the unlawful taking or restraint of a child or making or enforcing a child custody or visitation order. 
(1) Authorized requestors under this section shall be limited to: 
(A) Any agent or attorney of any state having an agreement to use the Federal Parent Locator Service who has the duty or authority to enforce a child custody or visitation order. 
(B) Any court, or its agent, having jurisdiction to make or enforce a child custody or visitation order. 
(C) Any agent or attorney of the United States, who has the duty or authority to investigate, enforce, or bring a prosecution with respect to the unlawful taking or restraint of a child. 
(2) The Federal Parent Locator Service shall be accessed only by the California Parent Locator Service on behalf of authorized requestors. 
(3) Fees for Non-Title IV-D Parental Kidnapping/Child Custody Locate Only requests shall: 
(A) Not be eligible for federal financial participation. 
(B) Be paid by the state and not charged to the requestor. 
(b) Upon receipt of a request from an authorized requestor, each local child support agency shall: 
(1) Complete the form specified in Section 113200(b)(1) in hard copy or electronic media. The CR60 completed pursuant to this subparagraph shall: 
(A) Identify the request as a Parental Kidnapping/Child Custody Federal Parent Locator Service Non-IV-D Locate Only request. 
(B) Contain the birth date in addition to the information specified in Section 113200(b)(1)(B).
(2) Include a statement, as required by 45 CFR, Section 303.70(d), signed by the director of the local child support agency, or his or her designee, attesting that information is being sought by an authorized requestor for the purpose of enforcing any state or federal law pertaining to the unlawful taking or restraint of a child or making or enforcing a child custody or visitation order. Such statement shall also specify that information received through the Federal Parent Locator Service shall be treated as confidential and safeguarded in accordance with the requirements specified in Article 5, of Chapter 1. 
(c) In addition to all requirements specified in Section 113200(c), each local child support agency shall: 
(1) Restrict access to the information to authorized persons whose duties or responsibilities require access in connection with child custody and parental kidnapping cases. 
(2) Store the information during nonduty hours, or when not in use, in a locked container within a secure area that is safe from access by unauthorized persons. 
(3) Process the information under the immediate supervision and control of authorized personnel, in a manner which will protect the confidentiality of the information, and in such a way that unauthorized persons cannot retrieve the information by computer, remote terminal, or other means. 
(4) Brief all employees who will have access to the data on security procedures and instructions. 
(5) Send the information directly to the requestor and make no other use of the information. 
(6) Destroy any confidential records and information related to the request, after the information is sent to the requestor. Such destruction shall be in accordance with Subchapter 1, Article 5, Section 111460. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17506, 17508 and 17514 Family Code; Section 11478.1, Welfare and Institutions Code; 42 U.S.C., Section 663; and 45 Code of Federal Regulations, Sections 302.35, 303.3, 303.15, 303.69 and 303.70.
HISTORY

1. New section filed 9-4-2001 as an emergency pursuant to Family Code section 17306; operative 9-4-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-4-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-11-2002 as an emergency pursuant to Family Code section 17306; operative 3-6-2002 (Register 2002, No. 7). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2 (Register 2002, No. 27).
4. Certificate of Compliance as to 2-11-2002 order, including amendment of section and Note, transmitted to OAL 9-3-2002 and filed 9-30-2002 (Register 2002, No. 40). 
Chapter 4. Establishing Paternity (Reserved)
Chapter 5. Review and Adjustment of Child Support Orders
§115500. Operative Date and Implementation.
Note     •     History

This Chapter shall become operative and implemented upon the date in which the Director of the California Department of Child Support Services executes a declaration that states that the local child support agencies have begun to convert to the California Child Support Automation System, Version 2. A local child support agency shall be required to implement this Chapter once the local child support agency converts to the California Child Support Automation System, Version 2. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17304, 17306, 17310 and 17312, Family Code. 
HISTORY

1. New chapter 5 (sections 115500-115550) and section filed 9-13-2004; operative 10-13-2004 (Register 2004, No. 38). For prior history, see Register 2003, No. 45.
§115503. Notification of the Right to Request Review for Adjustment.
Note     •     History

(a) Each local child support agency shall mail a written notice, at least once every 3 years, to each party to a child support order with a current support obligation subject to enforcement by the local child support agency. 
(b) The notice shall be mailed to the last known address of each party. 
(c) The notice shall inform the parties of the following: 
(1) The right to request, either written or orally, that the local child support agency review the current child support obligation for either an upward or downward adjustment based upon either of the following: 
(A) A change in circumstance as specified in Section 115520 or Section 115530. The notice shall include examples of changes of circumstances. 
(B) The need to include a provision for medical support. 
(2) The name, address, and public telephone number of the local child support agency. 
(3) The requirement that the local child support agency assist each party throughout the review and adjustment process by explaining the process, providing forms and information. 
(4) The requirement that the local child support agency conduct a review for adjustment upon request and either obtain an adjusted order, or determine that the order should not be adjusted within 180 days from the date of a request for review and adjustment, or the date a non-requesting party has been located, whichever is later. The date of receipt of a request is the date the requesting party provides current and complete income and expense Judicial Council forms and requested documents to the local child support agency. 
(5) Notification that a request for review and adjustment in an interjurisdictional case, such as a case involving another state, may need to be forwarded to the agency having jurisdiction over the case for review and adjustment. 
(6) The right of a party to file a motion for modification, order to show cause, or motion to set aside on his or her own behalf at anytime. 
(7) The right of a party to obtain assistance from the local Family Law Facilitator. 
(8) The name, address, and public telephone number of the local Family Law Facilitator. 
(9) The availability of the complaint resolution and state hearing processes pursuant to 22 California Code of Regulations, Chapter 10, Section 120001 et seq. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17304 and 17401.5, Family Code; 42 U.S.C. 666(a)(10); and 45 CFR 302.70(a)(10), 303.4(c) and 303.8(b). 
HISTORY

1. New section filed 9-13-2004; operative 10-13-2004 (Register 2004, No. 38).
§115510. Processing a Review for Adjustment of a Support Order -- Request by a Party.
Note     •     History

(a) When the local child support agency becomes aware, during communication with a party to a child support order with a current support obligation, that a change in circumstance pursuant to Section 115520 appears to exist, the local child support agency shall ask if the party wants the local child support agency to review the case and, if appropriate pursuant to Section 115535, seek an adjustment. The local child support agency shall: 
(1) Immediately make a verbal inquiry if the local child support agency becomes aware of an apparent change in circumstance during verbal communication with a party. 
(2) Make a verbal or written inquiry within 15 business days of becoming aware of an apparent change in circumstance by written communication from a party. 
(b) Within 180 days from the date of a request for review for adjustment; or the date a non-requesting party has been located, whichever is later, the local child support agency shall conduct a review of the order and obtain an adjusted order, or determine that the order should not be adjusted. The date of receipt of the request is the date the requesting party provides current and complete income and expense Judicial Council forms and requested documents to the local child support agency. 
(c) A local child support agency may, but is not required, to review a case for adjustment if the case has been reviewed for adjustment within the last six months and nothing has changed. If the local child support agency exercises its discretion not to review a case based upon this subsection, the local child support agency shall terminate the review and adjustment process in accordance with Section 115545(c). 
(d) Interstate cases shall be handled pursuant to Title 22 California Code of Regulations, Section 117403. 
(e) Within 15 business days of receiving an oral or written request for review for adjustment, the local child support agency shall: 
(1) Determine whether one of the following appears to exist: 
(A) A change in circumstance pursuant to Section 115520 is reasonably expected to last for more than three months. 
(B) The parties stipulated to a child support order below the amount established by the statewide uniform guideline. No change of circumstance need be demonstrated to obtain an adjustment of the child support order to the applicable guideline level or above. 
(C) A request is based upon the need to include a provision for medical support in the child support order. 
(2) Terminate the review and adjustment process in accordance with Section 115545(c) if none of the three situations set forth in Section 115510(e)(1) appears to exist. 
(3) Proceed pursuant to 22 California Code of Regulations, Section 116114 if a request is based upon the need to include a provision for medical support in the child support order. 
(4) Take the following actions if a change in circumstance appears to exist pursuant to Section 115520 and is reasonably expected to last for more than three months, or the parties stipulated to a child support order below the amount established by statewide uniform guideline: 
(A) Determine whether the non-requesting party's location is known. 
(B) Determine whether a requesting party, who is a non-custodial parent, has multiple cases within the county. If so, the local child support agency shall proceed pursuant to Section 115510(e)(6)(E). 
(5) Follow the procedure set forth in Section 115550 if the location of a non-requesting party is unknown. 
(6) Provide to all parties, on the same date, by mail or personal delivery, the appropriate income and expense Judicial Council forms and/or a written notice as follows if the non-requesting party's location is known: 
(A) A requesting party, who is a parent, shall be provided with the appropriate income and expense Judicial Council forms and a written notice. The written notice shall include the following information: 
(i) The requesting party's current and complete income and expense Judicial Council forms, and requested documents are required to process the request for review for adjustment. 
(ii) No action will be taken by the local child support agency until the requesting party provides current and complete income and expense Judicial Council forms and requested documents to the local child support agency. 
(iii) The requesting party's failure to submit current and complete income and expense Judicial Council forms and requested documents to the local child support agency within 20 business days from the date of the notice will result in the local child support agency terminating the review and adjustment process. 
(iv) The date of receipt of the request for review for adjustment is the date the requesting party provides current and complete income and expense Judicial Council forms, and requested documents to the local child support agency. 
(B) A requesting party, who is not a parent, shall be provided with a written notice. The written notice shall include the following information: 
(i) An acknowledgement of receipt of the request for review for adjustment. 
(ii) The local child support agency's request that the requesting party provide information, which may affect a child support determination, within 20 business days of the date of the notice. 
(C) A non-requesting party, who is a parent, shall be provided with the appropriate income and expense Judicial Council forms and a written notice. The written notice shall include all of the following information: 
(i) A request for a review for adjustment has been made by another party. 
(ii) The local child support agency requests that the non-requesting party provide his or her current and complete income and expense Judicial Council forms and requested documents. 
(iii) The non-requesting party's failure to submit current and complete income and expense Judicial Council forms and requested documents to the local child support agency within 20 business days from the date of the notice will result in the local child support agency proceeding with the review for adjustment based upon the information provided by the other party and/or other verified information obtained by the local child support agency. 
(D) A non-requesting party, who is not a parent, shall be provided with a written notice. The written notice shall include the following information: 
(i) A request for a review for adjustment has been made by another party. 
(ii) The local child support agency's request that the non-requesting party provide information, which may affect a child support determination, within 20 business days of the date of the notice. 
(E) When a requesting party is a non-custodial parent who has multiple cases with the local child support agency, the local child support agency shall: 
(i) Provide the forms and notice as discussed in Section 115510(e)(6)(A) to the requesting party and add a provision to the notice which states that a request for review for adjustment will be construed as a request for review of all of the party's cases within the county. 
(ii) Process each of the custodial parties' cases collectively, if possible. If the location of a non-requesting party is unknown, the local child support agency shall follow the procedure set forth in Section 115550 for that particular non-requesting party. If the location of a non-requesting party is known, the local child support agency shall continue to process the request for review for adjustment by providing the forms and/or written notices to the non-requesting party as set forth in Section 115510(e)(6)(C) and (D). 
(f) Within 15 business days of receipt of the requesting party's income and expense Judicial Council forms and requested documents, the local child support agency shall review the requesting party's income and expense Judicial Council forms and requested documents for completeness and, if incomplete, notify the requesting party, verbally or in writing, of the following: 
(1) The requesting party's complete income and expense Judicial Council forms and requested documents are required before commencement of the review for adjustment. 
(2) The specific deficiencies of the income and expense forms and/or failure to submit the forms or requested documents. 
(3) Failure to correct the deficiencies within 35 business days of the date of the initial notice set forth in Section 115510(e)(6)(A) will result in the local child support agency terminating the review and adjustment process. 
(g) Any alteration(s) to the requesting party's income and expense Judicial Council forms requires the requesting party's signature prior to a hearing. 
(h) If the requesting party fails to correct the deficiencies within 35 business days of the date of the initial notice set forth in Section 115510(e)(6)(A), the local child support agency shall terminate the review and adjustment process pursuant to Section 115545(c). 
(i) If the requesting party completes and submits income and expense Judicial Council forms and requested documents, the local child support agency shall review for adjustment as set forth in Section 115535 using the following, if applicable: 
(1) The non-requesting party's complete and current income and expense Judicial Council forms and requested documents if the non-requesting party submitted such forms and requested documents within 20 business days of the date of the written notices as set forth in Section 115510(e)(6). 
(2) The presumption as discussed in Section 115540 if the non-requesting party failed to submit current income and expense Judicial Council forms and requested documents within 20 business days of the date of the written notices as set forth in Section 115510(e)(6) and the presumption criteria is met. 
(3) The court findings pursuant to Family Code Section 4058(b). 
(4) The non-requesting party's current income and expense information contained within the case file and/or information obtained through automated locate tools and the Federal Case Registry. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3680.5, 4065 and 17304, Family Code; 22 CCR 117403; 42 U.S.C. 666(a)(10); and 45 CFR 302.70(a)(10) and 303.8. 
HISTORY

1. New section filed 9-13-2004; operative 10-13-2004 (Register 2004, No. 38). For prior history, see Register 2003, No. 45.
§115520. Changes in Circumstances -- Review Requested by a Party.
Note     •     History

(a) Any of the following changes in circumstances or combination of changes in circumstances shall be considered a basis for a review for adjustment. Changes in circumstances may include: 
(1) A change in the obligee or obligor's employment status or income. 
(2) A change in parenting time or custody. A court order showing a change in parenting time shall be prima facie evidence of a change in the parenting time. 
(3) A change in additional child support costs or expenses incurred related to the following: 
(A) Child care costs related to employment or reasonably necessary education or training for employment skills. 
(B) Reasonable uninsured health care costs for the child(ren) as provided in Section 4063, Family Code. 
(C) Costs related to the educational or other special needs of the child(ren). 
(D) Travel expenses for visitation. 
(4) A financial hardship on the obligee or obligor, as defined in Family Code Section 4071. 
(5) The obligee or obligor begins or ceases receiving Unemployment Insurance Benefits, State Disability Insurance, or Worker's Compensation. 
(6) Additional child support orders exist for which the obligor is responsible, which were not taken into account when the order was established or last adjusted. 
(7) A change in the obligee or obligor's health insurance premium or the availability of health insurance through an employer. 
(8) The release of the obligee/obligor from incarceration in a county jail, state or federal prison, or court-ordered rehabilitation facility. 
(9) The release of the obligee/obligor from a psychiatric facility. 
(10) Any other changes in circumstances that would affect the amount of support. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3680.5 and 17304, Family Code; 42 U.S.C. 666(a)(10); and 45 CFR 302.70(a)(10) and 303.8. 
HISTORY

1. New section filed 9-13-2004; operative 10-13-2004 (Register 2004, No. 38). For prior history, see Register 2003, No. 45.
§115525. Processing a Review for Adjustment -- Initiated by the Local Child Support Agency.
Note     •     History

(a) Within 15 business days of becoming aware of any potential change in circumstance set forth in Section 115530, the local child support agency shall: 
(1) Provide the parties, who are parents, by mail or personal delivery, with the appropriate income and expense Judicial Council forms and a written notice. The written notice shall include the following information: 
(A) The local child support agency is initiating a review for adjustment based upon a potential change in circumstance. 
(B) The local child support agency requests that each parent provide his or her current and complete income and expense Judicial Council forms and requested documents. 
(C) The party's failure to submit current and complete income and expense Judicial Council forms and the requested documents within 20 business days of the date of the notice will result in the local child support agency proceeding with the review for adjustment based upon the information the other party provides and/or verified information obtained by the local child support agency. 
(2) Provide the parties, who are not parents, by mail or personal delivery, with a written notice that shall include the following information: 
(A) The local child support agency is initiating a review for adjustment based upon a potential change in circumstance. 
(B) A request that specific information, which may affect a child support determination, be submitted within 20 business days of the date of the notice.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3680.5 and 17304, Family Code; 42 U.S.C. 666(a)(10); and 45 CFR 302.70(a)(10) and 303.8. 
HISTORY

1. New section filed 9-13-2004; operative 10-13-2004 (Register 2004, No. 38).
§115530. Changes in Circumstances -- Automatic Review by Local Child Support Agency.
Note     •     History

(a) Any of the following changes in circumstances or combination of changes in circumstances shall be considered a basis for an automatic review for adjustment. Changes in circumstances shall be limited to: 
(1) The obligor or obligee is incarcerated in a county jail, state or federal prison, or court-ordered rehabilitation facility and there is no evidence of support potential. If the obligor is incarcerated, the local child support agency shall seek to adjust the current order to zero, and refer to the case closure regulations at 22 California Code of Regulations, Section 118203(a)(5)(B) to determine if case closure is appropriate. 
(2) The obligor's sole income is Supplemental Security Income/State Supplementary Payment, CalWORKs, or any other public assistance program for which eligibility is determined on the basis of need, and that income was used in determining the amount of the support order. If the obligor's sole income is Supplemental Security Income/State Supplementary Payment, the local child support agency shall seek to adjust the current order to zero, and refer to the case closure regulations at 22 California Code of Regulations, Section 118203(a)(5)(D) to determine if case closure is appropriate. Pursuant to Section 17400.5, Family Code, the local child support agency shall file a motion to modify the order within 30 days of verification of receipt of the Supplemental Security Income/State Supplementary Payment. 
(3) The obligor stops receiving Supplemental Security Income/State Supplementary Payment, CalWORKs, or any other public assistance program for which eligibility is determined on the basis of need. 
(4) The obligor has a medically verified total and permanent disability with no evidence of support potential. The local child support agency shall seek to adjust the current order to zero and refer to the case closure regulations at 22 California Code of Regulations, Section 118203(a)(5)(C) to determine if case closure is appropriate. 
(5) The obligor is institutionalized in a psychiatric facility and has no evidence of support potential. The local child support agency shall seek to adjust the current order to zero and refer to the case closure regulations at 22 California Code of Regulations, Section 118203(a)(5)(A) to determine if case closure is appropriate. 
(6) The child support order was based on presumed income, and the actual income or income history of the obligor becomes known. 
(7) The obligor or obligee's health insurance premium was not included in the guideline (Family Code Section 4055) calculation when the child support was established or last adjusted. 
(8) The obligor or obligee is a reservist in the military and is called to active duty. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3680.5, 17304, 17400.5, 17432 and 17516, Family Code; 42 U.S.C. 666(a)(10); and 45 CFR 302.70(a)(10) and 303.8. 
HISTORY

1. New section filed 9-13-2004; operative 10-13-2004 (Register 2004, No. 38).
§115535. Review for Adjustment.
Note     •     History

(a) Within 40 business days of the date of the written notices provided to a party as set forth in Sections 115510(f)(6), or 115525. The local child support agency shall: 
(1) Verify whether either of the following situations exists: 
(A) A change in circumstance pursuant to either Section 115520 or Section 115530 exists and is reasonably expected to last for more than three months. 
(B) The parties stipulated to a child support order below the amount established by the statewide uniform guideline. No change of circumstance need be demonstrated to obtain an adjustment of the child support order to the applicable guideline level or above. 
(2) Terminate the review and adjustment process in accordance with 115545(c), if such a change in circumstance does not exist or is not reasonably expected to last for more than three months, and the parties did not stipulate to a child support order below the amount established by the statewide uniform guideline. 
(3) Determine whether the amount of the support would be altered, upward or downward, by at least 20% or $50, whichever is less, in instances where a change in circumstance exists and is reasonably expected to last for more than three months, or the parties stipulated to a child support order below the amount established by statewide uniform guideline. The LCSA shall determine the 20% or $50 alteration by either: 
(A) Calculating the guideline amount based upon the income and expense information of the parties, or 
(B) Presuming that the amount of the support is altered, if the presumption criteria in Section 115540 is met. 
(b) The local child support agency shall use the income and expense Judicial Council forms and requested documents provided by a party and/or income and expense information obtained by the local child support agency instead of presuming a 20% or $50 alteration in the child support amount to calculate the guideline amount if the information is provided or obtained at any time prior to the court order modifying the amount of support. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code; 42 U.S.C. 666(a)(10); and 45 CFR 302.70(a)(10) and 303.8. 
HISTORY

1. New section filed 9-13-2004; operative 10-13-2004 (Register 2004, No. 38).
§115540. Presumption.
Note     •     History

(a) The local child support agency shall presume the amount of the support is altered, upward or downward, by at least 20% or $50, whichever is less, if all of the following are met: 
(1) A party fails to return the requested income and expense Judicial Council forms and requested documents within 20 business days from the date of the written notice as set forth in Section 115510(f)(6), or Section 115525. 
(2) The local child support agency provided the written notice either by personal delivery to the party, or by mail to the party's “last known address”, and the information was not returned to the local child support agency as undeliverable. 
(3) The local child support agency has no current income and expense information for the party in the case file. 
(4) The local child support agency is unable to obtain information on the party through automated locate tools and the Federal Case Registry. 
(5) The income and expense Judicial Council forms and requested documents, provided by either the requesting party as set forth in Section 115510(f)(6), or a party as set forth in Section 115525, or a verified change in circumstance as set forth in Section 115530 suggests a change in the amount of the child support order, upward or downward, by at least 20% or $50, whichever is less. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17304, Family Code; 42 U.S.C. 666(a)(10); and 45 CFR 302.70(a)(10) and 303.8. 
HISTORY

1. New section filed 9-13-2004; operative 10-13-2004 (Register 2004, No. 38).
§115545. Process After Adjustment Criteria Assessed.
Note     •     History

(a) Within 15 business days of determining that it is appropriate to seek an adjustment, the local child support agency shall take one of the following actions: 
(1) File a motion for modification or an order to show cause to seek an adjustment with the court and serve the notice of motion for modification or order to show cause on the parties. Service shall be conducted in accordance with the requirements of Section 1013, Code of Civil Procedure or any other manner allowed in the Code of Civil Procedure. 
(2) File a motion to set aside the child support order and serve the notice of motion to set aside on the parties if a child support order meets the criteria for set aside pursuant to Section 17432, Family Code. Service shall be conducted in accordance with the requirements of Section 1013, Code of Civil Procedure or any other manner allowed in the Code of Civil Procedure. 
(3) Enter into a stipulation with all necessary parties and file the stipulation with the court. 
(b) Within 14 days of the issuance of an adjusted order, the local child support agency shall send a copy of the adjusted court order to the parties. 
(c) Within 14 days of a determination that an adjustment will not be sought, the local child support agency shall provide, by mail or personal delivery, a written notice of the determination to the parties which includes the following information: 
(1) The local child support agency's determination that it will not seek an adjustment of the child support order because of one of the following: 
(A) The criteria was not met. 
(B) The order has been reviewed for an adjustment within the last six months and nothing has changed since the last time the requesting party requested a review. 
(C) The requesting party failed to submit current and complete income and expense forms and/or the requested documents. 
(2) An explanation of why the adjustment criteria was not satisfied, if applicable. 
(3) A statement informing the parties that each party may file his or her own notice of motion or order to show cause for adjustment of the child support order and may obtain the necessary forms from the local child support agency. 
(4) A statement informing the parties of the option to obtain the assistance of the local Family Law Facilitator. 
(5) The name(s), address and public telephone number for the local Family Law Facilitator. 
(6) Information on the availability of the complaint resolution and state hearing processes pursuant to 22 California Code of Regulations, Chapter 10, Section 120001 et seq. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17304, 17401.5 and 17406(g) Family Code; 42 U.S.C. 654(12)(B) and 666(a)(10); and 45 CFR 302.70(a)(10) and 303.8. 
HISTORY

1. New section filed 9-13-2004; operative 10-13-2004 (Register 2004, No. 38).
§115550. Locate for Purposes of Review for Adjustment -- Request by a Party.
Note     •     History

(a) Within 15 business days of determining that a non-requesting party's location is unknown, the local child support agency shall access all appropriate locate tools, as set forth in 22 California Code of Regulations, Section 113100, for a period of 30 business days. 
(b) If the non-requesting party is located within 30 business days of accessing the appropriate locate tools pursuant to 22 California Code of Regulations, Section 113100, the review and adjustment timeframes shall resume effective on the date the non-requesting party is located. 
(c) If the local child support agency is unable to locate the non-requesting party within 30 business days of accessing all appropriate locate tools pursuant to 22 California Code of Regulations, Section 113100, the local child support agency shall terminate the review and adjustment process and send a written termination notice to the requesting party within 14 days of the expiration of the 30th business day of accessing the appropriate locate tools. The termination notice shall contain the following information: 
(1) The local child support agency does not have a current address for the non-requesting party and, as a result, the review and adjustment process cannot proceed and has been terminated. 
(2) The requesting party should contact the local child support agency to share any information he or she has regarding the non-requesting party's location. 
(3) The local child support agency will continue locate efforts as required by 22 California Code of Regulations, Section 113100 et seq. 
(4) The local child support agency will process a new request for review for adjustment in the future provided that the requesting party renews his or her request.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17212, 17304, 17505, 17506, 17508, 17512 and 17514, Family Code. 
HISTORY

1. New section filed 9-13-2004; operative 10-13-2004 (Register 2004, No. 38).
Chapter 6. Enforcement Actions
Article 1. Definitions
§116004. Alternate Arrangement.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 5260, Family Code; and 45 Code of Federal Regulations, Section 303.100(b)(3). 
HISTORY

1. New chapter 6, article 1 (sections 116004-116063) and section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New chapter 6, article 1 (sections 116004-116063) and section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New chapter 6, article 1 (sections 116004-116063) and section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 116004 to new section 110048 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§116018. Credit Reporting Agencies.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4701, Family Code; 42 USC, Section 666(a)(7); and 45 Code of Federal Regulations, Section 302.70(a)(7). 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 116018 to new section 110212 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§116036. Independent Contractor Registry.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 5206, Family Code; and Section 1088.8, Unemployment Insurance Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 116036 to new section 110434 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§116038. Intercounty Responding Case.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 116038 to section 110458 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§116042. Intracounty Case.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 116042 to new section 110470 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§116061. Plan Administrator.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 116061 to new section 110662 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§116062. Real Property.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 116062 to new section 110694 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§116063. Real Property Lien.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17310 and 17312, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
5. Change without regulatory effect renumbering former section 116063 to new section 110698 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
Subchapter 6.1. Immediate Enforcement Actions
Article 1. Income Withholding Orders
§116100. Preparing and Serving an Income Withholding Order--General Requirements and Timeframes.
Note     •     History

(a) If a child support order exists, a local child support agency shall serve an income withholding order on an obligor's employer, unless a court has ordered that service be stayed. The income withholding order shall specify the following amounts, as applicable, to be withheld from the obligor's disposable earnings whether for child, family, spousal, and/or medical support: 
(1) The amount(s) of current support specified in the most recent support order. 
(2) The amount specified in the court order to be withheld for the liquidation of any support arrearage. 
(3) An amount to be withheld for the liquidation of any support arrearage, if no amount(s) of payment toward any arrearage is specified in the court order, or additional arrears have accrued after the date of a court order for support. If both current support and arrearages exist, the amount to be withheld from salary or wages towards the liquidation of arrearages shall not exceed 25 percent of the current support order, or when combined with the current support amount, the maximum amount withheld cannot exceed 50 percent of the obligor's disposable earnings.
(A) In addition to the amount specified in (a)(3) above, when an obligor's current support obligation for a child terminates by operation of law but an arrearage balance exists, the local child support agency shall serve an amended income withholding order on the obligor's employer within 30 days that provides for a monthly payment that is equal to the current support payment that has terminated for each child, to be applied towards the liquidation of arrearages not to exceed the maximum amount withheld cannot exceed 50 percent of the obligor's disposable earnings. 
(B) An income withholding order issued by a local child support agency for the liquidation of arrearages, shall not exceed five percent of a disabled obligor's total monthly Social Security Disability Insurance (SSDI) benefits pursuant to Title II of the Social Security Act, if the obligor provides the local child support agency with proof that the obligor meets the Supplemental Security Income (SSI) resource test and is receiving SSI/State Supplementary Program (SSP) benefits and/or SSDI, or, but for excess income, would be eligible to receive SSI/SSP. Proof that the obligor is otherwise eligible for SSI/SSP, but for excess income, 

includes SSDI check stubs and self certification by the obligor declaring under penalty of perjury that the obligor meets the SSI resource limits. 
(b) In addition to the original income withholding order served on an employer, a local child support agency also shall serve, the following on the obligor's employer to deliver to the obligor: 
(1) A second copy of the income withholding order. 
(2) A blank request for hearing regarding wage and earnings assignment, and the information sheet for request for hearing regarding wage and earnings assignment. 
(c) An income withholding order and the documents specified in subsection (b) shall be served on an obligor's employer: 
(1) Within 15 days of any of the following: 
(A) The date the support order is received by the local child support agency, if the address of the obligor's employer is known on that date. 
(B) The date the obligor's employer is located. If the obligor's employer is located through the State Directory of New Hires, the income withholding order shall be served within the timeframe specified in subparagraph (2), below. 
(C) The date the local child support agency opens a case, if the address of the obligor's employer is known on that date and the support order was entered prior to case opening, and the local child support agency confirms the existence of the court order. The local child support agency shall take appropriate action to confirm the existence of the court order within 10 days of opening the case. 
(D) The date information is received from the Independent Contractor Registry. 
(E) The date the foreign state order is registered by the local child support agency in California pursuant to Section 117503 and the employer is known. 
(2) Within two business days after the date information regarding a newly hired employee is entered into the State Directory of New Hires. 
(d) Service on an employer of the documents specified in subsections (a) and (b) may be made by either: 
(1) Electronic means, such as fax or email. 
(2) First class or express mail. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 5206, 5232 and 5246, Family Code; 15, United States Code, Section 1673(b); 42 United States Code, Sections 653a(g), 666(a)(8) and (b); and 45 Code of Federal Regulations, Section 303.100. 
HISTORY

1. New subchapter 6.1 (articles 1-4, sections 116100-116140) article 1 (sections 116100-116110) and section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New subchapter 6.1 (articles 1-4, sections 116100-116140) article 1 (sections 116100-116110) and section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New subchapter 6.1 (articles 1-4, sections 116100-116140, article 1 (sections 116100-116110) and section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116102. Hearing Request Regarding an Income Withholding Order.
Note     •     History

If an obligor requests a hearing concerning an income withholding order served upon his/her employer, the local child support agency shall file a copy of the income withholding order with the court and be present at the hearing. If, at the hearing, the court: 
(a) Quashes service of the income withholding order, the local child support agency shall provide written notification of the court's order to the obligor's employer within 10 business days of receipt of the court order. Such notification shall be sent by first class mail and fax or other electronic means and include a copy of the order quashing the income withholding order. 
(b) Modifies the monthly payment due on arrearages, the local child support agency shall serve on the obligor's employer an amended income withholding order that reflects the court-ordered modifications within 10 days of receipt of the court order. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 5246, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116104. Stay of Service of an Income Withholding Order.
Note     •     History

(a) If a court previously ordered that service of an income withholding order be stayed, and the order requires further application to the court to lift the stay, a local child support agency shall make application to the court to terminate the stay within 10 days of any of the following: 
(1) An obligor no longer meets the requirements specified in Section 5260, Family Code, for staying an income withholding order for good cause. 
(2) An obligor requests termination of the stay. 
(3) An obligor has failed to make a payment of support within 30 days of the due date. 
(4) The date on which the custodial party requests that withholding begin.
(b) A local child support agency shall make application to the court for a lift of stay by filing with the court a declaration, signed under penalty of perjury by the obligee, that the obligor has failed to make timely support payments, within 30 days. 
(c) A local child support agency shall be present at any court proceeding of which the local child support agency has received notice that the issue of a stay of service of an income withholding order is properly before the court. 
(d) Upon termination of a stay of service, a local child support agency shall serve an income withholding order on the obligor's employer as specified in Section 116100. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 5260 and 5261, Family Code; and 45 CFR Section 303.100. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116106. Terminating an Income Withholding Order.
Note     •     History

Within 10 days of any of the following, a local child support agency shall provide written notification by first class mail, fax, or other electronic means, to an obligor's employer to terminate enforcement of an income withholding order: 
(a) There is no longer a current order for support and past due support, including any interest and costs has been paid in full. 
(b) Upon learning that the child who is the subject of the order has died or is emancipated and past due support, including any interest and costs has been paid in full. 
(c) The local child support agency has used locate sources pursuant to Section 113100(h) and has not been able to locate and deliver payments to an obligee for a period of six months because the obligee has moved and failed to notify the local child support agency of the change in his/her address and there are no arrears that have been assigned to the State.
(d) The court determines that there is good cause as specified in Family Code Section 5260 to terminate the income withholding order.
(e) The obligor meets the conditions of an alternative arrangement as specified in Family Code Section 5260.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 5240 and 5260, Family Code; and 45 Code of Federal Regulations, Section 303.100(a)(7). 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116108. Employer Non-Compliance--Notification Timeframes, Electronic Funds Transfer, and Documentation Requirements.
Note     •     History

(a) If an obligor's employer does not comply with an income withholding order by withholding support from an obligor's disposable earnings and forwarding that support to a local child support agency within 45 days of service of the order, the local child support agency shall: 
(1) Fax or electronically transmit a copy of the income withholding order to the obligor's employer, along with a letter indicating that failure to comply with an income withholding order is punishable as contempt. 
(2) If the employer cannot receive a fax or other electronic transmission, send by certified mail a copy of the income withholding order along with the letter specified in (a)(1) above. 
(b) If a local child support agency has electronic funds transfer capability, the local child support agency shall complete and file with the court an order to show cause to request a court order that requires payment of support by electronic funds transfer from the bank account of the obligor's employer, if either of the following conditions exist: 
(1) An obligor's employer willfully failed to comply with an income withholding order, or 
(2) An obligor's employer failed to comply with an income withholding order on three separate occasions within a 12 month period. 
(c) A local child support agency shall personally serve the obligor's employer with a copy of the order to show cause, if either of the conditions specified in subsection (b) above, exist. 
(d) A local child support agency shall document in the case record the following information regarding an employer's non-compliance with an income withholding order: 
(1) The date the income withholding order was initially served on the employer. 
(2) The date(s) of all verbal and/or written notification, including copies of written notification(s). 
(3) The date the order to show cause permitted by subsection (b) was served. 
(4) Any other information and/or documentation pertaining to the employer's failure to comply with the income withholding order. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. References: Sections 5241 and 5245, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116110. Employer Contempt Procedures.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. References: Section 706.029, Code of Civil Procedures; and Sections 5241 and 5245, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of action by operation of Government Code section 11346.1 (Register 2004, No. 19).
Article 2. Medical Support Enforcement
§116114. General Requirements.
Note     •     History

(a) When a local child support agency determines that an existing support order for current support does not contain a health insurance coverage provision, except as provided in Subsection (b), the local child support agency shall concurrently: 
(1) File a notice of motion or order to show cause with the court to include a health insurance coverage provision in the support order. 
(2) Serve by first class mail, a blank form “Dependent's Health Insurance Information,” CSS 4330, dated 04/02, incorporated by reference herein, on the obligor, along with written notification that the form shall be completed by the obligor and returned to the local child support agency within 20 days of the date of the notification. 
(3) If an obligor's employer is known, serve by first class mail, a blank form “Employees' Dependent Health Insurance Information,” CSS 4333, dated 04/02, incorporated by reference herein, on the employer, along with written notification that the form shall be completed by the employer and returned to the local child support agency within 30 days of the date of the notification. 
(b) If an obligee in a non-Title IV-A case informs the local child support agency that there is private health insurance coverage for his or her child(ren) and does not want enforcement services for health insurance coverage, a local child support agency shall: 
(1) Obtain health insurance coverage documentation pursuant to Section 116122, subsection (b)(1), (2), and (4) which shows that the minor child(ren) is currently covered by private health insurance. 
(2) Document the evidence of health insurance coverage for the minor child(ren) in the case file. 
(c) Upon receipt of a support order requiring an obligor to provide health insurance coverage, a local child support agency shall take the following actions: 
(1) If health insurance coverage is available at a reasonable cost to the obligor's minor child(ren), a local child support agency shall: 
(A) Comply with the requirements of Section 116116 for employment-related group health insurance coverage, or 
(B) Comply with the requirements of Section 116122 for other group health insurance coverage. 
(2) If health insurance coverage is not available at a reasonable cost to an obligor's minor child(ren), a local child support agency shall monitor the case for changes in the obligor's employment status, and/or availability of employment-related health insurance coverage, or other group health insurance. 
(A) If information is received that the status of the obligor's employment has changed, or that employment-related health insurance coverage is available, a local child support agency shall serve the National Medical Support Notice, as specified in Section 116116. 
(B) If information is received that other group health insurance may be available to an obligor, a local child support agency shall obtain proof of health insurance coverage for the child(ren), as specified in Section 116122. 
(d) A local child support agency shall complete a “Medical Insurance Form,” DHS 6110 for all Title IV-A or IV-E cases as required by Title 22, California Code of Regulations, Section 50765, and forward the form to the Department of Health Services, Third Party Liability Branch, within 10 business days of the date health insurance coverage enrollment information for the minor child(ren) has been received by the local child support agency. 
(e) A local child support agency shall update the “Medical Insurance Form,” DHS 6110 specified in subsection (d), and forward the form to the Department of Health Services, Third Party Liability Branch, within 10 business days of the date of notification of any of the following affecting a recipient of Title IV-A or IV-E services:
(1) Any health insurance coverage has lapsed. 
(2) Any health insurance coverage provider has changed. 
(3) Any term of the health insurance coverage has changed. 
(4) Any health insurance coverage has been terminated. 
(5) Any medical support order or assignment order has been quashed or set aside by court order. 
(f) The local child support agency shall forward any health insurance policy information received from a Plan Administrator to the obligee within 10 business days of the receipt of such information. Health insurance policy information shall include the information specified in Section 116122(b). 
(g) A local child support agency shall document the case record and include copies of the forms and notices required by this Article. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3751, 3751.5, 3752, 3763, 3767, 3771, 3773, 17400(a), 17422 and 17424, Family Code; 22 California Code of Regulations, Section 50765; and 45 Code of Federal Regulations, Sections 303.31 and 303.32. 
HISTORY

1. New article 2 (sections 116114-116124) and section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 116114-116124) and section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New article 2 (sections 116114-116124) and section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116116. Serving a National Medical Support Notice--General Requirements and Timeframes.
Note     •     History

(a) If an order requiring an obligor to provide health insurance coverage for his/her minor child(ren) exists, a local child support agency shall complete and serve a “National Medical Support Notice (NMSN),” Part A, “Notice to Withhold for Health Care Coverage,” OMB 0970-0222, and Part B, “Medical Support Notice to Plan Administrator,” OMB 1210-0113, on an obligor's employer, upon of receipt of employer information pursuant to the timeframes specified in Section 116100(c).
(b) A local child support agency shall specify on the National Medical Support Notice that the total amount withheld for both current support and health insurance premiums shall not exceed 50 percent of the obligor's disposable earnings, or the amount that is indicated on the court order/judgment, whichever is less. If funds are insufficient to withhold for both current support and health insurance premiums, a local child support agency shall: 
(1) For Title IV-A or IV-E cases, specify that the employer withhold for current support. 
(2) For non-Title IV-A cases, contact the obligee to determine whether he/she chooses to have the employer withhold for either, current support or health insurance premiums and specify the obligee's decision on the National Medical Support Notice. If the obligee does not respond within 10 days after the initial contact attempt, then the local child support agency shall specify that the employer withhold for current support. 
(c) In addition to the notice specified in subsection (a), a local child support agency also shall serve the following on an obligor's employer, upon receipt of employer information pursuant to the timeframes specified in Section 116100(c):
(1) The form and notice specified in Section 116114(a)(3). 
(2) A written request that the employer provide written notification to the local child support agency within 10 business days of any lapse in health insurance coverage for the minor child(ren) that includes all of the following information: 
(A) The reason(s) for the lapse in health insurance coverage. 
(B) Whether or not the lapse is temporary. 
(C) The date upon which coverage is anticipated to resume, if the lapse is temporary. 
(3) Written notification that the employer is required to deliver a copy of the National Medical Support Notice to the obligor within 10 days of receipt of the order, along with a written statement of the obligor's rights and the procedures under the law to seek to quash such an order. 
(d) The local child support agency shall serve the following pursuant to the timeframes specified in Section 116100(c) and by a method specified in 116100(d):
(1) All documents specified in this section,
(2) An income withholding order, if:
(A) A current support order and/or arrearages exist, and
(B) A current income withholding order has not already been served on the employer.
NOTE

Authority cited: Sections 17306, 17310, 17312 and 17512 Family Code. Reference: Section 706.052, Code of Civil Procedure; Sections 3764, 3768, 3771 and 3773, Family Code; 15 United States Code, Section 1673(b); and 45 Code of Federal Regulations, Section 303.32. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116118. Processing the National Medical Support Notice.
Note     •     History

(a) Upon receipt of a completed National Medical Support Notice, Part A, from an obligor's employer indicating that court-ordered health insurance coverage for the minor child(ren) cannot be provided, a local child support agency shall: 
(1) Provide written notification to the obligor within 10 business days of receipt of Part A that other group health insurance coverage must be provided when it is available at no or reasonable cost. 
(2) Provide written notification to the obligee within 10 business days of receipt of Part A that the court-ordered health insurance coverage cannot be enforced for one of the following reasons: 
(A) The obligor's employer does not maintain or contribute to a plan providing dependent or family health care coverage. 
(B) The obligor is among a class of employees ineligible for family health coverage under any group health plan maintained by the employer or to which the employer contributes. 
(C) The obligor is no longer employed by the employer. 
(D) State or federal withholding limitations prevent withholding from the obligor's disposable earnings the amount required to obtain coverage under the terms of the employer's group health insurance plan. 
(3) Request written or oral notification from the obligor's employer within 15 days of any change in status or circumstance which would result in the eligibility of the obligor's child(ren) for health insurance coverage. 
(b) Upon receipt of a completed National Medical Support Notice, Part B, indicating that the minor child(ren) of the obligor is/are, or will be enrolled under the obligor's health insurance coverage, a local child support agency shall take the action required by Section 116114(d), if the obligor's child(ren) is/are receiving Title IV-A or IV-E services. 
(c) Upon receipt of a completed National Medical Support Notice, Part B, from a Plan Administrator indicating there is more than one option available under a health insurance coverage plan, and the obligor is not enrolled in any option under the plan or refuses to enroll in one of the options, a local child support agency shall: 
(1) Provide written notification to the obligee within five business days of receipt of Part B of all of the following: 
(A) A description of the health insurance coverage plan options available through the obligor's employment, including whether additional contributions will be necessary by the obligor to obtain coverage for the child(ren) under each option, and whether there is a limited service area for any option. 
(B) Notice that the obligee must select a plan for the child(ren) from the available health insurance plans within 10 days of receipt of the written notification from the local child support agency. 
(C) Notice that failure by the obligee to select a health insurance coverage plan option within 10 days of receipt of the written notification from the local child support agency will result in enrollment of the child(ren) in the default option, if any. 
(D) Notice that if the plan does not have a default option the local child support agency shall determine and select the available plan that will provide the lowest cost plan that provides coverage where the child resides. 
(2) Provide written notification to the Plan Administrator, within 20 business days after the postmark date of the receipt of Part B, of the option selected by the obligee or the local child support agency. 
(d) Upon receipt of a completed National Medical Support Notice, Part B, indicating that the notice does not constitute a qualified medical child support order because: 
(1) The name or mailing address of the minor child(ren) or obligor is unavailable, a local child support agency shall take all actions necessary to obtain missing information, including accessing all appropriate locate sources specified in Section 113100, and resubmit a National Medical Support Notice to the Plan Administrator within five business days after obtaining all necessary information. 
(2) The child(ren) identified in the notice is/are at or above the age at which dependents are no longer eligible for coverage under the plan, a local child support agency shall verify the information provided to the Plan Administrator is correct within five business days of the receipt of the completed Part B. 
(A) If erroneous information pertaining to the age of the child(ren) was provided, a local child support agency shall inform the Plan Administrator in writing, by telephone, or electronic means of the error and provide documentation to the Plan Administrator verifying the age of the child(ren) within five business days of the receipt of the completed Part B. 
(B) If the child(ren) is/are at or above the age at which dependents are no longer eligible for coverage under the plan, a local child support agency shall provide written notification of such to the obligee within five business days of receipt of the completed Part B. 
(e) A local child support agency shall provide written notification to an obligee within five business days of receiving notice from a Plan Administrator of any lapse of health insurance coverage for the minor child(ren). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3751.5, 3752(c), 3766, 3773, 17422 and 17424(b), Family Code; and 45 Code of Federal Regulations, Section 303.32. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116120. Terminating a National Medical Support Notice.
Note     •     History

(a) A local child support agency shall terminate the National Medical Support Notice within 10 days of obtaining any of the following documentation: 
(1) An order for medical support that was quashed or terminated by the court. 
(2) An order for medical support is no longer in effect. 
(3) Proof that the child(ren) has died or reached the age of emancipation. 
(4) A request in writing from an obligee in a non-Title IV-A case to cease medical support establishment and enforcement services. The local child support agency shall follow procedures pursuant to Section 116114(b). 
(5) A request in writing from an obligee in a non-Title IV-A case to close a case. 
(b) Upon terminating the National Medical Support Notice for any reasons specified in subsection (a), the local child support agency shall update the case file and notify the obligor, obligee and the obligor's employer in writing of the following: 
(1) If the National Medical Support Notice was terminated for the reasons specified in either subsection (a)(1), (2), or (3), that there is no longer a current order for medical support in effect and that the obligor may continue health insurance coverage voluntarily for any qualifying dependents. 
(2) If the National Medical Support Notice was terminated for the reason specified in either subsection (a)(4) or (5), that there is still a medical support order in effect, that the obligor must continue health insurance coverage for the child(ren) unless the order for health insurance is terminated by the court, and that the obligor may continue health insurance coverage voluntarily for any other qualifying dependents. 
(c) If the local child support agency is notified that the health insurance coverage is terminated or changed, the local child support agency shall complete the “Medical Insurance Form” DHS 6110 pursuant to Section 116114. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3751.5 and 3770, Family Code; and 45 Code of Federal Regulations, Section 303.32. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116122. Other Health Insurance Coverage.
Note     •     History

(a) If an order requiring an obligor to provide health insurance coverage for his/her minor child(ren) exists, and other group health insurance coverage is available, or the court ordered individual health insurance coverage, a local child support agency shall request in writing, proof of health insurance coverage from the obligor, or the entity providing other group health insurance. The request shall: 
(1) Be made within 10 days of service of the order on the obligor requiring the provision of health insurance coverage; and 
(2) Include a written statement of the obligor's right and the procedures under the law to seek to quash the order. 
(b) Proof of health insurance coverage shall include, but not be limited to: 
(1) The health insurance membership or identification card(s) for the child(ren). 
(2) The evidence of coverage and disclosure form from the health insurance provider. 
(3) Claim forms and other documents necessary to submit claims. 
(4) Any other pertinent information provided to the obligor, or received from the entity providing other group health insurance coverage, about health insurance coverage for the child(ren). 
(c) The local child support agency shall request in writing that the other group health insurance provider provide written notification to the local child support agency within 10 business days of any lapse in health insurance coverage for the minor child(ren) that includes all of the following information: 
(1) The reason(s) for the lapse in health insurance coverage. 
(2) Whether or not the lapse is temporary. 
(3) The date upon which coverage is anticipated to resume, if the lapse is temporary. 
(d) Within five business days of receipt of the information specified in subsection (b), a local child support agency shall provide the obligee with such information. 
(e) A local child support agency shall review the case for civil or criminal prosecution of an obligor if the obligor has willfully failed to provide health insurance coverage as ordered by the court. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3751, 3751.5 and 3752, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116124. Employer Non-Compliance and Employer Contempt Procedures.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 3766 and 3768, Family Code. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of action by operation of Government Code section 11346.1 (Register 2004, No. 19).
Article 3. Real Property Liens
§116130. Recording/Creating Real Property Liens.
Note     •     History

(a) A local child support agency shall record a real property lien against the real property of an obligor to obtain compliance with money judgments or orders enforced by a local child support agency pursuant to Title IV-D of the Social Security Act. A local child support agency shall prepare and submit for recording a real property lien within 45 days of the date a money judgment or order is received by the local child support agency, a case is opened for enforcement of an existing order or judgment, or an existing order is registered for enforcement. A local child support agency shall not record a real property lien when the order indicates a zero support amount, or when the order is reserved. 
(b) A local child support agency shall not record a real property lien against the real property of an obligor who has filed for bankruptcy under Chapter 13, except in those instances where the real property is not part of the bankruptcy estate. 
(c) A local child support agency shall record a real property lien for the following types of cases: 
(1) Intercounty responding cases. 
(2) Intracounty cases. 
(3) Interstate initiating cases. Real property liens shall only be recorded if the obligor is known to have or is likely to acquire real property interests in California. 
(4) Interstate responding cases. 
(d) A local child support agency shall record a real property lien by recording with the county recorder one of the following: 
(1) An abstract of support judgment. 
(2) An Abstract of Support Judgment (notice of support judgment) Form CA 8580 (7/1/03).
(3) A certified copy of the order/money judgment. 
(4) A federal Notice of Lien. The local child support agency shall record such a lien in another state when the custodial party resides in California and the obligor resides in a state other than California only if the local child support agency does not request enforcement by another state through the two-state interstate process as specified in Chapter 7. 
(e) A local child support agency shall record a real property lien as follows: 
(1) In the county where the obligor resides. 
(2) In the counties where the parent(s) of the obligor resides, if known and if different from the county of the obligor. 
(3) In the counties where the obligor is known to have, or could reasonably be expected to acquire, real property. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 674, 697.060 and 697.320, Code of Civil Procedure; Sections 4506.1-4506.2, Family Code; 11 United States Code, Sections 362(b)(2)(B) and 523(a)(18); 42 United States Code, Section 666(a)(4); and 45 Code of Federal Regulations, Section 302.70(a)(4). 
HISTORY

1. New article 3 (sections 116130-116134) and section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 116130-116134) and section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New article 3 (sections 116130-116134) and section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19).
§116132. Satisfaction of Judgment/Substitution of Payee.
Note     •     History

(a) Upon satisfaction of a support obligation, a local child support agency shall within the time frames established in subsections (c) through (d) file a full satisfaction of judgment, or a matured installment satisfaction by doing both of the following: 
(1) File an acknowledgment of satisfaction of judgment with the court.
(2) Provide the obligor with an acknowledgement of satisfaction of judgment that can be recorded in any county in which an abstract of support judgment, or certified copy of the judgment was filed. 
(b) For all cases enforced by a local child support agency pursuant to Title IV-D of the Social Security Act, a local child support agency shall take one of the following actions as specified in subsections (c) through (e), as appropriate to the case. 
(c) Prior to case closure, a local child support agency shall prepare and file a full satisfaction of judgment in the following circumstances: 
(1) In those cases where the local child support agency recorded a certified copy of the judgment or order for support, an abstract of support judgment, or an Abstract of Support Judgment CA 8580 (7/1/03) only when all of the support arrears have been paid in full and all of the children subject to the support order have emancipated as specified in Section 110248.
(2) In any other situation where the local child support agency determines it would be appropriate to record a full satisfaction of judgment. 
(d) Upon request of a representative of a title and/or escrow company or the obligor or the custodial party, the local child support agency shall prepare a matured installment satisfaction of judgment for signature by a representative of the local child support agency only when all of the support arrears have been paid in full and some or all of the children subject to the support order have not reached the age of emancipation as specified in Section 110248. 
(e) The local child support agency shall prepare a substitution of payee in the following circumstances: 
(1) The non-public assistance custodial party has requested that the local child support agency close the case, the custodial party has given permission to the local child support agency to disclose a mailing address to the obligor for payments, and unassigned current support and/or unassigned arrears are due to the custodial party. The local child support agency shall specify on a notice regarding payment of support, that payments for current support and unassigned arrears shall be paid to the custodial party and, if any assigned arrears remain unpaid and due to the county, that payments for assigned arrears shall be paid to the local child support agency. The assigned arrears portion of the case shall remain open until such time as the case qualifies for case closure as specified in Chapter 8. 
(2) The local child support agency has determined all of the support arrears for which the local child support agency provided enforcement services have been paid in full, and the custodial party alleges that other support arrears are still due the custodial party and the custodial party has given permission to the local child support agency to disclose a mailing address to the obligor for payments. 
(3) The local child support agency has transferred its case to another local child support agency in California for Title IV-D services. In this situation, the transferring local child support agency shall complete and file a notice regarding payment of support and specify that payments for current support and arrearages shall be paid to the address of the local child support agency to which the case was transferred. A notice regarding payment of support shall be completed and filed with the court prior to case closure by the transferring county. 
(4) In any other situation where the local child support agency determines it would be appropriate to record a substitution of payee. 
NOTE

Authority cited: Sections 17306 and 17310, Family Code. Reference: Sections 724.010, 724.030, 724.040, 724.060 and 724.250, Code of Civil Procedure; Sections 4201 and 4204, Family Code; and 45 Code of Federal Regulations, Section 302.70. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§116134. Releasing Real Property Liens.
Note     •     History

A local child support agency shall release real property liens by preparing and providing to the obligor the Release of Judgment Lien, Form CA 8581 (New July 1, 2003), to be recorded by the obligor with the county recorder, or a local child support agency shall release real property liens by recording the Release of Judgment Lien with the county recorder. A local child support agency shall process the release of real property liens in the following situations: 
(a) When a written demand is received from a property owner for a recordable document releasing the lien and proof is provided by the property owner to the satisfaction of the local child support agency that the property upon which the lien has been created is owned by a person who is not the obligor but has the same or similar name as the obligor. Within 15 days of receipt of such written demand and proof, a local child support agency shall record a Release of Judgment Lien indicating a general release of lien. 
(b) When a court order has been received by a local child support agency to prepare and deliver to the property owner a recordable document releasing the lien, unless such order has been appealed and the action ordered is stayed pending the appeal. A Release of Judgment Lien indicating a general release of lien shall be prepared and delivered within the time frames established by the court order or within15 days from receipt of the court order, whichever is less. 
(c) When a local child support agency has determined all of the support arrears for which the local child support agency provided enforcement services have been paid in full. Within five days of making the determination that the case should be closed because all support has been paid, a local child support agency shall prepare and deliver to the obligor a Release of Judgment Lien indicating a general release of lien.
(d) When a request is received from a representative of a title and/or escrow company or the obligor and the support arrears for which the local child support agency provided enforcement services have been paid in full. Within five days of the request, a local child support agency shall prepare and deliver to the requesting party, a Release of Judgment Lien indicating a specific property release of lien.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 697.410, Code of Civil Procedure. 
HISTORY

1. New section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
Article 4. Credit Reporting Agencies
§116140. Reporting Child Support Obligations and Arrearages--General Requirements and Timeframes.
Note     •     History

(a) Each local child support agency shall compile and maintain a list of obligors who have child support obligations ordered by a court, administrative agency or quasi-judicial entity authorized to establish, enforce, or modify support orders or to determine paternity, whether or not arrearages are owed, and submit a certified list of those obligors to the Department, as specified in subsection (d), for subsequent consolidation and submission to credit reporting agencies. 
(b) The list required by subsection (a) shall include, at a minimum, the following data for each obligor. The obligor's: 
(1) Name(s). 
(2) Date of birth. 
(3) Last known address. 
(4) Social Security Number. 
(5) Current and past due child support debt amounts. 
(c) Prior to including an obligor's arrearage data on the list required by subsection (a), the local child support agency shall do all of the following: 
(1) Prepare a copy of the obligor's payment record, or obtain an affidavit signed by the obligee attesting to the amount of support owed. 
(2) Ensure the case record contains a copy of the order, including any modifications to the order. 
(3) Verify the accuracy of the obligor's name(s) and Social Security Number. 
(4) Ensure the case record contains the obligee's last known address, if the obligee is not receiving public assistance. 
(5) Verify the arrears by determining whether there are any former CalWORKs or foster care assigned arrears in addition to the arrears that accrued when the obligee was not receiving public assistance. 
(d) When the list required by subsection (a) is transmitted to the Department, the director of the local child support agency, or his/her designee, shall complete and sign a “Child Support Credit Reporting/State Licensing Match Transmittal,” CS 914, dated (8/02), incorporated by reference herein, to transmit the list and to certify the following under penalty of perjury: 
(1) The requirements of subsection (c)(1) through (5) have been met. 
(2) The compilation of the list was supervised by the director of the local child support agency or his/her designee. 
(e) Prior to the initial reporting of a child support obligation or an arrearage to the Department, the local child support agency shall provide written notification to an obligor at his/her last known address of the proposed release of information to credit reporting agencies, and the detail of that information, and allow the obligor 30 days from the date of the written notice to contest the accuracy of the information, or to pay the arrearage, if any. 
(1) If an obligor fails to contest the accuracy of the information in writing within 30 days of the date of the notice, the local child support agency shall include the obligor on the list submitted to the Department pursuant to subsection (f). 
(2) If an obligor provides timely written notification that he/she wishes to contest the accuracy of the information, that notification shall be deemed a request for complaint resolution and the local child support agency shall delay submission of the obligor's information until the requirements of Article 2 of Chapter 10, commencing with Section 120100, have been completed. 
(3) If an obligor pays an amount to satisfy an arrearage in whole or in part within the 30-day timeframe, the local child support agency shall revise the arrearage balance for that obligor prior to submitting the information specified in subsection (b)(5) to the Department pursuant to subsection (f). 
(f) Each local child support agency shall submit to the Department monthly updates to the list specified in subsection (a) through electronic media. The updates shall be submitted by the 12th day of the month following the month being reported. The monthly update shall contain all new obligors for whom the local child support agency has completed the requirements specified in subsection (e), and either: 
(1) All obligors submitted the previous month, including those obligors with changes to the information previously reported, such as, a change in case status or arrearage balance, or 
(2) Only those obligors with changes to the information previously reported. 
(g) In cases in which a child support collection is made by one county for a case being enforced in another county, the county enforcing the case shall submit the information specified in subsection (b) to the Department. 
(h) In interstate cases when California is the responding state, the local child support agency shall submit the information specified in subsection (b) to the Department.
(i) In cases in which the accuracy of information is contested by the obligor and the credit reporting agency is conducting a reinvestigation, the local child support agency shall research the accuracy of information and respond to the credit reporting agency within 30 days from the date the local child support agency receives notice that the accuracy of the information is being contested.
(1) In the event the information being contested is correct, the local child support agency shall respond to the credit reporting agency within 30 days by fax or in writing, notifying the credit reporting agency that the information is correct.
(2) In the event the information being contested is incorrect, the local child support agency shall correct the information by submitting a Universal Data Form to the credit reporting agency by fax or in writing on the same working day that the information is verified as being incorrect. The local child support agency shall also submit information updating the case to the Department as specified in subsection (f).
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4701, Family Code; 15 United States Code, Section 1681i; 42 United States Code, Section 666(a)(7); and 45 Code of Federal Regulations, Section 302.70(a)(7). 
HISTORY

1. New article 4 (section 116140) and section filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (section 116140) and section refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of section by operation of Government Code section 11346.1 (Register 2004, No. 19).
4. New article 4 (section 116140) and new section filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
Chapter 7. Interstate Cases
Article 1. Definitions
§117016. Central Registry.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4924, Family Code; and 45 Code of Federal Regulations, Section 303.7. 
HISTORY

1. New chapter 7 (articles 1-6, sections 117016-117600), article 1 (sections 117016-117094) and section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New chapter 7 (articles 1-6, sections 117016-117600), article 1 (sections 117016-117094) and section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117016 to new section 110132 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117019. Continuing, Exclusive Jurisdiction.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4909, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of section, transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117019 to new section 110192 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117021. Controlling Order.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4911, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117021 to new section 110196 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117025. Direct Income Withholding.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4940, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117025 to new section 110268 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117030. Foreign Order.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4951, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117030 to new section 110375 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117036. Home State.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117036 to new section 110422 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117042. Income Withholding Order.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4901 and 5208, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Repealer filed 10-21-2002 as an emergency; operative 10-21-2002 (Register 2002, No. 43). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 4-21-2003 or emergency repealer will be repealed by operation of law on the following day.
4. New section filed 10-28-2002; operative 10-28-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 44).
5. Repealer of former section 117042 refiled 4-3-2003 as an emergency; operative 4-21-2003 (Register 2003, No. 14). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 10-20-2003 or emergency repealer will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order filed 10-17-2003; Certificate of Compliance withdrawn 12-1-2003 and repealer of action by operation of Government Code section 11346.1 (Register 2004, No. 19).
7. Repealer filed 5-4-2004; operative 5-4-2004 by operation of Government Code section 11343.4 (Register 2004, No. 19). 
§117047. Initiating State.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117047 to new section 110446 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117049. Initiating Tribunal.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117049 to new section 110450 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117052. Issuing State.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117052 to new section 110474 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117054. Issuing Tribunal.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117054 to section 110478 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117064. Long Arm Jurisdiction.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4905, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117064 to new section 110518 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117074. Personal Jurisdiction.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4905, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117074 to new section 110654 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117080. Register.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4950, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117080 to new section 110710 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117083. Responding State.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117083 to new section 110730 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117085. Responding Tribunal.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117085 to new section 110734 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117089. State.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4901, Family Code; and 42 United States Code, Section 619(4)(A-B). 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of subsection (a) and Note, transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117089 to new section 110762 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117091. Subject Matter Jurisdiction.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4905, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117091 to new section 110794 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§117094. Tribunal.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4901 and 4902, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
4. Change without regulatory effect renumbering former section 117094 to new section 110858 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
Article 2. Long Arm Jurisdiction
§117200. General Requirements.
Note     •     History

(a) A local child support agency shall establish parentage and/or a child support order by exercising long arm jurisdiction if paternity and support have not been established, but the facts of the case indicate that the requirements for asserting personal jurisdiction over the alleged parent in another state are met. 
(b) In cases in which paternity must be established and an alleged father does not reside in California, a local child support agency shall obtain sufficient information to determine whether any basis exists upon which California can assert long arm jurisdiction over the alleged father. 
(c) In making the determination described in subsections (a) and (b), the local child support agency shall review the case for any of the following factors which may give a tribunal personal jurisdiction: 
(1) The noncustodial parent is personally served with notice within California. 
(2) The noncustodial parent submits to the jurisdiction of California by consent, by entering a general appearance, or by filing a responsive document having the effect of waiving any contest to personal jurisdiction. 
(3) The noncustodial parent resided with the child in California. 
(4) The noncustodial parent formerly resided in California and provided prenatal expenses or support for the child. 
(5) The child resides in California as a result of the acts or directives of the noncustodial parent. 
(6) The noncustodial parent engaged in sexual intercourse in California and the child may have been conceived by that act of intercourse. 
(7) The noncustodial parent has signed a voluntary declaration of paternity in California. 
(8) Any other basis consistent with the constitutions of California and the United States for the exercise of personal jurisdiction. 
(d) A local child support agency seeking to establish an order through the exercise of long arm jurisdiction shall be subject to the same due process requirements as cases where the noncustodial parent resides in California. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4905, Family Code. 
HISTORY

1. New article 2 (section 117200) and section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (section 117200) and section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of subsection (a), transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
Article 3. General Provisions
§117300. Continuing, Exclusive Jurisdiction to Modify a Support Order.
Note     •     History

(a) Except as specified in subsection (b), only the issuing state shall have continuing, exclusive jurisdiction to modify a support order. 
(b) In determining whether it believes California or another state has continuing, exclusive jurisdiction to modify a support order, the local child support agency shall apply the following rules: 
(1) Only one state shall have continuing, exclusive jurisdiction to modify a support order at any given time. 
(2) If the child, the obligee who is an individual, or the obligor resides in the state that issued the controlling order, that state has continuing, exclusive jurisdiction to modify. 
(3) Once a state has continuing, exclusive jurisdiction, it shall retain jurisdiction as long as any one of the parties or children in the case still resides in the state, unless the parties file a written consent in the issuing tribunal allowing another state, with personal jurisdiction over any of the parties, to assume continuing, exclusive jurisdiction to modify the order. 
(c) When an obligee or obligor requests review and modification of a child support order, the local child support agency shall determine whether California has continuing, exclusive jurisdiction to modify the order, or whether the local child support agency must forward the request to another state for modification. 
(d) If there is a state that has continuing, exclusive jurisdiction, a local child support agency shall forward the request for modification to the state that has continuing, exclusive jurisdiction. 
(e) If a local child support agency determines that no state has continuing, exclusive jurisdiction, a local child support agency shall forward the request for review and modification to the state of the non-requesting parent. 
(f) A California tribunal may review and modify the order when it does not have continuing, exclusive jurisdiction, if both parents file a written consent form with the tribunal in the state that issued the order and the California court has personal jurisdiction over at least one of the parents. 
(g) In formulating its determination of whether California or another state has continuing, exclusive jurisdiction to modify the order, the local child support agency should make diligent efforts to determine whether there is any other entity having jurisdiction.
(h) If California was the issuing state, and Californias loses jurisdiction, a local child support agency may not bring a request to modify the support order once another tribunal has properly assumed continuing, exclusive jurisdiction and modified the order. 
(i) If a tribunal of another state has assumed continuing, exclusive jurisdiction, and has modified the order, the local child support agency loses its authority to enforce the order prospectively, but retains jurisdiction to enforce the order as to amounts that accrued prior to the modification and as to nonmodifiable aspects of the order. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code Reference: Sections 4909, 4959, 4960 and 4962, Family Code. 
HISTORY

1. New article 3 (sections 117300-117303) and section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 117300-117303) and section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of section, transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117301. Duration of Support.
Note     •     History

The duration of a support order is determined by the issuing state's law which defines the age of majority and/or emancipation. The duration of a support order may be modified only to the degree it could be modified under the law of the issuing state. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4953, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of section, transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117302. Interest.
Note     •     History

(a) If a tribunal in the state of California issued the controlling order, a local child support agency shall: 
(1) Calculate and document how much interest has accrued on arrears. 
(2) Request a responding state to collect accrued interest. 
(3) Update the balances on arrears and interest and provide those balances to a responding state for collection upon the request of a responding state. 
(b) If a tribunal in a state other than California issued the controlling order, a local child support agency shall: 
(1) Collect interest based upon calculations and documentation provided by the issuing state, provided both of the following criteria are met: 
(A) The issuing state's law authorizes the accrual and collection of interest on support arrears. 
(B) The issuing state requests collection of arrears and interest. 
(2) Request a certified statement of the balances on arrears and interest from the issuing state when needed to proceed with further action on a case. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4909 and 17524, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117303. Reconciling Multiple Orders/Determination of Controlling Order.
Note     •     History

(a) A local child support agency shall identify and obtain copies of all child support orders in each case. 
(b) If there are multiple orders, all orders issued by a tribunal having subject matter jurisdiction to hear and issue the order, and personal jurisdiction over the parties, shall be enforceable until a determination of the controlling order is made. Any payments collected under one support order for a particular period shall be credited against amounts accruing for the same period under a support order issued by another state. Once the tribunal having personal jurisdiction over the parties determines the controlling order, arrearages on all other orders shall stop accruing, and only the controlling order may be enforced prospectively. 
(c) In developing a recommendation for the tribunal, a local child support agency shall use the following rules for determining the controlling order: 
(1) If there is only one order, that is the controlling order. 
(2) If two or more tribunals have issued child support orders but only one of the tribunals has continuing, exclusive jurisdiction, the order of that tribunal controls and shall be so recognized. 
(3) If two or more tribunals have issued child support orders and more than one of the tribunals has continuing, exclusive jurisdiction, an order issued by a tribunal in the current home state of the child controls and shall be so recognized. 
(4) If two or more tribunals have issued child support orders and more than one has continuing, exclusive jurisdiction, but none of the orders has been issued in the current home state of the child, the order most recently issued in a state having continuing, exclusive jurisdiction controls and shall be so recognized. 
(5) If none of the tribunals has continuing, exclusive jurisdiction, a tribunal of this state may issue the controlling child support order if the tribunal has jurisdiction over the parties. 
(d) If a local child support agency discovers a new order after the determination of controlling order has been made, a local child support agency shall review the case to determine if the newly discovered order affects the controlling order determination or the arrears determination. 
(1) If the newly discovered order affects the controlling order determination or the arrears determination, and California has personal jurisdiction over the parties, a local child support agency shall petition the tribunal for a new determination of controlling order, based upon the newly discovered order. 
(2) If California does not have personal jurisdiction over the parties, a local child support agency shall petition the tribunal with personal jurisdiction over the parties to make a new determination of controlling order, based upon the newly discovered order. 
(e) Within 30 days of issuance of an order determining the controlling order, a local child support agency shall send a certified copy of the order to each tribunal that issued or registered an earlier order of child support. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4911, Family Code; and 28 United States Code, Section 1738B. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of subsections (b), (c)(4) and (d)(1), transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
Article 4. California As Initiating State
§117400. General Requirements and Timeframes.
Note     •     History

(a) A local child support agency shall establish paternity, and establish and enforce support orders when the noncustodial parent resides in a state other than California and the custodial party resides in California, or when neither parent resides in California and one parent applies directly for Title IV-D services in California. 
(b) A local child support agency shall: 
(1) Use long arm jurisdiction when establishing judgments of parentage and child support orders in accordance with Article 2, Long Arm Jurisdiction (commencing with Section 117200 of this Chapter). 
(2) Initiate an interstate case action if utilization of long arm jurisdiction is not possible. 
(c) A local child support agency shall identify the case status as public assistance, non-public assistance, never assistance, or foster care, at the time of initiating the interstate referral and notify the responding jurisdiction of the case status. A local child support agency shall subsequently notify the responding jurisdiction at any time the case status changes. 
(d) Whenever a local child support agency initiates an interstate case it shall: 
(1) Refer the case to the responding state's central registry for action within 20 days of determining that an interstate action is necessary. As part of the referral, a local child support agency shall submit the appropriate Child Support Enforcement Transmittal forms specified in Section 117407 and any additional necessary documentation sufficient to allow the responding state to act on the case. 
(2) Provide requested information to the responding state or notify the responding state when the information will be provided, within 30 days of receiving a request for additional information from the responding state. 
(3) Notify the responding state of any new information regarding the case within 10 business days of receiving such information. 
(4) Provide a payment record showing a month-by-month breakdown of amounts owed and paid at the time the case is referred. 
(e) A local child support agency shall determine the amount of arrears owed under multiple orders. When computing arrears under multiple orders, a local child support agency shall: 
(1) Begin with the order with the earliest date. 
(2) Continue with the order with the highest child support amount in effect in any given month. 
(3) Include accrual of interest on arrears to the extent the issuing state charges interest. 
(4) Credit payments collected under one support order for a particular period against amounts accruing for the same period under different support orders. 
(f) A local child support agency shall request responding states to enforce valid orders for accrued arrears, even though the family is no longer on public assistance and no ongoing support order is sought. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: 45 Code of Federal Regulations, Section 303.7. 
HISTORY

1. New article 4 (sections 117400-117407) and section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 117400-117407) and section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of subsections (b)(1), (c) and (e)(3), transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117401. Paternity.
Note     •     History

When California is the initiating state and paternity must be established, a local child support agency shall: 
(a) Pay for the costs of genetic testing in actions to establish paternity. 
(b) Allow a responding state to select the laboratory, schedule the genetic tests and cooperate in obtaining samples from the parent and child. 
(c) Request that the responding jurisdiction attempt to secure a judgment against the noncustodial parent to recover a local child support agency's costs for the genetic testing. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4905 and 5604, Family Code; and 45 Code of Federal Regulations Section 303.7. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of subsection (b), transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117402. Disclosure of Information on Uniform Interstate Family Support Act Pleadings.
Note     •     History

(a) A local child support agency shall advise the custodial party of the requirement to disclose his/her residence address on pleadings in Uniform Interstate Family Support Act cases and the right of the custodial party to obtain a nondisclosure order to keep the address off the documents, if disclosure may put at risk the health, safety or liberty of a party. 
(b) A local child support agency shall instruct the custodial party to notify the local child support agency of any previously obtained protective or restraining orders or whether a good cause exception has been granted pursuant to Section 14008.6 or 11477.04, Welfare and Institutions Code. If such orders have been obtained or good cause has been granted, the local child support agency shall inform the custodial party that upon request, it shall seek an order of nondisclosure on behalf of the custodial party. 
(c) A local child support agency shall use the term “nondisclosure” on the Uniform Interstate Family Support Act documents upon a finding by a tribunal that the health, safety, or liberty of a party or child would be unreasonably put at risk by the disclosure of identifying information. The local child support agency shall attach all orders for nondisclosure of information to the appropriate action form when transmitting a case to another state. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4926, 4977 and 4978, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of subsection (b), transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117403. Modification of Child Support Orders.
Note     •     History

(a) Within 20 days of receiving information necessary to conduct a review, and determining that a request for review and adjustment of a support order should be sent to the state that has continuing, exclusive jurisdiction to modify the order, a local child support agency shall request that the other state conduct a review and adjustment of a child support order. 
(b) If there is no state with continuing, exclusive jurisdiction to modify a support order, a local child support agency shall transmit a request for registration and modification by the obligee or obligor to the state where the non-requesting party resides. 
(c) A local child support agency shall proceed with a modification of a child support order even if a party leaves the state while the proceedings are pending, if a motion to modify support has been filed and served, unless both parties agree to terminate the modification proceeding. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4910 and 4960-4962, Family Code; and 45 Code of Federal Regulations, Sections 303.7 and 303.8. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117404. Modification of Spousal Support Orders.
Note     •     History

Only a tribunal in a state which issued a spousal support order shall have continuing, exclusive jurisdiction to modify the spousal support order. A local child support agency may serve as an initiating state to request the issuing state to enforce or modify a spousal support order. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4909 and 4910, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117405. Direct Income Withholding.
Note     •     History

(a) Except as specified in (b) below, a local child support agency shall send the Federal Form (OMB NO.: 0970-0154) “Order/Notice to Withhold Income for Child Support,” directly to an employer, as defined in Section 110250, in another state when the obligor resides outside of California, the employer is known, and a local child support agency has not initiated an interstate case. 
(b) A local child support agency shall use an interstate process rather than direct income withholding when it has reason to believe: 
(1) The obligor has more than one family and another state has sent a income withholding order to the obligor's employer. 
(2) The obligor's arrears are in dispute. 
(3) There are multiple support orders and the controlling order and arrears determinations have not been made. 
(4) The obligor has declared bankruptcy. 
(5) The obligor has a history of short term employment or job hopping. 
(6) The obligor is unemployed. 
(7) The obligor is incarcerated. 
(8) The obligor is self-employed. 
(c) When there is an active interstate case in progress and the local child support agency decides to file a direct income withholding order, the local child support agency shall notify the responding state to close its case. 
(d) When a local child support agency has a direct income withholding order in place, and wishes to initiate an interstate case, a local child support agency shall advise the responding state of the direct income withholding order and coordinate withdrawal of the direct income withholding order with service of the responding state's withholding order. 
(e) If the obligor contests the direct income withholding order, a local child support agency shall: 
(1) Contact the Title IV-D agency in the responding state to request its assistance in appearing on behalf of the local child support agency. 
(2) Comply with a responding state's request to withdraw the direct income withholding order and file an interstate action to authorize the responding state to appear on behalf of the initiating state, if the responding state determines such action is necessary. 
(f) A local child support agency shall contact the employer if an employer does not comply with the direct income withholding order and attempt to resolve the issue informally. If that effort fails, a local child support agency shall initiate an interstate case requesting the responding state to register and serve an income withholding order. 
(g) A local child support agency shall open a case and assist an obligor in registering a support order or direct income withholding order that is being contested if an obligor requests Title IV-D services, which includes the right to initiate a contest. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4940-4942 and 4944-4946, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117406. Administrative Enforcement Without Registration.
Note     •     History

A local child support agency shall not request a responding state to register an order if it can be enforced in the responding state through administrative remedies without registration. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4915, 4940 and 4946, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117407. Interstate Forms.
Note     •     History

A local child support agency shall complete and send to the responding state the appropriate parts of the Federal Form (OMB NO.: 0970-0085) as specified below when requesting the responding state to: 
(a) Establish paternity and child support. 
(1) Child Support Enforcement Transmittal #1. 
(2) Uniform Support Petition. 
(3) Affidavit in Support of Establishing Paternity. 
(4) General Testimony. 
(b) Establish child support. 
(1) Child Support Enforcement Transmittal #1. 
(2) Uniform Support Petition. 
(3) General Testimony. 
(c) Modify an existing responding state order. 
(1) Child Support Enforcement Transmittal #1. 
(2) General Testimony. 
(d) Modify an existing order that the responding state did not issue. 
(1) Child Support Enforcement Transmittal #1. 
(2) Uniform Support Petition 
(3) General Testimony. 
(4) Registration Statement. 
(e) Enforce an existing responding state order. Child Support Enforcement Transmittal #1. 
(f) Enforce an existing order that the responding state did not issue. 
(1) Child Support Enforcement Transmittal #1. 
(2) Registration Statement. 
(g) Respond to case inquiry or update on a previously referred case. Child Support Enforcement Transmittal #2. 
(h) Provide limited services. Child Support Enforcement Transmittal #3. 
(i) Provide Quick Locate. Locate Data Sheet. 
(j) Acknowledge Receipt of Interstate Requests. Page 3 of the Child Support Enforcement Transmittal #1. 
NOTE

Authority cited; Sections 17306, 17310 and 17312, Family Code. Reference: Section 4925, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
Article 5. California As Responding State
§117500. General Requirements/Time Frames.
Note     •     History

(a) A local child support agency shall provide Title IV-D interstate cases the same services required in Title IV-D intrastate cases including all of the following: 
(1) Establishing paternity and attempting to obtain a judgment for genetic testing costs, should paternity be established. 
(2) Establishing a child support order. 
(3) Processing and enforcing orders using the same remedies applied in Title IV-D intrastate cases. 
(4) Collecting and monitoring support payments and forwarding payments to the location specified by the initiating state's Title IV-D agency. 
(5) Reviewing and modifying child support orders. 
(b) Within 75 days of receipt of an interstate case from the California Central Registry, the local child support agency shall do all of the following: 
(1) Provide locate services, if the request is for location services or the case does not include adequate information to locate the obligor and/or the obligor's assets. 
(2) Request additional or corrected documentation from the initiating state's Title IV-D agency if the local child support agency is unable to proceed with the case because the provided documentation is insufficient. 
(3) Process the case to the extent possible pending receipt of the necessary documentation from the initiating state, if the documentation initially received by a local child support agency is insufficient and cannot be remedied without assistance of the initiating state. 
(c) A local child support agency shall provide notice of any hearings that might result in establishment or modification of an order to the initiating state's Title IV-D agency within 14 business days after notice of the time, date and location of a hearing. 
(d) If the local child support agency receives a substantive written communication from the party against whom the order is being enforced, or that party's attorney, the local child support agency shall send a copy of that communication to the initiating state within 10 business days of receipt of the communication.
(e) A local child support agency shall notify an initiating state within 10 business days of receipt of new information by submitting an updated Federal Form OMB No.: 0970-0085. 
(f) A local child support agency shall, to the extent allowed under Section 17402, Family Code, comply with another state's request to establish an order for a prior time period and collect assigned arrears only. 
(g) A local child support agency shall enforce an issuing state's valid orders for accrued arrears, even in cases in which the obligee and child are no longer on public assistance. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4907, 4919-4921 and 17402, Family Code; and 45 Code of Federal Regulations, Sections 303.2 and 303.7. 
HISTORY

1. New article 5 (sections 117500-117504) and section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 117500-117504) and section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of subsections (d)-(e) and (g), transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117501. Paternity.
Note     •     History

(a) When California is the responding jurisdiction and genetic tests are requested to establish paternity, a local child support agency shall: 
(1) Select the laboratory and provide the laboratory with sufficient information to schedule the genetic testing for the mother, child, and alleged father. 
(2) Notify the initiating state of the genetic testing costs and request payment. 
(3) Attempt to secure a judgment against the noncustodial parent to recover the costs of genetic testing. 
(4) Reimburse the initiating state for costs of genetic testing, if the costs are recovered by a local child support agency. 
(b) A local child support agency shall give full faith and credit to another state's judgment of parentage and shall not order genetic tests unless the judgment is vacated in the issuing state. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4905 and 5604, Family Code; and 45 Code of Federal Regulations, Section 303.7. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117502. Transferring Interstate Cases.
Note     •     History

(a) When California is the responding state, a local child support agency shall, within 10 business days of locating a noncustodial parent's residence in a different county within California, take all of the following actions using the Federal Forms specified in Section 117407 and California Rules of Court, Rule 1298.60: 
(1) Transfer the case in accordance with Family Code, Section 5001. 
(2) Notify the initiating state of the transfer and provide the initiating state with the new location information. 
(3) Notify the California Central Registry of the case transfer. 
(b) Within 10 business days of locating a noncustodial parent in a different state, a local child support agency shall take all of the following actions using the Federal Forms specified in Section 117407: 
(1) Notify the initiating state of the noncustodial parent's new location. 
(2) Return the form and documentation, including the new location, to the initiating state, or, if directed by the initiating state, forward the case documentation to the central registry in the state where the noncustodial parent has been located. 
(3) Notify the California Central Registry of the case transfer. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 5001, Family Code; and 45 Code of Federal Regulations, Section 303.7. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of subsection (a), transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117503. Registration of Foreign Orders.
Note     •     History

(a) A local child support agency shall request an initiating state to provide certified copies of all orders to be registered, when the initiating state requests registration of a foreign order for enforcement and/or modification. 
(b) A local child support agency shall register a support order or income withholding order if the following documents are received from the appropriate tribunal of the state requesting registration of the order: 
(1) A letter of transmittal requesting registration and enforcement. 
(2) One certified copy of all orders to be registered, including any modification of an order. 
(3) A signed and notarized statement, sworn under penalty of perjury by the party seeking registration, or a certified statement by the custodian of the records, showing the amount of any arrearage. 
(4) The name and address of the obligee and the agency to which support payments are to be remitted. 
(5) The name of the obligor and if known, the obligor's address, social security number, employer and employer's address, other sources of income and a description and location of the obligor's property in California that is not exempt from execution. 
(c) An order registered for enforcement shall be enforceable on the date of registration. The local child support agency shall enforce the order as of the effective date of registration. 
(d) If the obligor does not contest administrative enforcement, the order need not be registered. If the obligor contests the validity or administrative enforcement of the order, the local child support agency shall register the order. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4946 and 4950-4954, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of subsection (b)(3), transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
§117504. Modification of Child Support Orders.
Note     •     History

(a) If a California tribunal modifies an order consistent with the provisions of Section 117300, a local child support agency shall send certified copies of the modified order to all tribunals in which orders have been entered or registered, and to all Title IV-D agencies and parties to the case. 
(b) If an obligor or obligee requests a review and adjustment of an order and California is not the state with continuing, exclusive jurisdiction, a local child support agency shall transmit the request to the state with continuing, exclusive jurisdiction. 
(c) If no state has continuing, exclusive jurisdiction, a local child support agency shall transmit the request to the state where the non-requesting party resides for registration and modification. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4909, 4910, 4960, 4962 and 4963, Family Code. 
HISTORY

1. New section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of Note, transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
Article 6. Limited Interstate Services
§117600. Local Child Support Agency Responsibilities.
Note     •     History

A local child support agency that receives a request for limited interstate services shall not open a Title IV-D case, but shall provide only the limited services requested on Federal Form OMB NO.: 0970-0085. Limited interstate services include, but are not limited to, the following: 
(a) Providing copies of documentation such as certified copies of orders, payment records, financial statements, or any other documentation described under “other” on Federal Form OMB NO: 0970-0085. 
(b) Providing assistance with service of process by providing information about agencies or process servers in the state. 
(c) Providing assistance with genetic testing by providing information such as names of genetic testing laboratories and protocols to be followed. 
(d) Obtaining answers for completing interrogatories. 
(e) Providing assistance with long-distance testimony by telephone and, when available, video conferencing. 
(f) Obtaining financial data/proof of respondent's income. 
(g) Obtaining party's signature. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4930-4932, Family Code. 
HISTORY

1. New article 6 (section 117600) and section filed 9-24-2001 as an emergency; operative 9-24-2001 (Register 2001, No. 39). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 3-25-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (section 117600) and section refiled 3-19-2002 as an emergency; operative 3-26-2002 (Register 2002, No. 12). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-19-2002 order, including amendment of first paragraph and subsection (a), transmitted to OAL 9-13-2002 and filed 10-28-2002 (Register 2002, No. 44).
Chapter 8. Case Closure
Article 1. Definitions
§118020. Case Closure.
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17531, Family Code; and 45 Code of Federal Regulations, Section 303.11. 
HISTORY

1. New chapter 8 (articles 1-2, sections 118020-118203), article 1 (section 118020) and section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
2. New chapter 8 (articles 1-2, sections 118020-118203), article 1 (section 118020) and section refiled 8-22-2002 as an emergency; operative 8-22-2002 (Register 2002, No. 34). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 2-18-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-22-2002 order transmitted to OAL 2-13-2003 and filed 3-24-2003 (Register 2003, No. 13).
4. Change without regulatory effect renumbering former section 118020 to new section 110120 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
Article 2. Case Closure
§118203. Requirements for Case Closure.
Note     •     History

(a) Each local child support agency shall establish and use a system for closing Title IV-D cases and shall close any case when it meets at least one of the following case closure criteria: 
(1) There is no longer a current support order and no arrearage payments were made in the preceding twelve consecutive months, and assigned and unassigned arrears total less than $500 or arrears are unenforceable under state law. Situations to which this criterion apply include, but are not limited to, the following: 
(A) Reconciliation of the family. 
(B) The death of a child for whom support is owed. 
(C) Paternity is established and is the only Title IV-D service needed because both parents in a Title IV-A grant are living together. 
(D) A child for whom support is sought dies before paternity can be established. 
(E) Cases with medical support orders with specific dollar amounts and arrears which accrue under such orders. 
(F) Emancipation of the youngest child. 
(2) The noncustodial parent or alleged father is deceased and no further action can be taken, including a levy against the estate. The local child support agency shall: 
(A) Verify the death of the noncustodial parent or alleged father. 
(B) Document that attempts to identify assets in the estate that could be levied against were unsuccessful. The closure notice required by subsection (b) below, shall include information about possible Social Security Administration death benefits pursuant to subsection (b)(3)(C). 
(3) Paternity cannot be established because of one of the following: 
(A) The youngest child requiring paternity establishment has reached 18 years of age and there is no pending judicial action to establish the child's paternity. 
(B) A genetic test, or court, or administrative process has excluded the alleged father and the custodial party has attested under penalty of perjury that he or she does not know the identity of other individuals who could be the father. 
(C) A local child support agency, in conjunction with the county welfare department, determines that the child's best interest will not be served by establishing paternity in a case involving incest or forcible rape, or a case where legal proceedings for adoption are pending. 
(D) Either the first or the last name of the biological father is unknown and cannot be identified after diligent efforts, including at least one face-to-face interview by the local child support agency with the custodial party. For the purpose of this subparagraph “diligent efforts” means acting on leads the custodial party may provide that could help identify and locate the biological father, such as a last known address or employer. The interview required in this subparagraph may be conducted by telephone when the custodial party would have to travel at least 60 miles, or take time from work to be interviewed face-to-face, or is disabled, or lacks transportation. 
(E) The child was conceived as the result of artificial insemination of a woman other than the donor's wife, and the husband of the woman, if any, did not consent to the insemination. 
(4) The noncustodial parent's or alleged father's residence, employment address, earnings and assets are unknown and the local child support agency has made diligent but unsuccessful quarterly attempts using all locate sources, pursuant to Section 113100, to locate the noncustodial parent or alleged father and his/her earnings or assets. Such efforts shall be made over a three-year period when there is sufficient information to initiate an automated locate effort, or over a one-year period when there is insufficient information to initiate an automated locate effort. 
(A) For the purpose of this subparagraph, “sufficient information” means the first and last name and date of birth, and/or Social Security Number of the noncustodial parent or alleged father. 
(B) For the purpose of this subparagraph, “diligent” means a local child support agency has done both of the following: 
1. For the one-year period, contacted the custodial party at least once to ask for information which might serve to further identify and locate the noncustodial parent or alleged father. 
2. Made every reasonable effort to obtain the missing or incomplete Social Security Number of the noncustodial parent or alleged father using all appropriate sources including, but not limited to, the California Parent Locator Service, the Department of Motor Vehicles, the Social Security Administration, and the Federal Parent Locator Service. 
(5) The local child support agency determines that the noncustodial parent has no earnings or assets which could be levied or attached for support and the noncustodial parent cannot pay support for the duration of the child's minority for any of the following reasons: 
(A) The noncustodial parent is institutionalized in a psychiatric facility. 
(B) The noncustodial parent is incarcerated with no chance of parole. 
(C) The noncustodial parent has a medically verified total and permanent disability with no evidence of support potential. 
(D) The noncustodial parent receives SSI/SSP and has no other attachable income or assets. 
(6) The noncustodial parent lives in a foreign country. 
(A) The noncustodial parent resides in a country other than Mexico and all of the following apply: 
1. The noncustodial parent is a citizen of that country. 
2. The noncustodial parent does not work for the United States government or a company which has its headquarters or offices in the United States. 
3. The noncustodial parent has no reachable domestic earnings or assets. 
4. California does not have reciprocity with the country. 
(B) The noncustodial parent resides in Mexico and in addition to the criteria specified in (A)1. through 3. above, the case is a California-initiated request for reciprocal child support services with Mexico, and at least one of the following apply: 
1. Paternity is at issue and either California does not have the basis to establish paternity using long-arm jurisdiction, specified in Section 4905, Family Code, or use of long-arm jurisdiction to establish paternity is appropriate and has been attempted but the local child support agency is unable to establish paternity. 
2. The noncustodial parent's location is not known. 
3. The noncustodial parent is not known to be working, or the local child support agency is unable to determine the noncustodial parent's employer. 
4. The local child support agency cannot be provided with a photograph of the noncustodial parent. 
5. The only issue in the case is retroactive support for past public assistance paid. 
(7) A local child support agency has provided non-Title IV-D location-only services, pursuant to Section 113200, as requested by the custodial party, legal guardian, attorney, or agent, of a child who is not receiving public assistance, whether or not such services were successful. 
(8) A recipient of services who is currently not receiving public assistance under Title IV-A, requests closure of a case and there is no assignment for medical support and no assigned arrears. 
(9) The court determines it would be inappropriate to establish a child support order for a case in which retroactive child support for past assistance paid is the only issue. 
(10) There has been a finding of good cause, as specified in Section 11477.04, or Section 14008.6, Welfare and Institutions Code, or other exceptions to cooperation with the local child support agency, and the State or county welfare department has determined that support enforcement may not proceed without risk of harm to the child or caretaker. 
(11) Except as specified in subparagraph (C), a local child support agency is unable to contact a non-Title IV-A recipient of services over a 60-day period after having made at least one attempt to contact the recipient of services by telephone, sending a letter by first-class mail to the last known address of the recipient of services, and after using the Department of Motor Vehicles and other locate sources to locate the recipient of services. 
(A) The 60-day period shall commence with the date that the contact letter is mailed to the last known address of the recipient of services. 
(B) A local child support agency shall not mail the case closure letter required by subsection (b), below, until 60 days have elapsed from the date the contact letter was mailed to the recipient of services; and until all responses from queried locate sources have been received indicating no new information is available that would allow the case to remain open. 
(C) When the recipient of services is a custodial party and a local child support agency has a child support collection that needs to be distributed to that custodial party, the local child support agency shall attempt to locate the custodial party for six months, pursuant to Section 113100(g), before the case qualifies for closure under this criterion. 
(D) A Medically Needy Only recipient's case shall not be closed under this closure criterion. A local child support agency shall contact the county welfare department for assistance in locating the recipient of services. 
(12) A non-Title IV-A recipient of services, except a Medically Needy Only recipient, is uncooperative and an action by the recipient of services is essential for the next step in providing Title IV-D services. A local child support agency shall explain the incident of the noncooperation to the recipient of services in writing and warn the recipient of services that further noncooperation may result in case closure, and shall document circumstances of noncooperation in the case record. Noncooperation shall include any action or inaction by the recipient of services which is essential for the next step in providing Title IV-D services such as: 
(A) Continuing to accept direct child support payments. 
(B) Failing to attend hearings. 
(C) Refusing to sign forms. 
(D) Refusing to report private attorney actions. 
(13) A recipient of services has moved to another county or state and both, subparagraphs (A) and (B) apply: 
(A) The recipient of services applied for services in the other county or state. 
(B) The local child support agency documents in the case record that contact was made with the other county or state to confirm that the recipient of services has applied for services in the other county or state; and, in the case of an inter-county transfer, to confirm that the case, with its support order and arrears, has been transferred. 
(C) Notwithstanding subparagraphs (A) and (B), above, if there are assigned arrears, a case shall not be closed under this closure criterion until one of the following occurs: 
1. The assigned arrears are collected. 
2. The case is closed under another closure criterion. 
3. Responsibility for collecting the assigned arrears is transferred to another county or state. 
(14) A local child support agency documents failure by an initiating state in an interstate case to take an action which is essential for the next step in providing Title IV-D services. 
(A) If California is the responding state and a local child support agency needs additional information to process an interstate case, that local child support agency shall send to the initiating state a notice requesting the initiating state to provide the information within 30 days, or provide a response within 30 days as to when the information shall be provided. 
1. If the information or notice of when information will be provided is not received by the local child support agency after 30 days from mailing the request specified in subparagraph (A) above, the local child support agency shall notify the initiating state that the case will be closed in 60 days. 
2. The local child support agency shall also send a copy of the closure notification to the initiating state's central registry with a notation requesting any assistance the central registry can provide the initiating state's Title IV-D agency in obtaining information necessary to keep the case open. 
(B) When the initiating state requests case closure and does not provide the case closure criterion, or provides a case closure criterion that is inconsistent with subparagraphs (1) through (13) and (15), the local child support agency shall send the initiating state a written notice of intent to close the case in 60 days, unless the initiating state provides a case closure criterion that is consistent with subparagraphs (1) through (13) and (15). 
(C) The case shall be closed after 60 days have elapsed from the date of mailing the closure notice specified in subparagraph (A)1. and (B) above, if the initiating state does not provide the information needed to process the interstate case or a response stating when the information will be provided. 
(15) A Title IV-D case is erroneously opened and both of the following apply: 
(A) No Title IV-D services can be appropriately provided for the case. 
(B) There is clear and complete documentation in the case file explaining why the case was erroneously opened and why no Title IV-D services can be provided. 
(b) A local child support agency shall notify the recipient of services in writing when closing a case pursuant to subsections (a)(1) through (6) and (11) through (14), above, of the local child support agency's intent to close the case. 
(1) Written notice shall not be provided for cases closed pursuant to subsections (a)(7), (8), (9), (10) or (15), above. 
(2) Written notice of case closure shall be mailed to the last known address of a recipient of services 60 days prior to closing a case. When the only address for a recipient of services is a Title IV-A agency, a local child support agency shall send the closure notice to that Title IV-A agency's address. 
(3) A notice of intent to close the case shall, at a minimum, include the following information: 
(A) The reason the case is being closed. 
(B) The circumstances under which the case will be reopened, such as receipt of new information regarding the location of the noncustodial parent's or alleged father's residence or earnings or assets, as specified in subsection (c), below. 
(C) Whom to contact to apply for possible Social Security death benefits for cases closed for the reasons specified in subsection (a)(2), above. 
(4) When a case qualifies for closure pursuant to subsection (a)(1) because the parents have reconciled and the reconciliation makes the family ineligible for public assistance, and there are no arrears assigned to the state that are eligible for enforcement, a local child support agency shall mail a case closure notice to both the custodial party and noncustodial parent. The notice shall state both of the following: 
(A) The case is being closed because the family has reconciled. 
(B) Title IV-D service shall be terminated. 
(5) A case shall remain open if: 
(A) A recipient of services responds to a closure notice with information that could lead to the establishment of paternity or a support order or enforcement of an order; or 
(B) Contact is re-established with a recipient of services within the timeframes specified in subsection (a)(11). 
(c) The local child support agency shall reopen a case that has been closed when a non-Title IV-A former recipient of services requests that the case be reopened and can provide information that could lead to the establishment of paternity or a support order or enforcement of an order. When a non-Title IV-A former recipient of services requests resumption of Title IV-D services, the recipient of services shall complete a new application package pursuant to Section 112100(b)(2). 
(d) Closed Title IV-D case records shall be retained for a minimum of four years and four months from the date of closure, unless otherwise specified, and summary criminal history information shall be disposed of, in accordance with record disposal requirements specified in Section 111460. 
(e) When a local child support agency closes a case, it shall evaluate the case to determine whether it is appropriate to release, remove, rescind or terminate establishment and enforcement actions initiated against the obligor. 
(1) A local child support agency shall release, remove, rescind or terminate all establishment and enforcement actions, when an obligor never had or no longer has a current child support or a medical support obligation, and no arrearage exists. 
(2) For purposes of subparagraph (1) above, release, removal, rescission or termination of establishment and enforcement actions includes, but is not limited to, the following: 
(A) Dismissal of Summons and Complaints without prejudice. A Summons and Complaint may be dismissed only when a judgment for support has not been entered; or, when a judgment for support has been entered and the court has entered an order to set aside or vacate the judgment. 
(B) Termination of income withholding orders and National Medical Support Notices. When the criteria set forth in subparagraph (1) above, are satisfied, such orders shall be terminated under any of the following circumstances, unless the court order specifies alternative termination provisions: 
1. The child reaches the age of 18, or, if the child continues to be a full-time high school student, is unmarried, and is not self-supporting, then at the time the child completes the 12th grade or reaches the age of 19, whichever occurs first. 
2. The child for whom child support is ordered has legally emancipated. 
3. The child for whom child support is ordered has died. 
(C) Removal of an obligor's name and social security number from all State and federal intercepts. 
(D) Release of personal and real property liens. 
(3) If a local child support agency closes a case when the obligor continues to have a current child support or medical support obligation or unassigned arrears exist pursuant to subparagraph (8) of subsection (a), the local child support agency shall release, remove, rescind or terminate establishment or enforcement actions as appropriate. For purposes of this subparagraph, release, removal, rescission or termination of establishment and enforcement actions includes, but is not limited to, the following: 
(A) Removal of obligor's name and Social Security Number from all State and federal intercepts. 
(B) Substitution of payee on income withholding and medical support order. The local child support agency shall substitute the obligee as the payee on any income withholding and medical support orders. 
(C) Substitution of payee on real property lien. The local child support agency shall file and record a substitution of payee in each county in which a judgment or abstract of judgment has previously been recorded. 
(D) Substitution of payee on notice of child support lien or lien against personal property lien. The local child support agency shall file a substitution of payee with the Secretary of State for any notice of child support lien previously filed pursuant to Section 17523, Family Code. 
(4) When a recipient of services has a family violence indicator, a local child support agency shall obtain from a recipient of services a substitute address, when necessary for releasing, removing, rescinding or terminating establishment and enforcement actions and shall not disclose the whereabouts of the recipient of services and the affected child(ren) unless ordered to do so by a court of competent jurisdiction after proper notice and hearing.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 4506.2, 5237, 7613, 17502, 17523 and 17531, Family Code; and 45 Code of Federal Regulations, Sections 302.35, 303.3 and 303.11. 
HISTORY

1. New article 2 (section 118203) and section filed 3-25-2002 as an emergency; operative 3-25-2002 (Register 2002, No. 13). A Certificate of Compliance must be transmitted to OAL by 9-23-2002 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (section 118203) and section refiled 8-22-2002 as an emergency; operative 8-22-2002 (Register 2002, No. 34). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 2-18-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-22-2002 order transmitted to OAL 2-13-2003 and filed 3-24-2003 (Register 2003, No. 13).
Chapter 9. Collection and Distribution of Child Support
Article 1. Definitions
§119003. Assets. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 4053, 4058, 4059 and 17550, Family Code. 
HISTORY

1. New article 1 (sections 119003-119076) and new section filed 4-2-2004; operative 4-2-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 14).
2. Change without regulatory effect renumbering former section 119003 to new section 110068 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§119015. Compromise of Assigned Arrearages -- Family Reunification. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17550, Family Code. 
HISTORY

1. New article 1 (sections 119015-119076) and section filed 11-25-2002 as an emergency; operative 11-25-2002 (Register 2002, No. 48). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2003, No. 20).
3. New article 1 (sections 119015-119076) and section refiled 5-12-2003 as an emergency; operative 5-24-2003 (Register 2003, No. 20). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 11-20-2003 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 14).
5. New section filed 4-2-2004; operative 4-2-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 14).
6. Change without regulatory effect renumbering former section 119015 to new section 110184 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§119019. County Welfare Worker. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17550, Family Code. 
HISTORY

1. New section filed 11-25-2002 as an emergency; operative 11-25-2002 (Register 2002, No. 48). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day. 
2. Editorial correction of History 1 (Register 2003, No. 20).
3. New section refiled 5-12-2003 as an emergency; operative 5-24-2003 (Register 2003, No. 20). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 11-20-2003 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 14).
5. New section filed 4-2-2004; operative 4-2-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 14).
6. Change without regulatory effect renumbering former section 119019 to new section 110208 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§119045. Guardian. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17550, Family Code. 
HISTORY

1. New section filed 11-25-2002 as an emergency; operative 11-25-2002 (Register 2002, No. 48). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day. 
2. Editorial correction of History 1 (Register 2003, No. 20).
3. New section refiled 5-12-2003 as an emergency; operative 5-24-2003 (Register 2003, No. 20). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 11-20-2003 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 14).
5. New section filed 4-2-2004; operative 4-2-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 14).
6. Change without regulatory effect renumbering former section 119045 to new section 110402 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§119069. Placement. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 361(e) and 11400(k), Welfare and Institutions Code. 
HISTORY

1. New section filed 11-25-2002 as an emergency; operative 11-25-2002 (Register 2002, No. 48). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day. 
2. Editorial correction of History 1 (Register 2003, No. 20).
3. New section refiled 5-12-2003 as an emergency; operative 5-24-2003 (Register 2003, No. 20). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 11-20-2003 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 14).
5. New section filed 4-2-2004; operative 4-2-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 14).
6. Change without regulatory effect renumbering former section 119069 to section 110658 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§119076. Relative Caregiver. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17550, Family Code; and Section 11362(c), Welfare and Institutions Code. 
HISTORY

1. New section filed 11-25-2002 as an emergency; operative 11-25-2002 (Register 2002, No. 48). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day. 
2. Editorial correction of History 1 (Register 2003, No. 20).
3. New section refiled 5-12-2003 as an emergency; operative 5-24-2003 (Register 2003, No. 20). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 11-20-2003 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 14).
5. New section filed 4-2-2004; operative 4-2-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 14).
6. Change without regulatory effect renumbering former section 119076 to new section 110718 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
Article 5. General Requirements
§119184. Monthly Statement of Collections and Distribution and Important Information Sheet.
Note     •     History

(a) Each local child support agency shall issue a “Monthly Statement of Collections and Distribution”, CS 916, dated (03/02), and “Notice of Important Information”, CS 917, dated (03/02), each incorporated by reference herein, to each custodial party who is a recipient of child support services. The statement shall include, but not be limited to, the information required by Title IV-D of the Social Security Act, federal regulation, and the First Amended Permanent Injunction and Judgment, filed with the United States District Court, Eastern District of California, in the case of Barnes v. Anderson, Case No. CIV-S-90-0579.
(b) The statement specified in (a), above, shall be sent to all custodial parties within 45 days from the end of the statement period when there is either a collection or distribution of support during the period covered by the statement.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17306, 17401.5, 17504, 17800 and 17801, Family Code; 42 United States Code, Section 654; 45 Code of Federal Regulations, Section 302.54; and Barnes v. Anderson et al., First Amended Permanent Injunction and Judgment, No. CIV-S-90-0579, filed December 14, 1998 (United States District Court for the Eastern District of California).
HISTORY

1. New chapter 9, article 4 (section 119184) and section filed 5-29-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 22). Pursuant to Family Code section 17306, a Certificate of Compliance must be transmitted to OAL by 12-30-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-29-2002 order, including renumbering and amendment of former article 4 heading to new article 5 heading and amendment of Note, transmitted to OAL 10-17-2002 and filed 12-3-2002 (Register 2002, No. 49).
Article 6. Compromise of Assigned Arrearages -- Family Reunification
§119191. Compromise of Assigned Arrearages -- Family Reunification.
Note     •     History

(a) The local child support agency shall provide a Compromise Application Packet to a person on the day it is requested in person, or mail the Compromise Application Packet within 5 business days of receipt of a telephone or written request, or whenever the local child support agency becomes aware that an obligor has been reunited with his/her child(ren). The Compromise Application Packet shall consist of: 
(1) Application for Compromise -- Family Reunification, form DCSS 0027, dated (09/03), incorporated by reference herein, 
(2) Relevant court form(s) providing information on the applicant's income, expenses, and assets, and 
(3) Application for Compromise -- Family Reunification Information Sheet, form DCSS 0026, dated (09/03), incorporated by reference herein. 
(b) When the local child support agency receives a Compromise Application Packet, the local child support agency shall review the Compromise Application Packet for completeness. For purposes of completeness, applicants are not required to submit the Compromise of Arrearages Information Sheet -- Family Reunification, form DCSS 0026. The local child support agency shall verify that the applicant returned the required documents and that the documents are complete, or that the local child support agency otherwise has the information required available. 
(1) Within 10 business days of the date of receipt of an incomplete Compromise Application Packet, the local child support agency shall mail to the applicant a Notice of Incomplete Application for Compromise -- Family Reunification, form DCSS 0031, dated (09/03), incorporated by reference herein. 
(2) Within 10 business days of the date of receipt of the completed Compromise Application Packet, the local child support agency shall take the following actions: 
(A) Make a determination of an applicant's eligibility for temporary suspension of enforcement and collection actions pending a final determination of eligibility for compromise as specified in Subsection (d). 
(B) If the applicant meets the requirements specified in Subsection (d) below, the local child support agency shall send the applicant a Notice of Temporary Suspension Of Child Support Collection and Enforcement -- Family Reunification, form DCSS 0030, dated (09/03), incorporated by reference herein. The applicant shall be advised that his/her application for compromise is complete and that he/she does qualify for temporary suspension of collection and enforcement actions on the assigned arrearages which accrued during the time that his/her child was in out-of-home care, as defined in Subsection (d)(2) below. 
(C) If the applicant does not meet the requirements specified in Subsection (d) below, the local child support agency shall send the applicant a Notice of Denial of Application for Compromise -- Family Reunification, form DCSS 0029, dated (09/03), incorporated by reference herein. 
(c) Within two business days of the completion of the actions specified in Subparagraph (b)(2)(B) above, the local child support agency shall take administrative action to suspend enforcement of the obligation, and collection activities on the assigned arrearages that accrued during the time the child was in placement until a final determination is made on the application. 
(d) The applicant shall qualify for temporary suspension of enforcement and collection actions, pending a final determination of eligibility for compromise, if all of the following requirements are satisfied: 
(1) The applicant has provided a completed Compromise Application Packet. 
(2) Either of the following criteria are met: 
(A) The child has been adjudged a dependent of the court under Section 300 of the Welfare and Institutions Code and Aid to Families with Dependent Children-Foster Care or KinGAP was expended while the child was a dependent of the court, and the child is residing with and has been reunified with the applicant pursuant to a court order; or 
(B) The child received public assistance while living with a guardian or relative caregiver and the child has been returned to the custody of and is residing with the applicant, provided that the applicant for whom the debt compromise is being considered was the applicant with whom the child resided prior to the child's placement with the guardian or relative caregiver. 
(3) The applicant for whom the debt compromise is being considered has a gross income less than 300 percent of the federal poverty level guidelines for that family size. 
(e) Within 20 business days from determining the applicant's qualification for a temporary suspension as specified in Subsection (b)(2)(B), the local child support agency shall take the following actions to determine the applicant's eligibility for compromise: 
(1) Verify that one of the following conditions are satisfied: 
(A) The child has been adjudged a dependent of the court under Section 300 of the Welfare and Institutions Code and Aid to Families with Dependent Children-Foster Care or KinGAP was expended while the child was a dependent of the court, and the child is residing with and has been reunified with the applicant pursuant to a court order; or 
(B) The child received public assistance while living with a guardian or relative caregiver and the child has been returned to the custody of and is residing with the applicant, provided that the applicant for whom the debt compromise is being considered was the applicant with whom the child resided prior to the child's placement with the guardian or relative caregiver. 
(2) Verify the following information from local child support or county welfare department case information or the Application for Compromise -- Family Reunification, form DCSS 0027, dated (09/03), and the relevant court form(s) providing information on the applicant's income, expenses, and assets: 
(A) Local child support agency's case identification number. 
(B) Address of the applicant. 
(C) Social Security number of the applicant, if any. 
(D) Address of the child(ren) for whom arrearages are being considered for compromise. 
(E) Social Security number(s) of the child(ren) for whom arrearages are being considered for compromise. 
(F) Applicant's relationship to the child(ren). 
(G) Time period when the child(ren) was out of the home. 
(H) Child(ren) received assistance payments during placement as required by Subparagraph (e)(1). 
(I) Child(ren) is currently living with the applicant. 
(J) Child(ren) lived with the applicant prior to the child(ren)'s placement in out-of-home care. 
(K) Applicant's gross monthly income as defined by Family Code Section 4058. 
(L) Applicant's net monthly income as defined by Family Code Section 4059. 
(M) All reported extraordinary expenses, such as day care, medical and dental expenses. 
(N) Justification for other uses of income as outlined in a reunification plan. 
(3) Determine if the applicant has a net disposable income less than 250 percent of the current federal poverty level guidelines. 
(A) The 250 percent shall be applied to the family group, which includes the applicant and any other child(ren) the applicant is legally obligated to support and who resides with the applicant. 
(B) The 250 percent shall be calculated by comparing the applicant's net disposable income to 250 percent of the federal poverty level for that family size. Income will be computed based on the current month's income at the time of application. Net disposable income shall be computed in accordance with Family Code Section 4059 and by deducting other expenses as justified in Subparagraph (2)(M) and (N) above, from the applicant's gross income. 
(4) It shall be presumed that compromise is necessary for a child's support, if the applicant meets the requirements in Subparagraphs (1) and (3) above. The presumption may be rebutted by a finding that the applicant owns assets as verified in Subparagraph (e)(2) valued in excess of $10,000 dollars, excluding the applicant's primary residence and one vehicle used for transportation, that could be applied to satisfy the arrearages being considered for this compromise. 
(5) After the local child support agency has determined that the applicant has met the requirements in Subparagraphs (e)(1) above, the local child support agency shall confer with the county welfare worker assigned to develop and/or assess compliance with the reunification plan prior to making a final determination on the ability of the applicant to support the child. In the event that the county welfare worker provides written justification within the time frame specified in Subsection (e) that supports a finding that a compromise is not in the best interest of the child, the local child support agency shall deny the request for compromise. 
(f) Once the local child support agency has completed the verification of all required elements of eligibility for compromise and determined that the applicant does not meet the requirements specified in Subparagraphs (e)(1), (3) or (4) above, or if the county welfare worker determines a compromise is not in the best interest of the child as specified in Subparagraph (e)(5) the local child support agency shall take the following actions: 
(1) Within 10 business days of the applicant's final determination of ineligibility for compromise, a Notice of Denial of Application for Compromise of Arrearages -- Family Reunification, form DCSS 0029, dated (09/03), shall be sent to the applicant. 
(2) Recompute the balance owing on arrearages.
(3) Initiate any appropriate enforcement or other actions for the repayment of any remaining arrearage balance. 
(g) Once the local child support agency has completed the verification of all required elements of eligibility for compromise and determined that the applicant meets the requirements specified in Subparagraphs (e)(1), (3) and (4) above, the local child support agency shall take the following actions: 
(1) Within 10 business days after determining eligibility for compromise, send the applicant a Notice of Eligibility for Compromise of Arrearages -- Family Reunification, form DCSS 0028, dated (09/03), incorporated by reference herein. The Notice of Eligibility for Compromise of Arrearages -- Family Reunification shall advise the applicant that he/she does qualify for a compromise of 100 percent of the principal and interest on the assigned arrearages that accrued as a result of the placement. 
(2) The Notice of Eligibility for Compromise of Arrearages -- Family Reunification shall advise the applicant that without a signed stipulation the application for compromise shall be denied. If the applicant refuses to sign the stipulation or fails to return the stipulation within 20 business days, the local child support agency shall: 
(A) Send a Notice of Denial of Application for Compromise of Arrearages -- Family Reunification, form DCSS 0029, dated (09/03), to the applicant. 
(B) Recompute the balance owing on arrearages.
(C) Initiate any necessary court actions and take appropriate enforcement actions for the repayment of any remaining arrearage balance. 
(3) Upon receipt of a signed stipulation, the local child support agency shall take the following actions: 
(A) Within 10 business days, file the stipulation to implement the compromise of assigned arrearages. 
(B) Within 10 business days initiate any other necessary court actions. 
(C) Within 10 business days after the receipt of an approved stipulation and order from the court, make any necessary adjustments to reduce the total arrearages based on the compromise amount. 
(D) Initiate the appropriate enforcement action(s) and set a monthly payment amount for the repayment of any remaining arrearage balance when appropriate. 
(h) An obligor parent shall not be approved for compromise more than three times in 36 consecutive months, except for those instances where the child is adjudged a dependent of the court under Section 300 of the Welfare and Institutions Code. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. References: Sections 708.420 and 708.440(a), Code of Civil Procedure; Sections 4053, 4058, 4059, 4060, 17402, 17406(j) and (k), 17520(g)(2) and 17550, Family Code; Sections 11200, 11268(a), 11360, 11400, 11401 and 16507.2, Welfare and Institutions Code; and 42 United States Code, Section 9902(2).
HISTORY

1. New article 6 (section 119191) and section filed 11-25-2002 as an emergency; operative 11-25-2002 (Register 2002, No. 48). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 5-27-2003 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2003, No. 20).
3. New article 6 (section 119191) and section refiled 5-12-2003 as an emergency; operative 5-24-2003 (Register 2003, No. 20). Pursuant to Family Code section 17306(e), a Certificate of Compliance must be transmitted to OAL by 11-20-2003 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 14).
5. New article 6 (section 119191) and section filed 4-2-2004; operative 4-2-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 14).
Article 10. Recovery of Overpayments
§119900. Recovery of Overpayments to Payees.
Note     •     History

(a) The department shall offset child support collections to recover overpayments to payees resulting from, but not limited to, the following causes: 
(1) Payments by dishonored check, 
(2) Payments by unfunded electronic payments, 
(3) Department financial adjustments due to the reversal of a government entity intercept, or
(4) Payments disbursed to the wrong payee.
(b) Prior to any offset described in subsection (a), the department shall  send the sequence of three collection letters at 30 day intervals as required pursuant to State Administrative Manual section 8776.6 which provide repayment or offset options to the payee. Each collection letter shall: 
(1) Make reference to the prior letters. 
(2) In increasingly urgent language offer the payee the following three repayment options: 
(A) Make immediate full payment without waiting for any offsetting, or
(B) Have the overpayment offset from subsequent collections at a rate of twenty-five percent (25%) of each collection, beginning with the very next collection, or
(C) Have the overpayment offset from subsequent collections at a rate of one hundred percent (100%) of each collection, beginning with the very next collection.
(3) Give the payee 30 days to respond. 
(c) The final letter shall also state: 
(1) Payee has the option to contact the department to negotiate an appropriate offset rate and/or present any valid objection to the use of the offset procedure. 
(2) If the payee does not respond within 30 days, permission to recover the overpayment from subsequent child support payments will be assumed by default and offsets will begin with the next support collection at a fifty percent (50%) offset rate. 
(d) In the event that the payee does not reply to any of the collection letters, the payee shall be deemed to have consented to recovery of the overpayment by offset at a rate of fifty percent (50%) of each subsequent child support collection until the overpayment is fully recovered. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17309, 17310(a), 17311(b)(1) and 17312(a), Family Code; Sections 16580, 16581 and 16583(a), Government Code; 42 United States Code, Sections 654(27) and 654b; and Wightman et. al. v. FTB (1988) 202 Cal. App. 3d 966, at 979. 
HISTORY

1. New article 10 (section 119900) and section filed 8-2-2010 as an emergency; operative 8-2-2010 (Register 2010, No. 32). A Certificate of Compliance must be transmitted to OAL by 1-31-2011 or emergency language will be repealed by operation of law on the following day.
Chapter 10. Complaint Resolution
Article 1. Definitions
§120001. Administrative Law Judge. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New chapter 10 (articles 1-3, sections 120001-120222), article 1 (sections 120001-120005) and section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New chapter 10 (articles 1-3, sections 120001-120222), article 1 (sections 120001-120005) and section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 120001 to new section 110028 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§120002. Authorized Representative. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 120002 to new section 110092 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§120003. Complaint Receipt Date. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17800 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of first paragraph and subsection (a)(1), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 120003 to new section 110164 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§120004. Proposed Decision. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 120004 to new section 110678 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
§120005. State Hearing Office.  [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801, 17802, 17803 and 17804, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect renumbering former section 120005 to new section 110782 filed 3-24-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 12).
Article 2. Local Complaint Resolution Process
§120100. General Provisions.
Note     •     History

(a) Each local child support agency shall: 
(1) Adopt and maintain the complaint resolution process specified in this Article. 
(2) Not discourage a complainant from filing a complaint or requesting a state hearing. 
(3) Not refuse to assist a complainant in requesting a state hearing. 
(4) Track and report complaints in the Department's complaint resolution tracking system.
(b) This Article shall: 
(1) Be interpreted in a manner that complies with Chapter 1, Program Administration, Article 5, Records Management regulations. 
(2) Be interpreted in a manner that protects a complainant's right to complaint resolution. 
(3) Not be interpreted in a manner that alters other statutory or regulatory time frames or requirements for taking other child support actions. 
(c) If the last date for the performance of any act required within a time frame specified by this Article or the provisions of Chapter 5 of Division 17 of the Family Code (commencing with Section 17800) is not a business day, then such period shall be extended to the next business day. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17800, 17801, 17802 and 17804, Family Code. 
HISTORY

1. New article 2 (sections 120100-120108) and section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 120100-120108) and section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including new subsection (a)(4), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120101. Right to Complaint Resolution.
Note     •     History

(a) A complainant shall have the right to make a request for complaint resolution subject to the requirements of this Article. The subject of a complaint may pertain to any local child support agency or Franchise Tax Board child support action or inaction, except the following: 
(1) Complaints arising from a child support matter which must, by law, be addressed by motion, order to show cause, or appeal, in a court of law, unless an administrative review is provided for by statute. 
(2) A review of any of the following: 
(A) A court order for child support or child support arrears. 
(B) A court order or equivalent determination of paternity. 
(C) A court order for spousal support. 
(3) Child custody determinations. 
(4) Child visitation determinations. 
(b) All requests for complaint resolution shall: 
(1) Be made within 90 days after a complainant knew, or should have known of the complained of child support action or inaction. A complainant shall be presumed to have known of a complained of action or inaction under the following circumstances: 
(A) Five (5) business days after the postmark date of the written notice regarding an action or inaction which is the basis of a complaint. 
(B) In the absence of any evidence to the contrary, the date a complainant alleges knowledge for the basis of a complaint, or the date a complainant notified a local child support agency of the subject of the complaint. 
(2) Be directed to a local child support agency. 
(A) Each local child support agency shall encourage, but not require, a complainant to make a written complaint on the “Request for Complaint Resolution,” LCR001, dated (12/01), incorporated by reference herein. 
(B) Each local child support agency shall document a complainant's oral complaint on the “Request for Complaint Resolution,” LCR001, dated (12/01), and mail a copy of the completed LCR001 to the complainant no later than five (5) business days after receiving an oral complaint. The local child support agency shall mail to the complainant the forms required by Section 120102. 
(3) Include the following information: 
(A) A complainant's name and address, and if available, phone number, FAX number, and e-mail address. 
(B) The local child support agency case number. 
(C) A description of the local child support agency or Franchise Tax Board action or inaction a complainant requests to have resolved. 
(c) A request for complaint resolution shall not be deemed invalid for failure to include the information required by subsection (b)(3)(B). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17800 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120102. Written Complaint Acknowledgement.
Note     •     History

Within five (5) business days after the complaint receipt date, a local child support agency shall mail a “Request for Complaint Resolution Acknowledgement,” LCR002, dated (10/01), incorporated by reference herein, and a “Request for State Hearing,” SH001, dated (10/01), incorporated by reference herein to the complainant. The written complaint acknowledgement shall include an explanation of both of the following: 
(a) The complaint resolution process and time frames specified in this Article. 
(b) The state hearing process and time frames specified in Article 3. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17800, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120103. Complaint Investigation.
Note     •     History

(a) Each local child support agency shall assign a complaint investigator to investigate the complaint. A complaint investigator shall not be the individual whose action or inaction is the subject of a complaint, or an Ombudsperson.
(b) The complaint investigator shall within five (5) business days of the complaint receipt date, determine the jurisdictional authority of the local child support agency to resolve the complaint. The local child support agency that took the action, failed to take action, or requested the Franchise Tax Board to take action, shall have jurisdictional authority. 
(1) If the subject of the complaint is outside the jurisdiction of the child support program or is one of the issues enumerated in Section 120101(a), the local child support agency shall notify the complainant by mailing the notice required by Section 120105 immediately, but in no event more than 30 days after the complaint receipt date. To the extent possible, the local child support agency shall refer the complainant to the appropriate agency for complaint resolution. 
(2) If the proper jurisdiction for the complaint is a local child support agency in another county, the local child support agency shall transfer the complaint pursuant to Section 120104, and notify the complainant by mailing the notice required by Section 120104 within five (5) business days of transferring the complaint.
(3) If the subject of the complaint is within the jurisdiction of the child support program and the local child support agency, but the local child support agency believes the complaint is not eligible for complaint resolution because it was filed untimely pursuant to Section 120101(b), the local child support agency shall notify the complainant by mailing the notice required by Section 120105 within 30 days of the complaint receipt date. This subparagraph shall not be interpreted to prohibit the local child support agency from trying to assist the complainant to resolve the complaint or other outstanding issues that are not subject to the local complaint resolution process.
(c) The complaint investigator shall discuss and clarify the basis of the complaint with the complainant. The complaint investigator shall attempt to resolve the complaint to the satisfaction of the complainant. 
(1) If the nature of the complaint is substantively modified based on the complaint investigator's discussion with the complainant, the local child support agency shall document the new complaint information on a “Complaint Amendment,” LCR003, dated (10/01), incorporated by reference herein, and mail the “Complaint Amendment,” LCR003, to the complainant no later than five (5) business days after the complaint investigator's discussion with the complainant. The requirements of Section 120105 shall continue to apply based on the original complaint receipt date. 
(2) If the complaint is resolved to the satisfaction of the complainant, the local child support agency shall mail a written notice of complaint resolution pursuant to Section 120105. 
(3) If the complaint is not resolved to the satisfaction of the complainant after the discussion between the complaint investigator and the complainant, and further investigation is necessary, the complaint investigator shall do the following, as appropriate: 
(A) Obtain pertinent case information regarding the subject of the complaint from the case worker(s) responsible for the action or inaction complained of, the Franchise Tax Board, and/or other agency. 
(B) Obtain additional information or documents from any appropriate source necessary for prompt resolution of the complaint. 
(C) Determine the local child support agency and/or Franchise Tax Board action required to resolve the complaint, if any. The local child support agency and/or Franchise Tax Board shall complete the required action within statutory time frames. In the absence of statutory time frames, the local child support agency and/or Franchise Tax Board shall complete the required action within 30 days after the complaint receipt date. 
(D) Determine the action required by a third party or other agency, if any, to resolve the complaint. 
1. The local child support agency shall inform such third party or other agency in writing of the action required to resolve the complaint, and facilitate the resolution of the complaint with such third party or other agency until the requested action is completed. 
2. The local child support agency shall inform the complainant pursuant to Section 120105 of the action(s) required by the complainant to resolve the complaint. 
(E) Prepare the written notice of complaint resolution pursuant to Section 120105. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17800 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120104. Complaint Transfer.
Note     •     History

(a) Upon the local child support agency's determination that proper jurisdiction for the complaint is a local child support agency in another county, the local child support agency that received the complaint shall do both of the following: 
(1) Complete a “Complaint Transfer,” LCR004, dated (10/01), incorporated by reference herein, and email or fax the “Complaint Transfer,” LCR004, and all other relevant complaint documents, forms, or other written or oral information received from the complainant, to the appropriate local child support agency within five (5) business days after the complaint receipt date. 
(2) Notify the complainant of the complaint transfer by mailing the complainant a copy of the completed LCR004 within five (5) business days after transferring the complaint to another county. 
(b) A local child support agency that receives a “Complaint Transfer,” LCR004, as specified in (a), shall complete the requirements of Sections 120101 through 120105(a) within 30 days after receiving the “Complaint Transfer,” LCR004. 
(c) If the transferring and receiving local child support agencies cannot agree to the proper jurisdiction for the complaint, the receiving local child support agency shall contact the Department by telephone, and follow up by fax, for jurisdictional determination within five (5) business days of receipt of the “Complaint Transfer,” LCR004. The Department shall make the jurisdictional determination within five (5) business days after contact. If the Department determines the jurisdiction for the complaint belongs to the transferring county, the complaint receipt date shall continue to be the date the local child support agency initially received the complaint pursuant to Section 120003. If the Department determines the jurisdiction for the complaint belongs to the receiving county, the complaint receipt date shall be the date the receiving county received the LCR004 from the transferring county, as specified in Section 120003.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17800, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120105. Notice of Complaint Resolution/Complaint Extension.
Note     •     History

(a) The local child support agency shall mail a “Notice of Complaint Resolution,” LCR006, dated (10/01), incorporated by reference herein, and a “Request for State Hearing,” SH001, dated (10/01), to the complainant no later than 30 days after the complaint receipt date. The LCR006, shall be signed by the director of the local child support agency, or his/her designee, and shall include a brief description or explanation of all of the following: 
(1) The complaint and the complaint receipt date. 
(2) The local child support agency's decision regarding the complaint, including the reason the local child support agency believes the complaint is not eligible for complaint resolution, if applicable, or the reason complaint resolution cannot be completed by the local child support agency. Citations to applicable laws, regulations, or Department policy letters shall be referenced in the explanation. 
(3) The actions taken or that will be taken by the local child support agency to resolve the complaint. 
(4) The complainant's right to file a request for a state hearing, the process and time frames for filing a request for state hearing, and the issues within the jurisdiction of a state hearing, if the complainant is dissatisfied with the resolution of the complaint by the local child support agency. 
(b) The director of the local child support agency, or in the director's absence, his or her designee, shall be permitted to grant a one-time extension of the complaint resolution period for a specified complaint up to maximum of 30 days, if the director of the local child support agency, or in the director's absence, his or her designee, determines more time is needed to resolve the complaint. The local child support agency shall exercise due diligence in attempting to resolve all complaints within 30 days of the complaint receipt date, and shall only take an extension under extraordinary circumstances. The local child support agency shall do both of the following for each complaint resolution extension: 
(1) Mail a “Notice of Complaint Resolution Extension,” LCR005, dated (10/01), incorporated by reference herein, to a complainant and the State Hearing Office no later than 30 days after the complaint receipt date. The LCR005 shall be signed by the director of the local child support agency, or in the director's absence, his or her designee, and shall explain the local child support agency's need to extend the complaint resolution period to resolve the complaint, and the time frames to file a state hearing will be extended based on the date of the local child support agency's written resolution response provided pursuant to subparagraph (2). 
(2) Mail a “Notice of Complaint Resolution,” LCR006, dated (10/01), to the complainant no later than 60 days from the complaint receipt date. 
(c) If the local child support agency is unable to initiate or complete a complaint investigation due to lack of information from the complainant, and the complaint investigator was unable to obtain the required information during discussion with the complainant as specified in Section 120103(c), the local child support agency shall attempt at least one additional verbal contact with the complainant to obtain the required information. If the results of the contact are unsuccessful, the local child support agency shall notify the complainant in writing of the required information, and that failure of the complainant to provide the information will result in the local child support agency closing the complaint. If the local child support agency does not receive the information required to resolve the complaint, the local child support agency shall mail a “Notice of Complaint Resolution,” LCR006, dated (10/01), to the complainant no later than 30 days after the complaint receipt date, that explains the reason for closing the complaint.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17800, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120106. Complaint Resolution Process Closure.
Note     •     History

(a) The local child support agency shall close the complaint after completing the following actions: 
(1) Acknowledge the complaint pursuant to Section 120102. 
(2) Investigate the complaint as specified in Section 120103. 
(3) Issue a notice of complaint resolution pursuant to Section 120105. 
(4) Complete the required action to resolve the complaint pursuant to Section 120105.  
(b) If the local child support agency transfers the complaint pursuant to Section 120104, and the complaint is not returned to the local child support agency pursuant to Section 120104(c), the local child support agency may close the complaint.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17800 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120107. Maintenance of Complaint Information.
Note     •     History

Each local child support agency shall compile and maintain the following information for each complaint received: 
(a) The name, address and telephone number of the complainant and that of the authorized representative, if any, and identification of the complainant as custodial party or noncustodial parent. 
(b) The local child support agency case number. 
(c) The date the complaint was received, the nature of the complaint, and the date of resolution. 
(d) The action required to resolve the complaint, including both of the following: 
(1) The unit, local child support agency employee, or other agency or third party, responsible to complete resolution action(s). 
(2) The date the resolution action(s) were completed. 
(e) The dates the following were mailed to the complainant:
(1) The “Request for Complaint Resolution Acknowledgement,” LCR002, dated (10/01). 
(2) The “Complaint Amendment,” LCR003, dated (10/01), if applicable.
(3) The “Complaint Transfer,” LCR004, dated (10/01), if applicable.
(4) The “Notice of Complaint Resolution Extension,” LCR005, dated (10/01), if applicable.
(5) The “Notice of Complaint Resolution,” LCR006, dated (10/01).
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17800, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120108. Complaint Information Reporting.
Note     •     History

Each local child support agency shall provide a written report with the following information to the Department within 15 business days after the end of each calendar quarter: 
(a) The number and nature of the complaints received. 
(b) The number and percentage of complaints closed pursuant to Section 120106 within 30 days of the complaint receipt date. 
(c) The number and percentage of complaints closed pursuant to Section 120106(a) within 60 days of the complaint receipt date, if the complaint resolution period was extended pursuant to Section 120105. 
(d) The number and percentage of complaints that have not been closed pursuant to Section 120106(a) within 30 days of the complaint receipt date, or within 60 days of the complaint receipt date if the complaint resolution period was extended pursuant to Section 120105. 
(e) The number of complaints transferred to other local child support agencies. 
(f) The number of referrals to other agencies. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17800 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
Article 3. State Hearing
§120200. General Provisions.
Note     •     History

(a) The Department shall be responsible for the administration of the state hearing process. 
(b) The local child support agency shall not discourage a complainant from requesting a state hearing, or refuse to assist a complainant with a request for a state hearing. 
(c) This Article shall: 
(1) Be interpreted in a manner that complies with Chapter 1, Program Administration, Article 5, Records Management regulations. 
(2) Be interpreted in a manner that protects the complainant's right to a state hearing. 
(3) Apply to child support issues subject to a state hearing specified in Section 120201. 
(4) Not be interpreted in a manner that alters other statutory or regulatory time frames or requirements for taking other child support actions. 
(d) If the last date for the performance of any act required within a specified period of time by this Article or the provisions of Chapter 5 of Division 17 of the Family Code (commencing with Section 17800) is not a business day, then such period shall be extended to the next business day. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801 and 17804, Family Code. 
HISTORY

1. New article 3 (sections 120200-120222) and section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 120200-120222) and section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120201. Right to a State Hearing.
Note     •     History

(a) A complainant who is dissatisfied with the resolution of a complaint made with a local child support agency, pursuant to Article 2, shall have the right to request a state hearing pursuant to the requirements of this Article. The subject of the request for a state hearing shall be limited to any one or more of the following actions or failures to take action by a local child support agency or the Franchise Tax Board: 
(1) An application for child support services has been denied or has not been acted upon within the required time frame. 
(2) The child support services case has been acted upon in violation of federal or state law, regulation, or Department policy letter, or has not been acted upon within the required time frame, including services for the establishment, modification, and enforcement of child support orders and child support accountings. 
(3) Child support collections have not been distributed or have been distributed or disbursed incorrectly, or the amount of child support arrears, as calculated by the local child support agency, is inaccurate. 
(A) State hearing jurisdiction shall not extend to arrears issues if there is no dispute as to the accounting of the amount owed, but the complainant is seeking relief from enforcement of the order or judgment, or if the complainant is seeking credit for payments that were made to someone other than the local child support agency.
(B) The complainant shall not be entitled to request a state hearing and a court review at the same time. If the complainant or the other party files for a court determination of arrears either before or after a state hearing is requested, the local child support agency shall notify the State Hearing Office, and any state hearing that has been requested on the same issues shall be dismissed.
(C) The local child support agency shall not be required to give notice to the non-complaining party of a state hearing request that concerns the calculation of the arrears. However, in order to protect the property rights of the parties, the local child support agency shall send the non-complaining party a copy of any hearing decision, in which the calculation of arrears is at issue, and provide notice of the right to have the arrears issue heard in court. The local child support agency shall redact all confidential information, including the complaining party's address, prior to sending the hearing decision to the non-complaining party.
(4) The local child support agency's decision to close a child support case. 
(b) The following issues shall not be heard at a state hearing: 
(1) Complaints arising from a child support matter which must, by law, be addressed by motion, order to show cause, or appeal, in a court. 
(2) A review of any of the following: 
(A) A court order for child support or child support arrears. 
(B) A court order or equivalent determination of paternity. 
(C) A court order for spousal support. 
(3) Child custody determinations. 
(4) Child visitation determinations. 
(5) Complaints of alleged discourteous treatment by a local child support agency employee unless such conduct resulted in one of the actions or inactions enumerated in subsection (a)(1) through (4). 
(c) Prior to requesting a hearing, the complainant shall exhaust the local complaint resolution process specified in Article 2, unless a local child support agency has not, within the time frames specified in Section 120105, submitted a written resolution of the complaint. Only a complaint that was raised in the local complaint resolution process can be raised in a state hearing.
(d) All requests for a state hearing shall: 
(1) Be made orally or in writing to the State Hearing Office. Complainants shall be encouraged, but not be required, to complete a “Request for State Hearing,” SH001, dated (06/09), incorporated by reference herein. 
(2) Be made within 90 days after any of the following: 
(A) The date the complainant received the local child support agency's “Notice of Complaint Resolution,” LCR006, dated (10/01). There shall be a rebuttable presumption that the complainant received a “Notice of Complaint Resolution,” LCR006, dated (10/01), five (5) business days after the postmark date of the LCR006.
(B) The date the complainant made the complaint with the local child support agency, if the local child support agency failed to issue a “Notice of Complaint Resolution,” LCR006, dated (10/01). 
(C) The date the complainant received the “Complaint Transfer,” LCR004, dated (10/01), from the local child support agency that transferred the complaint pursuant to Section 120104, if the local child support agency to which the complaint was transferred has not issued a “Notice of Complaint Resolution,” LCR006, dated (10/01) within the time frame specified in Section 120105.
(D) The date the complainant received the “Notice of Complaint Resolution Extension,” LCR005, dated (10/01) from the local child support agency that took an extension pursuant to Section 120105, if the local child support agency has not issued a “Notice of Complaint Resolution,” LCR006, dated (10/01) within 60 days from the complaint receipt date.
(3) Include, at a minimum, the information specified in Section 120101(b)(3). A request for a state hearing shall not be deemed invalid for failure to include the information specified in Section120101(b)(3)(B). 
(e) If a local child support agency receives a “Request for State Hearing,” SH001, dated (06/09), directly from a complainant, the local child support agency shall fax the SH001 to the State Hearing Office by the close of business of the following business day.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
4. Change without regulatory effect amending subsections (d)(1) and (e) filed 7-23-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 30).
§120202. Scheduling the State Hearing.
Note     •     History

The state hearing shall: 
(a) Be set to commence within 30 days after the hearing request is received by the State Hearing Office. 
(b) Be held by telephone or in person within the complainant's county of residence, if the complainant resides in California, unless the complainant requests the hearing be held in another California county. 
(1) Hearings for complainants residing outside California shall be conducted by telephone unless the complainant voluntarily offers to return to California for the hearing, or authorizes a representative in California to attend the hearing. 
(2) Hearings for complainants who are inmates of penal institutions, or residents of other institutions, shall be conducted by telephone unless the complainant authorizes a representative to attend the hearing. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of subsection (b), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120203. Notice of State Hearing.
Note     •     History

The State Hearing Office shall notify all interested parties at least ten (10) days prior to the scheduled hearing, of the date, time, and location of the hearing. The hearing notice shall be mailed to the last known address of the complainant. The time frame of the notice shall be permitted to be shortened with the consent of the parties. Any party shall be permitted to waive notice.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120204. Local Child Support Agency Responsibilities.
Note     •     History

(a) A local child support agency shall: 
(1) Attempt to resolve a complaint to the satisfaction of the complainant during the local complaint resolution process and prior to the state hearing.
(2) Provide the complainant with Department-approved informational materials regarding the state hearing process.
(3) Assist the complainant in requesting a state hearing. 
(4) Provide the complainant with relevant information pertaining to the subject of the complaint to help the complainant prepare for the state hearing. 
(5) Notify the State Hearing Office of the complainant's need for an interpreter and/or reasonable disability accommodation at the state hearing, if known. 
(6) Report to the State Hearing Office, any changes in the complainant's address or other circumstances that might affect the conduct of the state hearing, if known. 
(7) Prepare a typewritten position statement that includes all of the following: 
(A) A short statement of the facts of the case. 
(B) Statutory and regulatory citations, or Department policy, applicable to the local child support agency's and/or Franchise Tax Board's action or inaction. 
(C) All relevant information in the local child support agency's possession regarding the subject of the complaint. 
(D) Copies of documentary evidence itemized as exhibits, including copies of any forms prepared or submitted as part of the complaint resolution process, and a list of witnesses the local child support agency intends to use during the hearing. 
(E) A complete fiscal accounting of the case, if the complaint pertains to child support collections that have not been distributed or have been distributed or disbursed incorrectly, or the amount of child support arrears calculated by the local child support agency. 
(8) Mail the position statement specified in subsection (7) above, and pertinent documents to the complainant and the State Hearing Office at least five (5) business days prior to the scheduled hearing.
(9) Assign a local child support agency representative to each child support case for which a state hearing has been scheduled, who shall provide a copy of the position statement at the state hearing, and have the full responsibility to present the case at the state hearing in accordance with the requirements of this Article. The representative shall not be the individual whose action or inaction is the subject of the complaint, or the Ombudsperson.
(10) Provide the State Hearing Office with the name of the local child support agency representative, specified in (9) above. 
(11) Review any state hearing request to make a preliminary determination of whether the non-complaining party needs to be notified of the state hearing to protect his or her rights or interests.
(A) If the local child support agency believes the non-complaining party should receive notice and be given the opportunity to appear at the hearing, the local child support agency shall notify the State Hearing Office of its determination and request a subpoena be issued pursuant to Section 120208.
(B) The local child support agency shall notify the State Hearing Office in advance of any case in which the local child support agency knows that the non-complaining party may appear at the hearing.
(C) If the local child support agency is aware of a history of domestic violence or a potential for violent behavior, the local child support agency shall notify the State Hearing Office of that history.
(D) Whenever possible, the State Hearing Office shall arrange to have one of the parties appear by telephone.
(b) The local child support agency representative shall perform the following case presentation activities at the state hearing as necessary: 
(1) Orally summarize the written position statement that supports the local child support agency's and/or Franchise Tax Board's action(s) or inaction(s). 
(2) Examine local child support agency and/or Franchise Tax Board witness(es). 
(3) Cross-examine the complainant or the complainant's authorized representative, and the complainant's witnesses. 
(4) Respond to any questions from the complainant or authorized representative, or Administrative Law Judge concerning the case. 
(5) Make available at the hearing, the local child support agency case record documents that are not confidential, or for which disclosure is authorized under Section 111440, and are relevant to the complaint. 
(6) Make binding agreements and stipulations on behalf of the local child support agency during the hearing. 
(c) If the hearing is to be held in a county other than the county responsible for the case, the responsible local child support agency shall ensure a copy of the position statement specified in subsection (a)(7) is available at the other county's office at least two (2) business days before the hearing, and shall choose one of the following actions: 
(1) Send a local child support agency representative to the county in which the hearing is held to ensure the requirements specified in subsection (b) have been met. 
(2) Have a local child support agency representative appear by telephone during the hearing. A local child support agency representative who appears by telephone has the same responsibilities as a local child support agency representative who appears in person, including making binding agreements and stipulations on behalf of the local child support agency.
(3) Send the original case record information relative to the complaint, or a certified copy thereof pursuant to Evidence Code Sections 1530 through 1532, containing all relevant information in the local child support agency's possession and the position statement required by subsection (a)(7), to the local child support agency in the county where the hearing is to be held with the request that the other county represent the responsible local child support agency at the hearing. 
(A) The responsible local child support agency shall declare under penalty of perjury that the information submitted is from the case record of the complainant. 
(B) If certified copies pursuant to Evidence Code, Sections 1530 through 1532, of the record are sent instead of the original, the responsible local child support agency shall attest that the copies are true copies of the original records. 
(C) The request shall be made no later than five (5) business days prior to the hearing to allow the local child support agency in the county in which the state hearing is held to arrange for representation or to notify the responsible local child support agency of its inability to provide such representation. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120205. Franchise Tax Board Responsibility.
Note     •     History

The Franchise Tax Board shall send an agency representative to all state hearings, if requested by the local child support agency, to assist in resolving a complaint.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120206. State Hearing -- General Rules.
Note     •     History

(a) Attendance at the hearing shall be limited to the complainant, the authorized representative, the local child support agency representative, Franchise Tax Board representative, a certified interpreter, and witnesses relevant to the issue. 
(1) Other persons may attend the hearing only if their attendance is permitted by the complainant, and the Administrative Law Judge determines their presence will not be adverse to the hearing. 
(2) The Administrative Law Judge shall be permitted to exclude a witness during the testimony of other witnesses, or exclude persons who are disruptive to the hearing. 
(b) Personal or telephonic appearance by the complainant or authorized representative, if any, shall be required at the hearing, unless the hearing is a rehearing or further hearing, and the State Hearing Office determines the appearance of the complainant or authorized representative is not necessary. 
(c) The hearing shall be conducted in an impartial manner. 
(d) All testimony shall be submitted under oath, affirmation, or penalty of perjury. 
(e) The proceedings at the hearing shall be reported by tape recorder or otherwise perpetuated by mechanical, electronic, or other means capable of reproduction or transcription. 
(f) The issues at the hearing shall be limited to those issues previously identified in the “Request for State Hearing,” SH001, by the complainant, or documented by the State Hearing Office from a verbal request for a state hearing by the complainant, and that are issues specified in Section 120201(a). Only a complaint that was raised in the local complaint resolution process can be raised in a state hearing.
(1) If a jurisdictional issue is raised at the hearing, either by the local child support agency representative, the complainant, the authorized representative, if any, or the Administrative Law Judge, the parties shall submit evidence on the substantive issues except as provided in subparagraph (3) below, or Sections 120211(a)(1), (2), or (5). 
(2) No determination of the timeliness of the hearing request or other jurisdictional issue shall be made at the hearing. The request shall be dismissed by a written decision, if the Administrative Law Judge determines that jurisdiction does not exist, the request is untimely, or there is no subject matter jurisdiction. 
(3) If prior to or at the state hearing, the parties agree to discuss only the jurisdictional issue, or the Administrative Law Judge on his/her own motion determines that only the jurisdictional issue will be discussed, the parties need not submit evidence on the substantive issues, and the Administrative Law Judge shall take evidence only on the jurisdictional issue. The Administrative Law Judge shall do one of the following: 
(A) Inform the parties orally at the hearing or in writing within ten (10) days after the close of the record, that he/she will not proceed on the substantive issues and a decision will be prepared on the jurisdictional issue. 
(B) Inform the parties orally at the hearing or in writing ten (10) days after the close of the record, that an additional hearing will be held on the substantive issues and provide the parties a minimum of ten (10) days in which to prepare on the substantive issues. 
(g) An interpreter shall be provided by the State Hearing Office if one is requested by the complainant, or authorized representative, if any, prior to the hearing, or if at the hearing, the Administrative Law Judge determines that an interpreter is necessary. The Administrative Law Judge shall: 
(1) Determine if the interpreter has been certified. 
(2) If the interpreter is not certified, examine the qualifications and competency of the interpreter. 
(3) Assure objective interpretation and disqualify interpreters who are: 
(A) The complainant's relatives, friends, or authorized representative. 
(B) Local child support agency staff responsible for the action or inaction that is the basis of the complaint. 
(C) The local child support agency's state hearing representative. 
(D) Determined by the Administrative Law Judge to be detrimental to the hearing process, or appear to have an interest in the outcome of the case. 
(4) Administer a separate oath or affirmation to the interpreter to interpret accurately and maintain confidentiality. 
(h) Both the complainant and the local child support agency shall have the right to: 
(1) Bring witnesses. 
(2) Examine parties and witnesses. 
(3) Conduct cross-examination for a full disclosure of the facts. 
(4) Introduce exhibits. 
(5) Examine all documents that will be introduced as evidence prior to and during the hearing. 
(6) Question opposing witnesses and parties on any matter relevant to the issues even though the matter was not covered in the direct examination. 
(7) Make oral or written argument. 
(8) Rebut the evidence. 
(i) Written communications submitted by either the complainant or the local child support agency concerning the hearing shall be made available to both parties. Copies of all such documents shall be provided to the complainant free of charge. 
(j) The merits of a pending state hearing shall not be discussed between the Administrative Law Judge and a local child support agency representative, Franchise Tax Board representative, a complainant, or authorized representative, outside the presence of the other party. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120207. Evidence.
Note     •     History

(a) The Administrative Law Judge shall identify the issue(s) and shall state the order in which evidence shall be received. The taking of evidence in a hearing shall be conducted by the Administrative Law Judge in a manner best suited to ascertain the facts and to control the conduct of the hearing. 
(b) Except as specified in (1) through (3) below, evidence shall be admitted if it is the type of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs. 
(1) The rules of evidence as applicable in judicial proceedings shall not be applicable in state hearings. 
(2) The Administrative Law Judge shall be permitted to exclude evidence that is irrelevant, cumulative or unduly repetitious. 
(3) The Administrative Law Judge shall exclude evidence that is privileged under the Evidence Code if the privilege is claimed in accordance with law. 
(c) The Administrative Law Judge shall consider the nature of the evidence admissible pursuant to subsection (b) in assessing its probative value. 
(d) The Administrative Law Judge shall recognize the existence and truth of certain facts, such as a proposition of law or fact, that have a bearing on the issue in the case through official notice, without requiring the actual production of evidence to prove such facts. 
(1) The Administrative Law Judge shall take official notice of those matters that must be judicially noticed by a court under Section 451 of the Evidence Code. 
(2) The Administrative Law Judge may take official notice of those matters set forth in Section 452 of the Evidence Code. 
(3) The Administrative Law Judge may take official notice of any generally accepted fact relating to the enforcement of child support. 
(4) With respect to matters under subparagraph (3) above, and subdivision (f) of Section 451 and subdivision (g) of Section 452 of the Evidence Code that are of substantial consequence to the determination of the action, each party shall be given reasonable opportunity, subject to Section 120210(c) before the decision is submitted, to present information relevant to: 
(A) The propriety of taking official notice; and 
(B) The tenor of the matter to be noticed. 
(e) The standard of proof to be used by the Administrative Law Judge in reaching his/her decision in the matter shall be by a preponderance of the evidence.
(f) In determining whether a local child support agency acted properly, where the action or inaction that is the subject of the complaint is discretionary, the standard of review shall be whether the local child support agency's exercise of discretion was arbitrary and capricious.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120208. Examination of Records and Issuance of Subpoenas.
Note     •     History

(a) The complainant shall have the right to examine non-confidential portions of the case record, portions for which disclosure is authorized under Section 111440, or non-confidential information the local child support agency used to make its decision, during regular business hours.
(b) The local child support agency shall reproduce without charge, or at a charge not to exceed the cost of reproduction pursuant to Government Code 6253, all specific policy materials, including regulations, necessary for a complainant to determine whether a state hearing should be requested, or to prepare for a state hearing. 
(c) Before the hearing is commenced, the State Hearing Office shall be permitted to, upon the written or oral request of the complainant or the local child support agency, issue either or both of the following:
(1) A subpoena under the authority of Government Code Sections 11180 through 11191, requiring the presence of any witness whose expected testimony has been shown to be relevant, and not cumulative or unduly repetitious. 
(2) A subpoena duces tecum under the authority of Government Code Sections 11180 through 11191, for the production by a witness of either original or certified copies pursuant to Evidence Code, Sections 1530 through 1532, of books, papers, correspondence, memoranda, or other records. The party requesting the subpoena duces tecum shall: 
(A) Submit a statement under penalty of perjury describing the materials desired to be produced and their relevancy. 
(B) Serve the subpoena duces tecum. Service of the subpoena duces tecum shall be made to allow the witness a reasonable time to produce the materials requested and to prepare and submit a statement to the State Hearing Office. 
(d) The Administrative Law Judge assigned to the case shall be permitted to issue a subpoena or subpoena duces tecum after the hearing as necessary.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code.
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section and Note, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120209. Witness Fees and Mileage.
Note     •     History

(a) A witness who is subpoenaed and appears at the hearing at the request of the complainant, shall be permitted to be reimbursed by the Department for witness fees and mileage pursuant to Government Code Section 68093. 
(b) A witness who is subpoenaed and appears at the hearing at the request of the local child support agency, shall be permitted to be reimbursed by the local child support agency for witness fees and mileage pursuant to Government Code Section 68093.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120210. Postponements and Continuances.
Note     •     History

(a) The State Hearing Office or the Administrative Law Judge shall have the authority to postpone the hearing for good cause. Good cause for a postponement is any of the following: 
(1) Death in the family. 
(2) Personal illness of or injury to the complainant or authorized representative. 
(3) Sudden and unexpected emergencies including, but not limited to, traffic accidents on the day of the hearing and illness of or injury to a household or family member who requires immediate care. 
(4) A conflicting court appearance that cannot be postponed. 
(5) The local child support agency does not make a position statement required by Section 120204 available to the complainant at least two (2) business days prior to the date of the scheduled hearing, or the local child support agency has substantively revised the position statement required by Section 120204 subsequent to providing the statement to the complainant and the complainant requests a postponement. 
(6) The complainant did not receive notice of the time and place of the hearing. Failure by the complainant to notify the local child support agency or the State Hearing Office of a change of address while a request for state hearing is pending, shall not constitute a reason for postponement under this section. 
(7) Any other reason the State Hearing Office or Administrative Law Judge deems appropriate. 
(b) The Administrative Law Judge shall have the authority to grant a continuance of the hearing for a stated period not to exceed 30 days, for additional evidence or close the hearing and hold the record open for a stated period not to exceed 30 days, in order to permit the submission of additional documentary evidence. 
(c) When a hearing is postponed, continued, or reopened, the State Hearing Office shall mail or give written notice to the parties that explains the hearing date may be put off for a period not to exceed 30 days.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120211. Dismissals.
Note     •     History

(a) The State Hearing Office shall dismiss a hearing request prior to the hearing when: 
(1) The hearing request has been withdrawn pursuant to Section 120212. 
(2) The issue is not within the jurisdiction of a state hearing as specified in Section 120201(a). 
(3) The request for state hearing is filed beyond the time limit set forth in Section 120201(d)(2). 
(4) The request for hearing raises a compliance issue, such as an allegation that the local child support agency and/or Franchise Tax Board failed to comply with a previously adopted state hearing decision. 
(5) The issue is moot. 
(b) Prior to dismissing a hearing for the reasons specified in subsection (a)(2) through (5), the State Hearing Office shall notify the complainant by mail of the reason(s) for the dismissal and that a dismissal shall occur 15 days after the notice is sent, unless the complainant sets forth further facts and/or arguments, orally or in writing, that would indicate the matter should not be dismissed. The procedure for dismissing a case prior to hearing based upon the complainant's withdrawal is set forth in Section 120212.
(1) If the complainant presents information that may indicate the hearing request should not be dismissed, a hearing shall be scheduled pursuant to Section 120203. 
(2) If the complainant presents information that fails to establish the hearing request should not be dismissed, the State Hearing Office shall dismiss the hearing request and provide written notice to the complainant within ten (10) days of dismissing the hearing request. If the complainant fails to respond to notification sent by the State Hearing Office within 15 days, the State Hearing Office notice sent pursuant to subsection (b) shall serve as notice of dismissal. 
(c) The Administrative Law Judge, in addition to the authority set forth in subsection (a), shall dismiss by proposed decision, a hearing request, or portion thereof, when: 
(1) The Administrative Law Judge determines the complainant or authorized representative is unwilling to present the complainant's case at the state hearing. This paragraph shall not apply to abandonments. Dismissal of hearing requests based upon abandonment by the complainant is set forth in Section 120213.
(2) The Administrative Law Judge determines the issue(s) has/have been the subject of a previous state hearing involving the complainant. 
(3) The Administrative Law Judge determines the person who requests the state hearing does not have standing to request the state hearing. 
(4) The Administrative Law Judge fails to receive a written authorization following the hearing pursuant to Section 120222(b)(1). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120212. Withdrawals.
Note     •     History

(a) The complainant shall have the right to make an oral or written request to the State Hearing Office to withdraw the hearing request any time before the Director or Director's designee signs the decision. If the complainant has unconditionally verbally withdrawn the hearing request prior to the hearing, the State Hearing Office shall mail the complainant and the local child support agency a letter confirming the withdrawal of the hearing request, which shall serve as the written withdrawal. The hearing request shall be considered withdrawn unless, within 15 days after the mailing of such letter, the complainant notifies the State Hearing Office verbally or in writing the hearing request has not been withdrawn. 
(b) An unconditional written withdrawal of the hearing request shall result in the immediate dismissal of the hearing request. The dismissal shall be without prejudice, and the complainant shall have the right to file a new hearing request raising the identical issue provided the request is filed within the time frames specified in this Article. 
(c) A conditional withdrawal of the hearing request shall include a signed agreement between the complainant and the local child support agency. Any agreement under this subsection shall provide that the actions of both parties will be completed within 30 days from the date the conditional withdrawal is signed by both parties. The complainant shall be responsible to reinstate the hearing request within 90 days after receipt of the local child support agency's notice of action(s) taken, if the complainant is not satisfied that the action(s) or ultimate outcome are consistent with the agreement.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of subsection (c), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120213. Abandonment.
Note     •     History

(a) If a complainant or authorized representative fails to appear at the scheduled hearing without good cause as specified in Section 120210(a)(1) through (6), the hearing request shall be considered abandoned. 
(b) Prior to dismissing a hearing request based on the complainant's abandonment, the State Hearing Office shall notify the complainant by mail that the matter shall be dismissed on the failure of the complainant or authorized representative to appear, and that a dismissal shall occur 15 days after the notice is sent, unless the complainant requests the hearing request be reinstated and establishes good cause as specified in Section 120210(a)(1) through (6) for failing to appear at the hearing.
(1) The State Hearing Office shall have authority to request a written declaration or other verification from the complainant to support the reason(s) for the nonappearance. 
(2) If the complainant presents information to explain the failure to appear, but the information fails to establish good cause for the nonappearance, the State Hearing Office shall dismiss the hearing request and provide written notice to the complainant within ten (10) days of the dismissal.
(3) If the complainant fails to respond to the notification sent by the State Hearing Office within the time allotted, the notice sent pursuant to subsection (b) shall serve as notice of dismissal.
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120214. Disqualification of an Administrative Law Judge.
Note     •     History

(a) The Administrative Law Judge shall voluntarily withdraw from any proceeding in which the Administrative Law Judge cannot give a fair and impartial hearing or in which the Administrative Law Judge has an interest. 
(b) A party may request at any time prior to the close of the record, that the Administrative Law Judge be disqualified upon the grounds that a fair and impartial hearing cannot be held, or a fair and impartial decision cannot be rendered. Such request shall be ruled upon by the Administrative Law Judge prior to the close of the record. 
(c) If, at the beginning or during the hearing, the Administrative Law Judge upholds a party's motion for disqualification, the matter shall be postponed for no more than 30 days, and a different Administrative Law Judge shall be assigned. A postponement due to a disqualification of an Administrative Law Judge shall be considered a postponement with good cause. If, after the hearing, but before the close of the record, the Administrative Law Judge determines that disqualification is appropriate, a further hearing shall be granted pursuant to Section 120217(a)(3). 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of subsection (c), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120215. Communications from a Party After the Hearing.
Note     •     History

Oral and written communications from a party or witness to the Department or the Administrative Law Judge concerning the merits of the case subsequent to the record being closed shall be excluded from the record and shall be disregarded prior to the adoption and release of the decision of the Director or the Director's designee.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120216. Submission of Proposed Decision.
Note     •     History

(a) The Administrative Law Judge shall submit a proposed decision to the Director or Director's designee within 10 business days of the close of the record. The proposed decision shall be based exclusively on the evidence and other material admitted at the state hearing, or after the hearing, but while the record is open. The proposed decision shall specify the reasons for the decision and identify the supporting evidence and applicable statutes or regulations. 
(b) If the Administrative Law Judge who heard the case is unavailable to prepare the proposed decision, the State Hearing Office shall assign another Administrative Law Judge to prepare the proposed decision on the record and notify the complainant of the right to request a new hearing, provided the complainant agrees to waive the time frame to render a decision required in Section 120217. The Administrative Law Judge shall be considered unavailable within the meaning of this section if the Administrative Law Judge: 
(1) Is incapacitated. 
(2) Has ceased employment as an Administrative Law Judge. 
(3) Is disqualified under Section 120214. 
(4) Is unable to write a proposed decision due to circumstances beyond his/her control. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of subsection (a), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120217. Action by the Director or Director's Designee.
Note     •     History

(a) The Director or Director's designee shall review the proposed decision submitted pursuant to Section 120216 and take one of the following actions: 
(1) Adopt the proposed decision in its entirety. 
(2) Issue an alternate decision based on the case record, including the transcript, with or without taking additional evidence. If the Director or Director's designee renders an alternate decision, the decision shall be in writing and include a statement of the facts, reference to the applicable statutes and regulations, and the reasoning to support the decision. The decision shall be based on only those circumstances and issues existing at the time of the local child support agency and/or Franchise Tax Board action or inaction in dispute that were the subject of the unresolved dispute and the request for state hearing. 
(3) Order a further hearing to be conducted. 
(b) A final decision shall be rendered by the Director or Director's designee for all state hearings within 20 business days from the date of the close of the record. 
(c) If the Director or Director's designee fails to act in the manner specified in subsection (a) within 20 business days of the date of the close of the record, the proposed decision shall be deemed adopted by operation of law. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of subsection (a)(2), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120218. Issuance of the Decision.
Note     •     History

(a) The State Hearing Office shall mail the decision to the complainant and the local child support agency within 10 business days after the decision is adopted by the Director or the Director's designee, as specified in Section 120217. The decision shall include a statement concerning the complainant's right to request a rehearing or judicial review, and shall advise the complainant that if a judicial review results in a decision in the complainant's favor, the complainant shall be entitled to reasonable attorney's fees and the cost of the suit. 
(b) If the Director or Director's designee renders an alternate decision, or orders a further hearing, a copy of the Administrative Law Judge's proposed decision shall be included and mailed with the final decision within the time frame specified in subsection (a). 
(c) The Director or Director's designee shall retain authority to rectify clerical errors contained in the decision after the decision has been issued. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801 and 17803, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of subsection (b), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120219. Availability of State Hearing Records.
Note     •     History

(a) The materials which constitute the exclusive record for the decision, specified in (b), below, shall be available to the complainant and the local child support agency during normal business hours at the Department for three years after the date of the adopted decision. 
(b) The record for the decision shall contain all of the following: 
(1) The tape recording of the testimony or an official report containing the substance of what transpired at the hearing. 
(2) All papers used in the proceeding including the exhibits entered into the record. 
(3) The request for hearing filed in the proceeding. 
(4) The Administrative Law Judge's proposed decision. 
(5) The alternate decision, if any. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120220. Rehearing.
Note     •     History

(a) The complainant or the local child support agency shall have the right to file a written request for rehearing with the State Hearing Office no later than 30 days after receipt of the adopted decision. The rehearing request shall contain a statement regarding the date the adopted decision was received. In the absence of such statement, the date of receipt shall be either three (3) business days after the date of the postmark on the envelope containing the decision, or three (3) business days after the date the decision was released by the Department or the State Hearing Office, whichever is later. 
(b) The filing date of the rehearing request shall be the postmark on the envelope containing the rehearing request. If the postmark on the envelope is unreadable, the filing date shall be the date the request for rehearing is signed. If the postmark is unreadable, and the request for rehearing is undated, the filing date shall be three (3) business days prior to the date the rehearing request is stamped “received” by the State Hearing Office. 
(c) If the rehearing request is to permit presentation of additional evidence, the request shall: 
(1) Describe the additional evidence. 
(2) State why it was not previously introduced. 
(3) Explain its materiality. 
(4) Explain how the additional evidence will change the outcome of the hearing decision. 
(d) Upon receipt of a rehearing request filed within the time frame specified in subsection (a), the State Hearing Office shall mail a copy of the request to the other party to the hearing. The other party shall be permitted to file a statement supporting or opposing the rehearing request. Such statement from the other party shall be in writing and shall be filed with the State Hearing Office no later than ten (10) business days after the mailing. 
(e) The Director or Director's designee shall grant or deny the rehearing request no earlier than ten (10), nor later than 20, business days after it is received by the State Hearing Office. If the Director or Director's designee does not act within this time frame, the rehearing request shall be deemed denied. 
(f) The criteria for granting a rehearing shall be one or more of the following: 
(1) Newly discovered evidence is now available but was not available to the requesting party at the time of the hearing, and the new evidence, if it had been introduced, could have changed the result of the decision. 
(2) The adopted decision is inconsistent with the law. 
(3) The adopted decision is not supported by the evidence of record. 
(g) If a rehearing request is granted, the Director or Director's designee shall do one of the following: 
(1) Order reconsideration of one, several, or all issues decided in the adopted decision on the basis of the evidence in the record, and any additional evidence submitted by the complainant or the local child support agency. Such additional evidence shall be submitted to the opposing party for rebuttal. 
(2) Order a new oral hearing on one or more of the issues presented at the original state hearing. 
(h) If a rehearing request is denied, the Director or Director's designee shall mail a written notice of denial to the complainant no later than 20 business days after the rehearing request is received by the State Hearing Office. The notice of denial shall contain a statement concerning the complainant's right to judicial review and shall advise the complainant that, if the court decides the case in the complainant's favor, the complainant shall be entitled to reasonable attorney's fees and the cost of the suit. 
(i) A rehearing request shall be permitted to be withdrawn by the requesting party any time.
(j) A rehearing decision shall not be subject to another rehearing. Any further appeal must be by petition to the Superior Court under Section 1094.5 of the Code of Civil Procedure. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801 and 17803, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of section, transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120221. Compliance with Adopted State Hearing Decision.
Note     •     History

(a) Immediately upon receipt of the adopted decision, the local child support agency shall: 
(1) Initiate action to comply with such decision. 
(2) Comply with the adopted decision even if a rehearing is requested and/or granted, unless a request to stay compliance pending rehearing has been requested concurrently with the request for rehearing, and has been granted by the Department.
(3) Comply with a rehearing decision subsequently rendered, to the extent the decision differs from the original adopted decision. 
(b) If the adopted decision is wholly or partially in favor of the complainant, the local child support agency shall, within 30 days of receipt of the adopted decision, submit a compliance report to the Department. The local child support agency shall be presumed to have received the adopted decision 15 business days after the decision is adopted by the Director or the Director's designee. Such compliance report shall set forth the specific manner in which the local child support agency has complied and/or is complying with the order in the adopted decision. The Department shall review the compliance report and notify the complainant and the local child support agency that the plan for compliance has been approved, or the action that must be taken to ensure proper compliance with the adopted decision. 
(c) The complainant shall have the right to contact the Department, orally or in writing, to express dissatisfaction with the local child support agency's compliance with the adopted decision. There shall be no right to another state hearing concerning noncompliance with the adopted decision. The Department shall determine the local child support agency's compliance with the adopted decision and provide notice to the complainant. If the Department determines the local child support agency is not complying with the adopted decision, the Department shall take any action necessary to ensure compliance, and provide notice to the complainant of the action taken by the Department.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17801 and 17802, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of subsection (b), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
§120222. Authorized Representative.
Note     •     History

(a) The complainant shall have the right to appoint an authorized representative during all aspects of the hearing process by signing and dating a written statement to that effect, or by stating on the record at the hearing that the person is so authorized. 
(1) If the complainant is not present at the hearing, the written statement authorizing a representative to act on behalf of the complainant for hearing purposes shall be signed and dated by the complainant on or after the date of the action or inaction with which the complainant is dissatisfied. 
(2) The authorization may be limited in scope or duration by the complainant, and may be revoked by the complainant at any time. The authorization shall be presumed to be a valid authorization. Such presumption is rebuttable. 
(3) If the complainant is not present at the hearing and the written authorization does not meet the requirements set forth in subsection (a), the Administrative Law Judge may proceed with the hearing if the circumstances indicate that the complainant wishes to proceed with the hearing process. In such cases, an amended authorization shall be submitted within five (5) days from the hearing. 
(b) If the complainant has not authorized the representative in writing and is not present at the hearing, the person may be recognized as the authorized representative if the person is the complainant's attorney, guardian or conservator, or has a power of attorney, or if at the hearing, the person swears or affirms under penalty of perjury on the record that the complainant has so authorized him/her to act as the complainant's authorized representative, and the Administrative Law Judge further determines the person is so authorized. 
(c) The Administrative Law Judge may make the determination of a representative being authorized by the complainant by contacting the complainant or collateral source. When the purported authorized representative is not an attorney, a guardian or conservator, or does not have a power of attorney, a written authorization shall be submitted within five (5) days from the hearing unless this time period is extended by the Administrative Law Judge. If no written authorization is submitted, the case shall be considered abandoned, and shall be dismissed by written decision after the hearing pursuant to Section 120211. 
(d) Whenever the complainant is represented by an authorized representative, the authorized representative shall be furnished a copy of all notices and decisions concerning the state hearing that are provided to the complainant. The authorized representative shall have the same right as the complainant to review the complainant's case record pursuant to Chapter 1, Program Administration, Article 5, Records Management.
(e) All references in this Article to rights and responsibilities of a complainant in the state hearing process apply to a duly authorized representative, unless the authorization is limited pursuant to subsection (a)(2).
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Section 17801, Family Code. 
HISTORY

1. New section filed 6-26-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-18-2001 as an emergency; operative 12-30-2001 (Register 2001, No. 51). Pursuant to Family Code section 17306(e)(2), a Certificate of Compliance must be transmitted to OAL by 6-28-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-18-2001 order, including amendment of subsections (b), (d) and (e), transmitted to OAL 6-11-2002 and filed 7-24-2002 (Register 2002, No. 30).
Chapter 11. Quality Control
Article 1. Performance Measures
§121100. General Provisions.
Note     •     History

(a) Each local child support agency shall submit to the Department the data specified in this Article so that the Department may measure the performance of each local child support agency in securing child support, spousal support, medical support, and determinations of paternity. 
(1) The data required pursuant to Section 121120(b), for state performance measures, shall be submitted on a quarterly basis. 
(2) The data required pursuant to Section 121140(b), for federal performance measures, shall be submitted on an annual basis. 
(b) The Department shall collect and analyze the data submitted by each local child support agency in establishing baseline performance standards that shall be met by each local child support agency. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17600 and 17602, Family Code; and 42 U.S.C. Sections 652 and 658a. 
HISTORY

1. New chapter 11, article 1 (sections 121100-121140) and section filed 9-6-2001 as an emergency pursuant to Family Code section 17306; operative 9-6-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2002, No. 10).
3. New chapter 11, article 1 (sections 121100-121140) and section refiled 3-5-2002 as an emergency pursuant to Family Code section 17306; operative 3-5-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-5-2002 order, including amendment of subsection (a)(2), transmitted to OAL 8-29-2002 and filed 10-9-2002 (Register 2002, No. 41).
§121120. State Performance Measures.
Note     •     History

(a) Each local child support agency shall report the following data to the Department and the Department will use the data to calculate performance measures for the following categories: 
(1) Percent of cases with a court order for current child support. The performance measure will be calculated as follows: 
The total number of cases in the caseload with a court order for current child support compared to the total number of cases in the caseload, except medically needy only cases. 
(2) Percent of cases with collections for current child support. The performance measure will be calculated as follows: 
The total number of cases in the caseload for which at least one payment for current support has been collected during the reporting period compared to the total number of cases in the caseload for which current child support is due. 
(3) Average amount collected per case for all cases with collections. The performance measure will be calculated as follows: 
The total amount of child support collected as compared to the total number of cases for which some collections were received during the reporting period. 
(4) Percent of cases with an order for arrearages. The performance measure will be calculated as follows: 
The total number of cases in the caseload with arrears due compared to the total number of cases in the caseload, except medically needy only cases. 
(5) Percent of cases on which arrearages were collected. The performance measure will be calculated as follows: 
The total number of cases in the caseload for which arrears were collected compared to the total number of cases in the caseload for which arrears are owed. 
(6) Percent of alleged obligors who were served with a Summons and Complaint to establish paternity or a support order. The performance measure will be calculated as follows: 
The total number of alleged fathers or obligors who were served with a Summons and Complaint to establish paternity or a support order compared to the total number of cases in the caseload that required service of a summons and complaint to establish paternity or a child support order during the reporting period. 
(7) Percent of children for whom paternity has been established. The performance measure will be calculated as follows: 
The total number of children for whom paternity has been established or acknowledged during the reporting period compared to the total number of children in the caseload who require the establishment of paternity. 
(8) Percent of cases that had a child support order established. The performance measure will be calculated as follows: 
The total number of cases in the caseload for which a child support order was established compared to the total number of cases in the caseload that required the establishment of a child support order during the reporting period. 
(9) Cost-effectiveness. The performance measure will be calculated as follows: 
The total amount of child support collected and distributed for each dollar expended by the local child support agency. For purposes of this measurement, the electronic data processing costs for consortia counties will be allocated to each county, based on actual costs. 
(10) Percent of cases with orders for which medical support has been ordered. The performance measure will be calculated as follows: 
The total number of cases in the caseload for which medical support has been ordered compared to the total number of cases in the caseload for which either current child support and/or medical support only has been ordered. 
(11) Percent of cases with health insurance provided as ordered. The performance measure will be calculated as follows: 
The total number of cases in the caseload for which health insurance was provided as ordered compared to the total number of cases in the caseload for which health insurance was ordered. 
(b) These performance measures shall be reported to the Department in accordance with the requirements of Section 111920. Failure to report, or the reporting of inaccurate data shall be subject to provisions of subsection (c) of Section 111920. 
(c) In publishing the results of any state performance measurement which is identical to a federal performance measurement, except for the period reported, the Department will annotate those reported measures with an explanation of any discrepancies between the numbers reported for those measures. 
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17600 and 17602, Family Code; and 42 U.S.C., Sections 652 and 658a. 
HISTORY

1. New section filed 9-6-2001 as an emergency pursuant to Family Code section 17306; operative 9-6-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2002, No. 10).
3. New section refiled 3-5-2002 as an emergency pursuant to Family Code section 17306; operative 3-5-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-5-2002 order, including amendment of subsections (a)(9) and (a)(11), transmitted to OAL 8-29-2002 and filed 10-9-2002 (Register 2002, No. 41).
§121140. Federal Performance Measures.
Note     •     History

(a) Each local child support agency shall report the following data to the Department for calculation of federal performance measures. 
(1) Paternity establishment percentage. The performance measure will be calculated as follows: 
The total number of children for whom paternity has been established during the reporting period compared to the total number of children in the caseload who require the establishment of paternity. 
(2) Percent of cases with a child support order. The performance measure will be calculated as follows: 
The total number of cases with support orders as compared with the total caseload. Support orders are broadly defined as all legally enforceable orders, including orders for health insurance and zero support orders. 
(3) Percent of current support collected. The performance measure will be calculated as follows: 
The total amount of current support collected as compared to the total amount of current support owed. 
(4) Percent of arrears collected. The performance measure will be calculated as follows: 
The total number of cases in the caseload for which arrears were collected compared to the total number of cases in the caseload for which arrears are owed. 
(5) Cost-effectiveness. The performance measure will be calculated as follows: 
The total amount of child support collected and distributed as compared to each dollar expended by the local child support agency. For the purposes of this measurement, the electronic data processing costs for consortia counties will be allocated to each county, based on actual costs.
(b) These performance measures shall be reported to the Department in accordance with the requirements of Section 111920. Failure to report, or the reporting of inaccurate data shall be subject to provisions of subsection (c) of Section 111920.  
NOTE

Authority cited: Sections 17306, 17310 and 17312, Family Code. Reference: Sections 17600 and 17602, Family Code; and 42 U.S.C., Sections 652 and 658a. 
HISTORY

1. New section filed 9-6-2001 as an emergency pursuant to Family Code section 17306; operative 9-6-2001 (Register 2001, No. 36). A Certificate of Compliance must be transmitted to OAL by 3-5-2001 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2002, No. 10).
3. New section refiled 3-5-2002 as an emergency pursuant to Family Code section 17306; operative 3-5-2002 (Register 2002, No. 10). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-5-2002 order, including amendment of subsections (a) and (a)(5), transmitted to OAL 8-29-2002 and filed 10-9-2002 (Register 2002, No. 41).
Chapter 12. Automation Requirements (Reserved)
Chapter 13. Conflict of Interest Code
§123000. California Department of Child Support Services Conflict-of-Interest Code.
Note     •     History

The Political Reform Act (Government Code Section 81000, et seq.) requires state and local government agencies to adopt and promulgate conflict-of-interest codes. The Fair Political Practices Commission has adopted a regulation (2 California Code of Regulations Section 18730) that contains the terms of a standard conflict-of-interest code, which can be incorporated by reference in an agency's code. After public notice and hearing, the standard code may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act. Therefore, the terms of 2 California Code of Regulations Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission are hereby incorporated by reference. This regulation and the attached Appendices, designating positions and establishing disclosure categories, shall constitute the conflict-of-interest code of the Department of Child Support Services (Department).
Individuals holding designated positions shall file their statements of economic interests with the Department, which shall make the statements available for public inspection and reproduction. (Gov. Code Sec. 81008.) Upon receipt of the statement for the Director, the Department shall make and retain copies and forward the original to the Fair Political Practices Commission. All other statements will be retained by the Department.
NOTE

Authority cited: Sections 81008, 87300 and 87306, Government Code. Reference: Section 87302, Government Code.
HISTORY

1. Repealer of section and Appendices A and B and new section and Appendices A and B filed 3-15-2012; operative 4-14-2012. Approved by Fair Political Practices Commission 2-3-2012  (Register 2012, No. 11). 
2. Change without regulatory effect amending Appendix A filed 5-4-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 18).

Designated Positions Appendix A

Designated Positions	Disclosure Categories

EXECUTIVE DIVISION
Director	1
Chief Deputy Director	1
All Assistant Directors	2, 4
All Regional Administrators	4

CCSAS Project and Procurement Office
CCSAS Project Director	1
Branch Chiefs	3
Section Chiefs	3

Office of Legal Services
Chief Counsel	1
Office of Legal Services, Assistant Chief Counsel	1
Staff Counsel (All Levels) 	2, 4
Senior Management Auditor	5

Office of Legislative and External Affairs
Public Information Officer	3, 4

Office of Payment Management & Intergovernmental Services
Section Managers	4

CHILD SUPPORT SERVICES DIVISION
Deputy Director	3
Staff Services Manager (All Levels) Reporting 
 Directly to the Division's Deputy Director 	4
Branch Chiefs	3, 4
Section Managers	4
Unit Managers	4

OPERATIONS DIVISION
Deputy Director	3
Branch Chiefs	3

TECHNOLOGY SERVICES DIVISION
Deputy Director	3
Data Processing Managers (All Levels) reporting directly 
 to the Division's Deputy Director	3
Branch Chiefs	3
Section Managers	3
 (except those in System Operations, Architecture & System Management, 
 Systems Management, Data Architecture & Performance Management, 
 CCSAS Development Case, Reports, and CCSAS Testing)
Information Security Officer	3
Senior Information System Analyst (Supervising), IT Financial & 
 Administrative Management	3
Senior Information System Analyst, IAA & Financial Management	3
Senior Information System Analyst, IT Procurement Contract Management	3
Senior Information System Analyst, Print and Imaging Management	3
Senior Information System Analyst, IT Asset Management	3
Senior Information System Analysts, Case Management	3
Staff Information System Analyst, Case Management	3
Senior Information System Analyst, Financial Management	3
Staff Information System Analyst, Financial Management 	3

ADMINISTRATIVE SERVICES DIVISION	
Deputy Director	1
Chief Financial Officer	1
Branch Chief, Budget & Procurement	2
Branch Chief, Personnel & Business Support Branch	3, 6
Section Managers	2
 (except those in Systems Fiscal Management Section, Personnel 
 Services Section, and Facilities & Business Services Section ) 
Associate Governmental Program Analysts, Contracts & 
 Procurement Section 	2
Staff Services Analyst, Staff Development	3
Unit Manager, Health, Safety & Benefits Unit	2
Assistant Operations Security Officer	3
Associate Governmental Program Analyst, Health, Safety & Benefits Unit	2
Staff Services Manager II, Facilities & Business Services	2, 6
Staff Services Manager I, Business Services Unit	2
Business Services Officer I (Supervisor), Business Support Unit	2
Business Services Assistants, Business Support Unit	2
Associate Governmental Program Analyst, Records, Assets & 
 Goods/Services Acquisitions	2
Business Services Officer II (Supervisor), Fulfillment Services Central 
 Scan	2
Staff Services Manager I, Facilities Services Unit	2, 6
Staff Services Analyst, Security Unit	2
Associate Governmental Program Analysts, Modular & Move Services 
 Unit 	2, 6
Associate Governmental Program Analysts, Facility Projects & Lease 
Management Unit 	2, 6
Consultants/New Positions	*

* With respect to consultants/new positions, the Director may determine in writing that a particular consultant/new position, although a “designated position,” is hired to perform a range of duties that is limited in scope and thus is not required to comply with the disclosure requirements described in this section. Such written determination shall include a description of the consultant/new position's duties and, based upon that description, a statement of the extent of disclosure requirements. The Director's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict-of-interest code (Gov. Code Sec. 81008.).

Disclosure Categories Appendix B
CATEGORY 1

Designated positions assigned to this category must report:

All interests in real property in the State of California, as well as investments, business positions and sources of income, including gifts, loans and travel payments.

CATEGORY 2

Designated positions assigned to this category must report:

All investments, business positions and income, including gifts, loans and travel payments, from, sources that provide leased facilities, goods, equipment, vehicles, machinery or services, including training or consulting services, of the type utilized by the Department.

CATEGORY 3

Designated positions assigned to this category must report:

All investments, business positions and income, including gifts, loans and travel payments, from, sources that provide leased facilities, goods, equipment, vehicles, machinery or services, including training or consulting services, of the type utilized by the designated position's Division.

CATEGORY 4

Designated positions assigned to this category must report:

All investments, business positions and income, including gifts, loans and travel payments, from, sources that are subject to the regulatory authority of the Department.

CATEGORY 5

Designated positions assigned to this category must report:

Whether, during the reporting period, they had a financial interest in any of their assignments. If they had no such interest, they shall file Fair Political Practices Commission Form 700-A. Otherwise, they shall disclose their pertinent financial interests on the schedules for Fair Political Practices Commission Form 700. 

CATEGORY 6

Designated positions assigned to this category must report:

All interests in real property in the State of California that is of the type that may be owned by, leased, or rented by the Department.
Division 14. California Office of Health Information Integrity
Chapter 1. Demonstration Projects for the Electronic Exchange of Health Information
§126010. Applicability of Regulations.
Note     •     History

(a) The regulations in this chapter apply to demonstration project Applicants and Demonstration Project Participants as defined in California Health and Safety Code §130276.
(b) Effective dates. The regulations adopted in this chapter will become inoperative on the date the CalOHII Director executes a declaration stating that the grant period for the State Cooperative Grant Agreement for health information exchange has ended and this chapter will then be repealed.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections 130276, 130277, 130278 and 130282, Health and Safety Code.
HISTORY

1. New division 14, chapter 1 (sections 126010-126090) and section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126020. Definitions.
Note     •     History

(a) “Access” means the HIPAA definition given at 45 C.F.R. §164.304.
(b) “Affiliated organization” means legally separate organizations which have designated themselves as a single, affiliated organization and are under common ownership or control or are a part of the same Organized Health Care Arrangement (“OHCA”) as defined by HIPAA.
(c) “Applicant” means an entity that submits an application to CalOHII for approval as a demonstration project.
(d) “Authorization” as used in section 126055(b)(2) means written permission in the form required for compliance with Civil Code sections 56.11, 56.21; Insurance Code section 791.06, and/or 45 C.F.R. §164.508 or as required by more stringent law as defined by 45 CFR §160.202.
(e) “Business Associate” means the HIPAA definition given at 45 C.F.R. §160.103.
(f) “CalOHII” means the California Office of Health Information Integrity.
(g) “CMIA Provider” means the Confidentiality of Medical Information Act definition of a Provider of Health Care given at Civil Code section 56.05(j).
(h) “De-identified health information” means the HIPAA definition given at 45 C.F.R. §164.514.
(i) “Demonstration Project Participant” means any provider, health plan, health information organization, or governmental authority approved by CalOHII to test privacy and/or security policies for the exchange of electronic health information in the demonstration project.
(j) “Disclosure” means the HIPAA definition given at 45 C.F.R. §160.103.
(k) “Electronic Health Record (EHR)” means the definition given at section 13400 of subtitle D of the American Recovery and Reinvestment Act of 2009: “an electronic record of health-related information about an individual that is created, gathered, managed, and consulted by authorized health care clinicians and staff.”
(l) “Governmental authority” means any municipal, county, state or other governmental entity that has jurisdiction and control over the provision or payment for medical services or that routinely received medical information to complete its designated governmental function, including specialized units from the local and state public health authorities.
(m) “Health Care Provider” means the HIPAA definition given at 45 C.F.R. §164.103.
(n) “Health Information Organization” (HIO) means a third party facilitator that conducts, oversees, or governs the disclosure of individual health information among separate, unaffiliated entities.
(o) “HIPAA” means the Health Insurance Portability and Accountability Act of 1996 as amended by subsequent legislation and the implementation of Privacy, Security, and Enforcement Rules under 45 C.F.R. Part 160 and Subparts A, C, D, and E of Part 164.
(p) “HIPAA covered entity” means the HIPAA definition for covered entity given at 45 C.F.R. 160.103.
(q) “Independent Directed Exchange” means the electronic disclosure of encrypted individual health information over the internet to an unaffiliated entity and where third party facilitators do not have the ability to decrypt the content of the individual health information (IHI) package nor provide governance or oversight.
(r) “Individual” means the person who is the subject of health information.
(s) “Individual Health Information” (IHI) means information, in oral, electronic or physical form, including demographic information collected from an individual, and:
(1) Is created or received by or derived from a health care provider, health care clearinghouse, health plan, employer, pharmaceutical company, or contractor;
(2) Relates to the past, present, or future physical or mental health or condition of an individual; the provision of health care to an individual; or the past, present, or future payment for the provision of health care to an individual; and
(3) Is Individually identifiable which means the information includes or contains any element of personal identifying information to which there is a reasonable basis to believe the information can be used to identify the individual such as the patient's name, address, electronic mail address, telephone number, social security number, or other information that, alone or in combination with other potentially available information, reveals the individual's identity.
(t) “More stringent law” means: in the context of a comparison of a provision of state or federal law, including HIPAA, against another law, a “more stringent law” is one that meets one or more of the following criteria:
(1) With respect to a use or disclosure, the law prohibits or restricts a use or disclosure in circumstances under which such use or disclosure otherwise would be permitted under another law or rule, except if the disclosure is
(A) Required by the federal Secretary of Health and Human Services in the context of HIPAA, in connection with determining whether a covered entity is in compliance with this subchapter; or
(B) To the individual who is the subject of the individual health information.
(2) With respect to the rights of an individual, who is the subject of the individual health information, regarding access to or amendment of individual health information, permits greater rights of access or amendment, as applicable.
(3) With respect to information to be provided to an individual who is the subject of the individual health information about a use, a disclosure, rights, and remedies, provides the greater amount of information.
(4) With respect to the form, substance, or the need for express legal permission from an individual, who is the subject of the individual health information, for use or disclosure of individual health information, provides requirements that narrow the scope or duration, increase the privacy protections afforded (such as by expanding the criteria for), or reduce the coercive effect of the circumstances surrounding the express legal permission, as applicable.
(5) With respect to recordkeeping or requirements relating to accounting of disclosures, provides for the retention or reporting of more detailed information or for a longer duration.
(6) With respect to any other matter, provides greater privacy protection for the individual who is the subject of the individual health information.
(u) “Participants Agreement” (PA) means a multi-party trust agreement among organizations exchanging health information that sets a common set of terms and conditions for the organizations establishing a mutual governance process amongst participants.
(v) “Public Health” This term refers to public health authorities whose public health programs promote, maintain, and conserve the public's health by providing health services to individuals and/or by conducting research, investigations, examinations, training, and demonstrations.
(w) “Sensitive health information” means legally established categories of sensitive information, such as genetic information, mental health, substance abuse treatment, HIV-related information, sexuality and reproductive health or specific segments of a patients individual health information for which a patient has requested protection from disclosure in writing.
(x) “Treatment” means the HIPAA definition given at 45 C.F.R. §160.103. 
(y) “Use” means the HIPAA definition given at 45 C.F.R. §160.103.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections56.05 and 56.06, Civil Code; Sections130200, 130201, 130276, 130277 and 130278, Health and Safety Code; and 45 C.F.R. Sections 160.103, 164.304 and 164.501.
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126030. California Health Information Exchange Practices Principles.
Note     •     History

(a) Demonstration Project Participants shall adhere to the following principles of fair information practices:
(1) Openness -- There should be a general policy of openness among entities that participate in electronic health information exchange about developments, practices, and policies with respect to individual health information.
(2) Individual Health Information Quality -- Health information shall be relevant, accurate, complete, and kept up-to-date.
(3) Individual Participation -- Individuals or their personal representatives have the right to:
(A) Ascertain the person responsible for individual health information for an entity, obtain confirmation of whether the entity has specific individual health information relating to the individual, and obtain its location.
(B) Receive their individual health information in a reasonable time and manner, at a reasonable charge, and in a format that is generally accessible by individuals.
(C) Challenge the accuracy of their individual health information and, if successful, to have the individual health information corrected, completed, or amended.
(D) Control the access, use, or disclosure of their individual health information, unless otherwise specified by law or regulation.
(4) Collection Limitation -- There shall be limits to the collection of individual health information. Individual health information shall be obtained by lawful and fair means. Where appropriate, it shall be obtained with the knowledge or consent of the individual or their personal representative. The specific purposes for which individual health information is collected shall be specified not later than at the time of collection.
(5) Individual Health Information Limitation -- Use and disclosure of individual health information shall be limited to the specified purpose. Certain use and disclosure shall require consent.
(6) Purpose Limitation -- Individual health information shall be relevant to the purpose for which it is to be used and, limited to the minimum information necessary for the specified purpose. The subsequent use shall be limited to the specified purpose.
(7) De-Identified Information -- De-identified individual health information shall not be re-identified unless specified in law. If de-identified individual health information is re-identified, it shall be subject to these principles. De-identified individual health information shall not be disclosed if there is a reasonable basis to believe that the information can be used to identify an individual.
(8) Security Safeguards -- Individual health information should be protected by appropriate security safeguards against such risks as loss or destruction, unauthorized access, use, modification or disclosure of data.
(9) Accountability -- An entity shall comply with laws, regulations, standards and organizational policies for the protection, retention and destruction of individual health information. Any person who has access to individual health information shall comply with those provisions.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections 130200, 130277 and 130279, Health and Safety Code.
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126040. Transparency and Complaint Process.
Note     •     History

(a) Prior to the approval of any demonstration project, the Applicant must provide CalOHII with copies of:
(1) The Applicant's Notice of Privacy Practices created pursuant to 45 C.F.R. §164.520.
(2) The Applicant's Participants Agreement and a list of the entities included in the agreement.
(3) A description of the Applicant's complaint mechanism required by §126040(d), including any documentation or patient educational materials related to the complaint process.
(b) Once a demonstration project is approved, but prior to the start of the demonstration project, within a specified time frame negotiated with and approved by CalOHII, the Demonstration Project Participant must provide:
(1) If the Demonstration Project Participant is a HIO, a list of all parties who have signed the HIO's Participant Agreement, with their contact information and a general description of the service(s) provided, including the data shared, the purpose, and whether further dissemination of the data is allowed, regardless of whether the information is de-identified.
(2) If the Demonstration Project Participant is not a HIO, a list of all of the Participant's current business associates with electronic access to individual health information disclosed through the demonstration project, with their contact information and a general description of the service(s) provided, including the data shared, the purpose, and whether further dissemination of the data is allowed, regardless of whether the information is de-identified.
(3) If a new business associate is added after the start of the project, or a business associate agreement is modified, the Demonstration Project Participant must provide CalOHII with an updated list quarterly.
(4) In CalOHII's discretion, CalOHII may require copies of the Demonstration Project Participant's business associate agreements be provided to CalOHII. The Participant shall provide copies within five working days from the receipt of written request from CalOHII.
(c) All unauthorized electronic disclosures or access of individual health information shall be reported by the Demonstration Project Participant to CalOHII within thirty (30) business days of the detection of the unauthorized access or disclosure. Good faith acquisition of IHI by an employee or agent within the course of coordinating care or delivering treatment services, provided that IHI is not used or subject to further unauthorized disclosure do not need to be reported. A report to CalOHII under this provision does not relieve the Demonstration Project Participant from any requirement under any local, state, or federal law.
(d) A Demonstration Project Participant must ensure there is a mechanism to receive and respond to patient complaints.
(1) Complaints associated with the demonstration project shall be reported and forwarded to CalOHII quarterly and include the Demonstration Project Participant's response to any complaint regarding the demonstration project.
(2) Complaints reflecting significant risk to patient privacy and confidentiality of individual health information or patient health and safety attributable to the demonstration project shall be reported by the Demonstration Project Participant to CalOHII immediately.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections 130200, 130277 and 130279, Health and Safety Code.
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126042. Trade Secret Designation and Protections.
Note     •     History

(a) All of the information provided to CalOHII by Demonstration Project Applicant or Participant shall be treated as a public record unless such information is designated to be a trade secret or unless the public interest in maintaining the confidentiality of that information clearly outweighs the public interest in disclosure.
(1) Any records, or portion thereof, which the Demonstration Project Applicant/Participant wants to protect as a trade secret shall be submitted in a separate sealed envelope clearly marked on the outside as “Trade Secret Material.” For purposes of this section, “trade secret” shall have the same meaning as in the Uniform Trade Secrets Act, Civil Code section 3426 et seq. The Application shall contain a declaration under penalty of perjury describing why the Applicant/Participant believes the material is a trade secret. After review, if CalOHII determines that the material submitted meets the definition of a “trade secret”, then CalOHII will treat the material as such and will exempt it from disclosure. If it is determined that the material does not meet the definition of a “trade secret”, then the material or information will be disclosed as public information in accordance with the Public Records Act, Government Code section 6250. CalOHII's refusal to grant a requested claim of trade secret does not excuse the Applicant from establishing all elements of the demonstration project application. Any material which CalOHII agrees to consider as a trade secret shall be exempt from disclosure under the Public Records Act, Government Code section 6250 et seq. Records for which CalOHII has denied protection as a trade secret shall also be exempt from disclosure under the Public Records Act during the time the records are in the possession of CalOHII.
(2) The Demonstration Project Applicant/Participant shall have the sole burden of designating, at the time of its submission, any specific information that it believes should be treated as confidential and the reasons therefore.
(b) Requests for Confidentiality. A request for confidential treatment of any information received in connection with any demonstration project application or report submitted to CalOHII must accompany the submission of such information. The confidential information must be submitted separated from the other parts of the filing and marked “Confidential Treatment Requested.” The request for confidentiality should not contain confidential information, as requests for confidentiality will be available for public inspection. Confidential Treatment Requests must be signed by the person making the application or report and contain the following:
(1) A statement identifying the information which is the subject of the request, the application or report it relates to, and a reference that the request is made pursuant to this provision.
(2) A statement of the grounds upon which the request is made, including (if applicable) a statement as to its confidentiality and the measures taken to protect its confidentiality, and a statement of the adverse consequences which are expected to result if the information is disclosed through the public records of CalOHII.
(3) A statement of the specific time for which confidential treatment of the information is necessary and the basis for such conclusion.
(4) If appropriate, a statement of the extent to which such information has been previously disclosed or will be disclosed in the future.
(c) Granting of Request. If a request for confidential treatment is granted, the person making such request will be notified in writing, the information will be marked “confidential” and kept separate from the public file, and the application or report will be noted with the following legend: “Additional portions of this filing have been granted confidential treatment pursuant to Section 126042 and are contained in a separate confidential file.”
(d) Information contained in confidential files shall only be disclosed to authorized representatives of the Demonstration Project Applicant/Participant or other governmental agencies as necessary for them to perform their constitutional or statutory duties or as required by law.
(e) In the event of a receipt of a subpoena request for designated confidential materials, before the disclosure, CalOHII will make a reasonable attempt to notify the submitter of the information before the mandated disclosure, if the notification is not prohibited by law.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Section 3426, Civil Code; Section 6250 et seq., Government Code; and Sections130276, 130277, 130278 and 130282, Health and Safety Code.
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126050. Permitted Purposes for Exchanging Health Information.
Note     •     History

(a) Permitted purposes. The Demonstration Project Participants that discloses individual health information through a HIO or an independent directed exchange, or uses individual health information in an affiliated organization shall be limited to:
(1) Treatment.
(2) Reporting to Public Health Officials for immunizations, bio-surveillance and mandated reporting.
(3) Quality reporting for meaningful use to Centers for Medicare and Medicaid Services and the California Department of Health Care Services.
(4) HIPAA mandated transactions consistent with 45 C.F.R. §162.900 through 45 C.F.R. §162.1802 for transaction standards and code sets.
(b) Permitted secondary purposes. Participants in the demonstration project may use or disclose individual health information after it is disclosed through a HIO, affiliated organization, or independent directed exchange for any permitted purpose allowed by law and/or that is specified in the Demonstration Project Participant's Notice of Privacy Practices created in accordance with 45 C.F.R. §164.520.
(c) These provisions do not apply to business practices that use electronic faxes or emails.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections130200, 130277 and 130279, Health and Safety Code; and 45 C.F.R. Sections 162.923 and 164.520.
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126055. Informing Requirements; Affirmative Consent; Revocation of Consent.
Note     •     History

(a) Informing Requirements
(1) Prior to requesting consent from an individual or the individual's legally authorized personal representative to permit the electronic exchange of health information among separate, unaffiliated entities, Demonstration Project Participant shall provide notice to the individual or the individual's legally authorized personal representative, which at a minimum shall contain statements describing:
(A) Electronic exchange of health information.
(B) Uses of IHI, which may incorporate the Demonstration Project Participant's Notice of Privacy Practices created in accordance with 45 C.F.R. §164.520, if appropriate.
(C) Benefits and risks associated with disclosing IHI through a HIO or independent directed exchange, including the exchange of sensitive health information, such as HIV status, mental health records, reproductive health records, drug and alcohol treatment records, and genetic information which could be inferred or embedded in information that is made available through a HIO or independent directed exchange.
(D) Consent requirements.
(E) Specific exceptions to the consent requirements for electronic exchange of health information for mandated public health reporting and for transmitting mandated HIPAA transactions and code sets.
(F) Specific exceptions to the consent requirements in emergency situations.
(G) Process for revoking consent, including a contact name, phone number, email address, and website.
(H) When the revocation of consent is effective. 
(b) Affirmative Consent
(1) Before an individual's individual health information is electronically disclosed through a HIO or independent directed exchange, Demonstration Project Participant shall obtain written affirmative consent documenting the individual's or the individual's legally authorized personal representative's choice to electronically disclose the individual's individual health information or verify the individual's consent in a centralized consent registry.
(2) Obtaining affirmative consent documenting the individual's or the individual's legally authorized personal representative's choice to electronically exchange their individual health information under this regulation does not necessarily relieve the Demonstration Project Participant from obtaining other legally required authorizations to disclose health information if other laws impose additional or different requirements that are not satisfied in the consent obtained pursuant to this regulation.
(3) Emergency situations
(A) A Demonstration Project Participant may disclose to a CMIA provider an individuals' health information through a HIO or independent directed exchange when:
i. The individual requires emergent care;
ii. The individual or the individual's legally authorized personal representative is incapable of consenting;
iii. The individual or the individual's legally authorized personal representative has not explicitly denied or withdrawn consent on a previous occasion; and
iv. It is in the best interest of the individual, as determined by the treating health care provider.
(4) Mandated public health reporting. Affirmative consent is not required for mandated public health reporting disclosures.
(5) Mandated HIPAA transactions and code sets. Affirmative consent is not required for mandated HIPAA transactions and code sets.
(c) Revocation of consent
(1) An individual or the individual's legally authorized personal representative may revoke their previously granted consent to the electronic exchange of health information among separate, unaffiliated entities by contacting the designated contact person or Demonstration Project Participant as described in the informing requirements in section (a).
(2) After the effective date of the revocation of consent, the Demonstration Project Participant shall not allow the individual's health information to be disclosed through a HIO or independent directed exchange unless and until the individual or the individual's legally authorized personal representative reinstates consent.
(d) An individual may re-establish consent at any time by providing written affirmative consent to the Demonstration Project Participant.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections 130200, 130277 and 130279, Health and Safety Code.
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126060. Requests to Develop Alternative Requirements.
Note     •     History

(a) An Applicant may request to demonstrate an alternative requirement from those stated in sections 126050, 126055, 126070, 126072, 126074, and 126076, if the Applicant is currently unable to comply with the requirement or has an alternative policy that it wants to test. All requests to develop alternative requirements must be submitted to CalOHII in writing, and include:
(1) The reason for the request.
(2) All supporting documentation, such as:
(A) If the reason is related to implementation delays, state the timeframe in which the requirement will be implemented.
(B) A description of, and copies of:
(i) Alternate privacy and security provisions that would provide similarly adequate compliance with the California Health Information Exchange Practices Principles,
(ii) Clear delineation of the purpose and the roles of those who may have access to the individual health information and any permitted subsequent use of the information, and
(iii) Information on the governance structure and evaluation of security compliance.
(b) In granting requests to develop alternative requirements, CalOHII will consider, but is not limited to the following factors:
(1) General factors:
(A) The proposal will advance the knowledge and development of privacy and security standards in a new area;
(B) Alternative requirements can provide similar compliance with the principles, without jeopardizing privacy and security of IHI;
(C) Patient safety concerns are significant;
(D) The technology is not readily available; and/or
(E) Insufficient benefit to individual privacy interests as compared to the costs or other legitimate burdens that would be incurred.
(2) Purpose limitations requirements in §126050
(A) The purpose is consistent with State law and not preempted by HIPAA;
(B) The Applicant can demonstrate adequate oversight to ensure no further disclosure or use of IHI unless the secondary use is consistent with the Civil Code sections 56.10, 56.13, 56.30 and more stringent laws; and
(C) If de-identified data is being used or generated, the recipients of the data are known.
(3) Informing and Consent requirements in §126055
(A) For HIO and independent directed exchanges of IHI:
(i) The circumstances ensure that patients or their representatives are made aware that IHI is being disclosed, to whom and for what purpose, and whether they have the right to refuse and if they so choose the option to not permit their health information to be disclosed, what are the possible consequences to them;
(ii) The data being disclosed, whether it is considered sensitive health information, and whether the disclosure is narrowly tailored to the need for the information.
(B) For independent directed exchanges, in addition to paragraph (A):
(i) The disclosure is made to another CMIA provider;
(ii) The disclosure is by means of a secure transaction;
(iii) The other CMIA provider has a current treating relationship with the patient;
(iv) The disclosure does not contain sensitive health information nor is the information about another individual; and
(vi) There is no re-purposing or re-directing of the information. 
(4) Security Controls requirements in §126070-126076
(A) Adequacy of the alternative security controls in addressing the particular circumstance; and
(B) Whether the proposed security provision is consistent with a mandatory HIPAA provision.
(c) CalOHII shall document in writing each grant of a request to demonstrate an alternative requirement within forty-five (45) days of the receipt of the DAR at CalOHII, and will make the request and a summary of the basis for the decision publicly available.
(1) In cases where a DAR is submitted with insufficient information for CalOHII to determine approval, a 15 day extension period may be provided to CalOHII to collect information and documentation in order to make a determination.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections 130200, 130277 and 130279, Health and Safety Code.
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126070. Security Requirements -- General.
Note     •     History

(a) All Demonstration Project Participants must:
(1) Protect the confidentiality, integrity, and availability of all electronic IHI the Demonstration Project Participant creates, receives, maintains, or transmits.
(2) Protect against any reasonably anticipated threats or hazards to the security or integrity of such information.
(3) Protect against any reasonably anticipated uses or disclosures of such information that are not permitted or required under California law.
(4) Monitor compliance with these requirements by the Demonstration Project Participant's workforce. 
(b) All Demonstration Project Participants and any recipient of IHI received in a demonstration project, who are a HIPAA covered entity or a business associate of a HIPAA covered entity, are required to comply with the HIPAA security standards in Subpart C of Part 164, 45 C.F.R. §164.302 et seq, with respect to the IHI and any risk assessment must include an evaluation of the additional risk incurred by being a Participant in an exchange of health information.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections56.13, 1798.21 and 1798.81.5, Civil Code; Sections130200, 130277 and 130279, Health and Safety Code; and 45 C.F.R. Sections 164.302 and 164.306(a).
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126072. Security Requirements -- Administrative Controls.
Note     •     History

(a) Access Controls. A Demonstration Project Participant shall utilize identity management, authentication, and authorization mechanisms to ensure that only authorized users have access to information systems.
(1) Identity Management (Internal). A Demonstration Project Participant shall establish policies and procedures to verify the identity of workforce members who will access the Participant's systems. A Demonstration Project Participant shall, at a minimum:
(A) Verify that the individual is the one claimed by examination of various forms of state-issued picture identifications such as a driver's license or ID card, professional licenses in good standing from state or national certification boards, and other forms of identification issued by reliable bodies. The number and extent of such verification will be commensurate with the user's responsibilities and consistent with privileges they will be given (authorizations).
(B) Issue a user identifier and an identity certificate and/or token (password, hard token, soft cryptographic token or one-time password device tokens, etc.), to the verified person, as appropriate to their level of authorization.
(C) Be responsible for any health data access rights assigned to the authorized person based on their qualifications and role.
(D) Manage all stages in the life-cycle of user access, from the initial registration of new users to the final de-registration of users who no longer require access to information systems and services.
(2) Single Entity Authentication (Non-Federated). A Demonstration Project Participant shall authenticate each authorized user's identity prior to providing access to IHI.
(A) A Demonstration Project Participant shall assign a unique name and/or number for identifying and tracking user identity and implement procedures to verify that a person or entity seeking access to IHI is the one claimed.
(B) A Demonstration Project Participant shall authenticate each user to the level of authorized access that complies with the Participant Agreement.
(C) A Demonstration Project Participant shall authenticate users attempting to access IHI from an unsecured location or device, shall require NIST Level 3 authentication in which the data requester must establish two factors of authentication. [See NIST SP 800-63 Rev-1]
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections1798.20, 1798.21 and 1798.81.5, Civil Code; Sections 1280.15, 130200, 130277 and 130279, Health and Safety Code; and 45 C.F.R. Sections 164.302, 164.306, 164.308 and 164.310(b).
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126074. Security Requirements -- Physical Controls.
Note     •     History

(a) Mobile Electronic Device Controls. A Demonstration Project Participant shall limit and protect any storage of IHI on mobile electronic computing devices and passive storage media. A Demonstration Project Participant shall limit and protect any storage of IHI on mobile electronic computing devices and passive storage media. A Demonstration Project Participant shall have a policy directing all workforce members, using entity-issued or any non-managed (user-owned) devices or media, to adhere to the entity mobile electronic computing device requirements. Storage of IHI on mobile computing devices and passive storage media is prohibited unless the devices or IHI:
(1) Are encrypted where indicated by risk assessment, and
(2) Legacy medical devices may require alternative controls in lieu of standard controls as allowed by device manufacturers, such deviations from standard controls shall be documented.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections1798.21 and 1798.81.5, Civil Code; Sections 1280.15, 130200, 130277 and 130279, Health and Safety Code; and 45 C.F.R. Section 164.308(a)(7).
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126076. Security Requirements -- Technical Controls.
Note     •     History

(a) Email & Messaging Security. A Demonstration Project Participant shall safeguard electronic mail and other messaging transmissions containing IHI through the use of encryption or an equivalent mechanism.
(b) Audit Controls. A Demonstration Project Participant shall implement hardware, software, and/or procedural mechanisms that record and examine activity in information systems that contain or use IHI. The audit log parameters listed below are required for Demonstration Project Participants:
· Login ID (successful and unsuccessful attempts)
· Events (create, read, update, delete)
· Timestamp (date, time)
· Role (e.g. doctor, nurse, admin, billing, IT)
· Unauthorized accesses
(c) Consistent Time. A Demonstration Project Participant shall take steps to ensure clocks of all relevant information processing systems within an organization are synchronized using an accurate reference time source using the Network Time Protocol (NTP).
(d) Data Assurance. A Demonstration Project Participant shall protect IHI from unauthorized alteration or destruction. A Demonstration Project Participant shall implement technical security measures to guard against unauthorized access to, or modification of, IHI that is being transmitted over an electronic communications network.
(1) Encryption & Cryptographic Controls. A Demonstration Project Participant shall utilize encryption to the level appropriate to the data being protected, and where appropriate, to protect IHI. Demonstration Project Participants shall utilize the NIST Cryptographic Module Validation Program (CMVP) as the authoritative source of which products, modules, and modes are approved for use by NIST for Federal information Processing. This list, or its successor, should be periodically reviewed for updated information as part of each Demonstration Project Participant's internal best practices.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Sections1798.21 and 1798.81.5, Civil Code; Sections 1280.15, 130200, 130277 and 130279, Health and Safety Code; and 45 C.F.R. Sections 164.306(a), 164.308(a)(5), 164.310 and 164.312.
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).
§126090. Demonstration Projects Oversight.
Note     •     History

(a) During the demonstration project, authorized CalOHII representatives may audit Demonstration Project Participants for compliance with these regulations, applicable state and federal law for the protection of individual privacy and the confidentiality of electronic health records with appropriate notice to the Demonstration Project Participant. An audit may include, but is not limited to inspection of:
(1) Privacy and security policies and procedures
(2) Adequacy of the consent informing process
(3) Training documentation
(4) Business associate agreements
(5) Participant Agreements
(6) Operations of the demonstration project, including impact of demonstration of alternative requirements.
(b) The Demonstration Project Participant must provide CalOHII with any and all requested documentation pertaining to 126090(a) within 10 business days of the receipt of the request or other time frame negotiated by the parties.
(c) CalOHII may conduct a site visit to observe operations of the demonstration project and compliance with these regulations.
(d) If CalOHII determines a Demonstration Project Participant is not in compliance with these regulations, a notice of non-compliance will be issued.
(1) A Demonstration Project Participant receiving a notice of non-compliance shall submit a plan of correction to CalOHII within 10 business days of the receipt of the notice of non-compliance.
(A) If CalOHII determines the plan of correction does not adequately address the identified instances of non-compliance, it may reject the plan of correction and request a Demonstration Project Participant to modify the plan of correction and resubmit within 5 business days.
(2) CalOHII may terminate a Demonstration Project Participant from remaining in a demonstration project or may terminate a demonstration project in its entirety if:
(A) CalOHII determines a Demonstration Project Participant has not adequately addressed identified areas of non-compliance; or
(B) If the Demonstration Project Participant has not complied with an accepted plan of correction; or
(C) If the non-compliance with the regulations is so egregious as to imminently threaten the security or privacy of the health information held by the Demonstration Project Participant.
(3) In the event of a termination, termination of a Demonstration Project Participant or the demonstration project shall occur in an orderly fashion balancing patient health and safety with any time constraints in the Participant's Agreements with their HIO or other data sharing arrangements.
NOTE

Authority cited: Sections 130277 and 130278, Health and Safety Code. Reference: Section 11180 et seq., Government Code; and Sections130200, 130277 and 130279, Health and Safety Code.
HISTORY

1. New section filed 1-31-2012; operative 1-31-2012. Exempt from the rulemaking requirements of the Administrative Procedure Act and submitted to OAL for printing only pursuant to Health and Safety Code section 130278 (Register 2012, No. 5).